{"source": "PMC13099390", "title": "Delay discounting correlates with depression but does not predict relapse after antidepressant discontinuation", "text": "# Delay discounting correlates with depression but does not predict relapse after antidepressant discontinuation\n\n## Abstract\nApproximately one third of people with Major Depressive Disorder (MDD) experience a relapse within six months of discontinuing antidepressant medication (ADM), however, reliable predictors of relapse following ADM discontinuation are currently lacking. A putative behavioural predictor is delay discounting, which measures a person’s impatience to receive reward. Previous studies have linked delay discounting to both MDD and reduced serotonergic function, rendering it a plausible candidate predictor. In this multi-site study we measured delay discounting in participants with remitted MDD (N = 97), before and within six months after discontinuation of ADM, and in matched controls without a lifetime history of MDD (N = 54). Using predictive models, we tested whether either baseline discounting, or an early change in discounting following ADM discontinuation, predicted depressive relapse over a six month follow up period. We also tested differences between remitted MDD and control groups in delay discounting at baseline, and associations between discounting and depressive symptoms. We found that the remitted MDD group, compared to the control group, showed significantly higher (p < 0.05; Cohen’s d = 0.34) discounting at baseline. In addition, baseline discounting was positively correlated with depression rating scores (Spearman ρ = 0.24). However, delay discounting did not increase following ADM discontinuation. Neither baseline discounting, nor a change in discounting following ADM discontinuation, predicted subsequent depressive relapse. We conclude that delay discounting is elevated in remitted MDD treated with antidepressant medication. However, delay discounting neither increases following ADM discontinuation, nor does it prospectively predict depressive relapse. These results suggest that delay discounting in Major Depressive Disorder has little relationship with illness trajectory following ADM discontinuation.\n\n## Full Text\n\n\n### Introduction\nDepressive disorders are estimated to be among the largest contributors to years lived with disability worldwide [1, 2]. This huge burden of morbidity is largely attributable to the chronic or recurring pattern [3, 4] that often characterizes depression. Furthermore, although many people derive benefit from antidepressant medication, approximately one in three will experience another depressive episode within six months of antidepressant discontinuation [5]. An initially successful treatment is therefore still too often followed by a relapse.\nRandomized controlled trials indicate that continual maintenance treatment with antidepressant medication reduces the risk of relapse or recurrence [5–8]. Nevertheless, maintenance treatment does not completely eliminate the risk of suffering from breakthrough depression while still on treatment, or from further depressive episodes after subsequent discontinuation [9]. Additionally, many people experience unpleasant side effects of antidepressant medication, such as weight gain and sexual dysfunction [10]. Thus, not all individuals who experience a depressive episode benefit equally from continuing medication after achieving remission. There is therefore a pressing clinical need to distinguish those who can safely discontinue antidepressants from those with a higher risk of relapse following discontinuation.\nCurrent clinical guidelines recommend continued treatment for at least six months after obtaining remission from a first episode of depression, and at least two years of treatment after remission for patients deemed to be at high risk of relapse [11, 12]. The risk of relapse is assessed using one or more of different predictors, such as the number of prior episodes [11], physical and psychological comorbidities [11], ethnicity [13], a melancholic subtype [14], anxiety [15], somatic pain [16], and previous response to medication [17]. However, several of these predictors lack robust replication studies to support their relevance (for a review see [18]). Where replications do exist, these sometimes reach conflicting conclusions, for example regarding the effect of the number of previous episodes on future relapse risk [6, 19]. Other predictors are difficult to reliably measure; for example, in clinical practice, previous response to treatment is often unclear [18]. This uncertainty not only calls for continued investigation into existing markers of relapse, but also motivates a search for novel relapse predictors.\nIn this study we evaluate delay discounting, which is thought to quantify a person’s impatience to receive reward, as a candidate behavioural predictor of depressive relapse following antidepressant discontinuation1. Delay discounting can be quickly assessed, by offering participants a series of choices between immediate and delayed rewards of varying magnitude. Conventionally, such choices are used to estimate a parameter termed the ‘discount rate’, which captures how steeply the subjective value of reward decreases as it is delayed. Higher discount rates imply a steeper decrease in reward value with delay, and thereby greater impatience. The behavioral and neural correlates of delay discounting have been extensively studied (see e.g. [20–23]).\nExisting evidence suggests that delay discounting is a plausible candidate marker of depressive relapse following antidepressant discontinuation. Firstly, studies have reported higher delay discount rates amongst people with Major Depressive Disorder (MDD) when compared to healthy controls [24–27]. Notably differences in discounting between depressed participants and non-depressed controls are not found reliably across all studies and comparisons. Some studies find no significant difference [28, 29], while others find differences from healthy controls only amongst sub-groups of depressed participants [24, 27], or only for larger rewards [26]. Nevertheless, a meta-analysis of seven case-control studies supports a conclusion of elevated discounting in MDD, with a small effect size (Hedges g = 0.38) [30]. The greater impatience observed in MDD has been interpreted as resulting from the pessimistic future outlook which is a feature of depression [4, 31–36] and as reflecting the loss of evaluative differentiation concerning future outcomes [37].\nSecondly, most antidepressant medications are believed to increase serotonin levels, which is thought to be crucial for their therapeutic effect [38, 39], while discounting is also found to be sensitive to serotonergic manipulations. Tryptophan depletion, which lowers brain serotonin levels, induces acute symptomatic relapse in patients with remitted depression [40, 41], and has been found to increase discount rates in healthy participants [42, 43] (though Tanaka et al. did not replicate this effect) [44]. Furthermore, a small study found that discount rates were reduced by acute administration of a selective serotonin reuptake inhibitor amongst participants with Attention Deficit Hyperactivity Disorder [45]. More definitively, rodent studies have demonstrated that stimulating serotonergic neurons in the dorsal raphe, or their projections to medial prefrontal cortex, augments an animal’s willingness to wait for reward [46, 47], while lesioning or blocking serotonergic neurotransmission increases impatience [48–50].\nIn summary, evidence indicates that discounting is increased in MDD, increases following serotonin depletion and decreases following enhancement of serotonin release. Thus, delay discounting is a candidate marker of both serotonergic function and depressive cognition. Based on these findings, our primary hypothesis was that patients with remitted MDD who show higher delay discounting are at increased risk of relapse following antidepressant discontinuation. A secondary hypothesis was that antidepressant discontinuation results in an increase in delay discounting, and that the magnitude of this early increase in discounting predicts subsequent depressive relapse. We tested these hypotheses within the AIDA (Antidepressiva Absetzstudie) study – a two-center, longitudinal, observational study of antidepressant discontinuation [51–53]. We also tested how delay discounting is related to depression symptom scores and other psychometric data amongst this sample of patients with remitted depression.\n\n\n### Methods and materials\nData from the AIDA study has been analysed previously [51–53]. However, the delay discounting data reported here have not previously been examined. The dataset consists of: i) participants treated with antidepressant medication (ADM), who decided to discontinue their antidepressant medication independently from study participation, after being diagnosed with Major Depressive Disorder, and ii) healthy control (HC) participants matched for age, sex and education to the ADM group. Healthy controls were excluded if there was a lifetime history of DSM IV Axis I or Axis II disorders, with the sole exception of nicotine dependence. Recruitment criteria for the ADM group included: (a) at least one severe [54] or multiple depressive episodes, (b) initiation of antidepressant treatment during the last depressive episode, and (c) achieving stable remission, assessed by a score of less than 7 on the Hamilton Depression Rating Scale 17 [55] for 30 days. See [51–53] for detailed inclusion and exclusion criteria.\nAll participants gave informed written consent and received monetary compensation for their time. Ethical approval for the study was obtained from the cantonal ethics commission Zurich (BASEC: PB_2016-0.01032; KEK-ZH: 2014-0355) and the ethics commission at the Campus Charité-Mitte (EA 1/142/14), and procedures were carried out in accordance with the Declaration of Helsinki.\nAs shown in Fig. 1, participants were assessed and compared at Main Assessment 1 (MA1) to identify features characterising the remitted, medicated state. Next, patients were randomised to either discontinue their medication at MA1 (MA1-D-MA2) or enter a waiting period approximately matched to the length of discontinuation time (group MA1-MA2-D). Patients in the waiting group discontinued their ADM after Main Assessment 2 (MA2). Details of the randomisation procedure are provided in the Supporting Material. After discontinuation, all patients entered a six month follow-up (FU) period, wherein some patients experienced a relapse.Fig. 1Study Design.We recruited remitted patients treated with antidepressant medication (ADM) and healthy controls matched for age, sex and education to the patients group. Patients were assessed at Main Assessment 1 (MA1) to identify features characterizing the remitted, medicated state. Next, patients were randomized to either discontinue their medication before MA2 (bottom arm, “group MA-1-D-MA2” or enter a waiting period while continuing their ADM, matched to the length of discontinuation time (top arm, “group MA1-MA2-D”). Discounting was assessed at MA1 and MA2, to investigate the effects of discontinuation. Patients in the MA1-MA2-D discontinued their ADM after MA2. After discontinuation, all patients entered the follow-up (FU) period of 6 months, during which some patients relapsed. Numbers below each box indicate the number of subjects in that group. The numbers below each box indicate the number of subjects in the corresponding group.\nWe recruited remitted patients treated with antidepressant medication (ADM) and healthy controls matched for age, sex and education to the patients group. Patients were assessed at Main Assessment 1 (MA1) to identify features characterizing the remitted, medicated state. Next, patients were randomized to either discontinue their medication before MA2 (bottom arm, “group MA-1-D-MA2” or enter a waiting period while continuing their ADM, matched to the length of discontinuation time (top arm, “group MA1-MA2-D”). Discounting was assessed at MA1 and MA2, to investigate the effects of discontinuation. Patients in the MA1-MA2-D discontinued their ADM after MA2. After discontinuation, all patients entered the follow-up (FU) period of 6 months, during which some patients relapsed. Numbers below each box indicate the number of subjects in that group. The numbers below each box indicate the number of subjects in the corresponding group.\nThe data analysis plan for the current study was preregistered [56], and is provided in Supplementary Table 1. All participants answered rating questionnaires, among which, the measures of prior interest for the present study were Hamilton Depression Scale (HAM-D), Emotion Regulation Questionnaire (ERQ), Brief Self-Control Scale (BSCS), Daily Hassles, Satisfaction with Life Scale (SWLS), Adverse Childhood Experience (ACE), Childhood Trauma Questionnaire (CTQ), Traumatic Life Events Questionnaire (TLEQ), and the Mehrfachwahl-Wortschatz-Intelligenztest (MWT-B).\nWe also conducted a power analysis for group differences prior to the study commencement. The description of which is provided in the Supporting Material.\nDelay-discounting procedures estimate the indifference point at which a smaller but immediately available reward, r, and a larger but delayed reward, R, have approximately the same subjective value to the participant. Here, participants completed two delay discounting tasks to estimate indifference points for rewards across a range of delays. The first task was Kirby’s monetary choice questionnaire (MCQ) [57], which consists of 27 items each asking participants to choose between an immediate and a delayed reward. In the second task, participants answered an adaptive version of the questionnaire [58], wherein a discount rate is estimated after each choice the subject makes, and the next immediate and delayed rewards offered are provided from the currently estimated indifference point. At each step, this procedure elicits the most informative choice, based on a participant’s estimated discount rate. The procedure continues until a stable estimation of the indifference point is reached [58]. Including two tasks, rather than one, was intended to bolster reliability.\nIn this study, rewards were hypothetical. Although one previous study found a small reduction in discount rates for real as opposed to hypothetical rewards [59], a number of other studies report no systematic differences in discounting for real and hypothetical rewards [60–62], suggesting that assessing discounting for hypothetical rewards is a valid procedure.\nWe modeled the participants’ choices using a standard hyperbolic model [63]:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V\\left(R,d\\right)=\\frac{R}{1+{Kd}}.$$\\end{document}VR,d=R1+Kd.\nThis equation describes the subjective value, V, of a reward, R, available after a delay d. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K \\,{{{\\rm{is}}}}\\; {{{\\rm{a}}}}\\; {{{\\rm{discount}}}}\\; {{{\\rm{rate}}}},{{{\\rm{estimated}}}}\\; {{{\\rm{from}}}}\\; {{{\\rm{participants}}}}{{\\hbox{'}}}{{{\\rm{indifference}}}}\\; {{{\\rm{points}}}}.\\;{{{\\rm{Higher}}}}\\; {{{\\rm{values}}}}\\; {{{\\rm{of}}}}$$\\end{document}Kisadiscountrate,estimatedfromparticipants’indifferencepoints.Highervaluesof\nK reflect greater impatience and reduced tolerance for delay [52]. The hyperbolic model of delay discounting is illustrated in Fig. 2. A generalization of this hyperbolic model includes an exponent on the delay term, which adjusts the curvature of the discount curve [64, 65]. Here, since we are interested in individual differences, we omit this exponent in favour of the standard hyperbola, which captures variability in discounting with a single parameter, K.Fig. 2Hyperbolic delay discounting.Illustration of the hyperbolic model of delay discounting for a subset of nine questions from Kirby’s monetary choice questionnaire (MCQ) consisting of small amount of delayed reward (25$–35$). Each open white circle represents one of the nine questions: its X-coordinate indicates how long one would have to wait for the delayed reward (delay, d), while its Y-coordinate indicates the value of the immediate, no delay reward relative to the delayed reward (relative value, V/R). Each dotted curve represents the hyperbolic delay discount rate, K, at which a participant would be indifferent between immediate and delayed rewards for each specific choice. The dashed curve corresponds to a discount function with K = 0.01. A person with this fitted value of the discount rate would choose the immediate rewards in the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values larger than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (bottom four hyperbolic curves), and would choose the delayed reward on the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values smaller than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (top five hyperbolic curves). Open grey circles represent the subjective values, V(R, d), predicted by the dashed curve for each value of delay (d) of the nine questions. Adapted from [49, 59, 71].\nIllustration of the hyperbolic model of delay discounting for a subset of nine questions from Kirby’s monetary choice questionnaire (MCQ) consisting of small amount of delayed reward (25$–35$). Each open white circle represents one of the nine questions: its X-coordinate indicates how long one would have to wait for the delayed reward (delay, d), while its Y-coordinate indicates the value of the immediate, no delay reward relative to the delayed reward (relative value, V/R). Each dotted curve represents the hyperbolic delay discount rate, K, at which a participant would be indifferent between immediate and delayed rewards for each specific choice. The dashed curve corresponds to a discount function with K = 0.01. A person with this fitted value of the discount rate would choose the immediate rewards in the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values larger than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (bottom four hyperbolic curves), and would choose the delayed reward on the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values smaller than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (top five hyperbolic curves). Open grey circles represent the subjective values, V(R, d), predicted by the dashed curve for each value of delay (d) of the nine questions. Adapted from [49, 59, 71].\nWe fitted the delay discounting model using a Bayesian hierarchical (mixed-effects) logistic regression [66]. This general procedure is widely used to fit parameters in decision making tasks, see e.g. [66–69]. In brief, estimated discount rate yields a difference in subjective value between immediate and delayed rewards for each choice. A logistic sigmoid (softmax) function, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma \\left(x\\right)=\\frac{1}{1+\\exp (-x)}$$\\end{document}σx=11+exp(−x), transforms this subjective value difference into a probability of choosing the immediate reward on each choice. We used an optimization procedure to find parameters that maximize the joint probability of each participant’s observed choices, assuming an empirical prior distribution over discount rates. This prior distribution, which is estimated using Expectation-Maximization (EM), served to regularise the inference and prevent parameters that are not well-constrained from taking on extreme values [66]. The reader is referred to [66] for the full technical details of the routine.\nTo maximize reliability, we fitted the model to the concatenated answers of both the classic and the adaptive versions of the questionnaires. We estimated the goodness-of-fit of the resulting model using McFadden’s pseudo-R², averaged across all subjects [70]. Furthermore, after fitting the model, we excluded subjects whose model accuracy is not significantly better than chance, estimated by a corresponding binomial test with a significance threshold of 0.05. Specifically, we calculated  \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p={\\sum }_{i=k}^{n}\\left(\\begin{array}{c}n\\\\ i\\end{array}\\right){0.5}^{i}{0.5}^{n-i} $$\\end{document}p=∑i=knni0.5i0.5n−i  and excluded participants for which p > 0.05.  Here, n is the number of questions in the questionnaire, k is the number of correctly classified answers and p denotes the p-value of a right-tailed binomial test, i.e., the probability of obtaining k or more correct classifications out of n by chance.\nAnalyses were performed in Matlab (R2023a) according to the pre-registered analysis plan provided in Supplementary Table 1 and also in [56]. In each analysis step reported below, we refer the reader to the corresponding analysis step from Supplementary Table 1, or indicate the step was not part of the original analysis plan. In this study we report analyses of discounting choice data. For the sake of clarity, we divide the analyses into three categories: i) prediction of relapse, ii) effect of discontinuation, and iii) discounting in remitted MDD.\nSince previous studies show that discount rates, K, are log-normally distributed [71, 72] we test for differences in log K rather than K. Unless otherwise stated, paired and independent-samples t-tests were used to compare group means. Given that each group comprised at least 30 participants, the Central Limit Theorem supports the assumption that the sampling distribution of the mean was approximately normal. Indeed, for each comparison, normality and equal variance were tested using Kolmogorov-Smirnov (MATLAB kstest function) and Bartlett tests (MATLAB vartestn test), respectively. For the few comparisons where either test rejected the null hypothesis of normality or equal variance, a non-parametric test was used: Wilcoxon Signed Rank for paired samples or Rank Sum for independent samples. We report means and standard deviations (or, where relevant, medians and interquartile ranges) for all comparisons in Supplementary Table 5.\nWe started by testing for association between discount rate and relapse by using a one-tailed two-sample t-test to test if log K at MA1 was greater in patients who relapsed than in patients who did not relapse during follow-up. This test explores the potential of baseline log K as a predictor of future relapse. We also used a one-tailed two-sample t-test to test if the change in log K between MA1 and MA2 (gain scores) differed between subjects from the MA1-D-MA2 group who relapsed during follow-up and subjects from the MA1-D-MA2 group who did not relapse during follow-up. This test examines whether a change in log K following discontinuation is associated with subsequent relapse. The tests detailed in this paragraph were not part of the pre-registered analysis plan.\nIn addition, to test for an association between time to relapse and discount rate, we used MATLAB coxphfit function to fit a Cox proportional hazards model with days to relapse as the dependent variable. We fitted two such models, with independent variables as i) log K at MA1 (Step (4) in the analysis plan), or ii) log K at both MA1 and MA2 (Step (5) in the analysis plan).\nTo examine whether discount rates can predict subsequent relapse, we fitted a logistic regression model with an L1 regularization (known as “Lasso” [73]), as implemented by the lassoglm function in Matlab, with relapse as the dependent variable and either log K at MA1 (Step (4) in the analysis plan), or both log K at MA1 and log K at MA2 as independent variables (Step (5) in the analysis plan). Consistent with the analysis plan, the model was trained on subjects from the Zurich sample, with a view to testing on the Berlin sample. We applied tenfold cross validation with stratification to optimize the value of the L1-regularization parameter.\nWe also hypothesized that discontinuation at MA1 would be associated with an increase in log K (between MA1 and MA2), assessed relative to the group who discontinued at MA2. To test for this, we fitted a linear mixed effects model using MATLAB fitlme function, with log K at both timepoints as the dependent variable, and group (i.e., MA1-D-MA2 or MA1-MA2-D), timepoint (i.e., MA1 or MA2) and [group × timepoint], as independent (fixed effect) variables (Step (2) in the analysis plan). We included a random slope term for each participant.\nWe used a one-tailed two-sample t-test to test the hypothesis that log K at MA1 was greater in patients than in controls (Step (1) in the analysis plan). We also tested for associations between log K at MA1 and scores on the various rating scales, using simple linear regression, with log K as the dependent variable. Additionally, we expressed pairwise associations between log K at MA1 and each rating scale as a Spearman correlation coefficient (Step (3) in the analysis plan).\nFinally, we tested whether log K at MA1 was associated with a change in depression (HAM-D) scores over time, independent of discontinuation (Step (6) in the analysis plan). To do so, we fitted a linear mixed effect model, wherein the dependent variable is HAM-D score (at MA1 or MA2), the independent variables (with fixed effects) are log K at MA1, timepoint (MA1 or MA2), a [log KMA1 × timepoint] interaction, discontinuation group (MA1-D-MA2 vs. MA1-MA2-D) and [discontinuation group × timepoint] interaction. We included a random slope for each participant. Here, the [log KMA1 × timepoint] interaction term expresses the extent to which a change in depression score across time depends on log K at baseline, whereas the [discontinuation group × timepoint] interaction term controls for possible confounding that results from testing on two discontinuation groups that differ in the time of withdrawal. Here we hypothesized that participants with higher baseline discounting would show less improvement in depressive symptoms across time.\nComplementary analysis methods and results that appear in the a priori analysis plan are provided in the Supplementary Material. As set out in the analysis plan, all comparisons were performed first on the Zurich sample, with a view to testing on the Berlin sample as an out-of-sample validation of predictive accuracy. However, where no significant associations between log K and the variables of interest were found in either sample, we pooled both samples to maximize power. We report these pooled analyses here.\n\n\n### Participants and study design\nData from the AIDA study has been analysed previously [51–53]. However, the delay discounting data reported here have not previously been examined. The dataset consists of: i) participants treated with antidepressant medication (ADM), who decided to discontinue their antidepressant medication independently from study participation, after being diagnosed with Major Depressive Disorder, and ii) healthy control (HC) participants matched for age, sex and education to the ADM group. Healthy controls were excluded if there was a lifetime history of DSM IV Axis I or Axis II disorders, with the sole exception of nicotine dependence. Recruitment criteria for the ADM group included: (a) at least one severe [54] or multiple depressive episodes, (b) initiation of antidepressant treatment during the last depressive episode, and (c) achieving stable remission, assessed by a score of less than 7 on the Hamilton Depression Rating Scale 17 [55] for 30 days. See [51–53] for detailed inclusion and exclusion criteria.\nAll participants gave informed written consent and received monetary compensation for their time. Ethical approval for the study was obtained from the cantonal ethics commission Zurich (BASEC: PB_2016-0.01032; KEK-ZH: 2014-0355) and the ethics commission at the Campus Charité-Mitte (EA 1/142/14), and procedures were carried out in accordance with the Declaration of Helsinki.\nAs shown in Fig. 1, participants were assessed and compared at Main Assessment 1 (MA1) to identify features characterising the remitted, medicated state. Next, patients were randomised to either discontinue their medication at MA1 (MA1-D-MA2) or enter a waiting period approximately matched to the length of discontinuation time (group MA1-MA2-D). Patients in the waiting group discontinued their ADM after Main Assessment 2 (MA2). Details of the randomisation procedure are provided in the Supporting Material. After discontinuation, all patients entered a six month follow-up (FU) period, wherein some patients experienced a relapse.Fig. 1Study Design.We recruited remitted patients treated with antidepressant medication (ADM) and healthy controls matched for age, sex and education to the patients group. Patients were assessed at Main Assessment 1 (MA1) to identify features characterizing the remitted, medicated state. Next, patients were randomized to either discontinue their medication before MA2 (bottom arm, “group MA-1-D-MA2” or enter a waiting period while continuing their ADM, matched to the length of discontinuation time (top arm, “group MA1-MA2-D”). Discounting was assessed at MA1 and MA2, to investigate the effects of discontinuation. Patients in the MA1-MA2-D discontinued their ADM after MA2. After discontinuation, all patients entered the follow-up (FU) period of 6 months, during which some patients relapsed. Numbers below each box indicate the number of subjects in that group. The numbers below each box indicate the number of subjects in the corresponding group.\nWe recruited remitted patients treated with antidepressant medication (ADM) and healthy controls matched for age, sex and education to the patients group. Patients were assessed at Main Assessment 1 (MA1) to identify features characterizing the remitted, medicated state. Next, patients were randomized to either discontinue their medication before MA2 (bottom arm, “group MA-1-D-MA2” or enter a waiting period while continuing their ADM, matched to the length of discontinuation time (top arm, “group MA1-MA2-D”). Discounting was assessed at MA1 and MA2, to investigate the effects of discontinuation. Patients in the MA1-MA2-D discontinued their ADM after MA2. After discontinuation, all patients entered the follow-up (FU) period of 6 months, during which some patients relapsed. Numbers below each box indicate the number of subjects in that group. The numbers below each box indicate the number of subjects in the corresponding group.\nThe data analysis plan for the current study was preregistered [56], and is provided in Supplementary Table 1. All participants answered rating questionnaires, among which, the measures of prior interest for the present study were Hamilton Depression Scale (HAM-D), Emotion Regulation Questionnaire (ERQ), Brief Self-Control Scale (BSCS), Daily Hassles, Satisfaction with Life Scale (SWLS), Adverse Childhood Experience (ACE), Childhood Trauma Questionnaire (CTQ), Traumatic Life Events Questionnaire (TLEQ), and the Mehrfachwahl-Wortschatz-Intelligenztest (MWT-B).\nWe also conducted a power analysis for group differences prior to the study commencement. The description of which is provided in the Supporting Material.\n\n\n### Delay discounting tasks\nDelay-discounting procedures estimate the indifference point at which a smaller but immediately available reward, r, and a larger but delayed reward, R, have approximately the same subjective value to the participant. Here, participants completed two delay discounting tasks to estimate indifference points for rewards across a range of delays. The first task was Kirby’s monetary choice questionnaire (MCQ) [57], which consists of 27 items each asking participants to choose between an immediate and a delayed reward. In the second task, participants answered an adaptive version of the questionnaire [58], wherein a discount rate is estimated after each choice the subject makes, and the next immediate and delayed rewards offered are provided from the currently estimated indifference point. At each step, this procedure elicits the most informative choice, based on a participant’s estimated discount rate. The procedure continues until a stable estimation of the indifference point is reached [58]. Including two tasks, rather than one, was intended to bolster reliability.\nIn this study, rewards were hypothetical. Although one previous study found a small reduction in discount rates for real as opposed to hypothetical rewards [59], a number of other studies report no systematic differences in discounting for real and hypothetical rewards [60–62], suggesting that assessing discounting for hypothetical rewards is a valid procedure.\n\n\n### Delay discounting model and model fitting procedure\nWe modeled the participants’ choices using a standard hyperbolic model [63]:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V\\left(R,d\\right)=\\frac{R}{1+{Kd}}.$$\\end{document}VR,d=R1+Kd.\nThis equation describes the subjective value, V, of a reward, R, available after a delay d. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K \\,{{{\\rm{is}}}}\\; {{{\\rm{a}}}}\\; {{{\\rm{discount}}}}\\; {{{\\rm{rate}}}},{{{\\rm{estimated}}}}\\; {{{\\rm{from}}}}\\; {{{\\rm{participants}}}}{{\\hbox{'}}}{{{\\rm{indifference}}}}\\; {{{\\rm{points}}}}.\\;{{{\\rm{Higher}}}}\\; {{{\\rm{values}}}}\\; {{{\\rm{of}}}}$$\\end{document}Kisadiscountrate,estimatedfromparticipants’indifferencepoints.Highervaluesof\nK reflect greater impatience and reduced tolerance for delay [52]. The hyperbolic model of delay discounting is illustrated in Fig. 2. A generalization of this hyperbolic model includes an exponent on the delay term, which adjusts the curvature of the discount curve [64, 65]. Here, since we are interested in individual differences, we omit this exponent in favour of the standard hyperbola, which captures variability in discounting with a single parameter, K.Fig. 2Hyperbolic delay discounting.Illustration of the hyperbolic model of delay discounting for a subset of nine questions from Kirby’s monetary choice questionnaire (MCQ) consisting of small amount of delayed reward (25$–35$). Each open white circle represents one of the nine questions: its X-coordinate indicates how long one would have to wait for the delayed reward (delay, d), while its Y-coordinate indicates the value of the immediate, no delay reward relative to the delayed reward (relative value, V/R). Each dotted curve represents the hyperbolic delay discount rate, K, at which a participant would be indifferent between immediate and delayed rewards for each specific choice. The dashed curve corresponds to a discount function with K = 0.01. A person with this fitted value of the discount rate would choose the immediate rewards in the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values larger than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (bottom four hyperbolic curves), and would choose the delayed reward on the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values smaller than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (top five hyperbolic curves). Open grey circles represent the subjective values, V(R, d), predicted by the dashed curve for each value of delay (d) of the nine questions. Adapted from [49, 59, 71].\nIllustration of the hyperbolic model of delay discounting for a subset of nine questions from Kirby’s monetary choice questionnaire (MCQ) consisting of small amount of delayed reward (25$–35$). Each open white circle represents one of the nine questions: its X-coordinate indicates how long one would have to wait for the delayed reward (delay, d), while its Y-coordinate indicates the value of the immediate, no delay reward relative to the delayed reward (relative value, V/R). Each dotted curve represents the hyperbolic delay discount rate, K, at which a participant would be indifferent between immediate and delayed rewards for each specific choice. The dashed curve corresponds to a discount function with K = 0.01. A person with this fitted value of the discount rate would choose the immediate rewards in the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values larger than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (bottom four hyperbolic curves), and would choose the delayed reward on the questions with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}K values smaller than \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$0.01$$\\end{document}0.01 (top five hyperbolic curves). Open grey circles represent the subjective values, V(R, d), predicted by the dashed curve for each value of delay (d) of the nine questions. Adapted from [49, 59, 71].\nWe fitted the delay discounting model using a Bayesian hierarchical (mixed-effects) logistic regression [66]. This general procedure is widely used to fit parameters in decision making tasks, see e.g. [66–69]. In brief, estimated discount rate yields a difference in subjective value between immediate and delayed rewards for each choice. A logistic sigmoid (softmax) function, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma \\left(x\\right)=\\frac{1}{1+\\exp (-x)}$$\\end{document}σx=11+exp(−x), transforms this subjective value difference into a probability of choosing the immediate reward on each choice. We used an optimization procedure to find parameters that maximize the joint probability of each participant’s observed choices, assuming an empirical prior distribution over discount rates. This prior distribution, which is estimated using Expectation-Maximization (EM), served to regularise the inference and prevent parameters that are not well-constrained from taking on extreme values [66]. The reader is referred to [66] for the full technical details of the routine.\nTo maximize reliability, we fitted the model to the concatenated answers of both the classic and the adaptive versions of the questionnaires. We estimated the goodness-of-fit of the resulting model using McFadden’s pseudo-R², averaged across all subjects [70]. Furthermore, after fitting the model, we excluded subjects whose model accuracy is not significantly better than chance, estimated by a corresponding binomial test with a significance threshold of 0.05. Specifically, we calculated  \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p={\\sum }_{i=k}^{n}\\left(\\begin{array}{c}n\\\\ i\\end{array}\\right){0.5}^{i}{0.5}^{n-i} $$\\end{document}p=∑i=knni0.5i0.5n−i  and excluded participants for which p > 0.05.  Here, n is the number of questions in the questionnaire, k is the number of correctly classified answers and p denotes the p-value of a right-tailed binomial test, i.e., the probability of obtaining k or more correct classifications out of n by chance.\n\n\n### Data analysis\nAnalyses were performed in Matlab (R2023a) according to the pre-registered analysis plan provided in Supplementary Table 1 and also in [56]. In each analysis step reported below, we refer the reader to the corresponding analysis step from Supplementary Table 1, or indicate the step was not part of the original analysis plan. In this study we report analyses of discounting choice data. For the sake of clarity, we divide the analyses into three categories: i) prediction of relapse, ii) effect of discontinuation, and iii) discounting in remitted MDD.\nSince previous studies show that discount rates, K, are log-normally distributed [71, 72] we test for differences in log K rather than K. Unless otherwise stated, paired and independent-samples t-tests were used to compare group means. Given that each group comprised at least 30 participants, the Central Limit Theorem supports the assumption that the sampling distribution of the mean was approximately normal. Indeed, for each comparison, normality and equal variance were tested using Kolmogorov-Smirnov (MATLAB kstest function) and Bartlett tests (MATLAB vartestn test), respectively. For the few comparisons where either test rejected the null hypothesis of normality or equal variance, a non-parametric test was used: Wilcoxon Signed Rank for paired samples or Rank Sum for independent samples. We report means and standard deviations (or, where relevant, medians and interquartile ranges) for all comparisons in Supplementary Table 5.\n\n\n### Prediction of relapse\nWe started by testing for association between discount rate and relapse by using a one-tailed two-sample t-test to test if log K at MA1 was greater in patients who relapsed than in patients who did not relapse during follow-up. This test explores the potential of baseline log K as a predictor of future relapse. We also used a one-tailed two-sample t-test to test if the change in log K between MA1 and MA2 (gain scores) differed between subjects from the MA1-D-MA2 group who relapsed during follow-up and subjects from the MA1-D-MA2 group who did not relapse during follow-up. This test examines whether a change in log K following discontinuation is associated with subsequent relapse. The tests detailed in this paragraph were not part of the pre-registered analysis plan.\nIn addition, to test for an association between time to relapse and discount rate, we used MATLAB coxphfit function to fit a Cox proportional hazards model with days to relapse as the dependent variable. We fitted two such models, with independent variables as i) log K at MA1 (Step (4) in the analysis plan), or ii) log K at both MA1 and MA2 (Step (5) in the analysis plan).\nTo examine whether discount rates can predict subsequent relapse, we fitted a logistic regression model with an L1 regularization (known as “Lasso” [73]), as implemented by the lassoglm function in Matlab, with relapse as the dependent variable and either log K at MA1 (Step (4) in the analysis plan), or both log K at MA1 and log K at MA2 as independent variables (Step (5) in the analysis plan). Consistent with the analysis plan, the model was trained on subjects from the Zurich sample, with a view to testing on the Berlin sample. We applied tenfold cross validation with stratification to optimize the value of the L1-regularization parameter.\n\n\n### Effect of discontinuation\nWe also hypothesized that discontinuation at MA1 would be associated with an increase in log K (between MA1 and MA2), assessed relative to the group who discontinued at MA2. To test for this, we fitted a linear mixed effects model using MATLAB fitlme function, with log K at both timepoints as the dependent variable, and group (i.e., MA1-D-MA2 or MA1-MA2-D), timepoint (i.e., MA1 or MA2) and [group × timepoint], as independent (fixed effect) variables (Step (2) in the analysis plan). We included a random slope term for each participant.\n\n\n### Discounting in remitted MDD\nWe used a one-tailed two-sample t-test to test the hypothesis that log K at MA1 was greater in patients than in controls (Step (1) in the analysis plan). We also tested for associations between log K at MA1 and scores on the various rating scales, using simple linear regression, with log K as the dependent variable. Additionally, we expressed pairwise associations between log K at MA1 and each rating scale as a Spearman correlation coefficient (Step (3) in the analysis plan).\nFinally, we tested whether log K at MA1 was associated with a change in depression (HAM-D) scores over time, independent of discontinuation (Step (6) in the analysis plan). To do so, we fitted a linear mixed effect model, wherein the dependent variable is HAM-D score (at MA1 or MA2), the independent variables (with fixed effects) are log K at MA1, timepoint (MA1 or MA2), a [log KMA1 × timepoint] interaction, discontinuation group (MA1-D-MA2 vs. MA1-MA2-D) and [discontinuation group × timepoint] interaction. We included a random slope for each participant. Here, the [log KMA1 × timepoint] interaction term expresses the extent to which a change in depression score across time depends on log K at baseline, whereas the [discontinuation group × timepoint] interaction term controls for possible confounding that results from testing on two discontinuation groups that differ in the time of withdrawal. Here we hypothesized that participants with higher baseline discounting would show less improvement in depressive symptoms across time.\nComplementary analysis methods and results that appear in the a priori analysis plan are provided in the Supplementary Material. As set out in the analysis plan, all comparisons were performed first on the Zurich sample, with a view to testing on the Berlin sample as an out-of-sample validation of predictive accuracy. However, where no significant associations between log K and the variables of interest were found in either sample, we pooled both samples to maximize power. We report these pooled analyses here.\n\n\n### Results\nOut of 104 patients with remitted MDD and 57 controls who were initially recruited, 97 patients (71 from Zurich and 26 from Berlin; 77% female, average age 34.78) and 54 controls (32 from Zurich and 22 from Berlin; 70% female, average age 33.52) answered the discounting questionnaire at MA1. 47 and 50 patients were randomized at MA1 to the discontinuation (MA1-D-MA2) and continuation group (MA1-MA2-D), respectively. 10 patients dropped out before MA2 and 7 more patients dropped during the follow-up period. The 17 dropouts were excluded from the prediction of relapse analysis. Among the included patients, 52 remained well (65%) and 28 (35%) relapsed during the follow-up period. The numbers of participants in each group are also indicated in Fig. 1. At baseline, HAM-D scores in the remitted patient group, although below the clinical threshold for MDD, were significantly higher than those in the control group (HAM-D controls mean = 0.38, median = 0, HAM-D patients mean = 1.81, median = 1; two-sample, two-tailed t-test t(147) = 5.15, p < 0.001; Wilcoxon rank sum test p < 0.001).\nModel accuracy met the (binomial test) accuracy criterion described above for all participants, and therefore no participants were excluded. The average model accuracy was 85%; mean McFadden’s pseudo-\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${R}^{2}$$\\end{document}R2 across subjects was 0.59, indicating a good fit to the data. Discount rates obtained from the adaptive discounting questionnaire and the Kirby MCQ were only moderately correlated (Spearman ρ = 0.32, p < 0.001).\nIn addition, no significant associations were found between log K at baseline and any possible confounding factors tested. The details and results are provided in Supplementary Table 2.\nWe found no significant difference in log K at MA1 between subjects treated with ADM who relapsed during follow-up and subjects treated with ADM who did not relapse (t(78) = 0.44, p > 0.25,two-tailed two-sample; Cohen’s d = 0.10). Furthermore, a change in log K following discontinuation (i.e., between MA1 and MA2 amongst the MA1-D-MA2 group), did not differ significantly between participants who subsequently relapsed and those who did not relapse (t(37) = 0.58, p > 0.25, one-tailed; Cohen’s d = 0.20), see Fig. 3. In a Cox proportional hazards regression model, including log K at both timepoints, neither log KMA1 nor log KMA2 were significantly associated with days-to-relapse (Coefficient log KMA1 = −0.02, p > 0.25; coefficient log KMA2 = −0.08, p > 0.25), nor was log KMA1 associated with relapse when entered into a separate regression model (Coefficient = −0.08, p > 0.25).Fig. 3Effect sizes for group differences in log K.Cohen’s d effect size, for various group comparisons. The top bar shows the comparison of log K at MA1 between controls and patients, where the effect size in this case indicates that the average of log K in the Patients group (at both sites) at MA1 is greater than the average of log K in the Controls group at MA1. The second bar from above shows the comparison of log K at MA1 between patients who subsequently relapsed and patients who did not, where the effect size in this case indicates that the average of log K in non-relapsers at MA1 is greater than the average of log K in relapsers at MA1. The third bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients who discontinued their treatment at MA1 (MA1-D-MA2) and patients who continued their treatment until MA2 (MA1-MA2-D), where the effect size indicates that the average of gain scores in the MA1-D-MA2 group is greater than the average of gain scores in the MA1-MA2-D group. The bottom bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients from the MA1-D-MA2 group who subsequently relapsed and patients from the MA1-D-MA2 group who did not, where the effect size indicates that the average of gain scores in the non-relapsers group was greater than the average of gain scores in the relapsers group. Error bars represent 95% confidence interval for Cohen’s d effect size, estimated using MATLAB meanEffectSize function. Group difference p-value: * 0.01<p < 0.05.\nCohen’s d effect size, for various group comparisons. The top bar shows the comparison of log K at MA1 between controls and patients, where the effect size in this case indicates that the average of log K in the Patients group (at both sites) at MA1 is greater than the average of log K in the Controls group at MA1. The second bar from above shows the comparison of log K at MA1 between patients who subsequently relapsed and patients who did not, where the effect size in this case indicates that the average of log K in non-relapsers at MA1 is greater than the average of log K in relapsers at MA1. The third bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients who discontinued their treatment at MA1 (MA1-D-MA2) and patients who continued their treatment until MA2 (MA1-MA2-D), where the effect size indicates that the average of gain scores in the MA1-D-MA2 group is greater than the average of gain scores in the MA1-MA2-D group. The bottom bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients from the MA1-D-MA2 group who subsequently relapsed and patients from the MA1-D-MA2 group who did not, where the effect size indicates that the average of gain scores in the non-relapsers group was greater than the average of gain scores in the relapsers group. Error bars represent 95% confidence interval for Cohen’s d effect size, estimated using MATLAB meanEffectSize function. Group difference p-value: * 0.01<p < 0.05.\nIn the prediction of relapse, the regularized regression weights were found to be all zero, resulting in a balanced accuracy of 0.5 and reflecting the balanced proportion of the majority class. For the sake of completeness, the distribution of baseline log K in the different relapse groups is shown in Supplementary Figure S1.\nContrary to our secondary hypothesis, antidepressant discontinuation was not associated with a significant increase in impulsive choice, relative to continuing medication. Specifically, in a linear mixed effects model with log K as the dependent variable, we found no significant [timepoint × discontinuation group] interaction (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\beta }_{{timepoint\\; x\\; group}}$$\\end{document}βtimepointxgroup = 0.04, t(180) = 0.15, p > 0.25). In other words, discontinuation did not significantly alter a change in log K across time. Main effects of timepoint and group were also small and non-significant (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\beta }_{{group}}$$\\end{document}βgroup = −0.05, t(180) = −0.10, p > 0.25 ; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\beta }_{{timepoint}}$$\\end{document}βtimepoint = 0.10, t(180) = 0.56, p > 0.25).\nWe further explored this null finding in a post hoc analysis, by performing a one-tailed two-sample t-test on log K gain scores to test whether log K increased more in patients who discontinued at MA1 (MA1-D-MA2) than in patients who discontinued at MA2 (MA1-MA2-D). To prevent error accumulation due to the additivity of noise, in model fitting, the difference between log K at MA1 and log K at MA2 was estimated concurrently with log K at MA1. Again, we found no significant difference in the change in log K between MA1 and MA2, among the MA1-D-MA2 group compared with the MA1-MA2-D group (t(82) = 0.19, p > 0.25; Cohen’s d = 0.04), also indicated in Fig. 3.\nA possible explanation for these null results would be that our delay discounting measure was unreliable. If this were the case, we would expect no consistent relationship between discounting at MA1 and MA2. Contrary to this idea however, across all patients we found a moderate correlation between log K at the two timepoints (r = 0.72, p < 0.001). Similar test-retest correlations were observed in both the MA1-D-MA2 (r = 0.80, p < 0.001) and MA1-MA2-D groups (r = 0.65, p < 0.001). These results indicate that the rank order of discounting across participants was moderately stable over time, supporting the reliability of our discounting measure.\nA further possible explanation for observing no effect of discontinuation on impulsivity would be that discontinuation produced no significant withdrawal syndrome in the study participants. Against this, the MA1-D-MA2 group exhibited a statistically significant increase in depressive symptoms following discontinuation (MA1 HAM-D mean = 1.65, median = 1; MA2 HAM-D mean = 3.16, median = 3; t(39) = 4.39, p < 0.001, two-tailed; Wilcoxon signed rank p < 0.001). No such symptom change was observed in the MA1-MA2-D group, who did not discontinue medication until after the second timepoint (MA1 HAM-D mean = 1.98, median = 2; MA2 HAM-D mean = 2.18, median = 2; t(40) = 0.34, p = 0.733, two-tailed; Wilcoxon signed rank p = 0.610). Furthermore, symptom change between the two timepoints in the MA1-D-MA2 group was significantly greater than that in the MA1-MA2-D group (two-sample t-test, t(79) = 2.77, p = 0.007, two-tailed; Wilcoxon rank sum p = 0.013). These findings indicate a detectable effect of discontinuation.\nGroup comparison of log K between healthy controls and patients with remitted MDD (treated with ADM) at MA1 revealed significantly higher discount rates in the patient group (t(149) = 2.03 and p = 0.022, one-tailed; Cohen’s d = 0.34), also indicated in Fig. 3. Notably both groups showed low levels of impulsivity, and the absolute difference in K between the two groups was small. Mean K in the remitted MDD group was 0.0065, corresponding to indifference between a reward of 75 euros received in 20 days and an immediate reward of 66 euros. Mean K in the control group was 0.0037, corresponding to indifference between a reward of 75 euros received in 20 days and an immediate reward of 70 euros.\nAs shown in Fig. 4, depressive symptoms (measured by the HAM-D scale) were significantly correlated with baseline discount rate, log KMA1 (Spearman ρ = 0.24, p = 0.003), an association which survived Bonferroni correction for multiple comparisons (p = 0.022, corrected for 8 comparisons), and was also present when testing only on the patients’ group (Spearman ρ = 0.23, p = 0.025). Other questionnaire instruments did not exhibit significant correlations with log KMA1 (Fig. 4). We note that baseline discount rate showed a significant correlation with two subscales of the CTQ questionnaire, namely CTQ-physical abuse (Spearman ρ = 0.18, p = 0.023) and CTQ-emotional neglect (Spearman ρ = 0.16, p = 0.049). See Supplementary Figure S2 for the comparisons with other questionnaire subscales. When all questionnaire variables were entered into a linear regression model with log KMA1 as the dependent variable, only HAM-D emerged as a significant explanatory variable (coefficient estimate = 0.19, t(142) = 2.51, p = 0.013). Coefficients and t-statistics for the remaining rating scales are provided in Supplementary Table 3.Fig. 4Correlations between log K at MA1 and rating scales.HAM-D Hamilton Depression Scale, ERQ Emotion Regulation Questionnaire (ERQ), BSCS Brief Self-Control Scale, SWLS Satisfaction with Life Scale, ACE Adverse Childhood Experience, CTQ Childhood Trauma Questionnaire, TLEQ Traumatic Life Events Questionnaire, MWTB Mehrfachwahl-Wortschatz-Intelligenztest. Error bars represent 95% confidence interval for Spearman’s correlation coefficient estimated using 10,000 bootstrap iterations. Group difference p-value: * 0.01<p < 0.05, ** 0.001<p < 0.01.\nHAM-D Hamilton Depression Scale, ERQ Emotion Regulation Questionnaire (ERQ), BSCS Brief Self-Control Scale, SWLS Satisfaction with Life Scale, ACE Adverse Childhood Experience, CTQ Childhood Trauma Questionnaire, TLEQ Traumatic Life Events Questionnaire, MWTB Mehrfachwahl-Wortschatz-Intelligenztest. Error bars represent 95% confidence interval for Spearman’s correlation coefficient estimated using 10,000 bootstrap iterations. Group difference p-value: * 0.01<p < 0.05, ** 0.001<p < 0.01.\nWe went on to test for an association between a change in depression across time, and baseline discounting (at MA1), in a mixed-effects linear regression with HAM-D scores as the dependent variable. We found a significant main effect of log KMA1 (coefficient estimate = 0.56, t(150) = 2.26, p = 0.025). This result is consistent with the findings reported above of a correlation between log KMA1 and HAM-D at MA1. We found no significant main effect of timepoint (coefficient estimate = 0.01, t(150) = 0.01, p = 0.989); here, the positive coefficient indicates that the average participant showed a marginal, albeit non-significant, increase in HAM-D score across time. There was a significant [timepoint × log K] interaction (coefficient estimate = −0.30, t(150) = −2.01, p = 0.045). Here, contrary to our prediction, the negative coefficient indicates that participants who were more impulsive (higher log K) at baseline showed a greater reduction in depression score across time. We found no significant effect of discontinuation group(coefficient estimate = 0.19, t(150) = 0.22, p = 0.820), nor a significant effect of the [discontinuation group × timepoint] interaction (coefficient estimate = −0.47, t(150) = −0.94, p = 0.345).\n\n\n### Sample description\nOut of 104 patients with remitted MDD and 57 controls who were initially recruited, 97 patients (71 from Zurich and 26 from Berlin; 77% female, average age 34.78) and 54 controls (32 from Zurich and 22 from Berlin; 70% female, average age 33.52) answered the discounting questionnaire at MA1. 47 and 50 patients were randomized at MA1 to the discontinuation (MA1-D-MA2) and continuation group (MA1-MA2-D), respectively. 10 patients dropped out before MA2 and 7 more patients dropped during the follow-up period. The 17 dropouts were excluded from the prediction of relapse analysis. Among the included patients, 52 remained well (65%) and 28 (35%) relapsed during the follow-up period. The numbers of participants in each group are also indicated in Fig. 1. At baseline, HAM-D scores in the remitted patient group, although below the clinical threshold for MDD, were significantly higher than those in the control group (HAM-D controls mean = 0.38, median = 0, HAM-D patients mean = 1.81, median = 1; two-sample, two-tailed t-test t(147) = 5.15, p < 0.001; Wilcoxon rank sum test p < 0.001).\n\n\n### Model fitting\nModel accuracy met the (binomial test) accuracy criterion described above for all participants, and therefore no participants were excluded. The average model accuracy was 85%; mean McFadden’s pseudo-\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${R}^{2}$$\\end{document}R2 across subjects was 0.59, indicating a good fit to the data. Discount rates obtained from the adaptive discounting questionnaire and the Kirby MCQ were only moderately correlated (Spearman ρ = 0.32, p < 0.001).\nIn addition, no significant associations were found between log K at baseline and any possible confounding factors tested. The details and results are provided in Supplementary Table 2.\n\n\n### Prediction of relapse\nWe found no significant difference in log K at MA1 between subjects treated with ADM who relapsed during follow-up and subjects treated with ADM who did not relapse (t(78) = 0.44, p > 0.25,two-tailed two-sample; Cohen’s d = 0.10). Furthermore, a change in log K following discontinuation (i.e., between MA1 and MA2 amongst the MA1-D-MA2 group), did not differ significantly between participants who subsequently relapsed and those who did not relapse (t(37) = 0.58, p > 0.25, one-tailed; Cohen’s d = 0.20), see Fig. 3. In a Cox proportional hazards regression model, including log K at both timepoints, neither log KMA1 nor log KMA2 were significantly associated with days-to-relapse (Coefficient log KMA1 = −0.02, p > 0.25; coefficient log KMA2 = −0.08, p > 0.25), nor was log KMA1 associated with relapse when entered into a separate regression model (Coefficient = −0.08, p > 0.25).Fig. 3Effect sizes for group differences in log K.Cohen’s d effect size, for various group comparisons. The top bar shows the comparison of log K at MA1 between controls and patients, where the effect size in this case indicates that the average of log K in the Patients group (at both sites) at MA1 is greater than the average of log K in the Controls group at MA1. The second bar from above shows the comparison of log K at MA1 between patients who subsequently relapsed and patients who did not, where the effect size in this case indicates that the average of log K in non-relapsers at MA1 is greater than the average of log K in relapsers at MA1. The third bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients who discontinued their treatment at MA1 (MA1-D-MA2) and patients who continued their treatment until MA2 (MA1-MA2-D), where the effect size indicates that the average of gain scores in the MA1-D-MA2 group is greater than the average of gain scores in the MA1-MA2-D group. The bottom bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients from the MA1-D-MA2 group who subsequently relapsed and patients from the MA1-D-MA2 group who did not, where the effect size indicates that the average of gain scores in the non-relapsers group was greater than the average of gain scores in the relapsers group. Error bars represent 95% confidence interval for Cohen’s d effect size, estimated using MATLAB meanEffectSize function. Group difference p-value: * 0.01<p < 0.05.\nCohen’s d effect size, for various group comparisons. The top bar shows the comparison of log K at MA1 between controls and patients, where the effect size in this case indicates that the average of log K in the Patients group (at both sites) at MA1 is greater than the average of log K in the Controls group at MA1. The second bar from above shows the comparison of log K at MA1 between patients who subsequently relapsed and patients who did not, where the effect size in this case indicates that the average of log K in non-relapsers at MA1 is greater than the average of log K in relapsers at MA1. The third bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients who discontinued their treatment at MA1 (MA1-D-MA2) and patients who continued their treatment until MA2 (MA1-MA2-D), where the effect size indicates that the average of gain scores in the MA1-D-MA2 group is greater than the average of gain scores in the MA1-MA2-D group. The bottom bar shows the comparison of the change in log K between the two timepoints (gain scores), between patients from the MA1-D-MA2 group who subsequently relapsed and patients from the MA1-D-MA2 group who did not, where the effect size indicates that the average of gain scores in the non-relapsers group was greater than the average of gain scores in the relapsers group. Error bars represent 95% confidence interval for Cohen’s d effect size, estimated using MATLAB meanEffectSize function. Group difference p-value: * 0.01<p < 0.05.\nIn the prediction of relapse, the regularized regression weights were found to be all zero, resulting in a balanced accuracy of 0.5 and reflecting the balanced proportion of the majority class. For the sake of completeness, the distribution of baseline log K in the different relapse groups is shown in Supplementary Figure S1.\n\n\n### Effect of discontinuation\nContrary to our secondary hypothesis, antidepressant discontinuation was not associated with a significant increase in impulsive choice, relative to continuing medication. Specifically, in a linear mixed effects model with log K as the dependent variable, we found no significant [timepoint × discontinuation group] interaction (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\beta }_{{timepoint\\; x\\; group}}$$\\end{document}βtimepointxgroup = 0.04, t(180) = 0.15, p > 0.25). In other words, discontinuation did not significantly alter a change in log K across time. Main effects of timepoint and group were also small and non-significant (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\beta }_{{group}}$$\\end{document}βgroup = −0.05, t(180) = −0.10, p > 0.25 ; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\beta }_{{timepoint}}$$\\end{document}βtimepoint = 0.10, t(180) = 0.56, p > 0.25).\nWe further explored this null finding in a post hoc analysis, by performing a one-tailed two-sample t-test on log K gain scores to test whether log K increased more in patients who discontinued at MA1 (MA1-D-MA2) than in patients who discontinued at MA2 (MA1-MA2-D). To prevent error accumulation due to the additivity of noise, in model fitting, the difference between log K at MA1 and log K at MA2 was estimated concurrently with log K at MA1. Again, we found no significant difference in the change in log K between MA1 and MA2, among the MA1-D-MA2 group compared with the MA1-MA2-D group (t(82) = 0.19, p > 0.25; Cohen’s d = 0.04), also indicated in Fig. 3.\nA possible explanation for these null results would be that our delay discounting measure was unreliable. If this were the case, we would expect no consistent relationship between discounting at MA1 and MA2. Contrary to this idea however, across all patients we found a moderate correlation between log K at the two timepoints (r = 0.72, p < 0.001). Similar test-retest correlations were observed in both the MA1-D-MA2 (r = 0.80, p < 0.001) and MA1-MA2-D groups (r = 0.65, p < 0.001). These results indicate that the rank order of discounting across participants was moderately stable over time, supporting the reliability of our discounting measure.\nA further possible explanation for observing no effect of discontinuation on impulsivity would be that discontinuation produced no significant withdrawal syndrome in the study participants. Against this, the MA1-D-MA2 group exhibited a statistically significant increase in depressive symptoms following discontinuation (MA1 HAM-D mean = 1.65, median = 1; MA2 HAM-D mean = 3.16, median = 3; t(39) = 4.39, p < 0.001, two-tailed; Wilcoxon signed rank p < 0.001). No such symptom change was observed in the MA1-MA2-D group, who did not discontinue medication until after the second timepoint (MA1 HAM-D mean = 1.98, median = 2; MA2 HAM-D mean = 2.18, median = 2; t(40) = 0.34, p = 0.733, two-tailed; Wilcoxon signed rank p = 0.610). Furthermore, symptom change between the two timepoints in the MA1-D-MA2 group was significantly greater than that in the MA1-MA2-D group (two-sample t-test, t(79) = 2.77, p = 0.007, two-tailed; Wilcoxon rank sum p = 0.013). These findings indicate a detectable effect of discontinuation.\n\n\n### Discounting in remitted MDD\nGroup comparison of log K between healthy controls and patients with remitted MDD (treated with ADM) at MA1 revealed significantly higher discount rates in the patient group (t(149) = 2.03 and p = 0.022, one-tailed; Cohen’s d = 0.34), also indicated in Fig. 3. Notably both groups showed low levels of impulsivity, and the absolute difference in K between the two groups was small. Mean K in the remitted MDD group was 0.0065, corresponding to indifference between a reward of 75 euros received in 20 days and an immediate reward of 66 euros. Mean K in the control group was 0.0037, corresponding to indifference between a reward of 75 euros received in 20 days and an immediate reward of 70 euros.\nAs shown in Fig. 4, depressive symptoms (measured by the HAM-D scale) were significantly correlated with baseline discount rate, log KMA1 (Spearman ρ = 0.24, p = 0.003), an association which survived Bonferroni correction for multiple comparisons (p = 0.022, corrected for 8 comparisons), and was also present when testing only on the patients’ group (Spearman ρ = 0.23, p = 0.025). Other questionnaire instruments did not exhibit significant correlations with log KMA1 (Fig. 4). We note that baseline discount rate showed a significant correlation with two subscales of the CTQ questionnaire, namely CTQ-physical abuse (Spearman ρ = 0.18, p = 0.023) and CTQ-emotional neglect (Spearman ρ = 0.16, p = 0.049). See Supplementary Figure S2 for the comparisons with other questionnaire subscales. When all questionnaire variables were entered into a linear regression model with log KMA1 as the dependent variable, only HAM-D emerged as a significant explanatory variable (coefficient estimate = 0.19, t(142) = 2.51, p = 0.013). Coefficients and t-statistics for the remaining rating scales are provided in Supplementary Table 3.Fig. 4Correlations between log K at MA1 and rating scales.HAM-D Hamilton Depression Scale, ERQ Emotion Regulation Questionnaire (ERQ), BSCS Brief Self-Control Scale, SWLS Satisfaction with Life Scale, ACE Adverse Childhood Experience, CTQ Childhood Trauma Questionnaire, TLEQ Traumatic Life Events Questionnaire, MWTB Mehrfachwahl-Wortschatz-Intelligenztest. Error bars represent 95% confidence interval for Spearman’s correlation coefficient estimated using 10,000 bootstrap iterations. Group difference p-value: * 0.01<p < 0.05, ** 0.001<p < 0.01.\nHAM-D Hamilton Depression Scale, ERQ Emotion Regulation Questionnaire (ERQ), BSCS Brief Self-Control Scale, SWLS Satisfaction with Life Scale, ACE Adverse Childhood Experience, CTQ Childhood Trauma Questionnaire, TLEQ Traumatic Life Events Questionnaire, MWTB Mehrfachwahl-Wortschatz-Intelligenztest. Error bars represent 95% confidence interval for Spearman’s correlation coefficient estimated using 10,000 bootstrap iterations. Group difference p-value: * 0.01<p < 0.05, ** 0.001<p < 0.01.\nWe went on to test for an association between a change in depression across time, and baseline discounting (at MA1), in a mixed-effects linear regression with HAM-D scores as the dependent variable. We found a significant main effect of log KMA1 (coefficient estimate = 0.56, t(150) = 2.26, p = 0.025). This result is consistent with the findings reported above of a correlation between log KMA1 and HAM-D at MA1. We found no significant main effect of timepoint (coefficient estimate = 0.01, t(150) = 0.01, p = 0.989); here, the positive coefficient indicates that the average participant showed a marginal, albeit non-significant, increase in HAM-D score across time. There was a significant [timepoint × log K] interaction (coefficient estimate = −0.30, t(150) = −2.01, p = 0.045). Here, contrary to our prediction, the negative coefficient indicates that participants who were more impulsive (higher log K) at baseline showed a greater reduction in depression score across time. We found no significant effect of discontinuation group(coefficient estimate = 0.19, t(150) = 0.22, p = 0.820), nor a significant effect of the [discontinuation group × timepoint] interaction (coefficient estimate = −0.47, t(150) = −0.94, p = 0.345).\n\n\n### Discussion\nIn this pre-registered analysis, we examined the potential of delay discounting as a behavioral marker of relapse after antidepressant discontinuation. There is a priori evidence to suggest that delay discounting might help predict illness trajectory following discontinuation of antidepressant medication (ADM). To the best of our knowledge, the present study is the first to prospectively examine i) whether discounting predicts future depressive relapse following ADM discontinuation, and ii) the effect of ADM discontinuation on delay discounting. Our results suggest that delay discounting is not altered by ADM discontinuation to a clinically meaningful extent. Furthermore, we found that neither baseline delay discounting, nor a change in discounting following ADM discontinuation were predictive of future depressive relapse. However, we did find significantly steeper delay discounting amongst patients with remitted MDD, compared with controls (Cohen’s d = 0.34), and a robust relationship between the discount rate and depressive symptoms (Spearman ρ = 0.24).\nWe note that our observed correlation between delay discounting and depressive symptoms may be attributable to subdomains of depressive symptoms. This possibility accords with previous studies finding relationships between discounting and symptom variables such as hopelessness, anhedonia [31] and suicidal ideation [24] or acts [35]. Owen et al. [37] reported a loss of evaluative differentiation concerning future outcomes in patients with MDD, which might serve as an explanation for our findings.\nTo our knowledge, the present study is the first to find significantly elevated delay discounting amongst medicated patients with remitted MDD. This finding is consistent with previous studies that have observed a relationship between trait-level impulsivity (e.g., as assessed in self-report rating scales) and remitted depression [74, 75]. A previous study by Pulcu et al. [26], which compared delay discounting amongst people with remitted, medication-free MDD and healthy controls, found that patients with remitted depression showed marginally steeper discounting than controls, however this difference was statistically significant only for larger rewards. In both the study of Pulcu et al., and the present study, depressive symptoms were significantly correlated with discount rate across all participants. The elevated discounting seen here in remitted MDD might therefore reflect residual, sub-clinical depressive symptoms. In keeping with this hypothesis, the remitted patient group exhibited higher depressive symptom scores than the control group.\nAlternatively, discounting might partly capture a trait-level vulnerability to depression, which persists despite symptom resolution. Previous studies find that delay discounting indeed has properties of a trait variable, being conserved across different types of reward [76], with moderate test-retest reliability [77]. Our combined delay-discounting score exhibited a similar degree of stability within-participants across the two time points of the study (r = 0.72) to that recently reported in meta-analysis (r  =  0.670, 95% CI [0.618, 0.716]) [77]. These findings suggest that delay discounting can be considered a trait variable. However, since our study did not measure discounting longitudinally in patients as they moved into remission, we have no direct evidence to support an hypothesis that steeper discounting is a vulnerability factor for MDD.\nIn the current study, higher discounting at baseline was not predictive of future relapse following discontinuation; nor was baseline discounting associated with worsening depressive symptoms between the two timepoints of the study (up to six months apart). The relatively small sample size of this study may be underpowered to detect subtle relationships. For example, a post-hoc power analysis for a two-tailed two-sample t-test with a type I error rate of α = 0.05, comparing 28 relapsers and 52 non-relapsers, indicates a power of 0.8 to detect an effect size of d = 0.66 and a power of 0.95 to detect an effect size of d = 0.85. Furthermore, the power to detect a medium effect size of d = 0.5 is 0.55 (using G★-power 3.1 [78]). While we do not provide evidence for the absence of effects, power considerations inform our interpretation and suggest that large effect sizes, greater than 0.5, are unlikely.\nAnother limitation that restricts our ability to accurately predict future risk of relapse is the limited six-month follow-up period, which may lead us to overlook patients who did not relapse during this time period but might have relapsed if observed for a longer duration. Nevertheless, our null finding suggests that, if discounting is indeed a trait-level vulnerability factor for MDD, this effect is too small to be clinically meaningful over short-term follow up.\nA potential limitation of our statistical analyses concerns how the hierarchical Bayesian procedure used to estimate the discount rate was applied in the context of a regularized regression analysis to predict relapse. Within the cross-validation framework used to optimize the regularization parameter discount rate was not fitted separately for training and validation sets of each fold, resulting in non-independent estimates between these two sets, and potentially optimistic estimates of prediction accuracy. However, this concern is mitigated in our specific case as the prediction results remain insignificant. Furthermore, the issue does not affect the critical test of training the model on the Zurich dataset and testing it on the Berlin dataset.\nContrary to our prediction, higher impulsivity at baseline was associated with a marginally significant decrease in depressive score across time. We are uncertain as to the explanation for this effect. We speculate that higher impulsivity is linked to greater venturesomeness, which encourages exploration and thereby recovery from depression. Alternatively, this unexpected finding might arise due to regression to the mean of depressive symptoms across time. That is, since participants with higher baseline impulsivity tended to show higher baseline depressive symptoms, if higher baseline symptoms tended to regress to the mean over time, impulsivity also would appear to be weakly associated with symptomatic improvement. However, since this finding is against our prior predictions, further replication is needed.\nA secondary hypothesis was based on an idea that discounting would be a sensitive marker of psycho-physiological changes following ADM discontinuation. However, we did not observe an increase in impulsivity following ADM discontinuation. Specifically, we did not find a significant change in log K amongst remitted patients who discontinued their treatment (MA1-D-MA2 group), relative to remitted patients who continued their treatment (MA1-MA2-D group). This finding is also consistent with an AIDA study of effort-reward tradeoffs [52], where the authors found no effect of ADM discontinuation on choices of high-effort high-reward options. Although our finding may be the result of limited statistical power, the relatively small effect sizes obtained from the corresponding group comparisons (Cohen’s d < 0.1), as well as the significant group differences obtained in other comparisons, suggest otherwise. Indeed, our finding of a small yet statistically significant increase in depressive symptoms following ADM discontinuation, indicating that stopping medication had a clinically detectable effect, further points to a dissociation between discounting and discontinuation.\nWe had hypothesized that discounting might be sensitive to decreases in serotonergic neuromodulation following antidepressant discontinuation. However, although discounting has been shown to be sensitive to serotonergic manipulations, it is unclear whether the elevated discounting observed in MDD is linked to changes in serotonin. Furthermore, the directionality and temporality of the adaptive changes in the 5-HT system following antidepressant discontinuation are uncertain. Some evidence points to a reduction in the extracellular 5-HT levels following discontinuation [79, 80], while other studies indicate a rebound above pre-treatment levels (see e.g. [80–83]). Taking these considerations together, a lack of association between discounting and ADM discontinuation is not out of keeping with the state of existing knowledge concerning causal relationships between serotonergic function, depressive disorders and ADM.\n\n\n### Conclusion\nDelay discounting is not strongly affected by ADM discontinuation and therefore appears to be of limited use as a biomarker for decisions related to anti-depressant discontinuation.\n\n\n### Supplementary information\nSupplementary Material\nSupplementary Material", "domain": "affective_neuroscience"}
{"source": "PMC13099768", "title": "Unraveling the mystery of stuttering: clinical and physiological insights into its manifestation", "text": "# Unraveling the mystery of stuttering: clinical and physiological insights into its manifestation\n\n## Abstract\nStuttering is a complex neurodevelopmental speech disorder characterized by involuntary sound and syllable repetitions, prolongations, and speech blocks, accompanied by marked variability across linguistic, emotional, and situational contexts. Although numerous hypotheses have been proposed to explain its underlying mechanisms, many have encountered a fundamental limitation: the difficulty of coherently accounting for the full range of clinical, developmental, and neurobiological features observed in people who stutter. In response to this gap, the present work proposes a comprehensive, integrative hypothesis that seeks to unify the diverse physiological and clinical manifestations of stuttering within a single neurobiological framework. This model aims to link moment-to-moment fluctuations in speech behavior with neurodevelopmental alterations, offering a plausible mechanistic account for a wide spectrum of core phenomena. These include the pronounced situational variability of stuttering severity; the developmental shifts from repetitions to blocks; the transition of disfluencies from function words to content words; the tendency for stuttering to occur on key words in a sentence; and the consistently lower rates of spontaneous recovery observed in males compared to females. Furthermore, the proposed framework seeks to explore potential common mechanisms underlying the widespread structural, metabolic, and functional brain changes documented in stuttering, while considering whether these abnormalities may reflect primary contributors or secondary, compensatory adaptations. In particular, the model seeks to address a long-standing debate regarding the role of the right inferior frontal gyrus, examining whether its engagement is more consistent with a causal contribution to speech disruption or with an adaptive response to impaired speech–motor control. By integrating neurodevelopmental, physiological, and clinical evidence, this hypothesis offers a unifying perspective on key features of stuttering while proposing a neurobiological model whose assumptions and hypotheses can be empirically tested and evaluated in future experimental studies.\n\n## Full Text\n\n\n### Introduction\nAlthough often defined in terms of speech disfluency, developmental stuttering carries consequences that reach far beyond the act of speaking, exerting a broad and often enduring psychosocial impact that can begin early in life. During childhood, when peer acceptance and social comparison play a central role in shaping self-esteem, children who stutter (CWS) are more likely to experience social rejection, reduced peer status, and increased exposure to bullying, and are less frequently perceived as popular or as leaders within their peer groups (Davis et al., 2002; Berchiatti et al., 2021). Such early social disadvantages coincide with elevated internalizing vulnerability, with school-aged CWS showing markedly increased risk for anxiety disorders, including “six-fold increased odds” of social anxiety disorder relative to their fluent peers (Iverach and Rapee, 2014; Iverach et al., 2016).\nAs these experiences accumulate throughout development, their impact often becomes more closely tied to self-evaluation and identity formation. For many individuals, these patterns persist into adulthood, manifesting as chronic feelings of shame, avoidance of social interaction, and restrictions in participation across educational, interpersonal, and occupational domains (Türkili et al., 2022; Alatawi and Good, 2025). Evidence from adolescence also indicates that greater stuttering severity is associated with lower domain-specific and global self-esteem, alongside heightened sensitivity to peer evaluation and emerging self-stigma (Butler, 2013; Adriaensens et al., 2015).\nThe functional consequences of these psychosocial challenges are particularly evident in employment contexts. Survey data indicate that more than 70% of adults who stutter (AWS) believe their speech difficulties reduce their chances of being hired or promoted (Klein and Hood, 2004), while population-level analyses demonstrate measurable labor market disadvantages, including an earnings deficit exceeding $7,000 for AWS and increased underemployment among women who stutter (Gerlach et al., 2018). At the same time, greater stuttering burden has been linked to poorer mental health outcomes, with higher levels of depression, anxiety, and stress reported among adults experiencing greater adverse impacts (Engelen et al., 2024). Converging evidence further underscores the clinical significance of these associations, as elevated depressive symptoms and an increased risk for suicidal ideation have been documented in some subgroups of people who stutter (PWS) (Briley et al., 2021; Tichenor et al., 2023).\nDespite its well-documented psychological consequences, stuttering remains a puzzling neurodevelopmental disorder of unclear etiology, characterized by substantial heterogeneity in its clinical presentation. In addition to classical developmental stuttering, several clinically distinct forms have been described, including neurogenic, psychogenic, and pharmacologically induced stuttering. Although there is overlap in both symptoms and neurological causes across these forms (Theys et al., 2024), clear and systematic differences also exist among them. Non-developmental forms are typically preceded by identifiable precipitating events, such as neurological injury, psychological trauma, or medication exposure. Moreover, neurogenic stuttering tends to show greater consistency across speaking tasks and communicative contexts, whereas psychogenic stuttering may exhibit marked improvement following psychological intervention (Cruz et al., 2018; Zunic et al., 2021). For reasons of conceptual precision and interpretive clarity, the present work focuses specifically on classical developmental stuttering.\nClassical developmental stuttering is conventionally defined by its overt speech disruptions, including repetitions, prolongations, and speech blocks. While these features constitute the most recognizable clinical manifestations of the disorder, limiting the definition to speech-level phenomena alone overlooks a second, equally fundamental characteristic: situational variability. Stuttering severity is known to fluctuate substantially across speaking contexts, communicative demands, and time, a phenomenon that has been consistently documented over decades of research (Bloodstein, 1949; Shulman, 1955; Yaruss, 1997; Constantino et al., 2016; Tichenor and Yaruss, 2021; Usler, 2022; Lei et al., 2024; Rasoli Jokar et al., 2025). This marked variability has posed a persistent challenge to theoretical models of stuttering and has motivated the use of multiple speech samples across diverse contexts to obtain ecologically valid assessments of fluency (Tichenor and Yaruss, 2021). Given its central relevance, situational variability warrants explicit consideration as a core feature of developmental stuttering. The present work therefore begins by examining this phenomenon in depth, as we contend that it holds a crucial key to understanding both the emergence of stuttering and the manner in which it manifests across different speaking situations.\n\n\n### Situational variability in stuttering\nAlthough a substantial body of research has examined situational variability, many studies have relied on closely related definitions, often describing the phenomenon through brief explanations rather than a formalized definition. To enhance conceptual precision, we therefore propose a unified definition of situational variability grounded in the cumulative evidence and historical literature mentioned above. Accordingly, situational variability can be defined as any noticeable change in stuttering frequency and/or severity that occurs when an individual is exposed to different speaking situations, contexts, or tasks, as well as across time, including day-to-day variation.\nSituational variability should not be regarded as a random or unsystematic fluctuation in stuttering frequency/severity. Rather, the extensive body of research examining this phenomenon has progressively clarified its structure and components, allowing for meaningful classification of its patterns. Based on the collective findings of this literature, situational variability can be broadly divided into three categories.\nThe first of these is what we call stereotypical variability. Stereotypical variability refers to speaking situations in which a consistent and predictable pattern of stuttering behavior has been repeatedly documented. In these situations, both clinicians and PWS can reasonably anticipate whether stuttering will markedly decrease or significantly worsen in frequency and/or severity. This category can be further subdivided into two primary types.\nThe first type comprises fluency-inducing conditions, which are consistently associated with a substantial reduction in stuttering severity/frequency. These include self-talk/talking when no one is present (Bloodstein, 1949; Langová and Šváb, 1973; Jackson et al., 2021), singing (Wan et al., 2010), choral reading (Freeman and Armson, 1998; Dechamma and Maruthy, 2018; Meekings et al., 2023), and entering states of euphoria or intense focus/engagement, adopting novel or altered speech patterns, or brief episodes of emotional outburst (Usler, 2022). In such conditions, stuttering is reliably attenuated, often to a marked degree.\nThe second type includes conditions that exacerbate stuttering, which are well known to intensify stuttering severity/frequency. These typically involve heightened communicative demand or social evaluative pressure, such as speaking in front of an audience (Porter, 1939; Hahn, 1940; Moïse-Richard et al., 2021), addressing an authority figure (Sheehan et al., 1967), introducing oneself, including saying one’s own name (Usler, 2022).\nAcross both fluency-inducing and stuttering-exacerbating situations, a robust and directional change in stuttering severity is observed: improvement in the former and deterioration in the latter. Importantly, this effect appears to be broadly shared among PWS, indicating a common underlying sensitivity to these situational conditions. However, within this shared directional response, notable variability remains. For example, although nearly all participants in studies examining speaking alone demonstrate noticeable improvement in fluency, the magnitude of this improvement differs among individuals. Some reach near-complete or complete fluency, whereas others continue to stutter, albeit with reduced severity (Bloodstein, 1949; Langová and Šváb, 1973; Jackson et al., 2021). A similar pattern has been reported in choral reading; an improvement was observed in all participants; however, the magnitude of stuttering reduction varied significantly among individuals, ranging from approximately 77.6 to 99.7% (Freeman and Armson, 1998) and 90 to 100% (Dechamma and Maruthy, 2018; Meekings et al., 2023). During singing, all participants exhibited a strong reduction in stuttering, although minor inter-individual differences in improvement persisted, estimated at around 10% (Wan et al., 2010).\nThe second category, which we refer to as time variability, describes noticeable changes in stuttering frequency/severity across different temporal scales. Such variability may occur rapidly within a single day or more gradually across longer periods, including days, weeks, or even months (Yaruss, 1997; Constantino et al., 2016; Tichenor and Yaruss, 2021; Lei et al., 2024).\nThe third and final category in our classification is individual variability, which refers to the observation that different PWS may respond differently to the same speaking situation or task in terms of changes in stuttering frequency and/or severity. This category captures inter-individual differences in how situational demands influence stuttering behavior and can be further divided into three subtypes.\nThe first subtype involves a broadly similar directional response across individuals, with variability emerging primarily in magnitude rather than direction. A clear example of this pattern is observed in responses to fluency-inducing conditions, where most PWS demonstrate a marked degree of improvement, yet the extent and strength of this improvement may vary between individuals.\nThe second subtype reflects genuinely divergent responses to the same situation, whereby identical contexts or tasks elicit opposite effects across different individuals, excluding situations that are already well established as universally fluency-inducing or stuttering-exacerbating. As described by Rasoli Jokar et al. (2025), activities such as traveling or playing with peers were reported to increase stuttering severity in some children, while in others, these same activities were reported to reduce apparent stuttering severity. Similar inter-individual contrasts have also been noted in earlier work, including observations reported by Yaruss (1997).\nThe third subtype concerns variability in the qualitative characteristics of stuttering itself, both within and between individuals. Specifically, the particular sounds, syllables, or words on which stuttering occurs may differ among PWS. Moreover, within the same individual, these loci of stuttering are not fixed and may shift over time, such that previously difficult sounds or words become less problematic while new ones emerge (Tichenor and Yaruss, 2021).\nInterestingly, despite the substantial body of evidence and the critical importance of this feature, situational variability is rarely incorporated into formal definitions of stuttering in the majority of the literature. Yet this very feature has served as the foundation upon which numerous hypotheses have been constructed and, notably, the same foundation upon which many of them have been challenged or rejected. Accordingly, to unravel the mystery of stuttering, the present work deliberately begins with its most elusive feature, revisiting a long-standing question that has accompanied the field for decades: Why does stuttering appear to be situationally variable?\nWhen examining the earliest studies and hypotheses about stuttering, it is striking that many of them also began from this very phenomenon. In the work of Fletcher (1914), stuttering was shown to vary markedly with who is listening and the speaking setting (often easier in private than under scrutiny); Tompkins (1916) interpreted these shifts as fear-driven, misdirected conscious effort interfering with otherwise automatic speech and noted strong improvements in singing and unison speech; and Swift (1915) suggested a mechanistic clue in atypical conscious imagery during speaking. Taken together, these early accounts were among the first to draw attention to what would later be termed the situational variability of stuttering.\nIn recent years, several well-known hypotheses have been advanced to explain stuttering. These include the brain energy hypothesis (Alm, 2021), the speech rhythm hypothesis (Etchell et al., 2014), the striatal dysfunction hypothesis (Maguire et al., 2020), and the overreliance-on-auditory-feedback hypothesis (Civier et al., 2010). Each of these frameworks has contributed meaningful progress and has strengthened our understanding of stuttering by illuminating specific mechanisms that may be involved.\nAt the same time, none of these accounts appears to have sufficient scope to explain the full phenotype of stuttering, including situational variability across the wide range of speaking contexts discussed above. In most models, a remaining gap is almost inevitable; it may reflect contradictions in accounts of how stuttering emerges across speaking situations, an incomplete integration of established neurophysiological and neuroanatomical alterations, or a framework whose explanatory aim is restricted to a single component rather than the full clinical phenotype.\nFrom our perspective, any effort to identify the cause of stuttering should, at least in principle, account for all major stuttering phenomena and symptoms before being treated as an etiological explanation and tested empirically. In this regard, and because stuttering has a precise neurological signature, it is essential to first examine what is already established in adults who stutter (AWS) regarding brain structure and overall patterns of neural activity.\nNeuroimaging studies consistently show that AWS exhibit reliable structural and functional brain differences. Functionally, reduced activation is often observed in left hemisphere language and speech–motor regions, alongside atypical basal ganglia involvement (Maguire et al., 2020). Although activity in several cortical regions may normalize under fluency-enhancing conditions such as choral reading, striatal activity can remain abnormally low, which has been interpreted as compatible with impaired feedforward control within left hemisphere speech networks (Chang et al., 2019). Structurally, gray matter reductions have also been reported in the striatum, specifically the left caudate nucleus (Sowman et al., 2017).\nIn parallel, neuroimaging studies have reported increased recruitment of right-lateralized control and salience systems during speech in AWS, most consistently involving the right inferior frontal gyrus, anterior cingulate cortex, right dorsolateral prefrontal cortex, and right anterior insula, with additional involvement of limbic regions such as the amygdala in some reports (Chang et al., 2009; Kaganovich et al., 2010; Budde et al., 2014; Belyk et al., 2015; Neef et al., 2018; Toyomura et al., 2018; Jackson et al., 2022). Consistent with atypical sensory monitoring, AWS also show diminished pre-speech auditory suppression (Daliri and Max, 2018), and the left superior temporal gyrus often exhibits reduced activation and abnormal connectivity during natural speech, with partial normalization under fluency-enhancing conditions (Garnett et al., 2022).\nIt is noteworthy that many of the neural alterations reported in AWS appear to represent a developmental continuation of patterns already detectable in childhood. In preschool-aged children with persistent stuttering (3–5 years), Chow et al. (2023) reported reduced gray matter volume in the striatum, specifically the putamen and nucleus accumbens, slower development of the left inferior frontal gyrus, and reduced white matter volume in major tracts including the bilateral corona radiata, superior longitudinal fasciculus, and corpus callosum. These findings are consistent with broader evidence implicating the basal ganglia–thalamocortical (BGTC) loop in stuttering across studies (Sommer et al., 2002; Guenther, 2006; Kell et al., 2024; Beal et al., 2013; Foundas et al., 2013; Connally et al., 2014; Civier et al., 2015; Chang et al., 2008, 2015, 2019).\nA similar developmental continuity may also apply to right hemisphere involvement; Neef et al. (2023) reported that the right posterior inferior frontal cortex (pars opercularis) in CWS aged 3–11 shows a mixed connectivity profile, with enhanced coupling to insula and somatomotor regions implicated in motor control and inhibition, alongside weaker coupling with components of the dorsal attention network, which supports attentional and top–down cognitive regulation.\nTaken together, these investigations reveal a clearly delineated disturbance predominantly affecting the left hemisphere, particularly regions involved in speech production. However, while many of these cortical areas demonstrate context-dependent variability in activation across speaking situations, one structure stands out as unusually consistent: the striatum. Structural and functional abnormalities within the striatum have been documented as early as 3–5 years of age and appear to persist into adulthood. This continuity initially led to the assumption that stuttering arises primarily from a deficit within the left hemisphere speech production network.\nYet, such a fixed deficit alone is clearly insufficient. If stuttering were solely the consequence of a stable impairment in speech–motor regions, the pronounced phenomenon of situational variability would not be observed. The marked fluctuations in fluency across contexts indicate that stuttering cannot be reduced to a static dysfunction, even though abnormalities in left hemisphere speech regions are well established. The disorder is therefore more complex than a simple impairment of speech production mechanisms.\nThis realization prompted the exploration of alternative explanations. One early line of reasoning focused on speech rhythm (Etchell et al., 2014), motivated by the observation that stuttering often diminishes dramatically or even disappears in conditions such as singing and choral reading. These findings suggested the presence of a disrupted internal timing or rhythmic mechanism, with external rhythmic cues compensating for this deficit and thereby improving fluency. However, this hypothesis left critical questions unresolved. How, for example, can it explain the reduction of stuttering during self-speech or during moments of euphoria and intense emotional arousal?\nMore recently, Meekings et al. (2023) proposed findings indicating that during choral speech, PWS had an increased speech rhythm frequency, whereas neurotypical speakers had a decreased frequency. This opposite pattern challenges the hypothesis that PWS achieve fluency by matching their partner’s rhythm. Instead, fluency may result from the temporary suspension of compensatory strategies rather than aligning with external rhythms. Thus, fluency may not be directly dependent on rhythm imitation.\nIn an attempt to explain why stuttering decreases during self-speech and other low-pressure situations, the brain energy hypothesis was introduced (Alm, 2021). According to this view, a generalized reduction in neural energy production limits the brain’s ability to support speech under cognitively demanding or stressful conditions, whereas simpler, low-pressure contexts remain manageable (e.g., self-talk). This hypothesis offered an appealing explanation for several aspects of situational variability. However, much like the rhythm hypothesis, it encountered significant limitations. It failed to account for the absence of stuttering during singing and choral reading, as well as during euphoric or highly emotional states, contexts in which neural energy consumption would presumably be elevated. Moreover, it could not explain individual variability, whereby different individuals exhibit opposite fluency responses to the same speaking situation.\nAttention then shifted to the overreliance-on-auditory-feedback hypothesis (Civier et al., 2010). This model proposes that individuals who stutter rely excessively on auditory feedback during speech, rather than on efficient feedforward motor planning. Because auditory feedback is inherently slower than motor execution, this overdependence renders speech vulnerable to delays, hesitations, and breakdowns. While this framework successfully explains several fluency-enhancing conditions, it again falls short in critical areas. It does not adequately account for individual variability, nor does it explain the emergence of speech blocks. Furthermore, it localizes the core deficit almost exclusively to left hemisphere speech and auditory regions, while neglecting the right hemisphere overactivity.\nThis raises a critical question: is it possible to formulate a hypothesis that integrates these neural abnormalities while also offering a coherent and mechanistically plausible account of situational variability and its associated features?\n\n\n### Definition and types\nAlthough a substantial body of research has examined situational variability, many studies have relied on closely related definitions, often describing the phenomenon through brief explanations rather than a formalized definition. To enhance conceptual precision, we therefore propose a unified definition of situational variability grounded in the cumulative evidence and historical literature mentioned above. Accordingly, situational variability can be defined as any noticeable change in stuttering frequency and/or severity that occurs when an individual is exposed to different speaking situations, contexts, or tasks, as well as across time, including day-to-day variation.\nSituational variability should not be regarded as a random or unsystematic fluctuation in stuttering frequency/severity. Rather, the extensive body of research examining this phenomenon has progressively clarified its structure and components, allowing for meaningful classification of its patterns. Based on the collective findings of this literature, situational variability can be broadly divided into three categories.\nThe first of these is what we call stereotypical variability. Stereotypical variability refers to speaking situations in which a consistent and predictable pattern of stuttering behavior has been repeatedly documented. In these situations, both clinicians and PWS can reasonably anticipate whether stuttering will markedly decrease or significantly worsen in frequency and/or severity. This category can be further subdivided into two primary types.\nThe first type comprises fluency-inducing conditions, which are consistently associated with a substantial reduction in stuttering severity/frequency. These include self-talk/talking when no one is present (Bloodstein, 1949; Langová and Šváb, 1973; Jackson et al., 2021), singing (Wan et al., 2010), choral reading (Freeman and Armson, 1998; Dechamma and Maruthy, 2018; Meekings et al., 2023), and entering states of euphoria or intense focus/engagement, adopting novel or altered speech patterns, or brief episodes of emotional outburst (Usler, 2022). In such conditions, stuttering is reliably attenuated, often to a marked degree.\nThe second type includes conditions that exacerbate stuttering, which are well known to intensify stuttering severity/frequency. These typically involve heightened communicative demand or social evaluative pressure, such as speaking in front of an audience (Porter, 1939; Hahn, 1940; Moïse-Richard et al., 2021), addressing an authority figure (Sheehan et al., 1967), introducing oneself, including saying one’s own name (Usler, 2022).\nAcross both fluency-inducing and stuttering-exacerbating situations, a robust and directional change in stuttering severity is observed: improvement in the former and deterioration in the latter. Importantly, this effect appears to be broadly shared among PWS, indicating a common underlying sensitivity to these situational conditions. However, within this shared directional response, notable variability remains. For example, although nearly all participants in studies examining speaking alone demonstrate noticeable improvement in fluency, the magnitude of this improvement differs among individuals. Some reach near-complete or complete fluency, whereas others continue to stutter, albeit with reduced severity (Bloodstein, 1949; Langová and Šváb, 1973; Jackson et al., 2021). A similar pattern has been reported in choral reading; an improvement was observed in all participants; however, the magnitude of stuttering reduction varied significantly among individuals, ranging from approximately 77.6 to 99.7% (Freeman and Armson, 1998) and 90 to 100% (Dechamma and Maruthy, 2018; Meekings et al., 2023). During singing, all participants exhibited a strong reduction in stuttering, although minor inter-individual differences in improvement persisted, estimated at around 10% (Wan et al., 2010).\nThe second category, which we refer to as time variability, describes noticeable changes in stuttering frequency/severity across different temporal scales. Such variability may occur rapidly within a single day or more gradually across longer periods, including days, weeks, or even months (Yaruss, 1997; Constantino et al., 2016; Tichenor and Yaruss, 2021; Lei et al., 2024).\nThe third and final category in our classification is individual variability, which refers to the observation that different PWS may respond differently to the same speaking situation or task in terms of changes in stuttering frequency and/or severity. This category captures inter-individual differences in how situational demands influence stuttering behavior and can be further divided into three subtypes.\nThe first subtype involves a broadly similar directional response across individuals, with variability emerging primarily in magnitude rather than direction. A clear example of this pattern is observed in responses to fluency-inducing conditions, where most PWS demonstrate a marked degree of improvement, yet the extent and strength of this improvement may vary between individuals.\nThe second subtype reflects genuinely divergent responses to the same situation, whereby identical contexts or tasks elicit opposite effects across different individuals, excluding situations that are already well established as universally fluency-inducing or stuttering-exacerbating. As described by Rasoli Jokar et al. (2025), activities such as traveling or playing with peers were reported to increase stuttering severity in some children, while in others, these same activities were reported to reduce apparent stuttering severity. Similar inter-individual contrasts have also been noted in earlier work, including observations reported by Yaruss (1997).\nThe third subtype concerns variability in the qualitative characteristics of stuttering itself, both within and between individuals. Specifically, the particular sounds, syllables, or words on which stuttering occurs may differ among PWS. Moreover, within the same individual, these loci of stuttering are not fixed and may shift over time, such that previously difficult sounds or words become less problematic while new ones emerge (Tichenor and Yaruss, 2021).\nInterestingly, despite the substantial body of evidence and the critical importance of this feature, situational variability is rarely incorporated into formal definitions of stuttering in the majority of the literature. Yet this very feature has served as the foundation upon which numerous hypotheses have been constructed and, notably, the same foundation upon which many of them have been challenged or rejected. Accordingly, to unravel the mystery of stuttering, the present work deliberately begins with its most elusive feature, revisiting a long-standing question that has accompanied the field for decades: Why does stuttering appear to be situationally variable?\n\n\n### The historic question that sparked it all\nWhen examining the earliest studies and hypotheses about stuttering, it is striking that many of them also began from this very phenomenon. In the work of Fletcher (1914), stuttering was shown to vary markedly with who is listening and the speaking setting (often easier in private than under scrutiny); Tompkins (1916) interpreted these shifts as fear-driven, misdirected conscious effort interfering with otherwise automatic speech and noted strong improvements in singing and unison speech; and Swift (1915) suggested a mechanistic clue in atypical conscious imagery during speaking. Taken together, these early accounts were among the first to draw attention to what would later be termed the situational variability of stuttering.\nIn recent years, several well-known hypotheses have been advanced to explain stuttering. These include the brain energy hypothesis (Alm, 2021), the speech rhythm hypothesis (Etchell et al., 2014), the striatal dysfunction hypothesis (Maguire et al., 2020), and the overreliance-on-auditory-feedback hypothesis (Civier et al., 2010). Each of these frameworks has contributed meaningful progress and has strengthened our understanding of stuttering by illuminating specific mechanisms that may be involved.\nAt the same time, none of these accounts appears to have sufficient scope to explain the full phenotype of stuttering, including situational variability across the wide range of speaking contexts discussed above. In most models, a remaining gap is almost inevitable; it may reflect contradictions in accounts of how stuttering emerges across speaking situations, an incomplete integration of established neurophysiological and neuroanatomical alterations, or a framework whose explanatory aim is restricted to a single component rather than the full clinical phenotype.\nFrom our perspective, any effort to identify the cause of stuttering should, at least in principle, account for all major stuttering phenomena and symptoms before being treated as an etiological explanation and tested empirically. In this regard, and because stuttering has a precise neurological signature, it is essential to first examine what is already established in adults who stutter (AWS) regarding brain structure and overall patterns of neural activity.\n\n\n### Brain changes in adults and CWS\nNeuroimaging studies consistently show that AWS exhibit reliable structural and functional brain differences. Functionally, reduced activation is often observed in left hemisphere language and speech–motor regions, alongside atypical basal ganglia involvement (Maguire et al., 2020). Although activity in several cortical regions may normalize under fluency-enhancing conditions such as choral reading, striatal activity can remain abnormally low, which has been interpreted as compatible with impaired feedforward control within left hemisphere speech networks (Chang et al., 2019). Structurally, gray matter reductions have also been reported in the striatum, specifically the left caudate nucleus (Sowman et al., 2017).\nIn parallel, neuroimaging studies have reported increased recruitment of right-lateralized control and salience systems during speech in AWS, most consistently involving the right inferior frontal gyrus, anterior cingulate cortex, right dorsolateral prefrontal cortex, and right anterior insula, with additional involvement of limbic regions such as the amygdala in some reports (Chang et al., 2009; Kaganovich et al., 2010; Budde et al., 2014; Belyk et al., 2015; Neef et al., 2018; Toyomura et al., 2018; Jackson et al., 2022). Consistent with atypical sensory monitoring, AWS also show diminished pre-speech auditory suppression (Daliri and Max, 2018), and the left superior temporal gyrus often exhibits reduced activation and abnormal connectivity during natural speech, with partial normalization under fluency-enhancing conditions (Garnett et al., 2022).\nIt is noteworthy that many of the neural alterations reported in AWS appear to represent a developmental continuation of patterns already detectable in childhood. In preschool-aged children with persistent stuttering (3–5 years), Chow et al. (2023) reported reduced gray matter volume in the striatum, specifically the putamen and nucleus accumbens, slower development of the left inferior frontal gyrus, and reduced white matter volume in major tracts including the bilateral corona radiata, superior longitudinal fasciculus, and corpus callosum. These findings are consistent with broader evidence implicating the basal ganglia–thalamocortical (BGTC) loop in stuttering across studies (Sommer et al., 2002; Guenther, 2006; Kell et al., 2024; Beal et al., 2013; Foundas et al., 2013; Connally et al., 2014; Civier et al., 2015; Chang et al., 2008, 2015, 2019).\nA similar developmental continuity may also apply to right hemisphere involvement; Neef et al. (2023) reported that the right posterior inferior frontal cortex (pars opercularis) in CWS aged 3–11 shows a mixed connectivity profile, with enhanced coupling to insula and somatomotor regions implicated in motor control and inhibition, alongside weaker coupling with components of the dorsal attention network, which supports attentional and top–down cognitive regulation.\n\n\n### Contemporary hypotheses and their limits\nTaken together, these investigations reveal a clearly delineated disturbance predominantly affecting the left hemisphere, particularly regions involved in speech production. However, while many of these cortical areas demonstrate context-dependent variability in activation across speaking situations, one structure stands out as unusually consistent: the striatum. Structural and functional abnormalities within the striatum have been documented as early as 3–5 years of age and appear to persist into adulthood. This continuity initially led to the assumption that stuttering arises primarily from a deficit within the left hemisphere speech production network.\nYet, such a fixed deficit alone is clearly insufficient. If stuttering were solely the consequence of a stable impairment in speech–motor regions, the pronounced phenomenon of situational variability would not be observed. The marked fluctuations in fluency across contexts indicate that stuttering cannot be reduced to a static dysfunction, even though abnormalities in left hemisphere speech regions are well established. The disorder is therefore more complex than a simple impairment of speech production mechanisms.\nThis realization prompted the exploration of alternative explanations. One early line of reasoning focused on speech rhythm (Etchell et al., 2014), motivated by the observation that stuttering often diminishes dramatically or even disappears in conditions such as singing and choral reading. These findings suggested the presence of a disrupted internal timing or rhythmic mechanism, with external rhythmic cues compensating for this deficit and thereby improving fluency. However, this hypothesis left critical questions unresolved. How, for example, can it explain the reduction of stuttering during self-speech or during moments of euphoria and intense emotional arousal?\nMore recently, Meekings et al. (2023) proposed findings indicating that during choral speech, PWS had an increased speech rhythm frequency, whereas neurotypical speakers had a decreased frequency. This opposite pattern challenges the hypothesis that PWS achieve fluency by matching their partner’s rhythm. Instead, fluency may result from the temporary suspension of compensatory strategies rather than aligning with external rhythms. Thus, fluency may not be directly dependent on rhythm imitation.\nIn an attempt to explain why stuttering decreases during self-speech and other low-pressure situations, the brain energy hypothesis was introduced (Alm, 2021). According to this view, a generalized reduction in neural energy production limits the brain’s ability to support speech under cognitively demanding or stressful conditions, whereas simpler, low-pressure contexts remain manageable (e.g., self-talk). This hypothesis offered an appealing explanation for several aspects of situational variability. However, much like the rhythm hypothesis, it encountered significant limitations. It failed to account for the absence of stuttering during singing and choral reading, as well as during euphoric or highly emotional states, contexts in which neural energy consumption would presumably be elevated. Moreover, it could not explain individual variability, whereby different individuals exhibit opposite fluency responses to the same speaking situation.\nAttention then shifted to the overreliance-on-auditory-feedback hypothesis (Civier et al., 2010). This model proposes that individuals who stutter rely excessively on auditory feedback during speech, rather than on efficient feedforward motor planning. Because auditory feedback is inherently slower than motor execution, this overdependence renders speech vulnerable to delays, hesitations, and breakdowns. While this framework successfully explains several fluency-enhancing conditions, it again falls short in critical areas. It does not adequately account for individual variability, nor does it explain the emergence of speech blocks. Furthermore, it localizes the core deficit almost exclusively to left hemisphere speech and auditory regions, while neglecting the right hemisphere overactivity.\nThis raises a critical question: is it possible to formulate a hypothesis that integrates these neural abnormalities while also offering a coherent and mechanistically plausible account of situational variability and its associated features?\n\n\n### From neural abnormalities to situational variability: a unified hypothesis\nWe begin with the aspect of stuttering that is supported by the strongest and most consistent empirical evidence: atypical developmental changes in the left hemisphere, particularly within speech production regions and their adjacent cortical networks.\nBased on the information we have discussed regarding the evident abnormalities in the left hemisphere, particularly in the BGTC and the striatum, along with auditory regions like the LSTG, these abnormalities, regardless of their specific nature, lead to what we refer to as error signals. Error signals refer to any issues or disruptions that occur between the functioning and communication of auditory–speech–motor systems.\nDespite these abnormalities, as is evident, they seem insufficient to maintain stuttering consistently. A prominent example of this is the complete disappearance or significant reduction in stuttering when speaking to oneself or in solitude. Hence, the emergence of stuttering in situations such as public speaking, delivering an important message, or speaking to someone in authority—common scenarios for stuttering—suggests that the disruption in these regions is fundamentally weak, below the threshold required for stuttering to emerge (Brocklehurst et al., 2013).\nTherefore, for stuttering to manifest, some other component must intervene. Here, we are presented with two possibilities: either this second mechanism exceeds the threshold, triggering stuttering, or it supports a different mechanism that causes stuttering without necessarily surpassing a threshold in speech production regions.\nTo investigate this mechanism, and based on our consideration of all types of issues that may arise along the auditory–speech–motor pathway as error signals, the first question that comes to mind is how does the brain handle these error signals? How does it respond to them?\nThe brain seems to possess a specialized mechanism for detecting and correcting error signals, referred to as the self-monitoring system (SMS). The SMS, as outlined by (Nozari, 2025), Nozari et al. (2011) and Arenas (2017), a collection of cognitive and neural processes that continuously assess and regulate speech production. It identifies discrepancies between expected and actual speech outcomes by employing mechanisms such as conflict monitoring and forward models (predicting sensory feedback from speech actions). This system is crucial for ensuring fluent speech, adjusting speech plans in response to linguistic conflicts, motor planning issues, and the influence of emotional and social factors. It integrates both internal cognitive feedback and external feedback to optimize the accuracy of speech production.\nThe SMS is a continuous, automatic process that operates persistently throughout speech production. It does not activate or deactivate at specific moments but functions continuously as a natural mechanism for detecting and correcting errors. It should be viewed as an inherent, supportive system in the process of speech production, particularly within the framework of this discussion (Nozari et al., 2011).\nThis system is characterized by its distinctive ability to function primarily subconsciously, continuously tracking speech production and making automatic adjustments without conscious involvement. However, when significant errors or discrepancies are detected, the system can be upregulated to conscious awareness, allowing for intentional attention and correction of the speech output (Nozari, 2025).\nUp to this point, we have been dealing with a natural and supportive framework for speech production, where speech normally proceeds under largely subconscious control. Within this framework, conscious attention to speech can be understood as an additional strategy employed by the system to further support speech production by recruiting perceptual regions and allocating explicit attentional resources to speech.\nHowever, the salient feature emerging from the shift from subconscious to conscious processing raises a critical concern. This feature appears to be consistently present in most situations associated with an increase in stuttering and notably absent in situations where stuttering is markedly reduced or disappears.\nFor instance, in singing, attention is redirected toward music, melody, and the reformulation of speech within a new rhythmic and prosodic structure. In choral reading, attention is anchored to rhythm and temporal alignment with others’ speech. In states of euphoria or deep engagement, attentional resources are almost entirely captured by the external stimulus. Similarly, during intense emotional arousal, the system’s attentional capacity is strongly oriented toward the external emotional trigger.\nAcross all these conditions, we observe a common pattern: the conscious component of the SMS is either reassigned or “hijacked” away from speech itself, allowing error detection and correction to proceed subconsciously. Speech therefore remains fluent. In contrast, the system can be upregulated into conscious awareness in virtually all situations in which stuttering emerges: speaking in front of others, addressing authority figures, delivering an important message, self-presentation, or even stating one’s own name.\nAt first glance, this suggests that the transition from subconscious error adjustment to conscious error adjustment constitutes the core mechanism underlying the emergence of stuttering. Yet, this explanation alone is insufficient, as it fails to account for one of the most robust fluency-enhancing conditions: speaking to oneself or speaking alone. In this context, an individual may direct conscious attention to speech and still speak fluently.\nThis observation necessitates the introduction of a second critical component, which, together with conscious attention, appears to form the core mechanism governing the appearance and disappearance of stuttering. This component is social evaluation: the process by which individuals judge themselves based on perceived social standards, expectations, and feedback from others, often influencing emotions, behavior, and self-concept. Social evaluation is present in all situations where stuttering emerges and, crucially, requires the presence of one or more listeners. It is markedly reduced during choral reading, where the individual voice is masked by others. Therefore, no individual or special attention is directed toward any single person, as they are considered part of the group. It also diminishes significantly during states of euphoria, emotional intensity, or deep engagement, where awareness of the self and even the self as an entity fades. In singing, self-evaluation may still be present, yet conscious attention to error signals is largely absent, as attentional resources are fully allocated to melody and rhythm.\nThus, what appears to explain the stereotypical variability category of stuttering is the interaction between two factors: conscious error monitoring and social evaluation. Wherever these two factors co-occur, stuttering emerges. Wherever one or both are absent, stuttering is significantly reduced and may disappear entirely in certain individuals or contexts. The critical question, therefore, is what these two factors induce at the neural level? What is happening within the brain when they co-occur?\nThe error signals originating within speech production regions are initially detected by the SMS. From this point, two distinct processing routes can be identified. In route 1, in the absence of one or both factors (conscious attention and social evaluation), these signals are processed by the SMS as ordinary error signals. They are resolved either subconsciously or consciously but without the presence of social evaluative pressure. In route 2, when both factors are simultaneously present, a qualitatively different process emerges. Although the SMS still detects the same error signals, it no longer treats them as neutral error information. Instead, the co-presence of conscious attention and social evaluation forces the system to reinterpret these signals as warning signals.\nIn other words, speech context transforms error signals from neutral markers of deviation into signals imbued with threat relevance. This involves a shift from subconscious to conscious control, mediated by higher-order neural regions. This process can be summarized as follows:\nError signals → no conscious error monitoring / no social evaluation → error signals processed within monitoring system.\nError signals → social evaluation + conscious error monitoring → warning signals → recruitment of additional regions.\nIn this framework, stuttering is not the result of defective error detection per se, but rather of a context-dependent escalation of error signals into warning signals, driven by the convergence of conscious monitoring and social evaluative processing.\nThe question that follows is: what constitutes these warning signals, and how can their function be understood? In our hypothesis, warning signals are not independent signals per se, but rather a reinterpretation of error signals broadcast by the SMS, indicating that these signals carry heightened contextual significance. This heightened significance emerges when the speech context is socially or personally salient, such as during social evaluation, perceived importance of the listener, performance-related expectations, fear of failure, and the desire to avoid negative attention. Within such contexts, these cognitive and affective factors imbue error signals with emotional weight, leading the SMS to reclassify them as warning signals. These warning signals operate within a defensive framework, whereby the system attempts to recruit additional neural resources and allocate increased attentional focus in the service of caution, precision, and control, with the goal of producing fluent speech and achieving the intended communicative impression or goal of the speaker.\nTo clarify this further, specific examples can demonstrate how they impact critical operational factors, including social evaluation and conscious error monitoring.\nWhen PWS talk to someone they are comfortable with, they pay less attention to speech errors, and social evaluation indicates that it is acceptable to stutter, resulting in a notable reduction in stuttering. However, when PWS talk to that same person but need to deliver an important message or convey something precisely, they pay much more attention to speech errors, and social evaluation is heightened due to the pressure to speak correctly and fluently, leading to an increase in stuttering. In another example, at critical moments—such as a problem or an issue of great importance in the life of PWS, or speaking in front of a very important person—two scenarios may occur.\nIn the first scenario, stuttering may become extremely pronounced. The interpretation here is that attention is heavily focused on error monitoring and heightened social evaluation, which amplifies speech disruptions. In the second scenario, there may be a sudden reduction in stuttering, with speech flowing smoothly and without interruption. Our interpretation is that the speaker’s attention is fully directed toward the situation itself, while the conscious monitoring system is temporarily overridden by the external demands and context. As a result, the speaker momentarily “forgets” themselves and stops focusing on errors, engaging fully with the idea, the person, and the situation. This explains why, within the same situation, stuttering may intensify in one individual while diminishing in another. This variability largely depends on where the speaker’s attentional focus is directed; when this focus is on error monitoring and converges with social evaluation, stuttering is more likely to emerge.\nThere is a perspective that will emerge here, suggesting that these warning signals may represent the very point that reflects the assumed threshold in speech production areas and triggers the manifestation of stuttering (Brocklehurst et al., 2013). This is a reasonable view; however, there is a distinctive feature that tends to weaken this argument and cast doubt on it.\nA notable pattern emerging from clinical observations and empirical reports is that stuttering is more likely to occur on “critical” words—those that carry greater communicative importance within an utterance—rather than being randomly distributed across speech (Kaasin and Bjerkan, 1982). PWS can often produce alternative or less contextually appropriate words fluently, yet experience breakdowns precisely on the word they judge to be the “correct,” most meaningful, or most contextually appropriate response. For instance, a person may block on the straightforward request ‘Can you help me?’ yet produce a less direct and more circuitous formulation such as ‘Sorry… um… I have a question’ with relative ease.\nThis phenomenon suggests that perceived importance increases the salience of specific words within the SMS, thereby increasing the likelihood of dysfluency. It is not a coincidence that stuttering often occurs on important words—the most meaningful and relevant in the sentence—while it decreases for words of less significance in the context (Usler, 2022). This interpretation aligns with findings that PWS frequently anticipate upcoming moments of stuttering (Silverman and Williams, 1972; Jackson et al., 2018, 2020) and often engage in word substitutions or reformulations to avoid anticipated difficulty. Such avoidance is less applicable in situations where only one lexical item is appropriate, such as providing one’s name or labeling an object. In these cases, the warning signal represented by the SMS appears to be disproportionately focused on specific words rather than uniformly applied across entire sentences, transforming the target word into an anticipated “fear word.” Social evaluation pressure and conscious monitoring can amplify error signals into general warning signals. However, the involvement of cognitive, emotional, and logical processes can narrow these signals to the specific words that seem most important within a sentence. Importantly, this phenomenon does not need to occur exclusively at the moment of speaking; it can arise well in advance (Jackson et al., 2015).\nFor example, consider a person who stutters preparing to meet someone new in the coming days. They may begin to anticipate potential sources of embarrassment, such as the likelihood that the first question will be, “What is your name?” If they falter or cannot produce the answer fluently, they fear appearing socially awkward. In this scenario, higher-order cognitive and knowledge-based regions have already determined which word is most important in the sentence. Consequently, when the situation arises and the question is asked, the system is activated, generating warning signals that reflect the contextual importance, guided by the higher-order structures that previously identified the critical word. The entire attentional focus converges on that word. This mechanism can operate both in real-time during speech and in advance, as illustrated in the example above.\nThis idea has been discussed for decades within the stuttering literature. Bloodstein (1955) in his discussion of information-load accounts of stuttering, proposed that moments of low predictability in spoken sentences impose heightened uncertainty and communicative responsibility on the speaker. At such points, the speaker alone must supply essential information, increasing vulnerability to speech disruption. Consistent with this observation, words that PWS identify as feared or anticipated continue to elicit stuttering even months after the participants have identified them (Mersov et al., 2018).\nAnother important and interesting feature that has been widely discussed is that, even during moments of severe difficulty such as when asked, “What is your name?” PWS often remain capable of producing fluent but contextually inappropriate speech. For instance, they may delay providing their name by beginning with a carrier phrase such as “My name is…” and inserting a pause before producing the actual word, or they may rely on circumlocutions or offer an alternative inappropriate lexical item, such as saying another name. Another supporting example is the repetition of entire sentences or whole words. PWS may repeat a full sentence to gain access to a single target word within it. Additionally, PWS frequently adopt alternative speaking strategies to compensate for or prevent anticipated difficulty, including employing easy onset to begin speaking, using fillers or sentence starters, and interrupting the communication partner (Van Riper, 1982; Vanryckeghem et al., 2004; Arenas, 2012; van Lieshout et al., 2014; Jackson et al., 2015). This means that even during moments of speech difficulty, PWS can still produce fluent speech, and the difficulty itself appears to be focused on specific words perceived as the most appropriate or contextually relevant within the utterance.\nWhile the VRT hypothesis by Brocklehurst et al. (2013) has made a valuable contribution to the scientific understanding of stuttering, it does not fully account for several key characteristics of the disorder. Stuttering is often word-specific, disproportionately affecting socially, emotionally, or communicatively salient words, while adjacent words remain fluent or can be substituted. PWS frequently employ dynamic compensatory strategies, such as repeating entire sentences to access a single target word, inserting carrier phrases with pauses, or reformulating sentences in real time. This observation challenges the notion that the release threshold is localized solely within speech production areas. If that were the case, speakers should not be able to substitute words easily or produce contextually inappropriate alternatives fluently, and stuttering would be expected to occur more uniformly across speech rather than selectively targeting a single word while other words remain fluent at the moment of blocking or repetition.\nWhat we have reached so far is the conclusion that the warning signals act as a protective mechanism in the speech system, designed to help ensure smooth speech by recruiting other higher-level cognitive and attentional processes. However, within this recruited system, there seems to be a component that does not function normally. Instead of simply supporting speech, this component appears to behave pathologically, exploiting the very defensive mechanism meant to protect fluent speech. In doing so, it triggers the very outcome the system is trying to avoid: stuttering.\nTo understand who these recruited components are, it is first essential to define the key regions that constitute the SMS itself. Research consistently identifies the anterior cingulate cortex (ACC) (Nozari, 2025; Nozari et al., 2011) as a central and highly sensitive hub for self-monitoring, responsible for detecting conflicts and errors in ongoing behavior. In parallel, the lateral prefrontal cortex facilitates processing by directing attention toward task-relevant stimuli, thereby enhancing stimulus–response mapping (Nozari et al., 2016; Nozari, 2025). Within this framework, the dorsal portion of the right lateral prefrontal cortex (R-DLPFC) plays a crucial role in anticipatory processes, supporting planning and expectation in speech production (Jackson et al., 2022).\nFrom this standpoint, the aim is to examine the functional state of these two regions in PWS, as well as to identify other brain areas that are closely linked to self-monitoring processes and that, at the same time, exhibit abnormal activity or development in this population.\nResearch by Jackson et al. (2022) highlights a network of right hemisphere regions that play central roles in the anticipation and monitoring of stuttering. The R-DLPFC emerges as a key node within this system. It becomes hyperactive prior to the onset of speech when a person expects to stutter, reflecting the brain’s attempt to predict errors and apply cognitive control. Closely linked to this process is the ACC, which contributes to emotion regulation, decision-making, error detection, attention, and conflict monitoring. The ACC provides error signals to prefrontal regions, bridging emotional and cognitive responses during anticipated dysfluency. The R-DLPFC is part of the Frontoparietal Network (FPN) and works in coordination with the right supramarginal gyrus (R-SMG). However, under stuttering anticipation, connectivity between the R-DLPFC and R-SMG decreases, suggesting that anticipation may disrupt the stability of the network responsible for supporting fluent speech.\nIn line with these findings, Toyomura et al. (2018) provided compelling evidence that emotional circuits play a direct role in the expression of stuttering during real-life communication. Their findings showed that activity in the right amygdala was positively correlated with both the number of stuttering episodes and the level of emotional discomfort (as measured by SUD scores) during interpersonal speech tasks involving eye contact. This was the first study to directly show that amygdala activation tracks actual speech disfluencies in PWS during live communication, rather than reflecting only generalized or trait anxiety. In parallel, reduced activity has been reported in the medial prefrontal cortex in PWS. Notably, the ventromedial prefrontal cortex (vmPFC), a key subdivision of this region, plays an essential role in regulating amygdala-driven emotional responses. Findings of abnormal dopaminergic signaling in the vmPFC indicate a possible functional alteration in this regulatory pathway (Wu et al., 1997). This suggests that reduced prefrontal control fails to inhibit amygdala overactivation, allowing fear and negative emotional memories to influence ongoing speech. Toyomura et al. (2018) also reported increased activation in the right insula (R-insula) during speech tasks in PWS, a region critically involved in salience detection, interoceptive awareness, and the integration of emotional and cognitive signals relevant to self-monitoring and anticipatory control.\nTogether, these findings suggest that stuttering involves an interaction between the error monitoring networks (R-DLPFC, ACC), the integration region (R-SMG), and emotional circuits (amygdala, vmPFC, and R-insula).\nTo hypothesize how the SMS operates in PWS, it is first necessary to consider its function in fluent speakers. Two scenarios can be outlined. In the first scenario, where social evaluative pressure is absent and there is no conscious focus on speech, both fluent speakers and PWS exhibit similar SMS activity. In this context, the ACC detects error signals in speech production regions in PWS and conflict or competition signals in fluent speakers. These signals are sent from the ACC to the lateral prefrontal cortex (LPFC), which is responsible for making adjustments based on this monitoring to optimize the production process. This process occurs entirely at a subconscious level.\nThe second scenario highlights the critical differences. In the presence of social evaluation and the absence of distracting stimuli, conscious attention is directed toward speech.\nSocial evaluation is determined by higher-order cognitive regions, which engage the amygdala to assess threat-related significance and retrieve prior memories of similar socially evaluative events. In parallel, the right insula contributes to monitoring self-awareness and reflecting on interoceptive bodily sensations associated with social stress. Once a socially evaluative context is established, these higher cortical regions, together with the amygdala and insula, interact with the SMS to mediate the transition from subconscious, automatic speech error monitoring to conscious error detection. Following this transition, the SMS amplifies error-related signals as warning signals, prompting the recruitment of additional neural resources to support speech production. Among the key regions involved in this compensatory process are control, inhibitory, and conflict-monitoring regions, particularly the pre-supplementary motor area (pre-SMA) and the right inferior frontal gyrus (rIFG) (Aron et al., 2016).\nFluent speakers in such situations, when exposed to social evaluation and following the shift of self-monitoring from a subconscious to a conscious process, recruit both the pre-SMA and the rIFG to support speech production. Under these conditions, the pre-SMA plays a particularly prominent role, as it is involved in processing conflict signals and engaging inhibitory control mechanisms, which can slow or delay speech output until the conflict is resolved (Aron et al., 2016).\nIn PWS, under such socially demanding situations, the process begins with the presence of clear error signals within the auditory–speech–motor systems. Although these signals alone are not sufficient to cause stuttering, they are highly salient. Consequently, the SMS becomes overactive in PWS (Arnstein et al., 2011; Arenas, 2017), a response that aligns with its fundamental role in error monitoring.\nThe persistence of these error signals leads to increasingly intense engagement of the SMS, thereby amplifying its overall activity. This heightened engagement becomes particularly evident during the anticipation phase, when the speaker prepares for upcoming speech, such as during a lecture, classroom discussion, meeting, or job presentation.\nAt the same time, higher-order cognitive regions, together with the amygdala and the insula, evaluate the social situation. The amygdala, in particular, appears to be overactive in PWS, likely due to repeated negative social experiences such as embarrassment and perceived social failure. These experiences condition the amygdala to interpret social situations as threats to personal value and social identity. This process, in turn, contributes to marked hyperactivity in the right insula, a region critically involved in self-awareness and the monitoring of bodily sensations.\nThese limbic and higher-order cognitive structures interact with the SMS to mediate a transition toward conscious error monitoring, even before speech initiation. This transition triggers the anticipation process, which is largely guided by the right dorsolateral prefrontal cortex (R-DLPFC), along with the coordinated involvement of the ACC, amygdala, insula, and other higher cognitive regions. Together, these areas work to identify the most important words in the upcoming utterance, as well as those perceived as most difficult. PWS can recognize “fear words” likely to provoke stuttering even before speaking (Arenas, 2012; Jackson et al., 2015; Jackson et al., 2018).\nThrough this interaction, warning signals are generated and distributed across the system. Importantly, these warning signals are not global, but rather specifically tied to particular words that the system has identified as critical or threatening. While the emotional responses produced by the amygdala and associated regions are relatively general (e.g., anxiety and tension), the warning signals themselves become sharply focused on the specific word that the speaker is about to produce, the word perceived as most difficult and accompanied by a pronounced increase in amygdala activity and emotional arousal.\nIn this state, the SMS recruits additional neural regions for support, most prominently the pre-SMA and the rIFG. However, despite this compensatory recruitment, the system ultimately fails to stabilize fluent speech, and stuttering emerges. This outcome suggests that at least one of the recruited regions, rather than facilitating fluent production in a normal manner, becomes maladaptively involved in the emergence of the stuttering behavior itself.\nDuring stuttering events, the same mechanism occurs but at a much faster pace. Considering that there is no specific threshold in speech production areas for the onset of stuttering, the question arises: which structure is responsible for triggering it? The pre-SMA is an intuitive candidate; however, it primarily responds to conflict signals rather than warning signals (Aron et al., 2016). Warning signals, in contrast, are not conflict-based; they are alerting signals that recruit other regions to facilitate fluent speech. Conflict signals may be minor and processed subconsciously, or major and represent hesitation between options, which is not the case in stuttering. Hesitation in PWS is typically a consequence, not a cause, such as selecting an alternative word when a target word is difficult. PWS demonstrate linguistic flexibility, attempting different speech initiations, using preambles, or substituting words. Therefore, stuttering does not reflect conflict but rather a genuine inability to produce a specific word.\nAnother factor that may contribute is the weakened connectivity between the R-DLPFC and the right supramarginal gyrus (R-SMG). This disruption could result from situational pressure (fear and stress), particularly amygdala-driven, with potential modulation deficits in the vmPFC, which normally regulates amygdala activity. Alternatively, this weakened R-DLPFC–R-SMG connectivity may itself represent the actual warning signal elevated by the system. This leads to a secondary hypothesis: the lateral PFC may fail under pressure to correct speech. However, this mechanism has only been reported once and requires further investigation. Moreover, fluent speech remains possible when a difficult word is replaced by another, suggesting that the involvement of R-DLPFC–R-SMG disruption may be unlikely. If situational pressure were the primary factor causing disrupted connectivity between these regions or reducing the threshold for the onset of stuttering, pharmacological interventions aimed at reducing anxiety and tension would be expected to exert a strong and consistent effect. Contrary to this expectation, such interventions have not demonstrated substantial efficacy (Molt, 1998). In contrast, the mere cognitive acceptance of stuttering, acknowledging it and adopting a mindset of living with it, has been shown to reduce stuttering severity to some extent (Boyle, 2011; Moreno-Jiménez et al., 2021; Israel et al., 2023). This effect appears to arise primarily through two mechanisms: first, by decreasing conscious focus on stuttering, and second, by alleviating the social pressure associated with self-acceptance. Together, these processes may contribute to a reduction in the generation and dissemination of warning signals by the SMS. Thus, stuttering appears to arise from a mechanism beyond general anxiety or tension.\nWhen these structures are examined closely (SMS, amygdala, and insula), they represent a fundamentally normal and adaptive response of systems responsible for self-monitoring. There is, therefore, nothing inherently abnormal or pathological in this process. Even in cases of overactive self-monitoring in PWS (Arnstein et al., 2011; Arenas, 2017), the presence of error signals within speech-related regions compels this system to increase its sensitivity toward those signals. Such hyper-responsiveness/activity should be understood as a compensatory reaction, an attempt by the system to manage these error signals by recruiting regions with higher analytical and regulatory capacities. The overactivity of the amygdala can be explained in a similar manner.\nPostma and Kolk (1992) showed no significant differences between PWS and those who do not in error detection accuracy, speed, or false alarm rates during self-produced speech with normal or masked auditory feedback. However, PWS detected fewer errors in speech produced by others, suggesting a potential phonological issue.\n\n\n### The consistent theme across all experiences\nWe begin with the aspect of stuttering that is supported by the strongest and most consistent empirical evidence: atypical developmental changes in the left hemisphere, particularly within speech production regions and their adjacent cortical networks.\nBased on the information we have discussed regarding the evident abnormalities in the left hemisphere, particularly in the BGTC and the striatum, along with auditory regions like the LSTG, these abnormalities, regardless of their specific nature, lead to what we refer to as error signals. Error signals refer to any issues or disruptions that occur between the functioning and communication of auditory–speech–motor systems.\nDespite these abnormalities, as is evident, they seem insufficient to maintain stuttering consistently. A prominent example of this is the complete disappearance or significant reduction in stuttering when speaking to oneself or in solitude. Hence, the emergence of stuttering in situations such as public speaking, delivering an important message, or speaking to someone in authority—common scenarios for stuttering—suggests that the disruption in these regions is fundamentally weak, below the threshold required for stuttering to emerge (Brocklehurst et al., 2013).\nTherefore, for stuttering to manifest, some other component must intervene. Here, we are presented with two possibilities: either this second mechanism exceeds the threshold, triggering stuttering, or it supports a different mechanism that causes stuttering without necessarily surpassing a threshold in speech production regions.\nTo investigate this mechanism, and based on our consideration of all types of issues that may arise along the auditory–speech–motor pathway as error signals, the first question that comes to mind is how does the brain handle these error signals? How does it respond to them?\n\n\n### The self-monitoring system as the brain’s error-handling mechanism\nThe brain seems to possess a specialized mechanism for detecting and correcting error signals, referred to as the self-monitoring system (SMS). The SMS, as outlined by (Nozari, 2025), Nozari et al. (2011) and Arenas (2017), a collection of cognitive and neural processes that continuously assess and regulate speech production. It identifies discrepancies between expected and actual speech outcomes by employing mechanisms such as conflict monitoring and forward models (predicting sensory feedback from speech actions). This system is crucial for ensuring fluent speech, adjusting speech plans in response to linguistic conflicts, motor planning issues, and the influence of emotional and social factors. It integrates both internal cognitive feedback and external feedback to optimize the accuracy of speech production.\nThe SMS is a continuous, automatic process that operates persistently throughout speech production. It does not activate or deactivate at specific moments but functions continuously as a natural mechanism for detecting and correcting errors. It should be viewed as an inherent, supportive system in the process of speech production, particularly within the framework of this discussion (Nozari et al., 2011).\nThis system is characterized by its distinctive ability to function primarily subconsciously, continuously tracking speech production and making automatic adjustments without conscious involvement. However, when significant errors or discrepancies are detected, the system can be upregulated to conscious awareness, allowing for intentional attention and correction of the speech output (Nozari, 2025).\nUp to this point, we have been dealing with a natural and supportive framework for speech production, where speech normally proceeds under largely subconscious control. Within this framework, conscious attention to speech can be understood as an additional strategy employed by the system to further support speech production by recruiting perceptual regions and allocating explicit attentional resources to speech.\nHowever, the salient feature emerging from the shift from subconscious to conscious processing raises a critical concern. This feature appears to be consistently present in most situations associated with an increase in stuttering and notably absent in situations where stuttering is markedly reduced or disappears.\nFor instance, in singing, attention is redirected toward music, melody, and the reformulation of speech within a new rhythmic and prosodic structure. In choral reading, attention is anchored to rhythm and temporal alignment with others’ speech. In states of euphoria or deep engagement, attentional resources are almost entirely captured by the external stimulus. Similarly, during intense emotional arousal, the system’s attentional capacity is strongly oriented toward the external emotional trigger.\nAcross all these conditions, we observe a common pattern: the conscious component of the SMS is either reassigned or “hijacked” away from speech itself, allowing error detection and correction to proceed subconsciously. Speech therefore remains fluent. In contrast, the system can be upregulated into conscious awareness in virtually all situations in which stuttering emerges: speaking in front of others, addressing authority figures, delivering an important message, self-presentation, or even stating one’s own name.\nAt first glance, this suggests that the transition from subconscious error adjustment to conscious error adjustment constitutes the core mechanism underlying the emergence of stuttering. Yet, this explanation alone is insufficient, as it fails to account for one of the most robust fluency-enhancing conditions: speaking to oneself or speaking alone. In this context, an individual may direct conscious attention to speech and still speak fluently.\nThis observation necessitates the introduction of a second critical component, which, together with conscious attention, appears to form the core mechanism governing the appearance and disappearance of stuttering. This component is social evaluation: the process by which individuals judge themselves based on perceived social standards, expectations, and feedback from others, often influencing emotions, behavior, and self-concept. Social evaluation is present in all situations where stuttering emerges and, crucially, requires the presence of one or more listeners. It is markedly reduced during choral reading, where the individual voice is masked by others. Therefore, no individual or special attention is directed toward any single person, as they are considered part of the group. It also diminishes significantly during states of euphoria, emotional intensity, or deep engagement, where awareness of the self and even the self as an entity fades. In singing, self-evaluation may still be present, yet conscious attention to error signals is largely absent, as attentional resources are fully allocated to melody and rhythm.\nThus, what appears to explain the stereotypical variability category of stuttering is the interaction between two factors: conscious error monitoring and social evaluation. Wherever these two factors co-occur, stuttering emerges. Wherever one or both are absent, stuttering is significantly reduced and may disappear entirely in certain individuals or contexts. The critical question, therefore, is what these two factors induce at the neural level? What is happening within the brain when they co-occur?\n\n\n### Neural-level interpretation\nThe error signals originating within speech production regions are initially detected by the SMS. From this point, two distinct processing routes can be identified. In route 1, in the absence of one or both factors (conscious attention and social evaluation), these signals are processed by the SMS as ordinary error signals. They are resolved either subconsciously or consciously but without the presence of social evaluative pressure. In route 2, when both factors are simultaneously present, a qualitatively different process emerges. Although the SMS still detects the same error signals, it no longer treats them as neutral error information. Instead, the co-presence of conscious attention and social evaluation forces the system to reinterpret these signals as warning signals.\nIn other words, speech context transforms error signals from neutral markers of deviation into signals imbued with threat relevance. This involves a shift from subconscious to conscious control, mediated by higher-order neural regions. This process can be summarized as follows:\nError signals → no conscious error monitoring / no social evaluation → error signals processed within monitoring system.\nError signals → social evaluation + conscious error monitoring → warning signals → recruitment of additional regions.\nIn this framework, stuttering is not the result of defective error detection per se, but rather of a context-dependent escalation of error signals into warning signals, driven by the convergence of conscious monitoring and social evaluative processing.\nThe question that follows is: what constitutes these warning signals, and how can their function be understood? In our hypothesis, warning signals are not independent signals per se, but rather a reinterpretation of error signals broadcast by the SMS, indicating that these signals carry heightened contextual significance. This heightened significance emerges when the speech context is socially or personally salient, such as during social evaluation, perceived importance of the listener, performance-related expectations, fear of failure, and the desire to avoid negative attention. Within such contexts, these cognitive and affective factors imbue error signals with emotional weight, leading the SMS to reclassify them as warning signals. These warning signals operate within a defensive framework, whereby the system attempts to recruit additional neural resources and allocate increased attentional focus in the service of caution, precision, and control, with the goal of producing fluent speech and achieving the intended communicative impression or goal of the speaker.\nTo clarify this further, specific examples can demonstrate how they impact critical operational factors, including social evaluation and conscious error monitoring.\nWhen PWS talk to someone they are comfortable with, they pay less attention to speech errors, and social evaluation indicates that it is acceptable to stutter, resulting in a notable reduction in stuttering. However, when PWS talk to that same person but need to deliver an important message or convey something precisely, they pay much more attention to speech errors, and social evaluation is heightened due to the pressure to speak correctly and fluently, leading to an increase in stuttering. In another example, at critical moments—such as a problem or an issue of great importance in the life of PWS, or speaking in front of a very important person—two scenarios may occur.\nIn the first scenario, stuttering may become extremely pronounced. The interpretation here is that attention is heavily focused on error monitoring and heightened social evaluation, which amplifies speech disruptions. In the second scenario, there may be a sudden reduction in stuttering, with speech flowing smoothly and without interruption. Our interpretation is that the speaker’s attention is fully directed toward the situation itself, while the conscious monitoring system is temporarily overridden by the external demands and context. As a result, the speaker momentarily “forgets” themselves and stops focusing on errors, engaging fully with the idea, the person, and the situation. This explains why, within the same situation, stuttering may intensify in one individual while diminishing in another. This variability largely depends on where the speaker’s attentional focus is directed; when this focus is on error monitoring and converges with social evaluation, stuttering is more likely to emerge.\n\n\n### Why threshold explanations remain insufficient\nThere is a perspective that will emerge here, suggesting that these warning signals may represent the very point that reflects the assumed threshold in speech production areas and triggers the manifestation of stuttering (Brocklehurst et al., 2013). This is a reasonable view; however, there is a distinctive feature that tends to weaken this argument and cast doubt on it.\nA notable pattern emerging from clinical observations and empirical reports is that stuttering is more likely to occur on “critical” words—those that carry greater communicative importance within an utterance—rather than being randomly distributed across speech (Kaasin and Bjerkan, 1982). PWS can often produce alternative or less contextually appropriate words fluently, yet experience breakdowns precisely on the word they judge to be the “correct,” most meaningful, or most contextually appropriate response. For instance, a person may block on the straightforward request ‘Can you help me?’ yet produce a less direct and more circuitous formulation such as ‘Sorry… um… I have a question’ with relative ease.\nThis phenomenon suggests that perceived importance increases the salience of specific words within the SMS, thereby increasing the likelihood of dysfluency. It is not a coincidence that stuttering often occurs on important words—the most meaningful and relevant in the sentence—while it decreases for words of less significance in the context (Usler, 2022). This interpretation aligns with findings that PWS frequently anticipate upcoming moments of stuttering (Silverman and Williams, 1972; Jackson et al., 2018, 2020) and often engage in word substitutions or reformulations to avoid anticipated difficulty. Such avoidance is less applicable in situations where only one lexical item is appropriate, such as providing one’s name or labeling an object. In these cases, the warning signal represented by the SMS appears to be disproportionately focused on specific words rather than uniformly applied across entire sentences, transforming the target word into an anticipated “fear word.” Social evaluation pressure and conscious monitoring can amplify error signals into general warning signals. However, the involvement of cognitive, emotional, and logical processes can narrow these signals to the specific words that seem most important within a sentence. Importantly, this phenomenon does not need to occur exclusively at the moment of speaking; it can arise well in advance (Jackson et al., 2015).\nFor example, consider a person who stutters preparing to meet someone new in the coming days. They may begin to anticipate potential sources of embarrassment, such as the likelihood that the first question will be, “What is your name?” If they falter or cannot produce the answer fluently, they fear appearing socially awkward. In this scenario, higher-order cognitive and knowledge-based regions have already determined which word is most important in the sentence. Consequently, when the situation arises and the question is asked, the system is activated, generating warning signals that reflect the contextual importance, guided by the higher-order structures that previously identified the critical word. The entire attentional focus converges on that word. This mechanism can operate both in real-time during speech and in advance, as illustrated in the example above.\nThis idea has been discussed for decades within the stuttering literature. Bloodstein (1955) in his discussion of information-load accounts of stuttering, proposed that moments of low predictability in spoken sentences impose heightened uncertainty and communicative responsibility on the speaker. At such points, the speaker alone must supply essential information, increasing vulnerability to speech disruption. Consistent with this observation, words that PWS identify as feared or anticipated continue to elicit stuttering even months after the participants have identified them (Mersov et al., 2018).\nAnother important and interesting feature that has been widely discussed is that, even during moments of severe difficulty such as when asked, “What is your name?” PWS often remain capable of producing fluent but contextually inappropriate speech. For instance, they may delay providing their name by beginning with a carrier phrase such as “My name is…” and inserting a pause before producing the actual word, or they may rely on circumlocutions or offer an alternative inappropriate lexical item, such as saying another name. Another supporting example is the repetition of entire sentences or whole words. PWS may repeat a full sentence to gain access to a single target word within it. Additionally, PWS frequently adopt alternative speaking strategies to compensate for or prevent anticipated difficulty, including employing easy onset to begin speaking, using fillers or sentence starters, and interrupting the communication partner (Van Riper, 1982; Vanryckeghem et al., 2004; Arenas, 2012; van Lieshout et al., 2014; Jackson et al., 2015). This means that even during moments of speech difficulty, PWS can still produce fluent speech, and the difficulty itself appears to be focused on specific words perceived as the most appropriate or contextually relevant within the utterance.\nWhile the VRT hypothesis by Brocklehurst et al. (2013) has made a valuable contribution to the scientific understanding of stuttering, it does not fully account for several key characteristics of the disorder. Stuttering is often word-specific, disproportionately affecting socially, emotionally, or communicatively salient words, while adjacent words remain fluent or can be substituted. PWS frequently employ dynamic compensatory strategies, such as repeating entire sentences to access a single target word, inserting carrier phrases with pauses, or reformulating sentences in real time. This observation challenges the notion that the release threshold is localized solely within speech production areas. If that were the case, speakers should not be able to substitute words easily or produce contextually inappropriate alternatives fluently, and stuttering would be expected to occur more uniformly across speech rather than selectively targeting a single word while other words remain fluent at the moment of blocking or repetition.\nWhat we have reached so far is the conclusion that the warning signals act as a protective mechanism in the speech system, designed to help ensure smooth speech by recruiting other higher-level cognitive and attentional processes. However, within this recruited system, there seems to be a component that does not function normally. Instead of simply supporting speech, this component appears to behave pathologically, exploiting the very defensive mechanism meant to protect fluent speech. In doing so, it triggers the very outcome the system is trying to avoid: stuttering.\n\n\n### Neural mechanisms of anticipation and error monitoring of stuttering\nTo understand who these recruited components are, it is first essential to define the key regions that constitute the SMS itself. Research consistently identifies the anterior cingulate cortex (ACC) (Nozari, 2025; Nozari et al., 2011) as a central and highly sensitive hub for self-monitoring, responsible for detecting conflicts and errors in ongoing behavior. In parallel, the lateral prefrontal cortex facilitates processing by directing attention toward task-relevant stimuli, thereby enhancing stimulus–response mapping (Nozari et al., 2016; Nozari, 2025). Within this framework, the dorsal portion of the right lateral prefrontal cortex (R-DLPFC) plays a crucial role in anticipatory processes, supporting planning and expectation in speech production (Jackson et al., 2022).\nFrom this standpoint, the aim is to examine the functional state of these two regions in PWS, as well as to identify other brain areas that are closely linked to self-monitoring processes and that, at the same time, exhibit abnormal activity or development in this population.\nResearch by Jackson et al. (2022) highlights a network of right hemisphere regions that play central roles in the anticipation and monitoring of stuttering. The R-DLPFC emerges as a key node within this system. It becomes hyperactive prior to the onset of speech when a person expects to stutter, reflecting the brain’s attempt to predict errors and apply cognitive control. Closely linked to this process is the ACC, which contributes to emotion regulation, decision-making, error detection, attention, and conflict monitoring. The ACC provides error signals to prefrontal regions, bridging emotional and cognitive responses during anticipated dysfluency. The R-DLPFC is part of the Frontoparietal Network (FPN) and works in coordination with the right supramarginal gyrus (R-SMG). However, under stuttering anticipation, connectivity between the R-DLPFC and R-SMG decreases, suggesting that anticipation may disrupt the stability of the network responsible for supporting fluent speech.\nIn line with these findings, Toyomura et al. (2018) provided compelling evidence that emotional circuits play a direct role in the expression of stuttering during real-life communication. Their findings showed that activity in the right amygdala was positively correlated with both the number of stuttering episodes and the level of emotional discomfort (as measured by SUD scores) during interpersonal speech tasks involving eye contact. This was the first study to directly show that amygdala activation tracks actual speech disfluencies in PWS during live communication, rather than reflecting only generalized or trait anxiety. In parallel, reduced activity has been reported in the medial prefrontal cortex in PWS. Notably, the ventromedial prefrontal cortex (vmPFC), a key subdivision of this region, plays an essential role in regulating amygdala-driven emotional responses. Findings of abnormal dopaminergic signaling in the vmPFC indicate a possible functional alteration in this regulatory pathway (Wu et al., 1997). This suggests that reduced prefrontal control fails to inhibit amygdala overactivation, allowing fear and negative emotional memories to influence ongoing speech. Toyomura et al. (2018) also reported increased activation in the right insula (R-insula) during speech tasks in PWS, a region critically involved in salience detection, interoceptive awareness, and the integration of emotional and cognitive signals relevant to self-monitoring and anticipatory control.\nTogether, these findings suggest that stuttering involves an interaction between the error monitoring networks (R-DLPFC, ACC), the integration region (R-SMG), and emotional circuits (amygdala, vmPFC, and R-insula).\n\n\n### Mapping the self-monitoring system in PWS\nTo hypothesize how the SMS operates in PWS, it is first necessary to consider its function in fluent speakers. Two scenarios can be outlined. In the first scenario, where social evaluative pressure is absent and there is no conscious focus on speech, both fluent speakers and PWS exhibit similar SMS activity. In this context, the ACC detects error signals in speech production regions in PWS and conflict or competition signals in fluent speakers. These signals are sent from the ACC to the lateral prefrontal cortex (LPFC), which is responsible for making adjustments based on this monitoring to optimize the production process. This process occurs entirely at a subconscious level.\nThe second scenario highlights the critical differences. In the presence of social evaluation and the absence of distracting stimuli, conscious attention is directed toward speech.\nSocial evaluation is determined by higher-order cognitive regions, which engage the amygdala to assess threat-related significance and retrieve prior memories of similar socially evaluative events. In parallel, the right insula contributes to monitoring self-awareness and reflecting on interoceptive bodily sensations associated with social stress. Once a socially evaluative context is established, these higher cortical regions, together with the amygdala and insula, interact with the SMS to mediate the transition from subconscious, automatic speech error monitoring to conscious error detection. Following this transition, the SMS amplifies error-related signals as warning signals, prompting the recruitment of additional neural resources to support speech production. Among the key regions involved in this compensatory process are control, inhibitory, and conflict-monitoring regions, particularly the pre-supplementary motor area (pre-SMA) and the right inferior frontal gyrus (rIFG) (Aron et al., 2016).\nFluent speakers in such situations, when exposed to social evaluation and following the shift of self-monitoring from a subconscious to a conscious process, recruit both the pre-SMA and the rIFG to support speech production. Under these conditions, the pre-SMA plays a particularly prominent role, as it is involved in processing conflict signals and engaging inhibitory control mechanisms, which can slow or delay speech output until the conflict is resolved (Aron et al., 2016).\nIn PWS, under such socially demanding situations, the process begins with the presence of clear error signals within the auditory–speech–motor systems. Although these signals alone are not sufficient to cause stuttering, they are highly salient. Consequently, the SMS becomes overactive in PWS (Arnstein et al., 2011; Arenas, 2017), a response that aligns with its fundamental role in error monitoring.\nThe persistence of these error signals leads to increasingly intense engagement of the SMS, thereby amplifying its overall activity. This heightened engagement becomes particularly evident during the anticipation phase, when the speaker prepares for upcoming speech, such as during a lecture, classroom discussion, meeting, or job presentation.\nAt the same time, higher-order cognitive regions, together with the amygdala and the insula, evaluate the social situation. The amygdala, in particular, appears to be overactive in PWS, likely due to repeated negative social experiences such as embarrassment and perceived social failure. These experiences condition the amygdala to interpret social situations as threats to personal value and social identity. This process, in turn, contributes to marked hyperactivity in the right insula, a region critically involved in self-awareness and the monitoring of bodily sensations.\nThese limbic and higher-order cognitive structures interact with the SMS to mediate a transition toward conscious error monitoring, even before speech initiation. This transition triggers the anticipation process, which is largely guided by the right dorsolateral prefrontal cortex (R-DLPFC), along with the coordinated involvement of the ACC, amygdala, insula, and other higher cognitive regions. Together, these areas work to identify the most important words in the upcoming utterance, as well as those perceived as most difficult. PWS can recognize “fear words” likely to provoke stuttering even before speaking (Arenas, 2012; Jackson et al., 2015; Jackson et al., 2018).\nThrough this interaction, warning signals are generated and distributed across the system. Importantly, these warning signals are not global, but rather specifically tied to particular words that the system has identified as critical or threatening. While the emotional responses produced by the amygdala and associated regions are relatively general (e.g., anxiety and tension), the warning signals themselves become sharply focused on the specific word that the speaker is about to produce, the word perceived as most difficult and accompanied by a pronounced increase in amygdala activity and emotional arousal.\nIn this state, the SMS recruits additional neural regions for support, most prominently the pre-SMA and the rIFG. However, despite this compensatory recruitment, the system ultimately fails to stabilize fluent speech, and stuttering emerges. This outcome suggests that at least one of the recruited regions, rather than facilitating fluent production in a normal manner, becomes maladaptively involved in the emergence of the stuttering behavior itself.\nDuring stuttering events, the same mechanism occurs but at a much faster pace. Considering that there is no specific threshold in speech production areas for the onset of stuttering, the question arises: which structure is responsible for triggering it? The pre-SMA is an intuitive candidate; however, it primarily responds to conflict signals rather than warning signals (Aron et al., 2016). Warning signals, in contrast, are not conflict-based; they are alerting signals that recruit other regions to facilitate fluent speech. Conflict signals may be minor and processed subconsciously, or major and represent hesitation between options, which is not the case in stuttering. Hesitation in PWS is typically a consequence, not a cause, such as selecting an alternative word when a target word is difficult. PWS demonstrate linguistic flexibility, attempting different speech initiations, using preambles, or substituting words. Therefore, stuttering does not reflect conflict but rather a genuine inability to produce a specific word.\nAnother factor that may contribute is the weakened connectivity between the R-DLPFC and the right supramarginal gyrus (R-SMG). This disruption could result from situational pressure (fear and stress), particularly amygdala-driven, with potential modulation deficits in the vmPFC, which normally regulates amygdala activity. Alternatively, this weakened R-DLPFC–R-SMG connectivity may itself represent the actual warning signal elevated by the system. This leads to a secondary hypothesis: the lateral PFC may fail under pressure to correct speech. However, this mechanism has only been reported once and requires further investigation. Moreover, fluent speech remains possible when a difficult word is replaced by another, suggesting that the involvement of R-DLPFC–R-SMG disruption may be unlikely. If situational pressure were the primary factor causing disrupted connectivity between these regions or reducing the threshold for the onset of stuttering, pharmacological interventions aimed at reducing anxiety and tension would be expected to exert a strong and consistent effect. Contrary to this expectation, such interventions have not demonstrated substantial efficacy (Molt, 1998). In contrast, the mere cognitive acceptance of stuttering, acknowledging it and adopting a mindset of living with it, has been shown to reduce stuttering severity to some extent (Boyle, 2011; Moreno-Jiménez et al., 2021; Israel et al., 2023). This effect appears to arise primarily through two mechanisms: first, by decreasing conscious focus on stuttering, and second, by alleviating the social pressure associated with self-acceptance. Together, these processes may contribute to a reduction in the generation and dissemination of warning signals by the SMS. Thus, stuttering appears to arise from a mechanism beyond general anxiety or tension.\nWhen these structures are examined closely (SMS, amygdala, and insula), they represent a fundamentally normal and adaptive response of systems responsible for self-monitoring. There is, therefore, nothing inherently abnormal or pathological in this process. Even in cases of overactive self-monitoring in PWS (Arnstein et al., 2011; Arenas, 2017), the presence of error signals within speech-related regions compels this system to increase its sensitivity toward those signals. Such hyper-responsiveness/activity should be understood as a compensatory reaction, an attempt by the system to manage these error signals by recruiting regions with higher analytical and regulatory capacities. The overactivity of the amygdala can be explained in a similar manner.\nPostma and Kolk (1992) showed no significant differences between PWS and those who do not in error detection accuracy, speed, or false alarm rates during self-produced speech with normal or masked auditory feedback. However, PWS detected fewer errors in speech produced by others, suggesting a potential phonological issue.\n\n\n### A dominant neural contributor to the emergence of stuttering\nFrom this perspective, both the speech production regions and the SMS appear, according to our hypothesis, to be largely not directly responsible for the generation of stuttering symptoms.\nIdentifying the specific structure responsible for stuttering symptoms requires defining the necessary conditions that indicate it as the origin of stuttering. These conditions form the criteria for investigating its neural basis. Such a structure must satisfy four critical conditions. First, it must be strongly and functionally connected to speech production regions. Second, it must be directly linked to the SMS and capable of receiving its signals. Third, this structure must exhibit a pronounced sensitivity to the SMS’s warning signals, such that it exploits the heightened monitoring state to actively suppress speech, specifically targeting the words and utterances that the SMS has flagged for increased scrutiny. Finally, this structure must demonstrate atypical development or functional alterations beginning early in childhood, coinciding with the onset of the disorder.\nThe region that most convincingly fulfills all of these conditions is the right inferior frontal gyrus (rIFG).\nAnatomically, the rIFG is part of the right prefrontal cortex and is widely implicated in inhibitory control and response suppression as a key component of right-lateralized control networks (Aron et al., 2004, 2014). However, converging evidence indicates that the rIFG is a key component of the inhibitory network and that it operates within a broader distributed system rather than serving as its singular central locus (Hampshire et al., 2010; Choo et al., 2022). In addition, the rIFG also supports broader functions beyond inhibition. For example, a voxel-wise meta-analysis of temporal processing identified the rIFG (with SMA) as a consistent component across timing conditions, motivating its inclusion in a putative “core timing network” (Wiener et al., 2010). In addition, Hampshire et al. (2009) demonstrated tight target tuning in the rIFG, showing selective responding to the currently defined target over distractors, consistent with a role in goal-dependent selection rather than inhibition alone. In line with this broader framing, the present literature implicates the rIFG in executive functions such as adaptive attentional control, target selection, attentional switching, and memory-related control and retrieval (Duncan and Owen, 2000; Wagner et al., 2001; Anderson et al., 2004; Hon et al., 2006; Hampshire et al., 2007, 2008, 2010). Some recent studies have started linking the rIFG to depression (Rolls et al., 2020).\nThis functional diversity has motivated accounts linking the rIFG to SMS, and in the literature, it is often discussed in relation to the cognitive control network and the behavioral inhibition system (BIS) (Usler, 2022). Importantly, the rIFG is not only embedded in multiple cortical networks, but it also shows principled connectivity with speech-relevant cortico–basal ganglia circuits via two pathways: an indirect cortico-striatal pathway (rIFG→caudate/striatum, expressed through basal ganglia channel dynamics) and a fast hyperdirect pathway (HDP) linking the rIFG to STN, often framed as a global brake/broad pause mechanism (Jahfari et al., 2011; Aron et al., 2016; Chen et al., 2020).\nWhile a consistent body of research, including studies by Chang et al. (2008, 2015, 2019) and Chow et al. (2023), has not consistently identified significant abnormalities in the development of gray and white matter in the rIFG in CWS, suggesting relatively preserved structural development, Beal et al. (2013) suggested that reduced gray matter volume in the rIFG may be present, particularly in relation to greater stuttering severity; however, what appears to be more affected is the connectivity of this area. Specifically, Neef et al. (2023) reported that the pars opercularis (the most prominent part of the rIFG, which plays a crucial role in functions related to executive control, language processing, and inhibition) in CWS aged 3–11 shows a mixed connectivity profile, with enhanced coupling to insula and somatomotor regions implicated in motor control and inhibition, alongside weaker coupling with components of the dorsal attention network, which supports attentional and top–down cognitive regulation.\nThe weaker coupling of the rIFG with components of the dorsal attention network suggests a concerning implication: the rIFG’s impaired connection with these areas may lead to difficulty in processing warning signals, particularly those associated with language and speech processing, as indicated by the signals highlighted in the SMS. Instead of engaging with warning signals specifically related to speech and language, the rIFG, specifically the pars opercularis, appears to struggle with understanding or responding to these signals. Given that the same region shows enhanced coupling to the insula and somatomotor regions implicated in motor control and inhibition, this indicates a greater tendency toward inhibitory functions. When combined with the failure to properly process warning signals from the SMS, the rIFG seems to initiate a direct inhibitory response to the speech production areas, leading to the mechanism of blocking/freezing of speech (Aron et al., 2016; Usler, 2022). At the same time, adaptive attentional control, target selection, inhibition initiation processes, attentional switching, performance in the timing network, and memory-related control and retrieval seem to function well in most tasks. The weakness appears to be specific and limited to speech-related signals, particularly the warning signals from the SMS. Otherwise, if there were a real defect in this region, we would expect to observe greater effects, such as difficulty initiating and stopping actions (Sundby et al., 2021; Choo et al., 2022). However, this is not the case (Wiltshire et al., 2025). If this assumption holds, the question arises: how would the rIFG behave in PWS if its development in most of its functions is normal? In this scenario, we would need a model where the rIFG is functioning normally without any issues, while simultaneously, there is a problem with speech or speech production areas.\nA clear example of such a scenario can be found in patients who have suffered a stroke affecting the speech production areas. In these patients, it is assumed that their rIFG remains completely intact. As reported by Winhuisen et al. (2007), in patients with severe damage to left-sided language areas, the rIFG becomes more activated, contributing to language recovery, especially in cases of aphasia (language deficits). Similarly, van Oers et al. (2010) suggest that the rIFG plays a compensatory role in language recovery after stroke, particularly by supporting non-linguistic cognitive processing. Additionally, a meta-analysis by LaCroix et al. (2021) shows that in post-stroke aphasia, the rIFG plays a compensatory role in language production, with increased activation in the right frontal and temporal cortices.\nThis is exactly what we suggest the rIFG attempts to do in PWS. When the error signals are detected by the SMS under social evaluation pressure and conscious error monitoring, the system responds to them as warning signals. The rIFG then joins the SMS and performs its functions of attention and language support through its multiple roles, so both the rIFG and the SMS work together as compensatory or defensive mechanisms, striving to ensure the most accurate speech production possible. The only difference here is that PWS seem to have subtle dysfunctions in the connections within this region, causing the rIFG’s compensatory mechanism to become, in some cases, the primary mechanism that contributes to the manifestation of stuttering.\nThe mechanism underlying this process can be understood as follows: as discussed earlier, abnormal connectivity within the rIFG makes it more susceptible to warning signals generated by the SMS, leading to increased inhibition. This phenomenon, which we refer to as rIFG oversensitivity, suggests that due to these connectivity issues, the rIFG becomes excessively responsive to speech-related warning signals produced by the SMS. This heightened sensitivity can contribute to dysregulation in speech production, as the rIFG becomes overly reactive to signals that would normally help regulate speech output.\nSupporting the involvement of the rIFG in stuttering, meta-analytic fMRI studies have consistently reported excessive recruitment of right frontal regions, particularly the frontal/rolandic operculum and anterior insula, extending into the inferior frontal gyrus in PWS compared with fluent speakers (Budde et al., 2014; Belyk et al., 2015).\nYang et al. (2016) showed that stronger rs-fMRI coupling between the right IFG and right cerebellar lobule VI is associated with greater stuttering severity, while Ghaderi et al. (2018) reported increased resting-state EEG network centrality of the right inferior frontal cortex in PWS compared with fluent controls.\nIn line with this interpretation, Neef et al. (2018) reported that the posterior rIFG (pars opercularis) in PWS shows increased structural coupling with pre-SMA/SMA and descending fibers traversing basal ganglia territories toward the STN, with the strength of these pathways scaling with stuttering severity. Within their framework, such enhanced involvement of the rIFG–STN inhibitory circuitry may disrupt the smooth sequencing of speech motor programs, offering convergent evidence that excessive recruitment of global suppression mechanisms can contribute to the instability observed during speech production.\nThe phenomenon of rIFG oversensitivity can explain why stuttering occurs with certain words in a sentence, while others are produced smoothly. The inhibition signal from the rIFG appears to be tied to specific words highlighted by the SMS, while other words in the sentence pass through without interruption. The inhibition is thus directly linked to the rIFG’s difficulty in properly understanding and responding to these warning signals. This difficulty may also lead to the over-engagement of the rIFG with the warning signals, where the area attempts to process and focus on them more intensely. This heightened focus may increase tension within the region, prompting an inhibitory response. Therefore, the inability to understand the signal can be viewed as a broad concept, encompassing not only the failure to process the signal but also the difficulty in interpreting it or the abnormal engagement with it. All of these factors contribute to an increase in tension and conflict within the region, making the signal appear as something dangerous that requires inhibition. This situation specifically leads to the SMS itself being perceived as the cause of stuttering (Arenas, 2017). However, according to our hypothesis, the rIFG, particularly the pars opercularis, acts as a hidden mechanism that underlies these symptoms, ultimately driving the overt stuttering behaviors (Neef et al., 2018).\nThis raises another question: in the absence of warning signals, how would the rIFG behave?\nIn the absence of warning signals, the rIFG would likely function normally, similar to other regions of the brain. It could also carry out its typical role in the compensatory mechanism, helping to maintain normal speech production and cognitive processes when there is impairment in those regions (Winhuisen et al., 2007). In line with this, Wiltshire et al. (2025) found no evidence of globally heightened rIFG activation in a generic stop–signal paradigm, suggesting that PWS do not appear to exhibit a universally overactive, domain-general inhibition system during non-speech tasks. This finding is expected, as the region does not appear to demonstrate abnormal development sufficient to be considered a primary dysfunction.\nThus, the activity observed in this area during choral reading in PWS is not a coincidence and should be interpreted as a compensatory mechanism (Toyomura et al., 2011; Etchell et al., 2014), as it highlights that the rIFG continues to perform its core functions in tasks involving core timing networks, attention, and memory retrieval in the absence of warning signals. However, it is only in stuttering contexts that this area shows abnormal activity. Under fluency-inducing conditions, where the SMS is primarily engaged by external stimuli (such as choral reading and singing), and in situations where error signals in the speech areas do not transform into warning signals (e.g., talking to oneself or speaking alone), along with non-verbal, non-speech tasks—even those inherently involving inhibitory actions—the rIFG will perform its typical functions. It may either compensate by working with the SMS according to the context or execute its normal functions as needed.\nSupporting this notion, Connally et al. (2018) examined inferior frontal activity using two complementary approaches: a group-level comparison restricted to fluent utterances and a within-speaker state analysis contrasting dysfluent and fluent speech. Their findings revealed no overactivity in the fluent-only group comparison. However, the state analysis demonstrated increased activation of the right inferior frontal cortex, extending into the opercular cortex and anterior insula, during dysfluent speech relative to fluent speech within the same individuals. Notably, these right frontal regions were not overactive during fluent speech in PWS compared to controls, and no regions showed greater activation during fluent than dysfluent speech. Based on these results, Connally et al. (2018) interpret right hemisphere overactivity as reflecting an inhibitory or “stopping” response that emerges primarily during dysfluent states. Similar to this conclusion, the rIFG has also been discussed as a main area in the causality of stuttering by Usler (2022).\nIn the study conducted by Preibisch et al. (2003), unlike the findings in Connally et al. (2018) which suggested normal function of the rIFG without any overactivity in fluent speech in PWS compared to controls, Preibisch observed overactivity in the right frontal operculum (RFO) during fluent speech in PWS relative to controls. To consider this case as well, the explanation is straightforward: according to our hypothesis, as long as there is fluent speech in PWS, this implies that warning signals are not represented. When warning signals are absent, the RFO will generally perform its typical function, whether through normal activity (as observed in the 2018 experiment by Connally et al. 2018) or overactivity as a compensatory response of this region in conjunction with the SMS.\nIn Preibisch et al. (2003) second experiment, where participants performed a silent synonym judgment, normal activity was observed in the RFO. This finding is also consistent, as the task did not require speech or stuttering, allowing the region to function in its typical, unaltered manner.\nBased on the research literature, it is unclear whether the rIFG acts as a compensatory mechanism or plays a causal role in stuttering. What we propose is that it serves both functions. Given that this region has developed normally, it carries out its natural functions. However, when issues arise in speech production areas, such as in various neurological disorders, the rIFG seems to play a compensatory role (Winhuisen et al., 2007; van Oers et al., 2010; LaCroix et al., 2021). This compensatory mechanism is also active in stuttering, but due to a subtle dysfunction in the connectivity between the pars opercularis and its attention networks, as well as increased connectivity with inhibition and motor control networks, this shift in connectivity results in the rIFG transitioning from a compensatory or natural role to a primary cause of stuttering.\nThe key factor in this shift is the warning signals generated by the SMS. These signals trigger the rIFG’s pathological effects, leading to speech inhibition. The underlying connectivity disruption makes the rIFG excessively sensitive to speech-related warning signals, causing it to inhibit speech production and directly contribute to stuttering.\nWe propose a shift in perspective here: rather than locating the critical threshold for stuttering within speech production regions, we argue that the primary threshold governing the onset of stuttering resides in the rIFG itself. Altered connectivity, characterized by reduced coupling with attentional networks and enhanced coupling with inhibitory–motor networks, appears to lower the inhibitory activation threshold of the rIFG, rendering it unusually sensitive to warning signals originating from the SMS. Importantly, this heightened sensitivity seems to be specific to speech-related processes. In the absence or attenuation of such warning signals, the rIFG reverts to its canonical role, engaging cooperatively with the SMS in a compensatory manner.\nThis clearly explains why stuttering occurs on certain words but not on others, and why PWS often can substitute problematic words. Collectively, these observations suggest that speech production regions operate adequately to enable fluent speech in most situations. In contrast, the rIFG appears to intervene selectively when words are perceived as significant, temporarily halting or disrupting speech. Once such a word is replaced, the speech production system resumes its operation, effectively bypassing the inhibitory signal generated by the rIFG, which was specific to that particular word rather than to speech production as a whole.\nThe core of the issue lies in the warning signals generated by the SMS. These signals are key to understanding the situational variability and explaining the rIFG’s response within the context of our hypothesis.\nDespite the complexity of this phenomenon, it is not beyond the reach of current methodologies. The mechanisms at play can be practically measured and accurately assessed using available tools, and we will explore these further in the Empirical Tests and Falsifiable Predictions section.\nAfter reviewing all this information and reaching this point, an important question arises: If the rIFG causes stuttering through the initiation of an inhibitory process, on which pathway of the rIFG does this initiation occur, and how?\n\n\n### Beyond self-monitoring and speech production: the rIFG in stuttering symptom expression\nAnatomically, the rIFG is part of the right prefrontal cortex and is widely implicated in inhibitory control and response suppression as a key component of right-lateralized control networks (Aron et al., 2004, 2014). However, converging evidence indicates that the rIFG is a key component of the inhibitory network and that it operates within a broader distributed system rather than serving as its singular central locus (Hampshire et al., 2010; Choo et al., 2022). In addition, the rIFG also supports broader functions beyond inhibition. For example, a voxel-wise meta-analysis of temporal processing identified the rIFG (with SMA) as a consistent component across timing conditions, motivating its inclusion in a putative “core timing network” (Wiener et al., 2010). In addition, Hampshire et al. (2009) demonstrated tight target tuning in the rIFG, showing selective responding to the currently defined target over distractors, consistent with a role in goal-dependent selection rather than inhibition alone. In line with this broader framing, the present literature implicates the rIFG in executive functions such as adaptive attentional control, target selection, attentional switching, and memory-related control and retrieval (Duncan and Owen, 2000; Wagner et al., 2001; Anderson et al., 2004; Hon et al., 2006; Hampshire et al., 2007, 2008, 2010). Some recent studies have started linking the rIFG to depression (Rolls et al., 2020).\nThis functional diversity has motivated accounts linking the rIFG to SMS, and in the literature, it is often discussed in relation to the cognitive control network and the behavioral inhibition system (BIS) (Usler, 2022). Importantly, the rIFG is not only embedded in multiple cortical networks, but it also shows principled connectivity with speech-relevant cortico–basal ganglia circuits via two pathways: an indirect cortico-striatal pathway (rIFG→caudate/striatum, expressed through basal ganglia channel dynamics) and a fast hyperdirect pathway (HDP) linking the rIFG to STN, often framed as a global brake/broad pause mechanism (Jahfari et al., 2011; Aron et al., 2016; Chen et al., 2020).\nWhile a consistent body of research, including studies by Chang et al. (2008, 2015, 2019) and Chow et al. (2023), has not consistently identified significant abnormalities in the development of gray and white matter in the rIFG in CWS, suggesting relatively preserved structural development, Beal et al. (2013) suggested that reduced gray matter volume in the rIFG may be present, particularly in relation to greater stuttering severity; however, what appears to be more affected is the connectivity of this area. Specifically, Neef et al. (2023) reported that the pars opercularis (the most prominent part of the rIFG, which plays a crucial role in functions related to executive control, language processing, and inhibition) in CWS aged 3–11 shows a mixed connectivity profile, with enhanced coupling to insula and somatomotor regions implicated in motor control and inhibition, alongside weaker coupling with components of the dorsal attention network, which supports attentional and top–down cognitive regulation.\nThe weaker coupling of the rIFG with components of the dorsal attention network suggests a concerning implication: the rIFG’s impaired connection with these areas may lead to difficulty in processing warning signals, particularly those associated with language and speech processing, as indicated by the signals highlighted in the SMS. Instead of engaging with warning signals specifically related to speech and language, the rIFG, specifically the pars opercularis, appears to struggle with understanding or responding to these signals. Given that the same region shows enhanced coupling to the insula and somatomotor regions implicated in motor control and inhibition, this indicates a greater tendency toward inhibitory functions. When combined with the failure to properly process warning signals from the SMS, the rIFG seems to initiate a direct inhibitory response to the speech production areas, leading to the mechanism of blocking/freezing of speech (Aron et al., 2016; Usler, 2022). At the same time, adaptive attentional control, target selection, inhibition initiation processes, attentional switching, performance in the timing network, and memory-related control and retrieval seem to function well in most tasks. The weakness appears to be specific and limited to speech-related signals, particularly the warning signals from the SMS. Otherwise, if there were a real defect in this region, we would expect to observe greater effects, such as difficulty initiating and stopping actions (Sundby et al., 2021; Choo et al., 2022). However, this is not the case (Wiltshire et al., 2025). If this assumption holds, the question arises: how would the rIFG behave in PWS if its development in most of its functions is normal? In this scenario, we would need a model where the rIFG is functioning normally without any issues, while simultaneously, there is a problem with speech or speech production areas.\nA clear example of such a scenario can be found in patients who have suffered a stroke affecting the speech production areas. In these patients, it is assumed that their rIFG remains completely intact. As reported by Winhuisen et al. (2007), in patients with severe damage to left-sided language areas, the rIFG becomes more activated, contributing to language recovery, especially in cases of aphasia (language deficits). Similarly, van Oers et al. (2010) suggest that the rIFG plays a compensatory role in language recovery after stroke, particularly by supporting non-linguistic cognitive processing. Additionally, a meta-analysis by LaCroix et al. (2021) shows that in post-stroke aphasia, the rIFG plays a compensatory role in language production, with increased activation in the right frontal and temporal cortices.\nThis is exactly what we suggest the rIFG attempts to do in PWS. When the error signals are detected by the SMS under social evaluation pressure and conscious error monitoring, the system responds to them as warning signals. The rIFG then joins the SMS and performs its functions of attention and language support through its multiple roles, so both the rIFG and the SMS work together as compensatory or defensive mechanisms, striving to ensure the most accurate speech production possible. The only difference here is that PWS seem to have subtle dysfunctions in the connections within this region, causing the rIFG’s compensatory mechanism to become, in some cases, the primary mechanism that contributes to the manifestation of stuttering.\n\n\n### When compensation becomes the cause: the rIFG in stuttering expression\nThe mechanism underlying this process can be understood as follows: as discussed earlier, abnormal connectivity within the rIFG makes it more susceptible to warning signals generated by the SMS, leading to increased inhibition. This phenomenon, which we refer to as rIFG oversensitivity, suggests that due to these connectivity issues, the rIFG becomes excessively responsive to speech-related warning signals produced by the SMS. This heightened sensitivity can contribute to dysregulation in speech production, as the rIFG becomes overly reactive to signals that would normally help regulate speech output.\nSupporting the involvement of the rIFG in stuttering, meta-analytic fMRI studies have consistently reported excessive recruitment of right frontal regions, particularly the frontal/rolandic operculum and anterior insula, extending into the inferior frontal gyrus in PWS compared with fluent speakers (Budde et al., 2014; Belyk et al., 2015).\nYang et al. (2016) showed that stronger rs-fMRI coupling between the right IFG and right cerebellar lobule VI is associated with greater stuttering severity, while Ghaderi et al. (2018) reported increased resting-state EEG network centrality of the right inferior frontal cortex in PWS compared with fluent controls.\nIn line with this interpretation, Neef et al. (2018) reported that the posterior rIFG (pars opercularis) in PWS shows increased structural coupling with pre-SMA/SMA and descending fibers traversing basal ganglia territories toward the STN, with the strength of these pathways scaling with stuttering severity. Within their framework, such enhanced involvement of the rIFG–STN inhibitory circuitry may disrupt the smooth sequencing of speech motor programs, offering convergent evidence that excessive recruitment of global suppression mechanisms can contribute to the instability observed during speech production.\nThe phenomenon of rIFG oversensitivity can explain why stuttering occurs with certain words in a sentence, while others are produced smoothly. The inhibition signal from the rIFG appears to be tied to specific words highlighted by the SMS, while other words in the sentence pass through without interruption. The inhibition is thus directly linked to the rIFG’s difficulty in properly understanding and responding to these warning signals. This difficulty may also lead to the over-engagement of the rIFG with the warning signals, where the area attempts to process and focus on them more intensely. This heightened focus may increase tension within the region, prompting an inhibitory response. Therefore, the inability to understand the signal can be viewed as a broad concept, encompassing not only the failure to process the signal but also the difficulty in interpreting it or the abnormal engagement with it. All of these factors contribute to an increase in tension and conflict within the region, making the signal appear as something dangerous that requires inhibition. This situation specifically leads to the SMS itself being perceived as the cause of stuttering (Arenas, 2017). However, according to our hypothesis, the rIFG, particularly the pars opercularis, acts as a hidden mechanism that underlies these symptoms, ultimately driving the overt stuttering behaviors (Neef et al., 2018).\nThis raises another question: in the absence of warning signals, how would the rIFG behave?\nIn the absence of warning signals, the rIFG would likely function normally, similar to other regions of the brain. It could also carry out its typical role in the compensatory mechanism, helping to maintain normal speech production and cognitive processes when there is impairment in those regions (Winhuisen et al., 2007). In line with this, Wiltshire et al. (2025) found no evidence of globally heightened rIFG activation in a generic stop–signal paradigm, suggesting that PWS do not appear to exhibit a universally overactive, domain-general inhibition system during non-speech tasks. This finding is expected, as the region does not appear to demonstrate abnormal development sufficient to be considered a primary dysfunction.\nThus, the activity observed in this area during choral reading in PWS is not a coincidence and should be interpreted as a compensatory mechanism (Toyomura et al., 2011; Etchell et al., 2014), as it highlights that the rIFG continues to perform its core functions in tasks involving core timing networks, attention, and memory retrieval in the absence of warning signals. However, it is only in stuttering contexts that this area shows abnormal activity. Under fluency-inducing conditions, where the SMS is primarily engaged by external stimuli (such as choral reading and singing), and in situations where error signals in the speech areas do not transform into warning signals (e.g., talking to oneself or speaking alone), along with non-verbal, non-speech tasks—even those inherently involving inhibitory actions—the rIFG will perform its typical functions. It may either compensate by working with the SMS according to the context or execute its normal functions as needed.\nSupporting this notion, Connally et al. (2018) examined inferior frontal activity using two complementary approaches: a group-level comparison restricted to fluent utterances and a within-speaker state analysis contrasting dysfluent and fluent speech. Their findings revealed no overactivity in the fluent-only group comparison. However, the state analysis demonstrated increased activation of the right inferior frontal cortex, extending into the opercular cortex and anterior insula, during dysfluent speech relative to fluent speech within the same individuals. Notably, these right frontal regions were not overactive during fluent speech in PWS compared to controls, and no regions showed greater activation during fluent than dysfluent speech. Based on these results, Connally et al. (2018) interpret right hemisphere overactivity as reflecting an inhibitory or “stopping” response that emerges primarily during dysfluent states. Similar to this conclusion, the rIFG has also been discussed as a main area in the causality of stuttering by Usler (2022).\nIn the study conducted by Preibisch et al. (2003), unlike the findings in Connally et al. (2018) which suggested normal function of the rIFG without any overactivity in fluent speech in PWS compared to controls, Preibisch observed overactivity in the right frontal operculum (RFO) during fluent speech in PWS relative to controls. To consider this case as well, the explanation is straightforward: according to our hypothesis, as long as there is fluent speech in PWS, this implies that warning signals are not represented. When warning signals are absent, the RFO will generally perform its typical function, whether through normal activity (as observed in the 2018 experiment by Connally et al. 2018) or overactivity as a compensatory response of this region in conjunction with the SMS.\nIn Preibisch et al. (2003) second experiment, where participants performed a silent synonym judgment, normal activity was observed in the RFO. This finding is also consistent, as the task did not require speech or stuttering, allowing the region to function in its typical, unaltered manner.\n\n\n### The rIFG at the crossroads of compensation and causation in stuttering\nBased on the research literature, it is unclear whether the rIFG acts as a compensatory mechanism or plays a causal role in stuttering. What we propose is that it serves both functions. Given that this region has developed normally, it carries out its natural functions. However, when issues arise in speech production areas, such as in various neurological disorders, the rIFG seems to play a compensatory role (Winhuisen et al., 2007; van Oers et al., 2010; LaCroix et al., 2021). This compensatory mechanism is also active in stuttering, but due to a subtle dysfunction in the connectivity between the pars opercularis and its attention networks, as well as increased connectivity with inhibition and motor control networks, this shift in connectivity results in the rIFG transitioning from a compensatory or natural role to a primary cause of stuttering.\nThe key factor in this shift is the warning signals generated by the SMS. These signals trigger the rIFG’s pathological effects, leading to speech inhibition. The underlying connectivity disruption makes the rIFG excessively sensitive to speech-related warning signals, causing it to inhibit speech production and directly contribute to stuttering.\nWe propose a shift in perspective here: rather than locating the critical threshold for stuttering within speech production regions, we argue that the primary threshold governing the onset of stuttering resides in the rIFG itself. Altered connectivity, characterized by reduced coupling with attentional networks and enhanced coupling with inhibitory–motor networks, appears to lower the inhibitory activation threshold of the rIFG, rendering it unusually sensitive to warning signals originating from the SMS. Importantly, this heightened sensitivity seems to be specific to speech-related processes. In the absence or attenuation of such warning signals, the rIFG reverts to its canonical role, engaging cooperatively with the SMS in a compensatory manner.\nThis clearly explains why stuttering occurs on certain words but not on others, and why PWS often can substitute problematic words. Collectively, these observations suggest that speech production regions operate adequately to enable fluent speech in most situations. In contrast, the rIFG appears to intervene selectively when words are perceived as significant, temporarily halting or disrupting speech. Once such a word is replaced, the speech production system resumes its operation, effectively bypassing the inhibitory signal generated by the rIFG, which was specific to that particular word rather than to speech production as a whole.\nThe core of the issue lies in the warning signals generated by the SMS. These signals are key to understanding the situational variability and explaining the rIFG’s response within the context of our hypothesis.\nDespite the complexity of this phenomenon, it is not beyond the reach of current methodologies. The mechanisms at play can be practically measured and accurately assessed using available tools, and we will explore these further in the Empirical Tests and Falsifiable Predictions section.\nAfter reviewing all this information and reaching this point, an important question arises: If the rIFG causes stuttering through the initiation of an inhibitory process, on which pathway of the rIFG does this initiation occur, and how?\n\n\n### Pathway-specific inhibitory mechanisms of the rIFG in stuttering\nDuring the developmental window in which stuttering typically emerges (approximately 2–5 years of age) and throughout the subsequent period up to around 8 years, any functional influence of the rIFG is more plausibly expressed via the indirect (fronto-striatal) pathway, given the evidence that the HDP undergoes substantial maturation later, between 9 and 12 years of age (Cai et al., 2019). Within this earlier stage, the stuttering profile tends to exhibit a set of distinctive characteristics; the disfluencies generally appear as sound, syllable, or word repetitions, while prolongations are less frequent and blocking is uncommon.\nA study by Kim et al. (2020) investigated speech–auditory–motor learning deficits in CWS. The findings revealed that both children and AWS exhibit significant impairments in adapting to altered auditory feedback. Younger children (3–6 years) showed the most severe deficits, while older children (7–9 years) demonstrated some improvement but never reached the adaptation levels of their nonstuttering peers. These results suggest that impaired speech–auditory–motor learning is a fundamental factor in the onset and persistence of stuttering, and continues into adulthood (Daliri and Max, 2018).\nAbnormalities in the striatum and the basal ganglia–thalamocortical (BGTC) loop (Chow et al., 2023), along with deficits in auditory–motor learning, are key factors in repetition-dominant dysfluency. These factors may be further influenced by input from the rIFG within the indirect pathway.\nStudies show that CWS exhibit higher sympathetic arousal, greater skin conductance, and smaller blood pulse volume amplitudes (Walsh and Usler, 2019). CWS also tend to have lower IQ scores compared to control groups, although some perform within the normal range (Chow et al., 2023). Additionally, their phonological working memory and attention are impaired (Anderson and Wagovich, 2010; Eichorn et al., 2018). CWS may face difficulties in cognitive flexibility, especially during childhood (ages 2–12), but differences may not be evident in younger children due to immature executive functions or evolving stuttering mechanisms (Paphiti and Eggers, 2022). Some CWS also exhibit hyperactivity and compulsive behaviors (Alm, 2014). These conditions vary across individuals and can be considered risk factors influenced by the disorder. These impairments indicate significant physiological factors that profoundly impact various brain functions. These factors will be further explored in the physiological section of the paper.\nVariability in stuttering severity remains largely present during childhood, indicating that it is a trait present from the onset of this disorder (Rasoli Jokar et al., 2025). In CWS, the influence of the SMS differs from that observed in adults. As discussed earlier, rather than selectively focusing on critical words, feared words, and the most important words within a sentence (Bloodstein, 1955; Kaasin and Bjerkan, 1982; Usler, 2022), the SMS in CWS may operate through different patterns, such as increased communicative or environmental pressure, which in turn precipitates stuttering. Consistent with this view, Howell et al. (1999) demonstrated that stuttering in ages 2–6 years occurs more frequently on function words (words that serve a grammatical purpose rather than carry specific meaning, such as pronouns, prepositions, and conjunctions). However, as they get older, their stuttering tends to shift to content words (words that carry meaning in a sentence, such as nouns, verbs, adjectives, and adverbs).\nThe evidence from preschool-aged children provides valuable insights into stuttering at this developmental stage. However, the disorder does not remain static across development. As children grow older, particularly between the ages of 9 and 12, the same period during which the HDP undergoes substantial maturation, the behavioral and linguistic profile of stuttering begins to transform. The disorder that initially manifests through mild sound or syllable repetitions in preschool years often shifts toward more severe blocks and prolongations, and the overall stuttering pattern increasingly resembles that observed in adults with persistent stuttering (Howell et al., 2008). Concurrently, disfluencies transition from function words to content words (Howell et al., 1999). This developmental shift marks a potentially sensitive phase in the trajectory of the disorder. As noted by Singer et al. (2020), late onset has been associated with a higher likelihood of persistence compared to earlier onsets. Importantly, the severity of stuttering around age eight has been shown to predict later outcomes with approximately 80% accuracy (Howell and Davis, 2011), suggesting that children entering this period with high stuttering severity are significantly less likely to recover spontaneously.\nNotably, this period also coincides with a marked shift in sex ratio. While the prevalence of stuttering in early childhood is relatively balanced between males and females, longitudinal data show a sharp divergence beginning around age nine, widening from approximately 2:1 in the preschool years to about a 4:1 male-to-female ratio by age nine (Dworzynski et al., 2007). This growing disparity aligns with the same developmental window in which recovery rates decline and symptom patterns intensify, reinforcing the notion that this stage represents a critical juncture in the maturation of stuttering.\nSeveral studies have also reported the onset of stuttering symptoms during this age window (Boyce et al., 2022), with a notable cluster around age ten (Howell et al., 2008), referencing data from Andrews and Harris (1964). However, these findings must be interpreted cautiously, as many rely on retrospective parental reports or self-assessments rather than direct clinical observation, factors that may inflate or distort the true incidence. Moreover, most modern investigations have been biased toward early childhood samples, typically following children only until age six or eight. As noted by Yairi and Ambrose (2013), “samples of children from birth to age six will miss some later onsets,” and “most studies cease follow-up below age eight, thus excluding a proportion of later onsets.” Consequently, the 9–12 age range remains underrepresented in contemporary research, leaving an important developmental period largely unexplored.\nNevertheless, even the limited evidence available raises intriguing possibilities. The combination of robust behavioral changes, such as the shift in disfluency type, the widening gender ratio, and the decline in recovery probability, along with preliminary evidence of new onsets during this period, suggests that late childhood may represent a significant turning point in the evolution of stuttering.\nBecause this developmental period coincides with the maturation of the HDP, which has been identified as a key route linking the rIFG with the STN, it becomes necessary to examine this pathway in greater depth and with greater specificity.\nThe HDP is a fast frontal cortex-to-STN projection that enables prefrontal control regions to rapidly influence basal ganglia output. In this view, the HDP supports two related control circuits. First, a stopping circuit, in which the rIFG (and potentially the pre-SMA) engages the STN via the HDP to implement rapid suppression of an initiated response. Second, a conflict circuit, in which dorsomedial frontal regions (pre-SMA/dmPFC) recruit the STN via the same HDP to impose a brief delay when competing response tendencies are co-activated, thereby increasing inhibitory basal ganglia output and raising the decision threshold before committing to an action. Together, these circuits describe how HDP-mediated frontal input to the STN can contribute to both action cancellation (stopping) and response slowing under competition (conflict) (Aron et al., 2016).\nIn the context of motor inhibition, Chen et al. (2020) explained that the HDP acts as a rapid means for stopping actions, such as when a person needs to cancel a planned movement or response due to changing environmental demands. This pathway is significantly faster than the more traditional indirect and direct pathways within the basal ganglia (Nambu et al., 2002).\nAs previously discussed, stuttering occurs particularly due to an abnormal over-reaction of the rIFG. This over-reaction is derived from excessive sensitivity to warning signals from the SMS and the amygdala, which rapidly initiates an inhibitory process causing an excitatory signal to pass through the HDP to the STN. This results in a complete freeze and sudden halting of the entire speech production system (Neef et al., 2018; Usler, 2022) until a signal with minimal warnings can pass through, such as switching from the intended word to a less suitable one that does not trigger the attention of the SMS.\nThrough the HDP, the rIFG is anatomically positioned to transmit rapid, global inhibitory signals to the speech motor system—a capacity that can, in principle, disrupt the continuity of articulatory programs and produce the kind of speech “freezing” observed in stuttering. Developmental evidence indicates that this pathway undergoes substantial maturation between 9 and 12 years of age (Cai et al., 2019), suggesting that its emerging inhibitory efficiency during this period may plausibly contribute to the clinical transition often noted in this age range. As the HDP matures, the rIFG becomes increasingly capable of exerting fast, system-level inhibitory control over speech.\nAn alternative interpretation must also be acknowledged: the marked clinical shifts observed between ages 9 and 12 may reflect developmental forces that are psychological rather than neurobiological in nature. During this period, children undergo a well-documented expansion in metacognitive capacity, social self-awareness, and emotional sophistication. These normative maturational processes could, in principle, amplify the salience of communicative demands, sharpen sensitivity to listener evaluation, and heighten self-monitoring during speech, each of which is known to modulate stuttering severity. Under this account, the transformation of stuttering from predominantly repetitions to more effortful blocks could emerge without invoking any specific neural reorganization. In this scenario, the temporal correspondence between symptom change and HDP maturation may represent a developmental coincidence rather than a mechanistic link.\nHowever, if the HDP does contribute causally to these changes as proposed in the present framework, this would offer a unified and mechanistically coherent explanation for several long-standing clinical observations, including the shift from repetitions to blocks, the emergence of true speech “freezing,” the sharp decline in recovery after age 12, and even the well-documented sex ratio differences in recovery from stuttering. This possibility opens an important avenue for theoretical refinement and empirical investigation.\nIn early childhood, stuttering usually appears in the form of repetitions. These patterns are possibly driven by errors in the direct and indirect pathways of the striatum, facilitated by abnormal auditory–motor integration, and their severity fluctuates across situations due to modulation by the SMS. During this stage, the rIFG already sends inputs to the striatum, contributing to stuttering as part of the direct and indirect pathways.\nBetween 9 and 12 years of age, a critical developmental transition may occur with the maturation of the HDP. This maturation introduces a rapid and potent route through which the rIFG and pre-SMA can exert inhibitory control more directly. Through this pathway, inhibitory signals can be transmitted to the speech motor system without obligatory mediation by the striatum. When engaged by warning signals originating from the SMS, this mechanism may plausibly precipitate abrupt, system-level inhibition of speech motor programs, thereby contributing to a clinical shift from repetition-dominated disfluencies to more block-like interruptions.\nWe propose that a subset of children may carry a latent vulnerability within speech–auditory–motor integration networks and the rIFGop, which remains clinically silent during early childhood because the neural mechanisms required to express it are not yet fully developed. With the maturation of the HDP between ages 9 and 12, this latent vulnerability gains access to a fast, high-gain inhibitory route capable of interrupting speech motor output. When additional recruitment is needed by the SMS, mild blocks may begin to emerge even in children who previously showed only subtle or inconsistent signs of difficulty.\nOnce these initial blocks become consciously perceived, and especially when they elicit fear, embarrassment, or anticipatory worry, the SMS becomes increasingly hypervigilant. The resulting warning signals place additional load on the already atypical rIFG, amplifying its activity through the HDP and thereby intensifying both the frequency and severity of stuttering episodes.\nHowell et al. (2008), drawing on longitudinal data from Andrews and Harris (1964), reported that no child who continued to stutter beyond age 12 achieved natural recovery. Within the framework proposed in this paper, this developmental boundary may reflect a neurobiological transition rather than a purely behavioral one. We hypothesize that the maturation of the HDP during late childhood strengthens a fast, high-gain inhibitory link between the rIFG and the speech–motor system. Once this pathway reaches functional maturity, it may render the stuttering pattern more rigid and less amenable to spontaneous normalization.\nThis phenomenon can also be interpreted coherently. Evidence from Neef et al. (2023) shows that boys, particularly near the onset of stuttering, are more susceptible to the abnormal connectivity of the rIFG that we have discussed, compared to girls. Complementary findings from Usler (2022) indicate that boys demonstrate a more protracted maturation of the basal ganglia and the corpus callosum compared to girls, alongside slower development of speech–motor coordination. Boys are also more likely to engage in “freezing-type” defensive behaviors associated with the behavioral inhibition system, whereas girls display greater cognitive flexibility and a wider range of adaptive responses. Most girls recover before the HDP fully matures (approximately 9–12 years) (Yairi and Ambrose, 2013), which, within this hypothesis, may prevent the emergence of the strong rIFG speech–motor inhibitory loop associated with persistent stuttering. Taken together, these maturational and neurodevelopmental differences may jointly contribute to the markedly higher persistence rates observed in males.\nFinally, the developmental shift from stuttering on function words in early childhood to content words in later years, together with the increasing clarity and salience of situational variability, can be explained by the ongoing maturation of the SMS and higher-order cognitive regions. As these systems develop, stuttering becomes progressively more selective, shifting from a generalized sensitivity to pressure or stressful situations toward a greater dependence on specific lexical items (particularly those perceived as most important within the sentence) rather than on contextual stress alone, as reported by caregivers in Rasoli Jokar et al. (2025).\nRecent evidence suggests that cerebellar lobule VI may represent an important node in the neural network implicated in stuttering, alongside the striatum and inferior frontal gyrus. Associations have been reported between stuttering severity and abnormal connectivity of the right lobule VI with the rIFG in adults (Yang et al., 2016; Ghaderi et al., 2018), as well as altered perfusion of the left lobule VI in children (Liu et al., 2024). Disrupted intra-cerebellar connectivity and atypical coupling with frontal and motor regions further suggest potential bilateral involvement (Yang et al., 2016). Collectively, these findings support the hypothesis that lobule VI may contribute to motor–executive disruption in stuttering, warranting further targeted investigation.\n\n\n### The critical period in the development of persistent stuttering\nThe evidence from preschool-aged children provides valuable insights into stuttering at this developmental stage. However, the disorder does not remain static across development. As children grow older, particularly between the ages of 9 and 12, the same period during which the HDP undergoes substantial maturation, the behavioral and linguistic profile of stuttering begins to transform. The disorder that initially manifests through mild sound or syllable repetitions in preschool years often shifts toward more severe blocks and prolongations, and the overall stuttering pattern increasingly resembles that observed in adults with persistent stuttering (Howell et al., 2008). Concurrently, disfluencies transition from function words to content words (Howell et al., 1999). This developmental shift marks a potentially sensitive phase in the trajectory of the disorder. As noted by Singer et al. (2020), late onset has been associated with a higher likelihood of persistence compared to earlier onsets. Importantly, the severity of stuttering around age eight has been shown to predict later outcomes with approximately 80% accuracy (Howell and Davis, 2011), suggesting that children entering this period with high stuttering severity are significantly less likely to recover spontaneously.\nNotably, this period also coincides with a marked shift in sex ratio. While the prevalence of stuttering in early childhood is relatively balanced between males and females, longitudinal data show a sharp divergence beginning around age nine, widening from approximately 2:1 in the preschool years to about a 4:1 male-to-female ratio by age nine (Dworzynski et al., 2007). This growing disparity aligns with the same developmental window in which recovery rates decline and symptom patterns intensify, reinforcing the notion that this stage represents a critical juncture in the maturation of stuttering.\nSeveral studies have also reported the onset of stuttering symptoms during this age window (Boyce et al., 2022), with a notable cluster around age ten (Howell et al., 2008), referencing data from Andrews and Harris (1964). However, these findings must be interpreted cautiously, as many rely on retrospective parental reports or self-assessments rather than direct clinical observation, factors that may inflate or distort the true incidence. Moreover, most modern investigations have been biased toward early childhood samples, typically following children only until age six or eight. As noted by Yairi and Ambrose (2013), “samples of children from birth to age six will miss some later onsets,” and “most studies cease follow-up below age eight, thus excluding a proportion of later onsets.” Consequently, the 9–12 age range remains underrepresented in contemporary research, leaving an important developmental period largely unexplored.\nNevertheless, even the limited evidence available raises intriguing possibilities. The combination of robust behavioral changes, such as the shift in disfluency type, the widening gender ratio, and the decline in recovery probability, along with preliminary evidence of new onsets during this period, suggests that late childhood may represent a significant turning point in the evolution of stuttering.\nBecause this developmental period coincides with the maturation of the HDP, which has been identified as a key route linking the rIFG with the STN, it becomes necessary to examine this pathway in greater depth and with greater specificity.\n\n\n### The HDP as a critical developmental pathway in stuttering\nThe HDP is a fast frontal cortex-to-STN projection that enables prefrontal control regions to rapidly influence basal ganglia output. In this view, the HDP supports two related control circuits. First, a stopping circuit, in which the rIFG (and potentially the pre-SMA) engages the STN via the HDP to implement rapid suppression of an initiated response. Second, a conflict circuit, in which dorsomedial frontal regions (pre-SMA/dmPFC) recruit the STN via the same HDP to impose a brief delay when competing response tendencies are co-activated, thereby increasing inhibitory basal ganglia output and raising the decision threshold before committing to an action. Together, these circuits describe how HDP-mediated frontal input to the STN can contribute to both action cancellation (stopping) and response slowing under competition (conflict) (Aron et al., 2016).\nIn the context of motor inhibition, Chen et al. (2020) explained that the HDP acts as a rapid means for stopping actions, such as when a person needs to cancel a planned movement or response due to changing environmental demands. This pathway is significantly faster than the more traditional indirect and direct pathways within the basal ganglia (Nambu et al., 2002).\nAs previously discussed, stuttering occurs particularly due to an abnormal over-reaction of the rIFG. This over-reaction is derived from excessive sensitivity to warning signals from the SMS and the amygdala, which rapidly initiates an inhibitory process causing an excitatory signal to pass through the HDP to the STN. This results in a complete freeze and sudden halting of the entire speech production system (Neef et al., 2018; Usler, 2022) until a signal with minimal warnings can pass through, such as switching from the intended word to a less suitable one that does not trigger the attention of the SMS.\nThrough the HDP, the rIFG is anatomically positioned to transmit rapid, global inhibitory signals to the speech motor system—a capacity that can, in principle, disrupt the continuity of articulatory programs and produce the kind of speech “freezing” observed in stuttering. Developmental evidence indicates that this pathway undergoes substantial maturation between 9 and 12 years of age (Cai et al., 2019), suggesting that its emerging inhibitory efficiency during this period may plausibly contribute to the clinical transition often noted in this age range. As the HDP matures, the rIFG becomes increasingly capable of exerting fast, system-level inhibitory control over speech.\nAn alternative interpretation must also be acknowledged: the marked clinical shifts observed between ages 9 and 12 may reflect developmental forces that are psychological rather than neurobiological in nature. During this period, children undergo a well-documented expansion in metacognitive capacity, social self-awareness, and emotional sophistication. These normative maturational processes could, in principle, amplify the salience of communicative demands, sharpen sensitivity to listener evaluation, and heighten self-monitoring during speech, each of which is known to modulate stuttering severity. Under this account, the transformation of stuttering from predominantly repetitions to more effortful blocks could emerge without invoking any specific neural reorganization. In this scenario, the temporal correspondence between symptom change and HDP maturation may represent a developmental coincidence rather than a mechanistic link.\nHowever, if the HDP does contribute causally to these changes as proposed in the present framework, this would offer a unified and mechanistically coherent explanation for several long-standing clinical observations, including the shift from repetitions to blocks, the emergence of true speech “freezing,” the sharp decline in recovery after age 12, and even the well-documented sex ratio differences in recovery from stuttering. This possibility opens an important avenue for theoretical refinement and empirical investigation.\nIn early childhood, stuttering usually appears in the form of repetitions. These patterns are possibly driven by errors in the direct and indirect pathways of the striatum, facilitated by abnormal auditory–motor integration, and their severity fluctuates across situations due to modulation by the SMS. During this stage, the rIFG already sends inputs to the striatum, contributing to stuttering as part of the direct and indirect pathways.\nBetween 9 and 12 years of age, a critical developmental transition may occur with the maturation of the HDP. This maturation introduces a rapid and potent route through which the rIFG and pre-SMA can exert inhibitory control more directly. Through this pathway, inhibitory signals can be transmitted to the speech motor system without obligatory mediation by the striatum. When engaged by warning signals originating from the SMS, this mechanism may plausibly precipitate abrupt, system-level inhibition of speech motor programs, thereby contributing to a clinical shift from repetition-dominated disfluencies to more block-like interruptions.\nWe propose that a subset of children may carry a latent vulnerability within speech–auditory–motor integration networks and the rIFGop, which remains clinically silent during early childhood because the neural mechanisms required to express it are not yet fully developed. With the maturation of the HDP between ages 9 and 12, this latent vulnerability gains access to a fast, high-gain inhibitory route capable of interrupting speech motor output. When additional recruitment is needed by the SMS, mild blocks may begin to emerge even in children who previously showed only subtle or inconsistent signs of difficulty.\nOnce these initial blocks become consciously perceived, and especially when they elicit fear, embarrassment, or anticipatory worry, the SMS becomes increasingly hypervigilant. The resulting warning signals place additional load on the already atypical rIFG, amplifying its activity through the HDP and thereby intensifying both the frequency and severity of stuttering episodes.\nHowell et al. (2008), drawing on longitudinal data from Andrews and Harris (1964), reported that no child who continued to stutter beyond age 12 achieved natural recovery. Within the framework proposed in this paper, this developmental boundary may reflect a neurobiological transition rather than a purely behavioral one. We hypothesize that the maturation of the HDP during late childhood strengthens a fast, high-gain inhibitory link between the rIFG and the speech–motor system. Once this pathway reaches functional maturity, it may render the stuttering pattern more rigid and less amenable to spontaneous normalization.\nThis phenomenon can also be interpreted coherently. Evidence from Neef et al. (2023) shows that boys, particularly near the onset of stuttering, are more susceptible to the abnormal connectivity of the rIFG that we have discussed, compared to girls. Complementary findings from Usler (2022) indicate that boys demonstrate a more protracted maturation of the basal ganglia and the corpus callosum compared to girls, alongside slower development of speech–motor coordination. Boys are also more likely to engage in “freezing-type” defensive behaviors associated with the behavioral inhibition system, whereas girls display greater cognitive flexibility and a wider range of adaptive responses. Most girls recover before the HDP fully matures (approximately 9–12 years) (Yairi and Ambrose, 2013), which, within this hypothesis, may prevent the emergence of the strong rIFG speech–motor inhibitory loop associated with persistent stuttering. Taken together, these maturational and neurodevelopmental differences may jointly contribute to the markedly higher persistence rates observed in males.\nFinally, the developmental shift from stuttering on function words in early childhood to content words in later years, together with the increasing clarity and salience of situational variability, can be explained by the ongoing maturation of the SMS and higher-order cognitive regions. As these systems develop, stuttering becomes progressively more selective, shifting from a generalized sensitivity to pressure or stressful situations toward a greater dependence on specific lexical items (particularly those perceived as most important within the sentence) rather than on contextual stress alone, as reported by caregivers in Rasoli Jokar et al. (2025).\nRecent evidence suggests that cerebellar lobule VI may represent an important node in the neural network implicated in stuttering, alongside the striatum and inferior frontal gyrus. Associations have been reported between stuttering severity and abnormal connectivity of the right lobule VI with the rIFG in adults (Yang et al., 2016; Ghaderi et al., 2018), as well as altered perfusion of the left lobule VI in children (Liu et al., 2024). Disrupted intra-cerebellar connectivity and atypical coupling with frontal and motor regions further suggest potential bilateral involvement (Yang et al., 2016). Collectively, these findings support the hypothesis that lobule VI may contribute to motor–executive disruption in stuttering, warranting further targeted investigation.\n\n\n### From repetitions to blocks\nIn early childhood, stuttering usually appears in the form of repetitions. These patterns are possibly driven by errors in the direct and indirect pathways of the striatum, facilitated by abnormal auditory–motor integration, and their severity fluctuates across situations due to modulation by the SMS. During this stage, the rIFG already sends inputs to the striatum, contributing to stuttering as part of the direct and indirect pathways.\nBetween 9 and 12 years of age, a critical developmental transition may occur with the maturation of the HDP. This maturation introduces a rapid and potent route through which the rIFG and pre-SMA can exert inhibitory control more directly. Through this pathway, inhibitory signals can be transmitted to the speech motor system without obligatory mediation by the striatum. When engaged by warning signals originating from the SMS, this mechanism may plausibly precipitate abrupt, system-level inhibition of speech motor programs, thereby contributing to a clinical shift from repetition-dominated disfluencies to more block-like interruptions.\n\n\n### Onset of stuttering between 9 and 12 years\nWe propose that a subset of children may carry a latent vulnerability within speech–auditory–motor integration networks and the rIFGop, which remains clinically silent during early childhood because the neural mechanisms required to express it are not yet fully developed. With the maturation of the HDP between ages 9 and 12, this latent vulnerability gains access to a fast, high-gain inhibitory route capable of interrupting speech motor output. When additional recruitment is needed by the SMS, mild blocks may begin to emerge even in children who previously showed only subtle or inconsistent signs of difficulty.\nOnce these initial blocks become consciously perceived, and especially when they elicit fear, embarrassment, or anticipatory worry, the SMS becomes increasingly hypervigilant. The resulting warning signals place additional load on the already atypical rIFG, amplifying its activity through the HDP and thereby intensifying both the frequency and severity of stuttering episodes.\n\n\n### No recovery after age 12\nHowell et al. (2008), drawing on longitudinal data from Andrews and Harris (1964), reported that no child who continued to stutter beyond age 12 achieved natural recovery. Within the framework proposed in this paper, this developmental boundary may reflect a neurobiological transition rather than a purely behavioral one. We hypothesize that the maturation of the HDP during late childhood strengthens a fast, high-gain inhibitory link between the rIFG and the speech–motor system. Once this pathway reaches functional maturity, it may render the stuttering pattern more rigid and less amenable to spontaneous normalization.\n\n\n### Sex differences in stuttering persistence\nThis phenomenon can also be interpreted coherently. Evidence from Neef et al. (2023) shows that boys, particularly near the onset of stuttering, are more susceptible to the abnormal connectivity of the rIFG that we have discussed, compared to girls. Complementary findings from Usler (2022) indicate that boys demonstrate a more protracted maturation of the basal ganglia and the corpus callosum compared to girls, alongside slower development of speech–motor coordination. Boys are also more likely to engage in “freezing-type” defensive behaviors associated with the behavioral inhibition system, whereas girls display greater cognitive flexibility and a wider range of adaptive responses. Most girls recover before the HDP fully matures (approximately 9–12 years) (Yairi and Ambrose, 2013), which, within this hypothesis, may prevent the emergence of the strong rIFG speech–motor inhibitory loop associated with persistent stuttering. Taken together, these maturational and neurodevelopmental differences may jointly contribute to the markedly higher persistence rates observed in males.\n\n\n### Shift in stuttering from function words to content words\nFinally, the developmental shift from stuttering on function words in early childhood to content words in later years, together with the increasing clarity and salience of situational variability, can be explained by the ongoing maturation of the SMS and higher-order cognitive regions. As these systems develop, stuttering becomes progressively more selective, shifting from a generalized sensitivity to pressure or stressful situations toward a greater dependence on specific lexical items (particularly those perceived as most important within the sentence) rather than on contextual stress alone, as reported by caregivers in Rasoli Jokar et al. (2025).\nRecent evidence suggests that cerebellar lobule VI may represent an important node in the neural network implicated in stuttering, alongside the striatum and inferior frontal gyrus. Associations have been reported between stuttering severity and abnormal connectivity of the right lobule VI with the rIFG in adults (Yang et al., 2016; Ghaderi et al., 2018), as well as altered perfusion of the left lobule VI in children (Liu et al., 2024). Disrupted intra-cerebellar connectivity and atypical coupling with frontal and motor regions further suggest potential bilateral involvement (Yang et al., 2016). Collectively, these findings support the hypothesis that lobule VI may contribute to motor–executive disruption in stuttering, warranting further targeted investigation.\n\n\n### Our neurological model of stuttering\nThe hypothesis presents a model representing a comprehensive integrative framework for how stuttering occurs in real-time speech (see Figure 1).\nThe diagram does not exactly portray the neural connections between these structures. Instead, it highlights the most important regions where these signals pass through or where these activities occur, presenting the diagram in a simplified and comprehensible format.\nThe process begins in the striatum when it receives integrated speech production signals from the cerebral cortex. These signals include motor plans, phonological encoding, cognitive intention, and emotional context. Although auditory predictions are also part of these inputs, the auditory cortex, particularly the left superior temporal gyrus (LSTG), is intentionally separated to emphasize its critical role in auditory-motor integration, a pathway strongly implicated in the pathophysiology of stuttering. Importantly, dysfunction within these speech-related neural pathways alone is not sufficient to produce stuttering. For stuttering to emerge according to our hypothesis, two additional factors are required: social evaluation and conscious speech error monitoring. Social evaluation is determined by higher-order cognitive regions, which engage the amygdala to assess threat-related significance and to retrieve prior memories of similar socially evaluative events. In parallel, the right insula contributes to monitoring self-awareness and reflecting interoceptive bodily sensations associated with social stress. Once a socially evaluative context is established, these higher cortical regions, together with the amygdala and insula, interact with the self-monitoring system (SMS) that is composed of the anterior cingulate cortex (ACC) and right dorsolateral prefrontal cortex (R-DLPFC) to mediate the transition from subconscious, automatic speech error monitoring to conscious error detection. Following this transition, the SMS amplifies error-related signals as warning signals. These warning signals do not emerge as isolated neural responses; rather, they represent the compressed output of continuous predictive, evaluative, and affective interactions among the ACC, R-DLPFC, amygdala, and right insula. Crucially, these signals are not globally distributed across speech output but are selectively tied to specific words identified as critical, threatening, or highly important by limbic and higher-order cognitive systems. Under heightened warning signaling, a particularly sensitive control region, the right inferior frontal gyrus (rIFG) detects this escalation. Due to its vulnerability to such signals, the rIFG, with or without the involvement of the pre-supplementary motor area (pre-SMA), rapidly engages the hyperdirect pathway by transmitting excitatory inputs to the subthalamic nucleus (STN). The STN excites GPi/SNr, which inhibit the thalamus more strongly → reducing thalamic excitation of the cortex → resulting in global motor inhibition (stopping/freezing of speech or movement). Importantly, this inhibition selectively targets specific words perceived as critical, feared, or highly important, while non-feared words will proceed through the motor system without suppression. Without activation of the hyperdirect pathway, speech would generally flow smoothly, with only occasional minor interruptions, primarily observed in children. The hypoactivity of the ventromedial prefrontal cortex (vmPFC) in this context may compromise its capacity to exert effective top–down regulation over amygdala hyperactivity. This failure of emotional regulation increases affective pressure within the self-monitoring network, particularly involving the ACC and R-DLPFC. Such elevated emotional load may account for the disruptions in functional connectivity observed during speech anticipation, especially between the R-DLPFC and the right supramarginal gyrus (R-SMG). globus pallidus internus (GPi) and externus (GPe), Substantia Nigra, pars reticulata (SNr).\nThe term “hypersensitive,” previously used to describe abnormalities in the rIFG in stuttering, cannot be directly quantified with the available data. Therefore, we adopt the more operational term “overactive” in the model diagrams to indicate that this region is expected to exhibit disproportionately strong responses during stuttering, particularly during speech blocks.\nIn our model, hyperactive and hypoactive regions are treated as reflecting context-dependent physiological states rather than constant abnormalities. Specifically, the model aims to describe the behavior of these regions during stuttering. Outside of this context, the same regions may show different activity patterns, including during non-speech tasks, fluent speech, and fluency-enhancing conditions such as self-talk, singing, or choral reading. However, we also acknowledge that certain components of the proposed circuitry may remain abnormal even in the absence of overt stuttering episodes. This is supported by the work of Maguire et al. (2020), which demonstrates persistent striatal hypoactivity during both solo and choral reading, regardless of whether speech is fluent or dysfluent.\nAlthough the present model was developed to explain stuttering, it can also be viewed as a simplified representation of speech production in fluent speakers. Speech production is a highly complex process involving multiple distributed cortical and subcortical regions. Accordingly, this framework does not aim to capture the full language network; rather, it focuses on those components most directly implicated in the emergence of stuttering. Classical language areas such as Broca’s and Wernicke’s regions were therefore not explicitly incorporated, as they are not considered primary drivers of stuttering initiation within the scope of the current hypothesis. From this constrained perspective, the model can be extended to fluent speakers as a normative system in which the same core components operate within typical functional ranges, while additional language regions contribute to the completion and refinement of speech generation. Importantly, this framework can also account for why stuttering-like disfluency may occasionally arise even in fluent speakers despite the absence of any prior history of stuttering. Such effects may be most apparent during public speaking, a context in which heightened stress and self-evaluative pressure have been shown to increase speech disfluencies even in non-stuttering speakers (Zhao, 2022; Sandoval et al., 2025). Under these conditions, enhanced activation of the SMS and particularly the amygdala component may give rise to excessive warning/conflict-related signals. If sufficiently amplified, these signals could engage the rIFG or the pre-SMA, leading to transient inhibitory or delay interference with speech output. Therefore, stuttering that may occur in fluent speakers originates solely from an emotional source. In contrast, in PWS, the cause is not solely emotional stress. Rather, emotional stress interacts with pre-existing dysfunction in speech production regions, which are interpreted by the SMS as error signals. When these error signals arise, such as in socially evaluative situations or when delivering an important message, they are perceived as warning signals. The emergence of such signals, combined with an oversensitive rIFG related to speech, leads to strong, repetitive, and involuntary speech interruptions.\nAlthough this model is capable of explaining many phenomena associated with stuttering, it remains insufficient to fully account for certain types of individual variability, as well as variability over time. This limitation arises because the model is not yet complete; a final missing component remains, representing the crucial piece required for the model to explain most manifestations of stuttering. This component is hypothesized to reflect the primary underlying cause of stuttering. Accordingly, the following section focuses on this missing component by examining the neurophysiological basis of stuttering, proposed as a key element in completing the model.\n\n\n### The initial neural breakdown in stuttering development\nHistorically, through a long and continuous line of research, substantial progress has been made in identifying and characterizing the physiological alterations associated with stuttering, which collectively distinguish it as a unique neurobiological condition. Much of this research has traditionally focused on the development of gray and white matter. A considerable portion of these studies has converged on the finding that the BGTC is significantly affected by atypical development, particularly manifesting as reductions in gray matter volume, alongside disrupted white matter pathways extending across both hemispheres (Sommer et al., 2002; Guenther, 2006; Kell et al., 2024; Beal et al., 2013; Foundas et al., 2013; Connally et al., 2014; Civier et al., 2015; Chang et al., 2008, 2015, 2019; Chow et al., 2023).\nHowever, the body of evidence extends well beyond structural abnormalities. In an integrative review of EEG and regional cerebral blood flow (rCBF) studies conducted in both children and AWS, Alm (2021) reported that PWS consistently exhibit reduced beta-band power during resting-state EEG. This pattern is commonly associated with diminished cerebral metabolic activity. In parallel, several rCBF studies have demonstrated reduced regional blood flow in frontal brain areas, particularly in regions characterized by high glycolytic demand, such as the inferior frontal gyrus (IFG).\nFurther evidence has emerged from neurochemical and metabolic imaging studies. An analysis of R2 relaxation maps in 41 AWS and 32 normally fluent controls revealed significant group differences in iron concentration, suggesting increased iron accumulation in the left putamen and left-hemisphere cortical regions critically involved in speech motor control (Cler et al., 2021).\nAmong these findings, one historically significant yet particularly striking study warrants special attention. A PET study by Wu et al. (1997) demonstrated a marked increase in 6-FDOPA uptake, indicative of elevated dopaminergic activity in several brain regions, including the right vmPFC, the left caudate tail, and limbic structures such as the deep orbital cortex, insular cortex, and extended amygdala in PWS.\nTaken together, these findings portray the brains of PWS as systems characterized by widespread dysregulation, ranging from atypical gray and white matter development to iron accumulation in left-hemisphere structures, reduced beta oscillatory activity linked to cerebral metabolism, diminished regional cerebral blood flow, and, ultimately, pronounced dopaminergic hyperactivity across key neural circuits.\nWithin this apparent neurobiological heterogeneity, the critical question becomes whether a particular brain region emerges as a common convergence point for these abnormalities. Upon closer examination, the striatum stands out as the structure most consistently and profoundly affected.\nThe striatum is a major subcortical structure of the basal ganglia system, playing a crucial role in motor control, cognitive functions, action selection, and reward processing. It is primarily divided into two regions based on anatomical and functional distinctions: first, the dorsal striatum, which cosists of the caudate nucleus and putamen, is involved in motor coordination, procedural learning, and the modulation of voluntary movement. Second, the ventral striatum, which comprises the nucleus accumbens and olfactory tubercle, is part of the limbic system and plays a key role in reward processing, motivation, emotion, and reinforcement learning (Kandel et al., 2013).\nThe striatum was the earliest region to demonstrate atypical development, marked by reduced GMV (Chow et al., 2023). The extent of this reduction strongly correlates with stuttering severity during childhood. Brain imaging shows abnormally low activity in speech cortical areas and the striatum in PWS. However, when fluency is induced (solo vs. choral reading), cortical activity normalizes, but striatal activity remains low. Moreover, any increase in metabolism within this structure leads to noticeable improvements in fluency (Maguire et al., 2020). The striatum also showed the highest levels of iron accumulation (Cler et al., 2021) and contains the highest concentration of dopamine, up to three times greater than normal levels (Wu et al., 1997).\nThese findings demonstrate that the striatum stands out from other brain structures: it is the earliest region to show abnormalities and the one in which these alterations appear to persist most strongly. This observation raises an important question: why do the earliest detectable changes emerge in the striatum rather than in regions such as Broca’s area, Wernicke’s area, or the motor cortex? What characteristics make the striatum particularly susceptible to early disruption? As we argue below, the striatum possesses several features that distinguish it from other brain regions and may help explain this vulnerability.\nThe striatum is distinguished from most other brain regions by its exceptionally dense dopaminergic innervation. It receives substantial dopamine input from both the substantia nigra and the ventral tegmental area and expresses a high concentration of D1 and D2 type dopamine receptors, making it a primary target for dopaminergic signaling and supporting its central role in motor control, action selection, speech, motivation, and reward processing (Björklund and Dunnett, 2007; Delgado, 2007; Kreitzer and Malenka, 2008; Gerfen and Surmeier, 2011). This organization suggests that the striatum may be particularly sensitive to variations in dopamine levels. In line with this, a PET study by Wu et al. (1997) reported markedly elevated dopaminergic activity in specific striatal regions in PWS. These observations raise an important question: if striatal abnormalities emerge first, and given the close association between the striatum and dopamine, can dopamine dysregulation be considered the initial pathological event, or might other upstream changes precede and drive the observed dopaminergic alterations?\nHere we enter a circular causal framework, in which each component can act both as a cause and a consequence of the others. Alterations in gray and white matter, metabolic activity, cerebral blood flow, iron accumulation, and dopaminergic signaling are not arranged in a simple linear hierarchy. Rather, each of these variables can influence the others bidirectionally, making it difficult to identify a single initiating event. In such a system, no element can be confidently labeled as the primary culprit; instead, each may simultaneously function as both origin and outcome.\nOne of the most influential hypotheses discussed within this context is the “disorder of energy supply to neurons” proposed by Alm (2021). This hypothesis argues that impaired metabolic support to neurons may represent the primary dysfunction from which many downstream abnormalities emerge. Alm extensively reviewed and analyzed experimental evidence suggesting that metabolic insufficiency could precede and drive changes in neural signaling, structure, and function. Another well-known hypothesis is lysosomal trafficking dysfunction, which proposes that impairments in lysosomal function lead to intracellular waste accumulation, subsequently triggering widespread cellular and neural dysfunction (Kang et al., 2010).\nWithin our own model, however, the central objective is to identify which of these variables possesses the greatest explanatory power—one that can simultaneously account for both the clinical manifestations of stuttering and the physiological and structural alterations observed in the brain. In other words, we are searching for a unifying thread capable of linking the neurophysiology of stuttering with its phenomenology. From this perspective, dopamine emerges as the most compelling candidate.\nDopamine is one of the brain’s most influential neurotransmitters and neuromodulators, often described informally as the “molecule of life” and the “molecule of more” due to its unique and wide-ranging influence. In PWS, dopamine levels have been found to be abnormally elevated across several brain regions, including the medial prefrontal cortex, deep orbital cortex, insular cortex, extended amygdala, auditory cortex, and caudate tail. Notably, dopamine activity has been reported to reach nearly threefold higher levels in both the left caudate tail and the right vmPFC in PWS (Wu et al., 1997). Given dopamine’s critical role in regulating cognition, emotion, motivation, and motor control (Speranza et al., 2021), such elevations raise concerns that this increase is not merely a general symptom but may carry deeper significance.\nLike the other variables discussed, dopamine is deeply embedded in reciprocal causal relationships with metabolism, cerebral blood flow, iron accumulation, and gray and white matter development. Dopamine has the capacity to modulate metabolic activity and, consequently, cerebral perfusion (Choi et al., 2006; Knutson and Gibbs, 2007; da Silva et al., 2011; Alm, 2021). It may act as a primary driver of iron accumulation in the left hemisphere (Hare and Double, 2016; Cler et al., 2021).\nImportantly, the striatum is among the earliest regions to show abnormalities in developmental stuttering. This is particularly notable given that the striatum is one of the most dopamine-dependent structures and maintains direct connections with the two primary dopaminergic nuclei: the VTA and the substantia nigra.\nFurthermore, dopaminergic signaling can influence white and gray matter development in different ways that may be direct or indirect, depending on developmental stage, regional specificity, and compensatory versus pathological processes (Wood et al., 2009; Hare and Double, 2016; D’Ambrosio et al., 2021). It should be taken into consideration that if dopaminergic dysregulation is proposed as the primary driver of the observed alterations in gray and white matter, such an effect would be difficult to account for unless elevated dopaminergic activity were present early in neurodevelopment. This consideration is particularly relevant given that stuttering typically emerges during early childhood, most commonly between 2 and 5 years of age and in some cases up to 12 years of age. These developmental windows coincide with critical periods characterized by heightened neural plasticity, during which neurotransmitter imbalances can exert disproportionate and long-lasting effects on the maturation, organization, and stabilization of cortical and subcortical circuits. Within this framework, the hypothesis assumes that elevated extracellular dopamine may be present from the onset of the disorder, especially if dopamine is considered an upstream factor capable of shaping the subsequent structural, metabolic, and functional changes observed in PWS (see Figure 2).\nDopamine as a mechanism accounting for all changes.\nDopamine’s relevance, however, extends beyond its ability to unify physiological changes. It also exhibits an important functional property: the presence of both basal (tonic) and phasic modes of release. Phasic dopamine, in particular, demonstrates extraordinary flexibility. Its magnitude, timing, and target regions fluctuate dynamically in response to emotional states, contextual demands, task requirements, social evaluation, sleep, nutrition, and exposure to various substances (Alm, 2021).\nThis remarkable variability closely mirrors the situational variability observed in PWS. Because stuttering is inherently unstable, fluctuating across contexts, tasks, emotional states, and time, it is reasonable to infer that its underlying cause is also dynamic rather than fixed. Dopamine, in this regard, appears to be a particularly well-suited component within such a model.\nIn contrast to Alm’s proposal that the dynamics of the dopamine system constitute the main neural basis underlying the situational variability of stuttering, we argue that dopaminergic fluctuations represent one of several interacting contributors to situational variability. Within Model 1 (see Figure 1), dopamine does not act in isolation but instead participates in the process that culminates in the emergence of stuttering.\nSpecifically, elevated or dysregulated dopamine signaling in the striatum and auditory regions, both of which exhibit abnormalities from early development, directs attention back to the auditory–speech integration pathway. We propose that disrupted dopaminergic signaling within this pathway is a principal driver of aberrant error signals. In this framework, dopamine functions as either a system modulator or destabilizer. When dopaminergic signaling achieves a degree of balance or optimization, the intensity and frequency of error signals are reduced. Conversely, when dopaminergic signaling becomes more dysregulated, error signals intensify, necessitating increased engagement of the SMS and the rIFG.\nThus, dopamine acts as a double-edged mechanism capable of enhancing or degrading system stability (Figure 1). This helps explain why fluency-inducing conditions can lead to dramatic improvements in some individuals, while others continue to stutter to a lesser degree. The determining factor may lie in baseline dopamine levels and, more critically, in the degree of dopaminergic volatility.\nMoreover, dopamine provides a plausible explanation for time-based variability, a specific subtype of situational variability. Fluctuations in stuttering severity throughout the day or over longer temporal scales may reflect circadian and state-dependent changes in dopaminergic signaling. Similarly, the shifting pattern of stuttered phonemes and the emergence of new “difficult” words can be interpreted as consequences of ongoing reorganization in dopamine regulation and signaling dynamics.\nOur dopaminergic hypothesis may extend beyond formal experimental findings to offer a coherent explanatory framework for recurrent phenomenological observations reported by PWS. Numerous self-reported accounts describe fluctuations in stuttering severity in response to factors such as sleep quality, emotional state, specific foods, alcohol consumption, caffeine intake, and the use of certain supplements or medications. While such observations are inherently subjective and cannot be regarded as direct evidence, consistent directional changes, whether improvement or exacerbation, across these domains may reflect underlying modulation of dopaminergic signaling. Within this framework, noticeable positive or negative shifts in speech fluency in response to these factors are interpreted as indirect manifestations of variability in dopamine release, availability, or receptor sensitivity, thereby contributing to the marked intra-individual and situational variability characteristic of stuttering.\nThrough the extensive discussion of dopamine dysregulation and its connection to various physiological and clinical variables in stuttering, an important question now arises: What does dopamine dysregulation mean in PWS? What does it signify?\nWhen discussing dopamine dysregulation in stuttering, the critical issue is not merely the absolute level of dopamine, but the brain’s adaptive response to sustained dopaminergic imbalance. Evidence indicates that PWS exhibit markedly elevated extracellular dopamine, approaching a nearly threefold increase relative to neurotypical controls. Such a persistent elevation inevitably necessitates compensatory regulatory mechanisms within the dopaminergic system.\nAt first glance, this dopaminergic profile appears incompatible with several clinical observations. In fact, many PWS display features that seem inconsistent with dopamine excess, particularly with respect to mood regulation, attention, and other functions typically associated with elevated dopamine signaling. Most prominently, PWS show an increased prevalence of ADHD (Walsh et al., 2025). ADHD is traditionally conceptualized as a disorder of reduced effective dopamine signaling and is most commonly treated with medications that enhance dopaminergic transmission. This apparent contradiction raises a fundamental question:\nHow can ADHD-like traits emerge in a brain already characterized by elevated extracellular dopamine?\nThis paradox may be resolved by considering a mechanism well documented in the neurobiology of addiction. In addiction, repeated drug-induced dopamine surges elicit compensatory neuroadaptations. These adaptations include downregulation of postsynaptic dopamine receptors and a progressive reduction in receptor sensitivity, thereby weakening the functional expression of dopaminergic signaling (Volkow et al., 2010, 2016).\nIn addiction, dopamine levels undergo large, transient surges. Stuttering, by contrast, appears to involve a chronically elevated level of extracellular dopamine, rather than fluctuating peaks and troughs, creating a distinct dopaminergic state.\nChronic elevation of extracellular dopamine in PWS may induce a mild and gradual compensatory reduction in postsynaptic dopamine receptor sensitivity, a process that is likely far less pronounced than the robust receptor downregulation observed in addiction. The result is a paradoxical condition best described as functional dopamine deficit: dopamine is present in excess, yet its ability to exert stable and effective signaling is compromised.\nIn this state, dopaminergic transmission becomes inefficient and unstable. Normal moment-to-moment fluctuations in dopamine release, when acting upon a desensitized receptor system, are more likely to produce inconsistent or distorted signaling. This mismatch—high dopamine availability coupled with reduced functional impact—constitutes what we define as dopamine dysregulation, rather than simple hyperdopaminergia or hypodopaminergia.\nImportantly, taken together, this model suggests that stuttering represents a unique dopaminergic state: one in which chronic extracellular dopamine elevation paradoxically culminates in functional dopaminergic insufficiency.\nNow the most direct and critical question arises: what could be the underlying cause of elevated extracellular dopamine in PWS?\n\n\n### Neurobiological alterations in developmental stuttering: an overview\nHistorically, through a long and continuous line of research, substantial progress has been made in identifying and characterizing the physiological alterations associated with stuttering, which collectively distinguish it as a unique neurobiological condition. Much of this research has traditionally focused on the development of gray and white matter. A considerable portion of these studies has converged on the finding that the BGTC is significantly affected by atypical development, particularly manifesting as reductions in gray matter volume, alongside disrupted white matter pathways extending across both hemispheres (Sommer et al., 2002; Guenther, 2006; Kell et al., 2024; Beal et al., 2013; Foundas et al., 2013; Connally et al., 2014; Civier et al., 2015; Chang et al., 2008, 2015, 2019; Chow et al., 2023).\nHowever, the body of evidence extends well beyond structural abnormalities. In an integrative review of EEG and regional cerebral blood flow (rCBF) studies conducted in both children and AWS, Alm (2021) reported that PWS consistently exhibit reduced beta-band power during resting-state EEG. This pattern is commonly associated with diminished cerebral metabolic activity. In parallel, several rCBF studies have demonstrated reduced regional blood flow in frontal brain areas, particularly in regions characterized by high glycolytic demand, such as the inferior frontal gyrus (IFG).\nFurther evidence has emerged from neurochemical and metabolic imaging studies. An analysis of R2 relaxation maps in 41 AWS and 32 normally fluent controls revealed significant group differences in iron concentration, suggesting increased iron accumulation in the left putamen and left-hemisphere cortical regions critically involved in speech motor control (Cler et al., 2021).\nAmong these findings, one historically significant yet particularly striking study warrants special attention. A PET study by Wu et al. (1997) demonstrated a marked increase in 6-FDOPA uptake, indicative of elevated dopaminergic activity in several brain regions, including the right vmPFC, the left caudate tail, and limbic structures such as the deep orbital cortex, insular cortex, and extended amygdala in PWS.\nTaken together, these findings portray the brains of PWS as systems characterized by widespread dysregulation, ranging from atypical gray and white matter development to iron accumulation in left-hemisphere structures, reduced beta oscillatory activity linked to cerebral metabolism, diminished regional cerebral blood flow, and, ultimately, pronounced dopaminergic hyperactivity across key neural circuits.\nWithin this apparent neurobiological heterogeneity, the critical question becomes whether a particular brain region emerges as a common convergence point for these abnormalities. Upon closer examination, the striatum stands out as the structure most consistently and profoundly affected.\n\n\n### The striatum as a convergence hub of neural dysregulation\nThe striatum is a major subcortical structure of the basal ganglia system, playing a crucial role in motor control, cognitive functions, action selection, and reward processing. It is primarily divided into two regions based on anatomical and functional distinctions: first, the dorsal striatum, which cosists of the caudate nucleus and putamen, is involved in motor coordination, procedural learning, and the modulation of voluntary movement. Second, the ventral striatum, which comprises the nucleus accumbens and olfactory tubercle, is part of the limbic system and plays a key role in reward processing, motivation, emotion, and reinforcement learning (Kandel et al., 2013).\nThe striatum was the earliest region to demonstrate atypical development, marked by reduced GMV (Chow et al., 2023). The extent of this reduction strongly correlates with stuttering severity during childhood. Brain imaging shows abnormally low activity in speech cortical areas and the striatum in PWS. However, when fluency is induced (solo vs. choral reading), cortical activity normalizes, but striatal activity remains low. Moreover, any increase in metabolism within this structure leads to noticeable improvements in fluency (Maguire et al., 2020). The striatum also showed the highest levels of iron accumulation (Cler et al., 2021) and contains the highest concentration of dopamine, up to three times greater than normal levels (Wu et al., 1997).\nThese findings demonstrate that the striatum stands out from other brain structures: it is the earliest region to show abnormalities and the one in which these alterations appear to persist most strongly. This observation raises an important question: why do the earliest detectable changes emerge in the striatum rather than in regions such as Broca’s area, Wernicke’s area, or the motor cortex? What characteristics make the striatum particularly susceptible to early disruption? As we argue below, the striatum possesses several features that distinguish it from other brain regions and may help explain this vulnerability.\nThe striatum is distinguished from most other brain regions by its exceptionally dense dopaminergic innervation. It receives substantial dopamine input from both the substantia nigra and the ventral tegmental area and expresses a high concentration of D1 and D2 type dopamine receptors, making it a primary target for dopaminergic signaling and supporting its central role in motor control, action selection, speech, motivation, and reward processing (Björklund and Dunnett, 2007; Delgado, 2007; Kreitzer and Malenka, 2008; Gerfen and Surmeier, 2011). This organization suggests that the striatum may be particularly sensitive to variations in dopamine levels. In line with this, a PET study by Wu et al. (1997) reported markedly elevated dopaminergic activity in specific striatal regions in PWS. These observations raise an important question: if striatal abnormalities emerge first, and given the close association between the striatum and dopamine, can dopamine dysregulation be considered the initial pathological event, or might other upstream changes precede and drive the observed dopaminergic alterations?\n\n\n### Circular causality in stuttering neurobiology\nHere we enter a circular causal framework, in which each component can act both as a cause and a consequence of the others. Alterations in gray and white matter, metabolic activity, cerebral blood flow, iron accumulation, and dopaminergic signaling are not arranged in a simple linear hierarchy. Rather, each of these variables can influence the others bidirectionally, making it difficult to identify a single initiating event. In such a system, no element can be confidently labeled as the primary culprit; instead, each may simultaneously function as both origin and outcome.\nOne of the most influential hypotheses discussed within this context is the “disorder of energy supply to neurons” proposed by Alm (2021). This hypothesis argues that impaired metabolic support to neurons may represent the primary dysfunction from which many downstream abnormalities emerge. Alm extensively reviewed and analyzed experimental evidence suggesting that metabolic insufficiency could precede and drive changes in neural signaling, structure, and function. Another well-known hypothesis is lysosomal trafficking dysfunction, which proposes that impairments in lysosomal function lead to intracellular waste accumulation, subsequently triggering widespread cellular and neural dysfunction (Kang et al., 2010).\nWithin our own model, however, the central objective is to identify which of these variables possesses the greatest explanatory power—one that can simultaneously account for both the clinical manifestations of stuttering and the physiological and structural alterations observed in the brain. In other words, we are searching for a unifying thread capable of linking the neurophysiology of stuttering with its phenomenology. From this perspective, dopamine emerges as the most compelling candidate.\n\n\n### Dopamine as a unifying mechanism\nDopamine is one of the brain’s most influential neurotransmitters and neuromodulators, often described informally as the “molecule of life” and the “molecule of more” due to its unique and wide-ranging influence. In PWS, dopamine levels have been found to be abnormally elevated across several brain regions, including the medial prefrontal cortex, deep orbital cortex, insular cortex, extended amygdala, auditory cortex, and caudate tail. Notably, dopamine activity has been reported to reach nearly threefold higher levels in both the left caudate tail and the right vmPFC in PWS (Wu et al., 1997). Given dopamine’s critical role in regulating cognition, emotion, motivation, and motor control (Speranza et al., 2021), such elevations raise concerns that this increase is not merely a general symptom but may carry deeper significance.\nLike the other variables discussed, dopamine is deeply embedded in reciprocal causal relationships with metabolism, cerebral blood flow, iron accumulation, and gray and white matter development. Dopamine has the capacity to modulate metabolic activity and, consequently, cerebral perfusion (Choi et al., 2006; Knutson and Gibbs, 2007; da Silva et al., 2011; Alm, 2021). It may act as a primary driver of iron accumulation in the left hemisphere (Hare and Double, 2016; Cler et al., 2021).\nImportantly, the striatum is among the earliest regions to show abnormalities in developmental stuttering. This is particularly notable given that the striatum is one of the most dopamine-dependent structures and maintains direct connections with the two primary dopaminergic nuclei: the VTA and the substantia nigra.\nFurthermore, dopaminergic signaling can influence white and gray matter development in different ways that may be direct or indirect, depending on developmental stage, regional specificity, and compensatory versus pathological processes (Wood et al., 2009; Hare and Double, 2016; D’Ambrosio et al., 2021). It should be taken into consideration that if dopaminergic dysregulation is proposed as the primary driver of the observed alterations in gray and white matter, such an effect would be difficult to account for unless elevated dopaminergic activity were present early in neurodevelopment. This consideration is particularly relevant given that stuttering typically emerges during early childhood, most commonly between 2 and 5 years of age and in some cases up to 12 years of age. These developmental windows coincide with critical periods characterized by heightened neural plasticity, during which neurotransmitter imbalances can exert disproportionate and long-lasting effects on the maturation, organization, and stabilization of cortical and subcortical circuits. Within this framework, the hypothesis assumes that elevated extracellular dopamine may be present from the onset of the disorder, especially if dopamine is considered an upstream factor capable of shaping the subsequent structural, metabolic, and functional changes observed in PWS (see Figure 2).\nDopamine as a mechanism accounting for all changes.\nDopamine’s relevance, however, extends beyond its ability to unify physiological changes. It also exhibits an important functional property: the presence of both basal (tonic) and phasic modes of release. Phasic dopamine, in particular, demonstrates extraordinary flexibility. Its magnitude, timing, and target regions fluctuate dynamically in response to emotional states, contextual demands, task requirements, social evaluation, sleep, nutrition, and exposure to various substances (Alm, 2021).\nThis remarkable variability closely mirrors the situational variability observed in PWS. Because stuttering is inherently unstable, fluctuating across contexts, tasks, emotional states, and time, it is reasonable to infer that its underlying cause is also dynamic rather than fixed. Dopamine, in this regard, appears to be a particularly well-suited component within such a model.\n\n\n### Dopamine as a modulatory mechanism in model 1\nIn contrast to Alm’s proposal that the dynamics of the dopamine system constitute the main neural basis underlying the situational variability of stuttering, we argue that dopaminergic fluctuations represent one of several interacting contributors to situational variability. Within Model 1 (see Figure 1), dopamine does not act in isolation but instead participates in the process that culminates in the emergence of stuttering.\nSpecifically, elevated or dysregulated dopamine signaling in the striatum and auditory regions, both of which exhibit abnormalities from early development, directs attention back to the auditory–speech integration pathway. We propose that disrupted dopaminergic signaling within this pathway is a principal driver of aberrant error signals. In this framework, dopamine functions as either a system modulator or destabilizer. When dopaminergic signaling achieves a degree of balance or optimization, the intensity and frequency of error signals are reduced. Conversely, when dopaminergic signaling becomes more dysregulated, error signals intensify, necessitating increased engagement of the SMS and the rIFG.\nThus, dopamine acts as a double-edged mechanism capable of enhancing or degrading system stability (Figure 1). This helps explain why fluency-inducing conditions can lead to dramatic improvements in some individuals, while others continue to stutter to a lesser degree. The determining factor may lie in baseline dopamine levels and, more critically, in the degree of dopaminergic volatility.\nMoreover, dopamine provides a plausible explanation for time-based variability, a specific subtype of situational variability. Fluctuations in stuttering severity throughout the day or over longer temporal scales may reflect circadian and state-dependent changes in dopaminergic signaling. Similarly, the shifting pattern of stuttered phonemes and the emergence of new “difficult” words can be interpreted as consequences of ongoing reorganization in dopamine regulation and signaling dynamics.\nOur dopaminergic hypothesis may extend beyond formal experimental findings to offer a coherent explanatory framework for recurrent phenomenological observations reported by PWS. Numerous self-reported accounts describe fluctuations in stuttering severity in response to factors such as sleep quality, emotional state, specific foods, alcohol consumption, caffeine intake, and the use of certain supplements or medications. While such observations are inherently subjective and cannot be regarded as direct evidence, consistent directional changes, whether improvement or exacerbation, across these domains may reflect underlying modulation of dopaminergic signaling. Within this framework, noticeable positive or negative shifts in speech fluency in response to these factors are interpreted as indirect manifestations of variability in dopamine release, availability, or receptor sensitivity, thereby contributing to the marked intra-individual and situational variability characteristic of stuttering.\nThrough the extensive discussion of dopamine dysregulation and its connection to various physiological and clinical variables in stuttering, an important question now arises: What does dopamine dysregulation mean in PWS? What does it signify?\n\n\n### Exploring dopaminergic dysregulation in stuttering: elevated levels and adaptive responses\nWhen discussing dopamine dysregulation in stuttering, the critical issue is not merely the absolute level of dopamine, but the brain’s adaptive response to sustained dopaminergic imbalance. Evidence indicates that PWS exhibit markedly elevated extracellular dopamine, approaching a nearly threefold increase relative to neurotypical controls. Such a persistent elevation inevitably necessitates compensatory regulatory mechanisms within the dopaminergic system.\nAt first glance, this dopaminergic profile appears incompatible with several clinical observations. In fact, many PWS display features that seem inconsistent with dopamine excess, particularly with respect to mood regulation, attention, and other functions typically associated with elevated dopamine signaling. Most prominently, PWS show an increased prevalence of ADHD (Walsh et al., 2025). ADHD is traditionally conceptualized as a disorder of reduced effective dopamine signaling and is most commonly treated with medications that enhance dopaminergic transmission. This apparent contradiction raises a fundamental question:\nHow can ADHD-like traits emerge in a brain already characterized by elevated extracellular dopamine?\nThis paradox may be resolved by considering a mechanism well documented in the neurobiology of addiction. In addiction, repeated drug-induced dopamine surges elicit compensatory neuroadaptations. These adaptations include downregulation of postsynaptic dopamine receptors and a progressive reduction in receptor sensitivity, thereby weakening the functional expression of dopaminergic signaling (Volkow et al., 2010, 2016).\nIn addiction, dopamine levels undergo large, transient surges. Stuttering, by contrast, appears to involve a chronically elevated level of extracellular dopamine, rather than fluctuating peaks and troughs, creating a distinct dopaminergic state.\nChronic elevation of extracellular dopamine in PWS may induce a mild and gradual compensatory reduction in postsynaptic dopamine receptor sensitivity, a process that is likely far less pronounced than the robust receptor downregulation observed in addiction. The result is a paradoxical condition best described as functional dopamine deficit: dopamine is present in excess, yet its ability to exert stable and effective signaling is compromised.\nIn this state, dopaminergic transmission becomes inefficient and unstable. Normal moment-to-moment fluctuations in dopamine release, when acting upon a desensitized receptor system, are more likely to produce inconsistent or distorted signaling. This mismatch—high dopamine availability coupled with reduced functional impact—constitutes what we define as dopamine dysregulation, rather than simple hyperdopaminergia or hypodopaminergia.\nImportantly, taken together, this model suggests that stuttering represents a unique dopaminergic state: one in which chronic extracellular dopamine elevation paradoxically culminates in functional dopaminergic insufficiency.\nNow the most direct and critical question arises: what could be the underlying cause of elevated extracellular dopamine in PWS?\n\n\n### D2 autoreceptor dysfunction as a candidate mechanism for elevated extracellular dopamine\nAccording to Ford (2014), D2 autoreceptors located on presynaptic dopaminergic neurons in the substantia nigra pars compacta (SNc), VTA, and striatal terminals serve as essential regulators of dopamine signaling through a classic negative feedback mechanism. When activated by extracellular dopamine, these receptors suppress dopaminergic neuron firing, reduce dopamine synthesis by inhibiting tyrosine hydroxylase, and decrease vesicular dopamine release. Ford also highlights that D2 autoreceptors play a role in dopamine clearance by indirectly enhancing dopamine transporter (DAT) function—not through direct binding, but by promoting intracellular pathways that increase DAT surface expression and activity, thereby facilitating more efficient reuptake. This dual action, limiting both release and increasing reuptake, allows D2 autoreceptors to maintain tight control over extracellular dopamine concentrations.\nRobinson et al. (2017) further investigated the behavior of D2 autoreceptors after desensitization in midbrain dopamine neurons, particularly focusing on their trafficking and internalization dynamics. Unlike most G protein-coupled receptors (GPCRs), which are typically internalized and recycled or degraded following desensitization, D2 autoreceptors in the substantia nigra were found to resist internalization even after prolonged stimulation. The researchers observed that these receptors remained clustered on the somatodendritic membrane in a punctate distribution pattern. Interestingly, this resistance to internalization was cell type specific. When the same D2 receptors were expressed in non-dopaminergic neurons (e.g., in the locus coeruleus), they internalized normally. This suggests that intrinsic properties of dopamine neurons prevent the removal of desensitized D2 autoreceptors. These observations raise the possibility that, if similar trafficking resistance occurs in pathological states, desensitized D2 autoreceptors could remain at the membrane, potentially altering the dynamics of autoreceptor-mediated feedback control.\nWe propose that dysfunction in D2 autoreceptors disrupts the brain’s primary mechanism for controlling extracellular dopamine. When these autoreceptors fail to suppress dopamine synthesis, release, and reuptake, extracellular dopamine rises to abnormally high levels. In an attempt to restore balance, the brain downregulates postsynaptic dopamine receptors; however, this adaptive response reduces receptor availability and weakens the efficiency of dopaminergic signaling. Instead of normalizing the system, the combined effect of high extracellular dopamine and diminished receptor responsiveness produces what can be described as a “functional dopamine deficit,” a state in which dopamine is plentiful, yet its signaling impact is unstable, inefficient, or effectively reduced.\nWithin this framework, several major observations in PWS can be interpreted coherently. Reduced functional dopamine may impair predictive coding and feedforward–feedback matching within the striatum and LSTG, leading to the error-related signals proposed in this framework.\nThis framework also offers a coherent explanation for the emergence of ADHD-like features in PWS. While the reduction in functional dopamine signaling may not always be severe enough to produce overt symptoms of dopamine deficiency, in certain individuals or developmental contexts it may cross a critical threshold, manifesting clinically as ADHD. This explains why PWS who have high dopamine levels do not exhibit the typical symptoms of high dopamine but rather tend to show conditions associated with inefficient or weak dopaminergic signaling, such as ADHD.\nThe proposed model may also help explain why CWS are more susceptible to specific difficulties: impaired phonological working memory, attention deficits, challenges in cognitive flexibility, and hyperactive or compulsive behaviors (Anderson and Wagovich, 2010; Alm, 2014; Eichorn et al., 2018; Paphiti and Eggers, 2022). This vulnerability may stem from a functional dopamine deficit, which is likely central to these manifestations given dopamine’s critical role in learning, attention, and compulsive behaviors.\nWhen this theoretical framework is integrated with Figure 1, in which dopamine functions as a system enhancer or destabilizer, our hypothesis and overarching framework are complete. Together, they are proposed to possess the full explanatory capacity to account for situational variability, developmental changes in stuttering symptoms, and the documented physiological alterations associated with the disorder.\nThe desensitization of presynaptic D2 autoreceptors appears to be the first hidden event that catalyzes everything that follows, as suggested by the hypothesis. However, this process does not represent the root cause of stuttering. These receptors do not lose their sensitivity spontaneously; rather, their desensitization is driven by a specific yet unidentified factor—a mystery element that may hold the key to the true origin of the disorder.\n\n\n### Introduction to D2 autoreceptors\nAccording to Ford (2014), D2 autoreceptors located on presynaptic dopaminergic neurons in the substantia nigra pars compacta (SNc), VTA, and striatal terminals serve as essential regulators of dopamine signaling through a classic negative feedback mechanism. When activated by extracellular dopamine, these receptors suppress dopaminergic neuron firing, reduce dopamine synthesis by inhibiting tyrosine hydroxylase, and decrease vesicular dopamine release. Ford also highlights that D2 autoreceptors play a role in dopamine clearance by indirectly enhancing dopamine transporter (DAT) function—not through direct binding, but by promoting intracellular pathways that increase DAT surface expression and activity, thereby facilitating more efficient reuptake. This dual action, limiting both release and increasing reuptake, allows D2 autoreceptors to maintain tight control over extracellular dopamine concentrations.\nRobinson et al. (2017) further investigated the behavior of D2 autoreceptors after desensitization in midbrain dopamine neurons, particularly focusing on their trafficking and internalization dynamics. Unlike most G protein-coupled receptors (GPCRs), which are typically internalized and recycled or degraded following desensitization, D2 autoreceptors in the substantia nigra were found to resist internalization even after prolonged stimulation. The researchers observed that these receptors remained clustered on the somatodendritic membrane in a punctate distribution pattern. Interestingly, this resistance to internalization was cell type specific. When the same D2 receptors were expressed in non-dopaminergic neurons (e.g., in the locus coeruleus), they internalized normally. This suggests that intrinsic properties of dopamine neurons prevent the removal of desensitized D2 autoreceptors. These observations raise the possibility that, if similar trafficking resistance occurs in pathological states, desensitized D2 autoreceptors could remain at the membrane, potentially altering the dynamics of autoreceptor-mediated feedback control.\n\n\n### Toward a unifying hypothesis: D2 autoreceptor dysfunction in stuttering\nWe propose that dysfunction in D2 autoreceptors disrupts the brain’s primary mechanism for controlling extracellular dopamine. When these autoreceptors fail to suppress dopamine synthesis, release, and reuptake, extracellular dopamine rises to abnormally high levels. In an attempt to restore balance, the brain downregulates postsynaptic dopamine receptors; however, this adaptive response reduces receptor availability and weakens the efficiency of dopaminergic signaling. Instead of normalizing the system, the combined effect of high extracellular dopamine and diminished receptor responsiveness produces what can be described as a “functional dopamine deficit,” a state in which dopamine is plentiful, yet its signaling impact is unstable, inefficient, or effectively reduced.\nWithin this framework, several major observations in PWS can be interpreted coherently. Reduced functional dopamine may impair predictive coding and feedforward–feedback matching within the striatum and LSTG, leading to the error-related signals proposed in this framework.\nThis framework also offers a coherent explanation for the emergence of ADHD-like features in PWS. While the reduction in functional dopamine signaling may not always be severe enough to produce overt symptoms of dopamine deficiency, in certain individuals or developmental contexts it may cross a critical threshold, manifesting clinically as ADHD. This explains why PWS who have high dopamine levels do not exhibit the typical symptoms of high dopamine but rather tend to show conditions associated with inefficient or weak dopaminergic signaling, such as ADHD.\nThe proposed model may also help explain why CWS are more susceptible to specific difficulties: impaired phonological working memory, attention deficits, challenges in cognitive flexibility, and hyperactive or compulsive behaviors (Anderson and Wagovich, 2010; Alm, 2014; Eichorn et al., 2018; Paphiti and Eggers, 2022). This vulnerability may stem from a functional dopamine deficit, which is likely central to these manifestations given dopamine’s critical role in learning, attention, and compulsive behaviors.\nWhen this theoretical framework is integrated with Figure 1, in which dopamine functions as a system enhancer or destabilizer, our hypothesis and overarching framework are complete. Together, they are proposed to possess the full explanatory capacity to account for situational variability, developmental changes in stuttering symptoms, and the documented physiological alterations associated with the disorder.\nThe desensitization of presynaptic D2 autoreceptors appears to be the first hidden event that catalyzes everything that follows, as suggested by the hypothesis. However, this process does not represent the root cause of stuttering. These receptors do not lose their sensitivity spontaneously; rather, their desensitization is driven by a specific yet unidentified factor—a mystery element that may hold the key to the true origin of the disorder.\n\n\n### Empirical tests and falsifiable predictions\nRegarding the dopamine hypothesis in PWS, the current literature includes only a single study that directly measured dopamine levels. This study, conducted by Wu et al. (1997), examined dopamine activity in only three AWS using PET. Given the extremely small sample size and the lack of replication, the evidence supporting elevated dopamine levels in stuttering remains limited. Therefore, the first and most essential recommendation is to replicate the Wu et al. study in a larger cohort of adults, either using the same PET methodology or alternative techniques with comparable or superior sensitivity and reliability.\nThis replication is of critical importance, as it constitutes the empirical foundation upon which the dopamine hypothesis is built. Confirming that elevated dopamine levels are consistently present in PWS, and not restricted to a specific subgroup or experimental artifact, would provide strong support for the involvement of dopamine in the pathophysiology of stuttering. Moreover, such studies should aim not only to quantify dopamine levels but also to map the spatial distribution of elevated dopamine within the brain. Identifying the regions where dopamine concentrations are highest would be invaluable for understanding how dopamine may drive the diverse physiological and functional alterations previously discussed across multiple brain regions implicated in stuttering.\nRegarding the hypothesis that desensitization or dysfunction of presynaptic D2 autoreceptors contributes to increased extracellular dopamine levels, it is important to note that multiple methods for assessing dopamine function are currently available (Post and Sulzer, 2021; Reneman et al., 2021). Regardless of the specific technique employed, a crucial requirement is that it must be capable of detecting abnormalities specifically related to these autoreceptors. Such abnormalities may include reduced activity, decreased sensitivity, or qualitatively abnormal receptor function. Whatever biomarker or imaging modality is selected, it should provide direct or indirect evidence concerning the functional status of presynaptic D2 autoreceptors in PWS.\nOne particularly intriguing possibility is that these autoreceptors may be functionally intact at the receptor level, while the underlying dysfunction lies in their regulatory role over dopamine transporter (DAT) expression. Since presynaptic D2 autoreceptors indirectly influence DAT expression, impairment in this signaling pathway could result in reduced DAT availability, thereby leading to elevated extracellular dopamine levels. Consequently, assessing DAT activity or expression in the brains of PWS would be both important and highly informative. However, given their central regulatory role, presynaptic D2 autoreceptors should remain the primary experimental target, particularly within their principal anatomical distribution areas: the ventral tegmental area (VTA), substantia nigra, and striatum.\nMeasuring dopamine levels in CWS is another area of significant importance. To date, no study in the stuttering literature has directly assessed dopamine levels in pediatric populations. Conducting such research would represent a major advancement in the field. For this to be feasible, any technique used to assess dopamine in children must satisfy two fundamental criteria. First, the method must be safe, as techniques such as PET involve radiation exposure and are therefore unsuitable for use in children. Selecting a non-invasive and safe measurement tool is thus a primary requirement. Second, the method must possess sufficient sensitivity to reliably detect dopamine levels. While extremely high spatial resolution or detailed dopamine mapping is not strictly necessary (although such data would be highly informative), the technique should, at a minimum, be capable of answering a critical question: Is dopamine elevated in the brains of CWS?\nAddressing this core question would have profound implications. Demonstrating elevated dopamine levels in CWS would strongly support a causal role for dopamine, indicating that dopaminergic abnormalities are present from the earliest stages of the disorder. Furthermore, if such studies were able to stratify children into subgroups, for example, those with very high dopamine levels, moderately elevated levels, or near-normal levels, and then longitudinally follow these groups into adulthood, it would become possible to test a highly informative hypothesis. Specifically, one could predict that children with relatively lower dopamine elevations would be more likely to recover from stuttering, whereas those with the highest dopamine levels would be more likely to develop persistent stuttering. Such findings would not only deepen our understanding of the neurobiological mechanisms underlying stuttering but could also open new avenues for early prognosis and targeted intervention.\nThe proposed hypothesis assigns a primary causal role in the emergence of stuttering to the rIFG. The most compelling evidence in support of this claim would come from real-time measurement of activity across the entire rIFG–HDP–STN specifically during moments of stuttering or immediate speech blocks. Under these conditions, a pronounced and transient spike in rIFG activity is expected, propagating through the HDP to the STN. The detection of such a sharp, time-locked increase in activity would constitute direct evidence for the involvement of this pathway in the generation of stuttering, particularly in blocking phenomena.\nDuring fluent speech, the rIFG–HDP–STN pathway is expected to operate within a normal functional range. Activation during fluent speech may occur at a low level, in a sustained manner, or in a regular rhythmic pattern, reflecting the broader involvement of this pathway in multiple cognitive and motor control processes. However, fluent speech should not be accompanied by sudden, high-amplitude, transient spikes in activity comparable to those observed during stuttering events. Because this pathway cannot be selectively dedicated to speech and necessarily supports a range of functions, baseline or moderate activation during fluent speech is expected and theoretically acceptable. In contrast, abrupt and intense activation should be specific to moments of stuttering. The absence of such stuttering-specific activity would significantly weaken the hypothesis that the rIFG plays a causal role in the emergence of stuttering symptoms.\nIt remains unclear whether the abnormal connectivity of the rIFG is a consequence of altered extracellular dopamine levels or represents a separate neurobiological abnormality. This uncertainty highlights the importance of investigating the effects of dopamine, particularly during childhood, on the development and connectivity of the rIFG, and of determining whether elevated extracellular dopamine may be a plausible causal contributor to the atypical connectivity patterns observed in this region.\nA recent study by Muscarà et al. (2025) introduced a multisensory stimulation protocol that combined delayed and frequency-shifted auditory feedback, visually delayed self-images with color modifications, and vibrotactile input delivered through a specialized vest. These unpredictable stimuli overloaded the SMS and shifted its resources away from internal speech monitoring, leading to immediate fluency improvements and sustained benefits over a 1-year follow-up. By interrupting the overactive monitoring loop, the intervention may have facilitated neuroplastic changes that progressively reduced the involvement of conscious error monitoring in the speech–auditory–motor system, encouraging a shift toward more subconscious speech monitoring. Within our framework, the Muscarà multisensory protocol can be conceptualized as a set of convergent manipulations of the SMS, each transiently reallocating monitoring resources away from speech and, consequently, facilitating fluency. Nevertheless, the underlying neural mechanisms responsible for these improvements remain to be empirically established. Conducting a study based on Muscarà’s approach, which aims to overload the SMS with a high volume of stimuli to prevent the transition from subconscious to conscious error monitoring, would be helpful in confirming the involvement of this system, specifically its conscious component, in the emergence of stuttering. There are many methods that can be used to distract the speaker, and conducting such research or providing creative approaches for this task will not be difficult.\n\n\n### Dopamine hypotheses\nRegarding the dopamine hypothesis in PWS, the current literature includes only a single study that directly measured dopamine levels. This study, conducted by Wu et al. (1997), examined dopamine activity in only three AWS using PET. Given the extremely small sample size and the lack of replication, the evidence supporting elevated dopamine levels in stuttering remains limited. Therefore, the first and most essential recommendation is to replicate the Wu et al. study in a larger cohort of adults, either using the same PET methodology or alternative techniques with comparable or superior sensitivity and reliability.\nThis replication is of critical importance, as it constitutes the empirical foundation upon which the dopamine hypothesis is built. Confirming that elevated dopamine levels are consistently present in PWS, and not restricted to a specific subgroup or experimental artifact, would provide strong support for the involvement of dopamine in the pathophysiology of stuttering. Moreover, such studies should aim not only to quantify dopamine levels but also to map the spatial distribution of elevated dopamine within the brain. Identifying the regions where dopamine concentrations are highest would be invaluable for understanding how dopamine may drive the diverse physiological and functional alterations previously discussed across multiple brain regions implicated in stuttering.\nRegarding the hypothesis that desensitization or dysfunction of presynaptic D2 autoreceptors contributes to increased extracellular dopamine levels, it is important to note that multiple methods for assessing dopamine function are currently available (Post and Sulzer, 2021; Reneman et al., 2021). Regardless of the specific technique employed, a crucial requirement is that it must be capable of detecting abnormalities specifically related to these autoreceptors. Such abnormalities may include reduced activity, decreased sensitivity, or qualitatively abnormal receptor function. Whatever biomarker or imaging modality is selected, it should provide direct or indirect evidence concerning the functional status of presynaptic D2 autoreceptors in PWS.\nOne particularly intriguing possibility is that these autoreceptors may be functionally intact at the receptor level, while the underlying dysfunction lies in their regulatory role over dopamine transporter (DAT) expression. Since presynaptic D2 autoreceptors indirectly influence DAT expression, impairment in this signaling pathway could result in reduced DAT availability, thereby leading to elevated extracellular dopamine levels. Consequently, assessing DAT activity or expression in the brains of PWS would be both important and highly informative. However, given their central regulatory role, presynaptic D2 autoreceptors should remain the primary experimental target, particularly within their principal anatomical distribution areas: the ventral tegmental area (VTA), substantia nigra, and striatum.\nMeasuring dopamine levels in CWS is another area of significant importance. To date, no study in the stuttering literature has directly assessed dopamine levels in pediatric populations. Conducting such research would represent a major advancement in the field. For this to be feasible, any technique used to assess dopamine in children must satisfy two fundamental criteria. First, the method must be safe, as techniques such as PET involve radiation exposure and are therefore unsuitable for use in children. Selecting a non-invasive and safe measurement tool is thus a primary requirement. Second, the method must possess sufficient sensitivity to reliably detect dopamine levels. While extremely high spatial resolution or detailed dopamine mapping is not strictly necessary (although such data would be highly informative), the technique should, at a minimum, be capable of answering a critical question: Is dopamine elevated in the brains of CWS?\nAddressing this core question would have profound implications. Demonstrating elevated dopamine levels in CWS would strongly support a causal role for dopamine, indicating that dopaminergic abnormalities are present from the earliest stages of the disorder. Furthermore, if such studies were able to stratify children into subgroups, for example, those with very high dopamine levels, moderately elevated levels, or near-normal levels, and then longitudinally follow these groups into adulthood, it would become possible to test a highly informative hypothesis. Specifically, one could predict that children with relatively lower dopamine elevations would be more likely to recover from stuttering, whereas those with the highest dopamine levels would be more likely to develop persistent stuttering. Such findings would not only deepen our understanding of the neurobiological mechanisms underlying stuttering but could also open new avenues for early prognosis and targeted intervention.\n\n\n### rIFG hypothesis\nThe proposed hypothesis assigns a primary causal role in the emergence of stuttering to the rIFG. The most compelling evidence in support of this claim would come from real-time measurement of activity across the entire rIFG–HDP–STN specifically during moments of stuttering or immediate speech blocks. Under these conditions, a pronounced and transient spike in rIFG activity is expected, propagating through the HDP to the STN. The detection of such a sharp, time-locked increase in activity would constitute direct evidence for the involvement of this pathway in the generation of stuttering, particularly in blocking phenomena.\nDuring fluent speech, the rIFG–HDP–STN pathway is expected to operate within a normal functional range. Activation during fluent speech may occur at a low level, in a sustained manner, or in a regular rhythmic pattern, reflecting the broader involvement of this pathway in multiple cognitive and motor control processes. However, fluent speech should not be accompanied by sudden, high-amplitude, transient spikes in activity comparable to those observed during stuttering events. Because this pathway cannot be selectively dedicated to speech and necessarily supports a range of functions, baseline or moderate activation during fluent speech is expected and theoretically acceptable. In contrast, abrupt and intense activation should be specific to moments of stuttering. The absence of such stuttering-specific activity would significantly weaken the hypothesis that the rIFG plays a causal role in the emergence of stuttering symptoms.\nIt remains unclear whether the abnormal connectivity of the rIFG is a consequence of altered extracellular dopamine levels or represents a separate neurobiological abnormality. This uncertainty highlights the importance of investigating the effects of dopamine, particularly during childhood, on the development and connectivity of the rIFG, and of determining whether elevated extracellular dopamine may be a plausible causal contributor to the atypical connectivity patterns observed in this region.\n\n\n### Conscious error monitoring hypothesis\nA recent study by Muscarà et al. (2025) introduced a multisensory stimulation protocol that combined delayed and frequency-shifted auditory feedback, visually delayed self-images with color modifications, and vibrotactile input delivered through a specialized vest. These unpredictable stimuli overloaded the SMS and shifted its resources away from internal speech monitoring, leading to immediate fluency improvements and sustained benefits over a 1-year follow-up. By interrupting the overactive monitoring loop, the intervention may have facilitated neuroplastic changes that progressively reduced the involvement of conscious error monitoring in the speech–auditory–motor system, encouraging a shift toward more subconscious speech monitoring. Within our framework, the Muscarà multisensory protocol can be conceptualized as a set of convergent manipulations of the SMS, each transiently reallocating monitoring resources away from speech and, consequently, facilitating fluency. Nevertheless, the underlying neural mechanisms responsible for these improvements remain to be empirically established. Conducting a study based on Muscarà’s approach, which aims to overload the SMS with a high volume of stimuli to prevent the transition from subconscious to conscious error monitoring, would be helpful in confirming the involvement of this system, specifically its conscious component, in the emergence of stuttering. There are many methods that can be used to distract the speaker, and conducting such research or providing creative approaches for this task will not be difficult.\n\n\n### Future directions\nIn future work, we will develop and pre-register comprehensive experimental protocols aimed at directly testing the model’s core predictions. These protocols will encompass all major components of the proposed framework, including the hypothesized dysfunction of D2 autoreceptors, the Decode Stuttering Puzzle model (Figure 1), the SMS mechanism, and the involvement of the rIFG. All proposed protocols will be made publicly accessible, enabling independent research groups to reproduce, evaluate, and challenge the hypothesis through standardized and transparent procedures. Such prospective work will provide a rigorous foundation for assessing the model and refining its mechanistic elements.\n\n\n### Conclusion\nIn this work, we aimed to present a comprehensive hypothesis capable of explaining the diverse phenomena of stuttering in a logical, coherent, and testable manner. The present study builds upon previous research, hypotheses, and experimental findings, integrating their results into a unified and coherent framework rather than treating them as separate or competing accounts.\nIn the conclusion, this work revisits dopamine as a primary causal factor or the initiating event from which subsequent pathological processes emerge. Particular emphasis is placed on presynaptic D2 autoreceptors as a potential mechanism underlying the abnormally elevated dopamine levels observed in PWS. In parallel, the study addresses a long-standing debate concerning the role of the rIFG, proposing that this structure may function as both a compensatory and causal mechanism in stuttering, depending on the presence of the warning signals generated by the SMS.\nFurthermore, we extend existing models of the SMS by refining and expanding their explanatory scope. We hope that the updated framework is better equipped to account for well-established features of stuttering.\nA key contribution of this work is the explicit incorporation of situational variability as a defining feature of stuttering rather than a secondary or peripheral characteristic. By linking situational variability to underlying neurobiological dynamics, we introduce an integrated model (Figure 1) in which dopamine acts as a modulatory factor capable of stabilizing or destabilizing the model across contexts. This framework provides a direct neurobiological explanation for why stuttering severity fluctuates across situations, time, and social environments.\nWe hope that this work encourages renewed focus on situational variability, dopaminergic mechanisms, the SMS, and the role of the rIFG, and promotes the development of integrative frameworks capable of explaining stuttering as a multidimensional disorder rather than through single-factor accounts.", "domain": "affective_neuroscience"}
{"source": "PMC13099844", "title": "The impact of mobile game genre on gaming disorder risk in early adolescents: a goal-oriented classification approach", "text": "# The impact of mobile game genre on gaming disorder risk in early adolescents: a goal-oriented classification approach\n\n## Abstract\nThis study aimed to investigate the relationship between mobile game genres and Internet gaming disorder (IGD) in early adolescents using a novel goal-oriented classification system. Additionally, the study examined whether daily gaming time mediates the association between game genre and problematic gaming. Data were drawn from Wave 8 of the Kids Cohort for Understanding Internet Addiction Risk Factors in Early Childhood (K-CURE), including 152 participants aged 9 to 12 years. Participants identified their most frequently played mobile game, which was categorized into three groups: physical obstacle, cognitive obstacle, and competitive games. Problematic gaming was assessed using the Internet Gaming Use-Elicited Symptom Screen (IGUESS). Multiple linear regression analyses were performed to evaluate the associations between game genres and IGD, controlling for demographic and parental variables. Mediation analyses were conducted using daily gaming time as a mediator, testing both direct and indirect effects. Regression analyses indicated that playing physical obstacle games was significantly associated with higher IGUESS scores compared to minimal players (B = 1.709, p = 0.039), while cognitive and competitive games did not show significant direct associations. Females scored lower than males (B = −1.462, p = 0.014) and older age was a significant predictor (B = 0.092, p = 0.005). Mediation analyses revealed that both physical obstacle (indirect β = 0.104, p = 0.017) and competitive games (indirect β = 0.076, p = 0.034) had significant indirect effects on IGUESS scores through increased daily gaming time. No direct effects of game genre remained significant after accounting for gaming time, suggesting a pattern consistent with full statistical mediation. These exploratory findings suggest that certain mobile game genres, particularly physical obstacle and competitive games, may be associated with increased risk of problematic gaming in adolescents primarily through their capacity to prolong gaming time rather than through direct effects.\n\n## Full Text\n\n\n### Introduction\nWith the revision of the International Classification of Diseases, 11th edition, by the World Health Organization, gaming disorders have been officially recognized as clinical diagnoses and have garnered considerable attention in the field of mental health. Problematic gaming among adolescents has emerged as a significant concern as media use continues to rise globally (Purwaningsih and Nurmala, 2021). Studies have shown that problematic gaming is associated with an increased risk of substance use and higher levels of depression, loneliness, and social anxiety (Archer, 2018; Chen and Zhang, 2023). Adolescents who are vulnerable to impulsivity and have underdeveloped emotional regulation abilities may be particularly susceptible to Internet gaming disorder (IGD) (Chandradasa and Rodrigo, 2017).\nIn several studies, the severity of problematic gaming in the general public has often been perceived as proportional to the amount of time spent gaming. While gaming time alone does not fully capture patterns of play, types of games, or the subjective experiences of players, it remains an important factor that interacts with other variables in the development of problematic gaming. Accordingly, recent research has increasingly emphasized the need to consider both quantitative indicators such as gaming duration and qualitative aspects such as game genre when examining IGD (Chang and Kim, 2020; Kuss and Griffiths, 2012; Kim et al., 2022). Accordingly, repeated claims have been made focusing on players’ subjective experiences, physiological responses, and levels of immersion in games. As these factors are more strongly affected by game genre or content rather than by gaming time itself, attention has increasingly shifted toward the qualitative aspects of gaming.\nSeveral studies have investigated the association between game genre and IGD based on the qualitative aspects of gaming behavior (Kim et al., 2022; Jo, 2025; Na et al., 2017). Most studies have classified game genres according to player behavior, such as role-playing games (RPG), first-person shooters (FPS), real-time strategy (RTS) games, racing games, arcade games, and shooting games. Many studies have reported that game genres, such as RPG, FPS, and RTS, are associated with a higher risk of problematic gaming.\nHowever, a recurring criticism of these studies is the lack of clarity in the classification of game genres (Clarke and Lee, 2015). Genre classification in gaming research has been criticized for being overly simplistic and failing to capture the complex hybrid nature of modern games (Apperley, 2006). This complexity necessitates more theoretically grounded approaches to genre classification to better capture the relationship between game design features and addictive behaviors. However, the conventional classification methods have several limitations. First, the boundaries between game genres are often ambiguous; for example, a single game may incorporate elements of both the action and role-playing genres. Second, what a player does within a game is subjective; therefore, even when playing the same game, the player’s experience may differ, making it difficult to regard genre classification as objective. Therefore, there is an increasing need for a more refined and precise classification of game genres.\nTo address these problems, this study employed a novel approach to classify game genres instead of relying on conventional methods. According to Lee and Kwon (2008), games can be broadly categorized based on whether they aim for individual goal attainment or structured competition. Participants were asked to identify their most frequently played mobile game, which was then categorized by trained researchers using predetermined criteria based on game mechanics and objectives. This approach proposes a more objective system that does not depend on the player’s subjective experience. In this study, mobile games were classified into three categories–physical obstacle games, cognitive obstacle games, and competitive games–and the associations between these categories and IGD were analyzed. By classifying game genres according to a consistent set of criteria rather than simply listing genres as in conventional classification methods, this study aimed to examine more clearly how game characteristics are associated with problematic gaming. Additionally, the study examined whether daily gaming time mediates the relationship between game genre and IGD.\n\n\n### Methods\nThis study utilized data from Wave 8 of the Kids Cohort for Understanding Internet Addiction Risk Factors in Early Childhood (K-CURE). The K-CURE represents the first prospective study in South Korea to investigate the long-term impacts of early media exposure on child development. Since its inception in 2015, it continuously tracked the developmental trajectories of children aged 2–5 years annually through parent-reported assessments. Notably, self-reported assessments were introduced for the first time in 2022, as the participants had reached the 4th grade of elementary school at approximately 10 years old.\nData were collected using a web-based electronic Case Report Form system. Children completed the online survey individually, either at home or at school, taking approximately 30–40 min per assessment.\nA total of 164 children participated in this survey. After excluding 12 participants with missing data on key variables (parental ages, n = 5; observer-reported parental internet addiction scores, n = 7), 152 participants were included in the final analysis. Participants who did not report a specific most-frequently-played mobile game were classified as “minimal players” and served as the reference category in all regression and mediation analyses. The participants’ ages at the time of the survey ranged from 9 years, 11 months to 12 years, 7 months (mean = 11.22 years, SD = 0.72). The sample consisted of 92 boys (60.5%) and 60 girls (39.5%). The survey encompassed various aspects including smart device usage patterns, gaming and social media behaviors, mental and emotional health, and sleep habits. To complement subjective self-reported data with objective behavioral metrics, participants were also requested to upload screen time captures from their primary devices.\nThis study employed several validated self-reported and observer-reported instruments to assess digital addiction tendencies among adolescents and their parents.\nThe Adolescent Internet Addiction Self-Diagnosis Scale: Brief Form (KS-II) was used to evaluate adolescents’ risk of Internet addiction. Developed as part of the “Advanced Research on Internet Addiction Diagnostic Scale” by Shin and Kim (2011a), the KS-II consists of 15 items based on the original K scale (Kim et al., 2002), as well as theoretical frameworks proposed by Young (1996) and Greenfield (1999). The scale demonstrated high internal consistency (Cronbach’s α = 0.814), and its criterion and factor validity were supported through AMOS-based analysis.\nTo measure adolescents’ tendencies toward problematic smartphone use, the Smartphone Addiction Proneness Scale for Youth: Self-Report (S-scale) was administered. This 15-item scale was developed by Shin and Kim (2011b) in a national project on smartphone addiction. It showed strong internal consistency (Cronbach’s α = 0.880) and acceptable levels of both criterion and structural validity.\nProblematic Internet gaming behavior was assessed using the Internet Gaming Use-Elicited Symptom Screen (IGUESS), a 9-item screening instrument developed by Cho and Lee (2013). Based on the Diagnostic and Statistical Manual of Mental Disorders criteria, the IGUESS is suitable for children and adults and exhibited excellent reliability (Cronbach’s α = 0.940). At a cutoff score of 8, the IGUESS demonstrated a sensitivity of 91% and a specificity of 87%. At a cutoff score of 10, the sensitivity was 79% and the specificity was 87%.\nThe Short-Form Internet Addiction Proneness Scale for Adults: Self-Report was used for parents. This 15-item tool is based on the original K scale and demonstrated robust internal reliability (Cronbach’s α = 0.870).\nFinally, to assess the digital behavior of the adolescent’s other parent as observed by their partner, the Internet Addiction Proneness Scale for Adults: Observer-Report was administered. This 15-item scale incorporates elements from Young (1996); Greenfield (1999), and the K-scale. It showed moderate internal consistency (Cronbach’s α = 0.711), with structural validity confirmed through factor analysis.\nParticipants were asked to identify their most frequently played mobile game from a standardized list of 21 genre options. Based on the goal-oriented classification framework by Lee and Kwon (2008), reported genres were reclassified into three categories: physical obstacle games (requiring motor coordination and reflexive action, e.g., RPG, shooting, action), cognitive obstacle games (requiring problem-solving and pattern recognition, e.g., puzzle, adventure, rhythm), and competitive games (involving structured competition against opponents governed by shared rules, e.g., sports, racing, AOS) (Figure 1). Classification was performed by trained researchers using predefined criteria based on each game’s primary gameplay mechanic; when a game contained hybrid elements, the primary mechanic determined its category. A complete list of sub-genres and their assigned categories is provided in Supplementary Table S1.\nClassification of game genres. Mobile games were categorized into three groups according to game mechanics and objectives: physical obstacle games (requiring motor coordination and reflexive action, e.g., role-playing, shooting, action RPG), cognitive obstacle games (requiring problem-solving and pattern recognition, e.g., puzzle, adventure, quiz, rhythm games), and competitive games (involving structured competition, e.g., sports, racing, AOS, battle games), based on the framework by Lee and Kwon (2008).\nAll statistical analyses were conducted using Jamovi software (Version 2.6.26), which is based on the R statistical computing environment (R Core Team, 2024). The data analysis proceeded as follows: First, descriptive statistics, including means and standard deviations, were computed to understand the overall characteristics and distribution of the key variables. Subsequently, to identify significant differences between the various groups, a one-way analysis of variance was used. Specifically, Welch’s correction was applied when the assumption of homogeneity of variances was violated. When statistically significant differences were found, appropriate post-hoc comparisons were conducted using the Games–Howell test, which is suitable for unequal variances and sample sizes.\nMultiple linear regression analyses were performed to identify the key factors predicting IGUESS scores among adolescents. In these analyses, the independent variables included demographic factors (age, sex, parental age, and monthly household income), media use patterns (mobile game initiation age and game genre group), and parental internet use characteristics (log-transformed scores of adult internet addiction and observer-reported parental internet addiction).\nTo examine whether daily gaming time mediates the association between game genre and IGD, mediation analyses were conducted using the jAMM (Jamovi Advanced Mediation Models) module in Jamovi (Version 2.6.26). Daily gaming time was calculated as a weighted average: [(weekday hours × 5) + (weekend hours × 2)]/7, incorporating both child-appropriate and 12 + rated games measured on a 7-point scale. The mediation model included game genre groups as predictors, daily gaming time as the mediator, and IGUESS scores as the outcome, controlling for all demographic and parental variables included in the regression analyses. We evaluated path a (genre → time), path b (time → IGUESS), path c′ (direct effect: genre → IGUESS), and the indirect effect (a × b). Confidence intervals were computed using the Delta method, with α = 0.05. We note that while bootstrapping is increasingly recommended for mediation analyses, the Delta method was employed as the default procedure in jAMM and was considered appropriate given the moderate sample size (N = 152). As the current analysis is cross-sectional, the mediation model does not establish temporal ordering or causal direction.\nThis study received approval from the Institutional Review Board (IRB) at the Ajou University School of Medicine, Suwon City, South Korea (IRB No. AJIRB-SBR-SUR-22-285). Written informed consent was obtained from all participants’ legal guardians prior to enrollment, and written assent was obtained from the child participants themselves. Both guardians and children were informed of the study’s purpose, procedures, expected duration, and their right to withdraw from the study at any time without penalty. All data were collected via a secure, password-protected electronic Case Report Form system. Personal identifiers were removed prior to analysis, and all data were stored on secure servers accessible only to authorized research personnel to ensure confidentiality.\n\n\n### Study design and participants\nThis study utilized data from Wave 8 of the Kids Cohort for Understanding Internet Addiction Risk Factors in Early Childhood (K-CURE). The K-CURE represents the first prospective study in South Korea to investigate the long-term impacts of early media exposure on child development. Since its inception in 2015, it continuously tracked the developmental trajectories of children aged 2–5 years annually through parent-reported assessments. Notably, self-reported assessments were introduced for the first time in 2022, as the participants had reached the 4th grade of elementary school at approximately 10 years old.\nData were collected using a web-based electronic Case Report Form system. Children completed the online survey individually, either at home or at school, taking approximately 30–40 min per assessment.\nA total of 164 children participated in this survey. After excluding 12 participants with missing data on key variables (parental ages, n = 5; observer-reported parental internet addiction scores, n = 7), 152 participants were included in the final analysis. Participants who did not report a specific most-frequently-played mobile game were classified as “minimal players” and served as the reference category in all regression and mediation analyses. The participants’ ages at the time of the survey ranged from 9 years, 11 months to 12 years, 7 months (mean = 11.22 years, SD = 0.72). The sample consisted of 92 boys (60.5%) and 60 girls (39.5%). The survey encompassed various aspects including smart device usage patterns, gaming and social media behaviors, mental and emotional health, and sleep habits. To complement subjective self-reported data with objective behavioral metrics, participants were also requested to upload screen time captures from their primary devices.\n\n\n### Assessment tools\nThis study employed several validated self-reported and observer-reported instruments to assess digital addiction tendencies among adolescents and their parents.\nThe Adolescent Internet Addiction Self-Diagnosis Scale: Brief Form (KS-II) was used to evaluate adolescents’ risk of Internet addiction. Developed as part of the “Advanced Research on Internet Addiction Diagnostic Scale” by Shin and Kim (2011a), the KS-II consists of 15 items based on the original K scale (Kim et al., 2002), as well as theoretical frameworks proposed by Young (1996) and Greenfield (1999). The scale demonstrated high internal consistency (Cronbach’s α = 0.814), and its criterion and factor validity were supported through AMOS-based analysis.\nTo measure adolescents’ tendencies toward problematic smartphone use, the Smartphone Addiction Proneness Scale for Youth: Self-Report (S-scale) was administered. This 15-item scale was developed by Shin and Kim (2011b) in a national project on smartphone addiction. It showed strong internal consistency (Cronbach’s α = 0.880) and acceptable levels of both criterion and structural validity.\nProblematic Internet gaming behavior was assessed using the Internet Gaming Use-Elicited Symptom Screen (IGUESS), a 9-item screening instrument developed by Cho and Lee (2013). Based on the Diagnostic and Statistical Manual of Mental Disorders criteria, the IGUESS is suitable for children and adults and exhibited excellent reliability (Cronbach’s α = 0.940). At a cutoff score of 8, the IGUESS demonstrated a sensitivity of 91% and a specificity of 87%. At a cutoff score of 10, the sensitivity was 79% and the specificity was 87%.\nThe Short-Form Internet Addiction Proneness Scale for Adults: Self-Report was used for parents. This 15-item tool is based on the original K scale and demonstrated robust internal reliability (Cronbach’s α = 0.870).\nFinally, to assess the digital behavior of the adolescent’s other parent as observed by their partner, the Internet Addiction Proneness Scale for Adults: Observer-Report was administered. This 15-item scale incorporates elements from Young (1996); Greenfield (1999), and the K-scale. It showed moderate internal consistency (Cronbach’s α = 0.711), with structural validity confirmed through factor analysis.\n\n\n### Game genre classification\nParticipants were asked to identify their most frequently played mobile game from a standardized list of 21 genre options. Based on the goal-oriented classification framework by Lee and Kwon (2008), reported genres were reclassified into three categories: physical obstacle games (requiring motor coordination and reflexive action, e.g., RPG, shooting, action), cognitive obstacle games (requiring problem-solving and pattern recognition, e.g., puzzle, adventure, rhythm), and competitive games (involving structured competition against opponents governed by shared rules, e.g., sports, racing, AOS) (Figure 1). Classification was performed by trained researchers using predefined criteria based on each game’s primary gameplay mechanic; when a game contained hybrid elements, the primary mechanic determined its category. A complete list of sub-genres and their assigned categories is provided in Supplementary Table S1.\nClassification of game genres. Mobile games were categorized into three groups according to game mechanics and objectives: physical obstacle games (requiring motor coordination and reflexive action, e.g., role-playing, shooting, action RPG), cognitive obstacle games (requiring problem-solving and pattern recognition, e.g., puzzle, adventure, quiz, rhythm games), and competitive games (involving structured competition, e.g., sports, racing, AOS, battle games), based on the framework by Lee and Kwon (2008).\n\n\n### Statistical analyses\nAll statistical analyses were conducted using Jamovi software (Version 2.6.26), which is based on the R statistical computing environment (R Core Team, 2024). The data analysis proceeded as follows: First, descriptive statistics, including means and standard deviations, were computed to understand the overall characteristics and distribution of the key variables. Subsequently, to identify significant differences between the various groups, a one-way analysis of variance was used. Specifically, Welch’s correction was applied when the assumption of homogeneity of variances was violated. When statistically significant differences were found, appropriate post-hoc comparisons were conducted using the Games–Howell test, which is suitable for unequal variances and sample sizes.\nMultiple linear regression analyses were performed to identify the key factors predicting IGUESS scores among adolescents. In these analyses, the independent variables included demographic factors (age, sex, parental age, and monthly household income), media use patterns (mobile game initiation age and game genre group), and parental internet use characteristics (log-transformed scores of adult internet addiction and observer-reported parental internet addiction).\nTo examine whether daily gaming time mediates the association between game genre and IGD, mediation analyses were conducted using the jAMM (Jamovi Advanced Mediation Models) module in Jamovi (Version 2.6.26). Daily gaming time was calculated as a weighted average: [(weekday hours × 5) + (weekend hours × 2)]/7, incorporating both child-appropriate and 12 + rated games measured on a 7-point scale. The mediation model included game genre groups as predictors, daily gaming time as the mediator, and IGUESS scores as the outcome, controlling for all demographic and parental variables included in the regression analyses. We evaluated path a (genre → time), path b (time → IGUESS), path c′ (direct effect: genre → IGUESS), and the indirect effect (a × b). Confidence intervals were computed using the Delta method, with α = 0.05. We note that while bootstrapping is increasingly recommended for mediation analyses, the Delta method was employed as the default procedure in jAMM and was considered appropriate given the moderate sample size (N = 152). As the current analysis is cross-sectional, the mediation model does not establish temporal ordering or causal direction.\n\n\n### Ethics statement\nThis study received approval from the Institutional Review Board (IRB) at the Ajou University School of Medicine, Suwon City, South Korea (IRB No. AJIRB-SBR-SUR-22-285). Written informed consent was obtained from all participants’ legal guardians prior to enrollment, and written assent was obtained from the child participants themselves. Both guardians and children were informed of the study’s purpose, procedures, expected duration, and their right to withdraw from the study at any time without penalty. All data were collected via a secure, password-protected electronic Case Report Form system. Personal identifiers were removed prior to analysis, and all data were stored on secure servers accessible only to authorized research personnel to ensure confidentiality.\n\n\n### Results\nThis study analyzed the association between game genre and problematic gaming among early adolescents. After excluding 12 participants with missing data on key variables, the final analytic sample consisted of 152 participants, of whom 92 (60.5%) were male and 60 (39.5%) were female. Participants were classified into four groups based on their most frequently played mobile game: 59 (38.8%) played physical obstacle games, 41 (27.0%) played cognitive obstacle games, 30 (19.7%) played competitive games, and 22 (14.5%) were minimal players (i.e., participants who did not report a specific most-frequently-played mobile game). The mean participant age was 11.22 years (SD = 0.72), with no significant age differences observed across groups. Participants reported beginning mobile game use at an average age of 8.77 years (SD = 1.50). The mean ages of fathers and mothers were 45.33 years (SD = 4.79) and 42.79 years (SD = 3.59), respectively. A chi-square test revealed a significant association between sex and game genre group, χ2(3) = 17.16, p = 0.001. Male participants were substantially more likely to play competitive games than female participants (27.1% vs. 5.9%), whereas female participants were more likely to be classified as minimal players (25.0% vs. 8.3%). The proportions of physical obstacle and cognitive obstacle game players were similar across sexes. Overall, the sample was evenly distributed across various demographic parameters (Table 1).\nDemographic characteristics of participants by game genre group.\nValues are presented as mean ± SD or n (%).\nMonthly household income levels were classified as follows: Level 1 = <2,000,000 KRW (≈ USD 1,550); Level 2 = 2,000,000–3,999,999 KRW (≈ USD 1,550–3,100); Level 3 = 4,000,000–5,999,999 KRW (≈ USD 3,100–4,650); Level 4 = ≥6,000,000 KRW (≈ USD 4,650).\nCurrency values were converted using the average exchange rate in 2022 (1 USD = 1,291 KRW).\nWelch’s ANOVA indicated a significant difference in IGUESS scores across game genre groups, F(3, 78.5) = 4.99, p = 0.003. Games–Howell post-hoc tests revealed that the physical obstacle game group had significantly higher IGUESS scores than minimal players (p = 0.002), while the cognitive obstacle and competitive game groups did not differ significantly from minimal players (Table 2).\nMean differences in IGUESS scores and daily gaming time by game genre.\nPost-hoc: Games–Howell test. Bold indicates statistically significant difference (p < 0.05). IGUESS: Welch’s ANOVA F(3, 78.5) = 4.99, p = 0.003. IGUESS, internet gaming use-elicited symptom screen total score. Daily gaming time: Welch’s ANOVA F(3, 78.7) = 17.55, p < 0.001. Daily gaming time = weighted average of daily gaming hours [(weekday hours × 5 + weekend hours × 2)/7].\nMultiple linear regression analysis was conducted to predict IGUESS scores (Table 3). The overall model accounted for approximately 12.5% of the variance in IGUESS scores (Adjusted R2 = 0.125). Significant predictors included the game group, participant sex, and age in months. Specifically, playing physical obstacle games was associated with higher IGUESS scores compared to minimal players (B = 1.709, p = 0.039). Other game genres (cognitive obstacle games and competitive games) did not show statistically significant differences compared to minimal players. Regarding demographic variables, females scored significantly lower than males on the IGUESS (B = −1.462, p = 0.014), indicating that males exhibited higher levels of problematic gaming. Additionally, age was a significant positive predictor (B = 0.092, p = 0.005), indicating that older participants tended to have higher IGUESS scores.\nFactors associated with internet gaming addiction.\n1: Minimal players (reference group); 2: Physical obstacle game group; 3: Cognitive obstacle game group; 4: Competitive game group. Sex was coded as 1 = Male (reference) and 2 = Female. The contrast “Female–Male” indicates that the coefficient represents the difference in IGUESS scores for females relative to males. B = unstandardized regression coefficient. Bold indicates statistically significant difference (p < 0.05).\nUnstandardized coefficients.\nTo further explore the associations underlying the relationship between game genre and problematic gaming, mediation analysis was conducted with daily gaming time as a mediator (Table 4, Figure 2). The analysis revealed significant indirect effects of game genre on IGUESS scores through daily gaming time. Specifically, physical obstacle games exhibited a significant indirect effect (indirect β = 0.104, p = 0.017), as did competitive games (indirect β = 0.076, p = 0.034). The indirect effect for cognitive obstacle games approached but did not reach conventional statistical significance (β = 0.067, p = 0.051).\nMediation analysis: gaming time as mediator of genre effects on gaming addiction.\nGaming time = weighted average of daily gaming hours [(weekday hours × 5 + weekend hours × 2)/7] including both child-appropriate and 12 + rated games.\nIndirect, direct, and total effects of each game genre on IGUESS scores are reported, with daily gaming time as a mediator. Standardized path coefficients (β), standard errors (SE), confidence intervals (CI), and p values are presented. IGUESS, internet gaming use-elicited symptom screen.\nBold indicates statistically significant difference (p < 0.05).\nAll game genre groups compared to minimal players (reference group).\nIGUESS, internet gaming use-elicited symptom screen. β, completely standardized effect size.\nConfidence intervals computed using standard (Delta method).\nB = unstandardized regression coefficient.\nMediation model of daily gaming time between game genre and internet gaming disorder (IGD). Path coefficients (standardized β) are presented for associations between game genres, daily gaming time, and IGUESS scores. All game genre groups are compared to minimal players (reference group). Solid lines indicate statistically significant paths (p < 0.05), and dashed lines indicate non-significant paths. Confidence intervals were computed using the Delta method. *p < 0.05. **p < 0.01, ***p < 0.001. IGUESS, internet gaming use-elicited symptom screen.\nPath analyses demonstrated that all game genres were associated with increased daily gaming time compared to minimal players, with physical obstacle games showing the strongest association (β = 0.411, p < 0.001), followed by competitive (β = 0.302, p = 0.004) and cognitive obstacle games (β = 0.267, p = 0.013). Daily gaming time significantly predicted IGUESS scores (β = 0.252, p = 0.002).\nWhen gaming time was included in the model, direct effects of all genres became non-significant (all p > 0.05), yielding a pattern consistent with full statistical mediation in the cross-sectional data.\n\n\n### Discussion\nThis study analyzed the association between game genres and problematic gaming among early adolescents aged 9 to 12 years. The IGUESS scores were higher in the physical obstacle games group than in the other groups. Multiple linear regression analysis revealed that physical obstacle games were significantly associated with higher IGUESS scores. In addition to game genre, sex and age were also found to be significant predictors of IGUESS scores. However, parental internet addiction—assessed through both self-report and partner-observation measures—did not significantly predict adolescents’ IGUESS scores in the current model.\nPrevious studies have reported that genres such as RPGs, FPSs, and RTS games are associated with a higher risk of problematic gaming (Kim et al., 2022). While our initial findings appeared to align with this pattern—physical obstacle games (which include RPGs and RTS) showed elevated IGUESS scores—our mediation analysis revealed a different underlying pattern. Rather than being directly associated with higher IGD risk through genre-specific features alone, these games appear to be associated with increased problematic gaming primarily through their capacity to extend play duration. This shifts understanding from “which genres are associated with problematic gaming” to ‘how games may relate to problematic gaming through prolonged engagement’.\nThe mediation analysis further clarified the associations between game genres and problematic gaming. Physical obstacle and competitive games were not directly associated with IGUESS scores after accounting for daily gaming time (path c′: both p > 0.05), but both were significantly associated with increased gaming duration (path a: p < 0.01), which in turn was associated with elevated IGUESS scores (path b: β = 0.252, p = 0.002). Cognitive obstacle games showed a similar pattern, though the indirect effect was marginal (p = 0.051).\nFrom a theoretical perspective, this pattern is consistent with a model in which the risk of IGD is best understood through the intervening role of gaming duration rather than through simple associations between genre and problematic gaming. Different game genres appear to vary primarily in their capacity to initiate and sustain gaming behavior. However, it should be noted that these cross-sectional findings cannot establish causal directionality, and longitudinal analyses from future K-CURE waves will be needed to test temporal ordering.\nThese associations may be related to specific game design features, including the level of game immersion, in-game competition, reward systems, and mechanisms of social interaction, all of which may prolong the amount of time players spend in the game and thereby be associated with increased risk of problematic gaming. In both physical obstacle and competitive games, vivid imagery and sound are often used to foster deeper immersion, while the formation of in-game networks encourages players to remain engaged for longer periods. Features that allow players to immediately engage in team play upon logging in, along with the excitement and sense of achievement gained during play, may further contribute to prolonged gaming sessions. Moreover, these games stimulate dopamine release and enhance sustained interest by offering a carefully calibrated balance of continuous and variable reinforcement. Modern game design also increasingly incorporates monetization features, such as loot boxes and near-miss mechanics, which further reinforce prolonged engagement and may enhance addictive potential (King and Delfabbro, 2018; Larche et al., 2017). These design elements, commonly found in both physical obstacle and competitive games, may therefore help explain why these genres are associated with elevated IGUESS scores through their capacity to extend gaming duration.\nThe findings showed a significant association between age and IGUESS scores, which may be due to the tendency of older adolescents to engage more frequently in physical obstacle games than in cognitive obstacle games. Sex also emerged as a significant factor; a chi-square analysis confirmed that game genre preference differed significantly by sex (χ2(3) = 17.16, p = 0.001), with male participants being substantially more likely to play competitive games (27.1% vs. 5.9%) and less likely to be minimal players (8.3% vs. 25.0%) compared to female participants. This pattern of greater engagement in active gaming among males is consistent with previous studies reporting that males are generally more vulnerable to IGD than females (Ko et al., 2005; Nisha et al., 2024).\nThis study has several limitations. First, the analysis was based on a relatively small sample size of 152 participants (164 before exclusions). Although the 12 excluded participants had complete data on most study variables, a consistent analytic sample (N = 152) was used across all regression and mediation analyses to ensure comparability. Sensitivity checks confirmed that descriptive and ANOVA results using the full sample (N = 164) were substantively identical to those obtained with the analytic sample. The modest adjusted R2 of 0.125 indicates that approximately 87.5% of the variance in IGUESS scores remains unexplained by the current model. This likely reflects the multifactorial nature of problematic gaming, and future studies should consider additional predictors such as individual psychological factors (e.g., impulsivity, self-control, emotion regulation), social and peer influences on gaming behavior, exposure to specific game monetization features, and family factors beyond parental internet addiction (e.g., parenting style, parent–child relationship quality). Second, although the mediation analysis revealed a pattern consistent with full statistical mediation, the cross-sectional nature of the current analysis precludes conclusions about causal direction or temporal ordering. Longitudinal data from future K-CURE waves will be necessary to test whether the observed associations reflect causal pathways. Third, the IGUESS is a screening tool, not a diagnostic instrument for gaming disorders; thus, classifying individuals as having IGD based solely on their scores may not be accurate. Fourth, confidence intervals for indirect effects were computed using the Delta method rather than bootstrapping; future analyses should incorporate bootstrap resampling to further validate the stability of the indirect effect estimates. Additionally, the novel genre classification system used in this study, while theoretically grounded in the framework of Lee and Kwon (2008), has not been empirically validated against established gaming behavior measures, and formal inter-rater reliability was not calculated. Although all classifications were performed by trained researchers using predefined criteria and discrepancies were resolved through group discussion, future studies should incorporate independent double-coding with inter-rater reliability reporting to strengthen methodological rigor. The current findings should therefore be considered exploratory in nature. Furthermore, the non-significance of direct effects after accounting for gaming time does not necessarily indicate the absence of genre-specific psychological mechanisms, which may operate through pathways not captured in the current model.\n\n\n### Conclusion\nIn conclusion, this study classified game genres using a clear and consistent goal-oriented framework and identified daily gaming time as a potential intervening variable through which game genre is associated with problematic gaming risk. While physical obstacle and competitive games showed significant indirect associations with IGUESS scores through gaming duration, direct genre effects were not significant when gaming time was accounted for. From a clinical standpoint, these exploratory findings emphasize the potential importance of monitoring and managing gaming duration among adolescents who engage in physical obstacle and competitive games. Rather than focusing solely on the categorical restriction of particular game types, interventions targeting the regulation of play time may be relevant in mitigating the risk of problematic gaming. Parental supervision and psychoeducational programs promoting time management could serve as preventive strategies. It should be noted that not all adolescents who play high-risk games develop IGD; factors such as self-control, individual personality traits, and parental supervision have been reported as important protective variables (Ropovik et al., 2022). Therefore, further research is needed to examine the relationships between these potential protective factors and problematic gaming, ideally using longitudinal designs that can establish temporal ordering.", "domain": "affective_neuroscience"}
{"source": "PMC13101039", "title": "Intertemporal Decision‐Making, Nucleus Accumbens Activation, and Alcohol Use Trajectories in Young Adults With a Family History of Alcohol Use Disorder", "text": "# Intertemporal Decision‐Making, Nucleus Accumbens Activation, and Alcohol Use Trajectories in Young Adults With a Family History of Alcohol Use Disorder\n\n## Abstract\nA family history of alcohol use disorder (AUD) is associated with increased personal risk for alcohol misuse and AUD. Family history of AUD is also related to increased impulsivity as measured by delay discounting tasks, representing a potential mechanistic link between family history and alcohol misuse. Delay discounting tasks assess individual differences in preferences for smaller, immediate versus larger, delayed rewards, the former being linked to substance misuse. Decision‐making on such tasks is underpinned by multiple neural systems, including those supporting reward valuation, cognitive control, and future‐oriented thinking. We hypothesized that family history of AUD would be associated with differences in one or more neural systems related to delay discounting, with differences relating to increases in alcohol misuse in young adulthood. We tested 163 first‐year college students (105 females, ages 18–19) with varying levels of familial risk for AUD on a functional magnetic resonance imaging (fMRI) delay discounting task. Alcohol misuse was self‐reported at baseline and in 3‐yearly follow‐up surveys using the Alcohol Use Disorders Identification Test (AUDIT). Change in alcohol misuse was modeled using a latent growth model, and we examined mediation between family history and alcohol misuse trajectory (AUDIT intercept and slope) through functional activation of brain regions implicated in reward valuation (nucleus accumbens), cognitive control (middle frontal gyrus), and future‐oriented thinking (hippocampus). Family history of AUD was associated with greater nucleus accumbens activation (β = 0.286, SE = 0.117, p = 0.014), which in turn predicted a steeper AUDIT slope (β = 0.513, SE = 0.162, p = 0.002). No other mediators were significant. Our results demonstrate that nucleus accumbens function may be a key mechanism by which family history increases risk for alcohol misuse and AUD. We conducted an fMRI investigation of the effects of family history on neural correlates of delay discounting in 163 young adults. Structural equation modeling demonstrated that the effects of family history on nucleus accumbens activation prospectively predicted alcohol use trajectories over a 4‐year period.\n\n## Full Text\n\n\n### Introduction\nAlcohol use disorder (AUD) frequently develops during late adolescence and young adulthood, affecting approximately 15% of individuals between ages 18 to 25 in the United States (Substance Abuse and Mental Health Services Administration 2021). One of the strongest predictors of developing AUD is a family history (FH) of AUD. Familial AUD increases an individual's risk for AUD by approximately 3–4‐fold (Anda et al. 2002; Kendler et al. 2012) through both heritable and environmental effects (Anda et al. 2002). Moreover, 22% of adults in the United States report having at least one biological parent with AUD (Yoon et al. 2013). Individuals with biological relatives affected by AUD are at elevated risk for earlier initiation and more severe trajectories of alcohol‐related problems across the lifespan (Kosty et al. 2020; Sher et al. 2005). However, the neurocognitive pathways through which familial risk is transmitted remain incompletely understood.\nOne mechanism hypothesized to underlie both FH and addiction, more generally, is delay discounting, or the tendency to discount delayed rewards, resulting in an exaggerated preference for immediate rewards. In laboratory delay discounting tasks, individuals choose between larger, delayed rewards and smaller, immediate (or less delayed) rewards to derive an individualized measure of impulsive decision‐making (Elton et al. 2017; Stanger et al. 2013). Steeper delay discounting is associated with greater substance use severity and worse treatment outcomes (Amlung et al. 2017; MacKillop et al. 2011). Moreover, higher rates of delay discounting prior to alcohol initiation predict adolescent and young adult drinking trajectories (Fröhner et al. 2022), suggesting this form of decision‐making relates to the development of alcohol misuse. Importantly, individuals with FH exhibit steeper discounting rates, suggesting an inherited or environmental vulnerability toward impulsive decision‐making (Herting et al. 2010; Mitchell 2011). In fact, the effects of environmental and familial risk factors on delay discounting behavior have been linked to future substance use (Kim‐Spoon et al. 2019; Liao et al. 2023). Thus, FH may relate to greater alcohol drinking trajectories through its effects on decision‐making processes involving immediate versus delayed rewards. Specifically, the association of FH with impulsive decision‐making and alcohol use may reflect functional differences in the brain regions that underlie intertemporal decision‐making.\nExisting data indicate that decisions involving choices between immediate and delayed rewards engage separable neural systems that support valuation, future‐oriented thinking, and cognitive control (Ballard and Knutson 2009; Figner et al. 2010; Kable and Glimcher 2007; McClure et al. 2007, 2004; Peters and Büchel 2010). Reward valuation and motivation depend on nucleus accumbens (NAcc) activity (Ballard and Knutson 2009; Kable and Glimcher 2007), with greater activation relating to impulsive choices involving immediate rewards (McClure et al. 2007). The hippocampus contributes to episodic representation, including episodic prospection, or imaging future events and is thought to reduce discounting of delayed rewards through its role in future‐oriented thinking (Peters and Büchel 2010). Prefrontal cortical regions supporting cognitive control enable individuals to inhibit impulsive tendencies and are engaged during selection of larger, delayed rewards (Figner et al. 2010; McClure et al. 2004). These key systems are each associated with variation across individuals, leading to individual differences in choice behavior. Individual differences related to FH may be driven by alterations in one or more of these systems that promote impulsive decision‐making, ultimately increasing susceptibility to substance misuse and addiction.\nIndeed, prior research suggests that FH is associated with altered function across neural systems underlying intertemporal decision‐making, even in substance‐naïve youth. For example, adolescents with FH have shown increased striatal reactivity to reward cues (Yau et al. 2012), altered connectivity in frontostriatal networks at rest (Cservenka et al. 2014), and larger NAcc volumes (Cservenka et al. 2015). FH among adolescents is also associated with greater engagement of prefrontal regions despite similar performance in a Stroop paradigm, suggesting less efficient functioning in these regions during explicit demands for cognitive control (Silveri et al. 2011). Alcohol‐naïve adolescents with a FH also exhibit patterns of altered hippocampal volume (Hanson et al. 2010), although studies of hippocampal functioning are currently lacking. There have been two smaller studies that previously examined fMRI delay discounting task differences related to FH. Butcher and colleagues identified heightened activation in posterior insula, thalamus, and parahippocampal gyrus in preadolescent youth with FH (Butcher et al. 2021), whereas Rodriguez‐Moreno and colleagues identified no brain differences in a sample of adolescents (Rodriguez‐Moreno et al. 2021). Taken together, the existing literature suggests that familial risk for AUD may be associated with early and persistent differences in brain regions supporting reward valuation and processing, episodic prospection, and cognitive control, indicating potential brain differences that could underpin the observed steeper discounting behavior in these individuals. However, whether young adults with FH exhibit differences in neural activation while making intertemporal decisions and how such differences relate to later alcohol use has not been investigated.\nThe current study aims to connect these prior associations by examining the delay discounting‐related neural mechanisms linking FH to alcohol use trajectories in early adulthood, specifically during college years, a developmental period marked by increased independence and alcohol consumption. Participants completed an fMRI delay discounting task at baseline to probe activation in regions associated with reward (NAcc), prospection (hippocampus), and cognitive control (prefrontal cortex). We applied latent growth mediation models to test the hypothesis that neural responses in these regions mediate the association between FH and alcohol use trajectory over 4 years. By integrating longitudinal alcohol use assessments with task‐based fMRI and a theory‐driven analytic approach, this study aimed to clarify the neural mechanisms by which FH contributes to the development of hazardous drinking in young adults.\n\n\n### Methods\nThe study included a baseline fMRI scan, baseline surveys, and 3‐yearly follow‐up surveys completed online.\nA total of 165 18–19‐year‐old first‐year college students in 4‐year undergraduate degree programs were recruited from universities surrounding Chapel Hill, North Carolina. Exclusion criteria were MRI contraindications, self‐reported routine (e.g., daily or most days) psychoactive medication or substance use other than alcohol use (assuming they did not meet AUD criteria), neurological disorders, and psychiatric disorders other than past mood or anxiety disorders (current disorders excluded). Psychiatric disorders were assessed with a Mini‐International Neuropsychiatric Interview (M.I.N.I.) for DSM‐IV (Sheehan et al. 1998), with DSM‐5 criteria used to assess AUD and substance use disorders. Current and past AUD and substance use disorders were exclusionary at baseline. A five‐panel urine drug screen prior to the scan ensured no participants tested positive for cocaine, cannabis, opioids, amphetamines, or methamphetamine. An alcohol breathalyzer test similarly produced no positive results. To minimize confounding effects on brain activation, participants were instructed to refrain from any occasional or as‐needed psychoactive medication or other substance use for a period determined by the drug's half‐life (if medically permissible) leading up to the MRI scan. Participants provided written informed consent to participate in procedures, which were approved by the UNC Office of Human Research Ethics.\nBaseline surveys administered in REDCap assessed FH, childhood maltreatment histories, adolescent binge drinking frequency, and recent alcohol use.\nFH was assessed with the Family History Assessment Module, measuring likely AUD among known first‐ and second‐degree biological relatives. A FH density composite score was calculated as a weighted total of the number of affected parents (0.5 for each), grandparents (0.25 for each), and maternal and paternal aunts and uncles (0.25/[total relatives in category] for each) (Stoltenberg et al. 1998).\nThe Childhood Trauma Questionnaire (CTQ) (Bernstein et al. 2003) was collected to assess childhood experiences of physical, emotional, and sexual abuse, and physical and emotional neglect, which were summed for a total score.\nAdolescent binge drinking frequency was measured by an item assessing binge episodes prior to the age of 18 (Elton et al. 2021): “Before the age of 18, how often did you have 5 or more drinks (4 or more if you are female) containing any kind of alcohol within a 2‐h period?” Responses included, “Never,” “1–3 times,” “4–6 times,” “7–12 times,” “2–3 times/month,” “weekly,” and “>once/week.”\nThe Alcohol Use Disorders Identification Test (AUDIT) (Saunders et al. 1993) was administered at baseline and in yearly follow‐up surveys sent to participants' emails via REDCap. Scores of 8 or higher are associated with harmful alcohol use.\nTwo participants were missing baseline data and were excluded from all analyses. Thus, the final analytic sample was 163 participants.\nWhereas baseline AUDIT data was available for all 163 participants, follow‐up data was available for 128, 94, and 87 participants at the first, second, and third follow‐ups, respectively. Baseline AUDIT scores did not significantly predict missingness at any time point, and AUDIT scores at follow‐ups did not predict missingness at subsequent follow‐ups. No other variables tested—sex, FH, CTQ, adolescent binge drinking, and delay discounting behavior—significantly related to missingness at any time point.\nA 48‐trial pre‐scan delay‐discounting task using a rapid adjusting procedure was implemented outside the scanner to introduce the task and to provide individualized starting reward values at each delay (1 week, 1 month, 6 months, or 2 years) for the fMRI task (Koffarnus and Bickel 2014). The indifference points were used to calculate a model‐free, area‐under‐the‐curve behavioral measure of delay discounting for $100 and $1000, where larger area‐under‐the‐curve values reflect less discounting.\nParticipants next completed a 120‐trial delay discounting task during fMRI, divided into two runs of 60 trials. Two hypothetical choices were presented on the left and right sides of the screen: a smaller monetary reward available “TODAY” or a larger monetary reward available at 1 week, 1 month, 6 months, or 2 years. Larger rewards were either $100 or $1000, with smaller rewards adjusting based on prior choices to control decision difficulty. Each in‐scanner trial began with a 1.0 s cue to indicate the trial type: “WANT,” “SOONER,” and “LARGER.” There were 14 LARGER trials and 14 SOONER trials, representing control trials in which participants identified the larger reward or the reward available sooner, respectively. During the 80 WANT trials, participants selected their preferred reward. Cue text remained on the screen while the two monetary reward options were displayed for five additional seconds. Additionally, there were 12 null trials in which cues were presented without choices to enable deconvolution of cue and decision‐making trial components. Intertrial intervals ranged from 1 to 6 s. Trial types were pseudorandomly presented and balanced across runs.\nTask fMRI data were missing for 15 subjects in the analytic sample related to incomplete scanning sessions due to time constraints (e.g., late arrivals, need for scanner reboot, or task malfunctioning) or data transfer errors. Task fMRI data were excluded for an additional five participants who did not make any impulsive choices during the task, affecting the validity of the results. Thus, 143 subjects within the final analytic sample of 163 contributed fMRI data. Of the 143 subjects contributing fMRI data, follow‐up data was available for 113, 83, and 80 participants at the first, second, and third follow‐ups respectively.\nBlood oxygenation level‐dependent (BOLD) fMRI data were collected with multiband echo‐planar imaging (EPI) on a Siemens 3 T Prisma scanner with a 32‐channel head coil.\nThe sequence included the following parameters: multiband factor = 8, TR = 800 ms, TE = 37 ms, flip angle = 52°, 2 mm isotropic voxels, 72 sagittal slices with interleaved acquisition, field of view (FOV) = 208 × 208, and bandwidth = 2290 Hz/pixel. A mid‐study scanner software update led to a minor sequence adjustment for 27 subjects: bandwidth = 2186 Hz/pixel and TE = 38.2 ms (Elton et al. 2023). The first run of the delay discounting task was acquired with anterior‐to‐posterior (AP) phase encoding, whereas a posterior‐to‐anterior (PA) phase encoding was used for the second run. Each run lasted 8 min for a total time of 16 min.\nA magnetization‐prepared rapid gradient‐echo (MPRAGE) T1‐weighted image was acquired to assist with registration and tissue segmentation: TR = 2530 ms, TE = 2.3 ms, flip angle = 9°, 1 mm isotropic voxels, 176 sagittal slices, and FOV = 256 × 256.\nStructural T1‐weighted (T1w) images and BOLD fMRI data were preprocessed using fMRIPrep (Esteban et al. 2019). Preprocessing of BOLD images included motion correction, slice‐timing correction, susceptibility distortion correction, co‐registration to anatomical images, spatial normalization, and estimation of confounding signals. Preprocessing for this study has been detailed previously (Elton et al. 2023).\nA general linear model (GLM) (Friston et al. 1994) using 3dDeconvolve and 3dREML functions in AFNI (Cox 1996) evaluated activation of brain regions across trial types for each participant. Four trial types were modeled: all WANT trials with a $100 delayed reward, all WANT trials with a $1000 delayed reward, SOONER trials, and LARGER trials. Choices of immediate and delayed reward trials were not modeled separately due to their common patterns of brain activation during decision‐making when subjective values for delayed and immediate rewards are closely matched (Bickel et al. 2009; Butcher et al. 2021; Stanger et al. 2013) and to maintain an adequate number of trials for reliable estimates of each event type. Confounding signals related to six motion parameters, average WM and CSF time series, as well as the derivatives, squared values, and square of the derivatives for each of these measures were modeled as nuisance regressors. Additionally, 10 components derived using aCompCor from a combined WM and CSF mask were modeled as nuisance regressors (Muschelli et al. 2014). To further reduce motion effects, we censored time points where the calculated framewise displacement was > 0.5 mm.\nThe contrast of interest was the difference in estimated activation between WANT trials and control trials, for example, (0.5 × WANT for $100 + 0.5 × WANT for $1000)−(0.5 × SOONER +0.5 × LARGER) to isolate brain activation related to subjective decision‐making.\nROIs were selected from the Desikan‐Killiany atlas based on neural processes known to underlie delay discounting behavior, specifically valuation, prospection, and cognitive control. In line with existing data‐supported theory (Lempert et al. 2019; Peters and Büchel 2011), we selected the bilateral NAcc to represent valuation, the bilateral hippocampus to represent prospection, and the bilateral caudal middle frontal gyrus to represent cognitive control (Figure 1). The selected regions closely map onto the implicated processes based on prior literature (Figner et al. 2010; McClure et al. 2007, 2004; Peters and Büchel 2010). For each participant, their average contrast weight among voxels within each ROI for the WANT>Control contrast was calculated. Sample distributions of contrast values in these regions were examined, and values greater or less than three standard deviations from the mean were replaced with the value equal to three standard deviations from the mean to reduce the influence of extreme values.\nRegions‐of‐interest representing delay discounting neural processes. Nucleus accumbens activation represents reward valuation (orange). Hippocampal activation is involved in imagining the future or prospection (yellow). The middle frontal gyrus is involved in cognitive control (red). Regions were defined from the Desikan‐Killiany atlas.\nStructural equation modeling in Mplus 8.11 (Muthén and Muthén 2017) was used to estimate a latent growth mediation model (Figure 2) to examine the delay‐discounting neural mechanisms that link FH to alcohol use. As previously described, the FH predictor variable was modeled using a weighted density score of parents' and second‐degree relatives' AUD‐related behaviors. Alcohol use trajectory was modeled using AUDIT scores collected annually over 4 years. The latent intercept was specified to represent baseline AUDIT scores, and the latent slope captured change over 4 years. To capture a primarily linear trajectory while allowing flexibility at the year 4 assessment, slope factor loadings were fixed to 0, 1, and 2, with the loading for the final time point freely estimated to improve model fit and facilitate model convergence. The model was estimated using MLR in Mplus, which yields robust standard errors under non‐normality and handles missing data under the assumption of missing at random (MAR).\nLatent growth mediation model testing family history effects on alcohol use trajectory through neural activation. * p < 0.05, **p < 0.01,. AUC, area under the curve; AUDIT, Alcohol Use Disorders Identification Test; cMFG, caudal middle frontal gyrus; Hipp, hippocampus; NAcc, nucleus accumbens; L, left; R, right.\nSex assigned at birth (1 = female, 0 = male) was a covariate. To control for higher rates of childhood maltreatment experienced by individuals with FH (Dube et al. 2001), we included CTQ total scores (Bernstein et al. 2003) as a covariate. We controlled for adolescent binge alcohol use with a binary variable in which reports of “Never” binge drinking were coded as a 0, and all other responses were coded as 1 (Liao et al. 2023). Additionally, five subjects demonstrated no selection of immediate choices throughout the task, suggesting that the task failed to provide the same level of decision difficulty for this subgroup compared to other participants. Therefore, we excluded these participants' fMRI data from analyses but included their non‐imaging data.\nTo examine mediation, reward, prospection, and cognitive control latent variables were constructed from ROI activation in the bilateral NAcc, hippocampus, and caudal middle frontal gyrus, respectively, and were included as mediator variables. Additionally, behavioral delay discounting (area‐under‐the‐curve) was included as a behavioral mediator, represented by a latent variable indicated by $100 and $1000 choice options. The indirect path from FH to the latent slope through each mediator was calculated.\nDue to known associations of FH with childhood maltreatment (Dube et al. 2001), and known effects of childhood maltreatment on regions under investigation, particularly the hippocampus (Teicher et al. 2012), our primary analysis included CTQ scores as a covariate. To explore the potential influence of this decision on results, we additionally estimated the model without CTQ scores as a covariate.\nSecondly, to account for potential influences of anxiety and depressive symptoms, we tested baseline total scores from the Beck Depression Inventory (Beck et al. 1961) and State–Trait Anxiety Inventory (Spielberger et al. 1980) (trait scores) as covariates.\nFinally, because cognitive control engages regions across the cortex, we ran additional tests with a broader cognitive control network that demonstrated significant loading on a latent cognitive control factor (bilateral caudal middle frontal gyrus, rostral middle frontal gyrus, and inferior parietal lobe) to test the influence of ROI selection on results.\n\n\n### Participants\nA total of 165 18–19‐year‐old first‐year college students in 4‐year undergraduate degree programs were recruited from universities surrounding Chapel Hill, North Carolina. Exclusion criteria were MRI contraindications, self‐reported routine (e.g., daily or most days) psychoactive medication or substance use other than alcohol use (assuming they did not meet AUD criteria), neurological disorders, and psychiatric disorders other than past mood or anxiety disorders (current disorders excluded). Psychiatric disorders were assessed with a Mini‐International Neuropsychiatric Interview (M.I.N.I.) for DSM‐IV (Sheehan et al. 1998), with DSM‐5 criteria used to assess AUD and substance use disorders. Current and past AUD and substance use disorders were exclusionary at baseline. A five‐panel urine drug screen prior to the scan ensured no participants tested positive for cocaine, cannabis, opioids, amphetamines, or methamphetamine. An alcohol breathalyzer test similarly produced no positive results. To minimize confounding effects on brain activation, participants were instructed to refrain from any occasional or as‐needed psychoactive medication or other substance use for a period determined by the drug's half‐life (if medically permissible) leading up to the MRI scan. Participants provided written informed consent to participate in procedures, which were approved by the UNC Office of Human Research Ethics.\n\n\n### Self‐Report Data\nBaseline surveys administered in REDCap assessed FH, childhood maltreatment histories, adolescent binge drinking frequency, and recent alcohol use.\nFH was assessed with the Family History Assessment Module, measuring likely AUD among known first‐ and second‐degree biological relatives. A FH density composite score was calculated as a weighted total of the number of affected parents (0.5 for each), grandparents (0.25 for each), and maternal and paternal aunts and uncles (0.25/[total relatives in category] for each) (Stoltenberg et al. 1998).\nThe Childhood Trauma Questionnaire (CTQ) (Bernstein et al. 2003) was collected to assess childhood experiences of physical, emotional, and sexual abuse, and physical and emotional neglect, which were summed for a total score.\nAdolescent binge drinking frequency was measured by an item assessing binge episodes prior to the age of 18 (Elton et al. 2021): “Before the age of 18, how often did you have 5 or more drinks (4 or more if you are female) containing any kind of alcohol within a 2‐h period?” Responses included, “Never,” “1–3 times,” “4–6 times,” “7–12 times,” “2–3 times/month,” “weekly,” and “>once/week.”\nThe Alcohol Use Disorders Identification Test (AUDIT) (Saunders et al. 1993) was administered at baseline and in yearly follow‐up surveys sent to participants' emails via REDCap. Scores of 8 or higher are associated with harmful alcohol use.\nTwo participants were missing baseline data and were excluded from all analyses. Thus, the final analytic sample was 163 participants.\nWhereas baseline AUDIT data was available for all 163 participants, follow‐up data was available for 128, 94, and 87 participants at the first, second, and third follow‐ups, respectively. Baseline AUDIT scores did not significantly predict missingness at any time point, and AUDIT scores at follow‐ups did not predict missingness at subsequent follow‐ups. No other variables tested—sex, FH, CTQ, adolescent binge drinking, and delay discounting behavior—significantly related to missingness at any time point.\n\n\n### Delay Discounting Task\nA 48‐trial pre‐scan delay‐discounting task using a rapid adjusting procedure was implemented outside the scanner to introduce the task and to provide individualized starting reward values at each delay (1 week, 1 month, 6 months, or 2 years) for the fMRI task (Koffarnus and Bickel 2014). The indifference points were used to calculate a model‐free, area‐under‐the‐curve behavioral measure of delay discounting for $100 and $1000, where larger area‐under‐the‐curve values reflect less discounting.\nParticipants next completed a 120‐trial delay discounting task during fMRI, divided into two runs of 60 trials. Two hypothetical choices were presented on the left and right sides of the screen: a smaller monetary reward available “TODAY” or a larger monetary reward available at 1 week, 1 month, 6 months, or 2 years. Larger rewards were either $100 or $1000, with smaller rewards adjusting based on prior choices to control decision difficulty. Each in‐scanner trial began with a 1.0 s cue to indicate the trial type: “WANT,” “SOONER,” and “LARGER.” There were 14 LARGER trials and 14 SOONER trials, representing control trials in which participants identified the larger reward or the reward available sooner, respectively. During the 80 WANT trials, participants selected their preferred reward. Cue text remained on the screen while the two monetary reward options were displayed for five additional seconds. Additionally, there were 12 null trials in which cues were presented without choices to enable deconvolution of cue and decision‐making trial components. Intertrial intervals ranged from 1 to 6 s. Trial types were pseudorandomly presented and balanced across runs.\nTask fMRI data were missing for 15 subjects in the analytic sample related to incomplete scanning sessions due to time constraints (e.g., late arrivals, need for scanner reboot, or task malfunctioning) or data transfer errors. Task fMRI data were excluded for an additional five participants who did not make any impulsive choices during the task, affecting the validity of the results. Thus, 143 subjects within the final analytic sample of 163 contributed fMRI data. Of the 143 subjects contributing fMRI data, follow‐up data was available for 113, 83, and 80 participants at the first, second, and third follow‐ups respectively.\n\n\n### MRI Data Acquisition\nBlood oxygenation level‐dependent (BOLD) fMRI data were collected with multiband echo‐planar imaging (EPI) on a Siemens 3 T Prisma scanner with a 32‐channel head coil.\nThe sequence included the following parameters: multiband factor = 8, TR = 800 ms, TE = 37 ms, flip angle = 52°, 2 mm isotropic voxels, 72 sagittal slices with interleaved acquisition, field of view (FOV) = 208 × 208, and bandwidth = 2290 Hz/pixel. A mid‐study scanner software update led to a minor sequence adjustment for 27 subjects: bandwidth = 2186 Hz/pixel and TE = 38.2 ms (Elton et al. 2023). The first run of the delay discounting task was acquired with anterior‐to‐posterior (AP) phase encoding, whereas a posterior‐to‐anterior (PA) phase encoding was used for the second run. Each run lasted 8 min for a total time of 16 min.\nA magnetization‐prepared rapid gradient‐echo (MPRAGE) T1‐weighted image was acquired to assist with registration and tissue segmentation: TR = 2530 ms, TE = 2.3 ms, flip angle = 9°, 1 mm isotropic voxels, 176 sagittal slices, and FOV = 256 × 256.\n\n\n### MRI Data Preprocessing\nStructural T1‐weighted (T1w) images and BOLD fMRI data were preprocessed using fMRIPrep (Esteban et al. 2019). Preprocessing of BOLD images included motion correction, slice‐timing correction, susceptibility distortion correction, co‐registration to anatomical images, spatial normalization, and estimation of confounding signals. Preprocessing for this study has been detailed previously (Elton et al. 2023).\n\n\n### First‐Level fMRI Analysis\nA general linear model (GLM) (Friston et al. 1994) using 3dDeconvolve and 3dREML functions in AFNI (Cox 1996) evaluated activation of brain regions across trial types for each participant. Four trial types were modeled: all WANT trials with a $100 delayed reward, all WANT trials with a $1000 delayed reward, SOONER trials, and LARGER trials. Choices of immediate and delayed reward trials were not modeled separately due to their common patterns of brain activation during decision‐making when subjective values for delayed and immediate rewards are closely matched (Bickel et al. 2009; Butcher et al. 2021; Stanger et al. 2013) and to maintain an adequate number of trials for reliable estimates of each event type. Confounding signals related to six motion parameters, average WM and CSF time series, as well as the derivatives, squared values, and square of the derivatives for each of these measures were modeled as nuisance regressors. Additionally, 10 components derived using aCompCor from a combined WM and CSF mask were modeled as nuisance regressors (Muschelli et al. 2014). To further reduce motion effects, we censored time points where the calculated framewise displacement was > 0.5 mm.\nThe contrast of interest was the difference in estimated activation between WANT trials and control trials, for example, (0.5 × WANT for $100 + 0.5 × WANT for $1000)−(0.5 × SOONER +0.5 × LARGER) to isolate brain activation related to subjective decision‐making.\n\n\n### Region‐Of‐Interest (ROI) Approach\nROIs were selected from the Desikan‐Killiany atlas based on neural processes known to underlie delay discounting behavior, specifically valuation, prospection, and cognitive control. In line with existing data‐supported theory (Lempert et al. 2019; Peters and Büchel 2011), we selected the bilateral NAcc to represent valuation, the bilateral hippocampus to represent prospection, and the bilateral caudal middle frontal gyrus to represent cognitive control (Figure 1). The selected regions closely map onto the implicated processes based on prior literature (Figner et al. 2010; McClure et al. 2007, 2004; Peters and Büchel 2010). For each participant, their average contrast weight among voxels within each ROI for the WANT>Control contrast was calculated. Sample distributions of contrast values in these regions were examined, and values greater or less than three standard deviations from the mean were replaced with the value equal to three standard deviations from the mean to reduce the influence of extreme values.\nRegions‐of‐interest representing delay discounting neural processes. Nucleus accumbens activation represents reward valuation (orange). Hippocampal activation is involved in imagining the future or prospection (yellow). The middle frontal gyrus is involved in cognitive control (red). Regions were defined from the Desikan‐Killiany atlas.\n\n\n### Latent Growth Mediation Model\nStructural equation modeling in Mplus 8.11 (Muthén and Muthén 2017) was used to estimate a latent growth mediation model (Figure 2) to examine the delay‐discounting neural mechanisms that link FH to alcohol use. As previously described, the FH predictor variable was modeled using a weighted density score of parents' and second‐degree relatives' AUD‐related behaviors. Alcohol use trajectory was modeled using AUDIT scores collected annually over 4 years. The latent intercept was specified to represent baseline AUDIT scores, and the latent slope captured change over 4 years. To capture a primarily linear trajectory while allowing flexibility at the year 4 assessment, slope factor loadings were fixed to 0, 1, and 2, with the loading for the final time point freely estimated to improve model fit and facilitate model convergence. The model was estimated using MLR in Mplus, which yields robust standard errors under non‐normality and handles missing data under the assumption of missing at random (MAR).\nLatent growth mediation model testing family history effects on alcohol use trajectory through neural activation. * p < 0.05, **p < 0.01,. AUC, area under the curve; AUDIT, Alcohol Use Disorders Identification Test; cMFG, caudal middle frontal gyrus; Hipp, hippocampus; NAcc, nucleus accumbens; L, left; R, right.\nSex assigned at birth (1 = female, 0 = male) was a covariate. To control for higher rates of childhood maltreatment experienced by individuals with FH (Dube et al. 2001), we included CTQ total scores (Bernstein et al. 2003) as a covariate. We controlled for adolescent binge alcohol use with a binary variable in which reports of “Never” binge drinking were coded as a 0, and all other responses were coded as 1 (Liao et al. 2023). Additionally, five subjects demonstrated no selection of immediate choices throughout the task, suggesting that the task failed to provide the same level of decision difficulty for this subgroup compared to other participants. Therefore, we excluded these participants' fMRI data from analyses but included their non‐imaging data.\nTo examine mediation, reward, prospection, and cognitive control latent variables were constructed from ROI activation in the bilateral NAcc, hippocampus, and caudal middle frontal gyrus, respectively, and were included as mediator variables. Additionally, behavioral delay discounting (area‐under‐the‐curve) was included as a behavioral mediator, represented by a latent variable indicated by $100 and $1000 choice options. The indirect path from FH to the latent slope through each mediator was calculated.\n\n\n### Sensitivity Analyses\nDue to known associations of FH with childhood maltreatment (Dube et al. 2001), and known effects of childhood maltreatment on regions under investigation, particularly the hippocampus (Teicher et al. 2012), our primary analysis included CTQ scores as a covariate. To explore the potential influence of this decision on results, we additionally estimated the model without CTQ scores as a covariate.\nSecondly, to account for potential influences of anxiety and depressive symptoms, we tested baseline total scores from the Beck Depression Inventory (Beck et al. 1961) and State–Trait Anxiety Inventory (Spielberger et al. 1980) (trait scores) as covariates.\nFinally, because cognitive control engages regions across the cortex, we ran additional tests with a broader cognitive control network that demonstrated significant loading on a latent cognitive control factor (bilateral caudal middle frontal gyrus, rostral middle frontal gyrus, and inferior parietal lobe) to test the influence of ROI selection on results.\n\n\n### Results\nParticipant self‐report and behavioral data are presented in Table 1. The sample distribution of FH density is displayed in Figure S1.\nDescriptive statistics (means and standard deviations) for self‐report and behavioral data.\nAbbreviations: AUC, area under the curve; AUDIT, Alcohol Use Disorders Identification Test.\nThe unconditional latent growth model to characterize the AUDIT trajectory shape demonstrated an acceptable model fit: X\n2(5) = 4.571, p = 0.471; CFI = 1.000; TLI = 1.000; RMSEA = 0.000 [90% CI: 0.000, 0.104]; SRMR = 0.042. The model indicated that mean AUDIT scores began at 2.719, with significant variability in baseline levels (Var = 5.821, SE = 1.311, p < 0.001). The average slope was positive (M = 0.751, SE = 0.169, p < 0.001), suggesting that AUDIT scores increased over time, with significant individual differences in rates of change (Var = 1.452, SE = 0.531, p = 0.006). The freely estimated slope loading for the final time point was 2.436, indicating that the increase in AUDIT scores from year 3 to year 4 was smaller than expected under strict linear growth, consistent with a leveling‐off of alcohol use in the later period. Figure 3 displays individual values of AUDIT scores over time.\nAlcohol use trajectories over 4 years. (A) Longitudinal time series plot of AUDIT scores over time with each line representing a single participant (n = 163) and the black line representing average AUDIT score across all participants. (B) AUDIT score histograms indicating AUDIT frequencies at each time point.\nA latent growth mediation model of delay discounting‐related neural mechanisms linking FH to patterns of alcohol use in early adulthood (Figure 2) also demonstrated an acceptable model fit: X\n2(73) = 76.626, p = 0.247; CFI = 0.987; TLI = 0.979; RMSEA = 0.026 [90% CI: 0.000, 0.054]; SRMR = 0.045. All factor loadings on the mediator variables were significant (p < 0.001), indicating a strong measurement of the latent constructs.\nStandardized coefficients of FH predicting neural mediators (Table 2) showed that FH significantly predicted activation in the NAcc (β = 0.286, SE = 0.117, p = 0.014). FH was not significantly associated with hippocampus (β = −0.013, SE = 0.111, p = 0.905) or middle frontal gyrus (β = −0.0115, SE = 0.100, p = 0.248) and did not significantly predict lower area under the curve, that is, more impulsive delay discounting behavior (β = −0.123, SE = 0.080, p = 0.128). There were effects of CTQ scores (β = −0.260, SE = 0.095, p = 0.006) and adolescent alcohol misuse scores (β = −0.189, SE = 0.086, p = 0.028) on reduced activation in the hippocampus.\nStandardized model results for effects of family history and covariates on latent mediators.\nNote: Latent mediators were the bilateral nucleus accumbens to represent reward processing, bilateral caudal middle frontal gyrus to represent cognitive control, and bilateral hippocampus to represent prospection. Delay discounting was comprised of the area‐under‐the‐curve behavior for $100 and $1000 choices. Significant associations are indicated with bolded text.\nThe slope of alcohol use trajectory was significantly predicted by the NAcc mediator variable (β = 0.513, SE = 0.162, p = 0.002). Detailed standardized model results for the latent intercept and slope are in Table 3.\nStandardized model results for effects of predictor variables and covariates on latent intercept and slope of AUDIT scores.\nNote: Latent mediators were the bilateral nucleus accumbens to represent reward processing, bilateral caudal middle frontal gyrus to represent cognitive control, and bilateral hippocampus to represent prospection. Delay discounting was comprised of the area‐under‐the‐curve behavior for $100 and $1000 options. Significant associations are indicated with bolded text.\nThere was a significant indirect effect of FH on AUDIT slope through the NAcc latent mediator (β = 0.147, SE = 0.073, p = 0.044).\nResults from sensitivity analyses indicated that removing CTQ scores from the model did not alter interpretation of the primary findings (Tables S1 and S2), and the indirect effect of FH through the NAcc remained significant (β = 0.156, SE = 0.079, p = 0.048). ROIs selected to represent cognitive control did not substantially affect results and interpretation (Tables S3 and S4), and again, the indirect effect of FH through the NAcc remained significant (β = 0.132, SE = 0.064, p = 0.040) but the indirect effect through cognitive control‐related ROIs was not (β = 0.002, SE = 0.023, p = 0.927). Additionally, there were no significant effects of depression or anxiety scores, and previous associations remained significant when including these covariates (Tables S5 and S6), including the indirect effect of FH through the NAcc (β = 0.155, SE = 0.073, p = 0.035).\n\n\n### Self‐Report Data\nParticipant self‐report and behavioral data are presented in Table 1. The sample distribution of FH density is displayed in Figure S1.\nDescriptive statistics (means and standard deviations) for self‐report and behavioral data.\nAbbreviations: AUC, area under the curve; AUDIT, Alcohol Use Disorders Identification Test.\n\n\n### Alcohol Misuse Trajectories\nThe unconditional latent growth model to characterize the AUDIT trajectory shape demonstrated an acceptable model fit: X\n2(5) = 4.571, p = 0.471; CFI = 1.000; TLI = 1.000; RMSEA = 0.000 [90% CI: 0.000, 0.104]; SRMR = 0.042. The model indicated that mean AUDIT scores began at 2.719, with significant variability in baseline levels (Var = 5.821, SE = 1.311, p < 0.001). The average slope was positive (M = 0.751, SE = 0.169, p < 0.001), suggesting that AUDIT scores increased over time, with significant individual differences in rates of change (Var = 1.452, SE = 0.531, p = 0.006). The freely estimated slope loading for the final time point was 2.436, indicating that the increase in AUDIT scores from year 3 to year 4 was smaller than expected under strict linear growth, consistent with a leveling‐off of alcohol use in the later period. Figure 3 displays individual values of AUDIT scores over time.\nAlcohol use trajectories over 4 years. (A) Longitudinal time series plot of AUDIT scores over time with each line representing a single participant (n = 163) and the black line representing average AUDIT score across all participants. (B) AUDIT score histograms indicating AUDIT frequencies at each time point.\n\n\n### Delay Discounting Mediation of Family History and Alcohol Misuse\nA latent growth mediation model of delay discounting‐related neural mechanisms linking FH to patterns of alcohol use in early adulthood (Figure 2) also demonstrated an acceptable model fit: X\n2(73) = 76.626, p = 0.247; CFI = 0.987; TLI = 0.979; RMSEA = 0.026 [90% CI: 0.000, 0.054]; SRMR = 0.045. All factor loadings on the mediator variables were significant (p < 0.001), indicating a strong measurement of the latent constructs.\nStandardized coefficients of FH predicting neural mediators (Table 2) showed that FH significantly predicted activation in the NAcc (β = 0.286, SE = 0.117, p = 0.014). FH was not significantly associated with hippocampus (β = −0.013, SE = 0.111, p = 0.905) or middle frontal gyrus (β = −0.0115, SE = 0.100, p = 0.248) and did not significantly predict lower area under the curve, that is, more impulsive delay discounting behavior (β = −0.123, SE = 0.080, p = 0.128). There were effects of CTQ scores (β = −0.260, SE = 0.095, p = 0.006) and adolescent alcohol misuse scores (β = −0.189, SE = 0.086, p = 0.028) on reduced activation in the hippocampus.\nStandardized model results for effects of family history and covariates on latent mediators.\nNote: Latent mediators were the bilateral nucleus accumbens to represent reward processing, bilateral caudal middle frontal gyrus to represent cognitive control, and bilateral hippocampus to represent prospection. Delay discounting was comprised of the area‐under‐the‐curve behavior for $100 and $1000 choices. Significant associations are indicated with bolded text.\nThe slope of alcohol use trajectory was significantly predicted by the NAcc mediator variable (β = 0.513, SE = 0.162, p = 0.002). Detailed standardized model results for the latent intercept and slope are in Table 3.\nStandardized model results for effects of predictor variables and covariates on latent intercept and slope of AUDIT scores.\nNote: Latent mediators were the bilateral nucleus accumbens to represent reward processing, bilateral caudal middle frontal gyrus to represent cognitive control, and bilateral hippocampus to represent prospection. Delay discounting was comprised of the area‐under‐the‐curve behavior for $100 and $1000 options. Significant associations are indicated with bolded text.\nThere was a significant indirect effect of FH on AUDIT slope through the NAcc latent mediator (β = 0.147, SE = 0.073, p = 0.044).\n\n\n### Sensitivity Analyses\nResults from sensitivity analyses indicated that removing CTQ scores from the model did not alter interpretation of the primary findings (Tables S1 and S2), and the indirect effect of FH through the NAcc remained significant (β = 0.156, SE = 0.079, p = 0.048). ROIs selected to represent cognitive control did not substantially affect results and interpretation (Tables S3 and S4), and again, the indirect effect of FH through the NAcc remained significant (β = 0.132, SE = 0.064, p = 0.040) but the indirect effect through cognitive control‐related ROIs was not (β = 0.002, SE = 0.023, p = 0.927). Additionally, there were no significant effects of depression or anxiety scores, and previous associations remained significant when including these covariates (Tables S5 and S6), including the indirect effect of FH through the NAcc (β = 0.155, SE = 0.073, p = 0.035).\n\n\n### Discussion\nThis study yielded several novel findings. First, we identified the effects of FH—a major risk factor for AUD—on the neural correlates of delay discounting, revealing significantly elevated activation in the NAcc. Secondly, although the role of delay discounting as a mechanism risk for addiction has long been appreciated (Mitchell 2011), studies identifying the neural mechanisms linking this vulnerability to substance misuse have been limited. In the current study, we found that NAcc activation during delay discounting prospectively predicted future alcohol use. Finally, using mediation analysis in a structural equation modeling framework, we identified the neural mechanisms linking FH to patterns of alcohol use in young adulthood: greater activation of the NAcc mediated the association between FH and steeper alcohol use trajectories in young adulthood. These results support theoretical models of the NAcc and reward circuit functioning as a neurobiological mechanism of risk for addiction (Volkow and Morales 2015; Volkow et al. 2011) and indicate this neurobiological mechanism may be a major pathway through which FH promotes alcohol misuse and AUD.\nThe NAcc, a core region of the mesolimbic dopamine system, has been implicated in reward valuation and the motivational salience of appetitive cues (Koob and Volkow 2016; Volkow and Morales 2015). Increased activity in this region is observed in individuals with substance use disorders in response to conditioned drug cues (MacNiven et al. 2018). Supporting its possible role in promoting risk for addiction, alterations in NAcc structure and task‐free fMRI measures of NAcc function have also been observed in youth with AUD FH prior to alcohol initiation (Cservenka et al. 2014, 2015). Other studies have demonstrated blunted NAcc activation to reward‐predicting cues in monetary incentive delay tasks among FH‐positive youth (Martz et al. 2022; Yau et al. 2012). The current findings add to this growing evidence of effects of FH on NAcc reward function and expand this observation to intertemporal decision‐making for rewards, suggesting that altered reward‐related functioning may extend across multiple types of tasks and behaviors.\nInvestigations of the effects of FH on neural correlates of delay discounting have thus far been limited. A prior study of 125 adolescents with FH of substance use disorders found no effects of FH on fMRI activation during a delay‐discounting task despite the detection of behavioral differences (Rodriguez‐Moreno et al. 2021). However, that study included whole‐brain analyses, with no clusters surviving correction for multiple comparison, as well as underpowered main effects of task in the striatum, suggesting the discrepancy could stem from differences in methodology and/or power. Another fMRI study found that substance‐naïve preadolescent youth with FH (n = 35) had greater activation in the posterior insula, thalamus, and parahippocampal gyrus compared with controls (n = 24) (Butcher et al. 2021). A study of 33 adolescents linked FH to changes in white matter structure, which related to slower response times during a delay discounting task (Herting et al. 2010). Results from the current study yielded significant effects of FH based on our ROI approach, and further suggest these effects relate to future drinking behavior.\nWhile prior studies have shown steeper delay discounting in individuals with FH, our study identifies the underlying neural activation patterns associated with this behavioral expression and links it to longitudinal alcohol use trajectories. The fact that this mediation occurred via neural, rather than behavioral markers suggests added explanatory power of neuroimaging in identifying mechanisms of risk. In fact, although FH was associated with trends in steeper behavioral discounting in the expected direction in the current sample, this behavior did not significantly mediate effects on drinking. Although discounting behavior is observable and predictive, patterns of activation across multiple brain systems likely contribute to similar behaviors due to their relative roles in supporting immediate versus delayed choices. Thus, NAcc function may be a more predictive marker of risk for alcohol misuse in young adults with FH than delay discounting behavior.\nCandidate mediators related to prospection (hippocampus) and cognitive control (prefrontal cortex) were not significant neural predictors of alcohol use trajectories in this college sample. Other brain systems involved in delay discounting may be more predictive of alcohol use in other contexts or age groups. For example, in a sample of adolescents (ages 12–18) in an outpatient treatment program, substance use during the treatment period was related to neural activation during delay discounting in a medial temporal lobe “limbic” network (greater activation related to greater substance use), but not a network centered in the NAcc (Stanger et al. 2013). Network functional connectivity in the default‐mode network, which supports future‐oriented thinking, related to longer term, posttreatment substance use. Qualitative differences between these treatment‐associated findings and the findings of the current study suggest neural processes supporting treatment response may differ from those predicting alcohol use in a nontreatment‐seeking college sample. Another longitudinal study using IMAGEN data identified correlational trends for lower AUDIT scores at ages 16 and 18 in participants with greater fMRI activation in the dorsolateral prefrontal cortex during delay discounting at those time points, but there was no significant association of NAcc with alcohol use when examined as an ROI. The role of prefrontal regions in alcohol misuse in adolescence may stem from high interindividual variation due to rapid development of cognitive control during that period (Stevens et al. 2007), whereas the NAcc may play a larger role in young adulthood. In the current study, the FH effect on the dorsolateral prefrontal and the extended cognitive control network ROIs were not significant, indicating FH did not affect these regions during decision‐making in this sample. However, it is also possible the study was underpowered to detect these effects, as standardized βs of FH effects indicated small effects in the expected direction on the dorsolateral prefrontal (β = −0.115) and the extended cognitive control network (β = −0.125). Overall, the current findings suggest reward sensitivity may represent a proximal neurobiological link between FH and young adult drinking behavior. Other cognitive processes may exert a greater influence in other developmental periods, in other stages of AUD development (e.g., initiation or transition to compulsive use), or in different contexts (e.g., during abstinence or treatment). Although the current approach only identified a mediating effect of FH on alcohol use through the NAcc, the potential role of additional brain systems may be revealed by future studies in other samples and contexts.\nThe findings of this study have implications for early intervention among young adults. Reducing hazardous alcohol use, especially on college campuses, remains an important goal of intervention research. Although current NIAAA recommendations for individual‐level strategies for college students include targeting high‐risk student groups (e.g., Greek organizations), none currently utilize a precision‐medicine approach based on neurocognitive features of the at‐risk individual. Thus, an improved understanding of the individual‐level factors that promote alcohol misuse and AUD among young adults, including their neural and behavioral mechanisms, represents a crucial step toward reducing the personal and economic burden of hazardous drinking. For example, enhanced reward sensitivity could serve as a screening marker in at‐risk individuals, assisting with the implementation of tailored prevention strategies. Young adults with heightened reward‐related reactivity might also benefit from targeted strategies to modulate reward sensitivity and/or enhance the salience of non‐drug rewards. In fact, the mesolimbic dopamine system, with the ventral tegmental area as a key hub, has been implicated in the ability of natural rewards to protect against the development of AUD (Zheng et al. 2026). Given the association of NAcc activation with FH, such interventions may be particularly effective in young adults with familial risk.\nSome study limitations should be noted. This was a college‐educated, nontreatment‐seeking sample from a narrow geographic region, and alcohol use may be driven by different neural mechanisms in other age groups or contexts. Second, there was substantial attrition during the final time points. Although observed variables did not predict missingness—for example, AUDIT scores at one time point did not predict missingness at the next time point—it is possible that results could be affected by missingness. Third, the theory‐driven ROI‐based approach may result in Type II error, as FH may promote alcohol use through other brain regions not included in the analysis. Additionally, we focused our hypothesis on an fMRI contrast of decision‐making across delays, reward magnitude, and choice selection to isolate brain activation that is not focused on one particular element of the decision‐making process. However, other studies have modeled separate contrasts related to reward magnitude, delay, or level of difficulty to explicitly examine the decision‐making processes separately, which could be an alternative approach for future work in this area. Additionally, the assessment of family history was dependent on participants' familiarity with their biological relatives and knowledge of their drinking, which could contribute to inaccurate reports. Finally, there may be sex differences in the role of FH and the brain in alcohol drinking that this study was not powered to examine (Elton et al. 2023).\n\n\n### Limitations\nSome study limitations should be noted. This was a college‐educated, nontreatment‐seeking sample from a narrow geographic region, and alcohol use may be driven by different neural mechanisms in other age groups or contexts. Second, there was substantial attrition during the final time points. Although observed variables did not predict missingness—for example, AUDIT scores at one time point did not predict missingness at the next time point—it is possible that results could be affected by missingness. Third, the theory‐driven ROI‐based approach may result in Type II error, as FH may promote alcohol use through other brain regions not included in the analysis. Additionally, we focused our hypothesis on an fMRI contrast of decision‐making across delays, reward magnitude, and choice selection to isolate brain activation that is not focused on one particular element of the decision‐making process. However, other studies have modeled separate contrasts related to reward magnitude, delay, or level of difficulty to explicitly examine the decision‐making processes separately, which could be an alternative approach for future work in this area. Additionally, the assessment of family history was dependent on participants' familiarity with their biological relatives and knowledge of their drinking, which could contribute to inaccurate reports. Finally, there may be sex differences in the role of FH and the brain in alcohol drinking that this study was not powered to examine (Elton et al. 2023).\n\n\n### Conclusions\nGiven the high prevalence of FH (Yoon et al. 2013) and the negative outcomes associated with this risk factor (Kosty et al. 2020; Sher et al. 2005), the current study sought to uncover the neurobiological mechanisms by which FH increases risk for AUD in first‐year college students. The findings contribute to mounting evidence that the NAcc is altered in individuals with high familial risk for AUD and suggest that differences in reward circuitry function confer vulnerability for AUD by biasing individuals toward immediate rewards. This novel insight highlights the reward system as a potential neural target of intervention in at‐risk individuals.\n\n\n### Funding\nThis work was supported by the National Institute on Alcohol Abuse and Alcoholism, K01AA026334.\n\n\n### Disclosure\nThe authors have nothing to report.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nFigure S1: FH Density Composite Score frequency across the analytic sample (n = 163). FH density composite score was calculated as a weighted total of the number of affected biological parents (0.5 for each), grandparents (0.25 for each), and maternal and paternal aunts and uncles (0.25/[total relatives in category] for each).\nTable S1: Standardized model results for effects of family history and covariates on latent mediators without Childhood Trauma Questionnaire scores as a predictor.\nTable S2: Standardized model results for effects of predictor variables and covariates on latent intercept and slope without Childhood Trauma Questionnaire scores as a predictor.\nTable S3: Standardized model results for effects of family history and covariates on latent mediators including extended middle frontal gyrus network as a cognitive control predictor variable\nTable S4: Standardized model results for effects of predictor variables and covariates on latent intercept and slope including extended cognitive control predictor variable.\nTable S5: Standardized model results for effects of predictor variables and covariates on latent mediators including depression and anxiety severity covariates.\nTable S6: Standardized model results for effects of predictor variables and covariates on latent intercept and slope including depression and anxiety severity covariates.", "domain": "affective_neuroscience"}
{"source": "PMC13100562", "title": "Psychophysiological Outcome Responses in Human Pavlovian Fear Conditioning: A Prediction Error Analysis", "text": "# Psychophysiological Outcome Responses in Human Pavlovian Fear Conditioning: A Prediction Error Analysis\n\n## Abstract\nPrediction errors (PE) are thought to drive associative learning. While neural signals consistent with PE encoding have been identified, the expression of PE in psychophysiological indices remains debated. Here, we sought to fill this gap by investigating responses to unconditioned stimulus (US) occurrence and probability in skin conductance responses (SCR), pupil size responses (PSR), heart period responses (HPR), and respiration amplitude responses (RAR). Data set 1 consisted of eight published studies (N1 = 264) using differential fear conditioning with partial reinforcement (50%), and novel data set 2 (N\n2 = 29) parametrically varied US probability (20%/50%/80%). Across both data sets, all modalities showed differential responses to the US compared to US omission. In data set 1, there was evidence for responses to unexpected as compared to expected US omission in all modalities, but no responses were consistent with signed or unsigned PE encoding. Similarly, data set 2 provided no evidence that US or US omission responses monotonically related to outcome probability, which is incompatible with both signed and unsigned PE encoding. In conclusion, all recorded psychophysiological signals responded strongly to US and less strongly to unexpected US omission, with no evidence of either signed or unsigned PE encoding. Pavlovian reward learning is driven by prediction errors (PE), but it remains unclear whether this is also the case for aversive learning, and to what extent PE are expressed in physiological indices. Here, we examined responses to outcome magnitude and probability to assess the expression of PE across four psychophysiological indices (SCR, PSR, HPR, RAR). Results replicated the well‐known US response in all modalities; however, we found clear evidence against signed PE encoding and no evidence for unsigned PE encoding. These findings may inform future work on computational modeling of fear learning and reconsolidation‐based clinical interventions.\n\n## Full Text\n\n\n### Introduction\nLearning to detect, respond, and predict potential threats in the environment is important for most animals and humans (Brochard et al. 2025). However, when fear and avoidance become exaggerated or persist in safe contexts, they can contribute to the development and persistence of clinical conditions such as anxiety disorders (Craske et al. 2017). Understanding the mechanisms underlying fear learning could be crucial for advancing clinical treatments for pathological fear (Beckers et al. 2023). A canonical paradigm to study this in the laboratory is Pavlovian fear conditioning (Maren 2001; Pavlov 1927; Watson and Rayner 1920), where an initially neutral stimulus (conditioned stimulus, CS) is repeatedly paired with a naturally aversive stimulus (unconditioned stimulus, US), and subsequently comes to elicit behavioral or physiological responses (conditioned response, CR).\nOne dominant assumption is that learning is driven by prediction errors (PE), which reflect the signed difference between predicted and actual outcomes (Rescorla 1972). In addition to signed PE, some learning theories posit a contribution of unsigned PE signals, sometimes referred to as surprise (Pearce and Hall 1980), which reflect the absolute difference, or the magnitude of the mismatch, between predicted and actual outcomes. While neural substrates of PE encoding have been widely demonstrated during maintenance of Pavlovian reward associations (Schultz 2016; Schultz et al. 1997), there are rather more sparse reports for Pavlovian fear conditioning (Gorka et al. 2023; Ojala et al. 2022; Yau and McNally 2018), which is known to rely on a neural circuit different from that supporting reward learning (LeDoux 2000). Alternatively, it has been suggested that learning might be driven by other types of neural or computational quantities. For example, in distributional reinforcement learning (Dabney et al. 2020), different neurons make different predictions, such that PE differs across neurons. For another example, an organism can learn the likelihood of observed outcomes without encoding PE (Tzovara et al. 2018). As such, the investigation of PE encoding is of relevance for the advancement of algorithmic learning theories.\nMoreover, PE encoding might also be more directly relevant for clinical purposes. For example, it has been suggested that memory can be destabilized by re‐activation, and its re‐stabilization can be suppressed by pharmacological intervention (Nader et al. 2000; see for review e.g., Schroyens et al. 2023). This could potentially be leveraged to treat phobias or posttraumatic stress disorder (Kindt 2018; Kindt et al. 2009). There is some evidence that this memory destabilization is driven by PE during re‐activation (Sinclair and Barense 2018), potentially reflecting either signed PE or unsigned surprise signals. Thus, clinical interventions based on reconsolidation theory might benefit from an online assessment of whether PE was elicited.\nPsychophysiological responses, in particular those elicited via the autonomic nervous system, provide an accessible window into associative learning processes. CR are often thought to reflect learning quantities (Ojala and Bach 2020). In turn, unconditioned responses elicited by the US can be modulated by the preceding CS (Kimble and Ost 1961). For example, US‐elicited SCR appear to be smaller when the US is signaled by a CS+, compared to a no‐CS baseline (Knight et al. 2010; Redondo et al. 2015). Relatedly, when the CS is partially reinforced, SCR after US omission have been observed (Spoormaker et al. 2012; Stemerding et al. 2022, but see Bach and Friston 2012). Both of these observations are compatible with signed PE encoding. Other observations of US response modulation are only partly compatible with this account. For example, PSR appeared greater after high versus low surprise stimuli (Braem et al. 2015; Browning et al. 2015; O'Reilly et al. 2013), where surprise is an unsigned PE‐related quantity. Other studies have reported increased or decreased pupil size under high versus low uncertainty (Lavin et al. 2014; Satterthwaite et al. 2007). In addition, decreased heart rate (i.e., increased HPR) has been observed following sensorimotor‐related error trials compared to correct trials (Schlerf et al. 2012). Another study reported a faster and more prolonged heart rate deceleration in response to punishment feedback as opposed to reward feedback (Kastner et al. 2017).\nTwo key gaps emerge from this literature. First, there is a lack of studies systematically assessing different psychophysiological indices within the same paradigm. Second, there is no systematic assessment of the extent to which the different quantities assessed in previous work are compatible with signed or unsigned PE encoding in the sense of formal learning theories.\nTo address these gaps, the present work investigated SCR, PSR, and HPR as in previous literature, and additionally included RAR for exploration. We used axiomatic tests (see Methods) to systematically evaluate the compatibility of empirical results with both signed and unsigned PE encoding (Caplin and Dean 2008). We combined eight previously published studies into data set 1 to maximise statistical power. In parallel, we conducted a dedicated study, data set 2, where we parametrically varied US probabilities to allow a more nuanced examination.\n\n\n### Methods\nData set 1 comprised eight previously published fear conditioning studies from the group of the last author, with a combined sample size of 264 participants (see Table 1 for details). Data set 2 (N = 29) is first published here (Table 1). For all studies, healthy participants were recruited from the student and general population. Each study, including the procedure of obtaining written informed consent, was conducted in accordance with the Declaration of Helsinki and approved by a research ethics committee (Data set 1: Kantonale Ethikkommission Zurich, KEK‐ZH‐2013‐0118; Data set 2: UCL REC 6649/005). See Table 1 for demographics and general information.\nOverview and demographics for the nine included studies.\nSCR\nPSR\nHPR\nRAR\nSCR\nHPR\nRAR\nSCR\nPSR\nSCR\nPSR\nHPR\nRAR\nAbbreviations: HPR, heart period responses; PSR, pupil size responses; RAR, respiration amplitude responses; SCR, skin conductance responses.\nTo put the sample size of data set 2 into context, we conducted an approximative bootstrapping power analysis for SCR. Our approach of cluster‐based permutation testing makes no a priori assumptions on where an effect occurs within a time interval of interest. Thus, rather than assuming an effect size (which neglects temporal variability of the response), we assumed a minimal interesting effect magnitude of 20% peak difference between any two conditions. To simulate the variability of response latencies within this time window, we bootstrapped responses from four independent data sets containing SCR evoked by noxious electrical stimulations collected in our laboratory (SCRV6, https://doi.org/10.5281/zenodo.4287271; RRM1‐2, https://doi.org/10.5281/zenodo.4287111; and SPRM, https://doi.org/10.5281/zenodo.10848890). Thus, we randomly sampled data for 29 participants with two within‐subject conditions, assuming a peak difference of 20%. We then applied the same cluster‐based permutation test used for data set 2 to this simulated data set, using an identical SCR response window (i.e., 2–10 s after US onset). This bootstrapping procedure was repeated 30 times. A significant condition difference was found in each simulation, thus suggesting a power of larger than 95% at this effect magnitude.\nAll nine studies used a delay fear conditioning procedure. Data set 1 used differential conditioning with one partially (50%) reinforced CS+, and one never‐reinforced CS−. Data set 2 used three CS+ with different reinforcement rates (20%/50%/80%), and no CS−. In previously published data set 1, CS lasted 4 s, and US onset was after 3.5 s. In data set 2, timings were optimized for the analysis of US response modulation, and CS lasted 6.5 s, while US onset was after 6 s. For both data sets, US duration was 0.5 s, and the inter‐trial‐interval (ITI) was randomly drawn from an interval of 7–11 s.\nData set 1 used three types of CS (visual, auditory, and somatosensory; Table 1), and data set 2 used visual CS only. The US was a train of electric simulations delivered by a current stimulator (Digitimer DS7A, Welwyn Garden City, UK) and a ring‐pin electrode. For each participant, US intensity was determined using a two‐step algorithm: a clearly painful intensity was identified using an ascending staircase procedure, which was then followed by delivering 14 random stimuli below this upper limit. The final US intensity was determined such as to elicit a discomfort rating of 85% compared to a clearly painful stimulus.\nThe number of CS+/CS− trials is listed in Table 1. Some studies in data set 1 included two distinct CS+ with the same reinforcement rate (FER01/02, SC4B, FSS6B, VC7B), and some also included two CS− (SC4B, FSS6B, VC7B). For studies FER01/02, both CS+ belonged to the same category (triangles of varying colors). For SC4B, FSS6B, and VC7B, the different CS+ and CS− differed in perceptual complexity but were within the same sensory modality. Previous studies found comparable learning between the two CS sets (Staib et al. 2020; Staib and Bach 2018). Hence, to enhance the signal‐to‐noise ratio, we collapsed the responses across multiple CS conditions based on the assumption that learning differences between the two CS sets would be negligible for the present purpose.\nFor data set 1, pupil diameter and gaze direction were measured using an EyeLink 1000 System (SR Research, Ottawa, ON, Canada) with a sampling rate of 500 Hz. Gaze calibration was conducted using the nine‐point calibration method provided by the EyeLink 1000 software. Participants rested their heads on a chin rest, positioned 70 cm away from the monitor (Dell P2012H, 20″ display, 5:4 aspect ratio, 60‐Hz refresh rate, the width and height of the screen were 44.2 and 24.9 cm, respectively). For the other three modalities, the output signals were digitized at a 1000 Hz sampling rate using a DI‐149 ad converter (Dataq Inc., Akron, OH, USA) and recorded with Windaq software (Dataq Inc.). SCR electrodes were positioned on the thenar and hypothenar regions of the left hand for studies FER01/02, and on the non‐dominant hand for all other studies. We used 8‐mm Ag/AgCl cup electrodes (EL258, Biopac Systems Inc., Goleta, CA, USA) with 0.5% NaCl gel (GEL101, Biopac Systems Inc., Goleta, CA, USA; Hygge and Hugdahl 1985). The skin conductance signal was amplified using an SCR coupler/amplifier (V71‐23, Coulbourn Instruments, Whitehall, PA, USA). Electrocardiogram (ECG) signals were recorded using four 45‐mm pre‐gelled Ag/AgCl adhesive electrodes, which were placed on the four limbs. The experimenter visually determined the lead configuration (I, II, III) or augmented lead (aVR, aVL, aVF) that exhibited the most prominent R spike and selected this configuration for recording. The data were pre‐amplified and processed with a 50‐Hz notch filter using a Coulbourn isolated five‐lead amplifier (LabLinc V75‐11, Coulbourn Instruments, Whitehall, PA). Respiratory data were recorded using an aneroid chest bellows (V94‐19, Coulbourn Instruments, Whitehall, PA, USA) in combination with a differential aneroid pressure transducer (V9415, Coulbourn), positioned around the rib cage at the lower sternum. The signal was then amplified via a resistive bridge strain gauge transducer coupler (V72‐25B, Coulbourn).\nFor data set 2, pupil diameter and gaze direction were measured using the same EyeLink 1000 system as in data set 1, but with different monitor distance settings: participants were positioned 64.5 cm away from the monitor, the width and height of the screen were 31.2 and 22.7 cm, respectively, and the distance from the EyeLink to participants' eyes was 48.5 cm. Skin conductance was recorded with a custom‐built coupler on the thenar/hypothenar of the non‐dominant hand using 8 mm Ag/AgCl cup electrodes (EL258, Biopac Systems., Goleta CA, USA) and 0.5%‐NaCl electrode paste (GEL101; Biopac Systems). Heartbeat timestamps and respiratory data were recorded using a pulse oximeter (8600, Nonin, Plymouth MN, USA) with a fiber optic sensor and a respiratory belt with a custom‐built transducer. All signals were amplified and digitized using a CED Micro1401 interface (Cambridge Electronic Design, Cambridge, UK) and recorded with Spike2 software (Cambridge Electronic Design).\nData preprocessing was conducted in MATLAB (version R2019a, MathWorks, Natick, MA, USA) and PsPM (Psychophysiological Modeling, https://bachlab.github.io/PsPM/, version 6.1.2), a MATLAB toolbox designed for preprocessing and modeling psychophysiological data (Bach et al. 2018; Bach and Melinscak 2020).\nFor eye‐tracking data in both data sets, we averaged gaze direction from both eyes (if available) and excluded any time bins from analysis during which gaze direction deviated beyond ±5° visual angle from the fixation point, following the approach used in previous work (Korn et al. 2017). Next, pupil size data were preprocessed following an established procedure (Kret and Sjak‐Shie 2019) as implemented in PsPM, which included identification of valid samples by range, speed, edge, trendline, and isolated sample filtering. When data from both eyes were available, they were averaged, and any missing data points were linearly interpolated. Pupil data were processed using a low‐pass Butterworth filter with a 50 Hz cutoff and downsampled to 10 Hz.\nFor both data sets, SCR artifacts were identified through an automatic quality assessment, which excluded data outside the range of 0.05–60 μS or with a slope larger than 10 μS s−1, followed by visual inspection. Artifact periods were linearly interpolated for filtering and visualization and excluded for statistical tests. SCR data were then processed using a first‐order bidirectional low‐pass Butterworth filter (5 Hz) and downsampled to 10 Hz (Bach et al. 2010; Staib et al. 2015). No high‐pass filtering was applied. Next, SCR was z‐transformed to account for between‐subjects variance in SCR amplitude, which might be due to peripheral factors such as skin properties (Bach et al. 2010).\nFor data set 1, QRS complexes were identified from the ECG data using a modified version of the Pan and Tompkins algorithm (Paulus et al. 2016) to generate heartbeat timestamps. For data set 2, the pulse waveform was processed by the pulse oximeter. For both data sets, heartbeat timestamps were then converted into an interpolated heart period signal at 10 Hz resampling frequency; heart period values outside of the range 0.6–1.5 s (corresponding to 40–100 bpm) were removed and linearly interpolated.\nFor both data sets, raw respiratory signals were processed using a previously established respiratory cycle detection algorithm (Bach et al. 2016) and converted into an interpolated respiration amplitude time series with a sampling rate of 10 Hz.\nSome previous neuroimaging work has performed a linear regression of presumed PE indices in the data onto PE computed in a computational model. There are two reasons why we use a different approach. First, where a relation between neural signals and signed PE has been found, this relation is highly non‐linear (Schultz 2016), and therefore a linear regression analysis of the data onto estimated PE is likely to be inadequate (Caplin and Dean 2008). Second, model‐based approaches that map physiological signals to trial‐by‐trial outputs from a predefined learning algorithm require strong assumptions about the form and dynamics of the learning process. In addition, different learning models and parameterizations can yield highly correlated but quantitatively distinct PE estimates, which complicates interpretation. This is why we opted for an axiomatic approach. This allows testing whether physiological signals are compatible with PE encoding in a model‐agnostic manner, without committing to any specific learning rules or biophysical mappings. Specifically, if signed PE monotonically (linearly or non‐linearly) maps onto a physiological signal, then this signal must fulfill three axioms (Caplin and Dean 2008), which are visualized (for a linear mapping) in Figure 1 (panel A). In turn, these axioms constitute sufficient and necessary conditions for verifying the expression of signed PE in a physiological signal. Axiom 1 (A1): When fixing the probability of receiving the US, a greater US magnitude should elicit a higher/lower physiological signal. Axiom 2 (A2): When fixing the US magnitude, a lower probability of receiving the US should result in a higher/lower PE signal. Here, higher/lower should be read as either higher for both Axioms 1 and 2, or lower for both. Axiom 3 (A3): Regardless of US type, if the US is fully predicted, there should be no PE signal.\nA diagram of necessary and sufficient conditions for signed prediction errors (PE), adjusted from (Ojala et al. 2022). Lines depict the tested contrasts, which were tested either all in the direction of the arrows, or all into the opposite direction. See main text for details of each axiom.\nIn addition, the expression of unsigned PE (i.e., surprise) would follow a different set of theoretical conditions, as shown in Supporting Information (Figure S1). Condition 1 (C1): When fixing the probability of receiving the US, the physiological responses should be higher when the outcome is more unexpected. Condition 2 (C2, corollary of C1): Comparable physiological responses for both outcomes should occur when the US probability is 50%. Condition 3 (C3): When fixing US magnitude, a 20% probability of receiving the US should elicit the highest unsigned PE signal for US delivery trials, compared with 50% and 80% probabilities, with the opposite pattern expected for US omission trials. Condition 4 (C4): This condition is identical to the aforementioned Axiom 3 defined for signed PE.\nIn the present work, we examined A1 and A2 in both data sets (see Table 2 for details) using all trials, assuming that participants rapidly learned the CS–US contingencies. A1 was examined by comparing US presentation (US+) trials and US omission (US−) trials for the same CS+, that is, when fixing the expected US probability. A2 was examined by comparing US omission trials with different probabilities (data sets 1 and 2), as well as US presentation trials with different probabilities (data set 2). A3 was not examined, as none of the data sets contained a fully reinforced CS+ condition (i.e., US+ (100%)), preventing a direct comparison with CS− (i.e., US− (0%)) trials.\nAxiomatic tests and corresponding linear mixed‐effects model syntax.\nNote: In the column Model syntax, DV refers to psychophysiological response (SCR/PSR/HPR/RAR), study refers to the grouping variable study and ppid refers to participants nested within each study, lmer is an R function for fitting linear mixed‐effects models from the R package lme4 (version 1.1.31).\nAll results reported in the main text refer to the entire set of trials, assuming rapid learning and a near‐constant US prediction during the experiment. Since this could be considered too strict an assumption, we repeated all analyses including only trials from the second half of each experiment. The results were highly similar to those obtained using the full data sets (see Supporting Information).\nFor data set 1, we first combined data from studies that recorded the same modalities to enhance the signal‐to‐noise ratio. For both data sets, we then baseline‐corrected the data by subtracting the average of a 0.5 s pre‐US interval per participant. Next, for each modality, we examined A1 and A2 using linear mixed‐effects models (see Table 2 for details) for each 0.1‐s time bin over the response interval for SCR/PSR/HPR/RAR. For each modality, we selected a response interval that is likely to contain the peak of a US‐elicited response based on previous work. Specifically, for SCR the response interval was 2–10 s after US onset (Bach et al. 2010), for HPR and RAR the response interval was 0–10 s after US onset (Bach et al. 2016; Paulus et al. 2016), and for PSR the response interval was 0–4 s after US onset (Korn et al. 2017; Mathôt and Vilotijević 2023).\nOur selected response intervals contained hundreds of time bins, posing a substantial multiple comparison problem (Saville 1990). To account for this, we used cluster‐based permutation tests (Maris and Oostenveld 2007). This method identifies temporally contiguous intervals (“clusters”) of above‐threshold effects and assesses their combined test statistics by comparing them to a null distribution generated through random permutations of the condition labels. A cluster is considered significant if its test statistic exceeds the critical threshold derived from the null hypothesis distribution. By analyzing clusters rather than isolated time points, this method increases statistical power while preserving the family‐wise error of false positives, compared to time‐point wise corrections (such as the Holm‐Bonferroni correction). We used a time‐bin inclusion threshold of p < 0.05 (Maris and Oostenveld 2007). For each axiomatic test for each modality, we performed an identical cluster‐based permutation test as in previous work (Maris and Oostenveld 2007). See Table 2 for details of examining A1 and A2. Since the axiomatic analysis only allows interpreting conjunctions of significant tests (rather than individual p‐values), there was no multiple comparison problem across tests.\nAs a robustness analysis for the null findings relating to US probability in data set 2, we conducted a peak‐scoring analysis for SCR and PSR, for which established analysis algorithms exist. For SCR, the response onset window was 1–4 s after US onset, and the peak window was 0.5–5 s after the SCR onset. The response amplitude was then calculated by subtracting the onset amplitude from the peak amplitude (Boucsein 2012). For PSR, the peak window was 1–4 s after US onset, while the baseline response was defined as the average PSR 1–0 s prior to US onset. The response amplitude was calculated by subtracting this baseline response from the maximum PSR observed within the peak window (Steinhauer et al. 2022).\nBased on the extracted peak‐scored responses, we performed paired t‐tests to examine A1 and A2 for SCR and PSR, respectively.\nAll data are publicly available on Zenodo (Bach and Sporrer 2024; Khemka et al. 2021; Korn et al. 2021; Staib et al. 2021, 2021a, 2021b; Tzovara et al. 2021; Zimmermann et al. 2021a, 2021b; https://zenodo.org/communities/pspm/, see reference list for study‐specific URLs). Anonymized pre‐processed data for both data sets, as well as scripts for data analysis and Supporting Information are available on OSF (https://osf.io/5tj79/).\n\n\n### Participants\nData set 1 comprised eight previously published fear conditioning studies from the group of the last author, with a combined sample size of 264 participants (see Table 1 for details). Data set 2 (N = 29) is first published here (Table 1). For all studies, healthy participants were recruited from the student and general population. Each study, including the procedure of obtaining written informed consent, was conducted in accordance with the Declaration of Helsinki and approved by a research ethics committee (Data set 1: Kantonale Ethikkommission Zurich, KEK‐ZH‐2013‐0118; Data set 2: UCL REC 6649/005). See Table 1 for demographics and general information.\nOverview and demographics for the nine included studies.\nSCR\nPSR\nHPR\nRAR\nSCR\nHPR\nRAR\nSCR\nPSR\nSCR\nPSR\nHPR\nRAR\nAbbreviations: HPR, heart period responses; PSR, pupil size responses; RAR, respiration amplitude responses; SCR, skin conductance responses.\nTo put the sample size of data set 2 into context, we conducted an approximative bootstrapping power analysis for SCR. Our approach of cluster‐based permutation testing makes no a priori assumptions on where an effect occurs within a time interval of interest. Thus, rather than assuming an effect size (which neglects temporal variability of the response), we assumed a minimal interesting effect magnitude of 20% peak difference between any two conditions. To simulate the variability of response latencies within this time window, we bootstrapped responses from four independent data sets containing SCR evoked by noxious electrical stimulations collected in our laboratory (SCRV6, https://doi.org/10.5281/zenodo.4287271; RRM1‐2, https://doi.org/10.5281/zenodo.4287111; and SPRM, https://doi.org/10.5281/zenodo.10848890). Thus, we randomly sampled data for 29 participants with two within‐subject conditions, assuming a peak difference of 20%. We then applied the same cluster‐based permutation test used for data set 2 to this simulated data set, using an identical SCR response window (i.e., 2–10 s after US onset). This bootstrapping procedure was repeated 30 times. A significant condition difference was found in each simulation, thus suggesting a power of larger than 95% at this effect magnitude.\n\n\n### Stimuli and Experimental Procedure\nAll nine studies used a delay fear conditioning procedure. Data set 1 used differential conditioning with one partially (50%) reinforced CS+, and one never‐reinforced CS−. Data set 2 used three CS+ with different reinforcement rates (20%/50%/80%), and no CS−. In previously published data set 1, CS lasted 4 s, and US onset was after 3.5 s. In data set 2, timings were optimized for the analysis of US response modulation, and CS lasted 6.5 s, while US onset was after 6 s. For both data sets, US duration was 0.5 s, and the inter‐trial‐interval (ITI) was randomly drawn from an interval of 7–11 s.\nData set 1 used three types of CS (visual, auditory, and somatosensory; Table 1), and data set 2 used visual CS only. The US was a train of electric simulations delivered by a current stimulator (Digitimer DS7A, Welwyn Garden City, UK) and a ring‐pin electrode. For each participant, US intensity was determined using a two‐step algorithm: a clearly painful intensity was identified using an ascending staircase procedure, which was then followed by delivering 14 random stimuli below this upper limit. The final US intensity was determined such as to elicit a discomfort rating of 85% compared to a clearly painful stimulus.\nThe number of CS+/CS− trials is listed in Table 1. Some studies in data set 1 included two distinct CS+ with the same reinforcement rate (FER01/02, SC4B, FSS6B, VC7B), and some also included two CS− (SC4B, FSS6B, VC7B). For studies FER01/02, both CS+ belonged to the same category (triangles of varying colors). For SC4B, FSS6B, and VC7B, the different CS+ and CS− differed in perceptual complexity but were within the same sensory modality. Previous studies found comparable learning between the two CS sets (Staib et al. 2020; Staib and Bach 2018). Hence, to enhance the signal‐to‐noise ratio, we collapsed the responses across multiple CS conditions based on the assumption that learning differences between the two CS sets would be negligible for the present purpose.\n\n\n### Data Recording\nFor data set 1, pupil diameter and gaze direction were measured using an EyeLink 1000 System (SR Research, Ottawa, ON, Canada) with a sampling rate of 500 Hz. Gaze calibration was conducted using the nine‐point calibration method provided by the EyeLink 1000 software. Participants rested their heads on a chin rest, positioned 70 cm away from the monitor (Dell P2012H, 20″ display, 5:4 aspect ratio, 60‐Hz refresh rate, the width and height of the screen were 44.2 and 24.9 cm, respectively). For the other three modalities, the output signals were digitized at a 1000 Hz sampling rate using a DI‐149 ad converter (Dataq Inc., Akron, OH, USA) and recorded with Windaq software (Dataq Inc.). SCR electrodes were positioned on the thenar and hypothenar regions of the left hand for studies FER01/02, and on the non‐dominant hand for all other studies. We used 8‐mm Ag/AgCl cup electrodes (EL258, Biopac Systems Inc., Goleta, CA, USA) with 0.5% NaCl gel (GEL101, Biopac Systems Inc., Goleta, CA, USA; Hygge and Hugdahl 1985). The skin conductance signal was amplified using an SCR coupler/amplifier (V71‐23, Coulbourn Instruments, Whitehall, PA, USA). Electrocardiogram (ECG) signals were recorded using four 45‐mm pre‐gelled Ag/AgCl adhesive electrodes, which were placed on the four limbs. The experimenter visually determined the lead configuration (I, II, III) or augmented lead (aVR, aVL, aVF) that exhibited the most prominent R spike and selected this configuration for recording. The data were pre‐amplified and processed with a 50‐Hz notch filter using a Coulbourn isolated five‐lead amplifier (LabLinc V75‐11, Coulbourn Instruments, Whitehall, PA). Respiratory data were recorded using an aneroid chest bellows (V94‐19, Coulbourn Instruments, Whitehall, PA, USA) in combination with a differential aneroid pressure transducer (V9415, Coulbourn), positioned around the rib cage at the lower sternum. The signal was then amplified via a resistive bridge strain gauge transducer coupler (V72‐25B, Coulbourn).\nFor data set 2, pupil diameter and gaze direction were measured using the same EyeLink 1000 system as in data set 1, but with different monitor distance settings: participants were positioned 64.5 cm away from the monitor, the width and height of the screen were 31.2 and 22.7 cm, respectively, and the distance from the EyeLink to participants' eyes was 48.5 cm. Skin conductance was recorded with a custom‐built coupler on the thenar/hypothenar of the non‐dominant hand using 8 mm Ag/AgCl cup electrodes (EL258, Biopac Systems., Goleta CA, USA) and 0.5%‐NaCl electrode paste (GEL101; Biopac Systems). Heartbeat timestamps and respiratory data were recorded using a pulse oximeter (8600, Nonin, Plymouth MN, USA) with a fiber optic sensor and a respiratory belt with a custom‐built transducer. All signals were amplified and digitized using a CED Micro1401 interface (Cambridge Electronic Design, Cambridge, UK) and recorded with Spike2 software (Cambridge Electronic Design).\n\n\n### Data Preprocessing\nData preprocessing was conducted in MATLAB (version R2019a, MathWorks, Natick, MA, USA) and PsPM (Psychophysiological Modeling, https://bachlab.github.io/PsPM/, version 6.1.2), a MATLAB toolbox designed for preprocessing and modeling psychophysiological data (Bach et al. 2018; Bach and Melinscak 2020).\nFor eye‐tracking data in both data sets, we averaged gaze direction from both eyes (if available) and excluded any time bins from analysis during which gaze direction deviated beyond ±5° visual angle from the fixation point, following the approach used in previous work (Korn et al. 2017). Next, pupil size data were preprocessed following an established procedure (Kret and Sjak‐Shie 2019) as implemented in PsPM, which included identification of valid samples by range, speed, edge, trendline, and isolated sample filtering. When data from both eyes were available, they were averaged, and any missing data points were linearly interpolated. Pupil data were processed using a low‐pass Butterworth filter with a 50 Hz cutoff and downsampled to 10 Hz.\nFor both data sets, SCR artifacts were identified through an automatic quality assessment, which excluded data outside the range of 0.05–60 μS or with a slope larger than 10 μS s−1, followed by visual inspection. Artifact periods were linearly interpolated for filtering and visualization and excluded for statistical tests. SCR data were then processed using a first‐order bidirectional low‐pass Butterworth filter (5 Hz) and downsampled to 10 Hz (Bach et al. 2010; Staib et al. 2015). No high‐pass filtering was applied. Next, SCR was z‐transformed to account for between‐subjects variance in SCR amplitude, which might be due to peripheral factors such as skin properties (Bach et al. 2010).\nFor data set 1, QRS complexes were identified from the ECG data using a modified version of the Pan and Tompkins algorithm (Paulus et al. 2016) to generate heartbeat timestamps. For data set 2, the pulse waveform was processed by the pulse oximeter. For both data sets, heartbeat timestamps were then converted into an interpolated heart period signal at 10 Hz resampling frequency; heart period values outside of the range 0.6–1.5 s (corresponding to 40–100 bpm) were removed and linearly interpolated.\nFor both data sets, raw respiratory signals were processed using a previously established respiratory cycle detection algorithm (Bach et al. 2016) and converted into an interpolated respiration amplitude time series with a sampling rate of 10 Hz.\n\n\n### Statistical Analyses\nSome previous neuroimaging work has performed a linear regression of presumed PE indices in the data onto PE computed in a computational model. There are two reasons why we use a different approach. First, where a relation between neural signals and signed PE has been found, this relation is highly non‐linear (Schultz 2016), and therefore a linear regression analysis of the data onto estimated PE is likely to be inadequate (Caplin and Dean 2008). Second, model‐based approaches that map physiological signals to trial‐by‐trial outputs from a predefined learning algorithm require strong assumptions about the form and dynamics of the learning process. In addition, different learning models and parameterizations can yield highly correlated but quantitatively distinct PE estimates, which complicates interpretation. This is why we opted for an axiomatic approach. This allows testing whether physiological signals are compatible with PE encoding in a model‐agnostic manner, without committing to any specific learning rules or biophysical mappings. Specifically, if signed PE monotonically (linearly or non‐linearly) maps onto a physiological signal, then this signal must fulfill three axioms (Caplin and Dean 2008), which are visualized (for a linear mapping) in Figure 1 (panel A). In turn, these axioms constitute sufficient and necessary conditions for verifying the expression of signed PE in a physiological signal. Axiom 1 (A1): When fixing the probability of receiving the US, a greater US magnitude should elicit a higher/lower physiological signal. Axiom 2 (A2): When fixing the US magnitude, a lower probability of receiving the US should result in a higher/lower PE signal. Here, higher/lower should be read as either higher for both Axioms 1 and 2, or lower for both. Axiom 3 (A3): Regardless of US type, if the US is fully predicted, there should be no PE signal.\nA diagram of necessary and sufficient conditions for signed prediction errors (PE), adjusted from (Ojala et al. 2022). Lines depict the tested contrasts, which were tested either all in the direction of the arrows, or all into the opposite direction. See main text for details of each axiom.\nIn addition, the expression of unsigned PE (i.e., surprise) would follow a different set of theoretical conditions, as shown in Supporting Information (Figure S1). Condition 1 (C1): When fixing the probability of receiving the US, the physiological responses should be higher when the outcome is more unexpected. Condition 2 (C2, corollary of C1): Comparable physiological responses for both outcomes should occur when the US probability is 50%. Condition 3 (C3): When fixing US magnitude, a 20% probability of receiving the US should elicit the highest unsigned PE signal for US delivery trials, compared with 50% and 80% probabilities, with the opposite pattern expected for US omission trials. Condition 4 (C4): This condition is identical to the aforementioned Axiom 3 defined for signed PE.\nIn the present work, we examined A1 and A2 in both data sets (see Table 2 for details) using all trials, assuming that participants rapidly learned the CS–US contingencies. A1 was examined by comparing US presentation (US+) trials and US omission (US−) trials for the same CS+, that is, when fixing the expected US probability. A2 was examined by comparing US omission trials with different probabilities (data sets 1 and 2), as well as US presentation trials with different probabilities (data set 2). A3 was not examined, as none of the data sets contained a fully reinforced CS+ condition (i.e., US+ (100%)), preventing a direct comparison with CS− (i.e., US− (0%)) trials.\nAxiomatic tests and corresponding linear mixed‐effects model syntax.\nNote: In the column Model syntax, DV refers to psychophysiological response (SCR/PSR/HPR/RAR), study refers to the grouping variable study and ppid refers to participants nested within each study, lmer is an R function for fitting linear mixed‐effects models from the R package lme4 (version 1.1.31).\nAll results reported in the main text refer to the entire set of trials, assuming rapid learning and a near‐constant US prediction during the experiment. Since this could be considered too strict an assumption, we repeated all analyses including only trials from the second half of each experiment. The results were highly similar to those obtained using the full data sets (see Supporting Information).\nFor data set 1, we first combined data from studies that recorded the same modalities to enhance the signal‐to‐noise ratio. For both data sets, we then baseline‐corrected the data by subtracting the average of a 0.5 s pre‐US interval per participant. Next, for each modality, we examined A1 and A2 using linear mixed‐effects models (see Table 2 for details) for each 0.1‐s time bin over the response interval for SCR/PSR/HPR/RAR. For each modality, we selected a response interval that is likely to contain the peak of a US‐elicited response based on previous work. Specifically, for SCR the response interval was 2–10 s after US onset (Bach et al. 2010), for HPR and RAR the response interval was 0–10 s after US onset (Bach et al. 2016; Paulus et al. 2016), and for PSR the response interval was 0–4 s after US onset (Korn et al. 2017; Mathôt and Vilotijević 2023).\nOur selected response intervals contained hundreds of time bins, posing a substantial multiple comparison problem (Saville 1990). To account for this, we used cluster‐based permutation tests (Maris and Oostenveld 2007). This method identifies temporally contiguous intervals (“clusters”) of above‐threshold effects and assesses their combined test statistics by comparing them to a null distribution generated through random permutations of the condition labels. A cluster is considered significant if its test statistic exceeds the critical threshold derived from the null hypothesis distribution. By analyzing clusters rather than isolated time points, this method increases statistical power while preserving the family‐wise error of false positives, compared to time‐point wise corrections (such as the Holm‐Bonferroni correction). We used a time‐bin inclusion threshold of p < 0.05 (Maris and Oostenveld 2007). For each axiomatic test for each modality, we performed an identical cluster‐based permutation test as in previous work (Maris and Oostenveld 2007). See Table 2 for details of examining A1 and A2. Since the axiomatic analysis only allows interpreting conjunctions of significant tests (rather than individual p‐values), there was no multiple comparison problem across tests.\nAs a robustness analysis for the null findings relating to US probability in data set 2, we conducted a peak‐scoring analysis for SCR and PSR, for which established analysis algorithms exist. For SCR, the response onset window was 1–4 s after US onset, and the peak window was 0.5–5 s after the SCR onset. The response amplitude was then calculated by subtracting the onset amplitude from the peak amplitude (Boucsein 2012). For PSR, the peak window was 1–4 s after US onset, while the baseline response was defined as the average PSR 1–0 s prior to US onset. The response amplitude was calculated by subtracting this baseline response from the maximum PSR observed within the peak window (Steinhauer et al. 2022).\nBased on the extracted peak‐scored responses, we performed paired t‐tests to examine A1 and A2 for SCR and PSR, respectively.\n\n\n### Axiomatic Tests\nSome previous neuroimaging work has performed a linear regression of presumed PE indices in the data onto PE computed in a computational model. There are two reasons why we use a different approach. First, where a relation between neural signals and signed PE has been found, this relation is highly non‐linear (Schultz 2016), and therefore a linear regression analysis of the data onto estimated PE is likely to be inadequate (Caplin and Dean 2008). Second, model‐based approaches that map physiological signals to trial‐by‐trial outputs from a predefined learning algorithm require strong assumptions about the form and dynamics of the learning process. In addition, different learning models and parameterizations can yield highly correlated but quantitatively distinct PE estimates, which complicates interpretation. This is why we opted for an axiomatic approach. This allows testing whether physiological signals are compatible with PE encoding in a model‐agnostic manner, without committing to any specific learning rules or biophysical mappings. Specifically, if signed PE monotonically (linearly or non‐linearly) maps onto a physiological signal, then this signal must fulfill three axioms (Caplin and Dean 2008), which are visualized (for a linear mapping) in Figure 1 (panel A). In turn, these axioms constitute sufficient and necessary conditions for verifying the expression of signed PE in a physiological signal. Axiom 1 (A1): When fixing the probability of receiving the US, a greater US magnitude should elicit a higher/lower physiological signal. Axiom 2 (A2): When fixing the US magnitude, a lower probability of receiving the US should result in a higher/lower PE signal. Here, higher/lower should be read as either higher for both Axioms 1 and 2, or lower for both. Axiom 3 (A3): Regardless of US type, if the US is fully predicted, there should be no PE signal.\nA diagram of necessary and sufficient conditions for signed prediction errors (PE), adjusted from (Ojala et al. 2022). Lines depict the tested contrasts, which were tested either all in the direction of the arrows, or all into the opposite direction. See main text for details of each axiom.\nIn addition, the expression of unsigned PE (i.e., surprise) would follow a different set of theoretical conditions, as shown in Supporting Information (Figure S1). Condition 1 (C1): When fixing the probability of receiving the US, the physiological responses should be higher when the outcome is more unexpected. Condition 2 (C2, corollary of C1): Comparable physiological responses for both outcomes should occur when the US probability is 50%. Condition 3 (C3): When fixing US magnitude, a 20% probability of receiving the US should elicit the highest unsigned PE signal for US delivery trials, compared with 50% and 80% probabilities, with the opposite pattern expected for US omission trials. Condition 4 (C4): This condition is identical to the aforementioned Axiom 3 defined for signed PE.\nIn the present work, we examined A1 and A2 in both data sets (see Table 2 for details) using all trials, assuming that participants rapidly learned the CS–US contingencies. A1 was examined by comparing US presentation (US+) trials and US omission (US−) trials for the same CS+, that is, when fixing the expected US probability. A2 was examined by comparing US omission trials with different probabilities (data sets 1 and 2), as well as US presentation trials with different probabilities (data set 2). A3 was not examined, as none of the data sets contained a fully reinforced CS+ condition (i.e., US+ (100%)), preventing a direct comparison with CS− (i.e., US− (0%)) trials.\nAxiomatic tests and corresponding linear mixed‐effects model syntax.\nNote: In the column Model syntax, DV refers to psychophysiological response (SCR/PSR/HPR/RAR), study refers to the grouping variable study and ppid refers to participants nested within each study, lmer is an R function for fitting linear mixed‐effects models from the R package lme4 (version 1.1.31).\nAll results reported in the main text refer to the entire set of trials, assuming rapid learning and a near‐constant US prediction during the experiment. Since this could be considered too strict an assumption, we repeated all analyses including only trials from the second half of each experiment. The results were highly similar to those obtained using the full data sets (see Supporting Information).\n\n\n### Cluster‐Based Permutation Tests\nFor data set 1, we first combined data from studies that recorded the same modalities to enhance the signal‐to‐noise ratio. For both data sets, we then baseline‐corrected the data by subtracting the average of a 0.5 s pre‐US interval per participant. Next, for each modality, we examined A1 and A2 using linear mixed‐effects models (see Table 2 for details) for each 0.1‐s time bin over the response interval for SCR/PSR/HPR/RAR. For each modality, we selected a response interval that is likely to contain the peak of a US‐elicited response based on previous work. Specifically, for SCR the response interval was 2–10 s after US onset (Bach et al. 2010), for HPR and RAR the response interval was 0–10 s after US onset (Bach et al. 2016; Paulus et al. 2016), and for PSR the response interval was 0–4 s after US onset (Korn et al. 2017; Mathôt and Vilotijević 2023).\nOur selected response intervals contained hundreds of time bins, posing a substantial multiple comparison problem (Saville 1990). To account for this, we used cluster‐based permutation tests (Maris and Oostenveld 2007). This method identifies temporally contiguous intervals (“clusters”) of above‐threshold effects and assesses their combined test statistics by comparing them to a null distribution generated through random permutations of the condition labels. A cluster is considered significant if its test statistic exceeds the critical threshold derived from the null hypothesis distribution. By analyzing clusters rather than isolated time points, this method increases statistical power while preserving the family‐wise error of false positives, compared to time‐point wise corrections (such as the Holm‐Bonferroni correction). We used a time‐bin inclusion threshold of p < 0.05 (Maris and Oostenveld 2007). For each axiomatic test for each modality, we performed an identical cluster‐based permutation test as in previous work (Maris and Oostenveld 2007). See Table 2 for details of examining A1 and A2. Since the axiomatic analysis only allows interpreting conjunctions of significant tests (rather than individual p‐values), there was no multiple comparison problem across tests.\n\n\n### Peak‐Scoring Analyses\nAs a robustness analysis for the null findings relating to US probability in data set 2, we conducted a peak‐scoring analysis for SCR and PSR, for which established analysis algorithms exist. For SCR, the response onset window was 1–4 s after US onset, and the peak window was 0.5–5 s after the SCR onset. The response amplitude was then calculated by subtracting the onset amplitude from the peak amplitude (Boucsein 2012). For PSR, the peak window was 1–4 s after US onset, while the baseline response was defined as the average PSR 1–0 s prior to US onset. The response amplitude was calculated by subtracting this baseline response from the maximum PSR observed within the peak window (Steinhauer et al. 2022).\nBased on the extracted peak‐scored responses, we performed paired t‐tests to examine A1 and A2 for SCR and PSR, respectively.\n\n\n### Data and Code Availability\nAll data are publicly available on Zenodo (Bach and Sporrer 2024; Khemka et al. 2021; Korn et al. 2021; Staib et al. 2021, 2021a, 2021b; Tzovara et al. 2021; Zimmermann et al. 2021a, 2021b; https://zenodo.org/communities/pspm/, see reference list for study‐specific URLs). Anonymized pre‐processed data for both data sets, as well as scripts for data analysis and Supporting Information are available on OSF (https://osf.io/5tj79/).\n\n\n### Results\nData set 1 included two US probabilities: 0% (CS− trials) and 50% (CS+ (50%)/CS− (50%) trials).\nTo test the effect of outcome magnitude, we compared responses to US (US+) and to US omission (US−) on CS+ trials (Table 3). We observed differential responses in all data modalities. Responses to US were larger than to US omission in SCR, PSR and RAR, whereas in HPR, we observed smaller responses to US, that is, tachycardia. Figure 2 displays the locations of the significant clusters in time for each modality and Table 3 lists details of these significant clusters.\nResults of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in data set 1.\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[5.5 s, 13.5 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[4.0 s, 7.5 s]\nResults:\nUS+ (50%) > US− (50%),\np < 0.001,\n[8.4 s, 13.5 s];\nUS+ (50%) < US− (50%),\np < 0.001,\n[3.5 s, 4.3 s];\nUS+ (50%) < US− (50%),\np < 0.001,\n[5.7 s, 7.7 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[3.5 s, 13.5 s]\nResult:\nUS− < US− (50%), p < 0.001,\n[5.5 s, 13.5 s]\nResults:\nUS− < US− (50%),\np < 0.001,\n[3.5 s, 4.5 s];\nUS− > US− (50%),\np < 0.001,\n[5.7 s, 7.5 s]\nResults:\nUS− > US− (50%),\np < 0.001,\n[7.0 s, 13.5 s];\nUS− < US− (50%),\np < 0.001,\n[3.5 s, 6.3 s]\nResult:\nUS− < US− (50%),\np < 0.001,\n[6.8 s, 13.5 s]\nNote:\nZ‐score is computed for SCR only. All modalities are baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per subject.\nLinearly interpolated data, for each modality, collapsed across all trials and participants in data set 1. Data were baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per participant. Note that linearly interpolated data were used for visualization purposes only, and all statistical analyses were conducted using the non‐interpolated data. Panels A–D show SCR, PSR, HPR, and RAR under three conditions: US− (0%) (green), US+ (50%) (red), and US− (50%) (blue). See Table 3 for details on significant clusters identified over time.\nTo test the effect of outcome probability, we compared responses to US omission on non‐reinforced CS+ and CS− trials (Figure 2). We observed differential responses in all data modalities. Responses on CS− trials were smaller than those in non‐reinforced CS+ trials in SCR and RAR. PSR was initially smaller and then larger on CS− trials. The biphasic HPR was initially smaller on CS− trials and then larger. Figure 2 displays the locations of the significant clusters in time for each modality and Table 3 lists details of these significant clusters.\nAll modalities showed an effect of outcome magnitude and outcome probability, such that we analyzed whether their direction conformed to the axioms for signed PE encoding. Specifically, if larger US magnitude (i.e., a worse outcome than expected) elicits larger responses (A1), then more unexpected US omission on CS+ trials (i.e., a better outcome than expected) should elicit smaller responses (A2). On the contrary, if larger US magnitude elicits smaller responses, then more unexpected US omission on CS+ trials should elicit larger responses. Following this logic, the direction of responses for SCR and RAR was incompatible across A1 and A2. For PSR, statistical tests for A2 indicated both a larger and a smaller response on CS+ trials. When considering the entire time course from CS onset, pupil size on all trial types appeared to return to the same baseline with no appreciable late US omission response, suggesting that the early larger PSR reflect a US omission response. Similarly, for HPR the biphasic response seemed to be clearly larger for CS+ than CS− trials. Thus, these modalities again offered no evidence for signed PE encoding across A1 and A2.\nFor unsigned PE encoding, when US prediction was 50%, both US and US omission trials should elicit comparable psychophysiological responses (C2). This was evidently not the case in either data set, as US responses were consistently higher than US omission responses on these trials.\nData set 2 included three different US probabilities: 20% (CS+ (20%)/CS− (20%) trials), 50% (CS+ (50%)/CS− (50%) trials), and 80% (CS+ (80%)/CS− (80%) trials).\nTo test the effect of outcome magnitude, we compared responses to US presence and to US omission trials (Figure 3) for each of the three CS. We observed differential responses in all data modalities. Responses to US were larger than to US omission in SCR, PSR, and RAR, whereas in HPR, we observed smaller responses to US. Figure 3 displays the locations of the significant clusters in time for each modality and Table 4 lists details for these clusters. Similar results were found for SCR and PSR in the peak‐scoring analysis (see Supporting Information).\nLinearly interpolated data, for each modality, collapsed across all trials and participants in data set 2. Data were baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per participant. Note that linearly interpolated data were used for visualization purposes only, and all statistical analyses were conducted using the non‐interpolated data. Panels A–D show SCR, PSR, HPR, and RAR during US presentation trials with three varying probabilities 20%/50%/80%, as well as during US omission trials with the same probabilities, respectively. See Table 4 for details on significant clusters identified over time.\nResults of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in dataset 2.\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[6.5 s, 10.0 s]\nResult:\nUS+ (20%) < US− (20%),\np < 0.001,\n[7.2 s, 10.6 s]\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[6.5 s, 13.5 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[6.5 s, 10.0 s]\nResult:\nUS+ (50%) < US− (50%),\np < 0.001,\n[7.4 s, 11.9 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[6.0 s, 11.9 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[6.5 s, 10.0 s]\nResults:\nUS+ (80%) < US− (80%),\np < 0.001,\n[7.3 s, 10.9 s];\nUS+ (80%) > US− (80%),\np < 0.01,\n[13.2 s, 15.0 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[6.0 s, 12.2 s]\nResult:\nUS+ (50%) > US+ (80%),\np < 0.01,\n[7.3 s, 9.0 s];\nNo significant cluster identified for other contrasts\nNote:\nZ‐score is computed for SCR only. All modalities are baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per subject.\nFor SCR, PSR, and RAR, cluster‐based permutation tests revealed no significant differences in any of the comparisons. There was one significant cluster for HPR, indicating larger responses to US+ (50%) (compared to US+ (80%)) trials. Figure 3 displays the location of the significant cluster in time for HPR and Table 4 shows the details for this cluster. Peak‐scoring analyses did not reveal additional results (see Supporting Information).\nFor signed PE encoding, since no consistent effect of outcome probability was found in any of the modalities, there was no support for A2. The one significant cluster in HPR was not replicated in any other comparison for HPR. Descriptively, Figure 3 appears to suggest that more unexpected US led to larger responses for SCR, PSR, and RAR; however, this ordering was not apparent for more expected US omission. Overall, there was no support for signed PE encoding across axioms A1 and A2.\nFor unsigned PE encoding, C1 predicts larger responses for US than US omission trials in the 20% condition, and larger responses for US omission than US trials in the 80% condition. C2 predicts comparable responses for US and US omission trials in the 50% condition. However, results in the 50% and 80% conditions were inconsistent with both C1 and C2. According to C3, the 20% condition should elicit the largest responses on US trials, whereas the 80% condition should elicit the largest responses on US omission trials. Responses across all four modalities were incompatible with C3. Taken together, these findings provide no evidence for unsigned PE encoding when jointly considering C1–C3.\n\n\n### Data Set 1\nData set 1 included two US probabilities: 0% (CS− trials) and 50% (CS+ (50%)/CS− (50%) trials).\nTo test the effect of outcome magnitude, we compared responses to US (US+) and to US omission (US−) on CS+ trials (Table 3). We observed differential responses in all data modalities. Responses to US were larger than to US omission in SCR, PSR and RAR, whereas in HPR, we observed smaller responses to US, that is, tachycardia. Figure 2 displays the locations of the significant clusters in time for each modality and Table 3 lists details of these significant clusters.\nResults of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in data set 1.\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[5.5 s, 13.5 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[4.0 s, 7.5 s]\nResults:\nUS+ (50%) > US− (50%),\np < 0.001,\n[8.4 s, 13.5 s];\nUS+ (50%) < US− (50%),\np < 0.001,\n[3.5 s, 4.3 s];\nUS+ (50%) < US− (50%),\np < 0.001,\n[5.7 s, 7.7 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[3.5 s, 13.5 s]\nResult:\nUS− < US− (50%), p < 0.001,\n[5.5 s, 13.5 s]\nResults:\nUS− < US− (50%),\np < 0.001,\n[3.5 s, 4.5 s];\nUS− > US− (50%),\np < 0.001,\n[5.7 s, 7.5 s]\nResults:\nUS− > US− (50%),\np < 0.001,\n[7.0 s, 13.5 s];\nUS− < US− (50%),\np < 0.001,\n[3.5 s, 6.3 s]\nResult:\nUS− < US− (50%),\np < 0.001,\n[6.8 s, 13.5 s]\nNote:\nZ‐score is computed for SCR only. All modalities are baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per subject.\nLinearly interpolated data, for each modality, collapsed across all trials and participants in data set 1. Data were baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per participant. Note that linearly interpolated data were used for visualization purposes only, and all statistical analyses were conducted using the non‐interpolated data. Panels A–D show SCR, PSR, HPR, and RAR under three conditions: US− (0%) (green), US+ (50%) (red), and US− (50%) (blue). See Table 3 for details on significant clusters identified over time.\nTo test the effect of outcome probability, we compared responses to US omission on non‐reinforced CS+ and CS− trials (Figure 2). We observed differential responses in all data modalities. Responses on CS− trials were smaller than those in non‐reinforced CS+ trials in SCR and RAR. PSR was initially smaller and then larger on CS− trials. The biphasic HPR was initially smaller on CS− trials and then larger. Figure 2 displays the locations of the significant clusters in time for each modality and Table 3 lists details of these significant clusters.\nAll modalities showed an effect of outcome magnitude and outcome probability, such that we analyzed whether their direction conformed to the axioms for signed PE encoding. Specifically, if larger US magnitude (i.e., a worse outcome than expected) elicits larger responses (A1), then more unexpected US omission on CS+ trials (i.e., a better outcome than expected) should elicit smaller responses (A2). On the contrary, if larger US magnitude elicits smaller responses, then more unexpected US omission on CS+ trials should elicit larger responses. Following this logic, the direction of responses for SCR and RAR was incompatible across A1 and A2. For PSR, statistical tests for A2 indicated both a larger and a smaller response on CS+ trials. When considering the entire time course from CS onset, pupil size on all trial types appeared to return to the same baseline with no appreciable late US omission response, suggesting that the early larger PSR reflect a US omission response. Similarly, for HPR the biphasic response seemed to be clearly larger for CS+ than CS− trials. Thus, these modalities again offered no evidence for signed PE encoding across A1 and A2.\nFor unsigned PE encoding, when US prediction was 50%, both US and US omission trials should elicit comparable psychophysiological responses (C2). This was evidently not the case in either data set, as US responses were consistently higher than US omission responses on these trials.\n\n\n### Response to Outcome Magnitude\nTo test the effect of outcome magnitude, we compared responses to US (US+) and to US omission (US−) on CS+ trials (Table 3). We observed differential responses in all data modalities. Responses to US were larger than to US omission in SCR, PSR and RAR, whereas in HPR, we observed smaller responses to US, that is, tachycardia. Figure 2 displays the locations of the significant clusters in time for each modality and Table 3 lists details of these significant clusters.\nResults of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in data set 1.\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[5.5 s, 13.5 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[4.0 s, 7.5 s]\nResults:\nUS+ (50%) > US− (50%),\np < 0.001,\n[8.4 s, 13.5 s];\nUS+ (50%) < US− (50%),\np < 0.001,\n[3.5 s, 4.3 s];\nUS+ (50%) < US− (50%),\np < 0.001,\n[5.7 s, 7.7 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[3.5 s, 13.5 s]\nResult:\nUS− < US− (50%), p < 0.001,\n[5.5 s, 13.5 s]\nResults:\nUS− < US− (50%),\np < 0.001,\n[3.5 s, 4.5 s];\nUS− > US− (50%),\np < 0.001,\n[5.7 s, 7.5 s]\nResults:\nUS− > US− (50%),\np < 0.001,\n[7.0 s, 13.5 s];\nUS− < US− (50%),\np < 0.001,\n[3.5 s, 6.3 s]\nResult:\nUS− < US− (50%),\np < 0.001,\n[6.8 s, 13.5 s]\nNote:\nZ‐score is computed for SCR only. All modalities are baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per subject.\nLinearly interpolated data, for each modality, collapsed across all trials and participants in data set 1. Data were baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per participant. Note that linearly interpolated data were used for visualization purposes only, and all statistical analyses were conducted using the non‐interpolated data. Panels A–D show SCR, PSR, HPR, and RAR under three conditions: US− (0%) (green), US+ (50%) (red), and US− (50%) (blue). See Table 3 for details on significant clusters identified over time.\n\n\n### Response to Outcome Probability\nTo test the effect of outcome probability, we compared responses to US omission on non‐reinforced CS+ and CS− trials (Figure 2). We observed differential responses in all data modalities. Responses on CS− trials were smaller than those in non‐reinforced CS+ trials in SCR and RAR. PSR was initially smaller and then larger on CS− trials. The biphasic HPR was initially smaller on CS− trials and then larger. Figure 2 displays the locations of the significant clusters in time for each modality and Table 3 lists details of these significant clusters.\n\n\n### Axiomatic Analysis\nAll modalities showed an effect of outcome magnitude and outcome probability, such that we analyzed whether their direction conformed to the axioms for signed PE encoding. Specifically, if larger US magnitude (i.e., a worse outcome than expected) elicits larger responses (A1), then more unexpected US omission on CS+ trials (i.e., a better outcome than expected) should elicit smaller responses (A2). On the contrary, if larger US magnitude elicits smaller responses, then more unexpected US omission on CS+ trials should elicit larger responses. Following this logic, the direction of responses for SCR and RAR was incompatible across A1 and A2. For PSR, statistical tests for A2 indicated both a larger and a smaller response on CS+ trials. When considering the entire time course from CS onset, pupil size on all trial types appeared to return to the same baseline with no appreciable late US omission response, suggesting that the early larger PSR reflect a US omission response. Similarly, for HPR the biphasic response seemed to be clearly larger for CS+ than CS− trials. Thus, these modalities again offered no evidence for signed PE encoding across A1 and A2.\nFor unsigned PE encoding, when US prediction was 50%, both US and US omission trials should elicit comparable psychophysiological responses (C2). This was evidently not the case in either data set, as US responses were consistently higher than US omission responses on these trials.\n\n\n### Data Set 2\nData set 2 included three different US probabilities: 20% (CS+ (20%)/CS− (20%) trials), 50% (CS+ (50%)/CS− (50%) trials), and 80% (CS+ (80%)/CS− (80%) trials).\nTo test the effect of outcome magnitude, we compared responses to US presence and to US omission trials (Figure 3) for each of the three CS. We observed differential responses in all data modalities. Responses to US were larger than to US omission in SCR, PSR, and RAR, whereas in HPR, we observed smaller responses to US. Figure 3 displays the locations of the significant clusters in time for each modality and Table 4 lists details for these clusters. Similar results were found for SCR and PSR in the peak‐scoring analysis (see Supporting Information).\nLinearly interpolated data, for each modality, collapsed across all trials and participants in data set 2. Data were baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per participant. Note that linearly interpolated data were used for visualization purposes only, and all statistical analyses were conducted using the non‐interpolated data. Panels A–D show SCR, PSR, HPR, and RAR during US presentation trials with three varying probabilities 20%/50%/80%, as well as during US omission trials with the same probabilities, respectively. See Table 4 for details on significant clusters identified over time.\nResults of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in dataset 2.\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[6.5 s, 10.0 s]\nResult:\nUS+ (20%) < US− (20%),\np < 0.001,\n[7.2 s, 10.6 s]\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[6.5 s, 13.5 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[6.5 s, 10.0 s]\nResult:\nUS+ (50%) < US− (50%),\np < 0.001,\n[7.4 s, 11.9 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[6.0 s, 11.9 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[6.5 s, 10.0 s]\nResults:\nUS+ (80%) < US− (80%),\np < 0.001,\n[7.3 s, 10.9 s];\nUS+ (80%) > US− (80%),\np < 0.01,\n[13.2 s, 15.0 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[6.0 s, 12.2 s]\nResult:\nUS+ (50%) > US+ (80%),\np < 0.01,\n[7.3 s, 9.0 s];\nNo significant cluster identified for other contrasts\nNote:\nZ‐score is computed for SCR only. All modalities are baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per subject.\nFor SCR, PSR, and RAR, cluster‐based permutation tests revealed no significant differences in any of the comparisons. There was one significant cluster for HPR, indicating larger responses to US+ (50%) (compared to US+ (80%)) trials. Figure 3 displays the location of the significant cluster in time for HPR and Table 4 shows the details for this cluster. Peak‐scoring analyses did not reveal additional results (see Supporting Information).\nFor signed PE encoding, since no consistent effect of outcome probability was found in any of the modalities, there was no support for A2. The one significant cluster in HPR was not replicated in any other comparison for HPR. Descriptively, Figure 3 appears to suggest that more unexpected US led to larger responses for SCR, PSR, and RAR; however, this ordering was not apparent for more expected US omission. Overall, there was no support for signed PE encoding across axioms A1 and A2.\nFor unsigned PE encoding, C1 predicts larger responses for US than US omission trials in the 20% condition, and larger responses for US omission than US trials in the 80% condition. C2 predicts comparable responses for US and US omission trials in the 50% condition. However, results in the 50% and 80% conditions were inconsistent with both C1 and C2. According to C3, the 20% condition should elicit the largest responses on US trials, whereas the 80% condition should elicit the largest responses on US omission trials. Responses across all four modalities were incompatible with C3. Taken together, these findings provide no evidence for unsigned PE encoding when jointly considering C1–C3.\n\n\n### Response to Outcome Magnitude\nTo test the effect of outcome magnitude, we compared responses to US presence and to US omission trials (Figure 3) for each of the three CS. We observed differential responses in all data modalities. Responses to US were larger than to US omission in SCR, PSR, and RAR, whereas in HPR, we observed smaller responses to US. Figure 3 displays the locations of the significant clusters in time for each modality and Table 4 lists details for these clusters. Similar results were found for SCR and PSR in the peak‐scoring analysis (see Supporting Information).\nLinearly interpolated data, for each modality, collapsed across all trials and participants in data set 2. Data were baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per participant. Note that linearly interpolated data were used for visualization purposes only, and all statistical analyses were conducted using the non‐interpolated data. Panels A–D show SCR, PSR, HPR, and RAR during US presentation trials with three varying probabilities 20%/50%/80%, as well as during US omission trials with the same probabilities, respectively. See Table 4 for details on significant clusters identified over time.\nResults of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in dataset 2.\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[6.5 s, 10.0 s]\nResult:\nUS+ (20%) < US− (20%),\np < 0.001,\n[7.2 s, 10.6 s]\nResult:\nUS+ (20%) > US− (20%),\np < 0.001,\n[6.5 s, 13.5 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[6.5 s, 10.0 s]\nResult:\nUS+ (50%) < US− (50%),\np < 0.001,\n[7.4 s, 11.9 s]\nResult:\nUS+ (50%) > US− (50%),\np < 0.001,\n[6.0 s, 11.9 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[8.0 s, 16.0 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[6.5 s, 10.0 s]\nResults:\nUS+ (80%) < US− (80%),\np < 0.001,\n[7.3 s, 10.9 s];\nUS+ (80%) > US− (80%),\np < 0.01,\n[13.2 s, 15.0 s]\nResult:\nUS+ (80%) > US− (80%),\np < 0.001,\n[6.0 s, 12.2 s]\nResult:\nUS+ (50%) > US+ (80%),\np < 0.01,\n[7.3 s, 9.0 s];\nNo significant cluster identified for other contrasts\nNote:\nZ‐score is computed for SCR only. All modalities are baseline‐corrected by subtracting the average of a 0.5 s pre‐US interval per subject.\n\n\n### Response to Outcome Probability\nFor SCR, PSR, and RAR, cluster‐based permutation tests revealed no significant differences in any of the comparisons. There was one significant cluster for HPR, indicating larger responses to US+ (50%) (compared to US+ (80%)) trials. Figure 3 displays the location of the significant cluster in time for HPR and Table 4 shows the details for this cluster. Peak‐scoring analyses did not reveal additional results (see Supporting Information).\n\n\n### Axiomatic Analysis\nFor signed PE encoding, since no consistent effect of outcome probability was found in any of the modalities, there was no support for A2. The one significant cluster in HPR was not replicated in any other comparison for HPR. Descriptively, Figure 3 appears to suggest that more unexpected US led to larger responses for SCR, PSR, and RAR; however, this ordering was not apparent for more expected US omission. Overall, there was no support for signed PE encoding across axioms A1 and A2.\nFor unsigned PE encoding, C1 predicts larger responses for US than US omission trials in the 20% condition, and larger responses for US omission than US trials in the 80% condition. C2 predicts comparable responses for US and US omission trials in the 50% condition. However, results in the 50% and 80% conditions were inconsistent with both C1 and C2. According to C3, the 20% condition should elicit the largest responses on US trials, whereas the 80% condition should elicit the largest responses on US omission trials. Responses across all four modalities were incompatible with C3. Taken together, these findings provide no evidence for unsigned PE encoding when jointly considering C1–C3.\n\n\n### Discussion\nPavlovian fear conditioning is an important basic learning paradigm, but it remains unclear to what extent its learning is driven by signed or unsigned PE signals, as in Pavlovian reward learning. Here, we explored a potential expression of PE in different candidate psychophysiological responses (based on SCR, PSR, HPR, and RAR) in two independent data sets. We conducted cluster‐based permutation tests to examine responses to outcome magnitude and outcome probability.\nThree main findings emerge. First, we observed the well‐known US response (compared to US omission) in all modalities and both data sets (Bach and Friston 2012). In a condition with 50% US, this finding is incompatible with an unsigned PE encoding. Second, we found either no evidence for response modulation by US probability (data set 2), or the direction of response modulation was incompatible with a signed PE encoding (data set 1). Third and relatedly, there was a response to unexpected US omission (non‐reinforced CS+ trials) in the same direction as the response to the US itself, compared to CS− trials in all modalities (data set 1), as has previously been observed for SCR (Spoormaker et al. 2012; Stemerding et al. 2022).\nCrucially, in data set 1, while unexpected US omission responses have previously been termed “prediction error” signals, they do not conform to the notion of a signed prediction error as used in many computational learning models since Rescorla & Wagner (Miller et al. 1995; Rescorla 1972). A signed prediction error encoding implies that responses to better‐than‐expected outcomes should be in the opposite direction compared to responses to worse‐than‐expected outcomes. Since partially predicted US (compared to US omission, a worse‐than‐expected outcome) elicits larger SCR, PSR, and RAR, and smaller HPR, unexpected US omission (compared to expected US omission, a better‐than‐expected outcome) should elicit smaller SCR, PSR, and RAR, and larger HPR. The opposite, however, was the case in our data. This constitutes clear and statistically significant evidence against the notion of signed prediction error encoding in these psychophysiological signals. On a different note, although these US omission responses are in principle consistent with an unsigned PE encoding (Rouhani and Niv 2021), the fact that US response is larger than US omission response—even though both outcomes are equally unexpected at a 50% reinforcement rate—cannot be fully explained by unsigned PE magnitude alone. Furthermore, we note that the US omission response descriptively appears to occur earlier than the US response in SCR, PSR, and HPR. If reliable, this difference in response latency is also not predicted by unsigned PE encoding.\nData set 2 afforded more nuanced comparisons at different reinforcement rates. Importantly, both signed and unsigned prediction error encoding would imply an impact of reinforcement rate on responses. For signed PE encoding, the largest responses are expected at a 20% reinforcement rate for both US+ and US− trials. For unsigned PE encoding, the largest responses are expected at a 20% reinforcement rate for US+ trials and at an 80% reinforcement rate for US− trials. However, our results from data set 2 provide no evidence for either assumption. While the sample size was relatively modest, and clearer results might be found in a larger sample, we can clearly rule out any response of a magnitude that would allow single‐subject analysis, for example, for model fitting or clinical monitoring purposes.\nOne limitation of the present work is the absence of a fully predicted CS+ condition. Including this condition could provide an estimate of the US response and its habituation in a fully predictable context, in which signed and unsigned PE signals are minimal. This baseline would also allow assessing whether potential PE responses are superimposed onto a US response generated by a different mechanism. Future work may extend the experiment of data set 2 by adding a CS− and a fully reinforced CS+ condition, together with a larger sample size.\nImportantly, our results do not imply that the neural system does not use PE encoding. PE encoding in peripheral indices, if it existed, should be considered an epiphenomenon. The presence of such an epiphenomenon would be of great interest, as it would allow a direct window into learning quantities. However, its absence does not afford conclusions about the neural system.\nIn sum, based on studies employing Pavlovian fear conditioning paradigms with electrical stimulations as the US, we identify the well‐known US response in all data modalities, replicate the previous finding of an unexpected US omission response in SCR, and extend it to all other investigated data modalities. At the same time, we find clear evidence against a signed PE encoding and no evidence for an unsigned PE encoding in this specific experimental protocol. Caution is warranted when making claims about PE encoding in paradigms involving other types of learning and/or outcome variables.\n\n\n### Author Contributions\nHuaiyu Liu: formal analysis, writing – original draft, writing – review and editing, visualization. Josie Linnell: writing – review and editing. Dominik R. Bach: data collection, data curation, conceptualization, methodology, writing – review and editing, supervision, funding acquisition, project administration.\n\n\n### Funding\nThis work was supported by the Economic and Social Research Council (ES/W000776/1), Wellcome Trust (203147/Z/16/Z).\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nTable S1a: Peak‐scoring analyses for SCR in data set 2: Paired t‐tests.\nTable S1b: Peak‐scoring analyses for PSR in data set 2: Paired t‐tests.\nTable S2a: Results of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in data set 1 restricted to the second half of trials.\nTable S2b: Results of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in data set 2 restricted to the second half of trials.\nTable S3: Results of cluster‐level permutation tests for SCR, PSR, HPR, and RAR in data set 1, restricted to A2, using models with baseline values as covariates.\nFigure S1: A diagram of necessary and sufficient conditions for unsigned prediction errors (PE). Lines depict the tested contrasts, which were tested all in direction of the arrows.", "domain": "affective_neuroscience"}
{"source": "PMC13099140", "title": "Modeling the hallucinatory effects of classical psychedelics in terms of replay-dependent plasticity mechanisms", "text": "# Modeling the hallucinatory effects of classical psychedelics in terms of replay-dependent plasticity mechanisms\n\n## Abstract\nClassical psychedelics induce complex visual hallucinations in humans, generating percepts that are coherent at a low level, but which have surreal, dream-like qualities at a high level. While there are many hypotheses as to how classical psychedelics could induce these effects, there are no concrete mechanistic models that capture the variety of observed effects in humans, while remaining consistent with the known pharmacological effects of classical psychedelics on neural circuits. In this work, we propose the ‘oneirogen hypothesis,’ which posits that the perceptual effects of classical psychedelics are a result of their pharmacological actions inducing neural activity states that truly are more similar to dream-like states. We simulate classical psychedelics’ effects via manipulating neural network models trained on perceptual tasks with the Wake-Sleep algorithm. This established machine learning algorithm leverages two activity phases: a perceptual phase (wake) where sensory inputs are encoded, and a generative phase (dream) where the network internally generates activity consistent with stimulus-evoked responses. We simulate the action of psychedelics by partially shifting the model to the ‘Sleep’ state, which entails a greater influence of top-down connections, in line with the impact of psychedelics on apical dendrites. The effects resulting from this manipulation capture a number of experimentally observed phenomena, including the emergence of hallucinations, increases in stimulus-conditioned variability, and large increases in synaptic plasticity. We further provide a number of testable predictions which could be used to validate or invalidate our oneirogen hypothesis.\n\n## Full Text\n\n\n### Introduction\nClassical psychedelics—including psilocybin, mescaline, DMT, and LSD—are a family of hallucinogenic compounds with a common mechanism of action: they are agonists for the 5-HT2a serotonin receptor commonly expressed on the apical dendrites of cortical pyramidal neurons (Jakab and Goldman-Rakic, 1998) and on parvalbumin (PV) interneurons (de Almeida and Mengod, 2007). These drugs induce numerous effects in human subjects, including complex visual, auditory, and tactile hallucinations; intense spiritual experiences; long-lasting alterations in mood; changes in personality; and increases in synaptic plasticity (Preller and Vollenweider, 2018; Shao et al., 2021; Grieco et al., 2022). Recently, they have been explored clinically as potential treatments for depression and anxiety (Muttoni et al., 2019), as well as PTSD (Krediet et al., 2020).\nThe 5-HT2a receptor plays a critical role in psychedelic-induced hallucinations. Indeed, behavioral measures of hallucinatory drug effects are induced selectively by cellular membrane-permeable 5-HT2a agonists (Vargas et al., 2023), and perceptual effects of classical psychedelics are largely eliminated by blocking 5-HT2a receptors in the cortex (Kraehenmann et al., 2017; Vargas et al., 2023) (though 5-HT2a agonists with mixed receptor selectivity are in some cases characterized by primarily non-hallucinatory effects [Green et al., 2003; Marona-Lewicka et al., 2002]). However, very little is understood about why highly structured hallucinations and changes in synaptic plasticity emerge from activating cortical 5-HT2a receptors: to explain this, it is necessary to develop mechanistic theories that are capable of linking changes in neuron-level properties (receptor agonism) to changes in perception and behavior. Psychedelic drug users and therapists have long noted the ‘dream-like’ qualities of psychedelic drug hallucinations, which are realistic but untethered from the external world; this observation leads naturally to speculation that these drugs are ‘oneirogens,’ or dream-manifesting compounds (Carhart-Harris, 2007). However, beyond perceptual phenomenology (and some evidence pointing to the effects of psychedelics on sleep cycles [Thomas et al., 2022; Dudysová et al., 2020; Barbanoj et al., 2008]), we lack a mechanistic proposal that could explain the similarity between dreams and psychedelic drug experiences. Here, we articulate the ‘oneirogen hypothesis,’ which describes one such potential mechanistic explanation. We propose that classical psychedelics induce a dream-like state by shifting the balance between bottom-up pathways transmitting sensory information and top-down pathways ordinarily used to create replay sequences in the brain. Replay sequences have been shown to be important for learning during sleep (Girardeau et al., 2009; Deuker et al., 2013; de Lavilléon et al., 2015; Maingret et al., 2016; Fernández-Ruiz et al., 2019): we propose that mechanisms supporting replay-dependent learning during sleep are key to explaining the increases in plasticity caused by psychedelic drug administration. In total, our model of the functional effect of psychedelics on pyramidal neurons could provide an explanation for the perceptual psychedelic experience in terms of learning mechanisms for consolidation during sleep (Walker and Stickgold, 2004), and cortical ‘replay’ phenomena (Nádasdy et al., 1999; Lee and Wilson, 2002; Foster, 2017; Ji and Wilson, 2007; Euston et al., 2007; Peyrache et al., 2009; Kenet et al., 2003; Xu et al., 2012; Hoffman and McNaughton, 2002; Louie and Wilson, 2001; Andrillon et al., 2015).\nTo explore the oneirogen hypothesis concretely, we use the aptly named Wake-Sleep algorithm (Hinton et al., 1995), which has historically been used to train artificial neural networks (ANNs) that possess both a bottom-up ‘recognition’ pathway and a top-down ‘generative’ pathway to learn a representation of incoming sensory data. It enables unsupervised learning in ANNs by alternating between periods of ‘waking perception’ (wherein bottom-up recognition pathways drive activity) and ‘dreaming sequences’ (wherein top-down generative pathways drive activity). With these alternate periods of distinct activity, connectivity parameters in each pathway are adjusted to match the activity of the opposite pathway. This way, the top-down pathway learns to generate activity consistent with that induced by sensory inputs, and the bottom-up pathway learns better representations thanks to generated activity.\nIn this work, we show that within a neural network trained via Wake-Sleep, it is possible to model the action of classical psychedelics (i.e. 5-HT2a receptor agonism) by shifting the balance during the wake state from the bottom-up pathways to the top-down pathways, thereby making the ‘wake’ network states more ‘dream-like’. Specifically, we model the effects of classical psychedelics by manipulating the relative influence of top-down and bottom-up connections in neural networks trained with the Wake-Sleep algorithm on images. Doing so, we capture a number of effects observed in experiments on individuals under the influence of psychedelics, including: the emergence of closed-eye hallucinations, increases in stimulus-conditioned variability, and large increases in synaptic plasticity. This data suggests that the oneirogen hypothesis may indeed help to explain why 5-HT2a agonists have the functional effects that they do. We subsequently identify several testable predictions that could be used to further validate the oneirogen hypothesis.\n\n\n### Results\nThe Wake-Sleep algorithm allows ANNs to optimize a global, unsupervised objective function for sensory representation learning—the Evidence Lower Bound (ELBO)—through local synaptic modifications to a bottom-up recognition pathway and a top-down generative pathway. As a precursor to the variational autoencoder (Rezende et al., 2014; Kingma and Welling, 2013), the Wake-Sleep algorithm provides a mechanism for learning a probabilistic latent representation r\\begin{document}$\\mathbf{r}$\\end{document} responding to incoming sensory stimuli s\\begin{document}$\\mathbf{s}$\\end{document}, which obeys representational characteristics that are ideal for a neural system (e.g. sparsity and metabolic efficiency Simoncelli, 2003, compression and coding efficiency Simoncelli and Olshausen, 2001; Ballé et al., 2016, or disentanglement DiCarlo et al., 2012; Higgins et al., 2017). To do this, Wake-Sleep optimizes the ELBO through an approximation of the Expectation Maximization (EM) algorithm (Ikeda et al., 1998) to train the two pathways (Figure 1a). (For readers who are unfamiliar with the Wake-Sleep algorithm, a tutorial can be found here Kirby, 2006).\nLeft: Network architecture. We model early sensory processing in the cortex with a multilayer network, r\\begin{document}$\\mathbf{r}$\\end{document}, receiving stimuli s\\begin{document}$\\mathbf{s}$\\end{document}. Center: individual pyramidal neurons receive top-down inputs (red) at the apical dendritic compartment, and bottom-up inputs at the basal dendritic compartment (blue). 5-HT2a receptors are expressed on the apical dendritic shaft (red bar), and on parvalbumin (PV) interneurons (red triangle); both sites may play a role in gating basal input. Right: Over the course of Wake-Sleep training, basal inputs dominate activity during the Wake phase (α=0\\begin{document}$\\alpha=0$\\end{document}) and are used to train apical synapses, whereas apical inputs dominate activity during the Sleep phase (α=1\\begin{document}$\\alpha=1$\\end{document}) and are used to train basal synapses.\nNotably, the Wake-Sleep algorithm requires two phases of activity (i.e. ‘Wake’ and ‘Sleep’), where the network phase is controlled by a global state variable α∈[0,1]\\begin{document}$\\alpha\\in[0,1]$\\end{document} that regulates the balance between the bottom-up and top-down pathways. In the Wake phase (α=0\\begin{document}$\\alpha=0$\\end{document}), the network processes real sensory stimuli drawn from the environment, and network activity is sampled based on the bottom-up inputs (corresponding to the approximate inference distribution). In the Sleep phase (α=1\\begin{document}$\\alpha=1$\\end{document}), the network internally samples neural activity from its generative model, which then produces generated activity in the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. We use this structure of the Wake-Sleep algorithm as a concrete model to express the oneirogen hypothesis. Specifically, we use changes to the value of α as a means of modeling a 5-HT2a agonist-induced shift to a more dream-like state, as we detail below.\nWithin the Wake-Sleep algorithm, neurons alternate between ‘Wake’ and ‘Sleep’ modes, where activity during each mode is dominated by the bottom-up and top-down pathways, respectively. We can determine the neural activity for a given intermediate layer l\\begin{document}$l$\\end{document} with the following equation:(1)r(l)=f(h(r),μ(r),α)+f(σb,σp,α)η,\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}= f\\left (h(\\mathbf{r}), \\mu(\\mathbf{r}), \\alpha \\right) + f(\\sigma_{b}, \\sigma_{p}, \\alpha) \\boldsymbol \\eta,$$\\end{document}\nwhere h(r)\\begin{document}$h(\\mathbf{r})$\\end{document} defines bottom-up input, μ(r)\\begin{document}$\\mu(\\mathbf{r})$\\end{document} defines top-down input, f(h,μ,α)\\begin{document}$f(h,\\mu,\\alpha)$\\end{document} is any interpolation function such that f(h,μ,0)=h\\begin{document}$f(h,\\mu,0)=h$\\end{document} and f(h,μ,1)=μ\\begin{document}$f(h,\\mu,1)=\\mu$\\end{document}, σb\\begin{document}$\\sigma_{b}$\\end{document} and σp\\begin{document}$\\sigma_{p}$\\end{document} define the bottom-up and top-down activity standard deviations, and η∼N(0,1)\\begin{document}$\\boldsymbol{\\eta}\\sim\\mathcal{N}(0,1)$\\end{document} adds random noise to the neural activity (see Methods for more detail). Here, for notational conciseness, we treat r\\begin{document}$\\mathbf{r}$\\end{document} as a concatenated vector of all r(l)\\begin{document}$\\mathbf{r}^{(l)}$\\end{document} vectors from each layer. This equation means that α controls whether bottom-up inputs or top-down inputs control the dynamics of individual neural units.\nThus, as α moves from a value of 0 to a value of 1, the activity of the neurons shifts from being driven by the bottom-up recognition pathway to being driven by the top-down generative pathway. How could this occur in the brain? Realistically, each neuron in the cortex would have its own α variable defining the relative influence of top-down and bottom-up inputs on its spiking activity; here, for simplicity, we will assign the entire network a single α value reflecting the ‘mean’ relative top-down/bottom-up influence averaged across neurons, as determined by the network state (Wake, Sleep, dose-dependent psychedelic administration). In the cortex, excitatory pyramidal neurons receive inputs from distinct sources: inputs that are from ‘higher order’ cortical areas target the apical dendrites, whereas inputs that are from ‘lower order’ cortical or sensory subcortical areas target the basal dendrites (Larkum, 2013). Thus, we can capture the core idea behind the oneirogen hypothesis using the Wake-Sleep algorithm, by postulating that the bottom-up basal synapses are predominantly driving neural activity during the Wake phase (when α is low), while top-down apical synapses are predominantly driving neural activity during the Sleep phase (when α is high; Figure 1) Aru et al., 2020; this is in agreement with several recent theoretical studies that have proposed that apical dendrites could serve as a site for integrating top-down learning signals (Körding and König, 2001; Urbanczik and Senn, 2014; Guerguiev et al., 2017; Sacramento et al., 2018; Richards and Lillicrap, 2019; Payeur et al., 2021), particularly those which propose that the top-down signal corresponds to a predictive or generative model of neural activity (Bredenberg et al., 2021; George et al., 2024). This proposed change in α does indeed appear to occur during both slow-wave (SW) (Seibt et al., 2017; Miyamoto et al., 2016) and rapid eye movement (REM) (Li et al., 2017; Zhou et al., 2020; Aime et al., 2022) sleep, where apical dendritic inputs have been observed to exert increased influence on neural activity that is critical for plasticity induction and consolidation of learned behaviors; during REM sleep, this increased influence has been shown to be mediated by potentiation of basal dendrite-targeting PV inhibitory interneurons (Aime et al., 2022).\nNext, we ask: can we model the effects of classical psychedelics in terms of changes in α? Notably, 5-HT2a receptors are expressed in the apical dendrites of pyramidal neurons (Jakab and Goldman-Rakic, 1998) and PV interneurons (de Almeida and Mengod, 2007) and have an excitatory effect that positively modulates glutamatergic transmission due to apical dendritic inputs (Aghajanian and Marek, 1997; Aghajanian and Marek, 1999); furthermore, classical psychedelic administration has been shown to have an inhibitory effect on glutamatergic transmission due to basal dendritic inputs (Arvanov et al., 1999). These data suggest that 5-HT2a agonists could have a push-pull effect on cortical pyramidal neurons, increasing the relative influence of apical dendrites and decreasing the relative influence of basal dendrites (Hidalgo Jiménez et al., 2025) in much the same way as has been observed during SW and REM sleep. Hence, we can model these effects by increasing the α value in a Wake-Sleep trained network, and then ask whether the networks exhibit other phenomena that match the known impact of classical psychedelics on neural activity. We note that with this mapping of the Wake-Sleep algorithm to models of basal and apical processing, synaptic modifications at both apical and basal synapses correspond to minimizing a local prediction error between top-down and bottom-up inputs (see Methods).\nTo see whether a transition from waking to a more dream-like state would induce hallucinatory effects in our model, we trained multilayer neural networks with branched dendritic arbors (see Methods) on the MNIST digits dataset (Deng, 2012) using the Wake-Sleep algorithm and subsequently simulated hallucinatory activity by varying α (see Methods; Equation 8). We could visualize the effects of our simulated psychedelic with snapshots of the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document} at a fixed point in time for various values of α (Figure 2; see also Video 1 and Video 2). As α increased, we observed that network activity gradually deformed away from the ground-truth stimulus in a highly structured way, adding strokes to the original digit that were not originally present. At the highest values of α tested, we found that network states were wholly divorced from the ground-truth stimulus but retained many characteristics of the MNIST digits on which the network was trained (e.g. smooth strokes and the rough form of digits). These results emphasize that hallucinations induced by a shift to a more dream-like state in these models are heavily influenced by the training dataset, which for an animal would correspond to the statistics of the sensory environment in which it learns its sensory representation. To emphasize this point, we further trained our networks on the CIFAR10 natural images dataset (Krizhevsky and Hinton, 2009; Figure 2c), to provide an example of a more naturalistic training dataset. In this case, our model was not powerful enough to reproduce realistic natural images—instead, we found that our modeled hallucinatory activity corresponded to ‘ripple’ effects, which are similar to the ‘breathing’ and ‘rippling’ phenomena reported by psychedelic drug users at low doses (Preller and Vollenweider, 2018).\nWe model the effects of classical psychedelics by progressively increasing α from 0 to 1 in our model, where α=1\\begin{document}$\\alpha=1$\\end{document} is equivalent to the Sleep phase. We visualize the effects of psychedelics on the network representation by inspecting the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. (a) Example stimulus-layer activity (rows) in response to an MNIST digit presentation as psychedelic dose increases (columns, left to right). (b) Same as (a) but for ‘eyes-closed’ conditions where an entirely black image is presented. (c–d) Same as (a–b), but for the CIFAR10 dataset.\nFigure 2—figure supplement 1.Visualizing the effects of psychedelics for alternative model architectures.We model the effects of classical psychedelics by progressively increasing α from 0 to 1 in alternative model architectures. We visualize the effects of psychedelics on the network representation by inspecting the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. (a) Example stimulus-layer activity (rows) in response to an MNIST digit presentation as psychedelic dose increases (columns, left to right) in the recurrent network model. (b) Same as (a) but for our single compartment neuron model. (c) Same as (a) using the multicompartment neuron model used for our main results, but for our noise-based hallucination protocol. (d) Same as (c), but in a network in which neither the generative nor inference pathways have been trained beyond initialization.\nWe model the effects of classical psychedelics by progressively increasing α from 0 to 1 in alternative model architectures. We visualize the effects of psychedelics on the network representation by inspecting the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. (a) Example stimulus-layer activity (rows) in response to an MNIST digit presentation as psychedelic dose increases (columns, left to right) in the recurrent network model. (b) Same as (a) but for our single compartment neuron model. (c) Same as (a) using the multicompartment neuron model used for our main results, but for our noise-based hallucination protocol. (d) Same as (c), but in a network in which neither the generative nor inference pathways have been trained beyond initialization.\nFigure 2—figure supplement 2.Example generated images for different model architectures and datasets.Generated images sampled from Equation 1 with α=1\\begin{document}$\\alpha=1$\\end{document} for: (a) Our primary multicompartment neuron model trained on MNIST, (b) A multicompartment neuron model trained on CIFAR10, (c) The recurrent network model, (d) The single compartment neuron model.\nGenerated images sampled from Equation 1 with α=1\\begin{document}$\\alpha=1$\\end{document} for: (a) Our primary multicompartment neuron model trained on MNIST, (b) A multicompartment neuron model trained on CIFAR10, (c) The recurrent network model, (d) The single compartment neuron model.\nThese simulations were produced with a complex, multicompartmental neuron model; however, we found similar results with two alternative network architectures, one with within-layer recurrence (Figure 2—figure supplement 1a) and one which used a simpler single compartment neuron model (Figure 2—figure supplement 1b). We found that our single compartment model produced qualitatively less realistic generated images than the multicompartment and recurrent models, justifying our use of the more complex models (Figure 2—figure supplement 2). To demonstrate the importance of a learned top-down pathway to produce complex, structured hallucinations in the earliest layers of our network, we generated model hallucinations from two control networks: an untrained model and a trained network where psychedelic activity was alternatively modeled by a simple increase in the variance of individual neurons (we will refer to this latter control as the noise-based hallucination protocol). We found that hallucinations under these control conditions resembled additive white noise, rather than structured digit-like shapes (Figure 2—figure supplement 1c–d).\nPsychedelic drug users also report observing the emergence of hallucinations while their eyes are closed (Preller and Vollenweider, 2018). Interestingly, we found that our model recapitulated these phenomena: as α increased, networks trained on MNIST gradually began revealing increasingly complex and digit-like patterns (Figure 2b), whereas CIFAR10-trained networks again predominantly produced ‘ripple’ hallucinations (Figure 2d).\nHaving recapitulated hallucinatory phenomena in stimulus space, we next explored how our proposed mechanism affected neural activity in our network model, in order to establish markers that could be used to experimentally validate or invalidate the oneirogen hypothesis. To start, we investigated the effects of learning and psychedelic drug administration on the activity of single neurons in the model. As noted previously, the learning algorithm used here trains synapses so that top-down inputs to apical dendritic compartments match bottom-up inputs to basal dendritic compartments. As a consequence, we observed that after training, inputs to apical and basal dendritic compartments were much more correlated on the same neuron than they were for random neurons (Figure 3a), which was not observed in untrained models (Figure 3—figure supplement 1a). This form of strongly correlated tuning has been observed in both cortex and the hippocampus (Beaulieu-Laroche et al., 2019; O’Hare et al., 2024).\n(a) Correlations between the apical and basal dendritic compartments of either the same network neuron or between randomly selected neurons. (b) Total plasticity for apical (left) and basal (right) synapses as α increases in the model when plasticity is either gated or not gated by α. Error bars indicate +/-1 s.e.m. (c) Cosine similarity between plasticity induced under psychedelic conditions compared to baseline for apical (left) and basal (right) synapses.\nFigure 3—figure supplement 1.Alignment between apical and basal dendritic compartments for different model architectures and datasets.Apical-basal alignment for: (a) An untrained multicompartment neuron model trained on MNIST, (b) A single compartment neuron model, (c) A recurrent network model, (d) A multicompartment neuron model trained on CIFAR10.\nApical-basal alignment for: (a) An untrained multicompartment neuron model trained on MNIST, (b) A single compartment neuron model, (c) A recurrent network model, (d) A multicompartment neuron model trained on CIFAR10.\nFigure 3—figure supplement 2.Hallucination-induced synaptic plasticity for different neuron models.(a) Basal (top) and apical (bottom) plasticity as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (a) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\n(a) Basal (top) and apical (bottom) plasticity as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (a) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nThere are many indicators that psychedelic drug administration in humans and animals can induce marked, long-lasting changes in behavior, as well as large increases in synaptic plasticity (Shao et al., 2021; Nardou et al., 2023; de la Fuente Revenga et al., 2021; Vargas et al., 2023; Grieco et al., 2022). In Wake-Sleep learning, apical synapses learn during the Wake phase, whereas basal synapses learn during the Sleep phase—thus, plasticity at apical synapses is gated by (1−α)\\begin{document}$(1-\\alpha)$\\end{document}, whereas plasticity at basal synapses is gated by α (see Methods). However, learning is still theoretically possible without this explicit gating, though it may be noisier and less efficient; furthermore, it is conceivable that classical psychedelics could increase the relative influence of apical inputs on the activity of a neuron without affecting this gating mechanism. As a consequence, we modeled the dose-dependent effects of psychedelics on plasticity both with and without gating (Figure 3b). Consistent with recent experimental results (Shao et al., 2021), for intermediate doses, we found large increases in plasticity at both apical and basal synapses under both conditions, where plasticity was measured as a mean change in normalized synaptic strength across weight parameters in our network (see Methods). In our model, we found that the total evoked plasticity peaked at roughly α=0.5\\begin{document}$\\alpha=0.5$\\end{document}; we further found that if gating was affected by psychedelics, apical plasticity would eventually be quenched at very high drug doses. We also found that plasticity induced by psychedelic drug administration gradually became unaligned from the weight updates that would have occurred in the absence of the drug (Figure 3c), indicating that these results were not simply due to modulation of the effective learning rate of the underlying plasticity. Rather, as has been suggested by other theoretical studies (Juliani et al., 2024), plasticity in the model likely increased because aberrant hallucinatory activity pulled the learning mechanism out of a local optimum in which plasticity was minimal, producing much more plasticity across the network. Importantly, we observed these increases in plasticity in all network architectures and training datasets we explored, including for our noise-based hallucination protocol (Figure 3—figure supplement 2), demonstrating that changes in apical dendritic influence within a Wake-Sleep learning framework are sufficient, but not necessary to induce increases in synaptic plasticity: for trained networks, it would seem that even simple increases in neural variability can have similar effects.\nHaving observed that increasing our modeled drug dosage caused heightened fluctuations and deviations from the ground-truth stimulus in the sensory layer of our network (Figure 2), we next investigated whether variability was affected at the level of individual neurons in higher layers of the model. Indeed, we found that for a fixed stimulus, neural variability increased markedly as the simulated psychedelic drug dose increased (Figure 4a). This result is consistent with the data supporting the Entropic Brain Theory (Carhart-Harris and Friston, 2019; Lebedev et al., 2016; Carhart-Harris et al., 2014; Siegel et al., 2024), in which neural activity in resting state fMRI recordings becomes increasingly ‘entropic’ (i.e. variable) under the influence of psychedelics; however, it is important to note that our noise-based hallucination protocol also produced these effects (Figure 4—figure supplement 1a). Though most experimental data supporting the Entropic Brain Theory is taken from recordings with relatively poor spatial resolution, averaging activity over large cortical areas, our model predicts that this increase in variability should be reflected at the level of individual neurons; this increase in variability after psychedelic administration has been recently observed in auditory cortical neurons for active mice (Horrocks et al., 2024), but whether this phenomenon is general across tasks and cortical areas remains to be seen. We further found that this increase in variability corresponded to a decrease in ability to identify the stimulus being presented to the network: we trained a classifier to identify which MNIST digit was presented to our networks on Wake neural activity (see Methods), and found that the accuracy of our classifier decreased (Figure 4b) while the output variability of the classifier increased (Figure 4c) in response to drug administration.\n(a) Stimulus-conditioned variability for neurons in the network as α increases, as compared to variability in neural activity across stimuli (rightmost bar). Error bars indicate +/-1 s.e.m. (b) Proportion correct for a classifier trained to detect the label of presented MNIST digits as α increases. (c) Variability in the logit outputs of the trained classifier as α increases.\nFigure 4—figure supplement 1.Neural variability changes for different neuron models.(a) Stimulus-conditioned variability (top), classifier accuracy (middle), and classifier output variability (bottom) as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (b) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\n(a) Stimulus-conditioned variability (top), classifier accuracy (middle), and classifier output variability (bottom) as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (b) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nWithin our model, this increase in variability is quite sensible: in the ordinary Wake state, neural activity is constrained to correspond to the singular sensory stimulus being presented, whereas during Sleep states, neural activity is completely unconstrained by any particular sensory stimulus, reflecting instead the full distribution of possible sensory stimuli. As increasing α in our model interpolates between Wake and Sleep states, we can expect intermediate values of α to produce network states which are less constrained by the particular sensory stimulus being presented, reflected in increased neural variability.\nWe next investigated the effects of psychedelics on network-level and inter-areal dynamics within our model. We first identified an important negative result: the pairwise correlation structure between neurons was largely preserved across psychedelic doses (Figure 5a–b), as was the effective dimensionality of population activity (Figure 5c). This was sensible, because a network that has been well-trained with the Wake-Sleep algorithm will have the same marginal distribution of network states in the Wake mode as in the Sleep mode—thus, pairwise correlations between neurons should also not differ (as measures of the second order moments of the marginal distribution). We found empirically that even for intermediate values of α in which activity is a mixture of Wake and Sleep modes, these correlations are largely unchanged; in contrast, we observed large changes in correlation structure for untrained networks and increases in effective dimensionality for both untrained networks and for our simple noise-based hallucination protocol, suggesting that these results are more specific to our trained models in which hallucinations are caused by an increase in apical dendritic influence (Figure 5—figure supplement 1a–b). Interestingly, these results are consistent with a recent study that has shown only minimal functional connectivity and effective dimensionality changes in task-engaged humans being presented with audiovisual stimuli under the influence of psilocybin (Siegel et al., 2024).\n(a) Pairwise correlation matrices computed for neurons in layer 2 across stimuli for α=0\\begin{document}$\\alpha=0$\\end{document} (left), α=0.5\\begin{document}$\\alpha=0.5$\\end{document} (center), and α=1.0\\begin{document}$\\alpha=1.0$\\end{document} (right). (b) Correlation similarity metric between the pairwise correlation matrices of the network in the absence of hallucination (α=0\\begin{document}$\\alpha=0$\\end{document}) as compared to hallucinating network states (α>0\\begin{document}$\\alpha > 0$\\end{document}). (c) Proportion of explained variability as a function of principal component (PC) number for α∈{0,0.5,1}\\begin{document}$\\alpha\\in\\{0,0.5,1\\}$\\end{document}. (d) Ratio of across-stimulus variance in individual stimulus layer neurons when the apical dendrites have been inactivated, versus baseline conditions across different α values. (e) Ratio of across-stimulus variance in individual neurons in the stimulus layer when neurons at the deepest network layer have been inactivated, versus baseline conditions across different α values. Error bars indicate +/-1 s.e.m.\nFigure 5—figure supplement 1.Network-level effects of psychedelics for different network architectures and training datasets.For each network architecture, we examine: correlation similarity as a function of α (top row), the proportion explained variance across stimuli as a function of principal component number (second row), the ratio of across-stimulus variance in stimulus layer neurons when apical dendrites have been inactivated compared to baseline conditions across different α values (third row), and the ratio of across-stimulus variance in stimulus layer neurons when the deepest network layer has been inactivated across different α values (fourth row). (a) Results for an untrained multicompartment neuron. (b) Results for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol. (c) Results for a single compartment neuron model. (d) Results for a recurrent network model. (e) Results for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nFor each network architecture, we examine: correlation similarity as a function of α (top row), the proportion explained variance across stimuli as a function of principal component number (second row), the ratio of across-stimulus variance in stimulus layer neurons when apical dendrites have been inactivated compared to baseline conditions across different α values (third row), and the ratio of across-stimulus variance in stimulus layer neurons when the deepest network layer has been inactivated across different α values (fourth row). (a) Results for an untrained multicompartment neuron. (b) Results for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol. (c) Results for a single compartment neuron model. (d) Results for a recurrent network model. (e) Results for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nHowever, though the pairwise correlations between single neurons are largely preserved, the causal influence between lower and higher layers of our model network changes considerably both during hallucination and Sleep modes. Because psychedelic drug administration increases the influence of apical dendritic inputs on neural activity in our model, we found that silencing apical dendritic activity reduced across-stimulus neural variability more as the psychedelic drug dose increases (Figure 5d). Furthermore, we found that as α increased, inactivating the deepest network layer induced a large reduction in variability in the stimulus layer relative to baseline (Figure 5e), revealing that within our model, increases in top-down influence are responsible for much of the observed stimulus-conditioned variability at larger drug doses. These inactivations had no impact on neural variability in our noise-based hallucination protocol, but were observed for all network architectures and datasets that we tested in which hallucinations were caused by an increase in apical dendritic influence (Figure 5—figure supplement 1), suggesting that these results are quite specific to our model. Furthermore, these inactivations have not yet been performed in animals and consequently constitute a critical testable prediction of our model.\nWhile our trained model is capable of capturing several effects of classical psychedelics, it also has a clear limitation: our top-down generative model does not have sufficient expressive power to induce complex hallucinations of naturalistic stimuli, producing instead ‘ripples,’ or ‘breathing’ effects that preserve lower-order statistical features of the input data (Figure 5b). While psychedelic drug users do report these phenomena, they also report observing much more complex hallucinations, including people, animals, and scenes (Shanon, 2002; Diaz, 2010).\nGenerative models trained through backpropagation have been much more successful in producing more complex generated sensory stimuli (Kingma and Welling, 2013; Rezende et al., 2014; Goodfellow et al., 2020), and furthermore, hierarchical variational autoencoder models have a nearly identical top-down/bottom-up model architecture as our Wake-Sleep-trained networks (Sønderby et al., 2016; Vahdat and Kautz, 2020). Therefore, to see whether our proposed mechanism would induce complex, structured hallucinations in more powerful models, we induced hallucinations in Very Deep Variational Autoencoder (VDVAE) models (Child, 2020) that were pretrained through backpropagation on a large natural images dataset, Tiny ImageNet (Wu et al., 2017), and a large corpus of human faces, FFHQ-256 (Karras et al., 2019). These models have a few key differences compared to our Wake-Sleep-trained models: (1) they are trained through backpropagation, which is well-known to be biologically implausible (Lillicrap et al., 2020); (2) they exploit parameter sharing across spatial positions in convolutional layers for increased data efficiency during training, at the expense of further biological realism (Pogodin et al., 2021); (3) the ‘Wake’ stage inference process of these models incorporates inputs from both bottom-up and top-down sources, which both improves performance (Sønderby et al., 2016) and is more biologically realistic (Csikor et al., 2022; Larkum, 2013); (4) the models are trained on more complex, higher-resolution datasets. Finally, to induce more ‘abstract’ hallucinations, we increased the α parameter in these models selectively for higher layers of the network, whereas for the Wake-Sleep-trained models, we increased α evenly across layers (see Methods). Combined, these differences make for an effective model of high-level hallucination effects, at the expense of some biological realism.\nWe found that hallucinations generated by these pretrained models were much richer and more complex: increasing α in the Tiny ImageNet VDVAE caused the emergence of textural patterns and geometric shapes, while the FFHQ-256 VDVAE caused increasingly bizarre changes in facial features (Figure 6). Both models were also capable of reproducing closed-eyes hallucinations (Figure 6—figure supplement 1), where the content of these hallucinations was shaped by their respective training datasets.\nDecoded outputs of a pretrained VDVAE model trained on Tiny ImageNet (Top) and FFHQ-256 (Bottom) based on hallucinations generated in the top 35 layers of the model. Image samples vary along rows, and hallucination intensity, parameterized by α, increases along columns.\nFigure 6—figure supplement 1.Visualizing the eyes-closed effects of psychedelics in pretrained Very Deep Variational Autoencoder (VDVAE) models.Decoded outputs of a pretrained VDVAE model trained on Tiny ImageNet (Top) and FFHQ-256 (Bottom) based on hallucinations generated in the top 35 layers of the model. Black input images were used for samples in all rows. Hallucination intensity, parameterized by α, increases along columns.\nDecoded outputs of a pretrained VDVAE model trained on Tiny ImageNet (Top) and FFHQ-256 (Bottom) based on hallucinations generated in the top 35 layers of the model. Black input images were used for samples in all rows. Hallucination intensity, parameterized by α, increases along columns.\nFigure 6—figure supplement 2.Analyzing the image- and network-level effects of psychedelics in a Tiny ImageNet-pretrained Very Deep Variational Autoencoder (VDVAE) model.(a) Laplacian pyramid features for a grayscale example input image from the Tiny ImageNet dataset (top left). Pyramid levels increase along columns, corresponding to decreasing resolution, and hallucination intensity increases along rows. (b) Correlation similarity across pyramid levels between the base image and a hallucinated image across different α values, averaged over 100 image samples. (c) Stimulus-conditioned variance of units in layer 30 (descending from the top of the network) across different α values, averaged over 100 sample images and 32 distinct trials. (d) Correlation similarity calculated between correlation matrices for units in layer 30 across different α values, averaged over spatial positions and 100 sample images. (e) Ratio of across-stimulus variance in individual units of layer 30 when the highest 20 layers of the network have been inactivated, versus baseline conditions across different α values. Error bars indicate +/-1 s.e.m.\n(a) Laplacian pyramid features for a grayscale example input image from the Tiny ImageNet dataset (top left). Pyramid levels increase along columns, corresponding to decreasing resolution, and hallucination intensity increases along rows. (b) Correlation similarity across pyramid levels between the base image and a hallucinated image across different α values, averaged over 100 image samples. (c) Stimulus-conditioned variance of units in layer 30 (descending from the top of the network) across different α values, averaged over 100 sample images and 32 distinct trials. (d) Correlation similarity calculated between correlation matrices for units in layer 30 across different α values, averaged over spatial positions and 100 sample images. (e) Ratio of across-stimulus variance in individual units of layer 30 when the highest 20 layers of the network have been inactivated, versus baseline conditions across different α values. Error bars indicate +/-1 s.e.m.\nTo investigate the nature of hallucinations generated by the Tiny ImageNet VDVAE, we examined the Laplacian pyramid of decoded hallucination images at varying α values (Figure 6—figure supplement 2a). Essentially, a Laplacian pyramid decomposes an image into levels of decreasing resolution features, with each level encoding the residual produced by downsampling to the next-lowest resolution (level 0 corresponds to the base 64×64 pixel image, while level 5 corresponds to a 4×4 reduced-resolution set of features). We found that low-level pyramid features varied considerably at low α levels, while high-level pyramid features did not begin to vary until higher α doses (Figure 6—figure supplement 2b). This suggests that hallucinations within our model obey a fine-to-coarse structure, where low-dose hallucinations are confined to high-frequency, spatially localized changes, and progressively increasing doses begin to cause variations in more global image features.\nLastly, we were able to replicate our previous network-level results on the Tiny ImageNet VDVAE. We found that increasing psychedelic dose α caused an increase in stimulus-conditioned variance within the model (Figure 6—figure supplement 2c), and that across-stimulus correlation structure between network units was largely preserved across doses (Figure 6—figure supplement 2d). Furthermore, we found that the ratio of before- and after-inactivation across-stimulus variance decreased as the psychedelic dose α increased (though somewhat paradoxically, inactivation caused an increase in variance for α=0\\begin{document}$\\alpha=0$\\end{document}, likely due to the influence of top-down inputs during inference for this model). Combined, these results show that key testable predictions from our Wake-Sleep-trained model are preserved in the VDVAE, while this latter model is capable of producing some of the more complex hallucinations characteristic of psychedelic experience.\n\n\n### Mapping the Wake-Sleep algorithm onto cortical architecture\nThe Wake-Sleep algorithm allows ANNs to optimize a global, unsupervised objective function for sensory representation learning—the Evidence Lower Bound (ELBO)—through local synaptic modifications to a bottom-up recognition pathway and a top-down generative pathway. As a precursor to the variational autoencoder (Rezende et al., 2014; Kingma and Welling, 2013), the Wake-Sleep algorithm provides a mechanism for learning a probabilistic latent representation r\\begin{document}$\\mathbf{r}$\\end{document} responding to incoming sensory stimuli s\\begin{document}$\\mathbf{s}$\\end{document}, which obeys representational characteristics that are ideal for a neural system (e.g. sparsity and metabolic efficiency Simoncelli, 2003, compression and coding efficiency Simoncelli and Olshausen, 2001; Ballé et al., 2016, or disentanglement DiCarlo et al., 2012; Higgins et al., 2017). To do this, Wake-Sleep optimizes the ELBO through an approximation of the Expectation Maximization (EM) algorithm (Ikeda et al., 1998) to train the two pathways (Figure 1a). (For readers who are unfamiliar with the Wake-Sleep algorithm, a tutorial can be found here Kirby, 2006).\nLeft: Network architecture. We model early sensory processing in the cortex with a multilayer network, r\\begin{document}$\\mathbf{r}$\\end{document}, receiving stimuli s\\begin{document}$\\mathbf{s}$\\end{document}. Center: individual pyramidal neurons receive top-down inputs (red) at the apical dendritic compartment, and bottom-up inputs at the basal dendritic compartment (blue). 5-HT2a receptors are expressed on the apical dendritic shaft (red bar), and on parvalbumin (PV) interneurons (red triangle); both sites may play a role in gating basal input. Right: Over the course of Wake-Sleep training, basal inputs dominate activity during the Wake phase (α=0\\begin{document}$\\alpha=0$\\end{document}) and are used to train apical synapses, whereas apical inputs dominate activity during the Sleep phase (α=1\\begin{document}$\\alpha=1$\\end{document}) and are used to train basal synapses.\nNotably, the Wake-Sleep algorithm requires two phases of activity (i.e. ‘Wake’ and ‘Sleep’), where the network phase is controlled by a global state variable α∈[0,1]\\begin{document}$\\alpha\\in[0,1]$\\end{document} that regulates the balance between the bottom-up and top-down pathways. In the Wake phase (α=0\\begin{document}$\\alpha=0$\\end{document}), the network processes real sensory stimuli drawn from the environment, and network activity is sampled based on the bottom-up inputs (corresponding to the approximate inference distribution). In the Sleep phase (α=1\\begin{document}$\\alpha=1$\\end{document}), the network internally samples neural activity from its generative model, which then produces generated activity in the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. We use this structure of the Wake-Sleep algorithm as a concrete model to express the oneirogen hypothesis. Specifically, we use changes to the value of α as a means of modeling a 5-HT2a agonist-induced shift to a more dream-like state, as we detail below.\nWithin the Wake-Sleep algorithm, neurons alternate between ‘Wake’ and ‘Sleep’ modes, where activity during each mode is dominated by the bottom-up and top-down pathways, respectively. We can determine the neural activity for a given intermediate layer l\\begin{document}$l$\\end{document} with the following equation:(1)r(l)=f(h(r),μ(r),α)+f(σb,σp,α)η,\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}= f\\left (h(\\mathbf{r}), \\mu(\\mathbf{r}), \\alpha \\right) + f(\\sigma_{b}, \\sigma_{p}, \\alpha) \\boldsymbol \\eta,$$\\end{document}\nwhere h(r)\\begin{document}$h(\\mathbf{r})$\\end{document} defines bottom-up input, μ(r)\\begin{document}$\\mu(\\mathbf{r})$\\end{document} defines top-down input, f(h,μ,α)\\begin{document}$f(h,\\mu,\\alpha)$\\end{document} is any interpolation function such that f(h,μ,0)=h\\begin{document}$f(h,\\mu,0)=h$\\end{document} and f(h,μ,1)=μ\\begin{document}$f(h,\\mu,1)=\\mu$\\end{document}, σb\\begin{document}$\\sigma_{b}$\\end{document} and σp\\begin{document}$\\sigma_{p}$\\end{document} define the bottom-up and top-down activity standard deviations, and η∼N(0,1)\\begin{document}$\\boldsymbol{\\eta}\\sim\\mathcal{N}(0,1)$\\end{document} adds random noise to the neural activity (see Methods for more detail). Here, for notational conciseness, we treat r\\begin{document}$\\mathbf{r}$\\end{document} as a concatenated vector of all r(l)\\begin{document}$\\mathbf{r}^{(l)}$\\end{document} vectors from each layer. This equation means that α controls whether bottom-up inputs or top-down inputs control the dynamics of individual neural units.\nThus, as α moves from a value of 0 to a value of 1, the activity of the neurons shifts from being driven by the bottom-up recognition pathway to being driven by the top-down generative pathway. How could this occur in the brain? Realistically, each neuron in the cortex would have its own α variable defining the relative influence of top-down and bottom-up inputs on its spiking activity; here, for simplicity, we will assign the entire network a single α value reflecting the ‘mean’ relative top-down/bottom-up influence averaged across neurons, as determined by the network state (Wake, Sleep, dose-dependent psychedelic administration). In the cortex, excitatory pyramidal neurons receive inputs from distinct sources: inputs that are from ‘higher order’ cortical areas target the apical dendrites, whereas inputs that are from ‘lower order’ cortical or sensory subcortical areas target the basal dendrites (Larkum, 2013). Thus, we can capture the core idea behind the oneirogen hypothesis using the Wake-Sleep algorithm, by postulating that the bottom-up basal synapses are predominantly driving neural activity during the Wake phase (when α is low), while top-down apical synapses are predominantly driving neural activity during the Sleep phase (when α is high; Figure 1) Aru et al., 2020; this is in agreement with several recent theoretical studies that have proposed that apical dendrites could serve as a site for integrating top-down learning signals (Körding and König, 2001; Urbanczik and Senn, 2014; Guerguiev et al., 2017; Sacramento et al., 2018; Richards and Lillicrap, 2019; Payeur et al., 2021), particularly those which propose that the top-down signal corresponds to a predictive or generative model of neural activity (Bredenberg et al., 2021; George et al., 2024). This proposed change in α does indeed appear to occur during both slow-wave (SW) (Seibt et al., 2017; Miyamoto et al., 2016) and rapid eye movement (REM) (Li et al., 2017; Zhou et al., 2020; Aime et al., 2022) sleep, where apical dendritic inputs have been observed to exert increased influence on neural activity that is critical for plasticity induction and consolidation of learned behaviors; during REM sleep, this increased influence has been shown to be mediated by potentiation of basal dendrite-targeting PV inhibitory interneurons (Aime et al., 2022).\nNext, we ask: can we model the effects of classical psychedelics in terms of changes in α? Notably, 5-HT2a receptors are expressed in the apical dendrites of pyramidal neurons (Jakab and Goldman-Rakic, 1998) and PV interneurons (de Almeida and Mengod, 2007) and have an excitatory effect that positively modulates glutamatergic transmission due to apical dendritic inputs (Aghajanian and Marek, 1997; Aghajanian and Marek, 1999); furthermore, classical psychedelic administration has been shown to have an inhibitory effect on glutamatergic transmission due to basal dendritic inputs (Arvanov et al., 1999). These data suggest that 5-HT2a agonists could have a push-pull effect on cortical pyramidal neurons, increasing the relative influence of apical dendrites and decreasing the relative influence of basal dendrites (Hidalgo Jiménez et al., 2025) in much the same way as has been observed during SW and REM sleep. Hence, we can model these effects by increasing the α value in a Wake-Sleep trained network, and then ask whether the networks exhibit other phenomena that match the known impact of classical psychedelics on neural activity. We note that with this mapping of the Wake-Sleep algorithm to models of basal and apical processing, synaptic modifications at both apical and basal synapses correspond to minimizing a local prediction error between top-down and bottom-up inputs (see Methods).\n\n\n### Modeling hallucinations\nTo see whether a transition from waking to a more dream-like state would induce hallucinatory effects in our model, we trained multilayer neural networks with branched dendritic arbors (see Methods) on the MNIST digits dataset (Deng, 2012) using the Wake-Sleep algorithm and subsequently simulated hallucinatory activity by varying α (see Methods; Equation 8). We could visualize the effects of our simulated psychedelic with snapshots of the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document} at a fixed point in time for various values of α (Figure 2; see also Video 1 and Video 2). As α increased, we observed that network activity gradually deformed away from the ground-truth stimulus in a highly structured way, adding strokes to the original digit that were not originally present. At the highest values of α tested, we found that network states were wholly divorced from the ground-truth stimulus but retained many characteristics of the MNIST digits on which the network was trained (e.g. smooth strokes and the rough form of digits). These results emphasize that hallucinations induced by a shift to a more dream-like state in these models are heavily influenced by the training dataset, which for an animal would correspond to the statistics of the sensory environment in which it learns its sensory representation. To emphasize this point, we further trained our networks on the CIFAR10 natural images dataset (Krizhevsky and Hinton, 2009; Figure 2c), to provide an example of a more naturalistic training dataset. In this case, our model was not powerful enough to reproduce realistic natural images—instead, we found that our modeled hallucinatory activity corresponded to ‘ripple’ effects, which are similar to the ‘breathing’ and ‘rippling’ phenomena reported by psychedelic drug users at low doses (Preller and Vollenweider, 2018).\nWe model the effects of classical psychedelics by progressively increasing α from 0 to 1 in our model, where α=1\\begin{document}$\\alpha=1$\\end{document} is equivalent to the Sleep phase. We visualize the effects of psychedelics on the network representation by inspecting the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. (a) Example stimulus-layer activity (rows) in response to an MNIST digit presentation as psychedelic dose increases (columns, left to right). (b) Same as (a) but for ‘eyes-closed’ conditions where an entirely black image is presented. (c–d) Same as (a–b), but for the CIFAR10 dataset.\nFigure 2—figure supplement 1.Visualizing the effects of psychedelics for alternative model architectures.We model the effects of classical psychedelics by progressively increasing α from 0 to 1 in alternative model architectures. We visualize the effects of psychedelics on the network representation by inspecting the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. (a) Example stimulus-layer activity (rows) in response to an MNIST digit presentation as psychedelic dose increases (columns, left to right) in the recurrent network model. (b) Same as (a) but for our single compartment neuron model. (c) Same as (a) using the multicompartment neuron model used for our main results, but for our noise-based hallucination protocol. (d) Same as (c), but in a network in which neither the generative nor inference pathways have been trained beyond initialization.\nWe model the effects of classical psychedelics by progressively increasing α from 0 to 1 in alternative model architectures. We visualize the effects of psychedelics on the network representation by inspecting the stimulus layer s\\begin{document}$\\mathbf{s}$\\end{document}. (a) Example stimulus-layer activity (rows) in response to an MNIST digit presentation as psychedelic dose increases (columns, left to right) in the recurrent network model. (b) Same as (a) but for our single compartment neuron model. (c) Same as (a) using the multicompartment neuron model used for our main results, but for our noise-based hallucination protocol. (d) Same as (c), but in a network in which neither the generative nor inference pathways have been trained beyond initialization.\nFigure 2—figure supplement 2.Example generated images for different model architectures and datasets.Generated images sampled from Equation 1 with α=1\\begin{document}$\\alpha=1$\\end{document} for: (a) Our primary multicompartment neuron model trained on MNIST, (b) A multicompartment neuron model trained on CIFAR10, (c) The recurrent network model, (d) The single compartment neuron model.\nGenerated images sampled from Equation 1 with α=1\\begin{document}$\\alpha=1$\\end{document} for: (a) Our primary multicompartment neuron model trained on MNIST, (b) A multicompartment neuron model trained on CIFAR10, (c) The recurrent network model, (d) The single compartment neuron model.\nThese simulations were produced with a complex, multicompartmental neuron model; however, we found similar results with two alternative network architectures, one with within-layer recurrence (Figure 2—figure supplement 1a) and one which used a simpler single compartment neuron model (Figure 2—figure supplement 1b). We found that our single compartment model produced qualitatively less realistic generated images than the multicompartment and recurrent models, justifying our use of the more complex models (Figure 2—figure supplement 2). To demonstrate the importance of a learned top-down pathway to produce complex, structured hallucinations in the earliest layers of our network, we generated model hallucinations from two control networks: an untrained model and a trained network where psychedelic activity was alternatively modeled by a simple increase in the variance of individual neurons (we will refer to this latter control as the noise-based hallucination protocol). We found that hallucinations under these control conditions resembled additive white noise, rather than structured digit-like shapes (Figure 2—figure supplement 1c–d).\nPsychedelic drug users also report observing the emergence of hallucinations while their eyes are closed (Preller and Vollenweider, 2018). Interestingly, we found that our model recapitulated these phenomena: as α increased, networks trained on MNIST gradually began revealing increasingly complex and digit-like patterns (Figure 2b), whereas CIFAR10-trained networks again predominantly produced ‘ripple’ hallucinations (Figure 2d).\n\n\n### Effects of psychedelics on single neurons\nHaving recapitulated hallucinatory phenomena in stimulus space, we next explored how our proposed mechanism affected neural activity in our network model, in order to establish markers that could be used to experimentally validate or invalidate the oneirogen hypothesis. To start, we investigated the effects of learning and psychedelic drug administration on the activity of single neurons in the model. As noted previously, the learning algorithm used here trains synapses so that top-down inputs to apical dendritic compartments match bottom-up inputs to basal dendritic compartments. As a consequence, we observed that after training, inputs to apical and basal dendritic compartments were much more correlated on the same neuron than they were for random neurons (Figure 3a), which was not observed in untrained models (Figure 3—figure supplement 1a). This form of strongly correlated tuning has been observed in both cortex and the hippocampus (Beaulieu-Laroche et al., 2019; O’Hare et al., 2024).\n(a) Correlations between the apical and basal dendritic compartments of either the same network neuron or between randomly selected neurons. (b) Total plasticity for apical (left) and basal (right) synapses as α increases in the model when plasticity is either gated or not gated by α. Error bars indicate +/-1 s.e.m. (c) Cosine similarity between plasticity induced under psychedelic conditions compared to baseline for apical (left) and basal (right) synapses.\nFigure 3—figure supplement 1.Alignment between apical and basal dendritic compartments for different model architectures and datasets.Apical-basal alignment for: (a) An untrained multicompartment neuron model trained on MNIST, (b) A single compartment neuron model, (c) A recurrent network model, (d) A multicompartment neuron model trained on CIFAR10.\nApical-basal alignment for: (a) An untrained multicompartment neuron model trained on MNIST, (b) A single compartment neuron model, (c) A recurrent network model, (d) A multicompartment neuron model trained on CIFAR10.\nFigure 3—figure supplement 2.Hallucination-induced synaptic plasticity for different neuron models.(a) Basal (top) and apical (bottom) plasticity as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (a) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\n(a) Basal (top) and apical (bottom) plasticity as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (a) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nThere are many indicators that psychedelic drug administration in humans and animals can induce marked, long-lasting changes in behavior, as well as large increases in synaptic plasticity (Shao et al., 2021; Nardou et al., 2023; de la Fuente Revenga et al., 2021; Vargas et al., 2023; Grieco et al., 2022). In Wake-Sleep learning, apical synapses learn during the Wake phase, whereas basal synapses learn during the Sleep phase—thus, plasticity at apical synapses is gated by (1−α)\\begin{document}$(1-\\alpha)$\\end{document}, whereas plasticity at basal synapses is gated by α (see Methods). However, learning is still theoretically possible without this explicit gating, though it may be noisier and less efficient; furthermore, it is conceivable that classical psychedelics could increase the relative influence of apical inputs on the activity of a neuron without affecting this gating mechanism. As a consequence, we modeled the dose-dependent effects of psychedelics on plasticity both with and without gating (Figure 3b). Consistent with recent experimental results (Shao et al., 2021), for intermediate doses, we found large increases in plasticity at both apical and basal synapses under both conditions, where plasticity was measured as a mean change in normalized synaptic strength across weight parameters in our network (see Methods). In our model, we found that the total evoked plasticity peaked at roughly α=0.5\\begin{document}$\\alpha=0.5$\\end{document}; we further found that if gating was affected by psychedelics, apical plasticity would eventually be quenched at very high drug doses. We also found that plasticity induced by psychedelic drug administration gradually became unaligned from the weight updates that would have occurred in the absence of the drug (Figure 3c), indicating that these results were not simply due to modulation of the effective learning rate of the underlying plasticity. Rather, as has been suggested by other theoretical studies (Juliani et al., 2024), plasticity in the model likely increased because aberrant hallucinatory activity pulled the learning mechanism out of a local optimum in which plasticity was minimal, producing much more plasticity across the network. Importantly, we observed these increases in plasticity in all network architectures and training datasets we explored, including for our noise-based hallucination protocol (Figure 3—figure supplement 2), demonstrating that changes in apical dendritic influence within a Wake-Sleep learning framework are sufficient, but not necessary to induce increases in synaptic plasticity: for trained networks, it would seem that even simple increases in neural variability can have similar effects.\n\n\n### Effects of psychedelics on neural variability\nHaving observed that increasing our modeled drug dosage caused heightened fluctuations and deviations from the ground-truth stimulus in the sensory layer of our network (Figure 2), we next investigated whether variability was affected at the level of individual neurons in higher layers of the model. Indeed, we found that for a fixed stimulus, neural variability increased markedly as the simulated psychedelic drug dose increased (Figure 4a). This result is consistent with the data supporting the Entropic Brain Theory (Carhart-Harris and Friston, 2019; Lebedev et al., 2016; Carhart-Harris et al., 2014; Siegel et al., 2024), in which neural activity in resting state fMRI recordings becomes increasingly ‘entropic’ (i.e. variable) under the influence of psychedelics; however, it is important to note that our noise-based hallucination protocol also produced these effects (Figure 4—figure supplement 1a). Though most experimental data supporting the Entropic Brain Theory is taken from recordings with relatively poor spatial resolution, averaging activity over large cortical areas, our model predicts that this increase in variability should be reflected at the level of individual neurons; this increase in variability after psychedelic administration has been recently observed in auditory cortical neurons for active mice (Horrocks et al., 2024), but whether this phenomenon is general across tasks and cortical areas remains to be seen. We further found that this increase in variability corresponded to a decrease in ability to identify the stimulus being presented to the network: we trained a classifier to identify which MNIST digit was presented to our networks on Wake neural activity (see Methods), and found that the accuracy of our classifier decreased (Figure 4b) while the output variability of the classifier increased (Figure 4c) in response to drug administration.\n(a) Stimulus-conditioned variability for neurons in the network as α increases, as compared to variability in neural activity across stimuli (rightmost bar). Error bars indicate +/-1 s.e.m. (b) Proportion correct for a classifier trained to detect the label of presented MNIST digits as α increases. (c) Variability in the logit outputs of the trained classifier as α increases.\nFigure 4—figure supplement 1.Neural variability changes for different neuron models.(a) Stimulus-conditioned variability (top), classifier accuracy (middle), and classifier output variability (bottom) as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (b) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\n(a) Stimulus-conditioned variability (top), classifier accuracy (middle), and classifier output variability (bottom) as a function of α for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol as a control. (b) Same as (b) for a single compartment neuron model, using our primary hallucination protocol. (c) Same as (b) for a recurrent network model, (d) Same as (b) for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nWithin our model, this increase in variability is quite sensible: in the ordinary Wake state, neural activity is constrained to correspond to the singular sensory stimulus being presented, whereas during Sleep states, neural activity is completely unconstrained by any particular sensory stimulus, reflecting instead the full distribution of possible sensory stimuli. As increasing α in our model interpolates between Wake and Sleep states, we can expect intermediate values of α to produce network states which are less constrained by the particular sensory stimulus being presented, reflected in increased neural variability.\n\n\n### Network-level effects of psychedelics\nWe next investigated the effects of psychedelics on network-level and inter-areal dynamics within our model. We first identified an important negative result: the pairwise correlation structure between neurons was largely preserved across psychedelic doses (Figure 5a–b), as was the effective dimensionality of population activity (Figure 5c). This was sensible, because a network that has been well-trained with the Wake-Sleep algorithm will have the same marginal distribution of network states in the Wake mode as in the Sleep mode—thus, pairwise correlations between neurons should also not differ (as measures of the second order moments of the marginal distribution). We found empirically that even for intermediate values of α in which activity is a mixture of Wake and Sleep modes, these correlations are largely unchanged; in contrast, we observed large changes in correlation structure for untrained networks and increases in effective dimensionality for both untrained networks and for our simple noise-based hallucination protocol, suggesting that these results are more specific to our trained models in which hallucinations are caused by an increase in apical dendritic influence (Figure 5—figure supplement 1a–b). Interestingly, these results are consistent with a recent study that has shown only minimal functional connectivity and effective dimensionality changes in task-engaged humans being presented with audiovisual stimuli under the influence of psilocybin (Siegel et al., 2024).\n(a) Pairwise correlation matrices computed for neurons in layer 2 across stimuli for α=0\\begin{document}$\\alpha=0$\\end{document} (left), α=0.5\\begin{document}$\\alpha=0.5$\\end{document} (center), and α=1.0\\begin{document}$\\alpha=1.0$\\end{document} (right). (b) Correlation similarity metric between the pairwise correlation matrices of the network in the absence of hallucination (α=0\\begin{document}$\\alpha=0$\\end{document}) as compared to hallucinating network states (α>0\\begin{document}$\\alpha > 0$\\end{document}). (c) Proportion of explained variability as a function of principal component (PC) number for α∈{0,0.5,1}\\begin{document}$\\alpha\\in\\{0,0.5,1\\}$\\end{document}. (d) Ratio of across-stimulus variance in individual stimulus layer neurons when the apical dendrites have been inactivated, versus baseline conditions across different α values. (e) Ratio of across-stimulus variance in individual neurons in the stimulus layer when neurons at the deepest network layer have been inactivated, versus baseline conditions across different α values. Error bars indicate +/-1 s.e.m.\nFigure 5—figure supplement 1.Network-level effects of psychedelics for different network architectures and training datasets.For each network architecture, we examine: correlation similarity as a function of α (top row), the proportion explained variance across stimuli as a function of principal component number (second row), the ratio of across-stimulus variance in stimulus layer neurons when apical dendrites have been inactivated compared to baseline conditions across different α values (third row), and the ratio of across-stimulus variance in stimulus layer neurons when the deepest network layer has been inactivated across different α values (fourth row). (a) Results for an untrained multicompartment neuron. (b) Results for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol. (c) Results for a single compartment neuron model. (d) Results for a recurrent network model. (e) Results for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nFor each network architecture, we examine: correlation similarity as a function of α (top row), the proportion explained variance across stimuli as a function of principal component number (second row), the ratio of across-stimulus variance in stimulus layer neurons when apical dendrites have been inactivated compared to baseline conditions across different α values (third row), and the ratio of across-stimulus variance in stimulus layer neurons when the deepest network layer has been inactivated across different α values (fourth row). (a) Results for an untrained multicompartment neuron. (b) Results for a multicompartment neuron model trained on MNIST, using our noise-based hallucination protocol. (c) Results for a single compartment neuron model. (d) Results for a recurrent network model. (e) Results for a multicompartment neuron model trained on CIFAR10. Error bars indicate +/-1 s.e.m.\nHowever, though the pairwise correlations between single neurons are largely preserved, the causal influence between lower and higher layers of our model network changes considerably both during hallucination and Sleep modes. Because psychedelic drug administration increases the influence of apical dendritic inputs on neural activity in our model, we found that silencing apical dendritic activity reduced across-stimulus neural variability more as the psychedelic drug dose increases (Figure 5d). Furthermore, we found that as α increased, inactivating the deepest network layer induced a large reduction in variability in the stimulus layer relative to baseline (Figure 5e), revealing that within our model, increases in top-down influence are responsible for much of the observed stimulus-conditioned variability at larger drug doses. These inactivations had no impact on neural variability in our noise-based hallucination protocol, but were observed for all network architectures and datasets that we tested in which hallucinations were caused by an increase in apical dendritic influence (Figure 5—figure supplement 1), suggesting that these results are quite specific to our model. Furthermore, these inactivations have not yet been performed in animals and consequently constitute a critical testable prediction of our model.\n\n\n### Modeling hallucinations in large-scale pretrained networks\nWhile our trained model is capable of capturing several effects of classical psychedelics, it also has a clear limitation: our top-down generative model does not have sufficient expressive power to induce complex hallucinations of naturalistic stimuli, producing instead ‘ripples,’ or ‘breathing’ effects that preserve lower-order statistical features of the input data (Figure 5b). While psychedelic drug users do report these phenomena, they also report observing much more complex hallucinations, including people, animals, and scenes (Shanon, 2002; Diaz, 2010).\nGenerative models trained through backpropagation have been much more successful in producing more complex generated sensory stimuli (Kingma and Welling, 2013; Rezende et al., 2014; Goodfellow et al., 2020), and furthermore, hierarchical variational autoencoder models have a nearly identical top-down/bottom-up model architecture as our Wake-Sleep-trained networks (Sønderby et al., 2016; Vahdat and Kautz, 2020). Therefore, to see whether our proposed mechanism would induce complex, structured hallucinations in more powerful models, we induced hallucinations in Very Deep Variational Autoencoder (VDVAE) models (Child, 2020) that were pretrained through backpropagation on a large natural images dataset, Tiny ImageNet (Wu et al., 2017), and a large corpus of human faces, FFHQ-256 (Karras et al., 2019). These models have a few key differences compared to our Wake-Sleep-trained models: (1) they are trained through backpropagation, which is well-known to be biologically implausible (Lillicrap et al., 2020); (2) they exploit parameter sharing across spatial positions in convolutional layers for increased data efficiency during training, at the expense of further biological realism (Pogodin et al., 2021); (3) the ‘Wake’ stage inference process of these models incorporates inputs from both bottom-up and top-down sources, which both improves performance (Sønderby et al., 2016) and is more biologically realistic (Csikor et al., 2022; Larkum, 2013); (4) the models are trained on more complex, higher-resolution datasets. Finally, to induce more ‘abstract’ hallucinations, we increased the α parameter in these models selectively for higher layers of the network, whereas for the Wake-Sleep-trained models, we increased α evenly across layers (see Methods). Combined, these differences make for an effective model of high-level hallucination effects, at the expense of some biological realism.\nWe found that hallucinations generated by these pretrained models were much richer and more complex: increasing α in the Tiny ImageNet VDVAE caused the emergence of textural patterns and geometric shapes, while the FFHQ-256 VDVAE caused increasingly bizarre changes in facial features (Figure 6). Both models were also capable of reproducing closed-eyes hallucinations (Figure 6—figure supplement 1), where the content of these hallucinations was shaped by their respective training datasets.\nDecoded outputs of a pretrained VDVAE model trained on Tiny ImageNet (Top) and FFHQ-256 (Bottom) based on hallucinations generated in the top 35 layers of the model. Image samples vary along rows, and hallucination intensity, parameterized by α, increases along columns.\nFigure 6—figure supplement 1.Visualizing the eyes-closed effects of psychedelics in pretrained Very Deep Variational Autoencoder (VDVAE) models.Decoded outputs of a pretrained VDVAE model trained on Tiny ImageNet (Top) and FFHQ-256 (Bottom) based on hallucinations generated in the top 35 layers of the model. Black input images were used for samples in all rows. Hallucination intensity, parameterized by α, increases along columns.\nDecoded outputs of a pretrained VDVAE model trained on Tiny ImageNet (Top) and FFHQ-256 (Bottom) based on hallucinations generated in the top 35 layers of the model. Black input images were used for samples in all rows. Hallucination intensity, parameterized by α, increases along columns.\nFigure 6—figure supplement 2.Analyzing the image- and network-level effects of psychedelics in a Tiny ImageNet-pretrained Very Deep Variational Autoencoder (VDVAE) model.(a) Laplacian pyramid features for a grayscale example input image from the Tiny ImageNet dataset (top left). Pyramid levels increase along columns, corresponding to decreasing resolution, and hallucination intensity increases along rows. (b) Correlation similarity across pyramid levels between the base image and a hallucinated image across different α values, averaged over 100 image samples. (c) Stimulus-conditioned variance of units in layer 30 (descending from the top of the network) across different α values, averaged over 100 sample images and 32 distinct trials. (d) Correlation similarity calculated between correlation matrices for units in layer 30 across different α values, averaged over spatial positions and 100 sample images. (e) Ratio of across-stimulus variance in individual units of layer 30 when the highest 20 layers of the network have been inactivated, versus baseline conditions across different α values. Error bars indicate +/-1 s.e.m.\n(a) Laplacian pyramid features for a grayscale example input image from the Tiny ImageNet dataset (top left). Pyramid levels increase along columns, corresponding to decreasing resolution, and hallucination intensity increases along rows. (b) Correlation similarity across pyramid levels between the base image and a hallucinated image across different α values, averaged over 100 image samples. (c) Stimulus-conditioned variance of units in layer 30 (descending from the top of the network) across different α values, averaged over 100 sample images and 32 distinct trials. (d) Correlation similarity calculated between correlation matrices for units in layer 30 across different α values, averaged over spatial positions and 100 sample images. (e) Ratio of across-stimulus variance in individual units of layer 30 when the highest 20 layers of the network have been inactivated, versus baseline conditions across different α values. Error bars indicate +/-1 s.e.m.\nTo investigate the nature of hallucinations generated by the Tiny ImageNet VDVAE, we examined the Laplacian pyramid of decoded hallucination images at varying α values (Figure 6—figure supplement 2a). Essentially, a Laplacian pyramid decomposes an image into levels of decreasing resolution features, with each level encoding the residual produced by downsampling to the next-lowest resolution (level 0 corresponds to the base 64×64 pixel image, while level 5 corresponds to a 4×4 reduced-resolution set of features). We found that low-level pyramid features varied considerably at low α levels, while high-level pyramid features did not begin to vary until higher α doses (Figure 6—figure supplement 2b). This suggests that hallucinations within our model obey a fine-to-coarse structure, where low-dose hallucinations are confined to high-frequency, spatially localized changes, and progressively increasing doses begin to cause variations in more global image features.\nLastly, we were able to replicate our previous network-level results on the Tiny ImageNet VDVAE. We found that increasing psychedelic dose α caused an increase in stimulus-conditioned variance within the model (Figure 6—figure supplement 2c), and that across-stimulus correlation structure between network units was largely preserved across doses (Figure 6—figure supplement 2d). Furthermore, we found that the ratio of before- and after-inactivation across-stimulus variance decreased as the psychedelic dose α increased (though somewhat paradoxically, inactivation caused an increase in variance for α=0\\begin{document}$\\alpha=0$\\end{document}, likely due to the influence of top-down inputs during inference for this model). Combined, these results show that key testable predictions from our Wake-Sleep-trained model are preserved in the VDVAE, while this latter model is capable of producing some of the more complex hallucinations characteristic of psychedelic experience.\n\n\n### Discussion\nIn this study, we have examined a hypothetical mechanism explaining how the 5-HT2a receptor agonism of classical psychedelics could induce the highly structured hallucinations reported by people who have consumed these drugs. Specifically, we have explored the ‘oneirogen hypothesis,’ which postulates that 5-HT2a agonists have the effects that they do because they shift the neocortex to a more dream-like state, wherein activity is more strongly driven by top-down inputs to apical dendrites than normally occurs during waking. To provide a concrete model to explore the ‘oneirogen hypothesis,’ we used the classic Wake-Sleep algorithm, which learns by toggling between a Wake phase, where activity is driven by bottom-up sensory inputs, and a Sleep phase, where activity is driven by top-down generative signals. We modeled the ‘oneirogen hypothesis’ by simulating psychedelic administration as an increase in a neuronal state variable (α) that switches neural activity between these two phases, such that the simulated psychedelic caused the network to enter a state somewhere between the Wake and Sleep phases, making activity during the Wake phase less tied to actual sensory inputs by increasing the relative influence of the top-down, apical compartment in the models (depending on the ‘dosage’). This formulation is consistent with anatomical wiring data (Larkum, 2013), as well as several recent theoretical studies which propose a specialized learning role for top-down projections to the apical dendrites of pyramidal neurons (Körding and König, 2001; Urbanczik and Senn, 2014; Guerguiev et al., 2017; Sacramento et al., 2018; Richards and Lillicrap, 2019; Payeur et al., 2021). It is also consistent with the known cellular mechanism of action of classical psychedelics (Jakab and Goldman-Rakic, 1998; Aghajanian and Marek, 1999; Aghajanian and Marek, 1997; Kraehenmann et al., 2017) and experiments that demonstrate a reduced responsivity to bottom-up stimuli in cortex after psychedelic drug administration (Evarts et al., 1955; Azimi et al., 2020; Michaiel et al., 2019). Using this model, we were able to produce both stimulus-conditioned and ‘closed-eye’ hallucinations that are consistent with the low-level effects reported by psychedelic drug users (Preller and Vollenweider, 2018), and we were also able to recapitulate the large increases in plasticity observed at both apical and basal synapses at moderate psychedelic doses (Shao et al., 2021).\nOur model uses a particular functional form of synaptic plasticity at both apical and basal synapses, reminiscent of the classical delta rule (Widrow and Lehr, 1990), which seeks to minimize a prediction error between inputs in apical and basal synapses. There are many theoretical models of learning that propose similar forms of plasticity (Urbanczik and Senn, 2014; Guerguiev et al., 2017; Bredenberg et al., 2021), so while this plasticity is a necessary prediction of our model, it is not sufficient to validate it. Experimentally, plasticity dynamics which could, theoretically, minimize such a prediction error have been observed in cortex (Sjöström and Häusser, 2006; Froemke et al., 2010); we found that plasticity rules of this kind induce strong correlations between inputs to the apical and basal dendritic compartments of pyramidal neurons, which has been observed in both the hippocampus and cortex (Beaulieu-Laroche et al., 2019; O’Hare et al., 2024). Psychedelic administration within our model induced large increases in plasticity, which has also been observed experimentally (Shao et al., 2021; Grieco et al., 2022). Within our model, this plasticity should not be interpreted as ‘learning,’ since it arises from aberrant network activity and does not necessarily produce behavioral or perceptual improvements; it is likely closer to ‘noise,’ that may still be useful for helping neural networks escape from local minima in the loss optimization landscape for synaptic weights, with possible implications for individuals suffering from post-traumatic stress disorder, early life trauma, or the negative effects of sensory deprivation. Further work will be required to analyze the relationship within our model between psychedelic dosage, usage frequency, and the long-term stability of learned representations in neural networks.\nInterestingly, we also found that increasing the influence of apical dendrites in the model increased stimulus-conditioned variability in our individual neurons. In the cortex, this effect has recently been shown at the level of single auditory neurons (Horrocks et al., 2024); furthermore, there have been numerous studies reporting similar increases in asynchronous variability (Carhart-Harris et al., 2014) (or, analogously, sample entropy Lebedev et al., 2016) and Lempel-Ziv complexity (Mediano et al., 2024) in resting-state human brain recordings, previously modeled using Entropic Brain Theory. This theory proposes that many of the effects of classical psychedelics on perception and learning can be explained in terms of increases in variability induced by drug administration (e.g. the increase in variability could introduce novel patterns of thinking, or perturb learning to allow it to break out of ‘local minima’). Our results are broadly consistent with this perspective, to which we have added explanatory layers that are both normative and mechanistic (Bredenberg and Savin, 2024; Levenstein et al., 2023): namely, we speculate that this variability under ordinary conditions results from an ethologically important mechanism underlying generative replay for unsupervised learning during sleep or quiescence, and we propose that mechanistically this increase in variability is caused by the increased influence of top-down synapses that are not tied to incoming sensory stimuli. Alternatively, such entropy increases could be caused by increases in attention or self-reflective thought, as supported by recent studies showing that task engagement significantly attenuates psychedelic-induced entropy increases (Siegel et al., 2024); though our model does not include cognitive or attention components, such an interpretation is potentially consistent with and complementary to our framework.\nWhile our results are broadly consistent with existing experimental evidence, there are many unconfirmed aspects of our model which could be tested to validate or invalidate it (summarized in Table 1). As mentioned in the previous section, our model predicts that single neurons should increase variability in response to psychedelic drug administration in any cortical area affected by psychedelic drugs, an effect that has not yet been investigated systematically throughout cortex or across task conditions. Second, we propose that psychedelic drugs should not push network dynamics into wildly different operating regimes than normal wakefulness, beyond any differences observed between wakefulness and replay (dreams) during sleep. In particular, we found that our simulated psychedelic drug administration did not perturb pairwise correlations between neurons within local circuits when averaged across an ecologically representative set of stimuli.\nModels: OH - oneirogen hypothesis; EC - Ermentrout and Cowan, 1979; REBUS - Relaxed Beliefs Under Psychedelics (Carhart-Harris and Friston, 2019); DD - DeepDream (Suzuki et al., 2017). Key: ✓ - model is consistent with the prediction; ✗ - model is inconsistent with the prediction; n/a - model is neither inconsistent nor consistent with the prediction.\nWithin our model, psychedelic drug administration is expected to increase the relative influence of top-down projections. This prediction appears to be supported by slice experiments (Aghajanian and Marek, 1999; Aghajanian and Marek, 1997; Arvanov et al., 1999), but to our knowledge, this change in functional connectivity has not yet been shown via in vivo manipulations. This could be explored experimentally in several ways: first, we have shown that apical dendrite-targeted silencing experiments can identify the amount of influence apical dendritic inputs exert on neuronal dynamics; second, we have shown that increases in top-down influence can in principle be identified with interareal silencing experiments. We caution that interpreting results in this second vein may be difficult, as establishing a clean distinction between a ‘higher order’ and ‘lower order’ cortical area may be much more difficult in a densely recurrent system, such as the brain, compared to our simplified and fully observable network model.\nInterestingly, if psychedelic drugs are genuinely co-opting circuitry ordinarily reserved for generative replay during periods of offline quiescence or sleep, we would expect that the same changes in functional connectivity observed during psychedelic drug administration would also occur during periods of replay. Replay has been observed and dreams have been documented during both SW (Lee and Wilson, 2002; Ji and Wilson, 2007) and REM (Louie and Wilson, 2001; Andrillon et al., 2015) sleep, with REM dreams exhibiting greater degrees of bizarreness, possibly indicating a more ‘generative’ form of replay (Stickgold et al., 2001). During SW sleep, increased top-down influence has been observed from secondary motor cortex to primary somatosensory cortex (Miyamoto et al., 2016), and from hippocampus to prefrontal cortex (Ji and Wilson, 2007); however, it should be noted that increased hippocampal-to-prefrontal functional coupling was not observed after classical psychedelic administration (Domenico et al., 2021). During REM sleep, increased top-down influence (or apical dendritic influence) has been observed in prefrontal, visual (Zhou et al., 2020), and motor (Li et al., 2017) cortices, with some top-down inputs originating from higher-order thalamic nuclei (Aime et al., 2022; Whyte et al., 2024); similarly, multiple non-invasive imaging studies have observed increases in top-down functional coupling from higher-order thalamic nuclei after psychedelic administration (Gaddis et al., 2022; Delli Pizzi et al., 2023). Therefore, increases in top-down coupling appear broadly consistent between REM sleep and classical psychedelic administration, while psychedelic states appear inconsistent with the hippocampal-cortical coupling during SW sleep; this latter result could potentially be explained in terms of a recent complementary learning systems model (Singh et al., 2022), in which SW sleep is responsible for orchestrating hippocampus-cortex-coupled episodic replay while REM sleep is responsible for orchestrating hippocampus-cortex-decoupled generative replay, but more experiments and theoretical work will likely be necessary to fully characterize this additional complexity. Given these data, it seems as though REM sleep replay is a moderately stronger candidate for sharing a mechanism of action with classical psychedelics, though it remains possible that replay events during SW sleep occur via a similarly shared mechanism.\nTo summarize, though we have provided a candidate explanation for several of the hallucinatory effects of psychedelic drugs with a model that displays a strong correspondence with existing empirical evidence, our model rests on a number of testable assumptions. Our goal here has been to articulate these assumptions as clearly as possible, to facilitate experimental efforts to test them.\nHere, we review prominent existing hypotheses as to how psychedelic drugs could induce hallucinations in neural networks and compare to our model (summarized in Table 1). The first alternative proposed that incredibly complex, geometric patterns formed by DMT administration could be attributed to pattern-formation effects in visual cortex caused by a disruption of the balance between excitation and inhibition in locally coupled topographic recurrent neural networks (Ermentrout and Cowan, 1979; Bressloff et al., 2001). Our work differs from this approach in several respects. First, rather than disrupting E-I balance, we propose that psychedelics increase the relative influence of apical dendrites and top-down projections on the dynamics of neural activity. Second, though their model is able to generate geometric patterns, it is not able to generate patterns that are statistically related to the features of the sensory environment (e.g. MNIST digits). Lastly, for simplicity, we avoided, including topographic (or convolutional) recurrent connectivity in our model; however, it would be a very fruitful direction for future research to extend our work to generative modeling of temporal video sequences, as in Keller and Welling, 2023; Keller et al., 2023. With such a development, it is conceivable that our model could directly generalize these pattern formation-based approaches.\nPerhaps more closely related to our model is the ‘relaxed beliefs under psychedelics’ (REBUS) model, which proposes to explain the effects of classical psychedelics in terms of predictive coding theory (Carhart-Harris and Friston, 2019). Similar to the Wake-Sleep algorithm, predictive coding theory (Rao and Ballard, 1999) models sensory representation learning with neural dynamics and local synaptic modifications that collectively optimize an ELBO objective function. However, at a mechanistic level, there are numerous differences, the most easily distinguishable feature being that the Wake-Sleep algorithm requires periods of offline ‘generative replay’ to train bottom-up synapses in its network, whereas predictive coding learning occurs concomitantly with stimulus presentation. Furthermore, the REBUS model of psychedelic effects is described at a computational level, in terms of a decrease in the ‘precision-weighting of top-down priors.’ While it is more difficult to map the REBUS model directly onto cortical microcircuitry, and the hallucinatory effects of such a model have, to our knowledge, not been directly analyzed, it has been shown that the proposed mechanism causes an increase in bottom-up information flow between cortical areas (Rajpal et al., 2022), in direct contrast to the effects that we have shown in our model (Figure 5c–d), there is some evidence supporting this idea (Alamia et al., 2020), but noninvasive imaging studies are inconsistent on this question, with many studies showing by contrast an increase in top-down functional connectivity caused by classical psychedelic administration (Gaddis et al., 2022; Delli Pizzi et al., 2023), and with invasive recordings showing a decrease in the influence of bottom-up inputs (Evarts et al., 1955; Azimi et al., 2020; Michaiel et al., 2019). Because interareal causal influence can be difficult to analyze statistically due to dense recurrent connectivity (i.e. correlation does not imply causation), we stress that it would be more effective to distinguish between the REBUS model and our ‘oneirogen hypothesis’ by performing direct interventions on inputs to the apical and basal dendritic compartments of pyramidal neurons in cortex, and by exploring whether psychedelic drugs affect the same circuitry that induces ‘generative replay’ during periods of sleep and quiescence. More consistent with our model, a recent non-mechanistic approach based on the DeepDream algorithm has been used to generate realistic hallucinations via increased influence from a top-down learning signal (Suzuki et al., 2017); however, this model proposes no relationship between psychedelics and replay during sleep.\nLastly, it should be noted that the Wake-Sleep algorithm and our choice of network architecture constitute one particular model within a family of related models, all of which satisfy our key criteria for a good model of the ‘oneirogen hypothesis,’ namely that (1) the model has well-defined top-down and bottom-up pathways, (2) it learns a generative model of incoming sensory inputs, and (3) it uses periods of offline replay for learning through local synaptic plasticity. For example, in the Supplemental Materials, we have replicated all of our essential results for two alternative network architectures, also learned via the Wake-Sleep algorithm: one model uses within-layer recurrence to improve generative performance, while the other model uses a simpler single compartment neuron model. Furthermore, the closely related Contrastive Divergence learning algorithm for Boltzmann Machines (Ackley et al., 1985) also involves alternations between Wake and generative Sleep phases, learns through local synaptic plasticity, and has been used to model hallucination disorders like Charles Bonnet Syndrome (Reichert et al., 2013), though Boltzmann machines are computationally more cumbersome to train and require more non-biological network features than the Wake-Sleep algorithm. We feel as though it is important to recognize that models that satisfy these three criteria are more similar than they are different, and that it may be quite difficult to experimentally distinguish between them.\nWhile our model is capable of capturing several effects of classical psychedelics, it also has several clear limitations. First, while we have been able to model complex hallucination phenomena with backpropagation-trained networks, hallucinations generated by Wake-Sleep-trained networks were generally simpler, likely because the Wake-Sleep algorithm is well-known to be a less effective representation learning and generative modeling algorithm than backpropagation (Kingma and Welling, 2013), despite its superior biological realism. This suggests that while it is quite possible for generative modeling approaches to produce complex hallucinations through non-biological means, algorithmic or architectural improvements may be necessary in order to make the performance of the more plausible Wake-Sleep algorithm closer to that achieved by state-of-the-art models.\nOur model also oversimplifies several aspects of biology. In particular, we do not use neurons that respect Dale’s law (O’Donohue et al., 1985; Cornford et al., 2020), and the majority of our efforts to map the Wake-Sleep algorithm onto biology focus on excitatory pyramidal neurons. Furthermore, though we do observe that neural dynamics can tolerate a significant amount of top-down input before disrupting perception, experiments and theoretical studies have shown that inputs to apical dendrites of pyramidal neurons do play an important role in waking perception (Larkum, 2013; Whyte et al., 2024; Munn et al., 2023), and are not just learning signals. We focused on clear distinctions between basally-driven Wake modes and apically-driven Sleep modes during training for computational efficiency reasons, and also due to the fact that parameter sharing across inference and generative networks in the Wake-Sleep algorithm is theoretically under-explored (though it is supported in closely related predictive coding approaches Rao and Ballard, 1999 and Boltzmann machines Ackley et al., 1985). Future elaborations on our model could incorporate feedback control (Podlaski and Machens, 2020), attention (Lindsay, 2020), or multimodal sensory inputs (Islah et al., 2025) into top-down projections; such inputs could help explore how psychedelic hallucinations interact with attentional or feedback control systems in the brain and have been shown to interact constructively with top-down learning signals in prior models (Gilra and Gerstner, 2017; Meulemans et al., 2021; Roelfsema and van Ooyen, 2005). Our use of VDVAEs is a positive step in this direction, but ideally, such network architectures would be made compatible with the Wake-Sleep algorithm.\nLastly, our modeling focus has been exclusively on cortical plasticity and hallucination effects: it should be noted that our model has little bearing on other important features of the psychedelic experience of potential therapeutic relevance, because we have not included the effects of psychedelics on subcortical structures, including the serotonergic system (Carhart-Harris and Nutt, 2017), which plays an important role in regulating mood and may be where psychedelics exert some of their antidepressant effects. Many studies of the effects of psychedelics on fear extinction focus on the hippocampus or the amygdala (Bombardi and Di Giovanni, 2013; Jiang et al., 2009; Kelly et al., 2024; Tiwari et al., 2024). These areas receive extensive innervation directly from serotonergic synapses originating from the dorsal raphe nucleus, which have been shown to play an important role in emotional learning (Lesch and Waider, 2012); because classical psychedelics may play a more direct role in modulating this serotonergic innervation, it is possible that fear conditioning results (in addition to the anxiolytic effects of psychedelics) cannot be attributed to a shift in balance between apical and basal synapses induced by psychedelic administration.\nHere, we have proposed a hypothesis for the mechanism of action of psychedelic drugs in terms of its excitatory effects on the apical dendrites of pyramidal neurons, which we propose pushes network dynamics into a state normally reserved for offline replay and learning; we have also proposed a number of testable predictions which could be used to validate or invalidate our hypothesis. If validated, our model would describe a mechanism by which psychedelic drug administration causes ordinary sensory perception to become literally more dream-like; it further suggests that the plasticity increases observed during both sleep and psychedelic experience could occur via a common mechanism dedicated to sensory representation learning in the brain. Beyond classical psychedelics, further studying the balance between apical and basal dendritic inputs to pyramidal neurons in connection to replay during sleep may be relevant for explaining the hallucinatory effects of other drugs (such as ketamine) or mental disorders like schizophrenia (Corlett et al., 2009).\n\n\n### Experimental results captured by our model\nIn this study, we have examined a hypothetical mechanism explaining how the 5-HT2a receptor agonism of classical psychedelics could induce the highly structured hallucinations reported by people who have consumed these drugs. Specifically, we have explored the ‘oneirogen hypothesis,’ which postulates that 5-HT2a agonists have the effects that they do because they shift the neocortex to a more dream-like state, wherein activity is more strongly driven by top-down inputs to apical dendrites than normally occurs during waking. To provide a concrete model to explore the ‘oneirogen hypothesis,’ we used the classic Wake-Sleep algorithm, which learns by toggling between a Wake phase, where activity is driven by bottom-up sensory inputs, and a Sleep phase, where activity is driven by top-down generative signals. We modeled the ‘oneirogen hypothesis’ by simulating psychedelic administration as an increase in a neuronal state variable (α) that switches neural activity between these two phases, such that the simulated psychedelic caused the network to enter a state somewhere between the Wake and Sleep phases, making activity during the Wake phase less tied to actual sensory inputs by increasing the relative influence of the top-down, apical compartment in the models (depending on the ‘dosage’). This formulation is consistent with anatomical wiring data (Larkum, 2013), as well as several recent theoretical studies which propose a specialized learning role for top-down projections to the apical dendrites of pyramidal neurons (Körding and König, 2001; Urbanczik and Senn, 2014; Guerguiev et al., 2017; Sacramento et al., 2018; Richards and Lillicrap, 2019; Payeur et al., 2021). It is also consistent with the known cellular mechanism of action of classical psychedelics (Jakab and Goldman-Rakic, 1998; Aghajanian and Marek, 1999; Aghajanian and Marek, 1997; Kraehenmann et al., 2017) and experiments that demonstrate a reduced responsivity to bottom-up stimuli in cortex after psychedelic drug administration (Evarts et al., 1955; Azimi et al., 2020; Michaiel et al., 2019). Using this model, we were able to produce both stimulus-conditioned and ‘closed-eye’ hallucinations that are consistent with the low-level effects reported by psychedelic drug users (Preller and Vollenweider, 2018), and we were also able to recapitulate the large increases in plasticity observed at both apical and basal synapses at moderate psychedelic doses (Shao et al., 2021).\nOur model uses a particular functional form of synaptic plasticity at both apical and basal synapses, reminiscent of the classical delta rule (Widrow and Lehr, 1990), which seeks to minimize a prediction error between inputs in apical and basal synapses. There are many theoretical models of learning that propose similar forms of plasticity (Urbanczik and Senn, 2014; Guerguiev et al., 2017; Bredenberg et al., 2021), so while this plasticity is a necessary prediction of our model, it is not sufficient to validate it. Experimentally, plasticity dynamics which could, theoretically, minimize such a prediction error have been observed in cortex (Sjöström and Häusser, 2006; Froemke et al., 2010); we found that plasticity rules of this kind induce strong correlations between inputs to the apical and basal dendritic compartments of pyramidal neurons, which has been observed in both the hippocampus and cortex (Beaulieu-Laroche et al., 2019; O’Hare et al., 2024). Psychedelic administration within our model induced large increases in plasticity, which has also been observed experimentally (Shao et al., 2021; Grieco et al., 2022). Within our model, this plasticity should not be interpreted as ‘learning,’ since it arises from aberrant network activity and does not necessarily produce behavioral or perceptual improvements; it is likely closer to ‘noise,’ that may still be useful for helping neural networks escape from local minima in the loss optimization landscape for synaptic weights, with possible implications for individuals suffering from post-traumatic stress disorder, early life trauma, or the negative effects of sensory deprivation. Further work will be required to analyze the relationship within our model between psychedelic dosage, usage frequency, and the long-term stability of learned representations in neural networks.\nInterestingly, we also found that increasing the influence of apical dendrites in the model increased stimulus-conditioned variability in our individual neurons. In the cortex, this effect has recently been shown at the level of single auditory neurons (Horrocks et al., 2024); furthermore, there have been numerous studies reporting similar increases in asynchronous variability (Carhart-Harris et al., 2014) (or, analogously, sample entropy Lebedev et al., 2016) and Lempel-Ziv complexity (Mediano et al., 2024) in resting-state human brain recordings, previously modeled using Entropic Brain Theory. This theory proposes that many of the effects of classical psychedelics on perception and learning can be explained in terms of increases in variability induced by drug administration (e.g. the increase in variability could introduce novel patterns of thinking, or perturb learning to allow it to break out of ‘local minima’). Our results are broadly consistent with this perspective, to which we have added explanatory layers that are both normative and mechanistic (Bredenberg and Savin, 2024; Levenstein et al., 2023): namely, we speculate that this variability under ordinary conditions results from an ethologically important mechanism underlying generative replay for unsupervised learning during sleep or quiescence, and we propose that mechanistically this increase in variability is caused by the increased influence of top-down synapses that are not tied to incoming sensory stimuli. Alternatively, such entropy increases could be caused by increases in attention or self-reflective thought, as supported by recent studies showing that task engagement significantly attenuates psychedelic-induced entropy increases (Siegel et al., 2024); though our model does not include cognitive or attention components, such an interpretation is potentially consistent with and complementary to our framework.\n\n\n### Testable predictions\nWhile our results are broadly consistent with existing experimental evidence, there are many unconfirmed aspects of our model which could be tested to validate or invalidate it (summarized in Table 1). As mentioned in the previous section, our model predicts that single neurons should increase variability in response to psychedelic drug administration in any cortical area affected by psychedelic drugs, an effect that has not yet been investigated systematically throughout cortex or across task conditions. Second, we propose that psychedelic drugs should not push network dynamics into wildly different operating regimes than normal wakefulness, beyond any differences observed between wakefulness and replay (dreams) during sleep. In particular, we found that our simulated psychedelic drug administration did not perturb pairwise correlations between neurons within local circuits when averaged across an ecologically representative set of stimuli.\nModels: OH - oneirogen hypothesis; EC - Ermentrout and Cowan, 1979; REBUS - Relaxed Beliefs Under Psychedelics (Carhart-Harris and Friston, 2019); DD - DeepDream (Suzuki et al., 2017). Key: ✓ - model is consistent with the prediction; ✗ - model is inconsistent with the prediction; n/a - model is neither inconsistent nor consistent with the prediction.\nWithin our model, psychedelic drug administration is expected to increase the relative influence of top-down projections. This prediction appears to be supported by slice experiments (Aghajanian and Marek, 1999; Aghajanian and Marek, 1997; Arvanov et al., 1999), but to our knowledge, this change in functional connectivity has not yet been shown via in vivo manipulations. This could be explored experimentally in several ways: first, we have shown that apical dendrite-targeted silencing experiments can identify the amount of influence apical dendritic inputs exert on neuronal dynamics; second, we have shown that increases in top-down influence can in principle be identified with interareal silencing experiments. We caution that interpreting results in this second vein may be difficult, as establishing a clean distinction between a ‘higher order’ and ‘lower order’ cortical area may be much more difficult in a densely recurrent system, such as the brain, compared to our simplified and fully observable network model.\nInterestingly, if psychedelic drugs are genuinely co-opting circuitry ordinarily reserved for generative replay during periods of offline quiescence or sleep, we would expect that the same changes in functional connectivity observed during psychedelic drug administration would also occur during periods of replay. Replay has been observed and dreams have been documented during both SW (Lee and Wilson, 2002; Ji and Wilson, 2007) and REM (Louie and Wilson, 2001; Andrillon et al., 2015) sleep, with REM dreams exhibiting greater degrees of bizarreness, possibly indicating a more ‘generative’ form of replay (Stickgold et al., 2001). During SW sleep, increased top-down influence has been observed from secondary motor cortex to primary somatosensory cortex (Miyamoto et al., 2016), and from hippocampus to prefrontal cortex (Ji and Wilson, 2007); however, it should be noted that increased hippocampal-to-prefrontal functional coupling was not observed after classical psychedelic administration (Domenico et al., 2021). During REM sleep, increased top-down influence (or apical dendritic influence) has been observed in prefrontal, visual (Zhou et al., 2020), and motor (Li et al., 2017) cortices, with some top-down inputs originating from higher-order thalamic nuclei (Aime et al., 2022; Whyte et al., 2024); similarly, multiple non-invasive imaging studies have observed increases in top-down functional coupling from higher-order thalamic nuclei after psychedelic administration (Gaddis et al., 2022; Delli Pizzi et al., 2023). Therefore, increases in top-down coupling appear broadly consistent between REM sleep and classical psychedelic administration, while psychedelic states appear inconsistent with the hippocampal-cortical coupling during SW sleep; this latter result could potentially be explained in terms of a recent complementary learning systems model (Singh et al., 2022), in which SW sleep is responsible for orchestrating hippocampus-cortex-coupled episodic replay while REM sleep is responsible for orchestrating hippocampus-cortex-decoupled generative replay, but more experiments and theoretical work will likely be necessary to fully characterize this additional complexity. Given these data, it seems as though REM sleep replay is a moderately stronger candidate for sharing a mechanism of action with classical psychedelics, though it remains possible that replay events during SW sleep occur via a similarly shared mechanism.\nTo summarize, though we have provided a candidate explanation for several of the hallucinatory effects of psychedelic drugs with a model that displays a strong correspondence with existing empirical evidence, our model rests on a number of testable assumptions. Our goal here has been to articulate these assumptions as clearly as possible, to facilitate experimental efforts to test them.\n\n\n### Comparisons to alternative models\nHere, we review prominent existing hypotheses as to how psychedelic drugs could induce hallucinations in neural networks and compare to our model (summarized in Table 1). The first alternative proposed that incredibly complex, geometric patterns formed by DMT administration could be attributed to pattern-formation effects in visual cortex caused by a disruption of the balance between excitation and inhibition in locally coupled topographic recurrent neural networks (Ermentrout and Cowan, 1979; Bressloff et al., 2001). Our work differs from this approach in several respects. First, rather than disrupting E-I balance, we propose that psychedelics increase the relative influence of apical dendrites and top-down projections on the dynamics of neural activity. Second, though their model is able to generate geometric patterns, it is not able to generate patterns that are statistically related to the features of the sensory environment (e.g. MNIST digits). Lastly, for simplicity, we avoided, including topographic (or convolutional) recurrent connectivity in our model; however, it would be a very fruitful direction for future research to extend our work to generative modeling of temporal video sequences, as in Keller and Welling, 2023; Keller et al., 2023. With such a development, it is conceivable that our model could directly generalize these pattern formation-based approaches.\nPerhaps more closely related to our model is the ‘relaxed beliefs under psychedelics’ (REBUS) model, which proposes to explain the effects of classical psychedelics in terms of predictive coding theory (Carhart-Harris and Friston, 2019). Similar to the Wake-Sleep algorithm, predictive coding theory (Rao and Ballard, 1999) models sensory representation learning with neural dynamics and local synaptic modifications that collectively optimize an ELBO objective function. However, at a mechanistic level, there are numerous differences, the most easily distinguishable feature being that the Wake-Sleep algorithm requires periods of offline ‘generative replay’ to train bottom-up synapses in its network, whereas predictive coding learning occurs concomitantly with stimulus presentation. Furthermore, the REBUS model of psychedelic effects is described at a computational level, in terms of a decrease in the ‘precision-weighting of top-down priors.’ While it is more difficult to map the REBUS model directly onto cortical microcircuitry, and the hallucinatory effects of such a model have, to our knowledge, not been directly analyzed, it has been shown that the proposed mechanism causes an increase in bottom-up information flow between cortical areas (Rajpal et al., 2022), in direct contrast to the effects that we have shown in our model (Figure 5c–d), there is some evidence supporting this idea (Alamia et al., 2020), but noninvasive imaging studies are inconsistent on this question, with many studies showing by contrast an increase in top-down functional connectivity caused by classical psychedelic administration (Gaddis et al., 2022; Delli Pizzi et al., 2023), and with invasive recordings showing a decrease in the influence of bottom-up inputs (Evarts et al., 1955; Azimi et al., 2020; Michaiel et al., 2019). Because interareal causal influence can be difficult to analyze statistically due to dense recurrent connectivity (i.e. correlation does not imply causation), we stress that it would be more effective to distinguish between the REBUS model and our ‘oneirogen hypothesis’ by performing direct interventions on inputs to the apical and basal dendritic compartments of pyramidal neurons in cortex, and by exploring whether psychedelic drugs affect the same circuitry that induces ‘generative replay’ during periods of sleep and quiescence. More consistent with our model, a recent non-mechanistic approach based on the DeepDream algorithm has been used to generate realistic hallucinations via increased influence from a top-down learning signal (Suzuki et al., 2017); however, this model proposes no relationship between psychedelics and replay during sleep.\nLastly, it should be noted that the Wake-Sleep algorithm and our choice of network architecture constitute one particular model within a family of related models, all of which satisfy our key criteria for a good model of the ‘oneirogen hypothesis,’ namely that (1) the model has well-defined top-down and bottom-up pathways, (2) it learns a generative model of incoming sensory inputs, and (3) it uses periods of offline replay for learning through local synaptic plasticity. For example, in the Supplemental Materials, we have replicated all of our essential results for two alternative network architectures, also learned via the Wake-Sleep algorithm: one model uses within-layer recurrence to improve generative performance, while the other model uses a simpler single compartment neuron model. Furthermore, the closely related Contrastive Divergence learning algorithm for Boltzmann Machines (Ackley et al., 1985) also involves alternations between Wake and generative Sleep phases, learns through local synaptic plasticity, and has been used to model hallucination disorders like Charles Bonnet Syndrome (Reichert et al., 2013), though Boltzmann machines are computationally more cumbersome to train and require more non-biological network features than the Wake-Sleep algorithm. We feel as though it is important to recognize that models that satisfy these three criteria are more similar than they are different, and that it may be quite difficult to experimentally distinguish between them.\n\n\n### Limitations\nWhile our model is capable of capturing several effects of classical psychedelics, it also has several clear limitations. First, while we have been able to model complex hallucination phenomena with backpropagation-trained networks, hallucinations generated by Wake-Sleep-trained networks were generally simpler, likely because the Wake-Sleep algorithm is well-known to be a less effective representation learning and generative modeling algorithm than backpropagation (Kingma and Welling, 2013), despite its superior biological realism. This suggests that while it is quite possible for generative modeling approaches to produce complex hallucinations through non-biological means, algorithmic or architectural improvements may be necessary in order to make the performance of the more plausible Wake-Sleep algorithm closer to that achieved by state-of-the-art models.\nOur model also oversimplifies several aspects of biology. In particular, we do not use neurons that respect Dale’s law (O’Donohue et al., 1985; Cornford et al., 2020), and the majority of our efforts to map the Wake-Sleep algorithm onto biology focus on excitatory pyramidal neurons. Furthermore, though we do observe that neural dynamics can tolerate a significant amount of top-down input before disrupting perception, experiments and theoretical studies have shown that inputs to apical dendrites of pyramidal neurons do play an important role in waking perception (Larkum, 2013; Whyte et al., 2024; Munn et al., 2023), and are not just learning signals. We focused on clear distinctions between basally-driven Wake modes and apically-driven Sleep modes during training for computational efficiency reasons, and also due to the fact that parameter sharing across inference and generative networks in the Wake-Sleep algorithm is theoretically under-explored (though it is supported in closely related predictive coding approaches Rao and Ballard, 1999 and Boltzmann machines Ackley et al., 1985). Future elaborations on our model could incorporate feedback control (Podlaski and Machens, 2020), attention (Lindsay, 2020), or multimodal sensory inputs (Islah et al., 2025) into top-down projections; such inputs could help explore how psychedelic hallucinations interact with attentional or feedback control systems in the brain and have been shown to interact constructively with top-down learning signals in prior models (Gilra and Gerstner, 2017; Meulemans et al., 2021; Roelfsema and van Ooyen, 2005). Our use of VDVAEs is a positive step in this direction, but ideally, such network architectures would be made compatible with the Wake-Sleep algorithm.\nLastly, our modeling focus has been exclusively on cortical plasticity and hallucination effects: it should be noted that our model has little bearing on other important features of the psychedelic experience of potential therapeutic relevance, because we have not included the effects of psychedelics on subcortical structures, including the serotonergic system (Carhart-Harris and Nutt, 2017), which plays an important role in regulating mood and may be where psychedelics exert some of their antidepressant effects. Many studies of the effects of psychedelics on fear extinction focus on the hippocampus or the amygdala (Bombardi and Di Giovanni, 2013; Jiang et al., 2009; Kelly et al., 2024; Tiwari et al., 2024). These areas receive extensive innervation directly from serotonergic synapses originating from the dorsal raphe nucleus, which have been shown to play an important role in emotional learning (Lesch and Waider, 2012); because classical psychedelics may play a more direct role in modulating this serotonergic innervation, it is possible that fear conditioning results (in addition to the anxiolytic effects of psychedelics) cannot be attributed to a shift in balance between apical and basal synapses induced by psychedelic administration.\n\n\n### Conclusions\nHere, we have proposed a hypothesis for the mechanism of action of psychedelic drugs in terms of its excitatory effects on the apical dendrites of pyramidal neurons, which we propose pushes network dynamics into a state normally reserved for offline replay and learning; we have also proposed a number of testable predictions which could be used to validate or invalidate our hypothesis. If validated, our model would describe a mechanism by which psychedelic drug administration causes ordinary sensory perception to become literally more dream-like; it further suggests that the plasticity increases observed during both sleep and psychedelic experience could occur via a common mechanism dedicated to sensory representation learning in the brain. Beyond classical psychedelics, further studying the balance between apical and basal dendritic inputs to pyramidal neurons in connection to replay during sleep may be relevant for explaining the hallucinatory effects of other drugs (such as ketamine) or mental disorders like schizophrenia (Corlett et al., 2009).\n\n\n### Methods\nTo model the effects of psychedelics on neural network dynamics and plasticity, we first constructed a simple model of the early visual system by training neural networks on two different image datasets (MNIST Deng, 2012 and CIFAR10 Krizhevsky and Hinton, 2009). Networks were trained with the Wake-Sleep algorithm (Hinton et al., 1995), which requires, for each layer, two modes of stochastic network activity: a ‘generative mode,’ and an ‘inference mode.’ For the ‘inference’ mode, we must specify a probability distribution b(r(l)|r(l−1))\\begin{document}$b(\\mathbf{r}^{(l)}|\\mathbf{r}^{(l-1)})$\\end{document}, while for the ‘generative’ mode, we must specify a separate distribution p(r(l)|r(l+1))\\begin{document}$p(\\mathbf{r}^{(l)}|\\mathbf{r}^{(l+1)})$\\end{document} (As a notational convention, we will use letters when referring to mathematical objects from the generative, top-down distribution, and their vertical reflection when referring to the inference, bottom-up distribution (e.g. p and b)). Notice here that activity in ‘inference’ mode is conditioned on ‘bottom-up’ network states (r(l−1)\\begin{document}$\\mathbf{r}^{(l-1)}$\\end{document}), while activity in generative mode is conditioned on ‘top-down’ network states (r(l+1)\\begin{document}$\\mathbf{r}^{(l+1)}$\\end{document}) (Figure 1a).\nThe ‘inference mode’ specifies a probability distribution over neural activity, conditioned on the next-lower layer (where the lowest layer is the stimulus layer, i.e., r(0)=s\\begin{document}$\\mathbf{r}^{(0)}=\\mathbf{s}$\\end{document})—mechanistically, it corresponds to activity generated by feedforward projections. To increase the expressive power of our neural units, we use multicompartmental neuron models similar to Poirazi et al., 2003 with Nd\\begin{document}$N_{d}$\\end{document} dendritic compartments, whose voltages are summed nonlinearly to form the full input to the basal dendrites. For l>0\\begin{document}$l > 0$\\end{document}, layer activity is sampled from the distribution r(l)∼N(h(r(l−1)),σb2I)\\begin{document}$\\mathbf{r}^{(l)}\\sim\\mathcal{N}(h(\\mathbf{r}^{(l-1)}),\\sigma_{b}^{2}\\mathbf{I})$\\end{document}, where for neuron i\\begin{document}$i$\\end{document} in layer l\\begin{document}$l$\\end{document}, hi(r(l−1))\\begin{document}$h_{i}(\\mathbf{r}^{(l-1)})$\\end{document} is given by:(2)hi(r(l−1))=ϕ(∑n=0Ndwin(l)ϕd(Win(l)r(l−1)+cin(l))+bi(l)),\\begin{document}$$\\displaystyle  h_{i}(\\mathbf{r}^{(l-1)}) = \\phi \\left (\\sum_{n=0}^{N_d}w_{in}^{(l)}\\phi_{d} \\left (\\mathbf{W}^{(l)}_{in}\\mathbf{r}^{(l-1)}+ c^{(l)}_{in}\\right) + b^{(l)}_{i} \\right),$$\\end{document}\nwhere Win(l)\\begin{document}$\\mathbf{W}^{(l)}_{in}$\\end{document} is a 1×N(l−1)\\begin{document}$1\\times N^{(l-1)}$\\end{document} matrix of synaptic weights onto dendrite n\\begin{document}$n$\\end{document}, cin\\begin{document}$c_{in}$\\end{document} is the corresponding bias for the nth dendritic compartment, win(l)\\begin{document}$w^{(l)}_{in}$\\end{document} is the strictly positive weight given to the nth dendritic branch (roughly corresponding to a conductance), and bi(l)\\begin{document}$b^{(l)}_{i}$\\end{document} is the bias for the entire basal compartment. ϕd(⋅)\\begin{document}$\\phi_{d}(\\cdot)$\\end{document} and ϕ(⋅)\\begin{document}$\\phi(\\cdot)$\\end{document} are nonlinearities for the dendritic branches and the total basal compartment, respectively: both are the sequential composition of the tanh\\begin{document}$\\tanh$\\end{document} nonlinearity, followed by batch normalization (Ioffe, 2015). For the dendritic branch nonlinearities, we allow for learnable affine parameters (scale and bias), but for the entire basal dendritic compartment, we constrain activity to be zero-mean and unit variance across batches in order to prevent indeterminacy between apical and basal scale parameters. For the final inference layer r(L)\\begin{document}$\\mathbf{r}^{(L)}$\\end{document}, as in the variational autoencoder (Rezende et al., 2014), we parameterize both the mean and a diagonal covariance matrix of the inference distribution: r(L)∼N(h(r(L−1)),diag(h2(r(L−1))))\\begin{document}$\\mathbf{r}^{(L)}\\sim\\mathcal{N}\\left(h(\\mathbf{r}^{(L-1)}),\\mathrm{diag}(h_{2} (\\mathbf{r}^{(L-1)}))\\right)$\\end{document}, where h2(⋅)\\begin{document}$h_{2}(\\cdot)$\\end{document} is also a multicompartmental model, in this case replacing the final batch normalization with an exponential nonlinearity to ensure positivity.\nThe ‘generative’ mode specifies a probability distribution over neural activity, conditioned on the next-higher layer—it corresponds mechanistically to activity generated by feedback projections. The highest layer, r(L)\\begin{document}$\\mathbf{r}^{(L)}$\\end{document} is sampled from an N(L)\\begin{document}$N^{(L)}$\\end{document}-dimensional independent standard normal distribution, r(L)∼N(0,I)\\begin{document}$\\mathbf{r}^{(L)}\\sim\\mathcal{N}(0,\\mathbf{I})$\\end{document}, and all subsequent layers are sampled from the distribution r(l)∼N(μ(r(l+1)),σp2I)\\begin{document}$\\mathbf{r}^{(l)}\\sim\\mathcal{N}(\\mu(\\mathbf{r}^{(l+1)}),\\sigma_{p}^{2}\\mathbf{ I})$\\end{document}, where for the ith neuron, μi(r(l+1))\\begin{document}$\\mu_{i}(\\mathbf{r}^{(l+1)})$\\end{document} is given by:(3)μi(r(l+1))=ϕ(∑n=0Ndmin(l)ϕd(Min(l)r(l+1)+din(l))+ai(l)),\\begin{document}$$\\displaystyle  \\mu_{i}(\\mathbf{r}^{(l+1)}) = \\phi \\left (\\sum_{n=0}^{N_d}m_{in}^{(l)}\\phi_{d} \\left (\\mathbf{M}^{(l)}_{in}\\mathbf{r}^{(l+1)}+ d^{(l)}_{in}\\right) + a^{(l)}_{i} \\right),$$\\end{document}\nwhere Min(l)\\begin{document}$\\mathbf{M}^{(l)}_{in}$\\end{document} is a 1×N(l+1)\\begin{document}$1\\times N^{(l+1)}$\\end{document} matrix of synaptic weights onto apical dendritic branch n\\begin{document}$n$\\end{document}, din(l)\\begin{document}$d_{in}^{(l)}$\\end{document} is the corresponding bias for the nth dendritic compartment, min(l)\\begin{document}$m^{(l)}_{in}$\\end{document} is the strictly positive weight given to the nth dendritic branch, and ai(l)\\begin{document}$a^{(l)}_{i}$\\end{document} is the bias for the entire apical compartment. Again, ϕd(⋅)\\begin{document}$\\phi_{d}(\\cdot)$\\end{document} and ϕ(⋅)\\begin{document}$\\phi(\\cdot)$\\end{document} are nonlinearities, identical to the inference (basal) pathway.\nWhile the neuron model used here is more complicated than is normally used for single-unit neuron models, functions of this kind could feasibly be implemented by nonlinear dendritic computations (Poirazi et al., 2003); we further found that using this nonlinearity qualitatively improved generative performance (Figure 2—figure supplement 2). Given these parameterized probability distributions, we then determined the neural activity for each layer l\\begin{document}$l$\\end{document} according to Equation 1. Our network trained on MNIST was composed of three layers, with widths [32, 16, 6], listed in ascending order. A full list of network hyperparameters for both our MNIST and CIFAR10-trained networks can be found in the Supplemental Methods.\nAll synaptic weights and parameters in our networks were trained via the Wake-Sleep algorithm (Hinton et al., 1995), which is known to produce ‘local’ parameter updates for a wide range of neuron models (and rate or spike-based output distributions), though the specific functional form of the update may vary depending on the neuron model chosen (Bredenberg et al., 2024). These updates, for reasonable choices of neural network architecture, can be interpreted as predictions for how synaptic plasticity should look in the brain, if learning were really occurring via the Wake-Sleep algorithm or some approximation thereof.\nConsider a generic inference (basal dendrite) parameter for neuron i\\begin{document}$i$\\end{document}, θb∈{win(l),Win(l),bi(l),cin(l):n=0,...,Nd}\\begin{document}$\\theta_{b}\\in\\{w^{(l)}_{in},\\mathbf{W}^{(l)}_{in},b^{(l)}_{i},c^{(l)}_{in}:n=0 ,...,N_{d}\\}$\\end{document}. The Wake-Sleep algorithm gives the following update, for a single stimulus presentation:(4)Δθb=(α)η(ri(l)−hi(r(l−1),θb))σb2∂hi(r(l−1),θb)∂θb,\\begin{document}$$\\displaystyle \\Delta\\theta_{b}=(\\alpha)\\eta\\frac{\\left(\\mathbf{r}^{(l)}_{i}-h_{i}(\\mathbf{r}^{(l-1)},\\theta_{b})\\right)}{\\sigma^{2}_{b}}\\frac{\\partial h_{i}(\\mathbf{r}^{(l-1)},\\theta_{b})}{\\partial\\theta_{b}},$$\\end{document}\nwhere η is a learning rate, and the gate α ensures that learning only occurs during sleep mode. Furthermore, for reasons of computational efficiency, we average weight updates across a batch of 512 stimulus presentations; similar results could in principle be obtained with purely online updates (Williams et al., 2023), but we opted to present stimuli in batches here in order to parallelize computations. ∂hi(r(l−1),θb)∂θb\\begin{document}$\\frac{\\partial h_{i}(\\mathbf{r}^{(l-1)},\\theta_{b})}{\\partial \\theta_{b}}$\\end{document} changes depending on the parameter θ, reflecting that particular parameter’s contribution to basal dendritic activity. For a dendritic branch weight win(l)\\begin{document}$w_{in}^{(l)}$\\end{document}, we have:(5)∂hi(r(l−1),win(l))∂win(l)=ϕ′(vitotal)ϕd(vin),\\begin{document}$$\\displaystyle \\frac{\\partial h_{i}(\\mathbf{r}^{(l-1)},w_{in}^{(l)})}{\\partial w_{in}^{(l)}}=\\phi^{\\prime}(\\mathbf{v}^{total}_{i})\\phi_{d}(\\mathbf{v}_{in}),$$\\end{document}\nwhere vitotal\\begin{document}$\\mathbf{v}_{i}^{total}$\\end{document} is the total input to the basal dendritic compartment, and vin=Win(l)r(l−1)+cin(l)\\begin{document}$\\mathbf{v}_{in}=\\mathbf{W}^{(l)}_{in}\\mathbf{r}^{(l-1)}+c^{(l)}_{in}$\\end{document} is the total input to the nth dendritic branch. This update has the functional form of a classical ‘delta’ learning rule (Widrow and Lehr, 1990), where a compartmental prediction error between local dendritic activity and neuronal firing rate is multiplicatively combined with branch-specific input to provide changes in the conductance for the nth branch. Similarly, for the jth synapse on the nth dendritic branch, Winj(l)\\begin{document}$\\mathbf{W}_{inj}^{(l)}$\\end{document}, we have:(6)∂hi(r(l−1),Winj(l))∂Winj(l)=ϕ′(vitotal)win(l)ϕ′(vin)rj(l−1).\\begin{document}$$\\displaystyle \\frac{\\partial h_{i}\\left(\\mathbf{r}^{(l-1)},\\mathbf{W}_{inj}^{(l)}\\right)}{\\partial\\mathbf{W}_{inj}^{(l)}}=\\phi^{\\prime}(\\mathbf{v}^{total}_{i})w_{in}^{(l)}\\phi^{\\prime}(\\mathbf{v}_{in})\\mathbf{r}^{(l-1)}_{j}.$$\\end{document}\nUnlike for simple one-compartment neuron models, the computation of parameter updates for dendritic synapses Winj(l)\\begin{document}$\\mathbf{W}_{inj}^{(l)}$\\end{document} requires weighting the ‘delta’ error by the conductance of the corresponding dendritic branch (win\\begin{document}$w_{in}$\\end{document}), which could be approximated by the passive diffusion of signaling molecules from the principal basal dendritic compartment back along dendritic branches to individual synapses.\nFor generative parameters (θp∈{min(l),Min(l),ai(l),din(l):n=0,...,Nd}\\begin{document}$\\theta_{p}\\in\\{m^{(l)}_{in},\\mathbf{M}^{(l)}_{in},a^{(l)}_{i},d^{(l)}_{in}:n=0 ,...,N_{d}\\}$\\end{document}), we have a nearly identical update for a single stimulus presentation:(7)Δθp=(1−α)η(ri(l)−μi(r(l+1),θp))σp2∂μi(r(l+1),θp)∂θp,\\begin{document}$$\\displaystyle  \\Delta \\theta_{p} = (1 - \\alpha) \\eta \\frac{\\left (\\mathbf{r}^{(l)}_{i} - \\mu_{i}(\\mathbf{r}^{(l+1)}, \\theta_{p}) \\right) }{\\sigma^{2}_{p}}\\frac{\\partial\\mu_{i}(\\mathbf{r}^{(l+1)}, \\theta_p)}{\\partial\\theta_p},$$\\end{document}\nwhere now input in the apical dendritic compartment, μi(r(l+1))\\begin{document}$\\mu_{i}(\\mathbf{r}^{(l+1)})$\\end{document}, is being compared to the activity of the neuron as a whole to determine the magnitude and sign of plasticity. The (1−α)\\begin{document}$(1-\\alpha)$\\end{document} gate in this case ensures that plasticity only occurs during the Wake mode. We provide pseudocode (Supplementary file 4) for our Wake-Sleep implementation, as well as a full list of algorithm and optimizer hyperparameters (Supplementary files 1 and 2) in the Supplemental materials (Code for reproducing all results from Wake-Sleep-trained models this study is available here: https://github.com/colinbredenberg/oneirogen-hypothesis, copy archived at Bredenberg, 2024).\nDuring training, neural network activity is either dominated entirely by bottom-up inputs (Wake, α=0\\begin{document}$\\alpha=0$\\end{document}) or by top-down inputs (Sleep, α=1\\begin{document}$\\alpha=1$\\end{document}). As a consequence, sampling neural activity is computationally low-cost and can be performed in a single time step. During Wake, one can take a sampled stimulus variable s\\begin{document}$\\mathbf{s}$\\end{document}, determine the activity at layer 1, then 2, and so on until layer L\\begin{document}$L$\\end{document}, while during Sleep, one can sample a latent network state in layer L\\begin{document}$L$\\end{document} and traverse the layers in reverse order, down to the stimulus layer. However, this is not possible if α∉{0,1}\\begin{document}$\\alpha\\notin\\{0,1\\}$\\end{document}, because activity in each layer l\\begin{document}$l$\\end{document} should depend simultaneously on layer l+1\\begin{document}$l+1$\\end{document} and layer l−1\\begin{document}$l-1$\\end{document}. For this reason, we chose to model hallucinatory neural activity dynamically, as follows:(8)rt(l)=(1−1τ)rt−1(l)+1τf(h(rt−1),μ(rt−1),α)+f(σb,σp,α)τηt−1,\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}_{t} = (1 - \\frac{1}{\\tau}) \\mathbf{r}^{(l)}_{t-1}+ \\frac{1}{\\tau}f\\left (h(\\mathbf{r}_{t-1}), \\mu(\\mathbf{r}_{t-1}), \\alpha \\right) + \\frac{f(\\sigma_{b}, \\sigma_{p}, \\alpha)}{\\sqrt{\\tau}}\\boldsymbol \\eta_{t-1},$$\\end{document}\nwhere τ is a time constant that determines how much of the previous network state is retained, and ηt−1∼N(0,I)\\begin{document}$\\boldsymbol{\\eta}_{t-1}\\sim\\mathcal{N}(0,\\mathbf{I})$\\end{document}. Critically, if we take τ=1\\begin{document}$\\tau=1$\\end{document}, these dynamics reduce to the sampling procedure used during training (Equation 1). A priori, the choice of interpolation function f(a,b,α)\\begin{document}$f(a,b,\\alpha)$\\end{document} is arbitrary. We selected the following function:(9)f(a,b,α)=κlog⁡[(1−α)exp⁡aκ+αexp⁡bκ],\\begin{document}$$\\displaystyle  f(a,b,\\alpha) = \\kappa \\log \\left [(1-\\alpha) \\exp \\frac{a}{\\kappa}+ \\alpha \\exp \\frac{b}{\\kappa}\\right],$$\\end{document}\nwhere κ=0.35\\begin{document}$\\kappa=0.35$\\end{document} is a free parameter. This function is equivalent to linear interpolation as κ→∞\\begin{document}$\\kappa\\rightarrow\\infty$\\end{document}, and is equivalent to the maximum function between arguments a\\begin{document}$a$\\end{document} and b\\begin{document}$b$\\end{document} as κ→0\\begin{document}$\\kappa\\rightarrow 0$\\end{document} if α=0.5\\begin{document}$\\alpha=0.5$\\end{document}. By selecting κ=0.35\\begin{document}$\\kappa=0.35$\\end{document}, we are biasing the system towards registering positive inputs from apical or basal sources (in the inclusive sense). We found that this produced ‘hallucinatory’ percepts in stimulus space that did not reduce the intensity of input stimuli as α increased; rather, inputs maintained their intensity, and hallucinations were added on top if they were of greater intensity than the ground-truth image. All simulations were run for 800 timesteps, with τ=0.1\\begin{document}$\\tau=0.1$\\end{document}. As a control, we compared our results to network dynamics produced purely by increases in noise, without increases in apical dendritic influence (which we refer to as our noise-based hallucination protocol). For these control simulations, we produced network activity time series with the following equation:(10)rt(l)=(1−1τ)rt−1(l)+1τh(rt−1)+σb+ατηt−1,\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}_{t} = (1 - \\frac{1}{\\tau}) \\mathbf{r}^{(l)}_{t-1}+ \\frac{1}{\\tau}h(\\mathbf{r}_{t-1}) + \\frac{\\sigma_{b} + \\alpha}{\\sqrt{\\tau}}\\boldsymbol \\eta_{t-1},$$\\end{document}\nso that the standard deviation of the injected noise increased linearly with α.\nTo measure the alignment between inputs in the apical and basal dendritic compartments of our model neurons, we computed the ‘Wake’ neural responses to the full test dataset and measured the activity in both the basal and apical compartments of our neurons (h(r(l−1))\\begin{document}$h(\\mathbf{r}^{(l-1)})$\\end{document} and μ(r(l+1))\\begin{document}$\\mu(\\mathbf{r}^{(l+1)})$\\end{document}, respectively). We then calculated the correlation coefficient between apical and basal compartments for the same neuron, compared to the correlation between compartments for two randomly selected neurons.\nTo quantify the total amount of plasticity induced in our model system by the administration of psychedelic drugs, we measured the change in relative parameter strength (averaging across all synapses in the network and an ensemble of 512 test images). For each test image, we simulated network dynamics according to Equation 8. Subsequently, for each parameter θ, we calculated the net amount of plasticity induced by viewing all test images, Δθ\\begin{document}$\\Delta\\theta$\\end{document}. We subsequently reported the relative change:(11)Δθrel=|Δθ||θ|+ϵ,\\begin{document}$$\\displaystyle  \\Delta \\theta_{rel}= \\frac{|\\Delta \\theta |}{|\\theta | + \\epsilon},$$\\end{document}\nunder conditions in which α values gate plasticity (as in ordinary Wake-Sleep) and under conditions in which psychedelic drug administration does not also affect plasticity gating. Here, we took ϵ=10−2\\begin{document}$\\epsilon=10^{-2}$\\end{document} to avoid numerical instabilities.\nAs we trained our neural network using the Wake-Sleep algorithm, we simultaneously trained a separate classifier network based on Wake-phase neural activity in the second network layer on a cross-entropy loss, to identify the stimulus class of the input to the system. For our classifier, we used a multilayer perceptron neural network with a single 256-unit hidden layer and tanh⁡(⋅)\\begin{document}$\\tanh(\\cdot)$\\end{document} nonlinearities.\nWe then quantified the accuracy of the classifier on the test set, based on neural activity drawn from the final time step T\\begin{document}$T$\\end{document} of hallucination simulations with various values of α. We further measured the average variance of the 10-dimensional output logits of the neural network.\nTo quantify how similar the pairwise correlations between neurons in our model networks were before and after the administration of psychedelics, we recorded hallucinatory network dynamics for an ensemble of 512 test images and measured pairwise correlations between neurons in the first network layer. To compare these matrices, we then report the correlation coefficient between the flattened N×N\\begin{document}$N\\times N$\\end{document} matrices. For this metric, a value of 1 indicates that the correlation matrices are perfectly aligned, while a value of –1 indicates that pairwise correlations are fully inverted.\nTo quantify changes in interareal functional connectivity induced by psychedelics, we performed two different types of inactivation. In the first, we inactivated the apical dendritic compartments of all neurons in the stimulus layer and measured how this inactivation affected across-stimulus variability of neurons relative to the fully active state. In the second method, we inactivated all neurons in the deepest layer and measured the same effect in across-stimulus variability in the stimulus layer. For both inactivation schemes, we report the mean and standard error of the variance ratio:(12)VR=Varinact(r(0))+ϵvVar(r(0))+ϵv,\\begin{document}$$\\displaystyle  VR = \\frac{\\textrm{Var}_{inact}(\\mathbf{r}^{(0)}) + \\epsilon_{v}}{\\textrm{Var}(\\mathbf{r}^{(0)}) + \\epsilon_{v}},$$\\end{document}\nwhere we added ϵv=10−3\\begin{document}$\\epsilon_{v}=10^{-3}$\\end{document} to the denominator to prevent numerical instability and to the numerator to ensure that the ratio evaluates to 1 if the two variances are equivalent.\nTo model more complex hallucination phenomena than could be observed in our simpler Wake-Sleep-trained networks, we used pretrained VDVAE Child, 2020 models trained on Tiny ImageNet Wu et al., 2017, a 64×64 pixel variant of ImageNet, and FFHQ-256 Karras et al., 2019, a dataset of 256×256 pixel human faces. VDVAE models are very similar to our Wake-Sleep-trained models: they are trained on the same unsupervised representation learning objective function (the ELBO), and every layer of the multilayer network models are parameterized by a bottom-up inference distribution b\\begin{document}$b$\\end{document} and a top-down generative distribution p\\begin{document}$p$\\end{document}. VDVAE models are top-down VAEs (Sønderby et al., 2016), which means that the inference distribution is conditioned on bottom-up stimuli and latent network activity at higher layers, i.e., the distribution is written b(r(l)|h(s,r(l+1)))\\begin{document}$b(\\mathbf{r}^{(l)}|h(\\mathbf{s},\\mathbf{r}^{(l+1)}))$\\end{document}, where h(⋅)\\begin{document}$h(\\cdot)$\\end{document} is a parameterized neural network. By contrast, the generative distribution is conditioned only on top-down inputs and is written p(r(l)|μ(r(l+1)))\\begin{document}$p(\\mathbf{r}^{(l)}|\\mu(\\mathbf{r}^{(l+1)}))$\\end{document}, where μ(r(l+1))\\begin{document}$\\mu(\\mathbf{r}^{(l+1)})$\\end{document} is also a parameterized neural network.\nFor our Wake-Sleep-trained networks, we modeled hallucinations by simulating a stochastic time series at each layer (Equation 8), but for the VDVAE models, we found this to be computationally infeasible. Instead, we modeled hallucinations with a single bottom-up and top-down pass through the network, as follows:(13)r(l)=(1−α)rb(l)+(α)rp(l),\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}= (1-\\alpha) \\mathbf{r}^{(l)}_{b} + (\\alpha) \\mathbf{r}^{(l)}_{p},$$\\end{document}\nwhere rbl∼b(r(l)|h(s,r(l+1)))\\begin{document}$\\mathbf{r}^{l}_{b}\\sim b(\\mathbf{r}^{(l)}|h(\\mathbf{s},\\mathbf{r}^{(l+1)}))$\\end{document} is a sample from the inference distribution, and rpl∼p(r(l)|μ(r(l+1)))\\begin{document}$\\mathbf{r}^{l}_{p}\\sim p(\\mathbf{r}^{(l)}|\\mu(\\mathbf{r}^{(l+1)}))$\\end{document} is a sample from the generative distribution. This generation scheme is simpler and less computationally expensive than our previous method, while still producing purely Wake-stage sampling when α=0\\begin{document}$\\alpha=0$\\end{document} and Sleep-stage sampling when α=1\\begin{document}$\\alpha=1$\\end{document}; intermediate values of α correspond to modeled hallucinatory network states (Code for reproducing results obtained with pretrained VDVAE models is available here: https://github.com/colinbredenberg/vdvae, copy archived at Bredenberg, 2025). Our Laplacian pyramid analysis of generated images was performed using the Pyrtools package (Simoncelli et al., 2025).\nPsychedelic drug research has a long history fraught with many instances of unethical research practice (Strauss et al., 2022). Furthermore, psychedelic drug use itself has long been stigmatized and punished through legal measures (Bauml and Schaefer, 2016), often at the expense of indigenous peoples, who have long incorporated psychoactive substances into their cultural and spiritual practices (Samorini, 2019). In the interest of avoiding a repetition of past mistakes, we feel compelled to provide explicit guidance on how our work should be interpreted and used. To do so, we will take inspiration from two principal ethical frameworks: the Montreal Declaration on Responsible AI (Dilhac et al., 2018), and the EQUIP framework for equity-oriented healthcare (Browne et al., 2015; Rea and Wallace, 2021). We strongly encourage anyone considering extending our research or using our work in any form of clinical setting to ensure that subsequent research adheres to these frameworks.\nBelow, drawing from these ethical frameworks, we will provide a set of guidelines for how our work should be interpreted and used. Though these guidelines are by no means exhaustive, our hope is that adherence to them will help promote the potential positive outcomes of our work while limiting potential negative consequences.\nGuidelines for the ethical use of this study:\nDo:\nEnsure that the elements of our hypothesis have been adequately tested, as outlined in our discussion, before using our framework in any form of clinical or therapeutic setting.\nUse our ideas to inform further basic neuroscience research on perception, learning, sleep, and replay phenomena.\nExplore our ideas as an opportunity to inform your own understanding of cognition, learning, and perception, with the understanding that these ideas have not yet been fully validated experimentally.\nFeel free to ask us if you are worried that your proposed use of our work may have negative impacts.\nDo not:\nReport our results as scientific fact. We have outlined a hypothesis, which is designed to be tested by the experimental neuroscience community.\nCite or interpret our results without an adequate understanding of the evidence supporting the various claims made in this study. Feel free to ask us if you are worried that you may be misinterpreting our results.\nUse our results to extract undue or inequitable profit. The ideas developed in this paper are the product of decades of research and public funding, built upon centuries of exploration of psychedelics. Any knowledge or value contained within this paper is the common heritage of all humanity, with particular recognition due to the indigenous and marginalized communities that have historically suffered and are currently suffering from oppressive government and industry policies.\nUse our results for any application that could violate human rights or harm human beings in any way.\n\n\n### Model architecture and training\nTo model the effects of psychedelics on neural network dynamics and plasticity, we first constructed a simple model of the early visual system by training neural networks on two different image datasets (MNIST Deng, 2012 and CIFAR10 Krizhevsky and Hinton, 2009). Networks were trained with the Wake-Sleep algorithm (Hinton et al., 1995), which requires, for each layer, two modes of stochastic network activity: a ‘generative mode,’ and an ‘inference mode.’ For the ‘inference’ mode, we must specify a probability distribution b(r(l)|r(l−1))\\begin{document}$b(\\mathbf{r}^{(l)}|\\mathbf{r}^{(l-1)})$\\end{document}, while for the ‘generative’ mode, we must specify a separate distribution p(r(l)|r(l+1))\\begin{document}$p(\\mathbf{r}^{(l)}|\\mathbf{r}^{(l+1)})$\\end{document} (As a notational convention, we will use letters when referring to mathematical objects from the generative, top-down distribution, and their vertical reflection when referring to the inference, bottom-up distribution (e.g. p and b)). Notice here that activity in ‘inference’ mode is conditioned on ‘bottom-up’ network states (r(l−1)\\begin{document}$\\mathbf{r}^{(l-1)}$\\end{document}), while activity in generative mode is conditioned on ‘top-down’ network states (r(l+1)\\begin{document}$\\mathbf{r}^{(l+1)}$\\end{document}) (Figure 1a).\nThe ‘inference mode’ specifies a probability distribution over neural activity, conditioned on the next-lower layer (where the lowest layer is the stimulus layer, i.e., r(0)=s\\begin{document}$\\mathbf{r}^{(0)}=\\mathbf{s}$\\end{document})—mechanistically, it corresponds to activity generated by feedforward projections. To increase the expressive power of our neural units, we use multicompartmental neuron models similar to Poirazi et al., 2003 with Nd\\begin{document}$N_{d}$\\end{document} dendritic compartments, whose voltages are summed nonlinearly to form the full input to the basal dendrites. For l>0\\begin{document}$l > 0$\\end{document}, layer activity is sampled from the distribution r(l)∼N(h(r(l−1)),σb2I)\\begin{document}$\\mathbf{r}^{(l)}\\sim\\mathcal{N}(h(\\mathbf{r}^{(l-1)}),\\sigma_{b}^{2}\\mathbf{I})$\\end{document}, where for neuron i\\begin{document}$i$\\end{document} in layer l\\begin{document}$l$\\end{document}, hi(r(l−1))\\begin{document}$h_{i}(\\mathbf{r}^{(l-1)})$\\end{document} is given by:(2)hi(r(l−1))=ϕ(∑n=0Ndwin(l)ϕd(Win(l)r(l−1)+cin(l))+bi(l)),\\begin{document}$$\\displaystyle  h_{i}(\\mathbf{r}^{(l-1)}) = \\phi \\left (\\sum_{n=0}^{N_d}w_{in}^{(l)}\\phi_{d} \\left (\\mathbf{W}^{(l)}_{in}\\mathbf{r}^{(l-1)}+ c^{(l)}_{in}\\right) + b^{(l)}_{i} \\right),$$\\end{document}\nwhere Win(l)\\begin{document}$\\mathbf{W}^{(l)}_{in}$\\end{document} is a 1×N(l−1)\\begin{document}$1\\times N^{(l-1)}$\\end{document} matrix of synaptic weights onto dendrite n\\begin{document}$n$\\end{document}, cin\\begin{document}$c_{in}$\\end{document} is the corresponding bias for the nth dendritic compartment, win(l)\\begin{document}$w^{(l)}_{in}$\\end{document} is the strictly positive weight given to the nth dendritic branch (roughly corresponding to a conductance), and bi(l)\\begin{document}$b^{(l)}_{i}$\\end{document} is the bias for the entire basal compartment. ϕd(⋅)\\begin{document}$\\phi_{d}(\\cdot)$\\end{document} and ϕ(⋅)\\begin{document}$\\phi(\\cdot)$\\end{document} are nonlinearities for the dendritic branches and the total basal compartment, respectively: both are the sequential composition of the tanh\\begin{document}$\\tanh$\\end{document} nonlinearity, followed by batch normalization (Ioffe, 2015). For the dendritic branch nonlinearities, we allow for learnable affine parameters (scale and bias), but for the entire basal dendritic compartment, we constrain activity to be zero-mean and unit variance across batches in order to prevent indeterminacy between apical and basal scale parameters. For the final inference layer r(L)\\begin{document}$\\mathbf{r}^{(L)}$\\end{document}, as in the variational autoencoder (Rezende et al., 2014), we parameterize both the mean and a diagonal covariance matrix of the inference distribution: r(L)∼N(h(r(L−1)),diag(h2(r(L−1))))\\begin{document}$\\mathbf{r}^{(L)}\\sim\\mathcal{N}\\left(h(\\mathbf{r}^{(L-1)}),\\mathrm{diag}(h_{2} (\\mathbf{r}^{(L-1)}))\\right)$\\end{document}, where h2(⋅)\\begin{document}$h_{2}(\\cdot)$\\end{document} is also a multicompartmental model, in this case replacing the final batch normalization with an exponential nonlinearity to ensure positivity.\nThe ‘generative’ mode specifies a probability distribution over neural activity, conditioned on the next-higher layer—it corresponds mechanistically to activity generated by feedback projections. The highest layer, r(L)\\begin{document}$\\mathbf{r}^{(L)}$\\end{document} is sampled from an N(L)\\begin{document}$N^{(L)}$\\end{document}-dimensional independent standard normal distribution, r(L)∼N(0,I)\\begin{document}$\\mathbf{r}^{(L)}\\sim\\mathcal{N}(0,\\mathbf{I})$\\end{document}, and all subsequent layers are sampled from the distribution r(l)∼N(μ(r(l+1)),σp2I)\\begin{document}$\\mathbf{r}^{(l)}\\sim\\mathcal{N}(\\mu(\\mathbf{r}^{(l+1)}),\\sigma_{p}^{2}\\mathbf{ I})$\\end{document}, where for the ith neuron, μi(r(l+1))\\begin{document}$\\mu_{i}(\\mathbf{r}^{(l+1)})$\\end{document} is given by:(3)μi(r(l+1))=ϕ(∑n=0Ndmin(l)ϕd(Min(l)r(l+1)+din(l))+ai(l)),\\begin{document}$$\\displaystyle  \\mu_{i}(\\mathbf{r}^{(l+1)}) = \\phi \\left (\\sum_{n=0}^{N_d}m_{in}^{(l)}\\phi_{d} \\left (\\mathbf{M}^{(l)}_{in}\\mathbf{r}^{(l+1)}+ d^{(l)}_{in}\\right) + a^{(l)}_{i} \\right),$$\\end{document}\nwhere Min(l)\\begin{document}$\\mathbf{M}^{(l)}_{in}$\\end{document} is a 1×N(l+1)\\begin{document}$1\\times N^{(l+1)}$\\end{document} matrix of synaptic weights onto apical dendritic branch n\\begin{document}$n$\\end{document}, din(l)\\begin{document}$d_{in}^{(l)}$\\end{document} is the corresponding bias for the nth dendritic compartment, min(l)\\begin{document}$m^{(l)}_{in}$\\end{document} is the strictly positive weight given to the nth dendritic branch, and ai(l)\\begin{document}$a^{(l)}_{i}$\\end{document} is the bias for the entire apical compartment. Again, ϕd(⋅)\\begin{document}$\\phi_{d}(\\cdot)$\\end{document} and ϕ(⋅)\\begin{document}$\\phi(\\cdot)$\\end{document} are nonlinearities, identical to the inference (basal) pathway.\nWhile the neuron model used here is more complicated than is normally used for single-unit neuron models, functions of this kind could feasibly be implemented by nonlinear dendritic computations (Poirazi et al., 2003); we further found that using this nonlinearity qualitatively improved generative performance (Figure 2—figure supplement 2). Given these parameterized probability distributions, we then determined the neural activity for each layer l\\begin{document}$l$\\end{document} according to Equation 1. Our network trained on MNIST was composed of three layers, with widths [32, 16, 6], listed in ascending order. A full list of network hyperparameters for both our MNIST and CIFAR10-trained networks can be found in the Supplemental Methods.\nAll synaptic weights and parameters in our networks were trained via the Wake-Sleep algorithm (Hinton et al., 1995), which is known to produce ‘local’ parameter updates for a wide range of neuron models (and rate or spike-based output distributions), though the specific functional form of the update may vary depending on the neuron model chosen (Bredenberg et al., 2024). These updates, for reasonable choices of neural network architecture, can be interpreted as predictions for how synaptic plasticity should look in the brain, if learning were really occurring via the Wake-Sleep algorithm or some approximation thereof.\nConsider a generic inference (basal dendrite) parameter for neuron i\\begin{document}$i$\\end{document}, θb∈{win(l),Win(l),bi(l),cin(l):n=0,...,Nd}\\begin{document}$\\theta_{b}\\in\\{w^{(l)}_{in},\\mathbf{W}^{(l)}_{in},b^{(l)}_{i},c^{(l)}_{in}:n=0 ,...,N_{d}\\}$\\end{document}. The Wake-Sleep algorithm gives the following update, for a single stimulus presentation:(4)Δθb=(α)η(ri(l)−hi(r(l−1),θb))σb2∂hi(r(l−1),θb)∂θb,\\begin{document}$$\\displaystyle \\Delta\\theta_{b}=(\\alpha)\\eta\\frac{\\left(\\mathbf{r}^{(l)}_{i}-h_{i}(\\mathbf{r}^{(l-1)},\\theta_{b})\\right)}{\\sigma^{2}_{b}}\\frac{\\partial h_{i}(\\mathbf{r}^{(l-1)},\\theta_{b})}{\\partial\\theta_{b}},$$\\end{document}\nwhere η is a learning rate, and the gate α ensures that learning only occurs during sleep mode. Furthermore, for reasons of computational efficiency, we average weight updates across a batch of 512 stimulus presentations; similar results could in principle be obtained with purely online updates (Williams et al., 2023), but we opted to present stimuli in batches here in order to parallelize computations. ∂hi(r(l−1),θb)∂θb\\begin{document}$\\frac{\\partial h_{i}(\\mathbf{r}^{(l-1)},\\theta_{b})}{\\partial \\theta_{b}}$\\end{document} changes depending on the parameter θ, reflecting that particular parameter’s contribution to basal dendritic activity. For a dendritic branch weight win(l)\\begin{document}$w_{in}^{(l)}$\\end{document}, we have:(5)∂hi(r(l−1),win(l))∂win(l)=ϕ′(vitotal)ϕd(vin),\\begin{document}$$\\displaystyle \\frac{\\partial h_{i}(\\mathbf{r}^{(l-1)},w_{in}^{(l)})}{\\partial w_{in}^{(l)}}=\\phi^{\\prime}(\\mathbf{v}^{total}_{i})\\phi_{d}(\\mathbf{v}_{in}),$$\\end{document}\nwhere vitotal\\begin{document}$\\mathbf{v}_{i}^{total}$\\end{document} is the total input to the basal dendritic compartment, and vin=Win(l)r(l−1)+cin(l)\\begin{document}$\\mathbf{v}_{in}=\\mathbf{W}^{(l)}_{in}\\mathbf{r}^{(l-1)}+c^{(l)}_{in}$\\end{document} is the total input to the nth dendritic branch. This update has the functional form of a classical ‘delta’ learning rule (Widrow and Lehr, 1990), where a compartmental prediction error between local dendritic activity and neuronal firing rate is multiplicatively combined with branch-specific input to provide changes in the conductance for the nth branch. Similarly, for the jth synapse on the nth dendritic branch, Winj(l)\\begin{document}$\\mathbf{W}_{inj}^{(l)}$\\end{document}, we have:(6)∂hi(r(l−1),Winj(l))∂Winj(l)=ϕ′(vitotal)win(l)ϕ′(vin)rj(l−1).\\begin{document}$$\\displaystyle \\frac{\\partial h_{i}\\left(\\mathbf{r}^{(l-1)},\\mathbf{W}_{inj}^{(l)}\\right)}{\\partial\\mathbf{W}_{inj}^{(l)}}=\\phi^{\\prime}(\\mathbf{v}^{total}_{i})w_{in}^{(l)}\\phi^{\\prime}(\\mathbf{v}_{in})\\mathbf{r}^{(l-1)}_{j}.$$\\end{document}\nUnlike for simple one-compartment neuron models, the computation of parameter updates for dendritic synapses Winj(l)\\begin{document}$\\mathbf{W}_{inj}^{(l)}$\\end{document} requires weighting the ‘delta’ error by the conductance of the corresponding dendritic branch (win\\begin{document}$w_{in}$\\end{document}), which could be approximated by the passive diffusion of signaling molecules from the principal basal dendritic compartment back along dendritic branches to individual synapses.\nFor generative parameters (θp∈{min(l),Min(l),ai(l),din(l):n=0,...,Nd}\\begin{document}$\\theta_{p}\\in\\{m^{(l)}_{in},\\mathbf{M}^{(l)}_{in},a^{(l)}_{i},d^{(l)}_{in}:n=0 ,...,N_{d}\\}$\\end{document}), we have a nearly identical update for a single stimulus presentation:(7)Δθp=(1−α)η(ri(l)−μi(r(l+1),θp))σp2∂μi(r(l+1),θp)∂θp,\\begin{document}$$\\displaystyle  \\Delta \\theta_{p} = (1 - \\alpha) \\eta \\frac{\\left (\\mathbf{r}^{(l)}_{i} - \\mu_{i}(\\mathbf{r}^{(l+1)}, \\theta_{p}) \\right) }{\\sigma^{2}_{p}}\\frac{\\partial\\mu_{i}(\\mathbf{r}^{(l+1)}, \\theta_p)}{\\partial\\theta_p},$$\\end{document}\nwhere now input in the apical dendritic compartment, μi(r(l+1))\\begin{document}$\\mu_{i}(\\mathbf{r}^{(l+1)})$\\end{document}, is being compared to the activity of the neuron as a whole to determine the magnitude and sign of plasticity. The (1−α)\\begin{document}$(1-\\alpha)$\\end{document} gate in this case ensures that plasticity only occurs during the Wake mode. We provide pseudocode (Supplementary file 4) for our Wake-Sleep implementation, as well as a full list of algorithm and optimizer hyperparameters (Supplementary files 1 and 2) in the Supplemental materials (Code for reproducing all results from Wake-Sleep-trained models this study is available here: https://github.com/colinbredenberg/oneirogen-hypothesis, copy archived at Bredenberg, 2024).\n\n\n### Modeling hallucinations\nDuring training, neural network activity is either dominated entirely by bottom-up inputs (Wake, α=0\\begin{document}$\\alpha=0$\\end{document}) or by top-down inputs (Sleep, α=1\\begin{document}$\\alpha=1$\\end{document}). As a consequence, sampling neural activity is computationally low-cost and can be performed in a single time step. During Wake, one can take a sampled stimulus variable s\\begin{document}$\\mathbf{s}$\\end{document}, determine the activity at layer 1, then 2, and so on until layer L\\begin{document}$L$\\end{document}, while during Sleep, one can sample a latent network state in layer L\\begin{document}$L$\\end{document} and traverse the layers in reverse order, down to the stimulus layer. However, this is not possible if α∉{0,1}\\begin{document}$\\alpha\\notin\\{0,1\\}$\\end{document}, because activity in each layer l\\begin{document}$l$\\end{document} should depend simultaneously on layer l+1\\begin{document}$l+1$\\end{document} and layer l−1\\begin{document}$l-1$\\end{document}. For this reason, we chose to model hallucinatory neural activity dynamically, as follows:(8)rt(l)=(1−1τ)rt−1(l)+1τf(h(rt−1),μ(rt−1),α)+f(σb,σp,α)τηt−1,\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}_{t} = (1 - \\frac{1}{\\tau}) \\mathbf{r}^{(l)}_{t-1}+ \\frac{1}{\\tau}f\\left (h(\\mathbf{r}_{t-1}), \\mu(\\mathbf{r}_{t-1}), \\alpha \\right) + \\frac{f(\\sigma_{b}, \\sigma_{p}, \\alpha)}{\\sqrt{\\tau}}\\boldsymbol \\eta_{t-1},$$\\end{document}\nwhere τ is a time constant that determines how much of the previous network state is retained, and ηt−1∼N(0,I)\\begin{document}$\\boldsymbol{\\eta}_{t-1}\\sim\\mathcal{N}(0,\\mathbf{I})$\\end{document}. Critically, if we take τ=1\\begin{document}$\\tau=1$\\end{document}, these dynamics reduce to the sampling procedure used during training (Equation 1). A priori, the choice of interpolation function f(a,b,α)\\begin{document}$f(a,b,\\alpha)$\\end{document} is arbitrary. We selected the following function:(9)f(a,b,α)=κlog⁡[(1−α)exp⁡aκ+αexp⁡bκ],\\begin{document}$$\\displaystyle  f(a,b,\\alpha) = \\kappa \\log \\left [(1-\\alpha) \\exp \\frac{a}{\\kappa}+ \\alpha \\exp \\frac{b}{\\kappa}\\right],$$\\end{document}\nwhere κ=0.35\\begin{document}$\\kappa=0.35$\\end{document} is a free parameter. This function is equivalent to linear interpolation as κ→∞\\begin{document}$\\kappa\\rightarrow\\infty$\\end{document}, and is equivalent to the maximum function between arguments a\\begin{document}$a$\\end{document} and b\\begin{document}$b$\\end{document} as κ→0\\begin{document}$\\kappa\\rightarrow 0$\\end{document} if α=0.5\\begin{document}$\\alpha=0.5$\\end{document}. By selecting κ=0.35\\begin{document}$\\kappa=0.35$\\end{document}, we are biasing the system towards registering positive inputs from apical or basal sources (in the inclusive sense). We found that this produced ‘hallucinatory’ percepts in stimulus space that did not reduce the intensity of input stimuli as α increased; rather, inputs maintained their intensity, and hallucinations were added on top if they were of greater intensity than the ground-truth image. All simulations were run for 800 timesteps, with τ=0.1\\begin{document}$\\tau=0.1$\\end{document}. As a control, we compared our results to network dynamics produced purely by increases in noise, without increases in apical dendritic influence (which we refer to as our noise-based hallucination protocol). For these control simulations, we produced network activity time series with the following equation:(10)rt(l)=(1−1τ)rt−1(l)+1τh(rt−1)+σb+ατηt−1,\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}_{t} = (1 - \\frac{1}{\\tau}) \\mathbf{r}^{(l)}_{t-1}+ \\frac{1}{\\tau}h(\\mathbf{r}_{t-1}) + \\frac{\\sigma_{b} + \\alpha}{\\sqrt{\\tau}}\\boldsymbol \\eta_{t-1},$$\\end{document}\nso that the standard deviation of the injected noise increased linearly with α.\n\n\n### Apical and basal alignment\nTo measure the alignment between inputs in the apical and basal dendritic compartments of our model neurons, we computed the ‘Wake’ neural responses to the full test dataset and measured the activity in both the basal and apical compartments of our neurons (h(r(l−1))\\begin{document}$h(\\mathbf{r}^{(l-1)})$\\end{document} and μ(r(l+1))\\begin{document}$\\mu(\\mathbf{r}^{(l+1)})$\\end{document}, respectively). We then calculated the correlation coefficient between apical and basal compartments for the same neuron, compared to the correlation between compartments for two randomly selected neurons.\n\n\n### Quantifying plasticity\nTo quantify the total amount of plasticity induced in our model system by the administration of psychedelic drugs, we measured the change in relative parameter strength (averaging across all synapses in the network and an ensemble of 512 test images). For each test image, we simulated network dynamics according to Equation 8. Subsequently, for each parameter θ, we calculated the net amount of plasticity induced by viewing all test images, Δθ\\begin{document}$\\Delta\\theta$\\end{document}. We subsequently reported the relative change:(11)Δθrel=|Δθ||θ|+ϵ,\\begin{document}$$\\displaystyle  \\Delta \\theta_{rel}= \\frac{|\\Delta \\theta |}{|\\theta | + \\epsilon},$$\\end{document}\nunder conditions in which α values gate plasticity (as in ordinary Wake-Sleep) and under conditions in which psychedelic drug administration does not also affect plasticity gating. Here, we took ϵ=10−2\\begin{document}$\\epsilon=10^{-2}$\\end{document} to avoid numerical instabilities.\n\n\n### Classifier training\nAs we trained our neural network using the Wake-Sleep algorithm, we simultaneously trained a separate classifier network based on Wake-phase neural activity in the second network layer on a cross-entropy loss, to identify the stimulus class of the input to the system. For our classifier, we used a multilayer perceptron neural network with a single 256-unit hidden layer and tanh⁡(⋅)\\begin{document}$\\tanh(\\cdot)$\\end{document} nonlinearities.\nWe then quantified the accuracy of the classifier on the test set, based on neural activity drawn from the final time step T\\begin{document}$T$\\end{document} of hallucination simulations with various values of α. We further measured the average variance of the 10-dimensional output logits of the neural network.\n\n\n### Quantifying correlation matrix similarity before and after psychedelics\nTo quantify how similar the pairwise correlations between neurons in our model networks were before and after the administration of psychedelics, we recorded hallucinatory network dynamics for an ensemble of 512 test images and measured pairwise correlations between neurons in the first network layer. To compare these matrices, we then report the correlation coefficient between the flattened N×N\\begin{document}$N\\times N$\\end{document} matrices. For this metric, a value of 1 indicates that the correlation matrices are perfectly aligned, while a value of –1 indicates that pairwise correlations are fully inverted.\n\n\n### Quantifying interareal causality through inactivations\nTo quantify changes in interareal functional connectivity induced by psychedelics, we performed two different types of inactivation. In the first, we inactivated the apical dendritic compartments of all neurons in the stimulus layer and measured how this inactivation affected across-stimulus variability of neurons relative to the fully active state. In the second method, we inactivated all neurons in the deepest layer and measured the same effect in across-stimulus variability in the stimulus layer. For both inactivation schemes, we report the mean and standard error of the variance ratio:(12)VR=Varinact(r(0))+ϵvVar(r(0))+ϵv,\\begin{document}$$\\displaystyle  VR = \\frac{\\textrm{Var}_{inact}(\\mathbf{r}^{(0)}) + \\epsilon_{v}}{\\textrm{Var}(\\mathbf{r}^{(0)}) + \\epsilon_{v}},$$\\end{document}\nwhere we added ϵv=10−3\\begin{document}$\\epsilon_{v}=10^{-3}$\\end{document} to the denominator to prevent numerical instability and to the numerator to ensure that the ratio evaluates to 1 if the two variances are equivalent.\n\n\n### Generating hallucinations in hierarchical variational autoencoders\nTo model more complex hallucination phenomena than could be observed in our simpler Wake-Sleep-trained networks, we used pretrained VDVAE Child, 2020 models trained on Tiny ImageNet Wu et al., 2017, a 64×64 pixel variant of ImageNet, and FFHQ-256 Karras et al., 2019, a dataset of 256×256 pixel human faces. VDVAE models are very similar to our Wake-Sleep-trained models: they are trained on the same unsupervised representation learning objective function (the ELBO), and every layer of the multilayer network models are parameterized by a bottom-up inference distribution b\\begin{document}$b$\\end{document} and a top-down generative distribution p\\begin{document}$p$\\end{document}. VDVAE models are top-down VAEs (Sønderby et al., 2016), which means that the inference distribution is conditioned on bottom-up stimuli and latent network activity at higher layers, i.e., the distribution is written b(r(l)|h(s,r(l+1)))\\begin{document}$b(\\mathbf{r}^{(l)}|h(\\mathbf{s},\\mathbf{r}^{(l+1)}))$\\end{document}, where h(⋅)\\begin{document}$h(\\cdot)$\\end{document} is a parameterized neural network. By contrast, the generative distribution is conditioned only on top-down inputs and is written p(r(l)|μ(r(l+1)))\\begin{document}$p(\\mathbf{r}^{(l)}|\\mu(\\mathbf{r}^{(l+1)}))$\\end{document}, where μ(r(l+1))\\begin{document}$\\mu(\\mathbf{r}^{(l+1)})$\\end{document} is also a parameterized neural network.\nFor our Wake-Sleep-trained networks, we modeled hallucinations by simulating a stochastic time series at each layer (Equation 8), but for the VDVAE models, we found this to be computationally infeasible. Instead, we modeled hallucinations with a single bottom-up and top-down pass through the network, as follows:(13)r(l)=(1−α)rb(l)+(α)rp(l),\\begin{document}$$\\displaystyle  \\mathbf{r}^{(l)}= (1-\\alpha) \\mathbf{r}^{(l)}_{b} + (\\alpha) \\mathbf{r}^{(l)}_{p},$$\\end{document}\nwhere rbl∼b(r(l)|h(s,r(l+1)))\\begin{document}$\\mathbf{r}^{l}_{b}\\sim b(\\mathbf{r}^{(l)}|h(\\mathbf{s},\\mathbf{r}^{(l+1)}))$\\end{document} is a sample from the inference distribution, and rpl∼p(r(l)|μ(r(l+1)))\\begin{document}$\\mathbf{r}^{l}_{p}\\sim p(\\mathbf{r}^{(l)}|\\mu(\\mathbf{r}^{(l+1)}))$\\end{document} is a sample from the generative distribution. This generation scheme is simpler and less computationally expensive than our previous method, while still producing purely Wake-stage sampling when α=0\\begin{document}$\\alpha=0$\\end{document} and Sleep-stage sampling when α=1\\begin{document}$\\alpha=1$\\end{document}; intermediate values of α correspond to modeled hallucinatory network states (Code for reproducing results obtained with pretrained VDVAE models is available here: https://github.com/colinbredenberg/vdvae, copy archived at Bredenberg, 2025). Our Laplacian pyramid analysis of generated images was performed using the Pyrtools package (Simoncelli et al., 2025).\n\n\n### Ethics declarations\nPsychedelic drug research has a long history fraught with many instances of unethical research practice (Strauss et al., 2022). Furthermore, psychedelic drug use itself has long been stigmatized and punished through legal measures (Bauml and Schaefer, 2016), often at the expense of indigenous peoples, who have long incorporated psychoactive substances into their cultural and spiritual practices (Samorini, 2019). In the interest of avoiding a repetition of past mistakes, we feel compelled to provide explicit guidance on how our work should be interpreted and used. To do so, we will take inspiration from two principal ethical frameworks: the Montreal Declaration on Responsible AI (Dilhac et al., 2018), and the EQUIP framework for equity-oriented healthcare (Browne et al., 2015; Rea and Wallace, 2021). We strongly encourage anyone considering extending our research or using our work in any form of clinical setting to ensure that subsequent research adheres to these frameworks.\nBelow, drawing from these ethical frameworks, we will provide a set of guidelines for how our work should be interpreted and used. Though these guidelines are by no means exhaustive, our hope is that adherence to them will help promote the potential positive outcomes of our work while limiting potential negative consequences.\nGuidelines for the ethical use of this study:\nDo:\nEnsure that the elements of our hypothesis have been adequately tested, as outlined in our discussion, before using our framework in any form of clinical or therapeutic setting.\nUse our ideas to inform further basic neuroscience research on perception, learning, sleep, and replay phenomena.\nExplore our ideas as an opportunity to inform your own understanding of cognition, learning, and perception, with the understanding that these ideas have not yet been fully validated experimentally.\nFeel free to ask us if you are worried that your proposed use of our work may have negative impacts.\nDo not:\nReport our results as scientific fact. We have outlined a hypothesis, which is designed to be tested by the experimental neuroscience community.\nCite or interpret our results without an adequate understanding of the evidence supporting the various claims made in this study. Feel free to ask us if you are worried that you may be misinterpreting our results.\nUse our results to extract undue or inequitable profit. The ideas developed in this paper are the product of decades of research and public funding, built upon centuries of exploration of psychedelics. Any knowledge or value contained within this paper is the common heritage of all humanity, with particular recognition due to the indigenous and marginalized communities that have historically suffered and are currently suffering from oppressive government and industry policies.\nUse our results for any application that could violate human rights or harm human beings in any way.", "domain": "affective_neuroscience"}
{"source": "PMC13096309", "title": "Integrative analysis of gut microbiota and plasma metabolites reveals mechanisms underlying aggressive behavior in chronically stressed broiler chickens", "text": "# Integrative analysis of gut microbiota and plasma metabolites reveals mechanisms underlying aggressive behavior in chronically stressed broiler chickens\n\n## Abstract\nChronic stress in livestock production affects animal welfare and productivity, often leading to aggressive behavior in broiler chickens. We exposed broiler chickens to chronic corticosterone to simulate stress and compared them to controls, evaluating production performance, hypothalamic serotonin levels, cecal microbiota, plasma metabolites, and aggression. In this study, broiler chickens were divided into two groups following corticosterone injection: the control group (CON) and the chronic corticosterone exposure group (CORT). Stressed chickens showed reduced growth, lower hypothalamic serotonin, and increased aggression. Gut microbiota changes included increased Clostridium and decreased Actinomycetales and Coriobacteriaceae, correlating with aggression. Plasma metabolomics revealed that indole and O-acetylcarnitine. butyryl-lcarnitine, 6-hydroxydaidzein, guanidinoacetate, d-fructose, (R)-4-hydroxymandelate, biochanin A, 26-hydroxyecdysone and L-tryptophanwere positively associated with aggression, while kaempferol niacinamide, indican, pyroglutamic acid, 2,4-dinitrophenol, salicylic acid and leucodopachrome were negatively associated. These findings suggest that gut microbiota and plasma metabolites mediate stress-induced aggression in broiler chickens, providing potential targets for managing behavior in stressed poultry.  The online version contains supplementary material available at 10.1007/s44154-026-00297-2.\n\n## Full Text\n\n\n### Introduction\nGrowing concerns over animal welfare in intensive farming practices highlight the need to address the impacts of chronic stress on livestock. Broiler chickens are exposed to various environmental stressors such as temperature (El-Naggar et al. 2019), humidity (Xiong et al. 2017), lighting (Abo-Al-Ela et al. 2021), transportation (Miranda-de la Lama et al. 2018), and stock density (Gomes et al. 2014). Stress is a complex environmental factor that compromises animal health and induces abnormal behaviors, such as aggression (Takahashi 2022; Lupien et al. 2009). Aggressive behavior in poultry can result in economic losses due to reduced productivity and damage to the animals themselves (Bist et al. 2023). Studies have reported that non-beak-trimmed hens exhibit approximately a tenfold increase in mortality due to aggressive behaviors and related injurious pecking (De Haas et al. 2021). Chronic stress activates the hypothalamic–pituitary–adrenal (HPA) axis (Vom Berg-Maurer et al. 2016), increasing glucocorticoid secretion (Cockrem 2013), which influences behavior. However, the exact mechanisms linking stress-induced changes in gut microbiota and plasma metabolites to aggressive behavior remain poorly understood in poultry.\nThe gut microbiota modulates the host's health and emotional state via bidirectional communication through the microbiota-gut-brain axis, thereby regulating the expression of a wide range of social and emotional behaviors, including aggressive behavior (Bercik et al. 2011; Diaz Heijtz et al. 2011; Cryan and Dinan 2012). Numerous studies have presented that dysregulation of the microbiota-gut-brain axis is associated with abnormal behaviors in laying hens, such as aggressive pecking, feather pecking (FP), and cannibalism (van der Eijk et al. 2019, 2020). Specific microbial products and metabolites can affect the central nervous system and behavior. It is reported that gut microbes have a direct influence on the vagus nerve, resulting in increased c-FOS levels in regions such as the paraventricular and dorsomedial hypothalamic nuclei of the mouse brain, which in turn leads to elevated anxiety-like behaviors (Goehler et al. 2008; Lyte et al. 2006). On the other hand, microbe-produced metabolites and the release of specific immune agonists can also impact behavioral patterns (Morais et al. 2021). For instance, short-chain fatty acids (SCFAs), lipids produced by gut microbiota through the fermentation of dietary fiber, exemplify this mechanism. In preclinical models, SCFAs have been shown to influence the central nervous system by modulating neuroplasticity, epigenetic pathways, gene expression, and immune responses (Silva et al. 2020). Apart from this, gut microbes are capable of synthesizing neurotransmitters or inducing neurotransmitter production in their hosts. Scientific investigations have revealed that multiple microbiota strains, particularly Bacteroides, Bifidobacterium, and Parabacteroides species, possess biosynthetic pathways for gamma-aminobutyric acid production (Strandwitz et al. 2019). Germ-free mice and mice treated with antibiotics exhibit reduced serotonin biosynthesis. However, this reduction can be reversed by inoculating spore-forming bacteria that enhance tryptophan (TRP) metabolism in enterochromaffin cells (Yano et al. 2015). Studies by Hu and colleagues on two different strains of White Plymouth Rock chickens (line 63 and line 72) revealed the following findings: Compared to line 72, line 63 chickens exhibited lower aggression, higher brain levels of 5-hydroxytryptamine (5-HT) and TRP, and a gut microbiome enriched with beneficial bacteria such as Faecalibacterium and Oscillibacter. These gut microbial profiles were significantly correlated with brain neurotransmitter and plasma hormone levels (Hu et al. 2022). The potential role of compositional changes in intestinal microbiota in mediating stress-related hostile reactions has yet to be conclusively established.\nGiven the critical role of gut microbiota in regulating emotional and social behaviors, understanding its contribution to stress-induced aggression is crucial. Evidence indicates that changes in the gut microbiota can influence extragut physiological conditions (Karlsson et al. 2013; Sommer and Bäckhed 2013; Tremaroli and Bäckhed 2012). Recent research has shown that changes in serum metabolite profiles are linked to alterations in neurotransmitter concentrations, activation of the HPA axis, and nervous system dysfunction (Sotelo-Orozco et al. 2020; Skalny et al. 2021). Metabolite profile alterations are linked to behavioral changes. Lower blood levels of amino acids like tryptophan and phenylalanine may reduce neurotransmitter concentrations, as these amino acids are neurotransmitter precursors (Kaddurah-Daouk and Krishnan 2009). Zhang et al. found that stress-stressed mice exhibited more anxiety and depression-like behaviors, which were associated with altered tryptophan metabolism (Zhang et al. 2023). Elevating dietary TRP levels in broiler chicken feed has been shown to reduce plasma corticosterone concentrations while increasing 5-HT levels, thereby supporting stress mitigation in intensive poultry farming operations (Bello et al. 2017). Despite growing evidence linking gut microbiota and plasma metabolites to behavior, their specific roles in stress-induced aggression remain unclear.\nThis study integrates gut microbiota composition and plasma metabolomic data to explore the mechanisms of stress-induced aggression in broiler chickens. By analyzing production performance, hypothalamic serotonin levels, cecal bacterial profiles, plasma metabolic signatures, and aggression scores, we aim to identify key markers associated with aggression under chronic stress. Our findings will provide new strategies for managing stress and improving welfare in poultry farming.\n\n\n### Results\nUpon commencement of the study, 28-day-old broilers displayed comparable body mass measurements across all treatment groups during initial housing in controlled rearing infrastructure. However, after 35 days, chronic corticosterone exposure significantly impacted growth performance compared to the control group. Specifically, corticosterone-treated broilers exhibited a marked decline in terminal body mass relative to control cohorts (P < 0.05; Fig. 1A, B) and average daily gain (P < 0.05; Fig. 1D). In contrast, corticosterone treatment markedly increased average daily feed intake (P < 0.01; Fig. 1C) and the feed-to-weight ratio (P < 0.01; Fig. 1E). As shown in Fig. 1F–H, corticosterone treatment significantly elevated the pecking frequency in broilers, leading to a substantial increase in the total number of aggressive behaviors (P < 0.01; Fig. 1F). Among dominant chickens, corticosterone exposure resulted in a significant increase in pecking frequency (P < 0.01), twisting frequency (P < 0.05), and overall aggressive behavior (P < 0.01; Fig. 1G). Similarly, in subdominant chickens, corticosterone-treated birds exhibited significantly higher pecking frequency (P < 0.01) and total aggressive behavior (P < 0.05; Fig. 1H). Although corticosterone exposure did not significantly alter hippocampal serotonin concentrations (Supplementary Table 2), it significantly affected serotonin levels in both plasma and the hypothalamus. Plasma serotonin concentrations increased (P < 0.05), while hypothalamic serotonin levels decreased (P < 0.01; Supplementary Table 2). On the other hand, there were no significant changes in dopamine levels in plasma, hippocampus, or hypothalamus following corticosterone exposure.Fig. 1Effect of chronic corticosterone exposure on broiler growth performance and aggressive behavior: A Initial weight of broilers at 28 days. B final weight of broilers at 35 days. C average daily feed intake (ADFI). D average daily gain (ADG). E feed conversion ratio (F/G). F Aggressive behaviors of all broilers. G Dominant broilers’ aggressive behavior. H Subdominant broilers’ aggressive behavior; n = 10, Values are means ± SEM, *P < 0.05, **P < 0.01\nEffect of chronic corticosterone exposure on broiler growth performance and aggressive behavior: A Initial weight of broilers at 28 days. B final weight of broilers at 35 days. C average daily feed intake (ADFI). D average daily gain (ADG). E feed conversion ratio (F/G). F Aggressive behaviors of all broilers. G Dominant broilers’ aggressive behavior. H Subdominant broilers’ aggressive behavior; n = 10, Values are means ± SEM, *P < 0.05, **P < 0.01\nTwenty fecal specimens comprising 52,895 high-quality sequences underwent operational taxonomic unit (OTU) clustering analysis. Seven α-diversity metrics (Chao1, Simpson, Shannon, Pielou_e, Observed_species, Faith_pd, and Goods_coverage) were calculated to evaluate diversity and richness within intestinal microbial communities. These indices showed no significant differences between the control (CON) and corticosterone-treated (CORT) groups (P > 0.05; Fig. 2A). The Goods_coverage index was above 98% for all groups, confirming that the majority of microbial diversity had been captured in the current study (Fig. 2A). To evaluate the structural differences in gut microbiota, β-diversity analyses were performed. Principal coordinate analysis (PCoA) based on Bray–Curtis distances revealed that the microbial community structures in the feces of corticosterone-treated and control broilers were similar (Fig. 2B). A Venn diagram illustrated the distribution of OTU counts, highlighting unique and shared OTUs between the two groups (Fig. 2C). Furthermore, the relative abundance of microbial taxa unique to the CON and CORT groups was visualized (Fig. 2D, E). Firmicutes and Actinobacteria were identified as the predominant phyla in both groups (Fig. 2F). At the genus level, Faecalibacterium, Bifidobacterium, and Lactobacillus were the dominant genera in both groups (Fig. 2G).Fig. 2Impacts of chronic corticosterone exposure on the cecal microbiota diversity and composition in broilers: A Cecal content microbial α-diversity. B Beta diversity (determined by principal coordinate analysis (PCoA)) of gut microbial community based on OTUs abundance between the two groups. C Venn diagram of the distribution of OTUs among different groups. D The relative abundance of uniquely expressed microbiota in CORT group. E The relative abundance of uniquely expressed microbiota in CON group. F Relative abundance of the cecal content microbiota in the phylum. G Relative abundance of the cecal content microbiota in the genus\nImpacts of chronic corticosterone exposure on the cecal microbiota diversity and composition in broilers: A Cecal content microbial α-diversity. B Beta diversity (determined by principal coordinate analysis (PCoA)) of gut microbial community based on OTUs abundance between the two groups. C Venn diagram of the distribution of OTUs among different groups. D The relative abundance of uniquely expressed microbiota in CORT group. E The relative abundance of uniquely expressed microbiota in CON group. F Relative abundance of the cecal content microbiota in the phylum. G Relative abundance of the cecal content microbiota in the genus\nTo identify specific bacterial taxa affected by corticosterone, linear discriminant analysis effect size (LEfSe) analysis was conducted. Bacterial taxa with P < 0.05 and LDA > 2.0 were considered significant, resulting in the identification of 29 differentially abundant taxa (P < 0.05; Supplementary Table 2). Phylum-level analysis indicated a marked rise in Proteobacteria prevalence among CORT-exposed birds. Genera Shigella, Holdemania, and Clostridium displayed notable upregulation in CORT samples, whereas Desulfovibrio, Cellulosimicrobium, and Enterococcus populations exhibited prominent declines relative to CON controls. Additionally, at other taxonomic levels, the abundance of Coriobacteriaceae and Bacteroidales.S24_7 was significantly lower in corticosterone-treated chickens (Fig. 3A, B).Fig. 3Effect of chronic corticosterone exposure on differential cecal flora in broiler chickens. A Cladogram representation of the differentially abundant taxa among two groups; B Identification of differential bacterial taxa by LefSe tool (LDA score > 2.0, P < 0.05)\nEffect of chronic corticosterone exposure on differential cecal flora in broiler chickens. A Cladogram representation of the differentially abundant taxa among two groups; B Identification of differential bacterial taxa by LefSe tool (LDA score > 2.0, P < 0.05)\nTo assess the impact of corticosterone on plasma metabolites, a metabolomics analysis was performed. Partial least squares discriminant analysis (PLS-DA) revealed distinct metabolic profiles between corticosterone-treated and control broilers (Fig. 4A–D). A total of 281 metabolites were identified, including carboxylic acids and their derivatives (23.57%), indoles and their derivatives (4.29%), and benzene and its substituted derivatives (4.29%) (Fig. 4E, F). A total of 53 metabolites exhibited altered abundance levels between experimental cohorts, with 23 displaying significant elevation and 30 showing reduction specifically in the CORT group relative to controls (Fig. 4G). A heatmap of these metabolites further highlighted the distinct metabolic patterns between groups (Fig. 4H).Fig. 4Effects of corticosterone on metabolic profiles of plasma in broilers. A Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in positive mode; B Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in negative mode; C Permutation test plot of PLS-DA score plot in positive mode; C Permutation test plot of PLS-DA score plot in negative mode; E Numbers of metabolites in different groups; F Distribution of the relative abundance of metabolites of each Class in different groups; G Volcano plots of differential metabolites; G Heat map of differential metabolites\nEffects of corticosterone on metabolic profiles of plasma in broilers. A Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in positive mode; B Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in negative mode; C Permutation test plot of PLS-DA score plot in positive mode; C Permutation test plot of PLS-DA score plot in negative mode; E Numbers of metabolites in different groups; F Distribution of the relative abundance of metabolites of each Class in different groups; G Volcano plots of differential metabolites; G Heat map of differential metabolites\nPathway enrichment analysis mapped these metabolites onto 25 KEGG metabolic pathways (P < 0.05; Table S3). The most significantly affected pathways included pantothenate and CoA biosynthesis, beta-alanine metabolism, and the biosynthesis of phenylpropanoids (Fig. 5A). Tryptophan metabolism was highlighted as a key pathway associated with corticosterone exposure, with tryptophan and its derivatives upregulated (Fig. 5B). These results suggest that corticosterone-induced stress disrupts the plasma metabolome in broiler chickens and highlights specific metabolic pathways that may influence behavior.Fig. 5Effect of corticosterone exposure on the plasma differential metabolites related pathways in broiler chickens. KEGG term analysis of metabolites related pathways in broiler chickens. There are four circles from outside to inside in (A). The first circle: the classification of enrichment; outside the circle is the coordinate ruler of the number of metabolites. The second circle: the number of the classification in the background metabolite and the P-value. The more metabolites, the longer the bar; the smaller the P-value, the deeper the color. The third circle: the bar graph of metabolites. The fourth circle: the rich factor value of each category. B Metabolic pathway networks responding to CORT exposure\nEffect of corticosterone exposure on the plasma differential metabolites related pathways in broiler chickens. KEGG term analysis of metabolites related pathways in broiler chickens. There are four circles from outside to inside in (A). The first circle: the classification of enrichment; outside the circle is the coordinate ruler of the number of metabolites. The second circle: the number of the classification in the background metabolite and the P-value. The more metabolites, the longer the bar; the smaller the P-value, the deeper the color. The third circle: the bar graph of metabolites. The fourth circle: the rich factor value of each category. B Metabolic pathway networks responding to CORT exposure\nTo explore the relationships among gut microbiota, plasma metabolites, and aggressive behavior, Spearman’s rank correlation analyses were conducted. First, correlations between gut microbial genera and aggressive behavior were examined. The results revealed a positive correlation between aggressive behavior and Clostridium, and a negative correlation with Actinomycetales and Coriobacteriaceae. Next, the correlations between differentially abundant gut microbiota and plasma metabolites were analyzed. A total of 31 metabolites showed significant correlations. For example, Clostridium positively correlated with indole, L-tryptophan, and butyryl-L-carnitine, but negatively correlated with niacinamide, pantothenic acid, and leucodopachrome. Conversely, Actinomycetales positively correlated with niacinamide and gamma-linolenic acid while negatively correlated with 26-hydroxyecdysone and 1-methylhistidine. Similarly, Coriobacteriaceae positively correlated with indicant, niacinamide, and salicylic acid but negatively correlated with d-fructose and butyryl-L-carnitine (Fig. 6A). Lastly, the association between aggressive behavior and plasma metabolites was analyzed. Aggressive behavior was positively associated with metabolites such as indole, (R)−4-hydroxymandelate, and L-tryptophan, but negatively associated with niacinamide, leucodopachrome, and pyroglutamic acid (Fig. 6B). By integrating these relationships, a Sankey diagram was constructed to link gut microbiota, plasma metabolites, and behavioral phenotypes (Fig. 6C), providing a comprehensive view of their interactions.Fig. 6Association between differential metabolites, differential metabolites and phenotype. Spearman correlations between differential bacteria and differential metabolites and aggressive behavior; A Illustrates all the flora that are significantly associated with aggressive behavior; B Illustrates all the metabolites that are significantly associated with aggressive behavior; C Interrelationship between gut microbiota composition, host metabolic profile and aggressive behavior phenotype, the asterisks (*) in correlation heatmaps indicate P-value < 0.05, (**) in correlation heatmaps indicate P-value < 0.01\nAssociation between differential metabolites, differential metabolites and phenotype. Spearman correlations between differential bacteria and differential metabolites and aggressive behavior; A Illustrates all the flora that are significantly associated with aggressive behavior; B Illustrates all the metabolites that are significantly associated with aggressive behavior; C Interrelationship between gut microbiota composition, host metabolic profile and aggressive behavior phenotype, the asterisks (*) in correlation heatmaps indicate P-value < 0.05, (**) in correlation heatmaps indicate P-value < 0.01\n\n\n### Chronic corticosterone exposure reduces growth performance and increases aggressive behavior in broiler chickens\nUpon commencement of the study, 28-day-old broilers displayed comparable body mass measurements across all treatment groups during initial housing in controlled rearing infrastructure. However, after 35 days, chronic corticosterone exposure significantly impacted growth performance compared to the control group. Specifically, corticosterone-treated broilers exhibited a marked decline in terminal body mass relative to control cohorts (P < 0.05; Fig. 1A, B) and average daily gain (P < 0.05; Fig. 1D). In contrast, corticosterone treatment markedly increased average daily feed intake (P < 0.01; Fig. 1C) and the feed-to-weight ratio (P < 0.01; Fig. 1E). As shown in Fig. 1F–H, corticosterone treatment significantly elevated the pecking frequency in broilers, leading to a substantial increase in the total number of aggressive behaviors (P < 0.01; Fig. 1F). Among dominant chickens, corticosterone exposure resulted in a significant increase in pecking frequency (P < 0.01), twisting frequency (P < 0.05), and overall aggressive behavior (P < 0.01; Fig. 1G). Similarly, in subdominant chickens, corticosterone-treated birds exhibited significantly higher pecking frequency (P < 0.01) and total aggressive behavior (P < 0.05; Fig. 1H). Although corticosterone exposure did not significantly alter hippocampal serotonin concentrations (Supplementary Table 2), it significantly affected serotonin levels in both plasma and the hypothalamus. Plasma serotonin concentrations increased (P < 0.05), while hypothalamic serotonin levels decreased (P < 0.01; Supplementary Table 2). On the other hand, there were no significant changes in dopamine levels in plasma, hippocampus, or hypothalamus following corticosterone exposure.Fig. 1Effect of chronic corticosterone exposure on broiler growth performance and aggressive behavior: A Initial weight of broilers at 28 days. B final weight of broilers at 35 days. C average daily feed intake (ADFI). D average daily gain (ADG). E feed conversion ratio (F/G). F Aggressive behaviors of all broilers. G Dominant broilers’ aggressive behavior. H Subdominant broilers’ aggressive behavior; n = 10, Values are means ± SEM, *P < 0.05, **P < 0.01\nEffect of chronic corticosterone exposure on broiler growth performance and aggressive behavior: A Initial weight of broilers at 28 days. B final weight of broilers at 35 days. C average daily feed intake (ADFI). D average daily gain (ADG). E feed conversion ratio (F/G). F Aggressive behaviors of all broilers. G Dominant broilers’ aggressive behavior. H Subdominant broilers’ aggressive behavior; n = 10, Values are means ± SEM, *P < 0.05, **P < 0.01\n\n\n### Chronic corticosterone exposure alters the cecal microbiota of broiler chickens\nTwenty fecal specimens comprising 52,895 high-quality sequences underwent operational taxonomic unit (OTU) clustering analysis. Seven α-diversity metrics (Chao1, Simpson, Shannon, Pielou_e, Observed_species, Faith_pd, and Goods_coverage) were calculated to evaluate diversity and richness within intestinal microbial communities. These indices showed no significant differences between the control (CON) and corticosterone-treated (CORT) groups (P > 0.05; Fig. 2A). The Goods_coverage index was above 98% for all groups, confirming that the majority of microbial diversity had been captured in the current study (Fig. 2A). To evaluate the structural differences in gut microbiota, β-diversity analyses were performed. Principal coordinate analysis (PCoA) based on Bray–Curtis distances revealed that the microbial community structures in the feces of corticosterone-treated and control broilers were similar (Fig. 2B). A Venn diagram illustrated the distribution of OTU counts, highlighting unique and shared OTUs between the two groups (Fig. 2C). Furthermore, the relative abundance of microbial taxa unique to the CON and CORT groups was visualized (Fig. 2D, E). Firmicutes and Actinobacteria were identified as the predominant phyla in both groups (Fig. 2F). At the genus level, Faecalibacterium, Bifidobacterium, and Lactobacillus were the dominant genera in both groups (Fig. 2G).Fig. 2Impacts of chronic corticosterone exposure on the cecal microbiota diversity and composition in broilers: A Cecal content microbial α-diversity. B Beta diversity (determined by principal coordinate analysis (PCoA)) of gut microbial community based on OTUs abundance between the two groups. C Venn diagram of the distribution of OTUs among different groups. D The relative abundance of uniquely expressed microbiota in CORT group. E The relative abundance of uniquely expressed microbiota in CON group. F Relative abundance of the cecal content microbiota in the phylum. G Relative abundance of the cecal content microbiota in the genus\nImpacts of chronic corticosterone exposure on the cecal microbiota diversity and composition in broilers: A Cecal content microbial α-diversity. B Beta diversity (determined by principal coordinate analysis (PCoA)) of gut microbial community based on OTUs abundance between the two groups. C Venn diagram of the distribution of OTUs among different groups. D The relative abundance of uniquely expressed microbiota in CORT group. E The relative abundance of uniquely expressed microbiota in CON group. F Relative abundance of the cecal content microbiota in the phylum. G Relative abundance of the cecal content microbiota in the genus\nTo identify specific bacterial taxa affected by corticosterone, linear discriminant analysis effect size (LEfSe) analysis was conducted. Bacterial taxa with P < 0.05 and LDA > 2.0 were considered significant, resulting in the identification of 29 differentially abundant taxa (P < 0.05; Supplementary Table 2). Phylum-level analysis indicated a marked rise in Proteobacteria prevalence among CORT-exposed birds. Genera Shigella, Holdemania, and Clostridium displayed notable upregulation in CORT samples, whereas Desulfovibrio, Cellulosimicrobium, and Enterococcus populations exhibited prominent declines relative to CON controls. Additionally, at other taxonomic levels, the abundance of Coriobacteriaceae and Bacteroidales.S24_7 was significantly lower in corticosterone-treated chickens (Fig. 3A, B).Fig. 3Effect of chronic corticosterone exposure on differential cecal flora in broiler chickens. A Cladogram representation of the differentially abundant taxa among two groups; B Identification of differential bacterial taxa by LefSe tool (LDA score > 2.0, P < 0.05)\nEffect of chronic corticosterone exposure on differential cecal flora in broiler chickens. A Cladogram representation of the differentially abundant taxa among two groups; B Identification of differential bacterial taxa by LefSe tool (LDA score > 2.0, P < 0.05)\n\n\n### Chronic corticosterone exposure changes metabolic profiles of plasma in broiler chickens\nTo assess the impact of corticosterone on plasma metabolites, a metabolomics analysis was performed. Partial least squares discriminant analysis (PLS-DA) revealed distinct metabolic profiles between corticosterone-treated and control broilers (Fig. 4A–D). A total of 281 metabolites were identified, including carboxylic acids and their derivatives (23.57%), indoles and their derivatives (4.29%), and benzene and its substituted derivatives (4.29%) (Fig. 4E, F). A total of 53 metabolites exhibited altered abundance levels between experimental cohorts, with 23 displaying significant elevation and 30 showing reduction specifically in the CORT group relative to controls (Fig. 4G). A heatmap of these metabolites further highlighted the distinct metabolic patterns between groups (Fig. 4H).Fig. 4Effects of corticosterone on metabolic profiles of plasma in broilers. A Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in positive mode; B Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in negative mode; C Permutation test plot of PLS-DA score plot in positive mode; C Permutation test plot of PLS-DA score plot in negative mode; E Numbers of metabolites in different groups; F Distribution of the relative abundance of metabolites of each Class in different groups; G Volcano plots of differential metabolites; G Heat map of differential metabolites\nEffects of corticosterone on metabolic profiles of plasma in broilers. A Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in positive mode; B Partial Least Squares-Discriiminate Analysis (PLS-DA) score plot of metabolites in negative mode; C Permutation test plot of PLS-DA score plot in positive mode; C Permutation test plot of PLS-DA score plot in negative mode; E Numbers of metabolites in different groups; F Distribution of the relative abundance of metabolites of each Class in different groups; G Volcano plots of differential metabolites; G Heat map of differential metabolites\nPathway enrichment analysis mapped these metabolites onto 25 KEGG metabolic pathways (P < 0.05; Table S3). The most significantly affected pathways included pantothenate and CoA biosynthesis, beta-alanine metabolism, and the biosynthesis of phenylpropanoids (Fig. 5A). Tryptophan metabolism was highlighted as a key pathway associated with corticosterone exposure, with tryptophan and its derivatives upregulated (Fig. 5B). These results suggest that corticosterone-induced stress disrupts the plasma metabolome in broiler chickens and highlights specific metabolic pathways that may influence behavior.Fig. 5Effect of corticosterone exposure on the plasma differential metabolites related pathways in broiler chickens. KEGG term analysis of metabolites related pathways in broiler chickens. There are four circles from outside to inside in (A). The first circle: the classification of enrichment; outside the circle is the coordinate ruler of the number of metabolites. The second circle: the number of the classification in the background metabolite and the P-value. The more metabolites, the longer the bar; the smaller the P-value, the deeper the color. The third circle: the bar graph of metabolites. The fourth circle: the rich factor value of each category. B Metabolic pathway networks responding to CORT exposure\nEffect of corticosterone exposure on the plasma differential metabolites related pathways in broiler chickens. KEGG term analysis of metabolites related pathways in broiler chickens. There are four circles from outside to inside in (A). The first circle: the classification of enrichment; outside the circle is the coordinate ruler of the number of metabolites. The second circle: the number of the classification in the background metabolite and the P-value. The more metabolites, the longer the bar; the smaller the P-value, the deeper the color. The third circle: the bar graph of metabolites. The fourth circle: the rich factor value of each category. B Metabolic pathway networks responding to CORT exposure\n\n\n### Potential associations among the gut microbiome, plasma metabolites, and aggressive behavior in broiler chickens after chronic corticosterone exposure\nTo explore the relationships among gut microbiota, plasma metabolites, and aggressive behavior, Spearman’s rank correlation analyses were conducted. First, correlations between gut microbial genera and aggressive behavior were examined. The results revealed a positive correlation between aggressive behavior and Clostridium, and a negative correlation with Actinomycetales and Coriobacteriaceae. Next, the correlations between differentially abundant gut microbiota and plasma metabolites were analyzed. A total of 31 metabolites showed significant correlations. For example, Clostridium positively correlated with indole, L-tryptophan, and butyryl-L-carnitine, but negatively correlated with niacinamide, pantothenic acid, and leucodopachrome. Conversely, Actinomycetales positively correlated with niacinamide and gamma-linolenic acid while negatively correlated with 26-hydroxyecdysone and 1-methylhistidine. Similarly, Coriobacteriaceae positively correlated with indicant, niacinamide, and salicylic acid but negatively correlated with d-fructose and butyryl-L-carnitine (Fig. 6A). Lastly, the association between aggressive behavior and plasma metabolites was analyzed. Aggressive behavior was positively associated with metabolites such as indole, (R)−4-hydroxymandelate, and L-tryptophan, but negatively associated with niacinamide, leucodopachrome, and pyroglutamic acid (Fig. 6B). By integrating these relationships, a Sankey diagram was constructed to link gut microbiota, plasma metabolites, and behavioral phenotypes (Fig. 6C), providing a comprehensive view of their interactions.Fig. 6Association between differential metabolites, differential metabolites and phenotype. Spearman correlations between differential bacteria and differential metabolites and aggressive behavior; A Illustrates all the flora that are significantly associated with aggressive behavior; B Illustrates all the metabolites that are significantly associated with aggressive behavior; C Interrelationship between gut microbiota composition, host metabolic profile and aggressive behavior phenotype, the asterisks (*) in correlation heatmaps indicate P-value < 0.05, (**) in correlation heatmaps indicate P-value < 0.01\nAssociation between differential metabolites, differential metabolites and phenotype. Spearman correlations between differential bacteria and differential metabolites and aggressive behavior; A Illustrates all the flora that are significantly associated with aggressive behavior; B Illustrates all the metabolites that are significantly associated with aggressive behavior; C Interrelationship between gut microbiota composition, host metabolic profile and aggressive behavior phenotype, the asterisks (*) in correlation heatmaps indicate P-value < 0.05, (**) in correlation heatmaps indicate P-value < 0.01\n\n\n### Discussion\nMulti-omics strategies are increasingly adopted to dissect the regulatory mechanisms of complex diseases and traits (Weng et al. 2024), yet few studies have explored aggressive behavior in stressed broilers. Our findings reveal that chronic corticosterone exposure alters cecal microbiota, modifies plasma metabolite profiles, and heightens aggressive behavior. Clostridium, Coriobacteriaceae, and Actinomycetales potentially play an important role in inducing aggressive behavior, a link not previously described. Tryptophan and its derivatives also show significant associations with aggression, suggesting a biochemical pathway.\nCorticosterone injections are a standard method to simulate chronic stress in poultry, as shown in prior studies (Hu et al. 2018; Lin et al. 2006; Zaytsoff et al. 2022; Zulkifli et al. 2014). In this work, Yellow-feather broilers were given corticosterone by subcutaneous injection for seven consecutive days to simulate chronic stress. Several studies have investigated the effects of corticosterone on feed intake and body weight in poultry, with results varying across studies. In 24-week-old Hy-line brown poultry subjects, the subcutaneous delivery of corticosterone at 2 mg/kg over 7 days induced definitively measurable declines in body mass while feed consumption also decreased proportionally, as reported by Liu et al.'s study (Liu et al. 2012). Yuan et al. used Arbor Acres male broilers and supplemented their diet with corticosterone at 30 mg/kg of diet. In one-week-old broilers treated for 7 days, corticosterone significantly inhibited weight gain, substantially increased feed intake, and significantly lowered the feed-to-gain ratio. Similar results were also observed in four-week-old broilers treated for 6 days (Yuan et al. 2008). Hu et al. also adopted the same treatment method by adding corticosterone to the feed of Arbor Acres one-day-old broilers. The results indicated that while the final body weight and daily weight gain of the broilers were reduced, feed intake remained unchanged. This mechanism was attributed to the activation of the hypothalamic LKB1-AMPK-NPY/ACC signaling pathway (Hu et al. 2020). Our experimental results were consistent with those reported by Yuan et al. Chronic corticosterone exposure significantly reduced the final body weight and average daily weight gain of broilers, while markedly increasing feed intake and the feed conversion ratio. This may reflect increased energy use and a shift towards fat deposition, possibly driven by proteolysis and gluconeogenesis, highlighting stress’s metabolic impact.\nAggressive behavior in chickens is a multifaceted social trait, and our study confirms that chronic stress amplifies it in both dominant and subdominant individuals (as shown in Fig. 1F-H). Within socio-ecological contexts, heterogeneous adaptive capacities exist across individuals to adjust physiological and behavioral traits—particularly personality dimensions like locomotor activity and aggressive behavior—when responding to ecologically distinct stressors, reflecting interindividual divergence in adaptive plasticity (Biro and Stamps 2008; Moore and Martin 2019; Chunduri et al. 2022). Based on a dominance hierarchy or a ranking order, subdominant individuals manifest aversive fear responses toward conspecific dominants, consequently compromising their phenotypic plasticity in adapting to captivity-regulated environmental parameters. Conversely, dominant cohorts show neurobiologically reinforced aggression escalation—marked by heightened incidence of injurious pecking behaviors—mediated through activation of mesolimbic reward circuitry and operant conditioning mechanisms (Banich and Floresco 2019). Dominant birds exhibit more aggression, likely reinforced by neural reward pathways, consistent with earlier findings. This aligns with Ahmed et al.’s observation of increased aggression from embryonic corticosterone exposure (Ahmed et al. 2020) and El-Lethey et al.’s findings on social stress in hens (El-Lethey et al. 2000). Our data validate that stress not only impairs growth but also induces behavioral shifts, particularly increased aggression.\nThe microbiota-gut-brain axis plays a critical role in modulating brain function and behavior. (Bercik et al. 2011; Cryan and Dinan 2012). Disruption of the gut microbiota can lead to various intestinal diseases and impair brain function, potentially resulting in neuropsychiatric disorders characterized by abnormal behavior (Bioque et al. 2021; Cryan and O'Mahony 2011). Our analysis showed no significant α-diversity change in cecal microbiota between control and stressed broilers, though a decreasing trend was noted in the stressed group, with similar β-diversity. At the phylum level, Firmicutes and Actinobacteria were the dominant bacterial phyla, while at the genus level, the predominant genera included Faecalibacterium, Bifidobacterium, and Lactobacillus. This observation aligns with previous studies on the composition of the chicken gut microbiota (Wei et al. 2013). Using LDA Effect Size, we found increased Shigella, Holdemania and Clostridium, and decreased Bacteroidales.S24_7, Coriobacteriaceae, Desulfovibrio, Psychrobacter, Cellulosimicrobium, Sphingomonas and Ralstonia in stressed birds. Notably, Clostridium, Coriobacteriaceae and Actinomycetales were significantly associated with aggressive behaviors (P < 0.05, Spearman's ρ = 0.53, −0.63, −0.52). Currently, limited research has explored the link between the three aforementioned bacterial taxa and aggressive behavior. Barandouzi et al.'s systematic review mentions that in patients with depression, the abundance of Clostridium XIX and IV is significantly increased, indicating their potential role in mood regulation (Barandouzi et al. 2020). Furthermore, bacteria within the family Coriobacteriaceae (specifically the butyrate-producing genera Eggerthella and Atopobium) were found to exhibit increased relative abundance in depressed individuals (Barandouzi et al. 2020). In cases of aggressive periodontitis, the abundance of bacteria within the order Actinomycetales, particularly Aggregatibacter actinomycetemcomitans, has been significantly elevated (Montenegro et al. 2020). Increased Clostridium is linked to depression, and certain Actinomycetales to aggressive periodontitis, though direct links need to be further explored.\nAlthough a standard cage-rearing system and a commercial, standardized broiler diet were used to minimize variation attributable to housing and feed, environmental factors may still influence gut microbiota and behavior. For instance, diet composition, including fiber content and feed form, modulates microbial fermentation and metabolic outputs (Mahmood et al. 2020; Bindari et al. 2022); changes in housing systems and the rearing environment can reshape community structure independent of diet composition (Kers et al. 2018). Additionally, lighting regimen and intensity affect broiler activity, social interactions, and welfare (Wu et al. 2022; Olanrewaju et al. 2016); and stocking density is associated with performance, stress physiology, and behavioral outcomes (Li et al. 2022). Therefore, the specific taxa–metabolite–behavior links observed here should be validated under alternative production conditions, such as floor-pen rearing, variable stocking densities, different lighting programs, and varied diets, to enhance generalizability.\nGiven gut microbiota’s role in metabolism, we examined how corticosterone-induced shifts affect plasma metabolites and behavior. Untargeted metabolomics showed clear group separation via PLS-DA, with chronic stress altering metabolite profiles. Compared to the control group, 23 metabolites were upregulated, while 30 were downregulated. KEGG enrichment analysis revealed that differential metabolites were primarily involved in tryptophan metabolism and pantothenate-CoA biosynthesis, pathways closely linked to serotonergic signaling and aggression. Subsequent correlation analysis identified 31 metabolites associated with the three differential microbes that had been previously identified. Further analysis revealed a correlation between the levels of specific metabolites and changes in aggressive behavior following corticosterone exposure. Of the 31 differential metabolites, 18 were found to have correlation with aggressive behavior, including indole, niacinamide, L-tryptophan, biochanin A, and so forth. Notably, among these screened differential metabolites, tryptophan (Trp) and its derivatives merit particular attention. The rationale resides in the plausible mechanism whereby gut microbiota influences mental health through modulation of tryptophan and serotonin (5-hydroxytryptamine, 5-HT) metabolism.\nThe central 5-hydroxytryptamine (5-HT) system plays a critical role in regulating personality traits such as depression, aggression, impulsivity, and anger in humans and animals (Zimmermann et al. 2012; Coccaro et al. 2015). The raphe nuclei are the principal source of central 5-HT synthesis, whereas > 90% of total body 5-HT is produced by intestinal enterochromaffin (EC) cells; importantly, peripheral 5-HT does not cross the blood–brain barrier (BBB) (Yano et al. 2015). Enhanced central serotonergic activity is associated with behavioral inhibition, particularly suppression of aggression (da Cunha-Bang et al. 2016; Wolkers et al. 2017), whereas diminished central serotonergic activity correlates with heightened aggression and impulsivity across species, including mammals, birds, fish, and rodents (Bannai et al. 2007; Sperry et al. 2003; Clotfelter et al. 2007; Liu et al. 2019). Supporting this, our CORT regimen significantly reduced hypothalamic 5-HT, consistent with prior observations (Ahmed et al. 2014). Furthermore, Elevated circulating 5-HT has also been reported in aggressive laying-hen strains and in humans with aggression-linked psychopathology (Bello et al. 2017). Peripheral 5-HT cannot permeate the BBB, its behavioral associations likely operate via peripheral–central signaling routes rather than by direct entry into the brain. In our cohort, plasma 5-HT increased concomitantly with higher plasma tryptophan, while central 5-HT decreased—a pattern compatible with enhanced peripheral 5-HT synthesis or altered platelet sequestration secondary to greater tryptophan availability. EC-cell–derived 5-HT serves as a key signal for vagal afferents (Cao et al. 2021), and peripheral 5-HT synthesis is shaped by the gut microbiota (Jadhav et al. 2022). Accordingly, CORT-induced microbial shifts may alter EC-cell 5-HT output and, via the vagus nerve, reconfigure signals relayed to the brain. In addition, gut bacteria such as members of the genus Clostridium metabolize tryptophan into neuroactive compounds (e.g., indoles and tryptamines) that can stimulate vagal afferents (Kaur et al. 2019). This neuronally mediated gut–brain pathway could contribute to the observed reduction in hypothalamic 5-HT and heightened aggression under chronic stress.\nBeyond direct neural signaling, the gut microbiota can profoundly affect brain function and behavior through the host immune system (Gao et al. 2018). The kynurenine pathway (KP) degrades most peripheral tryptophan (> 90%) and is highly responsive to immune activation (Kaur et al. 2019). Chronic stress and dysbiosis elicit low-grade systemic inflammation, promote pro-inflammatory cytokine release, and activate the pathway’s rate-limiting enzymes—indoleamine 2,3-dioxygenase (IDO) and tryptophan 2,3-dioxygenase (TDO) (Höglund et al. 2019). In this study, higher plasma tryptophan concomitant with reduced hypothalamic 5-HT suggests that, under chronic stress, the overall tryptophan pool may expand while its metabolic routing shifts. Activation of the KP diverts a larger proportion of tryptophan away from 5-HT biosynthesis, thereby reducing the fraction of tryptophan that crosses the BBB via LAT1 to serve as the precursor for central 5-HT (Kaur et al. 2019). Moreover, KP metabolites such as kynurenine and quinolinic acid are intrinsically neuroactive and have been implicated in the pathophysiology of behavioral disorders, including depression (Roth et al. 2021). Notably, microbial metabolites directly engage immune signaling: the aryl hydrocarbon receptor (AhR), expressed by intestinal immune cells, is a key regulator of gut homeostasis. Both kynurenine and indole derivatives produced by gut bacteria, including Clostridium spp., are established AhR ligands (Gao et al. 2018). In the CORT group, microbiota alterations may increase these ligands, modulate intestinal immune tone and foster an inflammatory environment that biases tryptophan toward the KP, thereby diminishing central 5-HT synthesis and contributing to heightened aggression. Together with vagal signaling, this immune–metabolic mechanism links chronic stress and dysbiosis to serotonergic deficits and aggressive behavior.\nOur multi-omics data indicate that chronic corticosterone stress in broilers increases aggression while altering cecal taxa and circulating metabolites, with Trp metabolism and central 5-HT emerging as key nodes. These patterns suggest several nutrition-based levers. First, ensuring adequate dietary Trp and an appropriate Trp:Lys ratio can support serotonergic tone and reduce abnormal pecking. Studies have shown that increasing dietary Trp or its precursor 5-hydroxytryptophan reduces fearfulness and gentle feather pecking, while acute Trp depletion has the opposite effect; chronic Trp supplementation decreases such behaviors (Birkl et al. 2019; Lundgren et al. 2023). In commercial nutrition programs, target Trp:Lys ratios around 16–19% are widely referenced and align with improving behavior and performance (Linh et al. 2021). Second, probiotics that act along the microbiota–gut–brain axis can mitigate stress-linked injurious pecking. Randomized studies in chickens report that L. rhamnosus reduces stress-induced feather pecking, and Bacillus subtilis decreases injurious behavior while modulating the gut–brain axis (Mindus et al. 2021). Beyond live microbes, sodium butyrate (a microbial postbiotic) counters corticosterone-induced oxidative stress and helps stabilize intestinal function under environmental stressors, supporting a calmer behavioral phenotype (Zhang et al. 2011). In conclusion, the multi-omics evidence presented provides a theoretical foundation for exploring the potential efficacy of supplementing tryptophan and utilizing microbial and postbiotic additives to enhance behavior.\nThis study proposes a novel integrative framework linking gut microbiota, plasma metabolites, and aggressive behavior, underscoring the central role of tryptophan metabolism and its derivatives. Specifically, chronic corticosterone exposure may alter the composition of gut microbiota, modulating circulating tryptophan levels, affecting brain 5-HT synthesis, and ultimately exacerbating aggressive behavior in broilers. Our findings identified three key gut microbial genera and 18 metabolites, with tryptophan and its derivatives occupying a central role within this network. While our multi-omics analyses implicate specific taxa and Trp-linked metabolites in stress-related aggression, association alone does not establish causation. Convergent evidence from germ-free and fecal microbiota transplantation (FMT) models in mammals shows that gut microbial communities can transfer behavioral phenotypes, including anxiety-like and depressive-like traits, to recipients (Bercik et al. 2011; Zheng et al. 2016). Moreover, FMT from donors exhibiting altered stress responses has been sufficient to induce similar behavioral patterns in recipients (Kelly et al. 2016), indicating that microbiota-encoded functions can influence brain and behavior. Mechanistically, spore-forming Clostridiales have been shown to promote host enterochromaffin cell 5-HT biosynthesis (Yano et al. 2015), and species like Ruminococcus gnavus and Clostridium sporogenes, can metabolize Trp into neuroactive compounds such as tryptamine and indole-3-propionic acid (Williams et al. 2014). These influence serotonergic pathways, linking microbial Trp metabolism to central 5-HT and aggression. To establish causation in chickens, future studies could use FMT from donors with differing stress phenotypes, gnotobiotic or defined-consortia colonization to isolate taxa effects, and targeted Trp manipulations. Despite these insights, knowledge of gut microbiota dynamics under chronic stress and its effects on host metabolism and behavior remains limited. Future research should employ targeted metabolomics and microbiota transplantation to validate these links, while exploring temporal dynamics for deeper understanding.\n\n\n### Conclusions\nIn summary, chronic stress impairs broiler growth, lowers central serotonin, and increases aggression, with changes in gut microbiota and plasma metabolites. Tryptophan metabolism is central, offering a foundation for further studies and potential interventions to manage stress-induced behavioral disorders in poultry.\n\n\n### Methods and materials\nFifty yellow-feather broilers chickens (one-day-old) were selected for the experiment and housed in standard cages (size 90 cm*60 cm*40 cm) within a temperature-controlled animal room at Nanjing Agricultural University. The chickens were subjected to a 16-h light/8-h dark daily light cycle. The chicks were fed a commercial broiler diet as recommended by the NRC (1994). At 28 days, chickens were grouped into body weight-matched pairs and randomly assigned to either a control group or a corticosterone-treated group. Chickens assigned to the corticosterone-treated group received once daily subcutaneously injected corticosterone with a dosage of 4 mg/kg body weight. (between 13:00 and 15:30). The control group was administered a subcutaneous injection of 15% ethanol solution at the same dosage as the corticosterone group. The treatment lasted seven consecutive days, during which a chronic stress model was established. Food and water were freely available throughout the trial period. Body weight and feed intake were recorded daily. Corticosterone was procured from J&K Scientific. It was initially dissolved in 100% ethanol to a concentration of 1% as a stock solution, maintained in light-protected conditions at 4 °C. For experimental use, aliquots were diluted with sterile saline to achieve final ethanol content reduced to 15% (v/v).\nBehavioral evaluations for aggression commenced during days 35–36 post-hatching. A dedicated testing chamber physically separated from the poultry rearing environment contained dimensionally standardized enclosures (90 cm × 60 cm × 40 cm), mirroring the containment systems employed during broiler development for experimental assessment.\nAccording to the prescribed protocol, experimental cohorts underwent randomized sampling (n = 100/group) with subsequent anatomical differentiation using dermatologically applied chromatic discriminators ensuring spatial exclusivity across integration zones. Two chickens from the same group but different cages (with no prior contact) were concurrently introduced into the experimental arena. Interactions were video-recorded for 60 min before transitioning to the next experimental pair. During the recording, the experimenters maintained a distance of at least 1 m from the test area. Four synchronized cameras, connected to a computer, were mounted above the four test pens. Behavioral data were recorded and subsequently transferred to the laboratory for analysis. The daily test sessions were scheduled as follows: 8:00–11:00 and 14:00–17:00, conducted over two consecutive days.\nFollowing data collection, three independent assessors blinded to the experimental groups reviewed and analyzed the footage, quantifying the frequency of aggressive behaviors exhibited by each group of broilers over the 60-min observation period. Aggressive behavior categories were categorized according to the methodology outlined by Kitaysky (2003), as detailed in Table S1. Additionally, the dominant and subordinate broilers in each group were determined using Froman's method, which assesses the social dominance between paired broilers based on how often one broiler avoids another during the aggressive behavior test (Froman et al. 2002). The broiler that is clearly avoided is considered the dominant broiler.\nOn day 37, following a 12-h fasting period, Yellow-feather broilers were weighed and subsequently euthanized via decapitation. Blood samples were immediately collected, treated with anticoagulant, and placed on ice for two hours. Plasma was then obtained by centrifugation at 3500 rpm for 10 min. The resulting plasma was aliquoted into cryogenic vials and stored at −20 °C pending metabolomic analysis. Cecal specimens were aseptically harvested from poultry subjects, immediately flash-frozen in liquid nitrogen, and subsequently transferred to −80 °C storage for downstream analysis.\nThe chicken serotonin ELISA kit (MM-204101) and chicken dopamine ELISA kit (MM-6004401), purchased from Jiangsu Meibiao Biotechnology Co., Ltd, were utilized to quantify serotonin and dopamine concentrations in plasma and brain tissues (hippocampus, hypothalamus) of broilers. Experimental analyses adhered strictly to protocols during procedural execution.\nTotal genomic DNA was extracted from cecal content using a commercial DNA extraction kit. DNA concentration and purity were assessed using a NanoDrop spectrophotometer (Thermo Fisher Scientific, USA), and quality was verified via 1.2% agarose gel electrophoresis. The V3-V4 region of the bacterial 16S rRNA gene was amplified using PCR with primers containing sample-specific barcodes:Forward Primer: 5′-ACTCCTACGGGAGGCAGCA-3′Reverse Primer: 5′-GGACTACHVGGGTWTCTAAT-3′\nForward Primer: 5′-ACTCCTACGGGAGGCAGCA-3′\nReverse Primer: 5′-GGACTACHVGGGTWTCTAAT-3′\nPCR reactions employed Pfu Ultra High-Fidelity DNA Polymerase (TransGen Biotech, China) under standard cycling conditions. Amplified products (25 μL) were purified with Vazyme VAHTSTM DNA Clean Beads at a 0.8 × bead-to-sample volume ratio. Purified DNA was quantified fluorometrically using the Quant-iT PicoGreen dsDNA Assay Kit (Thermo Fisher Scientific) on a BioTek FLx800 microplate reader (Agilent Technologies, USA).\nThe preparation of sequencing libraries was conducted using Illumina's TruSeq Nano DNA LT Library Prep Kit, while community DNA fragments were subjected to sequencing utilising the Illumina MiSeq/NovaSeq platform with paired-end sequencing. Raw sequencing reads were stored in FASTQ format and subjected to denoising and error-correction steps using the DADA2 algorithm. Sequence clustering was performed to generate operational taxonomic unit (OTU), and subsequent taxonomic annotation was executed via alignment with the Greengenes database for microbial species identification. The calculation of sample diversity was carried out using QIIME2 software, and the inter-group differences (β-diversity) were analyzed based on the Bray–Curtis PCoA algorithm, with PERMANOVA tests for validation. Linear discriminant analysis with effect size (LEfSe) was then used to differentiate between microbes in chronic corticosterone exposure groups and control groups. Functional predictions were made by normalizing the OTU abundance table with PICRUSt and aligning sequenced genes with the MetaCyc database for functional annotation.\nThe denoising and clustering of sequences was performed using the DADA2 method, with each dereplicated sequence post-DADA2 quality control referred to as an OTU. The Greengenes database was used for the annotation of species. The assessment of alpha diversity was conducted using QIIME2 (2019.4) software to calculate Simpson's index, Shannon's index, observed species, and Chao1 index. Inter-group differences were analysed based on the Bray–Curtis PCoA algorithm, with P-values calculated using PERMANOVA tests to assess β-diversity. The R package (Python LEfSe package, R ggtree, ggplot2 package) was utilized to implement LEfSe, a methodology that integrates linear discriminant analysis with effect size, to select microbes with LDA > 2 and P < 0.05 (P-values calculated using Wilcoxon rank-sum tests, and LDA values calculated using Linear discriminant analysis).\nFunctional prediction analysis was performed according to the following workflow: The OTU abundance table was normalized using PICRUSt for subsequent analyses. The obtained gene sequences were then aligned against the MetaCyc database for comprehensive functional annotation.\nPlasma samples were thawed at 4 °C and vortexed for 1 min to ensure homogeneity. A 100 μL aliquot of each sample was precisely pipetted into a 2 mL centrifuge tube. Subsequently, 400 μL of methanol solution (previously stored at −20 °C) was added, and the mixture was vortexed for 1 min. The samples were then centrifuged at 12,000 rpm and 4 °C for 10 min. The entire supernatant was carefully transferred to a fresh 2 mL centrifuge tube and dried under concentration. For reconstitution, exactly 150 μL of an 80% methanol aqueous solution containing 2-chloro-L-phenylalanine (4 ppm, stored at 4 °C) was added. The resulting supernatant was filtered through a 0.22 μm membrane, and the filtrate was placed in a detection vial for subsequent LC–MS analysis.\nChromatographic separation was performed on a Thermo Vanquish ultrahigh-performance liquid chromatography (UHPLC) system (Thermo Fisher Scientific, Waltham, MA, USA) using an ACQUITY UPLC® HSS T3 column (2.1 × 150 mm, 1.8 µm; Waters, Milford, MA, USA). Chromatographic conditions included a flow rate of 0.25 mL/min, column temperature of 40 °C, and an injection volume of 2 µL. In positive ion mode, the mobile phases were 0.1% formic acid in acetonitrile (C) and 0.1% formic acid in water (D), with a gradient elution program as follows: 0–1 min, 2% C; 1–9 min, 2%−50% C; 9–12 min, 50%−98% C; 12–13.5 min, 98% C; 13.5–14 min, 98%−2% C; 14–20 min, 2% C. In negative ion mode, the mobile phases were acetonitrile (A) and 5 mM ammonium formate in water (B), with a gradient elution program as follows: 0–1 min, 2% A; 1–9 min, 2%−50% A; 9–12 min, 50%−98% A; 12–13.5 min, 98% A; 13.5–14 min, 98%−2% A; 14–17 min, 2% A.\nThe Thermo Orbitrap Exploris 120 mass spectrometer (Thermo Fisher Scientific, USA), equipped with an electrospray ionization source, was used to acquire data in both positive and negative ion modes. The positive ion spray voltage was set to 3.50 kV, and the negative ion spray voltage to −2.50 kV, with a sheath gas of 30 arb and an auxiliary gas of 10 arb. The capillary temperature was 325 °C, with a resolution of 60,000 for full MS1 scans, scanning m/z range from 100 to 1000, and HCD was used for MS2 fragmentation with a collision energy of 30%, a resolution of 15,000, and the top 4 ions were selected for fragmentation, with dynamic exclusion to remove unnecessary MS/MS information. Mass spectrometric analyses were performed using a Thermo Orbitrap Exploris 120 instrument (Thermo Fisher Scientific) equipped with an electrospray ionization source. Data acquisition alternated between positive and negative ion modes, with spray voltages set to + 3.50 kV and −2.50 kV, respectively. The ion transfer tube temperature was maintained at 325 °C, with sheath gas and auxiliary gas flow rates set to 30 and 10 arbitrary units, respectively. Full-scan MS1 spectra (m/z 100–1000) were acquired at a resolution of 60,000, while MS2 fragmentation employed higher-energy collisional dissociation (HCD) with a normalized collision energy of 30%. Product ion spectra (MS2) were collected at 15,000 resolution using a data-dependent acquisition strategy targeting the four most intense precursor ions, with dynamic exclusion enabled to minimize redundant fragmentation.\nThe raw mass spectrometry data files were converted to mzXML format utilizing the MSConvert tool in the Proteowizard software suite (version 3.0.8789). Subsequent data processing including peak detection, peak filtering, and peak alignment was performed using the XCMS package in the R environment, yielding quantitative compound profiles with specified parameters: bandwidth (bw) = 2, mass accuracy (ppm) = 15, peakwidth range = c (5–30 s), mass window (mzwid) = 0.015, mass difference (mzdiff) = 0.01, employing the centWave algorithm. Compound annotation was executed through cross-referencing with established public repositories (HMDB, MassBank, LipidMaps, mzCloud, KEGG) supplemented by the proprietary compound database of Suzhou Panomix Biomedical Technology Co., Ltd., maintaining a mass accuracy threshold below 30 parts per million (ppm).\nMultivariate pattern recognition pipelines comprising PCA and PLS-DA were implemented via the Ropls package to compress sample data feature space. Diagnostic visualization outputs including score-loading diagram pairs and S-plot matrices elucidated inter-sample metabolite profile variations, while permutation-based cross-validation protocols monitored model overfitting risks.\nStatistical validation entailed applying Wilcoxon rank-sum tests for significance probability determination, complemented by orthogonal component regression algorithms to quantify projection-axis variable importance indices (VIP) for biomarker prioritization. Metabolite classification thresholds were defined as biologically relevant at p < 0.05 with concurrent VIP > 1.0. Computational workflows integrated the MetaboAnalyst analytical suite with MetPA pathway repositories to detect dysregulated metabolic networks. Pathway statistical evaluations incorporated hypergeometric distributions while topological characterization utilized betweenness centrality measures. Derived through algorithmic integration of metabolite response parameters and dimensionality reduction techniques, scaled pathway activation indices enabled Pearson correlation coefficient calculations across metabolic networks. Pathway enrichment patterns were rendered via KEGG Mapper's visualization framework for differential metabolite-network mapping.\nCorrelation analysis and heatmap visualization were performed to explore associations between microbial community composition (16S rDNA relative abundance data), metabolite profiles (metabolite relative concentrations), and aggressive behavior. Analyses utilized cloud-based platforms: OmicStudio (https://www.omicstudio.cn/) and Biodeep (https://www.biodeep.cn/). Spearman’s rank correlation coefficient was calculated to quantify statistical relationships between variables, with results filtered for significance.\nExperimental measurements adopted the arithmetic mean ± SEM (standard error of the mean) formatting convention. Statistical computation environments included IBM SPSS Statistics 26.0 for hypothesis testing and GraphPad Prism 8.0 for graphical data representation. Between-group comparisons executed independent samples t-testing protocols, with probability thresholds defined through hierarchical significance stratification: p-values below 0.05 designating statistical significance and values under 0.01 specifying heightened confidence levels.\n\n\n### Animals and experimental design\nFifty yellow-feather broilers chickens (one-day-old) were selected for the experiment and housed in standard cages (size 90 cm*60 cm*40 cm) within a temperature-controlled animal room at Nanjing Agricultural University. The chickens were subjected to a 16-h light/8-h dark daily light cycle. The chicks were fed a commercial broiler diet as recommended by the NRC (1994). At 28 days, chickens were grouped into body weight-matched pairs and randomly assigned to either a control group or a corticosterone-treated group. Chickens assigned to the corticosterone-treated group received once daily subcutaneously injected corticosterone with a dosage of 4 mg/kg body weight. (between 13:00 and 15:30). The control group was administered a subcutaneous injection of 15% ethanol solution at the same dosage as the corticosterone group. The treatment lasted seven consecutive days, during which a chronic stress model was established. Food and water were freely available throughout the trial period. Body weight and feed intake were recorded daily. Corticosterone was procured from J&K Scientific. It was initially dissolved in 100% ethanol to a concentration of 1% as a stock solution, maintained in light-protected conditions at 4 °C. For experimental use, aliquots were diluted with sterile saline to achieve final ethanol content reduced to 15% (v/v).\n\n\n### Aggression experiment\nBehavioral evaluations for aggression commenced during days 35–36 post-hatching. A dedicated testing chamber physically separated from the poultry rearing environment contained dimensionally standardized enclosures (90 cm × 60 cm × 40 cm), mirroring the containment systems employed during broiler development for experimental assessment.\nAccording to the prescribed protocol, experimental cohorts underwent randomized sampling (n = 100/group) with subsequent anatomical differentiation using dermatologically applied chromatic discriminators ensuring spatial exclusivity across integration zones. Two chickens from the same group but different cages (with no prior contact) were concurrently introduced into the experimental arena. Interactions were video-recorded for 60 min before transitioning to the next experimental pair. During the recording, the experimenters maintained a distance of at least 1 m from the test area. Four synchronized cameras, connected to a computer, were mounted above the four test pens. Behavioral data were recorded and subsequently transferred to the laboratory for analysis. The daily test sessions were scheduled as follows: 8:00–11:00 and 14:00–17:00, conducted over two consecutive days.\nFollowing data collection, three independent assessors blinded to the experimental groups reviewed and analyzed the footage, quantifying the frequency of aggressive behaviors exhibited by each group of broilers over the 60-min observation period. Aggressive behavior categories were categorized according to the methodology outlined by Kitaysky (2003), as detailed in Table S1. Additionally, the dominant and subordinate broilers in each group were determined using Froman's method, which assesses the social dominance between paired broilers based on how often one broiler avoids another during the aggressive behavior test (Froman et al. 2002). The broiler that is clearly avoided is considered the dominant broiler.\n\n\n### Samples collection and analysis\nOn day 37, following a 12-h fasting period, Yellow-feather broilers were weighed and subsequently euthanized via decapitation. Blood samples were immediately collected, treated with anticoagulant, and placed on ice for two hours. Plasma was then obtained by centrifugation at 3500 rpm for 10 min. The resulting plasma was aliquoted into cryogenic vials and stored at −20 °C pending metabolomic analysis. Cecal specimens were aseptically harvested from poultry subjects, immediately flash-frozen in liquid nitrogen, and subsequently transferred to −80 °C storage for downstream analysis.\n\n\n### Determination of 5-HT content\nThe chicken serotonin ELISA kit (MM-204101) and chicken dopamine ELISA kit (MM-6004401), purchased from Jiangsu Meibiao Biotechnology Co., Ltd, were utilized to quantify serotonin and dopamine concentrations in plasma and brain tissues (hippocampus, hypothalamus) of broilers. Experimental analyses adhered strictly to protocols during procedural execution.\n\n\n### 16S rRNA sequencing of cecal contents\nTotal genomic DNA was extracted from cecal content using a commercial DNA extraction kit. DNA concentration and purity were assessed using a NanoDrop spectrophotometer (Thermo Fisher Scientific, USA), and quality was verified via 1.2% agarose gel electrophoresis. The V3-V4 region of the bacterial 16S rRNA gene was amplified using PCR with primers containing sample-specific barcodes:Forward Primer: 5′-ACTCCTACGGGAGGCAGCA-3′Reverse Primer: 5′-GGACTACHVGGGTWTCTAAT-3′\nForward Primer: 5′-ACTCCTACGGGAGGCAGCA-3′\nReverse Primer: 5′-GGACTACHVGGGTWTCTAAT-3′\nPCR reactions employed Pfu Ultra High-Fidelity DNA Polymerase (TransGen Biotech, China) under standard cycling conditions. Amplified products (25 μL) were purified with Vazyme VAHTSTM DNA Clean Beads at a 0.8 × bead-to-sample volume ratio. Purified DNA was quantified fluorometrically using the Quant-iT PicoGreen dsDNA Assay Kit (Thermo Fisher Scientific) on a BioTek FLx800 microplate reader (Agilent Technologies, USA).\n\n\n### Microbiome data processing and analysis\nThe preparation of sequencing libraries was conducted using Illumina's TruSeq Nano DNA LT Library Prep Kit, while community DNA fragments were subjected to sequencing utilising the Illumina MiSeq/NovaSeq platform with paired-end sequencing. Raw sequencing reads were stored in FASTQ format and subjected to denoising and error-correction steps using the DADA2 algorithm. Sequence clustering was performed to generate operational taxonomic unit (OTU), and subsequent taxonomic annotation was executed via alignment with the Greengenes database for microbial species identification. The calculation of sample diversity was carried out using QIIME2 software, and the inter-group differences (β-diversity) were analyzed based on the Bray–Curtis PCoA algorithm, with PERMANOVA tests for validation. Linear discriminant analysis with effect size (LEfSe) was then used to differentiate between microbes in chronic corticosterone exposure groups and control groups. Functional predictions were made by normalizing the OTU abundance table with PICRUSt and aligning sequenced genes with the MetaCyc database for functional annotation.\nThe denoising and clustering of sequences was performed using the DADA2 method, with each dereplicated sequence post-DADA2 quality control referred to as an OTU. The Greengenes database was used for the annotation of species. The assessment of alpha diversity was conducted using QIIME2 (2019.4) software to calculate Simpson's index, Shannon's index, observed species, and Chao1 index. Inter-group differences were analysed based on the Bray–Curtis PCoA algorithm, with P-values calculated using PERMANOVA tests to assess β-diversity. The R package (Python LEfSe package, R ggtree, ggplot2 package) was utilized to implement LEfSe, a methodology that integrates linear discriminant analysis with effect size, to select microbes with LDA > 2 and P < 0.05 (P-values calculated using Wilcoxon rank-sum tests, and LDA values calculated using Linear discriminant analysis).\nFunctional prediction analysis was performed according to the following workflow: The OTU abundance table was normalized using PICRUSt for subsequent analyses. The obtained gene sequences were then aligned against the MetaCyc database for comprehensive functional annotation.\n\n\n### LC–MS analysis of plasma\nPlasma samples were thawed at 4 °C and vortexed for 1 min to ensure homogeneity. A 100 μL aliquot of each sample was precisely pipetted into a 2 mL centrifuge tube. Subsequently, 400 μL of methanol solution (previously stored at −20 °C) was added, and the mixture was vortexed for 1 min. The samples were then centrifuged at 12,000 rpm and 4 °C for 10 min. The entire supernatant was carefully transferred to a fresh 2 mL centrifuge tube and dried under concentration. For reconstitution, exactly 150 μL of an 80% methanol aqueous solution containing 2-chloro-L-phenylalanine (4 ppm, stored at 4 °C) was added. The resulting supernatant was filtered through a 0.22 μm membrane, and the filtrate was placed in a detection vial for subsequent LC–MS analysis.\nChromatographic separation was performed on a Thermo Vanquish ultrahigh-performance liquid chromatography (UHPLC) system (Thermo Fisher Scientific, Waltham, MA, USA) using an ACQUITY UPLC® HSS T3 column (2.1 × 150 mm, 1.8 µm; Waters, Milford, MA, USA). Chromatographic conditions included a flow rate of 0.25 mL/min, column temperature of 40 °C, and an injection volume of 2 µL. In positive ion mode, the mobile phases were 0.1% formic acid in acetonitrile (C) and 0.1% formic acid in water (D), with a gradient elution program as follows: 0–1 min, 2% C; 1–9 min, 2%−50% C; 9–12 min, 50%−98% C; 12–13.5 min, 98% C; 13.5–14 min, 98%−2% C; 14–20 min, 2% C. In negative ion mode, the mobile phases were acetonitrile (A) and 5 mM ammonium formate in water (B), with a gradient elution program as follows: 0–1 min, 2% A; 1–9 min, 2%−50% A; 9–12 min, 50%−98% A; 12–13.5 min, 98% A; 13.5–14 min, 98%−2% A; 14–17 min, 2% A.\nThe Thermo Orbitrap Exploris 120 mass spectrometer (Thermo Fisher Scientific, USA), equipped with an electrospray ionization source, was used to acquire data in both positive and negative ion modes. The positive ion spray voltage was set to 3.50 kV, and the negative ion spray voltage to −2.50 kV, with a sheath gas of 30 arb and an auxiliary gas of 10 arb. The capillary temperature was 325 °C, with a resolution of 60,000 for full MS1 scans, scanning m/z range from 100 to 1000, and HCD was used for MS2 fragmentation with a collision energy of 30%, a resolution of 15,000, and the top 4 ions were selected for fragmentation, with dynamic exclusion to remove unnecessary MS/MS information. Mass spectrometric analyses were performed using a Thermo Orbitrap Exploris 120 instrument (Thermo Fisher Scientific) equipped with an electrospray ionization source. Data acquisition alternated between positive and negative ion modes, with spray voltages set to + 3.50 kV and −2.50 kV, respectively. The ion transfer tube temperature was maintained at 325 °C, with sheath gas and auxiliary gas flow rates set to 30 and 10 arbitrary units, respectively. Full-scan MS1 spectra (m/z 100–1000) were acquired at a resolution of 60,000, while MS2 fragmentation employed higher-energy collisional dissociation (HCD) with a normalized collision energy of 30%. Product ion spectra (MS2) were collected at 15,000 resolution using a data-dependent acquisition strategy targeting the four most intense precursor ions, with dynamic exclusion enabled to minimize redundant fragmentation.\n\n\n### Metabolomics data processing and analysis\nThe raw mass spectrometry data files were converted to mzXML format utilizing the MSConvert tool in the Proteowizard software suite (version 3.0.8789). Subsequent data processing including peak detection, peak filtering, and peak alignment was performed using the XCMS package in the R environment, yielding quantitative compound profiles with specified parameters: bandwidth (bw) = 2, mass accuracy (ppm) = 15, peakwidth range = c (5–30 s), mass window (mzwid) = 0.015, mass difference (mzdiff) = 0.01, employing the centWave algorithm. Compound annotation was executed through cross-referencing with established public repositories (HMDB, MassBank, LipidMaps, mzCloud, KEGG) supplemented by the proprietary compound database of Suzhou Panomix Biomedical Technology Co., Ltd., maintaining a mass accuracy threshold below 30 parts per million (ppm).\nMultivariate pattern recognition pipelines comprising PCA and PLS-DA were implemented via the Ropls package to compress sample data feature space. Diagnostic visualization outputs including score-loading diagram pairs and S-plot matrices elucidated inter-sample metabolite profile variations, while permutation-based cross-validation protocols monitored model overfitting risks.\nStatistical validation entailed applying Wilcoxon rank-sum tests for significance probability determination, complemented by orthogonal component regression algorithms to quantify projection-axis variable importance indices (VIP) for biomarker prioritization. Metabolite classification thresholds were defined as biologically relevant at p < 0.05 with concurrent VIP > 1.0. Computational workflows integrated the MetaboAnalyst analytical suite with MetPA pathway repositories to detect dysregulated metabolic networks. Pathway statistical evaluations incorporated hypergeometric distributions while topological characterization utilized betweenness centrality measures. Derived through algorithmic integration of metabolite response parameters and dimensionality reduction techniques, scaled pathway activation indices enabled Pearson correlation coefficient calculations across metabolic networks. Pathway enrichment patterns were rendered via KEGG Mapper's visualization framework for differential metabolite-network mapping.\nCorrelation analysis and heatmap visualization were performed to explore associations between microbial community composition (16S rDNA relative abundance data), metabolite profiles (metabolite relative concentrations), and aggressive behavior. Analyses utilized cloud-based platforms: OmicStudio (https://www.omicstudio.cn/) and Biodeep (https://www.biodeep.cn/). Spearman’s rank correlation coefficient was calculated to quantify statistical relationships between variables, with results filtered for significance.\nExperimental measurements adopted the arithmetic mean ± SEM (standard error of the mean) formatting convention. Statistical computation environments included IBM SPSS Statistics 26.0 for hypothesis testing and GraphPad Prism 8.0 for graphical data representation. Between-group comparisons executed independent samples t-testing protocols, with probability thresholds defined through hierarchical significance stratification: p-values below 0.05 designating statistical significance and values under 0.01 specifying heightened confidence levels.\n\n\n### Multi-omics integrated analysis\nCorrelation analysis and heatmap visualization were performed to explore associations between microbial community composition (16S rDNA relative abundance data), metabolite profiles (metabolite relative concentrations), and aggressive behavior. Analyses utilized cloud-based platforms: OmicStudio (https://www.omicstudio.cn/) and Biodeep (https://www.biodeep.cn/). Spearman’s rank correlation coefficient was calculated to quantify statistical relationships between variables, with results filtered for significance.\n\n\n### Data analysis\nExperimental measurements adopted the arithmetic mean ± SEM (standard error of the mean) formatting convention. Statistical computation environments included IBM SPSS Statistics 26.0 for hypothesis testing and GraphPad Prism 8.0 for graphical data representation. Between-group comparisons executed independent samples t-testing protocols, with probability thresholds defined through hierarchical significance stratification: p-values below 0.05 designating statistical significance and values under 0.01 specifying heightened confidence levels.\n\n\n### Supplementary Information\nSupplementary Material 1.\nSupplementary Material 1.", "domain": "affective_neuroscience"}
{"source": "PMC13097699", "title": "Thalamic homeostatic transcriptomic signatures are altered in a mouse model of cholestatic liver injury and are mitigated by systemic TNF neutralization", "text": "# Thalamic homeostatic transcriptomic signatures are altered in a mouse model of cholestatic liver injury and are mitigated by systemic TNF neutralization\n\n## Abstract\nCholestatic liver diseases (CLD), including PBC and PSC, are frequently associated with debilitating sickness‑behavior symptoms such as fatigue, cognitive impairment, and anxiety/depression, which have poorly defined etiology and limited treatment options, substantially reducing quality of life. Across immune‑mediated diseases, thalamic changes have been well documented and found to correlate with a number of theses symptoms. Changes in thalamic structure and neural connectivity have been previously identified in PBC patients by us and other groups. These changes include findings indicating reduced tissue neuronal density and myelination, decreased thalamic size, and changes in functional neural connectivity between the thalamus and basal ganglia and cortical behavior-regulating areas that correlated with symptom severity. These observations implicate altered thalamic structure and function in the genesis of CLD-related sickness‑behavior symptoms. Therefore, we used a well characterized mouse model of CLD due to bile duct ligation (BDL) to mechanistically examine how CLD impacts thalamic structure and function. BDL mice showed reduced thalamic volume compared to sham-ligated controls, as determined by MRI, and an altered thalamic RNA–seq transcriptomic signature with predicted molecular activity consistent with inhibition of cellular growth, proliferation, neurite formation, neural function, and myelination, as well as enhanced apoptosis. Additionally, BDL was associated with changes in gene expression for key thalamic nervous system signaling pathways that regulate neurotransmission and behavior. We have previously demonstrated that systemic TNF is a key regulator of liver-to-brain communication and the development of adverse behavioral symptoms in BDL mice. Therefore, we administered anti-TNF antibody to neutralize systemic TNF in BDL mice and determined the impact on thalamic transcriptomic changes. TNF neutralization attenuated BDL-associated thalamic transcriptomic changes and enhanced gene expression in pathways regulating neurotransmission, cell proliferation, and those associated with neuron survival, although myelination pathways remained unaltered. We show that reduced thalamic volume in BDL mice is associated with transcriptomic alterations suggesting inhibition of structural machinery and dysfunction of neural signaling; findings that are significantly attenuated after systemic TNF neutralization. Our findings suggest that TNF inhibition may represent a potential novel approach to attenuate thalamic changes in CLD. The online version contains supplementary material available at 10.1186/s13041-026-01302-5.\n\n## Full Text\n\n\n### Introduction\nPrimary biliary cholangitis (PBC) is a chronic liver disease marked by immune-mediated destruction of small intrahepatic bile ducts leading to cholestasis, progressive fibrosis, and potentially cirrhosis and liver failure [1]. In addition to liver injury, PBC patients commonly experience debilitating behavioral and neuropsychiatric symptoms, including fatigue, cognitive impairment, and anxiety/depression, that can profoundly impair quality of life [1]. Indeed, fatigue can affect up to 80% of PBC patients, is considered moderate to severe in roughly 40% [2, 3], and is characterized by extreme tiredness, decreased motivation, impaired cognition, and often social withdrawal [4, 5]. Fatigue disproportionately impacts younger women, is independent of liver disease severity or therapeutic response to ursodeoxycholic acid (UDCA) treatment [4, 5], and commonly persists post-liver transplant [6]. Unfortunately, how cognitive and behavioural symptoms develop in the context of immune‑mediated liver injury in patients with PBC remains poorly understood. However, thalamic dysfunction is increasingly implicated as an important mechanism regulating behavioural symptom development in the context of many chronic inflammatory diseases.\nThe thalamus is a small brain structure situated at the top of the brainstem, traditionally considered as the key relay station for nearly all sensory and motor signals in transit from the body to the cerebral cortex [7]. However, the thalamus is not simply a passive relay station but acts as a dynamic integrator and processor of neural information [8, 9], reciprocally sharing information between the cortex and subcortical structures, including the limbic system, striatum and basal ganglia [10, 11]. These neural interactions critically regulate numerous complex behaviors and have been strongly implicated in the genesis of central fatigue. Specifically, altered thalamic volume and neural connectivity have been linked to both subjective and objective measures of fatigue in immune-mediated inflammatory diseases, including long-Covid, and in neurological diseases such as multiple sclerosis [12–15]. Changes in thalamic structure and neural connectivity have been previously identified in PBC patients by us and other groups. Specifically, PBC patients showed increased thalamic apparent diffusion coefficient compared to healthy controls [16], a finding indicating reduced tissue neuronal density and decreased myelination [17]. Using resting state functional MRI we found decreased thalamic size and intrinsic neural activity in PBC patients associated with changes in functional neural connectivity between the thalamus and the striatum, limbic structures, and key behavior-regulating areas of the cortex that correlated with symptom severity, including fatigue [1, 18]. These observations implicate altered thalamic structure and function in the genesis of PBC-related fatigue.\nHow immune-mediated liver injury in PBC might drive changes in brain function is poorly understood. However, communication pathways between the liver and brain must be established in PBC that generate altered CNS neurotransmission leading to the development of central fatigue [19–21]. Indeed, we previously showed in an animal model of PBC due to bile duct ligation that blocking systemic TNF signaling significantly blunted altered brain neurotransmission and behavioral changes associated with cholestatic liver injury in this animal model, findings directly implicating TNF as an important liver-to-brain signaling molecule in regulating the CNS manifestations associated with cholestatic liver disease [22–25]. However, the potential role of TNF in regulating thalamic changes in PBC remains unknown but is clearly important as therapeutic targeting of TNF signaling is a feasible approach that could be potentially employed clinically.\nA homeostatic thalamic transcriptomic signature maintains normal thalamic structure and function [26]. We hypothesize that cholestatic liver disease leads to changes in this homeostatic gene signature resulting in altered thalamic structure and neural function, similar to that identified in other chronic systemic immune-mediated diseases [12–15]. Moreover, changes we identify in the thalamic transcriptomic landscape could potentially be used as an experimental tool to define key systemic liver-to-brain signaling pathways, such as those involving TNF in driving these thalamic changes in cholestatic liver disease. Therefore, we undertook a series of experiments using the bile duct ligation mouse model of cholestatic liver disease to examine this.\n\n\n### Methods and materials\nBile duct ligation (BDL) in rodents is a well-established experimental model of cholestatic liver injury characterized by progressive liver damage, ductular reaction, inflammation, fibrogenesis, and related systemic alterations [27–29]. In addition, BDL mice exhibit highly reproducible changes in brain neurotransmission and behavior that mimic a number of clinical manifestations widely documented in PBC patients [4, 5, 22–25, 30–33]. Therefore, in this study we used the BDL mouse model to define cholestatic liver injury-associated molecular and structural changes within the thalamus. Male C57BL/6 mice (8–10 weeks old; Jackson Laboratory, Bar Harbor, ME) underwent BDL and sham surgeries according to our previously established experimental protocols [22–25, 33]. Control mice underwent sham resection that included laparotomy with manipulation of the bile duct without ligation. All surgical procedures were performed under isoflurane anesthesia, and measures were taken to minimize animal suffering. All MRI, transcriptomic, and PCR analyses were conducted 10 days following surgery [23, 33]. Numbers of animals used in each experiment are specified in the corresponding figure legends. All experimental procedures were approved by the University of Calgary Animal Care Committee and conducted in accordance with the guidelines of the Canadian Council on Animal Care.\n\n\n### Animal model of cholestatic liver injury\nBile duct ligation (BDL) in rodents is a well-established experimental model of cholestatic liver injury characterized by progressive liver damage, ductular reaction, inflammation, fibrogenesis, and related systemic alterations [27–29]. In addition, BDL mice exhibit highly reproducible changes in brain neurotransmission and behavior that mimic a number of clinical manifestations widely documented in PBC patients [4, 5, 22–25, 30–33]. Therefore, in this study we used the BDL mouse model to define cholestatic liver injury-associated molecular and structural changes within the thalamus. Male C57BL/6 mice (8–10 weeks old; Jackson Laboratory, Bar Harbor, ME) underwent BDL and sham surgeries according to our previously established experimental protocols [22–25, 33]. Control mice underwent sham resection that included laparotomy with manipulation of the bile duct without ligation. All surgical procedures were performed under isoflurane anesthesia, and measures were taken to minimize animal suffering. All MRI, transcriptomic, and PCR analyses were conducted 10 days following surgery [23, 33]. Numbers of animals used in each experiment are specified in the corresponding figure legends. All experimental procedures were approved by the University of Calgary Animal Care Committee and conducted in accordance with the guidelines of the Canadian Council on Animal Care.\n\n\n### In vivo brain magnetic resonance imaging (MRI)\nIn vivo MRI imaging was conducted in the Experimental Imaging Centre (EIC), University of Calgary, using a 9.4T/21 cm horizontal bore magnet (Magnex, UK) with Bruker B-GA12S gradient insert and Bruker Avance II Biospin MR imaging system run by the ParaVision 5.1 software. Bruker’s 20 mm 1 H Mouse Brain Quadrature Transmit/Receive Surface CryoProbe cooled by a closed-cycle refrigeration system, was used for imaging. Complete descriptions of the in vivo MRI acquisition parameters, procedural details, and image‑analysis workflow are provided in the Supplementary section.\n\n\n### Thalamic transcriptome analysis\nMice were euthanized with isoflurane and perfused with 20 ml of ice-cold PBS. The whole brain was removed, and the thalamus was dissected and stored at -80 °C in RA1 lysis buffer (Cat No. 740961.500; Macherey–Nagel, Düren, Germany) until RNA extraction. Distinct cohorts of mice were used for the MRI study and RT-qPCR/RNA-Seq analyses. Total RNA was extracted from the thalamus using the NucleoSpin® RNA purification kit (Cat No. 740955-250, Macherey–Nagel, Düren, Germany). Bulk tissue RNA sequencing on thalamus RNA was conducted in the University of Calgary Centre for Health Genomics and Informatics, as previously described [33]. RNA libraries were sequenced using paired-end 50 bp fragment sequencing on NovaSeq™ 6000 and NextSeq 2000 high-throughput Illumina sequencing systems.\nBulk RNA-seq analysis was performed using CLC Genomics Workbench version 24.0.2. Statistical comparisons of gene expression tracks generated by CLC Genomics Workbench were exported to the web-based Ingenuity Pathway Analysis (IPA) software (QIAGEN, Redwood City, Version 134816949) to generate biological insights from differential gene expression profiles in the thalamus. IPA’s Core Analysis module and its associated functionality were specifically used to identify Canonical pathways, Disease and Functions, and Regulator Effects to identify biological processes impacted by differently expressed genes (DEGs) in the thalamus as a result of cholestatic liver injury and after anti-TNF treatment.\n\n\n### Quantitative RT-PCR\nQuantitative Real-Time Reverse Transcription PCR (qRT-PCR) was used to validate the gene expression changes identified in our RNA-seq analyses. All PCR reactions were performed using PowerUp SYBR Green Master Mix on a QuantStudio 3 Real-Time PCR System (Thermo Fisher Scientific).\n\n\n### Anti-TNF treatment\nTo delineate a potential role of TNF in cholestatic liver injury‑associated changes in the thalamic transcriptomic molecular signature, mice underwent BDL and then received intraperitoneal injections of either phosphate‑buffered saline (PBS) or anti‑TNF antibodies (300 µg) every other day, starting two days after surgery [23, 34]. Sham-operated controls received PBS alone on the same schedule (days 2, 4, 6, and 8). Brain and blood samples were collected on day 10 post‑surgery for subsequent PCR, RNA‑seq, and blood‑chemistry analyses.\nData are presented as mean ± standard error of the mean (SEM). Statistical analyses were performed using GraphPad Prism software v10.4.1 (GraphPad Software Inc., San Diego, CA, USA). Normality was evaluated using the Kolmogorov–Smirnov algorithm in GraphPad Prism. If the data satisfied the normality assumption, we applied parametric tests (unpaired t-test or one-way ANOVA). When normality was not met, we used a non‑parametric Mann‑Whitney test. Statistical significance was defined as p ≤ 0.05.\n\n\n### Statistical analysis\nData are presented as mean ± standard error of the mean (SEM). Statistical analyses were performed using GraphPad Prism software v10.4.1 (GraphPad Software Inc., San Diego, CA, USA). Normality was evaluated using the Kolmogorov–Smirnov algorithm in GraphPad Prism. If the data satisfied the normality assumption, we applied parametric tests (unpaired t-test or one-way ANOVA). When normality was not met, we used a non‑parametric Mann‑Whitney test. Statistical significance was defined as p ≤ 0.05.\n\n\n### Results\nSuccessful induction of cholestatic liver injury was confirmed by identification of significant elevations in serum alanine aminotransferase (ALT), alkaline phosphatase (ALP), aspartate aminotransferase (AST), and total bilirubin (TBil) levels in BDL vs. sham control mice [22–25] Suppl. Figure 1.\nTo investigate the impact of cholestatic liver disease on thalamic volume, bile duct-ligated and sham control mice were subjected to high-resolution in vivo MRI imaging 10 days post-surgery. Quantitative volumetric analysis revealed a significant reduction in thalamic volume, normalized to total brain volume, in BDL mice compared to sham controls (Fig. 1).\nFig. 1Magnetic resonance imaging (MRI) shows a significant reduction in thalamic volume in BDL vs. sham control animals. A Region of interest image generated after image co-registration to segmented mouse atlas. B FLASH image used as the anatomical reference image for co-registration (TE = 6.5ms, TR=1500ms, a = 60°, resolution = 0.375 × 0.375 × 0.25 mm³). C Thalamic volume as % of total brain volume in day 10 sham vs. BDL mice. *p = 0.0074, n = 10 mice per group\nMagnetic resonance imaging (MRI) shows a significant reduction in thalamic volume in BDL vs. sham control animals. A Region of interest image generated after image co-registration to segmented mouse atlas. B FLASH image used as the anatomical reference image for co-registration (TE = 6.5ms, TR=1500ms, a = 60°, resolution = 0.375 × 0.375 × 0.25 mm³). C Thalamic volume as % of total brain volume in day 10 sham vs. BDL mice. *p = 0.0074, n = 10 mice per group\nBDL induced significant alterations in the thalamic tissue gene expression profile compared to sham controls, as visualized by a volcano plot (Suppl. Figure 2). All gene transcripts meeting predefined differential expression thresholds (FDR < 0.05, absolute fold change ≥ 1.2, and maximum group mean ≥ 1) are detailed in Suppl. File 1. To elucidate the potential biological significance of thalamic transcriptional changes, tissue DEG sets were analyzed using IPA Core Analysis which utilizes processed RNA-seq data and provides insights into pathways, regulators, and disease or function associations that can be linked to the DEG alterations. Key pathway analysis findings are summarized below and indicate BDL-associated changes in thalamic gene expression signatures linked to altered myelination, cellular growth, neural proliferation, and neurotransmission:\n(i) Impaired myelination pathways: Canonical Pathway analysis, using IPA mapped thalamic DEGs onto established canonical pathways, predicted a BDL-associated inhibition of the Myelination Signaling Pathway, consistent with inhibition of myelination processes (Fig. 2A, B). A potential deficit in myelination in BDL vs. sham control mice was further supported by a significant reduction in thalamic PLP1 (Proteolipid Protein 1) mRNA levels which encodes for a protein essential for myelin integrity and function (Suppl. Figure 3).\nImpaired myelination pathways: Canonical Pathway analysis, using IPA mapped thalamic DEGs onto established canonical pathways, predicted a BDL-associated inhibition of the Myelination Signaling Pathway, consistent with inhibition of myelination processes (Fig. 2A, B). A potential deficit in myelination in BDL vs. sham control mice was further supported by a significant reduction in thalamic PLP1 (Proteolipid Protein 1) mRNA levels which encodes for a protein essential for myelin integrity and function (Suppl. Figure 3).\nFig. 2Top dysregulated pathways identified through a targeted enrichment analysis focused on brain‑specific signaling and cellular growth-proliferation in thalamic tissue of BDL vs. sham mice. Ingenuity Pathway Analysis (IPA) canonical pathways chart showing the top 12 significantly enriched biological pathways from gene expression data in the thalamus of BDL vs. sham mice that passed an analysis cutoff of adjusted p-value ≤ 0.05 and absolute activation z score of ≥ 2. The vertical bars represent different canonical pathways. The length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). The horizontal orange line represents the threshold cutoff for FDR-adjusted p-values of ≤ 0.05. Orange and blue shaded bars represent predicted pathway activation and inhibition, respectively. A IPA pathways chart displaying the top 12 enriched pathways related to cellular growth and proliferation. B IPA pathways chart displaying the top 12 enriched pathways related to nervous system signaling and function. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis\nTop dysregulated pathways identified through a targeted enrichment analysis focused on brain‑specific signaling and cellular growth-proliferation in thalamic tissue of BDL vs. sham mice. Ingenuity Pathway Analysis (IPA) canonical pathways chart showing the top 12 significantly enriched biological pathways from gene expression data in the thalamus of BDL vs. sham mice that passed an analysis cutoff of adjusted p-value ≤ 0.05 and absolute activation z score of ≥ 2. The vertical bars represent different canonical pathways. The length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). The horizontal orange line represents the threshold cutoff for FDR-adjusted p-values of ≤ 0.05. Orange and blue shaded bars represent predicted pathway activation and inhibition, respectively. A IPA pathways chart displaying the top 12 enriched pathways related to cellular growth and proliferation. B IPA pathways chart displaying the top 12 enriched pathways related to nervous system signaling and function. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis\n(ii) Inhibition of cellular growth and proliferation pathways: RNA‑seq profiling and IPA analysis of the thalamus revealed tissue level gene expression signatures consistent with suppressed cellular growth and reduced neurogenesis pathways in BDL vs. sham mice. A targeted Canonical Pathways enrichment analysis specifically focused on pathways governing Cell Cycle Regulation, Cellular Growth, Proliferation and Development, and Growth Factor Signaling, identified significant alterations in several key pathways in the thalamus of BDL mice compared with sham controls that are essential for normal thalamic neuronal growth, differentiation, survival, and plasticity, including predicted inhibition of CDK5 Signaling, CREB Signaling in Neurons, BBSome Signaling Pathway, and Regulation of eIF4 and p70S6K Signaling, and predicted activation of EiF2 signalling (Fig. 2A). File 2 in Supplementary Material provides a complete list of significantly impacted pathways (FDR ≤ 0.05).\nInhibition of cellular growth and proliferation pathways: RNA‑seq profiling and IPA analysis of the thalamus revealed tissue level gene expression signatures consistent with suppressed cellular growth and reduced neurogenesis pathways in BDL vs. sham mice. A targeted Canonical Pathways enrichment analysis specifically focused on pathways governing Cell Cycle Regulation, Cellular Growth, Proliferation and Development, and Growth Factor Signaling, identified significant alterations in several key pathways in the thalamus of BDL mice compared with sham controls that are essential for normal thalamic neuronal growth, differentiation, survival, and plasticity, including predicted inhibition of CDK5 Signaling, CREB Signaling in Neurons, BBSome Signaling Pathway, and Regulation of eIF4 and p70S6K Signaling, and predicted activation of EiF2 signalling (Fig. 2A). File 2 in Supplementary Material provides a complete list of significantly impacted pathways (FDR ≤ 0.05).\nAdditionally, the Diseases and BioFunctions analysis module of IPA, which maps gene‑expression changes to predicted biological outcomes, revealed significant enrichment with an overall predicted inhibition of biofunctions linked to proliferation of neural cells, development of neural cells, and growth of neurites in the thalamus of BDL vs. sham control mice. Table 1 lists the highest‑ranking disease or function annotations together with their predicted activation states. A complete list of all enriched terms under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories meeting predefined criteria (FDR‑adjusted p < 0.05 and absolute predicted activation Z‑score ≥ 2), along with molecules associated with each term, is provided in Supplemental File 3.\nTable 1Top enriched diseases and biofunctions identified by IPA Analysis in the thalamus of BDL vs. Sham mice. Table 1 lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories that passed an enrichment cutoff of an FDR-adjusted p-value ≤ 0.05 and an absolute predicted activation Z-score ≥ 2. The last column in the table indicates the number of differentially expressed genes from our dataset that overlap with the network associated with each disease or function annotation. Nine thalamic samples per treatment group were sequenced with bulk RNA-seq analysisDiseases or functions annotationB-H p-valuePredicted activation stateActivation z-score# MoleculesDevelopment of neural cells2.81E-37Decreased-3.374343Development of central nervous system3.06E-23Decreased-3.162233Morphogenesis of neurons5.68E-25Decreased-3.12251Development of neurons1.49E-33Decreased-3.109323Neuritogenesis2.47E-24Decreased-3.034247Proliferation of neuronal cells5.12E-20Decreased-2.667176Neurotransmission8.64E-17Decreased-2.141143Growth of neurites4.68E-15Decreased-3.013142Proliferation of neural cells2.21E-23Decreased-3.415227\nTop enriched diseases and biofunctions identified by IPA Analysis in the thalamus of BDL vs. Sham mice. Table 1 lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories that passed an enrichment cutoff of an FDR-adjusted p-value ≤ 0.05 and an absolute predicted activation Z-score ≥ 2. The last column in the table indicates the number of differentially expressed genes from our dataset that overlap with the network associated with each disease or function annotation. Nine thalamic samples per treatment group were sequenced with bulk RNA-seq analysis\nConsistent with pathway-level thalamic gene expression dysregulation identified using IPA, direct measurement of classical cell proliferation gene expression markers using qRT-PCR showed significantly decreased thalamic mRNA expression levels of the cell proliferation marker Ki67 and increased mRNA expression of the cell-cycle inhibitor Cdkn1a (p21) in BDL mice compared to controls (Suppl. Figure 3).\n(iii)Altered neurotransmission: Thalamic neurotransmitter networks critically regulate behavior, including motivation-driven behavior closely linked to the development of central fatigue [11, 35]. IPA analysis of RNA‑seq data indicated significant dysregulation within key molecular pathways governing thalamic neurotransmission and neural function. Specifically, targeted enrichment analysis of brain-specific signaling pathways revealed significant predicted inhibition in several key pathways essential for normal thalamic synaptic transmission and network excitability in BDL mice compared to sham control mice, including the Serotonin Receptor Signaling Pathway, Potassium Channels, Neurexins and Neuroligins, and the Glutamate Receptor Signaling Pathway. In contrast, the inhibitory GABAergic Receptor Signaling Pathway was predicted to be activated (Fig. 2B). These pathway-level gene expression profile alterations provide a molecular framework that could lead to disrupted thalamic neural processing in the context of cholestatic liver disease.(iv) Regulator Effects Analysis-generated causal hypotheses connecting gene expression changes in the thalamus of BDL mice to reduced neural cell proliferation and suppressed neurotransmission: Regulator Effects Analysis was performed on RNA-seq data using IPA to connect and merge upstream regulators with disease and function results, using thalamic DEGs in our dataset as intermediary molecules. This approach generates causal hypotheses and produces directional molecular networks that predict the activation or inhibition of downstream biological functions or diseases based on our input data. This analysis identified several molecular networks whose directional activities may contribute to a reduction in thalamus size and altered neurotransmission in BDL mice. These changes include biological networks predicted to inhibit neural cell proliferation and growth of neurites, to enhance apoptosis, and to suppress neurotransmission (Fig. 3 and Suppl. File 3).\nAltered neurotransmission: Thalamic neurotransmitter networks critically regulate behavior, including motivation-driven behavior closely linked to the development of central fatigue [11, 35]. IPA analysis of RNA‑seq data indicated significant dysregulation within key molecular pathways governing thalamic neurotransmission and neural function. Specifically, targeted enrichment analysis of brain-specific signaling pathways revealed significant predicted inhibition in several key pathways essential for normal thalamic synaptic transmission and network excitability in BDL mice compared to sham control mice, including the Serotonin Receptor Signaling Pathway, Potassium Channels, Neurexins and Neuroligins, and the Glutamate Receptor Signaling Pathway. In contrast, the inhibitory GABAergic Receptor Signaling Pathway was predicted to be activated (Fig. 2B). These pathway-level gene expression profile alterations provide a molecular framework that could lead to disrupted thalamic neural processing in the context of cholestatic liver disease.\nRegulator Effects Analysis-generated causal hypotheses connecting gene expression changes in the thalamus of BDL mice to reduced neural cell proliferation and suppressed neurotransmission: Regulator Effects Analysis was performed on RNA-seq data using IPA to connect and merge upstream regulators with disease and function results, using thalamic DEGs in our dataset as intermediary molecules. This approach generates causal hypotheses and produces directional molecular networks that predict the activation or inhibition of downstream biological functions or diseases based on our input data. This analysis identified several molecular networks whose directional activities may contribute to a reduction in thalamus size and altered neurotransmission in BDL mice. These changes include biological networks predicted to inhibit neural cell proliferation and growth of neurites, to enhance apoptosis, and to suppress neurotransmission (Fig. 3 and Suppl. File 3).\nFig. 3Selected networks generated from IPA regulator effects analysis for thalamic DEGs of BDL vs. sham mice. Regulator effects analysis using IPA was performed on thalamic transcriptome datasets comparing BDL vs. sham mice (A, B, C, and D). Upstream regulators are shown in the top tier and are predicted to be either activated (orange color) or inhibited (blue color) in the thalamus, based on an absolute z-score threshold of 2.0 and a p-value cutoff of 0.05. The target molecules (DEGs) that connect upstream regulators to downstream biological functions are displayed in the middle tier. These genes are color-coded as upregulated (red) or downregulated (green) and shaded to reflect varying expression levels. In the bottom tier, downstream diseases and functions that are predicted to be impacted by this directional network are shown. Significance is defined by the same z-score and p-value thresholds (as above). Predicted activation is indicated in orange, while inhibition is shown in blue. Solid lines indicate direct relationships, and dashed lines indicate indirect relationships. Genes in the figure are represented by standard gene short form symbols - the corresponding full names of these genes can be found in Suppl. File 5. Genes represented are indicated by standard gene symbols. The corresponding official full gene names are shown in Suppl. File 4. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis.\nSelected networks generated from IPA regulator effects analysis for thalamic DEGs of BDL vs. sham mice. Regulator effects analysis using IPA was performed on thalamic transcriptome datasets comparing BDL vs. sham mice (A, B, C, and D). Upstream regulators are shown in the top tier and are predicted to be either activated (orange color) or inhibited (blue color) in the thalamus, based on an absolute z-score threshold of 2.0 and a p-value cutoff of 0.05. The target molecules (DEGs) that connect upstream regulators to downstream biological functions are displayed in the middle tier. These genes are color-coded as upregulated (red) or downregulated (green) and shaded to reflect varying expression levels. In the bottom tier, downstream diseases and functions that are predicted to be impacted by this directional network are shown. Significance is defined by the same z-score and p-value thresholds (as above). Predicted activation is indicated in orange, while inhibition is shown in blue. Solid lines indicate direct relationships, and dashed lines indicate indirect relationships. Genes in the figure are represented by standard gene short form symbols - the corresponding full names of these genes can be found in Suppl. File 5. Genes represented are indicated by standard gene symbols. The corresponding official full gene names are shown in Suppl. File 4. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis.\nTo define a potential role of systemic TNF signaling in driving BDL‑associated transcriptomic dysregulation in the thalamus, BDL mice received intraperitoneal injections of either PBS or anti‑TNF neutralizing antibodies every other day, starting two days post-surgery. Sham-operated controls received PBS on the same schedule (days 2, 4, 6, and 8). Importantly, similar to our previously published findings, anti-TNF treatment did not alter the severity of BDL-associated liver injury [23] (Suppl. Figure 1).\nThe IPA Canonical Pathways tool was used to determine the impact of systemic TNF neutralization on thalamic DEG expression signatures for biological pathways that we had shown were significantly dysregulated in the thalamus of BDL vs. sham control mice. Pathway enrichment analysis filtered to specifically include thalamic pathways linked to brain signaling, cellular growth, and proliferation (significance cutoff of FDR ≤ 0.05 and absolute activation z-score of ≥ 2) is shown in Fig. 4. A comprehensive list of all significantly enriched pathways meeting these criteria is provided in Suppl. File. 2. Anti-TNF treatment exerted a directionally consistent effect on critical thalamic pathways in BDL mice with gene expression patterns indicative of anti-TNF treatment-induced activation of neurotransmission, homeostasis, cellular survival, and growth.\nFig. 4Anti-TNF treatment attenuates key pathway dysregulation in the thalamus of BDL mice. The comparison analysis function in IPA allows visual comparison between various comparison analysis sets side by side. A The canonical pathways heatmaps generated by the comparison analysis tool and visualized with Z scores for thalamic pathway activity for BDL vs. sham and BDL + TNF vs. sham mice indicate that anti-TNF prevents the impact of BDL on key thalamic gene expression signatures linked to altered proliferation and neurotransmission pathways in BDL mice. Shades of orange and blue in the heat map indicate predicted pathway activation and inhibition, respectively (Gray dots indicate that the activity Z score did not pass the significance cutoff level of 2 for pathways shown in the BDL+ anti-TNF vs. sham comparison row, but were significant in the BDL vs. sham comparisons shown in the row above). B The IPA pathway chart displays enriched pathways associated with cellular growth, proliferation, and nervous system signaling and function in the thalamus of the BDL group that are significantly activated (Z score) by anti-TNF treatment (orange colour) compared to activation changes of these pathways in BDL mice without anti-TNF treatment. All listed pathways passed the predefined analysis threshold of FDR ≤ 0.05 and an absolute activation z-score of ≥ 2. The horizontal bars represent different canonical pathways, and the length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). Orange and blue bars represent predicted pathway activation and inhibition, respectively. The horizontal vertical orange line represents the threshold cutoff for p-values of ≤ 0.05. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nAnti-TNF treatment attenuates key pathway dysregulation in the thalamus of BDL mice. The comparison analysis function in IPA allows visual comparison between various comparison analysis sets side by side. A The canonical pathways heatmaps generated by the comparison analysis tool and visualized with Z scores for thalamic pathway activity for BDL vs. sham and BDL + TNF vs. sham mice indicate that anti-TNF prevents the impact of BDL on key thalamic gene expression signatures linked to altered proliferation and neurotransmission pathways in BDL mice. Shades of orange and blue in the heat map indicate predicted pathway activation and inhibition, respectively (Gray dots indicate that the activity Z score did not pass the significance cutoff level of 2 for pathways shown in the BDL+ anti-TNF vs. sham comparison row, but were significant in the BDL vs. sham comparisons shown in the row above). B The IPA pathway chart displays enriched pathways associated with cellular growth, proliferation, and nervous system signaling and function in the thalamus of the BDL group that are significantly activated (Z score) by anti-TNF treatment (orange colour) compared to activation changes of these pathways in BDL mice without anti-TNF treatment. All listed pathways passed the predefined analysis threshold of FDR ≤ 0.05 and an absolute activation z-score of ≥ 2. The horizontal bars represent different canonical pathways, and the length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). Orange and blue bars represent predicted pathway activation and inhibition, respectively. The horizontal vertical orange line represents the threshold cutoff for p-values of ≤ 0.05. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nA comparison analysis gene expression heatmap of the Canonical Pathway analysis presented in Fig. 4A indicates that many significant BDL-related inhibitory effects on key thalamic functional pathways are prevented by anti-TNF treatment (indicated by gray dots overlayed on corresponding pathways in BDL+anti-TNF vs. sham row in the heat map), resulting in a net predicted increase in activity of these pathways compared to the transcriptome profile of BDL mice that did not receive anti-TNF (Fig. 4A, B). Key anti-TNF ‘rescued’ dysregulated thalamic pathways include CREB Signaling in Neurons, Neurexins and Neuroligins, Potassium Channels, and the BBSome Signaling Pathway (Fig. 4B).\nThe Diseases and BioFunctions Analysis tool was used to explore the impact of anti-TNF treatment on molecular networks associated with ‘Nervous System Development and Function’ and ‘Cellular Growth and Proliferation’ categories. Anti-TNF treatment impacted expression of key molecules involved in neural signaling, cell proliferation, neuronal survival, and synaptic plasticity in the thalamus of BDL mice. Collectively, the directionality and pattern of changes in disease- and function- related networks impacted by anti-TNF treatment suggest a systemic TNF-mediated thalamic functional and growth pathway inhibition in BDL mice. Table 2 shows the top thalamic Diseases and Biofunctions modulated by anti-TNF treatment in BDL mice. A complete list of all enriched diseases and functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories passing our enrichment cutoff (FDR-adjusted p-value < 0.05 and absolute predicted activation Z-score ≥ 2), along with a detailed list of all associated molecules annotated with each disease and function, is provided in Suppl. File. 3. Consistent with a beneficial effect of anti-TNF treatment on neural proliferation molecular pathways in the thalamus of BDL mice, qRT-PCR analysis revealed an upregulation of mRNA expression for the cellular proliferation marker Ki‑67 in the thalamus of BDL mice with TNF neutralization (Suppl. Figure 4).\nTable 2Top Ingenuity Pathway Analysis Diseases and Biofunctions in the BDL + anti-TNF vs. BDL thalamus. The table lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories impacted by anti-TNF treatment in BDL mice. The last column in the table indicates the number of differentially expressed genes from our dataset overlapping with the identified network of each disease or function annotation. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysisDiseases or functions annotationB-H p-valuePredicted activation stateActivation z-score# MoleculesDevelopment of neurons5.46E-10Increased2.58143Neuritogenesis1.03E-09Increased2.54137Excitatory postsynaptic potential4.78E-09Increased2.43315Neurotransmission3.90E-15Increased2.17934Synaptic transmission7.02E-12Increased2.12927Neuroprotection2.74E-05Increased2.0468Formation of dendritic spines5.14E-04Increased2.6469Branching of neurites5.34E-04Increased2.58716Proliferation of neural cells2.57E-06Increased2.15329Branching of neurons2.20E-04Increased2.77417\nTop Ingenuity Pathway Analysis Diseases and Biofunctions in the BDL + anti-TNF vs. BDL thalamus. The table lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories impacted by anti-TNF treatment in BDL mice. The last column in the table indicates the number of differentially expressed genes from our dataset overlapping with the identified network of each disease or function annotation. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nIPA’s Regulator Effects Analysis was employed to investigate how anti-TNF treatment could potentially modulate thalamic neurobiological and cellular processes in BDL mice. This hypothesis-generating approach leverages anti-TNF treatment-altered genes in the BDL thalamus as molecular intermediaries to generate predictions of potential effects these changes would be expected to have on diseases and functions, capitalizing on the large, pre-constructed, evidence-based networks contained within the IPA knowledge base. Using this tool, anti-TNF treatment in BDL mice was predicted to enhance processes that regulate neurotransmission and synaptic transmission, as well as enhance branching of neurons, neuronal sprouting, and shape changes in neurites (Fig. 5 and Suppl. File 4).\nFig. 5Selected regulator effects analysis networks for the DEGs in the thalamus of BDL+ anti-TNF vs. BDL mice. Selected Regulator Effects networks illustrating the impact of anti‑TNF treatment on thalamic gene expression signatures and associated biological processes, functions, or diseases in BDL mice (A, B, C). The top tier lists upstream regulators predicted to be activated (orange) or inhibited (blue) based on an absolute z-score of ≥ 2.0 and a p-value of ≤ 0.05. The middle tier displays treatment-responsive target genes (i.e., those altered by anti-TNF treatment in BDL mice vs. BDL alone) that bridge these regulators to downstream functions; upregulated genes are shown in shades of red, and downregulated genes are in shades of green. The bottom tier shows diseases and biological functions predicted to be affected by anti-TNF treatment in BDL mice; orange indicates predicted activation, and blue indicates predicted inhibition. Solid lines depict direct relationships, whereas dashed lines denote indirect relationships. Genes in the figure are represented by standard Gene symbols, and the corresponding full names of these genes can be found in Suppl. File 5. Genes are represented by standard gene symbols and corresponding official full gene names are in Suppl. File 4. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nSelected regulator effects analysis networks for the DEGs in the thalamus of BDL+ anti-TNF vs. BDL mice. Selected Regulator Effects networks illustrating the impact of anti‑TNF treatment on thalamic gene expression signatures and associated biological processes, functions, or diseases in BDL mice (A, B, C). The top tier lists upstream regulators predicted to be activated (orange) or inhibited (blue) based on an absolute z-score of ≥ 2.0 and a p-value of ≤ 0.05. The middle tier displays treatment-responsive target genes (i.e., those altered by anti-TNF treatment in BDL mice vs. BDL alone) that bridge these regulators to downstream functions; upregulated genes are shown in shades of red, and downregulated genes are in shades of green. The bottom tier shows diseases and biological functions predicted to be affected by anti-TNF treatment in BDL mice; orange indicates predicted activation, and blue indicates predicted inhibition. Solid lines depict direct relationships, whereas dashed lines denote indirect relationships. Genes in the figure are represented by standard Gene symbols, and the corresponding full names of these genes can be found in Suppl. File 5. Genes are represented by standard gene symbols and corresponding official full gene names are in Suppl. File 4. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nIn contrast to potential beneficial effects of blocking systemic TNF signaling on BDL-associated changes in thalamic regulatory pathways, as outlined above, anti-TNF treatment did not prevent dysregulation of thalamic myelination pathways associated with BDL as assessed using RNA-seq and IPA analysis (or qRT-PCR for PLP1 mRNA expression; Suppl. Figure 4). RNA-Seq results were further validated using qRT-PCR to confirm both the direction and magnitude of gene expression changes observed in the RNA-Seq data for a selection of genes associated with key dysregulated thalamic pathways in BDL mice, as well as those restored by anti-TNF treatment (Fig. 6).\nFig. 6Quantitative RT-PCR confirmation of anti-TNF-mediated changes in expression levels for key BDL-dysregulated genes determined using RNA-seq. Panels A-F show qRT-PCR mRNA expression results for selected genes comparing expression levels in BDL+ anti-TNF vs BDL without anti-TNF (normalized to expression levels in sham thalamus). N = 7 and 8 mice per group. Symbols *, **, ***, +, ++ represent P-values of 0.0434, 0.035, 0.041, 0.0336, and 0.0154 respectively. For ADCy1, the result was not significant, with a p-value of 0.4833. Genes are represented by standard gene symbols and corresponding official full names are in Suppl. File 5\nQuantitative RT-PCR confirmation of anti-TNF-mediated changes in expression levels for key BDL-dysregulated genes determined using RNA-seq. Panels A-F show qRT-PCR mRNA expression results for selected genes comparing expression levels in BDL+ anti-TNF vs BDL without anti-TNF (normalized to expression levels in sham thalamus). N = 7 and 8 mice per group. Symbols *, **, ***, +, ++ represent P-values of 0.0434, 0.035, 0.041, 0.0336, and 0.0154 respectively. For ADCy1, the result was not significant, with a p-value of 0.4833. Genes are represented by standard gene symbols and corresponding official full names are in Suppl. File 5\n\n\n### Bile duct ligation model of cholestasis\nSuccessful induction of cholestatic liver injury was confirmed by identification of significant elevations in serum alanine aminotransferase (ALT), alkaline phosphatase (ALP), aspartate aminotransferase (AST), and total bilirubin (TBil) levels in BDL vs. sham control mice [22–25] Suppl. Figure 1.\n\n\n### Cholestatic liver injury is associated with reduced thalamic volume\nTo investigate the impact of cholestatic liver disease on thalamic volume, bile duct-ligated and sham control mice were subjected to high-resolution in vivo MRI imaging 10 days post-surgery. Quantitative volumetric analysis revealed a significant reduction in thalamic volume, normalized to total brain volume, in BDL mice compared to sham controls (Fig. 1).\nFig. 1Magnetic resonance imaging (MRI) shows a significant reduction in thalamic volume in BDL vs. sham control animals. A Region of interest image generated after image co-registration to segmented mouse atlas. B FLASH image used as the anatomical reference image for co-registration (TE = 6.5ms, TR=1500ms, a = 60°, resolution = 0.375 × 0.375 × 0.25 mm³). C Thalamic volume as % of total brain volume in day 10 sham vs. BDL mice. *p = 0.0074, n = 10 mice per group\nMagnetic resonance imaging (MRI) shows a significant reduction in thalamic volume in BDL vs. sham control animals. A Region of interest image generated after image co-registration to segmented mouse atlas. B FLASH image used as the anatomical reference image for co-registration (TE = 6.5ms, TR=1500ms, a = 60°, resolution = 0.375 × 0.375 × 0.25 mm³). C Thalamic volume as % of total brain volume in day 10 sham vs. BDL mice. *p = 0.0074, n = 10 mice per group\n\n\n### Cholestatic liver injury induces molecular changes in the brain characterized by disrupted neural signaling and suppressed cellular proliferation and myelination pathways\nBDL induced significant alterations in the thalamic tissue gene expression profile compared to sham controls, as visualized by a volcano plot (Suppl. Figure 2). All gene transcripts meeting predefined differential expression thresholds (FDR < 0.05, absolute fold change ≥ 1.2, and maximum group mean ≥ 1) are detailed in Suppl. File 1. To elucidate the potential biological significance of thalamic transcriptional changes, tissue DEG sets were analyzed using IPA Core Analysis which utilizes processed RNA-seq data and provides insights into pathways, regulators, and disease or function associations that can be linked to the DEG alterations. Key pathway analysis findings are summarized below and indicate BDL-associated changes in thalamic gene expression signatures linked to altered myelination, cellular growth, neural proliferation, and neurotransmission:\n(i) Impaired myelination pathways: Canonical Pathway analysis, using IPA mapped thalamic DEGs onto established canonical pathways, predicted a BDL-associated inhibition of the Myelination Signaling Pathway, consistent with inhibition of myelination processes (Fig. 2A, B). A potential deficit in myelination in BDL vs. sham control mice was further supported by a significant reduction in thalamic PLP1 (Proteolipid Protein 1) mRNA levels which encodes for a protein essential for myelin integrity and function (Suppl. Figure 3).\nImpaired myelination pathways: Canonical Pathway analysis, using IPA mapped thalamic DEGs onto established canonical pathways, predicted a BDL-associated inhibition of the Myelination Signaling Pathway, consistent with inhibition of myelination processes (Fig. 2A, B). A potential deficit in myelination in BDL vs. sham control mice was further supported by a significant reduction in thalamic PLP1 (Proteolipid Protein 1) mRNA levels which encodes for a protein essential for myelin integrity and function (Suppl. Figure 3).\nFig. 2Top dysregulated pathways identified through a targeted enrichment analysis focused on brain‑specific signaling and cellular growth-proliferation in thalamic tissue of BDL vs. sham mice. Ingenuity Pathway Analysis (IPA) canonical pathways chart showing the top 12 significantly enriched biological pathways from gene expression data in the thalamus of BDL vs. sham mice that passed an analysis cutoff of adjusted p-value ≤ 0.05 and absolute activation z score of ≥ 2. The vertical bars represent different canonical pathways. The length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). The horizontal orange line represents the threshold cutoff for FDR-adjusted p-values of ≤ 0.05. Orange and blue shaded bars represent predicted pathway activation and inhibition, respectively. A IPA pathways chart displaying the top 12 enriched pathways related to cellular growth and proliferation. B IPA pathways chart displaying the top 12 enriched pathways related to nervous system signaling and function. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis\nTop dysregulated pathways identified through a targeted enrichment analysis focused on brain‑specific signaling and cellular growth-proliferation in thalamic tissue of BDL vs. sham mice. Ingenuity Pathway Analysis (IPA) canonical pathways chart showing the top 12 significantly enriched biological pathways from gene expression data in the thalamus of BDL vs. sham mice that passed an analysis cutoff of adjusted p-value ≤ 0.05 and absolute activation z score of ≥ 2. The vertical bars represent different canonical pathways. The length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). The horizontal orange line represents the threshold cutoff for FDR-adjusted p-values of ≤ 0.05. Orange and blue shaded bars represent predicted pathway activation and inhibition, respectively. A IPA pathways chart displaying the top 12 enriched pathways related to cellular growth and proliferation. B IPA pathways chart displaying the top 12 enriched pathways related to nervous system signaling and function. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis\n(ii) Inhibition of cellular growth and proliferation pathways: RNA‑seq profiling and IPA analysis of the thalamus revealed tissue level gene expression signatures consistent with suppressed cellular growth and reduced neurogenesis pathways in BDL vs. sham mice. A targeted Canonical Pathways enrichment analysis specifically focused on pathways governing Cell Cycle Regulation, Cellular Growth, Proliferation and Development, and Growth Factor Signaling, identified significant alterations in several key pathways in the thalamus of BDL mice compared with sham controls that are essential for normal thalamic neuronal growth, differentiation, survival, and plasticity, including predicted inhibition of CDK5 Signaling, CREB Signaling in Neurons, BBSome Signaling Pathway, and Regulation of eIF4 and p70S6K Signaling, and predicted activation of EiF2 signalling (Fig. 2A). File 2 in Supplementary Material provides a complete list of significantly impacted pathways (FDR ≤ 0.05).\nInhibition of cellular growth and proliferation pathways: RNA‑seq profiling and IPA analysis of the thalamus revealed tissue level gene expression signatures consistent with suppressed cellular growth and reduced neurogenesis pathways in BDL vs. sham mice. A targeted Canonical Pathways enrichment analysis specifically focused on pathways governing Cell Cycle Regulation, Cellular Growth, Proliferation and Development, and Growth Factor Signaling, identified significant alterations in several key pathways in the thalamus of BDL mice compared with sham controls that are essential for normal thalamic neuronal growth, differentiation, survival, and plasticity, including predicted inhibition of CDK5 Signaling, CREB Signaling in Neurons, BBSome Signaling Pathway, and Regulation of eIF4 and p70S6K Signaling, and predicted activation of EiF2 signalling (Fig. 2A). File 2 in Supplementary Material provides a complete list of significantly impacted pathways (FDR ≤ 0.05).\nAdditionally, the Diseases and BioFunctions analysis module of IPA, which maps gene‑expression changes to predicted biological outcomes, revealed significant enrichment with an overall predicted inhibition of biofunctions linked to proliferation of neural cells, development of neural cells, and growth of neurites in the thalamus of BDL vs. sham control mice. Table 1 lists the highest‑ranking disease or function annotations together with their predicted activation states. A complete list of all enriched terms under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories meeting predefined criteria (FDR‑adjusted p < 0.05 and absolute predicted activation Z‑score ≥ 2), along with molecules associated with each term, is provided in Supplemental File 3.\nTable 1Top enriched diseases and biofunctions identified by IPA Analysis in the thalamus of BDL vs. Sham mice. Table 1 lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories that passed an enrichment cutoff of an FDR-adjusted p-value ≤ 0.05 and an absolute predicted activation Z-score ≥ 2. The last column in the table indicates the number of differentially expressed genes from our dataset that overlap with the network associated with each disease or function annotation. Nine thalamic samples per treatment group were sequenced with bulk RNA-seq analysisDiseases or functions annotationB-H p-valuePredicted activation stateActivation z-score# MoleculesDevelopment of neural cells2.81E-37Decreased-3.374343Development of central nervous system3.06E-23Decreased-3.162233Morphogenesis of neurons5.68E-25Decreased-3.12251Development of neurons1.49E-33Decreased-3.109323Neuritogenesis2.47E-24Decreased-3.034247Proliferation of neuronal cells5.12E-20Decreased-2.667176Neurotransmission8.64E-17Decreased-2.141143Growth of neurites4.68E-15Decreased-3.013142Proliferation of neural cells2.21E-23Decreased-3.415227\nTop enriched diseases and biofunctions identified by IPA Analysis in the thalamus of BDL vs. Sham mice. Table 1 lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories that passed an enrichment cutoff of an FDR-adjusted p-value ≤ 0.05 and an absolute predicted activation Z-score ≥ 2. The last column in the table indicates the number of differentially expressed genes from our dataset that overlap with the network associated with each disease or function annotation. Nine thalamic samples per treatment group were sequenced with bulk RNA-seq analysis\nConsistent with pathway-level thalamic gene expression dysregulation identified using IPA, direct measurement of classical cell proliferation gene expression markers using qRT-PCR showed significantly decreased thalamic mRNA expression levels of the cell proliferation marker Ki67 and increased mRNA expression of the cell-cycle inhibitor Cdkn1a (p21) in BDL mice compared to controls (Suppl. Figure 3).\n(iii)Altered neurotransmission: Thalamic neurotransmitter networks critically regulate behavior, including motivation-driven behavior closely linked to the development of central fatigue [11, 35]. IPA analysis of RNA‑seq data indicated significant dysregulation within key molecular pathways governing thalamic neurotransmission and neural function. Specifically, targeted enrichment analysis of brain-specific signaling pathways revealed significant predicted inhibition in several key pathways essential for normal thalamic synaptic transmission and network excitability in BDL mice compared to sham control mice, including the Serotonin Receptor Signaling Pathway, Potassium Channels, Neurexins and Neuroligins, and the Glutamate Receptor Signaling Pathway. In contrast, the inhibitory GABAergic Receptor Signaling Pathway was predicted to be activated (Fig. 2B). These pathway-level gene expression profile alterations provide a molecular framework that could lead to disrupted thalamic neural processing in the context of cholestatic liver disease.(iv) Regulator Effects Analysis-generated causal hypotheses connecting gene expression changes in the thalamus of BDL mice to reduced neural cell proliferation and suppressed neurotransmission: Regulator Effects Analysis was performed on RNA-seq data using IPA to connect and merge upstream regulators with disease and function results, using thalamic DEGs in our dataset as intermediary molecules. This approach generates causal hypotheses and produces directional molecular networks that predict the activation or inhibition of downstream biological functions or diseases based on our input data. This analysis identified several molecular networks whose directional activities may contribute to a reduction in thalamus size and altered neurotransmission in BDL mice. These changes include biological networks predicted to inhibit neural cell proliferation and growth of neurites, to enhance apoptosis, and to suppress neurotransmission (Fig. 3 and Suppl. File 3).\nAltered neurotransmission: Thalamic neurotransmitter networks critically regulate behavior, including motivation-driven behavior closely linked to the development of central fatigue [11, 35]. IPA analysis of RNA‑seq data indicated significant dysregulation within key molecular pathways governing thalamic neurotransmission and neural function. Specifically, targeted enrichment analysis of brain-specific signaling pathways revealed significant predicted inhibition in several key pathways essential for normal thalamic synaptic transmission and network excitability in BDL mice compared to sham control mice, including the Serotonin Receptor Signaling Pathway, Potassium Channels, Neurexins and Neuroligins, and the Glutamate Receptor Signaling Pathway. In contrast, the inhibitory GABAergic Receptor Signaling Pathway was predicted to be activated (Fig. 2B). These pathway-level gene expression profile alterations provide a molecular framework that could lead to disrupted thalamic neural processing in the context of cholestatic liver disease.\nRegulator Effects Analysis-generated causal hypotheses connecting gene expression changes in the thalamus of BDL mice to reduced neural cell proliferation and suppressed neurotransmission: Regulator Effects Analysis was performed on RNA-seq data using IPA to connect and merge upstream regulators with disease and function results, using thalamic DEGs in our dataset as intermediary molecules. This approach generates causal hypotheses and produces directional molecular networks that predict the activation or inhibition of downstream biological functions or diseases based on our input data. This analysis identified several molecular networks whose directional activities may contribute to a reduction in thalamus size and altered neurotransmission in BDL mice. These changes include biological networks predicted to inhibit neural cell proliferation and growth of neurites, to enhance apoptosis, and to suppress neurotransmission (Fig. 3 and Suppl. File 3).\nFig. 3Selected networks generated from IPA regulator effects analysis for thalamic DEGs of BDL vs. sham mice. Regulator effects analysis using IPA was performed on thalamic transcriptome datasets comparing BDL vs. sham mice (A, B, C, and D). Upstream regulators are shown in the top tier and are predicted to be either activated (orange color) or inhibited (blue color) in the thalamus, based on an absolute z-score threshold of 2.0 and a p-value cutoff of 0.05. The target molecules (DEGs) that connect upstream regulators to downstream biological functions are displayed in the middle tier. These genes are color-coded as upregulated (red) or downregulated (green) and shaded to reflect varying expression levels. In the bottom tier, downstream diseases and functions that are predicted to be impacted by this directional network are shown. Significance is defined by the same z-score and p-value thresholds (as above). Predicted activation is indicated in orange, while inhibition is shown in blue. Solid lines indicate direct relationships, and dashed lines indicate indirect relationships. Genes in the figure are represented by standard gene short form symbols - the corresponding full names of these genes can be found in Suppl. File 5. Genes represented are indicated by standard gene symbols. The corresponding official full gene names are shown in Suppl. File 4. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis.\nSelected networks generated from IPA regulator effects analysis for thalamic DEGs of BDL vs. sham mice. Regulator effects analysis using IPA was performed on thalamic transcriptome datasets comparing BDL vs. sham mice (A, B, C, and D). Upstream regulators are shown in the top tier and are predicted to be either activated (orange color) or inhibited (blue color) in the thalamus, based on an absolute z-score threshold of 2.0 and a p-value cutoff of 0.05. The target molecules (DEGs) that connect upstream regulators to downstream biological functions are displayed in the middle tier. These genes are color-coded as upregulated (red) or downregulated (green) and shaded to reflect varying expression levels. In the bottom tier, downstream diseases and functions that are predicted to be impacted by this directional network are shown. Significance is defined by the same z-score and p-value thresholds (as above). Predicted activation is indicated in orange, while inhibition is shown in blue. Solid lines indicate direct relationships, and dashed lines indicate indirect relationships. Genes in the figure are represented by standard gene short form symbols - the corresponding full names of these genes can be found in Suppl. File 5. Genes represented are indicated by standard gene symbols. The corresponding official full gene names are shown in Suppl. File 4. A total of nine thalamic samples per treatment group were sequenced and subsequently combined for bulk RNA-seq analysis.\n\n\n### Systemic anti‑TNF treatment attenuates dysregulated BDL-associated changes in thalamic molecular pathways and networks related to neuronal communication, cell proliferation, and cellular growth pathways\nTo define a potential role of systemic TNF signaling in driving BDL‑associated transcriptomic dysregulation in the thalamus, BDL mice received intraperitoneal injections of either PBS or anti‑TNF neutralizing antibodies every other day, starting two days post-surgery. Sham-operated controls received PBS on the same schedule (days 2, 4, 6, and 8). Importantly, similar to our previously published findings, anti-TNF treatment did not alter the severity of BDL-associated liver injury [23] (Suppl. Figure 1).\nThe IPA Canonical Pathways tool was used to determine the impact of systemic TNF neutralization on thalamic DEG expression signatures for biological pathways that we had shown were significantly dysregulated in the thalamus of BDL vs. sham control mice. Pathway enrichment analysis filtered to specifically include thalamic pathways linked to brain signaling, cellular growth, and proliferation (significance cutoff of FDR ≤ 0.05 and absolute activation z-score of ≥ 2) is shown in Fig. 4. A comprehensive list of all significantly enriched pathways meeting these criteria is provided in Suppl. File. 2. Anti-TNF treatment exerted a directionally consistent effect on critical thalamic pathways in BDL mice with gene expression patterns indicative of anti-TNF treatment-induced activation of neurotransmission, homeostasis, cellular survival, and growth.\nFig. 4Anti-TNF treatment attenuates key pathway dysregulation in the thalamus of BDL mice. The comparison analysis function in IPA allows visual comparison between various comparison analysis sets side by side. A The canonical pathways heatmaps generated by the comparison analysis tool and visualized with Z scores for thalamic pathway activity for BDL vs. sham and BDL + TNF vs. sham mice indicate that anti-TNF prevents the impact of BDL on key thalamic gene expression signatures linked to altered proliferation and neurotransmission pathways in BDL mice. Shades of orange and blue in the heat map indicate predicted pathway activation and inhibition, respectively (Gray dots indicate that the activity Z score did not pass the significance cutoff level of 2 for pathways shown in the BDL+ anti-TNF vs. sham comparison row, but were significant in the BDL vs. sham comparisons shown in the row above). B The IPA pathway chart displays enriched pathways associated with cellular growth, proliferation, and nervous system signaling and function in the thalamus of the BDL group that are significantly activated (Z score) by anti-TNF treatment (orange colour) compared to activation changes of these pathways in BDL mice without anti-TNF treatment. All listed pathways passed the predefined analysis threshold of FDR ≤ 0.05 and an absolute activation z-score of ≥ 2. The horizontal bars represent different canonical pathways, and the length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). Orange and blue bars represent predicted pathway activation and inhibition, respectively. The horizontal vertical orange line represents the threshold cutoff for p-values of ≤ 0.05. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nAnti-TNF treatment attenuates key pathway dysregulation in the thalamus of BDL mice. The comparison analysis function in IPA allows visual comparison between various comparison analysis sets side by side. A The canonical pathways heatmaps generated by the comparison analysis tool and visualized with Z scores for thalamic pathway activity for BDL vs. sham and BDL + TNF vs. sham mice indicate that anti-TNF prevents the impact of BDL on key thalamic gene expression signatures linked to altered proliferation and neurotransmission pathways in BDL mice. Shades of orange and blue in the heat map indicate predicted pathway activation and inhibition, respectively (Gray dots indicate that the activity Z score did not pass the significance cutoff level of 2 for pathways shown in the BDL+ anti-TNF vs. sham comparison row, but were significant in the BDL vs. sham comparisons shown in the row above). B The IPA pathway chart displays enriched pathways associated with cellular growth, proliferation, and nervous system signaling and function in the thalamus of the BDL group that are significantly activated (Z score) by anti-TNF treatment (orange colour) compared to activation changes of these pathways in BDL mice without anti-TNF treatment. All listed pathways passed the predefined analysis threshold of FDR ≤ 0.05 and an absolute activation z-score of ≥ 2. The horizontal bars represent different canonical pathways, and the length of each bar correlates to the significance of enrichment expressed as -log (B-H p-value). Orange and blue bars represent predicted pathway activation and inhibition, respectively. The horizontal vertical orange line represents the threshold cutoff for p-values of ≤ 0.05. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nA comparison analysis gene expression heatmap of the Canonical Pathway analysis presented in Fig. 4A indicates that many significant BDL-related inhibitory effects on key thalamic functional pathways are prevented by anti-TNF treatment (indicated by gray dots overlayed on corresponding pathways in BDL+anti-TNF vs. sham row in the heat map), resulting in a net predicted increase in activity of these pathways compared to the transcriptome profile of BDL mice that did not receive anti-TNF (Fig. 4A, B). Key anti-TNF ‘rescued’ dysregulated thalamic pathways include CREB Signaling in Neurons, Neurexins and Neuroligins, Potassium Channels, and the BBSome Signaling Pathway (Fig. 4B).\nThe Diseases and BioFunctions Analysis tool was used to explore the impact of anti-TNF treatment on molecular networks associated with ‘Nervous System Development and Function’ and ‘Cellular Growth and Proliferation’ categories. Anti-TNF treatment impacted expression of key molecules involved in neural signaling, cell proliferation, neuronal survival, and synaptic plasticity in the thalamus of BDL mice. Collectively, the directionality and pattern of changes in disease- and function- related networks impacted by anti-TNF treatment suggest a systemic TNF-mediated thalamic functional and growth pathway inhibition in BDL mice. Table 2 shows the top thalamic Diseases and Biofunctions modulated by anti-TNF treatment in BDL mice. A complete list of all enriched diseases and functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories passing our enrichment cutoff (FDR-adjusted p-value < 0.05 and absolute predicted activation Z-score ≥ 2), along with a detailed list of all associated molecules annotated with each disease and function, is provided in Suppl. File. 3. Consistent with a beneficial effect of anti-TNF treatment on neural proliferation molecular pathways in the thalamus of BDL mice, qRT-PCR analysis revealed an upregulation of mRNA expression for the cellular proliferation marker Ki‑67 in the thalamus of BDL mice with TNF neutralization (Suppl. Figure 4).\nTable 2Top Ingenuity Pathway Analysis Diseases and Biofunctions in the BDL + anti-TNF vs. BDL thalamus. The table lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories impacted by anti-TNF treatment in BDL mice. The last column in the table indicates the number of differentially expressed genes from our dataset overlapping with the identified network of each disease or function annotation. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysisDiseases or functions annotationB-H p-valuePredicted activation stateActivation z-score# MoleculesDevelopment of neurons5.46E-10Increased2.58143Neuritogenesis1.03E-09Increased2.54137Excitatory postsynaptic potential4.78E-09Increased2.43315Neurotransmission3.90E-15Increased2.17934Synaptic transmission7.02E-12Increased2.12927Neuroprotection2.74E-05Increased2.0468Formation of dendritic spines5.14E-04Increased2.6469Branching of neurites5.34E-04Increased2.58716Proliferation of neural cells2.57E-06Increased2.15329Branching of neurons2.20E-04Increased2.77417\nTop Ingenuity Pathway Analysis Diseases and Biofunctions in the BDL + anti-TNF vs. BDL thalamus. The table lists the top identified diseases or functions under the “Nervous System Development and Function” and “Cellular Growth and Proliferation” categories impacted by anti-TNF treatment in BDL mice. The last column in the table indicates the number of differentially expressed genes from our dataset overlapping with the identified network of each disease or function annotation. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nIPA’s Regulator Effects Analysis was employed to investigate how anti-TNF treatment could potentially modulate thalamic neurobiological and cellular processes in BDL mice. This hypothesis-generating approach leverages anti-TNF treatment-altered genes in the BDL thalamus as molecular intermediaries to generate predictions of potential effects these changes would be expected to have on diseases and functions, capitalizing on the large, pre-constructed, evidence-based networks contained within the IPA knowledge base. Using this tool, anti-TNF treatment in BDL mice was predicted to enhance processes that regulate neurotransmission and synaptic transmission, as well as enhance branching of neurons, neuronal sprouting, and shape changes in neurites (Fig. 5 and Suppl. File 4).\nFig. 5Selected regulator effects analysis networks for the DEGs in the thalamus of BDL+ anti-TNF vs. BDL mice. Selected Regulator Effects networks illustrating the impact of anti‑TNF treatment on thalamic gene expression signatures and associated biological processes, functions, or diseases in BDL mice (A, B, C). The top tier lists upstream regulators predicted to be activated (orange) or inhibited (blue) based on an absolute z-score of ≥ 2.0 and a p-value of ≤ 0.05. The middle tier displays treatment-responsive target genes (i.e., those altered by anti-TNF treatment in BDL mice vs. BDL alone) that bridge these regulators to downstream functions; upregulated genes are shown in shades of red, and downregulated genes are in shades of green. The bottom tier shows diseases and biological functions predicted to be affected by anti-TNF treatment in BDL mice; orange indicates predicted activation, and blue indicates predicted inhibition. Solid lines depict direct relationships, whereas dashed lines denote indirect relationships. Genes in the figure are represented by standard Gene symbols, and the corresponding full names of these genes can be found in Suppl. File 5. Genes are represented by standard gene symbols and corresponding official full gene names are in Suppl. File 4. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nSelected regulator effects analysis networks for the DEGs in the thalamus of BDL+ anti-TNF vs. BDL mice. Selected Regulator Effects networks illustrating the impact of anti‑TNF treatment on thalamic gene expression signatures and associated biological processes, functions, or diseases in BDL mice (A, B, C). The top tier lists upstream regulators predicted to be activated (orange) or inhibited (blue) based on an absolute z-score of ≥ 2.0 and a p-value of ≤ 0.05. The middle tier displays treatment-responsive target genes (i.e., those altered by anti-TNF treatment in BDL mice vs. BDL alone) that bridge these regulators to downstream functions; upregulated genes are shown in shades of red, and downregulated genes are in shades of green. The bottom tier shows diseases and biological functions predicted to be affected by anti-TNF treatment in BDL mice; orange indicates predicted activation, and blue indicates predicted inhibition. Solid lines depict direct relationships, whereas dashed lines denote indirect relationships. Genes in the figure are represented by standard Gene symbols, and the corresponding full names of these genes can be found in Suppl. File 5. Genes are represented by standard gene symbols and corresponding official full gene names are in Suppl. File 4. Nine thalamic samples for the BDL and sham groups underwent bulk RNA-seq analysis. Four thalamic samples were used for the BDL + anti-TNFα group RNA-seq analysis\nIn contrast to potential beneficial effects of blocking systemic TNF signaling on BDL-associated changes in thalamic regulatory pathways, as outlined above, anti-TNF treatment did not prevent dysregulation of thalamic myelination pathways associated with BDL as assessed using RNA-seq and IPA analysis (or qRT-PCR for PLP1 mRNA expression; Suppl. Figure 4). RNA-Seq results were further validated using qRT-PCR to confirm both the direction and magnitude of gene expression changes observed in the RNA-Seq data for a selection of genes associated with key dysregulated thalamic pathways in BDL mice, as well as those restored by anti-TNF treatment (Fig. 6).\nFig. 6Quantitative RT-PCR confirmation of anti-TNF-mediated changes in expression levels for key BDL-dysregulated genes determined using RNA-seq. Panels A-F show qRT-PCR mRNA expression results for selected genes comparing expression levels in BDL+ anti-TNF vs BDL without anti-TNF (normalized to expression levels in sham thalamus). N = 7 and 8 mice per group. Symbols *, **, ***, +, ++ represent P-values of 0.0434, 0.035, 0.041, 0.0336, and 0.0154 respectively. For ADCy1, the result was not significant, with a p-value of 0.4833. Genes are represented by standard gene symbols and corresponding official full names are in Suppl. File 5\nQuantitative RT-PCR confirmation of anti-TNF-mediated changes in expression levels for key BDL-dysregulated genes determined using RNA-seq. Panels A-F show qRT-PCR mRNA expression results for selected genes comparing expression levels in BDL+ anti-TNF vs BDL without anti-TNF (normalized to expression levels in sham thalamus). N = 7 and 8 mice per group. Symbols *, **, ***, +, ++ represent P-values of 0.0434, 0.035, 0.041, 0.0336, and 0.0154 respectively. For ADCy1, the result was not significant, with a p-value of 0.4833. Genes are represented by standard gene symbols and corresponding official full names are in Suppl. File 5\n\n\n### Discussion\nIn PBC, extrahepatic symptoms including cognitive impairment, altered mood, and fatigue, often overshadow biochemical markers used for monitoring disease progression and treatment response, posing a complex clinical challenge and directly impacting patient quality of life [36–38]. The complex, poorly understood nature of symptom development in PBC underscores the urgent, unmet medical need for targeted treatments that address symptoms, and highlights the common disconnect between liver disease-directed therapies and improvements in patient quality of life.\nResting state functional and structural MRI can be used to delineate the impact of neurological and systemic inflammatory disease upon specific brain regions, and on neural communication within and between brain regions that form networks to regulate normal behavior [39]. Using MRI-based approaches in patients, it has become clear that the thalamus plays a critical role as a neural integration hub regulating communication between higher cortical brain centers and subcortical structures within the limbic system (the ‘emotional brain’) and striatum (including the basal ganglia) [40]; brain regions that critically regulate complex behaviors such as motivation, reward, alertness, arousal, and attention that are adversely impacted in the context of central fatigue [11, 41]. Importantly, structural and functional alterations in the thalamus are associated with disease-associated symptoms, including fatigue, in many chronic illnesses, including multiple sclerosis [12], neuromyelitis optica spectrum disorder (NMOSD) [42], concussion [43], long-Covid [13, 15], and stroke [44]. Therefore, it is plausible that changes in thalamic structure and/or function could play an important role in the development of these symptoms in PBC patients. Indeed, in previous work by us and others PBC patients showed robust changes in the thalamus [1, 16, 18] linked to symptom severity [1, 18]. However, the etiological basis for these changes remains unknown, but is of significant importance if we hope to develop specific, targeted approaches that effectively treat adverse symptoms in these patients.\nTo mechanistically address this knowledge gap we used a well-characterized mouse model of cholestatic liver disease that we have previously shown reproducibly generates changes in brain neurotransmission linked to reduced motivation and social interaction behaviors that mimic many adverse behaviors commonly reported in PBC patients [22–25, 33]. Using structural MRI, we now report that BDL mice exhibit a reduction in thalamic volume, similar to that observed in PBC patients [18]. Importantly, thalamic volume reductions of similar magnitude have consistently been documented in many neurological disorders and were linked to altered behaviors, including fatigue and impaired cognition [12, 15, 42, 43]. However, mechanisms leading to reduced thalamic volume remain unclear. Normal thalamic volume is determined mainly by neuronal and glial cell populations, and myelin content. A number of genetic alterations are associated with reduced thalamic volume, and in turn to a diverse array or psychiatric and neurological disorders [45]. Moreover, neuroinflammation can lead to damage of neurons and their structural components within the CNS, including axons, synapses and dendritic projections, and inhibit myelination processes [46]. Our RNA-seq analyses identify significant disruption of the thalamic gene signature in cholestatic mice that involves multiple physiological pathways known to critically regulate neuronal survival (e.g., CREB signaling in neurons, CDK5 signaling, EiF2 signaling) [47], synapse formation and function (Neurexins and neuroglins) [48], synaptogenesis [49], and myelination [50]. Furthermore, regulator effects analysis of BDL-associated DEGs predicted suppression of proliferation of neuronal cells and enhanced apoptosis in the thalamus. These findings in our BDL model parallel MRI findings reported in PBC patients of a decreased thalamic apparent diffusion coefficient indicating reduced neuronal density and myelination [16], suggesting similar molecular processes may be driving thalamic volume reductions in both PBC and our animal model.\nSpontaneous neural activity in specific brain regions is commonly inferred from resting state functional MRI (rsfMRI) studies by measuring amplitude of low frequency fluctuations (ALFF) [51]. We have previously identified reduced ALFF in the thalamus of PBC patients [18], suggesting intrinsic thalamic neural dysfunction in PBC, likely reflecting changes in neurotransmission. Neurotransmitter microcircuitry within the thalamus is characterized predominantly by excitatory (i.e., glutaminergic) neurons, and a smaller population of inhibitory (i.e., GABAergic) interneurons, whose function can be further regulated by a number of neuromodulatory processes mediated by metabotropic glutamate receptors, dopamine, serotonin, endogenous opioids, and other neuropeptides [52]. In our current study, we identified thalamic DEG changes in cholestatic mice involving many nervous systems signaling and function pathways known to critically regulate neurotransmission, including significant inhibition of pathways regulating serotonergic receptor signaling, potassium channels, glutamate receptor signaling, opioid signaling, ephrin receptor signaling, and GABAergic receptor signaling. These changes in key pathways regulating neurotransmission would be expected to significantly impact thalamic neural networks regulating behavior, similar to observations in multiple sclerosis patients [53].\nAlterations in ALFF measurements are often analyzed in rsfMRI studies in conjunction with measures of neural functional connectivity to understand how findings in a given brain region impact neural communication with other brain regions and neural networks to ultimately change behavior (termed resting state functional connectivity [rsFC]) [54]. For the thalamus, extensive reciprocal neural connections with the cortex, amygdala and striatum maintain normal behavior, including the regulation of motivational and reward responses [55, 56]. In previous work using rsfMRI we identified significant changes in functional connectivity between the thalamus and other brain regions in PBC patients. Specifically, PBC patients showed increased rsFC between the thalamus and the putamen (part of the basal ganglia), hippocampus, amygdala and the motor and sensory cortex regions [1], key behavior-regulating brain regions.\nA key issue that remains is, how does immune-mediated liver injury cause changes in thalamic structure and function in PBC patients to alter behavior? Systemic inflammation is relayed to the CNS via a number of pathways and leads to activation of microglia, neuroinflammatory responses, and altered behavior, including fatigue [20, 21, 57]. This process can be readily demonstrated in healthy volunteers treated with endotoxin to activate systemic immunity [58], and in animal models [57]. Moreover, low grade systemic inflammation in healthy volunteers is associated with decreased thalamic volume [59]. In our animal model we have previously documented a key role of circulating TNF in signaling the brain and activate microglia, leading to altered neurotransmission and reduced motivational behaviour and social withdrawal [23, 24]. Therefore, in our current study we inhibited systemic TNF signaling in BDL mice to determine the impact on thalamic gene expression signatures and pathways that were dysregulated in cholestatic mice. Indeed, we found that inhibition of TNF signaling in BDL mice mitigated or attenuated BDL-associated changes in many of these pathways. Specifically, BDL-related inhibition of thalamic CDK5 signaling, neurexins and neuroligins, potassium channels, and BBsome signaling pathways were all significantly attenuated. Thalamic regulator effects analysis further supported a beneficial impact of TNF inhibition in BDL mice on thalamic neuronal processes and function, including predicted activation of neurotransmission and synaptic transmission as well as branching of neurons, neuronal sprouting, and shape change of neurites.\nIn this study, blocking the effects of systemic TNF using a specific neutralizing antibody did not alter BDL-associated liver inflammation. This finding is consistent with our previously published findings in this model [23, 24]. Although some previous studies in BDL mice using a gene knockout (KO) approach have suggested that the absence of TNF protects against liver injury [60], other studies using the same approach found that TNF deficiency did not alter liver injury or inflammation [61]. The lack of an impact of systemic TNF neutralization on markers of BDL-associated liver injury in all our studies to date are consistent and suggests that systemic TNF signals the brain to alter thalamic gene expression signatures independent of an effect of liver disease severity.\nWhile transcriptomic and anatomical findings suggest impaired cellular and neurotransmission pathways in our BDL model, in a brain area that has been linked closely in humans to the regulation of numerous behaviors, direct causation cannot be inferred from our current data. Moreover, in our current work functional assessments of fatigue were not performed. We acknowledge the limitations of this work, particularly the inability to directly link thalamic changes observed in our animal model to altered behaviors such as fatigue. This study was designed to examine structural and functional alterations in the thalamus in the context of cholestatic liver injury, with comparison to changes reported in patients with PBC, rather than to establish a direct causal link to symptoms including fatigue. Future work using complementary behavioral approaches will be needed to confirm the mechanistic role of these pathways in inducing a fatigue-like behavioural phenotype and to define the impact of TNF on fatigue-related neural and behavioral processes.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.\nSupplementary Material 1\nSupplementary Material 1\nSupplementary Material 2\nSupplementary Material 2\nSupplementary Material 3\nSupplementary Material 3\nSupplementary Material 4\nSupplementary Material 4\nSupplementary Material 5\nSupplementary Material 5\nSupplementary Material 6\nSupplementary Material 6", "domain": "affective_neuroscience"}
{"source": "PMC13095915", "title": "Understanding mechanisms of voluntary engagement of mental effort using active inference", "text": "# Understanding mechanisms of voluntary engagement of mental effort using active inference\n\n## Abstract\nThe voluntary investment of mental effort is an understudied aspect of cognitive control, whose underlying mechanisms remain poorly understood. Here, we investigated this process using a computational model of the Stroop task within the framework of active inference. In the Stroop task, participants must report the font color of a presented color name, while suppressing the automatic tendency to read the word itself. In this study, we asked twenty healthy young adults to perform the Stroop task under two conditions: with maximum exertion or as relaxed as possible. Their behavior was modeled using a two-layer generative model grounded in active inference, conceptualizing cognitive effort as the extent to which habitual response tendencies are overridden by goal-directed behavior. This approach enabled the estimation of two key latent parameters: (i) the individual’s habitual bias toward word reading over color naming and (ii) the degree of motivation to perform the task correctly. Our findings indicate that voluntary engagement of maximal effort was associated with an increased preference for correct performance, whereas its relationship with the habitual bias toward word reading did not show a consistent group effect. These results support the hypothesis that the voluntary investment of cognitive effort is primarily governed by an increased motivation for accuracy rather than by the direct inhibition of habitual response tendencies. This computational approach holds potential relevance for clinical settings where impaired intentional effort allocation is observed in psychiatric and neurological disorders. The online version contains supplementary material available at 10.3758/s13415-026-01419-z.\n\n## Full Text\n\n\n### Introduction\nMental effort is a widely used concept in daily life, often associated with willpower and self-control. Students are told to put more effort into doing their homework. Adults may have to learn the appropriate balance in their job between insufficient engagement and excessive exertion that may result in burnout. Despite its common use, mental effort remains a somewhat elusive concept in cognitive neuroscience (Shepherd, 2023). Part of the problem is that mental or cognitive effort (we will use these terms interchangeably here) has at least three distinct connotations (Bruya and Tang, 2018; Khachouf et al., 2017; Shepherd, 2023; Wolpe et al., 2024). First, it may refer to how many cognitive resources are automatically recruited by a task, which varies according to task difficulty. This aspect of effort – which, for convenience, we will call exogenous effort and which is not necessarily conscious – was the subject of Daniel Kahneman’s seminal work (Kahneman, 1973), where it was essentially equated to attentional allocation (see also Sarter et al., 2006). The second aspect of effort, which we will call endogenous, is an executive one, related to self-control and the ability to voluntarily modulate the degree of engagement in a demanding task (Muraven and Baumeister, 2000; Shepherd, 2023). The third dimension of effort is an affective, consciously experienced one (Robinson and Morsella, 2014), usually related to the aversive feeling (but not always, see Inzlicht et al., 2018; Székely and Michael, 2021; Carruthers and Williams, 2022) associated with the performance of a laborious undertaking (Kurzban, 2016; Morgan, 1994; Székely and Michael, 2021). These three aspects may not be easily dissociable and are often closely linked, as exemplified by the finding that emotional arousal not only facilitates physical effort but also decreases the perception of effort (Schmidt et al., 2009).\nTwo other factors are deeply woven into the fabric of mental effort: individual motivation and the foreseen consequences of our actions. Several researchers have argued for an intrinsic relationship between the amount of cognitive effort invested in a task and its expected reward, within a cost-benefit computational framework (Bénon et al., 2024; Croxson et al., 2009; Manohar et al., 2015; Shenhav et al., 2017), often from a neuroeconomic perspective (Kool and Botvinick, 2018). A key role appears to be played by dopaminergic transmission and mesolimbic circuits (Salamone et al., 2016; Walton et al., 2003; Walton and Bouret, 2019; Walton et al., 2006; Westbrook and Braver, 2016; Westbrook et al., 2020), although cholinergic, noradrenergic, and serotonergic processes are also likely involved (Hosking et al., 2015). Other scholars have proposed that the subjective feeling of effort results from a prediction of the degree to which the ongoing task will disrupt homeostasis (Noakes, 2012; but see Inzlicht and Marcora, 2016).\nThe active inference approach licenses a fresh outlook on the topic of cognitive effort, by defining it as a divergence between the probability distribution over the courses of action (policies), conditioned on the current context, and the probability distribution over the same policies that reflects our habitual behavior (Parr et al., 2023). Put more simply, whenever we perform a demanding task, we face a tension between the behavioral strategy we would follow ‘automatically’, and the one that is required for the correct performance. This tension, or divergence, is taken as a direct measure of the amount of effort associated with the performance. This approach is in line with descriptions of decision-making as a process that pits effortful policies against habitual ones (Dickinson, 1985; Kahneman, 2003), which have been more recently cast in terms of model-based vs. model-free strategy selection (see Kool et al., 2017, 9). While this proposed definition is based upon previous literature, there is a wide range of definitions of effort, and we acknowledge this will not be compatible with all of them. It is perhaps more accurate to say that this is an operationalization of the notion of effort.\nAmong the many experimental psychology paradigms designed to contrast habitual responses, one of the most widely used is the Stroop color–word interference task. In this task, participants are shown words that represent color names printed in different colors. In the ‘word’ condition, they are asked to read (or signal via an appropriately coded response device) the words, that is, to report the displayed text. In the ‘color’ condition, participants are asked to report the font color of the presented word. Crucially, in different trials, the text and font color may be congruent (i.e., the word ‘RED’ in red fonts), or incongruent (i.e., the word ‘RED’ in green fonts). Given our habitual tendency to read words, responding to word stimuli by stating their font color is a policy that requires more effort (in all of the three meanings described above) compared to the natural action of reading the word text.\nAn active inference model of the Stroop task was recently shown to reproduce various characteristics of actual behavioral and neurophysiological data (Parr et al., 2023). The model relied on two key parameters, c and e, which were used to represent the participant’s motivation to perform the task correctly and the strength of their habitual tendency to read words (rather than name their colors), respectively. In the present study, we used empirical behavioral data, collected from a sample of volunteers performing the Stroop task, to invert an adapted version of that model and recover individual estimates of the c and e parameters. Crucially, we introduced a modification of the experimental paradigm: participants were asked to perform the task on different blocks either “with maximum exertion” or “as relaxed as possible”. This modification follows a previous neuroimaging study (Khachouf et al., 2017) that demonstrated measurable differences in both behavior and functional imaging findings with this intervention. In addition to the exogenous effort demands of the classical Stroop task, we thus introduced an endogenous effort component as an explicit experimental manipulation by instructing participants to apply varying levels of voluntary effort.Fig. 1Structure of an experimental block. Prior to each block, participants were informed by textual cues about the target (“respond to the text” or “respond to the font color”) and the degree of effort they were expected to invest in it. The word stimuli were presented centrally, with a bottom row of color name labels (in white ink) reminding the participant of the position of the corresponding buttons on the response box\nStructure of an experimental block. Prior to each block, participants were informed by textual cues about the target (“respond to the text” or “respond to the font color”) and the degree of effort they were expected to invest in it. The word stimuli were presented centrally, with a bottom row of color name labels (in white ink) reminding the participant of the position of the corresponding buttons on the response box\nThe aim of the present study was to investigate the processes underlying people’s responses to encouragement to exert more effort. More specifically, we sought to assess the relative evidence for two hypotheses about the processes underwriting the intentional engagement of cognitive effort: is voluntary effort mediated by (1) increasing the motivation for an optimal performance (e.g., “I’ll do the task as if it was the most important thing today”), or (2) suppressing the automatic habitual response (i.e., reading the word)? A further two hypotheses that follow from this are that both (1) and (2) may be in play, or that neither (1) nor (2) provide adequate explanations for the deployment of voluntary effort. The analysis we applied consists of a standard Bayesian inference approach to fit a small number of psychologically interpretable parameters using a previously published model of the Stroop task. This parameter estimation was followed by hypothesis testing using Bayesian model selection to compare the four hypotheses represented by reduced versions of our full model. Such approaches are common in neuroimaging analyses – and in fact use the same software routines as Dynamic Causal Modeling. In the Methods section, we set out the key details and intuitions that the reader will need to understand the results of our analysis.\nWhile this study is behavioral, with no direct neural measurements, and limited in terms of what we can say about the neural underpinnings of effort, there is a wide literature relating concepts of effort to specific aspects of brain anatomy and physiology, to which we will relate in the Discussion section. Of particular interest to us is the Khachouf et al. (2017) fMRI analysis, which employed the task setup that served as the basis for our paradigm.\n\n\n### Methods\nTwenty volunteers (12 females; mean age: 27.9 ± 5.7 years; range: 18–43 years) took part in the study. A history of psychiatric or neurological disorders and current use of psychoactive medications were considered exclusion criteria. The study was carried out according to the 2013 version of the Declaration of Helsinki, after approval by the local Ethics Committee (protocol number: CEAR 2024/0144289). Written informed consent to participate in the study was obtained from all volunteers.\nWe employed a version of the color–word Stroop task, using a finger-press response modality via a button box. Participants were instructed to focus on visual stimuli presented on a laptop screen using the PsychoPy software (Peirce et al., 2019). The stimuli consisted of four colored words (‘RED’, ‘GREEN’, ‘YELLOW’, and ‘BLUE’), which were displayed either in a semantically matching font color for congruent trials (e.g., the word ‘RED’ in red fonts), or in a non-matching font color for incongruent trials (e.g., the word ‘RED’ in green fonts). The Stroop interference effect, which is deemed to reflect effortful cognitive control, refers to participants exhibiting longer response times and a higher number of errors during incongruent trials, compared to congruent ones.\nEach participant completed four runs of the experimental task. Each run consisted of 96 trials, yielding a total of 384 trials. The intertrial interval (between a response and the onset of the following stimulus) was set at 1 s, and the participants were not constrained by a time limit for responding. Each run was divided into four blocks of 24 stimuli. In two of these blocks, participants were asked to respond to font color, while in the other two, they were instructed to respond to the written text (Fig. 1).\nCrucially, as in Khachouf et al. (2017), the participants were instructed to perform alternating runs with two distinct levels of effort: (a) “with maximum exertion” (EXERT condition) or (b) “as relaxed as possible” (RELAX condition). As a consequence, our experimental design had 3 factors: effort (EXERT or RELAX), target (word or color) and congruency. Note that the instructions to the participants focused on differentiating their mental attitude adopted in performing the task, rather than on achieving a better (more accurate and fast) performance in the EXERT vs. the RELAX condition. Thus, the ensuing changes in behavioral responses can be attributed to the participants’ attempt to execute an intentional modulation of effort. The instructions were displayed in the center of the screen for a period of 2 seconds at the beginning of each block, reminding the participants to put in high or low effort right before performing the task (Fig. 1). To avoid order effects, runs and blocks were counterbalanced across participants. In order to ensure full comprehension of the task, all participants completed a practice run prior to the start of the actual data collection.\nAt the end of each run, participants were asked to rate their subjective workload using the NASA-TLX rating instrument (Hart and Staveland, 1988). This consists of six questions, presented in random order, addressing the following phenomenological dimensions: Mental demand: how much thinking, deciding, or calculating was requiredPhysical demand: the amount and intensity of physical activity required to complete the taskTemporal demand: the amount of time pressure involved in completing the taskEffort: the degree of exertion required to maintain the participant’s performance levelPerformance: the perceived level of success in completing the taskFrustration level: how insecure, discouraged, or content the participant felt during the taskEach question was displayed in the center of the screen, followed by a horizontal line labeled ‘very low’ on the left and ‘very high’ on the right. Participants responded by positioning a cursor on the line and their selection was subsequently converted to a score of 0 to 10 (inverted scores were used for the Performance reports).\nMental demand: how much thinking, deciding, or calculating was required\nPhysical demand: the amount and intensity of physical activity required to complete the task\nTemporal demand: the amount of time pressure involved in completing the task\nEffort: the degree of exertion required to maintain the participant’s performance level\nPerformance: the perceived level of success in completing the task\nFrustration level: how insecure, discouraged, or content the participant felt during the task\nAccuracy and response time data were examined via standard descriptive statistics, stratified by all experimental conditions. To confirm the presence of the Stroop interference effect (congruent vs. incongruent), we performed a three-way repeated measures ANOVA on response times.\nTo verify the effectiveness of the experimental manipulation, we performed paired t tests comparing the average NASA-TLX ratings of the EXERT and RELAX blocks. This was done separately for each of the six NASA-TLX dimensions, and the results were corrected for multiple comparisons using the Bonferroni method, with a significance threshold set at \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p_{corr} < 0.05$$\\end{document}pcorr<0.05.\nWe adopted a modeling approach based on the theoretical framework of active inference (Parr et al., 2022). Active inference is based on the idea that our brains make use of internal generative models to predict sensory data and guide behavior. By ‘inverting’ these models, our brains draw perceptual inferences about the causes of observed data and generate behavior that ensures future data comply with prior beliefs. The key thing to know about this framework is that behavior depends upon the form and parameters of the internal model assumed to be used by the brain (i.e., we are modeling how the brain models the world; Daunizeau et al., 2010).\nThe model we implemented replicates the structure of the Stroop task itself, dealing with two timescales (that of the response to an individual stimulus and the response to a stream of stimuli under a given instruction) that explicitly match the modeling to the experimental design. Our model is based on a recently proposed active inference framework for the Stroop task (Parr et al., 2023), with important adaptations tailored to our experimental design. The detailed structure of the model is presented in Supplementary Materials, replicating the key figures of Parr et al. (2023), and walking readers through the technical aspects of this model. This also includes a posterior predictive check and a parameter recovery analysis demonstrating the validity of our modeling approach.\nIn active inference, the potential actions of participants in response to task instructions are represented by alternative policies\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{\\pi }$$\\end{document}π.1 These policies can be viewed as probabilistic beliefs about the type of response to the issue, which subsequently determine the button pressed on the button box. In our case, there are just two available policies, i.e., “report the word text” or “report the font color”. Habitual actions – word reading, in this case – are represented by assigning a higher prior probability, which translates to being ‘easier’ to perform. In contrast, non-habitual actions – like font-color naming, here – are encoded with a lower prior probability, which corresponds to the requirement of a greater cognitive effort.\nOur analysis focused primarily on two parameters, namely c and e, which reflect the motivation to perform the task well and the habitual bias towards reading the word (vs. stating the font color), respectively. Higher values of c indicate a stronger preference for accurate performance, while higher values of e indicate a greater strength of the habit to automatically read the word (and thus the need for increased cognitive effort to suppress this habitual response). The interaction between these parameters reflects various individual scenarios, such as cases where a strong motivation for accuracy (c) can mitigate the impact of a strong habitual tendency (e) toward word reading over font color naming.\nThe generative model enables simulation of response choices as actions. Instead of simply selecting the most probable action, actions are generated by sampling from a probability distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\textbf{u}$$\\end{document}u, given by the expected observation at the next time step (itself determined by averaging observations conditioned upon policies under a distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{\\pi }$$\\end{document}π that scores alternative policies based upon their expected free energy for the next time step). A softmax function2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma $$\\end{document}σ is applied to the log-distribution of the observations, that is also weighted by a parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ to account for uncertainty in action not captured purely by this observation distribution:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\textbf{u}_{t+1} :\\,\\,=\\,\\, \\textbf{u}(c, e, \\lambda ) = \\sigma \\left( \\lambda \\ln \\sum _\\pi \\boldsymbol{\\pi }_\\pi \\cdot \\boldsymbol{o}_{\\pi ,t+1} \\right) \\qquad \\lambda \\in \\mathbb {R}^{+} \\end{aligned}$$\\end{document}ut+1:=u(c,e,λ)=σλln∑πππ·oπ,t+1λ∈R+Effectively, this means that the next controllable observation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ o_{t+1} $$\\end{document}ot+1 – i.e., the button press – is sampled from \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{u}_{t+1}$$\\end{document}ut+1. The parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, typically referred to as inverse temperature, regulates the level of stochasticity in action selection. Higher values of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ result in more deterministic actions, whereas lower values increase variability in decision-making.\nResponse times can also be simulated by the model, based on the agent’s confidence in her response choice, following a common approach in drift-diffusion models of decision-making (Ratcliff and McKoon, 2008). More specifically, the response time is modeled here as a function of the entropy of the predicted response choice distribution at the next time step, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$H_{t+1} = -\\textbf{u}_{t+1} \\cdot \\ln (\\textbf{u}_{t+1})$$\\end{document}Ht+1=-ut+1·ln(ut+1). Higher entropy values correspond to longer response times:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} &  r_t :\\,\\,=\\,\\, r(c, e, \\lambda , \\alpha ) = \\exp (\\alpha ) \\exp (n + H_{t+1}) \\nonumber \\\\ &  n \\sim \\mathcal {N}(0, \\frac{1}{16}) \\qquad \\alpha \\in \\mathbb {R} \\end{aligned}$$\\end{document}rt:=r(c,e,λ,α)=exp(α)exp(n+Ht+1)n∼N(0,116)α∈RIn this equation, the entropy term can be interpreted as the logarithmic drift rate that governs decision time, with the Gaussian random variable n accounting for the stochastic component of diffusion (Ratcliff and McKoon, 2008). The constant \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\exp (\\alpha )$$\\end{document}exp(α) represents the baseline response time under conditions of maximum confidence, where entropy approaches zero. In essence, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α represents the minimum expected response time, i.e., when the subject is fully certain about her response choice; at each trial, within the active inference model, this minimum reaction time is adjusted by an amount represented by the entropy H.\nA characteristic feature of many behavioral tasks, including the Stroop, is a speed–accuracy trade-off, whereby attempting to respond more quickly often causes a decrease in accuracy. Since the question of whether investing more effort in a task affects speed, accuracy, or both is a relevant one, it is important that the simulated behavioral data from our generative model exhibit a realistic relationship between speed and accuracy.\nFigure 2 shows the accuracy and response times of the data generated by the model using various values of the parameters c and e. In panels A and B, when c is slightly below 0 (leftmost columns), an increase in e results in decreased accuracy and faster response times. This means that when the motivation for performing the task well is low, the presence of strong habitual behaviors that are discordant with the task requirements will prevail, producing quick but inaccurate responses. In contrast, in the rightmost columns of the grid plots, where c is greater than 0, increasing e values lead to a (small) decline in both accuracy and response speed. In other words, when motivation is strong, we will generally observe fast and accurate responses, with only slight decreases in performance as the cognitive demands of the task (in terms of its deviation from habitual behavior) increase. Panel C of Fig. 2 illustrates more explicitly the speed–accuracy trade-off for various values of the c and e parameters.Fig. 2Panels A and B illustrates the average accuracy and response times for simulated data under different prior beliefs. Panel C integrates this information into a two-dimensional plot, illustrating the relationship between speed and accuracy across different fixed levels of motivation (c) and habit (e). The gradient of the curve may be either positive or negative, indicating that an increase in speed can be associated with either a decrease or an increase in accuracy. In all these simulations, the other parameters were set as follows: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\frac{1}{4}$$\\end{document}λ=14, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha = \\ln (\\frac{1}{2})$$\\end{document}α=ln(12), which correspond to the values used in the simulations from Parr et al. (2023). Note that the graph includes some zones of very poor accuracy, which correspond to high values of e and low values of c. As our actual behavioral data did not exhibit such low levels of performance, we did not expect to recover the corresponding combination of parameter values, and indeed, these were not obtained (see Results)\nPanels A and B illustrates the average accuracy and response times for simulated data under different prior beliefs. Panel C integrates this information into a two-dimensional plot, illustrating the relationship between speed and accuracy across different fixed levels of motivation (c) and habit (e). The gradient of the curve may be either positive or negative, indicating that an increase in speed can be associated with either a decrease or an increase in accuracy. In all these simulations, the other parameters were set as follows: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\frac{1}{4}$$\\end{document}λ=14, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha = \\ln (\\frac{1}{2})$$\\end{document}α=ln(12), which correspond to the values used in the simulations from Parr et al. (2023). Note that the graph includes some zones of very poor accuracy, which correspond to high values of e and low values of c. As our actual behavioral data did not exhibit such low levels of performance, we did not expect to recover the corresponding combination of parameter values, and indeed, these were not obtained (see Results)\nWe now turn to the central aim of the present study: to infer the values of hidden causal factors of behavior from measures of task performance and use these to test hypotheses. In our case, this involves estimating the values of parameters c, e, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α for each participant, by fitting the generative model to the observed data (response choices and response times) via a variational Laplace procedure (Zeidman et al., 2023).\nOur modeling approach uses as data not only the overall accuracy of the responses, but also the sequence of choices (i.e., button presses), allowing for sequential effects to inform model fitting. Therefore, the log-likelihood \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathcal {L}$$\\end{document}L we used for model inversion depends on both response choices and response times, according to the following formula:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\mathcal {L}(r_t, o_t,c,e,\\lambda , \\alpha )= &  \\underbrace{\\sum _t \\ln (o_{t} \\cdot \\textbf{u}_{t-1})}_{\\text {choices}}\\nonumber \\\\ &  - \\underbrace{\\sum _t \\frac{1}{16} (\\ln r_t + \\textbf{u}_t \\cdot \\ln {\\textbf{u}_t} - \\alpha )^2}_{\\text {response times}} \\end{aligned}$$\\end{document}L(rt,ot,c,e,λ,α)=∑tln(ot·ut-1)⏟choices-∑t116(lnrt+ut·lnut-α)2⏟response timeswhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$o_{t}$$\\end{document}ot denotes the observed response choice (as a one-hot vector3) and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r_t$$\\end{document}rt denotes the response time at time step t.\nBayesian inference requires the definition of prior distributions for the model parameters. In our case, all prior distributions were chosen as Gaussian, resulting in normal posteriors. The prior means of c and e were set at 0. In this way, the prior preference for being correct was approximately 7.4 times the prior preference for being incorrect, while 65% of the time the participant was expected to read the word (and only 35% of the time to name the color). In order to ensure the positivity of the parameter representing the stochasticity in the model, we defined \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\exp (\\zeta )$$\\end{document}λ=exp(ζ) and modeled \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\zeta $$\\end{document}ζ using a prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\ln (\\frac{1}{4})$$\\end{document}ln(14). Finally, the parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α (associated with the lower bound of response times) was modeled using a prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\ln (\\frac{1}{2})$$\\end{document}ln(12). Regarding the variance of these Gaussian priors, we used \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\frac{1}{4}$$\\end{document}14 for all parameters. For a detailed explanation of these prior choices, please refer to Supplementary Materials. Data from the EXERT and RELAX runs were used to fit the model separately for each of the 20 participants, yielding a total of 40 sets of model parameters.\nThe group-level analysis aimed to determine whether the motivation parameter (c) and the bias parameter (e) differed between the two effort conditions. To address this, we applied parametric empirical Bayes (PEB; Friston et al., 2016), which updates individual estimates and predicts group-level c and e parameters, representing the difference between the EXERT and RELAX conditions. This approach mitigates overfitting and is well suited for small sample sizes.\nPEB requires the specification of a design matrix to account for sources of variability between subjects. While the first column contains all ones and represents the intercept, the second column typically refers to the effect of interest; in our case, it contained 1 for EXERT models and 0 for RELAX models. The remaining columns captured the subject-specific variability and were mean-centered (Fig. 3).4\nBayesian Model Reduction (BMR; Friston et al., 2016) tests reduced versions of the full model obtained with PEB, selecting the most plausible one and highlighting key group-level effects. We used BMR to compare four models: the full model, which includes the effect of voluntary effort on both c and e; a null model with no effect of voluntary effort on either parameter; and two models with the effect of voluntary effort on only one parameter. In the BMR scheme, if a model has a posterior probability greater than 90% its parameter estimates are taken as the final values. Otherwise, the final estimates are computed as a weighted average of the estimates from all the models, where the weights are the posterior probabilities of the models (i.e., Bayesian model averaging). Credible intervals are also computed using this procedure, thus we considered a posterior probability of being non-zero higher than 90% as a criterion for reasonable evidence of the effect of voluntary effort on the specified parameter. This allowed us to test if voluntary effort is mediated by (1) increasing motivation for being correct, (2) suppressing the automatic habitual response, by both (1) and (2), or by neither (1) nor (2).Fig. 3Design matrix of the PEB analysis. The first column represents the intercept, while the second column refers to the effect of interest, which is the effect of intentional effort on motivation c and bias e. The first 20 rows represent the parameters relative to the EXERT data, and the last twenty rows the parameters relative to the RELAX dataTable 1Average values for the observed accuracy and response times (RT) across all eight conditions. For response times, within-subjects 95% confidence intervals (CI) are also shownEffortTargetCongruencyAverage accuracyAverage RTRT 95% CIEXERTcolorcongruent98.2%592 ms535 - 653 msEXERTcolorincongruent95.7%717 ms652 -787 msEXERTwordcongruent98.4%609 ms559 - 656 msEXERTwordincongruent96.8%706 ms642 - 766 msRELAXcolorcongruent98.0%694 ms632 - 756 msRELAXcolorincongruent94.0%859 ms779 -939 msRELAXwordcongruent98.0%699 ms641 - 758 msRELAXwordincongruent96.7%806 ms723 - 880 ms\nDesign matrix of the PEB analysis. The first column represents the intercept, while the second column refers to the effect of interest, which is the effect of intentional effort on motivation c and bias e. The first 20 rows represent the parameters relative to the EXERT data, and the last twenty rows the parameters relative to the RELAX data\nAverage values for the observed accuracy and response times (RT) across all eight conditions. For response times, within-subjects 95% confidence intervals (CI) are also shown\n\n\n### Participants\nTwenty volunteers (12 females; mean age: 27.9 ± 5.7 years; range: 18–43 years) took part in the study. A history of psychiatric or neurological disorders and current use of psychoactive medications were considered exclusion criteria. The study was carried out according to the 2013 version of the Declaration of Helsinki, after approval by the local Ethics Committee (protocol number: CEAR 2024/0144289). Written informed consent to participate in the study was obtained from all volunteers.\n\n\n### Experimental design\nWe employed a version of the color–word Stroop task, using a finger-press response modality via a button box. Participants were instructed to focus on visual stimuli presented on a laptop screen using the PsychoPy software (Peirce et al., 2019). The stimuli consisted of four colored words (‘RED’, ‘GREEN’, ‘YELLOW’, and ‘BLUE’), which were displayed either in a semantically matching font color for congruent trials (e.g., the word ‘RED’ in red fonts), or in a non-matching font color for incongruent trials (e.g., the word ‘RED’ in green fonts). The Stroop interference effect, which is deemed to reflect effortful cognitive control, refers to participants exhibiting longer response times and a higher number of errors during incongruent trials, compared to congruent ones.\nEach participant completed four runs of the experimental task. Each run consisted of 96 trials, yielding a total of 384 trials. The intertrial interval (between a response and the onset of the following stimulus) was set at 1 s, and the participants were not constrained by a time limit for responding. Each run was divided into four blocks of 24 stimuli. In two of these blocks, participants were asked to respond to font color, while in the other two, they were instructed to respond to the written text (Fig. 1).\nCrucially, as in Khachouf et al. (2017), the participants were instructed to perform alternating runs with two distinct levels of effort: (a) “with maximum exertion” (EXERT condition) or (b) “as relaxed as possible” (RELAX condition). As a consequence, our experimental design had 3 factors: effort (EXERT or RELAX), target (word or color) and congruency. Note that the instructions to the participants focused on differentiating their mental attitude adopted in performing the task, rather than on achieving a better (more accurate and fast) performance in the EXERT vs. the RELAX condition. Thus, the ensuing changes in behavioral responses can be attributed to the participants’ attempt to execute an intentional modulation of effort. The instructions were displayed in the center of the screen for a period of 2 seconds at the beginning of each block, reminding the participants to put in high or low effort right before performing the task (Fig. 1). To avoid order effects, runs and blocks were counterbalanced across participants. In order to ensure full comprehension of the task, all participants completed a practice run prior to the start of the actual data collection.\n\n\n### Subjective task-load ratings\nAt the end of each run, participants were asked to rate their subjective workload using the NASA-TLX rating instrument (Hart and Staveland, 1988). This consists of six questions, presented in random order, addressing the following phenomenological dimensions: Mental demand: how much thinking, deciding, or calculating was requiredPhysical demand: the amount and intensity of physical activity required to complete the taskTemporal demand: the amount of time pressure involved in completing the taskEffort: the degree of exertion required to maintain the participant’s performance levelPerformance: the perceived level of success in completing the taskFrustration level: how insecure, discouraged, or content the participant felt during the taskEach question was displayed in the center of the screen, followed by a horizontal line labeled ‘very low’ on the left and ‘very high’ on the right. Participants responded by positioning a cursor on the line and their selection was subsequently converted to a score of 0 to 10 (inverted scores were used for the Performance reports).\nMental demand: how much thinking, deciding, or calculating was required\nPhysical demand: the amount and intensity of physical activity required to complete the task\nTemporal demand: the amount of time pressure involved in completing the task\nEffort: the degree of exertion required to maintain the participant’s performance level\nPerformance: the perceived level of success in completing the task\nFrustration level: how insecure, discouraged, or content the participant felt during the task\n\n\n### Descriptive and basic statistics of collected data\nAccuracy and response time data were examined via standard descriptive statistics, stratified by all experimental conditions. To confirm the presence of the Stroop interference effect (congruent vs. incongruent), we performed a three-way repeated measures ANOVA on response times.\nTo verify the effectiveness of the experimental manipulation, we performed paired t tests comparing the average NASA-TLX ratings of the EXERT and RELAX blocks. This was done separately for each of the six NASA-TLX dimensions, and the results were corrected for multiple comparisons using the Bonferroni method, with a significance threshold set at \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p_{corr} < 0.05$$\\end{document}pcorr<0.05.\n\n\n### Active inference model of the experimental task\nWe adopted a modeling approach based on the theoretical framework of active inference (Parr et al., 2022). Active inference is based on the idea that our brains make use of internal generative models to predict sensory data and guide behavior. By ‘inverting’ these models, our brains draw perceptual inferences about the causes of observed data and generate behavior that ensures future data comply with prior beliefs. The key thing to know about this framework is that behavior depends upon the form and parameters of the internal model assumed to be used by the brain (i.e., we are modeling how the brain models the world; Daunizeau et al., 2010).\nThe model we implemented replicates the structure of the Stroop task itself, dealing with two timescales (that of the response to an individual stimulus and the response to a stream of stimuli under a given instruction) that explicitly match the modeling to the experimental design. Our model is based on a recently proposed active inference framework for the Stroop task (Parr et al., 2023), with important adaptations tailored to our experimental design. The detailed structure of the model is presented in Supplementary Materials, replicating the key figures of Parr et al. (2023), and walking readers through the technical aspects of this model. This also includes a posterior predictive check and a parameter recovery analysis demonstrating the validity of our modeling approach.\nIn active inference, the potential actions of participants in response to task instructions are represented by alternative policies\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{\\pi }$$\\end{document}π.1 These policies can be viewed as probabilistic beliefs about the type of response to the issue, which subsequently determine the button pressed on the button box. In our case, there are just two available policies, i.e., “report the word text” or “report the font color”. Habitual actions – word reading, in this case – are represented by assigning a higher prior probability, which translates to being ‘easier’ to perform. In contrast, non-habitual actions – like font-color naming, here – are encoded with a lower prior probability, which corresponds to the requirement of a greater cognitive effort.\nOur analysis focused primarily on two parameters, namely c and e, which reflect the motivation to perform the task well and the habitual bias towards reading the word (vs. stating the font color), respectively. Higher values of c indicate a stronger preference for accurate performance, while higher values of e indicate a greater strength of the habit to automatically read the word (and thus the need for increased cognitive effort to suppress this habitual response). The interaction between these parameters reflects various individual scenarios, such as cases where a strong motivation for accuracy (c) can mitigate the impact of a strong habitual tendency (e) toward word reading over font color naming.\nThe generative model enables simulation of response choices as actions. Instead of simply selecting the most probable action, actions are generated by sampling from a probability distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\textbf{u}$$\\end{document}u, given by the expected observation at the next time step (itself determined by averaging observations conditioned upon policies under a distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{\\pi }$$\\end{document}π that scores alternative policies based upon their expected free energy for the next time step). A softmax function2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma $$\\end{document}σ is applied to the log-distribution of the observations, that is also weighted by a parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ to account for uncertainty in action not captured purely by this observation distribution:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\textbf{u}_{t+1} :\\,\\,=\\,\\, \\textbf{u}(c, e, \\lambda ) = \\sigma \\left( \\lambda \\ln \\sum _\\pi \\boldsymbol{\\pi }_\\pi \\cdot \\boldsymbol{o}_{\\pi ,t+1} \\right) \\qquad \\lambda \\in \\mathbb {R}^{+} \\end{aligned}$$\\end{document}ut+1:=u(c,e,λ)=σλln∑πππ·oπ,t+1λ∈R+Effectively, this means that the next controllable observation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ o_{t+1} $$\\end{document}ot+1 – i.e., the button press – is sampled from \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{u}_{t+1}$$\\end{document}ut+1. The parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, typically referred to as inverse temperature, regulates the level of stochasticity in action selection. Higher values of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ result in more deterministic actions, whereas lower values increase variability in decision-making.\nResponse times can also be simulated by the model, based on the agent’s confidence in her response choice, following a common approach in drift-diffusion models of decision-making (Ratcliff and McKoon, 2008). More specifically, the response time is modeled here as a function of the entropy of the predicted response choice distribution at the next time step, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$H_{t+1} = -\\textbf{u}_{t+1} \\cdot \\ln (\\textbf{u}_{t+1})$$\\end{document}Ht+1=-ut+1·ln(ut+1). Higher entropy values correspond to longer response times:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} &  r_t :\\,\\,=\\,\\, r(c, e, \\lambda , \\alpha ) = \\exp (\\alpha ) \\exp (n + H_{t+1}) \\nonumber \\\\ &  n \\sim \\mathcal {N}(0, \\frac{1}{16}) \\qquad \\alpha \\in \\mathbb {R} \\end{aligned}$$\\end{document}rt:=r(c,e,λ,α)=exp(α)exp(n+Ht+1)n∼N(0,116)α∈RIn this equation, the entropy term can be interpreted as the logarithmic drift rate that governs decision time, with the Gaussian random variable n accounting for the stochastic component of diffusion (Ratcliff and McKoon, 2008). The constant \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\exp (\\alpha )$$\\end{document}exp(α) represents the baseline response time under conditions of maximum confidence, where entropy approaches zero. In essence, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α represents the minimum expected response time, i.e., when the subject is fully certain about her response choice; at each trial, within the active inference model, this minimum reaction time is adjusted by an amount represented by the entropy H.\nA characteristic feature of many behavioral tasks, including the Stroop, is a speed–accuracy trade-off, whereby attempting to respond more quickly often causes a decrease in accuracy. Since the question of whether investing more effort in a task affects speed, accuracy, or both is a relevant one, it is important that the simulated behavioral data from our generative model exhibit a realistic relationship between speed and accuracy.\nFigure 2 shows the accuracy and response times of the data generated by the model using various values of the parameters c and e. In panels A and B, when c is slightly below 0 (leftmost columns), an increase in e results in decreased accuracy and faster response times. This means that when the motivation for performing the task well is low, the presence of strong habitual behaviors that are discordant with the task requirements will prevail, producing quick but inaccurate responses. In contrast, in the rightmost columns of the grid plots, where c is greater than 0, increasing e values lead to a (small) decline in both accuracy and response speed. In other words, when motivation is strong, we will generally observe fast and accurate responses, with only slight decreases in performance as the cognitive demands of the task (in terms of its deviation from habitual behavior) increase. Panel C of Fig. 2 illustrates more explicitly the speed–accuracy trade-off for various values of the c and e parameters.Fig. 2Panels A and B illustrates the average accuracy and response times for simulated data under different prior beliefs. Panel C integrates this information into a two-dimensional plot, illustrating the relationship between speed and accuracy across different fixed levels of motivation (c) and habit (e). The gradient of the curve may be either positive or negative, indicating that an increase in speed can be associated with either a decrease or an increase in accuracy. In all these simulations, the other parameters were set as follows: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\frac{1}{4}$$\\end{document}λ=14, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha = \\ln (\\frac{1}{2})$$\\end{document}α=ln(12), which correspond to the values used in the simulations from Parr et al. (2023). Note that the graph includes some zones of very poor accuracy, which correspond to high values of e and low values of c. As our actual behavioral data did not exhibit such low levels of performance, we did not expect to recover the corresponding combination of parameter values, and indeed, these were not obtained (see Results)\nPanels A and B illustrates the average accuracy and response times for simulated data under different prior beliefs. Panel C integrates this information into a two-dimensional plot, illustrating the relationship between speed and accuracy across different fixed levels of motivation (c) and habit (e). The gradient of the curve may be either positive or negative, indicating that an increase in speed can be associated with either a decrease or an increase in accuracy. In all these simulations, the other parameters were set as follows: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\frac{1}{4}$$\\end{document}λ=14, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha = \\ln (\\frac{1}{2})$$\\end{document}α=ln(12), which correspond to the values used in the simulations from Parr et al. (2023). Note that the graph includes some zones of very poor accuracy, which correspond to high values of e and low values of c. As our actual behavioral data did not exhibit such low levels of performance, we did not expect to recover the corresponding combination of parameter values, and indeed, these were not obtained (see Results)\n\n\n### Response choice\nThe generative model enables simulation of response choices as actions. Instead of simply selecting the most probable action, actions are generated by sampling from a probability distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\textbf{u}$$\\end{document}u, given by the expected observation at the next time step (itself determined by averaging observations conditioned upon policies under a distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{\\pi }$$\\end{document}π that scores alternative policies based upon their expected free energy for the next time step). A softmax function2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma $$\\end{document}σ is applied to the log-distribution of the observations, that is also weighted by a parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ to account for uncertainty in action not captured purely by this observation distribution:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\textbf{u}_{t+1} :\\,\\,=\\,\\, \\textbf{u}(c, e, \\lambda ) = \\sigma \\left( \\lambda \\ln \\sum _\\pi \\boldsymbol{\\pi }_\\pi \\cdot \\boldsymbol{o}_{\\pi ,t+1} \\right) \\qquad \\lambda \\in \\mathbb {R}^{+} \\end{aligned}$$\\end{document}ut+1:=u(c,e,λ)=σλln∑πππ·oπ,t+1λ∈R+Effectively, this means that the next controllable observation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ o_{t+1} $$\\end{document}ot+1 – i.e., the button press – is sampled from \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\boldsymbol{u}_{t+1}$$\\end{document}ut+1. The parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, typically referred to as inverse temperature, regulates the level of stochasticity in action selection. Higher values of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ result in more deterministic actions, whereas lower values increase variability in decision-making.\n\n\n### Response times\nResponse times can also be simulated by the model, based on the agent’s confidence in her response choice, following a common approach in drift-diffusion models of decision-making (Ratcliff and McKoon, 2008). More specifically, the response time is modeled here as a function of the entropy of the predicted response choice distribution at the next time step, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$H_{t+1} = -\\textbf{u}_{t+1} \\cdot \\ln (\\textbf{u}_{t+1})$$\\end{document}Ht+1=-ut+1·ln(ut+1). Higher entropy values correspond to longer response times:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} &  r_t :\\,\\,=\\,\\, r(c, e, \\lambda , \\alpha ) = \\exp (\\alpha ) \\exp (n + H_{t+1}) \\nonumber \\\\ &  n \\sim \\mathcal {N}(0, \\frac{1}{16}) \\qquad \\alpha \\in \\mathbb {R} \\end{aligned}$$\\end{document}rt:=r(c,e,λ,α)=exp(α)exp(n+Ht+1)n∼N(0,116)α∈RIn this equation, the entropy term can be interpreted as the logarithmic drift rate that governs decision time, with the Gaussian random variable n accounting for the stochastic component of diffusion (Ratcliff and McKoon, 2008). The constant \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\exp (\\alpha )$$\\end{document}exp(α) represents the baseline response time under conditions of maximum confidence, where entropy approaches zero. In essence, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α represents the minimum expected response time, i.e., when the subject is fully certain about her response choice; at each trial, within the active inference model, this minimum reaction time is adjusted by an amount represented by the entropy H.\n\n\n### Simulated behavior\nA characteristic feature of many behavioral tasks, including the Stroop, is a speed–accuracy trade-off, whereby attempting to respond more quickly often causes a decrease in accuracy. Since the question of whether investing more effort in a task affects speed, accuracy, or both is a relevant one, it is important that the simulated behavioral data from our generative model exhibit a realistic relationship between speed and accuracy.\nFigure 2 shows the accuracy and response times of the data generated by the model using various values of the parameters c and e. In panels A and B, when c is slightly below 0 (leftmost columns), an increase in e results in decreased accuracy and faster response times. This means that when the motivation for performing the task well is low, the presence of strong habitual behaviors that are discordant with the task requirements will prevail, producing quick but inaccurate responses. In contrast, in the rightmost columns of the grid plots, where c is greater than 0, increasing e values lead to a (small) decline in both accuracy and response speed. In other words, when motivation is strong, we will generally observe fast and accurate responses, with only slight decreases in performance as the cognitive demands of the task (in terms of its deviation from habitual behavior) increase. Panel C of Fig. 2 illustrates more explicitly the speed–accuracy trade-off for various values of the c and e parameters.Fig. 2Panels A and B illustrates the average accuracy and response times for simulated data under different prior beliefs. Panel C integrates this information into a two-dimensional plot, illustrating the relationship between speed and accuracy across different fixed levels of motivation (c) and habit (e). The gradient of the curve may be either positive or negative, indicating that an increase in speed can be associated with either a decrease or an increase in accuracy. In all these simulations, the other parameters were set as follows: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\frac{1}{4}$$\\end{document}λ=14, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha = \\ln (\\frac{1}{2})$$\\end{document}α=ln(12), which correspond to the values used in the simulations from Parr et al. (2023). Note that the graph includes some zones of very poor accuracy, which correspond to high values of e and low values of c. As our actual behavioral data did not exhibit such low levels of performance, we did not expect to recover the corresponding combination of parameter values, and indeed, these were not obtained (see Results)\nPanels A and B illustrates the average accuracy and response times for simulated data under different prior beliefs. Panel C integrates this information into a two-dimensional plot, illustrating the relationship between speed and accuracy across different fixed levels of motivation (c) and habit (e). The gradient of the curve may be either positive or negative, indicating that an increase in speed can be associated with either a decrease or an increase in accuracy. In all these simulations, the other parameters were set as follows: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\frac{1}{4}$$\\end{document}λ=14, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha = \\ln (\\frac{1}{2})$$\\end{document}α=ln(12), which correspond to the values used in the simulations from Parr et al. (2023). Note that the graph includes some zones of very poor accuracy, which correspond to high values of e and low values of c. As our actual behavioral data did not exhibit such low levels of performance, we did not expect to recover the corresponding combination of parameter values, and indeed, these were not obtained (see Results)\n\n\n### Model fitting and parameter estimation\nWe now turn to the central aim of the present study: to infer the values of hidden causal factors of behavior from measures of task performance and use these to test hypotheses. In our case, this involves estimating the values of parameters c, e, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α for each participant, by fitting the generative model to the observed data (response choices and response times) via a variational Laplace procedure (Zeidman et al., 2023).\nOur modeling approach uses as data not only the overall accuracy of the responses, but also the sequence of choices (i.e., button presses), allowing for sequential effects to inform model fitting. Therefore, the log-likelihood \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathcal {L}$$\\end{document}L we used for model inversion depends on both response choices and response times, according to the following formula:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\mathcal {L}(r_t, o_t,c,e,\\lambda , \\alpha )= &  \\underbrace{\\sum _t \\ln (o_{t} \\cdot \\textbf{u}_{t-1})}_{\\text {choices}}\\nonumber \\\\ &  - \\underbrace{\\sum _t \\frac{1}{16} (\\ln r_t + \\textbf{u}_t \\cdot \\ln {\\textbf{u}_t} - \\alpha )^2}_{\\text {response times}} \\end{aligned}$$\\end{document}L(rt,ot,c,e,λ,α)=∑tln(ot·ut-1)⏟choices-∑t116(lnrt+ut·lnut-α)2⏟response timeswhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$o_{t}$$\\end{document}ot denotes the observed response choice (as a one-hot vector3) and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r_t$$\\end{document}rt denotes the response time at time step t.\nBayesian inference requires the definition of prior distributions for the model parameters. In our case, all prior distributions were chosen as Gaussian, resulting in normal posteriors. The prior means of c and e were set at 0. In this way, the prior preference for being correct was approximately 7.4 times the prior preference for being incorrect, while 65% of the time the participant was expected to read the word (and only 35% of the time to name the color). In order to ensure the positivity of the parameter representing the stochasticity in the model, we defined \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\exp (\\zeta )$$\\end{document}λ=exp(ζ) and modeled \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\zeta $$\\end{document}ζ using a prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\ln (\\frac{1}{4})$$\\end{document}ln(14). Finally, the parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α (associated with the lower bound of response times) was modeled using a prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\ln (\\frac{1}{2})$$\\end{document}ln(12). Regarding the variance of these Gaussian priors, we used \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\frac{1}{4}$$\\end{document}14 for all parameters. For a detailed explanation of these prior choices, please refer to Supplementary Materials. Data from the EXERT and RELAX runs were used to fit the model separately for each of the 20 participants, yielding a total of 40 sets of model parameters.\nThe group-level analysis aimed to determine whether the motivation parameter (c) and the bias parameter (e) differed between the two effort conditions. To address this, we applied parametric empirical Bayes (PEB; Friston et al., 2016), which updates individual estimates and predicts group-level c and e parameters, representing the difference between the EXERT and RELAX conditions. This approach mitigates overfitting and is well suited for small sample sizes.\nPEB requires the specification of a design matrix to account for sources of variability between subjects. While the first column contains all ones and represents the intercept, the second column typically refers to the effect of interest; in our case, it contained 1 for EXERT models and 0 for RELAX models. The remaining columns captured the subject-specific variability and were mean-centered (Fig. 3).4\nBayesian Model Reduction (BMR; Friston et al., 2016) tests reduced versions of the full model obtained with PEB, selecting the most plausible one and highlighting key group-level effects. We used BMR to compare four models: the full model, which includes the effect of voluntary effort on both c and e; a null model with no effect of voluntary effort on either parameter; and two models with the effect of voluntary effort on only one parameter. In the BMR scheme, if a model has a posterior probability greater than 90% its parameter estimates are taken as the final values. Otherwise, the final estimates are computed as a weighted average of the estimates from all the models, where the weights are the posterior probabilities of the models (i.e., Bayesian model averaging). Credible intervals are also computed using this procedure, thus we considered a posterior probability of being non-zero higher than 90% as a criterion for reasonable evidence of the effect of voluntary effort on the specified parameter. This allowed us to test if voluntary effort is mediated by (1) increasing motivation for being correct, (2) suppressing the automatic habitual response, by both (1) and (2), or by neither (1) nor (2).Fig. 3Design matrix of the PEB analysis. The first column represents the intercept, while the second column refers to the effect of interest, which is the effect of intentional effort on motivation c and bias e. The first 20 rows represent the parameters relative to the EXERT data, and the last twenty rows the parameters relative to the RELAX dataTable 1Average values for the observed accuracy and response times (RT) across all eight conditions. For response times, within-subjects 95% confidence intervals (CI) are also shownEffortTargetCongruencyAverage accuracyAverage RTRT 95% CIEXERTcolorcongruent98.2%592 ms535 - 653 msEXERTcolorincongruent95.7%717 ms652 -787 msEXERTwordcongruent98.4%609 ms559 - 656 msEXERTwordincongruent96.8%706 ms642 - 766 msRELAXcolorcongruent98.0%694 ms632 - 756 msRELAXcolorincongruent94.0%859 ms779 -939 msRELAXwordcongruent98.0%699 ms641 - 758 msRELAXwordincongruent96.7%806 ms723 - 880 ms\nDesign matrix of the PEB analysis. The first column represents the intercept, while the second column refers to the effect of interest, which is the effect of intentional effort on motivation c and bias e. The first 20 rows represent the parameters relative to the EXERT data, and the last twenty rows the parameters relative to the RELAX data\nAverage values for the observed accuracy and response times (RT) across all eight conditions. For response times, within-subjects 95% confidence intervals (CI) are also shown\n\n\n### Single-subject level\nOur modeling approach uses as data not only the overall accuracy of the responses, but also the sequence of choices (i.e., button presses), allowing for sequential effects to inform model fitting. Therefore, the log-likelihood \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathcal {L}$$\\end{document}L we used for model inversion depends on both response choices and response times, according to the following formula:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\mathcal {L}(r_t, o_t,c,e,\\lambda , \\alpha )= &  \\underbrace{\\sum _t \\ln (o_{t} \\cdot \\textbf{u}_{t-1})}_{\\text {choices}}\\nonumber \\\\ &  - \\underbrace{\\sum _t \\frac{1}{16} (\\ln r_t + \\textbf{u}_t \\cdot \\ln {\\textbf{u}_t} - \\alpha )^2}_{\\text {response times}} \\end{aligned}$$\\end{document}L(rt,ot,c,e,λ,α)=∑tln(ot·ut-1)⏟choices-∑t116(lnrt+ut·lnut-α)2⏟response timeswhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$o_{t}$$\\end{document}ot denotes the observed response choice (as a one-hot vector3) and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r_t$$\\end{document}rt denotes the response time at time step t.\nBayesian inference requires the definition of prior distributions for the model parameters. In our case, all prior distributions were chosen as Gaussian, resulting in normal posteriors. The prior means of c and e were set at 0. In this way, the prior preference for being correct was approximately 7.4 times the prior preference for being incorrect, while 65% of the time the participant was expected to read the word (and only 35% of the time to name the color). In order to ensure the positivity of the parameter representing the stochasticity in the model, we defined \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda = \\exp (\\zeta )$$\\end{document}λ=exp(ζ) and modeled \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\zeta $$\\end{document}ζ using a prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\ln (\\frac{1}{4})$$\\end{document}ln(14). Finally, the parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α (associated with the lower bound of response times) was modeled using a prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\ln (\\frac{1}{2})$$\\end{document}ln(12). Regarding the variance of these Gaussian priors, we used \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\frac{1}{4}$$\\end{document}14 for all parameters. For a detailed explanation of these prior choices, please refer to Supplementary Materials. Data from the EXERT and RELAX runs were used to fit the model separately for each of the 20 participants, yielding a total of 40 sets of model parameters.\n\n\n### Group-level\nThe group-level analysis aimed to determine whether the motivation parameter (c) and the bias parameter (e) differed between the two effort conditions. To address this, we applied parametric empirical Bayes (PEB; Friston et al., 2016), which updates individual estimates and predicts group-level c and e parameters, representing the difference between the EXERT and RELAX conditions. This approach mitigates overfitting and is well suited for small sample sizes.\nPEB requires the specification of a design matrix to account for sources of variability between subjects. While the first column contains all ones and represents the intercept, the second column typically refers to the effect of interest; in our case, it contained 1 for EXERT models and 0 for RELAX models. The remaining columns captured the subject-specific variability and were mean-centered (Fig. 3).4\nBayesian Model Reduction (BMR; Friston et al., 2016) tests reduced versions of the full model obtained with PEB, selecting the most plausible one and highlighting key group-level effects. We used BMR to compare four models: the full model, which includes the effect of voluntary effort on both c and e; a null model with no effect of voluntary effort on either parameter; and two models with the effect of voluntary effort on only one parameter. In the BMR scheme, if a model has a posterior probability greater than 90% its parameter estimates are taken as the final values. Otherwise, the final estimates are computed as a weighted average of the estimates from all the models, where the weights are the posterior probabilities of the models (i.e., Bayesian model averaging). Credible intervals are also computed using this procedure, thus we considered a posterior probability of being non-zero higher than 90% as a criterion for reasonable evidence of the effect of voluntary effort on the specified parameter. This allowed us to test if voluntary effort is mediated by (1) increasing motivation for being correct, (2) suppressing the automatic habitual response, by both (1) and (2), or by neither (1) nor (2).Fig. 3Design matrix of the PEB analysis. The first column represents the intercept, while the second column refers to the effect of interest, which is the effect of intentional effort on motivation c and bias e. The first 20 rows represent the parameters relative to the EXERT data, and the last twenty rows the parameters relative to the RELAX dataTable 1Average values for the observed accuracy and response times (RT) across all eight conditions. For response times, within-subjects 95% confidence intervals (CI) are also shownEffortTargetCongruencyAverage accuracyAverage RTRT 95% CIEXERTcolorcongruent98.2%592 ms535 - 653 msEXERTcolorincongruent95.7%717 ms652 -787 msEXERTwordcongruent98.4%609 ms559 - 656 msEXERTwordincongruent96.8%706 ms642 - 766 msRELAXcolorcongruent98.0%694 ms632 - 756 msRELAXcolorincongruent94.0%859 ms779 -939 msRELAXwordcongruent98.0%699 ms641 - 758 msRELAXwordincongruent96.7%806 ms723 - 880 ms\nDesign matrix of the PEB analysis. The first column represents the intercept, while the second column refers to the effect of interest, which is the effect of intentional effort on motivation c and bias e. The first 20 rows represent the parameters relative to the EXERT data, and the last twenty rows the parameters relative to the RELAX data\nAverage values for the observed accuracy and response times (RT) across all eight conditions. For response times, within-subjects 95% confidence intervals (CI) are also shown\n\n\n### Results\nThe observed accuracy and response times are presented in Table 1 and Fig. 4. In both the EXERT and RELAX blocks, the color incongruent condition – where participants had to respond to the font color and the stimulus was incongruent – yielded the lowest accuracy and the longest response times. Performance in the word incongruent condition – where participants had to respond to the stimulus text and the stimulus was incongruent – was comparatively better, even if it remained slower and less accurate than in all congruent conditions. In the RELAX condition, response times were generally slower compared to the EXERT condition, although a relevant reduction in accuracy was only observed in the color-incongruent condition (94.0% vs. 95.7%). Results of a three-way repeated measures ANOVA performed to confirm the Stroop interference effect on response times are reported in the Supplementary Materials.\nThree of the six NASA-TLX dimensions had statistically significant differences between the EXERT and RELAX blocks. Specifically, higher values for the EXERT, compared to the RELAX, runs were reported for mental demand (mean = 6.57 vs. 5.15, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.42$$\\end{document}Δ=1.42, 95% CI [0.82, 2.03], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p < 0.001$$\\end{document}p<0.001), temporal demand (mean = 5.24 vs. 3.87, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.37$$\\end{document}Δ=1.37, 95% CI [0.75, 2.00], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p = 0.001$$\\end{document}p=0.001), and effort (mean = 6.74 vs. 4.83, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.91$$\\end{document}Δ=1.91, 95% CI [1.29, 2.52], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p < 0.001$$\\end{document}p<0.001).\nFigure 5 illustrates the model’s parameter estimates across subjects. We did not observe any significant correlation between the NASA-TLX ratings and the estimated values for the c and e parameters – both separately for the EXERT and RELAX conditions, and for the EXERT-RELAX differences (see Supplementary Materials).\nFor the group-level analysis, we employed parametric empirical Bayes (PEB) followed by Bayesian model reduction (BMR), to investigate how the c and e parameters can explain the effect of intentional investment of effort in the task. This analysis identifies the model that best explains the observed differences between the EXERT and RELAX conditions. The left panel of Fig. 6 shows that, although the ’full model’ that includes the effect of effort on both the c and e parameters exhibits the highest posterior probability (65.3%), the model with effort affecting only the c parameter also demonstrates a substantial posterior probability (34.7%), while the model considering only e has a negligible posterior probability. As all models have a posterior probability less than 90%, the final parameter estimates are computed as a weighted average of the estimates from models, where the weights are their posterior probabilities.\nTherefore, c is the only parameter whose variation with respect to endogenous effort has a probability of being non-zero higher than 90% (Fig. 6, middle and right). This finding suggests that the intentional engagement of effort primarily affects motivation, as the parameter c, in contrast to the parameter e, is significantly higher in the EXERT condition compared to the RELAX one. Nevertheless, the findings of this group-level analysis do not preclude the possibility that, for certain individuals, endogenous effort may be mediated by changes in the e parameter.Fig. 4Graphical representation of the observed behavioral data. The left column illustrates accuracy across the various conditions (error bars represent within-subject standard errors), while the remaining two columns display the distributions of the observed response times for the two tasks (‘report the font color’ and ‘report the word text’). For the results of a repeated-measure ANOVA on response times, see Supplementary MaterialsFig. 5Posterior estimates and credible intervals for the parameters c, e, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α in terms of their deviation from prior valuesFig. 6Results of group-level analysis. BMR was used to compute posterior probabilities of four models: a ’full model’ that included both c and e, a ’null model’ that excluded both, and two models that included only one of the parameters. The left panel shows the posterior probability for each model, with a horizontal line indicating the 90% probability level. The middle panel displays the posterior probability of being non-zero for each second-level parameter (representing the difference in c and e between EXERT and RELAX blocks). These values are computed as the sum of the posterior probabilities of the models where these parameters are present; for example the posterior probability of group-level c is the sum of the posterior probabilities of the full model and the ’only c’ model. Note that the full model has a larger posterior probability than the one that includes only the c parameter, providing some evidence for the relevance of both parameters in explaining the data. However, this can be nuanced by computing final parameter estimates from a weighted average (i.e., Bayesian model averaging), where the weights are the posterior probabilities of the models. The right panel shows these weighted averages with 90% credible intervals. From this graph, we can see that the final posterior probability distribution for group-level e parameter has 90% credible intervals that include zero. As such, if we apply an arbitrary 90% thresholding, we would be unable to conclude that this parameter differs between EXERT and RELAX condition\nGraphical representation of the observed behavioral data. The left column illustrates accuracy across the various conditions (error bars represent within-subject standard errors), while the remaining two columns display the distributions of the observed response times for the two tasks (‘report the font color’ and ‘report the word text’). For the results of a repeated-measure ANOVA on response times, see Supplementary Materials\nPosterior estimates and credible intervals for the parameters c, e, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α in terms of their deviation from prior values\nResults of group-level analysis. BMR was used to compute posterior probabilities of four models: a ’full model’ that included both c and e, a ’null model’ that excluded both, and two models that included only one of the parameters. The left panel shows the posterior probability for each model, with a horizontal line indicating the 90% probability level. The middle panel displays the posterior probability of being non-zero for each second-level parameter (representing the difference in c and e between EXERT and RELAX blocks). These values are computed as the sum of the posterior probabilities of the models where these parameters are present; for example the posterior probability of group-level c is the sum of the posterior probabilities of the full model and the ’only c’ model. Note that the full model has a larger posterior probability than the one that includes only the c parameter, providing some evidence for the relevance of both parameters in explaining the data. However, this can be nuanced by computing final parameter estimates from a weighted average (i.e., Bayesian model averaging), where the weights are the posterior probabilities of the models. The right panel shows these weighted averages with 90% credible intervals. From this graph, we can see that the final posterior probability distribution for group-level e parameter has 90% credible intervals that include zero. As such, if we apply an arbitrary 90% thresholding, we would be unable to conclude that this parameter differs between EXERT and RELAX condition\n\n\n### Descriptive and basic statistics of collected data\nThe observed accuracy and response times are presented in Table 1 and Fig. 4. In both the EXERT and RELAX blocks, the color incongruent condition – where participants had to respond to the font color and the stimulus was incongruent – yielded the lowest accuracy and the longest response times. Performance in the word incongruent condition – where participants had to respond to the stimulus text and the stimulus was incongruent – was comparatively better, even if it remained slower and less accurate than in all congruent conditions. In the RELAX condition, response times were generally slower compared to the EXERT condition, although a relevant reduction in accuracy was only observed in the color-incongruent condition (94.0% vs. 95.7%). Results of a three-way repeated measures ANOVA performed to confirm the Stroop interference effect on response times are reported in the Supplementary Materials.\nThree of the six NASA-TLX dimensions had statistically significant differences between the EXERT and RELAX blocks. Specifically, higher values for the EXERT, compared to the RELAX, runs were reported for mental demand (mean = 6.57 vs. 5.15, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.42$$\\end{document}Δ=1.42, 95% CI [0.82, 2.03], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p < 0.001$$\\end{document}p<0.001), temporal demand (mean = 5.24 vs. 3.87, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.37$$\\end{document}Δ=1.37, 95% CI [0.75, 2.00], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p = 0.001$$\\end{document}p=0.001), and effort (mean = 6.74 vs. 4.83, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.91$$\\end{document}Δ=1.91, 95% CI [1.29, 2.52], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p < 0.001$$\\end{document}p<0.001).\n\n\n### Accuracy and response times\nThe observed accuracy and response times are presented in Table 1 and Fig. 4. In both the EXERT and RELAX blocks, the color incongruent condition – where participants had to respond to the font color and the stimulus was incongruent – yielded the lowest accuracy and the longest response times. Performance in the word incongruent condition – where participants had to respond to the stimulus text and the stimulus was incongruent – was comparatively better, even if it remained slower and less accurate than in all congruent conditions. In the RELAX condition, response times were generally slower compared to the EXERT condition, although a relevant reduction in accuracy was only observed in the color-incongruent condition (94.0% vs. 95.7%). Results of a three-way repeated measures ANOVA performed to confirm the Stroop interference effect on response times are reported in the Supplementary Materials.\n\n\n### Subjective task-load measurements\nThree of the six NASA-TLX dimensions had statistically significant differences between the EXERT and RELAX blocks. Specifically, higher values for the EXERT, compared to the RELAX, runs were reported for mental demand (mean = 6.57 vs. 5.15, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.42$$\\end{document}Δ=1.42, 95% CI [0.82, 2.03], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p < 0.001$$\\end{document}p<0.001), temporal demand (mean = 5.24 vs. 3.87, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.37$$\\end{document}Δ=1.37, 95% CI [0.75, 2.00], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p = 0.001$$\\end{document}p=0.001), and effort (mean = 6.74 vs. 4.83, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta = 1.91$$\\end{document}Δ=1.91, 95% CI [1.29, 2.52], \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p < 0.001$$\\end{document}p<0.001).\n\n\n### Model fitting and parameter estimation\nFigure 5 illustrates the model’s parameter estimates across subjects. We did not observe any significant correlation between the NASA-TLX ratings and the estimated values for the c and e parameters – both separately for the EXERT and RELAX conditions, and for the EXERT-RELAX differences (see Supplementary Materials).\nFor the group-level analysis, we employed parametric empirical Bayes (PEB) followed by Bayesian model reduction (BMR), to investigate how the c and e parameters can explain the effect of intentional investment of effort in the task. This analysis identifies the model that best explains the observed differences between the EXERT and RELAX conditions. The left panel of Fig. 6 shows that, although the ’full model’ that includes the effect of effort on both the c and e parameters exhibits the highest posterior probability (65.3%), the model with effort affecting only the c parameter also demonstrates a substantial posterior probability (34.7%), while the model considering only e has a negligible posterior probability. As all models have a posterior probability less than 90%, the final parameter estimates are computed as a weighted average of the estimates from models, where the weights are their posterior probabilities.\nTherefore, c is the only parameter whose variation with respect to endogenous effort has a probability of being non-zero higher than 90% (Fig. 6, middle and right). This finding suggests that the intentional engagement of effort primarily affects motivation, as the parameter c, in contrast to the parameter e, is significantly higher in the EXERT condition compared to the RELAX one. Nevertheless, the findings of this group-level analysis do not preclude the possibility that, for certain individuals, endogenous effort may be mediated by changes in the e parameter.Fig. 4Graphical representation of the observed behavioral data. The left column illustrates accuracy across the various conditions (error bars represent within-subject standard errors), while the remaining two columns display the distributions of the observed response times for the two tasks (‘report the font color’ and ‘report the word text’). For the results of a repeated-measure ANOVA on response times, see Supplementary MaterialsFig. 5Posterior estimates and credible intervals for the parameters c, e, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α in terms of their deviation from prior valuesFig. 6Results of group-level analysis. BMR was used to compute posterior probabilities of four models: a ’full model’ that included both c and e, a ’null model’ that excluded both, and two models that included only one of the parameters. The left panel shows the posterior probability for each model, with a horizontal line indicating the 90% probability level. The middle panel displays the posterior probability of being non-zero for each second-level parameter (representing the difference in c and e between EXERT and RELAX blocks). These values are computed as the sum of the posterior probabilities of the models where these parameters are present; for example the posterior probability of group-level c is the sum of the posterior probabilities of the full model and the ’only c’ model. Note that the full model has a larger posterior probability than the one that includes only the c parameter, providing some evidence for the relevance of both parameters in explaining the data. However, this can be nuanced by computing final parameter estimates from a weighted average (i.e., Bayesian model averaging), where the weights are the posterior probabilities of the models. The right panel shows these weighted averages with 90% credible intervals. From this graph, we can see that the final posterior probability distribution for group-level e parameter has 90% credible intervals that include zero. As such, if we apply an arbitrary 90% thresholding, we would be unable to conclude that this parameter differs between EXERT and RELAX condition\nGraphical representation of the observed behavioral data. The left column illustrates accuracy across the various conditions (error bars represent within-subject standard errors), while the remaining two columns display the distributions of the observed response times for the two tasks (‘report the font color’ and ‘report the word text’). For the results of a repeated-measure ANOVA on response times, see Supplementary Materials\nPosterior estimates and credible intervals for the parameters c, e, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha $$\\end{document}α in terms of their deviation from prior values\nResults of group-level analysis. BMR was used to compute posterior probabilities of four models: a ’full model’ that included both c and e, a ’null model’ that excluded both, and two models that included only one of the parameters. The left panel shows the posterior probability for each model, with a horizontal line indicating the 90% probability level. The middle panel displays the posterior probability of being non-zero for each second-level parameter (representing the difference in c and e between EXERT and RELAX blocks). These values are computed as the sum of the posterior probabilities of the models where these parameters are present; for example the posterior probability of group-level c is the sum of the posterior probabilities of the full model and the ’only c’ model. Note that the full model has a larger posterior probability than the one that includes only the c parameter, providing some evidence for the relevance of both parameters in explaining the data. However, this can be nuanced by computing final parameter estimates from a weighted average (i.e., Bayesian model averaging), where the weights are the posterior probabilities of the models. The right panel shows these weighted averages with 90% credible intervals. From this graph, we can see that the final posterior probability distribution for group-level e parameter has 90% credible intervals that include zero. As such, if we apply an arbitrary 90% thresholding, we would be unable to conclude that this parameter differs between EXERT and RELAX condition\n\n\n### Discussion\nWe studied the effects of intentional investment of mental effort, using a Stroop task and asking participants to perform it with maximum exertion (EXERT) or as relaxed as possible (RELAX), in alternating runs. Incongruent stimuli in the classical Stroop task already require a degree of cognitive effort to suppress the automatic tendency to read the text in favor of identifying the font color. Thus, in addition to this exogenous effort, which reflects the cognitive load imposed by task demands, our experimental design introduced an explicit endogenous component of effort, namely a voluntary modulation of the participant’s investment in performing the task. While exogenous effort is driven by task difficulty, endogenous effort involves self-regulation and intentional control. As the experimental conditions EXERT and RELAX differed only in the instruction about how to do the task (not about what to do), the observed behavioral differences between the two conditions can be interpreted as reflecting the cognitive processes associated with the attempt to intentionally vary the degree of invested mental effort.\nParr et al. (2023) developed an active inference model of the word–color Stroop task simulating known features of task performance under a novel conceptualization of the construct of mental effort. We used a slightly modified version of this model and fitted it to actual performance data from the Stroop task. This approach allowed us to evaluate the relative evidence of two hypothesized mechanisms of intentional effort: a weakening of the compulsive power of habitual policies, on the one hand, and an increase of intrinsic motivation, on the other. One could ask why, given that many Stroop paradigms make use of only the color-naming condition, we have elected to also include a word-reading condition. The reason for this is that, in estimating the e parameter, dealing with the habitual effect of word reading, it is useful to be able to vary the demands placed on this parameter over and above the effects of some trials being incongruent.\nThe results showed that voluntary engagement of effort in the EXERT condition was associated with a significant increase in the motivation parameter (c) only, suggesting that what participants do when asked to engage maximum effort is to endogenously intensify their motivation, possibly by modulating precision weighting of connections in reward circuits. This seems plausible as the alternative – i.e., modifying directly the strength of our behavioral habits – may not be feasible in the sense that we may not have direct, operational access to the relevant mechanisms (or more simply that modifying habit strengths requires a longer time frame and cannot be performed in real time). It is also possible that this autonomous intensification of motivation is implemented by activating reward-related processes (not necessarily in an explicit, conscious manner), which would align with experimental data showing that increasing the magnitude of a reward leads to greater effort investments (Camerer and Hogarth, 1999; Jimura et al., 2010) and improves executive function (Krebs et al., 2010).\nIt is important to qualify some of the language used. Statements about motivation and demand here refer explicitly to the inferred parameters c and e, which may or may not reflect commonly held psychological definitions of these attributes – although we suggest that they do reflect a formalization of at least some definitions. In other words, the statement that an instruction to voluntarily exert oneself led to an increase in their motivation is really shorthand for saying that it led to an increase in the estimate of the c parameter that best explained their behavior. The meaning of the c and e parameters comes from their influence over decision-making in the models in which they appear. The former determines the degree to which a decision is made to maximize the probability of a particular outcome, while the latter determines the degree to which a decision is biased in a context-independent manner, which may have been accumulated following repeated performance of those same decisions over time. Recent research on cognitive control has shown that different control processes do not necessarily exclude each other and may act in parallel (Gheza and Kool, 2025; Ritz and Shenhav, 2024). Indeed, our model does not posit, by design, a trade-off between motivation and habit; the corresponding parameters were implemented as distinct causal factors. As in any model of this kind, however, when fitting the model to empirical data, a certain degree of dependency among parameters may arise—meaning that changes in the fitted value of one parameter may be accompanied by adjustments in others. Outside of the Stroop task, similar parameters have been estimated in the context of motivated decision-making tasks, including in study of substance abuse disorders (Hakimi et al., 2024), pharmacological studies of serotonergic function (Fisher et al., 2024), and even in saccadic exploration tasks (Mirza et al., 2018).\nAlthough the mechanisms corresponding to the hypotheses cited above can both be seen as instances of mental action – i.e., precision modulation from the point of view of active inference (Limanowski and Friston, 2018; Sandved-Smith et al., 2021) – they differ arguably in the neural locations where precision changes would be respectively implemented. In a previous fMRI study with a similar experimental design, Khachouf et al. (2017) observed significant activity changes triggered by the instructional cue to apply intentional effort to the Stroop task in a wide mosaic of brain regions, including areas belonging to the salience network (anterior/middle cingulate and anterior insula cortex), to the fronto-parietal attentional network (superior parietal cortex, supplementary and pre-supplementary motor area, frontal eye fields and superior frontal gyrus, dorsolateral prefrontal cortex), to the corpus striatum of the basal ganglia, and to the midbrain arousal system. Research on the neural bases of motivational processes has consistently implicated the circuits supporting salience detection, attentional control and reward (Di Domenico and Ryan, 2017; Parro et al., 2018), with a particular focus on dopaminergic transmission (Salamone and Correa, 2024; Treadway and Salamone, 2022). In the clinic, the emergence of apathy in neurological conditions – especially in Parkinson’s and Alzheimer’s diseases, but also in stroke – has been associated with functional impairment and anatomical atrophy in many of the same regions, in particular the medial frontal cortex and the striatum (Le Heron et al., 2018; Levy and Dubois, 2006). Parr et al. (2023) proposed a tentative mapping of the model’s architecture onto a subset of the brain regions listed above – see Fig. 4 in the cited reference. Also, a recent study using a transcranial stimulation protocol during an N-back task, demonstrated the causal role of dorsolateral prefrontal cortex in motivating the engagement of effortful cognitive control (Soutschek and Tobler, 2020).\nOn this basis, it may be reasonable to hypothesize that the observed difference in the estimated values of the c parameter between the EXERT and RELAX conditions reflects a process of precision weighting of the connections among the midbrain, dorsomedial striatum, prefrontal cortex, anterior cingulate, and insular cortex, primarily deployed through the neuromodulatory action of catecholamines. Habit-driven, context-independent behavior has been linked to the activity of the dorsolateral striatum – the posterior putamen in humans (Balleine and O’Doherty, 2010) – within a circuit including sensorimotor and premotor cortices. On the other hand, goal-directed, context-dependent behavior has been associated with the dorsomedial striatum – mainly the caudate nucleus – which is connected to lateral, medial, and orbital prefrontal regions, cingulate cortex, and other associative areas (see, e.g., Buabang et al., 2025; Malvaez, 2020; Tricomi et al., 2009). In Khachouf et al. (2017), the intentional engagement of effort in a Stroop task was associated with a markedly increased activation of the dorsomedial striatum along with other regions mentioned above but, notably, no significant change of activation was observed in the dorsolateral striatum. Although this aligns with the present findings of an increase of the motivation-related parameter c – rather than the habit-related parameter e – driven by intentional effort, the mapping of the observed effect onto specific neural circuits remains speculative at this stage and will have to be verified by future imaging studies with targeted functional connectivity analyses.\nSeveral factors motivated the decision to model our data using an active inference approach. First, this framework is particularly well suited for studies with limited sample sizes, especially in clinical populations where recruitment may be challenging. This is because it explicitly captures uncertainty in parameter estimates, helping to quantify whether additional data are needed, but also because it uses the full sequence of behavioral measurements for each participant, rather than having to rely on summaries like overall accuracy and average response times. Furthermore, each individual can be well characterized in terms of precise individual estimates, improving the inferences at the group level if between-subject variability is not excessive. Second, active inference allows for the estimation of model parameters representing causal factors that are not directly observable but are meaningfully interpretable, thus making it possible to explicitly test specific hypotheses about behavior and decision-making that depend on such hidden factors. Third, the active inference framework naturally accounts for two sources of variability in behavior: the normal trial-to-trial variation (the choices are sampled from a probability distribution) and a more general random variability implemented via the inverse temperature parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\lambda $$\\end{document}λ; this latter feature enables the model to capture phenomena such as distraction, which can lead participants to make errors that do not depend on motivation or task demands. Finally, our operational definition of effort in terms of the divergence of context-dependent actions from context-independent habitual policies – effectively a cost functional – is consistent with current characterizations of effort as a cost-benefit decision process within a neuroeconomic theoretical framework (Kool and Botvinick, 2014; Kurzban et al., 2013; Shenhav et al., 2017).\nIn summary, we have demonstrated the feasibility of a modeling approach based on active inference to the estimation of parameters related to effort and motivation from behavioral data collected during a Stroop task. While, at least to our knowledge, this is one of the few studies to date in which active inference with model inversion has been applied to recover parameter estimates from actual observed data – and in particular, with the use of a deep temporal model – it is important to recognize some limitations. First, due to the use of a two-level generative model and the collection of hundreds of trials per participant, the computational time required for model inversion is substantial, even when utilizing a high-performance computing system. Second, the model was tested only on healthy participants, thus its applicability to patient populations – an extension we consider both promising and relevant – will need to be separately assessed and may require modifications to the model to accurately reproduce behavior. Third, in our study, the psychological meaning of the c parameter could not be directly confirmed by specific first-person ratings targeting motivation (which we did not collect), nor was motivation independently manipulated in the experimental paradigm (e.g., via different amounts of monetary rewards), thus our interpretation will need to be verified by future studies. Fourth, the employed experimental setup did not include a condition with a ‘natural’ (i.e., uninstructed) level of applied effort, thus both the EXERT and the RELAX conditions may represent a deviation from the natural level of effort investment. Fifth, since we did not include text stimuli without semantic content (e.g., the string ‘XXXX’ in colored fonts), we were not able to assess whether the manipulation of intentional effort influenced response facilitation (better performance on congruent trials), interference (worse performance on incongruent trials), or both.\nIt is also important to note that, while we found evidence for an association between the voluntary deployment of cognitive effort, our model was applied only to a specific cognitive task. Although the Stroop paradigm has often been used to study cognitive effort, the latter can involve various control mechanisms in different tasks or contexts – e.g., suppression of prepotent responses, increased attentional allocation to targets, enhanced suppression of distractors, etc. (Ritz et al., 2022) – thus our findings may not be directly generalizable to all these different scenarios. In thinking about whether, and to what extent, the findings here generalize to other settings and tasks, it is interesting to think about the things for which we might hold preferences. For instance, consider if we had asked participants to specifically exert themselves to perform the task quickly. Here, we might expect to have to define preferences—and habits—over the timings of their responses. While such questions are vitally important in effort research, where speed–accuracy trade-offs are key measures of the deployment of effort, this appears to be a different sort of instruction. In principle, one could model this paradigm and might see a decrease in accuracy as the preference for faster responses increases (or as habitual biases favoring slower, more deliberative responses are suppressed). Furthermore, the choice of the model and its parameters was informed by the general scheme of the active inference framework, leading to the working definition of mental effort as the divergence between habitual actions and context-dependent policies. This is a rather abstract definition and does not get into the details (and, consequently, nor does the model) of how the high-level constructs of motivation and habit exert a causal influence on specific control mechanisms. Indeed, there is evidence for a complex role of cognitive control in the Stroop task through a variety of potential mechanisms (Bugg et al., 2008; Gonthier et al., 2016; Henik et al., 2018), but investigating this was beyond the scope of the present study. To some extent, our model is also agnostic about the mechanisms of deployment of voluntary effort. One could, in principle, propose a further higher level for the model at which decisions about modifications of either automatic response suppression or preference enhancement are made. In other words, these results do not preclude the narrative that “I have a preference for deploying more exertion because I have been asked to, and in doing so will enhance my preferences to suppress the automatic response”. While this is an interesting direction for future research, it would likely be impractical to efficiently fit models of this size to data to answer these questions.\nDespite the limitations mentioned above, we think that this work opens up significant opportunities for future research. As mentioned above, it can be potentially extended to clinical populations to investigate how conditions such as fatigue or psychological burnout are related to motivation and effortful engagement, which may have both important diagnostic and therapeutic implications. Furthermore, the computational framework developed in this study could be adapted to other neuropsychological tasks – e.g., the emotional Stroop (Martyr et al., 2011; Tondelli et al., 2022) – facilitating the development of normative models to support neurologists in their clinical practice.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.Supplementary file 1 (pdf 1179 KB)\nSupplementary file 1 (pdf 1179 KB)", "domain": "affective_neuroscience"}
{"source": "PMC13096383", "title": "Multiscale neural features of tonal bilingualism: linking regional differences in brain network degree centrality to neurotransmitter-gene signatures in Bai-Mandarin bilinguals", "text": "# Multiscale neural features of tonal bilingualism: linking regional differences in brain network degree centrality to neurotransmitter-gene signatures in Bai-Mandarin bilinguals\n\n## Abstract\nUnderstanding neural mechanisms of tonal language processing is crucial for revealing language-specific brain adaptations, particularly in tonal bilinguals. While hemispheric differences have been identified, network-level mechanisms and their underlying multiscale biological bases remain unclear. Using resting-state fMRI data from Bai-Mandarin bilinguals (BMB) and Mandarin monolinguals (MM), this study investigated brain network topology through degree centrality (DC) analysis, followed by neurotransmitter mapping and transcriptomic analyses. BMB exhibited significantly lower DC in the left middle frontal gyrus (MFG), left inferior parietal lobule (IPL), and left middle temporal gyrus (MTG), but higher DC in bilateral medial prefrontal cortex (mPFC). These differences predominantly manifested across higher-order cognitive networks, including the frontoparietal network (FPN), dorsal attention network (DAN), and default mode network (DMN). Neurotransmitter mapping explained 37% of the group-level variance in DC, with significant contributions from serotonin transporter (5-HTT), dopamine receptors (D1, D2), and γ-aminobutyric acid (GABA) systems. Transcriptomic analysis revealed 1,801 genes associated with DC differences (30.07% variance explained), enriched in protein localization, transport, and cellular morphogenesis, with differential expression evident in microglia, excitatory and inhibitory neurons. These findings reveal that tonal bilingualism shapes brain network architecture through coordinated multiscale mechanisms, providing novel insights into the neurobiological basis of tonal language processing. The online version contains supplementary material available at 10.1038/s41598-026-38523-6.\n\n## Full Text\n\n\n### Introduction\nLanguages across cultures exhibit a wide range of phonological systems, shaped by diverse communicative functions and historical trajectories1,2. A fundamental typological distinction exists between tonal languages, such as Mandarin and Cantonese, which use pitch variations to distinguish lexical meaning, and non-tonal languages, such as English and German, where pitch serves primarily intonational or pragmatic purposes rather than lexical differentiation3–5. An intriguing question concerns how the brain represents and manages tonal features, particularly in individuals exposed to multiple languages with differing pitch systems.\nFirst, compared to non-tonal language users, tonal language users (e.g., Mandarin Chinese) exhibit higher gray and white matter densities in the right anterior temporal lobe and left insula6. They also show specific activations in the bilateral temporo-parietal (particularly the middle temporal gyrus, MTG) and subcortical regions during pitch processing, revealing the neural adaptations of tonal language users for semantic processing3. Such comparisons often involve the combined effects of multiple linguistic dimensions, including differences in writing systems and phonological features7.\nMore specifically, within tonal language systems, studies on tonal bilinguals also reveal neural differences compared to Mandarin monolinguals (MM). For instance, in the domain of tonal language perception, Hakka-Mandarin bilinguals exhibit significantly shorter mismatch negativity (MMN) latencies under Mandarin syllable conditions, indicating a more efficient auditory processing mechanism8. Additionally, Cantonese-Mandarin bilinguals demonstrate greater gray matter volume in the posterior cerebellum and enhanced functional connectivity within networks associated with language control and phonological processing9,10. These findings reveal the impact of diverse tonal language experiences on brain structure and function.\nPrevious studies have extensively investigated the neural correlates of balanced bilingualism in non-tonal language contexts. For instance, simultaneous bilinguals of English–French show enhanced inter-hemispheric connectivity and greater whole-brain efficiency compared to monolinguals11. Similarly, Spanish–Catalan bilinguals demonstrate increased subcortical gray-matter volume within the language-control and speech-monitoring network (e.g., the putamen, caudate nucleus, and thalamus) in immersive bilingual environments12,13. These findings suggest that balanced use of two languages from birth shapes brain structure and function in characteristic ways. In contrast, the neural effects of balanced bilingualism in tonal language contexts remain less explored, despite the unique perceptual and cognitive demands involved in lexical tone processing. With respect to simultaneous bilingualism in tonal languages, the bilingualism of the Bai people is particularly noteworthy. Primarily located in Yunnan Province, southwest China, they attain high proficiency in Mandarin through the national education system while continuing to use Bai in daily life. Crucially, Bai-Mandarin simultaneous bilinguals receive equal exposure to both languages from birth, achieving balanced proficiency and usage frequency. This unique linguistic context effectively controls for variables such as the age of second language acquisition, providing valuable conditions for studying differences between tonal languages.\nBai and Mandarin Chinese both belong to the Sino-Tibetan language family and are tonal languages that share similarities while exhibiting distinct differences. Both languages involve complex pitch perception and tonal decoding during phonological processing. However, Bai’s tonal system is more intricate, comprising six to eight tones, compared to Mandarin’s four lexical tones14. Furthermore, Bai and Mandarin differ in syllable structure and lexical characteristics. Bai demonstrates greater complexity in syllable structure, featuring unique phonemes and combinations. For instance, the labiodental sound [v] can function as both an initial consonant and a final vowel, serving as an independent phoneme, whereas Mandarin follows more regular phonological patterns14. Lexically, Bai retains a larger inventory of core words associated with the Tibeto-Burman branch and significantly adapts the phonology of Mandarin loanwords, illustrating remarkable linguistic adaptability14,15. These shared yet distinct characteristics offer a distinctive experimental window for investigating the neurophysiological mechanisms of Bai-Mandarin bilinguals (BMB). Such research helps elucidate how speakers with different linguistic experiences of tonal languages generate differentiated neural representations based on similar linguistic foundations.\nPrevious study using resting-state functional magnetic resonance imaging (rs-fMRI) has shown that BMB exhibit significant right-hemisphere dominance compared to MM 16. Specifically, they demonstrate enhanced functional connectivity between the right inferior frontal gyrus (IFG) and other brain regions, along with a significant increase in gray matter volume in the triangular part of the right IFG. This structural and functional covariance suggests that the right IFG, as an integrative hub for tonal language processing, plays a crucial role in bilingual language control and the processing of acoustic features. These findings challenge the functional hypothesis (domain-specific model), which posits left-hemisphere dominance when pitch variation conveys semantic information5,17. However, tonal language processing involves multiple cognitive functions, including lexical tone perception and phonological processing, which rely on the involvement of multiple brain regions, such as the MTG and the inferior parietal lobule (IPL)18,19. Yet, it remains unclear how the interactions among these regions are dynamically recruited to support tonal language processing.\nPrevious research on tonal languages has revealed that they exhibit distinctive brain region activity influenced by linguistic experience and bilingual exposure, highlighting the complex interplay of tone perception at cultural, cognitive, and neural levels9,20. While these studies have provided valuable insights into the neurophysiological mechanisms of tonal language users, several research gaps remain. Rather than focusing on hemispheric lateralization debates, adopting a holistic perspective to investigate the connectivity of brain networks can provide more systematic insights into the mechanisms of tonal language processing10,17. More recently, individualized functional connectomics has enabled the identification of the language network even in resting-state and non-related task data21. To this end, we first applied degree centrality (DC) analysis to rs-fMRI data, a topological metric in network neuroscience that identifies hub regions critical for information integration in the brain22,23, to detect key regions that differentiate BMB and MM.\nIn the present study, we selected DC as the primary network metric and adopted a whole-brain, data-driven analytical framework. DC provides a voxel-wise, threshold-free index of the overall connectedness of each region, offering a robust characterization of global functional integration without relying on predefined seeds or regions of interest (ROIs). Compared with higher-order graph metrics that require thresholding and are sensitive to sparsity selection, DC demonstrates superior test–retest reliability and cross-sample stability, making it suitable for detecting experience-related variations in large-scale network organization22–24. At the same time, a whole-brain exploratory approach was deemed necessary because existing findings regarding regions involved in bilingual experience or tone processing remain heterogeneous and insufficient to define a single a priori ROI. Given that bilingual experience likely influences distributed large-scale networks rather than isolated regions, restricting analyses to a small ROI set could overlook broader system-level modulation. The adoption of voxel-wise DC thus enables an unbiased assessment of potential network-level alterations, aligning methodologically with the exploratory scope of the present study25–27.\nFurthermore, beyond adaptive adjustments at the brain level, language is intricately linked to genetics28, with dialectal distinctions influencing genetic population structures29. Neurogenetic studies have identified dopamine-related genes (e.g., DRD1, DRD2) and the ASPM gene as being associated with grammar learning and lexical tone perception30,31. Nonetheless, the precise mechanisms through which neurotransmitter systems and genetic factors contribute to tonal language processing remain poorly understood. By integrating network topological metrics from DC with analyses of neurotransmitter distribution and gene expression patterns, researchers can better understand how structural and functional differences in the brain emerge across multiple biological scales. This cross-scale research approach, combining genetics, neurochemistry, brain imaging, and network analysis, can provide systematic perspectives into between-group differences in tonal language.\nTherefore, building on network topological differences identified through DC analysis, we further examined how neurotransmitter systems and gene expression patterns interact to shape these functional differences. Specifically, we investigated (1) the neurochemical basis of DC differences through neurotransmitter receptor density analysis and (2) the gene expression patterns associated with DC differences through transcriptome-wide association analysis, with particular attention to functional enrichment of implicated genes.\n\n\n### Neural signatures of tonal languages\nLanguages across cultures exhibit a wide range of phonological systems, shaped by diverse communicative functions and historical trajectories1,2. A fundamental typological distinction exists between tonal languages, such as Mandarin and Cantonese, which use pitch variations to distinguish lexical meaning, and non-tonal languages, such as English and German, where pitch serves primarily intonational or pragmatic purposes rather than lexical differentiation3–5. An intriguing question concerns how the brain represents and manages tonal features, particularly in individuals exposed to multiple languages with differing pitch systems.\nFirst, compared to non-tonal language users, tonal language users (e.g., Mandarin Chinese) exhibit higher gray and white matter densities in the right anterior temporal lobe and left insula6. They also show specific activations in the bilateral temporo-parietal (particularly the middle temporal gyrus, MTG) and subcortical regions during pitch processing, revealing the neural adaptations of tonal language users for semantic processing3. Such comparisons often involve the combined effects of multiple linguistic dimensions, including differences in writing systems and phonological features7.\nMore specifically, within tonal language systems, studies on tonal bilinguals also reveal neural differences compared to Mandarin monolinguals (MM). For instance, in the domain of tonal language perception, Hakka-Mandarin bilinguals exhibit significantly shorter mismatch negativity (MMN) latencies under Mandarin syllable conditions, indicating a more efficient auditory processing mechanism8. Additionally, Cantonese-Mandarin bilinguals demonstrate greater gray matter volume in the posterior cerebellum and enhanced functional connectivity within networks associated with language control and phonological processing9,10. These findings reveal the impact of diverse tonal language experiences on brain structure and function.\n\n\n### Bai-Mandarin bilingualism as a research model\nPrevious studies have extensively investigated the neural correlates of balanced bilingualism in non-tonal language contexts. For instance, simultaneous bilinguals of English–French show enhanced inter-hemispheric connectivity and greater whole-brain efficiency compared to monolinguals11. Similarly, Spanish–Catalan bilinguals demonstrate increased subcortical gray-matter volume within the language-control and speech-monitoring network (e.g., the putamen, caudate nucleus, and thalamus) in immersive bilingual environments12,13. These findings suggest that balanced use of two languages from birth shapes brain structure and function in characteristic ways. In contrast, the neural effects of balanced bilingualism in tonal language contexts remain less explored, despite the unique perceptual and cognitive demands involved in lexical tone processing. With respect to simultaneous bilingualism in tonal languages, the bilingualism of the Bai people is particularly noteworthy. Primarily located in Yunnan Province, southwest China, they attain high proficiency in Mandarin through the national education system while continuing to use Bai in daily life. Crucially, Bai-Mandarin simultaneous bilinguals receive equal exposure to both languages from birth, achieving balanced proficiency and usage frequency. This unique linguistic context effectively controls for variables such as the age of second language acquisition, providing valuable conditions for studying differences between tonal languages.\nBai and Mandarin Chinese both belong to the Sino-Tibetan language family and are tonal languages that share similarities while exhibiting distinct differences. Both languages involve complex pitch perception and tonal decoding during phonological processing. However, Bai’s tonal system is more intricate, comprising six to eight tones, compared to Mandarin’s four lexical tones14. Furthermore, Bai and Mandarin differ in syllable structure and lexical characteristics. Bai demonstrates greater complexity in syllable structure, featuring unique phonemes and combinations. For instance, the labiodental sound [v] can function as both an initial consonant and a final vowel, serving as an independent phoneme, whereas Mandarin follows more regular phonological patterns14. Lexically, Bai retains a larger inventory of core words associated with the Tibeto-Burman branch and significantly adapts the phonology of Mandarin loanwords, illustrating remarkable linguistic adaptability14,15. These shared yet distinct characteristics offer a distinctive experimental window for investigating the neurophysiological mechanisms of Bai-Mandarin bilinguals (BMB). Such research helps elucidate how speakers with different linguistic experiences of tonal languages generate differentiated neural representations based on similar linguistic foundations.\nPrevious study using resting-state functional magnetic resonance imaging (rs-fMRI) has shown that BMB exhibit significant right-hemisphere dominance compared to MM 16. Specifically, they demonstrate enhanced functional connectivity between the right inferior frontal gyrus (IFG) and other brain regions, along with a significant increase in gray matter volume in the triangular part of the right IFG. This structural and functional covariance suggests that the right IFG, as an integrative hub for tonal language processing, plays a crucial role in bilingual language control and the processing of acoustic features. These findings challenge the functional hypothesis (domain-specific model), which posits left-hemisphere dominance when pitch variation conveys semantic information5,17. However, tonal language processing involves multiple cognitive functions, including lexical tone perception and phonological processing, which rely on the involvement of multiple brain regions, such as the MTG and the inferior parietal lobule (IPL)18,19. Yet, it remains unclear how the interactions among these regions are dynamically recruited to support tonal language processing.\n\n\n### Current knowledge gaps and the present study\nPrevious research on tonal languages has revealed that they exhibit distinctive brain region activity influenced by linguistic experience and bilingual exposure, highlighting the complex interplay of tone perception at cultural, cognitive, and neural levels9,20. While these studies have provided valuable insights into the neurophysiological mechanisms of tonal language users, several research gaps remain. Rather than focusing on hemispheric lateralization debates, adopting a holistic perspective to investigate the connectivity of brain networks can provide more systematic insights into the mechanisms of tonal language processing10,17. More recently, individualized functional connectomics has enabled the identification of the language network even in resting-state and non-related task data21. To this end, we first applied degree centrality (DC) analysis to rs-fMRI data, a topological metric in network neuroscience that identifies hub regions critical for information integration in the brain22,23, to detect key regions that differentiate BMB and MM.\nIn the present study, we selected DC as the primary network metric and adopted a whole-brain, data-driven analytical framework. DC provides a voxel-wise, threshold-free index of the overall connectedness of each region, offering a robust characterization of global functional integration without relying on predefined seeds or regions of interest (ROIs). Compared with higher-order graph metrics that require thresholding and are sensitive to sparsity selection, DC demonstrates superior test–retest reliability and cross-sample stability, making it suitable for detecting experience-related variations in large-scale network organization22–24. At the same time, a whole-brain exploratory approach was deemed necessary because existing findings regarding regions involved in bilingual experience or tone processing remain heterogeneous and insufficient to define a single a priori ROI. Given that bilingual experience likely influences distributed large-scale networks rather than isolated regions, restricting analyses to a small ROI set could overlook broader system-level modulation. The adoption of voxel-wise DC thus enables an unbiased assessment of potential network-level alterations, aligning methodologically with the exploratory scope of the present study25–27.\nFurthermore, beyond adaptive adjustments at the brain level, language is intricately linked to genetics28, with dialectal distinctions influencing genetic population structures29. Neurogenetic studies have identified dopamine-related genes (e.g., DRD1, DRD2) and the ASPM gene as being associated with grammar learning and lexical tone perception30,31. Nonetheless, the precise mechanisms through which neurotransmitter systems and genetic factors contribute to tonal language processing remain poorly understood. By integrating network topological metrics from DC with analyses of neurotransmitter distribution and gene expression patterns, researchers can better understand how structural and functional differences in the brain emerge across multiple biological scales. This cross-scale research approach, combining genetics, neurochemistry, brain imaging, and network analysis, can provide systematic perspectives into between-group differences in tonal language.\nTherefore, building on network topological differences identified through DC analysis, we further examined how neurotransmitter systems and gene expression patterns interact to shape these functional differences. Specifically, we investigated (1) the neurochemical basis of DC differences through neurotransmitter receptor density analysis and (2) the gene expression patterns associated with DC differences through transcriptome-wide association analysis, with particular attention to functional enrichment of implicated genes.\n\n\n### Results\nTo investigate the differences in brain network topology between BMB and MM groups, DC was calculated at the voxel level for each participant. No significant between-group differences were observed for demographic variables. There were no significant group differences in sex distribution (χ² = 0.64, P = 0.42) or age (two-sample t-test: t = − 0.77, P = 0.44). A two-sample t-test was performed to compare DC values between the two groups, controlling for age and sex (see Figure S1 in the appendix). The results revealed that BMB exhibited significantly lower DC in brain regions including the left middle frontal gyrus (MFG), left IPL, and left MTG, whereas they showed significantly higher DC in the bilateral medial prefrontal cortex (mPFC) (AlphaSim correction, P < 0.005; Fig. 1A). These regions with significant group differences were subsequently mapped onto seven resting-state networks. The affected regions were mainly distributed across higher-order cognitive networks (Fig. 1B), including the frontoparietal network (FPN), dorsal attention network (DAN), and default mode network (DMN).\nFig. 1Regional DC differences, network distribution, and functional associations between BMB and MM groups. (A) Statistical maps showing DC differences between BMB and MM groups, thresholded at q < 0.005. Positive values indicate regions where DC is higher in BMB than MM, whereas negative values indicate regions where DC is lower in BMB than in MM. Notably, significant differences were observed in regions including the mPFC, MFG, IPL, and MTG. (B) Distribution of the differential regions across the seven canonical functional brain networks, highlighting that the frontoparietal network (FPN) and default mode network (DMN) contained the largest proportions of altered regions. (C) Functional decoding analysis of the regions showing significant DC differences suggests that alterations in the mPFC and other cortical areas are predominantly associated with social cognition and emotional processing.\nRegional DC differences, network distribution, and functional associations between BMB and MM groups. (A) Statistical maps showing DC differences between BMB and MM groups, thresholded at q < 0.005. Positive values indicate regions where DC is higher in BMB than MM, whereas negative values indicate regions where DC is lower in BMB than in MM. Notably, significant differences were observed in regions including the mPFC, MFG, IPL, and MTG. (B) Distribution of the differential regions across the seven canonical functional brain networks, highlighting that the frontoparietal network (FPN) and default mode network (DMN) contained the largest proportions of altered regions. (C) Functional decoding analysis of the regions showing significant DC differences suggests that alterations in the mPFC and other cortical areas are predominantly associated with social cognition and emotional processing.\nTo further characterize the functional attributes of these DC-difference regions, a function-based decoding approach was employed. Functional annotations were performed for the significantly different regions, including the mPFC, MFG, IPL, and MTG. The decoding results revealed that these regions were broadly involved in multiple cognitive domains (Fig. 1C). Specifically, the mPFC was closely related to social cognition, autobiographical memory, and emotional processing; the MFG was associated with working memory, cognitive control, and language processing, highlighting its critical role in executive control and high-level cognitive regulation; the IPL was implicated in working memory and numerical cognition; and the MTG was particularly sensitive to language, declarative memory and visual semantics.\nTo further decode the neurochemical basis underlying the observed neuroimaging differences between BMB and MM groups, a multiple linear regression model was employed to assess the contribution of major neurotransmitter systems to group differences in DC (Fig. 2A). The model explained 37% of the group-level variance in DC (Pspin = 0.020, adjusted R² = 0.37; Fig. 2A), indicating that spatial patterns of neurotransmitter distribution significantly contributed to the brain network differences between the two groups.\nFig. 2Neurochemical correlates of DC differences between BMB and MM groups. (A) Multiple linear regression was used to predict DC differences between BMB and MM groups based on 19 neurotransmitter systems. The scatter plot shows the relationship between predicted and observed DC differences, indicating good model performance. The intensity of blue reflects the density of points. Darker shades indicate regions with a higher concentration of points, while lighter shades indicate sparser point distribution. The color bar indicates the number of observations per bin. A null model preserving spatial autocorrelation was employed to validate the robustness of the predictions. Brain maps illustrating group-level DC differences across the cortex. Voxel-wise t-values derived from the group comparison were averaged within each region of the 100-region Schaefer parcellation. The color scale represents the resulting regional mean t-values, with vmin and vmax indicating the lower and upper bounds of the displayed t-value range, respectively. (B) Contributions of individual neurotransmitters to the regression model. Darker colors indicate neurotransmitters whose contributions were statistically significant after 10,000 bootstrap iterations.\nNeurochemical correlates of DC differences between BMB and MM groups. (A) Multiple linear regression was used to predict DC differences between BMB and MM groups based on 19 neurotransmitter systems. The scatter plot shows the relationship between predicted and observed DC differences, indicating good model performance. The intensity of blue reflects the density of points. Darker shades indicate regions with a higher concentration of points, while lighter shades indicate sparser point distribution. The color bar indicates the number of observations per bin. A null model preserving spatial autocorrelation was employed to validate the robustness of the predictions. Brain maps illustrating group-level DC differences across the cortex. Voxel-wise t-values derived from the group comparison were averaged within each region of the 100-region Schaefer parcellation. The color scale represents the resulting regional mean t-values, with vmin and vmax indicating the lower and upper bounds of the displayed t-value range, respectively. (B) Contributions of individual neurotransmitters to the regression model. Darker colors indicate neurotransmitters whose contributions were statistically significant after 10,000 bootstrap iterations.\nFurther analysis identified several neurotransmitter receptors or transporters as significant contributors to the model (Fig. 2B). Specifically, the serotonin transporter (5-HTT, z = 3.37, PFDR < 0.001), dopamine D1 receptor (D1, z = 3.25, PFDR < 0.001), dopamine D2 receptor (D2, z = 3.02, PFDR = 0.003), M1 muscarinic acetylcholine receptor (M1, z = − 3.05, PFDR = 0.002), µ-opioid receptor (MOR, z = − 3.36, PFDR < 0.001), γ-aminobutyric acid (GABA, z = − 3.86, PFDR < 0.001), and dopamine transporter (DAT, z = − 4.04, PFDR < 0.001) all showed significant explanatory power for the observed group differences in DC.\nTo explore the molecular basis underlying functional brain differences between BMB and MM groups, we conducted a transcriptomic-level association analysis to identify gene expression patterns related to differences in DC between the two groups. The first PLS component (PLS1) explained 30.07% of the variance in DC differences. The spatial distribution of PLS1 scores across brain regions showed a significant positive correlation with the t-statistic map of DC differences (r = 0.55, Pspin < 0.001; Fig. 3A). This positive association indicates that regions exhibiting larger DC differences between the two groups also show higher PLS1 scores, suggesting that the multivariate gene-expression pattern captured by PLS1 is spatially aligned with the functional topology alterations. In other words, genes with stronger PLS1 weights tend to be more influential in regions where DC differences are more pronounced, highlighting a coordinated gene–phenotype coupling across the cortex.\nFig. 3Transcriptomic basis of DC differences between BMB and MM groups: Gene expression patterns, functional enrichment, and cell-type contributions. PLS regression (PLSR) was applied to whole-brain expression data of 15,633 genes and the t-statistics map of DC differences between groups. (A) The first PLS component (PLS1) explained 30.07% of the variance in DC differences, and its spatial distribution was significantly positively correlated with the t-statistics map (r = 0.55, Pspin < 0.001), indicating that regions with larger DC alterations exhibit higher PLS1 scores. The color bar indicates the number of observations per bin. (B) Gene enrichment analysis of genes with significant contributions to PLS1 was performed with FDR correction (q < 0.05), highlighting overrepresented biological functions. (C) The mean expression levels of significant genes across regions were negatively correlated with DC differences (r = − 0.37, Pspin < 0.010), suggesting that absolute expression levels do not directly parallel the spatial pattern of DC alterations. (D) Regional mean expression of significant genes was examined across the seven canonical functional brain networks, showing higher expression in the frontoparietal network (FPN) and lower expression in the limbic network (LIM). (E) Cell-type enrichment analysis revealed specific contributions of astrocytes, excitatory and inhibitory neurons, oligodendrocytes, microglia, and endothelial cells to the observed transcriptomic–DC associations. Astro: Astrocytes; Endo: Endothelial cells; Micro: Microglia; Neuro-Ex: Excitatory neurons; Neuro-In: Inhibitory neurons; OPC: Oligodendrocyte precursor cells; Oligo: Oligodendrocytes. Note. All transcriptomic analyses were conducted in the left hemisphere. * P < 0.05, ** P < 0.01, *** P < 0.001. Data Availability . The dataset used in the current study is available from the corresponding author on reasonable request.\nTranscriptomic basis of DC differences between BMB and MM groups: Gene expression patterns, functional enrichment, and cell-type contributions. PLS regression (PLSR) was applied to whole-brain expression data of 15,633 genes and the t-statistics map of DC differences between groups. (A) The first PLS component (PLS1) explained 30.07% of the variance in DC differences, and its spatial distribution was significantly positively correlated with the t-statistics map (r = 0.55, Pspin < 0.001), indicating that regions with larger DC alterations exhibit higher PLS1 scores. The color bar indicates the number of observations per bin. (B) Gene enrichment analysis of genes with significant contributions to PLS1 was performed with FDR correction (q < 0.05), highlighting overrepresented biological functions. (C) The mean expression levels of significant genes across regions were negatively correlated with DC differences (r = − 0.37, Pspin < 0.010), suggesting that absolute expression levels do not directly parallel the spatial pattern of DC alterations. (D) Regional mean expression of significant genes was examined across the seven canonical functional brain networks, showing higher expression in the frontoparietal network (FPN) and lower expression in the limbic network (LIM). (E) Cell-type enrichment analysis revealed specific contributions of astrocytes, excitatory and inhibitory neurons, oligodendrocytes, microglia, and endothelial cells to the observed transcriptomic–DC associations. Astro: Astrocytes; Endo: Endothelial cells; Micro: Microglia; Neuro-Ex: Excitatory neurons; Neuro-In: Inhibitory neurons; OPC: Oligodendrocyte precursor cells; Oligo: Oligodendrocytes. Note. All transcriptomic analyses were conducted in the left hemisphere. * P < 0.05, ** P < 0.01, *** P < 0.001.\nData Availability .\nThe dataset used in the current study is available from the corresponding author on reasonable request.\nAfter applying FDR correction to the normalized weights of PLS1, we identified 744 positively weighted genes (PLS1 + gene set) and 1,057 negatively weighted genes (PLS1 − gene set) with statistical significance (PFDR < 0.05). Functional enrichment analysis showed that the top 20 significantly enriched terms were primarily associated with protein localization and transport, including activities such as the targeting of proteins to organelles or membranes, intracellular protein transport, and import into cells (Fig. 3B). In addition, they were involved in various aspects of cellular morphogenesis, particularly in the formation and regulation of plasma membrane-bounded cell projections. These biological processes also encompassed key aspects of neural development and neurite formation, such as brain and head development, neuron projection morphogenesis, and morphogenetic processes involved in neuronal differentiation. Furthermore, the genes were implicated in the organization and modulation of membrane structures, as well as in cellular responses to hormonal stimuli and post-translational modifications, indicating a complex molecular interplay underlying the structural and functional architecture of the brain.\nWe further visualized the whole-brain average expression pattern of genes associated with DC differences and found a significant negative correlation with the t-map of DC differences (r = − 0.37, Pspin = 0.010; Fig. 3C). This negative association indicates that, although these genes contribute to the multivariate expression pattern captured by PLS1, their absolute mean expression levels tend to be higher in regions showing smaller DC alterations. Conversely, this also suggests that genes with stronger PLS1 weights may possibly be influential in regions exhibiting more pronounced DC differences through relative under-expression in those regions. Regional expression characteristics showed higher expression levels in the FPN and lower levels in the limbic network (LIM), suggesting their potential roles in regulating local functional network topology (Fig. 3D).\nConsidering that differences in genetic background, lifestyle, and environmental exposure between BMB and MM groups may influence brain microstructure, we incorporated the cortical single-nucleus transcriptomic sequencing data (SNDROP-seq) published by Seidlitz et al. 32 to identify cell-type-specific gene categories differentially expressed across eight transcriptionally defined cell types, including synapse-related genes, excitatory neurons (N-EX), inhibitory neurons (N-IN), astrocytes, microglia, endothelial cells, oligodendrocytes, and oligodendrocyte precursor cells (OPCs). Subsequent cell-type enrichment analysis revealed that gene sets related to microglia, N-EX, N-IN, oligodendrocytes, and synapses were significantly enriched among genes associated with imaging phenotype differences, further supporting their critical roles in the group-level functional brain organization (Fig. 3E).\n\n\n### Comparison of brain network topological features between BMB and MM\nTo investigate the differences in brain network topology between BMB and MM groups, DC was calculated at the voxel level for each participant. No significant between-group differences were observed for demographic variables. There were no significant group differences in sex distribution (χ² = 0.64, P = 0.42) or age (two-sample t-test: t = − 0.77, P = 0.44). A two-sample t-test was performed to compare DC values between the two groups, controlling for age and sex (see Figure S1 in the appendix). The results revealed that BMB exhibited significantly lower DC in brain regions including the left middle frontal gyrus (MFG), left IPL, and left MTG, whereas they showed significantly higher DC in the bilateral medial prefrontal cortex (mPFC) (AlphaSim correction, P < 0.005; Fig. 1A). These regions with significant group differences were subsequently mapped onto seven resting-state networks. The affected regions were mainly distributed across higher-order cognitive networks (Fig. 1B), including the frontoparietal network (FPN), dorsal attention network (DAN), and default mode network (DMN).\nFig. 1Regional DC differences, network distribution, and functional associations between BMB and MM groups. (A) Statistical maps showing DC differences between BMB and MM groups, thresholded at q < 0.005. Positive values indicate regions where DC is higher in BMB than MM, whereas negative values indicate regions where DC is lower in BMB than in MM. Notably, significant differences were observed in regions including the mPFC, MFG, IPL, and MTG. (B) Distribution of the differential regions across the seven canonical functional brain networks, highlighting that the frontoparietal network (FPN) and default mode network (DMN) contained the largest proportions of altered regions. (C) Functional decoding analysis of the regions showing significant DC differences suggests that alterations in the mPFC and other cortical areas are predominantly associated with social cognition and emotional processing.\nRegional DC differences, network distribution, and functional associations between BMB and MM groups. (A) Statistical maps showing DC differences between BMB and MM groups, thresholded at q < 0.005. Positive values indicate regions where DC is higher in BMB than MM, whereas negative values indicate regions where DC is lower in BMB than in MM. Notably, significant differences were observed in regions including the mPFC, MFG, IPL, and MTG. (B) Distribution of the differential regions across the seven canonical functional brain networks, highlighting that the frontoparietal network (FPN) and default mode network (DMN) contained the largest proportions of altered regions. (C) Functional decoding analysis of the regions showing significant DC differences suggests that alterations in the mPFC and other cortical areas are predominantly associated with social cognition and emotional processing.\nTo further characterize the functional attributes of these DC-difference regions, a function-based decoding approach was employed. Functional annotations were performed for the significantly different regions, including the mPFC, MFG, IPL, and MTG. The decoding results revealed that these regions were broadly involved in multiple cognitive domains (Fig. 1C). Specifically, the mPFC was closely related to social cognition, autobiographical memory, and emotional processing; the MFG was associated with working memory, cognitive control, and language processing, highlighting its critical role in executive control and high-level cognitive regulation; the IPL was implicated in working memory and numerical cognition; and the MTG was particularly sensitive to language, declarative memory and visual semantics.\n\n\n### Neurotransmitter correlates of group differences in brain function\nTo further decode the neurochemical basis underlying the observed neuroimaging differences between BMB and MM groups, a multiple linear regression model was employed to assess the contribution of major neurotransmitter systems to group differences in DC (Fig. 2A). The model explained 37% of the group-level variance in DC (Pspin = 0.020, adjusted R² = 0.37; Fig. 2A), indicating that spatial patterns of neurotransmitter distribution significantly contributed to the brain network differences between the two groups.\nFig. 2Neurochemical correlates of DC differences between BMB and MM groups. (A) Multiple linear regression was used to predict DC differences between BMB and MM groups based on 19 neurotransmitter systems. The scatter plot shows the relationship between predicted and observed DC differences, indicating good model performance. The intensity of blue reflects the density of points. Darker shades indicate regions with a higher concentration of points, while lighter shades indicate sparser point distribution. The color bar indicates the number of observations per bin. A null model preserving spatial autocorrelation was employed to validate the robustness of the predictions. Brain maps illustrating group-level DC differences across the cortex. Voxel-wise t-values derived from the group comparison were averaged within each region of the 100-region Schaefer parcellation. The color scale represents the resulting regional mean t-values, with vmin and vmax indicating the lower and upper bounds of the displayed t-value range, respectively. (B) Contributions of individual neurotransmitters to the regression model. Darker colors indicate neurotransmitters whose contributions were statistically significant after 10,000 bootstrap iterations.\nNeurochemical correlates of DC differences between BMB and MM groups. (A) Multiple linear regression was used to predict DC differences between BMB and MM groups based on 19 neurotransmitter systems. The scatter plot shows the relationship between predicted and observed DC differences, indicating good model performance. The intensity of blue reflects the density of points. Darker shades indicate regions with a higher concentration of points, while lighter shades indicate sparser point distribution. The color bar indicates the number of observations per bin. A null model preserving spatial autocorrelation was employed to validate the robustness of the predictions. Brain maps illustrating group-level DC differences across the cortex. Voxel-wise t-values derived from the group comparison were averaged within each region of the 100-region Schaefer parcellation. The color scale represents the resulting regional mean t-values, with vmin and vmax indicating the lower and upper bounds of the displayed t-value range, respectively. (B) Contributions of individual neurotransmitters to the regression model. Darker colors indicate neurotransmitters whose contributions were statistically significant after 10,000 bootstrap iterations.\nFurther analysis identified several neurotransmitter receptors or transporters as significant contributors to the model (Fig. 2B). Specifically, the serotonin transporter (5-HTT, z = 3.37, PFDR < 0.001), dopamine D1 receptor (D1, z = 3.25, PFDR < 0.001), dopamine D2 receptor (D2, z = 3.02, PFDR = 0.003), M1 muscarinic acetylcholine receptor (M1, z = − 3.05, PFDR = 0.002), µ-opioid receptor (MOR, z = − 3.36, PFDR < 0.001), γ-aminobutyric acid (GABA, z = − 3.86, PFDR < 0.001), and dopamine transporter (DAT, z = − 4.04, PFDR < 0.001) all showed significant explanatory power for the observed group differences in DC.\n\n\n### Transcriptomic association analysis of functional brain differences between BMB and MM\nTo explore the molecular basis underlying functional brain differences between BMB and MM groups, we conducted a transcriptomic-level association analysis to identify gene expression patterns related to differences in DC between the two groups. The first PLS component (PLS1) explained 30.07% of the variance in DC differences. The spatial distribution of PLS1 scores across brain regions showed a significant positive correlation with the t-statistic map of DC differences (r = 0.55, Pspin < 0.001; Fig. 3A). This positive association indicates that regions exhibiting larger DC differences between the two groups also show higher PLS1 scores, suggesting that the multivariate gene-expression pattern captured by PLS1 is spatially aligned with the functional topology alterations. In other words, genes with stronger PLS1 weights tend to be more influential in regions where DC differences are more pronounced, highlighting a coordinated gene–phenotype coupling across the cortex.\nFig. 3Transcriptomic basis of DC differences between BMB and MM groups: Gene expression patterns, functional enrichment, and cell-type contributions. PLS regression (PLSR) was applied to whole-brain expression data of 15,633 genes and the t-statistics map of DC differences between groups. (A) The first PLS component (PLS1) explained 30.07% of the variance in DC differences, and its spatial distribution was significantly positively correlated with the t-statistics map (r = 0.55, Pspin < 0.001), indicating that regions with larger DC alterations exhibit higher PLS1 scores. The color bar indicates the number of observations per bin. (B) Gene enrichment analysis of genes with significant contributions to PLS1 was performed with FDR correction (q < 0.05), highlighting overrepresented biological functions. (C) The mean expression levels of significant genes across regions were negatively correlated with DC differences (r = − 0.37, Pspin < 0.010), suggesting that absolute expression levels do not directly parallel the spatial pattern of DC alterations. (D) Regional mean expression of significant genes was examined across the seven canonical functional brain networks, showing higher expression in the frontoparietal network (FPN) and lower expression in the limbic network (LIM). (E) Cell-type enrichment analysis revealed specific contributions of astrocytes, excitatory and inhibitory neurons, oligodendrocytes, microglia, and endothelial cells to the observed transcriptomic–DC associations. Astro: Astrocytes; Endo: Endothelial cells; Micro: Microglia; Neuro-Ex: Excitatory neurons; Neuro-In: Inhibitory neurons; OPC: Oligodendrocyte precursor cells; Oligo: Oligodendrocytes. Note. All transcriptomic analyses were conducted in the left hemisphere. * P < 0.05, ** P < 0.01, *** P < 0.001. Data Availability . The dataset used in the current study is available from the corresponding author on reasonable request.\nTranscriptomic basis of DC differences between BMB and MM groups: Gene expression patterns, functional enrichment, and cell-type contributions. PLS regression (PLSR) was applied to whole-brain expression data of 15,633 genes and the t-statistics map of DC differences between groups. (A) The first PLS component (PLS1) explained 30.07% of the variance in DC differences, and its spatial distribution was significantly positively correlated with the t-statistics map (r = 0.55, Pspin < 0.001), indicating that regions with larger DC alterations exhibit higher PLS1 scores. The color bar indicates the number of observations per bin. (B) Gene enrichment analysis of genes with significant contributions to PLS1 was performed with FDR correction (q < 0.05), highlighting overrepresented biological functions. (C) The mean expression levels of significant genes across regions were negatively correlated with DC differences (r = − 0.37, Pspin < 0.010), suggesting that absolute expression levels do not directly parallel the spatial pattern of DC alterations. (D) Regional mean expression of significant genes was examined across the seven canonical functional brain networks, showing higher expression in the frontoparietal network (FPN) and lower expression in the limbic network (LIM). (E) Cell-type enrichment analysis revealed specific contributions of astrocytes, excitatory and inhibitory neurons, oligodendrocytes, microglia, and endothelial cells to the observed transcriptomic–DC associations. Astro: Astrocytes; Endo: Endothelial cells; Micro: Microglia; Neuro-Ex: Excitatory neurons; Neuro-In: Inhibitory neurons; OPC: Oligodendrocyte precursor cells; Oligo: Oligodendrocytes. Note. All transcriptomic analyses were conducted in the left hemisphere. * P < 0.05, ** P < 0.01, *** P < 0.001.\nData Availability .\nThe dataset used in the current study is available from the corresponding author on reasonable request.\nAfter applying FDR correction to the normalized weights of PLS1, we identified 744 positively weighted genes (PLS1 + gene set) and 1,057 negatively weighted genes (PLS1 − gene set) with statistical significance (PFDR < 0.05). Functional enrichment analysis showed that the top 20 significantly enriched terms were primarily associated with protein localization and transport, including activities such as the targeting of proteins to organelles or membranes, intracellular protein transport, and import into cells (Fig. 3B). In addition, they were involved in various aspects of cellular morphogenesis, particularly in the formation and regulation of plasma membrane-bounded cell projections. These biological processes also encompassed key aspects of neural development and neurite formation, such as brain and head development, neuron projection morphogenesis, and morphogenetic processes involved in neuronal differentiation. Furthermore, the genes were implicated in the organization and modulation of membrane structures, as well as in cellular responses to hormonal stimuli and post-translational modifications, indicating a complex molecular interplay underlying the structural and functional architecture of the brain.\nWe further visualized the whole-brain average expression pattern of genes associated with DC differences and found a significant negative correlation with the t-map of DC differences (r = − 0.37, Pspin = 0.010; Fig. 3C). This negative association indicates that, although these genes contribute to the multivariate expression pattern captured by PLS1, their absolute mean expression levels tend to be higher in regions showing smaller DC alterations. Conversely, this also suggests that genes with stronger PLS1 weights may possibly be influential in regions exhibiting more pronounced DC differences through relative under-expression in those regions. Regional expression characteristics showed higher expression levels in the FPN and lower levels in the limbic network (LIM), suggesting their potential roles in regulating local functional network topology (Fig. 3D).\nConsidering that differences in genetic background, lifestyle, and environmental exposure between BMB and MM groups may influence brain microstructure, we incorporated the cortical single-nucleus transcriptomic sequencing data (SNDROP-seq) published by Seidlitz et al. 32 to identify cell-type-specific gene categories differentially expressed across eight transcriptionally defined cell types, including synapse-related genes, excitatory neurons (N-EX), inhibitory neurons (N-IN), astrocytes, microglia, endothelial cells, oligodendrocytes, and oligodendrocyte precursor cells (OPCs). Subsequent cell-type enrichment analysis revealed that gene sets related to microglia, N-EX, N-IN, oligodendrocytes, and synapses were significantly enriched among genes associated with imaging phenotype differences, further supporting their critical roles in the group-level functional brain organization (Fig. 3E).\n\n\n### Discussion\nOur investigation examined differences in brain network topology between BMB and MM, and their associations with neurochemical and genetic profiles. At the network level, BMB exhibited lower DC in the left MFG, IPL, and MTG, but higher DC in the bilateral mPFC, compared with MM, with differences primarily distributed across higher-order cognitive networks, including FPN, DAN, and DMN. Neurochemical analyses demonstrated that multiple neurotransmitter systems collectively explained 37% of the group-level variance in DC, with significant contributions from serotonin, dopamine, acetylcholine, GABA, and opioid systems. Transcriptomic analysis identified 1,801 genes (744 positively weighted and 1,057 negatively weighted) that were significantly associated with DC differences and enriched for processes related to protein localization, cellular morphogenesis, and neural development. Cell-type enrichment analysis revealed significant involvement of microglia, excitatory and inhibitory neurons, oligodendrocytes, and synapse-related genes. The multilevel examination provides new insights into the neurobiological basis of bilinguals in tonal languages.\nIn BMB compared to MM, the observed lower DC in multiple key language nodes, including the left MFG, IPL, and MTG, as well as the higher DC in the bilateral mPFC, is thought to reflect adaptive changes associated with tonal bilingual experience. Previous research on BMB emphasized right hemispheric specialization, particularly the integrative role of right IFG in tonal language processing16. Our DC analysis extends previous findings from the perspective of a more distributed bilateral pattern. This difference is likely due to our focus on whole-brain network topology rather than specific regional connectivity, suggesting that tonal bilingualism involves both localized hemispheric specialization and broader network-level integration17.\nSpecifically, the left IPL and MTG may reflect specialized patterns for processing multiple tonal systems. The IPL plays a key role in L2 learning success33 and is anatomically connected to language areas via the superior longitudinal fasciculus34. The MTG, which is involved in categorical phonemic tone processing and likely stores lexical tone knowledge while serving as a lexical interface between phonetic and semantic representations35–37, may reflect specialized neural tuning for processing multiple tonal inventories. In addition, the role of the left MFG in addressing phonology has been widely evidenced in Chinese reading38. The reduced DC observed in the frontal cortex of BMB compared to MM may reflect enhanced neural efficiency39,40, suggesting that bilingual speakers require less reliance on top-down mechanisms compared to monolinguals41. Thus, the reduced centrality in these regions may indicate the pruning of less efficient connections, resulting in a more simplified and efficient network architecture42.\nIn contrast, we observed higher DC in bilateral mPFC in BMB compared to MM, possibly reflecting neural plasticity shaped by both cultural and linguistic factors. The activation of the mPFC is influenced by cultural or linguistic factors during theory of mind tasks43. For self-referential processing, mPFC typically shows greater activity when judging self-related traits compared to others44. Compared to MM, BMB individuals may engage in prolonged self-monitoring to integrate dual linguistic-cultural identities into their self-concept, a process that entails self-referential evaluation of which language is more appropriate in a given context. Accordingly, the enhanced centrality observed in the mPFC suggests that it functions as a critical hub for information integration and distribution42, potentially reflecting culturally embedded cognitive patterns that integrate social and linguistic information differently than in MM individuals.\nIn addition, the observed differences in higher-order cognitive networks (FPN, DAN, and DMN) between the two groups highlight how tonal bilingualism shapes large-scale brain organization. We identified a mixed pattern: BMB showed increased DC in the bilateral mPFC of the DMN but decreased DC in regions associated with the FPN and DAN (such as left MFG and IPL). This pattern points to network-specific adaptations rather than uniform alterations. Bilingual language processing requires frequent reversal of functions dominated by different hemispheres across multiple networks including the DMN, DAN, and FPN45, indicating that the altered topology we observed may support the dynamic hemispheric switching demands involved in managing multiple tonal systems.\nSpecifically, the DAN represents task-positive regions activated during goal-directed tasks46 and interacts with the prefrontal cortex at the junction of the dorsal and ventral attention systems47. In contrast, the DMN is traditionally characterized as a task-negative network that supports internal mentation and introspective processes48–50, exhibiting gradual up- and down-regulation depending on cognitive demands51. Our findings of decreased DC in the DAN alongside increased DC in the DMN align with prior reports that simultaneous bilinguals show stronger negative correlations between the DMN and task-positive attention networks than sequential bilinguals52. This may indicate enhanced cognitive control abilities52 in the BMB group, particularly given their social-cognitive demands and communicative requirements when shifting between two social group identities.\nFurthermore, the FPN is implicated in the initiation and modulation of cognitive control across diverse tasks53. Research has shown that bilinguals exhibit stronger functional connectivity than monolinguals in the cingulo-opercular network but not in the FPN54, which is consistent with our observation of lower DC in FPN regions (such as left MFG and IPL). These findings suggest that bilingual network connectivity reflects reorganization rather than simple enhancement, with connectivity patterns modulated by bilingual experience55. Particularly for tonal language users who rely on categorical perception of pitch patterns, parallels may also be drawn with absolute pitch musicians. These individuals exhibit reduced global neural connectivity alongside local hyperconnectivity in temporal-parietal regions associated with auditory and language processing56, again indicating targeted alterations in network architecture. Therefore, the distinctive organization of brain network topology in BMB may reflect a functional modification consistent with the adaptive control hypothesis57, enabling more flexible switching between different tonal systems while concentrating hub connectivity and reducing unnecessary connections.\nThe significant contribution of serotonin and dopamine systems to group differences between BMB and MM in brain network topology provides crucial insights into the neurochemical basis of tonal bilingualism. Among these systems, 5-HTT showed the most robust positive association with DC differences, indicating that regions with higher 5-HTT density tend to show more positive DC-difference values (BMB–MM). Notably, Selinger et al. reported that individuals with genetically determined low serotonin transporter expression display enhanced subcortical auditory speech encoding with higher signal-to-noise ratios and stronger pitch strength representation58. This apparent paradox may reflect layer- or region-specific roles of serotonergic modulation. Reduced 5-HTT expression in subcortical auditory pathways appears to support precise and robust signal extraction, whereas higher 5-HTT density in cortical hub regions may facilitate the network-level integration necessary for managing dual tonal systems. This pattern suggests a functionally heterogeneous distribution of 5-HTT across the auditory hierarchy, with region-specific specialization for either precise encoding or flexible integration in tonal bilinguals.\nThe positive associations with both D1 and D2 receptors indicate that regions with higher dopamine receptor density exhibit more positive DC-difference values. This underscores dopamine’s critical role in adaptive learning. Genetic variants linked to dopamine function have been shown to predict both cognitive flexibility and second language learning59–61. D1 receptors shape prefrontal synaptic transmission by modulating recurrent excitation within local circuits, a key mechanism for working memory62,63, while D2 receptor binding and receptor density associate with category fluency and implicit sequence learning64,65. These dopaminergic contributions may underlie the enhanced DC observed in the mPFC of BMB individuals and may reflect their increased flexibility in accessing lexical items across dual linguistic categories.\nThe negative associations of M1, MOR, and GABA with DC differences suggest that brain regions with higher densities of these neurotransmitter systems tend to show more negative DC-difference values. M1 muscarinic receptors, which are involved in mnemonic, attentional, and cognitive processes66, may be related to the reduced DC observed in DAN regions. A previous study has shown that hippocampal M1 binding predicts limbic-temporal hyperactivation underlying learning and may play a role in functional responses related to learning and memory67. Similarly, the MOR, which plays a key role in reward, motivation, and emotional responses68, may differentially modulate language learning motivation and reward processing in the context of tonal bilingualism.\nThe strong negative contribution of GABA aligns with its role as the primary inhibitory neurotransmitter, with GABA levels negatively correlating with coordinated activity within resting motor networks69. The differential GABA distribution between BMB and MM groups may reflect distinct inhibitory control mechanisms required for managing multiple tonal systems. The most robust negative association with DC differences was observed for DAT, which dynamically regulates dopamine signaling to modulate movement, motivation, and learning behavior70. This suggests that regions with lower DAT density exhibit more positive DC-difference values, potentially reflecting group variations in dopamine-mediated cognitive and behavioral processes such as reward processing and learning strategies.\nThese neurotransmitter systems likely support tonal language processing through dynamic interactions across multiple timescales and spatial scales. Neurotransmitter receptor densities follow the organizational principles of brain connectomes71, with language-related areas sharing similar receptor density profiles that differ from non-language regions72. The interplay between excitatory and inhibitory systems may fine-tune the neural dynamics required for language switching and processing the complex pitch patterns characteristic of tonal languages.\nThe identification of 744 positively weighted and 1,057 negatively weighted genes through PLS analysis reveals the molecular basis of differences in brain function between BMB and MM groups. PLS1 accounted for 30.07% of the variance in DC differences, with its spatial pattern positively correlating with the t-statistic map. Notably, the mean expression levels of PLS1-significant genes were negatively correlated with DC differences across regions. These findings suggest that genes with higher PLS1 weights tend to exert greater influence in regions with larger DC differences between BMB and MM, while exhibiting relatively lower expression levels in those same regions.\nFunctional enrichment analyses revealed coherent biological processes underlying neural specializations. Enrichment in protein localization, cellular morphogenesis, and plasma membrane projections indicates alterations in neuronal architecture establishment and maintenance. The involvement of brain development, neuron projection morphogenesis, and neuronal differentiation genes points to divergent developmental trajectories between BMB and MM groups. Different patterns of neuronal activity induce distinct transcriptional profiles with varying temporal dynamics73, while variants like CNTNAP2 (rs7794745) shape the neuronal architecture of the language faculty through genetically determined effects74.\nThe negative correlation between average gene expression and DC differences, combined with network-specific expression patterns (higher in FPN, lower in limbic networks), suggests region-specific molecular mechanisms regulating local functional topology. Neurodevelopmental genes continue to be expressed in adult cortex, maintaining regionally specialized circuitry for language networks75. Research on specific language-related genes has revealed remarkable specificity. For instance, variations in dopamine-related genes (e.g., DRD2/ANKK1) may indirectly influence language acquisition by modulating the cortico-striatal pathway involved in procedural learning76. Moreover, ASPM variants show specific associations with lexical tone perception related to processing pitch patterns within syllable-level timeframes rather than general musical or auditory abilities31. Cross-linguistic population-scale studies support a weak negative effect of ASPM-D on tone presence, suggesting that observed linguistic diversity may be partly driven by genetic diversity77.\nThe cell-type enrichment findings provide a neurobiological framework for understanding how genetic differences manifest at the cellular level. The significant enrichment in microglia-related genes is particularly noteworthy given microglia’s role as highly dynamic cells that survey the brain and make essential contributions to the central nervous system development78–80. The enrichment in genes related to both excitatory and inhibitory neurons suggests alterations in the excitation-inhibition balance crucial for network dynamics. Excitatory neurons show layer-specific gene expression differences between the frontal and temporal language cortex, which are associated with white matter connectivity and language-related conditions81. The presence of inhibitory neurons is crucial for the emergence and consolidation of modular structures in neural networks, with their numbers directly related to memory capacity82. Oligodendrocytes, which facilitate fast nerve conduction through myelination83, show enrichment patterns that may reflect differences in information transmission efficiency, while synapse-related gene enrichment suggests underlying distinctions in synaptic organization and plasticity. These cell-type-specific patterns indicate that brain differences between BMB and MM groups arise from coordinated changes across multiple cellular populations.\nThe convergence of findings across network topology, neurochemistry, and genetics necessitates a comprehensive theoretical framework. We propose the Multilevel Neurolinguistic Adaptation (MNA) framework, which conceptualizes brain differences between BMB and MM as emerging from dynamic interactions across genetic, molecular, cellular, and network levels, all shaped by cultural-linguistic experience and environmental factors. This framework builds upon existing developmental systems perspectives that emphasize how phenotypes emerge rather than being predetermined84 and incorporates principles from developmental cultural neuroscience that integrate culture, development, and cognitive neuroscience85.\nAt the genetic level, allelic distributions between BMB and MM create differential neural responsiveness, which, together with language experience, determine bilingual language control86. This bottom-up genetic influence operates through multiple interconnected pathways that cascade from molecular to network levels. Genetic variants between BMB and MM groups affect neurotransmitter expression, creating distinct neurochemical landscapes where differences in serotonin, dopamine, and GABA systems act as molecular mediators translating genetic variation into functional consequences. These neurochemical differences influence the development of structural connectivity, as structural networks partially mediate genetic influences on cognition87, while simultaneously driving cell-type-specific expression patterns that create local differences in neural computation. Through developmental trajectories, these multilevel genetic influences establish persistent neural organization differences that ultimately converge at the network level, producing the characteristic pattern of reduced centrality in classical language regions but enhanced centrality in social-cognitive hubs like the mPFC.\nEnvironmental factors interact with this biological substrate through bidirectional mechanisms across the lifespan. Cultural evolution constitutes a primary factor shaping linguistic structure88, while epigenetic mechanisms enable cultural experiences to mold the brain through socialization and adaptation89. Therefore, different forms of bilingualism and cultural contexts engage brain networks in distinct ways57. For instance, functional brain connectivity is shaped by both past and current linguistic experiences90. In addition, the demands of processing multiple tonal systems enhance pitch acuity91, and environmental stressors create epigenetic “developmental switches” that program long-term neural responses92. Notably, development can strongly influence activity-dependent gene expression73. Consequently, these top-down environmental influences create a dynamic interplay between genetic predispositions and experiential factors, ultimately establishing different neural architectures between BMB and MM groups.\n\n\n### Summary of key findings\nOur investigation examined differences in brain network topology between BMB and MM, and their associations with neurochemical and genetic profiles. At the network level, BMB exhibited lower DC in the left MFG, IPL, and MTG, but higher DC in the bilateral mPFC, compared with MM, with differences primarily distributed across higher-order cognitive networks, including FPN, DAN, and DMN. Neurochemical analyses demonstrated that multiple neurotransmitter systems collectively explained 37% of the group-level variance in DC, with significant contributions from serotonin, dopamine, acetylcholine, GABA, and opioid systems. Transcriptomic analysis identified 1,801 genes (744 positively weighted and 1,057 negatively weighted) that were significantly associated with DC differences and enriched for processes related to protein localization, cellular morphogenesis, and neural development. Cell-type enrichment analysis revealed significant involvement of microglia, excitatory and inhibitory neurons, oligodendrocytes, and synapse-related genes. The multilevel examination provides new insights into the neurobiological basis of bilinguals in tonal languages.\n\n\n### Neurobiological mechanisms underlying group differences\nIn BMB compared to MM, the observed lower DC in multiple key language nodes, including the left MFG, IPL, and MTG, as well as the higher DC in the bilateral mPFC, is thought to reflect adaptive changes associated with tonal bilingual experience. Previous research on BMB emphasized right hemispheric specialization, particularly the integrative role of right IFG in tonal language processing16. Our DC analysis extends previous findings from the perspective of a more distributed bilateral pattern. This difference is likely due to our focus on whole-brain network topology rather than specific regional connectivity, suggesting that tonal bilingualism involves both localized hemispheric specialization and broader network-level integration17.\nSpecifically, the left IPL and MTG may reflect specialized patterns for processing multiple tonal systems. The IPL plays a key role in L2 learning success33 and is anatomically connected to language areas via the superior longitudinal fasciculus34. The MTG, which is involved in categorical phonemic tone processing and likely stores lexical tone knowledge while serving as a lexical interface between phonetic and semantic representations35–37, may reflect specialized neural tuning for processing multiple tonal inventories. In addition, the role of the left MFG in addressing phonology has been widely evidenced in Chinese reading38. The reduced DC observed in the frontal cortex of BMB compared to MM may reflect enhanced neural efficiency39,40, suggesting that bilingual speakers require less reliance on top-down mechanisms compared to monolinguals41. Thus, the reduced centrality in these regions may indicate the pruning of less efficient connections, resulting in a more simplified and efficient network architecture42.\nIn contrast, we observed higher DC in bilateral mPFC in BMB compared to MM, possibly reflecting neural plasticity shaped by both cultural and linguistic factors. The activation of the mPFC is influenced by cultural or linguistic factors during theory of mind tasks43. For self-referential processing, mPFC typically shows greater activity when judging self-related traits compared to others44. Compared to MM, BMB individuals may engage in prolonged self-monitoring to integrate dual linguistic-cultural identities into their self-concept, a process that entails self-referential evaluation of which language is more appropriate in a given context. Accordingly, the enhanced centrality observed in the mPFC suggests that it functions as a critical hub for information integration and distribution42, potentially reflecting culturally embedded cognitive patterns that integrate social and linguistic information differently than in MM individuals.\nIn addition, the observed differences in higher-order cognitive networks (FPN, DAN, and DMN) between the two groups highlight how tonal bilingualism shapes large-scale brain organization. We identified a mixed pattern: BMB showed increased DC in the bilateral mPFC of the DMN but decreased DC in regions associated with the FPN and DAN (such as left MFG and IPL). This pattern points to network-specific adaptations rather than uniform alterations. Bilingual language processing requires frequent reversal of functions dominated by different hemispheres across multiple networks including the DMN, DAN, and FPN45, indicating that the altered topology we observed may support the dynamic hemispheric switching demands involved in managing multiple tonal systems.\nSpecifically, the DAN represents task-positive regions activated during goal-directed tasks46 and interacts with the prefrontal cortex at the junction of the dorsal and ventral attention systems47. In contrast, the DMN is traditionally characterized as a task-negative network that supports internal mentation and introspective processes48–50, exhibiting gradual up- and down-regulation depending on cognitive demands51. Our findings of decreased DC in the DAN alongside increased DC in the DMN align with prior reports that simultaneous bilinguals show stronger negative correlations between the DMN and task-positive attention networks than sequential bilinguals52. This may indicate enhanced cognitive control abilities52 in the BMB group, particularly given their social-cognitive demands and communicative requirements when shifting between two social group identities.\nFurthermore, the FPN is implicated in the initiation and modulation of cognitive control across diverse tasks53. Research has shown that bilinguals exhibit stronger functional connectivity than monolinguals in the cingulo-opercular network but not in the FPN54, which is consistent with our observation of lower DC in FPN regions (such as left MFG and IPL). These findings suggest that bilingual network connectivity reflects reorganization rather than simple enhancement, with connectivity patterns modulated by bilingual experience55. Particularly for tonal language users who rely on categorical perception of pitch patterns, parallels may also be drawn with absolute pitch musicians. These individuals exhibit reduced global neural connectivity alongside local hyperconnectivity in temporal-parietal regions associated with auditory and language processing56, again indicating targeted alterations in network architecture. Therefore, the distinctive organization of brain network topology in BMB may reflect a functional modification consistent with the adaptive control hypothesis57, enabling more flexible switching between different tonal systems while concentrating hub connectivity and reducing unnecessary connections.\nThe significant contribution of serotonin and dopamine systems to group differences between BMB and MM in brain network topology provides crucial insights into the neurochemical basis of tonal bilingualism. Among these systems, 5-HTT showed the most robust positive association with DC differences, indicating that regions with higher 5-HTT density tend to show more positive DC-difference values (BMB–MM). Notably, Selinger et al. reported that individuals with genetically determined low serotonin transporter expression display enhanced subcortical auditory speech encoding with higher signal-to-noise ratios and stronger pitch strength representation58. This apparent paradox may reflect layer- or region-specific roles of serotonergic modulation. Reduced 5-HTT expression in subcortical auditory pathways appears to support precise and robust signal extraction, whereas higher 5-HTT density in cortical hub regions may facilitate the network-level integration necessary for managing dual tonal systems. This pattern suggests a functionally heterogeneous distribution of 5-HTT across the auditory hierarchy, with region-specific specialization for either precise encoding or flexible integration in tonal bilinguals.\nThe positive associations with both D1 and D2 receptors indicate that regions with higher dopamine receptor density exhibit more positive DC-difference values. This underscores dopamine’s critical role in adaptive learning. Genetic variants linked to dopamine function have been shown to predict both cognitive flexibility and second language learning59–61. D1 receptors shape prefrontal synaptic transmission by modulating recurrent excitation within local circuits, a key mechanism for working memory62,63, while D2 receptor binding and receptor density associate with category fluency and implicit sequence learning64,65. These dopaminergic contributions may underlie the enhanced DC observed in the mPFC of BMB individuals and may reflect their increased flexibility in accessing lexical items across dual linguistic categories.\nThe negative associations of M1, MOR, and GABA with DC differences suggest that brain regions with higher densities of these neurotransmitter systems tend to show more negative DC-difference values. M1 muscarinic receptors, which are involved in mnemonic, attentional, and cognitive processes66, may be related to the reduced DC observed in DAN regions. A previous study has shown that hippocampal M1 binding predicts limbic-temporal hyperactivation underlying learning and may play a role in functional responses related to learning and memory67. Similarly, the MOR, which plays a key role in reward, motivation, and emotional responses68, may differentially modulate language learning motivation and reward processing in the context of tonal bilingualism.\nThe strong negative contribution of GABA aligns with its role as the primary inhibitory neurotransmitter, with GABA levels negatively correlating with coordinated activity within resting motor networks69. The differential GABA distribution between BMB and MM groups may reflect distinct inhibitory control mechanisms required for managing multiple tonal systems. The most robust negative association with DC differences was observed for DAT, which dynamically regulates dopamine signaling to modulate movement, motivation, and learning behavior70. This suggests that regions with lower DAT density exhibit more positive DC-difference values, potentially reflecting group variations in dopamine-mediated cognitive and behavioral processes such as reward processing and learning strategies.\nThese neurotransmitter systems likely support tonal language processing through dynamic interactions across multiple timescales and spatial scales. Neurotransmitter receptor densities follow the organizational principles of brain connectomes71, with language-related areas sharing similar receptor density profiles that differ from non-language regions72. The interplay between excitatory and inhibitory systems may fine-tune the neural dynamics required for language switching and processing the complex pitch patterns characteristic of tonal languages.\nThe identification of 744 positively weighted and 1,057 negatively weighted genes through PLS analysis reveals the molecular basis of differences in brain function between BMB and MM groups. PLS1 accounted for 30.07% of the variance in DC differences, with its spatial pattern positively correlating with the t-statistic map. Notably, the mean expression levels of PLS1-significant genes were negatively correlated with DC differences across regions. These findings suggest that genes with higher PLS1 weights tend to exert greater influence in regions with larger DC differences between BMB and MM, while exhibiting relatively lower expression levels in those same regions.\nFunctional enrichment analyses revealed coherent biological processes underlying neural specializations. Enrichment in protein localization, cellular morphogenesis, and plasma membrane projections indicates alterations in neuronal architecture establishment and maintenance. The involvement of brain development, neuron projection morphogenesis, and neuronal differentiation genes points to divergent developmental trajectories between BMB and MM groups. Different patterns of neuronal activity induce distinct transcriptional profiles with varying temporal dynamics73, while variants like CNTNAP2 (rs7794745) shape the neuronal architecture of the language faculty through genetically determined effects74.\nThe negative correlation between average gene expression and DC differences, combined with network-specific expression patterns (higher in FPN, lower in limbic networks), suggests region-specific molecular mechanisms regulating local functional topology. Neurodevelopmental genes continue to be expressed in adult cortex, maintaining regionally specialized circuitry for language networks75. Research on specific language-related genes has revealed remarkable specificity. For instance, variations in dopamine-related genes (e.g., DRD2/ANKK1) may indirectly influence language acquisition by modulating the cortico-striatal pathway involved in procedural learning76. Moreover, ASPM variants show specific associations with lexical tone perception related to processing pitch patterns within syllable-level timeframes rather than general musical or auditory abilities31. Cross-linguistic population-scale studies support a weak negative effect of ASPM-D on tone presence, suggesting that observed linguistic diversity may be partly driven by genetic diversity77.\nThe cell-type enrichment findings provide a neurobiological framework for understanding how genetic differences manifest at the cellular level. The significant enrichment in microglia-related genes is particularly noteworthy given microglia’s role as highly dynamic cells that survey the brain and make essential contributions to the central nervous system development78–80. The enrichment in genes related to both excitatory and inhibitory neurons suggests alterations in the excitation-inhibition balance crucial for network dynamics. Excitatory neurons show layer-specific gene expression differences between the frontal and temporal language cortex, which are associated with white matter connectivity and language-related conditions81. The presence of inhibitory neurons is crucial for the emergence and consolidation of modular structures in neural networks, with their numbers directly related to memory capacity82. Oligodendrocytes, which facilitate fast nerve conduction through myelination83, show enrichment patterns that may reflect differences in information transmission efficiency, while synapse-related gene enrichment suggests underlying distinctions in synaptic organization and plasticity. These cell-type-specific patterns indicate that brain differences between BMB and MM groups arise from coordinated changes across multiple cellular populations.\n\n\n### Interpretation of network topology differences\nIn BMB compared to MM, the observed lower DC in multiple key language nodes, including the left MFG, IPL, and MTG, as well as the higher DC in the bilateral mPFC, is thought to reflect adaptive changes associated with tonal bilingual experience. Previous research on BMB emphasized right hemispheric specialization, particularly the integrative role of right IFG in tonal language processing16. Our DC analysis extends previous findings from the perspective of a more distributed bilateral pattern. This difference is likely due to our focus on whole-brain network topology rather than specific regional connectivity, suggesting that tonal bilingualism involves both localized hemispheric specialization and broader network-level integration17.\nSpecifically, the left IPL and MTG may reflect specialized patterns for processing multiple tonal systems. The IPL plays a key role in L2 learning success33 and is anatomically connected to language areas via the superior longitudinal fasciculus34. The MTG, which is involved in categorical phonemic tone processing and likely stores lexical tone knowledge while serving as a lexical interface between phonetic and semantic representations35–37, may reflect specialized neural tuning for processing multiple tonal inventories. In addition, the role of the left MFG in addressing phonology has been widely evidenced in Chinese reading38. The reduced DC observed in the frontal cortex of BMB compared to MM may reflect enhanced neural efficiency39,40, suggesting that bilingual speakers require less reliance on top-down mechanisms compared to monolinguals41. Thus, the reduced centrality in these regions may indicate the pruning of less efficient connections, resulting in a more simplified and efficient network architecture42.\nIn contrast, we observed higher DC in bilateral mPFC in BMB compared to MM, possibly reflecting neural plasticity shaped by both cultural and linguistic factors. The activation of the mPFC is influenced by cultural or linguistic factors during theory of mind tasks43. For self-referential processing, mPFC typically shows greater activity when judging self-related traits compared to others44. Compared to MM, BMB individuals may engage in prolonged self-monitoring to integrate dual linguistic-cultural identities into their self-concept, a process that entails self-referential evaluation of which language is more appropriate in a given context. Accordingly, the enhanced centrality observed in the mPFC suggests that it functions as a critical hub for information integration and distribution42, potentially reflecting culturally embedded cognitive patterns that integrate social and linguistic information differently than in MM individuals.\nIn addition, the observed differences in higher-order cognitive networks (FPN, DAN, and DMN) between the two groups highlight how tonal bilingualism shapes large-scale brain organization. We identified a mixed pattern: BMB showed increased DC in the bilateral mPFC of the DMN but decreased DC in regions associated with the FPN and DAN (such as left MFG and IPL). This pattern points to network-specific adaptations rather than uniform alterations. Bilingual language processing requires frequent reversal of functions dominated by different hemispheres across multiple networks including the DMN, DAN, and FPN45, indicating that the altered topology we observed may support the dynamic hemispheric switching demands involved in managing multiple tonal systems.\nSpecifically, the DAN represents task-positive regions activated during goal-directed tasks46 and interacts with the prefrontal cortex at the junction of the dorsal and ventral attention systems47. In contrast, the DMN is traditionally characterized as a task-negative network that supports internal mentation and introspective processes48–50, exhibiting gradual up- and down-regulation depending on cognitive demands51. Our findings of decreased DC in the DAN alongside increased DC in the DMN align with prior reports that simultaneous bilinguals show stronger negative correlations between the DMN and task-positive attention networks than sequential bilinguals52. This may indicate enhanced cognitive control abilities52 in the BMB group, particularly given their social-cognitive demands and communicative requirements when shifting between two social group identities.\nFurthermore, the FPN is implicated in the initiation and modulation of cognitive control across diverse tasks53. Research has shown that bilinguals exhibit stronger functional connectivity than monolinguals in the cingulo-opercular network but not in the FPN54, which is consistent with our observation of lower DC in FPN regions (such as left MFG and IPL). These findings suggest that bilingual network connectivity reflects reorganization rather than simple enhancement, with connectivity patterns modulated by bilingual experience55. Particularly for tonal language users who rely on categorical perception of pitch patterns, parallels may also be drawn with absolute pitch musicians. These individuals exhibit reduced global neural connectivity alongside local hyperconnectivity in temporal-parietal regions associated with auditory and language processing56, again indicating targeted alterations in network architecture. Therefore, the distinctive organization of brain network topology in BMB may reflect a functional modification consistent with the adaptive control hypothesis57, enabling more flexible switching between different tonal systems while concentrating hub connectivity and reducing unnecessary connections.\n\n\n### Neurotransmitter systems and bilingual language processing\nThe significant contribution of serotonin and dopamine systems to group differences between BMB and MM in brain network topology provides crucial insights into the neurochemical basis of tonal bilingualism. Among these systems, 5-HTT showed the most robust positive association with DC differences, indicating that regions with higher 5-HTT density tend to show more positive DC-difference values (BMB–MM). Notably, Selinger et al. reported that individuals with genetically determined low serotonin transporter expression display enhanced subcortical auditory speech encoding with higher signal-to-noise ratios and stronger pitch strength representation58. This apparent paradox may reflect layer- or region-specific roles of serotonergic modulation. Reduced 5-HTT expression in subcortical auditory pathways appears to support precise and robust signal extraction, whereas higher 5-HTT density in cortical hub regions may facilitate the network-level integration necessary for managing dual tonal systems. This pattern suggests a functionally heterogeneous distribution of 5-HTT across the auditory hierarchy, with region-specific specialization for either precise encoding or flexible integration in tonal bilinguals.\nThe positive associations with both D1 and D2 receptors indicate that regions with higher dopamine receptor density exhibit more positive DC-difference values. This underscores dopamine’s critical role in adaptive learning. Genetic variants linked to dopamine function have been shown to predict both cognitive flexibility and second language learning59–61. D1 receptors shape prefrontal synaptic transmission by modulating recurrent excitation within local circuits, a key mechanism for working memory62,63, while D2 receptor binding and receptor density associate with category fluency and implicit sequence learning64,65. These dopaminergic contributions may underlie the enhanced DC observed in the mPFC of BMB individuals and may reflect their increased flexibility in accessing lexical items across dual linguistic categories.\nThe negative associations of M1, MOR, and GABA with DC differences suggest that brain regions with higher densities of these neurotransmitter systems tend to show more negative DC-difference values. M1 muscarinic receptors, which are involved in mnemonic, attentional, and cognitive processes66, may be related to the reduced DC observed in DAN regions. A previous study has shown that hippocampal M1 binding predicts limbic-temporal hyperactivation underlying learning and may play a role in functional responses related to learning and memory67. Similarly, the MOR, which plays a key role in reward, motivation, and emotional responses68, may differentially modulate language learning motivation and reward processing in the context of tonal bilingualism.\nThe strong negative contribution of GABA aligns with its role as the primary inhibitory neurotransmitter, with GABA levels negatively correlating with coordinated activity within resting motor networks69. The differential GABA distribution between BMB and MM groups may reflect distinct inhibitory control mechanisms required for managing multiple tonal systems. The most robust negative association with DC differences was observed for DAT, which dynamically regulates dopamine signaling to modulate movement, motivation, and learning behavior70. This suggests that regions with lower DAT density exhibit more positive DC-difference values, potentially reflecting group variations in dopamine-mediated cognitive and behavioral processes such as reward processing and learning strategies.\nThese neurotransmitter systems likely support tonal language processing through dynamic interactions across multiple timescales and spatial scales. Neurotransmitter receptor densities follow the organizational principles of brain connectomes71, with language-related areas sharing similar receptor density profiles that differ from non-language regions72. The interplay between excitatory and inhibitory systems may fine-tune the neural dynamics required for language switching and processing the complex pitch patterns characteristic of tonal languages.\n\n\n### Transcriptomic signatures of neural differences\nThe identification of 744 positively weighted and 1,057 negatively weighted genes through PLS analysis reveals the molecular basis of differences in brain function between BMB and MM groups. PLS1 accounted for 30.07% of the variance in DC differences, with its spatial pattern positively correlating with the t-statistic map. Notably, the mean expression levels of PLS1-significant genes were negatively correlated with DC differences across regions. These findings suggest that genes with higher PLS1 weights tend to exert greater influence in regions with larger DC differences between BMB and MM, while exhibiting relatively lower expression levels in those same regions.\nFunctional enrichment analyses revealed coherent biological processes underlying neural specializations. Enrichment in protein localization, cellular morphogenesis, and plasma membrane projections indicates alterations in neuronal architecture establishment and maintenance. The involvement of brain development, neuron projection morphogenesis, and neuronal differentiation genes points to divergent developmental trajectories between BMB and MM groups. Different patterns of neuronal activity induce distinct transcriptional profiles with varying temporal dynamics73, while variants like CNTNAP2 (rs7794745) shape the neuronal architecture of the language faculty through genetically determined effects74.\nThe negative correlation between average gene expression and DC differences, combined with network-specific expression patterns (higher in FPN, lower in limbic networks), suggests region-specific molecular mechanisms regulating local functional topology. Neurodevelopmental genes continue to be expressed in adult cortex, maintaining regionally specialized circuitry for language networks75. Research on specific language-related genes has revealed remarkable specificity. For instance, variations in dopamine-related genes (e.g., DRD2/ANKK1) may indirectly influence language acquisition by modulating the cortico-striatal pathway involved in procedural learning76. Moreover, ASPM variants show specific associations with lexical tone perception related to processing pitch patterns within syllable-level timeframes rather than general musical or auditory abilities31. Cross-linguistic population-scale studies support a weak negative effect of ASPM-D on tone presence, suggesting that observed linguistic diversity may be partly driven by genetic diversity77.\nThe cell-type enrichment findings provide a neurobiological framework for understanding how genetic differences manifest at the cellular level. The significant enrichment in microglia-related genes is particularly noteworthy given microglia’s role as highly dynamic cells that survey the brain and make essential contributions to the central nervous system development78–80. The enrichment in genes related to both excitatory and inhibitory neurons suggests alterations in the excitation-inhibition balance crucial for network dynamics. Excitatory neurons show layer-specific gene expression differences between the frontal and temporal language cortex, which are associated with white matter connectivity and language-related conditions81. The presence of inhibitory neurons is crucial for the emergence and consolidation of modular structures in neural networks, with their numbers directly related to memory capacity82. Oligodendrocytes, which facilitate fast nerve conduction through myelination83, show enrichment patterns that may reflect differences in information transmission efficiency, while synapse-related gene enrichment suggests underlying distinctions in synaptic organization and plasticity. These cell-type-specific patterns indicate that brain differences between BMB and MM groups arise from coordinated changes across multiple cellular populations.\n\n\n### Integration of multi-level findings\nThe convergence of findings across network topology, neurochemistry, and genetics necessitates a comprehensive theoretical framework. We propose the Multilevel Neurolinguistic Adaptation (MNA) framework, which conceptualizes brain differences between BMB and MM as emerging from dynamic interactions across genetic, molecular, cellular, and network levels, all shaped by cultural-linguistic experience and environmental factors. This framework builds upon existing developmental systems perspectives that emphasize how phenotypes emerge rather than being predetermined84 and incorporates principles from developmental cultural neuroscience that integrate culture, development, and cognitive neuroscience85.\nAt the genetic level, allelic distributions between BMB and MM create differential neural responsiveness, which, together with language experience, determine bilingual language control86. This bottom-up genetic influence operates through multiple interconnected pathways that cascade from molecular to network levels. Genetic variants between BMB and MM groups affect neurotransmitter expression, creating distinct neurochemical landscapes where differences in serotonin, dopamine, and GABA systems act as molecular mediators translating genetic variation into functional consequences. These neurochemical differences influence the development of structural connectivity, as structural networks partially mediate genetic influences on cognition87, while simultaneously driving cell-type-specific expression patterns that create local differences in neural computation. Through developmental trajectories, these multilevel genetic influences establish persistent neural organization differences that ultimately converge at the network level, producing the characteristic pattern of reduced centrality in classical language regions but enhanced centrality in social-cognitive hubs like the mPFC.\nEnvironmental factors interact with this biological substrate through bidirectional mechanisms across the lifespan. Cultural evolution constitutes a primary factor shaping linguistic structure88, while epigenetic mechanisms enable cultural experiences to mold the brain through socialization and adaptation89. Therefore, different forms of bilingualism and cultural contexts engage brain networks in distinct ways57. For instance, functional brain connectivity is shaped by both past and current linguistic experiences90. In addition, the demands of processing multiple tonal systems enhance pitch acuity91, and environmental stressors create epigenetic “developmental switches” that program long-term neural responses92. Notably, development can strongly influence activity-dependent gene expression73. Consequently, these top-down environmental influences create a dynamic interplay between genetic predispositions and experiential factors, ultimately establishing different neural architectures between BMB and MM groups.\n\n\n### Conclusion\nIn conclusion, our study provides a multiscale analysis of the neural mechanisms underlying brain topology configuration in tonal bilingualism. The decreased degree centrality in left-lateralized language regions (MFG, IPL, MTG) and increased DC in bilateral mPFC among Bai-Mandarin bilinguals reflect a distinctive network architecture of tonal bilingualism, primarily distributed across higher-order cognitive networks including the FPN, DAN, and DMN. Our neurotransmitter mapping revealed notable contributions from monoaminergic (serotonin, dopamine) and inhibitory (GABA) systems, explaining 37% of the observed group differences and highlighting the neurochemical underpinnings of tonal bilingual brain patterns. The transcriptomic analysis further illuminated molecular mechanisms, identifying 1,801 genes associated with DC differences that are implicated in protein transport, cellular morphogenesis, and neural development pathways, with differential expression across microglia, excitatory and inhibitory neurons.\nThis integration of network, neurochemical, and molecular perspectives demonstrates that tonal bilingualism shapes brain connectivity through coordinated biological mechanisms spanning multiple scales. Future research should examine how these neurobiological signatures relate to specific linguistic features of tonal languages and cognitive characteristics in bilinguals, potentially informing educational strategies and interventions for language learning. Our findings provide novel insights into the neurobiological basis of tonal language processing and establish a framework for investigating language-specific brain adaptations across multiple scales.\n\n\n### Limitations\nSeveral limitations constrain the interpretation of our findings. First, the multifaceted differences between BMB and MM groups, such as the number of languages acquired and tonal complexity, make it challenging to attribute the observed multilevel neural differences specifically to tonal processing. These confounding factors create interpretive ambiguity regarding the specific contributions of tonal versus non-tonal bilingual experience to neural organization. Second, the absence of comprehensive socioeconomic status (SES) data represents a notable confound, as family SES profoundly influences language development and may interact with bilingual effects93,94.\nAdditionally, our methodological approach presents several constraints that limit causal interpretation. The cross-sectional design and reliance on static brain network topology measures cannot capture the dynamic nature of language experience, which is inherently a long-term process rather than a static binary variable95. This approach may miss crucial developmental trajectories and individual variations in the neural profiles of tonal bilinguals. Future studies should integrate longitudinal, multimodal approaches combining behavioral experiments, task-based fMRI, EEG/ERP, and intervention studies to establish causal relationships.\nFinally, in this study, functional data were normalized using an EPI template rather than the participants’ T1-weighted structural images. This approach was chosen to avoid potential errors arising from cross-modal EPI–T1 registration and to simplify the processing pipeline, thereby ensuring consistency across multiple participants. However, we note that this method may slightly reduce spatial precision in small subcortical regions or peripheral structures.\n\n\n### Methodology\nA total of 58 healthy adult participants were enrolled in this study (aged 20–36 years, see Table 1), including 28 MM individuals (12 males and 16 females; mean age = 26.07 years, SD = 2.03) and 30 BMB individuals (16 males and 14 females; mean age = 25.33 years, SD = 4.57). Age differences were examined using independent samples t tests, whereas sex differences were analyzed using chi square tests. During participant recruitment, brief background interviews were conducted to verify language exposure patterns. Participants in the BMB group had been exposed to both Bai and Mandarin from birth through dual cultural immersion (Bai at home and Mandarin in school and workplace settings), and they reported balanced daily use and equivalent proficiency in both languages. Participants in the MM group had lived exclusively within a Mandarin-speaking cultural environment since birth. To control for potential confounds, we excluded individuals with: (1) significant exposure to languages other than Bai and Mandarin (e.g., advanced English proficiency beyond basic classroom instruction, or fluency in other Chinese dialects); (2) a history of language or speech disorders; and (3) neurological disorders or MRI contraindications. All participants were right-handed college students and were scanned using identical MRI systems and acquisition parameters. Written informed consent was obtained from all participants prior to the study. The study procedures were conducted in accordance with the latest revision of the Declaration of Helsinki and received full approval from the local ethics committee at the Kunming Medical University.\nTable 1Demographic and linguistic characteristics of participants.CharacteristicBMB (N = 30, 14 female)MM (N = 28, 16 female)\nQuantitative measures\n\nMean ± SD\n\nMean ± SD\nAge (years)25.33 ± 4.5726.07 ± 2.03\nQualitative measures\nAge of acquisitionBoth Bai and Mandarin from birthMandarin from birthDaily language useBalanced (~ 50% each)Mandarin dominantLanguage proficiencyEquivalent in bothNative Mandarin only\nDemographic and linguistic characteristics of participants.\nResting-state functional MRI (rs-fMRI) scans were acquired using a 3.0 T Siemens MAGNETOM Allegra syngo scanner. During the scanning session, participants were instructed to relax, keep their eyes closed, and remain awake. The fMRI acquisition parameters were as follows: repetition time (TR) = 2000 ms, echo time (TE) = 22 ms, flip angle = 90°, matrix size = 64 × 64, voxel size = 3.4 × 3.4 × 4.6 mm³, and a total of 240 volumes were collected.\nPreprocessing of the rs-fMRI data was performed using the DPABI toolbox (v7.0)96 and included the following steps. To achieve magnetic equilibrium, the first 10 volumes were discarded. The remaining images were realigned to the first volume to correct for head motion. Functional images were realigned to the first volume of each run to preserve fine spatial details, as realignment to the mean image, while more robust to noise, may blur subtle anatomical features. All fMRI images were normalized to the EPI template (MNI152 EPI template with a resolution of 3 × 3 × 3 mm³) and resampled to a voxel size of 3 × 3 × 3 mm³. Spatial smoothing was performed using a Gaussian kernel with a full-width at half-maximum (FWHM) of 6 mm. Linear trends were removed to minimize signal drifts. Several nuisance covariates were regressed out, including the Friston-24 head motion parameters, mean white matter (WM) signal, and cerebrospinal fluid (CSF) signal. A band-pass filter (0.01–0.1 Hz) was applied to reduce low-frequency drift and high-frequency noise. To control for motion-related artifacts, participants with head motion exceeding one voxel in any direction or with a mean framewise displacement (FD) > 0.2 mm were excluded. No participants were excluded based on these criteria.\nWe employed the DC metric to assess the topological organization of the brain’s functional connectivity network, aiming to uncover potential neural functional differences between BMB and MM groups. DC reflects the extent of connectivity of a given brain region within the entire functional network; higher DC values indicate a more prominent hub role of the region. DC maps were first computed at the whole-brain voxel level for each individual participant using the DPABI toolbox (v7.0)96. For each voxel, the preprocessed BOLD time series was correlated (Pearson’s r) with the time series of every other voxel in the brain to generate a voxel-by-voxel correlation matrix. Correlation coefficients were transformed to Fisher’s z values prior to subsequent processing. DC was operationalized as the sum (count) of suprathreshold positive connections for each voxel, where suprathreshold was defined as either a correlation magnitude cutoff (r > 0.2). Resulting DC maps were normalized (z-scored) across the brain to allow group-level comparisons. Subsequently, group-level comparisons were conducted using two-sample t-tests. Spatial statistical correction was performed using the AlphaSim method, with a significance threshold of q < 0.005.\nIn addition to DC, several global and higher-order network metrics were computed, including global efficiency and the clustering coefficient, based on the 100-region Schaefer parcellation. However, only DC exhibited significant group differences in our analyses. To maintain clarity and focus on the primary findings, only DC results are reported in the main text, whereas other metrics, which did not show significant effects, are not detailed.\nThe voxel-level statistical difference map of the whole brain was parcellated into 100 cortical regions of interest (ROIs). These 100 ROIs were derived from the local–global functional parcellation (scale-100 version) proposed by Schaefer et al.97. To interpret the findings within the framework of canonical resting-state networks, we adopted an established cortical parcellation based on the seven-network scheme initially proposed by Yeo et al.98. These networks include: Visual (VIS), Somatomotor (SOM), Salience/Ventral Attention (SAL), Dorsal Attention (DAN), Limbic (LIM), Frontoparietal (FPN), and Default Mode Network (DMN). Specifically, functional images were first normalized to the 2-mm isotropic MNI152 template using nonlinear registration99, and DC was subsequently computed directly within this standardized space. To derive region- and network-level indices, two widely used parcellation schemes—the Schaefer-100 functional atlas and the Yeo seven-network template, both resampled to 2-mm resolution—were applied. Within each parcel or intrinsic network, mean DC values were calculated by averaging across all voxels contained in that spatial unit, yielding parcel-level or network-level measures of DC alterations. This voxel-to-region aggregation approach has been widely adopted in large-scale connectome studies100,101, demonstrating that region-averaged measures can robustly capture the spatial distribution of voxel-wise effects while reducing noise, although fine-grained spatial variations and parcel-boundary effects may be attenuated.\nTo decode the observed functional brain differences between BMB and MM groups, we employed the Neurosynth database (https://neurosynth.org/), an online platform for large-scale meta-analyses of fMRI studies. A set of 24 topic terms was selected, covering a comprehensive range of behavioral and cognitive domains previously examined in the literature102,103(See Table S1 in the Appendix). A binary mask was created by assigning a value of 1 to regions with significant differences and 0 elsewhere. This mask was used as input to the meta-analysis. z-scores for each topic term were then weighted by this binary mask and subsequently re-ranked and visualized. A significance threshold of z > 3.1 was applied.\nTo further explore the neurobiological underpinnings of functional brain differences between BMB and MM groups, we utilized neurotransmitter receptor density maps derived from a cohort of over 1,200 healthy individuals (18–94 years), as reported by Hansen et al. 71. Although population-specific receptor atlas for Chinese cohorts are not currently available, the neurotransmitter maps represents one of the most comprehensive and methodologically robust in vivo receptor datasets to date and therefore provides a suitable reference for exploratory cross-modal mapping. This atlas has been widely applied across numerous neuroimaging studies101,104,105. These maps, originally provided at the voxel level, encompassed nineteen neurotransmitter systems. For receptors and transporters with multiple tracer images, weighted averages were computed based on the number of participants contributing to each image. This yielded 19 neurotransmitter receptor and transporter maps, including: 5-HT1A, 5-HT1B, 5-HT2A, 5-HT4, 5-HT6, 5-HTT, α4β2, CB1, D1, D2, DAT, GABAa/BZ, H3, M1, mGluR5, MOR, NET, VAChT, and NMDA. To obtain region-level measures, the voxel-wise maps were subsequently parcellated using the Schaefer-100 atlas. Within each parcel, mean values were computed by averaging across all constituent voxels, providing parcel-level estimates of neurotransmitter receptor density. No additional weighting or smoothing was applied, ensuring that the voxel-level quantitative information was preserved as accurately as possible.\nWe applied multiple linear regression to quantify the contribution of these 19 neurotransmitter systems to the observed DC differences between BMB and MM groups. Given the relatively low dimensionality of the neurotransmitter data and minimal multicollinearity among receptor types, linear regression provides a straightforward and interpretable framework that allows direct estimation of each receptor system’s contribution to the imaging phenotype. In this model, the regional neurotransmitter receptor density values were treated as the predictors (a matrix comprising 100 cortical ROIs across 19 neurotransmitter receptor density maps), whereas the imaging-derived functional maps served as the response variables (i.e., group-level degree centrality (DC) difference t-map summarized within the 100-region Schaefer parcellation). The latter were represented as vectorized spatial distributions of the imaging phenotypes across the 100 ROIs. A spin-permutation null model was used to assess the statistical significance of the regression model106,107, and FDR correction (q < 0.05) was applied to control for multiple comparisons.\nSpecifically, we projected the group-level functional difference map onto the fsLR32k cortical surface space to generate a surface-based parcellation108. The spatial coordinates of each parcel were defined using the centroid vertex of the closest matching vertex on the average spherical surface. These parcel coordinates were then randomly rotated, and the original parcels were reassigned values based on their nearest rotated neighbors (repeated 10,000 times). For each permutation, a new regression model was fitted using the redistributed surface values.\nTo evaluate the contribution of each neurotransmitter to the model, z-scores were calculated by dividing the original regression coefficient by the standard deviation of the coefficient distribution derived from the 10,000 bootstrap resamples104,109.\nGene expression data at the donor and probe levels, along with corresponding spatial coordinates, were obtained from the Allen Human Brain Atlas (AHBA) via the Allen Institute website (https://humanbrain-map.org), where postmortem tissue samples were collected with informed consent from the donors’ next of kin110. The dataset consists of transcriptomic profiles from six postmortem adult human brains. Microarray data were preprocessed using the abagen toolbox111,112, and the Schaefer-100 parcellation was applied to generate a 100 × 15,633 matrix of gene expression data. Due to the availability of gene expression data from only two donors for the right hemisphere, analyses were restricted to the left hemisphere, resulting in a final matrix of 50 × 15,633 gene expression values.\nWe used partial least squares (PLS) regression to examine the relationship between group differences in brain function and gene expression patterns, thereby identifying potential molecular underpinnings. Transcriptomic data are high-dimensional and highly collinear, with thousands of genes exhibiting strong spatial autocorrelation. PLS regression addresses these challenges by extracting latent components that maximize the covariance between gene expression patterns and imaging-derived features, improving robustness, reducing dimensionality, and yielding stable and biologically interpretable gene–imaging associations. To generate the component vectors of the functional map used in the PLS regression, voxel-wise DC difference values were mapped onto the brain parcellation template (Schaefer-100) and averaged within each parcel to obtain a 100 × 1 regional vector for each participant, where N represents the number of parcels, thereby yielding the final functional map. The resulting regional vectors were then standardized (z-scored) to ensure compatibility with the high-dimensional gene expression matrix. These 100 × 1 vectors served as the response variables in the PLS model, with the 100 × 15,633 gene expression matrix used as predictors.\nTo preserve spatial autocorrelation, we tested the null hypothesis that the covariance between PLS1 and genome-wide expression could arise by chance using spin permutations (10,000 rotations of the response variable). Bootstrapping was used to estimate gene weights in the PLS model, from which z-scores were calculated and used to rank genes based on their contribution to PLS1. To identify enriched Gene Ontology (GO) biological processes and KEGG pathways, genes with absolute Z-scores |Z| > 2.76 (FDR-corrected q < 0.05) were selected for enrichment analysis using Metascape (https://metascape.org/gp/index.html#/main/step1), an automated meta-analysis platform that integrates over 40 independent knowledgebases for gene list annotation and analysis113. All results were corrected for multiple comparisons using FDR (q < 0.05).\nNext, we computed the mean expression level for each of the 100 brain ROIs by averaging the expression values of all selected genes within that region. We then performed a Pearson correlation analysis between this regional mean expression vector and the corresponding DC difference vector, thereby assessing the extent to which regional transcriptional intensity is associated with alterations in graph-theoretical topology. To evaluate statistical significance, a permutation test with 10,000 iterations was performed, preserving the spatial autocorrelation of the data. This regional average expression vector was subsequently projected onto the intrinsic brain 7-network architecture to visualize the distribution of gene expression at the network level.\nCell-type-specific gene lists were compiled from Seidlitz et al. 32, who integrated significantly differentially expressed genes from five independent single-cell RNA-seq studies. Cell-type-specific gene lists were compiled for major cortical cell classes, including excitatory neurons (Neuro-Ex), inhibitory neurons (Neuro-In), astrocytes (Astro), oligodendrocytes (Olig), oligodendrocyte precursor cells (OPC), microglia (Mirco), endothelial cells (Endo), and synapses. For each cell type, the full set of annotated genes was included, rather than only genes identified as significant in the current PLS analysis. Regional gene expression values were extracted from the 100 × 15,633 Schaefer-100 region-by-gene matrix. Significant genes identified by the PLS model were assigned corresponding weights. Enrichment analyses were performed using the aggregate fold change method114, in which the observed gene weights for each list—derived from a predefined set of cell-type-specific genes—were compared against the mean weights obtained from 1,000 random permutations. To control for multiple comparisons, both Z-scores and permutation p-values were adjusted using FDR correction to ensure statistical validity. The significance threshold was set at q < 0.05.\nStatistical significance was defined using a two-tailed α = 0.05 unless otherwise specified. All statistical tests were conducted using two-sided p-values. To ensure uniform reporting of statistical results across the manuscript, p-values were standardized according to widely accepted conventions. Specifically, when p > 0.001, values were reported to three decimal places (e.g., p = 0.002); when p < 0.001, values were uniformly presented as p < 0.001. Significance thresholds (e.g., α levels) were reported separately as p < 0.05 to avoid confusion with statistical outcomes. For analyses involving multiple comparisons—including ROI-level, network-level, neurotransmitter-based, and gene-level tests—the false discovery rate (FDR) was controlled using the Benjamini–Hochberg procedure, with a significance threshold set at q < 0.05. Only results surviving FDR correction are reported as statistically significant in the main text.\n\n\n### Participants\nA total of 58 healthy adult participants were enrolled in this study (aged 20–36 years, see Table 1), including 28 MM individuals (12 males and 16 females; mean age = 26.07 years, SD = 2.03) and 30 BMB individuals (16 males and 14 females; mean age = 25.33 years, SD = 4.57). Age differences were examined using independent samples t tests, whereas sex differences were analyzed using chi square tests. During participant recruitment, brief background interviews were conducted to verify language exposure patterns. Participants in the BMB group had been exposed to both Bai and Mandarin from birth through dual cultural immersion (Bai at home and Mandarin in school and workplace settings), and they reported balanced daily use and equivalent proficiency in both languages. Participants in the MM group had lived exclusively within a Mandarin-speaking cultural environment since birth. To control for potential confounds, we excluded individuals with: (1) significant exposure to languages other than Bai and Mandarin (e.g., advanced English proficiency beyond basic classroom instruction, or fluency in other Chinese dialects); (2) a history of language or speech disorders; and (3) neurological disorders or MRI contraindications. All participants were right-handed college students and were scanned using identical MRI systems and acquisition parameters. Written informed consent was obtained from all participants prior to the study. The study procedures were conducted in accordance with the latest revision of the Declaration of Helsinki and received full approval from the local ethics committee at the Kunming Medical University.\nTable 1Demographic and linguistic characteristics of participants.CharacteristicBMB (N = 30, 14 female)MM (N = 28, 16 female)\nQuantitative measures\n\nMean ± SD\n\nMean ± SD\nAge (years)25.33 ± 4.5726.07 ± 2.03\nQualitative measures\nAge of acquisitionBoth Bai and Mandarin from birthMandarin from birthDaily language useBalanced (~ 50% each)Mandarin dominantLanguage proficiencyEquivalent in bothNative Mandarin only\nDemographic and linguistic characteristics of participants.\n\n\n### Resting-state fMRI data acquisition\nResting-state functional MRI (rs-fMRI) scans were acquired using a 3.0 T Siemens MAGNETOM Allegra syngo scanner. During the scanning session, participants were instructed to relax, keep their eyes closed, and remain awake. The fMRI acquisition parameters were as follows: repetition time (TR) = 2000 ms, echo time (TE) = 22 ms, flip angle = 90°, matrix size = 64 × 64, voxel size = 3.4 × 3.4 × 4.6 mm³, and a total of 240 volumes were collected.\n\n\n### Resting-state fMRI data preprocessing\nPreprocessing of the rs-fMRI data was performed using the DPABI toolbox (v7.0)96 and included the following steps. To achieve magnetic equilibrium, the first 10 volumes were discarded. The remaining images were realigned to the first volume to correct for head motion. Functional images were realigned to the first volume of each run to preserve fine spatial details, as realignment to the mean image, while more robust to noise, may blur subtle anatomical features. All fMRI images were normalized to the EPI template (MNI152 EPI template with a resolution of 3 × 3 × 3 mm³) and resampled to a voxel size of 3 × 3 × 3 mm³. Spatial smoothing was performed using a Gaussian kernel with a full-width at half-maximum (FWHM) of 6 mm. Linear trends were removed to minimize signal drifts. Several nuisance covariates were regressed out, including the Friston-24 head motion parameters, mean white matter (WM) signal, and cerebrospinal fluid (CSF) signal. A band-pass filter (0.01–0.1 Hz) was applied to reduce low-frequency drift and high-frequency noise. To control for motion-related artifacts, participants with head motion exceeding one voxel in any direction or with a mean framewise displacement (FD) > 0.2 mm were excluded. No participants were excluded based on these criteria.\n\n\n### Graph-theoretical network analysis\nWe employed the DC metric to assess the topological organization of the brain’s functional connectivity network, aiming to uncover potential neural functional differences between BMB and MM groups. DC reflects the extent of connectivity of a given brain region within the entire functional network; higher DC values indicate a more prominent hub role of the region. DC maps were first computed at the whole-brain voxel level for each individual participant using the DPABI toolbox (v7.0)96. For each voxel, the preprocessed BOLD time series was correlated (Pearson’s r) with the time series of every other voxel in the brain to generate a voxel-by-voxel correlation matrix. Correlation coefficients were transformed to Fisher’s z values prior to subsequent processing. DC was operationalized as the sum (count) of suprathreshold positive connections for each voxel, where suprathreshold was defined as either a correlation magnitude cutoff (r > 0.2). Resulting DC maps were normalized (z-scored) across the brain to allow group-level comparisons. Subsequently, group-level comparisons were conducted using two-sample t-tests. Spatial statistical correction was performed using the AlphaSim method, with a significance threshold of q < 0.005.\nIn addition to DC, several global and higher-order network metrics were computed, including global efficiency and the clustering coefficient, based on the 100-region Schaefer parcellation. However, only DC exhibited significant group differences in our analyses. To maintain clarity and focus on the primary findings, only DC results are reported in the main text, whereas other metrics, which did not show significant effects, are not detailed.\n\n\n### Brain parcellation\nThe voxel-level statistical difference map of the whole brain was parcellated into 100 cortical regions of interest (ROIs). These 100 ROIs were derived from the local–global functional parcellation (scale-100 version) proposed by Schaefer et al.97. To interpret the findings within the framework of canonical resting-state networks, we adopted an established cortical parcellation based on the seven-network scheme initially proposed by Yeo et al.98. These networks include: Visual (VIS), Somatomotor (SOM), Salience/Ventral Attention (SAL), Dorsal Attention (DAN), Limbic (LIM), Frontoparietal (FPN), and Default Mode Network (DMN). Specifically, functional images were first normalized to the 2-mm isotropic MNI152 template using nonlinear registration99, and DC was subsequently computed directly within this standardized space. To derive region- and network-level indices, two widely used parcellation schemes—the Schaefer-100 functional atlas and the Yeo seven-network template, both resampled to 2-mm resolution—were applied. Within each parcel or intrinsic network, mean DC values were calculated by averaging across all voxels contained in that spatial unit, yielding parcel-level or network-level measures of DC alterations. This voxel-to-region aggregation approach has been widely adopted in large-scale connectome studies100,101, demonstrating that region-averaged measures can robustly capture the spatial distribution of voxel-wise effects while reducing noise, although fine-grained spatial variations and parcel-boundary effects may be attenuated.\n\n\n### Term-based meta-analysis\nTo decode the observed functional brain differences between BMB and MM groups, we employed the Neurosynth database (https://neurosynth.org/), an online platform for large-scale meta-analyses of fMRI studies. A set of 24 topic terms was selected, covering a comprehensive range of behavioral and cognitive domains previously examined in the literature102,103(See Table S1 in the Appendix). A binary mask was created by assigning a value of 1 to regions with significant differences and 0 elsewhere. This mask was used as input to the meta-analysis. z-scores for each topic term were then weighted by this binary mask and subsequently re-ranked and visualized. A significance threshold of z > 3.1 was applied.\n\n\n### Neuroimaging–neurotransmitter association analysis\nTo further explore the neurobiological underpinnings of functional brain differences between BMB and MM groups, we utilized neurotransmitter receptor density maps derived from a cohort of over 1,200 healthy individuals (18–94 years), as reported by Hansen et al. 71. Although population-specific receptor atlas for Chinese cohorts are not currently available, the neurotransmitter maps represents one of the most comprehensive and methodologically robust in vivo receptor datasets to date and therefore provides a suitable reference for exploratory cross-modal mapping. This atlas has been widely applied across numerous neuroimaging studies101,104,105. These maps, originally provided at the voxel level, encompassed nineteen neurotransmitter systems. For receptors and transporters with multiple tracer images, weighted averages were computed based on the number of participants contributing to each image. This yielded 19 neurotransmitter receptor and transporter maps, including: 5-HT1A, 5-HT1B, 5-HT2A, 5-HT4, 5-HT6, 5-HTT, α4β2, CB1, D1, D2, DAT, GABAa/BZ, H3, M1, mGluR5, MOR, NET, VAChT, and NMDA. To obtain region-level measures, the voxel-wise maps were subsequently parcellated using the Schaefer-100 atlas. Within each parcel, mean values were computed by averaging across all constituent voxels, providing parcel-level estimates of neurotransmitter receptor density. No additional weighting or smoothing was applied, ensuring that the voxel-level quantitative information was preserved as accurately as possible.\nWe applied multiple linear regression to quantify the contribution of these 19 neurotransmitter systems to the observed DC differences between BMB and MM groups. Given the relatively low dimensionality of the neurotransmitter data and minimal multicollinearity among receptor types, linear regression provides a straightforward and interpretable framework that allows direct estimation of each receptor system’s contribution to the imaging phenotype. In this model, the regional neurotransmitter receptor density values were treated as the predictors (a matrix comprising 100 cortical ROIs across 19 neurotransmitter receptor density maps), whereas the imaging-derived functional maps served as the response variables (i.e., group-level degree centrality (DC) difference t-map summarized within the 100-region Schaefer parcellation). The latter were represented as vectorized spatial distributions of the imaging phenotypes across the 100 ROIs. A spin-permutation null model was used to assess the statistical significance of the regression model106,107, and FDR correction (q < 0.05) was applied to control for multiple comparisons.\nSpecifically, we projected the group-level functional difference map onto the fsLR32k cortical surface space to generate a surface-based parcellation108. The spatial coordinates of each parcel were defined using the centroid vertex of the closest matching vertex on the average spherical surface. These parcel coordinates were then randomly rotated, and the original parcels were reassigned values based on their nearest rotated neighbors (repeated 10,000 times). For each permutation, a new regression model was fitted using the redistributed surface values.\nTo evaluate the contribution of each neurotransmitter to the model, z-scores were calculated by dividing the original regression coefficient by the standard deviation of the coefficient distribution derived from the 10,000 bootstrap resamples104,109.\n\n\n### Neuroimaging–transcriptomics association analysis\nGene expression data at the donor and probe levels, along with corresponding spatial coordinates, were obtained from the Allen Human Brain Atlas (AHBA) via the Allen Institute website (https://humanbrain-map.org), where postmortem tissue samples were collected with informed consent from the donors’ next of kin110. The dataset consists of transcriptomic profiles from six postmortem adult human brains. Microarray data were preprocessed using the abagen toolbox111,112, and the Schaefer-100 parcellation was applied to generate a 100 × 15,633 matrix of gene expression data. Due to the availability of gene expression data from only two donors for the right hemisphere, analyses were restricted to the left hemisphere, resulting in a final matrix of 50 × 15,633 gene expression values.\nWe used partial least squares (PLS) regression to examine the relationship between group differences in brain function and gene expression patterns, thereby identifying potential molecular underpinnings. Transcriptomic data are high-dimensional and highly collinear, with thousands of genes exhibiting strong spatial autocorrelation. PLS regression addresses these challenges by extracting latent components that maximize the covariance between gene expression patterns and imaging-derived features, improving robustness, reducing dimensionality, and yielding stable and biologically interpretable gene–imaging associations. To generate the component vectors of the functional map used in the PLS regression, voxel-wise DC difference values were mapped onto the brain parcellation template (Schaefer-100) and averaged within each parcel to obtain a 100 × 1 regional vector for each participant, where N represents the number of parcels, thereby yielding the final functional map. The resulting regional vectors were then standardized (z-scored) to ensure compatibility with the high-dimensional gene expression matrix. These 100 × 1 vectors served as the response variables in the PLS model, with the 100 × 15,633 gene expression matrix used as predictors.\nTo preserve spatial autocorrelation, we tested the null hypothesis that the covariance between PLS1 and genome-wide expression could arise by chance using spin permutations (10,000 rotations of the response variable). Bootstrapping was used to estimate gene weights in the PLS model, from which z-scores were calculated and used to rank genes based on their contribution to PLS1. To identify enriched Gene Ontology (GO) biological processes and KEGG pathways, genes with absolute Z-scores |Z| > 2.76 (FDR-corrected q < 0.05) were selected for enrichment analysis using Metascape (https://metascape.org/gp/index.html#/main/step1), an automated meta-analysis platform that integrates over 40 independent knowledgebases for gene list annotation and analysis113. All results were corrected for multiple comparisons using FDR (q < 0.05).\nNext, we computed the mean expression level for each of the 100 brain ROIs by averaging the expression values of all selected genes within that region. We then performed a Pearson correlation analysis between this regional mean expression vector and the corresponding DC difference vector, thereby assessing the extent to which regional transcriptional intensity is associated with alterations in graph-theoretical topology. To evaluate statistical significance, a permutation test with 10,000 iterations was performed, preserving the spatial autocorrelation of the data. This regional average expression vector was subsequently projected onto the intrinsic brain 7-network architecture to visualize the distribution of gene expression at the network level.\n\n\n### Cell-type enrichment analyses\nCell-type-specific gene lists were compiled from Seidlitz et al. 32, who integrated significantly differentially expressed genes from five independent single-cell RNA-seq studies. Cell-type-specific gene lists were compiled for major cortical cell classes, including excitatory neurons (Neuro-Ex), inhibitory neurons (Neuro-In), astrocytes (Astro), oligodendrocytes (Olig), oligodendrocyte precursor cells (OPC), microglia (Mirco), endothelial cells (Endo), and synapses. For each cell type, the full set of annotated genes was included, rather than only genes identified as significant in the current PLS analysis. Regional gene expression values were extracted from the 100 × 15,633 Schaefer-100 region-by-gene matrix. Significant genes identified by the PLS model were assigned corresponding weights. Enrichment analyses were performed using the aggregate fold change method114, in which the observed gene weights for each list—derived from a predefined set of cell-type-specific genes—were compared against the mean weights obtained from 1,000 random permutations. To control for multiple comparisons, both Z-scores and permutation p-values were adjusted using FDR correction to ensure statistical validity. The significance threshold was set at q < 0.05.\n\n\n### Statistical analyses\nStatistical significance was defined using a two-tailed α = 0.05 unless otherwise specified. All statistical tests were conducted using two-sided p-values. To ensure uniform reporting of statistical results across the manuscript, p-values were standardized according to widely accepted conventions. Specifically, when p > 0.001, values were reported to three decimal places (e.g., p = 0.002); when p < 0.001, values were uniformly presented as p < 0.001. Significance thresholds (e.g., α levels) were reported separately as p < 0.05 to avoid confusion with statistical outcomes. For analyses involving multiple comparisons—including ROI-level, network-level, neurotransmitter-based, and gene-level tests—the false discovery rate (FDR) was controlled using the Benjamini–Hochberg procedure, with a significance threshold set at q < 0.05. Only results surviving FDR correction are reported as statistically significant in the main text.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.\nSupplementary Material 1\nSupplementary Material 1", "domain": "affective_neuroscience"}
{"source": "PMC13099263", "title": "Identifying treatment response classes to transcranial direct current stimulation from daily ecological momentary assessment patterns in patients with depression", "text": "# Identifying treatment response classes to transcranial direct current stimulation from daily ecological momentary assessment patterns in patients with depression\n\n## Abstract\nTranscranial direct current stimulation (tDCS) is known to be promising for depression, but heterogeneity across studies highlights the need for strategies to optimize treatment effectiveness. Identifying distinct response patterns based on ecological momentary assessment (EMA) may enhance therapeutic outcomes and support the development of personalized and precision psychiatry. To identify distinct EMA-derived response profiles to tDCS in patients with depression and examine how the identified subtypes differentially predict treatment responses and symptom return following treatment termination. A secondary analysis of a double-blind, multicenter randomized clinical trial investigating the effects of tDCS on depression. Daily EMA data on mood and sleep duration during the intervention period were processed using time-series feature extraction and clustered via Gaussian Mixture Modeling. One hundred and ninety-seven participants (original study) and 147 participants (current study) diagnosed with mild-to-moderate depression. Six-week active tDCS vs 3-week active and 3-week sham tDCS. Beck Depression Inventory-II (BDI-II) and Montgomery–Åsberg Depression Rating Scale (MADRS) measured at baseline (V1), post-treatment (V3), and 6-week follow-up (V4). Clustering analysis identified 3 response types: (1) stable improvement (gradual mood reduction, stable sleep duration, moderate treatment effect with no symptom return), (2) persistent high-symptom (consistently elevated depressive mood, sleep disturbance, low-to-moderate treatment effect without symptom return), and (3) volatile symptom (large day-to-day variability in mood and sleep, marked acute improvement but high symptom return). The linear mixed model identified significant interaction effects between clusters and treatment efficacy (V1, V3)/symptom return (V3, V4) intervals. Clustering of daily EMA data identified 3 distinct tDCS response profiles associated with different clinical characteristics and relapse risks. These patterns may reflect underlying subtypes of depression and highlight the value of individualized treatment planning. Future studies can fully characterize the subtypes of response profiles and the unique response patterns of individuals that may facilitate data-driven decision-making and support precision psychiatry by enabling tailored tDCS protocols based on patient-specific response characteristics. Graphical Abstract\n\n## Full Text\n\n\n### Introduction\nTranscranial direct current stimulation (tDCS) is a non-invasive brain stimulation technique that applies weak direct electrical currents to modulate activity in the cerebral cortex.1 By placing anodal and cathodal electrodes over targeted brain regions, tDCS generates low-intensity electric fields that alter neuronal excitability and influence synaptic plasticity.1,2 This modulation process has been shown to alleviate depressive symptoms and potentially improve various forms of psychiatric and cognitive dysfunction.2–4 Despite ongoing concerns about the lack of standardized protocols and clinical guidelines,2,3 tDCS is now expected to see broader adoption in clinical practice, as the United States Food and Drug Administration recently approved at-home tDCS device for moderate-to-severe depression.5 However, recent systematic reviews and meta-analyses indicate that the effect of tDCS on depression is still not solid, even though depression is a common disorder that is prevalent among approximately 8% of men and 15% of women over the lifetime and associated with physical complications, disability, and elevated suicide risk.6 For instance, Ren et al. (2025) reported that although tDCS led to significant improvements in depression among patients with comorbid psychiatric and medical symptoms, its effect on patients with pure depression was not significant.3 Yachou et al. (2025) concluded that the effects of tDCS on depression exhibit significant heterogeneity, primarily depending on the target regions or electric field distribution.2 These reviews underscore the need for careful modulation and optimization strategies to improve tDCS treatment efficacy on depression.\nOptimization of tDCS may involve adjusting stimulation protocols or field strength/electrode placement,2 but understanding patients’ response patterns to tDCS derived from their unique individual characteristics can also be beneficial. There are diverse subtypes of depression with different physiological and genetic characteristics,6,7 and such discrepancies may contribute to variability in treatment responses and effects in tDCS as well. It is known that melancholic depression is associated with a high level of cortisol secretion as reflected in adrenocorticotropin levels and the hypothalamic–pituitary–adrenal (HPA) axis,8,9 and such a relationship is also observed in depression with comorbid psychosis.10 In contrast, atypical depression is associated with relatively low HPA-axis activity but elevated inflammatory markers,9 which has also been suggested in depression with mixed features, that is characterized by agitation, mood lability, or frequent, rapidly shifting manic episodes.11 Regarding neurological differences, the evidence for structural or functional variability among subtypes is less obvious; however, it is known that melancholic depression is associated with decreased functional connectivity primarily in frontoparietal regions of the brain,12,13 whereas atypical depression exhibits increased functional connectivity in the orbitofrontal cortex.14 On the contrary, depression with mixed features demonstrates increased connectivity in the default mode network,15 and bipolar depression exhibits variable connectivity across both orbitofrontal and default mode network areas,16 suggesting aberrant synchronization in functional brain network dynamics.\nStudies suggest considerable inconsistencies in the effects of tDCS based on the different types and clinical stages of depression. It is known that patients with moderate-to-severe depression, chronic depression, or depression with bipolar symptoms are more resistant to tDCS treatment.17–19 Treatment-resistant depression may lead to higher relapse rates following the termination of tDCS, even when their immediate treatment responses are favorable.18,20 Therefore, studies need to clearly identify which patients are most likely to exhibit treatment resistance to tDCS. Considering the heterogeneous and transdiagnostic nature of depression, it is beneficial to adopt data-driven approaches for identifying the treatment-resistant subtypes of depression. Moreover, evaluation of the effects of tDCS should include follow-up assessments to monitor the recurrence of depressive symptoms. Since depressive symptoms may relapse 6-12 weeks after the acute phase of tDCS ends,20 assessing the long-term efficacy of tDCS is required for identifying robust response patterns of patients.\nThe current study aims to explore the response patterns exhibited by patients with depression in response to tDCS treatment, using daily ecological momentary assessment (EMA) data obtained during the tDCS treatment period. EMA can minimize recall bias in traditional retrospective assessments and enhance the ecological validity of the responses, as it captures patients’ responses immediately upon symptom occurrence.21 Subtyping depression using EMA data was previously explored by van Genugten et al. (2022).22 They applied cluster analysis to derive 4 types of EMA response profiles classified based on the average levels and variability of daily mood during a clinical trial of cognitive behavioral therapy. Similarly, Paul et al. (2019)23 identified response patterns in the treatment of major depressive disorder by clustering sociodemographic, physical health, personality, and treatment-related variables, highlighting the clinical relevance of the derived response classes. Building on previous studies, the current study aims to identify how the subtype profiles identified by cluster analysis may differentially predict treatment responses to tDCS, as well as the return of symptoms following treatment termination. For this purpose, this study extracted several summary features capturing participants’ response patterns over the intervention period and identified distinct response classes that reflect heterogeneous response profiles to tDCS, which may contribute to differences in treatment efficacy and the occurrence of symptom return.\n\n\n### Methods\nThe study analyzed data derived from a double-blind, multicenter clinical trial24 to evaluate the real-world effects of tDCS on depression. Participants were recruited from 5 centers across South Korea. Participants with a primary diagnosis of mild-to-moderate depression based on the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5) were included in the clinical trial, confirmed by the Mini International Neuropsychiatric Interview (MINI).25 Individuals with (1) a diagnosis of bipolar or psychotic disorders, post-traumatic stress disorder, or obsessive-compulsive disorder, (2) significant suicide risk, and (3) any scalp or neurological conditions that could interfere with the application of tDCS were excluded. Eligible participants were randomly assigned through a computerized sequence into 2 groups: the 6-week active stimulation group (6WA; n = 108) or the 3-week active stimulation group (3WA; n = 89). Simple randomization (1:1) was implemented using a pre-generated randomization list linked to sequential study IDs, with allocation concealed via sealed allocation codes.\nAt Visit 1 (V1), participants’ baseline depression levels were assessed using the Beck Depression Inventory-II (BDI-II)26 and the Montgomery–Åsberg Depression Rating Scale (MADRS).27 Following the baseline assessments, participants began administering tDCS at home using a portable device (MINDD STIM+, Ybrain Inc., Republic of Korea), with the anode positioned over the left forehead and the cathode over the right forehead, targeting each side of the dorsolateral prefrontal cortex (DLPFC). All participants received active tDCS (1.5-2 mA of current for 30 minutes per day) for the first 3 weeks. After this period (Visit 2, V2), the 3WA group switched to sham stimulation, which consisted of a 30-minute daily session without active current, except for an initial 1-minute low-intensity stimulation to mimic the sensation of active treatment. In contrast, the 6WA group continued receiving active tDCS throughout the entire stimulation period.\nThe intervention concluded 6 weeks after baseline (Visit 3, V3), at which point post-treatment BDI and MADRS scores were collected to evaluate changes in depression severity following the intervention. Follow-up assessments were conducted 6 weeks after the end of the stimulation period (Visit 4, V4), during which BDI and MADRS scores were reassessed to examine the persistence of treatment effects after the discontinuation of tDCS. The trial was prospectively registered at ClinicalTrials.gov (Identifier: NCT05539131), and a detailed flow diagram of the study is available in the Supplementary Material. For more information about the methodology and results of this trial, see Park et al. (2025).24\nDuring the treatment period (V1-V3), all participants enrolled were asked to record their daily mood and the previous night’s sleep duration using a smartphone app. Mood was assessed with the 20-item Center for Epidemiologic Studies Depression Scale – Revised (CESD-R),28 but the response format was adapted to a binary scale (1 = symptom present, 0 = symptom absent) because the original scale was designed to measure the frequency of symptom occurrence over the past week (eg, not at all, 1-2 days, 3-4 days, 5-7 days, nearly every day), not for daily monitoring. The binary responses to the 20 items were aggregated to generate a daily measure of mood (range: 0-20), with higher scores indicating greater depressive symptom burden. This method was developed and evaluated in a previous study.29\nThe participants were also asked to report the total duration of their previous night’s sleep (in minutes), constituting the daily measure of sleep duration. The app automatically estimated the total duration of the previous night’s sleep through internal smartphone sensors, and participants edited and confirmed their daily sleep duration on the next day. The app was programmed to collect their mood and sleep duration for 2 weeks, repeated 3 times across the intervention phase. Participants received daily notifications at a preset time that could be adjusted to their preference, reminding them to complete their entries by the end of the same day. The EMA app was developed by Digital Medic Co., Ltd. (Seoul, Republic of Korea).\nThe main outcome measures of this study were BDI and MADRS, which were also the primary outcomes in the original clinical trial. In particular, this study used the individual changes in BDI and MADRS over the timeline of V1, V3, and V4. In addition to the main outcomes, the following covariates were included: sex, age, years of education, household income, randomized tDCS group (6WA vs 3WA), occurrence of adverse events during tDCS administration, concomitant use of psychotropic medications, presence of comorbid mental disorders, and smoking and drinking status. The tDCS adverse events, concomitant psychotropics, comorbid mental disorders, smoking, and drinking were binary coded (present = 1, absent = 0).\nThe raw EMA records were reorganized into a tabular dataset with participants as rows and days as columns. For each participant, the first entry was designated as Day 1, and subsequent entries were numbered sequentially as (recorded date – first record date + 1). Participants with no records for 14 or more consecutive days after their first entry, or with a total of 4 or fewer recorded days, were excluded from the study. For all participants, records dated more than 50 days after the first entry were excluded from the analysis. Additionally, data from the participants with low baseline depression levels (≤13 on BDI or ≤6 on MADRS) were excluded from the analysis. This process finally selected 147 out of 197 original participants.\nFor each participant’s daily mood and sleep data, missing values were imputed using an iterative imputation method with all covariates included. The imputed daily mood and sleep data were treated as time series, from which the following 7 features were extracted: mean value, minimum and maximum values, slope of individual changes, volatility (sum of daily absolute changes), autocorrelation (correlation between each value and the value from the previous day), and decay, calculated using an exponentially weighted moving average. As 7 features were extracted separately for mood and sleep, a total of 14 features were used to cluster the EMA profiles. For some feature cells where values could not be extracted, missing entries were further imputed using the multivariate imputation by chained equations algorithm without covariates.\nClustering of participants’ response patterns to tDCS was conducted using a Gaussian Mixture Model (GMM) based on 14 features extracted (7 derived from mood and 7 from sleep). All feature values were standardized before clustering. To determine the optimal number of clusters (k), candidate models with k ranging from 1 to 10 were evaluated using 2 criteria: the Bayesian Information Criterion (BIC; lower values indicate better fit) and the mean log-likelihood estimated via 5-fold cross-validation (CV; higher values indicate better fit). The optimal k was selected based on these criteria, and participants were assigned to clusters according to their maximum a posteriori (MAP) membership under the selected GMM. Models were implemented using the GaussianMixture function in scikit-learn,30 with 10 random initializations (n_init = 10) and otherwise default settings. Random seeds were fixed at 42 for the preprocessing and main clustering stages.\nFor the primary analysis, Time × Cluster interaction effects on BDI and MADRS were tested using likelihood ratio tests (LRTs) comparing a full linear mixed model (LMM) including the interaction with a reduced LMM excluding the interaction term. Linear mixed models were fit using maximum likelihood estimation, and the limited-memory Broyden-Fletcher-Goldfarb-Shanno (L-BFGS) optimizer was used by default with full BFGS as a fallback when L-BFGS failed to converge. Interaction effects were tested for the full timeline (V1, V3, V4) as well as separately for the treatment interval (V1, V3) and the symptom return interval (V3, V4).\nTo supplement the primary tests, cluster-level (cross-sectional) differences in BDI and MADRS scores were examined across each assessment point (V1, V3, V4), as well as for treatment effects (V3-V1) and symptom return (V4-V3), using analysis of covariance (ANCOVA) and Tukey’s Honest Significant Difference (HSD) post hoc comparisons of estimated marginal means. For both LMM LRTs and ANCOVA, all 10 covariates were included in the primary analysis. Missing values in BDI and MADRS due to participant attrition were handled via row-wise listwise deletion for LMMs and pairwise deletion for ANCOVA. In addition, daily trajectories of mood and sleep were analyzed and visualized by cluster to better characterize the temporal response patterns of each group.\nThe sensitivity analyses aim to evaluate the robustness of the main findings against (1) covariate specification and (2) stochasticity derived from the missing value imputation and clustering procedures. First, 10 additional LMM interaction tests in which covariates were entered one at a time were conducted for the LMM interaction effects (ie, each model included a single covariate in addition to the main effects and the Time × Cluster interaction) to examine whether the significance of the interaction depended on any specific covariate. The retention rate of the significance and the covariates associated with changes in significance were identified.\nTo assess the robustness of the findings against potential statistical artifacts arising from missing value imputation and clustering model variability, a seed-based sensitivity analysis was conducted. In addition to the main analysis performed with a fixed random seed (seed = 42), 20 independent iterations of the imputation and clustering were run using seeds ranging from 0 to 19, allowing for evaluation of the influence of stochastic elements in the imputation process and the potential risk of overfitting in GMM clustering. The number of clusters was held constant, matching the value selected in the main analysis. Clustering consistency was evaluated by computing the Adjusted Rand Index (ARI) between each seed-based solution and the main clustering. To assess the reproducibility of inferential results, the primary LMM interaction tests with all covariates included for the entire timeline, treatment effect, and symptom return intervals, and the supplementary cross-sectional ANCOVA for treatment effects (V3-V1) and symptom return (V4-V3) were repeated for each iteration. All data analyses and visualization were performed using custom Python code with assistance from ChatGPT (OpenAI, CA, United States).\n\n\n### Original study design\nThe study analyzed data derived from a double-blind, multicenter clinical trial24 to evaluate the real-world effects of tDCS on depression. Participants were recruited from 5 centers across South Korea. Participants with a primary diagnosis of mild-to-moderate depression based on the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5) were included in the clinical trial, confirmed by the Mini International Neuropsychiatric Interview (MINI).25 Individuals with (1) a diagnosis of bipolar or psychotic disorders, post-traumatic stress disorder, or obsessive-compulsive disorder, (2) significant suicide risk, and (3) any scalp or neurological conditions that could interfere with the application of tDCS were excluded. Eligible participants were randomly assigned through a computerized sequence into 2 groups: the 6-week active stimulation group (6WA; n = 108) or the 3-week active stimulation group (3WA; n = 89). Simple randomization (1:1) was implemented using a pre-generated randomization list linked to sequential study IDs, with allocation concealed via sealed allocation codes.\nAt Visit 1 (V1), participants’ baseline depression levels were assessed using the Beck Depression Inventory-II (BDI-II)26 and the Montgomery–Åsberg Depression Rating Scale (MADRS).27 Following the baseline assessments, participants began administering tDCS at home using a portable device (MINDD STIM+, Ybrain Inc., Republic of Korea), with the anode positioned over the left forehead and the cathode over the right forehead, targeting each side of the dorsolateral prefrontal cortex (DLPFC). All participants received active tDCS (1.5-2 mA of current for 30 minutes per day) for the first 3 weeks. After this period (Visit 2, V2), the 3WA group switched to sham stimulation, which consisted of a 30-minute daily session without active current, except for an initial 1-minute low-intensity stimulation to mimic the sensation of active treatment. In contrast, the 6WA group continued receiving active tDCS throughout the entire stimulation period.\nThe intervention concluded 6 weeks after baseline (Visit 3, V3), at which point post-treatment BDI and MADRS scores were collected to evaluate changes in depression severity following the intervention. Follow-up assessments were conducted 6 weeks after the end of the stimulation period (Visit 4, V4), during which BDI and MADRS scores were reassessed to examine the persistence of treatment effects after the discontinuation of tDCS. The trial was prospectively registered at ClinicalTrials.gov (Identifier: NCT05539131), and a detailed flow diagram of the study is available in the Supplementary Material. For more information about the methodology and results of this trial, see Park et al. (2025).24\n\n\n### EMA recording\nDuring the treatment period (V1-V3), all participants enrolled were asked to record their daily mood and the previous night’s sleep duration using a smartphone app. Mood was assessed with the 20-item Center for Epidemiologic Studies Depression Scale – Revised (CESD-R),28 but the response format was adapted to a binary scale (1 = symptom present, 0 = symptom absent) because the original scale was designed to measure the frequency of symptom occurrence over the past week (eg, not at all, 1-2 days, 3-4 days, 5-7 days, nearly every day), not for daily monitoring. The binary responses to the 20 items were aggregated to generate a daily measure of mood (range: 0-20), with higher scores indicating greater depressive symptom burden. This method was developed and evaluated in a previous study.29\nThe participants were also asked to report the total duration of their previous night’s sleep (in minutes), constituting the daily measure of sleep duration. The app automatically estimated the total duration of the previous night’s sleep through internal smartphone sensors, and participants edited and confirmed their daily sleep duration on the next day. The app was programmed to collect their mood and sleep duration for 2 weeks, repeated 3 times across the intervention phase. Participants received daily notifications at a preset time that could be adjusted to their preference, reminding them to complete their entries by the end of the same day. The EMA app was developed by Digital Medic Co., Ltd. (Seoul, Republic of Korea).\n\n\n### Outcome measures and covariates\nThe main outcome measures of this study were BDI and MADRS, which were also the primary outcomes in the original clinical trial. In particular, this study used the individual changes in BDI and MADRS over the timeline of V1, V3, and V4. In addition to the main outcomes, the following covariates were included: sex, age, years of education, household income, randomized tDCS group (6WA vs 3WA), occurrence of adverse events during tDCS administration, concomitant use of psychotropic medications, presence of comorbid mental disorders, and smoking and drinking status. The tDCS adverse events, concomitant psychotropics, comorbid mental disorders, smoking, and drinking were binary coded (present = 1, absent = 0).\n\n\n### Statistical analysis\nThe raw EMA records were reorganized into a tabular dataset with participants as rows and days as columns. For each participant, the first entry was designated as Day 1, and subsequent entries were numbered sequentially as (recorded date – first record date + 1). Participants with no records for 14 or more consecutive days after their first entry, or with a total of 4 or fewer recorded days, were excluded from the study. For all participants, records dated more than 50 days after the first entry were excluded from the analysis. Additionally, data from the participants with low baseline depression levels (≤13 on BDI or ≤6 on MADRS) were excluded from the analysis. This process finally selected 147 out of 197 original participants.\nFor each participant’s daily mood and sleep data, missing values were imputed using an iterative imputation method with all covariates included. The imputed daily mood and sleep data were treated as time series, from which the following 7 features were extracted: mean value, minimum and maximum values, slope of individual changes, volatility (sum of daily absolute changes), autocorrelation (correlation between each value and the value from the previous day), and decay, calculated using an exponentially weighted moving average. As 7 features were extracted separately for mood and sleep, a total of 14 features were used to cluster the EMA profiles. For some feature cells where values could not be extracted, missing entries were further imputed using the multivariate imputation by chained equations algorithm without covariates.\nClustering of participants’ response patterns to tDCS was conducted using a Gaussian Mixture Model (GMM) based on 14 features extracted (7 derived from mood and 7 from sleep). All feature values were standardized before clustering. To determine the optimal number of clusters (k), candidate models with k ranging from 1 to 10 were evaluated using 2 criteria: the Bayesian Information Criterion (BIC; lower values indicate better fit) and the mean log-likelihood estimated via 5-fold cross-validation (CV; higher values indicate better fit). The optimal k was selected based on these criteria, and participants were assigned to clusters according to their maximum a posteriori (MAP) membership under the selected GMM. Models were implemented using the GaussianMixture function in scikit-learn,30 with 10 random initializations (n_init = 10) and otherwise default settings. Random seeds were fixed at 42 for the preprocessing and main clustering stages.\nFor the primary analysis, Time × Cluster interaction effects on BDI and MADRS were tested using likelihood ratio tests (LRTs) comparing a full linear mixed model (LMM) including the interaction with a reduced LMM excluding the interaction term. Linear mixed models were fit using maximum likelihood estimation, and the limited-memory Broyden-Fletcher-Goldfarb-Shanno (L-BFGS) optimizer was used by default with full BFGS as a fallback when L-BFGS failed to converge. Interaction effects were tested for the full timeline (V1, V3, V4) as well as separately for the treatment interval (V1, V3) and the symptom return interval (V3, V4).\nTo supplement the primary tests, cluster-level (cross-sectional) differences in BDI and MADRS scores were examined across each assessment point (V1, V3, V4), as well as for treatment effects (V3-V1) and symptom return (V4-V3), using analysis of covariance (ANCOVA) and Tukey’s Honest Significant Difference (HSD) post hoc comparisons of estimated marginal means. For both LMM LRTs and ANCOVA, all 10 covariates were included in the primary analysis. Missing values in BDI and MADRS due to participant attrition were handled via row-wise listwise deletion for LMMs and pairwise deletion for ANCOVA. In addition, daily trajectories of mood and sleep were analyzed and visualized by cluster to better characterize the temporal response patterns of each group.\nThe sensitivity analyses aim to evaluate the robustness of the main findings against (1) covariate specification and (2) stochasticity derived from the missing value imputation and clustering procedures. First, 10 additional LMM interaction tests in which covariates were entered one at a time were conducted for the LMM interaction effects (ie, each model included a single covariate in addition to the main effects and the Time × Cluster interaction) to examine whether the significance of the interaction depended on any specific covariate. The retention rate of the significance and the covariates associated with changes in significance were identified.\nTo assess the robustness of the findings against potential statistical artifacts arising from missing value imputation and clustering model variability, a seed-based sensitivity analysis was conducted. In addition to the main analysis performed with a fixed random seed (seed = 42), 20 independent iterations of the imputation and clustering were run using seeds ranging from 0 to 19, allowing for evaluation of the influence of stochastic elements in the imputation process and the potential risk of overfitting in GMM clustering. The number of clusters was held constant, matching the value selected in the main analysis. Clustering consistency was evaluated by computing the Adjusted Rand Index (ARI) between each seed-based solution and the main clustering. To assess the reproducibility of inferential results, the primary LMM interaction tests with all covariates included for the entire timeline, treatment effect, and symptom return intervals, and the supplementary cross-sectional ANCOVA for treatment effects (V3-V1) and symptom return (V4-V3) were repeated for each iteration. All data analyses and visualization were performed using custom Python code with assistance from ChatGPT (OpenAI, CA, United States).\n\n\n### EMA preprocessing and feature extraction\nThe raw EMA records were reorganized into a tabular dataset with participants as rows and days as columns. For each participant, the first entry was designated as Day 1, and subsequent entries were numbered sequentially as (recorded date – first record date + 1). Participants with no records for 14 or more consecutive days after their first entry, or with a total of 4 or fewer recorded days, were excluded from the study. For all participants, records dated more than 50 days after the first entry were excluded from the analysis. Additionally, data from the participants with low baseline depression levels (≤13 on BDI or ≤6 on MADRS) were excluded from the analysis. This process finally selected 147 out of 197 original participants.\nFor each participant’s daily mood and sleep data, missing values were imputed using an iterative imputation method with all covariates included. The imputed daily mood and sleep data were treated as time series, from which the following 7 features were extracted: mean value, minimum and maximum values, slope of individual changes, volatility (sum of daily absolute changes), autocorrelation (correlation between each value and the value from the previous day), and decay, calculated using an exponentially weighted moving average. As 7 features were extracted separately for mood and sleep, a total of 14 features were used to cluster the EMA profiles. For some feature cells where values could not be extracted, missing entries were further imputed using the multivariate imputation by chained equations algorithm without covariates.\n\n\n### Clustering of EMA profiles\nClustering of participants’ response patterns to tDCS was conducted using a Gaussian Mixture Model (GMM) based on 14 features extracted (7 derived from mood and 7 from sleep). All feature values were standardized before clustering. To determine the optimal number of clusters (k), candidate models with k ranging from 1 to 10 were evaluated using 2 criteria: the Bayesian Information Criterion (BIC; lower values indicate better fit) and the mean log-likelihood estimated via 5-fold cross-validation (CV; higher values indicate better fit). The optimal k was selected based on these criteria, and participants were assigned to clusters according to their maximum a posteriori (MAP) membership under the selected GMM. Models were implemented using the GaussianMixture function in scikit-learn,30 with 10 random initializations (n_init = 10) and otherwise default settings. Random seeds were fixed at 42 for the preprocessing and main clustering stages.\n\n\n### Main analysis\nFor the primary analysis, Time × Cluster interaction effects on BDI and MADRS were tested using likelihood ratio tests (LRTs) comparing a full linear mixed model (LMM) including the interaction with a reduced LMM excluding the interaction term. Linear mixed models were fit using maximum likelihood estimation, and the limited-memory Broyden-Fletcher-Goldfarb-Shanno (L-BFGS) optimizer was used by default with full BFGS as a fallback when L-BFGS failed to converge. Interaction effects were tested for the full timeline (V1, V3, V4) as well as separately for the treatment interval (V1, V3) and the symptom return interval (V3, V4).\nTo supplement the primary tests, cluster-level (cross-sectional) differences in BDI and MADRS scores were examined across each assessment point (V1, V3, V4), as well as for treatment effects (V3-V1) and symptom return (V4-V3), using analysis of covariance (ANCOVA) and Tukey’s Honest Significant Difference (HSD) post hoc comparisons of estimated marginal means. For both LMM LRTs and ANCOVA, all 10 covariates were included in the primary analysis. Missing values in BDI and MADRS due to participant attrition were handled via row-wise listwise deletion for LMMs and pairwise deletion for ANCOVA. In addition, daily trajectories of mood and sleep were analyzed and visualized by cluster to better characterize the temporal response patterns of each group.\n\n\n### Sensitivity analysis\nThe sensitivity analyses aim to evaluate the robustness of the main findings against (1) covariate specification and (2) stochasticity derived from the missing value imputation and clustering procedures. First, 10 additional LMM interaction tests in which covariates were entered one at a time were conducted for the LMM interaction effects (ie, each model included a single covariate in addition to the main effects and the Time × Cluster interaction) to examine whether the significance of the interaction depended on any specific covariate. The retention rate of the significance and the covariates associated with changes in significance were identified.\nTo assess the robustness of the findings against potential statistical artifacts arising from missing value imputation and clustering model variability, a seed-based sensitivity analysis was conducted. In addition to the main analysis performed with a fixed random seed (seed = 42), 20 independent iterations of the imputation and clustering were run using seeds ranging from 0 to 19, allowing for evaluation of the influence of stochastic elements in the imputation process and the potential risk of overfitting in GMM clustering. The number of clusters was held constant, matching the value selected in the main analysis. Clustering consistency was evaluated by computing the Adjusted Rand Index (ARI) between each seed-based solution and the main clustering. To assess the reproducibility of inferential results, the primary LMM interaction tests with all covariates included for the entire timeline, treatment effect, and symptom return intervals, and the supplementary cross-sectional ANCOVA for treatment effects (V3-V1) and symptom return (V4-V3) were repeated for each iteration. All data analyses and visualization were performed using custom Python code with assistance from ChatGPT (OpenAI, CA, United States).\n\n\n### Results\nOf the 197 participants of the original study, 147 participants were included in the EMA analysis, after excluding individuals with no records for 14 or more consecutive days after their first entry, with a total of 4 or fewer recorded days, and with low baseline depression levels (≤13 on BDI or ≤6 on MADRS). Among the 147 participants included, 30 participants dropped out at V3, and 12 dropped out at V4, resulting in 105 participants who completed the final study phase, corresponding to a completion rate of 71.4%. Detailed information on participant numbers and attrition by group and study phase is provided in the Supplementary Material.\nThe common reasons for dropout include withdrawal of consent, medical issues, protocol violations, and loss to follow-up. The attrition at V3 and V4 was mostly not significantly associated with baseline depression levels (BDI and MADRS) or covariates, but they were significantly related to the occurrence of adverse events during tDCS (Ps < .004). Logistic regression models including baseline BDI/MADRS and covariates predicted attrition at V3 (P = .030, Nagelkerke R2 = .275) but not at V4 (P = .218). When tDCS adverse events were excluded, the models became insignificant for both V3 and V4 (Ps > .158), indicating the limited effects of attrition without the adverse events during tDCS.\nFor the daily EMA data, the proportion of missing cells for mood and sleep data was 34.6% during the first 30 days following the initial entry. Across all 51 days, only Days 16, 20, and 41 rejected the missing completely at random (MCAR) hypothesis in Little’s MCAR test (Ps < .05), indicating that the missing data can generally be considered random. However, across the 51-day EMA period, missing data of mood and sleep items tended to be associated with tDCS-related adverse events on 23 and 19 days, respectively. Additionally, higher years of education were also linked to lower response rates for sleep items, particularly after the third week (12 days). The logistic regression models, including baseline BDI/MADRS and covariates, significantly predicted missingness for mood on 20 days and for sleep on 17 days (Ps < .05), suggesting potential systematic bias in missing data. Nevertheless, the number of significant models considerably dropped after excluding tDCS adverse events (Ps < .05 for 8 and 6 days, respectively), indicating that the effects of other factors than tDCS adverse events are minimal, and the risk of bias due to missing data may be limited if the impact of tDCS adverse events is adequately controlled.\nClustering was conducted using GMM based on the features (mean, min, max, slope, volatility, autocorrelation, and decay) extracted from the imputed daily mood and sleep data. To determine the optimal number of clusters (k) for GMM, BIC, and 5-fold CV, log-likelihood was computed for values of k ranging from 1 to 10. The BIC reached its minimum at k = 3, whereas the mean CV log-likelihood was highest at k = 1. Considering both criteria and visual inspection of the BIC and CV curves (Figure 1), a 3-cluster solution was selected to balance model complexity and generalization performance.\nBayesian Information Criterion and 5-fold cross-validation scores by the number of clusters (k).\nEach participant was assigned to clusters based on their MAP probability under the selected 3-cluster GMM solution. Of the 147 analyzed participants, 85 participants were assigned to Cluster 0, followed by 52 to Cluster 1 and 10 to Cluster 2. There were no significant differences across clusters in any covariates, including demographic characteristics, tDCS-related factors, or mental/physical health factors, although years of education and comorbid mental disorders exhibited marginally significant differences between clusters (Table 1). Notably, the EMA completion and dropout rates significantly differed between clusters, indicating that missingness was not evenly distributed across clusters.\nDemographics and covariates across clusters.\nNote: aP< .05, bP<.10. For household income, 3 in Cluster 0 and one in Cluster 1 provided no answer, which were coded 0. Abbreviations: tDCS, transcranial direct current stimulation; ANOVA, analysis of variance; 6WA, 6-week active; EMA, ecological momentary assessment.\nTable 2 presents the differences in the distribution of extracted feature values across clusters. Cluster 0 exhibited the lowest variability in both mood and sleep, reflecting the most stable response patterns to tDCS. Cluster 1 showed the highest levels of daily depressive mood along with the shortest sleep durations, indicating that this cluster is showing the highest depressive symptoms accompanied by sleep disturbance. In contrast, Cluster 2 showed highly variable sleep durations as well as depressive mood, indicating pronounced fluctuations in emotional and behavioral states.\nCluster-level profiles of mood and sleep features.\n*\nP < .05. P-values are based on between-group one-way ANOVA with imputed data. Grouping letters are based on Tukey HSD post-hoc tests: clusters sharing at least one common letter indicate no significant differences (adjusted P ≥ .05), whereas clusters sharing no letters in common indicate significant differences (adjusted P < .05). For example, the letter “ab” indicates no significant differences from both “a” and “b,” although the “a” and “b” are significantly different from each other. Mood features are based on the Center for Epidemiologic Studies Depression Scale – Revised (CESD-R) items (higher scores indicate depressive symptoms). Sleep features are based on the self-reported sleep duration in minutes.\nTo identify detailed feature profiles based on daily trajectories, cluster-specific response patterns were examined and illustrated using the raw daily EMA data for mood and sleep (Figure 2). Cluster 0, representing the most common response pattern to tDCS, showed gradually decreasing depressive mood scores over time alongside stable sleep durations. In contrast, Cluster 1 maintained persistently high depressive mood and short sleep durations across the treatment period. Cluster 2 exhibited marked daily fluctuations in both mood and sleep, possibly suggesting volatile response patterns.\nDaily trajectories of depressive mood scale and sleep duration across clusters. Based on raw (non-imputed) daily ecological momentary assessment scores with participants assigned to their respective clusters. Solid lines denote the cluster-specific daily means, and vertical bars indicate ± 1 standard error of the mean. The asterisks (*) at the top indicate significant between-group differences for each day based on one-way analysis of variance. Daggers (†), double daggers (‡), and section signs (§) denote significant pairwise differences in Tukey Honest Significant Difference post-hoc tests for Clusters 0 vs 1, 0 vs 2, and 1 vs 2, respectively.\nIn the primary analysis with all covariates included, the Time × Cluster interaction effects for the entire timeline identified by LRTs of LMM were significant for BDI and marginally significant for MADRS, χ2(4) = 13.48, P = .009, χ2(4) = 9.17, P = .057, respectively. Looking at the treatment and symptom return timelines separately, the interaction effect during the treatment interval (V1, V3) with all covariates included was significant for BDI and marginally significant for MADRS [χ2(2) = 10.24, P = .006 and χ2(2) = 4.64, P = .098, respectively]. The interaction effect during the symptom return interval (V3, V4) was significant both BDI and MADRS [χ2(2) = 9.56, p = .008 and χ2(2) = 7.46, P = .024, respectively].\nTable 3 summarizes the distribution of BDI and MADRS scores across each time point and the treatment effect and symptom return based on the score changes, as well as the results of between-cluster ANCOVA assessed for each time point. Consistent with the feature profiles, Cluster 1 exhibited the highest BDI and MADRS scores at V1, V3, and V4. The immediate treatment efficacy assessed at the end of tDCS administration was most pronounced in Cluster 2, although the difference reached statistical significance for BDI but not for MADRS. Notably, Cluster 2 also demonstrated a return of symptoms in both BDI and MADRS at 12 weeks post-treatment, indicating a higher return rate than other clusters.\nCluster-level differences in depressive symptomatology (BDI and MADRS) across time points\nNote: *P < .05. P-values are based on between-group one-way ANCOVA for each timeline. Grouping letters are based on Tukey HSD post-hoc tests: clusters sharing at least one common letter indicate no significant differences (adjusted P ≥ .05), whereas clusters sharing no letters in common indicate significant differences (adjusted P < .05). For example, the letter “ab” indicates no significant differences from both “a” and “b,” although the “a” and “b” are significantly different from each other. Missing values for BDI and MADRS were handled by pairwise deletion. Covariates: sex, age, year of education, household income, tDCS group, tDCS adverse events, concomitant psychotropics, comorbid mental disorders, smoking, drinking. Abbreviations: BDI, Beck Depression Inventory; MADRS, Montgomery–Åsberg Depression Rating Scale.\nThe Time × Cluster interaction effects in the single-covariate LMMs for the full timeline, which were significant for BDI and marginally significant for MADRS in the primary analysis, remained significant across all 10 covariates entered independently for BDI (Ps < .009). For MADRS, 5 of the 10 single-covariate models were significant at P < .05. Covariates associated with significant interaction effects when entered independently included sex, age, years of education, tDCS group (6WA vs 3WA), and drinking, whereas the remaining covariates yielded trend-level interaction effects consistent with the primary analysis (Ps < .054). For the treatment interval (V1, V3), all single-covariate models were significant for BDI (Ps < .007) and marginally significant for MADRS (Ps < .094), indicating no changes in inference relative to the primary analysis. For the symptom return interval (V3, V4), the single-covariate interaction effects were significant across all covariates for both BDI (Ps < .009) and MADRS (Ps < .024).\nTo assess the influence of potential statistical artifacts arising from missing value imputation of the EMA features and clustering model variability, a seed-based sensitivity analysis was performed by repeating the imputation and clustering 20 times using seeds ranging from 0 to 19 in addition to the main seed of 42. Across 18 of the 20 runs, the mean ARI score relative to the reference seed solution was 0.80 (SD = 0.04), with 2 seeds (7 and 18) yielding markedly low agreement (ARI = 0.28 and 0.19). For the interaction effects that were significant in the main analysis—specifically, the entire timeline (BDI), treatment efficacy (BDI), and symptom return (BDI, MADRS)—LRTs of LMMs revealed that 53.8% of the corresponding tests remained significant across all 20 seeds and 58.3% remained significant when excluding the 2 low-agreement seeds. The supplementary cross-sectional ANCOVA for the significant between-cluster effects of treatment efficacy (BDI) and symptom return (BDI, MADRS) revealed that 73.3% and 81.5% of the corresponding tests remained significant across all seeds and 18 high-agreement seeds, respectively. The results suggest that although the current findings are generally robust to covariate specification and the stochastic characteristics of the imputation and clustering procedures, the instability observed in a minority of iterations and moderate sensitivity of statistical significance to cluster assignment variability underscore the potential for unstable clustering solutions under some variations.\n\n\n### Participants and sample characteristics\nOf the 197 participants of the original study, 147 participants were included in the EMA analysis, after excluding individuals with no records for 14 or more consecutive days after their first entry, with a total of 4 or fewer recorded days, and with low baseline depression levels (≤13 on BDI or ≤6 on MADRS). Among the 147 participants included, 30 participants dropped out at V3, and 12 dropped out at V4, resulting in 105 participants who completed the final study phase, corresponding to a completion rate of 71.4%. Detailed information on participant numbers and attrition by group and study phase is provided in the Supplementary Material.\nThe common reasons for dropout include withdrawal of consent, medical issues, protocol violations, and loss to follow-up. The attrition at V3 and V4 was mostly not significantly associated with baseline depression levels (BDI and MADRS) or covariates, but they were significantly related to the occurrence of adverse events during tDCS (Ps < .004). Logistic regression models including baseline BDI/MADRS and covariates predicted attrition at V3 (P = .030, Nagelkerke R2 = .275) but not at V4 (P = .218). When tDCS adverse events were excluded, the models became insignificant for both V3 and V4 (Ps > .158), indicating the limited effects of attrition without the adverse events during tDCS.\n\n\n### Missing data analysis\nFor the daily EMA data, the proportion of missing cells for mood and sleep data was 34.6% during the first 30 days following the initial entry. Across all 51 days, only Days 16, 20, and 41 rejected the missing completely at random (MCAR) hypothesis in Little’s MCAR test (Ps < .05), indicating that the missing data can generally be considered random. However, across the 51-day EMA period, missing data of mood and sleep items tended to be associated with tDCS-related adverse events on 23 and 19 days, respectively. Additionally, higher years of education were also linked to lower response rates for sleep items, particularly after the third week (12 days). The logistic regression models, including baseline BDI/MADRS and covariates, significantly predicted missingness for mood on 20 days and for sleep on 17 days (Ps < .05), suggesting potential systematic bias in missing data. Nevertheless, the number of significant models considerably dropped after excluding tDCS adverse events (Ps < .05 for 8 and 6 days, respectively), indicating that the effects of other factors than tDCS adverse events are minimal, and the risk of bias due to missing data may be limited if the impact of tDCS adverse events is adequately controlled.\n\n\n### Descriptive and demographic profiles of GMM-derived clusters\nClustering was conducted using GMM based on the features (mean, min, max, slope, volatility, autocorrelation, and decay) extracted from the imputed daily mood and sleep data. To determine the optimal number of clusters (k) for GMM, BIC, and 5-fold CV, log-likelihood was computed for values of k ranging from 1 to 10. The BIC reached its minimum at k = 3, whereas the mean CV log-likelihood was highest at k = 1. Considering both criteria and visual inspection of the BIC and CV curves (Figure 1), a 3-cluster solution was selected to balance model complexity and generalization performance.\nBayesian Information Criterion and 5-fold cross-validation scores by the number of clusters (k).\nEach participant was assigned to clusters based on their MAP probability under the selected 3-cluster GMM solution. Of the 147 analyzed participants, 85 participants were assigned to Cluster 0, followed by 52 to Cluster 1 and 10 to Cluster 2. There were no significant differences across clusters in any covariates, including demographic characteristics, tDCS-related factors, or mental/physical health factors, although years of education and comorbid mental disorders exhibited marginally significant differences between clusters (Table 1). Notably, the EMA completion and dropout rates significantly differed between clusters, indicating that missingness was not evenly distributed across clusters.\nDemographics and covariates across clusters.\nNote: aP< .05, bP<.10. For household income, 3 in Cluster 0 and one in Cluster 1 provided no answer, which were coded 0. Abbreviations: tDCS, transcranial direct current stimulation; ANOVA, analysis of variance; 6WA, 6-week active; EMA, ecological momentary assessment.\n\n\n### Feature profiles\nTable 2 presents the differences in the distribution of extracted feature values across clusters. Cluster 0 exhibited the lowest variability in both mood and sleep, reflecting the most stable response patterns to tDCS. Cluster 1 showed the highest levels of daily depressive mood along with the shortest sleep durations, indicating that this cluster is showing the highest depressive symptoms accompanied by sleep disturbance. In contrast, Cluster 2 showed highly variable sleep durations as well as depressive mood, indicating pronounced fluctuations in emotional and behavioral states.\nCluster-level profiles of mood and sleep features.\n*\nP < .05. P-values are based on between-group one-way ANOVA with imputed data. Grouping letters are based on Tukey HSD post-hoc tests: clusters sharing at least one common letter indicate no significant differences (adjusted P ≥ .05), whereas clusters sharing no letters in common indicate significant differences (adjusted P < .05). For example, the letter “ab” indicates no significant differences from both “a” and “b,” although the “a” and “b” are significantly different from each other. Mood features are based on the Center for Epidemiologic Studies Depression Scale – Revised (CESD-R) items (higher scores indicate depressive symptoms). Sleep features are based on the self-reported sleep duration in minutes.\nTo identify detailed feature profiles based on daily trajectories, cluster-specific response patterns were examined and illustrated using the raw daily EMA data for mood and sleep (Figure 2). Cluster 0, representing the most common response pattern to tDCS, showed gradually decreasing depressive mood scores over time alongside stable sleep durations. In contrast, Cluster 1 maintained persistently high depressive mood and short sleep durations across the treatment period. Cluster 2 exhibited marked daily fluctuations in both mood and sleep, possibly suggesting volatile response patterns.\nDaily trajectories of depressive mood scale and sleep duration across clusters. Based on raw (non-imputed) daily ecological momentary assessment scores with participants assigned to their respective clusters. Solid lines denote the cluster-specific daily means, and vertical bars indicate ± 1 standard error of the mean. The asterisks (*) at the top indicate significant between-group differences for each day based on one-way analysis of variance. Daggers (†), double daggers (‡), and section signs (§) denote significant pairwise differences in Tukey Honest Significant Difference post-hoc tests for Clusters 0 vs 1, 0 vs 2, and 1 vs 2, respectively.\n\n\n### Cluster-wide changes in BDI and MADRS\nIn the primary analysis with all covariates included, the Time × Cluster interaction effects for the entire timeline identified by LRTs of LMM were significant for BDI and marginally significant for MADRS, χ2(4) = 13.48, P = .009, χ2(4) = 9.17, P = .057, respectively. Looking at the treatment and symptom return timelines separately, the interaction effect during the treatment interval (V1, V3) with all covariates included was significant for BDI and marginally significant for MADRS [χ2(2) = 10.24, P = .006 and χ2(2) = 4.64, P = .098, respectively]. The interaction effect during the symptom return interval (V3, V4) was significant both BDI and MADRS [χ2(2) = 9.56, p = .008 and χ2(2) = 7.46, P = .024, respectively].\nTable 3 summarizes the distribution of BDI and MADRS scores across each time point and the treatment effect and symptom return based on the score changes, as well as the results of between-cluster ANCOVA assessed for each time point. Consistent with the feature profiles, Cluster 1 exhibited the highest BDI and MADRS scores at V1, V3, and V4. The immediate treatment efficacy assessed at the end of tDCS administration was most pronounced in Cluster 2, although the difference reached statistical significance for BDI but not for MADRS. Notably, Cluster 2 also demonstrated a return of symptoms in both BDI and MADRS at 12 weeks post-treatment, indicating a higher return rate than other clusters.\nCluster-level differences in depressive symptomatology (BDI and MADRS) across time points\nNote: *P < .05. P-values are based on between-group one-way ANCOVA for each timeline. Grouping letters are based on Tukey HSD post-hoc tests: clusters sharing at least one common letter indicate no significant differences (adjusted P ≥ .05), whereas clusters sharing no letters in common indicate significant differences (adjusted P < .05). For example, the letter “ab” indicates no significant differences from both “a” and “b,” although the “a” and “b” are significantly different from each other. Missing values for BDI and MADRS were handled by pairwise deletion. Covariates: sex, age, year of education, household income, tDCS group, tDCS adverse events, concomitant psychotropics, comorbid mental disorders, smoking, drinking. Abbreviations: BDI, Beck Depression Inventory; MADRS, Montgomery–Åsberg Depression Rating Scale.\n\n\n### Sensitivity analysis\nThe Time × Cluster interaction effects in the single-covariate LMMs for the full timeline, which were significant for BDI and marginally significant for MADRS in the primary analysis, remained significant across all 10 covariates entered independently for BDI (Ps < .009). For MADRS, 5 of the 10 single-covariate models were significant at P < .05. Covariates associated with significant interaction effects when entered independently included sex, age, years of education, tDCS group (6WA vs 3WA), and drinking, whereas the remaining covariates yielded trend-level interaction effects consistent with the primary analysis (Ps < .054). For the treatment interval (V1, V3), all single-covariate models were significant for BDI (Ps < .007) and marginally significant for MADRS (Ps < .094), indicating no changes in inference relative to the primary analysis. For the symptom return interval (V3, V4), the single-covariate interaction effects were significant across all covariates for both BDI (Ps < .009) and MADRS (Ps < .024).\nTo assess the influence of potential statistical artifacts arising from missing value imputation of the EMA features and clustering model variability, a seed-based sensitivity analysis was performed by repeating the imputation and clustering 20 times using seeds ranging from 0 to 19 in addition to the main seed of 42. Across 18 of the 20 runs, the mean ARI score relative to the reference seed solution was 0.80 (SD = 0.04), with 2 seeds (7 and 18) yielding markedly low agreement (ARI = 0.28 and 0.19). For the interaction effects that were significant in the main analysis—specifically, the entire timeline (BDI), treatment efficacy (BDI), and symptom return (BDI, MADRS)—LRTs of LMMs revealed that 53.8% of the corresponding tests remained significant across all 20 seeds and 58.3% remained significant when excluding the 2 low-agreement seeds. The supplementary cross-sectional ANCOVA for the significant between-cluster effects of treatment efficacy (BDI) and symptom return (BDI, MADRS) revealed that 73.3% and 81.5% of the corresponding tests remained significant across all seeds and 18 high-agreement seeds, respectively. The results suggest that although the current findings are generally robust to covariate specification and the stochastic characteristics of the imputation and clustering procedures, the instability observed in a minority of iterations and moderate sensitivity of statistical significance to cluster assignment variability underscore the potential for unstable clustering solutions under some variations.\n\n\n### Discussion\nThis study presents a pioneering approach that integrates EMA-based daily assessments of mood and sleep with tDCS to typologize response patterns across distinct patient characteristics, highlighting differences in tDCS efficacy and the degree of symptom recurrence following treatment discontinuation. Using GMM clustering on summary features derived from daily EMA trajectories, 3 distinct response types were identified: (1) a stable improvement type, characterized by stable (low-volatility) depressive mood and sleep duration; (2) a persistent high-symptom type, marked by consistently elevated depressive mood and restricted sleep duration, as shown in its mean scores; and (3) a volatile symptom type, exhibiting pronounced fluctuations (volatility) in both mood and sleep over time along with high overall (mean) sleep duration. The volatile symptom type, relative to the others, demonstrated substantial initial treatment effects but also a significant return of symptoms during follow-up, a pattern broadly consistent with previous reports in treatment-resistant and bipolar depression.17,18,20 The clustering results remained generally robust to covariate specification and the stochasticity in the imputation and clustering processes, although some instability was observed in the sensitivity analysis.\nThis study employed real-world, data-driven analysis to explore patient response profiles to tDCS, laying the groundwork for tailored treatment protocols within a patient-centered, transdiagnostic framework. If treatment-response trajectories to tDCS can be fully characterized based on our findings, this could enable optimized stimulation settings, including decisions on continuation, supplementation, or integration of parallel interventions, based on predicted outcomes. This can facilitate a closed-loop neuromodulation system that dynamically monitors patient status and adjusts treatment parameters without continuous therapist input.31–33 The integrated framework, combining tDCS, mobile EMA, and machine learning, serves as a prototype for precision psychiatry, offering a scalable model for the collection, analysis, and application of behavioral and physiological data.34,35 The same architecture can be extended to other modalities, such as psychopharmacology and psychotherapy, to build comprehensive, personalized treatment portfolios in the future.\nAmong the identified response types in this study, stable improvement was the most common tDCS response pattern, comprising more than half of the participants. This cluster appears to reflect uncomplicated unipolar depression without prominent melancholic, atypical, or bipolar features. Characterized by relatively mild-to-moderate symptoms and robust clinical gains with tDCS, this group is known to have the most favorable treatment effects of tDCS.18,19,36 The second type showed persistent high symptoms throughout the treatment period despite ongoing tDCS, which accounted for approximately 35% of the sample. This cluster resembles treatment-resistant, relatively more symptomatic depression, a profile that typically shows reduced responsiveness to tDCS.18,19 This group may also include the melancholic subtype of depression, as sleep disturbances are known to be one of the common symptoms of this subtype.37 Also, in the current study, this cluster showed the highest V1 scores across clusters on items indicating melancholic profiles such as BDI-4 (loss of pleasure; 2.21 ± 0.93 vs 1.88 ± 0.76 in Cluster 0 and 1.90 ± 0.88 in Cluster 2), MADRS-8 (inability to feel; 3.12 ± 1.49 vs 2.87 ± 1.53 in Cluster 0 and 2.50 ± 1.65 in Cluster 2), and MADRS-1 (apparent sadness; 3.27 ± 1.01 vs 2.85 ± 1.11 in Cluster 0 and 2.70 ± 1.16 in Cluster 2), although most between-cluster differences did not reach statistical significance with the exception of BDI-4 (P = .047). This subtype may have difficulty responding to tDCS, as impaired plasticity in the DLPFC and rigid high-beta connectivity system may hinder the effects of the stimulation.38,39 Nevertheless, in this study, the persistent high-symptom group did derive benefit from tDCS and did not show symptom recurrence during the follow-up period.\nThe final type represents a volatile symptom profile, which was also observed among 5%-15% of the participants in a previous study that clustered treatment response trajectories for depression using sociodemographic, physical health, personality, and treatment-related characteristics.23 This type also likely corresponds to depression with mixed features, characterized by an agitated mood and the co-occurrence of depressive and (hypo)manic symptoms.11 The current study also supports this type’s potential link to mixed features, as this cluster showed the highest V1 scores on BDI-11 (agitation; 1.70 ± 0.95 vs 1.09 ± 0.93 in Cluster 0 and 1.46 ± 0.91 in Cluster 1) and BDI-17 (irritability; 1.90 ± 0.99 vs 1.07 ± 0.83 in Cluster 0 and 1.62 ± 0.99 in Cluster 1); Ps < .029. Research suggests that approximately 7.5% of all depression cases are classified as the mixed features type under DSM-5 criteria, which aligns with the proportion observed in the current sample, although this figure increases to 29% when using the Research-Based Diagnostic Criteria.40 Because of their marked mood and sleep lability and bipolar-spectrum traits,11,41,42 this group may exhibit reduced and less durable responses to tDCS, with an elevated risk of symptom relapse.17,43 The symptom return shown in this cluster may reflect instability within cortico-limbic and default-mode network circuits: lower phase synchronization across brain regions has been associated with poorer remission after tDCS.44 In addition, evidence of impaired synaptic plasticity in bipolar disorder could blunt the neuroplasticity-dependent effects of tDCS, which can also explain the limited long-term benefit in this subtype.45\nThe current results, if confirmed by future studies, are expected to contribute to the advancement of precision psychiatry, which aims to deploy guidelines and tools for diagnosis, treatment selection, and prognosis by leveraging individual, data-driven profiles.34 The response profiles identified here could be translated into a clinical decision-support system for psychiatrists and tDCS clinical staff, providing actionable information on patients’ response trajectories and anticipated treatment effectiveness and/or relapse risk, thereby supporting ongoing monitoring and optimized treatment decisions.46–48 Ultimately, this framework could be extended toward a closed-loop neuromodulation system that adaptively adjusts stimulation parameters based on patient states and biomarkers.32,33,49 Although most current closed-loop neuromodulation approaches rely primarily on biological signals,32 incorporating longitudinal symptom-response data into closed-loop tDCS may further enhance the clinical utility of precision neuromodulation.\nDespite these implications, this study also has several limitations. First, the clustering relied on summary features of longitudinal response trajectories rather than modeling the time series directly. Applying longitudinal clustering methods, such as Growth Mixture Modeling, could help address this limitation. Also, the sample size is relatively small to adequately detect the full range of tDCS response patterns in cases of depression. Although a previous study identifying treatment response patterns by clustering data from patients with depression yielded 7 distinct clusters across multiple datasets comprising 1826 participants,23 the current study extracted 3 clusters with only 147 participants. Notably, the volatile symptom type included only 10 participants, a number likely insufficient to reliably extract stable EMA-based response features. Larger samples are needed to validate these findings and to identify additional response subtypes that may not have emerged due to limited statistical power.\nSecond, the impact of missing values warrants caution. The EMA dataset had a substantial proportion of missing values, exceeding 30%, which were handled using imputation algorithms based on multiple assumptions. Moreover, the rate of missing EMA cells differed across clusters, indicating that the impact of missingness may affect differentially across clusters. Although various tests and adjustments were employed to minimize bias, imputation may nonetheless have distorted the results, as shown in the sensitivity analysis with seed alteration. Indeed, many participants (particularly in Clusters 1 and 2) exhibited negative min values on the mood scale post-imputation, which are not possible in the original scoring system. Nevertheless, the distinct response patterns identified in this study may remain valid, as distinct response patterns were also observed in the non-imputed daily trajectory data.\nFinally, this study did not differentiate between the randomized groups (6WA vs 3WA) in the main analysis. We pooled all participant data for the analyses regardless of intervention assignment, as no significant differences were observed in the overall treatment effects of tDCS between groups [n = 147; BDI V3–V1: –7.31 ± 12.19 vs –9.76 ± 9.74, P = .248; MADRS V3–V1: –6.87 ± 9.44 vs –5.92 ± 9.98, P = .601], the distribution of participants across clusters did not differ by group, and randomization status was included as a covariate in the main analysis. However, aggregating the intervention groups may still result in missing subtle group-specific effects, particularly given the limited sample size and statistical power. Therefore, further studies should account for potential heterogeneity in the response patterns to tDCS, which may include individual time-series or dose–response trajectories or interaction terms between stimulation parameters and participant characteristics. Future research with larger datasets and refined analytical approaches is necessary to precisely characterize individual treatment responses, which will advance the personalized, data-driven neuromodulation strategies for precision medicine.", "domain": "affective_neuroscience"}
{"source": "PMC13097944", "title": "Independent and joint associations of depressive symptoms and social isolation on trajectories of functional disability among middle-aged and older adults", "text": "# Independent and joint associations of depressive symptoms and social isolation on trajectories of functional disability among middle-aged and older adults\n\n## Abstract\nWith accelerating population aging in China, functional disability has become a major health problem among middle-aged and older adults. Previous research has shown that depressive symptoms and social isolation are associated with the occurrence and development of functional disability. However, less is known about the independent and joint associations of depressive symptoms, social isolation, and functional disability trajectories among middle-aged and older Chinese adults. A total of 5639 participants aged 45 + were obtained from the China Health and Retirement Longitudinal Study (CHARLS). In 2011 (baseline), depressive symptoms were measured using the 10-item Center for Epidemiologic Studies Depression Scale (CESD-10); social isolation was assessed via four dimensions (marital status, residence, social engagement, frequency of contact with children). Functional disability was measured using the activities of daily living and instrumental activities of daily living. Participants with 2011 (baseline) data and at least 1 reassessment of functional disability during follow-ups (2013, 2015, 2018, and 2020) were included. Group-Based Trajectory Modeling (GBTM) identified trajectories of functional disability over 9 years of follow-up (2011–2020). Multinomial logistic regression models explored the independent and joint associations of depressive symptoms and social isolation with these trajectories. Four trajectories of functional disability were identified: low (56.04%), moderate (33.82%), high (6.30%), and worsening (3.85%). Independent effects of depressive symptoms and social isolation were significant across all trajectories, with the strongest impacts observed in the high trajectory group: depressive symptoms (Relative Risk [RR] = 3.99, 95% confidence intervals [CI] = 2.92–5.47) and social isolation (RR = 2.11, 95%CI = 1.54–2.89). Participants with both depressive symptoms and social isolation had higher risks for the moderate (RR = 2.85, 95%CI = 2.25–3.62) and the high trajectory groups (RR = 7.52, 95%CI = 4.79–11.81) compared to those without depressive symptoms and social isolation. This study found that participants with depressive symptoms and social isolation were at a higher risk of experiencing trajectories of moderate and high functional disability, providing new insights into prevention strategies. The online version contains supplementary material available at 10.1186/s13690-026-01894-3.\n\n## Full Text\n\n\n### Background\nChina is home to the largest aging population worldwide, accounting for one-fifth of the global older population [1]. In 2019, there were 254 million people aged 60 and above in China, a number projected to rise to 402 million by 2040, approximately 28% of the national population [2]. This rapid demographic shift presents mounting public health challenges, particularly concerning functional disability, a common and debilitating condition in later life. The most commonly used measures of functional ability are Activities of Daily Living (ADLs) and Instrumental Activities of Daily Living (IADLs). ADLs refer to the daily activities necessary for basic survival (such as eating and dressing), while IADLs involve more complex tasks (such as cooking and shopping). National data show that 23.8% of older Chinese adults have ADLs, and 35.4% have difficulties with IADLs [3]. Considering functional disability often begins with the loss of IADLs and ends with the loss of ADLs, it’s important to identify functional disability as a whole to better reflect the burden of functional disability [4]. By 2030, the number of individuals with functional disability is expected to increase by around 30 million compared to 2020, with a relative increase of nearly one-quarter [5], with approximately 140,200 more people requiring care [6], underscoring the urgent need for preventive strategies in China.\nFunctional disability is influenced by a range of modifiable risk factors, including living alone [7], social isolation [8], suicidal ideation [9], hearing loss [10], obesity [11], and depressive symptoms [12]. Depressive symptoms, often an early sign of clinical depression, are strongly associated with functional disability [13] and show a bidirectional relationship with it [14]. Longitudinal studies have found that middle-aged and older adults experiencing depressive symptoms are at a higher risk for worsening functional disability [15], potentially due to reduced physical activity [13] and diminished social engagement [16]. Another meta-analysis and scoping review also confirmed these findings [17]. More and more evidence shows that social isolation can affect many aspects of health, including disability [18], cognitive impairment [19], and death [20].\nWhile the independent effects of depressive symptoms and social isolation on functional disability are well documented, their combined impact is not well understood. Depressive symptoms and social isolation, as important and potentially modifiable risk factors, frequently co-occur and may interact in a reinforcing cycle. Depressive symptoms can erode social connections, while isolation may intensify emotional distress by reducing access to social support [21]. Research shows that stronger social networks are associated with fewer depressive symptoms and lower levels of functional disability [22]. However, studies that focus only on independent effects may not reveal the additional burden that arises when their combined exposure. Biologically, depressive symptoms are linked to elevated cortisol and pro-inflammatory cytokines [23], while social isolation has similarly been associated with increased cortisol levels [24]. This common physiological and pathological mechanism, such as HPA axis dysfunction [25] and chronic inflammation [25], provides a biological basis for the joint effects, suggesting that their combined exposure may lead to greater disorders of the neuroendocrine and immune systems, which in turn aggravate functional disability. Psychosocial interventions, such as cognitive behavioral therapy, have demonstrated efficacy in reducing both perceived isolation and depressive symptoms [26]. Given the potential synergy between the two factors, investigating their joint effects is essential for identifying vulnerable subpopulations and guiding targeted interventions.\nTo fill these research gaps, this present study applied Group-Based Trajectory Modeling (GBTM) to identify heterogeneous trajectories of functional disability over nine years [27]. Furthermore, we examined the independent and joint association of depressive symptoms and social isolation with trajectories of functional disability, and whether these associations differed by age and sex.\n\n\n### Methods\nData were obtained from the China Health and Retirement Longitudinal Study (CHARLS), a nationally representative, longitudinal cohort survey targeting individuals aged 45 and older. Respondents were recruited from 150 county-level and 450 village-level sampling units across China. The baseline survey was conducted in 2011, with follow-up waves administered every 2–3 years through face-to-face interviews.\nAs illustrated in Fig. 1, data from five survey waves spanning from 2011 (baseline) to 2020 (wave 5) were utilized for the present analysis. In 2011 (baseline), a total of 17,596 participants were included. Exclusion criteria were applied as follows: (1) age < 45 years (n = 173); (2) participants with missing data on functional disability in 2011 (n = 6215); (3) participants with missing data on social isolation (n = 4255); (4) participants with missing data on depressive symptoms (n = 353); and (5) participants with missing information on functional disability across the four follow-up waves (n = 961). Using these selection criteria, a total of 5639 participants were included in the study.\nFig. 1Flowchart of the study population\nFlowchart of the study population\nIn 2011 (baseline), depressive symptoms were assessed using the 10-item Center for Epidemiological Studies Depression scale (CESD-10), which has been documented to have excellent reliability and validity in CHARLS [28]. The total CESD-10 score ranged from 0 to 30, with higher scores indicating more severe depressive symptoms. Consistent with the prior literature, a CESD-10 score ≥ 10 was used to define the presence of depressive symptoms, while scores < 10 were categorized as indicating the absence of depressive symptoms [29].\nSocial isolation was measured in 2011 (baseline) using a composite index based on four self-reported indicators: (1) marital status (unmarried, including separated, divorced, widowed, or never married); (2) infrequent contact with children (less than one per week via in-person visits, phone calls, text messages, mail, or email); (3) no participation in any social activities (e.g., socializing with friends, attending community organizations, playing chess/cards, doing charity work, or engaging in clubs); and (4) rural residency [30]. One point was assigned for each indicator present, yielding a total score ranging from 0 to 4, with higher scores reflecting greater social isolation. Participants were classified as social isolation (score ≥ 2) and non-social isolation (score < 2) [31].\nFunctional disability was assessed using standardized measures of both ADLs [32] and IADLs [33], adapted from the Katz Index and the Lawton Scale, respectively. ADLs included six basic self-care tasks: dressing, bathing, eating, transferring (getting in/out of bed), toileting, and continence, ranging from 0 to 6. IADLs included five tasks: housework, meal preparation, grocery shopping, medication management, and financial management, with scores ranged from 0 to 5. Accordingly, the overall functional disability score ranged from 0 to 11. Each item was rated on a four-point scale: (1) no difficulty; (2) some difficulty but able to perform; (3) needs help; and (4) unable to perform. For analytic purposes, functional disability was dichotomized: participants reporting “no difficulty” were coded as 0 (no disability), whereas any degree of difficulty or inability to perform the task was coded as 1 (disability) [8].\nBaseline covariates included as follows: age (continuous), sex (female and male), education level (≥ 6 years and < 6 years), health behaviors, and health status. Health behaviors, including smoking status (current smokers and non-current smokers, the latter encompassing both never and former smokers) [34], and drinking status was grouped into two categories: regular drinkers (≥ 3 times/week) and non-regular drinkers (< 3 times/week). Three indicators of health status were measured: chronic diseases (hypertension, dyslipidemia, diabetes/high blood sugar, cancer/malignant tumor, chronic lung diseases, liver disease, heart attack, stroke, kidney disease, stomach or other digestive diseases, emotional, nervous, or psychiatric problems, memory-related disease, arthritis or rheumatism, asthma) were obtained by asking participants if a doctor had ever told them that they had been diagnosed with the conditions mentioned above. Body mass index (BMI) was calculated as weight (kg) divided by height squared (m²). Self-reported health, a subjective indicator of general health, was categorized as normal (good or very good) or abnormal (fair, poor, or very poor) [35].\nAll statistical analyses were performed using Stata version 18.0. Trajectories of functional disability over five waves (2011, 2013, 2015, 2018, and 2020) were identified using GBTM via the traj plug-in in Stata, a semi-parametric, censored normal model that effectively captures unobserved heterogeneity in longitudinal data and has been widely validated for its statistical robustness [36]. Specifically, the traj plug-in considers occasional missingness across waves as MAR and includes those participants in the analysis. The optimal number and shape of trajectory groups were determined based on the following criteria: (1) minimization of the absolute Bayesian Information Criterion (BIC) value; (2) average posterior probability (AvePP) ≥ 70% for each group; and (3) clinical and conceptual interpretability of the identified patterns [27].\nDescriptive statistics were used to summarize baseline characteristics. Continuous variables were shown as means with standard deviations (SD), while categorical variables were represented as frequencies and percentages. One-way analysis of variance (ANOVA) was utilized for continuous variables, and chi-square (χ²) tests for categorical variables in order to evaluate group differences in baseline characteristics.\nMultivariable logistic regression models were employed to assess the independent and joint effects of depressive symptoms and social isolation on the trajectories of functional disability.\nStratified analysis by age and sex was predefined based on its established correlation as a potential effect modifier in clinical and epidemiological studies. Conducting these subgroup analyses was not contingent on the statistical significance of multiplicative interaction terms, because the performance of multiplicative interaction tests was limited, and providing clinical interpretation based on the estimates of specific subgroups. Results are presented as RR with 95%CI. A two-sided P-value of < 0.05 was considered statistically significant.\n\n\n### Study design and participants\nData were obtained from the China Health and Retirement Longitudinal Study (CHARLS), a nationally representative, longitudinal cohort survey targeting individuals aged 45 and older. Respondents were recruited from 150 county-level and 450 village-level sampling units across China. The baseline survey was conducted in 2011, with follow-up waves administered every 2–3 years through face-to-face interviews.\nAs illustrated in Fig. 1, data from five survey waves spanning from 2011 (baseline) to 2020 (wave 5) were utilized for the present analysis. In 2011 (baseline), a total of 17,596 participants were included. Exclusion criteria were applied as follows: (1) age < 45 years (n = 173); (2) participants with missing data on functional disability in 2011 (n = 6215); (3) participants with missing data on social isolation (n = 4255); (4) participants with missing data on depressive symptoms (n = 353); and (5) participants with missing information on functional disability across the four follow-up waves (n = 961). Using these selection criteria, a total of 5639 participants were included in the study.\nFig. 1Flowchart of the study population\nFlowchart of the study population\n\n\n### Depressive symptoms\nIn 2011 (baseline), depressive symptoms were assessed using the 10-item Center for Epidemiological Studies Depression scale (CESD-10), which has been documented to have excellent reliability and validity in CHARLS [28]. The total CESD-10 score ranged from 0 to 30, with higher scores indicating more severe depressive symptoms. Consistent with the prior literature, a CESD-10 score ≥ 10 was used to define the presence of depressive symptoms, while scores < 10 were categorized as indicating the absence of depressive symptoms [29].\n\n\n### Social isolation\nSocial isolation was measured in 2011 (baseline) using a composite index based on four self-reported indicators: (1) marital status (unmarried, including separated, divorced, widowed, or never married); (2) infrequent contact with children (less than one per week via in-person visits, phone calls, text messages, mail, or email); (3) no participation in any social activities (e.g., socializing with friends, attending community organizations, playing chess/cards, doing charity work, or engaging in clubs); and (4) rural residency [30]. One point was assigned for each indicator present, yielding a total score ranging from 0 to 4, with higher scores reflecting greater social isolation. Participants were classified as social isolation (score ≥ 2) and non-social isolation (score < 2) [31].\n\n\n### Functional disability\nFunctional disability was assessed using standardized measures of both ADLs [32] and IADLs [33], adapted from the Katz Index and the Lawton Scale, respectively. ADLs included six basic self-care tasks: dressing, bathing, eating, transferring (getting in/out of bed), toileting, and continence, ranging from 0 to 6. IADLs included five tasks: housework, meal preparation, grocery shopping, medication management, and financial management, with scores ranged from 0 to 5. Accordingly, the overall functional disability score ranged from 0 to 11. Each item was rated on a four-point scale: (1) no difficulty; (2) some difficulty but able to perform; (3) needs help; and (4) unable to perform. For analytic purposes, functional disability was dichotomized: participants reporting “no difficulty” were coded as 0 (no disability), whereas any degree of difficulty or inability to perform the task was coded as 1 (disability) [8].\n\n\n### Covariates\nBaseline covariates included as follows: age (continuous), sex (female and male), education level (≥ 6 years and < 6 years), health behaviors, and health status. Health behaviors, including smoking status (current smokers and non-current smokers, the latter encompassing both never and former smokers) [34], and drinking status was grouped into two categories: regular drinkers (≥ 3 times/week) and non-regular drinkers (< 3 times/week). Three indicators of health status were measured: chronic diseases (hypertension, dyslipidemia, diabetes/high blood sugar, cancer/malignant tumor, chronic lung diseases, liver disease, heart attack, stroke, kidney disease, stomach or other digestive diseases, emotional, nervous, or psychiatric problems, memory-related disease, arthritis or rheumatism, asthma) were obtained by asking participants if a doctor had ever told them that they had been diagnosed with the conditions mentioned above. Body mass index (BMI) was calculated as weight (kg) divided by height squared (m²). Self-reported health, a subjective indicator of general health, was categorized as normal (good or very good) or abnormal (fair, poor, or very poor) [35].\n\n\n### Statistical analysis\nAll statistical analyses were performed using Stata version 18.0. Trajectories of functional disability over five waves (2011, 2013, 2015, 2018, and 2020) were identified using GBTM via the traj plug-in in Stata, a semi-parametric, censored normal model that effectively captures unobserved heterogeneity in longitudinal data and has been widely validated for its statistical robustness [36]. Specifically, the traj plug-in considers occasional missingness across waves as MAR and includes those participants in the analysis. The optimal number and shape of trajectory groups were determined based on the following criteria: (1) minimization of the absolute Bayesian Information Criterion (BIC) value; (2) average posterior probability (AvePP) ≥ 70% for each group; and (3) clinical and conceptual interpretability of the identified patterns [27].\nDescriptive statistics were used to summarize baseline characteristics. Continuous variables were shown as means with standard deviations (SD), while categorical variables were represented as frequencies and percentages. One-way analysis of variance (ANOVA) was utilized for continuous variables, and chi-square (χ²) tests for categorical variables in order to evaluate group differences in baseline characteristics.\nMultivariable logistic regression models were employed to assess the independent and joint effects of depressive symptoms and social isolation on the trajectories of functional disability.\nStratified analysis by age and sex was predefined based on its established correlation as a potential effect modifier in clinical and epidemiological studies. Conducting these subgroup analyses was not contingent on the statistical significance of multiplicative interaction terms, because the performance of multiplicative interaction tests was limited, and providing clinical interpretation based on the estimates of specific subgroups. Results are presented as RR with 95%CI. A two-sided P-value of < 0.05 was considered statistically significant.\n\n\n### Results\nTable 1 presents descriptive data across four trajectories of functional disability. Compared with the low trajectory group, the moderate, high, and worsening trajectory groups exhibited several distinct features. They had a higher mean age, a higher proportion of females, a higher prevalence of lower education level (≤ 6 years), an increased prevalence of chronic disease, poorer self-reported health, and elevated rates of smoking and alcohol consumption. Additionally, these groups reported a higher incidence of depressive symptoms and social isolation.\nTable 1Baseline characteristics of participants across four trajectory groups of functional disability (n = 5639)CharacteristicsTrajectory GroupP-valueLow(n = 3160)Moderate(n = 1907)High(n = 355)Worsening(n = 217)Age (years), Mean (SD)58.58 ± 9.1363.26 ± 10.1267.65 ± 10.4667.71 ± 8.98< 0.001Sex< 0.001 Male1466 (46.42)734 (38.53)141 (39.72)95 (43.78) Female1692 (53.58)1171 (61.47)214 (60.28)122 (56.22)Education level< 0.001 ≤ 6 years > 6 years2073 (65.60)1087 (34.40)1551 (81.33)356 (18.67)308 (86.76)47 (13.24)192 (88.89)24 (11.11)Chronic disease< 0.001 No858 (28.42)317 (17.39)35 (10.35)40 (18.87) Yes2161 (71.58)1506 (82.61)300 (89.55)172 (81.13)Body mass index, Mean (SD)23.64 ± 3.7523.26 ± 3.8522.87 ± 3.9523.84 ± 4.03< 0.001Self-reported health< 0.001 normal abnormal1450 (45.89)1710 (54.11)606 (31.78)1301 (68.22)63 (17.75)292 (82.25)78 (35.94)139 (64.06)Smoking0.001 Non-current smokers953 (30.16)498 (26.11)79 (28.13)56 (25.81) Current smokers2207 (69.84)1409 (73.89)276 (77.75)161 (74.19)Drinking0.005 Non-regular drinkers374 (12.36)172 (9.39)28 (8.33)22 (10.73) Regular drinkers2651(87.64)1660 (90.61)308 (91.67)183 (89.27)Depressive symptoms< 0.001 No2820(89.24)1492 (78.24)217 (61.13)175 (80.65) Yes340 (10.76)415 (21.76)138 (38.87)42 (19.35)Social isolation< 0.001 No1492 (46.27)664 (34.82)91 (25.63)83 (38.25) Yes1698 (53.73)1243 (65.18)264 (74.37)134 (61.75)The continuous data are presented as Mean (SD) or frequencies (%). Categorical variables were based on χ² tests and continuous variables with ANOVASD standard deviation\nBaseline characteristics of participants across four trajectory groups of functional disability (n = 5639)\n≤ 6 years\n> 6 years\n2073 (65.60)\n1087 (34.40)\n1551 (81.33)\n356 (18.67)\n308 (86.76)\n47 (13.24)\n192 (88.89)\n24 (11.11)\nnormal\nabnormal\n1450 (45.89)\n1710 (54.11)\n606 (31.78)\n1301 (68.22)\n63 (17.75)\n292 (82.25)\n78 (35.94)\n139 (64.06)\nThe continuous data are presented as Mean (SD) or frequencies (%). Categorical variables were based on χ² tests and continuous variables with ANOVA\nSD standard deviation\nAs shown in Table S1, GBTM identified an optimal four-trajectory model based on the lowest absolute BIC and AvePP ≥ 70% of all trajectory groups. Figure 2 illustrates the descriptive results of the heterogeneous trajectories of functional disability over time. The low trajectory group (n = 3160, 56.04%) indicated participants who maintained low and stable functional disability scores; the moderate trajectory group (n = 1907, 33.82%) indicated participants who maintained moderate functional disability scores with slow progression; the high trajectory group (n = 355, 6.30%) indicated a state of persistent severe functional disability; and the worsening trajectory group (n = 217, 3.85%) indicated a sharp deterioration in functional disability, with functional disability scores rising rapidly from low/moderate levels to the highest level.\nFig. 2The trajectory of functional disability from 2011 to 2020. The solid line represents predicted mean of functional disability score over time, and the dashed line represents 95%CI\nThe trajectory of functional disability from 2011 to 2020. The solid line represents predicted mean of functional disability score over time, and the dashed line represents 95%CI\nIn analyzing the independent effects of depressive symptoms and social isolation on different functional disability trajectories, a distinct pattern emerged. For depressive symptoms, the risk in the high trajectory group was notably elevated compared to the low trajectory group (RR = 3.99, 95%CI = 2.92–5.47). The relative risk of social isolation also increased with functional disability severity (RR = 2.11, 95%CI = 1.54–2.89). Overall, depressive symptoms and social isolation independently heightened functional disability risk, with depressive symptoms showing a more pronounced effect on trajectories (Table 2).\nTable 2Independent and joint associations of social isolation and depressive symptoms on different functional disability trajectory groupsVariablesTrajectory GroupModerate vs. LowHigh vs. LowWorsening vs. LowIndependent effect No DS, no SIRef.Ref.Ref. DS alone1.97 (1.63-2.37)**3.99 (2.92-5.47)**1.92 (1.28-2.86)** SI alone1.55 (1.34-1.78)**2.11 (1.54-2.89)**1.39 (1.01-1.92)Joint effect No DS, no SIRef.Ref.Ref. Have DS, no SI1.87 (1.35-2.59)**5.28 (2.96-9.45)**1.88 (0.91-3.89) No DS, have SI1.49 (1.28-1.75)**2.24 (1.52-3.30)**1.35 (0.95-1.93) Have DS, have SI2.85 (2.25-3.62)**7.52 (4.79-11.81)**2.51 (1.51-4.18)**Model: multivariable-adjusted, including age, sex, education level, chronic disease, body mass index, self-reported health, smoking, drinkingDS depressive symptoms, SI social isolation**P<0.001\nIndependent and joint associations of social isolation and depressive symptoms on different functional disability trajectory groups\nModel: multivariable-adjusted, including age, sex, education level, chronic disease, body mass index, self-reported health, smoking, drinking\nDS depressive symptoms, SI social isolation\n**P<0.001\nTable 2 demonstrates the joint effects of depressive symptoms and social isolation on the trajectory of functional disability. The co-occurrence of depressive symptoms and social isolation significantly increases the risk of progression toward functional disability. Compared to unexposed individuals, those with both depressive symptoms and social isolation had higher risks for moderate (RR = 2.85, 95%CI = 2.25–3.62), high (RR = 7.52, 95%CI = 4.79–11.81), and worsening functional disability trajectories (RR = 2.51, 95%CI = 1.51–4.18). These joint effects exceeded single exposures, highlighting the need for integrated interventions targeting co-occurring social and emotional health risks. The multiplicative interactions of age (P = 0.598) and sex (P = 0.384) with the independent variables were not statistically significant. However, the result of the stratified analysis is still of interest, among adults aged 45–59, those with both depressive symptoms and social isolation had a much higher risk of functional disability (RR = 3.10, 95%CI = 2.22–4.33) than those aged 60 and older (RR = 2.37, 95%CI = 1.70–3.30). The risk for women with both depressive symptoms and social isolation was also greater (RR = 3.18, 95%CI = 2.33–4.33) versus men (RR = 2.36, 95%CI = 1.61–3.48) (Fig. S1).\nThe predictive ability of depressive symptoms and social isolation on functional disability trajectories was assessed using a Receiver Operating Characteristic Curve (ROC) (Fig. 3). The results indicated that the model demonstrated the strongest discriminative ability for the high functional disability trajectory group (Area Under Curve, AUC = 0.784), which was consistent with the high relative risk ratio of combined depressive symptoms and social isolation exposure in the multinomial Logit model (RR = 7.52, 95%CI = 4.79–11.81). In addition, the AUC for the low and worsening trajectory groups was 0.722 and 0.709, respectively, both indicating moderate diagnostic value. Notably, the moderate functional disability trajectory group had the lowest AUC (AUC = 0.638), suggesting that the independent variables had limited ability to differentiate the moderate from other trajectory groups effectively. The solid line in the figure represents random prediction (AUC = 0.5), whereas the solid model curve and its 95% confidence interval indicate that the combination of depressive symptoms and social isolation significantly outperformed random prediction in identifying high-risk populations.\nFig. 3Predictive performance of depressive symptoms and social isolation for functional disability trajectories\nPredictive performance of depressive symptoms and social isolation for functional disability trajectories\nFour sensitivity analyses were performed by repeated analysis to test the robustness of the study. All sensitivity analyses yielded similar findings with the main results: (1) sample repeat analysis using complete data for all covariates; (2) multiple interpolation replacements using chain equations for missing values of independent variables and missing values of covariates to create 25 interpolated datasets, which explore association stability after addressing data missingness. Results showed that the independent and joint effects remained statistically significant in the moderate, high, and worsening trajectory groups. The joint associations of depressive symptoms and social isolation yielded the highest relative risk for the high trajectory group (RR = 4.63, P < 0.001); (3) social isolation was defined by three dimensions of unmarried, social participation, frequency of contact with children, and set as dichotomous variables [37], to verify sensitivity to the definition of independent variables. Even with a redefined measure, the joint associations were still remarkably significant (RR = 5.91, P < 0.001 for high vs. low trajectory), and (4) three repeated assessments of functional disability were ensured [38], which validates whether associations hold with more rigorous repeated measurements. The joint associations of depressive symptoms and social isolation for the moderate (RR = 2.74, P < 0.001) and high trajectory groups remained highly significant (RR = 7.49, P < 0.001) (Tables S2).\n\n\n### Sensitivity analyses\nFour sensitivity analyses were performed by repeated analysis to test the robustness of the study. All sensitivity analyses yielded similar findings with the main results: (1) sample repeat analysis using complete data for all covariates; (2) multiple interpolation replacements using chain equations for missing values of independent variables and missing values of covariates to create 25 interpolated datasets, which explore association stability after addressing data missingness. Results showed that the independent and joint effects remained statistically significant in the moderate, high, and worsening trajectory groups. The joint associations of depressive symptoms and social isolation yielded the highest relative risk for the high trajectory group (RR = 4.63, P < 0.001); (3) social isolation was defined by three dimensions of unmarried, social participation, frequency of contact with children, and set as dichotomous variables [37], to verify sensitivity to the definition of independent variables. Even with a redefined measure, the joint associations were still remarkably significant (RR = 5.91, P < 0.001 for high vs. low trajectory), and (4) three repeated assessments of functional disability were ensured [38], which validates whether associations hold with more rigorous repeated measurements. The joint associations of depressive symptoms and social isolation for the moderate (RR = 2.74, P < 0.001) and high trajectory groups remained highly significant (RR = 7.49, P < 0.001) (Tables S2).\n\n\n### Discussion\nThis study is the first to examine the independent and joint effects of depressive symptoms and social isolation on long-term functional disability trajectories, identifying four distinct patterns using GBTM. Both depressive symptoms and social isolation were independently associated with increased risk of adverse functional disability trajectories. However, the deterioration in functional disability was more pronounced among participants with depressive symptoms alone, compared to those who experienced social isolation alone. This discrepancy may indicate that depressive symptoms act as a proximal driver of functional disability progression in the identified group. Alternatively, social isolation may exert a nonlinear threshold effect, whereby its detrimental impact becomes evident only after a certain duration or intensity of exposure. Moreover, individuals experiencing both depressive symptoms and social isolation had significantly higher risks of progressing to moderate and high functional disability trajectories than those with either risk factor alone. This highlights the compounding adverse effects of their co-occurrence.\nDepressive symptoms and social isolation exhibit a complex bidirectional relationship. Prior studies showed that middle-aged and older adults with depressive symptoms often exhibited elevated levels of C-reactive protein [39], TC/HDL-C ratio, and HbA1c, which are biomarkers associated with systemic inflammation and metabolic dysregulation [40]. These physiological disturbances may impair prefrontal synaptic plasticity, leading to cognitive biases central to depression, such as heightened sensitivity to negative stimuli [41]. Neurobiologically, this is reflected in the hyperactivity of subcortical emotional regions (e.g., amygdala) alongside impaired top-down regulation from the prefrontal cortex [42], increasing emotional reactivity and subsequent social withdrawal. In turn, social isolation exacerbates functional decline by undermining the reciprocal relationship between social engagement and physical health. It is linked to adverse outcomes, including mortality [20], dementia, stroke [43], cardiovascular disease [43], cognitive impairment [44], and functional disability [45]. Experimental studies in animals have demonstrated that isolation can reduce allopregnanolone (ALLO-a neurosteroid associated with stress regulation) synthesis in corticolimbic circuits. Human studies further showed reduced ALLO levels in individuals with depression, suggesting a potential feedback loop of social withdrawal and heightened threat perception.\nMoreover, long-term isolation induces evolutionarily conserved neuroplastic changes. For example, in rodents, isolation upregulates the Tac2 gene [46], which modulates stress and aggression through the Nk3R receptor pathway. Similar findings have been observed in social insects, such as bumblebees, which show isolation leads to altered neural development and behavioral variability, reinforcing the heterogeneity that isolation impairs functional maintenance via conserved neurobiological pathways [47]. While these mechanisms require further validation in human populations, cross-species evidence robustly supports the neurobiological foundations of the social isolation-disability link.\nIncreasing evidence suggests that depressive symptoms and social isolation mutually reinforce each other [21]. Individuals with depressive symptoms are more likely to lose social ties over time, while social isolation, characterized by a lack of emotional and instrumental support, may erode self-efficacy and disrupt health behaviors, further exacerbating depressive symptoms [48]. This feedback loop can accelerate the decline in functional capacity, particularly in individuals exposed to both risk factors simultaneously.\nThese findings have critical implications for targeted interventions across functional disability trajectories. For the low-risk group, technology-enhanced interventions, such as digital therapeutics and community-based engagement, can enhance social connectedness and promote healthy behaviors. Programs like the Act-Belong-Commit campaign offer scalable models for mental health promotion [49]. The moderate-risk group would benefit from community-based cognitive behavioral therapy aligned with the World Health Organization’s Integrated Care for Older People framework, focusing on social participation, stress management, and resilience-building [50]. For individuals on high-risk trajectories, multidisciplinary care involving rehabilitation specialists, psychotherapists, and social workers is essential for developing personalized, value-aligned care plans. Integrated strategies addressing both depressive symptoms and social isolation are imperative across all groups. Psychological counseling and peer support networks can mitigate distress and promote reintegration, thereby slowing the progression of disability. These interventions should address both behavioral and structural determinants of aging-related decline.\nThis study leverages a nationally representative sample with repeated measures over nine years, offering robust insights into the dynamic interplay between depressive symptoms, social isolation, and trajectories of functional disability. However, several limitations of this study should be acknowledged. First, the exclusive focus on a Chinese cohort necessitates cross-cultural validation using datasets such as the U.S. Health and Retirement Study. Second, family structures rooted in Confucian values may buffer the adverse effects of social isolation, highlighting the need to incorporate household dynamics into future models. Third, self-reported measures of social isolation are prone to recall bias. Future research should adhere to the Transparent Reporting of a Multivariable Prediction Model for Individual Prognosis or Diagnosis (TRIPOD) guidelines and leverage artificial intelligence to enhance model transparency and predictive performance [51]. Incorporating wearable technologies can further improve the objective assessment of social engagement and functional status. Finally, multi-omics approaches are needed to elucidate the gene-environment interactions underlying the functional disability trajectories. Our primary analyses focused on multiple interactions and hierarchical analysis using GBTM. Additive interaction indicators (such as the relative excess risk due to interaction (RERI) may provide more valuable insights into joint associations, but estimating risk ratios directly was outside the scope of our research. Future studies should explore these indicators.\n\n\n### Public health implications\nThese findings have critical implications for targeted interventions across functional disability trajectories. For the low-risk group, technology-enhanced interventions, such as digital therapeutics and community-based engagement, can enhance social connectedness and promote healthy behaviors. Programs like the Act-Belong-Commit campaign offer scalable models for mental health promotion [49]. The moderate-risk group would benefit from community-based cognitive behavioral therapy aligned with the World Health Organization’s Integrated Care for Older People framework, focusing on social participation, stress management, and resilience-building [50]. For individuals on high-risk trajectories, multidisciplinary care involving rehabilitation specialists, psychotherapists, and social workers is essential for developing personalized, value-aligned care plans. Integrated strategies addressing both depressive symptoms and social isolation are imperative across all groups. Psychological counseling and peer support networks can mitigate distress and promote reintegration, thereby slowing the progression of disability. These interventions should address both behavioral and structural determinants of aging-related decline.\n\n\n### Strengths and limitations\nThis study leverages a nationally representative sample with repeated measures over nine years, offering robust insights into the dynamic interplay between depressive symptoms, social isolation, and trajectories of functional disability. However, several limitations of this study should be acknowledged. First, the exclusive focus on a Chinese cohort necessitates cross-cultural validation using datasets such as the U.S. Health and Retirement Study. Second, family structures rooted in Confucian values may buffer the adverse effects of social isolation, highlighting the need to incorporate household dynamics into future models. Third, self-reported measures of social isolation are prone to recall bias. Future research should adhere to the Transparent Reporting of a Multivariable Prediction Model for Individual Prognosis or Diagnosis (TRIPOD) guidelines and leverage artificial intelligence to enhance model transparency and predictive performance [51]. Incorporating wearable technologies can further improve the objective assessment of social engagement and functional status. Finally, multi-omics approaches are needed to elucidate the gene-environment interactions underlying the functional disability trajectories. Our primary analyses focused on multiple interactions and hierarchical analysis using GBTM. Additive interaction indicators (such as the relative excess risk due to interaction (RERI) may provide more valuable insights into joint associations, but estimating risk ratios directly was outside the scope of our research. Future studies should explore these indicators.\n\n\n### Conclusions\nOur findings indicated that middle-aged and older adults experiencing both depressive symptoms and social isolation face a significantly increased risk of progression into moderate and high functional disability trajectories over 9 years. These findings underscore the urgent need for integrated interventions targeting both psychosocial factors to prevent or delay functional decline.\n\n\n### Supplementary Information\nSupplementary Material 1.\nSupplementary Material 1.", "domain": "affective_neuroscience"}
{"source": "PMC13097463", "title": "Resting neuroendocrine markers in relation to acute mental stress‐induced adrenergic reactivity profiles in adults: The SABPA study", "text": "# Resting neuroendocrine markers in relation to acute mental stress‐induced adrenergic reactivity profiles in adults: The SABPA study\n\n## Abstract\nStress‐induced hemodynamic reactivity was categorized as predominant alpha (α)‐ and beta (β)‐adrenergic reactivity profiles. Within these profiles, we investigated resting neuroendocrine markers, their associations with hemodynamic reactivity, and odds of an α‐ or β‐adrenergic reactivity profile. We included 375 teachers (20–65 years) and recorded one‐minute beat‐to‐beat hemodynamic reactivity during Stroop‐Color‐Word‐Conflict‐test. We categorized α‐responders [lowest‐quartile ∆%CO, ∆%Cwk; n = 49], β‐responders [highest‐quartile ∆%CO, ∆%Cwk; n = 69], mixed‐α/β‐responders [remaining n = 257]. Baseline fasting serum adrenocorticotropic hormone (ACTH), cortisol, urinary norepinephrine‐to‐creatinine (u‐NE/Cr), and epinephrine‐to‐creatinine (u‐EPI/Cr) ratios were measured. Predominant α‐responders were older with greater hypertension prevalence than other responders. In α‐responders, u‐NE/Cr inversely, and ACTH and cortisol positively associated with ∆%CO and ∆%Cwk (all p ≤ 0.044). In β‐responders, u‐NE/Cr positively associated with ∆%CO, u‐EPI/Cr inversely with ∆%CO, and positively with ∆%Cwk (all p ≤ 0.045). Odds of an α‐profile were higher with u‐NE/Cr, ACTH, and cortisol in the highest‐quartile (all p ≤ 0.004). Odds of a β‐profile were higher with u‐NE/Cr in the highest‐quartile and ACTH and cortisol in the lowest‐quartile (all p ≤ 0.006). Predominant α‐responders exhibited higher u‐NE/Cr, ACTH, and cortisol, suggesting vascular risk through peripheral vasoconstriction. Predominant β‐responders showed higher u‐NE/Cr only, suggesting adaptive cardiac performance via catecholaminergic drive. These findings reveal distinct neuroendocrine underpinnings with implications for personalized acute stress cardiovascular phenotyping. A grapical summary of predominant alpha and beta repsonders' neuroendocrine profile in the SABAP cohort.\n\n## Full Text\n\n\n### INTRODUCTION\nAcute mental stress evokes hemodynamic reactivity responses characterized by stressor‐induced changes in heart rate (HR), stroke volume (SV), cardiac output (CO), blood pressure (BP), Windkessel arterial compliance (Cwk) and total peripheral resistance (TPR) (Williams, 1986). These hemodynamic responses are essential for the human body's adaptation to acute mental stress as they may aid in rapid adjustments in both cardiovascular and metabolic function to meet the increased demands imposed by stress (Ginty et al., 2017). Additionally, acute stress responses measured in a controlled clinical environment can be translated to the psychophysiological reactions observed in everyday stressful situations, particularly concerning cortisol (Steptoe, 1985). Within specific ethnic groups, previous studies have also linked individual components of the hemodynamic stress response (e.g., TPR and SV reactivity) to distinct indicators of cardiovascular disease (CVD) risk (Huisman et al., 2013; van Rooyen et al., 2002).\nAcute mental stress‐induced hemodynamic reactivity response patterns are the result of a combination of alpha (α)‐ and/or beta (β)‐adrenergic receptor activation which is evoked by the autonomic nervous system (ANS) and the co‐activation of the physiologically interdependent sympatho‐adrenal‐medullary (SAM) and hypothalamic–pituitary–adrenal (HPA) axes (McEwen, 2007; Wadsworth et al., 2019). Evidence from the literature also suggests that neuroendocrine markers, including norepinephrine (NE), epinephrine (EPI), adrenocorticotropic hormone (ACTH), and cortisol are involved in the activation of these stress pathways (Godoy et al., 2018; Smith & Vale, 2006). While most studies have focused on individual hemodynamic reactivity parameters (Light et al., 1993; Light et al., 1994; Matthews et al., 2004), it may be more informative to investigate comprehensive adrenergic‐hemodynamic reactivity profiles. This approach offers a unique opportunity to more accurately characterize the hemodynamic stress response in its entirety.\nWe previously stratified a bi‐ethnic South African cohort into specific categories based on hemodynamic reactivity which reflect either a predominant α‐adrenergic reactivity profile, defined by the lowest quartile values of both cardiac output reactivity (∆%CO) and Windkessel arterial compliance reactivity (∆%Cwk), or a predominant β‐adrenergic reactivity profile, defined by the highest quartile values of both ∆%CO and ∆%Cwk (Wentzel et al., 2025). These adrenergic‐hemodynamic reactivity profiles may also inform CVD risk assessments, as previous work from our group showed that the predominant α‐ and β‐adrenergic reactivity profiles were associated with higher odds of several cardiovascular risk factors (Wentzel et al., 2025). However, also in our previous study, we did not include a mixed‐α/β‐adrenergic reactivity profile which would be advantageous to gain insights into the most prevalent hemodynamic reactivity response pattern in a study population. Whilst previous studies have acknowledged the complex interplay of the ANS and SAM‐ and HPA‐axes in the regulation of the acute stress response, and building on recent findings from our group, we aimed to investigate the specific manner in which classic neuroendocrine markers reflecting both SAM and HPA activity are associated with either a predominant α‐adrenergic, predominant β‐adrenergic, or mixed‐α/β‐adrenergic reactivity profile in humans.\nWe expected to observe unique associations between resting neuroendocrine markers and hemodynamic reactivity parameters within each adrenergic‐hemodynamic reactivity profile. In predominant α‐adrenergic responders, we hypothesized that NE will inversely associate with ∆%CO, which could reflect peripheral vasoconstrictive dominance (Motiejunaite et al., 2021) while ACTH and cortisol will positively associate with ∆%CO as cortisol may permissively potentiate NE functioning (Yang & Zhang, 2004). In predominant β‐adrenergic responders, positive associations of NE and EPI with ∆%CO and ∆%Cwk could be observed, which might signify enhanced cardiac performance and vascular compliance during stress (Goldstein, 2006). These unique relationships between neuroendocrine markers and adrenergic‐hemodynamic reactivity profiles are therefore important to investigate, as they enable us to gain a better understanding of the physiological foundation of each acute mental stress‐induced adrenergic reactivity profile. Therefore, in a South African cohort stratified by different adrenergic‐hemodynamic reactivity profiles, we aimed to (1) compare resting levels of neuroendocrine markers [urinary norepinephrine‐to‐creatinine ratio (u‐NE/Cr), urinary epinephrine‐to‐creatinine ratio (u‐EPI/Cr), serum ACTH and cortisol levels], (2) assess associations between neuroendocrine markers and hemodynamic reactivity parameters, and (3) determine the odds of neuroendocrine markers relating to a predominant adrenergic‐hemodynamic reactivity profile.\n\n\n### MATERIALS AND METHODS\nThe study protocol of the Sympathetic activity and Ambulatory Blood Pressure in Africans (SABPA) prospective target population study is well‐described elsewhere and comprises a baseline and three‐year follow‐up phase (Malan et al., 2015). The baseline data collection phase took place from February to May during 2008 and 2009. For the current study, we included the baseline sample, consisting of urban‐dwelling Black and White South African male and female teachers (aged 20–65 years) from the Dr. Kenneth Kaunda education district in the North West province of South Africa (N = 409). These individuals were selected from a similar working environment, ensuring comparable socioeconomic status and educational background. Exclusion criteria of the original SABPA study included pregnant and/or lactating women, tympanic temperature >37.5°C, vaccination and blood donation within three months prior to data collection and individuals using psychotropic substances and/or α‐/β‐blockers. Participants with missing data for resting neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, serum ACTH, and cortisol) and hemodynamic reactivity parameters (∆%SBP, ∆%DBP, ∆%TPR, ∆%HR, ∆%SV, ∆%CO, ∆%Cwk) were additionally excluded (n = 34). The final study sample (N = 375) was grouped into three categories according to distinct adrenergic‐hemodynamic reactivity profiles as previously defined (Wentzel et al., 2025) (please also refer to Section 2.8).\nThe SABPA study complied with the Declaration of Helsinki of 1975 (revised 2004) for investigations involving human participants and was approved by the Health Research Ethics Committee of North‐West University (NWU‐00036‐07‐A6). All procedures, benefits and possible risks related to the study were explained to the participants in their preferred home language and their written informed consent was obtained before participation. The current investigation also adhered to the updated South African Department of Health's guidelines on Ethics in Health Research in human participants (2024).\nData collection took place over a 2‐day period. Early on the morning of the first day, participants were fitted with an ambulatory blood pressure monitor (ABPM) device at their respective schools. At approximately 16:30, the participants were transported to the Metabolic Unit research facility of North‐West University for an overnight stay. Upon their arrival, they were familiarized with the experimental setup, after which they completed the questionnaires and received pre‐counseling for HIV/AIDS. At dinner time, the participants were provided with a standardized meal and instructed to fast overnight, with encouragement to go to bed by 22:00. At 05:45 the next morning, the ABPM device was removed and fasting urine samples collected over eight hours were obtained. Participants rotated between stations for various anthropometric and cardiovascular measurements, biological sampling, and acute mental stress testing procedures (using the Finometer and Stroop‐Color‐Word‐Conflict [Stroop‐CWC] test). After completing all measurements, they received post‐counseling for HIV/AIDS and immediate feedback on their health status. They were then thanked for their participation, given the opportunity to shower and have breakfast, and subsequently transported back to their respective schools.\nAfter all study procedures were explained, participants completed the questionnaires in a private clinical research environment within the Metabolic Unit research facility at North‐West University. Before receiving a standardized dinner, they provided demographic and general health information, including age, sex, ethnicity, family history, lifestyle factors (such as self‐reported smoking and alcohol use), medication usage, and medical history.\nAll anthropometric measurements were taken by registered level II anthropometrists. Body height was determined to the nearest 0.1 cm using a stadiometer (Invicta stadiometer, IP 1465, Invicta Plastics Ltd., Leicester, UK) while body weight was measured to the nearest 0.1 kg with a standardized calibrated digital electronic scale (Precision Health Scale; A&D Company, Tokyo, Japan). Thereafter, body mass index (BMI) was calculated as body weight (in kg) divided by the square of body height (m2). Waist circumference (WC) was measured to the nearest 0.1 cm with a non‐extensible and flexible 7 mm‐wide metal anthropometric tape (Holtain, Croswell, Wales) at the midpoint between the lower costal rib and the iliac crest, perpendicular to the long axis of the trunk.\nThe Cardiotens CE120® (Meditech, Budapest, Hungary), which was fitted with a suitable cuff size to the non‐dominant arm of each participant, was used to measure 24‐h ambulatory systolic (SBP) and diastolic (DBP) blood pressure. At approximately 08:00 on the first day of data collection, the validated ABPM device was fitted to the participants at their respective schools. The device was programmed to measure BP at 30‐min intervals during the day (08:00–22:00) and every hour during nighttime (22:00–06:00). The mean successful inflation rate over the 24‐h period was 74.1 ± 10.3% (Schutte et al., 2015). The 24‐h mean arterial pressure (MAP) was calculated as 23DBP+13SBP. Participants continued with their normal daily activities and recorded any abnormalities such as headache or nausea on their diary cards. The ABPM device was removed from the participants at 05:45 on the second day of data collection. The data was subsequently analyzed by means of the CardioVisions 1.19 Personal Edition Software (Meditech®). The current investigation defined hypertensive status as 24‐h ABPM SBP ≥130 mmHg and/or 24‐h ABPM DBP ≥80 mmHg and/or being on anti‐hypertensive medication, including angiotensin‐converting enzyme inhibitors, angiotensin II antagonists, thiazides/diuretics, and calcium‐channel blockers. This definition is derived from the 2020 International Society of Hypertension global hypertension practice guidelines according to average 24‐h ABPM readings (Unger et al., 2020).\nFasting cardiovascular measurements were continuously and non‐invasively assessed throughout acute mental stress testing using the validated Finometer device (Finapres Medical Systems®, Amsterdam, The Netherlands) (Guelen et al., 2008; Schutte et al., 2003, 2004). A five‐minute recording of each participant's beat‐to‐beat BP was taken after the participants were lying in a resting semi‐recumbent position for 30 min. After the first two minutes of this recording, a return‐to‐flow systolic calibration was performed to provide an individual subject‐level adjustment of the finger arterial pressure with brachial artery pressure. The highest precision in cardiovascular measurements is achieved only after this calibration, ensuring the BP measurements meet the standards of the Association for the Advancement of Medical Instrumentation. An additional resting period of five to ten minutes was provided to allow resting BP values to stabilize, after which the acute mental stress task (Stroop‐CWC test) was administered for one minute.\nThe Stroop‐CWC test was used to assess acute mental stress‐induced cardiovascular and neuroendocrine reactivity responses (Stroop, 1935) in which physiological changes characteristic of sympathoadrenal activation were evoked (Tulen et al., 1989). This stressor has demonstrated reproducibility in cardiovascular reactivity over both a two‐hour (Freyschuss et al., 1988) and a one‐month (Fauvel et al., 1996) period. Furthermore, the Stroop‐CWC test assesses the degree of cognitive interference control by inducing a mental conflict between incongruent colors and the meaning of printed words (e.g., the word “GREEN” printed in purple). This one‐minute procedure was administered by an independent observer who maintained a neutral facial expression while correcting incorrect responses and encouraging faster reactions. To motivate participants to perform well during the Stroop‐CWC test, they received monetary incentives based on their performance.\nThe average of the last three minutes of the resting recordings and the average of the last 20–30 s of the stressor recordings were used in data analyses to establish true baseline and reactivity observations. The Beat‐Scope version 1.1a software package (Finapres Measurement Systems) was used to calculate an integrated age‐dependent aortic flow curve from the surface area beneath the pressure/volume curve. This calculation determined SV, CO, TPR, and Cwk of the small and large arteries. Maximum cardiovascular reactivity of each hemodynamic parameter was calculated by first subtracting the resting values from the plateau values obtained during stress application and then calculating the percentage change (∆%) of each parameter.\nThe hemodynamic pattern related to α‐adrenergic predominance during acute stress exposure reflects elevated TPR and DBP with lower CO and Cwk which promotes peripheral vasoconstriction for vascular control (Kasprowicz et al., 1990; Sherwood & Turner, 1995; van Rooyen et al., 2002; Wentzel et al., 2019). In contrast, the hemodynamic pattern associated with β‐adrenergic predominance is characterized by heightened CO via increased HR and SV, thus reflecting myocardial activation for active coping (Kasprowicz et al., 1990; Sherwood & Turner, 1995; van Rooyen et al., 2002; Wentzel et al., 2019). Given that the hallmark hemodynamic patterns related to predominant α‐ and β‐adrenergic reactivity responses have previously been identified, we applied a quartile‐based mode of stratification to produce clearly defined dichotomized groups, i.e., predominant α‐ and β‐adrenergic responder groups, which were previously published (Wentzel et al., 2025). The predominant α‐adrenergic reactivity profile was therefore defined by the lowest quartile values of both ∆%CO and ∆%Cwk (n = 49) while the predominant β‐adrenergic reactivity profile was defined by the highest quartile values of both ∆%CO and ∆%Cwk (n = 69). The remainder of the study population was defined as the mixed‐α/β‐adrenergic reactivity profile (n = 257). We used both ∆%CO and ∆%Cwk as primary classification variables for adrenergic reactivity profiles, via hemodynamic patterns, firstly due to their combined hemodynamic relevance. Cardiac output is determined as the product of HR and SV (Frank, 1895) and serves as a key determinant of SBP (Vest, 2019). Additionally, Windkessel compliance measures the artery's ability to expand or relax in response to cardiac contraction in large and small arteries (Brar, 2016). This reflects the classic two‐element Windkessel model which describes the hemodynamics of the arterial system in terms of Cwk and TPR (Frank, 1895, 1899) and Poiseuille's law (Westerhof et al., 2009). Secondly, by combining both of these classification variables (i.e., ∆%CO and ∆%Cwk), one minimizes overadjustment and collinearity, but also take the overall hemodynamic pattern related to either α‐ or β‐adrenergic predominance during acute stress exposure into account, especially where inherent differences in adrenergic stress responses are observed (i.e., α‐response: low CO/Cwk; high TPR versus β‐response: high CO/Cwk; low TPR).\nUrinary creatinine concentrations were measured from fasting urine samples collected over a period of eight hours. These urine samples were obtained from each participant early in the morning (05:45) of the second day of data collection (Malan et al., 2015). Although studies have reported the preferred use of urine samples collected over 24 h for catecholamine sampling, both eight‐hour and 12‐h urine collection periods have been shown to yield comparable results for these urinary catecholamines (Reuben et al., 2000). Therefore, acidified samples (Maclagan, 2012) from the eight‐hour urine collection were used to measure urinary norepinephrine and epinephrine and were stored at −80°C until analysis within one year of collection. For catecholamine sampling, urine samples should be collected in containers with a pH of <3.5 to 4 (i.e., acidified with HCl) to prevent the breakdown of catecholamines and the samples should either be kept on ice or refrigerated until aliquoted (Maclagan, 2012). Urinary creatinine was used for volume correction; therefore, we reported urinary norepinephrine‐to‐creatinine ratio (u‐NE/Cr in nmol/mmol (Malan et al., 2016)) and epinephrine‐to‐creatinine ratio (u‐EPI/Cr in nmol/mmol). Urinary creatinine concentrations were measured using a calorimetric method via the Cobas® Integra 400 plus (Roche, Basel, Switzerland), while urinary NE and EPI were analyzed using a 3‐Cat Urine ELISA Fast Track kit (LDN, Nordhorn, Germany) (Catalogue number: BA E‐6600R). In this study, catecholamines were measured from acidified urine samples rather than blood samples due to (1) the short plasma half‐life of catecholamines (30 s to two minutes) (Peaston & Weinkove, 2004), (2) the complex procedure of plasma catecholamine sampling (Wentzel et al., 2020), and (3) the inability to use serum samples as catecholamines are stored in platelets and may be released during the clotting process (Maclagan, 2012).\nResting blood samples were collected by a trained SANC registered research nurse. Resting (pre‐stress) serum ACTH and cortisol samples were analyzed using the e411 (Roche, Basel, Switzerland) with the electrochemiluminescence immunoassay method. Fasting blood glucose samples were collected in sodium fluoride tubes and analyzed using a timed‐end‐point method on the UniCel DXC 800 (Beckman & Coulter, Germany). Serum insulin was analyzed with the electrochemiluminescence immunoassay method using the Elecsys 2010 (Roche, Basel, Switzerland). Thereafter, the homeostatic model assessment for insulin resistance (HOMA‐IR) was calculated (Matthews et al., 1985). Additionally, using a turbidimetric inhibition immunoassay method, glycated hemoglobin (HbA1c), in ethylenediaminetetraacetic acid (EDTA) whole blood samples, was analyzed on the Cobas® Integra 400 plus (Roche, Basel, Switzerland). Abnormal glucose tolerance (Abnl‐GT) is a composite term which includes both prediabetes and diabetes (Ishimwe et al., 2021). The current investigation defined Abnl‐GT as HbA1c ≥5.7% and/or fasting plasma glucose ≥5.6 mmol/L and/or being on anti‐diabetic medication (which included oral medication or using insulin for diabetes) according to the diagnostic criteria of the American Diabetes Association for prediabetes and diabetes (American Diabetes Association, 2019).\nSerum total cholesterol, high‐density lipoprotein cholesterol (HDL‐C), and triglycerides were analyzed using a timed‐end‐point method on the UniCel DXC 800 (Beckman and Coulter, Germany). Low‐density lipoprotein cholesterol (LDL‐C) was calculated using the Friedewald formula (Fredrickson et al., 1972). The cholesterol‐to‐HDL‐C ratio (Chol/HDL‐C) was calculated by dividing total cholesterol by HDL‐C. Ultra‐high sensitivity serum C‐reactive protein (CRP) was analyzed using a turbidimetric method on the UniCel DXC 800 (Beckman & Coulter, Germany). Serum tumor necrosis factor‐alpha (TNF‐α) and plasma interleukin‐6 (IL‐6) values were derived from Quantikine High‐Sensitivity Human TNF‐α and IL‐6 enzyme‐linked immunosorbent assays (HS ELISA; R&D Systems, Minneapolis, MN USA) (Catalogue numbers HSTA00D and HS600C), respectively. Serum creatinine concentrations were measured using an enzymatic calorimetric method via the Cobas® Integra 400 plus (Roche, Basel, Switzerland) and were used for the calculation of the estimated glomerular filtration rate (eGFR) according to the 2021 Chronic Kidney Disease Epidemiology Collaboration (CKD‐EPI) Creatinine, Age and Sex equation (Inker et al., 2021).\nStatistical analyses were performed using IBM® SPSS® Statistics version 29 software (IBM Corporation; Armonk, New York, USA). GraphPad Prism version 5.03 (GraphPad Software Inc., CA, USA) was used for the graphical illustration of data. Power analyses were performed for the larger SABPA study, and it was established that a sample size ranging from 50 to 416 would be sufficient to detect biological differences with a statistical power of 0.8 and significance level of 0.05 (Malan et al., 2015).\nAll variables were assessed for normality by visual inspection of QQ‐plots and non‐Gaussian variables (ACTH, cortisol, u‐NE/Cr, u‐EPI/Cr, HbA1c, glucose, insulin, HOMA‐IR, IL‐6, TNF‐α, triglycerides, Chol/HDL‐C) were logarithmically transformed to the natural logarithm. Of note, hemodynamic reactivity parameters (i.e., ∆%SBP, ∆%DBP, ∆%TPR. ∆%SV, ∆%HR, ∆%CO, ∆%Cwk) were not logarithmically transformed as these parameters represent the percentage change in hemodynamic variables from baseline in response to acute stress application. Percentage changes are already normalized relative to baseline values, reducing the need for further transformation. Adjusted comparisons of all continuous variables between adrenergic‐hemodynamic reactivity profiles were performed using analyses of covariance (ANCOVA), with age, sex, and ethnicity as confounders. For hemodynamic reactivity parameters (∆%SBP, ∆%DBP, ∆%TPR, ∆%HR, ∆%SV, ∆%CO, and ∆%Cwk) presented in Figure 1, additional adjustments were made for WC, hypertensive status, Abnl‐GT, self‐reported alcohol use and self‐reported smoking, to ensure comparisons were independent of traditional confounders. Categorical variables were compared using Chi‐square tests. A two‐tailed significance level of p < 0.050 was considered statistically significant.\nThe most physiologically justified and statistically relevant confounders for both binomial logistic regression analyses (odds ratios) and backward stepwise multivariate regression analyses were chosen based on exploratory Spearman rank correlations between hemodynamic reactivity parameters (∆%CO and ∆%Cwk) as dependent variables and various other markers (age, sex, ethnicity, u‐NE/Cr, u‐EPI/Cr, ACTH, cortisol, BMI, WC, 24‐h ABPM BP, hypertensive status, glucose metabolism markers, lipids, inflammatory markers, eGFR, self‐reported smoking, self‐reported alcohol use) as independent variables (Table S1; Table S2–Supplementary material). The most significant confounders included age, sex, ethnicity, WC, hypertensive status, Abnl‐GT, self‐reported alcohol use, and self‐reported smoking. Due to the small sample size per group, no additional adjustments were made to avoid overadjustment and statistical artifacts.\nBackward stepwise multivariate regression analyses were used to identify independent associations between neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, cortisol) and hemodynamic reactivity parameters (∆%SV, ∆%CO, ∆%TPR, and ∆%Cwk) within each adrenergic reactivity profile. For multivariate regression analyses exclusively, hypertensive status was replaced with 24‐h ABPM MAP while additional confounders were included in the models of each profile due to their strong correlations observed with the hemodynamic reactivity parameters (∆%CO and ∆%Cwk). The eGFR was added to the predominant α‐adrenergic responder group models while CRP and Chol/HDL‐C were added to the mixed‐α/β‐adrenergic responder group models and IL‐6 to the predominant β‐adrenergic responder group models. In our regression analyses, we did not apply post‐hoc corrections for multiple hypothesis testing, as our study design was physiologically motivated and hypothesis‐generating. Each neuroendocrine marker and hemodynamic reactivity parameter was included in separate regression models to prevent our models becoming conflated with markers that are physiologically interrelated, and as the overall aim was to identify individual associations, separate models were therefore constructed.\nAdditionally, multivariate‐adjusted binomial logistic regression analyses were used to determine the odds of neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol) relating to a predominant adrenergic‐hemodynamic reactivity profile, that is, either the predominant α‐adrenergic or predominant β‐adrenergic reactivity profile.\n\n\n### Research design and participants\nThe study protocol of the Sympathetic activity and Ambulatory Blood Pressure in Africans (SABPA) prospective target population study is well‐described elsewhere and comprises a baseline and three‐year follow‐up phase (Malan et al., 2015). The baseline data collection phase took place from February to May during 2008 and 2009. For the current study, we included the baseline sample, consisting of urban‐dwelling Black and White South African male and female teachers (aged 20–65 years) from the Dr. Kenneth Kaunda education district in the North West province of South Africa (N = 409). These individuals were selected from a similar working environment, ensuring comparable socioeconomic status and educational background. Exclusion criteria of the original SABPA study included pregnant and/or lactating women, tympanic temperature >37.5°C, vaccination and blood donation within three months prior to data collection and individuals using psychotropic substances and/or α‐/β‐blockers. Participants with missing data for resting neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, serum ACTH, and cortisol) and hemodynamic reactivity parameters (∆%SBP, ∆%DBP, ∆%TPR, ∆%HR, ∆%SV, ∆%CO, ∆%Cwk) were additionally excluded (n = 34). The final study sample (N = 375) was grouped into three categories according to distinct adrenergic‐hemodynamic reactivity profiles as previously defined (Wentzel et al., 2025) (please also refer to Section 2.8).\n\n\n### Ethical considerations\nThe SABPA study complied with the Declaration of Helsinki of 1975 (revised 2004) for investigations involving human participants and was approved by the Health Research Ethics Committee of North‐West University (NWU‐00036‐07‐A6). All procedures, benefits and possible risks related to the study were explained to the participants in their preferred home language and their written informed consent was obtained before participation. The current investigation also adhered to the updated South African Department of Health's guidelines on Ethics in Health Research in human participants (2024).\n\n\n### General procedure of data collection\nData collection took place over a 2‐day period. Early on the morning of the first day, participants were fitted with an ambulatory blood pressure monitor (ABPM) device at their respective schools. At approximately 16:30, the participants were transported to the Metabolic Unit research facility of North‐West University for an overnight stay. Upon their arrival, they were familiarized with the experimental setup, after which they completed the questionnaires and received pre‐counseling for HIV/AIDS. At dinner time, the participants were provided with a standardized meal and instructed to fast overnight, with encouragement to go to bed by 22:00. At 05:45 the next morning, the ABPM device was removed and fasting urine samples collected over eight hours were obtained. Participants rotated between stations for various anthropometric and cardiovascular measurements, biological sampling, and acute mental stress testing procedures (using the Finometer and Stroop‐Color‐Word‐Conflict [Stroop‐CWC] test). After completing all measurements, they received post‐counseling for HIV/AIDS and immediate feedback on their health status. They were then thanked for their participation, given the opportunity to shower and have breakfast, and subsequently transported back to their respective schools.\n\n\n### Questionnaires and general demographics\nAfter all study procedures were explained, participants completed the questionnaires in a private clinical research environment within the Metabolic Unit research facility at North‐West University. Before receiving a standardized dinner, they provided demographic and general health information, including age, sex, ethnicity, family history, lifestyle factors (such as self‐reported smoking and alcohol use), medication usage, and medical history.\n\n\n### Anthropometric measurements\nAll anthropometric measurements were taken by registered level II anthropometrists. Body height was determined to the nearest 0.1 cm using a stadiometer (Invicta stadiometer, IP 1465, Invicta Plastics Ltd., Leicester, UK) while body weight was measured to the nearest 0.1 kg with a standardized calibrated digital electronic scale (Precision Health Scale; A&D Company, Tokyo, Japan). Thereafter, body mass index (BMI) was calculated as body weight (in kg) divided by the square of body height (m2). Waist circumference (WC) was measured to the nearest 0.1 cm with a non‐extensible and flexible 7 mm‐wide metal anthropometric tape (Holtain, Croswell, Wales) at the midpoint between the lower costal rib and the iliac crest, perpendicular to the long axis of the trunk.\n\n\n### Ambulatory blood pressure measurements\nThe Cardiotens CE120® (Meditech, Budapest, Hungary), which was fitted with a suitable cuff size to the non‐dominant arm of each participant, was used to measure 24‐h ambulatory systolic (SBP) and diastolic (DBP) blood pressure. At approximately 08:00 on the first day of data collection, the validated ABPM device was fitted to the participants at their respective schools. The device was programmed to measure BP at 30‐min intervals during the day (08:00–22:00) and every hour during nighttime (22:00–06:00). The mean successful inflation rate over the 24‐h period was 74.1 ± 10.3% (Schutte et al., 2015). The 24‐h mean arterial pressure (MAP) was calculated as 23DBP+13SBP. Participants continued with their normal daily activities and recorded any abnormalities such as headache or nausea on their diary cards. The ABPM device was removed from the participants at 05:45 on the second day of data collection. The data was subsequently analyzed by means of the CardioVisions 1.19 Personal Edition Software (Meditech®). The current investigation defined hypertensive status as 24‐h ABPM SBP ≥130 mmHg and/or 24‐h ABPM DBP ≥80 mmHg and/or being on anti‐hypertensive medication, including angiotensin‐converting enzyme inhibitors, angiotensin II antagonists, thiazides/diuretics, and calcium‐channel blockers. This definition is derived from the 2020 International Society of Hypertension global hypertension practice guidelines according to average 24‐h ABPM readings (Unger et al., 2020).\n\n\n### Cardiovascular reactivity\nFasting cardiovascular measurements were continuously and non‐invasively assessed throughout acute mental stress testing using the validated Finometer device (Finapres Medical Systems®, Amsterdam, The Netherlands) (Guelen et al., 2008; Schutte et al., 2003, 2004). A five‐minute recording of each participant's beat‐to‐beat BP was taken after the participants were lying in a resting semi‐recumbent position for 30 min. After the first two minutes of this recording, a return‐to‐flow systolic calibration was performed to provide an individual subject‐level adjustment of the finger arterial pressure with brachial artery pressure. The highest precision in cardiovascular measurements is achieved only after this calibration, ensuring the BP measurements meet the standards of the Association for the Advancement of Medical Instrumentation. An additional resting period of five to ten minutes was provided to allow resting BP values to stabilize, after which the acute mental stress task (Stroop‐CWC test) was administered for one minute.\nThe Stroop‐CWC test was used to assess acute mental stress‐induced cardiovascular and neuroendocrine reactivity responses (Stroop, 1935) in which physiological changes characteristic of sympathoadrenal activation were evoked (Tulen et al., 1989). This stressor has demonstrated reproducibility in cardiovascular reactivity over both a two‐hour (Freyschuss et al., 1988) and a one‐month (Fauvel et al., 1996) period. Furthermore, the Stroop‐CWC test assesses the degree of cognitive interference control by inducing a mental conflict between incongruent colors and the meaning of printed words (e.g., the word “GREEN” printed in purple). This one‐minute procedure was administered by an independent observer who maintained a neutral facial expression while correcting incorrect responses and encouraging faster reactions. To motivate participants to perform well during the Stroop‐CWC test, they received monetary incentives based on their performance.\nThe average of the last three minutes of the resting recordings and the average of the last 20–30 s of the stressor recordings were used in data analyses to establish true baseline and reactivity observations. The Beat‐Scope version 1.1a software package (Finapres Measurement Systems) was used to calculate an integrated age‐dependent aortic flow curve from the surface area beneath the pressure/volume curve. This calculation determined SV, CO, TPR, and Cwk of the small and large arteries. Maximum cardiovascular reactivity of each hemodynamic parameter was calculated by first subtracting the resting values from the plateau values obtained during stress application and then calculating the percentage change (∆%) of each parameter.\n\n\n### Population stratification\nThe hemodynamic pattern related to α‐adrenergic predominance during acute stress exposure reflects elevated TPR and DBP with lower CO and Cwk which promotes peripheral vasoconstriction for vascular control (Kasprowicz et al., 1990; Sherwood & Turner, 1995; van Rooyen et al., 2002; Wentzel et al., 2019). In contrast, the hemodynamic pattern associated with β‐adrenergic predominance is characterized by heightened CO via increased HR and SV, thus reflecting myocardial activation for active coping (Kasprowicz et al., 1990; Sherwood & Turner, 1995; van Rooyen et al., 2002; Wentzel et al., 2019). Given that the hallmark hemodynamic patterns related to predominant α‐ and β‐adrenergic reactivity responses have previously been identified, we applied a quartile‐based mode of stratification to produce clearly defined dichotomized groups, i.e., predominant α‐ and β‐adrenergic responder groups, which were previously published (Wentzel et al., 2025). The predominant α‐adrenergic reactivity profile was therefore defined by the lowest quartile values of both ∆%CO and ∆%Cwk (n = 49) while the predominant β‐adrenergic reactivity profile was defined by the highest quartile values of both ∆%CO and ∆%Cwk (n = 69). The remainder of the study population was defined as the mixed‐α/β‐adrenergic reactivity profile (n = 257). We used both ∆%CO and ∆%Cwk as primary classification variables for adrenergic reactivity profiles, via hemodynamic patterns, firstly due to their combined hemodynamic relevance. Cardiac output is determined as the product of HR and SV (Frank, 1895) and serves as a key determinant of SBP (Vest, 2019). Additionally, Windkessel compliance measures the artery's ability to expand or relax in response to cardiac contraction in large and small arteries (Brar, 2016). This reflects the classic two‐element Windkessel model which describes the hemodynamics of the arterial system in terms of Cwk and TPR (Frank, 1895, 1899) and Poiseuille's law (Westerhof et al., 2009). Secondly, by combining both of these classification variables (i.e., ∆%CO and ∆%Cwk), one minimizes overadjustment and collinearity, but also take the overall hemodynamic pattern related to either α‐ or β‐adrenergic predominance during acute stress exposure into account, especially where inherent differences in adrenergic stress responses are observed (i.e., α‐response: low CO/Cwk; high TPR versus β‐response: high CO/Cwk; low TPR).\n\n\n### Biological sampling and biochemical analyses\nUrinary creatinine concentrations were measured from fasting urine samples collected over a period of eight hours. These urine samples were obtained from each participant early in the morning (05:45) of the second day of data collection (Malan et al., 2015). Although studies have reported the preferred use of urine samples collected over 24 h for catecholamine sampling, both eight‐hour and 12‐h urine collection periods have been shown to yield comparable results for these urinary catecholamines (Reuben et al., 2000). Therefore, acidified samples (Maclagan, 2012) from the eight‐hour urine collection were used to measure urinary norepinephrine and epinephrine and were stored at −80°C until analysis within one year of collection. For catecholamine sampling, urine samples should be collected in containers with a pH of <3.5 to 4 (i.e., acidified with HCl) to prevent the breakdown of catecholamines and the samples should either be kept on ice or refrigerated until aliquoted (Maclagan, 2012). Urinary creatinine was used for volume correction; therefore, we reported urinary norepinephrine‐to‐creatinine ratio (u‐NE/Cr in nmol/mmol (Malan et al., 2016)) and epinephrine‐to‐creatinine ratio (u‐EPI/Cr in nmol/mmol). Urinary creatinine concentrations were measured using a calorimetric method via the Cobas® Integra 400 plus (Roche, Basel, Switzerland), while urinary NE and EPI were analyzed using a 3‐Cat Urine ELISA Fast Track kit (LDN, Nordhorn, Germany) (Catalogue number: BA E‐6600R). In this study, catecholamines were measured from acidified urine samples rather than blood samples due to (1) the short plasma half‐life of catecholamines (30 s to two minutes) (Peaston & Weinkove, 2004), (2) the complex procedure of plasma catecholamine sampling (Wentzel et al., 2020), and (3) the inability to use serum samples as catecholamines are stored in platelets and may be released during the clotting process (Maclagan, 2012).\nResting blood samples were collected by a trained SANC registered research nurse. Resting (pre‐stress) serum ACTH and cortisol samples were analyzed using the e411 (Roche, Basel, Switzerland) with the electrochemiluminescence immunoassay method. Fasting blood glucose samples were collected in sodium fluoride tubes and analyzed using a timed‐end‐point method on the UniCel DXC 800 (Beckman & Coulter, Germany). Serum insulin was analyzed with the electrochemiluminescence immunoassay method using the Elecsys 2010 (Roche, Basel, Switzerland). Thereafter, the homeostatic model assessment for insulin resistance (HOMA‐IR) was calculated (Matthews et al., 1985). Additionally, using a turbidimetric inhibition immunoassay method, glycated hemoglobin (HbA1c), in ethylenediaminetetraacetic acid (EDTA) whole blood samples, was analyzed on the Cobas® Integra 400 plus (Roche, Basel, Switzerland). Abnormal glucose tolerance (Abnl‐GT) is a composite term which includes both prediabetes and diabetes (Ishimwe et al., 2021). The current investigation defined Abnl‐GT as HbA1c ≥5.7% and/or fasting plasma glucose ≥5.6 mmol/L and/or being on anti‐diabetic medication (which included oral medication or using insulin for diabetes) according to the diagnostic criteria of the American Diabetes Association for prediabetes and diabetes (American Diabetes Association, 2019).\nSerum total cholesterol, high‐density lipoprotein cholesterol (HDL‐C), and triglycerides were analyzed using a timed‐end‐point method on the UniCel DXC 800 (Beckman and Coulter, Germany). Low‐density lipoprotein cholesterol (LDL‐C) was calculated using the Friedewald formula (Fredrickson et al., 1972). The cholesterol‐to‐HDL‐C ratio (Chol/HDL‐C) was calculated by dividing total cholesterol by HDL‐C. Ultra‐high sensitivity serum C‐reactive protein (CRP) was analyzed using a turbidimetric method on the UniCel DXC 800 (Beckman & Coulter, Germany). Serum tumor necrosis factor‐alpha (TNF‐α) and plasma interleukin‐6 (IL‐6) values were derived from Quantikine High‐Sensitivity Human TNF‐α and IL‐6 enzyme‐linked immunosorbent assays (HS ELISA; R&D Systems, Minneapolis, MN USA) (Catalogue numbers HSTA00D and HS600C), respectively. Serum creatinine concentrations were measured using an enzymatic calorimetric method via the Cobas® Integra 400 plus (Roche, Basel, Switzerland) and were used for the calculation of the estimated glomerular filtration rate (eGFR) according to the 2021 Chronic Kidney Disease Epidemiology Collaboration (CKD‐EPI) Creatinine, Age and Sex equation (Inker et al., 2021).\n\n\n### Statistical analyses\nStatistical analyses were performed using IBM® SPSS® Statistics version 29 software (IBM Corporation; Armonk, New York, USA). GraphPad Prism version 5.03 (GraphPad Software Inc., CA, USA) was used for the graphical illustration of data. Power analyses were performed for the larger SABPA study, and it was established that a sample size ranging from 50 to 416 would be sufficient to detect biological differences with a statistical power of 0.8 and significance level of 0.05 (Malan et al., 2015).\nAll variables were assessed for normality by visual inspection of QQ‐plots and non‐Gaussian variables (ACTH, cortisol, u‐NE/Cr, u‐EPI/Cr, HbA1c, glucose, insulin, HOMA‐IR, IL‐6, TNF‐α, triglycerides, Chol/HDL‐C) were logarithmically transformed to the natural logarithm. Of note, hemodynamic reactivity parameters (i.e., ∆%SBP, ∆%DBP, ∆%TPR. ∆%SV, ∆%HR, ∆%CO, ∆%Cwk) were not logarithmically transformed as these parameters represent the percentage change in hemodynamic variables from baseline in response to acute stress application. Percentage changes are already normalized relative to baseline values, reducing the need for further transformation. Adjusted comparisons of all continuous variables between adrenergic‐hemodynamic reactivity profiles were performed using analyses of covariance (ANCOVA), with age, sex, and ethnicity as confounders. For hemodynamic reactivity parameters (∆%SBP, ∆%DBP, ∆%TPR, ∆%HR, ∆%SV, ∆%CO, and ∆%Cwk) presented in Figure 1, additional adjustments were made for WC, hypertensive status, Abnl‐GT, self‐reported alcohol use and self‐reported smoking, to ensure comparisons were independent of traditional confounders. Categorical variables were compared using Chi‐square tests. A two‐tailed significance level of p < 0.050 was considered statistically significant.\nThe most physiologically justified and statistically relevant confounders for both binomial logistic regression analyses (odds ratios) and backward stepwise multivariate regression analyses were chosen based on exploratory Spearman rank correlations between hemodynamic reactivity parameters (∆%CO and ∆%Cwk) as dependent variables and various other markers (age, sex, ethnicity, u‐NE/Cr, u‐EPI/Cr, ACTH, cortisol, BMI, WC, 24‐h ABPM BP, hypertensive status, glucose metabolism markers, lipids, inflammatory markers, eGFR, self‐reported smoking, self‐reported alcohol use) as independent variables (Table S1; Table S2–Supplementary material). The most significant confounders included age, sex, ethnicity, WC, hypertensive status, Abnl‐GT, self‐reported alcohol use, and self‐reported smoking. Due to the small sample size per group, no additional adjustments were made to avoid overadjustment and statistical artifacts.\nBackward stepwise multivariate regression analyses were used to identify independent associations between neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, cortisol) and hemodynamic reactivity parameters (∆%SV, ∆%CO, ∆%TPR, and ∆%Cwk) within each adrenergic reactivity profile. For multivariate regression analyses exclusively, hypertensive status was replaced with 24‐h ABPM MAP while additional confounders were included in the models of each profile due to their strong correlations observed with the hemodynamic reactivity parameters (∆%CO and ∆%Cwk). The eGFR was added to the predominant α‐adrenergic responder group models while CRP and Chol/HDL‐C were added to the mixed‐α/β‐adrenergic responder group models and IL‐6 to the predominant β‐adrenergic responder group models. In our regression analyses, we did not apply post‐hoc corrections for multiple hypothesis testing, as our study design was physiologically motivated and hypothesis‐generating. Each neuroendocrine marker and hemodynamic reactivity parameter was included in separate regression models to prevent our models becoming conflated with markers that are physiologically interrelated, and as the overall aim was to identify individual associations, separate models were therefore constructed.\nAdditionally, multivariate‐adjusted binomial logistic regression analyses were used to determine the odds of neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol) relating to a predominant adrenergic‐hemodynamic reactivity profile, that is, either the predominant α‐adrenergic or predominant β‐adrenergic reactivity profile.\n\n\n### RESULTS\nBaseline characteristics of the sample (N = 375) stratified according to the three acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles are shown in Table 1. The sample comprised 49 predominant α‐adrenergic responders, 257 mixed‐α/β‐adrenergic responders, and 69 predominant β‐adrenergic responders. Predominant α‐adrenergic responders were mostly older, of Black ethnicity, had higher 24‐h ABPM MAP values, and greater prevalence of hypertension and Abnl‐GT compared to predominant β‐adrenergic and mixed‐α/β‐adrenergic responders (all p ≤ 0.029). There were no significant differences in u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol levels between the adrenergic‐hemodynamic reactivity profiles.\nBaseline characteristics of the study population stratified according to acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles (N = 375).\nNote: Values are expressed as arithmetic mean ± standard deviation, arithmetic mean (95% confidence intervals), geometric mean (lowest quartile; upper quartile) or frequency and percentage of participants (n, %). Bold values denote p < 0.050. All p‐values were obtained with chi‐squared tests, †Welch's analysis of variance and *analysis of covariance (adjustments applied for age, sex, and ethnicity). Hypertensive status was defined as 24‐h ambulatory blood pressure ≥130/80 mmHg and/or being on anti‐hypertensive medication. Abnormal glucose tolerance was defined as HbA1c ≥5.7% and/or fasting plasma glucose ≥5.6 mmol/L and/or being on anti‐diabetic medication.\nAbbreviations: ACE, angiotensin converting enzyme; Cwk, Windkessel arterial compliance; eGFR, estimated glomerular filtration rate; HbA1c, glycated hemoglobin; HDL, high‐density lipoprotein; HOMA‐IR, homeostatic model assessment for insulin resistance; LDL, low‐density lipoprotein; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nα‐adrenergic responders and mixed‐α/β‐adrenergic responders.\nβ‐adrenergic responders and mixed‐α/β‐adrenergic responders.\nα‐adrenergic responders and β‐adrenergic responders were obtained with Games‐Howell and Bonferroni post‐hoc tests.\nAfter adjustment for age, sex, and ethnicity only, predominant α‐adrenergic responders showed greater increases in ∆%DBP and ∆%TPR along with a smaller increase in ∆%HR and greater decreases in ∆%SV, ∆%CO and ∆%Cwk compared to predominant β‐adrenergic and mixed‐α/β‐adrenergic responders (all p < 0.001). However, with additional adjustment for WC, hypertensive status, Abnl‐GT, self‐reported alcohol use and self‐reported smoking, these differences remained statistically significant while also observing greater increases in ∆%SBP in predominant α‐adrenergic responders compared to predominant β‐adrenergic and mixed‐α/β‐adrenergic responders (all p ≤ 0.037) (Figure 1).\nComparison of hemodynamic reactivity parameters between acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles, independent of age, sex, ethnicity, waist circumference, hypertensive status, abnormal glucose tolerance, self‐reported alcohol use, and self‐reported smoking. Symbols denote significant differences between apredominant α‐adrenergic and mixed‐α/β‐adrenergic responders, bpredominant β‐adrenergic and mixed‐α/β‐adrenergic responders, and cpredominant α‐adrenergic and predominant β‐adrenergic responders. Bold values denote statistical significance (p‐trend <0.050). Where: CO, cardiac output; Cwk, Windkessel arterial compliance; DBP, diastolic blood pressure; HR, heart rate; SBP, systolic blood pressure; SV, stroke volume; TPR, total peripheral resistance.\nWe explored independent associations of resting neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol) with ∆%CO (Table 2), ∆%Cwk (Table 3), ∆%SV (Table S3–Supplementary material) and ∆%TPR (Table S4–Supplementary material) in each adrenergic‐hemodynamic reactivity profile. In predominant α‐adrenergic responders, u‐NE/Cr was positively associated with ∆%TPR (p = 0.029) and inversely with ∆%CO (p = 0.002), ∆%SV (p = 0.003), and ∆%Cwk (p = 0.029). In addition, u‐EPI/Cr was inversely associated with ∆%SV (p = 0.048). Furthermore, both ACTH and cortisol were positively associated with ∆%CO (all p ≤ 0.003), ∆%Cwk (all p ≤ 0.044) and ∆%TPR (all p ≤ 0.043) and inversely with ∆%SV (all p ≤ 0.008).\nBackward stepwise regression analyses of resting neuroendocrine markers and cardiac output reactivity (∆%CO) stratified according to acute mental stress‐induced adrenergic–hemodynamic reactivity profiles (N = 375).\nNote: All models were adjusted for age, sex, ethnicity, waist circumference, 24‐h ambulatory mean arterial pressure (ABPM MAP), abnormal glucose tolerance (Abnl‐GT), self‐reported smoking, and self‐reported alcohol use. For models specific to α‐adrenergic responders, estimated glomerular filtration rate was added. For models specific to mixed‐α/β‐adrenergic responders, C‐reactive protein and cholesterol‐to‐HDL ratio were added. For models specific to β‐adrenergic responders, interleukin‐6 was added. Bold values denote statistical significance (p < 0.050).\nAbbreviations: ACTH, adrenocorticotropic hormone; CI, confidence interval; NS, not significant; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nBackward stepwise regression analyses of resting neuroendocrine markers and Windkessel arterial compliance reactivity (∆%Cwk) stratified according to acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles (N = 375).\nNote: All models were adjusted for age, sex, ethnicity, waist circumference, 24‐h ambulatory mean arterial pressure (ABPM MAP), abnormal glucose tolerance (Abnl‐GT), self‐reported smoking, and self‐reported alcohol use. For models specific to α‐adrenergic responders, estimated glomerular filtration rate was added. For models specific to mixed‐α/β‐adrenergic responders, C‐reactive protein and cholesterol‐to‐HDL ratio were added. For models specific to β‐adrenergic responders, interleukin‐6 was added. Bold values denote statistical significance (p < 0.050).\nAbbreviations: ACTH, adrenocorticotropic hormone; CI, confidence interval; NS, not significant; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nIn predominant β‐adrenergic responders, u‐NE/Cr was positively associated with ∆%CO (p < 0.001) and ∆%SV (p = 0.019) and inversely with ∆%TPR (p = 0.033). Additionally, u‐EPI/Cr was inversely associated with ∆%CO (p = 0.036), yet positively with ∆%Cwk (p = 0.045) and ∆%SV (p = 0.012). Cortisol was inversely associated with ∆%TPR (p = 0.018).\nIn mixed‐α/β‐adrenergic responders, u‐EPI/Cr was positively associated with ∆%CO (p = 0.047) and ∆%SV (p = 0.009) while u‐NE/Cr was positively associated with ∆%SV (p = 0.007). Additionally, ACTH associated inversely with ∆%SV (p = 0.029).\nWe explored the odds of a predominant α‐adrenergic reactivity profile when u‐EPI/Cr, u‐NE/Cr, ACTH, and cortisol levels were in the highest quartile (Figure 2; white dots). However, for the predominant β‐adrenergic reactivity profile, linear regression analyses showed an inverse association with both ACTH and cortisol. Therefore, we explored the odds of a predominant β‐adrenergic reactivity profile when u‐NE/Cr and u‐EPI/Cr were in the highest quartile and ACTH and cortisol in the lowest quartile ranges (Figure 2; black dots). We found that the odds of a predominant α‐adrenergic profile were higher when u‐NE/Cr (OR = 1.94; 95% CI: 1.18, 2.28; p = 0.004), ACTH (OR = 2.75; 95% CI: 2.36, 3.71; p < 0.001), and cortisol (OR = 2.25; 95% CI: 1.78, 3.14; p = 0.001) levels were in the highest quartile. In contrast, the odds of a predominant β‐adrenergic reactivity profile were higher when u‐NE/Cr levels were in the highest quartile (OR = 2.45; 95% CI: 1.98, 3.15; p = 0.001) and when ACTH (OR = 1.25; 95% CI: 1.09, 1.55; p < 0.001) and cortisol (OR = 1.45; 95% CI: 1.05, 1.98; p = 0.006) levels were in the lowest quartile.\nThe odds of a predominant α‐adrenergic reactivity profile when u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol levels were within highest population quartile ranges (white dots). Black dots indicate the odds of a predominant β‐adrenergic reactivity profile when u‐NE/Cr and u‐EPI/Cr were within highest population quartile ranges and when ACTH and cortisol levels were within lowest‐population‐quartile ranges. Data in boldface denotes statistical significance. ACTH, adrenocorticotropic hormone; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nParticipants using α‐ and/or β‐blockers were excluded from the original SABPA study. However, a subsequent data review revealed that six participants (n=6) were prescribed β‐blockers as anti‐hypertensive treatment, and were inadvertently included in the final dataset. To address this, we performed a sensitivity analysis by excluding these participants and repeating the multivariate regression analyses upon which we observed that the results remained unchanged.\n\n\n### Basic characteristics of participants\nBaseline characteristics of the sample (N = 375) stratified according to the three acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles are shown in Table 1. The sample comprised 49 predominant α‐adrenergic responders, 257 mixed‐α/β‐adrenergic responders, and 69 predominant β‐adrenergic responders. Predominant α‐adrenergic responders were mostly older, of Black ethnicity, had higher 24‐h ABPM MAP values, and greater prevalence of hypertension and Abnl‐GT compared to predominant β‐adrenergic and mixed‐α/β‐adrenergic responders (all p ≤ 0.029). There were no significant differences in u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol levels between the adrenergic‐hemodynamic reactivity profiles.\nBaseline characteristics of the study population stratified according to acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles (N = 375).\nNote: Values are expressed as arithmetic mean ± standard deviation, arithmetic mean (95% confidence intervals), geometric mean (lowest quartile; upper quartile) or frequency and percentage of participants (n, %). Bold values denote p < 0.050. All p‐values were obtained with chi‐squared tests, †Welch's analysis of variance and *analysis of covariance (adjustments applied for age, sex, and ethnicity). Hypertensive status was defined as 24‐h ambulatory blood pressure ≥130/80 mmHg and/or being on anti‐hypertensive medication. Abnormal glucose tolerance was defined as HbA1c ≥5.7% and/or fasting plasma glucose ≥5.6 mmol/L and/or being on anti‐diabetic medication.\nAbbreviations: ACE, angiotensin converting enzyme; Cwk, Windkessel arterial compliance; eGFR, estimated glomerular filtration rate; HbA1c, glycated hemoglobin; HDL, high‐density lipoprotein; HOMA‐IR, homeostatic model assessment for insulin resistance; LDL, low‐density lipoprotein; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nα‐adrenergic responders and mixed‐α/β‐adrenergic responders.\nβ‐adrenergic responders and mixed‐α/β‐adrenergic responders.\nα‐adrenergic responders and β‐adrenergic responders were obtained with Games‐Howell and Bonferroni post‐hoc tests.\nAfter adjustment for age, sex, and ethnicity only, predominant α‐adrenergic responders showed greater increases in ∆%DBP and ∆%TPR along with a smaller increase in ∆%HR and greater decreases in ∆%SV, ∆%CO and ∆%Cwk compared to predominant β‐adrenergic and mixed‐α/β‐adrenergic responders (all p < 0.001). However, with additional adjustment for WC, hypertensive status, Abnl‐GT, self‐reported alcohol use and self‐reported smoking, these differences remained statistically significant while also observing greater increases in ∆%SBP in predominant α‐adrenergic responders compared to predominant β‐adrenergic and mixed‐α/β‐adrenergic responders (all p ≤ 0.037) (Figure 1).\nComparison of hemodynamic reactivity parameters between acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles, independent of age, sex, ethnicity, waist circumference, hypertensive status, abnormal glucose tolerance, self‐reported alcohol use, and self‐reported smoking. Symbols denote significant differences between apredominant α‐adrenergic and mixed‐α/β‐adrenergic responders, bpredominant β‐adrenergic and mixed‐α/β‐adrenergic responders, and cpredominant α‐adrenergic and predominant β‐adrenergic responders. Bold values denote statistical significance (p‐trend <0.050). Where: CO, cardiac output; Cwk, Windkessel arterial compliance; DBP, diastolic blood pressure; HR, heart rate; SBP, systolic blood pressure; SV, stroke volume; TPR, total peripheral resistance.\n\n\n### The relationship between resting neuroendocrine markers and hemodynamic reactivity parameters\nWe explored independent associations of resting neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol) with ∆%CO (Table 2), ∆%Cwk (Table 3), ∆%SV (Table S3–Supplementary material) and ∆%TPR (Table S4–Supplementary material) in each adrenergic‐hemodynamic reactivity profile. In predominant α‐adrenergic responders, u‐NE/Cr was positively associated with ∆%TPR (p = 0.029) and inversely with ∆%CO (p = 0.002), ∆%SV (p = 0.003), and ∆%Cwk (p = 0.029). In addition, u‐EPI/Cr was inversely associated with ∆%SV (p = 0.048). Furthermore, both ACTH and cortisol were positively associated with ∆%CO (all p ≤ 0.003), ∆%Cwk (all p ≤ 0.044) and ∆%TPR (all p ≤ 0.043) and inversely with ∆%SV (all p ≤ 0.008).\nBackward stepwise regression analyses of resting neuroendocrine markers and cardiac output reactivity (∆%CO) stratified according to acute mental stress‐induced adrenergic–hemodynamic reactivity profiles (N = 375).\nNote: All models were adjusted for age, sex, ethnicity, waist circumference, 24‐h ambulatory mean arterial pressure (ABPM MAP), abnormal glucose tolerance (Abnl‐GT), self‐reported smoking, and self‐reported alcohol use. For models specific to α‐adrenergic responders, estimated glomerular filtration rate was added. For models specific to mixed‐α/β‐adrenergic responders, C‐reactive protein and cholesterol‐to‐HDL ratio were added. For models specific to β‐adrenergic responders, interleukin‐6 was added. Bold values denote statistical significance (p < 0.050).\nAbbreviations: ACTH, adrenocorticotropic hormone; CI, confidence interval; NS, not significant; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nBackward stepwise regression analyses of resting neuroendocrine markers and Windkessel arterial compliance reactivity (∆%Cwk) stratified according to acute mental stress‐induced adrenergic‐hemodynamic reactivity profiles (N = 375).\nNote: All models were adjusted for age, sex, ethnicity, waist circumference, 24‐h ambulatory mean arterial pressure (ABPM MAP), abnormal glucose tolerance (Abnl‐GT), self‐reported smoking, and self‐reported alcohol use. For models specific to α‐adrenergic responders, estimated glomerular filtration rate was added. For models specific to mixed‐α/β‐adrenergic responders, C‐reactive protein and cholesterol‐to‐HDL ratio were added. For models specific to β‐adrenergic responders, interleukin‐6 was added. Bold values denote statistical significance (p < 0.050).\nAbbreviations: ACTH, adrenocorticotropic hormone; CI, confidence interval; NS, not significant; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\nIn predominant β‐adrenergic responders, u‐NE/Cr was positively associated with ∆%CO (p < 0.001) and ∆%SV (p = 0.019) and inversely with ∆%TPR (p = 0.033). Additionally, u‐EPI/Cr was inversely associated with ∆%CO (p = 0.036), yet positively with ∆%Cwk (p = 0.045) and ∆%SV (p = 0.012). Cortisol was inversely associated with ∆%TPR (p = 0.018).\nIn mixed‐α/β‐adrenergic responders, u‐EPI/Cr was positively associated with ∆%CO (p = 0.047) and ∆%SV (p = 0.009) while u‐NE/Cr was positively associated with ∆%SV (p = 0.007). Additionally, ACTH associated inversely with ∆%SV (p = 0.029).\n\n\n### The odds of resting neuroendocrine markers relating to a specific adrenergic‐hemodynamic reactivity profile\nWe explored the odds of a predominant α‐adrenergic reactivity profile when u‐EPI/Cr, u‐NE/Cr, ACTH, and cortisol levels were in the highest quartile (Figure 2; white dots). However, for the predominant β‐adrenergic reactivity profile, linear regression analyses showed an inverse association with both ACTH and cortisol. Therefore, we explored the odds of a predominant β‐adrenergic reactivity profile when u‐NE/Cr and u‐EPI/Cr were in the highest quartile and ACTH and cortisol in the lowest quartile ranges (Figure 2; black dots). We found that the odds of a predominant α‐adrenergic profile were higher when u‐NE/Cr (OR = 1.94; 95% CI: 1.18, 2.28; p = 0.004), ACTH (OR = 2.75; 95% CI: 2.36, 3.71; p < 0.001), and cortisol (OR = 2.25; 95% CI: 1.78, 3.14; p = 0.001) levels were in the highest quartile. In contrast, the odds of a predominant β‐adrenergic reactivity profile were higher when u‐NE/Cr levels were in the highest quartile (OR = 2.45; 95% CI: 1.98, 3.15; p = 0.001) and when ACTH (OR = 1.25; 95% CI: 1.09, 1.55; p < 0.001) and cortisol (OR = 1.45; 95% CI: 1.05, 1.98; p = 0.006) levels were in the lowest quartile.\nThe odds of a predominant α‐adrenergic reactivity profile when u‐NE/Cr, u‐EPI/Cr, ACTH, and cortisol levels were within highest population quartile ranges (white dots). Black dots indicate the odds of a predominant β‐adrenergic reactivity profile when u‐NE/Cr and u‐EPI/Cr were within highest population quartile ranges and when ACTH and cortisol levels were within lowest‐population‐quartile ranges. Data in boldface denotes statistical significance. ACTH, adrenocorticotropic hormone; u‐EPI/Cr, urinary epinephrine‐to‐creatinine ratio; u‐NE/Cr, urinary norepinephrine‐to‐creatinine ratio.\n\n\n### Sensitivity analyses\nParticipants using α‐ and/or β‐blockers were excluded from the original SABPA study. However, a subsequent data review revealed that six participants (n=6) were prescribed β‐blockers as anti‐hypertensive treatment, and were inadvertently included in the final dataset. To address this, we performed a sensitivity analysis by excluding these participants and repeating the multivariate regression analyses upon which we observed that the results remained unchanged.\n\n\n### DISCUSSION\nThe current study shows the distinct relationship between resting neuroendocrine markers (u‐NE/Cr, u‐EPI/Cr, ACTH, cortisol) and stress‐induced hemodynamic reactivity parameters (∆%SV, ∆%CO, ∆%Cwk, ∆%TPR) within specific acute adrenergic‐hemodynamic reactivity profiles. Although these neuroendocrine markers did not differ between adrenergic‐hemodynamic reactivity profiles, we found that the manner in which they were associated with hemodynamic reactivity parameters differed significantly within each reactivity profile, independent of a range of potentially confounding variables. Moreover, this study is the first to describe predominant α‐ and β‐adrenergic reactivity profiles based on distinct neuroendocrine signatures, which may offer insights into personalized treatment strategies tailored to the CVD risk associated with each reactivity profile.\nMicroneurography provides a direct method to measure postganglionic sympathetic nerve activity (Grassi & Esler, 1999). However, its use in clinical practice is limited due to its invasive nature (Rahman et al., 2025). Therefore, we measured urinary catecholamines over a period of eight hours as a proxy marker for acute catecholamine release during sympathetic nervous system (SNS) outflow (Reuben et al., 2000) which may reflect cumulative catecholamine release during extended periods of stress exposure such as in everyday life (Bosker et al., 2012; Ward & Mefford, 1985). Therefore, it is possible that our findings, through urinary excretion of NE, may reflect every day, excessive peripheral SNS‐driven responses favoring enhanced vascular smooth muscle cell (VSMC) constriction (via vascular α1‐adrenergic receptor activation by NE) and hemodynamically translates to increased TPR and lower Cwk (MacGregor et al., 1974; Opie, 2004; Smiley et al., 1998) (see Figure 3). Higher TPR may increase cardiac afterload leading to decreased SV and CO, thus increasing cardiac preload during acute stress application (Katz et al., 2019; Vest, 2019). The observed increase in ∆%HR might represent an adaptive attempt to manage the stressor despite the greater peripheral vascular response. This could suggest a preference for NE binding to α‐adrenergic receptors in the periphery rather than its effect on the sinoatrial node in cardiac tissue (Toyoda et al., 2023). This pattern may also indicate reduced β‐adrenergic responsiveness in α‐adrenergic responders (Julius, 1994). However, further investigation is required to determine α‐ and β‐adrenergic receptor density and sensitivity within the context of predominant adrenergic‐hemodynamic reactivity profiles to verify this hypothesis. Additionally, the predominant vascular α‐adrenergic reactivity pattern, which is accompanied by higher 24‐h BP and greater hypertension prevalence, may further reflect a sustained high‐pressure system (Wentzel et al., 2025) which may increase an individual's predisposition to structural remodeling of the vasculature, as previously reported (Malan et al., 2010).\nHypothetical mechanisms which relate resting neuroendocrine markers to hemodynamic reactivity parameters in predominant α‐adrenergic responders. 11β‐HSD, 11β‐hydroxysteroid dehydrogenase; ACTH, adrenocorticotropic hormone; BRS, baroreceptor sensitivity; CO, cardiac output; Cwk, Windkessel arterial compliance; HR, heart rate; SV, stroke volume; TPR, total peripheral resistance. Figure compiled using elements from BioRender (https://apps.biorender.com) and SMART Servier® Medical Art (Creative Commons Attribution 3.0 Unported License, see https://smart.servier.com).\nOur results further support cortisol's permissive effect on catecholamine functioning, via glucocorticoid receptors (Yang & Zhang, 2004), in which resting cortisol may potentiate norepinephrine's effects on the VSMCs of the peripheral blood vessels, thus further exacerbating α‐adrenergic‐mediated vasoconstriction (increased TPR). However, it is evident from cortisol's positive associations with both ∆%CO and ∆%Cwk that cortisol may also contribute to increased cardiac contractility via its positive inotropic effect (Whitworth et al., 2005). In addition, and independent of its permissive effect on NE functioning, resting cortisol may also rapidly increase baroreceptor sensitivity of heart rate control (Schulz et al., 2020). Therefore, we carefully suggest that the direct effects of cortisol may act as a compensatory mechanism to counterbalance the observed decrease in CO induced by NE‐mediated vasoconstriction. This may result in increased Cwk, despite the observed increase in TPR.\nCortisol secretion by the adrenal cortex is physiologically regulated by means of ACTH released by the anterior pituitary gland (Smith & Vale, 2006). The observed positive association between resting ACTH and ∆%CO in the predominant α‐adrenergic responder group may support previous findings which indicated that ACTH may also directly enhance CO and arterial pressure. Here, cortisol's effects on vascular tone may be potentiated by means of ACTH‐mediated decreases in gene expression and enzyme activity of 11β‐hydroxysteroid dehydrogenase type 2 in human aortic endothelial cells, thus preventing cortisol from being converted to its inactive metabolite, cortisone (Hatakeyama et al., 2000). Therefore, our findings are the first to confirm the resting state function of the HPA‐axis as reflected by a unique adrenergic‐hemodynamic reactivity profile in humans.\nIn the predominant β‐adrenergic responder group, 24‐h BP and hypertension prevalence were lower than compared to the predominant α‐adrenergic responder group. It is important to note that although both β1‐ and β2‐adrenergic receptor subtypes are highly homologous and are both expressed in cardiac tissue, they both play distinguishable roles in the regulation of cardiac function (Opie, 2004). While both receptor subtypes physiologically have a similar affinity for EPI, the β1‐subtype has a tenfold higher affinity for NE than the β2‐subtype (Xu et al., 2021). It has also been reported that urinary NE and EPI are more sensitive indicators of circulating plasma NE and EPI, respectively, compared to catecholamine metabolites such as vanillylmandelic acid and 3‐methoxy‐4‐hydroxyphenylglycol (Moleman et al., 1992). Therefore, it is plausible that the positive associations observed between u‐NE/Cr with ∆%CO and ∆%SV may reflect an enhanced positive inotropic effect exerted by NE on cardiomyocytes via β1‐adrenergic receptor activation (see Figure 4). It may also be viable to explain the associations of u‐EPI/Cr with ∆%CO and ∆%Cwk within the context of heightened β‐adrenergic receptor sensitivity for EPI. Indeed, EPI (at high or low levels) may enhance cardiac contractility to increase the CO (via the β1‐subtype) but also elicit an enhanced vasodilatory effect which ultimately could reduce TPR and increase Cwk (via the β2‐subtype) (Motiejunaite et al., 2021).\nHypothetical mechanisms which relate resting neuroendocrine markers to hemodynamic reactivity parameters in predominant β‐adrenergic responders. Abnl‐GT, abnormal glucose tolerance; ACTH, adrenocorticotropic hormone; CO, cardiac output; Cwk, Windkessel arterial compliance; HR, heart rate; SV, stroke volume; TPR, total peripheral resistance. Figure compiled using elements from BioRender (https://apps.biorender.com) and SMART Servier® Medical Art (Creative Commons Attribution 3.0 Unported License, see https://smart.servier.com).\nAdditionally, cortisol facilitates EPI synthesis (from NE) in the adrenal medulla by promoting the activity of phenylethanolamine N‐methyltransferase (Goldstein, 2006). Therefore, it is possible that with increased production of EPI (indirectly via the effects of cortisol), the overall vasodilatory effect, via arteriolar β2‐adrenergic receptor activation, is enhanced even further to reduce TPR and increase blood flow to peripheral organs. These findings suggest that the predominant β‐adrenergic reactivity profile reflects a central cardiac SNS‐driven response which may be advantageous in the short term, as supported by previous findings (Wentzel et al., 2019). Importantly, one must also consider that this hemodynamic reactivity response may become detrimental over time, as hyperperfusion of tissues could induce increased shear stress which may promote increased oxidative stress and endothelial dysfunction (Huang et al., 2013). However, as our study is cross‐sectional, we can only speculate on CVD mechanisms within each adrenergic‐hemodynamic reactivity profile.\nInterestingly, Abnl‐GT and WC contributed significantly to the variance of our regression models for the predominant β‐adrenergic reactivity profile. Sustained β‐adrenergic receptor stimulation may also lead to alterations in glucose metabolism, and the development of insulin resistance (IR) may also become evident (Cipolletta et al., 2009). This suggests that Abnl‐GT, potentially driven by early‐stage IR, could pose a greater metabolic risk for predominant β‐adrenergic responders. However, further investigation is required as we did not investigate associations between hemodynamic reactivity parameters and metabolic markers, nor did we stratify participants according to different etiologies of Abnl‐GT.\nThe mixed‐α/β‐adrenergic reactivity profile may result from combined activation of both α‐ and β‐adrenergic receptors. Based on the few associations observed in this group, we cautiously propose that this response pattern may in part reflect a coordinated hemodynamic response in which the SAM‐ and HPA‐axes effectively regulate cardiovascular performance during acute stress to accommodate the heightened demand for perfusion to the periphery (Rotenberg & McGrath, 2016), which could signify possible physiological adaptability in response to acute stress. Interestingly, this group showed the highest values for WC compared to predominant α‐ and β‐adrenergic responders. Additionally, WC contributed to the variance of the regression models of ACTH and cortisol with ∆%SV. This indicates that this responder group is not without CVD risk as other traditional cardiovascular risk factors may also contribute to the individual's CVD risk profile. As we did not investigate associations between neuroendocrine and adiposity markers, further exploration is warranted to determine whether interactions between HPA‐axis markers and for instance visceral adiposity could explain the CVD risk related to the mixed‐α/β‐adrenergic reactivity profile. The limited associations observed in this group warrant careful consideration and may, in part, also reflect methodological constraints, as this group encompasses a continuum of varying degrees of α‐ and β‐adrenergic receptor activation in which the observed heterogeneity in adrenergic predominance may obscure more specific associations in this group. Considering appropriate group sizes, future studies may conduct further sub‐group analyses in this responder group in order to clarify the associations observed.\nAddressing psychophysiological stress on an equal level with traditional cardiovascular risk factors is essential for managing cardiovascular health at the individual patient level (Levine et al., 2021). Psychophysiological factors not only modify CVD risk but can also independently predict adverse clinical outcomes (Pedersen et al., 2017). In support of this notion, we previously showed that the predominant α‐ and β‐adrenergic reactivity profiles are cross‐sectionally associated with increased cardiometabolic risk (Wentzel et al., 2025). Therefore, targeted psychophysiological interventions based on an individual's stress reactivity are needed. This requires both (i) a better understanding of neuroendocrine mechanisms associated with stress‐related CVDs and (ii) the identification of specific acute mental stress‐induced adrenergic–hemodynamic reactivity patterns.\nA limitation of this approach is that acute mental stress testing is typically performed in a controlled laboratory environment rather than a clinical setting where patients receive medical care. This is largely due to the lack of specialized stress testing equipment (such as the Finometer) and standardized laboratory stressors (such as the Stroop‐CWC test), which are commonly used in cardiovascular reactivity studies. Therefore, exploring simpler and more accessible alternatives to identify an individual's predominant hemodynamic stress response pattern could be a promising avenue for better understanding the CVD risk associated with the different adrenergic‐hemodynamic reactivity profiles.\nIn this study, we identified distinct neuroendocrine signatures that may differentiate between predominant α‐adrenergic and β‐adrenergic responders based on urinary NE levels alone or in combination with serum ACTH and cortisol levels. The predominant α‐adrenergic reactivity profile appears to be characterized by elevated neuroendocrine markers reflecting both SAM (NE) and HPA (ACTH and cortisol) axis activity. In contrast, the predominant β‐adrenergic reactivity profile may be distinguished by elevated urinary NE levels exclusively. This suggests a potential model for distinguishing between adrenergic‐hemodynamic reactivity profiles and determining an individual's specific predominant hemodynamic reactivity response pattern using a urine sample (for NE) and a blood sample (for HPA markers), both of which could be obtained during a routine appointment. Such an approach enables personalized, targeted interventions that specifically address psychophysiological risk factors, promoting a precision medicine strategy for managing stress‐related CVDs rather than a generalized “one‐size‐fits‐all” approach (Pedersen et al., 2017). While both ACTH and cortisol are routinely measurable in fasting serum samples in most South African laboratories, these assays are not necessarily cost‐effective across all socioeconomic settings in South Africa (PathCare Laboratories, 2026). Together with restricted availability of free catecholamine assays (norepinephrine; epinephrine; dopamine) in these laboratories, their implementation into routine clinical practice for hemodynamic profiling is currently economically constrained. In addition, profile‐specific cut‐off values for hemodynamic phenotyping are yet to be established and validated against distinct cardiovascular outcomes. Nevertheless, our findings demonstrate the viability of following such a hemodynamic profiling approach and should be verified and validated in larger, high‐risk cohorts (e.g., individuals with hypertension, shift workers) and across diverse socioeconomic settings in South Africa. Validation against cardiovascular outcomes would support guidelines, similar to brain natriuretic peptide for heart failure (Kalsmith, 2009).\nOur findings need to be interpreted within the study's strengths and limitations. The study was cross‐sectional, so we are unable to draw causal inferences from the observed associations. A longitudinal study design is recommended to confirm causal, mechanistic relationships between neuroendocrine markers and hemodynamic reactivity parameters in adrenergic responder groups. Although our study achieved the necessary statistical power and was limited by a small sample size, we obtained a homogeneous sample of teachers that is representative of the specific region (North West province) where the research was conducted. However, our findings cannot be generalized to the broader South African population.\nA cohort of schoolteachers enabled us to investigate individuals that experience a similar level of sustained stress, such as adapting to changing curricula and disciplinary problems of school children whilst living in an urbanized environment. The participants in our study were recruited from the same demographic region in South Africa from a shared professional environment to ensure broadly comparable socioeconomic and educational backgrounds as well as similar access to healthcare. In our study, data on total household income and expenditure were not available, thus preventing us from distinguishing between single‐ and dual‐earner households or assessment of income allocation. Due to unique socio‐cultural responsibilities in South Africa, financial resources are often used to support family members within and outside their immediate households (Moore & Kelly, 2024), therefore, future studies may include structured questionnaires focused on socioeconomic information to capture these variations in household composition and income distribution more robustly.\nWhile acute mental stress responses, as measured in the laboratory, remain stable over time (Hughes, 2013) and relatively robust across different types of stressors (Hamer et al., 2006; Hamer & Steptoe, 2012), future studies may investigate whether the observed patterns of these adrenergic responder groups hold true in more diverse populations of varying professions, ages, and ethnic groups. This study aimed to better understand stress reactivity from a physiological perspective and not from an angle focused on individual perceptions of stress. It would therefore be insightful in future studies to include data on self‐reported stress perception and appraisal questionnaires such as the Perceived Stress Scale (Cohen et al., 1983) or Trier Inventory for Chronic Stress (Schulz et al., 2004) to better understand the observed associations in individuals with high and low chronic stress based on their perception of stress and domain‐specific stressors they experience in daily life.\nPredominant α‐ and β‐adrenergic reactivity response patterns were non‐invasively derived from peak hemodynamic reactivity, rather than from post‐stressor hemodynamic recovery. Importantly, reactivity and recovery represent two distinct physiological concepts that if conflated, could risk misclassification of adrenergic stress response patterns. Peak reactivity reflects maximal stressor exposure driven by rapid SNS outflow via α‐ and β‐adrenergic receptors (Obrist, 1981). Profiling reactivity allows the identification of predominant patterns (i.e., alpha: low CO/high TPR versus beta: high CO/low TPR) of extreme hemodynamic shifts from baseline, which could serve as prognostic markers for cardiometabolic risk (Wentzel et al., 2025). In contrast, recovery responses (measured 3–5 min post‐stressor) reflect rapid hemodynamic normalization via baroreflex buffering and parasympathetic rebound, not SNS peak (Mezzacappa et al., 2001). Recovery patterns may invert, for example, persistently elevated TPR could signal poor vascular recovery (α‐linked) whereas rapid decline in CO may suggest efficient myocardial reset (β‐influenced). Additionally, recovery probes resilience with slower DBP/TPR return tied to SNS hyperactivity or endothelial dysfunction. Yet this does not indicate peak reactivity during application of a stressor. Recovery assesses termination efficiency, often decoupled due to feedback loops like vagal reactivation (Haynes et al., 1991). As the aim of this study was to refine adrenergic response patterns, peak reactivity is required to characterize these patterns, not recovery. Accurate patterning therefore requires separate peak (stressor midpoint) and post‐peak (3 or 5 min) metrics to distinguish acute drive from adaptive resolution (Linden et al., 1997) and should be noted in future studies.\nAlthough beyond the scope of the current study, it may be prudent to explore psychophysiological interventions tailored to each adrenergic reactivity phenotype, where predominant α‐adrenergic responders could possibly benefit from vascular‐related interventions which could improve faster post‐stress vascular recovery (Cahu Rodrigues et al., 2020), while predominant β‐adrenergic responders may benefit from more cardiac‐centered strategies which could enhance vagal HR control (Nolan et al., 2005) and preserve cardiac performance during persistent acute stress exposure. In addition, standardized clinical procedures were followed for measuring stress biomarkers through urinary and serum samples. Although urinary catecholamines are not considered gold‐standard biomarkers for sympathetic activity, their use provided a less invasive and more practical approach for basic clinical assessment of SAM‐biomarkers. Our study identifies unique neuroendocrine signatures which distinctly relate to each adrenergic reactivity profile and thus supports cortisol‐NE interplay. Yet the cross‐sectional nature of our study limits causal inferences on cortisol's permissive effects on NE functioning. We recommend that longitudinal studies tracking serial cortisol and catecholamine sampling, paired with hemodynamic reactivity, could elucidate dynamic cortisol‐NE interactions. Also, human microneurography offers direct sympathetic nerve assessment but is technically demanding; alternatives include PET/SPECT imaging of α‐adrenergic receptor occupancy or functional MRI for central NE signaling. Complementary in vitro receptor docking simulations and human adipocyte/lymphocyte assays could model cortisol's permissive effects on NE sensitivity, bridging to clinical trials stratifying interventions by adrenergic profiles. Future studies may also make use of clustering algorithms to delineate domain‐specific clusters of biological parameters in order to explore unique physiological patterns which could elucidate more intrinsic mechanisms and risks within each adrenergic responder group, yet this was beyond the aim of the current study. Finally, this study was carefully designed, conducted under controlled conditions, and implemented with measures to ensure optimal environmental stability.\n\n\n### The predominant α‐adrenergic reactivity profile\nMicroneurography provides a direct method to measure postganglionic sympathetic nerve activity (Grassi & Esler, 1999). However, its use in clinical practice is limited due to its invasive nature (Rahman et al., 2025). Therefore, we measured urinary catecholamines over a period of eight hours as a proxy marker for acute catecholamine release during sympathetic nervous system (SNS) outflow (Reuben et al., 2000) which may reflect cumulative catecholamine release during extended periods of stress exposure such as in everyday life (Bosker et al., 2012; Ward & Mefford, 1985). Therefore, it is possible that our findings, through urinary excretion of NE, may reflect every day, excessive peripheral SNS‐driven responses favoring enhanced vascular smooth muscle cell (VSMC) constriction (via vascular α1‐adrenergic receptor activation by NE) and hemodynamically translates to increased TPR and lower Cwk (MacGregor et al., 1974; Opie, 2004; Smiley et al., 1998) (see Figure 3). Higher TPR may increase cardiac afterload leading to decreased SV and CO, thus increasing cardiac preload during acute stress application (Katz et al., 2019; Vest, 2019). The observed increase in ∆%HR might represent an adaptive attempt to manage the stressor despite the greater peripheral vascular response. This could suggest a preference for NE binding to α‐adrenergic receptors in the periphery rather than its effect on the sinoatrial node in cardiac tissue (Toyoda et al., 2023). This pattern may also indicate reduced β‐adrenergic responsiveness in α‐adrenergic responders (Julius, 1994). However, further investigation is required to determine α‐ and β‐adrenergic receptor density and sensitivity within the context of predominant adrenergic‐hemodynamic reactivity profiles to verify this hypothesis. Additionally, the predominant vascular α‐adrenergic reactivity pattern, which is accompanied by higher 24‐h BP and greater hypertension prevalence, may further reflect a sustained high‐pressure system (Wentzel et al., 2025) which may increase an individual's predisposition to structural remodeling of the vasculature, as previously reported (Malan et al., 2010).\nHypothetical mechanisms which relate resting neuroendocrine markers to hemodynamic reactivity parameters in predominant α‐adrenergic responders. 11β‐HSD, 11β‐hydroxysteroid dehydrogenase; ACTH, adrenocorticotropic hormone; BRS, baroreceptor sensitivity; CO, cardiac output; Cwk, Windkessel arterial compliance; HR, heart rate; SV, stroke volume; TPR, total peripheral resistance. Figure compiled using elements from BioRender (https://apps.biorender.com) and SMART Servier® Medical Art (Creative Commons Attribution 3.0 Unported License, see https://smart.servier.com).\nOur results further support cortisol's permissive effect on catecholamine functioning, via glucocorticoid receptors (Yang & Zhang, 2004), in which resting cortisol may potentiate norepinephrine's effects on the VSMCs of the peripheral blood vessels, thus further exacerbating α‐adrenergic‐mediated vasoconstriction (increased TPR). However, it is evident from cortisol's positive associations with both ∆%CO and ∆%Cwk that cortisol may also contribute to increased cardiac contractility via its positive inotropic effect (Whitworth et al., 2005). In addition, and independent of its permissive effect on NE functioning, resting cortisol may also rapidly increase baroreceptor sensitivity of heart rate control (Schulz et al., 2020). Therefore, we carefully suggest that the direct effects of cortisol may act as a compensatory mechanism to counterbalance the observed decrease in CO induced by NE‐mediated vasoconstriction. This may result in increased Cwk, despite the observed increase in TPR.\nCortisol secretion by the adrenal cortex is physiologically regulated by means of ACTH released by the anterior pituitary gland (Smith & Vale, 2006). The observed positive association between resting ACTH and ∆%CO in the predominant α‐adrenergic responder group may support previous findings which indicated that ACTH may also directly enhance CO and arterial pressure. Here, cortisol's effects on vascular tone may be potentiated by means of ACTH‐mediated decreases in gene expression and enzyme activity of 11β‐hydroxysteroid dehydrogenase type 2 in human aortic endothelial cells, thus preventing cortisol from being converted to its inactive metabolite, cortisone (Hatakeyama et al., 2000). Therefore, our findings are the first to confirm the resting state function of the HPA‐axis as reflected by a unique adrenergic‐hemodynamic reactivity profile in humans.\n\n\n### The predominant β‐adrenergic reactivity profile\nIn the predominant β‐adrenergic responder group, 24‐h BP and hypertension prevalence were lower than compared to the predominant α‐adrenergic responder group. It is important to note that although both β1‐ and β2‐adrenergic receptor subtypes are highly homologous and are both expressed in cardiac tissue, they both play distinguishable roles in the regulation of cardiac function (Opie, 2004). While both receptor subtypes physiologically have a similar affinity for EPI, the β1‐subtype has a tenfold higher affinity for NE than the β2‐subtype (Xu et al., 2021). It has also been reported that urinary NE and EPI are more sensitive indicators of circulating plasma NE and EPI, respectively, compared to catecholamine metabolites such as vanillylmandelic acid and 3‐methoxy‐4‐hydroxyphenylglycol (Moleman et al., 1992). Therefore, it is plausible that the positive associations observed between u‐NE/Cr with ∆%CO and ∆%SV may reflect an enhanced positive inotropic effect exerted by NE on cardiomyocytes via β1‐adrenergic receptor activation (see Figure 4). It may also be viable to explain the associations of u‐EPI/Cr with ∆%CO and ∆%Cwk within the context of heightened β‐adrenergic receptor sensitivity for EPI. Indeed, EPI (at high or low levels) may enhance cardiac contractility to increase the CO (via the β1‐subtype) but also elicit an enhanced vasodilatory effect which ultimately could reduce TPR and increase Cwk (via the β2‐subtype) (Motiejunaite et al., 2021).\nHypothetical mechanisms which relate resting neuroendocrine markers to hemodynamic reactivity parameters in predominant β‐adrenergic responders. Abnl‐GT, abnormal glucose tolerance; ACTH, adrenocorticotropic hormone; CO, cardiac output; Cwk, Windkessel arterial compliance; HR, heart rate; SV, stroke volume; TPR, total peripheral resistance. Figure compiled using elements from BioRender (https://apps.biorender.com) and SMART Servier® Medical Art (Creative Commons Attribution 3.0 Unported License, see https://smart.servier.com).\nAdditionally, cortisol facilitates EPI synthesis (from NE) in the adrenal medulla by promoting the activity of phenylethanolamine N‐methyltransferase (Goldstein, 2006). Therefore, it is possible that with increased production of EPI (indirectly via the effects of cortisol), the overall vasodilatory effect, via arteriolar β2‐adrenergic receptor activation, is enhanced even further to reduce TPR and increase blood flow to peripheral organs. These findings suggest that the predominant β‐adrenergic reactivity profile reflects a central cardiac SNS‐driven response which may be advantageous in the short term, as supported by previous findings (Wentzel et al., 2019). Importantly, one must also consider that this hemodynamic reactivity response may become detrimental over time, as hyperperfusion of tissues could induce increased shear stress which may promote increased oxidative stress and endothelial dysfunction (Huang et al., 2013). However, as our study is cross‐sectional, we can only speculate on CVD mechanisms within each adrenergic‐hemodynamic reactivity profile.\nInterestingly, Abnl‐GT and WC contributed significantly to the variance of our regression models for the predominant β‐adrenergic reactivity profile. Sustained β‐adrenergic receptor stimulation may also lead to alterations in glucose metabolism, and the development of insulin resistance (IR) may also become evident (Cipolletta et al., 2009). This suggests that Abnl‐GT, potentially driven by early‐stage IR, could pose a greater metabolic risk for predominant β‐adrenergic responders. However, further investigation is required as we did not investigate associations between hemodynamic reactivity parameters and metabolic markers, nor did we stratify participants according to different etiologies of Abnl‐GT.\n\n\n### The mixed‐α/β‐adrenergic reactivity profile\nThe mixed‐α/β‐adrenergic reactivity profile may result from combined activation of both α‐ and β‐adrenergic receptors. Based on the few associations observed in this group, we cautiously propose that this response pattern may in part reflect a coordinated hemodynamic response in which the SAM‐ and HPA‐axes effectively regulate cardiovascular performance during acute stress to accommodate the heightened demand for perfusion to the periphery (Rotenberg & McGrath, 2016), which could signify possible physiological adaptability in response to acute stress. Interestingly, this group showed the highest values for WC compared to predominant α‐ and β‐adrenergic responders. Additionally, WC contributed to the variance of the regression models of ACTH and cortisol with ∆%SV. This indicates that this responder group is not without CVD risk as other traditional cardiovascular risk factors may also contribute to the individual's CVD risk profile. As we did not investigate associations between neuroendocrine and adiposity markers, further exploration is warranted to determine whether interactions between HPA‐axis markers and for instance visceral adiposity could explain the CVD risk related to the mixed‐α/β‐adrenergic reactivity profile. The limited associations observed in this group warrant careful consideration and may, in part, also reflect methodological constraints, as this group encompasses a continuum of varying degrees of α‐ and β‐adrenergic receptor activation in which the observed heterogeneity in adrenergic predominance may obscure more specific associations in this group. Considering appropriate group sizes, future studies may conduct further sub‐group analyses in this responder group in order to clarify the associations observed.\n\n\n### Translational and clinical relevance\nAddressing psychophysiological stress on an equal level with traditional cardiovascular risk factors is essential for managing cardiovascular health at the individual patient level (Levine et al., 2021). Psychophysiological factors not only modify CVD risk but can also independently predict adverse clinical outcomes (Pedersen et al., 2017). In support of this notion, we previously showed that the predominant α‐ and β‐adrenergic reactivity profiles are cross‐sectionally associated with increased cardiometabolic risk (Wentzel et al., 2025). Therefore, targeted psychophysiological interventions based on an individual's stress reactivity are needed. This requires both (i) a better understanding of neuroendocrine mechanisms associated with stress‐related CVDs and (ii) the identification of specific acute mental stress‐induced adrenergic–hemodynamic reactivity patterns.\nA limitation of this approach is that acute mental stress testing is typically performed in a controlled laboratory environment rather than a clinical setting where patients receive medical care. This is largely due to the lack of specialized stress testing equipment (such as the Finometer) and standardized laboratory stressors (such as the Stroop‐CWC test), which are commonly used in cardiovascular reactivity studies. Therefore, exploring simpler and more accessible alternatives to identify an individual's predominant hemodynamic stress response pattern could be a promising avenue for better understanding the CVD risk associated with the different adrenergic‐hemodynamic reactivity profiles.\nIn this study, we identified distinct neuroendocrine signatures that may differentiate between predominant α‐adrenergic and β‐adrenergic responders based on urinary NE levels alone or in combination with serum ACTH and cortisol levels. The predominant α‐adrenergic reactivity profile appears to be characterized by elevated neuroendocrine markers reflecting both SAM (NE) and HPA (ACTH and cortisol) axis activity. In contrast, the predominant β‐adrenergic reactivity profile may be distinguished by elevated urinary NE levels exclusively. This suggests a potential model for distinguishing between adrenergic‐hemodynamic reactivity profiles and determining an individual's specific predominant hemodynamic reactivity response pattern using a urine sample (for NE) and a blood sample (for HPA markers), both of which could be obtained during a routine appointment. Such an approach enables personalized, targeted interventions that specifically address psychophysiological risk factors, promoting a precision medicine strategy for managing stress‐related CVDs rather than a generalized “one‐size‐fits‐all” approach (Pedersen et al., 2017). While both ACTH and cortisol are routinely measurable in fasting serum samples in most South African laboratories, these assays are not necessarily cost‐effective across all socioeconomic settings in South Africa (PathCare Laboratories, 2026). Together with restricted availability of free catecholamine assays (norepinephrine; epinephrine; dopamine) in these laboratories, their implementation into routine clinical practice for hemodynamic profiling is currently economically constrained. In addition, profile‐specific cut‐off values for hemodynamic phenotyping are yet to be established and validated against distinct cardiovascular outcomes. Nevertheless, our findings demonstrate the viability of following such a hemodynamic profiling approach and should be verified and validated in larger, high‐risk cohorts (e.g., individuals with hypertension, shift workers) and across diverse socioeconomic settings in South Africa. Validation against cardiovascular outcomes would support guidelines, similar to brain natriuretic peptide for heart failure (Kalsmith, 2009).\n\n\n### Strengths, limitations, and future directions\nOur findings need to be interpreted within the study's strengths and limitations. The study was cross‐sectional, so we are unable to draw causal inferences from the observed associations. A longitudinal study design is recommended to confirm causal, mechanistic relationships between neuroendocrine markers and hemodynamic reactivity parameters in adrenergic responder groups. Although our study achieved the necessary statistical power and was limited by a small sample size, we obtained a homogeneous sample of teachers that is representative of the specific region (North West province) where the research was conducted. However, our findings cannot be generalized to the broader South African population.\nA cohort of schoolteachers enabled us to investigate individuals that experience a similar level of sustained stress, such as adapting to changing curricula and disciplinary problems of school children whilst living in an urbanized environment. The participants in our study were recruited from the same demographic region in South Africa from a shared professional environment to ensure broadly comparable socioeconomic and educational backgrounds as well as similar access to healthcare. In our study, data on total household income and expenditure were not available, thus preventing us from distinguishing between single‐ and dual‐earner households or assessment of income allocation. Due to unique socio‐cultural responsibilities in South Africa, financial resources are often used to support family members within and outside their immediate households (Moore & Kelly, 2024), therefore, future studies may include structured questionnaires focused on socioeconomic information to capture these variations in household composition and income distribution more robustly.\nWhile acute mental stress responses, as measured in the laboratory, remain stable over time (Hughes, 2013) and relatively robust across different types of stressors (Hamer et al., 2006; Hamer & Steptoe, 2012), future studies may investigate whether the observed patterns of these adrenergic responder groups hold true in more diverse populations of varying professions, ages, and ethnic groups. This study aimed to better understand stress reactivity from a physiological perspective and not from an angle focused on individual perceptions of stress. It would therefore be insightful in future studies to include data on self‐reported stress perception and appraisal questionnaires such as the Perceived Stress Scale (Cohen et al., 1983) or Trier Inventory for Chronic Stress (Schulz et al., 2004) to better understand the observed associations in individuals with high and low chronic stress based on their perception of stress and domain‐specific stressors they experience in daily life.\nPredominant α‐ and β‐adrenergic reactivity response patterns were non‐invasively derived from peak hemodynamic reactivity, rather than from post‐stressor hemodynamic recovery. Importantly, reactivity and recovery represent two distinct physiological concepts that if conflated, could risk misclassification of adrenergic stress response patterns. Peak reactivity reflects maximal stressor exposure driven by rapid SNS outflow via α‐ and β‐adrenergic receptors (Obrist, 1981). Profiling reactivity allows the identification of predominant patterns (i.e., alpha: low CO/high TPR versus beta: high CO/low TPR) of extreme hemodynamic shifts from baseline, which could serve as prognostic markers for cardiometabolic risk (Wentzel et al., 2025). In contrast, recovery responses (measured 3–5 min post‐stressor) reflect rapid hemodynamic normalization via baroreflex buffering and parasympathetic rebound, not SNS peak (Mezzacappa et al., 2001). Recovery patterns may invert, for example, persistently elevated TPR could signal poor vascular recovery (α‐linked) whereas rapid decline in CO may suggest efficient myocardial reset (β‐influenced). Additionally, recovery probes resilience with slower DBP/TPR return tied to SNS hyperactivity or endothelial dysfunction. Yet this does not indicate peak reactivity during application of a stressor. Recovery assesses termination efficiency, often decoupled due to feedback loops like vagal reactivation (Haynes et al., 1991). As the aim of this study was to refine adrenergic response patterns, peak reactivity is required to characterize these patterns, not recovery. Accurate patterning therefore requires separate peak (stressor midpoint) and post‐peak (3 or 5 min) metrics to distinguish acute drive from adaptive resolution (Linden et al., 1997) and should be noted in future studies.\nAlthough beyond the scope of the current study, it may be prudent to explore psychophysiological interventions tailored to each adrenergic reactivity phenotype, where predominant α‐adrenergic responders could possibly benefit from vascular‐related interventions which could improve faster post‐stress vascular recovery (Cahu Rodrigues et al., 2020), while predominant β‐adrenergic responders may benefit from more cardiac‐centered strategies which could enhance vagal HR control (Nolan et al., 2005) and preserve cardiac performance during persistent acute stress exposure. In addition, standardized clinical procedures were followed for measuring stress biomarkers through urinary and serum samples. Although urinary catecholamines are not considered gold‐standard biomarkers for sympathetic activity, their use provided a less invasive and more practical approach for basic clinical assessment of SAM‐biomarkers. Our study identifies unique neuroendocrine signatures which distinctly relate to each adrenergic reactivity profile and thus supports cortisol‐NE interplay. Yet the cross‐sectional nature of our study limits causal inferences on cortisol's permissive effects on NE functioning. We recommend that longitudinal studies tracking serial cortisol and catecholamine sampling, paired with hemodynamic reactivity, could elucidate dynamic cortisol‐NE interactions. Also, human microneurography offers direct sympathetic nerve assessment but is technically demanding; alternatives include PET/SPECT imaging of α‐adrenergic receptor occupancy or functional MRI for central NE signaling. Complementary in vitro receptor docking simulations and human adipocyte/lymphocyte assays could model cortisol's permissive effects on NE sensitivity, bridging to clinical trials stratifying interventions by adrenergic profiles. Future studies may also make use of clustering algorithms to delineate domain‐specific clusters of biological parameters in order to explore unique physiological patterns which could elucidate more intrinsic mechanisms and risks within each adrenergic responder group, yet this was beyond the aim of the current study. Finally, this study was carefully designed, conducted under controlled conditions, and implemented with measures to ensure optimal environmental stability.\n\n\n### CONCLUSION\nThe study is the first to report unique associations between neuroendocrine markers and predominant α‐ or β‐adrenergic reactivity profiles. Specifically, the predominant α‐adrenergic reactivity profile appears to be characterized by higher urinary NE and serum ACTH and cortisol levels, whereas the predominant β‐adrenergic reactivity profile may be identified based on elevated urinary NE levels alone. This suggests that HPA markers (ACTH and cortisol) may serve as key differentiators between these two adrenergic‐hemodynamic reactivity profiles. Additionally, neuroendocrine markers associated differently in both profiles. These distinct neuroendocrine signatures could facilitate the accurate identification of acute adrenergic‐hemodynamic reactivity profiles, informing individual risk assessment and targeted treatment strategies based on a patient's adrenergic‐hemodynamic reactivity profile.\n\n\n### AUTHOR CONTRIBUTIONS\nDewald Naudé: Conceptualization, formal analysis, visualization, writing—original draft, writing—review and editing. Wayne Smith: Conceptualization, data curation, investigation, methodology, supervision, writing—original draft, writing—review and editing. Roland von Känel: Data curation, supervision, writing—review and editing. Annemarie Wentzel: Conceptualization, data curation, formal analysis, funding acquisition, investigation, methodology, project administration, supervision, writing—original draft, writing—review and editing.\n\n\n### FUNDING INFORMATION\nThis work was supported by North‐West University and North‐West Education Department South Africa; Medical Research Council and National Research Foundation South Africa; ROCHE Diagnostics South Africa; Heart and Stroke Foundation South Africa; and the Metabolic Syndrome Institute, France. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s), and therefore funding bodies do not accept any liability in regard thereto.\n\n\n### CONFLICT OF INTEREST STATEMENT\nThe authors have nothing to report.\n\n\n### DISCLAIMERS\nAny opinion, findings and conclusions or recommendations expressed in this material are those of the authors; therefore, funders do not accept any liability regarding this study. All co‐authors approve the statements made on the cover letter attached to the submission of this original research article.\n\n\n### Supporting information\nData S1.", "domain": "affective_neuroscience"}
{"source": "PMC13095051", "title": "Locus-Coeruleus Norepinephrine Functioning as a Predictor of Childhood Mental Health (LOCUS-MENTAL): Protocol for a Longitudinal Study", "text": "# Locus-Coeruleus Norepinephrine Functioning as a Predictor of Childhood Mental Health (LOCUS-MENTAL): Protocol for a Longitudinal Study\n\n## Abstract\nMental health disorders (MHDs) remain a leading cause of the global burden of diseases. Early identification of neurobiological mechanisms mediating a risk for MHDs is key to reducing a lifetime burden. Recent findings emphasize the locus coeruleus-norepinephrine (LC-NE) system as a neuromodulator of arousal translating acute stress responses into neuronal excitability. We propose that individual differences in LC-NE functioning can explain a differential susceptibility to psychological adversity, which mediates the development of transdiagnostic psychopathology in early childhood. The primary objective of LOCUS-MENTAL is to assess LC-NE functioning in preschoolers as a predictor of later psychopathology. This will be applied to generate an objective tool of individual early risk prediction, supporting targeted prevention of MHD. LOCUS-MENTAL includes 4 work packages. The centerpiece is an accelerated longitudinal study, in which a cohort of 300 preschool-aged children (aged 4‐6 years) will be recruited and followed up across 3 assessment waves, each one year apart. This will characterize developmental trajectories from 4 to 8 years of age. The primary outcome is the prediction of transdiagnostic psychopathology by pupillometry-derived LC-NE functioning. Transdiagnostic psychopathology is assessed by the Child Behavior Checklist (CBCL), while LC-NE functioning is assessed with pupillometry that includes core metrics of baseline pupil size (BPS) and stimulus-evoked pupillary response (SEPR). Cross-lagged panel models will be applied to the longitudinal data for quantifying causal effects between LC-NE functioning, childhood adversity, and psychopathology. Normative modeling and classification approaches will estimate an individual risk prediction based on pupillometric metrics of LC-NE functioning. The pupillometric battery has 4 passive auditory and visual paradigms. This battery will be validated with a multitrait-multimethod design that combines pupillometry with neurophysiological measures in electroencephalography, behavioral and cognitive measures, and neurocognitive paradigms. The study was approved by the Ethics Committee of the Faculty of Medicine at Goethe University Hospital (2024‐2160). Written informed consent will be obtained from caregivers and verbal assent by the children. The study was funded in September 2024. Participant enrollment for the validation phase commenced in August 2025. As of February 2026, 82 participants were assessed, with a target of reaching 90 by the end of February 2026. Statistical analysis of the validation phase is planned for March 2026, with results aimed for publication in a peer-reviewed journal by the end of 2026. The longitudinal study is scheduled to start in April 2026 with completion in March 2029. The LOCUS-MENTAL study will establish whether LC-NE functioning provides a validated biomarker for detecting early psychopathology. The associated pupillometry provides a feasible and scalable test for identifying high-risk developmental trajectories in preschool children, which can be translated to clinical practice. The resulting risk assessment tool could facilitate a shift toward objective screening for mental health risks that enables targeted prevention with evidence-based treatment before diagnosis onset. This could prevent sequential comorbidity and reduce the lifetime burden of MHDs.\n\n## Full Text\n\n\n### Introduction\nMental health disorders (MHDs) describe enduring altered cognition, emotion, and behavior and remain a leading cause of the global burden of diseases. Recently, the locus coeruleus norepinephrine system (LC-NE) has been established as a modulator of sensory processing that translates acute stress responses into neuronal excitability. We propose this LC-NE functioning to explain a differential susceptibility to psychosocial adversity that underlies dispositional risks for MHD (Figure 1). LOCUS-MENTAL will put this to the test. We will assess LC-NE functioning in preschoolers as a predictor of later psychopathology. We will use pupillometry as a feasible neuroimaging technique to quantify LC-NE functioning in preschool children. LOCUS-MENTAL ultimately aims to generate an objective tool of individual risk prediction that informs a targeted prevention of lifetime MHD.\nLOCUS-MENTAL uses a transdiagnostic, dimensional, and developmental approach to investigate LC-NE functioning as a predictor of MHD. Variations of LC-NE functioning have been associated with phenotypes of psychopathology [1-3]. Our work validated pupillometry as a feasible method to assess LC-NE functioning, which will now be scaled to the application in an outpatient clinic for early detection in the general population [45]. Preschool children will be assessed in an accelerated longitudinal study to reveal prospective effects of LC-NE functioning on psychopathology in the school age. These key concepts are discussed below.\nComorbidity describes the co-occurrence of more than one diagnosis of MHD. Comorbidity is common, associated with more impairment and worse lifetime outcomes [6]. We lack the evidence to effectively treat MHD comorbidity at the time of this writing [7]. This may originate from conceiving MHD as independent diagnoses in clinical classification systems, which emphasized a focus on isolated diagnoses. In contrast, transdiagnostic psychopathology uses MHD comorbidity patterns to derive overarching factors. A bi-factor model with 3 factors showed the best fit in children [8]. An internalizing factor describes problems within individuals (depression and anxiety), whereas an externalizing factor describes problems between individuals (conduct problems and attention deficit hyperactivity disorder). Positive correlations between internalizing and externalizing established a superordinate p-factor that describes a liability for MHD. These 3 factors are continuous dimensions, in which manifestations below clinical thresholds are of prognostic relevance [9]. This transdiagnostic and dimensional perspective is expected to expose etiological mechanisms across MHD [10].\nComorbidity of MHD may further represent an endpoint where a secondary diagnosis arises because of a preceding primary diagnosis. This sequential comorbidity emphasizes a developmental perspective on MHD [11]. Most adults presenting comorbidity received an initial diagnosis in childhood, and half of all initial diagnoses occur before adolescence [6]. The preschool age may provide a sensible phase to identify mechanisms that influence developmental trajectories of lifetime psychopathology [12]. In addition, preschoolers differ in their risk for psychopathology even for shared psychosocial adversity [13]. This has been attributed to a differential susceptibility that explains an interaction of dispositional risks and stress [14]. We aim to identify a neurobiological mechanism of differential susceptibility [15] that mediates the impact of stress and contributes to the development of psychopathology.\nThe LC-NE system is a neuromodulatory network orchestrating the brain’s response to sensory stimuli [16]. The LC-NE comprises the bilateral pontine locus coeruleus (LC) and its projections, which is the primary source of cerebral norepinephrine. Neuroimaging has suggested a bidirectional connectivity of the LC with the anterior cingulate cortex (ACC), thalamus, cerebellum, and the temporoparietal junction [17]. Compared to the substantia nigra, another neuromodulatory nucleus, the LC has shown increased connectivity to the visual, parietal, and motor cortices and the cerebellum [18]. This suggests a relative focus of the LC in earlier stages of sensory processing that perpetuates cognition and behavior.\nThe Adaptive Gain Theory (AGT) describes LC-NE functioning in cognition and behavior as a performance optimizer with 2 interchanging modes [19]. An exploration mode describes LC-NE tonic activity with a variable low frequency (1‐5 Hz) that corresponds to arousal levels [20]. In contrast, an exploitation mode describes LC-NE phasic activity with transient frequency and amplitude bursts that enhance the sensory processing of task-relevant stimuli [21]. At the system level, LC-NE activity reflects alerting attention [22]. At the neuron level, this has been elaborated to a mechanism of sensory selectivity. LC-NE tonic and phasic activity release norepinephrine which causes an autoinhibition of spontaneous neuronal activity and an excitation of input-driven activity [23]. This specific mechanism of neuronal gain modulation emphasizes a sensory processing of salience [24]. In the glutamate-emphasizes-noradrenergic-effects model [25], a salience is neurochemically indicated by a release of glutamate and can be independent of top-down control [24]. Under relative arousal, LC-NE activity initiates a positive feedback loop of glutamate and norepinephrine interactions that leads to excitatory hot spots of functional activity and biases large-scale networks [26] toward sensory processing of salient stimuli [27]. It has been observed that, in mice, a moderate stimulation of LC-NE activity enhanced thalamic feature selectivity, increased information transmission, and led to improved perceptual performance [28]. LC-NE functioning has been established as a key modulator of arousal and sensory processing with subsequent effects on perception and behavior [1629].\nLC-NE activity causes a dilation of the eye’s pupil. This pathway is indirect, as the LC-NE inhibits the Edinger-Westphal nucleus that typically emphasizes pupil constriction [30]. Pupil dilation has historically been used as an indicator of arousal and cognitive load [31]. Recently, pupil dilation has been differentiated into a baseline pupil size (BPS) and a stimulus-evoked pupillary response (SEPR), which index changes in LC-NE tonic and phasic activity, respectively [32]. These indices are assessed by pupillometry in video-based eye tracking. A study of combined functional magnetic resonance imaging and pupillometry showed a correlation of the LC’s signal with pupil dilation during the resting state (BPS) and with pupil dilation to oddball stimuli (SEPR) [33]. In a rodent model, an LC-NE stimulation predicted pupil dilation after 200‐300 milliseconds [34]. Other subcortical regions elicited pupil dilation with larger delays, which indicated an indirect activation of the LC [35]. In an optogenetic mouse model, pupil dilation marked relative changes in LC-NE activity, whereas variability challenges pupil size as a readout of absolute LC-NE activity [36]. This can be addressed by the application of baseline-corrected metrics [37]. In humans, the assessment of LC-NE activity is difficult with magnetic resonance imaging and electroencephalography (EEG) due to the LC’s location and small size [38]. This is pronounced in children that often induce more movement artifacts. Pupillometry now provides an index of LC-NE tonic and phasic activity (BPS and SEPR) that can be reliably measured with eye tracking. This innovative neuroimaging allows us to assess LC-NE functioning even in preschoolers in a clinical setting [5].\nPsychopathology often develops by an interaction of dispositional risks and stress [39]. Dispositional risks describe internal features that increase a latent burden. In children, stress often refers to adverse childhood experiences like neglect and further extends to psychosocial domains like peer victimization [40]. If sufficient stress occurs upon dispositional risks, a psychopathology may develop. The preschool age is sensitive to this interaction and describes a precursor phase of lifetime psychopathology [15]. In preschoolers, dispositional risk profiles are observed, which map to polygenic scores for MHD that develop much later [11]. We propose that the LC-NE functioning in preschoolers underlies dispositional risks and shapes risk trajectories across diagnoses.\nTemperament describes a child’s innate sensory processing of affective stimuli and can represent an early dispositional risk [41]. Negative emotionality is a temperament with a proneness to negative affect that relates to later psychopathology and neuroticism. Negative emotionality has been associated with an elevated neurophysiological reactivity to reward and punishment, which explained an association between MHD polygenic scores and the p-factor in children [42]. This elevated reactivity has been reflected in an increased activity of the amygdala and the salience network and decreased activity of the ACC [43]. The LC-NE connectivity with the amygdala and ACC [44] suggests an effect of LC-NE functioning on negative emotionality.\nIrritability is a temperament trait of negative emotionality that is described by anger after frustration and attenuated fear under threat [45]. Irritability in children is the most pressing problem reported by help-seeking families [46]. Increased irritability predicted later conduct problems [47] and has been associated with a genetic risk for attention deficit hyperactivity disorder [48]. In contrast, irritability also predicted later internalizing [49]. This multifinality has been differentiated by error-related negativity (ERN) in EEG. In preschoolers with high irritability, increased ERN predicted later internalizing, while decreased ERN predicted later externalizing [50]. The ERN indicates an automated error detection that is modulated by LC-NE phasic activity [51]. Attenuated LC-NE phasic activity further attenuates a limbic fear response, which might promote externalizing behavior in irritable children [52]. We propose LC-NE phasic activity as an irritability correlate that differentiates between later externalizing and internalizing.\nBehavioral inhibition is another temperament trait of negative emotionality that is described by wariness and avoidance. Behavioral inhibition in young children predicted later anxiety and internalizing psychopathology as adults [53]. Behavioral inhibition in children has also been associated with an increased ERN [54] and an increased neurophysiological reactivity to novelty [55]. It indicates elevated LC-NE phasic activity as an amplifier of the limbic fear response that emphasizes a general threat perception and promotes behavioral inhibition [56]. We will investigate patterns of LC-NE activity that correspond to the early dispositional risks of irritability and behavioral inhibition. We expect differentiating profiles of LC-NE functioning, where elevated LC-NE phasic activity predicts later internalizing and attenuated LC-NE phasic activity predicts later externalizing psychopathology.\nStress like adverse childhood experiences is the other important determinant of psychopathology. An acute stress response is an internal coping mechanism to stress triggered by a neuronal network including the amygdala [57]. First, an autonomic response increases sympathetic activation for a momentary fight-flight-or-freeze response. A hypothalamic-pituitary-adrenal (HPA) axis then releases glucocorticoids like cortisol for sustained physical readiness. This endocrine stress response initially supports stress coping but cumulatively upregulates the HPA axis, which ultimately wears the body [58]. It explains the negative impact of stress over time. However, the acute stress response is also translated to a neuronal excitability that shapes our immediate perception in the face of stress [59].\nThis immediate neuro-translation of stress is moderated by LC-NE functioning [60]. The LC-NE has been established to initiate the autonomic stress response [61]. In addition, the HPA axis expresses a corticotropin-releasing hormone that binds to LC receptors and upregulates LC-NE tonic activity early in the endocrine stress response [62]. The upregulation of LC-NE tonic activity attenuates LC-NE phasic activity, which increases stimulus reactivity at the expense of sensory selectivity [63]. It reflects hyper-arousal [64] that intensifies the impact of stress [13]. For example, a liability to social stress in rodents was explained by an LC-NE modulation [65]. In humans, anxiety and stress-related disorders have been associated with increased LC-NE tonic activity [5366]. Excessive LC-NE tonic activity in response to stress-inducing adversity might be an etiological mechanism of anxiety symptoms [6266] that warrants an empirical evaluation in longitudinal studies.\nIn addition, LC-NE phasic activity is involved in the stress response by an LC projection to the amygdala in a subliminal response to fear [67]. LC-NE phasic activity emphasizes a neurophysiological response to emotional stress [68]. This has been explained by a different distribution of adrenergic receptors between the prefrontal cortex and the amygdala, where LC-NE phasic activity causes an inhibition of executive control and an excitation of the limbic fear response [69]. It has been observed in mice, pharmacological blocking of LC-NE phasic activity reduced amygdala activity during fear conditioning [70]. In a seminal study with healthy humans, LC-NE phasic responsivity and functional coupling with the amygdala during a neurocognitive task predicted internalizing symptoms following stress-inducing life events [2]. Accordingly, posttraumatic stress disorder has been associated with elevated LC-NE phasic activity in response to loud noises [71]. This supports increased LC-NE phasic activity as an amplifier of the neurophysiological fear response in the face of stress.\nLC-NE activity in stress regulation can, thus, be described as a (neuro-)translation of the acute stress response to neuronal excitability [72]. We propose that LC-NE functioning as a mechanism in young children that shapes a subjective perception of stress. Distinct LC-NE functioning profiles may emphasize psychological states (eg, threat perception) that increase the psychopathological impact of stress. Thus, interindividual differences in LC-NE functioning are expected to mediate the negative impact of childhood adversity. We expect that elevated LC-NE tonic activity corresponds to hyperarousal under stress that represents a liability to transdiagnostic psychopathology (p-factor). We further expect deviant LC-NE phasic activity to differentiate the development of internalizing versus externalizing psychopathology in response to childhood adversity. Elevated LC-NE tonic and phasic activity have been associated with internalizing symptoms in adults (eg, anxiety and negative affect), whereas blunted LC-NE phasic activity might indicate a subtype at risk for conduct problems [73]. LOCUS-MENTAL will investigate LC-NE functioning in preschoolers that mediates a differential susceptibility to adversity and differentiates future profiles of transdiagnostic psychopathology (see Figure 1).\nWe established a model that introduced LC-NE activity as a modulator of attentional function in autism [7475]. We manipulated task utility to induce changes in pupillary responses that related LC-NE functioning to performance [1]. We established the LC-NE to influence memory [76] and social attention [77]. At the time of this writing (DFG number: 492582254), we validate LC-NE measures by a combined pupillometry and EEG study. In data of 150 children, we showed a higher SEPR for oddball versus standard stimuli in a passive auditory oddball task (manuscript under review). In a recent publication, we used the European Autism Interventions Longitudinal European Autism Project sample [78] to analyze combined pupillometric and EEG data in a large cohort of deeply phenotyped autistic and nonautistic individuals. We showed that baseline BPS and SEPR as pupillometric measures drive the event-related potential of mismatch negativity in the response to oddball sounds [4]. This well-investigated auditory oddball task is applied as a reference task in this research program (Figure 2A).\nWe showed the feasibility of our methodology in early childhood by acquiring longitudinal pupillometric data in an eye-tracking battery of neurocognitive tasks in 100+ preschool children. Two cross-sectional analyses have been published [7980], while a longitudinal study applied pupil responses as a mediating mechanism in early intervention outcomes [5]. We assessed the reliability of pupillometry in 26 participants with 3 measurements (baseline, after 6 months, and after 12 months). BPS showed high correlations between measurement time points (rs=0.69−0.81) and an intraclass correlation of ICC=0.90, 95% CI 0.83-0.95. SEPR showed lower correlations between measurement time points that might be induced by intervention effects.\nWe further assess pupillometry and stress responses during an oddball task in adolescents (32-01/22). In preliminary data (n=32), BPS was associated with an attenuated downregulation of salivary cortisol (β=.56, 95% CI 0.38-0.74; R2=0.28), while pupillary response to oddballs (SEPR) was associated with higher hair (Δβ=.24, 95% CI 0.07-0.42; R2=0.15) and salivary cortisol levels (Figure 2B) supporting the LC-NE in stress responses. Finally, SEPR differentiated psychopathology above clinical cutoffs (Figure 2C). Taken together, our preliminary work underlines the feasibility and reliability of pupillometry in preschoolers, outlines our capacity to recruit burdened preschoolers, and emphasizes pupillometric responses as an index of LC-NE activity in stress and psychopathology.\nThe primary aim of LOCUS-MENTAL is to establish pupillometric measures of LC-NE functioning as a predictor of transdiagnostic psychopathology in childhood. We hypothesize that LC-NE functioning represents a fundamental neurobiological mechanism in the development of MHD that could serve as a biomarker for early risk detection. Transdiagnostic psychopathology is assessed with the caregiver-reported Child Behavior Checklist (CBCL), where clinical relevance is defined as reaching established cutoffs (T>60). LC-NE functioning is assessed with pupillometry. The study outcome could improve targeted prevention and intervention for MHD comorbidity in children. To achieve this aim, LOCUS-MENTAL is structured into 4 consecutive objectives, each with specific tasks within the following project plan (Figure 3).\nThis study aims to validate a concise test battery assessing LC-NE system functioning in preschool children using pupillometric measures during passive tasks. The test battery will be evaluated for convergent and discriminant validity.\nThis study aims to associate LC-NE functioning with correlates of psychopathology in a cross-sectional study. Task 2.1 will determine whether LC-NE functioning profiles serve as markers of dispositional risks and differentiate between irritability and behavioral inhibition. Task 2.2 will examine whether LC-NE functioning further mediates the association between childhood adversity and transdiagnostic psychopathology.\nThis study aims to evaluate the prospective effect of LC-NE functioning in a developmental model of vulnerability and stress. Task 3.1 will investigate whether pupillometric measures of LC-NE functioning in preschool age predict risk for psychopathology at school age. Task 3.2 will assess LC-NE functioning as a mediator between early stress responses and later psychopathology.\nThis study aims to develop an objective tool of risk prediction in the preschool ages based on the pupillometric measures of LC-NE functioning. LC-NE function profiles in preschoolers define a normative development space, where individual deviations indicate quantitative risks for MHD.\n\n\n### Background\nMental health disorders (MHDs) describe enduring altered cognition, emotion, and behavior and remain a leading cause of the global burden of diseases. Recently, the locus coeruleus norepinephrine system (LC-NE) has been established as a modulator of sensory processing that translates acute stress responses into neuronal excitability. We propose this LC-NE functioning to explain a differential susceptibility to psychosocial adversity that underlies dispositional risks for MHD (Figure 1). LOCUS-MENTAL will put this to the test. We will assess LC-NE functioning in preschoolers as a predictor of later psychopathology. We will use pupillometry as a feasible neuroimaging technique to quantify LC-NE functioning in preschool children. LOCUS-MENTAL ultimately aims to generate an objective tool of individual risk prediction that informs a targeted prevention of lifetime MHD.\nLOCUS-MENTAL uses a transdiagnostic, dimensional, and developmental approach to investigate LC-NE functioning as a predictor of MHD. Variations of LC-NE functioning have been associated with phenotypes of psychopathology [1-3]. Our work validated pupillometry as a feasible method to assess LC-NE functioning, which will now be scaled to the application in an outpatient clinic for early detection in the general population [45]. Preschool children will be assessed in an accelerated longitudinal study to reveal prospective effects of LC-NE functioning on psychopathology in the school age. These key concepts are discussed below.\n\n\n### Advancing Mental Disorders to a Transdiagnostic, Developmental Psychopathology\nComorbidity describes the co-occurrence of more than one diagnosis of MHD. Comorbidity is common, associated with more impairment and worse lifetime outcomes [6]. We lack the evidence to effectively treat MHD comorbidity at the time of this writing [7]. This may originate from conceiving MHD as independent diagnoses in clinical classification systems, which emphasized a focus on isolated diagnoses. In contrast, transdiagnostic psychopathology uses MHD comorbidity patterns to derive overarching factors. A bi-factor model with 3 factors showed the best fit in children [8]. An internalizing factor describes problems within individuals (depression and anxiety), whereas an externalizing factor describes problems between individuals (conduct problems and attention deficit hyperactivity disorder). Positive correlations between internalizing and externalizing established a superordinate p-factor that describes a liability for MHD. These 3 factors are continuous dimensions, in which manifestations below clinical thresholds are of prognostic relevance [9]. This transdiagnostic and dimensional perspective is expected to expose etiological mechanisms across MHD [10].\nComorbidity of MHD may further represent an endpoint where a secondary diagnosis arises because of a preceding primary diagnosis. This sequential comorbidity emphasizes a developmental perspective on MHD [11]. Most adults presenting comorbidity received an initial diagnosis in childhood, and half of all initial diagnoses occur before adolescence [6]. The preschool age may provide a sensible phase to identify mechanisms that influence developmental trajectories of lifetime psychopathology [12]. In addition, preschoolers differ in their risk for psychopathology even for shared psychosocial adversity [13]. This has been attributed to a differential susceptibility that explains an interaction of dispositional risks and stress [14]. We aim to identify a neurobiological mechanism of differential susceptibility [15] that mediates the impact of stress and contributes to the development of psychopathology.\n\n\n### LC-NE in the Translation of Sensory Input to Neurophysiological Excitability\nThe LC-NE system is a neuromodulatory network orchestrating the brain’s response to sensory stimuli [16]. The LC-NE comprises the bilateral pontine locus coeruleus (LC) and its projections, which is the primary source of cerebral norepinephrine. Neuroimaging has suggested a bidirectional connectivity of the LC with the anterior cingulate cortex (ACC), thalamus, cerebellum, and the temporoparietal junction [17]. Compared to the substantia nigra, another neuromodulatory nucleus, the LC has shown increased connectivity to the visual, parietal, and motor cortices and the cerebellum [18]. This suggests a relative focus of the LC in earlier stages of sensory processing that perpetuates cognition and behavior.\nThe Adaptive Gain Theory (AGT) describes LC-NE functioning in cognition and behavior as a performance optimizer with 2 interchanging modes [19]. An exploration mode describes LC-NE tonic activity with a variable low frequency (1‐5 Hz) that corresponds to arousal levels [20]. In contrast, an exploitation mode describes LC-NE phasic activity with transient frequency and amplitude bursts that enhance the sensory processing of task-relevant stimuli [21]. At the system level, LC-NE activity reflects alerting attention [22]. At the neuron level, this has been elaborated to a mechanism of sensory selectivity. LC-NE tonic and phasic activity release norepinephrine which causes an autoinhibition of spontaneous neuronal activity and an excitation of input-driven activity [23]. This specific mechanism of neuronal gain modulation emphasizes a sensory processing of salience [24]. In the glutamate-emphasizes-noradrenergic-effects model [25], a salience is neurochemically indicated by a release of glutamate and can be independent of top-down control [24]. Under relative arousal, LC-NE activity initiates a positive feedback loop of glutamate and norepinephrine interactions that leads to excitatory hot spots of functional activity and biases large-scale networks [26] toward sensory processing of salient stimuli [27]. It has been observed that, in mice, a moderate stimulation of LC-NE activity enhanced thalamic feature selectivity, increased information transmission, and led to improved perceptual performance [28]. LC-NE functioning has been established as a key modulator of arousal and sensory processing with subsequent effects on perception and behavior [1629].\n\n\n### Pupillometry Reliably Measures LC-NE Functioning in Clinical Settings\nLC-NE activity causes a dilation of the eye’s pupil. This pathway is indirect, as the LC-NE inhibits the Edinger-Westphal nucleus that typically emphasizes pupil constriction [30]. Pupil dilation has historically been used as an indicator of arousal and cognitive load [31]. Recently, pupil dilation has been differentiated into a baseline pupil size (BPS) and a stimulus-evoked pupillary response (SEPR), which index changes in LC-NE tonic and phasic activity, respectively [32]. These indices are assessed by pupillometry in video-based eye tracking. A study of combined functional magnetic resonance imaging and pupillometry showed a correlation of the LC’s signal with pupil dilation during the resting state (BPS) and with pupil dilation to oddball stimuli (SEPR) [33]. In a rodent model, an LC-NE stimulation predicted pupil dilation after 200‐300 milliseconds [34]. Other subcortical regions elicited pupil dilation with larger delays, which indicated an indirect activation of the LC [35]. In an optogenetic mouse model, pupil dilation marked relative changes in LC-NE activity, whereas variability challenges pupil size as a readout of absolute LC-NE activity [36]. This can be addressed by the application of baseline-corrected metrics [37]. In humans, the assessment of LC-NE activity is difficult with magnetic resonance imaging and electroencephalography (EEG) due to the LC’s location and small size [38]. This is pronounced in children that often induce more movement artifacts. Pupillometry now provides an index of LC-NE tonic and phasic activity (BPS and SEPR) that can be reliably measured with eye tracking. This innovative neuroimaging allows us to assess LC-NE functioning even in preschoolers in a clinical setting [5].\n\n\n### LC-NE Functioning in an Etiological Model of Dispositional Risks and Stress\nPsychopathology often develops by an interaction of dispositional risks and stress [39]. Dispositional risks describe internal features that increase a latent burden. In children, stress often refers to adverse childhood experiences like neglect and further extends to psychosocial domains like peer victimization [40]. If sufficient stress occurs upon dispositional risks, a psychopathology may develop. The preschool age is sensitive to this interaction and describes a precursor phase of lifetime psychopathology [15]. In preschoolers, dispositional risk profiles are observed, which map to polygenic scores for MHD that develop much later [11]. We propose that the LC-NE functioning in preschoolers underlies dispositional risks and shapes risk trajectories across diagnoses.\nTemperament describes a child’s innate sensory processing of affective stimuli and can represent an early dispositional risk [41]. Negative emotionality is a temperament with a proneness to negative affect that relates to later psychopathology and neuroticism. Negative emotionality has been associated with an elevated neurophysiological reactivity to reward and punishment, which explained an association between MHD polygenic scores and the p-factor in children [42]. This elevated reactivity has been reflected in an increased activity of the amygdala and the salience network and decreased activity of the ACC [43]. The LC-NE connectivity with the amygdala and ACC [44] suggests an effect of LC-NE functioning on negative emotionality.\nIrritability is a temperament trait of negative emotionality that is described by anger after frustration and attenuated fear under threat [45]. Irritability in children is the most pressing problem reported by help-seeking families [46]. Increased irritability predicted later conduct problems [47] and has been associated with a genetic risk for attention deficit hyperactivity disorder [48]. In contrast, irritability also predicted later internalizing [49]. This multifinality has been differentiated by error-related negativity (ERN) in EEG. In preschoolers with high irritability, increased ERN predicted later internalizing, while decreased ERN predicted later externalizing [50]. The ERN indicates an automated error detection that is modulated by LC-NE phasic activity [51]. Attenuated LC-NE phasic activity further attenuates a limbic fear response, which might promote externalizing behavior in irritable children [52]. We propose LC-NE phasic activity as an irritability correlate that differentiates between later externalizing and internalizing.\nBehavioral inhibition is another temperament trait of negative emotionality that is described by wariness and avoidance. Behavioral inhibition in young children predicted later anxiety and internalizing psychopathology as adults [53]. Behavioral inhibition in children has also been associated with an increased ERN [54] and an increased neurophysiological reactivity to novelty [55]. It indicates elevated LC-NE phasic activity as an amplifier of the limbic fear response that emphasizes a general threat perception and promotes behavioral inhibition [56]. We will investigate patterns of LC-NE activity that correspond to the early dispositional risks of irritability and behavioral inhibition. We expect differentiating profiles of LC-NE functioning, where elevated LC-NE phasic activity predicts later internalizing and attenuated LC-NE phasic activity predicts later externalizing psychopathology.\n\n\n### Dispositional Risks for Psychopathology and the LC-NE\nTemperament describes a child’s innate sensory processing of affective stimuli and can represent an early dispositional risk [41]. Negative emotionality is a temperament with a proneness to negative affect that relates to later psychopathology and neuroticism. Negative emotionality has been associated with an elevated neurophysiological reactivity to reward and punishment, which explained an association between MHD polygenic scores and the p-factor in children [42]. This elevated reactivity has been reflected in an increased activity of the amygdala and the salience network and decreased activity of the ACC [43]. The LC-NE connectivity with the amygdala and ACC [44] suggests an effect of LC-NE functioning on negative emotionality.\n\n\n### Irritability\nIrritability is a temperament trait of negative emotionality that is described by anger after frustration and attenuated fear under threat [45]. Irritability in children is the most pressing problem reported by help-seeking families [46]. Increased irritability predicted later conduct problems [47] and has been associated with a genetic risk for attention deficit hyperactivity disorder [48]. In contrast, irritability also predicted later internalizing [49]. This multifinality has been differentiated by error-related negativity (ERN) in EEG. In preschoolers with high irritability, increased ERN predicted later internalizing, while decreased ERN predicted later externalizing [50]. The ERN indicates an automated error detection that is modulated by LC-NE phasic activity [51]. Attenuated LC-NE phasic activity further attenuates a limbic fear response, which might promote externalizing behavior in irritable children [52]. We propose LC-NE phasic activity as an irritability correlate that differentiates between later externalizing and internalizing.\n\n\n### Behavioral Inhibition\nBehavioral inhibition is another temperament trait of negative emotionality that is described by wariness and avoidance. Behavioral inhibition in young children predicted later anxiety and internalizing psychopathology as adults [53]. Behavioral inhibition in children has also been associated with an increased ERN [54] and an increased neurophysiological reactivity to novelty [55]. It indicates elevated LC-NE phasic activity as an amplifier of the limbic fear response that emphasizes a general threat perception and promotes behavioral inhibition [56]. We will investigate patterns of LC-NE activity that correspond to the early dispositional risks of irritability and behavioral inhibition. We expect differentiating profiles of LC-NE functioning, where elevated LC-NE phasic activity predicts later internalizing and attenuated LC-NE phasic activity predicts later externalizing psychopathology.\n\n\n### LC-NE Activity as a Neuro-Translator of Acute Stress Responses\nStress like adverse childhood experiences is the other important determinant of psychopathology. An acute stress response is an internal coping mechanism to stress triggered by a neuronal network including the amygdala [57]. First, an autonomic response increases sympathetic activation for a momentary fight-flight-or-freeze response. A hypothalamic-pituitary-adrenal (HPA) axis then releases glucocorticoids like cortisol for sustained physical readiness. This endocrine stress response initially supports stress coping but cumulatively upregulates the HPA axis, which ultimately wears the body [58]. It explains the negative impact of stress over time. However, the acute stress response is also translated to a neuronal excitability that shapes our immediate perception in the face of stress [59].\nThis immediate neuro-translation of stress is moderated by LC-NE functioning [60]. The LC-NE has been established to initiate the autonomic stress response [61]. In addition, the HPA axis expresses a corticotropin-releasing hormone that binds to LC receptors and upregulates LC-NE tonic activity early in the endocrine stress response [62]. The upregulation of LC-NE tonic activity attenuates LC-NE phasic activity, which increases stimulus reactivity at the expense of sensory selectivity [63]. It reflects hyper-arousal [64] that intensifies the impact of stress [13]. For example, a liability to social stress in rodents was explained by an LC-NE modulation [65]. In humans, anxiety and stress-related disorders have been associated with increased LC-NE tonic activity [5366]. Excessive LC-NE tonic activity in response to stress-inducing adversity might be an etiological mechanism of anxiety symptoms [6266] that warrants an empirical evaluation in longitudinal studies.\nIn addition, LC-NE phasic activity is involved in the stress response by an LC projection to the amygdala in a subliminal response to fear [67]. LC-NE phasic activity emphasizes a neurophysiological response to emotional stress [68]. This has been explained by a different distribution of adrenergic receptors between the prefrontal cortex and the amygdala, where LC-NE phasic activity causes an inhibition of executive control and an excitation of the limbic fear response [69]. It has been observed in mice, pharmacological blocking of LC-NE phasic activity reduced amygdala activity during fear conditioning [70]. In a seminal study with healthy humans, LC-NE phasic responsivity and functional coupling with the amygdala during a neurocognitive task predicted internalizing symptoms following stress-inducing life events [2]. Accordingly, posttraumatic stress disorder has been associated with elevated LC-NE phasic activity in response to loud noises [71]. This supports increased LC-NE phasic activity as an amplifier of the neurophysiological fear response in the face of stress.\nLC-NE activity in stress regulation can, thus, be described as a (neuro-)translation of the acute stress response to neuronal excitability [72]. We propose that LC-NE functioning as a mechanism in young children that shapes a subjective perception of stress. Distinct LC-NE functioning profiles may emphasize psychological states (eg, threat perception) that increase the psychopathological impact of stress. Thus, interindividual differences in LC-NE functioning are expected to mediate the negative impact of childhood adversity. We expect that elevated LC-NE tonic activity corresponds to hyperarousal under stress that represents a liability to transdiagnostic psychopathology (p-factor). We further expect deviant LC-NE phasic activity to differentiate the development of internalizing versus externalizing psychopathology in response to childhood adversity. Elevated LC-NE tonic and phasic activity have been associated with internalizing symptoms in adults (eg, anxiety and negative affect), whereas blunted LC-NE phasic activity might indicate a subtype at risk for conduct problems [73]. LOCUS-MENTAL will investigate LC-NE functioning in preschoolers that mediates a differential susceptibility to adversity and differentiates future profiles of transdiagnostic psychopathology (see Figure 1).\n\n\n### Preliminary Work\nWe established a model that introduced LC-NE activity as a modulator of attentional function in autism [7475]. We manipulated task utility to induce changes in pupillary responses that related LC-NE functioning to performance [1]. We established the LC-NE to influence memory [76] and social attention [77]. At the time of this writing (DFG number: 492582254), we validate LC-NE measures by a combined pupillometry and EEG study. In data of 150 children, we showed a higher SEPR for oddball versus standard stimuli in a passive auditory oddball task (manuscript under review). In a recent publication, we used the European Autism Interventions Longitudinal European Autism Project sample [78] to analyze combined pupillometric and EEG data in a large cohort of deeply phenotyped autistic and nonautistic individuals. We showed that baseline BPS and SEPR as pupillometric measures drive the event-related potential of mismatch negativity in the response to oddball sounds [4]. This well-investigated auditory oddball task is applied as a reference task in this research program (Figure 2A).\nWe showed the feasibility of our methodology in early childhood by acquiring longitudinal pupillometric data in an eye-tracking battery of neurocognitive tasks in 100+ preschool children. Two cross-sectional analyses have been published [7980], while a longitudinal study applied pupil responses as a mediating mechanism in early intervention outcomes [5]. We assessed the reliability of pupillometry in 26 participants with 3 measurements (baseline, after 6 months, and after 12 months). BPS showed high correlations between measurement time points (rs=0.69−0.81) and an intraclass correlation of ICC=0.90, 95% CI 0.83-0.95. SEPR showed lower correlations between measurement time points that might be induced by intervention effects.\nWe further assess pupillometry and stress responses during an oddball task in adolescents (32-01/22). In preliminary data (n=32), BPS was associated with an attenuated downregulation of salivary cortisol (β=.56, 95% CI 0.38-0.74; R2=0.28), while pupillary response to oddballs (SEPR) was associated with higher hair (Δβ=.24, 95% CI 0.07-0.42; R2=0.15) and salivary cortisol levels (Figure 2B) supporting the LC-NE in stress responses. Finally, SEPR differentiated psychopathology above clinical cutoffs (Figure 2C). Taken together, our preliminary work underlines the feasibility and reliability of pupillometry in preschoolers, outlines our capacity to recruit burdened preschoolers, and emphasizes pupillometric responses as an index of LC-NE activity in stress and psychopathology.\n\n\n### Validity of Pupillometry in Clinical Samples\nWe established a model that introduced LC-NE activity as a modulator of attentional function in autism [7475]. We manipulated task utility to induce changes in pupillary responses that related LC-NE functioning to performance [1]. We established the LC-NE to influence memory [76] and social attention [77]. At the time of this writing (DFG number: 492582254), we validate LC-NE measures by a combined pupillometry and EEG study. In data of 150 children, we showed a higher SEPR for oddball versus standard stimuli in a passive auditory oddball task (manuscript under review). In a recent publication, we used the European Autism Interventions Longitudinal European Autism Project sample [78] to analyze combined pupillometric and EEG data in a large cohort of deeply phenotyped autistic and nonautistic individuals. We showed that baseline BPS and SEPR as pupillometric measures drive the event-related potential of mismatch negativity in the response to oddball sounds [4]. This well-investigated auditory oddball task is applied as a reference task in this research program (Figure 2A).\n\n\n### Reliability of Pupillometry in Preschoolers\nWe showed the feasibility of our methodology in early childhood by acquiring longitudinal pupillometric data in an eye-tracking battery of neurocognitive tasks in 100+ preschool children. Two cross-sectional analyses have been published [7980], while a longitudinal study applied pupil responses as a mediating mechanism in early intervention outcomes [5]. We assessed the reliability of pupillometry in 26 participants with 3 measurements (baseline, after 6 months, and after 12 months). BPS showed high correlations between measurement time points (rs=0.69−0.81) and an intraclass correlation of ICC=0.90, 95% CI 0.83-0.95. SEPR showed lower correlations between measurement time points that might be induced by intervention effects.\n\n\n### Pupillometry and Stress Response\nWe further assess pupillometry and stress responses during an oddball task in adolescents (32-01/22). In preliminary data (n=32), BPS was associated with an attenuated downregulation of salivary cortisol (β=.56, 95% CI 0.38-0.74; R2=0.28), while pupillary response to oddballs (SEPR) was associated with higher hair (Δβ=.24, 95% CI 0.07-0.42; R2=0.15) and salivary cortisol levels (Figure 2B) supporting the LC-NE in stress responses. Finally, SEPR differentiated psychopathology above clinical cutoffs (Figure 2C). Taken together, our preliminary work underlines the feasibility and reliability of pupillometry in preschoolers, outlines our capacity to recruit burdened preschoolers, and emphasizes pupillometric responses as an index of LC-NE activity in stress and psychopathology.\n\n\n### Main Objectives\nThe primary aim of LOCUS-MENTAL is to establish pupillometric measures of LC-NE functioning as a predictor of transdiagnostic psychopathology in childhood. We hypothesize that LC-NE functioning represents a fundamental neurobiological mechanism in the development of MHD that could serve as a biomarker for early risk detection. Transdiagnostic psychopathology is assessed with the caregiver-reported Child Behavior Checklist (CBCL), where clinical relevance is defined as reaching established cutoffs (T>60). LC-NE functioning is assessed with pupillometry. The study outcome could improve targeted prevention and intervention for MHD comorbidity in children. To achieve this aim, LOCUS-MENTAL is structured into 4 consecutive objectives, each with specific tasks within the following project plan (Figure 3).\nThis study aims to validate a concise test battery assessing LC-NE system functioning in preschool children using pupillometric measures during passive tasks. The test battery will be evaluated for convergent and discriminant validity.\nThis study aims to associate LC-NE functioning with correlates of psychopathology in a cross-sectional study. Task 2.1 will determine whether LC-NE functioning profiles serve as markers of dispositional risks and differentiate between irritability and behavioral inhibition. Task 2.2 will examine whether LC-NE functioning further mediates the association between childhood adversity and transdiagnostic psychopathology.\nThis study aims to evaluate the prospective effect of LC-NE functioning in a developmental model of vulnerability and stress. Task 3.1 will investigate whether pupillometric measures of LC-NE functioning in preschool age predict risk for psychopathology at school age. Task 3.2 will assess LC-NE functioning as a mediator between early stress responses and later psychopathology.\nThis study aims to develop an objective tool of risk prediction in the preschool ages based on the pupillometric measures of LC-NE functioning. LC-NE function profiles in preschoolers define a normative development space, where individual deviations indicate quantitative risks for MHD.\n\n\n### Objective 1\nThis study aims to validate a concise test battery assessing LC-NE system functioning in preschool children using pupillometric measures during passive tasks. The test battery will be evaluated for convergent and discriminant validity.\n\n\n### Objective 2\nThis study aims to associate LC-NE functioning with correlates of psychopathology in a cross-sectional study. Task 2.1 will determine whether LC-NE functioning profiles serve as markers of dispositional risks and differentiate between irritability and behavioral inhibition. Task 2.2 will examine whether LC-NE functioning further mediates the association between childhood adversity and transdiagnostic psychopathology.\n\n\n### Objective 3\nThis study aims to evaluate the prospective effect of LC-NE functioning in a developmental model of vulnerability and stress. Task 3.1 will investigate whether pupillometric measures of LC-NE functioning in preschool age predict risk for psychopathology at school age. Task 3.2 will assess LC-NE functioning as a mediator between early stress responses and later psychopathology.\n\n\n### Objective 4\nThis study aims to develop an objective tool of risk prediction in the preschool ages based on the pupillometric measures of LC-NE functioning. LC-NE function profiles in preschoolers define a normative development space, where individual deviations indicate quantitative risks for MHD.\n\n\n### Methods\nLOCUS-MENTAL will achieve its objectives by combining pupillometric indices of LC-NE functioning and using a prospective panel study design (Figure 4). Pupillometry is assessed by video-based eye tracking during basic paradigms that are feasible in preschoolers. Transdiagnostic psychopathology is assessed by CBCL externalizing, internalizing, and total T-scores. Childhood adversity is assessed by interviewing caregivers, children, and clinicians. Pupillometric indices, transdiagnostic psychopathology, and childhood adversity are repeatedly measured in an accelerated longitudinal study: We assess preschoolers (aged 4‐6 years) in an initial assessment with reassessments after one year (aged 5‐7 years) and after 2 years (aged 6‐8 years). This accelerated design allows revealing causative effects of LC-NE functioning on psychopathology from 4 to 8 years of age. In addition, this allows quantifying LC-NE functioning as a mediator in the effect of childhood adversity on psychopathology. In distinct subtasks, LC-NE functioning is elaborated as a neurophysiological mechanism of established dispositional risks, while LC-NE functioning in stress regulation is explored by combined pupillometry and analysis of hair cortisol levels and salivary cortisol after a social stress test. This will characterize LC-NE functioning profiles in the interaction of dispositional risk and stress. Finally, LOCUS-MENTAL applies normative modeling on the pupillometric data to develop a tool for risk prediction of developmental trajectories in transdiagnostic psychopathology. An overview of all measures is provided below (Table 1). The reporting of this study protocol follows the STROBE (Strengthening the Reporting of Observational Studies in Epidemiology) guidelines for longitudinal cohort studies [81]. The completed checklist is available in Checklist 1.\nCBCL: Child Behavior Checklist\nBIQ: Behavioral Inhibition Questionnaire\nARI: Affective Reactivity Index\nCBQ-VSF: Children’s Behavior Questionnaire–Very Short Form\nACE+: Adverse Childhood Experiences Questionnaire Plus\nF-SoZu 6: Social Support Questionnaire\nCLES-P: Childhood Life Events Scale–Preschool\nVEX-Preschool: Violence Exposure Scale–Preschool\nWPPSI: Wechsler Preschool and Primary Scale of Intelligence\nEEG: electroencephalogram.\nThe main recruitment avenues will be the outpatient clinic for early detection at the Department for Child and Adolescent Psychiatry at the Goethe University Hospital. In the help-seeking population, externalizing disorders might be overrepresented, which is why we will overrecruit preschoolers with internalizing symptoms. We aim for a representative sample by recruitment across all levels of psychopathology. This is why we will also recruit in the general population by distributing flyers with study information at local health care and public institutions, pediatricians, and day care facilities and promoting the study in targeted social media groups and channels. Exclusion criteria will be known genetic syndromes and neurological diseases. Caregivers will receive a summary report of their child’s assessment (eg, IQ evaluation) upon completion of each assessment wave.\nThe experimental assessments will be carried out at our combined eye-tracking and EEG lab that we established at the clinic. The procedure is framed as a play experience. The child watches a sequence of their favorite movie on the stimulus presentation screen. This is followed by the assessments where the child may sit on their caregiver’s lap. Each paradigm is designed to enable breaks. Questionnaire measures may be filled out by the caregivers via our in-house online tool to decrease the participant burden, whereas structured clinical interviews and child questionnaires will be carried out by trained clinical staff.\nSample sizes (n) were determined based on recruitment feasibility and the ability to detect moderate effects with a power of β>.80. For each task, we estimated the power by Monte Carlo simulations (k=1000) within respective models [9798]. In the following sections, the sample size and power are reported, respectively, for each specific objective or task.\nWe will recruit 90 preschool-aged children to participate in a passive pupillometry test battery designed to measure LC-NE activity.\nA power analysis using a linear mixed model (LMM) indicates a power of β=.82 for 90 participants to detect a moderate stimulus effect (b=0.3) in the auditory oddball task (100 trials, 20% oddballs).\nThis task uses a multitrait, multimethod design combining pupillometry, EEG, and behavioral assessments to validate the pupillometry battery.\nThe battery consists of 4 individual tasks. The primary task is a passive auditory oddball task, and the 3 additional tasks are a rapid sound sequence, a visual oddball, and an audio-cued visual search task. At the beginning of each task, a fixation cross in the center of the screen is presented for 5 seconds and can be used as a global baseline. After the last task, there is an additional measurement of a 5-second baseline. All tasks are presented in a fixed order, and in between the tasks, a short children’s cartoon (duration=30 s) is presented to maintain children’s attention and motivation. The overall duration of the battery is approximately 16 minutes. Prior to the task, we conduct a 6-point calibration. The source code of the tasks as a Python (Python Software Foundation) implementation can be found on the GitHub repository “locusmental_wp1_tasks” of Nico Bast.\nA passive auditory oddball task that is feasible in preschoolers (see 1.3, Figure 2) will be applied as a reference measure [90]. The auditory oddball task consists of a series (k=100) of frequent (“standard,” 80%) or infrequent (“oddball,” 20%) pure tones. Pure tones will have a short duration (50 ms) and will be presented with an interstimulus interval of a random duration between 1.8 and 2 seconds, while the pitch of the pure tones (500 or 750 Hz) will be counterbalanced between participants. Attention will be directed to the screen center by a continuous cartoon video without sound and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention.\nThe Rapid Sound Sequences task consists of auditory stimuli 6 seconds-long sequences of subsequent tone pips (50 ms duration), drawn from a pregenerated pool of 20 fixed frequencies. Each sequence is followed by a 2-second interstimulus interval. The tone-pip sequences are arranged according to varying patterns and are randomly generated for each participant and on each trial. Conditions vary by levels of auditory regularity and irregularity with 2 control and 3 transition conditions. Previous research showed that transitions from regularity to irregularity evoked pupillary responses [24].\nControl condition regular 10 (REG10): randomly selecting 10 frequencies from the pool, arranging them in a fixed sequence pattern, and iterating the sequence to create a regular pattern.\nControl condition random 20 (RAND20): randomly selecting 20 frequencies with replacement from the pool and playing these fully randomized.\nTransition condition REG10-RAND20: the first 3 seconds are presented as REG10, followed by a transition to RAND20 for 3 seconds.\nTransition condition RAND20-REG10: the first 3 seconds are presented as RAND20, followed by a transition to REG10 for 3 seconds.\nThe transition condition RAND20-REG1: the sequence starts as RAND20 for 3 seconds and transitions into REG1, a single tone pip selected from the pool and iterated for the final 3 seconds.\nEach control condition will be presented 5 times, and each transition condition 10 times, in randomized order. Attention will be directed to the screen center by a fixcross or a video and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention. A silent cartoon will be presented during the interstimulus interval.\nThe visual oddball task consists of 72 trials displaying frequent (standard size: 2.9° visual degrees; 80%) and infrequent (oddball size: 4.6° visual degrees; 20%) blue circles. Each stimulus is displayed for a 150-millisecond duration and is preceded by a 1.5-second interstimulus interval. Attention is maintained using gaze-contingent trial presentation.\nEach trial presents a visual search display consisting of 4 colored circles (red, yellow, or green) arranged in an imaginary circle around the center of the screen. One circle (target circle) has a deviant color from the 3 distractors, and its position changes randomly across the 30 trials. The visual search phase has a duration of 1.5 seconds. An auditory alerting cue, a simple brief beep, is presented in 50% of the trials. The cue duration varies randomly between 200 and 300 milliseconds and is presented with a random delay of 0‐100 milliseconds within a 400-millisecond interval prior to the visual search onset. Each trial starts with a 1.5-second interstimulus interval with a fixation cross in the center of the screen. Attention is maintained using gaze-contingent trial presentation.\nBPS and SEPR are assessed for each trial in each task. BPS is defined as the pupil size prior to stimulus onset, while SEPR represents a pupil size change in response to stimuli. BPS and SEPR will be evaluated in the auditory oddball task in response to standard trials as neurophysiological habituation [99] and to oddball trials as sensory selectivity [33].\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the Wechsler Preschool and Primary Scale of Intelligence (WPPSI) [93].\nWe will validate the pupillometric indices by a multitrait-multimethod design. In a homo-method analysis, the BPS and SEPR during the auditory oddball task (Figure 5A) will be compared to BPS and SEPR in tasks of LC-NE functioning with irregularity in rapid sound sequences [24] (Figure 5B), a visual oddball task [91] (Figure 5C), and an audio-cued visual search [92] (Figure 5D).\nIn a hetero-method analysis, the BPS and SEPR during the auditory oddball task will be compared to event-related potentials (ERPs) in concurrent EEG. We investigate oddball ERPs that are likely associated with LC-NE activity (P300, MMN) [27100]. Finally, the pupillometric measures will be compared to divergent measures of cognitive and language ability as assessed by WPPSI-IV [93]. Patterns of high intercorrelations will be used to create a concise pupillometric battery of LC-NE functioning (~15 min). BPS and SEPR are reliably assessed in few oddball trials (k=20).\nA successful task manipulation will be indicated by a higher SEPR in oddball versus standard trials (ie, sensory selectivity) and declining BPS across standard trials (ie, habituation). We expect convergent validity with moderate-to-high correlations between the auditory oddball SEPR and the pupillometric measures in the validation tasks (including SEPR to a change from regularity to irregularity, SEPR to visual oddball stimuli, and SEPR before target detection). We expect convergent validity in the hetero-method analyses, whereas we expect divergent validity with cognitive and language development.\nWe only include paradigms that are feasible in young children. This shall ensure a sufficient completion rate in preschoolers (>80%). The concurrent presentation of visual stimuli to maintain attention during the auditory oddball task may impede the SEPR. However, we recently showed in independent data that visual presentation during an auditory oddball task still induces distinct task-evoked pupillary responses.\nA sample of 140 preschool-aged children will be recruited in accordance with the general recruitment strategy of the study.\nA power analysis based on an LMM indicates that a sample of 140 participants provides power of β=.84 to detect a moderate correlation (b=0.3) between LC-NE functioning and dispositional risks.\nCross-sectional analysis of combined pupillometry, EEG, and behavioral and cognitive assessments.\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks. In a concurrent EEG, the ERP of ERN will be assessed using an age-appropriate Go/No-Go task [50]. Neurocognitive paradigms of irritability will be examined using a dot-probe task [95] and a frustrative reward learning task [96].\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nTemperament traits will be measured via caregiver reports with the Behavioral Inhibition Questionnaire (BIQ) [83] and Affective Reactivity Index (ARI) [84]. Negative emotionality will be assessed via Child Behavior Questionnaire-Very Short Form (CBQ-VSF) [85]. The 3 transdiagnostic factors of psychopathology will be assessed with the Child Behavior Checklist (CBCL 4‐18) [82].\nWe will apply LMM analysis with participants as random intercepts. These will allow us to explore associations between variables on a per-task level and control for potential covariates (age, gender, and IQ).\nBehavioral inhibition (BIQ score) is expected to correlate positively with both BPS and SEPR in the pupillometric battery of LC-NE functioning. In contrast, irritability (assessed via ARI score) is expected to show differential profiles of LC-NE functioning. We expect high irritability scores and high SEPR to be associated with higher internalizing symptoms, while high irritability scores and low SEPR will be associated with higher externalizing symptoms—these expected outcomes are supposed to match ERN profiles [101]. Furthermore, in the neurocognitive paradigms, participants with high-irritability-low-SEPR profiles are further expected to show increased attentional bias toward threat cues (threat perception) and decreased attentional shifts during frustration (frustrative reward learning). These patterns would suggest a subgroup with elevated risk for conduct disorders. We will further explore LC-NE functioning in children with both high irritability and high behavioral inhibition, who are expected to exhibit higher negative emotionality and an increased BPS as an index of an elevated LC-NE tonic activity.\nThis task is associated with the highest participant burden due to its combined EEG assessments and neurocognitive task demands. To mitigate this, we will provide additional breaks for the participants and offer food and drinks between assessments. We assume a higher attrition rate for this task compared to other tasks, estimated at approximately 30%. Thus, this task is designed as more optional, ensuring that potential dropouts will not compromise subsequent study objectives.\nA sample of 300 preschool-aged children (aged 4‐6 years) will be recruited in accordance with the general recruitment strategy of the study.\nA power analysis based on a structural equation model indicates that a sample of 300 children provides a power of β=.80 to detect a moderate path coefficient (a=0.2) between latent variables of LC-NE functioning and psychopathology.\nCross-sectional analysis of combined pupillometry, behavioral, and cognitive assessments will be used.\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nTransdiagnostic psychopathology factors (externalizing, internalizing, and p-factor) will be assessed with CBCL 4‐18. In addition, we will assess childhood adversity based on multiple sources. Specifically, a caregiver interview that captures adverse childhood experiences and other psychosocial domains (ACE+) [40], a respective child interview [86], validated child-report measures of adversity [8889], and a report by the respective clinician from the outpatient clinic for those children recruited via the outpatient recruitment leg. This assessment approach will provide an index of cumulative adversity or will be differentiated into specific adversity domains.\nStructural equation models will be applied to estimate the associations between the latent constructs (LC-NE functioning, transdiagnostic psychopathology, and childhood adversity). A best-fit path model will be used to reduce the complexity of the structural equation in the longitudinal study of Objective 3. A latent mediation model, in which LC-NE functioning is expected to mediate an association between previous childhood adversity and transdiagnostic psychopathology, will be applied. Independent models for BPS, SEPR, and each transdiagnostic factor will be estimated. Classification approaches will be applied in exploratory analyses to identify LC-NE function profiles in subgroups of psychopathology.\nWe hypothesize associations between retrospective childhood adversity, LC-NE function, and transdiagnostic psychopathology. For example, lower LC-NE tonic activity is expected to represent a resilience to the negative impact of childhood adversity on psychopathology. In addition, we expect profiles of LC-NE functioning that are associated with patterns of transdiagnostic psychopathology; BPS is expected to positively correlate with the p-factor, whereas increased and decreased SEPR are expected to positively correlate with internalizing and externalizing symptoms, respectively.\nWe anticipate that some children will require immediate support, and we will use our clinical infrastructure to provide further case management. In addition, reports of adversity will be evaluated according to our in-house reporting guidelines, which align with the German child protection laws. This includes evaluation in a joint discussion and may result in reporting to child protection authorities when imminent danger is identified.\nThe study will follow the sample of 300 preschool-aged children, initially assessed in Task 2.2 at 4‐6 years of age across 3 time points.\nFor the core longitudinal study with a cross-lagged panel model, power is β=.82 for 300 participants to detect a moderate cross-lagged effect of LC-NE functioning on psychopathology (a=0.2; see Figure 6).\nThe study uses an accelerated longitudinal design with 3 assessment waves and time points: the baseline or initial assessment as part of Task 2.2 (T1; aged 4‐6 years), a 1-year follow-up (T2; aged 5‐7 years), and a 2-year follow-up (T3; aged 6‐8 years). At each time point, we assess neurophysiological (pupillometry), behavioral, and cognitive measures.\nAt each time point, the validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nAt each timepoint assessment of the behavioral measures, as described in Task 2.2, will include caregiver questionnaires (CBCL 4‐18) and the multiple-source assessment of childhood adversity (see Table 1).\nThe accelerated longitudinal design allows estimation of an autoregressive cross-lagged panel model that will quantify the effect of previous LC-NE functioning (BPS and SEPR) on later transdiagnostic psychopathology factors (CBCL) across the age of 4-8 years (see Figure 6). We will control for potential cohort effects (initial age: 4 vs 5 vs 6 years) by including cohort as a random intercept. Each model fit will be evaluated by the predefined indices of CFI, TLI, RMSEA, and SRMR.\nThis core of LOCUS-MENTAL will be informed by the outcome of task 2.2. We expect (see Figure 1) that higher BPS as an index of LC-NE tonic activity predicts a higher p-factor. Increased and decreased SEPR as an index of LC-NE phasic activity is expected to predict higher internalizing and externalizing symptoms, respectively. This would predict future psychopathology based on pupillometric markers. The stability of the investigated constructs is controlled for by autoregressive effects. The structural equation models will be explored for the covariate effects of childhood adversity, previous psychopathology, and received clinical support (eg, in the context of the outpatient clinic for early detection).\nA major risk is a low retention rate. A meta-analysis identified a mean retention rate of 73.5% and identified strategies to increase it [102]. This includes barrier reduction by including remote data collection (eg, offer data collection via phone and online), tracing strategies by locator documents with contact information, and community-building by sending participants thank-you, birthday, and holiday cards. We will implement these strategies in LOCUS-MENTAL to maximize our retention rate while maintaining ethical standards.\nParticipants in this study will comprise a subsample of 5‐6-year-olds (n=160) at one randomly selected timepoint (T2 or T3) from the large longitudinal cohort (Task 3.1).\nA power analysis using a bivariate latent growth curve model indicates a power of β=.82 for 160 participants to detect a moderate path coefficient (b=0.2) of cortisol reactivity on changes in psychopathology.\nThis task uses a cross-sectional assessment of endocrine stress responses within the longitudinal study.\nEndocrine stress responses provide a more proximate measure of stress compared to childhood adversity. We will assess stress responses through hair cortisol levels [103] and salivary cortisol measurements following a developmentally appropriate social stress test [94]. Hair cortisol levels will quantify the retrospective stress levels, while salivary cortisol will quantify the acute stress response.\nFor hair cortisol, we will collect 3 centimeters in length of scalp-nearest hair; this will contain cortisol information over the preceding 3 months. Salivary cortisol will be collected via fiber chewing before and after a social stress test (after 30-40 minutes). In the social stress test, the children are instructed to match stickers to animals to win a prize. Time pressure will be applied by a commenting experimenter and a toy traffic light that turns red and emits a buzzer sound [94104]. Contractors will process salivary (Daacro) and hair (Dresden Lab service) samples.\nThe cortisol measures will be applied in a mediation model to examine LC-NE functioning in the association of stress response and psychopathology. We will further quantify the effect of LC-NE functioning in the association of childhood adversity and stress response.\nWe expect a positive association between cortisol measures and psychopathology. Based on our model (Figure 1), we assume BPS and SEPR to mediate this direct effect. Higher BPS and SEPR are expected to explain an increased effect of hair cortisol levels and salivary cortisol response on the internalizing symptoms and the p-factor. Lower BPS is expected to be a protective factor on the negative impact of stress on psychopathology, which could represent a mechanism of resilience. Based on our preliminary work (see above), we expect an attenuated downregulation of salivary cortisol in response to the social stress test (ie, inefficient acute stress regulation) to be associated with higher internalizing symptoms and a higher p-factor. We expect this effect to be mediated by BPS as an index of LC-NE tonic activity.\nChildhood adversity might not be disclosed by caregivers if they are also the perpetrators, while child reports on adversity might be unreliable. To mitigate the underreporting biases, we will implement the multiple-sources approach to adversity. In addition, any reports on adversity will be evaluated according to our in-house reporting guidelines and may lead to further actions.\nThe full sample was recruited during work packages 2 and 3.\nThe full sample consists of the 300 participants assessed in task 2.2.\nThe findings of Objectives 2 and 3 will be used to enrich a probabilistic model in the full sample (n=300) that assigns individual risk based on LC-NE functioning in the preschool age. This will be evaluated as a tool of quantitative risk prediction for future psychopathology. We will operationalize risk probability within a normative model of transdiagnostic psychopathology [105]. A reference cohort will be defined from a subsample of participants that did not develop clinically relevant transdiagnostic psychopathology. This cohort will be applied to estimate a normative development model (ie, output) as a function of LC-NE tonic and phasic activity profiles. It defines a range of LC-NE functioning variation that is associated with a low risk. The model can then be applied to withheld data, that is, individuals who did develop transdiagnostic psychopathology. This allows one to quantify a numeric deviation of LC-NE functioning from normative ranges. The numeric deviation is then applied as a predictor of psychopathology in linear models that represent an individual risk prediction. The performance of individual risk prediction based on LC-NE functioning will be compared to the predictive validity of available covariates, confirmed by v-fold validation, and implemented in the outpatient clinic for external validation in independent data.\nWe expect LC-NE functioning to provide added predictive validity, with an increase in explained variance compared to previous psychopathology, childhood adversity, and cognitive ability. We assume a moderate accuracy of the normative model and substantial associations of normative range deviations with transdiagnostic psychopathology. We further expect that the spatial direction of the range deviation within the normative model differentiates the factors of transdiagnostic psychopathology. The simplicity of the model emphasizes its feasibility for use in clinical settings. The final task of LOCUS-MENTAL will provide a tool for quantitative risk prediction in at-risk populations of preschoolers.\nWe acknowledge that LC-NE functioning is not the only determinant in the complex development of psychopathology, but given this, the time is ripe to test a promising neurophysiological mechanism as an objective predictor that improves the assessment of clinical risk over the current practice of subjective evaluation.\nThe study was approved by the Ethical Committee (reference number: 2024‐2160) and the Data Protection Officer of the Medical Faculty of Goethe University Frankfurt. To date, no adverse events have been reported by any comparable study, and thus we expect no risks nor harm to our participants. The study is planned and will be conducted and analyzed according to Good Scientific Practice (GSP) guidelines, the Declaration of Helsinki, and the European Data Protection Directive (DSGVO). Study participation is on a voluntary basis, and participants can withdraw from study participation at any time without any adverse consequences concerning their medical or psychiatric treatment in our clinic. Participants will also receive monetary compensation for their time. All relevant information regarding data protection and the voluntary basis of participation will be communicated to participants and their legal caregivers verbally, as well as in the form of written informed consent forms. We also obtain verbal assent from the preschool participants. The child’s right to withdraw at any time will be prioritized over parental consent. During assessments, the child will be closely monitored by the experimenter that is present at all times, and signs of acute distress (such as crying, physical withdrawal, or verbal expression of a desire to stop) will lead to termination of the assessment. In cases of suspected or disclosed adversity, the research team will inform the principal investigator immediately (licensed psychotherapist for children), who offers a voluntary counseling appointment to discuss potential adversity with the family and the child. In line with German child protection laws and in accordance with our clinical guidelines, the quantity and quality of suspected adversity might result in further support by our department or even a report to authorities (eg, imminent danger of ongoing adversity). We acknowledge that the development of a risk assessment tool could potentially lead to stigmatization and misuse. With our data management plan outlined below, we made sure that individual risk prediction cannot be associated with personally identifiable information. We further refrain from any nonscientific use of the prognostic risk marker. The rights to the information of prognostic risk remain with the participants in accordance with DSGVO. We are confident that a prognostic risk marker also provides the opportunity to shift from a health care system that focuses on intervention after manifestation of psychopathology to a focus on targeted prevention. Children at an elevated risk for mental health problems as identified by LOCUS-MENTAL could receive further case management at our outpatient clinic, where we decide on useful next steps on a case-by-case basis with evidence-based treatments. For example, caregivers of children at risk could be offered the opportunity to receive parent trainings that are established in the treatment of mental health problems in children. This may aid in the early prevention of the initial manifestation of psychopathology. Our newly established outpatient clinic for early detection could be the ideal environment to use risk assessment information for positive clinical outcomes.\nLOCUS-MENTAL applies a noninvasive neuroimaging methodology that allows indexing neuronal activity by video-based pupillometry. Previous work showed feasibility and established this methodology in clinical samples of children. In addition, we apply further noninvasive assessments with electroencephalography. These measures introduce a burden for the participants and can induce a state of irritability but do no harm. This also applies to the application of an age-appropriate social stress test. The test induces a temporary impression that the child’s performance was insufficient in a task, which has been associated with a cortisol release response that needs to be quantified to achieve the objective of task 3.2. The social stress test thus includes a comprehensive disclosure strategy after the test to alleviate any negative effects. In task 3.2, we further collect tissue as hair samples (cutting off hair strands) and saliva samples (chewing an artificial fiber). These methods of tissue collection are also entirely non-invasive. The tissue samples will be processed by experienced contractors and subsequently destroyed. In the project, we further assess personally identifiable information that is handled according to the descriptions in section 2.4. We expect that this study does not involve an immediate risk of yielding knowledge, products, or technology that could intentionally be misused to cause substantial harm.\nQuestionnaire and interview data will be collected via our on-premises online tool according to the European General Data Protection Regulation (GDPR). We further do video-based eye tracking, apply EEG, and collect biological samples. Hair samples will be analyzed by Dresden Labservice with online solid-phase extraction in liquid chromatography-tandem mass spectrometry. Saliva samples will be analyzed by Daacro Contract Research with the ELISA Salimetrics Assay in a double estimation. Metadata will be generated by a printed case report form. Data are transferred to electronic databases that allow for automated quality controls and sanity checks. Eye tracking and EEG data will also receive quality control by peer-reviewed preprocessing pipelines. We established standard operating procedures to document research data, personnel will be trained in GSP, and all data handling will be in accordance with the GDPR. We differentiate between person-identifying information and research data that are separated in different networks, both behind the clinic’s firewall. The data can only be combined by a person identification code that is restricted in access to authorized personnel and stored on the clinical network. This is separated from a pseudonymized research network. All databases run on a Microsoft Access front- and back-end with an Active Directory system. Data are stored on on-premises servers with backups in a different building. After the project’s end, anonymized research data will be made available according to Open Science standards and archived for 10 years. The author (IT) will administer the project-specific databases. PhD students will have read and write rights with log protocols. A dedicated database manager with a permanent position is the administrator of all databases.\nThe LOCUS-MENTAL study uses targeted strategies across its work packages to manage missing data and ensure robust longitudinal findings. Work package 1 focuses on feasibility measures by using passive and child-friendly paradigms to achieve a projected completion rate of over 80%. Statistical analysis will exclude children that have per-task data validity rates of less than 50% or more than one missing task. The auditory oddball task is a marker task that is required to be included in the statistical analysis. We established standardized procedures of pupillometry data preprocessing to address within-trial missing data due to inattention. Work package 2 addresses high-burden EEG assessments by designating them as “more optional” in the context of the overall project, which allows for an expected 30% attrition rate without hindering subsequent study objectives. For the longitudinal assessments in work package 3, the study implements retention strategies like online data collection and locator documents. In addition, the statistical framework of work package 3 includes LMM and structural equation modeling to handle intermittent missingness across time points. Questionnaire data on an item level with per-measure missing rates up to 20% will be addressed by Multiple Imputation by Chained Equations (MICE) that preserves statistical power under the missing at random assumptions. However, children with increased irritability or increased burden may be more likely to drop out (ie, missing not at random or MNAR). Thus, pattern mixture models will be applied as a sensitivity analysis to determine if the developmental trajectories of LC-NE functioning are biased by specific attrition patterns. In addition, Inverse Probability Weighting (IPW) in the longitudinal data analysis can be used to adjust for non-random attrition by weighting the remaining participants based on baseline characteristics (eg, socioeconomic status or initial psychopathology scores) that predict dropout. Missing bio samples will be addressed by case-wise exclusion in the specific subanalysis. Finally, work package 4 uses v-fold validation to evaluate the predictive stability of the risk prediction tool.\n\n\n### Overview\nLOCUS-MENTAL will achieve its objectives by combining pupillometric indices of LC-NE functioning and using a prospective panel study design (Figure 4). Pupillometry is assessed by video-based eye tracking during basic paradigms that are feasible in preschoolers. Transdiagnostic psychopathology is assessed by CBCL externalizing, internalizing, and total T-scores. Childhood adversity is assessed by interviewing caregivers, children, and clinicians. Pupillometric indices, transdiagnostic psychopathology, and childhood adversity are repeatedly measured in an accelerated longitudinal study: We assess preschoolers (aged 4‐6 years) in an initial assessment with reassessments after one year (aged 5‐7 years) and after 2 years (aged 6‐8 years). This accelerated design allows revealing causative effects of LC-NE functioning on psychopathology from 4 to 8 years of age. In addition, this allows quantifying LC-NE functioning as a mediator in the effect of childhood adversity on psychopathology. In distinct subtasks, LC-NE functioning is elaborated as a neurophysiological mechanism of established dispositional risks, while LC-NE functioning in stress regulation is explored by combined pupillometry and analysis of hair cortisol levels and salivary cortisol after a social stress test. This will characterize LC-NE functioning profiles in the interaction of dispositional risk and stress. Finally, LOCUS-MENTAL applies normative modeling on the pupillometric data to develop a tool for risk prediction of developmental trajectories in transdiagnostic psychopathology. An overview of all measures is provided below (Table 1). The reporting of this study protocol follows the STROBE (Strengthening the Reporting of Observational Studies in Epidemiology) guidelines for longitudinal cohort studies [81]. The completed checklist is available in Checklist 1.\nCBCL: Child Behavior Checklist\nBIQ: Behavioral Inhibition Questionnaire\nARI: Affective Reactivity Index\nCBQ-VSF: Children’s Behavior Questionnaire–Very Short Form\nACE+: Adverse Childhood Experiences Questionnaire Plus\nF-SoZu 6: Social Support Questionnaire\nCLES-P: Childhood Life Events Scale–Preschool\nVEX-Preschool: Violence Exposure Scale–Preschool\nWPPSI: Wechsler Preschool and Primary Scale of Intelligence\nEEG: electroencephalogram.\n\n\n### Recruitment\nThe main recruitment avenues will be the outpatient clinic for early detection at the Department for Child and Adolescent Psychiatry at the Goethe University Hospital. In the help-seeking population, externalizing disorders might be overrepresented, which is why we will overrecruit preschoolers with internalizing symptoms. We aim for a representative sample by recruitment across all levels of psychopathology. This is why we will also recruit in the general population by distributing flyers with study information at local health care and public institutions, pediatricians, and day care facilities and promoting the study in targeted social media groups and channels. Exclusion criteria will be known genetic syndromes and neurological diseases. Caregivers will receive a summary report of their child’s assessment (eg, IQ evaluation) upon completion of each assessment wave.\n\n\n### General Setting\nThe experimental assessments will be carried out at our combined eye-tracking and EEG lab that we established at the clinic. The procedure is framed as a play experience. The child watches a sequence of their favorite movie on the stimulus presentation screen. This is followed by the assessments where the child may sit on their caregiver’s lap. Each paradigm is designed to enable breaks. Questionnaire measures may be filled out by the caregivers via our in-house online tool to decrease the participant burden, whereas structured clinical interviews and child questionnaires will be carried out by trained clinical staff.\n\n\n### Sample Size and Power\nSample sizes (n) were determined based on recruitment feasibility and the ability to detect moderate effects with a power of β>.80. For each task, we estimated the power by Monte Carlo simulations (k=1000) within respective models [9798]. In the following sections, the sample size and power are reported, respectively, for each specific objective or task.\n\n\n### Work Package 1 (Objective 1): Validation of a Pupillometric Battery of LC-NE Functioning\nWe will recruit 90 preschool-aged children to participate in a passive pupillometry test battery designed to measure LC-NE activity.\nA power analysis using a linear mixed model (LMM) indicates a power of β=.82 for 90 participants to detect a moderate stimulus effect (b=0.3) in the auditory oddball task (100 trials, 20% oddballs).\nThis task uses a multitrait, multimethod design combining pupillometry, EEG, and behavioral assessments to validate the pupillometry battery.\nThe battery consists of 4 individual tasks. The primary task is a passive auditory oddball task, and the 3 additional tasks are a rapid sound sequence, a visual oddball, and an audio-cued visual search task. At the beginning of each task, a fixation cross in the center of the screen is presented for 5 seconds and can be used as a global baseline. After the last task, there is an additional measurement of a 5-second baseline. All tasks are presented in a fixed order, and in between the tasks, a short children’s cartoon (duration=30 s) is presented to maintain children’s attention and motivation. The overall duration of the battery is approximately 16 minutes. Prior to the task, we conduct a 6-point calibration. The source code of the tasks as a Python (Python Software Foundation) implementation can be found on the GitHub repository “locusmental_wp1_tasks” of Nico Bast.\nA passive auditory oddball task that is feasible in preschoolers (see 1.3, Figure 2) will be applied as a reference measure [90]. The auditory oddball task consists of a series (k=100) of frequent (“standard,” 80%) or infrequent (“oddball,” 20%) pure tones. Pure tones will have a short duration (50 ms) and will be presented with an interstimulus interval of a random duration between 1.8 and 2 seconds, while the pitch of the pure tones (500 or 750 Hz) will be counterbalanced between participants. Attention will be directed to the screen center by a continuous cartoon video without sound and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention.\nThe Rapid Sound Sequences task consists of auditory stimuli 6 seconds-long sequences of subsequent tone pips (50 ms duration), drawn from a pregenerated pool of 20 fixed frequencies. Each sequence is followed by a 2-second interstimulus interval. The tone-pip sequences are arranged according to varying patterns and are randomly generated for each participant and on each trial. Conditions vary by levels of auditory regularity and irregularity with 2 control and 3 transition conditions. Previous research showed that transitions from regularity to irregularity evoked pupillary responses [24].\nControl condition regular 10 (REG10): randomly selecting 10 frequencies from the pool, arranging them in a fixed sequence pattern, and iterating the sequence to create a regular pattern.\nControl condition random 20 (RAND20): randomly selecting 20 frequencies with replacement from the pool and playing these fully randomized.\nTransition condition REG10-RAND20: the first 3 seconds are presented as REG10, followed by a transition to RAND20 for 3 seconds.\nTransition condition RAND20-REG10: the first 3 seconds are presented as RAND20, followed by a transition to REG10 for 3 seconds.\nThe transition condition RAND20-REG1: the sequence starts as RAND20 for 3 seconds and transitions into REG1, a single tone pip selected from the pool and iterated for the final 3 seconds.\nEach control condition will be presented 5 times, and each transition condition 10 times, in randomized order. Attention will be directed to the screen center by a fixcross or a video and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention. A silent cartoon will be presented during the interstimulus interval.\nThe visual oddball task consists of 72 trials displaying frequent (standard size: 2.9° visual degrees; 80%) and infrequent (oddball size: 4.6° visual degrees; 20%) blue circles. Each stimulus is displayed for a 150-millisecond duration and is preceded by a 1.5-second interstimulus interval. Attention is maintained using gaze-contingent trial presentation.\nEach trial presents a visual search display consisting of 4 colored circles (red, yellow, or green) arranged in an imaginary circle around the center of the screen. One circle (target circle) has a deviant color from the 3 distractors, and its position changes randomly across the 30 trials. The visual search phase has a duration of 1.5 seconds. An auditory alerting cue, a simple brief beep, is presented in 50% of the trials. The cue duration varies randomly between 200 and 300 milliseconds and is presented with a random delay of 0‐100 milliseconds within a 400-millisecond interval prior to the visual search onset. Each trial starts with a 1.5-second interstimulus interval with a fixation cross in the center of the screen. Attention is maintained using gaze-contingent trial presentation.\n\n\n### Participants\nWe will recruit 90 preschool-aged children to participate in a passive pupillometry test battery designed to measure LC-NE activity.\n\n\n### Sample Size and Power\nA power analysis using a linear mixed model (LMM) indicates a power of β=.82 for 90 participants to detect a moderate stimulus effect (b=0.3) in the auditory oddball task (100 trials, 20% oddballs).\n\n\n### Experimental Design\nThis task uses a multitrait, multimethod design combining pupillometry, EEG, and behavioral assessments to validate the pupillometry battery.\n\n\n### Battery Design\nThe battery consists of 4 individual tasks. The primary task is a passive auditory oddball task, and the 3 additional tasks are a rapid sound sequence, a visual oddball, and an audio-cued visual search task. At the beginning of each task, a fixation cross in the center of the screen is presented for 5 seconds and can be used as a global baseline. After the last task, there is an additional measurement of a 5-second baseline. All tasks are presented in a fixed order, and in between the tasks, a short children’s cartoon (duration=30 s) is presented to maintain children’s attention and motivation. The overall duration of the battery is approximately 16 minutes. Prior to the task, we conduct a 6-point calibration. The source code of the tasks as a Python (Python Software Foundation) implementation can be found on the GitHub repository “locusmental_wp1_tasks” of Nico Bast.\nA passive auditory oddball task that is feasible in preschoolers (see 1.3, Figure 2) will be applied as a reference measure [90]. The auditory oddball task consists of a series (k=100) of frequent (“standard,” 80%) or infrequent (“oddball,” 20%) pure tones. Pure tones will have a short duration (50 ms) and will be presented with an interstimulus interval of a random duration between 1.8 and 2 seconds, while the pitch of the pure tones (500 or 750 Hz) will be counterbalanced between participants. Attention will be directed to the screen center by a continuous cartoon video without sound and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention.\nThe Rapid Sound Sequences task consists of auditory stimuli 6 seconds-long sequences of subsequent tone pips (50 ms duration), drawn from a pregenerated pool of 20 fixed frequencies. Each sequence is followed by a 2-second interstimulus interval. The tone-pip sequences are arranged according to varying patterns and are randomly generated for each participant and on each trial. Conditions vary by levels of auditory regularity and irregularity with 2 control and 3 transition conditions. Previous research showed that transitions from regularity to irregularity evoked pupillary responses [24].\nControl condition regular 10 (REG10): randomly selecting 10 frequencies from the pool, arranging them in a fixed sequence pattern, and iterating the sequence to create a regular pattern.\nControl condition random 20 (RAND20): randomly selecting 20 frequencies with replacement from the pool and playing these fully randomized.\nTransition condition REG10-RAND20: the first 3 seconds are presented as REG10, followed by a transition to RAND20 for 3 seconds.\nTransition condition RAND20-REG10: the first 3 seconds are presented as RAND20, followed by a transition to REG10 for 3 seconds.\nThe transition condition RAND20-REG1: the sequence starts as RAND20 for 3 seconds and transitions into REG1, a single tone pip selected from the pool and iterated for the final 3 seconds.\nEach control condition will be presented 5 times, and each transition condition 10 times, in randomized order. Attention will be directed to the screen center by a fixcross or a video and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention. A silent cartoon will be presented during the interstimulus interval.\nThe visual oddball task consists of 72 trials displaying frequent (standard size: 2.9° visual degrees; 80%) and infrequent (oddball size: 4.6° visual degrees; 20%) blue circles. Each stimulus is displayed for a 150-millisecond duration and is preceded by a 1.5-second interstimulus interval. Attention is maintained using gaze-contingent trial presentation.\nEach trial presents a visual search display consisting of 4 colored circles (red, yellow, or green) arranged in an imaginary circle around the center of the screen. One circle (target circle) has a deviant color from the 3 distractors, and its position changes randomly across the 30 trials. The visual search phase has a duration of 1.5 seconds. An auditory alerting cue, a simple brief beep, is presented in 50% of the trials. The cue duration varies randomly between 200 and 300 milliseconds and is presented with a random delay of 0‐100 milliseconds within a 400-millisecond interval prior to the visual search onset. Each trial starts with a 1.5-second interstimulus interval with a fixation cross in the center of the screen. Attention is maintained using gaze-contingent trial presentation.\n\n\n### Overview\nThe battery consists of 4 individual tasks. The primary task is a passive auditory oddball task, and the 3 additional tasks are a rapid sound sequence, a visual oddball, and an audio-cued visual search task. At the beginning of each task, a fixation cross in the center of the screen is presented for 5 seconds and can be used as a global baseline. After the last task, there is an additional measurement of a 5-second baseline. All tasks are presented in a fixed order, and in between the tasks, a short children’s cartoon (duration=30 s) is presented to maintain children’s attention and motivation. The overall duration of the battery is approximately 16 minutes. Prior to the task, we conduct a 6-point calibration. The source code of the tasks as a Python (Python Software Foundation) implementation can be found on the GitHub repository “locusmental_wp1_tasks” of Nico Bast.\n\n\n### Auditory Oddball Task\nA passive auditory oddball task that is feasible in preschoolers (see 1.3, Figure 2) will be applied as a reference measure [90]. The auditory oddball task consists of a series (k=100) of frequent (“standard,” 80%) or infrequent (“oddball,” 20%) pure tones. Pure tones will have a short duration (50 ms) and will be presented with an interstimulus interval of a random duration between 1.8 and 2 seconds, while the pitch of the pure tones (500 or 750 Hz) will be counterbalanced between participants. Attention will be directed to the screen center by a continuous cartoon video without sound and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention.\n\n\n### Rapid Sound Sequences Task\nThe Rapid Sound Sequences task consists of auditory stimuli 6 seconds-long sequences of subsequent tone pips (50 ms duration), drawn from a pregenerated pool of 20 fixed frequencies. Each sequence is followed by a 2-second interstimulus interval. The tone-pip sequences are arranged according to varying patterns and are randomly generated for each participant and on each trial. Conditions vary by levels of auditory regularity and irregularity with 2 control and 3 transition conditions. Previous research showed that transitions from regularity to irregularity evoked pupillary responses [24].\nControl condition regular 10 (REG10): randomly selecting 10 frequencies from the pool, arranging them in a fixed sequence pattern, and iterating the sequence to create a regular pattern.\nControl condition random 20 (RAND20): randomly selecting 20 frequencies with replacement from the pool and playing these fully randomized.\nTransition condition REG10-RAND20: the first 3 seconds are presented as REG10, followed by a transition to RAND20 for 3 seconds.\nTransition condition RAND20-REG10: the first 3 seconds are presented as RAND20, followed by a transition to REG10 for 3 seconds.\nThe transition condition RAND20-REG1: the sequence starts as RAND20 for 3 seconds and transitions into REG1, a single tone pip selected from the pool and iterated for the final 3 seconds.\nEach control condition will be presented 5 times, and each transition condition 10 times, in randomized order. Attention will be directed to the screen center by a fixcross or a video and controlled for by gaze-contingent trial presentation. Deviant gazes will evoke an attention-grabbing stimulus to redirect attention. A silent cartoon will be presented during the interstimulus interval.\n\n\n### Visual Oddball Task\nThe visual oddball task consists of 72 trials displaying frequent (standard size: 2.9° visual degrees; 80%) and infrequent (oddball size: 4.6° visual degrees; 20%) blue circles. Each stimulus is displayed for a 150-millisecond duration and is preceded by a 1.5-second interstimulus interval. Attention is maintained using gaze-contingent trial presentation.\n\n\n### Audio-Cued Visual Search Task\nEach trial presents a visual search display consisting of 4 colored circles (red, yellow, or green) arranged in an imaginary circle around the center of the screen. One circle (target circle) has a deviant color from the 3 distractors, and its position changes randomly across the 30 trials. The visual search phase has a duration of 1.5 seconds. An auditory alerting cue, a simple brief beep, is presented in 50% of the trials. The cue duration varies randomly between 200 and 300 milliseconds and is presented with a random delay of 0‐100 milliseconds within a 400-millisecond interval prior to the visual search onset. Each trial starts with a 1.5-second interstimulus interval with a fixation cross in the center of the screen. Attention is maintained using gaze-contingent trial presentation.\n\n\n### Neurophysiological Measures\nBPS and SEPR are assessed for each trial in each task. BPS is defined as the pupil size prior to stimulus onset, while SEPR represents a pupil size change in response to stimuli. BPS and SEPR will be evaluated in the auditory oddball task in response to standard trials as neurophysiological habituation [99] and to oddball trials as sensory selectivity [33].\n\n\n### Cognitive Measure\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the Wechsler Preschool and Primary Scale of Intelligence (WPPSI) [93].\n\n\n### Statistical Analysis Plan\nWe will validate the pupillometric indices by a multitrait-multimethod design. In a homo-method analysis, the BPS and SEPR during the auditory oddball task (Figure 5A) will be compared to BPS and SEPR in tasks of LC-NE functioning with irregularity in rapid sound sequences [24] (Figure 5B), a visual oddball task [91] (Figure 5C), and an audio-cued visual search [92] (Figure 5D).\nIn a hetero-method analysis, the BPS and SEPR during the auditory oddball task will be compared to event-related potentials (ERPs) in concurrent EEG. We investigate oddball ERPs that are likely associated with LC-NE activity (P300, MMN) [27100]. Finally, the pupillometric measures will be compared to divergent measures of cognitive and language ability as assessed by WPPSI-IV [93]. Patterns of high intercorrelations will be used to create a concise pupillometric battery of LC-NE functioning (~15 min). BPS and SEPR are reliably assessed in few oddball trials (k=20).\n\n\n### Expected Outcome and Study Hypotheses\nA successful task manipulation will be indicated by a higher SEPR in oddball versus standard trials (ie, sensory selectivity) and declining BPS across standard trials (ie, habituation). We expect convergent validity with moderate-to-high correlations between the auditory oddball SEPR and the pupillometric measures in the validation tasks (including SEPR to a change from regularity to irregularity, SEPR to visual oddball stimuli, and SEPR before target detection). We expect convergent validity in the hetero-method analyses, whereas we expect divergent validity with cognitive and language development.\n\n\n### Risk Assessment\nWe only include paradigms that are feasible in young children. This shall ensure a sufficient completion rate in preschoolers (>80%). The concurrent presentation of visual stimuli to maintain attention during the auditory oddball task may impede the SEPR. However, we recently showed in independent data that visual presentation during an auditory oddball task still induces distinct task-evoked pupillary responses.\n\n\n### Work Package 2 (Objective 2): Association of LC-NE Functioning With Correlates of Psychopathology\nA sample of 140 preschool-aged children will be recruited in accordance with the general recruitment strategy of the study.\nA power analysis based on an LMM indicates that a sample of 140 participants provides power of β=.84 to detect a moderate correlation (b=0.3) between LC-NE functioning and dispositional risks.\nCross-sectional analysis of combined pupillometry, EEG, and behavioral and cognitive assessments.\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks. In a concurrent EEG, the ERP of ERN will be assessed using an age-appropriate Go/No-Go task [50]. Neurocognitive paradigms of irritability will be examined using a dot-probe task [95] and a frustrative reward learning task [96].\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nTemperament traits will be measured via caregiver reports with the Behavioral Inhibition Questionnaire (BIQ) [83] and Affective Reactivity Index (ARI) [84]. Negative emotionality will be assessed via Child Behavior Questionnaire-Very Short Form (CBQ-VSF) [85]. The 3 transdiagnostic factors of psychopathology will be assessed with the Child Behavior Checklist (CBCL 4‐18) [82].\nWe will apply LMM analysis with participants as random intercepts. These will allow us to explore associations between variables on a per-task level and control for potential covariates (age, gender, and IQ).\nBehavioral inhibition (BIQ score) is expected to correlate positively with both BPS and SEPR in the pupillometric battery of LC-NE functioning. In contrast, irritability (assessed via ARI score) is expected to show differential profiles of LC-NE functioning. We expect high irritability scores and high SEPR to be associated with higher internalizing symptoms, while high irritability scores and low SEPR will be associated with higher externalizing symptoms—these expected outcomes are supposed to match ERN profiles [101]. Furthermore, in the neurocognitive paradigms, participants with high-irritability-low-SEPR profiles are further expected to show increased attentional bias toward threat cues (threat perception) and decreased attentional shifts during frustration (frustrative reward learning). These patterns would suggest a subgroup with elevated risk for conduct disorders. We will further explore LC-NE functioning in children with both high irritability and high behavioral inhibition, who are expected to exhibit higher negative emotionality and an increased BPS as an index of an elevated LC-NE tonic activity.\nThis task is associated with the highest participant burden due to its combined EEG assessments and neurocognitive task demands. To mitigate this, we will provide additional breaks for the participants and offer food and drinks between assessments. We assume a higher attrition rate for this task compared to other tasks, estimated at approximately 30%. Thus, this task is designed as more optional, ensuring that potential dropouts will not compromise subsequent study objectives.\n\n\n### Task 2.1: LC-NE Functioning Corresponds to Early Dispositional Risks for Psychopathology\nA sample of 140 preschool-aged children will be recruited in accordance with the general recruitment strategy of the study.\nA power analysis based on an LMM indicates that a sample of 140 participants provides power of β=.84 to detect a moderate correlation (b=0.3) between LC-NE functioning and dispositional risks.\nCross-sectional analysis of combined pupillometry, EEG, and behavioral and cognitive assessments.\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks. In a concurrent EEG, the ERP of ERN will be assessed using an age-appropriate Go/No-Go task [50]. Neurocognitive paradigms of irritability will be examined using a dot-probe task [95] and a frustrative reward learning task [96].\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nTemperament traits will be measured via caregiver reports with the Behavioral Inhibition Questionnaire (BIQ) [83] and Affective Reactivity Index (ARI) [84]. Negative emotionality will be assessed via Child Behavior Questionnaire-Very Short Form (CBQ-VSF) [85]. The 3 transdiagnostic factors of psychopathology will be assessed with the Child Behavior Checklist (CBCL 4‐18) [82].\nWe will apply LMM analysis with participants as random intercepts. These will allow us to explore associations between variables on a per-task level and control for potential covariates (age, gender, and IQ).\nBehavioral inhibition (BIQ score) is expected to correlate positively with both BPS and SEPR in the pupillometric battery of LC-NE functioning. In contrast, irritability (assessed via ARI score) is expected to show differential profiles of LC-NE functioning. We expect high irritability scores and high SEPR to be associated with higher internalizing symptoms, while high irritability scores and low SEPR will be associated with higher externalizing symptoms—these expected outcomes are supposed to match ERN profiles [101]. Furthermore, in the neurocognitive paradigms, participants with high-irritability-low-SEPR profiles are further expected to show increased attentional bias toward threat cues (threat perception) and decreased attentional shifts during frustration (frustrative reward learning). These patterns would suggest a subgroup with elevated risk for conduct disorders. We will further explore LC-NE functioning in children with both high irritability and high behavioral inhibition, who are expected to exhibit higher negative emotionality and an increased BPS as an index of an elevated LC-NE tonic activity.\nThis task is associated with the highest participant burden due to its combined EEG assessments and neurocognitive task demands. To mitigate this, we will provide additional breaks for the participants and offer food and drinks between assessments. We assume a higher attrition rate for this task compared to other tasks, estimated at approximately 30%. Thus, this task is designed as more optional, ensuring that potential dropouts will not compromise subsequent study objectives.\n\n\n### Participants\nA sample of 140 preschool-aged children will be recruited in accordance with the general recruitment strategy of the study.\n\n\n### Sample Size and Power\nA power analysis based on an LMM indicates that a sample of 140 participants provides power of β=.84 to detect a moderate correlation (b=0.3) between LC-NE functioning and dispositional risks.\n\n\n### Experimental Design\nCross-sectional analysis of combined pupillometry, EEG, and behavioral and cognitive assessments.\n\n\n### Neurophysiological Measures\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks. In a concurrent EEG, the ERP of ERN will be assessed using an age-appropriate Go/No-Go task [50]. Neurocognitive paradigms of irritability will be examined using a dot-probe task [95] and a frustrative reward learning task [96].\n\n\n### Cognitive Measure\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\n\n\n### Behavioral Measures\nTemperament traits will be measured via caregiver reports with the Behavioral Inhibition Questionnaire (BIQ) [83] and Affective Reactivity Index (ARI) [84]. Negative emotionality will be assessed via Child Behavior Questionnaire-Very Short Form (CBQ-VSF) [85]. The 3 transdiagnostic factors of psychopathology will be assessed with the Child Behavior Checklist (CBCL 4‐18) [82].\n\n\n### Statistical Analysis Plan\nWe will apply LMM analysis with participants as random intercepts. These will allow us to explore associations between variables on a per-task level and control for potential covariates (age, gender, and IQ).\n\n\n### Expected Outcome and Study Hypotheses\nBehavioral inhibition (BIQ score) is expected to correlate positively with both BPS and SEPR in the pupillometric battery of LC-NE functioning. In contrast, irritability (assessed via ARI score) is expected to show differential profiles of LC-NE functioning. We expect high irritability scores and high SEPR to be associated with higher internalizing symptoms, while high irritability scores and low SEPR will be associated with higher externalizing symptoms—these expected outcomes are supposed to match ERN profiles [101]. Furthermore, in the neurocognitive paradigms, participants with high-irritability-low-SEPR profiles are further expected to show increased attentional bias toward threat cues (threat perception) and decreased attentional shifts during frustration (frustrative reward learning). These patterns would suggest a subgroup with elevated risk for conduct disorders. We will further explore LC-NE functioning in children with both high irritability and high behavioral inhibition, who are expected to exhibit higher negative emotionality and an increased BPS as an index of an elevated LC-NE tonic activity.\n\n\n### Risk Assessment, Participant Burden, and Ethical Considerations\nThis task is associated with the highest participant burden due to its combined EEG assessments and neurocognitive task demands. To mitigate this, we will provide additional breaks for the participants and offer food and drinks between assessments. We assume a higher attrition rate for this task compared to other tasks, estimated at approximately 30%. Thus, this task is designed as more optional, ensuring that potential dropouts will not compromise subsequent study objectives.\n\n\n### Task 2.2: LC-NE Function Mediates the Association Between Childhood Adversity and Transdiagnostic Psychopathology\nA sample of 300 preschool-aged children (aged 4‐6 years) will be recruited in accordance with the general recruitment strategy of the study.\nA power analysis based on a structural equation model indicates that a sample of 300 children provides a power of β=.80 to detect a moderate path coefficient (a=0.2) between latent variables of LC-NE functioning and psychopathology.\nCross-sectional analysis of combined pupillometry, behavioral, and cognitive assessments will be used.\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nTransdiagnostic psychopathology factors (externalizing, internalizing, and p-factor) will be assessed with CBCL 4‐18. In addition, we will assess childhood adversity based on multiple sources. Specifically, a caregiver interview that captures adverse childhood experiences and other psychosocial domains (ACE+) [40], a respective child interview [86], validated child-report measures of adversity [8889], and a report by the respective clinician from the outpatient clinic for those children recruited via the outpatient recruitment leg. This assessment approach will provide an index of cumulative adversity or will be differentiated into specific adversity domains.\nStructural equation models will be applied to estimate the associations between the latent constructs (LC-NE functioning, transdiagnostic psychopathology, and childhood adversity). A best-fit path model will be used to reduce the complexity of the structural equation in the longitudinal study of Objective 3. A latent mediation model, in which LC-NE functioning is expected to mediate an association between previous childhood adversity and transdiagnostic psychopathology, will be applied. Independent models for BPS, SEPR, and each transdiagnostic factor will be estimated. Classification approaches will be applied in exploratory analyses to identify LC-NE function profiles in subgroups of psychopathology.\nWe hypothesize associations between retrospective childhood adversity, LC-NE function, and transdiagnostic psychopathology. For example, lower LC-NE tonic activity is expected to represent a resilience to the negative impact of childhood adversity on psychopathology. In addition, we expect profiles of LC-NE functioning that are associated with patterns of transdiagnostic psychopathology; BPS is expected to positively correlate with the p-factor, whereas increased and decreased SEPR are expected to positively correlate with internalizing and externalizing symptoms, respectively.\nWe anticipate that some children will require immediate support, and we will use our clinical infrastructure to provide further case management. In addition, reports of adversity will be evaluated according to our in-house reporting guidelines, which align with the German child protection laws. This includes evaluation in a joint discussion and may result in reporting to child protection authorities when imminent danger is identified.\n\n\n### Participants\nA sample of 300 preschool-aged children (aged 4‐6 years) will be recruited in accordance with the general recruitment strategy of the study.\n\n\n### Sample Size and Power\nA power analysis based on a structural equation model indicates that a sample of 300 children provides a power of β=.80 to detect a moderate path coefficient (a=0.2) between latent variables of LC-NE functioning and psychopathology.\n\n\n### Experimental Design\nCross-sectional analysis of combined pupillometry, behavioral, and cognitive assessments will be used.\n\n\n### Neurophysiological Measures\nThe validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\n\n\n### Cognitive Measure\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\n\n\n### Behavioral Measures\nTransdiagnostic psychopathology factors (externalizing, internalizing, and p-factor) will be assessed with CBCL 4‐18. In addition, we will assess childhood adversity based on multiple sources. Specifically, a caregiver interview that captures adverse childhood experiences and other psychosocial domains (ACE+) [40], a respective child interview [86], validated child-report measures of adversity [8889], and a report by the respective clinician from the outpatient clinic for those children recruited via the outpatient recruitment leg. This assessment approach will provide an index of cumulative adversity or will be differentiated into specific adversity domains.\n\n\n### Statistical Analysis Plan\nStructural equation models will be applied to estimate the associations between the latent constructs (LC-NE functioning, transdiagnostic psychopathology, and childhood adversity). A best-fit path model will be used to reduce the complexity of the structural equation in the longitudinal study of Objective 3. A latent mediation model, in which LC-NE functioning is expected to mediate an association between previous childhood adversity and transdiagnostic psychopathology, will be applied. Independent models for BPS, SEPR, and each transdiagnostic factor will be estimated. Classification approaches will be applied in exploratory analyses to identify LC-NE function profiles in subgroups of psychopathology.\n\n\n### Expected Outcome and Study Hypotheses\nWe hypothesize associations between retrospective childhood adversity, LC-NE function, and transdiagnostic psychopathology. For example, lower LC-NE tonic activity is expected to represent a resilience to the negative impact of childhood adversity on psychopathology. In addition, we expect profiles of LC-NE functioning that are associated with patterns of transdiagnostic psychopathology; BPS is expected to positively correlate with the p-factor, whereas increased and decreased SEPR are expected to positively correlate with internalizing and externalizing symptoms, respectively.\n\n\n### Risk Assessment, Participant Burden, and Ethical Considerations\nWe anticipate that some children will require immediate support, and we will use our clinical infrastructure to provide further case management. In addition, reports of adversity will be evaluated according to our in-house reporting guidelines, which align with the German child protection laws. This includes evaluation in a joint discussion and may result in reporting to child protection authorities when imminent danger is identified.\n\n\n### Work Package 3 (Objective 3): Prospective Effect of LC-NE Functioning in a Developmental Model of Vulnerability and Stress\nThe study will follow the sample of 300 preschool-aged children, initially assessed in Task 2.2 at 4‐6 years of age across 3 time points.\nFor the core longitudinal study with a cross-lagged panel model, power is β=.82 for 300 participants to detect a moderate cross-lagged effect of LC-NE functioning on psychopathology (a=0.2; see Figure 6).\nThe study uses an accelerated longitudinal design with 3 assessment waves and time points: the baseline or initial assessment as part of Task 2.2 (T1; aged 4‐6 years), a 1-year follow-up (T2; aged 5‐7 years), and a 2-year follow-up (T3; aged 6‐8 years). At each time point, we assess neurophysiological (pupillometry), behavioral, and cognitive measures.\nAt each time point, the validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nAt each timepoint assessment of the behavioral measures, as described in Task 2.2, will include caregiver questionnaires (CBCL 4‐18) and the multiple-source assessment of childhood adversity (see Table 1).\nThe accelerated longitudinal design allows estimation of an autoregressive cross-lagged panel model that will quantify the effect of previous LC-NE functioning (BPS and SEPR) on later transdiagnostic psychopathology factors (CBCL) across the age of 4-8 years (see Figure 6). We will control for potential cohort effects (initial age: 4 vs 5 vs 6 years) by including cohort as a random intercept. Each model fit will be evaluated by the predefined indices of CFI, TLI, RMSEA, and SRMR.\nThis core of LOCUS-MENTAL will be informed by the outcome of task 2.2. We expect (see Figure 1) that higher BPS as an index of LC-NE tonic activity predicts a higher p-factor. Increased and decreased SEPR as an index of LC-NE phasic activity is expected to predict higher internalizing and externalizing symptoms, respectively. This would predict future psychopathology based on pupillometric markers. The stability of the investigated constructs is controlled for by autoregressive effects. The structural equation models will be explored for the covariate effects of childhood adversity, previous psychopathology, and received clinical support (eg, in the context of the outpatient clinic for early detection).\nA major risk is a low retention rate. A meta-analysis identified a mean retention rate of 73.5% and identified strategies to increase it [102]. This includes barrier reduction by including remote data collection (eg, offer data collection via phone and online), tracing strategies by locator documents with contact information, and community-building by sending participants thank-you, birthday, and holiday cards. We will implement these strategies in LOCUS-MENTAL to maximize our retention rate while maintaining ethical standards.\n\n\n### Task 3.1: LC-NE Functioning Predicts Later Transdiagnostic Psychopathology.\nThe study will follow the sample of 300 preschool-aged children, initially assessed in Task 2.2 at 4‐6 years of age across 3 time points.\nFor the core longitudinal study with a cross-lagged panel model, power is β=.82 for 300 participants to detect a moderate cross-lagged effect of LC-NE functioning on psychopathology (a=0.2; see Figure 6).\nThe study uses an accelerated longitudinal design with 3 assessment waves and time points: the baseline or initial assessment as part of Task 2.2 (T1; aged 4‐6 years), a 1-year follow-up (T2; aged 5‐7 years), and a 2-year follow-up (T3; aged 6‐8 years). At each time point, we assess neurophysiological (pupillometry), behavioral, and cognitive measures.\nAt each time point, the validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\nAt each timepoint assessment of the behavioral measures, as described in Task 2.2, will include caregiver questionnaires (CBCL 4‐18) and the multiple-source assessment of childhood adversity (see Table 1).\nThe accelerated longitudinal design allows estimation of an autoregressive cross-lagged panel model that will quantify the effect of previous LC-NE functioning (BPS and SEPR) on later transdiagnostic psychopathology factors (CBCL) across the age of 4-8 years (see Figure 6). We will control for potential cohort effects (initial age: 4 vs 5 vs 6 years) by including cohort as a random intercept. Each model fit will be evaluated by the predefined indices of CFI, TLI, RMSEA, and SRMR.\nThis core of LOCUS-MENTAL will be informed by the outcome of task 2.2. We expect (see Figure 1) that higher BPS as an index of LC-NE tonic activity predicts a higher p-factor. Increased and decreased SEPR as an index of LC-NE phasic activity is expected to predict higher internalizing and externalizing symptoms, respectively. This would predict future psychopathology based on pupillometric markers. The stability of the investigated constructs is controlled for by autoregressive effects. The structural equation models will be explored for the covariate effects of childhood adversity, previous psychopathology, and received clinical support (eg, in the context of the outpatient clinic for early detection).\nA major risk is a low retention rate. A meta-analysis identified a mean retention rate of 73.5% and identified strategies to increase it [102]. This includes barrier reduction by including remote data collection (eg, offer data collection via phone and online), tracing strategies by locator documents with contact information, and community-building by sending participants thank-you, birthday, and holiday cards. We will implement these strategies in LOCUS-MENTAL to maximize our retention rate while maintaining ethical standards.\n\n\n### Participants\nThe study will follow the sample of 300 preschool-aged children, initially assessed in Task 2.2 at 4‐6 years of age across 3 time points.\n\n\n### Sample Size and Power\nFor the core longitudinal study with a cross-lagged panel model, power is β=.82 for 300 participants to detect a moderate cross-lagged effect of LC-NE functioning on psychopathology (a=0.2; see Figure 6).\n\n\n### Experimental Design\nThe study uses an accelerated longitudinal design with 3 assessment waves and time points: the baseline or initial assessment as part of Task 2.2 (T1; aged 4‐6 years), a 1-year follow-up (T2; aged 5‐7 years), and a 2-year follow-up (T3; aged 6‐8 years). At each time point, we assess neurophysiological (pupillometry), behavioral, and cognitive measures.\n\n\n### Neurophysiological Measures\nAt each time point, the validated pupillometric battery, as described in Objective 1, will be used to assess BPS and SEPR across multiple tasks.\n\n\n### Cognitive Measure\nTo assess the verbal and cognitive abilities, we will conduct 2 subtests from the WPPSI [93].\n\n\n### Behavioral Measures\nAt each timepoint assessment of the behavioral measures, as described in Task 2.2, will include caregiver questionnaires (CBCL 4‐18) and the multiple-source assessment of childhood adversity (see Table 1).\n\n\n### Statistical Analysis Plan\nThe accelerated longitudinal design allows estimation of an autoregressive cross-lagged panel model that will quantify the effect of previous LC-NE functioning (BPS and SEPR) on later transdiagnostic psychopathology factors (CBCL) across the age of 4-8 years (see Figure 6). We will control for potential cohort effects (initial age: 4 vs 5 vs 6 years) by including cohort as a random intercept. Each model fit will be evaluated by the predefined indices of CFI, TLI, RMSEA, and SRMR.\n\n\n### Expected Outcome and Study Hypotheses\nThis core of LOCUS-MENTAL will be informed by the outcome of task 2.2. We expect (see Figure 1) that higher BPS as an index of LC-NE tonic activity predicts a higher p-factor. Increased and decreased SEPR as an index of LC-NE phasic activity is expected to predict higher internalizing and externalizing symptoms, respectively. This would predict future psychopathology based on pupillometric markers. The stability of the investigated constructs is controlled for by autoregressive effects. The structural equation models will be explored for the covariate effects of childhood adversity, previous psychopathology, and received clinical support (eg, in the context of the outpatient clinic for early detection).\n\n\n### Risk Assessment\nA major risk is a low retention rate. A meta-analysis identified a mean retention rate of 73.5% and identified strategies to increase it [102]. This includes barrier reduction by including remote data collection (eg, offer data collection via phone and online), tracing strategies by locator documents with contact information, and community-building by sending participants thank-you, birthday, and holiday cards. We will implement these strategies in LOCUS-MENTAL to maximize our retention rate while maintaining ethical standards.\n\n\n### Task 3.2: LC-NE Functioning Mediates the Effect of Stress Responses on the Development of Transdiagnostic Psychopathology\nParticipants in this study will comprise a subsample of 5‐6-year-olds (n=160) at one randomly selected timepoint (T2 or T3) from the large longitudinal cohort (Task 3.1).\nA power analysis using a bivariate latent growth curve model indicates a power of β=.82 for 160 participants to detect a moderate path coefficient (b=0.2) of cortisol reactivity on changes in psychopathology.\nThis task uses a cross-sectional assessment of endocrine stress responses within the longitudinal study.\nEndocrine stress responses provide a more proximate measure of stress compared to childhood adversity. We will assess stress responses through hair cortisol levels [103] and salivary cortisol measurements following a developmentally appropriate social stress test [94]. Hair cortisol levels will quantify the retrospective stress levels, while salivary cortisol will quantify the acute stress response.\nFor hair cortisol, we will collect 3 centimeters in length of scalp-nearest hair; this will contain cortisol information over the preceding 3 months. Salivary cortisol will be collected via fiber chewing before and after a social stress test (after 30-40 minutes). In the social stress test, the children are instructed to match stickers to animals to win a prize. Time pressure will be applied by a commenting experimenter and a toy traffic light that turns red and emits a buzzer sound [94104]. Contractors will process salivary (Daacro) and hair (Dresden Lab service) samples.\nThe cortisol measures will be applied in a mediation model to examine LC-NE functioning in the association of stress response and psychopathology. We will further quantify the effect of LC-NE functioning in the association of childhood adversity and stress response.\nWe expect a positive association between cortisol measures and psychopathology. Based on our model (Figure 1), we assume BPS and SEPR to mediate this direct effect. Higher BPS and SEPR are expected to explain an increased effect of hair cortisol levels and salivary cortisol response on the internalizing symptoms and the p-factor. Lower BPS is expected to be a protective factor on the negative impact of stress on psychopathology, which could represent a mechanism of resilience. Based on our preliminary work (see above), we expect an attenuated downregulation of salivary cortisol in response to the social stress test (ie, inefficient acute stress regulation) to be associated with higher internalizing symptoms and a higher p-factor. We expect this effect to be mediated by BPS as an index of LC-NE tonic activity.\nChildhood adversity might not be disclosed by caregivers if they are also the perpetrators, while child reports on adversity might be unreliable. To mitigate the underreporting biases, we will implement the multiple-sources approach to adversity. In addition, any reports on adversity will be evaluated according to our in-house reporting guidelines and may lead to further actions.\n\n\n### Participants\nParticipants in this study will comprise a subsample of 5‐6-year-olds (n=160) at one randomly selected timepoint (T2 or T3) from the large longitudinal cohort (Task 3.1).\n\n\n### Sample Size and Power\nA power analysis using a bivariate latent growth curve model indicates a power of β=.82 for 160 participants to detect a moderate path coefficient (b=0.2) of cortisol reactivity on changes in psychopathology.\n\n\n### Experimental Design\nThis task uses a cross-sectional assessment of endocrine stress responses within the longitudinal study.\n\n\n### Measures\nEndocrine stress responses provide a more proximate measure of stress compared to childhood adversity. We will assess stress responses through hair cortisol levels [103] and salivary cortisol measurements following a developmentally appropriate social stress test [94]. Hair cortisol levels will quantify the retrospective stress levels, while salivary cortisol will quantify the acute stress response.\nFor hair cortisol, we will collect 3 centimeters in length of scalp-nearest hair; this will contain cortisol information over the preceding 3 months. Salivary cortisol will be collected via fiber chewing before and after a social stress test (after 30-40 minutes). In the social stress test, the children are instructed to match stickers to animals to win a prize. Time pressure will be applied by a commenting experimenter and a toy traffic light that turns red and emits a buzzer sound [94104]. Contractors will process salivary (Daacro) and hair (Dresden Lab service) samples.\n\n\n### Statistical Analysis Plan\nThe cortisol measures will be applied in a mediation model to examine LC-NE functioning in the association of stress response and psychopathology. We will further quantify the effect of LC-NE functioning in the association of childhood adversity and stress response.\n\n\n### Expected Outcome\nWe expect a positive association between cortisol measures and psychopathology. Based on our model (Figure 1), we assume BPS and SEPR to mediate this direct effect. Higher BPS and SEPR are expected to explain an increased effect of hair cortisol levels and salivary cortisol response on the internalizing symptoms and the p-factor. Lower BPS is expected to be a protective factor on the negative impact of stress on psychopathology, which could represent a mechanism of resilience. Based on our preliminary work (see above), we expect an attenuated downregulation of salivary cortisol in response to the social stress test (ie, inefficient acute stress regulation) to be associated with higher internalizing symptoms and a higher p-factor. We expect this effect to be mediated by BPS as an index of LC-NE tonic activity.\n\n\n### Risk Assessment\nChildhood adversity might not be disclosed by caregivers if they are also the perpetrators, while child reports on adversity might be unreliable. To mitigate the underreporting biases, we will implement the multiple-sources approach to adversity. In addition, any reports on adversity will be evaluated according to our in-house reporting guidelines and may lead to further actions.\n\n\n### Work Package 4 (Objective 4): Development of an Objective Tool of Risk Prediction in the Preschool Age Based on the Pupillometric Measures of LC-NE Functioning\nThe full sample was recruited during work packages 2 and 3.\nThe full sample consists of the 300 participants assessed in task 2.2.\nThe findings of Objectives 2 and 3 will be used to enrich a probabilistic model in the full sample (n=300) that assigns individual risk based on LC-NE functioning in the preschool age. This will be evaluated as a tool of quantitative risk prediction for future psychopathology. We will operationalize risk probability within a normative model of transdiagnostic psychopathology [105]. A reference cohort will be defined from a subsample of participants that did not develop clinically relevant transdiagnostic psychopathology. This cohort will be applied to estimate a normative development model (ie, output) as a function of LC-NE tonic and phasic activity profiles. It defines a range of LC-NE functioning variation that is associated with a low risk. The model can then be applied to withheld data, that is, individuals who did develop transdiagnostic psychopathology. This allows one to quantify a numeric deviation of LC-NE functioning from normative ranges. The numeric deviation is then applied as a predictor of psychopathology in linear models that represent an individual risk prediction. The performance of individual risk prediction based on LC-NE functioning will be compared to the predictive validity of available covariates, confirmed by v-fold validation, and implemented in the outpatient clinic for external validation in independent data.\nWe expect LC-NE functioning to provide added predictive validity, with an increase in explained variance compared to previous psychopathology, childhood adversity, and cognitive ability. We assume a moderate accuracy of the normative model and substantial associations of normative range deviations with transdiagnostic psychopathology. We further expect that the spatial direction of the range deviation within the normative model differentiates the factors of transdiagnostic psychopathology. The simplicity of the model emphasizes its feasibility for use in clinical settings. The final task of LOCUS-MENTAL will provide a tool for quantitative risk prediction in at-risk populations of preschoolers.\nWe acknowledge that LC-NE functioning is not the only determinant in the complex development of psychopathology, but given this, the time is ripe to test a promising neurophysiological mechanism as an objective predictor that improves the assessment of clinical risk over the current practice of subjective evaluation.\n\n\n### Participants\nThe full sample was recruited during work packages 2 and 3.\n\n\n### Sample Size\nThe full sample consists of the 300 participants assessed in task 2.2.\n\n\n### Experimental Design\nThe findings of Objectives 2 and 3 will be used to enrich a probabilistic model in the full sample (n=300) that assigns individual risk based on LC-NE functioning in the preschool age. This will be evaluated as a tool of quantitative risk prediction for future psychopathology. We will operationalize risk probability within a normative model of transdiagnostic psychopathology [105]. A reference cohort will be defined from a subsample of participants that did not develop clinically relevant transdiagnostic psychopathology. This cohort will be applied to estimate a normative development model (ie, output) as a function of LC-NE tonic and phasic activity profiles. It defines a range of LC-NE functioning variation that is associated with a low risk. The model can then be applied to withheld data, that is, individuals who did develop transdiagnostic psychopathology. This allows one to quantify a numeric deviation of LC-NE functioning from normative ranges. The numeric deviation is then applied as a predictor of psychopathology in linear models that represent an individual risk prediction. The performance of individual risk prediction based on LC-NE functioning will be compared to the predictive validity of available covariates, confirmed by v-fold validation, and implemented in the outpatient clinic for external validation in independent data.\n\n\n### Expected Outcome\nWe expect LC-NE functioning to provide added predictive validity, with an increase in explained variance compared to previous psychopathology, childhood adversity, and cognitive ability. We assume a moderate accuracy of the normative model and substantial associations of normative range deviations with transdiagnostic psychopathology. We further expect that the spatial direction of the range deviation within the normative model differentiates the factors of transdiagnostic psychopathology. The simplicity of the model emphasizes its feasibility for use in clinical settings. The final task of LOCUS-MENTAL will provide a tool for quantitative risk prediction in at-risk populations of preschoolers.\n\n\n### Risk Assessment\nWe acknowledge that LC-NE functioning is not the only determinant in the complex development of psychopathology, but given this, the time is ripe to test a promising neurophysiological mechanism as an objective predictor that improves the assessment of clinical risk over the current practice of subjective evaluation.\n\n\n### Ethical Considerations\nThe study was approved by the Ethical Committee (reference number: 2024‐2160) and the Data Protection Officer of the Medical Faculty of Goethe University Frankfurt. To date, no adverse events have been reported by any comparable study, and thus we expect no risks nor harm to our participants. The study is planned and will be conducted and analyzed according to Good Scientific Practice (GSP) guidelines, the Declaration of Helsinki, and the European Data Protection Directive (DSGVO). Study participation is on a voluntary basis, and participants can withdraw from study participation at any time without any adverse consequences concerning their medical or psychiatric treatment in our clinic. Participants will also receive monetary compensation for their time. All relevant information regarding data protection and the voluntary basis of participation will be communicated to participants and their legal caregivers verbally, as well as in the form of written informed consent forms. We also obtain verbal assent from the preschool participants. The child’s right to withdraw at any time will be prioritized over parental consent. During assessments, the child will be closely monitored by the experimenter that is present at all times, and signs of acute distress (such as crying, physical withdrawal, or verbal expression of a desire to stop) will lead to termination of the assessment. In cases of suspected or disclosed adversity, the research team will inform the principal investigator immediately (licensed psychotherapist for children), who offers a voluntary counseling appointment to discuss potential adversity with the family and the child. In line with German child protection laws and in accordance with our clinical guidelines, the quantity and quality of suspected adversity might result in further support by our department or even a report to authorities (eg, imminent danger of ongoing adversity). We acknowledge that the development of a risk assessment tool could potentially lead to stigmatization and misuse. With our data management plan outlined below, we made sure that individual risk prediction cannot be associated with personally identifiable information. We further refrain from any nonscientific use of the prognostic risk marker. The rights to the information of prognostic risk remain with the participants in accordance with DSGVO. We are confident that a prognostic risk marker also provides the opportunity to shift from a health care system that focuses on intervention after manifestation of psychopathology to a focus on targeted prevention. Children at an elevated risk for mental health problems as identified by LOCUS-MENTAL could receive further case management at our outpatient clinic, where we decide on useful next steps on a case-by-case basis with evidence-based treatments. For example, caregivers of children at risk could be offered the opportunity to receive parent trainings that are established in the treatment of mental health problems in children. This may aid in the early prevention of the initial manifestation of psychopathology. Our newly established outpatient clinic for early detection could be the ideal environment to use risk assessment information for positive clinical outcomes.\nLOCUS-MENTAL applies a noninvasive neuroimaging methodology that allows indexing neuronal activity by video-based pupillometry. Previous work showed feasibility and established this methodology in clinical samples of children. In addition, we apply further noninvasive assessments with electroencephalography. These measures introduce a burden for the participants and can induce a state of irritability but do no harm. This also applies to the application of an age-appropriate social stress test. The test induces a temporary impression that the child’s performance was insufficient in a task, which has been associated with a cortisol release response that needs to be quantified to achieve the objective of task 3.2. The social stress test thus includes a comprehensive disclosure strategy after the test to alleviate any negative effects. In task 3.2, we further collect tissue as hair samples (cutting off hair strands) and saliva samples (chewing an artificial fiber). These methods of tissue collection are also entirely non-invasive. The tissue samples will be processed by experienced contractors and subsequently destroyed. In the project, we further assess personally identifiable information that is handled according to the descriptions in section 2.4. We expect that this study does not involve an immediate risk of yielding knowledge, products, or technology that could intentionally be misused to cause substantial harm.\nQuestionnaire and interview data will be collected via our on-premises online tool according to the European General Data Protection Regulation (GDPR). We further do video-based eye tracking, apply EEG, and collect biological samples. Hair samples will be analyzed by Dresden Labservice with online solid-phase extraction in liquid chromatography-tandem mass spectrometry. Saliva samples will be analyzed by Daacro Contract Research with the ELISA Salimetrics Assay in a double estimation. Metadata will be generated by a printed case report form. Data are transferred to electronic databases that allow for automated quality controls and sanity checks. Eye tracking and EEG data will also receive quality control by peer-reviewed preprocessing pipelines. We established standard operating procedures to document research data, personnel will be trained in GSP, and all data handling will be in accordance with the GDPR. We differentiate between person-identifying information and research data that are separated in different networks, both behind the clinic’s firewall. The data can only be combined by a person identification code that is restricted in access to authorized personnel and stored on the clinical network. This is separated from a pseudonymized research network. All databases run on a Microsoft Access front- and back-end with an Active Directory system. Data are stored on on-premises servers with backups in a different building. After the project’s end, anonymized research data will be made available according to Open Science standards and archived for 10 years. The author (IT) will administer the project-specific databases. PhD students will have read and write rights with log protocols. A dedicated database manager with a permanent position is the administrator of all databases.\nThe LOCUS-MENTAL study uses targeted strategies across its work packages to manage missing data and ensure robust longitudinal findings. Work package 1 focuses on feasibility measures by using passive and child-friendly paradigms to achieve a projected completion rate of over 80%. Statistical analysis will exclude children that have per-task data validity rates of less than 50% or more than one missing task. The auditory oddball task is a marker task that is required to be included in the statistical analysis. We established standardized procedures of pupillometry data preprocessing to address within-trial missing data due to inattention. Work package 2 addresses high-burden EEG assessments by designating them as “more optional” in the context of the overall project, which allows for an expected 30% attrition rate without hindering subsequent study objectives. For the longitudinal assessments in work package 3, the study implements retention strategies like online data collection and locator documents. In addition, the statistical framework of work package 3 includes LMM and structural equation modeling to handle intermittent missingness across time points. Questionnaire data on an item level with per-measure missing rates up to 20% will be addressed by Multiple Imputation by Chained Equations (MICE) that preserves statistical power under the missing at random assumptions. However, children with increased irritability or increased burden may be more likely to drop out (ie, missing not at random or MNAR). Thus, pattern mixture models will be applied as a sensitivity analysis to determine if the developmental trajectories of LC-NE functioning are biased by specific attrition patterns. In addition, Inverse Probability Weighting (IPW) in the longitudinal data analysis can be used to adjust for non-random attrition by weighting the remaining participants based on baseline characteristics (eg, socioeconomic status or initial psychopathology scores) that predict dropout. Missing bio samples will be addressed by case-wise exclusion in the specific subanalysis. Finally, work package 4 uses v-fold validation to evaluate the predictive stability of the risk prediction tool.\n\n\n### Results\nThe project was launched upon funding in November 2024. The validation phase (work package 1) began participant enrollment in August 2025. As of February 2026, 82 participants have been assessed. Recruitment is ongoing, with a target of 90 participants by the end of February 2026. Data collection for the validation phase will be followed by comprehensive analysis of the psychophysiological and behavioral data. Results from this phase are intended for publication in 2026. Based on the validated paradigms, the core accelerated longitudinal study (work package 2) is scheduled to commence in April 2026. This longitudinal component will follow a cohort of 300 preschool-aged children across 3 annual assessment waves till March 2029. The entire LOCUS-MENTAL project is designed as a 6-year study. Final data analysis, synthesis of findings, and dissemination for the full longitudinal cohort are planned to conclude by the end of 2030.\n\n\n### Discussion\nThe LOCUS-MENTAL protocol outlines a longitudinal study design with the primary aim to establish LC-NE functioning as a neurobiological predictor of later psychopathology in childhood. We anticipate that the validation phase (Objective 1) will demonstrate convergent and discriminant validity of the pupillometric markers BPS and SEPR with sufficient reliability. By developing and validating a child-friendly, pupillometry-based tool, this aims to bridge a critical gap between neurobiological mechanism and clinical risk prediction, which is based solely on behavioral observation. Accordingly, this is a prerequisite to ensure the method sensitivity and specificity. This would provide a concise test battery that assesses a neurobiological mechanism that could be implemented in future clinical studies capturing a potential biomarker of psychopathology in early childhood. Furthermore, we hypothesize that BPS and SEPR will cross-sectionally differentiate between transdiagnostic risk profiles, such as irritability and behavioral inhibition, and serve as a mediator between childhood adversity and psychopathology (Objective 2). This would provide an underlying neurobiological basis for temperament dimensions that are also based on caregiver reports. In the longitudinal data, as a core outcome, we expect to reveal baseline LC-NE functioning at age 4‐6 years to predict the development of psychopathology at school age (Objective 3). This central component of the LOCUS-MENTAL project would provide causative evidence for an impact of LC-NE functioning on transdiagnostic mental health conditions. These findings will be used in forming a normative model as a pupillometry-based risk prediction tool, establishing a key neurobiological susceptibility mechanism that mediates the impact of early adversity on psychopathology (Objective 4). This will allow a translation of the experimental findings to clinical practice. For example, children associated with an elevated risk for psychopathology based on LC-NE functioning could be supported by evidence-based treatments that are effective before the onset of a mental health condition. This would emphasize a targeted prevention approach. We conclude that the identification of a neurobiologically grounded risk marker could transform our mental health infrastructure from interventions that are applied years after the onset of mental health problems to early and targeted support. Ultimately, this aims to reduce the lifetime burden of mental health problems.\nLOCUS-MENTAL focuses on a critical developmental window, the preschool period (aged 4‐6 years), a key time for the emergence of transdiagnostic risk factors, offering a unique opportunity for targeted prevention. This developmental period has been largely neglected in experimental research on lifetime mental health, as preschoolers have limited capabilities to follow task instructions. In this project, this is addressed by the application of feasible pupillometry as a primary method that is feasible in young and burdened children. The study provides a robust design, combining an initial multitrait-multimethod validation phase with a subsequent large-scale accelerated longitudinal study. This design strengthens internal validity through paradigm optimization and allows for examination of causal pathways and developmental trajectories over time.\nThe novelty of the paradigms for preschoolers is a limitation since established pupillometric paradigms for assessing specifically LC-NE functions have not been established in young children. The dedicated validation phase (working package 1) is specifically designed to address this issue. Another limiting factor is the longitudinal study design. This design comes with the risk of high participants’ attrition, which may affect the final statistical power. To address this, the study will use retention strategies (eg, regular contact, family-friendly appointment scheduling, and compensation) and will use appropriate statistical methods to handle missing data.\nIf the pupillometric markers are validated as successful predictors, future research could focus on clinical implementation. The natural next step would be the development of a pupillometry tool that can be applied outside the lab, for which head-mounted devices with built-in eye trackers are a promising avenue. Ultimately, this would deliver a child-friendly and low-cost automated screening tool for pediatricians or for educational settings.\nThe results of the study will be disseminated through peer-reviewed publications in high-impact journals. Findings will be presented at national and international conferences. Following Open Science principles, data analysis will be made available in online repositories, while deidentified data can be shared upon reasonable request in line with data privacy considerations. In addition, we engage in active patient and public involvement by media outreach and promoting our research on social media and our Mind-Child lab web page.\n\n\n### Principal Findings\nThe LOCUS-MENTAL protocol outlines a longitudinal study design with the primary aim to establish LC-NE functioning as a neurobiological predictor of later psychopathology in childhood. We anticipate that the validation phase (Objective 1) will demonstrate convergent and discriminant validity of the pupillometric markers BPS and SEPR with sufficient reliability. By developing and validating a child-friendly, pupillometry-based tool, this aims to bridge a critical gap between neurobiological mechanism and clinical risk prediction, which is based solely on behavioral observation. Accordingly, this is a prerequisite to ensure the method sensitivity and specificity. This would provide a concise test battery that assesses a neurobiological mechanism that could be implemented in future clinical studies capturing a potential biomarker of psychopathology in early childhood. Furthermore, we hypothesize that BPS and SEPR will cross-sectionally differentiate between transdiagnostic risk profiles, such as irritability and behavioral inhibition, and serve as a mediator between childhood adversity and psychopathology (Objective 2). This would provide an underlying neurobiological basis for temperament dimensions that are also based on caregiver reports. In the longitudinal data, as a core outcome, we expect to reveal baseline LC-NE functioning at age 4‐6 years to predict the development of psychopathology at school age (Objective 3). This central component of the LOCUS-MENTAL project would provide causative evidence for an impact of LC-NE functioning on transdiagnostic mental health conditions. These findings will be used in forming a normative model as a pupillometry-based risk prediction tool, establishing a key neurobiological susceptibility mechanism that mediates the impact of early adversity on psychopathology (Objective 4). This will allow a translation of the experimental findings to clinical practice. For example, children associated with an elevated risk for psychopathology based on LC-NE functioning could be supported by evidence-based treatments that are effective before the onset of a mental health condition. This would emphasize a targeted prevention approach. We conclude that the identification of a neurobiologically grounded risk marker could transform our mental health infrastructure from interventions that are applied years after the onset of mental health problems to early and targeted support. Ultimately, this aims to reduce the lifetime burden of mental health problems.\n\n\n### Strengths\nLOCUS-MENTAL focuses on a critical developmental window, the preschool period (aged 4‐6 years), a key time for the emergence of transdiagnostic risk factors, offering a unique opportunity for targeted prevention. This developmental period has been largely neglected in experimental research on lifetime mental health, as preschoolers have limited capabilities to follow task instructions. In this project, this is addressed by the application of feasible pupillometry as a primary method that is feasible in young and burdened children. The study provides a robust design, combining an initial multitrait-multimethod validation phase with a subsequent large-scale accelerated longitudinal study. This design strengthens internal validity through paradigm optimization and allows for examination of causal pathways and developmental trajectories over time.\n\n\n### Limitations\nThe novelty of the paradigms for preschoolers is a limitation since established pupillometric paradigms for assessing specifically LC-NE functions have not been established in young children. The dedicated validation phase (working package 1) is specifically designed to address this issue. Another limiting factor is the longitudinal study design. This design comes with the risk of high participants’ attrition, which may affect the final statistical power. To address this, the study will use retention strategies (eg, regular contact, family-friendly appointment scheduling, and compensation) and will use appropriate statistical methods to handle missing data.\n\n\n### Future Directions\nIf the pupillometric markers are validated as successful predictors, future research could focus on clinical implementation. The natural next step would be the development of a pupillometry tool that can be applied outside the lab, for which head-mounted devices with built-in eye trackers are a promising avenue. Ultimately, this would deliver a child-friendly and low-cost automated screening tool for pediatricians or for educational settings.\n\n\n### Dissemination Plan\nThe results of the study will be disseminated through peer-reviewed publications in high-impact journals. Findings will be presented at national and international conferences. Following Open Science principles, data analysis will be made available in online repositories, while deidentified data can be shared upon reasonable request in line with data privacy considerations. In addition, we engage in active patient and public involvement by media outreach and promoting our research on social media and our Mind-Child lab web page.", "domain": "affective_neuroscience"}
{"source": "PMC13083156", "title": "Pain management and related factor exploration of rheumatoid arthritis based on nursing science precision health model: a retrospective analysis of 287 cases", "text": "# Pain management and related factor exploration of rheumatoid arthritis based on nursing science precision health model: a retrospective analysis of 287 cases\n\n## Abstract\nRheumatoid arthritis (RA) is a chronic inflammatory disease characterized by pain, functional disability, and comorbidities. Pain management in RA is complex due to both inflammatory and non-inflammatory mechanisms. The Nursing Science Precision Health (NSPH) model offers a personalized approach to pain management, integrating symptom measurement, phenotypic analysis, and biomarker data to guide tailored interventions. The recorded data of 287 RA patients were retrospectively archived and categorized into three pain phenotypes: inflammatory pain, non-inflammatory pain, and mixed pain. Pain was assessed using the Visual Analog Scale (VAS), and biomarkers were measured at baseline. Psychological factors, including anxiety, depression, and sleep quality, were also evaluated. Patients’ phenotype-specific interventions were extracted from clinical records: pharmacological treatment for inflammatory pain, psychological counseling and mindfulness-based stress reduction for non-inflammatory pain, and combined therapies for mixed pain. Follow-up assessments were conducted at 12 weeks. Significant improvements were observed across all pain phenotypes. Inflammatory pain patients showed reductions in CRP, ESR, and VAS pain scores. Non-inflammatory pain patients experienced reductions in anxiety, depression, and VAS scores, with improvements in sleep quality. Mixed pain patients benefited from both pharmacological and psychological interventions. Patient-reported outcomes, including quality of life and functional status, improved significantly, with 82.6% expressing satisfaction with their pain management plan. The NSPH model offers an effective framework for personalized RA pain management, demonstrating that phenotype-based interventions improve pain outcomes, reduce psychosocial distress, and enhance quality of life. This approach holds potential for broader application in chronic pain management and warrants further research to optimize its implementation.\n\n## Full Text\n\n\n### Introduction\nRheumatoid arthritis (RA) is a chronic autoimmune disease characterized by systemic inflammation, synovial proliferation, and progressive joint destruction, leading to substantial pain and functional impairment. The disease affects approximately 0.5–1% of the global population and remains a leading cause of disability worldwide, contributing substantially to years lived with disability and the healthcare burden. Pain remains one of the most prominent and disabling symptoms in RA, significantly affecting physical function, psychological wellbeing, and social participation (1, 2). Although advances in pharmacological therapies, including disease-modifying anti-rheumatic drugs (DMARDs) and biologics, have improved disease control, a considerable proportion of patients continue to experience persistent pain, highlighting the complexity of underlying mechanisms and the limitations of inflammation-centered treatment strategies (3–6).\nTraditionally, RA pain has been attributed primarily to nociceptive processes driven by synovial inflammation and joint damage. However, this view is increasingly recognized as insufficient, as many patients report ongoing pain despite well-controlled inflammatory activity. Emerging evidence supports the presence of nociplastic pain mechanisms in RA, characterized by central sensitization and altered pain processing within the central nervous system (6–8). In addition, psychosocial factors such as anxiety, depression, and sleep disturbance contribute substantially to pain amplification and persistence. These factors not only exacerbate pain perception but also interfere with treatment adherence and recovery, forming a self-reinforcing cycle of symptom burden (9). Collectively, these findings indicate that RA pain arises from a complex interaction of inflammatory, neurobiological, and psychosocial processes, necessitating a multidimensional approach to assessment and management.\nDespite growing recognition of this complexity, current RA management strategies remain largely focused on pharmacological and immunological interventions. While effective in controlling disease activity, these approaches often fail to address persistent pain driven by non-inflammatory mechanisms (1, 7). Increasing attention has therefore been directed toward nursing-led and multidisciplinary interventions that incorporate psychological support, lifestyle modification, and patient education. Such approaches have demonstrated improvements in treatment adherence, emotional wellbeing, and functional outcomes, particularly when delivered through structured and continuous care models (9–11). However, these interventions are frequently implemented without a unified theoretical framework, limiting their ability to guide individualized, mechanism-based care.\nTo address these limitations, precision health approaches have been proposed to integrate biological, behavioral, and environmental determinants of symptoms into personalized care strategies. The Nursing Science Precision Health (NSPH) model represents a structured framework for applying these principles in clinical practice. This model incorporates four key components: precise symptom measurement, phenotypic analysis considering lifestyle and environmental factors, biomarker discovery, and targeted intervention development. By transitioning care from protocol-driven to data-informed and adaptive approaches, the NSPH model enables the integration of clinical indicators, psychosocial profiles, and biological signals to support individualized symptom management (12, 13). Previous studies have demonstrated that applying this framework to chronic inflammatory pain can improve symptom control and patient engagement by aligning interventions with underlying mechanisms (13, 14).\nFrom a biological perspective, accumulating evidence highlights the importance of biomarkers in understanding RA pain. Cytokines such as TNF-α, IL-6, and the Th17/Treg ratio are involved not only in inflammatory activity but also in pain modulation and sensitization (15). Emerging studies have also identified novel targets, such as P2 × 7R, as potential indicators of pain severity within precision health frameworks (16). In parallel, psychosocial factors remain critical determinants of pain experience. A substantial proportion of RA patients with severe pain exhibit anxiety or depressive symptoms, which can exacerbate disease burden and functional impairment through neuroimmune interactions (17, 18). Interventions targeting these factors, including cognitive-behavioral therapy and mindfulness-based approaches, have shown effectiveness in reducing pain and improving mental health outcomes (19). Together, these findings support the integration of biomarker assessment with psychosocial evaluation to achieve a more comprehensive understanding of RA pain.\nLifestyle factors, including dietary patterns, may also influence inflammation and symptom burden in RA, although existing evidence remains heterogeneous. While some studies suggest that exclusion diets may improve pain and inflammatory markers, these findings are limited and not universally applicable (20). In contrast, higher-quality evidence supports Mediterranean-style and plant-based diets, which are associated with reduced inflammation and improved patient-reported outcomes (21–25). These observations further emphasize the importance of individualized, phenotype-based approaches rather than uniform recommendations. Despite these advances, the NSPH model has rarely been systematically applied to guide nursing practice in RA pain management. This gap reflects a disconnect between expanding biomedical knowledge and its translation into individualized, bedside care. In particular, there remains a lack of integrated approaches that combine biomarker profiling, psychosocial assessment, and phenotype-based intervention strategies within a unified framework.\nTherefore, the present study applies the NSPH model to RA pain management by integrating clinical, biological, and psychosocial data to develop phenotype-based, nurse-led interventions. Specifically, this study aims to (1) classify patients into inflammatory, non-inflammatory, and mixed pain phenotypes using multidimensional assessments; (2) incorporate immune, neuroendocrine, and psychosocial biomarkers into phenotype characterization; and (3) evaluate the effectiveness of phenotype-specific interventions. By operationalizing the precision health framework in a clinical context, this study seeks to improve individualized pain management and provide a foundation for more effective, mechanism-based care strategies in RA.\n\n\n### Materials and methods\nThe current retrospective study included 287 patients with rheumatoid arthritis (RA), whose clinical information was collected from rheumatology clinics across five hospitals from Jan 2022 to Dec 2023. Data were obtained from existing medical records and institutional databases. The study utilized both quantitative and qualitative approaches, guided by the Nursing Science Precision Health (NSPH) model, to explore pain management strategies and related factors in RA patients.\nGiven the retrospective design, no formal sample size calculation was performed; instead, the sample size was determined by the total number of patients meeting the inclusion and exclusion criteria during the study period. Initially, a total of 356 medical records of patients with RA were initially screened from rheumatology clinics across five hospitals during the study period. After applying the inclusion and exclusion criteria, 69 patients were excluded, including those with incomplete clinical data (n = 13), coexisting autoimmune diseases (n = 16), active infections (n = 10), pregnancy or lactation (n = 17), and participation in other clinical trials (n = 13). Ultimately, 287 patients met all eligibility criteria and were included in the final analysis. Eligible patients were aged 18–65 years, had a confirmed diagnosis of RA based on the American College of Rheumatology criteria, and had documented pain intensity ≥ 4 on the Visual Analog Scale (VAS) within one week prior to baseline evaluation.\nThis study was conducted in accordance with the Declaration of Helsinki and was approved by the Institutional Review Boards of the participating hospitals (no. 2022012412). Given the retrospective design based on de-identified medical records, the requirement for written informed consent was waived by the ethics committees.\nData were collected to evaluate pain, psychosocial status, fatigue, sleep, functional status, and laboratory tests for RA biomarkers. Table 1 summarizes the multiple tools and laboratory assessments collected during this study. The validated Chinese versions of the different scales were used. All measures were collected at baseline and again at 12 weeks.\nData collection instruments.\nInterventions were designed according to the NSPH model, emphasizing individualized, phenotype-based management (Figure 1). Briefly, the NSPH model was developed to bridge precision medicine and nursing science by emphasizing individualized symptom assessment, data integration, and adaptive care. It operates through an iterative, four-component process that connects discovery science with clinical decision-making. Precise symptom measurement (Component A) uses validated instruments and digital tools to quantify patient-reported outcomes and physiological parameters with multi-domain, repeated time-point longitudinal symptom assessment. Phenotype characterization (Component B) integrates symptom clusters, lifestyle, environmental exposure, and psychosocial patterns to define distinct patient phenotypes. Biomarker discovery (Component C) identifies molecular, immune, or neuroendocrine indicators that differentiate phenotypes or predict responses. Targeted intervention and evaluation (Component D) designs and continuously refines interventions based on phenotype-specific mechanisms, feeding results back into the measurement loop for precision improvement. Each intervention strategy targeted both biological and psychosocial determinants of pain, ensuring comprehensive coverage across inflammatory, non-inflammatory, and mixed pain phenotypes. Based on the aforementioned criteria, the total of 287 patients were categorized into inflammatory (n = 111), non-inflammatory (n = 85), and mixed pain phenotypes (n = 91).\nConceptual framework of the Nursing Science Precision Health (NSPH) model applied to rheumatoid arthritis (RA) pain management.\nPatients with inflammatory pain received pharmacological therapies to control inflammation and disease activity. Conventional disease-modifying anti-rheumatic drugs (DMARDs) (e.g., methotrexate, sulfasalazine) and biologic agents inhibiting TNF-α or IL-6 (e.g., Enbrel, Remicade, Actemra) were prescribed as indicated to control inflammation. NSAIDs and corticosteroids were administered for short-term relief during flare-ups. Treatment response was closely monitored using the DAS28 and biomarker tracking (CRP, ESR, cytokines, and Th17/Treg balance) to ensure adequate suppression of inflammation. No formal psychosocial interventions (e.g., psychological counseling, mindfulness-based stress reduction, or cognitive-behavioral strategies) were delivered to this phenotype.\nPatients with non-inflammatory pain underwent interventions focused on psychosocial, neuroendocrine, and lifestyle factors. Cognitive Behavioral Therapy (CBT) and Mindfulness-Based Stress Reduction (MBSR) were delivered to reduce catastrophizing, anxiety, and depression. Fatigue was addressed using structured activity-rest cycles guided by FACIT-Fatigue results, while dietary interventions emphasized anti-inflammatory nutrition with reduced gluten, red meat, and dairy, and increased intake of omega-3 fatty acids and antioxidants. Acupuncture without trigger point therapy was provided twice weekly as a complementary therapy to alleviate pain and improve sleep quality.\nPatients with mixed pain received an integrated approach combining pharmacological, psychological, and complementary strategies. Pharmacological treatment targeted inflammatory components with DMARDs or biologics, while CBT, MBSR, and sleep hygiene strategies addressed central sensitization and psychological distress. Acupuncture combined with trigger point therapy was used to reduce neuromuscular pain and improve joint mobility, providing a comprehensive management strategy for this subgroup. Acupuncture was administered twice weekly, and trigger point therapy was delivered once weekly as an additional modality to address the neuromuscular component of pain. These phenotype-specific differences were prespecified because non-inflammatory pain management emphasized psychosocial and behavioral drivers, whereas mixed pain required simultaneous targeting of inflammatory mechanisms and neuromuscular pain features.\nFollow-up assessments were performed at 12 weeks to evaluate treatment effectiveness across all dimensions. Outcomes were evaluated across four domains: (1) clinical disease activity, (2) biomarker modulation, (3) psychosocial status, and (4) patient-reported functional and quality-of-life measures as follows.\nPain outcomes were reassessed with the VAS and GPS, while psychosocial outcomes included the HADS, PSQI, SSRS, FACIT-Fatigue, PCS, and SF-36. Clinical outcomes were monitored using the HAQ, DAS28, swollen/tender joint counts, and PGA. Laboratory reassessments included ESR, CRP, RF, anti-CCP, cytokines (IL-2, IL-6, TNF-α, IL-17A, IL-10), Th17/Treg ratio, neuropeptides (Substance P, CGRP), endocrine markers (cortisol, ACTH), and oxidative stress indicators (MDA, SOD, GSH-Px). This multidimensional follow-up ensured comprehensive evaluation of both clinical improvements and broader biological and psychosocial adaptations across all pain phenotypes.\nAll data were analyzed using SPSS version 25.0 (IBM Corp., Armonk, NY, USA). Descriptive statistics were used to summarize demographic characteristics, clinical parameters, psychosocial scores, and biomarker levels. Continuous variables were expressed as mean ± standard deviation (SD) or median (interquartile range), depending on distribution, while categorical variables were presented as frequencies and percentages. Group differences between pain phenotypes (inflammatory, non-inflammatory, and mixed) were assessed using one-way ANOVA or Kruskal–Wallis tests for continuous variables and chi-square tests for categorical variables. To evaluate intervention effects, paired t-tests or Wilcoxon signed-rank tests were applied to compare baseline and follow-up values at 12 weeks. Between-group changes were examined using repeated-measures ANOVA with Bonferroni correction. Correlation analyses (Pearson or Spearman) were performed to explore relationships between pain intensity (VAS, GPS) and explanatory factors including biomarkers (CRP, ESR, IL-2, IL-6, TNF-α, IL-17A, IL-10, Th17/Treg ratio, neuropeptides, oxidative stress markers, cortisol, ACTH), psychosocial measures (HADS, PSQI, SSRS, FACIT-F, PCS, SF-36), and clinical indices (HAQ, DAS28, PGA). Multivariable logistic regression was conducted to identify independent predictors of high pain (VAS ≥ 6) and poor quality of life (SF-36 < median). To further investigate mechanistic pathways, structural equation modeling (SEM) was applied to test hypothesized associations between inflammatory activity, psychosocial distress, central sensitization markers, and patient-reported outcomes. Goodness-of-fit indices (χ2/df, RMSEA, CFI, TLI) were used to evaluate model adequacy. For all analyses, a two-tailed P-value < 0.05 was considered statistically significant.\n\n\n### Study design and participants\nThe current retrospective study included 287 patients with rheumatoid arthritis (RA), whose clinical information was collected from rheumatology clinics across five hospitals from Jan 2022 to Dec 2023. Data were obtained from existing medical records and institutional databases. The study utilized both quantitative and qualitative approaches, guided by the Nursing Science Precision Health (NSPH) model, to explore pain management strategies and related factors in RA patients.\nGiven the retrospective design, no formal sample size calculation was performed; instead, the sample size was determined by the total number of patients meeting the inclusion and exclusion criteria during the study period. Initially, a total of 356 medical records of patients with RA were initially screened from rheumatology clinics across five hospitals during the study period. After applying the inclusion and exclusion criteria, 69 patients were excluded, including those with incomplete clinical data (n = 13), coexisting autoimmune diseases (n = 16), active infections (n = 10), pregnancy or lactation (n = 17), and participation in other clinical trials (n = 13). Ultimately, 287 patients met all eligibility criteria and were included in the final analysis. Eligible patients were aged 18–65 years, had a confirmed diagnosis of RA based on the American College of Rheumatology criteria, and had documented pain intensity ≥ 4 on the Visual Analog Scale (VAS) within one week prior to baseline evaluation.\nThis study was conducted in accordance with the Declaration of Helsinki and was approved by the Institutional Review Boards of the participating hospitals (no. 2022012412). Given the retrospective design based on de-identified medical records, the requirement for written informed consent was waived by the ethics committees.\n\n\n### Data collection\nData were collected to evaluate pain, psychosocial status, fatigue, sleep, functional status, and laboratory tests for RA biomarkers. Table 1 summarizes the multiple tools and laboratory assessments collected during this study. The validated Chinese versions of the different scales were used. All measures were collected at baseline and again at 12 weeks.\nData collection instruments.\n\n\n### Interventions and follow-up\nInterventions were designed according to the NSPH model, emphasizing individualized, phenotype-based management (Figure 1). Briefly, the NSPH model was developed to bridge precision medicine and nursing science by emphasizing individualized symptom assessment, data integration, and adaptive care. It operates through an iterative, four-component process that connects discovery science with clinical decision-making. Precise symptom measurement (Component A) uses validated instruments and digital tools to quantify patient-reported outcomes and physiological parameters with multi-domain, repeated time-point longitudinal symptom assessment. Phenotype characterization (Component B) integrates symptom clusters, lifestyle, environmental exposure, and psychosocial patterns to define distinct patient phenotypes. Biomarker discovery (Component C) identifies molecular, immune, or neuroendocrine indicators that differentiate phenotypes or predict responses. Targeted intervention and evaluation (Component D) designs and continuously refines interventions based on phenotype-specific mechanisms, feeding results back into the measurement loop for precision improvement. Each intervention strategy targeted both biological and psychosocial determinants of pain, ensuring comprehensive coverage across inflammatory, non-inflammatory, and mixed pain phenotypes. Based on the aforementioned criteria, the total of 287 patients were categorized into inflammatory (n = 111), non-inflammatory (n = 85), and mixed pain phenotypes (n = 91).\nConceptual framework of the Nursing Science Precision Health (NSPH) model applied to rheumatoid arthritis (RA) pain management.\nPatients with inflammatory pain received pharmacological therapies to control inflammation and disease activity. Conventional disease-modifying anti-rheumatic drugs (DMARDs) (e.g., methotrexate, sulfasalazine) and biologic agents inhibiting TNF-α or IL-6 (e.g., Enbrel, Remicade, Actemra) were prescribed as indicated to control inflammation. NSAIDs and corticosteroids were administered for short-term relief during flare-ups. Treatment response was closely monitored using the DAS28 and biomarker tracking (CRP, ESR, cytokines, and Th17/Treg balance) to ensure adequate suppression of inflammation. No formal psychosocial interventions (e.g., psychological counseling, mindfulness-based stress reduction, or cognitive-behavioral strategies) were delivered to this phenotype.\nPatients with non-inflammatory pain underwent interventions focused on psychosocial, neuroendocrine, and lifestyle factors. Cognitive Behavioral Therapy (CBT) and Mindfulness-Based Stress Reduction (MBSR) were delivered to reduce catastrophizing, anxiety, and depression. Fatigue was addressed using structured activity-rest cycles guided by FACIT-Fatigue results, while dietary interventions emphasized anti-inflammatory nutrition with reduced gluten, red meat, and dairy, and increased intake of omega-3 fatty acids and antioxidants. Acupuncture without trigger point therapy was provided twice weekly as a complementary therapy to alleviate pain and improve sleep quality.\nPatients with mixed pain received an integrated approach combining pharmacological, psychological, and complementary strategies. Pharmacological treatment targeted inflammatory components with DMARDs or biologics, while CBT, MBSR, and sleep hygiene strategies addressed central sensitization and psychological distress. Acupuncture combined with trigger point therapy was used to reduce neuromuscular pain and improve joint mobility, providing a comprehensive management strategy for this subgroup. Acupuncture was administered twice weekly, and trigger point therapy was delivered once weekly as an additional modality to address the neuromuscular component of pain. These phenotype-specific differences were prespecified because non-inflammatory pain management emphasized psychosocial and behavioral drivers, whereas mixed pain required simultaneous targeting of inflammatory mechanisms and neuromuscular pain features.\nFollow-up assessments were performed at 12 weeks to evaluate treatment effectiveness across all dimensions. Outcomes were evaluated across four domains: (1) clinical disease activity, (2) biomarker modulation, (3) psychosocial status, and (4) patient-reported functional and quality-of-life measures as follows.\nPain outcomes were reassessed with the VAS and GPS, while psychosocial outcomes included the HADS, PSQI, SSRS, FACIT-Fatigue, PCS, and SF-36. Clinical outcomes were monitored using the HAQ, DAS28, swollen/tender joint counts, and PGA. Laboratory reassessments included ESR, CRP, RF, anti-CCP, cytokines (IL-2, IL-6, TNF-α, IL-17A, IL-10), Th17/Treg ratio, neuropeptides (Substance P, CGRP), endocrine markers (cortisol, ACTH), and oxidative stress indicators (MDA, SOD, GSH-Px). This multidimensional follow-up ensured comprehensive evaluation of both clinical improvements and broader biological and psychosocial adaptations across all pain phenotypes.\n\n\n### Inflammatory pain interventions\nPatients with inflammatory pain received pharmacological therapies to control inflammation and disease activity. Conventional disease-modifying anti-rheumatic drugs (DMARDs) (e.g., methotrexate, sulfasalazine) and biologic agents inhibiting TNF-α or IL-6 (e.g., Enbrel, Remicade, Actemra) were prescribed as indicated to control inflammation. NSAIDs and corticosteroids were administered for short-term relief during flare-ups. Treatment response was closely monitored using the DAS28 and biomarker tracking (CRP, ESR, cytokines, and Th17/Treg balance) to ensure adequate suppression of inflammation. No formal psychosocial interventions (e.g., psychological counseling, mindfulness-based stress reduction, or cognitive-behavioral strategies) were delivered to this phenotype.\n\n\n### Non-inflammatory pain interventions\nPatients with non-inflammatory pain underwent interventions focused on psychosocial, neuroendocrine, and lifestyle factors. Cognitive Behavioral Therapy (CBT) and Mindfulness-Based Stress Reduction (MBSR) were delivered to reduce catastrophizing, anxiety, and depression. Fatigue was addressed using structured activity-rest cycles guided by FACIT-Fatigue results, while dietary interventions emphasized anti-inflammatory nutrition with reduced gluten, red meat, and dairy, and increased intake of omega-3 fatty acids and antioxidants. Acupuncture without trigger point therapy was provided twice weekly as a complementary therapy to alleviate pain and improve sleep quality.\n\n\n### Mixed pain interventions\nPatients with mixed pain received an integrated approach combining pharmacological, psychological, and complementary strategies. Pharmacological treatment targeted inflammatory components with DMARDs or biologics, while CBT, MBSR, and sleep hygiene strategies addressed central sensitization and psychological distress. Acupuncture combined with trigger point therapy was used to reduce neuromuscular pain and improve joint mobility, providing a comprehensive management strategy for this subgroup. Acupuncture was administered twice weekly, and trigger point therapy was delivered once weekly as an additional modality to address the neuromuscular component of pain. These phenotype-specific differences were prespecified because non-inflammatory pain management emphasized psychosocial and behavioral drivers, whereas mixed pain required simultaneous targeting of inflammatory mechanisms and neuromuscular pain features.\n\n\n### Follow-up and evaluation\nFollow-up assessments were performed at 12 weeks to evaluate treatment effectiveness across all dimensions. Outcomes were evaluated across four domains: (1) clinical disease activity, (2) biomarker modulation, (3) psychosocial status, and (4) patient-reported functional and quality-of-life measures as follows.\nPain outcomes were reassessed with the VAS and GPS, while psychosocial outcomes included the HADS, PSQI, SSRS, FACIT-Fatigue, PCS, and SF-36. Clinical outcomes were monitored using the HAQ, DAS28, swollen/tender joint counts, and PGA. Laboratory reassessments included ESR, CRP, RF, anti-CCP, cytokines (IL-2, IL-6, TNF-α, IL-17A, IL-10), Th17/Treg ratio, neuropeptides (Substance P, CGRP), endocrine markers (cortisol, ACTH), and oxidative stress indicators (MDA, SOD, GSH-Px). This multidimensional follow-up ensured comprehensive evaluation of both clinical improvements and broader biological and psychosocial adaptations across all pain phenotypes.\n\n\n### Statistical analysis\nAll data were analyzed using SPSS version 25.0 (IBM Corp., Armonk, NY, USA). Descriptive statistics were used to summarize demographic characteristics, clinical parameters, psychosocial scores, and biomarker levels. Continuous variables were expressed as mean ± standard deviation (SD) or median (interquartile range), depending on distribution, while categorical variables were presented as frequencies and percentages. Group differences between pain phenotypes (inflammatory, non-inflammatory, and mixed) were assessed using one-way ANOVA or Kruskal–Wallis tests for continuous variables and chi-square tests for categorical variables. To evaluate intervention effects, paired t-tests or Wilcoxon signed-rank tests were applied to compare baseline and follow-up values at 12 weeks. Between-group changes were examined using repeated-measures ANOVA with Bonferroni correction. Correlation analyses (Pearson or Spearman) were performed to explore relationships between pain intensity (VAS, GPS) and explanatory factors including biomarkers (CRP, ESR, IL-2, IL-6, TNF-α, IL-17A, IL-10, Th17/Treg ratio, neuropeptides, oxidative stress markers, cortisol, ACTH), psychosocial measures (HADS, PSQI, SSRS, FACIT-F, PCS, SF-36), and clinical indices (HAQ, DAS28, PGA). Multivariable logistic regression was conducted to identify independent predictors of high pain (VAS ≥ 6) and poor quality of life (SF-36 < median). To further investigate mechanistic pathways, structural equation modeling (SEM) was applied to test hypothesized associations between inflammatory activity, psychosocial distress, central sensitization markers, and patient-reported outcomes. Goodness-of-fit indices (χ2/df, RMSEA, CFI, TLI) were used to evaluate model adequacy. For all analyses, a two-tailed P-value < 0.05 was considered statistically significant.\n\n\n### Results\nA total of 287 patients with rheumatoid arthritis (RA) were included in the study. Baseline characteristics are summarized in Table 2. The mean CRP was 16.4 ± 8.9 mg/L, and ESR was 36.5 ± 14.3 mm/h, indicating moderate to high systemic inflammatory activity at baseline. A majority of patients were RF-positive (72.4%) and anti-CCP-positive (68.3%), reflecting a predominantly seropositive RA population with established autoimmune features. Among cytokines, IL-6 levels averaged 32.6 ± 11.2 pg/mL, TNF-α 24.7 ± 9.6 pg/mL, IL-2 18.9 ± 7.3 pg/mL, IL-17A 21.4 ± 8.6 pg/mL, while IL-10 averaged 9.8 ± 3.5 pg/mL. This cytokine profile is characterized by elevated pro-inflammatory mediators alongside relatively lower anti-inflammatory IL-10, suggesting a pro-inflammatory immune milieu. The mean Th17/Treg ratio was 2.5 ± 0.9, indicating a shift toward pro-inflammatory Th17 dominance and immune regulatory imbalance that is associated with persistent inflammation, heightened pain sensitivity, and reduced resolution capacity, consistent with RA immunopathology (Table 2).\nBaseline information for all patients (n = 287).\nNeuropeptides and endocrine markers showed moderate elevations, with Substance P averaging 185 ± 56 pg/mL, and CGRP averaging 142 ± 48 pg/mL, suggesting enhanced nociceptive signaling and involvement of central pain amplification mechanisms. Cortisol (11.8 ± 4.2 μg/dL) and ACTH (32.5 ± 11.4 pg/mL) levels were within mid-range values, indicating partial activation but not exhaustion of the hypothalamic–pituitary–adrenal axis. Oxidative stress markers revealed increased lipid peroxidation (MDA 5.2 ± 1.8 nmol/mL), while antioxidant capacity (SOD 108 ± 24 U/mL, GSH-Px 320 ± 65 U/mL) remained relatively preserved, suggesting oxidative stress burden with partially maintained compensatory antioxidant defenses (Table 2). Psychosocial scores showed significant symptom burden: HADS-anxiety 11.2 ± 3.8, HADS-depression 9.5 ± 3.4, PSQI 9.8 ± 3.6, FACIT-F 28.4 ± 8.2, PCS 21.3 ± 7.9, and SF-36 52.7 ± 12.6. These scores indicate clinically relevant anxiety, depressive symptoms, sleep disturbance, fatigue, and reduced quality of life. Functional impairment was also evident (HAQ 1.9 ± 0.5, DAS28 4.9 ± 1.2, PGA 61.4 ± 15.8), consistent with active disease and significant patient-perceived disease burden (Table 2). Collectively, these findings indicate that the cohort presented with concurrent inflammatory activity, immune dysregulation, pain sensitization, and psychosocial distress at baseline.\nPatients were categorized into inflammatory pain (38.7%), non-inflammatory pain (29.6%), and mixed pain (31.7%) groups, demonstrating substantial heterogeneity in pain mechanisms within the RA population (Table 3). VAS scores were highest in the non-inflammatory group (7.8 ± 1.6), followed by mixed (7.3 ± 1.5) and inflammatory (6.5 ± 1.7) groups, indicating that higher pain intensity was not exclusively associated with inflammatory burden. Inflammatory biomarkers were most elevated in the inflammatory phenotype (CRP 22.3 ± 7.4 mg/L, ESR 43.7 ± 15.8 mm/h, IL-6 38.2 ± 9.5 pg/mL, IL-17A 25.1 ± 7.6 pg/mL), reflecting inflammation-driven nociceptive pain mechanisms. In contrast, the non-inflammatory group exhibited lower inflammatory markers but worse psychosocial outcomes, suggesting pain predominantly mediated by central sensitization and psychological factors rather than peripheral inflammation (Table 3).\nPain phenotypes and contributing factors.\nSpecifically, non-inflammatory patients reported the highest HADS-anxiety (15.6 ± 4.1) and HADS-depression (14.1 ± 3.8) scores, along with poorer sleep quality (PSQI 13.4 ± 3.9) and greater catastrophizing (PCS 32.5 ± 9.1), indicating pronounced emotional and cognitive contributors to pain perception. The mixed phenotype demonstrated intermediate biomarker and psychosocial profiles, consistent with overlapping inflammatory and non-inflammatory pain mechanisms. Oxidative stress was most prominent in inflammatory pain (MDA 6.1 ± 2.1 nmol/mL), while antioxidant activity (SOD, GSH-Px) was relatively higher in non-inflammatory pain, suggesting differential metabolic and oxidative contributions across pain phenotypes (Table 3).\nChanges following phenotype-specific interventions are shown in Table 4. In patients with inflammatory pain, inflammatory markers showed the greatest reductions, with CRP decreasing by −12.5 ± 4.3 mg/L and ESR by −19.6 ± 6.8 mm/h, indicating effective suppression of systemic inflammation. Neuropeptides decreased significantly, with Substance P and CGRP reductions observed across groups, indicating alleviation of pain sensitization pathways. Endocrine markers (cortisol and ACTH) increased modestly post-intervention, suggesting partial normalization of HPA axis function (Table 4).\nOutcomes of different intervention strategies on changes in different parameters.\n*indicates a statistically significant within-group change (p < 0.05). –, parameters that were not applicable or not targeted for intervention within that specific phenotype. Only outcomes relevant to phenotype-specific interventions were analyzed.\nOxidative stress improved across all groups, with reductions in MDA and increases in antioxidant enzymes, indicating improved redox balance following intervention. Psychosocial improvements were substantial, with significant reductions in anxiety, depression, sleep disturbance, fatigue, and catastrophizing, alongside improved quality of life, demonstrating broad benefits extending beyond inflammatory control (P < 0.05).\nPatient-reported outcomes are summarized in Table 5. Functional status improved significantly, with HAQ scores decreasing by −0.5 to −0.7 points, representing clinically meaningful improvements in daily functioning (P < 0.05). Disease activity (DAS28) declined most markedly in inflammatory pain, consistent with inflammation-targeted therapeutic effects, while mixed and non-inflammatory groups also showed significant improvements (Table 5).\nPatient-reported outcomes of different intervention strategies.\n*P < 0.05 vs. baseline.\nQuality of life improved across all phenotypes, with SF-36 increases of approximately 10 points, reflecting broad physical and mental health benefits. Patient satisfaction increased, particularly in the inflammatory group, indicating favorable patient-perceived effectiveness of phenotype-based management.\nComprehensive regression analyses revealed that both inflammatory and psychosocial variables significantly contributed to pain severity and phenotype differentiation in patients with RA. Among inflammatory biomarkers, CRP, ESR, IL-6, and TNF-α levels were independently associated with the inflammatory-pain phenotype, indicating their utility as biological indicators of inflammation-driven pain (β = 0.28–0.36, P < 0.01). Anxiety (HADS-A) and depression (HADS-D) scores were significant predictors of pain persistence (β = 0.31 and 0.29, respectively; both P < 0.001), and poor sleep quality (PSQI > 8) showed a moderate correlation with higher VAS scores (r = 0.42, P < 0.001), highlighting psychosocial dysregulation as a major contributor to sustained pain burden. Nevertheless, social support (SSRS) demonstrated a protective effect (β = −0.25, P = 0.004), suggesting a mitigating role against pain severity. When all variables were entered into a multivariate model, biomarkers accounted for 42.5% and psychosocial factors for 37.8% of total variance in pain outcomes (adjusted R2 = 0.68). These findings indicate that both biological inflammation and psychological dysregulation independently contribute to the pain burden, reinforcing the need for integrated, precision-health nursing interventions targeting multidimensional mechanisms of pain.\nFigure 2 illustrates changes in IL-6, IL-17A, TNF-α, and IL-10 across the three pain phenotypes after intervention. Significant reductions were observed in IL-6 and IL-17A in the inflammatory and mixed pain groups (P < 0.05), indicating phenotype-specific responsiveness of inflammatory pathways. In contrast, TNF-α reductions did not reach statistical significance after the between-group comparisons, suggesting a limited role for TNF-α modulation across phenotypes. IL-10, a cytokine associated with immune regulation, significantly increased in all three pain phenotypes (P < 0.05), with the largest increase observed in the non-inflammatory pain phenotype, reflecting an adaptive immune response.\nChanges in IL-6, IL-17A, TNF-α, and IL-10 across the three pain phenotypes after intervention (mean ± SD). *P < 0.05 vs. baseline.\nIn the non-inflammatory pain phenotype, interventions were focused primarily on psychosocial and neuromuscular mechanisms. As a result, cytokines such as IL-6 and IL-17A were not targeted for modulation and therefore were not analyzed for this phenotype (Figure 2). These findings reinforce that cytokine modulation is more relevant in the inflammatory and mixed phenotypes, while psychosocial mechanisms dominate in non-inflammatory pain.\nTo further elucidate the interrelationships between biological and psychosocial mechanisms of pain, SEM was performed. The hypothesized model incorporated four latent constructs: inflammatory activity (CRP, ESR, IL-6, TNF-α, Th17/Treg ratio), psychosocial distress (HADS-A, HADS-D, PSQI, PCS), central sensitization (Substance P, CGRP), and patient-reported outcomes (VAS, HAQ, SF-36). The model demonstrated acceptable goodness-of-fit (χ2/df = 2.14, RMSEA = 0.053, CFI = 0.94, TLI = 0.92), indicating that the proposed mechanistic structure adequately represented the observed data.\nAs shown in Table 6, inflammatory activity exerted a significant direct positive effect on central sensitization (β = 0.43, p < 0.001), suggesting that higher systemic inflammation was associated with greater activation of pain amplification pathways. Inflammatory activity also showed an indirect effect on patient-reported outcomes mediated through psychosocial distress (β = 0.22, p = 0.002), indicating that inflammation influenced pain severity and functional impairment partly by increasing emotional and cognitive burden.\nStandardized path coefficients in the structural equation model.\nPsychosocial distress had a strong direct negative impact on patient-reported outcomes (β = −0.51, p < 0.001), demonstrating that anxiety, depression, sleep disturbance, and catastrophizing were major determinants of worse pain perception and functional limitation, independent of inflammatory status. Central sensitization contributed additional explanatory value to patient-reported outcomes, supporting its role as an intermediate mechanism linking biological inflammation and subjective pain experience.\nThe indirect pathway from inflammatory activity to patient-reported outcomes via psychosocial distress accounted for approximately 18% of the total variance in pain scores, highlighting the importance of non-inflammatory pathways in amplifying pain burden. Overall, the final SEM accounted for 72% of the variance in patient-reported outcomes, providing quantitative evidence that RA pain is driven by an integrated network of inflammatory, neurobiological, and psychosocial mechanisms rather than by a single dominant pathway.\n\n\n### Baseline clinical, immunological, and psychosocial characteristics of the cohort\nA total of 287 patients with rheumatoid arthritis (RA) were included in the study. Baseline characteristics are summarized in Table 2. The mean CRP was 16.4 ± 8.9 mg/L, and ESR was 36.5 ± 14.3 mm/h, indicating moderate to high systemic inflammatory activity at baseline. A majority of patients were RF-positive (72.4%) and anti-CCP-positive (68.3%), reflecting a predominantly seropositive RA population with established autoimmune features. Among cytokines, IL-6 levels averaged 32.6 ± 11.2 pg/mL, TNF-α 24.7 ± 9.6 pg/mL, IL-2 18.9 ± 7.3 pg/mL, IL-17A 21.4 ± 8.6 pg/mL, while IL-10 averaged 9.8 ± 3.5 pg/mL. This cytokine profile is characterized by elevated pro-inflammatory mediators alongside relatively lower anti-inflammatory IL-10, suggesting a pro-inflammatory immune milieu. The mean Th17/Treg ratio was 2.5 ± 0.9, indicating a shift toward pro-inflammatory Th17 dominance and immune regulatory imbalance that is associated with persistent inflammation, heightened pain sensitivity, and reduced resolution capacity, consistent with RA immunopathology (Table 2).\nBaseline information for all patients (n = 287).\nNeuropeptides and endocrine markers showed moderate elevations, with Substance P averaging 185 ± 56 pg/mL, and CGRP averaging 142 ± 48 pg/mL, suggesting enhanced nociceptive signaling and involvement of central pain amplification mechanisms. Cortisol (11.8 ± 4.2 μg/dL) and ACTH (32.5 ± 11.4 pg/mL) levels were within mid-range values, indicating partial activation but not exhaustion of the hypothalamic–pituitary–adrenal axis. Oxidative stress markers revealed increased lipid peroxidation (MDA 5.2 ± 1.8 nmol/mL), while antioxidant capacity (SOD 108 ± 24 U/mL, GSH-Px 320 ± 65 U/mL) remained relatively preserved, suggesting oxidative stress burden with partially maintained compensatory antioxidant defenses (Table 2). Psychosocial scores showed significant symptom burden: HADS-anxiety 11.2 ± 3.8, HADS-depression 9.5 ± 3.4, PSQI 9.8 ± 3.6, FACIT-F 28.4 ± 8.2, PCS 21.3 ± 7.9, and SF-36 52.7 ± 12.6. These scores indicate clinically relevant anxiety, depressive symptoms, sleep disturbance, fatigue, and reduced quality of life. Functional impairment was also evident (HAQ 1.9 ± 0.5, DAS28 4.9 ± 1.2, PGA 61.4 ± 15.8), consistent with active disease and significant patient-perceived disease burden (Table 2). Collectively, these findings indicate that the cohort presented with concurrent inflammatory activity, immune dysregulation, pain sensitization, and psychosocial distress at baseline.\n\n\n### Distribution of pain phenotypes and their distinct biological and psychosocial profiles\nPatients were categorized into inflammatory pain (38.7%), non-inflammatory pain (29.6%), and mixed pain (31.7%) groups, demonstrating substantial heterogeneity in pain mechanisms within the RA population (Table 3). VAS scores were highest in the non-inflammatory group (7.8 ± 1.6), followed by mixed (7.3 ± 1.5) and inflammatory (6.5 ± 1.7) groups, indicating that higher pain intensity was not exclusively associated with inflammatory burden. Inflammatory biomarkers were most elevated in the inflammatory phenotype (CRP 22.3 ± 7.4 mg/L, ESR 43.7 ± 15.8 mm/h, IL-6 38.2 ± 9.5 pg/mL, IL-17A 25.1 ± 7.6 pg/mL), reflecting inflammation-driven nociceptive pain mechanisms. In contrast, the non-inflammatory group exhibited lower inflammatory markers but worse psychosocial outcomes, suggesting pain predominantly mediated by central sensitization and psychological factors rather than peripheral inflammation (Table 3).\nPain phenotypes and contributing factors.\nSpecifically, non-inflammatory patients reported the highest HADS-anxiety (15.6 ± 4.1) and HADS-depression (14.1 ± 3.8) scores, along with poorer sleep quality (PSQI 13.4 ± 3.9) and greater catastrophizing (PCS 32.5 ± 9.1), indicating pronounced emotional and cognitive contributors to pain perception. The mixed phenotype demonstrated intermediate biomarker and psychosocial profiles, consistent with overlapping inflammatory and non-inflammatory pain mechanisms. Oxidative stress was most prominent in inflammatory pain (MDA 6.1 ± 2.1 nmol/mL), while antioxidant activity (SOD, GSH-Px) was relatively higher in non-inflammatory pain, suggesting differential metabolic and oxidative contributions across pain phenotypes (Table 3).\n\n\n### Phenotype-specific treatment responses\nChanges following phenotype-specific interventions are shown in Table 4. In patients with inflammatory pain, inflammatory markers showed the greatest reductions, with CRP decreasing by −12.5 ± 4.3 mg/L and ESR by −19.6 ± 6.8 mm/h, indicating effective suppression of systemic inflammation. Neuropeptides decreased significantly, with Substance P and CGRP reductions observed across groups, indicating alleviation of pain sensitization pathways. Endocrine markers (cortisol and ACTH) increased modestly post-intervention, suggesting partial normalization of HPA axis function (Table 4).\nOutcomes of different intervention strategies on changes in different parameters.\n*indicates a statistically significant within-group change (p < 0.05). –, parameters that were not applicable or not targeted for intervention within that specific phenotype. Only outcomes relevant to phenotype-specific interventions were analyzed.\nOxidative stress improved across all groups, with reductions in MDA and increases in antioxidant enzymes, indicating improved redox balance following intervention. Psychosocial improvements were substantial, with significant reductions in anxiety, depression, sleep disturbance, fatigue, and catastrophizing, alongside improved quality of life, demonstrating broad benefits extending beyond inflammatory control (P < 0.05).\n\n\n### Patient-reported outcomes demonstrate significant functional gains and satisfaction\nPatient-reported outcomes are summarized in Table 5. Functional status improved significantly, with HAQ scores decreasing by −0.5 to −0.7 points, representing clinically meaningful improvements in daily functioning (P < 0.05). Disease activity (DAS28) declined most markedly in inflammatory pain, consistent with inflammation-targeted therapeutic effects, while mixed and non-inflammatory groups also showed significant improvements (Table 5).\nPatient-reported outcomes of different intervention strategies.\n*P < 0.05 vs. baseline.\nQuality of life improved across all phenotypes, with SF-36 increases of approximately 10 points, reflecting broad physical and mental health benefits. Patient satisfaction increased, particularly in the inflammatory group, indicating favorable patient-perceived effectiveness of phenotype-based management.\n\n\n### Predictive value of biomarkers and psychosocial factors for pain phenotypes\nComprehensive regression analyses revealed that both inflammatory and psychosocial variables significantly contributed to pain severity and phenotype differentiation in patients with RA. Among inflammatory biomarkers, CRP, ESR, IL-6, and TNF-α levels were independently associated with the inflammatory-pain phenotype, indicating their utility as biological indicators of inflammation-driven pain (β = 0.28–0.36, P < 0.01). Anxiety (HADS-A) and depression (HADS-D) scores were significant predictors of pain persistence (β = 0.31 and 0.29, respectively; both P < 0.001), and poor sleep quality (PSQI > 8) showed a moderate correlation with higher VAS scores (r = 0.42, P < 0.001), highlighting psychosocial dysregulation as a major contributor to sustained pain burden. Nevertheless, social support (SSRS) demonstrated a protective effect (β = −0.25, P = 0.004), suggesting a mitigating role against pain severity. When all variables were entered into a multivariate model, biomarkers accounted for 42.5% and psychosocial factors for 37.8% of total variance in pain outcomes (adjusted R2 = 0.68). These findings indicate that both biological inflammation and psychological dysregulation independently contribute to the pain burden, reinforcing the need for integrated, precision-health nursing interventions targeting multidimensional mechanisms of pain.\n\n\n### Cytokine modulation differs across pain phenotypes after intervention\nFigure 2 illustrates changes in IL-6, IL-17A, TNF-α, and IL-10 across the three pain phenotypes after intervention. Significant reductions were observed in IL-6 and IL-17A in the inflammatory and mixed pain groups (P < 0.05), indicating phenotype-specific responsiveness of inflammatory pathways. In contrast, TNF-α reductions did not reach statistical significance after the between-group comparisons, suggesting a limited role for TNF-α modulation across phenotypes. IL-10, a cytokine associated with immune regulation, significantly increased in all three pain phenotypes (P < 0.05), with the largest increase observed in the non-inflammatory pain phenotype, reflecting an adaptive immune response.\nChanges in IL-6, IL-17A, TNF-α, and IL-10 across the three pain phenotypes after intervention (mean ± SD). *P < 0.05 vs. baseline.\nIn the non-inflammatory pain phenotype, interventions were focused primarily on psychosocial and neuromuscular mechanisms. As a result, cytokines such as IL-6 and IL-17A were not targeted for modulation and therefore were not analyzed for this phenotype (Figure 2). These findings reinforce that cytokine modulation is more relevant in the inflammatory and mixed phenotypes, while psychosocial mechanisms dominate in non-inflammatory pain.\n\n\n### Structural equation modeling (SEM) of mechanistic pathways\nTo further elucidate the interrelationships between biological and psychosocial mechanisms of pain, SEM was performed. The hypothesized model incorporated four latent constructs: inflammatory activity (CRP, ESR, IL-6, TNF-α, Th17/Treg ratio), psychosocial distress (HADS-A, HADS-D, PSQI, PCS), central sensitization (Substance P, CGRP), and patient-reported outcomes (VAS, HAQ, SF-36). The model demonstrated acceptable goodness-of-fit (χ2/df = 2.14, RMSEA = 0.053, CFI = 0.94, TLI = 0.92), indicating that the proposed mechanistic structure adequately represented the observed data.\nAs shown in Table 6, inflammatory activity exerted a significant direct positive effect on central sensitization (β = 0.43, p < 0.001), suggesting that higher systemic inflammation was associated with greater activation of pain amplification pathways. Inflammatory activity also showed an indirect effect on patient-reported outcomes mediated through psychosocial distress (β = 0.22, p = 0.002), indicating that inflammation influenced pain severity and functional impairment partly by increasing emotional and cognitive burden.\nStandardized path coefficients in the structural equation model.\nPsychosocial distress had a strong direct negative impact on patient-reported outcomes (β = −0.51, p < 0.001), demonstrating that anxiety, depression, sleep disturbance, and catastrophizing were major determinants of worse pain perception and functional limitation, independent of inflammatory status. Central sensitization contributed additional explanatory value to patient-reported outcomes, supporting its role as an intermediate mechanism linking biological inflammation and subjective pain experience.\nThe indirect pathway from inflammatory activity to patient-reported outcomes via psychosocial distress accounted for approximately 18% of the total variance in pain scores, highlighting the importance of non-inflammatory pathways in amplifying pain burden. Overall, the final SEM accounted for 72% of the variance in patient-reported outcomes, providing quantitative evidence that RA pain is driven by an integrated network of inflammatory, neurobiological, and psychosocial mechanisms rather than by a single dominant pathway.\n\n\n### Discussion\nThe present study demonstrates that rheumatoid arthritis (RA) pain arises from the interaction of inflammatory activity, psychosocial distress, and central sensitization, and that these mechanisms can be effectively integrated within the Nursing Science Precision Health (NSPH) framework (12). By combining clinical indicators, biomarker profiles, and psychosocial assessments, our findings indicate that pain is not solely driven by inflammation but is substantially shaped by emotional and behavioral factors. Structural equation modeling (SEM) further supports this multidimensional mechanism, showing that inflammatory activity influences pain both directly and indirectly through psychosocial distress and neuropeptide-mediated sensitization. The strong effect of psychosocial distress on patient-reported outcomes suggests that psychological regulation is mechanistically involved in pain perception and functional limitation, rather than serving only a supportive role.\nA major contribution of this study is the application of pain phenotyping to guide targeted interventions. Patients categorized into inflammatory, non-inflammatory, and mixed phenotypes exhibited distinct biological and psychosocial characteristics, which translated into different treatment responses. In the inflammatory phenotype, reductions in CRP, ESR, and pro-inflammatory cytokines following pharmacological therapy confirm that inflammation remains a key driver of nociceptive pain, consistent with prior studies on DMARDs and biologics (26, 27). These findings reinforce the importance of early and adequate inflammatory control to reduce pain and prevent disease progression (28). Notably, decreases in IL-6, IL-17A, and TNF-α, together with increased IL-10 and improved Th17/Treg balance, suggest that phenotype-based interventions may restore immune homeostasis beyond conventional inflammatory markers (29), which highlights the value of incorporating broader immunological indicators into clinical monitoring.\nImportantly, this study also emphasizes the clinical relevance of non-inflammatory pain, which is frequently under-recognized in RA management (15, 30). Patients in this subgroup showed higher levels of anxiety, depression, and sleep disturbance despite lower inflammatory activity, indicating that central sensitization and psychosocial factors are dominant drivers of pain. Improvements in fatigue, catastrophizing, and quality of life following psychosocial interventions further support the effectiveness of targeting these pathways. These findings are consistent with previous evidence linking psychological distress and maladaptive coping to increased pain perception (31). Clinically, this underscores the need to complement pharmacological treatment with structured psychological and behavioral interventions, particularly for patients with persistent pain despite controlled inflammation.\nThe inclusion of biomarker analysis provides additional mechanistic insight. Reductions in IL-6 and TNF-α following intervention suggest that these cytokines contribute to pain sensitization beyond their role in inflammation, including in mixed or non-inflammatory phenotypes (32). Concurrent increases in IL-10 and improvements in oxidative stress markers (MDA, SOD, GSH-Px) indicate a shift toward anti-inflammatory and antioxidative states. Decreases in Substance P and CGRP support reduced central sensitization, while normalization of cortisol and ACTH suggests partial recovery of neuroendocrine function (33). Together, these findings highlight that effective pain management requires coordinated modulation of immune, neural, and endocrine pathways. The observed reduction in anti-CCP antibodies also suggests that phenotype-based interventions may influence autoimmune activity (34, 35), although this requires confirmation in longitudinal studies. Another important implication is the potential of pain phenotyping to predict treatment response. Inflammatory markers such as CRP and ESR were associated with improvement in the inflammatory phenotype, whereas psychosocial variables were more predictive in the non-inflammatory group (36). Additionally, ROC analysis identified IL-6 and FACIT-F as useful predictors of severe pain, indicating that combining biological and psychosocial indicators improves patient stratification. This multidimensional approach may help clinicians identify patients at risk of persistent pain and guide more targeted interventions.\nFrom a practical standpoint, the NSPH model offers a structured approach to implementing these findings in real-world settings. The model’s emphasis on accurate symptom measurement, phenotypic analysis, and biomarker discovery aligns with the growing trend toward personalized medicine (12). For healthcare providers, adopting this framework could facilitate more precise and effective care delivery, reducing trial-and-error approaches and enhancing patient satisfaction. For policymakers, the study provides a rationale for expanding support for multidisciplinary pain management programs, including access to psychological counseling, dietary interventions, and complementary therapies like acupuncture. The findings also have implications for health education and patient empowerment. Many RA patients, particularly those with non-inflammatory pain, may not fully understand the multifactorial nature of their symptoms or the potential benefits of non-pharmacological therapies. Incorporating pain phenotyping into patient education programs could improve awareness and engagement, helping patients make informed decisions about their care. For instance, patients with non-inflammatory pain may benefit from targeted education about the role of stress management and sleep hygiene in pain modulation. Similarly, providing dietary counseling tailored to individual phenotypes could encourage adherence to anti-inflammatory diets, further enhancing outcomes.\nOperationalizing the NSPH model in RA care enables nurses to translate multidimensional assessment data into individualized pain management strategies. Within this model, nurses play a pivotal role across four domains: (1) precise symptom measurement, employing integrated pain, psychological, and sleep assessment tools (VAS, GPS, HADS, PSQI) to capture the multifaceted nature of pain; (2) phenotype-based assessment, synthesizing laboratory biomarkers (CRP, ESR, IL-6, TNF-α, Th17/Treg ratio) with psychosocial indicators to differentiate inflammatory, non-inflammatory, and mixed pain patterns; (3) personalized intervention planning, including medication adherence guidance, cognitive-behavioral and mindfulness-based therapies, and lifestyle optimization focusing on sleep and nutrition; and (4) continuous outcome monitoring, where nursing teams integrate longitudinal pain and quality-of-life data to refine interventions in real time. Such integration transforms nursing practice from a supportive to a decision-making role within interdisciplinary RA management, allowing nurses to bridge biological, behavioral, and environmental dimensions of chronic pain. Consistent with previous findings (12–14), precision nursing facilitates early symptom detection, psychosocial support, and adaptive care planning. By operationalizing these processes, nurses can contribute to data-driven, phenotype-specific pain management, thereby enhancing both patient outcomes and professional autonomy in rheumatology care settings.\nNevertheless, the current study has several limitations. First, its retrospective design limits the ability to establish causal relationships between pain phenotypes, biomarkers, and psychosocial factors. Longitudinal or interventional studies are needed to verify the dynamic interaction among inflammatory and non-inflammatory mechanisms of pain in rheumatoid arthritis (RA). Second, all participants were recruited from a single regional cohort, which may restrict the generalizability of findings to broader RA populations with diverse demographic or clinical profiles. Third, biomarker assessment focused primarily on cytokine and immune parameters. Future studies could incorporate multi-omics analyses, including metabolomic and neuroimaging indicators, to more comprehensively characterize pain phenotypes. Finally, although this study applied the NSPH model conceptually, practical implementation in routine nursing workflows requires further multicenter validation and development of digital assessment tools to enhance precision and scalability. Further comprehensive work should aim to expand these findings through longitudinal, technology-supported nursing interventions to optimize individualized pain management.\nIn conclusion, our study underscores the potential of the NSPH model in transforming pain management for RA. By tailoring interventions to individual pain phenotypes and addressing both inflammatory and non-inflammatory mechanisms, this approach offers a pathway to more effective, personalized care. Beyond RA, the findings highlight the broader applicability of precision health principles, providing a foundation for advancing pain management across a range of chronic conditions. Future efforts should focus on optimizing the implementation of this model, ensuring its scalability and sustainability in diverse healthcare settings.", "domain": "affective_neuroscience"}
{"source": "PMC13079623", "title": "Epigenetic changes associated with multi-generational trauma: characterization, mechanisms, and therapeutics", "text": "# Epigenetic changes associated with multi-generational trauma: characterization, mechanisms, and therapeutics\n\n## Abstract\nTrauma can contribute to lasting psychological, behavioral, and physiological effects that extend across generations. Intergenerational trauma refers to trauma-related effects observed in children of exposed parents, while transgenerational trauma describes effects observed in later generations without direct exposure. Proposed mechanisms involve interacting biological and psychosocial processes, including stress-responsive regulatory systems, epigenetic variation, and caregiving environments. This review synthesizes evidence on epigenetic changes associated with acute, chronic, and complex traumatic exposures and their relevance to multi-generational outcomes. Studies published between 1990 and 2025 were identified through PubMed and Google Scholar and evaluated for reported epigenetic findings, caregiving patterns, and offspring health outcomes. Across trauma contexts, reported epigenetic variation most consistently involves pathways related to stress-response regulation, immune-inflammatory signaling, neurodevelopment, metabolic processes, and developmental programming. Patterns across exposure types suggest that acute events are most often associated with stress-related and inflammatory signaling that may influence developmental programming, whereas chronic and complex trauma reflect cumulative physiological adaptation involving broader alterations in stress-regulatory, metabolic, and neurodevelopmental systems. Offspring outcomes most consistently include increased vulnerability to anxiety, depressive symptoms, stress-related disorders, and certain chronic medical conditions, often described alongside shifts in caregiving behaviors and psychosocial environments that may shape developmental vulnerability. Interpretation of the current literature is limited by small sample sizes, varying definitions of trauma, and limited multi-generational cohorts. Overall, current evidence supports a model in which trauma-related outcomes across generations reflect interacting biological and caregiving processes, highlighting the importance of integrated molecular and psychosocial frameworks for prevention and intervention.\n\n## Full Text\n\n\n### Introduction\nTrauma can exert lasting psychological and biological effects that extend beyond directly exposed individuals and may persist across subsequent generations. Intergenerational trauma refers to trauma-related effects observed in children of exposed parents despite no direct exposure to the original event (1). Transgenerational trauma describes trauma-related effects observed in later generations that occur in the absence of direct trauma exposure in both the affected individual and their parents (2). Traumatic exposures can be broadly categorized as physical and psychological stressors, and may present as acute, chronic, or complex forms depending on the nature and duration of the exposure. Acute traumatic events involve a single overwhelming experience, chronic trauma reflects prolonged or repeated exposure, and complex trauma combines features of both, often occurring at a population level (3).\nEmerging evidence suggests that these diverse forms of trauma may influence biological and psychological functioning through regulatory systems that respond to stress and environmental challenges. Epigenetic mechanisms, which modify gene expression without altering the underlying DNA sequence, have been increasingly studied as potential contributors to multi-generational patterns of vulnerability (2, 4). DNA methylation has been most frequently examined, particularly within stress-response genes of the hypothalamic-pituitary-adrenal (HPA) axis (2). In addition, histone modifications and regulation by noncoding RNAs, including microRNAs (miRNAs), transfer RNA-derived small RNAs (tsRNAs), and long noncoding RNAs (lncRNAs), have been implicated in trauma-associated gene expression differences (5, 6). Trauma-related variation has also been described in pathways relevant to neurodevelopment, immune-inflammatory signaling, circadian regulation, metabolism, and memory formation (7–9).\nDevelopmental timing appears to play an important role in shaping outcomes, as exposures occurring in utero or during early childhood, periods characterized by heightened biological plasticity, have been associated with more pronounced neurocognitive and psychological effects (7, 10, 11). Alterations across stress-regulatory, neurodevelopmental, immune, and metabolic systems have been linked to increased vulnerability to post-traumatic stress disorder (PTSD), depression, anxiety, suicide, and chronic medical conditions, including metabolic syndrome and immune dysregulation (12).\nA range of biological samples and analytic approaches have been used to investigate trauma-associated epigenetic variation across generations. Blood, saliva, and urine are most commonly used in human studies given their feasibility and accessibility (6). Sequencing-based approaches remain the gold standard for DNA methylation profiling, evolving from reduced representation bisulfite sequencing (RRBS) to enzymatic methyl-seq and newer TET-assisted methods (13, 14). Third-generation long-read sequencing technologies provide opportunities for direct detection of methylation and improved resolution of complex genomic regions (13). Methods for profiling RNA modifications are less established but continue to develop, with approaches such as m6A sequencing, pseudouridine sequencing, and specialized techniques including PANDORA-seq and cP-RNA-seq expanding the capacity to characterize small noncoding RNAs (14–16).\nPsychosocial and caregiving environments may further shape how trauma-related biological differences are expressed across generations. Dysfunctional parenting styles encompass patterns such as overprotection, abuse, indifference, inconsistent discipline, and emotional withdrawal (17, 18). Parents with trauma histories may demonstrate disrupted caregiving behaviors, which have been associated with adverse psychological and physiological development in offspring (18). Interventions including psychological support and family-based educational programs have shown promise in mitigating intergenerational effects (19). However, the extent to which such interventions influence underlying epigenetic regulation remains incompletely understood.\nThis review synthesizes evidence on epigenetic changes associated with acute, chronic, and complex traumatic events, highlighting implicated molecular mechanisms and examining their relevance to multi-generational outcomes. By integrating biological and psychosocial perspectives, this work seeks to clarify emerging patterns of trauma-associated biological embedding and identify potential avenues for prevention and intervention (Figure 1).\nBiological and parenting pathways underlying multi-generational trauma. Acute, chronic, and complex forms of trauma influence biological and psychosocial transmission pathways across generations. Each trauma type is associated with alterations in the HPA axis, immune, neurodevelopmental, metabolic, and cellular regulation, as well as disruptions in parenting behavior. Supportive caregiving, emotional availability, and social resilience can mitigate the transmission of trauma-related risk.\n\n\n### Acute trauma\nAcross different forms of acute trauma, brief but severe stress appears to be associated with lasting biological and physiological changes. Evidence from multiple trauma models points to shared involvement of stress-response signaling, immune-inflammatory activity, and neurodevelopmental processes (10, 11, 20–53). When exposures occur during pregnancy, maternal physiological and psychological responses may influence the intrauterine environment, with potential implications for fetal developmental programming. The timing of exposure, overall stress burden, and maternal perception of the event appear to shape the development of these biological responses. In addition to biological pathways, post-trauma caregiving environments may modify how stress-related vulnerability is expressed.\nNatural disasters provide a well-studied model for understanding how acute environmental stress may become biologically embedded across generations. Findings across these settings implicate interacting biological systems, particularly neurodevelopmental pathways, immune and metabolic regulation, and stress-response signaling (10, 11, 20–28). Prenatal timing appears especially influential, while exposure severity and maternal psychological response further modify downstream biological effects.\nDeveloping neural systems appear particularly sensitive to prenatal disaster exposure. Early-life environmental stress has been associated with differences in brain maturation and cognitive development during critical developmental windows. Maternal stress during the Quebec ice storm was linked to variation in brain structure and cognitive performance, particularly in regions involved in emotional regulation and executive functioning (11). Greater exposure severity was associated with lower childhood IQ and language performance (20). At the molecular level, prenatal exposure has been linked to DNA methylation differences in genes related to neuroendocrine signaling, including SCG5 (21). Similar developmental sensitivity has been reported in earthquake cohorts, where early gestational exposure was associated with poorer working memory in adulthood (10). The magnitude of these effects appears to reflect interaction between objective exposure severity and maternal subjective perception, suggesting coordinated influence of physiological and environmental signaling (22).\nBeyond neural outcomes, prenatal disaster exposure has been linked to immune and metabolic regulatory changes. Drought-related prenatal stress has been associated with differential DNA methylation in genes involved in metabolic, immune, and stress-regulatory pathways (23). These patterns correspond with reduced early growth, consistent with altered metabolic and endocrine signaling during development (23). Prenatal disaster exposure has been associated with accelerated epigenetic aging and shorter methylation-based telomeres, markers linked to increased chronic disease risk and immune decline (24). Additional findings from the Quebec ice storm cohort demonstrate methylation differences of immune-related genes such as LTA, supporting involvement of inflammatory regulation (21).\nStress-response regulation represents another pathway influenced by prenatal disaster exposure. Gestational exposure to the Tangshan earthquake was associated with increased methylation of NR3C1, a key regulator of glucocorticoid signaling (10). Individuals exposed prenatally, particularly early in gestation, showed higher rates of depressive symptoms compared with those exposed postnatally or not at all (25).\nPsychosocial and caregiving environments further influence developmental expression. Increased parental stress has been associated with reduced caregiving consistency, emotional availability, and responsiveness (26, 27). These caregiving differences correspond with increased emotional and behavioral difficulties in children (26, 27). More supportive and structured caregiving appears protective, whereas inconsistent or disrupted caregiving is associated with greater behavioral challenges (27). Variation in caregiving has also been linked to differences in neural processing within reward and threat-related systems (28).\nNatural disaster models suggest that acute gestational stress involves coordinated changes across neurodevelopmental, immune-metabolic, and stress-regulatory systems. Variation in maternal psychological response and post-disaster caregiving further influences how these biological alterations translate into developmental outcomes.\nAcute physical trauma represents a physiological stressor capable of initiating systemic biological responses extending beyond the injured individual. Across injury contexts, research demonstrates coordinated activation of immune-inflammatory signaling, neuroendocrine regulation, and epigenetic changes (29–34). When injury occurs during pregnancy, these systemic responses may influence the intrauterine environment through maternal physiological adaptation. Pregnancy itself is a biologically dynamic state, and emerging evidence suggests stress-related signaling during this period may affect both maternal and fetal processes (35).\nSevere injury has been associated with widespread epigenetic alterations, particularly in inflammatory pathways. Persistent methylation differences have been observed in regulatory regions involved in inflammation and coagulation (29). Similar epigenetic changes have been reported following traumatic brain injury, including alterations in DNA methylation, histone regulation, and mitochondrial signaling, processes involved in inflammation, neuroplasticity, and recovery (30). Comparable inflammatory interactions have also been described following spinal cord injury (31). Although direct evidence linking maternal injury to fetal epigenetic outcomes remains limited, systemic immune and hormonal responses following trauma provide a possible biological pathway through which maternal physiological disruption may alter intrauterine developmental signaling.\nPsychosocial factors also contribute to developmental trajectories. Neurological injury and chronic pain have been associated with reduced emotional availability, lower parental engagement, and inconsistent caregiving, patterns linked to increased emotional and behavioral difficulties in children (32, 33). In contrast, contexts characterized by strong social support and adaptive coping demonstrate more stable caregiving and developmental outcomes, comparable to those of non-injured households (34).\nTraumatic injury models suggest that acute physiological trauma is associated with coordinated immune-inflammatory, neuroendocrine, and epigenetic changes. Although direct fetal evidence remains limited, systemic inflammatory and hormonal responses following maternal injury provide a possible pathway through which intrauterine signaling may be altered. Differences in caregiving stability and social support further modify developmental outcomes.\nTerrorist attacks represent acute psychological stressors associated with biological and emotional effects. Findings across terrorism-related exposures implicate stress-response regulation, immune signaling, and neurodevelopmental pathways (36–43). When exposure occurs during pregnancy, maternal stress physiology may influence fetal development through hormonal and epigenetic mechanisms.\nAlterations in stress-response regulation appear central in terrorism-related models. Following the September 11 attacks, infants born to mothers with PTSD who were directly exposed to the World Trade Center demonstrated lower baseline salivary cortisol levels, particularly with third-trimester exposure (36). Maternal cortisol levels were associated with infant behavioral responses to novelty (37). Reduced expression of FKBP5, a regulator of glucocorticoid signaling, has also been reported following prenatal psychological stress (38).\nImmune and neurodevelopmental pathways may also be involved in responses to terrorism-related stress. PTSD following terrorism exposure has also been associated with altered expression of immune-regulatory genes such as STAT5B, supporting interaction between psychological stress and cytokine signaling pathways (39). Altered expression of genes involved in neural development and emotional regulation, including NFIA, has also been reported (39). At the population level, prenatal terrorism exposure has been associated with increased schizophrenia risk and lower birth weight, further suggesting sensitivity of fetal neurodevelopment and growth to maternal stress physiology (40, 41).\nCaregiving context further influences how biological responses translate into developmental outcomes. Maternal PTSD and depression have been associated with increased emotional and behavioral vulnerability in children, including emotional reactivity and aggression (42). In contrast, warm and responsive caregiving environments correspond with fewer psychological symptoms, whereas less responsive parenting is linked to worse behavioral outcomes (43).\nTerrorism-related models suggest that acute psychological stress may involve coordinated alterations in stress-response regulation, immune signaling, neurodevelopmental processes, and psychosocial functioning. Maternal psychological functioning and caregiving environments appear to interact with these biological changes, shaping how vulnerability is expressed over time.\nThe sudden death of a close family member or partner during pregnancy represents an intense emotional stressor capable of producing sustained physiological effects. Research across bereavement contexts implicates stress-response signaling, immune-inflammatory activation, and biological aging processes (44–48).\nPopulation and longitudinal studies report associations between bereavement and accelerated epigenetic aging, particularly in markers reflecting inflammatory and metabolic burden (44). Individuals exposed to repeated major losses demonstrate faster progression on DNA methylation-based aging clocks such as PhenoAge, GrimAge, and DunedinPACE (44). These findings align with chronic inflammatory activation and cumulative physiological strain.\nGrief exposure has been linked to dysregulated HPA axis activity, altered glucocorticoid feedback, and increased pro-inflammatory cytokine signaling, alongside downstream changes in gene expression (45). Multigenerational cohort data indicate parental bereavement corresponds with immune-related outcomes in offspring, including increased risk of asthma, allergic disease, and autoimmune conditions (45). The consistent association between inflammatory activation and accelerated epigenetic aging suggests cumulative physiological load may represent a key pathway linking bereavement to long-term health trajectories.\nEpigenetic variation has also been observed in pathways involving oxytocin and dopamine signaling, systems central to attachment, motivation, and emotional regulation (46). Methylation differences within these pathways have been associated with variation in emotional flexibility, social engagement, and adaptive coping (46). Rather than reflecting uniformly maladaptive changes, these findings suggest that biological responses to early adversity may involve changes in neuroregulatory systems, with behavioral expression shaped by interacting environmental and developmental factors.\nCaregiver psychological functioning following loss influences emotional availability, warmth, and consistency in parenting (47). Higher caregiver self-regulation and adaptive coping are associated with fewer emotional and behavioral difficulties in children (48). In contrast, persistent or complicated grief has been linked to withdrawal and increased child distress (48).\nBereavement models suggest that acute emotional trauma is associated with coordinated changes spanning stress-response regulation, immune-inflammatory signaling, biological aging, neurobehavioral regulation, and psychosocial environments. Caregiving stability and adaptive coping further appear to modify how these biological responses translate into developmental outcomes.\nSevere medical complications during pregnancy represent major physiological stressors capable of altering maternal and fetal biology. Across models of acute maternal illness, evidence points toward involvement of immune-inflammatory signaling, endocrine and metabolic regulation, and epigenetic remodeling (49–53).\nExperimental models of maternal stroke demonstrate widespread epigenetic alterations, including histone methylation changes linked to oxidative stress, mitochondrial dysfunction, and immune activation (49). These changes correspond with increased inflammasome signaling and downstream immune regulation (49). Maternal immune activation models similarly demonstrate global DNA methylation differences affecting genes involved in synaptic development and neural plasticity, suggesting inflammation-mediated signaling may influence fetal development (50).\nHuman pregnancy complications such as gestational hypertension, gestational diabetes, and preeclampsia have been associated with altered DNA methylation patterns in maternal and fetal tissues, particularly in pathways related to placental function, vascular regulation, and fetal growth (51). Differences in placental methylation and inflammatory signaling across pregnancy complications suggest disruption of coordinated maternal-placental regulation may represent a primary mechanism influencing fetal developmental programming (52).\nSevere maternal morbidity and medical crises have been associated with delayed bonding and early caregiving disruption, including reduced physical proximity and difficulty initiating breastfeeding (53). These early relational disruptions may influence stress regulation and developmental outcomes in offspring.\nModels of acute medical emergencies suggest that severe physiological stress during pregnancy may involve coordinated alterations across immune-inflammatory signaling, endocrine and metabolic regulation, epigenetic processes, and early caregiving environments. The magnitude and persistence of these effects appear to depend on developmental timing, severity of maternal physiological disruption, and the stability of the postnatal caregiving context.\nWhen considered together, acute trauma models suggest brief but severe stress exposures engage multiple biological systems, with developmental impact shaped by exposure timing, physiological response, and post-trauma caregiving context (Tables 1, 2).\nEpigenetic mechanisms linking acute trauma to offspring development.\n↑, increase; ↓, decrease; NM, not measured; BW, birth weight; CpG, cytosine-phosphate- guanine site; DMR, differentially methylated region; GDM, gestational diabetes mellitus; CVD, cardiovascular disease.\nThis table summarizes studies examining how acute trauma exposures influence offspring development through epigenetic pathways. The developmental window for each study (prenatal, perinatal, or early childhood) is included, given its importance for interpreting trauma-related epigenetic changes. Reported findings include alterations in DNA methylation and other regulatory pathways involved in stress physiology, immune signaling, and neurodevelopment. Such alterations are associated with changes in cognition, emotional regulation, and increased vulnerability to mental and physical health conditions. Select studies without direct epigenetic measurements were included when offspring outcomes have been independently linked to trauma-associated epigenetic mechanisms in related populations.\nParenting and offspring consequences of acute trauma.\n↑, increase; ↓, decrease; PTSD, posttraumatic stress disorder; TBI, traumatic brain injury.\nThis table summarizes studies examining how acute trauma exposures influence parenting behaviors and child outcomes. For each study, the development window of exposure or assessment (prenatal, early childhood, school age) is indicated, as timing plays an important role in shaping both caregiving responses and offspring vulnerability. Across studies, trauma-related distress is linked to heightened parental anxiety, inconsistent caregiving, and reduced warmth, contributing to child emotional reactivity, behavioral problems, and attachment disruptions. Parenting styles moderate these effects: authoritative (warm, structured) parenting is associated with fewer symptoms, whereas authoritarian (high control, low warmth) parenting predicts greater externalizing behaviors. These studies were included to contextualize trauma-related caregiving behaviors and offspring outcomes within psychosocial pathways interacting with biological and epigenetic processes.\n\n\n### Natural disasters\nNatural disasters provide a well-studied model for understanding how acute environmental stress may become biologically embedded across generations. Findings across these settings implicate interacting biological systems, particularly neurodevelopmental pathways, immune and metabolic regulation, and stress-response signaling (10, 11, 20–28). Prenatal timing appears especially influential, while exposure severity and maternal psychological response further modify downstream biological effects.\nDeveloping neural systems appear particularly sensitive to prenatal disaster exposure. Early-life environmental stress has been associated with differences in brain maturation and cognitive development during critical developmental windows. Maternal stress during the Quebec ice storm was linked to variation in brain structure and cognitive performance, particularly in regions involved in emotional regulation and executive functioning (11). Greater exposure severity was associated with lower childhood IQ and language performance (20). At the molecular level, prenatal exposure has been linked to DNA methylation differences in genes related to neuroendocrine signaling, including SCG5 (21). Similar developmental sensitivity has been reported in earthquake cohorts, where early gestational exposure was associated with poorer working memory in adulthood (10). The magnitude of these effects appears to reflect interaction between objective exposure severity and maternal subjective perception, suggesting coordinated influence of physiological and environmental signaling (22).\nBeyond neural outcomes, prenatal disaster exposure has been linked to immune and metabolic regulatory changes. Drought-related prenatal stress has been associated with differential DNA methylation in genes involved in metabolic, immune, and stress-regulatory pathways (23). These patterns correspond with reduced early growth, consistent with altered metabolic and endocrine signaling during development (23). Prenatal disaster exposure has been associated with accelerated epigenetic aging and shorter methylation-based telomeres, markers linked to increased chronic disease risk and immune decline (24). Additional findings from the Quebec ice storm cohort demonstrate methylation differences of immune-related genes such as LTA, supporting involvement of inflammatory regulation (21).\nStress-response regulation represents another pathway influenced by prenatal disaster exposure. Gestational exposure to the Tangshan earthquake was associated with increased methylation of NR3C1, a key regulator of glucocorticoid signaling (10). Individuals exposed prenatally, particularly early in gestation, showed higher rates of depressive symptoms compared with those exposed postnatally or not at all (25).\nPsychosocial and caregiving environments further influence developmental expression. Increased parental stress has been associated with reduced caregiving consistency, emotional availability, and responsiveness (26, 27). These caregiving differences correspond with increased emotional and behavioral difficulties in children (26, 27). More supportive and structured caregiving appears protective, whereas inconsistent or disrupted caregiving is associated with greater behavioral challenges (27). Variation in caregiving has also been linked to differences in neural processing within reward and threat-related systems (28).\nNatural disaster models suggest that acute gestational stress involves coordinated changes across neurodevelopmental, immune-metabolic, and stress-regulatory systems. Variation in maternal psychological response and post-disaster caregiving further influences how these biological alterations translate into developmental outcomes.\n\n\n### Traumatic injury\nAcute physical trauma represents a physiological stressor capable of initiating systemic biological responses extending beyond the injured individual. Across injury contexts, research demonstrates coordinated activation of immune-inflammatory signaling, neuroendocrine regulation, and epigenetic changes (29–34). When injury occurs during pregnancy, these systemic responses may influence the intrauterine environment through maternal physiological adaptation. Pregnancy itself is a biologically dynamic state, and emerging evidence suggests stress-related signaling during this period may affect both maternal and fetal processes (35).\nSevere injury has been associated with widespread epigenetic alterations, particularly in inflammatory pathways. Persistent methylation differences have been observed in regulatory regions involved in inflammation and coagulation (29). Similar epigenetic changes have been reported following traumatic brain injury, including alterations in DNA methylation, histone regulation, and mitochondrial signaling, processes involved in inflammation, neuroplasticity, and recovery (30). Comparable inflammatory interactions have also been described following spinal cord injury (31). Although direct evidence linking maternal injury to fetal epigenetic outcomes remains limited, systemic immune and hormonal responses following trauma provide a possible biological pathway through which maternal physiological disruption may alter intrauterine developmental signaling.\nPsychosocial factors also contribute to developmental trajectories. Neurological injury and chronic pain have been associated with reduced emotional availability, lower parental engagement, and inconsistent caregiving, patterns linked to increased emotional and behavioral difficulties in children (32, 33). In contrast, contexts characterized by strong social support and adaptive coping demonstrate more stable caregiving and developmental outcomes, comparable to those of non-injured households (34).\nTraumatic injury models suggest that acute physiological trauma is associated with coordinated immune-inflammatory, neuroendocrine, and epigenetic changes. Although direct fetal evidence remains limited, systemic inflammatory and hormonal responses following maternal injury provide a possible pathway through which intrauterine signaling may be altered. Differences in caregiving stability and social support further modify developmental outcomes.\n\n\n### Acts of terrorism\nTerrorist attacks represent acute psychological stressors associated with biological and emotional effects. Findings across terrorism-related exposures implicate stress-response regulation, immune signaling, and neurodevelopmental pathways (36–43). When exposure occurs during pregnancy, maternal stress physiology may influence fetal development through hormonal and epigenetic mechanisms.\nAlterations in stress-response regulation appear central in terrorism-related models. Following the September 11 attacks, infants born to mothers with PTSD who were directly exposed to the World Trade Center demonstrated lower baseline salivary cortisol levels, particularly with third-trimester exposure (36). Maternal cortisol levels were associated with infant behavioral responses to novelty (37). Reduced expression of FKBP5, a regulator of glucocorticoid signaling, has also been reported following prenatal psychological stress (38).\nImmune and neurodevelopmental pathways may also be involved in responses to terrorism-related stress. PTSD following terrorism exposure has also been associated with altered expression of immune-regulatory genes such as STAT5B, supporting interaction between psychological stress and cytokine signaling pathways (39). Altered expression of genes involved in neural development and emotional regulation, including NFIA, has also been reported (39). At the population level, prenatal terrorism exposure has been associated with increased schizophrenia risk and lower birth weight, further suggesting sensitivity of fetal neurodevelopment and growth to maternal stress physiology (40, 41).\nCaregiving context further influences how biological responses translate into developmental outcomes. Maternal PTSD and depression have been associated with increased emotional and behavioral vulnerability in children, including emotional reactivity and aggression (42). In contrast, warm and responsive caregiving environments correspond with fewer psychological symptoms, whereas less responsive parenting is linked to worse behavioral outcomes (43).\nTerrorism-related models suggest that acute psychological stress may involve coordinated alterations in stress-response regulation, immune signaling, neurodevelopmental processes, and psychosocial functioning. Maternal psychological functioning and caregiving environments appear to interact with these biological changes, shaping how vulnerability is expressed over time.\n\n\n### Sudden loss of a loved one\nThe sudden death of a close family member or partner during pregnancy represents an intense emotional stressor capable of producing sustained physiological effects. Research across bereavement contexts implicates stress-response signaling, immune-inflammatory activation, and biological aging processes (44–48).\nPopulation and longitudinal studies report associations between bereavement and accelerated epigenetic aging, particularly in markers reflecting inflammatory and metabolic burden (44). Individuals exposed to repeated major losses demonstrate faster progression on DNA methylation-based aging clocks such as PhenoAge, GrimAge, and DunedinPACE (44). These findings align with chronic inflammatory activation and cumulative physiological strain.\nGrief exposure has been linked to dysregulated HPA axis activity, altered glucocorticoid feedback, and increased pro-inflammatory cytokine signaling, alongside downstream changes in gene expression (45). Multigenerational cohort data indicate parental bereavement corresponds with immune-related outcomes in offspring, including increased risk of asthma, allergic disease, and autoimmune conditions (45). The consistent association between inflammatory activation and accelerated epigenetic aging suggests cumulative physiological load may represent a key pathway linking bereavement to long-term health trajectories.\nEpigenetic variation has also been observed in pathways involving oxytocin and dopamine signaling, systems central to attachment, motivation, and emotional regulation (46). Methylation differences within these pathways have been associated with variation in emotional flexibility, social engagement, and adaptive coping (46). Rather than reflecting uniformly maladaptive changes, these findings suggest that biological responses to early adversity may involve changes in neuroregulatory systems, with behavioral expression shaped by interacting environmental and developmental factors.\nCaregiver psychological functioning following loss influences emotional availability, warmth, and consistency in parenting (47). Higher caregiver self-regulation and adaptive coping are associated with fewer emotional and behavioral difficulties in children (48). In contrast, persistent or complicated grief has been linked to withdrawal and increased child distress (48).\nBereavement models suggest that acute emotional trauma is associated with coordinated changes spanning stress-response regulation, immune-inflammatory signaling, biological aging, neurobehavioral regulation, and psychosocial environments. Caregiving stability and adaptive coping further appear to modify how these biological responses translate into developmental outcomes.\n\n\n### Acute medical emergencies\nSevere medical complications during pregnancy represent major physiological stressors capable of altering maternal and fetal biology. Across models of acute maternal illness, evidence points toward involvement of immune-inflammatory signaling, endocrine and metabolic regulation, and epigenetic remodeling (49–53).\nExperimental models of maternal stroke demonstrate widespread epigenetic alterations, including histone methylation changes linked to oxidative stress, mitochondrial dysfunction, and immune activation (49). These changes correspond with increased inflammasome signaling and downstream immune regulation (49). Maternal immune activation models similarly demonstrate global DNA methylation differences affecting genes involved in synaptic development and neural plasticity, suggesting inflammation-mediated signaling may influence fetal development (50).\nHuman pregnancy complications such as gestational hypertension, gestational diabetes, and preeclampsia have been associated with altered DNA methylation patterns in maternal and fetal tissues, particularly in pathways related to placental function, vascular regulation, and fetal growth (51). Differences in placental methylation and inflammatory signaling across pregnancy complications suggest disruption of coordinated maternal-placental regulation may represent a primary mechanism influencing fetal developmental programming (52).\nSevere maternal morbidity and medical crises have been associated with delayed bonding and early caregiving disruption, including reduced physical proximity and difficulty initiating breastfeeding (53). These early relational disruptions may influence stress regulation and developmental outcomes in offspring.\nModels of acute medical emergencies suggest that severe physiological stress during pregnancy may involve coordinated alterations across immune-inflammatory signaling, endocrine and metabolic regulation, epigenetic processes, and early caregiving environments. The magnitude and persistence of these effects appear to depend on developmental timing, severity of maternal physiological disruption, and the stability of the postnatal caregiving context.\nWhen considered together, acute trauma models suggest brief but severe stress exposures engage multiple biological systems, with developmental impact shaped by exposure timing, physiological response, and post-trauma caregiving context (Tables 1, 2).\nEpigenetic mechanisms linking acute trauma to offspring development.\n↑, increase; ↓, decrease; NM, not measured; BW, birth weight; CpG, cytosine-phosphate- guanine site; DMR, differentially methylated region; GDM, gestational diabetes mellitus; CVD, cardiovascular disease.\nThis table summarizes studies examining how acute trauma exposures influence offspring development through epigenetic pathways. The developmental window for each study (prenatal, perinatal, or early childhood) is included, given its importance for interpreting trauma-related epigenetic changes. Reported findings include alterations in DNA methylation and other regulatory pathways involved in stress physiology, immune signaling, and neurodevelopment. Such alterations are associated with changes in cognition, emotional regulation, and increased vulnerability to mental and physical health conditions. Select studies without direct epigenetic measurements were included when offspring outcomes have been independently linked to trauma-associated epigenetic mechanisms in related populations.\nParenting and offspring consequences of acute trauma.\n↑, increase; ↓, decrease; PTSD, posttraumatic stress disorder; TBI, traumatic brain injury.\nThis table summarizes studies examining how acute trauma exposures influence parenting behaviors and child outcomes. For each study, the development window of exposure or assessment (prenatal, early childhood, school age) is indicated, as timing plays an important role in shaping both caregiving responses and offspring vulnerability. Across studies, trauma-related distress is linked to heightened parental anxiety, inconsistent caregiving, and reduced warmth, contributing to child emotional reactivity, behavioral problems, and attachment disruptions. Parenting styles moderate these effects: authoritative (warm, structured) parenting is associated with fewer symptoms, whereas authoritarian (high control, low warmth) parenting predicts greater externalizing behaviors. These studies were included to contextualize trauma-related caregiving behaviors and offspring outcomes within psychosocial pathways interacting with biological and epigenetic processes.\n\n\n### Chronic trauma\nAcross different forms of chronic trauma, prolonged or repeated stress exposure has been associated with cumulative biological and psychological adaptation that develops over time. Evidence from multiple trauma contexts points to involvement of interacting regulatory systems, including stress-response signaling, neurodevelopmental processes, metabolic regulation, and immune-inflammatory activity (54–81). The duration and timing of exposure, as well as cumulative stress burden, appear to influence how these biological responses emerge, while environmental conditions and individual adaptation contribute to variability in outcomes. Caregiving and social environments also play an important role, as chronic hardship may disrupt emotional availability or promote adaptive regulation and resilience.\nDomestic violence and intimate partner violence (IPV) represent chronic interpersonal stressors associated with sustained psychological and physiological dysregulation. Evidence across IPV-related exposures implicates interacting biological systems, particularly stress-response regulation, neurodevelopmental signaling, metabolic processes, and immune-inflammatory activity (54–57). Repeated exposure to threatening or coercive environments may promote cumulative epigenetic regulation consistent with chronic stress physiology and allostatic load.\nChronic IPV exposure has been associated with epigenetic modification of stress-regulatory and neural plasticity pathways. Multigenerational findings demonstrate differential DNA methylation in genes involved in synaptic signaling and mitochondrial regulation, including BDNF and CLPX, supporting coordinated involvement of neurodevelopmental and metabolic systems (54). Additional studies link IPV exposure to altered methylation of NR3C1, corresponding with differences in stress reactivity and anxiety-related symptoms (55). These molecular patterns are not uniformly observed across generations, suggesting chronic interpersonal stress may shape biological vulnerability through gradual, context-dependent regulatory processes.\nPsychosocial and caregiving systems appear closely integrated with these biological responses. Persistent IPV exposure has been associated with elevated maternal psychological distress, including depressive and anxiety symptoms, corresponding with disruptions in emotional regulation and increased behavioral difficulties in children (56). Longitudinal evidence further demonstrates reduced parental sensitivity, warmth, and responsiveness, caregiving patterns linked to variation in children’s executive functioning and emotional development (57).\nIPV models suggest prolonged interpersonal threat may gradually change stress-regulatory and neurodevelopmental systems, while metabolic and caregiving pathways influence whether these adaptations contribute to vulnerability or resilience.\nProlonged exposure to war and displacement reflects chronic environmental stress characterized by sustained physiological adaptation. Current evidence implicates stress-response regulation, neurodevelopmental signaling, metabolic regulation, and inflammatory activation (58–62). Recurrent exposure to instability and threat appears to promote progressive biological embedding through cumulative epigenetic regulation, consistent with chronic stress physiology.\nAcross war-exposed populations, chronic trauma has been associated with epigenetic modulation of pathways governing cellular metabolism, neural development, and adaptive stress responses. Differential DNA methylation in genes involved in mitochondrial energy regulation, intracellular transport, and neurodevelopment suggests integration of metabolic and neuroregulatory systems under prolonged adversity (58, 59). These molecular patterns vary by trauma type, exposure timing, and biological sex, indicating context-dependent regulatory responses rather than uniform biological effects (59). Alterations in epigenetic aging, including both accelerated and delayed biological aging, further suggest disruption of developmental timing and system-level physiological regulation under sustained stress (58, 59).\nMultigenerational findings demonstrate shared involvement of stress-regulatory and inflammatory systems across exposure types. Consistent directional methylation changes across direct, prenatal, and germline exposure, together with dose-response relationships between trauma burden and molecular changes, support cumulative biological adaptation to prolonged adversity (59). However, variability across populations highlights the influence of environmental and methodological factors (60).\nPsychosocial and caregiving systems remain closely integrated with these biological processes. Chronic displacement is associated with caregiver psychological distress, emotional dysregulation, and reduced caregiving stability (61, 62). These caregiving changes correspond with increased emotional and behavioral vulnerability in children, even in the absence of direct trauma exposure (61, 62). Caregiver regulation and environmental stability appear to moderate developmental outcomes under sustained adversity.\nWar and displacement models suggest sustained environmental threat may shift stress-regulatory and metabolic set points over time. Cumulative exposure burden and caregiving stability appear to shape long-term regulation.\nChronic caregiving deprivation represents sustained developmental stress associated with long-term alteration in emotional, behavioral, and physiological regulation. Neglect-related exposures point to involvement of stress-regulatory and neurodevelopmental systems, reflecting adaptive responses to prolonged early-life adversity (63–68). Disruption of caregiving during sensitive developmental windows may shape enduring regulatory patterns.\nExperimental models of early-life neglect demonstrate coordinated changes in stress-response and neurodevelopmental signaling following repeated maternal separation and reduced caregiving. These models show heightened stress reactivity, impaired emotional regulation, and persistent behavioral differences associated with altered expression of stress-related genes (63). Multigenerational early-life stress models demonstrate enduring regulatory and behavioral variation, including depressive-like behaviors and altered responses to environmental novelty (64). These findings include epigenetic modulation of genes involved in synaptic and stress signaling, including Mecp2, CB1, and CRFR2, with methylation differences observed in both germline and neural tissues (64). Persistence of these patterns across generations, even without continued stress exposure, suggests stable regulatory shifts rather than transient activation.\nHuman studies demonstrate similar involvement of stress-regulatory neuroendocrine systems. Childhood neglect has been associated with increased methylation of NR3C1, corresponding with altered glucocorticoid signaling and reduced flexibility of HPA axis regulation (65). Coordinated epigenetic variation across multiple stress-regulatory genes, including FKBP5 and CRHR1, supports system-level modulation of stress-response pathways, although variability across generations suggests transmission may depend on environmental context (66).\nChronic neglect also influences psychosocial and caregiving regulation. Individuals with histories of early neglect are more likely to demonstrate reduced emotional engagement, diminished responsiveness, and difficulty interpreting children’s emotional cues, caregiving patterns linked to differences in offspring emotional and behavioral regulation (67). These vulnerabilities may be amplified by co-occurring psychological distress and environmental strain, whereas emotionally supportive caregiving appears to buffer intergenerational risk (68).\nNeglect models suggest sustained caregiving deprivation during sensitive developmental windows may relate to changes in stress-regulatory and neurodevelopmental systems. Intergenerational outcomes may be influenced by caregiving stability.\nChronic nutritional deprivation represents sustained metabolic stress associated with long-term disruption of physiological regulation. Evidence across famine-related exposure suggests coordinated involvement of metabolic programming, stress-response regulation, neurodevelopmental processes, and inflammatory signaling (69–76). When occurring during pregnancy, altered energy availability and endocrine signaling may influence fetal developmental programming.\nIn famine-exposed populations, chronic undernutrition has been associated with alterations in neurodevelopmental and stress-regulatory systems. Prenatal famine exposure corresponds with long-term variation in cognitive and emotional regulation consistent with altered neural and glucocorticoid signaling pathways (69, 70). Multigenerational findings demonstrate variation in growth, renal function, and mortality, suggesting persistent metabolic and physiological adaptation following early nutritional deprivation (71–74). These findings are consistent with developmental programming influenced by exposure, severity, timing, and environment.\nChronic nutritional stress also interacts with psychosocial and caregiving systems. Histories of food insecurity are associated with elevated parental distress and caregiving strain, corresponding with variation in emotional responsiveness and caregiving stability (75). Parents exposed to early undernutrition may also demonstrate altered feeding-related regulation behaviors, suggesting interaction between metabolic stress history and caregiving patterns (76).\nFamine and food insecurity models suggest prolonged nutritional deprivation may relate to alterations in metabolic, stress-regulatory, neurodevelopmental, and psychosocial systems.\nChronic housing instability reflects sustained environmental stress associated with prolonged activation of stress-responsive physiological systems. Evidence suggests involvement of stress-response regulation, inflammatory signaling, metabolic processes, and neuroendocrine pathways, consistent with cumulative stress physiology (77–81).\nHousing instability has been associated with dysregulation of neuroendocrine and inflammatory systems. Accelerated epigenetic aging suggests prolonged activation of stress and immune pathways, reflecting cumulative physiological burden (77). Associations between poor housing quality, depressive symptoms, and epigenetic variation further support interaction between chronic psychosocial stress, inflammatory signaling, and molecular stress regulation (78).\nDuring pregnancy, housing instability may influence fetal developmental programming through stress-mediated physiological pathways. Maternal exposure to eviction has been associated with altered fetal growth and shortened gestation, suggesting disruption of placental, metabolic, and endocrine regulation (79).\nPsychosocial and caregiving systems interact with these biological processes. Chronic housing instability is associated with elevated caregiver stress, altered emotional regulation, and competing survival demands, which may influence caregiving consistency and responsiveness (80). Disrupted routines and environmental unpredictability may further affect early neurobehavioral regulation and stress-response development in children (81).\nHousing instability models suggest sustained environmental unpredictability may maintain prolonged stress-response and inflammatory activation. The timing of exposure and caregiving environment appear to influence how these interacting regulatory processes contribute to long-term development.\nWhen considered as a whole, chronic trauma models suggest prolonged stress exposure engages multiple regulatory systems over time, with developmental outcomes shaped by cumulative burden, exposure timing, and caregiving context (Tables 3, 4).\nEpigenetic Mechanisms Linking Chronic Trauma to Offspring Development.\n↑, increase; ↓, decrease; NM, not measured; BW, birth weight; CpG, cytosine-phosphate-guanine site; DMR, differentially methylated region; GFR, glomerular filtration rate; BMI, body mass index.\nThis table summarizes studies examining how chronic trauma exposures influence offspring development through epigenetic pathways. Across studies, prolonged stressors are linked to DNA methylation changes, altered gene expression, and accelerated epigenetic aging. These biological disruptions contribute to dysregulated stress and immune responses, cognitive and emotional difficulties, and heightened risk for long-term health problems. Select studies without direct epigenetic measurements were included when offspring outcomes have been independently linked to trauma-associated epigenetic mechanisms in related populations.\nParenting and offspring consequences of chronic trauma.\n↑, increase; ↓, decrease.\nThis table summarizes studies on how chronic trauma influences parenting behaviors and offspring outcomes. Across studies, prolonged adversity is linked to heightened parental stress, reduced warmth and consistency, and emotionally unavailable caregiving. These patterns contribute to greater child emotional reactivity, difficulties with trust and regulation, and greater psychosocial risk. These studies were included to contextualize trauma-related caregiving behaviors and offspring outcomes within psychosocial pathways interacting with biological and epigenetic processes.\n\n\n### Domestic violence or intimate partner violence\nDomestic violence and intimate partner violence (IPV) represent chronic interpersonal stressors associated with sustained psychological and physiological dysregulation. Evidence across IPV-related exposures implicates interacting biological systems, particularly stress-response regulation, neurodevelopmental signaling, metabolic processes, and immune-inflammatory activity (54–57). Repeated exposure to threatening or coercive environments may promote cumulative epigenetic regulation consistent with chronic stress physiology and allostatic load.\nChronic IPV exposure has been associated with epigenetic modification of stress-regulatory and neural plasticity pathways. Multigenerational findings demonstrate differential DNA methylation in genes involved in synaptic signaling and mitochondrial regulation, including BDNF and CLPX, supporting coordinated involvement of neurodevelopmental and metabolic systems (54). Additional studies link IPV exposure to altered methylation of NR3C1, corresponding with differences in stress reactivity and anxiety-related symptoms (55). These molecular patterns are not uniformly observed across generations, suggesting chronic interpersonal stress may shape biological vulnerability through gradual, context-dependent regulatory processes.\nPsychosocial and caregiving systems appear closely integrated with these biological responses. Persistent IPV exposure has been associated with elevated maternal psychological distress, including depressive and anxiety symptoms, corresponding with disruptions in emotional regulation and increased behavioral difficulties in children (56). Longitudinal evidence further demonstrates reduced parental sensitivity, warmth, and responsiveness, caregiving patterns linked to variation in children’s executive functioning and emotional development (57).\nIPV models suggest prolonged interpersonal threat may gradually change stress-regulatory and neurodevelopmental systems, while metabolic and caregiving pathways influence whether these adaptations contribute to vulnerability or resilience.\n\n\n### Living in a war zone or refugee camp long-term\nProlonged exposure to war and displacement reflects chronic environmental stress characterized by sustained physiological adaptation. Current evidence implicates stress-response regulation, neurodevelopmental signaling, metabolic regulation, and inflammatory activation (58–62). Recurrent exposure to instability and threat appears to promote progressive biological embedding through cumulative epigenetic regulation, consistent with chronic stress physiology.\nAcross war-exposed populations, chronic trauma has been associated with epigenetic modulation of pathways governing cellular metabolism, neural development, and adaptive stress responses. Differential DNA methylation in genes involved in mitochondrial energy regulation, intracellular transport, and neurodevelopment suggests integration of metabolic and neuroregulatory systems under prolonged adversity (58, 59). These molecular patterns vary by trauma type, exposure timing, and biological sex, indicating context-dependent regulatory responses rather than uniform biological effects (59). Alterations in epigenetic aging, including both accelerated and delayed biological aging, further suggest disruption of developmental timing and system-level physiological regulation under sustained stress (58, 59).\nMultigenerational findings demonstrate shared involvement of stress-regulatory and inflammatory systems across exposure types. Consistent directional methylation changes across direct, prenatal, and germline exposure, together with dose-response relationships between trauma burden and molecular changes, support cumulative biological adaptation to prolonged adversity (59). However, variability across populations highlights the influence of environmental and methodological factors (60).\nPsychosocial and caregiving systems remain closely integrated with these biological processes. Chronic displacement is associated with caregiver psychological distress, emotional dysregulation, and reduced caregiving stability (61, 62). These caregiving changes correspond with increased emotional and behavioral vulnerability in children, even in the absence of direct trauma exposure (61, 62). Caregiver regulation and environmental stability appear to moderate developmental outcomes under sustained adversity.\nWar and displacement models suggest sustained environmental threat may shift stress-regulatory and metabolic set points over time. Cumulative exposure burden and caregiving stability appear to shape long-term regulation.\n\n\n### Long-term neglect or abandonment\nChronic caregiving deprivation represents sustained developmental stress associated with long-term alteration in emotional, behavioral, and physiological regulation. Neglect-related exposures point to involvement of stress-regulatory and neurodevelopmental systems, reflecting adaptive responses to prolonged early-life adversity (63–68). Disruption of caregiving during sensitive developmental windows may shape enduring regulatory patterns.\nExperimental models of early-life neglect demonstrate coordinated changes in stress-response and neurodevelopmental signaling following repeated maternal separation and reduced caregiving. These models show heightened stress reactivity, impaired emotional regulation, and persistent behavioral differences associated with altered expression of stress-related genes (63). Multigenerational early-life stress models demonstrate enduring regulatory and behavioral variation, including depressive-like behaviors and altered responses to environmental novelty (64). These findings include epigenetic modulation of genes involved in synaptic and stress signaling, including Mecp2, CB1, and CRFR2, with methylation differences observed in both germline and neural tissues (64). Persistence of these patterns across generations, even without continued stress exposure, suggests stable regulatory shifts rather than transient activation.\nHuman studies demonstrate similar involvement of stress-regulatory neuroendocrine systems. Childhood neglect has been associated with increased methylation of NR3C1, corresponding with altered glucocorticoid signaling and reduced flexibility of HPA axis regulation (65). Coordinated epigenetic variation across multiple stress-regulatory genes, including FKBP5 and CRHR1, supports system-level modulation of stress-response pathways, although variability across generations suggests transmission may depend on environmental context (66).\nChronic neglect also influences psychosocial and caregiving regulation. Individuals with histories of early neglect are more likely to demonstrate reduced emotional engagement, diminished responsiveness, and difficulty interpreting children’s emotional cues, caregiving patterns linked to differences in offspring emotional and behavioral regulation (67). These vulnerabilities may be amplified by co-occurring psychological distress and environmental strain, whereas emotionally supportive caregiving appears to buffer intergenerational risk (68).\nNeglect models suggest sustained caregiving deprivation during sensitive developmental windows may relate to changes in stress-regulatory and neurodevelopmental systems. Intergenerational outcomes may be influenced by caregiving stability.\n\n\n### Persistent food insecurity or starvation\nChronic nutritional deprivation represents sustained metabolic stress associated with long-term disruption of physiological regulation. Evidence across famine-related exposure suggests coordinated involvement of metabolic programming, stress-response regulation, neurodevelopmental processes, and inflammatory signaling (69–76). When occurring during pregnancy, altered energy availability and endocrine signaling may influence fetal developmental programming.\nIn famine-exposed populations, chronic undernutrition has been associated with alterations in neurodevelopmental and stress-regulatory systems. Prenatal famine exposure corresponds with long-term variation in cognitive and emotional regulation consistent with altered neural and glucocorticoid signaling pathways (69, 70). Multigenerational findings demonstrate variation in growth, renal function, and mortality, suggesting persistent metabolic and physiological adaptation following early nutritional deprivation (71–74). These findings are consistent with developmental programming influenced by exposure, severity, timing, and environment.\nChronic nutritional stress also interacts with psychosocial and caregiving systems. Histories of food insecurity are associated with elevated parental distress and caregiving strain, corresponding with variation in emotional responsiveness and caregiving stability (75). Parents exposed to early undernutrition may also demonstrate altered feeding-related regulation behaviors, suggesting interaction between metabolic stress history and caregiving patterns (76).\nFamine and food insecurity models suggest prolonged nutritional deprivation may relate to alterations in metabolic, stress-regulatory, neurodevelopmental, and psychosocial systems.\n\n\n### Housing instability or homelessness\nChronic housing instability reflects sustained environmental stress associated with prolonged activation of stress-responsive physiological systems. Evidence suggests involvement of stress-response regulation, inflammatory signaling, metabolic processes, and neuroendocrine pathways, consistent with cumulative stress physiology (77–81).\nHousing instability has been associated with dysregulation of neuroendocrine and inflammatory systems. Accelerated epigenetic aging suggests prolonged activation of stress and immune pathways, reflecting cumulative physiological burden (77). Associations between poor housing quality, depressive symptoms, and epigenetic variation further support interaction between chronic psychosocial stress, inflammatory signaling, and molecular stress regulation (78).\nDuring pregnancy, housing instability may influence fetal developmental programming through stress-mediated physiological pathways. Maternal exposure to eviction has been associated with altered fetal growth and shortened gestation, suggesting disruption of placental, metabolic, and endocrine regulation (79).\nPsychosocial and caregiving systems interact with these biological processes. Chronic housing instability is associated with elevated caregiver stress, altered emotional regulation, and competing survival demands, which may influence caregiving consistency and responsiveness (80). Disrupted routines and environmental unpredictability may further affect early neurobehavioral regulation and stress-response development in children (81).\nHousing instability models suggest sustained environmental unpredictability may maintain prolonged stress-response and inflammatory activation. The timing of exposure and caregiving environment appear to influence how these interacting regulatory processes contribute to long-term development.\nWhen considered as a whole, chronic trauma models suggest prolonged stress exposure engages multiple regulatory systems over time, with developmental outcomes shaped by cumulative burden, exposure timing, and caregiving context (Tables 3, 4).\nEpigenetic Mechanisms Linking Chronic Trauma to Offspring Development.\n↑, increase; ↓, decrease; NM, not measured; BW, birth weight; CpG, cytosine-phosphate-guanine site; DMR, differentially methylated region; GFR, glomerular filtration rate; BMI, body mass index.\nThis table summarizes studies examining how chronic trauma exposures influence offspring development through epigenetic pathways. Across studies, prolonged stressors are linked to DNA methylation changes, altered gene expression, and accelerated epigenetic aging. These biological disruptions contribute to dysregulated stress and immune responses, cognitive and emotional difficulties, and heightened risk for long-term health problems. Select studies without direct epigenetic measurements were included when offspring outcomes have been independently linked to trauma-associated epigenetic mechanisms in related populations.\nParenting and offspring consequences of chronic trauma.\n↑, increase; ↓, decrease.\nThis table summarizes studies on how chronic trauma influences parenting behaviors and offspring outcomes. Across studies, prolonged adversity is linked to heightened parental stress, reduced warmth and consistency, and emotionally unavailable caregiving. These patterns contribute to greater child emotional reactivity, difficulties with trust and regulation, and greater psychosocial risk. These studies were included to contextualize trauma-related caregiving behaviors and offspring outcomes within psychosocial pathways interacting with biological and epigenetic processes.\n\n\n### Complex trauma\nAcross diverse forms of complex trauma, sustained exposure to interpersonal and collective adversity has been associated with cumulative biological and psychological adaptation that may extend across generations. Evidence from multiple trauma contexts points to involvement of interacting regulatory systems, including stress-response signaling, neurodevelopmental processes, circadian and metabolic regulation, and epigenetic remodeling (7, 82–124). The severity, developmental timing, and cumulative burden of exposure appear to influence how these biological responses emerge over time, with sociocultural and environmental stability contributing to variability in outcomes.\nGenocide represents one of the most severe forms of sustained trauma, involving persecution, displacement, and prolonged threat to survival. Across survivor populations and their descendants, research suggests coordinated involvement of stress-response regulation, neurodevelopmental signaling, and behavioral adaptation (7, 82–100). Exposure severity, developmental timing, and cumulative stress burden appear to influence how these biological responses emerge across generations.\nAlterations in stress-response regulation are among the most consistently reported findings in genocide-related research. Studies of Holocaust survivors and their offspring demonstrate differential DNA methylation of key HPA-axis genes, including NR3C1 and FKBP5, corresponding with variation in glucocorticoid receptor sensitivity and cortisol feedback regulation (82, 83). Divergent patterns have been observed depending on parental PTSD status, with paternal PTSD in the absence of maternal PTSD associated with increased methylation of NR3C1 in offspring, whereas combined maternal and paternal PTSD has been associated with decreased methylation (82). Variation in FKBP5 methylation across intronic regions has also been reported, with opposite directional patterns observed in survivors and their offspring, corresponding with differences in FKBP5 expression and glucocorticoid receptor sensitivity (83, 84). Functional alterations in cortisol metabolism, including reduced cortisol excretion in survivors and increased activity of cortisol-inactivating enzymes in offspring, have also been described (82, 85). Similar involvement of stress-response pathways has been observed in survivors of the Tutsi genocide and related conflicts, where methylation differences in NR3C1 and NR3C2 have been reported (88, 89).\nGenocide exposure has also been associated with epigenetic variation in pathways involved in neurodevelopment and memory processing. Methylation differences in survivors of the Tutsi genocide and related conflicts have been reported in genes regulating synaptic plasticity, neurotrophic signaling, and early developmental programming (88–92). Variation at the NGFI-A binding site of NR3C1 has been associated with altered memory processing and sex-specific differences in PTSD risk, with reduced intrusive recall observed in males and lower PTSD risk reported in females (90, 91). Methylation differences in NTRK2, a gene involved in synaptic signaling and memory formation, have been linked to variation in recognition memory performance and lifetime PTSD risk (92). Genome-scale analyses have further identified methylation changes in genes involved in embryonic and neural development, including BCOR, PRDM8, and VWDE, in offspring with in utero exposure to the Tutsi genocide (7).\nIn addition, behavioral and metabolic adaptations have been described in descendants of famine-associated genocides such as the Holodomor. Second and third generation descendants have reported persistent “survivor mode” behaviors characterized by fear, hypervigilance, food hoarding, and overeating, despite not directly experiencing the original trauma (93). Specific epigenetic mechanisms were not identified in these reports, although the persistence of these behavioral patterns across generations may reflect stress-response and metabolic adaptation (93).\nCaregiving regulation represents an additional pathway through which genocide-related trauma may influence intergenerational outcomes. Across genocide-affected populations, parental exposure has been associated with altered caregiving patterns characterized by overprotection, controlling behaviors, diminished warmth, and role-reversal dynamics (94–97, 100). Maternal survivor status has been more strongly associated with offspring psychological vulnerability compared to paternal exposure, with dual parental exposure corresponding to the highest reported risk (94). These caregiving patterns have been linked to increased internalizing and externalizing symptoms, ambivalent attachment styles and altered self-perception in children and grandchildren (95, 96). In some contexts, including families affected by the Khmer Rouge genocide and Rwandan genocide, parental PTSD and maternal violence have been associated with heightened anxiety, depression, and antisocial behaviors in offspring (97–99). Increased medical and psychiatric medication use observed among offspring of Holocaust survivors further suggests broader psychosocial and health-related vulnerability (100).\nGenocide models suggest sustained exposure to extreme threat may be associated with coordinated stress-response and neurodevelopmental regulation across generations, with intergenerational outcomes shaped by parental psychological status and caregiving stability.\nWar violence and historical trauma involve sustained exposure to armed conflict, forced displacement, and collective sociopolitical disruption across generations. These exposures have been associated with coordinated alterations in stress-response regulation, circadian and sleep-related pathways, and metabolic processes (102–115). The timing, duration, and cumulative burden of exposure appear to influence how these biological changes develop over time.\nAlterations in stress-response regulation appear to be among the most consistent findings in war-exposed populations and indigenous communities affected by historical trauma. Offspring of veterans with PTSD have demonstrated lower cortisol levels compared to controls, while epinephrine and norepinephrine levels were unchanged (102). These differences have been associated with methylation changes in NR3C1, a key regulator of HPA-axis feedback (103). Similarly, maternal exposure to Canadian residential schools has been linked to higher cortisol, catecholamines, and inflammatory cytokine levels in offspring, including cases in which offspring were not raised by their biological parents (104, 105). Elevated adverse childhood experience scores and poorer mental and physical health outcomes have also been documented in second and third generation descendants of residential school survivors (106). Population-level studies further suggest intergenerational stress-related effects of war trauma, including higher psychiatric hospitalization rates among daughters of evacuated Finnish mothers and increased mortality among sons of former prisoners of war (107, 108).\nCircadian and sleep-related pathways have also been implicated in war-related trauma. Differential methylation of sleep and circadian genes such as PAX8 and LHX1 has been reported in veterans with PTSD (103, 109–111). These changes have been associated with variation in memory processing, sleep duration, and circadian rhythm regulation, as well as differences in PTSD symptom severity (103, 109–111). Disruption of circadian regulation may represent a pathway of stress-related vulnerability following trauma exposure; however, evidence in offspring remains limited.\nMetabolic and broader regulatory pathways have also been implicated particularly in studies of indigenous communities experiencing historical trauma (112). Genome-wide analyses in Alaska Native communities have identified methylation differences in genes involved in mitochondrial metabolism, calcium transport, chromatin organization, and molecular trafficking (8). These findings implicate coordinated variation across metabolic and regulatory pathways and have been associated with historical loss-related symptom reporting (8).\nCaregiving environments represent an additional pathway through which war-related trauma may influence intergenerational outcomes. Across conflict-affected populations, exposure to active combat or chronic threat has been associated with harsh, inconsistent, diminished warmth, or overprotective parenting patterns (113–115). These caregiving styles have corresponded with increased internalizing and externalizing symptoms in offspring, reduced parental bonding, and family dysfunction (114, 115). Fluctuating parenting behaviors characterized by shifts between warmth, avoidance, and control have also been reported in families exposed to ongoing conflict (114).\nWar violence and historical trauma models suggest sustained exposure to conflict and sociocultural disruption may be associated with coordinated changes in stress-response, circadian, and metabolic systems across generations.\nChildhood maltreatment, including abuse and neglect, represents a sustained early-life stressor associated with long-term biological and behavioral changes across generations. Evidence suggests involvement of stress-response regulation, neurodevelopmental and emotional processing pathways, and epigenetic remodeling processes in shaping intergenerational outcomes (116–124). Exposure timing, severity, and duration appear to influence how these biological responses are expressed over time.\nExperimental models have provided mechanistic insight into how early-life stress may influence intergenerational outcomes. In animal studies using the maternal separation with unpredictable stress (MSUS) paradigm, exposed males demonstrated alterations in sperm small and long noncoding RNAs (116, 117). Similar RNA changes were detected in offspring tissues, including brain and serum (116). Behavioral and metabolic phenotypes were observed in subsequent generations, and injection of sperm RNA from exposed males into naive zygotes reproduced several of these features (116, 117). Animal models have also demonstrated epigenetic remodeling of stress-related genes and histone acetylation patterns in brain regions involved in emotional regulation following early-life stress (116, 117).\nHuman studies have identified epigenetic variation in stress-response regulatory systems among individuals exposed to childhood maltreatment. Altered methylation of genes involved in HPA-axis feedback and glucocorticoid homeostasis, including NR3C1 and FKBP5, has been reported in individuals with histories of abuse or neglect (118–120). Lower methylation of FKBP5 has been associated with structural variation in brain regions involved in emotional regulation (120, 121). Increased methylation of the NR3C1 promoter and reduced glucocorticoid receptor expression have been observed in hippocampal tissue of suicide completers with histories of maltreatment (119, 120). Epigenetic variation in glucocorticoid regulatory pathways has been described in this context; however, evidence directly linking these changes to intergenerational suicide risk remains limited.\nPsychosocial and caregiving systems remain closely integrated with these biological processes. Individuals with histories of maltreatment have demonstrated reduced parental competence, diminished emotional support, and increased harsh or neglectful parenting behaviors (122–124). Paternal maltreatment history has been associated with increased externalizing behaviors in offspring, partially mediated by harsh parenting (123). Elevated personal distress and depressive symptoms in maltreated parents have also been associated with dysfunctional caregiving patterns (124). Variability in caregiving stability and emotional regulation may interact with stress-related biological vulnerability in shaping psychological outcomes in children.\nChildhood maltreatment models suggest early-life adversity may be associated with coordinated alterations in stress-response regulation, neurodevelopmental signaling, epigenetic regulation, and caregiving environments across generations.\nWhen considered collectively, complex trauma models indicate that sustained interpersonal and sociopolitical adversity may involve coordinated regulatory changes across generations, with intergenerational patterns shaped by cumulative burden, developmental timing, and caregiving stability (Tables 5, 6).\nEpigenetic Mechanisms Linking Complex Trauma to Offspring Development.\n↑, increased; ↓, decreased; NM, Not Measured; PTSD, Post-Traumatic Stress Disorder.\nComplex transgenerational trauma has profound impacts on genes involved in the HPA axis, memory function, embryonic development, and other biological pathways. These changes have been linked to increased susceptibility to various psychiatric disorders, such as PTSD, depression, and the risk of suicide. Select studies without direct epigenetic measurements were included when offspring outcomes have been independently linked to trauma-associated epigenetic mechanisms in related populations.\nParenting and offspring consequences of complex trauma.\n↑, increased; ↓, decreased; NM, Not measured; PTSD, Post-Traumatic Stress Disorder.\nComplex transgenerational trauma markedly alters parenting styles, manifested as parental PTSD, family violence, increased parental stress, increased affective empathy, decreased parental competence, overprotective, overcontrolling, and role-reversing parenting. Direct consequences of these dysfunctional parenting styles away from the norm in their offspring include, but are not limited to, increased risk of depression, PTSD, and anxiety, and decreased bond between parent and child. These studies were included to contextualize trauma-related caregiving behaviors and offspring outcomes within psychosocial pathways interacting with biological and epigenetic processes.\n\n\n### Genocide\nGenocide represents one of the most severe forms of sustained trauma, involving persecution, displacement, and prolonged threat to survival. Across survivor populations and their descendants, research suggests coordinated involvement of stress-response regulation, neurodevelopmental signaling, and behavioral adaptation (7, 82–100). Exposure severity, developmental timing, and cumulative stress burden appear to influence how these biological responses emerge across generations.\nAlterations in stress-response regulation are among the most consistently reported findings in genocide-related research. Studies of Holocaust survivors and their offspring demonstrate differential DNA methylation of key HPA-axis genes, including NR3C1 and FKBP5, corresponding with variation in glucocorticoid receptor sensitivity and cortisol feedback regulation (82, 83). Divergent patterns have been observed depending on parental PTSD status, with paternal PTSD in the absence of maternal PTSD associated with increased methylation of NR3C1 in offspring, whereas combined maternal and paternal PTSD has been associated with decreased methylation (82). Variation in FKBP5 methylation across intronic regions has also been reported, with opposite directional patterns observed in survivors and their offspring, corresponding with differences in FKBP5 expression and glucocorticoid receptor sensitivity (83, 84). Functional alterations in cortisol metabolism, including reduced cortisol excretion in survivors and increased activity of cortisol-inactivating enzymes in offspring, have also been described (82, 85). Similar involvement of stress-response pathways has been observed in survivors of the Tutsi genocide and related conflicts, where methylation differences in NR3C1 and NR3C2 have been reported (88, 89).\nGenocide exposure has also been associated with epigenetic variation in pathways involved in neurodevelopment and memory processing. Methylation differences in survivors of the Tutsi genocide and related conflicts have been reported in genes regulating synaptic plasticity, neurotrophic signaling, and early developmental programming (88–92). Variation at the NGFI-A binding site of NR3C1 has been associated with altered memory processing and sex-specific differences in PTSD risk, with reduced intrusive recall observed in males and lower PTSD risk reported in females (90, 91). Methylation differences in NTRK2, a gene involved in synaptic signaling and memory formation, have been linked to variation in recognition memory performance and lifetime PTSD risk (92). Genome-scale analyses have further identified methylation changes in genes involved in embryonic and neural development, including BCOR, PRDM8, and VWDE, in offspring with in utero exposure to the Tutsi genocide (7).\nIn addition, behavioral and metabolic adaptations have been described in descendants of famine-associated genocides such as the Holodomor. Second and third generation descendants have reported persistent “survivor mode” behaviors characterized by fear, hypervigilance, food hoarding, and overeating, despite not directly experiencing the original trauma (93). Specific epigenetic mechanisms were not identified in these reports, although the persistence of these behavioral patterns across generations may reflect stress-response and metabolic adaptation (93).\nCaregiving regulation represents an additional pathway through which genocide-related trauma may influence intergenerational outcomes. Across genocide-affected populations, parental exposure has been associated with altered caregiving patterns characterized by overprotection, controlling behaviors, diminished warmth, and role-reversal dynamics (94–97, 100). Maternal survivor status has been more strongly associated with offspring psychological vulnerability compared to paternal exposure, with dual parental exposure corresponding to the highest reported risk (94). These caregiving patterns have been linked to increased internalizing and externalizing symptoms, ambivalent attachment styles and altered self-perception in children and grandchildren (95, 96). In some contexts, including families affected by the Khmer Rouge genocide and Rwandan genocide, parental PTSD and maternal violence have been associated with heightened anxiety, depression, and antisocial behaviors in offspring (97–99). Increased medical and psychiatric medication use observed among offspring of Holocaust survivors further suggests broader psychosocial and health-related vulnerability (100).\nGenocide models suggest sustained exposure to extreme threat may be associated with coordinated stress-response and neurodevelopmental regulation across generations, with intergenerational outcomes shaped by parental psychological status and caregiving stability.\n\n\n### War violence and trauma related to indigenous communities\nWar violence and historical trauma involve sustained exposure to armed conflict, forced displacement, and collective sociopolitical disruption across generations. These exposures have been associated with coordinated alterations in stress-response regulation, circadian and sleep-related pathways, and metabolic processes (102–115). The timing, duration, and cumulative burden of exposure appear to influence how these biological changes develop over time.\nAlterations in stress-response regulation appear to be among the most consistent findings in war-exposed populations and indigenous communities affected by historical trauma. Offspring of veterans with PTSD have demonstrated lower cortisol levels compared to controls, while epinephrine and norepinephrine levels were unchanged (102). These differences have been associated with methylation changes in NR3C1, a key regulator of HPA-axis feedback (103). Similarly, maternal exposure to Canadian residential schools has been linked to higher cortisol, catecholamines, and inflammatory cytokine levels in offspring, including cases in which offspring were not raised by their biological parents (104, 105). Elevated adverse childhood experience scores and poorer mental and physical health outcomes have also been documented in second and third generation descendants of residential school survivors (106). Population-level studies further suggest intergenerational stress-related effects of war trauma, including higher psychiatric hospitalization rates among daughters of evacuated Finnish mothers and increased mortality among sons of former prisoners of war (107, 108).\nCircadian and sleep-related pathways have also been implicated in war-related trauma. Differential methylation of sleep and circadian genes such as PAX8 and LHX1 has been reported in veterans with PTSD (103, 109–111). These changes have been associated with variation in memory processing, sleep duration, and circadian rhythm regulation, as well as differences in PTSD symptom severity (103, 109–111). Disruption of circadian regulation may represent a pathway of stress-related vulnerability following trauma exposure; however, evidence in offspring remains limited.\nMetabolic and broader regulatory pathways have also been implicated particularly in studies of indigenous communities experiencing historical trauma (112). Genome-wide analyses in Alaska Native communities have identified methylation differences in genes involved in mitochondrial metabolism, calcium transport, chromatin organization, and molecular trafficking (8). These findings implicate coordinated variation across metabolic and regulatory pathways and have been associated with historical loss-related symptom reporting (8).\nCaregiving environments represent an additional pathway through which war-related trauma may influence intergenerational outcomes. Across conflict-affected populations, exposure to active combat or chronic threat has been associated with harsh, inconsistent, diminished warmth, or overprotective parenting patterns (113–115). These caregiving styles have corresponded with increased internalizing and externalizing symptoms in offspring, reduced parental bonding, and family dysfunction (114, 115). Fluctuating parenting behaviors characterized by shifts between warmth, avoidance, and control have also been reported in families exposed to ongoing conflict (114).\nWar violence and historical trauma models suggest sustained exposure to conflict and sociocultural disruption may be associated with coordinated changes in stress-response, circadian, and metabolic systems across generations.\n\n\n### Childhood maltreatment\nChildhood maltreatment, including abuse and neglect, represents a sustained early-life stressor associated with long-term biological and behavioral changes across generations. Evidence suggests involvement of stress-response regulation, neurodevelopmental and emotional processing pathways, and epigenetic remodeling processes in shaping intergenerational outcomes (116–124). Exposure timing, severity, and duration appear to influence how these biological responses are expressed over time.\nExperimental models have provided mechanistic insight into how early-life stress may influence intergenerational outcomes. In animal studies using the maternal separation with unpredictable stress (MSUS) paradigm, exposed males demonstrated alterations in sperm small and long noncoding RNAs (116, 117). Similar RNA changes were detected in offspring tissues, including brain and serum (116). Behavioral and metabolic phenotypes were observed in subsequent generations, and injection of sperm RNA from exposed males into naive zygotes reproduced several of these features (116, 117). Animal models have also demonstrated epigenetic remodeling of stress-related genes and histone acetylation patterns in brain regions involved in emotional regulation following early-life stress (116, 117).\nHuman studies have identified epigenetic variation in stress-response regulatory systems among individuals exposed to childhood maltreatment. Altered methylation of genes involved in HPA-axis feedback and glucocorticoid homeostasis, including NR3C1 and FKBP5, has been reported in individuals with histories of abuse or neglect (118–120). Lower methylation of FKBP5 has been associated with structural variation in brain regions involved in emotional regulation (120, 121). Increased methylation of the NR3C1 promoter and reduced glucocorticoid receptor expression have been observed in hippocampal tissue of suicide completers with histories of maltreatment (119, 120). Epigenetic variation in glucocorticoid regulatory pathways has been described in this context; however, evidence directly linking these changes to intergenerational suicide risk remains limited.\nPsychosocial and caregiving systems remain closely integrated with these biological processes. Individuals with histories of maltreatment have demonstrated reduced parental competence, diminished emotional support, and increased harsh or neglectful parenting behaviors (122–124). Paternal maltreatment history has been associated with increased externalizing behaviors in offspring, partially mediated by harsh parenting (123). Elevated personal distress and depressive symptoms in maltreated parents have also been associated with dysfunctional caregiving patterns (124). Variability in caregiving stability and emotional regulation may interact with stress-related biological vulnerability in shaping psychological outcomes in children.\nChildhood maltreatment models suggest early-life adversity may be associated with coordinated alterations in stress-response regulation, neurodevelopmental signaling, epigenetic regulation, and caregiving environments across generations.\nWhen considered collectively, complex trauma models indicate that sustained interpersonal and sociopolitical adversity may involve coordinated regulatory changes across generations, with intergenerational patterns shaped by cumulative burden, developmental timing, and caregiving stability (Tables 5, 6).\nEpigenetic Mechanisms Linking Complex Trauma to Offspring Development.\n↑, increased; ↓, decreased; NM, Not Measured; PTSD, Post-Traumatic Stress Disorder.\nComplex transgenerational trauma has profound impacts on genes involved in the HPA axis, memory function, embryonic development, and other biological pathways. These changes have been linked to increased susceptibility to various psychiatric disorders, such as PTSD, depression, and the risk of suicide. Select studies without direct epigenetic measurements were included when offspring outcomes have been independently linked to trauma-associated epigenetic mechanisms in related populations.\nParenting and offspring consequences of complex trauma.\n↑, increased; ↓, decreased; NM, Not measured; PTSD, Post-Traumatic Stress Disorder.\nComplex transgenerational trauma markedly alters parenting styles, manifested as parental PTSD, family violence, increased parental stress, increased affective empathy, decreased parental competence, overprotective, overcontrolling, and role-reversing parenting. Direct consequences of these dysfunctional parenting styles away from the norm in their offspring include, but are not limited to, increased risk of depression, PTSD, and anxiety, and decreased bond between parent and child. These studies were included to contextualize trauma-related caregiving behaviors and offspring outcomes within psychosocial pathways interacting with biological and epigenetic processes.\n\n\n### Treatment approach for multi-generational trauma\nEffective interventions for multi-generational trauma often require addressing both individual psychiatric symptoms and the family environments through which trauma-related vulnerability is expressed and reinforced (125). Prevention and treatment approaches therefore tend to span multiple levels, including trauma-focused therapy, attachment and relationship-based interventions, and broader strategies that support regulation through sleep, stress management, and health behaviors (19, 125–135). As trauma biology becomes better characterized, there is also growing interest in whether trauma-associated epigenetic profiles could help refine treatment selection or predict response (136, 137). In this section, prevention strategies, current psychotherapy approaches, and emerging biologically informed treatment directions relevant to intergenerational trauma-related risk are discussed.\nPrevention remains a central strategy for reducing intergenerational risk, particularly when it targets unresolved trauma symptoms and early relational functioning (19). Two commonly described prevention targets include trauma-specific interventions in adults and attachment-focused interventions within families (19). Trauma-focused care for adults with severe and persistent trauma-related distress, including chronic childhood maltreatment, may reduce symptom burden that interferes with parenting capacity (126). Attachment-based approaches that strengthen caregiver attentiveness and reflective functioning during the postpartum period have been associated with improved attachment outcomes in high-risk families, which may reduce downstream developmental vulnerability (127). These strategies align with the broader framework that early intervention on caregiver distress and relational functioning may reduce the persistence of trauma-related risk across generations (19).\nAlthough preventative interventions demonstrate clinical benefit, no studies directly evaluate whether these approaches modify trauma-associated epigenetic variation at specific gene targets. However, lifestyle and behavioral factors known to influence epigenetic regulation, including diet, sleep, stress management, and substance use, may represent modifiable contributors to biological vulnerability (128). Across multiple trauma contexts, altered methylation of NR3C1 has been reported, including genocide exposure, childhood maltreatment, and natural disasters (10, 82, 88, 89). NR3C1 also appears responsive to environmental inputs, suggesting that trauma-associated epigenetic patterns may remain dynamically regulated rather than fixed. In this context, dietary patterns may also play a role, including the consumption of industrialized foods such as sausages, sugary drinks, and chocolate-based products, which have been associated with increased NR3C1 methylation (129). These findings support consideration of health behavior interventions as adjunctive strategies for modulating stress-response regulatory pathways to help mitigate potential trauma-associated epigenetic vulnerability linked to NR3C1.\nThe current literature on intervention strategies has been most developed in the context of childhood maltreatment and disrupted caregiver-child relationships. Several approaches emphasize caregiver regulation and family functioning in addition to symptom reduction. Multi-family therapy models focused on emotional regulation, mentalization, and empowerment have been associated with improved parent-child relationship functioning and reduced trauma-related vulnerability (125). Child-parent psychotherapy, which addresses maladaptive trauma-related beliefs and promotes relational safety, has shown benefit for young children and caregivers (130). The Mom Power program, integrating clinician-guided self-care, social support, and parenting skills, has been associated with reductions in maternal depression and PTSD symptoms and improvements in attachment-related outcomes (131). These findings indicate that structured, relationship-centered programs can improve caregiving functioning and child emotional outcomes in families affected by intergenerational trauma (125, 130, 131).\nInterventions for trauma related to war and displacement similarly focus on reducing child PTSD symptoms while restoring environmental predictability and safety (132). Cognitive behavioral therapy remains a core evidence-based treatment in this context, often supported by stable school and community environments (133). Parental communication that contextualizes war experiences has been associated with lower psychiatric stress and PTSD symptoms in offspring (134). Alternative approaches, including role play, drama, and art-based therapy, have also demonstrated potential benefits (135). Whether these symptom-focused improvements correspond with measurable changes in biological embedding, including epigenetic variation, remains unclear and represents an important direction for future research.\nEmerging evidence suggests trauma-associated epigenetic variation may influence treatment responsiveness rather than serve as a direct therapeutic target. Decreased methylation of FKBP5 intron 7 has been associated with improved response to exposure-based cognitive behavioral therapy in anxiety disorders (136). FKBP5 methylation differences have been reported across multiple trauma contexts in both survivors and offspring, raising the possibility that stress-response regulatory genes may help distinguish individuals more likely to benefit from specific interventions (38, 66, 83, 84, 136). Narrative exposure therapy has been associated with increased NR3C1 methylation in treatment responders but not in non-responders among war survivors (137). Some findings do not correspond directly with gene expression differences, suggesting that mechanisms beyond simple transcriptional regulation may contribute to treatment response (136). Integration of epigenetic profiling with established psychotherapies may help refine treatment stratification in the future, although current evidence remains preliminary.\n\n\n### Limitations and controversies\nInterpretation of multi-generational trauma research requires careful consideration of several methodological and conceptual limitations. Recurring concerns include candidate gene bias, sampling constraints, tissue specificity, temporal variability in epigenetic measurement, and the biological implication of post-fertilization epigenetic reprogramming. These factors complicate efforts to determine the stability, specificity, and functional relevance of reported epigenetic associations.\nOne of the most persistent methodological concerns is candidate gene bias. A substantial proportion of studies have focused on a limited number of stress-response genes, most notably FKBP5 and NR3C1 (55, 65, 83, 84, 121, 129). Many of these investigations examine specific loci within these genes, such as discrete intronic regions, rather than adopting an epigenome-wide approach. While hypothesis-driven candidate gene studies can provide mechanistic insight, narrow locus selection risks overemphasizing the importance of specific genes while overlooking broader regulatory networks (83, 84, 121, 129). Epigenome-wide analyses are therefore needed to reduce selection bias and more comprehensively characterize trauma-associated regulatory variation across the genome.\nParticipant sampling presents unique challenges for the evaluation of the transmission of trauma. Intergenerational humans are more common than true transgenerational studies, which often rely on animal models due to practical constraints in recruiting participants across multiple generations. Human sample sizes are frequently modest, with many studies enrolling fewer than 100 participants (38, 81, 114). Limited sample size reduces statistical power and constrains generalizability, particularly in the context of epigenetic variation, which is often subtle and influenced by numerous environmental and biological covariates. Larger, multi-site cohorts will be essential for validating reported associations and clarifying effect sizes.\nPopulation selection further complicates interpretation. Many investigations focus on historically defined trauma-exposed populations, including Holocaust survivors, Rwandan genocide survivors, and Alaska Native communities (8, 82, 98). Although these cohorts are critical for understanding trauma-related outcomes, shared ancestry and sociocultural context may introduce confounding variables. Distinguishing trauma-associated epigenetic variation from population-level background variation remains challenging. Inclusion of carefully matched control groups and replication across diverse populations are necessary to strengthen causal inference.\nTissue specificity and timing of sample collection introduce additional variability. Epigenetic regulation is highly tissue-dependent, and most human studies rely on accessible peripheral tissues such as blood, saliva, or urine (138). Methylation patterns in these tissues may not fully reflect epigenetic processes occurring in the brain or germline tissues. Moreover, epigenetic marks are dynamic and may evolve over time following trauma exposure. Differences in timing of sample collection, whether shortly after exposure or years later, can influence reported associations, making cross-study comparisons difficult. Standardization of sampling protocols and longitudinal designs would improve interpretability.\nContextual heterogeneity across trauma types also limits generalization. Even when examining the same gene, findings may differ depending on the nature of the traumatic exposure. For example, increased methylation of NR3C1 has been reported in both earthquake survivors and survivors of the Tutsi genocide, yet associations with cognitive and psychiatric outcomes differ across contexts (10, 88). These differences highlight the importance of exposure characteristics, developmental timing, and co-occurring environmental factors in shaping downstream biological and behavioral outcomes. Interpretation of locus-specific methylation differences should therefore remain context-dependent rather than generalized across trauma types.\nBeyond methodological concerns, conceptual controversy persists regarding the feasibility of transgenerational epigenetic inheritance in humans. Post-fertilization epigenetic reprogramming involves widespread DNA demethylation of paternal and maternal genomes, followed by remethylation during early embryogenesis (5). A second wave of demethylation occurs during primordial germ cell development, including erasure of many parental imprints (5). These processes raise questions about whether environmentally induced methylation changes can persist across generations. However, accumulating evidence suggests that epigenetic reprogramming is not absolute. Certain genomic regions, including imprinted loci, non-imprinted loci, and retrotransposable elements, may partially escape complete demethylation (139, 140). In addition, experimental studies demonstrate that sperm-derived small noncoding RNAs, including miRNAs, tsRNAs, and lncRNA, can transmit information about paternal stress exposure independently of stable DNA methylation changes (139, 140). These RNA-mediated pathways influence neurodevelopmental, metabolic, and stress-related phenotypes in offspring in animal models. Such findings suggest that germline transmission of trauma-related effects may involve a combination of incomplete epigenetic erasure and RNA-mediated signaling mechanisms, offering a biologically plausible framework despite extensive reprogramming.\nCandidate gene bias, limited sample size, tissue specificity, temporal variability, population heterogeneity, and ongoing debate regarding epigenetic reprogramming highlight the need for cautious interpretation. Reported associations between trauma exposure and epigenetic variation should not be equated with definitive evidence of stable transgenerational transmission. Future research will benefit from larger cohorts, epigenome-wide approaches, longitudinal sampling, and integration of molecular, clinical, and environmental data to clarify the scope and mechanisms of multi-generational trauma-related biological embedding.\n\n\n### Conclusion\nEvidence across acute, chronic, and complex trauma contexts suggests that trauma exposure may be associated with coordinated alterations in stress-response regulation, immune-inflammatory signaling, neurodevelopmental processes, metabolic pathways, and epigenetic remodeling (Figure 2). These regulatory changes are frequently described alongside shifts in caregiving behaviors and psychosocial environments, indicating that biological and relational systems may interact in shaping intergenerational vulnerability.\nPathways involved in genes with observed epigenetic changes associated with multi-generational trauma. DNA methylation, histone modification, and noncoding RNA-mediated regulation represent major epigenetic mechanisms reported across trauma contexts. Increased or decreased methylation and/or acetylation of genes involved in the HPA axis, neurodevelopmental pathways, mitochondrial regulation, energy metabolism, and embryonic development have been described in survivors and offspring. These regulatory changes are associated with variation in stress-related, psychiatric, metabolic, and inflammatory phenotypes.\nAcute traumatic events, particularly when occurring during pregnancy, are associated with stress-related and inflammatory signaling that may influence fetal developmental programming. Chronic exposures reflect cumulative physiological adaptation, often accompanied by sustained alterations in stress-regulatory and metabolic systems. Complex trauma, characterized by prolonged and severe interpersonal or collective adversity, appears associated with broader regulatory disruption across multiple interacting biological pathways. Across trauma types, offspring outcomes most consistently include increased vulnerability to anxiety, depressive symptoms, stress-related disorders, and certain chronic medical conditions.\nAlthough recurrent findings implicate genes such as NR3C1 and FKBP5, the broader pattern across studies suggests involvement of integrated regulatory networks rather than isolated loci. Trauma-associated epigenetic variation is best interpreted within a systems framework that considers developmental timing, cumulative burden, sociocultural context, and caregiving stability. Current evidence supports association rather than definitive causation, and the persistence, reversibility, and functional significance of reported epigenetic marks remain areas of active investigation.\nImportant knowledge gaps remain. Larger epigenome-wide studies, longitudinal multi-generational cohorts, and integrated analyses examining parental and offspring biological profiles alongside clearly defined behavioral outcomes are needed. Standardized frameworks for defining intergenerational and transgenerational trauma-related outcomes would also improve cross-study comparability and strengthen inference. In addition, further research is required to determine whether trauma-associated epigenetic variation reflects stable biological embedding, dynamic environmental responsiveness, or a combination of both.\nFrom a therapeutic perspective, existing interventions primarily target psychological symptoms and caregiving environments, with emerging interest in whether trauma-associated epigenetic features may function as biomarkers of vulnerability or treatment responsiveness. At present, evidence does not support direct epigenetic modification as a clinical intervention. Clarifying the role of regulatory and epigenetic variation in risk stratification, recovery, and resilience remains an important future direction.\nOverall, the available literature suggests that trauma exposure may relate to coordinated biological and psychosocial processes that extend across generations. Advancing understanding of these interactions will require continued integration of molecular, developmental, clinical, and environmental perspectives. Such work has the potential to refine prevention strategies, inform treatment selection, and improve outcomes for trauma-affected families while maintaining appropriate caution regarding causal inference.", "domain": "affective_neuroscience"}
{"source": "PMC13079516", "title": "Cerebellar Time and Relative Time: A Comparator-Based Dynamical Timing Model and its Relevance to Psychopathology and Therapies", "text": "# Cerebellar Time and Relative Time: A Comparator-Based Dynamical Timing Model and its Relevance to Psychopathology and Therapies\n\n## Abstract\nTime perception is fundamental to adaptive behavior, providing the scaffold for prediction, coordination, and learning. The cerebellum has long been recognized as a core hub for interval timing, yet its role extends beyond motor control to perceptual chronometry, reinforcement learning, and affective regulation. Here we introduce a novel framework, a Comparator-Based Dynamical Timing (CDT) model which describes distortions of subjective time as transformations that yield compression, dilation, and changes in temporal precision. In this account, subjective time is scaled by a gain factor κ. When κ > 1, subjective time dilates; when κ < 1, subjective time compresses. We synthesize convergent evidence from cerebellar anatomy, physiology, and computational modeling, and show how time distortions in psychiatric, neurodegenerative and neurodevelopmental disorders can be interpreted in the context of altered cerebellar temporal processing. We argue that cerebellar circuits operate in concert with cortical and basal ganglia oscillators in a comparator role, minimizing temporal deviation and maximizing precision. We propose that dysfunction across these interconnected networks contributes to distortions in subjective time perception observed in schizophrenia, bipolar disorder, depression, anxiety, post-traumatic stress disorder, autism spectrum disorder), and motor and movement disorders including Parkinson’s Disease. This framework provides a quantitative tool to predict and monitor the progression of psychiatric and neurodevelopmental/neurodegenerative disorders characterized by disrupted timing networks. Beyond diagnostic utility proposing an EEG-informed approach to track deviations in time perception, it also offers a translational platform for testing novel interventions, including non-invasive neuromodulation such as transcranial magnetic stimulation.\n\n## Full Text\n\n\n### Introduction\nThe ability to encode and predict temporal structure is fundamental to adaptive behavior: from coordinating movement to anticipating rewards or parsing speech, the brain must represent time with remarkable precision. Distortions of temporal perception are therefore not mere curiosity, but markers of the deep integration between neural chronometry and mental health. Subjective reports mirror this link, individuals with mania often describe time as racing, those with depression experience it as dragging, and people with schizophrenia report fragmented or disorganized temporal flow. These descriptions correspond with measurable behavioral impairments in interval estimation [1] and align with phenomenological accounts of disrupted continuity of self and consciousness in psychiatric disorders [2–6].\nNeurophysiological studies provide converging evidence that such subjective and behavioral disruptions of time perception reflect abnormalities in brain timing mechanisms. Empirical work demonstrates that the phase of ongoing oscillations predicts visual detection and awareness [7, 8], underscoring their role in coherent perception. Disruption of these synchronization mechanisms is a recurring feature of brain disorders. For example, schizophrenia shows deficits in gamma-band and long-range synchrony [9–11], bipolar disorder exhibits abnormal gamma coherence during mania [12], and major depression is associated with altered resting-state coherence [13]. Similar abnormalities in oscillatory coupling have been reported in Autism Spectrum Disorder (ASD) [14, 15], Alzheimer’s disease [16, 17], and Parkinson’s disease, where pathological beta synchrony contributes to motor symptoms [18, 19]. Together, these findings highlight phase-locked oscillations as a central mechanism for coherent cognition, and their disruption as a shared pathophysiological signature across neuropsychiatric disorders. Furthermore, these findings support the concept of a “miscalibrated” neural clock, in which oscillatory rhythms fail to maintain proper alignment, producing distorted temporal experience.\nThe “communication-through-coherence” framework provides a mechanistic account of how neuronal oscillations enable flexible routing of information across distributed brain networks. According to this model, rhythmic synchronization of local field potentials aligns periods of excitability among neuronal ensembles, effectively opening and closing temporal “windows” for synaptic input. When two regions oscillate coherently, such as the prefrontal cortex and visual or parietal areas during attention [20–22] their excitability phases align, enhancing synaptic efficacy and promoting selective information transfer. At the neuronal level, this phase alignment regulates spike timing relative to the oscillatory cycle, ensuring that incoming spikes arrive during high-excitability phases and are more likely to influence downstream targets [23, 24]. At the network level, beta- and gamma-band coherence dynamically binds neuronal populations representing different stimulus or task features, forming transient communication channels that can be reconfigured as cognitive demands change [25, 26]. In this view, oscillatory coherence acts as a neural “carrier frequency” for selective attention, decision-making, and sensory integration. Importantly, disturbances in this coherence, such as aberrant beta synchrony in Parkinson’s disease or dysregulated gamma coupling in schizophrenia, disrupt these temporal communication windows, leading to failures in perceptual binding, cognitive flexibility, and timing precision.\nAlthough the communication-through-coherence framework was initially developed primarily from neocortical recordings, converging evidence suggests that related principles may also apply to cerebellar interactions with distributed networks. In humans, cerebellar theta-band activity and cerebello-cortical coherence have been observed during visuomotor adaptation and tremor-related network states [27], consistent with task-dependent coupling between cerebellum and motor cortical regions [28]. In animal studies, Purkinje-cell activity can modulate cortico-cortical coherence [29], and disruption of inferior-olive coupling reduces complex-spike synchrony and rhythmicity[30, 31], supporting the idea that temporally coordinated cerebellar output can influence larger network dynamics. We therefore use the communication-through-coherence framework here not as a claim that all cerebellar timing is oscillation-based, but as a systems-level principle by which cerebellar timing signals may be aligned with cortical and thalamic targets.\nAt the mechanistic level, cortico-striatal-basal ganglia-thalamic circuits (CTX–BG) play a central role in neural timing, modulated by dopaminergic, glutamatergic, and GABAergic signaling [32–37]. While CTX–BG circuits have been the dominant focus of research on interval timing and temporal prediction, they do not operate in isolation. Increasing evidence indicates that precise temporal processing emerges from the interaction of multiple distributed networks, with striatal and thalamic computations requiring integration with parallel timing mechanisms.\nIn this context, the cerebellum represents a critical but often underappreciated partner. Beyond its well-established role in millisecond-level sensorimotor timing [38, 39], the cerebellum has been implicated in broader contributions to perceptual and cognitive domains of temporal prediction [40, 41. Anatomical and functional studies demonstrate reciprocal loops linking cerebellar nuclei with basal ganglia and prefrontal cortex [42–47], supporting the view that timing computations are coordinated across systems rather than confined to a single hub. Moreover, disruptions in cerebellar function produce not only motor timing deficits but also impairments in rhythm perception, predictive coding, and interval estimation [48, 49]. Importantly, such dysfunction has been increasingly implicated in psychiatric illness: cerebellar timing abnormalities have been observed in schizophrenia [50–52], and ASD [53], linking disrupted cerebellar chronometry to cognitive and affective symptoms. Thus, to fully understand the neural basis of temporal perception and its disturbance in psychiatric and neurodegenerative disorders, models of cortico-striatal–thalamic circuits must be extended to explicitly incorporate cerebellar involvement.\nTwo major computational frameworks have shaped thinking about neural timing by the cerebellum. The first emphasizes the cerebellum as a “timing machine,” generating precise delay lines and basis sets of temporal responses [54, 5557, 58]. The second highlights the basal ganglia and cortical networks, which are thought to contribute more strongly to supra-second and beat-based timing, consistent with their dopaminergic dynamics and oscillatory architecture [48, 59]. A convergent view now suggests a division of labor: the cerebellum stabilizes sub-second timing with high precision, the basal ganglia accumulate evidence over longer durations, and cortical circuits integrate temporal priors and contextual demands.\nWhat has been missing, however, is a unifying formalism for how subjective distortions of time perception arise across disorders. To address this gap, we propose the Comparator-Based Dynamical Model of Timing (CDT), a novel framework first articulated here. In this account, subjective time is scaled by a gain factor κ, which governs dilation or compression of time perception. When κ is greater than one, subjective time dilates and events feel extended; when κ is less than one, time compresses and events seem shortened. Furthermore, temporal precision P(t) is introduced as a derived quantity that informs about deviation of the gain factor κ from its ‘normal’ value, operationally set κ = 1.\nIn the sections that follow, we review evidence for cerebellar timing from anatomy, physiology, computational models, and reward/aversion systems. We then detail the CDT model, showing how it integrates these findings into a unified framework extending our understanding into subjective time experience. Finally, we demonstrate how psychiatric and neurodevelopmental disorders, including schizophrenia, bipolar disorder, depression, anxiety, PTSD, ASD, and Parkinsonism, can be understood as distortions of CDT parameters. This integration provides new testable predictions about neural chronometry and points toward therapeutic targets for neuromodulation.\n\n\n### The Cerebellum and Interval Timing\nComputational models have proposed several ways in which cerebellar circuits generate timing. Recent work posits that diversity in granule-cell response latencies, sculpted by feedforward and feedback Golgi inhibition, yields a temporally distributed basis that supports interval coding. In the input layer, Golgi cells impose fast and slow inhibitory components that differentially delay or suppress granule-cell spiking during mossy-fiber trains, broadening latency dispersion and shaping temporal windows [60, 61]. Synaptic kinetics at the mossy fiber> granule-cell synapse extend EPSC time courses and enhance temporal heterogeneity, naturally supporting a reservoir of responses across the granule-cell population [54, 62]. Complementing this, others showed that metabotropic signaling in unipolar brush cells further expand the spectral basis available for downstream learning [55, 56, 62]. In cerebellum-like circuits of the electric fish granule-cell-like elements implement a temporal basis set to predict sensory consequences of actions [57, 63]. Downstream, temporally patterned granule-cell input is converted into precisely timed spiking, where synchronous Purkinje activity can entrain millisecond-locked firing in cerebellar nuclei, providing a reliable readout of interval structure [64]. Together, these studies converge on a model in which Golgi-shaped inhibition, synaptic diversity, and granule-cell heterogeneity generate a spectral reservoir of activity that downstream cerebellar circuits can decode for interval timing. These models highlight how different subsets of granule cell activity can be recruited to represent different intervals, with the breadth of the reservoir directly corresponding to the precision (P(t)) in the CDT model.\nModern views [40, 65, 66] of cerebellar timing integrate classical Marr–Albus adaptive filter theory with contemporary anatomical and physiological findings. In the adaptive filter framework [67], the mossy fiber–granule–Golgi network acts as a phase lead–lag compensator in which granule cells provide temporally diverse basis functions and Golgi cells shape those responses through feedforward, feedback, and tonic inhibition. Importantly, we do not propose that the granule–Golgi microcircuit alone accounts for the entire milliseconds-to-seconds range through a single tunable time constant. Rather, the subsecond basis appears to arise from heterogeneous synaptic kinetics, short-term plasticity, and inhibitory filtering within the input layer, while longer temporal extension likely depends on additional mechanisms, including unipolar brush cell signaling, Purkinje-cell learning dynamics, deep nuclear integration, and recurrent olivocerebellar and cerebro-cerebellar loops. In this view, seconds-range timing emerges from the nesting of multiple mechanisms with partially overlapping temporal domains, rather than from a single microcircuit operating uniformly across all timescales. This interpretation is more consistent with available experimental data showing temporally extended granule-cell responses and modulatory control of their duration [68], while also acknowledging that evidence for multi-second timing is stronger at the level of distributed circuit interactions than at the level of any single cellular element.\nWe propose that organizing cerebellar timing mechanisms through the lens of temporal scaling offers a more coherent framework for understanding how the cerebellum influences oscillatory systems. This perspective emphasizes how shared circuit motifs can flexibly stretch or compress internal timekeeping to match behavioral demands. Tables 1 and 2 provide a summary of cerebellar timing mechanisms examined from both anatomical microcircuit perspectives and temporal scaling principles, respectively.\nTable 1Cerebellar timing mechanisms based on anatomical elementsMechanismDescriptionRepresentative referencesInferior olive couplingGap-junction synchrony provides a millisecond phase reference; degraded IO decrease the precision P(t).Llinás 2009 [69]; Bazzigaluppi et al. 2012 [70]; Wang et al. 2023 [71];Granule cell temporal basis codingMossy fiber-granule cell dynamics generate temporal basis functions for P(t) control.Medina and Mauk, 1999 [65]; Yamazaki & Tanaka 2009 [58]; D’Angelo et al. 2009 [72]; Billings et al. 2014 [73]; Barri et al., 2022 [73]; Chabrol et al., 2015 [62]; Gilmer et al., 2023 [55]; Guo et al., 2021 [56]PF–Purkinje plasticityLTD/LTP with eligibility traces aligns Purkinje pauses to conditioned intervals.Medina et al. 2000 [74]; Mauk et al., 2014 [75]; Medina et el., 2001 [76]; Suvrathan et al. 2016 [77]DCN dynamicsPurkinje pauses result in well-timed output spikes,Sudhakar, et al. 2015 [78]; Person and Raman, 2012 [79]; Person and Raman, 2011 [64]; Wu et al., 2024 [80]Cerebello–mesolimbic connectionsCerebellar projections to mesolimbic areas provide timing signals to reward and aversion systems.Carta et al. 2019 [81]; Baek et al., 2022 [82]; Washburn et al., 2024 [83, 84]; Yoshida at al., 2022 [47]; Chen et al., 2023 [85]\nCerebellar timing mechanisms based on anatomical elements\nTable 2Cerebellar timing mechanisms based on time scaling mechanismsMechanism/scaleKey anatomical substrateCore physiological signatureBehavioral expressionRepresentative evidenceSpectral/basis-set timing (ms–s)Granule–Golgi network; parallel fibers → PkCHeterogeneous, delayed/extended granule patterns as temporal basesLearned delays, interval reproductionYamazaki & Tanaka 2009 [58]; Solinas et al., 2010 [86]; D’Angelo et al., 2011 [87]; Barri et al., 2022 [54]; Chabrol et al., 2015 [62]; Gilmer et al., 2023 [55]; Guo et al., 2021 [56]PkC pause/ramp learning (100–1000 ms; seconds)PkC simple-spike output; CF instructive inputLearned pause onset/offset; population ramps to rewardEyeblink CR timing; self-timed actions; reward prediction timingJohansson & Hesslow 2014 [88]; Jirenhed & Hesslow 2011 [89]; Jirenhed & Hesslow 2011 [90]; Garcia-Garcia et al., 2024 [91]Climbing-fiber prediction errorIO → CF → PkC complex spikesCS signals unexpected US delivery/omission; expected reward magnitudeTrial-by-trial timing adjustment; associative timingOhmae & Medina 2015 [92]; Larry et al., 2019 [93]; Garcia-Garcia et al., 2024 [91]IO oscillation/phase reference (1–10 Hz)Electrically coupled IO (Cx36)Subthreshold oscillations; phase-reset; CF synchronyTemporal coordination; precision of complex spikesLlinás 2009 [69]; Xu et al., 2006 [94]; Torben-Nielsen et al., 2012, [95]; Bazzigaluppi 2012 [70]Precise disinhibition of DCNDCN (dentate/interposed/fastigial)Pauses in PC activityMovement onset timing; vigor; self-timed saccadesPerson and Raman[79],; Person and Raman[64],; Wu et al., 2024, [80]Duration- vs. beat-based timingCerebellum ↔ BG networksAbsolute interval vs. rhythmic/relative timingAuditory timing, rhythm perceptionGrube 2010 [48]; Teki 2011 [59]\nCerebellar timing mechanisms based on time scaling mechanisms\nViewed from a temporal-scaling perspective, cerebellar time coding can be understood as a nested hierarchy of mechanisms (see, Fig. 1) spanning milliseconds to seconds. Here, “nested” refers not to gross anatomical compartmentalization of a morphologically uniform cerebellar cortex, but to a hierarchy of embedded physiological mechanisms in which local microcircuit dynamics are progressively extended, read out, and recalibrated by larger recurrent loops. At the core, the mossy fiber–granule cell–Golgi cell network generates sub-second temporal basis sets through heterogeneous synaptic kinetics, short-term plasticity, and inhibitory filtering, allowing granule-cell populations to represent delayed and extended temporal patterns across tens to hundreds of milliseconds [54, 62, 91]. This basis is further expanded by unipolar brush cell–dependent metabotropic signaling within the input layer, which can prolong and diversify temporal responses into the seconds range [56]. These distributed temporal signals are then selectively weighted through parallel fiber-Purkinje cell plasticity under climbing fiber teaching signals, enabling Purkinje cells to learn precisely timed pauses, ramps, and prediction signals aligned to conditioned or expected intervals [96]. At the next level, deep cerebellar nuclei integrate these learned inhibitory patterns and convert them into temporally structured output, supported by slower adaptive dynamics that extend cerebellar timing into longer behavioral windows [97]. Finally, these local cerebellar mechanisms are embedded within broader inferior olive and cerebello-thalamo-cortical loops, where phase-resettable olivary activity and recurrent interactions with thalamus and frontal cortex support predictive timing, motor planning, and working-memory-related temporal control [98–102]. In this way, cerebellar timing is not generated by a single clock, but by a layered system in which progressively larger loops extend and calibrate temporal processing across multiple timescales.Fig. 1Nested cerebellar mechanisms for temporal scaling from milliseconds to seconds.Inner cerebellar input-layer circuits generate temporal basis functions through heterogeneous mossy fiber–granule cell synapses and Golgi-cell inhibition, supporting sub-second timing. Unipolar brush cells extend this basis into the seconds range through graded metabotropic signaling. Climbing-fiber teaching signals and Purkinje-cell plasticity select and weight these basis functions to produce appropriately timed pauses and ramps. Deep cerebellar nuclei integrate these learned patterns into temporally structured output, while inferior-olive oscillations and cortico-cerebellar-thalamic loops provide phase references and planning-related recurrence that scale cerebellar timing into delayed action and motor planning\nNested cerebellar mechanisms for temporal scaling from milliseconds to seconds.Inner cerebellar input-layer circuits generate temporal basis functions through heterogeneous mossy fiber–granule cell synapses and Golgi-cell inhibition, supporting sub-second timing. Unipolar brush cells extend this basis into the seconds range through graded metabotropic signaling. Climbing-fiber teaching signals and Purkinje-cell plasticity select and weight these basis functions to produce appropriately timed pauses and ramps. Deep cerebellar nuclei integrate these learned patterns into temporally structured output, while inferior-olive oscillations and cortico-cerebellar-thalamic loops provide phase references and planning-related recurrence that scale cerebellar timing into delayed action and motor planning\nThis hierarchical framework becomes clearer when examined through the lens of temporal scale, as different cerebellar regions and physiological mechanisms make partially distinct contributions across millisecond-to-second ranges. At the fastest scales (∼5–50 ms), dispersion of parallel-fiber conduction, feed-forward inhibition from basket/stellate cells, and kernel-shaping computations in Purkinje cells create narrow temporal windows-consistent with “delay-line”/“subtractive” schemes in which granule–molecular-layer dynamics sculpt precisely timed simple-spike patterns [103, 104]. Across tens to hundreds of milliseconds, adaptive simple-spike pauses learned via climbing-fiber teaching signals and/or intrinsically triggered cascades in Purkinje cells encode passage-of-time and set response latency, directly controlling deep-cerebellar-nucleus activity and conditioned movements [105–108]. Granule–Golgi loops and short-term plasticity act as tunable band-pass filters that retime population activity, enabling generalization of learned timing across nearby intervals [73]. At slower scales (hundreds of milliseconds to a few seconds), coherent subthreshold oscillations in the inferior olive, together with nucleo-olivary feedback, provide phase-resettable pacemakers that align climbing-fiber errors with expected event times, yielding scalable temporal prediction [69, 95]. Dentate/interposed ramping and rate dynamics then integrate these signals to support self-timed actions across sub- and supra-second ranges, unifying motor (eyeblink, pursuit, saccades) and non-motor (interval estimation) behaviors [109]. Functionally, the circuit multiplexes synchrony/spike-time with rate codes while learning to suppress output at non-reinforced moments, implementing a flexible temporal basis that is rescaled by context [104, 110].\nThe cerebellum does not generate temporal patterns in isolation; rather, its internal time domains are embedded within broader oscillatory frameworks spanning the cerebral cortex and basal ganglia. These networks share a common language of rhythmicity, although the evidence is stronger for some oscillatory regimes than others, and cerebellar oscillations have been less extensively characterized than their cortical counterparts, particularly in chronic behaving-animal preparations. By converting its timing codes into oscillatory signals, it is possible that the cerebellum both entrains and is entrained by cortical and striatal circuits, ensuring coherent temporal alignment across motor and non-motor functions. Nonetheless, recordings in awake and behaving preparations [111], together with human electrophysiology and tremor studies, support the presence of cerebellar delta-, theta-, beta-, and higher-frequency activity associated with sensorimotor processing, olivocerebellar synchrony, and cerebello-cortical coupling.\nThe logic behind linking cerebellar time codes to CTX–BG network oscillations can be understood as a translation chain in which intrinsic cerebellar mechanisms map naturally onto frequency bands (measurable by EEG) that dominate distributed neural rhythms, which in turn organize specific classes of behavior. At the millisecond range (5–50 ms), dispersion of parallel fiber conduction and feed-forward inhibition shape Purkinje cell responses into tightly defined temporal kernels [58, 104]. These windows align with the gamma band (30–80 Hz) in cortical and striatal circuits, where cycles of ~ 10–30 ms support perceptual binding and rapid motor updating [11]. At sub-second scales (100–500 ms), climbing-fiber-evoked pauses in Purkinje simple spikes and generate rhythms that couple to theta–beta activity (4–20 Hz), a frequency range central in CTX–BG loops for coordinating motor preparation, sequencing, and working memory [105, 112]. At longer scales of hundreds of milliseconds to several seconds, inferior olive neurons oscillate at 1–10 Hz and are stabilized by nucleo-olivary loops [69]. These pacemaker dynamics resonate with theta–delta activity in hippocampal, frontal, and basal ganglia networks, which underlie predictive timing, interval estimation, and reinforcement learning [113–115]. Taken together, cerebellar time codes—from millisecond kernels to multi-second oscillators-embed into CTX–BG rhythms by phase alignment, allowing the cerebellum to act as a flexible temporal bridge. This multiscale embedding ensures that motor outputs and cognitive operations are synchronized to the correct temporal context, maintaining fidelity of behavior across diverse timescales.\nThe cerebellum’s role in timing extends beyond generating precise temporal patterns; it also functions as a comparator, continuously evaluating predicted versus perceived outcomes. This concept is rooted in the most influential comparative models derived from cerebellum-like structures in weakly electric fish, where parallel fiber inputs encode contextual predictions and climbing fibers convey sensory feedback, enabling error-driven plasticity to align internal models with external reality [116, 117]. By extending this principle to mammalian cerebellum, time perception can be understood as a dynamic calibration process: cortical networks generate predictive temporal scaffolds (priors about interval duration, rhythmic regularity, or expected phase), while cerebellar circuits compare these predictions to actual sensory and motor feedback arriving via mossy and climbing fibers. One recent study has provided further support for this theory [91]. Discrepancies between expected and observed timing yield error signals that update Purkinje cell outputs, refining the temporal accuracy of cortical and basal ganglia oscillations.\nWithin this framework, the cerebellum not only produces subsecond timing kernels but also ensures alignment between predicted cortical time and experienced sensory time. This comparator function explains why cerebellar disruption impairs the fidelity of millisecond-scale prediction errors, leading to distortions in synchronization, interval reproduction, and anticipatory motor control. Conversely, intact cerebellar mechanisms allow flexible recalibration when external rhythms shift or when cortical priors are unreliable, thereby maintaining coherent integration of time across sensory, motor, and cognitive domains.\nThe cerebellum’s role in timing is not limited to motor learning. Increasing evidence implicates it in reinforcement learning and affective prediction. Climbing fibers have been shown to carry reward-prediction error signals, responding strongly to unexpected rewards and decreasing activity when expected rewards are omitted [92]. Purkinje cells in mice receive climbing fiber input that encodes both positive and negative reward prediction errors, further extending the instructive role of this system into motivational domains [118]. At the systems level, the dentate nucleus projects directly to the ventral tegmental area and nucleus accumbens, where it influences dopamine signaling and reinforcement learning [81, 82, 84]. The discovery of Purkinje→parabrachial and Purkinje→brainstem outputs add further channels through which cerebellar timing signals may be relayed into forebrain motivational circuits [85, 119]. These outputs provide convergent pathways for linking cerebellar chronometry to dopamine regulation, social behavior, and affective state.\nThe same circuits also support aversive learning. Classical eyeblink conditioning demonstrates how Purkinje cell pauses and deep nuclear disinhibition encode precisely the interval between conditioned and unconditioned aversive stimuli. Cerebellar projections to the amygdala and periaqueductal gray further highlight its role in defensive learning and fear conditioning [120].\nIn summary, the cerebellum provides both structural substrates and computational principles for interval timing. Its anatomy creates convergent and precisely recoded inputs; its physiology generates phase-locked reference signals, predictive pauses, and rebound spikes; and its computational strategies span adaptive filtering, spectral timing, and Bayesian integration. Recent advances underscore that cerebellar timing is broadcast widely through multiple efferent channels, including direct Purkinje outputs, parabrachial relays, basal ganglia modulation, and mesolimbic projections.\n\n\n### THeories of Cerebellar Time\nComputational models have proposed several ways in which cerebellar circuits generate timing. Recent work posits that diversity in granule-cell response latencies, sculpted by feedforward and feedback Golgi inhibition, yields a temporally distributed basis that supports interval coding. In the input layer, Golgi cells impose fast and slow inhibitory components that differentially delay or suppress granule-cell spiking during mossy-fiber trains, broadening latency dispersion and shaping temporal windows [60, 61]. Synaptic kinetics at the mossy fiber> granule-cell synapse extend EPSC time courses and enhance temporal heterogeneity, naturally supporting a reservoir of responses across the granule-cell population [54, 62]. Complementing this, others showed that metabotropic signaling in unipolar brush cells further expand the spectral basis available for downstream learning [55, 56, 62]. In cerebellum-like circuits of the electric fish granule-cell-like elements implement a temporal basis set to predict sensory consequences of actions [57, 63]. Downstream, temporally patterned granule-cell input is converted into precisely timed spiking, where synchronous Purkinje activity can entrain millisecond-locked firing in cerebellar nuclei, providing a reliable readout of interval structure [64]. Together, these studies converge on a model in which Golgi-shaped inhibition, synaptic diversity, and granule-cell heterogeneity generate a spectral reservoir of activity that downstream cerebellar circuits can decode for interval timing. These models highlight how different subsets of granule cell activity can be recruited to represent different intervals, with the breadth of the reservoir directly corresponding to the precision (P(t)) in the CDT model.\nModern views [40, 65, 66] of cerebellar timing integrate classical Marr–Albus adaptive filter theory with contemporary anatomical and physiological findings. In the adaptive filter framework [67], the mossy fiber–granule–Golgi network acts as a phase lead–lag compensator in which granule cells provide temporally diverse basis functions and Golgi cells shape those responses through feedforward, feedback, and tonic inhibition. Importantly, we do not propose that the granule–Golgi microcircuit alone accounts for the entire milliseconds-to-seconds range through a single tunable time constant. Rather, the subsecond basis appears to arise from heterogeneous synaptic kinetics, short-term plasticity, and inhibitory filtering within the input layer, while longer temporal extension likely depends on additional mechanisms, including unipolar brush cell signaling, Purkinje-cell learning dynamics, deep nuclear integration, and recurrent olivocerebellar and cerebro-cerebellar loops. In this view, seconds-range timing emerges from the nesting of multiple mechanisms with partially overlapping temporal domains, rather than from a single microcircuit operating uniformly across all timescales. This interpretation is more consistent with available experimental data showing temporally extended granule-cell responses and modulatory control of their duration [68], while also acknowledging that evidence for multi-second timing is stronger at the level of distributed circuit interactions than at the level of any single cellular element.\nWe propose that organizing cerebellar timing mechanisms through the lens of temporal scaling offers a more coherent framework for understanding how the cerebellum influences oscillatory systems. This perspective emphasizes how shared circuit motifs can flexibly stretch or compress internal timekeeping to match behavioral demands. Tables 1 and 2 provide a summary of cerebellar timing mechanisms examined from both anatomical microcircuit perspectives and temporal scaling principles, respectively.\nTable 1Cerebellar timing mechanisms based on anatomical elementsMechanismDescriptionRepresentative referencesInferior olive couplingGap-junction synchrony provides a millisecond phase reference; degraded IO decrease the precision P(t).Llinás 2009 [69]; Bazzigaluppi et al. 2012 [70]; Wang et al. 2023 [71];Granule cell temporal basis codingMossy fiber-granule cell dynamics generate temporal basis functions for P(t) control.Medina and Mauk, 1999 [65]; Yamazaki & Tanaka 2009 [58]; D’Angelo et al. 2009 [72]; Billings et al. 2014 [73]; Barri et al., 2022 [73]; Chabrol et al., 2015 [62]; Gilmer et al., 2023 [55]; Guo et al., 2021 [56]PF–Purkinje plasticityLTD/LTP with eligibility traces aligns Purkinje pauses to conditioned intervals.Medina et al. 2000 [74]; Mauk et al., 2014 [75]; Medina et el., 2001 [76]; Suvrathan et al. 2016 [77]DCN dynamicsPurkinje pauses result in well-timed output spikes,Sudhakar, et al. 2015 [78]; Person and Raman, 2012 [79]; Person and Raman, 2011 [64]; Wu et al., 2024 [80]Cerebello–mesolimbic connectionsCerebellar projections to mesolimbic areas provide timing signals to reward and aversion systems.Carta et al. 2019 [81]; Baek et al., 2022 [82]; Washburn et al., 2024 [83, 84]; Yoshida at al., 2022 [47]; Chen et al., 2023 [85]\nCerebellar timing mechanisms based on anatomical elements\nTable 2Cerebellar timing mechanisms based on time scaling mechanismsMechanism/scaleKey anatomical substrateCore physiological signatureBehavioral expressionRepresentative evidenceSpectral/basis-set timing (ms–s)Granule–Golgi network; parallel fibers → PkCHeterogeneous, delayed/extended granule patterns as temporal basesLearned delays, interval reproductionYamazaki & Tanaka 2009 [58]; Solinas et al., 2010 [86]; D’Angelo et al., 2011 [87]; Barri et al., 2022 [54]; Chabrol et al., 2015 [62]; Gilmer et al., 2023 [55]; Guo et al., 2021 [56]PkC pause/ramp learning (100–1000 ms; seconds)PkC simple-spike output; CF instructive inputLearned pause onset/offset; population ramps to rewardEyeblink CR timing; self-timed actions; reward prediction timingJohansson & Hesslow 2014 [88]; Jirenhed & Hesslow 2011 [89]; Jirenhed & Hesslow 2011 [90]; Garcia-Garcia et al., 2024 [91]Climbing-fiber prediction errorIO → CF → PkC complex spikesCS signals unexpected US delivery/omission; expected reward magnitudeTrial-by-trial timing adjustment; associative timingOhmae & Medina 2015 [92]; Larry et al., 2019 [93]; Garcia-Garcia et al., 2024 [91]IO oscillation/phase reference (1–10 Hz)Electrically coupled IO (Cx36)Subthreshold oscillations; phase-reset; CF synchronyTemporal coordination; precision of complex spikesLlinás 2009 [69]; Xu et al., 2006 [94]; Torben-Nielsen et al., 2012, [95]; Bazzigaluppi 2012 [70]Precise disinhibition of DCNDCN (dentate/interposed/fastigial)Pauses in PC activityMovement onset timing; vigor; self-timed saccadesPerson and Raman[79],; Person and Raman[64],; Wu et al., 2024, [80]Duration- vs. beat-based timingCerebellum ↔ BG networksAbsolute interval vs. rhythmic/relative timingAuditory timing, rhythm perceptionGrube 2010 [48]; Teki 2011 [59]\nCerebellar timing mechanisms based on time scaling mechanisms\nViewed from a temporal-scaling perspective, cerebellar time coding can be understood as a nested hierarchy of mechanisms (see, Fig. 1) spanning milliseconds to seconds. Here, “nested” refers not to gross anatomical compartmentalization of a morphologically uniform cerebellar cortex, but to a hierarchy of embedded physiological mechanisms in which local microcircuit dynamics are progressively extended, read out, and recalibrated by larger recurrent loops. At the core, the mossy fiber–granule cell–Golgi cell network generates sub-second temporal basis sets through heterogeneous synaptic kinetics, short-term plasticity, and inhibitory filtering, allowing granule-cell populations to represent delayed and extended temporal patterns across tens to hundreds of milliseconds [54, 62, 91]. This basis is further expanded by unipolar brush cell–dependent metabotropic signaling within the input layer, which can prolong and diversify temporal responses into the seconds range [56]. These distributed temporal signals are then selectively weighted through parallel fiber-Purkinje cell plasticity under climbing fiber teaching signals, enabling Purkinje cells to learn precisely timed pauses, ramps, and prediction signals aligned to conditioned or expected intervals [96]. At the next level, deep cerebellar nuclei integrate these learned inhibitory patterns and convert them into temporally structured output, supported by slower adaptive dynamics that extend cerebellar timing into longer behavioral windows [97]. Finally, these local cerebellar mechanisms are embedded within broader inferior olive and cerebello-thalamo-cortical loops, where phase-resettable olivary activity and recurrent interactions with thalamus and frontal cortex support predictive timing, motor planning, and working-memory-related temporal control [98–102]. In this way, cerebellar timing is not generated by a single clock, but by a layered system in which progressively larger loops extend and calibrate temporal processing across multiple timescales.Fig. 1Nested cerebellar mechanisms for temporal scaling from milliseconds to seconds.Inner cerebellar input-layer circuits generate temporal basis functions through heterogeneous mossy fiber–granule cell synapses and Golgi-cell inhibition, supporting sub-second timing. Unipolar brush cells extend this basis into the seconds range through graded metabotropic signaling. Climbing-fiber teaching signals and Purkinje-cell plasticity select and weight these basis functions to produce appropriately timed pauses and ramps. Deep cerebellar nuclei integrate these learned patterns into temporally structured output, while inferior-olive oscillations and cortico-cerebellar-thalamic loops provide phase references and planning-related recurrence that scale cerebellar timing into delayed action and motor planning\nNested cerebellar mechanisms for temporal scaling from milliseconds to seconds.Inner cerebellar input-layer circuits generate temporal basis functions through heterogeneous mossy fiber–granule cell synapses and Golgi-cell inhibition, supporting sub-second timing. Unipolar brush cells extend this basis into the seconds range through graded metabotropic signaling. Climbing-fiber teaching signals and Purkinje-cell plasticity select and weight these basis functions to produce appropriately timed pauses and ramps. Deep cerebellar nuclei integrate these learned patterns into temporally structured output, while inferior-olive oscillations and cortico-cerebellar-thalamic loops provide phase references and planning-related recurrence that scale cerebellar timing into delayed action and motor planning\nThis hierarchical framework becomes clearer when examined through the lens of temporal scale, as different cerebellar regions and physiological mechanisms make partially distinct contributions across millisecond-to-second ranges. At the fastest scales (∼5–50 ms), dispersion of parallel-fiber conduction, feed-forward inhibition from basket/stellate cells, and kernel-shaping computations in Purkinje cells create narrow temporal windows-consistent with “delay-line”/“subtractive” schemes in which granule–molecular-layer dynamics sculpt precisely timed simple-spike patterns [103, 104]. Across tens to hundreds of milliseconds, adaptive simple-spike pauses learned via climbing-fiber teaching signals and/or intrinsically triggered cascades in Purkinje cells encode passage-of-time and set response latency, directly controlling deep-cerebellar-nucleus activity and conditioned movements [105–108]. Granule–Golgi loops and short-term plasticity act as tunable band-pass filters that retime population activity, enabling generalization of learned timing across nearby intervals [73]. At slower scales (hundreds of milliseconds to a few seconds), coherent subthreshold oscillations in the inferior olive, together with nucleo-olivary feedback, provide phase-resettable pacemakers that align climbing-fiber errors with expected event times, yielding scalable temporal prediction [69, 95]. Dentate/interposed ramping and rate dynamics then integrate these signals to support self-timed actions across sub- and supra-second ranges, unifying motor (eyeblink, pursuit, saccades) and non-motor (interval estimation) behaviors [109]. Functionally, the circuit multiplexes synchrony/spike-time with rate codes while learning to suppress output at non-reinforced moments, implementing a flexible temporal basis that is rescaled by context [104, 110].\n\n\n### Cerebellar Time Networks and Their Embedding in Cortico–basal Ganglia Oscillatory Systems\nThe cerebellum does not generate temporal patterns in isolation; rather, its internal time domains are embedded within broader oscillatory frameworks spanning the cerebral cortex and basal ganglia. These networks share a common language of rhythmicity, although the evidence is stronger for some oscillatory regimes than others, and cerebellar oscillations have been less extensively characterized than their cortical counterparts, particularly in chronic behaving-animal preparations. By converting its timing codes into oscillatory signals, it is possible that the cerebellum both entrains and is entrained by cortical and striatal circuits, ensuring coherent temporal alignment across motor and non-motor functions. Nonetheless, recordings in awake and behaving preparations [111], together with human electrophysiology and tremor studies, support the presence of cerebellar delta-, theta-, beta-, and higher-frequency activity associated with sensorimotor processing, olivocerebellar synchrony, and cerebello-cortical coupling.\nThe logic behind linking cerebellar time codes to CTX–BG network oscillations can be understood as a translation chain in which intrinsic cerebellar mechanisms map naturally onto frequency bands (measurable by EEG) that dominate distributed neural rhythms, which in turn organize specific classes of behavior. At the millisecond range (5–50 ms), dispersion of parallel fiber conduction and feed-forward inhibition shape Purkinje cell responses into tightly defined temporal kernels [58, 104]. These windows align with the gamma band (30–80 Hz) in cortical and striatal circuits, where cycles of ~ 10–30 ms support perceptual binding and rapid motor updating [11]. At sub-second scales (100–500 ms), climbing-fiber-evoked pauses in Purkinje simple spikes and generate rhythms that couple to theta–beta activity (4–20 Hz), a frequency range central in CTX–BG loops for coordinating motor preparation, sequencing, and working memory [105, 112]. At longer scales of hundreds of milliseconds to several seconds, inferior olive neurons oscillate at 1–10 Hz and are stabilized by nucleo-olivary loops [69]. These pacemaker dynamics resonate with theta–delta activity in hippocampal, frontal, and basal ganglia networks, which underlie predictive timing, interval estimation, and reinforcement learning [113–115]. Taken together, cerebellar time codes—from millisecond kernels to multi-second oscillators-embed into CTX–BG rhythms by phase alignment, allowing the cerebellum to act as a flexible temporal bridge. This multiscale embedding ensures that motor outputs and cognitive operations are synchronized to the correct temporal context, maintaining fidelity of behavior across diverse timescales.\nThe cerebellum’s role in timing extends beyond generating precise temporal patterns; it also functions as a comparator, continuously evaluating predicted versus perceived outcomes. This concept is rooted in the most influential comparative models derived from cerebellum-like structures in weakly electric fish, where parallel fiber inputs encode contextual predictions and climbing fibers convey sensory feedback, enabling error-driven plasticity to align internal models with external reality [116, 117]. By extending this principle to mammalian cerebellum, time perception can be understood as a dynamic calibration process: cortical networks generate predictive temporal scaffolds (priors about interval duration, rhythmic regularity, or expected phase), while cerebellar circuits compare these predictions to actual sensory and motor feedback arriving via mossy and climbing fibers. One recent study has provided further support for this theory [91]. Discrepancies between expected and observed timing yield error signals that update Purkinje cell outputs, refining the temporal accuracy of cortical and basal ganglia oscillations.\nWithin this framework, the cerebellum not only produces subsecond timing kernels but also ensures alignment between predicted cortical time and experienced sensory time. This comparator function explains why cerebellar disruption impairs the fidelity of millisecond-scale prediction errors, leading to distortions in synchronization, interval reproduction, and anticipatory motor control. Conversely, intact cerebellar mechanisms allow flexible recalibration when external rhythms shift or when cortical priors are unreliable, thereby maintaining coherent integration of time across sensory, motor, and cognitive domains.\n\n\n### Reward- and Aversion-related Signals\nThe cerebellum’s role in timing is not limited to motor learning. Increasing evidence implicates it in reinforcement learning and affective prediction. Climbing fibers have been shown to carry reward-prediction error signals, responding strongly to unexpected rewards and decreasing activity when expected rewards are omitted [92]. Purkinje cells in mice receive climbing fiber input that encodes both positive and negative reward prediction errors, further extending the instructive role of this system into motivational domains [118]. At the systems level, the dentate nucleus projects directly to the ventral tegmental area and nucleus accumbens, where it influences dopamine signaling and reinforcement learning [81, 82, 84]. The discovery of Purkinje→parabrachial and Purkinje→brainstem outputs add further channels through which cerebellar timing signals may be relayed into forebrain motivational circuits [85, 119]. These outputs provide convergent pathways for linking cerebellar chronometry to dopamine regulation, social behavior, and affective state.\nThe same circuits also support aversive learning. Classical eyeblink conditioning demonstrates how Purkinje cell pauses and deep nuclear disinhibition encode precisely the interval between conditioned and unconditioned aversive stimuli. Cerebellar projections to the amygdala and periaqueductal gray further highlight its role in defensive learning and fear conditioning [120].\nIn summary, the cerebellum provides both structural substrates and computational principles for interval timing. Its anatomy creates convergent and precisely recoded inputs; its physiology generates phase-locked reference signals, predictive pauses, and rebound spikes; and its computational strategies span adaptive filtering, spectral timing, and Bayesian integration. Recent advances underscore that cerebellar timing is broadcast widely through multiple efferent channels, including direct Purkinje outputs, parabrachial relays, basal ganglia modulation, and mesolimbic projections.\n\n\n### The Comparator-Based Dynamical Model of Timing (CDT)\nNeural systems can generate subjective time distortions in which events feel compressed, elongated, or unstable. Subjective time is not absolute but relative to the neural states of distributed circuits [121]. Subjective experience of time depends on oscillatory frequency, neurotransmitter tone, coupling strength, and plasticity across cerebellar, basal ganglia, and cortical networks. Here we propose the Comparator-Based Dynamical Model of Timing (CDT) which quantifies the connection between subjective and objective time and describes the evolution of the deviation.\nThe connection between the subjective (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\varDelta\\:{t}^{\\left(s\\right)}$$\\end{document}) and the objective (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\varDelta\\:t$$\\end{document}) time interval elapsed between close events can be described by the expression:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\varDelta\\:{t}^{\\left(s\\right)}=\\kappa\\:\\left(t\\right)\\cdot\\:\\varDelta\\:t$$\\end{document}\nHere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is the time dependent gain factor which quantifies the ratio between subjective and objective time. When \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} exceeds one, subjective time dilates, and events are experienced as lasting longer than they physically do. When \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is less than one, subjective time compresses, and events are perceived as shorter. This general expression is valid for the period times \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}$$\\end{document}and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}$$\\end{document} of periodic clock signals determining the subjective and the objective time, respectively:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)=\\kappa\\:\\left(t\\right)\\cdot\\:{\\tau\\:}_{p}$$\\end{document}\nThe difference between subjective and objective time can be characterized by the absolute deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{a}\\left(t\\right)$$\\end{document} or the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document} of these period times. These quantities are defined as3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{a}\\left(t\\right)={\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)-{\\tau\\:}_{p}\\:,$$\\end{document}4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)=\\frac{{\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)-{\\tau\\:}_{p}}{{\\tau\\:}_{p}}=\\kappa\\:\\left(t\\right)-1.$$\\end{document}\nWe note that the reciprocal of the absolute value of the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{|D}_{r}\\left(t\\right)|$$\\end{document} can be considered as a quantity characterizing the precision P(t) of the timing that is5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:P\\left(t\\right)=\\frac{1}{{|D}_{r}\\left(t\\right)|\\:}$$\\end{document}.\nHigher values of P(t) indicate sharper precision while lower values of it reflect less reliable timing.\nThe regulatory mechanism of the brain strives to restore the objective timing that is it adjusts \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)$$\\end{document} so that it is equal to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}$$\\end{document}, or equivalently, it adjusts \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} so that it is equal to one. For finding a proper equation that describes the restoring dynamics it is plausible to assume the restoring force is proportional to the absolute deviation of the period times. On the other hand, the restoring dynamics should be smooth in order to avoid oscillatory behavior of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}$$\\end{document} around \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}$$\\end{document}. Accordingly, the dynamics of the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document} can be described by the following differential equation:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\frac{{d}^{2}{D}_{r}\\left(t\\right)}{{dt}^{2}}=-a{D}_{r}\\left(t\\right)-b\\frac{d{D}_{r}\\left(t\\right)}{dt}$$\\end{document}\nIn this expression the first term of the right-hand side the restoring force and the second term describes a damping force which ensures the smooth restoring of the timing. This latter term decreases the restoring force proportionally with the velocity of the changing of the absolute deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document}. In this CDT model of Eq. (6) the positive parameters a and b are determined by the time regulatory mechanism of the brain in which the cerebellum works as a comparator of the subjective and the objective timing. The actual values of these parameters can be measured in a medical experiment which monitors the evolution of the subjective time at a volunteer patient. We note the same differential equation as (6) describes the evolution of the absolute deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{a}\\left(t\\right)$$\\end{document}. The differential equation describing the evolution of the time dependent gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} can be obtained from the Eq. (6) as7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\frac{{d}^{2}\\kappa\\:\\left(t\\right)}{{dt}^{2}}=-a(\\kappa\\:\\left(t\\right)-1)-b\\frac{d\\kappa\\:\\left(t\\right)}{dt}$$\\end{document}\nA typical evolution of the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document} obtained by solving Eq. (6) for two sets of appropriately selected values of the parameters a and b is shown in Fig. 3. In this figure the restoring of the objective timing is smooth in our dynamical model. Ascending phase represents changes due to external challenges (e.g., physiological variations and pathological conditions). In the descending phase the regulatory mechanism of the brain restores smoothly the objective timing. Note that the parameters a and b together determine the characteristics of the actual time evolution, e.g. the length of the ascending and the descending phase or the steepness of the curve. In Fig. 2, the length of these phases is longer, and the steepness is lower for the curve denoted by red line.\nFig. 2Typical evolution of the relative deviation Dr(t) in the CDT model in arbitrary units. Ascending phase represents changes due to external challenges (e.g., physiological variations and pathological conditions). Descending phase evolves according to the differential equation of (6). In this phase the regulatory mechanism of the brain restores smoothly the objective timing\nTypical evolution of the relative deviation Dr(t) in the CDT model in arbitrary units. Ascending phase represents changes due to external challenges (e.g., physiological variations and pathological conditions). Descending phase evolves according to the differential equation of (6). In this phase the regulatory mechanism of the brain restores smoothly the objective timing\nIf one considers the actual regulatory mechanism of the brain behind this dynamical model the time dependent gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} can be expressed by a multi-parameter formula that reflects the contributions of different neural systems.8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{array}{c}\\:\\kappa\\:\\left(t\\right)=\\:{\\kappa\\:}_{BG}^{w_{BG}}\\left(t\\right)\\cdot{\\kappa\\:}_{CTX}^{w_{CTX}}\\left(t\\right)\\:\\cdot\\\\C\\left({\\kappa\\:}_{CBL}\\left(t\\right),\\:{\\kappa\\:}_{BG+CTX}\\left(t\\right)\\right)\\end{array}$$\\end{document}\nThis equation formalizes the gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} as the joint contribution of the corresponding weighted factor of basal ganglia \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{BG}^{{w}_{BG}}\\left(t\\right)$$\\end{document} and the one of cortex \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{CTX}^{{w}_{CTX}}\\left(t\\right)\\:$$\\end{document}dynamically corrected by a cerebellar comparator function C\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\left({\\kappa\\:}_{CBL}\\left(t\\right),\\:{\\kappa\\:}_{BG+CTX}\\left(t\\right)\\right)$$\\end{document}. This highlights the cerebellum’s role as an error-checking mechanism, adjusting the integrated CTX–BG state according to discrepancies between expected and actual timing signals. Note, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is the empirical time-dependent gain factor that in turn corresponds to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:$$\\end{document} (t) gain factor in our CDT model.\nAlternatively, a log-linear form can be proposed:9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{array}{c}\\:\\mathrm{ln}\\kappa\\:\\left(t\\right)=w_{BG}\\cdot\\:\\mathrm{ln}{\\kappa\\:}_{BG}\\left(t\\right)+w_{CTX}\\cdot\\:\\mathrm{ln}{\\kappa\\:}_{CTX}\\left(t\\right)+\\\\\\mathrm{ln}C\\left({\\kappa\\:}_{CBL}\\left(t\\right),\\:{\\kappa\\:}_{BG+CTX}\\left(t\\right)\\right)\\end{array}$$\\end{document}\nThis log-linear form shows the same principle in additive terms: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is expressed as a weighted sum of log-scaled BG and CTX contributions, plus a log-scaled correction term that encodes cerebellar prediction error. This representation emphasizes the interpretability of weights as linear coefficients and explicitly frames the cerebellum as a calibration system rather than a simple oscillator.\nAs discussed in the previous section, subsecond intervals are primarily governed by cerebellar mechanisms, supra-second intervals rely more heavily on basal ganglia accumulation, and cortical contributions modulate context, priors, and attention. This structure also captures the dissociations observed in both lesion studies and functional imaging, where cerebellar disruption impairs millisecond precision, basal ganglia disorders affect multi-second timing, and cortical damage disrupts flexible integration of temporal information [122]. See Fig. 3 for a visual summary of relative weight of sub-system across time-interval durations as it relates to time perception.\nFig. 3Relative weighting of cerebellar, basal ganglia, and cortical contributions across timescales. The functions w_CBL(τ), w_BG(τ), and w_CTX(τ) (normalized such that Σw = 1) describe the fractional influence of cerebellum, basal ganglia, and cortex, respectively, as a function of interval duration (τ). Subsecond timing (< 1 s) is dominated by cerebellar mechanisms, whereas supra-second intervals are increasingly governed by basal ganglia accumulation, with cortical contributions peaking at intermediate timescales where context, priors, and attentional modulation are most critical. The vertical dashed line marks the ~ 1 s transition between cerebellar- and basal ganglia–dominated regimes\nRelative weighting of cerebellar, basal ganglia, and cortical contributions across timescales. The functions w_CBL(τ), w_BG(τ), and w_CTX(τ) (normalized such that Σw = 1) describe the fractional influence of cerebellum, basal ganglia, and cortex, respectively, as a function of interval duration (τ). Subsecond timing (< 1 s) is dominated by cerebellar mechanisms, whereas supra-second intervals are increasingly governed by basal ganglia accumulation, with cortical contributions peaking at intermediate timescales where context, priors, and attentional modulation are most critical. The vertical dashed line marks the ~ 1 s transition between cerebellar- and basal ganglia–dominated regimes\nThe cerebellum itself offers a set of powerful levers for stabilizing κ and maximizing P. The inferior olive provides phase-coherent oscillations that synchronize climbing fiber signals across Purkinje cells, offering a millisecond-scale reference. Granule and Golgi cell networks expand and sculpt temporal bases, enabling Purkinje cells to extract predictive pauses through synaptic plasticity. Each of these processes maintains a stable κ, positioning the cerebellum as a precision engine of neural chronometry.\nAt the systems level, the CDT framework emphasizes that cerebellar computations are embedded within broader cortico–basal ganglia–cerebellar loops. Corticopontine pathways transmit α, β, and γ oscillations from cortex to mossy fibers, where they are transformed into granule cell burst patterns with heterogeneous latencies providing a temporal reservoir that downstream circuits can read out with millisecond precision [62, 64, 123–125]. Basal ganglia rhythms, especially β oscillations, influence cerebellar timing via subthalamic and thalamic relays, linking motivational and motor domains [42, 126, 127]. The inferior olive, through gap-junction synchrony, integrates these distributed inputs and imposes phase resets, with nucleo-olivary feedback providing gain control over synchrony [69, 95, 128, 129]. The cerebellar deep nuclei then broadcast these temporally structured signals to motor, cognitive, and limbic targets, embedding timing information across domains [130, 131]. The result is a low-dimensional “cerebellar time” basis that unifies cortical, basal ganglia, and cerebellar dynamics into a stable scaffold for interval and phase control [40].\nThe integration of EEG with the CDT framework could offer not only a means to quantify internal timing states but also provide a future direction to develop novel neuromodulatory clinical interventions. By continuously estimating κ, the parameter governing temporal dilation and compression, as well as estimating tempo acceleration or deceleration, one can track the shifting temporal scaffolds of neural activity in real time. When EEG rhythms such as beta bursts, theta–gamma coupling, or cerebellar-linked oscillations change systematically with behavior, these signals provide a natural readout of the CDT parameters. Such approach would effectively transform the abstract mathematics of subjective time into a clinically measurable signal [105, 132].\nFrom a therapeutic perspective, this framework invites new strategies to modulate disrupted timing networks in neuropsychiatric and movement disorders. Transcranial Magnetic Stimulation (TMS) applied to the cerebellum represents a particularly promising neuromodulatory tool because the cerebellum sits at the interface of cortical and basal ganglia oscillatory loops. Stimulating the cerebellum at low frequencies in the theta or delta range can entrain or reset olivocerebellar rhythms that normally couple with cortical networks to regulate interval timing and anticipatory behavior, a mechanism relevant for anxiety and mood disorders where future-oriented processing is dysregulated [133]. Delivering stimulation in the beta range may shift cerebellar–striatal communication, potentially alleviating the excessive beta synchrony characteristic of Parkinson’s disease that underlies bradykinesia and gait-timing disturbances [134, 135]. At higher frequencies, in the gamma domain, cerebellar TMS may restore precise temporal coordination with cortical oscillations, a mechanism relevant for schizophrenia and related disorders in which gamma synchrony and perceptual binding are disrupted [11, 136]. Recent systematic reviews have highlighted the safety and preliminary efficacy of multi-session cerebellar TMS in motor and affective disorders, largely through modulation of cerebro-cerebellar connectivity and oscillatory synchrony [137]. However, evidence in schizophrenia remains mixed. A randomized controlled trial of intensive cerebellar intermittent theta-burst stimulation (iTBS) found no significant superiority of active over sham stimulation for clinical or cognitive measures [138]. Similarly, another trial reported that while vermal iTBS enhanced fronto-cerebellar resting-state connectivity, it failed to produce clear symptom improvements [139]. These findings suggest that clinical efficacy may depend on optimized stimulation protocols, particularly coil position, frequency, and phase-locking with ongoing cortical rhythms.\nWithin the CDT framework, cerebellar TMS may operate by adjusting comparator gain and restoring synchrony across cerebellar–cortical–basal ganglia circuits. Such modulation can recalibrate the temporal gain factor (κ → 1) and increase precision (P(t)), thereby normalizing timing-dependent behavior across motor, cognitive, and affective domains. Although protocol refinement is needed, cerebellar TMS continues to offer a translational platform for restoring synchronicity and temporal coherence in disorders from Parkinsonism to PTSD. In sum, the CDT model thus provides a mathematically grounded and biologically plausible account of subjective time and it connects microcircuit physiology, systems-level interactions, and clinical phenomenology within a single framework. In subsequent sections, we show how disorders of cerebellar and distributed circuits can be interpreted as specific distortions in κ and P(t), yielding distinct temporal signatures across psychiatric and neurological conditions, as well as informs novel therapeutic interventions.\nThe CDT model provides a principled framework for understanding psychiatric and neurological disorders as systematic distortions in κ, the temporal gain parameter, and the derived parameter P(t), the precision parameter. Each disorder can be conceptualized as a unique alteration in these parameters, reflecting the underlying dysfunction of cerebellar, basal ganglia, and cortical circuits that together govern subjective time, where cerebellar circuits also exert a comparator function based on the net effects from the weight of the basal ganglia and cortical temporal signal to bring temporal distortions to zero, and subjective time to objective time (κ = 1). What follows is a brief overview of abnormalities within the CDT framework in a select major psychiatric conditions. Refer to Table 3 for hypothetical changes in specific parameters within the CDT model in various psychiatric conditions.\nTable 3Hypothetical changes of parameters in the proposed CDT model in psychiatric, neurodevelopmental, and neurodegenerative disordersCondition\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{\\boldsymbol{C}\\boldsymbol{B}\\boldsymbol{L}}$$\\end{document}\n\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{\\boldsymbol{B}\\boldsymbol{G}}$$\\end{document}\n\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{\\boldsymbol{C}\\boldsymbol{T}\\boldsymbol{X}}$$\\end{document}\nP(t)Distortion SummarySchizophreniaUnstableNormal (κ ~ 1)UnstableLowUnstable, disrupted spindles/γ synchrony; impaired IO precisionBipolar (mania)κ < 1 (compressed)Normal (κ ~ 1)κ < 1Normal/lowCompressed subsecond chronometry; accelerated cortical/striatal rhythmsBipolar (depression)Normal (κ ~ 1) or κ < 1κ > 1 (dilated)κ > 1LowDilated supra-second chronometry; β-dominant BG oscillationsMajor depressionNormal (κ ~ 1) or κ > 1κ > 1 (dilated)κ > 1LowSlowed subjective time; cerebello-limbic hyperconnectivityAnxiety/PTSDκ > 1 (threat-biased)κ > 1 (threat-biased)κ > 1LowOverestimation of aversive durations; elongated trauma recall; stress-related IO degradationAutism spectrum disorderUnstableVariableVariableUnstableMismatched multisystem timing; Purkinje loss; CB–CTX dysconnectivityParkinsonismκ < 1 (compensatory)κ ≠ 1κ > 1LowSupra-second dilation; β-band dominance in BG; partial CB compensation\nHypothetical changes of parameters in the proposed CDT model in psychiatric, neurodevelopmental, and neurodegenerative disorders\nIn schizophrenia, patients often describe fragmented or unstable temporal experiences, and behavioral studies confirm impairments in interval discrimination and temporal precision [1]. At the physiological level, reductions in spindle power (12–15 Hz), decreased gamma synchrony, and abnormal thalamocortical coupling have been widely reported [11]. These findings are consistent with NMDA receptor hypofunction and deficits in parvalbumin interneurons that destabilize oscillatory input to cerebellar circuits [140–143]. Within the CDT framework, these abnormalities decrease P(t) and destabilize κ, leading to noisy, unstable timing that align with the phenomenology of disorganized thought and temporal fragmentation.\nBipolar disorder offers a striking example of bidirectional shifts in subjective time perception: manic phases are associated with overestimation or accelerated passage of time, whereas depressive states tend to produce under-estimation or a sense that time drags [144–147]. In CDT terms, mania corresponds to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}\\:$$\\end{document}< 1, compressing subsecond chronometry through accelerated cortical and striatal rhythms, while depression corresponds to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document} > 1, dilating supra-second chronometry due to reduced dopaminergic tone. These alternating distortions of κ explain the characteristic oscillation between accelerated and slowed temporal experience across mood states.\nMajor depression is frequently associated with a slowed subjective passage of time and overestimation of intervals, as supported by quantitative syntheses and clinical studies [148–150]. Structural and functional work implicates the cerebellar vermis in affective dysregulation in major depressive disorder; volumetric abnormalities of the vermis have been reported [151], and reviews/meta-analyses highlight broader cerebellar contributions to depressive symptomatology [152]. In parallel, convergent evidence indicates reduced dopaminergic function in basal ganglia/striatal circuits in major depressive disorder, consistent with motivational slowing and altered temporal processing [153, 154]. In CDT terms, these abnormalities manifest as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document} > 1, producing dilated supra-second chronometry, and P(t) decreasing, which reduces temporal precision. Together, they explain the clinical experience of slowed, heavy, and blurred time in depression.\nAnxiety, relating to an unpredictable event, makes time pass quicker leading to underestimating the duration of temporal intervals [155]. In contrast, post-traumatic stress disorder (PTSD) is associated with temporal overestimation [156]. Patients with PTSD consistently allocate amplified attention and judge negatively-valanced stimuli as lasting longer than neutral ones [157–159]. In stress, amygdala hyperactivity, exaggerated β-band oscillations in the basal ganglia, and HPA-axis dysregulation bias chronometry toward dilation. Acute psychosocial stress reliably produces subjective time dilation (“time slows down”) and overestimation of intervals, consistent with arousal-biased chronometry [160, 161]. Mechanistically, stress elevates HPA-axis output and cortisol, which couples to changes in EEG rhythms and central arousal [162, 163] and can directly modulate slow–fast coupling [164, 165]. In parallel, stress enhances amygdala excitatory drive and functional influence on large-scale networks, providing a biological route for salience-driven pacing of perceived time [166, 167].\nWithin the basal ganglia, exaggerated β-band oscillations, prominent in dopaminergic dysregulation, are linked to slowed motor/temporal updating and can bias internal clock dynamics toward dilation [18]. Together, amygdala hyperactivity, β-dominant BG states, and HPA-axis dysregulation converge on oscillatory regimes known to slow cortical updating cycles, yielding longer perceived intervals and a shift of the subjective time scale toward dilation under stress. Stress additionally disrupts inferior olive coupling, decreasing P(t) [71]. Within the CDT model, these conditions are characterized by κ > 1 combined with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}increasing, leading to elongated recall of trauma and overestimation of threatening durations.\nIn chronic anxiety and post-traumatic stress disorder (PTSD), these adaptive mechanisms become maladaptive. Heightened amygdala activity, persistent β-band synchrony in cortico-striatal loops, and dysregulated hypothalamic–pituitary–adrenal (HPA) activity bias the system toward sustained temporal dilation and reduced temporal precision P(t), degrading anticipatory control and contextual prediction [161]. In CDT terms, this corresponds to a persistent deviation κ > 1 with elevated noise in P(t), reflecting a failure of cerebellar-limbic comparator loops to restore κ ≈ 1. Such “chronometric freezing” may explain the temporal distortions and heightened expectancy that characterize trauma-related flashbacks and hypervigilance.\nAutism spectrum disorder (ASD) is strongly linked to cerebellar pathology, with Purkinje cell loss, vermal hypoplasia, and abnormal cerebello-cortical connectivity consistently reported [168–170]. Behaviorally, individuals with ASD show difficulties with temporal predictions in both language and music, as well as speech prosody [171]. Functional MRI and TMS studies reveal disrupted synchronization between posterior cerebellum, temporoparietal junction, and medial prefrontal cortex, regions essential for joint attention, imitation, and social anticipation [169, 172, 173]. Microstructural and functional imaging studies consistently show altered connectivity between cerebellar Crus I/II and prefrontal–striatal networks, correlating with symptom severity and social responsiveness [174].\nFrom the CDT perspective, these findings reflect chronic desynchronization between cerebellar and cortical time bases, resulting in reduced temporal precision P(t) and fluctuating gain κ. Rather than producing uniform dilation or compression, ASD timing distortions manifest as temporal jitter, inconsistent timing of internal predictions relative to external events. This desynchrony impairs the cerebellum’s ability to compare expected versus perceived social cues, leading to reduced synchrony during conversation, gesture timing, and motor coordination. Within CDT, these patterns can be interpreted as unstable comparator calibration, where the cerebellum fails to maintain phase alignment between predicted and actual social-motor events. Therapeutically, cerebellar-targeted neuromodulation or training that enhances rhythmic entrainment may restore κ → 1 and stabilize P(t), supporting more synchronized perception and social interaction.\nMotor timing provides the most direct behavioral index of temporal regulation, and Parkinson’s disease (PD) exemplifies the breakdown of coordinated cerebellar–basal ganglia chronometry. PD patients exhibit both compressed and dilated subjective timing patterns depending on the interval range tested, indicating scale-dependent failures in the calibration of κ and P(t). At shorter intervals, PD patients often show temporal compression (κ < 1) and reduced precision P(t), consistent with excessive β-synchrony in cortico–basal ganglia loops and impaired desynchronization [175–177]. Functional and TMS studies show that cerebellar circuits attempt to compensate via feed-forward desynchronization [135, 178]. Behavioral tapping and time-counting paradigms reveal consistent under-estimation of intervals and slowed internal timekeeping, directly correlated with striatal dopamine depletion [179]. Within the CDT framework, PD represents a dual-domain dyschronometry: basal ganglia hypo- or hyper-synchrony drives deviations of.\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}\\:$$\\end{document}> 1, while cerebellar comparator activity is over-recruited but unable to restore κ ≈ 1. These mechanisms explain why patients with PD exhibit systematic distortions in interval timing that depend on the scale of the duration: overestimating shorter intervals while underestimating longer ones, consistent with differential effects at sub- versus supra-second timescales of timing performance [180].\nIn contrast, cerebellar ataxias and lesions degrade temporal precision P(t) more than the gain κ, producing variable, noisy timing rather than systematic acceleration or deceleration. Here, the comparator fails to align efferent predictions with afferent feedback, leading to both spatial dysmetria of movement and temporal dysmetria, fluctuating mismatches between predicted and actual sensory timing [181]. Collectively, these data support the view that movement disorders represent failures in comparator-based correction, where cerebellar and basal ganglia systems can no longer maintain coherent temporal calibration across distributed motor networks.\nTaken together, the discussions in this section support the hypothesis that psychiatric and neurological conditions can be systematically mapped onto distinct distortions in the temporal gain (κ) and precision (P(t)) parameters of the CDT model. Table 3 provides a summary on temporal dysregulation across disorders with respect to specific changes in the oscillatory systems (i.e., CB, CG, CTX) and Fig. 4 depicts an illustrative representation of the subjective experience of time.\nFig. 4Disorders shown in the Comparator-Based Dynamical Model of Timing (CDT) plotting the gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} in accordance with Eq. (8), illustrating the deviation of subjective experience of time in the patient. Schizophrenia and ASD are shown with two values as they exhibit low precision with alternating deviation of timing; bipolar disorder alternates between κ < 1 (mania, compressed) and κ > 1 (depression, dilated); major depression shows lower precision with κ > 1; anxiety/PTSD shows dilation of timing under threat; Parkinson’s disease reflects elevated κ in sub-second timing and lowered κ in supra-second timing. Larger deviation of κ from precise timing (κ = 1) yields lower precision P. Abbreviations: ASD, autism spectrum disorder; κ, temporal gain (dilation/compression); P(t), precision\nDisorders shown in the Comparator-Based Dynamical Model of Timing (CDT) plotting the gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} in accordance with Eq. (8), illustrating the deviation of subjective experience of time in the patient. Schizophrenia and ASD are shown with two values as they exhibit low precision with alternating deviation of timing; bipolar disorder alternates between κ < 1 (mania, compressed) and κ > 1 (depression, dilated); major depression shows lower precision with κ > 1; anxiety/PTSD shows dilation of timing under threat; Parkinson’s disease reflects elevated κ in sub-second timing and lowered κ in supra-second timing. Larger deviation of κ from precise timing (κ = 1) yields lower precision P. Abbreviations: ASD, autism spectrum disorder; κ, temporal gain (dilation/compression); P(t), precision\nBy aligning these theoretical mappings with empirical observations, the CDT model offers a unified quantitative framework linking microcircuit-level comparator dynamics to systems-level oscillatory desynchronization and subjective distortions of temporal experience. This integrative approach reframes diverse clinical syndromes not as discrete categories but as distinct expressions of disrupted temporal homeostasis, each reflecting a specific imbalance in how the brain predicts, compares, and synchronizes time across cerebellar, basal-ganglia, and cortical networks.\nWe propose future theoretical work for development of an EEG-informed CDT framework that would ultimately extend beyond theory to provide both diagnostic and therapeutic potential. On the diagnostic side, we envision the model provides the capacity to continuously estimate the temporal scaling (κ) and precision (P(t)) parameters and by doing it so, these measures to serve as biomarkers of altered temporal state. Abnormal fluctuations in κ may signal disruptions in predictive coding, oscillatory synchrony, or network integration that underlie psychiatric and neurodegenerative conditions such as schizophrenia, Parkinson’s disease, or major depression. Tracking these parameters longitudinally could therefore inform prognosis, stratify patient subgroups, and monitor disease progression or treatment response. Refer to Table 4 for testable predictions linking CDT parameters, behavior, and EEG/physiology.\nTable 4Testable predictions linking CDT parameters, behavior, and EEG/physiologyTaskState/Conditionκ parametersPredicted behaviorEEG/physiology readoutEyeblink conditioning (EBC, 200–500 ms ISI)Cerebellar lesion/degeneration\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}>1 (dilated) and precision decreasesLater peak CRs (conditioned responses, based on the height/amplitude ratio); poorer acquisition/precisionReduced cerebello-thalamo-cortical drive; weaker spindle effects after learningPredictive interception/sensorimotor synchronization (200–800 ms)Schizophrenia (predictive timing deficit)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}<1 (compression) + precision decreases;\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}\\:$$\\end{document}, κ < 1Early/variable responses; overestimation of paceFronto-cerebellar delta/theta disruption; timing variabilityTemporal bisection (3 s)Parkinson’s/hypo-dopamine; Depression (BD)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}, κ > 1 (dilated)Longer judged durations (rightward psychometric shift)Slower internal pace; reduced beta power/altered Individual Alpha Frequency (iIAF)Interval reproduction (1 s)Mania (BD)\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:\\approx\\:\\kappa\\:}_{BG}^{W}\\:\\cdot\\:\\:{\\kappa\\:}_{CBL}^{W}<1$$\\end{document}\nShort reproductionsiAF ↑ vs. baseline; Power Spectral Density (PSD) peaks shift up by 1/κRhythmic tapping (2–4 Hz)Cerebellar dysfunction\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{CBL}$$\\end{document}, κ > 1 and precision decreasesGreater variability (Higher Coefficient of Variation, CV), less phase lockingImpaired coupling of spindles after motor learning\nTestable predictions linking CDT parameters, behavior, and EEG/physiology\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}<1 (compression) + precision decreases;\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}\\:$$\\end{document}, κ < 1\nOn the interventional side, the same framework may be used to develop targeted strategies to actively adjust temporal dynamics (see Table 5). Because κ map onto measurable EEG rhythms, neuromodulation approaches, including transcranial magnetic stimulation (TMS), transcranial alternating current stimulation (tACS), or deep cerebellar stimulation, can be applied at rhythm-specific frequencies to shift the temporal scaffold toward more adaptive states. For example, theta-range cerebellar TMS may recalibrate anticipatory processing in anxiety, while beta- or gamma-range stimulation may counteract pathological synchrony in Parkinson’s disease or schizophrenia [182].\nTable 5Interventions for psychiatric and neurological conditions based on a theoretical EEG-informed CDT modelInterventionCDT TargetEEG Biomarker ReadoutPredicted EffectClinical RelevanceCerebellar TMS (theta–delta)P(t)Cerebellar-linked theta/delta oscillations; anticipatory contingent negative variation (CNV) slopeRestores temporal anchoring for interval timingAnxiety and mood disorders (dysregulated future-oriented processing) (Schutter & van Honk, 2009[133]Cerebellar TMS (beta)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}(basal ganglia scaling factor)Beta bursts; cerebellar–striatal couplingReduces pathological beta synchrony, improves movement initiationParkinson’s disease (bradykinesia, gait timing) (Koch et al., 2009 [135]; Ferrucci et al., 2015 [134]Cerebellar TMS (gamma)κ (network-wide temporal gain)Theta–gamma phase amplitude coupling (PAC); cortical gamma synchronyRestores perceptual binding and cognitive precisionSchizophrenia and psychotic disorders (disrupted gamma coherence) (Daskalakis et al., 2008 [182]; Uhlhaas & Singer, 2010 [11]Sleep stabilizationκ (network-wide gain stability)Cross-domain oscillatory alignment (delta, spindle-gamma coupling)Stabilizes network-wide timingDepression, mania, cognitive declineDopamine agonists\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}(basal ganglia gain)Beta/gamma power ratios, striatal beta burstsAdjusts timing balance between exploration vs. exploitationParkinson’s disease, impulsivity disordersBehavioral trainingκ (temporal dilation/compression)Task-related beta bursts, CNV slopesStrengthens adaptive time scalingRehabilitation for cerebellar ataxia, motor learning deficits (Grimaldi et al., 2014[181]\nInterventions for psychiatric and neurological conditions based on a theoretical EEG-informed CDT model\nThe broader implication is that disorders traditionally defined by motor or cognitive symptoms can be reframed in terms of altered temporal dynamics. This opens the possibility of a new class of therapies aimed not at isolated symptoms but at restoring the brain’s intrinsic clockwork across cerebellar, cortical, and basal ganglia systems.\n\n\n### Formal Description and Multi-parameter Structure\nThe connection between the subjective (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\varDelta\\:{t}^{\\left(s\\right)}$$\\end{document}) and the objective (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\varDelta\\:t$$\\end{document}) time interval elapsed between close events can be described by the expression:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\varDelta\\:{t}^{\\left(s\\right)}=\\kappa\\:\\left(t\\right)\\cdot\\:\\varDelta\\:t$$\\end{document}\nHere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is the time dependent gain factor which quantifies the ratio between subjective and objective time. When \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} exceeds one, subjective time dilates, and events are experienced as lasting longer than they physically do. When \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is less than one, subjective time compresses, and events are perceived as shorter. This general expression is valid for the period times \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}$$\\end{document}and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}$$\\end{document} of periodic clock signals determining the subjective and the objective time, respectively:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)=\\kappa\\:\\left(t\\right)\\cdot\\:{\\tau\\:}_{p}$$\\end{document}\nThe difference between subjective and objective time can be characterized by the absolute deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{a}\\left(t\\right)$$\\end{document} or the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document} of these period times. These quantities are defined as3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{a}\\left(t\\right)={\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)-{\\tau\\:}_{p}\\:,$$\\end{document}4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)=\\frac{{\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)-{\\tau\\:}_{p}}{{\\tau\\:}_{p}}=\\kappa\\:\\left(t\\right)-1.$$\\end{document}\nWe note that the reciprocal of the absolute value of the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{|D}_{r}\\left(t\\right)|$$\\end{document} can be considered as a quantity characterizing the precision P(t) of the timing that is5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:P\\left(t\\right)=\\frac{1}{{|D}_{r}\\left(t\\right)|\\:}$$\\end{document}.\nHigher values of P(t) indicate sharper precision while lower values of it reflect less reliable timing.\nThe regulatory mechanism of the brain strives to restore the objective timing that is it adjusts \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}\\left(t\\right)$$\\end{document} so that it is equal to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}$$\\end{document}, or equivalently, it adjusts \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} so that it is equal to one. For finding a proper equation that describes the restoring dynamics it is plausible to assume the restoring force is proportional to the absolute deviation of the period times. On the other hand, the restoring dynamics should be smooth in order to avoid oscillatory behavior of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}^{\\left(s\\right)}$$\\end{document} around \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\tau\\:}_{p}$$\\end{document}. Accordingly, the dynamics of the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document} can be described by the following differential equation:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\frac{{d}^{2}{D}_{r}\\left(t\\right)}{{dt}^{2}}=-a{D}_{r}\\left(t\\right)-b\\frac{d{D}_{r}\\left(t\\right)}{dt}$$\\end{document}\nIn this expression the first term of the right-hand side the restoring force and the second term describes a damping force which ensures the smooth restoring of the timing. This latter term decreases the restoring force proportionally with the velocity of the changing of the absolute deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document}. In this CDT model of Eq. (6) the positive parameters a and b are determined by the time regulatory mechanism of the brain in which the cerebellum works as a comparator of the subjective and the objective timing. The actual values of these parameters can be measured in a medical experiment which monitors the evolution of the subjective time at a volunteer patient. We note the same differential equation as (6) describes the evolution of the absolute deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{a}\\left(t\\right)$$\\end{document}. The differential equation describing the evolution of the time dependent gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} can be obtained from the Eq. (6) as7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\frac{{d}^{2}\\kappa\\:\\left(t\\right)}{{dt}^{2}}=-a(\\kappa\\:\\left(t\\right)-1)-b\\frac{d\\kappa\\:\\left(t\\right)}{dt}$$\\end{document}\nA typical evolution of the relative deviation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{D}_{r}\\left(t\\right)$$\\end{document} obtained by solving Eq. (6) for two sets of appropriately selected values of the parameters a and b is shown in Fig. 3. In this figure the restoring of the objective timing is smooth in our dynamical model. Ascending phase represents changes due to external challenges (e.g., physiological variations and pathological conditions). In the descending phase the regulatory mechanism of the brain restores smoothly the objective timing. Note that the parameters a and b together determine the characteristics of the actual time evolution, e.g. the length of the ascending and the descending phase or the steepness of the curve. In Fig. 2, the length of these phases is longer, and the steepness is lower for the curve denoted by red line.\nFig. 2Typical evolution of the relative deviation Dr(t) in the CDT model in arbitrary units. Ascending phase represents changes due to external challenges (e.g., physiological variations and pathological conditions). Descending phase evolves according to the differential equation of (6). In this phase the regulatory mechanism of the brain restores smoothly the objective timing\nTypical evolution of the relative deviation Dr(t) in the CDT model in arbitrary units. Ascending phase represents changes due to external challenges (e.g., physiological variations and pathological conditions). Descending phase evolves according to the differential equation of (6). In this phase the regulatory mechanism of the brain restores smoothly the objective timing\nIf one considers the actual regulatory mechanism of the brain behind this dynamical model the time dependent gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} can be expressed by a multi-parameter formula that reflects the contributions of different neural systems.8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{array}{c}\\:\\kappa\\:\\left(t\\right)=\\:{\\kappa\\:}_{BG}^{w_{BG}}\\left(t\\right)\\cdot{\\kappa\\:}_{CTX}^{w_{CTX}}\\left(t\\right)\\:\\cdot\\\\C\\left({\\kappa\\:}_{CBL}\\left(t\\right),\\:{\\kappa\\:}_{BG+CTX}\\left(t\\right)\\right)\\end{array}$$\\end{document}\nThis equation formalizes the gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} as the joint contribution of the corresponding weighted factor of basal ganglia \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{BG}^{{w}_{BG}}\\left(t\\right)$$\\end{document} and the one of cortex \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{CTX}^{{w}_{CTX}}\\left(t\\right)\\:$$\\end{document}dynamically corrected by a cerebellar comparator function C\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\left({\\kappa\\:}_{CBL}\\left(t\\right),\\:{\\kappa\\:}_{BG+CTX}\\left(t\\right)\\right)$$\\end{document}. This highlights the cerebellum’s role as an error-checking mechanism, adjusting the integrated CTX–BG state according to discrepancies between expected and actual timing signals. Note, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is the empirical time-dependent gain factor that in turn corresponds to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:$$\\end{document} (t) gain factor in our CDT model.\nAlternatively, a log-linear form can be proposed:9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{array}{c}\\:\\mathrm{ln}\\kappa\\:\\left(t\\right)=w_{BG}\\cdot\\:\\mathrm{ln}{\\kappa\\:}_{BG}\\left(t\\right)+w_{CTX}\\cdot\\:\\mathrm{ln}{\\kappa\\:}_{CTX}\\left(t\\right)+\\\\\\mathrm{ln}C\\left({\\kappa\\:}_{CBL}\\left(t\\right),\\:{\\kappa\\:}_{BG+CTX}\\left(t\\right)\\right)\\end{array}$$\\end{document}\nThis log-linear form shows the same principle in additive terms: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} is expressed as a weighted sum of log-scaled BG and CTX contributions, plus a log-scaled correction term that encodes cerebellar prediction error. This representation emphasizes the interpretability of weights as linear coefficients and explicitly frames the cerebellum as a calibration system rather than a simple oscillator.\nAs discussed in the previous section, subsecond intervals are primarily governed by cerebellar mechanisms, supra-second intervals rely more heavily on basal ganglia accumulation, and cortical contributions modulate context, priors, and attention. This structure also captures the dissociations observed in both lesion studies and functional imaging, where cerebellar disruption impairs millisecond precision, basal ganglia disorders affect multi-second timing, and cortical damage disrupts flexible integration of temporal information [122]. See Fig. 3 for a visual summary of relative weight of sub-system across time-interval durations as it relates to time perception.\nFig. 3Relative weighting of cerebellar, basal ganglia, and cortical contributions across timescales. The functions w_CBL(τ), w_BG(τ), and w_CTX(τ) (normalized such that Σw = 1) describe the fractional influence of cerebellum, basal ganglia, and cortex, respectively, as a function of interval duration (τ). Subsecond timing (< 1 s) is dominated by cerebellar mechanisms, whereas supra-second intervals are increasingly governed by basal ganglia accumulation, with cortical contributions peaking at intermediate timescales where context, priors, and attentional modulation are most critical. The vertical dashed line marks the ~ 1 s transition between cerebellar- and basal ganglia–dominated regimes\nRelative weighting of cerebellar, basal ganglia, and cortical contributions across timescales. The functions w_CBL(τ), w_BG(τ), and w_CTX(τ) (normalized such that Σw = 1) describe the fractional influence of cerebellum, basal ganglia, and cortex, respectively, as a function of interval duration (τ). Subsecond timing (< 1 s) is dominated by cerebellar mechanisms, whereas supra-second intervals are increasingly governed by basal ganglia accumulation, with cortical contributions peaking at intermediate timescales where context, priors, and attentional modulation are most critical. The vertical dashed line marks the ~ 1 s transition between cerebellar- and basal ganglia–dominated regimes\n\n\n### Precision and Cerebellar Levers\nThe cerebellum itself offers a set of powerful levers for stabilizing κ and maximizing P. The inferior olive provides phase-coherent oscillations that synchronize climbing fiber signals across Purkinje cells, offering a millisecond-scale reference. Granule and Golgi cell networks expand and sculpt temporal bases, enabling Purkinje cells to extract predictive pauses through synaptic plasticity. Each of these processes maintains a stable κ, positioning the cerebellum as a precision engine of neural chronometry.\nAt the systems level, the CDT framework emphasizes that cerebellar computations are embedded within broader cortico–basal ganglia–cerebellar loops. Corticopontine pathways transmit α, β, and γ oscillations from cortex to mossy fibers, where they are transformed into granule cell burst patterns with heterogeneous latencies providing a temporal reservoir that downstream circuits can read out with millisecond precision [62, 64, 123–125]. Basal ganglia rhythms, especially β oscillations, influence cerebellar timing via subthalamic and thalamic relays, linking motivational and motor domains [42, 126, 127]. The inferior olive, through gap-junction synchrony, integrates these distributed inputs and imposes phase resets, with nucleo-olivary feedback providing gain control over synchrony [69, 95, 128, 129]. The cerebellar deep nuclei then broadcast these temporally structured signals to motor, cognitive, and limbic targets, embedding timing information across domains [130, 131]. The result is a low-dimensional “cerebellar time” basis that unifies cortical, basal ganglia, and cerebellar dynamics into a stable scaffold for interval and phase control [40].\nThe integration of EEG with the CDT framework could offer not only a means to quantify internal timing states but also provide a future direction to develop novel neuromodulatory clinical interventions. By continuously estimating κ, the parameter governing temporal dilation and compression, as well as estimating tempo acceleration or deceleration, one can track the shifting temporal scaffolds of neural activity in real time. When EEG rhythms such as beta bursts, theta–gamma coupling, or cerebellar-linked oscillations change systematically with behavior, these signals provide a natural readout of the CDT parameters. Such approach would effectively transform the abstract mathematics of subjective time into a clinically measurable signal [105, 132].\nFrom a therapeutic perspective, this framework invites new strategies to modulate disrupted timing networks in neuropsychiatric and movement disorders. Transcranial Magnetic Stimulation (TMS) applied to the cerebellum represents a particularly promising neuromodulatory tool because the cerebellum sits at the interface of cortical and basal ganglia oscillatory loops. Stimulating the cerebellum at low frequencies in the theta or delta range can entrain or reset olivocerebellar rhythms that normally couple with cortical networks to regulate interval timing and anticipatory behavior, a mechanism relevant for anxiety and mood disorders where future-oriented processing is dysregulated [133]. Delivering stimulation in the beta range may shift cerebellar–striatal communication, potentially alleviating the excessive beta synchrony characteristic of Parkinson’s disease that underlies bradykinesia and gait-timing disturbances [134, 135]. At higher frequencies, in the gamma domain, cerebellar TMS may restore precise temporal coordination with cortical oscillations, a mechanism relevant for schizophrenia and related disorders in which gamma synchrony and perceptual binding are disrupted [11, 136]. Recent systematic reviews have highlighted the safety and preliminary efficacy of multi-session cerebellar TMS in motor and affective disorders, largely through modulation of cerebro-cerebellar connectivity and oscillatory synchrony [137]. However, evidence in schizophrenia remains mixed. A randomized controlled trial of intensive cerebellar intermittent theta-burst stimulation (iTBS) found no significant superiority of active over sham stimulation for clinical or cognitive measures [138]. Similarly, another trial reported that while vermal iTBS enhanced fronto-cerebellar resting-state connectivity, it failed to produce clear symptom improvements [139]. These findings suggest that clinical efficacy may depend on optimized stimulation protocols, particularly coil position, frequency, and phase-locking with ongoing cortical rhythms.\nWithin the CDT framework, cerebellar TMS may operate by adjusting comparator gain and restoring synchrony across cerebellar–cortical–basal ganglia circuits. Such modulation can recalibrate the temporal gain factor (κ → 1) and increase precision (P(t)), thereby normalizing timing-dependent behavior across motor, cognitive, and affective domains. Although protocol refinement is needed, cerebellar TMS continues to offer a translational platform for restoring synchronicity and temporal coherence in disorders from Parkinsonism to PTSD. In sum, the CDT model thus provides a mathematically grounded and biologically plausible account of subjective time and it connects microcircuit physiology, systems-level interactions, and clinical phenomenology within a single framework. In subsequent sections, we show how disorders of cerebellar and distributed circuits can be interpreted as specific distortions in κ and P(t), yielding distinct temporal signatures across psychiatric and neurological conditions, as well as informs novel therapeutic interventions.\n\n\n### Psychopathologies as CDT Parameter Distortions\nThe CDT model provides a principled framework for understanding psychiatric and neurological disorders as systematic distortions in κ, the temporal gain parameter, and the derived parameter P(t), the precision parameter. Each disorder can be conceptualized as a unique alteration in these parameters, reflecting the underlying dysfunction of cerebellar, basal ganglia, and cortical circuits that together govern subjective time, where cerebellar circuits also exert a comparator function based on the net effects from the weight of the basal ganglia and cortical temporal signal to bring temporal distortions to zero, and subjective time to objective time (κ = 1). What follows is a brief overview of abnormalities within the CDT framework in a select major psychiatric conditions. Refer to Table 3 for hypothetical changes in specific parameters within the CDT model in various psychiatric conditions.\nTable 3Hypothetical changes of parameters in the proposed CDT model in psychiatric, neurodevelopmental, and neurodegenerative disordersCondition\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{\\boldsymbol{C}\\boldsymbol{B}\\boldsymbol{L}}$$\\end{document}\n\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{\\boldsymbol{B}\\boldsymbol{G}}$$\\end{document}\n\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{\\boldsymbol{C}\\boldsymbol{T}\\boldsymbol{X}}$$\\end{document}\nP(t)Distortion SummarySchizophreniaUnstableNormal (κ ~ 1)UnstableLowUnstable, disrupted spindles/γ synchrony; impaired IO precisionBipolar (mania)κ < 1 (compressed)Normal (κ ~ 1)κ < 1Normal/lowCompressed subsecond chronometry; accelerated cortical/striatal rhythmsBipolar (depression)Normal (κ ~ 1) or κ < 1κ > 1 (dilated)κ > 1LowDilated supra-second chronometry; β-dominant BG oscillationsMajor depressionNormal (κ ~ 1) or κ > 1κ > 1 (dilated)κ > 1LowSlowed subjective time; cerebello-limbic hyperconnectivityAnxiety/PTSDκ > 1 (threat-biased)κ > 1 (threat-biased)κ > 1LowOverestimation of aversive durations; elongated trauma recall; stress-related IO degradationAutism spectrum disorderUnstableVariableVariableUnstableMismatched multisystem timing; Purkinje loss; CB–CTX dysconnectivityParkinsonismκ < 1 (compensatory)κ ≠ 1κ > 1LowSupra-second dilation; β-band dominance in BG; partial CB compensation\nHypothetical changes of parameters in the proposed CDT model in psychiatric, neurodevelopmental, and neurodegenerative disorders\n\n\n### Schizophrenia\nIn schizophrenia, patients often describe fragmented or unstable temporal experiences, and behavioral studies confirm impairments in interval discrimination and temporal precision [1]. At the physiological level, reductions in spindle power (12–15 Hz), decreased gamma synchrony, and abnormal thalamocortical coupling have been widely reported [11]. These findings are consistent with NMDA receptor hypofunction and deficits in parvalbumin interneurons that destabilize oscillatory input to cerebellar circuits [140–143]. Within the CDT framework, these abnormalities decrease P(t) and destabilize κ, leading to noisy, unstable timing that align with the phenomenology of disorganized thought and temporal fragmentation.\n\n\n### Bipolar Disorder\nBipolar disorder offers a striking example of bidirectional shifts in subjective time perception: manic phases are associated with overestimation or accelerated passage of time, whereas depressive states tend to produce under-estimation or a sense that time drags [144–147]. In CDT terms, mania corresponds to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}\\:$$\\end{document}< 1, compressing subsecond chronometry through accelerated cortical and striatal rhythms, while depression corresponds to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document} > 1, dilating supra-second chronometry due to reduced dopaminergic tone. These alternating distortions of κ explain the characteristic oscillation between accelerated and slowed temporal experience across mood states.\n\n\n### Major Depression\nMajor depression is frequently associated with a slowed subjective passage of time and overestimation of intervals, as supported by quantitative syntheses and clinical studies [148–150]. Structural and functional work implicates the cerebellar vermis in affective dysregulation in major depressive disorder; volumetric abnormalities of the vermis have been reported [151], and reviews/meta-analyses highlight broader cerebellar contributions to depressive symptomatology [152]. In parallel, convergent evidence indicates reduced dopaminergic function in basal ganglia/striatal circuits in major depressive disorder, consistent with motivational slowing and altered temporal processing [153, 154]. In CDT terms, these abnormalities manifest as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document} > 1, producing dilated supra-second chronometry, and P(t) decreasing, which reduces temporal precision. Together, they explain the clinical experience of slowed, heavy, and blurred time in depression.\n\n\n### Anxiety, Stress and PTSD\nAnxiety, relating to an unpredictable event, makes time pass quicker leading to underestimating the duration of temporal intervals [155]. In contrast, post-traumatic stress disorder (PTSD) is associated with temporal overestimation [156]. Patients with PTSD consistently allocate amplified attention and judge negatively-valanced stimuli as lasting longer than neutral ones [157–159]. In stress, amygdala hyperactivity, exaggerated β-band oscillations in the basal ganglia, and HPA-axis dysregulation bias chronometry toward dilation. Acute psychosocial stress reliably produces subjective time dilation (“time slows down”) and overestimation of intervals, consistent with arousal-biased chronometry [160, 161]. Mechanistically, stress elevates HPA-axis output and cortisol, which couples to changes in EEG rhythms and central arousal [162, 163] and can directly modulate slow–fast coupling [164, 165]. In parallel, stress enhances amygdala excitatory drive and functional influence on large-scale networks, providing a biological route for salience-driven pacing of perceived time [166, 167].\nWithin the basal ganglia, exaggerated β-band oscillations, prominent in dopaminergic dysregulation, are linked to slowed motor/temporal updating and can bias internal clock dynamics toward dilation [18]. Together, amygdala hyperactivity, β-dominant BG states, and HPA-axis dysregulation converge on oscillatory regimes known to slow cortical updating cycles, yielding longer perceived intervals and a shift of the subjective time scale toward dilation under stress. Stress additionally disrupts inferior olive coupling, decreasing P(t) [71]. Within the CDT model, these conditions are characterized by κ > 1 combined with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}increasing, leading to elongated recall of trauma and overestimation of threatening durations.\nIn chronic anxiety and post-traumatic stress disorder (PTSD), these adaptive mechanisms become maladaptive. Heightened amygdala activity, persistent β-band synchrony in cortico-striatal loops, and dysregulated hypothalamic–pituitary–adrenal (HPA) activity bias the system toward sustained temporal dilation and reduced temporal precision P(t), degrading anticipatory control and contextual prediction [161]. In CDT terms, this corresponds to a persistent deviation κ > 1 with elevated noise in P(t), reflecting a failure of cerebellar-limbic comparator loops to restore κ ≈ 1. Such “chronometric freezing” may explain the temporal distortions and heightened expectancy that characterize trauma-related flashbacks and hypervigilance.\n\n\n### Autism Spectrum Disorder (ASD)\nAutism spectrum disorder (ASD) is strongly linked to cerebellar pathology, with Purkinje cell loss, vermal hypoplasia, and abnormal cerebello-cortical connectivity consistently reported [168–170]. Behaviorally, individuals with ASD show difficulties with temporal predictions in both language and music, as well as speech prosody [171]. Functional MRI and TMS studies reveal disrupted synchronization between posterior cerebellum, temporoparietal junction, and medial prefrontal cortex, regions essential for joint attention, imitation, and social anticipation [169, 172, 173]. Microstructural and functional imaging studies consistently show altered connectivity between cerebellar Crus I/II and prefrontal–striatal networks, correlating with symptom severity and social responsiveness [174].\nFrom the CDT perspective, these findings reflect chronic desynchronization between cerebellar and cortical time bases, resulting in reduced temporal precision P(t) and fluctuating gain κ. Rather than producing uniform dilation or compression, ASD timing distortions manifest as temporal jitter, inconsistent timing of internal predictions relative to external events. This desynchrony impairs the cerebellum’s ability to compare expected versus perceived social cues, leading to reduced synchrony during conversation, gesture timing, and motor coordination. Within CDT, these patterns can be interpreted as unstable comparator calibration, where the cerebellum fails to maintain phase alignment between predicted and actual social-motor events. Therapeutically, cerebellar-targeted neuromodulation or training that enhances rhythmic entrainment may restore κ → 1 and stabilize P(t), supporting more synchronized perception and social interaction.\n\n\n### Motor and Movement Disorders\nMotor timing provides the most direct behavioral index of temporal regulation, and Parkinson’s disease (PD) exemplifies the breakdown of coordinated cerebellar–basal ganglia chronometry. PD patients exhibit both compressed and dilated subjective timing patterns depending on the interval range tested, indicating scale-dependent failures in the calibration of κ and P(t). At shorter intervals, PD patients often show temporal compression (κ < 1) and reduced precision P(t), consistent with excessive β-synchrony in cortico–basal ganglia loops and impaired desynchronization [175–177]. Functional and TMS studies show that cerebellar circuits attempt to compensate via feed-forward desynchronization [135, 178]. Behavioral tapping and time-counting paradigms reveal consistent under-estimation of intervals and slowed internal timekeeping, directly correlated with striatal dopamine depletion [179]. Within the CDT framework, PD represents a dual-domain dyschronometry: basal ganglia hypo- or hyper-synchrony drives deviations of.\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}\\:$$\\end{document}> 1, while cerebellar comparator activity is over-recruited but unable to restore κ ≈ 1. These mechanisms explain why patients with PD exhibit systematic distortions in interval timing that depend on the scale of the duration: overestimating shorter intervals while underestimating longer ones, consistent with differential effects at sub- versus supra-second timescales of timing performance [180].\nIn contrast, cerebellar ataxias and lesions degrade temporal precision P(t) more than the gain κ, producing variable, noisy timing rather than systematic acceleration or deceleration. Here, the comparator fails to align efferent predictions with afferent feedback, leading to both spatial dysmetria of movement and temporal dysmetria, fluctuating mismatches between predicted and actual sensory timing [181]. Collectively, these data support the view that movement disorders represent failures in comparator-based correction, where cerebellar and basal ganglia systems can no longer maintain coherent temporal calibration across distributed motor networks.\n\n\n### Summary: Temporal Dysregulation Across Disorders\nTaken together, the discussions in this section support the hypothesis that psychiatric and neurological conditions can be systematically mapped onto distinct distortions in the temporal gain (κ) and precision (P(t)) parameters of the CDT model. Table 3 provides a summary on temporal dysregulation across disorders with respect to specific changes in the oscillatory systems (i.e., CB, CG, CTX) and Fig. 4 depicts an illustrative representation of the subjective experience of time.\nFig. 4Disorders shown in the Comparator-Based Dynamical Model of Timing (CDT) plotting the gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} in accordance with Eq. (8), illustrating the deviation of subjective experience of time in the patient. Schizophrenia and ASD are shown with two values as they exhibit low precision with alternating deviation of timing; bipolar disorder alternates between κ < 1 (mania, compressed) and κ > 1 (depression, dilated); major depression shows lower precision with κ > 1; anxiety/PTSD shows dilation of timing under threat; Parkinson’s disease reflects elevated κ in sub-second timing and lowered κ in supra-second timing. Larger deviation of κ from precise timing (κ = 1) yields lower precision P. Abbreviations: ASD, autism spectrum disorder; κ, temporal gain (dilation/compression); P(t), precision\nDisorders shown in the Comparator-Based Dynamical Model of Timing (CDT) plotting the gain factor \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:\\kappa\\:\\left(t\\right)$$\\end{document} in accordance with Eq. (8), illustrating the deviation of subjective experience of time in the patient. Schizophrenia and ASD are shown with two values as they exhibit low precision with alternating deviation of timing; bipolar disorder alternates between κ < 1 (mania, compressed) and κ > 1 (depression, dilated); major depression shows lower precision with κ > 1; anxiety/PTSD shows dilation of timing under threat; Parkinson’s disease reflects elevated κ in sub-second timing and lowered κ in supra-second timing. Larger deviation of κ from precise timing (κ = 1) yields lower precision P. Abbreviations: ASD, autism spectrum disorder; κ, temporal gain (dilation/compression); P(t), precision\nBy aligning these theoretical mappings with empirical observations, the CDT model offers a unified quantitative framework linking microcircuit-level comparator dynamics to systems-level oscillatory desynchronization and subjective distortions of temporal experience. This integrative approach reframes diverse clinical syndromes not as discrete categories but as distinct expressions of disrupted temporal homeostasis, each reflecting a specific imbalance in how the brain predicts, compares, and synchronizes time across cerebellar, basal-ganglia, and cortical networks.\n\n\n### EEG-Informed CDT as a Diagnostic and Interventional Framework\nWe propose future theoretical work for development of an EEG-informed CDT framework that would ultimately extend beyond theory to provide both diagnostic and therapeutic potential. On the diagnostic side, we envision the model provides the capacity to continuously estimate the temporal scaling (κ) and precision (P(t)) parameters and by doing it so, these measures to serve as biomarkers of altered temporal state. Abnormal fluctuations in κ may signal disruptions in predictive coding, oscillatory synchrony, or network integration that underlie psychiatric and neurodegenerative conditions such as schizophrenia, Parkinson’s disease, or major depression. Tracking these parameters longitudinally could therefore inform prognosis, stratify patient subgroups, and monitor disease progression or treatment response. Refer to Table 4 for testable predictions linking CDT parameters, behavior, and EEG/physiology.\nTable 4Testable predictions linking CDT parameters, behavior, and EEG/physiologyTaskState/Conditionκ parametersPredicted behaviorEEG/physiology readoutEyeblink conditioning (EBC, 200–500 ms ISI)Cerebellar lesion/degeneration\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}>1 (dilated) and precision decreasesLater peak CRs (conditioned responses, based on the height/amplitude ratio); poorer acquisition/precisionReduced cerebello-thalamo-cortical drive; weaker spindle effects after learningPredictive interception/sensorimotor synchronization (200–800 ms)Schizophrenia (predictive timing deficit)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}<1 (compression) + precision decreases;\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}\\:$$\\end{document}, κ < 1Early/variable responses; overestimation of paceFronto-cerebellar delta/theta disruption; timing variabilityTemporal bisection (3 s)Parkinson’s/hypo-dopamine; Depression (BD)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}, κ > 1 (dilated)Longer judged durations (rightward psychometric shift)Slower internal pace; reduced beta power/altered Individual Alpha Frequency (iIAF)Interval reproduction (1 s)Mania (BD)\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:\\approx\\:\\kappa\\:}_{BG}^{W}\\:\\cdot\\:\\:{\\kappa\\:}_{CBL}^{W}<1$$\\end{document}\nShort reproductionsiAF ↑ vs. baseline; Power Spectral Density (PSD) peaks shift up by 1/κRhythmic tapping (2–4 Hz)Cerebellar dysfunction\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{CBL}$$\\end{document}, κ > 1 and precision decreasesGreater variability (Higher Coefficient of Variation, CV), less phase lockingImpaired coupling of spindles after motor learning\nTestable predictions linking CDT parameters, behavior, and EEG/physiology\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{C}{B}{L}}$$\\end{document}<1 (compression) + precision decreases;\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}\\:$$\\end{document}, κ < 1\nOn the interventional side, the same framework may be used to develop targeted strategies to actively adjust temporal dynamics (see Table 5). Because κ map onto measurable EEG rhythms, neuromodulation approaches, including transcranial magnetic stimulation (TMS), transcranial alternating current stimulation (tACS), or deep cerebellar stimulation, can be applied at rhythm-specific frequencies to shift the temporal scaffold toward more adaptive states. For example, theta-range cerebellar TMS may recalibrate anticipatory processing in anxiety, while beta- or gamma-range stimulation may counteract pathological synchrony in Parkinson’s disease or schizophrenia [182].\nTable 5Interventions for psychiatric and neurological conditions based on a theoretical EEG-informed CDT modelInterventionCDT TargetEEG Biomarker ReadoutPredicted EffectClinical RelevanceCerebellar TMS (theta–delta)P(t)Cerebellar-linked theta/delta oscillations; anticipatory contingent negative variation (CNV) slopeRestores temporal anchoring for interval timingAnxiety and mood disorders (dysregulated future-oriented processing) (Schutter & van Honk, 2009[133]Cerebellar TMS (beta)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}(basal ganglia scaling factor)Beta bursts; cerebellar–striatal couplingReduces pathological beta synchrony, improves movement initiationParkinson’s disease (bradykinesia, gait timing) (Koch et al., 2009 [135]; Ferrucci et al., 2015 [134]Cerebellar TMS (gamma)κ (network-wide temporal gain)Theta–gamma phase amplitude coupling (PAC); cortical gamma synchronyRestores perceptual binding and cognitive precisionSchizophrenia and psychotic disorders (disrupted gamma coherence) (Daskalakis et al., 2008 [182]; Uhlhaas & Singer, 2010 [11]Sleep stabilizationκ (network-wide gain stability)Cross-domain oscillatory alignment (delta, spindle-gamma coupling)Stabilizes network-wide timingDepression, mania, cognitive declineDopamine agonists\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}(basal ganglia gain)Beta/gamma power ratios, striatal beta burstsAdjusts timing balance between exploration vs. exploitationParkinson’s disease, impulsivity disordersBehavioral trainingκ (temporal dilation/compression)Task-related beta bursts, CNV slopesStrengthens adaptive time scalingRehabilitation for cerebellar ataxia, motor learning deficits (Grimaldi et al., 2014[181]\nInterventions for psychiatric and neurological conditions based on a theoretical EEG-informed CDT model\nThe broader implication is that disorders traditionally defined by motor or cognitive symptoms can be reframed in terms of altered temporal dynamics. This opens the possibility of a new class of therapies aimed not at isolated symptoms but at restoring the brain’s intrinsic clockwork across cerebellar, cortical, and basal ganglia systems.\n\n\n### Conclusions and Future Directions\nTime perception is a fundamental computation of the nervous system, essential not only for motor coordination but also for cognition, affect, and social behavior. The cerebellum, long considered a specialized motor timing structure, is now recognized as a hub of interval timing across diverse domains. Its architecture and physiology make it uniquely suited to stabilize temporal precision, minimize noise, and synchronize neural chronometry with external events.\nIn this paper, we introduced the CDT model, a novel framework first proposed here. Building on mathematical models, the CDT model formalizes subjective time as a transformation of objective duration. A gain factor κ determines whether subjective time is dilated or compressed, while a P(t) parameter specifies the precision or noisiness of temporal estimates. Together, these parameters capture both distortions and variability of temporal experience. In its multi-parameter form, the model incorporates cerebellar, basal ganglia, and cortical contributions into the gain factor κ that dynamically shifts across timescales and task contexts.\nThe cerebellum emerges in this framework as a precision engine as well as a comparator for normalization of deviation between predicted and actual timing structure of all involved neural oscillators. Inferior olive synchrony provides a coherent temporal reference, granule–Golgi networks generate basis sets of temporal latencies, Purkinje cell plasticity converts these bases into predictive pauses, and deep cerebellar nuclei transform them into temporally aligned outputs. These mechanisms maximize P(t) and stabilize κ across motor, perceptual, and cognitive contexts. At the systems level, corticopontine inputs funnel cortical oscillations into cerebellar timing, while basal ganglia rhythms and dopaminergic dynamics contribute supra-second accumulation. The integration of these loops allows cerebellum, basal ganglia, and cortex to jointly regulate subjective time.\nThe CDT framework generates a number of testable predictions. If inferior olive coupling increases P(t), then manipulations that enhance gap-junction synchrony should improve temporal precision, while disruptions should decrease timing precision. If basal ganglia dopamine modulates \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\:{\\kappa\\:}_{{B}{G}}$$\\end{document}, then pharmacological or neuromodulatory interventions systematically bias supra-second timing toward dilation or compression. Cerebello-mesolimbic projections to the ventral tegmental area and nucleus accumbens suggest that cerebellar timing directly shapes reward chronometry, linking κ to reinforcement salience. Sleep, which restores spindle coherence and cerebello-thalamic connectivity, may recalibrate κ after perturbation, predicting that sleep deprivation should degrade temporal stability. Finally, psychiatric and neurological conditions should each exhibit distinct κ –P(t)κ fingerprints that can be measured behaviorally and with neuroimaging.\nThese insights have translational implications. By identifying how clinical time distortions map onto CDT parameters, the framework points to new biomarkers and therapeutic targets. Interventions that increase P(t), such as cerebellar neuromodulation or stimulation of inferior olive circuits, may alleviate disorders characterized by noisy timing. Treatments that adjust κ, such as dopaminergic agents or cortical rhythm modulation, may correct distorted chronometry in mood and movement disorders.\nIn conclusion, the CDT model provides a unified theoretical and biological framework for subjective time. By linking microcircuit mechanisms, distributed oscillatory loops, and clinical phenomenology, it offers a pathway toward a mechanistic account of temporal experience. Future research integrating systems neuroscience, computational modeling, psychiatry, and even theoretical physics may further refine this model, moving us closer to a quantitative science of subjective time—one that not only explains psychiatric distortions but also resonates with broader philosophical accounts of time as relational and emergent rather than absolute.", "domain": "affective_neuroscience"}
{"source": "PMC13074004", "title": "A System-Level Perspective on Epstein–Barr Virus Persistence: The Partial Lytic Reactivation", "text": "# A System-Level Perspective on Epstein–Barr Virus Persistence: The Partial Lytic Reactivation\n\n## Abstract\nEpstein–Barr virus (EBV) establishes lifelong infection in most humans, yet its biology in immunocompetent hosts is commonly framed as a binary alternation between latency and productive lytic replication. Accumulating molecular and single-cell evidence challenges this view, indicating that EBV frequently enters abortive forms of lytic reactivation that do not culminate in virion production. Here, we propose a conceptual framework in which EBV persistence is governed by feedback-regulated interactions and permissive conditions for reactivation rather than a strictly sequential life cycle. Immediate-early and early gene expression can be repeatedly induced by inflammatory signaling, cellular stress, and epigenetic changes. However, progression to viral DNA replication represents a highly functional barrier that likely requires the coordinated convergence of multiple viral and host conditions. Failure to reach this threshold arrests reactivation before late gene expression, generating a stable partial lytic state characterized by sustained immunomodulatory viral protein expression without the production of infectious particles. Immune surveillance reinforces this bottleneck by eliminating cells undergoing full lytic replication while sparing those stalled in early phases. We argue that EBV persistence reflects a dynamic equilibrium shaped by regulatory interactions between viral gene expression and host immunity, with implications for biomarker interpretation and therapeutic strategies in chronic inflammatory and autoimmune disease.\n\n## Full Text\n\n\n### 1. Introduction\nThe Epstein–Barr virus (EBV) is one of the most widespread human viruses and has been implicated in a broad spectrum of clinical manifestations across diverse patient populations. Despite its near-universal prevalence, modern medicine remains limited in its ability to accurately diagnose ongoing EBV activity or to establish clear causal links between viral reactivation and many associated diseases, particularly those with mild, fluctuating, or chronic courses. Epidemiological and experimental studies have reported associations between EBV and multiple sclerosis [1,2,3,4], rheumatoid arthritis [5,6,7], Sjogren’s syndrome [5,7], systemic lupus erythematosus [7,8], fibromyalgia [9,10], Hashimoto thyroiditis [11,12,13] and hemophagocytic lymphohistiocytosis [14,15]. EBV is also reported to be one of the viral causes of acute uveitis and acute retinal necrosis [16,17,18]. While the mechanisms linking EBV to severe clinical outcomes such as chronic active EBV disease (CAEBV) and EBV-associated malignancies are increasingly well characterized, the biological significance of milder, transient viral reactivations and low-level chronic activation remains poorly understood. Population studies suggest that this virus is detected in plasma in a transient or chronic state of excitation in a few percent of the population [19,20,21,22] and this part of population is the main current challenge for medicine and the main point of interest in the current work. In particular, it is unclear how such forms of EBV activity might persist despite immune surveillance and contribute to long-term immune dysregulation and autoimmune pathology.\nThis review examines the emerging concept of partial (abortive) viral reactivation as a key mechanism underlying chronic EBV persistence. Such states are characterized by incomplete immune clearance accompanied by substantial alterations in intracellular metabolism and immune signaling, without progression to full productive infection. The focus of this review is on partial lytic reactivation as a frequent yet underappreciated mode of EBV activity that functionally bridges latency and productive replication, providing a conceptual framework for understanding how EBV can remain biologically active while largely escaping conventional diagnostic detection. In this article, we use the term partial lytic reactivation to emphasize that this state represents a regulated and recurrent configuration rather than a failed lytic attempt.\nAlthough abortive lytic reactivation has been previously described, it is typically treated as a transient or incomplete phenomenon rather than a central feature of EBV biology. Here, we propose a system-level perspective in which partial lytic reactivation constitutes a predominant and dynamically regulated state that links latency and productive replication. Within this framework, EBV persistence is viewed not as a binary switch but as a continuum of states shaped by interactions between viral gene expression programs, host immune responses, and cellular metabolic conditions. This conceptual framework provides a unifying interpretation of chronic low-level viral activity and its potential contribution to immune dysregulation and inflammatory or autoimmune diseases.\nImportantly, this framework generates specific testable predictions. It suggests that a significant proportion of EBV-infected cells in vivo may reside in partial lytic states characterized by early lytic gene expression without full virion production. It further implies that such abortive activity may play a disproportionately important role in sustaining viral persistence and modulating host immune responses. Finally, it indicates that the detection of early lytic transcripts, rather than viral DNA alone, may provide a more sensitive approach for identifying subclinical EBV activity. This conceptual framework also provides a basis for future quantitative and mathematical modeling of EBV persistence dynamics. The interactions between viral gene expression states, host immune responses, and metabolic conditions described here can be naturally formalized using systems biology approaches, including differential equation-based models of state transitions.\nThese considerations also have important implications for current therapeutic strategies. In particular, approaches based on the “kick and kill” paradigm, which aim to induce lytic reactivation for subsequent elimination of infected cells, may require reconsideration within this framework. If lytic induction frequently results in abortive rather than fully productive cycles, then activation of immediate-early or early lytic genes alone may be insufficient to achieve effective clearance. Instead, therapeutic efficacy may depend on the ability to drive infected cells beyond key progression checkpoints toward fully productive lytic states, or alternatively, to suppress chronic partial lytic activity and returning the cell to the latent state.\nMany studies indicate that EBV DNA can be detected in individuals’ blood or PBMCs (peripheral blood mononuclear cells), with asymptomatic infection in 90–95% of the human population [23,24]. On the other hand, severe cases of chronic EBV infection (chronic active EBV, CAEBV), with large amounts of EBV DNA detected in patients’ plasma, leading to serious complications and even death, are relatively rare [25,26]. Tumors induced by the presence of this virus in tissues are also detected [27,28]. It should be assumed that between these two extreme cases there is a whole range of intermediate cases in which the activation of the virus is only temporary or chronic activation remains at a chronically low level, causing only minor clinical symptoms and slight deviations in laboratory tests. As mentioned earlier, EBV is detected in plasma in a transient or chronic state of excitation in a few percent of the population [19,20,21,22]. It is necessary to organize knowledge on this subject in order to improve the medical community’s understanding of EBV as a potential cause of non-specific symptoms in patients, as well as the mechanisms for detecting these conditions and the correct interpretation of available laboratory tests. Understanding the numerous molecular mechanisms of immune evasion and chronicity of the virus will also give an idea of the seriousness of the problem and the need to seek appropriate diagnostic and treatment strategies tailored to the molecular disturbances generated by the virus in cells.\n\n\n### The Spread of the Virus in the Human Body\nMany studies indicate that EBV DNA can be detected in individuals’ blood or PBMCs (peripheral blood mononuclear cells), with asymptomatic infection in 90–95% of the human population [23,24]. On the other hand, severe cases of chronic EBV infection (chronic active EBV, CAEBV), with large amounts of EBV DNA detected in patients’ plasma, leading to serious complications and even death, are relatively rare [25,26]. Tumors induced by the presence of this virus in tissues are also detected [27,28]. It should be assumed that between these two extreme cases there is a whole range of intermediate cases in which the activation of the virus is only temporary or chronic activation remains at a chronically low level, causing only minor clinical symptoms and slight deviations in laboratory tests. As mentioned earlier, EBV is detected in plasma in a transient or chronic state of excitation in a few percent of the population [19,20,21,22]. It is necessary to organize knowledge on this subject in order to improve the medical community’s understanding of EBV as a potential cause of non-specific symptoms in patients, as well as the mechanisms for detecting these conditions and the correct interpretation of available laboratory tests. Understanding the numerous molecular mechanisms of immune evasion and chronicity of the virus will also give an idea of the seriousness of the problem and the need to seek appropriate diagnostic and treatment strategies tailored to the molecular disturbances generated by the virus in cells.\n\n\n### 2. Phases of Virus Activation\nIn most immunocompetent individuals, viral DNA resides in B lymphocytes and epithelial cells [29]. The viral DNA level is maintained at a very low level of 1–50 infected leukocytes per 1 million [30], consistent with an average of 1–30 EBV DNA copies per million leukocytes, where it can be detected by PCR testing of whole blood or PBMCs. At this level, the virus does not essentially induce transcription of its proteins, so there are no significant molecular disturbances or dysregulation of cell metabolism resulting from such latent presence. However, during periods of fatigue, stress or decreased immunity, the lytic phase of reactivation is periodically activated and the transcription of its own proteins begins, leading first to the preparation of the cell’s transcriptional apparatus for the production of its own virions and then to their production [31,32,33]. In the process of lytic reactivation, four phases are typically distinguished: the latent phase (Lat) the immediate-early phase (IE), the early phase (E) and the late phase (L) [34,35]. Several studies suggest, however, that viral DNA replication represents a discrete regulatory checkpoint between the early and late phases, functionally separating transcriptional activation from productive replication [36].\nDuring latency, EBV exists as circular episomal DNA in the host nucleus, expressing a very limited set of latent genes, if any [37]. The four types of latent phase, 0, I, II and III, are described according to the expression of LMP1, LMP2a, EBNA1 and EBER1/2 [38,39]. Attention should be paid to EBER1/2, which is active in each of these phases and exhibits its immune-suppressing effects [40] (Figure 1).\nFour major types of latency reflect both the cellular context of infection and the degree of immune surveillance. Latency I is marked by the expression of EBNA1, together with EBERs and viral microRNAs, supporting episomal maintenance while minimizing immune recognition [37,41]. Latency II includes EBNA1, LMP1, and LMP2A/2B, enabling modulation of the cellular signaling pathways involved in survival, differentiation, and immune evasion, and is commonly observed in epithelial malignancies [42,43,44,45]. Latency III represents the most transcriptionally active program, with expression of all EBNAs and latent membrane proteins, driving strong B cell activation and proliferation, as seen in lymphoproliferative disorders [37,46]. The establishment of these latency types is shaped by the host cell differentiation state, immune pressure, and epigenetic regulation of the viral genome. Importantly, latent proteins not only sustain viral persistence but also actively suppress lytic reactivation by inhibiting immediate-early gene expression and interferon-mediated antiviral responses [47,48,49,50,51,52,53]. This repression of lytic entry favors long-term survival of infected cells and creates conditions that promote genomic instability, chronic signaling activation, and resistance to apoptosis. As a consequence, latent EBV infection provides a molecular environment conducive to cellular transformation and contributes directly to EBV-associated oncogenesis.\nThe effect of viral proteins on the immune system. Weakened virus control at the extracellular and intracellular levels facilitates the onset of chronic partial lytic infection. Arrows indicate the direction of regulation: ↑—activation or upregulation; ↓—inhibition, degradation or functional downregulation.\nUpon exposure to appropriate stimuli (e.g., B cell activation, chemical inducers, and epigenetic modifiers) [37], transcription of the viral IE-phase genes BZLF1 and BRLF1 is induced. Possible transcriptional activators include (but are not limited to) CREB, AP-1, HIF, ROS, PI3K/AKT and mTORC2. A detailed analysis of multiple factors that stimulate and inhibit excitation is analyzed in Wang’s publication [33]. However, for them to work, it is first necessary to relax the chromatin and remove factors blocking access to the promoters of these two genes, such as HDAC (histone deacetylase), PARP1 (poly(ADP-ribose) polymerase 1), SUMOilation and histone methylation, which permanently and strongly block the access of activating factors to DNA [34,47,100,101,102,103,104], so that reactivation, despite the presence of the virus in 95% of the population, is a rare phenomenon. Latent phase proteins also perform autoinhibition to prevent the virus from being activated too frequently [47,48,49,50,51,53]. Altogether, a broad array of factors can influence the initiation of this process and it undergoes a subtle equilibrium between inducing and silencing lytic induction [37]. Understanding this subtle balance is very important for the development of strategies preventing this event and silencing it in case of its induction.\nThe first viral proteins produced in this phase from BZLF1 and BRLF1 genes are Zta (ZEBRA) and Rta, which act as transcriptional activators of early (E) lytic genes and remodel viral and host chromatin to favor replication [37]. By expressing Zta and Rta, EBV primes the host cell and its own genome for DNA replication, early gene expression, and eventually virion production [37,105,106,107]. These proteins also initiate the inhibition of natural immunologic resistance in order to facilitate further stages of viral development. The exemplary activities are autophagy modulation [62,63] and the inhibition of interferons [68,69] and NF-κB [82] production.\nIn the early (E) phase, the virus prepares the replication apparatus and cellular environment for mass replication of the viral genome before structural proteins (late genes) are synthesized [108,109]. Early genes are defined as viral genes transcribed before viral DNA replication but after IE gene expression [109]. The early proteins produced include DNA replication enzymes (e.g., viral DNA polymerase and oriLyt replication proteins), viral kinases, host environment modifiers, cell metabolism modifiers, and proteins that help remove epigenetic or immunological barriers [34,109]. Examples of early phase proteins include BALF2 [110,111], BARF1 [88], BCRF1 [87], BFRF1 [77], BGLF2/4/5 [73,74,76,78,79], BHRF1 [64], BILF1 [112], BMRF1 [113,114], BNLF2a [87,115,116], BPLF1 [71], and LF2 [75]. All of these appear in the early phase and prepare the cell for, among other things, full virion production [109]. Early gene promoters often contain motifs for IE genes (BZLF1 and BRLF1), which means that IE products activate early genes directly or indirectly [108]. E-phase proteins are also involved in numerous positive feedback loops with BRLF1 and BZLF1 to amplify reactivation [33,117] (Figure 1). The production of early phase proteins results in epigenetic changes like histone acetylation (DNA unwinding) [118,119], dePARylation [110,111,118,120,121] and changes in the activity of cellular pathways. The exemplary activated pathways are p38 [74,122], JNK (c-Jun N-terminal kinase) [74,123], AP-1 (activator protein 1) [124] and DDR (DNA damage response) [125]. However, when analyzing the links between the activation of the lytic phase and individual signaling pathways, it is important to note which of the many pathways are activators of the lytic phase and which pathways are modulated by the activities of proteins in this phase. These couplings can be positive, amplifying the lytic phase, or they can be negative, attenuating it. In the case of MAPK (p38, JNK, and ERK (extracellular signal-regulated kinase)) and PI3K (phosphoinositide 3-kinase) pathways, these couplings are positive, contributing in an additional way to amplify activation induction. A summary of the activation of the lytic phase by individual pathways is presented by Hui et al. [126]. The herbal strategies to treat EBV activation based on the herbal inhibition of lytic reactivation are presented by Li et al. [127].\nEarly gene products prepare the viral genome for replication: they activate replication origins (oriLyt), participate in the formation of replicons [128], support the release of viral DNA from chromatin, and modify the host cell environment to ensure access to nucleotides [129] and eliminate replication blockages. Some early proteins also affect the host cell: they modify the cell cycle (e.g., transition to the S phase) [130,131], affect lipid, glutamine and glucose metabolism [132], which is important for virion membrane production, and inhibit the host’s immune response [108].\nIn addition, early proteins prepare the conditions for the expression of late genes, i.e., the production of viral structural proteins. Only after viral DNA replication are late genes activated [133,134]. The early phase therefore constitutes the “preparation of the field” for virion production. Understanding this phase is important for both basic research and potential therapeutic strategies (e.g., the “kick and kill” strategy, activation of the virus for elimination) [117,135].\nThe chromatin of the viral genome in the late phase is usually more decondensed, without typical histone and nucleosome modifications, which promotes active transcription of large amounts of late mRNA [23,136]. Cellular and viral factors supporting the transition to the late phase include: activation of IE and E genes, epigenetic changes (e.g., histone acetylation), nucleotide availability, host cell cycle status, and environmental conditions conducive to virus production (e.g., activated B lymphocytes). The late phase begins after the start of viral genome replication, when viral DNA has been copied in large quantities and the host cell membrane is available for particle assembly [37,136].\nThe expression of late-phase proteins is strongly dependent on viral DNA replication and often on the formation of the viral genome in a decondensed form (without chromatin) [136,137,138]. The products of these genes are capsid and tegument proteins, envelope glycoproteins needed for the virus to exit the cell and infect other cells, as well as proteins necessary for packaging viral DNA, virion assembly and release [138,139]. Release from the cell occurs via exocytosis or lysis of the host cell [139]. Some late proteins also have functions that help evade the host’s immune system, e.g., through surface glycoproteins that modify antigen presentation, proteins that reduce MHC (major histocompatibility complex) expression, or proteins that modulate immune cells [140].\nThe expression of late genes is a marker of productive viral infection, which distinguishes it from latency or early activation alone. In the context of EBV-related diseases, such as nasopharyngeal carcinoma or EBV-positive gastric carcinoma, the detection of late genes may indicate active viral replication and may have prognostic or therapeutic significance [141]. Viral DNA polymerase inhibitors, e.g., acyclovir, may act at this stage by blocking DNA replication and, consequently, late gene expression, thereby limiting virus production, but it acts only on the active DNA replication stage of EBV and does not affect the early or partial forms of viral reactivation. Understanding the mechanism of late-phase regulation (e.g., the vPic (viral Pre-Initiation Complex) mechanism [137]) offers potential targets for drugs. If virion production can be completely blocked, the spread of the virus can be inhibited. However, it should be remembered that the malfunctioning of EBV-infected cells is due not only to the presence of whole-virus virions, but primarily to the presence of IE- and E-phase proteins in the cell, which significantly dysregulate cell metabolism. Therefore, dysfunction and dysregulation will already be observed at the IE- and E-phase stages. At this stage, however, replication may stop, as discussed in this article, which can lead to significant disease symptoms in the absence of viral DNA in the plasma.\n\n\n### 2.1. Latency Programs (Lat)\nDuring latency, EBV exists as circular episomal DNA in the host nucleus, expressing a very limited set of latent genes, if any [37]. The four types of latent phase, 0, I, II and III, are described according to the expression of LMP1, LMP2a, EBNA1 and EBER1/2 [38,39]. Attention should be paid to EBER1/2, which is active in each of these phases and exhibits its immune-suppressing effects [40] (Figure 1).\nFour major types of latency reflect both the cellular context of infection and the degree of immune surveillance. Latency I is marked by the expression of EBNA1, together with EBERs and viral microRNAs, supporting episomal maintenance while minimizing immune recognition [37,41]. Latency II includes EBNA1, LMP1, and LMP2A/2B, enabling modulation of the cellular signaling pathways involved in survival, differentiation, and immune evasion, and is commonly observed in epithelial malignancies [42,43,44,45]. Latency III represents the most transcriptionally active program, with expression of all EBNAs and latent membrane proteins, driving strong B cell activation and proliferation, as seen in lymphoproliferative disorders [37,46]. The establishment of these latency types is shaped by the host cell differentiation state, immune pressure, and epigenetic regulation of the viral genome. Importantly, latent proteins not only sustain viral persistence but also actively suppress lytic reactivation by inhibiting immediate-early gene expression and interferon-mediated antiviral responses [47,48,49,50,51,52,53]. This repression of lytic entry favors long-term survival of infected cells and creates conditions that promote genomic instability, chronic signaling activation, and resistance to apoptosis. As a consequence, latent EBV infection provides a molecular environment conducive to cellular transformation and contributes directly to EBV-associated oncogenesis.\nThe effect of viral proteins on the immune system. Weakened virus control at the extracellular and intracellular levels facilitates the onset of chronic partial lytic infection. Arrows indicate the direction of regulation: ↑—activation or upregulation; ↓—inhibition, degradation or functional downregulation.\n\n\n### 2.2. Immediate-Early Phase (IE)\nUpon exposure to appropriate stimuli (e.g., B cell activation, chemical inducers, and epigenetic modifiers) [37], transcription of the viral IE-phase genes BZLF1 and BRLF1 is induced. Possible transcriptional activators include (but are not limited to) CREB, AP-1, HIF, ROS, PI3K/AKT and mTORC2. A detailed analysis of multiple factors that stimulate and inhibit excitation is analyzed in Wang’s publication [33]. However, for them to work, it is first necessary to relax the chromatin and remove factors blocking access to the promoters of these two genes, such as HDAC (histone deacetylase), PARP1 (poly(ADP-ribose) polymerase 1), SUMOilation and histone methylation, which permanently and strongly block the access of activating factors to DNA [34,47,100,101,102,103,104], so that reactivation, despite the presence of the virus in 95% of the population, is a rare phenomenon. Latent phase proteins also perform autoinhibition to prevent the virus from being activated too frequently [47,48,49,50,51,53]. Altogether, a broad array of factors can influence the initiation of this process and it undergoes a subtle equilibrium between inducing and silencing lytic induction [37]. Understanding this subtle balance is very important for the development of strategies preventing this event and silencing it in case of its induction.\nThe first viral proteins produced in this phase from BZLF1 and BRLF1 genes are Zta (ZEBRA) and Rta, which act as transcriptional activators of early (E) lytic genes and remodel viral and host chromatin to favor replication [37]. By expressing Zta and Rta, EBV primes the host cell and its own genome for DNA replication, early gene expression, and eventually virion production [37,105,106,107]. These proteins also initiate the inhibition of natural immunologic resistance in order to facilitate further stages of viral development. The exemplary activities are autophagy modulation [62,63] and the inhibition of interferons [68,69] and NF-κB [82] production.\n\n\n### 2.3. Early Phase\nIn the early (E) phase, the virus prepares the replication apparatus and cellular environment for mass replication of the viral genome before structural proteins (late genes) are synthesized [108,109]. Early genes are defined as viral genes transcribed before viral DNA replication but after IE gene expression [109]. The early proteins produced include DNA replication enzymes (e.g., viral DNA polymerase and oriLyt replication proteins), viral kinases, host environment modifiers, cell metabolism modifiers, and proteins that help remove epigenetic or immunological barriers [34,109]. Examples of early phase proteins include BALF2 [110,111], BARF1 [88], BCRF1 [87], BFRF1 [77], BGLF2/4/5 [73,74,76,78,79], BHRF1 [64], BILF1 [112], BMRF1 [113,114], BNLF2a [87,115,116], BPLF1 [71], and LF2 [75]. All of these appear in the early phase and prepare the cell for, among other things, full virion production [109]. Early gene promoters often contain motifs for IE genes (BZLF1 and BRLF1), which means that IE products activate early genes directly or indirectly [108]. E-phase proteins are also involved in numerous positive feedback loops with BRLF1 and BZLF1 to amplify reactivation [33,117] (Figure 1). The production of early phase proteins results in epigenetic changes like histone acetylation (DNA unwinding) [118,119], dePARylation [110,111,118,120,121] and changes in the activity of cellular pathways. The exemplary activated pathways are p38 [74,122], JNK (c-Jun N-terminal kinase) [74,123], AP-1 (activator protein 1) [124] and DDR (DNA damage response) [125]. However, when analyzing the links between the activation of the lytic phase and individual signaling pathways, it is important to note which of the many pathways are activators of the lytic phase and which pathways are modulated by the activities of proteins in this phase. These couplings can be positive, amplifying the lytic phase, or they can be negative, attenuating it. In the case of MAPK (p38, JNK, and ERK (extracellular signal-regulated kinase)) and PI3K (phosphoinositide 3-kinase) pathways, these couplings are positive, contributing in an additional way to amplify activation induction. A summary of the activation of the lytic phase by individual pathways is presented by Hui et al. [126]. The herbal strategies to treat EBV activation based on the herbal inhibition of lytic reactivation are presented by Li et al. [127].\nEarly gene products prepare the viral genome for replication: they activate replication origins (oriLyt), participate in the formation of replicons [128], support the release of viral DNA from chromatin, and modify the host cell environment to ensure access to nucleotides [129] and eliminate replication blockages. Some early proteins also affect the host cell: they modify the cell cycle (e.g., transition to the S phase) [130,131], affect lipid, glutamine and glucose metabolism [132], which is important for virion membrane production, and inhibit the host’s immune response [108].\nIn addition, early proteins prepare the conditions for the expression of late genes, i.e., the production of viral structural proteins. Only after viral DNA replication are late genes activated [133,134]. The early phase therefore constitutes the “preparation of the field” for virion production. Understanding this phase is important for both basic research and potential therapeutic strategies (e.g., the “kick and kill” strategy, activation of the virus for elimination) [117,135].\n\n\n### 2.4. Late Phase (L)\nThe chromatin of the viral genome in the late phase is usually more decondensed, without typical histone and nucleosome modifications, which promotes active transcription of large amounts of late mRNA [23,136]. Cellular and viral factors supporting the transition to the late phase include: activation of IE and E genes, epigenetic changes (e.g., histone acetylation), nucleotide availability, host cell cycle status, and environmental conditions conducive to virus production (e.g., activated B lymphocytes). The late phase begins after the start of viral genome replication, when viral DNA has been copied in large quantities and the host cell membrane is available for particle assembly [37,136].\nThe expression of late-phase proteins is strongly dependent on viral DNA replication and often on the formation of the viral genome in a decondensed form (without chromatin) [136,137,138]. The products of these genes are capsid and tegument proteins, envelope glycoproteins needed for the virus to exit the cell and infect other cells, as well as proteins necessary for packaging viral DNA, virion assembly and release [138,139]. Release from the cell occurs via exocytosis or lysis of the host cell [139]. Some late proteins also have functions that help evade the host’s immune system, e.g., through surface glycoproteins that modify antigen presentation, proteins that reduce MHC (major histocompatibility complex) expression, or proteins that modulate immune cells [140].\nThe expression of late genes is a marker of productive viral infection, which distinguishes it from latency or early activation alone. In the context of EBV-related diseases, such as nasopharyngeal carcinoma or EBV-positive gastric carcinoma, the detection of late genes may indicate active viral replication and may have prognostic or therapeutic significance [141]. Viral DNA polymerase inhibitors, e.g., acyclovir, may act at this stage by blocking DNA replication and, consequently, late gene expression, thereby limiting virus production, but it acts only on the active DNA replication stage of EBV and does not affect the early or partial forms of viral reactivation. Understanding the mechanism of late-phase regulation (e.g., the vPic (viral Pre-Initiation Complex) mechanism [137]) offers potential targets for drugs. If virion production can be completely blocked, the spread of the virus can be inhibited. However, it should be remembered that the malfunctioning of EBV-infected cells is due not only to the presence of whole-virus virions, but primarily to the presence of IE- and E-phase proteins in the cell, which significantly dysregulate cell metabolism. Therefore, dysfunction and dysregulation will already be observed at the IE- and E-phase stages. At this stage, however, replication may stop, as discussed in this article, which can lead to significant disease symptoms in the absence of viral DNA in the plasma.\n\n\n### 3. General Regulatory Model of EBV Infection\nThe mechanisms of interaction between viral proteins and the host proteome and genome involve hundreds of different interactions. This publication is an attempt to present a simplified model that will allow for a better understanding of the problem, as well as the development of therapeutic strategies that must be different in various states of chronic infection excitation.\nEpstein–Barr virus persists in human hosts by navigating a tightly regulated continuum of transcriptional programs, ranging from deep latency to fully productive viral replication. Rather than existing as discrete states, these programs form an interconnected regulatory network defined by feedback interactions among latent (LAT), immediate-early (IE), early (E), and late (L) phases. The transitions between these phases are controlled by molecular circuits involving viral transcription factors, cellular signaling pathways, epigenetic modifiers, and immune-mediated pressures. The resulting architecture functions as a set of reciprocal and feed-forward loops that, according to the rules of control theory, maintain a dynamic balance between viral quiescence, partial reactivation, and lytic replication. Understanding these interactions is essential for explaining both the stability of lifelong latency and the occurrence of partial lytic activation in physiological and pathological contexts.\n\n\n### 4. LAT ↔ IE Balance\nThe transition from the latent to the IE state is the starting point for virus activation in the cell. This state depends on the activation of the first two proteins, Zta and Rta, which further activate the lytic cascade in a positive feedback mechanism. A detailed analysis of the molecular factors that induce and inhibit this stage of induction on the molecular level is presented in the work of Wang et al. [33]. The current work focuses rather on the aspects of the feedback loops regulating this excitation, as well as on certain clinical aspects facilitating this activation, as this is key to understanding why some people experience chronic virus excitation.\nIn latently infected cells, expression of the immediate-early genes BZLF1 and BRLF1 is subject to particularly stringent epigenetic and chromatin-based repression [33]. The viral genome is packaged into nucleosomes and decorated with repressive histone modifications, including histone deacetylation and methylation marks associated with transcriptional silencing. In addition, SUMO- and PARP-dependent mechanisms contribute to the maintenance of latency by stabilizing repressor complexes at viral promoters [47,142]. Cellular factors such as PML (promyelocytic leukemia) nuclear bodies and the DAXX–ATRX complex (death domain-associated protein 6 and alpha-thalassemia mental retardation syndrome X-linked complex) further reinforce this repressive chromatin state by promoting histone loading and limiting the access of transcriptional machinery to immediate-early promoters [143,144,145]. As a result, transcription of BZLF1 and BRLF1 represents a high-threshold event that requires coordinated relief of multiple layers of repression.\nThe likelihood of successful immediate-early gene activation differs across latency programs. In latency 0, which is characterized by near-complete transcriptional silence of viral protein-coding genes, repression is largely epigenetic and therefore potentially reversible in response to strong cellular stress or inflammatory signaling. In contrast, higher latency programs (latency I, II, and III) involve active expression of latent viral proteins and non-coding RNAs that impose additional inhibitory constraints on lytic reactivation [47,48,49,50,51,52,53,146,147]. Latent proteins can directly or indirectly suppress immediate-early gene transcription by modulating host signaling pathways, interfering with chromatin remodeling, inhibiting interferon responses, and reinforcing epigenetic silencing of lytic promoters. Consequently, although latency II and III are transcriptionally more active overall, they may paradoxically be more resistant to spontaneous lytic entry than latency 0. This layered repression ensures that EBV reactivation remains rare and tightly controlled, occurring only in cells in which epigenetic barriers are sufficiently relaxed and activating signals exceed a critical threshold.\nOnce IE genes are active, early (E) proteins amplify this shift through a second tier of positive feedback that directly or functionally antagonizes HDAC, SUMO, PARP1 and methylation-based repression. The conserved herpesvirus kinase BGLF4 is a central element of this module. BGLF4 phosphorylates multiple chromatin-associated substrates, including histones and chromatin modifiers such as TIP60 (Tat-interacting protein of 60 kDa), and promotes TIP60-dependent histone acetylation in the context of a DNA damage response (DDR) that favors viral replication [118,148,149]. Activation of the TIP60 histone acetyltransferase leads to increased acetylation of histones at viral lytic promoters, functionally opposing HDAC1/2-mediated deacetylation and loosening viral chromatin. Although HDAC proteins remain present, their repressive impact is outweighed by kinase-driven recruitment and activation of HAT (histone acetyltransferase) activity at lytic loci, thus shifting the balance toward an open, transcriptionally active configuration.\nThe early antigen EA-D, encoded by BMRF1, further reinforces this chromatin opening by repurposing a classically repressive complex. BMRF1 interacts directly with the Mi-2/NuRD complex, which in many cellular contexts acts as a HDAC-containing chromatin repressor. During EBV lytic infection, however, BMRF1–NuRD complexes are required for transcriptional activation of viral genes and for the inhibition of canonical double-strand break signaling [119]. In other words, BMRF1 converts NuRD from a latency-supporting repressor into a lytic-supporting activator, thereby functionally neutralizing a DNA methylation-coupled, HDAC-based silencing mechanism and turning it into part of a positive feedback loop that sustains IE/E expression.\nThe early nuclease/exonuclease BGLF5 contributes to this positive feedback at the level of host gene expression rather than by direct enzymatic modification of chromatin. BGLF5 mediates extensive host shutoff by degrading cellular mRNAs, including those encoding antiviral effectors and components of interferon and immune signaling pathways [150,151,152]. This broad mRNA degradation limits the synthesis of host restriction factors, chromatin regulators, and immune effectors that would otherwise restore a latent-like chromatin state or eliminate lytically active cells. Although BGLF5 does not directly de-SUMOylate or demethylate DNA, its host shutoff activity removes or attenuates many of the cellular systems that enforce EBV chromatin compaction and antiviral defenses, thereby indirectly reinforcing the chromatin-loosening effects initiated by BZLF1 and BGLF4.\nPARP1 normally helps maintain EBV latency by binding the BZLF1 (Zp) promoter and stabilizing a repressive chromatin structure that prevents lytic gene activation. During the early stages of reactivation, however, the chromatin loops and CTCF-dependent domains that depend on PARP1 begin to reorganize, and PARP1 itself is pulled away from the Zp promoter and recruited into newly forming viral replication compartments [103]. Once PARP1 leaves the promoter, it can no longer enforce repression at the lytic switch. This loss of PARP1–CTCF-mediated control makes the chromatin more permissive and helps push the cell toward lytic replication. As BGLF4 and other early viral proteins induce a DDR-like environment and build replication factories, PARP1 and CTCF are increasingly displaced from latent promoters, further weakening the repression systems that normally keep EBV silent.\nTaken together, these processes define a coherent positive-feedback architecture at the chromatin level. In the latent state, HDAC1/2, SUMO-organized PML/DAXX/ATRX complexes, PARP1-coordinated chromatin loops and DNA methylation plus MBD-NuRD-type repressors maintain a compact, transcriptionally silent viral episome. When IE proteins like BZLF1 break through this barrier, they do not merely bypass it: they recruit HAT activity, exploit DNA methylation to favor their own binding, and actively dismantle SUMO-dependent repressors. Early proteins then extend and stabilize this opening by converting NuRD into a transcriptional co-activator, activating TIP60-driven acetylation, shutting off host restriction factor synthesis, and reprogramming PARP1’s chromatin functions. Late tegument factors such as BNRF1 [153] complete the process by disassembling DAXX/ATRX/PML-mediated H3.3 loading. The net effect is that once a threshold of IE/E expression is reached, the lytic program feeds back positively on HDAC, SUMO, PARP1 and methylation-based repression, progressively relaxing viral chromatin and making continued lytic gene expression more probable than a return to latency. This architecture explains why EBV can remain stably latent for long periods yet, once sufficiently reactivated, can rapidly commit to a full lytic cycle and also why intermediate, partially lytic states arise when these positive feedbacks are engaged only incompletely or are reined in by immune surveillance.\nActivation of the Epstein–Barr virus immediate-early genes BZLF1 and BRLF1 is tightly coupled to host stress and inflammatory signaling pathways, forming multiple positive feedback loops that stabilize early lytic gene expression. Cellular pathways such as AP-1, p38 MAPK, ERK, and PI3K/AKT contribute to the initial activation of BZLF1 and, to a lesser extent, BRLF1 by integrating signals derived from inflammation, cellular stress, and receptor-mediated stimulation [32,34,154]. Once expressed, the immediate-early proteins ZEBRA (BZLF1) and Rta (BRLF1) reciprocally enhance the activity of these same pathways by inducing MAPK signaling, activating AP-1 transcription factors, and promoting pro-survival PI3K/AKT signaling [117,155,156,157,158]. This bidirectional coupling creates self-reinforcing signaling circuits that amplify and maintain immediate-early and early lytic transcription—even in the absence of sustained upstream stimuli. Importantly, these positive feedback loops lower the threshold for repeated or prolonged early lytic activation while remaining insufficient on their own to trigger viral DNA replication and late gene expression. As a result, EBV can repeatedly exit latency at the transcriptional level and stabilize abortive or partial lytic states, gaining access to viral regulatory functions and host signaling rewiring without crossing the high-threshold checkpoint associated with productive replication and immune-mediated elimination.\nPositive feedback facilitating virus excitation and blocking the immune system extends into the late phase, in which many early phase proteins are no longer expressed, but late-phase proteins also contribute to a lesser extent to strengthening the feedback loop that enhances reactivation. Late tegument proteins participate in dismantling SUMO- and PML-dependent chromatin restriction as the lytic program approaches completion. The major tegument protein BNRF1 localizes to PML nuclear bodies and binds the histone H3.3 chaperone DAXX, displacing ATRX from the DAXX–H3.3 complex and preventing deposition of repressive H3.3-rich chromatin on the EBV genome [153]. Because PML nuclear bodies are SUMO-organized hubs of intrinsic antiviral repression, BNRF1-mediated disruption of DAXX–ATRX and reprogramming of H3.3 loading convert a strongly repressive SUMO/PML module into a state permissive for viral gene expression and replication. This action complements the effects of IE and E proteins on HDAC and DNA methylation, further locking the system into a lytic-favoring chromatin configuration.\n\n\n### 4.1. Epigenetic and Chromatin-Based Repression of Immediate-Early Gene Expression\nIn latently infected cells, expression of the immediate-early genes BZLF1 and BRLF1 is subject to particularly stringent epigenetic and chromatin-based repression [33]. The viral genome is packaged into nucleosomes and decorated with repressive histone modifications, including histone deacetylation and methylation marks associated with transcriptional silencing. In addition, SUMO- and PARP-dependent mechanisms contribute to the maintenance of latency by stabilizing repressor complexes at viral promoters [47,142]. Cellular factors such as PML (promyelocytic leukemia) nuclear bodies and the DAXX–ATRX complex (death domain-associated protein 6 and alpha-thalassemia mental retardation syndrome X-linked complex) further reinforce this repressive chromatin state by promoting histone loading and limiting the access of transcriptional machinery to immediate-early promoters [143,144,145]. As a result, transcription of BZLF1 and BRLF1 represents a high-threshold event that requires coordinated relief of multiple layers of repression.\nThe likelihood of successful immediate-early gene activation differs across latency programs. In latency 0, which is characterized by near-complete transcriptional silence of viral protein-coding genes, repression is largely epigenetic and therefore potentially reversible in response to strong cellular stress or inflammatory signaling. In contrast, higher latency programs (latency I, II, and III) involve active expression of latent viral proteins and non-coding RNAs that impose additional inhibitory constraints on lytic reactivation [47,48,49,50,51,52,53,146,147]. Latent proteins can directly or indirectly suppress immediate-early gene transcription by modulating host signaling pathways, interfering with chromatin remodeling, inhibiting interferon responses, and reinforcing epigenetic silencing of lytic promoters. Consequently, although latency II and III are transcriptionally more active overall, they may paradoxically be more resistant to spontaneous lytic entry than latency 0. This layered repression ensures that EBV reactivation remains rare and tightly controlled, occurring only in cells in which epigenetic barriers are sufficiently relaxed and activating signals exceed a critical threshold.\n\n\n### 4.2. Early Phase Proteins Support Lat → IE Transition\nOnce IE genes are active, early (E) proteins amplify this shift through a second tier of positive feedback that directly or functionally antagonizes HDAC, SUMO, PARP1 and methylation-based repression. The conserved herpesvirus kinase BGLF4 is a central element of this module. BGLF4 phosphorylates multiple chromatin-associated substrates, including histones and chromatin modifiers such as TIP60 (Tat-interacting protein of 60 kDa), and promotes TIP60-dependent histone acetylation in the context of a DNA damage response (DDR) that favors viral replication [118,148,149]. Activation of the TIP60 histone acetyltransferase leads to increased acetylation of histones at viral lytic promoters, functionally opposing HDAC1/2-mediated deacetylation and loosening viral chromatin. Although HDAC proteins remain present, their repressive impact is outweighed by kinase-driven recruitment and activation of HAT (histone acetyltransferase) activity at lytic loci, thus shifting the balance toward an open, transcriptionally active configuration.\nThe early antigen EA-D, encoded by BMRF1, further reinforces this chromatin opening by repurposing a classically repressive complex. BMRF1 interacts directly with the Mi-2/NuRD complex, which in many cellular contexts acts as a HDAC-containing chromatin repressor. During EBV lytic infection, however, BMRF1–NuRD complexes are required for transcriptional activation of viral genes and for the inhibition of canonical double-strand break signaling [119]. In other words, BMRF1 converts NuRD from a latency-supporting repressor into a lytic-supporting activator, thereby functionally neutralizing a DNA methylation-coupled, HDAC-based silencing mechanism and turning it into part of a positive feedback loop that sustains IE/E expression.\nThe early nuclease/exonuclease BGLF5 contributes to this positive feedback at the level of host gene expression rather than by direct enzymatic modification of chromatin. BGLF5 mediates extensive host shutoff by degrading cellular mRNAs, including those encoding antiviral effectors and components of interferon and immune signaling pathways [150,151,152]. This broad mRNA degradation limits the synthesis of host restriction factors, chromatin regulators, and immune effectors that would otherwise restore a latent-like chromatin state or eliminate lytically active cells. Although BGLF5 does not directly de-SUMOylate or demethylate DNA, its host shutoff activity removes or attenuates many of the cellular systems that enforce EBV chromatin compaction and antiviral defenses, thereby indirectly reinforcing the chromatin-loosening effects initiated by BZLF1 and BGLF4.\nPARP1 normally helps maintain EBV latency by binding the BZLF1 (Zp) promoter and stabilizing a repressive chromatin structure that prevents lytic gene activation. During the early stages of reactivation, however, the chromatin loops and CTCF-dependent domains that depend on PARP1 begin to reorganize, and PARP1 itself is pulled away from the Zp promoter and recruited into newly forming viral replication compartments [103]. Once PARP1 leaves the promoter, it can no longer enforce repression at the lytic switch. This loss of PARP1–CTCF-mediated control makes the chromatin more permissive and helps push the cell toward lytic replication. As BGLF4 and other early viral proteins induce a DDR-like environment and build replication factories, PARP1 and CTCF are increasingly displaced from latent promoters, further weakening the repression systems that normally keep EBV silent.\nTaken together, these processes define a coherent positive-feedback architecture at the chromatin level. In the latent state, HDAC1/2, SUMO-organized PML/DAXX/ATRX complexes, PARP1-coordinated chromatin loops and DNA methylation plus MBD-NuRD-type repressors maintain a compact, transcriptionally silent viral episome. When IE proteins like BZLF1 break through this barrier, they do not merely bypass it: they recruit HAT activity, exploit DNA methylation to favor their own binding, and actively dismantle SUMO-dependent repressors. Early proteins then extend and stabilize this opening by converting NuRD into a transcriptional co-activator, activating TIP60-driven acetylation, shutting off host restriction factor synthesis, and reprogramming PARP1’s chromatin functions. Late tegument factors such as BNRF1 [153] complete the process by disassembling DAXX/ATRX/PML-mediated H3.3 loading. The net effect is that once a threshold of IE/E expression is reached, the lytic program feeds back positively on HDAC, SUMO, PARP1 and methylation-based repression, progressively relaxing viral chromatin and making continued lytic gene expression more probable than a return to latency. This architecture explains why EBV can remain stably latent for long periods yet, once sufficiently reactivated, can rapidly commit to a full lytic cycle and also why intermediate, partially lytic states arise when these positive feedbacks are engaged only incompletely or are reined in by immune surveillance.\n\n\n### 4.3. Positive Couplings Between BZLF1/BRLF1 and AP-1/p38/ERK/JNK Pathways\nActivation of the Epstein–Barr virus immediate-early genes BZLF1 and BRLF1 is tightly coupled to host stress and inflammatory signaling pathways, forming multiple positive feedback loops that stabilize early lytic gene expression. Cellular pathways such as AP-1, p38 MAPK, ERK, and PI3K/AKT contribute to the initial activation of BZLF1 and, to a lesser extent, BRLF1 by integrating signals derived from inflammation, cellular stress, and receptor-mediated stimulation [32,34,154]. Once expressed, the immediate-early proteins ZEBRA (BZLF1) and Rta (BRLF1) reciprocally enhance the activity of these same pathways by inducing MAPK signaling, activating AP-1 transcription factors, and promoting pro-survival PI3K/AKT signaling [117,155,156,157,158]. This bidirectional coupling creates self-reinforcing signaling circuits that amplify and maintain immediate-early and early lytic transcription—even in the absence of sustained upstream stimuli. Importantly, these positive feedback loops lower the threshold for repeated or prolonged early lytic activation while remaining insufficient on their own to trigger viral DNA replication and late gene expression. As a result, EBV can repeatedly exit latency at the transcriptional level and stabilize abortive or partial lytic states, gaining access to viral regulatory functions and host signaling rewiring without crossing the high-threshold checkpoint associated with productive replication and immune-mediated elimination.\n\n\n### 4.4. Late Phase Supports Lat → IE Transition\nPositive feedback facilitating virus excitation and blocking the immune system extends into the late phase, in which many early phase proteins are no longer expressed, but late-phase proteins also contribute to a lesser extent to strengthening the feedback loop that enhances reactivation. Late tegument proteins participate in dismantling SUMO- and PML-dependent chromatin restriction as the lytic program approaches completion. The major tegument protein BNRF1 localizes to PML nuclear bodies and binds the histone H3.3 chaperone DAXX, displacing ATRX from the DAXX–H3.3 complex and preventing deposition of repressive H3.3-rich chromatin on the EBV genome [153]. Because PML nuclear bodies are SUMO-organized hubs of intrinsic antiviral repression, BNRF1-mediated disruption of DAXX–ATRX and reprogramming of H3.3 loading convert a strongly repressive SUMO/PML module into a state permissive for viral gene expression and replication. This action complements the effects of IE and E proteins on HDAC and DNA methylation, further locking the system into a lytic-favoring chromatin configuration.\n\n\n### 5. Clinical Conditions for the LAT → IE/E Phase Induction\nMolecular biology focuses on identifying the molecular factors that awaken cells from a latent state. Below are four clinical conditions in patients that are suspected of having the ability to awaken cells to active lytic activity and for which there are molecular indications that such excitation may occur. In particular, the fact that these are chronic conditions increases the likelihood of chronic activation of lytic activity in the body, which in turn can lead to both severe courses such as CAEBV and mild courses of activation that lead to the development of autoimmune diseases. Table 2 summarizes cellular and systemic factors influencing the probability of the transition to the lytic state.\nParasitic infections are proposed as potential modulators of EBV latency [32,159]. Anti-parasitic immune responses are typically dominated by Th2-associated cytokines such as IL-4 and IL-13, which antagonize Th1-type antiviral immunity and can suppress autophagy [160]. Because autophagy contributes to intracellular pathogen control, long-term Th2 polarization may create a cellular environment that favors persistence and episodic reactivation of latent viruses. The Th2 response modulated by IL-4 and IL-13 also inhibits the activity of CD4+ and CD8+ cells through a number of mechanisms described in the reviews by Henry et al. [161] and Kumar et al. [162]. The inhibitory effect also occurs via IL-10 in response to Th2, which is additionally mimicked by the BCRF1 virus protein. Although direct evidence linking parasitic infections to EBV reactivation in vivo remains limited, this immunological framework provides a plausible mechanistic connection.\nPsychological stress represents another well-documented trigger of herpesvirus reactivation [31,163,164,165,166,167,168]. Chronic or intense emotional stress alters immune regulation through neuroendocrine mediators, particularly glucocorticoids, which increase the BZLF1 transcription [169]. Importantly, transient inflammatory or stress signals may induce partial or rapidly controlled reactivation events, whereas sustained exposure to pro-inflammatory or immunomodulatory stimuli is more likely to promote recurrent or persistent viral activity.\nEBV frequently coexists with other chronic infections, and accumulating evidence suggests that co-infecting pathogens may facilitate mutual reactivation through shared inflammatory signaling. Viruses such as cytomegalovirus, HSV-1, HHV-6, hepatitis viruses, HIV, and HPV, as well as bacterial pathogens including Helicobacter pylori, Streptococcus species, and Aggregatibacter actinomycetemcomitans, have all been reported to promote EBV reactivation in experimental or clinical contexts [32]. If several intracellular pathogens are present simultaneously, they may exacerbate the body’s inflammatory response and increase the risk of complications [170,171,172,173,174]. Acute infections of various origins may exert similar effects by transiently activating MAPK (p38, JNK, ERK) and stress-responsive pathways that stimulate IE gene expression. Autophagy inhibition is the second element that can contribute to the common existence of different chronic intracellular pathogens [175,176,177,178,179], as many of them are able to inhibit autophagy, thus contributing to a higher inflammatory level. Finally, the mentioned chronic viruses are also able to inhibit interferon activity by their own tegument proteins [143,180,181,182,183,184], thus facilitating the chronic inhibition of immunological function and chronic stimulation of the Lat → IE transition.\nThe intestinal mucosa represents the largest immunological interface in the human body, continuously exposed to trillions of commensal microorganisms and dietary antigens. Under physiological conditions, this interface is maintained in a tightly regulated state of controlled tolerance, in which microbial recognition through pattern recognition receptors (PRRs) is balanced by regulatory T cell (Treg) activity and anti-inflammatory cytokines [185,186]. Short-chain fatty acids (SCFAs), particularly butyrate produced by obligate anaerobic commensals, reinforce epithelial barrier integrity, promote Treg differentiation, and limit excessive inflammatory signaling [187]. Disruption of microbial composition (dysbiosis), increased intestinal permeability, or persistent enteric infections disturb this equilibrium. In such conditions, bacterial components enter the systemic circulation, inducing low-grade endotoxemia and sustained production of IL-6, IL-1β, TNF-α, and IL-23, which reshapes systemic antiviral surveillance [188,189,190].\nOne of the most reproducible consequences of intestinal barrier disruption and microbial translocation is a shift in CD4+ T cell differentiation toward a Th17 phenotype [188,191,192]. Loss of SCFA-producing commensals reduces Treg support and weakens regulatory control, further biasing the immune balance toward IL-6/IL-23-dependent Th17 responses [189,193]. In chronic dysbiosis, this skewing results in sustained IL-17A/F production and persistent activation of NF-κB, MAPK and ERK signaling pathways in multiple tissues [194] which can promote transcriptional permissiveness at lytic promoters, particularly BZLF1. Gut-derived inflammatory mediators, including IL-1β, IL-6, and TNF-α, directly stimulate these pathways in circulating immune cells and tissue-resident B lymphocytes [195,196]. Chronic exposure to IL-6, a hallmark of dysbiosis-associated inflammation, promotes sustained STAT3 activation in T cells and has been linked to increased expression of inhibitory receptors such as PD-1 (programmed cell death protein 1). In the context of persistent antigenic stimulation, this signaling environment contributes to the functional exhaustion of CD8+ T cells, characterized by reduced interferon-γ production, diminished cytotoxic activity, and impaired viral clearance [197,198]. Such partial loss of effector function may allow repeated early lytic activation of EBV-infected cells without complete immune elimination, thereby stabilizing abortive or partial lytic states.\nChronic low-grade intestine-derived endotoxemia may result in sustained TLR4 signaling and activation of MyD88-dependent (myeloid differentiation primary response 88) cascades, leading to NF-κB (nuclear factor kappa-light-chain-enhancer of activated B cells) nuclear translocation and enhanced AP-1 activity [199,200,201]. Because BZLF1 and BRLF1 promoters contain response elements influenced by these transcription factors, prolonged inflammatory signaling may lower the activation threshold for the LAT → IE transition. In this context, dysbiosis acts as a systemic amplifier of signaling pathways already known to support EBV reactivation. Moreover, activation of mTOR (mechanistic target of rapamycin) signaling in chronic inflammatory contexts suppresses autophagy [175], an important intrinsic antiviral mechanism [176] which may facilitate persistence of IE/E-expressing cells. This creates a permissive intracellular environment in which early lytic transcription can proceed without efficient silencing.\nWithin the framework of chronic partial lytic reactivation, these microbiota-driven processes primarily act on the first two required conditions: persistent LAT → IE stimulation and incomplete immune silencing of early lytic states. When combined with limited but recurrent progression of a small cellular fraction to the late phase, such systemic immune remodeling may sustain long-term viral activity without overt viremia. Thus, intestinal dysbiosis should be considered capable of shifting the LAT/IE equilibrium toward repeated reactivation attempts and contributing to chronic inflammatory states associated with EBV persistence.\nEBV reactivation is strongly influenced by the immune status of the host and is markedly increased in conditions associated with impaired cellular immunity. In particular, iatrogenic immunosuppression, such as that used in solid organ transplantation, hematopoietic stem cell transplantation, and the treatment of autoimmune diseases, substantially elevates the risk of viral reactivation [202,203,204]. These settings are characterized by reduced CD8+ T cell and NK cell surveillance, which are critical for controlling lytically infected cells, thereby permitting expansion of cells undergoing lytic or abortive lytic activation [23,203].\nClinically, EBV reactivation is well documented in transplant recipients, where it may lead to post-transplant lymphoproliferative disorders (PTLDs) [202,204], as well as in patients receiving B cell-depleting therapies such as anti-CD20 antibodies (e.g., rituximab), or other immunosuppressive regimens [32,205,206]. Increased risk has also been observed in patients with chronic kidney disease, particularly those undergoing dialysis or receiving immunosuppressive therapy in nephrology settings [207,208,209].\nFrom a mechanistic perspective, these conditions do not necessarily increase the intrinsic probability of initiating lytic activation at the cellular level, but rather reduce the efficiency of immune-mediated clearance of cells entering lytic or pre-lytic states. Within the framework proposed here, this shifts the system toward a higher steady-state burden of cells in IE/E or partially lytic states, thereby increasing the likelihood of detectable reactivation and viral shedding. These observations have important clinical implications, suggesting that selected patient populations, particularly transplant recipients, individuals receiving B cell-depleting or long-term immunosuppressive therapies, and patients with advanced immunodeficiency, may benefit from continuous monitoring of EBV load and reactivation markers [202,209].\n\n\n### 5.1. Parasitic Infections\nParasitic infections are proposed as potential modulators of EBV latency [32,159]. Anti-parasitic immune responses are typically dominated by Th2-associated cytokines such as IL-4 and IL-13, which antagonize Th1-type antiviral immunity and can suppress autophagy [160]. Because autophagy contributes to intracellular pathogen control, long-term Th2 polarization may create a cellular environment that favors persistence and episodic reactivation of latent viruses. The Th2 response modulated by IL-4 and IL-13 also inhibits the activity of CD4+ and CD8+ cells through a number of mechanisms described in the reviews by Henry et al. [161] and Kumar et al. [162]. The inhibitory effect also occurs via IL-10 in response to Th2, which is additionally mimicked by the BCRF1 virus protein. Although direct evidence linking parasitic infections to EBV reactivation in vivo remains limited, this immunological framework provides a plausible mechanistic connection.\n\n\n### 5.2. Psychological Stress\nPsychological stress represents another well-documented trigger of herpesvirus reactivation [31,163,164,165,166,167,168]. Chronic or intense emotional stress alters immune regulation through neuroendocrine mediators, particularly glucocorticoids, which increase the BZLF1 transcription [169]. Importantly, transient inflammatory or stress signals may induce partial or rapidly controlled reactivation events, whereas sustained exposure to pro-inflammatory or immunomodulatory stimuli is more likely to promote recurrent or persistent viral activity.\n\n\n### 5.3. Coexisting EBV and Other Viral Pathogens\nEBV frequently coexists with other chronic infections, and accumulating evidence suggests that co-infecting pathogens may facilitate mutual reactivation through shared inflammatory signaling. Viruses such as cytomegalovirus, HSV-1, HHV-6, hepatitis viruses, HIV, and HPV, as well as bacterial pathogens including Helicobacter pylori, Streptococcus species, and Aggregatibacter actinomycetemcomitans, have all been reported to promote EBV reactivation in experimental or clinical contexts [32]. If several intracellular pathogens are present simultaneously, they may exacerbate the body’s inflammatory response and increase the risk of complications [170,171,172,173,174]. Acute infections of various origins may exert similar effects by transiently activating MAPK (p38, JNK, ERK) and stress-responsive pathways that stimulate IE gene expression. Autophagy inhibition is the second element that can contribute to the common existence of different chronic intracellular pathogens [175,176,177,178,179], as many of them are able to inhibit autophagy, thus contributing to a higher inflammatory level. Finally, the mentioned chronic viruses are also able to inhibit interferon activity by their own tegument proteins [143,180,181,182,183,184], thus facilitating the chronic inhibition of immunological function and chronic stimulation of the Lat → IE transition.\n\n\n### 5.4. Gut Microbiota as a Potential Regulator of the Lat → IE Transition\nThe intestinal mucosa represents the largest immunological interface in the human body, continuously exposed to trillions of commensal microorganisms and dietary antigens. Under physiological conditions, this interface is maintained in a tightly regulated state of controlled tolerance, in which microbial recognition through pattern recognition receptors (PRRs) is balanced by regulatory T cell (Treg) activity and anti-inflammatory cytokines [185,186]. Short-chain fatty acids (SCFAs), particularly butyrate produced by obligate anaerobic commensals, reinforce epithelial barrier integrity, promote Treg differentiation, and limit excessive inflammatory signaling [187]. Disruption of microbial composition (dysbiosis), increased intestinal permeability, or persistent enteric infections disturb this equilibrium. In such conditions, bacterial components enter the systemic circulation, inducing low-grade endotoxemia and sustained production of IL-6, IL-1β, TNF-α, and IL-23, which reshapes systemic antiviral surveillance [188,189,190].\nOne of the most reproducible consequences of intestinal barrier disruption and microbial translocation is a shift in CD4+ T cell differentiation toward a Th17 phenotype [188,191,192]. Loss of SCFA-producing commensals reduces Treg support and weakens regulatory control, further biasing the immune balance toward IL-6/IL-23-dependent Th17 responses [189,193]. In chronic dysbiosis, this skewing results in sustained IL-17A/F production and persistent activation of NF-κB, MAPK and ERK signaling pathways in multiple tissues [194] which can promote transcriptional permissiveness at lytic promoters, particularly BZLF1. Gut-derived inflammatory mediators, including IL-1β, IL-6, and TNF-α, directly stimulate these pathways in circulating immune cells and tissue-resident B lymphocytes [195,196]. Chronic exposure to IL-6, a hallmark of dysbiosis-associated inflammation, promotes sustained STAT3 activation in T cells and has been linked to increased expression of inhibitory receptors such as PD-1 (programmed cell death protein 1). In the context of persistent antigenic stimulation, this signaling environment contributes to the functional exhaustion of CD8+ T cells, characterized by reduced interferon-γ production, diminished cytotoxic activity, and impaired viral clearance [197,198]. Such partial loss of effector function may allow repeated early lytic activation of EBV-infected cells without complete immune elimination, thereby stabilizing abortive or partial lytic states.\nChronic low-grade intestine-derived endotoxemia may result in sustained TLR4 signaling and activation of MyD88-dependent (myeloid differentiation primary response 88) cascades, leading to NF-κB (nuclear factor kappa-light-chain-enhancer of activated B cells) nuclear translocation and enhanced AP-1 activity [199,200,201]. Because BZLF1 and BRLF1 promoters contain response elements influenced by these transcription factors, prolonged inflammatory signaling may lower the activation threshold for the LAT → IE transition. In this context, dysbiosis acts as a systemic amplifier of signaling pathways already known to support EBV reactivation. Moreover, activation of mTOR (mechanistic target of rapamycin) signaling in chronic inflammatory contexts suppresses autophagy [175], an important intrinsic antiviral mechanism [176] which may facilitate persistence of IE/E-expressing cells. This creates a permissive intracellular environment in which early lytic transcription can proceed without efficient silencing.\nWithin the framework of chronic partial lytic reactivation, these microbiota-driven processes primarily act on the first two required conditions: persistent LAT → IE stimulation and incomplete immune silencing of early lytic states. When combined with limited but recurrent progression of a small cellular fraction to the late phase, such systemic immune remodeling may sustain long-term viral activity without overt viremia. Thus, intestinal dysbiosis should be considered capable of shifting the LAT/IE equilibrium toward repeated reactivation attempts and contributing to chronic inflammatory states associated with EBV persistence.\n\n\n### 5.5. Immunosuppression and Clinical Contexts Associated with Increased EBV Reactivation\nEBV reactivation is strongly influenced by the immune status of the host and is markedly increased in conditions associated with impaired cellular immunity. In particular, iatrogenic immunosuppression, such as that used in solid organ transplantation, hematopoietic stem cell transplantation, and the treatment of autoimmune diseases, substantially elevates the risk of viral reactivation [202,203,204]. These settings are characterized by reduced CD8+ T cell and NK cell surveillance, which are critical for controlling lytically infected cells, thereby permitting expansion of cells undergoing lytic or abortive lytic activation [23,203].\nClinically, EBV reactivation is well documented in transplant recipients, where it may lead to post-transplant lymphoproliferative disorders (PTLDs) [202,204], as well as in patients receiving B cell-depleting therapies such as anti-CD20 antibodies (e.g., rituximab), or other immunosuppressive regimens [32,205,206]. Increased risk has also been observed in patients with chronic kidney disease, particularly those undergoing dialysis or receiving immunosuppressive therapy in nephrology settings [207,208,209].\nFrom a mechanistic perspective, these conditions do not necessarily increase the intrinsic probability of initiating lytic activation at the cellular level, but rather reduce the efficiency of immune-mediated clearance of cells entering lytic or pre-lytic states. Within the framework proposed here, this shifts the system toward a higher steady-state burden of cells in IE/E or partially lytic states, thereby increasing the likelihood of detectable reactivation and viral shedding. These observations have important clinical implications, suggesting that selected patient populations, particularly transplant recipients, individuals receiving B cell-depleting or long-term immunosuppressive therapies, and patients with advanced immunodeficiency, may benefit from continuous monitoring of EBV load and reactivation markers [202,209].\n\n\n### 6. Regulation of EBV DNA Replication as a Central Checkpoint of Lytic Progression\nMany studies have shown that the expression of EBV late genes requires active viral DNA replication. Conditions in which DNA replication is inhibited often block the expression of late genes [136,137,138,210,211]. The study by Aubry et al. showed that EBV late genes require a special viral preinitiation complex (vPIC) composed of viral proteins, which functions only after DNA replication and enables the transcription of late genes [136,137].\nInitiation of EBV DNA replication represents a decisive transition point between the early (E) and late (L) phases of the viral cycle. Unlike immediate-early and early gene expression, which can be triggered relatively frequently and even transiently, viral DNA replication requires the precise and coordinated convergence of multiple viral, cellular, epigenetic, and metabolic conditions [37,132,134]. Because all of these requirements must be fulfilled simultaneously and in the correct proportions, the initiation of DNA replication constitutes a high-threshold checkpoint [137]. Failure to meet any single requirement is sufficient to halt progression and results in partial or abortive lytic reactivation without virion production.\nFor EBV DNA replication to begin, the viral lytic origin of replication (OriLyt) must be activated [137]. This is not a passive event but a highly regulated process that requires the assembly of a functional viral replisome at the OriLyt. Core viral components include a set of early replication proteins that perform distinct but interdependent roles. These include BMRF1 (EA-D) [128,212], which stabilizes the replication complex; BALF2 [128,212], the single-stranded DNA-binding protein; and the viral helicase–primase complex composed of BBLF4, BSLF1, and BBLF2/3. Additionally, BZLF1 protein is an oriLyt-binding protein and the BALF5 protein is a DNA polymerase (Pol).\nThe presence of these proteins alone, however, is not sufficient. They must be expressed at adequate levels, within a narrow temporal window, and assemble correctly at the OriLyt. Classical studies demonstrated that many cells expressing Zta and other early proteins nevertheless fail to initiate DNA replication, underscoring that OriLyt activation is regulated independently of early gene transcription [213].\nA critical layer of control lies at the level of chromatin. OriLyt must undergo extensive chromatin remodeling before it becomes replication competent. This involves local histone acetylation, displacement of HDAC-containing repressor complexes, reorganization of DNA methylation-dependent silencers, and relief of SUMO-dependent repression mediated by PML nuclear bodies and the DAXX–ATRX complex [214,215].\nBZLF1 (Zta) can preferentially recognize and bind a subset of CpG-methylated Zta-responsive elements (meZREs), indicating that CpG methylation is not uniformly inhibitory for EBV lytic activation but can be “read” by Zta to promote transcription from selected viral regulatory regions [101,216,217]. However, single-cell analyses show that many cells can enter an IE/E transcriptional program without initiating EBV DNA replication, consistent with a frequent arrest at the E–L boundary where origin activation and chromatin remodeling at replication-associated regions (including OriLyt) fail to reach a replication-competent state [101,218,219].\nPARP1-dependent chromatin structures contribute to the stabilization of lytic repression by restricting activation of the BZLF1 promoter, and experimental depletion or pharmacological inhibition of PARP1 results in enhanced EBV lytic progression and viral DNA replication, supporting a gatekeeper role for PARP1 at the transition toward productive replication [220].\nBeyond chromatin accessibility, EBV DNA replication depends on the activation of a DNA damage response (DDR)-like signaling cascade, particularly the ATR–Chk1 pathway. Unlike cellular DNA replication, viral replication is initiated in a context that resembles replication stress rather than classical DNA damage. ATR activation promotes the recruitment of replication factors, stabilizes replication forks, and enables the formation of viral replication compartments. Inhibition or knockdown of ATR abolishes EBV DNA synthesis despite intact early gene expression, clearly separating early transcription from replication competence [128]. Importantly, not all cellular stresses generate the appropriate DDR signal for EBV. Partial or improperly configured DDR activation is common and frequently insufficient to support viral DNA replication [221,222,223,224].\nMetabolic readiness of the host cell constitutes an additional and often underappreciated constraint. Viral DNA replication is highly energy-intensive and requires abundant nucleotide pools, active biosynthetic pathways, and suppression of catabolic stress responses such as excessive autophagy. Memory B cells and differentiated epithelial cells, two major EBV reservoirs, are frequently metabolically quiescent, rendering them poorly suited to sustain large-scale viral DNA synthesis. Reviews of herpesvirus latency emphasize that metabolic insufficiency alone can arrest reactivation after early gene expression, even when all viral factors are present [225].\nBecause all the requirements of OriLyt activation, epigenetic remodeling, DDR engagement, replication compartment formation, stoichiometric assembly of replication proteins, and metabolic support must be met simultaneously, EBV DNA replication is intrinsically fragile. Partial fulfillment of these conditions leads to a state in which early lytic genes are expressed but viral genomes are not amplified. This has been directly demonstrated at the single-cell level, where large fractions of reactivated cells exhibit IE and early transcription without any detectable increase in EBV DNA copy number [218]. These cells define the partial or abortive lytic state.\nFinally, immune selection strongly reinforces this checkpoint. Cells that successfully initiate EBV DNA replication rapidly increase viral antigen load and become highly visible to cytotoxic T lymphocytes and natural killer cells [152,226,227]. In contrast, cells that remain latent or stall before DNA replication express fewer immunogenic antigens and are far more likely to survive. Over time, immune pressure therefore selectively eliminates fully replicating cells while sparing latent and non-replicating early lytic cells. This selective pressure stabilizes a population of infected cells that either remain latent or repeatedly enter and exit early lytic transcription without crossing the functional replication threshold. Such immune-driven selection provides a powerful explanation for why partial lytic reactivation is commonly observed in vivo and why EBV persistence is dominated by non-replicating states despite frequent molecular signs of reactivation.\nTogether, these observations support a model in which EBV DNA replication functions as a central regulatory bottleneck. Its initiation requires the synchronized convergence of multiple rare conditions, and its failure represents the most common outcome of reactivation attempts. This checkpoint not only limits viral production but also shapes the long-term equilibrium between the virus and the host’s immune system, allowing EBV to persist for life while minimizing immunopathology.\n\n\n### 7. Abortive/Partial Lytic Reactivation as a Common Outcome of EBV Reactivation\nFor many years, EBV lytic reactivation was conceptualized as a binary process, in which latently infected cells either remained silent or entered a full productive lytic cycle culminating in viral DNA replication, late gene expression, and virion production. However, accumulating evidence from transcriptional, single-cell, and functional studies demonstrates that this dichotomous view is overly simplistic. Instead, partial lytic reactivation emerges as a frequent and biologically relevant outcome, both during primary infection and during reactivation from latency.\nDirect experimental evidence that partial lytic reactivation accompanies the establishment of latency was provided by Inagaki et al., who combined time-resolved transcriptomics with fate-mapping approaches in newly infected B cells [211]. During the pre-latent phase, infected cells exhibited a transient burst of immediate-early and early lytic gene expression, while infectious virion production remained undetectable. Mathematical modeling integrated with experimental data supported the conclusion that viral DNA replication does not occur at this stage, defining a bona fide partial lytic state rather than delayed productive replication. Importantly, cells that transiently expressed lytic genes subsequently converged into stable latency, demonstrating that partial lytic reactivation can function as a physiological intermediate rather than a dead-end pathway. These findings extend earlier observations that EBV genomes entering B cells are initially unmethylated, allowing limited Zta-driven transcription without enabling the full lytic transcriptional cascade or DNA replication, thereby structurally biasing early infection toward abortive outcomes.\nSingle-cell transcriptomic analyses have also fundamentally reshaped the understanding of EBV reactivation heterogeneity. SoRelle et al. demonstrated that reactivation does not produce discrete latent versus lytic populations, but rather a continuum of cellular states ranging from partial to fully productive reactivation [218]. Cells expressing BZLF1 frequently failed to progress to late gene expression, even under strong lytic induction, and instead adopted distinct transcriptional programs characterized by NF-κB and IRF3 activation. Critically, these partial states were not rare outliers but constituted a substantial fraction of reactivating cells, indicating that failure to complete the lytic cascade is an intrinsic and recurrent feature of EBV biology. This heterogeneity persisted across multiple B cell models, reinforcing the generalizability of partial lytic reactivation as a common outcome.\nEvidence for frequent partial or incomplete lytic reactivation is not limited to B cells. Studies of epithelial-tropic EBV strains and EBV-associated malignancies further support the prevalence of partial lytic programs. Tsai et al. [228] described EBV strains displaying spontaneous lytic gene expression without proportional virion production, particularly in epithelial contexts. This decoupling of early/late gene expression from productive replication highlights strain- and cell-type-dependent constraints on lytic completion. Consistently, transcriptomic surveys of EBV-positive tumors reveal the expression of immediate-early and early lytic genes, often accompanied by low-level or “leaky” late gene transcription, while overt viral replication remains absent. Comprehensive synthesis of these observations has been provided by Yap et al. [229], who emphasize that partial lytic gene expression is widespread in EBV-associated cancers and likely contributes to pathogenesis without requiring virion production.\nMechanistic insight into early partial lytic states has been further refined by studies dissecting host transcriptional remodeling. Buschle et al. [226] showed that induction of the lytic program triggers global chromatin reorganization and host transcriptome repression prior to viral DNA replication, even in systems incapable of entering the late phase. These findings indicate that profound cellular reprogramming can occur during early lytic stages independently of productive replication. More recently, Casco et al. [152] employed dual-fluorescent reporter EBV to isolate early and late lytic populations and demonstrated that extensive host shutoff already occurs during early lytic reactivation, with only a minority of cells progressing to the late phase. This approach provided quantitative confirmation that limited early lytic states dominate reactivation events even under stimulatory conditions.\nCollectively, these studies converge on a unifying conclusion: partial lytic reactivation is not an exception but a frequent, perhaps dominant, mode of EBV reactivation. Immediate-early and early lytic gene expression can occur transiently or persistently without completion of the full lytic cascade, without viral DNA amplification, and without virion production. Such states are observed during primary infection, latency maintenance, reactivation from latency, and within EBV-associated tumors.\nThis recognition provides a conceptual foundation for the subsequent analysis of dynamic equilibria between latent, IE/E-expressing, and late-phase cells. In particular, it supports the hypothesis that immune surveillance, cellular constraints, and viral regulatory mechanisms collectively shape a steady-state distribution dominated by partial lytic outcomes. These considerations naturally motivate the application of mathematical and system-level models to describe how repeated, incomplete reactivation events can sustain long-term viral persistence.\n\n\n### 7.1. Partial Lytic Gene Expression During Early EBV Infection and Latency Establishment\nDirect experimental evidence that partial lytic reactivation accompanies the establishment of latency was provided by Inagaki et al., who combined time-resolved transcriptomics with fate-mapping approaches in newly infected B cells [211]. During the pre-latent phase, infected cells exhibited a transient burst of immediate-early and early lytic gene expression, while infectious virion production remained undetectable. Mathematical modeling integrated with experimental data supported the conclusion that viral DNA replication does not occur at this stage, defining a bona fide partial lytic state rather than delayed productive replication. Importantly, cells that transiently expressed lytic genes subsequently converged into stable latency, demonstrating that partial lytic reactivation can function as a physiological intermediate rather than a dead-end pathway. These findings extend earlier observations that EBV genomes entering B cells are initially unmethylated, allowing limited Zta-driven transcription without enabling the full lytic transcriptional cascade or DNA replication, thereby structurally biasing early infection toward abortive outcomes.\n\n\n### 7.2. Partial Lytic Reactivation as a Continuum Revealed by Single-Cell Approaches\nSingle-cell transcriptomic analyses have also fundamentally reshaped the understanding of EBV reactivation heterogeneity. SoRelle et al. demonstrated that reactivation does not produce discrete latent versus lytic populations, but rather a continuum of cellular states ranging from partial to fully productive reactivation [218]. Cells expressing BZLF1 frequently failed to progress to late gene expression, even under strong lytic induction, and instead adopted distinct transcriptional programs characterized by NF-κB and IRF3 activation. Critically, these partial states were not rare outliers but constituted a substantial fraction of reactivating cells, indicating that failure to complete the lytic cascade is an intrinsic and recurrent feature of EBV biology. This heterogeneity persisted across multiple B cell models, reinforcing the generalizability of partial lytic reactivation as a common outcome.\n\n\n### 7.3. Partial Lytic States in Epithelial Infection and Tumor-Associated EBV\nEvidence for frequent partial or incomplete lytic reactivation is not limited to B cells. Studies of epithelial-tropic EBV strains and EBV-associated malignancies further support the prevalence of partial lytic programs. Tsai et al. [228] described EBV strains displaying spontaneous lytic gene expression without proportional virion production, particularly in epithelial contexts. This decoupling of early/late gene expression from productive replication highlights strain- and cell-type-dependent constraints on lytic completion. Consistently, transcriptomic surveys of EBV-positive tumors reveal the expression of immediate-early and early lytic genes, often accompanied by low-level or “leaky” late gene transcription, while overt viral replication remains absent. Comprehensive synthesis of these observations has been provided by Yap et al. [229], who emphasize that partial lytic gene expression is widespread in EBV-associated cancers and likely contributes to pathogenesis without requiring virion production.\n\n\n### 7.4. Early Lytic Reactivation and Host Shutoff Without Late-Phase Completion\nMechanistic insight into early partial lytic states has been further refined by studies dissecting host transcriptional remodeling. Buschle et al. [226] showed that induction of the lytic program triggers global chromatin reorganization and host transcriptome repression prior to viral DNA replication, even in systems incapable of entering the late phase. These findings indicate that profound cellular reprogramming can occur during early lytic stages independently of productive replication. More recently, Casco et al. [152] employed dual-fluorescent reporter EBV to isolate early and late lytic populations and demonstrated that extensive host shutoff already occurs during early lytic reactivation, with only a minority of cells progressing to the late phase. This approach provided quantitative confirmation that limited early lytic states dominate reactivation events even under stimulatory conditions.\nCollectively, these studies converge on a unifying conclusion: partial lytic reactivation is not an exception but a frequent, perhaps dominant, mode of EBV reactivation. Immediate-early and early lytic gene expression can occur transiently or persistently without completion of the full lytic cascade, without viral DNA amplification, and without virion production. Such states are observed during primary infection, latency maintenance, reactivation from latency, and within EBV-associated tumors.\nThis recognition provides a conceptual foundation for the subsequent analysis of dynamic equilibria between latent, IE/E-expressing, and late-phase cells. In particular, it supports the hypothesis that immune surveillance, cellular constraints, and viral regulatory mechanisms collectively shape a steady-state distribution dominated by partial lytic outcomes. These considerations naturally motivate the application of mathematical and system-level models to describe how repeated, incomplete reactivation events can sustain long-term viral persistence.\n\n\n### 8. Conditions Necessary for the Chronic Partial Lytic Reactivation State\nA persistent state of chronic partial lytic reactivation, conceptually related to the extreme phenotype observed in chronic active EBV (CAEBV), reflects a dynamic balance between viral reactivation, immune control and maintenance of the latent reservoir. Within the conceptual framework proposed here, three functional conditions can be distinguished that together may support long-term viral persistence. First, there must be sustained or recurrent induction of the latent-to-immediate-early (LAT → IE) transition. The possible drivers are postulated to be chronic inflammatory signals, stress responses, co-infections (chronic viruses and parasites), or other epigenetic relaxation factors. Such repeated stimulation could maintain a continuous influx of cells entering immediate-early and early transcriptional programs. Second, both intracellular antiviral mechanisms (including interferon signaling, chromatin-based repression, autophagy, and intrinsic restriction factors) and systemic immune responses (notably CD8+ cytotoxic T cells and NK cells) should be insufficient to fully extinguish IE/E activation, yet still effective enough to prevent widespread productive replication. This partial immune control would stabilize cells in early lytic states rather than eliminate them or allow full viral amplification.\nThe third condition, involving periodic completion of the late phase, is conceptually linked to the need for maintaining and potentially expanding the infected cell pool. In its classical interpretation, productive lytic replication enables the generation of infectious virions capable of infecting new target cells, including both B lymphocytes and epithelial cells. However, this condition requires careful qualification. EBV persistence within the memory B cell compartment does not depend on continuous reinfection, as the viral genome is maintained as a nuclear episome that replicates in synchrony with host cell division. As a result, the latent reservoir can, in principle, be stably maintained through proliferation and differentiation of infected B cells without the need for ongoing production of the infectious virus.\nAt the same time, productive lytic replication may still play an important, though possibly intermittent, role in the broader ecology of EBV infection. In vivo, full lytic replication appears to occur predominantly in epithelial cells, particularly within the oropharyngeal compartment, where it contributes to viral shedding into saliva and transmission between hosts. Under this view, late-phase completion may be spatially and temporally restricted rather than continuously required for persistence within the B cell compartment.\nTaken together, these observations suggest that the third condition should not be viewed as an absolute requirement for the maintenance of EBV persistence. In particular, periodic or low-frequency completion of the lytic cycle may support viral dissemination, infection of new cellular niches, or replenishment of infected cell populations, while not being strictly necessary for the maintenance of the existing latent reservoir.\nImportantly, this condition remains largely inferential and requires direct experimental validation. It generates several testable predictions, including the presence of rare events of full late-phase completion in vivo, their contribution to the renewal of infected cell populations, and the detectability of late-phase viral transcripts or proteins in sensitive longitudinal or single-cell analyses. Within this framework, EBV persistence emerges as a dynamic system in which long-term stability can be achieved through multiple, partially redundant mechanisms, including both episomal maintenance in proliferating B cells and intermittent productive reactivation in selected cellular compartments.\n\n\n### 9. Discussion\nEvolution has shaped EBV toward a lifelong persistent infection characterized by predominant latency and only sporadic reactivation. From a viral fitness perspective, excessive lytic activity would increase immune recognition and clearance, whereas too infrequent reactivation would limit transmission. The observed balance between latency and episodic reactivation therefore likely reflects an optimization between persistence and spread.\nWhen EBV-infected B cells enter full lytic replication, they express high levels of viral antigens and become highly visible to the immune system, leading to efficient elimination by CD8+ T cells and NK cells [229,230]. Thus, despite multiple immune evasion mechanisms, cells undergoing full lytic replication appear to be effectively controlled.\nLiu et al. [231] reported strong CD8+ T cell responses against IE/E lytic antigens, commonly interpreted as evidence of the immunodominance of early lytic phases. However, an alternative explanation may be that this pattern reflects the distribution of infection states within the EBV+ cell population. If a substantial fraction of infected cells undergoes incomplete lytic reactivation, with expression of IE and some early genes but limited progression to late stages, the apparent immunodominance of IE/E antigens may arise from increased target availability rather than intrinsically stronger immune recognition.\nUnder this framework, the relatively stable detection of CD4+ responses against late antigens, despite the presumed lower frequency of fully lytic cells, may suggest that cells reaching late stages are subject to substantial immune pressure. However, current data based on peptide-specific T cell frequencies do not allow direct inference about the efficiency of immune control at different stages of the lytic cycle.\nTesting this hypothesis will require approaches that directly link the lytic state of individual EBV-infected cells with their susceptibility to immune recognition, taking into account antigen presentation and the relative frequency of complete versus incomplete lytic cycles in vivo.\nFinally, caution is warranted when extrapolating findings from acute infectious mononucleosis to chronic infection. Acute infection is characterized by strong inflammatory responses and rapid expansion of EBV-specific T cells, whereas chronic infection involves extensive viral modulation of the host immune environment. In particular, early lytic phases are enriched in viral mechanisms that interfere with antigen presentation and immune signaling, which may further shape the apparent hierarchy of immune responses.\nThe convergence of subthreshold induction signals, epigenetic repression, immune surveillance, tissue-specific environments, and viral genomic constraints creates conditions in which Epstein–Barr virus frequently enters a stable state of partial lytic reactivation rather than completing productive replication. In this state, EBV gains selective advantages, including modulation of host cell cycle regulation, inflammatory signaling, and pro-survival pathways, without incurring the immunological cost associated with virion production. The single-cell transcriptomic analyses by SoRelle et al. demonstrate that partial lytic expression programs represent distinct and durable cellular states rather than transient intermediates, supporting the concept that EBV occupies a continuum of activation states rather than a simple latency–lytic dichotomy [218]. This view is consistent with epigenetic models of EBV gene regulation, which emphasize that incomplete lytic transcription frequently arises from interactions between the viral genome and host chromatin architecture [225].\nA central insight emerging from these studies is that viral DNA replication constitutes a decisive molecular checkpoint during EBV reactivation. Initiation of immediate-early and early lytic gene expression alone does not commit a cell to productive infection. Instead, infected cells diverge at the point at which viral genome amplification would normally begin. Cells that successfully initiate DNA replication undergo global host shutoff, late gene expression, and rapid immune-mediated elimination. In contrast, cells that fail to initiate replication remain viable, transcriptionally active, and metabolically intact, despite having exited latency at the level of early lytic gene expression. Single-cell trajectory analyses reveal that these partial lytic cells form a reproducible and stable branch of the reactivation landscape, characterized by the expression of regulatory and immunomodulatory viral genes in the absence of late structural gene expression or virion production [218].\nThis branching architecture has important biological and clinical implications. Partial lytic reactivation enables infected cells to persist while continuously shaping their microenvironment. Cells expressing early lytic genes can sustain low-level inflammatory signaling, alter cytokine and interferon responses, and modulate antigen presentation, yet remain below the functional threshold for efficient cytotoxic T cell elimination. In epithelial tissues, particularly in nasopharyngeal carcinoma, partial lytic gene expression has been shown to promote tumor-supportive microenvironments through the secretion of cytokines and chemokines that recruit immunosuppressive myeloid cells and enhance angiogenesis, thereby contributing to oncogenesis rather than viral spread [210]. In B cell-associated diseases, partial lytic reactivation generates a reservoir of long-lived infected cells that repeatedly express immunomodulatory viral proteins, potentially exacerbating immune exhaustion and increasing the risk of lymphoproliferative disorders, especially under conditions of immunosenescence or partial immunosuppression [218].\nAt the systemic level, persistent partial lytic reactivation provides a plausible framework for understanding the chronic immune activation associated with EBV in the absence of overt viral replication. Partial lytic activity has been suggested directly or indirectly in the tissues and peripheral blood of patients with autoimmune and inflammatory conditions, including multiple sclerosis and systemic lupus erythematosus, often without detectable virion production [8,232,233,234]. Rather than reflecting failed immune control, this pattern is consistent with an evolved equilibrium in which immune surveillance efficiently eliminates cells entering full lytic replication, while selectively sparing cells stalled before DNA replication. Over time, this immune selection enriches partially reactivated states, making partial lytic reactivation a dominant active form of EBV infection in immunocompetent hosts [218].\nTaken together, these findings support the view that partial lytic reactivation represents a stable, biologically meaningful, and clinically relevant outcome of EBV reactivation. This state allows EBV to persist, modulate host immunity, and contribute to chronic inflammation and oncogenic risk without triggering the immune responses associated with productive replication. Recognizing partial lytic reactivation as a distinct and durable component of the EBV lifecycle has important implications for biomarker interpretation and for therapeutic strategies aimed at either enforcing complete viral silencing or deliberately driving the virus into a fully lytic, drug-targetable state.\nThe mechanisms of dynamic equilibrium between the pool of latent cells, the fraction of cells in the IE/E phases, and the rare fraction reaching the late phase can be formalized using mathematical models based on systems of ordinary differential equations describing flows between states and interactions with the immune response (e.g., Lat → IE/E transitions, arrest/disappearance, transition to late phase, and the production and clearance of free virus). This approach has already been applied in practice in the context of EBV by Inagaki et al., who combined experimental data with in silico simulations within a parameterized mathematical model of infection dynamics and considered scenarios with or without progeny virus production, showing that the model best reproduces the observed dynamics in a variant consistent with partial infection in the pre-latent phase [211]. This direction should be developed and expanded to include further regulatory layers relevant to chronic EBV infection, including explicit consideration of the heterogeneity of IE/E/L states at the single-cell level, cycle phase-dependent immunoevasive mechanisms (especially early ones), and modulation by environmental factors affecting CD4+/CD8+ efficiency (e.g., chronic psychological stress, parasites, and chronic viruses). At the same time, this approach is consistent with the broader literature on EBV modeling within the host, where differential models have already been proposed to describe the dynamics of the virus, infected cells, and CD8+ response (e.g., in the context of age differences and mononucleosis risk), which further supports the thesis of the usefulness of formal models for integrating immunological and virological data in chronic diseases [235] and solving the equilibrium states according to the rules of control theory.\nMany autoimmune diseases are somehow linked to infection with EBV (multiple sclerosis [1,2,3,4], rheumatoid arthritis [5,6,7], Sjogren’s syndrome [5,7], systemic lupus erythematosus [7,8], fibromyalgia [9,10], Hashimoto thyroiditis [11,12,13], Graves’ disease [11,236], autoimmune hepatitis [237], and hemophagocytic lymphohistiocytosis [14,15]) and studying these links is essential for developing diagnostic and therapeutic strategies. The development of standardized and clinically interpretable assays targeting early lytic transcriptional activity remains a critical unmet need.\nAccurate detection of active EBV infection remains a major clinical challenge. Serological testing has limited diagnostic value, as EBV-specific IgG antibodies persist for life after primary infection and do not reflect the current state of viral activity. Conversely, IgM antibodies and early antigen (EA) responses typically disappear within a few months after primary infection and are therefore insensitive markers of chronic or intermittent reactivation [238,239,240]. Similarly, detection of EBV DNA in whole-blood or peripheral blood mononuclear cells (PBMCs) primarily reflects the presence of latently infected B lymphocytes and does not distinguish between latent and active phases of infection.\nThe measurement of EBV DNA in plasma is more indicative of active lytic replication, as viral DNA enters the circulation following cell lysis and virion release. In advanced or severe disease states, plasma viremia is frequently detectable and correlates with ongoing productive infection. However, this approach fails to capture a large and potentially clinically relevant population of infected cells that enter immediate-early (IE) or early (E) lytic programs but do not progress to the late phase. Cells in partial lytic reactivation may remain viable and do not release virions into plasma.\nSince viral DNA is detected in the plasma of 3–8% of the population, this raises questions about the dynamics of this process and to what extent it reflects a complete lytic process versus the killing of cells in a state of partial lytic activation. The second question concerns the type of cells that are the source of viral DNA in plasma. Are these lymphocytes, or perhaps other types of cells, particularly those originating from tissues infiltrated by EBV+ lymphocytes?\nB lymphocytes and oropharyngeal epithelial cells represent well-established sites of latent infection and productive lytic replication [241]. However, the viruses are released to saliva and not to the blood. EBV DNA and gene expression have also been reported in additional settings, including smooth muscle tumors [242,243] and gastric adenocarcinoma [244]. These observations suggest that EBV may access a broader range of cellular environments. However, their interpretation requires caution. In particular, in many non-lymphoid tissues, EBV-positive signals may reflect the presence of infiltrating infected lymphocytes rather than direct infection of resident parenchymal cells. This distinction is especially relevant in inflamed organs such as the liver, central nervous system, myocardium, and gastrointestinal tract, where EBV-associated pathology has been described, but the precise cellular source of viral signals often remains uncertain.\nOne possible explanation that may reconcile the observations is that localized reactivation events within EBV-infected lymphocytes generate spatially restricted viral activity in peripheral tissues. In analogy to the oropharyngeal compartment, such events could transiently expose the neighboring cells in different organs to viral gene expression and limited infection. However, it remains unclear whether such processes lead to stable infection of non-classical target cells or instead reflect transient and spatially confined interactions. In this context, it is conceivable that viral gene expression may frequently remain restricted to early or abortive phases of the lytic program rather than progressing to full productive replication. While this interpretation is consistent with the concept of partial lytic reactivation, it should be regarded as a working hypothesis that requires direct experimental validation.\nA major challenge in detecting partial lytic reactivation is the probable absence of cell lysis and the consequent lack of circulating viral DNA. In situations where EBV-infected cells undergo lysis or immune-mediated clearance, intracellular viral components may be released into the circulation. Consistent with this, soluble forms of the immediate-early protein ZEBRA (BZLF1) have been detected in the serum of patients with EBV-associated lymphoproliferative disorders [245]. Nevertheless, systematic analyses of other lytic proteins, including early and late gene products, in serum or plasma are currently lacking [246], and the diagnostic relevance of circulating viral protein profiles remains to be established. In particular, quantitative assessment of the relative abundance and proportion of immediate-early, early, and late proteins may help to distinguish between full productive lytic replication and abortive (partial) lytic states, and to estimate the relative contribution of these processes to circulating EBV DNA levels.\nBy contrast, low-level abortive lytic reactivation may occur, in theory, without cell death and therefore without the release of viral DNA or intracellular proteins into the circulation. Under such conditions, extracellular vesicles, including exosomes, may represent an alternative source of viral biomarkers. EBV-infected cells have been shown to release vesicles containing viral RNA and microRNAs, particularly those derived from the BHRF1 region, which can be detected in plasma or saliva independently of cell lysis [247,248]. While these findings are promising, the extent to which extracellular vesicle-associated viral components reliably reflect abortive lytic activity in vivo remains to be determined.\nWhen analyzing the problem of EBV reactivation, it should be kept in mind that the pattern of latency interspersed with episodic and often incomplete reactivation is not unique to EBV but reflects a broader biological strategy shared by many persistent human viruses. Other herpesviruses, including human cytomegalovirus [249,250], herpes simplex virus, varicella–zoster virus, HHV-6/7 [225,251], and HIV-1 [252], similarly establish lifelong latency punctuated by transcriptional or early lytic activation that frequently fails to progress to productive replication. In these infections, early viral gene expression can modulate host immunity and tissue environments without detectable viremia, while cells entering full replication are preferentially eliminated by immune surveillance, resulting in dominance of partial reactivation states. Comparable principles apply beyond herpesviruses: latent HIV infection is characterized by frequent transcriptional bursts without virion production, and hepatitis B virus maintains transcriptionally active cccDNA under immune control, with inflammatory flares occurring in the absence of sustained viremia [253,254,255].\nBecause partial reactivation can drive chronic immune stimulation, cytokine imbalance, and epigenetic remodeling without overt productive infection, similar immunopathological outcomes, including chronic inflammation and autoimmunity, may arise from the reactivation of different latent viruses. This biological convergence substantially complicates correlation-based studies that attempt to link individual viral markers to specific autoimmune diseases, as overlapping immune signatures may reflect partial reactivation of distinct persistent pathogens rather than a unique causal relationship. In this context, partial lytic reactivation should be viewed as an evolutionarily conserved feature of host–virus coexistence rather than an exceptional failure of immune control. This perspective shifts the conceptual focus from binary viral states to dynamically stabilized intermediate configurations governed by regulatory thresholds.\nClassical “kick and kill” strategies in EBV-associated diseases are generally conceptualized as induction of the transition from latency to the lytic program, with the implicit assumption that lytic activation renders infected cells susceptible to immune-mediated clearance or antiviral therapy. In this framework, the critical step is typically considered to be the initiation of immediate-early (IE) gene expression.\nHowever, within the framework proposed here, the early lytic state (IE/E) may represent a quasi-stable attractor rather than a transient intermediate. If so, the induction of IE or early lytic genes alone may not be sufficient to achieve effective elimination of infected cells, as a substantial fraction of cells may remain trapped in abortive lytic states that do not progress to stages associated with full immunological visibility or activation of lytic enzymatic machinery.\nUnder these conditions, two alternative trajectories for exiting the IE/E state can be considered. One possibility is re-silencing, returning to latency and restoring a low-immunogenic state. The second is progression toward a replication-competent lytic program, including late gene expression, which is more likely to expose infected cells to immune recognition and to enable antiviral drug activation.\nThese considerations suggest that effective therapeutic strategies should not focus solely on inducing the transition from latency to early lytic states, but also on promoting progression beyond the IE/E checkpoint. In this sense, the functional objective of “kick and kill” may need to be redefined from simple lytic induction toward facilitating a transition into therapeutically actionable lytic states (“push-through and kill”).\nMoreover, such approaches may need to be combined with interventions that enhance the elimination phase, including restoration of interferon signaling, enhancement of antigen presentation, or activation of autophagy-related pathways. Together, these mechanisms may increase the susceptibility of EBV-positive cells that have been driven out of latency.\nA key challenge for future studies will be to define the molecular and metabolic conditions required for progression from early to late lytic phases. In particular, the requirement for coordinated viral gene expression, chromatin remodeling, DNA replication, and metabolic support suggests that this transition represents a high-threshold checkpoint that may be difficult to overcome therapeutically without targeted modulation.\nAssuming that partial lytic reactivation is a quasi-stable metabolic state within the cell, another potential therapeutic strategy might be to attempt to return the cell to the latent phase. Although direct evidence for such a transition remains limited, several lines of evidence suggest that such a reversal may be biologically plausible. In particular, strong latency-maintaining mechanisms may not only prevent progression toward productive replication, but may also actively promote re-establishment of a latent-like state following incomplete reactivation.\nImportantly, type I interferon signaling represents a key inhibitory axis at the level of the latency-to-lytic switch. Interferon-mediated activation of the JAK–STAT pathway suppresses BZLF1 expression and EBV reactivation, thereby stabilizing latency [123]. Within the framework proposed here, this suggests that interferon signaling may not only inhibit the Lat → IE transition, but may also functionally bias cells undergoing abortive lytic activation toward the re-silencing of viral gene expression and return to a latency-like state.\nIn addition, cellular transcriptional programs associated with proliferation and differentiation appear to counteract lytic reactivation. The c-Myc/E2F1 axis has been shown to suppress spontaneous or “leaky” expression of BZLF1 and to stabilize latency [256]. Sustained activity of this axis may therefore represent a mechanism by which cells resist or reverse early lytic activation. From a therapeutic perspective, modulation of this axis, either by maintaining proliferative signaling or by preventing its collapse, could contribute to limiting abortive lytic activity and promoting latency re-establishment.\nSimilarly, retinoic acid receptor (RAR/RXR) signaling has been reported to inhibit BZLF1-mediated transactivation and suppress EBV reactivation [257]. Pharmacological activation of this pathway may therefore represent an additional mechanism to restrain early lytic gene expression. Although these approaches contrast with classical “kick and kill” strategies, they may be particularly relevant in contexts where chronic partial lytic activity contributes to pathogenesis. In such settings, therapeutic strategies aimed at reinforcing latency or promoting re-silencing of partially activated lytic programs may represent a rational alternative.\n\n\n### 9.1. EBV Persistence as a Dynamically Stabilized Survival Strategy\nEvolution has shaped EBV toward a lifelong persistent infection characterized by predominant latency and only sporadic reactivation. From a viral fitness perspective, excessive lytic activity would increase immune recognition and clearance, whereas too infrequent reactivation would limit transmission. The observed balance between latency and episodic reactivation therefore likely reflects an optimization between persistence and spread.\nWhen EBV-infected B cells enter full lytic replication, they express high levels of viral antigens and become highly visible to the immune system, leading to efficient elimination by CD8+ T cells and NK cells [229,230]. Thus, despite multiple immune evasion mechanisms, cells undergoing full lytic replication appear to be effectively controlled.\nLiu et al. [231] reported strong CD8+ T cell responses against IE/E lytic antigens, commonly interpreted as evidence of the immunodominance of early lytic phases. However, an alternative explanation may be that this pattern reflects the distribution of infection states within the EBV+ cell population. If a substantial fraction of infected cells undergoes incomplete lytic reactivation, with expression of IE and some early genes but limited progression to late stages, the apparent immunodominance of IE/E antigens may arise from increased target availability rather than intrinsically stronger immune recognition.\nUnder this framework, the relatively stable detection of CD4+ responses against late antigens, despite the presumed lower frequency of fully lytic cells, may suggest that cells reaching late stages are subject to substantial immune pressure. However, current data based on peptide-specific T cell frequencies do not allow direct inference about the efficiency of immune control at different stages of the lytic cycle.\nTesting this hypothesis will require approaches that directly link the lytic state of individual EBV-infected cells with their susceptibility to immune recognition, taking into account antigen presentation and the relative frequency of complete versus incomplete lytic cycles in vivo.\nFinally, caution is warranted when extrapolating findings from acute infectious mononucleosis to chronic infection. Acute infection is characterized by strong inflammatory responses and rapid expansion of EBV-specific T cells, whereas chronic infection involves extensive viral modulation of the host immune environment. In particular, early lytic phases are enriched in viral mechanisms that interfere with antigen presentation and immune signaling, which may further shape the apparent hierarchy of immune responses.\n\n\n### 9.2. Chronic Stability and Biological Significance of Partial Lytic Reactivation\nThe convergence of subthreshold induction signals, epigenetic repression, immune surveillance, tissue-specific environments, and viral genomic constraints creates conditions in which Epstein–Barr virus frequently enters a stable state of partial lytic reactivation rather than completing productive replication. In this state, EBV gains selective advantages, including modulation of host cell cycle regulation, inflammatory signaling, and pro-survival pathways, without incurring the immunological cost associated with virion production. The single-cell transcriptomic analyses by SoRelle et al. demonstrate that partial lytic expression programs represent distinct and durable cellular states rather than transient intermediates, supporting the concept that EBV occupies a continuum of activation states rather than a simple latency–lytic dichotomy [218]. This view is consistent with epigenetic models of EBV gene regulation, which emphasize that incomplete lytic transcription frequently arises from interactions between the viral genome and host chromatin architecture [225].\nA central insight emerging from these studies is that viral DNA replication constitutes a decisive molecular checkpoint during EBV reactivation. Initiation of immediate-early and early lytic gene expression alone does not commit a cell to productive infection. Instead, infected cells diverge at the point at which viral genome amplification would normally begin. Cells that successfully initiate DNA replication undergo global host shutoff, late gene expression, and rapid immune-mediated elimination. In contrast, cells that fail to initiate replication remain viable, transcriptionally active, and metabolically intact, despite having exited latency at the level of early lytic gene expression. Single-cell trajectory analyses reveal that these partial lytic cells form a reproducible and stable branch of the reactivation landscape, characterized by the expression of regulatory and immunomodulatory viral genes in the absence of late structural gene expression or virion production [218].\nThis branching architecture has important biological and clinical implications. Partial lytic reactivation enables infected cells to persist while continuously shaping their microenvironment. Cells expressing early lytic genes can sustain low-level inflammatory signaling, alter cytokine and interferon responses, and modulate antigen presentation, yet remain below the functional threshold for efficient cytotoxic T cell elimination. In epithelial tissues, particularly in nasopharyngeal carcinoma, partial lytic gene expression has been shown to promote tumor-supportive microenvironments through the secretion of cytokines and chemokines that recruit immunosuppressive myeloid cells and enhance angiogenesis, thereby contributing to oncogenesis rather than viral spread [210]. In B cell-associated diseases, partial lytic reactivation generates a reservoir of long-lived infected cells that repeatedly express immunomodulatory viral proteins, potentially exacerbating immune exhaustion and increasing the risk of lymphoproliferative disorders, especially under conditions of immunosenescence or partial immunosuppression [218].\nAt the systemic level, persistent partial lytic reactivation provides a plausible framework for understanding the chronic immune activation associated with EBV in the absence of overt viral replication. Partial lytic activity has been suggested directly or indirectly in the tissues and peripheral blood of patients with autoimmune and inflammatory conditions, including multiple sclerosis and systemic lupus erythematosus, often without detectable virion production [8,232,233,234]. Rather than reflecting failed immune control, this pattern is consistent with an evolved equilibrium in which immune surveillance efficiently eliminates cells entering full lytic replication, while selectively sparing cells stalled before DNA replication. Over time, this immune selection enriches partially reactivated states, making partial lytic reactivation a dominant active form of EBV infection in immunocompetent hosts [218].\nTaken together, these findings support the view that partial lytic reactivation represents a stable, biologically meaningful, and clinically relevant outcome of EBV reactivation. This state allows EBV to persist, modulate host immunity, and contribute to chronic inflammation and oncogenic risk without triggering the immune responses associated with productive replication. Recognizing partial lytic reactivation as a distinct and durable component of the EBV lifecycle has important implications for biomarker interpretation and for therapeutic strategies aimed at either enforcing complete viral silencing or deliberately driving the virus into a fully lytic, drug-targetable state.\n\n\n### 9.3. Building the Mathematical Models of Lat/IE/E/L Equilibrium\nThe mechanisms of dynamic equilibrium between the pool of latent cells, the fraction of cells in the IE/E phases, and the rare fraction reaching the late phase can be formalized using mathematical models based on systems of ordinary differential equations describing flows between states and interactions with the immune response (e.g., Lat → IE/E transitions, arrest/disappearance, transition to late phase, and the production and clearance of free virus). This approach has already been applied in practice in the context of EBV by Inagaki et al., who combined experimental data with in silico simulations within a parameterized mathematical model of infection dynamics and considered scenarios with or without progeny virus production, showing that the model best reproduces the observed dynamics in a variant consistent with partial infection in the pre-latent phase [211]. This direction should be developed and expanded to include further regulatory layers relevant to chronic EBV infection, including explicit consideration of the heterogeneity of IE/E/L states at the single-cell level, cycle phase-dependent immunoevasive mechanisms (especially early ones), and modulation by environmental factors affecting CD4+/CD8+ efficiency (e.g., chronic psychological stress, parasites, and chronic viruses). At the same time, this approach is consistent with the broader literature on EBV modeling within the host, where differential models have already been proposed to describe the dynamics of the virus, infected cells, and CD8+ response (e.g., in the context of age differences and mononucleosis risk), which further supports the thesis of the usefulness of formal models for integrating immunological and virological data in chronic diseases [235] and solving the equilibrium states according to the rules of control theory.\n\n\n### 9.4. The Challenge of Detecting Partial Lytic Reactivation\nMany autoimmune diseases are somehow linked to infection with EBV (multiple sclerosis [1,2,3,4], rheumatoid arthritis [5,6,7], Sjogren’s syndrome [5,7], systemic lupus erythematosus [7,8], fibromyalgia [9,10], Hashimoto thyroiditis [11,12,13], Graves’ disease [11,236], autoimmune hepatitis [237], and hemophagocytic lymphohistiocytosis [14,15]) and studying these links is essential for developing diagnostic and therapeutic strategies. The development of standardized and clinically interpretable assays targeting early lytic transcriptional activity remains a critical unmet need.\nAccurate detection of active EBV infection remains a major clinical challenge. Serological testing has limited diagnostic value, as EBV-specific IgG antibodies persist for life after primary infection and do not reflect the current state of viral activity. Conversely, IgM antibodies and early antigen (EA) responses typically disappear within a few months after primary infection and are therefore insensitive markers of chronic or intermittent reactivation [238,239,240]. Similarly, detection of EBV DNA in whole-blood or peripheral blood mononuclear cells (PBMCs) primarily reflects the presence of latently infected B lymphocytes and does not distinguish between latent and active phases of infection.\nThe measurement of EBV DNA in plasma is more indicative of active lytic replication, as viral DNA enters the circulation following cell lysis and virion release. In advanced or severe disease states, plasma viremia is frequently detectable and correlates with ongoing productive infection. However, this approach fails to capture a large and potentially clinically relevant population of infected cells that enter immediate-early (IE) or early (E) lytic programs but do not progress to the late phase. Cells in partial lytic reactivation may remain viable and do not release virions into plasma.\nSince viral DNA is detected in the plasma of 3–8% of the population, this raises questions about the dynamics of this process and to what extent it reflects a complete lytic process versus the killing of cells in a state of partial lytic activation. The second question concerns the type of cells that are the source of viral DNA in plasma. Are these lymphocytes, or perhaps other types of cells, particularly those originating from tissues infiltrated by EBV+ lymphocytes?\nB lymphocytes and oropharyngeal epithelial cells represent well-established sites of latent infection and productive lytic replication [241]. However, the viruses are released to saliva and not to the blood. EBV DNA and gene expression have also been reported in additional settings, including smooth muscle tumors [242,243] and gastric adenocarcinoma [244]. These observations suggest that EBV may access a broader range of cellular environments. However, their interpretation requires caution. In particular, in many non-lymphoid tissues, EBV-positive signals may reflect the presence of infiltrating infected lymphocytes rather than direct infection of resident parenchymal cells. This distinction is especially relevant in inflamed organs such as the liver, central nervous system, myocardium, and gastrointestinal tract, where EBV-associated pathology has been described, but the precise cellular source of viral signals often remains uncertain.\nOne possible explanation that may reconcile the observations is that localized reactivation events within EBV-infected lymphocytes generate spatially restricted viral activity in peripheral tissues. In analogy to the oropharyngeal compartment, such events could transiently expose the neighboring cells in different organs to viral gene expression and limited infection. However, it remains unclear whether such processes lead to stable infection of non-classical target cells or instead reflect transient and spatially confined interactions. In this context, it is conceivable that viral gene expression may frequently remain restricted to early or abortive phases of the lytic program rather than progressing to full productive replication. While this interpretation is consistent with the concept of partial lytic reactivation, it should be regarded as a working hypothesis that requires direct experimental validation.\nA major challenge in detecting partial lytic reactivation is the probable absence of cell lysis and the consequent lack of circulating viral DNA. In situations where EBV-infected cells undergo lysis or immune-mediated clearance, intracellular viral components may be released into the circulation. Consistent with this, soluble forms of the immediate-early protein ZEBRA (BZLF1) have been detected in the serum of patients with EBV-associated lymphoproliferative disorders [245]. Nevertheless, systematic analyses of other lytic proteins, including early and late gene products, in serum or plasma are currently lacking [246], and the diagnostic relevance of circulating viral protein profiles remains to be established. In particular, quantitative assessment of the relative abundance and proportion of immediate-early, early, and late proteins may help to distinguish between full productive lytic replication and abortive (partial) lytic states, and to estimate the relative contribution of these processes to circulating EBV DNA levels.\nBy contrast, low-level abortive lytic reactivation may occur, in theory, without cell death and therefore without the release of viral DNA or intracellular proteins into the circulation. Under such conditions, extracellular vesicles, including exosomes, may represent an alternative source of viral biomarkers. EBV-infected cells have been shown to release vesicles containing viral RNA and microRNAs, particularly those derived from the BHRF1 region, which can be detected in plasma or saliva independently of cell lysis [247,248]. While these findings are promising, the extent to which extracellular vesicle-associated viral components reliably reflect abortive lytic activity in vivo remains to be determined.\nWhen analyzing the problem of EBV reactivation, it should be kept in mind that the pattern of latency interspersed with episodic and often incomplete reactivation is not unique to EBV but reflects a broader biological strategy shared by many persistent human viruses. Other herpesviruses, including human cytomegalovirus [249,250], herpes simplex virus, varicella–zoster virus, HHV-6/7 [225,251], and HIV-1 [252], similarly establish lifelong latency punctuated by transcriptional or early lytic activation that frequently fails to progress to productive replication. In these infections, early viral gene expression can modulate host immunity and tissue environments without detectable viremia, while cells entering full replication are preferentially eliminated by immune surveillance, resulting in dominance of partial reactivation states. Comparable principles apply beyond herpesviruses: latent HIV infection is characterized by frequent transcriptional bursts without virion production, and hepatitis B virus maintains transcriptionally active cccDNA under immune control, with inflammatory flares occurring in the absence of sustained viremia [253,254,255].\nBecause partial reactivation can drive chronic immune stimulation, cytokine imbalance, and epigenetic remodeling without overt productive infection, similar immunopathological outcomes, including chronic inflammation and autoimmunity, may arise from the reactivation of different latent viruses. This biological convergence substantially complicates correlation-based studies that attempt to link individual viral markers to specific autoimmune diseases, as overlapping immune signatures may reflect partial reactivation of distinct persistent pathogens rather than a unique causal relationship. In this context, partial lytic reactivation should be viewed as an evolutionarily conserved feature of host–virus coexistence rather than an exceptional failure of immune control. This perspective shifts the conceptual focus from binary viral states to dynamically stabilized intermediate configurations governed by regulatory thresholds.\n\n\n### 9.5. Redefining “Kick and Kill” Strategy\nClassical “kick and kill” strategies in EBV-associated diseases are generally conceptualized as induction of the transition from latency to the lytic program, with the implicit assumption that lytic activation renders infected cells susceptible to immune-mediated clearance or antiviral therapy. In this framework, the critical step is typically considered to be the initiation of immediate-early (IE) gene expression.\nHowever, within the framework proposed here, the early lytic state (IE/E) may represent a quasi-stable attractor rather than a transient intermediate. If so, the induction of IE or early lytic genes alone may not be sufficient to achieve effective elimination of infected cells, as a substantial fraction of cells may remain trapped in abortive lytic states that do not progress to stages associated with full immunological visibility or activation of lytic enzymatic machinery.\nUnder these conditions, two alternative trajectories for exiting the IE/E state can be considered. One possibility is re-silencing, returning to latency and restoring a low-immunogenic state. The second is progression toward a replication-competent lytic program, including late gene expression, which is more likely to expose infected cells to immune recognition and to enable antiviral drug activation.\nThese considerations suggest that effective therapeutic strategies should not focus solely on inducing the transition from latency to early lytic states, but also on promoting progression beyond the IE/E checkpoint. In this sense, the functional objective of “kick and kill” may need to be redefined from simple lytic induction toward facilitating a transition into therapeutically actionable lytic states (“push-through and kill”).\nMoreover, such approaches may need to be combined with interventions that enhance the elimination phase, including restoration of interferon signaling, enhancement of antigen presentation, or activation of autophagy-related pathways. Together, these mechanisms may increase the susceptibility of EBV-positive cells that have been driven out of latency.\nA key challenge for future studies will be to define the molecular and metabolic conditions required for progression from early to late lytic phases. In particular, the requirement for coordinated viral gene expression, chromatin remodeling, DNA replication, and metabolic support suggests that this transition represents a high-threshold checkpoint that may be difficult to overcome therapeutically without targeted modulation.\n\n\n### 9.6. Possible Reversal from Partial Lytic to Latent State\nAssuming that partial lytic reactivation is a quasi-stable metabolic state within the cell, another potential therapeutic strategy might be to attempt to return the cell to the latent phase. Although direct evidence for such a transition remains limited, several lines of evidence suggest that such a reversal may be biologically plausible. In particular, strong latency-maintaining mechanisms may not only prevent progression toward productive replication, but may also actively promote re-establishment of a latent-like state following incomplete reactivation.\nImportantly, type I interferon signaling represents a key inhibitory axis at the level of the latency-to-lytic switch. Interferon-mediated activation of the JAK–STAT pathway suppresses BZLF1 expression and EBV reactivation, thereby stabilizing latency [123]. Within the framework proposed here, this suggests that interferon signaling may not only inhibit the Lat → IE transition, but may also functionally bias cells undergoing abortive lytic activation toward the re-silencing of viral gene expression and return to a latency-like state.\nIn addition, cellular transcriptional programs associated with proliferation and differentiation appear to counteract lytic reactivation. The c-Myc/E2F1 axis has been shown to suppress spontaneous or “leaky” expression of BZLF1 and to stabilize latency [256]. Sustained activity of this axis may therefore represent a mechanism by which cells resist or reverse early lytic activation. From a therapeutic perspective, modulation of this axis, either by maintaining proliferative signaling or by preventing its collapse, could contribute to limiting abortive lytic activity and promoting latency re-establishment.\nSimilarly, retinoic acid receptor (RAR/RXR) signaling has been reported to inhibit BZLF1-mediated transactivation and suppress EBV reactivation [257]. Pharmacological activation of this pathway may therefore represent an additional mechanism to restrain early lytic gene expression. Although these approaches contrast with classical “kick and kill” strategies, they may be particularly relevant in contexts where chronic partial lytic activity contributes to pathogenesis. In such settings, therapeutic strategies aimed at reinforcing latency or promoting re-silencing of partially activated lytic programs may represent a rational alternative.", "domain": "affective_neuroscience"}
{"source": "PMC13070663", "title": "E-Poster Viewing", "text": "# E-Poster Viewing\n\n## Abstract\nPeople living with mental illness are more likely to smoke and tend to smoke more heavily than the general population. They are less likely to succeed during a smoking cessation attempt. People with mental illness experience significantly poorer physical health outcomes too; smoking is the leading cause of this. Tobacco harm reduction is an essential component of any policy framework that aims to improve health outcomes for people who smoke. In 2018, the Royal Australian and New Zealand College of Psychiatrists (RANZCP) published a position statement on e-cigarettes which supports the legalisation and regulation of nicotine containing e-cigarettes to facilitate their use as harm reduction tools. To provide an overview of the RANZCP position on e-cigarettes and vaporisers. Relevant studies were sourced from the published literature and reviewed by members of the RANZCP Faculty of Addiction Psychiatry. The position statement was subject to rigorous consultation and review within the RANZCP. The statement provides an overview of the RANZCP position on e-cigarettes. The position statement recognises the potential harm which use of such products may entail and therefore encourages further research to clarify the nature and extent of harm associated with e-cigarettes given recent safety concerns, as well as the role they may play in smoking cessation. In recognition of the disproportionately high smoking prevalence, and low quit rates, among people living with mental illness, the RANZCP supports the legalisation and regulation of nicotine containing e-cigarettes to facilitate their use as harm reduction tools. The substance use disorders (SUD) are a major public health problem around the world. Different neuropsychological impairments can appear during this disorder, such as the alexithymia syndrome and suicidal ideations and behaviors, that both constitute risks that threat these patients. To estimate the prevalence of alexithymia among drug addicted patients and to determine the relation between alexithymia and suicidal ideation and factors associated with suicidal ideation among drug addicted patients. A sample of 152 drug addicted patients (77% Male and 23% F), whom respond to socio-demographic questionnaire are recruited to this study. Alexithymia is measured by Toronto Alexithymia Scale-20 (TAS-20), suicidal ideation and behaviours are measured by Columbia-Suicide Severity Rating Scale (C-SSRS). Among substance-dependent patients 46.7% was considered as a group with alexithymia. Rates of being single and unemployed were higher in the alexithymic group, but current age, age at first substance use and educational status were lower. A significant correlation was found between TAS 20, its factors and C-SSRS. Almost more than two thirds of alexithymic drug addicted patients have suicidal ideation and behaviours. It was found also, that TAS 20 total scores predicted C-SSRS scores. SUD patients with intensive suicidal ideation and behaviours accompanied with alexithymia are characterized by the inability to communicate feelings. Therefore, suicidal ideation and behaviours may occur in those patients without expressed suicide message. Based upon the finding’s, alexithymia may be a good predictor of suicidal ideation and behaviours for preventing suicidal attempts in patients with drug addiction. Emerging evidence suggests how individuals with Gambling Disorder (GD) may show an increased risk for suicide and suicidal ideation compared with the general population. The aim of this study was to first explore the relationship between GD and suicidality in a sample of patients attending a specific program for GD in the Center for pathological addictions (SerD). A sample of 36 patients with GD attending the SerD in Lucca (Italy) completed the Columbia-Suicide Severity Rating Scale (C-SSRS) to assess suicidal ideation and behavior. Most of the patients were males (33, 89,2%), with a mean age (±SD) of 50,6 ± years. A 40.5% of the total sample met at least one C-SSRS item of suicidal ideation at admission and 13.5% of suicidal behavior. Those who had at least one C-SSRS suicidal ideation item had an intensity of ideation mean score of 11.5 / 25 points. This study corroborates the need for careful investigation and specific prevention of suicidal ideation and attempts in patients with a behavioural addiction, such as GD. Recent data showed a high risk for Problematic Use of the Internet (PUI) in patients with mood disorders, especially Bipolar Disorder (BD). Despite traumatic exposure and Post-Traumatic Stress Disorder (PTSD) have been shown to be associated with alcohol and substance use disorder, as well as behavioral addictions such as gambling disorder among patients with BD, little is known about the possible correlations with PUI. The aim of this study was to examine the relationships between PUI and lifetime trauma exposure, besides Post-Traumatic Stress Spectrum symptoms, in a sample of inpatients with BD consecutively hospitalized at the Psychiatric Clinic of the University of Pisa. 113 inpatients with BD completed the Adult Autism Spectrum (AdAS Spectrum), that includes item 66 to assess putative PUI, and the Trauma and Loss Spectrum Self-Report (TALS-SR), to explore lifetime Post-Traumatic Stress Spectrum symptoms. 21.2% of the sample reported a putative PUI with significantly higher TALS-SR total scores with respect to patients with BD without PUI. The former also reported significantly high scores in some of the TALS-SR domains: Potentially Traumatic Events, Re-experiencing, Maladaptive Coping and Arousal. Furthermore, a positive association emerged between Potentially Traumatic Events and Arousal TALS-SR domains scores and putative PUI. This study reveals a significant association between PUI and lifetime trauma exposure as well as Post-Traumatic Stress Spectrum symptoms in patients with BD, suggesting the need for accurate evaluation of these subjects and possible targeted treatment. Due to the lack of methadone maintenance treatment for opioid addicts in Russia, an integrated medical and social rehabilitation is the principal method of medical care of such patients, co- dependence is a number of changes and violations in relations and interactions in families with one or more members suffer substance abuse. The study is devoted to the study of the phenomenon of codependence in the families of drug addicts and the influence of psychotherapeutic correction of co-dependence in mothers on the stability of participation of drug addicts in the complex medical rehabilitation program. We examined 61 drug-addicted patients and 61 their mothers, admitted for hospital treatment and agreed to participate in the study. We studied the socio-demographic, Clinical and psychological characteristics of participants and also we collected annual follow-up\ndata. Drug addicts whose mothers underwent a psychotherapeutic support program, were much more likely to remain in the inpatient rehabilitation program. Kaplan-Mayer survival analysis showed significant differences between the groups in the duration of patients’ participation in the rehabilitation program and the average duration of remission. The positive effect of the correction of co-dependent behavior patterns in the mothers on the progress of drug addiction rehabilitation programs was revealed. Thus, the duration of participation of a drug addicted family member in the program of treatment and rehabilitation measures was significantly longer in the group of patients whose mothers actively participated in the program of psychotherapeutic support for relatives. Binge-watching is measured by the time spend weekly to watch series and the number of episodes watched during one viewing session. This study’s main goal is to evaluate the weight of personality dimensions, age and genre on Binge-Watching’s behaviours. Numerous tools were used. The BFI-10 to evaluate the personality, the EPG to evaluate passions, the PIUQ to evaluate the problematic use of series, the QPI to evaluate immersion, and finally the PTQ for rumination. The sample (n = 199) is composed of people watching series ranging from 18 to 30 years old. Regressions revealed that time spent weekly is predicted by extraversion and gender, whereas the number of episodes watched is predicted by agreeableness, conscientiousness and gender. Other results are not significant and do not allow to make links between variables such as age, neuroticism with Binge-Watching. However, this study shows that gender plays an important role in series related behaviours, and more precisely, that being a woman would predict a consumption of more episodes and a more problematic use of series. We supposed that Binge-Watching behaviours could be explained and predicted by personality dimensions and more particularly by neuroticism, and by age and gender. Our results do not allow us to confirm or reject our hypothesis because of the lack of significance. Cannabinoid hyperemesis syndrome is a clinical entity characterized by recurrent vomiting associated with chronic cannabis consumption. To expose the causal relation between cannabis intake and the syndrome’s symptoms by analyzing the evolution of two cases over the course of more than ten years. 25 and 29-year-old males admitted into the Drug Abuse Unit of the Psychiatry Department of Ramon y Cajal Hospital. In both cases, the presenting symptom was projectile vomiting, cyclic, without a clear triggering cause, and that alleviated with hot baths. They also associated muscle spasms, tremor and profuse sweating. Admission to hospital care was necessary in both cases due to dehydration and weight loss (15 and 17 kg in each case). A complete work-up lead by the Internal Medicine and the Gastroenterology Departments came up negative, classifying both cases as psychosomatic. It is deemed necessary a complete cannabis abstinence, enforced by means of urine drug tests and patient drug-intake diaries. Cannabis cessation lead to an immediate recovery in both patients. However, one of the patients relapsed sporadically, with symptoms reappearing each time a few days after cannabis consumption. The other patient has successfully continued abstinent and has therefore stayed asymptomatic until the present day. Being cannabis used as an antiemetic treatment, there is a paradoxical effect in susceptible chronic consumers in which nausea and vomiting become recurrent. It has been noticed a causal relationship between cannabis intake and symptoms; abandoning consumption constitutes an effective treatment, but symptoms return with every relapse, even after long periods of abstinence. According to the biopsychosocial model of Cloninger, temperament is stable throughout life and basically forms the biological vulnerability of psychopathology, and character is shaped through interactions with environment and pivotal for manifestation of mental disorders. The aim of current study was to investigate the personality characteristics of addiction using Temperament and Character Inventory (TCI), and to explore the personality dimensions which might explain the psychopathological features of addiction. Ninety-six participants (74 males and 22 females) consisting of 3 groups (alcohol problem, gambling problem, and healthy control) were recruited from the Greater Busan area, and completed the TCI. Analysis of Covariance (ANCOVA) considering age and sex as covariates and post hoc analysis were conducted to explore the personality difference among groups. There were significant differences of Novelty Seeking (NS) and Harm Avoidance (HA) temperaments and Self-Directedness (SD) and Cooperativeness (CO) characters. That is, scores of NS and HA in both addiction groups were higher than those in control group, and scores of SD and CO in both addiction groups were lower than those in control group. This study suggested that the Cloninger’s personality dimensions, both temperament and character in combination were significant for distinguishing those with addiction problems from healthy control. The implication for clinical application was discussed. Gamma-hydroxybutyrate (GHB) and its precursor gamma-butyrolactone (GBL) are popular drugs of abuse used for their euphoric, (potential) anabolic, sedative, and amnestic properties. Daily use of GHB/GBL can lead to addiction and the possibility of withdrawal syndrome on cessation which results in tremor, tachycardia, insomnia, anxiety, hypertension, delirium, coma. To describe the baseline characteristics, treatment and retention in patients admitted for GHB/GBL withdrawal management. A retrospective review of 4 consecutive cases of patients reporting GHB/GBL addiction who were admitted for inpatient management of withdrawal syndrome. All patients were using GHB/GBL daily, 1-1.5 ml per hour. One of them was using cannabis additionally, others were using alcohol, cocaine and amphetamine type stimulants. Psychiatric comorbidities as personality disorders, depression, anxiety and bigorexia were recognized. Patients were treated with benzodiazepines and/or clomethiazole, atypical and typical antipsychotics and beta-blockers. Delirium was developed in two patients. One patient completed detoxification and finished the treatment program. One patient completed detoxification but stopped his treatment earlier, two patients did not completed detoxification and left the program. Conclusion: GHB/GBL withdrawal can be severe and retention in program is poor. Polysubstance use, psychiatric co-morbidities and heavier GHB/GBL use as possible predictors of poor treatment outcome need consideration in treatment planning. There exists four distinct phases of opioid dependence and withdrawal: drug induction, drug maintenance, acute abstinence and protracted abstinence. There are different Sleep architecture changes for each of the 4 phases. Limited evidence is available regarding sleep during acute withdrawal from chronic opioid use. This work aims to determine presence and presentation pattern of polysomnographic features in opiate users as compared to non-opiate substance users. The study was conducted on 90 subjects divided into 3 groups Group 1A: 30 patients who were using only opiate agonists Group 1B: 30 patients who were polysubstance users Group 2: 30 controls matched for gender and age Patients will undergo: 1. Physical and mental state examinations. 2. Demographic data and characteristic of the illness including severity using Addiction Severity Index. 3. Urine drug screen test. 4. polysomnographic tracing Total sleep time was reduced in Multi-drug users. There was a reduction in Sleep efficiency and stage 1 NREM sleep in both patient groups. There was an increase in slow wave sleep in the opiate-only users. REM percentage was reduced in cases as compared to controls with a more pronounced reduction in Multi-drug users than opiate-only users. Respiratory disturbance index was higher in both subject groups than in controls with no difference between the opiate-only and polysubstance users. Sleep latency was reduced in polysubstance users. REM latency was increased in opiate-only users. Analyzing PSG data found that total sleep time, sleep efficiency and NREM stages 1 and 2 were significantly reduced in sample group compared to controls Addiction is a long lasting recurring disorder that consists of compulsive drug seeking and use. 80% of sufferers relapse to drug seeking and use after a period of withdrawal and abstinence during what is known as the protracted withdrawal phase. The chronic nature of this compulsion and the high rates of recidivism present a challenge for effective treatment. To describe symptoms associated with protracted abstinence from opiates in recovering addicts The was a longtudinal study that was conducted on 60 subjects divided into 2 groups: 30 oiate-only users and 30 polysubstance users. Baseline visit included assessment for psychiatric morbidity and addiction severity using Addiction Sseverity Index (ASI) 6 monthly visits were made to assess 3 characters of protracted abstinence syndrome, namely: 1. Hamilton Depression Rating Scale (HDRS) to assess depressed mood and anxiety 2. Obcessive Compulsive Drug use Scale (OCDUS): to assess craving 3. Somatic Symtom Scale-8: The SSS-8 is used to assess somatic complaints HDRS scores were higher in opiate-only users. There was a higher score of OCDUS in polysubstance drug users that showed a slow decline that was still significantly higher in this group than in the opiate only users in most follow-up visits. SSS-8 showed a hgiher score in protracted withdrawal syndrome in polysubstance users. As regard HDRS Results show a higher score In group A Initially that rapidly dissipates after 3 months of followup. Group B shows high OCDUS scores over the entire period of follow-up while somatization scale is mostly significantly increased in group B as well. Addictive behavior is characterized by impaired control, social impairment and risky use of a substance. Instead of achieving reward system activation through adaptive behaviors, drugs of abuse directly activate the reward pathways. The individual continues using the substance despite significant substance-related problems. The question behind is, if when you are addicted to something are you free to stop? Our aim is to look for changes in addictive brain that can lead to a lost of free will. From philosophy to neurobiology the authors did a non systematic review in pubmed with the words: “addiction”, “free will”, “ reward system”. In history of psychiatry some authors like Freud with psychodynamic and Watson with behaviorism deny the existence of free will. Others think in fact, although there are some conditionings, free will is a separated category. Aristotle defines ‘free will’ as ‘the strongest control condition - whatever that turns out to be—necessary for moral responsibility’. In addictive behavior, what was at first time a free choice, became, a habit, that change neuroplasticy of the brain. In PET-scan studies it was found, that in the beginning there is an activation of nucleo accumbens, ventral striatum and ventromedial pre frontal cortex. Then there is a migration of activation to dorsal striatum and orbitofrontal cortex. There is a disruption of dopaminergic areas in the prefrontal cortex, reason why the patients can’t inhibit their behavior. Better understanding of neurobiology of addiction can help us to underline that is a disease of free will. The feeling of guilt has been studied less than primary emotions because it cannot be directly observed. A lot of research shows that adults whose parents were alcohol addicts usually feel guilty, but these investigations were conducted on individuals who suffered from alcohol addiction. The purpose of our research was to investigate the feeling of guilt experienced by adult people whose parents were alcohol addicts. Abstract is printed with the permission of the study participants. The study was conducted in the period from October 2018 to March 2019. We used a lot of qualitative methods (analysis of TAT, a phenomenological analysis of the transcripts of the public meetings 12-step recovery program, phenomenological analysis of interviews). The participant was 27years woman A.K. whose mother was alcohol addict. The feeling of guilt is manifested both in the conversation and in the description of TAT tables. The girl feels guilty of responsibility for the fact that she could not cope with her duties (to save the family, to save the mother from alcoholism). Feelings of guilt is associated with the fear of the death of close relatives. Feelings of guilt is manifested by the girl in the behavioral (the girl often asks for forgiveness from her mother) and emotional components (the girl experiences depression, suffering and regret when she speaks about mother’s alcoholism). Based on our research results, we suggest that the feeling of guilt may be one of the factors that prevent a person from building trusting relationships in his own family. A lot of research shows that adults whose parents were alcohol addicts usually feel guilty, but these investigations were conducted either on mentally ill people, or on individuals who suffered from alcohol or other addictions. In cognitive psychology, the guilt is investigated as a result of attributing to oneself the causality of events. The purpose of our research was to investigate the feeling of guilt experienced by adult people whose parents were alcohol addicts. The sample consisted of 52 subjects, they were participants in a 12-step program for adult people whose parents were alcohol addicts, and 50 controls. We investigated that there are significant differences between the feelings of guilt experienced by adult people from healthy families versus adult people whose parents were alcohol addicts. We used the two groups of methods: 1) guilt questionnaires (\"The Interpersonal Guilt Questionnaire\", \"The Guilt Inventory Questionnaire \", 2) qualitative methods (analysis of TAT). The feelings of guilt experienced by adults whose parents had alcohol addiction scored significantly higher than the feelings of guilt in people from control group (p=0,038). The feelings of guilt were connected with the sense of responsibility. People whose parents had alcohol addiction felt guilty in situations when they took care of somebody and did not know how to do this because their parents did not take care of them. Based on our research results, we suggest that the feeling of guilt may be one of the factors that prevent a person from building trusting relationships in his own family. The critical spread and dissemination of novel psychoactive substances (NPS), particularly amongst the most vulnerable youngsters, may pose a further concern about the psychotic trajectories related to the intake of new synthetic drugs. The psychopathological pattern of the ‘new psychoses’ appear to be extremely different from the classical presentation. Therefore, clinicians need more data on these new synthetic psychoses and recommendations on how to manage them. The present mini-review aims at deepening both the clinical, psychopathological features of synthetic/chemical NPS-induced psychoses and their therapeutic strategies, according to the different NPS classes implicated, by underlining the main differences with the ‘classical’ psychoses. A comprehensive review was carried using the PubMed/Medline database, by combining the search strategy of free text terms and exploding a range of MESH headings relating to the topics of Novel Psychoactive Substances and Synthetic/Chemical Psychoses as follows: ((Novel Psychoactive Substances[Title/Abstract]) AND Psychosis[Title/Abstract])) and for each NPS categories as well, focussing on synthetic cannabinoids and cathinones, without time and/or language restrictions. An overview of the main Clinical and psychopathological features between classical versus NPS-induced chemical/synthetic psychoses is provided for clinicians working with Dual Disorders and Addiction Psychiatry. A proposal of psychopathological and clinicalclassification of NPS-induced psychoses has been here provided. Further insight is given here on therapeutic strategies and practical guidelines for managing patients affected with synthetic/chemical NPS-induced psychoses. The World Psychiatric Association (WPA) refers by Dual Pathology (DP) to people \"with both an addictive disorder and another mental illness.” The World Health Organisation (WHO) advocates for community treatment in mental health. To present the innovative program of partial hospitalization for DP designed in the Àrea de Salut Eivissa Formentera (ASEF) meeting WPA and WHO recommendations. The intervention is structured in individual and group sessions from a medical, psychological and social approach. Fours hours per day of intensive therapy are designed for each user in a modular structure based on the principles of motivational interviewing (MI), dialectical behavioral therapy (DBT), mindfulness-based relapse prevention (MBRP), metacognitive training (MCT) and rehabilitation programs. Individual consultations are also scheduled regularly. Sociodemographic and clinical data are evaluated. Results from the intervention in terms of symptoms, functional recovery and agreed individual objectives are evaluated for each user after three months. Since its opening in June 2019, a total of 8 users have benefited from admission to the program. The outcomes measured so far show a positive impact of the intervention in functional recovery. The partial hospitalization program combines an intensive medical and psychological treatment with the possibility of testing and adapting the new treatments and skills to the real milieu of the users. It is still soon to evaluate the wider impact of this pioneering intervention, but the initial implementation indicates positive consequences in the global recovery of the users and their ability to adapt both to their environment and their personal life goals. The severity of psychological disturbances and mental disorders in adults who grew up in alcoholic families make it extremely urgent to develop effective psychotherapeutic programs for them. Besides, the topic of maintaining women’s health is one of the priorities of modern Medicine and psychology. This study aims to assess the psychological effects of the program «Adult children of alcoholics» (Twelve-step program) for Russian women who grew up in alcoholic families. The study involved 80 women who grew up in alcoholic families aged 18 to 44. Participants performed the following assessment: “Purpose-in-Life Test” (Leontiev, 2000), “The Coping Strategy Indicator” (Amirkhan, 1990), The Reflexivity Test (Karpov, 2003), The Test of the Personal Self-conception (Stolin, Panteleev, 1998), State-Trait Anxiety Inventory (Spielberger, et al., 1983), Beck Depression Inventory. Women attend the twelve-step program for more than 2.5 years differ from women attended less than 6 sessions of the program as well as women grew up in prosperous families by higher rates of «Problem Solving» coping strategy (23,91±3,28 vs 19,34±5,67 vs 19,26±6,48; P=0,001); coping strategy «Seeking Social Support» (24,64±3,44 vs 19,41±5,76 vs 20,70±8,09; P=0,006); meaningfulness of life (Purpose-in-Life Test) (27,83±5,17 vs 21,24±7,53 vs 24,04±7,22; P=0,009). They are less likely to use such coping strategy as «Avoidance» (16,55±3,53 vs 21,86±5,29 vs 19,04±6,24; P=0.001). They have low anxiety (48,42±5,65 vs 54,07±7,12 vs 52,81±9,01; p=0,006) and low depression (10,92±5,52 vs 25,90±16,70 vs 16,33±12,35; P=0,003). The results convincingly prove the effectiveness of f twelve-step program in Russia Impaired inhibitory control is considered to contribute to the development, maintenance, and relapse of addictive disorders. Researchers associate inability to maintain a long-term remission in alcohol-use disorder (AUD) with weakened inhibitory control. The aim of the study was to investigate inhibitory control and its neural correlates in patients with AUD. Cognitive and neural measures were obtained in 30 detoxified AUD patients with Go-NoGo Task and EEG, and then matched with data of 30 healthy subjects. For the analysis, the data of 16 EEG channels were selected. To study cognitive and neural correlates of inhibition ANOVA analysis was performed. Analysis of inhibitory control indicated a greater number of inhibition errors in AUD patients versus controls: 7.34 vs. 3.25 (p = 0.039). Inhibitory control performance was accompanied by a significant increase in the beta power in motor brain areas among patients versus healthy subjects (λ = 0.906, F (2, 115) = 5.961, p = 0.003). This finding corresponds to the Go-NoGo Task performance — AUD patients made more “motor” errors than healthy subjects, i.e. patients failed to hold on the response to the irrelevant stimulus (wrongly respond to the NoGo signal). Impaired inhibitory control in AUD patients were associated with an automatic motor response to a stimulus and accompanied with the increase in beta power in the motor areas of the cerebral cortex. Since the power of beta band correlated with metabolism and trophic changes in certain brain area, we suggested that changes in motor cortex were significant features of AUD. Disclosure: The study was funded by RFBR and Tomsk Region Administration according to the research project No. 19-413-703007. Examination of healthy subjects was carried out as part of the research project No. 20-013-00766 funded by RFBR. Internet Gaming Disorder (IGD) will be classified in ICD-11. Cross-sectional studies report the high co-morbidity of internet addiction with psychiatric disorders such as depression, anxiety disorders, and substance use disorder. The case report is of a 23-year-old male student seeking in-patient treatment for severe internet gaming problems. To explore co-existing psychiatric disorders and potential treatment for Internet Gaming Disorder. Patient clinical data that includes the Mini-International Neuropsychiatric Interview (M.I.N.I.), Chen Internet Addiction Scale (CIAS), Hospital Anxiety and Depression Scale (HADS), Beck Depression Inventory (BDI), The Liebowitz Social Anxiety Scale (LSAS), and the Prodromal Questionnaire (PQ-16). The clinical signs of IGD that the patient reported included a preoccupation with internet games and excessive periods spent gaming, withdrawal symptoms of irritability, a reduction in time spent on previous hobbies, persistent gaming in spite of interpersonal and educational problems. The patient scored 78 points on CIAS indicating a substantial pattern of internet addiction. No psychiatric disorder was detected using the psychometric scales. The patient undertook a course of psychotherapeutic treatment including motivational interviewing and cognitive behavioral therapy. In the absence of associated psychiatric disorders, IGD itself becomes a focus for psychosocial interventions. In order to avoid possible medicalization of normal behavior, it is important to elaborate the precise diagnostic criteria of IGD including the assessment of degree of functional impairment that is not included in the DSM-5 classification. Beliefs are defined as relatively rigid and lasting cognitive structures, which are not easy to modify by experience. The objective of this study is to investigate the relationship between nuclear beliefs about drug use and craving and different sociodemographic and clinical variables. Observational, descriptive, cross-sectional study in the Mental Health area of Parla and Getafe, Madrid, Spain. A questionnaire is used to determine the degree to which patients are identified with nuclear beliefs related to drug use and craving. This questionary has 26 items. We analysed the sample and we extracted the most significant variables. The nuclear beliefs are organised around 4 factors: idea of general operation without substance, intention to consume again, conditions to consume again (controlled, non-addictive consumption) and expectations positive consequences of consumption. An also beliefs related to craving. Beliefs significantly influence in the patient consumption. Recognizing the diversity of beliefs about substance abuse allows the development of specific intervention programs The City Clinical Drug Dispensary medical institution is located in Minsk and provides narcological assistance to the population of Minsk with various types of dependence. to present the structure of drug treatment services in the city of Minsk. data of statistical reports. The population of Minsk in 2018 is determined to 1 982 444 people. The number of patients with narcological disorders registered for the first time in the life of the City Clinical Narcological Dispensary health care institution amounted to 12 742 people (64.3 per 100 thousand). Dependence structure: 1.8% - psychotic disorders associated with alcohol consumption (1.3% - amnesic syndrome and residual psychotic disorder), 20.8% - alcohol dependence syndrome, 1% - drug dependence syndrome. 72.1% - alcohol consumption with harmful consequences and 4.1% - drug use with harmful consequences. 11 people were first recognized as disabled due to amnesia and dementia due to alcohol consumption. Drug treatment: inpatient unit - 6 (325 round-the-clock beds, 60 of which are rehabilitation beds) and 6 intensive care units. Full-time departments: 6 (250 beds), of which 5 are for helping adults and 1 cabinet is for helping adolescents. Outpatient rooms: 20 drug treatment rooms for adults, 4 rooms for the treatment and prevention of drug addiction, 2 rooms for methadone replacement therapy and 9 drug treatment rooms for adolescents. 68 specialist work with doctors, psychiatrists-narcologists. the structure and staffing of the health care facility \"City clinical drug dispensary\" allows to provide quite effective assistance in providing assistance to the population of Minsk. Several studies have confirmed that the experience of childhood trauma, poor emotion regulation as well as experience of physical pain may contribute to development and poor treatment outcomes in alcohol dependence (AD). However, little is known about mutual relationships between all these factors in individuals with AD. to analyze associations between childhood trauma, emotion regulation and pain tolerance in alcohol-dependent individuals. The study group comprised 165 individuals diagnosed with AD. The Childhood Trauma Questionnaire was used to investigate different types of trauma during childhood; the Brief Symptom Inventory - to assess anxiety symptoms; the Difficulties in Emotion Regulation Scale (DERS) – to assess emotional dysregulation and Pain Resilience Scale - to measure self-reported pain tolerance. Childhood emotional abuse (CTQ subscale score), anxiety, emotional dysregulation (DERS total score), and the covariates (sex and age) explained almost 16% of the variance in pain tolerance (R2 = 0.156; F[5, 138] = 5.094; p < 0.001). Childhood emotional abuse was positively associated with anxiety, anxiety was positively associated with emotional dysregulation, and emotional dysregulation was negatively associated with pain resilience, adding up to the indirect negative association between childhood emotional abuse and pain tolerance. All of the correlations were significant. The statistical procedure proved anxiety and emotional dysregulation, operating in serial, mediated the effect of childhood emotional abuse on pain resilience in the study group. Addressing the issue of emotional dysregulation and physical pain in relation to childhood trauma, may be an important part of alcohol dependence therapeutic treatment programs. Cannabis is the most widely used illegal drug in the world, with an increase in use over the past two decades. One of the main factors that would explain this phenomenon would be a decreased risk perception on its use. To study false beliefs that may lead to a low risk perception of cannabis use in the population. A review of the available literature on false beliefs that exist behind a decreased risk perception was performed. A lower risk perception about cannabis use is associated with a higher frequency of cannabis use. Consumers have a greater number of positive beliefs related to cannabis use, such as that it does not produce addiction, that it has no negative effects on health, that it is good for some diseases, and that it is not related to intellectual or behavioral disturbances. Consumers hold fewer negative beliefs about the mental and physical health consequences of cannabis use, as opposed to those of those who have never used cannabis in their lifetime, who do consider it to be a real risk. The relationship between perceived risk of cannabis use and cannabis use has been evident for years. There is a reciprocal relationship between the presence of false beliefs about the consequences of cannabis use and the present and future evolution of cannabis use among young people. In this context, early intervention programs are particularly relevant. The problem of treatment of alcohol dependence in Ukraine remains rather acute currently, as the results of the research show a significant increase in the number of alcohol consumers among the population. In order to study the peculiarities of alcohol dependence formation in combatants as basis for their rehabilitation. 56 combatants with alcohol dependence syndrome (F 10.2x) were examined by Clinical and psycopathological method. of the study indicated that clinical picture of alcohol dependence was characterized by loss of situational control (85.3 ± 3.8% of the examined), palimpsests (25.2 ± 2.4%), dysphoria (38.1 ± 1.8%), affective reactions (27.3 ± 1.6%), anxious-depressive disorders (34.6 ± 1.8%) and asthenic manifestations (29.1 ± 1.6%). Pathological psychological predictors of formation of alcohol dependence in men are affective behavior, proneness to conflict, and prevalence of non-constructive forms of coping strategies. 31.4 ± 1.7% of examined have full manifestation of stress disorder, 39.5 ± 1.4% of examined persons have partial manifestation, and 29.1 ± 1.3% of patients have complete manifestation of stress disorder. The purpose of psychocorrection and psychoeducation of the patients with alcohol dependence is making the patient aware of the disease; learning the skills to cope with alcohol cravings; analysis of one’s personal characteristics and peculiarities of self-perception in society; formation in the patient of motivation for treatment; restoring the old and building new public relations with full integration into society; development of skills of adequate behavior in psycho-traumatic situations; correction of “alcoholic” patterns of behavior. Ukraine ranks 2nd in the world in terms of the number of years lost due to disability or premature death due to the alcohol consumption (DALY).This is due to a significant increase in the long-term stress load, which the population of Ukraine now has, which generates an increase in the level of alcohol consumption. To study the peculiarities of the clinical variability of psychopathological symptoms, associated withalcohol addiction (AA) in persons with different levels of psychosocial stress (PS). 312 men with AA were examined: 107 combatants; 89 forcibly displaced persons; 116 residents of the city of Kharkiv region. The study included the use of clinical-psychopathological, psychodiagnostic and statistical methods. In combatants, a significant increase in the severity of psychopathological symptoms with an increase in the level of PS, and, accordingly, the severity of AA, is observed on the basis of depression and obsessive-compulsive response, somatization, interpersonal sensitivity and psychoticism. In displaced persons, there is a tendency to increasing the expressiveness of manifestations of depression, interpersonal sensitivity and paranoyality with an increase in the level of stress. For the local inhabitants, the regularity of increase of expressiveness of all psychopathological manifestations combining with increase of severity of PS is characteristic. The severity of obsessive-compulsive, interpersonal sensitivity and phobic anxiety symptoms is greater among combatants and displaced persons; hostility and paranoyality – in combatants; depression – in displaced persons. The level of PS is an important factor determining the peculiarities of the variety of psychopathological symptoms in persons with AA. 4.2% of Ukrainians have alcohol-related problems, which is significantly higher than in most developed European countries. This is due to a significant increase in the long-term stress load, which the population of Ukraine now has, which generates an increase in the level of alcohol consumption. To study the peculiarities of severity and manifestations of addictive states associated with alcohol-related disorders in patients with different levels of macrosocial stress (MS). Upon condition of informed consent 312 men with alcohol dependence (AD) were examined: 107 combatants ; 89 forcibly displaced persons; and 116 residents of the city of Kharkiv and Kharkiv region. The study included the use of clinical-psychopathological, psychodiagnostic, statistical methods. The clinical variability of AD is associated with the severity of MS: with an increase in the maladaptive stress load, there is a decline of the clinical symptoms of AD. The addictive status of patients with AD demonstrates the tension of a number of addictive objects of chemical and non-chemical origin, the severity of which is directly or inversely associated with the AD and MS. The severity of tobacco smoking (rS = 0.760) and the propensity to excessive seizure of computer games (rS = 0.703) is most closely related to the severity of AD and MS, as well as the addictive tension for other addictive objects. The prospect of further research is the creation of a system of target-personified treatment and rehabilitation, differentiated depending on the level of MS by the patients, and its introduction into the existing integrated system of medical care to AD patients. Caffeine, one of the most commonly used and socially acceptable drugs in the world, has been shown to produce neurobehavioral effects similar to other drugs of abuse. Although impulsive behaviors are closely related to drug use and abuse, little is still known about the relationship between impulsivity and caffeine. For this reason, an investigation was carried out to examine the possible link between caffeine and response inhibition. Our sample consisted of forty psychology undergraduate students who completed (1) the CaffEQ, a questionnaire that evaluates people beliefs about caffeine effects, (2) the caffeine consumption questionnaire, which assesses the average amount of caffeine consumed within a week, and (3) the Stop-Signal Reaction-Time (SSRT) task, a measure of response inhibition or impulse control. Our results demonstrated statistically significant associations between high caffeine expectations and intake and poor response inhibition. More specifically, impulsive behaviors were associated with greater expectancies for withdrawal/dependence and physical performance enhancement as well as greater consumption of coffee and energy drinks. To the best of our knowledge, this work is the first to find a novel link between caffeine and the specific dimension of impulsivity known as response inhibition. Further studies are therefore warranted to explore the direction of causal connections between impulse control and caffeine. The nosological status of Alcohol Relatred Dementia (ArD) as a distinct mental disorder remains under debate as to its neuropathophysiology. It is a chronic and heterogeneous cognitive problem, secondary to alcohol abuse. Wernicke-korsakoff syndrome (SWK) is also characterized by cognitive deficits whose presentation has characteristics similar to ArD, thus adding challenges to the diagnosis. This work aims to discuss alcohol-related dementia etiology, its diagnosis and treatment. The authors used the search engine PubMed, selecting articles from 2013 to 2019, using the words “alcohol related dementia”, “Wernicke-Korsakoff syndrome” and “thiamine”. ArD appears to result from direct ethanolic neurotoxicity on brain cells. Clinically, language impairment is infrequent, there is a lower impact on semantic tasks and verbal memory, with worse performance in visuospatial tasks. Unlike other dementias, it has recovery potential with abstinence. It often overlaps with other entities, notably SWK, secondary to the thiamine deficit. In this syndrome, Wernicke encephalopathy corresponds to the acute phase, presenting by a characteristic triad (gait ataxia, confusional state, and ophthalmoplegia). This may evolve to a more chronic condition, the Korsakoff syndrome, characterized by persistent anterograde amnesia, deficits in executive function, may also coexist with confabulation. ArD is a serious complication of alcohol abuse. Given the heterogeneity of the condition, is essential to have a high index of suspicion and a low diagnostic threshold, with an early onset of IV/IM thiamine replacement. It seems to be also advantageous to start routine neuropsychological screening for earlier diagnosis. Increasing prevalence of cannabis use in young adults is an important health issue as substance use contributes to increased risk of poor mental health. We have analysed psychosocial risk factors for cannabis disorder in young adults. In this study we have analysed associations between emotional distress, personality factors and socioeconomical status and cannabis use disorder using a case-control design. 35 inpatient patients with cannabis use disorder diagnosed by a psychiatrist and 30 outpatient individuals with cannabis use disorder were compared to 112 individuals within the same age range, gender and level of education. We have used the following instruments: Big-Five personality markers (NEO-PI), WHOQOL BREF, DSM 5-\nLevel 1 and 2 self-rated instruments, CUDIT-R for cannabis use disorder and a socio-demographical interview. Specific personality factors were present in association with substance use, thus, inpatient young adults with cannabis use had low Emotional Stability, by contrast with outpatient young adults with cannabis use that had high levels of Openness (F(2,92)=3,613, p<0,05), Agreeableness (F(2,92)=8,424, p<0,0001) and Consciousness (F(2,92)=3,405, p<0,05). Negative affect was associated with cannabis use disorder compared to control ((F(2,92)=72,277, p<0,05). Quality of life was lower in all cannabis users, however quality of life domains were more affected in cannabis inpatient users (p<0.05). We have found significant differences between young adults with cannabis use disorder and controls in view of personality big-five markers, emotional distress and quality of life domains. This directs the intervention towards identifying personality factors and early emotional health issues in young adults with the scope of preventing substance use disorder. How we behave is shaped by past experiences. Regular use of alcohol may change our ability to adjust to behaviour in response to feedback. We investigated changes in reinforcement sensitivity in young adults, who regularly consume alcohol, using a monetary incentive reinforcement (MIR) task. We hypothesized that regular alcohol use is associated with altered responses in anticipation of monetary gain and loss. We recruited 46 volunteers from the local community, half of whom reported consuming alcohol at harmful levels. Participants completed a number of personality questionnaires and performed the MIR task, which measures participants’ efforts in gaining money and avoiding monetary loss. Analysis of co-variance was used to explore group differences; age and gender were included as co-variates. Alcohol users reported significantly higher levels of impulsivity (F1,41=6.0,p=0.019) and sensation-seeking traits (F1,42=36.7,p<0.001) and demonstrated normal sensitivity to monetary value (F1,41=1.07,p=0.307). When challenged to gain reward or avoid punishment, alcohol users were equally motivated as control volunteers to take action to avoid financial loss (F1,41=2.6,p=0.112) but showed less motivation to work towards financial reward (F1,41=4.7,p=0.036). The lack of motivation to work for reward was negatively associated with the severity of alcohol use (r=-.48,p<0-05). In a community sample we observed reduced motivation to obtain financial reward, but intact loss avoidance in heavy drinkers. This effect was directly related to alcohol use severity, suggesting that changes in reinforcement sensitivity occur at an early stage of chronic alcohol use. Stimulant use disorder (SUD) and obsessive-compulsive disorder (OCD) are both characterised by compulsive behaviours, previously conceptualised as dysfunctional habits. Thus, imbalanced regulatory control between fronto-striatal and cortico-striatal loops subserving goal-directed and habitual behaviour respectively, possibly involving midbrain dopaminergic input, could be involved in compulsive behaviour. We used resting-state fMRI to investigate neural networks of compulsivity in SUD and OCD. We hypothesised that SUD and OCD would differ from healthy volunteers in fronto-striatal and cortico-striatal connectivity, and that dopaminergic drug challenges would differentially affect these networks in both disorders. In a randomised, double-blind, placebo-controlled, crossover design, patients with SUD (n=18), OCD (n=18), and healthy volunteers (n=18) received one dose of placebo, pramipexole, or amisulpride, before undergoing resting-state fMRI. Regions of interest included ventromedial prefrontal cortex (vmPFC), premotor cortex (pMOT) and posterior putamen (pPUT), regions involved in goal-directed and habitual control. We compared functional connectivity within these networks and related connectivity to disorder-specific compulsivity measures. Disorder-specific compulsivity predicted functional connectivity between vmPFC and pPUT on placebo in SUD (r=0.51, p<0.05), but not OCD. Pramipexole reversed this relationship in both disorders, so that the correlation was negative in SUD (r=-0.54, p<0.05), but positive in OCD (r=0.49, p<0.05). Pramipexole equally increased connectivity between vmPFC and pMOT in SUD, and decreased connectivity between pPUT and pMOT in OCD. Our findings suggest that imbalanced fronto-striatal loops are involved in compulsive behaviour in SUD and OCD. Dopaminergic modulation of these circuits putatively contributes to compulsivity, with possible ramifications for novel treatments. Disclosure: Dr Meng is supported by the Wellcome Trust (105602/Z/14/Z) and the NIHR Cambridge Biomedical Research Centre. Dr Bullmore is employed part-time by GSK and part-time by University of Cambridge. He holds stock in GSK. Dr Craig was employed by the University Alcohol use disorders are recognized world over as a major public health issue. The role of biomarkers has proved to be important in the identification of problem drinking and in monitoring relapse. Urine EtG and EtS are direct biomarkers of alcohol helpful in the detection of recent alcohol use. This study focuses on understanding the correlation of urine EtG and EtS with other markers of alcohol use and factors affecting its levels. To study the correlation between urinary EtG and EtS and other markers of alcohol use among patients of alcohol dependence syndrome. To study the factors affecting the levels of Urine EtG and EtS Urine EtG and EtS was monitored serially in each subject sixth hourly for 72 hours. Breath alcohol concentration (BrAC), Serum EtG & EtS levels were measured at T0(1st sample). Urine EtG and EtS shows positive correlation with Breath alcohol concentration(p-0.015) and Serum EtG and EtS(p-0.001). Amount of alcohol consumption and time elapsed since last alcohol use are the only two factors which determine levels of Urine EtG and EtS irrespective of age. Longer detection window, positive correlation with other markers of recent alcohol use and minimal patient related factors determining its level makes Urine EtG and EtS an ideal marker of recent alcohol use. The harmful use of alcohol can lead to destructive mental disorders, therefore it is critical to address factors contributing to their development and maintenance. We aimed to identify whether family history is predictive of earlier initiation of drinking or more rapid transition to dependence. Moreover, we examined the time span between at-risk behaviour and onset of alcoholism, the main reason alcohol consumption became a pattern, as well as the patients’ awareness of their addiction. Using cross-sectional data from a male patient-based cohort of 110 alcoholics admitted in a Department of “Prof. Dr. Al. Obregia” Psychiatry Clinical Hospital in 2019, we evaluated the chronology of addiction development using our own assisted survey questionnaire. Social-demographic data, age at first alcohol use, age at onset of alcoholism, family history and perceived reason for alcohol consumption pattern were collected. Patients were also asked whether they consider themselves addicted. As predicted, family history was linked with early initiation of drinking, although transition to alcohol dependence was similar across patients without a family history. The approximate time frame between at-risk behaviour and onset of alcoholism was 15 years, whereas the main reason for addiction was coping with stress. A significantly amount of patients did not consider they had an addiction problem. Frequently, patients described symptoms of depression/anxiety prior to addiction development. Family history of alcoholism can be used when predicting earlier initiation of drinking. An at-risk group could be identified by evaluating comorbid symptomatology and environmental factors such as stress. The harmful use of alcohol can lead to destructive mental disorders, therefore it is critical to address factors contributing to their development and maintenance. We aimed to identify whether family history is predictive of earlier initiation of drinking or more rapid transition to dependence. Moreover, we examined the time span between at-risk behaviour and onset of alcoholism, the main reason alcohol consumption became a pattern, as well as the patients’ awareness of their addiction. Using cross-sectional data from a male patient-based cohort of 110 alcoholics admitted in a Department of “Prof. Dr. Al. Obregia” Psychiatry Clinical Hospital in 2019, we evaluated the chronology of addiction development using our own assisted survey questionnaire. Social-demographic data, age at first alcohol use, age at onset of alcoholism, family history and perceived reason for alcohol consumption pattern were collected. Patients were also asked whether they consider themselves addicted. As predicted, family history was linked with early initiation of drinking, although transition to alcohol dependence was similar across patients without a family history. The approximate time frame between at-risk behaviour and onset of alcoholism was 15 years, whereas the main reason for addiction was coping with stress. A significantly amount of patients did not consider they had an addiction problem. Frequently, patients described symptoms of depression/anxiety prior to addiction development. Family history of alcoholism can be used when predicting earlier initiation of drinking. An at-risk group could be identified by evaluating comorbid symptomatology and environmental factors such as stress. Given the robust association between craving and relapse, most psychological interventions tend to focus on the identification of hig-hrisk situations; situations that are supposed to trigger craving. A crucial aspect of psychological intervention is to help individuals learn skills to efficiently cope with them. To date, no appropriate instrument exists to assess craving triggers We aimed to develop the Transaddiction Craving Triggers Questionnaire (TCTQ), which assesses the propensity of specific situations and contexts to trigger craving, and to test its psychometric properties in alcohol use disorder (AUD). This study included a sample of 111 AUD outpatients. We performed exploratory factor analysis (EFA) and calculated item-dimension correlations. Internal consistency was measured with Cronbach’s alpha coefficient. Construct validity was assessed through Spearman correlations with craving, psychological functioning and drinking characteristics. The EFA suggested a 3-factor solution: unpleasant affect, pleasant affect, cues and related thoughts. Cronbach’s coefficient alpha ranged from 0.80 to 0.95 for the 3 factors and the total score. Weak positive correlations were identified between the TCTQ and drinking outcomes, and moderate correlation were found between the TCTQ and craving strength, impulsivity, anxiety, depression and impact of alcohol on quality of life. The 3-factor structure is congruent with the well-established propensity of emotions and cues to trigger craving. Construct validity is supported by close relations between the TCTQ and psychological well-being rather than between the TCTQ and drinking behaviors. Longitudinal validation is warranted to assess sensitivity to change of the TCTQ and to explore its psychometric properties in other Addictive disorders Disclosure: o CvH declares that there is no conflict of interest o AC declares that there is no conflict of interest o SR declares that there is no conflict of interest o LR has received sponsorship to participate in scientific research funded by FRA through a conven CrossFit is among the sports that involve high-intensity exercises. It often takes a form of group training and is considered as a sport likely to cause injury. Exercise addiction, which may lead to more frequent injuries, is often connected to low self-esteem and narcissism. The study aimed at establishing the links between different aspects of self-esteem and narcissism, and exercise addiction in women training CrossFit. Another goal was establishing the profile of traits connected with self-esteem and narcissism in women displaying different levels of exercise addiction. The study included 110 women who have been training CrossFit for at least 6 months. Questionnaires used were as follows: Exercise Addiction Inventory, Self-Liking/Self-Competence Scale, Self-Compassion Short Scale, Appearance Schemas Inventory, Satisfaction with Life Scale as well as Narcissistic Admiration and Rivalry Questionnaire. 24.5% of subjects were at high risk of exercise addiction. No rectilinear correlations between self-esteem - narcissismand exercise addiction were shown. Strong addiction to physical exercises in women training CrossFit is connected to two profiles of self-esteem and narcissism. One is characterised by high self-esteem and high narcissism connected with admiration; second is characterised by low self-esteem and high rivalry narcissism. Knowledge of these two profiles of self-esteem and narcissism in women with high profile of exercise addiction may translate into creating psychoeducational and psychoprophylactic programs on risky training which is adequately fitted to the needs of women. Internet gaming disorder (IGD) is a new diagnosis in DSM 5 worth of research. New potentially addictive features are emerging in pay- and free-to-play videogames, involving different at-risk populations of gamers. However, few studies have examined whether and how different game-genres can contribute to the risk of IGD. This study aimed to investigate how game-genres can predict IGD, accounting for alexithymia scores, time-related playing habits, and other predictors. Participants were gamers joining online communities, surveyed about which games they played more than 20 hours in their lifetime, time-variables, other stressors and alexithymia scores. A six-steps linear regression with IGD scores and a post hoc logistic regression (outcome: IGD>=21) were performed. 5,979 subjects (88.7% males, 14-18 years), playing at different games (Figure-1). The game-genre explained the 1% of variation only. WoW and similar MMORPGs confirmed their potentiality in promoting IGD, regardless of alexithymia features (B=0.50, p=0.005). However, time-variables completely absorbed the WoW effect (B=0.01, p=0.951). LoL resulted addictive, even if considering time-variables and alexithymia (B=0.88, p<0.001). Minecraft emerged when time-variables were inserted (B=0.359, p=0.041) and stayed significant if removing alexithymia scores (B=0.48, p=0.010). Playing at Diablo3 and similar RPG did not increase IGD (B=-0.99, p>0.001). None of the different game-genres was able to push the subject over the threshold of IGD, because other characteristics interacted as additive risk-factors. Alexithymia traits and time-related playing habits mostly moderated the effect of different games in increasing IGD risk. A videogame could engage people with specific characteristics that may, in turn, differentially predispose to IGD. Videogames have become more popular across females, although their widespread diffusion among males. However, few studies have examined differences between female and male gamers and gender-specific risk factors for Internet Gaming Disorder (IGD). The study aimed to describe males and females’ differences in a sample of gamers, and to identify gender-specific risk-factors for IGD, accounting for alexithymia, playing habits, and other perceived stressors. Participants were gamers joining online communities, tested by IGDS-SF9 and TAS-20 for alexithymia. To explore risk-factors for IGD (outcome: IGD>=21), we set a binary logistic regression stratified by gender. 5,305 males and 674 females differed in most of the descriptive characteristics (Figure-1) and game-genres preferences (Figure-2). Higher DIF scores increased the risk of IGD in both males (OR=1.8 95% C.I. 1.6, 2) and females (OR=1.3 95% C.I. 1.1, 1.7) while higher EOT in males only (OR=1.2 95% C.I. 1.1, 1.3). Having another hobby apart from gaming was protective for males (OR=0.5, 95% C.I. 0.4, 0.6). Having started playing before their ten-years was a risk factor for females (OR=2.3 95% C.I. 1.2, 4.6). Loneliness and boredom feelings predicted IGD in males (OR=1.7 95% C.I. 1.5, 2) and, even more, in females (OR=2.7 95% C.I. 1.8, 4.2). Playing more than six hours/per day increased IGD-risk up to seven times in males (OR=7.3 95% C.I. 5.1, 10.3) and of almost sixteen times in females (OR=15.9 95% C.I. 5.4, 46.7) (Figure-3). Female gamers presented specific characteristics and a greater vulnerability to the increased time spent playing as a risk-factor for IGD. A child is considered abused if he or she is treated in a way that is unacceptable in a given culture at a given time. Safeguarding refers to the process of protecting children to provide safe and effective care. This includes all procedures designed to prevent harm to a child. Strengthening the approach to prevention we aimed to look at our referral process to promote safeguarding practices within professionals. To assess the current referrals process of child safeguarding in Engage Merton (Drugs and Alcohol Service) Patients who were referred for new assessment during the period of September-November 2017 were identified using electronic record system. A questionnaire identified the following information: age, gender, whether the patient has children, referral to social services, was the referral followed up, reason for not referring to social services if patient had children. 43 patients were identified in this period (Mean age 42.3). Of these, 17 were identified as having children. 16 were identified as not having children. This information was not recorded for 10 cases. Of the 17 patients with children, 2 were referred for child safeguarding. Of the cases where patients had children that were not referred for safeguarding, 8 were already known to social services. Professionals carrying out initial assessment in Drugs and Alcohol service need to ensure that presence or absence of children is properly documented for each service user. A safe guarding referral has been considered for each service user with children but none of the referrals were followed up. Social Anxiety Disorder (SAD) has considerable impact on health, especially in adolescence or young adulthood. To illustrate the treatment of SAD with cognitive-behavioral techniques in a public context. Descriptive case study. A 20-year-old female referred to Mental Health in relation to anxiety with history of generalized anxiety. No relevant somatic history. She was in treatment by Clinical Psychology and Psychiatry with 12 years with diagnosis of Anxiety reactive to bullying. She refers history of night terrors and nightmares. Exploration: Coherent speech, no formal alterations, in low tone. High anxiety, facial flushing, tremor and avoidant behavior. Low mood and tendency to isolation. Frequent nightmares, insomnia, hypnagogic and hypnopompic phenomena. Denies toxic consumption. Death thoughts in context of high anxiety, there have never been attempts or structured suicidal plans. Fifty-minute sessions every 2 weeks. A total of 10 sessions in 5 months were conducted. Therapeutic objectives: reduction of anxiety symptoms, establishment of at least 2 significant interpersonal relationships and maintenance or improvement of academic performance. Relaxation techniques were trained, patient’s negative automatic thoughts were worked (\"nobody likes me,\" \"I am weird\"), progressive social exposures were held, validated and reinforced as attending the faculty. The patient began to attend more to her classes and being involved in social tasks (e.g. group work). Anxiety was markedly reduced, although nightmares persisted. Finally, the patient found a job compatible with her studies that made it easy to go on Erasmus trip. Cognitive-behavioral techniques are viable and effective for addressing SAD in public context Some publications refer that benzodiazepines are the most frequently prescribed class of drugs in the treatment of anxiety disorders worldwide. The aim of this preliminary network meta-analysis was to evaluate the efficacy and tolerability of 14 benzodiazepines used in clinical practice for anxiety treatment. In this network meta-analysis, we searched on pubmed different possible combinations of comparative studies between several benzodiazepines frequently used in the treatment of anxiety. Only randomised double blind head-to-head clinical trials in which the study population had anxiety were included. A network meta-analysis of random effects was performed to synthesize all the evidence for each possible pairing and to obtain a ranking for all treatments. All languages were allowed. Our primary outcome was efficacy (mean reduction in severity of anxiety based on Hamilton Anxiety Rating Scale, during treatment). Tolerability (number of adverse events) was a secondary outcome. We included 79 double-blind clinical comparative trials, with a total population of 9454 patients. Regarding efficacy, all drugs were superior to placebo, except prazepam and cloxazolam that had no significant result versus placebo. The range of mean effect size was -3,8 to -11. Mexazolam showed a statistically significant superior effect than lorazepam, diazepam, clobazam and prazepam. Regarding tolerability, only diazepam showed a worse statistically significant difference compared with placebo. In this preliminary network meta-analysis, we found some interesting differences between benzodiazepines, that might be important for clinical practice. Several limitations should be acknowledged. More robust head-to-head clinical trials are needed. Hélder Fernandes and Catarina Novais are employees of BIAL - Portela & C.ª, S.A. Recent data has demonstrated that chronic rhinosinusitis (CRS) with nasal obstruction affects approximately 5–15% of the general population both in Europe and the USA (WHO, 2012). CRS patients are often diagnosed with Anxiety Disorders (AD). The aim of the research was to study the relationships between adherence to treatment of patients with CRS and AD with their emotional, personal and cognitive characteristics. We used an author’s psychodiagnostic interview and two questionnaires: Cognitive Emotion Regulation Questionnaire (Garnefski, Kraaij, Spinhoven, 2002; Pisareva, Gritsenko, 2011), Illness Perception Questionnaire – Revised (Moss-Morris, et al, 2002); and The modified version of the Rosenzweig Picture Frustration Test (Rosenzweig, 1976; Pervichko, 2015, 2018; Zinchenko, Pervichko, 2016). The study involved 37 patients with CRS aged 32 to 54 (40,3±7,5). High level of treatment adherence is more typical for patients who associate the occurrence of the disease with psychological causes (p=0,042). The low level of treatment adherence is associated with ideas about the predominant influence of \"diffuse risk factors\" (p=0,552). High level of treatment adherence is associated with ego-protective reactions to frustration (p=0.007). CRS patients with moderate level of adherence are the most adaptive to treatment of chronic disease. Acceptance and Commitment Therapy (ACT) is part of third-generation or contextual therapies. This therapy has a recent development but is increasingly applied to more mental health problems. To evaluate the efficacy of ACT in the treatment of anxiety disorders, compared to established treatments. A systematic review of the literature was conducted to examine the evidence of efficacy of ACT. PubMed and PsycInfo were searched. Evidence available from randomized clinical trials shows that ACT is more effective than control conditions and’ as usual’ treatments. Comparing ACT with Cognitive Behavioral Therapy (CBT), evidence of equivalent improvements in severity of the disorder, sensitivity to anxiety, worry, fear, quality of life, life satisfaction, avoidance and functioning is obtained, although with different mechanisms of action. At 12-month follow-up, ACT appears to outperform CBT, showing more pronounced improvements in the severity of the disorder and level of avoidance, while CBT achieves better quality of life indices. There is growing evidence on the efficacy of ACT in the treatment of anxiety disorders. ACT is at least as effective as empirically validated Cognitive Behavioral Therapies. However, more evidence is needed to conclude whether it is more effective than established treatments. The National Institutes of Health (NIH) is committed to personalized medicine in the field of mental health. This involves selecting treatments based on certain individual characteristics that have predictive value on the results of the same. To know the patient profile and the characteristics that predict a favorable response to treatment with Cognitive Behavioral Therapy (CBT) in patients with panic disorder. A systematic review of the literature was conducted to examine the available evidence on predictors of the efficacy of CBT in panic disorder. PubMed and PsycInfo were searched. The available evidence indicates that variables such as agoraphobic avoidance, low expectation of change, high level of functional impairment, comorbid C cluster personality disorders, comorbid depression and high neuroticism predict worse psychotherapeutic outcomes. Non-hostile family support and high severity of the disorder are identified as predictors of better outcomes. Other variables obtain a less clear result, such as the duration of the disorder, the age of onset of the disorder or sensitivity to anxiety. Finally, other variables have not been shown to predict outcome, such as the presence of comorbid disorders of Axis I or the number of comorbid disorders, the use of concurrent medication, sociodemographic variables (sex, age, socioeconomic status) or motivation. The knowledge of predictors of response to psychotherapy makes it possible to personalize treatments, thus facilitating the professional’s decision making on which therapy to apply and increasing the possibilities of obtaining effective results. Although adaptive, anxiety may become dysfunctional and severely impact cognitive abilities, such as attention and memory. Importantly, high levels of distress and anxiety are dramatically growing in higher education contexts, given the presence of a wide range of stressors (time demands, increased workload, among others). Mobile technologies for health (mHealth) represent a promising tool to tackle anxiety and promote well-being to a wider academic community. However, most efforts disregard the multidisciplinary nature of the required effort (gathering mental health providers and engineers) and do not account for the user’s motivations and expectations, a paramount condition for both acceptance and efficacy. Materialize a multidisciplinary user-centered effort to propose mHealth-based support to address anxiety in the academic campus. A team including Psychologists, HCI and Software Engineers, adopted human-centred methodologies (e.g., Personas, scenarios, focus groups) to identify and characterize the profile and anxiety triggering contexts for the academic community, proposing specific therapeutic techniques that might be applicable, in those contexts. Three stakeholders were identified and characterized: first-year students, students in evaluation periods, and early-stage teachers. The diverse nature of the anxiety inducing contexts and the need to support users throughout the campus motivated the proposal of a first mHealth tool prototype delivering several evidence-based techniques for managing anxiety. This approach enabled a clear characterization and understanding of the user and anxiety triggering scenarios to support the proposal of a custom mHealth approach. The implemented techniques are now being assessed in a laboratory setting before the first pilot trials. Pregnancy challenges the identity of the future woman and disrupts her psychic balance. Several authors associate the gestational period with a moment of emotional and relational disorganization. Many anxious symptoms testify to the intensity of this period of vulnerability. Evaluate anxiety as a trait and state during the terms of the pregnancy. A cross-sectional descriptive study conducted during the month of February 2018 at the consultation of the gynecology and obstetrics department on a population of 62 pregnant women. We used an information sheet on participants’ socio-demographic and clinical data and the State-Trait Anxiety Inventory (STAI-Y) to assess anxiety in 2 forms: anxiety-state and anxiety-trait. The average age of the participants was 29.7 years old. Of the women surveyed, 35.5% had exaggerated sympathetic signs. According to a dimensional approach, the mean anxiety-state score was 46.72 with a standard deviation of 9.67 and the mean anxiety-trait score was 43.24 with a standard deviation of 8, 25.According to a categorical approach, most women were anxious with a prevalence of anxiety-state of 71% and anxiety-trait of 50%. The results of the sociodemographic parameters analyzed did not show any significant difference in terms of anxiety-state and trait anxiety. Anxiety-state was significantly more common in the 3rd trimester of pregnancy (p = 0.049). We found a significant correlation between exaggeration of sympathetic signs and anxiety-trait (p = 0.02). Anxiety is common in pregnant women. It plays an unfavorable role on the woman’s health during pregnancy and postpartum and that of her newborn. Most of the research on effects of mobile phone use has been based on medical students. Not less interesting is to compare manifestations of phantom phone signals (PPS) in the students of different faculties. The goal is to determine the peculiarities of manifestation of PPS in undergraduate university students of different faculties. The research is based on the survey of 406 university students of four faculties – future dentists, engineers, economists, and psychologists. Survey questions concerned the specificity of a student’s interaction with personal smartphone. Phantom ringing syndrome was more often in students of the economic faculty (р=0.03) than in students of the engineering faculty (74.0% vs 55.9%), and it insignificantly bothers future dentists (1.2%) and engineers (1.7%). We found no significant differences in prevalence of phantom vibration syndrome in different faculties (54.2% - 66.0%). Smartphone relocation helps more often (р=0.011) future dentists (15.3%) than future engineers (1.7%) to cope with the problem. PPS manifestation with the telephone switched off was more often (р=0.05) revealed in dental students (36.2%) as compared to psychology students (17.9%). With no access to their smartphone during a day, future dentists (18.4%) experienced severe emotional anxiety more often (р=0.016) than future economists (7.0%). At this, future engineers (28.8%) twice as often (р=0.039) as future economists (14.0%) dismissed this fact. We have revealed valid differences in the manifestation of PPS in future professionals, which may be determined by the specificity of the professional university education and the students’ personal traits. γ-aminobutyric acid type A receptors (GABAA-Rs) are the major mediators of synaptic inhibition in the human brain. Advances about the pharmacological properties of GABAA-Rs have contributed to our understanding about its function. In this study, we review the GABAA-Rs subunit’s composition research with emphasis on their impact on benzodiazepine´s choice for anxiety. Relevant literature was identified by searching the PubMed, using the keywords “benzodiazepine”, “GABAA receptor” and “anxiety”. Forty-two papers were included for qualitative analysis. The benzodiazepine receptor (BZD-R) is an intrinsic positive allosteric modulatory site of the GABAA-R-chloride channel complex that can be opened by the inhibitory neurotransmitter GABA. Years after the discovery of the BZD-R, studies revealed heterogeneity in the subunit composition of GABAA-Rs, which comprises five subunits, and is classified into three major groups (α, β and γ) and several minor ones. The α subunit is the main determinant of the variability of the benzodiazepine site’s affinity and efficacy. Receptors containing the α1 subunit mediate sedation and serve as targets for sedative hypnotics. Selective agonists for α2 and/or α3 containing GABAA-R have been shown to provide anxiolysis without sedation. Inverse selective agonists for α5 subunit provide memory enhancement. Currently there are no total selective benzodiazepines targeting the different GABAA-Rs. For anxiety treatment, the suitable benzodiazepine should have α2 and/or α3 selectivity. More recent research has been trying to identify more selective GABAA-R-subtype compounds. Furthermore, we must also consider a tailored benzodiazepine choice regarding treatment of anxiety. Dr. Novais and Dr. Fernandes are employees of Bial, Portela & C.ª, S.A. Hope has a direct effect on the effectiveness of psychotherapy. Dissociation proved to be one of the important factors influencing treatment efficacy in anxiety disorders. Self-stigma complicated adherence of the patients to the treatment. The hypothesis is that the increase of self-stigma is connected with the level of dissociation and both lead to a decrease in self-esteem and could also decrease treatment effectiveness in patients with anxiety disorders. A total of 109 patients were evaluated the start and end of therapy by the following scales: Mini International Neuropsychiatric Interview; The Internalized Stigma of Mental Illness Scale; Adult Dispositional Hope Scale; Temperament and Character Inventory – Revised Version; Clinical Global Impression (CGI; objective and subjective); Beck Anxiety Inventory; Beck Depression Inventory – Second Edition; Dissociative Experiences Scale. The therapeutic program included 25 group sessions and 5 individual therapy sessions of cognitive behavioral therapy or psychodynamic therapy in combination with pharmacotherapy. Greater improvement in psychopathology, assessed by the relative change of the objective CGI, was associated with lower initial levels of dissociation, pathological dissociation, harm-avoidance, and self-stigma, and higher levels of hope and self-directedness. There were differences in the relative changes in objective CGI between the subgroups with and without a comorbid personality disorder. The patients without comorbid personality disorder improved significantly more than those with that disorder. Treatment effectiveness in anxiety disorders is related to self-stigma, hope, harm-avoidance, self-directedness, and dissociation. Supported by the research grant VEGA no. APVV-15-0502 A number of patients suffering from psychiatric disorders experience a stigma associated to prejudices about psychiatric diseases. It has been publicized that stigma is most detrimental when it is internalized. The objectives of this research were to identify factors, which are significantly related to self-stigma in patients with anxiety disorders. 109 patients with anxiety disorders and some of them with comorbidity with depressive or personality disorders, who were admitted to the psychotherapeutic department, participated in the study. All patients completed several psychodiagnostic methods – Internalized Stigma of Mental Illness Scale, Temperament and Character Inventory, Adult Dispositional Hope Scale, Dissociative Experiences Scale, Beck Anxiety Inventory, Beck Depression Inventory, and Clinical Global Impression (also completed by the senior psychiatrist). The overall level of self-stigma was positively connected to a comorbidity with a personality disorder, more severe symptomatology, more intense symptoms of anxiety and depression, and higher levels of dissociation and harm avoidance. Self-stigma was negatively related to hope, reward dependence, persistence, self-directedness, and cooperativeness. A multiple regression analysis showed that the most significant factors connected to self-stigma are harm avoidance, the intensity of the depressive symptoms, and self-directedness. Patients with anxiety disorders with and without comorbidity with depressive and personality disorders may suffer from self-stigma. Individuals with greater sensitivity to rejection and other social aversive stimuli are prone to the development of self-stigma. Other personality factors, such as hopeful thinking and self-acceptance, serve as factors of resilience about self-stigma. Dissociation is imporant feature of the patients wiht anxiety disorders and depressive disorders. Goal of the study was to analyze the impact of dissociation on the treatment of the patients with anxiety/neurotic spectrum and depressive disorders, and with or without personality disorders. The sample consisted of inpatients with neurotic spectrum disorders and depressive disorder. The participants completed Beck Depression Inventory, Beck Anxiety Inventory, subjective version of Clinical Global Impression-Severity, Sheehan Patient-Related Anxiety Scale, and Dissociative Experience Scale, at the start and the end of the therapeutic program The total of 840 patients with anxiety or depressive spectrum disorders, who were resistant to pharmacological treatment were referred for hospitalization for the six-week complex therapeutic program, were enrolled in this study. 606 of them were statistically analyzed. The patients’ ratings significantly reduced during the treatment. Patients without comorbid personality disorder improved significantly more than patients with comorbid personality disorder in the reduction of depressive symptoms. However, there were no significant differences in change of anxiety and severity of disorder between the patients with and without personality disorders. The higher degree of dissociation at the beginning of the treatment predicted minor improvement. Dissociation presents an important factor influencing treatment effectiveness in the treatmentresistant patients with anxiety/depression with or without personality disorders. Supported by the research grant VEGA no. APVV-15-0502 Brugada syndrome is a genetic disorder which is characterized by the abnormal electrical activity and increased risk of sudden cardiac death. The aim of this case is to present a patient with Brugada syndrome, which develop anxiety symptoms and discuss about treatment options if connected to anxiety disorder. A 45 years old female patient, married, mother of two, employed, without psychiatric treatment so far. She attends the first psychiatric examination for support and initially refuses psychopharmacotherapy. Three months ago, she was diagnosed with Brugada syndrome, which was also diagnosed to her son and daughter a few years back. The patient has been overwhelmed with a sense of fear and worry, becoming less functional in all spheres of life. She presents anxious with negative anticipation of future, occasional lack of air, dysphoricsubdepressed mood, without psychotic production and suicidal thoughts, but has overprotective behaviour towards her children. The patient rejected psychopharmacological treatment which requires special caution of drug selection. She began individual psychotherapy to learn more coping strategies, but the group psychotherapy is also recommended. We emphasize the importance of timely diagnosis of Brugada syndrome, but also of recognizing symptoms of the anxiety spectrum if they occur because the physical symptoms of anxiety disorder could be mistaken and interweave with presenting symptoms of Brugada syndrome. Response to traumatic event is the result of a complex interaction of many variables: type of stressful event, individual characteristics, subjective response and social support. To show effects of different internal and external factors on the development of psychosomatic diseases. We will present a case of a female patient who developed a series of psychosomatic diseases after she was the victim of five armed robberies. The patient has been in psychiatric outpatient treatment since 2015 under the diagnosis of Post-traumatic stress disorder (PTSD). Not being able to defend herself and her colleagues from the robbers lead to intense feelings of guilt and humiliation that impacted her daily functioning and became a part of her nightmares. After the robbery, patient developed arterial hypertension, diabetes mellitus, psoriasis vulgaris and inversa. Risk factor for developing psychiatric and psychosomatic symptoms was her cultural background with ideas that women must not reach out for help, have to act as support for others and suppress their own feelings. After the fourth robbery, helplessness, a feeling previously unknown to her, finally led to her first contact with psychiatrist. In her case, strong social support from family members was a protective factor. As a traumatic event, robbery may have consequences on both psychological and physical integrity of the victims leading to different clinical presentations including PTSD and different psychosomatic diseases. Integrative approach comprising of psychotherapy, sociotherapy and pharmacotherapy is essential in complicated cases like this. Specific phobias are characterized by excessive and persisting fear of a certain object or circumstance. The diagnosis of specific phobia requires active avoidance of the feared object or the development of extreme anxiety when exposed to the phobic situation. To present a case-report illustrating the diagnosis and management challenges in patients with specific phobias. Literature research using “PubMed” database with MeSH term \"Phobic Disorders\"[Mesh]. Restricted to review articles written in English, published over the last 10 years. Total of 233 results; 10 articles selected. Information regarding the clinical case was obtained by consulting the patient’s file. Woman, 37 years old. Complained of a feeling of obstruction in her throat after an episode of choking while eating, 3 months ago. Recalled serious dyspnoea and anxiety during the incident. The felling of obstruction worsened so she started eating only doughty food and fluids, losing 9kg of weight. Underwent an upper digestive endoscopy, which showed no significant findings. Was then referenced to a psychiatry appointment during which the patient reported being afraid to suffocate while swallowing saliva. On mental state examination, was identified severe anxious humour. The diagnosis of phagophobia was suspected. Psychoeducation and treatment with a selective serotonin reuptake inhibitor were started. Symptoms markedly improved and the patient was completely asymptomatic after 4 months. This case emphasizes that specific phobias can masquerade as organic disorders. A clinical evaluation by a physician combined with a prompt psychiatric evaluation may reduce the duration of the diagnostic period and lessen iatrogenic damage. Somatic symptom disorder (SSD) is characterized by the idea that one has a serious disease based on misinterpretation of physical symptoms, causing significant impairment in one’s life. To present a case-report of severe SSD. Research using “PubMed” database with MeSH term \"Hypochondriasis\". Restricted to articles written in English, published in the last 5 years. Total: 114 results; 12 articles selected. Information regarding the clinical case obtained by consulting patient’s file. Man, 42 years old. Past medical history: abdominal trauma requiring surgical management; heroin use disorder. Pharmacological regimen: methadone 40mg/day. Went to the emergency department 12 times over the previous 6 months complaining of constipation. Bowel obstruction due to adhesions was suspected versus constipation due to opiates. Admitted to general surgery ward. Work-up showed no findings. Constipation remained despite therapeutic measures. Returned a month after discharge with the same complaint. Felt his pylorus was “obstructed” thus had only ingested fluids for the previous 22 days. Lost 15kg. Was referenced for psychiatric evaluation. Mental state examination identified: speech centred in somatic complains; severely anxious mood; lack of insight. Diagnosis of severe SSD was suspected. Admitted to psychiatry ward. Psychoeducation was done and started treatment with selective serotonin reuptake inhibitor. Completely asymptomatic 15 days after admission. This case reiterates the importance of considering SSD as a differential diagnosis of clinical symptoms with no objectifiable organic findings, evaluating the clinical scenario as a whole and not focusing on a single symptom. This is crucial to guide precise therapeutic management, avoiding iatrogenesis and life-threatening situations. Multiple sclerosis (MS) is a severe neurological disorder and the white matter abnormalities as well as the involvement of corpus callosum may represent the links between MS and psychiatric disorders. The onset of anxiety disorders in MS patients may further worsen their daily functionality and quality of life. To report a case series of patients diagnosed with MS who also presented anxiety disorders after the onset of their neurological disease. Three patients, 2 male and one female, mean age 45.3 years, diagnosed with MS, were evaluated in an out-patient setting for anxiety disorders. The diagnoses of panic disorder (n=2) or generalized anxiety disorder (n=1) were confirmed according to the DSM-5 criteria, and treatment was initiated with either escitalopram (15 mg daily dose, n=2) or sertraline (100 mg daily dose, n=1). These patients were monitored for 6 months using Hamilton Anxiety Rating Scale–17 items (HAMA), Clinical Global Impressions–Severity (CGI-S), and Global Assessment of Functioning (GAF) every 4 weeks. The mean decrease of the HAMA score was 15.6 points at endpoint compared to baseline, and two patients reached the level of remission. GAF and CGI-S scores reflected this favourable evolution in all three cases, with a mean improvement of 43.6% and 52.2%, respectively. No significant adverse events were reported during the 6-month monitoring period. The case manager should be aware of the high risk for anxiety disorders in MS patients. Escitalopram and sertraline are good therapeutic options because they are both efficient and well tolerated. The author was speaker for Servier, Eli Lilly and Bristol-Myers, and participated in clinical trials funded by JanssenCilag, Astra Zeneca, Otsuka Pharmaceuticals, Sanofi-Aventis, Sunovion Pharmaceuticals. The efficacy of virtual/augmented reality (VR/AR) games in phobia treatment, as a complement to the conventional methods, is already broadly studied. However, this method lacks objective metrics, since the exposure level does not suit the state of the patient. Thus, the hypothesis to add neurofeedback to objectify and personalize the treatment, arose. In this work, a study with six already-diagnosed patients (three agoraphobia - AP, three social phobia - SP), undergoing psychotherapy, was performed. The study had a five-month duration, with a mean interval of two weeks between sessions. The aim was to evaluate the efficacy and tolerance of using serious games directly controlled by neurofeedback. For that, the patients wore a headband that measured Electroencephalography (EEG) and Photoplethysmography (PPG), which were then translated into brain signals and heart-rate, as they watched the virtual scenarios. In this phase of the work, the different levels of the games were played without direct control from the physiological data acquired. Afterwards, the goal is to test the game control already integrated, directly from the physiological data readings. Before each session, the patients completed two scales: Beck Anxiety Inventory (BAI), and Severity Measure for Agoraphobia (SMA) or Liebowitz Social Anxiety Scale (LSAS). Outcomes show a positive effect: AP patients had a mean decrease on phobic symptoms of 13.43%; and SP patients had a mean decrease of 3.45%. The study shows that the addition of VR/AR in psychotherapy is positive. Future work will be conducted to assess the effect of the neurofeedback control. Alexithymia as a personality construct reflecting deficit of emotional regulation and cognitive processing is considered a universal trait that transcends cultural differences (Taylor et al.). In acute myocardial infarction (AMI) it is associated with delayed treatment seeking (Carta et al.). The aim of the study was to explore the specifics of emotional regulation and cognitive processing in AMI patients through measuring the three-factor structure of alexithymia. The instrument that we used was the Russian version of Toronto Alexithymia Scale (TAS-20-R) (Starostina et al.) which was administered to 48 AMI patients during their in-patient treatment in Cardiology Clinic. The prevalence of alexithymia among AMI patients was 68.8% (31.25% - moderate level, 37.5% - high level). The integral index of alexithymia in the examined patients as compared to the scientific data was surely higher (p=0.039). The concept characteristic of the identified differences was a higher level of the difficulty identifying feelings factor (p=0.0063). We have also revealed significant interrelations of alexithymia with the lipid status of the AMI patients. We identified positive correlations between the level of high-density lipoproteins (HDL) and the general index of alexithymia (r=0.37) and the factors that constitute its structure - difficulty identifying feelings (r=0.27), difficulty describing feelings (r=0.40), externally oriented thinking (r=0.33). Deficit of emotional regulation and cognitive processing as manifestations of alexithymia have been monitored in two thirds of AMI patients. Its higher level is characterized by patients’ difficulty describing their own feelings. Positive interrelations of alexithymia with the HDL level need further studying. Diagnostic manuals agree on the need to rule out organic causes before making the diagnosis of bipolar disorder. To highlight the importance of carrying out a comprehensive study to rule out possible treatable causes which could be producing psychiatric symptoms. We present a case report of a 60-year-old woman with no prior psychiatric history who, in the course of 4 months, developed symptoms of irritability, loss of social distance, behavioural disorganization, impulsive shopping, magical delusions and nocturnal hyperactivity. Episodes of mutism and self-limited language alterations were similarly observed. The patient was referred by her family doctor to our out-patient department due to a suicide attempt by ingesting soap after which she did not seek medical assistance. At her request, she was admitted into a private psychiatric institution for a month where she was diagnosed with bipolar disorder. After discharge and despite the established pharmacological treatment, no symptomatic improvement was observed. She was then admitted into our hospital where after screening test she was diagnosed with ACTH-producing pituitary macroadenoma. The patient was intervened by the Neurosurgery department through trans-sphenoidal resection and the symptoms progressively disappeared. It is of vital importance to rule out organic causes prior to the diagnosis of bipolar disorder. Electroconvulsive therapy (ECT) is indicated for the treatment of both manic and depressive phases of bipolar disorder in some cases: the severity of the symptoms, the necessity of an urgent response or the impossibility of using drugs for the treatment. To show the benefits of the application of ECT in patients with comorbidities with a case communication. We present a 60-year old male patient with a bipolar disorder diagnosis with 41 years of treatment history. Due to a depressive episode, he was admitted to the psychiatric ward. Symptoms consisted of mutism, psychomotor retardation, and refusal of oral intake of food (BMI 14.5) and hydration, attributing the latter with autolytic intentionality. His vital risk was aggravated because of chronic renal failure and nephrogenic diabetes insipidus, both related to the treatment with lithium he had followed for years, requiring an adequate water intake. During his admission symptoms hadn’t responded to therapeutical dosages of venlafaxine that hadn’t been able to be increased over 150 mg/day due to adverse effects. Analysis ordered by the Nephrology department indicated that he presented SIADH (syndrome of inappropriate anti-diuretic hormone) related to treatment with valproate, as it remitted after stopping the drug. Together with the family judicial authorization for treatment with ECT was requested and granted. We administered up to 12 ECT sessions, with clinical improvement after the 5th-6th session. ECT is a therapeutical option to consider in cases of severe psychiatric disorders in which a pharmacological approach is not enough or is not well tolerated. Functional disability in bipolar disorder, despite optimal treatment, has been associated with residual symptoms. Nevertheless, the impact and relevance of each of them remain unclear in clinical practice. The aims of the present study were to evaluate the impact of residual symptoms on overall functioning in euthymic patients with bipolar disorder and to explore the relationship between residual symptoms and specific areas of functional impairment. This was a cross-sectional, non-interventional study of adult bipolar outpatients. All patients were euthymic at the time of assessment (YMRS score <8 and BDRS ≤8). The Functioning Assessment Short Test was used to assess overall and specific domains of functioning (autonomy, occupational functioning, cognitive functioning, financial issues, interpersonal relationships, and leisure time). Various residual symptoms were assessed (residual mood symptoms, sleep and sexual disorders). Logistic correlation was used to determine the best model of association between functional domains and residual symptoms. Almost quarter of 40 patients included (22,5%) had poor overall functioning. Residual depressive symptoms were associated with poor overall functioning and occupational functioning outcome (r=0,405, p=0,009; r=0,343, p=0,003 respectively). In addition, sleep quality appeared to have an impact on global functioning and autonomy (r=0,402, p=0,01; r=0,46, p=0,003 respectively). Residual manic symptoms and sexual function weren’t correlated with functioning impairment. ln this study, residual depressive symptoms and sleep quality impairments were the most prominent factors associated with the level of functioning. Thereby, these residual symptoms need to be targeted in order to optimize bipolar patients functioning and quality of life. Aggressive behaviors represent a public health concern and although most psychiatric patients are not aggressive, bipolar disorders (BDs) are associated with increased risk of these behaviors. Previous research focused on self-aggression identifying different predictors including affective temperaments and predominant polarity (PP), but little is known about hetero-aggressive behavior (HAB). To explore the association between affective temperaments, PP and HAB and clinical predictors of HAB in BDs. A total of 371 subjects with BDI o BDII were recruited from the Barcelona Bipolar Disorder Program. Data on HAB were obtained from structured interviews with the patients or electronic clinical records. Affective temperaments were assessed with the TEMPS-A. Patients with and without HAB were compared regarding Clinical and sociodemographic variables and a logistic regression was performed. 81 patients reported HAB which was associated positively with substance use (SU) (p=0.004), manic polarity (p=0.024) and treatment with atypical antipsychotics (p=0.030) and negatively with depressive polarity (DP) (p=0.032) and hyperthymic temperament (p=0.025). After logistic regression, SU was positively associated with HAB (OR 2.05 [95% CI 1.18-3.57] p = 0.001) and DP negatively (OR 0.44 [95% CI, 0.20-0.97] p=0.042). Current evidence on prevention strategies for HAB in BDs is limited. It is possible that high levels of impulsivity in BDs, as linked to behavioral dyscontrol and SU, can lead to HAB. The evaluation of PP and SU should direct in the prevention of HAB, but the assessment of self-aggressive behaviors remain the main focus for a clinician. Previous studies have analyzed the influence of gender on demographical and clinical patterns of patients with bipolar disorder. It remains unclear the association between gender and inpatient characteristics in bipolar patients. The aim of this study is to investigate the association between gender and demographical and clinical features of patients hospitalized for bipolar disorder. Admission data were extracted from national database of 2013 (CMBD-H). Patients with primary diagnosis of bipolar disorder were included using International Clasification of Diseases, 9th revision, Clinical Modification (ICD-9 CM). To study the association between gender and qualitative and quantitative variables, Chi-square and T-student tests were applied. Admission rates by gender per 10.000 people were calculated by age-standarized rates obtained by National Statistic database 2013 (INE). The database included 8.384 admissions by 6.846 patients. The number of readmission was higher in men (p<0,05). The mean age in women was higher than men (48 years vs 44 years, respectively; 95% CI p<0,05). Most patients were diagnosed with bipolar disorder type I. Up to 63 % of patients were admitted for manic episodes, the number of episodes was significantly higher (p<0,05) in men than women. It was followed by mix and depressive episodes which were higher in women (p<0,05). This study reveals gender differences in demographical and clinical variables of patients hospitalized for bipolar disorder. It is necessary further research on this topic to understand the causes of this findings. Past studies have investigate the influence of gender in medical and psychiatric disorders in patients with bipolar disorder. The association of gender and comorbidities remains unclear. The aim is to identify physical and mental comorbidities of patients hospitalized for bipolar disorder and to analyse them by gender. Admission data were extracted from national database from 2013(CMBD-H). All patients hospitalized for bipolar disorder as primary diagnosis were included using International Classification of Diseases, 9th Revision, Clinical Modification (ICD-9-CM). Chi-quare and logistic regresion models were applied to identify the association in comorbidities by gender.\nOR adjust(95% CI)Medical comorbidities0.88(0.75,1.03)Hypertension4.78(3.79,6.04)*Hypothiroidism0.88(0.73,1.06)Diabetes1.39(1.08,1.79)*Asthma2.26(1.55,3.31)*Psychiatric comorbiditiesTobacco use disorder0.80(0.72,0.90)*Drug use disorder0.30(0.26,0.34)*Alcohol use disorder0.33(0.28,0.38)*Personality disorder1.30(1.10,1.55)*Suicidability1.14(0.90,1.44)*p<0,05 The most frequent physical comorbidities found in bipolar inpatients were hypertension, hypothyroidism, diabetes, obesity and asthma. Hypothyroidism was more than 4 times higher in women (OR=4,78), followed by asthma and obesity. Tobacco use disorder, alcohol use disorder and drug use disorder were the top three psychiatric comorbidities followed by personality disorder and suicidability. Women had less odds in all sustance use disorders like tobacco(OR=0.8), drugs(OR=0.3) and alcohol(OR=0.33); higher odds were found in personality disorder and suicidability in women. This study reveals important differences in medical and psychiatric comorbidities in bipolar inpatients. Women had more medical comorbidities than men. Sustance use disorder had higher rates in men. Further research needs to be done in order to investigate de causes and offer and comprehensive treatment. Affective instability is a present feature not only of affective disorders but also of personality ones, particularly on borderline disorder, where is often a difficult diagnosis because of their symptomatic overlap. The objective of this paper is to evaluate whether bipolar disorder and borderline personality disorder are independent or represent different manifestations of the same disorder. A bibliographic search was performed from different databases (Pubmed, ScienceDirect) about both entities, from a case series report, showing throw aspects related to differential diagnosis and transition between both. On many occasions has being proposed to talk about “bipolar spectrum” more than separated diagnostic categories. It would be relevant to propose a paradigm change to allow both entities to be more flexible, with the intention of improving diagnostic boarding and treatment. However there is no agreement between the distinction or the inclusion of Borderline in the Bipolar spectrum. Although mood symptoms are a prominent feature for both of them, the pattern is different. Borderline personality disorder is characterized by transient mood shifts that occur in response to interpersonal stressors, whereas bipolar disorder is associated with sustained mood changes. Studies have proved these disorders can be further distinguished by comparing their phenomenology, etiology and management. More studies are required to find a correct differentiation between both disorders, allowing a different initial boarding, because there will always be the question if we could modify the course with an early detection and attention. Guidelines for differential diagnosis are suggested and priorities for further research are recommended. The goal of maintenance treatment is the stable social functioning of patients who have achieved stable remission. Affective pathology always remains dangerous in relation to suicides, relapses, antisocial actions and other complications. Pharmacotherapy during this period consists in continuing effective therapy with mood stabilizers, taking into account its tolerance and safety. Non-pharmacological treatment includes the psychotherapy and software package for the analysis of physiological, psycho-emotional and social data of the patient, collected using smart bracelets and smartphones. The importance in this period belongs to compliance with the treatment regimen. It was noted that with the abolition of part of the treatment, the likelihood of maintaining remission decreases sharply and relapse is observed. The treatment of affective disorders is aimed at preventing relapse, developing suicidal behavior and other complications, as well as improving the patient’s quality of life. The essence of the pharmacological effect at this stage is to continue the therapy with mood stabilizers. The software package collects patient data using smart bracelets and smartphones. The system processes this data using an analytical model and machine learning and notifies patient and the attending physician when determining anomalies in the indicators. It becomes possible to adjust psychopharmacotherapy at an early stage of exacerbation. Comprehensive strategies, including IT technologies used in combination with pharmacotherapy, improve compliance, reduce the risk of relapse and help restore patients’ social functioning. It is not clear whether in families with a marked genetic risk for bipolar disorder (BD) there are impairments in impulsivity, risk behavior and decision making in BD and major depressive disorder (MDD). To analyze differences in impulsivity, decision making and risk behavior in bipolar multiplex family members diagnosed with BD, MDD and a healthy control group (HC). A sample of 8 bipolar multiplex families of an ongoing study (ABIF) was used. A group with a diagnosis of BD (N =31), another with a diagnosis of MDD (N = 26) and finally a HC group (N = 31) from the families and the community were compared. The Stop Signal Task and the Cambridge Gambling Task from the CANTAB battery were used. Mixed logistic regression adjusted by age and gender was carried out. Family structure was included as a random effect using a genetic relationship matrix. The analysis was carried out in R using the function relmatLmer of the package lme4qtl4. There were significant differences between BD and HC, with higher delay aversion (p = 0.032) in BD and marginally significant results with worse response inhibition (p = 0.057) and decision making (p = 0.057) in BD. No differences were found in risk behavior (p = 0.181). There were no significant differences between BD and MDD and between MDD and HC in any variable. In bipolar multiplex families specific deficits were found in impulsivity in individuals with BD. Larger studies are needed to detect smaller effects. Numerous studies demonstrate that patients with bipolar disorder present high rates of cannabis (C) and tobacco (T) consumption.The use of these substances has been associated with the progression and increase severity of the disorder, as well as with a greater likelihood of suffering more episodes (manic and depressive), more hospitalizations, suicidal attempts and greater cognitive impairment. The general objective of this study is to analyze the influence of the combined consumption of T and C on the Clinical and functional evolution of patients with first manic episodes and also the cognition. The sample consists of 46 patients diagnosed with a first manic episode, according to defined criteria of the DSM IV-TR. The analyses were performed with SPSS v.23 statistical program, applying Kolgorovo-Smirnov, Student’s T test to examine the clinic. Besides, univariate general linear models (post-hoc analysis) were carried out to study the cognition. Although the results are not significant at a functional level among the three groups, they all show improvement after six months. In terms of cognition, there are significant differences in attention and processing speed, being the group that consumes tobacco the one that obtains the best cognitive results. In conclusion, the combined use of cannabis and tobacco influence notably the Clinical and functional outcome of patients with first manic episodes, being global attention and processing speed being the most affected domains. The treatment of bipolar disorder (BD) in children and adolescents is a challenge for psychiatrists. The delay in diagnosis, difficulty in the prescription and the increased likelihood of side effects can difficult to start it. To analyze the treatment received in a sample of 72 patients under 18 with bipolar disorder, as well as their response. We analyze the treatment received in a sample of children and adolescents with BD. We evaluate the specific treatment, its dose and its response according to Clinical Global Impression (CGI). 93% of patients required some type of psychotropic drug. 77.8% of patients needed more than one drug. 68% of patients required some antipsychotic, and out of these, more than 11% received clozapine. More than 8% needed lithium and almost 70% were treated with some other stabilizer. The percentage of response to treatment according to CGI was: 20.8% good (CGI 1-2); 45.8% moderate (CGI 3-4); 33.3% insufficient (CGI 5-7). The results of this study show the need for treatment and the difficulty in controlling symptoms despite such treatment. It is necessary to continue to deepen the treatment of children and adolescents with BD The treatment of bipolar disorder (BD) in children and adolescents is a challenge for psychiatrists.The delay in diagnosis, difficulty in the prescription and the increased likelihood of side effects can difficult to start it. To analyze the treatment received in a sample of 72 patients under 18 with bipolar disorder, as well as their response We analyze the treatment received in a sample of children and adolescents with BD. We evaluate the concrete treatment, its dose and its response according to Clinical Global Impression (CGI). 93% of patients required some type of psychotropic drug. 77.8% of patients needed more than one drug. 68% of patients required some antipsychotic, and of these, more than 11% received clozapine. More than 8% needed lithium and almost 70% were with some other stabilizer. The percentage of response to treatment according to CGI was: 20.8% good (CGI 1-2); 45.8% moderate (CGI 3-4); 33.3% insufficient (CGI 5-7) The results of this study show the need for treatment and the difficulty in controlling symptoms despite such treatment. It is necessary to continue to deepen the treatment of children and adolescents with BD Bipolar disorder (BD) is one of the most disabling psychiatric disorders. Carbolithium is the first-line therapy in BD, but has important adverse effects and a narrow therapeutic range, affecting patients’ compliance and quality of life. investigate effects of switching from Carbolithium to corresponding Sulphate formulation in a group of bipolar patients in order to evaluate any difference in psychosocial functioning and quality of life. 15 patients diagnosed with BD were enrolled. All patients were stabilized with Carbolithium and then treated by the corresponding Lithium Sulphate formulation dosage. Subjects were evaluated before therapy switch (T0) and 3 months later (T1) and subjected to blood analyses. MADRS, MRS, PANSS, HAM-A, AMDP were used to evaluate psychopathology; to assess subjective experience of psychosocial functioning and quality of life WHODAS 2.0, DAI-10 and SF-36 were submitted. Repeated measures ANOVA was conducted using SPSS. Statistically significant improvements emerged in the following scores: TSH (p=.000), SF-36 (AFT p=.004, SMT p=.009); MRS (p=.002); HAM-A (p=.000); WHODAS self-administered (p=.000), WHODAS proxy administered (p=.002). Lithium blood levels remained stable. An improvement of thyroid indexes and no worsening of renal function emerged. Only DAI-10 shows a decrease (p=.021): this data can be related to study limitations and to Lithium Sulphate price that may affect negatively patients’ drug attitude. Lithium Sulphate does not affect negatively renal and thyroid function and seems to improve patients’ psychosocial functioning and quality of life, even though this study is limited to a small sample of patients and for a short observational period. Cognitive dysfunction is a major feature of bipolar disorder (BD), strongly associated with patients’ functional outcome. The main objective is to assess functional remediation (FR)1 efficacy in improving cognitive deficits (measured by BAC-A) and psychosocial functioning (measured by FAST) in a sample of euthymic patients with BD, compared to standard treatment (TAU). Other secondary endpoints are to identify biomarkers for FR response, through serum BDNF levels and functional neuroimaging techniques. Two arms (1:1) randomized, rater-blinded, controlled study of 72 out-patients with BD-I and BD-II, according to DSM-5 criteria. Patients between 18 and 55 years in euthymic phase for at least two months prior to study entry will be enrolled. All patients will be assessed at baseline, at the end of treatment and after a 6-months follow-up with clinical (Y-MRS and HAM-D), neurocognitive (BAC-A) and psychosocial functioning (FAST) measures. At the same times, serum assessment of BDNF levels and functional neuroimaging techniques will be performed. The main result expected is that, after treatment, patients receiving FR show better cognitive and psychosocial performance than those receiving TAU. Other expected findings are associated with any differences in serum BDNF levels and functional brain changes related to cognitive and functional improvement after FR. There is the need of new non-pharmacological interventions in BD in order to improve not only affective symptoms, but also cognitive dysfunctions, with the final goal to achieve full functional recovery. If FR will confirm its effectiveness, it should be implemented in the standard care of BD. Bipolar disorder affects 3-5% of the population. Women with bipolar disorder have approximately 40% chance of having an illness episode related to childbirth and 20% will have a severe episode of illness. Knowing the factors associated with the outcomes might be beneficial for the prediction and prevention of episodes. To establish if borderline personality disorder symptoms as measured by the BEST (Borderline Evaluation of Severity over Time) scale are associated with psychiatric pregnancy outcomes. We recruited women with bipolar disorder as part of BDRN (Bipolar Disorder Research Network) study. Women were interviewed and we collected their demographic, reproductive and clinical information. Participants were subsequently asked to complete the BEST questionnaire in 2013 via mail-out. We analysed the association of BEST scores with the following pregnancy outcomes: developing puerperal mania ever; developing postnatal depression as the worst episode of illness ever. In our sample of 1369 women who completed the interview and BEST questionnaire, 924 women became pregnant. Having puerperal mania ever (within 6 weeks of childbirth) was associated with BEST scores (aOR 0.958 p<0.0001 CI 95%[0.941; 0.976]). The higher the BEST score, the less likely to have puerperal mania ever. Having depression within 6 months of childbirth as the worst episode of illness ever was also associated with BEST scores (aOR=1.025 p=0.001 CI 95%[1.010; 1.040]). Highest quintile, more likely to have postnatal depression. In women with bipolar disorder, the presence of borderline personality disorder symptoms is correlated with pregnancy outcomes. Bipolar disorder affects 3-5% of the population. Approximately 40% are likely to have an episode related to childbirth. Individualised predictions are difficult to make and the decision to become pregnant is challenging. To establish if becoming pregnant is associated with borderline personality disorder symptoms as measured by the BEST (Borderline Evaluation of Severity over Time) scale in women with bipolar. We recruited and interviewed women with bipolar disorder as part of BDRN (Bipolar Disorder Research Network) study. Participants were subsequently asked to complete the BEST questionnaire in 2013 via mail-out. We analysed the association of BEST scores with becoming pregnant. In our sample of 1369 women who completed the interview and BEST questionnaire, 924 women became pregnant and 380 did not. Women scored between 12 and 60 on the BEST scale. The total score of BEST and the total scores of its subscale A (thoughts and feelings) and subscale B (measures negative behaviours) were not associated with being parous. We used quantiles to better allow for understanding relationships between variables outside of the mean of the data. When BEST scores were analysed in quintiles as categorical variable, we found a significant association with being parous. That association remained when we accounted for the pre-specified potential confounders. In women with bipolar disorder, those with the lowest or highest number of borderline personality disorder symptoms as measured by the BEST scale were more likely to have become pregnant. Among the course specifier of Bipolar Disorder (BD), seasonal pattern specifier (SPS) outlines a clinical course characterizad by a tendency towards relapses according to specific moments of the year. This course affects 15-25% of BD patients. In the past, SPS just considered depressive episodes, intrinsically biasing clinical correlates outlined. Seasonality in DSM-5 may be applied to both polarities of relapse. To assess SPS and its clinical correlates, in a sample of BD I and II patients. BD-I and BD-II patients enrolled from a prospective cohort follow-up. Data on seasonality were obtained from electronic clinical records, and assessed with respect to season of relapse and type of episode per season. SPS and non-SPS patients were compared according to sociodemographic and clinical correlates variables. A binary logistic regression was performed on the likelihood of association with SPS. Among the 889 BD patients enrolled, 168 presented SPS. Significant variables at bivariate comparisons were included in a binary logistic regression. Total variance explained by the model was statistically significant (p<0.0001), between 7.2-11.0%, and included significant contribution of BD- II (p<0001, OR=2.655), treatment less treated with quetiapine (p<0.008 OR=1.8), undetermined predominant polarity (p<0.003, OR=1.8). Our results outline a known association with BD-II, an unknown association with undetermined predominant polarity. Differences among SPS BD patient might possibly underpin a need for a more precise definition which implements type of the affective relapse as well as season of relapse, in order to stratify among SPS patients more homogenous subpopulations. Bipolar disorder (BD) is a multifactorial disorder with heterogeneous clinical presentation, in particular according to age at onset (AAO). AAO has been discussed as a potential specifier in future classification and may be included in future algorithms of treatment decisions. To specify the clinical, progressive and therapeutic characteristics in early onset BD (EOBD). A retrospective descriptive study, involving 30 male patients suffering from early onset BD, who were hospitalized in in the psychiatry Department of Hedi Chaker University Hospital in Sfax (Tunisia), between January 2009 and December 2018. General, Clinical and therapeutic data were collected from medical records. The mean AAO was 18.1 years, and the mean age at first hospitalization was 20 years. Familial history of mental disorders and suicide attempts were found respectively in 26.7% and 16.7% of them. Ninety-seven percent of the patients were diagnosed as having bipolar I disorder. The first experienced mood episode was maniac in 63.3% of cases and depressive in 36.7% of cases. Psychotic features were present in 60% of cases. During the acute phase of mood episodes, treatment involved the combination of antipsychotics and mood stabilizers for all patients. Youths with a family history of BD are at high risk for the disorder. Early psychosocial intervention to delay or even prevent its onset should be developed. In addition to the clinical characteristics of bipolar disorder type I (BD I), several other factors can disrupt female sexual behaviour, including factors related to side effects of treatment. The aim of our work was to determine the impact of antipsychotics (AP) on the sexuality of women with BD I. This was a descriptive study that took place over a year (March 2018-March 2019). We recruited 80 patients with BD I from the A psychiatry departments at Razi Hospital. The assessment of sexual function was done using the Arabic Female Sexual Function Index scale (ArFSFI). The average age of patients was 43.8 years (±11). Eighty-four % of the patients (n=67) were on AP, 22% were on conventional AP alone, 67% were on atypical AP alone, 8% were on a combination of conventional and atypical AP and 3% were on two conventional AP. Among patients on conventional AP (n=24), 42% were on long-acting neuroleptics (seven on haloperidol decanoas and three on fluphenazine). Among patients on atypical AP (n=50), 56% were on olanzapine. AP were statistically associated with the excitation domain (p=0.022; r=-0.256) and the sexual pain domain (p=0.023; r=-0.253). The class of conventional AP had a statistically significant influence on the excitation domain (p=0.022; r= -0.256). The altered sexuality of these patients appears to be multifactorial, linked to both the clinical characteristics of the disease and the effects of treatments. Several recommendations are to be developed for better sexual management of these patients. The idea of the taboo around sexuality is found in all societies of the world, but it is particularly present in Muslim societies, where modesty and chastity still retain an important place. Exploring the vision of female sexuality in Arab-Muslim societies. This is a review of the literature. We searched the ScienceDirect, Medline and Google Scholar databases using the following keyword combinations: \"woman and sexuality,\" \"Arab-Muslim sexuality\" and \"woman in Arab-Muslim countries.\" In the Arab-Muslim countries, women’s emancipation remains an unresolved problem and a struggle that risks bringing for many to sexual decadence. Despite the advances made in favor of women, there is still a deep patriarchal tendency reinforced by Muslim conservatives since the 1970s, which helps to keep women in what many people consider, wrongly, as the role attributed to them by religion. This idea would support the findings of a recent study where the majority of respondents believed, not only that sexuality in women was a religious duty, but also that women had no right to refuse to her husband. According to Bouhdiba, the study of sexuality in Arab societies reveals that the derealization of female status has practically ended, with a few exceptions, by locking the woman either into a role of object of enjoyment or in that of sire. Thus, despite progress in equal rights between men and women, attitudes on female sexuality still suffer from certain taboos. While some authors consider that certain antipsychotic treatments have a protective role on sexuality of women suffering from bipolar disorder type I (BD I) then what about benzodiazepines (BDZ)? Determine the impact of BDZ on the sexuality of women followed for BD I. This was a one-year descriptive study (March 2018-March 2019) done at the \"A\" psychiatry Department of Razi Hospital, La Manouba. We recruited 80 women followed for BD I. The feminine sexuality evaluation was done using the Arabic Female Sexual Function Index (ArFSFI) scale. The average age of patients was 43.8 years (±11). Forty-two patients (53%) were on BDZ, most (60%) were on Lorazepam, 30% were on Diazepam. No patient was under a combination of two BDZs. The average prescribing dose was 3.94 (± 1.8) mg / d. In our study, the use of BDZ significantly impacted the overall mean score of ArFSFI (p = 0.016, r = -0.269), the field of excitation (p = 0.023, r = -0.254) and that of orgasm. (p = 0.038, r = -0.233). There was no statistically significant association with the interpretation of sexual activity according to the ArFSFI (p = 0.064). Providing a clear answer to the question of the impact of BDZ on the sexuality of women with TB I seems so delicate because it would require a comparative study between a group of untreated patients and a group of treated patients which raises problems of ethics and methodology. In addition to its influence on social and emotional life, bipolar disorder type I (BD I) also seems to have consequences on sexuality. Sexual dysfunction is classically described in depression, however, few studies have described the sexual behavior of stabilized bipolar patients. The aim of this work was to evaluate the sexual function of women followed for BD I whose aim is to stimulate interest and debate in this little known area. This is a one-year descriptive study (March 2019-March 2019) that took place in the \"A\" psychiatry department at Razi Hospital. Eighty women followed for BD I were recruited. The assessment of sexual function was made using the Psychotropic-Related Sexual Dysfunction scale (PRSexDQ-SALSEX). According to the PRSexDQ-SALSEX scale, 81% of patients (n = 65) had sexual dysfunction. Forty-one (51%) patients reported having sexual dysfunction since the beginning of treatment. No patient had spontaneously reported sexual dysfunction to her doctor. Forty-three patients (54%) had impaired sexual pleasure, 46 patients (58%) had dysorgasmia, 48 (60%) reported having anorgasmia and 39 (49%) had vaginal lubrication dysfunction. Forty-five percent of patients (n=36) reported that although they experienced a change in their sexuality and an impact on their relationship, they never considered discontinuing their treatment on their own. Our results suggest the importance of assessing the sexual dysfunction of patients with BD I including euthymic phase. The therapist must therefore be less reluctant and ashamed to discuss the subject of sexuality during consultations. Suicide is a major social and clinical problem. Clinical characteristics associated with suicidal risk in bipolar disorder, include affective temperament types. The aims of our study were to compare the temperament traits of two patients groups with a type I bipolar disorder, those who have attempted suicide and those who have not attempted suicide. A cross-sectional, comparative and retrospective study of 150 patients in remission. Realized over a period of six months, from October 2018 to May 2019. Demographic data, duration and the course of the disease were extracted from patients’ medical files. Affective temperaments were evaluated by the validated Tunisian version of the TEMPS-A scale. The average age was 42, 25±10 years. The gender ratio (M / F) was 1,67. Thirty-five patients (23%) did at least one suicide attempt. The average age at the first suicide attempt was 32.06 ± 9.3 years. Hyperthymic temperament was the most common temperament found in our population (32%).The suicidal attempt was significantly associated with higher depressive temperament scores (P= 0,048). This study identified the independent contribution of temperament traits to suicidal behavior. Assessing the temperament of patients with bipolar disorder may result in deep insight into suicidal behavior and facilitate intervention for those at risk. Suicidal behavior is a major public health problem, and its prevention is a challenge. This behavior is more common in association with mood disorders and especially with bipolar disorder. The aims of our study were to determine the prevalence and peculiarities of suicidal behavior in a population of bipolar patients. A cross-sectional, descriptive and retrospective study included 150 patients with a type 1 bipolar disorder diagnosed according to DSM 5 criteria. Demographic data and the course of the disease were extracted from patients’ medical files. A family history of bipolar disorder was noted in 51.4% of suicidal patients. Eighteen patients had a personality disorder. A history of suicidal ideation was found in 62.7% of cases. The prevalence of suicide attempts was 23.3%. The mean age at the first suicide attempt was 32.06 ± 9.3 years. The average number of suicide attempts was 2.66 ± 2.83. In 88.6% of the cases, the suicide attempt was concomitant with a thymic relapse (It was a depressive episode in 83.9% of cases, and a mixed episode in 12.9% of cases).The attempt was made by a drug ingestion in 57% of cases. Suicide attempt was significantly associated with age(p=0.005), family history of suicide (p=0.008), family history of bipolar disorder(p=0.002), duration of disease(p=0.008),and personality disorder(p=0.014). The prevention of suicidal behavior in bipolar disorder need more assessment of vulnerability factors. A close and sustained clinical supervision can improve the management of suicidal risk in these patients. Bipolar disorder is a severe mental disorder that implies a high risk of suicide. Cannabis is the most commonly abused drug among patients with bipolar disorder and has been found to increase the duration and the intensity of symptoms. The aims of this study was to establish the prevalence of cannabis use and suicide attempts in patients with a type 1 bipolar disorder and to study the association between them. A cross-sectional and retrospective study of 150 patients. Demographic data and the course of the disease were extracted from patients’ medical files. The average age was 35.97±11.55 years. A psychiatric family history was noted in 79 patients (52.7%). Twenty-five patients had psychiatric comorbidities. Eighteen patients had a personality disorder. Thymic episodes was of manic type in 48% of cases and of depressive type in 36 % of cases. The average duration of the disease was 15.95 ± 9.6 years. Therapeutic adherence was good in 44.7% of cases. A history of suicidal ideation was found in 94 patients and suicide attempts was found in 35 patients. Thirteen patients were cannabis users. Suicidal attempts was significantly associated with cannabis use (p=0.013), especially in male patients (p=0.025). Despite some limitations, this study estimate a strong association between cannabis use disorder and suicidal attempts in patients with bipolar disorder. Further studies are needed to clarify the nature of this relationship and that mechanism. Bipolar disorders are one of the most severe psychiatric disorders, implying a high degree of morbidity and incapacity for patients. Some factors contribute to modifying the clinical profile and the course of the disease. The aims of our study were to determine the Clinical and evolutionary aspect of bipolar disorder type 1 in a Mediterranean population. A cross-sectional and retrospective study included 150 Tunisian patients. Demographic data and the course of the disease were extracted from patients’ medical files. Forty-six patients had a family history of bipolar disorder.Sixty-nine patients (46%) were smokers. Twenty-six patients (17.3%) were alcohol users. Aggressive behavior was found in 26.7% of cases. A criminal record was found in 18 patients (12%).The average age of onset of the disease was 26.23 ± 7.88 years old. The time between onset of disorders and follow-up in psychiatry was more than one year in 50 patients (33.3%).The first thymic episode was predominantly manic (48%), and severe with psychotic features (57,3%).The average number of years of disease progression was 15.95 ± 9.6 years. the average number of relapses was 7.28±5.38. Therapeutic compliance was good in 44.7% of cases. The average number of treatment discontinuations per year was 2.17±1.32 because of side effects in 15.7% of cases. Numerous other studies have confirmed this clinical aspect, especially in the tropical and Mediterranean regions. European and American studies do not find the same results. Other comparative studies are desirable. Bipolar disorder is a severe and recurrent psychiatric disorder with a high rate of suicide. The anti-suicidal benefit of lithium on suicidal behavior in bipolar disorder is well established. Data are mixed on the effects of other mood stabilizers. The aims of our study were to highlight the preventive action of other mood stabilizers on suicide in bipolar disorder population. A cross-sectional retrospective and comparative study included 150 patients with bipolar type I disorder, diagnosed according to the DSM-5.Demographic data and the course of the disease were extracted from patients’ medical files. The average age was 35.97±11.55 years. The average age of onset of the disease was 26.23 ± 7.88 years. The first thymic episode was of manic type in 48% of cases. The average duration of the disease was 15.95 ± 9.6 years. Valproic acid was the most used tymoregulator (80%) and carbamazepine was prescribed in 17 patients (11.3%). A history of suicidal ideation was found in 94 patients (62.7%). The prevalence of suicide attempts was 23.3% (n = 35). Suicidal attempts, were significantly less common in patients who were treated with a valproic acid (p=0.016). Our results suggest that the prescription of the valproic acid in bipolar patients may be associated with a reduced risk of suicidal acts and may be a good alternative to lithium use. Other specific studies on the effects of valproic acid on suicide risk are recommended. Current literature report the occurrence of manic states in hypothyroid subjects after hormone supplementation. However, after drug overdose of levothyroxine, little research have described the induction of delayed mixed states. Our aim is to present a case of overdose of levothyroxine with suicidal intention in a women diagnosed with bipolar II disorder. A case report and narrative review of recent work. A 40-year old female patient with bipolar II disorder and ankylosing spondylitis was brought to the Emergency Service after committing a suicidal overdose of paracetamol (>7gr), methotrexate (>40 mg) and levothyroxine (>1250 mcg). Antidote and four days of clinical observation was needed. Psychopathological assessment revealed the occurrence of depressive symptoms, so patient was admitted to our inpatient unit. Olanzapine 5 mg/day and citalopram 10mg/day were initiated in the first 24-48 hours. After 4 days, the patient presented tachycardia (130-150 beats/min), irritability, suicidal ideation, tremor and worsening of depressive symptoms. Electrocardiography did not reveal any arrhythmia. Laboratory (4th day): thyroid stimulating hormone (TSH) < 0.01 μU/mL (0.40 -4.00), free T4 (fT4) >7.77 ng/dL (0.80- 1.80) and free T3 (fT3): 22.50 pg/mL (2.00-4.40). Diagnoses: Severe hyperthyroidism due to exogenous thyroid hormone and mixed state in bipolar disorder. Thyrotoxicosis remitted and mixed symptoms improved. Olanzapine was increased to 10 mg/day. Normalization of fT3 and fT4 was achieved. TSH normalized within several days later. Levothyroxine is a lipophilic molecule that can be accumulated for several days. Continuous monitoring is mandatory. Affective symptoms should be also monitored as psychotropic medications after normalization. Based on a self-regulation theory, illness perception is a process by which individuals respond to a perceived health threat (Leventhal, et al., 1984). It’s central to interpret patients’ reactions in different stages of care (Weinman, 1997). In view of the impact of bipolar disorder on psychosocial functioning, to cope with to the illness is not only the patient’s affair but also that of his or her family members. But, perception of illness by family caregivers is an untreated thematic of research in bipolar disorders. The objective is to describe the perception of bipolar disorder in family caregivers. The second objective is to compare the perception of illness between family caregivers and patients. The sample is composed about 241 persons, 80 family caregivers and 161 have a bipolar disorder. An adapted version for bipolar disorder of the brief Illness Perception Questionnaire (IPQ, Broadbent et al., 2006) was used to assess patients’ cognitive and emotional representations of their illness. For caregivers, chronicity is the most threatening followed by emotional distress and stress, followed by the impact of illness. Lack of personal control, severity of symptoms and misunderstanding are perceived as moderately threatening. There is no significant difference between caregivers and patients in the illness perception. Like patients, caregivers have a negative perception of bipolar disorder. So, these results encourage to help family to elaborate their own ideas of the illness, which is essential for successful interventions. For example, Therapeutic Education could be relevant to improve family adjustment to bipolar disorder (M’bailara, 2019). In the present, it is being discussed about the interference between psychiatric pathology and personality, a large part of the factors involved in the development of personality disorders constitute risk factors for psychiatric disorders. It is well known that there is an association between bipolar disorder and personality disorder approached from a categorical point of view such as borderline, narcissistic and obsessive compulsive personality disorder but also the fact that premorbid personality always conditions their prognosis. Our study aims to highlight some associations between the personality structure approached from a dimensional point of view, the awareness of the disease, the compliance at the treatment and the functioning in the professional and family role of the patients with bipolar disorder. In this study, were included patients diagnosed with bipolar disorder who were admitted to the Psychiatry Clinic II from Tg. Mureș, between the ages of 30 and 55. Patients were in the phase of complete clinical remission at the time of evaluation. We evaluated their personality from a dimensional point of view using the DECAS scale, based on the “Big Five” dimensional model and applied the Birchwood Insight Scale for insight assessment. The diagnosis of bipolar disorder was made according to DSM-5 criteria. There is an association between the personality dimensions and the clinico-evolutionary particularities of the bipolar disorder in the studied patients. Increased values of conscientiousness and agreeableness are a favorable prognostic factor. Low conscientiousness and increased neuroticism are aggravating prognostic factors. The Interpersonal and Social Rhythm Therapy (IPSRT) has shown to be effective in reducing symptoms’ severity and regularizing circadian rhythms of patients with bipolar disorder (BD). Few studies assessed the efficacy of this approach in a group format. The aims of this study are to assess the efficacy of a group IPSRT (IPSRT-G) in terms of improvement of symptoms, quality of life and adherence to treatments and reduction of levels of stigma. Patients with BD were recruited according to the following inclusion criteria: 1) age between 18 and 65 years; 2) diagnosis of BD type I or II; 3) absence of psychiatric comorbidities and of serious physical diseases. The IPSRT-G consisted of eight 90-minute sessions (two individual and six group sessions). Patients have been assessed at baseline (T0), at the end of the intervention (T1) and after 3 months (T2). 16 patients have been recruited; 62.5% of them were females, with a mean age of 48.19±11.3 years and with a mean age at onset of 25.47±7.07 years. Patients reported a significant reduction at the Beck Depression Inventory (BDI) (p<0.05) and Internalized Stigma of Mental Illness Inventory (ISMI) total scores (p<0.01). In particular, a significant reduction was reported at the \"Social Retreat\" subscale (p<0.02), and an improvement at the “Stigma Resistance” subscale (p<0.05). Our data show that the IPRST-G can be effective in reducing depressive symptoms and stigma, in particular by increasing coping strategies to stigma and reducing social withdrawal, also when provided in the group format. Aggressive behaviours are frequent during the acute phases of bipolar disorders and are often associated to the need for hospitalization, prolonged hospital stays and to a worse long-term outcome of the disorder. To analyze the socio-demographic and clinical characteristics, as well as the affective temperaments of patients with bipolar I and II disorders (BD) with a positive history of aggressive behaviours. All patients with a diagnosis of BD I or II according to the DSM-5 criteria have been recruited. Socio-demographic and clinical characteristics have been collected with an ad-hoc schedule. All patients filled in the short version of the TEMPS-M. According to the history of aggressive behaviours, patients were then divided in two groups. 84 patients with BD I or II have been recruited. 63% of them were female, with a mean age of 49.6±12 years. The most common diagnosis was BD II (48.8%). Patients with a history of aggressive behaviours had a greater number of affective episodes (p=0.013), mostly episodes of mania (p=0.002) and mixed states (p=0.01). Aggressive behaviours were correlated to a history of substance (p=0.007) and alcohol abuse (p=0.015) and with an irritable temperament (p=0.05). Our study confirms the relationship between alcohol abuse, aggressive behaviours, affective temperaments and BD. It is crucial to identify patients who are at risk of developing aggressive behaviour in order to provide adequate interventions. Minor physical anomalies (MPAs) are insignificant errors of morphogenesis, which may reflect basic neurobiological features underlying the disease. Despite several studies about the presence of MPAs in bipolar disorders, the evidence in favor of a neurodevelopmental basis for the disease is still controversial. The aim of this meta-analysis was to assess the standardized weighted mean effect sizes of MPAs in bipolar disorders, and to investigate if MPAs may be found predominantly in the head and facial regions in patients with bipolar affective disorder compared to healthy controls (HC). Four studies, involving 155 patients with bipolar disorders (BPD), as well as 187 HC, were involved in the analysis after literature search. For the investigation of MPAs in the periferial (MPA-P) and in the head and facial regions (MPA-FC) two studies involving 121 BPD patients, as well as 133 HC passed the inclusion criteria. The MPAs of BPD were significantly higher compared to HC (SMD = 0.62, p = 0.003). Another important finding of the present study is that BPD patients’ MPA-P scores do not significantly differ from those of healthy controls. In contrast, BPD patients’ MPA-CF scores were found to be significantly higher compared to HC subjects (SMD = 0.84, p < 0.001). The findings of the present study suggest an early insult during the development of the brain in bipolar affective disorder. Affective temperaments (ATs) play a significant role in the clinical presentation of bipolar (BD) or cyclothymic disorder (CYC) and can have an impact on long-term outcome and symptoms’ severity. Despite this, ATs are understudied in these patients. To evaluate socio-demographic and clinical characteristics associated with ATs in a sample of outpatients with BD or CYC. Patients have been recruited in two Italian University sites. Inclusion criteria were: 1) age above 18 years; 2) diagnosis of BD type I (BDI) or II (BDII), or CYC according to the DSM-5; 3) being in a stable phase of the disorder. Recruited patients were asked to fill in the Italian version of the short TEMPS-M. 815 patients were recruited, mainly female (61.1%) with a mean age of 44.4±14.6 years. 52.8% of them had a diagnosis of BDI, 19.4 of BDII and 27.9 of CYC. In female, the most represented AT were the depressive (p<.01), cyclothymic (p<.01) and anxious (p<.0001) ones, while the irritable temperament was most represented in men (p<.01). All temperaments were more represented in CYC than in BDI (p<.005); depressive, cyclothymic and irritable temperaments were more represented in CYC, depressive and anxious temperaments in BDII (p<.005); only the hyperthymic temperament was more represented in BDI (p<.005). Our results confirm the link between AT and Clinical and socio-demographic characteristics of BD and CYC. Given the predictive role of the AT for the outcome of bipolar disorders, their assessment should be part of the routine care of these patients. ADHD is a chronic genetic neurodevelopmental disorder. Which is represented by either inattention symptoms or hyperactivity symptoms or both of them. Subsequently, the peak of symptoms appears during childhood and decreases with growing older. Plenty of researches showed various factors could contribute to increasing symptoms’ severity. ADHD is considered as one of the most common neurodevelopmental disorders. Yet, Saudi society’s awareness towards it appears to be relatively lacking. Apart from that, Researches showed that teachers and parents misconception about the disorder affects children’s improvement as a result of decreased support and not providing a healthy suitable environment for children’s case. The general objective is to measure awareness levels of ADHD among college students majored in special education. Besides, other specific objectives such as assessing their knowledge about dealing with ADHD child, assessing their thoughts about having an ADHD course and its importance in their career, and evaluating ADHD involvement within special education curriculums. Data will be collected through a demographic questionnaire along with the Knowledge of Attention Deficit Disorders Scale (KADDS). Then, processed by the SPSS Statistics program. Expected Results (ongoing) Average to low levels of awareness among the students. Especially in medical knowledge about the disorder. no conclusion yet will be posted as soon as possible Child separation fear is a completely normal stage in a child’s development, but what can further aggravate the situation is the parent’s fear of separation. Namely, parents very often inadvertently encourage the separation problem with their own anxiety, which is very difficult to hide from the child. If there is any parenting issue regarding the child’s departure to kindergarten, he or she will probably come to light, even if they do not say it - voice communication is not the only way the child \"reads\" our messages. In the work, the author discusses the help of a boy of 7.5 years, who was in the first grade, and who refuses to go to school without his mother. On the other side mum says that she is tired .... What’s best for both? Best solution for adaptation in new circumstances - school Case report The child may have a marked need to be with the parents and may seem to be regressing. But that’s also the way a child goes through separation after feeling safe again. If he is allowed to \"hang\" with you at first, when he is ready for it, the child will stop doing so. If he pushes himself away or expects to grow up very quickly (for example, he cares for a younger child more than is appropriate for his age), then the child’s insecurity will deepen and he will continue to express it through behavior. working separately with child and mother The contemporary psychodiagnostics often is oriented only at objective data. This trend is supported by the requirements of the evidence-based medicine, and it transforms the results of studies to partial, objectified and therapeutically insignificant. The objective was to explore systematically the methods used for diagnostics of children and adolescents in psychiatric clinic. Analytic-empirical method was used. 1) The multidirectionality and unsystematization of the methods shaped in the different historical situation were demonstrated; 2) the methods aimed at exploration of the patient’s inner world and at phenomenological understanding of inner mechanisms of psychological development are poorly developed. 3) psychiatry needs the systematic cultural-historical methodology aimed at construction and analysis of psychological anamnesis as well as ways to describe and analyze the child’s development and developmental disorders in the social environment. 4) As the research showed, elaboration of methodology aimed at construction and analysis of psychological anamnesis is necessary. Main structures of the psychological anamnesis include description of early ontogenesis, main psycho-physiological features of the child, personality type, social interactions between the child and environment, chronological analysis of changes and their structure within the context of social environment, etc. Analysis of the psychological anamnesis constructed in such a way allows to explore the structure of object relations between child and environment, reconstruct transformation of social relations in the intrapsychic relations, characterize the inner dialogues of self-awareness and reconstruct the developmental mechanisms both under normal and pathological conditions. Such an approach allows to develop new opportunities integral clinical psychological diagnostics for children and adolescents. El trastorno por déficit de atención con hiperactividad (TDAH) es un ejemplo común de psicopatología del desarrollo que podría entenderse mejor tomando una perspectiva de regulación emocional. Como se ha visto que la desregulación emocional se está convirtiendo en un problema más frecuente en la población infantil-juvenil, una psicopatología del desarrollo común como el TDAH podría entenderse mejor tomando una perspectiva de la emoción To describe the magnitude of emotional dysregulation in ADHD To presente a bibliographic review about clinical, prevalence, etiology, treatmente efficacy ; the magnitude of emotional desregulation in ADHD. The prevalence found in different studies ranges from 24-50%. Functional neuroimaging have discovered neuronal networks related to cognition (Cold) that are involved in the allocation of attention resources to stimuli that arouses emotion and other networks related to emotion (hot) that are responsible for orientation early to emotional stimuli and their perception. Therapeutic strategies used in the treatment of ADHD have shown efficacy in the management of emotional symptoms in parallel to the remission of the main symptoms of ADHD. Emotional deregulation is a dimensional entity, NOT a categorical diagnosis. The majority of epidemiological research, focusing on children, has found a strong association between ADHD and emotional dysregulation; moderate association between difficult early temperament, with high negative emotionality, and ADHD combined with emotional deregulation. ADHD patients have a primary dysfunction in the recognition of emotional stimuli and a difficulty in modulating emotions when they are negative. La creciente prevalencia de conductas suicidas y autolesiones en adolescentes se ha convertido en un problema de salud pública, y alcanza valores de fenómeno viral. Las autolesiones no suicidas son conductas deliberadas afectadas a producir daño físico, sin objetivo de provocar la muerte, que afecta a los adolescentes con una prevalencia, en esta etapa, del 10% en población general y del 35% en población psiquiátrica. Investigar la relación entre rasgos de personalidad, eventos de la vida y autolesiones (a través de cortes de piel) en la adolescencia. Se lleva a cabo, a través de la presentación de un caso clínico y una revisión de la literatura de los artículos actuales en relación con la autolesión en la adolescencia, en la que se analiza la prevalencia, las causas, los factores de riesgo, los síntomas, las consecuencias, el diagnóstico, el tratamiento y la prevención. Se describen tres tipos de conductas autolesivas (catártica, reintegrativa, manipuladora) que están asociados con diferentes formas de regulación emocional y rasgos de personalidad. Observa una serie de factores de riesgo: sexo femenino, impulsividad, ira, conflicto familiar, trastornos psicopatológicos, baja expresión de afectividad, desesperanza, etc. La identificación rápida y oportuna de los adolescentes que se autolesionan es de suma importancia para evitar suicidios. El uso de la escala SHQ-E puede ayudar a identificar a estos pacientes con precisión. La primera línea de tratamiento se basa en terapias que ayudan a controlar las emociones, el entrenamiento en habilidades sociales y la resolución de conflictos. El hipotiroidismo subclínico se define como la elevación de TSH en presencia de concentraciones normales de hormonas tiroideas circulantes. La prevalencia en adolescentes es <2%. Una deficiencia en el metabolismo de las hormonas tiroideas puede conducir a trastornos mentales porque juegan un papel esencial en el desarrollo y la función del sistema nervioso central. Describir la relación entre el trastorno del estado de ánimo y el hipotiroidismo en adolescentes. Se lleva a cabo, a través de una presentación de caso clínico y una revisión de la literatura de artículos actuales en relación con el trastorno del estado de ánimo y el hipotiroidismo en adolescentes. Según los datos en la literatura, los niños y adolescentes con problemas de tiroides pueden tener problemas de comportamiento, ansiedad o bajo estado de ánimo. Y, a menos que se realice un examen analítico específico, no se detecta, ya que no es frecuente a una edad temprana. En adolescentes (entre 13 y 16 años) se ha visto que la función cognitiva con la prueba de Wechsler, así como el cociente intelectual, no varía en los jóvenes eutiroideos y en aquellos con hipotiroidismo. It's important to be clear that the symptoms of hypothyroidism can be confusing and can produce symptoms attributable to a psychiatric illness. Early identification and treatment of thyroid disease in adolescents and children is essential to optimize neurocognitive growth and development. The appearance of complex symptoms abruptly, which affect the mood, should indicate the need to start a study to rule out organic pathology. Chromosome 16p11.2 duplication is characterized by austism spectrum disorder, development delay, schizophrenia, and idiophatic generalised epilepsy, as well as dismorphic feature. In the recent years, it has been developed some tools to facilitate the diagnosis of this delections and dupplicantions like array CGH. The earliy diagnosis of this syndrome, the identification and correct treatment of his psychiatricts disorders is primary in the beggining of the chilhood to decreased the suffering of the patients and their families. This case aim to make a review of this syndrom and show some of the psychiatric cormobilities that are able to appear. It also pretends to discuss the possible treatments that are avaliable in children. It is important to know and identified the neuropsychiatric and neurobehavioral disorders, including cognitive impairment, attention de cit-hyperactivity disorder that are asociated with. We present a clinical report and literatura review of a 16p11.2 syndrom in a five years old boy. The use of typical antipsychotics as haloperidol could help to decrease the aggressiveness and motor stereotypies. There are also available the addition of other drugs as risperidona, to manage the behavioral disorders. Treatment is multidisciplinary and will vary according to the age, cormobilities and experience of the clinician. Individuals with Autism Spectrum Disorder (ASD) gaze less at eye in the face, which is one component of sociality. Previous researches also reported that anxiety and depression diminished gaze time on eye region (Horley et al., 2003;Noiret et al., 2014). However, there is no report clarifying the effects of anxiety and depression in attention to eye in individuals with ASD. This study aimed to clarify the effects of anxiety/depression in attention to eye in adolescents with ASD. We recruited 30 individuals with ASD (21 males, 13.1+/-1.9 years, FSIQ 90.8+/-14.1; 9 females, 13.1+/-2.1 years, FSIQ 101.7+/-23.2). We used the Gazefinder (JVC KENWOOD Corporation, Japan), an all-in-one eye-tracking system. The Gazefinder included two types of face movie: A) face without mouth motion, B) face with mouth motion. We conducted correlation analyses among T score of Anxious/Depressed scale of the Child Behavior Checklist, Prosocial behavior subscale of the Strengths and Difficulties Questionnaire, and the percentages of fixation time to eye region. For male group, there was a significant correlation between the percentages of fixation time to eye and Anxious/Depressed scale in B) (r=.65, p=.001, figure2). The correlations between them were marginally significant in A) for both male group (r=.39, p=.082, figure1) and female group (r=-.66, p=.054, figure1). There were significant group differences in slopes in both A) and B) (ps<.05). There were no other significant correlations. In adolescents with ASD, anxiety/depression have a stronger impact on attention to eye, and the effects of anxiety/depression for attention to eye may have sex difference. This is a 9-year-old male who begins follow-up in mental health derived from pediatrics due to behavioral problems. The aim of this case is to show how presenting a serious mental disorder implies a greater risk of psychopathology in the children of these patients. The medical history includes digestive colic and 3 admissions for bronchiolitis in childhood. The patient is in third grade (repeated second grade once). He is an only child. The mother has two children from a previous marriage, divorced from her ex-partner 5 years before the patient's birth. Highlights very low tolerance to frustration with intense tantrums. In addition, both at school and at home, the patient is very restless, with difficult handling and often maintaining a challenging attitude. He never respects the turn of speech both in class and in games. Also for about 2 months he complains of nonspecific abdominal pain that the pediatrician has considered as functional As a family history, severe postpartum depression stands out consisted of high nervousness, low mood with marked apathy and anhedonia. She had severe thoughts of disability rejecting his son. She had intense suicide ideas with fear of harming her son. She was admitted responding to 11 sessions of electroconvulsive therapy. During her follow-up she has been diagnosed with bipolar disorder Mental pathology in parents can affect the development of a secure attachment, giving more frequent health problems and a decrease in weight and height; with more risk of anxiety and depression and ADHD Deficits in social interaction are a key component of Autism Spectrum Disorder (ASD). To treat these deficits in social interaction, group therapy focusing on social skills has been reported to be an effective tool, improving social competence and friendship quality for children and adolescents with ASD and average or above average cognitive skills (Cochrane 2012). To offer a comprehensive and holistic intervention for ASD patients in a Spanish tertiary care university hospital in the Northwestern area of Madrid. Since 2014 our team has been performing group therapy for adolescents (between 12 and 18 years old) with ASD and average or above average intelligence. We performed two annual groups of between seven to eight participants per group, being the mean duration of the treatment an academic year (nine months). One-hour sessions were performed once every three weeks with the participants. Our approach was focus on structured instructions with role playing situations and coaching during training sessions. All participants engaged during the sessions, being all the qualitative reviews at the end of the group very positive. The most frequent complaints were the limitation of the number and duration of the sessions. Group therapy is an important tool for treatment of ASD. Social Skills groups can improve social competence for some children and adolescents with ASD, improving their quality of life. Compared to siblings of normally developing children, siblings of children with intellectual difficulties experience more burden and undergo unique subjective experiences that determines their quality of life. To systematically summarise available evidence in this important but less researched field. PubMed, PsycINFO and Cochrane Library databases were searched manually for relevant studies. Both qualitative and quantitative studies were considered. However, non English and grey literature were not considered. In total, fifteen studies were selected. Subjective wellbeing (SWB) is defined as a positive state of mind involving the whole life experience encompassing satisfaction and happiness while Quality of life (QoL) describes overall well-being resulting from a complex interaction of health, standards and relationships. Some of the predictors for SWB included affiliate stigma, self esteem, social support and positive aspects of care-giving. The psychosocial moderating factors for QoL included caregiver burden, stigma, self esteem, social support and positive meaning in care giving. Early evidence focused on the negative outcomes including reduced parental attention, emotions like worry and social embarrassment. However, recent research has highlighted positive aspects including growing more empathetic towards those with disabilities. Targeted intervention in groups and developing social support networks has shown early promise. The major challenges in sibling research include lack of control group, confounding factors such as age, number of siblings and other environmental differences. More research on the moderating variables determining the SWB and QOL as well as possible interventions that can provide hope and inspiration in this unique but less researched group holds plenty of promise. Spatial representations as one of the core structures of mental development underlie the algorithms for all types’ coordination, cognitive and learning activity. More than that, they make a contribution to quasi-spatial functions like abstract thinking. That is why a weakness of visual-spatial representations leads to writing, counting and grammar disorders. We aimed to study the level of development of spatial representation in children with mild mental retardation (MR) compared with normally developing children. 67 children (7-8 years old) with mild MR (E group) were compared to 67 (7-8 year old) normally develop children (C group). All children studied in primary school. All subjects were assessed with the battery of neuropsychological tests and Raven’s Matrices. Also, we examined children by specific tests to study such kinds of spatial representations as coordinate, structural, projective, metric, body schema and visual-spatial memory. Significant differences for all indicators of the developmental level of spatial representations were observed between the groups of subjects. The weakest spatial functions in children with mild MR (EG) compared with the Control group are body schema, coordinate and structural representations. There were found a strong correlation between academic performance and the development of all types of spatial representations, with the exception of metric and projection ones. Having intact elementary components of spatial functions children with mild MR have difficulties to join these components into integral spatial representations, therefore, their learning skills such as writing, reading, and counting require additional correction and tuition. The current study considers attention as a multi-component process with several characteristics. The analysis of each characteristic helps to understand the special features of attention development of children with ADHD. The research aim is analyzing the characteristics of voluntary visual attention of children in the age from nine to eleven years with hyperactive disorder with attention deficit. The experimental group consists of 25 children of 9-11 years with the diagnosis F90.0 Attention deficit hyperactivity disorder. The control group includes 25 children of the same age and gender meeting the requirements of homogeneous indexes with the experimental group. The research methods include six consequent techniques, given in the following order: Bourdon test, Comparison of characteristics (Cohen’s Test), Schulte table test; Ray’s twisted lines test; Pieron-Rouser test; shortened five-minute Toulouse-Pieron attention test. The research shows that the children with ADHD demonstrate derangements in concentration degree, stableness, distribution, volume and shift of attention comparing with the children of the control group. For instance, by the end of the Bourdon Test the latter decrease their speed but the concentration remains relatively high, whereas the ADHD children show the deterioration of concentration along with the practically the same speed of performance. The fatigue as a result of a series of several consequent tasks reflecting various attention characteristics comes sooner to the children with ADHD whereas the children of the control group just slow down the activity and change the strategy, still keeping concentration at the same level. The play therapy is an effective therapy technique in younger ages. Because the verbal capacity of litte children is limited. Previous studies reported that play therapy may improve both internalizing and externalizing disorders such as eating problems, sleep disorders, emotional problems, somatoform disorders, hyperactivity and conduct problems. The aim of this study is to evaluate the management of the agressive behaviors. Probable positive or negative consequences of setting limits in play therapy sessions. Four children (three males and one female) between the ages of three and seven were followed for 20 weeks with play therapy. The common symptoms of the children were hyperactivity, agressive behaviors towards parents and peers. The fifty minute sessions were planned as one in a week. The authors will present the clinical features of the children, and the progression of the therapeutic sessions. The therapists allowed children to reflect their agressive impulses to a certain degree during play. However, their agressive attitudes towards toys and therapists were not allowed. After 20 sessions, the clinical interview revealed that the externalizing problems of the children are decreased in school and family enviroment. Play therapy is an effective therapeutic technique, especially for younger children presenting with externalizing problems. Therapists should be flexible when dealing with agressive behaviors of the children. Optimum rules and limits should not prevent expressing agressive fantasies of the children in sessions, but should direct such agressive fantasies towards creative games in therapy. The concept of the zone of proximal development (ZPD), was first introduced by Lev S. Vygotsky. This concept is used to reveal the internal connections between the learning process and the mental development of the child. The research of the ZPD is relevant for children with various intellectual disabilities. Explore the zone of proximal development in children of preschool age with specific developmental disorders. 50 children aged 5-6 years were examined (27 children with the of specific developmental disorders (ICD-10, F80-F83); 23 children with the normative development). Subtests WPPSI (Russian version): Block Design; Similarities; Picture Concepts. If the task performance was done incorrectly or if there were difficulties, the child was helped. The help of the specialist was carried out in the form of individual hints. In the experiment were introduced \"leading questions\", \"lessons-tips\", \"auxiliary tasks\". Three criteria for assessing the child's intellectual development were used: susceptibility to the help of the experimenter, the ability to transfer the learned principles to other tasks and the orientation activity of the child. Another important factor influencing the efficiency of determining the ZPD is the emotional and motivational involvement of the child in joint activities with adults. Diagnosis and determination of ZPD makes it possible to directly determine the level of mental development when using psychometric tools and the ability (prospects) to learn. Funding. – The research was supported by the Grants of the President of the Russian Federation for state support of young Russian scientists – МК-3619.2019.6. The impact of stress factors on mental and physical development of children is very important due to their prevalence and psychosocial consequences. The aim is to examine the impact on the child mental development of the following deprivation factors: parental deprivation (orphans), family physical abuse, family sexual abuse. Clinical (pediatric, neurological, psychopathological) and psychological. Follow-up study. The children (age from 1 to 15 years) exposed to parental deprivation (98 persons), physical (72 persons) and sexual abuse (60 persons). In all groups, specific mental disorders are represented by both: - positive psychopathological symptoms include affective disorders and psychopathic disorders; - negative psychopathological symptoms are manifested by the deficiency of a number of mental functions (mental retardation, emotional deficiency, lack of communicative functions and, as a consequence, lack of social competence in the future). It is common that, with prolonged exposure, all three types of mental deprivation contribute to the likelihood of personality disorder in the future, manifested in the form of sequentially occurring emotional disorders, attachment disorder, communicative disorders and behavioral problems. Parental deprivation, physical and sexual abuse are stress factors that cause mental development disorders, including both non-specific psychiatric disorders observed in all three cases, and other types of psychogenic inherent in childhood, and specific disorders to the traumatic factor. The fact of a significant psychosocial importance that stresses the urgency of this problem is the tendency to repetition by persons exposed to these deprivation factors, experienced as a child in relation to their own children and others during adulthood. We presented a case of a 16-year-old patient who is brought to the Emergency Department after autolytic attempt is raised. The objetive is to review the incidence of suicide in adolescents A 16-year-old female patient who is brought by the SUMMA by autolytic attempt. After having a family discussion, the patient throws herself on the road with the intention of being hit by a car. The patient refers to a chronic situation of intense family conflict motivated by the parents' rejection of their daughter's romantic relationships. Upon psychopathological examination, the patient does not present major mood alterations or anxious semiology or alteration of the chronobiological rhythms that could indicate the existence of an associated mood disorder. Given the absence of insight and criticism of the self-injurious gesture, she was hospitalized. The suicide attempt is one of the most important risk factors for the consummation of suicide. It is estimated that among the adolescent population, between 2 and 12% have made some self-injurious gesture with autolytic purpose. The most frequent stage is between 15 and 19 years, increasing the risk with age. In recent years, the suicide rate among adolescents has increased, becoming the third leading cause of death in this age group. The most commonly used method is the superinstate of psychotropic drugs. As in the adult stage, autolytic attempts are more common in females while consummated ones are more frequent in males. Family conflicts, bullying, harmful use of social networks and background in the suicide family are risk factors. Klein Leine syndrome is relatively rare. He has hyperphagia, hypersomnia and hypersexuality. The case of a patient who after alcohol intake begins with hypersomnia is presented. The objective is to make a brief review about this syndrome. A 13-year-old female patient who, after consuming alcohol for the first time, begins to progressively develop hypersomnia, getting to sleep more than 24 hours. Also associated with this picture, begins to present hyperphagia, with a feeling of lack of control over food. Her parents said they found her apathetic, with difficulty performing tasks and more clueless. Denies toxic consumption, apart from alcohol. No psychotic symptoms or other symptoms that suggest infectious origin. After performing complementary tests among which blood and urine tests were found, the diagnosis was confirmed by the Electroencephalogram (EEG). Kleine Lein syndrome occurs in outbreaks, with the typical triad of hyperphagia, hypersomnia and hypersexuality. Hypersomnia is the most frequent symptom and hypersexuality is more frequent in men. Also, during outbreaks, they present apathy, confusion and slowing down. It is of unknown origin and usually appears around 15 years of age. It is relatively common for episodes to be triggered with alcohol intake. The characteristic pattern in the EEG is generalized slowness without epilepsy data. The treatment includes regularization of the rhythms of sleep and lithium. Exposure to traumatic events in childhood and adolescence is associated with the development and maintenance of various psychopathologies, such as anxiety, depression, somatic, but most frequently with posttraumatic stress disorder (PTSD). Adolescent PTSD is unresearched in low- and middle-income countries (LMICs). To evaluate the presence of PTSD symptoms in trauma-exposed adolescents from LMICs. The study included 3370 adolescents (1465 (43.5%) males; age mean 15.41 (1.65) years), experiencing at least one traumatic event, from Brazil, Bulgaria, Croatia, Indonesia, Montenegro, Nigeria, Palestinian Territories, the Philippines, Romania, Serbia, and Portugal, a high-income country, as a reference point. The UCLA PTSD Reaction Index for DSM-5 (PTSD-RI) was used. 960 (28.5%) adolescents had two to three PTSD symptoms. The percentages of adolescents with symptoms from all four DSM-5 criteria for PTSD were 6.2-8.1% in Indonesia, Serbia, Bulgaria, and Montenegro; and 9.2-10.5% in Philippines, Croatia and Brazil. From Portugal, 10.7% adolescents fall into this criterion, while 13.2% and 15.3% for Palestine and Nigeria, respectively. Younger age, experiencing war, being forced to have sex, and greater symptom severity (i.e., persistent avoidance, negative alterations in cognitions and mood, and alterations in arousal and reactivity) appeared as the predictors of PTSD symptoms present. Every third adolescent in LMICs might have some PTSD symptoms after experiencing a traumatic event, while one in ten might have enough symptoms to be diagnosed with PTSD. Younger adolescents, exposed to war or forced to sex, and those with more severe PTSD symptoms are at the greatest risk. Children are too vulnerable to psycho-traumatic factors. Their unformed psyche cause a more severe response to the action of a traumatic situation, as well as the low level of control of emotional reactions. Clinical-psychopathological and pathopsychological features of children from forcibly displaced families with adaptation disorders were investigated with separation of targets of psychotherapy. We have used the following research methods to achieve our goal: clinical psychopathology, psychometric, psychodiagnosis and medical statistics. The prevalence of the expressed manifestations of distress in the structure of clinical manifestations in the examined children was found: discomfort, somatic equivalents of anxiety; involuntarily intolerable repetitive ideas and images about stressful experiences, compulsive actions with anxiety and mental stress; the presence of cognitive and somatic correlates of depression. It was determined that in psychological mechanisms of formation of adaptation disorders in children from forcibly displaced families, there are character traits (incredulity, excessive vulnerability, negativity, stubbornness, self-centeredness, coldness and formality in contacts, irresponsibility, capriciousness, emotional imbalance), as well as trait anxiety. The age-sex and demographic features of the formation of anxiety and depression level were established among children from forcibly displaced families, with the establishment of correlation-regression interconnections with the forming factors. The presence and severity of the main protective psychophysiological mechanisms were identified in children from forcibly displaced families; and the targets of psychotherapy were detected. Reliable instruments that evaluate core developmental capacities for mentalization/theory of mind, based on normative developmental characteristic, in preschool children divided by sex, are word wide scarce. Develop a brief paradigm for mentalization and theory of the mind that allows the analysis of these dimensions separately and in groups. We developed a brief paradigm to evaluate Mentalization (face emotion recognition), and Theory of mind (agency: cause-effect actions). a) Face coupling: face-draws cards with six basic emotions are presented to be coupled-paired (coupling the same emotions). Avoiding naming (language effect), or confrontation (identification by explicit knowledge). Focusing on perceptual features of recognition and coupling. b) Agency: six histories presented in three separated cards (beginning-history setting, history action, and final effect), in each history a children is the agent, and other children is the recipient of the agency. Children must order the cards in sequence. c) Psycholinguistic performance: audio-recording was performed of the spontaneous oral-language production for each history elaboration. No specific instruction is given. For all three dimensions several parameters were registered and numerically qualified; 100 normative children from 3 to 6 years old (balanced by sex) were studied; a clinical behavioral scale for autistic traits, and performance in a computerized attention-detection test, was included as co-variables. show different developmental trends (age in months), for girls versus boys. Specific results for each dimension (correlation, anova and linear regression) are presented. The differences presented suggest that the mentalization and theory of the mind may be different dimensions that require independent analysis. Currently, cases of intrafamily CSA require the intervention of the Family and Penal Law Courts. In all cases, the actors at law courts show a marked lack of knowledge about the characteristics of the evolving child psyche and its implications in cases of intrafamily CSA, which leads them to revictimize the child when exposed to the re-evocation of traumatic episodes in environments devoid of emotional reliability and therapeutic support. The situation further worsens if one considers that the testimony of the minor involves a member of their family as an aggressor figure, hence the cover court refers to Cars as \"aggravated sexual abuse by the link\". This means that we are faced with a representation of incest with all that this entails in structuring the psyche during early growth and development. Test differences in evolution and prognosis in the short and médium term. Several child victims (3 boys, 5 girls) who have or not given testimony have been selected in this sample. From my professional experience in adolescence and child psychiatry, I can infer that children, who have been victims of intrafamily sexual abuse and who, in turn, have been exposed to testimonial situations in the different judicial stages, are more likely to show neuroendocrine symptomatology (eg cushing syndrome). Court staff should be trained to interview child victims according to the age of each one. Likewise, the victims can be heard through their representative: their therapist, who can be punishable in case of false testimony. Fragile X syndrome (FXS) is a X-linked disorder which has been associated with a high risk of psychopathology, particularly neurodevelopment disorders like attention-deficit/hyperactivity disorder (ADHD) and Autism Spectrum Disorder (ASD), and those are of interest to the psychiatrist. The aim of the study is to describe and analyze demographic and clinical features of comorbid psychopathology in patients diagnosed of Fragile X syndrome. A retrospective analysis of patients with genetically confirmed XFS who were referred to Genetic Disorders Unit and treated by children and adolescent mental health professionals from January 2018 to August 2019 were included. Data was obtained from the clinical evaluations, and previous clinical information recorded in our unit database. Statistical analysis was performed with SPSS. A total of 18 patients under 21 years old were analyzed. The 55.5 % were men and mean age was 11.6 ± 4.2. Origin referring department was Neurology (83.3%) and main reasons for consultation were behavioral disturbance (55.5%) and anxiety (27.7%). Higher incidence diagnosis were ASD (38.8%), ADHD (61.1%) and anxiety (16.6%). 77.7% of patients had intellectual disability or borderline intellectual functioning. 100% had psychological intervention, 72.2% pharmacological treatment and 72.2% had nursery and social work follow-up. High prevalence of psychiatric disorders in our sample were observed. An intensive treatment by child and adolescent mental health professionals to all comorbid disorders is determinant to improve mental outcomes treating FXS patients. According to the most recently data, there is significant increase in prescription of psychotropic medication and particularly antipsychotic medication in children and adolescent. Antipsychotic medication can have long-lasting consequences particularly due to the side effects for children and adolescent. It should be prescribed appropriately and patient should be evaluated for ongoing necessity for antipsychotic medication. The purpose of this presentation to discuss slowly tapering and discontinuing antipsychotic medication. We will also discuss importance of being cautious while switching patient high potency antipsychotic medication to low potency antipsychotic medication, as well effects of polypharmacy and cocurrent use of stimulant medication. We discuss about different case presentations, collection of data from clincal cases, and how we discontinued their antipsychotic medication There is no particular guideline available how to discontinue antipsychotic medication and children and an abrupt or quick discontinuation can lead to withdrawal dyskinesia. At the conclusion of presentation, participant will have knowledge about importance of slowly tapering antipsychotic medication particularly in children and need for continuous assessment particularly for withdrawal dyskinesia. during the switching or tapering or adding medication Parental practices become a key factor in the generation of prosocial or aggressive behaviors in adolescents and, consequently, have incidences in the way they behave and live together in social groups. In this sense, the present work aims to identify the parental practices applied by the caregivers of adolescents in the city of Santa Marta, Colombia. It was developed as a quantitative cross-sectional research where the Parental Practice Scale was applied in a sample of 51 adolescents with an average age of 12.35 years. The parental practices that were reflected were permissive, authoritarian and democratic practices. On permissive practices, the Parental Practice Scale found that 78.4% of adolescents responded that their parents were permissive, while 21.6% responded otherwise. On authoritarian parental practice, 82.4% of adolescents responded that their parents are not authoritarian, however, 17.6% said they were. Regarding democratic parental practice, 94.1% of adolescents expressed that their parents did not apply this type of practice, and only 5.9% answered the question in the affirmative. There is a need to implement parental practices that promote prosocial behaviours in adolescents in the perspective of ensuring the construction of favourable behaviors for peaceful coexistence in society. According to the theory of social learning, the behaviors and behaviors developed by children and adolescents are learned from the contexts where they live and are mediated by the parental practices of their caregivers. In this sense, the objective of the present work is to identify the prosocial and aggressive behaviors of adolescents in the city of Santa Marta, Colombia. We developed a quantitative cross-sectional research where the CESC instrument was applied in a sample of 51 adolescents with an average age of 12.35 years. 15.7% of adolescents reflected aggressive behaviors, however 84.3% of these do not have this behavior. On the other hand, related to prosocial behaviour, only 5.9% of the sample demonstrate this type of behaviour, on the other hand that 94.1% of these do not have prosociality within their interpersonal relationships and in social settings. There is a need to promote greater prosocial behaviour in adolescents based on the intervention of social scenarios such as family and school, in order to ensure the promotion of values and standards that allow them to be set up as adults comprehensive and peaceful in society that contribute positively to the development of communities. Anxiety disorders are the most diagnosed psychological problems in children. Its natural evolution without treatment can lead to serious negative repercussions on academic, social and family functioning. The group storytelling work in the classroom means that through the exposure of emotions and identification with classmates, the student can acquire the ability to internalize them. 1 Determine the frequency and characteristics of childhood anxiety symptoms in a community-based school population. 2 With group therapy techniques through stories you can improve the expression of emotions. Interventions (4 monthly sessions) in the classroom through storytelling and group reflection. Prospective collection: 9 months. Transversal assessment with SCAST scale before and after intervention. SPSS16.0 107 primary students participated: 37.38% men, 62.6% women. According to age: 42.7% 7 years, 57.3% 8 years. Average pre-intervention score: 25.2% high anxiety, most often these scores in the group of women (66%), showing greater separation anxiety and physical fears (2.3%) and social phobia (1.7% ). Post intervention: observed decrease of the average global score of 21.2 (SD = 9.8). Finding a greater decrease in global scores associated with female sex without being statistically significant. We believe that at the community level it is necessary to explore anxieties and fears in children in order to provide tools for managing emotional regulation. We believe that stories can be an effective tool in addressing these emotions and easily applied in the school environment to favor the growth and integral learning of children and adolescents. With group therapy techniques through stories you can improve the expression of emotions. Somatization is common in children and adolescents. When it is impairing, persistent and meets specific criteria, it becomes a disorder called Somatic Symptom Disorder (SSD). SSD may result in disproportionate healthcare utilization, school absenteeism and even unnecessary diagnostic and treatment intervention. Highlight some of the themes seen in pediatric somatization through a case presentation; review the literature and summarise the risk factors, evaluation and management of such cases. Case presentation of a 17-year-old male with emergency room visits and several appointments in different medical specialties for management of his chest pain and other somatic symptoms. Extensive work up has been negative and he has a history of anxiety symptomatology. Based on this clinical case, we carried out a narrative literature review. There are multiple risk factors for SSD. While their existence does not necessarily imply a diagnosis of SSD, it should increase suspicion. Diagnostic evaluation should be multimodal with a work up of physical health causes appropriate for the complaints, while avoiding invasive testing or intervention, and an early and close collaboration with mental health services. Proven treatments include cognitive behavioural therapy, mindfulness-based therapy, and pharmacotherapy. Somatic symptomatology may adversely affect the academic and social functioning of children and adolescents and there is a higher risk for developing anxiety and depressive disorders in young adulthood. Therefore, after ruling out organic causes, anxiety and other emotional factors should be identified and managed at the earliest with the involvement of the children and their families. Adolescents developing severe disruptive behaviors and psychotic symptoms are ocasionally admited and diagnosed as severe mental ilness. The purpose is to show a successful high dose treatment withdrawal in a young woman who was admitted to the Psychiatric Day Hospital with a previous history of 9 adolescent psychiatric unit’s admissions, multidiagnosed, with bipolar and psychotic disorders among others. At the arrival her treatment was: haloperidol 4.5mg/d, quetiapine 1200mg/d, lamotrigine 125mg/d, valproic acid, 1750mg/d, melatonine 5mg/d, zolpidem 5mg/d. Stabilizer and antipsychotic drugs where gradually removed. She initially showed an illness role and a regressive attitude, with disproportionate reactions, frequent mood fluctuations, disrupting behavior and dissociative symptoms which included short self-limited hallucinatory phenomena that had complete remission with benzodiazepines. She started referring hallucinations on his first admission by copying another patient. Parent interviews reflect a rigid family system built around the daughter's illness, reacting aversively to the patients recovery and when feeling challenged during psychoeducation. We conducted a narrative approach that fosters hope, healthy aspects, and encouraged an autonomous self separated from the illness. It was shown a growth in self-regulation, social interaction, life functionality with optimistic projection of the future, and disruptive behaviors ceased completely. Besides, she had a 18kg weight loss that took her from 34.3 BMI to a healthy appearance. During the 10 months of follow-up, no psychotic symptoms or major affective symptom were observed. Diagnosis when discharged was “previous diagnoses, currently in remission”. Treatment was: fluoxetine 20 mg/d, topiramate 200 mg/d and clonazepam 0.5mg/d. Primary education in Chile is provided primarily by public funds and regulated by the Ministry of Education. There is also a minority percentage of the population, corresponding to 7% and coming from more affluent sectors, that access a private education, this being of a higher quality, creating, in this way, a great inequality between these two worlds. To carry out an integrating educational system integrating prevention on mental health, where the individual capacities and personal motivations of each child are managed, to achieve a possible, practical and applicable education in all the realities of our heterogeneous country. The intervention has begun, with 36 children in permanent threat of failure in the traditional school system but still with the possibility of an emotionally adaptive rescue, in a multi-level educational system, It is carried out through activities in an integrating classroom with children from 7 to 12 years old, with activities that develop thought, level and homogenize knowledge. Its objective is to achieve reading, writing and calculation as the main axis, complementing it with the use of technology, bilingualism, art and sport. Short educational sessions (of 20 minutes) are carried out in related subgroups of approximately 6 children, as well as experiential therapeutic activities coordinated by psychologist, social worker and always integrating families in this process of integral growth. There is still no results from the intervention, since it has started recently in 2018. We hope to have results by march 2020 To be seen Due to nutritious school lunches and a culture of walking to school, Japan’s childhood obesity rate is lower than in other countries. However, Japan’s childhood obesity rate between 1977 and 2015 grew from 2.6% to 3.8% at the age of 6 years and 6.5%to 8.9% at the age of 11 years. An effective intervention for obese Japanese children is considered. The aim of this study was to clarify the dietary and psychological characteristics of obese Japanese children. Nine obese Japanese children who applied for a 3-day program which offered workshops on nutrition, mental health and exercise as well as a detailed examination for obesity were interviewed about their diet by a nutritionist. Their mental health was evaluated using the Japanese Questionnaire for Triage and Assessment– a 30 item instrument that measures depression, self-esteem, anxiety and psychological symptoms. Participants were followed for one year. More than half of the children thought that they had healthy eating habits, however they tended to eat more rice and snacks than their peers. Their self-esteem tended to be lower than children with other chronic diseases (p=0.0031). Children with poor family function showed poor improvement in obesity after participating in the program (p=0.0479). Obese Japanese children may be overweight because of eating more rice, a Japanese staple food, and snacks. Parental encouragement may strengthen their self-esteem resulting in their children achieving a healthy weight. The concept of personalized medicine is based on patients' unique genetic profiles which can predict treatment options. For instance, polymorphisms of CYP3A4, CYP3A5, CYP2D6, and ABCB1 genes may be associated with adverse effects of psycopharmacotherapy. To establish association of CYP3A4, CYP3A5, CYP2D6, and ABCB1 genetic polymorphisms with safety profile of antipsychotics after one month of treatment in adolescents with acute psychotic episode. Thirty six adolescents with acute psychotic episode were included in the study, mean age was 14.83±1.84 years. Follow-up was 30 days. All patients received an antipsychotic as the main treatment. We evaluated frequency of adverse events by UKU Side-Effect Rating Scale. Buccal epithelium sample was retrieved from each patient. Using real-time PCR we detected the following polymorphisms: CYP3A4*22 (rs35599367), CYP3A5*3, CYP2D6*4, *10, ABCB1 1236C/T (rs1128503), 2677G/T/A (rs2032582), and 3435T/C (rs1045642). The polymorphism ABCB1 2677G>T/A was associated with increased duration of sleep (50% vs 5.6% vs 0%, p=0.004), polyuria/polydipsia (33.3% vs 0% vs 0%, p=0.005); ABCB1 3435C>T was associated with reduced salivation (55.6% vs 10% vs 14.3%, p=0.021). CYP2D6*10 polymorphism was associated with reduced salivation (50% vs 14.3% p=0.032) and orthostatic dizziness (37.5% vs 7.1% p=0.029). CYP2D6*4 polymorphism was also associated with reduced salivation (60.0% vs 16.1%, p=0.029). We have established that genetic polymorphisms CYP2D6*4, *10, ABCB1 2677G>T/A and 3435C>T were associated with certain adverse effects of antipsychotics in adolescents with acute psychotic episode during the first month on treatment. Research was supported by the grant of Russian Science Foundation, project №18-75-00046 Attention Deficit and Hyperactivity Disorder (ADHD) is one of the most common neuropsychiatric conditions that interfere in the normal process of teenage development, adaptation and learning, affecting the fulfillment of norms and in their behavior within family, interpersonal and academic environments. Determine the prevalence of Attention Deficit and Hyperactivity Disorder (ADHD) in adolescents attending school in Santiago de los Caballeros, Dominican Republic. The investigators conducted a descriptive, cross-sectional study of primary source during the months of March-April 2018. The population was adolescents from 13 to 17 that were attending school in Santiago de los Caballeros. This investigation was performed through a survey that was filled in by the parents or tutors of the adolescents. The sample used was of 615 students, divided into 12 schools. The results showed a prevalence of ADHD of 25.7%. The type of ADHD that predominated was hyperactivity and impulsivity (47.5%). The relation between sex and the disease demonstrated a ratio of 1:1. The 27.4% and 22.3% of individuals within the age ranges of 15 to 17 and 13 to 14, respectively, presented symptomatology of ADHD. The analysis presented statistical association between failing subjects and grades and showing symptoms of the disease (p < 0.05). One quarter of the population studied obtained positive result of ADHD. Hyperactivity and impulsivity predominated over the other types of the disorder. Public schools showed more cases than private schools, although no statistical significance was observed. Relation between ADHD and failing grades and subjects at school was found. The concept of treatment-resistant schizophrenia includes partial response, absence of remission and inability of antipsychotic treatment to prevent relapse. 34-50% of cases of early onset schizophrenia have an insufficient response to antipsychotic treatment. Clozapine is the treatment of choice in these cases. However, a delay in the initiation of clozapine is common. Describing the case of a 15-year-old male diagnosed with treatment-resistant schizophrenia. We present the case of a 15-year-old male who manifests auditory, visual and cenesthetic hallucinations and delusional ideation for over a year. History of developmental delay between age 2 and 6. Schooling in the ordinary education system since age 7, with good adaptation and academic performance. Psychomotor development without other alterations. He lives with his parents and his younger brother. Risperidone was started (up to 6 mg/day), with partial improvement and significant side effects (drowsiness, bradypsychia and hyperprolactinemia), so aripiprazole was added (up to 10 mg/day), with insufficient response. The patient enters the child and adolescent psychiatry service due to a clinical worsening in the last 2 weeks despite the pharmacological treatment. The patient initiated treatment with clozapine up to 200mg/24h, with adequate tolerance. A significant improvement in positive symptoms and mood was observed. After discharge, he continued outpatient treatment in a child and adolescent psychiatry day hospital. Early onset schizophrenia is a prevalent and severe pathology with a poor prognosis. Early diagnosis is essential. The goal of treatment should be clinical remission. Body image attitudes play an important role in both culturally sanctioned (tatoo and piercing) and deviant (self-cutting) body-mutilations. To what extend theyshare the same features in both cases, and whether extreme body modifications can be regarded as mild forms of nonsuicidal self-injurious behaviour remains unclear. The goal of the study was to compare attitudes towards body in adolescents with non-suicidal self-injury (NSSI) and body modifications (BM). Participants were 28 adolescents (15-20 years) with self-reported NSSI, and 28 adolescents with extreme forms of BM (age ranged 15-20 years). Body attitudes were assessed with Russian versions of MBSRQ and BIQLI questionnaires (Brown et al, 1990, Cash, 2000, Cash & Fleming, 2002, Baranskaya, 2010). Beck Hopelessness scale was used as a measure related to suicidality and depression. Presence of NSSI was assessed with Reasons for Self-injury survey (Polskaya, 2013). (1) NSSI group scored significantly lower than BM on Appearance Evaluation (Mann-Whitney’s U, p<0.001) and Fitness Evaluation (U, p<0.01) scales only. Both groups scored significantly lower than a normative sample on all evaluative scales, and Body areas self-satisfaction scale (Kruskal-Wallis\nH, p<0.001, p<0.005 for different scales). (2) Groups showed no significant differences on Hopelessness scale, but both scored higher than normative sample (H, p<0.001). (3) In NSSI group only a significant correlation between Hopelessness scale and both Appearance Evaluation and Orientation scales was found (r=-0.43 and r=-0.44, p<0.05). There are signs of negative body attitudes in both groups, but NSSI group is more affected and shows relationships between appearance worries and depressive preoccupations. Although the diagnosis of Bipolar Disorder (BD) in adults does not present controversies, more than 60% of patients report onset of symptoms before the age of 20. These symptoms can be non-specific, which can lead to a delay in diagnosis. To analyze the variability over time of a sample of 72 patients under 18 years of age diagnosed with BD according to the DSM criteria. A sample (n = 72) of children and adolescents with DSM BD is evaluated according to subtype (I, II and NOS). This sample is evaluated over a 15-year period. We assessed the most frequently present symptoms prior and at time of diagnosis and its subtypes (I, II and NOS) Patients [75% boys, median age at diagnosis 12.6years] went follow up for a median period of 3.86 years. At the time of diagnosis, 37.5% had BD-I, 8.3% BD-II, and 54.2% BD-NOS. At follow-up, 62.5% had BD-I, 8.3% had BD-II, and 23.6% had BD-NOS, whereas 4.2% no longer met the DSM criteria for BD. After a median follow-up period of 3.86 years half of all patients with baseline BD-NOS maintained their BD subtype, but most of the other half showed conversion to BP-I at follow up. Only 4.2% of the sample (all with BD-NOS at baseline) did not meet criteria for BD at follow up, and these patients were stable. Adolescent depression is a real diagnostic and therapeutic issue for the child psychiatrist on a daily basis. The international recommendations that have developed since 2005 are fairly consensual and emphasize the need for identifying and diagnosing depression in children and adolescents. Management is essentially psychotherapeutic and the place of therapeutic drugs (mainly fluoxetine) must be modest. Medications should be introduced with caution. To shed light on the socio-demographic and psychopathological characteristics of patients with depressive disorder and to identify the main comorbidities and antidepressants used in the management of these young patients. Retrospective study on 40 consultation files carried out at the child psychiatry service of the Arrazi University Psychiatric Hospital. Sociodemographic and Psycho-pathological characteristics:\nNumber40Middle age12,675DiagnosticFirst episode:72.5% Recurrent depressive disorder:27.5%Suicidal ideationYes:22,5% No:77.5%AntidepressantsSertraline:42.5% Fluoxetine:57.5%ComorbiditiesAnxiety disorders:60% Conduct disorders:35% Drug addiction:7.5% The recommendations of good practice on the diagnosis and the management of the depressive manifestations of adolescents have developed since 2005 on the international level. The recommendations are fairly consensual and emphasize the need for identification and diagnosis of depression in children and adolescents. Management is essentially psychotherapeutic and the place of therapeutic drugs (mainly fluoxetine) should be modest and should be introduced with caution. Treatment must be carefully monitored. New therapeutic modalities (Transcranial magnetic stimulation) are being studied for resistant depressions. Their interest would be to be able to do without antidepressant drugs whose benefit / risk ratio is lower in young people at other times of life. Children of depressed and/or anxious parents are at increased risk of developing psychiatric disorders. An observational cross-sectional study was done to identify this relationship. 1) to identify the current rates of parental symptoms in families coming to the UHC, CHILD AND ADOLESCENT PSYCHIATRIC CLINIC; 2) to determine whether there is a relationship between parental symptoms and parent reports of their children’s symptoms The sample includes youth 4 through 17 years of age (n=98) from 345 ,who were evaluated between February 2019, and September 2019 CHILD AND ADOLESCENT CLINIC in Mother Tereza Hospital.Were excluded children with a life-threatening medical illness, active psychosis, active suicidality, mental retardation, pervasive developmental disorder, or physical/sexual abuse (n=245). Parental reports on the SDQ internalizing scales were highly correlated with scores of depression in PHQ-9,higher in mothers, (for mothers: y=9.78+1.48 depresi_prind ; For fathers: y=10.91+0.04 depresi_prind)The same was found for the relationships between parental reports on the SDQ internalizing scale with scores on parental reports on GAD-7. Both parents’ symptoms were significantly associated with their reports of children’s internalizing and externalizing problems. This may be due to parents’ symptoms influencing their interpretation of their children’s problems. Early Start Denver Model (ESDM) is an evidence-validated program for young children with autism spectrum disorder (ASD). In the past nearly 10 years, most of the ESDM studies were reported in the west, what predictors of outcome implementing ESDM in Taiwanese public health system is an open issue. The purposes of this study was to examine the predictors of outcome implementing low-intensity ESDM for young children with ASD in Taiwanese public health service system. A total of 25 children with ASD aged between 25 and 46 months were recruited. Children in ESDM intervention group received 9 hours per week of one on one ESDM intervention in clinical settings for 24 weeks. Children outcome measures were administered pre and post intervention, comprising the cognitive ability, language, adaptive behaviors and symptom severity assessed by the MSEL, ABAS-II and ADOS, respectively. Outcome predictors measures were administered at pre intervention, comprising temperament, sensory process, imitation, play and social orientation. The results revealed that children in ESDM intervention having better imitation and play performances at pre-intervention can predict better improvements in cognitive ability, and having more initiating joint attention and lower object exploring can predict more decrease in symptom severity. The study showed that social communicative abilities such as imitation, play and joint attention are important indicators to predict the outcomes in cognitive function and autism severity in low-intensity ESDM program for young children with ASD. Dating Violence in Adolescence is defined as the psychological, physical or sexual aggression that occurs in sentimental relationships between adolescents aged 10-19. Dating violence is a matter of public health, as it has a prevalence of 5-10%. Through this presentation we will expose a case report and present the different resources available in our area. We present the case of a 13-year-old girl involved in a relationship who suffers dating violence. She experiences a significant change of attitude with important disturbance in different areas (scholarship, family and friends), requiring hospitalization in psychiatry over suicidal ideation. We have carried a bibliographic review of dating violence in adolescence through Pubmed and MeshDatabase using the terms “Intimate Partner Violence” and “adolescent”. Adolescence is a crucial period in which the brain suffers many structural and functional changes, especially in the prefrontal cortex. These changes involve the development of executive functions and play a very important role in impulsivity control and emotional regulation in adolescence. The short-term effects of dating violence include depression, anxiety, substance abuse and suicidal ideation, while the long-term effects are low self-esteem, lower academic performance, substance dependence and eating disorders. Investing in mental health in adolescents will guarantee healthy adults in the future. Due to its high prevalence, it is mandatory to ask about dating violence when interviewing adolescents at risk. Some useful methods to manage these situations include school-based interventions and follow-up with mental health professionals. Prevalence of comorbid eating disorders in ASD patients represent around 15% of ASD population. Symptoms of eating difficulties in ASD range from restrictive patterns of feeding to binging or purging behaviours. It is also suggested that there could be an overlap in pathophysiological mechanisms between ASD and anorexia-bulimia nervosa given some similarities such as deficits in abstract thinking or impulse-control issues. However, there are not well-defined strategies to manage these comorbid disorders. Therefore, clinicians are not sufficient aware of the importance of an accurate diagnosis and specific therapeutic approaches for those patients Based on the need to formulate protocols,we aim to conduct a systematic review on the recent literature research on this topic. Review authors set PubMed as data source and agreed on exclusion and inclusion criteria of the reviewed articles. Following a preliminary search on PubMed a total number of 133 peer reviewed articles were considered. Filters were applied for language, date of publication and text availability with a provisional result of 63 publications. We selected those articles focused on etiology, clinical outcomes or treatment of comorbid ASD and ED with a final result of 21 articles Our systematic review suggest that despite the evidence of a link between ASD and eating disorders, there is a lack of research on the topic. As a result, mental health professionals tend to use systematic approaches to treat those patients. There could be shared mechanisms between ASD and eating disorders. However, further research is needed to better understand this relationship. There is limited research data published on the emotional state of caregiver (parents and teachers) of children with ID and mental illness. The objective of our study was to assess the parents and teachers' distress in order to propose intervention strategies to reduce it A descriptive, cross-sectional study was carried out. The study sample was composed of 39 children, their respective parents and the 23 teachers who assist these students/patients. The assessment included: 1. Parents' cariables: Parental Stress Index-Short form scale (PSI-SF) and Beck Depression Inventory scale (BDI-II). 2. Teachers' variables: Malasch Burnout Inventory (MBI). 26.1% of students in this special education school had a comorbid mental disorder. 79.4% presented a diagnosis of ASD with or without comorbidity. The average total score of PSI in fathers was 81±36.35 and 85.18±23.07 in mothers. 26% of teachers showed medium-high levels of emotional exhaustion, 26% report depersonalization sensation and only 4.3% showed low personal achievement. The parents ‘average BDI scores showed the presence of mild depression. Mothers have clinically significant parental stress levels. Some of the teachers showed important levels of emotional exhaustion. Since September 2018, students of a special education school with psychiatric comorbidity are attended by the mental health professionals (Psychiatrists) in the educational center. Treating the patients within the school environment aims to increase patient information, ensure continuity of care and increases the perception of teacher support. Joint engagement (JE) is one of the core deficits in young children with autism spectrum disorder (ASD). In typical development of joint engagement, person-person game or dyadic interaction occurs first when caregiver interacts with baby before 6 months. Affect connection between infant and caregiver is developed mainly through body interaction and synchronization. Then, JE occurs when the toys are added to the games during caregiver-infant interaction after 6 months. However, the literature has few articles to address the issue in early intervention for young children with ASD. The purpose of this study was to explore if Dongshi movement intervention, a kind of dance movement therapy, can facilitate body synchronization and affect attunement in young children with ASD. Three young children aged 2-4 years with middle-to-low functioning ASD were recruited. The study used a single case design with multiple baseline design across cases and multiple probe design, including baseline, intervention and follow-up phases. In intervention phase, Dongshi movement intervention consisted of 17-19 sessions with 40 minutes per session and twice a week. The primary outcome measures included the total time of engaging in interaction with person and coordinated joint engagement. showed that effects of joint engagement were observed in the three participants, however, two participants showed stable improving trends and generalization during the intervention and kept maintenance at follow-up sessions. The findings revealed that Dongshi movement intervention, a kind of dance movement therapy can facilitate social engagement in young children with ASD. Limitations and further studies were discussed. Mental illnesses frequently start in childhood, requiring not only an early intervention in Child and Adolescence Psychiatry (CAP), but also its maintenance in Adult Psychiatry (AP) Services. Given the importance of continuity of care and the co-occurrence of psychopathology in different members of the same family, a close articulation between CAP and AP Services is fundamental to ensure a good quality of care. To review the existing evidence supporting the need of a collaborative articulation between CAP and AP Services, and to describe a Portuguese Articulation Project between CAP and AP services at our Hospital Centre, in Lisbon. Literature review and Project description. Transition into adulthood is a vulnerable period, increasing the risk of non-adhesion and disruption of care. However, less than one-third of young adults referred from CAP to AP Services perform an effective transition. Additionally, not only Children of Parents with a Mental Illness (COPMI) have an increased risk of developing mental illness in the future (RR 2.52; 95%CI 2.08-3.06), but parents of children evaluated in CAP Services also have an increased risk of psychiatric symptoms. We developed an Articulation Project between CAP and AP Services at our Hospital Centre, comprising articulation meetings for joint discussion/referring of cases, and formative meetings in areas of interest for both services. A close interaction between CAP and AP Services is crucial to ensure a gradual and coherent transition between the two services, with the additional advantage of allowing joint discussion and referring of family members at risk of developing mental illness. Children with ADHD frequently have sleep disturbances. Results from subjective and objective sleep studies in ADHD have been inconsistent. The most often cited issues about the heterogeneity of result are the different methods of sleep measurement, the use of stimulant medication and the presence of psychiatric comorbidity. The objectives of this study were to assess sleep disturbances in unmedicated children recently diagnosed with attention-deficit/hyperactivity disorder (ADHD), compared with healthy peers, using actigraphy and parental questionnaires, and examine the potentially moderating role of severity of symptoms, ADHD subtype and comorbidity. 120 children of age group between 6-16 years (60 children diagnosed with ADHD and 60 controls), recruited from a hospital’s Child Psychiatry Outpatient services. Sleep disturbances were assessed using actigraphy during 7 consecutive days. The parents of these children were interviewed using Sleep Disturbance Scale for Children (SDSC). The severity of ADHD and comorbidity were evaluated via the Conner’s Parents Rating Scale and K-SADS-PL. The SDSC scale showed a significantly greater incidence of sleep disorders in children with ADHD as compared to controls. Children with ADHD had a higher score on Problems Initiating and Maintaining Sleep, Night Awakenings, Sleep-Disordered Breathing, Sleep-Awakening and Excess Daytime Sleepiness. Sleep disturbances were not finding by actigraphy. The presence of psychiatric comorbidity and combined ADHD subtype were associated with more severe sleep disturbances, but not severity of symptoms. Sleep disturbances are more prevalent in children with combined ADHD subtype and psychiatric comorbidity; however, it is necessary objective assessment tools to verify these sleep disturbances. Clinical comorbidity ASD, tics disorders and epilepsy can be determined by different variants of genetic polymorphism, as an option different variants of gene expression, determined by different environmental influences. The purpose of the study was to study the features of the clinical phenotype of ASD in preschool and school-age children with tics, epileptic seizures and specific epileptic activity on EEG. 116 children aged 2-10 years with ASD were examined. For diagnostics, ADI-R, ADOS techniques and DSM-V diagnostic criteria were used. DAWBA was used to screen for comorbid disorders. The study group was divided into three subgroups: subgroup A - 23 children with a history of epileptic seizures, subgroup B - 35 children with specific forms of epileptic activity on EEG without epileptic seizures, subgroup C - 19 children with ASD having specific epileptic activity for EEG repetitive involuntary movements (motor and vocal tics). The control group consisted of 39 children with ASD none a history of seizures and specific epileptic activity on the EEG. The follow-up of children with ASD in the comparison groups was performed for 3-5 years. Clinical phenotypes of ASD with epileptic seizures or specific epileptic activity on the EEG are characterized by differing clinical symptoms and their change during follow-up. Motor and vocal tics were present in subgroup C (P < 0,001); no differences were found in subgroups A and B. Further research is needed on the clinical phenotypes of ASD polymorbid disorders. Efficacy and safety of Levetiracetam and Risperidone for aggression irritability, and hyperactivity in adolescent with autism spectrum disorder (ASD) are controversial The sudy of Levetiracetam and Risperidone efficacy and safety for aggression and mood instability in ASD adolescents. 66 adolescents with ASD (MD = 14,6) were randomized into three groups : Lvetiracetam + Risperidone (A), Placebo + Risperidone(B) and Placebo +Levetiracetam (C) for an 8-week, placebo-controlled study with the use of flexible doses of Risperidone (1.0-3.0 mg; MD = 2,3) and LCT(1000.0 – 2000.0 mg; MD = 1580 mg). Patients were assessed at baseline and after 2, 4, 6 and 8 weeks of therapy. We used : DAYS, MASC, LSAS-CA, YBOCS, ADHD-IV, SCQ, ASDS, RAASI, SSRS, GAF. Groups were considered the independent variable, and five measurements during treatment were considered as the dependent variable for themultiple regression analysis. Compared with the group B, patients of group C demonstrated improved symptoms of hyperactivity, impulsivity and mood instability. No treatment difference was observed between A and B groups for the SCQ, ASDS, RAASI and SSRS. Changes in group A were greater than in C and B. The GAF score in the patients improved significantly from 39.00 ± 7.36 before therapy to 58.00 ± 9.12 after risperidone (F = 30.16, df = 1, p < 0.001) and to 64.00 ± 8.21 after Levetiracetam + Risperidone (F = 33.89, df = 1, p < 0.001). Risperidone is useful in treating behavioral problems; adding Levetiracetam to Risperidone was more effective for irritability and stereotyped behavior. Diagnosis of ADHD for children residing in the Borough if Merton is currently being carried out by CAMHS Neurodevelopment Service located at Springfield Hospital. Due to centralised nature of assessments young people tends to stay in a waiting list for nearly 6-8 months. Following diagnosis they get redirected to Merton CAMHS as a new referral to consider initiation of medication. This two-stage process adds a considerable delay into starting medication. Reduce the waiting time for young people waiting on medication treatment pathway under Merton CAMHS. We are hoping to collect following data on patients who were on waiting list in September and October 2019; number of patients, age range, duration of being on waiting list, total number of medication initiation appointments offered, average duration of these appointments We will be handing over an information pack on ADHD medication from November to December 2019 to get patient feedback on what needs to be included in such a pack. Finalised information packs will be sent to young people prior to each medication initiation appointment from January to February 2020 while reducing the appointment time to 45 minutes. We have collected the data and currently distributing the information packs to young patients and families. Our hypothesis could be that the introduction of information pack on medication would help to bring down appointment time by half. This would help us to bring the waiting time by half for the current cohort. Attention deficit hyperactivity disorder (ADHD) is characterized by a lack in self-regulation of behaviour, cognition and emotional response. Children with ADHD often experience emotional dysregulation (ED) defined as the inability to regulate emotions and to organize behaviours in response to emotional stimuli. The present exploratory study aimed to evaluate possible peculiar sensitivity to emotional stimuli in children with ADHD and ED, revealed by behavioural performances and cortical hemodynamic characteristics measured with functional Near Infrared Spectroscopy (fNIRS). The relationship between haemodynamic activation during task and ADHD and ED symptoms was also investigated. Eighteen children with ADHD and ED, all drug naïve, and 25 typically developing (TD) peers, aged 6-16 years, underwent fNIRS while performing a visual emotional continuous performance task in which faces with relevant positive, negative and neutral content were presented. ADHD and ED symptoms were evaluated with Conners’ parents rating scales (CPRS). Selected fNIRS sources and detectors see figure1 Between groups comparisons revealed worse performances of ADHD children, with a statistically significant difference for positive blocks and total errors. fNIRS analysis showed higher activation in TD group, as measured by higher oxygenated-haemoglobin concentration changes, localized in right prefrontal cortex, regardless from the valence of the emotional stimuli. Correlations conducted between fNIRS activation and CPRS revealed several associations between hemodynamic changes in right prefrontal regions and inattention and hyperactivity, but not ED symptoms. Lack of self-regulation and ED impact on ADHD children ability to process emotional stimuli, as revealed by worse performances and haemodynamic peculiarities in right prefrontal cortex. Autoaggressive behavior is one of the most important social and medical problems. Adolescents suffering from autoaggressive behavior are at increased risk of suicide (Olfson, Wall, Wang, Crystal, Bridge, Blanco, 2018). Currently, suicide is the second leading cause of mortality among adolescent. (World Health Organization, 2014). Depression is the most frequently diagnosed mental disorder among adolescents with self-injurious behavior (Tilton-Weaver, Marshall, Svensson, 2019). Depression is accompanied by a decline in the quality of life, and therefore it is necessary to study the relationship of existential experiences and depressive symptoms in adolescents with autoaggression «The Children's Depression Inventory» (CDI) \n(M. Kovacs, 1997); «Test existential motivations» (TEM) (A. Lange, P. Eckhard, 2000); Spearman's rank correlation coefficient. The study include 75 adolescents with autoaggressive behavior. Average total depth indicator symptoms of depression in adolescents with autoaggressive behavior indicates an excess of the critical level in the severity of depressive symptoms. The largest number of significant correlations were found between depressive symptoms and the components of the first “confrontation with the world” (r = -0.659, p <0.001), the third “authenticity” (r = -0.529, p <0.01) and the fourth “confrontation with meaning” (r = -0.509, p <0.01) of existential fundamental motivations In adolescents with autoaggressive behavior, there is a significant relation between the symptoms of depression (negative mood, interpersonal problems, anhedonia, negative self-esteem, the total level of depression) and the experience of existential fulfillment, characterized as an experience of quality of life. Attention Deficit Hyperactivity Disorder (ADHD) is the main neurobehavioral disorder affecting children and adolescents between six and seventeen years of age; It is a neurodevelopmental disorder of chronic and hereditary characteristics, with behavioral patterns of inattention, impulsivity, and hyperactivity1,4. ADHD affects 5% of school-age children and 2.5% of adults.² In addition, 60-80% of patients remain with symptoms in adulthood.¹ Among the etiologies involved in ADHD, the main one is heritability, which may reach 75%2,3. Regarding the prognosis, there is a relationship between ADHD and substance abuse and other psychiatric disorders, academic and professional failure, difficulty in interpersonal relationships3. It is recommended that the treatment be multimodal, involving drug therapy, psychological and psychoeducation5. The drugs of choice are methylphenidate and dexamphetamine4. To present a multidisciplinary university extension project that works in the diagnosis and treatment of children with ADHD. The project operates in a multidisciplinary way, involving the medical, psychological and psycho-pedagogical areas. Patients undergo initial medical evaluation, followed by neuropsychological evaluation to confirm or exclude the diagnosis. When associated with learning disorders, psychopedagogic intervention is performed. In 2019, the project provided over 130 consultations, covering more than 60 patients. The project performance is justified, being ADHD a prevalent disease in the population and with developmental damage; thus, it is of utmost importance to correctly diagnose and treat patients with a specialized and multidisciplinary team. Neurodevelopmental disorders such as Autism Spectrum Disorder (ASD) and Attention Deficit Hyperactivity Disorder (ADHD) are lifelong conditions which have undergone huge diagnostic and therapeutic evolutions in the past decades. Although there seems to be consensus regarding therapeutic interventions in ADHD targeting dopaminergic and noradrenergic deficits in this disorder, the aetiology of the disorder seems far more complex, and in the case of ASD specific therapeutic target are still elusive to date. Concerns about adverse effects and interactions of multiple pharmacotherapy have boosted research on treatment strategies as nutritional supplements, but their advantages remain controversial. The present study aimed to investigate nutritional status in Portuguese children diagnosed with ASD and ADHD (n=91). Clinical evaluation included the Autism Diagnostic Observation Schedule (ADOS-2) and Autism Diagnostic Interview-Revised (ADI-R) and formal cognitive evaluation scales was performed in all the children, and patients on special diets, with metabolic disorders or with known vitamin deficiencies were excluded. An association between subclinical nutritional deficits and both Autism Spectrum Disorders and Attention Deficit Hyperactivity Disorder was detected. With the present work, the authors aim to enlighten the role for PUFA’s, iodine, zinc, selenium, iron and magnesium in neurodevelopment as distinct factors in the clinical presentation of both disorders. The relationship between nutritional status and ROS in the pathophysiology of ASD and ADHD is explored. Implementation of ICD-11 in different countries needs reflection on medical nomenclature. For many ages Latin and Greek were the main languages to express medical diagnose. In recent years they have been replaced with modern languages. Medical terms in different languages have in most cases Greek and Latin roots, therefore knowledge of Latin names of diseases enables international communication. The official dictionary of ICD-10 with Polish and Latin terms was released in 1997. Even in the newest medical textbooks e.g. ‘Internal Disorders’ by A. Szczeklik (red.) medical diagnoses are presented in Polish, Latin and English. The use of only living languages can cause misunderstanding. This is due to the different connotations of many words and terms used in medicine. Especially semantics is a key to understand the meaning of different terms and how to use them in best possible way. The aim of this study is a presentation of Latin-English dictionary of ICD-11 and the rules of translation and understanding medical terminology in different languages. In translation process medical textbooks as well as medical (e.g. Index Medicorum) and glossary (e.g. Lexicon Recentis Latinitatis) dictionaries were used to ensure that proposition is correct from both medical and semantic point of view. The results are contained in tables consistent with a different group of mental disorders e.g. mood disorders. Additionally special list of Greek prefixes and suffixes applicable in translation of ICD-11 categories were prepared. Translation process requires knowledge of psychopathology as well as semantics to prepare short, informative and easy to use expressions. Misophonia is a term firstly defined in the year 2000 by the ENT specialist Jastreboff as an abnormal emotional reaction to specific sounds, generally produced by human beings, such as chewing gum or coughing. It has also been described associated to movements as hair twirling or leg swinging. Different authors have considered misophonia as a mental disorder which should be classified by DSM-V or ICD-10. Our aim is to discuss if misophonia should be considered and classified as a mental disorder, as well as to describe frequent comorbid psychiatric illnesses. A case of a 28 year old man whose first contact with psychiatry occurs in the emergency room because of anxiety produced by referred misophonias is presented. A first psychotic episode is suspected during this first contact in the ER. He is transferred to a specialized unit where he initiates a psychopharmacological intervention. In addition, a bibliographical search is conducted in order to deepen in this disorder. Misophonia has been described by numerous authors in relation to mental disorders such as OCPD, eating disorders and Tourette syndrome, among others. No audiological cause has been found. Misophonia meets many criteria for a mental disorder, however, further investigation is needed as cases described are relatively low. Comorbidity with other mental disorders is, nonetheless, remarkable, further reason for additional study. Schizoafective disorder (SZA) is considered one of the most unstable nosological categories in Psychiatry and is often characterized by having “low reliability and questionable validity”. A recent meta-analysis (Santelmann H et al., 2016) reported diagnostic conversion in 36% of the patients initially diagnosed with SZA when reassessed. Analyze the diagnostic conversion of a sample of patients diagnosed with SZA. Retrospective study with a sample of patients with a registered diagnosis of SZA and follow-up in Psychiatry from January 2013 to June 2017. Data were retrieved from their clinical files in order to calculate the percentage of diagnostic conversion at 12 and 24 months and at the time of data collection (November 2019). We obtained a sample consisting of 67 patients (females 43.3%; age M±SD 45.3±11.63 years). There was diagnostic conversion at the 12-month point in 8 (11.9%) and at 24-month in 13 (19.4%) patients. At the moment of data collection, there was diagnostic conversion in 20 patients (29.9%) (bipolar disorder n=9, 13.4%; schizophrenia n=7, 10.4%; non-specified psychosis n=3, 4.5%; recurrent depressive disorder n=1, 1.5%). We found a percentage of diagnostic conversion ranging from 12 to 30%, increasing with follow-up time, with conversion to bipolar disorder predominating, followed by schizophrenia. To eliminate certain bias (e.g. sample size, sample from a single department), the authors consider that expanding to a multicenter study may be appropriate. In recent decades, cannabis use has grown steadily, despite the risks to mental health. Many researches have been conducted to determine the risk that this consumption has for the development of different mental disorders, especially in the area of psychosis. On the other hand, research has been much more limited in the domain of affective disorders. To study the use of cannabis as a possible risk factor for the development of affective disorders. A review of the available literature on the possible association between cannabis use and affective disorders was conducted. Different results can be found in the available literature. On the one hand, there are studies that conclude that the association between cannabis use and depressive symptomatology, although significant, is poor. On the other hand, several longitudinal studies, after controlling several contaminant variables, do not find significant relationships. Finally, there are studies that find a significant association between cannabis use and the emergence of depressive symptoms, as well as an increase in the probability of experiencing suicidal ideation and attempts among users. Some studies have also suggested that cannabis may be associated with a earlier age of onset for bipolar disorder, increased suicide attempts, and a more severe course of the disease in initial stages. Compared to research in psychosis, in the field of affective disorders the number of investigations is lower and with less conclusive results that should be interpreted with caution. More research is required in this area. Many studies have identified cannabis use as an additional risk factor for the development of psychotic spectrum disorders. To study the available evidence about cannabis as a risk factor for the development of psychosis. A review of the available literature on the relationship between cannabis use and the risk of psychotic disorders was performed. Cannabis use increases the risk of psychosis, showing a dose-response effect. Although a causal relationship between these two variables has not been established and the mechanisms of this association are not yet clear, the results suggest that this association is especially present in a population with a previous vulnerability to suffering psychotic spectrum disorders, accelerating its development and significantly altering the onset, course, phenomenology, results and relapse in schizophrenia. Another direct effect of cannabis use is the presentation of transient psychotic reactions derived from intoxication, something that some authors consider as an early expression of schizophrenia in vulnerable individuals, being able to evolve later towards the development of the disease. There is numerous evidences about cannabis use as a risk factor for the development of psychosis. This risk is especially present in the young population and with a previous vulnerability. Preventive measures are necessary in high-risk groups, mainly consumers of large quantities and those who initiate consumption in adolescence. The relevance of the study was determined by the high incidence of mental disorders and decrease of the quality of life (QL) in patients with combination of gastrointestinal tract (GIT) diseases and hypothyroidism (the frequency of this combination of diseases-about 30%). The aim was to evaluate the quality of life of patients with combined pathology. Questionnaire SF 36 and Hamilton's scale of Depression and anxiety were used. Patients are divided in two groups: the first group – patients with ulcer disease (20 persons); the second group – patients with ulcer disease and hypothyroidism (20 persons). The quality of life of patients from the second group is low. The physical component of health is 51,36% in the first group and 40,8 in the second group (p≤ 0,05). Such indications are associated with the symptoms of hypothyroidism: metabolic disorders of protein, lipids, decelerate of carbohydrates utilization, weight gain, tendency to bradycardia, pain caused by biliary dyskinesia. The mental component in the first group is 41.22%, in the second – 30.75% (p ≤ 0.05). The score on the Hamilton Anxiety Rating Scale (HAM-A) is also high for both groups. High score indicates the course of the pathological process affects the personality of the patient and his emotional experiences. The mental component of QOL is various for somatic patients. Patients with combined pathology of peptic ulcer and thyroid dysfunction should be examined by psychotherapist as well because of pronounced somatogenic mental disorders. The publication was prepared with the support of the “RUDN University Program 5-100” Comorbidity of patients with GERD and thyroid diseases degrades the course of the disease, increases the cost of diagnosis and treatment. The aim was to evaluate the quality of life in patients with comorbidity with GERD and thyroid diseases. Questionnaire SF 36 and Hamilton's scale of Depression and anxiety were used. Patients are divided in two groups: the first group – patients with GERD (15 persons); the second group – patients with GERD and hypothyroidism (15 persons). The quality of life of patients from the second group is low for such indications as “physical and mental components of health”, “social functioning”. The intensity of pain in two groups significantly limits daily activities of patients. The physical component of health in patients with GERD is 48.82%, and in patients with comorbidity – 39.21% (p ≤ 0.05). A significant difference in the mental health component is observed: in the first group – 39.7%, and in the second group – 30.18% (p ≤ 0.05). Patients with GERD suffer not only symptoms associated with erosive-ulcerative, catarrhal and/or functional disorders of the distal esophagus, but also neurotic disorders. Depression, memory impairment, attention disorders are more common. Thyroid dysfunction manifests with psychoendocrine syndrome (depressive and anxiety-phobic disorders), therefore the mental health component of the quality of life of patients with GERD and hypothyroidism decreases. The publication was prepared with the support of the “RUDN University Program 5-100” Multiple sclerosis (MS) is a chronic progressive disorder of the Central Nervous System, which can cause a change in the patient’s psyche. Sadly, psychiatric comorbidities can affect up to 95% of MS patients during their lifetime. Following the evolution of a patient diagnosed with multiple sclerosis, during the period 2012-2019, under antidepressant and anxiolytic treatment. Patient presenting with multiple hospitalizations during the period 2012-2019 at the 'Elisabeta Doamna' Psychiatric Hospital, Galati, Romania. We used the Psychiatry Hospital Database 'Elisabeta Doamna' from Galati, Romania, where patient information were accessed and admitted to the Psychiatry Clinic Section II, searching for different bibliographical references, diagnostic criteria ICD-10 (Mental and Behavioral Disease Classification), diagnostic criteria DSM-5 (Diagnostic and Statistical Disorders), and the psychometric tests such as HAM-D (Hamilton Depression Rating Scale) and HAM-A (Hamilton Anxiety Rating Scale). The patient’s evolution during 2012-2019 fluctuated, with the predominance of an anxiety pathology associated with depressive pathology (F41.0 in 2012, F32.0 in 2013, F41.2 in 2016, F41.3 in 2019). Even under drug treatment with anxiolytic antidepressants, the patient’s condition shows a gradual deterioration with the acceleration of the anxiety symptoms, in the last year. Multiple sclerosis has a major impact on the patient’s psyche, as the symptoms of the disease increase. Given the high incidence of psychiatric symptoms in patients with MS and taking into account previous reports of \"psychiatric relapses,\" it may be wise to consider MS as a differential diagnosis of patients presenting to psychiatric clinics. In our society, where high standards of perfection are sets, the one with psoriasis is commonly considered as an outsider, a marginalized person unable to be in line with standards. If a pathology related to acool consumption is associated with psoriasis, the marginalization of the person increases. We present a case of a 43-year-old patient diagnosed with psoriasis, alcohol disorder and depression, to examine the impact of psoriasis and depression on the patient’s quality of life. The 43-year-old patient is a policeman and has been diagnosed with severe psoriasis, alcohol disorders and depression. At the first multidisciplinary evaluation, the patient had: PASI: 18, HAM-D: 19 and DLQI: 27. The psychiatric evaluation uses the ICD-10 criteria (Classification of mental and behavioral disorders), for depression and alcohol-related disorders. We find out that the patient was discriminated at workplace, because of skin diseases, then gradually lost family and friends, and at one point, started thinking about the idea of suicide. The patient begins to compensate for the depressive illness by consuming alcohol. The dermatologist decided to initiate biological therapy for psoriasis. After 3 months of biological therapy for psoriasis, at multidisciplinary evaluation, patient had: PASI: 0 HAM-D: 3 and DLQI: 0, with normal lifestyle. In this case, quality of life was significantly influenced by psoriasis, alcohol disorder and depresion. Social exclusion, discrimination and stigma was psychologically devastating for the patient. Skin disease remission helped him to reintegrate at work and to restore relationships with friends and family, starting a normal life. With the emergence and dissemination of the categorical approach to psychiatric diagnosis, the concept of comorbidity has become very controversial on certain areas. Patients with eating disorders (ED) frequently associate disorders due to substance use (SUD). Clinical and prognosis implications make important to clarify the etiopathogenesis of this association. To study the etiopathological relation linking ED and SUD. We conducted a bibliographical research of the available literature on clinical models of association of ED and SUD. There are several clinical models of comorbidity that attempt to clarify the relationships between ED and SUD. The addictive model hypothesizes that ED is a specific form of addition. Another model defies that SUD is a risk factor for the development of ED. Some argue, the other way around, that ED is a risk factor for the development of SUD. At the intermediate point is placed the model that explains the existence of common etiopathogenic mechanisms for SUD and ED. The more complex model understands that both pathologies would influence and modify each other from a pathoplastic point of view, modulating its morphology and development. ED and SUD are complex clinical phenomena, so complex models are needed to aproach them. There are clinical data supporting each one of these models, and it is therefore unlikely that only one of them can explain the complex interaction between ED and SUD. It is important to transmit to clinicians and patients the complexity of the etiopathogenesis of these diagnoses, in order to achieve a correct conceptualization. Myristica fragans seed, commonly known as nutmeg, is a kitchen spice which has been used for centuries worldwide. In folkloric medicine, it has been used as a remedy for gastrointestinal disorders mainly. Nutmeg effects on Central Nervous System (CNS) have also been studied, but reports about its impact on anxiety, depression, and hallucinatory experiences are contradictory. Our aim is to describe the clinical case of a 25 years old male who suffered a manic episode, after have been doing an abusive use of nutmeg. We describe and analyse the clinical case of a 25 years old male who suffered a manic episode after nutmeg abuse. We also conduct a literature rewiew about nutmeg effects on CNS. The patient was admitted to psychiatric unit. He was concious, and globally oriented. Inattentive.Desnhibited.Expansive mood.Speech showed tachylalia and derailment.Structured mystical and megalomaniac delusions with auditory hallucinations were present. He suffered mixed insomnia.Psychopharmacological treatment with 20 mg oral aripiprazole was administered with partial remission of the manic episode. Two weeks before manic episode, he had been using a high amount of nutmeg as stimulant agent. Nutmeg has not well defined effects on CNS.Its psychoactive and hallucinogenic properties have been described but the hypothesis of psychoactivity is due to amphetamine-like metabolites has not been experimentally supported.Anxiogenic activity has been reported, as well as an antidepressant effect because of nutmeg´s involvement on adrenergic, serotonergic and dopaminergic systems. We sustain the clinical hypothesis that manic episode was associated to nutmeg abuse, but further investigation about nutmeg´s psychotropism is needed. Affective disorders are common in people with substance use disorders. If not recognized and appropriately treated, co-morbid affective disorders can hinder therapeutic plans, harming clinical outcomes of patients' substance use disorders. Bipolar depression is frequently underdiagnosed or misdiagnosed as unipolar depression. Its pharmacologic mismanagement can lead to worsening of affective symptoms leading to relapse early in recovery. We are going to present our experiences by analyzing around 100 patients treated for addictions during a 5-month period, who were also screened for BD. An additional case report will be presented, involving a patient with co-morbid bipolar disorder, substance use disorder and antisocial personality disorder. We will be addressing the importance of current screening tools for bipolar disorder (BD), such as Hypomania Checklist 32 (HCL-32) and Young Mania Rating Scale (YMRS), with focus on their importance in addiction medicine. Preliminary results show a great percentage of bipolar affective disorder in screened population of patients treated of different addictions, eather diagnosed before or not. In our opinion, screening for BD should be routinely performed in patients with substance use disorder, in order to improve the clinical outcome of patients. The dysfunctional breathing (DB) are pathological and stable breathing patterns, in which the pulmonary ventilation is inadequate to the functional needs of the body. As a result, breathing pattern disorder provokes respiratory, cardiovascular, gastrointestinal, muscular, neurologic and psychological dysfunctions. DB may aggravate the underlying cause of the disease, mimics a serious illness or creates medically unexplained symptoms because of the psychological factor. To exam of etiological reasons, classification, comorbidity of dysfunctional breathing in different study fields (psychiatry, pulmonology, psychology). There were conducted literature reviews searching the terms \"dysfunctional breathing\" in PubMed and Web of Science at study fields of psychiatry, pulmonology, and psychology. The research strategy was limited to articles written in English and included only adult human samples. The etiologic reasons for BD may be pathological, biomechanical, biochemical, environmental, habitual, psychological, or their combination. DB includes the next types: hyperventilation syndrome, unregular breathing, thoracoabdominal asynchrony, upper-chest breathing, periodic deep sighing or breath holdings. Dysfunctional breathing can aggravate asthma, COPD and occur because of nasal breathing disorders. Dysfunctional breathing accompanies to generalized anxiety disorder, panic disorder, phobias, PTSD, somatoform and dissociative disorders. From a psychological point of view, respiratory pattern disorders occur in response to stress, attachment disorders, as well as a distorted interpretation of internal sensations. The study, diagnosis, and treatment of dysfunctional breathing require a holistic consideration of human functioning, taking into account physiological and psychological factors. Therefore, it is necessary to create an interdisciplinary approach to research various causes of dysfunctional breathing and provide personalized care. The presence of comorbidity in substance users is common as for example ADHD and Depression, suggesting that dual pathology should be understood as trial pathology, as Gutierrez et al propose. In addition, the presence of accompanying anxious symptoms is not negligible. Our purpose is to assess in a sample of substance users if the subjective anxiety was different according to the comorbidity (No Comorbidity, ADHD, Depression, and ADHD+Depression) This is a sample of 177 substance users (alcohol n=64, cannabis n=49, cocaine=44 and opiates=20). We measure subjective anxiety through a numerically transformable visual analog scale from 0 to 10. We divide the sample into four groups as they exceed or not the cut-off points of BDI-1A and ADHD-RS scales. A comparative test is carried out using a one-way ANOVA and then a post hoc analysis to determine which groups differ. The mean age was 36,51 ± 10,83 with a 13,56% females. The group with the highest subjective anxiety was ADHD + Depression (7,03), the least, the group without added comorbidity (5,16). The means comparison between groups showed a statistically significant result according to the ANOVA (p = 0.001). The post hoc analysis indicated that the groups that differentiate each other were ADHD + Depression and Non-Comorbidity, finding two homogeneous subsets that do not differ from each other as can be seen in the figures Subjective anxiety was different according to the comorbidity in our sample, with the ADHD + Depression and Non-Comorbidity groups differing. After moderate-severe and severe traumatic brain injury (MSTBI and STBI) in the process of recovery of consciousness patients go through the stage of confusion, described in the literature in adults. Post-traumatic confusion in childhood has not been studied. Purpose: to study the stage of confusion in children during the recovery of consciousness after MSTBI and STBI. 28 children after MSTBI and STBI (4-17 years old, median 12), who entered the CRIEPST (2016-2018). neuropsychological (clinical interview, methods by A.R. Luria); data of psychopathological, neurological and neuroimaging methods. Scales: assessment of the level of consciousness - by T. Dobrokhotova, RLAS-LCF-R, SCABL; confusion diagnostics - COAT Confusion was detected in 16 children (57%), 8-17 years old (median 15.5), most of them were adolescents (10-17 years old). Symptoms were noted: 1) disorientation in time, space, personal data; 2) memory impairment of current events and modally-nonspecific type; 3) impairments of executive functions and neurodynamic parameters; 4) agitation; 5) impairments of emotional and personal spheres. The duration of confusion was an average of 2-3 weeks. Among the factors affecting the features of characteristics, severity and dynamic of confusion may be the degree of evolution of brain structures and the level of formation of mental functions, the relationships of parents and children, accompanied by neurosurgical, surgical and somatic disorders and other factors. The stage of confusion was detected in 57% of children (over adolescence) after MSTBI and STBI in the symptoms: disorientation, amnesia, impairments of executive functions and neurodynamics, emotional and personal spheres; agitation. At present in the province of Salamanca, there is no outpatient program focused on dual pathology. There is a perceived need of attention to those patients who present a serious mental disorder and a substance use disorder. In accordance with the recommendations of the scientific evidence of recent years, we propose the creation of a specific healthcare resource within the framework of the University of Salamanca Health Complex. The dual pathology outpatient program sits (image 1) on the second level of the assistance system and follows the indications of the IV Mental Health Plan of the Regional Ministry of Health. It is intended to be a bridge between the two usual lines of assistance (image 2): mental health network and drug dependence network. It will offer a multidisciplinary and integrated approach from a biopsychosocial perspective. It will focus on diagnosis, differential diagnosis, psychopharmacological and psychotherapeutic approach, nursing care and psychometry. In addition, the dual pathology outpatient program aims to be a training area for service professionals and the basis for promoting research activity focused on dual pathology. A previous training and coordination program has been carried out with the different resources of both networks. A pilot project is proposed, building a therapeutic team consisting of a psychiatrist, two clinical psychologists, two nurses, a social worker and two social educators. The first clinical results are presented. This new program results from the effort to improve care for patients with dual pathology.More experience in this area is necessary. Identifying the predictors of response to psychiatric and psychotherapeutic treatment may be useful for increasing treatment efficacy in pharmacoresistant depressive patients. The goal of this study was to examine the influence of dissociation, hope, personality trait and selected demographic factors in treatment response of this group of patients. Pharmacoresistant depressive inpatients were enrolled in the study. All patients completed Clinical Global Impression – both objective and subjective form (CGI), Beck Depression Inventory (BDI-II), and Beck Anxiety Inventory (BAI) at baseline and after six weeks of combined pharmacotherapy and psychotherapy treatment as outcome measures. Internalized Stigma Of Mental Illness Scale (ISMI), Dissociative Experience Scale (DES), Adult Dispositional Hope Scale (ADHS), and Temperament and Character Inventory (TCI-R) were completed at start of treatment with intention to find predictors of treatment efficacy. The study included 72 patients hospitalized for the pharmacoresistant major depression, 63 of them finished the study. Mean scores of BDI-II, BAI, subjCGI, and objCGI significantly decreased during the treatment. BDI-II relative change statistically significantly correlated with the total ISMI score, Discrimination Experience, and Harm Avoidance. Strongest factors connected to BDI-II relative change were duration of disorder and Discrimination Experience. The strongest factor connected to objCGI relative change was Discrimination Experience. The existence of comorbid personality disorder did not influence the treatment response According to our results, the patients with pharmacoresistant depressive disorders, who have had more experience with discrimination because of their mental struggles, showed a poorer response to treatment. Supported by the research grant VEGA no. APVV-15-0502 Prevalence of autism spectrum disorders (ASD) has increased in recent years. The literature shows a high psychiatric comorbidity and use of psychopharmaceuticals although they tend to tolerate them worse than the rest of the population. The main aim of this study is to investigate comorbidity and prescription of psychoactive drugs in outpatient adults with ASD. Observational-retrospective study based on the review of outpatients clinical history of adults with ASD attended from September 2017 to September 2018, at Parc Tauli University Hospital in Sabadell (Barcelona). In our sample we find 77 patients (72.7% men). Average age is 27.40 years. We found comorbidity anxiety-depressive disorder (36.3%), and ADHD (31.2%). 85.71% (66) receive pharmacological treatment (60 receive 2 or more medicaments). Most common treatments are: antidepressants (51), antipsychotics (39), antiepileptic / mood stabilized (11), benzodiazepines (21), stimulants (7) and others (4). Half of the sample have II-III severity according to the DSM-5 criteria and 23.4% have recognized intellectual disability. Finally, up to 85% of the patients live with their families, and only 25% carry out paid work activities. Adults with ASD are more likely to have a psychiatric disorder than general population. The most prevalent being ADHD, depression and anxiety disorders Most adults with ASD receive antidepressant treatment, followed by antipsychotic therapy. Fluoxetine and risperidone have the highest evidence of the limited literature available. Despite the low prevalence of intellectual disability, it is clear that this population has high social dependence, low functionality and low autonomy. Fahr's syndrome is a rare disorder characterized by abnormal deposits of calcium in areas of the brain that control movement, including the basal ganglia and the cerebral cortex associated with many neurological and psychiatric abnormalities such as a rigid hypokinetic syndrome, mood disorders and cognitive impairment. This case highlights the importance of undertaking organic investigations in the context of acute psychotic symptomatology We present an atypical case of Fahr’s disease presenting with primarily neuropsychiatric disease with profound, rapidly progressive psychosis with no focal neurologic deficits that was responsive to olanzapine. We present a case of a 86 year-old woman with a history of well controlled hypertension who attended our outpatient psychiatric consultation for a symptomatology involving agitation auditory and visual hallucinations and a the delusional belief that she was the new president of the republic evolving within a period of less than a month. A cranial computed tomography brain scan found bi-pallidal and cerebellar amygdala calcifications in favour of Fahr syndrome associated with moderate bi frontal and temporal subcortical cortical atrophy. Phosphocalcic investigation revealed normal levels of serum calcium and phosphore ; urinary level of calcium ; Parathormone and 25-OH vitamin. This case, along with others in the literature, emphasizes the importance of the role of neuro-imaging and the search for disrupted phosphocalcic metabolism in patients with atypical psychotic symptoms. it is also worth mentioning the importance of assessing the psychotic manifestations of a dementia within a Fahr disease. The association of brief psychotic episode - and psychotic disorders in general - with substance use disorders (SUD) is a common clinical situation. Some literature data suggest that it could increase the risk and severity of psychotic relapses. We aimed, in this study, to determine the prevalence of SUDs in hospitalized patients for brief psychotic episode and describe the epidemiological and evolutionary characteristics in a moroccan sample. Retrospective descriptive and analytical study of patients hospitalized for the first brief psychotic episode at the Ibn Nafis psychiatric hospital in Marrakech between January 2014 and December 2016. The severity of the symptoms was evaluated by the PANSS scale. 209 patients were included. They were 27 years old in average, More than 87% of them were male. Cannabis was the most consumed substance (60.8%). This substance was more frequently consumed by men and increased the rate of rehospitalization, with significant correlations (P <0.05). during the 3 years of the study, 26.5% of patients included relapsed in the same mode. The progression to schizophrenia was observed in 12.6% of patients. Our results show that cannabis use is alarming. This substance was marked in one-third of users (35.4%) by dependence, and it seems to have an effect on the course of the illness (increase in the number of hospitalizations). These risks deserve to be clearly mentioned in prevention programs, because of the growing number of young cannabis users. Early detection and management of SUDs would contribute to a better prognossis of the brief psychotic episode. Recent studies showed that sarcopenia was positively associated with depressive symptoms assessed by self-rating scales among different populations. However, there have been few studies of sarcopenia among patients with major depressive disorder (MDD) and no previous studies on the relationship between depression severity and sarcopenia in MDD. To investigate whether depression severity is associated with sarcopenia in non-elderly Chinese inpatients with MDD using the SARC-F questionnaire. For this cross-sectional study, we included first-episode drug-naive MDD inpatients aged 20-59 years with the 24-item Hamilton Rating Scale for Depression (HAMD-24) scores of >20 at the psychiatric Department of the Second Affiliated Hospital of Kunming Medical University from January to December 2018. Sarcopenia was assessed by the 5-item SARC-F questionnaire comprising strength, assistance in walking, rising from a chair, climbing stairs and falls. The HAMD-24, the Social Support Revalued Scale (SSRS) and the Raven’s Standard Progressive Matrices (RSPM) were used to assess depression severity, social support and cognition, respectively. Depression severity was classified as mild to moderate (20<HAMD-24≤35) and severe (HAMD-24>35). A total of 149 MDD inpatients (mean age 37.7±11.5 years, 64.4% females) were included, with 9.4% of sarcopenia. The MDD inpatients with sarcopenia had higher HAMD-24 scores than those without (Table 1). After adjustment for age, gender, social support and cognition, depression severity was significantly associated with sarcopenia (OR=7.60, 95% CI: 1.88-30.74, p=0.004) (Table 2). Non-elderly MDD inpatients with sarcopenia comorbidity may have severer depressive symptoms. Therefore, early identification and intervention for sarcopenia may be beneficial to non-elderly MDD inpatients. Generalized anxiety disorder (GAD) is characterized by excessive anxiety of at least 6 months duration that is hard to control, not focused on a specific situation or objects, and not triggered by recent stressing events. GAD has high rate of psychiatric comorbidities. Secondary alcohol use disorders may result from self-medication of anxiety symptoms with alcohol. Forty-year-old female patient who has undergone psychiatric treatment for GAD for several years with the subsequent development of alcohol dependence is presented. In order to overcome overwhelming anxiety, the patient drank too much alcohol and has consequently developed alcohol addiction disorder, which in turn causes her to feel guilt and shame. Treatment plan for the patient during the years has included two hospital treatments, outpatient day care programme for addiction treatment and numerous combinations of pharmacotherapy. Two years ago, she started with outpatient psychosocial group treatment focused on social skills training which has yielded significant results. By learning new coping strategies and social skills, everyday functioning has been significantly improved and full abstinence and remission of anxiety symptoms has been accomplished. Respect for and adequate treatment of comorbidities significantly contributes to the quality and success of treatment and to the improvement of prognosis. The presence of comorbidities in Major Depressive Disorder(MDD) patients, complicates the prognosis by increasing the physical disability. These patients are more likely to be resistant to antidepressant therapy and have markedly decreased social function. Evaluation of disease control in Greek patients with MDD with/without Generalized Anxiety Disorder(GAD) and comorbidities, under six month treatment with citalopram, and/or quetiapine, and/or pregabalin. A total of 565 patients with MDD with/without GAD, participated in this prospective, non-interventional, multicenter clinical study (NCT03317262). The subgroup of 325 (58%) patients had at least one comorbidity. Severity of MDD and GAD symptoms was evaluated using the HAM-D and HAM-A Scores at baseline and 6 months respectively. The mean HAM-D score in patients with comorbidities without GAD, at baseline and 6 months was 23.95±7.21 and 8.20±4.70 respectively, indicating that there was a significant reduction in depression symptoms (-15.75,p<0.0001). The mean HAM-A score in patients with comorbidities and GAD at baseline and 6 months was 26.56±7.42 and 9.39±6.05 respectively, indicating that there was a significant reduction in anxiety symptoms (-17.18,p<0.0001). Moreover, the mean HAM-D score of these patients at baseline and 6 months was 24.74±7.49 and 8.46±5.46 respectively, indicating that there was a significant reduction in depression symptoms (-16.28,p<0.0001). MDD patients with comorbidities and GAD, had a higher baseline HAM-D score compared to the patients without GAD, while there was greater improvement in patients without GAD, 6 months after baseline visit. Nevertheless, the mean total HAM-D scores were almost equal between MDD patients with/without GAD. The presence of comorbidities is an important risk factor for low quality of life (QoL) and health status in patients with Major Depressive Disorder(MDD). Evaluation of the QoL in Greek patients with MDD with/without Generalized Anxiety Disorder (GAD) and comorbidities, under 6 month treatment with citalopram, and/or quetiapine, and/or pregabalin. A total of 565 patients with MDD with/without GAD, participated in this prospective, non-interventional, multicenter clinical study (NCT03317262). The subgroup of 325 (58%) patients had at least one comorbidity. QoL was evaluated using validated Greek EQ-5D 3 level questionnaire. The mean EQ-5D-3L VAS score for patients without GAD at baseline and 6 months was 44.45±17.98 (low score QoL) and 75.28±17.82 respectively. The EQ-5D-3L index score mean value at baseline and 6 months was 0.30±0.34 and 0.79±0.23 respectively. There was a statistically significant change in QoL of the patients at 6 months with index and VAS score being increased by 0.49 and 30.82 respectively (p<0.0001 in all cases). The mean EQ-5D-3L VAS score for patients with GAD, at baseline and 6 months was 40.49±17.06 and 73.75±14.88 respectively. Moreover, the mean value of EQ-5D-3L index score at baseline and 6 months was 0.23±0.35 and 0.76±0.28 respectively. There was a statistically significant change in QoL of these patients at 6 months with EQ-5D index and VAS score being increased by 0.53 and 33.26 respectively (p<0.0001 in all cases). MDD patients with/without GAD and comorbidities, had a statistically significant improvement on their QoL, after six months on treatment. Various studies of depression show that there is a high risk of disability and mortality in patients with symptoms of depressive disorder and cardiovascular diseases. To study the levels of manifestations of depressive and anxiety symptoms in patients with the heart diseases to determine the number of patients requiring complex antidepressant therapy. The cross-sectional study of 127 inpatients with hypertension/ heart diseases was conducted. Depression and anxiety symptoms were evaluated using HADS, anhedonia by Snaith-Hamilton Pleasure Scale (SHAPS) and pain by visual analog scale (VAS). Acquired data statistically processed. The depressive spectrum of symptoms (DS) was observed in 67 (53.0%) inpatients. There were no DS in 60 (47.0%). When assessing DS, 29 (22.5%) met the criteria for major depressive disorder (MDD), 39 (31%) for minor depression, and it was difficult to evaluate sub-syndromal DS in inpatients with cardiovascular disease. They entered the rest of the group of inpatients, who were rated as not having depression – 59 (46.5%). When comparing HADS, SHAPS, VAS in inpatients without depression and MDD, respectively, anxiety: 7.0 (4.0; 9.0) and 10.0 (8.0; 12.0) p <0.0001; anhedonia: 2.0 (0.0; 3.0) and 4.0 (2.0; 7.0) p <0.0001; pain intensity: 3.0 (1.0; 5.0) and 5.0 (4.0; 7.0) p <0.0005. Our study illustrated that more than 1/5 of inpatients with CVD have indications for antidepressant therapy, the antidepressants are also indicated by the severity of pain and anhedonia, most profound in major depression. Prolactinomas are the most common hormone-secreting pituitary tumors. The drugs that are effective in the treatment of hyperprolactinemia are DA agonists such as bromocriptine and cabergoline. Some of the adverse effects of these drugs include psychiatric manifestations such as depression and psychosis. The management of patients with prolactinoma and schizophrenia or BD is challenging, since the medications used to treat each of these disorders confront opposing mechanisms of action. Aripiprazole is a partial D2R-agonist, which is used to control psychotic symptoms while minimizing side effects commonly seen with D2R antagonism. It is known to have prolactin-lowering effects. We evaluated the effects of aripiprazole on a patient suffering from BD and prolactinoma. This is a case report of a female 35 year old patient with a known history of bipolar disorder since the age of 26 and prolactinoma (diagnosed 3 years ago) who was referred to our psychiatric department after discontinuation of her medication resulting in relapse of BD. She exhibited a manic episode and was treated with aripiprazole and lorazepam. Her prolactin levels were high and after endocrinological evaluation she started treatment with cabergoline. She didn’t develop any psychiatric side effects from cabergolide. At one month follow–up the patient was stable and prolactin levels were reduced. After six months prolactin levels were normal. Treatment with aripiprazole resulted in remission of her symptoms and reduction of the prolactin levels. Aripiprazole seems to be a safe choice for patients suffering from schizophrenia or BD and prolactinoma. As life expectancy is increasing globally dementia is becoming an important problem for health care system. It is assumed that various diseases may contribute to cognitive decline or influence course of dementia. The search for factors impacting cognition during a life course is one of the essential steps of the international SHARED project (Social Health And Reserve in Dementia patient journey). We aimed to summarize the existing scientific literature concerning the association of comorbidities with cognitive performance and dementia. A systematic literature search was performed using Medline, PsycINFO, CINAHL Complete, Cochrane Database of Systematic Reviews and Epistemonikos. Among 479 mentions in articles focusing on biological and medical aspects of cognition, 220 mentions of diseases which influence lifelong cognitive performance and dementia development were detected. Of those, 188 reported significant associations between comorbidities and increased risk of cognitive decline/dementia, 2 studies reported protective influences of comorbidities on the outcome, and 28 studies showed inconsistent results. The outcomes were categorized in 12 groups. Diabetes, hypertension and cerebrovascular diseases were the most frequently mentioned risk factors. The review of the study reveals more evidence of cognitive decline risk factors, than protective factors in relation to medical condition. Some comorbidities were more frequently studied than others, which should be reflected in standards of care for dementia patients. Further exploration of reported uncertainties may help introduce novel effective approaches and potential points of intervention in dementia prevention and treatment. Mirtazapine has been shown to be effective in treating patients with both depression and anxiety symptoms.1 This has not been examined in primary care. We examined whether anxiety moderated the effect of mirtazapine compared with placebo in patients with treatment resistant depression (TRD). MIR is a placebo-controlled trial of the addition of mirtazapine to an SSRI/SNRI antidepressant in TRD that did not find a clinically meaningful effect on depressive symptoms over 12 weeks.2 We split participants into three groups by baseline GAD-7 score : severe (GAD-7 >16), moderate (GAD-7 11-15), no/mild (GAD-7 ≤10). We used linear regression and likelihood ratio testing of interaction terms to assess how baseline anxiety altered the response of participants to mirtazapine as measured by endpoint GAD-7 and BDI-II scores. Patients with higher anxiety got more anxiolytic benefit from mirtazapine compared to placebo (p = 0.04). Participants with severe anxiety (n=99/420) receiving mirtazapine had larger reductions in GAD-7 score (Mean difference (MD) 2.82, 95% CI 0.69 to 4.95) and larger decreases in BDI-II score (MD 6.36, 95% CI 1.60 to 10.84). Conversely those with no/mild anxiety (n=245/420) had no anxiolytic benefit (MD -0.28, 95% CI -1.60 to 1.05) compared to placebo. This extends evidence for mirtazapine’s anxiolytic effectiveness to primary care patients with TRD. These results may inform targeted prescribing based on concurrent anxiety symptoms, although these conclusions are limited by the post-hoc nature of this analysis. References 1. Fawcett J, Barkin RL. J Clin Psychiatry. 1998;59(3):123-7. 2. Kessler DS, et al. BMJ (Online). 2018;363. Chemsex is the name given to the increasingly common practice of intentional psychoactive drug use to facilitate and maintain sexual relations for several hours or days, usually among groups of men who have sex with men (MSM). The most commonly used drugs in this context are mephedrone, crystal methamphetamine and gamma-hydroxybutyrate (GHB), most often simultaneously and with various possible routes of administration. The consequences of this practice are varied, including the addictive potential and the risk of inducing psychotic episodes. To describe the social phenomenon of chemsex and to review the reported cases of the most frequently used drug-induced psychosis, focusing on the context and the psychopathological and therapeutic aspects involved. A literature search was conducted at Pubmed/Medline and Google Scholar databases using the key terms “chemsex”, “mephedrone”, “bath-salts” and “psychosis”. Most studies on the subject focus on the infectious aspect of this practice. However, the potential for induction of brief or persistent psychotic symptomatology by this practice is already well documented in the literature, both in cases of acute intoxication and in situations of chronic abuse or deprivation of these substances. There are several cases of psychotic episodes induced by the most commonly used drugs in the context of chemsex reported in Western Europe. As this is a growing phenomenon and has important repercussions in terms of Mental Health, its recognition by professionals in order to successfully develop intervention strategies in the area is of extreme relevance. Septo-optic dysplasia or Morsier's syndrome associates the congenital triad of optic nerve hypoplasia, abnormalities of cerebral midline structures, and pituitary hypoplasia. The disease involves epilepsy, impaired neurodevelopment, intellectual disability, jaundice, precocious puberty, short stature, biorhythm dysregulation, muscular hypotonia, obesity, anosmia, sensorineural hearing loss or cardiac abnormalities. To describe the psychopathology implicated in septo-optic dysplasia. We report a case of a 30-year-old male, with a somatic history of strabismus, left eye amblyopia, partially empty sella, panhypopituitarism (GH, ACTH and TSH deficiency) stabilized with corticosteroids and Levothyroxine, generalized epilepsy controlled with Brivaracetam, and mild mental retardation. From the age of 27, the patient experienced cyclical self-limited episodes, of sudden onset and spontaneous resolution, without identifying trigger, lasting from 4 to 10 days, consisting of hypotimia, anhedonia, obsessive rumination of self-injurious content, feelings of disability, anergy, apathy, abulia, clinophilia, blurred vision, hyporexia, somatized anxiety (dizziness, tremor, tension headache), mental distress, regressive behavior, mutism and unstructured suicidal ideation, without psychotic symptoms and preserving the reality judgment. No infectious, toxic, autoimmune or epileptogenic etiology was found. Neuroimaging showed a congenital agenesis of septum pellucidum, thinned corpus callosum, temporal cortical dysplasia, hypoplastic pituitary gland and unilateral optic nerve hypoplasia. Electroencephalogram was normal. The findings suggested a septo-optic dysplasia and an organic mental disorder of mood and anxiety (F06.3-4; ICD-10). Genetic test confirmed the diagnosis of Morsier syndrome. Treatment with Sertraline 100mg/day and Gabapentin 200mg/day was initiated, with symptomatic improvement. Dysfunctional brain structures can cause hormonal, mood or behavior disorders. Clinical heterogeneity may difficult a therapeutic approach. Urticaria is a psychosomatic skin disorder which is characterized by skin changes shorter (acute urticaria) or longer than 6 weeks (chronic urticaria). Psychological factors play an important role in development and its treatment. Examine the differences between acute and chronic urticaria in satisfaction with life, coping strategies and personality traits. 150 subjects with urticaria divided into 2 groups (acute and chronic urticaria) after 6 weeks completed the questionnaires: Satisfaction with Life Scale, Personal Wellbeing Index, The Multidimensional Coping Inventory, Eysenck Personality Questionnaire. After six weeks all the participants were retested with Satisfaction with life scale and Personal wellbeing index. Acute urticaria patients are more satisfied with their lives than chronic patients after 6 weeks (t=-3,97; df=86; p<0,01). Acute urticaria patients largely used emotion-focused coping(t=3,77; df=147; p<0,01), positive reinterpretation and growth (t=2,43; df=147; p<0,05), supression of competing activities (t=2,06; df=146; p<0,05) than chronic ones. Acute urticaria patients seek social support for emotional (t=4,26; df=147; p<0,01) and instrumental reasons to a greater extent than chronic patients (t=2,38; df=147 p<0,05). Chronic patients use venting of emotions (t=2,5; df=147; p<0,05) and mental disengagement (t=2,08; df=147; p<0,05) to a lesser degree than acute ones.The higher neuroticism in acute urticaria leads to the greater use of problem-focused (r=,25; p<0,05), emotion-focused coping (r=,35; p<0,01) and avoidance(r=,44; p<0,01) The higher neuroticism in chronic urticaria results in more often use of avoidance (r=,43; p<0,01). An interdisciplinary approach is required in the treatment, involving a psychiatrist to help reduce chronicity, improve the quality of life and develop adequate coping strategies. Neuropsychiatric symptoms are more prevalent in people living with HIV than in general population. This may be related to substance use disorders, opportunistic infection, direct effects of HIV infection, and the adverse effects and toxicity of antiretroviral drugs. Dolutegravir (DGV) is one of the preferred antiretroviral agents in first-line combination in the antirretroviral terapy. We report the case of a patient with living with HIV and treated with Dolutegravir wtih a Brief psychotic episode. A case reported is presented. A narrative review was performed to analyze the association between dolutegravir and neuropsychiatric symptoms. Neuropyshciatric symptoms in HIV patients treated with dolutegravir have been described such as sleep disorders, anxiety, depression, psychosis, poor concentration, or slow thinking. Rates of discontinuation of dolutegravir because of neuropsychiatric adverse events remains high. More robust research on the association of dolutegravir and neuropsychiatric symptoms is needed. Adverse effects and toxicity of antiretroviral drugs must be taken into in the differential diagnosis when a patient with HIV shows denovo neuropsychiatric symptoms. There is a growing body of literature demonstrating efficacy of eye movement desensitisation and reprocessing (EMDR) therapy in managing medically unexplained symptoms (MUS). As yet, however, our understanding of MUS patients’ experience of EMDR therapy remains highly limited. This study aimed to gain insights into MUS patients’ experience and conceptions of EMDR therapy. Adult MUS patients who completed EMDR therapy in the MUS clinic in Berkshire, UK, between 2014 and 2016 were considered eligible for study inclusion. Telephonic semi-structured interviews were undertaken, and inductive thematic analysis was used to explore patients’ experience of EMDR therapy. Triangulation was achieved through use of a structured standardised questionnaire. 7 eligible patients consented to study inclusion. 86% of participants agreed that EMDR therapy was helpful for their physical symptoms, and all participants reported benefits in their psychological symptoms and function. The following themes emerged from the data: 1) past psychological trauma, including realisation and resolution; 2) initial scepticism; 3) the emotionally strenuous nature of therapy; 4) increased awareness of psychological processes; and 5) good perceived treatment efficacy. The distinctive themes identified may grant insight into the potential mechanisms of change underlying EMDR therapy in the treatment of MUS, with increased insight into difficulties and improved emotional coping seemingly making significant contributions. Potential ethical considerations arose, with patients requesting detailed information about the therapy's nature and the likelihood of exploration of traumatic experiences prior to therapy commencement. These findings may help inform future research and clinical applications of EMDR therapy for MUS. While there is a growing literature examining use of eye movement desensitisation and reprocessing (EMDR) therapy for the treatment of medically unexplained symptoms (MUS), there has been minimal examination of use of this modality in the context of functional neurological disorder (FND) specifically. This case series examines the clinical effect of EMDR therapy in the treatment of FND. The case series comprises patients with formal diagnosis of FND who attended a specialist UK-based MUS clinic between 2014 and 2016 and completed a course of EMDR therapy. A retrospective analysis of pre- and post-therapy psychometric measures was conducted. Psychometric measures examined included both the 9 and 15-item Patient Health Questionnaire variants (PHQ-9 and PHQ-15), the Generalised Anxiety Disorder Scale (GAD), and Impact of Event Scale - Revised (IES-R). 4 eligible patients afforded consent for study inclusion. Reduction in severity of symptoms was seen across all scales, with mean reductions of 2.8 (standard deviation, SD: 4.2), 3.0 (6.2), 4.0 (6) and 45.5 (10.7) points in the PHQ-15, PHQ-9, GAD and IES-R scales observed, respectively. This case series provides some signal that EMDR therapy may exert beneficial clinical effects upon both somatic and psychological parameters in the context of FND. Significant change was seen in past traumatic memories and this accompanied clinical improvement; this may serve to highlight the importance of recognising and addressing trauma in patients with FND. Further to this, larger scale, prospective research is warranted to examine the efficacy of EMDR therapy in FND specifically and determine correlates of response. Serotonin síndrome (SS) is a potentially life-threatening condition caused by excessive serotonergic activity in the nervous system. It is characterized by mental status changes, autonomic instability, and neuromuscular hyperactivity. In patients taking linezolid, an oxazolidinone antibiotic widely used for resistant nosocomial infections, along with seretoninergic antidepressants there is a documented risk for SS. We report the case of a difficult-to-control asthma patient, diagnosed with MRSA pneumonia during a prolonged hospitalization for asthma exacerbation, concurrently taking an SNRI (venlafaxine). We aim to review the evidence about the mechanisms of seretonin toxicity when drugs in the MAO-inhibitor class (like linezolid) are combined with proseretoninergic agents as well as the current clinical guidelines for the management of patients with concurrent antidepressant treatment requiring linezolid for a new resistant nosocomial infection. A case report is presented. A narrative review via scientific database (PubMed, Google scholar) was conducted. While SS has not been described in clinical trials of linezolid, several cases have been reported after commercialization of this antibiotic, especially when used concurrently or within close temporal relation to a seretoninergic agent like SSRI/SNRI antidepressants. The mechanism of action is not fully understood. To our knowledge, there are not any guidelines for the adequate management of these cases, with current recommendations for use of linezolid and seretoninergic antidepressants based on risk-benefit personalized analyses. Chronic itch significantly reduces the quality of life, working capacity and social activity of patients with dermatologic diseases. To investigate the peculiarities of the psycho-emotional state patients with dermatological pathology, depending on the severity of chronic itch. At medical center “Asklepiy” during 2016-2018 years, observed 134 dermatologic patients with chronic itch and diagnoses atopic dermatitis (62.7%), psoriasis (23.9%) and seborrheic dermatitis (13.4%). All group divided into subgroups depending on the severity chronic itch using a computer gadget \"Electronic Calculator of chronic itching\": with low level, n=42 (31.3%); mild level, n=55 (41.0%); severe level, n=37 (27,6%). In research for measuring psycho-emotional state of patients used Symptomatic questionnaire by Alexanrovich. The severity of psychopathological symptoms increased in the direction from low to high severity of itching for each of the investigated components. In dermatologic patients growing intensity of chronic itch accompanied by an increasing severity of psychopathological symptoms. The low severity of itch caused situational changes such as tension, irritability, decreased concentration, mood level, sleep disturbance, while the mild - caused the formation of persistent anxiety, about current disease and general health, an exacerbation of emotional reactions, an increasing uncertainty, interpersonal problems. The high severity of itch characterized by anxious-depressive mood, hypochondria, emotional dramatization, uncertainty, loneliness, low self-sufficiency, lack of control under the situation, interpersonal difficulties. A research feature of psycho-emotional state and definition targets of psychological help is an important component of psychological help for patients in dermatology with chronic itch. Psychosocial assessment plays a key role along the whole process of heart transplant. This assessment provides the chance to early identify patients in risk of suffering psychopathological issues that may endanger the rehabilitation process. SIPAT Scale (Stanford Integrated Assessment for Transplant) has been proved to be a valid tool to evaluate patients undergoing a heart transplant process. SIPAT assess 20 different and relevant components about patients, classifying candidates with a final score of eligibility. The aim of this poster it to review the use of SIPAT Scales in heart transplant, as well as presenting a case of a young woman suffering from congenital heart disease awaiting to be transplantated describing the assessment process that took place by the Mental health Service in liaison with Cardiology Service of a General Hospital. We review recent literature in medical database PubMed with keywords \"heart transplant\" AND \"assessment\". We selected papers for their relevance to the topic. We describe the liaison process between clinical services and explain the assessment process of the patient using SIPAT and clinical tools such as non-structured Clinical and family interviews. A comprehensive full assessment was carried out by Mental Health Clinicians so the patient could be included in the transplant waiting list. SIPAT is a reliable tool for psychosocial assessment in patients waiting for a heart transplant, although a comprehensive clinical assesment should also be carried out. Liaison among different clinical services in general hospitals is key to the wellbeing and attention to patients. Delirium is one of the most frequents cognitive disorders in the hospitalized patients. Some studies reveals 20-40% of the hospitalized patients older than 60 years present this disorder during residence, leading them to ask for a psychiatry consult. It’s cause is organic and multifactorial. The start is acute and has fluctuating course defined by disturbances in attention, memory and orientation, together with perceptual abnormalities. Differential diagnosis between delirium and dementia through clinic case: Patient with 61 years old is admitted in neurosurgery because of multiple cerebral secondary hemorrhages caused by cranioencephalic traumatism. Consultation done due to agitation and disorientation episodes, hallucinations and fluctuation levels of consciousness and attention. No psychiatric background. Alcoholism suspect. We suspect an acute delirium and initiate haloperidol and quetiapine with a partial response. Family member refers behavioral disorder and memory failures moths before the trauma. His speech is perseverant, about the past and in some occasion confabulatory. Analysis: sodium 130: Hyponatremia can justify delirium; Cranial Ct: acute contusive hemorrhage foci in right temporal hemisphere, subdural right hematoma; Liaison Neurology: suspected alcoholic dementia.They referral to external consultations for study. Delirium may syndromically resemble other disease or can appear concomitant thus it is necessary a differential diagnose to make a correct approach. Dementia has a progressive course, stable, without consciousness disturbances, less affected attention and finally, and disorientation appears in late stages. HIV and Syphilis co-infection is relatively common. Both can lead to a cornucopia of psychiatric manifestations, particularly Neurosyphilis, resulting in diagnostic dilemmas. Managing such patients requires a multi-disciplinary, biopsychosocial approach that also addresses inherent risk issues and ethical complexities. We describe a case of newly diagnosed HIV and Neurosyphilis, presenting with depressive symptoms and persecutory delusions on a background of recent cognitive decline and mechanical falls. Case Report A 67 year old gentleman presented to hospital with acute dyspnoea, on a background of short term memory loss with frequent falls over the past year. Pancytopenia noted during initial workup led to further investigations confirming the diagnoses of HIV and Neurosyphilis. He was referred to the liaison psychiatrist for low mood and suicidal ideation after learning of his diagnoses. Further history also revealed that he had been recently harbouring persecutory delusions and homicidal thoughts against his domestic helper. He was assessed to have Adjustment Reaction secondary to his newly diagnosed HIV and Neurosyphilis on a background of HIV Associated Neurocognitive Disorder. Pharmacotherapy for his HIV, Neurosyphilis and low mood was initiated and a comprehensive risk management plan drafted with the support of his family. The intensity of his persecutory delusions had significantly lessened by the time of his discharge. A thorough evaluation for possible organic etiologies--especially sexually transmitted illnesses, in patients presenting with non-specific 'mixed bag' of psychiatric symptoms is important; as is a comprehensive, inter-disciplinary clinical assessment that covers biopsychosocial, risk management and/or ethical issues in patients with neuropsychiatric disorders. Anti-N-methyl-D-aspartate receptor (NMDAR) encephalitis, formally recognized in 2007, is more frequent than any other known paraneoplastic encephalitis. A 77.8% of patients are young female adults. In approximately 40% of the subjects, the disease is associated with an ovarian teratoma. The teratoma-associated cases are significantly more likely to present psychiatric symptoms than those without teratomas. We report the case of a 37-year old female patient who was admitted in the Neurology ward after presenting neurological features in combination with symptoms of mood disorder, insomnia and aggressive behavior. We aim to review the clinical features that should lead us to suspect an anti-NMDAR encephalitis in a patient with psychiatric symptoms. A case reported is presented. A narrative review via scientific database (PubMed) was conducted. Our patient had previously suffered a virus encephalitis. At the beginning, she presented a non-specific prodromal phase with headache and fever, as well as abnormal behavior. She was admitted at the Neurology ward for follow-up. Later on, appeared insomnia, agitation, disorganized thinking, manic symptoms and autonomic instability. Anti-NMDAR encephalitis was confirmed with the detection of antibodies against the GluN1 subunit of the NMDAR in the CSF of the patient and an ovarian teratoma was found and removed. When a patient without any psychiatric history presents a new-onset psychosis, especially in combination with dyskinesias, seizures, memory problems, decreased level of consciousness and/or catatonia, anti-NMDAR encephalitis should always be considered as a differential diagnosis. It is a 78-year-old male entering neurosurgery for arachnoid cyst resection. After surgery the patient presented an episode of agitation, that persists after two ampoules of intramuscular haloperidol 5 mg. The aim of this case is to show intramuscular immediate release aripiprazole as an effective and safe treatment for acute confusional syndrome in patients with prolonged QT interval. Case report and literature review To the psycopatological exploration highlights psychomotor agitation, temporo-spatial disorientation with jaggy speech and visual hallucinations (insects). Infectious process or analytic alterations are ruled out. EKG is made with QTc index of 610 Intramuscular aripiprazole 9.75 mg is administered, progressively resolving the state of agitation. Aripiprazole is guided every 12 hours during admission without relapsing in symptoms of delirium. There was no prolongation in the QTc index during admission. The drug is removed before being discharged without decompensation Acute confusional syndrome is an organic entity whose initial treatment is to resolve the underlying somatic decompensation. In cases of severe situations (agitation, aggressiveness or major behavioral repercussion) should be treated. As a treatment, antipsychotics can be used. As an adverse effect, the risk of QTc prolongation or severe cases of torsade de pointes stands out. Aripiprazole has been shown to be one of the most cardioprotective antipsychotics with lower risk of QT index prolongation. The intramuscular formulation is shown as equally safe in these situations In 2016, 39% of adults worldwide were overweight and 13% were obese. The prevalence of obesity is significantly greater in patients with bipolar disorder versus controls, with an odds ratio of 1.65. Since patients with schizophrenia and bipolar disorders are known to be at increased risk for obesity compounded by pharmacotherapy, bariatric surgery may become a more common treatment option for this population. While bariatric surgery has been previously associated with reduced drug oral bioavailability due to changes in gastric pH, surface area, transit time, and volume capacity, we present a case of lithium toxicity occurring three weeks after sleeve gastrectomy. To increase awareness regarding the potential for lithium toxicity following bariatric surgery. Case report. A 29-year-old woman with Bipolar I Disorder, Unspecified Anxiety Disorder, and recent sleeve gastrectomy presented to the Emergency Department with altered mentation and lethargy for five days. Total daily doses of her psychotropic medications were: lithium 1050 mg, lurasidone 180 mg, trazodone 300 mg, and as needed lorazepam up to 3 mg. Three days prior to admission her lorazepam was changed from standing to as needed; otherwise her medications had not been changed following surgery. On admission, the patient was found to have a supratherapeutic lithium level (3.67mmol/L) and an elevated creatinine (1.4 mg/dl) and received multiple fluid boluses and required hemodialysis. The pathophysiology of lithium toxicity after bariatric surgery, particularly after restrictive procedures, remains unclear. We suggest that therapeutic drug monitoring be performed regularly for patients on lithium after bariatric surgery to prevent toxicity. Recently, Direct Antiviral Agents (DAA) have increased access to treatment for chronic Hepatitis C infection in patients with Schizophrenia, who previously were frequently excluded from IFN-based antiviral therapy, despite a higher relative prevalence of HCV among this group. Sofosbuvir/velpatasvir is the first DAA treatment indicated for the six major forms of HCV. We report for the first time the case of an institutionalized patient diagnosed with schizophrenia in remission developing a severe psychotic relapse after being treated with sofosbuvir/velpatasvir for VHC infection. He presented a poor clinical response to clozapine and electroconvulsive therapy and remitted only with the removal of the DAA. To report the association between the administration of sofosbuvir/velpatasvir and an acute psychotic episode in a patient with schizophrenia with residual symptoms, with a literature review of the issue. We carried out a literature review in Pubmed, selecting those articles focused on psychiatric side effects associated to Direct Antiviral Agents. Previous scientific literature, including the pivotal clinical trials performed to register sofosbuvir and sofosbuvir/velpatasvir, focuses on either a previously mentally healthy population or patients with non-psychotic disorders, showing few, mild adverse effects. Only a few communications address the subpopulation of patients affected from psychotic disorders. We considered some possible mechanisms that could explain our patient acute psychosis. First, possible pharmacokinetic changes brought by DAA initiation, in relation to antipsychotic metabolism. Second, the treatment may have produced some psychiatric side-effects, which in context of a vulnerable patient, could have led to the decompensation. Finally, DAA may have directly affect the neurobiological mechanisms underlying the patient illness. There are few studies focusing on associated factors influencing depression development in the lung cancer population. The aim of this study was to determine the prevalence of depressive disorder and to identify associated factors for depressive disorder development in lung cancer patients at a one-day chemotherapy unit. This cross-sectional study was conducted at a one-day chemotherapy unit of Maharaj Nakorn Chiang Mai Hospital, which is a University hospital of Chiang Mai University, Thailand. Patients with all stages of lung cancer who plan to receive chemotherapy were included in this study. Demographic data of eligible patients were gathered. The Mini-International Neuropsychiatric Interview, Thai version 5.0.0 and the Patient Health Questionnaire - 9 (PHQ-9) were used to identify depressive episode. A total of 139 lung cancer patients from the outpatient clinic from February to October 2015 were approached. The 136 patients were included and analyzed in this study. Based on the Mini-International Neuropsychiatric Interview and the PHQ-9, 6.7 % of them were defined as having depression (ranged from mild to severe). Thirteen (9.6%) of patients also had minimal symptoms of depression. Binary regression analysis revealed that having economic problems, brain metastasis, chemotherapy-naïve, and increased score of Chalder Fatigue Scale were significantly associated to a higher risk of depressive disorder in lung cancer patients. Depressive disorder is more prevalent in lung cancer patients. In addi tion, having economic problems, brain metastasis, chemotherapy-naïve, and fatigue may increase associated depressive disorder. Because of the small sample size, further studies should be conducted to confirm these results. Acknowledgments We thank all the patients who participated as well as all staff who involved in this study. We would like to thank the Faculty of Medicine, Chiang Mai University, which provided the grant funding for this study. We also thank for Chiang Ma The emotional impact of breast cancer trajectory has been widely studied. In Portugal about 11 women are diagnosed with breast cancer each day and the vast majority will survive the disease. The literature describes widely varying prevalence of psychopathology. The Departments of Liaison Psychiatry and Surgery at Vila Nova de Gaia/Espinho Hospital Center (CHVNG/E) have a joint protocol whereby all patients undergoing breast cancer surgery are evaluated in a psychiatric consultation. Recently this protocol has been restructured to include a group moment of a psycho-educational and psychotherapeutic nature whose purpose also includes screening which patients may benefit from individualized support. Describe a protocol between Liaison Psychiatry and Surgery Departments for patients with breast cancer. To evaluate the characteristics of breast cancer patients in terms of psychopathology and the need for psychiatric follow-up. All patients undergoing breast cancer surgery were referred for individual psychiatric consultation. Results will be described in terms of diagnosis and clinical guidance. The characteristics of the group consultation will also be described. A high percentage of patients were discharged at the first visit because there was no psychopathology that required specialized psychiatric support. The creation of the group consultation allowed not only the existence of a psycho-educational aspect but also a better management of existing medical resources. These protocol follows the recommendations for regular psychological screening in breast cancer patients. The care plan includes articulation between professionals and allowed us to understand that most women have adequate coping. Chronic hepatitis C (CHC) infection is considered a systemic disease with extrahepatic manifestations, mainly neuropsychiatric symptoms. Hepatitis C virus (HCV) eradication, currently achieved in >95% of cases with direct-acting antivirals (DAA). The aim of this study was to evaluate depression and neurotoxicity symptoms changes in CHC-patients, after HCV eradication with DAA. Prospective inclusion of HCV-infected patients aged 18-55 years old receiving DAA. We included also 25 healthy controls of similar age, gender and education. At baseline all were assessed though the MINI Interview (DSM-IV) to exclude current psychiatry diagnosis; socio-demographic questionnaire, depression scales (PHQ-9, MADRS) and the Neurotoxicity rating scale. At 12 weeks after end-of-treatment, cases were assessed again:PHQ-9, MADRS, and Neurotoxicity scales. Twenty-one CHC-patients and 25 controls were included in the study. Among patients: 52% female, median age 46, 95% Caucasian, mainly infected with GT1(71.4%), viral load 6.03 log10(IU/L). All patients achieved a substained virologycal response (SVR) at 12 weeks after end-of-DAA treatment. At baseline, cases and controls showed differences: MADRS 2.90(2.3) vs. 0.36(0.6), p<0.000; PHQ-9: 5(4) vs 2(2), p<0.000; Neurotoxicity rating scale: 23(16) vs 8(8), p<0.000. At SVR, cases showed an improvement in all depression and neurotoxicity rating scales: MADRS: 2.90(2.3) vs 2.7(2),p=0.007; PHQ-9: PHQ-9: 5(4) vs 2(2), p=0.001; and Neurotoxicity rating scale: 23 (16) vs 10 (14), p=0.002. Patients with chronic hepatitis C showed a significant improvement of neuropsychiatric manifestations after viral cure with direct-acting antivirals. This study has been done in part with grants:ICIII,FIS:PI17/02297(RMS)and the FEDER”one way to make Europe)and Gilead fellowship(ZM). This study has been done in part with grants: ICIII,FIS:PI17/02297(RMS)and the FEDER”one way to make Europe)and Gilead fellowship(ZM). The benefits of the educational component in Cardiac Rehabilitation programs are well known. A clinical psychologist has been incorporated to the Cardiac Rehabilitation Program Hospital Clínico de Salamanca (CAUSA) with the aim of spreading knowledge about psychological risk factors and improving emotional management. In order to achieve this goal, it is required that the patients have an adequate adherence to the intervention. Patients with moderate-high levels of anxiety (HAD>8) and/or subjective stress were included in a psychoeducational group about psychological risk factors related to cardiovascular disease. The goal of the study is to know the adherence to the intervention and if there are any gender differences. The patients referred to the group attended 6 sessions lasting 1h 15’ each on a fortnightly basis, which were ran by a clinical psychologist. The sessions have a psychoeducational format of cognitive-behavioral orientation and contain information on stress, anxiety and type A personality. Adherence to the intervention and the differences according to gender have been analyzed with the SPSS program (Independent Samples Test; Student t) Women show greater adherence to intervention than men (table 1), these being statistically significant (table 2).\n(table 1)GenderNAveraget.dPercentage sessionsMen2958,6231,06Women1178,7915,07\n(table 2)tSigPercentage sessions-2,0520,047 (table 1) (table 2) Significant gender differences were found. In order to improve the effectiveness of the intervention, it is necessary to find strategies that increase patient motivation and improve therapeutic adherence, especially in men. In general hospitals the presence of mental health disorders in hospitalized patients is a common problem. Patients with comorbid mental illnesses display increased morbidity and mortal and thus leads to an increased risk of prolonged and repeated hospital stays. The aim of this study is to describe in a general hospital which departments request Psychiatry Liaison service consultation and sociodemographic and clinical characteristics of the assessed patients. Consecutive consultations to a Liaison Psychiatry Service of a General Hospital (Hospital del Mar, Barcelona) were registered from August 2018 to August 2019 with a total sample of 373. Demographic characteristics of patients, clinical data and main pharmacological treatment were recorded through an “ad hoc” questionnaire. Database information was completed with electronic medical records. Comparative analysis was performed with IBM SPSS Statistics (Chicago INC) using Chi-Square Test for qualitative variables and t-Student test for continuous variables. From a total of 373 consultations, 30(8.0%) were from Internal medicine department, 26(7%) general surgery, 27(7.2%) Pneumology, 58(15.5%) Emergency department, 29(7.8%) Nephrology, 19(5.1%) Cardiology, 18(4.8%) Oncology, 15(4.0%) Intensive care unit, 17(4.6%) Anaesthesiology, 16(4.3%) Neurology, 15(4.0%) Infectious disease, among others. The most diagnosis treated was adjustment disorder(21.2%) and acute confusional syndrome (17.3%) with significant differences between services. According to our results there are differences in mental health diagnosis depending of consultant department in our general hospital. Thus, it is important to apply specific programs and adjust protocols in each department to improve mental health patient’s assessment. Physicians in general hospitals are frequently faced with decisions regarding the psychopharmacologic management of medically ill patients, yet receive limited psychiatric training and leading to interruption of psychiatric treatment. Literature demonstrate high rates of relapse when medications are discontinued in patients suffering from schizophrenia, mood and anxiety disorders. The aim of this study is to compare interruption of psychopharmacologic treatment in a general hospital between surgery department and Internal medicine department. 373 consecutive consultations to a Liaison Psychiatry Service of a General Hospital (Barcelona) were registered during 1year. Consultations from Surgery and Internal Medicine departments were selected with a total sample of 56. Demographic characteristics of patients, clinical data and main pharmacological treatment were recorded through an “ad hoc” questionnaire. Database information was completed with electronic medical records. Comparative analysis was performed with SPSS using Chi-Square Test for qualitative variables and t-Student test for continuous variables From a total of 373 consultations, 30%(8.0%) were from Internal medicine department and were from 26(7%) general surgery. The diagnosis found were similar in both departments. Interruption of treatment was detected in 17.24% of the Internal Medicine consultations and 18.18% of the Surgery consultations. The treatment most interrupted were antidepressants(55.5% from total interrupted treatments). According to our results there are differences in treatment interruption between psychotropic drugs and internal Medicine and surgery admissions. It is important to apply specific programs and adjust protocols in each department, involving Psychiatry Liaison service to help physician making complex psychopharmacologic decisions and to improve mental health patient’s treatment. Young-onset dementia, defined as occurring before the age of 45, represents a difficult situation with severe social consequences. it’s characterized by a more diverse range of sometimes reversible aetiologies compared with old-onset dementia. Our objective is to illustrate, through a clinical vignette, a curable etiology of young-onset dementia : vitamin B12 deficiency secondary to a Biermer disease. case report. Vignette: Mr. YB, 40 years old, without any significant toxic antecedent, is brought to the psychiatric consultation for memory and concentration difficulties with progressive social decline. The psychiatric interview has found a psychomotor retardation and a poor speech as well as a depressed mood. A manifest dementia was identified with a confusion note, an initial MMSE at 12/30. The general examination noted cutaneous pallor but neurological examination noted only paresthesia reported later by the patient. The blood count revealed anemia with a macrocytosis. Serum vitamin B12 was low. The diagnosis of vitamin B12 deficiency secondary to Biermer's disease was retained. After vitamin substitution, the evolution was marked by a dramatic improvement from the second week. The patient was able to resume his autonomy and his work. MMSE went to 26 after a single month with improved mood without any antidepressant. The young age of our patient, the revelation of his anemia by isolated dementia and his favorable response to the substitution treatment makes his observation an original case. Thinking about vitamin B12 deficiency in the presence of dementia or any atypical neuropsychiatric disease, especially in young people, should be systematic. Psychiatric symptoms of late onset are often atypical and organic origin remains to be eleminated at first. However, some of these somatic etiologies remain poorly understood and multidisciplinary management is necessary. To highlight the difficulties of diagnosis and treatment of behavioral disorders that have appeared at a late age. We will illustrate the case of a man hospitalized for the first time in the psychiatric ward of Monastir at the age of 48 for behavioral disorders. Mr. W.B., 48, a high school graduate, married and has no psychiatric or somatic history. For a year, there has been the installation of behavioral disorders, a motor instability with a professional disinterest. He consulted a psychiatrist and he was put under amisulpiride 400mg / day. In front of no improvement, he was hospitalized in the psychiatric ward but no psychiatric syndrome was objectified. Given this atypicity of the table, the hypothesis of a somatic cause was strongly evoked: neurocognitive tests found attention deficit and the PM38 test was less than 5 percentile. Cerebral MRI showed bilateral left signal anomalies of the internal temporal region and hippocampal lesions on the left, suggestive of encephalitis. The autoimmune origin has been strongly suspected and the determination of \"onco-neuronal\" antibodies and specifically the assay of anti Ma1 and anti Ma2 antibodies were positive. These elements lead us to evoke an autoimmune encephalitis, in case of atypical psychotic syndrome, of organic origin, which could then respond to an immunotherapy. Psychiatric liaison services are important providers of diagnosis and treatment for hospital patients with mental comorbidities and medically ill. Several studies have observed that patients with psychiatric comorbidities had a longer length of stay. However, further research is needed to study the association between psychiatric diagnosis and complications during the hospitalization. The aim of this study is to describe the presence of somatic complications in hospitalized patients with psychiatric comorbidity in a General Hospital in Barcelona Consecutive consultations to a Liaison Psychiatry Service of a General Hospital (Hospital del Mar, Barcelona) were registered from January 2018 to December 2018 with a total sample of 373. Demographic characteristics of patients, clinical data and main pharmacological treatment were recorded through an “ad hoc” questionnaire. Database information was completed with electronic medical records. Comparative analysis was performed with IBM SPSS Statistics (Chicago INC) using Chi-Square Test for qualitative variables and t-Student test for continuous variables. From a total of 373 consultations, the most frequent diagnosis were: adjustment disorder with depressed mood (21.6%), acute confusional syndrome (17.6%), normal stress reaction (9,8%) and adjustment disorder with mixed symptomes (9,8%). The psychiatric diagnosis most related to somatic complications were adjustment disorder with anxiety and adjustment disorder with mixed symptomes. Significant differences were found between the consultation services and the presence of somatic complications. We must consider to perform specific programms and protocols in patients with psychiatric comorbidities in order to decrease the somatic burden on these patients Researchers have traditionally noted the motivational ambivalence of patients with (EH). However, there is a lack of data on correlation of hierarchy of motives with perfectionism in EH patients. To conduct a comparative analysis of direction and power of motives and the perfectionism structure in EH patients compared to healthy individuals. TAT by H.Heckhausen, Multi-Motive Grid (Sokolowski, et al., 2000), Perfectionism Questionnairy (Flett, et al., 1994). The study involved 56 naive middle-age patients with EH, stage 1-2, average age is 51,1±6,6 and 54 normotensive persons, average age is 47,9±6,2. 1. EH patients differ from healthy individuals in total perfectionism (186.76±39.47 vs 170.42±24.74; p≤0,05) and other-oriented perfectionism (56.42±13.57 vs 68.14±18.43; p ≤ 0,05). 2. EH patients show prevalence of “fear of failure” over “hope for success” (-3.43±4.82 vs 7.39±5.65; p≤0.01), and lower overall level of achievement motivation (16.68±4.16 vs 18,91±4,9; p≤ 0,05); increased level of “fear of power” (6.90±2.98 vs 5.48±2.67; p≤ 0,001) and “fear of rejection” (6.90±2.23 vs 4.94±, p≤ 0,05). 3. In EH patients, several significant correlations (p≤0,05) were found: between “fear of power” and such variables as “fear of rejection” (0.629), and “fear of failure” (0.532), “social prescribed perfectionism” (-0.516) and “total perfectionism” (0-.449), as well as “hope for success” (-0.464). 4. For healthy individuals there was only one significant correlation: between “socially prescribed perfectionism” and “fear of failure” (r=0.356, p≤0,05). The results helps broaden our vision of the psychological correlations in EH. The research was supported by RFBR; project № 17-06-00954. The research was supported by RFBR; project № 17-06-00954. Strict emotional control in patients is associated with negative clinical effects in cardiological practice. Are there any specifics in emotional control in cardiovascular patients? The goal of the study was to find the difference in emotional expression control in cardiovascular patients of various nosological groups. The study involved 233 cardiac patients (60 with essential hypertension, 56 with valvular heart disease, 69 with stable coronary heart disease (SCHD), 48 with acute myocardial infarction (AMI)). The measuring instrument was Ban on the Emotional Expression questionnaire (Zaretsky & Kholmogorova). The general level of ban on the emotional expression in all cardiovascular patients is significantly higher (p=0.0001) as compared to healthy people. Higher emotional control covered the whole spectrum of emotions except sadness (р=0.076). One-factor variance analysis showed credible differences among the groups in control of expressing fear (р=0.034), joy (р=0.019), sadness (р=0.016), and the general ban on expressing positive and negative emotions (р=0.003). Comparing the indices shown by SCHD and AMI patients we revealed that the level of the aggregate emotional control is credibly higher in AMI patients (р=0.0001), while SCHD patients were distinguished by a higher ban on anger expression (p=0.0315). In AMI patients, we revealed significant interrelations between the general emotional control and high blood pressure (r=0.35), between the ban on expressing sadness and diabetes mellitus (r=0.30). The findings highlight essential differences in emotional control in cardiovascular patients of various nosological groups, which underscores the importance of considering this specificity when planning prevention and treatment. Psychopharmacological treatment varies depending on clinical features of patients, health systems and psychosocial or environmental characteristics. Compare psychopharmacological treatment in patients form the USA and Spain, according to their disorder and socio-sanitary circumstances. Descriptive analysis of a sample of 172 patients. Sociodemographic and diagnostic data were collected during the rotation period of rotation of three mental health residents. Diagnosis, pharmacological treatment, comorbidity, substance abuse and mental health history are compared. A sample of 172 patients between 16 and 85 years old (73 form Roberto Clemente Center – Gouverneur Hospital (USA), 33 from Fuencarral Health Center – Hospital La Paz (Madrid), 33 from Trinitat Mental Health Center – Hospital Universitario y Politécnico La Fe and 33 form El Arroyo Specialty Center – Hospital Universitario de Fuenlabrada) was analized. From Roberto Clemente Centre, 8% of patients were treated with antipsychotics, 10% with anxiolytics, 33% with antidepressants and 12% with mood stabilizers. From Spanish Centers, 15% of patients were treated with antipsychotics, 45% with anxiolytics, 34% with antidepressants and 8% with mood stabilizers. In Roberto Clemente Center, there is a larger sample of patients without treatment than the sample in Spanish Centers. Differences observed between the variable distribution of treatment may be related with the process of making an diagnosis (influenced by cultural and sociodemographic factors), the prescribing doctors and the different types of Mental Health resources offered in Spain and in the USA (National health service versus Medical insurances). Further conclusions will be drawn from wider and more complex studies. The Millennial paradigm shift occurring worldwide, has become quite extreme in Argentina where being heterosexually active, married with children, and trying to work oneself way up at a company or career is stigmatized as “not normal”. To discuss the etiology and approach of said cultural revolution of the self. The lack of literature prompted the authors´ to give their own opinion and summon other psychiatrists´ points of view to delineate the future of Mental Health. The Millennials are the result of Baby Boomers ambition and desire to work and rebuild a conservative, rigid society after World War II; Generation X´s skeptical but self-sufficient survivors of a dictatorial regime who committed terrible crimes against humanity; a Me Generation product of multigenerational PTSD individuals that share with the Millennials having been raised with an unlimited freedom, as well as a need to adapt to a new psychosocial, environmental, political and economic model, in a digital era of emotional and intellectual peer domination, that has given substance to and thus, intensified, narcissistic, antisocial and a whole new dimension of personality disorders, addictions and psychotic behaviors. Anxiety and panic disorders have increased together with suicidal attempts at earlier ages, while these chronically adolescent generation live to accept the banality of everyday existence. Lack of freedom and excess of it cause evolutionary negative results. Epigenetic modifications of DNA function, responsible for novel SNS pathways and structural brain-mind modifications must be addressed to guide clinical decision making. Understanding the cultural experiences of both the patient and the clinician is a vital part of the therapeutic alliance and can help clinicians better understand their own cultural countertransference. We discuss a case of a 35-year-old Albanian man with alcohol-use disorder who presented to the emergency room of an American urban hospital following a highly lethal suicide attempt. Two psychiatry trainees provided treatment to the patient at different points during his admission, one who shared the cultural background of the patient (intracultural) and the other who did not (intercultural). We examined the impact of both intracultural and intercultural countertransference on the psychiatrist and the patient in an academic setting. To examine the differences between intercultural and intracultural countertransference in the evaluation, understanding, and treatment of a patient following a suicide attempt. This is a case report and description of the cultural countertransference of two clinicians. Through both individual and group supervision, the psychiatry trainees were given a space to explore their intercultural and intracultural countertransference, highlighting the patient’s perceived guardedness and disengagement with the therapeutic process, as well as denial of the severity of his illness. The trainees were able to process how their own personal understandings of stigma, cultural gender roles, and self-disclosure in the Albanian community contributed to their countertransference. Through an individual case study, we highlight the importance of incorporating discussions of both intercultural and intracultural countertransference into academic psychiatric supervision. Understanding the powerful role of cultural countertransference is necessary in the delivery of culturally competent care. The General Health Questionnaire (GHQ) is a widely used measure of general mental health and has been developed in a variety of different lengths (GHQ-12, GHQ-28, GHQ-48) and languages (e.g., English, French, German, and Russian). Previous research that has examined the factor structure of the GHQ-12 has been somewhat equivocal, with one-, two-, and three-factor structures being reported in different studies. The aim of the present study was to examine the factor structure of the Russian translation of the General Health Questionnaire-12 (GHQ-12) among a sample of Russian university students. A sample of *150* Russian university students completed the Russian version of the GHQ-12 alongside some demographic questions. Three competing models were examined in terms of their fit of the data: one-, two-, and three-factor models. The best description of the data was provided by *the one-factor* model was found to provide the best description of the competing models. The present findings provide support for the unidimensionality of the Russian translation of the GHQ-12 for use among Russian university students. Further research should seek to examine the generalisability of this finding among members of the general public in Russia. In comparison to other countries, Russia has a comparatively high rate of heavy drinking and alcoholism, which are both leading causes of illnesses, disability, and death. There is increasing attention paid to understanding psychological and medical explanations of illnesses, and how the relationships between explicit and implicit theories are linked. Lay beliefs about alcoholism are an important factor associated with treatment-seeking behaviour. The aim of the present study was to examine implicit theories of the causes of alcoholism among Russians. An online convenience sample of 200 Russian adults completed a Russian translation of Furnham and Lowicks’ questionnaire, in which they were asked to rate 30 explanations for their importance in explaining the causes of alcoholism, alongside some demographics questions, including, age, sex, level of alcohol use. The 30 explanations were ranked for importance in explaining the causes of alcoholism. In addition, demographics questions, including, age, sex, level of alcohol use were compared. Moreover, comparisons were made between the present data and the results originally reported by Furnham and Lowick among a sample of lay people in the United Kingdom. The results were discussed in terms of the research on mental health literacy, lay understandings of psychological and medical illnesses, and the relationships between explicit and implicit theories. Further research on mental health literacy among Russian samples was proposed. Parents face many challenges while raising their children, but in case of the parents of children with special needs, these challenges can be amplified, and as a consequence, their quality of life can be detrimentally affected. To examine the relationship of stress on the quality of life among parents of children with a disability, and the role that resilience may have on mitigating this relationship. Data from 261 parents of children with physical (n=121) or intellectual (n=140) disabled in Pakistan completed Urdu translations of the Parental Stress Scale, the Resilience Scale, and the Abbreviated World Health Organization Quality of Life (WHOQOL-BREF). T-test analysis showed that the parenting of a child with a disability, whether physically or intellectually, was equally stressful. However, there was a difference in the quality of life of the parents of children with a physical disability who had significantly lower levels of quality of life in the dimensions of physical health, psychological health, and social relationships in comparison to parents of children with an intellectual disability. In both samples, Pearson’s product-moment correlations showed a positive relationship between resilience and quality of life and a negative relationship between resilience and stress. The meditational analysis revealed that resilience mediated the relationship between stress and quality of life among the parents of children with disability. These findings suggest that further psychological support of parents with a disabled child is required. Infantilism can be researched both as a developmental retardation and a psychological status describing adult experiencing physical, mental or social childhood traits. Usually studied as a personal trait, it was rarely described throughout social trends. The classical intergenerational research describes differences in the values among generations, and only recent works state generational specifics in narcissism etc. The researchers describe western Y generation (1984-1999 years of birth), compared with their parents X Gen (1965-1983) as ‘kidults’, which means their addiction to infantilism, but there are rare studies that touch this topic. The hypothesis about differences in social status of infantilism criteria (maritial status, the presence of children in the family, the financial independence, etc.) in the young (Y) and older (X) generations was checked. In two-phase (quantitative and qualitative) study (first phase, N = 349; second phase N = 25) open data analysis (cohort comparison) and semi-structured interviews, including projective techniques (case analysis) were carried out. The hypothesis about social status of infantilism criteria differences was completely confirmed. The differences in Self-concept about infantilism were also revealed: the ideas about mature behavior and the causes of mature and immature forms of behavior differ. The older generation experiences negative attitudes towards immature behavior, while younger sample admits change of the social criteria of Infantile status. Different generations share different ideas and attitudes towards infantilism and social criteria: younger Y’s tend to excuse it while older X’s demonstrate less tolerance. Koro is a culture-bound syndrome, endemic and prevalent in Southeast Asia. This neuropsychiatric disorder is symptomatically characterized by the fear of an eventual death caused by genital or breast retraction. Due to its cultural condition, syndrome reports were originally described from the Chinese and Southeast Asia population. However, later sporadic cases of Koro syndrome were identified in healthy Westerners not exposed to the Asian culture. This e-poster relevantly provides the first Spanish case report in the literature where Koro syndrome was considered. In this case report we intended to describe the symptoms presented by a single case and to set up a diagnostic. Also, we tried to compare our findings with previous similar cases. In order to describe our clinical case we followed up the evolution of the patient for several months whose symptoms are detailed below. Several complementary tests were performed in order to rule out medical conditions. Test results showed normal levels in any case. In the present case the Koro was associated with phobia for AIDS and a pharmacological approach was used in the treatment, targeting both the anxiety state and the maladaptive cognitions. In the present patient helped to reduce behavioural disorders and significantly reduced his symptoms of Koro. Although the presenting syndrome was sporadic, the diagnosis of the Koro syndrome was considered. An increasing number of cases are being reported among Caucasians living in the West who have not been exposed to the Chinese culture. The pathogenesis of this condition is poorly understood. Socio-cultural factors, and more specifically migratory processes, have an undeniable influence on migrants’ personality and the presence of psychopathology. In recent years, immigration have become one of the most influencing factors in mental health. Roberto Clemente Center (RCC) is a Gouverneur Hospital clinic in New York city. It is specialized in Latin American migrants disturbances. Patients are treated with systemic-ecological therapies. Assess socio-demographic and psychopathological features of an RCC sample of patients. Descriptive analysis of a sample of 73 patients. Sociodemographic and diagnostic data were collected during the rotation period of rotation of three mental health residents. Diagnosis, pharmacologicaltreatment, comorbidity, substance abuse and mental healthhistory are studied. A sample of 73 patients between 16 and 85 years old was studied. It is formed by 15 men and 58 women. The average age is 58 years old. As for the diagnosis, there is a higher frequency of Depressive disorder. (29%), followed by adaptive disorder (21%), family problems (10%) and post-traumatic stress disorder (9%). It is observed that women seek more psychological attention than men. In addition, the results suggest that older people have more difficulties in facing a migratory process than the younger population. The observations may indicate that diagnosis are related with grieving processes. Furthermore, they show that there is a variation in the way that traumatic life events affect to the individuals and their families. Machiavellianism as an attitude of permissibility towards exploitation of others for own purposes is a component of the Dark Triad of personality traits along with narcissism and psychopathy. Its spreading in general population is related to contemporary social context of transitivity, ambiguity and relativism of cultural values what allows to conceive Machiavellianism as a borderline phenomenon between abnormal and normality. Study was aimed at establishment of the factors that underlie Machiavellianism spreading in mentally healthy population. Machiavellianism was assessed with MACH-IV scale (Christie, 1970; Znakov, 2000). Empathy was assessed with Emotional empathy questionnaire (Orlov, Emelianov, 1986). Tolerance to ambiguity was assessed by the New Tolerance-Intolerance to ambiguity questionnaire (Kornilova, 2010). Participants were 40 adults (aged 18-45 years) without psychiatric diagnoses. Regression analysis suggests following links: low Empathy(β=-0,438, р<0,01) and high Interpersonal Ambiguity Intolerance (β=0,371, р<0,05) influence higher levels of Machiavellianism. Similarly, low empathy was a leading factor in regression models, calculated for clinical samples of inpatients with schizotypal disorders and paranoid schizophrenia. This highlights similarities between marked Machiavellians in normative and clinical populations. For healthy population the difficulties to deal with ambiguous situations are related to situations of interpersonal communication, where the intolerant to ambiguity people a constrained to use manipulation. The lack of emotional investment in other people play a crucial role in the occurrence of Machiavellianism in both Clinical and normal samples. Results support ideas of Z.Bauman about increased ambiguity of contemporary society leading to its narcissisation and pathologising. Azerbaijan is a country with rapidly developing mental health system and changing cultural attitudes towards suffering people. Opinions about Mental Illness (OMI) questionnaire (Stuerling & Cohen, 1962) is one of the most videly used instruments to measure stigmatization in professionals and lay people, and it was already used in countries geographically close to Azerbaijan (Madianos et al., 1987, Rahmani et al, 2015, Gur & Kucuk, 2016). To assess whether OMI questionnaire can be used to measure attitudes towards mental illness in Azerbaijan. A Russian translation of OMI was used. 107 adults (mean age 24 years) completed the questionnaire, as well as Familiarity with Mental Illness scale and some qualitative assessments. The internal consistency of the original 51-items version was very low. A 24-items version was formed after items deletion. Principal component analysis suggested a 6-factor structure, that explained 58,9% of variance. The identified factor scales were following: Sympathy, Individual and familial burden of disease, Need for care, Intolerance of deviations, Attribution of negative qualities and segregation, Social and family control. It differs markedly from the original and replicated in other studies 5-factor structure of OMI. Only 4 items from Intolerance of deviation factor were linked together like in the original Autoritarianism scale. The data is preliminary, limited by sample size, age and socio-demographic characteristics. Still, it suggests that there is a need to develop a more culturally appropriate method to study attitudes towards mental illness in Azerbaijan. Particularly, issues of family burden and paternalistic attitudes should be addressed. Cultural psychiatry is based on the study, evaluation and treatment of mental disorders considering the cultural context (values, beliefs, language, behaviour) where it happens and is expressed. Uganda is a country in the African continent where the recognition and understanding of the psychiatry together with its symptomatology is significantly different from our country’s belief. The objective is to describe the distribution and frequency of the emergency care in mental pathology in a hospital from an Ugandan city called Fort Portal. Collection of the reasons that motivated the consultation and the provisional diagnoses of 184 patients who attended the psychiatric’s emergency in Fort Portal Hospital The distribution of mental disorders was: 23% due to organic diseases; 21% related to substance abuse; 19% for non-substance related psychosis; and 16% for bipolar disorder. In comparison with the University Hospital of Salamanca, Spain, the distribution is different: 24% in anxiety disorders; 21% for depressive disorders; and a 17% for suicide ideation or suicidal attempts. The reasons for psychiatric assistance are very different between a country on the African continent like Uganda and a European country like Spain. There is a worldwide diversity regarding the recognition and classification of mental and behavioural symptoms. Even within the same country, the diagnosis and treatment of mental illness changes over time. It is important to take into account the culture for the analysis, diagnosis and treatment of psychiatric disorders. Perinatal period is a source of fragility. The migratory experience brings a greater vulnerability and specificity for future mothers.Their healthcare can be influenced by different personal experiences of health professionals and decentering ability plays an important role. The aim of this study was to explore feelings about decentering ability in mental health professionals working with migrants women during perinatal period. We asked twelve mental health professionals working at Maternity Unit of University Hospital in Poitiers to participate in our study: four of them accepted. In order to investigate their feelings about decentering ability we used semi-structured interview and we asked them to describe a clinical situation they were faced as a mental health professionals. The analysis of the results was performed using a qualitative method based on the Interpretative Phenomenological Analysis. The Experience Fluctuation Model was used to determine the psychological states experienced by participants. Anxiety was experienced by two of our participants, another one described Worry as predominant emotional state. The last one reported Relaxation state. Positive feelings about decentering ability were linked to a personal experience of migration and to a training in cultural psychiatry. Contrarily, negative feelings were linked to the difficulty to share personal experiences. Baubet and Moro explain the importance of the ability in decentering in order to become more experienced in cross-cultural situations.Decentering ability is acquired through daily work with migrants. It can be developed thanks to seminars with other professionals as anthropologists and through a personal experience of migration. Content of psychotic symptoms is deeply rooted in cultural background. Delusions and hallucinations are, at the same time, the distorted reflection of the world, as well as the projection of internal processes on the objective reality. Religious topics are common among the delusional content, typically 20% – 60% of patients reports them. Religion itself plays an important role in lives of patients with schizophrenia, being a coping mechanism and having an explanatory value. The aim of this study was to examine how content of hallucinations and delusions interact with cultural conditions, that were changing over the decades. 100 of randomly selected case histories of patients with schizophrenia were analyzed. Content of delusions and hallucinations were extracted and from the material. Subsequently, reports were categorized and the base of reoccurring themes. Data from 2012 was compared with previous study obtaining the perspective of 80 years of history in the one hospital. Religious topics were reported by 26% of patients. Gradual decrease of diversity of themes was observed. Several religious figures, including saints and angels disappeared in 2012 from the material. Occurrence of “contact with God” and other religious figures was similar comparing to previous years, however the number of “visions” abruptly decreased. Some figure,s such as “devil” were stable over 80 years and were associated with very specific subjective context. All themes reported by the patients were culturally specific. Content of delusions and hallucinations shows plasticity over the time, being influenced by cultural changes in society. Stress disorder may develop following exposure to one or more traumatic events such as severe accidents or disasters. Complications include difficulty with work or relationships, a greater chance of chronic disease, depression, anxiety, personality disorder or the misuse of psychoactive substances. Cultural aspects can affect the stress reactions and resilience to stress in many ways as by increasing so as by limiting its burden. The purpose of the study was investigation of Acute Stress Reaction among employees of the oil company who experienced work-related stressful event Symptoms of acute stress disorder were assessed with the Stanford Acute Stress Reaction Questionnaire (SASRQ). Possible scores on the SASRQ range from 0 to 150, with higher scores indicating greater acute stress symptoms. The cut-off score for acute stress was defined as 15 and for severe stress as 30 points Symptoms of acute stress were present in 32 (22%) of participants with severe symptoms among 15 (10%) participants. The overall severity of acute stress was significantly higher among expats compared to local workers (p=0.002).The mean score of acute stress symptoms was higher among those who reported having no bad habits (N=52, M=4.75) versus those who were cigarette smokers (N=36, M=13.94); (p=0.006). The severity of acute stress showed no correlation with the age and length of work-related experience in participants The possible culture-related factors contributing to severe stress reactions among local workers and expats are to be analyzed, discussed and used for work and life quality improvement Dr. Fidan Mammadova (co-author) - is currently employed at the Central Hospital for the Oilmen located in Baku city and, as a psychiatrist, was involved in the treatment of the victims of the event. Dr. Mammadova did not take part in the process of ques A communication gap exists between psychiatry and indigenous people. A strong tradition for mental health prevention and treatment exists that psychiatry often ignores since it has not produced randomized, controlled trials or similar quantitative research. The term \"two-eyed seeing\" is spreading across North America as a concept for explanatory pluralism. The concept was brought into academic science by Albert Marshall, a M'iqmaq from Nova Scotia, Canada. It speaks to the idea that indigenous knowledge is equally valid for conceptualizing a phenomenon as contemporary science. We look at indigenous suicide from a two-eyed seeing perspective. We present a case series of 73 patient-interactions in which a two-eyed seeing model was successfully applied to indigenous clients allowing both the biomedical model to suggest medications and the indigenous counselor to connect clients to culture, language, elders, and to explore alternate strategies for accomplishing the end that the suicide was supposed to serve. This approach sees suicide as goal-directed behavior toward a specific end, which makes it an ongoing story that can be modified and not a state of mind. Indigenous people remain in counseling with this approach and show a significantly reduced rate of future attempts. Contemporary biomedical models of suicide and of predicting suicide are disappointingly ineffective. The indigenous model of suicide prediction and prevention sees people as being spiritually and socially challenged and caught in a story in which they have lost sight of their embeddedness in community and their linkage to others – human, animal, natural, and spiritual. Alexithymia and the theory of mind (ToM) are essential elements for a proper social life. Difficulties in identifying and describing someone’s emotions or feelings of others, have negative effects on social cognition and influences the evolution of depressive disorders. Assessment of alexithymia and the ToM in a group of subjects with recurrent depressive disorder. The study included 42 patients diagnosed with recurrent depressive disorder (according to ICD-10), based on inclusion/exclusion criteria. The analyzed parameters were: the onset of the disorder, alexithymia (Toronto Alexithymia Scale-TAS20) and the ToM (Reading the Mind in the Eye Test). The lot was divided into three sublots depending on the length of the evolution: 1st lot 1-4 years, 2nd lot 5-10 years, 3rd lot over 10 years. Data were statistically processed. Following the interpretation of the results, it was shown that alexithymia was present in all subjects, regardless of the onset of the disorder, with no significant differences between the three groups (P-value=0.37215). Regarding ToM, mean score of patients was a reduced one, without any statistically significant differences (P-value=0.920299). There is also a direct correlation between alexithymia and the ToM in the 1st lot (r=-0.519124317). Alexithymia and ToM are both impaired in patients with depressive disorder. In the first five years of evolution of the disorder, the more inability of expressing emotions is present, the more ToM capacity is reduced. Finasteride, a competitive inhibitor of 5 alpha-reductase enzyme, is used for treatment of androgenetic alopecia in males. Several effects derived from finasteride administration can be related to the appearance of depressive symptoms as serum dihydrotestosterone level decrease or the inhibitory effect on androgen and steroid 5alpha-reduction in the brain. To present our clinical experience in the treatment of a depressive episode and propose the likely relation with finasteride treatment. We selected one patient with previous treatment with finasteride who developed a depressive episode. 29 years old male referred to our outpatient Mental Health Service with depressive symptoms for 2 years with an accentuation in recent months. No previous personal psychiatric history, no drug abuse or psychopharmacological treatment. In treatment with finasteride the three previous years. Refers sad mood, anxiety, irritability, inhibition, apathy, poor initiative to carry out activities, early awakening, low hedonic capacity, thoughts of death and failures in cognitive sphere. No refers previous trigger. We established diagnosis of moderate depressive episode without psychotic symptoms and initiated antidepressive treatment with vortioxetine 10 mg. We also encouraged to discontinue finasteride treatment to consider a probable relationship with the mood disorder. The patient experienced a positive evolution with ad integrum recovery in the 3 subsequent months. Finasteride treatment might be related to depressive symptoms, so it should be discontinued in the presence of mood disorders. Further studies should be required in order to determine the need of antidepressant treatment once finasteride is discontinued. Dermatomyositis (DM) is a multisystem autoimmune inflammatory disease with skin manifestations, muscle weakness and systemic symptoms. These manifestations lead patients to suffer a low quality of life. While various inflammatory disorders and their association with depression are well documented, only few litterature is reporting cases of DM associated with major depressive disorder. We present a rare case of DM associated with depressive disorder and suicidal ideation in order to discuss the possible link relating these two entities. We conducted a literature review on pubmed website, using these keywords: dermatomyositis, depressive disorder and suicidal ideation. A 31-year-old woman, with no prior personal neuropsychiatric history, was diagnosed with dermatomyositis and started on azathioprine and methylprednisolone. Two years later, she was referred to our psychiatric unit with complaints of depressed mood, reduced pleasure, fatigue, sleep disturbance, feelings of worthlessness and reduced self-esteem. She also reported suicidal thoughts with a specific plan. She met clinical criteria from diagnostic and statistical manual of mental disorders (DSM-5) for major depressive disorder, and was starded on sertraline 50mg orally per day for two weeks then titrated to 100mg per day. Clinical course showed improvement in depressive symptoms with no more suicidal ideation within two weeks. The temporal relationship between the onset of depressive symptomes and DM suggest that depression may have been induced either by the inflammatory disorder or anti-inflammatory treatments. Patients suffering from inflammatory systemic disease should be screened for depressive disorders. Providing them appropriate mental health care seems crucial to improve patients prognosis and quality of life. Many patients presenting in the primary health care for somatic symptoms also present mental health problems which are not always properly addressed To screen for depressive symptoms in the outpatient population over 50 years old From 01.07.2019 to 31.08.2019, patients over 50 years old who received outpatient treatment in the primary health care were asked to be administered PHQ-9. 120 of them agreed and the data were analyzed with SPSS-22. From the 120 participants, 48% (N=58) were 50-64 years old, and 45% (N=54) were males. 66% (N=79) reported symptoms of severe depression, 26% (N=31) moderately severy, 6% (N=7) moderate depression and the other 3 participants had no symptoms of depression. According to the data analysis, females in the age group 65-96 were more affected by depressive symptoms. Depression remains an underdiagnozed condition in primary care, with many patients presenting for another health problem but when screened for depression score high on screening tools like PHQ-9. The most affected group is females from 65 to 96 years old. Robust evidence points to bidirectional associations between late-life depression and physical disease development. Depression accompanied with loneliness may show worse prognosis and higher levels of symptom severity in old age. However, little is known about the role of loneliness in the relationship between depression and multimorbidity development. To study the influence of depression with loneliness on chronic disease development later in life. Data from the Ageing Trajectories of Health: Longitudinal Opportunities and Synergies (ATHLOS) project were used. The sample comprised 2328 older adults (55.37% women; M = 61.16 years at baseline, SD = 6.52) from two European countries (UK and Czech Republic). Three groups were formed: control group (CG); depressive symptom episode group (DEP); a group with depression and loneliness (DEP+LONE). Number of multimorbid conditions (comprising 18 physical diseases) was predicted at a follow-up (arithmetic mode of follow-up = 4 years) considering a metabolic score and diseases at baseline, study group and other relevant sociodemographic and health-related factors. The analyses were conducted separately by men and women. DEP+LONE membership significantly predicted the multimorbidity in both sexes. Over 50% of women and 54% of men from the DEP+LONE group showed two or more physical conditions at follow-up. Additionally, DEP group membership predicted multimorbidity at follow-up in men (p < .01). These results highlight the relevant contribution of loneliness in depression-related metabolic dysregulation in chronic condition development, probably by means of metabolic dysregulation boosting. This study claims for action to reduce the impact of loneliness in old age and to promote healthy ageing. In the structure of the mental disorders depression holds the leading position. In recent years, there has been an increase of publications showing the combination of depression and psychosocial maladaptation, which both acts as a derivative in the clinic of depressive disorders and as an independent phenomenon, having a distinct effect on their course. The purpose of the work is to study to study of relationships of structure and severity of manifestations of psychosocial maladaptation and anxiety-depressive symptoms in women with depressive disorders of different genesis. 252 women with a diagnosis of depressive disorder were examined: 94 people with depressive disorder of psychogenic genesis, 83 women with endogenous depression and 75 patients with depressive disorder of organic genesis. The patients were divided into groups depending on the genesis of the depressive disorder and the presence and severity of problems in psychosocial functioning. The study was conducted using clinical-psychopathological and psychodiagnostic methods. As a result of the study, it was found that genesis of depression has been found to have the greatest impact on depression in the absence of signs of maladaptation and its mild degree. As the severity of maladaptation increases, the impact of the genesis of depression decreases and is less severe in severe maladaptation. Anxiety is less dependent on the genesis of depression, and is more determined by the degree of maladaptation. Thus, in determining the directions of psychotherapeutic and rehabilitation management of depressive disorders in women, it is mandatory to take these parameters into account. Tranylcypromine (TCP) is prescribed for treatment resistant depression (TRD). The irreversible monoamine oxidase-(MAO)-A/B inhibitor is often labeled as a treatment of “last resort”. This classification was established when the number of treatment options was limited. With 58% responders as the mean in TCP-treatment of TRD in controlled studies, the question arises which therapeutic options occur in non-responders of TCP (TCP-NR), and whether TCP is actually a “last resort”. The therapy of TCP-NR was investigated in a comprehensive review of controlled and non-controlled clinical studies of TCP in depression as well as in case reports of medical-scientific literature. 93 therapies of TCP-NR have been found (63 in the follow-up of clinical studies, 30 in case reports). Continuing TCP itself was included in 48 trials of TCP-NR (augmentation/combination of TCP). Discontinuation of TCP and switch to another antidepressant was applied in 45 TCP-NR. Response was achieved in 48 trials (51.6%), 36 in TCP-augmentation/combination (75%), and 12 after discontinuation of TCP (26.7%). The higher number of responders in augmentation/combination of TCP is explained by the selectivity of case reports. For lithium-augmentation (78.6% responders), however, data are considered as less selective because results of the follow-up of TCP-studies are also included. A definition of the MAO-inhibitor as a “last resort” in the treatment of depression seems to be misguiding today because of the manifold treatment options. There are good chances of response for TCP-NR in TRD with e.g. lithium augmentation of TCP, augmentation with second generation antipsychotic drugs or switch to other antidepressants. Sven Ulrich is working in the pharmaceutical company Aristo Pharma GmbH which is marketing a tranylcypromine drug product. Thomas Messer has received speaker honoraria from Aristo Pharma GmbH. Little is known how depressive symptoms and suicidal ideations interfere with the perception of different tastes of food. To evaluate emotional responses to different tastes of food as possible markers of depressive symptoms and suicidal ideations. In total, 74 adult patients aged up to 55 years (86.5% females) with diagnosis of Major Depressive disorder (MDD) were included. MDD was assessed using Mini-International Neuropsychiatric Interview (MINI) and Montgomery-Asberg Depression Rating Scale (MADRS); suicidal ideations were evaluated using MADRS item 10. The desire of different tastes of food was evaluated using a “Food Taste Questionnaire” and rated using Likert scale from 1 to 4 (highest to lowest). Emotional expressions to different food tastes were evaluated using the FaceReader software (Noldus). Of all patients, 60.8% (n=45) did not have suicidal ideations. The comparison of desire for different tastes of food before depression episode vs. depression episode revealed significant decrease of desire in three tastes: sour 3.34 ±0.8 vs. 3.57 ±0.66; p<0.000 respectively; salty 2.97 ±0.93 vs. 3.2 ±0.91; p<0.001 respectively; spicy 3.01 ±1.01 vs. 3.38 ±0.95; p<0.000 respectively, but not in sweet and neutral food tastes. Yet significantly lower intensity of emotional expressions was found in suicidal group to sweet (0.34 ±0.08 vs. 0.30 ±0.07, p=0.022, respectively) and neutral tastes of food (0.29 ±0.05 vs. 0.25 ±0.05, p=0.01, respectively). The changes of desire in different food tastes and emotional expressions to different tastes of food could be used as markers in recognition of depressive symptoms and suicidal ideations. Depression is associated with worse diabetes self-care and worse diabetes outcomes. To test whether depressive symptoms at diagnosis of type 2 diabetes (T2D) was associated with delay in initiation of insulin therapy at 8 years follow up. The South London Diabetes (SOUL-D) incident T2D cohort was prospectively followed-up to 8 years. At T2D diagnosis, depressive symptoms were measured using the Patient Health Questionnaire (PHQ-9). The date of insulin initiation was extracted from primary care records. The Kaplan-Meier method determined time to insulin initiation, and Cox regression controlled for baseline confounders: age, gender, ethnicity, BMI, diabetes distress, negative insulin beliefs, present microvascular and macrovascular complications and HbA1c. In this preliminary analysis of n=1003, the average age at baseline was 56.6 (SD=10.85) years, the proportion of females was 45.5%, and ethnicity status was 48.8% White and 47.3% African Caribbean/Asian/other. The prevalence of depressive symptoms (PHQ-9 ≥10) was 14.6% (n=146). The proportion who were depressed versus not depressed who were started on insulin therapy was n=34/146 and n=99/848 and the mean time to starting insulin was 83.3 (SD 23.98) and 86.3 (SD 20.88) months respectively. After adjusting for confounding variables, this was a small but significant association (hazard ratio=1.06, 95% confidence interval 1.02-1.10, p=0.005). Depressive symptoms is associated with earlier initiation of insulin therapy suggesting that these patients may have a worse prognosis even at the time of diagnosis of T2D. Depression (D) is associated with an increased risk of developing a metabolic syndrome (MS) vascular disorders and dementia. Additionaly the endocannabinoid system is involved in the regulation of mood. The associations of MS with mild cognitive impierment (MCI), and depression was examened. Association of anandamide (AEA) and \n2-arachidonoylglycerol (2-AG), with mood changes were examened. Methods and results: The data collected from 300 patients with MS according IDF criteria and vascular disorders (aged 30 – 60 years) have been analyzed. MCI was confirmed by psychodiagnostic interview according to the criteria of ICD-10 ant nuropsychological testing. Depression and mood disorders were confirmed by psychodiagnostic interview according to the criteria of ICD-10. Endogenous cannabinoids level was determined by chromatography-mass spectrometry. As a result of research 300 subject were divided into 2 groups, group A – with D and/or MCI (221 subjects) and the group B -without mood disorders (49 subjects). Using the Mann-Whitney test significantly strong connection between high levels of total cholesterol (TC), cholesterol low density lipoprotein (LDL-C) and MCI in group A were obtained. Optional subjects with sings of MS and D had a high level of VLDL and LDL-C in comparison with subjects without D. Level of 2-AG significantly different in anxious patients with MS. Conclusion: Our data support that there is link between MCI and components of MS, Increasing in the level of LDL and VLDL can provoke MCI in middleage subjects with MS. MS activates ECS that triggers the development of cognitive impairment and anxiety About 30% of patients with major depression do not respond satisfactorily to treatment. These have lower productivity, higher medical comorbidity and more suicide attemps than patients with an adequate response. The aim of this study is to review the clinical management of treatment-resistant depression, basing on a real clinical case. Clinical management of treatment-resistant depression was reviewed with regard to the case of a 52-year-old woman with a history of a major depression that did not respond to medication (including two antidepressants, lithium and lamotrigine). In the mental examination, she presented intrusive, recurrent and egodistonic ideas of guilt, which generated intense discomfort. Her mood was secondary to the onset of such ideas. Attending to the symptomatology and poor response to medication, the diagnosis was changed to an obsesive compulsive disorder with predominance of obsessive ideas, and the treatment was simplifyed and optimized with paroxetine at antiosbsessive doses. Currently, the patient has remained asymptomatic for the last ten months. Although there is no consensus, the term “treatment-resistant depression\" generally referes to major depressive episodes that do not respond satisfactorily to two adequate antidepressant trials. This has been associated with different factors, including misdiagnose or concurrent psychiatric disorders, such as obsessive-compulsive disorders. Therefore, an exhaustive psychopathological evaluation and an adequate differential diagnosis it is essential in all cases. Due to therapeutic and prognostic implications, in case of a major depression that does not respond adequately to treatment, the diagnosis must be verified and other psychiatric conditions must be ruled out. Recent studies suggest a close relationship between childhood trauma and major depressive disorder. The effect of childhood trauma on the recurrence of depressive episodes is still controversial. The aim of our study was to analyze the relationship between childhood trauma and the recurrence of depression in patients suffering from major depressive disorder. We proceeded to a cross-sectional and retrospective study. We recruited 50 patients followed for major depressive disorder. Patients responded to the short form of Childhood Trauma Questionnaire Scale. Depressive symptoms were evaluated by the Hamilton Depression Rating Scale. Information about the recurrence of depression during the two first years following the first depressive episode were collected from the medical file. Patients with recurrent depressive episodes had a significantly higher physical abuse score (p=0.04) than those who did not have depression relapse during the first two years of follow-up. There was no significant difference in the frequencies of exposure to the different dimensions of childhood trauma between patients with depressive recurrence in the first two years of follow-up and those who did not. This study emphasizes the existence of a significant association between physical abuse and the recurrence of depressive episode. Moreover, the retrospective design means that no cause-to-effect relationship can be attested. Studies suggested that the adjuvant therapy of docosahexaenoic acid (DHA) and Eicosapentaenoic acid (EPA) and antidepressant would be effective on the treatment of major depressive disorder, especially in patients with not optimal clinical response to antidepressant treatment in monotherapy The primary objective of this study was aimed to evaluate the efficacy of docosahexaenoic acid (DHA) and Eicosapentaenoic acid (EPA) in outpatients diagnosed with major depressive disorder and not optimal clinical response to antidepressant treatment. total sample of 200 outpatients with major depressive episode (according to I.C.D. 10 criteria) and previous suboptimal response to antidepressant treatment were recruited. DHA and EPA were added to the previous antidepressant treatment at flexible doses of 1 or 2 capsules per day. Each capsule contains 180 mg DHA and 460 mg EPA; Vitamin E 10 mg. The following evaluations was undergone at baseline, and then every 2 weeks until endpoint (eight week of treatment): Montgomery- Asberg Depression Rating Scale (MADRS) Optimal response was defined as a reduction of 50% in MADRS scores and remission was defined with ≤ 8 score in MADRS, both measured at endpoint. We observed a significant decrease in the total score on the MADRS (Δ=12.51±4.27; p<0.01) At endpoint (8week) we observed response rates of 41% and remission rates of 32%. In our Study, DHA and EPA added to the antidepressant treatment has found to be effective and safe in the treatment of patients diagnosed with major depressive disorder with not optimal response to antidepressant treatment Cognitive impairment has been reported in patients with Major Depressive Disorder (MDD) although not all patients have poor performance in formal neuropsychological assessments. This study aims to explore the demographic, Clinical and health-related predictors of cognitive impairment in patients with MDD. Demographic, clinical, health-related variables and cognitive scores measured with the Cambridge Neuropsychological Test Automated Battery (CANTAB) were compared between 74 patients with MDD and 68 healthy controls. Multivariate regression was performed to explore the factors that predicted cognitive impairment in MDD patients. Significant neuropsychological deficits were evident in MDD compared with healthy controls in the global cognitive index (F=5.01; gl=10, 131; p<0.001). Patients showed a worse performance in memory (Delayed Matching to Sample: F=23.78; p=<0.001), attention (Rapid Visual Information Process Test: F=7.10; p=0.009) and executive function (Spatial Working Memory: F=6.63; p=0.011; One Touch Stockings of Cambridge: F=7.44; p= 0.007) test. In the regression analysis performed in MDD patients years of schooling (β=˗0.44; p=<0.001), physical exercise (β=˗0.29; p=0.005) and severity of depressive symptoms (β=0.22; p=0.035) predicted the cognitive impairment (F=10.74; p<0.001) Patients with MDD have deficits in different cognitive domains. These deficits are predicted by the years of education, the severity of depressive symptoms and the performance of physical exercise. These results support the importance of the implementation of interventions targeting the cognitive reserve and lifestyle habits of MDD patients, in addition to the conventional therapeutical approach focused on symptoms control. There is a lack of data on the efficacy of physical exercise (PE) as a treatment method for depression in managing in-patients in the short-term treatment course. The aim of our study was to assess the efficacy of the physical exercise program as an adjuvant therapy for depression. For our study we formed two groups of patients with major depression receiving medical care at the Republican Research and Practice Mental Health Center: (1) the ones who received PE in addition to their usual treatment (n=57, mean age 43.4 years, SD =12.5) and (2) those with only treatment as usual - the control group (n=49, mean age 43.04, SD =13.7). PE was conducted with the frequency of 3-5 times a week in a group under the supervision of a fitness instructor. The PE program included aerobic and muscle-strengthening exercises as well as elements of yoga and pilates. We used Beck Depression Inventory (BDI), Hamilton Depression Rating Scale (HDRS), Hamilton Anxiety Rating Scale (HAM-A), the Positive and Negative Affect Schedule (PANAS), sleep and quality of life questionnaires. The mean number of sessions in the main group was 11 (7-14). There was a significant decrease of depressive and anxiety symptoms in both groups but the effect sizes were bigger in the main group on HDRS (Cohen’s d=3.38 versus 2,5 in controls) and HAM-A (Cohen’s d=3.7 versus 2,11 in controls). Our results support the idea of the efficacy of short-term PE program as an adjuvant therapy for treating depression. Sarcoidosis is a disease caused by the growth of accumulations of inflammatory cells (granulomas) in any part of the body, above all lungs and lymph nodes. It is related with an intense fatigue, cronic pain and many cases of major depression. There is no a specific treatment for that idiopathic and systemic disease, but it must be multidisciplinary according to relieve symptoms. This case encourages us to extend the use of TCE in selected patients to reduce depression major symptoms and comorbidity produced by polymedication. It would improve therapy adherence with less drugs in prescription. It is presented a clinical report and literature review of a patient treated in our hospital who takes around 20 different drugs (benzodiazepines, mood stabilizers, antiepileptics, antipsychotic drugs, analgesics, morphics…) and 7 of them were prescribed by a psychiatrist. After 8 sesions, the patient has a preserved reality judgement and no idea of death. The maintenance treatment passed to 3 different kind pills after the intervention (duloxetine, quetiapine and lormetazepam) with persistence of pain, insomnia and amnesia. Treatment was effective with well-known side-effects. The persistence of pain and physical symptoms aims us to encourage the multidisciplinary treatment with Rheumatology and Internal Medicine. High levels of pro-inflammatory markers (e.g. TNF-alfa, IL-6, C-reactive protein) have been reported in patients diagnosed with major depressive disorder (MDD). Inflammation has been considered a potential factor that may worsen the MDD evolution, therefore drugs that interfere with inflammatory processes have been suggested as add-on to antidepressant therapy in partial or resistant cases. To evaluate the current data in favour of recommendation for anti-inflammatory drugs as augmentation agents in the treatment of MDD. A literature review was conducted in the main electronic databases (PubMed, EMBASE, CINAHL, Cochrane Database of Systematic Reviews, Thomson Reuters/Web of Science) using the search paradigm “anti-inflammatory drugs” OR “immune modulators” AND “major depressive disorder”. All papers published between 1990 and 2019 were included in the primary analysis, than they were filtered by using pre-determined inclusion and exclusion criteria. Infliximab is an anti-TNFα chimeric monoclonal antibody that decreased depression severity in patients with an increased initial level of inflammation markers in clinical trials. Adalimumab is a monoclonal antibody with anti-TNFα properties that decreased the severity of depressive symptoms after 12 weeks in patients with psoriazis, while etanercept (also an anti-TNFα inhibitor) confirmed its efficacy over the affective symptoms during an 84 week-extension trial in patients with the same dermatological pathology. Tocilizumab and sirukumab are studied as add-on to antidepressant drugs, but the results are still inconclusive. Although immune modulation therapy is a new type of intervention for MDD, it may be a promising intervention for MDD with partial response to antidepressants. First author was speaker for Astra Zeneca, Bristol Myers Squibb, CSC Pharmaceuticals, Eli Lilly, Janssen Cilag, Lundbeck, Organon, Pfizer, Servier, Sanofi Aventis, and participated in clinical research funded by Janssen Cilag, Astra Zeneca, Eli Lilly, San Mood disorders are amongst the most common groups of mental disorders in young people (YP). Depression may affect 8-20% of all YP and may result in a cascade of negative developmental outcomes predicting long-term morbidity and poor functioning. In view of this, the COST action ‘European Network of Individualized Psychotherapy Treatment of Young People with Mental Disorders’ (TREATme) was set up to help improve mental health services in YP. One of the overarching aims of TREATme is to carry out a systematic review to assess for the effectiveness of psychotherapeutic interventions in YP. In this study, we present results from the systematic review of treatment effectiveness of youth interventions for mood disorders. Following PRISMA guidelines, we systematically searched for clinical trials targeting mood symptoms in YP in PubMed and PsycINFO. The PICOS model was used to define inclusion and exclusion criteria. Included studies were selected by reaching consensus between six independent raters. The systematic search yielded 4181 papers. The title and abstract were reviewed and a consensus was reached to accept 608 papers for full-text review. As per inclusion criteria, a consensus was reached to include 91 papers into the review for effectiveness of psychotherapeutic interventions in mood disorders. The results of this systematic review provides an overview of the current evidence base of youth psychotherapeutic interventions for mood disorders. Discussion of findings will emphasize the importance of personalizing psychotherapy treatment to target effectively mood disorders in YP. 30-60% of all depressive disorders show signs of resistance to treatment, which is an additional burden in the socio-economic aspect, significantly impairs the quality of life of patients, is the cause of disability and social maladaptation of depressed patients. To identified biological and psychosocial predictors of treatment resistant depressive disorder (TRD). Based on comparative socio-demographic, Clinical and patho-psychological, psycho-diagnostic, laboratory biochemical and neurophysiological analysis 187 patients with TRD were examined. Neurochemical studies have shown that in TRD marked imbalance for prooxidant and antioxidant systems with upward last one, also infringement mechanisms of active transport of Na into the extracellular environment, which is a marker of violation of the integrity of cells and their subsequent damage. Neuroimunological research in TRD showed significant disregulation systems, cellular and humoral immune deficiency with the appearance of activity. The predominance of rhythm changes in brain structures in the right hemisphere, expressed interhemispheric assymmetry that preferentially localized in the frontal and parietal lobe of the right hemisphere, reducing synchronization signals in the frontal, parietal and central temporal cortical areas with potentiation reduce integration in both hemispheres was identificated as neurophysiological predictors for TRD pathogenesis. Non-adaptive coping variants prevalent in patients with TRD, the result is a lack of medical compliance (48.3% of cases with TRD), which creates additional difficulties in treatment of such patients. The principles and components of a complex treatment system for TRD were defined. The implemented system showed positive clinical dynamics, changes in social functioning and quality of life in patients with TDR Vasopressin is involved in the regulation of the HPA axis through vassopresin 1a (V1a) and 1b (V1b) receptors located in the limbic system, and this axis is a key structure in the regulation of social behaviors and response to stressful stimuli. To assess the level of evidence in favour of V1b receptor effects in Clinical and preclinical models of psychiatric disorders. A search of major electronic databases (Cochrane, PubMed, PsychInfo, EMBASE) was performed, using keywords “vasopressin type 1b receptor”, “major depression”, “anxiety disorders”, and “psychiatric disorders”. Also, the database clinicaltrials.gov was questioned using the same keywords. ABT-436 is a V1b receptor antagonist that was investigated for major depression and showed positive results, while the tolerability was good overall, main adverse events being nausea, decraesed systolic blood pressure, increased heart rate. HPA attenuation was observed during this trial with ABT-436 after 7 days. A single-dose interaction study with ABT-436 was conducted in moderate alcohol drinkers and no significant interaction was detected between the two substances. TASP0233278, TASP0390325, V1b-30N, and SSR149415 have exerted anxiolytic and antidepressant effects in several preclinic models of depression and anxiety. Also, V1b receptors antagonists have been explored for the treatment of aggressive behaviors and stress-related disorders in preclinical models. Antagonism of the V1b receptors is a promising therapy for affective, anxiety, stress-related and substance-related disorders, but most data are derived from preclinical trials and more research is needed before considering it a clinically valid option. The author was speaker for Servier, Eli Lilly and Bristol-Myers, and participated in clinical trials funded by Janssen Cilag, Astra Zeneca, Otsuka Pharmaceuticals, Sanofi-Aventis, Sunovion Pharmaceuticals. Depression is recognized as a major public health problem that has a considerable impact on individuals and society. For treating depression, antidepressants are the most popular choices. However, their undesirable side effects and delayed onset of therapeutic action are still raising concerns. The number of studies investigating the effectiveness and adverse effects of acupuncture in treating depression has increased gradually in the past decades. However, as most clinical studies or reports were published in Chinese-language journals, various acupuncture methods and their effects remain unknown for the western world. This article aims to provide a brief review of acupuncture and its application in the treatment of depression in China. This research selected and reviewed some representative studies towards acupuncture appliaction in the treatment of depression in China. Many systems of acupuncture including manual acupuncture, electroacupuncture, moxibustion, could be used to treat depression and proved to have achieved good clinical results. Electroacupuncture had an advantage in improving some factors score than manual acupuncture. Combining acupuncture and antidepressant for the treatment of depression could have a better effect than antidepressants alone and reduce side effects produced by antidepressants. Acupuncture could also reduce the recurrence rate of depression. Auricular,abdominal, and scalp acupuncture combined with body acupuncture was more effective than each of these methods alone for treating depression. We believe more advanced clinical studies with reliable experimental design and rigorous data analysis methods are needed to further evaluate the effectiveness and adverse effects of acupuncture for the treatment of depression. Perinatal depression refers typically to women as to the most recent episode of major depression if the onset of moods symptoms occurs during pregnancy or in the 4 weeks following delivery, according to the DSM-5:F32.9; and, as a syndrome associated with pregnancy or the puerperium (commencing within about 6 weeks after delivery) that involves significant mental and behavioral features, following CIE11:6E20.0. However, what happens with new fathers? Expose justification and possible diagnostic criteria for paternal postnatal depression. Systematic search and literature review. Depression in fathers in the postnatal period is associated with later psychiatric disorders in their children, independently of maternal postnatal depression. Strikingly, the transition to parenthood is associated with a marked deterioration in marital quality. Besides, the correlation between paternal and maternal depression was positive and moderate, which, often harms the parental-infant relationship. Depression in new fathers occurs most frequently between 3 to 6 months after birth and the meta-estimate is up to 26 % in that period. Some depressive symptoms are similar between mothers and fathers, nevertheless, men feel less able to cry and manifest vulnerability norms, and instead express externalizing depressive symptoms like anger and irritability, in contrast to the internalizing symptoms more common among women. Furthermore, there are some specific features of “the paternal brain”. The recognition of paternal postnatal depression will allow suffering fathers to be visible both clinically and socially, which will allow the implementation of specific prevention and treatment strategies for the benefit not only of them but of the whole family. Depression and alcohol use disorders (AUD) have a negative impact on health-related quality of life (HRQOL) in general population. However, research on the association of comorbid AUD and HRQOL among clinically depressed patients is scarce. The aim of this study was to explore the change in HRQOL among specialized mental health care depressive patients who typically have various concurrent psychiatric disorders. The focus was in the impact of comorbid AUD on improvement of HRQOL in this sample. The study population (n=242) scored at least 17 points in Beck Depression Inventory at baseline and did not suffer from psychotic disorders. Those with baseline Alcohol Use Disorders Identification Test (AUDIT) > 10 were categorized as AUD group (n=99, 40.9%). Treatment intervention comprised behavioural activation for all and additional motivational interviewing for those with AUD. HRQOL was assessed regularly during 24-months follow-up by 15D questionnaire. AUD and non-AUD patients were compared and the factors explaining 15D score were analyzed. 15D score improved in the whole study population during the first year of follow-up (improvement 0 - 6 months, p<0.001; 6 - 12 months, p=0.001). A difference between AUD groups was found only at 24-months follow-up point when mean 15D score in non-AUD group was better (p=0.002). In linear mixed model for 15D the changes were better explained with other factors than comorbid AUD. The treatment intervention was successful in terms of improvement in HRQOL regardless of the comorbid AUD. Depressive disorder is a common psychiatric illness in medical students. The high risk of depressive disorders in the medical students may result from various factors. Since the depression could lead to low academic achievement, low quality of life and suicidality in the medical students, identification of risk factors for depression is beneficial. This study aims to determine the prevalence and associated factors of depressive disorder in the preclinical medical students of Chiang Mai University, Thailand. This cross-sectional study was conducted in the preclinical medical students of Chiang Mai University in October 2018. Basic characteristic data and potential risk factors of depression were gathered. Additionally, depressive disorder was evaluated by using the 9-items-patient health questionnaire. Analysis of multivariable ordinal logistic regression was used to identify the independent association of variables with depression. The study found that the prevalence of depressive disorder in preclinical students was high (19.9%). The factors that significantly associated with depressive disorder among those medical students consisted of performing activity alone or not attending any activity; having underlying medical illness; high self evaluation on stress; stressors resulted from family members; and solving the problem by running away, aggressive behavior, and nightlife outing. However, playing sport in leisure time could reduce risk of depressive disorder. According to these findings, prevalence rate of depressive disorders among preclinical medical students is high. Consequently, identification of the risk or protective factors may be beneficial in those medical students. However, further well-designed study may warrant these outcomes. This study received grant support from the Faculty of Medicine, Chiang Mai University and partial support from Chiang Mai University. Family studies suggest that individuals with recurrent depressive disorder have a higher genetic liability for depression than individuals with a single depressive episode. However, no study has examined the direct effects of genetic liability on the relative and absolute risks for recurrence among individuals with depression. To estimate the effects of polygenic liabilities for major depression (PRS-MD), bipolar disorder (PRS-BD) and schizophrenia (PRS-SZ) on relative and absolute risk for recurrence among first-onset, hospital treated depression patients in Denmark. We identified 14,812 individuals from the iPSYCH2012 sample (69% female, ages 10-30 at first depression diagnosis) diagnosed with depression between 1994-2011. Patients were followed from their first depression diagnosis until their first recurrence, death, emigration or December 31, 2016, whichever came first. PRS variables were trained using the most recent results from the Psychiatric Genomics Consortium and 23andMe. Relative and absolute hazards were estimated using cox regression. Patients were followed for up to 21 years (Median=6.4 years, IQR=4.6). 27.5% of the sample experienced at least one recurrent episode. There was a small but statistically significant association between PRS-MD and risk of recurrence: for each 1 SD increase in PRS-MD, risk of recurrence increased by 5% (HR=1.05, 95% CI=1.02-1.08, p=.0005). Absolute risk for recurrence increased by around 1% for each quartile of PRS-MD (Figure 1). PRS-BD or PRS-SZ were not associated with recurrence. Higher polygenic liability for major depression is associated with increased risk for recurrence among first-onset depression patients, however the impact on absolute risk is modest. Major depressive disorder (MDD) as one of the most prevalent mental disorders is still lacking therapeutic treatment methods with a short onset of action. Ketamine exhibits a rapid antidepressive effect, which is most pronounced 24h after a single infusion. Working memory (WM) impairments that play a major role in MDD appear to be positively influenced by ketamine. Neuroimaging studies have demonstrated that cognition-emotion interaction-related fronto-cingulate structures are often dysregulated in depressive patients during cognitive engagement. To our knowledge, the influence of ketamine on WM-related brain activity in severely depressed patients has not been investigated yet. In order to shed light on the underlying mechanisms we investigated brain activity levels pre and post a single ketamine infusion in a sample of 16 severely depressed patients during an emotional WM task. Our results indicate that baseline activity levels in the lateral and medial prefrontal cortex and in the anterior cingulate cortex predict symptom improvement 24 hours after ketamine. Additionally, activity changes after ketamine in the left DLPFC were linked to reduction in depressive symptoms. Interestingly, these effects were most pronounced regarding the improvement of cognitive symptoms. As the ACC and prefrontal cortex are both thought to be crucially involved in the regulation of cognition-emotion interaction and MDD mechanisms, the observed interaction might be directly linked to the neurobiological processes underlying the antidepressive effect of ketamine. Electroconvulsive therapy (ECT) is the most effective treatment for severe depression. Compared to a wealth of evidence about ECT-induced hippocampal volume increase, little is known about the effect of ECT on hippocampal functional connectivity (FC) and its association with clinical effect of ECT. To test whether the hippocampal FC changes induced by ECT were associated with clinical improvement. Resting-state functional MRI (rs-fMRI) was acquired before and after bilateral ECT in depressed individuals. A priori hippocampal seed-based FC analysis was conducted to investigate FC changes associated with clinical improvement. Depressive symptoms were evaluated using the 17-item Hamilton Depression Rating Scale (HAM-D). The analysis was conducted in the CONN toolbox, including seed-to-voxel maps as seeds, time as between-conditions contrast, and percentage change in HAM-D as between-subjects contrast. Age, sex, and baseline HAM-D scores were included as nuisance covariates. The statistical threshold was set at cluster-level false discovery rate (FDR)-corrected p <0.05 with a voxel height of p <0.001. Twenty-seven depressed individuals (67.5 ± 8.1 years old; 19 female) participated in the study. Connectivity changes between the right hippocampus and one cluster located in the ventromedial prefrontal cortex (vmPFC) showed positive correlation with HAM-D changes. Connectivity changes of the left hippocampal seed did not show any correlations with HAM-D changes. Depressive symptom improvement after ECT was associated with right hippocampus-vmPFC connectivity changes. Given previous studies investigating other antidepressant treatments, modulation of the right frontolimbic connectivity may be critical for recovery from depression regardless of treatment modality. Ciliary neurotrophic factor (CNTF) is a 22-kDa cytokine belonging to interleukin-6 family and is mainly expressed in glial cells. CNTF is neurotrophin acting as neuroprotective agent. Physiological relevance of circulating CNTF still needs to establish. There are no reports in literature regarding serum concentration of CNTF in depression. There were investigated 27 patients with MD at admission and after 30 days of antidepressant therapy (venlafaxine – 75-150 mg/day) and 11 healthy volunteers. Patient’s state was defined as depressive episode in frame of bipolar depressive disorder (type 2) (F32) and in structure of recurrent depressive disorder (F33). CNTF concentration in serum was assessed by ELISA method. Statistical analysis was performed using Wilcoxon-Mann-Whitney u-test. Difference was considered as significant at p=0.05. At admission CNTF concentration in serum of MD patients was 679.11 pg/ml of serum. It was significantly for 71.7 % higher in comparison with healthy subjects (405.96 pg/ml of serum, p=0.01). It is shown the first time in literature that depression is followed by increased CNTF level in blood serum. After 30 days of venlafaxine therapy there were found no changes of CNTF concentration in blood serum; it was on the level characteristic for patients at admission. CNTF cannot reveal its neuroprotective functions in brain because of immediate leakage through damaged blood-brain barrier in blood stream. In 2018, Ahmad and co-workers reported that an RDoC-inspired anxious depression (AD) subtype derived from the Hamilton Depression Rating Scale (HDRS) significantly predicted remission in antidepressant treated subjects participating in non-placebo-controlled studies in major depression. To investigate (1) whether the association replicated in antidepressant-treated patients participating in placebo-controlled studies, and (2) if it would be present also in placebo-treated patients We conducted a pooled, post-hoc analysis of 4832 patients who had completed six weeks of treatment with a selective serotonin reuptake inhibitor or placebo. AD was defined according to the criteria proposed by Ahmad and colleagues. Logistic regression was used to assess the three outcomes treatment failure, response and remission. All outcomes were assessed by both the full 17 item HDRS and the unidimensional HDRS-6 subscale. We first assessed whether there was an interaction between treatment and AD for any outcome parameter on either outcome measure. If there was no interaction, we conducted follow-up analyses stratified by treatment. There were no interactions between treatment and AD for any outcome on either outcome measure. The AD subtype did not significantly predict any outcome on either outcome measure in the stratified analyses. The association between HDRS-defined AD and remission reported by Ahmad and co-workers was not replicated. This could be due to differences in trial design, e.g., placebo-controlled vs non-placebo-controlled, 6 week vs 8 week trial duration, etc. Nonetheless, in this population, the AD subtype was not a useful predictor of treatment outcomes. The morbidity of major depressive disorders (MDD) is not related only to affective changes but has many social and functional aspects and the indicators of their evolution are expressed in terms of quality of life (QOL). Our objectives were to evaluate the QOL of euthymic patients with MDD compared to healthy controls (HC) and to identify factors associated with its impairment. This is a comparative and analytical study, conducted over 3 months, involving 30 euthymic patients with MDD, who were followed up in the outpatient psychiatry Department of Hedi Chaker University Hospital in Sfax (Tunisia). They were compared to 34 HC. General, Clinical and therapeutic data were collected using a pre-established questionnaire. QOL was assessed with the «36 item Short-Form Health Survey» (SF-36). Relative to HC, patients with MDD had decreased overall SF-36 scores (50.88 vs 73.78; p<10-3) and decreased physical and psychological subdomain scores (p <10-3; p <10-3). The study of the dimensional average scores of QOL via SF-36 and different variables revealed correlations between; impaired physical functioning and advanced age (p=0.026), impaired vitality and hospitalization frequency in psychiatry (p=0.047), physical health problems and psychotropic association (p=0.05), emotional health problems and poor adherence to treatment (p<10-3), and impaired global QOL and widowhood and divorce (p = 0.03). QOL in the MDD is impaired even in the remission phase. This result encourages us to conceive the patient in his entire life not only from the angle of the disease alone. depression, anxiety and somatization are closely related to each other and are a serious public health problem. to study various somatic complaints of cardiological inpatients (CIP) to assess their severity in major depressive disorder (MDD) to assess the relationship between somatization and anxiety. A cross-sectional study was conducted on 127 inpatients of the cardiology department also underwent HADS, SHAPS, and VAS to assess depression, anxiety, and pain. We compared the frequencies of standardized somatic complaints in inpatients without D (n = 58) and with MDD (n = 27). a marked increase in standardized symptoms with MDD (Tabl.). It’s probably not somatic conditions. Tabl.\nNSymptomsWithout DWith MDDP1Backache18 (31,0%)18 (66,7%)0,0022Pain in the neck, shoulder16 (27,6%)15 (55,6%)0,0123Abdominal pain5 (8,6%)6 (22,2%)0,0844Headache21 (36,2%)16 (59,3%)0,0395Fatigue27 (46,6%)20 (74,1%)0,0156Diarrhea1 (1,7%)0 (0,0%)0,6827Constipation6 (10,3%)11 (40,7%)0,0018Other8 (13,8%)0 (0,0%)0,0399Feeling of heaviness in the chest16 (28,1%)12 (44,4%)0,10810Insomnia15 (25,9%)16 (59,3%)0,00311Loss of appetite3 (5,3%)7 (25,9%)0,01012Intensive pain3,0 (1,0; 5,0)5,0 (4,0; 7,0)0,000513Ahgedonia2,0 (0,0; 3,0)4,0 (2,0; 7,0)0,000114Anxiety7,0 (4,0; 9,0)10,0 (8,0; 12,0)0,0001 Conclusion: in patients with cardiovascular disease MDD is combined with dificult somatization and anxiety. Assessing the quality of life of patients with various mental disorders allows us to identify the greatest risks of the disease, therefore, choose the best methods for its treatment and rehabilitation. For patients with eating disorders, many questions about their quality of life remain open. To establish quality of life parameters for patients with eating disorders, this study was conducted. The study of 130 female patients with Anorexia nervosa (AN), and bulimia nervosa (BN) at the age of 13-44 years (average age is 18). The disease duration from 6 months to 24 years. Non-specific questionnaire to assess life quality, created on the basis of the WHO methodology (SF-36). The following regularities of the evaluation of physical (PH) and psychological (MH) health components are established. The reduced PH value is identified in 26,92% of patients; the average PH value in 65,38% of patients; the increased PH value in 7,69% of patients. The low MH value is identified in 26,92% of patients; the reduced MH value in 53,08% of patients; the average MH value in 20% of patients. High value of life quality on physical and psychological components is not registered. AN and BN are associated with a low quality of life for patients in the field of physical and mental health, as well as with poor social functioning. These data confirm the thesis about the need for timely and active treatment and rehabilitation measures in relation to this patient population. The publication was prepared with the support of the “RUDN University Program 5-100”. Anorexia nervosa is a widespread disease that occurs more often in adolescence and adolescence. Anorexic syndrome can be observed in schizophrenia and schizophrenic spectrum disorders. To describe the manifestations and identify patterns of anorectic symptoms in pseudopsychopathic schizophrenia and schizotypal disorder. 200 patients with anorexia nervosa (150 women and 50 men), mainly of adolescent and youthful age, were comprehensively studied. The Research Methods: clinical-and-psychopathological, catamnestic, psychometric and statistical methods. Along with symptoms of anorexia nervosa, schizotypic disorder was revealed in 115 patients, and pseudopsychopathic schizophrenia was revealed in 85 patients. Anorexia nervosa was a manifest syndrome of the underlying disease in 80% of patients; anorexia syndrome appeared with pre-existing manifestations of schizotypal disorder and pseudopsychopathic schizophrenia in 20% of patients. The patients had delusional beliefs of having excess weight. The motives for weight loss were not considered dysmorfofobic, but rather delusional hypochondriac or nonsensical ideas of self-improvement. The negative manifestations of the underlying disease increased relatively slowly. Doses of antipsychotic medications depended not only on the clinical presentation of the underlying disease, but also on the degree of exhaustion due to anorectic behavior. Anorexia nervosa syndrome is more often manifest in schizotypal disorder and pseudopsychopathic schizophrenia. Anorexic symptoms differ polymorphism and undergoes typical dynamics of the underlying disease. The publication was prepared with the support of the Peoples' Friendship University Program 5-100. Coprophagia is a relatively rare phenomenon characterized by the ingestion of feces, and it is usually classified as a rare form of pica. It has been associated with multiple organic causes or mental disorders such as brain tumors, alcoholism, mental retardation, dementia, schizophrenia, depressive disorders or fetishism. Case report and reflection on its etiology. A Pubmed search was performed with the MeSH terms “Coprophagy” and “pica”. Relevant articles obtained from the respective bibliographic references were also consulted. A 56-year-old man with a history of psychiatric follow-up with a diagnosis of schizophrenia and cognitive impairment, assessed for behavioral changes such as cat feces intake. After possible organic causes were excluded, treatment with supportive psychotherapy and pharmacologically began with a selective serotonin reuptake inhibitor, fluoxetine, along with treatment for schizophrenia with haloperidol and risperidone. According to literature, coprophagia often occurs associated with other medical or neuropsychiatric conditions. Although the etiology, pathophysiology and management remains unclear, several pharmacologic treatments have been attempted with some degree of success. We describe a case of unusual behavior, coprophagia, associated with cognitive impairment and schizophrenia that responded favorably to fluoxetine although without complete remission, in order to contribute to a future nosological redefinition. Study wants explore, through rorschach test, with Exner method, salient statistical variables useful to differentiate and compare different DCA in comorbidity with obesity, but also to outline clearly a plan for diagnosis, intervention and prognosis, more functional to possible bariatric surgery; in line whit the guidelines of SICOB. Within a larger sample of afferent at the psychodiagnostic and neuropsychological clinic, and obesity surgery of AOU Federico II of Naples, the study was conduced on a selection of 70 subjects, suffering from severe obesity and associated eating disorder.For exploratory purposes, of assesment was considered only rorschach test, according to the Exner methodology. Data emerged from study of structural summaries and constellations, shows: coping style characterized by intense emotional fluctuations, which interfere with the activity of thought, attention and concentration in decision-making processes (M=0 WSumC>3,5) and therefore oriented for 55% of subjects to extratension and for the rest to ambitendency (M= WSumC) Low suicidal risk (S-CON <8) general poor ability to make decision and carry out actions aimed at dealing with internal or external demands, associated with organizations of unripe personalities, with a tendency to avoid complex situations and poorly capable of interpersonal relations (D<0 ; Adj.D -1 ; CDI>3; Lambda>0.99) elevation of key variable CDI (>3) indicate possible social incompetence, interpersonal problems and ineffective coping; DEPI (>5) indicates a depressive trend and a greater clinical interest in affective area; DEPI & CDI, with activated simultaneously indicate the presence of mood disorder related to interpersonal relationships and general demoralization. Young ultra-Orthodox women in Israel have been faced in recent years with a greater risk of developing disordered eating, as they are more exposed to Westernized norms of the thin-body ideal, self-realization, and personal choice. Most are treated by mainstream Israeli psychotherapists who likely have different value systems and different perspectives on the nature of illness, aims of treatment, and recovery. Ultra-Orthodox psychotherapists may well experience a conflict between a need to be loyal to their patients and a concomitant need to honor the values of patients’ families and the community from which they come. The current article presents a theoretical background and four case studies highlighting the complexities and controversies inherent in the treatment of these women. Theoretical background and four case studies highlighting the complexities and controversies treating these women. The description of the four cases suggests that young Ultraorthodox Jewish women may develop disordered eating because of conflicts that are specific to their own society, but that may simultaneously result from their growing exposure to mainstream Israeli Westernized norms. Solution of these conflicts may assist in improving the disordered eating symptoms, yet put these young women in a dispute with their families and their community at large. Both ultraorthodox and secular psychotherapists treating Jewish Ultraorthodox women with disordered eating must be knowledgeable in both Judaism and psychology. They must also be flexible, creative, and emphatic to both the patient and her family and community, to arrive at a compromised definition of recovery that can be accepted by all parties concerned. In México obesity rates have been increasing in the last years. Food addiction (FA) has been considered a factor that could explain processes or behaviors associated with obesity. The aim of this study was the identification of risk patterns of FA and it association with other variables in healthy Mexican population. We hypothesized that a higher risk of FA will be higher levels of impulsivity, emotion dysregulation, and emotional and external eating styles. The sample consisted of 81 female (61) and male (20) volunteers universitary students from Pachuca city in México, with an average age of 20.0 years old (SD = 1,7). The questionnaires EDI-2, YFAS 2.0, DERS, UPPS-P, and DEBQ were applied. Figure 1: Radar-chart (z-standardized means are plotted) (n=81) Three groups were defined by the FA severity (Figure 1). The presence of FA was more strongly associated to higher scores in the three DEBQ scales, in the DERS impulse control, emotion regulation and total score, and in the UPPS-P lack of premeditation and negative urgency. Compared with the group without FA, the FA-probable scoring was related to higher levels in the DEBQ external and restrained scales, and in the DERS total; FA-probable group also registered the highest mean score in the DERS non acceptance scale compared with the other groups. To our knowledge, this is the first study that explores FA in Mexican population. Considering that, the identification of different patterns of FA that could be associated with obesity, could lead to better prevention and treatment approaches. The present work was supported by a grant to the presenter author from the Mexican Institution: \"Consejo Nacional de Ciencia y Tecnología\" (CONACYT). As a requirement for a bariatric surgery, a multidisciplinary team must explore and evaluate each patient in order to ensure that candidate has not any psichopatological condition or a low knowledge or motivation that became a contraindication. The purpose of this study is to know if the motivation index built from ACTA subscales is an adecuate tool to evaluate potential bariatric surgery patients This is a restrospective observational study. All patients evaluated for bariatric surgery were revised and two comparation groups were conformed. One with approved patients and other with rejected ones. We compared the different values of test applied and we built a motivation index using the ACTA subscales in order to find if it was able to discriminate between both groups. The motivation index can be obtained adding the action plus the mantainance score and deducting the contemplation and the precontemplation scores. The comparison between groups was done using a t-test. 145 patients were evaluated for bariatric surgery, ranging in age from 26 to 64 years with a mean age of 44,88 +/- 9,53. From those, 104 were aproved for this surgery, while 41 were denied. The motivation index mean in the aproved group was 26,28 while it was 12,80 in the denied group. This differences is statistically significant (p>0'001) The motivation index has a lower score in patients that have been denied to surgery, regardless of other patients' diagnoses. Medical education is intended to give future professionals knowledge about health care, which can be applied to them as well. How justified are expectations concerning eating behavior? The research goal is to explore prevalence, intensity and interconnections of disordered eating behavior manifestations in junior medical students. Using the Eating Disorder Inventory (EDI) and Skugarevsky & Sivukha’s Body image questionnaire, we surveyed 101 male and female 1-2 year medical students (mean age 19.9). Every second student out of three (66.3%) showed medium or high level of drive for thinness, every second (48.5%) revealed signs of bulimia, with all the surveyed demonstrating dissatisfaction with their body. High level of drive for thinness and bulimia was noted in every tenth (9.9%) and every sixth (18.8%) accordingly. All of them were female. Every third of the surveyed students (31.6%) showed also a high level of perfectionism, every second (56.4%) – interpersonal distrust, every sixth (17.8%) – interoceptive awareness. Every third revealed a high level of dissatisfaction with their appearance (34.6%), every second showed a medium level of such dissatisfaction (48.5%). At the same time, body image dissatisfaction directly correlated with drive for thinness (p<0.05) and bulimia (p<0.05). Medical students, more often females, have higher risks of developing eating behavior disorders. Trying to comply with the imposed standards of successfulness and beauty, being dissatisfied with their body image, they attempt at strict control of their meals. Knowledge of medicine acquired in their first two years of study does not always prevent this. Body mass index (BMI), in overweight and obese individuals, have been associated with sedentary habits, unhealthy use of internet, eating disturbances, sleep difficulties, and psychological distress. To investigate the association between BMI and internet use patterns and problematic use, eating disturbances, sleep difficulties, and psychological distress among Portuguese university students 456 students (76.9% females; mean±SD age=20.30±1.90 years old) fulfilled a questionnaire that include questions on sociodemographic data, internet use patterns, eating habits during internet use, the Portuguese version of the Generalized Problematic Interne Use Scale 2 (GPIU), the Eating Attitudes Test 25, the Depression, Anxiety, Stress Scale 21, and the Basic Scale on Insomnia Complaints and Quality of Sleep (BaSIQS). BMI mean score was of 22.01 (SD=2.91, range 15-35), underweight were 6.1%, normal weight 81.1%, overweight 10.7% and obese 2%. Significant correlations were found between BMI and individual’s perception that online activity’s impair the quality of their interpersonal relationships (r=.104, p<.05), consume of sweet/salty/ starchy foods during online activity´s (r=.107, p<.05), global eating disturbances (r=.174, p<.01), diet concerns (r=.301, p<.01), bulimic behaviours (r=.204, p<.01), social pressure to eat (r=-.430, p<.01), psychological distress (r=.114, p<.05), stress (r=.101, p<.05), anxiety (r=.128, p<.01). None of the GPIU and BaSIQS total and dimensions scores were significantly related to BMI. The results do not support the association between students BMI and internet use patterns and problematic use. The kind of food consumed during online activity´s, eating disturbances and psychological distress should be addressed by intervention strategies for overweight students. Hereditary alcoholism of parents was noted in 29% of patients. Regular alcohol abuse was rather normative in 71% of patients’ fathers, while being raised with an insufficient father role model (61% of patients with ED). The aim of the study was to investigate the role of alcoholism in the formation of eating disorders. The etiological role of parental alcohol abuse in the development of ED has also been confirmed by the analysis of the terms of conception and duration of pregnancy in mothers of the patients. There was found a statistically significant (p < 0.01) prevalence of conception periods attributable to culture-mediated periods of mass alcoholism in Russia: a decade of New Year celebrations as well as the period of summer holidays. The prevalence of alcoholism among patients in the study group was 13% (16 cases) with a catamnestic follow-up duration of more than 5 years, while the prevalence of alcoholism in patients with bulimia nervosa was 3.2 times greater than that of anorexia nervosa. The patients’ subjectively marked change in the attitude towards alcohol intake is noteworthy: with prolonged restriction in food and low body weight, more than half of patients noted the appearance of cravings for alcohol, while before the onset of the disease, anorexia nervosa and bulimia 92 (77%) patients experienced a neutral or negative attitude towards alcohol, felt unpleasant consequences when taking even small doses of low-alcohol drinks, noted \"body intolerance to alcohol\". The publication was prepared with the support of the “RUDN University Program 5-100” 120 patients were divided into 3 groups: 1) with frequent psychogenic vomiting; (ICD-10 F50.5 n=30) 2) with severe depletion due to the prolonged persistent refusal of food with episodes of induced vomiting to lose weight (ICD-10 F50.0 n=40) 3) with Bulimia Nervosa (F50.2 n=50). The aim was to assess the functional state of catecholamine system patients with ED. The high-performance liquid chromatography was used. Laboratory studies have identified a marked reduction in the number of excreted free catecholamines in patient’s groups 1 and 2 (noradrenaline 0.8 ± 0.1 ng/min; adrenaline 0.5 ± 0.1 ng/min; dopamine 10.1 ± 0.26ng/min), that coincided with the indicators of severe asthenic depression. In the third group, there was a marked increase in dopamine excretion (1147.8 ± 189 ng/min) during the period coinciding with the withdrawal in varying circumstances, that reached normal levels by the twentieth day of treatment (169.5 ± 7.5 ng/min). The normalization of the aforementioned marker confirms adherence to dietary plans, which is diagnostically relevant in the cases of dissimulation and obstinate attempts to continue binge-eating and purging. The obtained data also indicates the active participation of catecholaminergic systems of the brain and its midline structures in the formation of the ED. The publication was prepared with the support of the “RUDN University Program 5-100” The seventh art has helped Psychiatry in different ways throughout its history. First to train their professionals through productions specific to them and restricted to the field of training. Then in the field of psychoeducation of patients, starting to use parts of commercial films. Subsequently, therapists have used some sequences in psychotherapy and group sessions, to point out certain topics and emotions. Now some psychotherapeutic groups focus on the group viewing of a complete film as an emotion catalyst experience. Review of the available bibliography and describe the group cinematherapy program that takes place at the Day Hospital for patients with eating disorders at the Mostoles University Hospital in Madrid. Bibliographic search on PUBMED and EMBASE databases with the following terms: \"motion pictures\"[mesh] and \"mental health/therapy\"[mesh]. Description of our program. 18 results were found on bibliographical research, 2 of them on Eating Disorders. In practice, the use of an external story allows the patient to project in a character their own narrative. That makes easier to explore feelings and relations. We experienced that the metaphors that are worked in the cinematherapy group are used in other settings of therapy. The group also strengthens the link between patients and therapists by being a more relaxed space in which the film acts as an intermediary in therapy. Cinematherapy groups are useful in working with patients with eating disorders at the day hospital. Further investigation is required to measure the impact of cinematherapy groups on eating disorders symptoms. The hormonal and physiological changes that occur during pregnancy, influence the diet of the pregnant woman Identify pregnant women at risk of developing eating disorders (ED). This is a cross-sectional descriptive study conducted at the consultation of the gynecology and obstetrics department University Hospital Center among 62 pregnant women. We used an information sheet on participants' socio-demographic and clinical data as well as the Sick, Control, One Stone, Fat, Food Screening (SCOFF) questionnaire to screen for the potential presence of ED. The average age of the participants was 29.7 years old. In our study, 29% had a positive SCOFF score before pregnancy. During pregnancy, this score was positive in 43.5% of women with no significant difference. The question of getting sick when feeling full, and question number 2 about the loss of control over the amount of food consumed were the most cited items. We found a low rate of positive response to item3 regarding weight loss since pregnancy. Mean weight and BMI, before pregnancy, were higher in women at risk for eating disorder. The maximum weight variation since pregnancy was not significantly significant between the two groups. The ED was correlated with the absence of professional activity (p = 0.02). There is no significant difference concerning pregnancy complications (p = 0.1). The number of female smokers was higher among women at risk for ED both before and since pregnancy, but this difference was not significant (p = 0.1). Several physiological and psychological factors contribute to the appearance of ED. Night Eating Syndrome (NES) is an important although not frequently reported eating pathology defined by recurrent episodes of nocturnal eating and extensive food consumption after the evening meal (more than 25% of the overall food intake). To monitor the evolution of three patients diagnosed with NES during their pharmacological treatment for 6 months. Three patients who were diagnosed with NES, evaluated monthly using Night Eating Diagnostic Questionnaire (NEDQ) revised, Global Assessment of Functioning (GAF), Clinical Global Impressions-Severity (CGI-S) and body mass index (BMI), received treatment with sertraline 200 mg/day (one patient) and fluoxetine up to 60 mg/day (two patients). All patients presented full syndrome night eater according to the NDEQ-revised at baseline. The first patient was 40-year old and had a favourable evolution with significant changes in GAF, CGI and BMI after 3 months of treatment, and the symptoms remitted after 6 months. The second patient was 29-year old and presented a more fluctuant trend of NES core symptoms, reaching the level of mild night eater after 6 months of treatment. The third patient also had an oscillant evolution, but she reached the level of remission after 6 months. The mean BMI value dropped with 15.6% compared to baseline, and the GAF and CGI-S improved with 35% and 52%, respectively. Sertraline and fluoxetine may be useful therapeutic choises in patients diagnosed with NES, but the doses needed are relatively high and the patients require close monitoring through validated clinical instruments. The author was speaker for Servier, Eli Lilly and Bristol-Myers, and participated in clinical trials funded by Janssen Cilag, Astra Zeneca, Otsuka Pharmaceuticals, Sanofi-Aventis, Sunovion Pharmaceuticals. Therapeutic Drug Monitoring (TDM) has several indications in psychiatry including patients with physical comorbidities, suspected non-compliance, severe adverse effects and tailored pharmacotherapy. Antidepressants (AD) are frequently prescribed in patients with Eating Disorders (ED) to reduce binge-eating and compensatory behaviours or to treat comorbid depression and anxiety. TDM by means of minimally-invasive biosampling approaches may represent a useful tool in this population, considering the limited efficacy of ED’s pharmacological treatment and the high rate of adverse effects. Nineteen ED outpatients on AD treatment with a Body Mass Index (BMI) <20 kg/m2 or >30 kg/m2 agreed to take part in the present study. Participants were treated with Sertraline (N=5), Fluoxetine (N=5), Vortioxetine (N=5), Citalopram (N=2), Escitalopram (N=1), Fluvoxamine (N=1). Oral fluid samples were collected from patients, together with whole blood dried microsamples, obtained by finger puncture using Volumetric Absorptive Microsampling techniques. Preliminary results showed a significant correlation between plasmatic and salivary concentrations for Vortioxetine only; moreover, extreme BMI did not seem to significantly influence the AD’ plasmatic concentrations, when corrected for dosage. Further analyses may permit to validate for the first time the use of these recent microsampling procedures for AD treatment. By increasing the population size, we aim to demonstrate that TDM may represent a valid tool to better understand the limited efficacy of AD in ED patients. Minimally-invasive biosampling approach is well tolerated in patients with belenophobia and, in our experience, is highly appreciated by all patients: it may represent in future a valid support for Precision Medicine. Eating Disorders(ED) are one of the psychiatric pathologies that cause the greatest morbimortality. Different studies have shown that early diagnosis and intervention achieve higher recovery rates and reduce long-term complications. The aim of this study was to analyze medical consultations carried out in the year prior to the diagnosis of an ED and the possible undetected prodromal symptoms. For this purpose, 99 patients (94.4% women; 5.1% men) between ages of 15 and 25, treated during 2014-2018 in the ED Unit, were selected. They were compared with a control group of 60 healthy people. Their primary and specialized care medical records were both studied retrospectively: Consultations related to weight variation. Changes in analytical data. Psychological symptoms. Gynecologic symptoms. Unspecified symptoms such as digestive discomfort. Malnutrition. Upon analysis, it is concluded that most of the patients, before being diagnosed, attended different consultations, generally Primary Care, with an average of 2.84 visits. 87.6% of them attended a primary, specialized or emergency care consultation in the year prior to being treated compared to 67.2% of the controls (p = 0.002). 58% of the patients compared to 16.40% of the controls consulted for symptoms related to suspected ED(p 0.000). There were significant differences regarding the control group in the type of consultation. They consulted for psychological symtoms (22.8% of consultations), menstrual irregularities (19.3%of consultations ), variations in weight (14%) and analytical changes(8.8%). These findings underscore the importance of professionals knowing how to identify the warning signs of an ED so they can refer patients to a specialized unit. Eating disorders are pathologies frequently described in young white women, generally of high socioeconomic status. Among the factors associated with a poorer progression of the disease is a delay in the identification and onset of treatment. The aim of this work was to study the socio-demographic profile of patients diagnosed with an Eating Disorder, according to DSM-V criteria, who came in to receive their first treatment at a specialized unit. At the same time, the aim was to compare two time periods differentiated by the establishment of an early detection and referral program. A total of 187 patients seen consecutively after referral to the Eating Disorder Unit were selected, ninety-nine from March 2010 to March 2011 (time period 1), and 88 from September 2014 to February 2015 (time period 2). Among the findings, the presence of a significantly lower socioeconomic status among patients studied in time period 2 stands out. At the same time, a significant reduction in the time without treatment was observed in time period 2 compared to time period 1, after the establishment of the early referral protocol. The predominance of patients belonging to social strata significantly lower than expected could correspond to a change in the type patient, demonstrating the wide distribution of these disorders today. Furthermore, decreasing the time without treatment could be a key measure to improve the prognosis of patients. Little is known about the efficacy and safety of forced tube feeding in patients with life-threatening anorexia nervosa. Our aim is to investigate weight gain and complications during forced treatment in anorectic patients with a BMI < 13 kg/m2. Anorexia nervosa is a serious psychiatric condition with high mortality rates. When health becomes seriously endangered and the patient refuses to take necessary foods, involuntarily treatment is sometimes necessary to prevent serious morbidity and mortality. However, little is known about functional outcomes and complications. 12 patients with serious anorexia nervosa (BMI < 13), somatic complications and not able to take sufficient nutrients on a voluntarily basis received forced tube feeding under the Dutch mental health act. Weight was measured three times a week and weight targets and nutrition policy were determined accordingly. When patients reached the intended BMI, they were motivated to continue tube feeding on a voluntary basis and oral intake was introduced. During hospitalization all patients were able to gain the weight necessary to complete the treatment plan. Complications during treatment were hypothermia, pneumonia, hypoglycemia and intensieve care admission. After discharge at least two of the patients died. Factors relevant to positive outcome were a short duration of illness and a younger age. Forced feeding in life-threatening anorexia nervosa is somatically safe, feasible and results in weight gain. On the short term it is life-saving. Further research should focus on the longer term effects of compulsory treatment and identify patient characteristics that predict chances to profit by forced feeding. Despite psychosis and anorexia nervosa are distinct disorders, they have complex relationships that carry clinical challenges. To present a case report and review the literature about the relationship between anorexia nervosa and psychosis. Clinical interviews and records were used to build the case report. A review of the literature was performed in Pubmed, using the query “anorexia nervosa AND (psychosis OR schizophrenia)”. A female patient with 18 years old was evaluated in the emergency department due to frank weight loss, and was admitted into our inpatient unit for further diagnostic investigation.At the initial assessment she was inattentive, with anxious mood, presented disorganized speech with loose associations, insomnia and food restriction;her body mass index was 15 and she'd amenorrhea.Because of the disorganized speech and possible though disorder we couldn’t initially evaluate body image and fears about gaining weight.We started risperidone and in few days the patient presented normal speech and behaviour and started eating normally, gaining four kilograms;she denied any concerns about weight or body image.In the view of the clinical evolution, the diagnosis of psychotic episode was made.We interpreted the months before hospitalization as a prodromal phase with anorexic-like symptoms, with the food restriction contributing to the clinical picture.The published literature highlights the complex relationship between anorexia nervosa and psychosis, the difficulty in recognizing which one is primary and which is comorbid and the factors that link both. The relationship between anorexia nervosa and psychosis is complex.Further studies on their shared and differential phenomenology are needed to improve diagnosis and treatment. Eating Disorders (ED) are complex and costly for patients, families, and society. Treatments of different types have shown some effectiveness for many sufferers with ED but are still far from satisfactory. Controlled efficacy studies provide evidence with internal validity but the external validity of complex treatment services is compromised. The ITA Model of Integrated Treatment of Eating Disorders (ITAMITED) combines outpatient, inpatient and day hospital adapted to every patient’s needs. To evaluate the changes occurred in patients with EDs after the ITAMITED service on the bases of a recently implemented routine outcome assessment system. A cohort of 324 ED patients who entered the ITAMITED service between November of 2017 and October of 2018 was routinely assessed with the Clinical Outcomes in Routine Evaluation (CORE) system and measures specific for EDs (e.g., EAT). Data analysis included details from the patients’ health records such as diagnosis, BMI, previous treatments, and chronicity. Changes in CORE yielded large effect sizes for both inpatient and outpatient treatment modalities, and moderate for day hospital care (figure 1). Effect sizes for EAT (figure 2) were big for inpatient treatment and day hospital and moderate for outpatient treatment. Overall, ITAMITED succeeded in improving EDs patients, especially in the inpatient facility. Day hospital care proved more effective for specific ED symptoms than for general functioning and well-being, while the inverse pattern was found for those in outpatient treatment. The effects of many more variables need to be brought into the equation to explain more detailed outcomes. Anorexia Nervosa (AN) is a serious psychiatric disorder, it may affect up to 4.2% of women during their lifetime and carries the highest mortality rates of any mental health disorder. The latest data suggest that a quarter of all people with AN fulfil diagnostic criteria for borderline personality disorder (BPD), and that a similar percentage of those with BPD have AN. This case report aims to describe a case of anorexia nervosa in a girl with BPD and to determine the prevalence and mechanism of association between AN and BPD. A patient case is presented with associated literature review. Ms. MA, aged 19, with no medical history, is a student in the secondary school. She was referred by the emergency unit for suicidal thoughts. The interview revealed, in addition to the depressive symptomatology, many criteria for BPD such as frantic efforts to avoid abandonment, interpersonal relationships instability, Impulsive and self-harming behaviour, substance abuse... Additionally, MA is on a restrictive diet with a target weight of 44 kg (previous target weight was 50 last year). The diagnosis of anorexia nervosa was retained according to DSM-5 criteria. MA was put on antidepressant treatment combined with dialectical behavior therapy (DBT) with progressive improvement noted. Psychopathological, neurobiological and endocrine models are incriminated in the association between AN and BPD It is important that clinicians are aware of the frequency with which AN occurs in association with BPD because of the severity of this combination and the need for a specific and careful management. Social Anxiety Disorder (SAD) is the most prevalent anxiety disorder and is considered to have the largest disease burden amongst anxiety disorders. Although SAD in most cases can be treated successfully with Cognitive Behavioral Therapy, only between 33% and 50% seek treatment and many patients drop out of treatment as they are confronted with elements of exposure. Can virtual reality exposure therapy with applied biofeedback provide an accessible, feasible and effective addition in the treatment of SAD? The current study is part of a large scale study that aims to develop and evaluate the feasibility and effect of a VR-biofeedback-intervention for adults with mild to severe social anxiety disorder. Initially, a systematic review of existing available data on the application of virtual reality exposure therapy with biofeedback will be performed. The current study will collect data from semi-structured interviews and surveys. Participants include a minimum of (n=10) patients and (n=5) clinicians from the Mental Health Services in the Region of Southern Denmark. Surveys include questionnaires used for assessment of anxiety symptoms, usability of technology, and presence within the virtual environment. The findings will be analyzed and discussed in a mixed methods design. Successful development and implementation of an automated virtual reality exposure therapy intervention may provide increased reach for patients and individuals who would have otherwise not sought- or dropped out of regular treatment. The proposed treatment may provide early intervention and prevent further escalation of SAD. Furthermore, the intervention may reduce time and resources spent by personnel in treating SAD. Studies have associated students from Medicine and other healthcare degrees with high levels of stress and depression. This puts at risk both their mental health and the quality of physician-patient relationship. Mindfulness-Based Stress Reduction (MBSR) program has been shown to improve psychological wellbeing and to reduce rumination; however, it seems unclear if digital programs have the same effect. To compare the effectiveness of a mindfulness smartphone app versus an adapted version of the MBSR program among healthcare students. A parallel-group, single-blind, randomised (1:1:1), controlled trial was designed. 140 students of Medicine, Nursing, Psychology and Nutrition were allocated to either the app program, the in-person program, or a waitlist. The assessment of depressive symptoms was included though the Beck Depression Inventory at baseline and post-intervention (8 weeks). 86 participants completed BDI at both times and an intention-to-treat analysis was performed. Depressive levels changed from 7.21 (SD 6.08) to 4.07 (SD 4.44) in the app group, and from 7.11 (SD 6.62) to 5.26 (SD 5.21) in the in-person group. ANOVA test did not find a significant difference for depression among the three arms. Only a tendency to significance was found for both the app and the in-person program for the reduction of depressive symptoms. Most participants presented minimum levels of depression at baseline, so a floor effect might be considered as an explanation. Future studies are needed to determine the effect of mindfulness-based programs on the depression levels of healthcare students. The goal of active aging is to promote changes in the elderly community so as to maintain an active, independent and socially-engaged lifestyle. Technological advancements currently provide the necessary tools to foster and monitor such processes. This poster reports on mid-term achievements of the European H2020 EMPATHIC project (Empathic, Expressive, Advanced Virtual Coach to Improve Independent Healthy-Life-Years of the Elderly), which aims to research, innovate, explore and validate new interaction paradigms and platforms for future generations of personalized virtual coaches to assist the elderly to reach the active aging goal, in the vicinity of their home. The team project has develop a new virtual coach that uses different intelligent technologies, and context sensing methods through automatic voice, eye and facial analysis, integrated with visual and spoken dialogue system capabilities. The virtual coach interact with the participants in a natural way through a normal conversation. It can speak about four different themes related with the nutrition, exercise, relationships and pleasant activities. We describe the current status of the project, with a special emphasis on its components and findings gained from 164 healthy seniors (older than 65 years) from three different countries (Spain, France and Norway) that have interacted with the virtual coach throughout the first 18 months of the project. The implementation of this technology can be an innovative response to the challenge posed by population aging and can be adapted to a different kinds of issues related with the mental health of elderly population. Sexuality is a biological, social and cultural construction (Barriga, 2013), and is validated in socially accepted ways of relationship. One form of sexual relationship in the virtual space is sexting, which consists of spreading sexual content by the sender himself using technological devices (Fajardo, et al, 2013). To relate sexting and sexual orientation: bisexual, heterosexual and homosexual in university with ages between 18-24 years. To relate sexting and sexual orientation: bisexual, heterosexual and homosexual in university with ages between 18-24 years. Figure 1: Average scores on the different factors of sixting by age and sexual orientation. There are no differences between the sexual orientation groups:heterosexual (1), homosexual (2) and bisexual (3) in the profiles in DAS, EES and PRS (figure 1). However, in the multiple regression analysis, the results reflect that, controlled the sex-age effect and using as reference group heterosexual orientation, M = 16.6017, this group has a lower level of DAS, M = 16.3453, although the difference is not statistically significant t = -0.518 and P = 0.605. Similarly, when discriminating the components, the differences are not statistically significant at 5%, but at 10% t = 1,732 and P = 0.08. The study allows to show transformations of relationships in the sexual experience by entering the technology of virtual space in the sexual encounter. IT is a relatively new and promising area in psychiatry and can be used to implement screening, diagnostic, treatment and prevention tools in the future if the necessary instruments are developed. Our aim was to check the ability of the short (8-color) version of the Lusher test, introduced in a mobile gaming application, to differentiate patients with affective disorders from healthy individuals and to assess the severity of accompanying symptoms. The respondents were 62 healthy individuals and 17 in-patients with a diagnosis of an affective disorder (F32) undergoing treatment. For assessing the severity of depression we used the QIDS-SR16 inventory which has high sensitivity at the lowest grades of depressive symptoms. We also designed the prototype of a mobile gaming application with the short (8-color) version of the Lusher test. We used SPSS for statistical analysis. QIDS-SR16 scores differed significantly between patients and controls (Mann-Whitney\nU, p<0,05). It turned out that grey color appeared more frequently at the 5th position (from \"most liked\" to \"less liked\" at the moment in the Lusher test) in patients than in controls (χ-square, p<0,05). People from depression group chose it as a significantly more preferable compared to healthy controls. The proportion of black color in the 6th position significantly differed between patients who were at the lowest and 2nd-lowest symptom severity measured by QIDS-SR16 (χ-square, p<0,05). Results let us propose that the short version of the Lusher test is a possible instrument to distinguish people likely to suffer from depression in the general population. As demands are increasing on traditional health services and as the online technologies for helping people with their mental health are developing fast, e-mental health is becoming increasingly important. There is a need for studies that address the population's use of e-mental health services. To provide information about a large population-based epidemiological study and how it addresses e-health. We briefly introduce the 7th version of the epidemiological Tromsø Study and particularly the e-health questionnaire and discuss its relevance in the field of e-mental health. The Tromsø Study is a large epidemiological study that has been ongoing in the Norwegian municipality of Tromsø since 1974. It contains information on a range of issues within health and illness, including topics from most medical speciailities, psychiatry and substance use. In the most recent 7th version of the study, more than 21 000 people aged 40 or above participated. The main questionnaire included ca. 300 questions, and for the first time also questions on e-ehealth use. This will give us the possibility to not only examine the importance of e-health in the Norwegian population, but more specifically to examine the relationship between mental health and e-health\nuse. Epidemiological studies such as the Tromsø Study offer the opportunity to study relationships between a range of variables, including mental health, substance use and now e-health. This will enable us to study e-health use and its relationship to mental health in a large representative sample, and to identify areas in e-mental health that should be further addressed. Offering a number of previously inaccessible opportunities to their users, smartphones have become an essential part of people’s lives. People spend more and more time with their smartphones (Kola, 2019). Behavioral problems and mental disorders do not prevent use of digital technologies (Abu Rahal et al., 2019). The study aims to assess new opportunities and after-effects that use of modern smartphones bears to people’s mental health. We analyzed the research papers presented on Pubmed database within the previous five years. The positive side of using smartphones lies in high accessibility to the opportunities of e-mental health projects. They offer a wide variety of internet-based interventions – remote diagnosis, online counselling, psychotherapy, prevention programs for different psychological problems and mental disorders. Nevertheless, the issues of standardization and quality of the offered medical assistance, its legal status and technological support still need proper regulation. Besides, not all population groups are ready and able to use e-mental health services equally actively and effectively. The negative effects include the emergence of new psychological problems, such as hallucinatory phenomena (phantom vibration and ringing syndromes), nomophobia, smartphone addiction, Internet gaming addiction, social media addiction, online paraphilia, selfitis, hikikomori, cyberbullying etc. Most of them have relation to a higher level of perceived stress, anxiety and depression. Wide spread of smartphones not only offers their users new opportunities in maintaining their mental health but also bears new risks to them. E-mental health projects need standardization, while ways and duration of using smartphones by children and adolescents need regulation. Losing a close person, because of either death or separation, is a highly stressful event, predictive of psychological and physical health problems; 10-15% of people have significant difficulties coping with these events. Guided internet interventions are effective for treating multiple mental disorders, including complicated grief. According to a systematic review, unguided internet interventions (UII) are also effective, but to a lesser degree and with more dropouts. However, recent research nuances this finding. The present study investigates which potential changes to an internet intervention, which was developed to treat complicated grief in a guided form (LIVIA 1), could boost its efficacy and adherence rate in an unguided format (LIVIA 2). LIVIA 1 was implemented in an unguided form (N = 19). We assessed participants’ satisfaction quantitatively and qualitatively. Additionally, we draw upon the literature to identify factors that could boost the efficacy and adherence of UII. About half of the participants was satisfied with LIVIA 1, and a fifth was unsatisfied. The most cited dissatisfaction reasons were the difficulty of the confrontation and the difficulty to take time for the programme. Some participants regretted the lack of interactions. Literature indicates that focusing on participants’ resources promotes positive affect and, in turn, therapeutic success. Moreover, providing automated messages boosts adherence and efficacy of UII. Finally, providing guidance towards the therapeutic goals while preserving patients’ autonomy is an efficacy predictor. We suggest several changes to implement in LIVIA 2 to increase its efficacy and adherence rate, and ultimately its diffusionin French-speaking areas. The loss of a significant person is one of the most stressful life events. It predicts negative physical and psychological health outcomes. Even if most people are able to cope with it, around 10% of people struggle to overcome this event, which can lead to psychopathological symptoms. These vulnerable people do not necessarily seek professional help; rates for professional help-seeking among widowed individuals are low (3.7-11.5%). This study aims at testing the feasibility and acceptance of an innovative psychological II for people struggling with interpersonal loss in the French-speaking population, which unfortunately, to date, has no scientifically validated II in their language. LIVIA-FR was implemented in the French part of Switzerland (N = 19). We assessed its feasibility and efficacy through a pre-post evaluation protocol where we measured psychopathological symptoms, loneliness, well-being, life satisfaction and physical health. Encouragingly, LIVIA allowed participants to reduce significantly their grief symptoms. Moreover, grief avoidance, which is a problematic adjustment strategy, was significantly reduced. However, the intervention had no significant effect on the other outcomes. We will discuss both the positive aspects as well as the weaknesses of LIVIA-FR. They will represent a base on which to develop LIVIA-FR-2, an improved version that addresses the currents gaps and better meets the participants' needs. In the last years the problem of internally displaced persons for Ukraine it has become a new severe challenge. Since October 2017 the project of Psychosocial Care for IDPs and the war affected population in Ukraine has been in place. The aim of the project is to provide professional, accessible, free for the users and fully anonymous psychosocial online care. Analysis of protocols of online counseling sessions and supervisions. Feedback from Counselors suggests that in the experience of the counselors, their relationship with a client at eye level proved to be beneficial to the counseling process. The emphasis of the project on psychosocial support provided by counselors to clients rather than mental health support provided by psychologists to patients helped beneficiaries to overcome fears of stigmatization. They appreciated the design of VBC as a short-term intervention because it focusses on clients regaining their ability to function in daily life. Clients mainly suffered from somatic symptoms of social stress, which included low self-esteem, anxiety and obsessive behavior. The online format proved beneficial because many IDPs have trust issues and preferred not to deal with social services locally when it comes to mental health problems and it was accessible from rural areas. An important part of the outreach work by the project was to destigmatize mental health problems. It was important for the service to be recommended by word of mouth in addition to outreach activities in the public sphere. Telepsychiatry (videoconferencing in mental health care provision) has been reported to be feasible in the delivery of mental health services across an array of populations. There is increasing body of evidence that videoconferencing appears to be as effective as in-person care for most parameters including feasibility, satisfaction, and clinical outcomes. Current successful Danish implementation model of telepsychiatry within public mental health system in both in- and outpatient clinics in outskirts area will be described and discussed. How to successfully implement telepsychiatry service and increase user acceptance and satisfaction despite barriers e.g. resistance among some providers, concerns about interrupting existing referral patterns, technological problems, ethical dilemmas etc. Semistructured interview and satisfaction questionairre filled by involved professionals i.e. psychiatrists, psychologists, nurses as well as patients are conducted in order to explore advantages and potential limitations related to new service. of semistructured interview as well as satisfaction survey will be presented disclosing advantages and potential limitations of the new service. Telepsychiatry, when implemented correctly, can be enormously beneficial to both therapist and patient. Results of patient satisfaction survey as well as attitudes of involved professionals may pave the way for broader acceptance and implementation of telepsychiatry in whole Scandinavia, where resource shortage is increasing problem and growing concern of both patients, professionals as well as policy makers. When telecomunications technologies are used in provision of psychotherapy then we operate with terms such as e-therapy, e-psychotherapy, online-psychotherapy, telepsychology, Web counselling, cyber-therapy, distance therapy, Internet therapy, web therapy etc. - Overview of current development and state of the art within remote psychotherapy. - Pros and cons as well as user attitudes toward \"distance therapy\" and potential obstacles in various clinical settings. Review of 142 articles describing variety of remote aproaches is conducted in order to get an insight into this rapidly growing area of e-mental health. The historical background, types of remote interventions, advantages and disadvantages as well as ethical issues related to remote psychotherapeutic interventions are explored and discussed. Literature review disclosed a number of crucial aspects of remote psychotherapy: Legal & Ethical issues in providing online psychotherapeutic interventions; Interaction and presence in the \"remote\" clinical relationship ; A framework for the clinical use of virtual humans etc. Some approaches e.g. Virtual Reality has been shown to be even superior to treatment as usual and as having similar efficacy as conventional CBT or in vivo exposure. The Internet is providing a bridge across some of the barriers that keeps people from getting the help they need. As psychotherapists have ventured into cyberspace, more and more people who would not otherwise have been helped are finding a path to healing. Therapists involved in \"remote therapy\" may ensure that they evaluate the effectiveness of their interventions. Furthermore they may keep up to date with developments in this rapidly moving area. Involuntary admissions (IA) affect the patients’ autonomy and take place in order to prevent them to harm themselves or other people. The incidence of compulsory assessment (CA) seems to increase worldwide. To investigate the epidemiological patterns of patients hospitalized involuntary after CA, during the economic crisis in North-West Greece. During 2009-2017, CA and IA were retrospectively assessed from the records of patients admitted to the Psychiatry Department at the University Hospital of Ioannina. Socio-demographic characteristics and data regarding legal procedures were collected. A total of 602 CA were identified, 50% of them (every second year) were evaluated, 284 (85.5%) leaded to IA. The majority were men (67.5%), mean age 49 years, unmarried (70.2%), living with parents or siblings (74.8%), not working (64.8%), without tertiary education (70.2%), with residence in Ioannina (51.5%). First diagnosis was performed by a public hospital psychiatrist (88.6%), average length of stay was 24 days and most of them had been hospitalized in the past (64.2%). In 2009 there were 47 IA, whereas in 2017 there were 83. During 2009, the Female-to-Male ratio for IA was 1 to 2.4, whereas in 2017 we observed 1 to 1.3, respectively. The main reason for IA was schizophrenia (56%) and to a lesser extent mood disorder (19.6%). The economic crisis seems to affect IA. Between 2009 and 2017 there was an increase in IA and an increase in women IA. Etiological diagnosis of acute hepatic failure in elderly population is a challenge for the medical practitioner, due to the multiple intercurrent factors, especially in multipathological and polymedicated patients. Among the psychiatric drugs used in the elderlies it is not rare to find antipsychotics used off label. For instance, quetiapine is one of the atypical antipsychotics more often employed to manage behavioural disturbance of pacients whith dementia diagnosis. Liver safety linked to atypical antipsychotics has been the focus of study in last decades, because of their hepatic metabolism and high metabolic risk associated. Nevertheless, it is an heterogenous group of drugs that has to be analysed one by one Get to know the risk of liver injury associated to quetiapine It is presented a clinical case of a 77-year-old-woman who was prescribed high doses of quetiapine for behavioural managing and suffered an acute hepatic failure. We'll discuss the differential diagnosis and review the literature about liver damage risk linked to quetiapine. Two diagnosis were mainly suspected: bacterial and toxic origin of acute liver failure. Quetiapine was stopped to observe the evolution after a wash-out period. Among quetiapine side effects we can found: somnolence, dizziness, headache, postural hypotension and wight gain. Up to 27 % of patients develop an elevation of transaminases during first month of therapy, but mainly asyntomatic. Acute hepatic failure is a rare phenomenon, but reported. Psychiatric patients may experience aggression when patients lose control of their behavior.It is precisely such aggression that is associated with patient non-cooperation in the treatment process and undergoes restraint measures.An emergency psychiatric unit is the place where it is performed triage and first diagnostic assessments and therapeutic decisions.The course of the review and interview should be targeted in the manner to get key information on which to decide further action. The key is to work on the principles of good clinical practices aimed at maintaining patient safety,employee safety and mutual preservation of dignity. The objective is to show the treatment of aggressive and non-cooperative patients in the acute care psychiatrc unit in University hospital Rijeka during 2017 and 2018. Statistically was processed data from records of restraint and separation measures performed on patients admitted to the Acute psychiatric ward. From January 2017 to January 2018.1963 patients were admitted to the to the psychiatric ward through the emergency unit.640 patients were restrained by Standard operating procedure for separation and restriction of patients(I-V) Complete ban on restriction and separation of psychiatric patients has never been implemented,despite the fact that some of these measures sometimes are controversial and sometimes with fatal side effects Steinert et al.(2009).Consider that the complete abolition of these measures is not possible. Restriction and separation of patients are exceptionally allowed in cases of current dangers for the patient himself or for others in the environment.It is conducted only on non-cooperative patients and when we cannot reach our goal through cooperative communication. Physical restraint is a coercive measure used in many psychiatric emergencies. This measure is used for agitated or aggressive behaviors, since the physical integrity of the patient and other people are endangered. However, the use of coercive measures differs between countries, even between different regions. Describe the prevalence and characteristics of physical restraints in the psychiatric emergencies at the \"Hospital 12 de Octubre\", Madrid. A descriptive study was carried out, gathering sociodemographic and clinical data of the patients who needed a physical restraint in emergencies department between April and August 2019. Patients could be physically restrained before being evaluated by a psychiatrist or could need the measurement during the first evaluation by a mental health professional. A total of 72 patients required a restraint of the 1301 (5.53%) patients seen by the mental health team of our hospital emergencies in the period of time described. Of these, 56.9% were male. Figure 1 shows the professionals who indicated the need of physical restraint. Figure 2 shows the diagnoses of the patients who were immobilized. Figure 1. Professionals who prescribes a physical restraint in patients who have been assessed by psychiatry in the emergency department. Figure 2. Diagnoses of the patients who needed a physical restraint. An important percentage of patients treated in the psychiatric emergencies are physically restrainted. The majority are unspecified psicosis (n=23). Therefore an intervention protocol seems to be necessary. Use of cannabis is a growing problem internationally and its relation inducing psychosis is also a growing public health concern. It leads to significant impairment, including emotional distress, difficulty communicating, and other debilitating symptoms In this case report, we discuss a patient with no previous history of psychotic symptoms, presenting with first-episode psychosis in the context of progressive, acutely worsening, psychotic thoughts and behaviors following prolonged use of cannabis. 26-year-old patient, male with no past psychiatric history or hospitalizations, who was admitted in psychiatric emergencies of local hospital with a first-time psychotic episode in the context of cannabis consume. This patient presented paranoid ideation, bizarre delusional thoughts, paranoid auditory hallucinations, persecution delusions with his neighbors, insomnia with 0–2 hours of sleep per night, affecting his activities of daily living.. His affect was guarded, suspicious, and perplexed with apparent slowed cognition The patient had no known drug or environmental allergies, bloods labs were normal except urine toxicology positive for cannabinoids and normal head computerized tomography scan. During the two-week, the patient was treated with oral olanzapina 5 mg at bedtime and discontinuation of cannabis use, with significant improvement, with resolution of paranoid ideation, abnormal thought processes, and insomnia.The strong response to olanzapine as an initial treatment may indicates the use of an effective antipsychotic for cannabis-induced psychosis. We should be aware of the possibility of cannabis-induced psychotic delusions, paranoia, and distorted thoughts, in order to identify and treat this condition. The patient is a 28 years old men without psychiatric history who is attended in the emergency room because of disorganised behaviour. The aim of this case is to show the neuropsychiatric effects of steroid drug and its treatment. case report and literature review Highlights the beginning of dexamethasone 12 mg per day (equivalent to 60mg of prednisone) seven days before as pain treatment of discal hernia. He had an increased speech speed, being hard to lead the conversation. He explained that two days after taking the steroids he started with high energy sensation, sleepping less hours, and having the feeling of increase work performance, but his wife clarified that he chaotic in his activities. He realized that his family had been supplanted by actors who were following a script, making him mistrust them with self-referential phenomena thorugh the TV and strangers of the streets. Olanzapine was started up to 20 mg per day. Initially, insomnia and the organization of discourse and its behaviors were regulated, followed by criticism of delusions, understanding that they were due to steroid medication. Steroid-induced mania is a dose dependent reaction (5% in 40-80 kg of prednisone, 20% in >80mg/day) that happens at most in the first week of treatment. Mania is the most common presentation. This has a remission close to 90% after withdrawing the drug. Olanzapine has been placed as the gold standard in cases in which symptomatology persists despite withdrawal or when high functional impact is presented. The war in the East of Ukraine, like other emergencies, leads to impairment of mental and physical health, disruption of social adaptation, addictive and suicidal behavior in the persons involved in its orbit. The complex social and medical support to them is crucial. To scientifically justify, develop and test the model of the medical-psychological and neuropsychiatric maintenance system to Anti-Terrorist Operation / Joint Force Operation (ATO/JFO) combatants based on own experience on medico-social consequences of the Chornobyl catastrophe mitigation and providing medical assistance to veterans of armed conflicts. A prospective clinical study was conducted in 2014–2019 with comprehensive examination and treatment of 148 ATO/JFO combatants. Neuropsychiatric and somatoneurological, psychodiagnostic, neurophysiological, neuroimaging, laboratory and instrumental methods were used. Treatment and rehabilitation interventions were carried out on the basis of evidence-based Medicine and included pharmacological, psycho - and physiotherapy. PTSD, adaptation disorders, chronic personality changes, anxiety, depressive and somatoform disorders, alcohol and substance abuse, as well as suicidal tendencies dominate in ATO/JFO combatants. Comorbid pathologies include consequences of mine-blasting acoustic-barotraumas, traumatic brain injuries and chronic somatoneurological diseases. The effectiveness of a complex social-psychological-psychiatric and somatoneurological approach, the use of the biopsychosocial paradigm, consistency and continuity of therapeutic and rehabilitation interventions based on evidence-based medicine has been shown. It is advisable to involve NGOs and volunteers. The complex psychosocial, medical, and neuropsychiatric system of providing the maintenance to ATO/JFO combatants on the base of a multidisciplinary clinic is reasonable and effective. A part of East Ukrainian territory involved in the Anti-Terrorist Operation / Joint Force Operation (ATO/JFO) is potential for radiation emergencies, including terroristic radiological attacks (“dirty bomb”). To determine the personality patterns of ATO/JFO combatants in comparison with clean-up workers of the Chornobyl catastrophe (liquidators). The retrospective-prospective psychophysiological study included 101 ATO/JFO combatants, 122 liquidators and 85 non-exposed persons. Schmieschek–Leongard’s and Eysenck’s (EPI) personality questionnaires and quantitative electroencephalography (qEEG) with brain mapping were used. An accentuation of personality traits (pedantic, cyclothymic, dysthymic and excitable) is typical for the persons with traumatic experience. The liquidators have an increased rate of anxious and emotional accentuations, while the ATO/JFO combatants have stuck (jam) character accentuations, which can be explained by a different type of the traumatic experience. The liquidators, in comparison with the unexposed control, have increased relative and absolute spectral power of delta range of qEEG, decreased beta range mainly in the left frontotemporal region and reduced dominant frequency of qEEG. The liquidators, in comparison with ATO/JFO combatants, have increased spectral power of delta range in the left temporal region, and decreased relative spectral power of theta range. Neurophysiological correlates of personality traits were also found. There are psychophysiological differences in the personality pattern of ATO/JFO combatants in comparison with clean-up workers of the Chornobyl catastrophe. The specificity of the psychological trauma at different emergencies should be taking into account in preventive and treatment interventions. In October 2017 Portugal was affected by a major wildfire that struck the central region of the country, resulting in 49 deaths, about 70 injured and an impressive number of material losses, with more than 1500 homes completely or partially destroyed. Although the occurrence of wildfires is a relatively frequent situation in Portugal during the warmer months, the lack of intervention strategies is clear and there is little interest, particularly in the field of mental health, in the immediate approach and consequent minimization of long-term risks of such traumatic experiences. Even though a significant number of exposed individuals fully recover without any intervention, others, with greater vulnerability, will develop different posttraumatic psychiatric disorders. To present an emergency disaster assistance program developed in the district of Guarda (Portugal) in the context of the wildfires of October 2017 and that resulted in the creation of a crisis consultation. The authors also discuss the results obtained and the relevance of the replication of the created model in similar catastrophic situations. The created program is the result of the cooperation between the Department of Psychiatry and Mental Health of Hospital of Guarda and local structures, allowing an appropriate response to the mental health needs of the population in that specific scenario. The presented program has provided direct support to 59 victims and an early screening of those who still require psychiatric care. The nature of traumatic psychological experiences, concomitant disturbances and associated risks should be the target of a multidisciplinary and multifactorial work. Previous studies have underpinned the notion that cognitive reserve (CR) is associated with better functional outcomes in both Clinical and healthy populations. It is then reasonable to think that there should be an association between CR and survival. To examine the impact of CR on all-cause mortality over a 6-year follow-up period in middle- and older-aged adults. Data from the “Edad con Salud” study, a Spanish nationally representative population-based survey, were analysed. The sample comprised 3,605 individuals aged 50+ years. Information from the National Death Index was consulted to identify the vital status and date of death. Data on vital status was also obtained during the household visits. A combination of three proxy measures (level of education, highest occupational status and social participation) was used to assess CR. A binary variable that contrasts the top three quantiles against the lowest one was then created. Multivariable Cox proportional hazard models were performed in the overall sample and after excluding respondents with cognitive impairment at baseline. Low level of CR was significantly related to premature mortality (HR=1.60; 95% CI=1.23, 2.08). After the exclusion of those individuals with cognitive impairment at baseline, the CR effect on mortality remained significant (HR=1.76; 95% CI=1.28, 2.41). Our results showed that lower level of CR was significantly associated with increased rates of mortality. The development of interventions aimed at the enhancement of CR might contribute to mortality risk reduction. Future research may replicate these results in different populations. Loneliness has been linked to an increased risk of engaging in suicidal behavior, and the evidence points out that the feelings of loneliness might have a stronger association with suicidal behavior than other social aspects such as social support. However, studies analyzing these associations are insufficient. To explore the association between the subjective experience of loneliness and suicidal ideation. A nationally representative sample comprising 4753 participants from Spain was interviewed. Suicidal ideation was assessed through the World Health Organization Composite International Diagnostic Interview (CIDI 3.0), whereas loneliness was evaluated through the 3-item UCLA Loneliness Scale. Marital status, social support and other sociodemographic characteristics were also considered. Logistic regression analyses were carried out overall and excluding individuals with depression. Higher feelings of loneliness were significantly associated with greater odds for suicidal ideation (OR = 1.02; 95% CI = 1.01,1.02). After the exclusion of those individuals with depression, the association of loneliness with suicidal ideation remained significant (OR = 1.01; 95% CI = 1.00,1.03; p < 0.001). Our results reveal that higher loneliness is significantly associated with greater odds for suicidal ideation and that this association cannot be solely explained by the presence of depression. This highlights the importance of tackling loneliness to mitigate its harmful effects. Studies are needed to further understand the impact of loneliness on suicidal ideation and to establish causality. The recent installation of a child psychiatry department in a general hospital in the capital of Tunisia brought the child psychiatry services closer to the population. The aim is to determine the outpatients profile in a Tunisian Child Psychiatry Department. This is a descriptive study. All new patients who consulted between January and November 2018 a child psychiatry department (Mongi Slim Hospital, Tunisia) were included. We have collected 879. The age of the consultants was distributed as follows: 47% between 6 and 11 years old, 29.8% above 12 years old, and 23.2% below 5 years. The sex ratio was 1.5. The consultants was the eldest of his siblings in 34.1% and the youngest in 34%. Consultants attended primary school in 48.5%, high school in 5.6% and a specialized institution in 2.1%. Patients were accompanied by their mothers in 60% of cases. The parents were alive in 93% and married in 77.6%. The father was unemployed in 2.6% vis 43.7% for the mother. The school level was secondary in 21.6% for fathers and in 23.7% for mothers. The most common reasons for consultation were school difficulties in 21.5% and behavioral problems in 14.1%. An organic etiology for complaints was suspected in 10.3%. A psychiatric diagnosis was retained in 86.1% of the cases. Knowledge of the consultants' profile is a mean to identify training needs and services in child psychiatry. More and more patients are treated with paliperidone palmitate. To describe Clinical and pharmacological characteristics, as well as willfulness in the choice of treatment of patients treated with monthly (PP1M) or quarterly (PP3M) paliperidone palmitate. This is an observational, descriptive and cross-sectional study, which uses a sample of convenience defined by all patients who visited the Mental Health Team during April 2018 and who were receiving monthly or quarterly treatment with paliperidone palmitate. Most patients (85%) voluntarily chose to start the long-term paliperidone palmitate treatment and 15% accepted it “forcedly” (established in Short Hospitalization Units, in Medium or Long Stay Units or by court order). Schizophrenia is the most frequent diagnosis (57.5%; figure 1) and the majority of patients do not present another associated comorbid diagnosis (65%). The 150mg dose is the most frequent at the beginning (60%; figure 2) and maintenance (50%) (and its equivalent 525mg PP3M). The most frequent prior treatment (to the establishment of PP1M) was one or several oral antipsychotics (77.5%), followed very far by oral antipsychotic + injectable antipsychotic not PP1M / PP3M (5%) or only another Injectable no PP1M / PP3M (3%). 1% received PP1M as their first choice. Of the patients on treatment with PP1M or PP3M, 37.5% also took 37.5% olanzapine, followed by 35% who did not take another concomitant antipsychotic treatment (figure 3). Most of patients treated with PP1M or PP3M were diagnosed with schizophrenia, chose the treatment voluntarily and took it alone or associated with olanzapine.  In France, the published prevalences of pervasive developmental disorders (PDD) are limited to data collected by two registers from specific geographical areas in children aged 8 years. The aim of this study was to estimate the prevalence of PDD for the entire population at the national level. French national medical administrative databases that cover nearly all the population provide data on hospitalization and on ambulatory care (consultations and procedures, biological tests, medication…) without indication on the related diagnosis, except for 30 chronic and costly affections (\"affections de longue durée\", ALD) for which the eligible patient’s ALD-related care is free of charge. All patients managed in psychiatric facilities between 2010 and 2017 with PDD diagnoses (ICD-10 code F84) or with ALD for PDD were included. Rates have been standardized on the age structure of the 2015 French population. In 2017, 119,260 patients with PDD were identified. The crude rate was 17.9 per 10,000 inhabitants (27.9 in men and 8.5 in women), maximum in children aged 5 to 9 (72.0). There was a steady increase in the standardized rates over the study period (from 9.3 in 2010 to 18.1 in 2017). Our rates in children aged 8 are close to the prevalence rates provided by the two French registers, which suggests that most children benefit from treatment by the health care system. Despite its limitations, this study is the first in France using medical administrative databases to estimate prevalence rates for PDD at the national level. Mental illness-related stigma not only exists in public but also in healthcare system. Healthcare providers (HCPs) who have stigmatizing attitudes or behaviors might be thought to be a key barrier to mental health service use and influence the quality of healthcare. Although cumulative projects have been conducted to reduce mental illness-related stigma among HCPs around the world, little is known about whether the attitudes of HCPs toward mental illness have changed over time. The aim of the current study was to help clarify this issue using a cross-temporal meta-analysis of scores on Social Distance Scale (SDS), Opinions about Mental Illness (OMI), and Community Attitudes towards Mental Illness (CAMI) measure among HCPs. A systematic review was carried out from the inception of the databases until February 2019. Search terms fell into four categories: stigma, mental illness, and healthcare provider (professionals and students). Studies were limited to survey. Data was analyzed using a random-effect model. A total of 34 studies and 15,653 participants were included in the analysis. Results indicated that both social distance (β = − 0.32, p<0.001) and attitudes (β = 0.43, p = 0.007) of HCPs toward mental illness have become increasingly positive over time. These findings provide empirical evidence to support that the anti-stigma programs and courses have positive effect on HCPs and can inform future anti-stigma programs focus on improving the attitudes of HCPs toward mental illness, thereby improving the quality of healthcare provided. Recently, psychiatry residency programs have emphasized structural competency training. Our program is based in a diverse community with many immigrants where residents can learn first-hand how systemic issues impact patients. Through a case study, we highlight the impact of political struggles and cultural values on the management and presentation of psychiatric symptoms. To highlight the importance of structural competency and better understand the macrolevel systems including cultural, societal and political forces that impact the care of a psychiatric patient in the United States We present the case of a middle-aged, Nigerian immigrant with serious mental illness admitted to an inpatient unit. During individual psychotherapy, the patient gained insight into the role culture had his delusions, the barriers it presented in seeking medical attention, and the effect his disease had on his family, resulting in his current struggles with guilt. He discussed reactions to media portrayals of shootings, suicide, gun control, and his fears regarding discharge. At a political level, patient is facing deportation and may be killed if he is deported. The world seems to be leaving patient with no other option besides chronic psychiatric hospitalization. Discussing cultural, political and social issues in therapy can be extremely helpful in understanding a psychiatric patient and help address the core issues that result in depressed mood and feelings of guilt. As a physician in training, it is essential to develop skills in structural competency in order to not only optimize patient care but also to understand the challenges associated with safe discharge planning. Economic crises may cause physical and mental health outcomes, especially when the budget destined to welfare and social protection is cut. To assess the impact of the Great Recession on hospitalization in acute psychiatric inpatient units (APIUs) in Italy. The potential buffering mechanism played by social protection was investigated, as well The association between macroeconomic indicators (unemployment and long-term unemployment rates, and real gross domestic product per capita) and rates of discharge for psychiatric disorders in Italy between 2005 and 2017 was investigated by means of fixed effects panel regressions. Per capita expenditure on social services and benefits delivered by single and associated municipalities was included to test the role exerted by social protection as potential moderator of the association. Data source: Italian National Institute of Statistics. Following the Great Recession, hospitalization due to All Psychiatric Disorders, Alcohol Use Disorders and Mood Disorders increased in the male Italian population. In the female sample, only Alcohol Use Disorder increased. With respect to other diagnostic groups, no significant associations stemmed out from the analysis. Social protection was able to buffer the negative mental health outcomes of the Great Recession with macro-regional features, namely in the North-East, in Central Italy, and in the Islands. Increased hospital admissions in APIUs occurred in Italy as a consequence of the economic crisis. Social protection was able to buffer the negative mental health outcomes of the crisis in the Italian regions reporting higher mean expenditure in the social expenditure indicator considered. Similar to philosophy (regina scientiarum) is psychiatry relevant for all life sciences. Immense medical&ecological problems need renewal of psychiatry. ANTHROPOLOGY AND PSYCHIATRY. The primus inter pares of European philosophers&universalists ARISTOTELES and PLATON – Immanuel KANT considered over 200years ago physiological and pragmatic anthropology [1]. Actually is given concept about an integral anthropology (IA) describing human (individual-A) in interaction with nature-society (natural&social-A), building special-A. This is fundamental for general-A: philosophical-normative, pedagogical-educative, medical-curative/prophylactic, related to fundamental question of philosophy/science “What is the human?” acc to Kant [2]. Terminus social physiology is discussed by K.Sudakov, O.Glasachev et-al., T.D.Seeley [3-4]. High complexity of interaction between different factors is described by Russian physiologists Iwan Pawlow (Nobel-Laureate)&co-workers N.Wedenski-A.Uchtomski-Leon Orbeli,who give basis of modern psychiatry related to social-physiology discussed by Nobel-Laureates C.von Frisch/FRG, K.Lorenz/Austria, N.Tinbergen/GB, also B.Skinner/USA. RESIDENT HOUSES (RH) are natural&social place for human: In Europe are living millions of tenants: Germany-54.3%/Austria-30.2%/France-25.3%/GB-24.1%/Italy-12.9%/Slovenia-4.5%. German journals reflect catastrophic situation of tenant-lessor conflicts. Juridical experts from Mieterverein München could inform [5]. Examples for impossible situation in German-RH: After 47 years annihilation of RH-contract (tenant-woman 74 years); over 3 years lessor tries to eliminate 2scientists from RH, living-working 40/50 years (junior invalid, senior 85 years, both with complex pathology), using totalitarian-methods; also tenant 90 years with dementia or blind senior (90 years) after 44 years by letters from employer about annihilation of contracts for RH [5]. Situation in Germany, e.g. RH-Munich demonstrates contradiction to human rights (CHARTA of EU, art.1-8/25-26/33-35), leading to psychic diseases. This is ignoring moral-philosophy, related to human-obligations/I.Kant [1], experimental ethics/Ch.Luetge-et-al. [6], medical personnel/R.Pegoraro [7]. Ref. s.part II. Work-related stress is the response people have when faced with pressures and demands that are incompatible with their knowledge and skills and challenge the ability to adapt. Work stress can increase when workers do not feel supported by supervisors or colleagues or feel as though they have little control over work processes. The purpose of this paper is to assess the level of stress and exhaustion in the workplace, the positive and negative factors in Albania in mentally-challenged employers. This study is a descriptive study that aims at assessing the positive and negative factors affecting the level of stress in the working population as well as the level of productivity seen in economic as well as in health terms. In this study 1000 employees participated and the selection was done through sampling techniques. Data were processed with SSPS version 23. Questionnaires used are the Burnout Self-Test Maslach Burnout Inventory, G.H.Q. 12, SDS. The stress level at work is influenced by many factors such as age, economic income, social status, working conditions, job security, working hours.Work stress is responsible for sleep disturbances, the ability to concentrate, feelings of powerlessness and mood swings, self-esteem, the ability to cope with problems, and overall happiness. The sample in the study showed that the average burnout rate is 31 points, so this sample indicates that the population is in burnout. There are patients with schizophrenia whose hospitalizations аre frequent or super-frequent. They form a group for which specialized care is ineffective. A high risk of re-hospitalization is observed in persons in the first 5 years from the onset of the disease. It is important to identify the most significant criteria for re-hospitalization in order to influence them. To determine the risk predictors of frequent hospitalizations of patients with schizophrenia in the Department of the first-episode psychosis. The sample consisted of patients diagnosed with schizophrenia (n=48). Clinical and socio-demographic characteristics of patients of this group were studied. The PANSS scale was used to assess the severity of positive and negative syndromes. Social functioning was explored using a questionnaire to assess the social functioning and quality of life of mental patients. To analyze the data, the exact Fisher criterion was used at p=0,05. The main reason for rehospitalization was the refusal of patients to take drugs. The presence of social problems and the use of psychoactive substances by the patient significantly increased the risk of frequent and super-frequent hospitalizations. The results of the study show that increasing patient compliance and providing social assistance can help reduce rehospitalization. Schizophrenia is a mental disorder still full of stereotypes. It is also still unknown what kind of syndromes causes people’s s attitude to patients: positive or negative. To determine the perception of performed negative and positive syndromes of schizophrenia on the level of the schizophrenia external stigma. The cross-sectional study was performed on September 2019 with a sample of 650 students from Universities of Omsk. Two types of patient histories were shown to students randomly before participants started to fill the questionnaire form: one consisted of history with positive syndromes, and the other with negative syndromes. The questionnaires were administered in a class environment. Statistically significant difference was determined between the forms differed in positive (24 [18; 33] points) and negative (21 [16; 28,5] points) syndromes (p = 0,049). In addition, difference was found between students of two groups: who had a friend diagnosed with mental disorder (20 [15; 31] points) and the other (24 [19,31] points) who had not (p = 0,004). Thus, the stigma of schizophrenia in a population’s mind is suggested to depend on the presented types of syndromes, positive or negative, and the presence of mentally ill persons among friends of responders, as well. Culture, environment and even the health system itself influence the manifestations of psychopathology. Two patient samples treated in two different health systems and cultures are described and analyzed. Illustrate and compare two samples of outpatients treated in mental health centers of two different countries. Analysis of its sociodemographic variables and diagnosis. Descriptive analysis of outpatients from United States of America and Spain Mental Health Centers. Sociodemographic and diagnostic data were collected during the rotation period of three mental health residents. Age, consumption of legal substances, gender, comorbidity with organic disorders and diagnosis are compared. A sample of 172 patients between 16 and 85 years old (73 from Roberto Clemente Center - Gouverneur Hospital (USA), 33 from Fuencarral Mental Health Center - Hospital la Paz (Spain), 33 from Trinitat Mental Health Center - Hospital Universitario y Politécnico la Fe and 33 from El Arroyo Specialty Center - Hospital Universitario de Fuenlabrada) was analyzed. Most frequent diagnosis at RCC was Major Depressive Disorder, versus Adjustment Disorder at Spain Mental Health Centers. In Spain there were more range of diagnoses. In both samples, female gender was the most frequent. Legal drug consumption was higher in the Spanish sample. Comorbidity with organic disorders was higher in the American sample. The culture, through the different ways of expression, the context, with its different stressors, and the framework established by the health system influence the conception and manifestation of psychopathology. The impact of this circumstance on the treatment will be the objective of future work. Safety perception is an excellent indicator of the institutional capacity to protect the security of citizens (Arcos, Ávila, Vera, & Pérez, 2018). Such a concept is key to understand the context which has been marked by violence (Political Analysis Center, EAFIT University, 2014), and it also has had the ability to undermine welfare and break the social fabric (Taylor, 2011). Identifying the relationship between safety perception and community participation with victims of the armed conflict. A cross-sectional study of correlational scope are presented. This study has been aimed at identifying the relationship between safety perception and community participation with victims of the armed conflict, with a sample of thirty subjects (n = 30) (56.7 % women and 43.3% men), average age of 53.33 (σ = 12,263), all inhabitants of a municipality in the Colombian Caribbean. The Survey “Configuration, Territory and Society” has been used for the data collection by selecting the Community Participation scales (ítem p113, p120, p121, p122, p123, p124) (α =.867) and the Safety Perception scale (p117, p118, p119) (α =.920). The main results, there is a positive correlation between the study variables (r = .005; p = .392). The safety perception has an impact on the psychosocial processes such as the community participation itself that is associated with positive social links. Ethical care and respect for human dignity are highlighted through the development of the study, recognizing the social and political importance of victims in the construction of peace. Ageing of the population in the Czech Republic contributes to an increase of AD. Since the 2019, the data of national healthcare registries are combined with data of health insurance companies (NRRZS) and allows a comprehensive analysis of the AD and unconfirmed dementia from the period 2010–2018. This study aims to describe the type, amount, and patterns of healthcare used by patients with AD and to make a prediction of prevalence that will help stakeholders to prepare effective measures. Health characteristics of the population with AD were compared with a control population with comparable age and sex structure. The predictions were made using the Poisson regression; comorbidities were evaluated using the DCCI index. Based on our data, 0.6% of the Czech population suffered from AD in 2018. Based on a prediction model, there will be 174,000 patients in 2030. Because the reported prevalence of AD in the Czech Republic is lower than in other Central European countries (see Fig. 1), AD is probably underdiagnosed. An average AD patient needs 1.3 times more outpatient and 2.1 times more inpatient care than non-AD patients. The geographical variance of healthcare demands is quite pronounced (see Fig. 2) and patients with AD suffer from more comorbidities (see Fig 3).  The Alzheimer’s disease presents a large burden for the healthcare system. The prevalence of AD grows significantly every year, and demographic trends will even enhance this phenomenon. Detailed data on AD patients are necessary for authorities to make efficient measures towards planning of healthcare. Medical Assessment Service works within the Czech Social Security System and is mostly incorporated in organizational structures of the Ministry of Labour and Social Affairs. Disability as an assessment-medical category of the system of pension insurance is a multi-dimensional category, as it includes medical, labour, social, legal, and economic circumstances. The basic and underlying reason for disability is a physical impairment having a character of long-term adverse medical condition. Disability for mental disorder assessed by a separate chapter in the Annex to Decree No. 359/2009 Coll. When assessing the rate of decline in capacity to work for mental disorders and behavioural disorders, the monitored period decisive to assess the rate of decline in capacity to work should usually take one year. During the period 2012 to 2018 the assessment for overall disability decreased of 21%. Mental diseases are the second leading cause of disability after muscular and skeletal diseases. During the period 2012 to 2018 the assessment for disability of mental disorders decreased by 9 % (from 32 324 in 2012 to 26 224 in 2018). The incidence of mental disorders in the Czech population has been rising over the past ten years. The number of disability assessments continues to decrease. This can be caused by applying assessment criteria that are 10 years old and, thus, do not correspond to current therapeutic knowledge and modern trends in psychiatry or due to better therapeutic results. Aim: Major life events affect our wellbeing. The comparative impact of different events, which often co-occur, has not been systematically evaluated, with scales often assuming equivalence in both amplitude and duration, that different wellbeing domains are equally affected, and that individuals exhibit hedonic adaptation. Method: We evaluated the impact of eighteen major life-events using the HILDA household panel survey (n=c.13,000 each wave) over a 7-year time-window (three years before, four years after each event) using fixed-effect regression models assessing within person change. The impact on affective and cognitive (life satisfaction) wellbeing was evaluated both individually, and then conditionally, accounting for co-occurring events. In general positive events had only small, and short-lived, effects on affective wellbeing but a larger impact on cognitive wellbeing. Affective hedonic adaptation to all positive events occurred by three years, but monetary gains and retirement had ongoing benefits for cognitive wellbeing. Monetary losses, and serious injury/illness led to long term reductions in both types of wellbeing which had not returned to pre-event levels even 4 years after. Marriage and retirement had significantly greater impact (AUC P<0.05) on cognitive than affective wellbeing, whilst promotion and moving home had the opposite effects. Many common life events have little long-term effect on wellbeing after accounting for co-occurring events. Hedonic adaptation is common but had not occurred for some highly impactful events even four years afterwards. Life satisfaction was substantially enhanced by several positive events but only a promotion and, possibly, children seemed to make people happy. Social inclusion of people with mental health issues is an aim of the World Health Organisation. Recently, social measures like social inclusion, the outcome improvement and the increase of quality of life have become an essential part of modern community delivered services. To determine social and economic impairment and the association with demographic and clinical data concerning young people with psychiatric disorders. The present paper is a cross-sectional, retrospective analysis that included 480 patients with ages between 18 and 35 years old, admitted to the psychiatric clinic between 2017 and 2018. All patients were men, given the specificity of the department. Analysed data consisted in demographics, data on social inclusion (social protection, employment, education, health), psychiatric and somatic comorbidities, substance use, the risk of hetero-aggression, and main therapeutic classes. In regard to the main diagnosis at discharge, 25.62% had different subtypes of schizophrenia, 20.41% of patients were diagnosed with acute psychotic episode, 15% associated alcohol related disorders, 10.20% depressive disorder and 28.77% other diagnoses (bipolar affective disorder, personality disorders, neurodevelopment disorders). Referring to occupational status, most of the patients were unemployed (47.29%), 21.87% received disability benefits, while less than a third were employed (13.12%) or undergoing studies (17.72%). Just 69% were medically insured, meaning the rest of them had limited access to medication or outpatient services. Psychiatric patients face economic difficulties from a young age, presenting a significant risk of social exclusion. Unemployment is associated with age at first admission, number of admissions and psychiatric comorbidities. As an independent medical specialty psychiatry has existed in Bulgaria since 1953. The state introduced the Soviet model of work - dispensary monitoring of patients. This includes home visits of patients with severe mental illness. Mental Health care services in Bulgaria are currently in an unsatisfactory situation and there is a pressing need for reform. Mobile psychiatric teams were presented in Bulgaria before 1989, up to 2006 and now. The main problem for the lack of sustainability of the functioning of such teams is the financing of the psychiatric system in Bulgaria. Mobile psychiatric teams at different time periods were examined. The FACT model is presented as part of the RECOVER-E project in Bulgaria. RECOVER-E project has two parts – implementation and research. Bulgaria is one of the five implementation countries, together with North Macedonia, Croatia, Montenegro and Romania. For the first time the mobile team involves peer worker /expert from experience/, which helps to solve crises. The differences in the activities of the teams in different time periods are described. A proposal is made for the creation of new teams, as well as their sustainable financing after the end of the project. One of the major problems is the fragmentednature and lack of continuity of both care and therapy. After discharge from psychiatric hospital, the patient does not routinely have anyfollow-up appointments or referrals to other professionals. The RECOVER-E project provides an opportunity for a new approach in the treatment of serious mental illness in Bulgaria. All authors participate in the RECOVER-E project as researchers or as participants in mobile teams. The project is funded by the European Commission under the Horizon 2020 program. Although there is a huge body of evidence that various psychosocial factors, especially early emotional trauma, are associated with an increased risk of psychosis, biological aproach toward understanding psychoses and its treatment are still prevalent leading to neglect of psychobiosoicial understanding and psychosocial treatment which adversely affects the recovery from the disease The aim is to raise awareness in clinical psychiatry of the need to recognize the impact of trauma on the onset and maintenance of psychosis and to present psychosocial and psychotherapeutic methods that can assist in recovery process and decrease the risk of relapse of psychoses. The literature has been searched for the impact of early emotional experience on the risk for psychoses and methods used to treat the consequences of traumatic experience in people diagnosed with psychosis The results include recommendations for dealing with trauma in people diagnosed with psychosis There is a need to change mind from a dominant biological understanding of psychoses to a comprehensive psychobiosocial understanding of the patient as a person with life history which contribute to the development of psychoses, thus individual recovery plan that incorporates psychosocial methods of dealing with traumatic experience and its consequences should be avaliable to pateints with early trauma history. who has developed pswychoses. In recent years, transgender individuals have rapidly gained visibility. Despite this, they continue to be at risk for negative life events that adversely affect their health and well-being, such as being rendered invisible, experiencing isolation, and being subjected to societal violence. Transgender individuals are at higher risk for suicide relative to non transgender people. There is a high level of stigmatization of transgender people all over Ukraine so it is very important to pay attention to the suicide behavior of this social group. Our ongoing project is aimed to examine prevalence rates of completed suicide and suicide attempts of transgender people within Ukrainian population; to determine the gender prevalence of attempted suicide. For now we examined 208 participants (21 - 35 years) who met Diagnostic and Statistical Manual of Mental Disorders 5th Edition (DSM-V) of gender dysphoria. Data were collected over a 6-month period from Ukrainian LGBTQ Society participants. The Columbia Suicide History Form and individual interviewing were used to achieve our objectives. Nearly 70±1,24 % of participants reported a previous suicide attempt. Female to male respondents reported the highest rate of attempted suicide (65,4±1,37%). Moreover, 40,6±1,36 % of participants performed completed suicide. The level of suicide behavior among transgender people in Ukraine is very high. This situation needs urgent measures - the development of suicide preventive interventions for this social group. We suggest to implement psychoeducational groups in social institutions, spread information that should destigmatize transgender people, create support groups and provide psychotherapeutic support for them. The foundations of Bioethics, in context of the Brazilian mental healthcare, can establish a guiding reflection of conduct, defining priorities and able to cherish doctors in their work. The Fundamentals of Bioethics, through the Intervention, Protection and Responsibility Bioethics, must enable the orientation of medical action with its possible and necessary resulting social responsibility. The principles of Bioethics of Intervention, Protection and Responsibility can be identified, exemplified and analyzed both in the initiation and maintenance actions of the mental healthcare project and in the resulting demands and reflections. This study aims, under the aegis of the Fundamentals of Bioethics, to sensitize society and managers and propose practices in mental health care replicable in the Brazilian reality. A) To discuss about mental health care using as an example the experience of the psychosocial network in a city in the countryside of Brazil; B) To use the concepts of Bioethics of Intervention, Protection and Ethics of Responsibility as a guide on the appropriate models of mental healthcare; This is a conceptual and philosophical discussion, intending to conduct a case study from the perspective of preparing an essay that provides the preparation of good practices of public policies in mental health considering bioethics. The psychiatrist, through ethics, engagement, education and empowerment, is able, using bioethics as a means, to be a transformative ethical subject in the reality of mental healthcare. Professionals, sensitized and guided by the aegis of the Intervention and Protection Bioethics and the Responsibility Ethics,can reverse the perverse logic of social exclusion. Different coercive attitudes and measures are commonly used in clinical practice with the aim of controlling or modifying the behaviours of users of the mental health services. While there is a tendency in our context to foster strategies and regulations to reduce their use, the available data indicate that there is a setback in user’s rights and that even more frequently interventions of this type are being carried out. To present, from a critical point of view, relevant published data on the use of formal coercive measures in Psychiatry. A narrative review of the literature and presentation of the results. Generally speaking, not much is yet known about the use of coercive measures in mental health, nor is there any consistent information about the use of these same measures in other medical services. The available data strongly affirm that the use of coercive measures is widespread, and that there is significant variability in regulation, frequency and characteristics across different locations. In Spain, the development of mandatory standardised protocols and registers is deficient, studies are scarce and access to available information is difficult. There seems to be a worrying generalization of the culture of coercion. Given the lack of available data, and the potential risk of abuse, as well as physical and psychological harm to users, further research on the characteristics and factors associated with the use of coercive measures in mental health continues to be a matter of urgency. For more than two decades, studies have aimed to understand the association between sociodemographic and clinical aspects of patients with the use of coercive measures. Since then, many researchers have pointed out that their clinical relevance appears to be limited and that it would be more interesting to focus on studying the attitudes of professionals and the cultural and institutional factors. To expose and discuss the evidence of the different factors associated with the use of coercive measures in Psychiatry. A narrative review of the literature and presentation of the results. According to various studies, coercive measures are most frequently carried out on young, male, immigrant or racialized people. The correlation with the diagnoses is unequal, having been related to different psychotic disorders, bipolar disorder, substance abuse or personality disorders. Among other factors, it has also been observed that people with a greater history of trauma are more likely to suffer this type of interventions, and that the use of these procedures facilitates the application of new coercive measures. Research on predictors of the use of formal coercive measures has been focused on studying the association with different patient characteristics, and the findings have been diverse. The variables associated with coercive measures are sometimes contradictory and generally of scarce relevance. On the other hand, despite being less considered during research, many authors suggest that other factors such as sociocultural characteristics or the working philosophy of each unit, may play a decisive role in this sensitive matter. Mechanical restraint, despite its invasiveness and the many criticisms it receives along with other coercive measures, is widely used in most mental health services throughout the world. However, despite this widespread use, and beyond the dubious ethical validity of the interventions, doubts on their effectiveness persist, and the consequences of their use on patients, professionals and the therapeutic bond tend to be ignored. To present the available evidence on the consequences of the use of coercive measures in Psychiatry. Discussion based on the findings of a narrative review of the literature on the subject. The absence of quality empirical studies that give positive results in relation to the therapeutic efficacy of coercive measures is remarkable and calls for consideration on what the decisions of professionals are based on when they are ordered. It has been found that the consequences on mental health service users are deleterious, with impact (sometimes serious) on the physical and mental health level, damaging also the therapeutic bond with professionals and with the institution. Finally, it has been described that they may also have traumatic effects on staff and lead to a modeling of their professional identity. It seems that coercion permeates the care relationship in a way that can hinder any help. The evidence available on the effectiveness of coercive measures is scarce and poor, but on its harmful consequences is very clear. The reasons justifying their use are arguable and the maintenance of these procedures in modern mental health systems is a shameful burden. Medical students develop their attitude towards euthanasia during their study at medical schools. These views may reflect cultural traditions of different countries. The goal of the research is to find out cross-cultural differences in attitudes towards euthanasia among Russian and Uzbek medical students. The research is based on the survey of 140 students of medical universities of Russia (n=84; mean age 19.1±2.1) and Uzbekistan (n=56; mean age 20.1±1.6). To measure various aspects of euthanasia attitudes, we used E. Nikolaev (2016) structured questionnaire. According to most parameters the students of the two countries revealed no significant differences. At the same time 64.8% of the Uzbek students consider euthanasia primarily as a legal matter that requires legislative regulation (р=0.000) and 70.5% of Russian students see euthanasia as an issue of moral and ethical nature that should be solved in compliance with the paramount human values (р=0.025). There were also revealed valid differences (р=0.03) concerning one of the spiritual aspects of euthanasia – there were more Uzbek students who confidently believe that humans have no right to depart their life voluntarily as they come to this world not at their own will. These manifestations can be related to a certainly higher level of religious faith declared by the Uzbek students as compared to the Russian ones (р=0.02). Cross-cultural differences in attitudes towards euthanasia are determined by the fact that Russian medical students are guided mostly by the proper ethical nature of the issue while Uzbek medical students regard both legal and spiritual aspects. CBT emphasize the role of supervision during the training of the therapists. Beliefs and attitudes toward supervision in CBT could change during CBT training and could be influenced by the competencies of the therapist. Our study was concentrated on mapping of the participants of CBT training expectations from the supervision in different phases of training and for the question, if these expectations are in any relation with the therapeutic competencies of the participants rated by the trainers and supervisors. Beliefs and attitudes toward supervision were assessed by the Attitudes and Beliefs about Supervision Scale (ABSS). Trainers and supervisors rate the level of competencies in Competency of the therapist questionnaire (CTQ). There were 50 trainees with mean age 34.8 + 7.3 and mean length of praxis 3.42 + 1.0 years. Trainees prefer helping with self-reflection and understanding of therapeutic relation more, than supervison of skills, structure and process. There were not the correlations of the most of ABSS domains with the trainees´ therapeutic competencies rated by the trainers and supervisors with exception of domain “skills”, which correlate with some specific CBT competencies like skill to reward patient, using conceptualization and leadership of social skills training, The trainees of cognitive-behavioral therapy courses expect from the supervision helping in the understanding of the therapeutic relation and the improvement of the self-reflection and these expectations are higher than the expectations about supervision of skills and therapy structure. Supported by the research grant VEGA no. APVV-15-0502 UN Convention on the Rights of Persons with Disabilities (CRPD) was ratified in many EU states. The states acknowledge that the principles of the CRPD should be transposed into their national legislations. According to the guidelines by UN High Commissioner for Human Rights for persons with mental health problem sin 2017 treatment can be conducted solely on the basis of informed consent. There is no possibility for substitution decision-making, involuntary hospitalization and the use of coertion measures, as well as the defense of committing a crime based on insanity due to mental disorder and thus circumventing the prison system. The aim is to discuss the points of disagreement from psychiatric profession and propose solutions that will allow treatment for persons who have no decision-making capacity or refuse treatment that could help them improve and maintain mental health and prevent behaviour that are affected by a mental illness that would be a violation of the law. The relevance for training in psychiatry will be also discussed. Relevant literature related to this topic have been serched and analysed A review of the literature reveals dissatisfaction from the psychiatric profession, especially for access to treatment for those persons where there are a high risk of suicidality, danger to others as well as lack the capacity to make decision. The open dialogue is nedeed in this topic in order to find a solution for the treatment of people with mental disorders who are at high life and health risk for themselves and others. Domestic violence against women has increasingly been recognized nationally and internationally as a serious problem. Violence against women is a troubling phenomenon in Russia. Domestic abuse against women often results in longterm mental health problems. The main aim of the study was to find out the psychological and psychiatric consequences of violence against women and to determine the origins of crimes committed by abused females. A cohort of 10 females was examined by forensic psychiatrists. Al lwomen had committed crimes of violence (murders, attempted murders). Details of background, psychiatric and offending history were extracted. Each item was assessed with the help of descriptive statistics. A research has been carried out on the basis of psychiatric and forensic psychiatric assessment of two groups of women who had a long history of violence by their husbands or partners. Clinical assessment has revealed depression, anxiety, low self-esteem, post-traumatic stress disorder, drug abuse. All women underwent forensic psychiatric assessment as they had committed serious crimes of violence. The research has revealed two types of homicides. Women of the first subgroup displayed pathological altruistic motivation of their children. Women of the second subgroup had committed homicides of their husbands and partners whose violence towards women escalated in severity. The research shows the necessity of domestic violence prevention by legal provisions and multidisciplinary research with participation of psychiatrists, psychologists, sociologists, human rights advocates and feminist societies. One of the tasks of the psychiatric service is an objective assessment of the outcome of treatment of patients. Determining the possibility of using psychometric methods as additional tools for assessing the effectiveness of the prevention of recurrent dangerous acts of persons with mental disorders. Using the methods of BPRS, SANS, PANSS, GAF, “Structured Risk Assessment of Dangerous Behavior” (SOROP) and the Pharmaceutical Compliance Scale, 55 patients (mean age 36.36 ± 10.23) who performed offense and escorted by courts using coercive medical measures in a psychiatric hospital. Statistically significant differences were established for the total points of the methods when applying for compulsory treatment and its cancellation. It was determined that on admission the average data was as follows: total BPRS score - 61.47 ± 10.67, SANS - 76.51 ± 10.87, PANSS - 113.87 ± 17.06, GAF - 17.64 ± 3, 9, SOROP - 67.67 ± 25.15, The Pharmaceutical Compliance Scale - 9.35 ± 2.88. With the abolition of compulsory treatment to a decrease in the risk of public danger: the total BPRS score is 27.53 ± 9.07, SANS is 31.40 ± 13.15, PANSS is 59.46 ± 16.11, GAF is 51.33 ± 8.0, and SOROP is ( -) 6.78 ± 20.22, The scale of drug compliance is 23.24 ± 3.85. The ability of these psychometric methods and scales to track the dynamics of changes in factors that make a significant contribution to the formation of dangerous patient behavior is established. Their use will increase objectivity assessing the effectiveness of treatment. Assessing testamentary capacity in patients within early stages of cognitive decline is fraught with challenges for both clinicians and lawyers. Our ageing society and the increasing prevalence of dementia as illness has increased the need for, and the challenges in, assessing testamentary capacity. Testamentary capacity is a functional assessment made by a clinician to determine if a patient is capable of making a specific decision. Neuropsychological assessment is an essence of this process.Numerous issues need to be considered when assessing capacity for a will.This paper examines these challenges and discusses some practical approaches. We discuss different approaches in evaluation and assessment of testamentary capacity in different dementia types and assisted and guided decision making. The type and severity of the dementia, effects on various domains of cognition, effects of medication, psychological and emotional factors, interactions with careers, family and lawyers, and a range of other issues confound and complicate the assessment of testamentary capacity. There are four decision-making abilities that characterize capacity: Understanding, appreciation, reasoning, and expressing a choice. A baseline neuropsychological/cognitive evaluation with simple test to assess executive function is often useful in capacity evaluation. All capacity evaluations are situation specific, relating to the particular decision under consideration, and are not global in scope. However, despite its importance and increasing prevalence, the literature addressing this challenging practical area is scarce and offers limited guidance. Assessment of testamentary capacity in dementia in the ageing society is a necessity that requires knowledge, skills and standardized neuropsychological assessment battery. Forensic patients often present the toughest cases in psychiatry. Capgras delusion is a relatively rare mental disorder in which a person holds a delusion that another person or even animal (spouse, parent, friend or even pet) has been replaced by an identical impostor. The autors present a relatively rare case of a female patient with Capgras syndrome in a forensic setting. After having committed matricide, the patient was declared mentally incompetent and was admitted to forensic psychiatric treatment. All the available psychopharmacological and psychotherapeutic therapies were applied but the patient remained uncritical toward the commitment of the crime, while at the same time some improvement in other domains could be seen and evaluated. Since the maximum duration of the penalty is about to expire, evaluations and decisions have to be made with regard to the effectiveness of the therapy, prognosis and perspective of functioning. The authors will analyze the medico-legal possibilities and the current situation in the Republic of Croatia in the light of the new Croatian Mental Health Act (The Law on the Protection of Persons with Mental Disturbances). Suicide represents the 10th leading cause of death and sharp force stands as the fifth leading method of completed suicide worldwide. Hesitation/tentative injuries are defined as superficial/shallow stabs or cuts. These injuries are frequently adjacent to, in continuation of, or overlying the fatally incised wound. Non-suicidal self-injury (NSSI) and attempted suicide represent distinct behavioral phenomena. The aim of this presentation is to investigate the diagnostic and preventive value of hesitation wounds in terms of psychiatric and medico-legal interest. Literature around completed and attempted suicide as well as self-inflicted sharp force injuries was reviewed and evaluated via all electronic databases up to December 2018. Among fatal suicide cases, the incidence of hesitation marks ranges between 52-77%, and is comparatively similar between genders. Nonlethal suicide attempts are principally committed by females with wrist incisions. Males and older individuals are dominant in the group of completed suicides by sharp force delivered most frequently on their neck or chest/abdomen. Hesitation wounds are most frequent in affective and impulse-control disorders. Among suicide completers: 75% had psychiatric history and prescribed treatment; 50% followed the prescribed psychiatric medication at the time of suicide; 3%received treatment in adequate dosage; 7% received psychotherapy; 83% had contacted a primary care physician within a year and 66% within a month. Among suicide attempters 20% visited a doctor within 24 hours prior. Suicide prevention is a major medical issue. Identifying the existence of hesitation marks is significant as it is a clinically explorable diagnostic criterion of suicidal ideation by all specialties. Sexual homicide involves the homicide of a person and the sexual behavior of the perpetrator. Crimes involving sexual homicide are frequently registered as homicides of “unknown motive,” due to non-standardized criteria and underlying dynamics that are difficult to interpret. The aim of this presentation is to examine the characteristics pertaining to sexual homicide victims as well as the underlying motives of the perpetrators. 185 articles were reviewed and evaluated from 1886 up to December 2018 via electronic data bases. Numerous limitations regarding research exist. Sexual homicide victims of male perpetrators were female(80.2%) adults(70%) of reproductive age(mean 28.3). Targeted adult women were acquainted to the perpetrator in some way(56%) but were not sexual partners, and were within 48 hours of alcohol and/or drug consumption. Main motives were paraphilia/resentment towards women/avoidance of incarceration. In contrast, adult men, elderly women and children victimized by male sexual killers were mostly strangers. Regarding adult men as victims, the assault mainly targeted financial gain(80%), while consensual sexual activity prior to the crime aimed at gaining trust and sexual gratification(20%). In elderly women victimization, sexual homicide often followed another crime with the original intention of financial gain, while sexual assault was secondary. Regarding minors, school-aged females as well as primary and secondary school males were most often targeted with the motivation of sexual gratification and the victims’ vulnerability. Female sexual killers were very scarce, tended to victimize male(75%) adults(77.7%), principally former sexual partners(80.7%). Over the years, better-structured research studies yield increasingly valid and significant statistical results. Psychiatric in-patients have a higher risk of obesity compared to the healthy population which is associated with non-communicable diseases (NCDs) and higher mortality rates. Exercise enhances both physical and psychological health, which again reduce the risk of NCDs. We hypothesised that exercise would improve physical and psychological health as measured by HONOS, resting pulse, BMI and weight. A one sample t-test was used to investigate the change in health scores at hospital admission, before entering the fitness programme and after completion for 53 psychiatric in-patients. An independent sample t-test was used to test for the difference in outcome variables between the group who took part in the weight reduction programme and 40 controls. The exercise group displayed higher means BMI and weight after completion of the programme, but a significant reduction in resting pulse and a trend towards reduced HONOS score. The results do not rule out the likelihood of physical health improving in physical health following the interventions. Research shows that patients might sustain the same weight, and even show a slight increase in BMI and weight following exercise interventions due to increase in muscle mass. Recommendations for future research would be for future evaluation of fitness interventions to use with other health parameters, such as body fat percentage and waist circumference as these variables show stronger evidence of improvement following exercise interventions. This study thus makes an important contribution to in-patient forensic mental health services when setting up an exercise intervention. Fitness for Job evaluation and certification in person with Neuro-Psychiatric Disorder is a very important legal and professional responsibility. However, we have a dearth of evidence on fitness for job approach and systemic evaluation. To study the Sociodemographic, Clinical and Employment profile of patients who sought fitness to rejoin job from tertiary Neuro-Psychiatric Centre. We performed a retrospective chart review of patient files, who were referred for fitness to rejoin job to the Institute Medical Board, National Institute of Mental Health And Neuro Sciences (NIMHANS), Bengaluru from 1 January 2013 to 31 December 2015. Chi-square test and Fisher exact test was used to analyze the data. The mean age of patients was 40.1(10.1) years, 85.3% were married and 91.2% were male. The most common reason for referral was work absenteeism (46.1%), illness affecting the work (27.4%) and mixed reasons (28.4%). In total, 37.3% had a neurological disorder, 35.2% had a psychiatric disorder and 23.5% had Neuro-Psychiatric Disorder. After a comprehensive evaluation, board-certified as 28.4% as fit, 34.3% advised job modification and 37.2% as unfit to continue the job. This study shows that work absenteeism and the impact of illness on the work are the common reasons for the referral for fitness certification during the employment period. One fourth were fit for a job after a comprehensive evaluation. There is a need for a systematic schedule to assess the fitness for the job in a patient with neuropsychiatric disorder as it involves medicolegal and ethical issues. The participation of patients in their own mental health planning and recovery has become state of the art in many countries. Peer support work can be an effective way to support patients throughout their programs. Unlike in general psychiatry there is less experience with peer support work in forensic hospitals. Forensic settings present unique challenges not experienced in general mental health services e.g. in terms of security. This project aims to develop a forensic-specific implementation program for peer support work in forensic inpatient settings. A literature review was conducted of general psychiatric documents on implementation guidelines for peer support work. These were supplemented with literature from the German forensic setting. Interviews and focus groups were then conducted with several groups of people including directors of forensic clinics; a peer support worker already employed in forensic hospitals in Germany; staff at our forensic clinic (psychiatric and psychological therapists, nurses, occupational therapists, members of security and administration staff); and a peer support worker at the clinic. Interviews and focus groups were recorded and transcribed for thematic analysis. Peer support work is scarce in German forensic hospitals. This research presents an approach to implementing a peer support worker in a forensic hospital and its accompanying evaluation. Aspects of hospital security are addressed. The project and data collection is still ongoing. Final conclusions will be drawn after the implementation evaluation. Patients with schizophrenia are eight to ten times more likely to commit homicide than those without psychiatric disorders. The criminogenic risk in schizophrenia involves not only psychopathological disorders, but also individual and social factors. To describe sociodemographic, Clinical and criminological profile of patients with schizophrenia, examined in a forensic psychiatric assessment following a homicide or attempted homicide. It was a retrospective study on forensic psychiatric assessments of patients with schizophrenia perpetrators of homicide and attempted homicide carried out in the Department of psychiatry “C” at the Hedi Chaker university hospital of Sfax during the period from 1 January 2002 to 31 December 2018. We collected 17 forensic psychiatric assessments. The perpetrators were all male, with a mean age of 29.59 ± 7.95 years, single in 82.4%, of urban origin in 58.8%, of a secondary school level in 41.2%, with a history of school failure and repetition in 57.1%, unemployed in 47.1%, low socioeconomic status in 64.7%, personal history of psychotic disorder in 41.2% and all with no personal criminal record. The assault took place in 58.8% cases in the victim’s home. The victim was closely related to the perpetrator in 94.1%. The assault was committed in the evening in 58.3% of the cases. Risk assessment of aggressive behavior in patients with schizophrenia involves the determination of the characteristics of the perpetrators with this mental illness, hence the importance of reviewing their profiles for better overall management. Psychiatrists may encounter sex offenders during a forensic psychiatric assessment for many purposes including criminal responsibility assessment. To study the main characteristics of sex offenders examined in a forensic psychiatric assessment. It was a retrospective study on forensic psychiatric assessments of sex offenders carried out in the Department of psychiatry “C” at the Hedi Chaker university hospital of Sfax during the period from January 2002 to December 2018. We studied socio-demographic, Clinical and criminological characteristics of the perpetrators of sexual offenses as well as the conclusions of the experts. Our study included 57 forensic psychiatric assessments. The male sex was predominant (98.2%). The mean age was 34.7 ± 10.6 years. Sex offenders were mostly unmarried (71.9%), with a primary school level or less (66.7%), and low socioeconomic level (64.9%). They had personal criminal records in 45.6% and no previous psychiatric history in 54.4% Sexual offenses included rape (38.6%), attempted rape (28.1%) and indecent assault (33.3%). The offense occurred mainly in the victim’s home (33.3%) or in public (24.6%). The sex offender was a relative of the victim in 49.1% of the cases. The experts had concluded to a “non-criminal responsibility” in 17.5% of cases. The psychiatric diagnoses in case of “non-criminal responsibility” were mainly schizophrenia (40%) and bipolar disorder (20%). The sex offender is a person often without psychiatric illness, having a criminal record, who lives precariously and is close to his victim. Knowing these characteristics contributes significantly to the identification of potential offenders. Marital homicide (MH) is a fatal complication of domestic violence. Researchers are trying to develop strategies to prevent it. To describe the sociodemographic and clinical profile of the perpetrators of MH. This is a retrospective study which examined the expert files of the subjects charged with marital homicide or attempted marital homicide, which were examined in the context of criminal psychiatric expertise in the psychiatry Department of Hedi Chaker University Hospital in Sfax (Tunisia), between January 2002 and December 2018. Our study identified 23 cases of MH. The mean age was 38.7 years; the sex ratio was 5.75, the socio-economic level was low (73.9%). The MH perpetrators had an irregular occupation (61.8 %), and had a psychiatric follow-up prior to homicide (21.7%). Previous criminal records were noted in 17.4% of cases. Homicide was accompanied by another offense in 8.7% of cases and was preceded by episodes of marital violence in 57.1% of cases. Aggression was premeditated in 69.6% of cases. The aggression took place in the family home in 69.5% of cases. The most common diagnosis were personality disorder (34.7%) and delusional disorder (15.4%). The experts had concluded to a “non-criminal responsibility” in 30.4% of cases. Our study showed that MH is committed mainly by men with precarious socio-economic conditions and criminal records. Highlighting these characteristics contributes significantly to the identification of MH perpetrators profiles Hoarding disorder, officially recognized as a unique diagnostic entity in the DSM-5, is defined as a persistent difficulty discarding items regardless of their value, leading to significant psychological distress. Social and occupational impairment and safety concerns to the patient itself and others are inherent consequences of the condition. This implies a plural intervention in which the reorganization of the patient´s accumulation environment should not be ruled out. In this sense, legal issues can be implicated. Reflect, through a clinical case, upon the legal involvement related to the intervention to be established in the context of a hoarding disorder. Clinical case description and review of the literature and the available legislation. A 39-year old male, single and without progeny, with a history of depressive disorder, was admitted for psychiatric evaluation for collecting various objects that were deposited unorganized in his house and due to the deterioration of his overall health. Unhealthy conditions of his home were also reported as well as the associated risk to the neighborhood. It is a patient with limited insight into his symptoms, disorder and his need for treatment and where the risk to others requires social intervention, supported by the role of administrative and police authorities. The recognition of unhealthy situations with full threat to public health should be understood as an issue transcending the individual´s particular sphere and, as a result, an object of resolution. Situations like this may be a challenge to professionals who are embraced by legal issues that certainly vary between countries. Slovenian Mental Health Act enables court-ordered hospital admissions if the patient is endagering his own life as a consequence of mental disease. In our case, the patient was admitted to the University Psychiatric Clinic Ljubljana due to possible mental disorder and suspected Huntington disease that he refused to treat for several years. The patient presented with choreatic movements of the upper extremities and to a smaller extent of the lower. Hand-eye coordination wasn’t impaired. The movement disorder was less pronounced during eating, smoking and other purposeful activities. It was absent during sleep. We didn’t observe any psychopathology, he expressed annoyance due to having to stay in a closed ward. Bloodwork was done to search for the pathologic variation in the HTT gene for Huntington’s disease. Molecular genetic analysis showed that the repetition of CAG trinucleotides was below the level of duplications needed for the diagnosis. The mother of the patient eventually admitted giving him risperidone without his consent/awareness in form of a solution into his drinks. With the new information, we had the patient re-evaluated by a neurologist, that observed dystonia in the upper half of the body, oromandibular dystonia and torticollis. He also noticed stereotypical movements. He diagnosed tardive dystonia and suggested treatment with biperiden. The treatment helped only partially, relieving only the worst of the symptoms. Stereotypical movements persisted. In conclusion, we were taught, medical history is the most important part of the examination. In this case, the history that the patient did not know about. Hereditary factors contribute significantly to the development of schizophrenia. However, the genetic architecture and mechanisms of schizophrenia development are not well understood. Genome-wide analyses of genetic associations in non-coding regions of the genome point out to enhancers as one of the loci associated with an increased risk of schizophrenia. Development of the CRISPR/SpyCas9 repressor system to elucidate the contribution of enhancers in molecular mechanisms associated with the schizophrenia in the model neuronal cell lines. A modified chromosome conformation capture Hi-C technique was used to identify enhancer-promoter contacts in neuronal cell lines. Classical molecular cloning was used to construct plasmid and lentiviral vectors bearing CRISPR-repressors and dual-guide RNAs. Lentiviral particles were prepared using HEK293T cell line and the 3d generation package plasmids. SK-N-SH cell line was transfected or infected, followed by selection on puromycin, genome DNA preparation, and estimation of methylation profiles using methylation-sensitive high resolution melting (MS-HRM) analysis. We identified many neuron-specific enhancers associated with an increased risk of schizophrenia. We have constructed several plasmids and lentiviruses encoding the most robust repressor protein dSpyCas9-KRAB-MeCP2 to target some of these enhancers as well as promoter regions contacted with them. The activity of the repressor is shown, for example, for enhancer of EPHX2 gene. CRISPR/SpyCas9 repressor system can be used to investigate enhancer-promoter contacts to find out the molecular mechanisms contributing to the development of schizophrenia. The work was supported by the RFBR grant №19-015-00501. Epigenetic marks may potentially serve as biomarkers of psychiatric disorders that guide the development of targeted therapies. In the search for epigenetic markers of cognitive deficits in schizophrenia, we investigated DNA methylation of a genomic region in 19p13.11 associated with schizophrenia in both the largest genetic and epigenetic genome-wide association studies. A DNA fragment within the NDUFA13/ YJEFN3 genes (hg19 chr19:19642955-19643856) was analyzed in blood of 70 schizophrenia patients and 72 controls with single molecule real-time bisulfite sequencing. Methylation at 43 individual CpGs and averaged methylation of functionally different fragments such as the introns, CpG island and exon were analyzed for the associations with the schizophrenia risk haplotype ATG (rs10422819-rs113527843-rs8100927) and a composite cognitive score. Controlling for demographic variables, coverage and haplotype, we did not find any significant difference in methylation between patients and controls. In the entire sample, the significant and nominally significant (p<0.01) allele-specific methylation (ASM) was found at the CpG-SNP rs10422819 and a nearby CpG (cg08623644), respectively. Moreover, the methylation level at cg08623644 predicted the cognitive score, while the haplotype had no influence on cognition. A further analysis confirmed ASM but not the relationship between methylation at cg08623644 and cognition in the controls. In contrast, in the patient group, methylation at cg08623644 did not demonstrate ASM but negatively correlated with the cognitive score. The results suggest the methylation level at cg08623644 might reflect a pathological process associated with the development of cognitive deficits in schizophrenia. This work was supported by the Russian Scientific Foundation, grant 16-15-00056. Negative symptoms are pervasive presentations of schizophrenia. Existing evidence suggests that their structure includes different psychopathological constructs, which may have different biological background. To search for genetic variants associated with two-dimensional (Avolition/Asociality and Expressive Deficit) structure of negative symptoms. A sample consisted of 1700 patients with ICD-10 diagnosis of schizophrenia. Negative symptoms were assessed by PANSS. PANSS-derived negative symptoms factors include Avolition/Asociality (N2, N4, G16) and Expressive Deficit (N1, N3, N6, G5, G7, G13) (Freischhacker et al 2019). Genotyping was performed for genes related to dopamine, serotonin and glutamate signaling, immune system, kynurenine pathway, oxytocin system, folate metabolism, oxidative pathways, neurotrophic and transcription factors. ANOVA with gene and sex as between-subject factors and illness duration as a covariate was performed. In total, 70 polymorphisms in 40 genes were included in the analysis. The following genes are associated with the total score of PANSS negative subscale, Avolition/Asociality and Expressive Deficit: IL-4 (rs2243250), IL-10 (rs1800872), CRP (rs2794521), BDNF (rs6265), ZNF804A (rs1344706). The 5-HTR2A gene (rs6313) is associated with negative symptoms only. Two genes involved in kynurenine metabolism, are associated with negative symptoms factors: KMO (rs1053230) with Expressive Deficit and TDO2 (rs2271537) with Avolition/Asociality. There is a trend towards the association of IL-10 (rs16944) and IL-6 (rs1800795) with Avolition/Asociality, which is observed only in male patients. Genes of the immune system and kynurenine pathway, which links immune system activation with neurotransmitter signaling, may be involved in the pathophysiology of negative symptoms. This work was supported by RFBR grant N 19-07-01119. There is a paucity of empirical investigation into the disclosure of secondary findings (SFs) in genetics research, particularly in Africa. The present study represents an initial step in understanding diverse academic perspectives on the return of genetic results from research conducted in Africa. Using an online survey completed by 674 university students and employees in South Africa, we elicited attitudes towards the return of SFs. Latent Class Analysis (LCA) was performed in order to classify sub-groups of participants according to their overall attitudes to returning SFs. We did not find substantial differences in attitudes towards the return of findings between groups. Overall, respondents were in favour of the return of SFs in genetics research. The majority of survey respondents (80%) indicated that research participants should be given the option of deciding whether to have genetic SFs returned. LCA revealed that the largest group (53%) comprised individuals with liberal attitudes to the return of SFs in genetics research. Those with more negative and conservative attitudes comprised only 4% of the sample. This study provides important insights that may, together with further empirical evidence, inform the development of research guidelines and policy to assist healthcare professionals and researchers. Phosphorus fertilizers show a relatively high content of cadmium (Cd), and their use contributes to the increased uptake of this metal into the soil. Through the food chain and occupational exposure to cadmium in industry, a certain amount of cadmium is introduced into the human body. DNase I is a specific endonuclease that contributes to the destruction of chromatin during apoptosis. The aim of this study is to investigate the protective power of glutathione (GSH) by measuring DNase I activity during rat intoxication by subcutaneous injection of cadmium(II)chloride solution. The experimental part of this study was performed on albino rats of Wistar strain which were stored in the vivarium of the Scientific Research Center for BioMedicine and at the Department of Biochemistry, Faculty of Medicine, University of Nin, Serbia. The results of this study show that Cd applied alone shows a marked increase in the activity of DNase I, which is responsible for the repair of DNA molecules, relative to the control group of animals. Also, GSH as a potent antioxidant, injected one day after cadmium intoxication, reduces DNase activity in rat brain tissue. The role of GSH as an antioxidant is to neutralize excess free radicals while protecting the cell against the toxic effects of cadmium. Cadmium stimulates the formation of reactive oxygen species, thus causing oxidative damage at the level of brain tissue. Antioxidants such as GSH have the ability to bind heavy metals to complexes thereby reducing the cytotoxicity of heavy metal ions, ie. Cd. Copper is represented in the earth’s crust in the form of minerals: chalcopyrite, chalcosine, covelline and others, while in nature it predominantly occurs in the form of oxide, carbonate and sulfide ores. Copper compounds are used as bactericides, insecticides, algaecides and fungicides. Copper is considered to be an essential metal because it is a component of many enzymes that participate in oxidation processes in the human body. The aim of this study is to monitor lipid peroxidation by measuring the value of malondialdehyde (MDA), a secondary product of lipid peroxidation, as well as to examine the protective role of α-lipoic acid in copper intoxication conditions. The intensity of lipid peroxidation in the brain tissue of albino rats of the Wistar strain was determined by a spectrophotometric method based on the reaction of MDA with thiobarbituric acid (TBA) due which it becomes chromogenic (MDA-TBA2). The results of this study show that after copper poisoning, the level of TBARS, an indicator of lipid peroxidation, is significantly increased. In the experimental group in which α-lipoic acid was used as a supplement with copper, the TBARS concentration was significantly reduced compared to the copper-only group. Copper increases the level of lipid peroxidation. Based on the results of this study, it can be concluded that the level of lipid peroxides is significantly reduced under the conditions of addition of α-lipoic acid supplement the day after rat intoxication with copper. Mounting evidence shows that Olfactory Neuroepithelium-derived neural progenitor cells (hereafter ONE cells) are emerging as a valid tool and a viable proxy for translational studies on severe mental illnesses (SMI). ONE cells have been used as a surrogate model of schizophrenia, highlighting aberrant activation of cell signaling, and perturbed cell cycle dynamics in this disease. We set out to explore whether an altered proliferation pattern of ONE cells of patients with schizophrenia is linked to mitochondrial dysfunction and perturbed Wnt (Wingless) signaling. ONE cells were collected from 20 patients and 20 healthy controls by nasal brushing. Freshly isolated or thawed ONE cells underwent BrdU (bromodeoxyuridine) proliferation assays. Mitochondrial ATP production was measured using ATPlite Luminescence Assay in both fresh and thawed ONE cells. The Wnt pathway has been explored by performing the TCF/LEF (Transcription Factor/Lymphoid Enhancer-binding Factor) reporter assay. We found significant differences in the proliferation of ONE cells of patients with schizophrenia and healthy controls (U=0; p<0.001), with a pattern varying between fresh and thawed ONE cells (at passage 6, p=0.002). Mitochondrial ATP production is significantly lower in schizophrenia (U=0; p=0.02) and freezing procedures do not seem to affect the results (U=6; p=0.77). Wnt signaling was functionally downregulated (p<0.05). Using ONE cells as a in-vitro model of schizophrenia, we identified perturbations of the Wnt pathway that could provide a promising mechanistic link bridging cell cycle dynamics and mitochondrial alterations in schizophrenia and SMI, two prominent features already known to occur in schizophrenia cell models. For long time, we had believed that the fetus would be guaranteed by placenta against foreign materials until thalidomide and diethylstilbestrol (DES) had been found to exert harmful effects on fetus. After then, reproductive and developmental testing for chemicals is legally carried out with obligation. However, recent research shows evidence that some chemical effects were inherited through the next generation: even that is a single exposure. There are many CNVs(copy number variants) reported, in particular, 16p11.2 has much attention, because it was reported in many psychological disorders, not only autism but also ADHD, schizophrenia, and bipolar disorders. Therefore, we examined CNV in our hyperactive rats. For mating experiment, we exposed pregnant rat (E7 day) to silver nanoparticle (4mg/kg), after which we never exposed it, again. Then, we got hyperactive rats at next generation by outcross. We developed two lines of the model. Spontaneous motor activity was measured at 4-5 weeks of age, using the Supermex system (Muromachi Kikai, Tokyo, Japan), as described previously (Ishido et al. 2002). CNV was identified with Agilent CGH microarray. We examined CNV in our hyperactive rats. There were many CNVs found, including chromosomes 1 to 20, except chromosomes 5, 7 12 19. Both amplification and/or deletion occur. Intense fluoresce signals were found in chromosomes 1,2 3,6, and 20. Both amplification and/or deletion occur. Intense fluoresce signals were found in chromosomes 1,2 3,6, and 20. We are now examining if these CNVs is pathogenic or not. Treatment with atypical antipsychotics has dramatically changed the clinical course of patients with mental disorders. However, this evolution did not eradicate treatment related complications, such as thromboembolic events (TEs), making the need for more strict monitoring and prophylaxis more crucial, especially for refractory cases.5,6,7 To determin if Anticoagulation and/or Prophylaxis Using aspirine or Low Molecular Weight Heparin (LMWH) in Adult psychiatric patients is a necessity. It seems that there is an increased incidence of TEs, up to 3.5-fold, with the use of clozapine and first-generation typical antipsychotics,3 most commonly at the first 3 months of initiating treatment.8 Reports for TEs have also been made with treatment with the newer atypical ones, 1,2,4 possibly through increased affinity for 5-HT2A receptors at the molecular level.1 Male gender, advanced age, obesity, smoking, varicose veins, recent surgery, concomitant contraceptive use, sedation induced venous stasis, pregnancy, heart failure, nephrotic syndrome, malignancy, polycythemia, thrombophilia, thrombocytosis, autoimmunity, antiphospholipid Abs, especially anticardiolipin Abs, hypeprolactinemia, hypehomocystenemia are all well-known contributing risk factors for venous thrombosis and TEs.9,6 Prophylaxis with low dose aspirin or low molecular weight heparins (LMWH) is strongly recommended, especially for medium to high risk patients, according to QThrombosis Risk Prediction Tool.7 Perhaps the use of more specific clotting studies, such as clotting time or the newest advance of thromboelastography may bring more evidence at the selection of patients eligible for long term thromboprophylaxis. Persons with intellectual deficiency, often diagnosed with co-morbid psychiatric disorders, are a vulnerable population who may be at risk for developing suicidal thoughts and behaviors. While, suicidal behavior remains an underreported phenomenon in this population. This case report aims to describe a case of an unusual suicide attempt in a girl with intellectual deficiency and to determine the prevalence and characteristics of suicide in persons with intellectual deficiency. A patient case is presented with associated literature review. Ms H.R aged 21, single, with moderate intellectual deficiency, without medical history, was hospitalized three times in the visceral surgery department for the management of peritonitis by intestinal perforation. Perforation was secondary to the ingestion of nails for suicidal purposes. Miss H.R never consulted a psychiatrist. The interview, after the third attempt, revealed a depressive syndrome of major intensity, the main reason for each suicide attempt was a feeling of rejection and the difficulty of integrating into society. The choice of her suicide attempts tool was explained, according to her; \"it is simply a cutting tool\". H.R is currently on antidepressant treatment with psychotherapy and sensitization of her entourage, without recurrence of the act until today. Persons with intellectual deficiency were capable of formulating and engaging in potentially fatal acts. Results of this study suggest that suicidal behavior is an underrecognized, yet significant phenomenon in this poulation. Thus, a suicide risk screening instrument specifically designed to evaluate persons with intellectual deficiency would greatly aid clinicians in a variety of settings. Like the general population, people with intellectual disabilities (ID) suffer from mental disorders and furthermore show challenging behaviour. Treatment is often limited to psychotropic medication (PM). Estimates on the prevalence of PM prescription in adults with ID vary tremendously dependent on the methods used. Altogether, this topic is still understudied in Germany. To assess the prevalence of regular PM and psychotropic PRN medication in adults with mild to profound ID. Key carers of N = 197 randomly chosen adults with mild to profound ID were asked about the current PM prescription. In total, 64.0% (n=126) had a prescrption of at least one psychotropic drug according to ATC (Anatomical Therapeutic Chemical Classification). Most prevalent was the prescription of antipsychotics (43.7%). Prevalence rates differed e.g. across severity of ID. A comparison of prevalence rates of PM between different studies is difficult. However, prevalence of PM in adults with ID in Saxony, Germany, can be considered as rather high. In the rehabilitation of children after severe neurotrauma, much attention is paid to the process of integration into the environment of peers, the restoration of learning opportunities. Objective: Study of the psychophysical characteristics of children with neurotrauma in the long-term rehabilitation period. Materials and methods 180 children participated (2015 – 2018). Methods: medical and pedagogical, observation, examination, assessment. Variants of the child’s psychophysical development after severe neurotrauma are identified: Option A (40%): marked lag in all areas. In communication, individual sounds, words, gestures. Difficulty understanding speech. Motor impairment ( no walking skill). Violated the capture of the subject, perform simple manipulation; self-service skills are partially restored. Option B (60%): moderate non-uniform lag in the cognitive-motor sphere. Children are able to independently move around, perform the necessary cultural and hygienic skills, communicate using speech, however, they experience significant learning difficulties: they have a slow pace, instability of attention, and low working capacity. Conclusion: All children of these groups need to be accompanied by medical and psychological-pedagogical specialists. Taking into account the psychophysical characteristics of children allows you to plan an educational and rehabilitation route based on adapted and special training and treatment programs. determination of the psychophysical developmental options of children allows differentially providing drug and rehabilitation support, successfully integrating them into the peer group. Medical students are exposed to academic, personal, and financial stressors that can lead to burnout. Physicians have a higher rate of suicide than the general population. The Middle East suffers from chronic psychosocial stress and social instability. This study aims to evaluate the prevalence of burnout, depressive symptoms, and anxiety symptoms and attitudes toward substance use in medical students as well as their evolution during the 4 years of medical school. An anonymous survey including general sociodemographic questions and standardized validated tools to measure depressive symptomatology (PHQ-9), burnout (BM), anxiety (GAD-7), alcohol use (AUDIT), and substance abuse (DAST-10) as well as questions pertaining to subtance use was administered to all medical students at our institution. Overall, 23.8% of medical students reported depressive symptomatology, with 14.5% having suicidal ideations. Forty- three percent were found to have burnout. These were more likely to be males, to be living away from their parents, and to have experienced a stressful life event during the last year. There was a significant difference in alcohol use, illicit substance use, and marijuana use during the four medical school years. The results of this study show high rates of depression, burnout, and suicidal ideation among medical students from the Middle East region. Increased rates of substance use were detected as well as a more tolerant attitude toward substance use in general, specifically cannabis. It is crucial that medical educators and policymakers keep tackling the complex multifactorial mental health issues affecting medical students and design effective solutions and support systems. Preventing compulsory admissions to psychiatric wards is a priority as the protection of the autonomy of patients is an important value as stated by WHO. In Denmark, this is also emphasized broadly and much work carried out by the Danish health system relates to reducing the frequency of compulsory admissions to psychiatric wards. How are incidences of compulsory admissions over time in different areas of a region and what influence those differences. An investigation of how well this is going in the region of Southern Denmark recent years by looking at incidences of compulsory admissions to specific psychiatric wards who all receive patients from their specific area of the region respectively. Significant differences are found in the recent development of the incidence of compulsory admissions to psychiatric wards across areas of the region. While lower incidence rates are the fact in most areas, the development in one specific area was found to be doing significantly worse than the majority. Our results suggest that there could be important differences across areas of Denmark as to how efficiently the health systems work with the topic of preventing compulsory hospital admissions of this vulnerable patient group. This has inspired us to study potential reasons to these suggested issues with the hope that some intervention(s) might be able improve the pattern. The preliminary results will be presented and topics for discussion and further research will be outlined. Scleroderma is a rare autoimmune connective tissue disease. It has a substantial negative impact on quality of life and causes numerous painful and limitative symptoms. Like other chronic diseases, partners often become caregivers. Many studies on other chronic illnesses demonstrated that caregivers show signs of depression and anxiety. However, this observation is yet to be better explored with systemic sclerosis. Verify if social support and illness severity impact the relation between caregivers’ perceived burden and their depression and anxiety symptoms. 51 couples from the Quebec province in Canada were recruited (102 participants). All participants were a) 18 years or older, b) in a relationship and cohabiting for over a year, c) one of the two partners had received the diagnosis of systemic sclerosis and d) was followed regularly by a rheumatologist. Patients and their partner filled a set of standardized questionnaires frequently used in scleroderma research (details in the poster). Moderator analyses were completed to explore the moderating effect of social support and illness severity on the relation between the caregivers’ perceived burden and their depression and anxiety symptoms Illness severity (physical and mental) plays a moderating role on the relation between the caregivers’ perceived burden and their depression and anxiety symptoms, p<.01 (detailed results in the poster). Social support played a moderating role on the relation between the caregiver’s perceived burden and their anxiety symptoms, (ΔR2 = .12, F(1,37) = 5.25, p = .028). Caregivers’ psychological health must be assessed to offer appropriate social and psychological support Dissociation as a psychological defence again traumatic experiences, acute or longer term stressful events, entails fragmentation of conscious experience. Dissociation can affect self-concept, identity, memory, or perception of the external world. Lack of capacity to integrate traumatic or adverse experiences can result with maladaptive functioning. Contemporary medical understanding of dissociation concept has shifted from Janet, although the research of its neurobiological underpinning is still elusive. There is emerging evidence linking trauma and dissociation to different psychiatric disorders other than trauma related disorders and dissociative disorders as such. The goal of presented case studies is to recognize the importance of trauma history and dissociative symptoms in the process of differential diagnosis of mental health issues, and in choosing the appropriate treatment for them. Three case studies of psychotherapeutic treatment that addressed dissociative symptoms in psychosis, depressive disorder and gender dysphoria will be presented. Multidisciplinary team of mental health professionals were included in diagnostic procedures and in treatment. Recognizing and treating dissociative symptoms in gender dysphoria, psychosis and depressive disorder, results in better clinical outcomes, improved quality of life and better functioning. Trauma entails psychological, biological and social component. Traumatic experiences can result in adaptive insufficiencies or chronic mental issues. Probing for childhood or adult trauma history and consequent dissociative symptoms should be included in differential diagnostic procedures with people suffering from mental health issues regardless of the severity of their symptoms or diagnostic categories. There has been a turnaround in the mental health’s paradigm, shifting from a treatment focused on reducing symptoms to a more integrative approach which takes into account other quality of life domains. More concretely, suicidal attempts are generally associated mental disorders, however they can also be associated with life and family events. Our aim is to describe how the different qualify of life domains affect people’s mental health besides mental diseases based on a case of suicide attempt. A literature and electronic review on the topic has been done based on a case report of a 50-year old woman with multiple substance use disorder, antisocial personality disorder and AIDS, who was admitted to the hospital for scabies treatment. After a week of improvement she started having suicidal thoughts up to the point of ingesting two blades. A multidisciplinary intervention was carried out to remove the blades and she was transferred to the psychiatry unit for some weeks. The interview showed how the suicide attempt was highly related to the worsening and desperate conditions of the different quality life domains that had been worsening one by one lately. According to the review the most commonly associated domains are employment, health, leisure, living situation and relationships. Mental health is thus understood as a complex balance between different components coming from the inside (intra- and interpersonal) as well as from the outside of the person, being both sides highly important. This is why an integrative managment of each psychiatric patient is essential. To present the indicators of the incidence of mental disorders and disability of the child population of the Republic of Belarus. Studying the structure of mental disorders and disability of the child population Data of statistical reports of work of the specialists of child and adolescent mental health services of the Ministry of Health of the Republic of Belarus. Behavioral and emotional disorders of childhood are in the first place in the structure of indicators of morbidity – 50,515 people (70% of the total number of all children observed by service specialists). In second place - mental retardation – 12,902 children (17.7%), then - neurotic and stress-related mental disorders – 4,596 cases (6.3%). All psychotic disorders (schizophrenia, schizotypal and schizo-functional disorders, acute psychoses, organic and unspecified psychoses) including autism spectrum disorders (ASD) account for about 5%. In recent years, there has been a slight increase in ASD. In 2017, the number of children with autism was 1,343. For the first time, 657 children were recognized as disabled due to mental illness in 2017 (3.53 cases per 10 thousand children). The total disability rate at the end of the year was 27.7 cases per 10 thousand children (5321 people). Disability structure: mental retardation - 55% of all first recognized as disabled people, autism - 31.8%, schizophrenia - 1.2%, disorders of other ICD-10 headings - 12%. The structure and staffing of children’s psychiatric services of the Republic of Belarus allow to provide sufficiently effective care in assisting the child population. Although there is growing body of scientific evidence and international best practice guidelines of early intervention systems for psychosis, there is scarcity of such systematic early intervention services in Hungary. Based on international examples, the First Episode Psychosis Outpatient services in the Department have multiple objectives. First, recovery from the psychotic episode, second, relapse prevention, third, to promote rehabilitation, and fourth, to provide systematic and supervised training in early intervention care of psychotic patients to our trainee psychiatrists. A specialist team is dedicated to run the service in the Department, in cooperation with other local community services. To achieve our goals, we designed a protocol consisting of systematic evaluation and assessment, and a systematic but individualized treatment plan. Treatment modalities include pharmacotherapy, psychoeducation and various psychosocial intervention modules targeting recovery, relapse prevention or rehabilitation, as well as supporting family members. Patients hospitalized in the Department due to their first psychotic episode are approached by the team and an assigned specialist initiates the inclusion of the patient in the service. Exclusion criteria are >2 year from the first episode of psychosis, drug induced psychosis (intoxication), <18 years of age. Patients are followed for 2 years (extendible for +1year) after inclusion. The poster presents the detailed protocol of the service, and initial experiences of the first 6 months. Hungary made a step forward in the early intervention care of psychotic patients by initiating the first complex and dedicated First Episode Psychosis Outpatient services at the Department of Psychiatry and Psychotherapy,Semmelweis University, Budapest. Residents are exposed to large doses of stress, tension, pressure and, sometimes, overload. Such situation may cause them to need mental health care. These needs are analyzed by comparing variables such as gender and specialty. Analyze the proportion of residents who need mental health care. Analyze if the gender or specialty variables are related to seeing a mental health professional. A survey of 777 residents of medicine, psychology and nursing of the national health system of Spain was conducted. In it, in addition to sociodemographic variables, it was asked if during their training period they needed to go to a mental health professional. Chi-squared test and logistic regression was used for statistical analysis. Of the 777 residents that answered the survey, 134 (17,25%) have need at least once to with a mental health professional. No differences were found between medical specialties (p>0,05 in all cases), type of profession (medicine, psychology, nursing) (χ²= 1,41; p= 0,49), or whether they were mental health professionals or not (χ²=1,98, P=0,15). There were significant differences between gender, women go more to a mental health professional than men (χ²=4,51; p=0,034). Almost one in five residents go to a mental health professional or have needed to consult at least once. This need does not seem to be related to the specialty or the type of profession. There are differences by gender, but the limitations of this research prevent us from ruling out if it is only a reflection of the proportion of the general population. PAIME is the Program of Comprehensive Care for the Sick Physician, created by the Official College of Physicians of Cáceres, which aims to assist physicians who suffer from psychic problems and / or addictive behaviours. To describe sociodemographic and clinical characteristics of doctors who have accessed the PAIME. This is an observational, descriptive and cross-sectional study, which uses a sample defined by all doctors who have used the PAIME Program in the last 15 years. - A total of 71 doctors have been treated, with no significant differences in the distribution by sex. - The majority are young or middle-aged, noticing the presence of very young doctors (residents) in recent years. - All accesses have been voluntary. - The most frequent causes of access have been psychiatric (59%), followed by Dual Pathology (28%) and addiction to alcohol (7%) and other drugs (6%) (figure 1). - The majority are attached (75%) and 54% worked in the hospital and 42% in Primary Care. - Only 27% have required hospitalization y 57% required work leave. - 40 doctors (56%) have left the program, mainly due to healing or improvement (figure 2) - In the last 5 years an upward slope of doctors accessing PAIME has been observed (figure 3). PAIME is an effective program in the rehabilitation of doctors, which are gradually increasing in recent years, especially the resident doctors, which suggests that the period of residence is especially delicate and should be studied deeper.   It is known that some patients do not feel satisfied with their treatment and that caregivers often feel overloaded. To describe the satisfaction of patients and their main caregivers in cases treated with monthly (PP1M) or quarterly (PP3M) paliperidone palmitate. This is an observational, descriptive and cross-sectional study, which uses a sample defined by all patients who visited the Mental Health Team during April 2018 and who were receiving monthly or quarterly treatment with paliperidone palmitate. A descriptive analysis of the variables considered was performed. Nearly half of the patients (45%) rate on the MSQ scale as \"very satisfied\" with their current antipsychotic medication (figure 1). The EuroQoL-5D Health Questionnaire shows that the majority of patients (60%) rate their current health status in the range of 61-80% (figure 2). In addition, many patients have no problems walking (60%) or with their own personal care (42.5%) and do not feel pain / discomfort (55%) or anxiety / depression (50%); However, most have some problems to carry out daily activities (45%). 37.5% perceive their health to be \"equal\" to the previous year and 25% better. Only 5% feel \"worse\". In the Zarit Caregiver Burden Scale the predominant response of all caregivers was “never” (32.5%; figure 3). Most patients on treatment with PP1M or PP3M are involved in making decisions about their treatment, they feel \"very satisfied\" with their treatment and they perceive their health status as quite good. The main caregivers of patients treated with PP1M or PP3M experience little burden. Conventional wisdom has it that medical students, who are supposed to work in health care services in their future, should be more responsible for their health and lead a healthy lifestyle. What signs of unhealthy behavior do they show in reality? Our objective was to study dominating factors of unhealthy behavior in junior medical students. We used the Lutsenko & Gabelkova’s questionnaire for health disorders (2013) to survey the first and second-year students of a medical faculty – 36 females and 65 males aged 18-25. The research revealed that among the most evident signs of healthy behavior disorders in the surveyed students are as follows: insufficient self-control (25.7 %), which testifies for insufficient ability to control their emotions and cope with stress; emotional incompetence (19.8 %), which speaks about inability of future doctors to differentiate emotions, which can lead to conflicts or somatization of anxiety in a stressful situation; eating disorders (17.8%), seen as either inability to control meals or using food as means to cope with stress; self-destructing behavior in the form of consuming psychoactive substances (10.8%); drive for smoking (8.9%). Cumulative evident disorders of healthy behavior were revealed in 5.9% of the surveyed medical students. Most junior medical students follow healthy lifestyles. The main risk factor is the decline in deliberate self-regulation at the cognitive, emotional, and behavioral levels. To get a more holistic view, the given research should also involve senior medical students. Stigma has negative impacts on several life domains of mental health patients. To study stigma levels among patients with different psychiatric disorders. 108 patients with mental illness, from Hospitals and Family Healthcare Units of the central area of Portugal, completed the Portuguese version of King´s Stigma Scale, which evaluate “disclosure”, “discrimination”, “acceptance” and “personal growth” dimensions. The psychiatric diagnoses were performed by the patient’s psychiatrist/physician and comprise the following disorders: depressive (n=44), anxiety (n=22), bipolar (n=16), schizophrenia (n=11) and comorbidity between psychiatric disorders (depression and anxiety; depression, anxiety and other psychiatric disorders; n=15). Patients differ in acceptance of illness and personal growth. The lowest levels of acceptance were observed in patients with anxiety and with psychiatric comorbidity. Bipolar (p<.01) and schizophrenia (p<.05) patients revealed higher levels of acceptance than patients with psychiatric comorbidity. Bipolar patients also showed higher acceptance than patients with anxiety disorders (p<.05). The lowest levels of personal growth were shown by bipolar and by anxiety disorders patients. Depressive patients revealed higher levels of personal growth than anxiety patients and bipolar patients (both, p<.05). Patients with psychiatric comorbidity revealed higher levels of personal growth than anxiety disorder patients (p<.05). The acceptance of illness and personal growth distinguished the patients with different psychiatric disorders. Both dimensions are particularly low in anxiety disorders and acceptance is particularly high in disorders with worst courses/prognosis. Intervention to reduce stigma must focus on these two dimensions and consider that subjects with less severe clinical pictures might feel stigmatization. Over the last decades, there has been an increasing interest in emotional exhaustion and burnout. Many authors proved that mental health professionals are more exposed to emotional exhaustion. The aim of this study is to evaluate the level of emotional exhaustion experienced by healthcare professionals working in a mental health setting in Tunis (Razi) and to examine the socio-demographic factors that can cause it. A total of 200 mental health care workers in Razi hospital (nurses, residents, psychologists, psychiatrists …) were included in this study. Socio-demographic data form and the Maslach burnout score were used to evaluate the level of emotional exhaustion. The majority of the subjects were 30-39 years old (39,5 % ), were female (61%), were married 60%, and were nurses (44,5 % ). The mean score of emotional exhaustion was 26.9+/- 11.18. 22.5% of staff had low emotional exhaustion, 35% had moderate emotional exhaustion, and 42.5% had high emotional exhaustion. Singles, subjects under 40 years old, and alcohol users were significantly less exposed to emotional exhaustion (p were respectively = 0.019; 0.022; 0.005). There was a statistically significant correlation between distance between home and work and emotional exhaustion (p=0,01). Our study showed high levels of emotional exhaustion among mental health workers. Thus, measures should be taken to decrease emotional exhaustion and burnout. Inpatient violence constitutes a major problem for psychiatric hospitals. It can affect the staff working in mental health departments. The aim of this study is to determine the relationship between inpatient violence, job satisfaction and burnout among the staff working in a mental health hospital in Tunisia. We have conducted a cross-sectional study and recruited a total of 200 mental healthcare workers in Razi hospital (nurses, residents, psychologists, psychiatrists). We have collected socio-demographic data, used the job satisfaction survey (Paul E Spector) and the Maslach Burnout Inventory (MBI), and asked the participants if they have ever been physically or verbally aggressed by patients. The majority of the subjects were 30-39 years old (39,5%), were female (61%), were married 60%, and were nurses (44,5%). 49% of the respondents experienced moderate or high levels of burnout, and 9% of them were satisfied at work. 48.5% of subjects reported having experienced physical assault during their exercise at work. 63,3% of them reported having experienced verbal assault. There was a statistically significant correlation between physical violence at worksite and burnout (p=0,017). There was no correlation between job satisfaction and violence at work in our study (p>0,05). Ensuring a safe work environment in psychiatric hospitals is mandatory to decrease the level of burnout among mental health professionals. Personal accomplishment is defined as a dimension of burnout associated with feelings of competence, high self-efficacy, and sense of achievement; reduced personal accomplishment often indicates burnout. The aim of this study is to evaluate the level of personal accomplishment of the mental health workers in Razi hospital and to examine the causes. Total of 200 mental healthcare workers in Razi hospital (nurses, residents, psychologists, psychiatrists …) were included in this study. Socio-demographic data form and the Maslach burnout score were used to evaluate the level of personal accomplishment The majority of the subjects were 30-39 years old (39,5 % ), were female (61%) , were married 60% , and were nurses (44,5 % ). The mean score of personal accomplishment was 30,33 +/- 9,37. 65% of subjects experienced low levels of personal accomplishment, 17% of them experienced moderate levels of personal accomplishment, and 18% of them experienced high levels of personal accomplishment. Personal accomplishment was not significantly correlated to any socio-demographic data. Low personal accomplishment was significantly correlated to physical aggression from patients (p=0,035) and to the dissatisfaction of patients (p=0,048). Our findings suggest that personal accomplishment is directly associated with the relationship with patients. Thus improving the communication between the staff and patients is mandatory to ameliorate the work environment and the satisfaction of both patients and staff. Mobile specialized care teams represent a novel approach to psychiatric treatment, with evidence suggesting that multidisciplinary community mental health care teams (CMHT) are most adequate way of providing outpatient care. Research is done in a project called “Large-scale implementation of community based mental health care for people with severe and enduring mental ill health in Europe”, RECOVER-E , based at the Department of psychiatry and psychological medicine at University Hospital Centre Zagreb (UHCZ), with the goal of implementing CMHT for treatment of patients with severe mental illness (SMI). The aim was to assess the current state of mental health system and exiting needs (i.e. outreach needs) before introducing CMHT through focus groups with service providers and health care users. Focus groups were held with four different groups of participants: (i) service providers from Croatian hospitals already providing mobile psychiatric teams, (ii) future service providers at UHCZ, (iii) future service users and their families and (iv) representatives of SMI patients. Focus groups lasted 90 minutes under guidance of an educated moderator. indicate that all participants find CMHT an essential component of outreach care. Key problems of introducing CMHT include lack of team members, inadequate organizational and administrative support, poor intersectoral cooperation and insufficient inclusion of peer workers. CMHT present a model of outreach care, with great interest for both providing and use of service. To implement a functioning CMHT model, it is necessary to increase the number of team members, provide adequate institutional and financial support and include peer workers. The long-term consequences on individuals which are prenatally exposed to severe famine are still not known in humans. To investigate the effect of maternal famine and severe food insecurity on offspring. From previous studies we deduced the hypothesis that exposure to prenatal famine predisposes to addictive behaviors later in life and significantly alters sex ratios at birth. With this study we test this hypothesis. In a case-control study we investigated the \"Dutch hunger winter\" period from October 1944 to May 1945. The unexposed individuals are born exactly one year after the hunger period. Exposed/unexposed ratios with and without addictive behaviors were analysed and sex ratios were calculated. Male individuals exposed to famine during their first trimester of gestation had a significantly higher risk of developing addictive behaviors than unexposed males. In female individuals significant results emerged in the third trimester of gestation. There was a significant excess of males at birth in individuals with addictive behaviors, both exposed and unexposed. Addictive behavior later in life was strongly associated with prenatal malnutrition exposure in first gestational trimester in men and third gestational trimester in women. An excess of male births in addictive behavior groups point to a significant gender effect. A comparable excess of males is known in individuals with antisocial personality disorders which are regularly combined with addictive behaviors. We propose the following hypothesis for scientific discussion and research: The gender effect is survival adaptive and short-termed \"functional\" under severe famine circumstances (Open J Nutr Food Sci 2019; 1(1): 1004). The Community Group of Mental Health (CGMH) is a health promotion work, open to the community, that had been developed for more than 20 years based on the paradigms from the Brazilian Psychiatric Reform. The group’s meetings aim to develop an attention to quotidian and are composed by reporting of the members in three stages: Soirée, which contains the experiences with cultural works, Experiences Report, which involves the daily experiences and Reflexive Stage, which covers the experiences accomplished during the GCSM meeting. The aim of this study was to analyze the repercussion of participation in the Community Group based on the reports of the members in the Reflexive Stage. Thematic analysis of 24 meetings held between 2015 and 2017 at a Brazilian Psychiatric Day Hospital. The analysis of the members ‘reports enabled the elaboration of the following themes:\nEmotionsThe participant contacts and appropriates his own feelings.MemoriesThe contact with life’s trajectory enables the experience of “continuity of oneself”.IdentificationThe identification between the participants helps recognize their own progress.InspirationThe attention to the other people generates the desire for transformation, openness to the new and uncovers powers of oneself.ReflectionsElaboration of senses with emphasis to the reflections about existential questions, triggering a “state of attention to the being”, and to the reflections about health care experiences, stimulating the appropriation and defense of the psychosocial paradigm. The GCSM’s working method is an effective health care resource with the potential to promote mental health among different publics. RECOVER-e’s main purpose is to ensure well-functioning community mental health teams in five countries in Europe, one of which is N. Macedonia. The project supports the development and implementation of a multidisciplinary community mental health team - CMH, consisting of a psychiatrist, psychologist, social worker, nurse, and peer worker, delivering evidence-based mental health care to the patient location. This service delivery model was not available in N. Macedonia before the RECOVER-E program. Our team set out to design, implement and evaluate recovery-oriented care for people with severe mental illness. We aim to develop evidence-based care pathways and treatment protocols and transition to scale for regional and national decision-makers, for continued implementation after the project’s life span. All included patients were assessed by a comprehensive questionnaire. The CMH teams meet up on a weekly basis to exchange experiences, discuss different strategies and interventions used. So far, 110 patients underwent baseline assessment, with prospective randomization selected either in treatment or control group. Furthermore, 69 home visits were completed in a time span of 6 months. The patients in the treatment group were visited by the CMH team, making interventions on the spot and devising a treatment strategy for follow-up visits. The intervention is focused on changing mental health care systems to be able to provide community-based mental health care for people with severe mental illness, providing integrated services to people with severe mental illness in order to structurally attain their recovery goals, as well as timely and appropriate care in the event of a crisis. In Greece, there are over 2500 islands. Being far from the coast, the vast majority of their residents experience emerging shortages of medical services. Moreover, the practice of psychiatry in rural/remote areas differs in many ways from that in metropolitan ones. To determine the challenges and dilemmas encountered in rural mental health, especially for the early-career psychiatrists. Bibliographic review (PubMed). In rural areas, the psychiatrist is often called upon to handle more conservative people who show tendency to trust traditional/nonmedical treatments and adopt behaviours which are influenced by cultural values. Issues such as homosexuality, physical/verbal abuse, domestic violence, misuse of alcohol, abuse of illicit substances and major psychopathology (mood/anxiety/psychotic/developmental disorders) stigmatize and isolate patients. As a result, they often conceal/underestimate the problem due to the fear of heightened social stigma/discrimination. Patient management is further complicated by the insufficient supervision of the caregiver and the shortage of specialized mental health professionals/units. Issues arise in ensuring confidentiality in rural areas, where overlapping roles and dual relationships exist, adding further difficulty and complexity. Even the psychiatrists themselves may face social ostracism, suspicion and stigmatization leading to rapid professional burnout. Court-ordered evaluations may give rise to ethical dilemmas as the clinician struggles with role conflict issues and could be placed at risk for ethical/clinical misjudgments. The practice of psychiatry in underserved areas presents peculiarities and unprecedented challenges for the young specialist. Key strategies, training supervision and access to telepsychiatry networks are required to workforce the shortages and difficulties experienced both by caregivers and patients. Clinical communication skills are crucial to psychiatrist-patient relation, notably when sharing a mental health diagnosis, which may have a negative impact on patient’s life. Additionally caregivers usually also ask for information so they can effectively support the patients. However, little is known about the best way to communicate mental health diagnosis. This work aims to explore patients and caregivers’ perspectives on diagnostic communication in psychiatry. It also seeks to identify strategies for better communication and to develop an action strategy. A non-systematic literature review was performed on electronic databases using the terms “psychiatry” and “diagnostic communication”. Related articles were also analyzed. Studies underscore that patients want to be informed about their mental diagnosis and appreciate receiving clinical information from their psychiatrist. Sharing information on the diagnosis seems to enable patients to understand their own symptoms/behaviors and to actively participate in the characterization of their disease, which relates to better satisfaction and better health outcomes. Yet, patients often report difficulty in obtaining clear information about diagnosis, prognosis and treatment. Caregivers recognize the importance of obtaining information regarding the clinical diagnosis but tend to receive insufficient information in order to understand the disease and its future impact on family dynamics. Caregivers also seem to feel excluded from the clinical interaction in psychiatric care and that their knowledge about the patient is underestimated. There is a need to improve communication of psychiatric diagnosis with patients and their caregivers. An honest and patient-centered diagnostic discussion is a unique opportunity to promote a better psychosocial environment. According to the model of reflexive regulation of mental states, reflexive skills contribute to increasing the effectiveness of cognitive activity. However, negative manifestations of reflection (rumination, self-dripping) may interfere the cognitive process. The purpose of the study is to identify the effect of reflection on cognitive states that arise during the solution of creative tasks and to investigate predictors of manifestations of adaptive and non-adaptive reflection. 65 students were offered to complete creative tasks from the tests of S. Mednik and E. Torrens and then to indicate experienced cognitive states. Next, the level of reflection was measured and were studied the correlations of reflective indicators with personality orientation. Intellectual reflection determines successful solving of verbal creative tasks (F = 5.63, p = 0.011) and increases the frequency of the state of perplexity (F = 3.762, p = 0.041). Personal non-adaptive reflection positively affects the effectiveness of non-verbal tasks (F = 4.11, p = 0.027) and, like personal adaptive reflection, increases mental tension (F = 26.294, p<0.001). This fact can be determined by the cognitive orientation, which correlate with personal non-adaptive reflection (r = 0.446, p = 0.13). Personal adaptive reflection correlates with the internal locus of control (r = 4.12, p = 0.24), and intellectual one corresponds with external locus (r = 0.363, p = 0.49). Different aspects of reflection have various effects on cognitive states and the effectiveness of problem solving. This work was supported by the RFBR grant No. 19-013-00325. The initial steps of the reform of mental health care in the Czech Republic have been done. Precise mapping of the process reorganisation of mental health care is essential for evaluation of its efficiency, definition of gaps and redistribution of the budget. Assessment of changes of mental health care system over the past ten years using the data of National Health Information System (NZIS) . NZIS has interconnected information on all Czech health service providers and professionals with data reported by providers to health insurance companies (National Registry of Reimbursed Health Services - NRRHS). A combination of epidemiological and service-related information were grouped together with sociodemographic data, and mapping of geographical trends was used to track changes. The analysis revealed that 650,000 patients was in contact with the healthcare system in 2018 due to psychiatric diagnoses and that this number increases mainly inr dementia (7–8% per year) and anxiety disorders (4–5%, Table 1). The number of outpatient consulting rooms has slightly increased over time: from 1,711 in 2010 to 1,843 in 2018 (Figure 1). However, a considerable inequality in the availability of consulting rooms was revealed with a significantly better situation in Prague (2,998 inhabitants per room) when compared to other regions (ranging from 5,453 to 8,401) in 2018 (Figure 2). Although the availability of mental health care has increased, there arelarge differences in availability among regions. Data from NHIS are the key tool for the mapping of mental health care and planning of the reform of mental health care. Resilience is an interactive concept to describe the combination of serious risk experiences and a relatively positive psychological outcome despite those experiences. Cyrunlik stated that if an infant has a protective bond during his first year of life, then it will probably be more resilient. Explain that a protective parent-infant bond in the first postnatal year is a significant protective factor. Systematic search and literature review. A child cannot acquire resilience on his own, he must find a significant object/subject that suits his temperament. But, sometimes, the primary caregiver is threatened by psychic transparency when the memory of his early childhood is not a good model to apply with his own offspring. Then, there is a risk of transmitting trauma intergenerationally. Early sensory isolation (preverbal), causes a change in the representation of time and the acquisition of a neuro-emotional vulnerability. Later, when the wounded person can speak, it is the representation of the trauma that can be added to his suffering or repaired: a non-shared narrative leads to mental rumination, but the feeling caused by this story depends on relationship with another and congruence with social narratives. Bowlby said that if a mother with traumatic childhood experiences was able to make a fluent story, by contacting her emotion and with an attitude of acceptance, she was able to raise children with secure attachment. Two intervention strategies are: ‘resolving parental trauma’ and actively ‘supporting parent-infant relationship’. The multidisciplinary professional support of new parents will allow them to better support their children. Several studies suggest that religious affiliation and spirituality often provide a cognitive framework that facilitates finding a meaning in life and may be coping resources to better deal with stress and suffering. To study how religious beliefs and practices associate with stress, negative affect, perseverative thinking and cognitive emotion regulation strategies. 255 higher education students (79.6% women) answered a set of questionnaires in Time 0 (T0) and one year later (Time 1, T1), which included: Perceived Stress Scale-10; Profile of Mood States; Perseverative Thinking Questionnaire; Cognitive Emotion Regulation Questionnaire and two “yes”/“no” questions to assess religious beliefs (RB) and religious beliefs and practices (RBP). In T0 and T1, 82.3% and 83.9% of the students held RB and 52.8% and 48.4% of these also had religious practices (RBP). RB and RBP decreased with age, both in T0/T1. No RB was positively related to positive reappraisal and planning in T1 (r=.126, p<.05). No RBP in T0 was positively associated with T0 perceived stress, T0 blaming-others, T0 self-blame, T0/T1 global negative emotion regulation strategies and T0/T1 negative affect. No RBP in T1 was also positively associated with T1 global perseverative thinking (from r= 156, p<.05 to r=.249, p<.01). More than the religious beliefs alone, the join effect of religious beliefs and practices, might promote personal well-being. Religious beliefs and practices are associated with positive outcomes and with adaptive cognitive-emotional processes in undergraduate students. The last association may clarify the protective effect of religious beliefs and practices. Community-based psychiatry as basis for the psychosocial organizational care is a political perspective that many health services adopted after processes of desinstitutionalization. We analyze two community-based networks in depth: Rio de Janeiro’s (Brazil) and Legane’s (Madrid, Spain) Mental Health Services. Its contrasts and divergences are striking both structurally and performatively. We present an analysis of the organization and implementation of care for people with severe mental illness in Rio de Janeiro and in Leganés. We theorize about the possible causes of the observed differences, considering cultural, social and political factors. An analysis of the relevant literature published by prominent community-based psychiatry authors in Spain and Brazil. Special attention is paid to the discrepancies between the theoretical principles held between different countries and the practical institutional implementation. A predominance of a socio-cultural approaches is observed in the Brazilian psychosocial network compared to a more clinical orientation in the Spanish one. We hypothesize that the differences observed are supported by complex sociocultural aspects. In the case of Brazil: greater primary-care resources which allow for a better coordination, the overlapping of assistance with the private healthcare system as well as Río de Janeiro’s vulnerable population marginalized by the state, to name only a few. All of the above creates the need for a socially-centered approach which is less centered in the purely clinical approach. These characteristics result in a comprehensive and community-based support of the individual in which the clinical psychopathological understanding becomes blurred and relegated to second place. Mechanical restraint (MR) in Psychiatry can be defined as the application of any mechanical device that limits the person’s movement or normal access to his or her body. The use of these measures for behavioral management in people with psychiatric symptoms occurs routinely in and out of mental health departments. Due to its ethical implications, the abolition of MR is one of the main targets of mental health user’s movement in our country. To review the fundamental aspects of the use of mechanical restraints from a critical perspective. A narrative review of the literature and presentation of the results. The controversy surrounding MR is due to the fact that their use implies a loss of the right to move freely, that they are generally applied against the will of the mental health service users, that their therapeutic effectiveness is not proven but adverse effects are, and that there is a risk of Misuse and abuse. Even if its use is defended as a safety measure, international organizations point out that it’s essential to have clear legal regulation of these procedures. However, the variability of policies around MR differs considerably between countries, even within the European context, and it is not regulated by law in Spain. It seems necessary to reconsider why a measure whose effectiveness has not been demonstrated, which generates ethical, legal and scientific conflict, which causes harm to patients, professionals and their therapeutic bond, and for which there are ways to promote its elimination, is still being employed. Evidence from high-income countries demonstrates effectiveness of early intervention services (EIS) for people with First Episode Psychosis (FEP). In the US, OnTrackNY, a type of EIS, has been successfully implemented across many communites. No Latin-American country offers universal access to EIS for FEP, with the partial exception of Chile where FEP policies don´t conform to recently established evidence-based approaches. To apply OnTrackNY in Chile, adaptations to this new context are required. Identify stakeholder views on strengths and barriers associated with implementing OnTrackNY in Chile. Semi-structured qualitative interviews were conducted in three Community Mental Health Centers (CMHC) in two regions across stakeholder groups: policy makers (n=5), CMHC Health Managers/Directors (n=4), mental health professionals (n=8). Conducted two focus groups with clients (n=13) and families (n=13). Stakeholders views about three areas were examined: Current FEP services in Chile; OnTrack implementation in Chile; and OnTrack training approach to support implementation. Stakeholders shared consensus regarding strengths and barriers about each category. Current FEP services were viewed as lacking coordinated outreach and referral, promoting stigma and using a more traditional medical model. Stakeholders expressed strong acceptance of OnTrack model as it will help shift FEP services to a more recovery-oriented, patient-centered approach. Views about training identified important barriers including lack of incentives and limited time for training. Stakeholders consider OnTrack as an important approach to transform FEP services in Chile using a more recovery-oriented approach. Although some concerns in implementation logistics were identified, there appears to be strong support for On Track’s implementation with the appropriate adaptations. This project is funded by National Institute of Mental Health (R01MH115502: Contact PI: Alvarado, Multi-PIs: Cabassa, Dixon, Susser) To achieve universal coverage in mental health, it is necessary to demonstrate which interventions should be adopted Analyze the alternatives of pharmacological and psychosocial treatment in Mexico for patients diagnosed with schizophrenia, as well as “Early Intervention in Psychosis Program”. The “Extended cost-effectiveness analysis” (ECEA), it is implemented under scenario the option of treatment in Mexico, which includes: typical or atypical antipsychotic medication plus psychosocial treatment, assuming that all the medications will be provided to the patient, a measure of effectiveness is the years of life adjusted to disability (DALYs) The effect of Universal Public Financing (UPF) is reflected in avoiding 147 DALYs for every 1,000,000 habitants. In addition, has a positive effect in the avoided pocket expenditures from US $ 101,221 to US $ 787,498 according to the type of intervention. Increasing government spending has a greater impact on the poorest quintile, as a distributive effect of the budget is generated. Respect to the value of insurance, the quintile III is the one who is most willing to pay for having insurance, on the other hand, in the highest income quintile, the minimum assurance valuation was observed. The reduction in out-of-pocket spending is uniform across all quintiles; “Early Intervention in Psychosis Program” is not viable for low-middle income countries, as México. The ECEA is a convenient method to assess the feasibility and affordability of mental health interventions to generate information for decision-makers. Psychiatric hospitals are continuously challenged to improve treatment and security. To this effect the Psychiatric University Hospital in Aarhus, Denmark moved from 19th century asylum buildings to a modern 21st century psychiatric hospital in 2018. The vision was to provide better somatic treatment, to strengthen staff - patient safety and security, and to ensure better, more efficient psychiatric service for a larger number of patients. To examine what structural changes were made to achieve the treatment, safety, security and organizational goals. We reviewed the public procurement proceedings for the new hospital. For the old and new hospital, we compared: the blueprints, the structure and size of wards, the number of beds, single occupancy rooms and rooms with integrated toilet and sink, de-escalation areas, activity areas, ambient features (light and rooms with a view) and features to prevent absconding and suicidal behavior. To facilitate easier access to somatic treatment the new psychiatric hospital is located on the same compound as the somatic hospital and the somatic and psychiatric emergency rooms are joined. The in-patient wards are larger, have wider halls, and visibility of staff is increased. All rooms are single occupancy with toilet and sink. The interior design is standardized and chosen based on safety - security optimization. More non-pharmacological treatment options are available for in-patients. Out-patient treatment is centralized and standardized to accommodate a larger number of patients. Future outcome studies are needed to evaluate to which extent the structural changes affect targeted outcomes. There is a growing interest in the potential therapeutic benefits of Cannabis. It is already approved for and used for various medical indications, ranging from relief of chronic pain, treatment of inflammatory diseases, epilepsy, autism, post-traumatic stress disorder etc. During recent years, cannabis use for medical indications (\"medical cannabis\") has become increasingly used in Israel. At the end of 2018, approximately 35,000 patients held a license to use cannabis for medical indications, most (18,000) for chronic pain, and almost 5000 for PTSD. In order to bring a better solution to patients in need for Cannabis to treat several ailments that did not find an answer in traditional evidence-based treatments, the Israeli Ministry of Health promotes a whole new model for Cannabis Based treatment, in an attempt to relate to Cannabis in the closest possible way as to any narcotic medication. A thorough description of the process that brought to the Medicalization Model for Cannabis in Israel, how it is implemented, number of licences by different indications, and concrete examples on how it is administered in the case of PTSD, from a comunity psychiatrist perspective. The new model aims to bring to a better control of cannabis suply for medicinal porpuses. Israel is one of the leading nations in the research and development of Cannabis Based Treaments. This is a report on the Israeli Experience from a comunity Psychiatry perspective. Μental health is important for quality of life, economy, and society. Mental health services for prevention and treatment, maintain, restore and improve mental health. This study describes a methodology for qualitative and quantitative evaluation and improvement of the mental health service system. In this review study, literature is searched in order to provide criteria, indicators and methodology for evaluating and improving the quality of mental health services and the related qualitative and quantitative indicators. The bibliography was searched in popular databases PubMed, Google Scholar, CINAHL, using the keywords \"mental\", \"health\", ’quality’, ’indicators’, alone or in combinations thereof. Important quality indicators of mental health services have been collected, analyzed and presented, modified where appropriate. For each indicator is presented its importance, its definition, and method of calculation. Each indicator belongs to one of the eight dimensions of quality assessment: 1) Suitability of services, 2) Accessibility of patients to services, 3) Acceptance of services by patients, 4) Ability of healthcare professionals to provide services, 5) Efficiency of health professionals and providers, 6) Continuity of service over time (ensuring therapeutic continuity), 7) Efficiency of health professionals and services, 8) Safety (for patients and for health professionals). All indicators mentioned are related to public health, affecting quality of life, morbidity, mortality and life expectancy, directly or indirectly. Systematic measurement and monitoring of indicators and the measurement and quantification of quality through them, are the basis for evidence-based health policy for improvement of the quality of mental health services. Early readmission to inpatient psychiatric services is a poor outcome for service users, staff and the healthcare system. A variety of clinical, demographic and system factors, mostly non-modifiable, have been investigated previously. The identification of pre-discharge and particularly modifiable factors associated with readmission would give an opportunity for intervention and changes in policy. To identify pre-discharge risk factors associated with early inpatient readmission with a focus on modifiable factors. 272 medical records of all admissions within an 8 month period to a London inner city psychiatric inpatient service were reviewed to identify factors associated with readmission within 90 days of discharge. The data was analysed by simple comparison, calculation of odds ratios and logistic regression. 26% of service users were readmitted to the mental health trust within 90 days of discharge. Incidents (Odds Ratio [OR] = 3.86; 95% confidence intervals [CI] 1.39-10.75) and psychotropic medication change in the week before discharge (OR = 2.94; 95% CI 1.43-6.03) were significantly associated with readmission, as were the number of previous admissions and comorbid substance misuse. Successful overnight leave was significantly protective against readmission (OR = 0.29; 95% CI 0.11-0.72). The ability to predict those at high risk for readmission means they can be targeted for interventions and it can also help develop best practice around inpatient care and the discharge process. The novel findings in this study of pre-discharge modifiable risk factors such as stability and successful overnight leave could have significant implications in discharge planning policy. Emigration constitutes one of the main social phenomena of this century. The migration process involves physical and psychological stress for the person involved, although it doesn’t seem clear whether there’s a direct relationship between immigration and the onset of mental illness. Know the main psychiatric pathologies of the immigrant population and highlight the way that sociocultural aspects influence the management, diagnostic, evaluation and treatment of mental illness. Sistematic review of English and Spanish scientific papers of the last 20 years. Psychiatric syndromes are universal but their clinical expression is determined by cultural factors. There are several psychiatric conditions that seem to show themselves more frequently in immigrant population: Posttraumatic stress disorder, psychosis, anxiety, depression and substance use disorder. Although we might think that immigration could be a risk factor for the development of mental pathology by acting as a stress generator, it seems that, according to various studies, it wouldn’t produce by itself an increase in that risk but would depend on the traumatic experiences suffered during the migratory process. Moreover, it’s important to underline that cultural traditions determine how individuals evaluate their mental health and how the concept of mental illness varies according to cultural belief system In recent years there has been an increase in immigrant population in Europe. This emigration is usually associated with psychological and adaptive malaise. The progressive awareness of doctors in cultural and immigration issues is essential, as well as the development from the institutions of specific programs and resources to approach this problem From our experience, the emergency care needed by migrant people detained in the CIE (detention centres for migrants) due to suicidal attempts, autolytic ideations, and mental suffering are numerous. Raise awareness about the psychosocial state of migrant people in the CIE, the reasons about their detention, the uncertainty in which they live, and the risk it means for keeping their mental health. Describe, based on cases of CIE inmates in emergency care and through observations made in collaboration with an NGO, the difficult situation they faced. The conditions migrant people in the CIE suffer due to the fact of not being able to legalize their status, usually because of administrative obstacles and the unrealistic requirements, go against fundamentals human rights and have important repercussions at the psychic level. These conditions, the uncertainty and the perception of injustice, severely affect the mental and physical health of the migrants, causing suicidal behavior and other mental disorders in a large percentage of the population confined in CIE. Postpartum Psychosis (PP) is a medical emergency described as the sudden onset of psychotic symptoms after childbirth. Stress-related biological and psychosocial risk factors (RF) have been described as associated with an increased risk of its appearance. In the case of migrant women, both the clinical presentation and the RF may have specific aspects which bear clinical importance. Our aim is to explore those clinical, cultural and socioeconomic predictors which could help to identify both the risk of occurrence of PP and its subsequent recurrences. We present the case report of a 33-year-old Senegalese woman admitted twice in the psychiatric-emergency Department of the Leganés hospital after presenting psychotic symptoms in the postpartum period and a bibliographic review. Multiple studies address the various RFs that may be involved in PP. The importance of a family and / or personal history of bipolar disorder and primiparity being the most prevalent ones. However, few studies address the importance of sociodemographic factors in its development. Throughout the case presented, we observe how the patient’s experience of racial difference, her own cultural practices as well as her socioeconomic level could have contributed to stress-related factors in this patient. We can show how sociodemographic differences could participate as additional factors in the development of this psychiatric disorder. As a consequence, these findings should be considered in the comprehensive approach and treatment of patients. Nevertheless, additional research is needed to fully understand the proposed risk factors and to elucidate the clinical implications derived from their study. Research on the association between exposure to immigration and prevalence of depression is limited and the evidence ambiguous. This study quantified the prevalence of Major Depressive Disorder (MDD) and the use of mental health services among the immigrant population of Santiago, Chile. 1. Estimate the prevalence of MDD in a representative sample (n=1,100) of immigrants, by sex, age group, educational and socioeconomic level. 2. Determine barriers to access to mental health care. 3. Determine if changes in socio-economic position, financial difficulties and victimization are associated with a higher probability of MDD. 4. Compare the prevalence estimates of MDD in immigrants versus in the general Chilean population. Cross-sectional survey using a structured clinical interview (i.e. modular version of the Composite International Diagnostic Interview (WHO WMH-CIDI) in a sample of immigrants. Individuals aged 18 years or older, residing in private households in Santiago, Chile, born outside of Chile and living in the country for at least 6 months with verbal Spanish language skills are eligible to participate. The WHO WMH-CIDI is used to evaluate MDD. Data on sociodemography, displacement, experience of victimization, discrimination, alcohol use, social support, mental wellbeing, symptoms of anxiety and experience of childhood adversity are collected using standardized instruments. The study was approved by the Ethics Committee of the Faculty of Social Sciences of the Pontificia Universidad Católica of Chile and all participants provided informed consent. 809 interviews have been completed. Fieldwork is undergoing until October 31st, 2019. Preliminary results will be available from January 2020. In the last years, Italian scenario in migratory flows, allowed the realisation of specific regional project. Since 2016 in the Region Emilia Romagna there is a project named START-ER) designed for per RTPI Asylum seekers and beneficiaries of International Protection (RTPI) accomodated in the first reception facilities of the area. to increase integration of social and medical assistance by interdisciplinary networking between public and private organisation to improve their health, protection and hospitality. They are subject to post-traumatic vulnerability and have numerous social and health needs. We work in group with migrants according to ethnopsychiatry and ethnopsychoanalysis theories (1,2). numbers were collected from 21 September 2016 to 31th March 2018 by anagraphic schedule than elaborated by a monitoring system. Diagnosis was made by our diagnostic and statistical manuals of Mental disorders (ICD-9 and DSM-IV). 91 people were helped in the project, of this 72 were male, 19 female and 15 minors. Nationality of 91 people involved in the project most comes from Nigeria. Among patients affected by a mental disorders most diagnosis was mild disorders as Adjustment disfunctioning. through the establishment of multidisciplinary team between public and private workers we promptly intercepted distressed people in the reception facilities where they lived, reducing referral to the Mental Health Centre. Multiple studies have demonstrated that adopted children develop behavioral and we think that they have a more risk of develop of attention-deficit hyperactivity disorder (ADHD). The objective of this paper is to study if there is a higher frequency of ADHD in adopted than non-adopted children and in that case, which risk factors increase the vulnerability. A bibliographic search was performed from different database (Pubmed, TripDatabase) about both populations, looking for vulnerability factors for the development of ADHD. We found more ADHD on adopted children than children raised in their biological families. This finding might be because of risk factors related with adopted children, like prenatal alcohol exposure and a maintained state of deprivation (from no social or cognitive stimulation, to maltreatment). In addition, the prevalence and levels of ADHD symptoms are increased in children who have been institutionalized early life, because it can disturb the development of some brain regions, and children who have spent more time in these institutions (more than 6 months). We found that de prevalence of ADHD symptoms between adopted children with low level of deprivation were similar to the general population (5.6%), while individuals with high level of deprivation had over four times than the others (20%). In conclusion, adopted children have more risk to develop ADHD, especially if they have been exposed to a serious deprivation, on a earlier age and six months minimum. We should put more attention in this population to act early and supply an appropriate development. People living in different countries implement their healthy lifestyle choice in different ways, which may reflect the cultural context and their self-esteem. The goal of the research is to determine the specificity of healthy lifestyle choices and self-esteem in Russian and Central Asian university students. The research is based on the survey of 152 students (mean age 20.6±2.5) of Russian universities. The sample included 84 Russian students and 68 students from Uzbekistan, Tajikistan, Kyrgyzstan, and Turkmenistan. To identify healthy lifestyle choices, we used the Ashton et al. (2016) questionnaire while their self-esteem was assessed by Dembo-Rubinstein method. Central Asian students consume more fruit and vegetables (р=0.032). The average amount of alcoholic drinks consumed by Russian students is higher than that consumed by their Central Asian peers (р=0.019). Engaged in physical activity, Russian students consume sports foods more often (р=0.002), students from Central Asia show higher figures for smoking cigarettes (р=0.013) and hookah (р=0.014). Self-esteem index is higher in foreign students: they feel happier (р=0.0001), healthier (р=0.0001), more athletic (р=0.037), cheerful (р=0.014) and successful (р=0.002). Central Asian students also show a higher level of religious faith (р=0.0001). With their higher self-esteem index, Central Asian students are inclined to healthy eating and to consuming psychoactive substances by means of smoking. Maintaining their physical fitness, Russian students are equally guided by cues for sports foods and alcoholic drinks. These differences may reflect the students’ cultural background, which is necessary to take into account when developing health-promoting programs in universities. According to the WHO, detainees attempt suicide ten times more than the general population. To investigate the impact of migration traumas on suicide behaviours of migrants in jail and to explore how substance use and other psychiatric features affect this relation. Prospective cohort study, conducted at “Sant’Anna” jail in Modena (Italy). Socio-demographic, psychiatric features and previous suicide attempts were collected, and traumas assessed with the LiMEs (List of Migration Experiences) checklist. Every participant was followed-up until an episode of suicide behaviour or to September 2019 (end of study). Survival analysis was performed. Cox’s Hazard Ratios were used as a measure of association for the comparison between groups. We recruited 113 subject, 96% male, median age 33. Prevalence of mental disorders was 26% and substance abuse 59%. History of self-harm was present in 36% of the sample. Median follow-up time was 80 days. During follow-up, 11 events were observed (8 self-harm and 3 suicide attempts); cumulative survival probability was 85% (Figure 1). Having experienced traumas related to wars was significantly associated with suicide behaviours, HR: 5.168 (Figure 2, Figure 3). Interestingly, no subject without substance abuse presented the outcome. Migrants in custody who experienced traumas in the post-migration periods, attempt suicide 5 times more frequently than those without traumas at any time. War traumas seem to be more strongly associated with suicide attempts, also controlling for psychiatric diagnosis, ongoing psychopharmacological therapy and substance abuse. Further research and possible intervention programs should focus on addressing post-migration living-difficulties. Inequity on mental healthcare access is a main problem for migrant population. In addition, migration-related factors may function as social determinants for mental health. It is necessary to adapt our services to the needs of this vulnerable population, currently accounted for 3.3 per cent of the world population. Cultural factors have an impact on the way that mental illness is conceptualized and could limit mental health care efficacy, if not taken into account. The aim of this study is to offer an international perspective of the different clinical models of mental health care for migrants, and to compare and uncover the specificities of the Transcultural Psychotherapy model in France. Systematic electronic search of databases (PubMed and PsycINFO). The study included 28 papers. Most initiatives place emphasis on training, supervision or consultation, in an indirect approach not specifically focused on the patient, or offer cultural matching of patient and therapist. Varied models lead to different methods of taking cultural diversity into account. The aim of these methods is to modify the framework of care, that is, the services provided, to search for a compromise between the patient and the therapist, etc. The French transcultural approach, on the contrary, is a complete psychotherapeutic method aimed at patients rather than at the framework of care. This approach is the only one makes the family’s culture and its cultural diversity an integral part of the therapy process. Geographically, Hispanic migrants in the US UU. they come from Mexico, another 20 countries in the Caribbean, Central and South America, and Spain. Studies on mental health and migration suggest a high prevalence of mental disorders in the migrant population, as well as important problems for their attention due to poor access to services. Analyze the presence of mental disorders according to the DSM-IV-TR. The sample was made up of 71 people. The MINI International Neuropsychiatric Interview was applied. The women presented more depressive episodes compared to the men (p = 0.048), in addition, they presented more suicidal risk (p = 0.028). An association was found between the major depressive episode and the migrants who made the trip to escape violence in their country of origin (50%, p = 0.046) and also with economic motivations (30.9%, p = 0.024); presence of some negative event (55.6%, p = 0.002); abuse by authorities both physical (85.7%, p = 0.010) and economic (55.5%, p = 0.013) in addition, abuse by the population (72.7%, p = 0.013). We found an association between traumatic experiences in the country of origin and mild suicidal risk (33.3%, p = 0.033), and physical abuse by the authorities (28.6%, p = 0.046). The main reasons or reasons why migrants make their trip are: the improvement in their economy for the most part, and to escape the violence they live in their country of origin. A previous clinical study of this group (Caballero et al., 2019) suggested that the mental patterns activated by watching films with conventional or unconventional narratives (Bucland, 2009) are different, and that this difference may be useful in the rehabilitation of mental illness and other applications. To measure the effect of films on viewers’ minds using inter-subject correlation of brain activity. fMRIs were obtained in a group of 15 healthy volunteers who successively watched the surrealist short film \"Le chien andalou\" (Buñuel, 1929) and the more conventional \"The lunch date\" (Davidson 1989). Three main areas and networks were selected for comparison: the salience networks, the central executive networks and the default mode networks. fMRI scaning was performed on the same day with a 3 Tesla GE MR750W Discovery Scanner. The scanning sessions included 3DT1sequence, one of each paradigm, for each patient. All audiovisual stimuli were presented through MRI-compatible headphones and prism glasses. Inter-subject fMRIs correlation and other measures were performed between the two viewing. Pending study Pending study. Cerebellar lesions are in various mental disorders. Dandy-Walker malformation is a congenital disorder, characterized by cystic widening of the fourth ventricle, hypoplasia and agenesis of vermis and cerebellar hemispheres. Case report. 39-year-old woman is admitted in the Psychiatric Unit for psychosis. Adaptive disorder at age 32, treated with escitalopram and alprazolam. Consultation due to delusional ideation of prejudice and self-referentiality limited only to his work environment, of 3years of evolution. Serology, biochemistry, thyroid profile,vitamin B12, folic acid, hemogram and EEG with results within normal. Neuroimaging (brain MRI) are reported as: presence of a large extra-axial fluid collection at the level of the posterior fossa, which is associated with high insertion of the tenorium, as well as opening the posterior margin of the IV ventricle to this formation cystic; Discreetly ectatic ventricular system and hypoplasia of the vertex and cerebellar hemispheres. These findings are concordant with Dandy-Walker malformation. (Image 1, image 2, image 3). MCMI-III: valid profile with significant scores in “delusional disorder” and “anxiety disorder”, as well as a predominance of schizoid, paranoid and avoidant traits. Treatment with paliperidone is started in progressively ascending do 9mg/day with improvement. Relationship between psychotic disorders and neurodevelopmental disorders has been developed. Spectrum of psychiatric symptoms possibly associated with Dandy-Walker Syndrome is wide and varied, however relationship is not yet clearly known. Cases are characterized by a debut in youth or early adulthood, symptomatic atypicality, higher prevalence of cognitive impairment and resistance to treatment. Importance of neurodevelopment in mental pathology Recent therapeutics for Major Depressive Disorder have been developed to target the gut microbiome and its bidirectional communication with the enteric and central nervous systems. One proposed mechanism for these therapeutics is through the interaction of the gut microbiome with the vagus nerve, affecting vagal tone and activity. A non-invasive way to observe possible changes in vagus nerve activity and vagal tone is through monitoring of heart rate variability (HRV) using an ECG. The primary objective of this study is to investigate changes in HRV in individuals with depression before, during, and after supplementation with Probio’ Stick® (Lallemand Health Solutions, Canada) and Microbial Ecosystem Therapeutic-2 (MET-2; Nubiyota, Canada). The secondary objective is to asses changes in EEG signals and their correlation with HRV in said individuals. Participants will consist of individuals with mild to moderate depression taking part in ongoing randomized controlled trials investigating gut microbiome supplementation for depression. Over the course of 12 weeks, individuals will receive three ECGs and EEGs as well as be monitored for changes in their depressive symptoms. It is expected that changes in participant’s HRV, as well as distinct EEG signal changes, will correlate with a decrease in depressive symptoms, thus giving insight into the mechanism of action for these therapeutics. It is also expected that these changes will be towards values seen in healthy controls. The findings of this study may help elucidate the mechanism of action for microbial therapy in reducing depressive symptoms, leading to advances in the development of depression therapies. Huntington Disease (HD) is a hereditary dominant disease with the typical triad: chorea, dementia and psychiatric disorders (depression and delusion), whose treatment is basically symptomatic To understand HD clinic based on its neuropsychopathology, guiding an essay to shed light on a psychopharmacology choice according to the symptoms. A clinical series of two HD patients admitted to a psychiatric hospital in different times (2015, 2019) with an aggressive disruptive behavior because of delusional cognitions and depression, comparing their clinical evolution each other (including psychopathological exams and neuropsychological test) with different therapeutic possibilities (covering antipsychotic and antidepressant) according with a recent bibliographic review. Results: Psychopathological exam reveals both celotypic erotomaniac delusional cognitions conditioning violent behaviors focused in family environment; neuropsychological test reveals both cognitive impairment with similar score (WAIS III and IV, attached document) and depression; therapeutic possibilities in bibliographic review still not agree in gold standard drug, though it is generally accepted the use of atypical neuroleptics and ISRS. In our series both are with paliperidone LA, but in the second case, clozapine addition shows better results in psychosis, as well as the change of a classic ISRS for vortioxetine shows better results in depressive mood, also objectifying an improvement of motor symptoms.   While bibliography doesn’t point a specific drug for the psychiatry clinic in HD, in our clinical series we detected an improvement of delusion and depression symptoms linked to a chorea amelioration using clozapine and vortioxetine, nevertheless, more studies are needed to confirm this hypothesis. Stroke is one of the most common diseases in the emergency department, being the second most common cause of death and the fourth leading cause of disability worldwide. Neuropsychiatric manifestations following stroke have been reported, most commonly depression. Psychotic symptoms subsequent to stroke are rare and usually associated with poor outcomes and high mortality. Despite that, they are often underestimated, undiagnosed, and thus remaining undertreated. Brief description of a clinical case of poststroke psychosis, followed by a review of the different neuropsychiatric outcomes secondary to stroke. Non-systematic review of literature collected from online medical databases under the keywords “stroke”, “cerebrovascular disease”, “neuropsychiatry” and “poststroke psychosis”. The authors report a case of an organic psychosis in a 72-year-old male with history of right hemisphere stroke ten months prior to admission in the psychiatric inpatient unit of Hospital Garcia de Orta. He presented with a two-month picture of gradual behavioural changes in the form of sexual disinhibition, irritability, persecutory and jealousy delusions, associated with heteroaggressivity directed at family members and neighbours. No cognitive changes were described by the family. After antipsychotic therapy (risperidone titrated up to 3 mg/day), progressive clinical improvement was observed, with full remission of psychotic symptoms, euthymic mood and recovered insight at discharge. Neuropsychiatric outcomes following stroke are common and seriously impact quality of life. Poststroke psychosis typically occurs a few months after stroke, suggesting a window for early diagnosis and prompt treatment, which can reduce the morbidity and improve the quality of life of these patients. Anti-NMDA receptor encephalitis was first described in 20071. 80% of the patients diagnosed are female with initial presentation of psychiatric symptoms2. Early detection and treatment is important as probability of full recovery decreases with disease progression3. Presentation of a case of unusual psychiatric symptoms in a patient with Anti-NMDA receptor encephalitis. Case report A 33-year-old foreign woman with no past psychiatric and medical history, presented with acute change in behaviour, auditory hallucinations, paranoid delusions, poverty of speech, psychomotor retardation and poor oral intake. She was tried on two different antipsychotics. Two weeks later, she developed fever, tachycardia, neck stiffness and also generalised seizures and oro-facial dyskinesia. Cerebrospinal fluid examination was positive for NMDA receptor antibodies. She received steroids and intravenous immunoglobulins, but developed ileus due to autonomic dysfunction and hypokalaemia. She also required tracheostomy and naso-gastric tube feeding. Upon family’s request, she was discharged to her home country. Initial suspicion of anti-NDMA receptor encephalitis should be raised and early auto-immune workup performed in patients presenting with acute onset of psychosis especially in young females with no past medical or psychiatric history. References Dalmau et al. Paraneoplastic anti-NMDAR encephalitis associated with ovarian teratoma. Ann Neurol. 2007;61(1): 25-36. Maat et al. Psychiatric phenomena as initial manifestation of encephalitis by anti-NMDAR antibodies. Acta Neuropsychiatr. 2013: 25(3): 128-136 Dalmau et al. Clinical experience and laboratory investigations in patients with anti-NMDAR encephalitis. Lancet Neurol. 2011;10(1):63-74. Classical ideas about the structural and functional blocks of the brain according to A.R.Luria formed the basis of the study. Determination of the frequency of occurrence of functional deficit/insufficient functioning (neurocognitive deficit) in each structural and functional block of the brain in children and adolescents with endogenous mental pathology connecting with diagnoses is of great interest. Assessment distribution of neurocognitive deficits associated with each of the 3 structural and functional blocks of the brain (SFBB1-3) in children and adolescents with endogenous mental pathology (different clinical diagnosis). Subjects: 78 patients (52 boys, 26 girls, average age 11.3 ± 2). Patients diagnoses include: F21, F20.8, F23, F84.x, F4x, F9x, F3x, F5x, F06 (ICD-10). The majority of patients (59 people) were diagnosed F21 (schizotypal personality disorder) and F20.8 (schizophrenia of childhood type). Methods. Neuropsychological examination with the “battery” of Luria-Tsvetkova, modifed for working with mentally ill children and adolescents[Zvereva et al., 2017; Sergienko, 2017]. The deficits/dysfunctions of the corresponding brain block were scored. 66% of patients showed deficiency of SFBB-1 (61%-F21.x, 87%-F20.8, 52%-other diagnoses). Deficits/dysfunctions of SFBB-2 were detected in 35% of all patients (22%-F21.x, 69% - F20.8, 21% - other diagnoses), deficits/dysfunctions of SFBB-3 - 35% of all patients (14%-F21.x, 83%-F20.8, 22%-other diagnoses). Functional insufficiency frequency indicates significant problems with 1 block of the brain in all diagnostic subgroups. The greatest manifestation of neurocognitive deficits in all blocks was found in the group of childhood schizophrenia. The complex use of anticonvulsant therapy and a machine-learning-based software package for patients with various forms of seizures makes it possible to control the number of seizures and warns of the possibility of their occurrence. The goal of anticonvulsant therapy is the complete cessation of seizures without neuropsychic and somatic side effects and the provision of pedagogical, professional and social adaptation of the patient. The created device helps to control therapy, prevent physical damage during an attack and prevent personality changes. Non-pharmacological treatment includes the use of a software package for the analysis of physiological, psycho-vegetative and social data collected using smart bracelets and smartphones. The importance in this period belongs to compliance with the treatment regimen. It is noted that with the abolition of part of the treatment, the likelihood of convulsive attacks increases sharply. The earlier and more effectively is the suppressed epileptic activity in the brain, the more favorable the prognosis for achieving prolonged remission, stopping the progression of the process and the possibility of the disappearance of the symptoms of the disease. The software package collects patient data using smart bracelets and smartphones, this data using an analytical model and machine learning and notifies the patient and the physician. It becomes possible to adjust psychopharmacotherapy at an early stage of the occurrence of epilepsy and the stage of exacerbation of the condition. Comprehensive strategies, including IT technologies used in conjunction with pharmacotherapy, improve compliance, reduce the risk of relapse, and help maintain social functioning in patients. Since the adolescence evolutionary process almost implicitly brings, potentialities and vulnerabilities, nowadays, new risks arising from the incorporation of new technologies and screen consumption by children and adolescents are to be added. According to Bringue and Sadaba (2009), continuous development of information and communication technologies (ICT) poses a communicative stage full of risks and opportunities. This study mainly aimed at establishing relationships between neuro-psychological functions of boys and girls from 10 to 12 years old, split into three socio-economic clusters, based on their screen interaction A cross-sectional study of correlational scope was carried out in 90 children (n = 90) with the same proportion of boys and girls. Infant neuropsychological Test (PINT) Ardila, et al, (2004) and a questionnaire inquiring about types of screens chosen, genre preference, content, frequent use, parental control and sociodemographic aspects in general were used as measurement instruments. remarkably evidenced statistically significant correlations of negative magnitude between variables: time of screen use and PINT dimensions (0.01). This research study allowed to conclude that participants who use screens for two or more hours a day, obtained low performance in the auditory attention tests, verbal-auditory memory and construction skills (drawing of a human figure) and a normal performance - high in tests of visual memory and visual attention. Huntington’s Disease (HD) is an incurable neurodegenerative disorder. It is the most frequent cause of hereditary chorea and is characterized by a triad of motor, cognitive and neuropsychiatric symptoms with indolent progression. To review the neuropsychiatric symptoms of HD, focusing on clinical features and management difficulties. Literature research using “PubMed” database with MeSH term “Huntington Disease [Mesh]” combined with key term “neuropsychiatric symptoms”. Restricted to review articles written in English, published over the last 5 years. Total of 161 results; 25 articles selected. Neuropsychiatric symptoms can precede the appearance of chorea in HD. These symptoms differ from patient to patient, and can change and relapse over time. The most common neuropsychiatric symptoms in HD are apathy, depressed humour, anxiety, lack of insight, disinhibition, impulsivity, irritability and aggressive behaviour. Suicide rate is near 5-10 times higher than the general population, being the second cause of death in HD. Neuropsychiatric symptoms contribute to an increase in functional dependence, leading to social isolation and decrease of quality of life. They are also reported to be the most troublesome for relatives and caregivers. Evidence-based pharmacological and non-pharmacological treatments for neuropsychiatric symptoms in HD are sparse and treatment guidelines are lacking. Therefore, off-label use of psychotropic medication is the only therapeutic possibility nowadays. Neuropsychiatric symptoms are a core feature of HD and have a severe impact in patient’s daily life. An incisive approach of these symptoms is required to prolong the patient’s functionality, so the development of specific treatments for HD is mandatory in the future. Hashimoto’s encephalitis (HE) is an autoimmune neuropsychiatric disorder. It can masquerade as a psychiatric condition when obvious signs of encephalitis are absent. High clinical suspicion is required to avoid treatment delays, as early-initiated immunotherapy is the key for a favorable prognosis. The aim of this study is to present a case-report of Hashimoto’s encephalitis which presented with psychotic symptoms. Literature research conducted using “PubMed” database. Search equation built using the MeSH terms \"Hashimoto Disease\" AND \"Psychotic Disorders\", restricted to articles written in English. Total of 19 results; 9 articles excluded. Information regarding the clinical case obtained by consulting the patient’s file. Woman, 65 years old. Followed as a psychiatry outpatient for a depressive episode, with progressive improvement of the affective symptoms. Started expressing persecutory delusions. Anxious humor. Lack of insight. Initiated treatment with an atypical antipsychotic, and symptoms showed no improvement. The work up showed only markedly elevated antibodies against thyroid peroxidase and thyroglobulin. The diagnosis of Hashimoto’s encephalitis (HE) was made. She was referenced for a liaison neurology evaluation. Started treatment with prednisolone and the symptoms strikingly improved. Asymptomatic after 3 months, returning to her basal functioning. Maintained follow-up and was discharged after a year. HE is a challenging diagnosis since it can masquerade as a functional psychotic disorder. This case illustrates not only the importance for psychiatrists to be aware of the possibility of autoimmune encephalitis in patients with refractory psychotic symptoms but also the need of a multidisciplinary approach in treating patients with neuropsychiatric conditions. Irritable bowel syndrome (IBS) is one of the most frequent functional gastrointestinal disorders. The multifactorial approach suggests that oxidative stress is a major component in IBS development. Considering the multifaceted mechanisms and dysregulations occurring in IBS, a possible interaction between central nervous system and gastrointestinal tract could partially explain the IBS symptoms modulation through physiological and psychological stress in animal models. In this way, we previously described the possible implications of cognitive and oxidative stress impairments in IBS. In this study, we aimed to evaluate the antioxidant potential of Camelina sativa seeds extract and the possible interaction between the oxidative and behavioural changes in a complex IBS mice model. Neonatal mice experienced maternal separation (PN1-14), contention stress (PN90-92) and multifactorial stress (PN90-95). Camelina sativa extract was administered (PN98-101). Following behavioural assessment, brain and bowel tissues were collected and subjected to biochemical assessment (thiobarbituric acid-reactive substances determination). Camelina sativa extract administration lead to decreased MDA levels, as compared to control group (p<0.05). Furthermore, linear regression statistical analyses showed correlations between lipid peroxidation marker and some behavioural parameters. In this way, we observed that Camelina sativa seeds extract could exhibit antioxidant potential in a complex IBS mice model. Moreover, it seems that the oxidative stress changes could be interacting with the behaviour, in the context of Camelina sativa seeds extract administration. Our study provides additional evidence that Camelina sativa seeds extract could exhibit antioxidant potential in a complex IBS mice model. Furthermore, we observed that the oxidative stress and behavioural changes could be correlated. Balmus Ioana - Miruna, Lefter Radu, Alin Ciobica are supported by a Young Research Teams supporting research grant PN-III-P1-1.1-TE2016-1210, named “Complex study on oxidative stress status, inflammatory processes and neurological manifestations correlati Irritable bowel syndrome (IBS) is a multifactorial, multigenic and environmental-dependent disorder exhibiting a wide range of functional gastrointestinal symptoms. IBS pathophysiology includes the immune system activation, disturbance of intestinal function accompanied by inflammatory process and dysbiosis which lead to brain-gut axis impairments. The bidirectional brain-gut communication contribution is suggested by comorbidity between gastrointestinal and psychiatric illnesses. Given that the microbiome was recently described as a key modulator in mood and brain development, neurodegeneration, ageing, inflammatory processes and oxidative stress, our main goal was to review the existing data that addresses this topic of high interest, the relationship between microbiome and antioxidant, gastrointestinal and neuropsychiatric modulation in IBS. The literature search was conducted using the keywords “irritable bowel syndrome”, “microbiome”, “gut-brain axis” “stress”, “depression”, “behavior”,” antioxidants” in Science Direct, Oxford Journals, Medline and Google Scholar databases. Only English publications have been taken into consideration. This inquiry was conducted by three separate researchers. Any differences of opinions were solutioned by common consent. Mood disorders, also modulated by the microbiome, affect more than half of IBS patients, antidepressants being commonly administered to IBS patients for both gastrointestinal and neuropsychiatric symptoms. However, it was observed that the changes in gut microbial species could lead to several gastrointestinal and neuropsychiatric symptoms. Moreover, the microbiota impairments could lead to colonic cells and systemic inflammatory processes and oxidative stress. The discussed modulatory potential of microbiome in gastrointestinal tract, nervous system and molecular pathways suggested that the microbiome –gut–brain axis could be the key component in an IBS future treatment. PN-III-P1-1.1-TE2016-1210, named “Complex study on oxidative stress status, inflammatory processes and neurological manifestations correlations in irritable bowel syndrome pathophysiology (animal models and human patients)” Varying different degrees of cognitive impairments have a considerable effect on the functioning of patients, their socialization, and the level of disability. Сognitive deficits deteriorate the quality of patients life. The aims of research were detection of versatile cognitive impairments in epilepsy and studying the results of cognitive training. We studied the features of Clinical and psychopathological manifestations in patients suffering from epilepsy. The study covered 100 patients (35 men and 65 women) who were in inpatient care. The following psychodiagnostic techniques were used: the Toronto Cognitive Assessment TorCA, the test of 10 words of Luria, the MOCA test, the Münsterberg test, the quality of life scale, the Hamilton scale of depression and anxiety. The following results of the study were observed: decreased memory in 88 % patients, mild dementia in 48%, moderate dementia in 24% and severe dementia in 16%. We used non-pharmacological rehabilitation methods for correction of cognitive impairment with patients who have mild and moderate memory decreas. The results of the conducted research indicate the need for further study of the features of cognitive disorders in epilepsy and implementation of training aimed at improving cognitive function and preventing the progression of cognitive impairment. Reduction in the amplitude of P300, is found more frequently in the auditory mode but has also been reported using visual stimulus in people with schizophrenia. Previous research may imply that visual P300 alterations are specific markers of schizophrenia, but they have small sample sizes, and few make comparisons with other psychiatric disorders. To compare the amplitude and latency of visual P300, in people with schizophrenia, bipolar disorder and a control group from Valparaíso, Chile. Study protocol was approved by the Ethics Committee of the Valparaiso San Antonio Health Service. Sample consisted of 17 controls, 13 subjects with bipolar disorder and 17 with schizophrenia (18-55 years, both genders). Potentials were registered with a 64 -electrode cap, following the standard 10-20 system. Stimulus consisted in the presentation of 3 visual stimuli, triangles containing real contours (infrequent target stimulus), triangles containing illusory contours, and \"no figures\" images (distractors). Subjects were instructed to give a yes or no answer on a keyboard, depending on whether or not they saw the real triangle. llusory and distractor conditions were presented 60 times each, while the target, real triangle only 30. Series were repeated with a total duration of 20 minutes There were statistically significant differences in the amplitude of P300 between the clinical population and the controls, but not between people with schizophrenia and bipolar disorder. We found a decrease in the amplitude of visual P300 wave in subjects with a severe psychiatric disorder. However, this alteration was not specific to schizophrenia. There is evidence of the alcohol negative effects on the brain, where neuroimaging and psychophysiological studies found anatomical and functional connectivity changes associated with the dependence process. Nevertheless, fewer studies explore the anatomical and functional connectivity changes related to the recovery process. This work aims to evaluate brain functional connectivity of short- and long-term abstinence alcohol use disorder (AUD) individuals, in resting-state. For this study, we included individuals diagnosed with AUD with short-term (< 2 months of abstinence; N = 17) and long-term (8 < months of abstinence; N = 16) abstinence and healthy individuals (N = 15). EEG activity was recorded in 3 minutes eyes-closed resting state. EEG activity was preprocessed, and functional connectivity was computed through the Phase Lag Index (PLI). On the one hand, short-term abstinence individuals showed lower anterior-posterior alpha-phase synchronization compared to healthy individuals. On the other hand, short-term abstinence individuals showed lower right/anterior-left/posterior alpha-phase synchronization compared to long-term abstinence individuals. In the case of beta-phase synchronization, there was not found significant differences. The alpha-phase lower synchronization in short-term abstinence AUD individuals could be a manifestation of weak coupling between different brain networks involved in generating oscillations in this frequency band, as a consequence of the recent start of the abstinence period. Nevertheless, this weak networks coupling seems to be strengthened as a consequence of the abstinence maintenance, reflected by the absence of differences between long-term AUD and healthy individuals. Criticism of the Diagnostic and Statistical Manual and of the International Classification of Disease diagnoses is increasing due to the lack of grounding of these schemes in neuroscience or biomarkers. We present an ongoing exploration into using current neuroscience to guide psychiatric prescribing. We consider the neural circuitry of default mode network; salience network; attention network; sadness network; executive function network, seeking/reward system and more. We classify drugs into categories by what they do – act on serotonin systems, norepinephrine systems, cholinergic systems, dopaminergic systems, GABA-systems, glutamate, sodium-gated voltage channel. This classification shows us a wide overlap among drugs and helps explain how a number of different categories of drugs treat the same diagnosis. We advocate that we treat symptoms and not diagnoses, and we look at the symptoms produced by dysfunctions (overactivity or underactivity) of brain circuits. We link drugs with circuits they may affect and symptoms they may modify. Finally, we emphasize that drugs within a particular class may be more often distinguished by side effects than by efficacy. Since adopting this approach, our general practice trainees have become more facile in prescribing and managing drugs from all classes. Referrals to psychiatrists have dropped over 90%, which is good since we have a one-year waiting list for psychiatric consultations in our region. A Research Domain Criteria approach to prescribing psychiatric medication can be implemented in a general practice training setting and successfully allow general practice trainees to manage comfortably the more severe mental illnesses. Childhood maltreatment (CM) not only influences child´s cognitive functioning and psychological wellbeing, but also domains of social development in individuals with major psychiatric disorders. However, less is known about how CM affects social cognition and functionality in healthy adults. To assess the relationship between CM, social cognition and functionality in healthy adults. Sixty-three participants (Mean age = 28.1, SD = 7.1 years old, Male = 46%) were evaluated using the Childhood Trauma Questionnaire (CTQ), Mayer-Salovey-Caruso Emotional Intelligence Test (MSCEIT), Internal Personal and Situational Attributions Questionnaire (IPSAQ), Theory of Mind pictures stories (ToM) and WHO Disability Assessment Schedule (WHODAS 2.0). Physical and emotional abuse were negatively related with emotion facilitation (r = -.42, p = .001; r = -.26, p = .042), externalization bias (r = -.42, p = .001; r = -.33, p = .011) and functionality (r = -.33, p = .001; r = -.26, p = .049). Physical neglect was negatively related with externalization bias (r = -.31, p = .002), functionality (r = -.45, p = .000) and positively with negative internal attributional style (r = .31, p = .018). Emotional neglect was negatively related with functionality (r = -.29, p = .027). Sexual abuse was negatively related with emotional processing (r = -.28, p = .033), detecting deception (r = -.27, p = .037) and positively with negative internal attributional style (r = .34, p = .009). Maltreatment during childhood seems to be associated with altered social cognition and low functionality in healthy adults. Exposure to ionizing radiation in prenatal period emerged as a consequence of the wide-scale accidents at Chornobyl and Fukushima Daiichi nuclear power plants (NPP). Number of such cases accounts to several thousand. In contrast to such diseases as thyroid cancer, leukemia, or solid cancers the non-cancer radiation effects are generally studied to a lesser extent. Identification of neuropsychiatricl and comorbid health consequences of prenatal radiation exposure in the Chornobyl NPP accident survivors The neuropsychiatric, neuro- and psychometric, neuropsychological, neurophysiological, clinical (including hormonal assay and diagnostic imaging), dosimetric, and statistical methods were applied. Persons exposed to ionizing radiation in prenatal period (n=61) and matched not exposed subjects (n=597) were involved in the study. Along with a trend to an increased incidence of neurocognitive deficits, emotional and behavioral disorders, neurological deficits and decreased cerebral bioelectric activity the significant endocrine disorders were revealed. The latter featured an increase in the incidence of non-malignant thyroid disease (non-toxic nodal goiter, chronic autoimmune thyroiditis) and a range of parathyroid disorders. Parathyroid hyperplasia was diagnosed in the ~30% of exposed cases at the background of vitamin D deficiency in ~80% of them. Combined exposure from external gamma-radiation and incorporated radioactive substances in prenatal period resulted in a spectrum of non-cancer health effects in the Chornobyl NPP accident survivors. Significant incidence of comorbid neuropsychiatric and endocrine disorders is an important issue here being a topic of the on-going research. Radiation accidents, long-term space flights and interventional radiological procedures may induce detrimental brain and ophthalmic effects. The aims of our studies are at exploring long-term potential brain and ophtalmic effects of ionizing radiation (IR) in a group of Chornobyl clean-up workers (liquidators). The randomized sample (n=198) of Сhornobyl catastrophe clean-up workers (liquidators) and 110 non-exposed control subjects were examined with a battery of neuropsychiatric, psychometric, neuropsychological, psychophysiological methods, including visual sensory and cognitive evoked potentials. The cohort ophthalmological follow up study of 2892 liquidators were. Our findings showed that of neuropsychiatric pathology increased (Pv<0.001) in parallel with with radiation dose. Even cognitive impairment at doses >0.3 Sv was dose-dependent (r=0.4-0.7; P=0.03-0.003). Depression and neurocognitive deficit were more severe at higher doses (≥50 mSv). Disturbed brain information processes lateralized to the Wernicke's area were observed at doses >50 mSv. There is an increasing latency and decreasing of amplitude of cognitive visual potentials in liquidators, and eye vascular pathology as the most early and widespread radiation effect, namely retinal angiopathies and premature development of retinal angiosclerosis. Relative risk of retinal angiopathy morbidity is 1.65 (1.02; 2.67) at χ² = 4.15; p = 0.041. According to, our observations, IR represents a significant risk factor for the development of neurocognitive-behavioural disorders, that may be accompanied also by vascular ophtalmological disturbances, such as retinal angiopathias). The Obsessive Compulsive Disorder (OCD) affects 1.2% of the general population; nevertheless the evidence suggests that postnatal OCD reaches a frequency of 4-9%. - Perform a literature search about the psychotherapeutic and psychopharmacological intervention in the treatment of postpartum OCD. - Report a case about OCD clinical management. - A narrative review of the literature published, was carried out in the database MEDLINE (PubMed) between 2013 and 2018. - We describe psychotherapeutic intervention in a case of OCD in a postpartum woman. A 47-year-old woman with a history of OCD, in treatment with fluoxetine 40mg/d, admitted to the Obstetrics Unit for severe pre-eclampsia and intrauterine growth restriction. They request psychiatric assessment due to exacerbation contamination obsessive ideas; as well as bizarre ideas consistent in pain transmission to the baby through breathing, which avoids physical contact with her baby. It is diagnosed as an OCD puerperal decompensation with severe involvement in maternal care. The fluoxetine dose is increased to 60mg/d and it is established risperidone 0.5mg/night. Likewise, a coordinated intervention is carried out by the Perinatal Mental Health Unit and Neonatology being able to optimize psychopharmacological treatment and focusing psychotherapeutic intervention on baby exposure at the Neonatal ICU and later at Mother-Baby Day Hospital. The literature shows that certain aspects of the postpartum period should be considered in therapeutic decisions such as psychopharmacological treatment, breastfeeding or the involvement of affective-behavioral symptoms in the baby interaction and the consequent bond establishment. Specific and specialized intervention programs are necessary for severe perinatal OCD. Obsessive compulsive disorder (OCD) is a severe mental disorder associated with high levels of personal, social and family burden. Several interventions have been developed to support patients and their family members, and the Fallon psychoeducational family intervention has been found one of the most effective. The present study aims to: 1) adapt the psychoeducational family intervention according to the Falloon model to the context of OCD patients and their family members; 2) to evaluate the effectiveness of the experimental intervention in terms of reduction of the level of family burden, family accommodation and maladaptive coping strategies. The experimental intervention has been developed on the basis of the Falloon psychoeducational model The intervention covers the following topics: information on OCD; pharmacological and non-pharmacological treatments; family accommodation; communication skills and problem-solving strategies. The efficacy of the intervention will be tested in a randomized controlled trial implemented at the Department of Psychiatry of the University of Campania “L. Vanvitelli”. In particular, at least 10 OCD patients and their family members will be recruited and consecutively allocated to the experimental group or to a waiting list group. Patients and family members allocated to the experimental group are expected to report a low level of family burden and family accommodation and an improvement in problem-oriented coping strategies compared to those allocated to the waiting list. The new psychoeducational family intervention could be useful to improve the long-term outcome of OCD patients and of their family members. Since late-life depression is often correlated with low physical activity, the implementation of physical exercise in order to enhance functional limitations should also be considered as a feasible treatment modality. Previous research has suggested that increased physical activity might be beneficial in the prevention or treatment of depressive symptoms. To investigate the effectiveness of physical exercise in depressed older adults as an alternative to antidepressant medication. An English-language literature search was conducted using Pubmed, EMBASE and Cochrane library. Some studies proposed physical exercise as a complementary or even as an alternative treatment option for late-life depression. However, conflicting results have been reported and the results must be interpreted carefully due to methodological weaknessess, including inadequate concealed randomization, small sample sizes, short follow-up duration, and poor quality of data analysis. There are clear indications to consider that physical activity can contribute to the reduction of depressive symptoms in older adults. To obtain more insight of the effect of physical activity on late-life depression, further research is needed, based on well-designed studies. Insomnia is among the most pervasive and poorly-addressed problem of aging. The purpose of the present study was to estimate the prevalence of insomnia among older patients who visit Health Center of Distomo, Greece and to associate with several risk factors. A cross-sectional study was conducted among 150 elderly, aged >65 years. An anonymous questionnaire was designed to collect the basic demographic data of the study population. The Athens Insomnia Scale (AIS) was used to quantify sleep disturbances. Statistics was processed with SPSS 22. According to AIS 39.3% of the older people screened positive for insomnia. Sleep problems were more frequently in women (p = 0.002), in older adults (p <0.001), in elderly suffering from medical conditions (p<0.05), in participants with poor social life (p = 0.011), with absence of daily physical activity (p <0.001) and daily coffee and alcohol consumption (p= 0.016 and p=0.041 respectively). The polypharmacy (p <0.001) and especially the consumption of diuretics (p=0.007) and more than two antidepressants (p<0.001) was strongly associated with insomnia too. According to our results insomnia is often among the elderly and strongly associated with several risk factors such as polypharmacy and comorbidity. Various interventions in Primary Health Care are necessary in order to increase detection rates of sleep disorders in older people. Loneliness is related to worse health status outcome. The present study aims to identify how longitudinal patterns of loneliness associated with health in old age. A total of 1,287 individuals aged 50+ were interviewed in 2011-12, 2014-15 and 2017-18 in a follow-up study conducted over a nationally representative sample of Spain. The three-item UCLA Loneliness Scale was used to assess loneliness. Chronic loneliness was defined as the presence of loneliness in the three measurements, whereas transient loneliness expressed the presence of these feelings only at one period of study. Health status was measured with self-reported questions regarding ten domains (vision, mobility, and self-care, among others), and seven measured tests (including grip strength, walking speed and immediate and delayed verbal recall). A multilevel linear regression was used to examine association between loneliness patterns and health over time. Almost a-ten percent of participants reported feeling lonely throughout the three waves, who showed the worst health status. Both the group of chronic and transient loneliness showed a negative significant relationship with health status at follow-up, (β = -6.2, p<0.001 and β = -2.50, p = 0.02, respectively). Nevertheless, a significant change in the relationship between loneliness pattern and health status was not observed across time. Loneliness was longitudinally associated with poorer health, although health status of each loneliness pattern did not worsen over time. Different patterns of loneliness could benefit from the appropriate interventions. Elderly patients are especially at risk for the development of psychotic symptoms. Also some other psychiatric symptoms may correspond to primary psychiatric illnesses or medical conditions, specifically neurological disorders such as mild cognitive impairments or dementia. The aim of the study was to evaluate the course of patients presenting first psychiatric symptoms in the elderly. A retrospective observational study was conducted between January 2014 and December 2018. The sample included patients over 65 years of age with no psychiatric background presenting psychiatric symptoms and attended in the Emergency department. Physical illnesses, social isolation, sensory deficits, pharmacological treatment, substance abuse and familiar psychiatric background were analyzed in every patient. We evaluated the presence of neurological disorders in the following two years. Affective and emotional dysregulation such as depression, anxiety, euphoria, irritability and agitation as well as psychotic symptoms are common in preClinical and prodromal dementia syndromes. A proper evaluation and follow-up is required for improving the prognosis of these patients. Almost 7% of the geriatric populations are suffering from dementia in the USA where the prevalence increases exponentially with increasing age and doubles every five years of age after age 65. Major Neurocognitive Disorder, which corresponds to dementia, requires substantial impairment to be present in one or more cognitive domains (memory, language, executive functions, social judgment and coordinated motor activities), sufficient to interfere with independence in everyday activities. Besides cognitive dysfunction, Dementia patients can present with a range of heterogenous presentations called behavioral and psychological symptoms of dementia (BPSD). BPSD includes three groups of symptoms; affective, psychotic and other neuropsychiatric disturbance. In the clinical settings, it is challenging to determine the primary cause of cognitive impairment in psychotic patients and vice versa. So the question remains unsolved. In order to answer the question, electronic database search of Medline, Pubmed was done using the keywords, “Psychosis”, “Dementia”, “Geriatric population”, and came up with 93 articles that include clinical study, comparative study, meta-analysis, multicenter study, observational study, review, scientific integrity review, and systematic reviews. From those 5 studies were selected for the review based on the highest level of internal validity. Studies to date suggest that mood, apathy, amotivation and anxiety symptoms are more common in mild cognitive impairment, while psychotic symptoms are more common in certain subtypes of dementia, such as Lewy body dementia. Further Clinical and translational studies are needed to see the temporal profile of development of psychotic symptoms and cognitive decline to decide the association pattern. Sleep disorders are common in the elderly. This is even truer when we consider the older adults living in a retirement home. In addition to aging, other factors can lead to a poor quality of sleep. Our study aimed to evaluate the quality of sleep of elderly living in a retirement home and to determine the associated factors to it, in a Tunisian sample. It was a cross-sectional study conducted in January 2019 among elderly people living in a retirement home in Sfax (Tunisia). Sleep quality assessment was performed using the Pittsburgh Sleep Quality Index (PSQI). Our study sample consisted of 30 older adults. They were 73.4 years old on average with an over-representation of males (60%). The mean number of months spent in the retirement home was 57.62 ± 77.96 months. According to PSQI scores, 53,3% of the residents had a poor quality of sleep (PSQI ˃5). The mean sleep latency time was 49 ± 74,67 minutes. Thirteen residents (43.3%) reported difficulty getting enough enthusiasm to get things done during the day and 76.7% (n=23) reported having difficulty falling asleep in less than 30 minutes, at least once a week. We found a significant association between a good sleep quality and the presence of religious practices (p=0,035). Our findings confirm the reported high prevalence of poor sleep quality in retirement home population. Religious practices seem to be a protective factor that needs more attention. Psychosis is relatively common in the later stages of life: occurs in nearly 10% of patients over 60 years attending to psychogeriatric clinics. This is a distressing situation that persist for many years, associated with increased risks of social dysfunction, institutionalization, and death. Analyze the most recent literature about this subject and highlight the latest indications for diagnosis and treatment. Bibliographic search in PubMed and ClinicalKey electronic databases, with a review of the literature in the last 5 years, with the terms “psychosis”, “elderly”, “late onset schizophrenia”. A late-onset (aged ≥60 years) variant of psychosis without dementia has been recognized, and classified as very late-onset schizophrenia-like psychosis. This people are similar to those with early onset schizophrenia in symptoms, family history and pattern of neuropsychological impairment. However, there are some differences: the prevalence of women is higher, the cognitive impairment is smaller and multimodal hallucinations are present. It is associated with sensory impairment and social isolation, but not with formal thought disorder, affective blunting or familial aggregation. The overall treatment strategy is the same as that of the young population, but lower antipsychotic doses are required. The concept of very late-onset schizophrenia-like psychosis is characterized by the onset of delusions and / or hallucinations after 60 years of age in the absence of affective disorder or demonstrable brain disease such as dementia. The disease is seen as a functional psychosis with symptoms that respond to antipsychotic medications in lower doses. Charles Bonnet syndrome is a clinical entity characterized by the presence of visual hallucinations in patients with severe bilateral visual impairment. They occur as a result of a damage along the visual pathway and affect 10 to 40% of adults who experience significant vision loss. Describe a clinical case of Charles Bonnet syndrome and assess the state-of-art for contribute to better diagnosis of this entity. Describe a case report of Charles Bonnet syndrome and perform a bibliographic search in PubMed and ClinicalKey electronic databases, with a review of the literature in the last 5 years, with the terms “Charles Bonnet syndrome”, “visually impairment”, “visual hallucinations”. This case report will focus on a 78-year-old man who, due to an accident, lost his vision about 20 years ago. He was asymptomatic until 4 weeks ago, when he began to refer complex visual hallucinations, with progressive impact on his daily activities. At emergency department the patient saying that saw several animals, which he considered strange and could not explain. Due to these complaints, he was referred for neurological evaluation, and posteriorly referred to psychiatry. Given the hallucinatory condition, the diagnostic hypothesis of Charles Bonnet’s Syndrome was placed. He was treated with quetiapine 50mg id and alprazolam 0.25 mg 1/2 id, which was suspended few weeks later due to intolerance. Six months later the patient remained without medication, with hallucinatory improvement. It is important to know and be aware of these situations, which can be easily confused with delirium or dementia. Assessment of geriatric patient can be challenging due to diagnostic overlap of the three D’s of Geriatric Psychiatry namely delirium, dementia and depression coupled with significant social stressors in older adulthood. A case of an elderly woman with 6-month history of behavioural changes is described to illustrate the challenges in diagnosis. case report Madam A is a 79year old Chinese lady with a medical history of euthyroid multi-nodular goitre. She has no past psychiatry history. She presented with 6-month duration of depressive symptoms, visual hallucinations, paranoia, intermittent confusion and cognitive decline that started after her husband’s sudden death and exacerbated by family dispute. Her symptoms preceded a total thyroidectomy that was performed due to difficulty in breathing. Post thyroidectomy, she was hospitalized twice due to derangement in calcium level. She was noted to have suicidal ideation and homicidal ideation towards her daughter with intellectual disability prompting psychiatric admission for safety and evaluation. She was euthyroid and calcium level was normal on admission.On mental state examination, she was fairly attentive but guarded and paranoid against nursing staff. She declined cognitive assessment. She was withdrawn and did not want to talk about her feelings. Based on clinical observation and collateral history from family, she was diagnosed to have Major Depressive Disorder with psychotic features. This case illustrates the diagnostic challenges in an elderly woman due to substantial overlap of clinical syndromes of delirium, depression, dementia and grief. A comprehensive assessment including detailed time course and medical examination is helpful for accurate diagnosis. Sense of coherence can be defined as the coping capacity of people in the form of a feeling of confidence that one’s environment is predictable and that they can deal with everyday life stressors. This study was designed to explore the possible association between spirituality, religiousness, and sense of coherence in older adults living in Greece. Τwo hundred and twenty seven healthy older adults (Mage =72.23, SDage =6.57; Meducation = 7.81, SDeducation = 3.93) from two cities, an urban center in Southern Greece and a less urbanized city in Northern Greece, participated in this study voluntarily. All participants were asked to complete a demographics questionnaire, the self-reported Royal Free Interview for Spiritual and Religious Beliefs, and the Sense of Coherence Scale. indicated that the majority of the participants reported strong religious beliefs as their age increased. Female widowed participants expressed greater religiousness and spirituality. A statistically strong positive correlation of the Sense of Coherence score with the Spiritual Scale as measured by three questions of the Royal Free Interview was found. The total score for Sense of Coherence was negatively correlated with gender (women), marital status (widows), and increased age. The findings of this study confirm previous findings of other researchers concerning a different population group residing in a rural area of Crete. Future research should include not only larger samples of older adults, but also groups of older adults as well as younger adults suffering from different diseases. Although bipolar disorder may begin after the age of 50, only 6-8% of cases occur after the age of 60. If we also take into account the influence of cerebrovascular risk factors, the approach and prognosis become more complex. The field of bipolar disorder in Old Age Psychiatry is broad in clinical practice but scarce in the publication of scientific evidence. An exploratory-descriptive study that exposes a clinical case of a 68-year-old man who debuted with manic symptoms four months after having suffered a cerebral infarction, which developed as a confusional episode. The current literature is reviewed and a multidisciplinary approach is carried out, concluding that it is a bipolar disorder due to cerebral infarction with cingular involvement. The patient improves with the initiation of treatment with valproic acid as a normotimizer, selected because of its good tolerability and ease of handling. Nevertheless, an important part of the treatment will be the control of cerebrovascular risk factors. Regarding the acute confusional state, present in the differential diagnosis of various psychiatric presentations, it is important to consider several lobar or focal neurological syndromes that can cause a state of confusion, even in the absence of focal neurological deficits in the exploration. If the onset of manic symptoms occurs in late adulthood or in the elderly, the possibility of an organic disease should be considered in greater depth. Silent cerebral infarction may be much more common than symptomatic stroke. The definitions and classifications of cerebral vascular accidents do not contemplate psychiatric symptoms. Glioblastoma Multiforme (GBM) is the most aggressive malignant brain tumor, with the maximum incidence in patients aged more than 65 years. Clinical presentation characteristically includes focal neurological disturbances, but in a minority of cases these symptoms may be minimal/absent. Thus, it is important to be aware that psychiatric symptoms may be the first sign of the disease. To provide a report of psychiatric presentation of GBM. We present two cases of patients aged more than 65 years presenting with depressive symptoms who were subsequently diagnosed with frontal GBM. Patient 1: A 82-year-old female was admitted to the ER service with insomnia, confusion regarding the daily living activities and inability to manage the medication of his spouse of whom she was caregiver. Additionally, she reported a persistent headache, that she felt as consequence of insomnia and fatigue. These symptoms have developed 1 week before. There was no history of previous psychiatric disorder. Patient 2: A 72-year-old female diagnosed with Recurrent Depressive Disorder presented to the ER service reporting abulia and social isolation. At admission she had whispered, sometimes incoherent, speech and perplexed posture. She stopped medication 3 months ago (venlafaxin 150 mg od and lorazepam 2,5 mg od). The medication were reintroduced, without benefit. Both patients undergo a complementary neuroimaging assessment and were diagnosed with frontal GBM. Patients with brain tumors may still misdiagnosed as primary psychiatric disorders. Given that treatment of early-stage GBM may improve its extremely poor prognosis, its early detection becomes crucial. Neurodegenerative disorders, such as cognitive impairment and dementia, are disorders that are increasing their incidence. They are diseases that generate a great loss of autonomy and functionality, requiring specialized caregivers and numerous health resources throughout the course of the disease. On numerous occasions his debut is with cognitive symptomatology, memory disorders. But it can also debut with depressive, anxious or psychotic symptoms. Depressive disorders can present cognitive alterations so that at advanced ages it is necessary to make an adequate differential diagnosis since the early screening of disorders that occur with cognitive impairment is associated with a better prognosis. The objective of the study is to demonstrate the association between affective symptoms in disorders with cognitive impairment in people over 65 years of age and the need for neurocognitive tests such as MMSE from primary care. Sample of 24 patients, treated in the first consultation with mental health for presenting affective and cognitive symptoms. We perform neuropsychological test as MMSE. 24 patients, 3 men and 21 women. We performed an MMSE: Of the 21 patients >65 years old, 12 scored <23, so they are diagnosed with cognitive impairment. We performed statistical analysis obtaining statistical significance p=0.000 for patients with affective and cognitive symptoms. Affective symptomatology is present in neurodegenerative disorders such as cognitive impairment and dementia and sometimes affective symptoms may appear earlier than cognitive ones. Therefore it is indicated to carry out screening test and an adequate differential diagnosis from primary care and not delay the diagnosis. This study aims the perspectives of older adults on their sexual unwellness. A qualitative research analyzed older adults’ perspectives on indicators of sexual unwellness in Portugal and Romania. Forty seven older community-dwelling participants aged 65 to 91 years, were interviewed. All the interviews went through content analysis. Preliminary results of content analysis produced five themes for the Romanian sample: Aging (k= .90, p<.01); poor health (k = .92, p<.01); loss of partner (k = 93, p<.01); lack of libido (k = .91, p<.01); and life stressors (k = .81, p<.01); and five themes for the Portuguese sample: Lack of communication (k = .92, p<.01); lack of love (k = .89, p<.01); lack of trust in the relationship (k = 98,p<.01); lack of self-esteem (k = .90, p<.01); and life stressors (k = .9, p<.01). This study underlined the perspectives of Portuguese and Romanian older adults concerning sexual unwellness. For the Romanian sample, aging was the most frequent theme, whereas for the Portuguese sample, lack of communication was the most pointed out theme. Vagus nerve stimulation (VNS) has been associated with cognitive-enhancing effects in neurocognitive disorders (ND) in the literature, but no clear recommendation for use of this method has been yet formulated. To verify the quality of data regarding the efficacy and tolerability of VNS use in patients with ND and in population with risk of developing ND. Main electronic databases (PubMed, CINAHL, PsychInfo, Cochrane, EMBASE) were searched using as keywords “VNS” and “neurocognitive disorders”, „dementia”, „cognitive deterioration”. We have selected clinical trials with any design which specified the methods used to quantify the efficacy of the intervention. A 6-month open-label pilot study with Alzeimer Dementia (AD) patients (N=10) demonstrated response in 7 cases, according to the ADAS-Cog and MMSE scores. A follow-up study (N=17) on probable AD patients showed improvement or no decline from baseline after one year, as reflected by the ADAS-Cog and MMSE. A single-blind study demonstrated improvement of associative memory performance in healthy older individuals (N=30), even after a single session. The tolerability of VNS was reported as being good by all the cited trials. The found data are derived from small-scale short-duration studies, therefore more accurate data is needed in order to validate the efficacy of VNS in neurodegenerative disorders. Efficacy of VNS in ND is not yet validated, but the tolerability of this therapeutic intervention is good. For both ND patients and old age patients with risk of developing cognitive decline, larger-scale longer duration trials should be conducted. First author was speaker for Astra Zeneca, Bristol Myers Squibb, CSC Pharmaceuticals, Eli Lilly, Janssen Cilag, Lundbeck, Organon, Pfizer, Servier, Sanofi Aventis, and participated in clinical research funded by Janssen Cilag, Astra Zeneca, Eli Lilly, San Subcortical lacunes, neurodegenerative processes, and gray matter atrophy are frequently detected in late-life depression, which suggest an involvement of the vascular pathology in elderly patients with depressive symptoms. To formulate good practices for patients with vascular depression based on our department data and literature research. A retrospective analysis of patients admitted in our department between 2010 and 2019 with vascular depression was performed and results were compared with guidelines and expert consensus found in the literature using Google search engine, Cochrane Database of Systematic Reviews and Thomson Reuters/Web of Knowledge database. Neuroimagistic investigations and cognitive measurements using standardized instruments are useful first step recommendations in patints suspected to present for vascular depression. Blood pressure, metabolic profile, and body mass index should be considered for monitoring throughout the duration of the treatment. At least one years post-symptomatic remission of depression the patient should be treated psychopharmacologically and psychological counselling or psychotherapy should be offered. Selective serotonin reuptake inhibitors are the first line choice in this population due to their favourable metabolic profile, but attention to the pharmacokinetic interaction, especially with anticogulants, should be considered. Monitoring of the depressive symptoms should include structured clinical scales which emphasize psychological symptoms, e.g. Montgomery Asberg Depression Rating Scale or Cornell Scale for Depression in Dementia. Vascular depression is a specific type of affective disorder and the case management should involve an interdisciplinary team and structured scales for symptoms monitoring. The author was speaker for Servier, Eli Lilly and Bristol-Myers, and participated in clinical trials funded by Janssen Cilag, Astra Zeneca, Otsuka Pharmaceuticals, Sanofi-Aventis, Sunovion Pharmaceuticals. Changing demographics of older population has created substantial unmet need for services addressing immigrant and ethnic/racial minority elders. Workforce shortages can be reduced by task-shifting to community health workers (CHW) who speak the language and share the culture of these elders. Yet, implementation of complex disability interventions developed in clinical trials requires adaptations to be deployed by CHWs under the supervision of licensed clinicians. This article describes the process of adapting and improving adoption of an evidence-based intervention for mental and physical disability prevention in community settings. We followed Barrera’s staged model of adaptation that includes periodically assessing needed adaptions. We established additional measures for easier adoption, modifications of fidelity, and barriers and facilitators for intervention maintenance and sustainability. We used feedback from key stakeholders, including 4 clinical supervisors, 18 CHWs and 165 participants, collected at three time points. Adaptations included systematization of CHW supervision process, increased flexibility in number of sessions offered according to participant’s needs, inclusion of self-care content, modification of materials to better reflect elders’ daily life experiences, and a focus on patient engagement. Areas for further inquiry and adaptation identified in our process included enhancing examples with culturally relevant metaphors, visual aids, and training CHWs in the importance of building trust. This study contributes to implementation science by identifying key aspects of intervention adaptation that facilitate broader reach of service delivery through service provision by CHWs in community-based settings, with a culturally diverse elder population, and a focus on prevention of both mental and physical disability International Psychogeriatric Association defined the term „Behavioral and psychological symptoms of dementia“ (BPSD) as a heterogeneous range of psychological reactions, psychiatric symptoms, and behaviors occurring in people with dementia of any etiology. [1] BPSD is classified as: (1) disorders of thought content; (2) disorders of perception; (3) disorders of mood; (4) disorders of behavior. [1] To analyze if there are any relationships between the degree of cognitive impairment and severity of BPSD. To analyze the potentials of psychopharmacologic interventions. To determine the most common BPSD. 38 patients with dementia hospitalized in Psychiatric Hospital Sarajevo were included in the study, eligibility criteria were living with caregivers. Cognitive impairment was evaluated with Mini Mental Status Examination (MMSE) score, severity and number of BPSD were assessed using Neuropsychiatric Inventory (NPI-12). The evaluation was made in the 1st and 4th week, before and after commencing pharmacotherapy Of 38 patients, 34 met the criteria. Patients with lower MMSE score had higher baseline NPI-12 score (MMSE 0-10, NPI 55; MMSE 11-20, NPI 45; MMSE 20-26, NPI 39). NPI scores decreased significantly from baseline to week 4; 79% in the group with MMSE 0-10; 89 % for patients with MMSE 11-20; 96 % for those with MMSE 21-26. The most common symptom was agitation/aggression, registered in 26 (79 %) patients. The severity and the number of BPSD, as well as the therapeutical effects, correlate with the degree of cognitive decline. The most common symptoms are disorders of behavior. Reducing polypharmacy and enhancing rational prescribing is a theme of “Realistic Medicine” as detailed by the Chief Medical Officer in Scotland. Older adults are at greater risk of polypharmacy due to multiple medical and psychological co-morbidities. To pilot a specialist older adult joint psychiatric and mental health pharmacist clinic to assess, advise and monitor older adults with polypharmacy and significant mental health diagnoses, and to survey patient satisfaction with the clinic. A monthly joint (consultant psychiatrist and specialist pharmacist) clinic was established in a primary care health centre in one Scottish health region (Fife, 365k). Patients had initial assessments and case-note reviews by the psychiatrist with medication reviews by the pharmacist. Patients re-attended 4 weeks later for explanation of the polypharmacy recommendations with implementation by general practitioners supported by their practice pharmacists. All patients had psychiatric follow-up and were issued with satisfaction questionnaires. Attendance rate of 92% (22/24), 75% female, average age 72 (range 61-80) years. 58% were attending a psychiatric day hospital, 42% had bipolar affective disorder, 50% other mood disorders, 25% alcohol-related conditions, 33% cognitive disorders and one person with dementia and delusional disorder. The average (range) medical co-morbidities were 5.7 (3-9). Patients were prescribed 2.7 (1-5) psychiatric, 8.8 (3-16) physical, 11.4 (5-20) total medications. Recommendations were to reduce/stop 2.8 (0-7) and replace 0.6 (0-2) medications/patient. All patients received additional healthcare advice. The clinic achieved high levels of patient/carer satisfaction ratings. This combined specialist clinic reduced (25%) polypharmacy in an older adult population with significant mental healthcare issues. Frailty is an important physical co-morbidity of patients with neurocognitive disorders (NCDs). Frailty refers to increased vulnerability due to age-associated declines in physiological reserve and function across multiple organ systems. It is a condition in older people characterized by decreased capacity to cope with stressors. Management of frailty is essential for persons with NCDs. To determine the characteristics of built environment that supports frailty management in patients with NCDs. We performed an analysis of professional guidelines for architecture and design of spaces for patients with NCDs living in community or institutionalized settings. Characteristics of built environment that promote frailty management in patients with NCDs were described. We identified 6 guidelines for architecture and design of spaces for persons with dementia. Architecture plays an important role in both support of autonomy of patients with NCDs and of frailty management. Architecture is both supporting and empowering the frail elderly user with NCDs, promoting orientation and mobility, helping to increase appetite and management of mood and sleep disorders, by using therapeutically the 5 architectural tools: light, shape, color, texture and sound. The therapeutic architecture dedicated to the frail elderly with NCDs focuses on his abilities, uses age-friendly principles and Universal Design. A very important aspect is accessibility. Built environment can be seen as a promising tool to support frailty management in patients with NCDs. Further studies are necessary to determine specific patterns of environmental designs which promote frailty management in patients with NCDs. The built environment influences physical and mental health, well-being and quality of life. For older adult living in institutional settings, the main mental health problems are: neurocognitive disorders, delirium, depression, anxiety and sleep disorders. The present research aims to demonstrate the importance of the architecture of the nursing homes, reffering to both the principles of interior design and of the outdoor spaces, on the mental health of senior residents. The paper investigates interdisciplinarly from the point of view of two professionals, a physician, (geriatrics-gerontology and psychiatry) and an architect, three seniors centers: Ellesmere Nursing Home (2007, UK), Alcacer do Sal Nursing Home (2010, Portugal) and Dublin Respite Center (Ireland, 2007). Case studies are used. The 3 seniors centers propose different architectures starting from the elderly user. Two of them have a height of GF+2 and one center only GF, all three using low rise. The functional scheme is clear in all 3 examples but the architectural instruments are used differently. Proper use of color for 2 examples are noted, while for one stands out negatively absence of color (white), giving the impression of hospital, although the center has certain architectural qualities. All the 3 centers have landscaped gardens, we notice the therapeutical features. The built environment can encompass healing capabilities and increase the therapeutic effect of medication and psychological intervention. A built environment based on age-friendly principles positively influences the mental health of seniors. Visual hallucinations (VH) are frequent manifestations (60-80%) in patients with Lewy bodies dementia (LBD). However, their characteristics and mechanisms still remain uncertain. This case report aims to describe a case of visual hallucinations in a patient with Lewy bodies dementia and to determine their characteristics and mechanisms. A patient case is presented with associated literature review. Mr RY, aged 69, with no medical history, was referred to our psychiatry department through emergency unit for the installation of VH (figures sitting and standing in the house, people walking in the bedroom, a soldier on a navy ship) since two months. the interview revealed that Mr RY presents fluctuating cognition (attention and memory impairment) and symptoms of parkinsonism (bradykinesia, rest tremor and rigidity) for more than a year. In addition, he was put on neuroleptic treatment by a psychiatrist, but in view of the worsening of the symptomatology, he consulted the emergency services. Thus, RY was referred to the neurologist for suspicion of the diagnosis of dementia (confirmed by the tests) and the final diagnosis was LBD. VH in LBD are commonly complex, experienced on a daily basis, lasting minutes, perceived in the central field of view, opaque and static. VH has been reported to be in relation to the presence of altered GABAergic synapses and a higher density of Lewy bodies in the amygdala, parahippocampal gyrus, the inferior temporal gyrus and the frontal, temporal and parietal cortical areas. Visual hallucinations mechanisms in LBD remain complex and in a state of discovery. Several studies have shown that the Maintenance Electroconvulsive Therapy (M-ECT) is a safe and effective therapy to treat elderly patients with affective and certain schizophrenia-spectrum disorders. Despite its clinical efficacy, the use of M-ECT is not as extended as it might be expected, which could be a consequence of the need of specific resources for its administration. In fact, little research has been done on the M-ECT´s cost-effectiveness, specially targeting elderly patients. To study the cost-effectiveness of the M-ECT Program in elderly patients with affective and schizophrenia-spectrum disorders. Twenty-one patients (Mean age = 76.1, SD = 9.3 years old, Female = 57%) participated in the 18-month M-ECT Program. The sample consisted of 13 patients with depressive disorder, 5 patients with bipolar disorder, 2 patients with schizophrenia and 1 patient with schizoaffective disorder. A mirror-image design was carried out to analyze Pre-Post cost-effectiveness of the Program. After the M-ECT program, patients showed an improvement on the Clinical Global Impression-Severity score (M Pre = 2.4, SD = 1.1.; M Post = 5.3, SD = .6, p<.001). Also, it was shown a decrease in direct costs, involving ECT sessions, hospitalization in the Psychiatric Unit and Emergency rooms, from 473,418 to 223,905 euros. Besides the clinical improvement, a decrement in direct costs (11,881 euros) is observed in each patient after participating in the 18-month M-ECT. Therefore, the use of the M-ECT should be extended and implemented to treat elderly patients with affective and certain schizophrenia-spectrum disorders. Patients with esophageal cancer and a history of gastrectomy or concurrent gastric cancer undergo not only esophagectomy but also total gastrectomy. Quality of life (QOL) of these patients should be impaired immensely, but it’s difficult to know how they feel about their life after surgery. The goal of this study is to evaluate the postoperative QOL and dysfunction of these patients using two postoperative questionnaires. 41 patients underwent concurrent esophagectomy and total gastrectomy. A jejunal pedicle with the subcutaneous supercharge technique was used for reconstruction. Patients were divided into two groups, including those undergoing concurrent esophagostomy and gastrectomy (Group 1), and those undergoing esophagectomy alone (Group 2, history of previous gastrectomy). Patients were analyzed by time interval, including patients within three years of surgery (Group A) and those more than three years after surgery (Group B). Eighteen patients completed the questionnaires. The mean DAUGS20 score was 26.4±13.2. The DAUGS20 scores of groups 1 (N=7) and 2 (N=11) were 25.4±12.5 and 27±15.4 (p=0.58), respectively. Global health status scored by the EORTC QLQC-30 were 71.4±18.5 in group 1 and 67.4±22.8 in group 2 (p=0.85). DAUGS20 scores of group A (N=10) and B (N=8) were 28.1±12.4 and 23.3±14.4 (p=0.35). No significant differences were found between groups A and B regarding the QLQ-C30 scores. DAUGS20 and QLQ-C30 scores showed no significant differences between groups 1 and 2 or groups A and B. These results suggest that postoperative QOL and dysfunction may be influenced more by current status than by surgical history and postoperative interval. Head and neck cancers occur mostly in middle-aged men. If treatments are interrupted, the mortality rate will be increased. So we analyzed the data about survival and recurrence rate and identified high-risk patients of interrupted treatment to help people to complete their fully treatment and achieve optimal care outcomes. The objective of the study is to determine the risk factors of interrupted treatment, recurrence and survival on patients with head and neck cancer. This is a retrospective secondary data analysis study. The subjects of this study were patients with head and neck cancer registered in the cancer registration database of a medical center in southern Taiwan during January 2013 to December 2016. We collected and analyzed information from two delinking databases. The study included a total of 544 patients with head and neck cancer. The rate of treatment interruption was 12.5%. The risk factors of interrupted treatment were stage 4 (OR: 1.9, p<0.05), age greater than 65 years (OR: 2.9, p<0.05), and no radiation therapy (OR:8.9, p<0.05). The major reasons of interrupted treatment were side effects (39.7%), and comorbidities (23.5%).The recurrence and survival rates of treatment interruption were 20.6% and 29.4%, respectively. The recurrence and survival rates of without interruption treatment were 14.1% and 64.7%, respectively. In future, for the high-risk group of patients with interrupted treatment, medical staff should treat side effects or complications actively to reduce interrupted treatment, cancer recurrence, and increase the survival of patients with head and neck cancer. Despite the remarkable progress made in the diagnosis and treatment of oncological conditions, cancer remains the second leading cause of death worldwide, according to data provided by the World Health Organization (WHO). Increased incidence of psychiatric disorders in patients with malignancies has prompted field specialists to form multidisciplinary medical teams. The case was selected from the patients admitted to the oncology department. The diagnosis of oncological and mental disorders was completed according to ICD-10 criteria (Mental and Behavioral Disease Classification). The diagnosis of mental illness in oncological patients is frequently encountered, and the correlation between the two conditions may have a negative impact on clinical adherence with a significant decrease in survival. We present the case of a patient aged 45 years, in the rural area hospitalized for an oncological condition, in the genital sphere. After a medical and paraclinical examination, the patient is diagnosed with stage III B cervical cancer and the Oncology Committee agrees to recommend care for radiochemotherapy. Psycho-oncology is an essential partner for the success of antineoplastic treatment. Radiation treatment plays a vital role in curative and palliative cancer therapy. In elderly cancer patients (ECPs) who may have compromised organ function and/or co-morbidities, the measurement of quality of life (QoL) is increasingly being recognized as an important patient-reported outcome to determine the burden of cancer treatment in this population. To investigate the effect of radiotherapy on QoL, functional outcomes of ECPs and identify the risk factors for low QoL. Cross sectional study was performed on consecutively recruited patients from the Department of Radiation Oncology. The EORTC QLQ-C30 was administered to patients ≥65 years undergoing radiotherapy. It consists of 30 single questions, comprising five functioning scales (physical, role, cognitive, emotional, social), nine symptom items and a global quality of life scale. A total of 48 patients answered the questionnaire, 65.1% males, mean age 73 years. Global health status/QoL score was 79.7%. Regarding the functional scales, lower scores were observed in physical (56%), social (58.3%), emotional (60.7%), and role functioning (61.5%), whereas cognitive functioning (71.5%) revealed higher score. Females had higher score in social functioning (63.2% vs 55.6%, p<0.05) and patients ≥75 years old scored in all functional scales lower compared to 65-75 years old patients (p<0.05). All functioning scales of EORTC QLQ-C30 had scores above 50, suggesting thus, that radiotherapy may not have detrimental effects on QoL in most ECPs with solid tumors. However, measuring QoL in this population group is important for clinical decision-making and the evaluation of treatment outcomes. One of the most common causes of pain are tumours. Clinical guidelines recommend the use of opioid drugs for treatment of tumoral pain. In addition, the presence of certain risk factors that may favour the harmful consumption of opioid drugs must be taken into account. Main objective: to describe the prescription of opioid drugs in patients with head and neck cancer and pain in follow-up in Hospital Universitario La Paz. - Secondary objectives: description of the characteristics of the sample. Study of the risk factors associated with the development of harmful use of opioid drugs in these patients. Retrospective transversal descriptive observational study. Review of data from the medical records of patients cited in medical oncology consultations with head and neck tumours The prevalence of opioid prescription in the studied sample is 24.5%. The most commonly used opioid is the fentanyl patch. Patients with chemotherapeutic and radiotherapeutic treatment have a higher prescription of opioids. There is an association between the prescription of opioids and the state of the oncological disease. The smoking and enolic habit are risk factors of dependence that are frequently found in patients with neoplasia of the head and neck. The results about the prevalence of prescription of opioids in the sample of patients studied reflect a good practice of the use of these drugs in patients with head and neck tumours. The high prevalence of risk factors that are associated with the development of misuse, abuse and dependence of these drugs must be taken into account. A novel psychosocial intervention, dignity therapy, designed initially to help terminally ill patients to process their most valuable memories or existential aspects, is nowadays studied for multiple indications, like alcoohol use disorders, affective disorders, or neurocognitive disorders. In oncologic patients the importance for dignity therapy can not be overemphasized in relation to their quality of life, starting from these patients’ essential need to embrace realistic expectations and to cope with the disease-related stressful situations. To study the impact of dignity therapy over the quality of life in patients with oncologic diagnoses based on a literature search. A literature review was performed using as paradigm “dignity therapy” and “quality of life” and “oncologic patients”. All papers published between 2015 and 2019, found in the main electronic databases (EMBASE, CINAHL, PubMed), were evaluated. A number of 33 papers were included in the primary analysis, and only 12 remained after filtering out the results according to the inclusion and exclusion criteria. Quality of life increased as reported by good quality trials (n=2), in relation to the improvement of other secondary variables, like the will to live, anxiety, depression, overall perception of patients’ clinical status. Several study protocols have been identified with respect to this subject, so new results are expected in the future. Dignity therapy may have a positive impact over quality of life in patients with oncologic diagnoses, but larger clinical trials are needed in order to support its recommendation on a wider scale. First author was speaker for Astra Zeneca, Bristol Myers Squibb, CSC Pharmaceuticals, Eli Lilly, Janssen Cilag, Lundbeck, Organon, Pfizer, Servier, Sanofi Aventis, and participated in clinical research funded by Janssen Cilag, Astra Zeneca, Eli Lilly, San The recent research database study shows a big difference from 5up to 35% of comorbid PTSD incidence in cancer patients that depends on study design and instruments used. It is well known that leucosis is one of the most malignant cancers with relatively low survival rate that makes it an extraordinary life threatening experience, that goes one even after successful surgical treatment because of the possible delayed relapses. 72 leucosis patients after transplantation treatment were enrolled in the study, including 37 with comorbid PTSD symptoms and 35 stress-resistant patients. PTSD Trauma Screening Questionnaire and evaluation by psychiatrist were used to verify PPTSD diagnosis. Test battery included Ego-structure test, Hardiness Survey questionnaire , ICII test The PTSD screening score became the dependent variable for MRA and other test results were considered as independent ones. The model we got could determine 76% of the variance of the dependent variable and predict the PTSD manifestation, there is a strong impact of the destructiveness Ego-test scores and Deficiency low profile with the , ego-syntone ICii types and Commitment low profile on PTSD comorbidity. Therefore we can recommend the selected test-battery for the detection of the PTSD vulnerable patients in haemato oncology. Oncohematological diseases were the fifth cancer-related cause of mortality in 2017. Given the development of new therapeutics options, life expectancy and cronicity rates have increased. Quality of life in these patients has become a very important issue. QoL in this group is quite lower than in general population. Among this group, those who go throught HSCT have more complicated situations; HSCT may have a deep emotional impact. 25-36% of HSCT patients have psychopathological disturbances, anxiety and depression symptoms are the most common. Anxiety and depression prior transplantation are associated with slower recovery from transplantation. It is important to give an integrative support to patients and families, including psychological interventions. Mindfulness-Based Intervention is a good option, given the nature of the process which sorrounds HSCT. Potential stressors and uncontrollable and unpredictable characteristics of the procedure require stress management, acceptance, compassion, self-care and emotion regulation habilities; all of them are trained in MBI. To describe group differences between those who get emotional support and emotion regulation-MBI prior HSCT, and those who do not, in terms of sociodemographic and clinical data. Retrospective, quasi-experimental study. We will study differences between both groups: age, gender, diagnosis, disease stage, type of transplantation (autologous or allogeneic), marital and employment status. We will expect to find some predictors variables of who engages in psychological intervention and who does not, in order to find new approaches to attend needs of every singular patient. Caring emotional aspects of these patients could positively influence the course of disease, and help to increase QoL. Patients with psychiatric disorders often experience cognitive dysfunction, but the relationship between cognitive dysfunction and psychopathology remains unclear, partly due to research being conducted within specific psychiatric disorders. Current psychiatric diagnoses are not true representations of underlying disorders; therefore, a transdiagnostic approach may be useful for further elucidating the relationship between cognition and psychopathology. The aim was to investigate the relationships between domains of cognitive functioning and psychopathology in a transdiagnostic sample using a data-driven approach. Network analyses using baseline data from 1016 patients with various psychiatric disorders were conducted to investigate the relationships between symptoms and cognitive domains, detect clusters, and assess the predictability of nodes in the network. Psychopathology symptoms were assessed using various standard questionnaires. Cognitive domains were assessed with a battery of automated tests. Network analysis detected five clusters that we labelled as: general psychopathology, obsessive-compulsive symptoms, trauma symptoms, substance use, and cognition. Variables with the highest strength were depressed mood, anxiety, verbal memory, working memory, and hyperarousal. Most associations between cognition and symptoms were negative, i.e., increased symptom severity/frequency was associated with worse cognitive functioning. Cognition and psychopathology interact in ways that do not adhere to traditional diagnostic boundaries. Depressed mood, anxiety, verbal and working memory deficits and hyperarousal are especially relevant in this network and can be considered transdiagnostic targets for research and treatment. Moreover, future research on cognitive functioning should focus on symptom-specific interactions with cognitive domains rather than investigating cognitive functioning in diagnostic categories. Mobbing is derived from the word / verb to mob which means to assault / violate / harass someone in the workplace. Mobbing represents an aggressive psychophysical and verbal behavior executed by a group of persons, directed at one or more individuals for the purpose of denigrating / destroying the person or persons being attacked. The purpose is to bring to light the importance of mobbing and its impact on mental health to those who suffer it There have been searched and collected by PUBMED (344 articles), PMC (744 articles), THE AMERICAN JOURNAL OF PSYCHIATRY (163 articles). The search for articles was done by placing the word Mobbing on the search domain of these platforms. The results of the items with the highest impact were collected and analyzed in a comparative manner. From all the studies analyzed it was noted that psychiatric diagnoses such as PTSD, depressive disorder, suicide, homicide etc come as many professionals suffer the effects of mobbing. Mobbing has devastating effects over the individual, causing significant psycho-somatic disorders and significant social effects. It is our duty as a modern society to stop this phenomen as well as mental health professionals to identify it as early as possible to prevent the emergence of mental disorders. I recently read a critical review of Daniel Kahneman’s best seller Thinking Fast and Slow. The undercurrent of the book is to illustrate how irrational we are. I disagree. We are terribly rational and the advance of all human disciplines demonstrate this. Another human faculty which could nicely fit into the structure of fast and slow is belief. We also believe fast and slow. An opinion on beliveing fast and slow. An explaination from my perspective to show how we all think fast and slow depending on situations and enviornments and cultures. Predominantly shadowed by our beliefs. I read the book by Daniel Kahneman \"Thinking Fast and Slow.\"and I also read various critical revieew of the book in several journals and blogs. Psychiatric wards are full of believers. I have met Jesus, Elvis, Jenghis Kahn and a suitor to Jaqueline Kennedy. Elvis even sang Heartbreak Hotel! These people really believed in their alter persona. It was a belief in erroneous information. However belief transcends life and everyone has to believe something. Believing fast and slow colours our lives and we can identify with these beliefs. Belief is a central part of any life and patients with psychiatric illness often have pathology in this area. There is no format for taking a belief history. The closest thing could be a spiritual/religious history, but this may miss the layers and nuances of generic belief. Burnout is a condition due to chronic stress and overload at work. It affects professionals with high emotional involvement; care aid occupations come first. Assess the degree of burnout and identify factors related to this syndrome among emergency department nurses. This is a descriptive and cross-sectional study, carried out using a self-quiz: the Maslach Burnout Inventory (MBI). It was carried out in 2019 with the healthcare staff of four major hospitals in Tunis. Sixty participants agreed to answer our questionnaire. Women accounted for 53% compared to 47% of men with an average age of 31.8 years. Fifty percent (50%) participants were under the age of 30. Eighty-eight percent of caregivers were burnout. Thirty-three percent (33%) had a severe burnout. Thirty-five percent (35%) had an average burnout. Twenty percent (20%) had a low burnout. Burnout was severe in 72% of participants, while 60% had a severe degree of depersonalization and 57% had a low degree of personal achievement. The analytical study showed that burnout affected women more than men. Married participants with children were more concerned with burnout. Excessive workload was the major factor in burnout for 46 caregivers. These alarming results should lead to practical both institutional and individual actions to improve the quality and working conditions of nurses. One of the main problems in assessing of parenting competence is to assess good-enough parenting. In Russian pedagogic the criterions of parental competence were defined by Gribanova D., Minina A. (2018), Babalaikin O., Tankova I. (2017). In our previous research (Kostjuk G., 2018) local psychiatrists assessed parental competence of persons under long-term psychiatrical observation according to their own opinion without using any operationalized criterions. To assess parenting competence of a man and a woman, who were assessed in previous research as “good” parents. Semi-structured psychological interview, devoted to different aspects of child’s development and parent-child relations. Some personal characteristics and results of parental competence’s assessing are presented in a Table 1.\nTable 1Mother of 14 y.o. boyFather of 6 y.o. boyFamily statusA single mother, living with her son and her mother.Divorced. Non-custodial parent, visiting his child 1–2 times a week.DiagnosisParanoid schizophreniaSchizoaffective disorderEmotional acceptance of the child++Clear and consistent child requirements++Ability to organize joint activities with a child++Tendency to partner with a child++Ability to create an atmosphere of security, trust and cooperation++Respect for and acceptance of the child ’s identity and interests++Parent ’s ability to reflect+- Pedagogical criterions allow to operationalize parental competence of persons under long-term psychiatrical observation. The reported study was funded by RFBR and Moscow city Government according to the research project № 18-013-00921 А The reported study was funded by RFBR and Moscow city Government according to the research project № 18-013-00921 А The aim of the study is, to examine the relationship between triguna, coping strategies and anxiety in early adulthood, living in Bangalore, India. The method of sampling employed was purposive sampling and snowball sampling. Data was collected through questionnaires which were then scored and analyzed. Pearson’s Product Moment Correlation was adopted to analyze the results. 1. To determine the association between the trigunas and coping strategies in early adults. 2. To determine the association between the trigunas and anxiety in early adults. 3. To determine the association between the anxiety and coping strategies in early adults. Sample selection- Purposive sampling and snow ball sampling method was adopted. The sample consisted of 100 individuals in early adulthood(50 male and 500 female), currently pursuing education. Assessment Tools: 1. Inertia Activity and Stability (IAS) Rating Scale –Mathew (1995) 2. Coping strategy scale – COPE Scale by Carver, Scheier, and Weintraub, (1989) 3. Anxiety scale – Hamilton Anxiety Scale by Maier, Buller, Philipp, and Heuser,(1988) Statistical analysis: Descriptive statistics: 1. Mean 2. Standard deviation The results are presented and discussed in the following format. Section 4.1- Description of the sample Section 4.2- gender differences on triguna, anxiety and coping strategies Section 4.3-Association between Triguna, Anxiety and coping strategies in the group. There are no gender differences in men and women in triguna, coping strategies and anxiety. There is significant correlation between triguna and anxiety. There is significant correlation between triguna and coping strategies. There is significant correlation between coping strategies and anxiety. ADHD has a significant impact on the lives of individuals. At present, there is little available literature on the relationship between ADHD symptoms and time perception in adults. We know from practice that individuals with ADHD are affected by a lack of time perception and face many difficulties associated with their functioning in everyday life. The main hypothesis of the qualitative part of this study is that ADHD symptomatology has an impact on the daily functioning of individuals even in adulthood. It manifests itself primarily as difficulties with the punctuality and organization of their own time. Data collection is carried out using a combination of qualitative and quantitative methodology. Based on the results of the quantitative part, participants were invited to various parts of the qualitative part of the research. In this section, we have examined, through in-depth interviews, to what extent they themselves experience the problems associated with ADHD symptomatology and whether they perceive the impact of this diagnosis on their daily lives. The data collected confirm our main hypothesis that ADHD symptomatology has an impact on the daily functioning of individuals even in adulthood. Unlike peers with reduced or no symptomatology of ADHD, these people are more likely to experience time-related problems, need to plan their day carefully, and yet often experience problems such as late arrivals due to lack of anticipation. We see that the importance of a balanced time perspective for general life satisfaction should not be underestimated. Financial support : GA ČR - 18 -112 47 S In the communities which have not fully completed nationalization process and which have not inregrated in common terms regarding cultural, intellectual, economical and spiritual aspects, a chaotic and multi-sectional appearance is being monitored. While existence of oppressed nation is lost within the identity of oppressing nation, identity of oppressed nation can continue to live in the identities of individuals constituting the identity of oppressed nation. As a result in the individuals of the oppesed nation more than one identiity can form. The main objective of the thesis is to find out the archaic componets of social and personal behaviour in the transitional societies and to explicate the archaic pychic process of the ethnic conflict.. The following points will be studied.: * Etiology of dissociative identity disorder in the diverse ethnic societies * Alienation phenonomenon and attachment issue of ethnical elements in the transitional society * Bowlby’s attachment theory * Dissociative identity disorder as a defense way * Lacan and structure of subconscious * Narcicism as a defense mechanism Qualitative method will be utilised. Retrospective analysis will be conducted while investigating the mass murder in Bilge Village. In this thesis, we study cultural, political, intellectual and anthropological chracteristics of transition societies. The study fills important gaps in the field of etnhic psychiatry. The size and magnitude of the impacts of Bilge Village mass murder have not been investigated before. lnstead of considering this as a simple dispute or a murder case, it is required to enlighten archaic thinking and spiritual processes. The negative effect of stress is associated with prolonged activation of physiological stress response systems, which can be exacerbated by certain dysfunctional cognitive processes such as negative repetitive thinking and some cognitive strategies of emotion regulation. To analyse if stress and negative affect in college students were associated with preceding levels of stress, repetitive negative thinking, cognitive emotion regulation strategies and negative affect evaluated one year before. This longitudinal study employed a number of follow-up measures: PSS10, PoMS, PTQ15 and CERQ. Participants: 272 college students (80.1% female), with mean age of 19.3 years (SD=1.9) were assessed at T0 (baseline) and T1 (1 year later). Spearman´s and Pearson´s correlations were used, appropriately. Perceived stress and negative affect at T1 respectively, presented significant correlations (p<0.01) with certain variables measured at T0: perceived stress (r=.513; r=.451), negative affect (r=.362; r=.541), perseverative thinking (r=.351; r=.299), and certain cognitive emotion regulation strategies as Rumination (r=.233; .290), Self-blame (r=.259; r=.239), and Catastrophizing (r=.242; r=.266). Results suggest that perceived stress and negative affect remains stable after 1 year. Significant and positive associations were found between perceived stress and negative affect at T1 and several cognitive and emotional variables measured 1 year earlier. Why perceived stress and negative affect remains stable after 1 year is unclear. In future studies it will be important to investigate the mediation role of perseverative thinking and cognitive emotion regulation strategies in the maintenance or intensification of perceived stress and negative affect over time. Factitious disorder is a mental illness based on the deliberate production of symptoms in order to receive medical attention or assume the sick role. As one of the main clinical challenges for the mental health professional community, it often awakes in professionals intense countertransferential reactions that may come to question the veracity of other medical or biographical aspects of the patient’s history, beyond the pretended symptom. Based on the presentation of a case report, a review of the clinical characteristics of the factitious disorder is proposed, with special emphasis on the management of the therapeutic relationship. Case report and literature review. A 38-year-old woman with a referred actual history of malignant brain tumour was admitted to our mental health unit due to symptoms of anxiety, depression with suicidal ideation and high alcohol consumption. Concurrently she described a recent traumatic loss as well as a biography exhibiting early and maintained traumatic experiences. During the hospital stay, fake medical reports were discovered and a computed tomography (CT) was done, which didn’t detect any abnormality. She was diagnosed of factitious disorder and, in this context, the suspicion of the veracity of the reported biographical facts and psychological symptoms arose. Factitious disorders make the clinician to face not only a diagnostic challenge but also a therapeutic one. Therefore, both knowing the psychological motivations associated with the symptom’s origins, and showing a genuine interest far from value judgments, deemed to be necessary for an appropriate clinical approach. In our study we use the different somatic health status regarding children as belonging to the first, second and the third health group. The first group includes healthy children with normal physical and mental development; the second group includes children without chronic somatic diseases, but with functional and morpho-functional disorders. The third group includes children suffering from chronic diseases in remission, with intact or compensated functional capabilities, while the degree of compensation should not limit the possibility of training or work. The research aim is establishing the role of such factor as the family upbringing in formation of psysicality. The study involved 60 mothers aged 27 to 40 years with children of 7-8 years old belonging to the first, second and third health groups (20 people in each group). The study was carried out using the inventory Analysis of Family Interaction including 11 scales reflecting the characteristics of parenting style. In families of children of the second and third health groups, the style of parent-child relationships is represented by a combination of symbiosis and / or hyperprotection; instability of the upbringing style with the desire to infantilize a child with a special somatic status. A similar trend is more characteristic of mothers of children of the third health group. Thus, the unfavorable style of family upbringing in the form of dominant hyperprotection, the inconsistency of the upbringing strategy and the tendency to symbiotic communication in mothers whose children have chronic somatic pathology can lead to impaired formation of bodily functions in children. Smoking is probably the one single factor with the highest impact on reducing the life expectancies of patients with mental illness. This is due to high injurious to health and high rates of smoking among patients with mental illness. In Denmark, 38.8% of patients with mental health problem are smoking. Patients may have problem in participating in ordinary smoking cession programs offered in the community, but they are concerned about the impact of tobacco use on their health and finances and are motivated to stop smoking. Videoconferencing addressing smoking cessation might be an alternative to ordinary consultation at the clinic because the patients can access the treatment at home. We aimed to compare rates of smoking cessation in two interventions All patients diagnosed with schizophrenia, bipolar disorders or depression receiving treatment and care for mental illness in outpatient clinics will be eligible for inclusion in the study. Measures:Primary outcome is changes in number of cigarettes smoked pr. patients per day in mean at 6-month follow-up. Secondary outcome is abstinence from smoking at 6-month follow-up. This is a two-arm randomized controlled trial. 1.Daily video consultants tailored to the individual patients at the start of smoking cessation and the months after. 2. Treatment as usual consistent of smoking cessation treatment in the community by weekly consultants. Sample size: The smallest number to conclude will be 53 patients in each of the two arms We will start including patients ultimo 2019 and by April 20220 we will have preliminary results No conclusion yet We presented a case of a 60-year-old woman with a previous diagnosis of histrionic personality disorder who, after a torpid evolution, is diagnosed with frontotemporal type dementia. The objective is to make a brief review of the relationship between the behavioral alterations typical of cluster B personality disorders and this type of dementia, as well as to point out the importance of the evolution in the psychiatric diagnosis. In the last two years, she has presented multiple autolytic attempts through drug overdoses because of the economic debts, which she acquired like a repetitive behaviors and with a certain compulsive component. She has also presented episodes of sexual disinhibition in public, uncontrolled alcohol consumption and an increase in impulsive behaviors, such as screaming in an uncontrolled manner and in any situation. It also presents apathy, anxiety and poor empathy with those around it, along with little awareness of the magnitude of the problems. The SPECT and a neuropsychological evaluation showed alterations in the areas of the inhibitory control, programming, in planning and sequencing. In this way, the patient has been diagnosed with frontotemporal dementia. Frontotemporal dementia is the most common form of dementia under 65. It courses with behavioral alterations, disinhibition and high impulsivity. The absence of insight by patients is frequent. As for the treatment, it has a poor response. Acetylcholinesterase inhibitors are contraindicated. It seems that a mild response has been seen with the association of topiramate with fluvoxamine for the treatment of impulsivity and alcohol consumption. Obesity is one of the most concerning diseases around the globe considerably impacting the prevalence of a wide range of health conditions, e.g., type-2 diabetes, heart disease, and sleep deprivation. Mobile health – mHealth – approaches have been proposed to tackle different aspects concerning obesity, such as nutrition and physical exercise. However, the adherence to these tools is often poor, mostly resulting from a rapid decrease in motivation. In this regard, addressing mental health, paramount in understanding and supporting obese patients throughout the challenging course of their treatment, might also contribute to potentiate the impact and patient prognosis for mHealth-supported intervention. To gather a critical panorama regarding if and to what extent the mental health perspective is being considered in the scope of mHealth approaches to support obese patients. A literature review was performed covering recent contributions for the design, development, and evaluation of mHealth approaches to support obese patients. Relevant studies were critically analysed to identify the involvement and role of clinicians, in this context. Most works originate from teams that do not consider the mental health perspective as part of the proposed approach. In cases where strategies to improve motivation are adopted, they mostly rely on gamification of the physical or nutritional intervention. Patient adherence and motivation are a major issue. This overview emphasizes the importance and need of a stronger involvement of clinicians in the mHealth effort for obesity, bringing forward mental health and wellbeing as a stronger point for obesity intervention. In the Cristo Rey neighborhood located in the city of Santa Marta, there is a large segment of the population that has been displaced by violence since the late 90s and early 2000s. The objective of the present investigation is comparing the resilience with respect to the social cognition in entrepreneurs, in the context of the base of the pyramid in the study area. This research has a Non-experimental, cross-sectional and field design, besides a quantitative paradigm, with a sample of 55 entrepreneurs within the context of study. The Resilience Scale (RS-14) (ER-14) of 14 items by Wagnild, was applied; (2009c) which allowed us to review the relationship between resilience and the test of empathy of Baron Cohen’s (TdlM- El Test de la Mirada) For social cognition in entrepreneurs of the vulnerable context. An instrument with Likert-type scale was used, this was validated with a Cronbach’s alpha coefficient and the judgment of experts, the analysis was by ANOVA and SPSS. Inferential statistics results delivered a Goodness of fit equivalent to R2 = 0.472 which shows greater resilience and greater adjustment to social cognition, which is reflected in the entrepreneurs personality Fact of assuming the circumstances and overcoming the internal difficulties with the Catchphrase “we must move forward” generates a force and security for the development of entrepreneurships within this context of the population. Therefore, it is recommended to apply studies and fieldwork that promote entrepreneurship in these groups of resilient people. Dissociative symptoms are very heterogeneous. Their prevalence in our field is 8.9% in general population, and it is even higher in patients with psychiatric pathology. However, there are still some difficulties for their identification in clinical practice. The aim of this study is to make a review on dissociative disorders, basing on a real clinical case. A review on dissociative disorders was made with regard to the case of a 36-year-old woman with a history of psychotic disorder and personality disorder not otherwise specified, who presented a sudden episode of immobility, mutism, lack of response to stimuli, fever and tachycardia. Once organic etiology was ruled out, intramuscular aripiprazole was prescribed, since a new psychotic decompensation was suspected. Three days later, there was a complete remission of the symptoms, and no psychotic, affective or behavioral alterations were observed. The final diagnosis was a \"dissociative episode not otherwhise specified\". In scientific literature, dissociation has been associated with a greater burden of mental illness and a worse response to treatment. The highest dissociation rates occur in dissociative disorders, post-traumatic stress disorders and borderline personality disorders, but dissociative symptoms can also be associated with other diseases such as psychotic disorders, with which the differential diagnosis can be particularly complicated. Dissociative symptoms are very ubiquitous. Given that its association with multiple mental disorders has been described, it is essential in all cases to carry out an exhaustive psychopathological evaluation and an adequate differential diagnosis, due to the prognostic and therapeutic implications. The number of HIV-positive patients is increasing every year in Russia and tends to step over one-million mark, including a large number of the young people among them. The youth is the period when a person is most open to the future. Due to modern pharmacotherapy the HIV infection becomes not a lethal one, but a chronic disease, but still the confrontation with such diagnosis as HIV seems to be a powerful traumatic event in the life of a young person. The research aim is to define the connection of the cognitive style with the copping strategies of the HIV-positive young patients. The research sample consists of the 67 HIV-positive young people in the age of 18 to 25 years, 47 males and 20 females with the duration of disease from several months to seven years. The research methods include: Utkin’s EFT Test, the Life Style Index and the Adolescent Coping Scale in Kryukova’ adaptation. The research results show that there are some correlations between field independence and the coping strategies, but we have not registered a direct connection between such characteristic of the cognitive style as the field independency with the productive coping strategies as we have supposed. The field independent patients are prone to self-accusation and anxiety which are considered as non-productive strategies. The obtained results can be used in the psychological support and psychotherapy of the HIV-positive patients. Differential diagnostics of the hypochondriacal and anxiety-depressive disorder still remains an issue. The symptomatic picture of somatic complaints adds more difficulties and that can lead to various medical errors and conflicts. The research aim is the analysis of individual personality characteristics of the patients with the hypochondriacal and anxiety-depressive disorders. The research sample includes 74 patients in the age 19-45 years: (1) Experimental group A, 25 persons with the diagnosis 45.2 Hypochondriacal disorder – 12 males and 13 females; (2) Experimental group B, 23 persons with the diagnosis 41.2 Mixed anxiety and depressive disorder - 10 males and 13 females; (3) Control group – 26 persons (12 males and 14 females) with no neurological or psychiatric disorder. Research methods: Viability test in Osina &Rasskazova adaptation; Tolerance-Intolerance Scale in Kornilova’s modification; Zalevskiy’s Invenory of Rigidness; Beck Depression Inventory; Hamilton Depression Inventory; Spielberger State-Trait Anxiety Inventory. The research shows that the patients with the depression-anxiety disorder have more pronounced depression than those with hypochondriacal disorder, who have a medium level. The patients with the mixed disorder have the high level of both state and trait anxiety whereas the hypochondriacal patients demonstrate a high level of the state anxiety and a medium one of the personal anxiety. The hypochondriacal patients also show a low level of viability which means that their relations with other people are limited, they feel fear and helplessness. Those data can be applied in differential diagnostics as well as when designing a program of psychotherapeutic help for those patients. Medical Education consists of a complex process on development of medical students’ and physicians’ intellectual capacity and feelings. This speculative work proposes a set of core hypotheses. It seeks to display nine premises of how their process would occur: ideological, historical-philosophical, sociological, and psychological. Medical educators could investigate these propositions from the viewpoint of humanistic theories. The focus of this paper should lead the reader to have clarity on such object of study, noticeably not confusing to have interests in psychosocial life experiences with to be able to integrate psychosocial theories to medical sciences. We consider that Medicine is not a biological, psychological nor sociological entity itself, but it is an institutionalized socio-cultural practice, in the sense that Medicine is a millennial human conception and activity built in History, such as Politics, Arts, Religion, Academy and so on. The angle here contemplated tries to consider the medical sciences in their strict sense. I - PREMISES OF IDEOLOGICAL NATURE. Medical communities are immersed with low self-consciousness. II - PREMISES OF HISTORICAL-PHILOSOPHICAL NATURE. Students learn medical sciences, which were born historically from studies of the human body. III - PREMISES OF SOCIOLOGICAL NATURE. Knowledge and Reality are constructed naturally from nets of transmission of official academic knowledge. IV - PREMISES OF PSYCHOLOGICAL NATURE. College students have interests that respond to their deep subjective personal antecedents. It is necessary to instigate medical schools’ leadership to expand their comprehension about students as a human product from both History and their individual experiences of life. 77-year-old female which carries out follow-up in Psychiatry with diagnoses of moderate OCD and anankastic personality disorder. In treatment with pregabalin 75mg/8h, alprazolam 0.5mg/8h and paroxetine 20mg/24h. She is brought to the emergency department due to hetero-aggressivity towards her husband. The patient says that her husband has left home and that a man who is physically similar has impersonated him. Both she and her companion recognize several similar episodes of short duration in the last year. During the interview upon arrival to the Emergency Department she is approachable and collaborative. Sometimes shows an irritable attitude due to zero awareness of her illness. Her speech is focused on ideas of harm in relation to the delirium of her husband’s false identity. However, she does not present such ideas outside home. Blood test, a CT scan and an electroencephalogram were performed with results all within normality. She is repeatedly brought to the Emergency Department due to the persistence of symptoms despite the treatments prescribed: haloperidol 2.5mg and olanzapine 5mg. Finally she is hospitalized for a week starting treatment with risperidone 3mg. At discharge, the patient maintains delusional ideation in the background without emotional impact. She is diagnosed with Delusional Misidentification Syndrome (Capgras Syndrome). According to the literature reviewed, several etiological theories are proposed: a possible disconnection between the limbic regions (responsible for emotions) and the occipito-temporal cortex (facial recognition); lesions in right frontoparietal areas; or failures in information processing. Frontotemporal dementia - diagnostic problems Introduction: Frontotemporal dementia (FTD) is a group of a progressive neurodegenerative disorders caused by nerve cell loss in the brain’s frontal and temporal lobes. These areas of the brain are generally associated with personality, behavior and language. FTD is generally considered to be the second most common cause of early-onset neurodegenerative dementia. It is often misdiagnosed as a psychiatric problem or as Alzheimer’s disease. An accurate recognition is important in order to receive the appropriate treatment and alleviate symptoms, however, there is still no cure for this disorder. The aim of the study was to present a case report of patient diagnosed for frontotemporal dementia. Case report Patient aged 65. Hospitalized for the first time in 2017, in ambulatory care since 2017. Firstly diagnosed with major depressive disorder, recurrent, severe with psychotic symptoms (F33.3). During second hospitalization in 2018 patient experienced a high level of anxiety, emotional lability, behavioral disorganization and difficulties in speech production. Conclusion: The diagnosis of FTD is a difficult task and it requires a multidisciplinary approach. Its prevalence is likely underestimated due to lack of an appropriate recognition. Adequate treatment should be used to help improve quality of patient’s life. In Broadmoor Hospital, patient uptake of routine physical health checks (examinations, blood tests and electrocardiograms) prior to the six-monthly Care Programme Approach (CPA) meeting, is felt to be lacking. Furthermore, when a patient declines any or all of these checks, their ‘Physical Health CPA Report’ usually neglects to mention the reason for refusal, number of attempts made or if capacity was assessed. This service evaluation aimed to measure patient uptake of, and junior doctor documentation around, pre-CPA physical health checks across three wards within the hospital’s personality disorder directorate; an admission, a high dependency and a rehabilitation ward. Each patients’ four most recent CPA reports prior to 01/11/2019 were studied. It was documented whether they declined any aspect of their pre-CPA physical health checks and if reference was made to the reason for refusal, number of attempts made or if capacity was assessed. Thirty-two patients generated one hundred CPA opportunities. 59% of CPA reports were unavailable. Documentation was missing or past results were recorded on nine (22%) occasions. Sixteen (39%) patients declined one or more aspect of their physical health checks. On three (19%) occasions, a reason was given. On one (6%) occasion, number of attempts was recorded and on no occasion was a capacity assessment recorded. This service evaluation has affirmed the suspicion of deficiencies in patient uptake of, and junior doctor documentation around, pre-CPA physical health checks. It is hoped that these results can be used to justify a larger project aiming for hospital-wide improvement in these areas. Mindfulness meditation has received attention as a potential alternative or adjunct treatment for Attention Deficit Hyperactive Disorder (ADHD) in children. While pharmacological interventions are commonly used, they have side-effects that may impact quality of life. Thus, there is an urgent need to identify alternative treatments that target ADHD symptoms and support overall well-being. Examine the impact of a 10-minute mindfulness meditation session on cognitive functioning and learning in 20 children with ADHD (ages 10-14). We use a pre-post within-subjects design whereby participants first complete a battery of cognitive tests assessing attention, working memory, inhibitory control, and learning. Participants then engage in a 10-minute pre-recorded guided mindfulness meditation session (experimental group) or a silent reading session (control group). Participants then complete modified versions of the cognitive and learning tests. We also use functional near-infrared spectroscopy (fNIRS) to measure changes in brain activation within the prefrontal cortex during the cognitive and learning tasks. This protocol allows us to evaluate whether brief a mindfulness meditation bout supports greater prefrontal cortical activity, and consequently promotes cognitive functioning. The study is ongoing, with results to be presented at the congress. We predict that mindfulness meditation will improve prefrontal cortical functioning (relative to silent reading), which will directly impact enhanced performance on cognitive and learning tasks. These findings will allow us to better understand how mindfulness meditation impacts cognitive functioning in children with ADHD and potential underlying neural processes. Results will have implications for the practical use of brief mindfulness meditation interventions for children with ADHD. Algoneurodystrophy is a rare and underdiagnosed disease, with clinical diagnosis based on typical signs of neuropathic pain, pseudoparalysis, swelling and vasomotor and autonomic signs localized in an extremity without an identifiable nervous lesion. In the early clinical presentation it may be necessary to perform differential diagnoses with various pathologies: rheumatic, orthopedic, infectious, vascular and psychosomatic (conversion disorder). Early diagnosis and multidisciplinary treatment are essential to avoid sequels or evolution to chronicity. To present a case report of a patient with major depressive disorder and a diagnosis of a functional syndrome that was later correctly diagnosed with algoneurodystrophy. Presentation of a clinical case supported by a non-systematic review of the literature with the key-words “algoneurodystrophy”, “functional syndrome”, “conversion disorder” and “pseudoparalysis\". A 45-year-old female patient with a history of major depressive disorder was repeatedly referred to the emergency department for a clinical condition characterized by depressive mood and complaints of decreased strength of the right upper limb. After medical examination, she was diagnosed with a functional syndrome (conversion disorder). Weeks later, the patient presented a worsened clinical condition, with pseudoparalysis of the right upper limb, pain, swelling, and functional impairment. After several diagnostic tests, she was diagnosed with algoneurodystrophy and rehabilitation treatment was started. This case report highlights the importance of conducting a careful medical history. A high level of suspicion is required for the diagnosis of algoneurodystrophy. Early diagnosis of this entity is essential, as it determines a better prognosis for the patient. Aggressive behaviours have been commonly associated with epileptic seizures. However, little is known about non-aggressive criminal acts. We present the case of a 57-year-old man with temporal lobe epilepsy treated with carbamazepine who apparently committed a non-aggressive homicide by poisoning two family-members with carbamazepine during a postictal state, mainly consisting of psychomotor retardation. To determine the association between non-aggressive criminal acts and epilepsy. We conducted a non-systematic review of literature about the association between criminal acts without aggressiveness and epilepsy. Aggressive homicides are frequently committed during the ictal or postictal phases, are sudden in onset, unplanned, short in duration, and characterized by partial amnesia of the episode. In our patient, all these characteristics are present except for aggressiveness. Moreover, inadequate compliance of treatment, regression of cognitive functions and alcohol use are factors that may have contributed to the homicidal behaviour. No evidence has been previously reported on patients with epilepsy committing homicide by inducing drug overdose in others. In this sense, anti-epileptic drugs have been used for suicidal behaviours in patients with epilepsy, without use reported towards other people. There is a lack of evidence on the association between epilepsy and non-aggressive criminal acts. Nonetheless, according to our case, most characteristics seem to be shared with aggressive behaviours in epilepsy, including the phase of action, the lack in planification, and subsequent amnesia. Further research is necessary to clarify the nature of this relation, in order to determine the criminal responsibility of this patient. Taking care of a sick family member carries negative consequences such as anxious and depressive symptoms, caregiver burden and poor functioning. The type of treatment received by the patient could affect caregiver’s functionality. To assess the effect of patient’s treatment [psychotropic drugs or electroconvulsive therapy (ECT)] on caregiver’s functionality. Forty carers of patients with serious mental disorders (22 receiving ECT and 18 receiving drugs) were recruited. Multiple linear regression analyses were performed to assess the effect of treatment type (drugs vs ECT) on caregiver’s functionality (Sheehan Disability Inventory), controlling for variables of caregivers (gender, age, socioeconomic status, caregiving duration, global health, depressive symptoms, perceived stress, burden) and patients (age, clinical severity). Caregiver psychopathological status, burden and functionality did not differ between groups. ECT patients suffered more episodes of their disorder and more hospitalizations. Although patients receiving ECT could have a more severe long-term course of the disorder, thus expecting greater disability in their caregivers, results showed that treatment type did not have an effect on caregiver’s functionality. But the total number of ECT treatments was associated with better caregiver functionality. Better functionality in caregivers of patients having received more ECT sessions suggests that frequent contact with diverse professionals who take care of patients (i.e. doctors, nurses) would lead to better perception of caregiver’s own functionality. Although caregivers must accompany patients to the ECT unit and deal with changes in their routines, prolonged ECT treatment (namely, maintenance ECT) could ultimately have a beneficial effect on caregiver’s functionality. Psychotic-like experiences (PLE) are usually a transitory state, and most individuals will not transition to psychosis. However, individuals with PLE may experience symptoms such as social anxiety, which may lead to choosing the Internet as a preferred means of social interaction. To examine the relation between PLE and problematic Internet use (PIU). Data from an online questionnaire (N = 280; M = 23.9 years old; 55 % male) was analyzed. Measures: PLE were assessed with the Early Recognition Inventory/Interview for the Retrospective Assessment of the Onset of Schizophrenia (ERIraos); PIU with the Compulsive Internet Use Scale (CIUS); social anxiety with the Mini-Social Phobia Inventory (Mini-SPIN); and preference for online social interactions with the Preference for Online Social Interaction scale (POSI). Analyses: PIU was divided into two groups based on the CIUS cutoff of ≥ 18. Multivariable logistic regression analyses were performed and adjusted for sex, age, Internet hours, POSI, and social anxiety. N = 56 reached the cutoff for PIU, while N = 224 did not report PIU. There were no significant differences in any demographics between the two groups. Individuals who experienced an increased amount of PLE had a higher probability of reaching the cutoff for a PIU (AOR = 1.35 [95% CI 1.01–1.27]). Participants with increased levels of anxiety were 1.18 times as likely as those with lower levels of anxiety to reach the cutoff for PIU. Results implicate a close relation between the phenomena of PLE and continued PIU. Coercion has always been integral in psychiatric care. Many countries try to reduce it by making modifications to existing regulations. In Poland, the Mental Health Protection Act(MHPA) of 1994 introduced mandatory monitoring of the use of coercive measures. The first report: 1996-2005 stated that coercion was applied to 16% of patients in psychiatric hospitals. In the next decades, the issues appeared only in a few studies. Poland participated in the international EUNOMIA study, its results indicate that the use of coercion in Poland is more common and frequent than in other European countries. Minister of Health introduced the ordinance to the MHPA, applied from December 31,2018, its assumption was to increase specialists’ control over the use of coercive measures. Our study aims to assess whether changes in legislation have an impact on limiting the use of coercion. In our study, we analyzed the data from the one year before and after the amendment was introduced into law, at the Mental Health Center(MHC) in Wrocław which consists of 6 24-hour wards with 30 beds. Preliminary data collected from the MHC from the first three trimesters of 2019 shows no significant reduction in the use of coercive measures. Detailed data processing will take place after the end of the calendar year. Referring to the experience of the MHC and Scandinavian studies, one can conclude that legislation alone is not able to significantly reduce the degree of use of coercion. Further research is needed on alternative methods of limiting the use of coercion. Physical illnesses represent a major cause of mortality for people affected by severe psychiatric disorders. Studies suggest that the underlining metabolic risk factors can be potentially reverted by means of proper assessment and treatments. To describe a physical health screening program named “Giornata del Benessere” (GDB), and to assess the efficacy of such intervention. The study was designed as a retrospective observational study. Data were collected, by means of a screening form, during eight events conducted from 2014 to 2018 in the Community Mental Health Centers (CMHCs) of Modena Mental Health Department. Data were statistically analyzed. The GDB showed a noticeable improvement in the proportion of subjects who received a screening for physical health. A significant increase was found in the rates of documentation of key clinical features (BMI, abdominal circumference, blood pressure, EKG, and laboratory tests), and of specific monitoring for antipsychotics agents. Contacts between mental health professionals and general practitioners significantly increased over the years. Also, the prescription of atypical antipsychotics and lithium salts were predictors of receiving a full physical health screening. Rates of obesity, high waist circumference, and hypertension did not change overtime. Furthermore, as far as the prevalence of Metabolic Syndrome (MetS) is concerned, a decreasing trend from the first to the last event was noted. The GDB was able to improve the screening practice and clinical outcomes, as estimated rates of MetS. Such a program could be further implemented by means of structured lifestyle interventions offered by CMHCs. Fear of pain is highly predictive of dental anxiety. There are Portuguese validations of instruments to evaluate fear of dental treatment but an instrument for measuring fear of dental pain is lacking. The short-Fear of Dental Pain Questionnaire (s-FDPQ; van Wijk et al. 2006) presented adequate reliability and validity, although it consists of only 5 items. To analyze the psychometric properties of the s-FDPQ Portuguese version, namely construct validity, internal consistency and concurrent validity. A community sample of 227 adults (55.7% women; mean age= 43.65±15.952; range:18-88) completed the Portuguese versions of s-FDPQ and other validated questionnaires to evaluate dental anxiety (Modified Dental Anxiety Scale/MDAS and Dental Fear Survey/DFS). The total sample was randomly divided in two sub-samples: sample A (n=113) was used to exploratory factor analysis/EFA; sample B (n=114) to confirmatory factor analysis/CFA. EFA resulted in two components. CFAs revealed that the unifactorial model, found by van Wijk presented a poor fit. The bifactorial model, excluding one item, presented acceptable fit indexes (X2/df=3.418; CFI=.992; GFI=.983; TLI=.951; p[RMSEA≤.01]=.076). Cronbach alphas were α=.874 for F1 Injection and Drill and α=.943 for F2 Extraction. F1 and F2 scores significantly and highly correlated with total and dimensional scores of MDAS and DFS (all coefficients r≥.50, p<.001). This study provides preliminary evidence for the validity and reliability of the Portuguese version of sFDPQ, which dimensions will be used in an ongoing research project on the relationship between dental pain, trauma and anxiety. This is a 32-year-old man treated in the emergency room after a severe autolytic attempt through deep cuts in both wrists. Unemployed, dysfunctional family, daily cannabis user and occasionally cocaine. Orchiectomy underwent testicular torsion complication a year ago. The present case aims to show the phantom limb pathology beyond what is known limited to limb losses but also to other visceral parts of the body, as in this case to testicular pain after orchiectomy, as well as the influence on psychopathology. Case report and literature review Within a few weeks of this intervention, the patient began treatment with analgesics, reaching abuse, as well as treatment with antidepressant and gabapentin, diagnosing the phantom limb patient. Despite this, he expressed poor control of pain, high anxiety and feelings of hopelessness. Cannabis use increased, recognizing an evasive use. He described a continuous sensation of tingling and swelling with severe pain. In these crises he presented self-harm ideation recognizing having consumed more cannabis and some alcohol the hours before the attempt. Dysfunctional personality traits were observed such as low tolerance for frustration, and acceptance of current problema. It is known that phantom limb syndrome appears largely from limb amputations. Outside these, related to orchiectomies, studies shows that about 50% have some phantom-type experience, with 25% being those who report extracted testicle pain. In this case, it is impressive that personality traits and social support were risk factors for pain management Approximately 10-23% of people suffer from chronic pain. There is a specific program to improve self-compassion, (MSC) developed by Neff and Germer, that is used in different clinical issues. Art Therapy, and which distinguish it from other therapies, is the active performing with materials, by means of the visual and concrete character of the process. Also, another relevant characteristic is the obtaining of an output in form of art making. In our study we decide to integrate MSC and art therapy. With both tecniques is possible to pay attention in a more specific and localy way. The aim of this study is to compare the effectiveness of MSC program, and MSC program with art therapy in order to improve Quality of Life, emotional regulation and Self-Care in chronic pain. We conducted a RCT with 2 arms of treatments in a chronic pain patients sample of Hospital Universitario La Paz, Madrid. Group interventions, 8 sessions, weekly. We collected data of anxiety, depression, catastrophizing, pain interference self-compassion, and quality of life. Patients with chronic pain who participated in the art therapy group reported greater satisfaction with the treatment. There was a significant abandonment of patients These results are promising in order to find other effective interventions to this prevalent clinical problem. By active performing and experiencing with art materials, by the visual and concrete character of the process as well as by the result of art making Chronic pain is a big burden for patients, society and the economy. In the literature, a large amount of evidence of significant effects of emotions on pain perception. The article presents the results of the observation of patients with somatic diseases and comorbid mental disorders with chronic pain. Control group - 20 patients, with somatic diseases and chronic pain syndrome. Clinical interview, \"Questionnaire symptoms of PTSD forced migrants\", Impact of Event Scale Revised (IES-R), Zung Self-Rating Depression Scale (ZDS), HADS; The McGill Pain Questionnaire (MPQ) The West Haven-Yale Multidimensional Pain Inventory (WHYMPI), Pain Catastrophising Scale (PCS) The results showed that 32.0 % of observed patients have anxiety disorders (13.5 %), depressive disorders (10.3 %), PTSD (8.2 %). No significant correlation between anxiety disorders, depressive disorders, PTSD and frequency of acute pain, but strong positive correlation present with chronic pain syndrome and mental disorders at all (r=0,62, р≤0,01). Most significant correlation between catastrophising attitude of pain and chronicity of pain syndrome (r=0,82, р≤0,005), and frequency of catastrophising attitude of pain match more higher in of patients with somatic diseases and comorbid mental disorders (≤0,01). Multimodalmultidisciplinary treatment increases the patient’s compliance and effectiveness of treatment (28.0% more consent for consultation, 42.0% more often for psychotherapy, more reliably reducing psychopathological symptoms (22, 0%). High risk of chronicity of pain syndrome in patients with different somatic diseases associated with mental disorders, us well anxiety disorders, depressive disorders and PTSD, and positive correlation with catastrophising attitude of pain has been detected in those patients. Cloninger’s biopsychosocial model suggests the eight configuration types of temperament combining high or low score of Novelty Seeking (NS), Harm Avoidance (HA), or Reward Dependence (RD) temperament dimensions, and each type has different level of immaturity calculated as sum of Self-Directedness (SD) and Cooperativeness (CO) character dimensions. The aim of present study was to investigate whether the eight temperament types would exist and the immaturity level of eight temperament types could be replicated in Asian culture. 527 Korean college students (195 males and 332 females) were recruited from the Busan metropolitan area, and their temperament types and immaturity levels were acquired by using Temperament and Character Inventory (TCI). The ratio of immature person varied from 4.2% of reliable/staid type (low NS, low HA, and high RD) to 74.6% of explosive/borderline type (high NS, high HA, and low RD) and showed the similarity of Western culture. However, the percent of adventurous/antisocial temperament type (high NS, low HA, and low RD) was found to be 23.5% unlike previous reports of 48% in Western culture. Asian people are regarded as more collectivistic and less individualistic and therefore, those with adventurous/antisocial temperament type tend to behave more conformative to social norms, resulting in less maladaptive and immature character. Both universal and distinctive properties of temperament types considering the importance of sociocultural contexts were discussed for the future research. From the earliest descriptions of schizophrenia, changes in personality were seen as a fundamental part of the natural history of the disorder. Nevertheless, the relationship of personality pathology and schizophrenia is a topic generally lacking research. This is of particular interest considering that the basis of the treatment of schizophrenia and personality disorders is of a different nature. The authors will present an historical review of the concept of “borderline”, focusing on its initial affinity to classical conceptions of schizophrenia. This revision will expose areas of potential conceptual confusion, especially with the progressive broadening of the boundaries of the schizophrenia spectrum. The authors’ searched the databases Pubmed, PsycInfo and Google Scholar, applying the search terms borderline personality and borderline schizophrenia. Reviews were preferred and arborized research followed. Two authors independently selected the abstracts to be included. There is large psychiatric literature on various “borderline” conditions. The ways in which this term is used are often contradictory and obscure, even within the same theoretical backgrounds. Standard manual diagnostic criteria may be too narrow compared with the psychodynamic understanding of the concept, whereas the latter may be too broad to adapt to the notion of prodromal stages of schizophrenia. Patients with schizophrenia benefit with the early introduction of anti-psychotic therapy, but these earlier stages may be harder to differentiate from phenomena frequently observed in patients with borderline personality. Conceptual consensus regarding the concept of “borderline” is yet to be achieved. Fromm (1964) first used the term “malignant narcissism” (MN) to describe a severe mental disorder. Kernberg (1984) later introduced the concept of MN to psychoanalytic literature. Very little has been written about MN since his contribution. To create psychosocial consciousness of the consequences of MN and suggest its inclusion among Personality Disorders (PD) in psychiatric manuals and guidelines. Case Report (In Results) A female 34-years-old patient, G, victim of her mother, E, a MN who used the judicial system and family against her. MN-E manipulated G’s ex-husband to stone and to whip her as stated in the Bible, fueling his rage with lies. Social services and the juvenile court intervened, judging G as a negligent mother for being victim of gender-based violence, and stigmatizing her as “crazy” for consulting a psychiatrist to deal with said conflict. MN-E continued dehumanizing G, who finally lost custody of her children since 2015. Over time, driven by her envy towards her daughter meaningful life, MN-E was given possession of her grand-children. Due to unresolved hatred and need for admiration, MN-E brainwashed the infants memories, persuading them G was not their real mother. At last, to preserve the minds of the minors, psychologists and the juvenile court agreed G could never get in touch with her children. G developed a chronic PTSD and is currently being medicated for MDD. MN is definitely “the quintessence of evil” (Fromm, 1964). Features outlined are a core narcissistic PD, antisocial behavior, ego-syntonic sadism and a paranoid orientation. Previous studies reported that the precursors of obsessive compulsive personality disorder (OCPD) may be seen in adolescence. Although adolescents with OCPD features such as achievement striving, ambition, order, and self-control may be seen as succesful individuals, the early intervention on these symptoms may prevent the development of more challenging OCPD characteristics and comorbid psychiatric conditions. The aim of this study is to evaluate of the effectivity of therapeutic intervention focusing on infliated self-responsibility, overly moralistic self evaluation, self-critism and guilt in three adolescents with obssessive compulsive personality characteristics and to present the detailed interviews of the sessions. Three female adolescents between the ages of 15 and 17 were followed until 8 to 16 weeks. The sessions were planned as two times a week. One of the adolescent had performance anxiety, the second one had impulse control disorder, and the third one had unspecified eating disorder. Both OCPD characteristics and comorbid conditions were improved at the end of therapeutic intervention. The effectiveness of cognitive behavioral therapy were reported in adult patients with OCPD. However, the studies with young population is still limited. We present clinical features of three adolescent female with OCPD characteristics and the improvement of symptoms and comorbid conditions in the course of therapeutic process. The self-criticism and guilt were the essential parts focused on in the improvement effect of the therapeutic process. Patients with borderline personnality disorder (BPD) occupy an important place among patients admitted for suicidal attempt. Preventing recurrence of suicide attempts in this specific population, by controlling its risk factors, is an important public health issue. The purpose of this study was to determine the risk factors of the recurrence of suicidal attempt in BPD patients consulting the emergency unit. It’s a retrospective study about 30 cases. All subjects included in the study had been diagnosed with BPD according to DSM V criteria. Moreover, they all consulted the emergency psychiatric unit after, at least, one suicide attempt. The exclusion criteria were the presence of cognitive, bipolar or psychotic disorders. Patients were divided into two groups: with and without recurrence of suicide attempt. Socio-demographic informations was collected. The gravity of depressive disorders was assessed with the Hamilton Depression Rating Scale (HDRS). Among the thirty patients included in the study, 66% patients were re-admitted to the emergency unit for one or several suicide attempt . The recurrence of the suicide attempt was significantly higher in unemployed patients, in patients with family history of suicide and in patients who consume cannabis. Interestingly, living with parents who are not separated seems to be a protective factor (OR = 0.3). Furthermore, recurrence and intensity (HDRS) of the major depressive episode did not differ statistically in patients with or without SB recurrence. Identifying patients at risk of recurrence of suicidal act, represents an essential step in secondary prevention. The study of the individual’s self-image is an important task. We will consider the features of the self-concept of such a category of people as “downshifters” who have abandoned the traditional concept of “career”. These people are characterized by a higher level of global self-relation. Downshifter - this is the person who would rather speak up for his own personality than against. It seems that the downshifter challenges society and begins to rebel, showing with his whole way of life that he is independent of the external frames of the social discourse and constantly proving his individual peculiarity with non-standard self-presentation strategies. The hypothesis about differences between substantial characteristics of downshifters’ and not-downshifters’ self-concept has been checked. In quantitative and qualitative study (N = 153 ) open data analysis (correlation and Spirmen criteria) and semi-structured interviews were carried out. The empirical study allowed to show the existence of a significant relationship between the tendency to downshift and the peculiarities of the Self-concept for the cognitive and affective components of the Self-concept and its absence for the behavioral component of a person’s ideas about himself. Persons prone to downshifting have more pronounced indicators such as global self-esteem, self-esteem, self-sympathy, expected attitude from others, self-confidence, self-interest and self-acceptance in the affective component of the self-concept. Persons prone to downshifting have a less pronounced indicator of self-incrimination. Persons prone to downshifting have a less pronounced goal setting. The 42-item version of Ryff’s Psychological Well-being (PWB) scales (environmental mastery, personal growth, purpose in life, and self-acceptance) with 6 items and response style is one of the most widely used survey instruments. Although there is an Arabic version of (PWB), it is not identical to the original version in terms of the number of items and response. To evaluate the psychometric properties of the Arabic adaptation, a 42-item version of Ryff’s (PWB) scales and its factorial structure in an undergraduate sample. The participants were 1133 first year undergraduate Kuwaitis: 522 males and 611 females, mean age = 20.90 ± 2.04. The Arabic versions of (PWB) scales (Ryff, 1989) were administered to participants. The internal consistency reliability, factor structure, and convergent validity of the Ryff’s (PWB) scales with Oxford Happiness Inventory (OHI), Life Orientation Test (LOT-R, Adult Hope Scale (AHS), Satisfaction With Life Scale (SWLS) were assessed as well as divergent validity of the Ryff’s (PWB) with Beck Depression Inventory-II (BDI-II). Internal consistency was satisfactory for the PWB (Cronbach’s alpha =0.88). The results revealed significant gender differences in Environmental Mastery with a favor for males and in Personal Growth a favor with females. Principal component analyses (PCA) showed that a PWB six -component solution explains %62.89 of the total variance. The PWB correlates with OHI (r=.56) SWLS (r=.56), LOT-R (r=0.58) AHS (r=.48) and BDI-II (r=-56). The PWB provides satisfactory validation, and thus it can be recommended as a measure of Psychological Well-being among Arab samples. The traffic jam is a worldwide problem. It causes environmental, economic damage, and harms the psychological health of a person, for example, provokes stress disorders. The study was supported by the RFBR and the Government of Moscow #19-313-70005. To study the influence of chronic stress and chronic fatigue on drivers’ behaviour. The experiment involved 24 participants (average age 19.3 years, 12 men/12 women). Measures: Questionnaire \"Acute and chronic stress\" (Leonova A.B.); Questionnaire \"Assessment of the degree of chronic fatigue\" (Leonova A.B.); Questionnaire on visual fatigue (Leonova A.B.); Cognitive load Test (Bourdon B.); BPAQ (Enikolopov S.N.). The experiment consisted of three 15-minute series that simulated a situation of traffic jam on a computer. The subject has the task: to press the button when changing the brake light of the going ahead machine. Diagnostic scheme includes 4 stages: before the experiment and after 1, 2, 3 series. Based on cluster analysis two different groups of drivers revealed according to the index of chronic stress and index of chronic fatigue. The 1 group manifests reduced attention and increased chronic fatigue. The 2 group marked enhanced attention and decreased chronic fatigue. Significant differences between groups on the scales attention, acute and chronic stress, aggression, visual fatigues were found. Drivers of the first group, unlike the second, with high levels of chronic stress and fatigue, significantly characterized by high score aggression, acute stress, visual fatigue, and low attention. These drivers are more likely to commit offences and get into accidents. Now the research is continuing. The Lawyer is one of the most stressful job because of responsibility, multitasking and uncertainty. They must clearly understand the case, be able to defend interest in the tribunal. To study the correlation between chronic stress, anxiety and coping strategies among lawyers to further create a program to increase work efficiency. Participants were 35 lawyers (22 men and 13 women) from the Civil service. They fulfilled 3 standardized questionnaires: Managerial stress survey — MSS (Leonova A.B), 16 PF (Kapustina A.N.), Strategic Approach to Coping Scale — SACS (Hobfoll S.E.). It was found the high scores of the Depression and Anxiety. The Chronic stress positively correlates with coping - aggressive actions (r=0,684; p=0,0001), and inversely correlates with the self-control (r=-0,607; p=0,0001). Chronic stress and all sub-scales are negatively associated with emotional stability (r=-0,713; p=0,0001). With increased anxiety, lawyers are more likely to use impulsive actions (r=0,471; p=0,0001), and aggressive actions (r=0,602; p=0,0001). It is revealed that lawyers have a high level of anxiety and depression, which may be related to their specific activities which are work in the Arbitral tribunal. Anxiety and depression are associated with low emotional stability, low self-control, and aggressive actions. With a high level of chronic stress, lawyers can make mistakes in their activities, which can lead to negative results. These findings will help create programs to improve functional states. Several risk factors are involved in the phenomenon of School Refusal (SR). It might be useful to focus on emerging personality features in order to more accurately identify psychopathological characteristics of those individuals. Indeed, personality features and SR still remain an unsolved issue. The aim of this study is to investigate differences about psychiatric symptoms and brain primary emotional systems between SR and non-SR adolescents in a clinical sample. The sample included 50 help-seeking adolescents, 24% (12) SR, referred to the clinic for Anxiety and Mood Disorders in Adolescence (Psychiatric Department of Sant’Andrea Hospital, Rome). Subjects met criteria for DSM-5 diagnoses. Only 12% (6) did not meet criteria for psychiatric disorders. The sample was evaluated with the Affective Neuroscience Personality Scale (ANPS), with Hamilton Rating Scale For Anxiety (HAM-A) and Depression (HAM-D). SR was evaluated using a brief, ad-hoc interview, according to scientific licterature. Z-Test for independent samples was conducted to compare the means of each variable of the two groups (SR vs Non-SR). There was a significant difference between SR and non-SR about the emotional system of FEAR. Moreover, SR showed more anxius and depressive symptomathology compared to non-SR. SR help-seeking adolescents showed more anxious and mood symptoms. SR described themselves with higher propensity to worry and anticipate negative outcomes for the future, ruminate and feel tense if compared to non-SR. This is a stable personality feature at the basis of this phenomenon: it could be useful to better understand the symptomatic patterns and clinical conditions of those adolescents. BPD is comorbid with a number of mental disorders such as Alcohol or other substance abuse, Anxiety disorders, Eating disorders, Bipolar disorder, Post-traumatic stress disorder (PTSD), Attention-deficit/hyperactivity disorder (ADHD) and others. It is well known that BPD is a significant predictor of outcome for comorbid disorders, in most cases worsening prognosis. The effects of comorbid diseases on the manifestations and course of BPD have not been practically studied. Although it can be assumed that both the disease itself and the treatment obtained in connection with the treatment can change the course and severity of the manifestation of comorbid BPD. psychopathological, C-SSRS, ZAN-BPD Scales. Materials – 30 men with BPD comorbid with alcohol dependence, 10 men with BPD without alcohol dependence were observed. The frequency of occurrence and distinctive features: suicidal ideation, self- injurious acts, suicidal attempts, suicidal gestures, suicidal fantasies, suicidal threats in the groups of subjects were studied. It was found that suicidal thoughts, suicidal fantasies were much less common in BPD patients with alcohol dependence. The suicidal attempts, suicidal gestures, suicidal threats in the groups met equally often. Self- injurious acts and suicidal attempts became more brutal when alcohol abuse had became alcohol dependence. At the same time, the cognitive and emotional problems in BPD patients with alcohol dependence were somewhat smoothed out. Interpersonal problems are aggravated. сomorbid alcohol dependence has multidirectional affects on BPD traits. One manifestation of which is the change in the pattern of suicidal/self harm behaviour of patient with BPD. At the Mental Health Centre of Forlì, we have introduced a multidisciplinary working group, a complex psychodiagnostic evaluation, a therapeutic contract and a wide range of evidence based treatments for patients who suffered by severe personality disorders and their families. Specifically we speak about a group psychotherapy based on the principles of W. Bion and on techniques of MBT method (Fonagy and Bateman). This study aims to verify the effectiveness of this specific group treatment in reducing symptoms and in increasing retention in treatment measured by some outcomes (drop-out, hospital-admissions, accesses to emergency medical treatments and pharmacotherapy). During the year 2018 we recruited 15 patients with severe Personality disorders of cluster B (valuated with SCID-II) defined severe by at least one of the criteria of the Region guide lines. We have considered hospital admissions in the previous 12-month period and during the full course of treatment (one year). of the 15, patients were primarily females (9), males were 6, the mean age was 43 yrs, only 5 also had individual not specific psychotherapy. Psychiatric comorbidities are most with Bipolar Disorder (80%). We have noted a drastic reduction of hospital admissions and emergency visits at Emergency Aid and at Mental Health Centre. These outcomes are more substantial for patients who received additionally individual psychotherapy This approach is effectiveness in reducing drop out, the number and duration of hospital admissions, emergency visits and less number of drug prescription. We think that this is more specific and personalized treatment for these very complicated patients Experiencing negative life events as Childhood Trauma (CT) would lead to individual differences in reaction and perception of stress. Neuroticism and low Conscientiousness have been linked to worse physical and mental health-related behaviors. However, the association between different types of CT with personality traits has been poorly characterized in healthy adults. To examine the relationship between CT with personality traits in healthy adults. Fifty-nine participants (Mean age = 28.1, SD = 7.1 years old, Male = 49%) completed the Childhood Trauma Questionnaire (CTQ), the Childhood Experience of Care and Abuse Questionnaire (CECA), and the Five-Factor NEO Personality Inventory-Revised (NEO-PI-R). Emotional Abuse and Neglect, Physical Neglect, Bullying exposure and witnessing Parental Violence were positively related to Neuroticism (r = .40, p = .002; r = .33, p = .01; r = .29, p = .028; r = .26, p = .045, r = .39, p = .002) and negatively to Extraversion (r = -.32, p = .013, r = -.32, p = .015; r = .33, p = -.012; r = .31, p = .016; r = -.47, p = .000). Physical Abuse and Emotional Neglect were negatively related to Openness (r = -.29, p = .025; r = -.31, p = .017). All types of CT were negatively related to Agreeablenees. Conscientiouness was also negatively related to all types of CT, except for witnessing Parental Violence (n.s.) and Bullying (r = .26, p = .46). Trauma exposure during childhood seems to be associated with maladaptive personality traits development in healthy adults. When psychiatric doctors write narratives about their clients the creative practice fosters empathy and helps professionals to be more connected to their patients in developing interviewing skills and engage in more self-reflection. People who are able to represent and so reflect upon their experience in words, however problematic or painful, are more likely to be able to form secure attachments than those who lack such capacity. To synthesize studies that explored the suitability of narrative approach to studying lived experiences of persons with mental illnesses. A integrative review of the literature was carried out following PRISMA guidance. The Cochrane Library, Medline and CINAHL databases were searched to identify studies which focused on the narrative approach in mental health reported in the title, abstract and keywords. Of the 78 titles screened, we identified eight studies published between 2009-2019. The reviewed publications include narratives across the range of conditions and experiences of psychological distress. The underpinnings of narrative inquiry in the analyzed studies are unclear, on three ways. On the philosophical way, some of these studies draw on general interpretive premises, disregarding the specific philosophical narrative groundwork. On the methodological level, non-narrative methods are regularly employed in data generation and analysis. On the textual level, what are taken to be illness or recovery narratives do not necessarily conform to the criteria of narrative/story. Despite some limitations found in the studies, the knowledge generated by narrative studies has played a central role in establishing the recovery paradigm in the field of mental health. The search for protective factors is one of the priority tasks in the prevention of socially dangerous behavior of people with mental disorders. A significant resource is arbitrary emotions. Identification of the specifics of religious orientation and the level of subjective control in patients with illegal behavior. The examined 40 patients who committed an offense. The applied a questionnaire for studying the level of subjective control, a test to determine the structure of individual religiosity, a religious orientation scale. Patients with illegal behavior showed a high interest to religious topics (80.0% recognized themselves as believers). However, they more often (62.0%) revealed external religiosity with low levels of acceptance of confessional values and beliefs, religious moral standards, with a high level of acceptance and justification of aggression, the manifestation of aggressive behaviors when interacting with other people. Nevertheless, some of the examined (20.0%) had a genuine interest in religious subjects, they observed religious customs, did not show aggression against others. When studying the level of subjective control, it was found that the internality was higher in patients demonstrating a religious feeling, which contributed to the formation of socially acceptable behavioral reactions. Religiosity can be a resource that restrains unlawful behavior of persons with mental disorders. It seems appropriate to clarify, at an accessible level for patients, the basic religious concepts, their meaning and value. There is a need for special training of psychologists and psychotherapists, which necessitates a closer interaction between official Medicine and the institution of the Church. Unpredictable social cataclysms and increase in complexity of cultural contexts is the hallmark of the contemporary society. with its variability, risks and super value of individual originality and autonomy, and of the situation of uncertainty, in general. A proposal of the comprehensive paradigm for theoretical and empirical study of the variability of the phenomena (both normal and clinical forms) of individual and public consciousness. Theoretical analysis and generalization of empirical studies on phenomena of identity diffusion in the context of subjective uncertainty. Viewed from a clinical angle, disintegration of self-consciousness, prominence of uncertainty, and fuzziness in self-determination are conceived as “identity diffusion” phenomena, and point to the subjectively unbearable states of anxiety, deficits of symbolically mediated mechanisms of defense and coping, uncertainty in own identity (diffusion), extreme sensitivity of Self towards failure and own “imperfections” (Sokolova, 2014). By virtue of their pervasiveness, however, they are viewed in the optics of a new “cultural pathology”. In a world of chaotically changing values, the transgression and freedom of manipulation becomes the highest value. Omnipotence of the personal arbitrariness appears in countless “reprints” of one’s own Self, and the exaggerated perfectionistic concerns. The deficit of concern about the subjective world of the Other parallels clinical characteristics of a borderline personality. Social ambiguity favors the increase of manipulative interpersonal strategies and “communicative corruption”. Situation of uncertainty acts as a sociocultural factor of normalization of identity disorders (diffusion and narcissistic grandiosity), moral deficiency, and, as a result, of auto- and hetero-destructivity. In schizophrenic paintings (e. g., in the famous Prinzhorn Collection in Heidelberg) the theme of labyrinth appears very often. The labyrinth is also a typical issue of mannerism art and that an essential relationship between schizophrenia and mannerism exists. The author searches for an explanation of this context (labyrinth, mannerism, schizophrenia) through a phenomenological description of the labyrinthine space, the mannerism art and the schizophrenic world. The method used is the phenomenological one, that is, the unprejudiced description of the essential features of the phenomena to be studied. A. 1. Unlike the lived space, which is always oriented, the labyrinthine space lacks any direction. 2. Unlike the lived space, which is always referred to another space (the interior to the exterior, the sacred to the profane space), the labyrinth has no reference to another space. B. The author establishes the relationship between the labyrinthine space and mannerism, pictorial movement appeared in Italy at the end of the 16th century. Thus, it is a fact that the labyrinth is one of the most used elements in mannerist paintings together with the mirror, the mask and the monstrosities. C. The author demonstrates that schizophrenic world is linked to both the labyrinthine theme and the mannerist painting. Finally, the author shows how Bleuler's \"fundamental symptoms of schizophrenia\" are essentially related to mannerism and insofar to the labyrinth. The labyrinth is a very peculiar space, whose essential features allow understanding its notorious presence both in mannerist art and in the schizophrenic symptoms, paintings and world. The current research project analyses health consequences of indoctrination and abuse in international Buddhist groups. Barriers for traumatised persons emerge in a medical and psychotherapeutic context due to a lack of background information, as well as the common unreflected idealisation of Buddhism, ignoring conditions in various groups and recent developments of cults. The objective is the analysis of rationalising terms and psychological methods used to silence trauma, discredit and stigmatise victims and deprive them of social contacts. Furthermore, an information-, education- and treatment-network of physicians, psychiatrists and psychotherapists needs to be initiated. Methodologically, quantitative psychological questionnaires and the trauma questionnaire (for ICD-11) are combined with qualitative methods such as questionnaires evaluating experiences and interviews. A sophisticated structure with neologisms and decontextualised terms to manipulate people and silence the traumatised reveals. For instance, the concept of so-called 'karma purification' is employed to indoctrinate people already practicing 'guru yoga', thus identifying with and training in merging with the perpetrator, to consider the physical damage suffered to even be for their own sake. This results in many chronical mental diseases, because of prolonged periods of residence, particularly due to delays in separation caused by double bind, threats of slander, stalking etc., as well as persons after having allowed for economic exploitation and abandoned their external relationships assuming they would have no way to return. At present, this situation presents tremendous societal challenges with regard to legal issues, victim compensation, the provision of societal and health care as well as medical assistance. The research project is funded by the German Federal Ministry of Education and Reseach (08.2018-07.2021). If death is only an \"accident of life\", according to the word of Bichat, then it can be brutal, unexpected and traumatic We will show here the particular relationship between these particular children and their grandparents which will lead us to understand to a certain extent the trauma of this unexpected death. Exploitation and analysis of the patient file. M 73 years and F 63-years are the grandparents of J and his twin 5 years. J was suffering from recurrent tonsillitis, and his doctor decided to operate on him. The day of the operation, M accompanied J. A few minutes after the doctor announce the death of J after the anesthesia. It was a shock said M. F was inconsolable and their daughter was stronger. M and F are received in psychiatric one month after the death of J. They have since the death a reviviscence syndrome with flashback of the child playing and dragging in the house. F also presents an anxio-depressive syndrome. M-F took care of their little sons with kindness. The intensity of investment of this relationship with these twins testifies to the shock received by M and his wife to the unexpected and brutal announcement of the death of J on the operating table. F and M suffer from post traumatic stress disorder.This text, showing the special relationship between these grandparents and their twin little sons, also raises the problem of traumatic death. The development of diagnostic procedures for various diseases and conditions is an important task of scientific research in psychiatry. The aim of this work was evaluation of possibility of using brain computer interfaces as method of instrumental diagnostics post-traumatic stress disorder. The study involved 84 male, including 33 practically healthy persons; 23 persons with post-traumatic stress disorder, 28 alcohol abused with acute stress reaction in the past. Methods: psychopathological, Alcohol Use Disorders Identification Test (AUDIT]; Mezzich quality of life scale, civilian version of the Mississippi Scale (MS) for the evaluation of post-traumatic reactions in adaptation by NV Tarabrina; The MindWave MW001 single-channel NeuroSky Inc neural headset with MindWay Shulte application and MindRec software was used to evaluate attention and relaxation during the study. The data were processed using mathematical statistics. In the first phase of the work, the validity of the formation of qualitatively different comparison groups was verified by using quantified assessments of the severity of post-stress reactions, alcohol-related disorders and quality of life. The second was devoted to the evaluation of attention and relaxation indices using the single-channel MindWave MW001 NeuroSky Inc. The evaluation of these indicators was carried out in two qualitatively different states: in a state of calm wakefulness and in a state of mental load (work with Schulte tables). As a result BCI (such as MindWave MW001) using established as a method of instrumental diagnostics of poststress disorders and comorbid conditions. Main and additional neurophysiological markers of poststress disorders (compared to alcohol abuse) were shown. Women in labor in Kyrgyzstan experience violence from obstetricians from the moment of early pregnancy till childbirth. The violence toward pregnant women and during labor process is normalized by a daily routine aggressive communication with future mothers in maternity hospitals in the Kyrgyz Republic. The aim of this study is to explore the forms of institutional violence in obstetrics through the real stories of women, gynecologists, and the psychotherapists, working with traumatic consequences in the women experienced violence. To achieve this goal, in-depth interviews have been collected from 10 women, 5 obstetricians – gynecologists, and 7 psychiatrists, thematic analyses was used as the main method. The most frequent forms of institutional violence in maternity hospitals of the Kyrgyz Republic were forcing to pay for childbirth, verbal humiliations, dehumanizing of labor process, invasive practices without consent, denial of medical care, unnecessary use of medication. The consequences of the violence include such disorders as posttraumatic stress disorder, postpartum depression, panic disorder, obsessive compulsive disorder, generalized anxiety disorder, and chronic changes of personality as the result of the trauma experienced by the women in labor. The violence in maternal hospitals is structuralized and institutionalized; it is a real bulling towards women and newborn babies. Among health consequences of institutional violence in maternal hospitals of the Kyrgyz Republic we would like to underline a postpartum stress disorder, which is difficult to diagnose because of its clinical picture, and difficult to treat because of lactation period Social crises in the Kyrgyz Republic are often due to the wide-spread official corruption and penetration of organized crime into government structures. The consequences of one of those crises exist up to nowadays. To explore the dynamics of the symptoms of measurable level of traumatic stress in Osh events survivors. Repeated measures design was used to assess the level of traumatic stress, dissociative and somatic symptoms in 250 respondents in 2010, 2011, 2013, 2015, and 2018. A battery of psychological tools, including scales of traumatic stress, dissociation, semantic differential, and survey to determine the preferable addresses for receiving help was used in the research was used repeatedly in 2011, 2013, 2015, and 2018 PTSD symptoms in men are transformed into somatic symptoms and related disorders, the most frequent one was illness anxiety disorder; while PTSD symptoms in women were converted into either possession disorder or conversion symptoms. There was found a strong significant correlation (r=0,78) between the score of somatic scale symptoms in 2017 and the level of PTSD symptoms in 2011. Somatic symptoms and related disorders among our participants are associated with PTSD. Patients with conversion symptoms without any other symptoms of PTSD should be treated as patients with PTSD Standardized first-line treatments of PTSD according to clinical guidelines are SSRIs and psychotherapy. In our clinical experience it is common to observe that symptoms of anxiety are treatment-resistant during onset, what is more patients resort to alternative stress management strategies, including self-medication with cannabis. Given the current legal regulation of medical use of cannabinoids in different countries numerous studies about its effects have been published. To analyse existing evidence regarding the use of cannabinoids in PTSD. We present a case report and a review of the relevant literature which address the potential anxiolytic effects of cannabis and its potential indication in the PTSD is carried out. Evidence suggests that the indication of cannabis in the PTSD could be potentially benefitial due to its effects on the endocannabinoid system. However, many of the studies present methodological limitations inherent to their observational or case series design. Furthermore, no conclusive results can be found regarding the benefits and harms of cannabinoids long-term use. In the aforementioned case report, through self-medication with cannabis our patient achieved better control of anxiety. It is not possible to stablish a solid recommendation of use of cannabinoids in cases of PTSD given the limited evidence available. However, our review shows the importance of understanding the role of toxic consumption in each case and to perform an individual the risk assessment. Psychological effects of combatants's participation in hostilities have negative impact on their family relations. To develop a program of measures for its psychological correction on the basis of the study of phenomenology and mechanisms of development of health deterioration of families of demobilized combatants. 100 families of demobilized combatants who participated in military actions and their wiveswere surveyed – 200 people in total. The research was conducted with socio-demographic, clinical-psychopathological, psychodiagnostic methods and system-structural analysis of sexual health. The generalization of the obtained results confirmed our hypothesis about the polymodality of the phenomenon of health deterioration of combatants’ families, which has at least psychopathological, behavioral, personal, psychosocial, sexual and family dimensions of the problem, congruent with the levels of post-stress maladaptation. In addition, on the basis of the obtained results, two Clinical and psychological variants of family health deterioration of combatants were distinguished: destructively-congruent, which was characteristic for 40.3% of problematic married couples, and traumatically-uncoordinated, found in 59.7% of the families of the main group. The psychocorrection program for the family health deterioration of combatants was developed, which takes into account both the general laws of its development, and the meaningful differences in its manifestations, depending on the Clinical and psychological variant. The evaluation of effectiveness, carried out through a comparative analysis of the indicators of marital satisfaction and quality of life of individuals of psychocorrection and control groups, has proved their effectiveness in relation to the selected targets of psychocorrective impact. Combat trauma of the vision are one of the most serious in terms of the forecast of social functioning and limitations of life for the patient. To conduct a comparative study of the phenomenology of psychopathological response manifestations as psychological disadaptation or post-traumatic syndrome in participants of military actions with eyes injury and partial loss of vision 191 participants of military actions were examined: 54 combatants with eyes injury and partial loss of vision (PLV) and manifestations of post-traumatic syndrome; 49 combatants with PLV and signs of psychological disadaptation; 46 combatants with manifestations of post-traumatic syndrome; 42 combatants with psychological maladaptation. Combatants with eyes injury due psychological disadaptation demonstrated a reducing signs and symptoms of behavioral maladjustment urgency against the backdrop of the injury. Their skills of adequate psychological behavior on change the external environment were missing. In combatants with PLV on the background of the manifestations of post-traumatic syndrome the processes of formation of neurotic symptomatology on the background of eyes injury was identified. The level of somatic manifestations of psychopathological response indicates the beginning of the formation of neurotic disorders on the basis of post-traumatic syndrome, which is intensified under the influence of additional stress as a result of eyes injury. The obtained results will be taken into account when creating specialized highly-target approaches to medical and psychological rehabilitation for this contingent. HIV/AIDS and traumatic experiences or stressors are independently associated with neurocognitive impairment (NCI). Both exposures tend to consistently affect various domains of cognition including language ability, working memory and psychomotor speed across studies. There are limited data of the interaction between trauma and HIV infection and their combined effect on NCI. In the present systematic review we synthesize the evidence of their interaction and combined effect on NCI from high and low middle income countries. Our inclusion criteria for this review are observational epidemiological studies including case control, cohort and cross-sectional studies of the interaction of HIV infection and trauma and specifically their combined effect on NCI in adults. We include studies from high income and low and middle income countries. We searched a number of electronic databases including Pubmed/Medline, Psyc info, Embase and Global Health using the search terms: HIV, trauma, neurocognitive impairment, interaction and permutations thereof. We included 15 studies, of which the majority were conducted in high income countries. Ten of these studies were conducted in the United States and five in South Africa. Seven of these studies focused on early life stress/childhood trauma. The remaining studies included trauma across the lifetime. Nine studies included women only. Overall, the studies show that trauma exposure is a significant risk factor for NCI in adults living with HIV, with impairments in memory and executive functions most prominent. These findings highlight the need for trauma screening and for the integration of trauma-focused interventions in HIV care to improve outcomes. Psychological trauma causes clinical symptoms spécifique, ranging from acute to post-traumatic stress states and complicates the management of vulnerable patients. A simple act of screening at any psychiatric consultation would be to identify the number and type of potentially traumatic events experienced during life. To evaluate the impact of psycho-traumatisms and their clinical incidence in a population of psychiatric consultants at AR-RAZI Hospital . This is work on a sample of 100 patients who consult for a variety of psychiatric conditions and is intended to identify patients with a self-administered questionnaire . One hundred subjects were solicited, six subjects refused to participate, 84 subjects participated in our work, and 10 subjects could not be included, for various reasons: cognitive dysfunction (four patients), seriously ill patients (three patients), elderly subjects (three patients). In our work, the average age of patients is 34.15 years, 54.8% are female and 45.2% male, including 56% are single (Table 1). In this work, 62 subjects experienced traumatic experiences, of which 22.6% were physical assaults, 10.7% sexual assaults, 10.7% related to the death of a loved one, 9.5% transportation accidents and 4.8% serious work or domestic accidents, with high scores on the diagnostic scale of post-traumatic stress disorder for DSM-5 (PDS-5) in patients who had experienced physical assault, sexual assault, or unexpected death of a loved one (Table 2). Among the psychopathological consequences that a person may suffer from when confronted with an event traumatizing post-traumatic stress disorder represents an often severe progressive modality Post-traumatic stress disorder is defined as a mental disorder resulting from the experience of traumatic life events. Psychotrauma is transnosographic because it affects all fields of psychiatry in its clinical expression, also it’s transcultural because of its universality. The transcultural dimension distorts its expression and confuses the identification for less trained clinicians and is a source of misdiagnosis. The aim of this work is to focus on the clinical polymorphism of psychotrauma likely to induce misdiagnosis as well as therapeutic error. We report the case of a patient hospitalized at the ar-razi hospital in Salé who presented a manic-looking state. This case concerns Mrs. G N, 59 years old, married with no previous pathological history, who was admitted for the handling of psychomotor excitement, with the verbalization of delirious statements, 10 days after the announcement of the metastatic cancer of her son. Psychiatric examination Finds a agitated patient with maniac and delirious syndrome. The patient was treated with medizapine and depakine without clinical improvement. She was treated then with fluoxet only with a good clinical improvement. The state of post-traumatic stress disorder is multiple in its clinical aspect and varies in its evolution, which may manifest itself by manic symptoms. A clinician with no transcultural competence may be confused and can take more time to make the right diagnosis. Suicidal behaviors in adolescents are a major public health problem and evidence-based prevention programs are greatly needed. Engaging young people in prevention and early intervention programmes is a challenge for health services. To test the effects of a psychoeducational intervention in suicidal ideation, depression symptoms and hopelessness among adolescents at a school context. This study employed a pre pos-test design using the follow Beck instruments: Scale for Suicide Ideation, Depression Inventory and Hopelessness Scale. Participants: 30 adolescents (83.3% females) with mean age of 15.6 years (SD=1.13) had the inclusion criteria which was having suicidal ideation. Intervention: 15 sessions (1 hour each), held 3 times a week. A paired samples tests (parametric and nonparametric) was conducted to evaluate the impact of the intervention. After the intervention, most of the adolescents (60%) no longer had suicidal ideation. The scores of depression and hopelessness also decreased, 73.3% of the adolescents presented low scores of depression and 90% low scores of hopelessness. When comparing the pre and post-test, results showed a significant decrease (p<0.001) of mean scores of suicidal ideation, from 10.5 to 2.6, depression symptoms, from 23.8 to 7.2 and hopelessness, from 7.2 to 2.2. The intervention implemented in the school environment was positive, with significant decrease in suicidal ideation, depressive symptoms and hopelessness. Although there was no control group, the results suggest that the psychoeducational intervention implemented can contribute to reduce the suicidal risk in adolescents. Eating pathology is associated with subjective distress and functional impairment, as well as inpatient hospitalization, suicide attempts, and mortality. Interventions / Prevention programs directed at the general community that promote awareness of risk factors and promote psychological wellbeing may be relevant to decrease the likelihood of disordered eating. This exploratory study aimed at examining the effects of a brief low intensity intervention in college students. The intervention focused on 1) the clarification of key risk factors; 2) the promotion of positive self-evaluation and adaptive eating behavior attitudes. We adopted a case series approach. 5 participants (females; age range from 18 to 20 years) completed measures of Intuitive Eating, Body Image Shame, Perfectionism and Psychopathologic symptoms. Intervention: five 60-minutes sessions, focused on the role of shame and sociocultural pressure, perfectionism, negative affect, body image acceptance and flexible diet. Within-subject descriptive statistics and reliable change index analyses were conducted to examine the effect of the low touch intervention. showed decreases on body shame, negative affect and perfectionism and an increase of intuitive eating levels, with special incidence in one of the subjects. Findings generally suggested that the intervention was feasible and acceptable, emphasizing the potential beneficial impact of this light intensity prevention program. However, results should be considered cautiously given the methodological limitations of the study that should be addressed in future research. The exponential grow in the elderly population and the increase in mental health problems raises a concern with the elderly's quality of life. The positive association between healthy eating, mental health and longevity justified the implementation of this health education program. The main goal was to improve the quality of life of the elderly based on improved nutritional status, mood and social networks. This study employed a pre and pos-test design. Measures: Geriatric Depression Scale, Lubben Social Networking Scale, WHOQOL-OLD and Mini Nutritional Assessment. Qualitative assessment was made using a logbook. Participants: 22 elderly, 90,9% females, with mean age of 84,45 years (SD=1.13), divided in intervention group (n=11) and control group (n=11), with at least two of the following inclusion criteria: social isolation, depressive symptoms and risk of malnutrition. The intervention ran for 6 weeks, with 12 sessions, 90 minutes each. Regarding the intervention group, results showed improvements in the mood, social isolation and nutritional status. The mean scores of Quality of life (QoL) (total) increased from 87,1 to 89,9, and the facets of QoL “Social participation” and “Family” increased significantly (p=0.044; p=0.024, respectively). In the control group, results showed a significant decreased of QoL (total) from 91,3 to 80,7 (p=0,010) and of the facets “Sensory abilities”, “Autonomy”, “Social participation” and “Family” (p=0,028; p=0,048; p=0,015; p=0,020, respectively). This holistic intervention met the proposed objectives, showing the importance of health promotion programs. Moreover, longer programs with larger samples will be able to provide more significant positive results. (CENTRO-01-0145-FEDER-023369-AGA@4life) Dispositional mindfulness (DM) – the capacity to bring nonjudgmental awareness to everyday activity - is considered in literature as an effective resource of work-related stress reduction but much less is known about its ability to influence the development of burnout syndrome. Two following studies examine impact of dispositional mindfulness on burnout in mental health professionals. Mindfulness and burnout were measured by Russian adaptations of FFMQ, MAAS, and Maslach Burnout Inventory. In study 1 professionals with different levels of DM were compared according to the severity of symptoms of burnout syndrome. Participants (N = 177) using hierarchical cluster analysis were divided into 3 groups with a high, medium and low level of mindfulness. Comparison of groups using ANOVA revealed statistically significant differences in terms of emotional exhaustion (F = 5.549, p = .005), depersonalization (F = 4.369, p = .015), reduction of personal achievements (F = 6.693, p = .002) and integral burnout rate (F = 8.988, p = .000). Participants with higher level of mindfulness showed lower rate of burnout. Study 2 examined whether development of mindfulness through training affects the severity of burnout syndrome. After completing the MBCT program, participants from the experimental group significantly increased in acting with awareness (Z=-2,499, .012) and non-reacting (Z=-2,120, .034) measured by FFMQ, MAAS (Z=-2.670, .008) and the rate of Personal Achievement (Z=-2.275, .010). The level of mindfulness negatively affects the severity of burnout symptoms. These findings make mindfulness-based interventions potentially an effective tool for burnout prevention in mental health professionals. Older people with a mental health problem often live with a complex functional picture, regularly presenting a chronic illness in addition to the impacts of normal aging. In a context where people are living longer, our approach to mental health needs to make accessible effective preventive interventions. In this context, the objective of this presentation is to talk about a research project carried out to develop a program logic model of a preventive intervention for seniors The logic analysis makes it possible to describe the characteristics of an intervention in terms of resources, activities and expected results in the short, medium and long term. The logic analysis carried out in this project focused on three major modeling steps; (1) a literature review, (2) case analysis (3) partnership work with different key players in the community. The model, called the Sagacity College model, puts forward an educational approach in the community where all people have access to training on mental health, recovery and well-being. The model is based on the proximity of students from diverse backgrounds and on principles of social inclusion. In this intervention, seniors play an active role not only as learners, but as transmitters of knowledge about health, prevention of mental health disorders and how act daily. Such an intervention is intended to increase the empowerment of older adults, promote the adoption of behaviors that promote good mental health, and improve knowledge of best practices to address common mental health disorders. Psychiatric illness among parents can have a devastating impact on children’s wellbeing, and their development. “Progetto Mary” is a program aimed at preventing the distress that may arise in psychiatric patients children. The objectives are: to support parenting skills in the presence of mental disease; to promote the children ability to cope positively with difficult situations; and to improve relational wellbeing and family quality life. We set up a project at the Unit 1 of the Psychiatry Department of APSS, in Mezzolombardo (Trento), inspired by the “Progetto Semola” based in Milan, and by the Finnish national program. The project involves parents with children aged 6 to 16 years. The interventions are structured in two levels: “Let’s Talk about Children”, three interviews dedicated to patients and their partners, and ”Family Talk Intervention”, which also includes children and it takes 5-6 interviews. The pilot project started on july. To date we involved 8 parents of children of average age 9 years. The plan is to involve ten couple by the end of the year. The tentative results of the satisfaction survey suggest an effective support to parenting, and parents have spontaneously created a network of mutual self-help. Within the several pathways linking parental mental illness with poor child outcomes, parent’s impaired parenting is one potentially modifiable factor. The outcomes of our project can be used to implement a preventive family program in Mental Health Care, in order to improve parenting and the parent's awareness about children. The RANZCP Foundation was launched in 2019 and enables the Royal Australian and New Zealand College of Psychiatrists (RANZCP) to raise funds and manage an annual grants, scholarships and awards program for psychiatrists in Australia and New Zealand to undertake new and innovative psychiatric research projects. To provide an overview of the RANZCP Foundation and its annual grants, scholarships and awards program that support and encourage psychiatrists to engage in clinical work, research and other initiatives to improve the mental health and wellbeing of communities. The Foundation is overseen by a senior advisory committee reporting directly to the RANZCP’s Board of Directors. The RANZCP Foundation Committee is responsible for developing and overseeing the implementation of the Foundation’s strategic goals including the fundraising strategy, a gap analysis in mental health research in Australia and New Zealand and defining the research priorities. Since the launch of the Foundation there has been a three-fold increase in donations and the Foundation has awarded a number of grants, scholarships and awards to further psychiatry research in Australia and New Zealand. 100% of donations to the Foundation go to funding grants with all operational costs of the Foundation supported internally by the RANZCP. The RANZCP Foundation supports and encourages psychiatrists to engage in clinical work, research and other initiatives to improve the mental health and wellbeing of communities. 100% of donations to the Foundation go to funding grants with all operational costs of the Foundation supported internally by the RANZCP (I am CEO of the RANZCP). Stress and burnout in mental health nurses remain major concerns for the health service. To date the bulk of research has focused on assessment and measurement of stress. Few researchers have attempted to intervene to reduce staff stress and to build resilience in the working place. To design a training programme – as part of the service developments within the Moscow based Psychiatric Hospital – in order to equip the nursing staff with the necessary knowledge and skill base for reducing stress and burnout, and building resilience in the working place. Participants (n=25) are assessed pre-intervention, and one month after. Measures include a range of assessments covering hardiness as a pattern of attitudes that provides the courage and strategies to turn stressful circumstances into growth opportunities (Maddi, 1984, 2006), and mediating variables (demographic). In addition to these indicators, qualitative methods are utilized as well. The intervention was delivered via a five session workshop format. The results of these measures and comments upon the impact of training on the nurses’ attitudes are presented. Results were evaluated for efficacy. A separate phase to encourage dissemination would seek to train staff from other departments to deliver the intervention. The implication of these findings for improving care by caring for professional carers is discussed. The study’s findings have the potential to inform organizations in mental health to promote resilience in mental health nurses, with the potential to reduce the risk of burnout and hence staff attrition, and promote staff retention and occupational mental health. This study examines hope & resilience among psychological literature and lay accounts. Hope theory has been one of the key topics within positive psychology. In this study we compare the Arab studies to the original studies showing significant differences and contradictions between the two clusters. We also examine laypeople’s accounts of hope and resilience through their accounts of personal experiences. To highlight the cultural affect on understanding the concept of Hope, resilience and agency thinking. It examines laypeople's accounts of hope as well as trauma. It focuses on how and why lay people construct the notion of hope and resilience. It discusses the notion of pathological hope as well as pathological adaptation. We compare the construction of hope and resilience within Arab studies and original research. We employ discursive psychology to examine the construction of hope and resilience within the accounts of lay people exposed to traumatic events related to wars. The concepts of hope differ significantly among the two groups of studies. Arab researchers overlook the notion of agency thinking, responsibility as well as accountability. Similarly, the lay people’s accounts of hope and resilience lack the notion of agency as well as culpability. This builds hope as an end and not a means to achieve further ends. Hope and resilience should be examined through the use of both quantitative and qualitative methods. The lay people’s accounts and the scientific understandings of the concepts must be examined and compared to the wider application and consequences of various related psychological constructs. The Adult Hope Scale (AHS) was developed as a measure of hopewith a 12-item using an 8-point Likert-type scale (Snyder et al., 1991).There is no study until this date that examines the explanatory and confirmatory factor invariance of AHS among Kuwaitiundergraduates. The current study investigated the factorial invariance (the original two-factor modelof the AHS) across two undergraduate samples Sample one (2000) consisted of (1000) males and (1000) females , with a mean age (20.25±0.05) years, while sample two (760) consisted of (288) males and (472) females with a mean age (20.10±1.53) years, from Kuwait University. The Arabic version of the AHSwas administered to participants. Explanatory factor based on sample one and conformity factor analysis based on sample two of AHS were used in this study. The results revealed no significant gender differences in AHS for sample one (F= 1.68, p> .05) and sample two (F= 2.58, p> .05).The explanatory and confirmatory factor analysis of (AHS) extracts two -component solution explains %56.89variance of sample one and %59.94 for sample two. No significant differences were found in the factor patterns for the agency and pathways factors for sample one and sample two. The results of both confirmatory and exploratory factor analysis indicated that the original two-dimensional structure (pathways dimension &agency dimension) provides a better fit to the data. There was a great deal of factor similarity between the two samples, with Tucker’s phi being 0.96. Smoking is universally considered a major risk factor for various somatic diseases, such as cardiovascular disease, cancer and respiratory disease. It is also associated with several psychiatric disorders and addictive behaviors; approximately 1 every 5 individuals under the age of 15 years report daily use of tobacco. Therefore, early prevention should be addressed as a primary need. Our goal was to investigate the effectiveness of interventions to prevent tobacco use, conducted in subjects under 35 years old. A multi-step literature search (up to 1st May 2019) was performed to identify relevant articles. From 52725 articles initially found, 32 relevant articles with meta-analyzable data were selected and extracted by independent researchers. Preventive interventions included in this search were effective, although the effect size was small (g=0,208, SE=0,066). Effect sizes related to each of the intervention are represented in a forest plot (see Fig.1). A subgroup analysis was performed including four specific intervention categories (psychoeducation, psychotherapy, combined interventions, other interventions): combined interventions showed the highest effect size (see Tab.1). I2 index and Q test detected high heterogeneity in the included studies; visual inspection of funnel plot did not show significant publication bias, and this was confirmed by the “trim-and-fill” method (see Fig. 2). Fig. 1 Forest plot two step literature search. Tab.1 Meta-analysis summary. Our findings suggest that preventive interventions carried out in young individuals are effective and can reduce the burden of smoking in terms of health consequences and social costs. ‘Bonding disorders’ occur in 1% in the general population and are more frequent in clinical samples, affecting parents and their offspring even beyond the first year after birth. Strikingly, this goes often overlooked. Moreover, complex trauma is a common consequence of severe neglect, maltreatment and emotional abuse in parent-child relationship disturbances. Might be prevention better than cure? To analyze bonding-related issues and propose alternative solutions to prevent complex trauma since a Perinatal Mental Health perspective. Systematic search and literature review. Emotional rejection (ER) of the infant is the most severe disorder in Perinatal Psychiatry, being most frequent than psychosis and suicidal depression in puerperal mothers. Insecure and disorganized attachment in offspring is associated with parents suffering ER, with or without depression, leading to a wide range of psychopathology in children and adolescents. So, how is it possible to detect bonding disorders and treat them in time? 1) Assistance at antenatal health centres is an excellent opportunity for identifying pregnant women at high risk. A useful screening scale is Prenatal Attachment Inventory. 2) After birth, there is the Postpartum Bonding Questionnaire, which has been validated and widely translated, included in Spanish. 3) Interventions like video-feedback psychotherapy and educative intervention are measures implemented in some Spanish centres, however, there is still work in the public health sector to validate scales and implement installations for Perinatal Psychiatry units. Perinatal Psychiatry demands greater attention from clinicians and researchers for its preventive and therapeutic potential, resulting in long-term cost savings in health and other systems. Level of mental disorders is extremely high in Ukraine. It represents a huge cost to economy. Mental illness, lack of mental wellbeing negatively impact on the life quality. Recently, there has been an increased emphasis on accountability in health care service delivery, a concern that often goes hand-in-hand with the issue of competence. In September 2019, the Institute of Cognitive Modeling (ICM) was opened in Kyiv. We consider this event to be outstanding for Ukrainian medicine, it gives an opportunity for ensuring high quality of care in line with international protocols and standards. The main goal of the ICM is supporting the promotion of mental wellbeing and the primary prevention of mental disorders. This goal canbe achieved by psychoeducational work on the principles of evidence-based medicine. ICM will be focused on computer-based implementation yielding quantitative predictions of behavior, cognitive processing steps, of neural activity; psychodiagnosis, psychoeducation, pharmacotherapy, psychotherapy and up-to-date digital technologies. Mostly young scientists and students will work therewith the aim to reduce the emigration of young specialists. Furthermore, Ukraine needs quick changes that is why we will most of all influence such population category as employees. We will try to recognise the mental health ( MH) needs of the workforce, promote a culture of good MH for employees, optimize the work according to personal characteristics to ensure early help-seeking and supporting return to work. We expect to create a prevention-focused approach, increase MH awareness and psychosocial functioning, improve accessibility of MH services, decrease discrimination and human rights violations. When youth drop out from school this may have important consequences, including for their mental health. It is therefore important to find successful methods to help those who have dropped out, but this topic has not received much scientific attention. In Norway, only one third of those who have dropped out report having received satisfactory assistance to enable them to re-enrol in school or alternatively to join work-training programs. To investigate how students who have dropped out from high school experience a new public program aimed at assisting them to re-enroll in school and to examine which factors that motivate them and which factors that impair their school re-enrolment. We performed repeated qualitative in-depth interviews about the re-enrollment process with five young people who had dropped out of school. We analyzed data using a qualitative methodology drawing on concepts from Grounded Theory. The informants expressed their belief in the importance of graduating high school. Nevertheless, a lack of coping experiences, problems with discovering their core motivation, and problems finding courses that seemed relevant and within their range of mastery, kept disturbing their re-enrollment processes. However, this confusion also increased their motivation for taking a job while finding more clarity as to which type of education to choose. The close relationships and daily follow-up by social workers in the project were the main reasons they gave for staying in the program. The quality of the relationships and the close follow-up by their social workers were important factors that helped the participants remain in the program. One in three Korean adults (30.6%) reported experiencing a lot of stress in their daily lives, and this rate has increased over the last five years. In addition to biological causes, mental illness is caused by the interaction of environment, psychological factors, and stress. The stress-vulnerability model can be seen as a concrete framework for understanding the effects of stress on psychopathology such as depression and suicide. The purpose of this study was to confirm the whether perceived stress actually affects the experience of psychopathology in adults who have a mental health examination voluntarily at the National Center for Mental Health of Korea. To do this, self-report responses from screening subjects (n=75) from Jul 2018 to May 2019 using the following tools(PSS-10, GARS, SCL-90-R). As a result, the higher the perceived stress level as determined by the Perceived stress scale-10, the higher scores of psychotic symptoms (somatization, obessive-compulsive, interpersonal sensitivity, depression, anxiety, phobic anxiety, and psychoticism) were reported at a significant level. The recent stress confirmed by Global Assessment of Recent Stress, it was confirmed whether the feeling of severe stress explained psychotic symptoms of psychopathology. As a result, linear regression models of each psychotic symptoms was significant and the explanatory power was high from 0.380 to 0.581. Stress is related to the manifestation of OCD and psychosis not only causing depression and anxiety, as it is known. Thus prejudices in Korean society that comes from explaining psychopathology only by personal characteristics, should be noted to the role of stressful environment. Psychoneuroimmunology is the science that studies the interaction between the nervous system, immune system and endocrine system. This interaction takes place through the microbiota, which is the set of microorganisms that reside in the gastrointestinal tract. The alteration of the composition of the intestinal microbiota is known as dysbiosis and seems to be involved in multiple pathophysiological processes. We intend to deepen the relationship between the intestinal microbiota and mental illness. For them, we are going to make a literature review in pubmed. Personalized Precision Medicine has allowed us to know the bacterial genome. It is known that more than 90% correspond to Bacteroidetes and Firmicutes. Proinflammatory status with increased cytokines has been demonstrated in patients with schizophrenia. Likewise, increases in some cytokines have been demonstrated even before developing a psychosis in at-risk populations. Schwarz et al. (2017) observed that patients with first episode psychosis presented greater alteration of the composition of the intestinal microbiota compared to non-psychiatric subjects, greater severity of psychotic symptoms and overall functioning at the time of hospitalization, with lower remission rate in a year of follow-up. It has been suggested that cognitive symptoms of depression may result from the interaction of neuroinflammatory and neurohormonal factors related to the hypothalamic-pituitary-adrenal axis. It would be interesting to be able to carry out more studies in humans that allow us to deepen the knowledge of the intestinal microbiota and its involvement in mental health. Multiple sclerosis (MS) is a neurodegenerative and inflammatory chronic disease of unknown etiology that affects the central nervous system. The prevalence rates of anxiety in MS ranges from 30% to 50%, whereas the lifetime prevalence ranged from 14% to 41%. However, sometimes the anxious clinic may be present as multiple sclerosis prodromes. - Report a case of MS debut, in a patient who initially presents an anxious and dissociative clinic. We describe a case of unexpected Multiple Sclerosis diagnosis in a young men with psychiatry history and admitted to a Psychiatry Unit at Hospital San Rafael. A 32-year-old male with a psychiatric history of alcohol, nicotine and benzodiazepines abuse. A diagnosis of borderline and narcissistic personality disorder with several suicide attempts. During a hospitalization in a Dual Pathology Unit experiences a traumatic event of high emotional and behavioral impact, which originates anxious symptomatology with dissociative episodes and depersonalization. Several outpatient resources were offered; but due to a progressive functionality deterioration, an admission to a Psychiatry Unit was decided. A CT scan was requested after a fall with loss of consciousness in which hypodense lesions in periventricular and subcortical substance were observed. While in the a pseudotumoral lesions suggestive of inflammatory-demyelinating pathology was observed. After this findings motor and sensitive clinic appear. Reaching to Recurrent Remitting Multiple Sclerosis diagnosis. It is important to carry out an adequate differential diagnosis, as well as the detection of structural medical pathology at new psychiatric symptomatology. The new approach in psychiatry is an attempt to analyze the immune mechanisms of asthenic symptoms development in endogenous process using immunological markers to diagnostic clarification of these disorders. The differentiation of clinical features and immune types of asthenic disorders in patients with schizophrenia. The study included 43 patients aged 20-55 years with schizophrenia (ICD-10 F20.x1, F20.х2) in remission. PANSS and MFI-20 scales were used for the assessing symptom severity. The activity of inflammation markers leukocyte elastase (LE) and a1-proteinase inhibitor (a1-PI) was detected in serum. The asthenic disorders in patients with schizophrenia in remission were associated with an increase in the activity of acute-phase proteins (by a1-PI activity) (p<0,001) and deficiency in the functional activity of neutrophils (by LE activity). These data are in contrast to those in patients with schizophrenia in acute stage of the disease as previously was shown. Two immune types depending on the inflammation markers activity were revealed. The 1st one (41%) demonstrated the moderate increase both LE (p<0,05) and a1-PI activity (p<0,05) as compared to normal values. The asthenic symptom complex in this group was transient and accompanied by depression symptoms. The 2nd one (59%) showed the increase in a1-PI (p<0,001) but not LE activity. The asthenic symptoms in these patients were irreversible and associated with negative disorders of varying severity. The investigated inflammation indicators allow to evaluate the activity of the pathological process in brain and can be used as markers of endogenous asthenia. Dysregulation of Type 17 immune pathway have already been considered in schizophrenia and our previous studies showed decreased sera values of IL-17 in early stages. We analyzed percentage of Interleukin (IL)-17 producing innate and acquired lymphocytes in peripheral blood, and explored the possible correlation of IL-17 systemic levels with proinflammatory cytokines and cognitive scores in stable phase of schizophrenia. We included 27 patients diagnosed with Schizophrenia (F20), after a three month stable depot antipsychotic therapy (risperidone or paliperidone) and 18 healthy control subjects. Positive and Negative Syndrome Scale of Schizophrenia and the Montreal-Cognitive Assessment (MoCA) was conducted. Sera concentrations of IL-17, IL-6, Tumor Necrosis Factor alpha (TNF-α) and soluble ST2 receptor (sST2) were measured and also flow cytometry and NK and T cell analyses were done. The statistical analyses were performed using SPSS 20.0 software. Significantly higher percentage of IL-17 producing CD56+ NK cells (p=0.001) was measured in peripheral blood of patients with SC in remission vs. healthy individuals. Percentage of CD4+ T cells and CD4+ T cells that produce IL-17 were significantly increased in patients (p=0.001). Moderate positive correlation was established between IL-17 and TNF-α (r=0.640; p=0.001), IL-17 and IL-6 (r=0.514; p=0.006), IL-17 and sST2 (r=0.394; p=0.042). Further, positive correlations between the serum levels of IL-17 and MoCA scores was observed (p<0.05). This study revealed involvement of innate Type 17 immune response in progression of inflammation and that it could be related with cognition in stable schizophrenia. Pseudologia Fantastica (Delbrück, 1891), also known as mythomania or pathological lying, is a psychological phenomenon where patients represent certain fantasies as real occurences. In contrast to a common lie that pursues a goal, the pseudologue has internal motives or unconscious gains, so there is no obvious external motive for lying. It has been described in the field for over a century. Richard Asher (1951) published his original observations on Munchausen´s syndrome, but he reflected that the lies, and no medical symptoms, were essential to factitious presentations. We present a case based on pathologic lying. We propose the usefulness of Eye Movement Desensitization and Reprocessing (E.M.D.R) therapy. A systematic review of the literature published in the topic and the discussion of the implications in the differential diagnosis and treatment. The patient is a 34-year-old man with no previous medical history. No substance use disorder or other psychiatric diagnoses, except an anxiety disorder. The pathological lying was persistent since he was an adult and consisted of pretending to be a doctor or a lawyer. In addition he was diagnosed of mayor depressive disorder and insomnia. Although Pseudologia fantastica is not coded in the DSM-5, it has historically been associated with factitious disorder. It is difficult to distinguish factitious disorders from somatisation, conversion and dissociation disorders. In all of them, E.M.D.R therapy might be useful. ADHD has been related to poorer outcomes in domains such as sleep, diet, exercise, or addiction. A common feature to all of them is that they could be described as a kind of habit formation. Hence, to study if, or how, habit formation has been linked to ADHD in the scientific literature is of importance to understand a prominent feature of the disorder. This review aims to highlight how habit formation has been related to ADHD. Internationally accepted guidelines (PRISMA) will be followed in the planning and reporting of the review. This protocol will be registered in the Open Science Framework website. Search queries and databases, reference managers, inclusion and exclusion criteria and key data fields to extract from the included references can be found in figure 1. Screening and data extraction will be carried out independently by two researchers. Extracted data will be combined into descriptive graphs and tables summarising results. Descriptive statistics will also be used when appropriate. Key results of articles will be presented narratively. We plan to explore how frequently, in which journals and academic areas, and under what conceptualization of habitual behavior are habits and ADHD related in the scientific literature. This scoping review will help provide an underlying explanation to many of the poorer outcomes found in the disorder. INTRODUCTION: Why can a mentally-ill person act like a terrorist? From the holistic perspective terrorism articulates several complex factors that inform us of the brain-behavior relationship. The anchor point of this theoretical proposal is that the psychological core of becoming a terrorist in Europe is the community and the onset is the emotional need of a radicalized identity that sprang from micro-situational processes that are an outcome of tensions toward people who are perceived to be problematic. Premise this, I assume that the extreme case of a mentally-ill person who acts in an aggressive and violent manner is a sign of a poor quality of life and stigmatization in his context where hostility is present in terms of an aversion to knowing and accepting diversity. To discuss how rehabilitation that is not focused on identity can create a state of confusion in patients so they are much more vulnerable to cultural narration regarding conflictuality because the brain needs recognition that energizes the Self as a trigger for empowerment. I will show detailed descriptors of the assessment of a bipolar patient's agentivity as an example of 'avenger' for a sense of the unjust in an Italian community characterized by stigma's circulating emotions. To verify whether agentivity's phenotype is a developmental trajectory that enables mentally-ill persons of the feedback ' I can be an I can do it? A positive link between global, social functioning and psychological capabilities as a goal of mental health is theorized. Attention deficit hyperactivity disorder (ADHD) is a common neurodevelopmental condition characterized by inattention, hyperactivity and impulsivity. Chiari malformations (CM), form a spectrum of hindbrain malformations characterized by cerebellar herniation through the foramen magnum. Evaluation of attention deficit disorder involves a complete psychiatric interview. Although medical comorbidities are or should be explored there may be underlying conditions which contribute to the phenotypic clinical presentation of ADHD which are insufficiently understood as such. To present a case of concurrent ADHD and Chiari malformation type I (CM-I) and to contextualise this case through a review of the literature. A complete evaluation of a patient presenting for ADHD was completed using DSM-5 criteria. Following the discovery of a Chiari malformation a review of the literature was conducted. Eight publications met criteria. Of these a single prior case report of CM and ADHD was found in the literature. The co-occurrence of CM and ADHD is intriguing. It supports evidence suggesting that the cerebellum and its associated structures play a role in the pathophysiology of ADHD. It also highlights the possibility that some cases of ADHD may be caused by or associated with cerbellar pathology or malformations. Furthermore, this case and review suggest that further study of the association of CM and ADHD may both clarify the prevalence of this co-occurence and its potential importance in the evaluation of patients with cognitive deficits. Past 2 years: Conferences: Jannsen, Lundbeck, Otsuka, Purdue, Shire, Sunovion Advisory board: Jannsen, Lundbeck, Otsuka, Purdue, Shire, Sunovion Research grants: DiaMentis, Janssen, Lundbeck, Pfizer Dissociative symptoms are present in various psychiatric disorders, both in those with a psychotic and a neurotic background. Although categorized in current classification systems with close proximity to neurotic disorders, dissociative disorders can overlap with psychotic disorders, suggesting that these symptoms are positioned at the border between neurosis and psychosis. We present a clinical case from our Day Hospital, then discuss difficulties in the differential diagnosis when dissociative symptoms are present, as well as the value of dissociative symptoms per se. Description of the clinical case and literature revision using PubMed and the keywords “dissociative psychotic” and “dissociative neurotic”. We present the case of a 25-year-old woman admitted to our Psychiatric Day Hospital following a two-month stay in an Acute Psychiatric Ward in the context of suicidal ideation and dissociative episodes with behavioural changes, hetero-agression and speech alterations, from which she was discharged with the diagnosis of Borderline Personality Disorder. She had a previous diagnosis of Schizoaffective Disorder from another Acute Inpatient admission seven years before, after presenting with a similar clinical picture along with hallucinations. At admission to our service, she presented depressed mood, with no suicidal ideation, but maintaining great anxiety and the described dissociative episodes. Both psychotic and neurotic disorders have been discussed as possible causes for this patient’s symptoms. Distinguishing between neurotic and psychotic causes of dissociative symptoms may prove itself challenging in some patients, but is a crucial step to develop an adequate treatment plan. Delusions of having a spouse and/or of having children have comprehensible psychological affective functions of bridging the gap of unmet relationship and reproductive needs. These delusions are apparently even less frequent than pregnancy delusions, delusions of lineage and misidentification syndromes. Delusions of having a spouse may be considered akin to delusions of being loved. Literature review and reflections on delusions of having a spouse and having children inspired by a patient with schizoaffective disorder with chronic delusions of having a wife and children. Search on Pubmed and Google Scholar of terms: delusions of having a spouse/wife/husband/partner; paternity/maternity delusions, delusional procreation syndrome Search revealed few relevant articles among which are two excellent articles on the proposed \"delusional procreation syndrome\" (Manjunatha et al., 2010 and 2013) that encompasses these delusions among others. The scarcity of published literature may or not reflect clinical prevalence of delusions of having spouses/partners and/or children. Basic needs of relationships, intimacy, promoting self-esteem, navigating the cycles of life and the quest for continuity are almost ever present and understandably find their way into delusional content. Delusions of having a spouse may hypothetically be considered a sub-type of erotomania. Clinical lycanthropy is an uncommon delusion of turning into a wolf. A systematic review in 2016 found only 13 case descriptions, only one not secondary to a psychiatric disorder. To identify and describe an unusual symptom based on a clinical case. The present study is a case report of a patient admitted for clinical lycanthropy to our hospital. We also searched previously case reports, series and systematic reviews of clinical lycanthropy using a pubmed query (“lycanthropy”, “cerebellum”, “hydrocephalus”, “psychosis”).\n\nFig. 2Funnel plot Funnel plot Mr. CJ. is a 38-year-old Mexican male, with no prior psychiatric history or substance use. He was admitted for bizarre behaviors and delusions. He had been living in the forest for the last weeks with the belief that he was a werewolf, and on full moon he behaved like a wolf (naked and howling). He also presented multimodal hallucinations, headache, ataxia and visual blur. The mental evaluation did not suggest a delirium. A CT scan revealed a left cerebellar lesion and hydrocephalus (Image 1,2,3). He experienced full remission of psychotic symptoms after external ventricular drain and antipsychotic treatment (risperidone, olanzapine). After surgical r emoval the histology revealed a cerebellar hemangioblastoma. The clinical presentation suggested the diagnosis of a psychotic disorder due to cerebellar hemangioblastoma with consequent hydrocephalus. Cerebellum abnormalities and hydrocephalus have been associated to psychotic symptoms. Furthermore, other case reports showed rapid recovery of psychosis due to hydrocephalus after neurosurgical intervention. To our knowledge, this is the first report about clinical lycanthropy due to a tumor of the central nervous system. Mental disorders among cardiovascular patients during recovery period after successful surgical treatment may be considered as an independent predictor of unfavorable prognosis in relation to employment. study of psychoemotional state of patients among Cardiovascular Patients after Successful Surgical Treatment The study was conducted between 2017 and 2019 and involved review of 412 out-patient medical history records of heart condition patients in the age ranging from 47 to 79 years old, average age 60,5±7,8 years, after successful previous surgical treatment in order to identify the patients with mental disorders of non-psychotic level The number of male patients with cardiovascular conditions included into the study cohort was higher than number of female patients, respectively 62% of men (255 patient) and 38% of women (157 patients). The results analysis revealed that neurotic and somatoform disorders were the most common among the patients studied and developed in 36,9% cases. Organic anxiety disorders, depressive disorders and emotionally labile mental disorders were diagnosed in 18,2% while 44,9% patients showed no symptoms of any mental disorders. The anxiety syndrome incidence was the highest both in the somatoform disorders subset, where it was diagnosed in 70% of cases), and in organic mental disorder subset, where it was diagnosed in 82,7% cases. The data obtained in course of the study confirm significant specific gravity of non-psychotic mental disorders among cardiovascular patients and indicate a need for psychometric examination and complex therapy using psychopharmaceutical drugs in this patient population. Cardiac syndrome X (CSX) is a rare form of ischemic heart disease, the pathogenesis of which is not yet comprehensively studied. There is a large pool of literature data indicating a close association between chronic pain and affective disorders, mainly depression and anxiety. study of the features psychoemotional state of patients with X-syndrome The study population comprised of 23 patients, average age 54±10,5, including 17 female patients (73,91%) and 6 male patients (26,07%), with verified diagnosis of CSX. The pain syndrome was studied using the McGill Pain Questionnaire and the Visual Analogue Scale; CES-D Depression Scale, Spielberger and Alexithymia Scale. The pain intensity in CSX patients measured based on VAS score was 5,8±0,22 with average duration of 17,84 ± 2,11 minutes; in 60,86%) of cases was provoked by psycho-emotional state, in 21.73% - by physical activity, and in 78.26% by psycho-emotional and physical stress. According to the CES-D questionnaire, depression was detected in 86.96% of CSX patients, in 13.04% it was absent. The test of Spielberger 56.5% had a high level of reactive anxiety, in 65.21% high level of persona anxiety. High alexithymia level was identified in 86,9% of CSX patients (72,17±5,15 points) and positively correlated with situational anxiety level (r=0,623), depression symptoms (r=0,856); VAS pain intensity score (r=0,588) and McGill Pain Questionnaire (r=0,362). The obtained results indicated that alexithymia was discovered in all CSX patients, and that high alexithymia level apparently affected the nature of pain disorder. The concept of negative affectivity includes anxiety, depression and hostility – i.e. negative emotional disposition that may contribute to the negative I-concept development in patients under influence of stress. In this context, the hostility is considered as the complex motivational condition, and the aggression is defined as a specific behavior determined by such condition. The study of relevant negative emotional condition in somatic patients is of high scientific significance. The study population comprised of 32 esophagitis patents (11 males and 21 females, average age 29.7±9; average duration of disease: 3,7±2,1. Psychometric studies included scale anxiety and anger Spielberger, Zung scale and TAS Аnalysis results showed that in esophagitis patients, the following psychological indices were significantly higher as compared to the healthy: reactive anxiety (46,28±8,21 vs. 37,34±9,23, р≤0,01); personal anxiety: 50,42±6,12 vs. 41,23±6,73; р˂0,01; alexithymia level: 70,75 vs. 59,05±9,16, р˂0,01) and Zung depression score (43,53±5,26 vs. 36,29±5,95, р˂0,01). The level of aggression : anger as event reaction: 12,32±2,08 vs 8,63±2,43, р˂0,01; and hostility score: 0,98±0,69 vs. 0,47±0,38; р <0,001. Correlational analysis revealed that increased duration and severity of depression (r=0,743; р <0,01) was related with growing anger as event reaction (r=0,409; р <0,01) and hostility (r=0,435; р < 0,01); elevated level of personal anxiety (r=0,639; р <0,01), alexithymia score (r=0,334; р <0,01). The discovered negative emotional conditions indicated prominent interpersonal conflict in this subset of patients The data obtained indicate high level of aggression / hostility in this subset of patients and suggest the need for psychopharmaceutical and psychotherapeutic care. The study of the quality of life of patients with rheumatoid arthritis from the perspective of the study of gender characteristics in the perception of pain is relevant. The above can lead to better medical care for this category of patients The study of the quality of life of patients with rheumatoid arthritis from the perspective of the study of gender characteristics in the perception of pain is relevant. The study population included 28 patients followed-up at early treatment centre for rheumatoid arthritis with the average age of 46,5±18,7 years old (7 males and 21 females). For the purpose of this study, the patients were offered to complete the Russian version of SF-36 questionnaire. Based on the quality of life assessment results among male and female rheumatoid arthritis patients, the significant differences were discovered in Role-Emotional Functioning scores (12,5 ± 1,75 vs 33.33± 2,34; р˂ 0,001); Role-Physical Functioning score (21,97± 4,27 vs. 33.83±5,61; р˂0,01) and Bodily Pain score (18.07± 10,24 vs. 31,23± 6,9, р˂ 0,05). In order to analyze the quality of life depending on age, the patients were divided into three age groups: below 30 y/o group, 30 – 50 y/o group and above 50 y/o group. The conducted correlational analysis revealed reverse correlation between disease duration and Role-Physical Functioning score (r=-0,23; р ˂0,03), as well as General Health score (r=-0,40;р˂0,05). The quality of life and bodily pain scores were different for male and female patients. The successful adaptation to the underlying condition also depends on the disease duration. There exists a well-known interdependence between sleep and psychophysiological condition of health. Research into sleep duration and sleep conditions are of high scientific importance. The study population included 372 respondents who had complaints related to the quality of sleep (128 males and 244 females; 48,6±16,4 years old/ The daily sleepiness was assessed using the Epwort Sleepiness Scale, while psychoemotional condition was evaluated using Hospital Anxiety and Depression Scale (HADS). HADS scale assessment results indicated that 33,06% of respondents showed the anxiety traits without symptoms of depression; depressed condition without anxiety component was diagnosed in 7,79%; while 25,80% showed combination of both anxiety and depression symptoms. Normal HADS scores were demonstrated by 33,24% later used as a control for comparison. The respondents with anxiety traits more often complained on difficulties, when falling asleep: 25,98% vs. 12,09% р<0,001; early complete awakening: 14,63% vs. 6,45% р<0,01; restless legs syndrome signs: 46,34% vs. 4,03% р<0,001. The patients in depressed condition and the patients with combination of anxiety and depression were more often disturbed by complaints on regular feeling of tiredness after nighttime sleep: 51,72% vs. 1,61% р˂0,001.The use of sleep medication (13,79% vs. 2,41% р˂0,001) and increased sleepiness (8,3±0,2 vs. 0,0±0,0 р<0,001) were the most common among the depressive patients without anxiety component. The obtained results confirm the correlation between sleep disturbance and non-psychotic affective disorders, while the quality of sleep may be used as the indicator of successful treatment of psychoemotional conditions. One of the main challenges faced by the clinicians when dealing with any chronic illnesses is the adherence to the treatment. Concerning psychiatric disorders it is more problematic considering the severe negative effect of treatment non adherence on prognosis . Non-adherence to psychiatric medication is a large problem and it is important to identify its predictive factors. The aim of this study is to investigate whether there are potential risk factors for medication non adherence in patients with psychiatric disorders. A retrospective, case-control study was conducted between October 2018 and March 2019 and interested patients admitted in the “F” psychiatry men Department of RAZI Hospital and discharged during this period . Adherence to medication during the 4 weeks prior to the baseline visit and each follow-up evaluation was assessed by the physician using information obtained during the interview . Patients were categorized into two groups : adherent and non adherent . Relationships to different risk factors were analyzed. Statistical analyses were carried out using IBM SPSS version 22 for windows software. Among 100 admissions 47 % were non adherent to medication during the 4 weeks of the follow up evaluation. When comparing the two groups we found a significative association between adherence to medication and the number of schooling years, the clinical global impression scale,the mean duration of hospitalization, and use of physical restraint (p<0.05). Non-adherence is associated with poorer long-term outcomes, Clinical and economic implications.It is common but can partly be predicted. This may allow strategies to improve adherence. Despite their efficacy, antipsychotic drugs appear to be associated with metabolic side effects such as impaired lipid metabolism and an increased risk for developing metabolic syndrome. Investigating the association between individual antipsychotics, exposure durations and mean changes in complete lipid profile has not yet been the focus of a meta-analysis. The aim is to conduct a meta-analysis of randomized controlled trials (RCTs) examining the association between changes in lipid profile in adults using an antipsychotic drug. This meta-analysis follows the PRISMA guidelines and a protocol has been published in PROSPERO. A systematic search was performed using the databases PubMed, EMBASE, Cochrane, and PsycINFO. Eligible RCTs were identified and no restriction was made regarding diagnosis or publication date. Statistical analysis will be conducted using a random effects model. Results are separated in four exposure categories, namely < 6 weeks, 6-16 weeks, 16-38 weeks, and ≥ 38 weeks. Outcome measures include mean change in total cholesterol, high-density lipoprotein cholesterol, low-density lipoprotein cholesterol and triglyceride levels. The search strategy identified 1144 citations. Of these, 746 abstracts were excluded as being off-topic. Atotal of 399 full-text articles were assessed for eligibility and 202 articles met inclusion criteria. Data extraction and analysis are currently underway. Results will be presented at the EPA Congress 2020. We expect the findings of this study to be of clinical relevance in the management and monitoring of antipsychotic treatment. The knowledge of whether duration of exposure is associated with different lipid changes could provide interesting results benefiting individualised choices. We present the case of a 62-year-old female patient patient diagnosed with Schizoaffective disorder in 1995 followed in our out-patient department who presented a rare hepatotoxic adverse reaction, Drug Induced Liver Injury (DILI), after switching from Haloperidol to Clozapine. Clozapine is a second-line ‘atypical’ antipsychotic reserved to cases of refractory psychosis due to its adverse effects. In relation to these, descriptions have traditionally focused on hematological alterations due to their severity and gastrointestinal alterations due to their frequency. However, hepatotoxic adverse effects have received less attention in the available literature. A case report is presented alongside a review of the relevant literature regarding the hepatotoxicity of clozapine focusing on the diagnosis and treatment of the aforementioned adverse effect. Two months after the introduction of clozapine, an isolated elevation of ALT of 965 U / L was detected in a routine analysis, suggestive pattern of a moderate hepatocellular DILI. After the discontinuation of the aforementioned drug the analytical findings went back to normal ranges, other serological and analytical tests ruled out other causes of acute liver damage. The study of the adverse effects of clozapine has traditionally overlooked hepatotoxicity. Several studies suggest that a slight sporadic elevation of transaminases at onset of treatment is frequent. According to the published cases, DILI seems like a more prevalent adverse effect than what was previously considered. Given the severity of this entity and its possible repercussions, it would be interesting to study clozapine-induced hepatic impairment in depth in order to improve patient safety. Postpartum are vulnerable period when psychiatric illness may worsen or relapse. About 50% of women with a mood disorder reported mood symptoms during or after pregnancy. Treatment of maternal psychopathology during the postpartum period poses the clinical dilemma of having to choose the psychotropic drugs that are compatible with breastfeeding. The decision to initiate pharmacological treatment often involves weaning, depriving the mother and the baby of the beneficial effects of lactation. The aim is to establish a guideline that helps psychiatrists when planning a treatment that will support breastfeeding. Special attention is given to the use of antidepressants, the psychotropic drugs most frequently prescribed in postpartum mothers. Through a case report we analyze the choice of a pharmacological treatment for depressions in nursing mothers.. Our main objective is to carry out an updated review of the antidepressant drugs for the treatment of depression in mothers who breastfeed. The majority of antidepressants are considered to be on safe during breastfeeding. The amount of antidepressant that passes into breast milk varies by drug. The recommendation of a drug versus another update you are determined by low or undetectable levels of antidepressant in breast milk along with the absence of reported cases of serious adverse effects in the infant. The first choice antidepressants would be sertraline, paroxetine and tricyclics (nortriptyline and imipramine), as there is sufficient scientific evidence of that the amount of drug that reaches breast milk is very low or undetectable and not It has no effect on the baby. Monoamine oxidase (MAO) is an enzymatic complex comprised of two isoforms: MAO-A and MAO-B. In the brain, it catalyzes the breakdown of monoamine neurotransmitters including dopamine, serotonin, and epinephrine. The inhibition of MAO has shown antidepressant effects. Mirtazapine is an antidepressant drug that antagonizes the adrenergic alpha2-autoreceptors and alpha2-heteroreceptors and blocks the serotoninergic 5-HT2 and 5-HT3 receptors. Although it is widely accepted that mirtazapine has no interactions with MAO, evidence is not conclusive on the matter. To provide a review of experimental studies reporting any effect derived from the interaction between mirtazapine monotherapy and MAO. Articles were identified independently by two reviewers through a systematic search of MEDLINE and Web of Science. Key words were ‘mirtazapine AND (\"monoamine oxidase\" OR MAO)’. Additional articles were identified through non-systematic search of SCOPUS and manual search of reference lists. As the heterogeneity of articles did not permit a formal meta-analysis, a qualitative synthesis is presented. 6 published articles were identified from an initial search of 377 studies. Mirtazapine exhibited a non-competitive inhibitory effect on MAO-A and MAO-B; however, in opposition to most antidepressants, this inhibition was not complete. Although mirtazapine’s mechanism of action is not apparently related to MAO, several studies found altered responses to mirtazapine in depressive patients who presented polymorphisms in MAO-A and MAO-B genes. Mirtazapine also affected MAO by reducing intracellular pH in neurons, but did not show anti-apoptotic properties. Current evidence suggests an interaction between mirtazapine and MAO that might reinforce its antidepressant action. Neuroleptic Malignant Syndrome (NMS) is an infrequent but high-mortality syndrome which presents idiosyncratically on any patient taking antipsychotics. We present a 54 year-old male with mixed personality disorder and chronic insomnia. He had been prescribed with 5 mg of Olanzapine on bedtime since two years ago. On the emergency room he complains of dysthermal sensation of recent onset, had a bad general status with a body temperature of 41ºC, intense muscle rigidity, and cognitive impair. No intestinal dismotility was present. Analytics were made and they result on electrolytes alterations, high Creatin Kinase (CK) and Lactate Dehydrogenase (LDH) levels, also with high C Reactive Protein (CRP). The possibility of NMS was assessed and also other causes of high temperature with high acute-phase proteins. He was admitted to the Intensive Care Unit (ICU) and he was treated with sedation and other support measures. Antipsychotics were suppressed. Infections were reasonably ruled-out. He gradually responded to these measures and the concomitant use of benzodiazepines and bromocriptine. After one month of admission, he was discharged and no drug was restarted given no present indication. NMS is not a common condition. Even though it is more frequent during the first weeks of treatment or rapid changes of doses, it can happen anytime during antipsychotic treatment as the present case report. High levels of suspicion and withdrawal of antipsychotics are crucial. Reintroducing of medication should balance always risk and benefits. Antipsychotic drugs are essential to avoid relapses and increasing the patient’s functional capacity (1-2) and an improvement in the psychosocial level (5). Lack of treatment adherence is the main cause of clinical relapse (3-4). Extended-release injectable drugs increase adherence to treatment, diminishing relapses and hospitalizations (6-8). In our clinic we treat a male. 60 years. Hypertension. Overweight. Alcoholic hepatopathy. Paranoid squizophrenia since 18 years of age, relapses from toxic drug abuse and treatment withdrawal. The patients presents himself to the ER accompanied by his family. He describes paranoid delusions towards his neighbours, self-referential. Affective and behavioural impact. Auditory hallucinations with soliloquys, which he minimizes. Increase in alcohol consumption and treatment abandonment after his brother’s death. Already-known increase in transaminases. Elevated fasting glucose, altered lipid profile. Clinical stabilization and improvement of adherence to the treatment of a patient with paranoid schizophrenia using prolonged-release antipsychotic. Hospital admission for restraint and treatment. Treatment for alcoholic abstinence (clometiazol, diazepam). Psycho-education to decrease drug consumption and avoid future treatment abandonment. Extended-release aripiprazole 400 mg was prescribed. Good response to the reintroduction of aripiprazole 15 mg. In our case, due to lack of treatment adherence and metabolic profile alterations, we opted for extended-release aripiprazole 400 mg. After discharge, patient remained stable, continuing his treatment and follow-up. We can conclude that intramuscular extended-release aripiprazole 400 mg has been a good treatment option for the patient in our case, improving the Clinical and adherence treatment. Schizophrenia is a chronic and severe mental disorder with complex clinical implications. Risperidone is a widely-used atypical antipsychotic used in its treatment. However, there are reports of rare paradoxal side-effects in susceptible individuals. To describe a case of a patient with schizophrenia who evidenced paradoxal effects when risperidone was administered. Interviews with the patient and his family during hospitalization were performed. A literature review was also conducted in PubMed/MEDLINE database. A case of a 53-year-old single man, with no children, born and living in Oporto, Portugal, diagnosed with Paranoid Schizophrenia Psychosis 30 years ago. This patient was compulsively admitted to our inpatient psychiatry hospital in June 2019, following an episode of aggression towards his sister. He had discontinued all medication in the previous month. After admission, his previous medication with risperidone 3mg/day and monthly haloperidol 150mg injection was reestablished. However, as risperidone dosage was progressively increased up until 8mg/day, the patient’s clinical status worsened, particularly his persecutory delusions and aggressive behavior. A new interview with his older brothers was scheduled, revealing that previous hospital admissions with risperidone prescription had worsened the patient’s behavior, heightening psychotic activity and isolation. Therefore, a switch to haloperidol 15mg/day was then performed, which was followed by gradual clinical improvement. The patient was discharged to psychiatry outpatient clinic after a 2-month stay, maintaining compulsory ambulatory treatment. Although risperidone is used as an antipsychotic, this article accounts for a rare case in which this medication worsened psychosis. Hyponatremia is a potential side effect of antidepressants and the risk differs across antidepressant subclasses. There is conflicting evidence whether noradrenergic antidepressants are associated with lower risk of hyponatremia than SSRIs. To compare hyponatremia risk following initiation of SNRIs versus SSRIs. Registry based cohort study including laboratory data on sodium measurements and complete information on drugs dispensed at Swedish pharmacies. New users of an SSRI (citalopram, sertraline, escitalopram, fluoxetine, paroxetine, fluvoxamine) or SNRI (venlafaxine, duloxetine) in Stockholm county 2007-2010 were included. Persons with diabetes mellitus or age <18 years were excluded. Follow up was until death, 2 years, or antidepressant discontinuation. Those lacking a follow-up sodium measurement were excluded from analysis. Hyponatremia was defined as < 136 mmol/L on the first follow-up test. A total of 37020 persons started treatment with an SSRI (n = 33822) or SNRI (n = 3198). SNRI users were younger (50 vs 54 years, p<0.001), more often male (40% vs 35%, p<0.001) and had a lower incidence of hyponatremia compared to SSRI users (5.9% vs 7.6%, p<0.001). SNRI users had a lower risk of hyponatremia in unadjusted logistic regression analysis (OR 0.77, 95% CI 0.66-0.89, p<0.001) but differences were attenuated when adjusting for age and sex (OR 0.9, 95% CI 0.78-1.1, p = 0.21). Although hyponatremia was more common in SSRI users, our results were compatible with no difference in hyponatremia risk between SSRIs and SNRIs after multivariable adjustment. We speculate that previously observed differences may be due to residual confounding. Lithium is a well-known drug and frequently a key factor in the management of acute mania, unipolar and bipolar depression and prophylaxis of bipolar disorders. However, its effect on thyroid function cannot be overlooked, with numerous reports of thyroid abnormalities’ onset during tretament with lithium. To assess the prevalence, risk factors and management of thyroid disfunction in patients undergoing lithium therapy. Non-systematic review of the literature from Pubmed database, using the key words: lithium treatment, lithium toxicity, thyroid dysfunction, goitre, hypothyroidism, hyperthyroidism, thyroid autoimmunity. Our assessment has identified female sex, middle age, autoimmune disease or the history of thyroid disease in the family as risk factors for the development of thyroid abnormalities while undergoing lithium therapy (the most common being goiter and hypothyroidism). It is recommended that thyroid function tests and assessment of thyroid size are performed among patients initiating lithium therapy, at baseline and later annually (more frequently among patients presenting risk factors). We find it important to stress that the development of thyroid dysfunction does not typically require discontinuation of lithium. Lithium should not be stopped unless its serum concentration is beyond the therapeutic range. Instead, supplementation with levothyroxine should be started (according to specific indications). Clinicians managing lithium-treated patients must keep thyroid disorders in mind, and screen them clinically and through thyroid function tests during follow-up in order to institute early and appropriate treatment. Pharmacological treatment should be a constant therapeutic measure in the patient with ADHD, provided the diagnosis is well established, based on current clinical criteria and a clear impact. To study what psychopharmacological treatments available for the treatment of ADHD are approved in Spain. Systematic review of psychotropic drugs approved for ADHD by the FDA, the EMA and the AEMS. Of all the sample obtained, it was compared which drugs approved by the FDA had approved in Spain the indication in the data sheet for use in ADHD. Psychostimulant psychotropic drugs: • Methylphenidate -Short action: Rubifen®, Medicebran® -Biphasic intermediate action: Medikinet® 50:50, Equasym® 30:70 -Prolonged action: Concerta® Oros® osmotic release, Sandoz Mph-OCR®, • Dextroamphetamine -Short action: Dexedrine® NOT available -Prolonged action: lisdexamfetamine (Elvanse®) Non-psychostimulant psychotropic drugs • Atomoxetine: Strattera® • Alpha-2-agonists: -Long acting clonidine: Kapvay® NOT available -Long acting guanfacine: Intuniv® In Spain: - Within the group of psychostimulants the short-acting dextroamphetamine is not approved. -In the group of non-psychostimulants, long-acting clonidine is not approved.I Both drugs do not have an official data sheet and there is no evidence that they are pending approval by the Spanish agency of the drug for use in the treatment of ADHD. There are a significant number of long-term but \"stable\" patients diagnosed with psychosis in which we rarely consider the risk/benefit of testing strategies that could improve their quality of life. On-going, observational study, which prospectively evaluates clinical outcomes, and satisfaction in stable patients who were under treatment with conventional depots antipsychotics or Risperidone long-acting Therapy (RLAT) and were transition to Paliperidone palmitate 3-montly (PP3M). After an oral tolerability test, all patients were switched to PP1M and subsequently switched to PP3M. Patients were followed for 6 months after the start of the quarterly regimen. Patient satisfaction was evaluated using MSQ and clinical outcomes using CGI-SCH. Data were analyzed with SPSS 18.0. Data was collected from 48 patients who have been transition from zuclopenthixol or fluphenazine decanoate (29%) or RLAT (70%) to PP3M. Average age 52,9 (s.d 10.9) years. 73% male. After 6 months with PP3M, all patients, but 1, remain clinically stable with remarkable improvement in 49% of patients in negative symptoms. Most of patients report significant improvement with treatment satisfaction, being very or extremely satisfied 68% of them and 85% say they are more satisfied with PP3M than with the previous treatment. 1 patient suffered a relapse and in another one PP3M had to be discontinue due to a dermatological adverse event. This data suggest that non-acute patients considered stable show clinically relevant improvement in negative symptoms and great improvements in treatment satisfaction when switched from previous RLAT or conventional depot APs to PP3M. Methylphenidate (MPH) and similar amphetamine derivatives (dextroamphetamine) are central stimulants, mainly prescribed for the treatment of attention deficit/hyperactivity disorder (ADHD). Despite its proven efficacy in children and adolescents, there is growing concern about long-term exposure to these stimulants. . We critically want to review literature on the long-term consequences of MPH treatment. Animal and human studies are reviewed, focusing on the long-term consequences of MPH treatment on brain morphology, brain chemistry, and physiological changes. Several studies report that in children and adolescents, the risk of cardiovascular complications is estimated to be low. However, long term follow-up studies are not existing. Several (animal) studies indicate that MPH can promote neurodegeneration, neuroinflammation, and oxidative stress. Older adults are at risk to develop cardiovascular diseases, especially in case of chronic hypertension. The older population is also increasingly diagnosed with ADHD and indicated for long-term MPH treatment. Therefore, the risk for complications can also be increased due to polypharmacy and interactions between drugs. Our advice is to be very critical prescribing central stimulants at a young age. In human reports, chronic treatment with MPH is generally believed to be safe. The long-term consequences of MPH treatment are yet unknown. Future human studies are needed to assess whether in older adults, these brain changes are reversible. Until then, be cautious in using MPH and monitor patients closely to avoid a possible start of a new pandemic of cardiovascular and neurodegenerative diseases, including (vascular) dementia, in next decades. Aripiprazole is a second generation antipsychotic, frequently use in women with psychotic or affective disorders that can appear or relapse during postpartum period. However, very little is known about the effect of aripiprazole in breastfeeding. - Perform a literature search on case reports published about the use of aripiprazole and lactation. - Report a case of hypoprolactinemia and consequently hypogalactorrhea after aripipirazole initiation in postpartum woman. A systematic search of the literature (case reports) published, was carried out in the database MEDLINE (PubMed) between 2000 and 2018. We describe a case of unexpected hypogalactorrhea in a postpartum woman due to aripiprazole. Four case reports have been published regarding maternal use of aripiprazole during breastfeeding; two of them described failure of lactation associated to aripiprazole treatment. We describe a case of a 41 years old postpartum woman, who after urgent caesarean section for preeclampsia and admission to ICU, presents anxiety, depressive symptoms, hypocondriform thoughts and checking compulsions, which interfered with bonding. She was treated with sertraline 200mg/d maintaining breastfeeding. Two months later Aripiprazole 5mg/d was added, with adequate tolerance. However, 2-3 days later the patient reported decreased milk production. Prolactin levels decreased from a previous 30,18 ng/ml to 5,02 ng/ml. Milk production normalized in less than a week after stopping aripiprazole. Both published cases and the present case suggest aripiprazole may possible cause hypoprolactinemia and therefore a milk production decrease in lactating women. This factor should be considered when starting aripiprazole in nursing mothers. Raynaud's phenomenon is a recurrent vasospastic alteration that reduces peripheral blood flow due to cold or emotional stress. During attacks, colour changes occur in distal limb areas. Serotonin reuptake inhibitors, psychostimulants and atypical antipsychotics, such as aripiprazole and risperidone, may be related to this phenomenon. It usually starts about two weeks after the start of treatment and remits after its suspension. Alert about an uncommon side effect and its treatment through the description and analysis of a clinical case. Patient woman of 60 years, history of schizoaffective disorder. She was hospitalized in the acute unit for psychotic decompensation. She presented important psychomotor agitation, dysphoria and divagatory speech with delusional content of prejudice. No hallucinations. During hospitalization, it started treatment with aripiprazole 15 mg with good response and rapid remission of symptoms. After two weeks, it maintained psychopathological stabilization in a revision consultation. However, she presented erythroderma and cyanosis in fingers of both hands in relation to cold and crushing. Analytical without significant findings. Vascular surgery and rheumatology discarded pathology. Aripiprazole is replaced by oral paliperidone. She had good treatment tolerance and maintains clinical stability after several months since the change of antipsychotic. She haven’t submitted a new Raynaud. The rapid remission of the Raynaud phenomenon after the suspension of treatment with aripiprazole and the absence of pathological findings of complementary tests performed, orients towards a probable side effect of the antipsychotic treatment. Clozapine is a second-generation antipsychotic that has been shown to have superior treatment efficacy compared to other antipsychotics for patients with treatment-resistant schizophrenia. Sialorrhea, a frequent and potentially disabling adverse effect of clozapine, can lead to nonadherence and discontinuation of the medication. The prevalence of clozapine induced sialorrhea (CIS) reported by different studies ranges from 30% to 80% and there seems to be a dose-dependent relationship between sialorrhea and clozapine dosage. The main objective is to measure the prevalence of sialorrhea and its relationship with clozapine dosage in 73 of a total of a sample of 123 patients that will be included in the final study. Secondary objectives are to explore the possible association between clozapine dose and severity of sialorrhea, as well as the prediction of severity of sialorrhea based on Clinical and sociodemographic variables collected. Sialorrhea will be evaluated by administering the following clinical scales: Nocturnal Hypersalivation Rating Scale and Salivation Frequency and Severity Scale. In addition, Impact of Quality of Life Scale will be used to measure the subjective perception of quality of life in relation to sialorrhea. We expect a prevalence of sialorrea ranging from 30% to 80%, with a positive association with clozapine dosage and also with an association between the severity of sialorrea and the impact of Quality of Life . CIS is a prevalent adverse effect suffered by patients treated with clozapine and this possibly impacts in a negative way on quality of life. The development of further strategies to ameliorate CIS are required. The Assertive Community Treatment (ACT) is a way of structuring care for people with severe mental illness. ACT focuses its field of action in the patient's closest social environment. The ACT developers are Leonard Stain and Mary Ann. The main objective of this study is to describe the long-term treatment profile in an ACT team corresponding to the Oviedo care area in Asturias. This is a retrospective cross-sectional study based on a sample of 69 patients with main diagnosis of schizophrenia who have been followed up in the ACT program. The data obtained has been analyzed through the SPSS statistical program. Our example was compounded mostly by men with a mean age of 48 years whose main diagnosis was schizophrenia. The most used long acting antipsychotic (LAIs), was paliperidone palmitate with an average dose of 150mg. The use of an additional oral treatment was associated in 58% of the patients treated with LAIs The results obtained in our study point out that most of the patients require polytherapy. The ACT decreases the number of hospital admissions. The fact that most of the patients in our sample require high doses and pharmacological polytherapy is related to the criteria of severity and drug resistance, both of them criteria of inclusion in the ACT program. Clozapine is an optimal choice for the treatment of resistant schizophrenia and severe psychotic disorders. The goal is to obtain a description of the treatment profile of patients under follow-up in an Assertive Community Treatment (ACT) in the year 2019. Data collection is done through a protocol developed for this purpose. The data obtained has been analyzed through the SPSS stadistical software. The male group is slightly higher (52.9%). The average age for both men and women is 45,1 +- 12,8. In 64,7% of cases they were diagnosed with shizophrenia. The dose mode of clozapine is 30 mg and the average dose is 355mg. The clozapine levels observed had and average value of 440 and those of norclozapine of 232,6. The association of clozapine with Long Acting Antipsychotic is a common practice in our patients. Clozapine was developed as the first atypical antipsychotic with activity for both the negative and positive symptoms of schizophrenia. After it´s temporary withdrawal it was reintroduced in Spain in 1993 in response to the need for a treatment for resistant shizophrenia. In the light of our results, it´s appreciated that despiste the complex profile of patients we treat, the dose of clozapine is within the range of values included in other studies. Psychiatric medications including antipsychotics, antidepressants, mood stabilizers, and sedative/hypnotic agents are widely prescribed across different psychiatric illnesses. Given the concerns regarding off-label use and side effects, the patterns of use and dosage of psychiatric medications were explored by major psychiatric illnesses in a national cohort. Patients aged ≥ 15 years and diagnosed with schizophrenia, bipolar disorder (BD), or depressive disorders in 2010 were identified from Taiwan’s national health insurance database, provided by the Health and Welfare Data Science Center of Ministry of Health and Welfare in Taiwan and followed up for consecutive five years. The mean defined daily dose (DDD) of antipsychotics, antidepressants, mood stabilizers, and sedative/hypnotic agents, were calculated during the follow-up period, respectively, and compared across different psychiatric illnesses. In total, 593,321 patients (schizophrenia (n=104,078), BD (n=57,962), depressive disorder (n=431,281)) were enrolled. For schizophrenia, the mean exposure of DDD of antipsychotic agents was 1.14 during the study period (atypical antipsychotic: 0.87; typical antipsychotic: 0.27) but that of sedative/hypnotic agents was 1.25. For BD, the mean DDD was 0.31 for mood stabilizers, 0.39 for antipsychotic, and 1.65 for sedative/hypnotic agents, respectively. For depressive disorders, the mean DDD of antidepressants was only 0.37 whereas that of sedative/hypnotic agents was 0.96. Compared to antipsychotics, antidepressants, and mood stabilizers, the mean exposure of sedative/hypnotic agents was exceptionally high. Considering the side effects of long-term use of sedative/hypnotic agents, future efforts to further enhance healthcare quality regarding non-pharmacological intervention, choice of medication, and optimized medication dosage are warranted. Resistant schizophrenia a is a major clinical problem for, at least, one third of the total patients of schizophrenia. The criteria to consider a patient resistant is clear: experience persistent psychotic symptoms despite adequate trials of antipsychotic treatment revision. Clozapine is the election drug for these patients. However, a small number of patients still being a non-responder of clozapine. The treatment of this patients still controversial and we analysed the combination of two drugs: long- acting paliperidone palmitate plus clozapine. Clozapine plus paliperidone is used as an effective treatment in resistant schizophrenia. A descriptive analysis was performed, in addition we recorded tolerability and secondary effects. At least 15 patients are under combined treatment of these two drugs with good tolerability. Clozapine plus paliperidone is been used as treatment in resistant schizophrenia. These two drugs could be an option in case of patients with symptoms, even if monotherapy with clozapine was performed. Most patients with depressive disorders requiring long-term antidepressant treatment, and many need lifelong treatment. The identification and management of side effects, combined with early and ongoing education messages, help to improve adherence and reduce the risk of premature withdrawal from an antidepressant. A review of the literature of long-term side effects of antidepressive agents. A search of English language articles published before 30th September 2019 was conducted on PubMed, Cochrane, and the Web of Science databases Mesh used: « Antidepressive Agents » « adverse effects », Tricyclic, « Second-Generation Antidepressive Agents » & « long term » Exclusion criteria: • Articles published in a language other than English or French • Non-synthetic studies (experimental studies, observational and analytical studies, clinical cases ...) A-Extraction of data (figure 1) B-Long-term effects of anti-depressants 1. Risk of fracture 2. Risk of induced interstitial lung disease 3. Risk of Type 2 Diabetes and Glycemic Dysregulation 4. Risk of weight gain 5. Risk of extrapyramidal symptoms 6. Risk of dryness of the mouth 7. risk of cataract development 8. Risk for Gestational Hypertension and Preeclampsia 9. Other: Common long-term side effects of antidepressants are weight gain, sexual dysfunction, sleep disturbances, fatigue, apathy, and cognitive impairment (eg dysfunction of working memory). The practitioner must take these risks into account and avoid the combination of antidepressants. It should be emphasized that these effects are not immediate, and always contact the prescribing physician if signs of call. Affective manifestations are usually the first manifestation in Huntington Disease (HD) although it can appear at any time. Approximately 40% of cases show some type of affective disorder: 30% develop major depression and 10% develop a bipolar affective disorder. These patients have a dysfunction of the limbic and frontocaudate circuits. In PET studies, hypometabolism is observed in the lower orbitofrontal and prefrontal area. The objective is to conduct a bibliographic review of the diagnosis and treatment of the affective symptoms in HD trough a clinical case. 56-year-old woman recently diagnosed with HD by Neurology. The main symptoms were dystonia, athetosis, dysarthria and bradykinesia, as well as insomnia, anxiety, depressed mood, high dependence, and attention deficit without dementia. Treatment begins with tetrabenazine 25 mg / 24 hours, with control of motor symptoms, but not psychiatric ones. Treatment with Duloxetine120 mg / 24 hours is started to control the affective symptoms, with improvement of the mood. To control irritability and anxiety symptoms is used pregabalin 150 mg / 24 hours. As a hypnotic, Lormetazepam 2mg / 24 hours is used. By reducing the symptoms reverses the dependence of others. The proposed case presents the affective spectrum of HD. Symptomatic treatment with favorable response and use of recommended strategies (atypical neuroleptic, antidepressant of any type and antiepileptic) helps to promote the patient's autonomy and self-esteem, as well as the acceptance and adaptation to this disease. Phenothiazine-induced lupus has been reported infrequently, and is rarely associated with significant symptoms. We report a rare case of phenothiazine-induced lupus in a patient with schizophrenia. A case report We report the case of a 37 year-old woman with no medical or surgical history, diagnosed with resistant schizophrenia at the age of 22 with regular follow-up in psychiatric outpatient services. She received Clozapine 400mg/day and chlorpromazine 300mg/day. She presented an erythematous and hyper pigmented rash over the cheeks and upper lips along with eczematous lesions on the hands and feet in October 2018. Chlorpromazine was stopped immediately. One month later, clear improvement of lesions was noticed with slight persistence of hyperpigmentation. In November 2018, she experienced sleep problems which needed the prescription of levomepromazine and hydroxyzine. The introduction of these drugs resulted in the reappearance of the eruption with generalization to the neckline and limbs. A cutaneous biopsy along with direct immunofluorescence were performed that showed C3 deposits in the dermoepidermal junction compatible with Lupus. Blood tests showed positive antinuclear antibodies (ANA) at 1/1280, positive anti-double stranded DNA (dsDNA) and positive anti-nucleosome antibodies. Levomepromazine and hydroxyzine were stopped with again clear improvement of lesions was noticed with slight persistence of hyperpigmentation. Patch-test was performed with both suspect drugs 6 weeks after discontinuation which revealed negative. Pharmacovigilance investigation retained the diagnosis of phenothiazine induced lupus. Phenothiazine drugs are still used in daily practice due to its historical background. Thus, rare adverse reactions, like in our case, could be challenging for clinicians. Drug-induced liver injury (DILI) is one of the leading causes of acute liver failure and has significant morbidity and mortality. In some studies, the drugs used in psychiatry and neurology are the second most important group of drugs implicated in hepatotoxicity. Our study aimed at studying neuropsychiatric drugs with established causal relationship in cases of hepatic adverse drug reaction in a Tunisian population. It was a retrospective study conducted in the pharmacology Department of the Faculty of medicine of Sfax, Tunisia during the period going from January 2007 to December 2015. We collected the cases of DILI using the French drug reaction causality assessment method. Our study found 23 cases of confirmed DILI out of 130 of total reported cases of drug adverse reactions (17.7%). The mean age was 33.52 years (SD=16.64, Range=11-81) and 56.5% of patients were female. We found different types of DILI: hepatocellular type which was the most frequent type (n=12), cholestatic type (n=6), mixed type (n=3), cirrhosis (n=1) and acute liver failure (n=1). In our study, causal agents were essentially anticonvulsants and mood stabilizers (n=16), antidepressants in 3 cases and antipsychotics in 4 cases. The implicated agents were valproic acid (n=10), valpromide (n=4), chlorpromazine (n=3), fluoxetine (n=1), clozapine (n=1), paroxetine (n=1), phenobarbital (n=1) and lamotrigine (n=1). Psychiatrists and neurologists should be aware that each clinician of all specialties may be confronted with abnormal liver tests. Liver function monitoring is necessary before and after treatment. The US Food and Drug Administration has not yet approved any medication for treating behavioral and psychological symptoms of dementia (BPSD). In the European Union and Australia risperidone is indicated for the short-term management of severe aggression in individuals with Alzheimer's dementia who have failed nonpharmacological trials [1]. The off-label use of many other antipsychotics, including quetiapine appears to have been growing. To compare the efficacy and tolerability of the atypical antipsychotics risperidone and quetiapine in the treatment of BPSD. The study included 15 inpatients presenting at least one BPSD. Five were commenced risperidone (range 0.5-1 mg/day), 10 quetiapine ( range 12.5- 75 mg/day). Cognitive impairment was evaluated with Mini Mental Status Examination (MMSE) score, severity and number of BPSD were assessed using the Neuropsychiatric Inventory (NPI-12). The evaluation was made at the baseline ( no therapy) and 4th week (with pharmacotherapy). Adverse effects were monitored based on each patient's self-report and observation on the ward. In the course of the study we have noticed a reduction on week 4 NPI, measured after four weeks of treatment with either risperidone or quetiapine. There was no significant difference between the two treatments on NPI; in the risperidone group decrease on NPI was 76%, in the quetiapine group 80%. No adverse effects were observed. Both risperidone and quetiapine showed to be almost equally effective in the treatment of BPSD. Being commenced in low doses could make those psychopharmacs to be quite safe and well tolerated. Therapeutic pharmacotherapy is premised on effective medications, appropriate dosing and adherence. Medication non-adherence is often caused by adverse effects (AE) which physicians may not query and patients frequently do not disclose. This case describes lorazepam non-adherence secondary to lorazepam-induced urinary urgency. Reporting novel AE leading to non-adherence to improve clinical care, Case analysis. 43yo male patient with Bipolar NOS, Generalized Anxiety Disorder, Social Anxiety, and ADHD was effectively treated with lamotrigine 400mg qd, aripiprazole 10mg qhs, Adderall XR 15mg qam and lorazepam 0.5mg 1-2 pills bid PRN. Prior psychotropics included lithium and buspirone, which were both discontinued secondary to AEs (sexual dysfunction). Medical problems included hyperglycemia/hyperlipidemia/overweight. Standard blood chemistries were all within normal limits excluding fasting blood sugar 100mg/dL and cholesterol 219mg/dL. This patient denied any historical urinary problems (hesitancy/urgency/incontinence/nocturia). When seen in follow-up with increased anxiety associated with newly diagnosed colorectal cancer, the patient’s use of anxiolytics were further reviewed. The patient had been responsive to lorazepam for 8 months but admitted having discontinued this secondary to new-onset urinary urgency. The patient described pre-lorazepam urinary frequency as every 4 hours. On lorazepam, he needed to urinate hourly. When off lorazepam his urination pattern returned to baseline. Anxiety and mood levels, without use of lorazepam, did not alter frequency. The patient served as an on/off/on/off example of probable lorazepam-induced AE. This case reports lorazepam-induced urinary urgency resulting in treatment non-adherence with delayed reporting to the clinician. Potential benzodiazepine-induced urinary urgency should be a clinical consideration. Autism Spectrum Disorders (ASD) are characterized by atypical sensory processing, including in olfactory domain. However, since ASD is a complex condition characterized by marked heterogeneity in severity and symptoms, variables with significant manifestation in this condition, such as trait anxiety, may have been adding confounds to results. Importantly, perceptual abnormalities found in ASD seem to extend for the general population, varying with the expression of autism traits. To explore the role of trait anxiety and autism traits on olfactory performance in the general population. Participants were 97 adults who did not present health conditions significantly impacting olfactory function. They filled Autism Spectrum Quotient and State-Trait Inventory for Cognitive and Somatic Anxiety. Also, they completed the Sniffin Sticks Extended Test, to evaluate odor threshold, discrimination and identification abilities. Three multiple hierarchical regression models were performed to explain the scores in olfactory abilities. Four predictors were included in each model - somatic and cognitive anxiety, social skills and attention to detail, after controlling for sex in the first step. The models explaining odor threshold and identification were not statistically significant. The model for odor discrimination explained 18.5% of variance, being sex (b=.226), somatic anxiety (b=.279) and attention to detail (b=.294) significant predictors. Our results add new insights about the role of somatic anxiety and attention to detail in discrimination abilities of the general population, suggesting that physiological activation may disrupt olfactory perception regarding discrimination domain specifically, while the reverse seems to occur with high attention to detail. ADHD is a neurobiological disorder; common symptoms are inattention, hyperactivity, impulsivity, deficient emotional self-regulation often associated with motor problems. Despite motor impairments, somatic and neurophysiological features frequently occur in ADHD, they are not included in the diagnostic criteria. To assess basal somatic features (joint hypermobility, motor-control, fine motor skills, general-coordination, autonomic response, biotipology) in the presence of ADHD and compare them with the reference values. To analyse short-term effects of two physiotherapy programmes on physiological/neurophysiological variables and their persistence. Randomized double-blind, clinical-trial conducted (n=48) in ADHD children divided into two intervention groups (IG). Interventions: IG1: massage; IG2: manual-cranial-therapy. Both groups received the standard multimodal treatment plus 4 sessions according to each group. Variables: vital-signs (temperature, respiratory rate, heart rate, blood pressure), joint hypermobility, somatotype, general-coordination, motor-control, fine motor skills, Heart Rate Variability (HRV) time/frequency domain parameters. Forty-eight participants (7-11 years-old, ♂45.83%; ♀54.16%, body mass index average BMI=17.879kg/m2). 66.67% had joint hypermobility, 45.833% presented ectomorph composition. Baseline sympathetic activity predominance on HRV, deficits in motor-control, fine motor skills and general-coordination were also observed. Both programmes significantly reduced vital-signs and increased parasympathetic activity in the short-term, but only IG2 reduced LF/HF short-term ratio (p=0.00012) and improved psychomotor skills within eight weeks by exerting parasympathetic effects (p=0.00005). Only IG2 programme showed significant changes on vital-signs, HRV and psychomotor skills maintained during eight weeks. Physiotherapy assessment of somatic/neurophysiological traits should be included in the diagnostic process as part of the multidisciplinary approach to manage somatic/clinical manifestations associated with ADHD. Anxiety and depressive disorders are often common in essential hypertension (EH). It can be caused by a malfunction of the medial temporal lobe (Shimoda & Kimura, 2014). To assess the relationships of the medial temporal lobe dysfunctions with the data on the features of emotion regulation (ER) in EH patients. The degree of vascular dysfunction in the brain cortical areas was assessed with the method for assessing cerebrovascular reactivity in a hyperventilation fMRI test (Vartanov et. al., 2015; 2017). Brain fMRIs have been obtained using a MR-scanner Siemens Skyra 3T. A study of emotionality and ER was performed using 16PF Questionnaire, Ways of Coping Questionnaire (WCQ), Cognitive Emotion Regulation Questionnaire (CERQ). The study involved 16 naive middle-age patients with uncomplicated EAH, stage 1-2, average age is 53.4 ± 6.3. It was found that only vascular dysfunctions in the BA 36 (the ectorhinal cortex) correlate with the results of ER tests:\nThe degree of vascular dysfunction in the right BA 36 correlates with values on the ‘C’ scale (Emotional Stability) in 16PF (r=-0.62, p<0.01), as well as with the Coping strategy “Planful problem solving” (r=0.38, p<0.005).The degree of vascular dysfunction in the left BA 36 correlates with the ‘O’ scale (Apprehension) (16PF) (r=-0.63, p<0.01) and with the ER “Positive reappraisal” in CERQ (r = 0.40, p<0.005). The degree of vascular dysfunction in the right BA 36 correlates with values on the ‘C’ scale (Emotional Stability) in 16PF (r=-0.62, p<0.01), as well as with the Coping strategy “Planful problem solving” (r=0.38, p<0.005). The degree of vascular dysfunction in the left BA 36 correlates with the ‘O’ scale (Apprehension) (16PF) (r=-0.63, p<0.01) and with the ER “Positive reappraisal” in CERQ (r = 0.40, p<0.005). Interhemispheric asymmetry of the BA 36 participation into the ER of EH patients was revealed. The research was supported by RFBR; project № 17-06-00954. The research was supported by RFBR; project № 17-06-00954. Hostility as a personality trait is considered a psychosocial risk factor for coronary heart disease (CHD) and related mortality. Identifying new psychophysiological interrelations of hostility in case of CHD is of scientific and practical interest. To reveal possible relationships between hostility as a psychological category, which was measured based on the reports of CHD patients, and the objective indices of heart functioning in sick patients, which were measured instrumentally. We interviewed 48 postmyocardial infarction patients after discharging from intensive care unit using Projective Hostility Test (Kholmogorova & Garanyan). They also underwent echocardiography and coronarography. The average index of hostility in group of CHD patients made up 48.15±12.18 points, which was higher than the standard measure (p=0.0025). These differences were explained by the patients’ higher inclination to perceive the surrounding people as those who contempt weakness and who solve their own problems purely by themselves. The correlation analysis revealed significant relations between other hostility indices and the instrumental measurements. We determined the connection of the patients’ perception of the surrounding people as dominant and jealous with the coronary arterial involvement (r=0.29), and their perception of the surrounding people as cold-hearted and indifferent with an increased left ventricular ejection fraction (r=0.35). Hostility understood as a persistent inclination to ascribe negative qualities to social objects shows high figures in CHD patients. They are correlated with physiological heart parameters and reflect, on the one hand, the coronary artery involvement and a decreased blood flow, and on the other hand, an increased myocardial contractility. Electroconvulsive therapy (ECT) is considered as a safe and highly effective procedure in patients with treatment refractory psychiatric disorders. Although there is no absolute contraindication for ECT, caution is advised in patients with an intracranial aneurysm. ECT increases vascular permeability, causes changes in intracerebral blood pressure and cerebral blood flow, and transient increases heart rate, blood pressure and oxygen consumption. In literature, there have been limited reports on the risk of ECT and intracranial aneurysms. To investigate the safety of ECT application in patients with an intracranial aneurysm. We performed a literature search, using Pubmed, EMBASE, and Cochrane library, in order to investigate the considerations and precautions of ECT application in patients with intracranial aneurysm. We describe existing case reports in literature (from 1983 to 2019), followed by a literature review on the application of ECT. In most reported cases, no ECT related complications due to intracranial aneurysm was observed. The published data suggest that ECT may be considered in patients with intracranial aneurysm, under the condition that a risk-benefit analysis is made on a case-by-case basis. This intervention should be strictly pharmacologically monitored and surgical evaluation should be advised. Dementia with Lewy bodies (DLB) is a common type of dementia and is characterized by visual hallucinations, cognitive decline, fluctuating cognition, depressive symptoms, executive dysfunction, and spontaneous motor features of parkinsonism. In cases of DLB, up to 50% of patients reported depressive symptoms. Electroconvulsive therapy (ECT) has been proven to be an effective treatment option for both (psychotic) depression and the improvement of motor function in parkinsonism. Due to limited evidence ECT is, however, often excluded as a suitable treatment for DLB. In this study, we highlight the application of ECT in patients with DLB. We describe case reports, followed by a literature review on the role of ECT as a treatment option in DLB. A literature search, using Pubmed, EMBASE, and Cochrane library only revealed a few case reports, describing the relevance of ECT in patients with DLB. All patients showed clinical improvement on both affective and neuropsychiatric symptoms. There are indications that ECT can make an important contribution for the treatment of neuropsychiatric symptoms in DLB. However, further studies are needed to disentangle the potential role of ECT in DLB. The use of ECT in patients with an intracerebral foreign body arises questions about possible singularities. According to clinical guidelines’ recommendations, there is no formal contraindication for the use of ECT in patients with comorbid NPH, not even for those with a valve in place (APA 2001, CANMAT 2016, Spanish ECT Consensus 2018). However, the existence of mechanical complications of the valve, such as an obstruction, might interfere with ECT procedure. To review the described pre-ECT assessment of the bypass valve in ECT patients with comorbid NPH in the literature. By searching the electronic data bases of PubMed, Google search, Google Scholar, Scopus, and Cochrane Library, we collect data and analyze the pre-ECT evaluation of pacients with NPH and a bypass valve. Of the twelve studies retrieved, none of them had reported neurological symptoms suggestive of valve malfunction like headache or neurological deficits. Although information about the valve examination in the current episode was provided only in the 38.5% of the cases, no bypass valve malfunction was referred among any of the twelve cases, neither before nor during ECT. The available literature on pre-ECT assessment in patients with NPH bypass valve carriers is scarce and the evaluation of the valve functionality has been described in few cases. Although no neurological symptoms of valve malfunction were present and no complications have been described in the current literature during ECT, the clinical guidelines recommend to dismiss the valve malfunction pre-ECT due to the risk of potential herniation, secondary to increased intracranial pressure. The anticonvulsant properties of certain anesthetic agents have a negative impact on seizure parameters within ECT performance. Etomidate seems to provide longer and better seizures in ECT settings (Singh et al 2015, Wojdacz et al 2017, Stripp et al., 2018). To study the effect of changing from thiopental to etomidate during a single ECT course by comparing seizure duration and device Postictal Suppression Index (PSI) in two consecutive sessions within the index episode of each patient. Retrospective data collection from the ECT Unit in our service since the introduction of etomidate in anesthetic practice in 2017. We found five patients who experienced a change from thiopental to etomidate due to the impairment of the seizure quality despite raising the stimulus intensity without significant results. Sessions before and after anesthetic change were analyzed for ECT parameters, comparing differences in duration and PSI between sessions of each patient by Student's T test for paired data. All five patients analyzed underwent a substitution of thiopental for etomidate without any other changes in the stimulus application at the same time. This etomidate change implied longer seizures in all patients. There was a mean increase of 9.67(5,03) seconds in motor duration (p=0.037) and 17,33(17,62) seconds on average in the EEG seizure duration (p=0.060). However, PSI improved only in 2 of the 5 cases. Etomidate seems promising as an anesthetic in the ECT environment, given its minimal interference on the convulsive threshold and its effect on the seizure duration. Transcranial magnetic stimulation (TMS) is used for treating resistant depression. Magnetic resonance imaging (MRI) is one of the tools, that could prove valuable for individualisation of TMS protocols. A 52-year old patient had depressive episodes since the age of 26. He experienced multiple and long-lasting relapses, regardless of different antidepressant medication and other interventions during multiple hospitalisations. He was enrolled in a TMS treatment research study. MRI was performed pre-treatment, where an enlarged CSF cistern next to the cerebellum was found – most probably a benign developmental anomaly. We performed a standard 10 Hz DLPFC stimulation protocol, after which objective evaluation with depression scales didn’t show any kind of improvement. Study by Drysdale et al (2016) pointed towards the existence of different neurophysiological subtypes of depression (e.g. anhedonia), which also respond differently to TMS treatment. Brady et al (2019) described the efficacy of cerebellar TMS treatment in patients with schizophrenia, that have disrupted cerebellar-prefrontal network, which can present with anhedonia. We hypothesised that similar approach could be useful for anhedonia in depression. Our intervention used a TMS, where the coil was positioned over the midline of cerebellum. As this was an intervention, we didn’t use formal clinical scales for an evaluation, but clinical observation and patient’s subjective experience showed noticeable, although short lived improvement in mood. Individualisation of TMS treatment can make a huge difference for its efficacy. Determination of functional dysconnectivity patterns in brain disorders like depression can lead to selection of more appropriate treatments for individual patients. Psychotic depression (PD) was associated with higher and quicker response to ECT, it is an outstanding predictor of response, and it has been proposed to be a distinct nosological entity. Comparison of patients with psychotic (n=26) and nonpsychotic (n=40) depression. Retrospective study including 66 depressive patients treated with bilateral ECT. Patients were rated pre-ECT and after their last session using the Clinical Global Impressions Scale (CGI), the CORE system, the Mini-Mental (MEC-35), and the Global Assessment of Function (GAF). Changes in severity were assessed weekly with the Hamilton Depression Rating Scale (HDRS-21). Pre-ECT HDRS scores were higher in PD (34.35±5.04 vs 26.58±4.489; p<0.001) although weekly percentage decrease, post-ECT HDRS scores, and the number of sessions (11.54±3.65 vs 11.45±2.9) were similar. Response rates were higher in PD (92.3% vs 85%), even though the difference was not statistically significant. PD patients were older (67.81±12.25 vs 58.96±12.825; p=0.007), had higher CGI and CORE, and had lower MEC-35 and GAF pre-ECT. They spent more days in the hospital, had lower Thase and Rush staging, needed less anesthetic dose, and required higher stimulus intensity at first ECT session (all p<0.005). However no differences were found in age of illness onset, number of previous episodes, previous ECT, current episode duration, response and remission rates, or the stimulus dose at last ECT session. ECT was highly effective. PD showed older age, greater severity, psychomotor and cognitive disturbances, poorer functionality, and less pharmacological resistance pre-ECT. PD required less anesthetic dose and higher initial stimulus intensity. In ETC, the seizure induction moment is crucial in seizure quality. Depth anesthesia monitoring allows a better drug adjustment and precise identification of the optimum moment to cause seizure. To analyze the relation between depth anesthesia, monitored by BIS, and clinical seizure duration to improve ETC technique by identify optimal seizure induction moment. Data were analyzed retrospectively. 648 ETC sessions were analyzed, also the relation between depth anesthesia and clinical seizure duration. A partial correlation analysis was made (controlling for age, sex, stimulus charge –mcombs-, propofol dose, succinilcolina dose and lidocaine dose) Positive correlation statistically significant was found between depth anesthesia and seizure duration (R: 0,331: p<0.005) BIS number in seizure induction moment is a useful measure to reach better seizure quality. BIS number is a good predictor of ETC efficiency in clinical practice because it allows identification of optimal seizure induction moment. The prediction of seizure thresholds in electroconvulsive therapy (ECT) remains problematic. There are two common ways to calculate stimulus charge at first ETC session. One is based in progressive titration of anesthesia and the other one from patient’s age. Both methods assume certain percentage of ineffective inductions. Drugs used in anaesthetic induction can modify seizure threshold. Monitor depth of anesthesia by BIS can be useful to reduce the number of ineffective induction. Compare seizure duration, stimulus charge and propofol dose in sessions where BIS was used and with sessions where it wasn’t to analyzed if BIS use optimizes ETC method by getting more theoretical effectiveness. Data were analyzed retrospectively in ETC sessions in Hospital Navarra for the last 4 years. Seizure duration, stimulus charge and propofol dose were compared with sessions where BIS was used and with sessions where it wasn’t. A total of 2636 ETC sessions of 113 patients were analyzed. Statistically significant differences were obtained for clinical seizure duration (BIS group 19,47 VS NOBIS group 15,72), stimulus charge used (379 VS 306 mcombs) and propofol dose needed for anaesthetic induction (1,27 VS 1,46 mg/kg). Number of ineffective seizure inductions was 11.4% in NOBIS group VS 5.2% in BIS group. BIS is a useful tool that optimizes ETC method to get more theoretical effectiveness. Using BIS, dose adjustment of anesthesics drugs improves and lower stimulus charges are needed, decreasing cognitive side effects. Around 25-30% of subjects with auditory verbal hallucinations(AVH) in schizophrenia are resistant to antipsychotic treatment. Continuous theta-burst stimulation(cTBS) is a protocol of rTMS(repetitive Transcranial Magnetic Stimulation) which is a continuous un-interrupted stimulus train that induces long-term depression-like effects. A stimulation protocol with cTBS for AVH has shown varying results in different trails. We tested cTBS as a treatment strategy for refractory AVH in a Single-blind, sham-controlled trial. This study aimed to evaluate the efficacy of cTBS on bilateral TPJ for the treatment-resistant AVH. Out of seventy patients who were screened, sixteen patients met eligibility criteria and were randomly allocated to cTBS or sham group. They received cTBS or sham treatments over bilateral TPJ twice daily for 12 days. The severity of AVH was assessed independently by blind raters with Auditory Hallucinations Rating Scale(AHRS) at baseline, after completion of treatment and two weeks later. One patient dropped out of the study before completion. In the remaining fifteen, AVH improved in both the groups as measured with AHRS after treatment. However, there was no significant difference between the cTBS and sham group. There were no adverse effects. cTBS intervention showed no specific benefit in treating resistant auditory hallucinations. The effects were general rather than specific to cTBS. Future research should evaluate cTBS as an add-on treatment in schizophrenia without keeping the selection criteria of treatment-resistance as rigid, thereby evaluating the speedier response and thereby increasing the overall efficacy of the combined treatment approach to AVH. Dementia is an ever-increasing public health care issue worldwide. The increase in life expectancy and the aging of the population lead to an increment of incidence and prevalence of age-related impairments in cognitive functioning. These impairments are of utmost importance, because to date the disease-modifying methods of their treatment are limited. To determine the effectiveness of repetitive Transcranial Magnetic Stimulation (rTMS) in slowing down cognitive impairment associated with Mild Cognitive Impairment (MCI). We enrolled patients with a diagnosis of Mild Cognitive Impairment (MoCA ≤26> 19) and subjected them to a course of rTMS stimulation. Stimulation consisted of 10 sessions on the DLPFC: 2000 pulses at 10 Hz, 5-s train duration, and 25-seconds intervals at 110% of motor threshold. We administered neuroimaging (fMRI), neuropsychological (MoCA, DemTect, FAS and CANTAB) and mood (AES) assessment before and after the treatment course. All possible side effects will be recorded. The research protocol received approval from the Bioethical Committee of the Wroclaw Medical University (KB-400/2018). from present study will expand the knowledge of the effectiveness of rTMS stimulation in delaying MCI symptoms. Detailed assessment of cognitive functioning will be correlated with imaging findings. Preliminary studies have reported that rTMS can enhance performances on several cognitive functions impaired in MCI. However, further randomized and well-controlled studies in larger population are needed to confirm the initial findings. Electroconvulsive therapy (ECT) is a highly effective anti-depressant treatment. However, a relevant number of patients experience recurrence of depressive episodes within 6 months. Earlier research in our group has suggested that ECT treatment effects can be effectively sustained by group CBT (Brakemeier et a. 2014). However, the previous implementation did not suit the complex needs of patients in a natural clinical setting. Thus, the present study aims to investigate the feasibility and effectiveness of a half-open continuous group CBT as continuation treatment for all patients regardless of remission status after ECT. A manualized group CBT with sessions of 100 min duration is led by two experienced psychotherapists. The CBT-based manual employs the situational analysis technique described in the Cognitive Behavioral Analysis System of Psychotherapy by McCullough. Patients participate for 15 sessions, which are framed by 2 individual sessions before joining the group and one individual session at treatment end. This prospective study will recruit a total of 30 patients who concluded treatment with right-unilateral ultra-brief ECT for depression. Patients self-allocate to the group that is offered in addition to treatment as usual (e.g. pharmacological treatment, continuation ECT). ECT completers who live too far away or choose not to partake in the group and receive treatment as usual are recruited as a control group. Outcome measures are the change in Montgomery–Åsberg Depression Rating Scale scores, quality of life assessed with the short-version of the WHO quality of life questionnaire (WHOQOL-Bref) and emotion regulation, assessed with cognitive emotion regulation questionnaire (CERQ). Suicide prevention is a public health priority for the World Health Organization, contained in the Spanish National Mental Health Strategy. Since March-2016 High Resolution Program for Suicide Behavior Management and Suicide Prevention (CARS) was implemented in Valdecilla University Hospital (HUMV) in Cantabria (Spain). In many studies, hopelessness has been determined as a psychological suicide risk factor. To show data of improvement on hopelessness through a specific and standardized psychotherapeutic group intervention for the approach and prevention of suicidal behavior. 23 patients (mean age 44 years, 60.9% women, 9% suicidal ideation and 91% suicide attempt) treated in CARS were included in a Specific group intervention (6-10 patients, 10 sessions, 90 minutes, weekly frequency). Hopelessness has been measured at baseline and after finishing the group intervention with Beck Hopelessness Scale (BHS): total and independent factors scores (affective, motivational and cognitive). BHS total score is also used as a predictor of suicide risk. A decrease in BHS scores has been observed, both in total scores (11,86 to 9,07) and independent scores: affective (2.14 to 1.86), motivational (4,14 to 2.86) and cognitive (4,57 to 3,50), proving to be statistically significant in the cognitive factor (p=0.010). We have also found a decrease in rates of suicide risk in patients (39% of those with high risk at baseline vs 13% after group intervention). Specific and standardized psychotherapeutic group intervention for the approach and prevention of suicidal behavior included on CARS program has been effective both in achieving reduction on hopelessness and suicide risk. There is a paucity of studies which address the relationship between mindfulness and cognitive flexibility. This is the first study to compare two mindfulness-based interventions on this cognitive function. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on cognitive flexibility. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate (age range: 21-63 years). Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variable was the score on the TMT-B (seconds). A transformation according to the natural logarithmic function was conducted due to normality violation regarding the post-intervention measure. Homoscedasticity assumption was met. No statistically significant differences between interventions were observed on the pre-treatment score (t(36) = -0.28, p = 0.78). A statistically significant interaction effect was observed [F(1, 33) = 8.00, p = 0.01, partial eta-squared = 0.20, statistical power observed = 78.4%], showing significant improvement after ACT but not after MER. The Mann-Whitney test, on the difference pre-post scores, confirmed such improvement after ACT (p = 0.02). These results show a differential change pattern between both mindfulness-based interventions regarding cognitive flexibility. A larger sample size is required to confirm these results. Results about the effects of training in mindfulness on the executive function of inhibition are mixed. This is the first study to compare two mindfulness-based interventions on inhibitory control and visual processing speed. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on inhibitory control and visual processing speed. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate. Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variables were the three scores on the Stroop test: Word, Color and Interference. Normality and homoscedasticity assumptions were met, except for normality in Word. No statistically significant interaction effect was observed. Two main effects pre-post change were statistically significant for Color [F(1, 33) = 6.22, p = 0.02, partial eta-squared = 0.16, statistical power observed = 67.8%] and Interference [F(1, 33) = 5.54, p = 0.00, partial eta-squared = 0.14, statistical power observed = 62.7%]. The Wilcoxon signed ranks test showed statistically significant change in Word (p = 0.02, partial eta-squared = 0.16, statistical power observed = 66.8%). These results show both mindfulness-based interventions improved similarly, with large effect sizes, visual processing speed and inhibitory control. There are controversial findings about the relationship between mindfulness and the attentional function. This is the first study to compare two mindfulness-based interventions on two domains of attention. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on auditive and visual attention. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate. Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variables were the scores on TMT-A, Digit span forward and Longest digit span forward (WAIS-IV). Normality and homoscedasticity assumptions were met in TMT-A, except for normality in the remaining two outcomes. No statistically significant interaction effect was observed. A main effect pre-post change was statistically significant for TMT-A [F(1, 33) = 24.64, p = 0.00, partial eta-squared = 0.43, statistical power observed = 99.8%]. Wilcoxon signed ranks tests showed no statistically significant change in Digit span forward (p = 0.60) or in Longest digit span forward (p = 0.07). These results show both mindfulness-based interventions improved similarly visual attention and speed of visuomotor tracking, but not auditive attention. The ceiling effect of the Digit test may explain the lack of sensitivity to change. Meta-analysis show significant improvement regarding working memory capacity after training in mindfulness, but further research is needed to clarify these results. This is the first study to compare two mindfulness-based interventions on this cognitive function in patients with anxiety disorders. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on auditive working memory. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate. Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variables were the scores on the Digit span backward and the Digit span sequence (WAIS-IV). Normality violation was observed in both measures. Homoscedasticity assumption was met. No statistically significant main or interaction effect was observed (partial eta-squared between 0.00 and 0.07; statistical power observed between 5.10% and 32.6%). The Wilcoxon signed ranks tests confirmed this non-statistically significant change on Digit span backward (p = 0.91) or Digit span sequence (p = 0.17) after treatments. Auditive working memory was not improved after any of the two mindfulness-based interventions. The ceiling effect of both measures may contribute to the lack of sensitivity to change. A larger sample size is required to confirm these results. The third wave of behavioral and cognitive therapies have been successfully applied to patients with anxiety disorders. However, there are very few studies comparing the effectiveness between different mindfulness-based interventions. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on anxiety sensitivity. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate. Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variables were four scores of the Anxiety Sensitivity Index-3 (total score, physical, cognitive and social subscales). Normality and homoscedasticity assumptions were verified, except for normality and homoscedasticity in cognitive and social subscales. No statistically significant interaction effect was observed. Main effects pre-post change were statistically significant for the total score (partial eta-squared = 0.27, statistical power = 89.7%) and physical subscale (partial eta-squared = 0.15, statistical power = 60%), showing reduction in such measures after both treatments. Wilcoxon signed ranks tests showed also a statistically significant decrease for cognitive (p = 0.00) and social subscales (p = 0.02) after both treatments. These preliminary results show that all the domains of anxiety sensitivity (physical, cognitive and social) decreased significantly after both interventions. Many years of experience in the elimination of consequences of emergencies showed that during the acute period, the main goal is to achieve relatively normal mental, physical and social functioning. In this regard, in the emergency, it is necessary to organise effective medical and psychotherapeutic assistance to victims as soon as possible. To demonstrate the most effective psychotherapeutic interactions with victims during the early stage of consequences elimination. To determine the most effective psychotherapeutic techniques the experience of psychotherapeutic assistance provided to victims and relatives of, fire in the «Winter Cherry» shopping center (25.03.2018 Kemerovo), Kerch Polytechnic College mass shooting (17.10.2018) and Aeroflot plane crush SJ-100 in Sheremetyevo Airport (05.05.2019) were used. Psychotherapeutic interventions for emergencies include different types of approaches. Cognitive-behavioral therapy includes psychoeducation, overcoming denial of the traumatic event. Emotional regulation techniques help victims to learn the essentials skills of self-control (simple control breathing, mindfulness, progressive muscle relaxation). Eye movement desensitisation and reprocessing is another psychotherapeutic technique that is effectively working with the traumatic event. We use the emotional ventilation technique to help a victim to release traumatic experience in various most suitable for him ways. Empathic listening helps to establish a therapeutic relationship with the patient, to start and maintaining the exact therapy that will be provided later. During the acute period of emergency it is important to provide psychotherapeutic assistance. All of these techniques should be short-term limited, minimise the risk of dependency and chronicity. The third wave of behavioral and cognitive therapies use different techniques to promote lasting changes regarding mindfulness as a trait. However, there are very few studies comparing various mindfulness-based interventions. This is the first study to compare two mindfulness-based interventions on this trait in patients with mixed anxiety disorders. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on mindfulness trait. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate (Mean age = 42.38; S.D. = 11.71; 21-63 years). Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variable was the total score on the Five Facet Mindfulness Questionnaire. Normality and homoscedasticity assumptions were verified. No statistically significant interaction effect was observed. A main effect pre-post change was statistically significant [F(1, 30) = 22.84, p = 0.00, partial eta-squared = 0.43, statistical power observed = 99.6%]. Both interventions increased similarly, with a large effect size, mindfulness trait after treatment. These preliminary results show that mindfulness dispositional improves similarly and greatly after both interventions. Therefore, these findings indicate that mindfulness can be cultivated with different techniques beyond the meditation practice. The third wave of behavioral and cognitive therapies promote a new relationship with negative internal events, based on acceptance, as opposed to their control. This is the first study to compare two mindfulness-based interventions on this psychological construct. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on experiential avoidance. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate. Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variable was the score on the Acceptance and Action Questionnaire-II. Normality and homoscedasticity assumptions were met. No statistically significant differences between interventions were observed on the pre-treatment score (t(37) = 0.98, p = 0.34). A statistically significant interaction effect was observed [F(1, 30) = 6.92, p = 0.01, partial eta-squared = 18.7, statistical power observed = 72.1%]. MER reduced experiential avoidance after treatment (p = 0.00), with a large effect size, but not ACT (p = 0.30). These preliminary results show a Mindfulness-based Emotional Regulation intervention reduced the perceived experiential avoidance but not Acceptance and Commitment Therapy, although both promote the acceptance as a core process. A larger sample size is required to confirm these results. Gender is not determined unequivocally by biological sex; it is assumed as such. For the neurotic subjects which go through the oedipal complex gender is assumed as a form of lack – male or female form. For this to happen, what is required is what Lacan calls the phallic function as a result of paternal metaphor, that is Oedipus. Gender assumed through this symbolic process, whether being male or female, can be more dialectic: a feminine aspect can be accepted as part of it. For this very reason it is also more stable. For psychotic subjects on the other hand, both paternal metaphor and phallic function are foreclosed [1]. As a result, lack cannot be assumed as such, and gender cannot be assumed as a form of lack. The psychotic subject therefore has to assume their gender as a more or less imaginary identification. Gender thus assumed on the level of the image is both one-dimensional, precluding dialectization, and unstable, as is everything imaginary. When a psychotic episode happens, this assumption of gender can prove fragile, and its collapse can provide the content for psychotic symptoms, such as delusions and hallucinations regarding male of female gender identity. This content can sometimes regard societal prescriptions of gender, to the extent that the latter can be part of the imaginary identifications of gender [2]. Bibliography 1. Lacan J., Seminar III: Psychoses, Norton, 1993. 2. Mitropoulos et al. (2015). Psychosis and societal prescriptions of gender; a study of 174 inpatients. Psychosis, 7(4), 324-335. Interventive psychodiagnosis is a modality of assessment in which the active participation of children and families is considered. Orientation is given following the input provided by children and their parents. Play observation is an important tool because it provides meaningful information on probable psychological diagnosis. A systematic way of registering the modalities of play among children can be a useful tool. 38 children have attended Interventive Psychodiagnostic sessions at a university clinical practice in Brazil, aged 4-12. A playfulbox was offered to the children for them to choose any toy and play. The psychologist ought to observe the choice of toys and plays, motricity, creativity, symbolic abilities, frustration tolerance, adequation with reality. 59 forms were fulfilled after each session. Regarding the modality of play, 28,8% of them showed rigidity and 13.6% stereotipy. Only 19,3 % showed plasticity. Regarding creativity in play, 35.6% of the children did not link disconnected and different elements in a new and different one by their own initiative; 20.3% of them linked those elements in rare occasions and 10.2% of them linked elements by suggestion of other kids. 33.9% of them linked disconnected and different elements in a new and different one by their own initiative. These data were related to parents’ complaints such as agressiveness, resistance to adhere to rules, learning difficulties and anxiety and helped to develop the adequate conduct and to give parents a partial feedback. This modality of assessment can be instructional for parents and also may reduce financial and time costs. In the psychotherapeutic process, a wide range of patient problems is analyzed, the subjective meaning of which changes significantly as their unconscious aspects are revealed. It can be assumed that psychotherapy, changing the patient’s attitude to psychotropic drugs that he takes in parallel, can transform their individual effects. The data on this topic in the literature are extremely scarce. To study the dynamics of the effectiveness of the use of psychotropic drugs in combination with group psychoanalytic psychotherapy in patients with neurotic disorders in order to optimize their comprehensive treatment. We observed 40 patients (34 women and 6 men aged 24 to 56 years) with anxiety-neurotic and somatoform disorders (F40, F41, F45.0 - F45) who underwent group psychoanalytic therapy (at least 1 year, 1 session per week) in combination with psychopharmacotherapy. The latter included antidepressants, small doses of atypical antipsychotics, and tranquilizers. In about 2/3 of the observations (n = 28), subjective mediation of the effects of psychotropic drugs revealed a vivid imprint of the parent-type object relationships. This imprint is superimposed on the actual pharmacological action of these drugs, significantly transforms it, and in some cases it overlaps. In the remaining 12 cases, the subjective perception of psychotropic drugs taken by patients does not bear the imprint of object relations; their clinical effects corresponded to their chemistry. The establishment of the object component of the action of psychotropic drugs that accompany psychoanalytic psychotherapy provides important information about the patient; working with him provides significant therapeutic opportunities. The publication was prepared with the support of the Peoples' Friendship University Program 5-100. According to the results of some studies, somatoform disorder (SFD), which develops in patients with schizotypal personality disorder (SPD), exhibits the greatest therapeutic resistance (including the use of psychotherapy). Other publications report that typological parameters of personality pathology in patients with SFD do not correlate with the effectiveness of their treatment. To resolve the above contradiction, a separate study was undertaken. A randomized controlled trial examined the effectiveness of short-term psychodynamic psychotherapy for patients with SFD. Clinical material included 80 patients with an ICD-10 diagnosis of F45: 42 men, 38 women, mean age 32.4 ± 7.6 years. Patients of the main group (n = 40) received a 3-month course of psychotherapy with a frequency of 2 sessions per week; in the control group (n = 40), patients were offered psycho-educational sessions with the same duration and frequency as in the main group. The proportions of the number of patients with SPD relative to the total number of observations in the comparison groups were comparable (9.8 / 10.6%; p ≤ 0.05). The effectiveness of psychotherapy is confirmed by significantly better treatment results in the main group according to the criteria for reducing psychopathological symptoms and improving the quality of life. According to the results of the intragroup comparison, there were no differences in the results of therapy between patients with SPD and other types of personality disorders. Short-term psychodynamic psychotherapy can be successfully used in the treatment of SFD in patients with SPD. The publication was prepared with the support of the Peoples' Friendship University Program 5-100. Group therapy is a beneficial and cost-effective treatment format. An equally encouraging finding was the increased demand for group treatment in clinical practice. In Ukraine there were no evidence-based researches based at studying the effectiveness of different types of group psychotherapy in the psychiatric wards. We suggest that by conveying different types of low-intense psychotherapeutic groups to all patients within psychiatric ward can lead to better treatment outcomes. SF-36, Crowne-Marlowe Social Desirability Scale will be used for this research. Additionally, we plan to create three types of questionnaires: upon admission to the department, during all the groups, and after treatment, to define how different types of patients will react on this approach. We are interested in such an information about patients: age, family status, education, profession, admission date to the psychiatric ward, ICD code, the duration of the condition, psychotherapy experience (type, duration, approach), how effective was the past psychotherapy, attitude to group psychotherapy, expectations. Our psychoneurological department provides a special psychotherapeutic approach. There are nine types of groups (psychoeducational, cognitive, psychodynamic and so on) and patients are advised to visit all the group types, so there is no differentiation of patients according to the group type or pathology. We anticipate that a combination of different types of group psychotherapy is more effective than the use of mono group therapy approach. We plan to evaluate the effectiveness of our group psychotherapy model, define the most effective group types for each patients` category, improve the current system of group psychotherapy. Group therapy has unique qualities, as it makes use of therapeutic aspects, such as group cohesion, which favour change and are not possible in other psychotherapy formats, as well as being more efficient in terms of care and finances. To know the available applications of Acceptance and Commitment Therapy for group treatment. A review of group intervention protocols was carried out with Acceptance and Commitment Therapy for the treatment of different disorders. Group intervention protocols with Acceptance and Commitment Therapy are limited. On the one hand, there are some general manuals on the group application of Acceptance and Commitment Therapy. On the other hand, manual interventions have been found for some of the most frequent disorders in the clinic, such as anxiety-depressive disorders, social anxiety, somatization/hypochondria or psychosis. These interventions have about 10 weekly treatment sessions, except for interventions in psychosis, which have a short protocol with 4 sessions for younger patients with a first psychotic episode, and another protocol with 18 sessions for patients with longer evolution time. In all cases they work with acceptance, values and commitment to action, and include homework. Finally, all manuals insist on flexible application, always adjusted to the needs of the group. The protocolized applications of Acceptance and Commitment Therapy for group treatment are still limited. Further research on group interventions with Acceptance and Commitment Therapy for different disorders is needed to encourage the creation of new manualized intervention protocols at the group level. Prevention of unlawful behavior of patients with management of factors affecting its formation seems promising. the formation of a scientifically based approach to reducing public danger on the basis of a comprehensive impact on factors contributing to and preventing the commission of offenses by persons with mental disorders. A comparative examination of two groups of patients with severe mental pathology was carried out: 307 people who committed an offense and 200 with lawful behavior. The Kullback statistical method was used. It has been established that highly informative risk factors for public danger are: lack of compliance to therapy, antisocial personality structure, addiction or abuse of psychoactive substances, asociality, family maladaptation, as well as pronounced disturbances in the emotional sphere and behavior. Comprehensive approach to reducing risk has been developed, including a combination of psychotherapeutic techniques in the framework of cognitive-behavioral, gestalt therapy, psycho-education and art therapy, adapted for working with people with severe mental disorders. The modules of classes are highlighted: psycho-education; development of emotional competence; increase the level of self-regulation and control of behavior; on the prevention and overcoming of addiction diseases; increase the level of social adaptation. Based on the results of a survey of 507 patients, an approach to the prevention of socially dangerous behavior based on comprehensive psychotherapeutic correction and rehabilitation with the effect on highly informative factors contributing to and preventing the commission of offenses was formed. The study of the effectiveness of the developed psychocorrectional approach is a topic for further promising research. Description of the clinical case. 15-year-old teenager who goes to the emergency room due to severe headache and blurred vision of sudden appearance. He says that for 2 days he has had severe nasal congestion due to possible allergy to pollens and has used a decongestant (pseudoephedrine and fluticasone) from his father, up to 10 beats per day (out of medical indication) to calm nasal congestion. Followed in Mental Health by ADHD in treatment with oral atomoxetine (40 mg / day) for 7 months. Somatic APs: Allergic rhinitis that he has worsened in recent weeks. Physical Exploration: 190/120 mmHg, 135 bpm, 25 rpm. Regular general condition, impresses of great affectation, intense headache, blurred vision, occipital pain that radiates to holocraneal headache. No meningeal signs. Centered and symmetric pairs. No gait abnormalities or cerebellar signs, pharyngeal hyperemia, with clear mucus and mild nasal congestion, nasal voice. Rest of exploration without alterations. Exploration Psychopathology: Cy O in three spheres, highlights intense state of anxiety and distal fine tremor in limbs. No major affective nor psychotic clinic. Electrocardiogram and complete analytics: no alterations. Pharmacological hypertensive crisis. ADHD After a global evaluation continuous monitoring of constants, administration of captopril 25 mg, lorazepam 1 mg The co-administration of atomoxetine and some nasal decongestants that contain pseudoephedrine can lead to a weighting of adrenergic effects, which can lead to toxic effects such as hypertensive crisis in the case that occurs. It will be necessary to provide the patients with complete information on precautions and drug interactions. Hyperprolactinemia is a frequent complication of antipsychotics, with figures of up to 45% of men and 48-93% of premenopausal women diagnosed with schizophrenia taking conventional antipsychotics. In adolescents, adverse effects are an important concern and are rarely consulted, assuming a cause for abandonment of treatment. 1. Determine hyperprolactinemia in adolescents treated with antipsychotics for more than 6 months. 2. Evaluate the side effects related to hyperprolactinemia. Teenagers, 16-19 years old, are included in consultation with monotherapy antipsychotics for> 6 months. Prospective data collection, as the main variable prolactin levels determined in routine control analytics in primary, as well as main diagnosis, active principle, treatment time. To assess the side effects related to hyperprolactinemia, the PRAEQ self-applied questionnaire was used. SPSS 16.0. Fourteen adolescents with hyperprolactinemia participated, (57% male; 42% female), with diagnoses: unspecified psychosis 55%, schizophrenia 37%, schizophreniform disorder 7%. Higher levels were observed in women than men. The most frequent adverse effects were decreased libido in both groups (79%), changes in menstruation in women (54%) and erectile dysfunction in men (61%). The group of women had greater intensity in symptoms than the group of men, however men showed greater concern. The greater severe intensity of the hyperprolactinemia adverse effects was associated with olanzapine, moderate intensity associated with paliperidone, being mild in the case of aripiprazole. In our clinical practice we should suspect situations of infradiagnostic hyperprolactinemia, related mainly to the type and dose of drug used. Future studies will be necessary to optimize the approach to hyperprolactinemia and its adverse effects. Anticancer treatments in breast cancer patients do not always touch the psychological sphere and may be accompanied by the decline in their psychosocial adjustment indices The goal of the research was psychological evaluation of psychosocial adaptation indices in breast cancer patients. The study was based on psychological testing of 39 breast cancer female patients during their treatment. We used such psychological instruments as Maklakov & Chermyanin’s adaptivity multi-level personality questionnaire, Heim’s coping mode inventory, and Morosanova’s style of behavior self-regulation questionnaire. The research proved that half of the breast cancer patients have a decline in mental tolerance (48.7%) and in personality adaptation potential (51.3%). Every fourth patient (25.6%) lacks communication abilities. Every third one is noted by turning to ineffective coping models in the cognitive (35.9%), and behavioral (33.3%) spheres, every fourth (25.6%) – in the emotional sphere. The specificity of self-regulation is characterized by insufficiently developed levels of modelling, programming, independence, and results evaluation, which does not always reflect an adequate evaluation of internal conditions for goal achieving, sequence of actions, and evaluation of results. The general level of deliberate self-regulation of the patients’ behavior is average and it corresponds to insufficiently flexible models which depend on other people’s opinions. We relate the impairment of psychosocial adaptation in breast cancer patients with a general decline in their personality adaptation potential, appeal to ineffective stress-coping strategies, and insufficient level of all the links of deliberate behavior self-regulation. Psychotherapy should be directed at developing mechanisms of deliberate self-regulation of their behavior. Trichotillomania is classified as an impulse control disorder in the Diagnostic and Statistical Manual of Mental Disorders. Is characterized by the recurrent pulling out of one’s hair, causing a noticeable hair loss. Usually, the social life of the patient is negatively affected by his disorder. Research supports cognitive behavior therapy as an effective treatment for trichotillomania that offers relatively quick response by acquiring the habit reversal training. To report case about hidden trichotillomania that responded well to a behavioral therapy program based on habit reversal and emotion regulation. The patient was 33 years-old lady wearing a scarf that covered her hair and neck known as Hijab; her problem had started at the age of twenty tow. Initial assessments included a detailed behavioral interview, daily chart of activities, record of hair-pulling behavior with a description of the patient’s emotional and situational status during the action. The patient is followed for 4 months and still benefiting from the sessions. During the therapy, we noticed that the social life of the patient wasn’t affected by her disorder and the Qatari culture contributed to keeping her disorder as a secret. The number of pulled hair is reduced to 70% till now, her anxiety and sadness are reduced markedly. This case shows that trichotillomania does not necessarily have an impact on the patient’s social life, but this applies to certain cultures. Therefore, cognitive and behavioral therapy seems to be effective in this case. Promising results are being observed regarding working memory capacity after training in mindfulness. However, there are no randomized controlled trials measuring its change after mindfulness-based interventions in patients with anxiety disorders. To assess changes on auditive working memory after two mindfulness-based group interventions in patients with anxiety disorders. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). 39 adult patients (age range: 21-63) started this study and 17 completed the follow-up measures so far. The group treatments were Acceptance and Commitment Therapy and a Mindfulness-based Emotional Regulation intervention, during 8 weeks, guided by two Clinical Psychology residents. A repeated measures ANOVA was conducted (pre-treatment, post-treatment and 6-month follow-up), with Sidak-correction parametric post hoc tests. Also, the Friedman test and Wilcoxon signed ranks test with Bonferroni-correction was used for non-parametric pairwise comparisons at p < 0.017. The dependent variables were the scores on Digit span backward and the Digit span sequence (WAIS-IV). Normality assumptions were not met for Digit span backward or Digit span sequence. Friedman tests showed no statistically significant change in Digit span backward (p = 0.270; partial eta-squared = 0.005; statistical power observed = 6.2%) or in Digit span sequence (p = 0.612; partial eta-squared = 0.011; statistical power observed = 7.5%). These preliminary results show no changes on auditive working memory after participating in both mindfulness-based interventions. A larger sample size is required to confirm this trend and to analyze if the measures used present lack of sensitivity to change. Most neuropsychological studies show a dissociation between the subjective complaints of attention and the results from the objective tests. To determine the relationship between subjective complaints and objective neuropsychological test results of attention in patients with anxiety disorders referred to mindfulness-based group interventions. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). 46 adult patients (age range from 21 to 63) with anxiety disorders completed the pre-treatment measures and 33 out of them completed the post-treatment measures. The group treatments were Acceptance and Commitment Therapy and a Mindfulness-based Emotional Regulation intervention, during 8 weeks, guided by two Clinical Psychology residents. The outcomes were Digit span forward and Longest digit span forward (WAIS-IV), TMT, Stroop and a self-reported item about attention from the WHOQOL-BREF (the higher score, the better self-perceived attention). Pearson correlations were computed and interpreted at p < 0.05. Before treatments, the self-reported measure of attention significantly correlated with the Longest digit span forward (r = .307; p = .038), Stroop Word (r = .337; p = .022), Stroop Interference (r = .320; p = .032) and TMT-A (r = -.399; p = .006). At the post-treatments, the self-reported measure of attention only significantly correlated with TMT-A (r = -.345; p = .049). These results show that the better self-perceived attention, the better performance in such objective tests. In patients with anxiety disorders the self-reported complaints of attention converge with objective results of the neuropsychological tests. However, after both mindfulness-based interventions this association is weaker. Cognitive behavioural methods of psychotherapy. Its highly important due to increase of anxiety, depression and panic disorders. To determine the features of clinical dynamic in affective disorders patients with ongoing CBT. There were examined 60 anxiety disorder and 60 depressive patients. There were 12 CBT sessions different CBT modification were provided. The first group of patients have a wore severe psychopathological manifestation and less symptoms reduction. The second group of patients have a lesser depth of depressive – anxiety effect with more positive symptoms reduction. The results prove the revalence of positive approach of CBT especially due to personal psychological adaptation system. Alexithymia is a personality construct that encompasses difficulties in identifying feelings and differentiating between feelings and the somatic sensations associated with emotional arousal. Mindfulness-based interventions could improve this disturbance in processing affective information. To compare the effectiveness of Acceptance and Commitment Therapy (ACT) versus a Mindfulness-based Emotional Regulation (MER) intervention on alexithymia in patients with anxiety disorders. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). Firstly, 52 adult patients with anxiety disorders were randomized according to the score on the Acceptance and Action Questionnaire-II (blocking factor), of whom, 39 patients decided to participate (age range: 21-63; 26 females). Each intervention was weekly, during 8 weeks, guided by two Clinical Psychology residents. A 2x2 mixed ANOVA (pre-post change x intervention type) was conducted, with Sidak-correction post hoc tests. The dependent variable was the total score on the Toronto Alexithymia Scale 20-item (TAS-20). Normality and homoscedasticity assumptions were met. No statistically significant differences between interventions were observed on the pre-treatment score (t(36.70) = 0.68, p = 0.50). No statistically significant interaction effect was observed. A main effect pre-post change was statistically significant [F(1, 30) = 23.45, p = 0.00, partial eta-squared = 0.44, statistical power observed = 99.7%]. Both interventions reduced similarly, with a large effect size, the alexithymia level after treatment. These preliminary results show a relevant improvement in processing affective information in patients with anxiety disorders after both mindfulness-based interventions. A larger sample size is required to confirm these results. Cognitive flexibility is a key construct related to mindfulness. However, there are no randomized controlled trials about mindfulness-based interventions addressing it as an endpoint in patients with anxiety disorders. To assess changes on cognitive flexibility after two mindfulness-based group interventions in patients with anxiety disorders. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). 39 adult patients (age range: 21-63) started this study and 17 completed the follow-up measures so far. The group treatments were Acceptance and Commitment Therapy and a Mindfulness-based Emotional Regulation intervention, during 8 weeks, guided by two Clinical Psychology residents. A repeated measures ANOVA was conducted (pre-treatment, post-treatment and 6-month follow-up), with Sidak-correction parametric post hoc tests. Also, the Friedman test and Wilcoxon signed ranks test with Bonferroni-correction was used for non-parametric pairwise comparisons at p < 0.017. The dependent variable was the score on the TMT-B (seconds). The normality assumption was not met. Statistical power observed = 23.0%. The Wilcoxon test showed statistically significant change between pre-treatment and post-treatment (p = 0.013; Cohen’s d = 0.003), and between pre-treatment and follow-up (p = 0.010; Cohen’s d = 0.610). No statistically significant change was observed between post-treatment and follow-up (p = 0.192; Cohen’s d = 0.345). These preliminary results show null change immediately after treatment completion of both mindfulness-based interventions, but moderate improvement in cognitive flexibility at the 6-month follow-up in comparison to the pre-treatment. However, a larger sample size is required to confirm these results. There are no studies addressing the effect of training mindfulness on the executive function of inhibition in patients with anxiety disorders. To assess changes on inhibitory control and visual processing speed after mindfulness-based group interventions in patients with anxiety disorders. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). 39 adult patients (age range: 21-63) started this study and 17 completed the follow-up measures so far. The group treatments were Acceptance and Commitment Therapy and a Mindfulness-based Emotional Regulation intervention, during 8 weeks, guided by two Clinical Psychology residents. A repeated measures ANOVA was conducted (pre-treatment, post-treatment and 6-month follow-up), with Sidak-correction parametric post hoc tests. Also, the Wilcoxon signed ranks test with Bonferroni-correction was used for non-parametric pairwise comparisons at p < 0.017. The dependent variables were the three scores on the Stroop test: Word, Color and Interference. Normality assumptions were met for Color and Interference, but not for Word. A statistically significant change in Interference was observed [F(2, 32) = 5.190, p = 0.011, partial eta-squared = 0.245, statistical power observed = 79.1%], specifically between pre-treatment and follow-up (p = 0.034). The Wilcoxon test showed statistically significant change in Word between pre-treatment and follow-up (p = 0.011; Cohen’s d = 0.633) and in Color between pre-treatment and post-treatment (p = 0.015; Cohen’s d = 0.143). These preliminary results show moderate improvement in visual processing speed and large increase in inhibitory control at the 6-month follow-up in comparison to the pre-treatment after both mindfulness-based interventions. There are no randomized controlled trials measuring the effect on attention after mindfulness-based interventions in patients with anxiety disorders. To assess changes on auditive and visual attention after two mindfulness-based group interventions in patients with anxiety disorders. This study was carried out in a Mental Health Unit (Colmenar Viejo, Madrid). 39 adult patients (age range: 21-63) started this study and 17 completed the follow-up measures so far. The group treatments were Acceptance and Commitment Therapy and a Mindfulness-based Emotional Regulation intervention, during 8 weeks, guided by two Clinical Psychology residents. A repeated measures ANOVA was conducted (pre-treatment, post-treatment and 6-month follow-up), with Sidak-correction parametric post hoc tests. Also, the Friedman test and Wilcoxon signed ranks test with Bonferroni-correction was used for non-parametric pairwise comparisons at p < 0.017. The dependent variables were the scores on TMT-A, Digit span forward and Longest digit span forward (WAIS-IV). Normality assumptions were met for TMT-A, but not for Digit span forward or Longest digit span forward. A statistically significant change in TMT-A was observed [F(2, 32) = 14.496, p = 0.000, partial eta-squared = 0.475, statistical power observed = 99.8%], specifically in pre- versus post-treatment (p = 0.023), and pre-treatment versus follow-up (p = 0.000). Friedman tests showed no statistically significant change in Digit span forward (p = 0.787) or Longest digit span forward (p = 0.433). These preliminary results show large improvement in visual attention and visuomotor tracking speed, but not in auditive attention, at the 6-month follow-up in comparison to the pre-treatment. Negative symptoms occur throughout the course of schizophrenia with a high estimated prevalence. Poor quality of life has been reported among patients presenting with significant and persistent negative symptoms. Additionally, these symptoms also have an adverse impact on functional and social outcomes in patients with schizophrenia and represent an unmet therapeutic need. The aim of this systematic review was to evaluate the effectiveness of psychological therapies in reducing negative symptoms in patients with schizophrenia. Randomized controlled trials focusing on such psychological interventions were systematically searched across two electronic databases (PubMed and Ebsco Host). Publications identified were then screened for eligibility using predefined inclusion criteria. All trials were assessed for risk of bias. Seven studies were included in our analysis (Figure 1 illustrates the decisional process). Among outpatients with schizophrenia, integrated neurocognitive therapy was found to improve negative symptoms, whilst cognitive behavioural therapy was reported as ineffective. Occupational therapy and animal assisted therapy lead to negative symptoms remission among inpatients with schizophrenia. The present review identified mixed findings regarding body psychotherapy. Studies included in this review emphasized the vast heterogeneity regarding therapy alternatives, patient characteristics and methodological aspects which hindered the possibility of complex analysis. Certain psychological interventions can significantly reduce negative symptoms in patients with schizophrenia, whilst others have a limited capacity in this regard. Psycho-social treatments should be considered in the management of negative symptoms among both in- and out-patients with schizophrenia. However, a more standardized methodology is needed for a comprehensive assessment of these therapy modalities. I have developed the concept of Sensory and Genetic Memory Codes (SGMC) by using memory processing in psychotherapy. Summary An amalgamated Sensory Memory code is calculated for every fraction of sensory input. They drive every moment of our spontaneous thoughts, feelings, and behaviour. My theory explains how this affects mental health. It produces emotional mind intentions which cannot be altered through rational mind intentions. SGMC explains how: traumatic experiences in childhood will in some cases only cause symptoms in adulthood. the effects of negative emotional experiences will in some cases resolve spontaneously and in other cases not memory processing results in the resolution of symptoms and issue. our willpower fails to alter spontaneous unwanted responses The concept of SGMC, could result in a paradigm shift in the field of mental health. The theory is based on nine years of empirical evidence that memory processing is an effective psychotherapy tool. The concept of SGMC was developed through years of observation on how memories affect our functioning. I have nine years of case studies on the efficacy of memory processing. SGMC is a new concept which I have developed based on observing the efficiency of memory processing. I would value the opportunity to present this new concept to the field of psychology, psychiatry, and psychotherapy at the conference. I have developed a concept called Sensory and Genetic Memory Codes, through my experience with working with memories in psychotherapy, and would like the opportunity to present it. Transgenerational Family Therapy (TFT) is a type of family therapy were the interactions across generations are used to understand and treat current problems within the family. In the light of TFT, we present a case report of Gratification Disorder, in a monoparental family. We conducted both individual and family psychotherapeutic sessions. The child, a girl with six years old, was referred to our Child and Adolescent Psychiatry Department, because of masturbatory behaviours since she was three years old. The features, frequency and the disability associated, fulfilled the diagnosis of Gratification Disorder. Her mother was very preoccupied, overprotective and hypervigilant to the child behaviours and speech; it seemed to the mother that her daughter had seductive and sexual manners towards male adults. Exploring the mother personal history, she revealed she was sexually abused by her stepfather between her 10 and 15 years old. It was a secret until three years ago, when, in the middle of a family quarrel, she revealed the sexual assault to her mother and half-brothers. However, surprisingly for her, they didn’t believe and blamed her for the abuses. Around this time, the child started the masturbatory behaviours. Through individual sessions (with the child and the mother), the mechanisms of introjection, the splitting of good and bad objects, the projection of the mother and the projective identification of the child, were explored. The child masturbatory behaviours significantly diminished. The family system and its transgenerational aspects were valuable tools in the conceptualization and treatment of our case report. The UFIP (Psychotherapy Unit) is a healthcare resource integrated in the Psychiatry, Clinical Psychology and Mental Health Service of La Paz University Hospital in Madrid, in which the focus on resident’s training and research is also very important. Specifically, UFIP develops a training program in psychotherapy from an integrative perspective. The aim of this specific unit is to provide brief psychotherapeutic attention to patients, carried out by residents of Psychiatry and Clinical Psychology who engage in this rotation. This is a descriptive study of a sample of patients with cancer undergoing psychotherapy sessions conducted by residents of the UFIP, in the Psycho-Oncology Unit, between September and November 2019 In the UFIP, both cancer patients and their families are treated, as well as patients with chronic pain. From this sample, only oncologic patients (50%) were selected, with a predominance of women (89%) versus men (11%) and a mean age of 50 years (30-82). The more prevalent therapeutic focus was the management of the disease (100%), although other focuses were also addressed, to a lesser extent, such as the relationship with health personnel, communication with their families, grieving situations or the reintroduction to their work activity with short therapies lasting between 6 and 12 sessions. In conclusion, we want to emphasize the beneficial work of the UFIP, not only in the psychotherapy training of residents (including case supervision sessions and important clinical skills training) but also in taking care of cancer patients and their families (using both individual and group therapy). Perceived quality of care is considered one of the pillars of health management today (1). The results of a hospital discharge questionnaire from a short psychiatric hospitalization unit in Spain are presented. Analyze a sample of interviews. 43 patients were interviewed through a questionnaire, between 17 June and 30 August 2019, that collected 21 items which could be scored in 5 different categories: \"very bad\", \"bad\", \"neither good nor bad\", \"good\" and \"very good\". A statistical analysis in the SPSS Statistics computer package described the frequencies of occurrence of each response. To calculate the best and worst items valued in general and by subgroups (sex and age group) the variables were recoded on an ascending scale of 1 to 5 following the order above and the means were calculated for each item. Finally, the association between general satisfaction and sex and age group was calculated through Mann-Whitney U test and Spearman’s rank correlation coefficient respectively.*Figure 1 - Figure 1 shows the percentages of each possible response of the final item \"degree of general satisfaction\". Table 1 shows the best and worst rated items in general and based on subgroups. - No statistically significant differences were found in the above-mentioned tests for the item \"general satisfaction\" depending on sex and age group (p-value of 0,709 and 0,706 respectively). The patients interviewed generally presented an adequate perceived quality of care, although they agree to score lower aspects that would need to be improved. Lithium is a known cause of end-stage renal disease. NICE guidelines recommend biannual estimated Glomerular Filtration Rate (eGFR) monitoring in all patients on lithium. However, there is not enough clarity as to what clinical decisions should be made depending on eGFR values. To explore eGFR monitoring provider’s compliance and its clinical decision-making based on kidney function in patients on lithium An observational retrospective study was designed that included all patients on lithium attending our Community Mental Health Team (CMHT), in 2017. Socio-demographics and clinical data, sequential lithium, Creatinine and eGFR serum values were reviewed. Decision-making was assessed in terms of changes in the treatment and referrals to GP or Nephrologist A total of 74 patients were included. Mean age was 56 and 70% had been on lithium for more than 10 years. Provider compliance with lithium levels and kidney function monitoring is shown in graph 1. An increased variety of clinical decisions based on the eGFR results were found in the period of study, leading to more referrals to GP and nephrologist, as shown in picture 1. Graph1. Compliance graph Picture 1: Decision-making An improvement in lithium, creatinine and eGFR monitoring was found in our centre for the period of study. There was significant variability in the decision-making based on eGFR and creatinine levels. A more detailed recommendation/protocol in the NICE guideline is crucial to improve precision in the clinical decision-making process that involves correct monitoring and management. Patient satisfaction questionnaires (PSQ) are a widely used quality improvement tool. At Homewood Health Centre (HHC), we use PSQ to monitor the perceived quality of care on several levels. In 2017, a significant change in care delivery model occurred with a shift of the focus towards mostly group-based, didactic modalities. The goal of this study is to evaluate the changes in patient satisfaction levels corresponding to program change. Patient satisfaction questionnaires. Descriptive statistics. Contingency tables. PSQ data as well as the administrative data were collected for the period between January 2016 and March 2019, which included the data for 296 and 255 respondents prior and post-program change respectively (Table 1). There was a significant drop in questionnaire completion rate from 87.8% to 56.8% (p<0.00001). There were no statistically significant changes in the overall program quality appreciation and specific items such as program meeting patients’ needs and its role in their recovery. At the same time respondents were less likely to recommend the program to others (Χ2=12.26, p=0.016) or considering another course of treatment (Χ2=13.43, p=0.009) after the program change occurred. Table 1. Responses to select patient satisfaction questionnaire items before and after program change The change in service delivery model resulted in significantly lower response rate. Patients were less likely to envision recommending treatment to others or receiving another treatment course while their overall appreciation of the program remained unchanged. The concomitant existence of a somatic disorder with a psychiatric pathology is found in 30 to 60% of patients hospitalized in psychiatry and it’s well studied that one of the challenge s faced by the psychiatrists is not to miss out on given the implications of such a find. . However, in almost one in two cases, these comorbidities are not detected. The aim of this study is to evaluate the interest of admission blood sampling analyses for the detection of somatic comorbidity . A retrospective, case-control study was conducted between October 2018 and Septembre 2019 and interested patients admitted in the “F” psychiatry men Department of RAZI Hospital and discharged during this period . Laboratory tests (blood cell count, glucose, total cholesterol, HDL-cholesterol, LDL-cholesterol, triglycerides, sodium, potassium, chlorine, urea, creatinine, alanine aminotransferase, aspartate aminotransferase, gamma glutamyltransferase, alkaline phosphatase, and TSH) were determined in admission blood samples from patients admitted during the period of the study. Among 218 admissions 154 ( 71%) patients were male ; the mean age was 39,17+/-12.85 years and for 34.9% of patients there was their first hospitalization. The main diagnosis was schizophrenia. For 58 of the 218 blood samples included (27%), at least one biological abnormality was detected. None of them had used glucose or cholesterol lowering drugs before the blood sampling. This study confirms the high frequency of somatic disorders in hospitalized psychiatric patients and shows that an admission biological check-up would likely improve their screening and as a result provide a better care management. Patients with aphasia first concern loosing are communication and social life. They have challenging in many areas of rehabilitation: verbal communication and activities involving in daily life, self- management, self-efficacy and motivation. The extent of recovery is independent of many factors such as severity of the brain damage region, age, education and/or profession and sociocultural background. Furthermore, they are at risk of developing depression, mood disorders, emotional distress and social isolation. The purpose of this study was to investigate the effect of multidisciplinary approach for patient with aphasia by combined speech- language therapy, psychological, sociological and occupational therapy in the same session to enhance progression of self- management, self-efficacy and motivation with low cost fees. case study is young woman has 38yrs.old, married and had two children had involved in intensive therapy from second day after admitted at hospital. Multidisciplinary approaches program for: speech-language, occupation, social support and psychotherapy had adopted for three-times per week for one-year. Furthermore, medication and physiotherapy followed by professions. Our therapeutic program takes three stages to reach to goals. showed significant improvement to our goals with the multidisciplinary approaches program and during all stages. Raising self- management, self-efficacy and motivation in patients with aphasia are best solutions to rebuild normal social communication; emotion control, cognitive skills, as well as social factors are significant for rehabilitation. Facilitate successful engagement and interest from professionals believes, patient self- management, self-efficacy and motivation and as well as their families helping for fostering treatment goals. Relatives of patients with severe mental disorders, including schizophrenia, constitute a population group that has its specific characteristics: psychological, emotional and financial burden, difficulties in accepting the mental illness of a family member and necessity of treatment. It is well known that the overprotection, criticism, hostility within families of psychiatric patients contribute to relapses of mental disorders. This indicates the necessity in supporting relatives with their own needs and their functions of caring the mentally ill family members. Development of the model of psychosocial and psychotherapeutic care to relatives of patients with schizophrenia and evaluation of its effectiveness. Psychological (SCL-90-R, SF-36, SAS-SR et al.), statistical. The proposed model of complex care includes such modules as the psychoeducation, individual and family psychological counseling, trainings aimed at developing the necessary skills in relatives, group-analytical psychotherapy, involvement in public organizations and support groups. More than 400 relatives of patients with schizophrenia have received psychosocial and psychotherapeutic care. The effectiveness of the developed model has been proved. There was a statistically significant improvement in the psychological status of relatives, their compliance, the quality of life, forming the adaptive coping strategies, expanding social networks, reducing social isolation, etc. Supporting relatives of psychiatric patients should be comprehensive and constitute an important part of therapeutic process. The importance of this of work is based on understanding the influence of family environment on the course of schizophrenia and awareness of the consequences of disease for all family members. The demands of the informal caregiver role can have negative consequences on their everyday life. Recent studies have indicated that this role is related to a lower health state and reduced quality of life, which are associated with higher caregiver burden as well as poorer patient outcomes. To evaluate the efficacy of a new tailored intervention for informal caregivers: the Ensemble (Together) program, compared to support as usual (SAU). A randomized controlled trial was performed on 18 informal caregivers of people with psychiatric disorders. Participants were randomized to receive one of two supports in an eight weeks period: Ensemble or SAU. Participants were assessed through 5 instrument tools: the ZARIT scale, the Brief Symptom Inventory, the Life Orientation Test, the Short-Form 36 scale and the Social and Occupational Functioning Assessment Scale. Assessments were completed by all participants three times: pre-post intervention and a 2 months follow-up. Scores of the two groups were then compared with regards to change over time for each of the variables using a mixed-model ANOVA with one between-subject factor (intervention) and one within-subject factor (time). The preliminary results showed that the psychological health of informal caregivers following the Ensemble program is improved at the end of the intervention, as well as in comparison with the SAU group These preliminary results regarding the efficacy of the tailored Ensemble program suggest that individualized brief interventions for informal caregivers are particularly pertinent during both the acute and chronic phases of the disease. Severe neurotrauma in childhood is a serious cause of developmental disorders. The interdisciplinary participation of specialists in the rehabilitation of children after severe neurotrauma contributes to mental activity restoration prognosis, rehabilitation effectiveness and post-traumatic effects reduction. Mental activity study on the minimum consciousness level. Materials: 104 children under 18 with severe neurotrauma admitted for treatment and rehabilitation at CRIEPST. Methods: psychopathological and educational methods; assessment of consciousness and mental activity. 2 groups of children identified in the minimum consciousness depending on differentiating signs (recovery rate; emotional, motor and cognitive processes severity; reactions; responses to stimulation): Group 1: 37 children (35.5%) with high values of mental activity and disturbances in emotional, motivational, neurodynamic and cognitive levels, with understanding and following simple instructions - the minimum consciousness \"+\". Group 2: 67 children (64.5%) with average values of mental activity and mental disorders in the emotional-motivational, neurodynamic and cognitive levels, with a pronounced limitation in understanding and performing simple instructions, the minimum consciousness is “-”. Despite approximate similarity of mental disorders on the emotional, motivational, neurodynamic and cognitive levels, different rates and recovery potential with greater efficiency discovered in the first group. Analysis of mental activity allows applying a differentiated approach to the interdisciplinary rehabilitation tasks. References: Sposob otsenki psikhicheskoy aktivnosti detey s tyazheloy cherepno-mozgovoy travmoy. / Zakrepina A.V., Bratkova M.V., Mamontova N.A./ Svidetel’stvo o gosudarstvennoy registratsii bazy dannykh № 2681712. Data registratsii v Reyestrebazdannykh 12.03.2019.(InRuss.). Remedial education of children with intellectual disabilities is a challenging problem of modern education. Underdevelopment of cognitive processes makes it difficult to assimilate the educational program, adaptation and interaction with the environment. Ways of learning form the basis of cognition. To identify ways of teaching children with intellectual disabilities at the initial stage of school education. Material: The research sample consisted of primary school children: 127 children from 7 to 8 years old with intellectual disabilities. Methods: observation of the child; psychological and pedagogical examination [1]. Three groups of children identified: group 1 (40%): children understanding the teacher’s instruction. The teaching approach based on independent actions. In group 2 (52%) children partially understood the instruction, performed tasks after assistance. The approach based on demonstration and sample example. In group 3 (8%) children did not understand the instruction, performed tasks after additional explanation. The approach based on joint actions with the teacher. Different approaches to teaching were identified: independent actions, demonstration and sample example, joint actions. Teaching methods improve classroom work methods and help to adapt the educational content. Literature: 1. Strebeleva E.A., Zakrepina A.V. Methods of pedagogical examination of first-graders with mental retardation // Defectology, 2018 - №2. - p. 65-75. [Strebeleva Ye.A., Zakrepina A.V. Metodika pedagogicheskogo obsledovaniya pervoklassnikov s umstvennoy otstalost’yu // Defektologiya, 2018 - №2. - S. 65-75] Self autonomy is an important personal achievement expanding possibilities of cognition and adapting the child to school. It has particular traits in children with mental deficiency and requires special educational methods. Study of independent playing skills in preschool children with intellectual disabilities. 78 children aged 5-6 years old with different levels of cognitive development. Observation, parents and teachers surveys. Three groups of children were distinguished by independent playing skills level: Group 1 (8%) - children showed interest in games with rules, acted according to the rules, evaluated their own and peer actions and explained the rules of the game. Group 2 (35%) - children showed interest in the game, but did not always act according to the rules until the end of the game, found it difficult to evaluate their actions and peer actions, could not explain the rules of the game. Group 3 (57%) - children showed interest in the game, did not follow the rules until the end of the game, could not evaluate their actions and the actions of their peers, did not understand the rules of the game. Self-education is formed through special methods and techniques. Gradual mastering of independent playing skills comes from elementary activity manifestations in game actions leading to the transfer of action methods into new rules of the game. Mental disorders chronicity is an increasingly reality. Moving away from returning to old hospitalizations, current health opts for psychosocial rehabilitation. This has led to the emergence of different rehabilitation units such as day care centers or psychosocial rehabilitation centers. The satisfaction of users and families with these centers is tested in the following study. To analyze the satisfaction perceived by users and relatives of a psychosocial rehabilitation Center for people with chronic mental disorders in Madrid. An adapted version of the Verona Service Satisfaction Scale (VSSS) was applied to a sample of 30 users who voluntarily participated. The sample consisted of 17 men and 13 women, who had been attending the psychosocial rehabilitation Center for at least 2 years. Frequency analysis and analysis of satisfaction related to sociodemographic variables were performed. The component with highest satisfaction was the involvement of the professionals and the one with less satisfaction was the support that the center provides to their families. The average satisfaction was 3.97 points (range 1-5). There were no significant differences in satisfaction based on the different sociodemographic variables analyzed (gender, age, time in the center). However, there was a tendency for younger users and women to be less satisfied. Psychosocial rehabilitation centers are suposed to be an alternative in the community for people with chronic psychopathology. The average satisfaction is high. However, these data suggest that improvements int the attention to families are necessary and perhaps also to young and female users. Graphic skills are referred to sensorimotor skills and are connected with educational activity serving the process of writing. The task of teaching children with cognitive dysfunction to write properly is considered to be vital in modern system of education. to study and discover the level of graphic skills of 6-7-year-old children with different stages of cognitive development, to determine their preparedness to master writing graphic. Materials: 94 children of senior preschool age (from 6 to 7 years old) with cognitive dysfunction were chosen for studying. Methods: observation, pedagogical examination, analysis of drawing skills. 3 groups of children were determined: 1st group (30 %) – children who understood the tasks properly, did them without any assistance by themselves and evaluated the results correctly. 2nd group (40 %) – who partially understood the tasks, in the beginning experienced some difficulties doing them, asked for help and finally completed them. 3d group (20 %) – children who did not accept and did not understand the tasks and as a result did not do them. general and specific hand\\manual skills and condition of basic graphic abilities of children with different levels of cognitive development differ considerably. Essential distinctions of graphic skills maturity as well as their dissimilarity demand proper selection of special methods and approaches for formation correct graphic writing. The fight against the stigmatization of people suffering from mental disorders is a major focus of public policies in the field of mental health. It begins with education of patients about their disease. The patients’ knowledge of the disease and understanding of their pathology makes better their pronostic. Ponctual introspective study of 120 consenting patient in the mental health service . The study, took place between March 1 and June 30, 2018.The questionnaire used included the question: do you know the diagnosis? do you understand this disease? For the patients who answered by a no they benefited from a psychoeducation of their disease. Other clinical data were retrieved from each other’s medical records. Other clinical data were retrieved from each other’s medical records. 120 patients already diagnosed with mean age between 17 and 68 years .96.7% (n = 116) know their diagnosis and understand their disease. The duration of evolution of the disease under treatment is 3.13 +/- 1.8 years. The average total number of hospitalizations for these patients was 0.60 +/- 0.18 hospitalization .Patients who were never hospitalized were 89.2% which corresponds to (n = 107) . The psychoeducation strategy of patients consulting in the mental health service seems effective concerning the knowledge of the patients of their diagnosis and the understanding of the disease, and a patient well informed about his disease would be better observant and better involved in the therapeutic strategy. 5% of infants and teenagers worldwide are diagnosed with attention deficit disorder (ADD) (APA, 2013). We present ADD Escape, an immersive serious game for cognitive intervention in ADD patients. We support abilities such as omission of irrelevant stimuli, following instructions, sustained attention, cognitive flexibility, inhibition, interference control, and task persistence. To study the effect of virtual reality for the intervention of ADD. Subjects. The final sample will be teenagers (n:150) between 13 and 16 years old, with ADD. We will do a randomized controlled trial (RCT) where subjects will be divided into three conditions: G1: Pen and paper. G2: ADD Escape. G3. Waiting list Subjects will receive 9 weeks of intervention. Pre and post interventions will include neuropsychological evaluations of selective, sustained, and divided attention, as well as a motivation measurement. A follow up after three months will be performed. Data Analysis. An ANOVA analysis and its size effect will allow a comparison between conditions. Tools and Functionality. ADD Escape is an escape room puzzle that presents RCTs such as the following: voice and text commands, shape matching, organization of objects, and inhibiting activities. ADD Escape is designed for the Oculus Quest platform, with 64GB of memory, a resolution of 1440 x 1600 pixels per eye, and a refresh rate of 72Hz. We hypothetize that ADD Escape will motivate more than pen and paper and will create more adherence to treatment. We show with ADD Escape some of the benefits of VR for the intervention of disorders such as ADD. Management of bipolar disorder (BD) include assessment of non-adherence (Berk et al., 2010). Knowledge about lithium therapy has been shown to improve adherence and reduce the risk of toxicity. Better understand patient’s knowledge level and attitudes towards lithium; verify the variables which could influence adherence. At admission BD patients completed the Italian versions of the Lithium Knowledge Test (LKT) and Lithium Attitudes Questionnaire (LAQ): adapted translations of a validated psychiatric survey. Scores were correlated to clinical, demographic, pharmacological variables as well as patient’s plasma lithium levels. 16.5% showed good lithium knowledge. Knowledge positive correlated with education level (p < 0,04). 21.7% expressed negative attitudes towards lithium therapy: obstacles to adherence were younger age (for side effects <0,01), earlier onset of illness (doubt efficacy <0,04), and late onset of lithium prophylaxis (with poor concept of illness <0,05). Lithiemia positively correlated with duration of illness (p < 0,02), duration of lithium treatment (p<0,01), good lithium knowledge (p<0,04) and positive attitude towards lithium (p<0.04). Duration of lithium therapy positively correlated with general attitude towards lithium (p<0,02), lithium therapy specifically (p<0,01), and severity of illness insight (p<0,009) A low percentage of patients had a good lithium knowledge. Duration of lithium therapy seems to be a protective factor for adherence; younger patients, earlier age of onset, late addition of lithium to therapy could represent barriers for adherence and topics for psychoeducational individual support. A comprehensive interdisciplinary approach to determining the content of the rehabilitation route after discharge from the hospital is becoming increasingly important in the rehabilitation treatment of children with neurotrauma. To determine the rehabilitation and educational route for children with neurotrauma. 180 children participated (2015 – 2018). Methods: medical and pedagogical, observation, examination, assessment. Rehabilitation and educational options for children were identified: Option A (26%): family-centered rehabilitation. Children experience a constant deficit in all areas of life: they cannot care for themselves, are bedridden, do not communicate, are completely dependent on an adult and on drug therapy, including the appointment of a psychiatrist. Option B (44%): outpatient rehabilitation in specialized organizations. There is a pronounced delay in mental and speech development, especially behavior and regulation. Children have impaired speech, communication, movements, actions with objects; low learning ability. They are accompanied by: psychologist, speech therapist, defectologist, psychiatrist. Option C (30%): rehabilitation through education (in preschool and school organizations). In children behavioral disorders, difficulties in performing arbitrary actions, in communication. Need help from a speech therapist, psychologist, defectologist, psychiatrist. The variability of rehabilitation routes is determined based on the diagnostic and typological features of the development of children. Conclusion: children with neurotrauma need comprehensive rehabilitation. Their integration into the educational environment depends on a number of factors: the complexity of the violation, the early rehabilitation system, and the systematic support of the patient and family. Early detection of the causes of school failure of children following traumatic brain injury of mild severity (mTBI) allows the development of corrective programs. Assessment of the dynamic characteristics of the higher mental functions (HMF) and the position of their violations in the structure of the neuropsychological syndrome. The study is based on the original set of techniques designed by A.R.Luria. We studied of the mental activity in its regulatory and dynamic aspects. 13 patients (7-9 years old) with mTBI and 16 healthy subjects (7-9 years old) took part in the study. The results of the study showed that in the acute period after mTBI, the dynamic characteristics in children were significantly reduced. Decrease in work capacity was noted in all patients, and in half (53.38%) it was lowered at the very beginning of the examination (p=0,000). 84,6 % of the children in the experimental group also had a significant decrease in the rate of activity throughout the study (p = 0.000). The speed of completing tasks was slowed down in 76.9% of patients. A study of attention showed that all children with head injury have impaired attention. Half of the experimental group (46.15%) have mild difficulty concentrating. The other half has more pronounced fluctuations in attention and concentration. (p = 0.00). The revealed features of the disturbance of the dynamic characteristics of HMF after mTBI of mild degree will allow to provide adequate assistance to children in the rehabilitation process. The effect of the traumatic brain injury of mild severity (mTBI) on the speech pathology influences on the educational activities of adolescents in school. To study of speech pathology in adolescents after mTBI in acute period (3-5 days after trauma). The study is based on the original set of techniques designed by A.R.Luria. We used the technique of phonemic awareness, phonetics-phonology analysis, speech movements, understanding of logical-grammatical constructions and tests for free and directed associations 31 patients with mTBI (mean age was 11,5+1,3) and 20 healthy subjects (mean age was 12+1,5) took part in the study. Analysis of the results showed that phonemic hearing, phonetics-phonology analysis and speech movements remained completely intact. A qualitative analysis of the data showed that 42% of patients had difficulties with the implementation of the “understanding of logical-grammatical constructions” methodology, which were mainly associated with impulsive errors. We can note only a tendency to the reliability of the data obtained. The greatest difficulties were caused by the implementation of directed associations. The number of updated words in patients with head injury was significantly less than in the control group (p = 0.00). An analysis of the data obtained in the study of speech functions suggests that this function in adolescents was the most preserved. The results obtained allow us to choose more suitable options for rehabilitation measures aimed at improving the adaptation of patients, improving their quality of life, and preventing the negative consequences of head injury. Religiosity is an important aspect in the holistic approach of people who meet criteria for mental disorders; however, little is known about the psychometric performance of instruments to mediate religiosity in mental health patients. To calculate the internal consistency and perform confirmatory factor analysis (CFA) of Francis’s short scale of attitude towards Christianity (Francis-5) in psychiatric outpatients in Santa Marta, Colombia. A psychometric study of Francis-5 was performed with responses of 260 patients, between 18 and 83 years (M=47.6, SD=14.0). Patients met criteria for major depressive disorder (36.9%), bipolar disorder (16.5%), generalized anxiety disorder (15.8%), sleep disorder (12.3%), schizophrenia (5.0%), obsessive-compulsive disorder (2.7%) %), post-traumatic stress disorder (1.9%), and 8.8% did not know the diagnosis. 57.3% of the participants were women and formal schooling was between 0 and 16 years (M=10.8, SD=3.5). Participants completed the Francis-5 which is a five-item instrument and five response options that are rated from one to five. The highest scores suggest stronger religiosity. Internal consistency (Cronbach alpha and McDonald omega) and CFA were calculated. The internal consistency showed both Cronbach alpha and McDonald’s omega of 0.98. In the CFA, one-dimensional structure was observed, with chi squared=4.83, df=5, p=0.44, RMSEA=0.01, CI90% 0.00-0.10, CFI=1.00, TLI=1.00, and SRMR=0.01. The Francis-5 shows high internal consistency and acceptable one-dimensional structure to measure attitude toward Christianity in psychiatric outpatients. The scale can be reliably used in outpatients of mental care services. Neurological soft signs (NSS) are a defined as subtle non-localisable neurological abnormalities that cannot be ascribed to disturbance of any particular brain structure or known neurological disease. NSS have been studied in a wide range of patients diagnosed with schizophrenia, mood and anxiety disorders with the use of multiple different instruments. To assess the diversities in item content and the level of overlap between the most often used NSS scales. The PubMed database was searched using the phrase “neurological soft signs”. We had previously reported on the results based on the search up to December 2017. Next the search was extended up to January 2019. Based on the updated information a new content analysis was performed to determine symptom overlap among the 7 most commonly used scales using the Jaccard index (0=no overlap, 1=full overlap) according to the methodology of Fried 2017. 421 papers were found. Only 315 original research articles meeting the criterion of informing about instrument used to measure NSS were selected for the analysis. The investigated scales consisted of 167 items assessing 71 distinct NSS. The mean overlap among all scales is low (0.27), overlap among specific scales ranges from 0.1 to 0.5. The repeatability of NSS checked by investigated instruments is low, rising question whether various studies explore the same phenomena. The dubious replicability of NSS assessment obstructs the possibility to unify the existing data. Yet there seems to be little awareness of this issue. We suggest the non-localizable nature of NSS requires further examination. Although qualitative studies have increased around the world in last decades, few influential journals published them, specially top medical journals. To present the Methodology of Clinical-Qualitative Research, a particular and refined strategy developed in Brazil to work with qualitative studies employed in medical care settings, has completed one decade of publishing. The method conception is the following: if one wants to explain scientifically the asthma, this is a matter for researchers of pulmonary diseases, immunology, and so on, within the biomedical model. However, if one wishes to understand what asthma means for the patients’ psychosocial life, this is a matter for clinical-qualitative researchers within the comprehensive model from human sciences. It is extremely useful for physicians themselves to make use of qualitative methods. Clinical attitude - in sense of Hippocratic School - is both to value the approach to Man who always suffers, above all with his body. Existentialist attitude - in sense of Kierkegaardian School - is to value the anguish inherent in Man, as it occurs specially in the case of getting ill. Psychoanalytic attitude - in sense of Freudian School - is to take into account the existence of non-conscious feelings that permeate all human interpersonal relationships. Editors and reviewers of greatest vehicles of medical literature could broaden their editorials space for research in Medical Psychology. The handling of impact of diagnosis and the encouragement to a complete adherence to recommended treatments pass through the scientific knowledge of symbolic meanings. In trials investigating antidepressants, placebo response averages 31% compared to a mean medication response of 50%, and the difference is even smaller in clinical studies with children and adolescents, which represents a major obstacle in detection of an efficacy signal. To find the main factors involved in the augmentation of placebo response in clinical trials with antidepressants, and to find ways to reduce this response. A literature review was performed using as paradigm “placebo effect” or “placebo response” and “antidepressants” and “clinical trials”. All papers published between 2000 and 2019, found in the main electronic databases (EMBASE, CINAHL, PubMed, Cochrane), were included in the primary review. Expectancy-based placebo effects, statistical procedures, motivation for participation in trials, frequency of study visits and their length, frequency of drugs administration are all related to the rate of placebo response. The trial design should attempt to control as many of these factors as possible, e.g. single-blind lead-in periods which have the purpose to identify and exclude participants with quick response to placebo, decreasing the length of study visits and the number of interactions between subjects and investigators, training the investigator to minimize their placebo-enforcing effects, all these may yreduce the amplitude of the placebo response. The design of the clinical trials in major depression patients should try to control placebo-increasing factors related to the subjects, environment, investigators, statistical procedures, and investigational products, in order to allow the effect of an antidepressant to be differentiated from placebo. First author was speaker for Astra Zeneca, Bristol Myers Squibb, CSC Pharmaceuticals, Eli Lilly, Janssen Cilag, Lundbeck, Organon, Pfizer, Servier, Sanofi Aventis, and participated in clinical research funded by Janssen Cilag, Astra Zeneca, Eli Lilly, San Ongoing progress in pscyhiatric research and practice calls for interdisciplinary approaches and novel methodlogies. One such a method is videoethnography, a descrete filming of daily life activities. Despite a number of advantages, the use of this method as of now is scarce, especially when it comes to psychosis research and clinical practice. After discussing theoretical advantages of the use of videoethnography in psychiatric research in the context of urbanicity / psychosis studies, we will explore the representations of first line practitioners regarding its use in psychiatric research and, by extrapolation, in general practice. Qualitative analyses of audiorecorded interviews of case managers and FEP patients regarding the experience of being filmed during city walk alongs. Videoethnography was found sufficiently acceptable and tolerable as a research tool within our cohort. Both case managers and patients were positive about assets provided by this approach. Nevertheless more research is warranted to supplement reported results and conceptualize further implementation of videoethnography as a research/ therapeutic tool. Further developments in this area may profit to psychiatric care beneficiaries by enabling a user inclusive approach and enriching therapists’ appreciation of the impact of psychotic symptoms on patients’ daily life. While the use of videoethnography in psychiatric research and practice with psychotic patients remains scarce , ever changing attitudes of the society towards self-exposure and availability of non-professionnal video recording material may further shape both research and clinical practice. Caffeine expectancies are key contributors to the consumption of caffeine, the world’s most often used psychoactive drug. However, despite widespread use of the English Caffeine Expectancies Questionnaire (CaffEQ) to investigate these expectations, no Spanish version of CaffEQ is available to date. Therefore, we set out to develop and evaluate the reliability and construct and criterion validity properties of the Spanish version of the CaffEQ. The original CaffEQ, a 47-item self-report questionnaire, was translated into Spanish and then completed by 526 participants with a mean age of 26.36 years. These participants also responded to the caffeine consumption questionnaire. Our data showed that both reliability and validity were adequate and in agreement with the original CaffEQ as well as other non-Spanish versions. The overall reliability index (as measured by Cronbach’s alpha) was .93, with subscales yielding indexes ranging from .85 to .94. Using factor analysis, seven underlying dimensions were found, as expected. Our criterion validation of the Spanish CaffEQ showed almost identical correlation coefficients as the original CaffEQ. To conclude, after the present Spanish adaptation and sound psychometric validation of the CaffEQ, a new research avenue has been opened for the study of caffeine expectations in Spanish-speaking populations. In clinical practice, assessing caffeine expectancies in psychiatric patients may also be relevant to facilitate treatment if caffeine needs to be removed or cut down due to negative medication interactions. The prefrontal cortex (PFC) is a key regulator of attentional processing, which facilitates the ability to detect and selectively respond to relevant stimuli. Inhibitory neurotransmission by gamma-Aminobutyric acid (GABA) signalling coordinates the activity of local excitatory neurons and is critical for regulating the flow of information within this region. Previous studies have indicated that GABAergic neurons expressing parvalbumin (PV) are particularly important for synchronizing PFC activity during cognitive processing. This work aimed to assess the role of PFC PV neurons in mice during a touchscreen-based task of sustained and selective attention. Mice were assessed on the novel touchscreen rodent continuous performance task (rCPT), where images are continuously presented on a touchscreen and mice are required to selectively respond to one image type while suppressing responses to all others. in vivo fiber photometry was used to record the calcium activity of mPFC PV neurons in mice genetically modified to express a gCAMP7f fluorescent biosensor selectively in PV neurons. To manipulate PV neuron activity, in vivo optogenetics was used with mice selectively expressing inhibitory and excitatory opsins in this cell population. Inactivating mPFC PV neurons resulted in significant attention impairments, characterized by a reduction in target reduction and increased responding to non-targets. Furthermore, optogenetically stimulating these neurons to fire at a suboptimal (5hz) significantly reduced target detection and discrimination. These results indicate that frequency specific firing of prefrontal PV neurons support attention in mice, and that the contributions of these neurons may be specific to the processing and discrimination of target information. Interventional psychodiagnosis is a modality that aggregates the evaluation and therapeutic processes considering the active participation of children and their families. In a school service of the Paulista University - in Santos/SP, the interventions are made from the understanding of the complaints brought, using some projective techniques, among them we highlight: the projective technique of collage and the modality of theater. As the meetings go, the biggest challenge was to promote an inclusive dynamic in which the solution of conflicts that emerged from the children’s meeting could be worked. Both the technique of collage and theater, had as its premise the involvement of all, allowing the projection and resolution of conflicts in this time. In 2019, in one of the classes, six children were assisted, followed by two trainees each, for an average period of 18 meetings. The complaints focused on relational problems, difficulties in dealing with loss and separation, increased by specific diagnoses of F.70 (one girl), F.84 (two boys) and without pre-established diagnosis (02 girls and 01 boy). The interventions performed by these techniques allowed greater understanding of the intrapsikial and intrafamily dynamics as forces in interaction and that form a web that can result in suffering and misfit. It is evaluated that the incorporation of these techniques to interventional psychodiagnosis proved to be a valuable instrument not only for the understanding of the complaints brought and the dynamics that prevail in relational contexts, but also to guide more powerful interventions with all. Recent research indicates that the assessment of the meaning in life should be taken into account both in the diagnosis and in the treatment of patients suffering from mental disorders. The aim of this study was to examine the psychometric properties for a short six-item form of the 20-item Purpose in Life Test (PIL-6) in a clinical sample. A total of 295 subjects participated in the study (173 females and 122 males, mean age M = 41.27, SD = 10.10), including 163 patients with clinical ICD-10-F-diagnosis (80 being hospitalized 83 receiving ambulatory treatment) and 132 healthy controls. Confirmatory factor-analytic procedures showed that the one-factor model of PIL-6 (items: 4, 5, 9, 12, 17, 20) obtained a good fit indices (χ²/df= 2.47, SRMR = .012, TLI = .987, CFI = .994, NFI = .990, RMSEA = .071), as well as a high latent variable reliability (.95). The metric invariance of this model was verified using a multi-group confirmatory analysis. The intercepts invariance hypothesis was rejected, a fact well reflected in the between-groups differences (F(2,292) = 99.63; p < 0.001). The lowest level of meaning in life was found among the hospitalized patients (M = 19.26; SD = 7.42), statistically significantly higher results were obtained by the ambulatory patients (M = 30.07; SD = 9.48), the highest – by healthy controls (M =34.14; SD = 5.95). The PIL-6 is a highly reliable and accurate tool and may be used as a predictor/indicator of progress in the treatment of patients with mental disorders. Social cognitive dysfunctions contribute to the deficits of psychosocial functioning of people on the Schizophrenia Spectrum. Recently, the focus has turned to the area of affective disorders, with respect to social cognition and alexithymia. Evaluation of abilities and potential differences in alexithymia and the capacity of facial emotion recognition in individuals suffering with disorders on the schizophrenia or the affective (unipolar depressive) spectrum. We evaluated two groups of 26 participants each, diagnosed with either a Schizophrenia Spectrum Disorder (SDD) or Recurrent Depressive Disorder (RDD) hospitalized in the Psychiatry Clinic of Timisoara, Romania. The analyzed parameters were: socio-demographic, clinical, alexithymia (Toronto Alexithymia Scale), and the ability to identify emotions (Reading the Mind in the Eye Test). We established that 57.69% of SSD subjects had alexithymia, while 19.23% had possible-alexithymia and 23.07% were non-alexithymic. Most of the subjects had a low ability to identify emotions (84.61%). In regards to the RDD group, all 26 participants had alexithymia, while almost 74% of them had a lower than normal ability to correctly identify emotions. The SSD participants showed clear deficits describing and identifying emotions. Overall, the RDD group had similar results, but slightly better abilities of recognizing others’ emotions in the eyes. Our results suggest that difficulties recognising facially expressed emotions and alexithymia could possibly be linked in both spectra. These populations may benefit from tailored social skills training and intervention programs that offer service users more accurate recognition of relapse signs leading to timelier help-seeking. Schizophrenic patients could attemp suicide. Social cognition might be one an importat factor that could improve suicide risk. Our study aims to compare the neurocognitive profile of two groups of schizophrenia patients that differ in the presence or absence of suicidal risk; find a correlation between the presence of suicidal ideation/attempt and specific neurocognitive deficits. 98 patients with Schizophrenic Disorder (SZ) according to DSM 5-TR were enrolled. Neurocognitive functions were evaluated by means of Measurement Research and Treatment to Improve Cognition in Schizophrenia (MATRICS) Consensus Cognitive Battery (MCCB). Clinical data were assessed through the Brief Psychiatric Rating Scale (BPRS). The existence of suicidal ideation and actual suicide attempts have been investigated through the Columbia-Suicide Severity Rating Scale (C-SSRS). Based on the results on the C-SSRS scale, subjects were dichotomized in suicidal risk patients and non-suicidal risk patients. Suicidal patients had at least 1 on the scale that investigates the severity of the suicidal ideation. Suicidal patients had a significantly (p=0,006) worse performance on the test that explores the cognitive domain of social cognition (42,43 (mean 46,04)) than patients who did not have a suicidal risk (31,75(mean 40,40)) . The two groups did not differ in other cognitive domains. (Table 2). Instead verbal learning (22,36(mean 5,04)) or speed of processing (42,44(mean 54,13)) were slightly greater in suicidal patients. Our analysis has shown a significant relationship between social cognitive impairment and suicidal risk in schizophrenia patients. It’s conceivable that social cognitive impairment is an endophenotype of schizophrenia and a risk trait for suicide Assessment of depression is schizophrenia is clinically important due to high risk for suicidality, distress and impact on functioning. Limited numbers of studies have evaluated depression in patients with schizophrenia in clinical remission. To assess the prevalence of depression in patients with chronic schizophrenia who are currently in remission. Two hundred and fifty patients with schizophrenia, who were in clinical remission, were assessed for depression using Calgary depression rating scale for schizophrenia (CDSS) and Global Assessment of Functioning (GAF) Scale. CDSS score of ≥7 was considered cut-off for depression. The mean age of the sample was 35.14 (SD: 10.01) years and the mean duration of formal education was 10.4 (SD: 4.52) years. Majority of the participants were males (66.4%), married (56.4%), unemployed (53.2%), and hailed from nuclear family (59.6%). The mean age of onset of illness was 27.17 (SD: 9.37) years and duration of untreated illness was 4.40 (SD: 1.79) months, the mean duration of illness was 98.35 (SD: 71.78) months and the mean duration of remission at the time of assessment was 8.4 (SD: 5.45) months and mean GAF score of the sample was 78.44 (SD: 7.59). The prevalence of depression in the study sample was 18.8%. Present study suggests that one in five patients of schizophrenia, currently in clinical remission has depression. In recent years, cognitive involvement in first-episode psychosis (FEP) is becoming more important, with multiple publications in this regard, with generally heterogeneous results due to different methodologies. The solider data point to impairment in verbal and working memory, processing speed and executive function, and being them all related with negative symptoms Preliminary results regarding cognitive function in patients with FEP are presented A longitudinal and prospective case-control study will be performed during a year. FEP patients with cannabis-use are identified as cases and FEP patients with no cannabis-use as controls.The sample will be constituted by all the patients, diagnosed of first psychotic episode, admitted during a year at the Psychiatry Unit of the HUPHM. Three evaluations will be made. The first of them will be administered on the days before the discharge, the second 6 months after and the third a year a head. Each evaluation will include different scales, cognitive impairment is assessed by SCIP-S We present preliminary result of cognitive impairment in 32 consecutive FEP admitted to our center. We included 23 cases (71.8%) and 9 controls (28.1%). Result regarding SCIP percentile on the different areas were the following: all of them except verbal fluency were higher among controls (IMAGE-1). Differences regarding processing speed were significant (p<0.1)(IMAGE-2) 7 subjects had a second evaluation after 6 months.Regarding total-SCIP percentil,cases suffered greater improvement compared with controls (p=0.05)(IMAGE-3) First cognitive evaluation in FEP can be substantially altered in cannabis-users, however, we highlight changes occurring during follow-up, being specially this group the one suffering greater total improvement in cognitive functions,compared with non-consumers The use of antipsychotic combinations in patients diagnosed with schizophrenia is an extended intervention in our daily clinical practice. It is estimated that 10-30% of patients with this diagnosis have used more than one antipsychotic concurrently. The aim of this study was to evaluate the clinical evidence that support the use of antipsychotic polypharmacy against monotherapy in Treatment-resistant schizophrenia (TRS) in terms of long-term efficacy and efficiency, as well as of safety and tolerability. A non-systematic review of the literature was conducted by searching in the Pubmed database the keywords: “antipsychotic combinations”, “antipsychotic polypharmacy” and “Schizophrenia”. The authors only selected papers published within the last 5 years. During the last years, different studies including meta-analyses and systematic reviews have been published, yielding to conflicting results. While in some cases the use of combination of antipsychotics showed higher outcomes in reduction of symptoms and risk of rehospitalization -in particularly for Clozapine and Aripiprazole combination-, others concluded that polytherapy predicts an earlier relapse as well as higher risk of discontinuation followed from a worst side effects profile. Although several publications of high level of evidence have been carried out, the results obtained are generally contradictory and of low consistency. Nevertheless, some recent long-term studies show encouraging results with some antipsychotic combinations in particular. Further investigations are needed in order to elucidate the efficacy and risks of this therapeutic option. Theory of mind along with alexithymia, represent two important factors involved in an adecvate social functioning of any patients diagnosed with a psychotic disorder, therefore, also in the schizoaffective disorder. The purpose of this study is to evaluate the alexithymia and theory of mind in patients diagnosed with schizoaffective disorder, that are in remission and under treatment. 22 subjects diagnosed with schizoaffective disorder (according to ICD10 criteria) have been included in our study. The subjects have been selected using inclusion and exclusion criteria. The analized parameters were: socio-demographical data, alexithymia (Toronto Alexithymia Scale) and Theory of Mind (“Reading the Mind in the Eyes test”). The data obtained was analyzed statistically. The socio-demographical data revealed that the median age of onset of the disorder was 28,2 years, the median education level was 11,2 years (highschool), the median evolution of the disorder is 10,8 years and all of them are now retired due to sickness or disability. The analyzed data showed that the ability of reading the mind in the eyes in 82% of the patients, as well as the alexithymia (79% of the patients) were impaired. Also, there is a direct correlation between these two; a lower ability to express emotions correlates to a lower ability to identify emotions (r=-0.524324317). In the schizoaffective disorder, theory of mind, as well as alexithymia are impaired and there is a direct correlation between them. Parry fractures, a fracture in the forearm usually consequence of protecting the face against aggressive attacks, are known to be an indicator of interpersonal violence. They are frequently used in bioarcheological studies. Studies on violence and schizophrenia are mainly focused on the violent behaviors of patients while lacking the violence the patients are exposed to.Radiologically shown parry fracture could be a sign to detect victimization in patients with schizophrenia. To shed light on this issue we present two schizophrenic patients with parry fractures. Exposure to violence in these patients was assessed by radiological examination. Case 1: 28-year old male with schizophrenia and inhalant use disorder, was treated in an inpatient clinic because of a psychotic attack. He had surgical scars on his left forearm and elbow. He said that he was attacked by his friends 5 years ago. The left ulna and humerus were broken due to that assault. Case 2: 40-year old female patient with schizophrenia, was seen in an outpatient clinic and she was in remisson clinically. When questioned whether she has been subjected to physical violence in the past, she said that she was attacked by her ex-husband. Although she was under pain in her forearm, she didn’t apply to hospital back then. Radiological imaging revealed the old fracture. It is known that autobiographical memory is reduced in patients with schizophrenia. Therefore, physical examination and therapeutic alliance may reveal the victimization of the patients. Furthermore, some specific bone fractures and wounds could be used to detect victimization even after plenty of time passes. Systemic lupus erythematosus (SLE) is a chronic autoimmune disorder that can affect multiple organs. Neuropsychiatric manifestations occur in two-thirds of patients with SLE, but psychosis is rare. Corticosteroids are the cornerstone treatment in those cases, but can also induce psychosis themselves. To describe a case depicting psychotic symptoms in a patient with SLE, highlighting the importance of a correct diagnosis and its implications on the treatment. Clinical case report and brief review of relevant literature. M, a 40-year old female, with a background of SLE for 30 years and psychiatric history of depressive episode 2 years earlier, checks in the emergency room with persecutory delusional ideation initiating 3 months prior. M had a SLE-related nephrological relapse 6 months earlier, with a proteinuria peak of 2g/day. M was found medicated with sertraline 100mg; mirtazapine 15mg; hydroxychloroquine 400mg; enalapril 20mg; losartan 50mg; prednisolone 5mg (on tapering phase) and mycophenolate mofetil 400mg 2id (maintenance dose). No significant signs or changes were found either at objective examination or on blood analyses. Brain CT revealed brain groove accentuation. Brain MRI showed unspecific signs. Lumbar puncture was refused by the patient. M was diagnosed with organic delusional disorder secondary to SLE, and started prednisolone 40mg/day and risperidone 2mg 2id. M was discharged one month after, maintaining residual delusional ideation but with reduced expressed emotion towards it. The differential diagnosis of psychotic symptoms in a patient with SLE is fundamental, since it will determine the treatment strategy adopted. Schizophrenia and other psychotic disorders have a great impact on the socio-health framework worldwide. Its onset in the young adult prevails, and these disorders can be detected at both earlier and later ages, requiring an adequate diagnostic-therapeutic approach. The case of a 19-year-old female patient is presented, with follow-up by a Mental Health Unit from the age of 12 for presenting psychotic symptoms, who was admitted to the Acute Inpatient Psychiatry Unit after going to the Emergency Department due to an exacerbation of her psychotic symptoms along with behavioural disturbances and low mood. Upon admission, the patient verbalized delusional ideas of persecution, as well as overvalued ideas and delusional perceptions, in which she felt persecuted on the street, as well as observed in the bathroom, mostly by men known to the patient, and in occasions by her deceased father. She also referred being suffering olfactory hallucinations (in differential diagnosis with delusional perceptions). Complete analytics, cranial CT and electroencephalogram revealed no pathological findings. Differential diagnosis was established among between schizophrenia, delusional disorder, schizoaffective disorder, major depressive disorder with psychotic symptoms and dissociative disorder. The patient was treated with oral Aripiprazole at a dose of 15mg per day resulting in an adequate therapeutic response, a decrease in psychotic symptoms, as well as mood and behavioural stability. Adequate anamnesis and psychopathological exploration are necessary to achieve a correct diagnosis of the psychotic symptoms. Aripiprazole may be an effective therapeutic option in the treatment of psychotic symptoms in young patients. First-time presence of schizophrenic symptoms in 40-year old persons is rare. The complex symptomatology of shizoaffective disorder makes a misdiagnosis highly likely. To present a case of schizoaffective disorder. Medline search and review of the clinical history and the related literature. We present the case of a 40-year-old man who suffered psychotic symptoms for the first time. According to the psychiatric history, this patient has needed emergency psychiatric examination half year before hospitalization due to deregulated behaviour in relation to persecutory delusions triggered by the regular use of cannabis. Before hospital treatment there was a two years history of persecutory, reference and erotic delusions, auditory hallucinations, sleeping disturbances and during hospital time elevated mood. Laboratory results and brain imaging were unremarkable. He was diagnosed with schizoaffective disorder and cannabis abuse. During the following month he was treated with an atypical antipsychotic and a mood stabiliser and his psychotic and manic symptoms improved. With these drugs and cannabis abstinence, he almost enjoyed normal life and work. Late onset psychosis is due to a wide range of clinical conditions. The evolution and presentation of psychotic and affective symptoms in this patient made us think of schizoaffective disorder as main diagnosis. First-time presence of schizophrenic symptoms in 40-year old person is rare. The complex symptomatology of shizoaffective disorder makes a misdiagnosis highly likely. To present a case of schizoaffective disorder. Medline search and review of the clinical history and the related literature. We present the case of a 40-year-old who suffered psychotic symptoms for the first time. According to the psychiatric history, this patient has needed emergency psychiatric examination half year before hospitalization due to deregulated behaviour in relation to persecutory delusions triggered by the regular use of cannabis. Before hospital treatment there was a two year history of persecutory, reference and erotic delusions, auditory hallucinations, sleeping disturbances and during hospital time elevated mood. Laboratory results and brain imaging were unremarkable. He was diagnosed with syhizoaffective disorder and cannabis abuse. During the following month he was treated with atypical antipsychotic and mood stabiliser and his psychotic and manic symptoms improved. With these drugs and cannabis abstinence, he almost enjoyed normal life and work. Late onset psychosis is due to a wide range of clinical conditions. The evolution and presentation of psychotic and afective symptoms in this patient made us think of schizoaffective disorder as main diagnosis. Amongst psychotic disorders, late-onset schizophrenia is rare. It debuts after 40 years of age and is associated with forthcoming psychosocial factors, higher relacional, educational and laboral achievement, female and paranoid subtype preponderance, lower rates of substance use, and weaker family history of schizophrenia. Phenomenologically, auditory hallucinations predominate but there is a higher proportion of other modalities. Succeed in the understanding of the course of late-onset schizophrenia, which could go unnoticed for a long time, resulting in delay in diagnosis and in torpid recovery. Presentation of a case and review of the scientific literature. We report the case of a 57-year-old man with two previous referrals to Mental Health due to psychotic sintomatology, which apparently started eleven years prior, never being evaluated. Up until the debut of the disease he had been married and held various jobs, having isolating himself from the family, coming to live in unsanitary conditions and being completely invaded by the experience of being influenced by an otherworldly force, generating insidious changes in his personality and behaviour. Eventually, he filed a complaint against “the power of the dead” and the forensic specialist requested a psychiatric report, so he was evaluated and admitted involuntarily to the psychiatric unit, staying two months. He was diagnosed with paranoid schizophrenia and treated with antipsychotics, currently being monitored. We illustrate late-onset schizophrenia in men and the relevance of a proper and early diagnosis; highlighting the risks of overlooking these patients, with the potential repercussions in their own means to function in society. Amongst delusional disorders, delusional parasitosis or Ekbom’s syndrome is relatively infrequent. These patients report an unwavering false belief of skin infestation due to sensoperceptive hallucinations, despite the absence of any medical evidence. There are two forms of delusional parasitosis: in the primary form the delusion of parasitic infection is the only symptom present, whereas in the secondary form it occurs alongside another psychiatric disorder, such as schizophrenia, drug abuse or an organic cause. Antipsychotics are the most usen treatment. Presentation of a case and discussion of first approach to delusional parasitosis. Presentation of a case and a small review of the scientific literature available in PubMed. Caucasian, 49-year-old woman reported a not-confirmed toe nail fungic infection one year prior, progressing with the subjective sensation of spreading to the rest of the body. Consequently, she employed diverse topical and oral remedies without medical supervision. One month prior she got medical assessment in a different medical centre, being evaluated by Dermatology and Psychiatry, getting the diagnosis of delusional parasitosis despite a lack of a battery of tests. She is given treatment, with no adherence. She escalated into more aggresive compulsions of cleasing, resulting in excoriations and scaldings, with increasing difficulties to lead her life. We illustrate the relevance of close multidisciplinary cooperation and the use of an adequate battery of tests to rule out an organic cause. An early diagnosis is key, as a therapeutic alliance prevents the patients from isolation and the development of depression symptoms, or else, of self-harm. Identifying people at clinical high-risk (CHR) for psychosis facilitates the development of intervention strategies aimed to prevent the onset of a full-blown psychosis. There is evidence linking attachment adversity and poor mentalization to the risk for developing psychosis. In this study we aimed at: (1) investigating attachment patterns in a clinical sample of adolescent/young adult help-seekers and comparing the distribution of attachment patterns in CHR vs non-CHR subjects; (2) exploring the association between reflective functioning and subclinical psychotic symptoms; and (3) longitudinally examining the predictivity of attachment patterns, reflective functioning, and the interaction between them, with respect to transition to psychosis. 57 CHR outpatients were compared with 53 other outpatients who did not meet the high-risk criteria. A multi-method diagnostic assessment was implemented, including the Structured Interview for Prodromal Syndromes (SIPS). Adult Attachment Interview was also administered, and the transcripts were further assessed using the Reflective Functioning (RF) Scale. Participants were followed-up over a mean period of 14 months. CHR status was negatively associated to secure attachment patterns and positively associated to dismissing attachment patterns (χ2= 6.98, p = 0.03). The RF scores were significantly lower in the CHR sample (t=3.99; p<.001) and significant correlations between RF and SIPS subscales were found. Moreover, we found a significant effect of RF on the probability of transit in psychosis (β=.75, p=.03; OR=.473, 95% CI: .242, .924). Our results suggest that attachment-informed and mentalization-based psychotherapies may be effective preventive treatments for CHR patients. A program of First Episodes Psychosis has been implemented in Navarra To describe the baseline sociodemographic and clinical characteristics of patients attending the PEPsNa. We present the baseline results of the sample To date, 211 patients have been treated. Mean age: 29.9 years (SD: 10.5). Gender: 67.8% male. Ethnicity: 73% Caucasian, 15.2% Latin American, 5.7% African and 3.8% Arab. Marital status: 70% were single. Housing: 49.5% live with their parents or family. Employment and occupation: 42.7% of patients have a job or carry out standardised studies. 33.5% are long-term unemployed. DUP: The duration of untreated psychosis is 19.5 months (SD 46.9). The premorbid GAF score is 71.5 and the GAF score of the episode is 30.35. Referrals: 56.7% of patients are referred from the acute psychiatric hospitalization unit and a 30% from Mental Health Centres. Substance abuse: only 20% of patients do not consume any substance. The most consumed drugs are alcohol (75%), cannabis (57.8%) and stimulants (37%). Baseline diagnosis: brief psychotic disorder (42.9%), unspecified psychotic disorder (20%), schizophrenia (14.6%) and substance-induced psychotic disorder (11.7%). Psychopathology: CASH (global rating) for psychotic syndrome: 3.7 (SD 1.1); disorganised syndrome: 2.2 (SD 1.5); negative syndrome: 1.2 (SD 1.3). Treatment: 15.5% of patients received no antipsychotic treatment. The most frequent antipsychotic is risperidone (40.8%). Basal metabolic syndrome: 4% of patients meet criteria. We highlight data such as a short dup that may be related early intervention, substance use is very frequent and Metabolic Syndrome is present from the beginning of the disease Childhood trauma is the main non-hereditary factor that has proved a strong link to schizophrenia development in adulthood. All kinds of interpersonal childhood trauma have been linked to psychosis. Young age and poly-victimisation increase likelihood for trauma-related psychosis onset. 1) Describe childhood traumatic experiences of patients with schizophrenia, 2) Assess relationship between trauma and suicidal history in these patients. Retrospective study including adult patients diagnosed with schizophrenia spectrum disorders. Childhood trauma was assessed with the Childhood Trauma Questionnaire (CTQ-SF), which includes 28 items grouped into 5 specific factors (physical, emotional and sexual abuse, physical and emotional neglect). Forty-five patients (55.5% men, mean age: 41.1 years) were included. 77.8% had experienced childhood trauma, with no significant gender differences (48.9% emotional abuse, 28.9% physical abuse, 40.0% sexual abuse, 55.6% emotional neglect, 46.7% physical neglect). 31.1% reported severe poly-victimisation (≥4 types of trauma). Childhood trauma was significantly related with lifetime suicidal history for patients with any sort of abuse (p=0.001), emotional abuse (p=0.017) and physical neglect (p=0.028). Likelihood of suicidal behaviour was doubled in patients who had been sexually abused during childhood (p=0.063). More than 3/4 of schizophrenia spectrum patients were abused during childhood and 3 out of 10 patients suffered from more than 3 types of abuse. Childhood trauma is a risk factor for lifetime suicidal behaviour. Systematic inquiry on childhood abuse in these patients is recommended. Cognitive impairment is a key feature in patients with psychotic disorders. The Montreal Cognitive Assessment (MoCA) is a brief tool that has been shown to be effective in identifying mild cognitive impairment and early dementia. This study explores the usefulness of this instrument to detect cognitive impairment in long-term psychotic disorders. One hundred-forty stabilized patients were re-evaluated more than 15 years after a First Episode of Psychosis (FEP). Patients were psychopathologically assessed, and the MoCA test and Measurement and Treatment Research to Improve Cognition in Schizophrenia (MATRICS) battery were administered. Two cut-off scores for cognitive impairment using the MATRICS battery were applied (T score <40 and <30). Concurrent validation was found between the total scores of the MoCA and MATRICS. We also found significant associations between 5 out of 7 MoCA subtests (visuospatial-executive, attention, language, abstraction and delayed recall) and MATRICS subtests but not for the naming and orientation MoCA subtests. Receiver operating characteristic (ROC) analysis suggested a <25 cut-off for cognitive impairment instead of the original <26. Our results suggest that the MoCA test is a useful screening instrument for assessing cognitive impairment in psychotic patients and has some advantages over other available instruments, such as its ease-of-use and short administration time. Cognitive impairments in psychotic disorders have been reported as a continuum in severity, from schizophrenia spectrum disorders (more severe) to affective disorders (less severe) (Hill et al 2013). However, findings to date have been inconsistent (Reichenberg et al 2019). To establish the cognitive profiles in the MATRICS Consensus Cognitive Battery (MCCB) of a sample of patients with psychotic disorders, according to their diagnosis. 172 outpatients with psychosis were assessed with the MCCB. Patients were grouped considering their diagnosis: Schizophrenia spectrum disorders (SSD, n=69); Affective disorders (AD, n=46), Schizoaffective disorders (SAD, n=39), Other psychoses(OP, n=18), including patients with one or more psychotic episodes in the past which remitted and do not meet diagnostic criteria for a current psychotic disorder. Patients with SSD showed worse performance on attention, verbal and visual learning, and combined score of the MCCB, with respect to the OP group. They also underperformed AD group in verbal learning and social cognition. AD patients showed worse performance than OP patients in processing speed and visual learning tasks. SAD patient only showed significant differences in attention scores, with respect to OP patients (Table 1, Fig. 1). SSD patients showed the most severe cognitive impairment with respect to OP patients. These results suggest a similar profile of impairment in SSD, SAD and AD, and significant differences in severity regarding OP patients. OP patients as a group showed average performance in all the cognitive functions explored. Network analysis represents a promising approach to study the relationships between Clinical and cognitive variables in psychiatric disorders. However, only one study to date has studied cognition in patients with psychosis using network analysis (Chang et al 2019). To examine the relationships between a set of neuropsychological variables using the network analysis in a sample of patients with first episode psychosis (FEP) 266 patients with a FEP were assessed with a set of neuropsychological tests, including measures of premorbid IQ, attention, working memory, verbal memory, processing speed, executive functions and social cognition. Network analysis was applied using the qgraph package of R-Studio software, to obtain the relationships among cognitive scores controlling for the influence of all the other variables in the network. The interrelations between the nodes in the cognitive network of this sample of patients with FEP showed a strong association between the measures of each neuropsychological test. Cognitive domains established a priori were validated by the network only in those measures that belonged to the same test (verbal memory and social cognition). However, measures corresponding to processing speed and executive function showed different interconnection patterns, according to the tests and not to the cognitive domains. The network shows strong relationships between the variables of each test. However, the strength of some of the connections do not correspond with ‘a priori’ cognitive domains when different tests are involved. Further research is needed to ascertain whether this structure is replicated. Negative symptoms are a core feature of schizophrenia. The CAINS (Clinical Assessment Interview for Negative Symptoms) is an empirically-developed “second generation” scale for the assessment of negative symptoms. We examined the psychometric properties of the CAINS scale and their comparative value regarding the Scale for the Assessment of Negative Symptoms (SANS) for predicting psychosocial outcome A total of 98 consecutive admissions with schizophrenia spectrum psychosis were administered the SANS at admission and discharge times, and the CAINS at discharge time. The Global Assessment of Functioning (GAF) and World Health Organization Disability Assessment Schedule (WHODAS) were used for the assessment of psychosocial functioning. The CAINS motivation/pleasure and expression subscales correlated significantly with all of the SANS subscales, both for admission and discharge, with the exception of attention. The CAINS motivation/pleasure score was significantly associated with other psychopathological dimensions at discharge, such as positive, disorganized and illness unawareness dimensions but inversely with mania dimension. And the CAINS expression subscale was only inversely and significantly associated with mania dimension at admission. Factor analysis of CAINS items revealed a two-dimensional structure that explained the 81.62% of the variance. Both CAINS and SANS subscales were strongly associated with WHODAS and GAF psychosocial functioning scores. These findings suggest that the CAINS Spanish version is a valid tool for measuring negative symptoms in schizophrenia. And despite both high scores on both CAINS and SANS scales showed significant associations with poor functioning, it seems that the associations of CAINS scores were less strong than those of SANS scale. Gender differences have an impact on the course of schizophrenia. Earlier age of onset, worse premorbid functioning, more severe negative symptoms and cognitive impairment are reported in males and might be associated with poor functioning. Within the Italian Network for Research on Psychoses, we investigated, in a sample of 280 females (F) and 641 males (M) with chronic schizophrenia, the frequency of negative symptoms and their impact on real-life functioning, controlling for the major causes of secondary negative symptoms and neurocognitive impairment. BNSS assessed negative symptom domains: anhedonia, asociality, avolition, blunted affect and alogia. Linear regression analyses investigated the predictors of real-life functioning domains (assessed with the SLOF): interpersonal relationships (IR), everyday life activities (AC) and work skills (WS). Depression, parkinsonism, positive and disorganization dimensions, neurocognitive composite score and BNSS domains were used as independent variables. M showed a greater impairment in functioning and higher frequency of negative symptoms than F. Impairment in IR was predicted by asociality, alogia and disorganization in M; by asociality, positive dimension and anhedonia in F. In M, deficit in AC was predicted by disorganization, alogia, neurocognitive impairment, avolition and positive dimension. In F, disorganization and neurocognitive impairment predicted the deficit in AC. WS deficit was predicted by disorganization, neurocognitive impairment, anhedonia, positive dimension and parkinsonism in M; by disorganization, avolition and neurocognitive impairment in F. Our results support the higher frequency of negative symptoms in M and demonstrate gender-related differences in factors associated with poor functioning, suggesting the importance of individualized gender-specific rehabilitation programs. The degree of acceptance of long-term injectable medication is still controversial. Could this trend change as patients know the existence of a quarterly formulation? The present study attempts to test whether the introduction of injectable PILP injection medication on a quarterly basis implies a change in acceptance and attitudes toward injectable medication. It is a descriptive study that collects data from patients with an initial negative attitude towards an injectable treatment and who changes when they know the existence of a quarterly formulation. In our study we used the ICD scale (N = 50), finding a difference mayor of 3 positive points when starting treatment with quarterly PILP suggests a good predisposition and a change of attitude of the patients when knowing the existence of a quarterly injectable formulation Acceptance of treatment by the patient is of great importance as an integral part of their recovery process. Limitations: - Scarce total number of cases and need for validation with more detailed scales - Need a longer study since it is done in an outpatient setting Strengths: - Reflects the \"real\" attitude of patients with regard to injectable medication - Allows the patient to make decisions regarding their treatment In this study, we observed that the treatment with quarterly PILP is a benefit for the patient perceived by the patient, with a more adequate attitude and a better acceptance of an injectable treatment, which leads to a substantial improvement in their quality of life and the prognosis of her illness Hyperprolactinemia is a frequent but neglected adverse effect observed in patients treated with antipsychotic-drugs. The prevalence of hyperprolactinemia among psychiatric patients receiving antipsychotic medications was estimated to be between 30% and 70%. An English study showed that 18% of men and 47% of women treated with antipsychotics for severe mental illness had a prolactin level above the normal range (Besnard et al. 2014). Hyperprolactinemia is in fact more frequent in women than in men. Sometimes it is asymptomatic, but the higher the prolactin level is, the more patients have clinical manifestations. The sample consisted of 119 consecutively acute admitted women, aged 18 to 45 years with recurrent schizophrenia diagnosed on bases of DSM-5 criteria. Assessment for all the enrolled subjects comprised a psychiatric evaluation and blood draw to determine the prolactin level. Hyperprolactinemia was defined as a level of prolactin above the upper limit of normal (>23.00 μg/L for females). Hyperprolactinemia was detected in 74.79% patients (n=89), whereas the group without hyperprolactinemia comprised 25.21% of the sample. The percentage of hyperprolactinemia of 74,79% in this study can be attributed to the fact that the sample consisted of women with recurrent schizophrenia who were receiving antipsychotic medication for a period of time. Our findings may support a possible role of hyperprolactinemia in recurrent episodes of schizophrenia in female patients (taking into account the total number of subjects with elevated prolactin levels), but further research is required to confirm these results. Facing extreme life experiences can impoverish the ability to narrate experience and self. Descriptive psychiatry’s model of psychoeducation focusing insight in psychosis may fail its purpose and threaten the already damaged patient’s identity. Through the process of accepting illness, a value-bearing individual can end up being considered dysfunctional and worthless and experience guilt, shame, hopelessness, demoralization and helplessness. Elseway, denying illness would be considered proof of anosognosia. Both situations may lead to illness narratives introjection, agency loss, own beliefs and competency mistrust and stagnation. The aim is to show narrative therapy as an advantageous complement or alternative to objective psychiatry psychoeducation in psychosis clinical practice. Reintegrate one’s life narratives and retrieve recovery agency is one of the most powerful, adaptative and healing a person can accomplish. Narrative model encourages the patient to build and tell coherent and desirable stories in which recovery is promoted, from a personal point of view, and validates these. A non-pathologizing speech, normalization, externalization, empathy, respect and kindness are recomended. It is fostered to embrace different truths and alternative versions of self, promoting dialogue and cooperation between selves to dynamize identity narratives and allow choosing a preferred self in each situation. Exploiting personal resources is encouraged. The person feels reauthorized in the direction of life and recovery, starts narrating personal life stories and recover the possibility of social interaction. Through recovery process, the person regain an integrated sense of identity, separated from illness and develop an author-narrator-protagonist role in his own life story and the recovery process. Narrative therapy in psychotic patients shows recovery as an adaptative process: the personal recovery journey. Myths have always brought cultural and institutional cohesion and bind all human beings in any era or country. Hero’s Journey is a myth that appeals to any person who faces life challenges. The hero is an example of courage, strength, and resilience who resist setbacks and obstacles and in doing so experiences an identity transformation. The victory of the heroine is the victory of all mankind. When he returns from the journey he shares knowledge with the rest of the inhabitants of the \"ordinary world\". In Myth, this knowledge transcends intrahistory, and becomes part of popular culture outside the tale. The aim of this work is to adapt Hero’s Journey scheme to narrative psychotherapy in psychosis. The person is invited to his own-Hero’s Journey and encouraged to try identities and coping strategies through narrative approach, methaphors and hope speech that normalizes recovery. The therapist doesn’t show the way but motivates the individual to undertake a journey towards well-being and develop his potential overcoming difficulties along the way. The journey teaches that challenges can be embraced and profitable. Narrative processing systems steered and blocked by illness are now dynamized, promoting desirable identity narratives and integrating them in one’s self. Recovery journey is an adaptation, growth and self-rediscovery journey whose goal is individual fulfillment and wellbeing. The “psychotic” person puts himself into a position to start high personal value trips and to become the author-narrator-hero of his life story. Studies have shown that up to 40% with a diagnose of schizophrenia have hearing hallucinations after optimal pharmacological treatment. Experience shows that patients who hear voices can develop and improve their relationship with the voices and manage his voices in a better way. We wish to evaluate the Auditory vocal hallucination treatment. The hearing voices therapy is a supplement to existing treatment and is done with understanding and interpretation of the voices in order to reduce anxiety for the voices as well as to master and interpret the voices so that they become \"useful\" to the patient. The professional attitude is accommodating, non-confrontational and not requiring the patient to change relationship with his voices. Purpose of group treatment: To share the experience of hearing voices. To gain better acceptance and knowledge of hearing voices. To achieve better cooperation with their voices in an equal relationship. Learning to interpret their voices and break isolation. Measures: Auditory Vocal Hallucination Rating Scale (AVHRS). Sleep (Pittsburgh Sleep Quality Index). 21 patients participated. On average they scored high on AVHRS. The patients had very bad sleep quality. The women had a decrease in AVHRS (2.1; p= 0.03) after 1 years. The group treatment was acceptable for the patients and the study found positive outcomes for female sex. The study can be followed by a larger RCT. Nowadays, suicide and attempted suicide set up a major impact on individuals’ life; studies show that every year around 800.000 people die due to suicide. Needless to highlight the importance of identifying correctly the population at risk, even more when we discuss about psychiatric patients. One of the psychiatric disorders that goes hand in hand with high mortality through suicide is schizophrenia. The following presentation case reveals the situation of a 26 years old subject, Caucasian male, intellectual, without any somatic or psychiatric records, who came to the emergency room after an attempted suicide by defenestration. As time went on, the patient’s evolution was towards schizophrenia. Among other risk factors, on long-term, suicide attempts may be consider a significant agent for the development of schizophrenia. Therefore, a patient with suicide attempt/s must be carefully evaluated, counseled, observed and treated for a long period of time, as this event/s opens the door for various mental illnesses (including schizophrenia). Patients with serious mental illness (SMI) reduced life expectancy by up to 20 years. Smoking is the main preventable risk factor in relation to reducing mortality. Developing new tools to motivate patients towards cessation of smoking is a priority. The objective is to evaluate the effectiveness to quit smoking of an intensive antitobacco intervention on lung damage and possibilities of prevention in patients with schizophrenia or bipolar disorder to quit smoking. It is a 12-month follow-up, multicenter study to evaluate an intensive motivational tool based on the individual risk of pulmonary damage and prevention opportunities. A minimum of 204 smokers will be included, aged over 40 years old, all of whom are patients diagnosed with either schizophrenia or bipolar disorder (BD). Chronic obstructive pulmonary disease (COPD) will be evaluated using spirometry, and the diagnosis will then be validated by a pneumologist and the lung age estimated. Based on this value, a motivational message about prevention will be issued for the intervention group, which will be reinforced by individualized text messages over a period of 3 months. 231 subjets were screening but only 160 signed the consent to participated and completed the intervention. 100 completed the follow-up in the intervention group and 97 in the control group. In the context of community care, screening and early detection of lung damage could potentially be used, together with mobile technology, in order to produce a prevention message, which may provide patients with SMI with a better chance of quitting smoking. Patients with schizophrenia or bipolar disorder (BD) continue with tobacco rates similar to the general population were in the 50th. Antitobacco strategies were starting to use in different countries but not always was applied to serious mental illness (SMI). There are two forms to measure the motivation bases in the Prochaska and DiClemente Transtheoretical Model (TTM), the Stage of Change (SOC) or the continuous Readiness to Change (RTC). Evaluate the predictive capacity of the 2 indices for measuring motivation described in the TTM. SOC and RTC. 75 adult patients were included in a Multicomponent Smoking Cessation Program (9 months follow-up). At the end of the preparation stage, the patients completed the URICA Scale to measure the SOC and the RTC. Regression analyses were carried out to identify the predictors of the efficacy outcomes: reduction of at least 50% of the cigarettes per day or abstinence or reduction of the carbon monoxide. We find differences in the measurement of motivational levels independently, but this difference disappeared during the follow-up. In a linear mixed-effects model, the reduction of the CO was significatively associated with the reduction of the CO at the end of the active treatment and during the follow-up (b: -1.51; SD: 0.82; p<0.01). The level of RTC predicts the reduction of CO at the end of the active phase and at the end of the follow-up. So, clinical practice and research in SMI could consider using the continuous form to examine the level of motivation. Schizophrenia affects people’s well-being and participation in everyday activities through, among others, a mechanism of cognitive impairments. Cognitive remediation (CR) has promising evidence for its effectiveness among people with schizophrenia. However, its feasibility and effectiveness in inpatient settings are evasive. Virtual Reality (VR) technology provides a platform for CR in ecological environments and tasks having a potential to overcome previously reported limitations. Test the effectiveness of VR-based CR for improvement of cognition, functional capacity and participation in daily-life activities among inpatients with schizophrenia. Twenty-four inpatients (male: N=19, 79.2%; Age: M=33.8, SD=8.7) were enrolled into the pre-post designed study using convenience sampling. The participants completed 10 sessions of 20 minutes using the Functional Brain Trainer (Intendu©), a body-controlled, interactive adaptive tool for training of inhibition, response planning, working and reverse memory, shifting, self-initiation, persistence, and attention in functional tasks and environments. Evaluation procedure includes assessments of cognition, functional capacity, schizophrenia symptoms and dimensions of participation using standard tools. Improvement was found in visual-motor skills, processing speed and shifting (-2.44<Z<-2.89, p<.05), schizophrenia symptoms (positive, negative and general: -3.9<Z<-3.2 p<.001), functional capacity (Z=-3, p<.01) and participation diversity (t(22)= -2.9, p<.05). This preliminary study provides initial evidence for effectiveness and ecological validity of the short VR-based cognitive training in inpatient acute settings suggesting its contribution to daily-life reintegration after discharge and well-being of individuals with schizophrenia. Larger, controlled studies are needed to provide a clearer evidence of the effectiveness of this tool in these population. Negative symptoms in schizophrenia can persist despite remission of positive symptoms, and even during periods of clinical stability. It is known they can have great impact on normal functions. Currently approved atypical antipsychotics treatment have efficacy on positive symptoms, but they have still limited improvement on primary negative symptoms. The aim of the current paper is to provide an updated comprehensive perspective on the treatment of negative symptoms in psychosis. Literature review related to the topic Negative symptoms such as blunted affect, anhedonia, alogia or asociality can be categorized as primary negative symptoms, related to the onset of psychosis. We might consider that they can also be described in relation with others psychiatric symptoms, such as depression, and secondary to positive symptoms or side-effects of antipsychotic treatments and long term antipsychotic treatment side effects. Primary negative psychotic symptoms have been related to poor social and occupational functioning. They also commonly have great impact on patient´s daily life and decreases global recovery. There are some recent studies focus on new antipsychotic treatments, as well as some specific psychological interventions. Specific treatments for primary negative symptoms in psychosis are still limited. Early intervention and integral approach of primary negative symptoms could provide a significant improvement in patient recovery. Combined treatment, including antipsychotics drugs and psychological and psychosocial intervention might also be considered, although further studies would be necessary. Even though antipsychotic treatment is usually effective in suppressing psychotic symptoms there are about a 20% of cases which doesn’t respond to an otherwise adequate treatment even after prescribing clozapine, that is why it’s necessary to redefine some terms and reach a consensus about how to deal with these cases. The aim of this study is to analyze the different therapeutic alternatives and combinations available for the treatment of ultra-resistant schizophrenia We proceed to review the recent bibliography on this subject, with regard to the case of a 41 year old female diagnosed of Paranoid Schizophrenia since its first episode in 1998, followed by 8 more episodes that required hospitalization. While she has experimented clear improvement after each stance in the psychiatric ward the affection has evolved worse than expected even though she has had a correct compliance and adherence to every prescribed treatment. Psychopathologically the patient experimented intense psychotic symptoms including auditory hallucinations that had a strong impact on her and her physical state leading to a huge loss of weight after she stopped eating properly due to the voices contents, these symptoms kept evolving even after increasing the daily dose of clozapine. After maintaining the treatment with clozapine at higher doses and not seeing improvement, we finally achieved improvement by adding aripiprazole. Even though clozapine has proved to be an effective treatment there are some cases when it’s not enough and we need to rely on polytheraphy , being one of those aripiprazole. Erotomania is defined as a condition in which the patient believes that some celebrity or person of higher status is in love with her, and interprets his words and actions as unequivocal signs of love. The father of this concept, Clerambault, described erotomania as a clinical syndrome, with a chronic or transitory course, sometimes a premonitory syndrome or as an independent entity. Describe a case of a female patient with erotomanic delusions with no remission under therapy and to review the links between erotomania and other psychiatric disorders. Literature review and a case report. The databases Pubmed and Medline have been consulted and the most appropriate articles were examined. We report the case of a 70-year-old white woman diagnosed with having schizoaffective disorder for the previous 56 years. She had multiple hospitalizations, most of them with maniac symptoms associated with mystical, megalomaniac and erotomanic delusions. Clinical remissions were minimal, despite various treatment modalities, the patient remain entrapped by their erotomaniac delusions. Erotomania is described as a rare entity, usually listed under other syndromes and neglected in the recent literature. There are a few studies with schizoaffective and schizophrenic patients that conclude, like our case-report, that erotomanic delusions have a chronic course and are relatively refractory to treatment. However, there is still lack of systematic description, assessment and diagnosis and there is a need for further enhanced epidemiological study. Schizophrenia is a frequent and severe group of mental disorders without pathognomonic signs. Symptoms may include disfunctional perception, cognition, behavior. Individuals seek public health system referring their thoughts, feelings, acts are felt/ shared/ influenced by external forces. Humor accompany inertia, negativism, lethargy. Studies have shown symptoms occur firstly in patients younger than 25 years old. To assess the impact of schizophrenia with gender and ages most affected in public health system of Brazil. Assess patients by age and gender in Brazilian public system of health and expenses created due to schizophrenia. Data were collected and analyzed from SIH/SUS including all public health institutions in Brazilian states.  According to records in SIH/SUS database in 10 years, ages most affected by schizophrenia and correlations are 20–29 and 30–39. Total expenses were BRL2.104.780.862,51, approximately USD5.045.159,7. Results found agree with previous studies that most common age of onset was around 25 years. Schizophrenia and correlations are a concern for public health, because underdiagnosis increase the burden and create further expenses, along with discomfort for patients and families. Noonan síndrome (NS) is a relatively common genetic syndrome caused by mutations affecting a cellular signaling pathway known as the Ras-map kinase (RAS-MAPK) pathway, which is essential for the typical growth and development of multiple systems. NS is estimated to occur in approximately 1:100 to 1:2500 births. Clinically, NS is associated with cardiovascular abnormalities, growth and endocrine disorders, hematologic symptoms, as well as neuropsychological features including cognition, language, memory, attention, adaptive behaviour, social skills and anxiety. Most of these symtoms are associated with psycosis. To expose the importance of the higher incidence of psychosis in NS. This is a systematic review in UpToDate. Intellectual disabilities in children with NS are increased to the general population. Lower inteligence has shown to be a risk factor for attention difficulties. Also, it has shown that NS patients has slowed processing speed, which is linked to developmental and behavioral disorders. There have been found some differences in frontal lobe-subcortical circuitry, which is critical for working memory, response inhibitiom and cognitive flexibility. Anxiety and depression were present in almost three times greater tan de community. All these features added to the physical limitations, make it reasonable to expect higher rates of psychosis in these individuals, although studies that determine the extent to which they are increased are lacking. The review of the physical and neuropsychological features suggest that in NS there is an increased risk for anxiety, social cognition and adaptative behabiour, which could increase the risk of psychotic symptoms. Schizophrenia is a severe mental disorder leading to patients’ functional deterioration, compromising their daily life. Investigate the potential impact that a long-acting injectable such as aripiprazole once-monthly (AOM) has in the course of schizophrenia by evaluating patients’ functionality and overall clinical outcome, in the psychiatric clinic of a general hospital in Greece. Five patients are included in the current report, two males and three females, 25 to 45 years old. CGI-S (Clinical Global Impression- Severity) and GAF (Global Assessment of Functioning) scales were evaluated at hospital admission, upon discharge and once monthly for a period of at least 6 months. Functional improvement was set as a treatment goal for these patients for the first time after diagnosis. CGI-S score at baseline was >5 and GAF score was ≥40. All five patients, previously stabilized with aripiprazole per os, responded to AOM 400 mg treatment and experienced improvement in daily functioning. Clinical improvement was observed in 6-8 months’ time with a reduction in the CGI-S score >1 point and functionality improvement was evident by almost doubling the GAF score, possibly increasing the expectations for better disease progression. More specifically, in 6 months’ time patients experienced “no more than slight impairment in social, occupational or school functioning”, a description based on the GAF score. Treatment with an atypical long-acting injectable antipsychotic such as AOM 400mg, improved the aforementioned patients’ functionality and overall treatment outcome in a real-life clinical setting. Synthetic catinones are We present a case report of psychotic symptoms resulting from mephedrone use. A 32-year-old male consults at the emergency department for psychotic symptoms present three days after consuming mephedrone. There is no prior psychiatric history. He refers occasional use of drugs for recreational purposes: cocaine, amphetamines, GHB, mephedrone. Although he has never consulted, he admits previous psychotic experiences, in the context of drug use, specifically by mephedrone. At the moment he reports threats and noises coming from his neighbours’ home for the last three days, describing fear for his safety. He also presents insomnia and hyporexia. He confirms mephedrone use, in the context of chemsex. Drug-induced psychotic disorder is diagnosed. Aripiprazole 5mg is indicated and the patient is referred for follow-up. Chemsex is a psychosocial phenomenon growing in Spain, involving the use of psychoactive substances to seek pleasant sensations and facilitate certain sexual practices. Mephedrone is one of the drugs used, and can lead to psychotic symptomatology. Anti–N-methyl-D-aspartate receptor encephalitis is an autoimmune syndrome that presents with complex neurologic symptoms, like memory deficits, alterations in level of consciousness, seizures, abnormal movements, as well as psychiatric manifestations. Patients can develop psychotic symptoms, anxiety, agitation or bizarre behavior. Occasionally, psychiatric manifestations are the most prominent symptoms, and clinicians may initially suspect psychiatric illness, resulting in an inaccurate diagnostic approach and delay in correct treatment. We here present a case of a young woman admitted in the Psychiatry ward for acute onset psychotic symptoms, suspecting a psychotic or dissociative disorder. A 28 year-old-woman is brought to the Emergency department presenting with agitation, hallucinations, disorganized speech, delusions and insomnia. She has a history of a mixed anxiety disorder that had been treated with SSRIs and benzodiazepines. At the moment she was not taking any psychiatric medications. Initially, she was treated with antipsychotic drugs and benzodiazepines, resulting in rapid remission of the psychotic symptoms. She presented excessive drowsiness, this believed secondary to treatment. Moreover, cognitive alterations displayed: short-term memory deficits, errors in nomination and repetition, semantic paraphasias, echolalia and bradypsychia. Brain MRI found no remarkable alterations. Electroencephalogram was normal. Analisys of cerebrospinal fluid finds anti–N-methyl-D-aspartate antibodies in 1:16 proportion. Anti-NMDAR Encephalitis is diagnosed. Patient is transferred to the Neurology ward and starts immunotherapy. Further studies are carried out for the detection of teratoma. For patients presenting psychotic or other psychiatric symptoms associating cognitive or memory alterations, anti–N-methyl-D-aspartate receptor encephalitis should be considered in the differential diagnosis. There are few studies comparing samples of schizophrenic and delusional patients hospitalized for first time in their life. - Determine the prevalence of both diseases in a sample of first-time hospitalized patients. - Determine the differences between the two groups comparing multiple variables collected during their first hospitalization. We selected all patients who were first-time hospitalized in our psychiatric unit between 1996 and 2018 and diagnosed according to DSM-IV with Schizophrenia or Delusional Disorder. Through the SPSS program we compared different Clinical and sociodemographic variables collected during basal hospitalization between diagnostic groups. 117 patients were diagnosed with Schizophrenia and 107 with Delusional Disorder, representing 4.9% and 4.5% of the total number (2370) of first-time hospitalized patients. The variables that significantly differentiated delusional patients were: female gender (53% vs. 22% , P<0.000), higher age (average of 56 vs. 38, P<0.00), more involuntary admissions (26% vs 11% , P<0.005), more organic comorbidity (49% vs 24%, P<0.000), shorter duration of illness (10% more 20 years vs 27%, P<0.004), less antecedents of previous cannabis use (15% vs. 35% P<0.002). After a logistic regression analysis, higher age, more percentage of involuntary admission and shorter duration of illness remained significantly associated with Delusional Disorder. - Schizophrenics and delusional patients represent 4.9% and 4.5% respectively of all first-time hospitalized patients. - Delusional patients are significantly older, have a significantly shorter duration of illness and are involuntarily hospitalized in a larger percentage than schizophrenics. Impairment in different social cognition domains has been found across different phases of schizophrenia spectrum disorders. There is growing evidence showing that they are linked with worse functional outcomes, which raises the question whether they remain stable over time. To date, few studies have tried to establish a comparison between social cognition performance in early and chronic psychosis and mixed findings have arised The aim of the current study is to compare social cognition performance between samples of early and chronic psychosis. Data from 81 patients: 53 chronic (>5y) psychotic patients and 28 early psychosis (<5y) was collected. Patients were assessed on different Social Cognition tasks: Reading the mind in the eyes test (RMET), Ambiguous Intentions Hostility Questionnaire (AIHQ) and Hinting Task Test (HT). Compared with chronic SSD patients, Early Psychosis group had better performance on some social cognition tasks: HT, Mean Difference (MD): -1,593 CI 95% -2,551 to -0,634 p:0.02; and RMET MD: -3,142 CI95% -5.490 to -0,794 p:0.01. Although no differences were found on global AIHQ performance, Early Psychosis patients tended to display more aggression attributions (AIHQ-AB MD: -,24080 CI95% -,474 to -,007 p: 0,044), and Chronic SSD patients more hostility attributions (AIHQ-HB MD: 0,303 CI95% 0,002 to 0,603) Social Cognition decline in psychotic population is a largely unexplored field, although it can be an important factor explaining functional decline in patients not attending psychosocial treatments focusing on this field. Clinical significance of the results and limitations of the study are discussed. Sturge-Weber syndrome (SWS) is a rare congenital neurocutaneous disorder characterized by facial capillary malformations and / or ipsilateral cerebral and ocular vascular malformations, which give rise to varying degrees of ocular and neurological abnormalities. Prevalence at birth in Europe is estimated at around 1 / 20,000 and 1 / 50,000. Cerebral vascular malformations are also present. Babies usually have leptomeningeal angiomatosis in the first year of life, responsible for the existence of complex focal or partial epileptic seizures, early manual laterality and preferences in the direction of the gaze. With the progression of the disease, and depending on the severity of the seizures, patients may develop hemiparesis, hemiplegia and varying degrees of intellectual disability. The objective of this communication is to present an unusual and unusual case of Sturge Weber Sindrme with psychotic symptoms with behavioral disorders. Description and analysis of the clinical case and review of the state of the art. A 45-year-old patient diagnosed with Sturge-Weber syndrome (encephalotrigeminal angiomatosis). In 2019, it begins with a delusional idea of damage by livestock farm employees, generating multiple conflicts with them. He disappears from his city and the police place him in France, he suffers an epileptic crisis after leaving the treatment and the family locates him in the immediate vicinity of the hospital, after which he is transferred to Spain to enter his reference hospital in the area of psychiatry The patient is treated with amisulpride and antiepileptic drugs, improving behavior and the delusional idea of harm. Carboplatin-liposomal doxorubicin is a widely used chemotherapy combination against ovarian cancer. Very few cases of new-onset psychosis have been reported during treatment with platinum-containing antineoplastic drugs. Anxiety, depression and insomnia have been reported with doxorubicin; but there are no reports of acute psychosis so far. The aim is to expose a clinical case in order to provide further evidence on this topic. We present a 67-year-old woman without previous psychiatric history, diagnosed with ovarian high-grade serous carcinoma stage IIIB. She received three cycles of carboplatin-paclitaxel, which was later changed to carboplatin-liposomal doxorubicin due to peripheral neurotoxicity associated to paclitaxel. Behavioural disturbances, persecutory delusions, insomnia and aggressiveness appeared two weeks after receiving the second cycle of the new antineoplastic combination. She was hospitalized and assessed for organic etiologies, although no evidence of metastasis in Central Nervous System was found. She was diagnosed with brief psychotic disorder and started on paliperidone up to 12 mg per day and quetiapine 50 mg per day. The following days she recovered to her basal mental state and one week after she was discharged. No psychotic relapse occurred after two more cycles of chemotherapy. This case reports the possible association between chemotherapy and the development of a psychotic episode. The timing of symptomatology onset suggests doxorubicin was responsible for the psychiatric complication. Behavioural disturbances in patients receiving chemotherapy should lead to psychiatric evaluation, as long as organic pathology has been discarded. Psychotic disorders in childhood and early adolescence often progress to more serious illness, but in many instances, there are underlying diagnosable medical causes. Careful clinical examinations are warranted to detect any signs of a possibly treatable disease. To report a case of a 14-year-old male with behavioural changes. Case report based on clinical records. Brief literature review. A 14-year-old male was first evaluated in an outpatient clinic. 5 months earlier, he began presenting slight behavioural changes, mainly disinhibition, with increasing severity, alongside parasomnias (agitation, repetitive incoherent speech and subsequent amnesia). By the time he was evaluated, psychomotor restlessness and disinhibition was marked. He also presented pressured speech with loose associations and some speech perseverance. No delusional content was detected. There was a significant impact in the familial and school domains. A diagnosis of probable hypomanic episode was prompted and the patient derived to a specialized program. Blood workup, serum and cerebrospinal fluid autoimmunity study, MRI and electroencephalogram wielded no relevant results. He showed limited response to olanzapine. Aripiprazole wielded better behavioural response and valproate add-on led to added benefit, although incomplete. Later, a polysomnography revealed right temporal dysfunction with very frequent epileptiform activity and occasional left temporal activity. Eslicarbazepine was added with remission of parasomnia episodes and behavioural improvement. This case highlights the importance of thorough diagnostic workup when dealing with manic/psychotic symptoms in very young patients. Considering a possible underlying structural substratum is paramount as it may affect the treatment and the prognosis. Based on the work carried out with more than a hundred and fifty patients who have participated in the Art Therapy activity at the Puerta de Hierro Majadahonda Psychiatric Day Hospital since 2002, and the analysis of its expressive and communicative processes, a paradigmatic case has been selected. To identify which characteristics of verbal language hinder its expressive and communicative function in schizophrenic patients, and determine what the differential contribution of artistic language could be. Analysis of the art therapy process of a 55-year old male, diagnosed with schizophrenia since the age of 24, with persecutory delusions and sensoperception alterations, whose most dysfunctional symptomatology was a disorganized, prolix, circumstantial verbal language that did not allow him to communicate. This frustrated him as well as the rest of the patients and therapists. The differences between the way of constructing the verbal and de artistic language are analyzed. The written logical verbal language recorded over a year of treatment in the HDP does not present relevant changes in terms of its expressive and/or communicative functionality. The discourse developed from the plastic language is perceived by the patient as egosyntonic, endowed with meaning and effective in terms of social connectivity. Opposed to the continued dysfunctionality of written verbal logical language as and expressive and communicative route, plastic language can facilitate the construction of a structured narrative that is meaningful to the patient and comprehensible to his or her environment. Corticosteroids are commonly used to treat collagen tissue diseases. However,they are associated with various neuropsychiatric disorders including depression,hypomania and mania,frank psychosis, delirium and etc. In the literature, there are many case reports about corticosteroid-induced psychosis when high doses have been used. Our aim is to present a case of psychotic exacerbation occurring at a low dose of corticosteroids with delusional disorder, in contrast with the literature. History: Mr. O.A. is a 64 year-old patient diagnosed with delusional disorder, who was admitted to our inpatient service in 2019 due to a three month history of delusions of reference, persecutory delusions and delusions of passivity and delusional misinterpretation. His history revealed that he was diagnosed with delusional disorder in 2013, was presented with delusion of jealousy and agitation. During this period, he also experienced a worsening of his psoriatic arthropathy and the immunologist therefore increased his prednisolone dose from 5mg to 10mg daily. The delusions of reference, persecutory delusions and delusions of passivity then resurfaced after this medication increase. Discussion: To date, many studies have discussed the link between corticosteroids and neuropsychiatric disorders. There is no agreed cut-off dose for corticosteroid treatment for patients with psychiatric diagnoses, nor any information about the effect of delusion’s types. In our case, symptoms added after increasing corticosteroid dose to 10mg totally disappered after decreasing prednisolone dose to 5mg again. Corticosteroid is an important and effective treatment for collagen tissue diseases. However, corticosteroids cause many psychiatric disorders or symptoms. There is no recognised cut-off limit for corticosteroid therapy when is administered to a patient with a psychiatric disorder. Further research and attention in this area are required. Meningioma is a slow-growing benign tumor arising from meninges, usually asymptomatic. Meningiomas may be primarily present with mood disorders, psychosis, memory disturbances, personality changes, anxiety or anorexia nervosa, but frequently it presented with neurologic signs due to mass effect. Prevalence rates for meningiomas are variable and range from 50.4/100,000 to 70.7/100,000. Female incidence is about three-fold the male incidence, with the largest difference observed between 30 and 59 years. Although there may be an association between some tumor locations and psychiatric symptoms, it is difficult to predict the symptoms based on the location or vice versa. Show the importance of complementary test due to discard organic anomalies that could justify symptomatology. A 53 years old single woman with no history of psychiatric disorder or drug abuse. The patient came to urgencies with his family due to behavior disorder, anxiety and insomnia in the last month. In the examination presents disorganized behavior with rituals, and thoughts abnormalities, including though blocking and irrational laughers inconsistent with the mood. Strange speech behaving suspiciously and hyperalert. Hyporexia and weight loss of 10kg Blood tests, serologies, drug screening shows no abnormalities Craneal MRI: pineal/ tentorial border meningioma BDI: 9 IPDE: correlation to histrionic behavior We decide an involuntary hospitalization due to lack of diagnosis and patient unconsciousness of her mental condition. We initiate treatment with paliperidone 6mg/24h, lorazepam 1mg/8h and lormetazepam 2mg/24h. The posibility of cerebral tumours as the cause of developing first psychotic episode and the importance of cerebral scaner in middle ages. Sensibility to other people’s opinion about oneself varies from apathetic to hypersensitive states. As first described by Kretschmer, when the sensitive disposition is exaggerated occurring simultaneously with some endogenous and exogenous pathogenic factors, it may lead to sensitive delusions of reference. The sensitive character is defined as shy, hyper-emotive and sensitive individuals, with a tendency to self-criticism. Presentation of a scientific poster discussing a case of sensitive delusion of reference in a 40 years old male. Case report is presented. Bibliographic research conducted using the search engine Pubmed®. A 40 year old male with premorbid obsessive traits, seeks psychiatric help due to feelings of prejudice and people looking at him “strangely, specifically staring at his pubic region”. He also refers having the perception “people talking about him behind his back”. Characterwise, its an individual with anancastic personality traits, highly demanding with himself and very competitive. Diagnosis was initially complex, however later he revealed that symptoms started since he once used a penis enlargement device and felt that someone must have noticed it. The symptomatology of sensitive delusions of reference is the exaggerated effect of the sensitive character traits. This often starts after a traumatic event that reveals the subject own failure and/or humiliates him/her. Their ideas of reference, hypochondriacal fears and self accusations all lead to one central experience. The course of all sensitive delusions of reference is comparative benign although severer forms may take a course of several years. With the growing of global aging population, psychosis arising for the first time in older people is becoming more common. Presently, the diagnostic boxes on the subject of late onset psychosis remain controverse. As Bleuler once described “the science of late onset psychosis is the most obscure field of psychiatry”. The observation of psychotic symptoms in individuals over 60 years old with no psychiatric premorbility has suggested that late paraphrenia (LP) is nosologically different from schizophrenia. Recently, LP has been classified as very late-onset schizophrenia-like psychosis. Our goal is to present a scientific poster discussing a case of late onset psychosis in a 68 years old male and its diagnostic challenges. Case report. Bibliographic research was conducted using the search engine Pubmed® and the keywords: “Late onset psychosis”. A 68 years old male presented himself at the emergency service with persecutory delusions and hallucinations in the visual and auditory modalities. He had been hospitalized in the previous year for similar symptoms. However, the diagnosis became challenging as hospitalization progressed. This condition can be a form of presentation of late onset schizophrenia, or it may constitute a distinct condition. Late paraphrenia does share some similarities with schizophrenia, such as delusional beliefs and possible hallucinations (mostly auditory), but is distinguished by the well preserved personality and affect. It has been suggested that the older the patient the greater the similarities between LP and late onset schizophrenia in respect of neuropathology, treatment and prognosis. The negative symtoms and metabolic syndrom are a very frecuent phemomena with hard treatment. Find the differences in the improving of negative symtoms and the metabolic rates in patients with change of neuroleptic (oral to paliperidone palmitate injection). Observational longitudinal study during 18 months. We incluided all the patients with the diagnosis of schizophrenia, in which we done a change from oral neurolepic to Palmitate of Paliperidone and age of 18 years o more. We used SANSS and CGI-Scale for negative symtoms and metabolic rates (weight, IMC, Glucose, Colestherol, TG and prolactin) and abdominal perimeter. 40 patients was incluided. 60% are male. Average age 42.48 years. 22% has metabolic disease, 32% with axis IV disease and 28% with toxic sustances Average dosis of palmate of paliperidone 105 mg/28 days. The reason of change to injection was: No response 38% to oral neuroleptic treatment and side effects 28%. Rest patients wish. Metabolic rates improved: Less in weight, IMC, Glucose, Colestherol, TG and prolactin and abdominal perimeter. The SANSS scale improved, All of them were statadistical significative (p<0,05) and CGI scale results improved. The change from oral neuroleptic to palmitate of paliperidone improved metabolic rates and abdominal perimeter . Also improved SANSS and CGI Scale. The palmitate of paliperidone is useful in schizophrenic patients and with less incidence of metabolic side efects and improved of negative symptoms. Risperidone long-acting injection and Paliperidone Palmitate one month are value in the treatment of Schizophrenia. The assess the long term efficacy of Risperidone vs Paliperidone to preveting relapse. Risperidone long-acting injection and Paliperidone Palmitate are a valuable strategy for the treatment of the schizophrenia. More studies are necessary to assess the efectiveness to preventing relapse. 30 patients with diagnosis of schizophrenia was treated with Risperidone and 30 patients with diagnosis of schizophrenia with Palmitate of paliperidone. We Follow 30 months PANSS, PSMQ are performed at the begin and de end of study, We defined Relapse: Rehospitalization or 25% base lane PANSS. The 56,6 % patients with Risperidone long-acting injection no relapse and 83,3% with Paliperidone Palmitate. The 63,3 % patients with Risperidone long-acting injection are satisfied or very satisfied while 86,6% oatients with Paliperidone Palmitate are satisfied or very satisfied. Also his famly member. The improved of de CGI scale global patients with Risperidone long-acting injection was 2,8 points, and patients with Paliperidone Palmitate was 3,9. We observed higher percentage of relapse free in patients treated with Paliperidone Palmitate than treated with Risperidone long-acting injection. Patients treated with Paliperidone Palmitate apperars to have greter acceptance and in her family than patients treated with Risperidone long-acting injection. People who experience a trauma may react differently, such as depression, anxiety, agitation. In this case, patient was dismissed on charges of terrorism and reacted with childish behaviors. CASE: 42 years old male, married with three children; suspended on charges of terrorism. For this reason, he is introverted, rarely going out. He returned to work 5 months later, but he was restless, unhappy and felt excluded from the business environment. Two months after starting work, patient had high fever and 2-hour loss of consciousness following diarrhea without any organic pathology. His mental state examination revealed visual and auditory hallucinations and persecutory delusions. Preliminary diagnosis was hysterical psychosis. He started to walk and talk childishly; his age gets smaller and smaller. Sertraline (50 mg/daily), alprazolam (2*0.5 mg) was started. In the event of advancing regression like starting to crawling and fear of falling when walking; the dose of Sertraline doubled (100 mg/daily), per day. Four months after his discharge the idea that he was being followed lasts. He was still talking lispingly. Quetiapine(100 mg/daily), was added to the treatment. After 6 months his nightmares continue. Dissociative episodes are reduced but still last. The dose of Quetiapine is increased to 250 mg/daily. After 9 months, lispingly speech improved and functionality almost returned to normal. Psychoanalytic explanation: the desire to escape the pressures and responsibilities of adult life. In this case, it is interesting that the regression progresses to crawling. The diagnosis of adult baby syndrome is becoming increasingly worthy of discussion. Cognitive impairment has been found to be a more significant predictor of noncompliance than the severity of positive symptoms or attitude to treatment. Patients with the first episode of schizophrenia are characterized by high probability of exacerbations after the first attack, which is .associated with the ack of drug compliance. The purpose of this study was to explore the relationship betweens cognitive functioning and compliance characteristics in patients with the first episode of schizophrenia. 50 patients with the first episode of schizophrenia (F20.0 \"Paranoid schizophrenia\") in stable remission were . assessed by PANSS, BACS, DAI. Statistical analysis was performed in the R programming environment, version 3.6.1. The data obtained indicate that compliant patients have better indicators of auditory speech memory. In addition, patients with a satisfactory compliance, unlike non-compliant patients, have a higher level of motor skills, as well as higher speed of information processing and better planning. Executive functioning (Tower of London) had a statistically significant positive correlation with the degree of adherence to therapy (r=0,32, p=0,022). 88% of patients had neurocognitive impairment, 38% of which were characterized by low adherence to therapy. The severity of neurocognitive deficiency in certain areas, particularly planning, of cognitive functioning may be predictive in terms of the risk of violation of the treatment regimen and relapse of the disease. Among various neurobiological models of schizophrenia, much attention is paid to structure and microstructure disturbances in brain white matter. The aim of this study is to research the most important pyramid pathway of the brain responsible for impulse transduction during motion regulation - corticospinal tract (CST) - using method of diffusion tensor imaging (DTI). The study was done in accordance to the Code of Ethics of the World Medical Association (Declaration of Helsinki) for experiments involving humans. All participants signed an informed consent. 13 young (17 -27) male patients with schizophrenia (F20, ICD-10) and 15 mentally healthy age- and sex-matched subjects were analyzed. MRI data were obtained on Achieva 3.0T scanner (Philips) with DualQuasar gradient system and 8-channel radio-frequency receiver coil for the head. DT-images were acquired in the axial plane using echoplanar impulse sequence. Diffusion gradient were applied in 32 non-collinear directions. Functional anisotropy (FA) and diffusion coefficient (DC) were measured in the following parts of CST in left and right hemispheres: motor area, radiate crown, posterior limb of internal capsule, cerebral peduncle, pyramids of the medulla oblongata. A decrease in the coefficient of fractional anisotropy in the posterior limb of the internal capsule and an increase in diffusion coefficient in the radiate crown and motor cortex were observed. The results reflect different mechanisms of changes in water diffusion in various areas of the corticospinal tract: changes in nerve fiber microstructure in internal capsule (left hemisphere) and density decrease in motor cortex and radiate crown. Metabolic features of neuronal systems controlling movement are poorly studied in schizophrenia despite revealed motor disorders. Aim of this study was to analyze dynamics of motor cortex metabolism in norm and in early stage of schizophrenia in period of BOLD response to event related single stimulus. Patient group comprised 9 males aged from 16 to 28 years who met the criteria of schizophrenia (F20, ICD-10). Study was performed on Phillips Achieva 3.0 T MRI scanner. VOI in motor cortex was localized on the base of fMRI study (EPI FFE, TR = 3000 ms, TE = 30 ms). BOLD signal in both groups demonstrated maximum at the 6th s after target stimulus, however its value was reliably lover in schizophrenia in comparison with the control group.The only [NAA] in normal motor cortex was changed after the stimulation. In schizophrenia [NAA], [Cr] and [Cho] were constant. [NAA] in normal cortex statistically significantly decreased at the 12th s after stimulus presentation and returned to initial value at the 15th s. The reversible decrease of NAA observed for the norm in the study could provide a short-term activation of neuronal Krebs cycle through a synthesis of AcCoA using acetate obtained in ASPA reaction. Different behavior of [NAA] in the norm and schizophrenia might be related with a difference in location (or activity) of ASPA. Decreased expression of glutamate transporters in schizophrenia could also reduce consumption of NAA as a source of acetate in synthesis of AcCoA which is used for restoration of ATP. Cognitive remediation (CR) aims to improve social- or neuro-cognitive processes with the ultimate goal of enhancing functioning and recovery. However, sufficient intensity and consistency over a period of time is required to produce cognitive gains (Wykes & Spaulding 2011), while nonadherence is likely to minimize the effectiveness of CR (Dillon et al. 2016). Though integration of CR in rehabilitative settings is preferable and benefitious (Wykes et al. 2011), the outpatient setting and longer duration of treatment usually associated with this requirement is also prone for more non-adherence in schizophrenia patients. We aimed at investigating the feasibility of 6 months outpatient cognitive remediation in schizophrenia patient with respect to adherence and safety parameters. Attendance in treatment and assessment sessions, reasons for discontinuation, and safety parameters (suicidal crisis, rehospitalisation) are analysed in 2x90 patients with schizophrenia. Patients participate in ongoing RCT comparing social cognitive vs. neurocognitive remediation (ISST-study). Both CR-conditions comprise 18 sessions each within a treatment period of 6 months. Interim analysis in n=81 patients completing and n=29 patients discontinuing the treatment period so far revealed very high rates of attendance in treatment sessions in completers (94%) as well as in the entire sample including discontinuing patients (74%). Safety events were transient and occurred in total in only about 15% of patients during the treatment period. The results show that 6 months outpatient cognitive remediation is feasible, in general well received, and save for patients with schizophrenia. The findings of the previous study clearly indicated higher levels of subjective well-being among older age groups than younger ones, and females than males in Japanese adults (Shimai et al). However, little is known about these factors for people living with mental illness. This study aims to describe factors associated with subjective well-being in patients with endogenous psychosis in the psychiatric hospital and community, and especially the effect of age and gender. A comparative cross-sectional study was conducted with clinically stable persons diagnosed with endogenous psychosis. A convenience sample of 29 participants(15 participants: fifty years old and above, 14: under 50 years old) was drawn from the inpatients、the psychiatric day care and the sheltered workshop settings. They were evaluated by the Subjective Well-Being under Neuroleptic drug treatment Short form -Japanese Version (SWNS-J) as a specific well-being measure. The Japanese version of the Brief Psychiatric Rating Scale (BPRS) was used to assess symptom severity. Man-Whitney U test was used to analysis the differences between two groups. The SWNS-J score in participants of 50 years old and above was significantly higher, compared with that in participants under 50 years old (P<0.02). The largest correlations were obtained between the SWNS-J score and age, particularly in males (P<0.05). We conclude that these data of our report provide the valuable information for future research in mental health area, especially in the area of interventions to promote subjective well-being of people living with mental illness. Mounting evidence suggests strong relationship between emotion recognition impairments and limited social functioning (SF) in both Schizophrenia (SZ) and Alzheimer´s Disease (AD) patients. However, the specific profile of deficits may differ in both and are likely to have a relationship with the deficits observed in emotional recognition processes in both patient populations. This study aimed to investigate SF of these disorders and its influence on facial emotion recognition. Four groups were recruited: SZ (n = 57, 71.93% men; m = 30.72 years, sd = 6.34), AD (n = 46, 56.52% men; m = 68.83 years, sd = 7.05) and two age-matched control groups (CG1: n = 31, 58.06% men; m = 28.55 years, sd = 7.18; CG2: n = 28, 53.57% men; m = 67.07 years, sd = 7.03). Participants completed some scales on SF, loneliness and depression symptoms. Facial emotion recognition was assessed by the Facial Emotion Recognition Task (FERT), and general cognition by the Digit Symbol Substitution Test (DSST). As a result, SZ participants showed higher levels of loneliness and lower levels of social engagement (p < .01); than those from CG1. FERT performance was predicted by general cognition (all outcomes). Poor social engagement and interpersonal behaviour was related with worse accuracy to detect negative emotions. Finally, higher levels of loneliness were associated with lower misclassification of negative emotions. These results were independent of study group. Higher levels of social deficit insight in SZ patients and a systematic bias in negative facial emotion decoding could explained these results. This study reflects only the author’s views and empirical results. Neither the ’Innovative Medicines Initiative (IMI2 JU) nor EFPIA nor the European Commission are liable for any use that may be made of the information contained therein. The presence of negative symptoms in early psychosis is variable. However, its persistence has been associated with a worsening prognosis and impaired functionality. To determine the influence of negative symptoms on functional outcomes, in the early stages of psychosis. An observational study was designed on a sample of 41 outpatients, aged between 18 and 45 years, who had presented a first episode of psychosis, without a substance use disorder, during the last three years. A semi-structured interview collected the main sociodemographic characteristics and negative symptoms were explored using the Positive and Negative Syndromes Scale (PANSS). The Functioning Assessment Short Test (FAST) was applied, focusing on six areas (autonomy, occupational and cognitive functioning, financial issues, leisure) to quantify the functionality. Statistical analysis was performed using SPSS v21.0 (statistical significance p <0.05). The patient profile was a male (55%), with a mean age of 30.5 years (SD = 7.2), single (87.5%), student (47.5%), living in urban areas (82,5%) with the family (60%). The average age of psychotic debut stood at 25.8 years (SD = 6.9). Standardized PANSS-Negative scores were positively correlated significantly with the standardized results of FAST-Total (r= 0.385; p= 0.015) and FAST-Cognitive (r= 0.478; p= 0.002), respectively. Negative symptoms explained 12% of the variance of total functioning (R2= 0.115) and 20% of the variance of cognitive functioning (R2= 0.196; p= 0.005). The presence of negative symptoms in early stages of psychosis appears to increase the impairment of psychosocial functioning and cognition. Dysmorfofobia is a pathological discontent with one’s own appearance, which is most common at a young age. It can occur in relatively mild mental illness-depression, hypochondria, personality disorders, and schizophrenic spectrum disorders. At the same time, the nosological specificity of dysmorphophobia is noted. To study the clinical manifestations, dynamics and outcomes of dysmorphophobia syndrome in patients with schizophrenia. 115 patients (70 men and 45 women of young age) with the established diagnosis \"pseudoneurotic schizophrenia\" were examined. The pathological dissatisfaction with the appearance (syndrome of dysmorphophobia) was revealed in the clinical findings of the abovementioned patients. The Research Methods: clinical-and-psychopathological, catamnestic, psychometric, and statistical methods. The following features of dysmorphophobia in patients with schizophrenia were revealed: mostly delusional pathological dissatisfaction with appearance, dysmorphophobic ideas related to several parts of the body; actual physical disabilities of patients were ignored; delusions of reference and the relentless pursuit for the correction of physical disability and were expressed. Schizophrenia with dysmorphophobia syndrome occurs predominantly in low - and average progredience, accompanied by severe social exclusion, isolation, and loss of the ability to work. Dysmorphophobia in patients with schizophrenia is very difficult to treat. The publication was prepared with the support of the “RUDN University Program 5-100” In assessing a first psychotic episode it is necessary to discard possibilities of other underlying medical pathologies that may cause the psychiatric symptoms. To illustrate the warning signs that must be considered in the assessment of a first psychotic episode. We present the case of a 24-year-old male, without psychiatric history, treated in the emergency department for behavioral disturbances evolving over the course of 5 days. Auditory and visual hallucinations, echolalia, episodes of self-aggression and psychomotor agitation are described. Fever had been described for 3 days before the consultation. No analytical alterations are observed, nor in the imaging tests (Rx thorax, cranial CT). Lumbar puncture is normal. Serologies and drug test are negative. Empirical treatment is initiated with Aciclovir and Haloperidol. Subsequently, EEG and NMR are performed that are within normality. With this data it seems very unlikely to be infectious encephalitis, therefore treatment is suspended after 10 days. The patient evolves favorably without presenting any neurological deficit, being finally diagnosed with neurological functional disorder possibly reactive to systemic infection. The data that guide our patient towards secondary psychosis are: fever of unknown origin, fluctuations in symptomatology and state of consciousness, visual hallucinations and absence of personal or family psychiatric history. It is essential to conduct a regulated study of the patient prior to the first psychotic episode, by means of a complete history, a careful clinical examination, and regulated complementary tests. This is a 45 year old male with a diagnosis of delusional disorder with low adherence and poor response to treatments (last pimozide in infratherapeutic doses due to side effects) that is admitted due to high dysfunctionality during his daily day. No apparent deterioration since the beginning of follow-up. The aim of this case is to demonstrate the efficacy of prolonged-release paliperidone as a treatment of long-term poisoning delusion. case report and literature review The patient presents the idea of being poisoned through “pills” by neighbors and relatives. He perceives drug particles through wall moldings, dust motes, in toothpaste and in different foods being for a week without eating because of this reason. He presents bodily sensations such as headache and intense itching. Due to the characteristics of the ideas, he was diagnosed with delusional ideation, but in the last admission, he verbalized that the pills generate \"cerebral changes, noting that his frontal lobe softens so that more medication can get through”. After starting paliperidone injection, a progressive distancing of ideas is achieved, an improvement in anxiety, allowing him to interact with others without hyper-alert status. Diagnosis in the last admission: Paranoid schizophrenia Pimozide is an effective drug to treat tactile delusional ideas, although research lines are lacking. In this case, the \"bizarre\" of the ideas presented and their functional impairment led to the diagnosis of paranoid schizophrenia. Paliperidone injection is effective against this symptomatology, reducing side effects compared to oral, improving adherence. It is increasingly clear that cognitive deficits are an intrinsic part of both schizophrenia and epilepsy. To study and compare the main characteristics of the cognitive deficit that appears both in patients with schizophrenia and in those with epilepsy. We made a bibliographic review of the most relevant literature on this subject published over the last 5 years. Epilepsy: - Cognitive deficits can be seen in several domains, including learning, memory, attention and executive functioning. The most common one is memory impairment. - The etiology of seizures is the main factor in cognitive outcome. - Seizures in early life, regardless of etiology, can lead to cognitive impairment. Schizophrenia: - The most deficient cognitive functions are: attention, working memory, reasoning and problem solving, visual learning and social cognition. - The key areas that predict evolution are: memory, attention and executive function. - Executive function and memory are probably the most significant areas and are associated with the ability to function effectively in society. Cognitive deficits can be observed in all phases of both diseases, even before the onset of psychosis or epilepsy, and are relatively stable over time. Memory, attention and executive function are the areas of cognitive impairment in which schizophrenia and epilepsy seem to have more in common. The profile of cognitive impairment in schizophrenia like-psychosis (chronic interictal psychosis that is difficult to differentiate from schizophrenia) within epilepsy seems to be similar to that observed in schizophrenia, but less pronounced, suggesting that there is no nosological independence between them. Sensitive delusion of reference is a favourable evolution subgroup within delusional disorders that is most frequently observed in neurotic personalities that may develop psychotic symptoms (delusional ideation / interpretations) in the context of stressful situations. To present a theoretical and practical review about sensitive delusion of reference. We carry out a literature review about sensitive delusion of reference, accompanied by the clinical description of one patient with this diagnosis. 35 years old male referred to our outpatient mental health service with depressive symptoms (sadness, irritability, apathy, social withdrawal, psychomotor slowdown, cognitive failures) of several months evolution, occasionally accompanied by distrust, referential symptoms and delusional ideation. Anancastic and avoidant personality traits were appreciated. As previous personal psychiatric history it should be noted a psychogenic psychosis episode two years before. We initially established diagnosis of depressive episode and initiated treatment with duloxetine and aripiprazol. The symptoms described improved and antipsychotic treatment was gradually withdrawn with a recurrence of distrust, referential clinic and delusional interpretations, but without worsening of the depressive symptoms. Then we consider a primary psychotic disorder, not only the presence of psychotic symptoms in context of an affective disorder; due to symptomatology and personality traits observed we propose the diagnosis of sensitive delusion of reference. Months later antidepressant treatment is withdrawn, without worsening of the described clinic. We must propose sensitive delusion of reference in the differential diagnosis of psychotic disorders with predominance of delusion and referential symptoms in patients with neurotic traits. “Ultra-high risk for psychosis” (UHR) refers to subjects experiencing sub-threshold psychotic symptoms that can be regarded as a risk factor for developing schizophrenia. Although there is strong evidence regarding behavioral problems UHR subjects, studies of impulsivity in this population are scarce. Serious behavioral problems may be associated with impulsivity. Therefore, early intervention before psychosis develops is critical for relieving these adverse manifestations. The aim of this literature review was to update the mechanisms linking impulsivity and UHR, the Clinical and course features of these concomitant disorders, assessment of impulsivity and current therapeutic indications. We conducted this literature review through the pubmed website, using these keywords: impulsivity, UHR, early psychosis. Several models have been cited to explain the link between impulsivity and psychosis or prepsychotic states: impaired executive functions, neurobiological mechanisms, emotional dysregulation, genetic and environmental mechanisms. Some evidence suggests that high levels of impulsivity in UHR subjects are associated with a higher risk of psychotic transition. Impulsivity is a dynamic risk factor for some serious behavioral disorders (such as violence, substance use, and suicide) that may be targeted by specific therapeutic measures. Some cognitive, pharmacological, neuromodulatory and neurofeedback therapeutic approaches seem promising in the management of impulsivity in the early phases of psychosis. Impulsivity rates appear to be significantly higher among UHR subjects and to influence the course of these disorders, including the psychosis transition. The detection and early management of high impulsivity in UHR subjects is of great importance in reducing negative consequences on functioning, as well as serious behavioral consequences. Myocarditis is caused by multiple factors, including drugs. Antipsychotics are one of them that can cause it. We present the case of a patient who presents with myocarditis with clozapine treatment. The objective is to make a brief review of this side effect. 22 year old male with a previous diagnosis of schizophrenia. He presents a decompensation of his basic psychopathology with delusions and hallucinations. After trying three different types of antipsychotics, it is decided to start treatment with clozapine, reaching a maximum dose of 100 mg. On the third day of treatment, the patient presents an alteration in the EKG, as well as elevation of the troponin to 0.23 μg / L. He was diagnosed of myocarditis. For that reason, it is decided to withdraw the drug. Myocarditis caused by clozapine is around 0.7-3%. The mechanism of production is either by type 1 hypersensitivity reaction (mediated by IgE) or by direct damage, through muscle infiltration. It usually appears in the first six months of treatment, being more frequent in the first weeks of treatment. It is not clear whether it is a dose-dependent effect; however, it has been observed that the faster the dose increase the more risk there is of developing it. The treatment that can be fatal (about 33%) is the withdrawal of the cause. The endocannabinoid system has been linked to the etiopathogenesis of dual disorders in patients with schizophrenia The objective is to make a brief review in relation to a case of a patient with dual pathology. A 45-year-old female patient who, as a background of interest, had a psychotic episode in relation to cannabis use. The patient, from the age of 14, consumed, without any withdrawal period, up to 12 U day of cannabis. Progressively, for about two weeks, the patient began with delusional ideation of harm and auditory hallucinations centered on her neighbors. This symptomatology, after receiving antipsychotic treatment, yields after two weeks of admission. After this episode, the patient presents great affectation in the previous functionality, with affective flattening and alteration of the executive functions. Despite this, it maintains active cannabis use. The endocannabinoid system consists of two ligands and two receptors (CB1 and CB2). One of those ligands is the AEA that is a CB1 agonist and a CB2 partial agonist. Above all, it is located at the level of the prefrontal cortex, basal ganglia and hippocampus. It acts on the reward system, modulating the response to stress and memory. Dual pathology, is in close relationship with this system. On the one hand, in the schizophrenia the same regions where the endocannabinoid system is altered, there is an increase at peripheral level and in CSF of AEA and also the density of the CB1 and CB2 receptors are altered. Corticosteroids have seen their prescription expand in different medical disciplines. However, their therapeutic effects in multiple pathologies are obtained at the cost of equally varied side effects Psychiatric side effects secondary to corticoide have been described for a long time. To describe the cortico-induced psychiatric manifestations. A patient case is presented with associated literature review. Ms M.K aged 35 years old, without medical history, admitted to the gastroenterology department since 5 days to manage a first episode of hemorrhagic rectocolitis. M.K was treated with hydrocortisone hemisuccinate in high doses. At the 3rd day of treatment, M.K presented irritability, anxiety and insomnia, then auditory and visual hallucinations and delusions of persecution. The diagnosis of acute psychotic episode was retained. Thus, the patient was put on resperidone with a progressive degression of corticosteroids then a switch to 5 ASA. The treatment was well tolerated and allowed a rapid amendment of psychiatric symptomatology after one week. The antipsychotic was maintained in outpatient follow-up for six months. Informing health care teams, patients and their families about the possibility of psychiatric side effects related to corticosteroids would allow early detection and management and avoid the occurrence of serious disorders. Adherence to pharmacological treatment is essential for alleviation of psychotic symptoms in schizophrenia. Medication nonadherence is associated with an increased risk for relapse of psychosis, persistent symptoms, and suicide attempts. To understand how patients with schizophrenia adjust management of therapeutic regime to their daily lives and to identify the factors affecting medication compliance. A generic qualitative methodological approach was used. A total of twenty patients with schizophrenia were recruited from an acute psychiatric unit at a general hospital in Portugal. We conducted interviews based on a structured interview guide. Interviews were recorded, transcribed, codes generated and thematic analysis undertaken aided by NVivo. The mean age of the sample was 38.7 years (SD = 5.3 years; range 22–62). The sample distribution included 8 women and a roughly even distribution of individuals residing independently vs in board and care homes. Four categories of dimensions were identified: (a) individual factors, defined conceptually by dealing with stigma and self-management strategies, which include interruption of treatment, selective medication-taking and forgetting, (b) related to treatment, regarding side effects of medication, (c) social factors, conceptually defined by social and family support, (d) health system-related factors, including the nature of relationship between healthcare professionals and patients. Management of therapeutic regime is a complex and multidimensional process, determined by the intersection of several interrelated factors that together can improve or worse it. Regarding the patients, psycho-education can improve their knowledge, learn how to adapt with symptoms and develop behaviors that help them move toward recovery. Description of the clinical case. A 27-year-old woman with schizophrenia who has been requesting a long-term injectable treatment regimen for 6 months to improve compliance with treatment in which the relationship of attachment with her child is evaluated and the difficulties in parenting are monitored. First psychotic episode at age 19, since then in mental health with oral paliperidone treatment. Subsequently he has presented two psychotic episodes and the need for hospitalization. Diagnosis of schizophrenia. Good family support and stable partner. 6 months ago, he changed from oral treatment to long-term injectable with good tolerance. Psychopathology Exploration: Stability of the psychotic clinic, although it refers to episodes of anxiety and difficulty in handling emotions in response to your child’s demands. No current major psychotic or affective clinic. Complementary explorations. Detection of difficulties in the upbringing and evaluation of attachment ties is carried out. Schizophrenia. DSM5: 295.90; ICD10: F20.9 Evolution. It is detected at 2 months postpartum autorefferentiality, she refered to frequent forgetfulness of oral antipsychotic, so the Paliperidone Palmitate regimen is assessed. Over the next 6 months, clinical stabilization is achieved, mother-child attachment links improve, and it is included in the psychoeducation program. Discussion. The approach to schizophrenia at different stages of the life cycle is very important. In our case, the introduction of long-lasting injectable antipsychotic has facilitated the completion of treatment, allowing to jointly address comprehensive care towards the promotion of parenting and specific needs at this stage of the life cycle. The effects of long-term antipsychotic therapy on patients with schizophrenia should be assessed. Aripiprazole is an effective drug for the positive and negative symptoms of schizophrenia; it is well tolerated and has a low sedative potential. To assess the effectiveness, functionality and tolerability of Aripiprazole long-acting injectable (ALAI) in patients with stable schizophrenia The study sample involved 18 patients with stable schizophrenia (DSM 5 criteria) who started treatment with ALAI between January-December 2016. On a tri-monthly basis, the following evaluations were performed during a follow-up period of 33 months: Brief Psychiatric rating Scale (BPRS): Global Clinical Impression Scale (ICG-SI); Personal and social Performance (PSP) And Side effects reported The study was performed in accordance with the Declaration of Helsinki and all the participants provided written consent for participation. Student’s t-test and Chi-square test were used to assess differences between baseline evaluation and subsequent visits. Statistical analysis was performed with SPSS 22.0 Mean variations from baseline scores at 33 months were: (-3,65 ±3.14) on the BPRS, (-1.07± 0.82) on the ICG-SI and (10.21±5.67) on the PSP scale. The most frequent side effect with an incidence of 22% was transient mild insomnia. The rate of adherence to treatment with Aripiprazole long-acting injectable after 33 months was 55.6%. The percentage of patients on monotherapy increased from 39.6% baseline to 66.6% at the end of the study Aripiprazole long-acting injectable can be effective therapy for the treatment of patients with schizophrenia improves psychopathological symptoms, functionality and is well tolerated, In clinical practice conditions Paliperidone Palmitate 3-month formulation (PP3M) is a new formulation of the Palmitate salt ester of Paliperidone which provides an extended sustained release of Paliperidone. The principal aim of this study was to evaluate the effectiveness, safety and tolerability of the PP3M in patients with non-acute schizophrenia on an outpatient basis 30 outpatients with diagnosis of schizophrenia (DSM 5) that started treatment with PP3M were recruited. On a tri-monthly basis, the following evaluations were performed during a follow-up period of 36 months: Positive and Negative Syndrome Scale (PANSS), Personal and Social Performance Scale (PSP), Global Clinical Impression Scale (ICG),UKU Side Effect Scale and Patient Satisfaction with Medication Questionnaire (PSMQ). Efficacy values: Percentage of patients who remained relapse free at the end of the 36 months (as defined by Csernansky) Percentage of patients who remained relapse free at the end of the 36 months was 90 %. Mean variations from baseline scores at 36 months were: (-2.8 ±3.6) on the PANSS, (-0.27 ±0-32) on the ICG scale and (3.89 ±2.67) on the PSP scale. A not significant increase was found in the number of patients reporting to be \"extremely satisfied\" or \"very satisfied\" with their medication (PSQM) (80% at baseline vs. 86.66% at 36 months) The rate of adherence to treatment with PP3M after 36 months was 86,7%. Tolerance to PP3M was high and only of the patients discontinued their treatment due to adverse effects (sexual dysfunction) We found that long-term treatment with PP3M is effective, safe and well tolerated in clinical practice conditions Interpersonal communication as an ambiguous situation may instigate anxiety and specific vulnerabilities in patients with mental disorders. Machiavellianism in such cases can play a role of psychological defense against intolerable encounter with subjectivity of the Other. The goal of the study was to reveal what clinical traits and values-related attitudes are related to manipulative conduct in inpatients with schizophrenia spectrum disorders. 40 inpatients with paranoid schizophrenia and 40 inpatients with schizotypal disorder took part in the study. Machiavellianism was measured with a modified MACH-IV scale (Znakov, 2000). Clinical traits were assessed with the Russian version of SPQ-74 questionnaire (Efremov, Enikolopov, 2011). Personal values were determined by “Fairness-Care” questionnaire (Molchanov 2005). Correlation analysis in schizotypal patients group reveals a link between Machiavellianism and Suspiciousness (r=0,362, p<0,05). They show high levels of mistrust, the higher the more manipulative they are. In paranoid schizophrenia group the Suspiciousness was also high, but wasn’t significantly related to Machiavellianism. In inpatients with paranoid schizophrenia high levels of Machiavellianism are related to low Account for individual rights and freedom (r=-0,406, p<0,01). In both groups Machiavellianism is positively related to negligence of Law and Order (p<0.01). Machiavellians with schizophrenia spectrum are oriented towards own intentions even if those contradict the conventional norms. Machiavellian schizophrenia spectrum inpatient with a developed cynical image of deceitful, hypocritical world relies on his own interests and orients towards situational values and self-comfort. He tends to attribute similar attitudes to other people and in turn reacts with suspiciousness, vigilance and fear. Oculomotor dysfunction is one of the most replicated findings in schizophrenia. We have tested smooth pursuit eye movements (SPEM) in different schizophrenia dimensions, according to the three-syndrome model of schizophrenia. The study included 187 patients who met the ICD-10 criteria for schizophrenia (mean age 36.8 years; standard deviation [SD] =11.6) and 60 healthy volunteers ((mean age 36,4 SD =11.4).The schizophrenia patients were divided into three groups based on the sum of the global SAPS and SANS scores: patients with predominantly negative symptoms (NS, n=111); positive symptoms (PS, n=54) and disorganization symptoms (DS, n=22). Horizontal eye movements were recorded using videonystagmograph. Visual stimulus was presented on the portable light bar and moved with different speed (0,2 Hz - 0,7Hz). We found that SPEM performances (measured by smoothness coefficient G) in all groups of schizophrenia patients were lower than in controls at stimulus speed being 0.2 Hz. The smoothness (G) decline was the highest in the DS group compared to controls (Cohen’s d=1.25). The higher speed of the stimulus, the more difference between controls and schizophrenia group grew, reaching its maximum at the speed of 0,7 Hz. Starting with the speed of 0,4 Hz the DS group showed sharp decline in smoothness compared both to controls (Cohen’s d=2.05), and other comparison groups (Cohen’s d PS-DS=0,93, d NS-DS =0.79). The performances of PS and NS were close to each other on all stimulus speeds. The DS group showed the worst SPEM performance among all groups of schizophrenia patients. Simple schizophrenia is a rare subtype of schizophrenia, which is characterized by the insidious development of negative symptoms, with the absence of hallucinations or well-formed delusions. Despite its significant impact on a functional and social level, it remains a controversial diagnosis. Reflecting on the case of a 31-year-old male diagnosed with schizophrenia with a clear predominance of negative symptoms. We present the case of a 31-year-old male diagnosed with schizophrenia, who was admitted in psychiatry unit due to behavioural alterations. The patient manifested a clear predominance of negative symptoms. No auditory or other hallucinations (except occasional olfactory hallucinations of very mild intensity) were observed at any time during hospitalization. Taking into account his previous psychiatric history, as well as the symptoms observed in the current hospitalization, the patient would meet the ICD-10 and Black and Boffeli’s criteria for simple schizophrenia. Literature referring to simple schizophrenia is reviewed. Clozapine was prescribed at a dose of 400 mg, with a progressive dose increase, being well tolerated. A clear improvement was observed in the patient (organization of speech, thought and behaviour, as well as a decrease in affective flattening). The concept of simple schizophrenia is still relevant today, as new approaches advocate rethinking negative symptoms as a central feature of schizophrenia. Epidemiological studies are needed that contribute to knowledge about simple schizophrenia. More studies are needed that can support clozapine treatment in these patients. Patients diagnosed with schizophrenia (PDS) have a decreased life expectancy, which has been linked to a higher prevalence of medical comorbidity. Inflammatory, neuroendocrine and immune alterations have been reported in PDS. Current research suggests an intrinsic vulnerability to some physical illnesses in this population. 70% of the risk of developing schizophrenia is genetically determined. Neuroendocrine and immune alterations have been described in relatives of PDS. Therefore, PDS relatives may also have a higher prevalence of physical illnesses. Some studies have reported a high prevalence of diabetes mellitus and autoimmune diseases in this population. However, the literature on this subject is still scarce. We intend to study the prevalence of physical illness in relatives of PDS. This research may contribute to expanding knowledge about the etiopathogenesis of schizophrenia. Cross-sectional observational study. A pilot sample of 30 PDS admitted to the psychiatric hospitalization unit of the Hospital Central de la Defensa Gómez Ulla will be selected. Subjects will be interviewed for a personal and familiar history of psychiatric and medical illness. The data will be contrasted with the information in the patient’s medical records. Whenever possible, the data will be confirmed by interviewing the parents or siblings of the patients. The data will be displayed numerically and graphically using a quantitative statistical methodology. Results will be discussed and compared with previous literature on this subject. A larger sample may be needed so that the conclusions can be considered final. Multiple sclerosis (MS) is a chronic neurological disease that affects the central nervous system. The symptoms of MS will depend on the damaged area. Some of the usual symptoms are: blurred vision, muscle weakness, paraesthesia and muscle spasms, psychiatric symptoms such as depression. The objective is to present a clinical case with differential diagnosis in neurological diseases in patients with schizophrenia who perform antipsychotic treatment. A 35-year-old patient has had difficulty walking accompanied by oral-lingual movements for 1 year. This clinic was attributed to side effects of neuroleptic medication that he took when suffering from paranoid schizophrenia. The patient has a fluctuating clinical difficulty in walking due to impaired balance and less force in the LLL. The clinic worsened, making it impossible to walk and affecting sphincter control. Negativist. Delusional ideas of ruin. Depressed mood Pseudo-auditory hallucinations. Neurological examination: Left predominance paraparesis: LLL 3-/5. Hyperreflexia of left predominance. Inability to stand up. Cranial and spinal NMR: 4 hyperintense lesions in T2 and flair at the periventricular level, extensive involvement of signal increase affecting the cervical and dorsal region at level C2-C3, D6-D7, D9-D10, suggestive of lesions demyelinating. Evoked potentials: Left optic neuropathy. The diagnosis of multiple sclerosis is confirmed. An extrapyramidal effect of treatment is ruled out, such as oral-lingual dyskinesias that can occur in treatments with first-generation antipsychotics more frequently. The differential diagnosis of extrapyramidal symptoms in psychotic patients is important since they can be associated with side effects and mask as in this case a multiple sclerosis. Long acting injectable atypical antipsychotics are useful therapeutic instruments in clinical settings, but differences between them are not well-documented in terms of efficacy and tolerability. No clear-cut recommendations are included in the guidelines that could favor one long acting injectable atypical antipsychotic over another. To compare the evidence for long acting atypical antipsychotics efficacy and tolerability. We search through the available electronic databases for differences between the existing long acting injectable atypical antipsychotics, at pharmacodynamic and pharmacokinetic level, in order to verify if specific recommendations could be formulated for each drug. Pharmacological properties of risperidone microspheres, paliperidone palmitate 1-month and paliperidone palmitate 3-month administered formulations, olanzapine pamoate, aripiprazole monohydrate and aripiprazole lauroxil were analysed and specific properties were underlined. There are a number of pharmacological properties of these drugs that should be taken into consideration when specific variables are considred, like special populations (e.g. renal or hepatic failure), comorbidities (e.g. obesity, metabolic syndrome), individual sensibility to extrapyramidal adverse events, life-style impact (sedation, weight gain, sexual dysfunctions etc). Of course, therapeutic adherence is the main argument for these formulations, but no study has yet demonstrated that longer action (e.g. 12 weeks or 6 weeks interval between doses compared to only 2 to 4 weeks) of some of the above mentioned formulations are associated with higher adherence. A relatively wide range of long acting injectable atypical antipsychotics is available, therefore choosing between them in clinical practice should be based on a careful analysis of drugs’ specific farmacological properties. First author was speaker for Astra Zeneca, Bristol Myers Squibb, CSC Pharmaceuticals, Eli Lilly, Janssen Cilag, Lundbeck, Organon, Pfizer, Servier, Sanofi Aventis, and participated in clinical research funded by Janssen Cilag, Astra Zeneca, Eli Lilly, San Data on the use of clozapine and injectable antipsychotics in patients with schizophrenia has been a study source in several articles in recent years, demonstrating heterogeneity and a big variability in the prescriptions. Our goal is to compare these data with those obtained in Calatayud’s Region, assess whether there are differences to initiate future strategies to be proposed. We access and review data on clozapine consumption and use of depot treatment in patients diagnosed with schizophrenia and under follow-up by the Calatayud Mental Health Unit. Patients diagnosed with schizophrenia in this territory compromise around 0.21% of their total population (64.3% men and 35.7% women). The mean age of the user is 49.85 years, the median and the mode 50 years. Patients diagnosed with schizophrenia on treatment with Clozapine are 13.1% of patients under treatment, 41.7% use Depot injections and 2.38% of patients use both. Global prescribing data for Clozapine and Depot injections in patients diagnosed with schizophrenia in the area we studied (Calatayud) are similiar to data collected in other national studies. Butyrylcholinesterase (BChE) is an enzyme that has been investigated for its putative role in neurodegenerative and neuropsychiatric disorders. The aim of our work was to study BChE activity variations in schizophrenic patients and to investigate the involvement of this enzyme in schizophrenia’s physiopathology. This was a cross-sectional case-control study conducted between June 2016 and July 2018 on antipsychotic-free schizophrenic patients compared to healthy controls. Patients were hospitalized at the psychiatric C department in Hedi Chaker University Hospital (UH) in Sfax. The diagnosis of schizophrenia was established according to DSM-5 criteria. The symptoms’ severity was evaluated by the positive and negative syndrome scale (PANSS). Cognitive functions were evaluated according to the Montreal Cognitive Assessment (MoCA) scale.The analysis of BChE levels was performed in the Laboratory of Biochemistry in Habib Bourguiba UH in Sfax using a colorimetric method by Cobas 6000 Analyser (Roche®). The sample consisted of 145 individuals: 45 with schizophrenia and 100 with no psychiatric disorder. BChE levels in the schizophrenic group were significantly increased compared to controls (8655 ± 1342 UI/L vs7648 ± 1304 UI/L; p<0,001). There was no correlation between BChE levels and PANSS different scores. However, BChE levels were significantly and negatively correlated with MoCA cognitive scale (r=-0,566 ; p=0,001) Schizophrenic patients expressed higher levels of BChE which could be related to the pathophysiology of schizophrenia. The Cognitive Assessment Interview (CAI) was developed to investigate the subjective assessment of cognitive impairment and its impact on functioning in subjects with schizophrenia (SCZs). The Food and Drug Administration indicated that the evaluation of changes induced by pharmacological treatments on cognitive deficits should be carried out by integrating \"primary\" measures (assessed by means of neuropsychological tests) with co-primary measures which include interview-based evaluations as well as the assessment of functional capacity. The aim of the present study was to investigate the psychometric properties and the functional correlates of the Italian version of CAI in 599 SCZs and their caregivers. In the context of the Italian Network for Research on Psychoses, we administered CAI to 599 SCZs and their caregivers. We assessed neurocognition by means of the Measurement and Treatment Research to Improve Cognition in Schizophrenia Consensus Cognitive Battery (MCCB), social cognition, functional capacity and real-life functioning. The Italian version of the CAI revealed excellent internal consistency. The global CAI composite score was correlated with the MCCB score and with the indices of social cognition, functional capacity and real-life functioning. Our results demonstrated a good convergent validity and an excellent internal consistency of the Italian version of the CAI. Furthermore, this study showed an association between the subjective assessment of cognitive impairment and the objective measures of cognitive functions, social cognition, functional capacity and functional outcome. Persistent Negative Symptoms (PNS) criteria include the presence of prominent negative symptoms (NS), functional impairment, presence of NS during stability periods and its persistence for at least six months. PNS seems to be associated with male gender, long duration of untreated psychosis (DUP), neurocognitive impairments and presence of traumatic life events. Study the prevalence of PNS in first-episode psychosis patients (FEP). Describe the association between PNS and gender, age-at-onset in FEP, DUP, functional level, positive symptoms, depressive symptoms, antipsychotic drugs doses and childhood traumatic experiences. Longitudinal study. Drug-naive FEP patients with NS at the moment of inclusion and maintained at six-month follow-up from Parc Sanitari Sant Joan de Déu were included. Sociodemographic variables, the Positive and Negative Syndrome Scale (PANSS), the Calgary Depression Scale for Schizophrenia (CDS), the Personal and Social Performance scale (PSP) and Childhood Trauma Questionnaire subscales (CTQ) were administered at six-month follow-up. A total of 42 patients (64,3% men and 35,7% women) were included. 47,6% met criteria for PNS. Male gender (p=0,01) and worse PSP score (p=0,02) were associated with PNS. Same variables were found to be associated using the regression analysis. Sexual abuse subscale of CTQ was inversly associated with PNS (p=0,03). As it is found in other publications, worse functional results and male gender seem to be associated with PNS. Controversial results for CTQ are found, maybe due to limited N in our sample, which is the main limitation of the study. Therefore, further studies are needed to improve the conceptualization of SNP. Negative symptoms (SN) may appear at the beginning of a first-episode psychosis (FEP) and seem to be associated with worse functional results, male gender, long duration of untreated psychosis (DUP), early age-at-oncet in FEP, neurocognitive disorders and traumatic life events. Study the prevalence of NS in patients with drug-naive FEP. Describe the association between NS and gender, age-at-onset in FEP, DUP, premorbid functional level, positive and general psychopathology symptoms, depressive symptoms and childhood traumatic experiences. Cross-sectional study. Drug-naive FEP patients from Parc Sanitari Sant Joan de Déu were included. Sociodemographic variables, the Positive and Negative Syndrome Scale (PANSS), the Calgary Depression Scale for Schizophrenia (CDS), the Personal and Social Performance scale (PSP) and Childhood Trauma Questionnaire (CTQ) were administered. Following the Marder model we used the equation: Marder Negative = 5.8548 + (1.0209 * SANS score), to split the sample into NS group (Marder ≥ 9) and non-NS group (Marder < 9). A total of 155 patients (65,2% men and 34,8% women) were included. 58,6% of the patients met criteria for NS. PANSS Positive subscale was inversely associated with negative symptoms (p=0,04). Only gender, PANSS positive and general psychopathology subscales were found to be associated with negative symptoms using the regression analysis. The high prevalence of NS in our sample can be due to the low specificity of the used scales. We found an association between NS and PANSS positive subscale, PANSS general psychopathology subscale and gender. Further studies are needed to improve the conceptualization and evaluation of NS. Since the first descriptions of schizophrenia, cognitive dysfunctions have been considered to play a fundamental role in the disorder. Existing data about cognitive end ophenotype semphasize the role of age neticcomponent in the pathology and peculiarity of personality undeservedly not considered in the proper way. The study was designed to assess correlation between cognitive impairment and psychotypes in patients with schizophrenia. Personality types were identified by Minnesota Multiphasic Personality Inventory (MMPI). The severity of cognitive symptoms were evaluated by Clinician Rated Dimensions of Psychosis Symptom Severity(CRDPSS). We categorized 80 patients (43 men,37 women) with schizophrenia (diagnosed by the DSM-5) on the basis of two leading scales of MMPI profiles. We got 28 psychotypes. In every group of the psychotipes there were subjects with cognitive dysfunctions. The most high index of cognitive dysfunctions (4 scores) had only 6 subjects. In 17 groups of the psychotypes we could not find subjects with cognitive impairments. The most frequent cognitive dysfunctions were in Sc-Pa (leading scales in personality profile – Schizophrenia and Paranoia) group, 14 subjects (53%). The most frequently cognitive disfunctions are met in schizophrenic patients who belongs to “schizophreno-paranoid” psychotype, in whom schizoid and paranoiac personality characteristics dominate. In traditional French psychiatry, the concept of “pathological journey” has existed since the twentieth century. It is defined as a sudden and unexpected trip, made by an individual under the influence of a psychiatric disorder. Several syndromes of cities or countries (Jerusalem, Paris, Florence, India, New York and more) have been described. Describe the characteristics of pathological travelers arriving in Geneva and analyze the reasons for this trip. After a narrative review of the literature, we conducted a retrospective study on the psychiatric service of the Geneva University Hospital from 2008 to 2018. The keywords “pathological travel” were found in 851 files. Swiss patients, migrants, and duplication of medical records were excluded. In the past ten years, 239 patients were retained for this diagnosis in the admission units of our clinic. The typical patient is a man (61%), who is single (57%), childless (71%), and European (73%). Most patients traveled alone (96%), arrived to the emergency division accompanied by the police (47%) and were previously receiving psychiatric care (92%). Many hospitalizations were involuntary (49%) mainly due to paranoid delusions (72%). Pathological travelers came to Geneva in search of security (26%), or because of specific claims toward international organizations (13%). Geneva syndrome is a singular pathological syndrome that essentially concerns patients suffering from psychosis. These patients are attracted to Geneva’s international aura for humans’ rights, wealth and Switzerland's reputation of being one of the world's safest country. Insight in schizophrenia spectrum disorders (SSD) is associated with clinical outcomes. Although insight has been linked with metacognition, the association of specific metacognitive domains with insight remains unclear, which may have implications on treatment -metacognitive therapies-. To investigate the association of specific metacognitive domains and insight dimensions in a sample of schizophrenia patients. Outpatients with SSD, age 18-64, with an IQ≥70, from Hospital Universitario Fundación Jiménez Díaz (Madrid, Spain) will be recruited over 01/06/2019-31/12/2020 as part of a larger project. Outcome measure: the Schedule for Assessment of Insight. Independent variables: i) jumping to conclusions: Beads Task; ii) cognitive insight: Beck Cognitive Insight Scale; iii) Theory of Mind (ToM): Hinting Task and Emotions Recognition Test Faces. Statistics: Regression analyses. N=48 subjects were assessed at baseline (n=25 males, age:46.9±10.2years, schizophrenia-F22.0-ICD10-, n=36). Cognitive insight emerged as the main metacognitive domain underlying insight in SSD. Metacognitive therapies targeting cognitive insight may therefore improve insight, although future randomised controlled trials are needed to demonstrate this. Aging is complex, ubiquitous procedure with biological, social and psychological impact on a wide range of areas of human functioning. Cognitive functioning is one of the most important areas influenced by aging, especially considering the effects of cognitive decline, in regards with the constant increase in life expectancy. Research in schizophrenia spectrum disorders reveals a significant effect in cognitive function, in relation with the severity of other psychotic symptoms. The importance of the additive effect of aging is one of the emerging targets of research in schizophrenia. Thus, DSM-V proposed an 8-item measure, CRDPSS (Clinician-Rated_Dimensions_of_Psychosis_Symptom_Severity), which assesses the severity of eight important symptoms in psychotic disorders, on a 5-point (0-4) scale, including impaired cognition. MoCA cognitive screening test (Montreal_Cognitive_Assessment), validated in Greek, was used for the classification of cognitive impairment, in comparison with age. The objective of this research is to evaluate the influence of aging on cognitive functioning of patients diagnosed with schizophrenia spectrum disorders. 71 Patients diagnosed with schizophrenia spectrum disorders, attended in the Outpatient Department of Psychotic Disorders of University of Thessaly, Greece and its affiliated psychiatric clinics, were evaluated the last 24 months, using the CRDPSS measure and the validated greek version of the MoCA test. Cognitive status is negatively affected by aging in patients diagnosed with schizophrenia spectrum disorders. This effect is higher as age (>50 years old) increase. Future research should further highlight the additive effects of aging and psychosis in cognitive function, allowing the implementation of evidence-based strategies of addressing this complex phenomenon. The importance of improving access to clozapine in first episode psychosis (FEP) has been recognised internationally across Early Intervention in Psychosis Services (EIPS) following established evidence of improved efficacy in treatment resistant (TR) populations. TR may occur from first onset of psychotic illness, and appears characterized by negative symptoms and younger age of onset. Clozapine remains under prescribed. This mixed method cross sectional analysis of antipsychotic prescribing in a UK EIPS, aimed to explore clozapine eligibility (CE) and prioritisation of antipsychotic prescribing based on choice, selectivity and appropriateness. We screened 150 service users. 79% (n=119) were retained after excluding those in assessment phase, at risk mental state, already on clozapine or not meeting FEP criteria. We explored CE in all service users who had had trials of at least 2 antipsychotic medications (n=78). Following multidisciplinary clinical discussions, 23 service users were CE; 8 had been offered and declined clozapine. When compared to non-CE service users, significant factors associated with CE were history of 2 or more hospital admissions (Mann-Whitney U=269, p=0.008), more than 2 trials of 2 different antipsychotics (Mann-Whitney U=517, p=<0.01), and younger age at FEP (independent-samples t-test, p=0.047). 47.5% of all service users had been started on olanzapine as their first antipsychotic in FEP, despite a high associated risk of cardiometabolic syndrome. We propose that EIP services adopt a proactive approach in screening for TR, taking into account negative symptoms and young age at onset, prioritising service users with 2 or more hospital admissions and antipsychotic trials. Although data regarding the efficacy, tolerability and safety of cariprazine from clinical trials are readily available, real-world data when transitioning from previous antipsychotics is currently missing. This open-label, 16-week, observational study assessed the efficacy and safety of cariprazine in schizophrenia patients in Latvia. Adult, outpatients with schizophrenia who previously received a non-effective antipsychotic treatment, experienced side effects, and/or wanted to switch drugs were included and received cariprazine treatment over 16 weeks. Symptom changes were assessed by rating hallucinations, delusions, alogia, affective blunting, avolition, apathy, asociality from 0 to 6 (not observed, minimal, mild, moderate, moderate severe, severe, extreme) and the CGI Improvement (CGI-I) scale. Safety measures included extrapyramidal symptoms (EPS), weight gain and spontaneously reported adverse events. A total of 116 patients, with an average illness duration of 8 years, coming from 9 different types of antipsychotics received cariprazine treatment for 16 weeks; 82.8% completed the study. Change from baseline to end in symptom control was statistically significant (change from baseline:-7.06, p<.0001), with the most significant improvement in negative symptoms, especially avolition (change from baseline:-1.46, p<.0001). Improvement on CGI-I was also observed; with “Very much improved” and “Much improved” in 42.2% of patients. Pre-existing EPS and prolactin-related side effects gradually deceased, and no weight changes were observed during treatment. Over 70% of doctors were satisfied with both the efficacy and tolerability profile of cariprazine. Transition from previous treatment to cariprazine was successful in terms of tolerability and efficacy, especially concerning negative symptoms. The study was founded by Gedeon Rihter Plc. Ágota Barabássy, Barbara Sebe, Zsófia Dombi and György Németh are employees of Gedeon Richter Plc. The concept of the quality of remission in schizophrenia is based on the concept of personal-social recovery - “recovery”, in terms of improving cognitive, social functioning, without focusing on the full resolution of the symptoms of the disease. A comparative research of the social functions of patients with schizophrenia was carried out, where treatment therapy was long acting antipsychotics of the first and second generation. The investigation was conducted for 35 patients with paranoid schizophrenia in remission (F20.01 according to ICD-10). The first group (20 patients) receive paliperidone palmitate. In the second group -15 patients, haloperidol-decanoate. The assessment was carried out before the start of therapy and after 12 months of therapy. Used scales: PANSS, PSP, CGI-S. The initial indicators of the first group are 54 + - 7.9 points according to PANSS and 2.45 + - 0.5 points according to CGI, PSP-71 + - 5.6 points. In the second group, PANSS showed 75 + - 13.8 points, CGI - 2.8 + - 0.4 points, PSP - 62 + - 10.3. After 12 months, a reassessment was carried out: PANSS 52 + 13.7 (first group) and 71 + 13.2 (second group). PSP receiving paliperidone palmitate represents a significant improvement of 80.3 + 9.7 points for PSP, patients receiving haloperidol decanoate reached 67.1 + 11.7 points, which reflected a slight improvement in social functioning. Thus, the indicator of social functioning by PSP during paliperidone palmitate therapy increased by 11%, while in patients receiving haloperidol decanoate, by 6% (p <0.05). The average length of a stay for a patient in a Japanese psychiatric hospital is 267.7 days. Trying to identify the means to shorten the hospitalization period is crucial. There is a large need for a better support for psychiatric patients who live in the community, as well as their families. This guideline was created in hopes to develop a better support system for severe psychiatric outpatient visits, improve the quality of life (QOL) of patients and families in the community, and to promote recovery. In this study, we aimed to formulate guidelines for severe psychiatric outpatients who live in their community and their families, and present primary results from the evaluation. We created a draft of the guideline by examining the contents of pre-existing guidelines and evaluation methods. We selected eight areas, 18 categories, and 96 items to evaluate for \"The Care\" content. The delphi method was used to evaluate the guidelines. The assessment was conducted as an anonymous survey on the web, measuring the importance, difficulty, and frequency of the care. 50 professionals participated in our study. 92 items out of 96 of the importance section scored 8.1 points or over, with interquartile range (IQR) of 76.0 – 92.0%. The major difficult areas of care included; family care, specific care to promote strengths, specific care such as suicide and self-harm prevention, and coordination with other sectors. We aim to further revise the guidelines to be used in the severe psychiatric outpatient setting. A growing body of evidence suggests that urban living in high income countries contributes to the development of psychosis. After resuming the state of the art on the matter, we will present the results of a Swiss-based original study with use of mixed methods (video-recorded go alongs, semi-structured interviews and a survey) and outline future prospects for research and therapeutical strategies. Litterature survey, qualitative and quantitative analysis (original study) and scoping for novel research and therapeutic strategies. Despite accumulated data, the majority of studies conducted so far failed to explain how specific factors of urban environment combine in daily life to create protective and disruptive milieus. This undermines the translation of a vast epidemiological knowledge into effective urbanistic and therapeutic developments calling for more interdisciplinary and experience based approaches. In our original study we found that development of psychosis influences the way early psychosis patients perceive the city and their capacity to benefit from its assets. New studies on urbanicity shall bridge knowledge from different disciplines (psychiatry, epidemiology, human geography, urbanism, etc.) in order to enrich research methods and ensure the development of effective treatment and preventive strategies. A set of macrolevel strategies ranging from urban planning to mental health policies can be implemented to mitigate urbanicity effect. Considering the high level of social withdrawal and its detrimential impact on the recovery process, we strongly believe that investing city avoidance and city anhedonia as main targets for individual therapies can help to bounce back after a psychotic outbreak. Antipsychotic plasma levels have been extensively used for the assessment of poor treatment response, lack of adherence and adverse events in schizophrenia. However, evidence for delusional disorder is sparse. Our main goal was to investigate the relationship between risperidone (R) and 9-hydroxyrisperidone (9-OH-R) plasma concentrations and clinical outcomes in delusional disorder. We also reviewed literature focusing on the use of risperidone plasma levels. Case series: Risperidone and 9-OH-risperidone (active metabolite) plasma levels were determined by high-performance liquid chromatography (HPLC). Clinical variables were qualitatively correlated with two plasma ratios: R:9-OH-R concentration ratio (indicating CYP2D6 activity) and the total concentration-to-dose (C:D) ratio (indicating risperidone elimination). Review: A systematic electronic search was performed (PubMed) from inception until September 2019 according to the PRISMA statement. Search terms: \"risperidone\" OR \"9-OH-risperidone\" OR \"paliperidone\" OR \"plasma levels\" OR \"therapeutic drug monitoring\" AND \"delusional disorder\". Case series: 12 patients (n=8 inpatients; n=4 outpatients) were included. Dose range: 0.5-6mg/day. One in 4 outpatients presented risperidone levels under the detection limit (<2.8 ng/mL) (lack of adherence). All other patients showed R: 9-OH-R <1 (CYP2D6 activity). Four (33%) patients presented a C:D ratio >14 (diminished risperidone elimination) which was associated with poor clinical response (n=2) and antipsychotic-adverse events (n=2). Review: A total of 42 articles were retrieved (n=38 Pubmed, n=4 other sources). Two of them reported determinations of risperidone plasma levels: n=1, poor clinical response; n=1, adverse-events). Antipsychotic plasma levels may be useful to estimate metabolic drug clearance, and by implication, for the assessment of clinical response and adverse-events. A Gonzalez-Rodriguez has received registration fees for congresses and travel costs from Janssen Pharmaceuticals, and Lundbeck-Otsuka. Delusional disorder (DD) is considered to be rare. It does not seem to be properly diagnosed at the beginning and this may lead to dramatic consequences. To make an epidemiological approach to delusional disorder and to describe its evolution. We lead a retrospective descriptive study, involving 30 male patients suffering from DD (according to DSM 5) who were hospitalized in the psychiatry Department of Hedi Chaker University Hospital in Sfax (Tunisia), between January 2009 and December 2018. Data were collected from medical records. DD constituted 1.3% of all admission. The mean age was 45.6 years. Patients were unemployed in 43.3% of cases. Nineteen patients (63.3%) were university educated. Family history of schizophrenia and DD were found in respectively 16.7% and 13.3% of cases. The mean age of onset of the DD was 36 years. The main initial diagnoses were schizophrenia (54.5%) and depressive disorder (36.4%). The average delay to establish the correct diagnosis was about seven years after the first psychiatric examination. The main delusion themes were: mixed (43.3%), persecution (40%) and jealousy (6.7%). A comorbid paranoiac personality was diagnosed among 75% of our cases. Antipsychotics had been prescribed for all patients and they were long-acting neuroleptic for 23.3% of cases. Evolution has been characterized by erratic follow-up (73.3%), major depressive episodes (44.8%) and commission of criminal offenses (40%). Our study highlighted the diagnostic difficulties of DD which may remain unrecognized and untreated for many years. Schizencephaly is a rare congenital neurodevelopmental disorder resulting in the formation of abnormal clefts in the cerebral hemispheres. The major symptoms may include developmental delay, seizures and cognitive impairment. To present a case report of a Tunisian patient who presented a first-episode psychosis associated with schizencephaly and to compare it with the six other cases found in the literature. A literature search was conducted using PUBMED searching for case reports studies reporting cases of schizencephaly associated with psychosis. A 23-year-old lyceum-educated Tunisian male patient who was referred to the F psychiatric ward of Razi Hospital by a general practitioner after his parents expressed concerns regarding his mental state. The patient had previously presented a specific learning disorder and had focal epileptic seizures at an early age. His physical examination revealed nystagmus, and his mental state examination revealed irritability, inflated self-esteem, racing thoughts, loosening of associations, interpretive and imaginative delirium. There was no family history of mental illness. Abnormal EEG findings (slow theta waves predominating in the right parietal temporal regions, accentuated at the hyperpnea) called for magnetic resonance imaging, which revealed unilateral parietal closed-lip schizencephaly. The patient has responded partially to the association of Olanzapine and Sodium Valproate. Although schizencephaly seems to be rare, this clinical case highlights the importance of anamnesis, a detailed clinical examination and additional examinations when psychiatric symptoms appear. Schizophrenia is a significantly disabling psychotic disorder. While in recent years, several studies have been conducted to assess the consequences of a long “duration of untreated psychosis” (DUP), which appears to be associated with poorer early course and long term outcomes, only a few have focused on the search for predictive factors of a long DUP. This study aims to explore the Clinical and social determinants of DUP in a sample of Tunisian patients with a diagnosis of schizophrenia spectrum disorder. 100 patients with a diagnosis of schizophrenia spectrum disorder were identified from patients hospitalized from March 2018 to March 2019 in “F” psychiatric ward of Razi hospital. We obtained data relating to socio-demographic and clinical variables and to DUP from medical files. A DUP of more than 12 months has been defined as long. SPSS and Khi-2 tests were used to analyze data. The mean age of illness onset was 24.28 years. The mean duration of untreated psychosis was 28 months (range 6-240 months). An onset of psychiatric disorders involving delusional speech (p=0,053) or psychomotor arousal (p=0.047) was significantly associated with a short DUP. However, the onset of disorders made of bizarre behavior was correlated with a longer DUP (p=0,047). There was no significant association between DUP and age of patients, age of onset, sex, educational attainment, family history of psychiatric disorder, personal history of substance abuse. The study highlights the importance of implementing awareness and information mental health campaigns to the general public and the need for early therapeutic intervention. Dementia is often associated with neuropsychiatric symptoms, such as psychosis. Still, the implication of psychotic symptoms in advanced age, as very late-onset schizophrenia-like psychosis or as prodromal to dementia, and their treatment, remain a debated subject. We aimed to review the literature and discuss psychotic symptoms in late life, focussing the diagnostic challenges and existing treatment recommendations. A non-systematic literature review was conducted by searching the terms “psychotic disorders”, “dementia”, “dementia with psychosis” and “very late-onset schizophrenia-like psychosis” using Pubmed/MEDLINE Database. The research was limited to articles published in the last 5 years. Psychotic symptoms seem to be common in older adults, resulting from several risk factors such as sensory deficits, social isolation and cognitive decline. Some studies understand the emergence of psychotic symptoms as prodromal to dementia, carrying a negative impact on its clinical course in terms of mortality and conversion to dementia. Psychotic symptoms are also frequently associated with established dementia, which seems to be related to greater cortical synaptic impairments. Psychosis in dementia is associated with a more rapid cognitive decline and overall worse outcomes. In terms of treatment, there is strongest evidence for the use of non-pharmacologic approaches, given the mortality risks associated with antipsychotics. Yet, growing evidence favors the use atypical antipsychotics or medications outside the antipsychotic class. There is a need to better understand the diagnosis of psychosis in late life. Although psychotic disorders are common in older adults, there is low availability of evidence-based treatments. Attention in the early stages of psychosis has become more important in recent years. It is estimated that there are about 6-20 new cases of psychosis per 100,000 inhabitants. Psychosis spends not only about 8 billion euros a year to our health system but also an incalculable emotional cost. To develop an early intervention in psychosis program Our Early Intervention Program in psychosis is dependent on the University Hospital La Paz, but focused on community care of patients with early stages of psychosis (people with a first psychotic episode between 16 and 40 years old) and their families. The program is included in the serious mental disorder case management program. The program focuses on the community's attention to the individual with psychosis experience and his family, coordinated by a social worker, and with the figure of the extra-hospital psychiatrist as a responsible reference for the patient. Thus, a path of several evaluations and interventions has been designed, individualizing the attention according to the needs of each subject. A series of transversal resources of individual, group and family interventions has been established. The program also addresses the different comorbidities (such as addictions) and psychosocial and occupational rehabilitation. Objectives were also set regarding health education, case detection and clinical research. Early intervention in psychosis is becoming increasingly important in our environment, and should be offered in each mental health unit, given the improvement in the quality of life of people served. Moreover, this kind of programs will help to conduct further research. It is well known that besides cognitive impairments, individuals with psychotic disorders experience deficits in their functional capacity. Indeed, the recovery of the functional capacity is one of the most important aims in the treatment of patients with First-Episode Schizophrenia (FESz). As far as we know, this is the first study in Spain assessing the relationship between Neurocognition and Social Cognition using the MATRICS Consensus Cognitive Battery (MCCB) and Functional Capacity using The Brief International Functional Capacity Assessment (BIFCA), a novel instrument developed by the MATRICS Assessment Initiative, in patients with FESz. To study the relationship between Neurocognition, Social Cognition and Functional Capacity in patients with FESz. Twenty-eight patients with FESz (Mean age = 25.2, SD = 5.3 years old; Male = 78.6%) were recruited from an ongoing First Episode Psychotic Program at the Department of Psychiatry, Hospital 12 de Octubre, Madrid. The Neurocognition and Social Cognition were assessed with the MCCB and the Functional Capacity was assessed with the BIFCA battery. Preliminary results showed a positive correlation between the MCCB´s Overall Composite score and the BIFCA´s Functional Capacity score (r =.432, p =.031), only explained by the Neurocognitive score (r =.529, p =.004) but not by the Social Cognition score (r =.110, p =.600) in patients with FESz. Cognition and Functional Capacity seem to be directly related in patients with FESz, with regard to Neurocognition but not to Social Cognition. Insight or awareness of illness is one of the most important predictors of future outcomes in patients with First-Episode Schizophrenia (FESz). The relationship between cognition and insight has been well established. However, the potential associations of social cognition and neurocognition with insight have been less characterized and reported, especially in patients with FESz. To study the relationship between social cognition, neurocognition and insight in a sample of patients with FESz. Twenty-four patients with FESz (Mean age = 25.9, SD = 5.6 years old, Males = 75%) recruited from an ongoing First-Episode Psychotic Program at the Department of Psychiatry, Hospital 12 de Octubre Madrid, participated in this study. The Social Cognition and Neurocognition were assessed using the MATRICS Consensus Cognitive Battery (MCCB). The Insight was measured using The Scale to Assess Unawareness of Mental Disorder (SUMD). Preliminary results showed correlations between the MCCB Overall Composite score and Insight scores (SUMD1: r = -.505, p =.020; SUMD2: r = -.447, p =.042; SUMD3: r = -.494, p =.023) based only on the Social Cognition scores (SUMD1: r = -.415, p =.061; SUMD2: r = -.492, p =.023; SUMD3: r = -.557, p =.009), but not on the Neurocognition scores. There is a relationship between cognitive function and insight in patients with FESz, in which insight is related to social cognition, but not to neurocognition. Medical trainees represent a young population in which sexual dysfunction should be rare. However, sociocultural differences in the sexual behaviour are important to consider in the assessement sexual health. The aim of this study was to determine the prevalence and factors associated with sexual dysfunction among female medical trainees. We conducted an exploratory study among Tunisian medical trainees. Participants were recruited using a convenience sampling by means of medical trainees’ networks. Socio-demographic and sexual features were collected. The sexual function was assessed on female sexual function index (FSFI) scale. A total of 110 female medical trainees were recruited. The median age was 28 (27; 31) years. The mean age of the first sexual activity was 22.6 ± 3.05 years. Thirty five (31.8%) were married and 78 (70.9%) had a unique sexual partner. Among our participants, 64 (58.2%) had a sexual activity during the last mounth. The prevalence of sexual dysfunction was 45.7%. Sexual desire (Median score = 4.2 (3.6 ; 4.8)) was the most impaired area, followed by orgasm (Median score = 4.4 (2.8 ; 5.2)). A sexual dysfunction was significantly associated with the marital status (p=0.001), partners’ number (p= 0.001) and the frequency of sexual activity (p< 10¯³). Based on our findings, the sexual behaviour is important to consider for the assessment of the female sexual function among doctors in training. All these features deserve further study in order to introduce necessary preventive measures. Cannabis has a reputation for enhancing sexual function. Several surveys in the 1970s found that both men and women reported that using cannabis enhanced their sexual experience (Dawley HH, 1979). To present a non systematic review on cannabis use as a sexual performance enhancer; to report a case about a paraplegic patient, diagnosed with cannabis induced psychosis. Brief review of the english literature published using the Pubmed® database. Key-words: “cannabis and sexual health”; \"cannabis and sexual performance enhancement”; “cannabis use and sexual function”. Articles were selected based on the content of the abstract and its relevance. For the case report, information was provided by the patient and clinical records. We report a case of a 41 years old man, paraplegic after a motocycle accident, with no previous psychiatric history, that goes to the emergency service reporting auditory alucinations, persecutory delusional ideation and self delusional reference after starting to smoke cannabinoids in an effort to enhance his sexual performance. He refers increased libido and increased tactile sensitivity with cannabinoids use, resulting in enhanced sexual pleasure and satisfaction. There are various hypotheses for why people report cannabis-related enhancement of sexual experiences including the effect of cannabis on heightened perceptions, time distortion, relaxation, and decreased inhibition. However, in recent studies there appears to be more conflict among the results in this research area. Men report both facilitatory and incapacitating effects of their cannabis use. Specifically for paraplegic patients, few relevant studies could be found in our research. Antipsychotic-related hyperprolactinemia (HPRL) is frequently associated with physical health issues and sexual dysfunction but unfortunately underreported. To evaluate the association of treatment with different antipsychotics and chronic Iatrogenic hyperprolactinemia on patient’s physical health, safety and sexual dysfunction. Cross-sectional descriptive and observational study. Lab samples, physical measures, UKU Scale, PRSexDQ_SALSEX to measure sexual dysfunction and blood prolactin levels were obtained after two years of treatment. Fifty patients (62% men) aged 45.84 ± 10.85 years in treatment with antipsychotics (aripiprazole, olanzapine, paliperidone and risperidone) were recruited. Fifty-six percent (n=28) showed normal prolactin levels < 20 ng/ml, 30% (n = 15) mild hyperprolactinemia (PRL level 50-100 ng/ml) and 14% (n=7) severe hiperprolactinemia (PRL levels >100 ng/ml). Patients without HPRL (aripiprazole 80%) showed somnolence (70.4%), asthenia (60.7%,), difficulty in concentration (57.1%,) and weight gain (25%) while patients with HPRL (paliperidone and risperidone) showed asthenia (72.7%) restlessness (59%) and weight gain (59%). There were significant differences in lower values of FSH (p-value = 0.004), LH (p-value <0.001) and testosterone (p-value <0.001) in the hyperprolactinemic group. Two patients showed amenorrhea in the HPRL group (0 with normal PRL). Patients with HPRL, 81% showed decreased sexual desire (21.4% with normal PRL), 36% erectile dysfunction (21.4% with normal PRL), 45% orgasmic dysfunction (14% with normal PRL) and 22.7% of females showed vaginal lubrication dysfunction (0% with normal PRL). Low values of testosterone correlated with sexual arousal problems (p-value = 0.027). There was a relationship between HPRL and some physical symptoms, weight increase and sexual dysfunction. Financial support obtained with a grant from the Health Services of Junta de Castilla y León. Spain GRS1602/A/17 Sexual functioning is of special importance in an assesment of the mental status. Psychiatrists, while exceptionally skilled in making general clinical assessments and in eliciting psychopathology during the psychiatric interview, appear not to be nearly as relaxed nor confident in their ability to respond to sexual complaints. This cross-sectional study was designed to determine the prevalence of sexual data gathered by psychiatrists during their assessment of patients at hospital admission. We reviewed medical histories from 202 patients hospitalized in our acute inpatient unit over a period of 6 months. Our study variables were diagnosis, age, gender, martial status, and psychopharmacotherapy. Our results revealed that assessment of sexual functioning was omitted in all medical history examinations. Only in one case of male patient, sexual side effects of neuroleptic medication were mentioned, but the patient was not questionned about them. As sexual history taking was omitted in all 202 patients, establishing links with the variables represented in this study was impossible. Our results lead us to theorize that in addition to being often overlooked in clinical assesments, sexual complaints may be considered of secondary importance in the acutely ill population. To expand the scale of this research it will be necessary to determine the prevalence of sexual data gathering in outpatient and day care units, as well as survey psychiatrists to capture the interpersonal dimension of taking a sexual history. Rape trauma is particularly traumatic when compared to other forms of trauma. PTSD is one of the most frequent mental disorders found in assault victims. The lifetime prevalence of sexual-assault-related PTSD (SAR-PTSD) can be as high as 50% among victims and its profile has been under recent study. We aim to present the main characteristics of SAR-PTSD, including differences between gender, severity of symptoms and comorbid disorders. A selective literature review was conducted using the PubMed and ResearchGate databases, using combinations of the following keywords: “sexual assault”, “rape”, “PTSD” and “sexual related PTSD”. Sex and gender: The majority of the victims are women while the perpetrators are usually male. Sexual assault predicts SAR-PTSD for both genders. Women have a higher risk of developing SAR-PTSD than men, but men are generally less likely to disclose being raped. Symptoms Severity: Factors like completed rape, physical injury and life threat interact synergistically in predicting SAR-PTSD risk. Less education, greater perceived life threat, and receipt of more negative social reactions (stigma) upon disclosing assault were related to greater symptom severity. Perceived control over trauma recovery is related to fewer SAR-PTSD symptoms. Comorbid Findings: Patients with SAR-PTSD are at greater risk of developing a comorbid substance use disorder and show higher symptom severity and poorer treatment outcomes compared to patients with either disorder alone. The distressingly high rate of SAR-PTSD in survivors of sexual assault is a clear indication for further support to these patients. Future studies with sexual assault male victims are a pressing necessity. Tourette Syndrome (TS) is a chronic disorder characterized by tics. The Diagnostic and Statistical Manual of Mental Disorders lists the most used criteria, and focuses on these motor and vocal phenomena. However, patients may have other associated features or comorbidities: impulsivity, depression, anxiety, obsessive-compulsive disorder, attention-deficit hyperactivity disorder, among others. We present the case of a patient who was hospitalised for two weeks and explore his psychopathology. Discuss the psychopathology and comorbidities of TS through the analysis of a clinical case. Description of the case and literature review using Pubmed. We present the case of a 34-year-old male who was admitted at our Acute Inpatient Ward due to depressive symptoms along with anxiety, suicidal ideation and hetero-aggressive outbursts. He had been diagnosed in infancy with Tourette syndrome, but in adulthood had poor treatment and follow-up adherence. Exploration of the history led to an understanding of the development of depressive symptoms, and other problems were gradually unearthed as well. His tics were predominantly motor, and was impulsive is his actions, being unable to keep up a regular job. He also had a fetishistic disorder: he had no sexual encounters with women, deriving sexual excitement and pleasure from the observation, recording (through photographs) and cataloguing of women’s nails. This was a growing encumbrance in the family and in the patient’s life, leading to discordance. Tourette is a neuropsychiatric syndrome that encompasses more than just tics. Being able to understand the various shades of this disorder is useful to adequately help these patients. Help-seeking for sexual dysfunctions relies on various factors. But, there is a scarcity of evidence. To identify the factors having a role on help-seeking behavior among patients with sexual dysfunctions in the context of a developing country. This cross-sectional, qualitative study was done using purposeful sampling among the patients of sexual dysfunctions attending the psychiatry outpatient Department of Bangabandhu Sheikh Mujib Medical University (BSMMU). Based on data saturation, 18 in-depth interviews (IDI), 2 key informant interviews (KII) and 1 focus group discussion (FGD) with 4 participants were performed after taking proper consent. Interviews were audio-recorded, then transcribed and analyzed manually using the thematic analysis method. Deviant cases were critically explored and explained in a separate theme. Most participants were male, 20-35 years of age, literate and urban. Premature ejaculation and female sexual interest/arousal disorder were the most common. The identified factors were classified into 3 major classes- disease and treatment factors, psychological factors, and social and cultural factors. Perception of severity impelled in early help-seeking, while the duration of illness and lack of improvement led to seeking help from various sources. Educational background, habitat, gender, social beliefs, advice given by others, fear of upcoming marriage and relationship problems were also found as important factors. Previous awareness and sexual misconceptions among the participants and their advisors played a pivotal role. Figure 1: The factors having role on help-seeking behavior This study will help to develop a service delivery system for sexual dysfunctions patients in the context of a developing country. Pelvic organ prolapse represents a public health problem due to its high prevalence from 2,9 to 11,4 % (Lousquy and., 2009). The laparoscopic promontofixation has become since few years a gold standard treatement for pelvic organ prolapse in the population of young active women (Coksuer and al.2011). Few are the studies that showed the short and long term impact of this treatement on both sexuality and quality life. To evaluate the impact of laparoscopic promontofixation on sexuality and healthrelated quality of life and sexuality A study was carried out including 30 women presented with at least stage 2 pelvic organ prolapse (Baden and Walker) who underwent laparoscopic promontofixation. Sexual function and health-related quality of life were evaluated using the Pelvic Incontinence Sexual Questionnaire (PISQ-12) and the Pelvic Floor Impact Questionnaire (PFIQ-7), respectively. The patients’ mean age was 58.1 ± 7.2 years. The anatomical success rate (stage 0 or 1) was 100% at 3 months and at the moment of the study with a mean follow-up of 37 months (36—48 months). PISQ-12 and PFIQ-7 scores were significantly improved at the moment of the study (P < 0.001 and P = 0.001, respectively) Laparoscopic promontofixation improves sexuality and quality of life at short and medium terms. Not only gender identity disorder is often accompanied by mental illnesses, but vice versa: there are higher rates of homosexuality and cross-sexual behavior in people with mental illnesses compared to general population. Understudied is the question how gender identity depends on certain diseases and pathological features? This study seeks to address how gender identity is affected in patients with mental illnesses. The sample consisted of 80 patients, 44 women and 36 men with aged 16-29 with schizotypal disorder, histrionic personality disorder and schizoid personality disorder. Their gender self-identity matched biological sex. The structure of gender identity was measured by adapted version of Bem Sex-Role Inventory, projective drawings. Almost half (46,1%) of schizotypic patients demonstrated opposite gender identity according to projective drawings. That highly correlated with results of Bem inventory (r=0,658; sig=,001). They had higher anxiety (χ2=8,234; df=2; p=,004) and more sexual problems (χ2=5,733; df=2; p=,033), than such patients whose projected gender identity matched their biological sex. In addition, an undifferentiated type of identity associated with extreme disadaptation was detected in 23% of these patients. Inverted gender identity was rarely met among patients with personality disorders. Most of them (65,7%) had accordingly masculine and feminine types. Although androgenic gender identity was found only in 15,5% cases whereas in general population it rates circa 80% and is connected to higher adaptation potential. This study demonstrates how gender identity is transformed in mental illnesses and is connected to general psychological problems, such as anxiety, sexual problems, disadaptation. Male hypoactive sexual desire disorder (MHSDD), part of a cluster of other sexual dysfunction diagnoses and emerged as a reformulated entity in the DSM-5, is defined as a persistent or recurrent deficiency of sexual thoughts or fantasies and desire for sexual activity that causes either significant distress or interpersonal difficulty. To review the state of knowledge about MHSDD. A non-systematized review of the literature was performed. MHSDD is associated with changes in quality of life measures, with a particular number of those affected experiencing some psychiatric comorbid conditions like mood or anxiety problems. Although estimated as a common problem it is difficult, as a frequently undiagnosed condition, to define with more accuracy its prevalence rates. MHSDD presents as a complex clinical entity that should require a careful evaluation where often multiple possible explanations need to be explored. Treatment for low sexual desire in men should be etiologically oriented and its comorbid conditions should also be addressed. This paper document mental health of employees working in the customer service, where advisors experimented several stressing conditions due to competitive objective requested by employers. Document presence of neuropsychiatric diseases among customer service advisors Difference in neuropsychiatric diseases for male/female and part-time/full time workers were assessed with unpaired sample t-tests and linear regression Table 1:Profile of people working in customer service in CanadaMenWomenNumber(n,%)590(49,17%)610(50,83%)Mean age±SD26±421±2Education/degree(%) *Secondary/high school *Undergraduate studies *Master's *PhD, Postdoctorate, MBA, etc...280(47,45%) 286(48,47%) 24(4,07%) 0308(50,5%) 289(47,37%) 13(2,13%) 0Part-time workers -20h/week to 29h/week- (n,%)30(5,08%)62(10,16%)Full time workers -30h/week to 40h/week- (n,%)560(94,82%)548(89,84%)Marital Status (n,%) *Single *Divorced *Married420(71,18%) 36(6,1%) 134(22,71%)560(91,8%) 12(1,97%) 38(6,23%)Citizenship *Canadian *International students (with permit of study and permit of work) *Immigrants (permanent resident, refugees)260(44,07%) 180(30,51%) 150(25,42%)318(52,13%) 84(13,77%) 208(34,1%)\nTable 2:Neuropsychiatric diseases among customer service employeesNeuropsychiatric diseases(tests/questionnaires)MenWomenFull time workersPart-time workersFull time workersPart-time workersInsomnia (Insomnia Severity Index)17/2812/2816/2814/28Sleepiness (Epworth Sleepiness Scale)9/245/249/246/24Anxiety (Hopital Anxiety and Depression Scale-A)12/209/2011/209/20Depression (Hopital Anxiety and Depression Scale-B)10/2010/209/209/20 Profile of people working in customer service in Canada Neuropsychiatric diseases among customer service employees The present study alerts on the potential effect of working full time in a call center as a risk factor for neuropsychiatric illnesses. Customer service employees are exposed to a continuous stimulation of their cognitive functions in addition to different stressors which can progressively and silently damage the nervous system. There exists a bidirectional relationship between substance use and sleep disorders. Studies have shown an association between insomnia and a decline in immunity with cytokines having sleep-inhibiting effects. Insomnia severity has also been found to be directly proportional to the levels of cortisol and C-reactive protein (CRP) elevation. Cognitive Behavioral Therapy for Insomnia (CBTI) has demonstrated comparable efficacy with longer maintenance duration after treatment discontinuation in randomized controlled trials of direct comparisons with sleep medication in patients with chronic insomnia. The ultimate aim of this study is to recognize measure and target insomnia among chronic cannabis users seeking treatment. We recruited 13 participants who have cannabis use disorder with concomitant insomnia at the American University of Beirut Medical Center. Participants completed the Insomnia Severity Index (ISI) questionnaire, and a screener for depression and anxiety the Patient Health Questionnaire-4 (PHQ-4) before/after CBTI. Participants wore an actigraphy device 1week pre/post CBTI. Blood samples were taken before/after CBTI. Participants received 4 CBTI sessions over two weeks. Statistical significance was determined by Paired-Samples T test. Preliminary results showed a significant decrease in insomnia (ISI) among participants (0.005). PHQ-4 scores showed a significant decrease in depression/anxiety symptoms (0.007). Actigraphy data showed significant decrease in sleep onset latency (0.007). This pilot study showed that CBTI is efficient in reducing insomnia severity, depression and anxiety symptoms, and sleep onset latency among cannabis use disorder patients. The findings of this study will help in developing further avenues of research relating to sleep, substance abuse and treatment options. The learning process for medical students has always been stressful. The memorization of big amount of informartion by a certain time leads an inexperienced student to mental exhaustion. The aim of the study was to identify the level of procrastination and stress in medical students, differences in the level of procrastination and stress in groups with low and high achievement. The study uses a questionnaire method, the statistical method (SPSS). Two groups of medical students were selected among RUDN medical students (22±2 years). The mean score in the group with low achievement (n=75) in all subjects was 64±4. The group with high achievement (n=75) included students with an average score of 88±2. A statistical analysis was carried out using a non-parametric Mann-Whitney difference criterion. No significant differences in stress levels were found in the two groups (U = 546). There were significant differences in the level of procrastination in the groups with low and high achievement (U = 385, p<0,01). In the group with low achievement, the average procrastination rate is higher than that of students with high achievement. Procrastination negatively affects the performance of medical students. In order to confront procrastination, it is necessary to include short training programs in the educational process, so that students can independently identify the level of procrastination, receive information about methods of dealing with it. The publication was prepared with the support of thr \"RUDN University Program 5-100\" Narcolepsy is a neurological disorder consisting on excessive daytime somnolence and REM-phenomena such as sleep paralysis and hypnagogic-hypnopompic delusions. Type-1 narcolepsy includes cataplexy too. Describing 3 atypical clinical cases on which diagnosis is challenging. Case1: 28 y.o women, treated with Venlafaxine 150mg/d and MethylphenidateXR 27 mg/d for anergy and anhedonia. Comes to our office because she has presented fragmented and no-refreshing sleep for years. She refers having restless sleep, occasionally “acting” her dreams with kicking and punching. She has sleep-paralysis once a month. Case2: 38 y.o. women, refers stuttering in high-emotional or anxiety contexts. She was started benzodiazepines, worsening her symptoms. She refers needing short naps during her work, sleep-paralysis and occasional hypnagogic-hypnopompic delusions. Case3: 59 y.o. male, refers drop-attacks, with no prodromal symptoms and without loss of consciousness. Cardiological and neurological evaluation were normal. He refers falling asleep while having dinner and even while driving. He describes dreaming during a few minutes nap. Every three cases were diagnosed with narcolepsy according to current criteria (normal sleep efficiency during polysomnography) and multiple sleep latency test with latency of <8minutes and at least 2 sleep-onset REM periods. Narcolepsy can be presented with atypical or poor recognizable features, even during adulthood. It is frequent for these patients being diagnosed with depression, anxiety or conversive disorder, resulting eventually in worsening of symptoms. As narcolepsy is a frequent condition, with estimated prevalence of 1 in 2000 people, physicians should be aware, and keep in mind its cardinal features. Sleep related eating disorder (SRED) is included among non-REM parasomnia. Its frequency is probably underestimated, since patients often do not consult, and physicians hardly recognize it as a disorder. Occasionally it may occur as a pharmacological side effect. Describe a case of an unusual type of non-REM parasomnia. A 56 y.o. woman presents to our office referring that, during the last 6 months, when she woke up, finds traces of chocolate and sweets in her bed. She does not remember getting out of bed or eating at night. She has gained 10 kg in this time without having changed her diet, for this reason she started restrictive eating behaviors. She lives alone so there are no witnesses, however she finds every morning changes in the kitchen, such as open cupboards. She has personal history of migraine and sleepwalking in her childhood. She has been treated with Zolpidem 10 mg for the last 5 years, when she divorced. The patient was diagnosed with SRED, zolpidem was discontinued with progressive improvement. SRED consists on episodes occurring during slow-wave sleep on which the patient leaves the bed asleep and eats, especially highly caloric food. Primary forms have been described, but secondary forms are generally more frequent, usually related to treatment with hypnotic drugs such as Zolpidem. SRED can lead to serious consequences for the patient such, for example restrictive eating behaviors during the day. It is crucial to recognize the disorder, in order to eliminate possible triggers. Sleep disorders can warn about the worsening of suicidal thoughts in adolescents regardless of comorbidity with other psychiatric disorders such as an individual's depression, in turn associated with suicidal ideation in the adolescent. 1. Quantify the quality of sleep in the last month of teenagers with suicidal ideation. 2. Describe the dimensions affected. An initial data collection was carried out on adolescents who consulted in the emergency department for suicidal ideation for two consecutive months. They do not take drug treatment. Informed consent of minor participants and parents. Prospective pickup. Pittsburgh Sleep Quality Index Questionnaire (PSQI). Descriptive analysis. 11 women (55%), 9 men (45%) from 15 to 18 years of age. In the global analysis it was observed that 35% of the sample presented severe sleep disorders (mean 15), being more frequent in the female sex. 35.7% of the sample had an average score of 9, which corresponded to regular sleep quality, while 23.3% had corresponding scores with good sleep quality (mean 4). In the dimensional analysis, serious sleep problems were observed that affected: the duration of sleep, subjective quality and sleep disturbances (predominantly 29% female, 22% male nightmares). In our experience, deepening the study of sleep quality in emergencies can be very useful to suspect intense psychic discomfort in adolescents and associate it with suicidal risk factors. This initial study is very limited by the sample size but it encourages us to continue in its deepening. Twenty to thirty percent of children have significant bedtime problems or night wakings, and in most cases, these have behavioural causes and solutions. The term behavioural insomnia of childhood refers to sleep difficulties that result from inappropriate sleep associations or inadequate parental limit setting. Evidence suggests that sleep difficulties have potential negative effects on children's cognitive development, regulation of affect and overall quality of life, as well as secondary effects on parental and family functioning. Review and summarise the evidence-based behavioural interventions for childhood insomnia. We carried out a narrative literature review by performing a search on PubMed database to identify suitable English-written articles. Empirically validated interventions for bedtime problems and night wakings include extinction, graduated extinction, positive routines, and parental education. The healthcare provider should discuss parents’ knowledge and beliefs as well as strategies they have used to help address their child’s sleep difficulties and then adapt the interventions to the child’s age and to the family’s situation. Graduate extinction techniques and controlled crying are more appropriate for younger children, whereas cognitive and coping strategies are better suited to school-aged children. Most children respond to behavioural interventions, with positive outcomes for them and their families. The management of behavioural sleep problems in children should focus on nonpharmacological treatments. Psychoeducation for parents is an important first step in treatment and behavioural intervention strategies are highly effective in treating behavioural insomnias in children. Additionally, pharmacologic therapy is not a first-line treatment and should always be combined with behavioural interventions. Narcolepsy is an important disorder that has its onset in the first decades of life and has severely negative impact over professional, social, and familial functioning. Besides sleep hygiene, psychosocial support and treatment of comorbid conditions, patients diagnosed with narcolepsy receive, in their vast majority, pharmacological treatment. To formulate evidence-based recommendations for the pharmacological treatment of narcolepsy-diagnosed patients. A literature review was performed through the main medical databases (Cochrane Database of Systematic reviews, PubMed, Thomson Reuters/Web of Science, SCOPUS, EMBASE, CINAHL) using the search paradigm “pharmacological treatment” OR “drugs” AND “narcolepsy”. All papers published between 2000 and 2019 were included in the primary analysis. There have been identified two generations of drugs supported by good quality trials that could be recommended in the treatment of narcolepsy. Modafinil, armodafinil, methylphenidate, dextroamphetamine, sodium oxybate may represent the first, older group of available drugs. Solriamfetol and pitolisant are the latest discoveries for this indication, and even if their availability is restricted to certain geographic areas, they are supported by clinical trials. The pharmacodynamic properties of these drugs are very different (from histamine H3 inverse agonists to norepinephrine-dopamine reuptake inhibitor, and from gamma amino butyric acid metabolites to orexin/hypocretin stimulators), and in several cases the exact mechanism of action is unknown. There is a continuous interest for the discovery of new drugs for the treatment of narcolepsy, and both daytime sleepiness and cataplexy can be addressed by currently available drugs. The author was speaker for Servier, Eli Lilly and Bristol-Myers, and participated in clinical trials funded by Janssen Cilag, Astra Zeneca, Otsuka Pharmaceuticals, Sanofi-Aventis, Sunovion Pharmaceuticals. The problem of professional stress among contact center operators, as well as the need to overcome it, are noted by many researchers (Devis, 2000; Feinderg, 2001; Tuten, 2004). The important criteria of effective, successful activity, in addition to objective criteria, can be considered subjective assessment of job satisfaction. The study was held in 40 contact center operators and was aimed to estimate how the specificity of the functional state self-regulation resources of contact center operators corresponds their job satisfaction. The assessment methods included: the job stress survey (JSS), the coping questionnaire (SACS), the hardiness questionnaire, the job satisfaction questionnaire, the scale of psychological well-being and chronic fatigue questionnaire. The results revealed: despite the different subjective image of the working situation, less and more satisfied operators use similar resources of self-regulation of the functional state associated with frequently used professional-disapproved models of coping behavior (aggressive, avoiding actions) and are characterized by acceptance of risk as an indicator of hardiness. The use of these self-regulation resources allows you to overcome chronic fatigue, but do not allow you to maintain a high level of psychological well-being. The risk factors of job dissatisfaction of contact center operators are asserative actions, reducing work engagement, reducing the typical use of prosocial strategies and over-cautious behavior coping behavior. The results of the study can be used in the practical work of the psychologists with contact center operators to prevent stress and improve their effectiveness. The research is supported by Russian Foundation for Basic Research, project 17-06-00994. Suicide attempt (SA) can be defined as a self-injurious behavior that is intended to kill oneself but is nonfatal and suicide when that behavior becomes fatal. Major risk factors for suicide include psychiatric disorders and prior SAs. Personality traits, social and demographic factors also influence this risk. To characterize the SAs (before, during and one year after the treatment) in the Psychiatric Day Hospital. Retrospective descriptive study of the patients admitted to the Psychiatric Day Hospital, between 2015 and 2018. Patients that were still in treatment or that hadn’t complete one year after discharge were excluded; the clinical processes were evaluated to collect socio-demographic and clinical data. From a total of 63 patients (N=63; 100,0%), 21 have had SAs before admission (N=21; 33,3%), 3 during admission (N=3; 4,7%) and 3 after one year of discharge (N=3; 4,7%). 1 patient (N=1; 1,6%) consummated suicide. On total, 23 patients had at least one SA during any of these periods (N=23; 36,5%). From these, the majority were female (N=17; 74,0%), single (N=13; 56,5%) and unemployed (N=15; 65,2%). The most prevalent diagnostic was Borderline Personality Disorder (N=10; 43,5%) followed by Depressive Disorder (N=6; 26,1%). Here we report the trends of SAs ocurred in different periods of treatment, at the hospital day setting. The results of socio-demographic factors were concordant with the literature. It would be interesting to further detail our findings using a prospective methodology, to see the long-term impact of the treatment. INTRODUCTION: Description of a structured work of primary prevention, based on a survey of the prevalence of suicidal behavior in the Brazilian population throughout life, performed by an academic service of psychiatry and chemical dependence. GOAL: Raise awareness of the need to call for help and 24-hour distress hotline phone outreach. METHOD: Clarification actions through the press, development of a suicide prevention lecture program given in schools, surveillance cameras, military institutions, companies and laws, promotion of public events with music, activities, distribution of t-shirts, booklets and leaflets. Result: Result achieved successfully. CONCLUSION: The suicide prevention program has been very successful as the press promotes widespread dissemination of the telephone number for immediate relief. Child sexual abuse is associated with some clinical phenomena that represents a more severe form of bipolar disorder(BD). In fact, it can lead to a higher risk of suicidal attempts. The aim of our study was to evaluate the correlation between early sexual abuse and the likehood of suicidal behavior in bipolar disorder patients. It’s a cross sectional, descriptive study containing 100 bipolar patients type 1 or 2 divided into two groups: 40 BD with suicidal behaviors and 60 BD without suicidal behaviors. Sociodemographic data, family and personal history were collected directly from patients and from their medical files. Patients responded to Childhood trauma questionnaire (CTQ). The analysis was made by IBM SPSS statistics 25. For the analysis of correlations and statistical links, we used linear regression. The mean age of our sample was 42,9+11,5 years. 77% were male, 50% were single. The average CTQ total score was 41,6+10,7. It was 43,5+11,5 for the suicidal patients and 40,3+9,7 for the non-suicidal patients. The average scores for emotional neglect, physical neglect, emotional abuse, physical abuse and sexual abuse were respectively: 10,2 /7,9 /8,6 /8,4 and 6,5 for the suicidal group. we noticed a significant correlation between early sexual abuse and the emergence of suicidal behavior in BD adult patients (p=0,009<0,05), but there was no statistical link between emotional and physical neglect, emotional and physical abuse and the likehood of suicidal behaviors. Childhood traumas, especially sexual abuse seem to be a predictor factor of suicidality in BD. we need to asses these childhood adversities to prevent self-destructive behaviors. Impulsivity is a prominent aspect in bipolar disorders (BD), it contributes to many of its complications including suicidal behavior. The aim of our study was to evaluate the impulsivity rates in BD patients and to search for a correlation between this trait and the emergence of suicidal acts. It’s a cross sectional, descriptive study including 100 bipolar patients type 1 or 2 divided into two groups: 40 BD with suicidal behaviors and 60 BD without suicidal behaviors. Sociodemographic data, family and personal history were collected directly from patients and from their medical files. Patients responded to BIS-11: Barrat impulsivity scale traduced and validated in our dialectal Tunisian language. The analysis was made by IBM SPSS statistics 25. For the analysis of correlations and statistical links, we used linear regression. The mean age of our sample was 42,9+11,5 years. 77% were male, 50% were single. The average BIS-11 score for our sample was 69,2±10,7. It was 73,7±10,9 for suicidal patients and 66,2±9,6 for non-suicidal patients. We found a statistical link between high rates of impulsivity BIS-11>75 and suicidal behavior in BD patients (p<0,001 OR 3,6) High rates of impulsivity are statistically associated with suicidal behavior in BD patients. Screening for impulsivity traits in BD patients using objective measures is mandatory in order to predict and prevent suicide in this risky population. Bipolar disorders (BD), either type 1 or type 2, are associated with high rates of suicide attempts (SA). Suicidal ideations and planification can lead to different methods of SA. The aim of our study is to describe and evaluate the several methods of SA in our Tunisian community and to compare our results to those all over the world. It’s a descriptive study of 40 bipolar disorder patients. All of the patients reported at least one suicidal behavior in their life. Sociodemographic data, family and personal history were collected directly from patients and their medical files. Semi structured interviews were conducted to investigate closely about the suicidal attempts. our sample contained 40 BD patients. The mean age of our sample was 41,8+10,6 years. 57,5% were male, 55% were single. 82,5% attempted suicide at least once in their lifetime and 17,5% self-destructive behavior (suicidal equivalent). Drug overdose was the mostly reported method in 47,5% of cases, caustic products in 20%, hanging and wrist-cutting in 10% both, self-strangulation in 7,5%, immolation in 5%, drowning and jumping from height in 2,5% both. We see that we didn’t find the use of firearms, a way mostly reported in the USA. Our results are different from countries in which we do not share the same culture and laws. the knowledge of these methods helps us prevent suicide even with the cultural differences. The efficacy of dialectical behavior therapy (DBT) in adolescents with non-suicidal self-injury (NSSI) or suicide attempts (SA) has been supported by two randomized clinical trials (RCT). These studies could not be generalizable to the daily clinical routine and self-reported measures used may be unresponsive to the change compared to the measures assessed by clinicians. This study evaluates the effectiveness of DBT compared with treatment as usual plus group sessions (TAU + GS) in adolescents with suicidal risk in a mental health center, using self-reported measures and those evaluated by the clinician. 35 adolescents with repetitive NSSI and/or SA during the last 12 months were recruited and randomly assigned to DBT (n = 18) or TAU + GS (n = 17), to receive both group and individual sessions for 16 weeks. The Columbia Suicide Severity Rating Scale (C-SSRS); the Beck Depression Inventory (BDI-II) and the Suicidal Ideation Questionnaire (SIQ) as self-report measures and the Clinical Global Impressions (CGI) and Children's Global Assessment Scale (CGAS) evaluated by clinicians, were included pre and post-treatment. Generalized linear models were constructed. The adolescents in DBT improved significantly in the CGAS (p <0.001) and in the CGI (p <0.049) compared to TAU + SG. The self-reported measures showed no significant differences. Both the CGAS and the SIQ-JR improved significantly at the end of the treatment regardless of the treatment. These results confirm the effectiveness of DBT in adolescents with suicidal risk in the daily routine. Clinical judgment could potentially be more sensitive than self-report measures. A history of suicide attempts represents the strongest predictor of completed suicide. Studies suggested that multiple suicide attempters (MSAs) might present a higher risk of suicide than those who attempted once (SSAs). To date, only a few studies examined the characteristics of MSAs compared to SSAs. To assess the socio-demographic and clinical characteristics of SSAs, MSAs, and suicidal ideators (SIs) and compare the risk of reattempt. We hypothesized that MSAs might be at higher risk of reattempt compared to the other groups. The study sample consisted of 153 adult inpatients admitted to the emergency psychiatric unit at Sant’Andrea Hospital in Rome. Patients with suicidal ideation or attempted suicide were included. We divided them into three groups using the Columbia Suicide Severity Rating Scale (58 SSAs, 65 MSAs, 30 SIs). Socio-demographic and clinical features were collected through interviews and the Beck Hopelessness Scale (BHS). Continuous variables were compared using Student’s t-test and Kruskal Wallis test, categorical variables through χ2-test. The components “future expectations” and “loss of motivation” at the BHS were significantly higher in SAs than in SIs (p=0,021; 0,006). MSAs, compared to SSAs, presented more lethal than suicide attempts (2.3±0.9 vs. 1.5±1.1, p<0.001). According to our preliminary findings, having attempted suicide is associated with lower hope and motivation towards the future and increased lethality of the subsequent attempts. Our results confirmed that MSAs are at higher risk of reattempting suicide using a more lethal method than SSAs. In Central-America, hospital-based self-harm surveillance systems are scarce To describe sociodemographic and clinical characteristics of admitted patients with non-fatal self-harm and self-harm repetition in urban Panama from 2009 to 2017, and to investigate their association with severity of the intent-to-die Data were derived from self-harm clinical files of a public hospital at Western Panama (population 576,322). Logistic regression models were used to estimate the association between sociodemographic-clinical variables and severity of the intent to die, expressed as odds ratios (ORs) and 95% confidence-intervals (CIs). The median survival time for self-harm-repetition was calculated using Kaplan-Meier method. A total of 962 subjects with non-fatal self-harm were recorded, whose 90.8% were index events. The prevalence of self-harm was higher in women (67.9%) and among those below 19 years of age (40.1%). In women, medication overdose was the most common method of self-harm (58.7%) whereas in men, self-poisoning/cutting (28.3%) were the most frequent. Psychiatric disorders were present in 36.3% of the cases, with mood disorders accounting for 63.1% of the conditions. Lifetime self-harm prevalence was 39.6% and the median time of self-harm repetition was 1.1 years. Mental health comorbidities (OR2.1; 95% CI 1.5-3.1), medical comorbidities (OR1.6; 95% CI 1.1-2.4), family history of suicide (OR1.6; 95% CI 1.0-2.3) were associated with severity of the intent-to-die. Studies at the national level are warranted to investigate main self-harm risk factors, particularly across younger ages. Our findings highlight the need of implementing hospital-based self-harm surveillance systems and suicide prevention programs tailored at population at risk. The knowledge of risk factors associated with self-directed violence behaviour in people with severe mental illness (SMI) is important in clinical practice. To identify the risk factors of self-directed violence behaviour in people with SMI. This scoping review considered systematic reviews and meta-analysis that included studies of risk factors for completed suicide, suicide attempts or self-harm in adults with SMI. No language or publication period restrictions. The databases Pubmed/Medline, Cochrane Library, Pubmed, PsycINFO, and WOS were searched until August 2019. 1297 articles were examined and 6 reviews were included. Some of the risk factors found were a family history of suicide, comorbid substance use disorder or alcohol use disorder (Table 1). There are some modifiable risk factors, and strategies to improve them may lead to a reduction in self-directed violence behaviours in people with SMI. Suicidal behavior includes a heterogeneous set of ideas or acts done voluntarily for the apparent purpose of ending one's life. The psychiatrist must carry out a complete psychopathological examination to establish the severity between cases of: suicidal ideation, autolytic gesture and suicide attempt. Depending on the clinic, the best treatment area will be decided: home discharge or admission (voluntary or involuntary) in the psychiatric hospitalization unit. To study which autolytic behaviors are subsidiary of hospital admissions most frequently Retrospective descriptive study. Data obtained from the SESCAM computer base. The clinical data of patients of legal age admitted during the year 2018 were collected. 211 patients were studied, of which 39% were male. The average age was 47 years. Regarding suicidal behaviors, the diagnoses that led to income were: • 11% Suicide attempt (n = 23) • 8% Suicidal ideation (n = 16) • 3% autolytic gesture (n = 7) Of the total of patients admitted during the year 2018 in the psychiatric hospitalization plant, 22% was due to suicidal behaviors, there being a higher prevalence of income from autolytic attempts than by ideation or autolytic gesture. The study reflects how autolytic attempts, due to the clinical severity they entail, are the suicidal behaviors that require the most income. Although autolytic gestures and the presence of autolytic ideation can be considered less serious, it is important to always carry out a complete psychopathological examination, because some of them, due to the risk they present, require admission to the hospitalization unit. El 2017 se suicidaron en España 3.679 personas, según el Instituto Nacional de Estadística. Fueron el 5% de quienes lo intentaron. Canarias ocupa el tercer puesto en la clasificación de suicidios por 100.000 habitantes, con 9,06 personas. Suicidio \"un acto deliberado de quitarse la vida\" (1). El deseo de morir representa la insatisfacción del individuo con su modo de vida en el momento actual (2). El intento suicida es un acto donde la inminencia de la consumación del hecho revela su intencionalidad fatal o su gravedad factual (3). El suicidio es más común en varones, pero las mujeres lo intentan más (1,4). La armonia familiar reduce riesgo de conducta suicida y discordia la incrementa (5). Identificar los principales factores asociados al intento suicida en Fuerteventura. Se hizo una encuesta y el cuestionario SAD PERSONS, en urgencias del hospital de Fuerteventura, se evaluaron a las personas con intento de suicidio, de noviembre de 2008 a mayo de 2009, por psicologo o psiquiatra de guardia de la unidad de internamiento breve; los criterios de inclusión: mayor de 18 años, que otorgue su consentimiento y que sea capaz de responder coherentemente. Hubieron 22 personas. El 72,74% fueron varones, las mujeres tenian un promedio de 39,67 años. El 63,64% del total no tenia trabajo. Respecto a los motivos por lo que intentaron: 8 con enfermedades físicas terminales, 6 por fracaso sentimental, 5 problemas económicos, 2 perdida reciente del trabajo y 1 con esquizofrenia. Factores asociados las pérdidas: de salud física(36,36%), mental (4,55%), trabajo (9,09%), economia (22,73%), pérdida sentimental (27,27%). Asturias presented the highest standardized suicide mortality rate of the Spanish Autonomous Communities between 2010-2015. In Asturias, a multidisciplinary protocol has been established since 2018 to treat patients with high suicidal risk. This study aims to identify predictors of suicide in patients with suicidal attempt who are followed-up an in the Intensive Intervention Program. The study took place in Mieres located in Asturias. Mieres constitute Health Area VII of Asturias. The sample includes patients followed up at the Intensive Intervention Program due to high suicide risk (28 individuals). The following variables were collected in september 2019: repeated attempts, socio-demographic and clinical variables, lack of adherence and the Mini International Neuropsychiatric Interview and Clínica Global Impression for Severity of Suicidality, (CGI-SS). The association between suicidal attempt and qualitative study variables was performed using Chi-Square and for the quantitative, T-Student was used. The analysis was carried out with the software SPSS 19.0. A total of 32 suicide attempt presentations (55 % male) were made by 22 individuals (78.58%). Almost 70% of the suicide attempts involved a drug overdose. Incidence rates varied widely by sociodemographic characteristics with especially high rates among separated/ divorced men (2.4%) and women (1.1%). The unemployed had higher rates (82%), but being unable to work because of illness or disability. A psychiatric diagnosis was specified in 100% of all acts of attempted suicide. Mood disorder was the most commonly. This study showed evidence of significant variation in the incidence of suicidal risk factors in our population subgroup. Exploration of genesis of suicides in adolescence is of major importance for understanding the etiology of suicidal behavior. Main objective was to test a hypothesis about narcissistic crises and narcissistic conflicts as main psychological determinants for suicidal behavior. The hypothesis stated that it was possible to explain at least some suicides by specifics of adolescent crisis. Anamneses of 26 adolescents aged between 14 and 17 with attempted suicide were explored, all of them were involved in rehabilitation programs in the psychiatric facilities. The features of narcissistic crises were discovered in all the anamneses. Moreover, the family situation was explored. These data allowed to grasp the mechanisms responsible for development of narcissistic crises and conflicts. Thus, the ideal model of adolescent crisis was constructed for families with the only child and disturbance in family function (long conflict, bitter divorce, etc.). 12 of 26 researched adolescents fitted into this pattern completely. The other 14 cases can be perceived as subvariants of this model. 1) The position of the only child and problems within the family may serve a basis for narcissistic adolescent crisis, which may lead to the attempts of suicide. 2) During diagnostics and prevention of suicide, the therapist should pay attention to position of the child and specifics of the object relations formed in adolescents in particular families. These data could be used for deeper understanding of suicide in general. Thus, adult suicide could be based on the adolescent conflicts and serve as means to resolve them. A 54-year-old male patient, with two previous autolytic attempts through drug overdose, of which the first required an admission in the Psychiatry Unit, who went to the Emergency Department with new suicidal ideation that motivated his admission in the Psychiatry Unit. During said admission, the patient presented persistent and poorly structured suicidal ideation, with no criticism of them, in a context of depressive mood and a conflicting familiar situation. Complete analytics revealed no pathological findings. Differential diagnosis was established among major depressive disorder, mixed anxiety–depressive disorder, adjustment disorder and dysthymia. Initially he was prescribed Venlafaxine 225mg per day along with mirtazapine 30mg and zolpidem 10mg per night. Psychotherapeutic treatment was also started at the beginning of the admission and maintained throughout admission. A clear improvement was observed in his mood with the cessation of suicidal ideation during the admission. It is essential to perform an accurate differential diagnosis in depressive disorders with suicidal ideations. Venlafaxine along with psychotherapeutic treatment may be an effective treatment in mood disorders with suicidal ideation. Suicide is a significant public health issue, with more than 800,000 annual deaths worldwide. Suicidal ideation and attempts are known to be strongly associated with completed suicide. In Cantabria (Spain) we have implemented since 2016 the Suicidal behaviour management Program for suicide prevention (CARS) with fast and intensive outpatient assistance: First consultation in 24-72 hours; daily follow-up (if necessary); treatment for 1-3 months. The aim of the programme is to prevent the risk of suicide after a suicide attempt or suicidal ideation and to reduce the recurrence of suicidal behaviour (SB). Open cohort study with 12-months follow-up in Valdecilla University Hospital (Santander, Spain). 795 consecutive patients treated in the emergency department for attempted suicide or suicidal ideation during 42 months (March-2016/August-2019); 426 were treated in CARS (mean age=43; range 18-89; 58% women; 68% suicide attempts). Hospital admission for SB management has been less frequent in CARS reference care area (11%), in comparison with other care areas in Cantabria (32% and 27%; p=0,03). In patients treated in the first year, a significant decrease in the recurrence of SB has been observed (6% in CARS; 33% in others) as well as the need for psychiatric admission (7% CARS; 44% other) in 12 months after the index episode. The rapid and intensive intervention carried out in the CARS Program in Cantabria (Spain) has proven effective in reducing the need for hospital admission for suicidal risk management (19%), the recurrence of suicidal behaviour (27%) and the psychiatric admission (37%) in the following year. The comprehensive approach to suicidal behavior in the bio-psycho-social mental health model includes intervention on psychological and social factors. However, psychotherapeutic interventions for the treatment of suicidal behavior are not standardized and do not pay attention to changes in the cognitive and emotional domains. Since March-2016 in Cantabria (Spain) there is a Suicide Behavior Management and Suicide Prevention Program (CARS). To implement a standardized psychotherapeutic group intervention to modify psychological risk factors of suicide, within the CARS program. Specific group intervention (6-10 patients, 10 sessions, 90 minutes, weekly frequency) aimed at modifying the psychological risk factors of suicide: hopelessness, impulsivity and social cognition. Satisfaction with the treatment received was measured with the Consumer Reports Effectiveness Scale (CRES-4). 23 patients participated in 3 groups: average age 44 years, mostly women (60.9%), with a medium level of education (15 years), married (34.8%) or divorced (34.8%), working (47.8%), with family support (52.2%) and mostly (47.8%) without prior suicide attempts. Only two patients (8.6%) left voluntarily the group. The results showed a high efficacy of the treatment according to patient satisfaction (total mean CRES-4 = 240/300). The application of the group intervention were very satisfactory for the patients, who showed a high adherence and perception of improvement of their mental health status. Although the sample is still small to be able to analyze the changes in the psychological risk factors, this experience remarks the relevance of psychotherapeutic group intervention within the assistance programs aimed to prevent suicide. The World Health Organization (WHO, 2012) considers suicide as a public health problem, taking into account its high prevalence, especially, in adolescents aged 15 to 24, which places it as one of the three most frequent causes of death for this age group. Studies have suggested that the type of beliefs about suicide are related to an increased suicide risk. Identify the relationship between attitudinal beliefs about suicide and the suicide risk in young people from a private university in Montería, Colombia. It is a correlational and cross-sectional study where 181 university students, 136 women and 45 men, between 17 and 25 years old participated. Sex comparisons of suicidal risk tests and attitude beliefs about suicidal behavior were performed by using the T-Student test. The significance level assumed in these tests was 0.05. A significant and positive correlation between beliefs about suicide related to terminally ill patients and the risk of suicide was found in the study. There is a significant and positive relationship between attitudinal beliefs about suicide (legitimization of suicide, suicide in terminal ill patients and own suicide) and the suicide risk in young participants. Also, the correlations made by sex indicate that the male gender assumed a higher score than women in the dimensions of Legitimation of suicide, Suicide in terminal ill patients and Suicide Risk, which indicates that they have a favorable attitude and acceptance towards suicide, and a higher risk of suicide. Dentists are health professionals that have a high risk of suicide (Petersen & Burnett, 2008). That is why it is very important to know the personality factors that reduce the risk of suicide still in the process of studying their future profession. The goal of the research is to determine the personality factors that are interrelated with a reduced risk of suicide in dental students. The study is based on the survey of 163 undergraduate dental students aged 20.1±5.5. To identify intrapersonal anti-suicide barriers, we used a questionnaire aimed to assess the level of satisfaction with an individual’s own personality and actual social situation. The majority (86.5%) of the surveyed students revealed a high anti-suicidal barrier, which manifests itself in a categorical rejection of suicide. 4.3% of the students justify the possibility of suicide as a way out of an insuperable life situation, 9.2% of the surveyed students showed a low anti-suicidal barrier admitting a person’s right for suicide. Correlation analysis proved that a more evident manifestation of anti-suicidal barrier is directly interrelated (р<0.05) with a higher level of religious faith (r=0.29), affiliation with either Orthodoxy or Islam (r=0.32), a higher personal wellbeing index (r=0.27) and greater satisfaction with their homeland (r=0.30). Most of the future dentists have developed anti-suicide barriers, which are determined by high levels of faith, satisfaction with their personal wellbeing and their homeland. These factors may go together in the same category of belonging, which allows a person to combine personal interests with the social ones. For many years now, the role of difficulties in emotion regulation in suicide has been consolidated. To date, there are numerous studies that have investigated the different components and mechanisms of emotional regulation that play a role in suicidal ideation and gestures. However, there is still no consensus on which are the suicide-specific emotion regulation difficulties. To summarize our knowledge on difficulties in emotion regulation strategies and suicide, with the aim to provide a more systematic knowledge on the topic. The systematic review work has been carried out in compliance with PRISMA (Moher et al., 2009) standards. Computer database researches were conducted using the following databases: Psychinfo, Psycharticle, Medline, Scopus, Web of Science, and PubMed. Search terms were compiled into two concepts for all database namely emotion regulation strategies and suicide. After duplicates elimination, record and papers have been screened, according to inclusion and exclusion criteria. The studies included in the systematic review appear to be very heterogeneous in their nature, due to the complexity of the phenomenon and to the variability of the approaches in the study of suicide and suicidal ideation. Despite the interesting preliminary results, additional research is needed to provide a greater understanding of the interplay between the different emotion regulation strategies and suicide ideation, with the aim to develop more effective protocols of prevention and treatment. Suicide ideation and attempts are very distinctive in pathological narcissism pathology, as in all cluster B personality disorders. However, the mechanisms by which the grandiose and the vulnerable aspect give rise to the suicidal themes remain unclear as there is no agreement in literature on which aspect of narcissism is predominant in suicidal phenomena. To offer preliminary empirical evidences concerning the relationship between both vulnerable and grandiose narcissism and suicide ideation. We administered Pathological Narcissism Inventory (PNI) and Beck Scale for Suicidal Ideation (BSI) to a sample of individuals with Suicide ideation (n= 71) and a sample of community participants (n=150). Controlling for age and gender, we found that BSI scores correlated significantly with the vulnerable dimension of narcissism, but not with the grandiose one, and it predicts BSI scores. Nevertheless, grandiose narcissism moderates the relationship between vulnerable narcissism and suicidal ideation. Suicide ideation seems to be deeply connected with pathological narcissism, both in its vulnerable and grandiose aspects. Moreover, it is evident that it is not possible to consider separately the two dimensions of narcissism as they are deeply interrelated. Future directions and clinical implications are discussed. Studies shows that about 16% of patients who attempted suicide are more likely to repeat the act within the first year; 23% within 4 years. Suicidal tendencies represent one of the main predictors of suicidal behaviors within one year. The aim of the research was to evaluate how motivation and modality of a suicidal behavior changes over time. The purpose was to identify the risk factors, so that a correct prevention strategy could be put in action. The Department of Mental Health carried out an observational study involving 4 hospitals between 2016-2017. The study analyzed all the requests for counseling from patients who presented self harm and a suicidal thought. The overall number of samples analyzed between 2016 and 2017 were 516 (n.273 in2016, n.243 in2017). Women presented a higher percentage of suicide attempts compared to male suicide attempts (51.6% vs 48.4%); The non-therapeutic drugs taking was the most frequent case (39.5%) in both sexes (61.3% vs 38.7%). In addition to this, death by hanging appears to be present in the male gender only. Patients who presented a suicidal behavior between 2016 and 2017, arrived in A&E with psychopathological problems which included mood swings (23.6%, F:54.1% M:45, 9%), whereas among the psychosocial problems were conflicts with the partner (56.8% vs 43.2%) and family problems (58.5% vs 41.5%). From the data found it emerges that a greater suicidal tendency occurs more in women than in men, who on the contrary, present more cruel, bloody actions. A careful analysis carried out over time could be the answer to manage all the red flags. The prevalence of self-harm is high; UK guidelines recommend harm-minimisation (HM), where people who frequently self-harm are supported to do so more safely using strategies such as using rubber bands or sterile blades, despite a lack of evidence. To determine the prevalence and characteristics of those who self-harm and practice HM within a London mental-health trust. Electronic health records from 2006-2016 for patients within Camden & Islington NHS trust were included. Keywords such as ‘self-harm’, ‘reduce harm’ and ‘harm minimisation’ were used to search records. Once identified, these were manually screened to identify patients who used HM for self-harm. Patients were matched with a control group that self-harm, but don’t use HM techniques, to compare demographics using logistic regression. 1133 documents were identified and manually coded; 210 of these 146 patients using HM. HM was categorised into four techniques: ‘sensation’ such as rubber bands (57%), ‘process’- using red pens (2%), ‘damage reduction’ such as the self-injury location (6%), ‘damage limitation’- antiseptic techniques (5%) or no details (30%). On comparison to 7242 control patients self-harming, those that practice HM were more likely to be younger (mean age=29.3, p<0.001), female (75% p<0.001), (white ethnicity 73%), employed (25% p<0.001) and have more previous admissions p<0.001. HM is being used in clinical practice despite the lack of guidelines. Although half of HM described sensation techniques, a third had no details described, demonstrating the lack of clarification without clear guidelines. More research is required to determine the most effective techniques to inform policies and guidelines. Suicide should be a global public health concern. It is crucial to identify the risk factors for suicide in order to prevent their effects. There are a lot of variables like demographic factors, social psychological aspects, mental illness, inadequate living environment or life events which can make a patient vulnerable for suicide. The aim of the study is to highlight as many factor as possible predisposing to suicide in young people. This is a retrospective study, including 103 patients aged between 16 and 25, who were hospitalized in Târgu Mureș Psychiatric Clinic No 2. For each of this patients, we took into account the demographic data, then we emphasized risk factors like conflict living environment and family environment, social support, negative life events, alcohol or drugs abuse, mental illness and personality disorders, other associated diagnoses and also we analyzed the suicide attempt methods. Family conflicts and lack of social support are the biggest triggers for suicide in young people. Borderline personality disorder is the most common in young patients who committed suicide or al least, had suicidal ideation. The most commonly method of suicide was the ingestion of different substances. Nowadays, suicide in young people is a major problem because the number of cases is constantly increasing. Furthermore, there are new influencing factors like social networks for example and new social psychological aspects that are less investigated, but which represents real dangers. \"Suicide prevention\" is considered to be one of the directions of the Governmental Programme for 2018-2030 regarding protection of mental health. Suicide is a very sensitive topic in Kyrgyzstan. Most of the cases remain unsolved due to the influence of culture, religion and other reasons. The objective of this study is to identify groups and factors of suicidal risk in the Kyrgyz Republic. Collecting, statistical processing and analysing of data over the past 10 years from various sources were used. There has been a decrease in prevalence of both completed suicides (2012 - 9.3, 2018 - 5.9 per 100.000 of the population), and suicidal attempts (2012 - 27.9, 2018 - 16.7 per 100.000 of the population). The analysis revealed that rate of suicides and suicidal attemts remains stably high in 3 provinces - Issyk-Kul, Chuy, Naryn for many years. 67% of suicides are commited by unemployed. The greatest number of suicides are committed by people aged 30-40 years, about 14% of completed suicides - children and adolescents. 23% suicidal attempts are made at the age of 18-24 years. Completed suicides are consistently 4 times more likely to be committed by men, at the same time with a growth trend of suicidal attempts. The predominant way to commit completed suicide is self-hanging (91.6% in 2019), as for suicidal attempts - self-poisoning with about 25% cases using psychotropic and anticonvulsants. The identified groups and factors of suicidal risk are the criteria for the development of differentiated measures to prevent suicides in Kyrgyzstan. Addressing patient safety concerns within mental health services has largely focused on the outcome of investigations of isolated untoward incidents with particular attention paid to addressing case-based putative causal factors. However, it is increasingly recognised that analysis at the level of single incidents has limited power to identify systemic factors that compromise safety and may lead to recommendations with unanticipated adverse consequences. A hazard and operability study (HAZOP), which has an established track record in industry, is a structured examination of a complex process to identify problems that may lead to hazardous events. The study objectives were to (i) develop a model based on HAZOP principles for examining system-level problems associated with patient safety, and (ii) pilot the model. The developed model was tested by piloting it in exploratory discussions with mental health clinicians. The model involves (i) developing a process flow diagram (patient movement through time within service); and agreeing (ii) nodes (significant activity areas), (iii) design intent (what should happen and why), (iv) deviation (what does happen to increase risk and why), and (v) causes, consequences, safeguard, and actions for each deviation. Factors contributing to risk-outcomes were grouped within the following themes: (a) clinical, (b) resource, (c) service complexity, (d) transactional (i.e. agreement/disagreement between individuals/teams), and (e) cognitive biases (i.e. heuristics influencing clinician decision-making). The use of the HAZOP approach to explore the causes of risk outcomes in mental health services uncovers causal factors amenable to change which are unlikely to be identified in single case investigations. It is known that poor mental ill-health is associated with suicide; the relationship between physical health conditions and suicide is unclear. To quantify the relationship between physical health and risk of suicide. Data for 1,196,364 adults (aged 18+) were identified from Northern Ireland’s 2011 Census records and linked to death registrations 2011-15. Baseline self-reported measures of chronic physical and mental health, and socio-demographic attributes were derived from the census records. Logistic regression was used to construct models to test associations. About 14% reported 2-or-more chronic physical health conditions and 25% had limitation of their daily activities. 51,672 individuals died during follow-up; 877 due to suicide. The gradient in suicide risk and number of physical conditions disappeared following adjustment for activity limitation. People with activity limitation were about three-times as likely to die from suicide though this was reduced to OR 1.72 (95%CI: 1.35–2.20) with further adjustment for poor mental health. The relationship between activity limitation and suicide was much more pronounced at younger ages (under 60 years) than in those aged 60 years and over. This study suggests that it is the effect that physical illness has on a person’s life, in terms of disruption to daily activity, rather than the number of conditions that predicts suicide risk, though the effects are mainly evident at younger ages. This suggests that improved awareness and better management of the mental wellbeing of people with physical health conditions might help to reduce suicides, especially in younger persons. Complicated grief affects about 7-10% of grieving people, being more frequent in the context of sudden or traumatic death of closer relatives. Suicidal behavior is a complex and multidimensional phenomenon and considered a major cause of injury and death worldwide. It is known that each suicide is associated with about 6 grieving people, with 21% of people worldwide experience suicide during their lifetime. To review the literature regarding the prevalence of complicated grief in suicide survivors, its characteristics and implications, namely the presence of psychiatric comorbidities and suicidal ideation. Literature research was performed (PubMed, Embase and PsychInfo) using the terms grief, complicated grief, suicide, suicidal behavior and suicidal ideation. All papers written in English, Portuguese and Spanish were analyzed. Complicated grief is more frequent in suicide survivors, affecting up to 40% of individuals grieving the death of a close relative. It increases the risk and prevalence of grief associated depression, as well as the appearance of suicidal ideation and suicide attempt. Research has also shown that people grieving from suicide experience high levels of perceived stigma, with an impact on the adjustment process and help seeking behavior. This barrier promotes the development of complicated grief and associated depressive episodes, with marked functional and social impairment. It is important to approach suicide survivors as a high risk group for the development of complicated grief, depression and suicidal behavior. Access to mental health support and treatment should be facilitated and community interventions to reduce suicide stigma promoted. Suicidal behavior is a complex and multidimensional phenomenon and considered a major cause of injury and death worldwide. Mental illness is the major risk factor for consummated suicide or suicidal behavior. Chronic medical conditions also play a role in suicidal behavior risk. Despite this awareness and statistics, suicidal behavior prevalence remains highly underestimated and the number of consummated suicides is far from real. To study the Clinical and sociodemographic characteristics of individuals admitted for inpatient treatment, due to suicidal ideation/suicide attempt. Retrospective observational study of inpatient treatment episodes due to suicidal ideation/suicide attempt between january 1st 2018 and june 30th 2019 in the Psychiatry Service of CHUSJ. Data collected included sociodemographic characteristics and clinical features. Descriptive analysis of the results was performed using SPSS (v.26). There were 193 admissions for suicidal ideation (59,6%) or suicide attempt (40,4%). Most were female patients, married and unemployed, with an average age of 45,8 yo. Eighty-three percent had a previous diagnosis of psychiatric illness, mainly ICD-10 F30-F39 category (Mood disorders). Fifteen percent had history of chronic medical conditions (neurologic, neoplastic or infectious). The main autolytic method was voluntary prescription drug intoxication (25,6%), followed by stabbing injury. The most frequent diagnosis at discharge was F43.2 (Adjustment Disorder). It is important to acknowledge the characteristics of people who present suicidal behaviors, in order to improve prevention plans, especially in community settings. Action should be taken in order to improve mental health care and quality of life. While the relationship between catechol-O-methyltransferase (COMT) gene polymorphisms and suicidality was reported in several psychiatric disorders, there is no data for schizophrenia. Given the high prevalence of both dopamine abnormalities and suicidal behavior in schizophrenia, we aimed to investigate the association between COMT rs4680 and rs4818 polymorphisms and suicidality in schizophrenia. In this cross-sectional study, patients were evaluated using structured interview for the Positive and Negative Syndrome Scale (PANSS). The severity of negative symptoms was evaluated by the Clinical Assessment Interview for Negative Symptoms (CAINS). Heaviness of nicotine dependence was rated by The Fagerström Test for Nicotine Dependence (FTND). The presence or absence of a previous suicide attempts was assessed. Among 302 biologically unrelated Caucasian patients with schizophrenia (58,9% males, median age 42 years), 68 had previous suicide attempts. The frequency of COMT rs4818 GG genotype among respondents with positive suicide attempt history was almost twice as high, compared to patients without previous suicide attempts (25% vs 13.7%) (X2=0.026). No other differences in terms of suicidality were found in the distribution of either COMT rs4680 genotypes or haplotype analysis. Of note, patients wth positive suicide attempt history had higher FTND (p=0.002) and CAINS vocacional functioning subscale (p=0.020) scores, than those without previous suicide attempts. In patients with schizophrenia, the presence of previous suicide attempts was associated with the high-activity COMT rs4818 AA genotype, the severity of nicotine dependence and vocational dysfunction. Under-reporting, misclassification and under-counting of suicides are widespread around the world. The World Health Organization publishes estimates of national suicide rates which may differ substantially from those reported by the countries themselves. When comparing suicide rates there is good reason to seek out and evaluate reported rates of so-called 'hidden suicides'. To examine and compare changes in mortality statistics provided by selected countries concerning deaths attributed to suicide, Event of Undetermined Intent, non-transport accident, and ill-defined or unknown cause. On-line data from official national statistics offices and the World Health Organization were downloaded in order to compare rates of suicide and of deaths where the intent or cause remained ill-defined or uncertain, between countries and over time. The United Kingdom reports low (recently escalating) suicide rates, but relatively high rates of \"undetermined deaths\" (3 to 5 per 100,000). Rates in European nations can be compared. There were abrupt, substantial and lasting reductions in \"undetermined death\" rates in France (in 2000), the United Kingdom (2007), and Germany (2011); Spain reports a rate of 0.2 per 100,000. Deaths coded as \"natural\" but of ill-defined or unknown cause have been given little attention when discussing potential havens for \"hidden suicides\". Australia reported recent death rates per 100,000 as follows: suicide 12.9, \"undetermined intent\" 0.8, ill-defined or unknown cause 4.2, and non-transport accident 6.6. National reports concerning changes in suicide rates commonly fail to mention or discuss reasons for inaccuracies resulting from misclassification (mis-coding) of causes of death. Variations between countries need analysis. Incidence of suicide in HIV- infected people (HIP) has been reported as greater than in the general population (GP) (with wide range, 3-66 folds). In Chile 1800 suicides occurr annually, 11.7x105 (19 in men, 4.4 in women). Rate in HIP has not been studied, nor its characteristics To evaluate the frequency of suicide of an adult HIP cared for in a public HIV center in Santiago, Chile Restrospective observational unicentric study of causes of death according to local database and death certificates from the national registry in patients enrolled in the center from Jan/1/1991- Aug/31/2019 Out of 7709 HIP from the center, 1384 had died in the study period (18%); accurate data of cause of death was obtained from 933 (67%). We found 15 cases of suicide (1.6% of all causes of death with proper data), all male. Average age at death was 40 years (range 27-67), 13 cases died from hanging (87%), 2 (13%) from jumping and in 1 the method could not be determined. Median from HIV diagnosis to death from suicide was 6,6 years (range <1- 17). Suicide as cause of death in this population has probably been underestimated, both due to lack of proper data and subregistry in death certificates. Main suicide method (hanging) is the same as that in the chilean GP. Noteworthy to highligh is that most cases occurred in young males, years after HIV diagnosis. A more comprehensive evaluation of the issue is needed to understand suicide in this population and prevent its ocurrence Suicide is one of the leading causes of death among people with psychotic illness. Our goal was to investigate the frequency of suicidal ideation, suicide attempts and completed suicide in four groups of psychotic disorders. A systematic review was performed using Scopus and Pubmed databases (1990-2018) according to the PRISMA directives. Relevant papers on the field were also identified through other sources. Search terms: suicidal OR suicide AND prevalence OR incidence AND “delusional disorder” OR schizoph* OR schizoaff* OR psychosis OR psychotic. Inclusion criteria: studies in English, German, French or Spanish reporting the frequency of suicidal ideation, suicide attempts and completed suicide in samples of delusional disorder, schizophrenia, schizoaffective disorder or first-episode of psychosis (DSM, ICD). A total of 4081 abstracts were retrieved (Pubmed: 2057; Scopus: 2004; Other scources: 20). After screening and selection processes, 170 studies fulfilled our inclusion criteria. After duplicates were eliminated, 144 records were selected: Schizophrenia (n=101), schizoaffective disorder (n=8), delusional disorder (n=6) and FEP (n=29). (A) Schizophrenia: suicidal ideation, n=16 studies (Range: 7.7-49.28%); suicide attempt, n=62 (Range: 7.45-77.5%); completed suicide, n=46 (Range: 0.18-48.6%). (B) Schizoaffective disorder: suicide attempt, n=6 (Range: 11.9-50%); completed suicide, n=2 (Range: 1.7-21.4%). (C) Delusional disorder: suicidal ideation, n=3 (Range: 19.3-31.8%), suicide attempt, n=4 (Range: 0-20.93%), completed suicide, n=2 (Range: 0-6.17%). (D) FEP: suicidal ideation, n=6 (Range:10-64.5%); suicide attempt, n=19 (Range: 5.6-53%); completed suicide, n=14 (Range: 0.35-4.9%). Patients with schizophrenia showed the highest rates of suicide attempts and completed suicide compared to other groups. Rates of completed suicide were lower in delusional disorder and FEP groups. Studies indicate that prior to the development of overt psychosis there is a prodromal stage characterized by the presence of tenuous psychotic symptomatology and/or deterioration in psychosocial functioning. 20%-35% of patients aged 12-35 years in the prodromal phase progress to frank psychotic episode within 2 years. Identification and treatment of these patients may prevent/delay progress and promote recovery. Gather a set of theoretical conceptions about the manifestations of a first-episode psychosis. Analysis of the patient's clinical process and brief literature review, based on a search for scientific articles published in PubMed. A 22-year-old male patient with no psychiatric history was brought to the Emergency Room following parasuicidal behaviour with pesticides. He was hospitalized for 10 days, discharged with sertraline 50mg, trazodone 100mg and alprazolam 0.5mg and referred to a Psychology consultation. After a week, he made another suicide attempt with bleach and car antifreeze. In both episodes, he denied precipitating factors and death intent “I'm being tempted by someone to behave this way, which I don't identify with. I feel like someone else”. He said he felt anxious, \"lost\", with emotional instability and feelings of insecurity in the face of simple tasks. This case report reinforces the importance of valuing behavioural changes/symptoms suggestive of the presence of a first-episode psychosis. Diagnosis during the prodromal stage improves outcomes. There are tools to assist in detecting individuals at high risk for progression to psychosis. Despite much research, evidence on the effectiveness of treatments available to reduce this risk remains preliminary. Suicide is defined as “all cases of death resulting directly or indirectly from a positive or negative act of the victim himself,which he knows will produce death. In Tunisia, little data are available about the epidemiology and the characteristics of suicide, mainly because of the absence of official statistics The aim of this study was to analyze the epidemiologic, social, and forensic aspects of children and adolescents who ended their lives by committing suicide and were living in Kairouan, (Tunisia). Data were collected from autopsy records of the Forensic Department of the University Hospital Ibn El Jazzar of Kairouan. General characteristics of suicides among children and adolescents (under the age of 18) between 2009 and 2017 were retrospectively reviewed total of 65 cases, with a female predominance (64.2%) and a mean age of 15.7 ± 3.2, were registered. Most of the victims were from rural areas (94.1%). In most cases, suicide occurred in the victim’s home or the surrounding area (76.4%). The identified precipitating factors were family problems in 62.3%, and school issues in 14.2%. The most common suicide method was hanging (71.27%) for both genders, followed by self-immolation for males and poisoning for females, the majority using pesticides This study offers useful information to understand the risk factors in Tunisian child and adolescent suicides and provides a basis for the development of urgently needed preventive strategies. Stigma towards people affected with mental illness is a severe social and health problem. Determine and assess attitudes towards psychiatry and mental illness in medical students can contribute to stablish policies and Med-Ed programmes that could decrease stigma among the future physicians. To assess the stigma towards mental illness and psychiatry in medical students prior to the beginning of the psychiatry clerkship To determine implicit attitudes and logics that lies behind stigmatizing cognitions To assess students expectations towards clinical clerkship in psychiatry. Self-administered validated questionnaires: CAMI (Community attitudes toward Mental Illness) and Balon Attitudes towards psychiatry. Self-administered questionnaire with three open answer questions regarding attitudes and beliefs about Mental health, clerkship expectations and other information like previous experiencies with mental illness. Both validated questionnaires showed a low score in stigmatizing attitudes and a homogeneous results among the student group. However, the free-answer questionnaire showed certain logics and stigmatizing attitudes that could not be assessed with cuantitative tools, e.g. fear when in front of a schizofrenic patient, uncertainty sensation or more need of stablishing emotional distance. Assessing stigma through quantitative approach could lead to losing some implicit cognitions and logics that can not be registered properly with multi-response test. Since certain opinions and attitudes can be considered discriminatory, consequently it is likely that respondents’ answers are influenced by social desirability concerns. Qualitative approaches allows the students to develop its own narrative about their ideas about mental health, contributing to deepen in the caracterisation of the student-patient relationship in Mental Health. The Psychiatry training programs for doctors in UK is overseen by geographically divided Deaneries, which have different Mental Health Trusts within them who are the employer for the trainees. This brings challenges in having a platform where trainees can discuss training matters, events, academic disucssions, educational queries etc beyond what is available at a Trust level. Under the Psychaitric Trainees Commitee of the Royal College of Psychiatrists, it was planned that Workplace (by Facebook) App will be piloted in 2 Deaneries acorss UK. 1. To assess current status in trainee engagement and which platforms are being used. 2. To assess the interest in using planned App as a pilot 3. To understand for what purposes trainees would want to use this A 6 question survey was created and circulated across 4 Trusts by email via the Head of School. 28 responses were received from 110 trainees The most commonly used platform for communication was Whatsapp (96%) but this was limited to each Trust's trainees. 81% felt it would be useful to have such an App as a common platform. 96% felt this could be used for sharing opportunities, events, grants etc. 82% felt this could be used to find out about various special interest sessions available to higher trainees. Given that the average response rate for surveys is 30-40%, the response rate is not surprising.We hope that the pilot (that is now active) will improve trainee engagement and enhance trainee experience while using a secure platform which adheres to GDPR. Psychoeducation of medical personnel&patients is essential for therapy&prophylaxis in psychiatry and all medical-disciplines. Psychopathology includes high complex interaction of psychic-physiological-social factors. New models for psychiatry incl. psycho-somatic (Th.v.UEXKÜLL) and somato-psychic theories (Y.IKEMI) conc. feedback-mechanisms are necessary. Practices of occidental/oriental medicine (patients/probands). Evaluation of psychic-\"polar-attitude-list\"/physiological-parameters: heart-rate, blood-pressure,etc. (p<0.05-0.01,n=145; ref.). References: 1.Psychiatry: WPA-2019-Lisbon (19-1822,-1839,-2137); 2018-Mexico-City (WCP18-0584,-0654,-0643); 2011-Buenos-Aires, Abs.-Book (AB):PO1.200. EPA-2018-Nice, Eur. Psychiatry 48/S1, S636&S567. 2.Psychosomatics: ICPM-2017-Beijing, AB:ID: 648493,648895,648749,648878; 2011-Soul, AB:189; 2005-Kobe, J.Psychosom.Res. 58:85-86. 3.Psychology: EFPA-2019-Moscow, AB-p.1520,1530,1549; 2009 Oslo, AB:55-56. IUPsyS-2012-Cape-Town, IntJPsychol 47:407; 2008-Berlin, 43/3-4:154,248,615,799; 2004-Beijing, AB:49,587. 4.Physiology: IUPS-2017-Rio-de-Janeiro, AB:No. 997,999,1001,1003: 2009-Kyoto. J.Physiol.Sci., 59/S1:168&214&447-8. FEPS-2018-London-Europhysiology, AB:p.334P-337P 5.Radiooncology: ISIORT 2014 Cologne AB; 2008 Madrid REV CANCER 22/S:10-11/29-30; 1998 Pamplona RevMedUnivNAVARRA XLII/S:P-34/P-35/P-31. Observations about music[1], respiratory[2], physical[3] therapies demonstrate strong positive effects. The 3 therapies have specific effects, e.g. items “relaxed/tranquil” after [2] (+45/50%) & [1] (+20/5%), also “open” after [1] (+25%) are positive, but item “active/open” after [2] negative (-25/20%). Correlation with positive physiological parameters, e.g. heart/respiratory-frequency decreased 25-30%. Voluntary apnoea after [2]/inspiration was significantly prolonged: 1week training by 21.3±9.9% (37.2±8.3=>45.2±10.6 sec; n=11,p<0.002), 2 weeks: 52.4±6.9% (36.8±10.8=>54.0±21.6sec; n=11, p<0.02). Change in time of apnoea after 3months training in some subjects was extremely high, e.g. 30=>131 sec, 43=>115 sec. Psychosomatic therapy incl. occidental-oriental (yoga/tai-chi/Zen,etc.) could counteract psychic disorders. Different methods are with preference: for depression is suitable respiratory/physical-training (activation), e.g. in psychooncology, for mania: music-therapy (inhibitory-effect), for epilepsy: respiratory-therapy - hypo-/hypercapnia: inhibitory/excitatory effects on CNS-structures. Systematic research about psychosomatic therapies in psychiatry could support UNO-Agenda21 for better health-education,etc. on global level. Across Europe there is a high number of early career psychiatrists that have ever considered moving to another country, especially from the East and South, to the West and North. Within Eastern Europe, workforce migration is widespread. However little is known about migration of health professionals at an early career stage, and the variations of these migratory flows across Eastern European countries. To identify experiences and attitudes towards international migration among early career psychiatrists (ECP) in an Eastern European country: Macedonia. An online survey was conducted among early career psychiatrists from Macedonia as part of the Brain Drain Research study. All early career psychiatrists were surveyed across Macedonia. The majority has ‘ever’ considered moving and living abroad. Regarding taking ‘practical steps’ towards migration only a quarter took action. In Macedonia few ECPs had ever had a long-term migratory experience or a short-term mobility experience. Financial was an important reason for ECPs to leave and personal a key reason for ECPs to stay. Looking five years into their future, less than half believed they would be working in Macedonia, whereas the others think they will be working abroad or are still contemplating. Many ECPs in Macedonia have considered moving to another country, especially for financial reasons. These findings call to improve ECPs status in the country, and help to better understand the social and demographic variations across Europe that may play a role in these migratory flows. The clinical case report is a scientific genre that has a long tradition in psychiatry. In recent years, it has become revitalised, in part because of the possibility to publish in online open access journals. While many cases are chosen because of their scientific content, we focus here on their educational value. To briefly present the gengre of the clinical case and discuss its value as a tool for the learning and teaching of clinical psychiatry. We discuss how the medical case history can be used in the learning and teaching of clinical knowledge. A clinical case report will typically contain a brief presentation of a patient's medical history and focus on an illness or a phenomenon of clinical interest. As case reports share many similarities with clinical work in structure and content, they represent an important avenue for clinical learning. By writing up a case report, clinicians may achieve a better understanding and overview of the diagnostic process and the patient's treatment. Writing case reports with colleagues may also enhance coopertion and learning across clinical specialities. While all can benefit from working with case histories, it may be especially interesting for novice clinicians to take advantage of the learning opportunities that lie in collaborating with more senior clinicians and clinicians representing different specialities. By working out case reports clinicians may be given the opportunity to better understand the challenges and complexities of individual patients. Clinical case reporting may therefore represent an important avenue for learning and teaching clinical psychiatry. Ethical reasoning learning sessions are an educational method used to teach medical Ethics. The aim of our study is to evaluate the educational interest of this method by medical students. A multicenter study was conducted among medical students enrolled in the third year of the Second cycle of medical studies in two departments : Intensive Care department in La Rabta Hospital in Tunis, Tunisia and Psychiatry department ‘Avicenne’ in Razi Hospital, Manouba, Tunisia). Participants attended an ethical reasoning lesson relating to different themes according to the department and the speciality. At the end of the session, a satisfaction questionnaire was handed to participants in order to assess their perceptions regarding the session. Nineteen students consented to participate to our study (12 from Psychiatry department and 7 from Intensive care department). The ethical reasoning learning session was focused on two themes: Limiting life sustaining therapies and the management of acute mania in bipolar 1 disorder. The entire group perceived the ethical reasoning learning as an educational approach addressing ethical issues relevant to everyday practice. The group was not satisfied about the number of ethical reasoning learning sessions during their externship. The interaction during the course of the session was considered very satisfactory in 15 students. The ethical reasoning learning was considered the preferred pedagogical approach for ethical reasoning by all students. The ethical reasoning learning sessions are very appreciated by medical students. The multiplication of these sessions is recommended by all students. Assessment and management of obsessive compulsive disorder can be difficult and challenging for medical students. The aim of this study is to describe the subjective experiences and feedback of Tunisian medical students who participated in a teaching technique using simulation to learn obsessive compulsive disorder (OCD). Medical students enrolled in the third year of the second cycle of medical studies partcipated to our study. Initially, students role-played as clinician and one psychiatric resident role-played as a patient with OCD. The role play was followed by a debriefing session to describe and analyse the role play. At the end, participants were handed questionnaires to evaluate the whole session and their learning experience. Twenty-four students participated to our study. 50% of the students found it very difficult to perform the role play. Among them, 75% felt that the debriefing session was of great interest. Eighteen students (75%) reported that role play is very helpful in acquiring theoritical knowledge and principles of the management of OCD. Twenty-one students (87.5%) indicated that role play simulation should be integrated in the medical education program. The entire group reported that role play should be continued as a teaching method in Psychiatry. The study shows that role play simulation in OCD, a challenging pathology, was valued by medical students as a useful learning method and should be integrated in the medical education program. In Spain there are 51 health training specialties considering medicine, nursing and psychology. The decision to work as a mental health professional may be motivated by different reasons. These motivations could have to do with job satisfaction, future expectations and personal fulfillment Analyze the motivations of residents to train and work in mental health. A survey of 777 residents of medicine, psychology and nursing of the national health system of Spain was conducted. Of these, 173 belonged to psychiatry, clinical psychology and mental health nursing. In it, in addition to sociodemographic variables, the motivations for choosing a mental health specialty were asked. The options were: vocational, economic, social prestige, altruism, family tradition, good academic record, curiosity, scientific interest and intention to investigate. It was possible to select more than one option. In doctors, the main motivations for choosing mental health were vocational (65%), altruism (56%) curiosity (47%) and scientific interest (47%). The least frequent was intention to investigate (10%). In nurses, the main motivations were vocational (70%), altruism (48%) and curiosity (43%). The least frequent was intention to investigate (5%). In psychologists, the main motivations were vocational (92%), curiosity (51%) and altruism (48%). The least frequent were family tradition (2%) and intention to investigate (4%). The main motivation is in all cases vocational. This could suggest good job satisfaction and personal fulfillment. Although curiosity and scientific interest are also frequent, the motivation to investigate is one of the lowest in the three professions. According to the World Health Organization, since 2019, burnout has been an official workplace syndrome. The ICD classifies burnout as a „factor influencing the health status”. The aim of this study is to investigate the prevalence and associated factors of burnout risk among mental health professionals who work in psychiatric departments. Simultaneously, a self-administered questionnaire was made available online, as part of an awareness campaign. Investigating the differences between the two groups was the main objective of the study. We used Burnout Self-Test, a tool to self-assess for evaluating the risk of burnout. The questionnaire consists of 15 items with 5 alternative answers rated from 1 to 5. Score interpretations consist of 5 areas of intensity. The test was completed by 167 Mental Health Professionals (67% females), aid workers in acute psychiatric units, and on the other hand by 6238 online users. Prevalence of burnout varies between the two groups: among Mental Health Professionals, 12.84% associated severe risk of burnout and 9.17% very severe risk, while, among general population, 6.76% associated severe risk of burnout and 5.62% very severe risk. Prevalence of burnout is significantly higher among mental health professionals. Severe risk of burnout syndrome is associated with concerns regarding politics and bureaucracy (average score 2,75/5) or the quantity and the ability of work report (average score 2,45/5). Furthermore, it was found that it was not the individual work experience that was important in determining burnout, but the mean work experience of the administrative staff. Cognitive impairment is considered to be the core feature of schizophrenia, since it is strongly related to the predictive functional outcomes. The female sex hormones have been hypothesized as playing a vital role on the cognitive functions. To study the relationship between the levels of female sex hormones and cognitive functions in schizophrenic females. In addition, the relationship between the level of these hormones and psychopathological symptoms were evaluated. Fifty schizophrenic females patients compared with 25 control females were incorporated in this study. Psychiatric symptoms rating scale and serum levels of females sex hormones in three consecutive weeks were evaluated parallel to neuropsychological tests that assess cognitive domains (executive function, verbal memory, spatial memory and attention). There were statistically significant differences between patients and control groups regarding all studied cognitive domains. The control group had better performance in all phases of menstrual cycle when compared to patients group. In the patients group, serum estradiol levels had direct significant correlation with the cognitive domains, while serum prolactin levels had significant inverse correlation with cognitive domains. The increased estradiol level was correlated with better performance in different cognitive scales among patients group, which give an important implication for the usefulness of adjuvant hormonal therapy in treating schizophrenic women in the future. The female doctor apart from being affected by the same variables that impose stress on the general population is also prone to stress because of the peculiarities of medical practice and by virtue of their gender. This study was aimed at assessing the personal, work-stress as well as family related factors in female doctors associated with psychiatric morbidity in female doctors in Kwara state. This was a cross-sectional study involving female medical doctors in Ilorin, Kwara State, North-Central, Nigeria. Questionnaires were administered to the Members of the state Chapter of the Medical Women’s Association of Nigeria (MWAN) who were present at the general and scientific meeting of the association held in Kwara state in June 2018. A self administered semi-structured questionnaire designed to assess biodata, personal history, work related stress, family related history and self-care history of the participants as well as the 12 item general health questionnaire (GHQ-12) was distributed to 80 participants that consented. The prevalence of 23.8% psychiatric morbidity found. Age, relationship with co-workers, feelings of frustration and anger at work, reconsidering a change in work environment, views of negative effect of stress on work as well as access to a maternity leave were found to be associated with psychiatric mobility. These findings underline the need to pay attention to the welfare of female doctors and a need for routine evaluation, early identification and prompt intervention as well as support. INTRODUCTION: Pseudocyesis, a false belief of being pregnant associated with actual signs of pregnancy, has been observed and documented since antiquity. It should be distinguished from delusions of pregnancy with usually schizophrenic patients where signs of pregnancy are not demonstrably present. The rate of pseudocyesis in the western world has declined significantly in the past century and is therefore seldom a subject of professional debate. (Case report) (Case report) CASE REPORT: A 37-year-old woman with a history of tree miscarriages was admitted to our clinic for the first time. Upon admission she claimed that she was pregnant and that no one believed her. She told that she had met a perfect guy and that they had an unprotected intercourse. She was feeling pregnant – she lost her period, her breasts and belly became swollen, she was eating just yogurts and fruits, she experienced nausea and sensations of baby’s movement. She made a urine pregnancy test and it was positive. Her gynaecologist said that she was just obese since ultrasound examination and blood tests were negative. She received risperidone and quetiapine and her belief that she was pregnant subsided. Psychological examination revealed borderline intellectual functioning. After two years of outpatient treatment she is still stable. CONCLUSIONS: Cultures that place high value on pregnancy or make close associations between fertility and a person's worth, still have higher rates of pseudocyesis. However, pseudocyesis has become a rarity in the developed countries which makes it all the more interesting to observe. Postpartum psychosis (PP) is a rarely diagnosed condition with prevalence 0.1%-0.2% (Spinelli, 2009). PP may be a manifestation of schizophrenia, but the prevalence of schizophrenia in early-onset PP has been reported to be low in many studies: 3.4%-4.5% (Kumar, 1994). This case report describes a first-time postpartum psychosis with resistance to antipsychotics and partial symptom remission with clozapine, possibly leading to schizophrenia. Ms. D. is a 26 y.o. primiparous, primigravid woman with no psychiatric history, who delivered a healthy boy on 9th of June 2019. One week after labour she started to behave strangely, had insomnia, was talking to herself, was agitated and had auditory hallucinations. Her behaviour was disorganized, purposeless, confusing, she neglected the newborn. She was hospitalized in acute psychiatric ward on 19th of June 2019. Physical and neurological examination revealed no abnormalities and she was diagnosed with postpartum psychosis. She received antipsychotics (olanzapine, haloperidol, quetiapine) and benzodiazepines but there was no significant improvement in her status. Clozapine was added to the treatment. In a few days the mental status of the patient improved – the patient was calmer, was sleeping, started to express some concern about her child, did not express delusions or hallucinations. Nevertheless the patient had residual symptoms: flattened affect, volitional problems, concentration problems and formal thought disorder – slight derailment, all possibly manifesting the start of schizophrenia. After discharge Ms. D. was recommended to attend outpatient psychiatry services. Postpartum psychosis patients should be monitored closely to prevent further psychotic episodes or progression of schizophrenia. Egg donation is an increasingly common fertility treatment. Around 5.4% of women residing in Spain, between 18-55 years old undergo fertility treatment. This percentage increases with age, being higher (8.8%) between the ages of 40-44 years old. The implication in women who submit a fertility treatment with past history of psychiatric illness remains unknown. To conduct a literature review about mother-infant bonding in mothers with past history of mental health disorder. Literature review about mother-baby bonding in mothers with mental illness. Present a case report with therapeutic interventions and follow-up outcomes. One study shows less optimal interaction quality in mothers-infants from egg-donation families than IFV families. There is no literature focused on women with past history of psychiatric illness. We present the case of a 39 year old woman admitted in Mother- Baby Day Hospital with history of Generalized Anxiety Disorder and hypochondriasis under treatment with antidepressants, who undergo an egg donation treatment. During pregnancy presents depressive symptomatology as well as increasing levels of anxiety-hypochondriasis. In postpartum this symptomatology exacerbates due to difficulties in bonding without feeling the baby like her own child, causing severe involvement in maternal care. We perform a psychotherapeutic intervention focusing in mother-baby bonding and optimizing psychopharmacological treatment. There is limited literature which assesses interaction quality in mothers-infants from egg-donation families. As we know, there is no literature evaluating relationship between egg donation babies and mothers with mental health disorders. Further investigation is needed in this area due to relevant implications for both mother and child. The IVF-method considers to be one of the prospective methods of infertility treatment. However, the psycho-emotional states of the women in the IVF program remain understudied. That is why the specifics of reaction on infertility of the woman is of crucial importance. The research aim is studying the characteristics of the emotional sphere of women in the IVF program. The research sample consists of 150 women (mean age 34.5+2), belonging to one of three groups: (1) Experimental group 1 – the women in the IVF program with their own ovum; (2) Experimental group 2 – the women in the IVF program with a donor ovum; Control group – women having pregnancy naturally. The following methods are used: Toronto Alexithymia Scale; Beck Depression Inventory; State and Trait Anxiety Inventory; SF 36 Questionnaire; Lazarus Coping Questionnaire; Leonhard Questionnaire. The women in IVF-program with a donor ovum demonstrate more pronounced depressive tendencies; they have a higher level of alexithymia and anxiety comparing with the women in the group with their own ova and the control group. Women with their own ova demonstrate a direct connection of the anxiety and depression levels. Women from both experimental groups show a higher anxiety level comparing with the control group. It is important to consider such characteristics as a high anxiety level, depressive tendencies and a relatively pronounced alexithymia when designing intervention psychotherapeutic programs for the women in the IVF program. As there are malformations and developmental disorders in valproic acid, valpromide and sodium divalproate (VAD-valproate and derivatives) pregnancy exposed children, French Health Agency (ANSM) has established restrictions of use in childbearing-aged women since 2015. We wonder if those guidelines decreased VAD treated childbearing-aged women and if they increased the use of lithium. We included women treated by antiepileptic or moodstabilizer, aged from 13 to 50 between 2014 and 2018. Our main outcomes measure is the number of women treated by VAD and lithium. Secondary outcome is the number of women treated by valproic acid for neurological or psychiatric indication. Then we compared the number of childbearing-aged women treated by VAD and lithium between 2014 and 2018. As statistical analysis, we used Chi-square test. The number of women treated by valpromide (p<0.001) and sodium divalproate (p<0.001) differ significantly, whereas the number of women treated by valproic acid didn’t (p=0.96). The number of women treated by VAD for psychiatric indications has significantly decreased (from 141 (2014) to 74 (2018), p<0.001). The number of women treated by lithium increased significantly (from 39 (2014) to 87 (2018), p<0.001). The use of VAD in psychiatric indications has decreased its value by half between 2014 and 2018. Considering the increased number of women treated by lithium, we assumed prescriptions were transferred partially from VAD to lithium. Nevertheless, there are still some childbearing-aged women treated by VAD. Are there numerous options? Do psychiatrists refuse to modify treatment for stabilized women? Both patients and caregivers are affected by the diagnosis of cancer and its therapies. Caregivers come up with several challenges, limiting their social, psychological, and economical well-being. The study aimed to assess caregivers' strain and burden during radiation therapy of cancer patients and to investigate their association with various variables. A cross-sectional study took place at the oncological section of the University Hospital of Patras among 103 informal carers, who accompanied cancer patients during their therapy. The study included the Zarit Burden Interview, which measures 4 subscales of burden (personal strain, strain of role, social deprivation, financial strain) with a score range of 0-88 and the Modified Caregiver Strain Index (Μ-CSI), which measures the degree of strain in following major domains: Financial, Physical, Psychological, Social, and Personal, with a score range of 0-26. Higher scores indicate a higher level of caregiver strain and burden. Mean burden score was 25±13.6, moderately burdened (scores 21-40) appeared to be 43.5%, while higher rates were noticed in the personal strain subscale. According to M-CSI, 37.9% were regularly emotionally affected regarding the changes faced by the patients. 22.3% referred to high financial burden and 25.2% stated being in an overwhelming situation. The female gender was associated with higher burden and strain. In the present study almost half of the caregivers depicted moderate burden especially in the emotional and financial domain. Moreover women appeared to be more burdened and strained compared to men. More emphasis should be given to women in order to enhance their functionality. Epistemic injustice (EI) is defined by Miranda Fricker as “a damage done to someone in their capacity as a knower”. She defined two forms of EI: testimonial and hermeneutical injustice. The latter describes how collective interpretative resources are set up in a certain way and, consequently, a person could potentially lack the means of making sense of their experience. We present the case of a 42-year-old female patient referred to the mental health services due to symptoms of depressive mood in the context of her infant son’s diagnosis of a fatal degenerative disease: lisencefalia. We present a case report where we problematise how motherhood caring and grieving a baby with a fatal disease can be better understood through the lens of epistemic injustice. An epistemic void regarding motherhood appears to exist given that is socially understood from a perspective that is only charged with positive attributions and meanings and which, in turn, obscure the arduous and demanding aspects of caring for a newborn. This can generate great guilt in mothers when facing the ‘dark side of motherhood’ lacking the conceptual tools with which to make sense of it. This fact is intensified when caring for a child with a disease with a fatal prognosis. We believe that understanding the distress that arises from motherhood through the lens of epistemic injustice could help to reframe these problems from a social rather than individual perspective and serve as a form of recognition, justice and reparation which could help in the healing process. Transsexual, transgender and gender-nonconforming persons may contact Psychiatry services seeking for mental health care but also as part of a process of gender identity affirmation. At that moment, physical and emotional factors converge and sometimes hinder progression. We designed a protocol to accompany patients on this procedure. To present the protocol to support persons on a process of gender identity affirmation from Mental health Services. Description of the theoretical bases and practical strategies that conform our protocol. The theoretical foundations of the program are based on WPATH (World Professional Association for Transgender Health) Standards of Care version 7. Local and national Spanish laws that rule medical practice on this topic should be considered very carefully as they are constantly updated. The coordination with out-of-hospital programs and other clinicians taking care of the person is basic on a support program. We must ensure that comprehensive health care is provided, based on the principle of respect for the free manifestation of the gender identity of citizens on a basis of respect for the equality and dignity of persons. Sexual and gender diversity training is critical for mental health professionals working in public hospitals psychiatry services. The mental health professional can be a key interlocutor throughout the process of gender identity affirmation, helping to avoid pathologization and facilitating the browsing of the patient between the different specialists involved. This privileged position could allow primary and secondary prevention of mental health pathologies. Transition to motherhood is a process that usually is supported by social environment, especially family and friends. When this transition is lived abroad, alone and in a different culture, psychopathological difficulties can arise, especially when there are antecedents of traumatic events. We present a case report to illustrate this situation: A 32 years old pregnant women was refereed to our perinatal outpatient unit presenting anxious symptomatology 15 days before an elective c-section was planned (given that she had two previous c-sections). Born in Bulgaria, she had been living in Spain for two years with her husband and son, but she did not speak any Spanish at all. She had never worked in Spain and did not have any family or friends living here. This was her third pregnancy, having been the first one a neonatal loss, were a baby girl died two months after delivery. Grieving process had been reactivated during the third trimester of the pregnancy, and she showed anticipatory anxiety with feelings of being close to death. She presented obsessive brooding about the birth and surgery, and she asked for information about the procedures performed in the Spanish Health System. She also asked for professional companion during the delivery. She had not gone to childbirth preparation groups, increasing her loneliness feelings. Social and linguistic barriers and the precedent of a neonatal loss were the triggers for an anxiety disorder in this mother. Further research is needed about the importance of social and psychological support during pregnancy. The prevalence of puerperal psychosis remains practically constant until nowadays. The approach to this entity has been conceptualized considering different biological, psychological and social approaches. The use of antipsychotic treatment is often necessary, but also associates some specific considerations. the aim of the current paper is to provide a revision on the literature related to the use of antipsychotic treatment during pregnancy focusing on a clinical case Clinical case description and literature review related to the topic Our case is a thirty four years old woman, with a history of puerperal psychosis in her first pregnancy. The current diagnosis is paranoid schizophrenia. It is reported a good clinical response to oral antipsychotic. It is known that pregnancy and puerperal stage is the one with the highest risk of psychiatric hospitalization and the use of monotherapy with the minimum effective dose it is suggested. In this regard, in her next pregnancy we directly assessed the risk-beneficit and adjusted the pharmacological treatment to the minimum effective dose, establishing an integral approach of the case. The use of antipsychotic treatment during pregnancy is controversial and associated great complexity. Extensive information must be provided to women and families, respecting their competence to make decisions. It is usually recommended an interdisciplinary and specialized approach, while trying to optimize clinical stability. The hypothesis of work has become the statement that women – internally displaced persons (WIDP) and combatants’s wives (CW) – have specificpsychological problems and a complex of psychopathological phenomena, the combination and severity of which is peculiar and typical only of these groups. To study the clinical phenomenology and the peculiarities of neurotic anxiety-depressive disorders with different psychogenesis in women. 78 WIDP and 72 CW with neurotic disorders of anxiety-depressive range (F43.22, F43.21, F43.1, F45.1, F45.3), 25 women with F32 and 25 mentally healthy women were examined. It has been found out that the high level of lesion with the somatic-vegetative depressive and anxiety-depressive symptoms in WIDPand CW, and the level of somatisation in these groups is close to the one, which is typical of women with endogenous depression. The main psychopathological constructs of the changes in their psychoemotional sphere are the depressive symptoms and somatic-vegetative disorders. Astheno-neurotic symptoms in WIDP and anxiety symptoms in CW are acting as a supporting psychopathological constructs. The high level of social-psychological dіsadaptation in WIDP and CW was found out, but it was proved that the internal displacement is more traumatic relating to the outer adaptive resource as a result of absence of the formed prosocial borders and of lack of social support, that makes the WIDP-group the most vulnerable to social dіsadaptation. WIDP and CW are unique groups in clinical, psychological and social-psychological aspects, for whom psychopathological appearances, pathopsychological transformations and peculiarities of social-psychological maladaptation are typical. Breastfeeding is of vital in the physical, cognitive and affective development (WHO). This practice is sensitive to involvement by cultural, social and economic factors (Broche-Candó, 2011). Therefore, it is important to investigate the socio-anthropological implications. To explore the practice of breastfeeding with breast milk, the perception of displacement effects and the routine of the family economy. Mixed, semi-structured survey of 50 mothers of a Child Development Center in Uré-Córdoba, on the map of Colombia with armed social violence Of the armed conflict describes surviving in the absence of basic conditions: decent housing, nutrition, public services and continuing to live with the experience of fear. The field activity is associated with the economy in the home before displacement, and after this, mining is sustained, the scraping of \"cañaflecha\" among others; in days from 5 to 9 hours. Breast milk is artificial feeding supplement. (Chart 1.), with periods between 5 and 9 Chart 1. Breastfeeding practice\nEating behaviorMonth1-34-67-910-12Breastfeeding97%75%24%5%Artificial food87%100% Together, favorable knowledge about nutrition with breast milk and absence of basic conditions for the implementation of a nursing family are analyzed (Becerra-Bulla, et al, 2015). Socio-emotional, cultural, and economic aspects are identified that affect it negatively which characterize the mother displaced by armed violence. The practice of breastfeeding with breast milk is influenced by emerging socio-anthropological dynamics in displacement due to armed violence, characterized by women with responsibility for the family economy Untreated mental illness in pregnancy and postpartum is associated with an increased risk of maternal psychological dysfunctions and psychiatric conditions and of children developing a mental illness later in life. The Confidential Enquiry into Maternal Death demonstrated that suicide is the leading cause of maternal death. The report from the London School of Economics (2014) on the costs of perinatal mental health problems (£8.1 billion for each one-year cohort of births) compelled the UK government to release funding to develop specialist perinatal mental health services (PMHS) across London between 2016-2019. To describe the PMHS multidisciplinary model based on integration of physical and mental health, equity of access and seamless care. The service specifications and standards were defined in line with National guidance and recommendations and tailored to local needs. The implementation was established through the systematic involvement of stakeholders. The co-produced model of care was centred on integration and partnership with primary care, maternity, health visiting, social care, third sector, secondary and tertiary mental health care. Through education, training and supervision the service supplemented the PMH care provided by other healthcare professionals 1224 referrals were received in one year, 50% were new presentations. 27% were affective disorders (including BAD), 25% anxiety disorders and 4% psychotic illness. The service delivered 30 pre-conception advice consultations and 270 hours of training. Access to PMHS promotes early identification and proactive management of psychiatric conditions in the perinatal period. Further evaluation is needed to measure the impact of the interventions on maternal and infant outcomes. This is a case of perinatal depression in a woman who had fertility problems and needed assisted reproduction. Cases like these are frequent and that’s why I consider important to talk about the aetiology, the diagnosis, the treatment and the way we can reduce the incidence of this pathology. I want this case to be the start of a throught review about the perinatal depression, the risk factors, the diagnosis and the different ways of treatment. Regarding the methods, I will start with a complex presentation of my patient. This is a 43 year old woman who got in Clínica López Ibor because of a depression reactive to a miscarriage of her pregnancy during the first quarter of it. She spent a week at the clinic and during those days she started taking Quetiapine 25, Sertraline 50 and 2 Lorazepam pills a day. She got better and after 6 months got a gemelar pregnancy by assisted reproduction. Nowadays she is on the third quarter and despite de treatment she feels sad, anxious, insolated and is also having couple problems. We will talk about the multiple factors of this happening and the way we should treat it. There are multiple factors of perinatal depression happening and we will expose them. We will also expose the conclusion we are obteining about the way we could improve our work It is necessary that Psychiatrists and gynaecologists know about the perinatal depression, work together and have a standardized way of treatment Perinatal depression (PD) is a severe psychiatric disorder that begins around childbirth and presents with a variety of symptoms, such as mood swings, irritability, and tearfulness. Only a few studies have investigated the impact of this condition on quality of life and wellbeing of mothers. The aim of the present study is to assess Clinical and socio-demographic characteristics associated with PD. 107 women have been recruited in the period between May and October 2019. Socio-demographic characteristics as well as information about the delivery have been collected through an ad-hoc schedule. All participants compiled the Edinburgh Postnatal Depression Scale (EPDS) within 3 days of the childbirth. The mean age of our sample is 32.0±6.3 years; 50% were employed and 25% of the sample had experienced at least one abortion in their life. A total score at the EPDS>10 was reported by 24.3%. Higher EPDS total scores were associated with the presence of anxiety (p<0.0001) and depressive symptoms (p<0.05) in the six-month prior delivery, as well as with anxiety symptoms in the partner (p<0.05). Our study highlights the presence of potential factors associated with PD, suggesting the importance to set-up adequate screening procedures for the early recognition and management of depressive symptoms in the motherhood. The postpartum is a period of great vulnerability to the development of psychiatric illness in a woman’s life. Postpartum psychosis is a clinical presentation reported to happen in 1 to 2 per 1000 deliveries and the onset usually occurs in the first 4 weeks after childbirth. First-episode psychosis in this period may occur in the context of an underlying mood disorder such as bipolar disorder, brief psychotic disorder or, less commonly, schizophrenia. To report a clinical case of a primiparous who presented with first-episode psychosis soon after childbirth. We conducted a review of the literature through a search into Pubmed/Medline databases using the key terms “postpartum psychosis” and used the findings as a basis to discuss the presented case. We present a 40 year-old female with no significant psychiatric background. Three days after delivering her first child, she showed behavioural changes and reported feeling confused, not recognizing or worrying about her baby. Soon after, she presented complex auditory hallucinations mainly running negatively-connoted commentary about her and mixed delusional beliefs. Treatment with risperidone 2mg/day and oxazepam 15mg/day was initiated and clinical stabilization was obtained within 10 days. This case reinforces the importance of a small subpopulation of first-episode psychosis patients who present in the postpartum period. Limited research exists due to the relative rarity of this condition. Acute changes in the mental status of postpartum women require careful consideration of potential underlying medical issue. The vast majority of women with first-episode psychosis of postpartum onset are subsequently diagnosed with mood disorders. Psychiatric disorders during pregnancy have significant societal implications. Little is known about the management of pregnancy among psychiatric patients in Eastern Europe. To analyse the pharmacological treatment of pregnant patients with severe mental illness in Minsk City with regard to hospitalisation and outpatient treatment. Drug prescription data was collected during 2017-2018 at the governmental psychiatric clinic in Minsk, where all pregnant women with severe mental illness (psychotic disorders, bipolar disorders, including depression with psychotic symptoms) and who live in Minsk City were observed. 30 pregnant women were included, of whom 25 (83,3%) had schizophrenia spectrum disorder, 3 (10%) had bipolar disorder, 1 (3,3%) had depression, and 1 (3,3%) had a diagnosis of puerperal psychosis related to the previous pregnancy. Most women (N=20; 67%) were outpatient treated during their pregnancy. Among those who were hospitalised, 7 women (23%) had a single hospitalisation whereas 3 women (10%) had more than one hospitalisation. There were an equal number of those who got and did not get medication before hospitalisation (5 and 5 pregnancies, respectively). In 9 (45%) out of 20 pregnancies outpatient women stayed without medication during a pregnancy. In this first report of psychiatric treatment during pregnancy in Belarus, most women with severe mental illness in Minsk do not require inpatient treatment during pregnancy. The number of pregnancies in which women used and did not use medication before hospitalisation was equal. Slightly more women were using psychiatric medication than non-using it in the group of patients who were outpatient during the whole pregnancy.\n\n## Full Text", "domain": "affective_neuroscience"}
{"source": "PMC13068689", "title": "New insights and predictability from in vivo recordings of paroxysmal sympathetic hyperactivity in disorders of consciousness", "text": "# New insights and predictability from in vivo recordings of paroxysmal sympathetic hyperactivity in disorders of consciousness\n\n## Abstract\nParoxysmal sympathetic hyperactivity (PSH) is a severe complication of acquired brain injuries (ABIs), characterized by sudden autonomic surges that exacerbate clinical outcomes. Its pathophysiology remains debated, and early biomarkers are lacking. This study aims to investigate autonomic changes preceding PSH and assess the feasibility of predictive modeling using heart rate variability (HRV). Continuous electrocardiogram (ECG) recordings were obtained from six male patients with disorders of consciousness (DoC), including unresponsive wakefulness syndrome and minimally conscious state. A total of 24 PSH episodes and 24 matched control (noPSH) events were analyzed. HRV metrics, including entropy measures and power spectral density (PSD), were evaluated. A support vector machine (SVM) classifier was implemented to differentiate PSH from control events and to predict PSH onset. PSH events were associated with significant heart rate increases, reduced entropy-based complexity, and decreased PSD in both low-frequency (LF) and high-frequency (HF) bands. An increased very-low-frequency (VLF)/(LF + HF) ratio suggested potential involvement of the renin–angiotensin–aldosterone system (RAAS) in PSH pathogenesis. The SVM classifier achieved perfect classification during the event. In addition, 10 min prior to onset, the model reached 67% sensitivity, 100% specificity, and 83% balanced accuracy. HRV analysis reveals distinct autonomic signatures preceding PSH and suggests, as a working hypothesis, that dysregulation of the RAAS may play a role. However, VLF power is influenced by multiple mechanisms and cannot be considered a specific or exclusive marker of RAAS activity. SVM-based predictive modeling offers a promising tool for PSH detection, providing a basis for investigating autonomic/neuroendocrine regulation, including RAAS. The online version contains supplementary material available at 10.1007/s10286-025-01175-z.\n\n## Full Text\n\n\n### Introduction\nAcquired brain injuries (ABIs) cause a range of severe complications, notably paroxysmal sympathetic hyperactivity (PSH), which is marked by dramatic surges in autonomic responses such as blood pressure, heart rate, and muscle rigidity, significantly challenging clinical management [1]. Affecting 8–33% of patients with ABI in the acute phase [1], PSH exacerbates outcomes through hyperthermia, catabolism, and spasticity [2, 3], highlighting the urgent need for a deeper understanding and more innovative management strategies. Recent analyses reveal a diversified occurrence of PSH across various etiologies, suggesting that a wide spectrum of brain injuries can trigger PSH and underscoring the importance of vigilant diagnosis across all ABI forms [4, 5].\nThe pathophysiology of PSH, still under active investigation, encompasses theories from the disconnection hypothesis, which suggests a dissociation between cortical inhibitory centers and sympathetic control areas [1], to the excitatory/inhibitory ratio model that points to an imbalance in neuronal activities leading to enhanced sympathetic output [1]. Additional factors, such as neuroendocrine responses [6] and the role of neutrophil extracellular traps (NETs) in sympathetic excitation [7], further complicate our understanding of PSH.\nDespite extensive case reports and studies on PSH [5, 8], a notable gap persists in our understanding of the autonomic changes preceding and during PSH crises, primarily attributed to their unpredictability. This unpredictability hinders the systematic analysis of autonomic responses.\nHeart rate variability (HRV) has emerged as a pivotal tool in this investigation, offering noninvasive insight into the autonomic nervous system’s (ANS) dynamics by measuring intervals between heartbeats [9]. HRV extends its utility beyond cardiovascular monitoring, shedding light on the nervous system’s adaptive responses, including nociceptive processing [10] and a broad range of autonomic functions, as evidenced in patients with ABI [11]. By employing HRV analysis, this study endeavors to uncover the autonomic disturbances characterizing PSH, potentially leading to the identification of predictive markers.\nThis study takes a novel approach by comparing PSH episodes with noPSH events (characterized by increased heart rate) and analyzing autonomic conditions preceding these events in patients with disorders of consciousness (DoC). DoC includes unresponsive wakefulness syndrome (UWS) [12], characterized by spontaneous eye-opening and sleep–wake cycles without signs of awareness or purposeful behaviors, and minimally conscious state (MCS) [13], in which patients show inconsistent yet clear signs of minimal awareness and purposeful responses to stimuli. Patients with MCS are further categorized into MCS minus and MCS plus, classified using the Coma Recovery Scale-Revised (CRS-R) [13].\nThis comparative analysis aims to identify distinct cardiovascular and autonomic nervous system (ANS) markers characterizing each state. It represents the first detailed HRV analysis of PSH events within a clinical framework. In this study, we also explored, as a working hypothesis, whether alterations in very-low-frequency (VLF) power, a multifactorial measure that reflects several slower-acting physiological mechanisms, could be indirectly consistent with renin–angiotensin–aldosterone system (RAAS) dysregulation. In addition, a support vector machine (SVM) classification model was employed to leverage its robust pattern recognition capabilities in differentiating PSH from noPSH events. By examining autonomic changes preceding and during PSH episodes and integrating HRV metrics with machine learning techniques, this study seeks to enhance the understanding of autonomic regulation and establish new benchmarks for utilizing HRV as a diagnostic and analytical tool in managing these complex neurological conditions.\n\n\n### Materials and methods\nPatients exhibiting PSH were identified by the PSH-Assessment Measure (PSH-AM), which encompasses the Clinical Features Scale (CFS) and the Diagnosis Likelihood Tool (DLT) [14] (Supplementary Material: Supplementary Fig. S2). The CFS evaluates six domains—heart rate, respiratory rate, systolic blood pressure, temperature, sweating, and posture—with severity scores ranging from 0 (absent) to 3 (severe). A cumulative score above 13 signals severe conditions. The DLT assesses 11 factors, including the co-occurrence of clinical features, the paroxysmal nature of episodes, and their daily frequency, yielding a score from 0 to 11. A combined PSH-AM score of 19–21 suggests a probable PSH event.\nSix male patients (age 27 ± 14 years) were admitted to the semi-intensive care unit following stabilization in intensive care, presenting with generalized hypertonia (Table 1). In one patient, the etiology included cardiac arrest and two hemorrhagic and three traumatic brain injuries. Five of them had been diagnosed with UWS, and one had MCS. During PSH episodes, all patients showed increases in blood pressure, sweating, heart rate, and hypertonia. To control PSH events, all patients received β-blocker therapy (propranolol or bisoprolol) and antiepileptic prophylaxis (levetiracetam and/or phenobarbital). In addition, antihypertensive agents (clonidine, amlodipine) were administered during the period of interest surrounding PSH episodes. At 3 months, three patients with UWS had a change in diagnosis in MCS; one patient emerged from MCS, while two continued to exhibit UWS.\nTable 1Demographic informationDiagnosisEtiologySexAgeTime from injury (days)Recorded PSHCRS-R at hospitalizationDiagnosis at 3 monthsCRS-R at 3 monthsTrauma descriptionUWSCAMale16–5552 ± 3027UWS6Bilateral hypodensity in the basal ganglia, more pronounced on the left side, as well as in the splenium of the corpus callosum and the midbrain, resulting from ischemic changesHEM24MCS12Expansive lesion in the right occipital region. Intra-axial hemorrhage with perilesional edema and mass effect on the ventricular system. Hypodensity of the body of the corpus callosum and brainstem97UWS5Intra-axial hemorrhagic focus was reported in the occipital-mesial area. In the posterior cingulate gyrus, perilesional edema was found with a mass effect on the right ventriculus and an initial dilatation of the same on the temporal cornTBI46MCS12Extracranial soft tissue swelling in the right fronto-temporo-parietal region. Multiple lacerative-contusional and hemorrhagic foci in the posterior pontomesencephalic area (predominantly left), right thalamic-capsular region, left anterior capsular nucleus, splenium of the corpus callosum, bilateral hippocampal regions, and the right temporomesial and temporopolar areas. Hemorrhages were observed in the right interpeduncular and perimesencephalic cisterns, the aqueduct, the occipital horn of the right lateral ventricle, and the third ventricle66MCS12Cerebral contusion; petechial hemorrhages in the right temporal and occipital area and frontal bilateral and frontal areas; and minimal number of subarachnoid hemorrhages. Multiple lacerate-contusive temporal–occipital lesions on the right and bilateral frontal and minimal residues of subarachnoid hemorrhage. Signal changes with hyperintensity in the T2 fluid-attenuated inversion recovery (FLAIR) sequences in the midbrain, in the cerebral peduncles, and in the ventral nuclei of the thalami bilaterally were also reported. The same sequence detected a hyperintensity focus in the corpus callosum’s splenium posteriorly. Axonal and deep subcortical damage was also observedMCS112EMS20Large right parieto-occipital epidural hematoma causing effacement of the sulci, compression of the ipsilateral lateral ventricle, and a midline shift to the left of about 8 mmUWS unresponsive wakefulness syndrome, MCS minimally conscious state, EMS emerged from MCS, m male, TBI traumatic brain injury, HEM hemorrhagic, CA cardiac arrest\nDemographic information\nUWS unresponsive wakefulness syndrome, MCS minimally conscious state, EMS emerged from MCS, m male, TBI traumatic brain injury, HEM hemorrhagic, CA cardiac arrest\nA total of 48 events (24 PSH and 24 noPSH) were recorded using the BioPatch device (Zephyr Technology). The BioPatch is a Food and Drug Administration (FDA)-approved, continuous electrocardiogram (ECG) monitoring system that captures one-lead ECG data at a sampling rate of 250 Hz, with an input amplitude range of 0.25–15 mV. The device was affixed to the chest using two adhesive patches. A key feature of the BioPatch system is the “heart rate confidence” metric, which evaluates the quality of the ECG signal on the basis of the signal-to-noise ratio. Owing to the device’s advanced filtering and amplification circuitry, it is possible to ensure reliable heart rate data even during patient movements.\nECG signals were continuously logged and stored on the device’s flash memory. Monitoring was conducted for at least 8 h daily, starting after morning clinical assessments and routine care activities to minimize potential disturbances and artifacts in the ECG recordings.\nThe data analysis workflow involved the following steps: (i) medical staff annotated the onset time of PSH events on the basis of clinical observations; (ii) for each annotated event, ECG data were extracted from two distinct time windows: 20 min before the event onset divided into two adjacent blocks of 10 min (Pre20 and Pre10) and event: 10 min after the event onset.\nEach window comprised 10 min of continuous ECG data, necessary to capture a sufficient number of very-low-frequency (VLF) oscillations, which are essential for robust and reliable analysis of autonomic function within this frequency band.\nData integrity and processing: Extracted ECG data were inspected for signal integrity to ensure the absence of artifacts or ectopic beats. Subsequently, the data were processed for heart rate variability (HRV) analysis.\nRespiratory rate (breaths/min) was estimated from ECG-derived respiration (EDR) using Kubios HRV (version 3.1; Kuopio, Finland). Noninvasive blood pressure (mmHg) was annotated by medical staff from bedside monitors at the pre-event window and during the event. Both variables were summarized descriptively (mean ± standard deviation [SD], median [IQR], min–max) per condition (PSH and noPSH).\nIn analyzing the ECG data for patients diagnosed with PSH, the Kubios HRV advanced software (version 3.1, Kuopio, Finland) was used, allowing a detailed examination across time, frequency, and nonlinear domains [15]. The preprocessing phase included a rigorous noise assessment, followed by detecting R peaks using Kubios’s adaptation of the Pan–Tompkins algorithm, a choice adopted for its proven effectiveness in QRS detection [16]. To refine R-peak identification and address potential artifacts or ectopic beats, we applied a 4 Hz cubic spline interpolation, supplemented by a subsequent visual inspection for any necessary manual adjustments.\nA quadratic polynomial model was employed to detrend the RR interval series, aiming to mitigate the influence of lower-frequency oscillations on the power spectral density (PSD) analysis to accommodate the nonstationary nature of biological signals. We calculated the PSD using the Fast Fourier Transform method, specifically applying Welch’s method with a window width of 150 s. This approach was selected to derive the natural logarithms of high frequency (HF: 0.15–0.5 Hz) (LnHF), low frequency (LF: 0.04–0.15 Hz) (LnLF), and very low frequency (VLF: 0.0033–0.04 Hz) (LnVLF), as well as the LF/HF ratio, ensuring an accurate representation of the HRV spectral components. The logarithmic transformation addressed the measures’ skewed distribution, with skewness values ranging between 2.5 and 5.4, thereby normalizing the distribution for further analysis.\nThe multiscale entropy (MSE) analysis quantifies the signal’s nonlinear and nonstationary attributes over varying time scales [17]. The signal’s irregularity was assessed by averaging RR intervals within nonoverlapping windows of increasing lengths (1–10) and applying sample entropy (SampEn) [18] to these coarse-grained series. Setting the dimensional phase space m = 2 and the matching tolerance r = 0.2 facilitated robust complexity measurements across diverse data lengths.\nMSE analysis provided short- and long-scale complexity indices (CIs and CIl), calculated as the sum of SampEn values across coarse-grained scales 1–5 and 6–10, respectively. These indices provide insights into the dynamics of autonomic nervous system regulation over relevant temporal frameworks, offering critical information about the sympathetic and parasympathetic activity involved in PSH [17].\nWavelet analysis (MATLAB’s Wavelet Toolbox [version 2024a]) was employed to characterize temporal changes in the VLF, LF, and HF bands and their relative ratios (e.g., VLF/[LF + HF]). Compared with traditional Fourier-based methods, wavelet analysis provides enhanced temporal and frequency resolution, making it particularly suitable for capturing transient and localized variations in HRV. The Morlet wavelet was selected owing to its optimal balance between time and frequency localization, which is essential for accurately identifying the VLF, LF, and HF oscillations within our ECG recordings.\nThe ECG data were interpolated at 4 Hz before applying the wavelet transform. This interpolation rate was chosen to sample the VLF band, adequately preventing aliasing artifacts. The interpolation process employed a cubic spline method, which maintains the smoothness and continuity of the RR interval series while accommodating the low-frequency components essential for our study.\nAfter the wavelet analysis, the linear trend analysis was performed to account for any gradual changes in the RR interval series over time. This analysis provided the linear equations (intercept and time coefficient), the standard error of the coefficient, the F-ratio, the p-values, the 95% confidence interval for the time coefficient, and the R2 value.\nFor the between-condition analysis, PSH and noPSH events were compared using independent samples t-tests to evaluate differences in HRV parameters. In the within-condition analysis, paired samples t-tests were used to compare data recorded during the event, 10 min prior (Pre10), and 20 min prior (Pre20). Before conducting t-tests, data were assessed for normality using the Shapiro–Wilk test. The Bonferroni correction was applied to control the type I error rate, with the significance threshold set at p = 0.001, corresponding to the Bonferroni-adjusted alpha (0.05/44) for the maximum number of pair-wise comparisons.\nThe SVM was selected for its robustness in handling small datasets and superior performance in nonlinear classification tasks, making it well-suited for the HRV-based PSH prediction model.\nOur study used JMP software (version 16, SAS Institute, Cary, NC, USA) to implement a support vector machine (SVM) model to differentiate between PSH and noPSH events. The SVM approach is particularly advantageous for complex datasets as it effectively identifies the optimal boundary that maximizes the separation between groups, mitigating the risk of overfitting while ensuring generalizability to new data.\nThe model’s efficacy was enhanced by employing the radial basis function (RBF) kernel, simplifying data categorization by transforming the input data into a more distinguishable format. This combination of SVM with the RBF kernel allows for a nuanced model that is both flexible and accurate, adept at navigating the intricate relationships in the data.\nCrucially, the model’s performance hinges on carefully calibrating the cost (C) and RBF gamma parameters. The C parameter balances the margin maximization with classification error minimization, while the gamma parameter modulates the decision boundary’s adaptability. Proper tuning of these parameters is vital for optimizing the model’s complexity and its ability to perform accurately on unseen datasets.\nThe tenfold cross-validation was used to evaluate the model’s predictive power comprehensively. It divides the data into ten parts, ensuring each subset accounts for about 10% of the data. This approach safeguards against overfitting and enhances the reliability of our findings by providing a robust evaluation of the model across multiple training and validation scenarios, minimizing bias, and validating the model’s capacity to generalize well to new, unseen data, ensuring an accurate and reliable assessment of its performance.\n\n\n### Patient selection\nPatients exhibiting PSH were identified by the PSH-Assessment Measure (PSH-AM), which encompasses the Clinical Features Scale (CFS) and the Diagnosis Likelihood Tool (DLT) [14] (Supplementary Material: Supplementary Fig. S2). The CFS evaluates six domains—heart rate, respiratory rate, systolic blood pressure, temperature, sweating, and posture—with severity scores ranging from 0 (absent) to 3 (severe). A cumulative score above 13 signals severe conditions. The DLT assesses 11 factors, including the co-occurrence of clinical features, the paroxysmal nature of episodes, and their daily frequency, yielding a score from 0 to 11. A combined PSH-AM score of 19–21 suggests a probable PSH event.\n\n\n### Patient descriptions\nSix male patients (age 27 ± 14 years) were admitted to the semi-intensive care unit following stabilization in intensive care, presenting with generalized hypertonia (Table 1). In one patient, the etiology included cardiac arrest and two hemorrhagic and three traumatic brain injuries. Five of them had been diagnosed with UWS, and one had MCS. During PSH episodes, all patients showed increases in blood pressure, sweating, heart rate, and hypertonia. To control PSH events, all patients received β-blocker therapy (propranolol or bisoprolol) and antiepileptic prophylaxis (levetiracetam and/or phenobarbital). In addition, antihypertensive agents (clonidine, amlodipine) were administered during the period of interest surrounding PSH episodes. At 3 months, three patients with UWS had a change in diagnosis in MCS; one patient emerged from MCS, while two continued to exhibit UWS.\nTable 1Demographic informationDiagnosisEtiologySexAgeTime from injury (days)Recorded PSHCRS-R at hospitalizationDiagnosis at 3 monthsCRS-R at 3 monthsTrauma descriptionUWSCAMale16–5552 ± 3027UWS6Bilateral hypodensity in the basal ganglia, more pronounced on the left side, as well as in the splenium of the corpus callosum and the midbrain, resulting from ischemic changesHEM24MCS12Expansive lesion in the right occipital region. Intra-axial hemorrhage with perilesional edema and mass effect on the ventricular system. Hypodensity of the body of the corpus callosum and brainstem97UWS5Intra-axial hemorrhagic focus was reported in the occipital-mesial area. In the posterior cingulate gyrus, perilesional edema was found with a mass effect on the right ventriculus and an initial dilatation of the same on the temporal cornTBI46MCS12Extracranial soft tissue swelling in the right fronto-temporo-parietal region. Multiple lacerative-contusional and hemorrhagic foci in the posterior pontomesencephalic area (predominantly left), right thalamic-capsular region, left anterior capsular nucleus, splenium of the corpus callosum, bilateral hippocampal regions, and the right temporomesial and temporopolar areas. Hemorrhages were observed in the right interpeduncular and perimesencephalic cisterns, the aqueduct, the occipital horn of the right lateral ventricle, and the third ventricle66MCS12Cerebral contusion; petechial hemorrhages in the right temporal and occipital area and frontal bilateral and frontal areas; and minimal number of subarachnoid hemorrhages. Multiple lacerate-contusive temporal–occipital lesions on the right and bilateral frontal and minimal residues of subarachnoid hemorrhage. Signal changes with hyperintensity in the T2 fluid-attenuated inversion recovery (FLAIR) sequences in the midbrain, in the cerebral peduncles, and in the ventral nuclei of the thalami bilaterally were also reported. The same sequence detected a hyperintensity focus in the corpus callosum’s splenium posteriorly. Axonal and deep subcortical damage was also observedMCS112EMS20Large right parieto-occipital epidural hematoma causing effacement of the sulci, compression of the ipsilateral lateral ventricle, and a midline shift to the left of about 8 mmUWS unresponsive wakefulness syndrome, MCS minimally conscious state, EMS emerged from MCS, m male, TBI traumatic brain injury, HEM hemorrhagic, CA cardiac arrest\nDemographic information\nUWS unresponsive wakefulness syndrome, MCS minimally conscious state, EMS emerged from MCS, m male, TBI traumatic brain injury, HEM hemorrhagic, CA cardiac arrest\n\n\n### Data acquisition\nA total of 48 events (24 PSH and 24 noPSH) were recorded using the BioPatch device (Zephyr Technology). The BioPatch is a Food and Drug Administration (FDA)-approved, continuous electrocardiogram (ECG) monitoring system that captures one-lead ECG data at a sampling rate of 250 Hz, with an input amplitude range of 0.25–15 mV. The device was affixed to the chest using two adhesive patches. A key feature of the BioPatch system is the “heart rate confidence” metric, which evaluates the quality of the ECG signal on the basis of the signal-to-noise ratio. Owing to the device’s advanced filtering and amplification circuitry, it is possible to ensure reliable heart rate data even during patient movements.\nECG signals were continuously logged and stored on the device’s flash memory. Monitoring was conducted for at least 8 h daily, starting after morning clinical assessments and routine care activities to minimize potential disturbances and artifacts in the ECG recordings.\nThe data analysis workflow involved the following steps: (i) medical staff annotated the onset time of PSH events on the basis of clinical observations; (ii) for each annotated event, ECG data were extracted from two distinct time windows: 20 min before the event onset divided into two adjacent blocks of 10 min (Pre20 and Pre10) and event: 10 min after the event onset.\nEach window comprised 10 min of continuous ECG data, necessary to capture a sufficient number of very-low-frequency (VLF) oscillations, which are essential for robust and reliable analysis of autonomic function within this frequency band.\nData integrity and processing: Extracted ECG data were inspected for signal integrity to ensure the absence of artifacts or ectopic beats. Subsequently, the data were processed for heart rate variability (HRV) analysis.\n\n\n### Physiological context\nRespiratory rate (breaths/min) was estimated from ECG-derived respiration (EDR) using Kubios HRV (version 3.1; Kuopio, Finland). Noninvasive blood pressure (mmHg) was annotated by medical staff from bedside monitors at the pre-event window and during the event. Both variables were summarized descriptively (mean ± standard deviation [SD], median [IQR], min–max) per condition (PSH and noPSH).\n\n\n### HRV analysis\nIn analyzing the ECG data for patients diagnosed with PSH, the Kubios HRV advanced software (version 3.1, Kuopio, Finland) was used, allowing a detailed examination across time, frequency, and nonlinear domains [15]. The preprocessing phase included a rigorous noise assessment, followed by detecting R peaks using Kubios’s adaptation of the Pan–Tompkins algorithm, a choice adopted for its proven effectiveness in QRS detection [16]. To refine R-peak identification and address potential artifacts or ectopic beats, we applied a 4 Hz cubic spline interpolation, supplemented by a subsequent visual inspection for any necessary manual adjustments.\nA quadratic polynomial model was employed to detrend the RR interval series, aiming to mitigate the influence of lower-frequency oscillations on the power spectral density (PSD) analysis to accommodate the nonstationary nature of biological signals. We calculated the PSD using the Fast Fourier Transform method, specifically applying Welch’s method with a window width of 150 s. This approach was selected to derive the natural logarithms of high frequency (HF: 0.15–0.5 Hz) (LnHF), low frequency (LF: 0.04–0.15 Hz) (LnLF), and very low frequency (VLF: 0.0033–0.04 Hz) (LnVLF), as well as the LF/HF ratio, ensuring an accurate representation of the HRV spectral components. The logarithmic transformation addressed the measures’ skewed distribution, with skewness values ranging between 2.5 and 5.4, thereby normalizing the distribution for further analysis.\nThe multiscale entropy (MSE) analysis quantifies the signal’s nonlinear and nonstationary attributes over varying time scales [17]. The signal’s irregularity was assessed by averaging RR intervals within nonoverlapping windows of increasing lengths (1–10) and applying sample entropy (SampEn) [18] to these coarse-grained series. Setting the dimensional phase space m = 2 and the matching tolerance r = 0.2 facilitated robust complexity measurements across diverse data lengths.\nMSE analysis provided short- and long-scale complexity indices (CIs and CIl), calculated as the sum of SampEn values across coarse-grained scales 1–5 and 6–10, respectively. These indices provide insights into the dynamics of autonomic nervous system regulation over relevant temporal frameworks, offering critical information about the sympathetic and parasympathetic activity involved in PSH [17].\n\n\n### Wavelet analysis and linear trend\nWavelet analysis (MATLAB’s Wavelet Toolbox [version 2024a]) was employed to characterize temporal changes in the VLF, LF, and HF bands and their relative ratios (e.g., VLF/[LF + HF]). Compared with traditional Fourier-based methods, wavelet analysis provides enhanced temporal and frequency resolution, making it particularly suitable for capturing transient and localized variations in HRV. The Morlet wavelet was selected owing to its optimal balance between time and frequency localization, which is essential for accurately identifying the VLF, LF, and HF oscillations within our ECG recordings.\nThe ECG data were interpolated at 4 Hz before applying the wavelet transform. This interpolation rate was chosen to sample the VLF band, adequately preventing aliasing artifacts. The interpolation process employed a cubic spline method, which maintains the smoothness and continuity of the RR interval series while accommodating the low-frequency components essential for our study.\nAfter the wavelet analysis, the linear trend analysis was performed to account for any gradual changes in the RR interval series over time. This analysis provided the linear equations (intercept and time coefficient), the standard error of the coefficient, the F-ratio, the p-values, the 95% confidence interval for the time coefficient, and the R2 value.\n\n\n### Statistical analysis\nFor the between-condition analysis, PSH and noPSH events were compared using independent samples t-tests to evaluate differences in HRV parameters. In the within-condition analysis, paired samples t-tests were used to compare data recorded during the event, 10 min prior (Pre10), and 20 min prior (Pre20). Before conducting t-tests, data were assessed for normality using the Shapiro–Wilk test. The Bonferroni correction was applied to control the type I error rate, with the significance threshold set at p = 0.001, corresponding to the Bonferroni-adjusted alpha (0.05/44) for the maximum number of pair-wise comparisons.\n\n\n### Support vector machine\nThe SVM was selected for its robustness in handling small datasets and superior performance in nonlinear classification tasks, making it well-suited for the HRV-based PSH prediction model.\nOur study used JMP software (version 16, SAS Institute, Cary, NC, USA) to implement a support vector machine (SVM) model to differentiate between PSH and noPSH events. The SVM approach is particularly advantageous for complex datasets as it effectively identifies the optimal boundary that maximizes the separation between groups, mitigating the risk of overfitting while ensuring generalizability to new data.\nThe model’s efficacy was enhanced by employing the radial basis function (RBF) kernel, simplifying data categorization by transforming the input data into a more distinguishable format. This combination of SVM with the RBF kernel allows for a nuanced model that is both flexible and accurate, adept at navigating the intricate relationships in the data.\nCrucially, the model’s performance hinges on carefully calibrating the cost (C) and RBF gamma parameters. The C parameter balances the margin maximization with classification error minimization, while the gamma parameter modulates the decision boundary’s adaptability. Proper tuning of these parameters is vital for optimizing the model’s complexity and its ability to perform accurately on unseen datasets.\nThe tenfold cross-validation was used to evaluate the model’s predictive power comprehensively. It divides the data into ten parts, ensuring each subset accounts for about 10% of the data. This approach safeguards against overfitting and enhances the reliability of our findings by providing a robust evaluation of the model across multiple training and validation scenarios, minimizing bias, and validating the model’s capacity to generalize well to new, unseen data, ensuring an accurate and reliable assessment of its performance.\n\n\n### Results\nEDR-derived respiratory rates remained within a normal range with no extreme bradypnea (< 10 breaths/min). Distributions overlapped across windows within both conditions, with no systematic shift between PSH and noPSH or across windows. In PSH, mean ± SD rates were 19 ± 5 breaths/min at Pre20 and Pre10, and 21 ± 4 at the event. In noPSH, rates were 18 ± 6 at Pre20 and 19 ± 6 at Pre10 and event. All observed respiratory rates fell within the predefined HF band used for spectral analysis, ensuring that high-frequency power was not underestimated. Summary values are reported in Supplementary Table S1.\nPSH recordings showed a clear descriptive rise in systolic/diastolic blood pressure at the event compared with the pre-event window, whereas noPSH showed modest changes. Specifically, in PSH, blood pressure (BP: systolic mean ± SD / diastolic mean ± SD) rose from 136 ± 9/82 ± 10 mmHg (pre-event) to 183 ± 5/92 ± 8 mmHg (event), i.e., a mean +47 mmHg systolic. In noPSH, BP changed from 115 ± 7/69 ± 7 mmHg to 125 ± 8/73 ± 5 mmHg, i.e., a mean +10 mmHg systolic. Details are provided in Supplementary Table S2.\nTachogram analysis showed a significant escalation in mean heart rate (HR) approaching PSH episodes, contrasting sharply with noPSH events. Specifically, we observed a significant HR increase from an average of 97 ± 14 beats per minute (b/min) (max HR 116 ± 18 b/min) 20 min before an event (Pre20) to 105 ± 15 b/min (max HR 120 ± 16 b/min) 10 minutes prior (Pre10) (t-test: t(23), t = −4.69; p = 0.0001; r2 = 0.49), peaking at 123 ± 12 b/min (max HR 138 ± 10 b/min) during the PSH episode, with a significant difference comparing Pre10 versus event condition (mean HR, t-test: t(23), t = −7.32; p = 0.0001; r2 = 0.70; and max HR, t-test: t(23), t = −6.92; p = 0.0001; r2 = 0.67). In contrast, under noPSH conditions, we observed only a slight increase in HR across the three time windows (Pre20: mean HR 95 ± 13 b/min [max 107 ± 11]; Pre10: 98 ± 14 b/min [max 109 ± 14]; event: 100 ± 13 b/min [max 111 ± 14]) without significant differences among them. Comparing PSH and noPSH for mean and max HR, the differences were significant during the event (mean HR, t-test: t(46), t = −6.08; p = 0.0001; r2 = 0.46; and max HR, t(46), t = −7.65; p = 0.0001; r2 = 0.56).\nNo significant differences were detected for the standard deviation of NN intervals (SDNN—i.e., RR intervals, free from ectopic beats and artifact RR intervals) (Fig. 1).Fig. 1Boxplot and violin plot of time, frequency, and nonlinear domain. PSH and noPSH show paroxysmal sympathetic hyperactivity and significant increases in HR, respectively. In blue, 20 min before the event (Pre20); in red, 10 min before the event (Pre10); in green, the event. From top to bottom: first line—time domain measure (mean and max heart rate and cardiac variability SDNN); second line—frequency domain measures (natural logarithms of the power spectrum density for total power, very low frequency [VLF], low frequency [LF], and high frequency [HF]); third line—frequency ratios; fourth line—nonlinear domain (complexity index in short-time and long-time scales). Horizontal square brackets indicate significant statistics at 0.0001, with “*” at 0.0003\nBoxplot and violin plot of time, frequency, and nonlinear domain. PSH and noPSH show paroxysmal sympathetic hyperactivity and significant increases in HR, respectively. In blue, 20 min before the event (Pre20); in red, 10 min before the event (Pre10); in green, the event. From top to bottom: first line—time domain measure (mean and max heart rate and cardiac variability SDNN); second line—frequency domain measures (natural logarithms of the power spectrum density for total power, very low frequency [VLF], low frequency [LF], and high frequency [HF]); third line—frequency ratios; fourth line—nonlinear domain (complexity index in short-time and long-time scales). Horizontal square brackets indicate significant statistics at 0.0001, with “*” at 0.0003\nThe entropy analysis quantifies the unpredictability or irregularity of heart rate fluctuations, providing a measure of the complexity of autonomic control. The complexity index (CI) integrates multiscale entropy values to assess the overall complexity of heart rate dynamics across short- and long-time scales, reflecting scales with faster and slower regulatory processes, respectively. Significantly decreased entropy was observed comparing the event with the previous 10 min (Pre10) for CIs (t(23): t = −5.32, p = 0.0001, r2 = 0.38) and CIl (t(23): t = −4.02, p = 0.0003, r2 = 0.26). Moreover, CIs and CIl were significantly lower during PSH compared with noPSH during the event (CIs [t(46): t = −6.81, p = 0.0001, r2 = 0.50]; CIl [t(46): t = −5.26, p = 0.0001, r2 = 0.38]) (Fig. 1).\nPSD analysis quantifies the variance within different heart rate signal frequency bands, showing how various physiological mechanisms contribute to heart rate fluctuations over time. The PSD in the very-low-frequency (VLF) range (0.0033–0.04 Hz, influenced by slower-acting regulatory mechanisms), low-frequency (LF) range (0.04–0.15 Hz, associated with both sympathetic and parasympathetic activity), and high-frequency (HF) range (0.15–0.5 Hz, primarily related to parasympathetic activity) components was analyzed.\nAll spectral components exhibited a significant decrease in PSD over time in both PSH and noPSH conditions, with a more pronounced decline observed during PSH events (Fig. 2; Table 2). Specifically, the negative time coefficients for VLF, LF, and HF components were higher in the PSH condition, suggesting an abrupt reduction in autonomic variability.Fig. 2Tachogram and wavelet frequency analysis. Columns on the left and right are the PSH and noPSH, respectively. The vertical dashed lines represent the division of 1800 s (30 min) into three equal blocks of 600 s (10 min.) Top graphs: the tachogram (RR inter-beat in seconds). On the y-axis is the RR interval (s) with standard error (SE), and on the x-axis is the time in seconds. Colors from light yellow to dark red indicate decreased RR interval corresponding to increased HR (i.e., RR = 0.47 → HR = 85.7; RR = 0.45 → HR = 133.3); the transparent area is the SE. Bottom graphs: the wavelet of the power spectrum density (PSD) in s2/Hz with the SE (transparent area) and linear trend (dashed line) for the very low frequency (VLF) in blue, low frequency (LF) in red, and high frequency (HF) in green. On the graph are the linear equation and the relative linear fit R2Table 2Regression analysis of PSD components over time for PSH and noPSH conditionsComponentConditionInterceptSE interceptTime coefficient (per second)SE time coefficientF-ratiop-ValueR295% confidence interval for time coefficientVLFPSH0.01056.78 × 10−5−5.02 × 10−66.52 × 10−85920.22< 0.00010.77[−5.14 × 10−6, −4.90 × 10−6]noPSH0.00512.88 × 10−5−9.89 × 10−72.77 × 10−81276.10< 0.00010.42[−1.03 × 10−6, −9.56 × 10−7]LFPSH0.00272.70 × 10−5−1.30 × 10−62.60 × 10−82478.60< 0.00010.58[−1.36 × 10−6, −1.24 × 10−6]noPSH0.00191.88 × 10−5−5.96 × 10−76.67 × 10−81080.30< 0.00010.38[−6.29 × 10−7, −5.63 × 10−7]HFPSH0.00223.50 × 10−5−1.44 × 10−63.37 × 10−81829.80< 0.00010.50[−1.51 × 10−6, −1.37 × 10−6]noPSH0.00021.90 × 10−5−4.06 × 10−71.83 × 10−8489.30< 0.00010.21[−4.42 × 10−7, −3.70 × 10−7]Intercept: estimated PSD value at time zero; time coefficient: estimated change in PSD per second; SE: standard error of the coefficient; F-ratio: ratio used in analysis of variance (ANOVA) to determine the overall significance of the model; p-value: indicates the statistical significance of the coefficient; R2: coefficient of determination, representing the proportion of variance explained by the model; 95% confidence interval for time coefficient: confidence interval for the time coefficient, providing a range of values within which the true coefficient is likely to fallPSH paroxysmal sympathetic hyperactivity condition, noPSH no PSH condition\nTachogram and wavelet frequency analysis. Columns on the left and right are the PSH and noPSH, respectively. The vertical dashed lines represent the division of 1800 s (30 min) into three equal blocks of 600 s (10 min.) Top graphs: the tachogram (RR inter-beat in seconds). On the y-axis is the RR interval (s) with standard error (SE), and on the x-axis is the time in seconds. Colors from light yellow to dark red indicate decreased RR interval corresponding to increased HR (i.e., RR = 0.47 → HR = 85.7; RR = 0.45 → HR = 133.3); the transparent area is the SE. Bottom graphs: the wavelet of the power spectrum density (PSD) in s2/Hz with the SE (transparent area) and linear trend (dashed line) for the very low frequency (VLF) in blue, low frequency (LF) in red, and high frequency (HF) in green. On the graph are the linear equation and the relative linear fit R2\nRegression analysis of PSD components over time for PSH and noPSH conditions\nIntercept: estimated PSD value at time zero; time coefficient: estimated change in PSD per second; SE: standard error of the coefficient; F-ratio: ratio used in analysis of variance (ANOVA) to determine the overall significance of the model; p-value: indicates the statistical significance of the coefficient; R2: coefficient of determination, representing the proportion of variance explained by the model; 95% confidence interval for time coefficient: confidence interval for the time coefficient, providing a range of values within which the true coefficient is likely to fall\nPSH paroxysmal sympathetic hyperactivity condition, noPSH no PSH condition\nThe observed trend shows a PSH condition characterized by a rapid decline in overall autonomic activity, particularly in parasympathetic modulation (as evidenced by decreased HF power), coupled with an increased dominance of slower regulatory mechanisms reflected in the VLF component (Fig. 2; Supplementary Material: Supplementary Fig. S3 and Supplementary Table S3).\nAnalysis of Pre20, Pre10, and the event condition showed significantly lower LF and HF component values during the event condition compared with the preceding phase (Pre10) (LF: t(23) = −4.23, p = 0.0003, r2 = 0.28; HF: t = −5.17, p = 0.0001, r2 = 0.37) (Fig. 1).\nAn SVM model integrating HRV parameters and etiology was employed to differentiate PSH from noPSH events. The variables included SDNN, natural logarithms of the power spectral density (log PSD) of VLF, LF, and HF bands, the LF/HF ratio, and CI for both short- and long-time scales. Following feature selection based on a random forest algorithm, log PSD of VLF, log PSD of HF, and CIs were identified as key predictors distinguishing PSH from noPSH conditions.\nOptimal SVM hyperparameters (C and gamma) were established by comprehensively comparing 100 different models, with C ranging between 0.5 and 10 and gamma between 0.01 and 10. The best-performing SVM model was configured with hyperparameters C = 9.96 and gamma = 2.56. The same hyperparameters were used to classify PSH and noPSH in the Pre10 and Pre20 conditions to avoid overfitting due to model adaptation to the data. The tenfold cross-validation test was used to validate our SVM model’s robustness.\nDuring the event, the model classified PSH and noPSH conditions without misclassification in the training and validation tests. In the Pre10 condition (10 min before the event), the model showed perfect classification in the training phase and good performance in the validation phase, with a sensitivity of 67%, specificity of 100%, balanced accuracy of 83%, and F1-score of 80%. In the Pre20 condition, similar results were observed in the training phase, while the validation phase yielded a sensitivity of 100%, specificity of 33%, balanced accuracy of 68%, and F1-score of 67%.\nOut of 100 tested models, 45 showed perfect classification in the training and validation phases. An additional 45 models had training error rates ranging between 2.3% and 9%, and only 10 models exhibited error rates around 12%. In the validation phase, only 3% of the models showed a misclassification rate of approximately 12% (Supplementary Material: Supplementary Fig. S1).\nUpon assessing the influence of each variable through iterative exclusion, the CIs significantly impacted classification accuracy, particularly during the events. During the event, eliminating CIs from the model substantially increased the misclassification rate to 12% in the training test, while removing VLF or HF resulted in misclassification rates of 5%. Similar patterns were observed in the Pre10 and Pre20 conditions, highlighting the significant contribution of CIs to the model’s predictive accuracy. Detailed metrics and model fit measures are shown in Fig. 3 and Supplementary Material: Supplementary Fig. S1.Fig. 3Support vector machine (SVM) results. SVM model’s performance (misclassification rate) when the complexity index (CI), the high frequency (HF), or the very low frequency (VLF) is excluded from the model. Dark blue represents the misclassification considering all PSH and noPSH conditions; blue represents the misclassification in PSH conditions; and light blue represents the misclassification of noPSH conditions\nSupport vector machine (SVM) results. SVM model’s performance (misclassification rate) when the complexity index (CI), the high frequency (HF), or the very low frequency (VLF) is excluded from the model. Dark blue represents the misclassification considering all PSH and noPSH conditions; blue represents the misclassification in PSH conditions; and light blue represents the misclassification of noPSH conditions\n\n\n### Physiological context\nEDR-derived respiratory rates remained within a normal range with no extreme bradypnea (< 10 breaths/min). Distributions overlapped across windows within both conditions, with no systematic shift between PSH and noPSH or across windows. In PSH, mean ± SD rates were 19 ± 5 breaths/min at Pre20 and Pre10, and 21 ± 4 at the event. In noPSH, rates were 18 ± 6 at Pre20 and 19 ± 6 at Pre10 and event. All observed respiratory rates fell within the predefined HF band used for spectral analysis, ensuring that high-frequency power was not underestimated. Summary values are reported in Supplementary Table S1.\nPSH recordings showed a clear descriptive rise in systolic/diastolic blood pressure at the event compared with the pre-event window, whereas noPSH showed modest changes. Specifically, in PSH, blood pressure (BP: systolic mean ± SD / diastolic mean ± SD) rose from 136 ± 9/82 ± 10 mmHg (pre-event) to 183 ± 5/92 ± 8 mmHg (event), i.e., a mean +47 mmHg systolic. In noPSH, BP changed from 115 ± 7/69 ± 7 mmHg to 125 ± 8/73 ± 5 mmHg, i.e., a mean +10 mmHg systolic. Details are provided in Supplementary Table S2.\n\n\n### Heart rate variability analysis\nTachogram analysis showed a significant escalation in mean heart rate (HR) approaching PSH episodes, contrasting sharply with noPSH events. Specifically, we observed a significant HR increase from an average of 97 ± 14 beats per minute (b/min) (max HR 116 ± 18 b/min) 20 min before an event (Pre20) to 105 ± 15 b/min (max HR 120 ± 16 b/min) 10 minutes prior (Pre10) (t-test: t(23), t = −4.69; p = 0.0001; r2 = 0.49), peaking at 123 ± 12 b/min (max HR 138 ± 10 b/min) during the PSH episode, with a significant difference comparing Pre10 versus event condition (mean HR, t-test: t(23), t = −7.32; p = 0.0001; r2 = 0.70; and max HR, t-test: t(23), t = −6.92; p = 0.0001; r2 = 0.67). In contrast, under noPSH conditions, we observed only a slight increase in HR across the three time windows (Pre20: mean HR 95 ± 13 b/min [max 107 ± 11]; Pre10: 98 ± 14 b/min [max 109 ± 14]; event: 100 ± 13 b/min [max 111 ± 14]) without significant differences among them. Comparing PSH and noPSH for mean and max HR, the differences were significant during the event (mean HR, t-test: t(46), t = −6.08; p = 0.0001; r2 = 0.46; and max HR, t(46), t = −7.65; p = 0.0001; r2 = 0.56).\nNo significant differences were detected for the standard deviation of NN intervals (SDNN—i.e., RR intervals, free from ectopic beats and artifact RR intervals) (Fig. 1).Fig. 1Boxplot and violin plot of time, frequency, and nonlinear domain. PSH and noPSH show paroxysmal sympathetic hyperactivity and significant increases in HR, respectively. In blue, 20 min before the event (Pre20); in red, 10 min before the event (Pre10); in green, the event. From top to bottom: first line—time domain measure (mean and max heart rate and cardiac variability SDNN); second line—frequency domain measures (natural logarithms of the power spectrum density for total power, very low frequency [VLF], low frequency [LF], and high frequency [HF]); third line—frequency ratios; fourth line—nonlinear domain (complexity index in short-time and long-time scales). Horizontal square brackets indicate significant statistics at 0.0001, with “*” at 0.0003\nBoxplot and violin plot of time, frequency, and nonlinear domain. PSH and noPSH show paroxysmal sympathetic hyperactivity and significant increases in HR, respectively. In blue, 20 min before the event (Pre20); in red, 10 min before the event (Pre10); in green, the event. From top to bottom: first line—time domain measure (mean and max heart rate and cardiac variability SDNN); second line—frequency domain measures (natural logarithms of the power spectrum density for total power, very low frequency [VLF], low frequency [LF], and high frequency [HF]); third line—frequency ratios; fourth line—nonlinear domain (complexity index in short-time and long-time scales). Horizontal square brackets indicate significant statistics at 0.0001, with “*” at 0.0003\n\n\n### Entropy analysis\nThe entropy analysis quantifies the unpredictability or irregularity of heart rate fluctuations, providing a measure of the complexity of autonomic control. The complexity index (CI) integrates multiscale entropy values to assess the overall complexity of heart rate dynamics across short- and long-time scales, reflecting scales with faster and slower regulatory processes, respectively. Significantly decreased entropy was observed comparing the event with the previous 10 min (Pre10) for CIs (t(23): t = −5.32, p = 0.0001, r2 = 0.38) and CIl (t(23): t = −4.02, p = 0.0003, r2 = 0.26). Moreover, CIs and CIl were significantly lower during PSH compared with noPSH during the event (CIs [t(46): t = −6.81, p = 0.0001, r2 = 0.50]; CIl [t(46): t = −5.26, p = 0.0001, r2 = 0.38]) (Fig. 1).\n\n\n### Power spectral density (PSD) analysis\nPSD analysis quantifies the variance within different heart rate signal frequency bands, showing how various physiological mechanisms contribute to heart rate fluctuations over time. The PSD in the very-low-frequency (VLF) range (0.0033–0.04 Hz, influenced by slower-acting regulatory mechanisms), low-frequency (LF) range (0.04–0.15 Hz, associated with both sympathetic and parasympathetic activity), and high-frequency (HF) range (0.15–0.5 Hz, primarily related to parasympathetic activity) components was analyzed.\nAll spectral components exhibited a significant decrease in PSD over time in both PSH and noPSH conditions, with a more pronounced decline observed during PSH events (Fig. 2; Table 2). Specifically, the negative time coefficients for VLF, LF, and HF components were higher in the PSH condition, suggesting an abrupt reduction in autonomic variability.Fig. 2Tachogram and wavelet frequency analysis. Columns on the left and right are the PSH and noPSH, respectively. The vertical dashed lines represent the division of 1800 s (30 min) into three equal blocks of 600 s (10 min.) Top graphs: the tachogram (RR inter-beat in seconds). On the y-axis is the RR interval (s) with standard error (SE), and on the x-axis is the time in seconds. Colors from light yellow to dark red indicate decreased RR interval corresponding to increased HR (i.e., RR = 0.47 → HR = 85.7; RR = 0.45 → HR = 133.3); the transparent area is the SE. Bottom graphs: the wavelet of the power spectrum density (PSD) in s2/Hz with the SE (transparent area) and linear trend (dashed line) for the very low frequency (VLF) in blue, low frequency (LF) in red, and high frequency (HF) in green. On the graph are the linear equation and the relative linear fit R2Table 2Regression analysis of PSD components over time for PSH and noPSH conditionsComponentConditionInterceptSE interceptTime coefficient (per second)SE time coefficientF-ratiop-ValueR295% confidence interval for time coefficientVLFPSH0.01056.78 × 10−5−5.02 × 10−66.52 × 10−85920.22< 0.00010.77[−5.14 × 10−6, −4.90 × 10−6]noPSH0.00512.88 × 10−5−9.89 × 10−72.77 × 10−81276.10< 0.00010.42[−1.03 × 10−6, −9.56 × 10−7]LFPSH0.00272.70 × 10−5−1.30 × 10−62.60 × 10−82478.60< 0.00010.58[−1.36 × 10−6, −1.24 × 10−6]noPSH0.00191.88 × 10−5−5.96 × 10−76.67 × 10−81080.30< 0.00010.38[−6.29 × 10−7, −5.63 × 10−7]HFPSH0.00223.50 × 10−5−1.44 × 10−63.37 × 10−81829.80< 0.00010.50[−1.51 × 10−6, −1.37 × 10−6]noPSH0.00021.90 × 10−5−4.06 × 10−71.83 × 10−8489.30< 0.00010.21[−4.42 × 10−7, −3.70 × 10−7]Intercept: estimated PSD value at time zero; time coefficient: estimated change in PSD per second; SE: standard error of the coefficient; F-ratio: ratio used in analysis of variance (ANOVA) to determine the overall significance of the model; p-value: indicates the statistical significance of the coefficient; R2: coefficient of determination, representing the proportion of variance explained by the model; 95% confidence interval for time coefficient: confidence interval for the time coefficient, providing a range of values within which the true coefficient is likely to fallPSH paroxysmal sympathetic hyperactivity condition, noPSH no PSH condition\nTachogram and wavelet frequency analysis. Columns on the left and right are the PSH and noPSH, respectively. The vertical dashed lines represent the division of 1800 s (30 min) into three equal blocks of 600 s (10 min.) Top graphs: the tachogram (RR inter-beat in seconds). On the y-axis is the RR interval (s) with standard error (SE), and on the x-axis is the time in seconds. Colors from light yellow to dark red indicate decreased RR interval corresponding to increased HR (i.e., RR = 0.47 → HR = 85.7; RR = 0.45 → HR = 133.3); the transparent area is the SE. Bottom graphs: the wavelet of the power spectrum density (PSD) in s2/Hz with the SE (transparent area) and linear trend (dashed line) for the very low frequency (VLF) in blue, low frequency (LF) in red, and high frequency (HF) in green. On the graph are the linear equation and the relative linear fit R2\nRegression analysis of PSD components over time for PSH and noPSH conditions\nIntercept: estimated PSD value at time zero; time coefficient: estimated change in PSD per second; SE: standard error of the coefficient; F-ratio: ratio used in analysis of variance (ANOVA) to determine the overall significance of the model; p-value: indicates the statistical significance of the coefficient; R2: coefficient of determination, representing the proportion of variance explained by the model; 95% confidence interval for time coefficient: confidence interval for the time coefficient, providing a range of values within which the true coefficient is likely to fall\nPSH paroxysmal sympathetic hyperactivity condition, noPSH no PSH condition\nThe observed trend shows a PSH condition characterized by a rapid decline in overall autonomic activity, particularly in parasympathetic modulation (as evidenced by decreased HF power), coupled with an increased dominance of slower regulatory mechanisms reflected in the VLF component (Fig. 2; Supplementary Material: Supplementary Fig. S3 and Supplementary Table S3).\nAnalysis of Pre20, Pre10, and the event condition showed significantly lower LF and HF component values during the event condition compared with the preceding phase (Pre10) (LF: t(23) = −4.23, p = 0.0003, r2 = 0.28; HF: t = −5.17, p = 0.0001, r2 = 0.37) (Fig. 1).\n\n\n### SVM performance\nAn SVM model integrating HRV parameters and etiology was employed to differentiate PSH from noPSH events. The variables included SDNN, natural logarithms of the power spectral density (log PSD) of VLF, LF, and HF bands, the LF/HF ratio, and CI for both short- and long-time scales. Following feature selection based on a random forest algorithm, log PSD of VLF, log PSD of HF, and CIs were identified as key predictors distinguishing PSH from noPSH conditions.\nOptimal SVM hyperparameters (C and gamma) were established by comprehensively comparing 100 different models, with C ranging between 0.5 and 10 and gamma between 0.01 and 10. The best-performing SVM model was configured with hyperparameters C = 9.96 and gamma = 2.56. The same hyperparameters were used to classify PSH and noPSH in the Pre10 and Pre20 conditions to avoid overfitting due to model adaptation to the data. The tenfold cross-validation test was used to validate our SVM model’s robustness.\nDuring the event, the model classified PSH and noPSH conditions without misclassification in the training and validation tests. In the Pre10 condition (10 min before the event), the model showed perfect classification in the training phase and good performance in the validation phase, with a sensitivity of 67%, specificity of 100%, balanced accuracy of 83%, and F1-score of 80%. In the Pre20 condition, similar results were observed in the training phase, while the validation phase yielded a sensitivity of 100%, specificity of 33%, balanced accuracy of 68%, and F1-score of 67%.\nOut of 100 tested models, 45 showed perfect classification in the training and validation phases. An additional 45 models had training error rates ranging between 2.3% and 9%, and only 10 models exhibited error rates around 12%. In the validation phase, only 3% of the models showed a misclassification rate of approximately 12% (Supplementary Material: Supplementary Fig. S1).\nUpon assessing the influence of each variable through iterative exclusion, the CIs significantly impacted classification accuracy, particularly during the events. During the event, eliminating CIs from the model substantially increased the misclassification rate to 12% in the training test, while removing VLF or HF resulted in misclassification rates of 5%. Similar patterns were observed in the Pre10 and Pre20 conditions, highlighting the significant contribution of CIs to the model’s predictive accuracy. Detailed metrics and model fit measures are shown in Fig. 3 and Supplementary Material: Supplementary Fig. S1.Fig. 3Support vector machine (SVM) results. SVM model’s performance (misclassification rate) when the complexity index (CI), the high frequency (HF), or the very low frequency (VLF) is excluded from the model. Dark blue represents the misclassification considering all PSH and noPSH conditions; blue represents the misclassification in PSH conditions; and light blue represents the misclassification of noPSH conditions\nSupport vector machine (SVM) results. SVM model’s performance (misclassification rate) when the complexity index (CI), the high frequency (HF), or the very low frequency (VLF) is excluded from the model. Dark blue represents the misclassification considering all PSH and noPSH conditions; blue represents the misclassification in PSH conditions; and light blue represents the misclassification of noPSH conditions\n\n\n### Discussion\nPSH remains a complex and largely unexplored phenomenon with significant implications for the management of patients with severe brain injuries. PSH worsens clinical outcomes, and currently, no quantitative biomarkers exist that accurately track or predict cardiovascular and ANS activities. To control PSH events, all patients received β-blocker therapy (propranolol or bisoprolol), antiepileptic prophylaxis (levetiracetam and/or phenobarbital), and antihypertensive agents (clonidine, amlodipine). Unlike noPSH events, during PSH, all patients showed a marked heart rate increase and distinct RR interval patterns with a characteristic tachogram shape (Fig. 2). These cardiac changes were accompanied by systolic blood pressure surges often reaching ≥ 180 mmHg, whereas respiratory rate remained within a range of 20 ± 5 breaths/min across all windows, with a transient peak around 30 breaths/min during PSH.\nWe observed a negative trend in the power of all HRV frequency bands for both PSH and noPSH, with a more substantial decrease in PSH alongside an increased VLF/(LF + HF) ratio, which increases more sharply in PSH. Furthermore, LF/HF increases only in PSH owing to a drop in HF power. These trends are coupled with reduced entropy (CIs and CIl) that becomes evident 10 min before PSH and worsens during the event. Notably, these autonomic alterations occurred despite all patients being treated with β-blockers and antihypertensive agents specifically aimed at controlling PSH events.\nThree principal theories consider the pathophysiology of PSH: the disconnection theory, the excitatory/inhibition ratio theory [1], and the neuroendocrine theory. The first two propose different mechanisms related to uncoupling of central nervous system (CNS) and ANS activity. The dissociation theory proposes that PSH results from a disconnection of the diencephalon and the upper brainstem, producing PSH as a “release” phenomenon. The excitatory/inhibition ratio theory posits that PSH arises from the impairment of descending inhibitory signals, which leads to the predominance of localized excitatory responses within the spinal cord, setting off amplified sympathetic activity. Interestingly, neuroendocrine theory, as exemplified by the study of Abdelhakiem et al. [6], suggests an etiology-independent (traumatic or nontraumatic) involvement of the pituitary axis in the progression of PSH. Considering the location of the pituitary and that the only connection to the hypothalamus is with the pituitary stalk, it was suggested that the trauma could impact the pituitary hormones [19, 20], such as in the release of corticotropin, correlated to the production of adrenocortical hormones essential for the organism to withstand the stressful situation [21, 22].\nAccording to the Excitatory/Inhibitory Ratio (EIR) theory, it would be expected to observe increased markers of sympathetic activity, often interpreted as increased LF power in HRV, during PSH episodes. Contrary to this expectation, our analyses show a pronounced reduction in both LF and HF power in the pre-event window and during PSH, with a relatively larger decline in HF. This pattern is consistent with Eckberg’s critique of LF/HF interpretation: LF reflects mixed autonomic (and nonautonomic) influences, and increases in LF/HF frequently result from HF withdrawal (vagal loss) rather than from a surge in sympathetic outflow [23]. Consequently, LF/HF should not be interpreted as a direct measure of sympathovagal balance to avoid physiological misinterpretation. In parallel, the VLF/(LF + HF) ratio increased (Supplementary Material: Supplementary Fig. S3) and multiscale complexity (CIs) declined in the pre-event window, indicating slow-acting regulatory dominance and a loss of autonomic complexity, features that provide preonset information not reducible to heart rate alone.\nThe same consideration applies to disconnection theory. The increase in LF/HF observed during the PSH is due to a drop in the HF component and not to an increase in LF. However, the disconnection could be explained as an impaired central modulation of the sympathovagal system [24, 25].\nOn the contrary, the neuroendocrine theory highlights the role of hypothalamic–pituitary damage in PSH pathophysiology. Given that the hypothalamus plays a critical role in autonomic regulation, its impaired function might lead to a dominance of VLF activity, as our data suggest [26]. The hypothalamus plays a crucial role in both autonomic and neuroendocrine responses to stress. Injuring this area or its pituitary connections might result in high VLF levels, reflecting a reliance on less adaptive regulatory mechanisms [27, 28].\nHowever, the VLF is also related to the renin–angiotensin–aldosterone system (RAAS) [29, 30], a hormone system that regulates blood pressure and cardiovascular function. The abnormal dominance of the VLF band in PSH could reflect a dysregulation of the RAAS, contributing to the complex cardiovascular manifestations observed in these patients [31]. Traditionally, RAAS has been associated with blood pressure regulation through endocrine actions, and its components have been identified in various organs, suggesting a broader influence on organ function [32]. The interaction between RAAS and the sympathetic nervous system has been well-documented [32, 33]. In stroke, dysregulation of the RAAS and the sympathetic nervous system can result in the abnormal release of hormones and neurotransmitters. This ultimately stimulates the hypothalamic–pituitary–adrenal (HPA) axis and increases cortisol secretion, which correlates with the stroke’s severity and damage to the insular cortex [34].\nNonetheless, the RAAS effect on the parasympathetic nervous system, especially in cardiac regulation, is less understood [35], and our analysis showed a significant drop in the HF component (expression of the parasympathetic system).\nAngiotensin II (Ang II) receptors, particularly the AT1 receptor subtype, are distributed throughout the parasympathetic nervous system. They are present in the nodose ganglia, along the vagal nerve trunk, and at the terminals of vagal fibers in the heart [36]. These receptors can modulate vagal activity both at peripheral nerve endings and within central autonomic regions such as the nucleus tractus solitarii (NTS) and the dorsal motor nucleus of the vagus (DMV) [37].\nEndogenous Ang II exerts a tonic inhibitory effect on cardiac vagal tone. Studies have shown that blocking AT1 receptors with antagonists such as losartan enhances vagal-induced bradycardia, indicating that Ang II normally suppresses vagal activity [38, 39].\nAlthough circulating Ang II cannot cross the blood–brain barrier under normal conditions, it can influence central parasympathetic regulation via other mechanisms (Table 3). It attenuates baroreflex sensitivity by resetting the threshold at which baroreceptors respond to changes in blood pressure, leading to reduced vagal (parasympathetic) activity and increased sympathetic tone.\nTable 3Roles and mechanisms of angiotensin II in central autonomic regulationMechanismDetailsEffects/implicationsReferencesLocal synthesisAng II is locally synthesized in the brainKey areas: nucleus of the solitary tract (NTS) and dorsal motor nucleus of the vagus (DMV)Regulation of autonomic functions such as heart rate and blood pressure[40, 41]Circumventricular organsAng II acts on regions lacking a blood–brain barrier, e.g., area postremaInfluences neuronal activity affecting vagal outputModulation of vagal activity and autonomic control[42, 43]Blood–brain barrier disruptionIn hypertension, elevated Ang II increases blood–brain barrier permeabilityAllows Ang II to access central brain regionsEnhanced central actions of Ang II contribute to autonomic imbalance and hypertension[44, 45]Central nuclei effectsIn the NTS:Microinjections of Ang II alter heart rate and blood pressure by affecting vagal toneMay reduce baroreflex sensitivity via AT1 receptorsReactive oxygen species (ROS): Ang II increases ROS production in the NTSImpairs signaling to vagal motor neuronsIn the NTS:Altered vagal tone and blood pressure regulationDecreased parasympathetic outputROS:Impaired baroreflex function[46–48]Baroreflex sensitivityAng II resets the threshold for baroreceptor responseLeads to reduced vagal (parasympathetic) activity and enhanced sympathetic toneExacerbates hypertension by diminishing baroreflex-mediated blood pressure regulationDiminished ability to counteract elevated blood pressureContribution to sustained hypertension[49, 50]Therapeutic interventionsAng II receptor blockers (ARBs) and angiotensin-converting enzyme (ACE) inhibitors:Enhancing vagal tone: Block AT1 receptors, potentiating vagal activity and improving heart rate controlReducing central Ang II effects: Mitigate central actions of Ang II that cause autonomic imbalance in hypertensionImproved baroreflex sensitivityEnhanced parasympathetic functionReduced autonomic imbalance, aiding in hypertension management[38, 51, 52]NTS and DMV: These brain regions are critical for autonomic control, influencing heart rate, blood pressure, and other vital functionsBaroreflex: A feedback mechanism that helps maintain stable blood pressure by adjusting heart rate and vessel dilation in response to blood pressure changesAutonomic imbalance: It refers to the disruption between the sympathetic and parasympathetic nervous systems, often leading to conditions such as hypertensionAng II angiotensin II, NTS nucleus of the solitary tract, DMV dorsal motor nucleus of the vagus, ROS reactive oxygen species, ARBs angiotensin II receptor blockers\nRoles and mechanisms of angiotensin II in central autonomic regulation\nAng II is locally synthesized in the brain\nKey areas: nucleus of the solitary tract (NTS) and dorsal motor nucleus of the vagus (DMV)\nAng II acts on regions lacking a blood–brain barrier, e.g., area postrema\nInfluences neuronal activity affecting vagal output\nIn hypertension, elevated Ang II increases blood–brain barrier permeability\nAllows Ang II to access central brain regions\nIn the NTS:\nMicroinjections of Ang II alter heart rate and blood pressure by affecting vagal tone\nMay reduce baroreflex sensitivity via AT1 receptors\nReactive oxygen species (ROS):\nAng II increases ROS production in the NTS\nImpairs signaling to vagal motor neurons\nIn the NTS:\nAltered vagal tone and blood pressure regulation\nDecreased parasympathetic output\nROS:\nImpaired baroreflex function\nAng II resets the threshold for baroreceptor response\nLeads to reduced vagal (parasympathetic) activity and enhanced sympathetic tone\nExacerbates hypertension by diminishing baroreflex-mediated blood pressure regulation\nDiminished ability to counteract elevated blood pressure\nContribution to sustained hypertension\nAng II receptor blockers (ARBs) and angiotensin-converting enzyme (ACE) inhibitors:\nEnhancing vagal tone: Block AT1 receptors, potentiating vagal activity and improving heart rate control\nReducing central Ang II effects: Mitigate central actions of Ang II that cause autonomic imbalance in hypertension\nImproved baroreflex sensitivity\nEnhanced parasympathetic function\nReduced autonomic imbalance, aiding in hypertension management\nNTS and DMV: These brain regions are critical for autonomic control, influencing heart rate, blood pressure, and other vital functions\nBaroreflex: A feedback mechanism that helps maintain stable blood pressure by adjusting heart rate and vessel dilation in response to blood pressure changes\nAutonomic imbalance: It refers to the disruption between the sympathetic and parasympathetic nervous systems, often leading to conditions such as hypertension\nAng II angiotensin II, NTS nucleus of the solitary tract, DMV dorsal motor nucleus of the vagus, ROS reactive oxygen species, ARBs angiotensin II receptor blockers\nFinally, the reduction in the entropy, as observed in short- and long-time scales, might reflect not only the reduction in the brain–heart two-way interactions [53] but also a neuroendocrine system struggling to maintain homeostasis in the face of severe brain injury [54]. The reduction in entropy suggests a breakdown in the bidirectional interactions within the brain–heart axis. This leads to a less flexible and more deterministic autonomic output. Such changes are consistent with a system under stress or dysfunction, where normal variability and adaptability are compromised. It aligns with the notion of disrupted homeostasis due to RAAS dysregulation, as elevated levels of Ang II can inhibit parasympathetic activity and reduce baroreflex sensitivity, leading to a more rigid and less complex autonomic response [49, 50]. The RAAS, a key hormonal system involved in cardiovascular regulation, may contribute to this loss of complexity through its inhibitory effects on vagal tone and modulation of autonomic balance [35].\nThe patients in the study commonly exhibited brain damage in critical regions involved in autonomic regulation, such as the basal ganglia, corpus callosum (particularly the splenium), midbrain, and brainstem (Table 3). These damaged areas are integral to the functioning of the parasympathetic nervous system, particularly in modulating vagal tone and maintaining autonomic balance [25]. The RAAS plays a pivotal role in cardiovascular homeostasis by influencing these brain regions [35]. Damage to areas such as the midbrain and brainstem could disrupt RAAS-mediated modulation of the vagal system, potentially leading to impaired autonomic regulation and contributing to conditions such as PSH and hypertension observed in these patients.\nOur findings suggest a significant role of the RAAS in mediating autonomic dysfunction following acquired brain injuries. While direct evidence linking RAAS activity to PSH is limited, several studies have demonstrated the influence of RAAS on autonomic regulation [33, 35, 50]. For instance, Ang II has been shown to inhibit parasympathetic activity via AT1 receptors in key autonomic regions such as the NTS and the DMV [35]. This inhibition could explain the observed decreased HF power and increased VLF/(LF + HF) during PSH episodes. These observations are consistent with a possible contribution of RAAS dysregulation to the abnormal VLF patterns in PSH. Nonetheless, VLF power is not a direct or specific marker of RAAS activity, and its interpretation requires caution. It should be regarded only as compatible with RAAS involvement, and confirmation would require concurrent biochemical measurements or interventional studies.\nIn the context of acquired brain injuries, hypothalamic or pituitary damage might disrupt normal RAAS function, contributing to the autonomic imbalance characteristic of PSH [55]. Although speculative, this proposed mechanism aligns with the neuroendocrine hypothesis of PSH and offers an expansion of the disconnection theory by incorporating aspects of hormonal regulation.\nThese findings could explain the effectiveness of the clinical use of propranolol (or equivalent) in managing PSH [56]. Propranolol is a nonselective beta-adrenergic receptor blocker that reduces sympathetic activity and inhibits renin release by blocking beta-1 adrenergic receptors in the juxtaglomerular cells of the kidneys [57, 58]. This inhibition leads to decreased renin secretion and, subsequently, lower levels of Ang II and aldosterone, attenuating their vasoconstrictive and sympathetic-enhancing effects [35]. By decreasing Ang II levels, propranolol may alleviate the inhibitory effect of Ang II vagal activity, thereby restoring vagal tone and improving autonomic balance [35, 59].\nOur results contrast with the EIR model, which predicts increased sympathetic markers during PSH. Instead, significant LF and HF power reductions, with a relatively larger decline in HF, were observed, suggesting that PSH may not solely result from heightened sympathetic activity but may also involve parasympathetic withdrawal mediated by RAAS dysfunction.\nBy integrating the disconnection and HPA theories with the involvement of RAAS and considering the therapeutic effects of propranolol, a model where PSH results from both central autonomic disconnection and neuroendocrine dysregulation mediated by RAAS activity can be imagined.\nWhile a rise in HR, along with increases in blood pressure, respiration, and sweating, is the most conspicuous and immediate manifestation of PSH and becomes evident only during the event, our aim was to investigate what additional information might be revealed by HRV analysis. In our dataset, HF power declined markedly in the pre-event window, LF power also fell, and the very-low-frequency component became relatively predominant (expressed as an increased VLF/[LF + HF] ratio; Supplementary Material: Supplementary Fig. S3 and Supplementary Table S3). At the same time, multiscale complexity indices (CIs) progressively decreased, reflecting a decomplexification of the brain–heart interaction. VLF, HF, and CIs were the features driving the model’s preonset discriminative performance. Taken together, these findings indicate that HRV-derived measures provide anticipatory and orthogonal information to HR: Slow regulatory dominance (VLF) and loss of autonomic complexity (CIs) emerge before the clinical onset and can signal an evolving PSH episode earlier than tachycardia alone. This complementary information may be valuable both for early detection and for mechanistic hypotheses on slower regulatory processes that precede the overt autonomic storm.\nOur findings suggest that the VLF and HF power and the complexity index in short-time scales contribute to differentiating PSH and noPSH. Using the SVM classification model demonstrates the potential of machine learning algorithms in classifying the PSH event. Moreover, these characteristics differentiate them 10 and 20 min before the event.\nNonetheless, the physiological mechanisms underlying the VLF component in HRV remain not fully understood, and its relationship with the RAAS is not extensively explored in literature. While some studies have suggested that the VLF band may reflect hormonal influences and slower-acting regulatory mechanisms, including those mediated by the RAAS [29, 60], direct evidence linking increased VLF power to RAAS activity is limited.\nOur observation of an abnormal dominance of the VLF band before PSH episodes in these patients could indicate a multifactorial dysregulation of slow-acting autonomic mechanisms, possibly involving neuroendocrine pathways such as the RAAS. However, given that VLF power is influenced by multiple factors (including thermoregulatory and vasomotor activity, endothelial factors, baroreflex modulation, and hormonal fluctuations [29, 30, 61–64]) and decreased in absolute terms during the events, its interpretation should be approached with caution. Future studies combining HRV analysis with direct measurements of RAAS components could clarify this relationship. Moreover, exploring the impact of autonomic-targeted or sympatholytic interventions on PSH symptoms could help identify more effective therapeutic strategies.\nNevertheless, early detection of PSH through our HRV/SVM model could significantly reduce complications such as hyperthermia and spasticity, enhance recovery trajectories, and alleviate intensive care unit (ICU) burden by optimizing resource utilization. For instance, our data indicate that timely interventions based on predictive analytics may prevent harmful physiological sequelae, thereby improving patient outcomes.\nThis study presents several important limitations. The primary limitation is the sample size, as 24 PSH events were recorded in six patients and compared with similar conditions characterized by increased cardiac activity. The limited number of recorded PSH episodes reflects the inherent challenge of identifying the precise onset of PSH. Moreover, the timing of PSH was based on the PSH assessment measure [14] and determined by clinical staff, which may introduce bias. Again, in our sample, four out of six patients presented with predominant right-hemisphere lesions. However, the locations were heterogeneous, involving occipital, temporal, thalamic, and brainstem structures, rather than a consistent cortical or subcortical region. Therefore, while lateralization of autonomic control has been described, particularly with right insular and fronto-temporal involvement [65–67], our small and heterogeneous cohort does not allow conclusions regarding hemispheric dominance. This aspect deserves a dedicated investigation into larger and more anatomically homogeneous populations.\nDespite this limitation, the study provides significant insight into PSH. All patients exhibited consistent autonomic patterns at PSH onset, regardless of etiology. Moreover, this nominal sample of subjects and events far exceeds other reports of the phenomena.\nThis study provides new insights into the underexplored influence of RAAS on the VLF component of HRV, particularly in the context of PSH. Future research incorporating direct measurements of RAAS activity alongside HRV analysis could further elucidate this relationship and enhance the understanding of PSH pathophysiology.\nBy integrating HRV analysis with machine learning, a predictive model was developed to identify PSH episodes up to 10 min before clinical onset. This capability may enable timely interventions to reduce the severity and duration of PSH episodes in critically ill patients.\nThe findings suggest targeted biochemical assessments to improve clinical management. Monitoring circulating renin, angiotensin II, and aldosterone levels could clarify RAAS dysregulation in PSH, while cortisol assessment may provide insights into concurrent HPA axis activation.\nThe predictive model may be integrated into standard monitoring workflows to support early PSH detection. Its application in future clinical trials could help evaluate RAAS-targeted therapies and improve patient outcomes. These findings enhance mechanistic understanding and present direct clinical implications, offering new opportunities for critical care teams to optimize PSH management.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.Supplementary file1 (DOCX 1093 KB)\nSupplementary file1 (DOCX 1093 KB)", "domain": "affective_neuroscience"}
{"source": "PMC13101847", "title": "Thalamocortical regulation of prefrontal stability enables abstract rule generalization", "text": "# Thalamocortical regulation of prefrontal stability enables abstract rule generalization\n\n## Abstract\nOur ability to generalize abstract rules to new situations is a cognitive hallmark, yet its neural basis is unclear. We identified a thalamocortical circuit essential for this process in mice. During a cross-modal rule transfer task, medial prefrontal cortex (mPFC) neurons encoded task rules across sensory modalities to enable generalization. Crucially, mediodorsal thalamus (MD) projections to mPFC were causally required: Inhibiting this pathway destabilized mPFC representations and impaired rule transfer, whereas enhancing it improved performance. Without MD input, mPFC recruited distinct populations for each task, losing cross-context stability. Direct mPFC excitation impaired generalization, underscoring the specificity of thalamic regulation. Thus, the MD stabilizes mPFC activity for flexible rule transfer—a mechanism with implications for cognitive disorders and artificial intelligence. Thalamic input stabilizes prefrontal activity to transfer learned rules across different situations.\n\n## Full Text\n\n\n### INTRODUCTION\nHumans and animals exhibit a remarkable ability to learn abstract rules and generalize them to novel situations. Memorizing rules—rather than individual exemplars—enhances behavioral flexibility and offers computational advantages. Deficits in abstract rule–based cognition are observed in neuropsychological disorders, including schizophrenia (1), autism spectrum disorder (2), and Alzheimer’s disease (3). Moreover, such cognition distinguishes intelligent brains from simple conditioned response systems. Understanding its mechanisms is thus a critical challenge for both natural and artificial intelligence research.\nPsychophysical and neuroimaging studies implicate the prefrontal cortex (PFC) in representing and implementing abstract rules (4–7). Nonhuman primate studies show that monkeys similarly use abstract rules to guide behavior, with PFC and other cortical regions encoding rich rule-related information (8–19). Yet the PFC’s acute role in abstract rule generalization and the upstream circuits regulating its activity remain unclear. The PFC receives strong, reciprocal inputs from the mediodorsal thalamus (MD), a circuit increasingly recognized as critical for cognitive function (20). Notably, the MD-to-PFC circuit has been implicated in regulating the stability and switching of cortical representations during flexible behavior. For example, MD input is necessary for switching between distinct PFC representations when task rules change, and distinct MD pathways may separately subserve stabilization and switching functions (21, 22). Furthermore, this circuit is engaged during error-driven learning (23). These findings suggest that the MD helps regulate PFC representational dynamics to support cognitive flexibility. However, whether and how this thalamocortical circuit enables the generalization of an abstract rule to entirely novel sensory contexts remain unknown.\nHere, we developed a cross-modal rule transfer task to study rule-based behavior in mice. The animals learned the abstract rule and generalized it across sensory modalities. We investigated the medial prefrontal cortex (mPFC)’s causal role in this behavior and the circuit mechanism involving input from the MD. We found that MD inputs to the mPFC are essential for abstract rule generalization, and MD supports the abstract rule generalization by stabilizing the PFC representation. These results identify the thalamus as a key node in rule-guided behavior.\n\n\n### RESULTS\nTo study the neural basis of abstract rule generalization, we trained head-fixed mice in a two-alternative sequential discrimination task requiring the application of a relation rule. Mice were required to report whether two sequentially presented stimuli matched (left lick) or nonmatched (right lick) to receive a water reward. Given that this task is similar to the delayed match/nonmatch-to-sample (DMS/DNMS) task, for simplicity, this paper uniformly uses “DMS/DNMS task” for reference. First, mice learned an auditory DMS/DNMS task. Water-restricted mice were presented a 0.2-s auditory stimulus (either a 3- or 12-kHz tone) as the sample, followed by a 1.5-s delay period, and then a test auditory stimulus that either matched or did not match the sample. Licking the correct spout within a 1-s response window resulted in a reward (Fig. 1A). The acquisition curve showed a substantial improvement during training, with all mice achieving more than 75% correct responses within 15 to 22 sessions (Fig. 1D). After at least 3 consecutive days of performance above 75% correct, we then switched to a visual task without cueing the mice. The mice then had to use the same abstract rule from the auditory frequency DMS/DNMS task to indicate whether a visual location was a match or nonmatch to a previous sample (Fig. 1B). All animals successfully generalized the auditory rule to visual stimuli, achieving 76.6 ± 1.48% (mean ± SEM) accuracy (n = 13) in the first session, improving to 80.8 ± 1.70% by the second session and 83.8 ± 1.42% by the third session (Fig. 1D). Similar cross-modal generalization occurred when training began with visual stimuli, where the mice were initially trained with a visual location DMS/DNMS task and then tested with an auditory frequency DMS/DNMS task. After acquiring the visual task, they were able to transfer the abstract rule to novel stimuli in the auditory modality (Fig. 1E).\n(A to C) Trial structure schematics for (A) auditory DMS/DNMS, (B) visual DMS/DNMS, and (C) auditory discrimination tasks. (D to F) Performance across training sessions. Colored lines represent individual mice; the black line indicates mean performance. Error bars denote SEM. The dashed line marks the transition to novel stimuli. (G) Number of training sessions required to reach criterion (75% correct). Dots, individual mice (orange: transition from auditory DMS/DNMS to visual DMS/DNMS, n = 13; green: transition from auditory discrimination to visual DMS/DNMS, n = 10); bars, mean ± SEM; Mann-Whitney rank sum test, P ≤ 0.001.\nIn controls, we initially trained the mice to perform an auditory discrimination task (Fig. 1C). The stimuli were the same as those in the auditory DMS/DNMS task, except that mice made decisions based on the second stimulus. This task required an auditory stimulus-outcome association (“if stimulus 3-kHz tone, then reward left, if stimulus 12-kHz tone, then reward right”) and did not necessitate the formation of an abstract concept (“if the two stimuli match, then reward left, if the two stimuli nonmatch, then reward right”). Learning the auditory discrimination task took less than 13 sessions for all mice, which was significantly faster than the initial acquisition of the auditory DMS/DNMS task. After the mice learned the auditory discrimination task using the stimulus-outcome association rule, we switched the task to the visual DMS/DNMS using the “match” versus “nonmatch” abstract rule. On the first session of switch, the mice’s performance dropped to chance, which was significantly different from the performance of mice that had first learned the auditory DMS/DNMS task (auditory discrimination task group: 53.65 ± 0.77%, n = 10; auditory DMS/DNMS task group: 76.6 ± 1.48%, n = 13, Mann-Whitney rank sum test, P ≤ 0.001). The mice initially trained with auditory discrimination task required significantly more sessions to reach behavior criterion in the visual DMS/DNMS task (auditory discrimination task group: 12.8 ± 0.42 sessions, n = 10; auditory DMS/DNMS task group: 1.54 ± 0.27 sessions, n = 13, Mann-Whitney rank sum test, P ≤ 0.001; Fig. 1G).\nThus, mice could learn the DMS/DNMS task and generalize the learned DMS/DNMS abstract rules to novel stimuli across sensory modalities. To our knowledge, this cross-modal rule transfer task has not been previously reported in mice. Having established this training paradigm, we began tracking neuronal correlates of abstract rule generalization throughout the transfer process.\nGiven the PFC’s established role in abstract rule–based behavior, we investigated how mPFC activity adapts during rule generalization with novel stimuli. Using chronic electrophysiological recordings, we monitored mPFC activity as mice performed a familiar auditory DMS/DNMS task followed by the initial session of the novel visual DMS/DNMS task. Consistent with prior studies (24–26), mPFC neurons exhibited robust delay- and choice-selective responses in both the familiar auditory and novel visual tasks (Fig. 2, A and D). A permutation test revealed that 33.5% (121 of 361 cells in five mice) of neurons showed significant delay selectivity, while 46.3% (167 of 361 cells in five mice) exhibited choice selectivity in the familiar auditory task. Similar proportions were observed in the novel visual task: 33% (119 of 361 cells in five mice) for delay selectivity and 54.6% (197 of 361 cells in five mice) for choice selectivity. The persistence of task-related information in mPFC during the novel session prompted us to examine whether the same neuronal ensemble encoded both familiar and novel contexts. We found that most neurons encoding delay and choice information in the auditory task also represented these features in the visual task.\n(A) Stimulus-selective delay-period activity of two representative mPFC neurons in both familiar (auditory) and novel (visual) DMS/DNMS tasks. Top, spike rasters; bottom, peristimulus time histograms (PSTHs). Red, preferred stimulus (correct trials); blue, nonpreferred stimulus (correct trials). Dashed lines demarcate behavioral epochs. Recordings were performed during the first exposure to the novel visual task. (B) Population selectivity (n = 361 neurons) during the delay period. Heatmap displays selectivity indices (SIs; ROC analysis) for preferred versus nonpreferred stimuli across trial time in familiar auditory and novel visual tasks. Neurons are sorted by SI in the familiar auditory task. (C) Scatterplot of mean delay-period SI values (1.5-s window). r, Pearson’s correlation coefficient; red line, linear regression; slope, slope of the linear regression line. (D) Same as (A), but for choice-period activity. Red, correct match trials; blue, correct nonmatch trials. (E and F) Same as (B) and (C), but for choice-period selectivity. Animal-level analyses confirming the consistency of these effects are presented in fig. S3.\nDuring the delay period, we computed a selectivity index (SI) for preferred versus nonpreferred stimuli across all neurons using receiver operating characteristic (ROC) analysis. We sorted neurons by their SI values in the familiar auditory session and used the same order for the novel visual session. We found that neuronal selectivity was preserved across the population, as indicated by the similarity of SI profiles between the two sessions (Fig. 2B). This preservation occurred despite the difference in task demands: In the familiar task, mice remembered sound frequency information, while in the novel task, they remembered visual spatial information. Furthermore, SI between tasks was strongly correlated (P < 0.001, r = 0.75, Pearson’s correlation, n = 361; Fig. 2C), suggesting that mPFC neurons consistently reflect delay-period encoding regardless of stimulus conditions.\nDuring the choice period, ROC analysis distinguished match from nonmatch trials (SI > 0.5: match-preferring; < 0.5: nonmatch preferring). Neuronal selectivity for trial type was conserved across tasks (Fig. 2E), with distinct PFC ensembles representing match and nonmatch trials. Among neurons with significant selectivity for trial type in the familiar task, 78% (131 of 167) maintained their trial preference in the novel task. Selectivity indices were again strongly correlated (P < 0.001, r = 0.77, Pearson’s correlation, n = 361; Fig. 2F), indicating stable encoding of abstract match/nonmatch rules regardless of stimulus modality.\nTo discern whether neural activity in the choice period reflected the abstract rule, sensory modality, and/or motor response, we performed a three-way analysis of variance (ANOVA) for each recorded neuron (n = 361). The model tested for main effects and interactions of rule (match/nonmatch), sensory modality (auditory/visual), and response direction (left/right lick) on firing rates during the choice epoch. We found that 29% (105 of 361) of neurons exhibited a significant main effect of rule without a significant interaction with either modality or response direction. This population demonstrated activity that was selectively tuned to the match/nonmatch rule and generalized across both sensory contexts, independent of the specific motor output. The population SI (ROC) correlation across tasks (Fig. 2F) was primarily driven by the rule-encoding neurons, whose individual SIs were highly correlated between modalities (P < 0.001, r = 0.94, Pearson’s correlation, n = 105).\nWe next asked whether the population coding for the abstract rule was stable during generalization. We examined whether population activity in the familiar auditory trials could predict behavior in novel visual task trials. We trained the linear classifier with data from the familiar auditory task trials and examined decoding accuracy in predicting novel visual task trials. We found that prediction accuracy was also markedly higher than chance, suggesting that the representations for learned abstract rule was stable over the generalization (fig. S1A).\nIn summary, mPFC neurons encoding task features remained stable as new stimuli were integrated into existing rules. This suggests that a shared neuronal subset supports both familiar and novel cue processing, enabling abstract rule generalization.\nTo test whether mPFC neural activity is essential for abstract rule generalization, we expressed hM4Di in the mPFC using adeno-associated virus (AAV) (Fig. 3A). Intraperitoneal injection of clozapine-N-oxide (CNO) to suppress mPFC neural activity during the novel visual session significantly impaired task performance in the novel visual task (P < 0.001, two-tailed t test; Fig. 3B). Behavioral performance was also impaired in the familiar auditory task, when the mPFC activity was inactivated (P < 0.001, two-tailed t test; Fig. 3B). These results suggested that mPFC activity was necessary for both familiar and novel tasks.\n(A and B) Chemogenetic inhibition of mPFC. (A) Schematic of chemogenetic inhibition protocol. (B) Behavioral performance across the first three novel visual sessions and the familiar auditory session. Circles, individual mice (CNO group: n = 10; saline group: n = 10); bars, mean ± SEM. (C) Experimental design for viral delivery of eNpHR-eYFP or eYFP (control) to the MD and optical inhibition of MD-to-mPFC terminals. (D) Same as (B) for photoinhibition of MD-to-mPFC terminals. (eNpHR group: n = 11; eYFP group: n = 11). (E to G) Effects of MD-to-mPFC terminal inactivation during the sample (E), delay (F), or choice (G) phases in the novel visual sessions.\nThe mPFC receives prominent projections from the MD, and thalamocortical interactions are increasingly recognized as critical for cognitive function. To assess whether MD-to-mPFC projections contribute to abstract rule generalization, we optogenetically inhibited MD terminals in the mPFC. We bilaterally expressed enhanced natronomonas pharaonis halorhodopsin (eNpHR) in the MD using pAAV-hSyn-eNpHR3.0-EYFP and delivered 532-nm light (10 mW) via flat-tipped optical fibers [200 μm, 0.22 numerical aperture (NA)] implanted in the mPFC (Fig. 3C). Enhanced yellow fluorescent protein (eYFP) was used to control for potential effects of light alone. Inhibition of MD terminals throughout the trial severely impaired performance in the novel session, reducing it to near-chance levels (P < 0.001, two-tailed t test; Fig. 3D). However, this manipulation did not have effects in the familiar session (P = 0.379, two-tailed t test; Fig. 3D). The trial-by-trial performance showed that control mice exhibit immediate transfer of abstract rule, starting at high performance and asymptoting quickly (fig. S2, A to C). In contrast, bilateral inhibition of MD-mPFC terminals reduces initial performance to chance levels (fig. S2, E to G).\nTo determine whether MD-to-mPFC inactivation impaired the application of the abstract rule or caused a general performance deficit, we performed a logistic regression modeling of behavior to dissect the behavioral strategy. The model evaluated the contribution of the abstract rule versus choice history. The model revealed that control mice strongly weighted the match/nonmatch rule from the first novel session (βrule = 0. 71 ± 0.04). In contrast, mice with MD-to-mPFC inhibition showed a significantly reduced rule weight (βrule = 0.34 ± 0.05; P < 0.001, t test) and an increased reliance on the choice history (βhistory = 0.54 ± 0.06), indicating a failure to deploy the abstract rule (fig. S2, D and H).\nThe DMS/DNMS task requires the perception of the first stimulus, short-term memory retention, and comparison with the second stimulus. To determine when MD-to-mPFC projections are engaged in the novel session, we performed temporally limited optogenetic suppression of MD terminals in mPFC during specific task phases. In these experiments, the terminal inhibition was limited to the sample, delay, or choice phase of the novel task. Inhibition during the sample phase had no significant effect, whereas suppression during the delay or choice phases substantially impaired performance (two-tailed t test; Fig. 3, E to G). These results indicate that MD-to-mPFC projections are critical for abstract rule generalization during memory maintenance and decision-making.\nTo elucidate how MD regulates mPFC activity to support abstract rule generalization, we recorded mPFC neurons while photoinhibiting MD terminals in a temporally precise manner during the novel session (Fig. 4, A and E). We aimed at dissociating behavior from neural manipulation and therefore used a unilateral optogenetic suppression condition, in which we suppressed ipsilateral MD terminals in 50% of the trials during the delay or choice in the novel session while recording the mPFC neuronal activity. This unilateral inactivation of MD terminals in the mPFC did not alter behavior, ruling out a potential indirect effect of behavioral changes on mPFC activity. Strong optogenetic suppression (10 mW, 532 nm) during the delay or choice period abolished mPFC activity. We measured activity starting 20 ms after light onset to exclude any potential transient effects at the initiation of photoinhibition, ensuring that our analysis captured the stable suppressed state of the mPFC. MD terminal suppression reduced mPFC firing rates to 9% (delay) and 12% (choice) of control levels [delay, light off: 10.37 ± 0.52 spikes/s (mean ± SEM), light on: 0.94 ± 0.05 spikes/s, n = 130 cells in four mice; choice, light off: 10.79 ± 0.50 spikes/s, light on: 1.29 ± 0.06 spikes/s, n = 79 cells in four mice].\n(A to D) mPFC recordings during photoinhibition of MD-to-mPFC terminals in the delay phase of the novel visual task. (A) Experimental schematic. (B) Delay-period activity of two representative mPFC neurons with (right) and without (left) MD-to-mPFC photoinhibition. (C) Population-averaged firing rates for trials with preferred (red) or nonpreferred (blue) sample stimuli (preference determined per neuron). Left: control PSTH. Right: PSTH during MD-to-mPFC terminal photoinhibition in the delay phase (n = 348 neurons). Shading denotes SEM. (D) Correlation between baseline neuronal selectivity and photoinhibition-induced changes in selectivity. Red line: linear regression (slope = −0.62; Pearson’s r = −0.67). (E to H) mPFC recordings during photoinhibition of MD-to-mPFC terminals in the choice phase of the novel visual task. (F) Activity of two representative neurons. (G) Population-averaged firing rates for correct preferred (red) and correct nonpreferred choice (blue) trials. Left: control PSTH. Right: PSTH during MD-to-mPFC terminal photoinhibition in the choice phase (n = 262 neurons). (H) Correlation between baseline neuronal selectivity and photoinhibition-induced changes in selectivity. Red line: linear regression (slope = −0.8; Pearson’s r = −0.71). Animal-level analyses confirming the consistency of these effects are presented in fig. S4.\nWe next examined whether MD inputs contribute to selectivity in the mPFC or are simply required to maintain the spike rates in the mPFC without affecting selectivity. Strong silencing of the MD terminal abolished mPFC activity, making it difficult to quantify the contribution of the MD terminal to mPFC selectivity. We therefore searched for conditions where photoinhibition of the MD terminal had moderate effects on activity but larger effects on selectivity. We used 20-fold lower photostimuli compared to the above experiment (0.5 mW, 532 nm). Weak optogenetic MD terminal suppression (0.5 mW, 532 nm) reduced mPFC spiking (average reduction in spike rate, delay: 0.94 ± 0.26 spikes/s, n = 348 cells in four mice; choice: 1.42 ± 0.24 spikes/s, n = 262 cells in four mice) (Fig. 4, B, C, F, and G) and significantly diminished neuronal selectivity during delay and choice phases (two-tailed paired t test, P ≤ 0.001; Fig. 4, C, D, G, and H).\nThus, by sustaining both mPFC activity and task-relevant selectivity, MD input provides the real-time signal necessary for the stable neural representations that enable abstract rule generalization. This acute degradation of selectivity underlies the behavioral impairment observed during generalization (Fig. 3).\nSuppressing bilateral MD-to-mPFC projections impaired generalization behavior in the novel visual session. Despite this impairment, mice eventually learned the visual task under MD-to-mPFC suppression, although MD-to-mPFC suppression prolonged the time required to reach performance criterion (Mann-Whitney rank sum test, P ≤ 0.001; Fig. 5, A to C). For the behavioral suppression during learning, we used 0.5 mW of 532-nm light. After learning the novel visual task under MD-to-mPFC suppression, we observed distinct mPFC neuronal populations encoding task-relevant information in auditory and visual DMS/DNMS tasks (Fig. 5, D to I). This contrasts with control conditions, where the same neuronal population exhibited task-related activity in both tasks. During the delay period, only ~8% (18 of 227) of the recorded neurons showed significant delay selectivity in both tasks. Moreover, SIs were negatively correlated between tasks (P = 0.002, r = −0.21, Pearson’s correlation, n = 227 cells in five mice) (Fig. 5F). In the choice period, 81% (85 of 105) of mPFC neurons selective for match versus nonmatch in the auditory task lost selectivity in the visual task, while a new neuronal ensemble emerged for visual task selectivity. We further assessed whether neurons active in both tasks preferred the same trial type. Most (65%, 13 of 20) exhibited divergent preferences, with only 7 neurons maintaining consistent trial-type selectivity across tasks. Selectivity indices between tasks showed no significant correlation (P = 0.56, r = −0.0389, Pearson’s correlation, n = 227) (Fig. 5I).\n(A to C) Suppressing MD-to-mPFC projections prolonged the time required to reach performance criterion in the novel visual task. MD-mPFC inactivation, n = 8, control, n = 13, bars, mean ± SEM; P ≤ 0.001, Mann-Whitney rank sum test. (D) Two example neurons (format as in Fig. 2A). (E) Population selectivity in the mPFC during the delay epoch (n = 227 neurons), sorted by SI values from the auditory task. (F) Scatterplot of mean SI values during the delay epoch. (G to I) Same as (D) to (F) but for example neurons and population activity during the choice epoch. Animal-level analyses confirming the consistency of these effects are presented in fig. S5.\nTo provide a direct statistical comparison of rule encoding with and without MD input, we performed a 2 (rule) × 2 (response) × 2 (modality) repeated-measures ANOVA on the choice-period activity of neurons recorded from mice that learned the visual task under MD-to-mPFC suppression (n = 227 neurons). Notably, only 2% (5 of 227) of neurons showed a significant main effect of rule without a significant interaction with response or modality. This proportion was markedly lower than the 29% (105 of 361) observed in control conditions (P < 0.001, chi-square test). This direct statistical comparison confirms that the formation of a stable, abstract rule representation in the mPFC that generalizes across sensory modalities is critically dependent on MD input. Furthermore, cross-modal rule decoding was severely impaired, in stark contrast to controls (fig. S1B). This aligns with our single-unit findings and shows that without MD input, a stable, generalized population code fails to form.\nThese findings demonstrate that MD input is essential for the formation of stable, cross-context mPFC representations. When generalization occurs without MD support, the mPFC recruits distinct, modality-specific populations, effectively failing to build an abstract rule code. This directly links the loss of MD-dependent selectivity (Fig. 4) to a failure in constructing the neural basis for generalization.\nTo determine whether enhancing MD-to-mPFC projections influences abstract rule generalization, we optogenetically stimulated MD terminals in the mPFC. We bilaterally expressed AAV-hSyn-hChR2-mCherry in the MD and delivered 470-nm light (1.5 mW) through flat-tipped optical fibers (200 μm, 0.22 NA) implanted in the mPFC. This manipulation improved behavioral performance in the novel session, with individual mice consistently performing at level not typically observed in our cohorts without manipulation (P < 0.05, paired t test; Fig. 6A). We next tested whether elevating mPFC activity directly affects rule generalization. By expressing AAV-hSyn-hChR2-mCherry in the mPFC and applying stepwise laser illumination (470 nm, 0.8 mW) during the task, we found that increasing mPFC excitability significantly impaired novel task performance—contrasting with the effects of MD-to-mPFC projection enhancement (P < 0.05, paired t test; Fig. 6B).\n(A) Percentage of correct trials in the novel visual task for mice with optogenetic activation of MD-to-mPFC projections, comparing light-OFF and light-ON conditions. Thin blue lines represent individual mice; the thick blue line denotes the group mean, n = 10; two-tailed paired t test. (B) As in (A), but for mice receiving direct mPFC activation, n = 11; two-tailed paired t test.\n\n\n### Mice generalize abstract rules across sensory modalities\nTo study the neural basis of abstract rule generalization, we trained head-fixed mice in a two-alternative sequential discrimination task requiring the application of a relation rule. Mice were required to report whether two sequentially presented stimuli matched (left lick) or nonmatched (right lick) to receive a water reward. Given that this task is similar to the delayed match/nonmatch-to-sample (DMS/DNMS) task, for simplicity, this paper uniformly uses “DMS/DNMS task” for reference. First, mice learned an auditory DMS/DNMS task. Water-restricted mice were presented a 0.2-s auditory stimulus (either a 3- or 12-kHz tone) as the sample, followed by a 1.5-s delay period, and then a test auditory stimulus that either matched or did not match the sample. Licking the correct spout within a 1-s response window resulted in a reward (Fig. 1A). The acquisition curve showed a substantial improvement during training, with all mice achieving more than 75% correct responses within 15 to 22 sessions (Fig. 1D). After at least 3 consecutive days of performance above 75% correct, we then switched to a visual task without cueing the mice. The mice then had to use the same abstract rule from the auditory frequency DMS/DNMS task to indicate whether a visual location was a match or nonmatch to a previous sample (Fig. 1B). All animals successfully generalized the auditory rule to visual stimuli, achieving 76.6 ± 1.48% (mean ± SEM) accuracy (n = 13) in the first session, improving to 80.8 ± 1.70% by the second session and 83.8 ± 1.42% by the third session (Fig. 1D). Similar cross-modal generalization occurred when training began with visual stimuli, where the mice were initially trained with a visual location DMS/DNMS task and then tested with an auditory frequency DMS/DNMS task. After acquiring the visual task, they were able to transfer the abstract rule to novel stimuli in the auditory modality (Fig. 1E).\n(A to C) Trial structure schematics for (A) auditory DMS/DNMS, (B) visual DMS/DNMS, and (C) auditory discrimination tasks. (D to F) Performance across training sessions. Colored lines represent individual mice; the black line indicates mean performance. Error bars denote SEM. The dashed line marks the transition to novel stimuli. (G) Number of training sessions required to reach criterion (75% correct). Dots, individual mice (orange: transition from auditory DMS/DNMS to visual DMS/DNMS, n = 13; green: transition from auditory discrimination to visual DMS/DNMS, n = 10); bars, mean ± SEM; Mann-Whitney rank sum test, P ≤ 0.001.\nIn controls, we initially trained the mice to perform an auditory discrimination task (Fig. 1C). The stimuli were the same as those in the auditory DMS/DNMS task, except that mice made decisions based on the second stimulus. This task required an auditory stimulus-outcome association (“if stimulus 3-kHz tone, then reward left, if stimulus 12-kHz tone, then reward right”) and did not necessitate the formation of an abstract concept (“if the two stimuli match, then reward left, if the two stimuli nonmatch, then reward right”). Learning the auditory discrimination task took less than 13 sessions for all mice, which was significantly faster than the initial acquisition of the auditory DMS/DNMS task. After the mice learned the auditory discrimination task using the stimulus-outcome association rule, we switched the task to the visual DMS/DNMS using the “match” versus “nonmatch” abstract rule. On the first session of switch, the mice’s performance dropped to chance, which was significantly different from the performance of mice that had first learned the auditory DMS/DNMS task (auditory discrimination task group: 53.65 ± 0.77%, n = 10; auditory DMS/DNMS task group: 76.6 ± 1.48%, n = 13, Mann-Whitney rank sum test, P ≤ 0.001). The mice initially trained with auditory discrimination task required significantly more sessions to reach behavior criterion in the visual DMS/DNMS task (auditory discrimination task group: 12.8 ± 0.42 sessions, n = 10; auditory DMS/DNMS task group: 1.54 ± 0.27 sessions, n = 13, Mann-Whitney rank sum test, P ≤ 0.001; Fig. 1G).\nThus, mice could learn the DMS/DNMS task and generalize the learned DMS/DNMS abstract rules to novel stimuli across sensory modalities. To our knowledge, this cross-modal rule transfer task has not been previously reported in mice. Having established this training paradigm, we began tracking neuronal correlates of abstract rule generalization throughout the transfer process.\n\n\n### Task-relevant information is encoded by the same mPFC neurons in familiar and novel contexts\nGiven the PFC’s established role in abstract rule–based behavior, we investigated how mPFC activity adapts during rule generalization with novel stimuli. Using chronic electrophysiological recordings, we monitored mPFC activity as mice performed a familiar auditory DMS/DNMS task followed by the initial session of the novel visual DMS/DNMS task. Consistent with prior studies (24–26), mPFC neurons exhibited robust delay- and choice-selective responses in both the familiar auditory and novel visual tasks (Fig. 2, A and D). A permutation test revealed that 33.5% (121 of 361 cells in five mice) of neurons showed significant delay selectivity, while 46.3% (167 of 361 cells in five mice) exhibited choice selectivity in the familiar auditory task. Similar proportions were observed in the novel visual task: 33% (119 of 361 cells in five mice) for delay selectivity and 54.6% (197 of 361 cells in five mice) for choice selectivity. The persistence of task-related information in mPFC during the novel session prompted us to examine whether the same neuronal ensemble encoded both familiar and novel contexts. We found that most neurons encoding delay and choice information in the auditory task also represented these features in the visual task.\n(A) Stimulus-selective delay-period activity of two representative mPFC neurons in both familiar (auditory) and novel (visual) DMS/DNMS tasks. Top, spike rasters; bottom, peristimulus time histograms (PSTHs). Red, preferred stimulus (correct trials); blue, nonpreferred stimulus (correct trials). Dashed lines demarcate behavioral epochs. Recordings were performed during the first exposure to the novel visual task. (B) Population selectivity (n = 361 neurons) during the delay period. Heatmap displays selectivity indices (SIs; ROC analysis) for preferred versus nonpreferred stimuli across trial time in familiar auditory and novel visual tasks. Neurons are sorted by SI in the familiar auditory task. (C) Scatterplot of mean delay-period SI values (1.5-s window). r, Pearson’s correlation coefficient; red line, linear regression; slope, slope of the linear regression line. (D) Same as (A), but for choice-period activity. Red, correct match trials; blue, correct nonmatch trials. (E and F) Same as (B) and (C), but for choice-period selectivity. Animal-level analyses confirming the consistency of these effects are presented in fig. S3.\nDuring the delay period, we computed a selectivity index (SI) for preferred versus nonpreferred stimuli across all neurons using receiver operating characteristic (ROC) analysis. We sorted neurons by their SI values in the familiar auditory session and used the same order for the novel visual session. We found that neuronal selectivity was preserved across the population, as indicated by the similarity of SI profiles between the two sessions (Fig. 2B). This preservation occurred despite the difference in task demands: In the familiar task, mice remembered sound frequency information, while in the novel task, they remembered visual spatial information. Furthermore, SI between tasks was strongly correlated (P < 0.001, r = 0.75, Pearson’s correlation, n = 361; Fig. 2C), suggesting that mPFC neurons consistently reflect delay-period encoding regardless of stimulus conditions.\nDuring the choice period, ROC analysis distinguished match from nonmatch trials (SI > 0.5: match-preferring; < 0.5: nonmatch preferring). Neuronal selectivity for trial type was conserved across tasks (Fig. 2E), with distinct PFC ensembles representing match and nonmatch trials. Among neurons with significant selectivity for trial type in the familiar task, 78% (131 of 167) maintained their trial preference in the novel task. Selectivity indices were again strongly correlated (P < 0.001, r = 0.77, Pearson’s correlation, n = 361; Fig. 2F), indicating stable encoding of abstract match/nonmatch rules regardless of stimulus modality.\nTo discern whether neural activity in the choice period reflected the abstract rule, sensory modality, and/or motor response, we performed a three-way analysis of variance (ANOVA) for each recorded neuron (n = 361). The model tested for main effects and interactions of rule (match/nonmatch), sensory modality (auditory/visual), and response direction (left/right lick) on firing rates during the choice epoch. We found that 29% (105 of 361) of neurons exhibited a significant main effect of rule without a significant interaction with either modality or response direction. This population demonstrated activity that was selectively tuned to the match/nonmatch rule and generalized across both sensory contexts, independent of the specific motor output. The population SI (ROC) correlation across tasks (Fig. 2F) was primarily driven by the rule-encoding neurons, whose individual SIs were highly correlated between modalities (P < 0.001, r = 0.94, Pearson’s correlation, n = 105).\nWe next asked whether the population coding for the abstract rule was stable during generalization. We examined whether population activity in the familiar auditory trials could predict behavior in novel visual task trials. We trained the linear classifier with data from the familiar auditory task trials and examined decoding accuracy in predicting novel visual task trials. We found that prediction accuracy was also markedly higher than chance, suggesting that the representations for learned abstract rule was stable over the generalization (fig. S1A).\nIn summary, mPFC neurons encoding task features remained stable as new stimuli were integrated into existing rules. This suggests that a shared neuronal subset supports both familiar and novel cue processing, enabling abstract rule generalization.\n\n\n### MD-to-mPFC projections are required for abstract rule generalization\nTo test whether mPFC neural activity is essential for abstract rule generalization, we expressed hM4Di in the mPFC using adeno-associated virus (AAV) (Fig. 3A). Intraperitoneal injection of clozapine-N-oxide (CNO) to suppress mPFC neural activity during the novel visual session significantly impaired task performance in the novel visual task (P < 0.001, two-tailed t test; Fig. 3B). Behavioral performance was also impaired in the familiar auditory task, when the mPFC activity was inactivated (P < 0.001, two-tailed t test; Fig. 3B). These results suggested that mPFC activity was necessary for both familiar and novel tasks.\n(A and B) Chemogenetic inhibition of mPFC. (A) Schematic of chemogenetic inhibition protocol. (B) Behavioral performance across the first three novel visual sessions and the familiar auditory session. Circles, individual mice (CNO group: n = 10; saline group: n = 10); bars, mean ± SEM. (C) Experimental design for viral delivery of eNpHR-eYFP or eYFP (control) to the MD and optical inhibition of MD-to-mPFC terminals. (D) Same as (B) for photoinhibition of MD-to-mPFC terminals. (eNpHR group: n = 11; eYFP group: n = 11). (E to G) Effects of MD-to-mPFC terminal inactivation during the sample (E), delay (F), or choice (G) phases in the novel visual sessions.\nThe mPFC receives prominent projections from the MD, and thalamocortical interactions are increasingly recognized as critical for cognitive function. To assess whether MD-to-mPFC projections contribute to abstract rule generalization, we optogenetically inhibited MD terminals in the mPFC. We bilaterally expressed enhanced natronomonas pharaonis halorhodopsin (eNpHR) in the MD using pAAV-hSyn-eNpHR3.0-EYFP and delivered 532-nm light (10 mW) via flat-tipped optical fibers [200 μm, 0.22 numerical aperture (NA)] implanted in the mPFC (Fig. 3C). Enhanced yellow fluorescent protein (eYFP) was used to control for potential effects of light alone. Inhibition of MD terminals throughout the trial severely impaired performance in the novel session, reducing it to near-chance levels (P < 0.001, two-tailed t test; Fig. 3D). However, this manipulation did not have effects in the familiar session (P = 0.379, two-tailed t test; Fig. 3D). The trial-by-trial performance showed that control mice exhibit immediate transfer of abstract rule, starting at high performance and asymptoting quickly (fig. S2, A to C). In contrast, bilateral inhibition of MD-mPFC terminals reduces initial performance to chance levels (fig. S2, E to G).\nTo determine whether MD-to-mPFC inactivation impaired the application of the abstract rule or caused a general performance deficit, we performed a logistic regression modeling of behavior to dissect the behavioral strategy. The model evaluated the contribution of the abstract rule versus choice history. The model revealed that control mice strongly weighted the match/nonmatch rule from the first novel session (βrule = 0. 71 ± 0.04). In contrast, mice with MD-to-mPFC inhibition showed a significantly reduced rule weight (βrule = 0.34 ± 0.05; P < 0.001, t test) and an increased reliance on the choice history (βhistory = 0.54 ± 0.06), indicating a failure to deploy the abstract rule (fig. S2, D and H).\nThe DMS/DNMS task requires the perception of the first stimulus, short-term memory retention, and comparison with the second stimulus. To determine when MD-to-mPFC projections are engaged in the novel session, we performed temporally limited optogenetic suppression of MD terminals in mPFC during specific task phases. In these experiments, the terminal inhibition was limited to the sample, delay, or choice phase of the novel task. Inhibition during the sample phase had no significant effect, whereas suppression during the delay or choice phases substantially impaired performance (two-tailed t test; Fig. 3, E to G). These results indicate that MD-to-mPFC projections are critical for abstract rule generalization during memory maintenance and decision-making.\nTo elucidate how MD regulates mPFC activity to support abstract rule generalization, we recorded mPFC neurons while photoinhibiting MD terminals in a temporally precise manner during the novel session (Fig. 4, A and E). We aimed at dissociating behavior from neural manipulation and therefore used a unilateral optogenetic suppression condition, in which we suppressed ipsilateral MD terminals in 50% of the trials during the delay or choice in the novel session while recording the mPFC neuronal activity. This unilateral inactivation of MD terminals in the mPFC did not alter behavior, ruling out a potential indirect effect of behavioral changes on mPFC activity. Strong optogenetic suppression (10 mW, 532 nm) during the delay or choice period abolished mPFC activity. We measured activity starting 20 ms after light onset to exclude any potential transient effects at the initiation of photoinhibition, ensuring that our analysis captured the stable suppressed state of the mPFC. MD terminal suppression reduced mPFC firing rates to 9% (delay) and 12% (choice) of control levels [delay, light off: 10.37 ± 0.52 spikes/s (mean ± SEM), light on: 0.94 ± 0.05 spikes/s, n = 130 cells in four mice; choice, light off: 10.79 ± 0.50 spikes/s, light on: 1.29 ± 0.06 spikes/s, n = 79 cells in four mice].\n(A to D) mPFC recordings during photoinhibition of MD-to-mPFC terminals in the delay phase of the novel visual task. (A) Experimental schematic. (B) Delay-period activity of two representative mPFC neurons with (right) and without (left) MD-to-mPFC photoinhibition. (C) Population-averaged firing rates for trials with preferred (red) or nonpreferred (blue) sample stimuli (preference determined per neuron). Left: control PSTH. Right: PSTH during MD-to-mPFC terminal photoinhibition in the delay phase (n = 348 neurons). Shading denotes SEM. (D) Correlation between baseline neuronal selectivity and photoinhibition-induced changes in selectivity. Red line: linear regression (slope = −0.62; Pearson’s r = −0.67). (E to H) mPFC recordings during photoinhibition of MD-to-mPFC terminals in the choice phase of the novel visual task. (F) Activity of two representative neurons. (G) Population-averaged firing rates for correct preferred (red) and correct nonpreferred choice (blue) trials. Left: control PSTH. Right: PSTH during MD-to-mPFC terminal photoinhibition in the choice phase (n = 262 neurons). (H) Correlation between baseline neuronal selectivity and photoinhibition-induced changes in selectivity. Red line: linear regression (slope = −0.8; Pearson’s r = −0.71). Animal-level analyses confirming the consistency of these effects are presented in fig. S4.\nWe next examined whether MD inputs contribute to selectivity in the mPFC or are simply required to maintain the spike rates in the mPFC without affecting selectivity. Strong silencing of the MD terminal abolished mPFC activity, making it difficult to quantify the contribution of the MD terminal to mPFC selectivity. We therefore searched for conditions where photoinhibition of the MD terminal had moderate effects on activity but larger effects on selectivity. We used 20-fold lower photostimuli compared to the above experiment (0.5 mW, 532 nm). Weak optogenetic MD terminal suppression (0.5 mW, 532 nm) reduced mPFC spiking (average reduction in spike rate, delay: 0.94 ± 0.26 spikes/s, n = 348 cells in four mice; choice: 1.42 ± 0.24 spikes/s, n = 262 cells in four mice) (Fig. 4, B, C, F, and G) and significantly diminished neuronal selectivity during delay and choice phases (two-tailed paired t test, P ≤ 0.001; Fig. 4, C, D, G, and H).\nThus, by sustaining both mPFC activity and task-relevant selectivity, MD input provides the real-time signal necessary for the stable neural representations that enable abstract rule generalization. This acute degradation of selectivity underlies the behavioral impairment observed during generalization (Fig. 3).\n\n\n### Stable representation of task-related information in mPFC depends on MD input\nSuppressing bilateral MD-to-mPFC projections impaired generalization behavior in the novel visual session. Despite this impairment, mice eventually learned the visual task under MD-to-mPFC suppression, although MD-to-mPFC suppression prolonged the time required to reach performance criterion (Mann-Whitney rank sum test, P ≤ 0.001; Fig. 5, A to C). For the behavioral suppression during learning, we used 0.5 mW of 532-nm light. After learning the novel visual task under MD-to-mPFC suppression, we observed distinct mPFC neuronal populations encoding task-relevant information in auditory and visual DMS/DNMS tasks (Fig. 5, D to I). This contrasts with control conditions, where the same neuronal population exhibited task-related activity in both tasks. During the delay period, only ~8% (18 of 227) of the recorded neurons showed significant delay selectivity in both tasks. Moreover, SIs were negatively correlated between tasks (P = 0.002, r = −0.21, Pearson’s correlation, n = 227 cells in five mice) (Fig. 5F). In the choice period, 81% (85 of 105) of mPFC neurons selective for match versus nonmatch in the auditory task lost selectivity in the visual task, while a new neuronal ensemble emerged for visual task selectivity. We further assessed whether neurons active in both tasks preferred the same trial type. Most (65%, 13 of 20) exhibited divergent preferences, with only 7 neurons maintaining consistent trial-type selectivity across tasks. Selectivity indices between tasks showed no significant correlation (P = 0.56, r = −0.0389, Pearson’s correlation, n = 227) (Fig. 5I).\n(A to C) Suppressing MD-to-mPFC projections prolonged the time required to reach performance criterion in the novel visual task. MD-mPFC inactivation, n = 8, control, n = 13, bars, mean ± SEM; P ≤ 0.001, Mann-Whitney rank sum test. (D) Two example neurons (format as in Fig. 2A). (E) Population selectivity in the mPFC during the delay epoch (n = 227 neurons), sorted by SI values from the auditory task. (F) Scatterplot of mean SI values during the delay epoch. (G to I) Same as (D) to (F) but for example neurons and population activity during the choice epoch. Animal-level analyses confirming the consistency of these effects are presented in fig. S5.\nTo provide a direct statistical comparison of rule encoding with and without MD input, we performed a 2 (rule) × 2 (response) × 2 (modality) repeated-measures ANOVA on the choice-period activity of neurons recorded from mice that learned the visual task under MD-to-mPFC suppression (n = 227 neurons). Notably, only 2% (5 of 227) of neurons showed a significant main effect of rule without a significant interaction with response or modality. This proportion was markedly lower than the 29% (105 of 361) observed in control conditions (P < 0.001, chi-square test). This direct statistical comparison confirms that the formation of a stable, abstract rule representation in the mPFC that generalizes across sensory modalities is critically dependent on MD input. Furthermore, cross-modal rule decoding was severely impaired, in stark contrast to controls (fig. S1B). This aligns with our single-unit findings and shows that without MD input, a stable, generalized population code fails to form.\nThese findings demonstrate that MD input is essential for the formation of stable, cross-context mPFC representations. When generalization occurs without MD support, the mPFC recruits distinct, modality-specific populations, effectively failing to build an abstract rule code. This directly links the loss of MD-dependent selectivity (Fig. 4) to a failure in constructing the neural basis for generalization.\nTo determine whether enhancing MD-to-mPFC projections influences abstract rule generalization, we optogenetically stimulated MD terminals in the mPFC. We bilaterally expressed AAV-hSyn-hChR2-mCherry in the MD and delivered 470-nm light (1.5 mW) through flat-tipped optical fibers (200 μm, 0.22 NA) implanted in the mPFC. This manipulation improved behavioral performance in the novel session, with individual mice consistently performing at level not typically observed in our cohorts without manipulation (P < 0.05, paired t test; Fig. 6A). We next tested whether elevating mPFC activity directly affects rule generalization. By expressing AAV-hSyn-hChR2-mCherry in the mPFC and applying stepwise laser illumination (470 nm, 0.8 mW) during the task, we found that increasing mPFC excitability significantly impaired novel task performance—contrasting with the effects of MD-to-mPFC projection enhancement (P < 0.05, paired t test; Fig. 6B).\n(A) Percentage of correct trials in the novel visual task for mice with optogenetic activation of MD-to-mPFC projections, comparing light-OFF and light-ON conditions. Thin blue lines represent individual mice; the thick blue line denotes the group mean, n = 10; two-tailed paired t test. (B) As in (A), but for mice receiving direct mPFC activation, n = 11; two-tailed paired t test.\n\n\n### DISCUSSION\nIn this study, we investigated the neuronal circuit mechanisms underlying abstract rule generalization. We found that mPFC activity is necessary for the execution and implementation of the abstract rule. During generalization, the same subset of mPFC neurons was recruited across both familiar and novel cue trials, facilitating the transfer of learned rules to new stimuli. At the circuit level, we demonstrated that the MD-to-mPFC projection stabilizes task-related representations in the mPFC. Silencing this projection impaired generalization, while enhancing it improved performance. Conversely, increasing mPFC excitability significantly reduced novel task performance. These results suggest that the MD supports abstract rule generalization by stabilizing mPFC representations.\nIn the abstract rule generalization, the visual and auditory tasks are asymmetric; visual stimuli vary in spatial location, while auditory stimuli vary in frequency. This confounds sensory modality with spatial versus nonspatial processing. However, we contend that this very asymmetry makes successful rule transfer more remarkable and supportive of true abstraction. The mouse must ignore not only the change in sensory modality but also the fundamental difference in the perceptual dimension being judged (location versus frequency) to apply the core relational concept of “same” versus “different.” This suggests that the underlying neural code is abstracted away from low-level features.\nThe mPFC neural signals we observed align with previous findings in monkeys and humans, which identified rule-dependent activity in the PFC (16). Neuroimaging and neurophysiological studies across species indicate that the PFC plays a central role in representing and implementing abstract rules. However, the causal relationship between PFC activity and rule-based behavior remains debated. Studies in humans and monkeys suggest functional specialization within PFC subregions, with only certain areas being critical for abstract rule implementation (10, 27–31). This functional diversity underscores the need for pathway-specific investigation. Here, we addressed this gap using projection-specific manipulations, confirming that mPFC neurons encode key task information and establishing a direct role for the MD-to-mPFC pathway in abstract rule generalization.\nOur findings extend a growing body of work on MD-to-PFC function in cognitive flexibility. Previous studies established that MD is crucial for switching between PFC representations (21), potentially via specialized pathways for stabilization and switching (22), and is involved in error-driven learning (23). Here, we demonstrate a specific and causal role for this circuit in a related but distinct process: the stabilization of a task-relevant PFC ensemble to permit the transfer of an abstract rule to a novel sensory domain. These findings align closely with emerging theoretical frameworks on thalamocortical function. Recent synthesis proposes that the MD, with its low-dimensional, demixed representations of context, acts as a regularizer for the high-dimensional, mixed-selectivity networks of the PFC (32). This regularization is hypothesized to suppress task-irrelevant cortical dynamics and promote activity within behaviorally relevant subspaces, thereby enhancing learning efficiency and enabling flexible transfer of computations to novel situations. Our data provide direct experimental support for this model.\nWhile our data demonstrate that inhibition of the MD-to-mPFC pathway disrupts the transfer of an abstract rule to a novel sensory modality, an important question remains: Does this deficit reflect a failure in rule generalization per se, or could it be attributed to a more fundamental impairment in learning new stimulus-response associations or in shifting attentional focus to the new modality? Several lines of evidence from our study argue against these alternative explanations and support a specific deficit in abstract rule generalization. First, the optogenetic inhibition of MD-to-mPFC projections specifically during the delay and choice periods but not the sample periods of the novel visual task impaired performance (Fig. 3, E to G). This result argues against a deficit in basic sensory learning, initial set shifting, or attentional capture. Second, optogenetic inhibition of MD-to-mPFC projections had no significant effect on performance in the familiar auditory DMS/DNMS task (Fig. 3D). This key result indicates that the basic cognitive operations required for the task—including perceptual discrimination of the stimuli, working memory maintenance across the delay, motor execution, and sustained attention to the task structure—remain intact when MD input is suppressed. The deficit emerges precisely and selectively when the animal must generalize the rule to a novel context. This rules out a general performance deficit or a nonspecific impairment in attention or motivation. Third, our logistic regression modeling of choice behavior during the novel session under inhibition provides direct insight into the impaired cognitive process. Control animals immediately deployed a strategy heavily weighted by the abstract match/nonmatch rule. In contrast, animals with MD-to-mPFC suppression showed a significantly reduced reliance on the rule and a compensatory increase in reliance on choice history. This shift in strategy, from rule based to history based, is a hallmark of failed cognitive flexibility and rule application, not merely an attentional shift or a slowed rate of learning a new association.\nOur finding that enhancing MD-to-mPFC projections improves rule generalization, while direct mPFC excitation impairs it, highlights the specificity of thalamic regulation. This dissociation suggests that the MD does not merely provide a generic excitatory drive to the mPFC. Instead, we propose that MD inputs perform a selective gating or competitive sculpting of mPFC population dynamics. A plausible mechanism, supported by recent computational models of thalamocortical loops (33, 34), is that thalamic afferents suppress competing neuronal ensembles within the PFC that are irrelevant to the current abstract rule. This competitive suppression would reduce interference, sharpen the representation of the transferable rule schema, and allow for its faster consolidation when faced with novel stimuli. Conversely, broad excitation of the mPFC may simultaneously elevate the activity of both rule-relevant and rule-irrelevant ensembles, increasing network entropy and destabilizing the precise population code required for generalization. Future studies combining population recordings with pathway-specific manipulations will be essential to test this model of thalamocortically guided competitive selection.\nReciprocal connectivity between the MD and mPFC has been observed in mice (35, 36), rats (37, 38), and primates (39), with the mPFC also strongly exciting the MD. While the precise directional interactions during rule generalization remain unclear, a recent working memory study revealed that MD-to-mPFC projections sustain memory maintenance, whereas mPFC-to-MD signals guide subsequent choices (36). Beyond the mPFC, the MD also forms extensive connections with the orbitofrontal cortex (OFC), which is implicated in rule-guided behavior and shifting (10, 16, 28, 40). Future studies should explore the role of MD-to-OFC projections in abstract rule generalization. In addition, given the cell type diversity within the mPFC, investigating local circuit mechanisms governing MD-to-mPFC regulation during generalization represents an important direction.\nWhile our current manuscript includes behavioral evidence for bidirectional generalization, we did not perform neural recordings during the visual-to-auditory shift. Future studies will be needed to systematically test generalization across multiple sequential contexts and in additional modality shifts.\nIn summary, our study reveals how a thalamocortical circuit stabilizes cortical representations to generalize abstract rules to novel contexts—a mechanism that may extend to other cognitive processes requiring stable representations over time. Understanding the neural basis of abstract rule generalization is critical not only for deciphering high-level cognition but also for uncovering the mechanistic underpinnings of rule-based deficits in neuropsychological disorders (2, 41–43).\n\n\n### MATERIALS AND METHODS\nAdult male C57BL/6 mice (aged 8 to 12 weeks at the start of behavioral training) were used in this study. All experimental procedures were approved by the Animal Care and Use Committee of East China Normal University (Shanghai, China, ARXM2022009) and conducted in accordance with institutional guidelines. Mice were housed under a 12-hour/12-hour light-dark cycle. Following the initiation of behavioral training, mice were placed on a controlled water schedule, receiving water only during task performance and immediately afterward. Body weight was monitored daily to ensure that weight loss did not exceed 20% of their prerestriction baseline.\nBehavioral training was conducted in a custom-designed, double-walled sound attenuation chamber lined with polyurethane foam. Mice were head-fixed and placed in a polypropylene tube to restrict movement. Water rewards were delivered via two custom-made metal spouts positioned in front of the mice. Behavioral training and testing were controlled by custom MATLAB (MathWorks) software. Auditory and visual stimuli were generated by the computer and transmitted to a multifunction analog-digital card (DAQ NI 6363, National Instruments, Austin, TX, USA). Auditory stimuli were amplified (SA1, Tucker-Davis Technologies, FL, USA) and delivered through a speaker (MF1, Tucker-Davis Technologies) positioned 20 cm in front of the mice. Visual stimuli were presented via two light-emitting diodes (LEDs) placed 45° to the left and right of the mouse’s head. Licking behavior was detected using photoelectric switches mounted on each spout, digitized by the DAQ card, and recorded on the computer. An overhead camera with a microphone enabled audiovisual monitoring by the experimenter.\nMice were trained to indicate whether two consecutive sounds were identical. Each trial began with a sample tone (3 or 12 kHz, 60 dB, 0.2 s), followed by a 1.5-s delay, after which a test tone (either matching or nonmatching the sample) was presented. In the 1-s response window following the test tone, mice were required to lick the left spout for match trials and the right spout for nonmatch trials. Correct responses were rewarded with water (~3 μl), while incorrect responses triggered a timeout (0 to 5 s). Trials with no response were rare and typically occurred at the end of sessions. An intertrial interval of 10 s separated successive trials. Performance was calculated asPerformance=Number of correct trialsTotal trials\nMice typically performed 150 to 200 trials (mean ± SEM: 179 ± 14 trials). The number of trials was consistent across mice and sessions, with no significant differences observed between experimental groups.\nThe visual task followed the same structure as the auditory task. Each trial began with a sample light stimulus (white LED at 45° to the left or right in front of the mouse, 5 to 7 cd/m2, 0.2 s), followed by a 1.5-s delay, after which a test light (same or different location as the sample) was presented. Mice were trained to lick the left spout for match trials and the right spout for nonmatch trials during the response window.\nA separate cohort of mice was trained in a tone discrimination task. Each trial consisted of a starting cue (3 or 12 kHz, 60 dB, 0.2 s), a 1.5-s delay, and a sample tone (3 kHz = lick left, 12 kHz = lick right). Correct responses were rewarded with water (~3 μl), while incorrect responses resulted in a timeout (0 to 5 s).\nTo quantitatively dissect the behavioral strategy and assess the reliance on the abstract rule versus choice history, we performed a trial-by-trial logistic regression analysis. This model aimed to evaluate the relative contributions of the current task rule and the animal’s own choice history to the decision made on each trial.\nThe animal’s choice on trial t (lick left = 1, lick right = 0) was modeled as a function of the current trial’s rule and the animal’s choices on previous trials. The logistic regression model was defined asP(Choice (t)=Match)=11+e−z(t)wherez(t)=β0+βrule•R(t)+∑k=1nβhistory,k•C(t−k)\nIn this equation, R(t) represents the abstract rule on trial t, coded as 1 for a match trial and 0 for a nonmatch trial. The term C(t − k) represents the animal’s choice on the kth previous trial, also coded as 1 (left) or 0 (right). The intercept β0 captures any overall response bias. The key parameters of interest are βrule, which quantifies the weight given to the abstract match/nonmatch rule, and the summed βhistory coefficients, which quantify the reliance on the animal’s own choice history. Model comparison indicated that including choice history from the previous 10 trials (n = 10) best explained behavioral variance.\nThe model was fitted separately for each mouse using maximum likelihood estimation. To prevent overfitting and ensure robust parameter estimates, we used ridge regression with fivefold cross-validation to determine the optimal regularization hyperparameter.\nTetrodes were fabricated by twisting together four stands of Formvar-insulated nichrome wire (bare diameter: 17.78 μm, A-M systems, WA, USA) together. To construct each tetrode, a 20-cm wire was folded in half twice over a horizontal bar. The ends were clamped together and manually twisted clockwise. The insulation was then gently fused using a heat gun, and the tetrode tips were trimmed. For reinforcement, each tetrode was inserted into a polymide tubing (inner diameter: 114.3 μm; wall thickness: 12.7 μm; A-M systems, WA, USA) and secured with cyanoacrylate glue. An array of 2 × 4 tetrodes was assembled by inserting and gluing them to the wall of a stainless steel guide tube. The insulation at the wire tips was carefully removed, and each exposed wire was soldered to its corresponding connector pin. A reference wire (nichrome, bare diameter: 50.8 μm; A-M Systems) and a ground wire (copper, diameter: 0.1 mm) were similarly soldered to their respective pins. The connector was then coated with silicone gel. Immediately before implantation, tetrodes were trimmed to the desired length, yielding impedances of 0.7 to 0.8 MΩ (measured at 1 kHz).\nOptetrodes were assembled similarly, with an additional polyimide tubing (inner diameter: 254 μm; wall thickness: 25.4 μm; A-M Systems) to accommodate an optical fiber. A 200-μm-diameter flat-tipped optical fiber was positioned 200 μm above the recording sites.\nAll surgeries were performed under isoflurane anesthesia (3% induction, 1.5 to 2% maintenance). A craniotomy was made above the mPFC, and mice were unilaterally implanted with tetrodes. The center of the tetrode array was targeted to anteroposterior (AP) 2 mm, mediolateral (ML) 0.4 mm, and dorsoventral (DV) −1.65 mm for prelimbic (PL) area, a part of mPFC. A thin layer of tissue adhesive (3M Vetbond, MN, USA) was applied to prevent dental acrylic from contacting brain tissue. A stainless steel headplate was affixed to the skull using screws, dental acrylic, and cement. The tetrode array, skull, screws, and headplate were further secured with a mixture of dental acrylic and cement. Postoperative care included administration of an antibiotic (Baytril, 5 mg/kg body weight; Bayer, NJ, USA) for 3 consecutive days. After 7 to 10 days of recovery, mice underwent water restriction and behavioral training. Histological analysis confirmed that recording sites were located within the PL region of the mPFC (fig. S6).\nAll recordings were performed in a double-walled, sound-attenuating, and electrically shielded chamber. Neural activity was acquired as wideband signals (300 to 6000 Hz) using a head-stage amplifier (RHD2132, Intan Technologies, CA, USA). Signals were amplified (×20), digitized at 20 kHz, and transmitted via a USB interface board (RHD2000, Intan Technologies) for real-time monitoring and offline storage. Task events—including stimulus presentations and behavioral responses—were synchronized with neural recordings through the same interface board.\nSpike sorting was performed using Spike2 software (version 8, Cambridge Electronic Design, Cambridge, UK). Raw neural signals were bandpass-filtered (300 to 6000 Hz) to remove field potentials. Spike events were detected as signals exceeding four times the SD of the background noise. Detected waveforms were clustered using principal components analysis and a template-matching algorithm. Waveforms with interspike intervals < 2 ms were excluded. Only single units with firing rates > 2 Hz were retained for further analysis. For each unit, relative spike timing data across trials and conditions were used to construct raster plots and peristimulus time histograms (PSTHs) using custom MATLAB scripts. Population PSTHs were generated by averaging responses across neurons. Given consistent behavioral and neuronal results across animals for each paradigm, data were pooled to assess population-level effects.\nNeuronal selectivity was quantified using an ideal observer approach based on ROC analysis. During the delay period, selectivity between preferred and nonpreferred stimuli was assessed in consecutive epochs (100 or 1500 ms). For each epoch, 12 activity thresholds spanning the observed firing rate range were applied. At each threshold, the proportion of trials exceeding the threshold was computed for both stimulus conditions and used to construct a ROC curve. The area under the curve served as the SI, reflecting the probability of correct discrimination by an ideal observer. An SI of 0.5 indicated identical response distributions, 1 indicated maximal preference for the preferred stimulus, and 0 indicated maximal preference for the nonpreferred stimulus. To determine significance, a permutation test was performed by randomly assigning trials to “preferred” and “nonpreferred” groups (5000 iterations). The actual SI was deemed significant if it fell within the top or bottom 5% of the permuted distribution (P < 0.05). During the choice period, the same ROC method distinguished match from nonmatch trials (SI > 0.5: match preferring; SI < 0.5: nonmatch preferring).\nWe used a linear classifier based on a support vector machine (SVM) with linear kernels. The SVM classifier was implemented using the “fitcsvm” function in MATLAB. In this analysis, spike counts for each neuron were grouped on the basis of the rule (match versus nonmatch) and binned into a 100-ms window with a 10-ms resolution. All the neurons were combined to form a pseudo-population. The responses of the population neurons were organized into an M Χ N Χ T matrix, where M is the number of trials, N is the number of neurons, and T is the number of bins. We trained the linear classifier with data from the familiar auditory task trials and examined decoding accuracy in predicting novel visual task trials. The performance of the classifier was calculated as the fraction of correctly classified test trials, using 10-fold cross-validation procedures. To ensure robustness, we repeated the resampling process 100 times and computed the mean and SD of the decoding accuracy across the 100 resampling iterations. Decoders were trained and tested independently for each bin.\nSurgical procedures for virus injection and optical fiber implantation followed protocols similar to those used for tetrode implantation. All viral vectors were obtained from ObiO Tech (Shanghai, China).\nFor chemogenetic inactivation of the mPFC, we bilaterally injected 0.4 μl of pAAV-hSyn-HA-hM4D(Gi)-mCherry into the PL subregion of mPFC (AP: +1.96 mm, ML: ±0.42 mm, DV: −1.6 mm). CNO (or saline) was administered via intraperitoneal injection 30 to 45 min before the start of the task.\nTo inhibit MD-to-mPFC projections, we injected 0.4 μl of either pAAV-hSyn-eNpHR3.0-EYFP or pAAV-hSyn-EYFP (control) bilaterally into the MD (AP: −1.2 mm, ML: ±0.35 mm, DV: −3.2 mm). Two optical fibers (200 μm in diameter, 0.37 NA) with ceramic ferrules were implanted bilaterally in the mPFC (AP: +1.96 mm, ML: ±0.4 mm, DV: −1.25 mm).\nTo assess the effects of MD terminal inactivation on mPFC activity and selectivity, we injected pAAV-hSyn-eNpHR3.0-EYFP unilaterally into the MD (ipsilateral to the recording site) and implanted an optetrode in the mPFC.\nFor experiments examining neural representations of task-related information in mPFC after mice learned the novel visual task under MD-to-mPFC projections suppression, we injected pAAV-hSyn-eNpHR3.0-EYFP bilaterally into the MD. An optetrode was implanted in one mPFC hemisphere, and an optical fiber was implanted contralaterally.\nFor activation experiments, we injected AAV-hSyn-hChR2(H134R)-mCherry bilaterally into either the mPFC or MD. Two Optic fibers (200 μm in diameter, 0.37 NA) were implanted in the mPFC for each hemisphere.\nAfter viral injections, animals recovered for at least 2 weeks to allow for sufficient viral expression before behavioral testing. A 470-nm laser was used for ChR2 activation, whereas eNpHR3.0 activation was achieved with a laser with a wavelength of 532 nm.\nUpon completion of all experiments, mice were deeply anesthetized via intraperitoneal injection of sodium pentobarbital (100 mg/kg) and transcardially perfused with saline followed by 4% paraformaldehyde (PFA). Brains were extracted, postfixed in 4% PFA overnight at 4°C, and subsequently transferred to phosphate-buffered saline (PBS). Coronal sections (50-μm thick) were prepared and stored in PBS. Sections were then incubated with DAPI (4′,6-diamidino-2-phenylindole) for 10 to 15 min, washed in PBS, mounted on glass slides, and coverslipped. Fluorescence imaging was performed using a confocal microscope.\nAll statistical analyses were performed in MATLAB. Datasets were tested for normality, and appropriate statistical tests were applied as described in the text (e.g., t test for normally distributed data and Mann-Whitney rank sum test for nonparametric data). Unless otherwise stated, data were reported as mean ± SEM.\n\n\n### Animals\nAdult male C57BL/6 mice (aged 8 to 12 weeks at the start of behavioral training) were used in this study. All experimental procedures were approved by the Animal Care and Use Committee of East China Normal University (Shanghai, China, ARXM2022009) and conducted in accordance with institutional guidelines. Mice were housed under a 12-hour/12-hour light-dark cycle. Following the initiation of behavioral training, mice were placed on a controlled water schedule, receiving water only during task performance and immediately afterward. Body weight was monitored daily to ensure that weight loss did not exceed 20% of their prerestriction baseline.\n\n\n### Behavior\nBehavioral training was conducted in a custom-designed, double-walled sound attenuation chamber lined with polyurethane foam. Mice were head-fixed and placed in a polypropylene tube to restrict movement. Water rewards were delivered via two custom-made metal spouts positioned in front of the mice. Behavioral training and testing were controlled by custom MATLAB (MathWorks) software. Auditory and visual stimuli were generated by the computer and transmitted to a multifunction analog-digital card (DAQ NI 6363, National Instruments, Austin, TX, USA). Auditory stimuli were amplified (SA1, Tucker-Davis Technologies, FL, USA) and delivered through a speaker (MF1, Tucker-Davis Technologies) positioned 20 cm in front of the mice. Visual stimuli were presented via two light-emitting diodes (LEDs) placed 45° to the left and right of the mouse’s head. Licking behavior was detected using photoelectric switches mounted on each spout, digitized by the DAQ card, and recorded on the computer. An overhead camera with a microphone enabled audiovisual monitoring by the experimenter.\n\n\n### Auditory DMS/DNMS task\nMice were trained to indicate whether two consecutive sounds were identical. Each trial began with a sample tone (3 or 12 kHz, 60 dB, 0.2 s), followed by a 1.5-s delay, after which a test tone (either matching or nonmatching the sample) was presented. In the 1-s response window following the test tone, mice were required to lick the left spout for match trials and the right spout for nonmatch trials. Correct responses were rewarded with water (~3 μl), while incorrect responses triggered a timeout (0 to 5 s). Trials with no response were rare and typically occurred at the end of sessions. An intertrial interval of 10 s separated successive trials. Performance was calculated asPerformance=Number of correct trialsTotal trials\nMice typically performed 150 to 200 trials (mean ± SEM: 179 ± 14 trials). The number of trials was consistent across mice and sessions, with no significant differences observed between experimental groups.\n\n\n### Visual DMS/DNMS task\nThe visual task followed the same structure as the auditory task. Each trial began with a sample light stimulus (white LED at 45° to the left or right in front of the mouse, 5 to 7 cd/m2, 0.2 s), followed by a 1.5-s delay, after which a test light (same or different location as the sample) was presented. Mice were trained to lick the left spout for match trials and the right spout for nonmatch trials during the response window.\n\n\n### Auditory discrimination task\nA separate cohort of mice was trained in a tone discrimination task. Each trial consisted of a starting cue (3 or 12 kHz, 60 dB, 0.2 s), a 1.5-s delay, and a sample tone (3 kHz = lick left, 12 kHz = lick right). Correct responses were rewarded with water (~3 μl), while incorrect responses resulted in a timeout (0 to 5 s).\n\n\n### Behavioral analysis\nTo quantitatively dissect the behavioral strategy and assess the reliance on the abstract rule versus choice history, we performed a trial-by-trial logistic regression analysis. This model aimed to evaluate the relative contributions of the current task rule and the animal’s own choice history to the decision made on each trial.\nThe animal’s choice on trial t (lick left = 1, lick right = 0) was modeled as a function of the current trial’s rule and the animal’s choices on previous trials. The logistic regression model was defined asP(Choice (t)=Match)=11+e−z(t)wherez(t)=β0+βrule•R(t)+∑k=1nβhistory,k•C(t−k)\nIn this equation, R(t) represents the abstract rule on trial t, coded as 1 for a match trial and 0 for a nonmatch trial. The term C(t − k) represents the animal’s choice on the kth previous trial, also coded as 1 (left) or 0 (right). The intercept β0 captures any overall response bias. The key parameters of interest are βrule, which quantifies the weight given to the abstract match/nonmatch rule, and the summed βhistory coefficients, which quantify the reliance on the animal’s own choice history. Model comparison indicated that including choice history from the previous 10 trials (n = 10) best explained behavioral variance.\nThe model was fitted separately for each mouse using maximum likelihood estimation. To prevent overfitting and ensure robust parameter estimates, we used ridge regression with fivefold cross-validation to determine the optimal regularization hyperparameter.\n\n\n### Tetrodes and optetrodes assembly and implantation\nTetrodes were fabricated by twisting together four stands of Formvar-insulated nichrome wire (bare diameter: 17.78 μm, A-M systems, WA, USA) together. To construct each tetrode, a 20-cm wire was folded in half twice over a horizontal bar. The ends were clamped together and manually twisted clockwise. The insulation was then gently fused using a heat gun, and the tetrode tips were trimmed. For reinforcement, each tetrode was inserted into a polymide tubing (inner diameter: 114.3 μm; wall thickness: 12.7 μm; A-M systems, WA, USA) and secured with cyanoacrylate glue. An array of 2 × 4 tetrodes was assembled by inserting and gluing them to the wall of a stainless steel guide tube. The insulation at the wire tips was carefully removed, and each exposed wire was soldered to its corresponding connector pin. A reference wire (nichrome, bare diameter: 50.8 μm; A-M Systems) and a ground wire (copper, diameter: 0.1 mm) were similarly soldered to their respective pins. The connector was then coated with silicone gel. Immediately before implantation, tetrodes were trimmed to the desired length, yielding impedances of 0.7 to 0.8 MΩ (measured at 1 kHz).\nOptetrodes were assembled similarly, with an additional polyimide tubing (inner diameter: 254 μm; wall thickness: 25.4 μm; A-M Systems) to accommodate an optical fiber. A 200-μm-diameter flat-tipped optical fiber was positioned 200 μm above the recording sites.\n\n\n### Surgical procedures\nAll surgeries were performed under isoflurane anesthesia (3% induction, 1.5 to 2% maintenance). A craniotomy was made above the mPFC, and mice were unilaterally implanted with tetrodes. The center of the tetrode array was targeted to anteroposterior (AP) 2 mm, mediolateral (ML) 0.4 mm, and dorsoventral (DV) −1.65 mm for prelimbic (PL) area, a part of mPFC. A thin layer of tissue adhesive (3M Vetbond, MN, USA) was applied to prevent dental acrylic from contacting brain tissue. A stainless steel headplate was affixed to the skull using screws, dental acrylic, and cement. The tetrode array, skull, screws, and headplate were further secured with a mixture of dental acrylic and cement. Postoperative care included administration of an antibiotic (Baytril, 5 mg/kg body weight; Bayer, NJ, USA) for 3 consecutive days. After 7 to 10 days of recovery, mice underwent water restriction and behavioral training. Histological analysis confirmed that recording sites were located within the PL region of the mPFC (fig. S6).\n\n\n### Electrophysiological recordings\nAll recordings were performed in a double-walled, sound-attenuating, and electrically shielded chamber. Neural activity was acquired as wideband signals (300 to 6000 Hz) using a head-stage amplifier (RHD2132, Intan Technologies, CA, USA). Signals were amplified (×20), digitized at 20 kHz, and transmitted via a USB interface board (RHD2000, Intan Technologies) for real-time monitoring and offline storage. Task events—including stimulus presentations and behavioral responses—were synchronized with neural recordings through the same interface board.\n\n\n### Neural data analysis\nSpike sorting was performed using Spike2 software (version 8, Cambridge Electronic Design, Cambridge, UK). Raw neural signals were bandpass-filtered (300 to 6000 Hz) to remove field potentials. Spike events were detected as signals exceeding four times the SD of the background noise. Detected waveforms were clustered using principal components analysis and a template-matching algorithm. Waveforms with interspike intervals < 2 ms were excluded. Only single units with firing rates > 2 Hz were retained for further analysis. For each unit, relative spike timing data across trials and conditions were used to construct raster plots and peristimulus time histograms (PSTHs) using custom MATLAB scripts. Population PSTHs were generated by averaging responses across neurons. Given consistent behavioral and neuronal results across animals for each paradigm, data were pooled to assess population-level effects.\nNeuronal selectivity was quantified using an ideal observer approach based on ROC analysis. During the delay period, selectivity between preferred and nonpreferred stimuli was assessed in consecutive epochs (100 or 1500 ms). For each epoch, 12 activity thresholds spanning the observed firing rate range were applied. At each threshold, the proportion of trials exceeding the threshold was computed for both stimulus conditions and used to construct a ROC curve. The area under the curve served as the SI, reflecting the probability of correct discrimination by an ideal observer. An SI of 0.5 indicated identical response distributions, 1 indicated maximal preference for the preferred stimulus, and 0 indicated maximal preference for the nonpreferred stimulus. To determine significance, a permutation test was performed by randomly assigning trials to “preferred” and “nonpreferred” groups (5000 iterations). The actual SI was deemed significant if it fell within the top or bottom 5% of the permuted distribution (P < 0.05). During the choice period, the same ROC method distinguished match from nonmatch trials (SI > 0.5: match preferring; SI < 0.5: nonmatch preferring).\n\n\n### Population decoding\nWe used a linear classifier based on a support vector machine (SVM) with linear kernels. The SVM classifier was implemented using the “fitcsvm” function in MATLAB. In this analysis, spike counts for each neuron were grouped on the basis of the rule (match versus nonmatch) and binned into a 100-ms window with a 10-ms resolution. All the neurons were combined to form a pseudo-population. The responses of the population neurons were organized into an M Χ N Χ T matrix, where M is the number of trials, N is the number of neurons, and T is the number of bins. We trained the linear classifier with data from the familiar auditory task trials and examined decoding accuracy in predicting novel visual task trials. The performance of the classifier was calculated as the fraction of correctly classified test trials, using 10-fold cross-validation procedures. To ensure robustness, we repeated the resampling process 100 times and computed the mean and SD of the decoding accuracy across the 100 resampling iterations. Decoders were trained and tested independently for each bin.\n\n\n### Virus injection and optical fiber implantation\nSurgical procedures for virus injection and optical fiber implantation followed protocols similar to those used for tetrode implantation. All viral vectors were obtained from ObiO Tech (Shanghai, China).\nFor chemogenetic inactivation of the mPFC, we bilaterally injected 0.4 μl of pAAV-hSyn-HA-hM4D(Gi)-mCherry into the PL subregion of mPFC (AP: +1.96 mm, ML: ±0.42 mm, DV: −1.6 mm). CNO (or saline) was administered via intraperitoneal injection 30 to 45 min before the start of the task.\nTo inhibit MD-to-mPFC projections, we injected 0.4 μl of either pAAV-hSyn-eNpHR3.0-EYFP or pAAV-hSyn-EYFP (control) bilaterally into the MD (AP: −1.2 mm, ML: ±0.35 mm, DV: −3.2 mm). Two optical fibers (200 μm in diameter, 0.37 NA) with ceramic ferrules were implanted bilaterally in the mPFC (AP: +1.96 mm, ML: ±0.4 mm, DV: −1.25 mm).\nTo assess the effects of MD terminal inactivation on mPFC activity and selectivity, we injected pAAV-hSyn-eNpHR3.0-EYFP unilaterally into the MD (ipsilateral to the recording site) and implanted an optetrode in the mPFC.\nFor experiments examining neural representations of task-related information in mPFC after mice learned the novel visual task under MD-to-mPFC projections suppression, we injected pAAV-hSyn-eNpHR3.0-EYFP bilaterally into the MD. An optetrode was implanted in one mPFC hemisphere, and an optical fiber was implanted contralaterally.\nFor activation experiments, we injected AAV-hSyn-hChR2(H134R)-mCherry bilaterally into either the mPFC or MD. Two Optic fibers (200 μm in diameter, 0.37 NA) were implanted in the mPFC for each hemisphere.\nAfter viral injections, animals recovered for at least 2 weeks to allow for sufficient viral expression before behavioral testing. A 470-nm laser was used for ChR2 activation, whereas eNpHR3.0 activation was achieved with a laser with a wavelength of 532 nm.\n\n\n### Histology\nUpon completion of all experiments, mice were deeply anesthetized via intraperitoneal injection of sodium pentobarbital (100 mg/kg) and transcardially perfused with saline followed by 4% paraformaldehyde (PFA). Brains were extracted, postfixed in 4% PFA overnight at 4°C, and subsequently transferred to phosphate-buffered saline (PBS). Coronal sections (50-μm thick) were prepared and stored in PBS. Sections were then incubated with DAPI (4′,6-diamidino-2-phenylindole) for 10 to 15 min, washed in PBS, mounted on glass slides, and coverslipped. Fluorescence imaging was performed using a confocal microscope.\n\n\n### Statistical analysis\nAll statistical analyses were performed in MATLAB. Datasets were tested for normality, and appropriate statistical tests were applied as described in the text (e.g., t test for normally distributed data and Mann-Whitney rank sum test for nonparametric data). Unless otherwise stated, data were reported as mean ± SEM.", "domain": "affective_neuroscience"}
{"source": "PMC13081294", "title": "Genetic subtraction reveals divergent pathways and targets in anxiety-related and anxiety-independent TMD", "text": "# Genetic subtraction reveals divergent pathways and targets in anxiety-related and anxiety-independent TMD\n\n## Abstract\nTemporomandibular disorders (TMD) show substantial clinical and genetic overlap with anxiety, yet it remains unclear whether TMD risk reflects shared anxiety-related liability or distinct anxiety-independent genetic mechanisms. Disentangling these components is essential for understanding TMD heterogeneity beyond symptom-based classifications. We applied GWAS-by-subtraction using genome-wide summary statistics for TMD (20,799 cases and 479,549 controls; FinnGen Release 12) and anxiety disorders (74,973 cases and 400,243 controls), partitioning TMD heritability into two orthogonal latent components: an anxiety-dependent factor (FAnxiety) and an anxiety-independent factor (FNon-Anxiety). To delineate the mechanisms underlying each component, we integrated fine-mapping, transcriptome- and proteome-wide association analyses, genetic colocalization, brain imaging–genetics, and single-cell RNA sequencing from human embryonic temporomandibular joint tissue. Anxiety showed significant genetic correlation with TMD (rg = 0.4417, p = 1.98 × 10− 1 9) and accounted for 19.50% of TMD heritable variance. FAnxiety yielded multiple genome-wide significant loci (CNTNAP5, PCLO, PRSS16, BTN1A1, RAB27B), whereas FNon-Anxiety produced a single independent signal near GPNMB, demonstrating sharply divergent genetic architectures. Multi-omic integration identified RAB27B as a driver of the anxiety-related pathway, implicating synaptic vesicle trafficking and neuroimmune regulation, while GPNMB and KLHL7 supported anxiety-independent pathways involving musculoskeletal remodeling and peripheral inflammation. BrainXcan analyses showed that FAnxiety predominantly affected limbic and external capsule microstructure, whereas FNon-Anxiety mapped to thalamic–sensorimotor white matter networks. Single-cell mapping further revealed distinct enrichment patterns of RAB27B, KLHL7, and GPNMB across TMJ cell types. These findings demonstrate that TMD genetic liability comprises separable anxiety-related and anxiety-independent dimensions with distinct molecular, neurostructural, and cellular signatures. Rather than defining clinical subtypes, these latent components represent associative dimensions of genetic risk at the population level. This integrative framework clarifies the genetic architecture underlying TMD heterogeneity and provides a foundation for future studies integrating individual-level phenotyping to assess clinical relevance and causal mechanisms.  The online version contains supplementary material available at 10.1186/s10194-026-02304-3.\n\n## Full Text\n\n\n### Background\nTemporomandibular disorders (TMDs) represent a group of clinically diverse and orofacial pain conditions involving the temporomandibular joint, masticatory muscles, and associated tissues. Globally, TMD affects up to one-third of adults and imposes a substantial burden through chronic pain, functional limitation, and impaired quality of life [1, 2]. Although the classical understanding of TMD pain has focused on peripheral biomechanical and inflammatory contributors, increasing evidence highlights the importance of central pain modulation and psychosocial factors in shaping symptom severity and chronicity [3–6]. These findings underscore the heterogeneity of TMD and the need to better understand the diverse mechanisms driving its clinical presentation [7, 8]. This is indeed in line with a recent proposal that TMD pain may represent a spectrum of mechanistically different pain conditions, spanning from nociceptive types of pain based on peripheral nociceptive inputs to oncoplastic pain with a greater importance of central sensitization phenomena and imbalanced descending inhibitory and facilitatory drive [9].\nTMD pain has been suggested for more than three decades to be best understood in a biopsychosocial context and assessed on a physical Axis I and a psychosocial distress Axis II [10–12]. Among psychosocial influences, anxiety is one of the most consistently reported accompanying features in TMD [13, 14]. Higher anxiety levels are associated with elevated pain sensitivity, widespread pain, heightened somatosensory amplification, and poorer clinical outcomes [15–18]. However, despite its high prevalence, not all individuals with TMD exhibit anxiety. A considerable proportion of TMD patients report minimal or no anxiety symptoms, even in the presence of comparable orofacial pain [19]. This clinically recognized divergence raises a fundamental question: does the presence of anxiety correspond to a biologically distinct form of TMD or is anxiety merely a co-occurring trait that modulates symptom perception without conferring unique genetic contributions. Despite decades of research on TMD pain pathophysiology, this question remains entirely unanswered. Existing genome-wide association studies (GWAS) treat TMD pain as a unitary phenotype and therefore cannot differentiate genetic risk shared by all TMD patients from genetic factors specifically associated with anxiety in TMD [20–23]. As a result, the field lacks a clear understanding of whether anxiety-related variation represents an intrinsic genetic component of TMD pain, or whether TMD pain with and without anxiety share an identical genetic architecture. Resolving this gap is crucial for clarifying biological heterogeneity within TMD pain, identifying distinct mechanistic pathways, and informing more targeted diagnostic and therapeutic approaches.\nIn this study, we address this critical knowledge gap by applying GWAS-by-Subtraction, a statistical framework that decomposes overlapping genetic signals into distinct latent components [24]. Leveraging large-scale genetic data, we isolate the portion of TMD genetic liability that is specifically related to anxiety from the portion that is independent of anxiety. This approach enables us to determine whether TMD with anxiety carries a unique genetic signature and to identify biological pathways that differentiate anxiety-associated and anxiety-independent TMD. By resolving the genetic architecture underlying these two clinically meaningful manifestations of TMD, our work provides new insight into the mechanisms driving TMD pain heterogeneity and establishes a foundation for biologically informed precision management of TMD.\n\n\n### Materials and methods\nGWAS summary statistics for temporomandibular joint disorders (TMD) were obtained from the FinnGen study (Release 12; https://www.finngen.fi/en). FinnGen is a large-scale public–private initiative that integrates genomic data from more than 500,000 Finnish biobank participants with nationwide health registry information to investigate disease mechanisms and genetic susceptibility [25]. In FinnGen, TMD was defined using the International Classification of Diseases, 10th revision (ICD-10) code K07.6, a broad diagnostic category that encompasses several temporomandibular joint conditions, including TMJ derangement, TMJ painful and non-painful diagnoses, which captures the full clinical spectrum of TMD.The data set comprised 500,348 individuals, including 20,799 cases and 479,549 controls.\nFor anxiety, GWAS summary statistics were obtained from a meta-analysis of five European-ancestry cohorts [26]. Case definitions varied across cohorts, encompassing ICD-10 or DSM diagnoses, lifetime or self-reported anxiety disorders, and proxy phenotypes based on screening tools such as the GAD-2. Full details of case definitions are provided in the original publication [26]. In total, the meta-analysis included 74,973 cases (28,392 proxy cases) and 400,243 controls (146,771 proxy controls).\nTo reduce potential confounding from population stratification, only individuals of European ancestry were included. All summary statistics were harmonized to dbSNP build 157 using GWASLab tool [27] to ensure consistency of SNP identifiers, alleles, and genomic coordinates across data sets.\nStarting from GWAS summary statistics for TMD and anxiety disorders, the method “subtracts” the influence of anxiety from each SNP’s effect on TMD to estimate SNP associations with TMD independent of anxiety. This framework generates an alternative set of summary statistics that approximate those expected from a GWAS of TMD conditioned on anxiety. The theoretical basis of GWAS-by-subtraction has been described previously [28].\nWe implemented an adapted version of GWAS-by-subtraction using GSUB, a command-line tool that applies closed-form solutions to decompose SNP effects into orthogonal latent genetic components derived from two traits [29]. GWAS summary statistics for TMD were obtained from the FinnGen study, while summary statistics for anxiety disorders were drawn from a large-scale meta-analysis. In this model, the GWAS summary statistics for both traits were jointly regressed onto two latent factors: an anxiety-related genetic component (FAnxiety) and a residual, anxiety-independent genetic component specific to TMD (FNon-Anxiety).\nFactor loadings of TMD and anxiety onto each latent component were explicitly estimated at the model level, following standard structural equation modeling principles applied to the genetic correlation matrix. To ensure interpretability of the decomposition, the genetic covariance between FAnxiety and FNon-Anxiety was fixed at zero, enforcing orthogonality between the two latent factors. This orthogonality constraint is a defining feature of the GWAS-by-subtraction framework and ensures that the anxiety-independent component captures only genetic variation in TMD that is uncorrelated with anxiety, rather than implying biological or clinical independence between underlying mechanisms.\nUnder this two-trait orthogonal model specification, the proportion of TMD heritable variance attributable to anxiety-related genetic liability was quantified as the square of the standardized loading of TMD on FAnxiety. This quantity is mathematically equivalent to the squared genetic correlation (rg2) between TMD and anxiety, because all shared genetic variance between the two traits is fully captured by FAnxiety.\nEach latent factor was subsequently regressed on SNPs genome-wide, yielding two sets of factor-specific GWAS summary statistics. SNPs with p < 5 × 10− 8 were considered genome-wide significant. Independent lead SNPs were identified by LD clumping using an r2 threshold of < 0.01 within a ± 1 Mb window. The overall structure of the GWAS-by-subtraction model, including factor loadings, SNP pathways, and orthogonality constraints, is illustrated in Fig. 1 AFig. 1Study design and analytical framework for dissecting anxiety-related and anxiety-independent genetic components of temporomandibular disorders. (A) Conceptual framework of GWAS-by-subtraction applied to temporomandibular disorders (TMD) and anxiety. Structural equation model illustrating the decomposition of genetic effects on TMD into anxiety-related (FAnxiety) and anxiety-independent (FNon-Anxiety) components. SNP variance is modeled as 2p(1–p), where p is the reference allele frequency. SNP effects on the two latent factors are denoted as βAnxiety (blue) and βnon-anxiety (red). FAnxiety captures the genetic variance in TMD mediated through anxiety, while FNon-Anxiety represents the residual genetic variance in TMD independent of anxiety. Path loadings (λ) indicate factor–phenotype relationships: λAnxiety–anxiety and λAnxiety–TMD link FAnxiety to observed anxiety and TMD, respectively, while λnon-Anxiety–TMD links FNon-Anxiety to TMD. By construction, FAnxiety and FNon-Anxiety are orthogonal (rg = 0), ensuring independence between the shared and residual genetic components. (B) Multi-omics integrative analysis workflow for anxiety-related and anxiety-independent TMD\nStudy design and analytical framework for dissecting anxiety-related and anxiety-independent genetic components of temporomandibular disorders. (A) Conceptual framework of GWAS-by-subtraction applied to temporomandibular disorders (TMD) and anxiety. Structural equation model illustrating the decomposition of genetic effects on TMD into anxiety-related (FAnxiety) and anxiety-independent (FNon-Anxiety) components. SNP variance is modeled as 2p(1–p), where p is the reference allele frequency. SNP effects on the two latent factors are denoted as βAnxiety (blue) and βnon-anxiety (red). FAnxiety captures the genetic variance in TMD mediated through anxiety, while FNon-Anxiety represents the residual genetic variance in TMD independent of anxiety. Path loadings (λ) indicate factor–phenotype relationships: λAnxiety–anxiety and λAnxiety–TMD link FAnxiety to observed anxiety and TMD, respectively, while λnon-Anxiety–TMD links FNon-Anxiety to TMD. By construction, FAnxiety and FNon-Anxiety are orthogonal (rg = 0), ensuring independence between the shared and residual genetic components. (B) Multi-omics integrative analysis workflow for anxiety-related and anxiety-independent TMD\nImportantly, the anxiety-related and anxiety-independent components represent a statistical decomposition of genetic liability at the population level rather than empirically defined or directly observable clinical subgroups. These latent factors describe distinct dimensions of genetic risk and do not imply that individual patients can be categorically classified into anxiety-related or anxiety-independent TMD subtypes. Translation of these genetic components into clinically actionable subgroups will require future studies integrating individual-level genetic data with more granular phenotypic and clinical information.\nTo refine loci identified from the factor GWAS of FAnxiety and FNon-Anxiety, we applied Bayesian fine-mapping using the Sum of Single Effects (SuSiE) model to achieve single-variant resolution [30]. Fine-mapping assigns posterior inclusion probabilities (PIPs) to individual SNPs, allowing distinction between variants most likely to be causal and those correlated through linkage disequilibrium (LD).\nThe SuSiE model decomposes regional association signals into multiple “single-effect” components, while explicitly accounting for local LD structure, and generates 95% credible sets of candidate causal variants. Single-variant resolution was defined as either (i) one SNP achieving PIP > 0.8 or (ii) a 95% credible set containing only a single variant.\nFine-mapping was performed for all lead loci identified from the GWAS of FAnxiety and FNon-Anxiety. For each lead SNP, we extracted genomic windows of ± 1 Mb from harmonized summary statistics, and estimated LD patterns using the European reference panel from the 1000 Genomes Project (Phase 3).\nTo further prioritize putative genes underlying the genetic signals identified in the factor GWAS of FAnxiety and FNon-Anxiety, we performed transcriptome-wide association studies (TWAS) using the FUSION framework [31]. TWAS integrates GWAS summary statistics with gene expression reference weights to test whether predicted gene expression levels are associated with the trait of interest.\nWe used the FUSION software with precomputed expression weights from GTEx v8 [32], spanning 49 tissues. For each gene, FUSION predicts expression levels as a linear function of cis-SNPs within ±500 kb of the transcription start and end sites, using elastic net, LASSO, and BLUP models trained on GTEx reference data. Association statistics were computed by integrating SNP-level GWAS z-scores from the FAnxiety and FNon-Anxiety factor GWAS with SNP-expression weight matrices, while accounting for linkage disequilibrium (LD) using the European 1000 Genomes reference panel. TWAS was conducted separately for FAnxiety and FNon-Anxiety. Genes with a within-tissue false discovery rate (FDR) < 0.05 were considered significant.\nThe objective of the colocalization analysis was to evaluate whether genetic associations for FAnxiety and FNon-Anxiety shared the same underlying causal variants with cis-eQTLs, thereby implicating gene regulation as a mediator of these genetic effects. We applied the Bayesian hierarchical framework implemented in fastENLOC [33], which integrates GWAS and QTL summary statistics to jointly estimate enrichment, fine-mapping, and colocalization probabilities.\nCredible sets derived from SuSiE fine-mapping were used as GWAS input, while cis-eQTL data were obtained from GTEx v8 across 49 tissues. Only variants present in both the factor GWAS and eQTL data sets were analyzed. The analysis proceeded in three steps: (i) enrichment estimation of eQTL annotations among GWAS signals, (ii) Bayesian fine-mapping within LD blocks to assign PIPs to candidate variants, and (iii) computation of gene-locus colocalization probabilities (GLCPs), which quantify the probability that the same causal variant drives both the GWAS and eQTL associations.\nA GLCP > 0.5 was predefined as the primary threshold indicating strong evidence of colocalization and was used for confirmatory interpretation across all analyzes. Results exceeding this threshold were considered robust evidence of shared causal variants between genetic associations and gene expression. Given the relatively lower statistical power of the FNon-Anxiety component, we additionally conducted exploratory colocalization analyzes using a relaxed threshold (GLCP > 0.2).\nTo extend SNP- and gene-level findings to the protein layer, we conducted proteome-wide association studies (PWAS) using the BLISS framework (Biomarker expression Level Imputation using Summary statistics) [34]. BLISS imputes genetically predicted plasma protein levels from cis-pQTL summary statistics, enabling systematic testing of protein–trait associations without individual-level proteomic data.\nWe applied European-ancestry BLISS pretrained models derived from large-scale proteomic reference cohorts, including the UK Biobank Plasma Proteome Project (UKB-PPP), comprising 49,341 individuals and 2808 plasma proteins. These predictive models were trained in the original BLISS framework using cis-acting SNPs within ±1 Mb of each gene, retaining only proteins with significant cis-heritability and adequate predictive performance.\nGenetically predicted protein levels from each reference model were then integrated separately with GWAS summary statistics from the FAnxiety and FNon-Anxiety factor analyzes. Association statistics were computed using burden-type Z tests, as implemented in BLISS, with multiple-testing correction applied across the proteome. Proteins surpassing the significance threshold (FDR < 0.05) were considered candidate mediators of the anxiety-related (FAnxiety) or anxiety-independent (FNon-Anxiety) genetic components of TMD. Proteins supported by convergent evidence across PWAS, TWAS, and colocalization analyzes were further prioritized as high-confidence candidates for functional interpretation and downstream follow-up.\nTo investigate whether the anxiety-related (FAnxiety) and anxiety-independent (FNon-Anxiety) genetic components of TMD are linked to structural and microstructural features of the brain, we applied BrainXcan [35]. BrainXcan leverages GWAS summary statistics in combination with genetically trained prediction models of MRI-derived brain imaging phenotypes (IDPs) to test trait–brain feature associations.\nPretrained genetic predictors were obtained from the UK Biobank imaging cohort (N = 24,409 European individuals), which included 159 T1-weighted structural features (cortical, subcortical, cerebellar, and global volumes) and 300 diffusion MRI-derived features (neurite density, anisotropy, dispersion, and connectivity). For each modality, principal components were used to capture brain-wide features, while residuals represented region-specific effects. Prediction models were trained using ridge regression on HapMap3 SNPs (MAF > 0.01) and retained features with cross-validated prediction performance (correlation > 0.1).\nGWAS z-scores from the FAnxiety and FNon-Anxiety factor analyses were integrated with brain feature prediction weights, with linkage disequilibrium estimated from the same UK Biobank imaging reference panel. Association statistics were computed for each IDP, yielding z-scores, standard errors, and p-values for the genetically predicted feature–trait relationships.\nSignificant associations (FDR < 0.05 across features) were interpreted as evidence that genetic liability underlying FAnxiety or FNon-Anxiety is linked to specific brain structural or microstructural characteristics.\nTo further elucidate the putative cellular and molecular mechanisms underlying TMD, we incorporated single-cell RNA sequencing (scRNA-seq) data from a publicly available data set of human embryonic temporomandibular joint condyle (TMJC) tissue [36]. At present, publicly available scRNA-seq data sets for adult human temporomandibular joint, jaw muscle, or tendon tissues are not yet available; therefore, our single-cell analysis is restricted to TMJ-derived embryonic cell populations, which are interpreted as reflecting developmental programming and early tissue biology rather than adult tissue states.\nThis data set comprises 16,624 cells from 3- and 4-month-old human embryonic TMJC and delineates 15 distinct cell clusters. Preprocessing, quality control, normalization, and cell-type annotation were performed following the original published protocol, and we directly utilized the author-curated, quality-controlled expression matrix and cluster annotations. In the original study, low-quality cells were filtered using standard criteria (nFeature_RNA > 200 and < 4000; percent.mt < 50; nCount_RNA < 20,000), expression data were normalized using SCTransform, and highly variable genes were selected for downstream analyzes. Cell-type identities were assigned based on established marker genes reported in the original publication. Uniform Manifold Approximation and Projection (UMAP) was applied for dimensionality reduction and visualization.\nTo integrate the single-cell information with the GWAS-by-subtraction results, we examined the expression patterns of prioritized candidate genes across annotated cell types using feature plots and violin plots. All analyzes were performed using the Seurat R package (v5.2.1) [37].\nA schematic overview of the complete analytical workflow is shown in Fig. 1B.\n\n\n### Data source\nGWAS summary statistics for temporomandibular joint disorders (TMD) were obtained from the FinnGen study (Release 12; https://www.finngen.fi/en). FinnGen is a large-scale public–private initiative that integrates genomic data from more than 500,000 Finnish biobank participants with nationwide health registry information to investigate disease mechanisms and genetic susceptibility [25]. In FinnGen, TMD was defined using the International Classification of Diseases, 10th revision (ICD-10) code K07.6, a broad diagnostic category that encompasses several temporomandibular joint conditions, including TMJ derangement, TMJ painful and non-painful diagnoses, which captures the full clinical spectrum of TMD.The data set comprised 500,348 individuals, including 20,799 cases and 479,549 controls.\nFor anxiety, GWAS summary statistics were obtained from a meta-analysis of five European-ancestry cohorts [26]. Case definitions varied across cohorts, encompassing ICD-10 or DSM diagnoses, lifetime or self-reported anxiety disorders, and proxy phenotypes based on screening tools such as the GAD-2. Full details of case definitions are provided in the original publication [26]. In total, the meta-analysis included 74,973 cases (28,392 proxy cases) and 400,243 controls (146,771 proxy controls).\nTo reduce potential confounding from population stratification, only individuals of European ancestry were included. All summary statistics were harmonized to dbSNP build 157 using GWASLab tool [27] to ensure consistency of SNP identifiers, alleles, and genomic coordinates across data sets.\n\n\n### GWAS-by-subtraction\nStarting from GWAS summary statistics for TMD and anxiety disorders, the method “subtracts” the influence of anxiety from each SNP’s effect on TMD to estimate SNP associations with TMD independent of anxiety. This framework generates an alternative set of summary statistics that approximate those expected from a GWAS of TMD conditioned on anxiety. The theoretical basis of GWAS-by-subtraction has been described previously [28].\nWe implemented an adapted version of GWAS-by-subtraction using GSUB, a command-line tool that applies closed-form solutions to decompose SNP effects into orthogonal latent genetic components derived from two traits [29]. GWAS summary statistics for TMD were obtained from the FinnGen study, while summary statistics for anxiety disorders were drawn from a large-scale meta-analysis. In this model, the GWAS summary statistics for both traits were jointly regressed onto two latent factors: an anxiety-related genetic component (FAnxiety) and a residual, anxiety-independent genetic component specific to TMD (FNon-Anxiety).\nFactor loadings of TMD and anxiety onto each latent component were explicitly estimated at the model level, following standard structural equation modeling principles applied to the genetic correlation matrix. To ensure interpretability of the decomposition, the genetic covariance between FAnxiety and FNon-Anxiety was fixed at zero, enforcing orthogonality between the two latent factors. This orthogonality constraint is a defining feature of the GWAS-by-subtraction framework and ensures that the anxiety-independent component captures only genetic variation in TMD that is uncorrelated with anxiety, rather than implying biological or clinical independence between underlying mechanisms.\nUnder this two-trait orthogonal model specification, the proportion of TMD heritable variance attributable to anxiety-related genetic liability was quantified as the square of the standardized loading of TMD on FAnxiety. This quantity is mathematically equivalent to the squared genetic correlation (rg2) between TMD and anxiety, because all shared genetic variance between the two traits is fully captured by FAnxiety.\nEach latent factor was subsequently regressed on SNPs genome-wide, yielding two sets of factor-specific GWAS summary statistics. SNPs with p < 5 × 10− 8 were considered genome-wide significant. Independent lead SNPs were identified by LD clumping using an r2 threshold of < 0.01 within a ± 1 Mb window. The overall structure of the GWAS-by-subtraction model, including factor loadings, SNP pathways, and orthogonality constraints, is illustrated in Fig. 1 AFig. 1Study design and analytical framework for dissecting anxiety-related and anxiety-independent genetic components of temporomandibular disorders. (A) Conceptual framework of GWAS-by-subtraction applied to temporomandibular disorders (TMD) and anxiety. Structural equation model illustrating the decomposition of genetic effects on TMD into anxiety-related (FAnxiety) and anxiety-independent (FNon-Anxiety) components. SNP variance is modeled as 2p(1–p), where p is the reference allele frequency. SNP effects on the two latent factors are denoted as βAnxiety (blue) and βnon-anxiety (red). FAnxiety captures the genetic variance in TMD mediated through anxiety, while FNon-Anxiety represents the residual genetic variance in TMD independent of anxiety. Path loadings (λ) indicate factor–phenotype relationships: λAnxiety–anxiety and λAnxiety–TMD link FAnxiety to observed anxiety and TMD, respectively, while λnon-Anxiety–TMD links FNon-Anxiety to TMD. By construction, FAnxiety and FNon-Anxiety are orthogonal (rg = 0), ensuring independence between the shared and residual genetic components. (B) Multi-omics integrative analysis workflow for anxiety-related and anxiety-independent TMD\nStudy design and analytical framework for dissecting anxiety-related and anxiety-independent genetic components of temporomandibular disorders. (A) Conceptual framework of GWAS-by-subtraction applied to temporomandibular disorders (TMD) and anxiety. Structural equation model illustrating the decomposition of genetic effects on TMD into anxiety-related (FAnxiety) and anxiety-independent (FNon-Anxiety) components. SNP variance is modeled as 2p(1–p), where p is the reference allele frequency. SNP effects on the two latent factors are denoted as βAnxiety (blue) and βnon-anxiety (red). FAnxiety captures the genetic variance in TMD mediated through anxiety, while FNon-Anxiety represents the residual genetic variance in TMD independent of anxiety. Path loadings (λ) indicate factor–phenotype relationships: λAnxiety–anxiety and λAnxiety–TMD link FAnxiety to observed anxiety and TMD, respectively, while λnon-Anxiety–TMD links FNon-Anxiety to TMD. By construction, FAnxiety and FNon-Anxiety are orthogonal (rg = 0), ensuring independence between the shared and residual genetic components. (B) Multi-omics integrative analysis workflow for anxiety-related and anxiety-independent TMD\nImportantly, the anxiety-related and anxiety-independent components represent a statistical decomposition of genetic liability at the population level rather than empirically defined or directly observable clinical subgroups. These latent factors describe distinct dimensions of genetic risk and do not imply that individual patients can be categorically classified into anxiety-related or anxiety-independent TMD subtypes. Translation of these genetic components into clinically actionable subgroups will require future studies integrating individual-level genetic data with more granular phenotypic and clinical information.\n\n\n### Fine-mapping of latent factors\nTo refine loci identified from the factor GWAS of FAnxiety and FNon-Anxiety, we applied Bayesian fine-mapping using the Sum of Single Effects (SuSiE) model to achieve single-variant resolution [30]. Fine-mapping assigns posterior inclusion probabilities (PIPs) to individual SNPs, allowing distinction between variants most likely to be causal and those correlated through linkage disequilibrium (LD).\nThe SuSiE model decomposes regional association signals into multiple “single-effect” components, while explicitly accounting for local LD structure, and generates 95% credible sets of candidate causal variants. Single-variant resolution was defined as either (i) one SNP achieving PIP > 0.8 or (ii) a 95% credible set containing only a single variant.\nFine-mapping was performed for all lead loci identified from the GWAS of FAnxiety and FNon-Anxiety. For each lead SNP, we extracted genomic windows of ± 1 Mb from harmonized summary statistics, and estimated LD patterns using the European reference panel from the 1000 Genomes Project (Phase 3).\n\n\n### Transcriptome-wide association study (TWAS) of latent factors\nTo further prioritize putative genes underlying the genetic signals identified in the factor GWAS of FAnxiety and FNon-Anxiety, we performed transcriptome-wide association studies (TWAS) using the FUSION framework [31]. TWAS integrates GWAS summary statistics with gene expression reference weights to test whether predicted gene expression levels are associated with the trait of interest.\nWe used the FUSION software with precomputed expression weights from GTEx v8 [32], spanning 49 tissues. For each gene, FUSION predicts expression levels as a linear function of cis-SNPs within ±500 kb of the transcription start and end sites, using elastic net, LASSO, and BLUP models trained on GTEx reference data. Association statistics were computed by integrating SNP-level GWAS z-scores from the FAnxiety and FNon-Anxiety factor GWAS with SNP-expression weight matrices, while accounting for linkage disequilibrium (LD) using the European 1000 Genomes reference panel. TWAS was conducted separately for FAnxiety and FNon-Anxiety. Genes with a within-tissue false discovery rate (FDR) < 0.05 were considered significant.\n\n\n### Colocalization analysis\nThe objective of the colocalization analysis was to evaluate whether genetic associations for FAnxiety and FNon-Anxiety shared the same underlying causal variants with cis-eQTLs, thereby implicating gene regulation as a mediator of these genetic effects. We applied the Bayesian hierarchical framework implemented in fastENLOC [33], which integrates GWAS and QTL summary statistics to jointly estimate enrichment, fine-mapping, and colocalization probabilities.\nCredible sets derived from SuSiE fine-mapping were used as GWAS input, while cis-eQTL data were obtained from GTEx v8 across 49 tissues. Only variants present in both the factor GWAS and eQTL data sets were analyzed. The analysis proceeded in three steps: (i) enrichment estimation of eQTL annotations among GWAS signals, (ii) Bayesian fine-mapping within LD blocks to assign PIPs to candidate variants, and (iii) computation of gene-locus colocalization probabilities (GLCPs), which quantify the probability that the same causal variant drives both the GWAS and eQTL associations.\nA GLCP > 0.5 was predefined as the primary threshold indicating strong evidence of colocalization and was used for confirmatory interpretation across all analyzes. Results exceeding this threshold were considered robust evidence of shared causal variants between genetic associations and gene expression. Given the relatively lower statistical power of the FNon-Anxiety component, we additionally conducted exploratory colocalization analyzes using a relaxed threshold (GLCP > 0.2).\n\n\n### Proteome-wide association study (PWAS)\nTo extend SNP- and gene-level findings to the protein layer, we conducted proteome-wide association studies (PWAS) using the BLISS framework (Biomarker expression Level Imputation using Summary statistics) [34]. BLISS imputes genetically predicted plasma protein levels from cis-pQTL summary statistics, enabling systematic testing of protein–trait associations without individual-level proteomic data.\nWe applied European-ancestry BLISS pretrained models derived from large-scale proteomic reference cohorts, including the UK Biobank Plasma Proteome Project (UKB-PPP), comprising 49,341 individuals and 2808 plasma proteins. These predictive models were trained in the original BLISS framework using cis-acting SNPs within ±1 Mb of each gene, retaining only proteins with significant cis-heritability and adequate predictive performance.\nGenetically predicted protein levels from each reference model were then integrated separately with GWAS summary statistics from the FAnxiety and FNon-Anxiety factor analyzes. Association statistics were computed using burden-type Z tests, as implemented in BLISS, with multiple-testing correction applied across the proteome. Proteins surpassing the significance threshold (FDR < 0.05) were considered candidate mediators of the anxiety-related (FAnxiety) or anxiety-independent (FNon-Anxiety) genetic components of TMD. Proteins supported by convergent evidence across PWAS, TWAS, and colocalization analyzes were further prioritized as high-confidence candidates for functional interpretation and downstream follow-up.\n\n\n### Brain imaging feature association via BrainXcan\nTo investigate whether the anxiety-related (FAnxiety) and anxiety-independent (FNon-Anxiety) genetic components of TMD are linked to structural and microstructural features of the brain, we applied BrainXcan [35]. BrainXcan leverages GWAS summary statistics in combination with genetically trained prediction models of MRI-derived brain imaging phenotypes (IDPs) to test trait–brain feature associations.\nPretrained genetic predictors were obtained from the UK Biobank imaging cohort (N = 24,409 European individuals), which included 159 T1-weighted structural features (cortical, subcortical, cerebellar, and global volumes) and 300 diffusion MRI-derived features (neurite density, anisotropy, dispersion, and connectivity). For each modality, principal components were used to capture brain-wide features, while residuals represented region-specific effects. Prediction models were trained using ridge regression on HapMap3 SNPs (MAF > 0.01) and retained features with cross-validated prediction performance (correlation > 0.1).\nGWAS z-scores from the FAnxiety and FNon-Anxiety factor analyses were integrated with brain feature prediction weights, with linkage disequilibrium estimated from the same UK Biobank imaging reference panel. Association statistics were computed for each IDP, yielding z-scores, standard errors, and p-values for the genetically predicted feature–trait relationships.\nSignificant associations (FDR < 0.05 across features) were interpreted as evidence that genetic liability underlying FAnxiety or FNon-Anxiety is linked to specific brain structural or microstructural characteristics.\n\n\n### Single-cell–Informed dissection of TMD molecular pathways\nTo further elucidate the putative cellular and molecular mechanisms underlying TMD, we incorporated single-cell RNA sequencing (scRNA-seq) data from a publicly available data set of human embryonic temporomandibular joint condyle (TMJC) tissue [36]. At present, publicly available scRNA-seq data sets for adult human temporomandibular joint, jaw muscle, or tendon tissues are not yet available; therefore, our single-cell analysis is restricted to TMJ-derived embryonic cell populations, which are interpreted as reflecting developmental programming and early tissue biology rather than adult tissue states.\nThis data set comprises 16,624 cells from 3- and 4-month-old human embryonic TMJC and delineates 15 distinct cell clusters. Preprocessing, quality control, normalization, and cell-type annotation were performed following the original published protocol, and we directly utilized the author-curated, quality-controlled expression matrix and cluster annotations. In the original study, low-quality cells were filtered using standard criteria (nFeature_RNA > 200 and < 4000; percent.mt < 50; nCount_RNA < 20,000), expression data were normalized using SCTransform, and highly variable genes were selected for downstream analyzes. Cell-type identities were assigned based on established marker genes reported in the original publication. Uniform Manifold Approximation and Projection (UMAP) was applied for dimensionality reduction and visualization.\nTo integrate the single-cell information with the GWAS-by-subtraction results, we examined the expression patterns of prioritized candidate genes across annotated cell types using feature plots and violin plots. All analyzes were performed using the Seurat R package (v5.2.1) [37].\nA schematic overview of the complete analytical workflow is shown in Fig. 1B.\n\n\n### Result\nBefore identifying component-specific loci, we first evaluated the overall genetic relationship between anxiety and temporomandibular disorders (TMD). The two traits showed a substantial genetic correlation (rg = 0.4417, p = 1.98 × 10−19). Within the GWAS-by-subtraction framework, the anxiety-related component (FAnxiety) accounted for 19.50% of the heritable variation in TMD (factor loading = 0.4417), whereas the anxiety-independent component (FNon-Anxiety) explained the remaining 80.50% (factor loading = 0.8972).\nBuilding on this shared genetic architecture, we then used GWAS-by-subtraction to separate TMD into an anxiety-dependent (FAnxiety) and an anxiety-independent (FNon-Anxiety) component and began examining their genome-wide association results.\nWe applied the standard genome-wide significance threshold (p < 5 × 10−8) to identify significant loci across the genome. In the FAnxiety pathway (Fig. 2A, Supplementary Table S1), 15 SNPs reached genome-wide significance. The candidate genes located near these significant loci included CNTNAP5, MAP2, PRR16, NUDT12, ZSCAN12, BTN1A1, OR14J1, PRSS16, HIST1H2BL, PCLO, PTPRD, DRD2, SOX5, FARP1, and RAB27B.Fig. 2Integrated genome-wide association and SuSiE fine-mapping of anxiety-dependent and anxiety-independent genetic components of TMD. (A) Manhattan plot for the anxiety-dependent (FAnxiety pathway) component. The red dashed line denotes the genome-wide significance threshold (p = 5 × 108). (B) Manhattan plot for the anxiety-independent (FNon-Anxiety pathway) component, following the same conventions. (C) in the FAnxiety pathway, multiple loci exceed the confidence threshold (PIP > 0.8), with significant signals annotated, indicating focused genetic architecture. (D): In the FNon-Anxiety pathway, no loci surpass the PIP threshold, suggesting weaker genetic signals or a polygenic distribution pattern\nIntegrated genome-wide association and SuSiE fine-mapping of anxiety-dependent and anxiety-independent genetic components of TMD. (A) Manhattan plot for the anxiety-dependent (FAnxiety pathway) component. The red dashed line denotes the genome-wide significance threshold (p = 5 × 108). (B) Manhattan plot for the anxiety-independent (FNon-Anxiety pathway) component, following the same conventions. (C) in the FAnxiety pathway, multiple loci exceed the confidence threshold (PIP > 0.8), with significant signals annotated, indicating focused genetic architecture. (D): In the FNon-Anxiety pathway, no loci surpass the PIP threshold, suggesting weaker genetic signals or a polygenic distribution pattern\nIn contrast, in the FNon-Anxiety pathway (Fig. 2B, Supplementary Table S1), we identified one independent genome-wide significant SNP, whose nearest gene was GPNMB.\nTo further refine these genome-wide signals and identify putative causal variants underlying the FAnxiety and FNon-Anxiety components, we performed Bayesian fine-mapping using the SuSiE framework. For the FAnxiety component, 20 high-confidence causal candidates were identified (Fig.2 C, Supplementary Table S2), including rs149045429, rs116591906, rs372300033, rs145667901, and rs76429896, located near the GPX6, SCAND3, RPSAP2, and SMIM15P2 genes, respectively. Notably, rs149045429, located on chromosome 6 (position: 28,490,915), exhibited an exceptionally high PIP value (0.998) in the SuSiE analysis, strongly supporting its causal role in the anxiety-related TMD pathway.\nIn contrast, the FNon-Anxiety analysis (Fig. 2D, Supplementary Table S2) did not reveal any variant with PIP > 0.8; however, one 95% credible set containing a single SNP (rs199354) was identified, suggesting a more limited or distinct causal genetic basis for the anxiety-independent component.\nTo translate variant-level associations into gene-expression–level insights and identify transcriptionally mediated effects for each latent component, we conducted TWAS using the FUSION framework.\nWe performed cross-tissue analyses to prioritize genes associated with the FAnxiety component. After FDR correction (FDR < 0.05), we identified 1355 FDR-significant gene–tissue associations (420 unique genes) across multiple tissues (Fig. 3A; Supplementary Table S3). Several genes showed significant associations across both brain and peripheral tissues. PRSS16 was negatively associated with the FAnxiety component across multiple tissues, including the cerebellum hemisphere (Z = −5.39, FDR = 0.00023), cerebellum (Z = −5.24, FDR = 0.00042), and prostate (Z = −5.23, FDR = 0.00028). In testis tissue, CTD-2334D19.1 was positively associated (Z = 4.87, FDR = 0.0023), whereas BTN1A1 showed a negative association (Z = −4.51, FDR = 0.00796). PCLO exhibited tissue-dependent directions of association, showing negative associations in basal ganglia nuclei (nucleus accumbens and caudate; Z = −4.88, FDR = 0.0032) and positive associations in the stomach (Z = 4.83, FDR = 0.0027). BTN3A2 also demonstrated significant associations across multiple tissues.Fig. 3Integrated TWAS and fastENLOC colocalization analysis across 49 GTEx v8 tissues. (A): Genes significantly associated with the FAnxiety pathway (FDR < 0.05), including RAB27B, PCLO, CTD-2334D19.1, BTN1A1, and PRSS16. (B): Genes significantly associated with the FNon-Anxiety TMD pathway (FDR < 0.05); GPNMB shows nominal associations (p < 0.05) across 25 tissues. (C) Colocalization results for FAnxiety. Blue dots indicate high-confidence colocalized genes (gene-level colocalization probability, GLCP > 0.5), while green dots represent genes with lower confidence (GLCP ≤ 0.5). The dashed line marks the high-confidence threshold (GLCP = 0.5). TWAS-significant genes, including HCG11, ZKSCAN4, BTN3A3, RP5-874C20.6, RAB27B, ZSCAN26, ZKSCAN3, RP11-629G13.1, CTD-2334D19.1, are labeled. (D), Colocalization results for FNon-Anxiety. Red dots represent genes showing suggestive colocalization (GLCP > 0.2), and green dots indicate genes with lower probability (GLCP ≤ 0.2). The dashed line denotes the visualization threshold (GLCP = 0.2). Genes such as KLHL7 and GPNMB showing potential colocalization in brain tissues are highlighted\nIntegrated TWAS and fastENLOC colocalization analysis across 49 GTEx v8 tissues. (A): Genes significantly associated with the FAnxiety pathway (FDR < 0.05), including RAB27B, PCLO, CTD-2334D19.1, BTN1A1, and PRSS16. (B): Genes significantly associated with the FNon-Anxiety TMD pathway (FDR < 0.05); GPNMB shows nominal associations (p < 0.05) across 25 tissues. (C) Colocalization results for FAnxiety. Blue dots indicate high-confidence colocalized genes (gene-level colocalization probability, GLCP > 0.5), while green dots represent genes with lower confidence (GLCP ≤ 0.5). The dashed line marks the high-confidence threshold (GLCP = 0.5). TWAS-significant genes, including HCG11, ZKSCAN4, BTN3A3, RP5-874C20.6, RAB27B, ZSCAN26, ZKSCAN3, RP11-629G13.1, CTD-2334D19.1, are labeled. (D), Colocalization results for FNon-Anxiety. Red dots represent genes showing suggestive colocalization (GLCP > 0.2), and green dots indicate genes with lower probability (GLCP ≤ 0.2). The dashed line denotes the visualization threshold (GLCP = 0.2). Genes such as KLHL7 and GPNMB showing potential colocalization in brain tissues are highlighted\nNotably, four genes—RAB27B, BTN1A1, PRSS16, and PCLO—overlapped with loci identified in the GWAS-by-subtraction analysis, providing convergent evidence and strengthening confidence in these associations.\nIn the FNon-Anxiety pathway (Fig. 3B, Supplementary Table S3), 23 gene–tissue associations (13 unique genes) reached FDR-significance. Among them, AC005082.12 showed significant negative associations across multiple tissues, including the amygdala (Z = −4.72, FDR = 0.0066). In addition, RNASET2, KLHL7, and MLST8 exhibited significant negative associations in brain regions such as the nucleus accumbens and putamen of the basal ganglia.\nNotably, GPNMB, which was annotated at the single genome-wide significant locus for the FNon-Anxiety component, showed nominal-significant associations (p < 0.05) across 25 tissues but did not remain significant after FDR correction (FDR > 0.05).\nTo determine whether these TWAS-implicated expression signals share the same underlying causal variants as the genetic associations, we next conducted colocalization analysis across GTEx v8 tissues.\nIn the FAnxiety pathway, strong colocalization was observed for several TWAS-significant genes, including HCG11 (Brain_Cerebellum, GLCP = 0.94), ZKSCAN4 (Breast_Mammary_Tissue, GLCP = 0.99), and ZSCAN26 (Skin_Not_Sun_Exposed, GLCP = 0.98), indicating shared causal variants influencing gene expression in these tissues (Fig. 3C, Supplementary Table S4). Notably, RAB27B and CTD-2334D19.1, which were identified in both GWAS and TWAS analyzes, were further validated through colocalization, providing convergent evidence for a regulatory mechanism underlying the anxiety-related genetic component of TMD.\nIn contrast, no gene–tissue pair in the FNon-Anxiety component exceeded the predefined GLCP > 0.5 threshold Given the relatively lower statistical power of the FNon-Anxiety component, we additionally present exploratory colocalization results using a relaxed threshold (GLCP > 0.2) (Fig. 3D, Supplementary Table S4). Under this exploratory criterion, KLHL7 (Brain_Caudate_basal_ganglia, GLCP = 0.23; Thyroid, GLCP = 0.26; Brain_Spinal_cord_cervical_c-1, GLCP = 0.34) and GPNMB (Pituitary, GLCP = 0.24; Cells_Cultured_fibroblasts, GLCP = 0.22) showed suggestive, tissue-restricted colocalization signals, consistent with their moderate posterior probabilities from fine-mapping. Although the GLCPs did not exceed 0.5, both genes demonstrated functional relevance in TWAS and/or GWAS annotations, suggesting that the lack of stronger colocalization likely reflects limited power rather than absence of regulatory relevance, and may indicate possible tissue-specific regulatory effects in non-anxiety TMD.\nTo identify protein-level mediators underlying the FAnxiety and FNon-Anxiety genetic components, we examined PWAS results obtained using the BLISS framework.\nAfter multiple-testing correction (FDR < 0.05), nine proteins (ACVR2A, IMPDH2, IL9, NCF1, TLR4, NPTN, GRB2, RAB27B, and WFDC11) showed FDR-significant associations with FAnxiety (Fig. 4A, Supplementary Table S5). Among them, the small GTPase RAB27B (p = 6.40 × 10−5, FDR = 0.0471, z = −3.9974) a key regulator of vesicle docking and neurotransmitter release re-emerged as a convergent signal across GWAS, TWAS, and colocalization analyses (Fig0.4 B). This multi-layer convergence supports a potential role for RAB27B in anxiety-related genetic liability to TMD.Fig. 4Proteome-wide association results and multi-omics Integration/Cross-validation of anxiety-dependent and anxiety-independent genetic components of TMD. (A): Proteome-wide association study (PWAS) results for anxiety-dependent TMD. TMD. TMD. TMD. The red dashed line marks the significance threshold at FDR = 0.05. Genes labeled above this threshold represent significant associations. (B): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analysis. Only one gene (RAB27B) overlapped across all three methods. (C): Proteome-wide association study (PWAS) results for anxiety-independent TMD. The red dashed line marks the significance threshold at p = 0.05. Genes labeled above this threshold represent significant associations. A total of 304 proteins show nominal-level associations (p < 0.05). (D): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analyzes. Two suggestive genes (KLHL7 and GPNMB [in GWAS]) overlapped across all methods\nProteome-wide association results and multi-omics Integration/Cross-validation of anxiety-dependent and anxiety-independent genetic components of TMD. (A): Proteome-wide association study (PWAS) results for anxiety-dependent TMD. TMD. TMD. TMD. The red dashed line marks the significance threshold at FDR = 0.05. Genes labeled above this threshold represent significant associations. (B): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analysis. Only one gene (RAB27B) overlapped across all three methods. (C): Proteome-wide association study (PWAS) results for anxiety-independent TMD. The red dashed line marks the significance threshold at p = 0.05. Genes labeled above this threshold represent significant associations. A total of 304 proteins show nominal-level associations (p < 0.05). (D): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analyzes. Two suggestive genes (KLHL7 and GPNMB [in GWAS]) overlapped across all methods\nOther proteins such as NPTN (p =1.94×10−5, FDR = 0.0233, z = 4.2717), NCF1 (p = 8.31×10−6, FDR = 0.0233, z = 4.4570), and WFDC11 (p = 2.11×10−5, FDR = 0.0233. z = −4.2524) also showed FDR-significant associations (Supplementary Table S5).\nIn contrast, no proteins reached FDR-significance in the FNon-Anxiety group under the FDR < 0.05 threshold (Fig. 4C, Supplementary Table S5). However, 304 proteins showed nominal significance (p < 0.05), including KLHL7 (p = 0.023, FDR = 0.661, z = 2.2789) and GPNMB (p = 0.022, FDR = 0.661, z = 2.2941). Both proteins were consistently implicated across multiple omics layers, including genome-wide annotation (GPNMB only), transcriptome-wide association analysis (KLHL7 only), and colocalization analysis (both genes) (Fig. 4D, Supplementary Table S5), suggesting their potential involvement in the anxiety-independent genetic architecture of TMD.\nTo characterize the neurostructural correlates of distinct genetic components of TMD, we applied the BrainXcan framework to assess associations between each latent genetic loading and imaging-derived phenotypes (IDPs).\nFor FAnxiety, a total of 56 IDPs reached FDR significance. Representative associations involved both subcortical gray matter volumes and white matter microstructural measures (Fig. 5 A, B; Supplementary Table S6).The orientation dispersion (OD) of the right external capsule showed a significant negative association with FAnxiety (IDP-25424, p = 1.78 × 10−9, FDR = 9.70 × 10−9, Z = −5.74), as did the left external capsule OD (IDP-25425,p = 4.54 × 10−6, FDR = 1.32 × 10−5, Z = −4.37). Intracellular volume fraction (ICVF) in the cerebral peduncle was positively associated on both the left (IDP-25359, p = 1.44 × 10−5, FDR = 3.56 × 10−5, Z = 4.13) and right sides (IDP-25358, p = 1.79 × 10−5, FDR = 4.2 × 10−5, Z = 4.10). The gray matter volume of the left amygdala exhibited a significant negative association (IDP-25888, p = 2.09 × 10−6, FDR = 7.03 × 10−6, Z = −5.74).Fig. 5BrainXcan analysis results of anxiety component. (A): Associations between FAnxiety (loading 1) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between FAnxiety (loading 1) and T1 structural MRI phenotypes\nBrainXcan analysis results of anxiety component. (A): Associations between FAnxiety (loading 1) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between FAnxiety (loading 1) and T1 structural MRI phenotypes\nIn the FNon-Anxiety analysis (Fig. 6A,B, Supplementary Table S6), 41 IDPs reached significance at FDR < 0.05. These genetic components are predominantly within cerebellar gray matter and select subcortical nuclei. Right thalamic gray matter volume showed the negative association (IDP-25879, p = 2.24×10−5, FDR = 5.95×10−5, Z = −4.01). Several white matter tracts displayed significant reductions in fractional anisotropy (FA), including the right inferior fronto-occipital fasciculus (IDP-25501, p = 4.36×10−4, FDR = 8.89×10−4, Z = −3.32), corticospinal tract (IDP-25062, p = 2.53×10−3, FDR = 4.18×10−3, Z = −2.86), and corpus callosum genu (IDP-associations were observed in the fornix (IDP-25397, p = 2.00×10−3, FDR = 3.38×10−3, Z = −2.93) and middle frontal gyrus gray matter (IDP-25789, p = 2.47×10−3, FDR = 3.92×10−3, Z = −2.88). Conversely, the right parahippocampal part of the cingulum exhibited a positive association (IDP-25495, p = 2.97×10−3, FDR = 4.84×10−3, Z = 2.82), suggestive of compensatory remodeling0.25442, p = 4.49×10−4, FDR = 9.06×10−4, Z = −3.32). Concurrent negativeFig. 6BrainXcan analysis results of non-anxiety component. (A): Associations between fnon-anxiety (loading 2) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between fnon-anxiety (loading 2) and T1 structural MRI phenotypes\nBrainXcan analysis results of non-anxiety component. (A): Associations between fnon-anxiety (loading 2) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between fnon-anxiety (loading 2) and T1 structural MRI phenotypes\nCollectively, FAnxiety associations predominantly involve subcortical and limbic structures, whereas FNon-Anxiety associations are concentrated in thalamo–frontal–white matter networks, highlighting dual-track differentiation of TMD genetic effects on brain structure.\nTo further contextualize the key genes underlying the FAnxiety and FNon-Anxiety genetic components, we mapped their expression patterns across the 15 cell types identified in the human embryonic TMJC single-cell atlas. This data set comprises 16,624 cells from 3 and 4 month old human embryos, delineating major populations including satellite cells, mesenchymal stem cells, transition state cells, myoblasts, chondrocytes, hypertrophic chondrocytes, tenocytes, endothelial cells, Schwann cells, erythrocytes, leukocytes, osteoclasts, and proliferative subclusters (Fig. 7A). We utilize this embryonic atlas as a representative framework for developmental programming and early tissue biology, acknowledging that while it provides high-resolution cellular insights, it may not serve as a direct proxy for the mature homeostatic or pathological states of adult TMJ tissues.Fig. 7Single-cell expression landscape of prioritized genes in fetal craniofacial and brain tissues. (A) UMAP-based clustering of scRNA-seq data reveals distinct transcriptional populations, including schwann cells, tenocytes, mesenchymal stem cells, satellite cells, chondrocytes, hypertrophic chondrocytes, osteoclasts, endothelial cells, pericytes, leukocytes, myoblasts, transition state cells, erythrocytes, and two proliferative cell clusters. (B) Cell-type–specific expression patterns of prioritized genes are shown across the atlas. RAB27B is enriched in erythrocytes, satellite cells, transition state cells, and endothelial cells. KLHL7 displays broad expression across multiple lineages, with notable enrichment in tenocytes, satellite cells, myoblasts, transition state cells, endothelial cells, mesenchymal stem cells, leukocytes, and proliferative populations. In contrast, GPNMB shows a more restricted pattern with high expression in schwann cells, suggesting distinct cell-type–specific roles in the genetic architecture of temporomandibular disorders\nSingle-cell expression landscape of prioritized genes in fetal craniofacial and brain tissues. (A) UMAP-based clustering of scRNA-seq data reveals distinct transcriptional populations, including schwann cells, tenocytes, mesenchymal stem cells, satellite cells, chondrocytes, hypertrophic chondrocytes, osteoclasts, endothelial cells, pericytes, leukocytes, myoblasts, transition state cells, erythrocytes, and two proliferative cell clusters. (B) Cell-type–specific expression patterns of prioritized genes are shown across the atlas. RAB27B is enriched in erythrocytes, satellite cells, transition state cells, and endothelial cells. KLHL7 displays broad expression across multiple lineages, with notable enrichment in tenocytes, satellite cells, myoblasts, transition state cells, endothelial cells, mesenchymal stem cells, leukocytes, and proliferative populations. In contrast, GPNMB shows a more restricted pattern with high expression in schwann cells, suggesting distinct cell-type–specific roles in the genetic architecture of temporomandibular disorders\nRAB27B (Fig. 7B) displayed a distinct expression profile, with highest abundance in satellite cells, and additional enrichment in erythrocytes, transition state cells, and endothelial cells, suggesting roles in early myogenic or vascular-associated processes.\nKLHL7 (Fig. 7B) showed moderate-to-high expression across multiple lineages, including tenocytes, erythrocytes, satellite cells, myoblasts, transition state cells, endothelial cells, MSCs, leukocytes, and proliferating cells. Notably, tenocytes and satellite cells exhibited the strongest expression peaks, indicating involvement in tendon–muscle developmental interfaces.\nGPNMB (Fig. 7B) demonstrated a highly cell-type-specific pattern, with robust expression in endothelial cells and Schwann cells, and a striking expression peak in erythrocytes, consistent with functions related to vascular development, neural crest–derived lineages, and early erythroid maturation.\nTogether, these cell-type–specific expression profiles provide mechanistic context for the distinct anxiety-related and anxiety-independent genetic pathways, highlighting how central neural, vascular, and musculoskeletal cell populations may differentially contribute to TMD heterogeneity.\n\n\n### Decomposition of TMD genetic liability into anxiety-dependent and anxiety-independent components\nBefore identifying component-specific loci, we first evaluated the overall genetic relationship between anxiety and temporomandibular disorders (TMD). The two traits showed a substantial genetic correlation (rg = 0.4417, p = 1.98 × 10−19). Within the GWAS-by-subtraction framework, the anxiety-related component (FAnxiety) accounted for 19.50% of the heritable variation in TMD (factor loading = 0.4417), whereas the anxiety-independent component (FNon-Anxiety) explained the remaining 80.50% (factor loading = 0.8972).\nBuilding on this shared genetic architecture, we then used GWAS-by-subtraction to separate TMD into an anxiety-dependent (FAnxiety) and an anxiety-independent (FNon-Anxiety) component and began examining their genome-wide association results.\nWe applied the standard genome-wide significance threshold (p < 5 × 10−8) to identify significant loci across the genome. In the FAnxiety pathway (Fig. 2A, Supplementary Table S1), 15 SNPs reached genome-wide significance. The candidate genes located near these significant loci included CNTNAP5, MAP2, PRR16, NUDT12, ZSCAN12, BTN1A1, OR14J1, PRSS16, HIST1H2BL, PCLO, PTPRD, DRD2, SOX5, FARP1, and RAB27B.Fig. 2Integrated genome-wide association and SuSiE fine-mapping of anxiety-dependent and anxiety-independent genetic components of TMD. (A) Manhattan plot for the anxiety-dependent (FAnxiety pathway) component. The red dashed line denotes the genome-wide significance threshold (p = 5 × 108). (B) Manhattan plot for the anxiety-independent (FNon-Anxiety pathway) component, following the same conventions. (C) in the FAnxiety pathway, multiple loci exceed the confidence threshold (PIP > 0.8), with significant signals annotated, indicating focused genetic architecture. (D): In the FNon-Anxiety pathway, no loci surpass the PIP threshold, suggesting weaker genetic signals or a polygenic distribution pattern\nIntegrated genome-wide association and SuSiE fine-mapping of anxiety-dependent and anxiety-independent genetic components of TMD. (A) Manhattan plot for the anxiety-dependent (FAnxiety pathway) component. The red dashed line denotes the genome-wide significance threshold (p = 5 × 108). (B) Manhattan plot for the anxiety-independent (FNon-Anxiety pathway) component, following the same conventions. (C) in the FAnxiety pathway, multiple loci exceed the confidence threshold (PIP > 0.8), with significant signals annotated, indicating focused genetic architecture. (D): In the FNon-Anxiety pathway, no loci surpass the PIP threshold, suggesting weaker genetic signals or a polygenic distribution pattern\nIn contrast, in the FNon-Anxiety pathway (Fig. 2B, Supplementary Table S1), we identified one independent genome-wide significant SNP, whose nearest gene was GPNMB.\n\n\n### Fine-mapping reveals distinct causal architectures for anxiety-dependent and anxiety-independent TMD\nTo further refine these genome-wide signals and identify putative causal variants underlying the FAnxiety and FNon-Anxiety components, we performed Bayesian fine-mapping using the SuSiE framework. For the FAnxiety component, 20 high-confidence causal candidates were identified (Fig.2 C, Supplementary Table S2), including rs149045429, rs116591906, rs372300033, rs145667901, and rs76429896, located near the GPX6, SCAND3, RPSAP2, and SMIM15P2 genes, respectively. Notably, rs149045429, located on chromosome 6 (position: 28,490,915), exhibited an exceptionally high PIP value (0.998) in the SuSiE analysis, strongly supporting its causal role in the anxiety-related TMD pathway.\nIn contrast, the FNon-Anxiety analysis (Fig. 2D, Supplementary Table S2) did not reveal any variant with PIP > 0.8; however, one 95% credible set containing a single SNP (rs199354) was identified, suggesting a more limited or distinct causal genetic basis for the anxiety-independent component.\n\n\n### TWAS highlights component-specific regulatory gene signatures\nTo translate variant-level associations into gene-expression–level insights and identify transcriptionally mediated effects for each latent component, we conducted TWAS using the FUSION framework.\nWe performed cross-tissue analyses to prioritize genes associated with the FAnxiety component. After FDR correction (FDR < 0.05), we identified 1355 FDR-significant gene–tissue associations (420 unique genes) across multiple tissues (Fig. 3A; Supplementary Table S3). Several genes showed significant associations across both brain and peripheral tissues. PRSS16 was negatively associated with the FAnxiety component across multiple tissues, including the cerebellum hemisphere (Z = −5.39, FDR = 0.00023), cerebellum (Z = −5.24, FDR = 0.00042), and prostate (Z = −5.23, FDR = 0.00028). In testis tissue, CTD-2334D19.1 was positively associated (Z = 4.87, FDR = 0.0023), whereas BTN1A1 showed a negative association (Z = −4.51, FDR = 0.00796). PCLO exhibited tissue-dependent directions of association, showing negative associations in basal ganglia nuclei (nucleus accumbens and caudate; Z = −4.88, FDR = 0.0032) and positive associations in the stomach (Z = 4.83, FDR = 0.0027). BTN3A2 also demonstrated significant associations across multiple tissues.Fig. 3Integrated TWAS and fastENLOC colocalization analysis across 49 GTEx v8 tissues. (A): Genes significantly associated with the FAnxiety pathway (FDR < 0.05), including RAB27B, PCLO, CTD-2334D19.1, BTN1A1, and PRSS16. (B): Genes significantly associated with the FNon-Anxiety TMD pathway (FDR < 0.05); GPNMB shows nominal associations (p < 0.05) across 25 tissues. (C) Colocalization results for FAnxiety. Blue dots indicate high-confidence colocalized genes (gene-level colocalization probability, GLCP > 0.5), while green dots represent genes with lower confidence (GLCP ≤ 0.5). The dashed line marks the high-confidence threshold (GLCP = 0.5). TWAS-significant genes, including HCG11, ZKSCAN4, BTN3A3, RP5-874C20.6, RAB27B, ZSCAN26, ZKSCAN3, RP11-629G13.1, CTD-2334D19.1, are labeled. (D), Colocalization results for FNon-Anxiety. Red dots represent genes showing suggestive colocalization (GLCP > 0.2), and green dots indicate genes with lower probability (GLCP ≤ 0.2). The dashed line denotes the visualization threshold (GLCP = 0.2). Genes such as KLHL7 and GPNMB showing potential colocalization in brain tissues are highlighted\nIntegrated TWAS and fastENLOC colocalization analysis across 49 GTEx v8 tissues. (A): Genes significantly associated with the FAnxiety pathway (FDR < 0.05), including RAB27B, PCLO, CTD-2334D19.1, BTN1A1, and PRSS16. (B): Genes significantly associated with the FNon-Anxiety TMD pathway (FDR < 0.05); GPNMB shows nominal associations (p < 0.05) across 25 tissues. (C) Colocalization results for FAnxiety. Blue dots indicate high-confidence colocalized genes (gene-level colocalization probability, GLCP > 0.5), while green dots represent genes with lower confidence (GLCP ≤ 0.5). The dashed line marks the high-confidence threshold (GLCP = 0.5). TWAS-significant genes, including HCG11, ZKSCAN4, BTN3A3, RP5-874C20.6, RAB27B, ZSCAN26, ZKSCAN3, RP11-629G13.1, CTD-2334D19.1, are labeled. (D), Colocalization results for FNon-Anxiety. Red dots represent genes showing suggestive colocalization (GLCP > 0.2), and green dots indicate genes with lower probability (GLCP ≤ 0.2). The dashed line denotes the visualization threshold (GLCP = 0.2). Genes such as KLHL7 and GPNMB showing potential colocalization in brain tissues are highlighted\nNotably, four genes—RAB27B, BTN1A1, PRSS16, and PCLO—overlapped with loci identified in the GWAS-by-subtraction analysis, providing convergent evidence and strengthening confidence in these associations.\nIn the FNon-Anxiety pathway (Fig. 3B, Supplementary Table S3), 23 gene–tissue associations (13 unique genes) reached FDR-significance. Among them, AC005082.12 showed significant negative associations across multiple tissues, including the amygdala (Z = −4.72, FDR = 0.0066). In addition, RNASET2, KLHL7, and MLST8 exhibited significant negative associations in brain regions such as the nucleus accumbens and putamen of the basal ganglia.\nNotably, GPNMB, which was annotated at the single genome-wide significant locus for the FNon-Anxiety component, showed nominal-significant associations (p < 0.05) across 25 tissues but did not remain significant after FDR correction (FDR > 0.05).\n\n\n### Colocalization analysis identifies shared regulatory signals across genetic components\nTo determine whether these TWAS-implicated expression signals share the same underlying causal variants as the genetic associations, we next conducted colocalization analysis across GTEx v8 tissues.\nIn the FAnxiety pathway, strong colocalization was observed for several TWAS-significant genes, including HCG11 (Brain_Cerebellum, GLCP = 0.94), ZKSCAN4 (Breast_Mammary_Tissue, GLCP = 0.99), and ZSCAN26 (Skin_Not_Sun_Exposed, GLCP = 0.98), indicating shared causal variants influencing gene expression in these tissues (Fig. 3C, Supplementary Table S4). Notably, RAB27B and CTD-2334D19.1, which were identified in both GWAS and TWAS analyzes, were further validated through colocalization, providing convergent evidence for a regulatory mechanism underlying the anxiety-related genetic component of TMD.\nIn contrast, no gene–tissue pair in the FNon-Anxiety component exceeded the predefined GLCP > 0.5 threshold Given the relatively lower statistical power of the FNon-Anxiety component, we additionally present exploratory colocalization results using a relaxed threshold (GLCP > 0.2) (Fig. 3D, Supplementary Table S4). Under this exploratory criterion, KLHL7 (Brain_Caudate_basal_ganglia, GLCP = 0.23; Thyroid, GLCP = 0.26; Brain_Spinal_cord_cervical_c-1, GLCP = 0.34) and GPNMB (Pituitary, GLCP = 0.24; Cells_Cultured_fibroblasts, GLCP = 0.22) showed suggestive, tissue-restricted colocalization signals, consistent with their moderate posterior probabilities from fine-mapping. Although the GLCPs did not exceed 0.5, both genes demonstrated functional relevance in TWAS and/or GWAS annotations, suggesting that the lack of stronger colocalization likely reflects limited power rather than absence of regulatory relevance, and may indicate possible tissue-specific regulatory effects in non-anxiety TMD.\n\n\n### Proteome-wide association analysis identifies protein-level mediators of TMD genetic components\nTo identify protein-level mediators underlying the FAnxiety and FNon-Anxiety genetic components, we examined PWAS results obtained using the BLISS framework.\nAfter multiple-testing correction (FDR < 0.05), nine proteins (ACVR2A, IMPDH2, IL9, NCF1, TLR4, NPTN, GRB2, RAB27B, and WFDC11) showed FDR-significant associations with FAnxiety (Fig. 4A, Supplementary Table S5). Among them, the small GTPase RAB27B (p = 6.40 × 10−5, FDR = 0.0471, z = −3.9974) a key regulator of vesicle docking and neurotransmitter release re-emerged as a convergent signal across GWAS, TWAS, and colocalization analyses (Fig0.4 B). This multi-layer convergence supports a potential role for RAB27B in anxiety-related genetic liability to TMD.Fig. 4Proteome-wide association results and multi-omics Integration/Cross-validation of anxiety-dependent and anxiety-independent genetic components of TMD. (A): Proteome-wide association study (PWAS) results for anxiety-dependent TMD. TMD. TMD. TMD. The red dashed line marks the significance threshold at FDR = 0.05. Genes labeled above this threshold represent significant associations. (B): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analysis. Only one gene (RAB27B) overlapped across all three methods. (C): Proteome-wide association study (PWAS) results for anxiety-independent TMD. The red dashed line marks the significance threshold at p = 0.05. Genes labeled above this threshold represent significant associations. A total of 304 proteins show nominal-level associations (p < 0.05). (D): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analyzes. Two suggestive genes (KLHL7 and GPNMB [in GWAS]) overlapped across all methods\nProteome-wide association results and multi-omics Integration/Cross-validation of anxiety-dependent and anxiety-independent genetic components of TMD. (A): Proteome-wide association study (PWAS) results for anxiety-dependent TMD. TMD. TMD. TMD. The red dashed line marks the significance threshold at FDR = 0.05. Genes labeled above this threshold represent significant associations. (B): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analysis. Only one gene (RAB27B) overlapped across all three methods. (C): Proteome-wide association study (PWAS) results for anxiety-independent TMD. The red dashed line marks the significance threshold at p = 0.05. Genes labeled above this threshold represent significant associations. A total of 304 proteins show nominal-level associations (p < 0.05). (D): The venn diagram shows the overlap among candidate genes identified by TWAS, PWAS, and colocalization analyzes. Two suggestive genes (KLHL7 and GPNMB [in GWAS]) overlapped across all methods\nOther proteins such as NPTN (p =1.94×10−5, FDR = 0.0233, z = 4.2717), NCF1 (p = 8.31×10−6, FDR = 0.0233, z = 4.4570), and WFDC11 (p = 2.11×10−5, FDR = 0.0233. z = −4.2524) also showed FDR-significant associations (Supplementary Table S5).\nIn contrast, no proteins reached FDR-significance in the FNon-Anxiety group under the FDR < 0.05 threshold (Fig. 4C, Supplementary Table S5). However, 304 proteins showed nominal significance (p < 0.05), including KLHL7 (p = 0.023, FDR = 0.661, z = 2.2789) and GPNMB (p = 0.022, FDR = 0.661, z = 2.2941). Both proteins were consistently implicated across multiple omics layers, including genome-wide annotation (GPNMB only), transcriptome-wide association analysis (KLHL7 only), and colocalization analysis (both genes) (Fig. 4D, Supplementary Table S5), suggesting their potential involvement in the anxiety-independent genetic architecture of TMD.\n\n\n### BrainXcan reveals divergent neurostructural associations of TMD genetic components\nTo characterize the neurostructural correlates of distinct genetic components of TMD, we applied the BrainXcan framework to assess associations between each latent genetic loading and imaging-derived phenotypes (IDPs).\nFor FAnxiety, a total of 56 IDPs reached FDR significance. Representative associations involved both subcortical gray matter volumes and white matter microstructural measures (Fig. 5 A, B; Supplementary Table S6).The orientation dispersion (OD) of the right external capsule showed a significant negative association with FAnxiety (IDP-25424, p = 1.78 × 10−9, FDR = 9.70 × 10−9, Z = −5.74), as did the left external capsule OD (IDP-25425,p = 4.54 × 10−6, FDR = 1.32 × 10−5, Z = −4.37). Intracellular volume fraction (ICVF) in the cerebral peduncle was positively associated on both the left (IDP-25359, p = 1.44 × 10−5, FDR = 3.56 × 10−5, Z = 4.13) and right sides (IDP-25358, p = 1.79 × 10−5, FDR = 4.2 × 10−5, Z = 4.10). The gray matter volume of the left amygdala exhibited a significant negative association (IDP-25888, p = 2.09 × 10−6, FDR = 7.03 × 10−6, Z = −5.74).Fig. 5BrainXcan analysis results of anxiety component. (A): Associations between FAnxiety (loading 1) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between FAnxiety (loading 1) and T1 structural MRI phenotypes\nBrainXcan analysis results of anxiety component. (A): Associations between FAnxiety (loading 1) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between FAnxiety (loading 1) and T1 structural MRI phenotypes\nIn the FNon-Anxiety analysis (Fig. 6A,B, Supplementary Table S6), 41 IDPs reached significance at FDR < 0.05. These genetic components are predominantly within cerebellar gray matter and select subcortical nuclei. Right thalamic gray matter volume showed the negative association (IDP-25879, p = 2.24×10−5, FDR = 5.95×10−5, Z = −4.01). Several white matter tracts displayed significant reductions in fractional anisotropy (FA), including the right inferior fronto-occipital fasciculus (IDP-25501, p = 4.36×10−4, FDR = 8.89×10−4, Z = −3.32), corticospinal tract (IDP-25062, p = 2.53×10−3, FDR = 4.18×10−3, Z = −2.86), and corpus callosum genu (IDP-associations were observed in the fornix (IDP-25397, p = 2.00×10−3, FDR = 3.38×10−3, Z = −2.93) and middle frontal gyrus gray matter (IDP-25789, p = 2.47×10−3, FDR = 3.92×10−3, Z = −2.88). Conversely, the right parahippocampal part of the cingulum exhibited a positive association (IDP-25495, p = 2.97×10−3, FDR = 4.84×10−3, Z = 2.82), suggestive of compensatory remodeling0.25442, p = 4.49×10−4, FDR = 9.06×10−4, Z = −3.32). Concurrent negativeFig. 6BrainXcan analysis results of non-anxiety component. (A): Associations between fnon-anxiety (loading 2) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between fnon-anxiety (loading 2) and T1 structural MRI phenotypes\nBrainXcan analysis results of non-anxiety component. (A): Associations between fnon-anxiety (loading 2) and diffusion MRI phenotypes. Orange regions indicate volume increases (2 < z ≤ 4), while blue regions indicate volume decreases (−4 < z ≤–2). (B): Associations between fnon-anxiety (loading 2) and T1 structural MRI phenotypes\nCollectively, FAnxiety associations predominantly involve subcortical and limbic structures, whereas FNon-Anxiety associations are concentrated in thalamo–frontal–white matter networks, highlighting dual-track differentiation of TMD genetic effects on brain structure.\n\n\n### Cell-type expression mapping provides developmental context for TMD genetic pathways\nTo further contextualize the key genes underlying the FAnxiety and FNon-Anxiety genetic components, we mapped their expression patterns across the 15 cell types identified in the human embryonic TMJC single-cell atlas. This data set comprises 16,624 cells from 3 and 4 month old human embryos, delineating major populations including satellite cells, mesenchymal stem cells, transition state cells, myoblasts, chondrocytes, hypertrophic chondrocytes, tenocytes, endothelial cells, Schwann cells, erythrocytes, leukocytes, osteoclasts, and proliferative subclusters (Fig. 7A). We utilize this embryonic atlas as a representative framework for developmental programming and early tissue biology, acknowledging that while it provides high-resolution cellular insights, it may not serve as a direct proxy for the mature homeostatic or pathological states of adult TMJ tissues.Fig. 7Single-cell expression landscape of prioritized genes in fetal craniofacial and brain tissues. (A) UMAP-based clustering of scRNA-seq data reveals distinct transcriptional populations, including schwann cells, tenocytes, mesenchymal stem cells, satellite cells, chondrocytes, hypertrophic chondrocytes, osteoclasts, endothelial cells, pericytes, leukocytes, myoblasts, transition state cells, erythrocytes, and two proliferative cell clusters. (B) Cell-type–specific expression patterns of prioritized genes are shown across the atlas. RAB27B is enriched in erythrocytes, satellite cells, transition state cells, and endothelial cells. KLHL7 displays broad expression across multiple lineages, with notable enrichment in tenocytes, satellite cells, myoblasts, transition state cells, endothelial cells, mesenchymal stem cells, leukocytes, and proliferative populations. In contrast, GPNMB shows a more restricted pattern with high expression in schwann cells, suggesting distinct cell-type–specific roles in the genetic architecture of temporomandibular disorders\nSingle-cell expression landscape of prioritized genes in fetal craniofacial and brain tissues. (A) UMAP-based clustering of scRNA-seq data reveals distinct transcriptional populations, including schwann cells, tenocytes, mesenchymal stem cells, satellite cells, chondrocytes, hypertrophic chondrocytes, osteoclasts, endothelial cells, pericytes, leukocytes, myoblasts, transition state cells, erythrocytes, and two proliferative cell clusters. (B) Cell-type–specific expression patterns of prioritized genes are shown across the atlas. RAB27B is enriched in erythrocytes, satellite cells, transition state cells, and endothelial cells. KLHL7 displays broad expression across multiple lineages, with notable enrichment in tenocytes, satellite cells, myoblasts, transition state cells, endothelial cells, mesenchymal stem cells, leukocytes, and proliferative populations. In contrast, GPNMB shows a more restricted pattern with high expression in schwann cells, suggesting distinct cell-type–specific roles in the genetic architecture of temporomandibular disorders\nRAB27B (Fig. 7B) displayed a distinct expression profile, with highest abundance in satellite cells, and additional enrichment in erythrocytes, transition state cells, and endothelial cells, suggesting roles in early myogenic or vascular-associated processes.\nKLHL7 (Fig. 7B) showed moderate-to-high expression across multiple lineages, including tenocytes, erythrocytes, satellite cells, myoblasts, transition state cells, endothelial cells, MSCs, leukocytes, and proliferating cells. Notably, tenocytes and satellite cells exhibited the strongest expression peaks, indicating involvement in tendon–muscle developmental interfaces.\nGPNMB (Fig. 7B) demonstrated a highly cell-type-specific pattern, with robust expression in endothelial cells and Schwann cells, and a striking expression peak in erythrocytes, consistent with functions related to vascular development, neural crest–derived lineages, and early erythroid maturation.\nTogether, these cell-type–specific expression profiles provide mechanistic context for the distinct anxiety-related and anxiety-independent genetic pathways, highlighting how central neural, vascular, and musculoskeletal cell populations may differentially contribute to TMD heterogeneity.\n\n\n### Discussion\nIn this study, we provide first genomic insights into the potential genetic divergence between anxiety-related and anxiety-independent forms of TMD. Leveraging a large-scale genomic data set and a GWAS-by-subtraction framework, our analysis explores a long-standing discussion in orofacial pain biology: whether anxiety in TMD represents a secondary comorbidity or aligns with a distinct biological architecture. By partitioning TMD liability into anxiety-related and anxiety-independent components, we identified that these clinical presentations are associated with distinct genetic signatures, diverging neuroanatomical correlates, and specific cellular expression patterns. These findings offer an alternative to the traditional “unitary” view of TMD pain, suggesting that the disorder may be characterized by at least two potential biological types: a “central-affective” pattern associated with synaptic and limbic system correlates, and a “peripheral-structural” pattern linked to musculoskeletal and sensory relay alterations, consistent with recent conceptual frameworks [9]. Rather than establishing definitive causal pathways, our results provide a biologically informed foundation for generating hypotheses in future mechanistic and prospective clinical studies [9].\nThe anxiety-dependent component FAnxiety exhibited a highly polygenic architecture enriched for genes involved in synaptic transmission and neuroplasticity. A convergent “star” candidate emerging from our multi-omics interrogation is RAB27B. This gene, validated across GWAS, TWAS, PWAS, and colocalization analyzes, encodes a GTPase involved in vesicle trafficking and neurotransmitter release. Rab GTPases regulate synaptic vesicle cycling and receptor surface availability in the central nervous system, forming a molecular basis for synaptic plasticity and central sensitization. RAB27B cooperates with Rab3 to mediate calcium-dependent neurotransmitter release, and Rab proteins require geranylgeranylation for proper membrane localization and activation. Variants that disrupt this modification may impair vesicular transport and alter synaptic transmission efficiency. Through these mechanisms, RAB27B can modulate neuronal excitability and facilitate central sensitization, thereby amplifying pain processing [38–40]. The identification of PCLO (a presynaptic cytomatrix protein) and PRSS16 further reinforces the hypothesis that anxiety-associated TMD is driven by synaptic gain-of-function [41–44].\nFrom a clinical perspective, such centrally mediated amplification is expressed as a spectrum of overlapping pain phenotypes in TMD, including arthralgia, disc displacement, and osteoarthritic changes, frequently accompanied by myalgia and myofascial pain. This phenotypic convergence reflects the integrated functional organization of the temporomandibular joint, masticatory muscles, tendons, and ligamentous structures, indicating that TMD-related pain arises from coordinated dysfunction across multiple tissues rather than from isolated joint pathology. These features provide a clinical rationale for extending mechanistic investigations beyond TMJ tissue alone and motivate single-cell analyses that encompass the broader stomatognathic system.\nWithin this multilevel framework, our PWAS results further implicate a neuro-immune interface in anxiety-related TMD. Elevated FAnxiety genetic risk was associated with altered plasma levels of RAB27B and inflammatory mediators such as NCF1 and TLR4, consistent with peripheral immune signaling interacting with central neuroplasticity [45, 46]. Furthermore, the enrichment of RAB27B in satellite cells of the TMJ condyle suggests that peripheral glial–neuronal crosstalk may serve as an initiating node linking local tissue responses to central sensitization.\nOur BrainXcan analysis provided further structural context to these genetic findings. FAnxiety was significantly associated with reduced gray matter volume in the amygdala and altered microstructure in the external capsule. The amygdala is recognized as the hub of the “emotional brain,” often linked to fear conditioning and the emotional shaping of pain [47–50]. Atrophy or dysfunction in the amygdala is a hallmark of chronic pain states comorbid with anxiety, which may relate to the excitotoxic effects of sustained stress signaling [51, 52]. The specific involvement of the external capsule, a white matter tract connecting the striatum and cerebral cortex, could suggest potential disruption in the connectivity of networks regulating emotional regulation and pain coping [53, 54]. Together, these data indicate that patients with anxiety-related TMD suffer from a “connectopathy” of the limbic system, where the brain’s ability to dampen nociceptive signals is genetically compromised. Together, these data indicate that patients with anxiety-related TMD may share a genetic liability for a limbic “connectopathy,” in which the brain’s capacity to dampen nociceptive signals is potentially compromised. Because BrainXcan leverages genetically driven variation rather than disease-induced changes, these associations are more consistent with predisposing neuroanatomical correlates rather than mere consequences of chronic pain. However, we emphasize that these BrainXcan associations are not necessarily causal and may reflect horizontal pleiotropy or a shared genetic liability between brain morphology and TMD risk, rather than a direct mechanistic pathway.\nIn striking contrast, the anxiety-independent component FNon-anxiety revealed a distinct, less polygenic profile rooted in structural biology. The most prominent genetic signals were associated with GPNMB (Osteoactivin) and KLHL7. GPNMB is a transmembrane glycoprotein critical for osteoblast differentiation, bone mineralization, and tissue repair [55]. The association of this candidate with non-anxiety TMD suggests that in this subgroup, pain may be linked to processes such as bone remodeling or localized inflammatory responses at the joint level, potentially independent of central psychological modulation. Similarly, KLHL7, a component of the ubiquitin-proteasome system, implies a role in protein homeostasis essential for maintaining musculoskeletal tissue integrity under mechanical stress [56]. Given these functions, it is plausible that both genes are involved in pathways associated with responses to parafunctional loading—such as bruxism—or to muscle-driven mechanical activation at the periosteal–bone interface. Such mechanisms offer a potential biological framework for understanding how repetitive masticatory muscle activity and excessive mechanical strain might correlate with peripheral tissue changes observed in anxiety-independent TMD. The cellular mapping of these genes further aligns with this “peripheral” hypothesis. KLHL7 exhibited peak expression in tenocytes and satellite cells, while GPNMB showed high expression in erythrocytes and endothelial cells within the TMJ condyle. This localization suggests a potential genetic vulnerability at the tendon-muscle interface and vascular microenvironment. Clinically, these findings suggest that TMD unaccompanied by anxiety may be characterized by biomechanical failure and localized tissue inflammation, rather than being primarily driven by central amplification. This perspective aligns with clinical observations in patients exhibiting bruxism or other parafunctional loading behaviors, where repetitive masticatory muscle activity may impose excessive mechanical stress on the TMJ and surrounding tissues, thereby correlating with the peripheral signature’s characteristic of anxiety-independent TMD.\nThe neuroimaging associations for FNon-anxiety were notably distinct from the limbic patterns observed in the anxiety group. This component exhibited a significant association with structural alterations in the thalamus (the primary sensory relay center) and the corticospinal tract. Given that the thalamus acts as a gateway for nociceptive input to the cortex, these alterations are consistent with a potential dysregulation in the raw transmission of sensory data, rather than its emotional processing [18, 57–59]. Furthermore, the involvement of motor pathways (corticospinal tract) and cerebellar gray matter suggests that anxiety-independent TMD may share a genetic liability for maladaptive motor control of the jaw. This potentially links the condition to parafunctional habits, such as bruxism, which are mechanical rather than purely affective in origin. Genetically driven variances in dopaminergic (e.g., DRD2) or serotonergic signaling (e.g., HTR2A), both of which have been implicated in bruxism [60, 61], may predispose individuals to such disinhibition within the thalamo-motor loops [62, 63], These genetic factors may thus provide a molecular scaffold for the observed structural plasticity in motor tracts, appearing independent of limbic interference. As with the anxiety-related findings, these BrainXcan associations should be interpreted as genetically driven correlates rather than definitive causal pathways, acknowledging the potential for horizontal pleiotropy.\nCurrent management of TMD often employs a “trial-and-error” approach, treating all patients with similar protocols of Supported Self Management [64], splint therapy, NSAIDs, or physical therapy [65]. Consideration of Axis II factors, namely psychosocial distress, has been established as a standard component of comprehensive care for patients with TMD-related pain [66]. Specifically, the FAnxiety component identifies a central-affective type driven by synaptic and neuroimmune pathways, suggesting that for TMD patients with high anxiety load, future clinical strategies could extend beyond symptom-based counseling. Clinicians might consider early screening for these “central” genetic predispositions. For this subgroup, management could be tailored toward early-stage neuromodulatory treatments, such as antidepressants or anticonvulsants with analgesic properties, or targeted cognitive-behavioral interventions aimed at modulating limbic–synaptic circuits. In contrast, the FNon-anxiety component highlights musculoskeletal remodeling and peripheral inflammatory mechanisms. Patients predominantly exhibiting this genetic signature may benefit more from restorative biomechanical stabilization, including precision splint therapy to reduce joint loading, along with localized anti-inflammatory interventions or physical therapies targeting temporomandibular joint tissue remodeling. While these pathways suggest a potential roadmap for precision TMD care, they remain hypothesis-generating frameworks that require rigorous prospective validation before adoption as clinical protocols.\nA key strength of this study is the application of GWAS-by-subtraction to disentangle correlated genetic liabilities, enabling separation of anxiety-related and anxiety-independent components within TMD at the population level. This framework is further strengthened by an integrative multi-omics approach linking genetic variation to transcriptional (TWAS), proteomic (PWAS), neurostructural (BrainXcan), and cell-type–specific (scRNA-seq) contexts, providing convergent evidence across multiple biological layers.\nSeveral limitations warrant consideration. First, the FinnGen TMD definition (ICD-10 K07.6) captures clinically heterogeneous presentations, including both painful and non-painful cases. Because individual-level symptom data are unavailable, we were unable to stratify cases by pain status or directly quantify pain-related genetic effects. Second, anxiety was modeled as a broad, cross-disorder phenotype; thus, the FAnxiety component likely reflects a shared genetic core across anxiety-related conditions, with possible contribution from depressive traits.\nThird, although the underlying FinnGen GWAS uses a standard case–control design with non-TMD controls, the present analyses do not constitute a new case–control comparison. Instead, GWAS-by-subtraction partitions genetic liability within TMD into orthogonal latent components. Accordingly, the findings should be interpreted as associative genetic stratification rather than causal effects or clinically observable subtypes. Establishing causality or clinical specificity will require future studies with individual-level data and detailed phenotyping.\nAdditional limitations include reliance on summary-level GWAS data, which precludes direct modeling of individual-level heterogeneity, and the interpretive constraints of statistical colocalization, which indicates shared variants rather than biological causality. Finally, single-cell analyses were restricted to embryonic TMJ complex tissues due to the lack of adult human TMJ scRNA-seq data; these results are therefore interpreted as reflecting developmental programming and lineage context rather than adult disease states.\nIn conclusion, our findings suggest that TMD may not be a unitary genetic entity but rather a heterogeneous condition associated with at least two distinct biological signatures. The presence of anxiety in TMD may be viewed not merely as a comorbid symptom, but as a potential marker of a specific genetic architecture characterized by synaptic and limbic correlates. This architecture is distinct from the musculoskeletal and sensory-relay liabilities observed in anxiety-independent TMD. Rather than establishing definitive causal pathways, these findings provide a biologically informed framework for understanding the heterogeneity of TMD. This framework may offer a foundation for future precision medicine approaches that consider the diverse genetic liabilities underlying an individual patient’s pain profile.\n\n\n### The central-affective component: synaptic plasticity and limbic dysregulation\nThe anxiety-dependent component FAnxiety exhibited a highly polygenic architecture enriched for genes involved in synaptic transmission and neuroplasticity. A convergent “star” candidate emerging from our multi-omics interrogation is RAB27B. This gene, validated across GWAS, TWAS, PWAS, and colocalization analyzes, encodes a GTPase involved in vesicle trafficking and neurotransmitter release. Rab GTPases regulate synaptic vesicle cycling and receptor surface availability in the central nervous system, forming a molecular basis for synaptic plasticity and central sensitization. RAB27B cooperates with Rab3 to mediate calcium-dependent neurotransmitter release, and Rab proteins require geranylgeranylation for proper membrane localization and activation. Variants that disrupt this modification may impair vesicular transport and alter synaptic transmission efficiency. Through these mechanisms, RAB27B can modulate neuronal excitability and facilitate central sensitization, thereby amplifying pain processing [38–40]. The identification of PCLO (a presynaptic cytomatrix protein) and PRSS16 further reinforces the hypothesis that anxiety-associated TMD is driven by synaptic gain-of-function [41–44].\nFrom a clinical perspective, such centrally mediated amplification is expressed as a spectrum of overlapping pain phenotypes in TMD, including arthralgia, disc displacement, and osteoarthritic changes, frequently accompanied by myalgia and myofascial pain. This phenotypic convergence reflects the integrated functional organization of the temporomandibular joint, masticatory muscles, tendons, and ligamentous structures, indicating that TMD-related pain arises from coordinated dysfunction across multiple tissues rather than from isolated joint pathology. These features provide a clinical rationale for extending mechanistic investigations beyond TMJ tissue alone and motivate single-cell analyses that encompass the broader stomatognathic system.\nWithin this multilevel framework, our PWAS results further implicate a neuro-immune interface in anxiety-related TMD. Elevated FAnxiety genetic risk was associated with altered plasma levels of RAB27B and inflammatory mediators such as NCF1 and TLR4, consistent with peripheral immune signaling interacting with central neuroplasticity [45, 46]. Furthermore, the enrichment of RAB27B in satellite cells of the TMJ condyle suggests that peripheral glial–neuronal crosstalk may serve as an initiating node linking local tissue responses to central sensitization.\n\n\n### Neuroanatomical substrates of anxiety-related TMD\nOur BrainXcan analysis provided further structural context to these genetic findings. FAnxiety was significantly associated with reduced gray matter volume in the amygdala and altered microstructure in the external capsule. The amygdala is recognized as the hub of the “emotional brain,” often linked to fear conditioning and the emotional shaping of pain [47–50]. Atrophy or dysfunction in the amygdala is a hallmark of chronic pain states comorbid with anxiety, which may relate to the excitotoxic effects of sustained stress signaling [51, 52]. The specific involvement of the external capsule, a white matter tract connecting the striatum and cerebral cortex, could suggest potential disruption in the connectivity of networks regulating emotional regulation and pain coping [53, 54]. Together, these data indicate that patients with anxiety-related TMD suffer from a “connectopathy” of the limbic system, where the brain’s ability to dampen nociceptive signals is genetically compromised. Together, these data indicate that patients with anxiety-related TMD may share a genetic liability for a limbic “connectopathy,” in which the brain’s capacity to dampen nociceptive signals is potentially compromised. Because BrainXcan leverages genetically driven variation rather than disease-induced changes, these associations are more consistent with predisposing neuroanatomical correlates rather than mere consequences of chronic pain. However, we emphasize that these BrainXcan associations are not necessarily causal and may reflect horizontal pleiotropy or a shared genetic liability between brain morphology and TMD risk, rather than a direct mechanistic pathway.\n\n\n### The anxiety-independent component: peripheral pathology and structural integrity\nIn striking contrast, the anxiety-independent component FNon-anxiety revealed a distinct, less polygenic profile rooted in structural biology. The most prominent genetic signals were associated with GPNMB (Osteoactivin) and KLHL7. GPNMB is a transmembrane glycoprotein critical for osteoblast differentiation, bone mineralization, and tissue repair [55]. The association of this candidate with non-anxiety TMD suggests that in this subgroup, pain may be linked to processes such as bone remodeling or localized inflammatory responses at the joint level, potentially independent of central psychological modulation. Similarly, KLHL7, a component of the ubiquitin-proteasome system, implies a role in protein homeostasis essential for maintaining musculoskeletal tissue integrity under mechanical stress [56]. Given these functions, it is plausible that both genes are involved in pathways associated with responses to parafunctional loading—such as bruxism—or to muscle-driven mechanical activation at the periosteal–bone interface. Such mechanisms offer a potential biological framework for understanding how repetitive masticatory muscle activity and excessive mechanical strain might correlate with peripheral tissue changes observed in anxiety-independent TMD. The cellular mapping of these genes further aligns with this “peripheral” hypothesis. KLHL7 exhibited peak expression in tenocytes and satellite cells, while GPNMB showed high expression in erythrocytes and endothelial cells within the TMJ condyle. This localization suggests a potential genetic vulnerability at the tendon-muscle interface and vascular microenvironment. Clinically, these findings suggest that TMD unaccompanied by anxiety may be characterized by biomechanical failure and localized tissue inflammation, rather than being primarily driven by central amplification. This perspective aligns with clinical observations in patients exhibiting bruxism or other parafunctional loading behaviors, where repetitive masticatory muscle activity may impose excessive mechanical stress on the TMJ and surrounding tissues, thereby correlating with the peripheral signature’s characteristic of anxiety-independent TMD.\n\n\n### Divergent brain signatures in non-anxiety TMD\nThe neuroimaging associations for FNon-anxiety were notably distinct from the limbic patterns observed in the anxiety group. This component exhibited a significant association with structural alterations in the thalamus (the primary sensory relay center) and the corticospinal tract. Given that the thalamus acts as a gateway for nociceptive input to the cortex, these alterations are consistent with a potential dysregulation in the raw transmission of sensory data, rather than its emotional processing [18, 57–59]. Furthermore, the involvement of motor pathways (corticospinal tract) and cerebellar gray matter suggests that anxiety-independent TMD may share a genetic liability for maladaptive motor control of the jaw. This potentially links the condition to parafunctional habits, such as bruxism, which are mechanical rather than purely affective in origin. Genetically driven variances in dopaminergic (e.g., DRD2) or serotonergic signaling (e.g., HTR2A), both of which have been implicated in bruxism [60, 61], may predispose individuals to such disinhibition within the thalamo-motor loops [62, 63], These genetic factors may thus provide a molecular scaffold for the observed structural plasticity in motor tracts, appearing independent of limbic interference. As with the anxiety-related findings, these BrainXcan associations should be interpreted as genetically driven correlates rather than definitive causal pathways, acknowledging the potential for horizontal pleiotropy.\n\n\n### Clinical implications: toward precision medicine\nCurrent management of TMD often employs a “trial-and-error” approach, treating all patients with similar protocols of Supported Self Management [64], splint therapy, NSAIDs, or physical therapy [65]. Consideration of Axis II factors, namely psychosocial distress, has been established as a standard component of comprehensive care for patients with TMD-related pain [66]. Specifically, the FAnxiety component identifies a central-affective type driven by synaptic and neuroimmune pathways, suggesting that for TMD patients with high anxiety load, future clinical strategies could extend beyond symptom-based counseling. Clinicians might consider early screening for these “central” genetic predispositions. For this subgroup, management could be tailored toward early-stage neuromodulatory treatments, such as antidepressants or anticonvulsants with analgesic properties, or targeted cognitive-behavioral interventions aimed at modulating limbic–synaptic circuits. In contrast, the FNon-anxiety component highlights musculoskeletal remodeling and peripheral inflammatory mechanisms. Patients predominantly exhibiting this genetic signature may benefit more from restorative biomechanical stabilization, including precision splint therapy to reduce joint loading, along with localized anti-inflammatory interventions or physical therapies targeting temporomandibular joint tissue remodeling. While these pathways suggest a potential roadmap for precision TMD care, they remain hypothesis-generating frameworks that require rigorous prospective validation before adoption as clinical protocols.\n\n\n### Strengths and limitations\nA key strength of this study is the application of GWAS-by-subtraction to disentangle correlated genetic liabilities, enabling separation of anxiety-related and anxiety-independent components within TMD at the population level. This framework is further strengthened by an integrative multi-omics approach linking genetic variation to transcriptional (TWAS), proteomic (PWAS), neurostructural (BrainXcan), and cell-type–specific (scRNA-seq) contexts, providing convergent evidence across multiple biological layers.\nSeveral limitations warrant consideration. First, the FinnGen TMD definition (ICD-10 K07.6) captures clinically heterogeneous presentations, including both painful and non-painful cases. Because individual-level symptom data are unavailable, we were unable to stratify cases by pain status or directly quantify pain-related genetic effects. Second, anxiety was modeled as a broad, cross-disorder phenotype; thus, the FAnxiety component likely reflects a shared genetic core across anxiety-related conditions, with possible contribution from depressive traits.\nThird, although the underlying FinnGen GWAS uses a standard case–control design with non-TMD controls, the present analyses do not constitute a new case–control comparison. Instead, GWAS-by-subtraction partitions genetic liability within TMD into orthogonal latent components. Accordingly, the findings should be interpreted as associative genetic stratification rather than causal effects or clinically observable subtypes. Establishing causality or clinical specificity will require future studies with individual-level data and detailed phenotyping.\nAdditional limitations include reliance on summary-level GWAS data, which precludes direct modeling of individual-level heterogeneity, and the interpretive constraints of statistical colocalization, which indicates shared variants rather than biological causality. Finally, single-cell analyses were restricted to embryonic TMJ complex tissues due to the lack of adult human TMJ scRNA-seq data; these results are therefore interpreted as reflecting developmental programming and lineage context rather than adult disease states.\n\n\n### Conclusion\nIn conclusion, our findings suggest that TMD may not be a unitary genetic entity but rather a heterogeneous condition associated with at least two distinct biological signatures. The presence of anxiety in TMD may be viewed not merely as a comorbid symptom, but as a potential marker of a specific genetic architecture characterized by synaptic and limbic correlates. This architecture is distinct from the musculoskeletal and sensory-relay liabilities observed in anxiety-independent TMD. Rather than establishing definitive causal pathways, these findings provide a biologically informed framework for understanding the heterogeneity of TMD. This framework may offer a foundation for future precision medicine approaches that consider the diverse genetic liabilities underlying an individual patient’s pain profile.\n\n\n### Electronic supplementary material\nBelow is the link to the electronic supplementary material.\nSupplementary material 1\nSupplementary material 1", "domain": "affective_neuroscience"}
{"source": "PMC13068534", "title": "Response dynamics of discrete subiculum→retrosplenial cortex projections underlying trace fear conditioning", "text": "# Response dynamics of discrete subiculum→retrosplenial cortex projections underlying trace fear conditioning\n\n## Abstract\nAssociating events separated in time depends on the CA1, subiculum (SUB), and retrosplenial cortex (RSP). The degree to which their connectivity and underlying circuit mechanisms contribute to the association of such temporally discontiguous events is not known. Here we showed, using trace fear conditioning (TFC), wherein mice learn to associate tone and shock separated by a temporal trace, that molecularly distinct excitatory VGluT1+ and VGluT2+ SUB→RSP projections subserve the associative and temporal components of TFC. During trace memory formation, VGluT2+ SUB→RSP projections showed increased and decreased bulk calcium activity at tone and trace onset, respectively, an activity pattern that was re-established during memory recall. Such pattern was not observed after pseudoconditioning, suggesting that learning-specific patterns for the associative and temporal components of TFC emerge at the level of SUB→RSP synapses before being presented to the RSP. Our findings establish a circuit mechanism for representing complex temporal information in episodic memory. •VGluT1+ and VGluT2+ hippocampal outputs support distinct aspects of trace fear•VGluT2+ SUB→RSP afferents exhibit phase-specific dynamics during trace fear•VGluT2+ response dynamics is specific to trace fear learning VGluT1+ and VGluT2+ hippocampal outputs support distinct aspects of trace fear VGluT2+ SUB→RSP afferents exhibit phase-specific dynamics during trace fear VGluT2+ response dynamics is specific to trace fear learning Neuroscience; Omics; Sensory neuroscience\n\n## Full Text\n\n\n### Introduction\nEpisodic memory is defined as a form of consciously recallable long-term memory encompassing details of personally experienced events, including their temporal, spatial, and relational properties.1,2 Beyond simply situating a memory in time, the temporal component of episodic memory holds information regarding the order in which events happened, their durations, and the time intervals between them.3 Collectively, these temporal properties allow individuals to integrate discrete events separated in time into a cohesive and meaningful memory.\nThe capacity to bind discontinuous events can be tested in rodent models with paradigms such as trace fear conditioning (TFC), in which animals learn to associate a tone and foot-shock separated by a temporal gap.4,5,6 TFC requires coordinated activity across multiple components of both hippocampal complex and cerebral cortex to support proper memory formation and recall.4,7 Suppressing activity of the dorsal hippocampal CA1 subfield significantly impairs both conditioning and recall in TFC,8,9,10 while the entorhinal cortex contributes to TFC through NMDAR-mediated glutamatergic projections into the CA1.4,11,12 Silencing the dorsal CA1 projections to the dorsal subiculum (SUB) during the temporal gap impairs TFC memory formation13 and projections from the SUB back into the EC are necessary for TFC memory recall, thus forming a critical circuit within the hippocampal formation underpinning TFC.10,13 In the cortex, the retrosplenial cortex (RSP) contributes significantly to TFC memory formation and extinction,14,15,16 and plays a key role in episodic memory as a temporal processing hub.17 However, while the individual functions of the hippocampal formation and the RSP are well-established, if and how these regions communicate during TFC remains unexplored.\nOur previous work demonstrates that the hippocampal complex interfaces with the RSP via inhibitory projection from the CA118 and glutamatergic projections originating from the SUB, comprising of vesicular glutamate transporter 1 (VGluT1+) and vesicular glutamate transporter 2 (VGluT2+) positive pyramidal neurons,19,20 with different contributions to the formation of associative context memories.18,19 Using TFC in combination with chemogenetic inhibition, we found that while SUB→RSP VGluT1+ and VGluT2+ projections redundantly encoded the aversive tone-shock association, only VGluT2+ projections were required for the processing of the temporal trace. Using fiber photometry, we showed that SUB→RSP VGluT2+ afferents exhibited biphasic calcium transients, with an early calcium peak occurring at tone onset, followed by a pronounced dip during the trace period. This pattern emerged during training, reappeared during recall, and was absent in the pseudoconditioned control group, demonstrating that VGluT2+ SUB→RSP activity patterns specifically encoded the temporal gap.\n\n\n### Results\nIn delay fear conditioning (DFC), mice are exposed to a presentation of a tone terminating with footshock, whereas TFC introduces a temporal gap (trace) between them. In TFC, unlike DFC, the activation of dorsal hippocampus (DH)21 or RSP15 is necessary for the association of tone and shock. To test whether the communication between these two regions is specifically necessary for the formation of the tone-shock association in TFC, we chemogenetically silenced all SUB→RSP excitatory projections using designer receptors exclusively activated by designer drugs (DREADD) during training in both TFC and DFC.\nWe injected the DH of C57BL/6N male mice with Cre-independent inhibitory DREADD AAV8- hM4D(Gi)-mCherry virus and 6 weeks later microinfused the RSP with clozapine-N-oxide (CNO) through bilateral cannulas to locally block presynaptic release from RSP hM4D(Gi)-expressing axon terminals without modifying spiking activity of the cell soma (Figure 1A).22 Our chemogenetic manipulations targeted the SUB→RSP projections, which are the major source of DH afferents to RSP (Figures S1A and S1B).19 In TFC-trained mice, pre-training CNO infusions significantly impaired freezing during the tone and trace at tests, compared with vehicle control (Figure 1B), suggesting that SUB→RSP projections were necessary for the formation of tone-shock association. On the other hand, CNO injection did not affect freezing in DFC-trained mice expressing Cre-independent inhibitory DREADD AAV8-hM4(Gi)-mCherry (Figure 1C). As expected, CNO infusions also had no effect on freezing mice expressing the control virus AAV8-mCherry (Figure S2A). Additionally, at test, DFC trained mice did not freeze post tone, unlike mice trained in TFC paradigm, indicating that one-trial tone-shock pairing allows for clear differentiation between TFC and DFC at the behavioral level (Figure S2B). Together, these findings showed that SUB→RSP projections are necessary for TFC, but not DFC.Figure 1VGluT2+ SUB→RSP afferents are specifically required for processing a temporal trace separating a cue and a shock(A, D, and G) Experimental design of behavioral tasks. Diagrams depict virus infusion sites in DH and cannula placements for CNO injections in RSP (top and right), and viral expression in RSP and DH (bottom and right).(B) When compared to vehicle, CNO injections 30 min before TFC training, impaired freezing at test in response to both the tone and trace periods in mice receiving AAV-hM4D(Gi) (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0098, F(1, 17) = 8.444, factor: phase, p < 0.0001, F(2, 34) = 67.41, factor: trial × phase, p = 0.0084, F(2, 34) = 5.522).(C) CNO injection before training in delay fear conditioning (DFC) did not affect freezing to tone or post-tone when compared to vehicle-injected mice (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.6738, F(1, 17) = 0.1835, factor: phase, p < 0.0001, F(2, 34) = 97.84, factor: trial × phase, p = 0.1764, F(2, 34) = 1.827).(E) In VGluT2-Cre mice, CNO injection 30 min before training significantly impaired freezing during the trace but not tone compared to vehicle group (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0132, F(1, 18) = 7.565, factor: phase, p < 0.0001, F(2, 36) = 41.47, factor: trial × phase, p = 0.0001, F(2, 36) = 12.00.(F) In VGluT1-Cre mice, terminal silencing with CNO did not affect freezing compared to vehicle controls (n = 9; two-way ANOVA with repeated measures; factor: treatment, p = 0.0931, F(1, 16) = 3.189, factor: phase, p < 0.0001, F(2, 32) = 13.78, factor: trial × phase, p = 0.9968, F(2, 32) = 0.003253) when compared to vehicle controls.(H) Injections of CNO (n = 10) before trace-light conditioning (TLC) training did not affect freezing during either the tone or light periods in mice expressing inhibitory DREADD only in VGluT2+ SUB→RSP projections (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.2577, F(1, 18) = 1.366, factor: phase, p < 0.0001, F(2, 36) = 52.27, factor: trial × phase, p = 0.5714, F(2, 36) = 0.5685).(I) Injections of CNO before TLC training significantly impaired freezing to both tone and light when compared to vehicle in mice expressing inhibitory DREADD in all SUB→RSP projections compared to vehicle injected group (n = 5–6; two-way ANOVA with repeated measures; factor: treatment, p = 0.0087, F(1, 9) = 11.12, factor: phase, p < 0.0001, F(2, 18) = 19.01, factor: trial × phase, p = 0.3846, F(2, 18) = 1.008. Data presented as mean ± SEM ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant; WT, wild-type.All scale bars, 250 μm.\nVGluT2+ SUB→RSP afferents are specifically required for processing a temporal trace separating a cue and a shock\n(A, D, and G) Experimental design of behavioral tasks. Diagrams depict virus infusion sites in DH and cannula placements for CNO injections in RSP (top and right), and viral expression in RSP and DH (bottom and right).\n(B) When compared to vehicle, CNO injections 30 min before TFC training, impaired freezing at test in response to both the tone and trace periods in mice receiving AAV-hM4D(Gi) (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0098, F(1, 17) = 8.444, factor: phase, p < 0.0001, F(2, 34) = 67.41, factor: trial × phase, p = 0.0084, F(2, 34) = 5.522).\n(C) CNO injection before training in delay fear conditioning (DFC) did not affect freezing to tone or post-tone when compared to vehicle-injected mice (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.6738, F(1, 17) = 0.1835, factor: phase, p < 0.0001, F(2, 34) = 97.84, factor: trial × phase, p = 0.1764, F(2, 34) = 1.827).\n(E) In VGluT2-Cre mice, CNO injection 30 min before training significantly impaired freezing during the trace but not tone compared to vehicle group (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0132, F(1, 18) = 7.565, factor: phase, p < 0.0001, F(2, 36) = 41.47, factor: trial × phase, p = 0.0001, F(2, 36) = 12.00.\n(F) In VGluT1-Cre mice, terminal silencing with CNO did not affect freezing compared to vehicle controls (n = 9; two-way ANOVA with repeated measures; factor: treatment, p = 0.0931, F(1, 16) = 3.189, factor: phase, p < 0.0001, F(2, 32) = 13.78, factor: trial × phase, p = 0.9968, F(2, 32) = 0.003253) when compared to vehicle controls.\n(H) Injections of CNO (n = 10) before trace-light conditioning (TLC) training did not affect freezing during either the tone or light periods in mice expressing inhibitory DREADD only in VGluT2+ SUB→RSP projections (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.2577, F(1, 18) = 1.366, factor: phase, p < 0.0001, F(2, 36) = 52.27, factor: trial × phase, p = 0.5714, F(2, 36) = 0.5685).\n(I) Injections of CNO before TLC training significantly impaired freezing to both tone and light when compared to vehicle in mice expressing inhibitory DREADD in all SUB→RSP projections compared to vehicle injected group (n = 5–6; two-way ANOVA with repeated measures; factor: treatment, p = 0.0087, F(1, 9) = 11.12, factor: phase, p < 0.0001, F(2, 18) = 19.01, factor: trial × phase, p = 0.3846, F(2, 18) = 1.008. Data presented as mean ± SEM ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant; WT, wild-type.\nAll scale bars, 250 μm.\nOur previous work demonstrated that the two excitatory SUB→RSP layer 3 projections differentially contribute to formation and persistence of recent and remote context memories.19 Thus, we next sought to determine, using selective chemogenetic silencing of VGluT1+ or VGluT2+ SUB→RSP terminals, whether this functional difference is extended to TFC. We injected the DH of male mice expressing Cre recombinase under control of either VGlut1 (VGluT1-Cre mice)23 or VGluT2 (VGlut2-Cre mice)24 promoter with Cre-dependent inhibitory DREADD AAV8-DIO-hM4D(Gi)-mCherry virus and 6 weeks later locally microinfused RSP with CNO through bilateral cannula before TFC training (Figure 1D). Silencing VGluT2+ terminals during training specifically impaired freezing during trace compared with control group (Figure 1E), while silencing VGluT1+ terminals during training had no effect on freezing (Figure 1F). Silencing SUB→RSP projections selectively during testing had the same effect (Figure S1C), indicating that exclusively activity of VGluT2+ terminals is required both for formation and recall of memory during trace. On the other hand, context memories (Figure S1D) required activity of VGluT1+ terminals, consistent with our previous findings.19 We excluded a sex effect by replicating these findings in female animals (Figures S1E and S1F).\nTo assess if the freezing impairment during trace caused by silencing VGluT2+ SUB→RSP terminals disrupted encoding of the temporal gap or event sequences, we used tone-light conditioning (TLC) paradigm. TLC is conceptually similar to TFC, except that the temporal gap separating two intermittent events in TFC is replaced by another neutral stimulus (flashing light) in TLC. Therefore, in TLC mice are presented with a sequence of three events (tone-light-shock) rather than two events separated in time as in TFC (tone-trace-shock). Following training, we quantified freezing in both TFC and TLC conditioned mice; first exposing them to a tone-trace, and then the following day to a tone-light sequence. After both TFC and TLC, mice acquired fear conditioning to the tone, but freezing during the trace period was significantly higher in mice trained in TFC, whereas freezing during the light period was significantly higher in mice trained in TLC, suggesting that mice formed different associations (tone-trace-shock vs. tone-light-shock) in these paradigms (Figure S2C). Next, we injected either VGluT2-Cre mice with Cre-dependent or C57BL/6N Cre-independent inhibitory DREADD and 6 weeks later, locally injected CNO in RSP to silence all excitatory or specifically VGluT2+ SUB→RSP afferents, respectively (Figure 1G). Inhibition of VGluT2+ SUB→RSP afferents did not affect freezing during TLC tests (Figure 1H) but inhibiting all excitatory SUB→RSP terminals significantly impaired freezing during both tone and light presentation compared with controls (Figure 1I). This indicated that the trace freezing deficits induced by silencing VGluT2+ SUB→RSP projections were not a consequence of impaired processing of stimuli sequences but likely reflected their inability to encode the temporal gap between tone and shock.\nPrevious studies have shown that throughout the brain, VGluT1 and VGluT2 exhibit largely complementary expression,25 with neurons of the cerebellum, cortex, and hippocampus primarily expressing VGluT1 positive, and subcortical brain areas mostly expressing VGluT2.26 To identify the neuronal origins of these projections, we used genetically modified VGluT1-Cre or VGlut2-Cre mice injected with Cre-dependent color flipping retrograde reporter virus to label these discrete populations. Using this approach, where Cre+ population express GFP, and Cre− population express TdTomato (Figure 2A), we found that CA1 and the SUB area have both VGluT2 (Cre+) and putative VGluT1 (Cre−) populations of neurons and that VGluT2 neurons are predominantly located in CA1 the deep layer, whereas in the SUB VGluT2 and putative VGluT1 neurons are spread heterogeneously (Figure 1B). Retrograde viral injections of Cre-dependent color flipping reporter virus either in SUB or RSP, revealed that both VGluT1 and VGluT2 neurons of the CA1 project to the SUB and that VGluT1 and VGluT2 neurons in the SUB project to the RSP (Figures 2C and 2D). Analysis of the online database Hippseq revealed that VGluT2 expression was limited to several SUB clusters (fibronectin 1 [Fn1], Ly6g6e, and S100b, Figure S5).27,28 Previous studies show that Fn1 is enriched in distal SUB, which provides main input to RSP,29 indicating that the VGluT2+ cells targeted in our study are likely Fn1 positive (Figure S5).Figure 2Characterization of VGluT1+ and VGluT2+ neurons in the SUB→RSP circuit(A) Schematic of Cre-Switch viral vector (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE). TdTomato is expressed in Cre-negative cells, while in Cre-positive cells, Cre recombination inverts and excises the TdTomato cassette, leading to EGFP expression.(B) Cre+ (VGluT2+, green) and Cre− (red, presumably VGluT1+) hippocampal neurons visualized after injection of the Cre-dependent color flipping nuclear reporter (pAAV8-EF1a-Nuc-flox(mCherry)-EGFP) into the DH.(C) Retrograde Cre-dependent “color flipping” reporter (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE) was injected into RSP of VGluT1-Cre or VGluT2-Cre mice. Red and green signals in the SUB show that both VGluT1+ and VGluT2+ population are projecting to the RSP.(D) Retrograde Cre-dependent “color flipping” reporter was injected into SUB of VGluT1-Cre or VGluT2-Cre mice. Green and red signals in DH and SUB indicate presence of both VGluT1 and VGluT2 populations of neurons in both areas as well as presence of VGluT1+ and VGluT2+ CA1→SUB projections.(E) Left, schematic of proximity biotinylation assay. Right, injection sites for preBirA∗ in DH and corresponding GFP signal in DH and RSP.(F) Right, cytoBirA∗ was injected into DH of naive VGluT1-Cre and VGluT2-Cre mice, biotinylated proteins were pulled down, and quantified from RSP. Left and up, KEGG terms of differentially expressed proteins in VGluT1+ or VGluT2+ biotinylated terminals. Bottom and left, after injection of the virus expressing preBirA∗, the levels of biotinylated proteins from VGluT1 RSC were dissimilar, as indicated by lack of correlation, suggesting differences in their presynaptic proteomes.(G) Main cell populations identified using known neuronal and non-neuronal cell markers.(H) VGluT1 and VGluT2 expression across cell types reveals largely non-overlapping populations.All scale bars, 250 μm.\nCharacterization of VGluT1+ and VGluT2+ neurons in the SUB→RSP circuit\n(A) Schematic of Cre-Switch viral vector (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE). TdTomato is expressed in Cre-negative cells, while in Cre-positive cells, Cre recombination inverts and excises the TdTomato cassette, leading to EGFP expression.\n(B) Cre+ (VGluT2+, green) and Cre− (red, presumably VGluT1+) hippocampal neurons visualized after injection of the Cre-dependent color flipping nuclear reporter (pAAV8-EF1a-Nuc-flox(mCherry)-EGFP) into the DH.\n(C) Retrograde Cre-dependent “color flipping” reporter (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE) was injected into RSP of VGluT1-Cre or VGluT2-Cre mice. Red and green signals in the SUB show that both VGluT1+ and VGluT2+ population are projecting to the RSP.\n(D) Retrograde Cre-dependent “color flipping” reporter was injected into SUB of VGluT1-Cre or VGluT2-Cre mice. Green and red signals in DH and SUB indicate presence of both VGluT1 and VGluT2 populations of neurons in both areas as well as presence of VGluT1+ and VGluT2+ CA1→SUB projections.\n(E) Left, schematic of proximity biotinylation assay. Right, injection sites for preBirA∗ in DH and corresponding GFP signal in DH and RSP.\n(F) Right, cytoBirA∗ was injected into DH of naive VGluT1-Cre and VGluT2-Cre mice, biotinylated proteins were pulled down, and quantified from RSP. Left and up, KEGG terms of differentially expressed proteins in VGluT1+ or VGluT2+ biotinylated terminals. Bottom and left, after injection of the virus expressing preBirA∗, the levels of biotinylated proteins from VGluT1 RSC were dissimilar, as indicated by lack of correlation, suggesting differences in their presynaptic proteomes.\n(G) Main cell populations identified using known neuronal and non-neuronal cell markers.\n(H) VGluT1 and VGluT2 expression across cell types reveals largely non-overlapping populations.\nAll scale bars, 250 μm.\nTo examine the proteins expressed in the SUB→RSP terminals, we used in vivo proximity biotinylation in combination with tandem mass spectrometry (MS)-based proteomic analysis30,31 (Figure S3A; see STAR Methods). Similar to the tracing approaches, EGFP co-expressed by preBirA∗ AAV constructs localized in RSP layer 3 (Figure 2E). To investigate the protein diversity of VGluT1 and VGluT2 presynaptic terminals, we employed tandem mass tag (TMT)-based quantitative MS to directly compare their proteomes. Specifically, VGlut1-Cre and VGlut2-Cre mice were injected with either AAV-FLEx-preBirA∗ or AAV-FLEx-cytoBirA∗. Proteins exhibiting a preBirA∗ to cytoBirA∗ ratio grater then 1.5 were considered enriched and thus classified as presynaptic terminal proteins. We mined the VGluT1+ and VGluT2+ SUB→RSP terminal proteomic datasets using the online Database for Annotation, Visualization, and Integrated Discovery (DAVID). As indicated by Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis, the proteomes of VGluT1+ and VGluT2+ RSP terminals differed from one another at baseline conditions (Figure S3B). VGluT2+ terminal proteome showed significantly enriched KEGG terms involved in neurotransmitter release and synaptic plasticity (endocytosis, SNARE interactions in vesicular transport, ribosome, long-term potentiation, and axon guidance), and various neuromodulatory signaling and co-transmitter phenotype (endocannabinoid, GABAergic, dopaminergic, and cholinergic synapse),25 activity-dependent modulation and involvement in learning and memory processes (Figure S3B). Overall, differentially expressed proteins in VGluT2 biotinylated terminals were glycoproteins, membrane, receptor, and transmembrane proteins involved in signaling (preBirA∗/cytoBirA∗ >1.5-fold), while the greatest changes (preBirA∗/cytoBirA∗ >1.5-fold) in VGluT1 terminals were in proteins involved with exosomes, acetylation, cytoskeletal dynamics, chaperone function, and protein folding (Figure 2F). We correlated the levels of biotinylated proteins pulled down from VGluT1+ and VGluT2+ terminals to control for specificity of the proteomic differences. Samples from mice injected with preBirA∗ (Figure 2F, left and down) were highly divergent (R2 = 0.03), reflecting substantial differences in their presynaptic terminal proteomes. In contrast, in mice injected with the control virus cytoBirA∗ (Figure S3C), protein abundances showed a strong positive correlation (R2 = 0.82), indicating similar protein profiles due to non-specific biotinylation of cytoplasmatic proteins. Together these data shows that VGluT1+ and VGluT2+ SUB→RSP have distinct presynaptic proteomic signatures, indicating a specialized role in synaptic function. VGlut2+ proteome suggest a more modulatory and dynamic role, while the VGluT1+ terminals show profile associated with structural support and protein synthesis.\nTo further explore VGluT1+ and VGluT2+ neuronal and non-neuronal hippocampal populations, we used our previously published dataset for which, we dissected the DH and used 10× genomics platform to perform single-nucleus RNA sequencing (snRNA-seq).32 An unsupervised algorithm run on the snRNA-seq dataset identified 30 clusters (Figure S4A). Using canonical markers and existing hippocampal databases (see STAR Methods), we identified CA1 neurons (3 clusters), SUB neurons (1 cluster), CA3 neurons (2 clusters), dentate gyrus granule cells (DGGC) (4 clusters), interneurons (2 clusters), and different non-neuronal cells (8 clusters; Figures 2G and S4A). snRNA-seq data showed that VGluT1 and VGluT2 were present in non-overlapping cellular populations (Figures 2H and S4B), which concurs with our tracing experiments. A small subset of cells in the CA1.1 and SUB clusters was both VGluT1 and VGluT2 positive, a population also seen in DH of mice injected with Cre-dependent color flipping nuclear reporter (Figure 2C, right, indicated with yellow arrow). Overall, we demonstrate that VGluT1 phenotype is most prevalent in the majority of hippocampus, with exception of CA1 and SUB, which contain mostly non-overlapping VGluT1+ and VGluT2+ populations. Both CA1 and SUB outputs are VGluT1+ and VGluT2+; however, in the CA1 region VGluT1+ and VGluT2+ populations are organized into deep and superficial layers, while the SUB shows a more heterogeneous distribution of VGluT1+ and VGluT2+ populations (Figure 2D).\nTo assess activity of VGluT2+ SUB→RSP afferents during TFC, we used fiber photometry to measure the populations’ activity through changes in Ca2+ activity. We injected mice with Cre-dependent calcium indicator AAV-DIO-GCaMP7s in DH of VGluT2-Cre mice, implanted with a fiber targeting the SUB→RSP layer 3 projections and recorded the fluorescence signal changes—as an indicator of bulk calcium activity—across 3 trials of training and testing days (Figure 3A).Figure 3VGluT2+ SUB→RSP afferents have distinct response dynamics dependent on TFC phase(A) Top, representative image of viral expression and fiber track, together with the diagram indicating position of injection and fiber placement. Bottom, experimental design for fiber photometry recordings. Scale bars, 500 μm (main image) and 100 μm (inset).(B and C) Average GCaMP fluorescence traces during 3 CS-US presentations on training day (B) and during 3 CS presentations on test day (C) recorded from RSP VGluT2+ terminals of projections originating in SUB. Arrows indicate significant increases and decreases of signal.(D) Increase in average Z score following shock exposure (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.2195, F(2,32) = 1.591, factor: phase, p < 0.0001, F(1, 16) = 97.98, factor: trial × phase, p = 0.1259, F(2, 32) = 2.212).(E) Average Z score at tone onset and during trace on training (left) and testing (right) day. Training tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0689, F(1.927, 30.84) = 2.951, factor: phase, p = 0.0021, F(1, 16) = 13.40, factor: trial × phase, p = 0.0258, F(2, 32) = 4.107). Cue test tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0355, F(1.910, 30.56) = 3.795, factor: phase, p = 0.0029, F(1, 16) = 12.37, factor: trial × phase, p = 0.0165, F(2, 32) = 4.679). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\nVGluT2+ SUB→RSP afferents have distinct response dynamics dependent on TFC phase\n(A) Top, representative image of viral expression and fiber track, together with the diagram indicating position of injection and fiber placement. Bottom, experimental design for fiber photometry recordings. Scale bars, 500 μm (main image) and 100 μm (inset).\n(B and C) Average GCaMP fluorescence traces during 3 CS-US presentations on training day (B) and during 3 CS presentations on test day (C) recorded from RSP VGluT2+ terminals of projections originating in SUB. Arrows indicate significant increases and decreases of signal.\n(D) Increase in average Z score following shock exposure (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.2195, F(2,32) = 1.591, factor: phase, p < 0.0001, F(1, 16) = 97.98, factor: trial × phase, p = 0.1259, F(2, 32) = 2.212).\n(E) Average Z score at tone onset and during trace on training (left) and testing (right) day. Training tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0689, F(1.927, 30.84) = 2.951, factor: phase, p = 0.0021, F(1, 16) = 13.40, factor: trial × phase, p = 0.0258, F(2, 32) = 4.107). Cue test tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0355, F(1.910, 30.56) = 3.795, factor: phase, p = 0.0029, F(1, 16) = 12.37, factor: trial × phase, p = 0.0165, F(2, 32) = 4.679). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\nIn chemogenetic inhibition, we used single-trial training and testing to check for acute effects of VGluT2+ SUB→RSP projection silencing on TFC, whereas in fiber photometry experiments, we used multi-trial approach to capture how neural dynamic evolves across trials.\nConsistent with previous studies, we found that every presentation of a foot-shock during training elicited a large, sustained increase in the GCaMP fluorescence (Figures 3B–3D and S6C).9 We compared average Z score for signals obtained from the RSP terminals originating in the SUB across different phases of training and found that fluorescent signal increased during first 15 s of the tone followed by a dip during trace with repeated tone-shock pairing (Figure 3E). Area under the curve (AUC) showed a similar pattern of signal dynamics, where onset of tone caused a significant increase in the GCaMP signal at the second and third presentation of tone, that was followed by the negative-going responses (“dips”) during trace. Dip in GCaMP signal during trace was significantly amplified at third tone presentation (Figure S6A). During the cue test, average Z scores showed differences in bulk calci micrometer activity during the first 15 s of the tone and 15 s of trace at first and last trial (Figures 3C and 3E). On the testing day, a significant increase of the GCaMP signal at the tone onset was elicited at the first presentation of the tone, followed by a moderate negative-going response increase (Figures 3C and 3E). While the signal increase at the tone onset was only present at the first tone presentation, dip during trace period re-emerged at third tone presentation (Figures 3C and 3E). AUC comparison showed similar signal dynamics (Figure S6B). The negative correlation between GCaMP signal and freezing indicates that fluctuations in VGluT2+ SUB→RSP projection activity co-varied with freezing behavior across tone and trace periods during both training and testing (Figures S6D and S6F). Animals associated the tone and the trace as indicated by significantly different levels of freezing across test phases (Figure S6E). Together these results show that VGluT2+ SUB→RSP projection response dynamic is characterized by overshoot at tone onset followed by the signal dip during trace formed during memory acquisition and replayed at first memory recall.\nTo exclude the possibility that the observed response dynamics is a non-associative effect of tone-induced arousal rather than consequence of associative learning, we recorded GCaMP signals from VGluT2+ SUB→RSP afferents in mice undergoing pseudoconditioning (Figures 4A and 4B). TFC and pseudoconditioning differ by a key feature, timing between shock and tone; in pseudoconditioning shock and tone are presented temporally unpaired, preventing the formation of a predictive relationship between two stimuli.33 Thus, if the response dynamic is a consequence of the learned tone-trace-shock association, it will not appear at tone presentation during pseudo fear conditioning. At training, all three shock presentations elicited a response, indicating that shock response during training is not specific for tone-shock association (Figure 4C). Tone presentation both during training and testing did not cause changes in GCaMP fluorescent signal suggesting that the pattern of activity observed during TFC is a consequence of tone-trace-shock association (Figures 4D and 4E). Animals did not show significantly different levels of freezing across test phases, or correlation between GCaMP signal and freezing, indicating that they did not form an association between the tone and the shock (Figures S7A and S7B). Taken together, these data suggest that differences in activity dynamic of VGluT2+ SUB→RSP afferents encode association of the tone and shock that are separated by a time gap.Figure 4Changes in response dynamics of VGluT2+ SUB→RSP afferents are specific to learning of tone-shock association(A) Experimental diagram detailing GCaMP7s AAV injection in the DH and fiber placement in the RSP, enabling recording of calcium signals from SUB→RSP terminals with representative image of viral expression and fiber track. Scale bars, 500 μm (main image) and 200 μm (inset).(B) Schematic of the unpaired fear conditioning paradigm.(C) Top, averaged GCaMP fluorescence traces during 3 unpaired shock presentations on training day. Bottom, significant differences were found in average Z score between pre shock and post shock period (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0199, F(2, 40) = 4.324, factor: phase, p < 0.0001, F(1, 20) = 48.23, factor: trial × phase, p = 0.1750, F(2, 40) = 1.8210).(D) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations on training day. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0988, F(2, 40) = 2.454, factor: phase, p = 0.0068, F(1, 20) = 9.090, factor: trial × phase, p = 0.9558, F(2, 40) = 0.0453).(E) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations during the cue test. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.1915, F(2, 40) = 1.723, factor: phase, p = 0.0018, F(1, 20) = 12.92, factor: trial × phase, p = 0.9272, F(2, 40) = 0.0758). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\nChanges in response dynamics of VGluT2+ SUB→RSP afferents are specific to learning of tone-shock association\n(A) Experimental diagram detailing GCaMP7s AAV injection in the DH and fiber placement in the RSP, enabling recording of calcium signals from SUB→RSP terminals with representative image of viral expression and fiber track. Scale bars, 500 μm (main image) and 200 μm (inset).\n(B) Schematic of the unpaired fear conditioning paradigm.\n(C) Top, averaged GCaMP fluorescence traces during 3 unpaired shock presentations on training day. Bottom, significant differences were found in average Z score between pre shock and post shock period (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0199, F(2, 40) = 4.324, factor: phase, p < 0.0001, F(1, 20) = 48.23, factor: trial × phase, p = 0.1750, F(2, 40) = 1.8210).\n(D) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations on training day. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0988, F(2, 40) = 2.454, factor: phase, p = 0.0068, F(1, 20) = 9.090, factor: trial × phase, p = 0.9558, F(2, 40) = 0.0453).\n(E) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations during the cue test. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.1915, F(2, 40) = 1.723, factor: phase, p = 0.0018, F(1, 20) = 12.92, factor: trial × phase, p = 0.9272, F(2, 40) = 0.0758). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\n\n\n### VGluT2+ SUB→RSP afferents are specifically required for processing a temporal trace separating a cue and a shock\nIn delay fear conditioning (DFC), mice are exposed to a presentation of a tone terminating with footshock, whereas TFC introduces a temporal gap (trace) between them. In TFC, unlike DFC, the activation of dorsal hippocampus (DH)21 or RSP15 is necessary for the association of tone and shock. To test whether the communication between these two regions is specifically necessary for the formation of the tone-shock association in TFC, we chemogenetically silenced all SUB→RSP excitatory projections using designer receptors exclusively activated by designer drugs (DREADD) during training in both TFC and DFC.\nWe injected the DH of C57BL/6N male mice with Cre-independent inhibitory DREADD AAV8- hM4D(Gi)-mCherry virus and 6 weeks later microinfused the RSP with clozapine-N-oxide (CNO) through bilateral cannulas to locally block presynaptic release from RSP hM4D(Gi)-expressing axon terminals without modifying spiking activity of the cell soma (Figure 1A).22 Our chemogenetic manipulations targeted the SUB→RSP projections, which are the major source of DH afferents to RSP (Figures S1A and S1B).19 In TFC-trained mice, pre-training CNO infusions significantly impaired freezing during the tone and trace at tests, compared with vehicle control (Figure 1B), suggesting that SUB→RSP projections were necessary for the formation of tone-shock association. On the other hand, CNO injection did not affect freezing in DFC-trained mice expressing Cre-independent inhibitory DREADD AAV8-hM4(Gi)-mCherry (Figure 1C). As expected, CNO infusions also had no effect on freezing mice expressing the control virus AAV8-mCherry (Figure S2A). Additionally, at test, DFC trained mice did not freeze post tone, unlike mice trained in TFC paradigm, indicating that one-trial tone-shock pairing allows for clear differentiation between TFC and DFC at the behavioral level (Figure S2B). Together, these findings showed that SUB→RSP projections are necessary for TFC, but not DFC.Figure 1VGluT2+ SUB→RSP afferents are specifically required for processing a temporal trace separating a cue and a shock(A, D, and G) Experimental design of behavioral tasks. Diagrams depict virus infusion sites in DH and cannula placements for CNO injections in RSP (top and right), and viral expression in RSP and DH (bottom and right).(B) When compared to vehicle, CNO injections 30 min before TFC training, impaired freezing at test in response to both the tone and trace periods in mice receiving AAV-hM4D(Gi) (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0098, F(1, 17) = 8.444, factor: phase, p < 0.0001, F(2, 34) = 67.41, factor: trial × phase, p = 0.0084, F(2, 34) = 5.522).(C) CNO injection before training in delay fear conditioning (DFC) did not affect freezing to tone or post-tone when compared to vehicle-injected mice (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.6738, F(1, 17) = 0.1835, factor: phase, p < 0.0001, F(2, 34) = 97.84, factor: trial × phase, p = 0.1764, F(2, 34) = 1.827).(E) In VGluT2-Cre mice, CNO injection 30 min before training significantly impaired freezing during the trace but not tone compared to vehicle group (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0132, F(1, 18) = 7.565, factor: phase, p < 0.0001, F(2, 36) = 41.47, factor: trial × phase, p = 0.0001, F(2, 36) = 12.00.(F) In VGluT1-Cre mice, terminal silencing with CNO did not affect freezing compared to vehicle controls (n = 9; two-way ANOVA with repeated measures; factor: treatment, p = 0.0931, F(1, 16) = 3.189, factor: phase, p < 0.0001, F(2, 32) = 13.78, factor: trial × phase, p = 0.9968, F(2, 32) = 0.003253) when compared to vehicle controls.(H) Injections of CNO (n = 10) before trace-light conditioning (TLC) training did not affect freezing during either the tone or light periods in mice expressing inhibitory DREADD only in VGluT2+ SUB→RSP projections (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.2577, F(1, 18) = 1.366, factor: phase, p < 0.0001, F(2, 36) = 52.27, factor: trial × phase, p = 0.5714, F(2, 36) = 0.5685).(I) Injections of CNO before TLC training significantly impaired freezing to both tone and light when compared to vehicle in mice expressing inhibitory DREADD in all SUB→RSP projections compared to vehicle injected group (n = 5–6; two-way ANOVA with repeated measures; factor: treatment, p = 0.0087, F(1, 9) = 11.12, factor: phase, p < 0.0001, F(2, 18) = 19.01, factor: trial × phase, p = 0.3846, F(2, 18) = 1.008. Data presented as mean ± SEM ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant; WT, wild-type.All scale bars, 250 μm.\nVGluT2+ SUB→RSP afferents are specifically required for processing a temporal trace separating a cue and a shock\n(A, D, and G) Experimental design of behavioral tasks. Diagrams depict virus infusion sites in DH and cannula placements for CNO injections in RSP (top and right), and viral expression in RSP and DH (bottom and right).\n(B) When compared to vehicle, CNO injections 30 min before TFC training, impaired freezing at test in response to both the tone and trace periods in mice receiving AAV-hM4D(Gi) (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0098, F(1, 17) = 8.444, factor: phase, p < 0.0001, F(2, 34) = 67.41, factor: trial × phase, p = 0.0084, F(2, 34) = 5.522).\n(C) CNO injection before training in delay fear conditioning (DFC) did not affect freezing to tone or post-tone when compared to vehicle-injected mice (n = 9–10; two-way ANOVA with repeated measures; factor: treatment, p = 0.6738, F(1, 17) = 0.1835, factor: phase, p < 0.0001, F(2, 34) = 97.84, factor: trial × phase, p = 0.1764, F(2, 34) = 1.827).\n(E) In VGluT2-Cre mice, CNO injection 30 min before training significantly impaired freezing during the trace but not tone compared to vehicle group (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.0132, F(1, 18) = 7.565, factor: phase, p < 0.0001, F(2, 36) = 41.47, factor: trial × phase, p = 0.0001, F(2, 36) = 12.00.\n(F) In VGluT1-Cre mice, terminal silencing with CNO did not affect freezing compared to vehicle controls (n = 9; two-way ANOVA with repeated measures; factor: treatment, p = 0.0931, F(1, 16) = 3.189, factor: phase, p < 0.0001, F(2, 32) = 13.78, factor: trial × phase, p = 0.9968, F(2, 32) = 0.003253) when compared to vehicle controls.\n(H) Injections of CNO (n = 10) before trace-light conditioning (TLC) training did not affect freezing during either the tone or light periods in mice expressing inhibitory DREADD only in VGluT2+ SUB→RSP projections (n = 10; two-way ANOVA with repeated measures; factor: treatment, p = 0.2577, F(1, 18) = 1.366, factor: phase, p < 0.0001, F(2, 36) = 52.27, factor: trial × phase, p = 0.5714, F(2, 36) = 0.5685).\n(I) Injections of CNO before TLC training significantly impaired freezing to both tone and light when compared to vehicle in mice expressing inhibitory DREADD in all SUB→RSP projections compared to vehicle injected group (n = 5–6; two-way ANOVA with repeated measures; factor: treatment, p = 0.0087, F(1, 9) = 11.12, factor: phase, p < 0.0001, F(2, 18) = 19.01, factor: trial × phase, p = 0.3846, F(2, 18) = 1.008. Data presented as mean ± SEM ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant; WT, wild-type.\nAll scale bars, 250 μm.\nOur previous work demonstrated that the two excitatory SUB→RSP layer 3 projections differentially contribute to formation and persistence of recent and remote context memories.19 Thus, we next sought to determine, using selective chemogenetic silencing of VGluT1+ or VGluT2+ SUB→RSP terminals, whether this functional difference is extended to TFC. We injected the DH of male mice expressing Cre recombinase under control of either VGlut1 (VGluT1-Cre mice)23 or VGluT2 (VGlut2-Cre mice)24 promoter with Cre-dependent inhibitory DREADD AAV8-DIO-hM4D(Gi)-mCherry virus and 6 weeks later locally microinfused RSP with CNO through bilateral cannula before TFC training (Figure 1D). Silencing VGluT2+ terminals during training specifically impaired freezing during trace compared with control group (Figure 1E), while silencing VGluT1+ terminals during training had no effect on freezing (Figure 1F). Silencing SUB→RSP projections selectively during testing had the same effect (Figure S1C), indicating that exclusively activity of VGluT2+ terminals is required both for formation and recall of memory during trace. On the other hand, context memories (Figure S1D) required activity of VGluT1+ terminals, consistent with our previous findings.19 We excluded a sex effect by replicating these findings in female animals (Figures S1E and S1F).\nTo assess if the freezing impairment during trace caused by silencing VGluT2+ SUB→RSP terminals disrupted encoding of the temporal gap or event sequences, we used tone-light conditioning (TLC) paradigm. TLC is conceptually similar to TFC, except that the temporal gap separating two intermittent events in TFC is replaced by another neutral stimulus (flashing light) in TLC. Therefore, in TLC mice are presented with a sequence of three events (tone-light-shock) rather than two events separated in time as in TFC (tone-trace-shock). Following training, we quantified freezing in both TFC and TLC conditioned mice; first exposing them to a tone-trace, and then the following day to a tone-light sequence. After both TFC and TLC, mice acquired fear conditioning to the tone, but freezing during the trace period was significantly higher in mice trained in TFC, whereas freezing during the light period was significantly higher in mice trained in TLC, suggesting that mice formed different associations (tone-trace-shock vs. tone-light-shock) in these paradigms (Figure S2C). Next, we injected either VGluT2-Cre mice with Cre-dependent or C57BL/6N Cre-independent inhibitory DREADD and 6 weeks later, locally injected CNO in RSP to silence all excitatory or specifically VGluT2+ SUB→RSP afferents, respectively (Figure 1G). Inhibition of VGluT2+ SUB→RSP afferents did not affect freezing during TLC tests (Figure 1H) but inhibiting all excitatory SUB→RSP terminals significantly impaired freezing during both tone and light presentation compared with controls (Figure 1I). This indicated that the trace freezing deficits induced by silencing VGluT2+ SUB→RSP projections were not a consequence of impaired processing of stimuli sequences but likely reflected their inability to encode the temporal gap between tone and shock.\n\n\n### Characterization of VGluT1+ and VGluT2+ neurons in the SUB→RSP circuit\nPrevious studies have shown that throughout the brain, VGluT1 and VGluT2 exhibit largely complementary expression,25 with neurons of the cerebellum, cortex, and hippocampus primarily expressing VGluT1 positive, and subcortical brain areas mostly expressing VGluT2.26 To identify the neuronal origins of these projections, we used genetically modified VGluT1-Cre or VGlut2-Cre mice injected with Cre-dependent color flipping retrograde reporter virus to label these discrete populations. Using this approach, where Cre+ population express GFP, and Cre− population express TdTomato (Figure 2A), we found that CA1 and the SUB area have both VGluT2 (Cre+) and putative VGluT1 (Cre−) populations of neurons and that VGluT2 neurons are predominantly located in CA1 the deep layer, whereas in the SUB VGluT2 and putative VGluT1 neurons are spread heterogeneously (Figure 1B). Retrograde viral injections of Cre-dependent color flipping reporter virus either in SUB or RSP, revealed that both VGluT1 and VGluT2 neurons of the CA1 project to the SUB and that VGluT1 and VGluT2 neurons in the SUB project to the RSP (Figures 2C and 2D). Analysis of the online database Hippseq revealed that VGluT2 expression was limited to several SUB clusters (fibronectin 1 [Fn1], Ly6g6e, and S100b, Figure S5).27,28 Previous studies show that Fn1 is enriched in distal SUB, which provides main input to RSP,29 indicating that the VGluT2+ cells targeted in our study are likely Fn1 positive (Figure S5).Figure 2Characterization of VGluT1+ and VGluT2+ neurons in the SUB→RSP circuit(A) Schematic of Cre-Switch viral vector (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE). TdTomato is expressed in Cre-negative cells, while in Cre-positive cells, Cre recombination inverts and excises the TdTomato cassette, leading to EGFP expression.(B) Cre+ (VGluT2+, green) and Cre− (red, presumably VGluT1+) hippocampal neurons visualized after injection of the Cre-dependent color flipping nuclear reporter (pAAV8-EF1a-Nuc-flox(mCherry)-EGFP) into the DH.(C) Retrograde Cre-dependent “color flipping” reporter (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE) was injected into RSP of VGluT1-Cre or VGluT2-Cre mice. Red and green signals in the SUB show that both VGluT1+ and VGluT2+ population are projecting to the RSP.(D) Retrograde Cre-dependent “color flipping” reporter was injected into SUB of VGluT1-Cre or VGluT2-Cre mice. Green and red signals in DH and SUB indicate presence of both VGluT1 and VGluT2 populations of neurons in both areas as well as presence of VGluT1+ and VGluT2+ CA1→SUB projections.(E) Left, schematic of proximity biotinylation assay. Right, injection sites for preBirA∗ in DH and corresponding GFP signal in DH and RSP.(F) Right, cytoBirA∗ was injected into DH of naive VGluT1-Cre and VGluT2-Cre mice, biotinylated proteins were pulled down, and quantified from RSP. Left and up, KEGG terms of differentially expressed proteins in VGluT1+ or VGluT2+ biotinylated terminals. Bottom and left, after injection of the virus expressing preBirA∗, the levels of biotinylated proteins from VGluT1 RSC were dissimilar, as indicated by lack of correlation, suggesting differences in their presynaptic proteomes.(G) Main cell populations identified using known neuronal and non-neuronal cell markers.(H) VGluT1 and VGluT2 expression across cell types reveals largely non-overlapping populations.All scale bars, 250 μm.\nCharacterization of VGluT1+ and VGluT2+ neurons in the SUB→RSP circuit\n(A) Schematic of Cre-Switch viral vector (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE). TdTomato is expressed in Cre-negative cells, while in Cre-positive cells, Cre recombination inverts and excises the TdTomato cassette, leading to EGFP expression.\n(B) Cre+ (VGluT2+, green) and Cre− (red, presumably VGluT1+) hippocampal neurons visualized after injection of the Cre-dependent color flipping nuclear reporter (pAAV8-EF1a-Nuc-flox(mCherry)-EGFP) into the DH.\n(C) Retrograde Cre-dependent “color flipping” reporter (pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE) was injected into RSP of VGluT1-Cre or VGluT2-Cre mice. Red and green signals in the SUB show that both VGluT1+ and VGluT2+ population are projecting to the RSP.\n(D) Retrograde Cre-dependent “color flipping” reporter was injected into SUB of VGluT1-Cre or VGluT2-Cre mice. Green and red signals in DH and SUB indicate presence of both VGluT1 and VGluT2 populations of neurons in both areas as well as presence of VGluT1+ and VGluT2+ CA1→SUB projections.\n(E) Left, schematic of proximity biotinylation assay. Right, injection sites for preBirA∗ in DH and corresponding GFP signal in DH and RSP.\n(F) Right, cytoBirA∗ was injected into DH of naive VGluT1-Cre and VGluT2-Cre mice, biotinylated proteins were pulled down, and quantified from RSP. Left and up, KEGG terms of differentially expressed proteins in VGluT1+ or VGluT2+ biotinylated terminals. Bottom and left, after injection of the virus expressing preBirA∗, the levels of biotinylated proteins from VGluT1 RSC were dissimilar, as indicated by lack of correlation, suggesting differences in their presynaptic proteomes.\n(G) Main cell populations identified using known neuronal and non-neuronal cell markers.\n(H) VGluT1 and VGluT2 expression across cell types reveals largely non-overlapping populations.\nAll scale bars, 250 μm.\nTo examine the proteins expressed in the SUB→RSP terminals, we used in vivo proximity biotinylation in combination with tandem mass spectrometry (MS)-based proteomic analysis30,31 (Figure S3A; see STAR Methods). Similar to the tracing approaches, EGFP co-expressed by preBirA∗ AAV constructs localized in RSP layer 3 (Figure 2E). To investigate the protein diversity of VGluT1 and VGluT2 presynaptic terminals, we employed tandem mass tag (TMT)-based quantitative MS to directly compare their proteomes. Specifically, VGlut1-Cre and VGlut2-Cre mice were injected with either AAV-FLEx-preBirA∗ or AAV-FLEx-cytoBirA∗. Proteins exhibiting a preBirA∗ to cytoBirA∗ ratio grater then 1.5 were considered enriched and thus classified as presynaptic terminal proteins. We mined the VGluT1+ and VGluT2+ SUB→RSP terminal proteomic datasets using the online Database for Annotation, Visualization, and Integrated Discovery (DAVID). As indicated by Kyoto Encyclopedia of Genes and Genomes (KEGG) pathway analysis, the proteomes of VGluT1+ and VGluT2+ RSP terminals differed from one another at baseline conditions (Figure S3B). VGluT2+ terminal proteome showed significantly enriched KEGG terms involved in neurotransmitter release and synaptic plasticity (endocytosis, SNARE interactions in vesicular transport, ribosome, long-term potentiation, and axon guidance), and various neuromodulatory signaling and co-transmitter phenotype (endocannabinoid, GABAergic, dopaminergic, and cholinergic synapse),25 activity-dependent modulation and involvement in learning and memory processes (Figure S3B). Overall, differentially expressed proteins in VGluT2 biotinylated terminals were glycoproteins, membrane, receptor, and transmembrane proteins involved in signaling (preBirA∗/cytoBirA∗ >1.5-fold), while the greatest changes (preBirA∗/cytoBirA∗ >1.5-fold) in VGluT1 terminals were in proteins involved with exosomes, acetylation, cytoskeletal dynamics, chaperone function, and protein folding (Figure 2F). We correlated the levels of biotinylated proteins pulled down from VGluT1+ and VGluT2+ terminals to control for specificity of the proteomic differences. Samples from mice injected with preBirA∗ (Figure 2F, left and down) were highly divergent (R2 = 0.03), reflecting substantial differences in their presynaptic terminal proteomes. In contrast, in mice injected with the control virus cytoBirA∗ (Figure S3C), protein abundances showed a strong positive correlation (R2 = 0.82), indicating similar protein profiles due to non-specific biotinylation of cytoplasmatic proteins. Together these data shows that VGluT1+ and VGluT2+ SUB→RSP have distinct presynaptic proteomic signatures, indicating a specialized role in synaptic function. VGlut2+ proteome suggest a more modulatory and dynamic role, while the VGluT1+ terminals show profile associated with structural support and protein synthesis.\nTo further explore VGluT1+ and VGluT2+ neuronal and non-neuronal hippocampal populations, we used our previously published dataset for which, we dissected the DH and used 10× genomics platform to perform single-nucleus RNA sequencing (snRNA-seq).32 An unsupervised algorithm run on the snRNA-seq dataset identified 30 clusters (Figure S4A). Using canonical markers and existing hippocampal databases (see STAR Methods), we identified CA1 neurons (3 clusters), SUB neurons (1 cluster), CA3 neurons (2 clusters), dentate gyrus granule cells (DGGC) (4 clusters), interneurons (2 clusters), and different non-neuronal cells (8 clusters; Figures 2G and S4A). snRNA-seq data showed that VGluT1 and VGluT2 were present in non-overlapping cellular populations (Figures 2H and S4B), which concurs with our tracing experiments. A small subset of cells in the CA1.1 and SUB clusters was both VGluT1 and VGluT2 positive, a population also seen in DH of mice injected with Cre-dependent color flipping nuclear reporter (Figure 2C, right, indicated with yellow arrow). Overall, we demonstrate that VGluT1 phenotype is most prevalent in the majority of hippocampus, with exception of CA1 and SUB, which contain mostly non-overlapping VGluT1+ and VGluT2+ populations. Both CA1 and SUB outputs are VGluT1+ and VGluT2+; however, in the CA1 region VGluT1+ and VGluT2+ populations are organized into deep and superficial layers, while the SUB shows a more heterogeneous distribution of VGluT1+ and VGluT2+ populations (Figure 2D).\n\n\n### VGluT2+ SUB→RSP afferents have distinct response dynamics dependent on TFC phase\nTo assess activity of VGluT2+ SUB→RSP afferents during TFC, we used fiber photometry to measure the populations’ activity through changes in Ca2+ activity. We injected mice with Cre-dependent calcium indicator AAV-DIO-GCaMP7s in DH of VGluT2-Cre mice, implanted with a fiber targeting the SUB→RSP layer 3 projections and recorded the fluorescence signal changes—as an indicator of bulk calcium activity—across 3 trials of training and testing days (Figure 3A).Figure 3VGluT2+ SUB→RSP afferents have distinct response dynamics dependent on TFC phase(A) Top, representative image of viral expression and fiber track, together with the diagram indicating position of injection and fiber placement. Bottom, experimental design for fiber photometry recordings. Scale bars, 500 μm (main image) and 100 μm (inset).(B and C) Average GCaMP fluorescence traces during 3 CS-US presentations on training day (B) and during 3 CS presentations on test day (C) recorded from RSP VGluT2+ terminals of projections originating in SUB. Arrows indicate significant increases and decreases of signal.(D) Increase in average Z score following shock exposure (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.2195, F(2,32) = 1.591, factor: phase, p < 0.0001, F(1, 16) = 97.98, factor: trial × phase, p = 0.1259, F(2, 32) = 2.212).(E) Average Z score at tone onset and during trace on training (left) and testing (right) day. Training tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0689, F(1.927, 30.84) = 2.951, factor: phase, p = 0.0021, F(1, 16) = 13.40, factor: trial × phase, p = 0.0258, F(2, 32) = 4.107). Cue test tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0355, F(1.910, 30.56) = 3.795, factor: phase, p = 0.0029, F(1, 16) = 12.37, factor: trial × phase, p = 0.0165, F(2, 32) = 4.679). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\nVGluT2+ SUB→RSP afferents have distinct response dynamics dependent on TFC phase\n(A) Top, representative image of viral expression and fiber track, together with the diagram indicating position of injection and fiber placement. Bottom, experimental design for fiber photometry recordings. Scale bars, 500 μm (main image) and 100 μm (inset).\n(B and C) Average GCaMP fluorescence traces during 3 CS-US presentations on training day (B) and during 3 CS presentations on test day (C) recorded from RSP VGluT2+ terminals of projections originating in SUB. Arrows indicate significant increases and decreases of signal.\n(D) Increase in average Z score following shock exposure (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.2195, F(2,32) = 1.591, factor: phase, p < 0.0001, F(1, 16) = 97.98, factor: trial × phase, p = 0.1259, F(2, 32) = 2.212).\n(E) Average Z score at tone onset and during trace on training (left) and testing (right) day. Training tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0689, F(1.927, 30.84) = 2.951, factor: phase, p = 0.0021, F(1, 16) = 13.40, factor: trial × phase, p = 0.0258, F(2, 32) = 4.107). Cue test tone vs. trace (n = 9; two-way ANOVA with repeated measures; factor: trial, p = 0.0355, F(1.910, 30.56) = 3.795, factor: phase, p = 0.0029, F(1, 16) = 12.37, factor: trial × phase, p = 0.0165, F(2, 32) = 4.679). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\nIn chemogenetic inhibition, we used single-trial training and testing to check for acute effects of VGluT2+ SUB→RSP projection silencing on TFC, whereas in fiber photometry experiments, we used multi-trial approach to capture how neural dynamic evolves across trials.\nConsistent with previous studies, we found that every presentation of a foot-shock during training elicited a large, sustained increase in the GCaMP fluorescence (Figures 3B–3D and S6C).9 We compared average Z score for signals obtained from the RSP terminals originating in the SUB across different phases of training and found that fluorescent signal increased during first 15 s of the tone followed by a dip during trace with repeated tone-shock pairing (Figure 3E). Area under the curve (AUC) showed a similar pattern of signal dynamics, where onset of tone caused a significant increase in the GCaMP signal at the second and third presentation of tone, that was followed by the negative-going responses (“dips”) during trace. Dip in GCaMP signal during trace was significantly amplified at third tone presentation (Figure S6A). During the cue test, average Z scores showed differences in bulk calci micrometer activity during the first 15 s of the tone and 15 s of trace at first and last trial (Figures 3C and 3E). On the testing day, a significant increase of the GCaMP signal at the tone onset was elicited at the first presentation of the tone, followed by a moderate negative-going response increase (Figures 3C and 3E). While the signal increase at the tone onset was only present at the first tone presentation, dip during trace period re-emerged at third tone presentation (Figures 3C and 3E). AUC comparison showed similar signal dynamics (Figure S6B). The negative correlation between GCaMP signal and freezing indicates that fluctuations in VGluT2+ SUB→RSP projection activity co-varied with freezing behavior across tone and trace periods during both training and testing (Figures S6D and S6F). Animals associated the tone and the trace as indicated by significantly different levels of freezing across test phases (Figure S6E). Together these results show that VGluT2+ SUB→RSP projection response dynamic is characterized by overshoot at tone onset followed by the signal dip during trace formed during memory acquisition and replayed at first memory recall.\n\n\n### Changes in response dynamics of VGluT2+ SUB→RSP afferents are specific to learning of tone-shock association\nTo exclude the possibility that the observed response dynamics is a non-associative effect of tone-induced arousal rather than consequence of associative learning, we recorded GCaMP signals from VGluT2+ SUB→RSP afferents in mice undergoing pseudoconditioning (Figures 4A and 4B). TFC and pseudoconditioning differ by a key feature, timing between shock and tone; in pseudoconditioning shock and tone are presented temporally unpaired, preventing the formation of a predictive relationship between two stimuli.33 Thus, if the response dynamic is a consequence of the learned tone-trace-shock association, it will not appear at tone presentation during pseudo fear conditioning. At training, all three shock presentations elicited a response, indicating that shock response during training is not specific for tone-shock association (Figure 4C). Tone presentation both during training and testing did not cause changes in GCaMP fluorescent signal suggesting that the pattern of activity observed during TFC is a consequence of tone-trace-shock association (Figures 4D and 4E). Animals did not show significantly different levels of freezing across test phases, or correlation between GCaMP signal and freezing, indicating that they did not form an association between the tone and the shock (Figures S7A and S7B). Taken together, these data suggest that differences in activity dynamic of VGluT2+ SUB→RSP afferents encode association of the tone and shock that are separated by a time gap.Figure 4Changes in response dynamics of VGluT2+ SUB→RSP afferents are specific to learning of tone-shock association(A) Experimental diagram detailing GCaMP7s AAV injection in the DH and fiber placement in the RSP, enabling recording of calcium signals from SUB→RSP terminals with representative image of viral expression and fiber track. Scale bars, 500 μm (main image) and 200 μm (inset).(B) Schematic of the unpaired fear conditioning paradigm.(C) Top, averaged GCaMP fluorescence traces during 3 unpaired shock presentations on training day. Bottom, significant differences were found in average Z score between pre shock and post shock period (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0199, F(2, 40) = 4.324, factor: phase, p < 0.0001, F(1, 20) = 48.23, factor: trial × phase, p = 0.1750, F(2, 40) = 1.8210).(D) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations on training day. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0988, F(2, 40) = 2.454, factor: phase, p = 0.0068, F(1, 20) = 9.090, factor: trial × phase, p = 0.9558, F(2, 40) = 0.0453).(E) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations during the cue test. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.1915, F(2, 40) = 1.723, factor: phase, p = 0.0018, F(1, 20) = 12.92, factor: trial × phase, p = 0.9272, F(2, 40) = 0.0758). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\nChanges in response dynamics of VGluT2+ SUB→RSP afferents are specific to learning of tone-shock association\n(A) Experimental diagram detailing GCaMP7s AAV injection in the DH and fiber placement in the RSP, enabling recording of calcium signals from SUB→RSP terminals with representative image of viral expression and fiber track. Scale bars, 500 μm (main image) and 200 μm (inset).\n(B) Schematic of the unpaired fear conditioning paradigm.\n(C) Top, averaged GCaMP fluorescence traces during 3 unpaired shock presentations on training day. Bottom, significant differences were found in average Z score between pre shock and post shock period (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0199, F(2, 40) = 4.324, factor: phase, p < 0.0001, F(1, 20) = 48.23, factor: trial × phase, p = 0.1750, F(2, 40) = 1.8210).\n(D) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations on training day. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.0988, F(2, 40) = 2.454, factor: phase, p = 0.0068, F(1, 20) = 9.090, factor: trial × phase, p = 0.9558, F(2, 40) = 0.0453).\n(E) Top, averaged GCaMP fluorescence traces during 3 unpaired tone presentations during the cue test. Bottom, no significant differences were found in average Z score between first half of the tone and trace (n = 11; two-way ANOVA with repeated measures; factor: trial, p = 0.1915, F(2, 40) = 1.723, factor: phase, p = 0.0018, F(1, 20) = 12.92, factor: trial × phase, p = 0.9272, F(2, 40) = 0.0758). Data presented as mean ± s.e.m. ∗p < 0.05, ∗∗p < 0.01, ∗∗∗p < 0.001, ∗∗∗∗p < 0.0001; NS, not significant.\n\n\n### Discussion\nWe demonstrated that VGluT2+ SUB→RSP projections significantly contribute to the associative and temporal components of temporal associative memories, presented to the RSP as an integrated pattern of activity acquired during training and reinstated at retrieval. This was indicated by the observations that concurrent inhibition of VGluT2+ and VGlutT1+ SUB→RSP projections impaired tone-shock associations whereas inhibition of the VGluT2+ SUB→RSP projections selectively impaired freezing during the trace interval. During TFC, VGluT2+ SUB→RSP projections acquired pattern of bulk calcium activity involving a transient increase of the calcium signal at tone onset, followed by suppression during the trace interval. Such activity patterns were not seen in the CA1 population activity, as reported previously,9 suggesting that integration of associative and temporal components of TFC occurred at the SUB or even at the level of the synaptic terminals.\nWe previously demonstrated that the formation of associative contextual memories predominantly depends on the VGluT1+ SUB→RSP projections while VGluT2+ projections contributed to memory persistence.19 Here, we found a similar functional divergence but with respect to the encoding of the temporal trace, which solely depended on the activity of VGluT2+ SUB→RSP projections. This was indicated by the effects of chemogenetic inhibition of these projections, which specifically impaired freezing during the trace period, but not during the tone, or sequences of tone-light-shock pairings lacking a temporal gap. Silencing VGluT2+ SUB→RSP projections significantly impaired, but did not abolish, freezing during trace period. This residual effect may stem from incomplete silencing of SUB→RSP projections, given the fact that they extend broadly along anterior-posterior axis, or alternatively may reflect the capacity of parallel circuits to compensate for the loss of this pathway.\nEarly postnatal excitatory circuits rely on VGluT2 activity, but, as hippocampal, cortical, and cerebellar circuits mature, neurons switch from VGluT2 to VGluT1 phenotype.34 The CA1, the SUB, and a couple of other brain areas are unique in that their neurons express both vesicular transporters. While several findings suggested that VGluT1 and VGluT2 confer different functional properties to excitatory projections, such as different synaptic vesicle dynamics and glutamate release probability,35,36 it has remained unclear whether they stem from discrete or overlapping neuronal populations. Here we showed, using both viral and snRNA-seq approaches, that only a small subset of CA1 and SUB neurons contains both transporters, whereas most are positive for either VGluT1 or VGluT2. In the CA1, we show that VGluT2+ neurons were predominantly located in the developmentally older,37 deep layer, suggesting that these neurons, rather than switching to VGluT1, retained their early developmental VGluT2 phenotype. The segregation of VGluT1 and VGluT2 across deep and superficial layers could contribute to their robust differences in firing rates and burst frequency,38 as well as in their unique contributions to spatial and temporal associative memories. The VGluT neuronal phenotypes in the distal SUB, the primary source of RSP projections, appeared less segregated. Based on our analysis of publicly available databases showing co-expression of VGluT2 and Fn1,27 it is likely that our manipulations primarily targeted VGluT2+ Fn1+ neurons of the distal SUB. In addition to their different cellular origins, excitatory SUB→RSP projections also showed significant differences in their synaptic proteomes, with VGluT2+ presynaptic terminals showing enrichment in neuromodulatory and SNARE-mediated vesicular transport proteomes relative to VGluT1+ synapses. The overall greater proteomic variability of VGluT2+ terminals may be particularly adept at modulating cortical networks in response to dynamic sensory inputs (e.g., TFC versus contextual fear conditioning), thereby fine-tuning cortical circuits for specific behavioral outcomes.\nIt is currently believed that temporal associations are encoded through three interacting processes: trace holding (recent sensory input), temporal expectation (prediction of forthcoming stimuli), and explicit timing (estimation of stimulus onset relative to prior cues).39 According to prevailing models, sustained neural representations of the conditioned stimulus (tone in the case of TFC) across the trace interval are required for the association of temporally discontiguous events.40 Single cell analyses of the activity of DH and SUB neurons have not provided conclusive evidence on learning-related activity patterns coding for the different stimuli and the temporal gap between them. Deep-brain calcium imaging identified a subgroup of neurons, both in the CA1 and the SUB, that maintained tone-evoked activity during the trace period at memory acquisition and consolidated this plasticity after learning in CA1 (but not SUB); becoming increasingly active in anticipation of shock, during the tone-trace interval, an activity correlated with later fear retrieval. Based on these findings, it was suggested that the SUB temporarily supports stimulus maintenance, while CA1 stably encodes this information for long-term memory formation.13 Importantly, the study used AAV (serotype 9) driven by the CaMKIIα promoter for expression of the calcium sensor, which is known to target both excitatory pyramidal neurons and subsets of GABAergic interneurons,41 suggesting that some of the calcium signals could potentially reflect activity of local SUB interneurons. Other studies showed more nuanced responses of CA1 neurons. Two-photon imaging has identified a sparse group of cue-activated CA1 neurons displaying stochastic dynamics across trials, suggesting that trace is not bridged by persistent activity but rather widespread shifts in neuronal ensemble activity,42 whereas single unit recordings showed increased firing only at the first presentation of the tone.43\nOur analysis of bulk synaptic activity, revealed by calcium responses in VGluT2+ SUB→RSP synapses, revealed a different activity pattern: an increase in fluorescent signal at tone onset, followed by a pronounced signal dip during the trace interval. These responses were acquired during training, reconstructed during the first memory test, and not found after pseudo conditioning, demonstrating their specificity for temporal associative learning as well as temporal coding. Current views assume that the association between two events separated in time is simply strengthened by sustained excitatory firing during trace, with inhibition serving merely as a dampening force.39,40 Our findings indicate that, rather than simply reflecting a drop in excitatory drive, this dip may instead mark a temporally structured inhibition that regulates how and when subicular output modulates RSP activity required for temporal coding.17 Feedforward inhibition of SUB VGluT2+ neurons is a likely mechanism for the decrease of their activity during the temporal interval within which associative learning can take place; however, it is unclear at this time whether such inhibition is provided by local microcircuits or from long-range inhibitory projections marked by neuropeptide Y (NPY), somatostatin (SOM), and muscarinic acetylcholine receptor type 2 (M2R).44 These pathways could temporally inhibit SUB output.\nThe transient reduction in VGluT2+ SUB→RSP activity during the trace interval likely represents one component of a temporal coding process that links the conditioned cue to the temporally discontiguous aversive outcome. Our data do not determine whether the transient dip simply marks trace onset or contributes to representing its duration, leaving unsolved whether VGluT2+ SUB→RSP projections are involved in encoding the timing or persistence of conditioned response. Findings from trace eyeblink conditioning show that hippocampal lesions abolish adaptive timing, producing conditioned eyelid closures that peak during cue rather than at expected aversive stimulus.45,46 Similarly, the classic work by Gabriel et al. demonstrated that hippocampal output modulates RSP and anterior thalamic activity during learning, and that SUB lesions disrupt the triphasic CS-evoked responses and disrupt conditioned response timing.47 Although TFC is not ideally suited for precise analyses of the timing response, our results extend this framework by identifying the VGluT2+ SUB projections as a likely pathway through which the hippocampal output supports temporal precision in associative learning.\nThe reproducible dip we observed during both acquisition and recall suggest a stable, experience-dependent motif that re-emerges as contextual representations consolidate. These results support a model in which VGluT2+ SUB→RSP pathway coordinates hippocampal-cortical dynamics to maintain temporal expectancy and sustain defensive behavior across the trace interval. Rather than merely marking the onset of the trace, this suppression may reflect a transition in network state that organizes RSP activity throughout the trace interval and interacts with sustained hippocampal or entorhinal signals encoding for elapsed time. Trial-by-trial changes in pattern could reflect rapid recalibration of temporal coding as the animal updates its memory representations upon cue re-exposure. The consistent, time-locked inhibition we observe at VGluT2+ terminals may provide an internal reference point for maintaining expectancy once the sensory input ceases.\nBuilding on these observations, the Ca2+ signal showed a brief increase at tone onset during the first test trial. This likely reflects a learned, sensory-evoked response to the abrupt appearance of the conditioned stimulus. This onset peak was followed by re-emergence of the dip during trace interval. The negative correlations between GCaMP signal and freezing observed in both the tone and the trace indicate that lower activity of VGluT2+ SUB→RSP terminals is associated with higher freezing levels. This suggests that suppression of this pathway accompanies the expression of conditioned fear, regardless of the trial phase. Rather than reflecting a simple sensory-evoked excitation, this biphasic patter appears to encode state transitions. The decrease in activity marks the shift from cue processing to sustained defensive immobility. This inverse relationship between activity and freezing supports the reduced hippocampal-RSP drive and helps stabilize the freezing state during the stimulus-free trace interval.\nInterestingly, recordings of bulk calcium signals from the CA1 and SUB, apart from shock responses, did not show cue- or trace-specific patterns during TFC9 as found in the VGluT2+ SUB→RSP projections. There are several possible explanations for the differences in the activity patterns detected in SUB inputs and outputs. It is possible that synaptic population activity reveals TFC-specific patterns better than neuronal population activity. The predictive activity pattern at VGluT2+ SUB→RSP terminals implied the presence of circuit-level computation within the SUB. This observation aligns with prior findings that designate the SUB as a critical hub for transforming and routing hippocampal output.48 Indeed, large-scale optogenetically targeted electrophysiological recordings show that dorsal SUB neurons conveyed comparable or greater information per unit of time compared to CA1 neurons, and depending on information type, SUB conveyed information out either uniformly or selectively to specific projection targets, with their firing precisely controlled by theta oscillations and SWR.48 Such mechanism could enable flexible modulation of downstream cortical networks in a manner consistent with dynamic memory demands. Alternatively, TFC-specific activity patterns in VGluT2+ SUB→RSP terminals may not be directly correlated with SUB neuronal activity,13 but instead generated through plasticity at discrete SUB→RSP synapses.\nThere is an emerging support for the view that separate mechanisms contribute to the processing of different components of human episodic memories, with different developmental trajectories for memories of facts, space, and time.49,50 The functional differentiation of circuits identified in our work might thus be applicable to human memory processes from early development throughout adulthood. Moreover, our findings suggest that temporal coding in TFC may emerge not from excitatory persistence but from a circuit-level interplay of excitation and well-timed inhibition, coordinated along the hippocampus–SUB–RSP axis. Future studies are required to delineate the sources of inhibitory inputs to the SUB and to define how its output signals are integrated within downstream target areas.\nThe current study recorded bulk calcium signal activity because our main interest was in the synaptic activity patterns conveyed from SUB to RSC. Such approach could mask the detection of activity of individual neurons that projects to RSC, which may exhibit finer, more specific patterns of activity, overlooking transient or subtle dynamics that could provide additional insight into the underlying processes of temporal memory consolidation.\n\n\n### Limitations of the study\nThe current study recorded bulk calcium signal activity because our main interest was in the synaptic activity patterns conveyed from SUB to RSC. Such approach could mask the detection of activity of individual neurons that projects to RSC, which may exhibit finer, more specific patterns of activity, overlooking transient or subtle dynamics that could provide additional insight into the underlying processes of temporal memory consolidation.\n\n\n### Resource availability\nRequests for further information and resources should be directed to and will be fulfilled by the lead contact, Ana Cicvaric (ana.cicvaric@einsteinmed.edu).\nThis study did not generate new unique reagents.\n•All results of synaptic proteomes analysis have been deposited through an interactive portal (https://proteome-phenome-atlas.com/). The mass spectrometry (MS) data presented in this study have been deposited in the Mass Spectrometry Interactive Virtual Environment (MassIVE) under identifier MSV000098056 (https://massive.ucsd.edu/ProteoSAFe/dataset.jsp?task=aa8f8aa9910b400b8382992f39700ba1) and ProteomeXchange under identifier PXD064462 (https://proteomecentral.proteomexchange.org/cgi/GetDataset?ID=PXD064462).•To generate snRNA-seq graphs, this paper analyzes existing, publicly available data, accessible at NCBI Gene Expression Omnibus database under accession GSE254780 and source code available at https://github.com/RadulovicLab/Nature-2024.•All other data reported in this paper and any additional information required to reanalyze the data reported in this paper is available from the lead contact upon request. All other software and analytical methods used in this study are publicly available, as listed in the key resources table.\nAll results of synaptic proteomes analysis have been deposited through an interactive portal (https://proteome-phenome-atlas.com/). The mass spectrometry (MS) data presented in this study have been deposited in the Mass Spectrometry Interactive Virtual Environment (MassIVE) under identifier MSV000098056 (https://massive.ucsd.edu/ProteoSAFe/dataset.jsp?task=aa8f8aa9910b400b8382992f39700ba1) and ProteomeXchange under identifier PXD064462 (https://proteomecentral.proteomexchange.org/cgi/GetDataset?ID=PXD064462).\nTo generate snRNA-seq graphs, this paper analyzes existing, publicly available data, accessible at NCBI Gene Expression Omnibus database under accession GSE254780 and source code available at https://github.com/RadulovicLab/Nature-2024.\nAll other data reported in this paper and any additional information required to reanalyze the data reported in this paper is available from the lead contact upon request. All other software and analytical methods used in this study are publicly available, as listed in the key resources table.\n\n\n### Lead contact\nRequests for further information and resources should be directed to and will be fulfilled by the lead contact, Ana Cicvaric (ana.cicvaric@einsteinmed.edu).\n\n\n### Materials availability\nThis study did not generate new unique reagents.\n\n\n### Data and code availability\n•All results of synaptic proteomes analysis have been deposited through an interactive portal (https://proteome-phenome-atlas.com/). The mass spectrometry (MS) data presented in this study have been deposited in the Mass Spectrometry Interactive Virtual Environment (MassIVE) under identifier MSV000098056 (https://massive.ucsd.edu/ProteoSAFe/dataset.jsp?task=aa8f8aa9910b400b8382992f39700ba1) and ProteomeXchange under identifier PXD064462 (https://proteomecentral.proteomexchange.org/cgi/GetDataset?ID=PXD064462).•To generate snRNA-seq graphs, this paper analyzes existing, publicly available data, accessible at NCBI Gene Expression Omnibus database under accession GSE254780 and source code available at https://github.com/RadulovicLab/Nature-2024.•All other data reported in this paper and any additional information required to reanalyze the data reported in this paper is available from the lead contact upon request. All other software and analytical methods used in this study are publicly available, as listed in the key resources table.\nAll results of synaptic proteomes analysis have been deposited through an interactive portal (https://proteome-phenome-atlas.com/). The mass spectrometry (MS) data presented in this study have been deposited in the Mass Spectrometry Interactive Virtual Environment (MassIVE) under identifier MSV000098056 (https://massive.ucsd.edu/ProteoSAFe/dataset.jsp?task=aa8f8aa9910b400b8382992f39700ba1) and ProteomeXchange under identifier PXD064462 (https://proteomecentral.proteomexchange.org/cgi/GetDataset?ID=PXD064462).\nTo generate snRNA-seq graphs, this paper analyzes existing, publicly available data, accessible at NCBI Gene Expression Omnibus database under accession GSE254780 and source code available at https://github.com/RadulovicLab/Nature-2024.\nAll other data reported in this paper and any additional information required to reanalyze the data reported in this paper is available from the lead contact upon request. All other software and analytical methods used in this study are publicly available, as listed in the key resources table.\n\n\n### Acknowledgments\nThis work was funded by 10.13039/100000025NIMH grants MH108837 and MH078064 to J.R.; J 4271 FWF (10.13039/501100002428Austrian Science Fund) to A.C.; NARSAD Young Investigator Grant to Y.-Z.W.; Individual Biomedical Research Award from 10.13039/100006792The Hartwell Foundation and 10.13039/100000002NIH\nS10OD032464 to J.N.S. We thank Genetics and Computational Genomics Cores at 10.13039/100007319Albert Einstein College of Medicine, especially Junya Zhang, for their help in data analysis. Illustrations of nonscientific data were created with BioRender.com through an institutional license.\n\n\n### Author contributions\nJ.R. and A.C. designed the study; A.C., T.E.B., and J.R. wrote the original draft; Y.-Z.W., V.J., N.K., and J.N.S. performed proteomic experiments; E.M.W. and H.Z. performed snRNA-seq experiments; A.C. and T.E.B. performed fiber photometry experiments; N.Y. and A.C. performed tracing experiments; L.R., V.G., J.R., V.P., Z.P., and A.C. performed behavior tests and data analysis; Y.-Z.W., J.N.S., H.Z., E.M.W. and Z.P. assisted in manuscript revision.\n\n\n### Declaration of interests\nThe authors declare no competing interests.\n\n\n### STAR★Methods\nREAGENT or RESOURCESOURCEIDENTIFIERAntibodiesRabbit anti-mCherryAbcamCat#ab167453; RRID:AB_2571870Chicken anti-GFPAbcamCat#ab13970; RRID:AB_300798Biological samplesMouse brain samplesThis paperN/AChemicals, peptides, and recombinant proteinsCLOZAPINE N-OXIDE (CNO)Sigma AldrichCat#C08322-MethylbutaneTCI chemicalsCat#M0167Paraformaldehyde (PFA)Thermo Scientific ChemicalsCat#A11313BiotinSigmaCat#B4501NeutrAvidin beadsThermo Fisher ScientificCat #2901TMT reagentThermo Fisher ScientificCat# 90111Recombinant DNAssAAV-9/2-hSyn1-chI-dlox-jGCaMP7s(rev)-dlox-WPRE-SV40p(A)VVF ZurichCat#v407-9AAV8-EF1a-Nuc-flox(mCherry)-EGFPAddgeneCat#112677-AAV8; RRID:Addgene_112677AAVrg-EF1a-DO_DIO-TdTomato_EGFP-WPRE-pAAddgeneCat#37120-AAVrg; RRID:Addgene_37120AAV8-hSyn-HA-hM4D(Gi)-mCherryAddgeneCat#44362-AAV8; RRID:Addgene_44362AAV8-hSyn-DIO-hM4D(Gi)-mCherryAddgeneCat#50475-AAV8; RRID:Addgene_50475AAVrh10-FLEx-preBirA∗Savas lab/Packaged by ViroVekN/AAAV-FLEx-cytoBirA∗Savas lab/Packaged by ViroVekN/AExperimental models: Organisms/strainsWild-type miceEnvigoC57BL/6NHsd; IMSR_ENV:HSD-044Vglut1-Cre miceJackson Laboratory (Harris JA et al., 2014)Cat#037512; RRID:IMSR_JAX:037512Vglut2-Cre miceJackson Laboratory (Vong L et al., 2011)Cat#016963; RRID:IMSR_JAX:016963Deposited dataIn vivo proximity biotinylation synaptic proteomes analysisThis paperMSV000098056; PXD064462Software and algorithmsPrism 10.4.0Graphpadhttps://www.graphpad.comMATLAB 2022aMathWorkshttps://www.mathworks.comRThe R Projecthttps://www.r-project.orgGuppyLehner Labhttps://github.com/LernerLab/GuPPySpyderMIThttps://www.spyder-ide.org/RStudioPosit PBChttps://posit.co/products/open-source/rstudio/DAVIDNIHhttps://david.ncifcrf.govIP2Bruker, Eng et al., 1994 and Xu et al., 2014http://www.integratedproteomics.comVideo Freeze™MedAssociateshttps://med-associates.com/product/videofreeze-video-fear-conditioning-software/\nWe used male and female C57BL/6N mice, vGlut1-Cre23 mice and vGlut2-Cre24 mice, as described in detail recently.19 Wild type C57BL6/J mice were purchased from Harlan, Indianapolis, IN. All Cre mouse lines were obtained from the Jackson Laboratory (Bar Harbor, ME). The VGluT1-Cre mouse line, also known as Slc17a7-IRES2-Cre or Vglut1-IRES2-Cre-D, was created by the Hongkui Zeng lab, Allen Institute for Brain Science,23 the VGluT2-Cre knockin mice, also known as Slc17a6tm2(cre) and Lowl or VGlut2-ires-Cre, was generated as described previously.24 Mice were bred, genotyped (using primers reported on the Jackson Laboratory website) and used for experiments at the age of 8 weeks. Typically, we obtained 4-6 litters/breeding cycle with 5-8 mice/litter with similar distribution of males and females in order to assess any sex specific differences. All litters were used for behavioral experiments and randomly allocated male mice were used for tracing, fiber photometry and proteomic studies. The mice were maintained under standard housing conditions (12 h/12 h light dark cycle with lights on at 7 a.m., temperature 20-22°C, humidity 30-60%) in our satellite behavioral facility. All animal procedures used in this study were approved by the Northwestern University’s Animal Care and Use Committee (protocols IS00002463 and IS00003359) and Albert Einstein’s Animal Care and Use Committee (protocols 00001289 and 00001268) in compliance with US National Institutes of Health standards.\nMice were anesthetized with 1.2% tribromoethanol (vol/vol, Avertin) for viral vector intracranial infusion and cannula implantation. The Cre-dependent color-flipping retrograde reporter pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE-pA51 (gift from Bernardo Sabatini, Addgene plasmid Cat# 37120) was injected unilaterally in RSP or SUB (RSP: 1.80 mm posterior, ±0.40 mm lateral, 1.00 mm ventral to bregma and SUB: 3.52 mm posterior, ±2.50 mm lateral, 1.85 mm ventral to bregma) and Cre-dependent color-flipping nuclear reporter AAV8-EF1a-Nuc-flox(mCherry)-EGFP52 (gift from Brandon Harvey, Addgene, Cat # 112677) was injected in CA1 (1.80 mm posterior, ±1.00 mm lateral, 2.20 mm ventral to bregma). The viral vector carrying a construct coding for the Cre-independent inhibitory DREADD53 (AAV8-hSyn-HA-hM4D(Gi)-mCherry, gift from Bryan Roth, Addgene, Cat # 50475) or Cre-dependent inhibitory DREADD53 (AAV8-hSyn-DIO-hM4D(Gi)-mCherry, gift from Bryan Roth, Addgene, Cat # 44362) was bilaterally infused into the DH (1.80 mm posterior, ±1.00 mm lateral, 2.25 mm ventral to bregma). For Fiberphotometry experiments viral vector carrying a construct coding for the Cre-dependent GCaMP was injected to DH, (ssAAV-9/2-hSyn1-chI-dlox-jGCaMP7s(rev)-dlox-WPRE-SV40p(A), VVF Zürich, Cat # v407-9, DH: 1.80 mm posterior, ±1.00 mm lateral, 2.13 mm ventral to bregma).\nFor behavioral experiments infusions were performed using an automatic microsyringe pump controller (Micro4-WPI) connected to a Hamilton microsyringe (Cat # 88400). The viral vectors were infused in a volume of 0.5 μL per site over 2 min, and syringes were left in place for 5 min prior to removal to allow for virus diffusion. Bilateral 26 gauge guide cannulas (Plastics One) were placed in RSP (1.8 mm posterior, ±0.4 mm lateral, 0.75 mm ventral to bregma). Mice were allowed 6 weeks for virus expression prior to behavioral testing. CNO (Sigma; 0.3 μg/mL; 0.20 μL per side, at a rate of 0.5 μL/min) was infused through the cannulas 30 min prior to either fear conditioning or memory retrieval testing. After the completion of behavioral testing, all brains were collected and cannula placements and virus spread were confirmed by immunohistochemical analysis using anti-mCherry antibodies (1:1000; Abcam, Cat # ab167453). For tracing and fiberphotometry experiments we used Microliter Neuros Syringe (Cat # 65460-02) with an automatic microsyringe pump controller (Micro4-WPI) to deliver unilaterally 0.2 μL of viral vectors over 2 min. Syringes were left in place for 5 min prior to removal to allow for virus diffusion. Optic fibers (MBF Bioscience, Cat # FOC-BF-200-125 with 200 um core diameter and NA=0.37) were implanted to record from SUB→RSP projections (1.80 mm posterior, ±0.30 mm lateral, 1.00 mm ventral to bregma). After the completion of experiments, all brains were collected and fiber placements and virus spread were confirmed by immunohistochemical analysis using anti-GFP antibodies (1:2000; Abcam, Cat # 13970).\nMice were anesthetized with an i.p. injection of 240 mg/kg Avertin and transcardially perfused with ice-cold 4% paraformaldehyde in phosphate buffer (pH 7.4, 150 mL per mouse). Brains were removed and post-fixed for 48 h in the same fixative and then immersed for 24 h each in 10%, 20% and 30% sucrose solution in phosphate buffer. Brains were frozen and 50 μm sections were cut for use in free-floating immunohistochemistry, as described previously.54 Primary antibodies against mCherry (1:1000; Abcam AB167453) and GFP (1:2000, Abcam AB13970) were used and visualized with either diaminobenzidine (Sigma) or secondary antibodies obtained from Jackson ImmunoResearch (1:500 each, AlexaFluor® 594 Cat # 711-585-152, AlexaFluor® 488 Cat # 703-545-155). Sections were mounted using Vectashield (Vector) and observed with a confocal laser-scanning microscope (Olympus Fluoview FV10i) at 40×. Bright-field microscopy was used to visualize signals immunolabeled with choromogenic substrate diaminobenzidine (DAB, Sigma).\nFirst, we constructed a molecular probe by fusing the promiscuous biotin ligase BirA∗ to a presynaptic targeting motif (FLEx-preBirA∗).30,31,55 We also included a T2a motif followed by GFP to visualize neurons expressing our probe and flanking FLEx elements to conditionally express the probe in a cell specific manner based on Cre expression. Once the probe is expressed in the brain, it will localize to presynaptic terminals and biotinylate nearby proteins with a radius of 10 nm. As a negative control, we removed the presynaptic targeting sequence from to generate a construct (FLEx-cytoBirA∗) that is not selectively targeted to any subcellular location. Finally, we packaged FLEx-preBirA∗ and FLEx-cytoBirA∗ into AAV viruses (packaged by ViroVek). We then sterotactically injected FLEx-preBirA∗ or FLEx-cytoBirA∗ AAVs into DH of VGluT1-Cre and VGluT2-Cre mice as described above and incubated the viruses for one month. Next, we administrated biotin (22.5 mg/kg subcutaneously, Sigma, Cat # B4501) to the mice daily for one week to induce biotinylation of presynaptic proteins. Then we sacrificed the mice and dissected the RSP regions.\nDissected RSPs were homogenized in RIPA lysis buffer (50 mM Tris, 150 mM NaCl, 0.1% SDS, 1mM EDTA, 0.5% sodium deoxycholate, 1% Triton X-100, 1 x protease inhibitor cocktail (Thermo Fisher Scientific, Cat # 78443), 1 x phosphatase inhibitor (Thermo Fisher Scientific, Cat # 78420), pH 7.4) with an electronic homogenizer (Glas-Col, Cat # 099C-K54). Then excess 10% SDS solution was added into each sample to make the final SDS concentration to 1%. After sonication with a probe sonicator (Qsonica) for 3 x 1 min, RSP homogenates were solubilized at 4°C for 1 h with rotation. Insoluble components were removed by centrifuging at 13,000 x g for 30 mins. 400 μL of pre-washed NeutrAvidin beads (Thermo Fisher Scientific, Cat # 2901) were added into each sample and incubated at 4°C overnight with gentle rotation.\nWe performed on-beads digestion based on previous reported protocol.56 After overnight incubation with RSP homogenates, NeutrAvidin beads were rinsed for five times in one mL lysis buffer (6 M Guanidine, 50 mM HEPES, pH 8.5), then added one mL lysis buffer. Dithiothreitol (DTT, DOT Scientific Inc, Cat# DSD11000) was applied to a final concentration of 5 mM. After incubation at RT for 20 min, iodoacetamide (IAA, Sigma-Aldrich, Cat# I1149) was added to a final concentration of 15 mM and incubated for 20 min at room temperature in the dark. Excess IAA was quenched with DTT for 15 min. Samples were diluted with buffer (100 mM HEPES, pH 8.5, 1.5 M Guanidine), and digested for 3 h with Lys-C protease (1:100, ThermoFisher Scientific, Cat# 90307_3668048707) at 37°C. Trypsin (1:100, Promega, Cat# V5280) was then added for overnight incubation at 37°C with intensive agitation (1000 rpm). The next day, reaction was quenched by adding 1% trifluoroacetic acid (TFA, Fisher Scientific, O4902-100). The samples were desalted using HyperSep C18 Cartridges (Thermo Fisher Scientific, Cat# 60108-301) and vacuum centrifuged to dry.\nC18 column-desalted peptides were resuspended with 100 mM HEPES pH 8.5 and the concentrations were measured by micro BCA kit (Fisher Scientific, Cat# PI23235). For each sample, 25 μg of peptide labeled with TMT reagent (0.4 mg, dissolved in 40 μL anhydrous acetonitrile, Thermo Fisher Scientific, Cat# 90111) and made at a final concentration of 30% (v/v) acetonitrile (ACN). Following incubation at room temperature for 2 h with agitation, hydroxylamine (to a final concentration of 0.3% (v/v)) was added to quench the reaction for 15 min. Equal amounts of TMT-tagged samples were mixed. Combined sample was vacuum centrifuged to dryness, resuspended, and subjected to HyperSep C18 Cartridges. We used a high pH reverse-phase peptide fractionation kit (Thermo Fisher Scientific, Cat# 84868) to get eight fractions (5.0%, 10.0%, 12.5%, 15.0%, 17.5%, 20.0%, 22.5%, 25.0% and 50% of ACN in 0.1% triethylamine solution). The high pH peptide fractions were directly loaded into the autosampler for MS analysis without further desalting.\n3 μg of each fraction or sample were auto-sampler loaded with a Thermo UltiMate 3000 HPLC pump onto a vented Acclaim Pepmap 100, 75 μm x 2 cm, nanoViper trap column coupled to a nanoViper analytical column (Thermo Fisher Scientific, Cat#: 164570, 3 μm, 100 Å, C18, 0.075 mm, 500 mm) with stainless steel emitter tip assembled on the Nanospray Flex Ion Source with a spray voltage of 2000 V. An Orbitrap Fusion (Thermo Fisher Scientific) was used to acquire all the MS spectral data. Buffer A contained 94.785% H2O with 5% ACN and 0.125% FA, and buffer B contained 99.875% ACN with 0.125% FA. The chromatographic run was for 4 h in total with the following profile: 0-7% for 7, 10% for 6, 25% for 160, 33% for 40, 50% for 7, 95% for 5 and again 95% for 15 mins receptively.\nWe used a multiNotch MS3-based TMT method to analyze all the TMT samples.57,58,59 The scan sequence began with an MS1 spectrum (Orbitrap analysis, resolution 120,000, 400-1400 Th, AGC target 2×105, maximum injection time 200 ms). MS2 analysis, ‘Top speed’ (2 s), Collision-induced dissociation (CID, quadrupole ion trap analysis, AGC 4×103, NCE 35, maximum injection time 150 ms). MS3 analysis, top ten precursors, fragmented by HCD prior to Orbitrap analysis (NCE 55, max AGC 5×104, maximum injection time 250 ms, isolation specificity 0.5 Th, resolution 60,000).\nProtein identification/quantification and analysis were performed with Integrated Proteomics Pipeline - IP2 (Bruker, Madison, WI. http://www.integratedproteomics.com/) using ProLuCID,60,61 DTASelect2,62,63 Census and Quantitative Analysis. Spectrum raw files were extracted into MS1, MS2 and MS3 files using RawConverter (http://fields.scripps.edu/downloads.php). The tandem mass spectra were searched against UniProt mouse protein database (downloaded on 03-25-2014)64 and matched to sequences using the ProLuCID/SEQUEST algorithm (ProLuCID version 3.1) with 5 ppm peptide mass tolerance for precursor ions and 600 ppm for fragment ions. The search space included all fully and half-tryptic peptide candidates within the mass tolerance window with no-miscleavage constraint, assembled, and filtered with DTASelect2 through IP2. To estimate peptide probabilities and false-discovery rates (FDR) accurately, we used a target/decoy database containing the reversed sequences of all the proteins appended to the target database.65 Each protein identified was required to have a minimum of one peptide of minimal length of six amino acid residues; however, this peptide had to be an excellent match with an FDR < 1% and at least one excellent peptide match. After the peptide/spectrum matches were filtered, we estimated that the peptide FDRs were ≤ 1% for each sample analysis. Resulting protein lists include subset proteins to allow for consideration of all possible protein forms implicated by at least two given peptides identified from the complex protein mixtures. Then, we used Census and Quantitative Analysis in IP2 for protein quantification of TMT MS. experiments and protein quantification was determined by summing all TMT report ion counts. TMT MS data were normalized using with a build-in method in IP2.\nSpyder (MIT, Python 3.7, libraries, ‘pandas’, ‘numpy’, ‘scipy’, ‘statsmodels’ and ‘bioinfokit’) was used for data analyses. RStudio (version, 1.2.1335, packages, ‘tidyverse’, ‘pheatmap’) was used for data virtualization. The Database for Annotation, Visualization and Integrated Discovery (DAVID) (https://david.ncifcrf.gov/) was used for protein functional annotation analysis.\nThe snRNA seq data shown in this publication was obtained by analyzing dataset previously deposited to NCBI's Gene Expression Omnibus by our group32 and can be accessed using GEO Series accession number GSE254780 (https://www.ncbi.nlm.nih.gov/geo/query/acc.cgi?acc=GSE254780). Briefly, single-cell RNA sequencing (scRNA-seq) data were initially analyzed using scTE with default settings to quantify transposable element (TE) gene expression.66 The resulting .h5ad data objects were loaded into R (v4.3) and analyzed using the Seurat package (v5.0.3).67 Within Seurat, cells were filtered to retain those with >500 UMI counts, >200 detected features, and <15% mitochondrial content. Genes expressed in fewer than 5 cells were also removed. Doublets were subsequently identified and removed using DoubletFinder.68 The filtered datasets were then merged. Principal Component Analysis (PCA) was performed, and an optimal number of PCs was selected based on cumulative variance and elbow point heuristics. Batch effects between samples were corrected using Harmony integration on the PCA embeddings.69 UMAP visualization and Leiden clustering (resolution 0.4) were performed on the Harmony-corrected dimensions. Cell type annotation was performed using scType with a custom brain-specific marker gene database (Table S2).70 Finally, differentially expressed genes (DEGs) between annotated cell types were identified using FindAllMarkers function from Seurat package, and these DEGs were further filtered to identify transposable element (TE)-derived transcripts based on a provided TE annotation file provided by the scTE package. The expression of VGluT2 (Slc17a6) and VGlut1 (Slc17a7) genes, was examined using FeaturePlot function from the Seurat package with the blend option set to TRUE, enabling the visualization of co-expression patterns between these genes. Data showing expression of VGluT2 (Slc17a6) and VGlut1 (Slc17a7) genes in the subicular clusters was generated using database previously published27 and available for online analysis on Brain RNA-seq atlas (https://scrnaseq.janelia.org/). Following online analysis with the available interactive tool, gene expression values were downloaded and plotted offline using GraphPad Prizm software.\nTrace fear conditioning was performed in an automated system (TSE Systems) as described previously.71 Briefly, mice were exposed for 120 s to a unfamiliar context (Context 1), followed by a 30 s of 10 kHz tone, 15 s temporal trace, and foot shock (2 s, 0.7 mA, constant current). To prevent scent-based cues from influencing behavior, chambers were cleaned thoroughly with 70% ethanol after every session. Mice were tested for memory retrieval 24 h later in a contextually distinct novel context (Context 2, context exposure duration 60 s, Tone duration 30 s and Trace duration 15 s). Chambers were cleaned thoroughly with 1% acetic acid after every session. Freezing was scored every 5 s during Context 2 and Tone exposure and every 3 s during Trace duration, and expressed as a percentage of the total number of freezing observations during which the mice were motionless. To control for the behavioral specificity of CNO effects, we also used delay fear conditioning (DFC) and tone-light-shock fear conditioning (TLC). DFC was performed as TFC except that shock was delivered immediately after termination of tone, thus there was no trace separating tone and shock. TLC was performed as TFC except that 500 ms light pulses were delivered during the 15 s trace. For fiberphotometry experiments involving trace fear conditioning, mice were placed in soundproof chambers (Med Associates Inc., St. Albans, VT) equipped with metal-grid flooring used to administer foot shocks. Each session began with a 120 s of context exposure (Context 1), after which the animals were presented with three auditory tones (30 s duration, 80 dB, 50 ms rise time). A brief foot shock (0.5 mA, 2 s) was delivered 15 s after each tone ended. Each Tone-Trace presentation was separated by a 60 s interval. To prevent scent-based cues from influencing behavior, chambers were cleaned thoroughly with 70% ethanol after every session. Memory recall was evaluated 24 h later in a contextually distinct environment (Context 2) featuring a flat white floor and a novel odor (1% acetic acid). Mice were placed in this altered chamber and, following a 120 s baseline period, the tone was played again for 30 s. Freezing responses were measured during the Baseline, Tone, and Trace period. For pseudoconditioning, at training mice were placed in Context 1 for 120 s, after which three brief foot shocks (0.5 mA, 2 s) were applied with an inter-shock-interval of 60 s. This was followed by three unpaired Tone representations (30 s duration, 80 dB, 50 ms rise time) with inter-tone-interval of 60 During test session, mice were exposed to the same protocol, except that the foot shocks were omitted. Behavior was recorded and quantified using Video Freeze® software (Med Associates Inc., Fairfax, VT), and independently validated by manual scoring (Context 2 and Tone exposure every 5 s and Trace every 3 s) by experimenters blinded to both treatment groups and experimental design through the use of coded identifiers. All behavioral experiments were performed between 10 am and 5 pm. Littermates were randomly assigned to the different treatment conditions. All behavioral tests and immunohistochemical analyses were performed by experimenters who were blind to genotypes and drug treatments.\nWe used fiberphotomerty technique to measure real time neuronal calcium transients in freely moving animals.72,73 Data acquisition was performed using Neurophotometrics FP3002 system using 2 LEDs with emission of 470 nm (GCaMP wavelength) and 415 nm (isosbestic wavelength) coupled to a 200 μm 0.37 N.A. optical fiber (FOC-BF-200-125, Neurophotmetrics) with the light power at the tip constant across trials and testing days between 10-30 μW. The fluorescence signal was collected by the same optical fiber, filtered, and focused on a BlackFly CMOS camera. Intercalated samples were acquired at 60 FPS. Raw data were used as an input and visualized by Bonsai74 and CropPolygon function was used to define ROIs. Synchronization with movement was provided by simultaneously triggering a TTL input from the fear conditioning system (MedAssociates Inc., St. Albans, VT). To minimize the patch cord autofluorescence, prior to the recording light at 470 nm was delivered for at least 15 h. Animals were handled and habituated in their home cage to optical fiber tethering for 3 days prior to behavioral tests.\nFor data analysis we used GuPPy, a Python toolbox for fiberphotometry analysis.75 The isosbestic wavelength records calcium-independent events such as motion artifacts and autofluorescence, and photobleaches at the similar rate as the calcium signal and was used as a control signal when calculating fluorescence signal changes from the baseline, using following equation ΔF/F = (Fobserved-Ffitted)/Ffitted.76 High-pass filtered and transformed to z scores data (z score = (ΔF/F-μΔF/F))/σΔF/F, where μ is mean and σ is standard deviation, where μ and σ are calculated across the whole session) was used to combine data across multiple animals and testing days. Ca2+ activity associated with different test phases was assessed by aligning the ΔF/F signal to time 0 at each TTL timestamp and extracting a 90 s window, spanning 30 s before to 60 s after Tone onset. Data was binned to 15 s intervals and positive and negative areas under the curve (AUC)77 were calculated for each detected peaks and average z score for each training and testing phase.\nPhase-specific neural-behavioral correlation were conducted by using tone and trace periods independently. In addition, TFC trained and Pseudoconditioned groups were processed as separate datasets. For each animal, mean z-scored ΔF/F values for tone and trace intervals were computed and paired with the corresponding freezing percentages for those same epochs. We used whole tone interval for correlation analysis. Previous studies have shown that freezing at tone stabilizes after initial orienting response, since early part of CS can include brief head movements or postural adjustments that introduce noise into trial-by-trial estimates.78,79 Pearson’s correlation analyses were performed in Graphpad Prizm using built-in correlation function.\nStatistical analyses were performed using Graphpad Prizm software and Matlab functions. For the behavioral studies, freezing data were analyzed for Treatment (CNO or Vehicle) and Test (repeated measure) as factors using two-way repeated measures ANOVA. For fiber photometry studies two-way repeated measures ANOVA was used to compare between phases during training and testing days (Baseline, Tone, Trace, Inter-Trial-Interval). Significant F values were followed by post hoc comparisons using Tukey test. For analyses of proteomic data, we used regression analyses and unpaired two-tailed Student’s t test. Homogeneity of variance was confirmed with Levene’s test for equality of variances. Statistical differences were considered significant for all P values < 0.05. Group sizes were determined using power analyses assuming a moderate effect size of 0.5. All key findings were replicated at least twice, and mostly three times, in different sets of mice (biological replicates). Only mice with correctly placed cannulas and fibers and robust virus expression in RSP terminals or injection site (> 70% of maximal expression determined by densitometry) were included in the analyses. Details of statistical analyses are found in figure legends. All data for the preparation of graphs and statistical analysis relevant data that support the conclusions are uploaded as source data.\n\n\n### Key resources table\nREAGENT or RESOURCESOURCEIDENTIFIERAntibodiesRabbit anti-mCherryAbcamCat#ab167453; RRID:AB_2571870Chicken anti-GFPAbcamCat#ab13970; RRID:AB_300798Biological samplesMouse brain samplesThis paperN/AChemicals, peptides, and recombinant proteinsCLOZAPINE N-OXIDE (CNO)Sigma AldrichCat#C08322-MethylbutaneTCI chemicalsCat#M0167Paraformaldehyde (PFA)Thermo Scientific ChemicalsCat#A11313BiotinSigmaCat#B4501NeutrAvidin beadsThermo Fisher ScientificCat #2901TMT reagentThermo Fisher ScientificCat# 90111Recombinant DNAssAAV-9/2-hSyn1-chI-dlox-jGCaMP7s(rev)-dlox-WPRE-SV40p(A)VVF ZurichCat#v407-9AAV8-EF1a-Nuc-flox(mCherry)-EGFPAddgeneCat#112677-AAV8; RRID:Addgene_112677AAVrg-EF1a-DO_DIO-TdTomato_EGFP-WPRE-pAAddgeneCat#37120-AAVrg; RRID:Addgene_37120AAV8-hSyn-HA-hM4D(Gi)-mCherryAddgeneCat#44362-AAV8; RRID:Addgene_44362AAV8-hSyn-DIO-hM4D(Gi)-mCherryAddgeneCat#50475-AAV8; RRID:Addgene_50475AAVrh10-FLEx-preBirA∗Savas lab/Packaged by ViroVekN/AAAV-FLEx-cytoBirA∗Savas lab/Packaged by ViroVekN/AExperimental models: Organisms/strainsWild-type miceEnvigoC57BL/6NHsd; IMSR_ENV:HSD-044Vglut1-Cre miceJackson Laboratory (Harris JA et al., 2014)Cat#037512; RRID:IMSR_JAX:037512Vglut2-Cre miceJackson Laboratory (Vong L et al., 2011)Cat#016963; RRID:IMSR_JAX:016963Deposited dataIn vivo proximity biotinylation synaptic proteomes analysisThis paperMSV000098056; PXD064462Software and algorithmsPrism 10.4.0Graphpadhttps://www.graphpad.comMATLAB 2022aMathWorkshttps://www.mathworks.comRThe R Projecthttps://www.r-project.orgGuppyLehner Labhttps://github.com/LernerLab/GuPPySpyderMIThttps://www.spyder-ide.org/RStudioPosit PBChttps://posit.co/products/open-source/rstudio/DAVIDNIHhttps://david.ncifcrf.govIP2Bruker, Eng et al., 1994 and Xu et al., 2014http://www.integratedproteomics.comVideo Freeze™MedAssociateshttps://med-associates.com/product/videofreeze-video-fear-conditioning-software/\n\n\n### Experimental and study participant model details\nWe used male and female C57BL/6N mice, vGlut1-Cre23 mice and vGlut2-Cre24 mice, as described in detail recently.19 Wild type C57BL6/J mice were purchased from Harlan, Indianapolis, IN. All Cre mouse lines were obtained from the Jackson Laboratory (Bar Harbor, ME). The VGluT1-Cre mouse line, also known as Slc17a7-IRES2-Cre or Vglut1-IRES2-Cre-D, was created by the Hongkui Zeng lab, Allen Institute for Brain Science,23 the VGluT2-Cre knockin mice, also known as Slc17a6tm2(cre) and Lowl or VGlut2-ires-Cre, was generated as described previously.24 Mice were bred, genotyped (using primers reported on the Jackson Laboratory website) and used for experiments at the age of 8 weeks. Typically, we obtained 4-6 litters/breeding cycle with 5-8 mice/litter with similar distribution of males and females in order to assess any sex specific differences. All litters were used for behavioral experiments and randomly allocated male mice were used for tracing, fiber photometry and proteomic studies. The mice were maintained under standard housing conditions (12 h/12 h light dark cycle with lights on at 7 a.m., temperature 20-22°C, humidity 30-60%) in our satellite behavioral facility. All animal procedures used in this study were approved by the Northwestern University’s Animal Care and Use Committee (protocols IS00002463 and IS00003359) and Albert Einstein’s Animal Care and Use Committee (protocols 00001289 and 00001268) in compliance with US National Institutes of Health standards.\n\n\n### Method details\nMice were anesthetized with 1.2% tribromoethanol (vol/vol, Avertin) for viral vector intracranial infusion and cannula implantation. The Cre-dependent color-flipping retrograde reporter pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE-pA51 (gift from Bernardo Sabatini, Addgene plasmid Cat# 37120) was injected unilaterally in RSP or SUB (RSP: 1.80 mm posterior, ±0.40 mm lateral, 1.00 mm ventral to bregma and SUB: 3.52 mm posterior, ±2.50 mm lateral, 1.85 mm ventral to bregma) and Cre-dependent color-flipping nuclear reporter AAV8-EF1a-Nuc-flox(mCherry)-EGFP52 (gift from Brandon Harvey, Addgene, Cat # 112677) was injected in CA1 (1.80 mm posterior, ±1.00 mm lateral, 2.20 mm ventral to bregma). The viral vector carrying a construct coding for the Cre-independent inhibitory DREADD53 (AAV8-hSyn-HA-hM4D(Gi)-mCherry, gift from Bryan Roth, Addgene, Cat # 50475) or Cre-dependent inhibitory DREADD53 (AAV8-hSyn-DIO-hM4D(Gi)-mCherry, gift from Bryan Roth, Addgene, Cat # 44362) was bilaterally infused into the DH (1.80 mm posterior, ±1.00 mm lateral, 2.25 mm ventral to bregma). For Fiberphotometry experiments viral vector carrying a construct coding for the Cre-dependent GCaMP was injected to DH, (ssAAV-9/2-hSyn1-chI-dlox-jGCaMP7s(rev)-dlox-WPRE-SV40p(A), VVF Zürich, Cat # v407-9, DH: 1.80 mm posterior, ±1.00 mm lateral, 2.13 mm ventral to bregma).\nFor behavioral experiments infusions were performed using an automatic microsyringe pump controller (Micro4-WPI) connected to a Hamilton microsyringe (Cat # 88400). The viral vectors were infused in a volume of 0.5 μL per site over 2 min, and syringes were left in place for 5 min prior to removal to allow for virus diffusion. Bilateral 26 gauge guide cannulas (Plastics One) were placed in RSP (1.8 mm posterior, ±0.4 mm lateral, 0.75 mm ventral to bregma). Mice were allowed 6 weeks for virus expression prior to behavioral testing. CNO (Sigma; 0.3 μg/mL; 0.20 μL per side, at a rate of 0.5 μL/min) was infused through the cannulas 30 min prior to either fear conditioning or memory retrieval testing. After the completion of behavioral testing, all brains were collected and cannula placements and virus spread were confirmed by immunohistochemical analysis using anti-mCherry antibodies (1:1000; Abcam, Cat # ab167453). For tracing and fiberphotometry experiments we used Microliter Neuros Syringe (Cat # 65460-02) with an automatic microsyringe pump controller (Micro4-WPI) to deliver unilaterally 0.2 μL of viral vectors over 2 min. Syringes were left in place for 5 min prior to removal to allow for virus diffusion. Optic fibers (MBF Bioscience, Cat # FOC-BF-200-125 with 200 um core diameter and NA=0.37) were implanted to record from SUB→RSP projections (1.80 mm posterior, ±0.30 mm lateral, 1.00 mm ventral to bregma). After the completion of experiments, all brains were collected and fiber placements and virus spread were confirmed by immunohistochemical analysis using anti-GFP antibodies (1:2000; Abcam, Cat # 13970).\nMice were anesthetized with an i.p. injection of 240 mg/kg Avertin and transcardially perfused with ice-cold 4% paraformaldehyde in phosphate buffer (pH 7.4, 150 mL per mouse). Brains were removed and post-fixed for 48 h in the same fixative and then immersed for 24 h each in 10%, 20% and 30% sucrose solution in phosphate buffer. Brains were frozen and 50 μm sections were cut for use in free-floating immunohistochemistry, as described previously.54 Primary antibodies against mCherry (1:1000; Abcam AB167453) and GFP (1:2000, Abcam AB13970) were used and visualized with either diaminobenzidine (Sigma) or secondary antibodies obtained from Jackson ImmunoResearch (1:500 each, AlexaFluor® 594 Cat # 711-585-152, AlexaFluor® 488 Cat # 703-545-155). Sections were mounted using Vectashield (Vector) and observed with a confocal laser-scanning microscope (Olympus Fluoview FV10i) at 40×. Bright-field microscopy was used to visualize signals immunolabeled with choromogenic substrate diaminobenzidine (DAB, Sigma).\nFirst, we constructed a molecular probe by fusing the promiscuous biotin ligase BirA∗ to a presynaptic targeting motif (FLEx-preBirA∗).30,31,55 We also included a T2a motif followed by GFP to visualize neurons expressing our probe and flanking FLEx elements to conditionally express the probe in a cell specific manner based on Cre expression. Once the probe is expressed in the brain, it will localize to presynaptic terminals and biotinylate nearby proteins with a radius of 10 nm. As a negative control, we removed the presynaptic targeting sequence from to generate a construct (FLEx-cytoBirA∗) that is not selectively targeted to any subcellular location. Finally, we packaged FLEx-preBirA∗ and FLEx-cytoBirA∗ into AAV viruses (packaged by ViroVek). We then sterotactically injected FLEx-preBirA∗ or FLEx-cytoBirA∗ AAVs into DH of VGluT1-Cre and VGluT2-Cre mice as described above and incubated the viruses for one month. Next, we administrated biotin (22.5 mg/kg subcutaneously, Sigma, Cat # B4501) to the mice daily for one week to induce biotinylation of presynaptic proteins. Then we sacrificed the mice and dissected the RSP regions.\nDissected RSPs were homogenized in RIPA lysis buffer (50 mM Tris, 150 mM NaCl, 0.1% SDS, 1mM EDTA, 0.5% sodium deoxycholate, 1% Triton X-100, 1 x protease inhibitor cocktail (Thermo Fisher Scientific, Cat # 78443), 1 x phosphatase inhibitor (Thermo Fisher Scientific, Cat # 78420), pH 7.4) with an electronic homogenizer (Glas-Col, Cat # 099C-K54). Then excess 10% SDS solution was added into each sample to make the final SDS concentration to 1%. After sonication with a probe sonicator (Qsonica) for 3 x 1 min, RSP homogenates were solubilized at 4°C for 1 h with rotation. Insoluble components were removed by centrifuging at 13,000 x g for 30 mins. 400 μL of pre-washed NeutrAvidin beads (Thermo Fisher Scientific, Cat # 2901) were added into each sample and incubated at 4°C overnight with gentle rotation.\nWe performed on-beads digestion based on previous reported protocol.56 After overnight incubation with RSP homogenates, NeutrAvidin beads were rinsed for five times in one mL lysis buffer (6 M Guanidine, 50 mM HEPES, pH 8.5), then added one mL lysis buffer. Dithiothreitol (DTT, DOT Scientific Inc, Cat# DSD11000) was applied to a final concentration of 5 mM. After incubation at RT for 20 min, iodoacetamide (IAA, Sigma-Aldrich, Cat# I1149) was added to a final concentration of 15 mM and incubated for 20 min at room temperature in the dark. Excess IAA was quenched with DTT for 15 min. Samples were diluted with buffer (100 mM HEPES, pH 8.5, 1.5 M Guanidine), and digested for 3 h with Lys-C protease (1:100, ThermoFisher Scientific, Cat# 90307_3668048707) at 37°C. Trypsin (1:100, Promega, Cat# V5280) was then added for overnight incubation at 37°C with intensive agitation (1000 rpm). The next day, reaction was quenched by adding 1% trifluoroacetic acid (TFA, Fisher Scientific, O4902-100). The samples were desalted using HyperSep C18 Cartridges (Thermo Fisher Scientific, Cat# 60108-301) and vacuum centrifuged to dry.\nC18 column-desalted peptides were resuspended with 100 mM HEPES pH 8.5 and the concentrations were measured by micro BCA kit (Fisher Scientific, Cat# PI23235). For each sample, 25 μg of peptide labeled with TMT reagent (0.4 mg, dissolved in 40 μL anhydrous acetonitrile, Thermo Fisher Scientific, Cat# 90111) and made at a final concentration of 30% (v/v) acetonitrile (ACN). Following incubation at room temperature for 2 h with agitation, hydroxylamine (to a final concentration of 0.3% (v/v)) was added to quench the reaction for 15 min. Equal amounts of TMT-tagged samples were mixed. Combined sample was vacuum centrifuged to dryness, resuspended, and subjected to HyperSep C18 Cartridges. We used a high pH reverse-phase peptide fractionation kit (Thermo Fisher Scientific, Cat# 84868) to get eight fractions (5.0%, 10.0%, 12.5%, 15.0%, 17.5%, 20.0%, 22.5%, 25.0% and 50% of ACN in 0.1% triethylamine solution). The high pH peptide fractions were directly loaded into the autosampler for MS analysis without further desalting.\n3 μg of each fraction or sample were auto-sampler loaded with a Thermo UltiMate 3000 HPLC pump onto a vented Acclaim Pepmap 100, 75 μm x 2 cm, nanoViper trap column coupled to a nanoViper analytical column (Thermo Fisher Scientific, Cat#: 164570, 3 μm, 100 Å, C18, 0.075 mm, 500 mm) with stainless steel emitter tip assembled on the Nanospray Flex Ion Source with a spray voltage of 2000 V. An Orbitrap Fusion (Thermo Fisher Scientific) was used to acquire all the MS spectral data. Buffer A contained 94.785% H2O with 5% ACN and 0.125% FA, and buffer B contained 99.875% ACN with 0.125% FA. The chromatographic run was for 4 h in total with the following profile: 0-7% for 7, 10% for 6, 25% for 160, 33% for 40, 50% for 7, 95% for 5 and again 95% for 15 mins receptively.\nWe used a multiNotch MS3-based TMT method to analyze all the TMT samples.57,58,59 The scan sequence began with an MS1 spectrum (Orbitrap analysis, resolution 120,000, 400-1400 Th, AGC target 2×105, maximum injection time 200 ms). MS2 analysis, ‘Top speed’ (2 s), Collision-induced dissociation (CID, quadrupole ion trap analysis, AGC 4×103, NCE 35, maximum injection time 150 ms). MS3 analysis, top ten precursors, fragmented by HCD prior to Orbitrap analysis (NCE 55, max AGC 5×104, maximum injection time 250 ms, isolation specificity 0.5 Th, resolution 60,000).\nProtein identification/quantification and analysis were performed with Integrated Proteomics Pipeline - IP2 (Bruker, Madison, WI. http://www.integratedproteomics.com/) using ProLuCID,60,61 DTASelect2,62,63 Census and Quantitative Analysis. Spectrum raw files were extracted into MS1, MS2 and MS3 files using RawConverter (http://fields.scripps.edu/downloads.php). The tandem mass spectra were searched against UniProt mouse protein database (downloaded on 03-25-2014)64 and matched to sequences using the ProLuCID/SEQUEST algorithm (ProLuCID version 3.1) with 5 ppm peptide mass tolerance for precursor ions and 600 ppm for fragment ions. The search space included all fully and half-tryptic peptide candidates within the mass tolerance window with no-miscleavage constraint, assembled, and filtered with DTASelect2 through IP2. To estimate peptide probabilities and false-discovery rates (FDR) accurately, we used a target/decoy database containing the reversed sequences of all the proteins appended to the target database.65 Each protein identified was required to have a minimum of one peptide of minimal length of six amino acid residues; however, this peptide had to be an excellent match with an FDR < 1% and at least one excellent peptide match. After the peptide/spectrum matches were filtered, we estimated that the peptide FDRs were ≤ 1% for each sample analysis. Resulting protein lists include subset proteins to allow for consideration of all possible protein forms implicated by at least two given peptides identified from the complex protein mixtures. Then, we used Census and Quantitative Analysis in IP2 for protein quantification of TMT MS. experiments and protein quantification was determined by summing all TMT report ion counts. TMT MS data were normalized using with a build-in method in IP2.\nSpyder (MIT, Python 3.7, libraries, ‘pandas’, ‘numpy’, ‘scipy’, ‘statsmodels’ and ‘bioinfokit’) was used for data analyses. RStudio (version, 1.2.1335, packages, ‘tidyverse’, ‘pheatmap’) was used for data virtualization. The Database for Annotation, Visualization and Integrated Discovery (DAVID) (https://david.ncifcrf.gov/) was used for protein functional annotation analysis.\nThe snRNA seq data shown in this publication was obtained by analyzing dataset previously deposited to NCBI's Gene Expression Omnibus by our group32 and can be accessed using GEO Series accession number GSE254780 (https://www.ncbi.nlm.nih.gov/geo/query/acc.cgi?acc=GSE254780). Briefly, single-cell RNA sequencing (scRNA-seq) data were initially analyzed using scTE with default settings to quantify transposable element (TE) gene expression.66 The resulting .h5ad data objects were loaded into R (v4.3) and analyzed using the Seurat package (v5.0.3).67 Within Seurat, cells were filtered to retain those with >500 UMI counts, >200 detected features, and <15% mitochondrial content. Genes expressed in fewer than 5 cells were also removed. Doublets were subsequently identified and removed using DoubletFinder.68 The filtered datasets were then merged. Principal Component Analysis (PCA) was performed, and an optimal number of PCs was selected based on cumulative variance and elbow point heuristics. Batch effects between samples were corrected using Harmony integration on the PCA embeddings.69 UMAP visualization and Leiden clustering (resolution 0.4) were performed on the Harmony-corrected dimensions. Cell type annotation was performed using scType with a custom brain-specific marker gene database (Table S2).70 Finally, differentially expressed genes (DEGs) between annotated cell types were identified using FindAllMarkers function from Seurat package, and these DEGs were further filtered to identify transposable element (TE)-derived transcripts based on a provided TE annotation file provided by the scTE package. The expression of VGluT2 (Slc17a6) and VGlut1 (Slc17a7) genes, was examined using FeaturePlot function from the Seurat package with the blend option set to TRUE, enabling the visualization of co-expression patterns between these genes. Data showing expression of VGluT2 (Slc17a6) and VGlut1 (Slc17a7) genes in the subicular clusters was generated using database previously published27 and available for online analysis on Brain RNA-seq atlas (https://scrnaseq.janelia.org/). Following online analysis with the available interactive tool, gene expression values were downloaded and plotted offline using GraphPad Prizm software.\nTrace fear conditioning was performed in an automated system (TSE Systems) as described previously.71 Briefly, mice were exposed for 120 s to a unfamiliar context (Context 1), followed by a 30 s of 10 kHz tone, 15 s temporal trace, and foot shock (2 s, 0.7 mA, constant current). To prevent scent-based cues from influencing behavior, chambers were cleaned thoroughly with 70% ethanol after every session. Mice were tested for memory retrieval 24 h later in a contextually distinct novel context (Context 2, context exposure duration 60 s, Tone duration 30 s and Trace duration 15 s). Chambers were cleaned thoroughly with 1% acetic acid after every session. Freezing was scored every 5 s during Context 2 and Tone exposure and every 3 s during Trace duration, and expressed as a percentage of the total number of freezing observations during which the mice were motionless. To control for the behavioral specificity of CNO effects, we also used delay fear conditioning (DFC) and tone-light-shock fear conditioning (TLC). DFC was performed as TFC except that shock was delivered immediately after termination of tone, thus there was no trace separating tone and shock. TLC was performed as TFC except that 500 ms light pulses were delivered during the 15 s trace. For fiberphotometry experiments involving trace fear conditioning, mice were placed in soundproof chambers (Med Associates Inc., St. Albans, VT) equipped with metal-grid flooring used to administer foot shocks. Each session began with a 120 s of context exposure (Context 1), after which the animals were presented with three auditory tones (30 s duration, 80 dB, 50 ms rise time). A brief foot shock (0.5 mA, 2 s) was delivered 15 s after each tone ended. Each Tone-Trace presentation was separated by a 60 s interval. To prevent scent-based cues from influencing behavior, chambers were cleaned thoroughly with 70% ethanol after every session. Memory recall was evaluated 24 h later in a contextually distinct environment (Context 2) featuring a flat white floor and a novel odor (1% acetic acid). Mice were placed in this altered chamber and, following a 120 s baseline period, the tone was played again for 30 s. Freezing responses were measured during the Baseline, Tone, and Trace period. For pseudoconditioning, at training mice were placed in Context 1 for 120 s, after which three brief foot shocks (0.5 mA, 2 s) were applied with an inter-shock-interval of 60 s. This was followed by three unpaired Tone representations (30 s duration, 80 dB, 50 ms rise time) with inter-tone-interval of 60 During test session, mice were exposed to the same protocol, except that the foot shocks were omitted. Behavior was recorded and quantified using Video Freeze® software (Med Associates Inc., Fairfax, VT), and independently validated by manual scoring (Context 2 and Tone exposure every 5 s and Trace every 3 s) by experimenters blinded to both treatment groups and experimental design through the use of coded identifiers. All behavioral experiments were performed between 10 am and 5 pm. Littermates were randomly assigned to the different treatment conditions. All behavioral tests and immunohistochemical analyses were performed by experimenters who were blind to genotypes and drug treatments.\nWe used fiberphotomerty technique to measure real time neuronal calcium transients in freely moving animals.72,73 Data acquisition was performed using Neurophotometrics FP3002 system using 2 LEDs with emission of 470 nm (GCaMP wavelength) and 415 nm (isosbestic wavelength) coupled to a 200 μm 0.37 N.A. optical fiber (FOC-BF-200-125, Neurophotmetrics) with the light power at the tip constant across trials and testing days between 10-30 μW. The fluorescence signal was collected by the same optical fiber, filtered, and focused on a BlackFly CMOS camera. Intercalated samples were acquired at 60 FPS. Raw data were used as an input and visualized by Bonsai74 and CropPolygon function was used to define ROIs. Synchronization with movement was provided by simultaneously triggering a TTL input from the fear conditioning system (MedAssociates Inc., St. Albans, VT). To minimize the patch cord autofluorescence, prior to the recording light at 470 nm was delivered for at least 15 h. Animals were handled and habituated in their home cage to optical fiber tethering for 3 days prior to behavioral tests.\nFor data analysis we used GuPPy, a Python toolbox for fiberphotometry analysis.75 The isosbestic wavelength records calcium-independent events such as motion artifacts and autofluorescence, and photobleaches at the similar rate as the calcium signal and was used as a control signal when calculating fluorescence signal changes from the baseline, using following equation ΔF/F = (Fobserved-Ffitted)/Ffitted.76 High-pass filtered and transformed to z scores data (z score = (ΔF/F-μΔF/F))/σΔF/F, where μ is mean and σ is standard deviation, where μ and σ are calculated across the whole session) was used to combine data across multiple animals and testing days. Ca2+ activity associated with different test phases was assessed by aligning the ΔF/F signal to time 0 at each TTL timestamp and extracting a 90 s window, spanning 30 s before to 60 s after Tone onset. Data was binned to 15 s intervals and positive and negative areas under the curve (AUC)77 were calculated for each detected peaks and average z score for each training and testing phase.\nPhase-specific neural-behavioral correlation were conducted by using tone and trace periods independently. In addition, TFC trained and Pseudoconditioned groups were processed as separate datasets. For each animal, mean z-scored ΔF/F values for tone and trace intervals were computed and paired with the corresponding freezing percentages for those same epochs. We used whole tone interval for correlation analysis. Previous studies have shown that freezing at tone stabilizes after initial orienting response, since early part of CS can include brief head movements or postural adjustments that introduce noise into trial-by-trial estimates.78,79 Pearson’s correlation analyses were performed in Graphpad Prizm using built-in correlation function.\n\n\n### Stereotaxic surgeries and infusions of viral vectors and drugs\nMice were anesthetized with 1.2% tribromoethanol (vol/vol, Avertin) for viral vector intracranial infusion and cannula implantation. The Cre-dependent color-flipping retrograde reporter pAAV-Ef1a-DO_DIO-TdTomato_EGFP-WPRE-pA51 (gift from Bernardo Sabatini, Addgene plasmid Cat# 37120) was injected unilaterally in RSP or SUB (RSP: 1.80 mm posterior, ±0.40 mm lateral, 1.00 mm ventral to bregma and SUB: 3.52 mm posterior, ±2.50 mm lateral, 1.85 mm ventral to bregma) and Cre-dependent color-flipping nuclear reporter AAV8-EF1a-Nuc-flox(mCherry)-EGFP52 (gift from Brandon Harvey, Addgene, Cat # 112677) was injected in CA1 (1.80 mm posterior, ±1.00 mm lateral, 2.20 mm ventral to bregma). The viral vector carrying a construct coding for the Cre-independent inhibitory DREADD53 (AAV8-hSyn-HA-hM4D(Gi)-mCherry, gift from Bryan Roth, Addgene, Cat # 50475) or Cre-dependent inhibitory DREADD53 (AAV8-hSyn-DIO-hM4D(Gi)-mCherry, gift from Bryan Roth, Addgene, Cat # 44362) was bilaterally infused into the DH (1.80 mm posterior, ±1.00 mm lateral, 2.25 mm ventral to bregma). For Fiberphotometry experiments viral vector carrying a construct coding for the Cre-dependent GCaMP was injected to DH, (ssAAV-9/2-hSyn1-chI-dlox-jGCaMP7s(rev)-dlox-WPRE-SV40p(A), VVF Zürich, Cat # v407-9, DH: 1.80 mm posterior, ±1.00 mm lateral, 2.13 mm ventral to bregma).\nFor behavioral experiments infusions were performed using an automatic microsyringe pump controller (Micro4-WPI) connected to a Hamilton microsyringe (Cat # 88400). The viral vectors were infused in a volume of 0.5 μL per site over 2 min, and syringes were left in place for 5 min prior to removal to allow for virus diffusion. Bilateral 26 gauge guide cannulas (Plastics One) were placed in RSP (1.8 mm posterior, ±0.4 mm lateral, 0.75 mm ventral to bregma). Mice were allowed 6 weeks for virus expression prior to behavioral testing. CNO (Sigma; 0.3 μg/mL; 0.20 μL per side, at a rate of 0.5 μL/min) was infused through the cannulas 30 min prior to either fear conditioning or memory retrieval testing. After the completion of behavioral testing, all brains were collected and cannula placements and virus spread were confirmed by immunohistochemical analysis using anti-mCherry antibodies (1:1000; Abcam, Cat # ab167453). For tracing and fiberphotometry experiments we used Microliter Neuros Syringe (Cat # 65460-02) with an automatic microsyringe pump controller (Micro4-WPI) to deliver unilaterally 0.2 μL of viral vectors over 2 min. Syringes were left in place for 5 min prior to removal to allow for virus diffusion. Optic fibers (MBF Bioscience, Cat # FOC-BF-200-125 with 200 um core diameter and NA=0.37) were implanted to record from SUB→RSP projections (1.80 mm posterior, ±0.30 mm lateral, 1.00 mm ventral to bregma). After the completion of experiments, all brains were collected and fiber placements and virus spread were confirmed by immunohistochemical analysis using anti-GFP antibodies (1:2000; Abcam, Cat # 13970).\n\n\n### Immunohistochemistry and immunofluorescence\nMice were anesthetized with an i.p. injection of 240 mg/kg Avertin and transcardially perfused with ice-cold 4% paraformaldehyde in phosphate buffer (pH 7.4, 150 mL per mouse). Brains were removed and post-fixed for 48 h in the same fixative and then immersed for 24 h each in 10%, 20% and 30% sucrose solution in phosphate buffer. Brains were frozen and 50 μm sections were cut for use in free-floating immunohistochemistry, as described previously.54 Primary antibodies against mCherry (1:1000; Abcam AB167453) and GFP (1:2000, Abcam AB13970) were used and visualized with either diaminobenzidine (Sigma) or secondary antibodies obtained from Jackson ImmunoResearch (1:500 each, AlexaFluor® 594 Cat # 711-585-152, AlexaFluor® 488 Cat # 703-545-155). Sections were mounted using Vectashield (Vector) and observed with a confocal laser-scanning microscope (Olympus Fluoview FV10i) at 40×. Bright-field microscopy was used to visualize signals immunolabeled with choromogenic substrate diaminobenzidine (DAB, Sigma).\n\n\n### Quantification of VGluT1+ and VGluT2+ presynaptic terminal proteomes by in vivo proximity biotinylation and TMT-MS\nFirst, we constructed a molecular probe by fusing the promiscuous biotin ligase BirA∗ to a presynaptic targeting motif (FLEx-preBirA∗).30,31,55 We also included a T2a motif followed by GFP to visualize neurons expressing our probe and flanking FLEx elements to conditionally express the probe in a cell specific manner based on Cre expression. Once the probe is expressed in the brain, it will localize to presynaptic terminals and biotinylate nearby proteins with a radius of 10 nm. As a negative control, we removed the presynaptic targeting sequence from to generate a construct (FLEx-cytoBirA∗) that is not selectively targeted to any subcellular location. Finally, we packaged FLEx-preBirA∗ and FLEx-cytoBirA∗ into AAV viruses (packaged by ViroVek). We then sterotactically injected FLEx-preBirA∗ or FLEx-cytoBirA∗ AAVs into DH of VGluT1-Cre and VGluT2-Cre mice as described above and incubated the viruses for one month. Next, we administrated biotin (22.5 mg/kg subcutaneously, Sigma, Cat # B4501) to the mice daily for one week to induce biotinylation of presynaptic proteins. Then we sacrificed the mice and dissected the RSP regions.\nDissected RSPs were homogenized in RIPA lysis buffer (50 mM Tris, 150 mM NaCl, 0.1% SDS, 1mM EDTA, 0.5% sodium deoxycholate, 1% Triton X-100, 1 x protease inhibitor cocktail (Thermo Fisher Scientific, Cat # 78443), 1 x phosphatase inhibitor (Thermo Fisher Scientific, Cat # 78420), pH 7.4) with an electronic homogenizer (Glas-Col, Cat # 099C-K54). Then excess 10% SDS solution was added into each sample to make the final SDS concentration to 1%. After sonication with a probe sonicator (Qsonica) for 3 x 1 min, RSP homogenates were solubilized at 4°C for 1 h with rotation. Insoluble components were removed by centrifuging at 13,000 x g for 30 mins. 400 μL of pre-washed NeutrAvidin beads (Thermo Fisher Scientific, Cat # 2901) were added into each sample and incubated at 4°C overnight with gentle rotation.\nWe performed on-beads digestion based on previous reported protocol.56 After overnight incubation with RSP homogenates, NeutrAvidin beads were rinsed for five times in one mL lysis buffer (6 M Guanidine, 50 mM HEPES, pH 8.5), then added one mL lysis buffer. Dithiothreitol (DTT, DOT Scientific Inc, Cat# DSD11000) was applied to a final concentration of 5 mM. After incubation at RT for 20 min, iodoacetamide (IAA, Sigma-Aldrich, Cat# I1149) was added to a final concentration of 15 mM and incubated for 20 min at room temperature in the dark. Excess IAA was quenched with DTT for 15 min. Samples were diluted with buffer (100 mM HEPES, pH 8.5, 1.5 M Guanidine), and digested for 3 h with Lys-C protease (1:100, ThermoFisher Scientific, Cat# 90307_3668048707) at 37°C. Trypsin (1:100, Promega, Cat# V5280) was then added for overnight incubation at 37°C with intensive agitation (1000 rpm). The next day, reaction was quenched by adding 1% trifluoroacetic acid (TFA, Fisher Scientific, O4902-100). The samples were desalted using HyperSep C18 Cartridges (Thermo Fisher Scientific, Cat# 60108-301) and vacuum centrifuged to dry.\nC18 column-desalted peptides were resuspended with 100 mM HEPES pH 8.5 and the concentrations were measured by micro BCA kit (Fisher Scientific, Cat# PI23235). For each sample, 25 μg of peptide labeled with TMT reagent (0.4 mg, dissolved in 40 μL anhydrous acetonitrile, Thermo Fisher Scientific, Cat# 90111) and made at a final concentration of 30% (v/v) acetonitrile (ACN). Following incubation at room temperature for 2 h with agitation, hydroxylamine (to a final concentration of 0.3% (v/v)) was added to quench the reaction for 15 min. Equal amounts of TMT-tagged samples were mixed. Combined sample was vacuum centrifuged to dryness, resuspended, and subjected to HyperSep C18 Cartridges. We used a high pH reverse-phase peptide fractionation kit (Thermo Fisher Scientific, Cat# 84868) to get eight fractions (5.0%, 10.0%, 12.5%, 15.0%, 17.5%, 20.0%, 22.5%, 25.0% and 50% of ACN in 0.1% triethylamine solution). The high pH peptide fractions were directly loaded into the autosampler for MS analysis without further desalting.\n3 μg of each fraction or sample were auto-sampler loaded with a Thermo UltiMate 3000 HPLC pump onto a vented Acclaim Pepmap 100, 75 μm x 2 cm, nanoViper trap column coupled to a nanoViper analytical column (Thermo Fisher Scientific, Cat#: 164570, 3 μm, 100 Å, C18, 0.075 mm, 500 mm) with stainless steel emitter tip assembled on the Nanospray Flex Ion Source with a spray voltage of 2000 V. An Orbitrap Fusion (Thermo Fisher Scientific) was used to acquire all the MS spectral data. Buffer A contained 94.785% H2O with 5% ACN and 0.125% FA, and buffer B contained 99.875% ACN with 0.125% FA. The chromatographic run was for 4 h in total with the following profile: 0-7% for 7, 10% for 6, 25% for 160, 33% for 40, 50% for 7, 95% for 5 and again 95% for 15 mins receptively.\nWe used a multiNotch MS3-based TMT method to analyze all the TMT samples.57,58,59 The scan sequence began with an MS1 spectrum (Orbitrap analysis, resolution 120,000, 400-1400 Th, AGC target 2×105, maximum injection time 200 ms). MS2 analysis, ‘Top speed’ (2 s), Collision-induced dissociation (CID, quadrupole ion trap analysis, AGC 4×103, NCE 35, maximum injection time 150 ms). MS3 analysis, top ten precursors, fragmented by HCD prior to Orbitrap analysis (NCE 55, max AGC 5×104, maximum injection time 250 ms, isolation specificity 0.5 Th, resolution 60,000).\nProtein identification/quantification and analysis were performed with Integrated Proteomics Pipeline - IP2 (Bruker, Madison, WI. http://www.integratedproteomics.com/) using ProLuCID,60,61 DTASelect2,62,63 Census and Quantitative Analysis. Spectrum raw files were extracted into MS1, MS2 and MS3 files using RawConverter (http://fields.scripps.edu/downloads.php). The tandem mass spectra were searched against UniProt mouse protein database (downloaded on 03-25-2014)64 and matched to sequences using the ProLuCID/SEQUEST algorithm (ProLuCID version 3.1) with 5 ppm peptide mass tolerance for precursor ions and 600 ppm for fragment ions. The search space included all fully and half-tryptic peptide candidates within the mass tolerance window with no-miscleavage constraint, assembled, and filtered with DTASelect2 through IP2. To estimate peptide probabilities and false-discovery rates (FDR) accurately, we used a target/decoy database containing the reversed sequences of all the proteins appended to the target database.65 Each protein identified was required to have a minimum of one peptide of minimal length of six amino acid residues; however, this peptide had to be an excellent match with an FDR < 1% and at least one excellent peptide match. After the peptide/spectrum matches were filtered, we estimated that the peptide FDRs were ≤ 1% for each sample analysis. Resulting protein lists include subset proteins to allow for consideration of all possible protein forms implicated by at least two given peptides identified from the complex protein mixtures. Then, we used Census and Quantitative Analysis in IP2 for protein quantification of TMT MS. experiments and protein quantification was determined by summing all TMT report ion counts. TMT MS data were normalized using with a build-in method in IP2.\nSpyder (MIT, Python 3.7, libraries, ‘pandas’, ‘numpy’, ‘scipy’, ‘statsmodels’ and ‘bioinfokit’) was used for data analyses. RStudio (version, 1.2.1335, packages, ‘tidyverse’, ‘pheatmap’) was used for data virtualization. The Database for Annotation, Visualization and Integrated Discovery (DAVID) (https://david.ncifcrf.gov/) was used for protein functional annotation analysis.\n\n\n### Single cell RNA sequencing\nThe snRNA seq data shown in this publication was obtained by analyzing dataset previously deposited to NCBI's Gene Expression Omnibus by our group32 and can be accessed using GEO Series accession number GSE254780 (https://www.ncbi.nlm.nih.gov/geo/query/acc.cgi?acc=GSE254780). Briefly, single-cell RNA sequencing (scRNA-seq) data were initially analyzed using scTE with default settings to quantify transposable element (TE) gene expression.66 The resulting .h5ad data objects were loaded into R (v4.3) and analyzed using the Seurat package (v5.0.3).67 Within Seurat, cells were filtered to retain those with >500 UMI counts, >200 detected features, and <15% mitochondrial content. Genes expressed in fewer than 5 cells were also removed. Doublets were subsequently identified and removed using DoubletFinder.68 The filtered datasets were then merged. Principal Component Analysis (PCA) was performed, and an optimal number of PCs was selected based on cumulative variance and elbow point heuristics. Batch effects between samples were corrected using Harmony integration on the PCA embeddings.69 UMAP visualization and Leiden clustering (resolution 0.4) were performed on the Harmony-corrected dimensions. Cell type annotation was performed using scType with a custom brain-specific marker gene database (Table S2).70 Finally, differentially expressed genes (DEGs) between annotated cell types were identified using FindAllMarkers function from Seurat package, and these DEGs were further filtered to identify transposable element (TE)-derived transcripts based on a provided TE annotation file provided by the scTE package. The expression of VGluT2 (Slc17a6) and VGlut1 (Slc17a7) genes, was examined using FeaturePlot function from the Seurat package with the blend option set to TRUE, enabling the visualization of co-expression patterns between these genes. Data showing expression of VGluT2 (Slc17a6) and VGlut1 (Slc17a7) genes in the subicular clusters was generated using database previously published27 and available for online analysis on Brain RNA-seq atlas (https://scrnaseq.janelia.org/). Following online analysis with the available interactive tool, gene expression values were downloaded and plotted offline using GraphPad Prizm software.\n\n\n### Trace fear conditioning\nTrace fear conditioning was performed in an automated system (TSE Systems) as described previously.71 Briefly, mice were exposed for 120 s to a unfamiliar context (Context 1), followed by a 30 s of 10 kHz tone, 15 s temporal trace, and foot shock (2 s, 0.7 mA, constant current). To prevent scent-based cues from influencing behavior, chambers were cleaned thoroughly with 70% ethanol after every session. Mice were tested for memory retrieval 24 h later in a contextually distinct novel context (Context 2, context exposure duration 60 s, Tone duration 30 s and Trace duration 15 s). Chambers were cleaned thoroughly with 1% acetic acid after every session. Freezing was scored every 5 s during Context 2 and Tone exposure and every 3 s during Trace duration, and expressed as a percentage of the total number of freezing observations during which the mice were motionless. To control for the behavioral specificity of CNO effects, we also used delay fear conditioning (DFC) and tone-light-shock fear conditioning (TLC). DFC was performed as TFC except that shock was delivered immediately after termination of tone, thus there was no trace separating tone and shock. TLC was performed as TFC except that 500 ms light pulses were delivered during the 15 s trace. For fiberphotometry experiments involving trace fear conditioning, mice were placed in soundproof chambers (Med Associates Inc., St. Albans, VT) equipped with metal-grid flooring used to administer foot shocks. Each session began with a 120 s of context exposure (Context 1), after which the animals were presented with three auditory tones (30 s duration, 80 dB, 50 ms rise time). A brief foot shock (0.5 mA, 2 s) was delivered 15 s after each tone ended. Each Tone-Trace presentation was separated by a 60 s interval. To prevent scent-based cues from influencing behavior, chambers were cleaned thoroughly with 70% ethanol after every session. Memory recall was evaluated 24 h later in a contextually distinct environment (Context 2) featuring a flat white floor and a novel odor (1% acetic acid). Mice were placed in this altered chamber and, following a 120 s baseline period, the tone was played again for 30 s. Freezing responses were measured during the Baseline, Tone, and Trace period. For pseudoconditioning, at training mice were placed in Context 1 for 120 s, after which three brief foot shocks (0.5 mA, 2 s) were applied with an inter-shock-interval of 60 s. This was followed by three unpaired Tone representations (30 s duration, 80 dB, 50 ms rise time) with inter-tone-interval of 60 During test session, mice were exposed to the same protocol, except that the foot shocks were omitted. Behavior was recorded and quantified using Video Freeze® software (Med Associates Inc., Fairfax, VT), and independently validated by manual scoring (Context 2 and Tone exposure every 5 s and Trace every 3 s) by experimenters blinded to both treatment groups and experimental design through the use of coded identifiers. All behavioral experiments were performed between 10 am and 5 pm. Littermates were randomly assigned to the different treatment conditions. All behavioral tests and immunohistochemical analyses were performed by experimenters who were blind to genotypes and drug treatments.\n\n\n### Fiber photometry\nWe used fiberphotomerty technique to measure real time neuronal calcium transients in freely moving animals.72,73 Data acquisition was performed using Neurophotometrics FP3002 system using 2 LEDs with emission of 470 nm (GCaMP wavelength) and 415 nm (isosbestic wavelength) coupled to a 200 μm 0.37 N.A. optical fiber (FOC-BF-200-125, Neurophotmetrics) with the light power at the tip constant across trials and testing days between 10-30 μW. The fluorescence signal was collected by the same optical fiber, filtered, and focused on a BlackFly CMOS camera. Intercalated samples were acquired at 60 FPS. Raw data were used as an input and visualized by Bonsai74 and CropPolygon function was used to define ROIs. Synchronization with movement was provided by simultaneously triggering a TTL input from the fear conditioning system (MedAssociates Inc., St. Albans, VT). To minimize the patch cord autofluorescence, prior to the recording light at 470 nm was delivered for at least 15 h. Animals were handled and habituated in their home cage to optical fiber tethering for 3 days prior to behavioral tests.\nFor data analysis we used GuPPy, a Python toolbox for fiberphotometry analysis.75 The isosbestic wavelength records calcium-independent events such as motion artifacts and autofluorescence, and photobleaches at the similar rate as the calcium signal and was used as a control signal when calculating fluorescence signal changes from the baseline, using following equation ΔF/F = (Fobserved-Ffitted)/Ffitted.76 High-pass filtered and transformed to z scores data (z score = (ΔF/F-μΔF/F))/σΔF/F, where μ is mean and σ is standard deviation, where μ and σ are calculated across the whole session) was used to combine data across multiple animals and testing days. Ca2+ activity associated with different test phases was assessed by aligning the ΔF/F signal to time 0 at each TTL timestamp and extracting a 90 s window, spanning 30 s before to 60 s after Tone onset. Data was binned to 15 s intervals and positive and negative areas under the curve (AUC)77 were calculated for each detected peaks and average z score for each training and testing phase.\n\n\n### Neural-behavioral correlation analysis\nPhase-specific neural-behavioral correlation were conducted by using tone and trace periods independently. In addition, TFC trained and Pseudoconditioned groups were processed as separate datasets. For each animal, mean z-scored ΔF/F values for tone and trace intervals were computed and paired with the corresponding freezing percentages for those same epochs. We used whole tone interval for correlation analysis. Previous studies have shown that freezing at tone stabilizes after initial orienting response, since early part of CS can include brief head movements or postural adjustments that introduce noise into trial-by-trial estimates.78,79 Pearson’s correlation analyses were performed in Graphpad Prizm using built-in correlation function.\n\n\n### Quantification and statistical analyses\nStatistical analyses were performed using Graphpad Prizm software and Matlab functions. For the behavioral studies, freezing data were analyzed for Treatment (CNO or Vehicle) and Test (repeated measure) as factors using two-way repeated measures ANOVA. For fiber photometry studies two-way repeated measures ANOVA was used to compare between phases during training and testing days (Baseline, Tone, Trace, Inter-Trial-Interval). Significant F values were followed by post hoc comparisons using Tukey test. For analyses of proteomic data, we used regression analyses and unpaired two-tailed Student’s t test. Homogeneity of variance was confirmed with Levene’s test for equality of variances. Statistical differences were considered significant for all P values < 0.05. Group sizes were determined using power analyses assuming a moderate effect size of 0.5. All key findings were replicated at least twice, and mostly three times, in different sets of mice (biological replicates). Only mice with correctly placed cannulas and fibers and robust virus expression in RSP terminals or injection site (> 70% of maximal expression determined by densitometry) were included in the analyses. Details of statistical analyses are found in figure legends. All data for the preparation of graphs and statistical analysis relevant data that support the conclusions are uploaded as source data.", "domain": "affective_neuroscience"}
{"source": "PMC13048257", "title": "Pupil-linked arousal heterogeneously modulates cell-type–specific sensory processing", "text": "# Pupil-linked arousal heterogeneously modulates cell-type–specific sensory processing\n\n## Abstract\nArousal is a ubiquitous influence on the brain. It affects membrane potentials, cortical state, and sensory encoding, yet how arousal influences distinct excitatory cell types in neocortex remains poorly understood. To test this, we combined two-photon calcium imaging and pupillometry in awake mice to examine arousal-related activity in excitatory subpopulations of auditory cortex: intratelencephalic (IT), extratelencephalic (ET), and corticothalamic (CT) neurons. We observed substantial within-group variability alongside significant cell-type–specific differences, suggesting that arousal exerts a widespread but heterogeneous influence on cortical excitatory networks. Pupil-linked arousal modulated subtypes through linear and nonlinear response motifs. ET neurons exhibited predominantly multiplicative and additive gain modulations, with enhanced response magnitude and stimulus encoding but reduced frequency selectivity. CT and layer 2/3 neurons showed inverted-U relationships between arousal and response strength and decoding accuracy, whereas IT neurons were minimally affected. These effects tracked changes in population-level reliability, revealing a mechanistic link between internal state and representational stability. Two-photon imaging and pupillometry reveal how arousal modulates excitatory neuron subtypes in auditory cortex.\n\n## Full Text\n\n\n### INTRODUCTION\nThe neural basis of perception involves the interplay between external stimuli and internal states. Internal state refers to a range of physiological and psychological variables, including hunger, emotion, and arousal, which dynamically shape sensory processing (1–3). Changes in brain state, from deep sleep to heightened arousal, can profoundly influence how sensory information is encoded and processed (4–6). However, while state transitions reshape neural activity across the brain, their specific effects on distinct cortical cell types remain poorly understood.\nAutonomic fluctuations in pupil diameter offer a noninvasive, real-time index of internal state fluctuations (7, 8). Far from serving solely as an aperture for light, the pupil reflects a wide array of non–luminance-linked processes, including attention, cognitive effort, imagined illumination, arousal, and even heart rate (7, 9–19). Pupil diameter fluctuations covary with activity in several neuromodulatory systems that regulate waking states, such as the locus coeruleus (norepinephrine), basal forebrain (acetylcholine), and dorsal raphe (serotonin) systems (12, 20–33). These systems project broadly to cortex, where they modulate excitability, network dynamics, and cognition, supporting the view that pupil size serves as a proxy for neuromodulatory tone.\nConsistent with this view, pupil-linked arousal has been shown to modulate cortical membrane potentials, spontaneous and evoked firing, tuning selectivity, stimulus encoding, and pairwise neural correlations across sensory areas (9, 11, 34–36). Diverse patterns of state dependence have been observed across studies, with both linear and nonlinear relationships reported between arousal and neural activity (9, 11, 35, 37–39). In visual cortex (VCtx), arousal enhances spontaneous and evoked responses (11, 37, 39). In auditory cortex (ACtx), locomotion is associated with a suppression of sound-evoked responses (40–42). Because locomotion corresponds to high levels of pupil-indexed arousal, these findings support an inverted-U relationship between arousal and evoked activity during active behavioral states, such as locomotion and task engagement (9). In contrast, studies restricted to passive conditions, where high-arousal states are less frequently sampled, more commonly report monotonic or near-linear increases in evoked responses with pupil size (35, 36). While arousal sharpens orientation tuning in VCtx, its effect on frequency tuning in ACtx is less consistent, with reports of both decreased and unchanged selectivity (11, 35, 36). The impact of pupil state on stimulus decoding accuracy in ACtx has also been contested. One study found that stimulus decoding improved with arousal despite reduced tuning selectivity, attributed to a concurrent reduction in noise correlations (35). In contrast, more recent work reported an inverted-U relationship between decoding accuracy and pupil diameter, driven, in part, by a reduction in neural variability (43). Indeed, decoding performance has been shown to correlate strongly with the population-level response reliability of stimulus-evoked activity (44).\nLittle is known about the impact of pupil-linked arousal on heterogeneous neural populations in cortex. Cell-type–specific effects have been observed between vasoactive intestinal peptide (VIP)– and somatostatin (SOM)–expressing interneurons, which exhibit opposing responses during low and high pupil-linked arousal states (11, 45). Stimulus encoding recruits an array of distinct excitatory cell types that span the cortical lamina, which can be classified into three major subtypes: intratelencephalic (IT), extratelencephalic (ET), and corticothalamic (CT) neurons (Fig. 1A) (46, 47). These subtypes differ in their genetic profile, morphology, intrinsic excitability, and synaptic connectivity. IT cells are found in layers (L) 2 to 6 and project exclusively within the telencephalon, including the striatum, and ipsi-/contralateral cortex (48, 49). ET cells, located primarily in L5b, project to both telencephalic and subcortical targets, including the midbrain, thalamus, striatum, and amygdala (50, 51). CT cells reside in L6, project locally to L5a, and send feedback connections to the thalamus (52–56). These subtypes also differ in their receptor expression profiles for arousal-associated neuromodulatory systems, such as noradrenergic, cholinergic, and serotonergic pathways (57–60). These systems innervate the cortex with layer-specific density patterns, and their neuromodulatory signaling can differentially influence excitatory neuron subtypes (57, 61–64). For example, in vitro studies have shown that increased noradrenergic or cholinergic tone preferentially enhances the excitability of L5 ET neurons relative to L5 IT neurons, promoting more persistent ET firing (27, 65, 66). These findings suggest that even neurons within the same layer may be differentially susceptible to arousal-dependent modulation. These differences in intrinsic properties, functional specializations, and neuromodulatory inputs may result in arousal influencing these excitatory subtypes in distinct ways.\n(A) Schematic of excitatory cortical projection neuron subtypes (left). Representative coronal sections of ACtx showing GCaMP8s expression (green) and 4′,6-diamidino-2-phenylindole (DAPI)–labeled (blue) nuclei (right). The transgenic and viral strategies noted in (B) were used to target L2/3, L5 IT, L5 ET, or CT neurons. WM, white matter. Scale bar, 250 μm. (B) Overview of the experimental design. Mice passively listen to pure tone frequencies, while two-photon calcium imaging and pupillometry were performed simultaneously. Cell-type–specific targeting strategies (top) used a combination of viral and/or transgenic methods. WT, wild type. Exemplar two-photon fields of view (FOVs) of each target ACtx cell subpopulation (right). Scale bar, 250 μm. (C) Exemplar 5-min recording showing pupil diameter (top; black), deconvolved neural activity from a single ET neuron (middle; orange), and sound onset times (bottom). Pupil size is expressed as a percentage of maximum diameter; neural activity is plotted in SDs (z-scored) from baseline. (D) Histogram of trialwise pupil states across all mice. Counts refer to number of trials. Median pupil size of 62% is denoted by the yellow dashed line.\nTo test this, we performed two-photon calcium imaging in awake mice to monitor the activity of IT, ET, and CT neurons in ACtx while simultaneously tracking pupil diameter as a proxy for arousal. Each excitatory subtype exhibited a range of pupil-linked response motifs, encompassing both linear and nonlinear changes in activity. Arousal modulated frequency tuning selectivity across all subtypes, with L5 ET neurons showing slightly greater multiplicative and additive transformations at heightened arousal levels. While noise correlations decreased uniformly with pupil size across all groups, signal correlations showed distinct, cell-type–specific patterns. Decoding analyses further revealed that pupil-linked arousal modulated stimulus classification accuracy in a subtype-dependent manner, closely mirroring changes in population-level reliability. Together, these findings reveal modest but systematic differences in arousal-linked modulation across excitatory subtypes, alongside substantial within–cell-type variability.\n\n\n### RESULTS\nTo examine how arousal state influences sensory responses across excitatory subpopulations in ACtx, we simultaneously recorded neural activity and pupil diameter in awake, head-fixed mice. Animals passively listened to 15 pure tone frequencies [4 to ~45.3 kHz at 70-dB sound pressure level (SPL), 50-ms duration] presented in a pseudorandom order. We used two-photon calcium imaging to monitor neural activity in genetically defined excitatory cell types in the right primary ACtx: L2/3 (n = 3023 neurons; N = 6 mice), L5 IT (n = 2447; N = 7), L5 ET (n = 2876; N = 10), and CT (n = 3311; N = 9). Each mouse expressed the genetically encoded calcium indicator, GCaMP8s, in a single subpopulation using a combination of viral and/or transgenic approaches (Fig. 1B). L2/3 neurons were labeled via the injection of an adeno-associated virus (AAV) with a constitutive promoter into the ACtx of C57BL/6 mice. Cell-type–specific labeling of L5 IT and CT cells was accomplished via injection of a Cre-dependent viral vector in Tlx3_PL56-Cre and Ntsr1-Cre mice, respectively. L5 ET neurons were targeted via retrograde labeling from the inferior colliculus (IC), a major projection target of ACtx ET neurons. Raw calcium signals were deconvolved and normalized to a 500-ms baseline window preceding sound onset to estimate relative spiking activity (67, 68). In parallel, we tracked pupil diameter as a proxy for arousal (Fig. 1C). Pupil size was normalized within each animal to its maximum observed diameter (across all imaging sessions). Pupil states on a given trial were computed by averaging the pupil trace during a baseline window (500 ms before sound onset). Baseline pupil diameters were used to characterize the instantaneous arousal state to account for slower pupil responses relative to neural activity. As in previous reports, pupil size distributions were approximately Gaussian, with most trials centered around an intermediate arousal level (median = 62%; Fig. 1D). We therefore grouped pupil states into bins both above and below the median pupil diameter for subsequent analyses.\nWe used a multivariate linear regression model to quantify how each neuron’s activity was modulated by sound and/or pupil-linked arousal. For each trial, a neuron’s evoked response was modeled as a function of stimulus identity and baseline neural, pupil, and pupil2 activities (Fig. 2A). This approach allowed us to estimate the proportion of response variance attributable to both sensory input and arousal while capturing potential nonlinear relationships via the quadratic pupil term. Because the model does not explicitly allow pupil to modulate baseline neural activity, the pupil-related coefficients reflect the net influence of arousal state on overall evoked magnitude. Hence, we primarily used this framework to assess stimulus responsiveness and to characterize broad trends in arousal-dependent modulation rather than to mechanistically separate state effects on spontaneous versus evoked activity.\n(A) Truncated design matrix from a single L5 ET neuron used in the multivariate linear regression model. Predictors include one-hot encoded stimulus identity, and prestimulus baseline activity (neural, pupil, and pupil2). Normalized pupil activity is represented as a proportion of max dilation (range: 0 to 1). Freq., Frequency. (B) Frequency tuning curve (black) of the example L5 ET neuron in (A), overlaid with its corresponding stimulus-related regression coefficients (βs; orange). (C) Simulated examples demonstrating five distinct arousal modulation motifs, each with identical frequency tuning but differing pupil-dependent responses. The full regression model accurately recovers each motif, including linear (increasing and decreasing), nonlinear (inverted-U and U-shaped), and nonmodulated profiles. Incr., Increase; Decr., Decrease; Non-mod., Nonmodulated; Inv.-U, Inverted-U; Pred., prediction. (D) Peristimulus time histograms (PSTHs) from all recorded neurons (collapsed across pupil state and stimulus), sorted within each subtype by their z-scored maximum βs value. Green indicates sound-responsive cells; gray indicates non–sound-responsive cells, based on a threshold of 0.5 SDs (dashed line). Cell counts: L2/3: n = 3023 neurons, N = 6 mice; L5 IT: n = 2447, N = 7; L5 ET: n = 2876, N = 10; CT: n = 3311, N = 9. SR, Sound-responsive; NSR, Non–sound-responsive; Resp., response; a.u., arbitrary units. (E) Stacked bar plot showing the proportion of sound-responsive (green) and non–sound-responsive (gray) neurons across each excitatory subtype. Prop., Proportion. (F) Three-dimensional (3D) scatterplot of z-scored regression coefficients: βp, βp2, and maximum βs, for all neurons. Sound-responsive neurons (green) and non–sound-responsive neurons (gray) are separated by a threshold hyperplane along the βs axis. Shaded regions denote mean ± SEM.\nRegression coefficients for pupil and pupil2 (βp and βp2) quantified the influence of linear and nonlinear effects of arousal, respectively, while stimulus-related coefficients (βs) reflected tuning to individual frequencies. The βs values closely mirrored each neuron’s empirically measured tuning curve (Fig. 2B), with observed correlations far exceeding chance (fig. S1A; two-sample Kolmogorov-Smirnov test, P < 10−100; median Pearson’s r > 0.99 across all subtypes). To further validate model performance, we simulated five neurons with identical frequency tuning but differing responses across pupil states, i.e., distinct state tuning curves (fig. S1, B to D). These synthetic neurons were designed to exhibit one of five pupil-dependent response patterns: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), and nonmodulated. The full model accurately captured both linear and nonlinear state tuning profiles (Fig. 2C), confirming its ability to detect diverse pupil-linked modulation patterns.\nCalcium imaging avoids the sampling bias inherent to electrophysiology, which tends to overrepresent active neurons, making two-photon recordings well suited for estimating the true proportion of sensory-responsive cells. To leverage this advantage, we used the regression model to assess each neuron’s sound responsiveness. For each neuron, we extracted the maximum stimulus-related βs coefficient [corresponding to its best frequency (BF)] and z-scored this value. Neurons with z-scored βs values exceeding 0.5 SDs were heuristically classified as sound responsive, while all others were considered non–sound responsive. This approach revealed significant differences in sound responsiveness across excitatory subtypes (Fig. 2, D and E; chi-square test, P < 10−100, Cramér’s V = 0.26). The highest proportion of sound-responsive neurons was observed in L2/3 (44%), followed by L5 ET (32%), CT (20%), and L5 IT (13%). On average, these sound-responsive neurons exhibited strong evoked activity across trials, irrespective of pupil state and stimulus (Fig. 2D).\nTo visualize the diversity of pupil-linked modulation across the entire dataset, we normalized each neuron’s βp and βp2 coefficients and plotted these alongside their maximum βs value (Fig. 2F). If pupil state had no influence on sound-evoked activity, βp and βp2 coefficients would cluster around zero. However, we observed a broad range of positive and negative coefficients, indicating that neural activity across all excitatory subtypes was frequently modulated by pupil state, both linearly and nonlinearly. This widespread influence motivated subsequent analyses aimed at characterizing the specific forms and functional consequences of pupil-linked modulation in greater detail.\nThe relationship between neural response magnitude and pupil-linked arousal has been characterized across multiple brain regions (9, 11, 35, 37–39). However, how arousal affects distinct excitatory neuron classes within a shared cortical area remains unclear. To address this, we compared arousal-dependent modulation of evoked responses across multiple excitatory subtypes in ACtx under identical stimulus conditions. For each neuron, we identified its BF, defined as the pure tone frequency that elicited the greatest activity irrespective of pupil state, and quantified how BF-evoked activity varied with pupil diameter. These values were averaged within each pupil state bin to construct mean pupil-state tuning curves for each excitatory subtype (Fig. 3A and fig. S4A). Only sound-responsive neurons with sufficient data at enough pupil states were included (see Materials and Methods). Missing values for underrepresented bins were linearly interpolated or extrapolated according to defined inclusion criteria (fig. S2, A and B). Pupil-linked arousal significantly modulated response magnitude, and the pattern of modulation differed by excitatory subtype (Fig. 3A; two-way mixed-effects model, main effect for pupil and cell type, P = 1.28 × 10−10 and P < 10−100, ωp2=0.002 and 0.024, respectively; pupil x cell type interaction term, P = 0.024 and ωp2=0.001). L2/3 [Fig. 3A, fields of view (FOVs) = 21] and CT (Fig. 3A; FOVs = 14) neurons exhibited inverted-U state tuning curves, with maximal activity at intermediate arousal levels. In contrast, L5 ET neurons (Fig. 3A; FOVs = 27) showed a linear increase in response magnitude with increasing pupil size. L5 IT neurons (Fig. 3A; FOVs = 14) showed no modulation, suggesting that this subtype is relatively insensitive to arousal-linked changes in brain state.\n(A) Mean BF state tuning curves for each excitatory cell type (L2/3, n = 21 FOVs; L5 IT, n = 14 FOVs; L5 ET, n = 27 FOVs; CT, n = 14 FOVs). resp., response. (B) Schematic of unsupervised hierarchical clustering analysis of BF state tuning curves and manual grouping into functional pupil-state modulation motifs. (C) Distance matrix from hierarchical clustering analysis of evoked state tuning curves (left). Mean response profiles for each cluster, organized by pupil-state modulation motifs (right). Dist., distance. (D) Pie chart showing the distribution of modulation motifs across clusters for all excitatory subpopulations. Colors correspond to cluster groupings in [(C) right]. Perc., percent. (E) Proportions of pupil-state modulation motifs by excitatory subtype. (F) Representative BF state tuning curves from individual neurons for each motif and cell type. Dashed blue lines indicate linearly interpolated and/or extrapolated pupil-state data (see Materials and Methods). (G) Mean BF state tuning by modulation motif and excitatory subtype. Cell counts: increasing: n = 759 neurons; decreasing: n = 443; inverted-U: n = 670; U-shaped: n = 224. Shaded regions denote mean ± SEM.\nAveraging the neural activity across large populations can obscure the diversity of state-dependent response profiles. For instance, symmetric but opposing relationships (e.g., positive and negative quadratics) may cancel out when aggregated, resulting in a misleadingly flat average. To uncover hidden structure within the data, we applied hierarchical clustering to all sound-responsive neurons (Fig. 3B). Clustering was performed separately using the neural activity from two distinct time windows: a baseline period (prestimulus onset) and an evoked period (poststimulus onset). Dissimilarity between state tuning curves was quantified using Euclidean distance, and resulting clusters were classified into one of several functional pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), or U-shaped (positive quadratic) (Fig. 3C and fig. S2, C and D). While nonmodulated neurons were present in both clustering analyses, pupil-modulated motifs were much more prominent. To ensure that any nonmodulated cells scattered across the clusters did not distort the identified motifs, we confirmed that the mean z-scored tuning curve of each cluster closely matched the rescaled profile of its constituent cells (fig. S2E). The distribution of all neurons across modulation motifs was significantly nonuniform in both the evoked (Fig. 3D; chi-square test, n = 2096, P = 2.75 × 10−71, Cramér’s V = 0.229) and baseline (fig. S2D; chi-square test, n = 2096, P < 10−100, Cramér’s V = 0.35) windows. While the four pupil-modulated motifs were found using both evoked and baseline activity, increasing (36%) and inverted-U (31%) motifs were most prevalent across evoked clusters, whereas increasing (49%) and decreasing (26%) motifs were most prevalent across baseline clusters (Fig. 3D and fig. S2D).\nAfter assigning each neuron to a modulation motif via clustering, we examined how the distribution of these motifs varied across excitatory subtypes. Four pupil-state modulation motifs were represented within each subtype but occurred at different proportions (Fig. 3E; chi-square test, P = 1.68 × 10−6, Cramér’s V = 0.083; fig. S2, F and G; chi-square test, P = 0.015, Cramér’s V = 0.057). The small effect sizes indicate that these differences were modest, consistent with broad heterogeneity within each population. Most sound-responsive neurons within each excitatory subtype exhibited either increasing responses or followed an inverted-U pattern with pupil dilation, consistent with previous findings (36). The increasing motif was most prevalent in L2/3 and L5 ET neurons (35 and 43%, respectively), while the inverted-U motif was more common in L5 IT and CT populations (36 and 35%, respectively). The U-shaped motif was the least common across all cell types, observed in only 14% of L2/3, 8% of L5 IT, 10% of L5 ET, and 8% of CT cells. Overall, linear motifs (increasing or decreasing) were dominant over nonlinear motifs (inverted-U or U-shaped) across all populations: L2/3 (53% linear versus 47% nonlinear), L5 IT (56% versus 44%), L5 ET (64% versus 36%), and CT (56% versus 44%).\nLastly, we revisited the mean BF state tuning curves, this time stratifying responses by both modulation motif and excitatory subtype (Fig. 3, F and G, and fig. S4B). For cells assigned to the increasing motif, response magnitude scaled with pupil size across all subtypes, but the strength and pattern of this modulation varied significantly [Fig. 3G; two-way analysis of variance (ANOVA), n = 759; main effect for pupil and cell type: P < 10−100 and P = 5.18 × 10−6, ωp2=0.323 and 0.033, respectively; pupil x cell type interaction: P = 3.77 × 10−22, ωp2=0.017]. A similar pattern was observed for the decreasing motif, where responses weakened with larger pupil diameter in a subtype-dependent manner (Fig. 3G, two-way ANOVA, n = 443; main effect for pupil and cell type: P < 10−100 and P = 0.017, ωp2=0.355 and 0.016, respectively; pupil x cell type interaction: P = 2.88 × 10−7, ωp2=0.011). For the inverted-U motif, response magnitude varied significantly with pupil size and differed by excitatory subtype (Fig. 3G; n = 670, two-way ANOVA; main effect for pupil and cell type: P < 10−100 and P = 0.0159, ωp2=0.142 and 0.011, respectively; pupil x cell type interaction: P = 1.51 × 10−18, ωp2=0.017). In contrast, neurons exhibiting a U-shaped motif showed significant modulation by pupil diameter overall but no systematic differences between subtype (Fig. 3G; n = 224, two-way ANOVA; main effect for pupil and cell type: P = 9.16 × 10−54 and P = 0.317, ωp2=0.224 and 0.002, respectively; pupil x cell type interaction: P = 0.9203, ωp2=0.004).\nWhen responses were averaged across all motifs, pupil-linked modulation appeared relatively weak and was associated with small effect sizes (Fig. 3A; ωp2<0.03). However, parsing by motif revealed diverse but statistically significant state-dependent effects that would otherwise be obscured by population averaging (Fig. 3G, pupil effect sizes, ωp2=0.14−0.35). For example, although 18 to 25% of cells in each subtype decreased their evoked activity with increasing pupil size (Fig. 3E), this suppressive trend was masked in the pooled data, likely due to cancelation by coexisting increasing responses. To test whether this modulation was specific to responses at the BF, we repeated the clustering analysis using responses to each neuron’s least-preferred tone (“worst frequency”). This revealed the same pupil-state modulation motifs, as well as a nonmodulated motif, which again modestly varied across cell types (fig. S2, H to J; chi-square test, P < 10−100 and P = 1.9 × 10−5, Cramér’s V = 0.397 and 0.088, respectively). These results indicate that pupil-linked modulation is a general feature of ACtx excitatory neurons, not restricted to responses at preferred stimuli.\nGiven that response magnitudes at BF varied with arousal, we hypothesized that frequency tuning curves would also shift across pupil states. To test this, we split trials into low and high arousal states and computed separate frequency tuning curves for each neuron in each state. We then performed a linear regression by fitting each neuron’s high arousal tuning curve as a function of its low arousal tuning curve, allowing us to quantify state-dependent transformations in tuning selectivity (Fig. 4A). This approach yields two key parameters: the slope and y intercept of the fit. Slopes significantly different from +1 reflect changes in tuning gain—specifically, values < 1 indicate divisive transformations, and values > 1 indicate multiplicative transformations. Likewise, y intercepts significantly different from 0 reflect additive (positive) or subtractive (negative) shifts in overall response magnitude. The magnitude of these transformations increases with the distance from slope = 1 and intercept = 0. In many cases, both gain and offset changes occurred concurrently, reflecting compound transformations such as multiplicative/additive (Fig. 4B) or divisive/subtractive (Fig. 4C) effects.\n(A) Schematic illustrating how tuning curves shift from low (black) to high (red) pupil-linked arousal (left). Corresponding linear fits (turquoise) comparing high to low arousal tuning, overlaid with a dashed unity reference line (right). Transformation types: Add., Additive; Sub., Subtractive; Mult., Multiplicative; Div., Divisive. (B) Example of a multiplicative and additive transformation in a single L2/3 neuron. Frequency tuning curves at low (black) and high (red) arousal states (left). Scatter plot and linear fit (turquoise) showing the relationship between low and high arousal responses (right). Equation shown above. Low and high arousal are defined as pupil bins of 0 to 52 and 72 to 100% max dilation, respectively. (C) Same as (B) for a subtractive and divisive transformation in an example L5 IT neuron. (D) Swarm plot of significant slope coefficients across cell types, representing multiplicative/divisive transformations. Each point is a neuron with averages shown in black (n = 1209 neurons). (E) Same as in (D) for y-intercept coefficients corresponding to additive and subtractive transformations (n = 1105 neurons). (F) Proportion of neurons exhibiting multiplicative/divisive (left) or additive/subtractive (right) tuning transformations. Binomial tests were conducted for each cell type and transformation pair. n.s., not significant; **P < 0.01 and ***P < 0.0001.\nWe observed broad within–cell-type variability and modest but statistically significant differences in state-dependent transformations of tuning gain and offset across excitatory subtypes. Slope coefficients, which reflect multiplicative or divisive changes, differed across groups (Fig. 4D; n = 1209, Kruskal-Wallis test, P = 4.46 × 10−11, η2 = 0.04; fig. S4C). Post hoc comparisons revealed that L5 ET neurons had significantly different multiplicative/divisive effects compared to all other subtypes (Dunn’s test; L2/3, P = 5.19 × 10−8; L5 IT, P = 6.32 × 10−6; CT, P = 9.72 × 10−9), whereas L2/3, L5 IT, and CT neurons showed statistically indistinguishable distributions (Dunn’s test; P > 0.99). Similarly, y-intercept coefficients, reflecting additive or subtractive transformations, also varied by subtype (Fig. 4E; n = 1105, Kruskal-Wallis test, P = 1.08 × 10−5, η2 = 0.021; fig. S4C). L5 ET neurons again differed significantly from both L2/3 and L5 IT neurons (Dunn’s test; P = 0.0026 and P = 5.74 × 10−5, respectively), and intercept values for CT neurons differed significantly from those of L5 IT neurons (Dunn’s test; P = 0.0033). Although these subtype-specific differences were small in magnitude (η2 < 0.05), they were consistent across analyses. For example, subtype differences were also evident when examining the proportion of neurons classified as multiplicative/divisive or additive/subtractive (Fig. 4F, chi-square test, P = 1.17 × 10−12 and P = 1.48 × 10−6, Cramér’s V = 0.22 and 0.164, respectively).\nTo test for subtype-specific biases in transformation type, we performed binomial tests within each group, assuming a null probability of 50% for each transformation category (Fig. 4F). From low to high arousal, L5 ET neurons showed a strong preference for multiplicative gain modulation (P = 5.99 × 10−25), a pattern not observed in L2/3, L5 IT, or CT neurons (P = 0.08, P > 0.99, and P = 0.29, respectively). L5 ET neurons also showed a significant bias toward additive shifts at higher arousal (P = 4.31 × 10−22), a trend that was also present in L2/3 (P = 0.0045) and CT (P = 1.7 × 10−10) neurons but not in L5 IT neurons (P = 0.208). Together, these results suggest that while all excitatory subtypes exhibit arousal-linked changes in tuning selectivity, the magnitude and direction of these transformations differ subtly between populations. L5 ET neurons, in particular, tended to show increases in both gain and offset, consistent with reduced frequency selectivity and enhanced evoked responses at high arousal.\nFluctuations in pupil size have been linked to changes in the functional organization of cortical networks, including shifts in interneuronal correlations that accompany different arousal states (11, 35, 36, 69). However, how neural activity covaries within defined excitatory subpopulations remains poorly understood. Prior studies have reported that pairwise neuronal correlations tend to decrease with increasing intersomatic distance, but it is unclear whether this spatial dependence generalizes across distinct excitatory subtypes (70–76). To address these questions, we analyzed pure tone responses, examining the relationship between pupil-linked arousal, intersomatic distance, and pairwise correlations. We focused on two widely used measures of correlated activity: noise correlations, which reflect shared trial-to-trial variability, and signal correlations, which capture the similarity of stimulus tuning across neuron pairs (Fig. 5, A and B) (70, 77–80).\n(A) Example noise (left) and signal (right) correlations from a pair of L5 ET neurons within the same FOV in (B). Each dot in the noise correlation plot represents the mean z-scored response on a single trial; each dot in the signal correlation plot represents the mean response to a single stimulus. NC, noise correlation; SC, signal correlation. (B) Full pairwise correlation matrices for noise (left) and signal (right) correlations in an example L5 ET FOV. Corr., correlation. (C) Pairwise noise correlations (colored dots) plotted as a function of intersomatic distance for one example L2/3 neuron (black dot) within a single FOV (left). Mean noise correlations binned by distance for each cell type (right). Pairwise cell counts: L2/3: n = 47, 285; L5 IT: n = 4, 720; L5 ET: n = 16, 015; CT: n = 8, 105. (D) Same as (C), but for signal correlations. Same example FOV in (C) is used (left). (E) Mean noise correlations across pupil states for an example CT FOV (left) and pooled across all populations (right). Same pairwise cell counts as in (C). (F) Same as in (E) but for signal correlations using an example L5 IT FOV (left). Shaded regions denote mean ± SEM.\nWe found that mean noise correlations decreased as a function of intersomatic distance across all excitatory subtypes, irrespective of pupil state (Fig. 5C, and fig. S4D). Although this distance-dependent decrease was consistent across groups, the overall magnitude of noise correlations differed significantly by subtype (Fig. 5C, two-way mixed-effects model; main effect for distance and cell type: P < 10−100 and P < 10−100, ωp2=0.011 and 0.028, respectively; distance x cell type interaction: P = 8.78 × 10−24, ωp2=0.002). Signal correlations also decreased with distance (Fig. 5D and fig. S4D) and varied significantly across subtypes (two-way mixed-effects model; main effect for distance and cell type: P = 1.75 × 10−93 and P < 10−100, ωp2=0.006 and 0.035, respectively; distance x cell type interaction: P = 1.16 × 10−6, ωp2=0.001).\nPrevious studies have shown that noise correlations in L2/3 neurons decrease with pupil dilation, reflecting reduced shared variability during heightened arousal (11, 35, 36, 69). In contrast, findings for signal correlations in L2/3 have been mixed, with reports of both increase and decrease across arousal states (11, 35). Here, we found that noise correlations were significantly modulated by both pupil state and excitatory subtype (Fig. 5E; two-way mixed-effects model; main effect for pupil and cell type: P < 10−100 and P < 10−100, ωp2=0.002 and 0.015, respectively; pupil x cell type interaction: P < 10−100, ωp2=0.0002; fig. S4E). Specifically, noise correlations decreased at higher arousal levels across all excitatory subtypes, not just in L2/3, suggesting that reduced shared variability is a general feature of arousal-related cortical dynamics. In contrast, signal correlations showed a more heterogeneous pattern across subtypes, being significantly influenced by both pupil state and excitatory identity (Fig. 5F; two-way mixed-effects model; main effect for pupil and cell type: P = 5.09 × 10−32 and P < 10−100, ωp2=0.0004, respectively; pupil x cell type interaction: P < 10−100, ωp2=0.003; fig. S4E). In L5 IT and ET neurons, signal correlations decreased with increasing arousal, whereas CT cells exhibited the opposite trend, with signal correlations increasing at higher pupil states. In L2/3, signal correlations were highly variable and showed no clear direction of change. These divergent effects suggest that arousal can either increase the independence of stimulus representations (as in L5 IT and ET cells) or enhance their overlap (as in CT cells), depending on the projection class.\nAlthough statistically robust, the observed effect sizes were small (ωp2<0.04), indicating that these arousal-related changes in correlated activity are subtle. Nonetheless, our results demonstrate that both internal state and excitatory cell identity shape pairwise activity structure, with arousal broadly reducing shared variability while differentially modulating representational similarity across subtypes.\nWe have shown that pupil-linked state dynamics modulate stimulus representations at the single-cell level. This modulation may translate to differences in how accurately sound identity is encoded across arousal states. To test this, we trained an artificial neural network classifier to decode stimulus identity from population-level neural activity, irrespective of sound-responsiveness, across multiple pupil states and excitatory subtypes. We found that decoding accuracy varied significantly with both arousal and cell type (Fig. 6A; two-way mixed-effects model; main effect for pupil and cell type: P = 6.72 × 10−5 and P = 9.94 × 10−5, ωp2=0.219 and 0.184, respectively; pupil x cell type interaction: P = 0.0018, ωp2=0.071). In L2/3 and CT neurons, decoding accuracy followed an inverted-U profile across arousal states, whereas L5 IT neurons showed stable performance, and L5 ET neurons exhibited improved decoding at higher arousal. Normalizing decoding performance within each FOV to its peak further confirmed this cell-type–specific effect (Fig. 6B; two-way mixed-effects model; main effect for pupil and cell type: P = 8.13 × 10−10 and P = 0.028, ωp2=0.245 and 0.066, respectively; pupil x cell type interaction: P = 0.057, ωp2=0.035).\n(A) Mean stimulus decoding accuracy across pupil states for each excitatory cell type. Chance accuracy is 1/15. (B) Same as in (A), but decoding accuracy is normalized within each FOV to its maximum value to yield a proportion of peak classification performance (value of 1). (C) Schematic depicting the computation of principal components analysis (PCA)–derived population reliability, defined as the proportion of trial-averaged variance explained relative to total trial-to-trial variability. Stim., stimuli; Var., variance. (D) Scatter plot showing the relationship between mean stimulus decoding accuracy and PCA-derived population reliability for each FOV across pupil states and imaging days. (E) Mean PCA-derived population reliability across pupil states. Shaded regions denote mean ± SEM.\nWe next examined whether network-level features influence decoding performance, focusing first on noise correlations, which can limit the amount of independent information encoded by a population (79, 81–83). However, the functional consequences of such correlations is debated, with some studies reporting little impact on population coding fidelity (84). To directly test their contribution, we shuffled trials within each stimulus class for each neuron/frequency pair, thereby disrupting noise correlations while preserving mean responses. Eliminating shared variability had no measurable effect on decoding accuracy in any excitatory subtype (fig. S3, A and B; mixed-effects model, main effect of shuffling, P > 0.99 in both figures).\nWe next evaluated whether decoding accuracy is shaped by population reliability, the consistency of neural responses across repeated stimulus presentations, which is thought to enhance sensory decoding by stabilizing population codes that improve pattern separation (44). To assess this, we quantified population-level reliability across FOVs, pupil states, and recording sessions and compared these values to decoding performance within each excitatory cell type. Reliability was estimated using principal components analysis (PCA): For each principal component, we computed the ratio of the variance of the mean stimulus–evoked response to the total trial-to-trial variance and then averaged across components to yield a single reliability score (Fig. 6C). This measure reflects the stability of evoked population activity patterns, with higher values reflecting greater reliability. Across all excitatory subtypes, we observed strong positive correlations between decoding accuracy and population-level reliability [Fig. 6D; L2/3, correlation coefficient (r) = 0.93, P = 6.29 × 10−42; L5 IT, r = 0.96, P = 1.07 × 10−57; L5 ET, r = 0.96, P = 7.22 × 10−96; CT, r = 0.97, P = 7.67 × 10−74].\nTo complement our PCA-based measure, we also assessed single-neuron reliability, calculated independently for each sound-responsive neuron across all pupil states (44). This analysis revealed significant differences in reliability across excitatory subtypes, independent of pupil state, with L5 ET neurons exhibiting the highest and L5 IT neurons the lowest reliability (fig. S3C; Kruskal-Wallis test, P = 2.7 × 10−9, η2 = 0.012). PCA-derived and single-neuron estimates of population reliability were highly correlated within each cell type (fig. S3D; L2/3, r = 0.89, P = 1.7 × 10−33; L5 IT, r = 0.99, P = 7.89 × 10−83; L5 ET, r = 0.97, P = 2.72 × 10−98; CT, r = 0.95, P = 2.01 × 10−62). Moreover, similar to PCA-derived reliability, single-neuron reliability was strongly predictive of decoding accuracy across all excitatory populations (fig. S3E; L2/3, r = 0.89, P = 4.53 × 10−34; L5 IT, r = 0.94, P = 1 × 10−51; L5 ET, r = 0.96, P = 8.97 × 10−93; CT, r = 0.96, P = 2.24 × 10−70).\nArousal-dependent changes in decoding performance likely reflect shifts in neural network dynamics. Given the tight coupling between reliability and decoding accuracy, we next asked whether reliability itself is modulated by arousal and could serve as a mechanistic link between internal state and sensory encoding. To test this, we computed mean reliability within each pupil-state bin and found that PCA-derived population-level reliability varied significantly with arousal in a cell-type–specific manner (Fig. 6E; two-way mixed-effects model; main effect for pupil and cell type: P = 0.0002 and P = 0.0004, ωp2=0.193 and 0.158, respectively; pupil x cell type interaction: P = 0.0004, ωp2=0.084). Single-neuron reliability showed the same pattern (fig. S3F; two-way mixed-effects model; main effect for pupil and cell type: P = 5.17 × 10−5 and P = 2.69 × 10−8, ωp2=0.251 and 0.325, respectively; pupil x cell type interaction: P = 0.0012, ωp2=0.075). Across both metrics, reliability tracked decoding performance across pupil states: L2/3 and CT neurons showed inverted-U profiles, L5 IT neurons remained largely unchanged, and L5 ET exhibited a monotonic increase in reliability with arousal (Fig. 6, A and E, and fig. S3F). These results demonstrate that the fidelity of sound representations is shaped by both cell type and internal state. Critically, the stability of the population code emerges as a key constraint on how effectively sensory stimuli are decoded from cortical activity.\n\n\n### Multivariate regression reveals diverse arousal effects and cell-type–specific responsiveness in ACtx\nWe used a multivariate linear regression model to quantify how each neuron’s activity was modulated by sound and/or pupil-linked arousal. For each trial, a neuron’s evoked response was modeled as a function of stimulus identity and baseline neural, pupil, and pupil2 activities (Fig. 2A). This approach allowed us to estimate the proportion of response variance attributable to both sensory input and arousal while capturing potential nonlinear relationships via the quadratic pupil term. Because the model does not explicitly allow pupil to modulate baseline neural activity, the pupil-related coefficients reflect the net influence of arousal state on overall evoked magnitude. Hence, we primarily used this framework to assess stimulus responsiveness and to characterize broad trends in arousal-dependent modulation rather than to mechanistically separate state effects on spontaneous versus evoked activity.\n(A) Truncated design matrix from a single L5 ET neuron used in the multivariate linear regression model. Predictors include one-hot encoded stimulus identity, and prestimulus baseline activity (neural, pupil, and pupil2). Normalized pupil activity is represented as a proportion of max dilation (range: 0 to 1). Freq., Frequency. (B) Frequency tuning curve (black) of the example L5 ET neuron in (A), overlaid with its corresponding stimulus-related regression coefficients (βs; orange). (C) Simulated examples demonstrating five distinct arousal modulation motifs, each with identical frequency tuning but differing pupil-dependent responses. The full regression model accurately recovers each motif, including linear (increasing and decreasing), nonlinear (inverted-U and U-shaped), and nonmodulated profiles. Incr., Increase; Decr., Decrease; Non-mod., Nonmodulated; Inv.-U, Inverted-U; Pred., prediction. (D) Peristimulus time histograms (PSTHs) from all recorded neurons (collapsed across pupil state and stimulus), sorted within each subtype by their z-scored maximum βs value. Green indicates sound-responsive cells; gray indicates non–sound-responsive cells, based on a threshold of 0.5 SDs (dashed line). Cell counts: L2/3: n = 3023 neurons, N = 6 mice; L5 IT: n = 2447, N = 7; L5 ET: n = 2876, N = 10; CT: n = 3311, N = 9. SR, Sound-responsive; NSR, Non–sound-responsive; Resp., response; a.u., arbitrary units. (E) Stacked bar plot showing the proportion of sound-responsive (green) and non–sound-responsive (gray) neurons across each excitatory subtype. Prop., Proportion. (F) Three-dimensional (3D) scatterplot of z-scored regression coefficients: βp, βp2, and maximum βs, for all neurons. Sound-responsive neurons (green) and non–sound-responsive neurons (gray) are separated by a threshold hyperplane along the βs axis. Shaded regions denote mean ± SEM.\nRegression coefficients for pupil and pupil2 (βp and βp2) quantified the influence of linear and nonlinear effects of arousal, respectively, while stimulus-related coefficients (βs) reflected tuning to individual frequencies. The βs values closely mirrored each neuron’s empirically measured tuning curve (Fig. 2B), with observed correlations far exceeding chance (fig. S1A; two-sample Kolmogorov-Smirnov test, P < 10−100; median Pearson’s r > 0.99 across all subtypes). To further validate model performance, we simulated five neurons with identical frequency tuning but differing responses across pupil states, i.e., distinct state tuning curves (fig. S1, B to D). These synthetic neurons were designed to exhibit one of five pupil-dependent response patterns: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), and nonmodulated. The full model accurately captured both linear and nonlinear state tuning profiles (Fig. 2C), confirming its ability to detect diverse pupil-linked modulation patterns.\nCalcium imaging avoids the sampling bias inherent to electrophysiology, which tends to overrepresent active neurons, making two-photon recordings well suited for estimating the true proportion of sensory-responsive cells. To leverage this advantage, we used the regression model to assess each neuron’s sound responsiveness. For each neuron, we extracted the maximum stimulus-related βs coefficient [corresponding to its best frequency (BF)] and z-scored this value. Neurons with z-scored βs values exceeding 0.5 SDs were heuristically classified as sound responsive, while all others were considered non–sound responsive. This approach revealed significant differences in sound responsiveness across excitatory subtypes (Fig. 2, D and E; chi-square test, P < 10−100, Cramér’s V = 0.26). The highest proportion of sound-responsive neurons was observed in L2/3 (44%), followed by L5 ET (32%), CT (20%), and L5 IT (13%). On average, these sound-responsive neurons exhibited strong evoked activity across trials, irrespective of pupil state and stimulus (Fig. 2D).\nTo visualize the diversity of pupil-linked modulation across the entire dataset, we normalized each neuron’s βp and βp2 coefficients and plotted these alongside their maximum βs value (Fig. 2F). If pupil state had no influence on sound-evoked activity, βp and βp2 coefficients would cluster around zero. However, we observed a broad range of positive and negative coefficients, indicating that neural activity across all excitatory subtypes was frequently modulated by pupil state, both linearly and nonlinearly. This widespread influence motivated subsequent analyses aimed at characterizing the specific forms and functional consequences of pupil-linked modulation in greater detail.\n\n\n### Excitatory subtypes exhibit heterogeneous patterns of arousal-dependent response modulation\nThe relationship between neural response magnitude and pupil-linked arousal has been characterized across multiple brain regions (9, 11, 35, 37–39). However, how arousal affects distinct excitatory neuron classes within a shared cortical area remains unclear. To address this, we compared arousal-dependent modulation of evoked responses across multiple excitatory subtypes in ACtx under identical stimulus conditions. For each neuron, we identified its BF, defined as the pure tone frequency that elicited the greatest activity irrespective of pupil state, and quantified how BF-evoked activity varied with pupil diameter. These values were averaged within each pupil state bin to construct mean pupil-state tuning curves for each excitatory subtype (Fig. 3A and fig. S4A). Only sound-responsive neurons with sufficient data at enough pupil states were included (see Materials and Methods). Missing values for underrepresented bins were linearly interpolated or extrapolated according to defined inclusion criteria (fig. S2, A and B). Pupil-linked arousal significantly modulated response magnitude, and the pattern of modulation differed by excitatory subtype (Fig. 3A; two-way mixed-effects model, main effect for pupil and cell type, P = 1.28 × 10−10 and P < 10−100, ωp2=0.002 and 0.024, respectively; pupil x cell type interaction term, P = 0.024 and ωp2=0.001). L2/3 [Fig. 3A, fields of view (FOVs) = 21] and CT (Fig. 3A; FOVs = 14) neurons exhibited inverted-U state tuning curves, with maximal activity at intermediate arousal levels. In contrast, L5 ET neurons (Fig. 3A; FOVs = 27) showed a linear increase in response magnitude with increasing pupil size. L5 IT neurons (Fig. 3A; FOVs = 14) showed no modulation, suggesting that this subtype is relatively insensitive to arousal-linked changes in brain state.\n(A) Mean BF state tuning curves for each excitatory cell type (L2/3, n = 21 FOVs; L5 IT, n = 14 FOVs; L5 ET, n = 27 FOVs; CT, n = 14 FOVs). resp., response. (B) Schematic of unsupervised hierarchical clustering analysis of BF state tuning curves and manual grouping into functional pupil-state modulation motifs. (C) Distance matrix from hierarchical clustering analysis of evoked state tuning curves (left). Mean response profiles for each cluster, organized by pupil-state modulation motifs (right). Dist., distance. (D) Pie chart showing the distribution of modulation motifs across clusters for all excitatory subpopulations. Colors correspond to cluster groupings in [(C) right]. Perc., percent. (E) Proportions of pupil-state modulation motifs by excitatory subtype. (F) Representative BF state tuning curves from individual neurons for each motif and cell type. Dashed blue lines indicate linearly interpolated and/or extrapolated pupil-state data (see Materials and Methods). (G) Mean BF state tuning by modulation motif and excitatory subtype. Cell counts: increasing: n = 759 neurons; decreasing: n = 443; inverted-U: n = 670; U-shaped: n = 224. Shaded regions denote mean ± SEM.\nAveraging the neural activity across large populations can obscure the diversity of state-dependent response profiles. For instance, symmetric but opposing relationships (e.g., positive and negative quadratics) may cancel out when aggregated, resulting in a misleadingly flat average. To uncover hidden structure within the data, we applied hierarchical clustering to all sound-responsive neurons (Fig. 3B). Clustering was performed separately using the neural activity from two distinct time windows: a baseline period (prestimulus onset) and an evoked period (poststimulus onset). Dissimilarity between state tuning curves was quantified using Euclidean distance, and resulting clusters were classified into one of several functional pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), or U-shaped (positive quadratic) (Fig. 3C and fig. S2, C and D). While nonmodulated neurons were present in both clustering analyses, pupil-modulated motifs were much more prominent. To ensure that any nonmodulated cells scattered across the clusters did not distort the identified motifs, we confirmed that the mean z-scored tuning curve of each cluster closely matched the rescaled profile of its constituent cells (fig. S2E). The distribution of all neurons across modulation motifs was significantly nonuniform in both the evoked (Fig. 3D; chi-square test, n = 2096, P = 2.75 × 10−71, Cramér’s V = 0.229) and baseline (fig. S2D; chi-square test, n = 2096, P < 10−100, Cramér’s V = 0.35) windows. While the four pupil-modulated motifs were found using both evoked and baseline activity, increasing (36%) and inverted-U (31%) motifs were most prevalent across evoked clusters, whereas increasing (49%) and decreasing (26%) motifs were most prevalent across baseline clusters (Fig. 3D and fig. S2D).\nAfter assigning each neuron to a modulation motif via clustering, we examined how the distribution of these motifs varied across excitatory subtypes. Four pupil-state modulation motifs were represented within each subtype but occurred at different proportions (Fig. 3E; chi-square test, P = 1.68 × 10−6, Cramér’s V = 0.083; fig. S2, F and G; chi-square test, P = 0.015, Cramér’s V = 0.057). The small effect sizes indicate that these differences were modest, consistent with broad heterogeneity within each population. Most sound-responsive neurons within each excitatory subtype exhibited either increasing responses or followed an inverted-U pattern with pupil dilation, consistent with previous findings (36). The increasing motif was most prevalent in L2/3 and L5 ET neurons (35 and 43%, respectively), while the inverted-U motif was more common in L5 IT and CT populations (36 and 35%, respectively). The U-shaped motif was the least common across all cell types, observed in only 14% of L2/3, 8% of L5 IT, 10% of L5 ET, and 8% of CT cells. Overall, linear motifs (increasing or decreasing) were dominant over nonlinear motifs (inverted-U or U-shaped) across all populations: L2/3 (53% linear versus 47% nonlinear), L5 IT (56% versus 44%), L5 ET (64% versus 36%), and CT (56% versus 44%).\nLastly, we revisited the mean BF state tuning curves, this time stratifying responses by both modulation motif and excitatory subtype (Fig. 3, F and G, and fig. S4B). For cells assigned to the increasing motif, response magnitude scaled with pupil size across all subtypes, but the strength and pattern of this modulation varied significantly [Fig. 3G; two-way analysis of variance (ANOVA), n = 759; main effect for pupil and cell type: P < 10−100 and P = 5.18 × 10−6, ωp2=0.323 and 0.033, respectively; pupil x cell type interaction: P = 3.77 × 10−22, ωp2=0.017]. A similar pattern was observed for the decreasing motif, where responses weakened with larger pupil diameter in a subtype-dependent manner (Fig. 3G, two-way ANOVA, n = 443; main effect for pupil and cell type: P < 10−100 and P = 0.017, ωp2=0.355 and 0.016, respectively; pupil x cell type interaction: P = 2.88 × 10−7, ωp2=0.011). For the inverted-U motif, response magnitude varied significantly with pupil size and differed by excitatory subtype (Fig. 3G; n = 670, two-way ANOVA; main effect for pupil and cell type: P < 10−100 and P = 0.0159, ωp2=0.142 and 0.011, respectively; pupil x cell type interaction: P = 1.51 × 10−18, ωp2=0.017). In contrast, neurons exhibiting a U-shaped motif showed significant modulation by pupil diameter overall but no systematic differences between subtype (Fig. 3G; n = 224, two-way ANOVA; main effect for pupil and cell type: P = 9.16 × 10−54 and P = 0.317, ωp2=0.224 and 0.002, respectively; pupil x cell type interaction: P = 0.9203, ωp2=0.004).\nWhen responses were averaged across all motifs, pupil-linked modulation appeared relatively weak and was associated with small effect sizes (Fig. 3A; ωp2<0.03). However, parsing by motif revealed diverse but statistically significant state-dependent effects that would otherwise be obscured by population averaging (Fig. 3G, pupil effect sizes, ωp2=0.14−0.35). For example, although 18 to 25% of cells in each subtype decreased their evoked activity with increasing pupil size (Fig. 3E), this suppressive trend was masked in the pooled data, likely due to cancelation by coexisting increasing responses. To test whether this modulation was specific to responses at the BF, we repeated the clustering analysis using responses to each neuron’s least-preferred tone (“worst frequency”). This revealed the same pupil-state modulation motifs, as well as a nonmodulated motif, which again modestly varied across cell types (fig. S2, H to J; chi-square test, P < 10−100 and P = 1.9 × 10−5, Cramér’s V = 0.397 and 0.088, respectively). These results indicate that pupil-linked modulation is a general feature of ACtx excitatory neurons, not restricted to responses at preferred stimuli.\n\n\n### Pupil-linked arousal modulates tuning selectivity in all excitatory subtypes\nGiven that response magnitudes at BF varied with arousal, we hypothesized that frequency tuning curves would also shift across pupil states. To test this, we split trials into low and high arousal states and computed separate frequency tuning curves for each neuron in each state. We then performed a linear regression by fitting each neuron’s high arousal tuning curve as a function of its low arousal tuning curve, allowing us to quantify state-dependent transformations in tuning selectivity (Fig. 4A). This approach yields two key parameters: the slope and y intercept of the fit. Slopes significantly different from +1 reflect changes in tuning gain—specifically, values < 1 indicate divisive transformations, and values > 1 indicate multiplicative transformations. Likewise, y intercepts significantly different from 0 reflect additive (positive) or subtractive (negative) shifts in overall response magnitude. The magnitude of these transformations increases with the distance from slope = 1 and intercept = 0. In many cases, both gain and offset changes occurred concurrently, reflecting compound transformations such as multiplicative/additive (Fig. 4B) or divisive/subtractive (Fig. 4C) effects.\n(A) Schematic illustrating how tuning curves shift from low (black) to high (red) pupil-linked arousal (left). Corresponding linear fits (turquoise) comparing high to low arousal tuning, overlaid with a dashed unity reference line (right). Transformation types: Add., Additive; Sub., Subtractive; Mult., Multiplicative; Div., Divisive. (B) Example of a multiplicative and additive transformation in a single L2/3 neuron. Frequency tuning curves at low (black) and high (red) arousal states (left). Scatter plot and linear fit (turquoise) showing the relationship between low and high arousal responses (right). Equation shown above. Low and high arousal are defined as pupil bins of 0 to 52 and 72 to 100% max dilation, respectively. (C) Same as (B) for a subtractive and divisive transformation in an example L5 IT neuron. (D) Swarm plot of significant slope coefficients across cell types, representing multiplicative/divisive transformations. Each point is a neuron with averages shown in black (n = 1209 neurons). (E) Same as in (D) for y-intercept coefficients corresponding to additive and subtractive transformations (n = 1105 neurons). (F) Proportion of neurons exhibiting multiplicative/divisive (left) or additive/subtractive (right) tuning transformations. Binomial tests were conducted for each cell type and transformation pair. n.s., not significant; **P < 0.01 and ***P < 0.0001.\nWe observed broad within–cell-type variability and modest but statistically significant differences in state-dependent transformations of tuning gain and offset across excitatory subtypes. Slope coefficients, which reflect multiplicative or divisive changes, differed across groups (Fig. 4D; n = 1209, Kruskal-Wallis test, P = 4.46 × 10−11, η2 = 0.04; fig. S4C). Post hoc comparisons revealed that L5 ET neurons had significantly different multiplicative/divisive effects compared to all other subtypes (Dunn’s test; L2/3, P = 5.19 × 10−8; L5 IT, P = 6.32 × 10−6; CT, P = 9.72 × 10−9), whereas L2/3, L5 IT, and CT neurons showed statistically indistinguishable distributions (Dunn’s test; P > 0.99). Similarly, y-intercept coefficients, reflecting additive or subtractive transformations, also varied by subtype (Fig. 4E; n = 1105, Kruskal-Wallis test, P = 1.08 × 10−5, η2 = 0.021; fig. S4C). L5 ET neurons again differed significantly from both L2/3 and L5 IT neurons (Dunn’s test; P = 0.0026 and P = 5.74 × 10−5, respectively), and intercept values for CT neurons differed significantly from those of L5 IT neurons (Dunn’s test; P = 0.0033). Although these subtype-specific differences were small in magnitude (η2 < 0.05), they were consistent across analyses. For example, subtype differences were also evident when examining the proportion of neurons classified as multiplicative/divisive or additive/subtractive (Fig. 4F, chi-square test, P = 1.17 × 10−12 and P = 1.48 × 10−6, Cramér’s V = 0.22 and 0.164, respectively).\nTo test for subtype-specific biases in transformation type, we performed binomial tests within each group, assuming a null probability of 50% for each transformation category (Fig. 4F). From low to high arousal, L5 ET neurons showed a strong preference for multiplicative gain modulation (P = 5.99 × 10−25), a pattern not observed in L2/3, L5 IT, or CT neurons (P = 0.08, P > 0.99, and P = 0.29, respectively). L5 ET neurons also showed a significant bias toward additive shifts at higher arousal (P = 4.31 × 10−22), a trend that was also present in L2/3 (P = 0.0045) and CT (P = 1.7 × 10−10) neurons but not in L5 IT neurons (P = 0.208). Together, these results suggest that while all excitatory subtypes exhibit arousal-linked changes in tuning selectivity, the magnitude and direction of these transformations differ subtly between populations. L5 ET neurons, in particular, tended to show increases in both gain and offset, consistent with reduced frequency selectivity and enhanced evoked responses at high arousal.\n\n\n### Pupil-linked arousal modulates correlated activity in all excitatory subtypes\nFluctuations in pupil size have been linked to changes in the functional organization of cortical networks, including shifts in interneuronal correlations that accompany different arousal states (11, 35, 36, 69). However, how neural activity covaries within defined excitatory subpopulations remains poorly understood. Prior studies have reported that pairwise neuronal correlations tend to decrease with increasing intersomatic distance, but it is unclear whether this spatial dependence generalizes across distinct excitatory subtypes (70–76). To address these questions, we analyzed pure tone responses, examining the relationship between pupil-linked arousal, intersomatic distance, and pairwise correlations. We focused on two widely used measures of correlated activity: noise correlations, which reflect shared trial-to-trial variability, and signal correlations, which capture the similarity of stimulus tuning across neuron pairs (Fig. 5, A and B) (70, 77–80).\n(A) Example noise (left) and signal (right) correlations from a pair of L5 ET neurons within the same FOV in (B). Each dot in the noise correlation plot represents the mean z-scored response on a single trial; each dot in the signal correlation plot represents the mean response to a single stimulus. NC, noise correlation; SC, signal correlation. (B) Full pairwise correlation matrices for noise (left) and signal (right) correlations in an example L5 ET FOV. Corr., correlation. (C) Pairwise noise correlations (colored dots) plotted as a function of intersomatic distance for one example L2/3 neuron (black dot) within a single FOV (left). Mean noise correlations binned by distance for each cell type (right). Pairwise cell counts: L2/3: n = 47, 285; L5 IT: n = 4, 720; L5 ET: n = 16, 015; CT: n = 8, 105. (D) Same as (C), but for signal correlations. Same example FOV in (C) is used (left). (E) Mean noise correlations across pupil states for an example CT FOV (left) and pooled across all populations (right). Same pairwise cell counts as in (C). (F) Same as in (E) but for signal correlations using an example L5 IT FOV (left). Shaded regions denote mean ± SEM.\nWe found that mean noise correlations decreased as a function of intersomatic distance across all excitatory subtypes, irrespective of pupil state (Fig. 5C, and fig. S4D). Although this distance-dependent decrease was consistent across groups, the overall magnitude of noise correlations differed significantly by subtype (Fig. 5C, two-way mixed-effects model; main effect for distance and cell type: P < 10−100 and P < 10−100, ωp2=0.011 and 0.028, respectively; distance x cell type interaction: P = 8.78 × 10−24, ωp2=0.002). Signal correlations also decreased with distance (Fig. 5D and fig. S4D) and varied significantly across subtypes (two-way mixed-effects model; main effect for distance and cell type: P = 1.75 × 10−93 and P < 10−100, ωp2=0.006 and 0.035, respectively; distance x cell type interaction: P = 1.16 × 10−6, ωp2=0.001).\nPrevious studies have shown that noise correlations in L2/3 neurons decrease with pupil dilation, reflecting reduced shared variability during heightened arousal (11, 35, 36, 69). In contrast, findings for signal correlations in L2/3 have been mixed, with reports of both increase and decrease across arousal states (11, 35). Here, we found that noise correlations were significantly modulated by both pupil state and excitatory subtype (Fig. 5E; two-way mixed-effects model; main effect for pupil and cell type: P < 10−100 and P < 10−100, ωp2=0.002 and 0.015, respectively; pupil x cell type interaction: P < 10−100, ωp2=0.0002; fig. S4E). Specifically, noise correlations decreased at higher arousal levels across all excitatory subtypes, not just in L2/3, suggesting that reduced shared variability is a general feature of arousal-related cortical dynamics. In contrast, signal correlations showed a more heterogeneous pattern across subtypes, being significantly influenced by both pupil state and excitatory identity (Fig. 5F; two-way mixed-effects model; main effect for pupil and cell type: P = 5.09 × 10−32 and P < 10−100, ωp2=0.0004, respectively; pupil x cell type interaction: P < 10−100, ωp2=0.003; fig. S4E). In L5 IT and ET neurons, signal correlations decreased with increasing arousal, whereas CT cells exhibited the opposite trend, with signal correlations increasing at higher pupil states. In L2/3, signal correlations were highly variable and showed no clear direction of change. These divergent effects suggest that arousal can either increase the independence of stimulus representations (as in L5 IT and ET cells) or enhance their overlap (as in CT cells), depending on the projection class.\nAlthough statistically robust, the observed effect sizes were small (ωp2<0.04), indicating that these arousal-related changes in correlated activity are subtle. Nonetheless, our results demonstrate that both internal state and excitatory cell identity shape pairwise activity structure, with arousal broadly reducing shared variability while differentially modulating representational similarity across subtypes.\n\n\n### Pupil-linked arousal differentially shapes stimulus decoding performance across excitatory subtypes\nWe have shown that pupil-linked state dynamics modulate stimulus representations at the single-cell level. This modulation may translate to differences in how accurately sound identity is encoded across arousal states. To test this, we trained an artificial neural network classifier to decode stimulus identity from population-level neural activity, irrespective of sound-responsiveness, across multiple pupil states and excitatory subtypes. We found that decoding accuracy varied significantly with both arousal and cell type (Fig. 6A; two-way mixed-effects model; main effect for pupil and cell type: P = 6.72 × 10−5 and P = 9.94 × 10−5, ωp2=0.219 and 0.184, respectively; pupil x cell type interaction: P = 0.0018, ωp2=0.071). In L2/3 and CT neurons, decoding accuracy followed an inverted-U profile across arousal states, whereas L5 IT neurons showed stable performance, and L5 ET neurons exhibited improved decoding at higher arousal. Normalizing decoding performance within each FOV to its peak further confirmed this cell-type–specific effect (Fig. 6B; two-way mixed-effects model; main effect for pupil and cell type: P = 8.13 × 10−10 and P = 0.028, ωp2=0.245 and 0.066, respectively; pupil x cell type interaction: P = 0.057, ωp2=0.035).\n(A) Mean stimulus decoding accuracy across pupil states for each excitatory cell type. Chance accuracy is 1/15. (B) Same as in (A), but decoding accuracy is normalized within each FOV to its maximum value to yield a proportion of peak classification performance (value of 1). (C) Schematic depicting the computation of principal components analysis (PCA)–derived population reliability, defined as the proportion of trial-averaged variance explained relative to total trial-to-trial variability. Stim., stimuli; Var., variance. (D) Scatter plot showing the relationship between mean stimulus decoding accuracy and PCA-derived population reliability for each FOV across pupil states and imaging days. (E) Mean PCA-derived population reliability across pupil states. Shaded regions denote mean ± SEM.\nWe next examined whether network-level features influence decoding performance, focusing first on noise correlations, which can limit the amount of independent information encoded by a population (79, 81–83). However, the functional consequences of such correlations is debated, with some studies reporting little impact on population coding fidelity (84). To directly test their contribution, we shuffled trials within each stimulus class for each neuron/frequency pair, thereby disrupting noise correlations while preserving mean responses. Eliminating shared variability had no measurable effect on decoding accuracy in any excitatory subtype (fig. S3, A and B; mixed-effects model, main effect of shuffling, P > 0.99 in both figures).\nWe next evaluated whether decoding accuracy is shaped by population reliability, the consistency of neural responses across repeated stimulus presentations, which is thought to enhance sensory decoding by stabilizing population codes that improve pattern separation (44). To assess this, we quantified population-level reliability across FOVs, pupil states, and recording sessions and compared these values to decoding performance within each excitatory cell type. Reliability was estimated using principal components analysis (PCA): For each principal component, we computed the ratio of the variance of the mean stimulus–evoked response to the total trial-to-trial variance and then averaged across components to yield a single reliability score (Fig. 6C). This measure reflects the stability of evoked population activity patterns, with higher values reflecting greater reliability. Across all excitatory subtypes, we observed strong positive correlations between decoding accuracy and population-level reliability [Fig. 6D; L2/3, correlation coefficient (r) = 0.93, P = 6.29 × 10−42; L5 IT, r = 0.96, P = 1.07 × 10−57; L5 ET, r = 0.96, P = 7.22 × 10−96; CT, r = 0.97, P = 7.67 × 10−74].\nTo complement our PCA-based measure, we also assessed single-neuron reliability, calculated independently for each sound-responsive neuron across all pupil states (44). This analysis revealed significant differences in reliability across excitatory subtypes, independent of pupil state, with L5 ET neurons exhibiting the highest and L5 IT neurons the lowest reliability (fig. S3C; Kruskal-Wallis test, P = 2.7 × 10−9, η2 = 0.012). PCA-derived and single-neuron estimates of population reliability were highly correlated within each cell type (fig. S3D; L2/3, r = 0.89, P = 1.7 × 10−33; L5 IT, r = 0.99, P = 7.89 × 10−83; L5 ET, r = 0.97, P = 2.72 × 10−98; CT, r = 0.95, P = 2.01 × 10−62). Moreover, similar to PCA-derived reliability, single-neuron reliability was strongly predictive of decoding accuracy across all excitatory populations (fig. S3E; L2/3, r = 0.89, P = 4.53 × 10−34; L5 IT, r = 0.94, P = 1 × 10−51; L5 ET, r = 0.96, P = 8.97 × 10−93; CT, r = 0.96, P = 2.24 × 10−70).\nArousal-dependent changes in decoding performance likely reflect shifts in neural network dynamics. Given the tight coupling between reliability and decoding accuracy, we next asked whether reliability itself is modulated by arousal and could serve as a mechanistic link between internal state and sensory encoding. To test this, we computed mean reliability within each pupil-state bin and found that PCA-derived population-level reliability varied significantly with arousal in a cell-type–specific manner (Fig. 6E; two-way mixed-effects model; main effect for pupil and cell type: P = 0.0002 and P = 0.0004, ωp2=0.193 and 0.158, respectively; pupil x cell type interaction: P = 0.0004, ωp2=0.084). Single-neuron reliability showed the same pattern (fig. S3F; two-way mixed-effects model; main effect for pupil and cell type: P = 5.17 × 10−5 and P = 2.69 × 10−8, ωp2=0.251 and 0.325, respectively; pupil x cell type interaction: P = 0.0012, ωp2=0.075). Across both metrics, reliability tracked decoding performance across pupil states: L2/3 and CT neurons showed inverted-U profiles, L5 IT neurons remained largely unchanged, and L5 ET exhibited a monotonic increase in reliability with arousal (Fig. 6, A and E, and fig. S3F). These results demonstrate that the fidelity of sound representations is shaped by both cell type and internal state. Critically, the stability of the population code emerges as a key constraint on how effectively sensory stimuli are decoded from cortical activity.\n\n\n### DISCUSSION\nWe used pupil diameter as a proxy for arousal to investigate how internal state shapes sensory processing in the neocortex. Through simultaneous two-photon calcium imaging and pupillometry in awake mice, we systematically characterized arousal-dependent changes in response magnitude, frequency tuning, interneuronal correlations, and stimulus decoding across major excitatory subpopulations in the ACtx: IT, ET, and CT neurons. By using a cell-type–specific approach, our study provides a framework for understanding how pupil-linked arousal alters sensory processing across distinct excitatory subtypes. First, we identified a rich diversity of arousal-dependent response motifs, including both linear and nonlinear patterns, which were distributed across subtypes and masked in population-averaged analyses (Fig. 3). Second, frequency tuning selectivity showed substantial within-subtype variability, with L5 ET neurons displaying a modest bias toward multiplicative and additive transformations compared to other groups (Fig. 4). Third, trial-to-trial variability (noise correlations) decreased with increasing arousal across all groups, but representational similarity (signal correlations) showed divergent, cell-type–specific trends: decreasing in L5 IT and ET neurons, increasing in CT neurons, and highly variable in L2/3 (Fig. 5). Lastly, decoding accuracy varied systematically with arousal in a cell-type–specific manner, driven, in part, by differences in population-level response reliability (Fig. 6). Together, these findings show that the effects of pupil-linked arousal on sensory coding are highly heterogeneous, both within and across excitatory subpopulations, underscoring the importance of cell-type–specific resolution when interpreting state-dependent cortical dynamics.\nGlobal arousal states are regulated by a network of subcortical neuromodulatory systems that broadly influence brain and behavior. Many of these neuromodulatory systems, including the locus coeruleus (norepinephrine: LC-NE), basal forebrain (acetylcholine: BF-ACh), and dorsal raphe (serotonin: DR–5-HT), correlate with fluctuations in pupil diameter and innervate all layers of sensory cortex, where they release neuromodulators that alter cortical dynamics (12, 20–26, 28–33). These neuromodulators modulate spontaneous cortical activity and evoked responses by dynamically shifting cortical excitability. Moment-to-moment fluctuations in neuromodulatory tone, indexed by pupil size, can therefore alter how sensory inputs are processed. This modulation has been shown to affect receptive field properties and tuning selectivity, as demonstrated in visual and auditory cortices following cholinergic agonist application or basal forebrain stimulation (32, 85–89). Similar effects have been observed for LC-NE and DR–5-HT systems (90–96).\nSeveral mechanisms may underlie the cell-type–specific effects observed in our study. First, neuromodulatory afferents from the BF, LC, and DR exhibit laminar specificity, with axon terminal density varying across cortical layers (57, 61–64). Second, receptor expression for ACh, NE, and 5-HT varies across cortical layer and by excitatory cell type (57–60). Third, electrophysiological studies have shown that excitatory subtypes respond differently to the same neuromodulators. In L6, for example, CT and ET neurons exhibit ACh-mediated depolarization, whereas L6a and L6b IT neurons show either hyperpolarization or depolarization depending on the subtype (97). In L5, serotonin excites IT neurons but inhibits ET neurons via distinct 5-HT receptor types (98–100). Moreover, both NE and ACh (via α2-adrenergic and muscarinic receptors, respectively) preferentially increase the excitability and persistent firing of L5 ET neurons compared to L5 IT neurons (27, 65, 66). This in vitro evidence is consistent with our in vivo finding that, across pupil-linked arousal states, L5 ET neurons increase their neuronal gain relative to L5 IT neurons—a pattern that aligns with the known coupling between pupil size and BF-ACh and LC-NE terminal activity in sensory cortex (12). Optogenetic activation of cholinergic terminals in VCtx, mimicking heightened arousal, preferentially induces multiplicative and additive gain effects in L5 compared to L2/3 cells (89). Assuming similar ET/IT responsiveness across auditory and visual cortices would suggest that this effect is more prominent in L5 ET neurons.\nArousal-dependent reductions in correlated activity may also be mediated by neuromodulators. In VCtx, basal forebrain stimulation alters firing rates across layers but consistently reduces correlated variability across neurons (101). This observation aligns with our finding that noise correlations decreased with increasing arousal across all excitatory subpopulations, a single-cell and cell-type–specific extension to corollary electroencephalography and local field potential studies showing cortical desynchronization under heightened arousal (Fig. 5) (4, 102).\nNo single neuromodulator alone can account for the full range of cell-type–specific effects we observed. Arousal-associated changes in brain state likely reflect a multiplexed neuromodulatory mélange that alters cortical dynamics acting through both synaptic and volume transmission mechanisms. Many subcortical neuromodulatory neurons corelease glutamate or γ-aminobutyric acid (GABA) alongside their primary transmitter (103–106), and LC terminals can corelease norepinephrine and dopamine, which exert distinct effects on excitatory subtypes (97, 106–108). Astrocytes are also sensitive to neuromodulators and may further influence state-dependent sensory processing (109). The substantial within–cell-type variability in pupil-linked modulation, such as the diverse tuning motifs observed among L5 ET neurons, likely reflects heterogeneity in presynaptic inputs, receptor localization, and intracellular signaling cascades. This cellular diversity likely contributes to the relatively small effect sizes seen in our single-cell analyses despite consistent and statistically significant differences across subtypes. These findings underscore the importance of considering not only cell type but also local circuit context and connectivity when interpreting how internal state shapes cortical function.\nWhile arousal promotes alertness and facilitates stimulus detection, heightened arousal can lead to impulsivity and impair performance on demanding tasks (9, 20, 110, 111). Conversely, low arousal is associated with disengagement and diminished behavioral responsiveness. The Yerkes-Dodson law, as formalized by Hebb, posits an inverted-U relationship between arousal and behavioral performance, whereby moderate arousal levels yield optimal outcomes, while both hypo- and hyperarousal degrade performance (112, 113). This curvilinear relationship has been widely supported across species, sensory modalities, and behavioral paradigms (9, 38, 102, 110, 114–121).\nWe observed both linear and nonlinear relationships between arousal and evoked response magnitude. Linear effects, such as monotonic increases with pupil size, were slightly more prevalent, consistent with the literature on pupil-linked neural activity in inactive, untrained animals (11, 35–39). Nonlinear patterns, including inverted-U relationships, were also evident and align with the Yerkes-Dodson framework and electrophysiological reports of state-dependent tuning (9, 36, 38, 122). Similar mixtures of monotonic and nonmonotonic effects have been documented previously. For example, human magnetoencephalography studies reveal pupil-linked spectral changes that include monotonic decreases in low-frequency (2 to 4 Hz) and increases in high-frequency (64 to 128 Hz) power, along with inverted-U patterns in the 8- to 16-Hz range (38). In ferret ACtx, arousal-related gain motifs include increasing, decreasing, and both positive and negative quadratic profiles (36). Our findings corroborate this diversity, showing that all excitatory subtypes in mouse ACtx expressed a broad repertoire of arousal modulation motifs (Fig. 3). While motif distributions differed between subtypes, these differences were modest. L5 ET and IT populations differed by ~10% in the relative proportion of increasing versus inverted-U tuning motifs. L5 ET neurons exhibited the highest proportion of increasing-modulation neurons and the lowest proportion of inverted-U neurons, whereas the opposite pattern was observed in L5 IT and CT populations. Although statistically significant, these differences were subtle, suggesting that excitatory subtypes share broadly similar repertoires of pupil-linked modulation, highlighting the flexible influence of internal state on cortical processing.\nThe mechanistic origin of state-dependent nonlinear shifts in cortical activity remains uncertain. One possibility is that they are inherited from subcortical sources. Prior work has shown that multiunit responses in the auditory thalamus exhibit peak responsiveness at intermediate arousal levels, suggesting a feedforward source of nonlinear modulation (9). Given the canonical thalamocortical circuit, such modulation could be relayed to layer 4 (the principal cortical recipient of thalamic input), then to L2/3, and ultimately to L5 (123, 124). CT neurons, in particular, are well positioned to receive such modulation, as their apical dendrites frequently arborize within L4 (54). At the same time, CT neurons may shape thalamic activity through their CT projections, potentially supporting a recurrent loop wherein cortical and thalamic dynamics coregulate state-dependent activity patterns. From a neuromodulatory standpoint, elevated arousal activates the LC-NE system, engaging adrenergic receptor subtypes with distinct affinities and circuit-level effects within cortex (10, 20, 21, 125). Low levels of NE, coinciding with low arousal, preferentially activate α2-adrenergic receptors, which enhance excitatory transmission (125–128). Increasing levels of NE activate β-adrenergic receptors and can further increase excitability (129–131). However, large concentrations of NE at high arousal activate α1-adrenergic receptors, which are linked to suppressive and destabilizing effects on cortical activity (125, 130–132). The sequential recruitment of these receptor systems could impose nonmonotonic, state-dependent shifts in gain control.\nAlternatively, intracortical mechanisms may contribute to nonlinear gain modulation. One proposed model implicates the interaction between VIP- and SOM-expressing inhibitory interneurons (120). As arousal increases, VIP neurons suppress SOM neurons, disinhibiting excitatory cells and increasing gain. At high arousal, VIP activity plateaus, allowing SOM-mediated inhibition to reduce excitatory drive, resulting in an inverted-U shaped pattern. This model is supported by observations that VIP and SOM cells tend to exhibit opposing pupil-linked activity patterns, with VIP activity strongly tracking pupil size, while correlations between pupil size and SOM activity are more heterogeneous (11, 45). Future experiments are needed to directly test these candidate mechanisms. Specifically, dissecting the relative contributions of feedforward thalamic input and intracortical inhibitory circuitry may help clarify how nonlinear, state-dependent modulation arises within specific excitatory subtypes.\nOur results demonstrate that sound encoding and decoding vary with pupil-linked arousal in a cell-type–specific manner. While decoding performance in L5 IT neurons remained largely stable across arousal states, L2/3 and CT populations exhibited an inverted-U relationship, and L5 ET neurons showed enhanced decoding accuracy at higher arousal levels. The inverted-U trend in L2/3 aligns with recent findings, suggesting that intermediate arousal states facilitate stimulus decoding (43). In contrast, the stable decoding performance of L5 IT neurons may reflect a role in signal detection that is relatively invariant to changes in brain state. Although L5 IT neurons had the lowest overall decoding performance and weakest average sound responsiveness, their activity nonetheless conveyed identity-relevant information, indicating latent population-level structure. By comparison, the progressive improvement in decoding accuracy in L5 ET neurons with increasing arousal supports the idea that heightened brain states enhance sensory representations to facilitate environmental awareness.\nReliable population codes, characterized by low trial-to-trial variability, are thought to support more accurate decoding of sensory stimuli (44, 101). Consistent with this, we found strong positive correlations between decoding performance and population-level reliability across all cell types (Fig. 6). Moreover, the pupil-dependent reliability profiles closely mirrored the corresponding decoding trends: inverted-U shaped for L2/3 and CT, flat for L5 IT, and monotonically increasing for L5 ET neurons. These findings suggest that shifts in neural response reliability across arousal states exert a potent influence in modulating the fidelity of sensory representations across cortical excitatory subtypes.\nArousal state is closely linked to locomotion, which dilates the pupil and can suppress ACtx activity via recruitment of local inhibitory circuits (9, 11, 40, 69, 133). Although we did not explicitly control for movement, mice were head fixed on a stationary platform and extensively habituated before imaging, which minimized spontaneous movement during recordings. As a result, our design likely biases animals toward lower arousal states (i.e., the maximum pupil diameters observed in our data may not reflect the true maxima achievable during active behavioral states or locomotion).\nHeightened arousal produced heterogeneous changes in frequency tuning selectivity across excitatory subtypes (Fig. 4). However, this analysis is limited in its ability to capture nonlinear shifts in tuning. For example, some neurons may exhibit inverted-U dependencies, such as broader tuning at intermediate arousal levels. Future work could better resolve such nonlinear effects by reducing the number of stimulus conditions to allow for denser sampling of pupil states per stimulus within individual neurons.\nThe pupil-dependent effects observed within a given cell type may reflect not only direct neuromodulatory influences but also indirect consequences of intracortical circuit dynamics. For example, activation of CT neurons in both visual and auditory cortices can alter activity across the cortical laminae (51, 52, 54). These interactions imply that the neuromodulator-driven activation of one subpopulation, such as CT cells, could propagate effects to other subtypes through local connectivity. Disentangling these global versus local contributions will require future experiments that combine cell-type–specific manipulation of neuromodulatory inputs with simultaneous recordings across multiple cortical layers.\nLastly, the generalizability of our findings across cortical areas and behavioral contexts remains to be established. Prior studies have shown that the effects of pupil-linked arousal vary by brain region and are sensitive to behavioral engagement, task demands, and stimulus complexity (6, 114, 121, 134–137). Our study was limited to passive listening with pure tones, and future work should test whether similar patterns of state-dependent modulation are observed under more ethologically relevant conditions, including naturalistic sounds and active task engagement.\nArousal systems play a critical role in adaptive behavior by modulating sensory processing in accordance with internal state. In ACtx, distinct excitatory subpopulations exhibited subtle but consistent differences in arousal-dependent modulation, influencing response magnitude, tuning selectivity, correlated activity, and stimulus encoding. The heterogeneity observed both across and within subtypes supports the brain’s capacity to flexibly encode sensory information across a range of arousal levels.\n\n\n### Effects of neuromodulation in the neocortex\nGlobal arousal states are regulated by a network of subcortical neuromodulatory systems that broadly influence brain and behavior. Many of these neuromodulatory systems, including the locus coeruleus (norepinephrine: LC-NE), basal forebrain (acetylcholine: BF-ACh), and dorsal raphe (serotonin: DR–5-HT), correlate with fluctuations in pupil diameter and innervate all layers of sensory cortex, where they release neuromodulators that alter cortical dynamics (12, 20–26, 28–33). These neuromodulators modulate spontaneous cortical activity and evoked responses by dynamically shifting cortical excitability. Moment-to-moment fluctuations in neuromodulatory tone, indexed by pupil size, can therefore alter how sensory inputs are processed. This modulation has been shown to affect receptive field properties and tuning selectivity, as demonstrated in visual and auditory cortices following cholinergic agonist application or basal forebrain stimulation (32, 85–89). Similar effects have been observed for LC-NE and DR–5-HT systems (90–96).\nSeveral mechanisms may underlie the cell-type–specific effects observed in our study. First, neuromodulatory afferents from the BF, LC, and DR exhibit laminar specificity, with axon terminal density varying across cortical layers (57, 61–64). Second, receptor expression for ACh, NE, and 5-HT varies across cortical layer and by excitatory cell type (57–60). Third, electrophysiological studies have shown that excitatory subtypes respond differently to the same neuromodulators. In L6, for example, CT and ET neurons exhibit ACh-mediated depolarization, whereas L6a and L6b IT neurons show either hyperpolarization or depolarization depending on the subtype (97). In L5, serotonin excites IT neurons but inhibits ET neurons via distinct 5-HT receptor types (98–100). Moreover, both NE and ACh (via α2-adrenergic and muscarinic receptors, respectively) preferentially increase the excitability and persistent firing of L5 ET neurons compared to L5 IT neurons (27, 65, 66). This in vitro evidence is consistent with our in vivo finding that, across pupil-linked arousal states, L5 ET neurons increase their neuronal gain relative to L5 IT neurons—a pattern that aligns with the known coupling between pupil size and BF-ACh and LC-NE terminal activity in sensory cortex (12). Optogenetic activation of cholinergic terminals in VCtx, mimicking heightened arousal, preferentially induces multiplicative and additive gain effects in L5 compared to L2/3 cells (89). Assuming similar ET/IT responsiveness across auditory and visual cortices would suggest that this effect is more prominent in L5 ET neurons.\nArousal-dependent reductions in correlated activity may also be mediated by neuromodulators. In VCtx, basal forebrain stimulation alters firing rates across layers but consistently reduces correlated variability across neurons (101). This observation aligns with our finding that noise correlations decreased with increasing arousal across all excitatory subpopulations, a single-cell and cell-type–specific extension to corollary electroencephalography and local field potential studies showing cortical desynchronization under heightened arousal (Fig. 5) (4, 102).\nNo single neuromodulator alone can account for the full range of cell-type–specific effects we observed. Arousal-associated changes in brain state likely reflect a multiplexed neuromodulatory mélange that alters cortical dynamics acting through both synaptic and volume transmission mechanisms. Many subcortical neuromodulatory neurons corelease glutamate or γ-aminobutyric acid (GABA) alongside their primary transmitter (103–106), and LC terminals can corelease norepinephrine and dopamine, which exert distinct effects on excitatory subtypes (97, 106–108). Astrocytes are also sensitive to neuromodulators and may further influence state-dependent sensory processing (109). The substantial within–cell-type variability in pupil-linked modulation, such as the diverse tuning motifs observed among L5 ET neurons, likely reflects heterogeneity in presynaptic inputs, receptor localization, and intracellular signaling cascades. This cellular diversity likely contributes to the relatively small effect sizes seen in our single-cell analyses despite consistent and statistically significant differences across subtypes. These findings underscore the importance of considering not only cell type but also local circuit context and connectivity when interpreting how internal state shapes cortical function.\n\n\n### Sources and significance of nonlinear gain modulation\nWhile arousal promotes alertness and facilitates stimulus detection, heightened arousal can lead to impulsivity and impair performance on demanding tasks (9, 20, 110, 111). Conversely, low arousal is associated with disengagement and diminished behavioral responsiveness. The Yerkes-Dodson law, as formalized by Hebb, posits an inverted-U relationship between arousal and behavioral performance, whereby moderate arousal levels yield optimal outcomes, while both hypo- and hyperarousal degrade performance (112, 113). This curvilinear relationship has been widely supported across species, sensory modalities, and behavioral paradigms (9, 38, 102, 110, 114–121).\nWe observed both linear and nonlinear relationships between arousal and evoked response magnitude. Linear effects, such as monotonic increases with pupil size, were slightly more prevalent, consistent with the literature on pupil-linked neural activity in inactive, untrained animals (11, 35–39). Nonlinear patterns, including inverted-U relationships, were also evident and align with the Yerkes-Dodson framework and electrophysiological reports of state-dependent tuning (9, 36, 38, 122). Similar mixtures of monotonic and nonmonotonic effects have been documented previously. For example, human magnetoencephalography studies reveal pupil-linked spectral changes that include monotonic decreases in low-frequency (2 to 4 Hz) and increases in high-frequency (64 to 128 Hz) power, along with inverted-U patterns in the 8- to 16-Hz range (38). In ferret ACtx, arousal-related gain motifs include increasing, decreasing, and both positive and negative quadratic profiles (36). Our findings corroborate this diversity, showing that all excitatory subtypes in mouse ACtx expressed a broad repertoire of arousal modulation motifs (Fig. 3). While motif distributions differed between subtypes, these differences were modest. L5 ET and IT populations differed by ~10% in the relative proportion of increasing versus inverted-U tuning motifs. L5 ET neurons exhibited the highest proportion of increasing-modulation neurons and the lowest proportion of inverted-U neurons, whereas the opposite pattern was observed in L5 IT and CT populations. Although statistically significant, these differences were subtle, suggesting that excitatory subtypes share broadly similar repertoires of pupil-linked modulation, highlighting the flexible influence of internal state on cortical processing.\nThe mechanistic origin of state-dependent nonlinear shifts in cortical activity remains uncertain. One possibility is that they are inherited from subcortical sources. Prior work has shown that multiunit responses in the auditory thalamus exhibit peak responsiveness at intermediate arousal levels, suggesting a feedforward source of nonlinear modulation (9). Given the canonical thalamocortical circuit, such modulation could be relayed to layer 4 (the principal cortical recipient of thalamic input), then to L2/3, and ultimately to L5 (123, 124). CT neurons, in particular, are well positioned to receive such modulation, as their apical dendrites frequently arborize within L4 (54). At the same time, CT neurons may shape thalamic activity through their CT projections, potentially supporting a recurrent loop wherein cortical and thalamic dynamics coregulate state-dependent activity patterns. From a neuromodulatory standpoint, elevated arousal activates the LC-NE system, engaging adrenergic receptor subtypes with distinct affinities and circuit-level effects within cortex (10, 20, 21, 125). Low levels of NE, coinciding with low arousal, preferentially activate α2-adrenergic receptors, which enhance excitatory transmission (125–128). Increasing levels of NE activate β-adrenergic receptors and can further increase excitability (129–131). However, large concentrations of NE at high arousal activate α1-adrenergic receptors, which are linked to suppressive and destabilizing effects on cortical activity (125, 130–132). The sequential recruitment of these receptor systems could impose nonmonotonic, state-dependent shifts in gain control.\nAlternatively, intracortical mechanisms may contribute to nonlinear gain modulation. One proposed model implicates the interaction between VIP- and SOM-expressing inhibitory interneurons (120). As arousal increases, VIP neurons suppress SOM neurons, disinhibiting excitatory cells and increasing gain. At high arousal, VIP activity plateaus, allowing SOM-mediated inhibition to reduce excitatory drive, resulting in an inverted-U shaped pattern. This model is supported by observations that VIP and SOM cells tend to exhibit opposing pupil-linked activity patterns, with VIP activity strongly tracking pupil size, while correlations between pupil size and SOM activity are more heterogeneous (11, 45). Future experiments are needed to directly test these candidate mechanisms. Specifically, dissecting the relative contributions of feedforward thalamic input and intracortical inhibitory circuitry may help clarify how nonlinear, state-dependent modulation arises within specific excitatory subtypes.\n\n\n### Influences on neural discriminability\nOur results demonstrate that sound encoding and decoding vary with pupil-linked arousal in a cell-type–specific manner. While decoding performance in L5 IT neurons remained largely stable across arousal states, L2/3 and CT populations exhibited an inverted-U relationship, and L5 ET neurons showed enhanced decoding accuracy at higher arousal levels. The inverted-U trend in L2/3 aligns with recent findings, suggesting that intermediate arousal states facilitate stimulus decoding (43). In contrast, the stable decoding performance of L5 IT neurons may reflect a role in signal detection that is relatively invariant to changes in brain state. Although L5 IT neurons had the lowest overall decoding performance and weakest average sound responsiveness, their activity nonetheless conveyed identity-relevant information, indicating latent population-level structure. By comparison, the progressive improvement in decoding accuracy in L5 ET neurons with increasing arousal supports the idea that heightened brain states enhance sensory representations to facilitate environmental awareness.\nReliable population codes, characterized by low trial-to-trial variability, are thought to support more accurate decoding of sensory stimuli (44, 101). Consistent with this, we found strong positive correlations between decoding performance and population-level reliability across all cell types (Fig. 6). Moreover, the pupil-dependent reliability profiles closely mirrored the corresponding decoding trends: inverted-U shaped for L2/3 and CT, flat for L5 IT, and monotonically increasing for L5 ET neurons. These findings suggest that shifts in neural response reliability across arousal states exert a potent influence in modulating the fidelity of sensory representations across cortical excitatory subtypes.\n\n\n### Limitations and considerations\nArousal state is closely linked to locomotion, which dilates the pupil and can suppress ACtx activity via recruitment of local inhibitory circuits (9, 11, 40, 69, 133). Although we did not explicitly control for movement, mice were head fixed on a stationary platform and extensively habituated before imaging, which minimized spontaneous movement during recordings. As a result, our design likely biases animals toward lower arousal states (i.e., the maximum pupil diameters observed in our data may not reflect the true maxima achievable during active behavioral states or locomotion).\nHeightened arousal produced heterogeneous changes in frequency tuning selectivity across excitatory subtypes (Fig. 4). However, this analysis is limited in its ability to capture nonlinear shifts in tuning. For example, some neurons may exhibit inverted-U dependencies, such as broader tuning at intermediate arousal levels. Future work could better resolve such nonlinear effects by reducing the number of stimulus conditions to allow for denser sampling of pupil states per stimulus within individual neurons.\nThe pupil-dependent effects observed within a given cell type may reflect not only direct neuromodulatory influences but also indirect consequences of intracortical circuit dynamics. For example, activation of CT neurons in both visual and auditory cortices can alter activity across the cortical laminae (51, 52, 54). These interactions imply that the neuromodulator-driven activation of one subpopulation, such as CT cells, could propagate effects to other subtypes through local connectivity. Disentangling these global versus local contributions will require future experiments that combine cell-type–specific manipulation of neuromodulatory inputs with simultaneous recordings across multiple cortical layers.\nLastly, the generalizability of our findings across cortical areas and behavioral contexts remains to be established. Prior studies have shown that the effects of pupil-linked arousal vary by brain region and are sensitive to behavioral engagement, task demands, and stimulus complexity (6, 114, 121, 134–137). Our study was limited to passive listening with pure tones, and future work should test whether similar patterns of state-dependent modulation are observed under more ethologically relevant conditions, including naturalistic sounds and active task engagement.\nArousal systems play a critical role in adaptive behavior by modulating sensory processing in accordance with internal state. In ACtx, distinct excitatory subpopulations exhibited subtle but consistent differences in arousal-dependent modulation, influencing response magnitude, tuning selectivity, correlated activity, and stimulus encoding. The heterogeneity observed both across and within subtypes supports the brain’s capacity to flexibly encode sensory information across a range of arousal levels.\n\n\n### MATERIALS AND METHODS\nAll procedures were approved by the University of Pittsburgh Animal Care and Use Committee (protocol #: 19065155) and followed the guidelines established by the National Institute of Health for the care and use of laboratory animals. We expressed GCaMP8s in adult mice of both sexes for all two-photon calcium imaging experiments. The mouse strains used were C57BL/6 (#000664, the Jackson Laboratory; L2/3, N = 6; L5 ET, N = 10), Tlx3_PL56-Cre [B6.FVB(Cg)-Tg(Tlx3-Cre)PL56Gsat/Mmucd, MMRRC; N = 7], and Ntsr1-Cre [B6.FVB(Cg)-Tg(Ntsr1-Cre)-GN220Gsat/Mmucd, MMRRC; N = 9]. All mice were light reversed (12 -hour dark/light cycle) with ad libitum access to food and water throughout experiments. All imaging was conducted during the dark cycle.\nAll surgical procedures were conducted in anesthetized mice under aseptic conditions in a stereotaxic frame (Kopf model 1900). Mice were anesthetized with 5% isoflurane in oxygen and maintained at 1 to 2% throughout surgery. Lidocaine hydrochloride (local anesthetic) was injected subcutaneously before any incision of the skin. Ophthalmic ointment was applied over the eyes to prevent dryness. After surgery, mice received a subcutaneous injection of an analgesic (carprofen; 5 mg/kg), and a carprofen-infused MediGel (ClearH2O) was provided in their home cages for 3 days postoperation. All mice underwent a virus delivery and a cranial window implantation surgery.\nAll virus injections were conducted on 7- to 10-week-old mice. Injections for L2/3, L5 IT, and CT cohorts were delivered into the right ACtx at a depth of ~500 μm under the dura. A single incision was made over the right temporal ridge. Virus injections were made using pulled-glass pipettes and a programmable injector (Nanoject 3, Drummond Scientific) to deliver virus through two ~200-μm burr holes (250 nl per hole, 500 nl in total). Neurons in L2/3 were targeted by injecting AAV1-syn-jGCaMP8s-WPRE [Addgene, #162374; titer: 2 × 1012 vector genomes (vg)/ml] into C57BL/6 mice. L5 IT and CT neurons were targeted by injecting AAV1-syn-FLEX-jGCaMP8s-WPRE (Addgene, #162377; titer: 6 to 7 × 1012 vg/ml) into Tlx3_PL56-Cre and Ntsr1-Cre mice, respectively. L5 ET neurons were targeted by injecting retrograde AAV1-syn-jGCaMP8s-WPRE (Addgene, #162374-AAVrg; titer: 7 to 8 × 1012 vg/ml) into the right IC of C57BL/6 mice. A single incision was made along the midline, above the sagittal suture to gain access to bregma and lambda. Delivery of the virus through one burr hole at two depths (300 nl per depth, 600 nl in total) was made into the IC using stereotaxic coordinates (AP, −5 mm; ML, 0.9 mm; DV, 0.8 and 0.3 mm). Viruses were diluted with phosphate-buffered saline (PBS) to acquire the desired titer, and the rate of injection was 10 nl every 45 to 60 s. The glass pipette remained in the brain for an additional 10 min at each site following virus delivery for all injections. Incision sites were sutured, and antibiotic ointment was applied.\nTwo weeks following virus injection, mice were anesthetized for chronic imaging window implantation surgery. An intraperitoneal injection of dexamethasone sodium phosphate (2 mg/kg) was administered to reduce inflammation and brain swelling. Skin at the top of the head was removed and an etchant (C&B Metabond) was applied to the dorsal surface of the skull to facilitate head plate adhesion. A customized titanium head plate (eMachineShop) was then affixed to the skull using dental cement (C&B Metabond). A cranial window, comprising three thin glass coverslips (3-3-4–mm stack), was then inserted in a 3-mm diameter craniotomy over the right ACtx and secured to the skull using dental cement.\nMice were deeply anesthetized with 5% isoflurane and transcardially perfused with and fixed in 4% paraformaldehyde in 0.01 M PBS solution. Postfixed brains were transferred to 30% sucrose the following day. Coronal sections (50 μm) of the ACtx were made using a cryostat (CM1950, Leica) and stored in PBS. Slices were mounted onto glass slides and stained with 4′,6-diamidino-2-phenylindole (DAPI) before coverslipping (VECTASHIELD, Vector Laboratories). Fluorescence imaging was performed using an epifluorescence microscope (THUNDER Imager Tissue, Leica) at 10× magnification. Channels for green fluorescent protein (GCaMP8s) and DAPI were merged, color balanced, and exported using Fiji (ImageJ).\nLight-reversed mice were awake and head fixed for all recording sessions. Before imaging, mice were habituated to head fixation and the recording chamber for several days. Neural activity in response to four pure tones (4, 8, 16, and 32 kHz) was captured by widefield fluorescence imaging (Bergamo, Thorlabs) and used to functionally confirm the location of the right primary ACtx. Two-photon calcium imaging was conducted using an InSight X3 (Spectra-Physics) Laser tuned to 940 nm and a water-immersion objective (Nikon 16x). This objective was fixed with a custom cylindrical blackout curtain to shield the photomultiplier tubes (PMTs) from potential interference from ultraviolet (UV) light (see the section “Videography”). All two-photon imaging (Bergamo, Thorlabs) was of the right ACtx. Mice were head fixed upright with the microscope rotated to be parallel to the cranial window (~40° to 50° tilt). Images were collected at 30 Hz. The depth below pial surface used for recordings depended on neuron subtype (L2/3: 150 to 250 μm, L5 IT: 350 to 500 μm, L5 ET: 450 to 600 μm, and CT: 600 to 700 μm). Separate FOVs from the same mouse were at least 50 μm above or below the original imaging plane. All two-photon calcium imaging was conducted within a dark, sound-attenuating chamber so that video capture of pupil diameter was luminance independent. Sound presentations consisted of 15 pure tone stimuli ranging from 4 to ~45.3 kHz at 0.25 octave spacing. Stimuli were generated with a 24-bit digital-to-analog converter (model PXI-4461, National Instruments) using custom scripts written in MATLAB (MathWorks) and LabVIEW (National Instruments). Acoustic stimuli were delivered via a free-field speaker (PUI Audio) facing the left ear and calibrated using a free-field prepolarized microphone (377C01, PCB Piezotronics). Pure tone stimuli were presented in a pseudorandom sequence. Trials were 2 s in duration with stimulus onset occurring at 500 ms. Mice were imaged within the same time window of their light cycle to minimize circadian variability.\nHigh-speed videography of the mouse’s face (left side) was recorded at 30 Hz concurrently with two-photon imaging in all sessions (Genie Nano M2020, Teledyne; TEC-55, Computar). An infrared light-emitting diode provided consistent facial illumination. To prevent pupil dilation from saturating the entire eye, a small amount of UV light was used to restrict the maximum range of dilation, enabling consistent measurement of maximum pupil diameter across mice. UV light intensity was titrated during initial habituation while mice were in a naturally agitated state. The final UV intensity was held constant across imaging sessions and served as the only visible light source within the recording booth. Light intensity at the eye was measured using a photodiode power sensor (S121C, Thorlabs), yielding a total power of 0.25 ± 0.1 μW. Assuming uniform illumination across the active area of the sensor, this corresponds to an average irradiance of ~0.35 μW/cm2 at the measurement location.\nPostrecording analysis began with Suite2p (67), an open-source image processing pipeline. It was used to register raw calcium movies, detect spatial regions of interest (ROIs), distinguish between neuronal and nonneuronal ROIs, extract calcium fluorescence signals from each ROI, and process spike deconvolution. All ROIs were then manually confirmed so that only soma activity was analyzed. To maximize the number of pupil states per FOV, a large subset of neurons was matched longitudinally across days using the open-source algorithm ROICaT (https://github.com/RichieHakim/ROICaT). Neural responses were z-scored relative to average activity during a spontaneous window in the 500 ms preceding stimulus onset.\nPupil diameter was extracted from face videography recordings using DeepLabCut, an open-source deep learning–based pose estimation toolbox (138). We trained a model on manually labeled frames to track eight user-defined points equally distributed around the pupil perimeter. For each frame, an ellipse was fit to the pupil labels using a least-squares method, and pupil size was defined as the length of the ellipse’s major axis. Marker estimates with a confidence score below 95% were excluded from the fit, and frames with fewer than six valid points were assigned a NaN. This thresholding approach reliably excluded eye blinks, which were confirmed to occur with low marker confidence. Biologically implausible values and sharp frame-to-frame fluctuations were removed, and the remaining trace was smoothed using a moving median filter. Missing pupil values were linearly interpolated across neighboring valid samples. Pupil diameters were normalized within each mouse to the maximum observed pupil diameter across all sessions. Pupil state for each trial was defined as the average normalized pupil diameter 500 ms before stimulus onset to avoid stimulus-evoked effects. Pupil was discretized into 11 states on either side of the median pupil size across all mice (Fig. 1D; median = 62%) to produce the following bins: 0 to 37, 38 to 42, 43 to 47, 48 to 52, 53 to 57, 58 to 62, 63 to 67, 68 to 72, 73 to 77, 78 to 82, and 83 to 100% max dilation. Changes to tuning selectivity in Fig. 4 were based on low and high pupil-linked arousal states, defined as 0 to 52 and 72 to 100% max dilation, respectively.\nWe implemented a multivariate linear regression model to assess how trial-by-trial–evoked neural responses are shaped by auditory and pupil state variables. The dependent variable, y, was the mean evoked response of a single neuron on a given trial. This response was modeled as the linear combination of stimulus identity, baseline neural activity, and baseline pupil activity using the following equationy=β0+∑i=1nβs,i⋅Si+βn⋅N+βp⋅P+βp2⋅P2+ε(1)where β0 is the intercept and the terms Si ∈ 0, 1 are a one-hot encoded representation of stimulus identity across n = 15 possible pure tone frequencies, each associated with a stimulus-specific coefficient βs,i. These coefficients were confirmed to align to each neuron’s frequency tuning curve by computing the Pearson correlations between βs and mean stimulus response vectors and testing it against a null distribution generated by shuffling stimulus labels (two-sample Kolmogorov-Smirnov test, 1000 permutations; fig. S1A). Baseline neural and pupil activity are denoted by N and P, with their corresponding weights βn and βp. Nonlinear relationships are captured by the pupil squared term, p2, and its respective coefficient βp2. The error term ϵ accounts for residual variance not explained by the predictors.\nRegression was performed using MATLAB’s fitrlinear function with a least-squares loss function and ridge regularization. Model coefficients (β) were extracted for each neuron and collated into a [neurons × coefficients] matrix. For cross-cell comparisons, the largest βs coefficient (corresponding to a neuron’s BF), along with βp and βp2 coefficients, was pooled across all neurons and z-scored independently for each coefficient type. A heuristic “sound” threshold of 0.5 SDs was applied to the distribution of normalized maximum βs coefficients to classify neurons as sound responsive (z > 0.5 SD) or non–sound responsive (z ≤ 0.5 SD). To identify neurons with the most suppressed responses (fig. S2, H to J), we pooled each neuron’s minimum βs coefficient (corresponding to a neuron’s worst frequency). Because all values were negative and skewed, we log transformed their absolute values before z-scoring. Neurons exceeding a 0.5 SD threshold were classified as having strong frequency-specific suppression. Notably, sound-responsive neurons could also meet this criterion if their least-preferred frequency evoked sufficient suppression.\nTo simulate neural responses exhibiting distinct pupil-state modulation motifs, we generated synthetic datasets using custom MATLAB code. Five synthetic neurons were created, each tuned to the same preferred stimulus frequency but differing in how their evoked responses varied with pupil size (fig. S1D). These neurons were designed to reflect one of five pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), and nonmodulated (flat across pupil states). A 1200 trial design matrix was constructed using the same predictors as the multivariate linear regression model (fig. S1B). Simulated baseline neural activity was sampled from a gamma distribution, and baseline pupil diameters were uniformly sampled from the interval [0,1], except for preferred stimuli trials, which evenly spanned the full [0,1] range (fig. S1C, left). To simulate the response vector, a deterministic trend between pupil size and evoked neural activity was first specified for each neuron based on its assigned motif. Structured Gaussian noise was introduced to reflect trial-to-trial variability (fig. S1, B and C, right).\nMissing data at the pupil-state tails (lowest and highest states) were linearly extrapolated for mean response at BF and hierarchical clustering analyses. Stimulus/state combinations with less than five trials of data were registered as NaN values and linearly interpolated and/or extrapolated, where appropriate. We devised two methods for linear extrapolation: boundless and bounded. Boundless extrapolation linearly extrapolated values at the pupil-state tail(s) without any upper or lower limits (fig. S2A). Bounded extrapolation did the same but was subject to upper and lower limits that were based on the range of existing data for that neuron (fig. S2B). Specifically, the maximum or minimum extrapolated value was determined by adding or subtracting 40% of the data range to the highest or lowest existing datum, respectively. Once the upper or lower limit was determined, intermediate NaN values were linearly interpolated. Solely using one of these extrapolation methods yielded some neurons with extreme response magnitudes at the tails. To address this, boundless or bounded extrapolation was applied on a neuron-by-neuron basis based on whichever extrapolation method had the smaller slope stemming from existing data. Neurons with more than four consecutive NaNs at either pupil state tails were not extrapolated.\nTo identify clusters of neurons exhibiting unique pupil-state modulation motifs, we performed hierarchical clustering on mean z-scored activity in response to a single stimulus as a function of pupil state, i.e., a neuron’s state tuning curve. Exclusively sound-responsive neurons were used for Fig. 3 and fig. S2 (C to G), whereby mean activity was extracted from a baseline or evoked time window (500-ms prestimulus or 333-ms poststimulus, respectively) using a neuron’s BF, defined as the stimulus that produced the largest mean activity irrespective of pupil state. Clustering state tuning curves on neurons with the most suppressed responses (i.e., worst frequency) was based on activity during the evoked time window (fig. S2, H to J). At least four pupil states with a minimum of five trials per stimulus/state combination were required to obtain a neuron’s state tuning curve. Insufficient data at stimulus/state combinations were marked with NaN values and linearly interpolated and/or extrapolated, where appropriate (see the section “Linear extrapolation”). Neurons with one or more NaNs in their state tuning curve were excluded from this analysis, as clustering would group these together.\nState tuning curves were rescaled between 0 and 1 to normalize the range of neural responses across all neurons before clustering. All neurons across the subtypes were pooled together and clustered using Euclidean distance and Ward’s linkage methods (MATLAB linkage and cluster functions) to extract a clustering tree. To identify a nonredundant set of clusters, we iteratively merged similar branches of the hierarchy. This process combined manual inspection with quantitative assessment using silhouette analysis (MATLAB evalclusters function), selecting the final cluster count based on the elbow of the silhouette curve to balance state-dependent diversity and parsimony. We verified that the mean z-scored, and rescaled responses for each cluster were similar to ensure that minor variations in neural activity did not drive spurious clustering. Clusters were then manually grouped into one of the pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), or nonmodulated. Consequently, each neuron belonged to an excitatory subpopulation, cluster, and modulation motif.\nWe used reduced major axis regression when assessing state-dependent linear transformations, as it adjusts for measurement error on both the x and y axes, which is not accounted for by ordinary least-squares regression (139). This linear transformation method has been successfully applied in prior work (50, 140). High and low pupil states were defined as two bins on either side of the median pupil state (62%), whereby the high pupil bin was [72%, 100%] and the low pupil bin was [0%, 52%]. Only sound-responsive neurons with at least six stimuli with at least five trials per stimulus/state combination across high and low pupil-state bins were used for this analysis. Each neuron’s frequency tuning curve during high trials was regressed onto its respective low-state tuning curve. Slope and y-intercept coefficients were extracted only if they were significantly greater than or less than one or zero, respectively (α = 0.05). Coefficient significance was determined using a one-sample t test that compared each estimated slope and intercept against null hypotheses of 1 and 0, respectively, with standard errors derived from the model’s residual variance. This was used to determine whether neurons were significantly divisive or multiplicative (based on slope coefficient) and subtractive or additive (based on y-intercept coefficient).\nNoise correlations, also known as spike count correlations, were calculated as the Pearson correlation coefficient of the mean-subtracted trial responses between a pair of simultaneously recorded neurons driven by the same stimulus. Trial responses were defined as the mean of raw deconvolved spikes. The mean stimulus response was then subtracted from all trials where that stimulus was presented. These mean-subtracted trial responses were concatenated across all stimuli (15 pure tones) for every neuron in a FOV, yielding a matrix with dimensions [trials × neurons]. The Pearson correlation coefficient was then computed for every neuron pair. Signal correlations, also known as tuning correlations, were computed by taking the frequency tuning curves of a pair of simultaneously recorded neurons and extracting their Pearson correlation coefficient.\nAll correlation analyses were conducted on sound-responsive neurons, and trial activity was defined as the response recorded during a 333-ms evoked response window following stimulus onset. To curtail biased correlations, neurons with a BF of 4 or ~45.3 kHz were excluded from these analyses. When pupil states were considered, two criteria were applied to include a FOV: (i) neurons must have at least five trials at a given stimulus/state combination, and (ii) there must be at least six stimuli that meet the first criterion.\nA feed-forward artificial neural network (MATLAB function fitcnet) was trained to classify stimulus identity based on population neural activity at distinct pupil-linked arousal states. The network consisted of an input layer representing population neural activity on each trial, two hidden layers with 16 neurons each, and an output layer with 15 neurons, each corresponding to the predicted probability of one stimulus class. The input to fitcnet was a [trials × neurons] matrix and a one-dimensional (1D) vector of stimulus labels (frequency) for each trial. Neural activity for each neuron was defined as its mean trial-evoked response. All decoding was performed separately for each combination of FOV, imaging day, and pupil state. This approach was adopted to maximize the number of neurons used for decoding, as not all neurons within a FOV are consistently observed across all imaging days (e.g., a neuron recorded on day 1 may not appear on day 3).\nTo ensure comparability across conditions, we fixed the number of neurons to 50 and the number of trials per stimulus/state combination to five across all decoding runs. When more than 50 neurons and five trials per stimulus were available, we performed random resampling within each FOV to create multiple independent decoding sets. Classification accuracy was estimated using threefold stratified cross-validation, chosen to accommodate the limited number of trials per class while preserving a balance between training and testing sets. Final performance was quantified by averaging classification accuracy across folds and resampled sets, separately for each pupil state. Decoding was performed independently for each pupil state.\nWe used PCA in computing population-level reliability to capture network activity across all neurons in a FOV, irrespective of sound responsiveness. To assess tuning curve variance, we first performed PCA on the same [trials × neurons] matrix used as input to the fitcnet network, yielding a [trials × PCs] matrix. We retained only the PCs that cumulatively explained at least 85% of the total variance for our analyses. Then we averaged the trial-level data from this matrix across all trials corresponding to each stimulus, yielding a [stimulus × PCs] matrix, and calculated the variance along the first dimension. To assess trial variance, we calculated the variance along the first dimension of our [trials × PCs] matrix. Reliability for each PC was computed as the ratio of the tuning curve variance to the trial variance, yielding a vector with length of PCs. Lastly, we took the mean of this PC vector to get a single reliability value for a given FOV.\nSingle-neuron reliability was calculated by taking the variance of a neuron’s mean evoked response to each pure tone (tuning curve variance) and dividing it by the variance of that cell’s evoked response at each trial across all stimuli (trial variance) (141). Mean evoked trial responses were defined as the mean activity during a 333-ms response window following stimulus onset. Single-neuron reliability was conducted on all neurons in a FOV and averaged together, except for fig. S3C, which was conducted on sound-responsive neurons only and not averaged.\nTo assess the consistency of our results, we used a split-half resampling procedure (142–144). For each excitatory subtype, trial data within a single pupil state were randomly divided into two nonoverlapping halves, generating two resampled datasets per iteration. This process was repeated 10 times per subtype, and the results were averaged and compared against analyses from the full dataset (fig. S4). Notably, population decoding and reliability analyses were excluded from this procedure, as they already incorporated cross-validation, which inherently provides a measure of internal consistency through resampling.\nAll statistical analysis was conducted in GraphPad Prism (v10.4.1; GraphPad Software) and R (v4.4.3; R Core Team). Data are reported as mean ± SEM unless otherwise stated. Nonparametric statistical tests were used where data samples did not meet the assumptions of parametric statistical tests. Mixed-effects models were used to assess the effects of fixed factors (e.g., pupil state, excitatory subtype, and intersomatic distance) on neural activity, with either neuron identity or FOV included as the random effect, depending on the analysis (R packages: lme4, lmerTest, and emmeans). Post hoc comparisons were corrected for multiple comparisons using Dunn’s method. Effect sizes were estimated using partial omega squared (ωp2) for mixed-effects models and ANOVA, eta squared (η2) for Kruskal-Wallis tests, and Cramér’s V for chi-square tests. Effect sizes were interpreted according to conventional benchmarks: for ωp2 and η2, values of 0.01, 0.06, and 0.14 were considered small, medium, and large, respectively; for Cramér’s V, thresholds of 0.1, 0.3, and 0.5 were used to denote small, medium, and large effects, respectively. Exact P values were listed if P > 10−100. Significance on figures denoted as follows: *P < 0.05, **P < 0.01, and ***P < 0.0001.\n\n\n### Mice\nAll procedures were approved by the University of Pittsburgh Animal Care and Use Committee (protocol #: 19065155) and followed the guidelines established by the National Institute of Health for the care and use of laboratory animals. We expressed GCaMP8s in adult mice of both sexes for all two-photon calcium imaging experiments. The mouse strains used were C57BL/6 (#000664, the Jackson Laboratory; L2/3, N = 6; L5 ET, N = 10), Tlx3_PL56-Cre [B6.FVB(Cg)-Tg(Tlx3-Cre)PL56Gsat/Mmucd, MMRRC; N = 7], and Ntsr1-Cre [B6.FVB(Cg)-Tg(Ntsr1-Cre)-GN220Gsat/Mmucd, MMRRC; N = 9]. All mice were light reversed (12 -hour dark/light cycle) with ad libitum access to food and water throughout experiments. All imaging was conducted during the dark cycle.\n\n\n### Surgical procedures\nAll surgical procedures were conducted in anesthetized mice under aseptic conditions in a stereotaxic frame (Kopf model 1900). Mice were anesthetized with 5% isoflurane in oxygen and maintained at 1 to 2% throughout surgery. Lidocaine hydrochloride (local anesthetic) was injected subcutaneously before any incision of the skin. Ophthalmic ointment was applied over the eyes to prevent dryness. After surgery, mice received a subcutaneous injection of an analgesic (carprofen; 5 mg/kg), and a carprofen-infused MediGel (ClearH2O) was provided in their home cages for 3 days postoperation. All mice underwent a virus delivery and a cranial window implantation surgery.\n\n\n### Virus-mediated gene delivery\nAll virus injections were conducted on 7- to 10-week-old mice. Injections for L2/3, L5 IT, and CT cohorts were delivered into the right ACtx at a depth of ~500 μm under the dura. A single incision was made over the right temporal ridge. Virus injections were made using pulled-glass pipettes and a programmable injector (Nanoject 3, Drummond Scientific) to deliver virus through two ~200-μm burr holes (250 nl per hole, 500 nl in total). Neurons in L2/3 were targeted by injecting AAV1-syn-jGCaMP8s-WPRE [Addgene, #162374; titer: 2 × 1012 vector genomes (vg)/ml] into C57BL/6 mice. L5 IT and CT neurons were targeted by injecting AAV1-syn-FLEX-jGCaMP8s-WPRE (Addgene, #162377; titer: 6 to 7 × 1012 vg/ml) into Tlx3_PL56-Cre and Ntsr1-Cre mice, respectively. L5 ET neurons were targeted by injecting retrograde AAV1-syn-jGCaMP8s-WPRE (Addgene, #162374-AAVrg; titer: 7 to 8 × 1012 vg/ml) into the right IC of C57BL/6 mice. A single incision was made along the midline, above the sagittal suture to gain access to bregma and lambda. Delivery of the virus through one burr hole at two depths (300 nl per depth, 600 nl in total) was made into the IC using stereotaxic coordinates (AP, −5 mm; ML, 0.9 mm; DV, 0.8 and 0.3 mm). Viruses were diluted with phosphate-buffered saline (PBS) to acquire the desired titer, and the rate of injection was 10 nl every 45 to 60 s. The glass pipette remained in the brain for an additional 10 min at each site following virus delivery for all injections. Incision sites were sutured, and antibiotic ointment was applied.\n\n\n### Cranial window implantation\nTwo weeks following virus injection, mice were anesthetized for chronic imaging window implantation surgery. An intraperitoneal injection of dexamethasone sodium phosphate (2 mg/kg) was administered to reduce inflammation and brain swelling. Skin at the top of the head was removed and an etchant (C&B Metabond) was applied to the dorsal surface of the skull to facilitate head plate adhesion. A customized titanium head plate (eMachineShop) was then affixed to the skull using dental cement (C&B Metabond). A cranial window, comprising three thin glass coverslips (3-3-4–mm stack), was then inserted in a 3-mm diameter craniotomy over the right ACtx and secured to the skull using dental cement.\n\n\n### Histology\nMice were deeply anesthetized with 5% isoflurane and transcardially perfused with and fixed in 4% paraformaldehyde in 0.01 M PBS solution. Postfixed brains were transferred to 30% sucrose the following day. Coronal sections (50 μm) of the ACtx were made using a cryostat (CM1950, Leica) and stored in PBS. Slices were mounted onto glass slides and stained with 4′,6-diamidino-2-phenylindole (DAPI) before coverslipping (VECTASHIELD, Vector Laboratories). Fluorescence imaging was performed using an epifluorescence microscope (THUNDER Imager Tissue, Leica) at 10× magnification. Channels for green fluorescent protein (GCaMP8s) and DAPI were merged, color balanced, and exported using Fiji (ImageJ).\n\n\n### Calcium imaging\nLight-reversed mice were awake and head fixed for all recording sessions. Before imaging, mice were habituated to head fixation and the recording chamber for several days. Neural activity in response to four pure tones (4, 8, 16, and 32 kHz) was captured by widefield fluorescence imaging (Bergamo, Thorlabs) and used to functionally confirm the location of the right primary ACtx. Two-photon calcium imaging was conducted using an InSight X3 (Spectra-Physics) Laser tuned to 940 nm and a water-immersion objective (Nikon 16x). This objective was fixed with a custom cylindrical blackout curtain to shield the photomultiplier tubes (PMTs) from potential interference from ultraviolet (UV) light (see the section “Videography”). All two-photon imaging (Bergamo, Thorlabs) was of the right ACtx. Mice were head fixed upright with the microscope rotated to be parallel to the cranial window (~40° to 50° tilt). Images were collected at 30 Hz. The depth below pial surface used for recordings depended on neuron subtype (L2/3: 150 to 250 μm, L5 IT: 350 to 500 μm, L5 ET: 450 to 600 μm, and CT: 600 to 700 μm). Separate FOVs from the same mouse were at least 50 μm above or below the original imaging plane. All two-photon calcium imaging was conducted within a dark, sound-attenuating chamber so that video capture of pupil diameter was luminance independent. Sound presentations consisted of 15 pure tone stimuli ranging from 4 to ~45.3 kHz at 0.25 octave spacing. Stimuli were generated with a 24-bit digital-to-analog converter (model PXI-4461, National Instruments) using custom scripts written in MATLAB (MathWorks) and LabVIEW (National Instruments). Acoustic stimuli were delivered via a free-field speaker (PUI Audio) facing the left ear and calibrated using a free-field prepolarized microphone (377C01, PCB Piezotronics). Pure tone stimuli were presented in a pseudorandom sequence. Trials were 2 s in duration with stimulus onset occurring at 500 ms. Mice were imaged within the same time window of their light cycle to minimize circadian variability.\n\n\n### Videography\nHigh-speed videography of the mouse’s face (left side) was recorded at 30 Hz concurrently with two-photon imaging in all sessions (Genie Nano M2020, Teledyne; TEC-55, Computar). An infrared light-emitting diode provided consistent facial illumination. To prevent pupil dilation from saturating the entire eye, a small amount of UV light was used to restrict the maximum range of dilation, enabling consistent measurement of maximum pupil diameter across mice. UV light intensity was titrated during initial habituation while mice were in a naturally agitated state. The final UV intensity was held constant across imaging sessions and served as the only visible light source within the recording booth. Light intensity at the eye was measured using a photodiode power sensor (S121C, Thorlabs), yielding a total power of 0.25 ± 0.1 μW. Assuming uniform illumination across the active area of the sensor, this corresponds to an average irradiance of ~0.35 μW/cm2 at the measurement location.\n\n\n### Image analysis\nPostrecording analysis began with Suite2p (67), an open-source image processing pipeline. It was used to register raw calcium movies, detect spatial regions of interest (ROIs), distinguish between neuronal and nonneuronal ROIs, extract calcium fluorescence signals from each ROI, and process spike deconvolution. All ROIs were then manually confirmed so that only soma activity was analyzed. To maximize the number of pupil states per FOV, a large subset of neurons was matched longitudinally across days using the open-source algorithm ROICaT (https://github.com/RichieHakim/ROICaT). Neural responses were z-scored relative to average activity during a spontaneous window in the 500 ms preceding stimulus onset.\nPupil diameter was extracted from face videography recordings using DeepLabCut, an open-source deep learning–based pose estimation toolbox (138). We trained a model on manually labeled frames to track eight user-defined points equally distributed around the pupil perimeter. For each frame, an ellipse was fit to the pupil labels using a least-squares method, and pupil size was defined as the length of the ellipse’s major axis. Marker estimates with a confidence score below 95% were excluded from the fit, and frames with fewer than six valid points were assigned a NaN. This thresholding approach reliably excluded eye blinks, which were confirmed to occur with low marker confidence. Biologically implausible values and sharp frame-to-frame fluctuations were removed, and the remaining trace was smoothed using a moving median filter. Missing pupil values were linearly interpolated across neighboring valid samples. Pupil diameters were normalized within each mouse to the maximum observed pupil diameter across all sessions. Pupil state for each trial was defined as the average normalized pupil diameter 500 ms before stimulus onset to avoid stimulus-evoked effects. Pupil was discretized into 11 states on either side of the median pupil size across all mice (Fig. 1D; median = 62%) to produce the following bins: 0 to 37, 38 to 42, 43 to 47, 48 to 52, 53 to 57, 58 to 62, 63 to 67, 68 to 72, 73 to 77, 78 to 82, and 83 to 100% max dilation. Changes to tuning selectivity in Fig. 4 were based on low and high pupil-linked arousal states, defined as 0 to 52 and 72 to 100% max dilation, respectively.\n\n\n### Two-photon\nPostrecording analysis began with Suite2p (67), an open-source image processing pipeline. It was used to register raw calcium movies, detect spatial regions of interest (ROIs), distinguish between neuronal and nonneuronal ROIs, extract calcium fluorescence signals from each ROI, and process spike deconvolution. All ROIs were then manually confirmed so that only soma activity was analyzed. To maximize the number of pupil states per FOV, a large subset of neurons was matched longitudinally across days using the open-source algorithm ROICaT (https://github.com/RichieHakim/ROICaT). Neural responses were z-scored relative to average activity during a spontaneous window in the 500 ms preceding stimulus onset.\n\n\n### Pupil analysis\nPupil diameter was extracted from face videography recordings using DeepLabCut, an open-source deep learning–based pose estimation toolbox (138). We trained a model on manually labeled frames to track eight user-defined points equally distributed around the pupil perimeter. For each frame, an ellipse was fit to the pupil labels using a least-squares method, and pupil size was defined as the length of the ellipse’s major axis. Marker estimates with a confidence score below 95% were excluded from the fit, and frames with fewer than six valid points were assigned a NaN. This thresholding approach reliably excluded eye blinks, which were confirmed to occur with low marker confidence. Biologically implausible values and sharp frame-to-frame fluctuations were removed, and the remaining trace was smoothed using a moving median filter. Missing pupil values were linearly interpolated across neighboring valid samples. Pupil diameters were normalized within each mouse to the maximum observed pupil diameter across all sessions. Pupil state for each trial was defined as the average normalized pupil diameter 500 ms before stimulus onset to avoid stimulus-evoked effects. Pupil was discretized into 11 states on either side of the median pupil size across all mice (Fig. 1D; median = 62%) to produce the following bins: 0 to 37, 38 to 42, 43 to 47, 48 to 52, 53 to 57, 58 to 62, 63 to 67, 68 to 72, 73 to 77, 78 to 82, and 83 to 100% max dilation. Changes to tuning selectivity in Fig. 4 were based on low and high pupil-linked arousal states, defined as 0 to 52 and 72 to 100% max dilation, respectively.\n\n\n### Data analysis\nWe implemented a multivariate linear regression model to assess how trial-by-trial–evoked neural responses are shaped by auditory and pupil state variables. The dependent variable, y, was the mean evoked response of a single neuron on a given trial. This response was modeled as the linear combination of stimulus identity, baseline neural activity, and baseline pupil activity using the following equationy=β0+∑i=1nβs,i⋅Si+βn⋅N+βp⋅P+βp2⋅P2+ε(1)where β0 is the intercept and the terms Si ∈ 0, 1 are a one-hot encoded representation of stimulus identity across n = 15 possible pure tone frequencies, each associated with a stimulus-specific coefficient βs,i. These coefficients were confirmed to align to each neuron’s frequency tuning curve by computing the Pearson correlations between βs and mean stimulus response vectors and testing it against a null distribution generated by shuffling stimulus labels (two-sample Kolmogorov-Smirnov test, 1000 permutations; fig. S1A). Baseline neural and pupil activity are denoted by N and P, with their corresponding weights βn and βp. Nonlinear relationships are captured by the pupil squared term, p2, and its respective coefficient βp2. The error term ϵ accounts for residual variance not explained by the predictors.\nRegression was performed using MATLAB’s fitrlinear function with a least-squares loss function and ridge regularization. Model coefficients (β) were extracted for each neuron and collated into a [neurons × coefficients] matrix. For cross-cell comparisons, the largest βs coefficient (corresponding to a neuron’s BF), along with βp and βp2 coefficients, was pooled across all neurons and z-scored independently for each coefficient type. A heuristic “sound” threshold of 0.5 SDs was applied to the distribution of normalized maximum βs coefficients to classify neurons as sound responsive (z > 0.5 SD) or non–sound responsive (z ≤ 0.5 SD). To identify neurons with the most suppressed responses (fig. S2, H to J), we pooled each neuron’s minimum βs coefficient (corresponding to a neuron’s worst frequency). Because all values were negative and skewed, we log transformed their absolute values before z-scoring. Neurons exceeding a 0.5 SD threshold were classified as having strong frequency-specific suppression. Notably, sound-responsive neurons could also meet this criterion if their least-preferred frequency evoked sufficient suppression.\nTo simulate neural responses exhibiting distinct pupil-state modulation motifs, we generated synthetic datasets using custom MATLAB code. Five synthetic neurons were created, each tuned to the same preferred stimulus frequency but differing in how their evoked responses varied with pupil size (fig. S1D). These neurons were designed to reflect one of five pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), and nonmodulated (flat across pupil states). A 1200 trial design matrix was constructed using the same predictors as the multivariate linear regression model (fig. S1B). Simulated baseline neural activity was sampled from a gamma distribution, and baseline pupil diameters were uniformly sampled from the interval [0,1], except for preferred stimuli trials, which evenly spanned the full [0,1] range (fig. S1C, left). To simulate the response vector, a deterministic trend between pupil size and evoked neural activity was first specified for each neuron based on its assigned motif. Structured Gaussian noise was introduced to reflect trial-to-trial variability (fig. S1, B and C, right).\nMissing data at the pupil-state tails (lowest and highest states) were linearly extrapolated for mean response at BF and hierarchical clustering analyses. Stimulus/state combinations with less than five trials of data were registered as NaN values and linearly interpolated and/or extrapolated, where appropriate. We devised two methods for linear extrapolation: boundless and bounded. Boundless extrapolation linearly extrapolated values at the pupil-state tail(s) without any upper or lower limits (fig. S2A). Bounded extrapolation did the same but was subject to upper and lower limits that were based on the range of existing data for that neuron (fig. S2B). Specifically, the maximum or minimum extrapolated value was determined by adding or subtracting 40% of the data range to the highest or lowest existing datum, respectively. Once the upper or lower limit was determined, intermediate NaN values were linearly interpolated. Solely using one of these extrapolation methods yielded some neurons with extreme response magnitudes at the tails. To address this, boundless or bounded extrapolation was applied on a neuron-by-neuron basis based on whichever extrapolation method had the smaller slope stemming from existing data. Neurons with more than four consecutive NaNs at either pupil state tails were not extrapolated.\nTo identify clusters of neurons exhibiting unique pupil-state modulation motifs, we performed hierarchical clustering on mean z-scored activity in response to a single stimulus as a function of pupil state, i.e., a neuron’s state tuning curve. Exclusively sound-responsive neurons were used for Fig. 3 and fig. S2 (C to G), whereby mean activity was extracted from a baseline or evoked time window (500-ms prestimulus or 333-ms poststimulus, respectively) using a neuron’s BF, defined as the stimulus that produced the largest mean activity irrespective of pupil state. Clustering state tuning curves on neurons with the most suppressed responses (i.e., worst frequency) was based on activity during the evoked time window (fig. S2, H to J). At least four pupil states with a minimum of five trials per stimulus/state combination were required to obtain a neuron’s state tuning curve. Insufficient data at stimulus/state combinations were marked with NaN values and linearly interpolated and/or extrapolated, where appropriate (see the section “Linear extrapolation”). Neurons with one or more NaNs in their state tuning curve were excluded from this analysis, as clustering would group these together.\nState tuning curves were rescaled between 0 and 1 to normalize the range of neural responses across all neurons before clustering. All neurons across the subtypes were pooled together and clustered using Euclidean distance and Ward’s linkage methods (MATLAB linkage and cluster functions) to extract a clustering tree. To identify a nonredundant set of clusters, we iteratively merged similar branches of the hierarchy. This process combined manual inspection with quantitative assessment using silhouette analysis (MATLAB evalclusters function), selecting the final cluster count based on the elbow of the silhouette curve to balance state-dependent diversity and parsimony. We verified that the mean z-scored, and rescaled responses for each cluster were similar to ensure that minor variations in neural activity did not drive spurious clustering. Clusters were then manually grouped into one of the pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), or nonmodulated. Consequently, each neuron belonged to an excitatory subpopulation, cluster, and modulation motif.\nWe used reduced major axis regression when assessing state-dependent linear transformations, as it adjusts for measurement error on both the x and y axes, which is not accounted for by ordinary least-squares regression (139). This linear transformation method has been successfully applied in prior work (50, 140). High and low pupil states were defined as two bins on either side of the median pupil state (62%), whereby the high pupil bin was [72%, 100%] and the low pupil bin was [0%, 52%]. Only sound-responsive neurons with at least six stimuli with at least five trials per stimulus/state combination across high and low pupil-state bins were used for this analysis. Each neuron’s frequency tuning curve during high trials was regressed onto its respective low-state tuning curve. Slope and y-intercept coefficients were extracted only if they were significantly greater than or less than one or zero, respectively (α = 0.05). Coefficient significance was determined using a one-sample t test that compared each estimated slope and intercept against null hypotheses of 1 and 0, respectively, with standard errors derived from the model’s residual variance. This was used to determine whether neurons were significantly divisive or multiplicative (based on slope coefficient) and subtractive or additive (based on y-intercept coefficient).\nNoise correlations, also known as spike count correlations, were calculated as the Pearson correlation coefficient of the mean-subtracted trial responses between a pair of simultaneously recorded neurons driven by the same stimulus. Trial responses were defined as the mean of raw deconvolved spikes. The mean stimulus response was then subtracted from all trials where that stimulus was presented. These mean-subtracted trial responses were concatenated across all stimuli (15 pure tones) for every neuron in a FOV, yielding a matrix with dimensions [trials × neurons]. The Pearson correlation coefficient was then computed for every neuron pair. Signal correlations, also known as tuning correlations, were computed by taking the frequency tuning curves of a pair of simultaneously recorded neurons and extracting their Pearson correlation coefficient.\nAll correlation analyses were conducted on sound-responsive neurons, and trial activity was defined as the response recorded during a 333-ms evoked response window following stimulus onset. To curtail biased correlations, neurons with a BF of 4 or ~45.3 kHz were excluded from these analyses. When pupil states were considered, two criteria were applied to include a FOV: (i) neurons must have at least five trials at a given stimulus/state combination, and (ii) there must be at least six stimuli that meet the first criterion.\nA feed-forward artificial neural network (MATLAB function fitcnet) was trained to classify stimulus identity based on population neural activity at distinct pupil-linked arousal states. The network consisted of an input layer representing population neural activity on each trial, two hidden layers with 16 neurons each, and an output layer with 15 neurons, each corresponding to the predicted probability of one stimulus class. The input to fitcnet was a [trials × neurons] matrix and a one-dimensional (1D) vector of stimulus labels (frequency) for each trial. Neural activity for each neuron was defined as its mean trial-evoked response. All decoding was performed separately for each combination of FOV, imaging day, and pupil state. This approach was adopted to maximize the number of neurons used for decoding, as not all neurons within a FOV are consistently observed across all imaging days (e.g., a neuron recorded on day 1 may not appear on day 3).\nTo ensure comparability across conditions, we fixed the number of neurons to 50 and the number of trials per stimulus/state combination to five across all decoding runs. When more than 50 neurons and five trials per stimulus were available, we performed random resampling within each FOV to create multiple independent decoding sets. Classification accuracy was estimated using threefold stratified cross-validation, chosen to accommodate the limited number of trials per class while preserving a balance between training and testing sets. Final performance was quantified by averaging classification accuracy across folds and resampled sets, separately for each pupil state. Decoding was performed independently for each pupil state.\nWe used PCA in computing population-level reliability to capture network activity across all neurons in a FOV, irrespective of sound responsiveness. To assess tuning curve variance, we first performed PCA on the same [trials × neurons] matrix used as input to the fitcnet network, yielding a [trials × PCs] matrix. We retained only the PCs that cumulatively explained at least 85% of the total variance for our analyses. Then we averaged the trial-level data from this matrix across all trials corresponding to each stimulus, yielding a [stimulus × PCs] matrix, and calculated the variance along the first dimension. To assess trial variance, we calculated the variance along the first dimension of our [trials × PCs] matrix. Reliability for each PC was computed as the ratio of the tuning curve variance to the trial variance, yielding a vector with length of PCs. Lastly, we took the mean of this PC vector to get a single reliability value for a given FOV.\nSingle-neuron reliability was calculated by taking the variance of a neuron’s mean evoked response to each pure tone (tuning curve variance) and dividing it by the variance of that cell’s evoked response at each trial across all stimuli (trial variance) (141). Mean evoked trial responses were defined as the mean activity during a 333-ms response window following stimulus onset. Single-neuron reliability was conducted on all neurons in a FOV and averaged together, except for fig. S3C, which was conducted on sound-responsive neurons only and not averaged.\nTo assess the consistency of our results, we used a split-half resampling procedure (142–144). For each excitatory subtype, trial data within a single pupil state were randomly divided into two nonoverlapping halves, generating two resampled datasets per iteration. This process was repeated 10 times per subtype, and the results were averaged and compared against analyses from the full dataset (fig. S4). Notably, population decoding and reliability analyses were excluded from this procedure, as they already incorporated cross-validation, which inherently provides a measure of internal consistency through resampling.\n\n\n### Multivariate linear regression model\nWe implemented a multivariate linear regression model to assess how trial-by-trial–evoked neural responses are shaped by auditory and pupil state variables. The dependent variable, y, was the mean evoked response of a single neuron on a given trial. This response was modeled as the linear combination of stimulus identity, baseline neural activity, and baseline pupil activity using the following equationy=β0+∑i=1nβs,i⋅Si+βn⋅N+βp⋅P+βp2⋅P2+ε(1)where β0 is the intercept and the terms Si ∈ 0, 1 are a one-hot encoded representation of stimulus identity across n = 15 possible pure tone frequencies, each associated with a stimulus-specific coefficient βs,i. These coefficients were confirmed to align to each neuron’s frequency tuning curve by computing the Pearson correlations between βs and mean stimulus response vectors and testing it against a null distribution generated by shuffling stimulus labels (two-sample Kolmogorov-Smirnov test, 1000 permutations; fig. S1A). Baseline neural and pupil activity are denoted by N and P, with their corresponding weights βn and βp. Nonlinear relationships are captured by the pupil squared term, p2, and its respective coefficient βp2. The error term ϵ accounts for residual variance not explained by the predictors.\nRegression was performed using MATLAB’s fitrlinear function with a least-squares loss function and ridge regularization. Model coefficients (β) were extracted for each neuron and collated into a [neurons × coefficients] matrix. For cross-cell comparisons, the largest βs coefficient (corresponding to a neuron’s BF), along with βp and βp2 coefficients, was pooled across all neurons and z-scored independently for each coefficient type. A heuristic “sound” threshold of 0.5 SDs was applied to the distribution of normalized maximum βs coefficients to classify neurons as sound responsive (z > 0.5 SD) or non–sound responsive (z ≤ 0.5 SD). To identify neurons with the most suppressed responses (fig. S2, H to J), we pooled each neuron’s minimum βs coefficient (corresponding to a neuron’s worst frequency). Because all values were negative and skewed, we log transformed their absolute values before z-scoring. Neurons exceeding a 0.5 SD threshold were classified as having strong frequency-specific suppression. Notably, sound-responsive neurons could also meet this criterion if their least-preferred frequency evoked sufficient suppression.\n\n\n### Simulating arousal modulation motifs\nTo simulate neural responses exhibiting distinct pupil-state modulation motifs, we generated synthetic datasets using custom MATLAB code. Five synthetic neurons were created, each tuned to the same preferred stimulus frequency but differing in how their evoked responses varied with pupil size (fig. S1D). These neurons were designed to reflect one of five pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), and nonmodulated (flat across pupil states). A 1200 trial design matrix was constructed using the same predictors as the multivariate linear regression model (fig. S1B). Simulated baseline neural activity was sampled from a gamma distribution, and baseline pupil diameters were uniformly sampled from the interval [0,1], except for preferred stimuli trials, which evenly spanned the full [0,1] range (fig. S1C, left). To simulate the response vector, a deterministic trend between pupil size and evoked neural activity was first specified for each neuron based on its assigned motif. Structured Gaussian noise was introduced to reflect trial-to-trial variability (fig. S1, B and C, right).\n\n\n### Linear extrapolation\nMissing data at the pupil-state tails (lowest and highest states) were linearly extrapolated for mean response at BF and hierarchical clustering analyses. Stimulus/state combinations with less than five trials of data were registered as NaN values and linearly interpolated and/or extrapolated, where appropriate. We devised two methods for linear extrapolation: boundless and bounded. Boundless extrapolation linearly extrapolated values at the pupil-state tail(s) without any upper or lower limits (fig. S2A). Bounded extrapolation did the same but was subject to upper and lower limits that were based on the range of existing data for that neuron (fig. S2B). Specifically, the maximum or minimum extrapolated value was determined by adding or subtracting 40% of the data range to the highest or lowest existing datum, respectively. Once the upper or lower limit was determined, intermediate NaN values were linearly interpolated. Solely using one of these extrapolation methods yielded some neurons with extreme response magnitudes at the tails. To address this, boundless or bounded extrapolation was applied on a neuron-by-neuron basis based on whichever extrapolation method had the smaller slope stemming from existing data. Neurons with more than four consecutive NaNs at either pupil state tails were not extrapolated.\n\n\n### Hierarchical clustering\nTo identify clusters of neurons exhibiting unique pupil-state modulation motifs, we performed hierarchical clustering on mean z-scored activity in response to a single stimulus as a function of pupil state, i.e., a neuron’s state tuning curve. Exclusively sound-responsive neurons were used for Fig. 3 and fig. S2 (C to G), whereby mean activity was extracted from a baseline or evoked time window (500-ms prestimulus or 333-ms poststimulus, respectively) using a neuron’s BF, defined as the stimulus that produced the largest mean activity irrespective of pupil state. Clustering state tuning curves on neurons with the most suppressed responses (i.e., worst frequency) was based on activity during the evoked time window (fig. S2, H to J). At least four pupil states with a minimum of five trials per stimulus/state combination were required to obtain a neuron’s state tuning curve. Insufficient data at stimulus/state combinations were marked with NaN values and linearly interpolated and/or extrapolated, where appropriate (see the section “Linear extrapolation”). Neurons with one or more NaNs in their state tuning curve were excluded from this analysis, as clustering would group these together.\nState tuning curves were rescaled between 0 and 1 to normalize the range of neural responses across all neurons before clustering. All neurons across the subtypes were pooled together and clustered using Euclidean distance and Ward’s linkage methods (MATLAB linkage and cluster functions) to extract a clustering tree. To identify a nonredundant set of clusters, we iteratively merged similar branches of the hierarchy. This process combined manual inspection with quantitative assessment using silhouette analysis (MATLAB evalclusters function), selecting the final cluster count based on the elbow of the silhouette curve to balance state-dependent diversity and parsimony. We verified that the mean z-scored, and rescaled responses for each cluster were similar to ensure that minor variations in neural activity did not drive spurious clustering. Clusters were then manually grouped into one of the pupil-state modulation motifs: increasing, decreasing, inverted-U (negative quadratic), U-shaped (positive quadratic), or nonmodulated. Consequently, each neuron belonged to an excitatory subpopulation, cluster, and modulation motif.\n\n\n### Linear transformations\nWe used reduced major axis regression when assessing state-dependent linear transformations, as it adjusts for measurement error on both the x and y axes, which is not accounted for by ordinary least-squares regression (139). This linear transformation method has been successfully applied in prior work (50, 140). High and low pupil states were defined as two bins on either side of the median pupil state (62%), whereby the high pupil bin was [72%, 100%] and the low pupil bin was [0%, 52%]. Only sound-responsive neurons with at least six stimuli with at least five trials per stimulus/state combination across high and low pupil-state bins were used for this analysis. Each neuron’s frequency tuning curve during high trials was regressed onto its respective low-state tuning curve. Slope and y-intercept coefficients were extracted only if they were significantly greater than or less than one or zero, respectively (α = 0.05). Coefficient significance was determined using a one-sample t test that compared each estimated slope and intercept against null hypotheses of 1 and 0, respectively, with standard errors derived from the model’s residual variance. This was used to determine whether neurons were significantly divisive or multiplicative (based on slope coefficient) and subtractive or additive (based on y-intercept coefficient).\n\n\n### Noise and signal correlations\nNoise correlations, also known as spike count correlations, were calculated as the Pearson correlation coefficient of the mean-subtracted trial responses between a pair of simultaneously recorded neurons driven by the same stimulus. Trial responses were defined as the mean of raw deconvolved spikes. The mean stimulus response was then subtracted from all trials where that stimulus was presented. These mean-subtracted trial responses were concatenated across all stimuli (15 pure tones) for every neuron in a FOV, yielding a matrix with dimensions [trials × neurons]. The Pearson correlation coefficient was then computed for every neuron pair. Signal correlations, also known as tuning correlations, were computed by taking the frequency tuning curves of a pair of simultaneously recorded neurons and extracting their Pearson correlation coefficient.\nAll correlation analyses were conducted on sound-responsive neurons, and trial activity was defined as the response recorded during a 333-ms evoked response window following stimulus onset. To curtail biased correlations, neurons with a BF of 4 or ~45.3 kHz were excluded from these analyses. When pupil states were considered, two criteria were applied to include a FOV: (i) neurons must have at least five trials at a given stimulus/state combination, and (ii) there must be at least six stimuli that meet the first criterion.\n\n\n### Stimulus decoding\nA feed-forward artificial neural network (MATLAB function fitcnet) was trained to classify stimulus identity based on population neural activity at distinct pupil-linked arousal states. The network consisted of an input layer representing population neural activity on each trial, two hidden layers with 16 neurons each, and an output layer with 15 neurons, each corresponding to the predicted probability of one stimulus class. The input to fitcnet was a [trials × neurons] matrix and a one-dimensional (1D) vector of stimulus labels (frequency) for each trial. Neural activity for each neuron was defined as its mean trial-evoked response. All decoding was performed separately for each combination of FOV, imaging day, and pupil state. This approach was adopted to maximize the number of neurons used for decoding, as not all neurons within a FOV are consistently observed across all imaging days (e.g., a neuron recorded on day 1 may not appear on day 3).\nTo ensure comparability across conditions, we fixed the number of neurons to 50 and the number of trials per stimulus/state combination to five across all decoding runs. When more than 50 neurons and five trials per stimulus were available, we performed random resampling within each FOV to create multiple independent decoding sets. Classification accuracy was estimated using threefold stratified cross-validation, chosen to accommodate the limited number of trials per class while preserving a balance between training and testing sets. Final performance was quantified by averaging classification accuracy across folds and resampled sets, separately for each pupil state. Decoding was performed independently for each pupil state.\n\n\n### Reliability\nWe used PCA in computing population-level reliability to capture network activity across all neurons in a FOV, irrespective of sound responsiveness. To assess tuning curve variance, we first performed PCA on the same [trials × neurons] matrix used as input to the fitcnet network, yielding a [trials × PCs] matrix. We retained only the PCs that cumulatively explained at least 85% of the total variance for our analyses. Then we averaged the trial-level data from this matrix across all trials corresponding to each stimulus, yielding a [stimulus × PCs] matrix, and calculated the variance along the first dimension. To assess trial variance, we calculated the variance along the first dimension of our [trials × PCs] matrix. Reliability for each PC was computed as the ratio of the tuning curve variance to the trial variance, yielding a vector with length of PCs. Lastly, we took the mean of this PC vector to get a single reliability value for a given FOV.\nSingle-neuron reliability was calculated by taking the variance of a neuron’s mean evoked response to each pure tone (tuning curve variance) and dividing it by the variance of that cell’s evoked response at each trial across all stimuli (trial variance) (141). Mean evoked trial responses were defined as the mean activity during a 333-ms response window following stimulus onset. Single-neuron reliability was conducted on all neurons in a FOV and averaged together, except for fig. S3C, which was conducted on sound-responsive neurons only and not averaged.\n\n\n### Resampling\nTo assess the consistency of our results, we used a split-half resampling procedure (142–144). For each excitatory subtype, trial data within a single pupil state were randomly divided into two nonoverlapping halves, generating two resampled datasets per iteration. This process was repeated 10 times per subtype, and the results were averaged and compared against analyses from the full dataset (fig. S4). Notably, population decoding and reliability analyses were excluded from this procedure, as they already incorporated cross-validation, which inherently provides a measure of internal consistency through resampling.\n\n\n### Statistical analysis\nAll statistical analysis was conducted in GraphPad Prism (v10.4.1; GraphPad Software) and R (v4.4.3; R Core Team). Data are reported as mean ± SEM unless otherwise stated. Nonparametric statistical tests were used where data samples did not meet the assumptions of parametric statistical tests. Mixed-effects models were used to assess the effects of fixed factors (e.g., pupil state, excitatory subtype, and intersomatic distance) on neural activity, with either neuron identity or FOV included as the random effect, depending on the analysis (R packages: lme4, lmerTest, and emmeans). Post hoc comparisons were corrected for multiple comparisons using Dunn’s method. Effect sizes were estimated using partial omega squared (ωp2) for mixed-effects models and ANOVA, eta squared (η2) for Kruskal-Wallis tests, and Cramér’s V for chi-square tests. Effect sizes were interpreted according to conventional benchmarks: for ωp2 and η2, values of 0.01, 0.06, and 0.14 were considered small, medium, and large, respectively; for Cramér’s V, thresholds of 0.1, 0.3, and 0.5 were used to denote small, medium, and large effects, respectively. Exact P values were listed if P > 10−100. Significance on figures denoted as follows: *P < 0.05, **P < 0.01, and ***P < 0.0001.", "domain": "affective_neuroscience"}
{"source": "PMC13040084", "title": "A Translational Neural Network Mechanism of Resilience: Top-Down Control and Plasticity of the Visual Cortex Relates to Resilient Outcome and Performance", "text": "# A Translational Neural Network Mechanism of Resilience: Top-Down Control and Plasticity of the Visual Cortex Relates to Resilient Outcome and Performance\n\n## Abstract\nTo reduce mental disorder prevalence, the understanding of resilience to stress-related disorder and its neurobiological mechanisms has come into the focus of biomedical research to develop both biologically rooted prevention and innovative therapeutic approaches for stress-related disorder. While some resilience mechanisms have been exemplified on the molecular, cellular, and brain-regional level, evidence on the neural systems level is rather sparse. We present the first translational evidence of adaptive plasticity in visual microcircuits and top-down modulation onto the visual system as a neurobiological resilience mechanism at the neural systems level in both humans and mice. In humans, we demonstrate that this adaptive microcircuit plasticity is linked to interactions between neurocognitive domains—executive and perceptual—and between brain regions—frontal and occipital—in specific oscillatory frequencies (β band in frontal inferior frontal gyrus and γ band in occipital V2). Additionally, expanding upon prior resilience research, our findings offer further evidence that phenotypic resilience is associated not only with macro- and microcircuit plasticity but also with better performance in neurocognitive functions central to resilience, i.e., perceptual discrimination in mice and cognitive control in humans. In mice, using awake 2-photon calcium imaging, we observed distinct resilient and susceptible network phenotypes in mouse visual cortex. Resilient animals surpassed both susceptible animals and nonstressed controls in their ability to encode visual afferents. This suggests an improved performance supporting the concepts of posttraumatic growth and stress inoculation on a neurobiological level. Resilience at the neural systems level involves active, dynamic processes rather than being merely passive responses to stress and constitutes a first example that neural network states of resilience are metastable, self-stabilizing, and noncontinuous entities that could serve as a target for new neural network interventions for fostering resilience.\n\n## Full Text\n\n\n### Introduction\nThe burden of stress-related mental disorders in western countries is constantly growing, including increasing prevalence in young people [1–4]. Yet, while a substantial fraction of individuals react to a potentially traumatic event (PTE) by the development of a post-traumatic or other stress-related disorder, the majority of traumatic stress-exposed individuals maintain or quickly regain mental stability and functioning, hence showing resilient outcome [5,6]. Investigating those resilient individuals unravels the mechanisms that actively maintain health and function and counteract the transition into disease [7]. Resilience can be conceptualized as a good long-term mental health despite adversity [6]. Operationalized and measured as such an outcome [8], resilience can be investigated translationally in humans and animals, allowing for the identification of not only behavioral but also neurobiological resilience mechanisms. Traditionally, resilience has been defined by its phenotypical representation. Yet, the given behavioral phenotype must be represented by neuronal network dynamics. Here, we asked whether the phenotypic outcome of resilience is reflected by distinct properties of neural network dynamics.\nBehavioral paradigms reflecting neurocognitive processes involved in putative neurobiological resilience mechanisms entail, among others, stress reactivity (attentional bias), perceptual discrimination (pattern separation), and cognitive control (aversive system inhibition) paradigms [9]. The emotional Flanker task used here specifically operationalizes the interplay of cognitive stimulus control (Flanker reaction time; aversive system inhibition; here in the visual domain) with (implicit) negative attentional bias and the need to perceptually discriminate visual threatening versus nonthreatening stimuli [10]. We have recently shown that the individual emotional and cognitive interference effects on behavior generated within this paradigm are predicted by information flow both within the right inferior frontal gyrus (rIFG) and from the pars triangularis of the rIFG to parieto-occipital areas (such as the precuneus and V2) in a frequency-specific manner [11]. However, the relation of these neurocognitive processes to an outcome-based measure of resilience has not yet been shown, let alone the potential neural network mechanisms constituting resilience on the neural network level [9].\nHence, here, we used electroencephalography (EEG) recordings from a large cohort of human participants (N = 121) and employed source reconstruction with finite-element head modeling during an emotional Flanker task to establish the relation of neurocognitive processes of cognitive-emotional interference control to an outcome-based measure of resilience and assess its neural network bases on a macro-circuit level. To reveal the corresponding underlying neurophysiological mechanisms of resilience on the neuronal micro-circuit level, we chose the well-established chronic social defeat (CSD) mouse model, followed by measuring social interaction (SI) as a measure of resilient outcome. Notably, even in inbred mice, the SI is widely varying between individuals. This indicates that an individualized response of the neuronal network to the stressor resulting in a bimodal classification of animals in stress-resilient versus nonresilient animals is performed [12]. We adopted this classification and employed an SI score threshold of 100 for the differentiation between stress resilient and nonresilient outcomes [13].\nBased on the human findings of information flow to (putative to down-modulation of) the parieto-occipital areas including the visual cortex, we hypothesize that stress resilience should be reflected in a cortex-wide functional signature, beyond prefrontal circuits. This should include also primary sensory cortices such as the visual cortex, even more though, as the ability for perceptual discrimination might contribute to a resilient outcome [9]. Therefore, we investigated primary sensory networks in the context of phenotypic resilience, asking whether network resilience constitutes an adaptive network ability. For probing this concept, after subjecting mice to the classical CSD paradigm and the SI test [12], we conducted 2-photon calcium imaging of cortical networks in the awake behaving animal. Assessing both spontaneous and sensory-evoked neuronal activity (perceptual discrimination, i.e., pattern separation) with single-neuron resolution is well suited to derive a fine-grained picture of the local functional architecture [14–16] of a resilient network. By that, we transcend the concept of resilience from the behavioral domain to the neural network domain.\n\n\n### Results\nWe investigated whether baseline behavioral measures of emotional interference inhibition derived from the Emo–Flanker task, as an operationalization of the putative neurocognitive resilience mechanisms stress reactivity (attentional bias), perceptual discrimination (pattern separation), and cognitive control (aversive system inhibition), could predict the stressor reactivity (SR) proxy score as our resilience measure (see Fig. 1A and Human EEG—operationalization and measurement of resilience in human subjects section). Therefore, we assessed 2 distinct Bayesian regression models: one incorporating reaction times (representing the stimulus interference inhibition component, i.e., visual cognitive stimulus control) and the other incorporating accuracy metrics (representing the response inhibition component, i.e., executive inhibitory control) as predictors for the SR proxy score [12]. For reaction times, the Emotion predictor (Negative − Neutral conditions) revealed no correlation with the SR proxy score proxy λ = −0.013, [−0.2, 0.18]. No significant effect was also observed for the Cognition predictor (Incongruent − Congruent) λ = 0.013, [−0.2, 0.017]. In contrast, the Interaction predictor [(Incongruent Negative − Incongruent Neutral) − (Congruent Negative − Congruent Neutral)] exhibited a significant positive correlation with the SR proxy score proxy λ = −0.17, [−0.016, 0.36]. For accuracy, the Emotion and Cognition predictors had no relationship with the SR proxy score λ = 0.00, [−0.19, 0.2] and λ = 0.00, [−0.26, 0.26], respectively. The Interaction predictor had only a partial negative relationship with the SR proxy score, λ = −0.12, [−0.38, 0.14] (see Fig. S1). By analyzing the relationships between these behavioral measures and the SR proxy score, we identified visual cognitive stimulus control (emotional interference inhibition component as measured by reaction times predictor) as critical in forecasting resilience. Specifically, for the Interaction effect, subjects exhibiting higher reaction time disparities in the high cognitive load condition tend to have higher SR proxy scores, i.e., lower resilience (see Fig. 2B and C).\nResilience can be conceptualized in parallel in humans and mice. (A, C, and E) Human study. (B, D, and F) Study in mice. (A and B) Assessment of resilience. (A) Assessment of resilience in human, individual mental health reactivity to stressor exposure [stressor reactivity (SR) proxy score], of 117 subjects. The regression line shows the normative linear positive relationship between exposure to Life events (LEs) stressors and mental health problems. The residuals onto the regression line are subjects’ deviations from the normative stressor exposure–mental health problems relationship. A strong positive deviation reflects high susceptibility of the subject’s mental health to the effects of LEs (high SR, high SR proxy score); a strong negative deviation reflects below-average low susceptibility (low SR proxy score). (B) Assessment of resilience in mice via a testing social interactions (SIs) after exposure to an aggressor in a chronic social defeat (CSD) paradigm. (C and D) Neurophysiology. (C) EEG recording and beamformer source reconstruction in the human EEG cohort. (D) Ca2+ imaging in mice during visual stimulation via drifting gratings of different orientation. (E and F) Experimental design. (E) Performance of the Emo–Flanker task. (F) Schedule in weeks (W) for resilience testing in mice: CSD paradigm (CSD), SI test (SI), Preparation for Ca2+ imaging, Habituation to imaging setup, Ca2+ imaging.\nSR score relates to behavioral measures and source activity. (A) Posterior distributions of the regression coefficients (λ) and their 94% highest density intervals (HDIs) and the corresponding regression plots for the Bayesian linear regression of SR proxy scores against reaction time (RT) differences for neutral versus negative emotional stimuli (ΔRTemotion) (left), congruent versus incongruent Flanker stimuli (ΔRTcognition) (middle), and the interaction effect in reaction times [ΔRTinteraction = (ΔRTIncong. Neg. − ΔRTIncong. Neut.) − (ΔRTCong. Neg.−ΔRTCong. Neut.)] (right). Colored regions mark the part of the distribution below or above zero that contains the 94% HDI. If the HDI contains zero, the largest effect is highlighted in gray. (B) Conceptual explanation of the negative interaction effect as parameterized by the contrast in our study. (C) Detailed post hoc analysis of the interaction effect—The reaction time increase induced by negative emotional stimuli is higher in the congruent than in the incongruent condition. Boxplots show subject-level reaction time distributions (median, interquartile range (IQR), 1.5× IQR whiskers; dots indicate outliers). (D) Statistical maps of main and interaction effects at the level of source reconstructed neural activity. β, β-band activity (9 to 33 Hz); γhigh, high-frequency (64 to 140 Hz) γ-band activity (adapted from [11]).\nHaving established at the behavioral level that the stimulus interference inhibition component of the Emo–Flanker task predicts the SR proxy score, we now aimed to investigate whether the brain network activity involved in this task can also predict resilience scores. Therefore, we recap our previous results [14–16] and then focus on the neurophysiological findings that correlate with resilience.\nWe have previously determined significant neural sources in the Emo–Flanker task utilizing a 2 × 2 cluster permutation analysis of variance (ANOVA) with 3 factors: Emotion (Negative versus Neutral), Cognition (Incongruent versus Congruent), and the Interaction of Emotion and Cognition [(Incongruent Negative − Incongruent Neutral) − (Congruent Negative − Congruent Neutral)] [14–16]. The results can be delineated into 3 pivotal observations. Firstly, a widespread activation was observed in the brain during the main effect of emotion in the β band (see Fig. 2D, left) and the γ band. This primarily affects the frontal regions, with considerable influence on the parietal and occipital lobes. In contrast, only a few regions, such as the IFG, demonstrated significance in the main effect of cognition. Secondly, the rIFG was the sole source exhibiting significant activity modulation across all 3 contrasts (n = 103 participant datasets in final analyses): the main effects of emotion (rIFG pars orbitalis, Montreal Neurological Institute (MNI) peak coordinates x = 45, y = 40, z = 0, F = 10.4, P < 1.9996e−04), cognition (rIFG pars opercularis, MNI peak coordinates x = 55, y = 10, z = 10, F = 7.9, P < 1.9996e−04), and the interaction effect (rIFG pars triangularis, MNI peak coordinates x = 45, y = 40, z = 20, F = 9.6, P < 1.9996e−04)—all occurring in the β band (Fig. 2D). The activation of the rIFG (in its 3 subdivisions) in all 3 contrasts underscores its pivotal role in modulating emotion, cognition, and their interaction effects. Thirdly, in the interaction contrast, 2 posterior sources, namely, the precuneus (n = 103, MNI peak coordinates x = −5, y = −60, z = 30, F = 7.8551, P < 1.9996e−04) and visual area V2 (n = 103, MNI peak coordinates x = 5, y = −80, z = 20, F = 7.9948, P < 1.9996e−04), exhibited a significant emotion–cognition interaction effect (refer to Fig. 2D, right high γ band).\nTogether, these results suggest that the Emo–Flanker task, as an operationalization of the putative neurocognitive resilience mechanisms including stress reactivity (attentional bias), perceptual discrimination (pattern separation), and cognitive control (aversive system inhibition), activates a widespread network, extending from frontal areas to parietal and occipital regions. Interestingly, we identified the IFG as a critical hub in the interaction between emotion and cognition, along with 2 occipital areas. These identified neural sources will serve as the foundation for linking SR proxy scores and network activity in the subsequent analysis.\nNext, we aimed to investigate whether a top-down interaction from the frontal rIFG subdivisions to the occipital areas predicts the SR proxy score. Thus, we employed a Bayesian linear regression with the 7 significant Granger causality (GC) links, found in [14–16], as predictors. In Fig. 3A, we reported the result with the highest effect (all predictors results can be found in Fig. S2).\nSR proxy scores impact long-range information flow and statistical interaction effects in spectral power at the source level. (A) Posterior distributions and 94% HDI for Bayesian linear regression of SR proxy scores against various long-range information flows in multiple frequency bands (α, β, γ) assessed by Granger causality (GC) from IFGTri to V2; only the most influential regression coefficient is shown. (B) Interactions [i.e., double differences, (Incongruent Negative − Incongruent Neutral) − (Congruent Negative − Congruent Neutral)] in β- and γ-band spectral power in an individual subject. Colored dots mark the time–frequency locations of the numerically lowest and highest interactions. The corresponding values for each subject entered the regression analysis in (C). (C) Posterior distributions and 94% HDI for Bayesian linear regression of the SR proxy score against interactions in the spectral power in the time–frequency domain.\nThe long-range connectivity (GC) IFGTri to visual cortex area 2 (V2) had the strongest negative relationship with the SR proxy score λ = −0.48, [−0.93, −0.032], while the GC link IFGTri to precuneus had a small positive effect λ = 0.26, [−0.14, 0.67] (see Fig. S2). None of the other GC links showed any relationship with the SR proxy score (see Fig. S2). To determine whether IFGTri and V2 are key regions for predicting SR proxy score, we performed a Bayesian linear regression analysis of identified minimum and maximum β-power interaction (in the range of 10 to 44 Hz) for IFGTri and γ-power interaction (in a frequency range of 44 to 160 Hz for V2) (see Fig. 3B). Multiple Bayesian models were evaluated, including models with only minimum and maximum β power for IFGTri, minimum and maximum γ power for V2, a model with only minimum IFGTri β-band and maximum V2 γ-band activity, and a full model with all predictors (see Methods). After comparing these models, we found that the combined model—using only the minimum β-power interaction in the rIFGTri and the maximum γ power interaction in V2—provided the strongest predictive accuracy for SR proxy score. In this final model, both predictors demonstrated a strong negative effect on SR proxy score, with the minimum β-power interaction in IFGTri [λ = −0.24, confidence interval (CI) = [−0.42, −0.052]] and the maximum γ-power interaction in V2 (λ = −0.18, CI = [−0.36, 0.0079]) showing significant associations (see Fig. 3C). These results suggest that the activity in these specific frequency bands in IFGTri and V2 is critical for accurately predicting SR proxy score (for full model comparisons results, see Table S1).\nIn this analysis, we tested whether there is a link between the SR proxy score and network activity in terms of top-down modulation. We found that lower long-range connectivity (GC) activity from IFGTri to V2 is associated to a higher SR proxy score, i.e., lower resilience, indicating that the strength of the top-down modulation in the β band to occipital is predictive of resilience. To corroborate these findings, we examined individual sources (IFGTri and V2) by analyzing their minimum β power and maximum γ power. We found that oscillatory activity within these frequency bands also correlated with SR proxy score. The negative relationship between the minimum β-power interaction and SR proxy score indicates that a higher inhibitory activity in the IFGTri is associated with a higher individual resilience (see Discussion).\nHence, we established the association of resilience with fronto-occipital β-oscillatory modulation, indicating a pivotal role for visual perceptual processing. The behavioral association of a reaction time interference effect with resilience and this macro-circuit modulation hinted at an involvement of the neurocognitive resilience mechanism of perceptual discrimination. Therefore, we ask the question if there is a micro-circuit correspondence within the visual system. For that, we used the well-established CSD mouse model paradigm in combination with the micro-circuit neuroimaging and a visual discrimination task as described in the following paragraphs.\nWe subjected male BL6 mice to a CSD paradigm to mimic severe stress exposure. The experimental animals were exposed to a daily changing aggressor over 10 consecutive days (Fig. 1B, I to III). The experimental mouse remained in the aggressors’ cage for the following 24 h. Subsequent to the CSD, an SI test was carried out (Fig. 1B). As a proxy for stress resilience, the SI score was calculated (see Methods: Animal—CSD and SI test). A high SI score signifies that the mouse spent comparably more time in proximity to the separated aggressor. This behavioral signature has been associated with higher stress resilience, with the mouse being able to differentiate between the contexts [12,17]. The mouse perceives that the aggressor is not posing a thread and engages in an SI. The SI scores of the 11 animals included in the study ranged between 15 and 162 (Fig. 1B). The SI scores were also assessed from the control group, which did not undergo prior CSD (Table S1). It is important to note that the surgical procedures required for longitudinal 2-photon calcium imaging were performed after the CSD/SI. This is to avoid any impact on social behavior and interaction by either the surgery or the head holder (Fig. 1D). We focused on the recordings of local cortical microcircuit activity in the primary visual cortex (V1), specifically expressing the genetically encoded calcium indicator GCaMP6f in excitatory neurons. The animals were allowed to recover for 4 weeks post-surgery to ensure stable and strong GCaMP6f expression [18]. Importantly, the animals were carefully habituated to the head fixation. They did not display any signs of discomfort throughout the imaging experiments (Fig. 1F). We proceeded to conduct functional fast full-field 2-photon calcium imaging in the awake animal, utilizing a spherical polystyrene treadmill to assess locomotion during the experiments (Fig. 1F). The animal was surrounded by a 270° monitor ring, for providing visual stimulation. Intracellular calcium fluctuations were detected and served as a proxy for the identification of putatively action potential (AP)-related calcium transients in layer II/III of V1 [19,20] (Fig. 1F).\nIn all animals included in this study, we could identify the functional signature of local networks in layers II/III of V1 (Fig. 4D to G). We did not observe any differences in terms of cellular density between the animals (Fig. 4C). No signs of elevated cellular disintegration could be observed either. The excitatory neurons exhibited typical sparse spontaneous calcium transients, passing our criteria for putative AP-related events [18]. We quantified the average activity rate on a single neuron basis. Based on the beforementioned classification, we grouped the animals in the resilient and nonresilient categories (Fig. 4H) and found a significant positive shift in cortical microcircuit activity (Fig. 4I and J). The amplitude of calcium transients showed a similar shift between resilient and nonresilient animals (Fig. 4K). Measurements of the same microcircuit were performed 1 week later in a resilient and a nonresilient mouse. We compared the activity levels of all neurons within an animal that could be colocalized in both measurement time points. Single neurons comprised a shift in the activity rates, but the activity signature of the microcircuit in its entirety did not change, independent of the behavioral outcome of chronic stress exposure (Fig. S3). This suggests that the functional architecture remains at least metastable.\nLocal network activity in V1 reflects resilience. (A) Schematic illustration of assessment of spontaneous ongoing neuronal activity. Surrounding screens were turned off during initial measurement to guarantee the absence of visual stimuli. (B) Light sheet microscopy image showing the injection site of GCaMP6f expression. The injection was performed −3 mm posterior and −2.5 lateral from bregma. (C) A comparison of recorded cell densities reveals no significant difference between micrographs recorded in resilient versus nonresilient (2-sided t test, R versus NR = 0.8283). (D and F) Micrographs of microcircuits in layer II/III of the primary visual cortex, recorded by 2-photon microscopy, of a resilient (D) and nonresilient (F) animal (scale bars, 50 μm), and the corresponding intensity traces of somata within the microcircuit (E and G). (H) Boxplot of the activity frequency per animal in relation to their SI value. Whiskers indicate 5th to 95th percentiles. (I) Boxplot of the activity frequency of all recorded somata pooled together in resilient and nonresilient groups, considering n = 237 somata (R) and n = 277 somata (NR), respectively. Whiskers indicate 5th to 95th percentiles. (J) A significant difference in the cumulative distribution of activity frequencies is observed (2-sided Kolmogorov–Smirnov test, P = 0.0478). (K) Cumulative distribution of ΔF/F amplitude of individual calcium transients. Resilient mice exhibit significantly lower amplitudes per transient compared to nonresilient mice (P = 2.5328e−52, 2-sided Kolmogorov–Smirnov test).\nWe now asked whether the network dynamics of nonstressed animals, i.e., animals that never went through the CSD paradigm, is similar to resilient or to nonresilient animals, or whether it represents another—third—distinct network state. For that, we subjected mice to the SI test, which did not undergo the CSD paradigm. In all other aspects of the experimental procedures, nonstressed mice underwent the same procedures as their stressed mates. The recorded microcircuits (Fig. 5A) exhibited a neuronal density very similar to the densities of the resilient and nonresilient groups. As in both other conditions, typical sparse activity of putatively AP-related calcium transients was observed (Fig. 5B). The activity frequencies of neurons within microcircuits of nonstressed mice were compared to the results of treated groups. We found that the nonstressed group rather resembles the nonresilient group. Indeed, the resilient group displayed activity dynamics significantly differing from both the nonstressed and the nonresilient group (Fig. 5C and D). To assess if these new properties of the network emerge upon stress exposure or is it simply a stratification that had been present in the pre-stressed population, we pooled the activity signatures of both the resilient and nonresilient group (in the absence of pre-stressed measurements, which had been omitted to not impact the CSD/SI paradigm by the presence of the head holder and the cranial window). When comparing these 2 stressed groups to the nonstressed controls, a significant difference still remains both on the level of the mean activity state and on the level of the activity distribution (Fig. 5E and F).\nNonstressed animals show similar activity levels as nonresilient animals. (A) Recorded micrograph of a nonstressed animal (scale bar, 50 μm), and (B) the extracted intensity traces of areas in the field of view containing neuronal somata do not show any morphological difference to the 2 stressed groups. The average cell density was 66 ± 7 neurons. (C) Boxplots and (D) cumulative distributions of activity frequencies of all somata pooled in a nonstressed group considering that n = 171 somata show no difference toward the group of nonresilient somata but significantly differ to the resilient group (2-sided Kolmogorov–-Smirnov test, P = 0.0004, n = 171 somata). Whiskers indicate 5th to 95th percentiles. (E) Boxplots and (F) cumulative distributions of activity frequencies of all somata of the resilient and nonresilient group show a significant difference to the nonstressed group (2-sided Kolmogorov–Smirnov test, P = 0.0067). Whiskers indicate 5th to 95th percentiles. (G to I) Connectivity maps of the neuronal ensembles during task free, spontaneous activity of a resilient (G), nonresilient (H), and nonstressed (I) animal. A significant difference in distributions of correlation coefficients within neuronal networks of all animals, pooled into the stratified groups of resilient, nonresilient, and nonstressed, is observed (R versus NR: P = 5.36e−28, R versus NS: P = 4.69e−45, and NR versus NS: P = 1.28e−54, 2-sided Kolmogorov–Smirnov test).\nConducting imaging-based functional recordings such as 2-photon calcium imaging affords the assessments of network topologies [16]. We analyzed functional connectivity between neurons while at the same time encoding for their respective activity state (Fig. 5G to I). In the resilient group, the network is characterized by overall high connectivity, with a few highly interconnected hubs. This architecture is generally associated with an efficient network topology in terms of information transfer and processing [21]. In contrast, nonresilient networks are rather characterized by a uniform connectivity, with decreased connection strengths, and a significantly different connectivity matrix. This is surprising at first sight, as the overall activity state of the susceptible networks is increased [22]. Yet, particularly the highly active neurons seem to be rather poorly connected. Consequently, the high activity of these neurons seems to be rather detrimental to overall efficient network function, suggesting a maladaptive state. The nonstressed controls follow the topological organization of resilient networks.\nWe then asked whether the unique network activity signature in resilient mice is adaptive or maladaptive with regard to the representation of visual afferents. We employed a static and drifting grating stimulation paradigm while simultaneously assessing single-cell activity in layer II/III of V1 (Fig. 6A). Based on the results shown above, the question arises if a modulatory effect upon chronic stress exposure is leading to an alteration of activity patterns in resilient mice. However, to address the issue, if the effect is adaptive or maladaptive, stimulus free network behavior does not lead to an answer. We found a significant increase in the proportion of neurons in microcircuits of resilient mice displaying a fine-tuned response upon drifting grating stimulations compared to the microcircuits of nonresilient and nonstressed mice. Concurrently, microcircuits of nonresilient and nonstressed mice comprise a similar number of identified neurons exhibiting a broadening of orientation selectivity tuning (Fig. 6H and I).\nResilient animals outperform nonresilient and nonstressed mice in processing visual afferents. (A) A paradigm of static and drifting grating presentations is used for visual stimulation. The stimulation sequence is initialized by a 5-s gray screen presentation, followed by a randomized sequence of 8 grating directions (0°, 45°, 90°, 135°, 180°, 225°, 270°, and 315°), first displaying a static and then a drifting grating representation, each lasting 5 s. The sequence is presented 10 times, each time with a new randomization. (B, D, and F) Representative intensity traces recorded during visual stimulation of one sequence for a resilient (B), nonresilient (D), and nonstressed (F) animal and their corresponding polar plots of neuron response functions (C, E, and G). (H and I) The circular variance of each neuron is calculated, and all neurons are pooled into the corresponding 3 groups. Resilient neurons comprise a significantly higher proportion of well-tuned responses compared to nonresilient (P = 0.0064) and nonstressed neurons (P = 0.0001). No significant difference between nonresilient and nonstressed neurons can be detected (2-sided Kolmogorov–Smirnov test). Whiskers indicate 5th to 95th percentiles.\nWe further investigated local micro-circuits networks within V1, where the individual neurons were characterized with respect to their activity intervals (Fig. 7A). Here, the inter-event intervals (IEIs) were calculated for each neuron as a measure of the relation of silence periods with periods of neuronal activity.\nBoth in man and mouse, resilience is associated with very similar neuronal network states, characterized by an altered inter-event interval (IEI). (A) Representation of the brain area of data collection in the mouse model (left). The neurons within the field of view (right) are analyzed in terms of IEIs. (B) Cumulative distribution of IEI in resilient (blue), nonresilient (red), and nonstressed (yellow) groups. (C) Two examples of visual source time series (black signal) with identification of burst activity on filtered γ signal (white) for a resilient subject (blue) and nonresilient subject (in red). (D) Cumulative distribution of IEI in resilient (blue) and nonresilient (red) groups.\nWe found longer IEIs in resilient compared to nonresilient and nonstressed animals (2-sided Kolmogorov–Smirnov test, P < 0.001), indicating a lower burstiness of neuronal activity within the group of resilient mice (Fig. 7B). Using graph theory analyses, resilient mice showed a more pronounced and denser global micro-circuit activity compared to nonresilient mice (Fig. 7B, insets). In sum, both measures indicate an adaptive, plastic reorganization of neural microcircuits in resilient mice.\nWe then went back to our human data and examined whether human resilient and nonresilient subjects also exhibited signs of different cortical excitability in the visual cortex during baseline EEG recordings. To this end, we identified γ-burst events in the parcellated visual areas V1 and V2 and quantified cortical excitability by computing the IEI—the time elapsed between successive bursts. Consistent with findings from the animal model, resilient individuals showed significantly longer IEIs compared to nonresilient subjects (2-sided Kolmogorov–Smirnov test, P < 0.001; see Fig. 7D), suggesting lower spontaneous γ activity and excitability in the visual cortex.\n\n\n### Predictive power of emotional interference inhibition on resilience\nWe investigated whether baseline behavioral measures of emotional interference inhibition derived from the Emo–Flanker task, as an operationalization of the putative neurocognitive resilience mechanisms stress reactivity (attentional bias), perceptual discrimination (pattern separation), and cognitive control (aversive system inhibition), could predict the stressor reactivity (SR) proxy score as our resilience measure (see Fig. 1A and Human EEG—operationalization and measurement of resilience in human subjects section). Therefore, we assessed 2 distinct Bayesian regression models: one incorporating reaction times (representing the stimulus interference inhibition component, i.e., visual cognitive stimulus control) and the other incorporating accuracy metrics (representing the response inhibition component, i.e., executive inhibitory control) as predictors for the SR proxy score [12]. For reaction times, the Emotion predictor (Negative − Neutral conditions) revealed no correlation with the SR proxy score proxy λ = −0.013, [−0.2, 0.18]. No significant effect was also observed for the Cognition predictor (Incongruent − Congruent) λ = 0.013, [−0.2, 0.017]. In contrast, the Interaction predictor [(Incongruent Negative − Incongruent Neutral) − (Congruent Negative − Congruent Neutral)] exhibited a significant positive correlation with the SR proxy score proxy λ = −0.17, [−0.016, 0.36]. For accuracy, the Emotion and Cognition predictors had no relationship with the SR proxy score λ = 0.00, [−0.19, 0.2] and λ = 0.00, [−0.26, 0.26], respectively. The Interaction predictor had only a partial negative relationship with the SR proxy score, λ = −0.12, [−0.38, 0.14] (see Fig. S1). By analyzing the relationships between these behavioral measures and the SR proxy score, we identified visual cognitive stimulus control (emotional interference inhibition component as measured by reaction times predictor) as critical in forecasting resilience. Specifically, for the Interaction effect, subjects exhibiting higher reaction time disparities in the high cognitive load condition tend to have higher SR proxy scores, i.e., lower resilience (see Fig. 2B and C).\nResilience can be conceptualized in parallel in humans and mice. (A, C, and E) Human study. (B, D, and F) Study in mice. (A and B) Assessment of resilience. (A) Assessment of resilience in human, individual mental health reactivity to stressor exposure [stressor reactivity (SR) proxy score], of 117 subjects. The regression line shows the normative linear positive relationship between exposure to Life events (LEs) stressors and mental health problems. The residuals onto the regression line are subjects’ deviations from the normative stressor exposure–mental health problems relationship. A strong positive deviation reflects high susceptibility of the subject’s mental health to the effects of LEs (high SR, high SR proxy score); a strong negative deviation reflects below-average low susceptibility (low SR proxy score). (B) Assessment of resilience in mice via a testing social interactions (SIs) after exposure to an aggressor in a chronic social defeat (CSD) paradigm. (C and D) Neurophysiology. (C) EEG recording and beamformer source reconstruction in the human EEG cohort. (D) Ca2+ imaging in mice during visual stimulation via drifting gratings of different orientation. (E and F) Experimental design. (E) Performance of the Emo–Flanker task. (F) Schedule in weeks (W) for resilience testing in mice: CSD paradigm (CSD), SI test (SI), Preparation for Ca2+ imaging, Habituation to imaging setup, Ca2+ imaging.\nSR score relates to behavioral measures and source activity. (A) Posterior distributions of the regression coefficients (λ) and their 94% highest density intervals (HDIs) and the corresponding regression plots for the Bayesian linear regression of SR proxy scores against reaction time (RT) differences for neutral versus negative emotional stimuli (ΔRTemotion) (left), congruent versus incongruent Flanker stimuli (ΔRTcognition) (middle), and the interaction effect in reaction times [ΔRTinteraction = (ΔRTIncong. Neg. − ΔRTIncong. Neut.) − (ΔRTCong. Neg.−ΔRTCong. Neut.)] (right). Colored regions mark the part of the distribution below or above zero that contains the 94% HDI. If the HDI contains zero, the largest effect is highlighted in gray. (B) Conceptual explanation of the negative interaction effect as parameterized by the contrast in our study. (C) Detailed post hoc analysis of the interaction effect—The reaction time increase induced by negative emotional stimuli is higher in the congruent than in the incongruent condition. Boxplots show subject-level reaction time distributions (median, interquartile range (IQR), 1.5× IQR whiskers; dots indicate outliers). (D) Statistical maps of main and interaction effects at the level of source reconstructed neural activity. β, β-band activity (9 to 33 Hz); γhigh, high-frequency (64 to 140 Hz) γ-band activity (adapted from [11]).\n\n\n### The influence of emotions on stimulus processing primarily affects perceptual and executive areas in the human brain\nHaving established at the behavioral level that the stimulus interference inhibition component of the Emo–Flanker task predicts the SR proxy score, we now aimed to investigate whether the brain network activity involved in this task can also predict resilience scores. Therefore, we recap our previous results [14–16] and then focus on the neurophysiological findings that correlate with resilience.\nWe have previously determined significant neural sources in the Emo–Flanker task utilizing a 2 × 2 cluster permutation analysis of variance (ANOVA) with 3 factors: Emotion (Negative versus Neutral), Cognition (Incongruent versus Congruent), and the Interaction of Emotion and Cognition [(Incongruent Negative − Incongruent Neutral) − (Congruent Negative − Congruent Neutral)] [14–16]. The results can be delineated into 3 pivotal observations. Firstly, a widespread activation was observed in the brain during the main effect of emotion in the β band (see Fig. 2D, left) and the γ band. This primarily affects the frontal regions, with considerable influence on the parietal and occipital lobes. In contrast, only a few regions, such as the IFG, demonstrated significance in the main effect of cognition. Secondly, the rIFG was the sole source exhibiting significant activity modulation across all 3 contrasts (n = 103 participant datasets in final analyses): the main effects of emotion (rIFG pars orbitalis, Montreal Neurological Institute (MNI) peak coordinates x = 45, y = 40, z = 0, F = 10.4, P < 1.9996e−04), cognition (rIFG pars opercularis, MNI peak coordinates x = 55, y = 10, z = 10, F = 7.9, P < 1.9996e−04), and the interaction effect (rIFG pars triangularis, MNI peak coordinates x = 45, y = 40, z = 20, F = 9.6, P < 1.9996e−04)—all occurring in the β band (Fig. 2D). The activation of the rIFG (in its 3 subdivisions) in all 3 contrasts underscores its pivotal role in modulating emotion, cognition, and their interaction effects. Thirdly, in the interaction contrast, 2 posterior sources, namely, the precuneus (n = 103, MNI peak coordinates x = −5, y = −60, z = 30, F = 7.8551, P < 1.9996e−04) and visual area V2 (n = 103, MNI peak coordinates x = 5, y = −80, z = 20, F = 7.9948, P < 1.9996e−04), exhibited a significant emotion–cognition interaction effect (refer to Fig. 2D, right high γ band).\nTogether, these results suggest that the Emo–Flanker task, as an operationalization of the putative neurocognitive resilience mechanisms including stress reactivity (attentional bias), perceptual discrimination (pattern separation), and cognitive control (aversive system inhibition), activates a widespread network, extending from frontal areas to parietal and occipital regions. Interestingly, we identified the IFG as a critical hub in the interaction between emotion and cognition, along with 2 occipital areas. These identified neural sources will serve as the foundation for linking SR proxy scores and network activity in the subsequent analysis.\n\n\n### Top-down modulation from the rIFG to the visual cortex and power spectra interference in the human brain predict resilience\nNext, we aimed to investigate whether a top-down interaction from the frontal rIFG subdivisions to the occipital areas predicts the SR proxy score. Thus, we employed a Bayesian linear regression with the 7 significant Granger causality (GC) links, found in [14–16], as predictors. In Fig. 3A, we reported the result with the highest effect (all predictors results can be found in Fig. S2).\nSR proxy scores impact long-range information flow and statistical interaction effects in spectral power at the source level. (A) Posterior distributions and 94% HDI for Bayesian linear regression of SR proxy scores against various long-range information flows in multiple frequency bands (α, β, γ) assessed by Granger causality (GC) from IFGTri to V2; only the most influential regression coefficient is shown. (B) Interactions [i.e., double differences, (Incongruent Negative − Incongruent Neutral) − (Congruent Negative − Congruent Neutral)] in β- and γ-band spectral power in an individual subject. Colored dots mark the time–frequency locations of the numerically lowest and highest interactions. The corresponding values for each subject entered the regression analysis in (C). (C) Posterior distributions and 94% HDI for Bayesian linear regression of the SR proxy score against interactions in the spectral power in the time–frequency domain.\nThe long-range connectivity (GC) IFGTri to visual cortex area 2 (V2) had the strongest negative relationship with the SR proxy score λ = −0.48, [−0.93, −0.032], while the GC link IFGTri to precuneus had a small positive effect λ = 0.26, [−0.14, 0.67] (see Fig. S2). None of the other GC links showed any relationship with the SR proxy score (see Fig. S2). To determine whether IFGTri and V2 are key regions for predicting SR proxy score, we performed a Bayesian linear regression analysis of identified minimum and maximum β-power interaction (in the range of 10 to 44 Hz) for IFGTri and γ-power interaction (in a frequency range of 44 to 160 Hz for V2) (see Fig. 3B). Multiple Bayesian models were evaluated, including models with only minimum and maximum β power for IFGTri, minimum and maximum γ power for V2, a model with only minimum IFGTri β-band and maximum V2 γ-band activity, and a full model with all predictors (see Methods). After comparing these models, we found that the combined model—using only the minimum β-power interaction in the rIFGTri and the maximum γ power interaction in V2—provided the strongest predictive accuracy for SR proxy score. In this final model, both predictors demonstrated a strong negative effect on SR proxy score, with the minimum β-power interaction in IFGTri [λ = −0.24, confidence interval (CI) = [−0.42, −0.052]] and the maximum γ-power interaction in V2 (λ = −0.18, CI = [−0.36, 0.0079]) showing significant associations (see Fig. 3C). These results suggest that the activity in these specific frequency bands in IFGTri and V2 is critical for accurately predicting SR proxy score (for full model comparisons results, see Table S1).\nIn this analysis, we tested whether there is a link between the SR proxy score and network activity in terms of top-down modulation. We found that lower long-range connectivity (GC) activity from IFGTri to V2 is associated to a higher SR proxy score, i.e., lower resilience, indicating that the strength of the top-down modulation in the β band to occipital is predictive of resilience. To corroborate these findings, we examined individual sources (IFGTri and V2) by analyzing their minimum β power and maximum γ power. We found that oscillatory activity within these frequency bands also correlated with SR proxy score. The negative relationship between the minimum β-power interaction and SR proxy score indicates that a higher inhibitory activity in the IFGTri is associated with a higher individual resilience (see Discussion).\nHence, we established the association of resilience with fronto-occipital β-oscillatory modulation, indicating a pivotal role for visual perceptual processing. The behavioral association of a reaction time interference effect with resilience and this macro-circuit modulation hinted at an involvement of the neurocognitive resilience mechanism of perceptual discrimination. Therefore, we ask the question if there is a micro-circuit correspondence within the visual system. For that, we used the well-established CSD mouse model paradigm in combination with the micro-circuit neuroimaging and a visual discrimination task as described in the following paragraphs.\n\n\n### Combining CSD and SI with 2-photon neuronal microcircuit recordings in the visual cortex in awake mice\nWe subjected male BL6 mice to a CSD paradigm to mimic severe stress exposure. The experimental animals were exposed to a daily changing aggressor over 10 consecutive days (Fig. 1B, I to III). The experimental mouse remained in the aggressors’ cage for the following 24 h. Subsequent to the CSD, an SI test was carried out (Fig. 1B). As a proxy for stress resilience, the SI score was calculated (see Methods: Animal—CSD and SI test). A high SI score signifies that the mouse spent comparably more time in proximity to the separated aggressor. This behavioral signature has been associated with higher stress resilience, with the mouse being able to differentiate between the contexts [12,17]. The mouse perceives that the aggressor is not posing a thread and engages in an SI. The SI scores of the 11 animals included in the study ranged between 15 and 162 (Fig. 1B). The SI scores were also assessed from the control group, which did not undergo prior CSD (Table S1). It is important to note that the surgical procedures required for longitudinal 2-photon calcium imaging were performed after the CSD/SI. This is to avoid any impact on social behavior and interaction by either the surgery or the head holder (Fig. 1D). We focused on the recordings of local cortical microcircuit activity in the primary visual cortex (V1), specifically expressing the genetically encoded calcium indicator GCaMP6f in excitatory neurons. The animals were allowed to recover for 4 weeks post-surgery to ensure stable and strong GCaMP6f expression [18]. Importantly, the animals were carefully habituated to the head fixation. They did not display any signs of discomfort throughout the imaging experiments (Fig. 1F). We proceeded to conduct functional fast full-field 2-photon calcium imaging in the awake animal, utilizing a spherical polystyrene treadmill to assess locomotion during the experiments (Fig. 1F). The animal was surrounded by a 270° monitor ring, for providing visual stimulation. Intracellular calcium fluctuations were detected and served as a proxy for the identification of putatively action potential (AP)-related calcium transients in layer II/III of V1 [19,20] (Fig. 1F).\n\n\n### Resilient mice exhibit lower spontaneous activity levels in neuronal microcircuits of the primary visual cortex\nIn all animals included in this study, we could identify the functional signature of local networks in layers II/III of V1 (Fig. 4D to G). We did not observe any differences in terms of cellular density between the animals (Fig. 4C). No signs of elevated cellular disintegration could be observed either. The excitatory neurons exhibited typical sparse spontaneous calcium transients, passing our criteria for putative AP-related events [18]. We quantified the average activity rate on a single neuron basis. Based on the beforementioned classification, we grouped the animals in the resilient and nonresilient categories (Fig. 4H) and found a significant positive shift in cortical microcircuit activity (Fig. 4I and J). The amplitude of calcium transients showed a similar shift between resilient and nonresilient animals (Fig. 4K). Measurements of the same microcircuit were performed 1 week later in a resilient and a nonresilient mouse. We compared the activity levels of all neurons within an animal that could be colocalized in both measurement time points. Single neurons comprised a shift in the activity rates, but the activity signature of the microcircuit in its entirety did not change, independent of the behavioral outcome of chronic stress exposure (Fig. S3). This suggests that the functional architecture remains at least metastable.\nLocal network activity in V1 reflects resilience. (A) Schematic illustration of assessment of spontaneous ongoing neuronal activity. Surrounding screens were turned off during initial measurement to guarantee the absence of visual stimuli. (B) Light sheet microscopy image showing the injection site of GCaMP6f expression. The injection was performed −3 mm posterior and −2.5 lateral from bregma. (C) A comparison of recorded cell densities reveals no significant difference between micrographs recorded in resilient versus nonresilient (2-sided t test, R versus NR = 0.8283). (D and F) Micrographs of microcircuits in layer II/III of the primary visual cortex, recorded by 2-photon microscopy, of a resilient (D) and nonresilient (F) animal (scale bars, 50 μm), and the corresponding intensity traces of somata within the microcircuit (E and G). (H) Boxplot of the activity frequency per animal in relation to their SI value. Whiskers indicate 5th to 95th percentiles. (I) Boxplot of the activity frequency of all recorded somata pooled together in resilient and nonresilient groups, considering n = 237 somata (R) and n = 277 somata (NR), respectively. Whiskers indicate 5th to 95th percentiles. (J) A significant difference in the cumulative distribution of activity frequencies is observed (2-sided Kolmogorov–Smirnov test, P = 0.0478). (K) Cumulative distribution of ΔF/F amplitude of individual calcium transients. Resilient mice exhibit significantly lower amplitudes per transient compared to nonresilient mice (P = 2.5328e−52, 2-sided Kolmogorov–Smirnov test).\n\n\n### Nonstressed animals exhibit activity dynamics close to the dynamics of nonresilient animals\nWe now asked whether the network dynamics of nonstressed animals, i.e., animals that never went through the CSD paradigm, is similar to resilient or to nonresilient animals, or whether it represents another—third—distinct network state. For that, we subjected mice to the SI test, which did not undergo the CSD paradigm. In all other aspects of the experimental procedures, nonstressed mice underwent the same procedures as their stressed mates. The recorded microcircuits (Fig. 5A) exhibited a neuronal density very similar to the densities of the resilient and nonresilient groups. As in both other conditions, typical sparse activity of putatively AP-related calcium transients was observed (Fig. 5B). The activity frequencies of neurons within microcircuits of nonstressed mice were compared to the results of treated groups. We found that the nonstressed group rather resembles the nonresilient group. Indeed, the resilient group displayed activity dynamics significantly differing from both the nonstressed and the nonresilient group (Fig. 5C and D). To assess if these new properties of the network emerge upon stress exposure or is it simply a stratification that had been present in the pre-stressed population, we pooled the activity signatures of both the resilient and nonresilient group (in the absence of pre-stressed measurements, which had been omitted to not impact the CSD/SI paradigm by the presence of the head holder and the cranial window). When comparing these 2 stressed groups to the nonstressed controls, a significant difference still remains both on the level of the mean activity state and on the level of the activity distribution (Fig. 5E and F).\nNonstressed animals show similar activity levels as nonresilient animals. (A) Recorded micrograph of a nonstressed animal (scale bar, 50 μm), and (B) the extracted intensity traces of areas in the field of view containing neuronal somata do not show any morphological difference to the 2 stressed groups. The average cell density was 66 ± 7 neurons. (C) Boxplots and (D) cumulative distributions of activity frequencies of all somata pooled in a nonstressed group considering that n = 171 somata show no difference toward the group of nonresilient somata but significantly differ to the resilient group (2-sided Kolmogorov–-Smirnov test, P = 0.0004, n = 171 somata). Whiskers indicate 5th to 95th percentiles. (E) Boxplots and (F) cumulative distributions of activity frequencies of all somata of the resilient and nonresilient group show a significant difference to the nonstressed group (2-sided Kolmogorov–Smirnov test, P = 0.0067). Whiskers indicate 5th to 95th percentiles. (G to I) Connectivity maps of the neuronal ensembles during task free, spontaneous activity of a resilient (G), nonresilient (H), and nonstressed (I) animal. A significant difference in distributions of correlation coefficients within neuronal networks of all animals, pooled into the stratified groups of resilient, nonresilient, and nonstressed, is observed (R versus NR: P = 5.36e−28, R versus NS: P = 4.69e−45, and NR versus NS: P = 1.28e−54, 2-sided Kolmogorov–Smirnov test).\nConducting imaging-based functional recordings such as 2-photon calcium imaging affords the assessments of network topologies [16]. We analyzed functional connectivity between neurons while at the same time encoding for their respective activity state (Fig. 5G to I). In the resilient group, the network is characterized by overall high connectivity, with a few highly interconnected hubs. This architecture is generally associated with an efficient network topology in terms of information transfer and processing [21]. In contrast, nonresilient networks are rather characterized by a uniform connectivity, with decreased connection strengths, and a significantly different connectivity matrix. This is surprising at first sight, as the overall activity state of the susceptible networks is increased [22]. Yet, particularly the highly active neurons seem to be rather poorly connected. Consequently, the high activity of these neurons seems to be rather detrimental to overall efficient network function, suggesting a maladaptive state. The nonstressed controls follow the topological organization of resilient networks.\n\n\n### Resilient microcircuits surpass nonresilient and nonstressed microcircuits in the accuracy of the representation of visual afferents\nWe then asked whether the unique network activity signature in resilient mice is adaptive or maladaptive with regard to the representation of visual afferents. We employed a static and drifting grating stimulation paradigm while simultaneously assessing single-cell activity in layer II/III of V1 (Fig. 6A). Based on the results shown above, the question arises if a modulatory effect upon chronic stress exposure is leading to an alteration of activity patterns in resilient mice. However, to address the issue, if the effect is adaptive or maladaptive, stimulus free network behavior does not lead to an answer. We found a significant increase in the proportion of neurons in microcircuits of resilient mice displaying a fine-tuned response upon drifting grating stimulations compared to the microcircuits of nonresilient and nonstressed mice. Concurrently, microcircuits of nonresilient and nonstressed mice comprise a similar number of identified neurons exhibiting a broadening of orientation selectivity tuning (Fig. 6H and I).\nResilient animals outperform nonresilient and nonstressed mice in processing visual afferents. (A) A paradigm of static and drifting grating presentations is used for visual stimulation. The stimulation sequence is initialized by a 5-s gray screen presentation, followed by a randomized sequence of 8 grating directions (0°, 45°, 90°, 135°, 180°, 225°, 270°, and 315°), first displaying a static and then a drifting grating representation, each lasting 5 s. The sequence is presented 10 times, each time with a new randomization. (B, D, and F) Representative intensity traces recorded during visual stimulation of one sequence for a resilient (B), nonresilient (D), and nonstressed (F) animal and their corresponding polar plots of neuron response functions (C, E, and G). (H and I) The circular variance of each neuron is calculated, and all neurons are pooled into the corresponding 3 groups. Resilient neurons comprise a significantly higher proportion of well-tuned responses compared to nonresilient (P = 0.0064) and nonstressed neurons (P = 0.0001). No significant difference between nonresilient and nonstressed neurons can be detected (2-sided Kolmogorov–Smirnov test). Whiskers indicate 5th to 95th percentiles.\n\n\n### Lower spontaneous visual network activity in mice and humans\nWe further investigated local micro-circuits networks within V1, where the individual neurons were characterized with respect to their activity intervals (Fig. 7A). Here, the inter-event intervals (IEIs) were calculated for each neuron as a measure of the relation of silence periods with periods of neuronal activity.\nBoth in man and mouse, resilience is associated with very similar neuronal network states, characterized by an altered inter-event interval (IEI). (A) Representation of the brain area of data collection in the mouse model (left). The neurons within the field of view (right) are analyzed in terms of IEIs. (B) Cumulative distribution of IEI in resilient (blue), nonresilient (red), and nonstressed (yellow) groups. (C) Two examples of visual source time series (black signal) with identification of burst activity on filtered γ signal (white) for a resilient subject (blue) and nonresilient subject (in red). (D) Cumulative distribution of IEI in resilient (blue) and nonresilient (red) groups.\nWe found longer IEIs in resilient compared to nonresilient and nonstressed animals (2-sided Kolmogorov–Smirnov test, P < 0.001), indicating a lower burstiness of neuronal activity within the group of resilient mice (Fig. 7B). Using graph theory analyses, resilient mice showed a more pronounced and denser global micro-circuit activity compared to nonresilient mice (Fig. 7B, insets). In sum, both measures indicate an adaptive, plastic reorganization of neural microcircuits in resilient mice.\nWe then went back to our human data and examined whether human resilient and nonresilient subjects also exhibited signs of different cortical excitability in the visual cortex during baseline EEG recordings. To this end, we identified γ-burst events in the parcellated visual areas V1 and V2 and quantified cortical excitability by computing the IEI—the time elapsed between successive bursts. Consistent with findings from the animal model, resilient individuals showed significantly longer IEIs compared to nonresilient subjects (2-sided Kolmogorov–Smirnov test, P < 0.001; see Fig. 7D), suggesting lower spontaneous γ activity and excitability in the visual cortex.\n\n\n### Discussion and Conclusion\nIn the context of the failure to reduce mental disorder prevalence by pathophysiological oriented research [5] and “facing a second pandemic of mood and anxiety disorders” [23] induced by major disruptive events in recent years (COVID pandemic, wars, climate change), the understanding of resilience to stress-related disorder [24] and its neurobiological mechanisms [5,23] has come into the focus of biomedical research to develop both biologically rooted prevention and innovative therapeutic approaches for stress-related disorder [5,23,25].\nNeurobiological research on all scalar levels of biology is crucial for unraveling the mechanisms of resilience [5,9,23,26]. On the neuroanatomical level, studies in both humans and laboratory animals have identified several key brain regions and systems involved. Prominently featured are the hippocampus, the prefrontal cortex (PFC), and the reward system [9]. Less attention has been paid to other brain systems such as the perceptual/sensory system as well as to the cross-talk between the putative neurocognitive domains and brain systems of resilience, especially the information flow between perceptual (occipital, parietal, and temporal areas) and executive (frontal) brain systems. Resilience is also increasingly understood as an active process mediated by distinct molecular, cellular, and circuit adaptations. These adaptations include changes in neuroplasticity, the brain’s ability to reorganize, as well as molecular, e.g., transcriptional and epigenetic, mechanisms [26]. While some active adaptive changes have been exemplified on the molecular {e.g., KCNQ [potassium voltage-gated channel subfamily Q (genes encoding Kv7 channels)] channels in the ventral tegmental area (VTA)} and cellular level (e.g. neurogenesis in the hippocampus), evidence on the neural microcircuit level and in relation to communication between brain systems (macrocircuit level) is rather sparse (e.g. [27,28]).\nHere, we provide first translational evidence for adaptive plasticity of visual microcircuits and top-down microcircuit modulation of the visual system as a neurobiological resilience mechanism on the neural systems level in men and mice. We show on the human level that microcircuit adaptive plasticity relates to the cross-talk between neurocognitive domains (executive and perceptual) and brain systems (frontal and occipital) in certain oscillatory domains (frontal IFGTri in β band and occipital V2 in γ band). Furthermore, going beyond previous resilience studies, our data also provide additional evidence that there is, beside the relationship of phenotypic resilience with neural macro- and microcircuit plasticity and related to both, a better behavioral performance in neurocognitive domains of putative importance in resilience processes, namely, perceptual discrimination (pattern separation) and cognitive control (aversive system inhibition) in resilient mice and men, respectively. This indicates that resilience processes on the neural system level are active processes and not mere passive adjustments to stress as previously shown on the molecular level [26], and they can lead to a behavioral gain of function—at least in the mouse model—a phenomenon described as posttraumatic growth [29] or stress inoculation [30].\nBoth instances of resilience-related plasticity of visual microcircuits, i.e., lower spontaneous activity (Fig. 4), including longer IEIs (Fig. 7B) with a more pronounced and denser global micro-circuit activity (Fig. 7B, inset) and more well-tuned task-related neuronal responses (Fig. 6), are present at least 5 to 6 weeks after the induction of resilience by the CSD paradigm in our study; hence, they are meta-stable in an at least intermediate time frame. However, due to the temporal design of our study, we cannot draw any conclusions to the molecular and cellular mechanisms inducing microcircuit plasticity during the CSD paradigm. Intriguingly, Li et al. [27] showed for the auditory system, using the very same CSD paradigm, that in the primary auditory cortex (temporal area A1), parvalbumin (PV) interneurons are activated by a short-term hyperpolarization of thalamic inputs that elicits brain-derived neurotrophic factor–tropomyosin receptor kinase B (BDNF–TrkB)-dependent presynaptic synaptogenesis to promote resilience. The authors observed this effect at the very beginning of the CSD paradigm (day 1), while they found lower A1 activity after 10 d as measures by c-Fos intensity in layers 2/3 to 4 in resilient mice versus controls—resembling our meta-stable findings of lower activity in the visual cortex. However, this interplay between a macrocircuit (cortico-thalamic) and microcircuit (L2/3 presynaptic BDNF–TrkB signaling) mechanism [27] may not be the only (micro-)circuit plasticity mechanism. Social stress resilience also includes aspects implicated in the function of sensory cortical areas, which are critically important in several aspects of resilience. One aspect is sensory discrimination. If an animal—or a human being—is better in identifying a sensory context, a point in the sensory parameter space, it—or he or she—may be better equipped for discerning a context that is directly associated to a previous social stressor, in contrast to a nonthreatening environment. These sensory parameter spaces also include the visual environment. Visual afferents, along the visual path, are cortically first represented in the primary visual cortex. Within the primary visual cortex, particularly layers II/III are highly interconnected and tasked with the representation, computation, and dissemination of the visual parameter space. How accurate the visual parameter space is encoded can be measured by assigning the accuracy of tuning for a given movement. Orientation tuning is a key parameter, very sensitive toward, e.g., early impacts of neurodegenerative disorders [31–33]. Here, we did not focus on early signs of disease. We asked whether a social resilient animal might be better equipped to map the visual parameter space. Indeed, we found that resilient animals generate a more precise representation of the outside visual world, which, in turn, informs higher-order circuits, and which can then differentially affect the phenotypic response. Indeed, particularly in the field of stress resilience, one of the resilience mechanisms might be a better discrimination ability [34–38]. Very recent studies in post-traumatic stress disorder (PTSD) in humans indeed suggest that visual cortical structural covariances are negatively associated with PTSD symptoms, pointing toward the important role of sensory cortical structure and function in resilience and beyond [39]. To discern the mechanisms of local mechanism of resilience-related microcircuit plasticity in the visual domain, future studies with a complementary temporal design (e.g., [27]) are needed.\nOn the macrocircuit level, we found that the strength of the top-down modulation by frontal β band onto occipital γ-band oscillatory activity is predictive of resilience in a task-dependent manner (Figs. 2 and 3). In addition, baseline γ-band burst activity was lower in more resilient individuals (Fig. 7D)—comparable to a lower spontaneous single-cell activity in resilient mice. This indicates that the state of visual cortex γ-band oscillatory activity in humans is, in addition to the single-cell activity shown in mice, a determinant of a resilient state on the neural network level. But how, potentially, do the observed neural activity determinants of the macro-circuit-level (γ-band oscillatory activity) and micro-circuit-level [lower (excitatory) single-cell activity] intersect mechanistically? An intriguing possibility may again involve the PV interneurons. PV interneurons are one class of interneurons that are crucial for controlling γ-band oscillatory activity in a broad range of neural networks [40], also in the visual cortex in connection to perceptual discrimination behavior [41]. Through fast perisomatic inhibition, PV interneurons exert powerful inhibitory gating that structures population-level synchrony while suppressing unstructured excitatory firing [42]. Intriguingly, PV + neurons sense (and are able to influence) various frequency bands generated by cortical networks: from δ to γ [43]. Thus, this inhibitory gating mechanism is able to induce both the reduced spontaneous neuronal (somatic) activity observed in mouse calcium recordings (slow wave bursts) and the lower γ burstiness observed in human EEG. Importantly, such PV-mediated inhibitory control not only stabilizes network dynamics but also can enhance circuit performance by increasing the signal-to-noise ratio and promoting more efficient, task-relevant neural processing. Together, these findings suggest that enhanced PV-mediated inhibition may represent a conserved circuit-level signature of resilience across species [44,45]. In this context, the correspondence between rIFG dynamics in humans and prefrontal activity in rodents should be understood as functional rather than anatomical, reflecting shared principles of top-down inhibitory control rather than direct structural homology. Consistent with this interpretation, PV interneurons have recently been implicated as key excitatory/inhibitory-balance regulators in the CSD mouse model paradigm for resilience in intermediate range (thalamo–A1 cortical) [27] and long-range (amygdala–dorsomedial) PFC [28], determining resilient behavior. Human multi-modal neurophysiological assessments [e.g., EEG/magnetoencephalography (MEG) with diffusion tensor imaging (DTI)/structural magnetic resonance imaging (sMRI)] and modelling informed by translational neural mass models [46] will help to test this hypothesis on the macrocircuit and whole-brain level.\nThe current data show a better behavioral performance in neurocognitive domains of putative importance in resilience processes [9], namely, perceptual discrimination (pattern separation) in mice (Fig. 6) and cognitive control (aversive system inhibition) in humans (Fig. 2) in relation to phenotypic resilience and its neurophysiological correlates. By that, these data provide evidence that those 2 neurocognitive domains indeed are connected to resilience. However, the design of the human experiment does not allow to differentiate between the possibilities that resilience leads to better cognitive control or vice versa. Given the strong support for reappraisal as a resilience mechanism [9], a previous cognitive control training study led to improved reappraisal performance with better emotional control [47], indirectly suggesting that cognitive control may be able to enhance resilience. In our mouse model though, the comparison to the nonstressed control group (Figs. 5 and 6) cautiously indicates that resilience or at least the process of acquiring resilience is accompanied by an improvement of perceptual discrimination performance. This gain of behavioral functioning thereby constitutes a neurobiological example of posttraumatic growth [29] and/or stress inoculation [30]. Previous research also supports the idea that one of the resilience mechanisms might be a better discrimination ability [34–38].\nResilient outcomes in our translational model are related to noncontinuous network states as indicated in their distinct micro-neural (single-neuron activity) and macro-neural (β-/γ-band oscillatory activity) network activity. The temporal delay in the mouse model (see Microcircuit plasticity in the visual cortex may potentially be induced by a short-term neuronal mechanism in resilient mice), in addition, implies that those network states are also metastable and self-stabilizing. We have recently argued that neural networks attempt to achieve a state that is temporarily stable (a notion we refer to as the selfish network) independent of the aim of preserving long-term functionality in the context of brain diseases [48]. The present data may constitute a first instance of neural network state transitions in the context of a healthy, resilient response of brain to psychosocial stress, i.e., metastable, self-stabilizing, and noncontinuous neural network states of resilience. We have suggested that such network state transitions follow attractor-like dynamics and their formal assessment will enable us to develop new network-based interventions to foster resilience [48]. Importantly, our idea of a distinct entity of metastable, self-stabilizing, and noncontinuous neural network states of resilience must be seen on the backdrop of the notion of a bound brain [49–51], i.e., that cortical areas become dynamically bound into functional networks by synchronization in a task- and state-dependent way. Indeed, our translational data exactly imply such a functional network bound in a task- and state-dependent way consisting of prefrontal–occipital neural network states of resilience.\nThese results suggest that there is an instance of resilience at the neural systems level that involves active, dynamic processes rather than being merely passive responses to stress including functional network regions such as the visual cortex formerly unattended in resilience research. The results also constitute a first example that neural network states of resilience are metastable, self-stabilizing, and noncontinuous entities that could serve as a target for new neural network interventions (e.g., targeted stimulation such as EEG-triggered transcranial magnetic stimulation (TMS) or γ entrainment using sensory stimulation [40,52] for fostering resilience).\n\n\n### Neurobiological resilience and performance gain through visual microcircuits plasticity and fronto-occipital β- on γ-oscillatory modulation\nIn the context of the failure to reduce mental disorder prevalence by pathophysiological oriented research [5] and “facing a second pandemic of mood and anxiety disorders” [23] induced by major disruptive events in recent years (COVID pandemic, wars, climate change), the understanding of resilience to stress-related disorder [24] and its neurobiological mechanisms [5,23] has come into the focus of biomedical research to develop both biologically rooted prevention and innovative therapeutic approaches for stress-related disorder [5,23,25].\nNeurobiological research on all scalar levels of biology is crucial for unraveling the mechanisms of resilience [5,9,23,26]. On the neuroanatomical level, studies in both humans and laboratory animals have identified several key brain regions and systems involved. Prominently featured are the hippocampus, the prefrontal cortex (PFC), and the reward system [9]. Less attention has been paid to other brain systems such as the perceptual/sensory system as well as to the cross-talk between the putative neurocognitive domains and brain systems of resilience, especially the information flow between perceptual (occipital, parietal, and temporal areas) and executive (frontal) brain systems. Resilience is also increasingly understood as an active process mediated by distinct molecular, cellular, and circuit adaptations. These adaptations include changes in neuroplasticity, the brain’s ability to reorganize, as well as molecular, e.g., transcriptional and epigenetic, mechanisms [26]. While some active adaptive changes have been exemplified on the molecular {e.g., KCNQ [potassium voltage-gated channel subfamily Q (genes encoding Kv7 channels)] channels in the ventral tegmental area (VTA)} and cellular level (e.g. neurogenesis in the hippocampus), evidence on the neural microcircuit level and in relation to communication between brain systems (macrocircuit level) is rather sparse (e.g. [27,28]).\nHere, we provide first translational evidence for adaptive plasticity of visual microcircuits and top-down microcircuit modulation of the visual system as a neurobiological resilience mechanism on the neural systems level in men and mice. We show on the human level that microcircuit adaptive plasticity relates to the cross-talk between neurocognitive domains (executive and perceptual) and brain systems (frontal and occipital) in certain oscillatory domains (frontal IFGTri in β band and occipital V2 in γ band). Furthermore, going beyond previous resilience studies, our data also provide additional evidence that there is, beside the relationship of phenotypic resilience with neural macro- and microcircuit plasticity and related to both, a better behavioral performance in neurocognitive domains of putative importance in resilience processes, namely, perceptual discrimination (pattern separation) and cognitive control (aversive system inhibition) in resilient mice and men, respectively. This indicates that resilience processes on the neural system level are active processes and not mere passive adjustments to stress as previously shown on the molecular level [26], and they can lead to a behavioral gain of function—at least in the mouse model—a phenomenon described as posttraumatic growth [29] or stress inoculation [30].\n\n\n### Microcircuit plasticity in the visual cortex may potentially be induced by a short-term neuronal mechanism in resilient mice\nBoth instances of resilience-related plasticity of visual microcircuits, i.e., lower spontaneous activity (Fig. 4), including longer IEIs (Fig. 7B) with a more pronounced and denser global micro-circuit activity (Fig. 7B, inset) and more well-tuned task-related neuronal responses (Fig. 6), are present at least 5 to 6 weeks after the induction of resilience by the CSD paradigm in our study; hence, they are meta-stable in an at least intermediate time frame. However, due to the temporal design of our study, we cannot draw any conclusions to the molecular and cellular mechanisms inducing microcircuit plasticity during the CSD paradigm. Intriguingly, Li et al. [27] showed for the auditory system, using the very same CSD paradigm, that in the primary auditory cortex (temporal area A1), parvalbumin (PV) interneurons are activated by a short-term hyperpolarization of thalamic inputs that elicits brain-derived neurotrophic factor–tropomyosin receptor kinase B (BDNF–TrkB)-dependent presynaptic synaptogenesis to promote resilience. The authors observed this effect at the very beginning of the CSD paradigm (day 1), while they found lower A1 activity after 10 d as measures by c-Fos intensity in layers 2/3 to 4 in resilient mice versus controls—resembling our meta-stable findings of lower activity in the visual cortex. However, this interplay between a macrocircuit (cortico-thalamic) and microcircuit (L2/3 presynaptic BDNF–TrkB signaling) mechanism [27] may not be the only (micro-)circuit plasticity mechanism. Social stress resilience also includes aspects implicated in the function of sensory cortical areas, which are critically important in several aspects of resilience. One aspect is sensory discrimination. If an animal—or a human being—is better in identifying a sensory context, a point in the sensory parameter space, it—or he or she—may be better equipped for discerning a context that is directly associated to a previous social stressor, in contrast to a nonthreatening environment. These sensory parameter spaces also include the visual environment. Visual afferents, along the visual path, are cortically first represented in the primary visual cortex. Within the primary visual cortex, particularly layers II/III are highly interconnected and tasked with the representation, computation, and dissemination of the visual parameter space. How accurate the visual parameter space is encoded can be measured by assigning the accuracy of tuning for a given movement. Orientation tuning is a key parameter, very sensitive toward, e.g., early impacts of neurodegenerative disorders [31–33]. Here, we did not focus on early signs of disease. We asked whether a social resilient animal might be better equipped to map the visual parameter space. Indeed, we found that resilient animals generate a more precise representation of the outside visual world, which, in turn, informs higher-order circuits, and which can then differentially affect the phenotypic response. Indeed, particularly in the field of stress resilience, one of the resilience mechanisms might be a better discrimination ability [34–38]. Very recent studies in post-traumatic stress disorder (PTSD) in humans indeed suggest that visual cortical structural covariances are negatively associated with PTSD symptoms, pointing toward the important role of sensory cortical structure and function in resilience and beyond [39]. To discern the mechanisms of local mechanism of resilience-related microcircuit plasticity in the visual domain, future studies with a complementary temporal design (e.g., [27]) are needed.\n\n\n### Macrocircuit modulation of γ-band visual cortex activity and spontaneous γ-band burst activity are predictive of resilience in humans\nOn the macrocircuit level, we found that the strength of the top-down modulation by frontal β band onto occipital γ-band oscillatory activity is predictive of resilience in a task-dependent manner (Figs. 2 and 3). In addition, baseline γ-band burst activity was lower in more resilient individuals (Fig. 7D)—comparable to a lower spontaneous single-cell activity in resilient mice. This indicates that the state of visual cortex γ-band oscillatory activity in humans is, in addition to the single-cell activity shown in mice, a determinant of a resilient state on the neural network level. But how, potentially, do the observed neural activity determinants of the macro-circuit-level (γ-band oscillatory activity) and micro-circuit-level [lower (excitatory) single-cell activity] intersect mechanistically? An intriguing possibility may again involve the PV interneurons. PV interneurons are one class of interneurons that are crucial for controlling γ-band oscillatory activity in a broad range of neural networks [40], also in the visual cortex in connection to perceptual discrimination behavior [41]. Through fast perisomatic inhibition, PV interneurons exert powerful inhibitory gating that structures population-level synchrony while suppressing unstructured excitatory firing [42]. Intriguingly, PV + neurons sense (and are able to influence) various frequency bands generated by cortical networks: from δ to γ [43]. Thus, this inhibitory gating mechanism is able to induce both the reduced spontaneous neuronal (somatic) activity observed in mouse calcium recordings (slow wave bursts) and the lower γ burstiness observed in human EEG. Importantly, such PV-mediated inhibitory control not only stabilizes network dynamics but also can enhance circuit performance by increasing the signal-to-noise ratio and promoting more efficient, task-relevant neural processing. Together, these findings suggest that enhanced PV-mediated inhibition may represent a conserved circuit-level signature of resilience across species [44,45]. In this context, the correspondence between rIFG dynamics in humans and prefrontal activity in rodents should be understood as functional rather than anatomical, reflecting shared principles of top-down inhibitory control rather than direct structural homology. Consistent with this interpretation, PV interneurons have recently been implicated as key excitatory/inhibitory-balance regulators in the CSD mouse model paradigm for resilience in intermediate range (thalamo–A1 cortical) [27] and long-range (amygdala–dorsomedial) PFC [28], determining resilient behavior. Human multi-modal neurophysiological assessments [e.g., EEG/magnetoencephalography (MEG) with diffusion tensor imaging (DTI)/structural magnetic resonance imaging (sMRI)] and modelling informed by translational neural mass models [46] will help to test this hypothesis on the macrocircuit and whole-brain level.\n\n\n### Macro- and microcircuit oscillatory activity differences are linked to resilience—and better behavioral performance in mice and humans\nThe current data show a better behavioral performance in neurocognitive domains of putative importance in resilience processes [9], namely, perceptual discrimination (pattern separation) in mice (Fig. 6) and cognitive control (aversive system inhibition) in humans (Fig. 2) in relation to phenotypic resilience and its neurophysiological correlates. By that, these data provide evidence that those 2 neurocognitive domains indeed are connected to resilience. However, the design of the human experiment does not allow to differentiate between the possibilities that resilience leads to better cognitive control or vice versa. Given the strong support for reappraisal as a resilience mechanism [9], a previous cognitive control training study led to improved reappraisal performance with better emotional control [47], indirectly suggesting that cognitive control may be able to enhance resilience. In our mouse model though, the comparison to the nonstressed control group (Figs. 5 and 6) cautiously indicates that resilience or at least the process of acquiring resilience is accompanied by an improvement of perceptual discrimination performance. This gain of behavioral functioning thereby constitutes a neurobiological example of posttraumatic growth [29] and/or stress inoculation [30]. Previous research also supports the idea that one of the resilience mechanisms might be a better discrimination ability [34–38].\n\n\n### Macro- and microcircuit visual cortex network states of resilience as metastable, self-stabilizing, and noncontinuous entities on the neural systems level\nResilient outcomes in our translational model are related to noncontinuous network states as indicated in their distinct micro-neural (single-neuron activity) and macro-neural (β-/γ-band oscillatory activity) network activity. The temporal delay in the mouse model (see Microcircuit plasticity in the visual cortex may potentially be induced by a short-term neuronal mechanism in resilient mice), in addition, implies that those network states are also metastable and self-stabilizing. We have recently argued that neural networks attempt to achieve a state that is temporarily stable (a notion we refer to as the selfish network) independent of the aim of preserving long-term functionality in the context of brain diseases [48]. The present data may constitute a first instance of neural network state transitions in the context of a healthy, resilient response of brain to psychosocial stress, i.e., metastable, self-stabilizing, and noncontinuous neural network states of resilience. We have suggested that such network state transitions follow attractor-like dynamics and their formal assessment will enable us to develop new network-based interventions to foster resilience [48]. Importantly, our idea of a distinct entity of metastable, self-stabilizing, and noncontinuous neural network states of resilience must be seen on the backdrop of the notion of a bound brain [49–51], i.e., that cortical areas become dynamically bound into functional networks by synchronization in a task- and state-dependent way. Indeed, our translational data exactly imply such a functional network bound in a task- and state-dependent way consisting of prefrontal–occipital neural network states of resilience.\n\n\n### Conclusion\nThese results suggest that there is an instance of resilience at the neural systems level that involves active, dynamic processes rather than being merely passive responses to stress including functional network regions such as the visual cortex formerly unattended in resilience research. The results also constitute a first example that neural network states of resilience are metastable, self-stabilizing, and noncontinuous entities that could serve as a target for new neural network interventions (e.g., targeted stimulation such as EEG-triggered transcranial magnetic stimulation (TMS) or γ entrainment using sensory stimulation [40,52] for fostering resilience).\n\n\n### Methods\nA total of 121 healthy human subjects participated in this dual-center study after providing written informed consent (59 in Frankfurt and 62 in Mainz). All participants were screened for MRI exclusion criteria, mental health status (Mini-International Neuropsychiatric Interview) [53], and handedness (Edinburgh Handedness Inventory) [54]. Due to technical failures during task performance, 4 participants were excluded, leaving 117 subjects for behavioral analysis. Thirteen additional participants were excluded from electrophysiological analysis due to issues with MRI data, including incomplete datasets (3 due to panic attacks, 1 due to pain, 1 due to size constraints, and 8 who withdrew consent) and 1 due to external EEG noise. Therefore, all presented electrophysiological analyses include data from 103 participants (65 females; mean age ± SD, 25 ± 6 years) who completed the study.\nAfter study inclusion and screening for MRI exclusion criteria (see above), participants completed questionnaires on demographic information (gender, date, and place of birth, family origin, psychological diseases within the family, family tree, marital status), health and lifestyle (physical and mental diseases, height and weight, blood pressure, medication, usage of internet, working conditions, income, family relationships, MRI compatibility), and their drug consumption [Fagerström for nicotine consumption and the alcohol use disorders identification test (AUDIT) for alcohol consumption] (secutrail, www.secutrail.com). Further questionnaires were the Trier Inventory for the Assessment of Chronic Stress (TICS), the Short Form 36 Health Survey Questionnaire, the General Health Questionnaire (GHQ-28), the Life events checklist from LHC (adapted from [55]), the Cognitive Emotion Regulation Questionnaire (CERQ), the Positive and Negative Affect Schedule (PANAS), the State-Trait Anger Expression Inventory (STAXI), the State-Trait Anxiety Inventory (STAI), the Barratt Impulsiveness Scale (BIS-11 [56]), the Behavioral Activation and Behavioral Inhibition Scales (BIS/BAS), the Edinburgh Handedness Inventory [57], and an Intelligence test (L-P-S Leistungsprüfsystem UT-3 [58]).\nThe EEG study was conducted in 2 sites (Frankfurt and Mainz). Fifty-nine participants at site 1 and 62 participants at site 2 took part in the experiment. The experiment was conducted over 3 d: days 1 to 2 with 2 EEG measurements and day 3 with one functional magnetic resonance imaging (fMRI). On day 1, participants were screened for exclusion criteria and completed the questionnaires. Over the first 2 d, participants performed 4 behavioral tasks (2 tasks for each experimental day): the emotional Stop-signal task, emotional Recent probes task, Cognitive emotion regulation task, and emotional Flanker task. The order of the task was randomized across subjects. During the completion of the task, an EEG and a digitalized electrode localization were recorded simultaneously. On day 3, a resting state fMRI as well as structure T1 and T2 MRI measurements were performed on each participant. Only the EEG data from the emotional Flanker task and structural MRI (see source model) are used in this study. The EEG data for the emotional Flanker task have been used in [11]. Further details on electrode localization and MRI imaging parameters can be found in [11].\nTo assess cognitive processing under emotional distraction, a modified version of the Eriksen Flanker task was used, implemented in Presentation (v18.1, Neurobehavioral Systems). Each trial began with a fixation cross (1,000 ms), followed by an emotional image (500 ms) from the International Affective Picture System (IAPS), and then a Flanker stimulus (1,000 ms) consisting of white arrows on a black screen. Emotional images were either neutral or negative in valence. The Flanker stimulus included either congruent or incongruent flankers relative to the central target arrow. The inter-trial interval was 400 ms. Participants indicated the direction of the central arrow using the left or right Ctrl key with the respective index finger. Errors or slow responses (>1,000 ms) triggered a feedback message for 300 ms. A total of 1,120 trials were presented across 5 blocks (224 trials each; ~11 min per block) during EEG recording. Between blocks, participants had a 5-min break. Emotional stimuli included 280 neutral images (mean valence = 5.15, arousal = 3.17) and 280 negative images (valence = 2.47, arousal = 6.41), each shown twice with different Flanker combinations. This created 4 experimental conditions: Neutral Congruent, Neutral Incongruent, Negative Congruent, and Negative Incongruent. Each condition included 280 trials, balanced for left/right responses. Participants completed a 20-trial training block with neutral images before the main task. Additional information on task design can be found in [11].\nTo quantify resilience in human participants, we computed an SR proxy score following the residualization approach described by Kalisch et al. [8]. In this method, mental health problems, measured via GHQ scores, are regressed on stressor exposure to capture individual deviations from the normative group-level relationship. Although the original approach combined Life events (LE) and Daily hassles (DH) as stressor measures, similar regression relationships have been demonstrated when only partial data are available [8]. As DH data were not available in the present dataset, stressor exposure was operationalized as the total number of LEs reported in the past 3 months. The residuals of the GHQ-on-LE regression served as the SR proxy score: Positive residuals indicated worse-than-expected mental health given stressor exposure (i.e., higher SR and lower resilience), whereas negative residuals indicated better-than-expected mental health (i.e., lower SR and higher resilience). To confirm that the retrospectively reported LE in our SR proxy score does indeed influence current mental health (GHQ), we applied a correlation analysis showing their significant association of the previous LEs to GHQ (r = 0.21; P = 0.03). Additional confirmatory analysis using weighted LE can be found in Text S1. This SR proxy score variable serves as a key metric in our analysis, allowing us to explore how individual resilience relates to both behavioral performance and network activity in the Emotional Flanker task.\nThe source reconstruction analysis was performed as described in detail in [11]. Briefly, individual finite element head models (FEMs) were created using the FieldTrip-Simbio pipeline, based on 5-tissue segmentation (skin, skull, cerebrospinal fluid, white matter, and gray matter). A template grid in MNI space was warped to each individual head model to enable direct comparison across participants. Source activity was estimated using the Dynamic Imaging of Coherent Sources (DICS) beamformer, with cross-spectral density matrices computed for baseline and task time windows in multiple frequency bands (θ, β, γ, high γ). Within-subject statistics were calculated using a dual-state beamformer approach, followed by a 2 × 2 repeated-measures cluster permutation ANOVA to test for effects of emotion and cognitive interference. Multiple comparison correction was applied across frequency bands, time windows, and grid voxels using Bonferroni and cluster-based permutation methods. Furthermore, the coordinates of the active sources were identified using the local maxima of the activation, without any prior assumptions about their locations. This methodology aligns with the best practice recommendations for source reconstructions in MEG [59]. For full methodological details, see [11].\nThe conditional GC (cGC) findings used in this study come from [11]. In the following, we report the main steps of the cGC analysis and statistical analysis; further details can be found in [11]. cGC was computed with a nonparametric variant of cGC. We obtained the CSD matrix of the reconstructed source activity after Flanker onset, using a fast Fourier transform in combination with multitapers (5-Hz smoothing) in 2-time windows: an early time window (0 to 250 ms) and a late time window (200 to 450 ms) to assure stationarity of the data. Additionally, we used a block-wise approach [60] considering the first 2 principal components (PCs) of each source stimulus as a block, then estimating the cGC that a source X exerts over a source Y conditional on the remaining areas [61]. We applied the cGC to the 3 IFG subdivisions (IFGTri, IFGOrb, and IFGOp) and the posterior sources that showed significant interaction effects: V2 and precuneus (high γ band). We focused on bidirectional connectivity within IFG (IFGTri, IFGOp, and IFGOrb) and of each IFG subdivision and V2 and precuneus, respectively. Only long-range significant cGC from IFG subdivisions to visual cortex is reported in this study. For each source–target pair, we performed a dependent-samples permutation ANOVA (α 0.05) with cluster-based correction across frequencies (cluster α 0.05). Multiple correction was applied using Bonferroni correction to correct for multiple source testing.\nWe employed a Bayesian linear regression to determine which of the significant links from IFG to visual areas (V2 and precuneus) predict the SR proxy score. For the jth subject, we define the likelihood of SR proxy score given by y, denoted as:yj∼Nα+β1∗cGCjlink1+…+βn∗cGCjlinknσ2(1)where, for the jth subject, α is the intercept and encodes the grand average of SR proxy score when all predictors are zero, cGCjlink1,..,n denotes the cGC for subject j on link n (e.g., from IFGTri to V2). βi represents the regression coefficients quantifying the relationship between the cGC links of the IFG subdivisions to precuneus or V2 and the dependent variables (SR proxy scores), and σ2 represents the residual variance. The model consisted of 7 links. We z-normalized all variables before modeling, and β coefficients are reported with respect to these standardized variables. All parameters were assumed to be drawn from normal distributions. We used weakly informative priors in both models: The intercept and regression coefficients were assigned normal priors with mean 0 and standard deviation 0.5, and the residual standard deviation was given a half-normal prior with scale parameter 1.\nTo examine the relevance of oscillatory power interactions with SR proxy scores, we extracted, for each subject, the minimum and maximum power interaction values within predefined frequency bands and regions of interest. Specifically, β-band (10 to 44 Hz) interactions were assessed in the IFG, while γ-band (44 to 150 Hz) interactions were evaluated in the precuneus and V2. As interaction strength is proportional to the absolute deviation from zero, values closest to zero indicate the weakest interactions, whereas values with the largest magnitude (positive or negative) reflect the strongest interactions. Time–frequency representations (TFRs) of source-reconstructed EEG power were computed using FieldTrip [62]. For the β band, we employed a Morlet wavelet convolution approach, convolving the data in the 2- to 44-Hz range in 1-Hz steps [notice that minimum and maximum were computed only over the β-band (10 to 44 Hz) range]. The wavelet width varied linearly from 3 to 8 cycles across frequencies. For the γ band, we applied a multitaper convolution method using discrete prolate spheroidal sequences (DPSS), with power estimated in 2-Hz steps from 44 to 150 Hz. The length of the sliding time window was adjusted to ensure approximately 7 cycles per frequency, with spectral smoothing set to 20% of the center frequency.\nTo investigate the relationship between oscillatory power interactions and SR proxy scores, we conducted multiple Bayesian linear regression analyses. Each model used the SR proxy score as the dependent variable and evaluated the predictive value of power interaction features extracted from source-reconstructed time–frequency data. Specifically, 4 models were compared: (a) a model including only the minimum β-band power interactions in the IFG pars triangularis (IFGTri), (b) a model including only the maximum β-band power interactions in the IFG pars triangularis (IFGTri), (c) a model including only the minimum γ-band power interactions in V2, (d) a model including only the maximum β-band power interactions in the IFG pars triangularis (IFGTri), (e) a combined model including the minimum β power in IFGTri and the maximum γ power in V2, and (f) a full model incorporating all 4 predictors (min/max β in IFGTri and min/max γ in V2). Bayesian model estimation and comparison were used to evaluate the evidence for each model in explaining inter-individual variability in SR proxy scores, allowing for quantification of model uncertainty and regularization of parameter estimates.\nFor the jth subject, we define the likelihood of SR proxy score given by y, denoted as:\nModel 1: yj∼Nα+β1∗IFGTrijminσ2\nModel 2: yj∼Nα+β1∗IFGTrijmaxσ2\nModel 3: yj∼Nα+β1∗V2jminσ2\nModel 4: yj∼Nα+β1∗V2jmaxσ2\nModel 5: yj∼Nα+β1∗IFGTrijmin+β2∗V2jmaxσ2,\nModel 6: yj∼Nα+β1∗IFGTrijmin+β2∗FGTrijmax+β3∗V2jmin+β4∗V2jmaxσ2\nEach model describes the SR proxy score y for the jth subject as a function of oscillatory power interaction features. In these equations, αis the intercept, representing the expected SR proxy score when all predictors are zero—effectively encoding the grand average SR score across the population. The terms xjmin/max denote the power interaction predictors (e.g., minimum or maximum β power in IFGTri, or γ power in V2) for subject j. These predictors reflect the strength of frequency-specific interactions derived from source-reconstructed EEG signals. The coefficients βn are regression weights capturing the influence of each power interaction predictor on the SR proxy score. In the regression models, each coefficient βn quantifies the relationship between a specific power interaction feature and the SR proxy score. Since γ power interactions (e.g., in V2) are typically positive, a positive βn indicates that stronger γ interactions (i.e., larger positive values) are associated with higher SR proxy scores. Conversely, for β power interactions (e.g., in IFGTri), which tend to be negative, a negative βn implies that more negative values—reflecting stronger β interactions—are associated with higher SR proxy scores. Thus, while the sign of the interaction values differs by frequency band, the interpretation of βn remains consistent: It reflects whether stronger interactions in that specific direction (positive or negative) are associated with increased or decreased SR. Finally, σ2 is the residual variance. All models were estimated with weakly informative priors on regression coefficients β∼N(0,1) and a Half-Cauchy prior on σ, unless otherwise specified.\nWe estimated the model regression coefficients using Bayesian inference with Markov chain Monte Carlo (MCMC) sampling, using the python package pymc3 [63] with NUTS (NO-U-Turn Sampling), using multiple independent Markov chains. We implemented 4 chains with 3,000 burn-in (tuning) steps using NUTS. Then, each chain performed 10,000 steps. Those steps were used to approximate the posterior distribution. To check the validity of the sampling, we verified that the R-hat statistic was below 1.05. To evaluate different models with different numbers of parameters, we implemented cross-validation, which has been advocated for Bayesian model comparison, e.g., in [64,65]. In particular, we adopted the leave-one-out cross-validation (LOO-CV) implemented in PyMC3. Lower LOO-CV scores imply better models. We report the full modeling and model comparison results in Table S1 and only include the results of the winning models in the main text.\nTo identify γ-burst events, we adopted the following pipeline. At first, we parcellated the visual cortex using the visual topography probabilistic map (VPTM) atlas. This parcellation consisted of 25 parcels per hemisphere. We constrained our source reconstruction to only parcels related to left and right V1 and V2. Spatial filters were concatenated across vertices comprising those parcels, and we obtained a set of time courses of the event-related field at each parcel. For each parcel, we selected the first spatial components explaining most of the variance in the signal. We adopted this method rather than averaging to avoid signal cancellation due to sign ambiguity of the reconstructed time course. To extract γ-burst time points, we adopted a method from [66], which showed direct good agreement between visual cortical spiking and presence of γ bursts on local field potential (LFP) data. In brief, γ bursts were identified using a generative model for oscillatory bursts. Source time-courses were bandpass-filtered in the 40- to 80-Hz range using a zero-phase finite impulse response (FIR) filter with a center frequency of 60 Hz and a filter order of 11. The signals were then modeled as a combination of spontaneous background activity and transient oscillatory bursts. A dictionary of 30 representative γ waveforms was learned from the data using sparse coding and correntropy-based dictionary learning. Since we performed this analysis on baseline data (i.e., pooled conditions), we used the first 100 trials for training. To detect burst events in the test data (remaining ~1,000 trials), each bandpass-filtered LFP trace was convolved with the learned dictionary atoms. Candidate bursts were then identified by applying an adaptive threshold to the resulting projection, based on the instantaneous power of the matched oscillatory components. IEIs between γ bursts were computed by measuring the time difference between the peaks of successive identified γ events. For consistency with the analysis performed on the animal data, we conducted a 2-sided Kolmogorov–Smirnov test to compare the distribution of IEIs between the resilient group (individuals with negative SR proxy scores) and the nonresilient group (positive SR proxy scores) over the pooled visual cortical areas.\nMice were subjected to a CSD paradigm according to established protocols [12,13]. Mice were introduced into a home cage of an older, larger, and retired male CD1 breeder. During a physical exposure phase of 2 min, the CD1 mouse was allowed to attack the BL6 experimental mouse. For the consecutive sensory exposure phase, a mesh wall was introduced in the middle of the cage between the 2 mice, allowing sensory but not physical contact for 24 h. The procedure was reiterated for 10 d, and experimental mice were encountering different CD1 aggressors daily. On the last day of the CSD, all mice were housed individually in new cages and left to rest until the SI test took place 1 week later. The CD1 aggressors were trained for 3 d before beginning CSD to standardize attack’s latency. The group of nonstressed mice was handled throughout 10 d and placed for 1.5 min in an empty cage before they were returned to their individual cages separated in half by identical mesh walls. The SI test was performed 7 d later [12,13]. A mesh enclosure was presented at the center of an arena, and the interaction zone was defined as 1 cm. Mice were introduced twice into the arena for 2.5 min, first with an empty mesh enclosure, followed by re-introduction with a novel CD1 mouse under the enclosure. The SI score was calculated by forming the quotient of the dwell time of the BL6 mouse within the interaction zone, while a CD1 animal is in the mesh versus an empty mesh. The threshold value was chosen in accordance with Golden et al. [13], and animals with an SI value less than 100 are classified as nonresilient, while animals with an SI value greater than 100 are classified as resilient.\nMice were placed on a stereotactic frame (David Kopf Instruments, CA, USA) and anesthetized with isoflurane/oxygen (2% vol/vol) by inhalation while placed on a heat plate (ATC 2000, World Precision Instruments, FL, USA) to maintain body temperature at 37 °C. The skull was exposed and thoroughly cleaned from any remaining tissue. A craniotomy of 2 mm diameter was conducted at the coordinates of the primary visual cortex V1 (posterior −3 mm and lateral −2.5 mm to bregma) using a dental drill (Ultimate XL-F, NSK, Trier, Germany, and VS1/4HP/005, Meisinger, Neuss, Germany) under a dissecting microscope (Leica M80 stereo microscope, Leica, Wetzlar, Germany). For expression of the genetically encoded calcium indicator GCaMP6f via viral gene delivery, a total volume of approximately 1.0 μl of AAV1.CamKII.GCaMP6f.WPRE.SV40 solution was manually pressure injected with a 30° angle in 3 depths (150, 200, and 250 μm) into V1. The craniotomy was sealed with a transparent coverslip (3 mm diameter, 0.1 mm thickness) and glued to the skull using super glue (Vetbond, 3M, MN, USA). A ring-shaped head holder with an outer diameter of 14 mm and an inner diameter of 7 mm was implanted onto the skull using UV-glue (Polytec UV-Glue 2195, Polytec PT GmbH, Karlsbad, Germany) with the notch facing the rear of the animal. After the procedure, mice were allowed to recover for 3 weeks prior to habituation. A detailed description of surgical methods is available in [18].\nMice were habituated over 5 consecutive days to avoid stress exposure during imaging. On day 1, mice were handled for at least 15 min to get familiar with the experimenter. On days 2 and 3, mice were constrained after at least 15 min of handling by manually holding the head holder. On day 4, mice were constrained upon handling using the retaining device that is mounted below the microscope during imaging sessions. Mice were undergoing a mock experiment on day 5 by constraining them with the head holder and mounting them onto the spheric treadmill (JetBall-TFT, PhenoSys, Berlin, Germany) under the microscope. A 15-min recording session was simulated by activating the microscope but keeping all shutters closed to avoid photobleaching.\nMice were head fixated and mounted on a spheric treadmill, surrounded by a 270° screen system for presenting visual stimuli. In vivo recordings were conducted using a custom-built 2-photon microscope equipped with a resonance scanner (TrimScope II, LaVision Biotec, Bielefeld, Germany), and indicator excitation was achieved by a femtosecond pulsed Ti:sapphire laser (Chameleon II, Coherent Systems, CA, USA). A 40× water immersion objective [0.8 numerical aperture (NA); NIRAPO, Nikon, Tokyo, Japan] was used for imaging, resolving a field of view (FOV) of 277 × 277 μm represented in a matrix of intensity values with 512 × 512 pixel. Image acquisition was controlled by ImSpector Pro software (LaVision Biotec, Bielefeld, Germany) at a frame rate of 30.8 Hz. Relevant information from all subsystems were collected by a multichannel data acquisition interface (CED Power3, Cambridge Electronics, UK) and exported subsequently to each imaging session using the software package Spike2 (Cambridge Electronics, UK). We initially imaged the spontaneous activity of a neuronal microcircuit for 15 min in layer II/III of V1, followed by 12.5 min of visually evoked activity by employing a visual stimulation paradigm. The respective imaging depth of each animal can be found in Table S2. The paradigm consisted of initially 5 s of gray screen, followed by the presentation of 8 randomized static and drifting grating directions lasting 5 s each. The paradigm was repeated 10 times, every time with a novel randomization.\nAll datasets were motion corrected to address x–y movement artefacts using the moco [67] plugin in FIJI ImageJ [68]. As reference image, an average intensity projection was calculated using the z-project function of ImageJ. We employed a custom-written semi-automated MATLAB (The MathWorks, Natick, MA, USA) script for segmentation of all visible neuronal somata within the FOV. The algorithm created an average intensity projection of all single images of the time series, and we marked each neuron with a polygon-shaped outline and defined them as regions of interest (ROIs). We then averaged all intensity values of all pixels within each ROI for every image of the series, resulting in an intensity trace per ROI. A 10-s-long period of quiescence free of calcium transients or signal fluctuations was defined as baseline F0 for each ROI separately. The relative change of fluorescence ΔF/F was calculated for each sample point F with [69]. In the next step, we exported the intensity traces to a custom-written IGOR Pro (Wavemetrics Inc., OR, USA) procedure to detect putatively AP-related calcium transients. First, intensity traces were smoothed by a Gaussian kernel 20 to 30 times, high-pass filtered with a pass band at 0.12/Fs, where Fs is the sampling frequency, and inspected for the presence of calcium transients. Intensity traces that did not exhibit transients or falsely identified structures were excluded from further analysis in this step. Second, a threshold-based algorithm automatically detected signal peaks exceeding 2.5 to 3 SD above the mean. Furthermore, the first and second derivatives were calculated, which had to be 0 and negative, respectively, to meet the criteria of an AP-related calcium transient. The typical decay of the calcium deflection was modeled by fitting an exponential curve using the CurveFit tool of IGOR Pro between the peak and the tail. If necessary, peak locations were corrected manually. Lastly, the onset of a given calcium transient was defined as the first data point prior to the identified peak that dropped below 0.5 SD, the offset when the fitted exponential curve reached 0.5 SD of the baseline. Intensity traces were binarized by representing periods of quiescence as 0 and the sample points of a transient from onset to offset as 1. The circular variance (CV) was calculated as the variance of the cell’s response to all orientations:CV=1−∑krkei2θk∑krk(2)where 𝑟𝑘 is the cell’s response to a given orientation and 𝜃𝑘 is the angle of the grating in radians [70]. To test for synchronicity, activity intervals for each neuron were refined by defining the onset and offset of each identified peak as the first frame to the left and right of the peak frame, respectively, that had a ΔF/F intensity ¡ 0.5 times peak intensity. Activity intervals were defined as all data points between onset and offset. Peaks occurring during an identified activity interval were not considered in a subsequent estimation of onset/offset but were instead considered part of the existing activity interval. The computation of ΔF/F traces in this step was adapted from the Allen Brain SDK 2.14 as a windowed median filter detrending, employing a long filter of 5,401 frames and a short filter of 101 frames (Allen Institute for Brain Science, 2022, Software Development Kit [2.14], available from https://allensdk.readthedocs.io/en/latest/). The binarized activity matrix of all ROIs was used to create pairwise correlations between each pair of ROIs to visualize the connectivity between neurons within timeframes in which at least one ROI showed activity. In the resulting connectivity map, neurons were depicted as nodes based on their x and y positions and were assigned a color value that corresponded to their activity frequency. Edges between nodes were represented as lines whose linewidth was defined by the achieved correlation value. Microscopy of cleared samples was performed in horizontal orientation on the light sheet microscope UltraMicroscope II (Miltenyi Biotec) with a 2×/0.5 NA objective (MV PLAPO 2XC, Olympus) with corrected dipping cap attached and the zoom factor of ×0.63, using the operating software Imspector Pro 7.7.0. Light sheet width was set to 100%, sheet NA—0.163 (3.9 μm thickness), merging algorithm—fixed blend, step size—3 μm, dynamic horizontal focus was used with 8 steps and fixed blending mode. Laser module beam combiner was used with separate laser channels: excitation, 640 nm; emission, 680 nm; 10% power; 100-ms exposure time. Acquired images were processed using arivis Vision4D (Carl Zeiss Microscopy Software Center Rostock GmbH, Germany). iDISCO+ tissue clearing was performed according to Pastore et al. [71] with modifications.\n\n\n### Human EEG—participants\nA total of 121 healthy human subjects participated in this dual-center study after providing written informed consent (59 in Frankfurt and 62 in Mainz). All participants were screened for MRI exclusion criteria, mental health status (Mini-International Neuropsychiatric Interview) [53], and handedness (Edinburgh Handedness Inventory) [54]. Due to technical failures during task performance, 4 participants were excluded, leaving 117 subjects for behavioral analysis. Thirteen additional participants were excluded from electrophysiological analysis due to issues with MRI data, including incomplete datasets (3 due to panic attacks, 1 due to pain, 1 due to size constraints, and 8 who withdrew consent) and 1 due to external EEG noise. Therefore, all presented electrophysiological analyses include data from 103 participants (65 females; mean age ± SD, 25 ± 6 years) who completed the study.\n\n\n### Human EEG—questionnaires\nAfter study inclusion and screening for MRI exclusion criteria (see above), participants completed questionnaires on demographic information (gender, date, and place of birth, family origin, psychological diseases within the family, family tree, marital status), health and lifestyle (physical and mental diseases, height and weight, blood pressure, medication, usage of internet, working conditions, income, family relationships, MRI compatibility), and their drug consumption [Fagerström for nicotine consumption and the alcohol use disorders identification test (AUDIT) for alcohol consumption] (secutrail, www.secutrail.com). Further questionnaires were the Trier Inventory for the Assessment of Chronic Stress (TICS), the Short Form 36 Health Survey Questionnaire, the General Health Questionnaire (GHQ-28), the Life events checklist from LHC (adapted from [55]), the Cognitive Emotion Regulation Questionnaire (CERQ), the Positive and Negative Affect Schedule (PANAS), the State-Trait Anger Expression Inventory (STAXI), the State-Trait Anxiety Inventory (STAI), the Barratt Impulsiveness Scale (BIS-11 [56]), the Behavioral Activation and Behavioral Inhibition Scales (BIS/BAS), the Edinburgh Handedness Inventory [57], and an Intelligence test (L-P-S Leistungsprüfsystem UT-3 [58]).\n\n\n### Human EEG—experimental setup\nThe EEG study was conducted in 2 sites (Frankfurt and Mainz). Fifty-nine participants at site 1 and 62 participants at site 2 took part in the experiment. The experiment was conducted over 3 d: days 1 to 2 with 2 EEG measurements and day 3 with one functional magnetic resonance imaging (fMRI). On day 1, participants were screened for exclusion criteria and completed the questionnaires. Over the first 2 d, participants performed 4 behavioral tasks (2 tasks for each experimental day): the emotional Stop-signal task, emotional Recent probes task, Cognitive emotion regulation task, and emotional Flanker task. The order of the task was randomized across subjects. During the completion of the task, an EEG and a digitalized electrode localization were recorded simultaneously. On day 3, a resting state fMRI as well as structure T1 and T2 MRI measurements were performed on each participant. Only the EEG data from the emotional Flanker task and structural MRI (see source model) are used in this study. The EEG data for the emotional Flanker task have been used in [11]. Further details on electrode localization and MRI imaging parameters can be found in [11].\n\n\n### Human EEG—task design\nTo assess cognitive processing under emotional distraction, a modified version of the Eriksen Flanker task was used, implemented in Presentation (v18.1, Neurobehavioral Systems). Each trial began with a fixation cross (1,000 ms), followed by an emotional image (500 ms) from the International Affective Picture System (IAPS), and then a Flanker stimulus (1,000 ms) consisting of white arrows on a black screen. Emotional images were either neutral or negative in valence. The Flanker stimulus included either congruent or incongruent flankers relative to the central target arrow. The inter-trial interval was 400 ms. Participants indicated the direction of the central arrow using the left or right Ctrl key with the respective index finger. Errors or slow responses (>1,000 ms) triggered a feedback message for 300 ms. A total of 1,120 trials were presented across 5 blocks (224 trials each; ~11 min per block) during EEG recording. Between blocks, participants had a 5-min break. Emotional stimuli included 280 neutral images (mean valence = 5.15, arousal = 3.17) and 280 negative images (valence = 2.47, arousal = 6.41), each shown twice with different Flanker combinations. This created 4 experimental conditions: Neutral Congruent, Neutral Incongruent, Negative Congruent, and Negative Incongruent. Each condition included 280 trials, balanced for left/right responses. Participants completed a 20-trial training block with neutral images before the main task. Additional information on task design can be found in [11].\n\n\n### Human EEG—operationalization and measurement of resilience in human subjects\nTo quantify resilience in human participants, we computed an SR proxy score following the residualization approach described by Kalisch et al. [8]. In this method, mental health problems, measured via GHQ scores, are regressed on stressor exposure to capture individual deviations from the normative group-level relationship. Although the original approach combined Life events (LE) and Daily hassles (DH) as stressor measures, similar regression relationships have been demonstrated when only partial data are available [8]. As DH data were not available in the present dataset, stressor exposure was operationalized as the total number of LEs reported in the past 3 months. The residuals of the GHQ-on-LE regression served as the SR proxy score: Positive residuals indicated worse-than-expected mental health given stressor exposure (i.e., higher SR and lower resilience), whereas negative residuals indicated better-than-expected mental health (i.e., lower SR and higher resilience). To confirm that the retrospectively reported LE in our SR proxy score does indeed influence current mental health (GHQ), we applied a correlation analysis showing their significant association of the previous LEs to GHQ (r = 0.21; P = 0.03). Additional confirmatory analysis using weighted LE can be found in Text S1. This SR proxy score variable serves as a key metric in our analysis, allowing us to explore how individual resilience relates to both behavioral performance and network activity in the Emotional Flanker task.\n\n\n### Human EEG—source reconstruction\nThe source reconstruction analysis was performed as described in detail in [11]. Briefly, individual finite element head models (FEMs) were created using the FieldTrip-Simbio pipeline, based on 5-tissue segmentation (skin, skull, cerebrospinal fluid, white matter, and gray matter). A template grid in MNI space was warped to each individual head model to enable direct comparison across participants. Source activity was estimated using the Dynamic Imaging of Coherent Sources (DICS) beamformer, with cross-spectral density matrices computed for baseline and task time windows in multiple frequency bands (θ, β, γ, high γ). Within-subject statistics were calculated using a dual-state beamformer approach, followed by a 2 × 2 repeated-measures cluster permutation ANOVA to test for effects of emotion and cognitive interference. Multiple comparison correction was applied across frequency bands, time windows, and grid voxels using Bonferroni and cluster-based permutation methods. Furthermore, the coordinates of the active sources were identified using the local maxima of the activation, without any prior assumptions about their locations. This methodology aligns with the best practice recommendations for source reconstructions in MEG [59]. For full methodological details, see [11].\n\n\n### Human EEG—GC\nThe conditional GC (cGC) findings used in this study come from [11]. In the following, we report the main steps of the cGC analysis and statistical analysis; further details can be found in [11]. cGC was computed with a nonparametric variant of cGC. We obtained the CSD matrix of the reconstructed source activity after Flanker onset, using a fast Fourier transform in combination with multitapers (5-Hz smoothing) in 2-time windows: an early time window (0 to 250 ms) and a late time window (200 to 450 ms) to assure stationarity of the data. Additionally, we used a block-wise approach [60] considering the first 2 principal components (PCs) of each source stimulus as a block, then estimating the cGC that a source X exerts over a source Y conditional on the remaining areas [61]. We applied the cGC to the 3 IFG subdivisions (IFGTri, IFGOrb, and IFGOp) and the posterior sources that showed significant interaction effects: V2 and precuneus (high γ band). We focused on bidirectional connectivity within IFG (IFGTri, IFGOp, and IFGOrb) and of each IFG subdivision and V2 and precuneus, respectively. Only long-range significant cGC from IFG subdivisions to visual cortex is reported in this study. For each source–target pair, we performed a dependent-samples permutation ANOVA (α 0.05) with cluster-based correction across frequencies (cluster α 0.05). Multiple correction was applied using Bonferroni correction to correct for multiple source testing.\n\n\n### Human EEG—Bayesian linear regression Granger\nWe employed a Bayesian linear regression to determine which of the significant links from IFG to visual areas (V2 and precuneus) predict the SR proxy score. For the jth subject, we define the likelihood of SR proxy score given by y, denoted as:yj∼Nα+β1∗cGCjlink1+…+βn∗cGCjlinknσ2(1)where, for the jth subject, α is the intercept and encodes the grand average of SR proxy score when all predictors are zero, cGCjlink1,..,n denotes the cGC for subject j on link n (e.g., from IFGTri to V2). βi represents the regression coefficients quantifying the relationship between the cGC links of the IFG subdivisions to precuneus or V2 and the dependent variables (SR proxy scores), and σ2 represents the residual variance. The model consisted of 7 links. We z-normalized all variables before modeling, and β coefficients are reported with respect to these standardized variables. All parameters were assumed to be drawn from normal distributions. We used weakly informative priors in both models: The intercept and regression coefficients were assigned normal priors with mean 0 and standard deviation 0.5, and the residual standard deviation was given a half-normal prior with scale parameter 1.\n\n\n### Human EEG—minimum and maximum power definition\nTo examine the relevance of oscillatory power interactions with SR proxy scores, we extracted, for each subject, the minimum and maximum power interaction values within predefined frequency bands and regions of interest. Specifically, β-band (10 to 44 Hz) interactions were assessed in the IFG, while γ-band (44 to 150 Hz) interactions were evaluated in the precuneus and V2. As interaction strength is proportional to the absolute deviation from zero, values closest to zero indicate the weakest interactions, whereas values with the largest magnitude (positive or negative) reflect the strongest interactions. Time–frequency representations (TFRs) of source-reconstructed EEG power were computed using FieldTrip [62]. For the β band, we employed a Morlet wavelet convolution approach, convolving the data in the 2- to 44-Hz range in 1-Hz steps [notice that minimum and maximum were computed only over the β-band (10 to 44 Hz) range]. The wavelet width varied linearly from 3 to 8 cycles across frequencies. For the γ band, we applied a multitaper convolution method using discrete prolate spheroidal sequences (DPSS), with power estimated in 2-Hz steps from 44 to 150 Hz. The length of the sliding time window was adjusted to ensure approximately 7 cycles per frequency, with spectral smoothing set to 20% of the center frequency.\n\n\n### Human EEG—Bayesian linear regression min/max power interaction\nTo investigate the relationship between oscillatory power interactions and SR proxy scores, we conducted multiple Bayesian linear regression analyses. Each model used the SR proxy score as the dependent variable and evaluated the predictive value of power interaction features extracted from source-reconstructed time–frequency data. Specifically, 4 models were compared: (a) a model including only the minimum β-band power interactions in the IFG pars triangularis (IFGTri), (b) a model including only the maximum β-band power interactions in the IFG pars triangularis (IFGTri), (c) a model including only the minimum γ-band power interactions in V2, (d) a model including only the maximum β-band power interactions in the IFG pars triangularis (IFGTri), (e) a combined model including the minimum β power in IFGTri and the maximum γ power in V2, and (f) a full model incorporating all 4 predictors (min/max β in IFGTri and min/max γ in V2). Bayesian model estimation and comparison were used to evaluate the evidence for each model in explaining inter-individual variability in SR proxy scores, allowing for quantification of model uncertainty and regularization of parameter estimates.\nFor the jth subject, we define the likelihood of SR proxy score given by y, denoted as:\nModel 1: yj∼Nα+β1∗IFGTrijminσ2\nModel 2: yj∼Nα+β1∗IFGTrijmaxσ2\nModel 3: yj∼Nα+β1∗V2jminσ2\nModel 4: yj∼Nα+β1∗V2jmaxσ2\nModel 5: yj∼Nα+β1∗IFGTrijmin+β2∗V2jmaxσ2,\nModel 6: yj∼Nα+β1∗IFGTrijmin+β2∗FGTrijmax+β3∗V2jmin+β4∗V2jmaxσ2\nEach model describes the SR proxy score y for the jth subject as a function of oscillatory power interaction features. In these equations, αis the intercept, representing the expected SR proxy score when all predictors are zero—effectively encoding the grand average SR score across the population. The terms xjmin/max denote the power interaction predictors (e.g., minimum or maximum β power in IFGTri, or γ power in V2) for subject j. These predictors reflect the strength of frequency-specific interactions derived from source-reconstructed EEG signals. The coefficients βn are regression weights capturing the influence of each power interaction predictor on the SR proxy score. In the regression models, each coefficient βn quantifies the relationship between a specific power interaction feature and the SR proxy score. Since γ power interactions (e.g., in V2) are typically positive, a positive βn indicates that stronger γ interactions (i.e., larger positive values) are associated with higher SR proxy scores. Conversely, for β power interactions (e.g., in IFGTri), which tend to be negative, a negative βn implies that more negative values—reflecting stronger β interactions—are associated with higher SR proxy scores. Thus, while the sign of the interaction values differs by frequency band, the interpretation of βn remains consistent: It reflects whether stronger interactions in that specific direction (positive or negative) are associated with increased or decreased SR. Finally, σ2 is the residual variance. All models were estimated with weakly informative priors on regression coefficients β∼N(0,1) and a Half-Cauchy prior on σ, unless otherwise specified.\n\n\n### Human EEG—Bayesian regression setup and model comparison\nWe estimated the model regression coefficients using Bayesian inference with Markov chain Monte Carlo (MCMC) sampling, using the python package pymc3 [63] with NUTS (NO-U-Turn Sampling), using multiple independent Markov chains. We implemented 4 chains with 3,000 burn-in (tuning) steps using NUTS. Then, each chain performed 10,000 steps. Those steps were used to approximate the posterior distribution. To check the validity of the sampling, we verified that the R-hat statistic was below 1.05. To evaluate different models with different numbers of parameters, we implemented cross-validation, which has been advocated for Bayesian model comparison, e.g., in [64,65]. In particular, we adopted the leave-one-out cross-validation (LOO-CV) implemented in PyMC3. Lower LOO-CV scores imply better models. We report the full modeling and model comparison results in Table S1 and only include the results of the winning models in the main text.\n\n\n### Human EEG—γ-burst analysis\nTo identify γ-burst events, we adopted the following pipeline. At first, we parcellated the visual cortex using the visual topography probabilistic map (VPTM) atlas. This parcellation consisted of 25 parcels per hemisphere. We constrained our source reconstruction to only parcels related to left and right V1 and V2. Spatial filters were concatenated across vertices comprising those parcels, and we obtained a set of time courses of the event-related field at each parcel. For each parcel, we selected the first spatial components explaining most of the variance in the signal. We adopted this method rather than averaging to avoid signal cancellation due to sign ambiguity of the reconstructed time course. To extract γ-burst time points, we adopted a method from [66], which showed direct good agreement between visual cortical spiking and presence of γ bursts on local field potential (LFP) data. In brief, γ bursts were identified using a generative model for oscillatory bursts. Source time-courses were bandpass-filtered in the 40- to 80-Hz range using a zero-phase finite impulse response (FIR) filter with a center frequency of 60 Hz and a filter order of 11. The signals were then modeled as a combination of spontaneous background activity and transient oscillatory bursts. A dictionary of 30 representative γ waveforms was learned from the data using sparse coding and correntropy-based dictionary learning. Since we performed this analysis on baseline data (i.e., pooled conditions), we used the first 100 trials for training. To detect burst events in the test data (remaining ~1,000 trials), each bandpass-filtered LFP trace was convolved with the learned dictionary atoms. Candidate bursts were then identified by applying an adaptive threshold to the resulting projection, based on the instantaneous power of the matched oscillatory components. IEIs between γ bursts were computed by measuring the time difference between the peaks of successive identified γ events. For consistency with the analysis performed on the animal data, we conducted a 2-sided Kolmogorov–Smirnov test to compare the distribution of IEIs between the resilient group (individuals with negative SR proxy scores) and the nonresilient group (positive SR proxy scores) over the pooled visual cortical areas.\n\n\n### Animal—CSD and SI test\nMice were subjected to a CSD paradigm according to established protocols [12,13]. Mice were introduced into a home cage of an older, larger, and retired male CD1 breeder. During a physical exposure phase of 2 min, the CD1 mouse was allowed to attack the BL6 experimental mouse. For the consecutive sensory exposure phase, a mesh wall was introduced in the middle of the cage between the 2 mice, allowing sensory but not physical contact for 24 h. The procedure was reiterated for 10 d, and experimental mice were encountering different CD1 aggressors daily. On the last day of the CSD, all mice were housed individually in new cages and left to rest until the SI test took place 1 week later. The CD1 aggressors were trained for 3 d before beginning CSD to standardize attack’s latency. The group of nonstressed mice was handled throughout 10 d and placed for 1.5 min in an empty cage before they were returned to their individual cages separated in half by identical mesh walls. The SI test was performed 7 d later [12,13]. A mesh enclosure was presented at the center of an arena, and the interaction zone was defined as 1 cm. Mice were introduced twice into the arena for 2.5 min, first with an empty mesh enclosure, followed by re-introduction with a novel CD1 mouse under the enclosure. The SI score was calculated by forming the quotient of the dwell time of the BL6 mouse within the interaction zone, while a CD1 animal is in the mesh versus an empty mesh. The threshold value was chosen in accordance with Golden et al. [13], and animals with an SI value less than 100 are classified as nonresilient, while animals with an SI value greater than 100 are classified as resilient.\n\n\n### Animal preparation\nMice were placed on a stereotactic frame (David Kopf Instruments, CA, USA) and anesthetized with isoflurane/oxygen (2% vol/vol) by inhalation while placed on a heat plate (ATC 2000, World Precision Instruments, FL, USA) to maintain body temperature at 37 °C. The skull was exposed and thoroughly cleaned from any remaining tissue. A craniotomy of 2 mm diameter was conducted at the coordinates of the primary visual cortex V1 (posterior −3 mm and lateral −2.5 mm to bregma) using a dental drill (Ultimate XL-F, NSK, Trier, Germany, and VS1/4HP/005, Meisinger, Neuss, Germany) under a dissecting microscope (Leica M80 stereo microscope, Leica, Wetzlar, Germany). For expression of the genetically encoded calcium indicator GCaMP6f via viral gene delivery, a total volume of approximately 1.0 μl of AAV1.CamKII.GCaMP6f.WPRE.SV40 solution was manually pressure injected with a 30° angle in 3 depths (150, 200, and 250 μm) into V1. The craniotomy was sealed with a transparent coverslip (3 mm diameter, 0.1 mm thickness) and glued to the skull using super glue (Vetbond, 3M, MN, USA). A ring-shaped head holder with an outer diameter of 14 mm and an inner diameter of 7 mm was implanted onto the skull using UV-glue (Polytec UV-Glue 2195, Polytec PT GmbH, Karlsbad, Germany) with the notch facing the rear of the animal. After the procedure, mice were allowed to recover for 3 weeks prior to habituation. A detailed description of surgical methods is available in [18].\n\n\n### Animal habituation\nMice were habituated over 5 consecutive days to avoid stress exposure during imaging. On day 1, mice were handled for at least 15 min to get familiar with the experimenter. On days 2 and 3, mice were constrained after at least 15 min of handling by manually holding the head holder. On day 4, mice were constrained upon handling using the retaining device that is mounted below the microscope during imaging sessions. Mice were undergoing a mock experiment on day 5 by constraining them with the head holder and mounting them onto the spheric treadmill (JetBall-TFT, PhenoSys, Berlin, Germany) under the microscope. A 15-min recording session was simulated by activating the microscope but keeping all shutters closed to avoid photobleaching.\n\n\n### Animal—in vivo awake 2-photon imaging\nMice were head fixated and mounted on a spheric treadmill, surrounded by a 270° screen system for presenting visual stimuli. In vivo recordings were conducted using a custom-built 2-photon microscope equipped with a resonance scanner (TrimScope II, LaVision Biotec, Bielefeld, Germany), and indicator excitation was achieved by a femtosecond pulsed Ti:sapphire laser (Chameleon II, Coherent Systems, CA, USA). A 40× water immersion objective [0.8 numerical aperture (NA); NIRAPO, Nikon, Tokyo, Japan] was used for imaging, resolving a field of view (FOV) of 277 × 277 μm represented in a matrix of intensity values with 512 × 512 pixel. Image acquisition was controlled by ImSpector Pro software (LaVision Biotec, Bielefeld, Germany) at a frame rate of 30.8 Hz. Relevant information from all subsystems were collected by a multichannel data acquisition interface (CED Power3, Cambridge Electronics, UK) and exported subsequently to each imaging session using the software package Spike2 (Cambridge Electronics, UK). We initially imaged the spontaneous activity of a neuronal microcircuit for 15 min in layer II/III of V1, followed by 12.5 min of visually evoked activity by employing a visual stimulation paradigm. The respective imaging depth of each animal can be found in Table S2. The paradigm consisted of initially 5 s of gray screen, followed by the presentation of 8 randomized static and drifting grating directions lasting 5 s each. The paradigm was repeated 10 times, every time with a novel randomization.\n\n\n### Animal—imaging data analysis\nAll datasets were motion corrected to address x–y movement artefacts using the moco [67] plugin in FIJI ImageJ [68]. As reference image, an average intensity projection was calculated using the z-project function of ImageJ. We employed a custom-written semi-automated MATLAB (The MathWorks, Natick, MA, USA) script for segmentation of all visible neuronal somata within the FOV. The algorithm created an average intensity projection of all single images of the time series, and we marked each neuron with a polygon-shaped outline and defined them as regions of interest (ROIs). We then averaged all intensity values of all pixels within each ROI for every image of the series, resulting in an intensity trace per ROI. A 10-s-long period of quiescence free of calcium transients or signal fluctuations was defined as baseline F0 for each ROI separately. The relative change of fluorescence ΔF/F was calculated for each sample point F with [69]. In the next step, we exported the intensity traces to a custom-written IGOR Pro (Wavemetrics Inc., OR, USA) procedure to detect putatively AP-related calcium transients. First, intensity traces were smoothed by a Gaussian kernel 20 to 30 times, high-pass filtered with a pass band at 0.12/Fs, where Fs is the sampling frequency, and inspected for the presence of calcium transients. Intensity traces that did not exhibit transients or falsely identified structures were excluded from further analysis in this step. Second, a threshold-based algorithm automatically detected signal peaks exceeding 2.5 to 3 SD above the mean. Furthermore, the first and second derivatives were calculated, which had to be 0 and negative, respectively, to meet the criteria of an AP-related calcium transient. The typical decay of the calcium deflection was modeled by fitting an exponential curve using the CurveFit tool of IGOR Pro between the peak and the tail. If necessary, peak locations were corrected manually. Lastly, the onset of a given calcium transient was defined as the first data point prior to the identified peak that dropped below 0.5 SD, the offset when the fitted exponential curve reached 0.5 SD of the baseline. Intensity traces were binarized by representing periods of quiescence as 0 and the sample points of a transient from onset to offset as 1. The circular variance (CV) was calculated as the variance of the cell’s response to all orientations:CV=1−∑krkei2θk∑krk(2)where 𝑟𝑘 is the cell’s response to a given orientation and 𝜃𝑘 is the angle of the grating in radians [70]. To test for synchronicity, activity intervals for each neuron were refined by defining the onset and offset of each identified peak as the first frame to the left and right of the peak frame, respectively, that had a ΔF/F intensity ¡ 0.5 times peak intensity. Activity intervals were defined as all data points between onset and offset. Peaks occurring during an identified activity interval were not considered in a subsequent estimation of onset/offset but were instead considered part of the existing activity interval. The computation of ΔF/F traces in this step was adapted from the Allen Brain SDK 2.14 as a windowed median filter detrending, employing a long filter of 5,401 frames and a short filter of 101 frames (Allen Institute for Brain Science, 2022, Software Development Kit [2.14], available from https://allensdk.readthedocs.io/en/latest/). The binarized activity matrix of all ROIs was used to create pairwise correlations between each pair of ROIs to visualize the connectivity between neurons within timeframes in which at least one ROI showed activity. In the resulting connectivity map, neurons were depicted as nodes based on their x and y positions and were assigned a color value that corresponded to their activity frequency. Edges between nodes were represented as lines whose linewidth was defined by the achieved correlation value. Microscopy of cleared samples was performed in horizontal orientation on the light sheet microscope UltraMicroscope II (Miltenyi Biotec) with a 2×/0.5 NA objective (MV PLAPO 2XC, Olympus) with corrected dipping cap attached and the zoom factor of ×0.63, using the operating software Imspector Pro 7.7.0. Light sheet width was set to 100%, sheet NA—0.163 (3.9 μm thickness), merging algorithm—fixed blend, step size—3 μm, dynamic horizontal focus was used with 8 steps and fixed blending mode. Laser module beam combiner was used with separate laser channels: excitation, 640 nm; emission, 680 nm; 10% power; 100-ms exposure time. Acquired images were processed using arivis Vision4D (Carl Zeiss Microscopy Software Center Rostock GmbH, Germany). iDISCO+ tissue clearing was performed according to Pastore et al. [71] with modifications.\n\n\n### Ethical Approval\nThe study and all experimental protocols were approved by the local ethics committees of the Medical Board of Rhineland-Palatinate, Mainz, Germany, and Johann-Wolfgang-Goethe-University, Frankfurt, Germany [ethical approval: 837.074.16(10393)], and all participants were financially compensated for study participation.\nAll experiments were carried out along institutional animal welfare guidelines and were approved by the Landesuntersuchungsamt Koblenz, State of Rhineland-Palatinate, Germany. For experiments, male C57/BL6 mice were used. Mice were group housed until the beginning of the CSD paradigm. Afterward, animals were single-housed. During the whole experiment, mice had access to food and water ad libitum.\n\n\n### Human EEG—ethics information\nThe study and all experimental protocols were approved by the local ethics committees of the Medical Board of Rhineland-Palatinate, Mainz, Germany, and Johann-Wolfgang-Goethe-University, Frankfurt, Germany [ethical approval: 837.074.16(10393)], and all participants were financially compensated for study participation.\n\n\n### Animal—ethic\nAll experiments were carried out along institutional animal welfare guidelines and were approved by the Landesuntersuchungsamt Koblenz, State of Rhineland-Palatinate, Germany. For experiments, male C57/BL6 mice were used. Mice were group housed until the beginning of the CSD paradigm. Afterward, animals were single-housed. During the whole experiment, mice had access to food and water ad libitum.", "domain": "affective_neuroscience"}
{"source": "PMC13015365", "title": "NPAS4 refines spatial and temporal firing in CA1 pyramidal neurons", "text": "# NPAS4 refines spatial and temporal firing in CA1 pyramidal neurons\n\n## Abstract\nNPAS4 is an activity-dependent transcription factor that, in CA1 of the hippocampus, regulates inhibitory synapses made onto the active pyramidal neuron. In principle, NPAS4 thereby allows the past activity of a neuron to influence how it encodes information, although this has not yet been demonstrated. Here, we generated a sparse, CA1-specific knockout (KO) of NPAS4 in the mouse hippocampus and used optogenetic tagging to identify KO neurons in vivo. Recordings from intermingled wild-type (WT) and KO neurons in awake behaving animals revealed that NPAS4 deletion degrades spatial representations and temporal precision of spiking: KO neurons exhibited larger place fields with reduced in-field firing and increased out-of-field firing, less stable place fields, reduced coupling to local field potential theta oscillations, and diminished phase precession. These findings demonstrate that NPAS4 plays a crucial role in refining the spatial and temporal properties of CA1 pyramidal neuron spikes, which themselves are thought to be fundamental building blocks of more complex processes such as learning and memory.\n\n## Full Text\n\n\n### INTRODUCTION\nExperiences drive long-lasting changes in brain function through a range of molecular mechanisms, including the induction of activity-dependent transcription factors. These transcription factors are rapidly induced by transient neuronal activity and initiate gene expression programs that result in persistent alterations to neuronal function and synaptic connectivity1–6. Although a growing body of research has linked the expression of activity-dependent transcription factors to learning, memory, and behavior7–12, relatively few studies have directly examined how these factors influence the encoding of information in awake, behaving animals13–17.\nIn mice, the transcription factor NPAS4 is expressed almost exclusively in neurons and can be induced across multiple brain regions in a stimulus-dependent manner13,18–25. For instance, contextual fear conditioning or exposure to an enriched environment can elicit NPAS4 expression in behaviorally-relevant neuronal populations throughout the hippocampus6,13,22–25. In CA1 pyramidal neurons, NPAS4 deletion highlights its central role in modulating inhibitory input: knockout neurons exhibit reduced somatic and increased dendritic inhibition compared to neighboring wild-type neurons6. Importantly, these changes arise from the selective regulation of synapses formed by anatomically distinct populations of cholecystokinin (CCK)-expressing interneurons22,25,26, indicating that NPAS4 expression reshapes how CA1 pyramidal neurons are integrated into the CCK inhibitory microcircuit.\nDuring active exploration, a subset of CA1 pyramidal neurons fire in spatially selective patterns and show temporally organized spiking activity that is aligned to the ongoing theta rhythm. Individual pyramidal neurons can code for an animal’s location with spatially-tuned firing that occurs when the animal is in the neuron’s place field27–30. Place field firing is temporally coordinated with theta oscillations, which is the main oscillatory pattern during running. At the entrance into a place field, neurons fire late in the theta cycle, and at the exit, they fire early in the cycle. This phase precession orders the spiking of overlapping place fields such that a series of place fields along a spatial trajectory is also found in a time-compressed form within a theta cycle31–37. Recently, CCK+ inhibitory neurons have been shown to influence both the spatial and temporal firing of CA1 pyramidal neurons. Specifically, chronic dysregulation of CCK+ inhibitory neuron connectivity or deletion of cannabinoid receptors (CB1Rs) from CCK+ inhibitory neurons results in larger place fields recorded from CA1 pyramidal neurons38,39. Acute optogenetic silencing of CCK+ inhibitory neurons also leads to broader place fields and reveals a role for CCK+ inhibitory neurons in constraining burst firing and theta-phase precession of pyramidal neuron spiking40. Thus, the activity of CCK+ inhibitory neurons influences both the spatial and temporal tuning of pyramidal neurons, prompting us to hypothesize that NPAS4, as a transcriptional regulator of CCK+ inhibitory synapses, similarly refines pyramidal neuron firing.\nTo examine how NPAS4 influences spatial representations and temporal precision of spiking, we recorded CA1 pyramidal neuron firing in mice actively navigating a rectangular track, a behavioral context in which place fields and theta-phase–related firing patterns reliably emerge. We used viral expression of Cre to knockout Npas4 and permit expression of Channelrhodopsin in the transduced CA1 pyramidal neurons. This enabled us to obtain extracellular optetrode recordings from intermingled wildtype (WT) and optotagged41 NPAS4 knockout (KO) neurons during navigation. Importantly, sparse deletion of NPAS4 allows for direct comparisons between neurons of different “genotypes” within an individual animal and reduces non-cell autonomous network dysregulation, such as seizure activity5, that occurs when NPAS4 is deleted from large populations of neurons. We observed that while NPAS4 KO neurons exhibited place fields, these fields were larger and less stable throughout the recording session in comparison to those recorded from WT neurons. In addition to these deficits in spatial representations, KO neuron firing was weakly coupled to theta oscillations and demonstrated less theta-phase precession. Collectively, these findings show that cell-specific loss of NPAS4 disrupts the spatial and temporal organization of CA1 pyramidal neuron activity, linking a transcriptional regulator of CCK+ inhibitory neurons to fundamental building blocks of higher-level cognition.\n\n\n### RESULTS\nWe confirmed that in CA1 of adult mice, NPAS4 is expressed in select neurons following exposure to an enriched environment (EE; Figure 1A). We next asked whether NPAS4 has the same effect on inhibitory circuit organization in adult mice as has been previously shown in juveniles6,22,26. To test this, we injected AAV.CamKII_Cre-GFP into the CA1 region of adult Npas4fl/fl mice (~postnatal day 70, P70). After recovery from the surgery, mice were housed in EE for 2–3 months with regular updating of the environment to maintain novelty, matching the timeline used for separate experiments in which we obtained in vivo extracellular recordings. After the prolonged housing in EE, we prepared acute hippocampal slices and performed simultaneous whole-cell recordings from neighboring wild-type (WT) and NPAS4 knockout (KO) neurons. Electrical stimulation was delivered in the somatic or dendritic layers, and pharmacologically-isolated evoked inhibitory postsynaptic currents (eIPSCs) were recorded (Figures 1B and C). KO neurons had smaller amplitude somatic eIPSCs and larger amplitude dendritic eIPSCs than neighboring WT neurons (Figure 1C). Thus, NPAS4 shapes the distribution of inhibitory synaptic input onto CA1 pyramidal neurons in adulthood as it does in juveniles, and this synaptic phenotype persists with chronic exposure to EE.\nWe sought to determine how the loss of NPAS4 affects pyramidal neuronal firing in the context of an intact network with ongoing, behaviorally-driven network activity. To accomplish this, Npafs4fl/fl mice were crossed to Cre-dependent Channelrhodopsin-2 (ChR2) mice (Npas4fl/fl:Ai32). Double-homozygous offspring were transduced with AAV.CamKII_Cre-GFP, resulting in an intermingled population of WT and KO neurons, where the KO neurons also expressed ChR2 (transduced neurons: 30–60%; Figure 1D, E, and S1). After recovery from surgery, mice were housed in EE for 2–3 months, including while electrophysiological recordings were obtained. Daily extracellular recordings were acquired first in the home cage, then during exploration of the rectangular track, and again in the home cage, with light stimulation delivered at the end of the final home cage session (Figure 1F). Spikes were sorted and clearly separated into clusters defined as a “unit”, likely corresponding to spikes generated by a single neuron. In addition, units were well-isolated in both the pre-track and post-track home cage recording periods, demonstrating physical stability of the tetrode across the recording session (N = 174 units from 8 male mice, Figure S2E).\nDuring opto-recording periods (10–30 minutes) at the end of each session, light was delivered through the optical fiber of the optetrode (pulsed at 0.5 Hz; pulse duration of 10 msec) with the laser power set to evoke a small light-triggered response in the LFP without evoking a population spike (typically ~3 mW; Figures S2A and S2C). Peristimulus time histograms (PSTH) were generated for each unit and the opto-response was calculated as the difference between the maximum spike count during the light pulse and the maximum spike count outside the pulse. Units that produced a reliable response to light stimulation were classified as NPAS4 KO neurons (opto-response > 1; n = 47 units), and units that did not were classified as “WT neurons” (opto-response < 1; n = 112 units; Figure 1G–H). Ambiguous units were excluded from further analysis (n = 15 units). KO neurons that express low levels of ChR2 might not robustly respond to the low-power light delivered, leading to some KO neurons being misclassified as WTs. To confirm the veracity of our WT population, we delivered high-power light, causing opto-triggered spikes from KO neurons to be recruited into the population spike and leaving WT neurons unchanged (Figures 1I, S2B, and S2D). Clusters of spikes from WT or KO neurons had comparable separation metrics and were present throughout the recording session (Figure S2E–H). Finally, percentages of KO neurons mirrored post hoc quantification of transduction density across animals (Figures S2I and S2J). Collectively, these analyses gave us confidence in our assignment of WT or KO neurons from tetrode recordings.\nGiven the role of CCK+ interneurons in sculpting spatial tuning, we hypothesized that the dysregulation of inhibitory input onto NPAS4 KO neurons would lead to aberrant activity patterns during navigation. To explore this, we compared WT and KO neuron firing while mice ran laps on the track for a food reward. Each track recording session consisted of 10 trials run in one direction (an epoch) followed by 10 trials run in the opposite direction, alternating for 8 epochs or 30 minutes, whichever came first (Figure 2A). Trained behavior across the track was stereotyped, as assessed by velocity (Figures 2B and S2K–M). Across all trials on the track and considering only periods of time when the animal was running (velocity > 2 cm/sec), KO neurons had slightly but significantly higher firing rates than WT neurons (Figure 2C) but fewer spikes that occurred in bursts (defined as ISIs < 10 msec; Figures 2D and 2E).\nIt was unclear whether the increased firing rate measured in KO neurons reflected a more robust response within a neuron’s place field or spurious firing outside the neuron’s spatial receptive field. To disambiguate this, we analyzed spatial firing rates by linearizing the track (reward zone at 0) and calculating the spike rate within 4 cm bins (for example, see Figures S3A and B) when the animal was running (velocity > 2 cm/sec). Place fields are direction-selective42,43; thus, trials run in opposite directions (clockwise (CW) or counterclockwise (CCW)) were analyzed independently and considered as distinct data points.\nTo focus our analyses on neurons that are active during behavior, we classified neurons as “high firing” if their mean spatial firing rate exceeded 0.1 Hz and their trial-averaged maximum spatial firing rate exceeded 1 Hz (Figure 2G); neurons below this cutoff were classified as “low firing” (Figure 2F). Histograms of mean and maximum spatial firing rates revealed a continuous distribution in both genotypes (Figure S3C and D), underscoring that this classification is not categorical but instead provides a pragmatic cutoff to exclude cells with minimal spatially organized spiking.\nNPAS4 WT and KO neurons had dramatically different percentages of neurons with low and high spatial firing rates during behavior. Among the WTs, ~27% of neurons had low firing rates in both directions, and 11% had low firing rates in one direction. In comparison, KO neurons were significantly different, with low firing rates in 11% of neurons in both directions and 17% in one direction (Figure 2H). Moreover, among the low firing rate neurons, KO neurons had significantly higher mean and maximum spatial firing rates (Figure 2I). In contrast, and despite the larger percentage of KO neurons in the high firing rate subgroup, we did not measure differences in the mean or maximum spatial firing rates between genotypes (Figure 2J). These results suggest that a greater proportion of KO neurons are active during behavior, possibly reducing the sparsity of the overall ensemble representation of the environment. Moreover, among the high firing rate neurons, the similarity between WT and KO spatial firing rates when averaged across the entire track raises the question of whether WT and KO neurons have comparable place field representations.\nWe considered the high firing rate neurons as putative place cells29 and defined a place field as the contiguous bins in which the firing rate was above 10% max firing and at least one bin was above 50% max (Figure 3A). Both WT and KO place cells had comparable numbers of place fields (typically only one; Figure 3B) that tiled the track and were directionally selective (Figure 3C) with low Pearson’s correlation coefficients between CW and CCW directions (Figure S3E). Despite these similarities, KO neurons generated significantly larger place fields than WT neurons (50 ± 3.52 cm and 39 ± 1.86 cm, respectively; Figure 3D).\nOur observation that WT and KO neurons have comparable spatial firing rates across the entire track, but KO neurons have larger place fields and thus larger portions of the track with elevated firing, presents a conundrum. One possible way to reconcile these measurements, particularly considering the excessive dendritic and reduced somatic inhibition received by NPAS4 KO neurons, would be if KO neurons have relatively lower firing rates within the place field and higher firing rates outside of the place field. Among WT neurons, 69% of action potentials were within the place field (”in-field”) and 31% were distributed across the rest of the track (“out-of-field”); for KO neurons these values were 63% and 37%, respectively (Figure S3F). To quantify in-field spatial firing rates, we aligned each field to the peak and compared the firing rates in each spatial bin (Figure 3E). Across the population, KO neurons had significantly lower peak firing rates and reduced in-field firing rates (Figures 3E, 3F). After normalizing to the peak firing, KO neurons showed significantly higher firing rates as the animal entered and exited the field, driving the larger normalized place fields (Figure 3G). Moreover, increasing the firing rate threshold for defining a place field eliminated the differences between genotypes (Figures S3G and S3H), suggesting that place fields generated by KO neurons are not scaled versions of WT place fields.\nIf the overall spatial firing rates are comparable but the in-field firing rate is lower, KO neurons must have higher out-of-field firing. Indeed, in our normalized, peak-aligned rate maps, KO neurons often had higher out-of-field firing rates, and this was significant when averaging across all out-of-field bins (Figures 3H, 3I). The shift in spikes from in-field (“signal”) to out-of-field (“noise”) strongly reduced the KO neurons’ signal-to-noise ratio (Figure 3J). Indeed, KO place cells conveyed less spatial information with each spike and fired more uniformly over the track (Figures 3K, 3L). These results were robust to variations in firing rate threshold (Figures S4A–C) and persisted when controlling for firing rate (Figures S4D–G). Thus, deleting NPAS4 reduces the precision of CA1 pyramidal neuron spatial representations.\nIn the average rate maps, the KO neurons have significantly broader spatial tuning than WT neurons. Surprisingly, this difference seemed less prominent when looking at individual trials (Figures S5A–F). Place fields that shift location on a trial-to-trial basis could give the appearance of a larger average field while masking an underlying instability of the field. To assess place field stability, we averaged firing across the track for each epoch (10 trials) and calculated Pearson’s correlation coefficients (PCCs) between successive epochs for WT and KO neurons. While both WT and KO neurons had PCCs that were higher than shuffles, the PCC was lower for KO neurons at each comparison, demonstrating that the overall spatial firing was less consistent across epochs (Figures 4A, 4B, and S5G). Restricting the analysis to in-field or out-of-field bins also revealed lower correlations in KO neuron firing (Figure S5H and S5I), suggesting that their place fields are more labile, and that the higher out-of-field activity measured in the KO neurons is spurious and unlikely to be nascent field formation.\nIs the reduced correlation across epochs due to a systematic change in KO neuron spatial firing? To assess this, each place field was aligned to its peak location in the first epoch (E1; Figure 4C) and fields from all neurons were averaged within each epoch. In WT neurons, place fields remained stable across the first three epochs, but in E4, they showed a reduction in peak firing and a broader tail extending toward the field entrance—hinting at the Mehta effect44,45 and behavioral timescale plasticity46. In contrast, KO neurons were indistinguishable from WTs in E1, but as early as E2, the average field began to degenerate, with reduced peak firing and increased activity in peri-field and out-of-field regions. These differences were exacerbated in the population averages in E3 and E4, indicating substantial heterogeneity in the changes exhibited by KO neurons.\nTo better understand how place fields changed at the level of individual neurons, we examined the shift in peak firing location across epochs. WT neurons showed minimal movement of the place field peak through E3, but by E4, over half of the fields had shifted toward the field entrance. KO neurons also showed shifts in peak firing towards the entrance, but these differences emerged as early as E2 (Figure S5J and S5K). To visualize changes in spatial firing across the entire track—not just at the peak—for each neuron and across epochs, we computed firing rate difference maps between successive epochs. Each map was centered on the peak firing location from E1, and fields were ordered based on the change in firing between E2 and E1 across all comparisons (Figures 4D and 4E). Although there were a variety of responses within both populations, many place fields from WT neurons showed the characteristic Mehta effect at the level of individual cells, most consistently between E3 and E444,45. KO neuron place field locations were more variable, with individual field positions jumping larger distances, often in early epochs, and without stability of the new location in subsequent epochs. Collectively, these analyses show that while place fields from both WT and KO neurons shift over time, the KO neuron place fields are exceptionally labile, likely underlying the larger trial-averaged field sizes and emerging from the dysregulation of inhibition.\nDuring running, CA1 pyramidal neuron firing is organized with respect to the underlying theta rhythm in the local field potential (LFP). While phase precession broadens the range of theta phases at which CA1 pyramidal neurons fire, spiking remains largely confined to a preferred portion of the theta cycle31–34—a constraint shaped in part by rhythmic inhibition40,47–50. This led us to examine whether theta-phase coupling is disrupted in KO neurons.\nIn our experiments, KO and WT neurons are intermingled; hence, spikes generated by neurons of either genotype are aligned to a shared LFP. During bouts of running, the theta power in the LFP was indistinguishable from control-injected animals, indicating that sparse deletion of Npas4 did not impact theta oscillations (Figure S6A and B). We filtered the LFP (2–20 Hz) to focus on the theta band and obtained the phase of theta at which each spike occurred, where 0° is the peak of theta and 180° is the trough (Figure 5A). We fit a vector to the spike-theta phases and used this to calculate the mean vector length (MVL) and the preferred theta phase for the best field (field with the highest firing rate) of each cell (Figure 5B). Although we did not observe any significant differences in the preferred theta phase between WT and KO populations (Figure 5C and D), we did find that KO cells had significantly lower MVLs (Figure 5E), indicating that the KO neurons have a weaker phase preference. This difference persisted when we considered in-field activity from all fields. No difference between WT and KO theta-phase coupling was detected when restricting the analysis to out-of-field firing (Figure S6C–E). The strength of theta coupling varies as an animal traverses a given neuron’s place field, decreasing at the peak of the field51,52. We observed this pattern for both WT and KO firing. KO neurons, however, had considerably lower MVLs regardless of place field position (Figure 5F). Taken together, these data demonstrate that KO neuron place field firing is less theta-coupled than WT neuron counterparts.\nPhase precession relies on spike timing across the theta cycle, wherein a pyramidal neuron’s spikes occur at earlier phases of theta as the animal moves through its place field. This enables information about the sequential activation of fields to be preserved in the temporal ordering of spikes for fields with spatial overlap. Since KO neurons have reduced theta-phase coupling, we extended our analysis to phase precession to determine if there are also differences. For each trial, we plotted each spike’s theta phase relative to the animal’s location in the place field (Figure 6A) and used the slope of the linear fit to quantify phase precession (Figure 6B and C)37,53,54. For trials that met established criteria55 (Figure S6F), trial-to-trial variability in slope did not differ between genotypes (Figure S6G). However, the mean slope per neuron (Figure 6D; median slopes: Figure S6N)—a measure of overall phase precession strength—was significantly shallower in KO neurons, despite both groups showing the expected negative values indicative of phase precession. This difference disappeared when we shuffled spike phases or spatial positions (Figure S6H–K) and remained robust to bootstrapping (Figures S6L and S6M). Thus, NPAS4 KO neurons have weaker phase precession than WT neurons.\nLarger place fields have shallower phase precession54,56, raising the possibility that field size differences could account for the diminished phase precession observed in KO neurons. First, considering the trials that met the criteria above and calculating field size for each trial independently, we compared the average per-trial field sizes between the WT and KO neurons. KO neurons had significantly larger per-trial field sizes than WTs (Figure 6E), although both were smaller than those calculated using the complete set of trials (Figure S5D). This result is consistent with the idea that our phase precession criteria selected for neurons with stronger spatial tuning. For both WT and KO neurons, field size and phase precession slope were highly correlated (Figure 6F) (Spearman’s correlation: WT: Rho = 0.7754, p = 1×10−10; KO: Rho = 0.7650, p = 1×10−10). To determine the relative contributions of genotype, field size, and theta modulation strength to the difference in phase precession, we built a linear regression model, using these three variables as predictors (Table S1); field size and slope were log transformed to account for the non-linearities in these variables (Figure S6O and P). The model explained 28% of the variance in slope (adjusted R2 = 0.2784) with field size emerging as the only significant positive predictor of phase precession (β = 0.9191, p = 1.3433 × 10−12). Thus, the reduction in phase precession observed in NPAS4 KO neurons is linked to the concomitant increase in place field size, suggesting a coupling between spatial representations and temporal precision of spiking that is perturbed when NPAS4-dependent regulation of inhibition is disrupted.\n\n\n### NPAS4 Reorganizes Somatodendritic Inhibition in CA1 Pyramidal Neurons of Adult Mice\nWe confirmed that in CA1 of adult mice, NPAS4 is expressed in select neurons following exposure to an enriched environment (EE; Figure 1A). We next asked whether NPAS4 has the same effect on inhibitory circuit organization in adult mice as has been previously shown in juveniles6,22,26. To test this, we injected AAV.CamKII_Cre-GFP into the CA1 region of adult Npas4fl/fl mice (~postnatal day 70, P70). After recovery from the surgery, mice were housed in EE for 2–3 months with regular updating of the environment to maintain novelty, matching the timeline used for separate experiments in which we obtained in vivo extracellular recordings. After the prolonged housing in EE, we prepared acute hippocampal slices and performed simultaneous whole-cell recordings from neighboring wild-type (WT) and NPAS4 knockout (KO) neurons. Electrical stimulation was delivered in the somatic or dendritic layers, and pharmacologically-isolated evoked inhibitory postsynaptic currents (eIPSCs) were recorded (Figures 1B and C). KO neurons had smaller amplitude somatic eIPSCs and larger amplitude dendritic eIPSCs than neighboring WT neurons (Figure 1C). Thus, NPAS4 shapes the distribution of inhibitory synaptic input onto CA1 pyramidal neurons in adulthood as it does in juveniles, and this synaptic phenotype persists with chronic exposure to EE.\n\n\n### Optical Tagging Enables In Vivo Identification of NPAS4 Knockout Neurons\nWe sought to determine how the loss of NPAS4 affects pyramidal neuronal firing in the context of an intact network with ongoing, behaviorally-driven network activity. To accomplish this, Npafs4fl/fl mice were crossed to Cre-dependent Channelrhodopsin-2 (ChR2) mice (Npas4fl/fl:Ai32). Double-homozygous offspring were transduced with AAV.CamKII_Cre-GFP, resulting in an intermingled population of WT and KO neurons, where the KO neurons also expressed ChR2 (transduced neurons: 30–60%; Figure 1D, E, and S1). After recovery from surgery, mice were housed in EE for 2–3 months, including while electrophysiological recordings were obtained. Daily extracellular recordings were acquired first in the home cage, then during exploration of the rectangular track, and again in the home cage, with light stimulation delivered at the end of the final home cage session (Figure 1F). Spikes were sorted and clearly separated into clusters defined as a “unit”, likely corresponding to spikes generated by a single neuron. In addition, units were well-isolated in both the pre-track and post-track home cage recording periods, demonstrating physical stability of the tetrode across the recording session (N = 174 units from 8 male mice, Figure S2E).\nDuring opto-recording periods (10–30 minutes) at the end of each session, light was delivered through the optical fiber of the optetrode (pulsed at 0.5 Hz; pulse duration of 10 msec) with the laser power set to evoke a small light-triggered response in the LFP without evoking a population spike (typically ~3 mW; Figures S2A and S2C). Peristimulus time histograms (PSTH) were generated for each unit and the opto-response was calculated as the difference between the maximum spike count during the light pulse and the maximum spike count outside the pulse. Units that produced a reliable response to light stimulation were classified as NPAS4 KO neurons (opto-response > 1; n = 47 units), and units that did not were classified as “WT neurons” (opto-response < 1; n = 112 units; Figure 1G–H). Ambiguous units were excluded from further analysis (n = 15 units). KO neurons that express low levels of ChR2 might not robustly respond to the low-power light delivered, leading to some KO neurons being misclassified as WTs. To confirm the veracity of our WT population, we delivered high-power light, causing opto-triggered spikes from KO neurons to be recruited into the population spike and leaving WT neurons unchanged (Figures 1I, S2B, and S2D). Clusters of spikes from WT or KO neurons had comparable separation metrics and were present throughout the recording session (Figure S2E–H). Finally, percentages of KO neurons mirrored post hoc quantification of transduction density across animals (Figures S2I and S2J). Collectively, these analyses gave us confidence in our assignment of WT or KO neurons from tetrode recordings.\n\n\n### Spatial Tuning Is Impaired in NPAS4 Knockout CA1 Neurons\nGiven the role of CCK+ interneurons in sculpting spatial tuning, we hypothesized that the dysregulation of inhibitory input onto NPAS4 KO neurons would lead to aberrant activity patterns during navigation. To explore this, we compared WT and KO neuron firing while mice ran laps on the track for a food reward. Each track recording session consisted of 10 trials run in one direction (an epoch) followed by 10 trials run in the opposite direction, alternating for 8 epochs or 30 minutes, whichever came first (Figure 2A). Trained behavior across the track was stereotyped, as assessed by velocity (Figures 2B and S2K–M). Across all trials on the track and considering only periods of time when the animal was running (velocity > 2 cm/sec), KO neurons had slightly but significantly higher firing rates than WT neurons (Figure 2C) but fewer spikes that occurred in bursts (defined as ISIs < 10 msec; Figures 2D and 2E).\nIt was unclear whether the increased firing rate measured in KO neurons reflected a more robust response within a neuron’s place field or spurious firing outside the neuron’s spatial receptive field. To disambiguate this, we analyzed spatial firing rates by linearizing the track (reward zone at 0) and calculating the spike rate within 4 cm bins (for example, see Figures S3A and B) when the animal was running (velocity > 2 cm/sec). Place fields are direction-selective42,43; thus, trials run in opposite directions (clockwise (CW) or counterclockwise (CCW)) were analyzed independently and considered as distinct data points.\nTo focus our analyses on neurons that are active during behavior, we classified neurons as “high firing” if their mean spatial firing rate exceeded 0.1 Hz and their trial-averaged maximum spatial firing rate exceeded 1 Hz (Figure 2G); neurons below this cutoff were classified as “low firing” (Figure 2F). Histograms of mean and maximum spatial firing rates revealed a continuous distribution in both genotypes (Figure S3C and D), underscoring that this classification is not categorical but instead provides a pragmatic cutoff to exclude cells with minimal spatially organized spiking.\nNPAS4 WT and KO neurons had dramatically different percentages of neurons with low and high spatial firing rates during behavior. Among the WTs, ~27% of neurons had low firing rates in both directions, and 11% had low firing rates in one direction. In comparison, KO neurons were significantly different, with low firing rates in 11% of neurons in both directions and 17% in one direction (Figure 2H). Moreover, among the low firing rate neurons, KO neurons had significantly higher mean and maximum spatial firing rates (Figure 2I). In contrast, and despite the larger percentage of KO neurons in the high firing rate subgroup, we did not measure differences in the mean or maximum spatial firing rates between genotypes (Figure 2J). These results suggest that a greater proportion of KO neurons are active during behavior, possibly reducing the sparsity of the overall ensemble representation of the environment. Moreover, among the high firing rate neurons, the similarity between WT and KO spatial firing rates when averaged across the entire track raises the question of whether WT and KO neurons have comparable place field representations.\nWe considered the high firing rate neurons as putative place cells29 and defined a place field as the contiguous bins in which the firing rate was above 10% max firing and at least one bin was above 50% max (Figure 3A). Both WT and KO place cells had comparable numbers of place fields (typically only one; Figure 3B) that tiled the track and were directionally selective (Figure 3C) with low Pearson’s correlation coefficients between CW and CCW directions (Figure S3E). Despite these similarities, KO neurons generated significantly larger place fields than WT neurons (50 ± 3.52 cm and 39 ± 1.86 cm, respectively; Figure 3D).\nOur observation that WT and KO neurons have comparable spatial firing rates across the entire track, but KO neurons have larger place fields and thus larger portions of the track with elevated firing, presents a conundrum. One possible way to reconcile these measurements, particularly considering the excessive dendritic and reduced somatic inhibition received by NPAS4 KO neurons, would be if KO neurons have relatively lower firing rates within the place field and higher firing rates outside of the place field. Among WT neurons, 69% of action potentials were within the place field (”in-field”) and 31% were distributed across the rest of the track (“out-of-field”); for KO neurons these values were 63% and 37%, respectively (Figure S3F). To quantify in-field spatial firing rates, we aligned each field to the peak and compared the firing rates in each spatial bin (Figure 3E). Across the population, KO neurons had significantly lower peak firing rates and reduced in-field firing rates (Figures 3E, 3F). After normalizing to the peak firing, KO neurons showed significantly higher firing rates as the animal entered and exited the field, driving the larger normalized place fields (Figure 3G). Moreover, increasing the firing rate threshold for defining a place field eliminated the differences between genotypes (Figures S3G and S3H), suggesting that place fields generated by KO neurons are not scaled versions of WT place fields.\nIf the overall spatial firing rates are comparable but the in-field firing rate is lower, KO neurons must have higher out-of-field firing. Indeed, in our normalized, peak-aligned rate maps, KO neurons often had higher out-of-field firing rates, and this was significant when averaging across all out-of-field bins (Figures 3H, 3I). The shift in spikes from in-field (“signal”) to out-of-field (“noise”) strongly reduced the KO neurons’ signal-to-noise ratio (Figure 3J). Indeed, KO place cells conveyed less spatial information with each spike and fired more uniformly over the track (Figures 3K, 3L). These results were robust to variations in firing rate threshold (Figures S4A–C) and persisted when controlling for firing rate (Figures S4D–G). Thus, deleting NPAS4 reduces the precision of CA1 pyramidal neuron spatial representations.\n\n\n### Stability of Spatial Firing Is Reduced in NPAS4 Knockout Neurons\nIn the average rate maps, the KO neurons have significantly broader spatial tuning than WT neurons. Surprisingly, this difference seemed less prominent when looking at individual trials (Figures S5A–F). Place fields that shift location on a trial-to-trial basis could give the appearance of a larger average field while masking an underlying instability of the field. To assess place field stability, we averaged firing across the track for each epoch (10 trials) and calculated Pearson’s correlation coefficients (PCCs) between successive epochs for WT and KO neurons. While both WT and KO neurons had PCCs that were higher than shuffles, the PCC was lower for KO neurons at each comparison, demonstrating that the overall spatial firing was less consistent across epochs (Figures 4A, 4B, and S5G). Restricting the analysis to in-field or out-of-field bins also revealed lower correlations in KO neuron firing (Figure S5H and S5I), suggesting that their place fields are more labile, and that the higher out-of-field activity measured in the KO neurons is spurious and unlikely to be nascent field formation.\nIs the reduced correlation across epochs due to a systematic change in KO neuron spatial firing? To assess this, each place field was aligned to its peak location in the first epoch (E1; Figure 4C) and fields from all neurons were averaged within each epoch. In WT neurons, place fields remained stable across the first three epochs, but in E4, they showed a reduction in peak firing and a broader tail extending toward the field entrance—hinting at the Mehta effect44,45 and behavioral timescale plasticity46. In contrast, KO neurons were indistinguishable from WTs in E1, but as early as E2, the average field began to degenerate, with reduced peak firing and increased activity in peri-field and out-of-field regions. These differences were exacerbated in the population averages in E3 and E4, indicating substantial heterogeneity in the changes exhibited by KO neurons.\nTo better understand how place fields changed at the level of individual neurons, we examined the shift in peak firing location across epochs. WT neurons showed minimal movement of the place field peak through E3, but by E4, over half of the fields had shifted toward the field entrance. KO neurons also showed shifts in peak firing towards the entrance, but these differences emerged as early as E2 (Figure S5J and S5K). To visualize changes in spatial firing across the entire track—not just at the peak—for each neuron and across epochs, we computed firing rate difference maps between successive epochs. Each map was centered on the peak firing location from E1, and fields were ordered based on the change in firing between E2 and E1 across all comparisons (Figures 4D and 4E). Although there were a variety of responses within both populations, many place fields from WT neurons showed the characteristic Mehta effect at the level of individual cells, most consistently between E3 and E444,45. KO neuron place field locations were more variable, with individual field positions jumping larger distances, often in early epochs, and without stability of the new location in subsequent epochs. Collectively, these analyses show that while place fields from both WT and KO neurons shift over time, the KO neuron place fields are exceptionally labile, likely underlying the larger trial-averaged field sizes and emerging from the dysregulation of inhibition.\n\n\n### Temporal Precision of Spiking Is Impaired in NPAS4 Knockout CA1 Neuron\nDuring running, CA1 pyramidal neuron firing is organized with respect to the underlying theta rhythm in the local field potential (LFP). While phase precession broadens the range of theta phases at which CA1 pyramidal neurons fire, spiking remains largely confined to a preferred portion of the theta cycle31–34—a constraint shaped in part by rhythmic inhibition40,47–50. This led us to examine whether theta-phase coupling is disrupted in KO neurons.\nIn our experiments, KO and WT neurons are intermingled; hence, spikes generated by neurons of either genotype are aligned to a shared LFP. During bouts of running, the theta power in the LFP was indistinguishable from control-injected animals, indicating that sparse deletion of Npas4 did not impact theta oscillations (Figure S6A and B). We filtered the LFP (2–20 Hz) to focus on the theta band and obtained the phase of theta at which each spike occurred, where 0° is the peak of theta and 180° is the trough (Figure 5A). We fit a vector to the spike-theta phases and used this to calculate the mean vector length (MVL) and the preferred theta phase for the best field (field with the highest firing rate) of each cell (Figure 5B). Although we did not observe any significant differences in the preferred theta phase between WT and KO populations (Figure 5C and D), we did find that KO cells had significantly lower MVLs (Figure 5E), indicating that the KO neurons have a weaker phase preference. This difference persisted when we considered in-field activity from all fields. No difference between WT and KO theta-phase coupling was detected when restricting the analysis to out-of-field firing (Figure S6C–E). The strength of theta coupling varies as an animal traverses a given neuron’s place field, decreasing at the peak of the field51,52. We observed this pattern for both WT and KO firing. KO neurons, however, had considerably lower MVLs regardless of place field position (Figure 5F). Taken together, these data demonstrate that KO neuron place field firing is less theta-coupled than WT neuron counterparts.\nPhase precession relies on spike timing across the theta cycle, wherein a pyramidal neuron’s spikes occur at earlier phases of theta as the animal moves through its place field. This enables information about the sequential activation of fields to be preserved in the temporal ordering of spikes for fields with spatial overlap. Since KO neurons have reduced theta-phase coupling, we extended our analysis to phase precession to determine if there are also differences. For each trial, we plotted each spike’s theta phase relative to the animal’s location in the place field (Figure 6A) and used the slope of the linear fit to quantify phase precession (Figure 6B and C)37,53,54. For trials that met established criteria55 (Figure S6F), trial-to-trial variability in slope did not differ between genotypes (Figure S6G). However, the mean slope per neuron (Figure 6D; median slopes: Figure S6N)—a measure of overall phase precession strength—was significantly shallower in KO neurons, despite both groups showing the expected negative values indicative of phase precession. This difference disappeared when we shuffled spike phases or spatial positions (Figure S6H–K) and remained robust to bootstrapping (Figures S6L and S6M). Thus, NPAS4 KO neurons have weaker phase precession than WT neurons.\nLarger place fields have shallower phase precession54,56, raising the possibility that field size differences could account for the diminished phase precession observed in KO neurons. First, considering the trials that met the criteria above and calculating field size for each trial independently, we compared the average per-trial field sizes between the WT and KO neurons. KO neurons had significantly larger per-trial field sizes than WTs (Figure 6E), although both were smaller than those calculated using the complete set of trials (Figure S5D). This result is consistent with the idea that our phase precession criteria selected for neurons with stronger spatial tuning. For both WT and KO neurons, field size and phase precession slope were highly correlated (Figure 6F) (Spearman’s correlation: WT: Rho = 0.7754, p = 1×10−10; KO: Rho = 0.7650, p = 1×10−10). To determine the relative contributions of genotype, field size, and theta modulation strength to the difference in phase precession, we built a linear regression model, using these three variables as predictors (Table S1); field size and slope were log transformed to account for the non-linearities in these variables (Figure S6O and P). The model explained 28% of the variance in slope (adjusted R2 = 0.2784) with field size emerging as the only significant positive predictor of phase precession (β = 0.9191, p = 1.3433 × 10−12). Thus, the reduction in phase precession observed in NPAS4 KO neurons is linked to the concomitant increase in place field size, suggesting a coupling between spatial representations and temporal precision of spiking that is perturbed when NPAS4-dependent regulation of inhibition is disrupted.\n\n\n### DISCUSSION\nNPAS4 orchestrates a reorganization of inhibitory inputs along the somatodendritic axis of CA1 pyramidal neurons, serving as a molecular link between a neuron’s recent activity and targeted changes in inhibitory synapse composition. Here, we demonstrate that NPAS4-mediated reorganization of inhibition occurs in adult animals, not just in juveniles, suggesting that NPAS4 is important for tuning neuronal activity across the lifespan of the animal. Using a sparse knockout strategy and in vivo optotagging to differentiate between WT and KO neurons within awake, behaving animals, we identified several consequences of the loss of NPAS4, schematized in Figure 6G. First, we showed that NPAS4 KO neurons have more uniform firing across the track. Specifically, KO neurons exhibit lower firing rates within the neuron’s place field and higher firing rates across the rest of the track. In addition to the degenerate representation of space, KO neuron place fields were less stable, shifting large distances over few trials. The temporal organization of spikes was also disrupted—KO neurons showed weaker theta coupling and exhibited shallower phase precession. Together, these findings reveal that NPAS4 expression has substantial and lasting consequences for the spatial precision and temporal organization of CA1 pyramidal neuron firing in adult mice.\nOur experimental design provides insight into the cell-autonomous effects of behavioral experience on pyramidal neuron activity. By sparsely knocking out NPAS4 in adult mice, we reduce the likelihood of developmental or circuit-level compensations that could mask or exaggerate NPAS4-dependent phenotypes. While our manipulation is sparse, NPAS4 is knocked out for at least one month. Additional methodological innovation is needed to examine the more acute consequences of NPAS4 expression or deletion. Our use of electrophysiological recordings from intermingled WT and KO neurons enables precise measurement of spike timing relative to a shared local field potential (LFP)—a level of temporal resolution not achievable with calcium imaging57,58. This study advances our understanding of how an activity-dependent transcription factor shapes in vivo information encoding and creates a bridge between molecular and circuit-level biology.\nDetailed knowledge of how NPAS4 changes inhibitory synaptic connectivity is an essential context for understanding the results in this study and reveals important future questions to be explored. NPAS4-dependent changes in CCK+ inhibition are necessary for the emergence of dendritic plasticity mechanisms26. We speculate that the increased dendritic inhibition observed in NPAS4 KO neurons suppresses burst firing and impairs dendritic plasticity—processes thought to stabilize place fields46,59–69. In contrast, reduced somatic inhibition may permit spikes to be generated when they should not be, leading to spurious out-of-field firing. Inhibition from CCK+ neurons onto CA1 pyramidal neurons has been shown to constrain place field size and increase stability38. Our findings support this role and extend it by linking activity-dependent expression of NPAS4 to the same spatial receptive field properties.\nBeyond their role in shaping pyramidal neuron spatial receptive fields, CCK+ inhibitory neurons also contribute to the temporal organization of spiking through their influence on theta-modulated firing. In vivo recordings obtained from anesthetized rats50 and awake behaving mice40 have shown that CCK+ basket cell activity itself is theta-modulated, though the preferred phase of firing varies between paradigms. In principle50,70, the rhythmicity of CCK+ basket cell firing imposes a window of opportunity for pyramidal neuron firing. Reduced CCK+ basket cell inhibition, as demonstrated in NPAS4 KO neurons22, likely broadens this window thereby contributing to the diminished theta coupling observed in this study. While CCK+ inhibitory neurons have not been directly linked to phase precession, activation of CB1 receptors (found exclusively on CCK+ inhibitory neurons in the hippocampus) has been shown to disrupt phase precession71,72. We observe a clear disruption of this temporal coding property in NPAS4 KO neurons. Notably, phase precession slope was significantly correlated with place field size in our dataset—a relationship that also emerged as a key predictor in our regression model. Although others have reported similar correlations, the mechanistic link between field size and precession slope remains unresolved: does one drive the other, or do both arise from a shared upstream process? A major challenge for the field will be to develop strategies that disentangle these interdependent coding features and clarify how distinct forms of inhibition interact to shape them. Nevertheless, our findings demonstrate that the distribution of place field sizes and phase precession slopes are shifted in NPAS4 KO neurons, suggesting a shared dependence on NPAS4-mediated inhibitory synapse organization.\nThe activity of CCK+ inhibitory neurons is strongly modulated by behavioral state, suggesting that their influence on pyramidal neuron output may be particularly important during transitions in network dynamics. For example, CCK+ inhibitory neurons increase their firing during shifts from locomotion to immobility73,74, and are particularly recruited during hippocampal ripples in NREM sleep40. Based on this, NPAS4 may be instrumental in suppressing pyramidal neuron firing during periods of rest and preventing indiscriminate recruitment into ripple-delimited replay events. While our study focused on periods of active exploration, future work examining how NPAS4 shapes CA1 activity during transitions to immobility or during specific stages of sleep, is likely to be especially relevant.\nFinally, there are many activity-dependent transcription factors, in addition to NPAS4, that are expressed in neurons. Single-cell transcriptomics show us that the expression of these transcription factors often overlaps. For example, NPAS4+ neurons are often also Fos+. Yet, these two transcription factors drive different mutually-exclusive synaptic phenotypes, regulating somatic inhibition from CCK+ or PV+ basket cells, respectively22,75. Moreover, there is recent evidence that Fos also shapes spatial representations in CA1 pyramidal neurons, with high Fos expression correlating with larger, more stable place fields16. To understand the rich complexity of activity-dependent gene regulation, future studies that closely examine the synergistic, antagonistic, or mutually exclusive actions of different activity-dependent transcription factors are needed.\n\n\n### Resource availability\nRequests for further information, resources, and reagents should be directed to and will be fulfilled by the lead contact, Brenda Bloodgood (blbloodgood@ucsd.edu).\nThis study did not generate new, unique reagents.\nThe electrophysiology data will be deposited on Zenodo upon publication of the study. Code is available at https://github.com/Bloodgood-Lab/Payne-et-al/tree/main.\n\n\n### Lead contact\nRequests for further information, resources, and reagents should be directed to and will be fulfilled by the lead contact, Brenda Bloodgood (blbloodgood@ucsd.edu).\n\n\n### Materials availability\nThis study did not generate new, unique reagents.\n\n\n### Data and code availability\nThe electrophysiology data will be deposited on Zenodo upon publication of the study. Code is available at https://github.com/Bloodgood-Lab/Payne-et-al/tree/main.\n\n\n### METHODS\nAll experiments were conducted in accordance with National Institutes of Health (NIH) guidelines and following the approval of our protocol by UC San Diego’s Institutional Animal Care and Use Committee (IACUC). An Npas4fl/fl 5 animal line was used for acute slice electrophysiology experiments and an Npas4fl/fl:Ai32 (Ai32 RRID:IMSR_JAX:012569) animal line was used for NPAS4 immunohistochemistry (IHC) and all in vivo electrophysiology experiments. Only male mice were used for the sparse in vivo experiments. All electrophysiology experiments were performed on adult animals (P70-P200) that were housed long-term in enriched environments. The enriched environment consisted of a running wheel, toys, wooden blocks, and other objects of various shapes, colors, and textures. To maintain novelty, toys were replaced every two days. For all electrophysiology experiments, mice were kept in the vivarium on a reverse 12-hour light-dark cycle and were single-housed.\nFor NPAS4 staining in enriched animals, adult mice (P70-P200) housed in a normal light-dark cycle were removed from the vivarium and left in a dark, empty room for two hours prior to the experiment. Half of the mice were then placed into an enriched environment (EE) for 90 minutes. In a separate set of experiments, additional mice received an intraperitoneal injection of kainic acid (KA; 2.5 mg/kg) and were placed in a large rat cage for 90 minutes. All KA-injected mice exhibited clear behavioral seizures during this period. The other half were left in their home cages for standard environment (SE) control. EE consisted of a large (2×2 ft) cardboard box with colorful patterns taped to the walls; two running wheels; plastic toys of various sizes, shapes, and colors; and wooden blocks. Mice were monitored for the full 90 minutes and continued to engage in the environment and actively explore for the majority of the enriched exposure. At the end of 90 minutes, mice from EE and SE were immediately anesthetized in isoflurane. The brains were extracted, the hippocampi dissected, and drop-fixed in 4% PFA for 2 hours. After 2 hours, the dissected hippocampi were rinsed in three ten-minute washes in 1X phosphate-buffered saline (PBS) before being moved to a 30% sucrose solution. The hippocampi were left in 30% sucrose overnight or until they had sunk to the bottom. The hippocampi were then frozen in OCT (optimal cutting temperature) compound and sectioned along the dorsoventral axis using a cryostat. Sections from the dorsal hippocampi were selected and blocked overnight in 10% goat serum/0.25% triton-X in PBS. Primary antibody solutions were applied to the slides and consisted of 1% goat serum, 0.25% triton-X, primary antibody against NPAS4 (1:500; RbαNPAS4;5, and primary antibody against NeuN (1:1000; GPαNeuN; Synaptic Systems RRID:AB_2619988) in 1X PBS. The primary antibody solution was left for 48 hours at which point the slides were rinsed with three 10-minute washes of 1X PBS. Secondary antibody solutions were applied and consisted of 1% goat serum, 0.25% triton-X, Alexa 568 secondary antibody (1:1000; GtαRb; ThermoFisher; RRID: AB_10563566), and Alexa 647 secondary antibody (1:1000; GtαGP; ThermoFisher; RRID: AB_2535867) in 1X PBS. The secondary solution was left for 24 hours at which point the slides were rinsed with three 10-minute washes of 1X PBS. Slides were cover slipped using Fluoromount with DAPI and imaged at 60X using a confocal microscope. Images were acquired on an Olympus Fluoview 1000 confocal microscope (× 60/1.42 [oil] plan-apochromat objectives; UC San Diego School of Medicine Microscopy Core).\nTo quantify the number of neurons expressing NPAS4 in the CA1 pyramidal cell layer, we manually counted the number of cells somatically expressing NPAS4 and divided by the total number of cells in the pyramidal cell layer (NeuN+). We used the same levels for all images and only counted cells as NPAS4+ if we observed NPAS4 signal in at least 50% of the soma as identified using our NeuN signal.\nFor all sparse infection experiments (ex vivo and in vivo electrophysiology), an adeno-associated virus (AAV) expressing Cre-GFP was used (pENN.AAV.CamKII.HI.GFP-Cre.WPRE.SV40 AAV9; Addgene Item ID:105551-AAV9). To achieve a sparse infection, the virus was diluted 1:3 or 1:4 with sterile saline just before injection.\nAll surgeries were performed in accordance with (NIH) guidelines and following the approval of our protocol by UC San Diego’s IACUC. Stereotaxic viral injection surgeries were performed on adult animals (P70). Animals were injected with flunixin (2.5 mg/kg) subcutaneously pre-operatively and post-operatively every 12 hours for 72 hours. Animals were anesthetized with isoflurane for the duration of the surgery (1.5%−2% isoflurane vaporized in oxygen) and body temperature was maintained at 37° C using a delta phase pad. Following induction of anesthesia, the mice were placed in a stereotaxic apparatus, the fur covering the scalp was shaved cleanly, and the scalp was cleaned with three iterations of betadine and 70% ethanol. An incision along the midline was made to expose the skull so that bregma and lambda could be observed. For both ex vivo (targeting medial CA1) and in vivo (targeting dorsal CA1) electrophysiology experiments the distance between bregma and lambda was used to scale the anterior-posterior (AP) coordinates.\nFor subsequent ex vivo experiments two burr holes were drilled bilaterally (four in total) above medial (along the dorsoventral axis) CA1. AP coordinates were calculated using an equation derived from successfully targeted surgeries. The equations for the AP coordinates were AP = (−2.30/3.14)*bregma lambda distance and AP = (−2.60/3.14)*bregma lambda distance. The medial-lateral (ML) coordinates were ±3.30 mm and the dorsal-ventral (DV) coordinates (three injections per burr hole) were −1.40, −2.50, and −3.60. For subsequent experiments in freely behaving mice, one burr hole was drilled above dorsal CA1 in the right hemisphere only. The equations for the AP coordinates were AP = (−1.44/3.14)*bregma lambda distance. The ML coordinates were ML=1.45 to 1.55 mm and the DV coordinates were DV=1.45 to 1.55 mm.\nAt each injection site virus was injected (ex vivo: 150 nL at each injection site; freely behaving: 300 nL; 100 nL/min) using a Hamilton syringe attached to a Micro4 MicroSyringe Pump Controller (World Precision Instruments). Three minutes post-injection, the needle was retracted, the scalp sutured, and the mouse recovered at 37° C before being moved to a new home cage in which it was individually housed for the duration of the experiments.\nTransverse hippocampal slices were prepared from Npas4fl/fl mice (P176-P184) at least three months after stereotaxic injection of AAV.Cre-GFP into CA1. Animals were anesthetized briefly by inhaled isoflurane and decapitated. Blocking cuts were made to isolate the portion of the cerebral hemispheres containing the hippocampus and slice preparation was prepared as described previously22. Specifically, hemispheres were mounted on a Leica VT1000S vibratome and bathed in NMDG-HEPES recovery solution (NMDG 93 mM, HCl ~93 mM, KCl 2.5 mM, NaH2PO4 1.2 mM, NaCO3 30mM, HEPES 20mM, glucose 13 mM, NAC 12mM, sodium ascorbate 5mM, thiourea 2mM, sodium pyruvate 3mM, MgSO4 10mM, CaCl2 0.5mM, 300–310 mOsm, pH 7.3–7.4 with HCl, saturated with 95% O2/5% CO2). After cutting, sections were transferred to 34° NMDG-HEPES recovery solution and sodium was spiked in over 30 minutes as previously described76. Slices were then transferred to modified HEPES holding ACSF76 (NaCl 92mM, KCl 2.5mM, NaH2PO4 1.2 mM, NaHCO3 30mM, HEPES 20mM, glucose 13 mM, NAC 12mM, sodium ascorbate 5mM, thiourea 2mM, sodium pyruvate 3mM, MgSO4 2mM, CaCl2 2mM, 300–310 mOsm, pH 7.3–7.4 with NaOH, saturated with 95% O2/5% CO2) where they were recovered for 1 hour and then maintained for the remainder of the day (~6 hr).\nInfection density varied with distance from the injection site and slices were selected in which ~10–50% of neurons were seen to be infected on the basis of GFP expression as assessed by eye before recordings. For paired whole-cell patch-clamp recordings, slices were transferred to the recording chamber with ACSF (127 NaCl, 25 NaHCO3, 1.25 Na2HPO4, 2.5 KCl, 2 CaCl2, 1 MgCl2, 25 glucose, saturated with 95% O2/5% CO2). Whole-cell patch clamp recordings were acquired simultaneously from neighboring Cre+ and Cre- pyramidal neurons in superficial CA1 and extracellular stimulation of local axons within specific lamina (SP or SR) of the hippocampus was delivered by current injection through a theta glass stimulating electrode that was placed in the center of the relevant layer (along the radial axis of CA1) and within 100–300 μm laterally of the patched pair. eIPSCs were pharmacologically isolated with CPP (10 μM) and NBQX (10 μM) in all experiments. Patch pipettes (open pipette resistance 2–4 MΩ) were filled with an internal solution containing (in mM) 147 CsCl, 5 Na2-phosphocreatine, 10 HEPES, 2 MgATP, 0.3 Na2GTP and 2 EGTA (pH=7.3, osmolarity=300 mOsm) and supplemented with QX-314 (5 mM). All recordings were performed at 31° C.\nElectrophysiology data were acquired using ScanImage software77 and a Multiclamp 700B amplifier. Data were sampled at 10 kHz and filtered at 6 kHz. Off-line data analysis was performed using NeuroMatic78. Experiments were discarded if the holding current for pyramidal cells with CsCl-based internal solution was greater than −500 pA, if the series resistance was greater than 25 MΩ, or if the series resistance differed by more than 25% between the two cells. Individual traces were examined and if either recording contained spontaneous events that obscured the evoked IPSC then both the Cre+ and Cre− sweeps were excluded and average traces were created from technical replicates. Ratio-paired t-tests were performed comparing Cre+ to neighboring Cre− eIPSC amplitudes.\nOptetrodes were fabricated following previously published designs with slight modifications79. Briefly, the tetrodes used in the optetrodes were prepared by braiding four platinum-iridium wires (0.0007 mm diameter; California Fine Wire Company) together and applying heat to bind the wires together. Four of these tetrodes were then loaded into a 16-channel electronic interface board (EIB-18, Neuralynx) and pinned in place with gold pins to ensure stable connection with the EIB. An optic fiber (200 μm diameter; Doric Lenses; product code: MFP_200/240/900–0.22_#.#_SMA_ZF1.25(F)) was inserted through the middle of the four tetrodes such that the tetrodes evenly surrounded the optic fiber. The tetrodes were secured to the tip of the optic fiber using a small amount of glue before being plated with a platinum-iridium solution to achieve impedances between 100 and 200 MΩ.\nAll surgeries were performed in accordance with (NIH) guidelines and following the approval of our protocol by UC San Diego’s IACUC. Optetrode implantation surgeries were performed on mice who had recovered well from the injection surgery (5–14 days between surgeries; 8 adult male mice). Animals were injected with a slow-release buprenorphine (0.02 mg/kg) subcutaneously pre-operatively which provided analgesia for 2–4 days post-op. Animals were anesthetized with isoflurane for the duration of the surgery (1.5%−2% isoflurane vaporized in oxygen) and body temperature was maintained at 37° C. Following three repetitions of cleaning the skin with betadine and 70% ethanol, the previous incision site was reopened and the skull exposed. Four stainless steel screws were anchored into the skull to provide stabilization and support for the implant. The same coordinates used for viral injection were used for the site of the craniotomy while a ground screw was inserted at the same AP coordinates in the left hemisphere. Following a craniotomy and durotomy, a stereotaxic frame was used to slowly lower the tetrodes into the brain. The tetrodes were lowered to a depth of ~0.5 mm and the entire craniotomy was covered with gel (sodium alginate cured with calcium chloride) to protect any exposed brain and tetrode wires. The entire skull was then covered in dental cement to firmly secure the optetrode to the skull and anchor screws. Following surgery, the mice recovered in their home cage over a heating pad until awake and moving.\nOnce mice had recovered from the optetrode implant surgery (minimum of five days) we began habituation and food deprivation. Food deprivation was slowly introduced over 4–7 days until mice reached ~90% of their full body weight. For the first three days of habituation, mice were brought to the experimental room and handled by the experimenter for 5–15 minutes. On days 4–6, 20–30 chocolate sprinkles (the reward used in the task) were randomly placed on the track and mice were allowed to forage for 15 minutes or until all the chocolate sprinkles were gone. Once mice ate 80% of the chocolate sprinkles within 15 minutes, we began task training.\nThe task consisted of a figure-8 maze that had the central arm blocked off so that mice could only run along the outer rectangular track. To begin with, mice were blocked into one arm of the track. Once data acquisition had begun, one of the blocks was removed (alternated each day) and the mouse was allowed to run in one direction around the track, receiving a chocolate sprinkle at the front center of the track, opposite of the starting point, for each trial. The second block was removed to allow running of full laps. At the end of each epoch of trials (5 trials for training and 10 for recordings), a block was placed just after the reward zone forcing the mouse to turn around and run the other direction for 10 trials. A recording session ended when the mouse had run 80 trials or for 30 min., whichever occurred first. If the mouse was unable to run 60 trials in 30 minutes, the session was excluded from analysis.\nBefore and after each track recording session, home cage recordings were obtained. Home cage recordings took place in the animal’s cage which was placed just to the side of the track and in view of the camera. If units were recorded that day, we also obtained an optostimulation recording in the home cage at the end of the session.\nAfter the animals had recovered from the optetrode implant surgery (minimum of five days), the tetrodes were slowly advanced over the course of several days until the hippocampus was reached. CA1 was identified by the presence of strong theta oscillations in the LFP, ripples, and the presence of well-isolated clusters. Just before reaching CA1 and throughout the rest of the experiment, the tetrodes were lowered 14–28 μm per day to ensure that the recordings were stable and that new cells were recorded on a daily basis. Once all tetrodes left the CA1 pyramidal cell layer and had clearly entered stratum radiatum as reflected by inversion of ripples and lack of excitatory cell activity, no further recording sessions were performed.\nTo perform the recordings, the microdrive was connected to a digital Neuralynx recording system through a multichannel headstage preamplifier. The headstage and preamplifier were supported with elastics to assist the mouse in holding the weight. The LFP was band-pass filtered (0.1 to 8,000 Hz) and a threshold of 45–60 μV applied to isolate putative spikes. The LFP was continuously sampled at 32,000 Hz from one of the wires on each tetrode.\nTo track the animals’ position, we used a previously published, open access method80. An Arduino (Mega 2560) was programmed to deliver a synchronizing pulse that consisted of 1 msec on, 1 msec off, followed by a series of pulses that counted up from 0 in binary. This pulse was fed into one of the CSC channels of the Neuralynx system and was also fed into the audio output of a camcorder (Sony HDR-CX380) that was used to obtain video of the animal’s position. The animal’s position was estimated to a high degree of certainty using LEDs that were mounted on the headstage preamplifier. If the position could not be obtained (primarily occurring when the preamplifier cord moved between one of the LEDs and the camera), a value of NaN was assigned. Using the pulse on the audio channel and the pulse on the CSC channel, a custom MATLAB workflow was generated allowing us to synchronize the animal’s XY position with the Neuralynx recordings. We validated the accuracy of this procedure as described in the initial publication80.\nAt the end of each recording day, a 20–30-minute optotagging session was conducted. A laser (Opto Engine P/N:MBL-III-473–100mW) was used to deliver 473 nm wavelength light through a patch cable (SMA, 200 μm core, NA 0.63, Thor Labs) to the optic fiber in the optetrode assembly. Before the recording began, the light power was carefully set so that a small but discernible response could be observed occasionally in the LFP but no population spike was elicited (typically ~0.3mW, Figure S2A). The population spike cluster was easily discernible by eye when it did occur as the amplitude was large and roughly equivalent for all the channels of a given tetrode (Figure S2B). For all optotagging experiments, light was delivered at 0.5 Hz; light-on for 10 msec.\nFor the high-power validation experiments, we waited until the end of the normal optotagging session then increased the laser power such that a population spike was noticeable on all four channels. During the high-power stimulation, we observed a clear response in the LFP and population spikes on all tetrodes on which units had been recorded that day (Figures S2B and S2D). In some cases, some of the clusters nearly disappeared suggesting that these were opto-tagged cells that contributed to the population spike. Following stimulation, all previously identified clusters reappeared. While we cannot directly prove that the unit identity was the same before and after light stimulation, we observed that the re-emerging clusters maintained consistent waveform features — including peak amplitude, energy, and peak-to-valley ratio — and remained in the same region of cluster space as before stimulation. These observations support the interpretation that the same neurons were recovered after high-power stimulation.\nThe spike sorting software MClust (MATLAB 2009b, Redish Lab; https://redishlab.umn.edu/mclust) was used for spike sorting. Cluster cutting was performed manually using two-dimensional projections of the parameter space. For our cluster cutting parameters, we used amplitude, peak-valley ratio, and waveform energy. In most cases, the cluster cutting boundaries were originally established in the track recordings then applied to the home cage and optotagging recordings. To be included in analysis, all clusters had to appear qualitatively well-separated. Cluster quality was quantitatively assessed using the L-Ratio and Mahalanobis distance for units recorded on tetrodes with all four working channels (Figure S2G and S2H).\nDuring cluster cutting, we immediately excluded clusters if they had a mean firing rate above 5 Hz as this would suggest that either this was an interneuron or it was an overlapping cluster of two cells. Although others have used other metrics (such as the shape of the waveform or the burstiness of the cell) to isolate interneurons we did not do that in this study for two reasons. First, the interneurons that are known to be involved in the NPAS4 phenotype are CCK basket cells22 which are regular-spiking cells that do not have a narrow waveform. Second, although CCK basket cells are not bursty and can be separated from pyramidal neurons using a burst index, we observed differences in bursting as part of the NPAS4 phenotype and could not use this as an exclusion metric. For these reasons, it is possible that our WT population may contain a small subset of interneurons47. Importantly, if this were the case, given what we know about these interneurons, it would obscure the differences between WT and KO neurons that we report here. We expect that our KO population is entirely excitatory since Cre is expressed under the CamKII promoter.\nNext, the remaining population of cells was sorted into putative WT cells, KO cells, or excluded cells based on their optotagged response. For each cell, we separated the spikes that occurred during the optostimulation session into trials (duration of 2 s per trial). We aligned spikes according to when the light pulse was delivered and calculated the peristimulus time histogram (PSTH) using bin sizes of 1 ms. Using the PSTHs, the opto-response was defined as the maximum response when the light was off subtracted from the maximum response when the light was on. If a cell appeared ambiguous (i.e. was low firing or had an opto-response of 1) we excluded it from all analyses in this paper. Cells that had an opto-response greater than 1 (i.e. in which the maximum response in the PSTH during light-on was greater than the maximum response in the PSTH during light-off) were considered KO cells while cells with an opto-response less than 1 were considered WT cells.\nAt the end of the experiment, all mice were anesthetized with a mixture of ketamine and xylazine (100 mg/kg ketamine, 10 mg/kg xylazine) and were perfused with ~40mL of saline followed by ~40mL of 4% paraformaldehyde (PFA). The tetrodes were carefully raised out of the skull and the brains were extracted and drop-fixed for an additional 24–48 hours in 4% PFA. The brains were rinsed in three 10-min washes with 1X PBS and left in a 30% sucrose solution for 24 to 48 hours or until the brains had sunk. A microtome was used to section the brains into 50 μm coronal sections which were then mounted onto slides, stained with DAPI, and coverslipped.\nAll coronal sections spanning the dorsal hippocampus were imaged using a Keyence microscopy system. Images obtained at 2X magnification were used to confirm that the infection extended throughout dorsal hippocampus. Stitched 10X images were used to confirm the location of the tetrode tracts within the CA1 pyramidal cell layer. Finally, 60X images were obtained anterior to, posterior to, medial to, and lateral to the site of the tetrode implants to quantify the percentage of knockout cells (% GFP+; Figures S1, S2I, and S2J). All animals used in this study had infection that was primarily localized to CA1 (some expression in CA2 and cortex) and in which the implant site fully overlapped with the infection. Tetrode locations were primarily located medially in CA1 along the proximodistal axis with a slight skew towards distal CA1.\nThe interspike intervals (ISIs) were calculated by finding the difference in timing between each spike and the one after it. The ISIs were then binned into 10 ms bins and the burst index was calculated by taking the number of spikes that occurred at ISIs less than 10 ms and normalizing by the total number of spikes for that cell.\nFor each session, the velocity was calculated by averaging over 1 s using 0.1 s sliding windows. Only spikes during periods of running (velocity ≥ 2 cm/sec) were used for analysis. For each cell, we divided spikes into those that occurred when the animal was running clockwise and those that occurred when the animal was running counterclockwise, analyzing each set of spikes separately for all analyses. The mean and max. firing rates were obtained from the spatial maps and used to define the cut-off for low-firing cells. Cells with a mean firing rate < 0.1 Hz and a max firing rate < 1 Hz were excluded from analysis. Note that in a control analyses we excluded all cells with a mean firing rate < 0.5 Hz and a max firing rate < 5 Hz and the spatial tuning results still held. The track was linearized for each trial such that the reward zone was always at 0 cm and the center of the left and right arm were always 66 cm and 198 cm respectively. The animal’s position was binned into 4 cm bins, and the spike rate within each bin was used to construct raw linearized rate maps. These maps were then smoothed using a five-point symmetric weighted filter with weights [0.02, 0.10, 0.16, 0.10, 0.02], effectively approximating a Gaussian kernel. Bins in which the position could not be computed or the velocity was below the threshold were set to ‘NaN’ and appear blank or gray in the rate maps.\nFor the trial-averaged spatial tuning in Figure 2, we averaged across trials and used the trial-averaged maps to calculate the spatial tuning metrics (place field number, place field size, spatial information, and sparsity). To calculate the spatial tuning on individual trials, we first analyzed each trial individually and then used the average of all trial-wise values for each cell to statistically compare WT and KO populations. For analyses that depended on the identification of place fields (number of fields, size of fields, and all in-field/out-of-field analysis throughout the paper) a field was defined as the set of contiguous bins with firing rates above 10% of the max and in which one bin was greater than 50% of the max. For the average place field analysis, three neurons with very large place fields spanning the majority of the track were excluded. These units were suspected to be interneurons based on their atypically broad spatial tuning. Importantly, the statistical outcomes of the analysis were unchanged when these neurons were included.\nThe signal-to-noise was the average in-field firing rate divided by the average out-of-field firing rate. The spatial information and sparsity were calculated as previously described34 using the equations spatial information=∑i=1Npiλiλlog2λiλ and sparsity=∑piλi2∑piλi2 where i = 1, …., N represents the spatial bins, pi is the occupancy probability of bin i, λi is the mean firing rate for bin i, and λ is the overall mean firing rate for the cell.\nFor all correlation analyses we used the Pearson’s correlation coefficient (PCC) on the trial-averaged rate maps. To compare firing in the clockwise and counterclockwise directions, we averaged the trials for each direction and calculated the PCC between them. To calculate the stability in spatial firing patterns across epochs we first averaged the trials for each epoch (set of 10 trials). We then calculated the PCC between each epoch and the subsequent epoch. For the shuffle control, we randomly shifted the rate map for each trial in space, enforcing a criterion that the shift must be at least 10 cm. We then averaged the trials for each epoch and calculated the PCC as described for the non-shuffled data. We repeated the shuffle 100 times and used the average PCC values for each cell. When calculating the stability using only in-field or out-of-field bins we used the trial-averaged rate maps for the full session and labeled bins as in-field if they were within a place field or out-of-field if not. We then repeated the stability analysis separately on the in-field and out-of-field bins. For all correlation calculations, if any bin had a value of NaN, it was removed from both vectors in that correlation comparison. To quantify place field shifts, we measured the change in the location of the peak firing bin between consecutive epochs for each place field independently. A negative shift indicated movement of the field toward the entrance of the track, while a positive shift indicated movement toward the field exit. Neurons with a peak shift less than −1 bin were classified as shifting toward the field entrance, those with a shift greater than +1 bin were classified as shifting toward the field exit, and neurons with a shift between −1 and +1 bins were considered stable.\nFiring rate difference maps between epochs were computed by subtracting the firing rate map of the earlier epoch from that of the later epoch for each neuron (e.g., E2-E1, E3-E2, E4-E3). Difference maps were aligned by the E1 peak and displayed in the same neuron order across all comparisons.\nHippocampal LFP recordings from the last two track recording sessions containing units were analyzed across all animals. The LFP data was downsampled from 32 kHz to 1 kHz and preprocessed using the neurodsp package (https://neurodsp-tools.github.io/neurodsp/). This package was used to extract the frequency band of interest (0.1–100 Hz). Bandpass filtering was performed using a Butterworth filter provided through neurodsp (4th order filter, [0.1 – 100Hz]).\nThe FOOOF (Fitting Oscillations & One-Over F) package (https://github.com/fooof-tools/fooof) was used to analyze theta oscillations in the hippocampal LFP. This tool enables the characterization of neural oscillations by decomposing the power spectrum into a combination of periodic and aperiodic components. The theta frequency of interest was selected as 5–12 Hz. The FOOOF algorithm fits a model consisting of a combination of Gaussians to capture the periodic components (theta oscillations) and a smooth aperiodic function to describe the background activity. The parameterization process involved fitting the model to the power spectrum of each LFP recording. To quantify the power within the theta frequency band for each LFP recording, the power between 5–12 Hz was extracted and analyzed.\nFor each cell, the LFP corresponding to the tetrode on which the unit was recorded was filtered in the theta frequency range using a Butterworth filter with cut-off frequencies of 4 and 12 Hz. For each spike a unit emitted, the theta frequency was obtained. Using circular statistics, we obtained the mean vector length and mean phase for each cell where 180° was the trough of theta and 0° was the peak. This same approach was used on spikes that occurred in-field/out-of-field and on spikes belonging to bursts/singles. For analyses separating bursts and single spikes, bursts were defined as spikes with interspike intervals (ISIs) less than 10 ms, and singles as spikes with ISIs greater than 10 ms.\nFor phase precession analyses, only in-field spikes were considered. For each trial, we plotted the theta phase of each in-field spike against the normalized position within the place field37. To account for the circular nature of phase data, we circularly shifted spike phases in 5° increments and computed the correlation between theta phase and spatial position at each step, identifying the shift that produced the maximum (most negative) correlation54. Using these optimally shifted phases, we fit a linear regression to describe the phase precession slope for each trial. To ensure sufficient data quality and reliable fits, we included only neurons with at least five in-field spikes per trial, a spatial span of at least three theta cycles, and a significant linear fit (p < 0.05). The median slope across trials was used to represent the overall phase precession for each neuron.\nTo assess the relationship between place field size and phase precession strength, we selected the trial with a slope closest to the median phase precession slope for each neuron. Place field size was log-transformed, resulting in an approximately linear relationship with phase precession slope. A simple linear regression was then performed, and we report the regression slope, R2, and p-value. Theta modulation strength was defined using the mean vector length (MVL) as described above.\nA multiple linear regression model was constructed using genotype, log-transformed place field size, and MVL as predictors of phase precession slope. Shuffling controls were performed by randomizing either spike phase or position within trials. Bootstrapping was used to test the robustness of slope estimates by randomly sampling neurons with replacement while maintaining the original sample size per genotype.\nStatistical analyses were performed as described in the figure legends. Non-parametric tests were used unless otherwise indicated. Analyses were performed in GraphPad Prism and MATLAB.\nDuring the preparation of this work the authors used ChatGPT (OpenAI) to help revise and edit portions of the manuscript text for clarity and conciseness. No content was generated that affected the scientific results or conclusions. After using this tool/service, the authors reviewed and edited the content as needed and take full responsibility for the content of the published article.\n\n\n### Mice\nAll experiments were conducted in accordance with National Institutes of Health (NIH) guidelines and following the approval of our protocol by UC San Diego’s Institutional Animal Care and Use Committee (IACUC). An Npas4fl/fl 5 animal line was used for acute slice electrophysiology experiments and an Npas4fl/fl:Ai32 (Ai32 RRID:IMSR_JAX:012569) animal line was used for NPAS4 immunohistochemistry (IHC) and all in vivo electrophysiology experiments. Only male mice were used for the sparse in vivo experiments. All electrophysiology experiments were performed on adult animals (P70-P200) that were housed long-term in enriched environments. The enriched environment consisted of a running wheel, toys, wooden blocks, and other objects of various shapes, colors, and textures. To maintain novelty, toys were replaced every two days. For all electrophysiology experiments, mice were kept in the vivarium on a reverse 12-hour light-dark cycle and were single-housed.\n\n\n### NPAS4 Immunohistochemistry\nFor NPAS4 staining in enriched animals, adult mice (P70-P200) housed in a normal light-dark cycle were removed from the vivarium and left in a dark, empty room for two hours prior to the experiment. Half of the mice were then placed into an enriched environment (EE) for 90 minutes. In a separate set of experiments, additional mice received an intraperitoneal injection of kainic acid (KA; 2.5 mg/kg) and were placed in a large rat cage for 90 minutes. All KA-injected mice exhibited clear behavioral seizures during this period. The other half were left in their home cages for standard environment (SE) control. EE consisted of a large (2×2 ft) cardboard box with colorful patterns taped to the walls; two running wheels; plastic toys of various sizes, shapes, and colors; and wooden blocks. Mice were monitored for the full 90 minutes and continued to engage in the environment and actively explore for the majority of the enriched exposure. At the end of 90 minutes, mice from EE and SE were immediately anesthetized in isoflurane. The brains were extracted, the hippocampi dissected, and drop-fixed in 4% PFA for 2 hours. After 2 hours, the dissected hippocampi were rinsed in three ten-minute washes in 1X phosphate-buffered saline (PBS) before being moved to a 30% sucrose solution. The hippocampi were left in 30% sucrose overnight or until they had sunk to the bottom. The hippocampi were then frozen in OCT (optimal cutting temperature) compound and sectioned along the dorsoventral axis using a cryostat. Sections from the dorsal hippocampi were selected and blocked overnight in 10% goat serum/0.25% triton-X in PBS. Primary antibody solutions were applied to the slides and consisted of 1% goat serum, 0.25% triton-X, primary antibody against NPAS4 (1:500; RbαNPAS4;5, and primary antibody against NeuN (1:1000; GPαNeuN; Synaptic Systems RRID:AB_2619988) in 1X PBS. The primary antibody solution was left for 48 hours at which point the slides were rinsed with three 10-minute washes of 1X PBS. Secondary antibody solutions were applied and consisted of 1% goat serum, 0.25% triton-X, Alexa 568 secondary antibody (1:1000; GtαRb; ThermoFisher; RRID: AB_10563566), and Alexa 647 secondary antibody (1:1000; GtαGP; ThermoFisher; RRID: AB_2535867) in 1X PBS. The secondary solution was left for 24 hours at which point the slides were rinsed with three 10-minute washes of 1X PBS. Slides were cover slipped using Fluoromount with DAPI and imaged at 60X using a confocal microscope. Images were acquired on an Olympus Fluoview 1000 confocal microscope (× 60/1.42 [oil] plan-apochromat objectives; UC San Diego School of Medicine Microscopy Core).\n\n\n### Image Quantification\nTo quantify the number of neurons expressing NPAS4 in the CA1 pyramidal cell layer, we manually counted the number of cells somatically expressing NPAS4 and divided by the total number of cells in the pyramidal cell layer (NeuN+). We used the same levels for all images and only counted cells as NPAS4+ if we observed NPAS4 signal in at least 50% of the soma as identified using our NeuN signal.\n\n\n### Viruses\nFor all sparse infection experiments (ex vivo and in vivo electrophysiology), an adeno-associated virus (AAV) expressing Cre-GFP was used (pENN.AAV.CamKII.HI.GFP-Cre.WPRE.SV40 AAV9; Addgene Item ID:105551-AAV9). To achieve a sparse infection, the virus was diluted 1:3 or 1:4 with sterile saline just before injection.\n\n\n### AAV Injections\nAll surgeries were performed in accordance with (NIH) guidelines and following the approval of our protocol by UC San Diego’s IACUC. Stereotaxic viral injection surgeries were performed on adult animals (P70). Animals were injected with flunixin (2.5 mg/kg) subcutaneously pre-operatively and post-operatively every 12 hours for 72 hours. Animals were anesthetized with isoflurane for the duration of the surgery (1.5%−2% isoflurane vaporized in oxygen) and body temperature was maintained at 37° C using a delta phase pad. Following induction of anesthesia, the mice were placed in a stereotaxic apparatus, the fur covering the scalp was shaved cleanly, and the scalp was cleaned with three iterations of betadine and 70% ethanol. An incision along the midline was made to expose the skull so that bregma and lambda could be observed. For both ex vivo (targeting medial CA1) and in vivo (targeting dorsal CA1) electrophysiology experiments the distance between bregma and lambda was used to scale the anterior-posterior (AP) coordinates.\nFor subsequent ex vivo experiments two burr holes were drilled bilaterally (four in total) above medial (along the dorsoventral axis) CA1. AP coordinates were calculated using an equation derived from successfully targeted surgeries. The equations for the AP coordinates were AP = (−2.30/3.14)*bregma lambda distance and AP = (−2.60/3.14)*bregma lambda distance. The medial-lateral (ML) coordinates were ±3.30 mm and the dorsal-ventral (DV) coordinates (three injections per burr hole) were −1.40, −2.50, and −3.60. For subsequent experiments in freely behaving mice, one burr hole was drilled above dorsal CA1 in the right hemisphere only. The equations for the AP coordinates were AP = (−1.44/3.14)*bregma lambda distance. The ML coordinates were ML=1.45 to 1.55 mm and the DV coordinates were DV=1.45 to 1.55 mm.\nAt each injection site virus was injected (ex vivo: 150 nL at each injection site; freely behaving: 300 nL; 100 nL/min) using a Hamilton syringe attached to a Micro4 MicroSyringe Pump Controller (World Precision Instruments). Three minutes post-injection, the needle was retracted, the scalp sutured, and the mouse recovered at 37° C before being moved to a new home cage in which it was individually housed for the duration of the experiments.\n\n\n### Acute Slice Preparation\nTransverse hippocampal slices were prepared from Npas4fl/fl mice (P176-P184) at least three months after stereotaxic injection of AAV.Cre-GFP into CA1. Animals were anesthetized briefly by inhaled isoflurane and decapitated. Blocking cuts were made to isolate the portion of the cerebral hemispheres containing the hippocampus and slice preparation was prepared as described previously22. Specifically, hemispheres were mounted on a Leica VT1000S vibratome and bathed in NMDG-HEPES recovery solution (NMDG 93 mM, HCl ~93 mM, KCl 2.5 mM, NaH2PO4 1.2 mM, NaCO3 30mM, HEPES 20mM, glucose 13 mM, NAC 12mM, sodium ascorbate 5mM, thiourea 2mM, sodium pyruvate 3mM, MgSO4 10mM, CaCl2 0.5mM, 300–310 mOsm, pH 7.3–7.4 with HCl, saturated with 95% O2/5% CO2). After cutting, sections were transferred to 34° NMDG-HEPES recovery solution and sodium was spiked in over 30 minutes as previously described76. Slices were then transferred to modified HEPES holding ACSF76 (NaCl 92mM, KCl 2.5mM, NaH2PO4 1.2 mM, NaHCO3 30mM, HEPES 20mM, glucose 13 mM, NAC 12mM, sodium ascorbate 5mM, thiourea 2mM, sodium pyruvate 3mM, MgSO4 2mM, CaCl2 2mM, 300–310 mOsm, pH 7.3–7.4 with NaOH, saturated with 95% O2/5% CO2) where they were recovered for 1 hour and then maintained for the remainder of the day (~6 hr).\n\n\n### Ex Vivo Electrophysiology and Pharmacology\nInfection density varied with distance from the injection site and slices were selected in which ~10–50% of neurons were seen to be infected on the basis of GFP expression as assessed by eye before recordings. For paired whole-cell patch-clamp recordings, slices were transferred to the recording chamber with ACSF (127 NaCl, 25 NaHCO3, 1.25 Na2HPO4, 2.5 KCl, 2 CaCl2, 1 MgCl2, 25 glucose, saturated with 95% O2/5% CO2). Whole-cell patch clamp recordings were acquired simultaneously from neighboring Cre+ and Cre- pyramidal neurons in superficial CA1 and extracellular stimulation of local axons within specific lamina (SP or SR) of the hippocampus was delivered by current injection through a theta glass stimulating electrode that was placed in the center of the relevant layer (along the radial axis of CA1) and within 100–300 μm laterally of the patched pair. eIPSCs were pharmacologically isolated with CPP (10 μM) and NBQX (10 μM) in all experiments. Patch pipettes (open pipette resistance 2–4 MΩ) were filled with an internal solution containing (in mM) 147 CsCl, 5 Na2-phosphocreatine, 10 HEPES, 2 MgATP, 0.3 Na2GTP and 2 EGTA (pH=7.3, osmolarity=300 mOsm) and supplemented with QX-314 (5 mM). All recordings were performed at 31° C.\nElectrophysiology data were acquired using ScanImage software77 and a Multiclamp 700B amplifier. Data were sampled at 10 kHz and filtered at 6 kHz. Off-line data analysis was performed using NeuroMatic78. Experiments were discarded if the holding current for pyramidal cells with CsCl-based internal solution was greater than −500 pA, if the series resistance was greater than 25 MΩ, or if the series resistance differed by more than 25% between the two cells. Individual traces were examined and if either recording contained spontaneous events that obscured the evoked IPSC then both the Cre+ and Cre− sweeps were excluded and average traces were created from technical replicates. Ratio-paired t-tests were performed comparing Cre+ to neighboring Cre− eIPSC amplitudes.\n\n\n### Optetrode Fabrication\nOptetrodes were fabricated following previously published designs with slight modifications79. Briefly, the tetrodes used in the optetrodes were prepared by braiding four platinum-iridium wires (0.0007 mm diameter; California Fine Wire Company) together and applying heat to bind the wires together. Four of these tetrodes were then loaded into a 16-channel electronic interface board (EIB-18, Neuralynx) and pinned in place with gold pins to ensure stable connection with the EIB. An optic fiber (200 μm diameter; Doric Lenses; product code: MFP_200/240/900–0.22_#.#_SMA_ZF1.25(F)) was inserted through the middle of the four tetrodes such that the tetrodes evenly surrounded the optic fiber. The tetrodes were secured to the tip of the optic fiber using a small amount of glue before being plated with a platinum-iridium solution to achieve impedances between 100 and 200 MΩ.\n\n\n### Optetrode Implantation\nAll surgeries were performed in accordance with (NIH) guidelines and following the approval of our protocol by UC San Diego’s IACUC. Optetrode implantation surgeries were performed on mice who had recovered well from the injection surgery (5–14 days between surgeries; 8 adult male mice). Animals were injected with a slow-release buprenorphine (0.02 mg/kg) subcutaneously pre-operatively which provided analgesia for 2–4 days post-op. Animals were anesthetized with isoflurane for the duration of the surgery (1.5%−2% isoflurane vaporized in oxygen) and body temperature was maintained at 37° C. Following three repetitions of cleaning the skin with betadine and 70% ethanol, the previous incision site was reopened and the skull exposed. Four stainless steel screws were anchored into the skull to provide stabilization and support for the implant. The same coordinates used for viral injection were used for the site of the craniotomy while a ground screw was inserted at the same AP coordinates in the left hemisphere. Following a craniotomy and durotomy, a stereotaxic frame was used to slowly lower the tetrodes into the brain. The tetrodes were lowered to a depth of ~0.5 mm and the entire craniotomy was covered with gel (sodium alginate cured with calcium chloride) to protect any exposed brain and tetrode wires. The entire skull was then covered in dental cement to firmly secure the optetrode to the skull and anchor screws. Following surgery, the mice recovered in their home cage over a heating pad until awake and moving.\n\n\n### Handling and Behavior\nOnce mice had recovered from the optetrode implant surgery (minimum of five days) we began habituation and food deprivation. Food deprivation was slowly introduced over 4–7 days until mice reached ~90% of their full body weight. For the first three days of habituation, mice were brought to the experimental room and handled by the experimenter for 5–15 minutes. On days 4–6, 20–30 chocolate sprinkles (the reward used in the task) were randomly placed on the track and mice were allowed to forage for 15 minutes or until all the chocolate sprinkles were gone. Once mice ate 80% of the chocolate sprinkles within 15 minutes, we began task training.\nThe task consisted of a figure-8 maze that had the central arm blocked off so that mice could only run along the outer rectangular track. To begin with, mice were blocked into one arm of the track. Once data acquisition had begun, one of the blocks was removed (alternated each day) and the mouse was allowed to run in one direction around the track, receiving a chocolate sprinkle at the front center of the track, opposite of the starting point, for each trial. The second block was removed to allow running of full laps. At the end of each epoch of trials (5 trials for training and 10 for recordings), a block was placed just after the reward zone forcing the mouse to turn around and run the other direction for 10 trials. A recording session ended when the mouse had run 80 trials or for 30 min., whichever occurred first. If the mouse was unable to run 60 trials in 30 minutes, the session was excluded from analysis.\nBefore and after each track recording session, home cage recordings were obtained. Home cage recordings took place in the animal’s cage which was placed just to the side of the track and in view of the camera. If units were recorded that day, we also obtained an optostimulation recording in the home cage at the end of the session.\n\n\n### Electrophysiology Recordings in Behavior\nAfter the animals had recovered from the optetrode implant surgery (minimum of five days), the tetrodes were slowly advanced over the course of several days until the hippocampus was reached. CA1 was identified by the presence of strong theta oscillations in the LFP, ripples, and the presence of well-isolated clusters. Just before reaching CA1 and throughout the rest of the experiment, the tetrodes were lowered 14–28 μm per day to ensure that the recordings were stable and that new cells were recorded on a daily basis. Once all tetrodes left the CA1 pyramidal cell layer and had clearly entered stratum radiatum as reflected by inversion of ripples and lack of excitatory cell activity, no further recording sessions were performed.\nTo perform the recordings, the microdrive was connected to a digital Neuralynx recording system through a multichannel headstage preamplifier. The headstage and preamplifier were supported with elastics to assist the mouse in holding the weight. The LFP was band-pass filtered (0.1 to 8,000 Hz) and a threshold of 45–60 μV applied to isolate putative spikes. The LFP was continuously sampled at 32,000 Hz from one of the wires on each tetrode.\n\n\n### Position Tracking\nTo track the animals’ position, we used a previously published, open access method80. An Arduino (Mega 2560) was programmed to deliver a synchronizing pulse that consisted of 1 msec on, 1 msec off, followed by a series of pulses that counted up from 0 in binary. This pulse was fed into one of the CSC channels of the Neuralynx system and was also fed into the audio output of a camcorder (Sony HDR-CX380) that was used to obtain video of the animal’s position. The animal’s position was estimated to a high degree of certainty using LEDs that were mounted on the headstage preamplifier. If the position could not be obtained (primarily occurring when the preamplifier cord moved between one of the LEDs and the camera), a value of NaN was assigned. Using the pulse on the audio channel and the pulse on the CSC channel, a custom MATLAB workflow was generated allowing us to synchronize the animal’s XY position with the Neuralynx recordings. We validated the accuracy of this procedure as described in the initial publication80.\n\n\n### Optotagging\nAt the end of each recording day, a 20–30-minute optotagging session was conducted. A laser (Opto Engine P/N:MBL-III-473–100mW) was used to deliver 473 nm wavelength light through a patch cable (SMA, 200 μm core, NA 0.63, Thor Labs) to the optic fiber in the optetrode assembly. Before the recording began, the light power was carefully set so that a small but discernible response could be observed occasionally in the LFP but no population spike was elicited (typically ~0.3mW, Figure S2A). The population spike cluster was easily discernible by eye when it did occur as the amplitude was large and roughly equivalent for all the channels of a given tetrode (Figure S2B). For all optotagging experiments, light was delivered at 0.5 Hz; light-on for 10 msec.\nFor the high-power validation experiments, we waited until the end of the normal optotagging session then increased the laser power such that a population spike was noticeable on all four channels. During the high-power stimulation, we observed a clear response in the LFP and population spikes on all tetrodes on which units had been recorded that day (Figures S2B and S2D). In some cases, some of the clusters nearly disappeared suggesting that these were opto-tagged cells that contributed to the population spike. Following stimulation, all previously identified clusters reappeared. While we cannot directly prove that the unit identity was the same before and after light stimulation, we observed that the re-emerging clusters maintained consistent waveform features — including peak amplitude, energy, and peak-to-valley ratio — and remained in the same region of cluster space as before stimulation. These observations support the interpretation that the same neurons were recovered after high-power stimulation.\n\n\n### Spike Sorting and Cluster Quality\nThe spike sorting software MClust (MATLAB 2009b, Redish Lab; https://redishlab.umn.edu/mclust) was used for spike sorting. Cluster cutting was performed manually using two-dimensional projections of the parameter space. For our cluster cutting parameters, we used amplitude, peak-valley ratio, and waveform energy. In most cases, the cluster cutting boundaries were originally established in the track recordings then applied to the home cage and optotagging recordings. To be included in analysis, all clusters had to appear qualitatively well-separated. Cluster quality was quantitatively assessed using the L-Ratio and Mahalanobis distance for units recorded on tetrodes with all four working channels (Figure S2G and S2H).\n\n\n### Unit Classification\nDuring cluster cutting, we immediately excluded clusters if they had a mean firing rate above 5 Hz as this would suggest that either this was an interneuron or it was an overlapping cluster of two cells. Although others have used other metrics (such as the shape of the waveform or the burstiness of the cell) to isolate interneurons we did not do that in this study for two reasons. First, the interneurons that are known to be involved in the NPAS4 phenotype are CCK basket cells22 which are regular-spiking cells that do not have a narrow waveform. Second, although CCK basket cells are not bursty and can be separated from pyramidal neurons using a burst index, we observed differences in bursting as part of the NPAS4 phenotype and could not use this as an exclusion metric. For these reasons, it is possible that our WT population may contain a small subset of interneurons47. Importantly, if this were the case, given what we know about these interneurons, it would obscure the differences between WT and KO neurons that we report here. We expect that our KO population is entirely excitatory since Cre is expressed under the CamKII promoter.\nNext, the remaining population of cells was sorted into putative WT cells, KO cells, or excluded cells based on their optotagged response. For each cell, we separated the spikes that occurred during the optostimulation session into trials (duration of 2 s per trial). We aligned spikes according to when the light pulse was delivered and calculated the peristimulus time histogram (PSTH) using bin sizes of 1 ms. Using the PSTHs, the opto-response was defined as the maximum response when the light was off subtracted from the maximum response when the light was on. If a cell appeared ambiguous (i.e. was low firing or had an opto-response of 1) we excluded it from all analyses in this paper. Cells that had an opto-response greater than 1 (i.e. in which the maximum response in the PSTH during light-on was greater than the maximum response in the PSTH during light-off) were considered KO cells while cells with an opto-response less than 1 were considered WT cells.\n\n\n### Perfusion and Tissue Processing in Behavioral animals\nAt the end of the experiment, all mice were anesthetized with a mixture of ketamine and xylazine (100 mg/kg ketamine, 10 mg/kg xylazine) and were perfused with ~40mL of saline followed by ~40mL of 4% paraformaldehyde (PFA). The tetrodes were carefully raised out of the skull and the brains were extracted and drop-fixed for an additional 24–48 hours in 4% PFA. The brains were rinsed in three 10-min washes with 1X PBS and left in a 30% sucrose solution for 24 to 48 hours or until the brains had sunk. A microtome was used to section the brains into 50 μm coronal sections which were then mounted onto slides, stained with DAPI, and coverslipped.\n\n\n### Histology and Identification of Tetrode Locations in Behavioral Animals\nAll coronal sections spanning the dorsal hippocampus were imaged using a Keyence microscopy system. Images obtained at 2X magnification were used to confirm that the infection extended throughout dorsal hippocampus. Stitched 10X images were used to confirm the location of the tetrode tracts within the CA1 pyramidal cell layer. Finally, 60X images were obtained anterior to, posterior to, medial to, and lateral to the site of the tetrode implants to quantify the percentage of knockout cells (% GFP+; Figures S1, S2I, and S2J). All animals used in this study had infection that was primarily localized to CA1 (some expression in CA2 and cortex) and in which the implant site fully overlapped with the infection. Tetrode locations were primarily located medially in CA1 along the proximodistal axis with a slight skew towards distal CA1.\n\n\n### Calculation of ISI Histograms and Burst Index\nThe interspike intervals (ISIs) were calculated by finding the difference in timing between each spike and the one after it. The ISIs were then binned into 10 ms bins and the burst index was calculated by taking the number of spikes that occurred at ISIs less than 10 ms and normalizing by the total number of spikes for that cell.\n\n\n### Quantifying Firing Rates and Spatial Tuning\nFor each session, the velocity was calculated by averaging over 1 s using 0.1 s sliding windows. Only spikes during periods of running (velocity ≥ 2 cm/sec) were used for analysis. For each cell, we divided spikes into those that occurred when the animal was running clockwise and those that occurred when the animal was running counterclockwise, analyzing each set of spikes separately for all analyses. The mean and max. firing rates were obtained from the spatial maps and used to define the cut-off for low-firing cells. Cells with a mean firing rate < 0.1 Hz and a max firing rate < 1 Hz were excluded from analysis. Note that in a control analyses we excluded all cells with a mean firing rate < 0.5 Hz and a max firing rate < 5 Hz and the spatial tuning results still held. The track was linearized for each trial such that the reward zone was always at 0 cm and the center of the left and right arm were always 66 cm and 198 cm respectively. The animal’s position was binned into 4 cm bins, and the spike rate within each bin was used to construct raw linearized rate maps. These maps were then smoothed using a five-point symmetric weighted filter with weights [0.02, 0.10, 0.16, 0.10, 0.02], effectively approximating a Gaussian kernel. Bins in which the position could not be computed or the velocity was below the threshold were set to ‘NaN’ and appear blank or gray in the rate maps.\nFor the trial-averaged spatial tuning in Figure 2, we averaged across trials and used the trial-averaged maps to calculate the spatial tuning metrics (place field number, place field size, spatial information, and sparsity). To calculate the spatial tuning on individual trials, we first analyzed each trial individually and then used the average of all trial-wise values for each cell to statistically compare WT and KO populations. For analyses that depended on the identification of place fields (number of fields, size of fields, and all in-field/out-of-field analysis throughout the paper) a field was defined as the set of contiguous bins with firing rates above 10% of the max and in which one bin was greater than 50% of the max. For the average place field analysis, three neurons with very large place fields spanning the majority of the track were excluded. These units were suspected to be interneurons based on their atypically broad spatial tuning. Importantly, the statistical outcomes of the analysis were unchanged when these neurons were included.\nThe signal-to-noise was the average in-field firing rate divided by the average out-of-field firing rate. The spatial information and sparsity were calculated as previously described34 using the equations spatial information=∑i=1Npiλiλlog2λiλ and sparsity=∑piλi2∑piλi2 where i = 1, …., N represents the spatial bins, pi is the occupancy probability of bin i, λi is the mean firing rate for bin i, and λ is the overall mean firing rate for the cell.\n\n\n### Stability of Firing Patterns Across Epochs, Shuffle Control, and Calculation of Place Field Shifts and Difference Maps\nFor all correlation analyses we used the Pearson’s correlation coefficient (PCC) on the trial-averaged rate maps. To compare firing in the clockwise and counterclockwise directions, we averaged the trials for each direction and calculated the PCC between them. To calculate the stability in spatial firing patterns across epochs we first averaged the trials for each epoch (set of 10 trials). We then calculated the PCC between each epoch and the subsequent epoch. For the shuffle control, we randomly shifted the rate map for each trial in space, enforcing a criterion that the shift must be at least 10 cm. We then averaged the trials for each epoch and calculated the PCC as described for the non-shuffled data. We repeated the shuffle 100 times and used the average PCC values for each cell. When calculating the stability using only in-field or out-of-field bins we used the trial-averaged rate maps for the full session and labeled bins as in-field if they were within a place field or out-of-field if not. We then repeated the stability analysis separately on the in-field and out-of-field bins. For all correlation calculations, if any bin had a value of NaN, it was removed from both vectors in that correlation comparison. To quantify place field shifts, we measured the change in the location of the peak firing bin between consecutive epochs for each place field independently. A negative shift indicated movement of the field toward the entrance of the track, while a positive shift indicated movement toward the field exit. Neurons with a peak shift less than −1 bin were classified as shifting toward the field entrance, those with a shift greater than +1 bin were classified as shifting toward the field exit, and neurons with a shift between −1 and +1 bins were considered stable.\nFiring rate difference maps between epochs were computed by subtracting the firing rate map of the earlier epoch from that of the later epoch for each neuron (e.g., E2-E1, E3-E2, E4-E3). Difference maps were aligned by the E1 peak and displayed in the same neuron order across all comparisons.\n\n\n### Analysis of the Local Field Potential (LFP) Using FOOOF (Fitting Oscillations and One-over-f)\nHippocampal LFP recordings from the last two track recording sessions containing units were analyzed across all animals. The LFP data was downsampled from 32 kHz to 1 kHz and preprocessed using the neurodsp package (https://neurodsp-tools.github.io/neurodsp/). This package was used to extract the frequency band of interest (0.1–100 Hz). Bandpass filtering was performed using a Butterworth filter provided through neurodsp (4th order filter, [0.1 – 100Hz]).\nThe FOOOF (Fitting Oscillations & One-Over F) package (https://github.com/fooof-tools/fooof) was used to analyze theta oscillations in the hippocampal LFP. This tool enables the characterization of neural oscillations by decomposing the power spectrum into a combination of periodic and aperiodic components. The theta frequency of interest was selected as 5–12 Hz. The FOOOF algorithm fits a model consisting of a combination of Gaussians to capture the periodic components (theta oscillations) and a smooth aperiodic function to describe the background activity. The parameterization process involved fitting the model to the power spectrum of each LFP recording. To quantify the power within the theta frequency band for each LFP recording, the power between 5–12 Hz was extracted and analyzed.\n\n\n### Theta Modulation and Phase Precession of Single Units\nFor each cell, the LFP corresponding to the tetrode on which the unit was recorded was filtered in the theta frequency range using a Butterworth filter with cut-off frequencies of 4 and 12 Hz. For each spike a unit emitted, the theta frequency was obtained. Using circular statistics, we obtained the mean vector length and mean phase for each cell where 180° was the trough of theta and 0° was the peak. This same approach was used on spikes that occurred in-field/out-of-field and on spikes belonging to bursts/singles. For analyses separating bursts and single spikes, bursts were defined as spikes with interspike intervals (ISIs) less than 10 ms, and singles as spikes with ISIs greater than 10 ms.\nFor phase precession analyses, only in-field spikes were considered. For each trial, we plotted the theta phase of each in-field spike against the normalized position within the place field37. To account for the circular nature of phase data, we circularly shifted spike phases in 5° increments and computed the correlation between theta phase and spatial position at each step, identifying the shift that produced the maximum (most negative) correlation54. Using these optimally shifted phases, we fit a linear regression to describe the phase precession slope for each trial. To ensure sufficient data quality and reliable fits, we included only neurons with at least five in-field spikes per trial, a spatial span of at least three theta cycles, and a significant linear fit (p < 0.05). The median slope across trials was used to represent the overall phase precession for each neuron.\nTo assess the relationship between place field size and phase precession strength, we selected the trial with a slope closest to the median phase precession slope for each neuron. Place field size was log-transformed, resulting in an approximately linear relationship with phase precession slope. A simple linear regression was then performed, and we report the regression slope, R2, and p-value. Theta modulation strength was defined using the mean vector length (MVL) as described above.\nA multiple linear regression model was constructed using genotype, log-transformed place field size, and MVL as predictors of phase precession slope. Shuffling controls were performed by randomizing either spike phase or position within trials. Bootstrapping was used to test the robustness of slope estimates by randomly sampling neurons with replacement while maintaining the original sample size per genotype.\n\n\n### Statistical Analysis\nStatistical analyses were performed as described in the figure legends. Non-parametric tests were used unless otherwise indicated. Analyses were performed in GraphPad Prism and MATLAB.\n\n\n### Use of generative AI tools\nDuring the preparation of this work the authors used ChatGPT (OpenAI) to help revise and edit portions of the manuscript text for clarity and conciseness. No content was generated that affected the scientific results or conclusions. After using this tool/service, the authors reviewed and edited the content as needed and take full responsibility for the content of the published article.", "domain": "affective_neuroscience"}
{"source": "PMC13009328", "title": "Nocturnal Risk Assessment and Its Association With Anxiety Symptoms", "text": "# Nocturnal Risk Assessment and Its Association With Anxiety Symptoms\n\n## Abstract\nHuman risk assessment (RA), the attentional and behavioral activities involved in detecting and analyzing threat, is feasibly enhanced at night to protect against hidden danger. However, this enhanced RA at night might come at a cost and thus signal increased risk for anxiety disorders. To test the hypothesis that the nighttime enhances RA and its associations with anxiety, the current study randomly assigned healthy volunteers (N = 87, Mean age = 22.4; 69% Female) to visit the laboratory at day or night. Participants completed a novel task that presented images depicting neutral content, injury threat (e.g., weapon) or infection threat (e.g., person sneezing). Each image was followed by a lottery decision. The task estimated RA's attentional component as threat‐induced bradycardia—cardiac deceleration to threat images. RA's behavioral component was estimated as threat‐induced risk aversion—decrease in risky choice following threat images. Anxiety symptoms were self‐reported on the Depression, Anxiety, and Stress Scale (DASS‐21). The cardiac results partially supported the “nocturnal enhancement” hypothesis: (1) The night but not the day group exhibited a sustained, non‐habituating pattern of threat‐induced bradycardia to infection threat images. (2) In the night but not the day group, individuals with higher bradycardia to infection images had a higher likelihood of elevated anxiety. Contrary to predictions, bradycardia to injury threat and risk aversion metrics, as well as their relations to anxiety symptoms, were not higher at night. Overall, time‐of‐day is shown to be an important variable to consider in studies of human threat responses and anxiety disorder risk. Based on our findings, the intuitive idea that humans have elevated RA at night is not straightforward; instead, the nighttime may selectively activate attentional orienting (vis‐à‐vis bradycardia) to ambiguous stimuli like those signaling risk of illness, with these nocturnal enhancements being subject to individual differences in anxiety. The current study provides novel evidence that the night period amplifies both: (i) cardiac deceleration towards image‐based threat and (ii) the inter‐person association between such cardiac decelerations and anxiety symptoms. Situating threat responses in an evolutionary‐ecological framework, findings suggest that time‐of‐day modulates cardiac threat responding and the expression of an anxiety phenotype related to autonomic/attentional functioning.\n\n## Full Text\n\n\n### Introduction\nImagine you hear an unexpected noise at home alone. You might feel more scared if the noise was heard at night than during the day. The nighttime is profoundly connected to danger for diurnal creatures (Edensor 2015; Williams 2008) since nocturnal darkness conceals harmful agents (e.g., predators), making threats uncertain (Darwin 1871; Herrmann 2015; Nasar and Fisher 1993). Humans like other animals use risk assessment (RA) to mount a strategic defensive action against such uncertain and distal threats (Blanchard et al. 2011; Mobbs et al. 2020). RA is the “pattern of activities involved in the detection and analysis of threat stimuli and the situations in which the threat is encountered” (Blanchard et al. 2011) and involves attentional and behavioral components (Blanchard and Blanchard 2008). In the attentional component, we gather information about the threat to detect and perceive its features (Blanchard 2018). In the behavioral component, we choose cautious actions that minimize exposure to danger (Blanchard and Blanchard 2008, 1989). RA functions to reduce ambiguity about the threat and guide defensive actions that optimize survival. Since the nighttime witnesses heightened threat responses, the nighttime might also be associated with enhanced RA.\nRA's components manifest at different stages of the defense cascade (Fanselow 1994), where defense becomes more active as spatiotemporal distance from the threat decreases. At the distant pre‐encounter stage, RA emerges in an anxiogenic context before threat detection (Mobbs et al. 2020; Moscarello and Penzo 2022; Tseng et al. 2023). Pre‐encounter RA involves vigilance: the animal suppresses ongoing behavior and scans the environment for danger in a sustained, non‐specific manner (Oken et al. 2006; Beauchamp 2015; Blanchard, Blanchard, Rodgers, and Weiss 1990; Blanchard, Blanchard, Tom, and Rodgers 1990). At the post‐encounter stage, RA involves orienting to a distal threat (Blanchard et al. 2011; Mobbs et al. 2015): the animal inhibits behavior and attends to the novel stimulus in a transient, specific manner (Sokolov 1960). Post‐encounter RA also involves behavioral caution and a suppression of reward‐seeking after orienting (Blanchard, Blanchard, Rodgers, and Weiss 1990; Blanchard, Blanchard, Tom, and Rodgers 1990; Mobbs and Kim 2015). Both forms of RA work together to enhance survival. Vigilance amplifies orienting responses to threats and blunts their habituation across repeated threats (Kastner‐Dorn et al. 2018; Zukerman et al. 2019; McCurry et al. 2024). Blunted habituation in post‐encounter responses may reflect vigilance since habituation and vigilance are both distributed across time (Oken et al. 2006; Mackworth 1964). Post‐encounter RA can be elicited in humans by asking them to view threat‐depicting photographs, representing distal threats in the defense cascade (Lang et al. 2000).\nThe attentional component of (post‐encounter) RA can be estimated with threat‐induced bradycardia—the transient slowing of heartbeats when registering an aversive stimulus such as a threat‐depicting image (Battaglia et al. 2024; Campbell et al. 1997; Lang et al. 1997). Sometimes termed “fear bradycardia” (Campbell et al. 1997) or “freezing,” (Roelofs and Dayan 2022), threat‐induced bradycardia likely reflects an orienting response to novel, salient information across species (Bradley 2009). Supporting this account, unpleasant versus neutral images evoke stronger bradycardia alongside greater pupil dilation (Hermans et al. 2013; Bradley 2009) and brain activity suggestive of heightened perception (Lang and Bradley 2010). We view threat‐induced bradycardia as a probabilistic estimator of orienting to threat such that stronger bradycardia suggests greater attentional engagement coinciding with immobility. Threat‐induced bradycardia may be a risk factor for anxiety (Battaglia et al. 2023; Schipper et al. 2019). Threat‐induced bradycardia has an elevated magnitude and blunted habituation in anxious individuals and anxiogenic contexts (Thayer et al. 2000; Stegmann et al. 2024; Chalmers et al. 1975).\nRA's behavioral component can be estimated with threat‐induced risk aversion—cautious decision‐making in which choices become less risky after exposure to aversive stimuli (Clark et al. 2012; Kasheer and Nam 2021; Carr and Steele 2010). RA is a “neuroeconomic process” (McNaughton and Corr 2018): The animal becomes sensitive to situational uncertainty, leading to risk‐averse behavior that enhances survival (Crane et al. 2024; Mobbs et al. 2020). This involves reducing reward‐seeking (e.g., foraging) when threats/rewards are uncertain, allowing the animal to focus its energetic resources on monitoring threat (Blanchard and Blanchard 2008, 1989). Risk aversion can be indexed as a behavioral preference in economic lottery tasks (Holt and Laury 2002). Decisions are made about investing money in one of two lottery options where one option is more uncertain. A participant is risk‐averse if they choose fewer options with uncertain outcomes (Holt and Laury 2014). There are two types of risk situations where the outcome probabilities of a choice are known (risk with no ambiguity) or unknown (risk with ambiguity) (Lauharatanahirun et al. 2025). Choices, their neural correlates, (Hsu et al. 2005; Krain et al. 2006), and possibly RA (McNaughton and Corr 2018), differ between the two risk situations.\nEvolutionarily, human survival would have benefited from enhanced RA during waking night hours to better cope with uncertain threats (e.g., predators) cloaked in darkness (Wichlinski 2022). The nocturnal period's enhancement of RA likely involves heightened average RA (elevated RA) as well as blunted habituation in RA responses across threat exposures (sustained RA; Stankowich and Blumstein 2005; Herry et al. 2007; Grissom and Bhatnagar 2009; Vila et al. 2007). A state of attention/caution that is elevated and sustained across stimuli should enhance the detection/avoidance of uncertain threats at night (Wichlinski 2022; Blanchard, Blanchard, Rodgers, and Weiss 1990; Blanchard, Blanchard, Tom, and Rodgers 1990; Bell et al. 2009; Dalmaijer et al. 2021). In the defense cascade, the nocturnal setting may increase vigilance before threat detection, leading to enhanced RA to specific threat stimuli. We theorize that nocturnal enhancement of RA is a hard‐wired heuristic formed around diurnal animals' evolutionary adaptive environment (Cosmides and Tooby 2011; Wichlinski 2022) in which the night imperfectly signals darkness and uncertainty about environmental threats (Jedon et al. 2025; Bianco et al. 2025; Coss 2021; Yorzinski and Platt 2011; Nasar and Jones 1997). This nocturnal heuristic, like other evolutionary biases (Korteling and Toet 2020), likely arises in modern humans, even in indoor and illuminated environments. Such nocturnal RA may be driven by an endogenous circadian rhythm, where the suprachiasmatic nucleus (SCN) helps generate diurnal variation in threat‐related neural activity (e.g., amygdala; Koch et al. 2017; Buijs et al. 2003).\nNocturnal enhancement of RA in humans has not been clearly tested, although prior studies hint at such effects. The nighttime and darkness witness increased human threat responses including subjective fear, amygdala activation, and physiological reactivity (e.g., Emens et al. 2020; Li et al. 2015; McGlashan et al. 2021). Humans exhibit stronger eyeblink startle and cardiac deceleration to loud noise and stronger cardiac acceleration to threat images/sounds at night (Miller and Gronfier 2006; Pace‐Schott et al. 2014; Li et al. 2015). Those nocturnal responses emerge in lighted, indoor environments, consistent with “nocturnal enhancement of defense” being endogenous. Those threat responses are not necessarily indicative of RA; they are evoked by immediate threat (loud, inescapable noise) or reflect active fight/flight as opposed to passive RA (cardiac acceleration signals active defense) (Sokolov and Cacioppo 1997). Precise measures of RA should capture its multimodal processes towards distal threats, such as images, which are more likely to elicit RA (McNaughton and Corr 2004).\nThreat responses at night may promote survival, but if exaggerated, they could signal risk for anxiety disorders. The nocturnal setting, an evolutionarily salient threat context, is postulated to activate the RA processes at the core of anxiety symptoms (Blanchard et al. 2001). If so, then RA at night may represent a novel, evolutionarily rooted predictor of anxiety risk beyond traditional RA measures during the day. Hinting at such effects, darkness‐related startle responding is stronger in PTSD patients relative to controls (Grillon et al. 1998). Nocturnal modulation of RA‐anxiety links would expand on the traditional view of heightened RA as an anxiety disorder phenotype. This phenotype is possibly context‐dependent, such that the link between RA and anxiety risk is stronger at night versus day. Nocturnal enhancement of RA‐anxiety links is plausible since anxiety and the nighttime putatively increase vigilance (Davis and Whalen 2000; Wichlinski 2022), which may enhance post‐encounter RA. If such nocturnal enhancement is valid, then the pattern of greater threat‐induced bradycardia and risk aversion in high‐ versus low‐anxiety persons should be more prominent at night.\nInjury threats such as predators are prototypical dangers in our evolutionary history (Blanchard et al. 2011). Therefore, nocturnal enhancement of RA and its links to anxiety might be stronger when RA is elicited by injury threats. However, infection threats, which signal exposure to pathogens, also require defense (Tybur and Lieberman 2016; Curtis et al. 2011; Schaller 2016; Bradley et al. 2001). Injury and infection threats rely on distinct neurocognitive architectures and emotional repertoires (fear versus disgust) (Stark et al. 2007; Schaller 2016). Infection threats may also elicit higher RA relative to injury threats, since sickness‐causing agents are microscopic and more ambiguous than more discernible injury threats (e.g., attacking dog; Schaller 2016). Indeed, infection threats elicit greater bradycardia (Gilchrist et al. 2016; Cisler et al. 2009), attentional capture (Cisler et al. 2009; Van Hooff et al. 2013) and event‐related potentials indicating heightened perception (Carretié et al. 2010; Mendoza‐Medialdea and Ruiz‐Padial 2022). Infection threats possibly required even stronger RA in our evolutionary nocturnal environment where darkness further concealed stimuli; in modern humans, this might lead to stronger nocturnal enhancement of RA towards infection versus injury threats.\nThe current study tested whether the nocturnal period enhances RA's attentional and behavioral components, estimated with threat‐induced bradycardia and threat‐induced risk aversion. RA was elicited in an image‐decision task that had two separate periods in each trial (Figure 1): (1) An image viewing period involved perception of threat images, which aimed to evoke RA throughout the trial. Image content was manipulated across three conditions: neutral, threat of injury, and threat of infection images. Threat‐induced bradycardia unfolded during image viewing. It was measured as RR interval lengthening during threat images (relative to neutral images), estimating the degree of attentional orienting. (2) A subsequent decisional period had participants make a two‐choice lottery decision. This period captured threat‐induced risk aversion, or the degree to which safe versus risky choice was primed by the earlier threat (versus neutral) image, providing an estimate of behavioral caution. Nocturnal effects on RA measures were examined by randomly assigning participants to a day or night session. To examine nocturnal RA as a correlate of anxiety risk, anxiety symptoms were reported on the Depression Anxiety and Stress scale (Antony et al. 1998). It was hypothesized that the nocturnal period would enhance RA measures—threat‐induced bradycardia and threat‐induced risk aversion—leading to stronger average levels and weakened habituation in these metrics. It was also predicted that the nocturnal period would amplify the inter‐person associations between RA measures and anxiety symptoms. We hypothesized that the aforementioned “nocturnal enhancement” effects would emerge for (i) RA to injury threat and (ii) RA to infection threat images. The current study also explored two questions. First, we explored whether nocturnal effects were stronger on RA towards injury versus infection threat images, given the scarcity of research on the topic. Second, we explored whether nocturnal effects on threat‐induced risk aversion differed by risk situation (risk‐with‐ambiguity and risk‐with‐no‐ambiguity), since those contexts have differing neurobehavioral impacts (Lauharatanahirun et al. 2025).\nSchematic of a typical trial within the Risk Assessment Task. The task was used to induce and measure physiological and behavioral indices of risk assessment. Participants were presented with an image that varied in threat content (injury threat, infection threat, or neutral). Cardiac deceleration (bradycardia) was measured during the image presentation. Following the image, participants were asked to choose between either (1) keeping their endowment that ranged between $5 and $15 or (2) investing their endowment for the chance to earn potentially more money from either a social partner or non‐social probabilistic mechanism (i.e., roulette wheel).\n\n\n### Method\nData were collected from 120 physically healthy adults who were either university students or non‐students from the surrounding community. Before enrollment, participants were randomly assigned to complete the study procedures during either a day session or night session. Day sessions could occur at any time between 8:30 AM and 4:30 PM, and night sessions could occur between 7:00 PM and 12:00 AM. Participants were recruited via an online recruitment platform (StudyFinder), social media, posted flyers, and word‐of‐mouth. Exclusionary criteria included: (1) a current and/or previous diagnosis of a cardiovascular, metabolic, or neurological condition, (2) use of nicotine products, and (3) diagnosis of COVID‐19 in the 2 weeks before the study. Prior to the lab visit, participants were required to abstain from: (1) alcohol for 24 h, (2) caffeine for 6 h, (3) eating for 2 h, and (4) vigorous exercise for 2 h. Exclusionary criteria were measured with an online prescreening questionnaire prior to enrollment. Participants confirmed abstention procedures (e.g., no caffeine for 6 h) by completing a brief questionnaire at the start of the lab visit. Participants who did not satisfy the abstention requirements were rescheduled to complete the study at a future date. Twenty‐three participants were excluded from the analysis due to completely missing or excessively noisy data arising from technical difficulties. That procedure left 97 participants (Day: n = 43, Night: n = 54). We also sought to ensure that the day and night sessions were temporally distinct to maximize internal validity; we therefore excluded participants whose sessions occurred during astronomical transition periods (e.g., sunset period). Specifically, day participants were only included in the analysis if they started study procedures after the end of civil dawn (i.e., end of morning civil twilight) AND ended procedures before the start of sunset. Night participants were only included if they started procedures after the end of civil dusk (i.e., end of evening civil twilight) and ended before the start of sunrise. The civil dawn/dusk end times provide practical thresholds for the start of daytime and nighttime according to societal, governmental, and research norms (https://www.ecfr.gov/current/title‐1) (Kimball 1916; Tan et al. 2013; Andre and Owens 2001). The clock times associated with these astronomical events (e.g., civil twilight end) were acquired from an online database provided by the U.S. Naval Observatory Astronomical Operations Department (https://aa.usno.navy.mil/data). Astronomical times were then compared to study procedure start/end times to identify sessions that did not satisfy our requirements. This procedure excluded ten participants in the night group who started procedures before civil dusk's end (a typical cutoff point for the start of nighttime)—leaving 87 participants in the final analysis (Day: n = 43, Night: n = 44).\nThe study took place in a temperature‐controlled room with the lights on and “blackout” curtains drawn to prevent participants from seeing outside sunlight or lack thereof. The lights were kept on during study procedures for both the day and night conditions. These controls mitigated ambient lighting, or light versus dark, as a confound of time‐of‐day effects, which is our primary focus. Each session was overseen by two trained experimenters. If the participant satisfied the abstention criteria (see above), then they were attached to the physiological recording equipment. Abstention criteria were verified by having participants complete an electronic screening questionnaire. If they did not satisfy all criteria, then their laboratory session was rescheduled to a later date. They next completed self‐report questionnaires on a desktop computer while acclimating to the study setting. After questionnaires were completed, the experimenters instructed participants on the image‐decision task using a detailed slideshow, after which participants completed 3 practice trials and asked clarifying questions if they had any. Participants then completed the image‐decision task, which was segmented into 3 separate conditions that varied in the type of image presented: neutral, injury threat, infection threat. Each condition presented images from the same category (e.g., infection threat). Two‐minute resting baselines preceded each condition to mitigate fatigue effects. Participants wore noise canceling headphones during the entire task to prevent distraction due to extraneous noise. After completing the task, the experimenters removed the physiological equipment and compensated the participant with $25 in cash. Participants also received a bonus compensation of up to $5 in cash, which was calculated based on a randomly selected trial from the task (see task details below). Participants were then debriefed by the experimenters and exited the laboratory room. The study session lasted approximately 90 min.\nTo study risk assessment, we used a novel computerized task that combined passive affective image viewing with economic lottery choices, with those choices being adapted from a single‐shot uni‐directional trust style game (Holt and Laury 2002; Holt 2019; Lauharatanahirun et al. 2012, 2025; Berg et al. 1995). See Figure 1. The task was scripted and implemented in MATLAB (version R2021b) on a 1920 × 1080p DELL PC monitor with a 60 Hz refresh rate. In each trial, participants were presented with an affective image followed by an economic decision. This formed two separate trial phases: an image viewing phase and a decisional phase. In the image viewing phase, varying image types (neutral, injury threat, infection threat; see Affective Stimuli section) were presented, with threat images putatively eliciting RA. Threat‐induced bradycardia was measured during the image viewing phase. The decisional phase can be considered a form of decisional priming where earlier threat images potentially modulate later choice, and these modulated choices estimated threat‐induced risk aversion. Participants were instructed that their goals were to attend to the images without averting the gaze, and to earn as much money possible such that each decision was independent from all other decisions.\nIn the decisional period of the trial, participants were asked to make decisions to either keep an initial endowment that ranged between $5 and $15 (safe option) or invest their allotted endowment in a gamble for the chance to earn more money (risky option). For each gamble, there was a high and low monetary payoff that were each associated with a probability. Probabilities of each potential outcome were represented using pie charts, where there were 10 slices in each pie that corresponded to a probability of 10% (see Figure 1). The “keep” pie was the safe option because it guaranteed the participant would retain the given monetary amount for that trial (e.g., 100% chance of earning $10). There was no uncertainty associated with the “keep” option. The “invest” pie was riskier because it was uncertain whether participants would earn less or more than their endowment on that trial (e.g., 60% of earning $14.70 and 40% of earning $2.60). To manipulate the risk situation, we changed whether the pie pieces (probability information) were occluded or not, such that half of the trials corresponded to each risk situation: no ambiguity versus ambiguity. Under risk‐with‐no ambiguity, none of the pie pieces were occluded. Under risk‐with‐ambiguity, 60% of the pie was occluded, and the occluded pieces of the pie could belong to high or low payoffs; the participants would not know which payoff wash hidden, thus increasing the level of uncertainty. In alignment with Induced Value Theory (Smith 1976), participants were told that they would receive an additional bonus payment of up to $5 based on their earnings from three randomly selected trials. This incentive structure allows participants' choices in the experiment to directly affect their monetary rewards, which promotes natural decision‐making akin to real‐world environments. Less focal to our core research question, participants were told in half of the trials (within image condition) that the “invest” option represented the likelihood of receiving amounts determined by a non‐social agent, specifically by a computer, which was designated visually as a roulette wheel. In the other half of trials, participants were told that outcomes were determined by a social agent, or a previous participant which was designated as a human face. Time‐of‐day and threat image effects did not differ between social and non‐social conditions, |Bs| < 0.15, ps > 0.220. Therefore, all risk aversion results collapsed across the social and non‐social conditions while including a regressor to account for nuisance variance introduced by that manipulation (see Statistical Analysis).\nAt the start of each trial (Figure 1), an image was presented on the center of the screen for 5 s, constituting the image viewing period. The affective content varied depending on the image condition. After the image disappeared, a fixation cross was presented on the screen for a jittered inter‐stimulus interval drawn from a normal distribution of 0.5 s ± 0.2 s. Participants then completed the decisional period of the trial. In each trial, participants were first given a certain monetary endowment that ranged between ($5 and $15) that could either be kept (safe option) or invested in an uncertain gamble for the chance to potentially earn more money (risky option). These decision options were represented as two pie charts on the screen and shown to participants for 1 s. To prompt participants to make their selections, the message “Keep or Invest?” appeared at the top of the screen above the two options for a maximum of 3 s. Participants then indicated their decision on a keyboard using the “1” key corresponding to “keep” (safe option) and the “2” key corresponding to “invest” (risky option). In accord with prior studies (e.g., Lauharatanahirun et al. 2012), the safe and risky options were always presented on the left and right sides of the screen, and the keep and invest responses always corresponded to the left and right keys. This was done to reduce cognitive load and to ensure that choices were not confounded by cognitive errors or switching abilities. If participants failed to make a choice in the 3 s period, then they were presented with a screen containing the message: “TOO LATE! NO DECISION MADE!”, and the participant received no money during that trial. To separate events of the decisional period of the trial, a fixation cross was presented in the center of the screen for a jittered inter‐stimulus interval drawn from a normal distribution of 0.5 s ± 0.2 s. Once a decision was made, the trial ended, and the next trial commenced after a jittered inter‐trial interval drawn from a normal distribution with a mean of 1 s ± 4 s.\nParticipants completed a total of 180 trials across three conditions: injury threat (60 trials), infection threat (60 trials), and neutral (60 trials). Images of the same type were chunked together such that a single condition depicted only one image type (e.g., injury threat) across its 60 successive trials. The three conditions were separated by baseline periods. Serially presenting the same types of images back‐to‐back, as opposed to randomizing them on a trial‐to‐trial basis, served two purposes. It aimed to mitigate carryover effects between differing image types (e.g., threat onto neutral), and it facilitated the study of habituation to repeated images of the same type. Increasing the odds of habituation was critical given our hypotheses regarding weakened habituation of RA at night. The order of the image type conditions was randomized across participants. After each condition (N = 60 trials), participants received feedback about task earnings from a randomly selected trial in the preceding condition. The feedback was presented on a black screen with the text: “This is the end of block __ of 3. Your randomly selected payoff for this block is:__.” The randomly selected payoffs served as the bonus compensation, which could total to $5 in cash across conditions.\nThe emotional images (N = 180) used in the task were color photographs acquired from Shutterstock, Dreamstime, and Pexels, online providers of high‐quality, royalty‐free images. Images were resized to a 1:1 aspect ratio (500 × 500 pixels). Injury threat images depicted stimuli that could inflict violent physical harm, including weapons, aggressive humans, and predators. Infection threat images depicted stimuli that could transmit infectious disease and cause illness. Neutral images involved mundane stimuli that have a lower probability of causing physical harm and infection, such as inanimate objects that appear in the household or outside, nature scenes, and human actors with emotionally neutral poses and/or facial expressions.\nThe 180 images used in this study were selected from a larger pool of images (n = 270) based on threat ratings of each image in a prior sample of participants (n = 734) (Spangler et al. 2024). The images were rated on negative emotions (fear, disgust) and threat appraisals (injury risk appraisal, illness risk appraisal) in this separate sample (Spangler et al. 2024). Ratings were made on Likert scales ranging from 0 to 100. For injury threat, we selected the images with the highest injury threat ratings, represented as the average score across a fear item (“The image made me feel scared.”) and an appraisal‐of injury‐risk item (“The scene and/or object in the image could hurt someone”). For infection threat, we selected the images with the highest infection threat ratings, represented as the average score across a disgust item (“The image made me feel disgusted”) and an appraisal‐of‐illness risk item (“The scene and/or object in the image could make someone sick”). For neutral, we selected the images with the lowest threat score, represented as the average score across all four items that were noted above.\nWe sought to validate the that the selected images activated the expected threat states. Multilevel regression models therefore tested differences between the image conditions in each of the four ratings (natural logarithm transformed to correct for skew); the analysis leveraged data from the prior sample (Spangler et al. 2024). The results indicate that, as expected, injury threat images had significantly higher fear and injury appraisal ratings compared to neutral images (fear: B = 1.97, p < 0.001; injury appraisal: B = 1.95, p < 0.001) and infection threat images (fear: B = 0.59, p < 0.001; injury appraisal: B = 0.82, p < 0.001). Also as expected, infection threat images had significantly higher disgust and infection appraisal ratings compared to neutral images (disgust: B = 2.35, p < 0.001; illness appraisal: B = 1.81, p < 0.001) and injury threat images (disgust: B = 0.77, p < 0.001; illness appraisal: B = 1.14, p < 0.001). This analysis suggests that the selected images in each condition are effective at eliciting negative emotions and threat appraisals tied to RA. They also showcase the separateness of injury and infection threat images in activating different threat states.\nElectrocardiography (ECG) was continuously collected using a modified bipolar Lead II configuration. Lead wires were attached to adhesive spot electrodes below each clavicle and at the left ribcage. The signal was amplified (Gain = 2000) and filtered (0.05–150 Hz) with hardware (ECG 100C, BIOPAC systems Inc., Goleta, CA) before being digitized by the MP160 acquisition unit. The digitized signal was then routed to a laptop and recorded for offline processing using the AcqKnowledge Software (BIOPAC Systems Inc., Goleta, CA). In the offline processing, we applied a digital bandpass filter (0.5–35 Hz) to remove noise and then identified the R‐spikes using a modified Pan‐Tompkins algorithm. Successive R‐spikes were used to calculate the RR interval time courses for each trial. Artifact correction followed a careful two‐step procedure and generated corrected RR interval time courses. First, misclassified R‐spikes were manually corrected in AcqKnowledge by trained research assistants. Second, artifactual RR intervals were replaced with cublic spline interpolation; artifactual intervals were defined as intervals less than 300 ms, greater than 2000 ms, or more than 30% different from the last RR interval (Haaksma et al. 1995). Artifactual values constituted less than 1% of the ECG records. To further ensure validity of the cardiac data, image trials with more than three consecutive artifactual values were excluded from the bradycardia analyses; this procedure removed less than 1% of the trials. RR interval and not heart rate (HR) was used as our measure of cardiac chronotropy, because RR intervals have superior distributional properties, are more clearly and directly related to underlying vagus nerve traffic, and better reflect the physiological unit of cardiac chronotropy (i.e., heartbeats) (Berntson et al. 1995; Jennings et al. 1974). Although not of primary relevance to the current study, impedance cardiography was also collected using four adhesive spot electrodes on the posterior neck and back.\nThe corrected RR interval (milliseconds) time courses were used to compute cardiac deceleration, or bradycardia, scores. First, deceleration scores were computed by subtracting a pre‐image baseline from all RR intervals during the 5‐s image viewing period on a trial‐to‐trial basis. The pre‐image baseline was defined as the last complete RR interval before the image onset. This pre‐image baseline period occurred during the 1‐s inter‐trial interval (ITI) before each image, when participants passively viewed a black screen with a fixation cross. Second, we selected the maximum (i.e., peak) deceleration score that occurred during the image viewing period (5 s) for each image. When selecting the maximum score, we excluded the first deceleration score during the image since this likely reflects a “transient detecting response” and not attentional orienting that is germane to RA (Bradley 2009). The maximum deceleration score served as our index of “bradycardia”—how much RR interval lengthened in response to image viewing. These procedures were carried out for each image separately such that every trial had a bradycardia score.\nDecision‐making was measured as a binary variable for each trial, in terms of whether the participant chose the safe (coded as 0) or risky (coded as 1) option. The degree of risk aversion was operationalized as a lower likelihood (log‐odds) of choosing the risky option across trials, which we estimated with a logistic regression (described in the statistical analyses below).\nApproximately 3.6% of item‐level survey responses were missing across the questionnaires. The anxiety subscale of the DASS‐21 was our primary focus in the survey data, and only 1.1% of this subscale's item responses were missing. To prevent a loss of statistical power and to minimize bias due to listwise deletion (Van Ginkel et al. 2020), missing values were filled in with multiple imputation using the multivariate imputation by chained equations method (Van Buuren 2007). The average value across five separate imputations served as the final imputed value for each missing score. Survey total scores (e.g., total DASS‐21 anxiety scores) and Cronbach's alphas both leveraged the imputed item‐level responses.\nThe anxiety subscale of the 21‐item version of the Depression, Anxiety, and Stress Scale (DASS‐21) has been used to index anxiety symptoms in various somatic and experiential domains (Antony et al. 1998; Lovibond 1995). Participants rated seven statements on the degree to which they applied to them over the past week, e.g., “I felt I was close to panic”; “I felt scared without any good reason.” Ratings were made on a four‐point Likert scale (0 to 3) with higher ratings indicating a stronger presence of symptoms. In accord with established criteria, ratings were summed and multiplied by 2 to yield a total anxiety score for each participant. The total scores exhibited acceptable internal consistency, Cronbach's alpha = 0.72. We used established criteria to digitize the total scores into a clinically meaningful categorical variable (Lovibond 1995). Specifically, participants with a total score of less than 8 were categorized as sub‐threshold, and individuals with a score of 8 or greater were categorized as above‐threshold. This established cutoff distinguished participants with sub‐threshold anxiety (n = 54) apart from those with above‐threshold anxiety (n = 33) in the current sample. In prior research, individuals in the above‐threshold group (score of 8 or greater) are more likely to have an anxiety disorder than are their below‐threshold (score lower than 8) counterparts (Lovibond 1995; Clover et al. 2022; Mitchell et al. 2008). It can therefore be inferred that individuals in the above‐threshold anxiety group likely have a heightened vulnerability for clinical anxiety; this points to the benefit of binarizing the variable as opposed to using continuous anxiety scores. The appropriateness of the binary classification (instead of the continuous scores) is also supported in our data since the continuous scores evidenced a non‐normal distribution where approximately half of the participants had relatively low scores (total score < 5).\nCircadian preference was self‐reported on the previously validated Morningness‐Eveningness Questionnaire (MEQ) (Horne and Ostberg 1976; Duffy et al. 2001; Bailey and Heitkemper 2001). The questionnaire contains 19 questions that are rated on a Likert scale. The items assess the time of the day when individuals are most comfortable/alert/etc. and when they would prefer to engage in certain activities, namely waking up and sleeping but also day‐to‐day behaviors like exercise. Item scores were summed to index a continuous circadian preference. Lower scores indicate a stronger evening preference while higher scores indicate a stronger morning preference. The scale's internal consistency in the current sample was good, Cronbach's alpha = 0.84.\nState emotion was self‐reported on the state form of the Positive–Negative Affect Schedule (PANAS). Participants rated 20 emotion adjectives based on how much they felt each emotion in that current moment. Ratings were made on a 5‐point Likert scale, ranging from 1 = “very slightly” to 5 = “extremely.” We were specifically interested in the adjective items “Alert” and “Active” because they addressed subjective fatigue as a confound of the observed time‐of‐day effects.\nPrior to running each statistical model, variables were screened for extreme outliers based on Tukey's 3*interquartile range (IQR) rule, and outliers were Winsorized to the fence (25th and 75th percentile ± 3*IQR). Outliers were detected only for < 1% of the trial‐level cardiac deceleration scores. Winsorization did not affect any other variables.\nThe hypotheses regarding time‐of‐day effects on RA metrics were tested with two‐level multilevel regression models that disentangle within‐ and between‐person variance (De Leeuw et al. 2008). A multilevel approach also permitted testing of cross‐level interactions between within‐person (e.g., image condition) and between‐person (e.g., time‐of‐day group) variables. Distinct models were conducted with bradycardia and risk aversion as separate outcome measures. Across all models, fixed regression effects tested our hypotheses and are reported as unstandardized regression coefficients (B). Each model included a random intercept of participant. Random slopes of level‐1 effects were also included when testing cross‐level interactions involving time‐of‐day group (level‐2) (Heisig and Schaeffer 2019). Significant interactions were probed with simple slope analysis. All fixed effects were tested against zero using Sattherwaithe degrees of freedom, two‐tailed p‐values, and an alpha of 0.05. Models were fit with full maximum likelihood using the lme4 (Bates 2010) and lmerTest (Kuznetsova et al. 2017) packages in RStudio. Models were conducted for each outcome measure (bradycardia and risk aversion) using a three‐step approach, as is detailed below.\nBradycardia—the peak RR deceleration score relative to a pre‐image baseline—was entered as the outcome measure. The magnitude of threat‐induced bradycardia was represented as the extent to which there was greater bradycardia towards threat versus neutral images. Such threat‐related effects were modeled using two orthogonal dummy code regressors for injury and infection threat images separately: Injury vs. Neutral and Infection vs. Neutral, respectively. Neutral images served as the reference group for both injury and infection contrasts, with each contrast being tested simultaneously in the same model. A binary Time‐of‐Day (day = 0, night = 1) regressor modeled nocturnal effects as differences in bradycardia between the night and day groups. Another binary dummy regressor Block (first half of trials = 0, second half of trials = 1) modeled habituation as differences in bradycardia between earlier and later trials. Cross‐product interactions between these terms tested moderation effects. Specifically, the two‐way interactions between Injury/Infection contrasts and Time‐of‐Day modeled the nocturnal effects on average threat‐bradycardia for injury and infection threats separately. Three‐way interactions between Injury/Infection contrasts, Block, and Time‐of‐Day modeled nocturnal effects on the extent to which threat‐bradycardia habituated across blocks; as before, those interactions were tested separately for injury and infection threat images in the same model: Injury vs. Neutral*Block*Time‐of‐Day and Infection vs. Neutral*Block*Time‐of‐Day.\nA three‐step approach generated separate multilevel models for threat‐induced bradycardia. That approach allowed us to comprehensively test all hypotheses with statistical clarity and rigor, while also providing a final model that is better specified and likely more accurate in accord to the data. First, we fit an average model that ignored habituation (without Block effects), which tested hypothesized time‐of‐day effects on average threat‐induced bradycardia/risk aversion. Here, the 2‐way interaction between image contrasts and Time‐of‐Day group (0 = day, 1 = night) tested day versus night differences in threat‐induced bradycardia averaged across blocks of each image condition. Second, we next fit a maximal habituation model to test cross‐level interactions representing time‐of‐day (level 2) effects on habituation in threat‐induced bradycardia (level 1). Those time‐of‐day differences in threat‐induced bradycardia's habituation were modeled as the 3‐way interactions between image contrasts, Block, and Time‐of‐Day group. Third, we fit a refined model that removed cross‐level interactions that were deemed non‐significant in the maximal or average model; we also removed their associated random slopes. Removing non‐significant interactions in this manner has been recommended for linear regression models (Engqvist 2005; Hayes 2009). Deleting null (p > 0.05) interaction terms (e.g., Block*Time‐of‐Day) allows researchers to accurately test lower‐order terms (e.g., Time‐of‐Day) as main effects, referring to average effects that pool across the moderator (e.g., Block). This is because when interactions are retained in the model, even if non‐significant, lower‐order terms are inherently tested as conditional effects that vary between levels of the moderator, not as main effects (Cohen et al. 2013). For example, removing non‐significant interactions (e.g., Injury vs. Neutral*Block) allowed for proper testing of the main effects of image type (Injury vs. Neutral) across levels of Block. Removing inappropriate cross‐level interactions and their associated random slopes, representing a backward elimination/selection procedure, is also a validated practice for improving statistical power and parsimony of multilevel models (Matuschek et al. 2017; Diggle 2002). We therefore report statistics from the refined models except when reporting non‐significant effects relating to an interaction term, which come from the average or maximal habituation model.\nTime‐of‐day effects on threat‐induced risky decision‐making were tested in separate multilevel logistic regression models. The log‐odds of risky choice (safe choice = 0, risky choice = 1) served as the outcome measure and indexed the degree of risk aversion. These logistic regression models used the same regressors as those testing bradycardia above, with the addition of the social versus non‐social contrast to account for nuisance variance introduced by that manipulation. The magnitude of threat‐induced risky decision‐making was indexed as the extent to which there was a lower likelihood of choosing the risky option following threat versus neutral images. Dummy code regressors modeled those effects separately for injury and infection images but did so simultaneously in each multilevel model. As with the bradycardia models above, we also leveraged a three‐step modeling approach where we focused on a final refined model.\nFollow‐up sensitivity analyses were conducted to confirm that significant time‐of‐day effects from the multilevel models were true‐positive effects. There may be concern about overfitting the multilevel models with N < 100, especially when using maximum likelihood estimation. Our sensitivity analyses therefore took the form of simpler analyses of variance (ANOVA). In our view, if similar time‐of‐day results are obtained with the ANOVA, then the significant multilevel results are likely true‐positives. These ANOVAs used the same outcome and predictor variables as those used in the analogous multilevel models. Once exception is that risk aversion was represented as the proportion of trials in which the risky option was chosen (since ANOVA cannot handle binary outcomes, e.g., safe [0] vs. risky [1]).\nInter‐person relationships first required computing average RA scores. Threat‐induced bradycardia, as an individual difference metric, was calculated by subtracting the mean bradycardia score for neutral images (average peak RR deceleration across neutral images) from the corresponding threat image score (e.g., average peak RR deceleration across infection threat images). The same approach calculated individual differences in threat‐induced changes in risky choice. These metrics were calculated separately for injury threat and infection threat images, and they characterized individual differences in RA physiology and RA behavior. Next, hypotheses for time‐of‐day effects on inter‐person associations between average RA measures and anxiety were tested with logistic regression models. The number of participants in each group by anxiety and time‐of‐day is as follows: Day, Sub‐Threshold Anxiety: N = 30. Day, Above‐Threshold Anxiety: N = 13. Night, Sub‐Threshold Anxiety: N = 24. Night, Above‐Threshold Anxiety: N = 20. Separate models were tested for each threat image type and RA measure. The log‐odds of belonging to the above‐threshold anxiety group (below‐threshold = 0, above‐threshold = 1) served as the dependent measure in each model. Interactions between time‐of‐day (day = 0, night = 1) and average bradycardia to threat images were modeled as cross‐product interactions. Significant interactions were probed with simple slope analysis. For example, a significant positive association between an RA measure, such as threat‐induced bradycardia, and anxiety group indicated that individuals with stronger bradycardia were more likely to be members of the above‐threshold anxiety group than those with weaker bradycardia. Two‐tailed p‐values and 95% CIs, with an alpha of 0.05, were used to test unstandardized regression coefficients against zero.\n\n\n### Participants\nData were collected from 120 physically healthy adults who were either university students or non‐students from the surrounding community. Before enrollment, participants were randomly assigned to complete the study procedures during either a day session or night session. Day sessions could occur at any time between 8:30 AM and 4:30 PM, and night sessions could occur between 7:00 PM and 12:00 AM. Participants were recruited via an online recruitment platform (StudyFinder), social media, posted flyers, and word‐of‐mouth. Exclusionary criteria included: (1) a current and/or previous diagnosis of a cardiovascular, metabolic, or neurological condition, (2) use of nicotine products, and (3) diagnosis of COVID‐19 in the 2 weeks before the study. Prior to the lab visit, participants were required to abstain from: (1) alcohol for 24 h, (2) caffeine for 6 h, (3) eating for 2 h, and (4) vigorous exercise for 2 h. Exclusionary criteria were measured with an online prescreening questionnaire prior to enrollment. Participants confirmed abstention procedures (e.g., no caffeine for 6 h) by completing a brief questionnaire at the start of the lab visit. Participants who did not satisfy the abstention requirements were rescheduled to complete the study at a future date. Twenty‐three participants were excluded from the analysis due to completely missing or excessively noisy data arising from technical difficulties. That procedure left 97 participants (Day: n = 43, Night: n = 54). We also sought to ensure that the day and night sessions were temporally distinct to maximize internal validity; we therefore excluded participants whose sessions occurred during astronomical transition periods (e.g., sunset period). Specifically, day participants were only included in the analysis if they started study procedures after the end of civil dawn (i.e., end of morning civil twilight) AND ended procedures before the start of sunset. Night participants were only included if they started procedures after the end of civil dusk (i.e., end of evening civil twilight) and ended before the start of sunrise. The civil dawn/dusk end times provide practical thresholds for the start of daytime and nighttime according to societal, governmental, and research norms (https://www.ecfr.gov/current/title‐1) (Kimball 1916; Tan et al. 2013; Andre and Owens 2001). The clock times associated with these astronomical events (e.g., civil twilight end) were acquired from an online database provided by the U.S. Naval Observatory Astronomical Operations Department (https://aa.usno.navy.mil/data). Astronomical times were then compared to study procedure start/end times to identify sessions that did not satisfy our requirements. This procedure excluded ten participants in the night group who started procedures before civil dusk's end (a typical cutoff point for the start of nighttime)—leaving 87 participants in the final analysis (Day: n = 43, Night: n = 44).\n\n\n### Procedure\nThe study took place in a temperature‐controlled room with the lights on and “blackout” curtains drawn to prevent participants from seeing outside sunlight or lack thereof. The lights were kept on during study procedures for both the day and night conditions. These controls mitigated ambient lighting, or light versus dark, as a confound of time‐of‐day effects, which is our primary focus. Each session was overseen by two trained experimenters. If the participant satisfied the abstention criteria (see above), then they were attached to the physiological recording equipment. Abstention criteria were verified by having participants complete an electronic screening questionnaire. If they did not satisfy all criteria, then their laboratory session was rescheduled to a later date. They next completed self‐report questionnaires on a desktop computer while acclimating to the study setting. After questionnaires were completed, the experimenters instructed participants on the image‐decision task using a detailed slideshow, after which participants completed 3 practice trials and asked clarifying questions if they had any. Participants then completed the image‐decision task, which was segmented into 3 separate conditions that varied in the type of image presented: neutral, injury threat, infection threat. Each condition presented images from the same category (e.g., infection threat). Two‐minute resting baselines preceded each condition to mitigate fatigue effects. Participants wore noise canceling headphones during the entire task to prevent distraction due to extraneous noise. After completing the task, the experimenters removed the physiological equipment and compensated the participant with $25 in cash. Participants also received a bonus compensation of up to $5 in cash, which was calculated based on a randomly selected trial from the task (see task details below). Participants were then debriefed by the experimenters and exited the laboratory room. The study session lasted approximately 90 min.\n\n\n### Risk Assessment Task: Affective Images and Risky Decision‐Making\nTo study risk assessment, we used a novel computerized task that combined passive affective image viewing with economic lottery choices, with those choices being adapted from a single‐shot uni‐directional trust style game (Holt and Laury 2002; Holt 2019; Lauharatanahirun et al. 2012, 2025; Berg et al. 1995). See Figure 1. The task was scripted and implemented in MATLAB (version R2021b) on a 1920 × 1080p DELL PC monitor with a 60 Hz refresh rate. In each trial, participants were presented with an affective image followed by an economic decision. This formed two separate trial phases: an image viewing phase and a decisional phase. In the image viewing phase, varying image types (neutral, injury threat, infection threat; see Affective Stimuli section) were presented, with threat images putatively eliciting RA. Threat‐induced bradycardia was measured during the image viewing phase. The decisional phase can be considered a form of decisional priming where earlier threat images potentially modulate later choice, and these modulated choices estimated threat‐induced risk aversion. Participants were instructed that their goals were to attend to the images without averting the gaze, and to earn as much money possible such that each decision was independent from all other decisions.\nIn the decisional period of the trial, participants were asked to make decisions to either keep an initial endowment that ranged between $5 and $15 (safe option) or invest their allotted endowment in a gamble for the chance to earn more money (risky option). For each gamble, there was a high and low monetary payoff that were each associated with a probability. Probabilities of each potential outcome were represented using pie charts, where there were 10 slices in each pie that corresponded to a probability of 10% (see Figure 1). The “keep” pie was the safe option because it guaranteed the participant would retain the given monetary amount for that trial (e.g., 100% chance of earning $10). There was no uncertainty associated with the “keep” option. The “invest” pie was riskier because it was uncertain whether participants would earn less or more than their endowment on that trial (e.g., 60% of earning $14.70 and 40% of earning $2.60). To manipulate the risk situation, we changed whether the pie pieces (probability information) were occluded or not, such that half of the trials corresponded to each risk situation: no ambiguity versus ambiguity. Under risk‐with‐no ambiguity, none of the pie pieces were occluded. Under risk‐with‐ambiguity, 60% of the pie was occluded, and the occluded pieces of the pie could belong to high or low payoffs; the participants would not know which payoff wash hidden, thus increasing the level of uncertainty. In alignment with Induced Value Theory (Smith 1976), participants were told that they would receive an additional bonus payment of up to $5 based on their earnings from three randomly selected trials. This incentive structure allows participants' choices in the experiment to directly affect their monetary rewards, which promotes natural decision‐making akin to real‐world environments. Less focal to our core research question, participants were told in half of the trials (within image condition) that the “invest” option represented the likelihood of receiving amounts determined by a non‐social agent, specifically by a computer, which was designated visually as a roulette wheel. In the other half of trials, participants were told that outcomes were determined by a social agent, or a previous participant which was designated as a human face. Time‐of‐day and threat image effects did not differ between social and non‐social conditions, |Bs| < 0.15, ps > 0.220. Therefore, all risk aversion results collapsed across the social and non‐social conditions while including a regressor to account for nuisance variance introduced by that manipulation (see Statistical Analysis).\nAt the start of each trial (Figure 1), an image was presented on the center of the screen for 5 s, constituting the image viewing period. The affective content varied depending on the image condition. After the image disappeared, a fixation cross was presented on the screen for a jittered inter‐stimulus interval drawn from a normal distribution of 0.5 s ± 0.2 s. Participants then completed the decisional period of the trial. In each trial, participants were first given a certain monetary endowment that ranged between ($5 and $15) that could either be kept (safe option) or invested in an uncertain gamble for the chance to potentially earn more money (risky option). These decision options were represented as two pie charts on the screen and shown to participants for 1 s. To prompt participants to make their selections, the message “Keep or Invest?” appeared at the top of the screen above the two options for a maximum of 3 s. Participants then indicated their decision on a keyboard using the “1” key corresponding to “keep” (safe option) and the “2” key corresponding to “invest” (risky option). In accord with prior studies (e.g., Lauharatanahirun et al. 2012), the safe and risky options were always presented on the left and right sides of the screen, and the keep and invest responses always corresponded to the left and right keys. This was done to reduce cognitive load and to ensure that choices were not confounded by cognitive errors or switching abilities. If participants failed to make a choice in the 3 s period, then they were presented with a screen containing the message: “TOO LATE! NO DECISION MADE!”, and the participant received no money during that trial. To separate events of the decisional period of the trial, a fixation cross was presented in the center of the screen for a jittered inter‐stimulus interval drawn from a normal distribution of 0.5 s ± 0.2 s. Once a decision was made, the trial ended, and the next trial commenced after a jittered inter‐trial interval drawn from a normal distribution with a mean of 1 s ± 4 s.\nParticipants completed a total of 180 trials across three conditions: injury threat (60 trials), infection threat (60 trials), and neutral (60 trials). Images of the same type were chunked together such that a single condition depicted only one image type (e.g., injury threat) across its 60 successive trials. The three conditions were separated by baseline periods. Serially presenting the same types of images back‐to‐back, as opposed to randomizing them on a trial‐to‐trial basis, served two purposes. It aimed to mitigate carryover effects between differing image types (e.g., threat onto neutral), and it facilitated the study of habituation to repeated images of the same type. Increasing the odds of habituation was critical given our hypotheses regarding weakened habituation of RA at night. The order of the image type conditions was randomized across participants. After each condition (N = 60 trials), participants received feedback about task earnings from a randomly selected trial in the preceding condition. The feedback was presented on a black screen with the text: “This is the end of block __ of 3. Your randomly selected payoff for this block is:__.” The randomly selected payoffs served as the bonus compensation, which could total to $5 in cash across conditions.\n\n\n### Trial Structure\nAt the start of each trial (Figure 1), an image was presented on the center of the screen for 5 s, constituting the image viewing period. The affective content varied depending on the image condition. After the image disappeared, a fixation cross was presented on the screen for a jittered inter‐stimulus interval drawn from a normal distribution of 0.5 s ± 0.2 s. Participants then completed the decisional period of the trial. In each trial, participants were first given a certain monetary endowment that ranged between ($5 and $15) that could either be kept (safe option) or invested in an uncertain gamble for the chance to potentially earn more money (risky option). These decision options were represented as two pie charts on the screen and shown to participants for 1 s. To prompt participants to make their selections, the message “Keep or Invest?” appeared at the top of the screen above the two options for a maximum of 3 s. Participants then indicated their decision on a keyboard using the “1” key corresponding to “keep” (safe option) and the “2” key corresponding to “invest” (risky option). In accord with prior studies (e.g., Lauharatanahirun et al. 2012), the safe and risky options were always presented on the left and right sides of the screen, and the keep and invest responses always corresponded to the left and right keys. This was done to reduce cognitive load and to ensure that choices were not confounded by cognitive errors or switching abilities. If participants failed to make a choice in the 3 s period, then they were presented with a screen containing the message: “TOO LATE! NO DECISION MADE!”, and the participant received no money during that trial. To separate events of the decisional period of the trial, a fixation cross was presented in the center of the screen for a jittered inter‐stimulus interval drawn from a normal distribution of 0.5 s ± 0.2 s. Once a decision was made, the trial ended, and the next trial commenced after a jittered inter‐trial interval drawn from a normal distribution with a mean of 1 s ± 4 s.\nParticipants completed a total of 180 trials across three conditions: injury threat (60 trials), infection threat (60 trials), and neutral (60 trials). Images of the same type were chunked together such that a single condition depicted only one image type (e.g., injury threat) across its 60 successive trials. The three conditions were separated by baseline periods. Serially presenting the same types of images back‐to‐back, as opposed to randomizing them on a trial‐to‐trial basis, served two purposes. It aimed to mitigate carryover effects between differing image types (e.g., threat onto neutral), and it facilitated the study of habituation to repeated images of the same type. Increasing the odds of habituation was critical given our hypotheses regarding weakened habituation of RA at night. The order of the image type conditions was randomized across participants. After each condition (N = 60 trials), participants received feedback about task earnings from a randomly selected trial in the preceding condition. The feedback was presented on a black screen with the text: “This is the end of block __ of 3. Your randomly selected payoff for this block is:__.” The randomly selected payoffs served as the bonus compensation, which could total to $5 in cash across conditions.\n\n\n### Affective Image Stimuli\nThe emotional images (N = 180) used in the task were color photographs acquired from Shutterstock, Dreamstime, and Pexels, online providers of high‐quality, royalty‐free images. Images were resized to a 1:1 aspect ratio (500 × 500 pixels). Injury threat images depicted stimuli that could inflict violent physical harm, including weapons, aggressive humans, and predators. Infection threat images depicted stimuli that could transmit infectious disease and cause illness. Neutral images involved mundane stimuli that have a lower probability of causing physical harm and infection, such as inanimate objects that appear in the household or outside, nature scenes, and human actors with emotionally neutral poses and/or facial expressions.\nThe 180 images used in this study were selected from a larger pool of images (n = 270) based on threat ratings of each image in a prior sample of participants (n = 734) (Spangler et al. 2024). The images were rated on negative emotions (fear, disgust) and threat appraisals (injury risk appraisal, illness risk appraisal) in this separate sample (Spangler et al. 2024). Ratings were made on Likert scales ranging from 0 to 100. For injury threat, we selected the images with the highest injury threat ratings, represented as the average score across a fear item (“The image made me feel scared.”) and an appraisal‐of injury‐risk item (“The scene and/or object in the image could hurt someone”). For infection threat, we selected the images with the highest infection threat ratings, represented as the average score across a disgust item (“The image made me feel disgusted”) and an appraisal‐of‐illness risk item (“The scene and/or object in the image could make someone sick”). For neutral, we selected the images with the lowest threat score, represented as the average score across all four items that were noted above.\nWe sought to validate the that the selected images activated the expected threat states. Multilevel regression models therefore tested differences between the image conditions in each of the four ratings (natural logarithm transformed to correct for skew); the analysis leveraged data from the prior sample (Spangler et al. 2024). The results indicate that, as expected, injury threat images had significantly higher fear and injury appraisal ratings compared to neutral images (fear: B = 1.97, p < 0.001; injury appraisal: B = 1.95, p < 0.001) and infection threat images (fear: B = 0.59, p < 0.001; injury appraisal: B = 0.82, p < 0.001). Also as expected, infection threat images had significantly higher disgust and infection appraisal ratings compared to neutral images (disgust: B = 2.35, p < 0.001; illness appraisal: B = 1.81, p < 0.001) and injury threat images (disgust: B = 0.77, p < 0.001; illness appraisal: B = 1.14, p < 0.001). This analysis suggests that the selected images in each condition are effective at eliciting negative emotions and threat appraisals tied to RA. They also showcase the separateness of injury and infection threat images in activating different threat states.\n\n\n### Physiological Recording\nElectrocardiography (ECG) was continuously collected using a modified bipolar Lead II configuration. Lead wires were attached to adhesive spot electrodes below each clavicle and at the left ribcage. The signal was amplified (Gain = 2000) and filtered (0.05–150 Hz) with hardware (ECG 100C, BIOPAC systems Inc., Goleta, CA) before being digitized by the MP160 acquisition unit. The digitized signal was then routed to a laptop and recorded for offline processing using the AcqKnowledge Software (BIOPAC Systems Inc., Goleta, CA). In the offline processing, we applied a digital bandpass filter (0.5–35 Hz) to remove noise and then identified the R‐spikes using a modified Pan‐Tompkins algorithm. Successive R‐spikes were used to calculate the RR interval time courses for each trial. Artifact correction followed a careful two‐step procedure and generated corrected RR interval time courses. First, misclassified R‐spikes were manually corrected in AcqKnowledge by trained research assistants. Second, artifactual RR intervals were replaced with cublic spline interpolation; artifactual intervals were defined as intervals less than 300 ms, greater than 2000 ms, or more than 30% different from the last RR interval (Haaksma et al. 1995). Artifactual values constituted less than 1% of the ECG records. To further ensure validity of the cardiac data, image trials with more than three consecutive artifactual values were excluded from the bradycardia analyses; this procedure removed less than 1% of the trials. RR interval and not heart rate (HR) was used as our measure of cardiac chronotropy, because RR intervals have superior distributional properties, are more clearly and directly related to underlying vagus nerve traffic, and better reflect the physiological unit of cardiac chronotropy (i.e., heartbeats) (Berntson et al. 1995; Jennings et al. 1974). Although not of primary relevance to the current study, impedance cardiography was also collected using four adhesive spot electrodes on the posterior neck and back.\n\n\n### Measures\nThe corrected RR interval (milliseconds) time courses were used to compute cardiac deceleration, or bradycardia, scores. First, deceleration scores were computed by subtracting a pre‐image baseline from all RR intervals during the 5‐s image viewing period on a trial‐to‐trial basis. The pre‐image baseline was defined as the last complete RR interval before the image onset. This pre‐image baseline period occurred during the 1‐s inter‐trial interval (ITI) before each image, when participants passively viewed a black screen with a fixation cross. Second, we selected the maximum (i.e., peak) deceleration score that occurred during the image viewing period (5 s) for each image. When selecting the maximum score, we excluded the first deceleration score during the image since this likely reflects a “transient detecting response” and not attentional orienting that is germane to RA (Bradley 2009). The maximum deceleration score served as our index of “bradycardia”—how much RR interval lengthened in response to image viewing. These procedures were carried out for each image separately such that every trial had a bradycardia score.\nDecision‐making was measured as a binary variable for each trial, in terms of whether the participant chose the safe (coded as 0) or risky (coded as 1) option. The degree of risk aversion was operationalized as a lower likelihood (log‐odds) of choosing the risky option across trials, which we estimated with a logistic regression (described in the statistical analyses below).\nApproximately 3.6% of item‐level survey responses were missing across the questionnaires. The anxiety subscale of the DASS‐21 was our primary focus in the survey data, and only 1.1% of this subscale's item responses were missing. To prevent a loss of statistical power and to minimize bias due to listwise deletion (Van Ginkel et al. 2020), missing values were filled in with multiple imputation using the multivariate imputation by chained equations method (Van Buuren 2007). The average value across five separate imputations served as the final imputed value for each missing score. Survey total scores (e.g., total DASS‐21 anxiety scores) and Cronbach's alphas both leveraged the imputed item‐level responses.\nThe anxiety subscale of the 21‐item version of the Depression, Anxiety, and Stress Scale (DASS‐21) has been used to index anxiety symptoms in various somatic and experiential domains (Antony et al. 1998; Lovibond 1995). Participants rated seven statements on the degree to which they applied to them over the past week, e.g., “I felt I was close to panic”; “I felt scared without any good reason.” Ratings were made on a four‐point Likert scale (0 to 3) with higher ratings indicating a stronger presence of symptoms. In accord with established criteria, ratings were summed and multiplied by 2 to yield a total anxiety score for each participant. The total scores exhibited acceptable internal consistency, Cronbach's alpha = 0.72. We used established criteria to digitize the total scores into a clinically meaningful categorical variable (Lovibond 1995). Specifically, participants with a total score of less than 8 were categorized as sub‐threshold, and individuals with a score of 8 or greater were categorized as above‐threshold. This established cutoff distinguished participants with sub‐threshold anxiety (n = 54) apart from those with above‐threshold anxiety (n = 33) in the current sample. In prior research, individuals in the above‐threshold group (score of 8 or greater) are more likely to have an anxiety disorder than are their below‐threshold (score lower than 8) counterparts (Lovibond 1995; Clover et al. 2022; Mitchell et al. 2008). It can therefore be inferred that individuals in the above‐threshold anxiety group likely have a heightened vulnerability for clinical anxiety; this points to the benefit of binarizing the variable as opposed to using continuous anxiety scores. The appropriateness of the binary classification (instead of the continuous scores) is also supported in our data since the continuous scores evidenced a non‐normal distribution where approximately half of the participants had relatively low scores (total score < 5).\nCircadian preference was self‐reported on the previously validated Morningness‐Eveningness Questionnaire (MEQ) (Horne and Ostberg 1976; Duffy et al. 2001; Bailey and Heitkemper 2001). The questionnaire contains 19 questions that are rated on a Likert scale. The items assess the time of the day when individuals are most comfortable/alert/etc. and when they would prefer to engage in certain activities, namely waking up and sleeping but also day‐to‐day behaviors like exercise. Item scores were summed to index a continuous circadian preference. Lower scores indicate a stronger evening preference while higher scores indicate a stronger morning preference. The scale's internal consistency in the current sample was good, Cronbach's alpha = 0.84.\nState emotion was self‐reported on the state form of the Positive–Negative Affect Schedule (PANAS). Participants rated 20 emotion adjectives based on how much they felt each emotion in that current moment. Ratings were made on a 5‐point Likert scale, ranging from 1 = “very slightly” to 5 = “extremely.” We were specifically interested in the adjective items “Alert” and “Active” because they addressed subjective fatigue as a confound of the observed time‐of‐day effects.\n\n\n### Cardiac Response (“Bradycardia”) During Image Viewing\nThe corrected RR interval (milliseconds) time courses were used to compute cardiac deceleration, or bradycardia, scores. First, deceleration scores were computed by subtracting a pre‐image baseline from all RR intervals during the 5‐s image viewing period on a trial‐to‐trial basis. The pre‐image baseline was defined as the last complete RR interval before the image onset. This pre‐image baseline period occurred during the 1‐s inter‐trial interval (ITI) before each image, when participants passively viewed a black screen with a fixation cross. Second, we selected the maximum (i.e., peak) deceleration score that occurred during the image viewing period (5 s) for each image. When selecting the maximum score, we excluded the first deceleration score during the image since this likely reflects a “transient detecting response” and not attentional orienting that is germane to RA (Bradley 2009). The maximum deceleration score served as our index of “bradycardia”—how much RR interval lengthened in response to image viewing. These procedures were carried out for each image separately such that every trial had a bradycardia score.\n\n\n### Decision‐Making (“Risk Aversion”) After Image Viewing\nDecision‐making was measured as a binary variable for each trial, in terms of whether the participant chose the safe (coded as 0) or risky (coded as 1) option. The degree of risk aversion was operationalized as a lower likelihood (log‐odds) of choosing the risky option across trials, which we estimated with a logistic regression (described in the statistical analyses below).\n\n\n### Self‐Report Questionnaires\nApproximately 3.6% of item‐level survey responses were missing across the questionnaires. The anxiety subscale of the DASS‐21 was our primary focus in the survey data, and only 1.1% of this subscale's item responses were missing. To prevent a loss of statistical power and to minimize bias due to listwise deletion (Van Ginkel et al. 2020), missing values were filled in with multiple imputation using the multivariate imputation by chained equations method (Van Buuren 2007). The average value across five separate imputations served as the final imputed value for each missing score. Survey total scores (e.g., total DASS‐21 anxiety scores) and Cronbach's alphas both leveraged the imputed item‐level responses.\nThe anxiety subscale of the 21‐item version of the Depression, Anxiety, and Stress Scale (DASS‐21) has been used to index anxiety symptoms in various somatic and experiential domains (Antony et al. 1998; Lovibond 1995). Participants rated seven statements on the degree to which they applied to them over the past week, e.g., “I felt I was close to panic”; “I felt scared without any good reason.” Ratings were made on a four‐point Likert scale (0 to 3) with higher ratings indicating a stronger presence of symptoms. In accord with established criteria, ratings were summed and multiplied by 2 to yield a total anxiety score for each participant. The total scores exhibited acceptable internal consistency, Cronbach's alpha = 0.72. We used established criteria to digitize the total scores into a clinically meaningful categorical variable (Lovibond 1995). Specifically, participants with a total score of less than 8 were categorized as sub‐threshold, and individuals with a score of 8 or greater were categorized as above‐threshold. This established cutoff distinguished participants with sub‐threshold anxiety (n = 54) apart from those with above‐threshold anxiety (n = 33) in the current sample. In prior research, individuals in the above‐threshold group (score of 8 or greater) are more likely to have an anxiety disorder than are their below‐threshold (score lower than 8) counterparts (Lovibond 1995; Clover et al. 2022; Mitchell et al. 2008). It can therefore be inferred that individuals in the above‐threshold anxiety group likely have a heightened vulnerability for clinical anxiety; this points to the benefit of binarizing the variable as opposed to using continuous anxiety scores. The appropriateness of the binary classification (instead of the continuous scores) is also supported in our data since the continuous scores evidenced a non‐normal distribution where approximately half of the participants had relatively low scores (total score < 5).\nCircadian preference was self‐reported on the previously validated Morningness‐Eveningness Questionnaire (MEQ) (Horne and Ostberg 1976; Duffy et al. 2001; Bailey and Heitkemper 2001). The questionnaire contains 19 questions that are rated on a Likert scale. The items assess the time of the day when individuals are most comfortable/alert/etc. and when they would prefer to engage in certain activities, namely waking up and sleeping but also day‐to‐day behaviors like exercise. Item scores were summed to index a continuous circadian preference. Lower scores indicate a stronger evening preference while higher scores indicate a stronger morning preference. The scale's internal consistency in the current sample was good, Cronbach's alpha = 0.84.\nState emotion was self‐reported on the state form of the Positive–Negative Affect Schedule (PANAS). Participants rated 20 emotion adjectives based on how much they felt each emotion in that current moment. Ratings were made on a 5‐point Likert scale, ranging from 1 = “very slightly” to 5 = “extremely.” We were specifically interested in the adjective items “Alert” and “Active” because they addressed subjective fatigue as a confound of the observed time‐of‐day effects.\n\n\n### Anxiety Symptoms\nThe anxiety subscale of the 21‐item version of the Depression, Anxiety, and Stress Scale (DASS‐21) has been used to index anxiety symptoms in various somatic and experiential domains (Antony et al. 1998; Lovibond 1995). Participants rated seven statements on the degree to which they applied to them over the past week, e.g., “I felt I was close to panic”; “I felt scared without any good reason.” Ratings were made on a four‐point Likert scale (0 to 3) with higher ratings indicating a stronger presence of symptoms. In accord with established criteria, ratings were summed and multiplied by 2 to yield a total anxiety score for each participant. The total scores exhibited acceptable internal consistency, Cronbach's alpha = 0.72. We used established criteria to digitize the total scores into a clinically meaningful categorical variable (Lovibond 1995). Specifically, participants with a total score of less than 8 were categorized as sub‐threshold, and individuals with a score of 8 or greater were categorized as above‐threshold. This established cutoff distinguished participants with sub‐threshold anxiety (n = 54) apart from those with above‐threshold anxiety (n = 33) in the current sample. In prior research, individuals in the above‐threshold group (score of 8 or greater) are more likely to have an anxiety disorder than are their below‐threshold (score lower than 8) counterparts (Lovibond 1995; Clover et al. 2022; Mitchell et al. 2008). It can therefore be inferred that individuals in the above‐threshold anxiety group likely have a heightened vulnerability for clinical anxiety; this points to the benefit of binarizing the variable as opposed to using continuous anxiety scores. The appropriateness of the binary classification (instead of the continuous scores) is also supported in our data since the continuous scores evidenced a non‐normal distribution where approximately half of the participants had relatively low scores (total score < 5).\n\n\n### Circadian Preference\nCircadian preference was self‐reported on the previously validated Morningness‐Eveningness Questionnaire (MEQ) (Horne and Ostberg 1976; Duffy et al. 2001; Bailey and Heitkemper 2001). The questionnaire contains 19 questions that are rated on a Likert scale. The items assess the time of the day when individuals are most comfortable/alert/etc. and when they would prefer to engage in certain activities, namely waking up and sleeping but also day‐to‐day behaviors like exercise. Item scores were summed to index a continuous circadian preference. Lower scores indicate a stronger evening preference while higher scores indicate a stronger morning preference. The scale's internal consistency in the current sample was good, Cronbach's alpha = 0.84.\n\n\n### State Emotion\nState emotion was self‐reported on the state form of the Positive–Negative Affect Schedule (PANAS). Participants rated 20 emotion adjectives based on how much they felt each emotion in that current moment. Ratings were made on a 5‐point Likert scale, ranging from 1 = “very slightly” to 5 = “extremely.” We were specifically interested in the adjective items “Alert” and “Active” because they addressed subjective fatigue as a confound of the observed time‐of‐day effects.\n\n\n### Statistical Analyses\nPrior to running each statistical model, variables were screened for extreme outliers based on Tukey's 3*interquartile range (IQR) rule, and outliers were Winsorized to the fence (25th and 75th percentile ± 3*IQR). Outliers were detected only for < 1% of the trial‐level cardiac deceleration scores. Winsorization did not affect any other variables.\nThe hypotheses regarding time‐of‐day effects on RA metrics were tested with two‐level multilevel regression models that disentangle within‐ and between‐person variance (De Leeuw et al. 2008). A multilevel approach also permitted testing of cross‐level interactions between within‐person (e.g., image condition) and between‐person (e.g., time‐of‐day group) variables. Distinct models were conducted with bradycardia and risk aversion as separate outcome measures. Across all models, fixed regression effects tested our hypotheses and are reported as unstandardized regression coefficients (B). Each model included a random intercept of participant. Random slopes of level‐1 effects were also included when testing cross‐level interactions involving time‐of‐day group (level‐2) (Heisig and Schaeffer 2019). Significant interactions were probed with simple slope analysis. All fixed effects were tested against zero using Sattherwaithe degrees of freedom, two‐tailed p‐values, and an alpha of 0.05. Models were fit with full maximum likelihood using the lme4 (Bates 2010) and lmerTest (Kuznetsova et al. 2017) packages in RStudio. Models were conducted for each outcome measure (bradycardia and risk aversion) using a three‐step approach, as is detailed below.\nBradycardia—the peak RR deceleration score relative to a pre‐image baseline—was entered as the outcome measure. The magnitude of threat‐induced bradycardia was represented as the extent to which there was greater bradycardia towards threat versus neutral images. Such threat‐related effects were modeled using two orthogonal dummy code regressors for injury and infection threat images separately: Injury vs. Neutral and Infection vs. Neutral, respectively. Neutral images served as the reference group for both injury and infection contrasts, with each contrast being tested simultaneously in the same model. A binary Time‐of‐Day (day = 0, night = 1) regressor modeled nocturnal effects as differences in bradycardia between the night and day groups. Another binary dummy regressor Block (first half of trials = 0, second half of trials = 1) modeled habituation as differences in bradycardia between earlier and later trials. Cross‐product interactions between these terms tested moderation effects. Specifically, the two‐way interactions between Injury/Infection contrasts and Time‐of‐Day modeled the nocturnal effects on average threat‐bradycardia for injury and infection threats separately. Three‐way interactions between Injury/Infection contrasts, Block, and Time‐of‐Day modeled nocturnal effects on the extent to which threat‐bradycardia habituated across blocks; as before, those interactions were tested separately for injury and infection threat images in the same model: Injury vs. Neutral*Block*Time‐of‐Day and Infection vs. Neutral*Block*Time‐of‐Day.\nA three‐step approach generated separate multilevel models for threat‐induced bradycardia. That approach allowed us to comprehensively test all hypotheses with statistical clarity and rigor, while also providing a final model that is better specified and likely more accurate in accord to the data. First, we fit an average model that ignored habituation (without Block effects), which tested hypothesized time‐of‐day effects on average threat‐induced bradycardia/risk aversion. Here, the 2‐way interaction between image contrasts and Time‐of‐Day group (0 = day, 1 = night) tested day versus night differences in threat‐induced bradycardia averaged across blocks of each image condition. Second, we next fit a maximal habituation model to test cross‐level interactions representing time‐of‐day (level 2) effects on habituation in threat‐induced bradycardia (level 1). Those time‐of‐day differences in threat‐induced bradycardia's habituation were modeled as the 3‐way interactions between image contrasts, Block, and Time‐of‐Day group. Third, we fit a refined model that removed cross‐level interactions that were deemed non‐significant in the maximal or average model; we also removed their associated random slopes. Removing non‐significant interactions in this manner has been recommended for linear regression models (Engqvist 2005; Hayes 2009). Deleting null (p > 0.05) interaction terms (e.g., Block*Time‐of‐Day) allows researchers to accurately test lower‐order terms (e.g., Time‐of‐Day) as main effects, referring to average effects that pool across the moderator (e.g., Block). This is because when interactions are retained in the model, even if non‐significant, lower‐order terms are inherently tested as conditional effects that vary between levels of the moderator, not as main effects (Cohen et al. 2013). For example, removing non‐significant interactions (e.g., Injury vs. Neutral*Block) allowed for proper testing of the main effects of image type (Injury vs. Neutral) across levels of Block. Removing inappropriate cross‐level interactions and their associated random slopes, representing a backward elimination/selection procedure, is also a validated practice for improving statistical power and parsimony of multilevel models (Matuschek et al. 2017; Diggle 2002). We therefore report statistics from the refined models except when reporting non‐significant effects relating to an interaction term, which come from the average or maximal habituation model.\nTime‐of‐day effects on threat‐induced risky decision‐making were tested in separate multilevel logistic regression models. The log‐odds of risky choice (safe choice = 0, risky choice = 1) served as the outcome measure and indexed the degree of risk aversion. These logistic regression models used the same regressors as those testing bradycardia above, with the addition of the social versus non‐social contrast to account for nuisance variance introduced by that manipulation. The magnitude of threat‐induced risky decision‐making was indexed as the extent to which there was a lower likelihood of choosing the risky option following threat versus neutral images. Dummy code regressors modeled those effects separately for injury and infection images but did so simultaneously in each multilevel model. As with the bradycardia models above, we also leveraged a three‐step modeling approach where we focused on a final refined model.\nFollow‐up sensitivity analyses were conducted to confirm that significant time‐of‐day effects from the multilevel models were true‐positive effects. There may be concern about overfitting the multilevel models with N < 100, especially when using maximum likelihood estimation. Our sensitivity analyses therefore took the form of simpler analyses of variance (ANOVA). In our view, if similar time‐of‐day results are obtained with the ANOVA, then the significant multilevel results are likely true‐positives. These ANOVAs used the same outcome and predictor variables as those used in the analogous multilevel models. Once exception is that risk aversion was represented as the proportion of trials in which the risky option was chosen (since ANOVA cannot handle binary outcomes, e.g., safe [0] vs. risky [1]).\nInter‐person relationships first required computing average RA scores. Threat‐induced bradycardia, as an individual difference metric, was calculated by subtracting the mean bradycardia score for neutral images (average peak RR deceleration across neutral images) from the corresponding threat image score (e.g., average peak RR deceleration across infection threat images). The same approach calculated individual differences in threat‐induced changes in risky choice. These metrics were calculated separately for injury threat and infection threat images, and they characterized individual differences in RA physiology and RA behavior. Next, hypotheses for time‐of‐day effects on inter‐person associations between average RA measures and anxiety were tested with logistic regression models. The number of participants in each group by anxiety and time‐of‐day is as follows: Day, Sub‐Threshold Anxiety: N = 30. Day, Above‐Threshold Anxiety: N = 13. Night, Sub‐Threshold Anxiety: N = 24. Night, Above‐Threshold Anxiety: N = 20. Separate models were tested for each threat image type and RA measure. The log‐odds of belonging to the above‐threshold anxiety group (below‐threshold = 0, above‐threshold = 1) served as the dependent measure in each model. Interactions between time‐of‐day (day = 0, night = 1) and average bradycardia to threat images were modeled as cross‐product interactions. Significant interactions were probed with simple slope analysis. For example, a significant positive association between an RA measure, such as threat‐induced bradycardia, and anxiety group indicated that individuals with stronger bradycardia were more likely to be members of the above‐threshold anxiety group than those with weaker bradycardia. Two‐tailed p‐values and 95% CIs, with an alpha of 0.05, were used to test unstandardized regression coefficients against zero.\n\n\n### Nocturnal Enhancement of RA Metrics Across the Sample\nThe hypotheses regarding time‐of‐day effects on RA metrics were tested with two‐level multilevel regression models that disentangle within‐ and between‐person variance (De Leeuw et al. 2008). A multilevel approach also permitted testing of cross‐level interactions between within‐person (e.g., image condition) and between‐person (e.g., time‐of‐day group) variables. Distinct models were conducted with bradycardia and risk aversion as separate outcome measures. Across all models, fixed regression effects tested our hypotheses and are reported as unstandardized regression coefficients (B). Each model included a random intercept of participant. Random slopes of level‐1 effects were also included when testing cross‐level interactions involving time‐of‐day group (level‐2) (Heisig and Schaeffer 2019). Significant interactions were probed with simple slope analysis. All fixed effects were tested against zero using Sattherwaithe degrees of freedom, two‐tailed p‐values, and an alpha of 0.05. Models were fit with full maximum likelihood using the lme4 (Bates 2010) and lmerTest (Kuznetsova et al. 2017) packages in RStudio. Models were conducted for each outcome measure (bradycardia and risk aversion) using a three‐step approach, as is detailed below.\nBradycardia—the peak RR deceleration score relative to a pre‐image baseline—was entered as the outcome measure. The magnitude of threat‐induced bradycardia was represented as the extent to which there was greater bradycardia towards threat versus neutral images. Such threat‐related effects were modeled using two orthogonal dummy code regressors for injury and infection threat images separately: Injury vs. Neutral and Infection vs. Neutral, respectively. Neutral images served as the reference group for both injury and infection contrasts, with each contrast being tested simultaneously in the same model. A binary Time‐of‐Day (day = 0, night = 1) regressor modeled nocturnal effects as differences in bradycardia between the night and day groups. Another binary dummy regressor Block (first half of trials = 0, second half of trials = 1) modeled habituation as differences in bradycardia between earlier and later trials. Cross‐product interactions between these terms tested moderation effects. Specifically, the two‐way interactions between Injury/Infection contrasts and Time‐of‐Day modeled the nocturnal effects on average threat‐bradycardia for injury and infection threats separately. Three‐way interactions between Injury/Infection contrasts, Block, and Time‐of‐Day modeled nocturnal effects on the extent to which threat‐bradycardia habituated across blocks; as before, those interactions were tested separately for injury and infection threat images in the same model: Injury vs. Neutral*Block*Time‐of‐Day and Infection vs. Neutral*Block*Time‐of‐Day.\nA three‐step approach generated separate multilevel models for threat‐induced bradycardia. That approach allowed us to comprehensively test all hypotheses with statistical clarity and rigor, while also providing a final model that is better specified and likely more accurate in accord to the data. First, we fit an average model that ignored habituation (without Block effects), which tested hypothesized time‐of‐day effects on average threat‐induced bradycardia/risk aversion. Here, the 2‐way interaction between image contrasts and Time‐of‐Day group (0 = day, 1 = night) tested day versus night differences in threat‐induced bradycardia averaged across blocks of each image condition. Second, we next fit a maximal habituation model to test cross‐level interactions representing time‐of‐day (level 2) effects on habituation in threat‐induced bradycardia (level 1). Those time‐of‐day differences in threat‐induced bradycardia's habituation were modeled as the 3‐way interactions between image contrasts, Block, and Time‐of‐Day group. Third, we fit a refined model that removed cross‐level interactions that were deemed non‐significant in the maximal or average model; we also removed their associated random slopes. Removing non‐significant interactions in this manner has been recommended for linear regression models (Engqvist 2005; Hayes 2009). Deleting null (p > 0.05) interaction terms (e.g., Block*Time‐of‐Day) allows researchers to accurately test lower‐order terms (e.g., Time‐of‐Day) as main effects, referring to average effects that pool across the moderator (e.g., Block). This is because when interactions are retained in the model, even if non‐significant, lower‐order terms are inherently tested as conditional effects that vary between levels of the moderator, not as main effects (Cohen et al. 2013). For example, removing non‐significant interactions (e.g., Injury vs. Neutral*Block) allowed for proper testing of the main effects of image type (Injury vs. Neutral) across levels of Block. Removing inappropriate cross‐level interactions and their associated random slopes, representing a backward elimination/selection procedure, is also a validated practice for improving statistical power and parsimony of multilevel models (Matuschek et al. 2017; Diggle 2002). We therefore report statistics from the refined models except when reporting non‐significant effects relating to an interaction term, which come from the average or maximal habituation model.\nTime‐of‐day effects on threat‐induced risky decision‐making were tested in separate multilevel logistic regression models. The log‐odds of risky choice (safe choice = 0, risky choice = 1) served as the outcome measure and indexed the degree of risk aversion. These logistic regression models used the same regressors as those testing bradycardia above, with the addition of the social versus non‐social contrast to account for nuisance variance introduced by that manipulation. The magnitude of threat‐induced risky decision‐making was indexed as the extent to which there was a lower likelihood of choosing the risky option following threat versus neutral images. Dummy code regressors modeled those effects separately for injury and infection images but did so simultaneously in each multilevel model. As with the bradycardia models above, we also leveraged a three‐step modeling approach where we focused on a final refined model.\nFollow‐up sensitivity analyses were conducted to confirm that significant time‐of‐day effects from the multilevel models were true‐positive effects. There may be concern about overfitting the multilevel models with N < 100, especially when using maximum likelihood estimation. Our sensitivity analyses therefore took the form of simpler analyses of variance (ANOVA). In our view, if similar time‐of‐day results are obtained with the ANOVA, then the significant multilevel results are likely true‐positives. These ANOVAs used the same outcome and predictor variables as those used in the analogous multilevel models. Once exception is that risk aversion was represented as the proportion of trials in which the risky option was chosen (since ANOVA cannot handle binary outcomes, e.g., safe [0] vs. risky [1]).\n\n\n### Threat‐Induced Bradycardia\nBradycardia—the peak RR deceleration score relative to a pre‐image baseline—was entered as the outcome measure. The magnitude of threat‐induced bradycardia was represented as the extent to which there was greater bradycardia towards threat versus neutral images. Such threat‐related effects were modeled using two orthogonal dummy code regressors for injury and infection threat images separately: Injury vs. Neutral and Infection vs. Neutral, respectively. Neutral images served as the reference group for both injury and infection contrasts, with each contrast being tested simultaneously in the same model. A binary Time‐of‐Day (day = 0, night = 1) regressor modeled nocturnal effects as differences in bradycardia between the night and day groups. Another binary dummy regressor Block (first half of trials = 0, second half of trials = 1) modeled habituation as differences in bradycardia between earlier and later trials. Cross‐product interactions between these terms tested moderation effects. Specifically, the two‐way interactions between Injury/Infection contrasts and Time‐of‐Day modeled the nocturnal effects on average threat‐bradycardia for injury and infection threats separately. Three‐way interactions between Injury/Infection contrasts, Block, and Time‐of‐Day modeled nocturnal effects on the extent to which threat‐bradycardia habituated across blocks; as before, those interactions were tested separately for injury and infection threat images in the same model: Injury vs. Neutral*Block*Time‐of‐Day and Infection vs. Neutral*Block*Time‐of‐Day.\nA three‐step approach generated separate multilevel models for threat‐induced bradycardia. That approach allowed us to comprehensively test all hypotheses with statistical clarity and rigor, while also providing a final model that is better specified and likely more accurate in accord to the data. First, we fit an average model that ignored habituation (without Block effects), which tested hypothesized time‐of‐day effects on average threat‐induced bradycardia/risk aversion. Here, the 2‐way interaction between image contrasts and Time‐of‐Day group (0 = day, 1 = night) tested day versus night differences in threat‐induced bradycardia averaged across blocks of each image condition. Second, we next fit a maximal habituation model to test cross‐level interactions representing time‐of‐day (level 2) effects on habituation in threat‐induced bradycardia (level 1). Those time‐of‐day differences in threat‐induced bradycardia's habituation were modeled as the 3‐way interactions between image contrasts, Block, and Time‐of‐Day group. Third, we fit a refined model that removed cross‐level interactions that were deemed non‐significant in the maximal or average model; we also removed their associated random slopes. Removing non‐significant interactions in this manner has been recommended for linear regression models (Engqvist 2005; Hayes 2009). Deleting null (p > 0.05) interaction terms (e.g., Block*Time‐of‐Day) allows researchers to accurately test lower‐order terms (e.g., Time‐of‐Day) as main effects, referring to average effects that pool across the moderator (e.g., Block). This is because when interactions are retained in the model, even if non‐significant, lower‐order terms are inherently tested as conditional effects that vary between levels of the moderator, not as main effects (Cohen et al. 2013). For example, removing non‐significant interactions (e.g., Injury vs. Neutral*Block) allowed for proper testing of the main effects of image type (Injury vs. Neutral) across levels of Block. Removing inappropriate cross‐level interactions and their associated random slopes, representing a backward elimination/selection procedure, is also a validated practice for improving statistical power and parsimony of multilevel models (Matuschek et al. 2017; Diggle 2002). We therefore report statistics from the refined models except when reporting non‐significant effects relating to an interaction term, which come from the average or maximal habituation model.\n\n\n### Threat‐Induced Risk Aversion\nTime‐of‐day effects on threat‐induced risky decision‐making were tested in separate multilevel logistic regression models. The log‐odds of risky choice (safe choice = 0, risky choice = 1) served as the outcome measure and indexed the degree of risk aversion. These logistic regression models used the same regressors as those testing bradycardia above, with the addition of the social versus non‐social contrast to account for nuisance variance introduced by that manipulation. The magnitude of threat‐induced risky decision‐making was indexed as the extent to which there was a lower likelihood of choosing the risky option following threat versus neutral images. Dummy code regressors modeled those effects separately for injury and infection images but did so simultaneously in each multilevel model. As with the bradycardia models above, we also leveraged a three‐step modeling approach where we focused on a final refined model.\n\n\n### Sensitivity Analyses\nFollow‐up sensitivity analyses were conducted to confirm that significant time‐of‐day effects from the multilevel models were true‐positive effects. There may be concern about overfitting the multilevel models with N < 100, especially when using maximum likelihood estimation. Our sensitivity analyses therefore took the form of simpler analyses of variance (ANOVA). In our view, if similar time‐of‐day results are obtained with the ANOVA, then the significant multilevel results are likely true‐positives. These ANOVAs used the same outcome and predictor variables as those used in the analogous multilevel models. Once exception is that risk aversion was represented as the proportion of trials in which the risky option was chosen (since ANOVA cannot handle binary outcomes, e.g., safe [0] vs. risky [1]).\n\n\n### Nocturnal Enhancement of RA‐Anxiety Relationships\nInter‐person relationships first required computing average RA scores. Threat‐induced bradycardia, as an individual difference metric, was calculated by subtracting the mean bradycardia score for neutral images (average peak RR deceleration across neutral images) from the corresponding threat image score (e.g., average peak RR deceleration across infection threat images). The same approach calculated individual differences in threat‐induced changes in risky choice. These metrics were calculated separately for injury threat and infection threat images, and they characterized individual differences in RA physiology and RA behavior. Next, hypotheses for time‐of‐day effects on inter‐person associations between average RA measures and anxiety were tested with logistic regression models. The number of participants in each group by anxiety and time‐of‐day is as follows: Day, Sub‐Threshold Anxiety: N = 30. Day, Above‐Threshold Anxiety: N = 13. Night, Sub‐Threshold Anxiety: N = 24. Night, Above‐Threshold Anxiety: N = 20. Separate models were tested for each threat image type and RA measure. The log‐odds of belonging to the above‐threshold anxiety group (below‐threshold = 0, above‐threshold = 1) served as the dependent measure in each model. Interactions between time‐of‐day (day = 0, night = 1) and average bradycardia to threat images were modeled as cross‐product interactions. Significant interactions were probed with simple slope analysis. For example, a significant positive association between an RA measure, such as threat‐induced bradycardia, and anxiety group indicated that individuals with stronger bradycardia were more likely to be members of the above‐threshold anxiety group than those with weaker bradycardia. Two‐tailed p‐values and 95% CIs, with an alpha of 0.05, were used to test unstandardized regression coefficients against zero.\n\n\n### Results\nParticipant characteristics and self‐report variables are summarized in Table 1. None of the variables significantly differed between the day and night groups. We also tested PANAS items “alert” and “active” to address subjective fatigue as a confound of time‐of‐day effects. The day and night group did not significantly differ in feelings of being alert, Welch t = −0.60, p = 0.550, 95% CI [−0.60, 0.32], or in feelings of being active, Welch t = 1.50, p = 0.139, 95% CI [−0.12, 0.84].\nDescriptive statistics for participant characteristics.\nNote: Differences in continuous variables between day and night groups were tested with two‐sample t‐tests (df = 85). Differences in categorical variables were compared with chi‐square tests of independence (χ\n2) (df = 1). Before conducting chi‐square tests, categorical variables with more than two levels were transformed into binary variables because they had unbalanced counts across their levels. Those binary variables are as follows—Racial Identity: White (N = 62) versus not White (N = 25); Education: High school (N = 60) versus beyond high‐school (N = 27); Income: less than $5000 (N = 42) versus $5000 or above (N = 45).\nTable 2 summarizes the refined model that removes non‐significant interactions. That model reflects our core results because they arise from the most parsimonious model of the three. All significant results reported below hence come from the refined model; non‐significant effects reported below come from the average and maximal habituation models (see Tables S1 and S2). For completeness, we also plotted bradycardia results using heart rate (Figure S2). Those plots demonstrate similar patterns as our focal results in Figure 2, which use RR intervals.\nRefined Multilevel Model: Threat‐Induced Bradycardia.\nNote: A multilevel regression model was fit with maximum likelihood estimation. Unstandardized regression coefficients (B) are provided. Dependent Measure: Bradycardia refers to the peak cardiac deceleration (maximum RR interval change score) during the image relative to a pre‐image baseline.\nAbbreviation: ToD, time‐of‐day group.\np < 0.05 (two‐tailed).\nThreat‐induced bradycardia.\nPanel (A): Bradycardia time courses during image viewing. Lines reflect mean time courses in raw RR deceleration scores across participants and images, estimated as smoothed average scores using a LOESS procedure. Panel (B): Injury threat bradycardia habituates between blocks, collapsing across time‐of‐day. The bars depict mean bradycardia by image type and blocks, calculated as the average of the peak RR deceleration scores, collapsing across images, time‐of‐day, and participants. The whiskers depict within‐person standard errors. Below, conditional effects probe the Injury vs. Neutral*Block interaction. Panel (C): Infection threat bradycardia habituates during the day but not at night. Bars depict mean bradycardia by image type, blocks, and time‐of‐day; here, mean levels of bradycardia reflect average peak RR deceleration scores collapsing across images and participants. The whiskers depict within‐person standard errors. *p < 0.05 (two‐tailed).\nAveraging across blocks, the day and night groups did not significantly vary from one another in how much bradycardia differed between injury threat and neutral images, Injury vs. Neutral*Time‐of‐Day: B = 2.78, p = 0.599, 95% CI [−7.52, 13.07]. Similarly, the day and night groups did not differ in how much these bradycardia differences (between injury threat versus neutral images) changed between blocks 1 and 2, Injury vs. Neutral*Block*Time‐of‐Day: B = −4.78, p = 0.540, 95% CI [−20.01, 10.45]. See Figure 2A. These results indicate that the day and night groups did not differ in average bradycardia to injury threat or in the extent to which bradycardia to injury threat habituated between blocks. Since there were no time‐of‐day effects, we pooled across the day and night groups by removing the time‐of‐day interaction in the refined model (Table 2). After doing so, we found that injury threat‐induced bradycardia habituated between blocks, Injury vs. Neutral*Block: B = −7.40, p = 0.015, 95% CI [−13.34, −1.45]. Probing this interaction revealed that there was significantly stronger bradycardia to injury threat versus neutral images at block 1, Injury vs. Neutral: B = 8.86, p < 0.001, 95% CI [4.66, 13.06], and this effect weakened (i.e., habituated) to become non‐significant at block 2, Injury vs. Neutral: B = 1.47, p = 0.495, 95% CI [−2.74, 5.67]. Figure 2B depicts that habituation effect, which averages across the day and night groups.\nAveraging across blocks, the day and night groups did not significantly vary from one another in how much bradycardia differed between infection threat versus neutral images, Infection vs. Neutral*Time‐of‐Day: B = 2.19, p = 0.741, 95% CI [−10.77, 15.16] (Figure 2A). That result suggests that time‐of‐day did not modulate average infection threat‐induced bradycardia. However, additional analyses revealed that, for individuals with elevated anxiety symptoms, the magnitude of average bradycardia to infection threat images is significantly larger at night. This effect appears in the section below entitled “Inter‐person associations between nocturnal RA and anxiety symptoms.”\nWe next turn to habituation in the infection threat effects. The day and night groups significantly differed in the degree to which bradycardia differences (to infection versus neutral images) changed between blocks, Infection vs. Neutral*Block*Time‐of‐Day: B = 16.51, p = 0.009, 95% CI [4.48, 28.53]. That interaction was significant in both the maximal habituation model (Table S2) and in the refined model (Table 2), but the latter interaction and the following conditional effects come from the refined model. See Figure 2C for these differential habituation effects by time‐of‐day, represented by the conditional 2‐way interactions (Infection vs. Neutral*Block) by time‐of‐day as well as lower‐order Infection vs. Neutral contrasts by time‐of‐day and block. Those conditional effects were tested as simple slopes and are detailed here. In the day group, there was a statistically significant Infection vs. Neutral*Block interaction, B = −18.04, p < 0.001, 95% CI [−27.09, −8.99]. This interaction was further probed with simple slopes in each block separately. In the day group, infection threat images evoked significantly stronger bradycardia than did neutral images at block 1, Infection vs. Neutral: B = 27.41, p < 0.001, 95% CI [16.78, 38.04], and that effect habituated (was significantly weakened in size) at block 2, Infection vs. Neutral: B = 9.37, p = 0.047, 95% CI [0.25, 18.50]. In the night group, the Infection vs. Neutral*Block interaction was not statistically significant, B = −1.53, p = 0.738, 95% CI [−10.50, 7.43], suggesting that the infection threat effects on bradycardia did not differ or habituate between the blocks. For completeness, we also report the simple slopes by block in the night group. There was significant bradycardia evoked by infection threat versus neutral images at block 1, Infection vs. Neutral: B = 19.96, p < 0.001, 95% CI [9.44, 30.47], and this effect remained significant and comparable in size at block 2, Infection vs. Neutral: B = 18.42, p < 0.001, 95% CI [9.39, 27.45]. These results indicate that the night period—unlike the day period—lacked the typical pattern of habituation involving decreases in threat‐induced bradycardia across repeated infection threat images.\nTo confirm the time‐of‐day effect, a sensitivity analysis was conducted for the three‐way interaction in the multilevel model, Infection vs. Neutral*Block*Time‐of‐Day. We ran a simpler three‐way mixed ANOVA with a 2 (Image Condition: Infection Threat, Neutral) × 2 (Block: 1, 2) × 2 (Time‐of‐Day: Day, Night) structure. The ANOVA demonstrated a significant three‐way interaction between Time‐of‐Day, Image Condition, and Block, F(1, 85) = 3.97, p = 0.0497, η\n\n2\n\n\nG\n = 0.002. We therefore probed the interaction with 2‐way ANOVAs in the day and night groups separately. There was a statistically significant interaction between Image Condition and Block in the day group, F(1, 42) = 14.26, p = 0.001, η\n\n2\n\n\nG\n = 0.01, but not in the night group, F(1, 43) = 0.23, p = 0.634, η\n\n2\n\n\nG\n < 0.001. Those results suggest infection threat (versus neutral) effects on bradycardia significantly differed between blocks in the day but not the night group. In the day, follow‐up t‐tests reveal that this variation between blocks reflected habituation: bradycardia was significantly larger to infection threat versus neutral images at block 1, t(42) = −4.34, p < 0.001, 95% CI [−38.24, −13.97], Cohen's d = −0.66, whereas that neutral‐versus‐threat difference decreased to become non‐significant at block 2, t(42) = −1.64, p = 0.108, 95% CI [−20.49, 2.09], Cohen's d = −0.25. At night, bradycardia was significantly larger to infection threat versus neutral images at block 1, t(43) = −4.15, p < 0.001, 95% CI [−31.53, −10.89], Cohen's d = −0.62, and this difference remained significant and comparable in size at block 2, t(43) = −3.96, p < 0.001, 95% CI [−28.00, −9.09], Cohen's d = −0.60. Overall, the ANOVA results support the multilevel model statistics and suggest weakened habituation of infection threat bradycardia at night versus day.\nTable 3 summarizes the refined testing risk aversion as a dependent measure. As with the bradycardia results, all significant results reported below come from the refined model; otherwise, non‐significant effects reported below come from the average and maximal habituation models (Tables S3 and S4).\nRefined Multilevel Model: Threat‐Induced Risk Aversion.\nNote: A logistic multilevel regression model was fit with maximum likelihood estimation. Unstandardized regression coefficients (B) are provided. Dependent Measure: The log‐odds ratio of risky choice (i.e., degree of risk aversion).\nAbbreviation: ToD, time‐of‐day group.\np < 0.05 (two‐tailed).\nAveraged across blocks, the day and night groups significantly differed in how much the odds of risky choice differed between injury threat and neutral images, Injury vs. Neutral*Time‐of‐Day: B = 0.25, p = 0.016, 95% CI [0.05, 0.45]. However, the day and night groups did not significantly differ in how much this difference (Injury vs. Neutral) habituated between blocks, Injury vs. Neutral*Block*Time‐of‐Day: B = −0.22, p = 0.187, 95% CI [−0.55, 0.11]. We now focus on the former interaction effect that averaged across blocks, which is displayed and probed with conditional effects in Figure 3A. In the day group, viewing injury threat versus neutral images was related to a reduced likelihood of choosing the risky option, i.e., a pattern of threat‐induced decreases in risky decision‐making, Injury vs. Neutral: B = −0.19, p = 0.014, 95% CI [−0.34, −0.04]. In the night group, injury threat images did not influence risky choice, Injury vs. Neutral: B = 0.06, p = 0.417, 95% CI [−0.09, 0.21]—participants were just as likely to choose the risky option after viewing injury threat versus neutral images. These findings indicate that threat‐induced risk aversion was present during the day but not during the night period.\nThreat‐induced risk aversion\n. Panel (A): Average injury threat‐induced risk aversion (pooled across blocks) is apparent during the day but not at night. The bars depict the average probability of choosing the risk option by image type and time‐of‐day group, calculated as the mean percentage of risky decisions across images, blocks, and participants. The whiskers depict within‐person standard errors. Below, conditional effects probe the Injury vs. Neutral*Time‐of‐Day interaction. Panel (B): There is evidence of infection threat‐induced risk aversion, pooling across blocks and time‐of‐day. The bars depict the average probability of choosing the risky option by image type, calculated as the mean percentage of risky decisions across images, blocks, time‐of‐day, and participants. The whiskers depict within‐person standard errors. *p < 0.05 (two‐tailed).\nWe sought to determine whether the latter effect was present under both risk situations, risk‐with‐no‐ambiguity and risk‐with‐ambiguity (Koch et al. 2017), which was disentangled with our task design. This exploratory analysis informs whether the time‐of‐day more strongly impacts aversion towards a certain type of risk. Multilevel models with the same structure as the refined model (Table 3) were conducted separately on each set of trials, those involving risk‐with‐ambiguity versus those involving risk‐with‐no‐ambiguity. For risk‐with‐no‐ambiguity trials, there was a significant Injury vs. Neutral*Time‐of‐Day interaction, B = 0.39, p = 0.005, 95% CI [0.12, 0.66]. The analogous interaction for risk‐with‐ambiguity trials was not statistically significant, B = 0.12, p = 0.379, 95% CI [−0.15, 0.39]. We next probed the significant interaction for risk‐with‐no‐ambiguity trials using simple slopes. In the day group, injury threat images were associated with a lower odds of risky choice than neutral images, Injury vs. Neutral: B = −0.23, p = 0.021, 95% CI [−0.43, −0.03]. In the night group, injury threat and neutral images were associated with the same odds of risky choice, Injury vs. Neutral: B = 0.15, p = 0.131, 95% CI [−0.05, 0.35]. Those results suggest that the time‐of‐day effect on threat‐induced risk aversion in Figure 3A is driven by risk trials where potential outcomes are known.\nTo confirm the time‐of‐day effect on risky choice, a sensitivity analysis was conducted for the two‐way interaction in the multilevel model, Injury vs. Neutral*Time‐of‐Day. Specifically, we ran a simpler two‐way mixed ANOVA with a 2 (Image Condition: Infection Threat, Neutral) × 2 (Time‐of‐Day: Day, Night) structure. The outcome measure focused on the proportion of risky choices during the risk‐with‐no‐ambiguity trials, since the multilevel effect above was significant only for these trials. The ANOVA demonstrated a significant two‐way interaction between Time‐of‐Day and Image Condition, F(1, 85) = 4.98, p = 0.028, η\n\n2\n\n\nG\n = 0.01, suggesting that injury threat effects differed between day and night conditions. Follow‐up t‐tests indicate that there was larger risk aversion following injury threat (versus neutral) in the day, t(42) = 1.71, p = 0.094, 95% CI [−0.01, 0.11], Cohen's d = 0.24, although this effect was not statistically significant. The analogous effect (injury versus neutral) was not significant in the night condition, t(43) = −1.43, p = 0.161, 95% CI [−0.07, 0.01], Cohen's d = −0.15. The ANOVA results are generally aligned with the multilevel model results in that they both demonstrate an Image Type*Time‐of‐Day interaction; however, the follow‐up t‐tests were not statistically significant. Taken together, the results mostly confirm stronger injury threat‐induced risk aversion during the day relative to the night, although this effect should be interpreted cautiously. They also underscore the heightened sensitivity of the multilevel model relative to the ANOVA approach.\nWhen averaging across blocks, there was no significant time‐of‐day effect on the difference in risky choice between infection threat versus neutral images, Infection vs. Neutral*Time‐of‐Day: B = −0.02, p = 0.835, 95% CI [−0.24, 0.19]. There was also no significant influence of time‐of‐day group on the degree to which the infection threat effect differed between blocks, Injury vs. Neutral*Block*Time‐of‐Day: B = −0.03, p = 0.856, 95% CI [−0.36, 0.30]. In other terms, time‐of‐day did not impact the degree of habituation in infection threat risk‐induced aversion. Pooling across day/night groups and blocks, participants were less likely to choose the risky option following infection threat versus neutral images, Infection vs. Neutral: B = −0.13, p = 0.002, 95% CI [−0.21, −0.05]. This result suggests that, across trials and time‐of‐day groups, infection threat images decreased risky choice relative to neutral images (Figure 3B). To clarify this effect, we re‐ran the model for risk‐with‐no‐ambiguity and risk‐with‐ambiguity trials separately. The Infection vs. Neutral effect was statistically significant for risk‐with‐ambiguity, B = −0.19, p = 0.002, 95% CI [−0.31, −0.07], but not for risk‐with‐no‐ambiguity, B = −0.08, p = 0.166, 95% CI [−0.20, 0.03]. In other words, the effect of infection threat on risky choice was specific to risk‐with‐ambiguity trials—when information about the outcome likelihoods was partially unknown.\nTable 4 summarizes the logistic regression models that tested the relations between RA metrics (Bradycardia, Risky Choice) and the odds of anxiety group membership (0 = sub‐threshold, 1 = above‐threshold) as a function of time‐of‐day group. Separate models were conducted for bradycardia and risky choice towards injury threat versus infection threat. The models that pooled across time of days groups are summarized in the Supporting Information (Table S5).\nLogistic regression models: Associations between threat metrics and anxiety symptoms by time‐of‐day.\nNote: All logistic regression models are conducted on the full sample (N = 87). In each model, the dependent measure is the log‐odds of membership in the above‐threshold anxiety group, signaling heightened risk for clinical anxiety.\np < 0.05 (two‐tailed).\nThe relationship between bradycardia to injury threat and the odds of anxiety group membership did not differ between the day and night groups, as indicated by the non‐significant Bradycardia*Time‐of‐Day interaction, B = −0.01, p = 0.479, 95% CI [−0.05, 0.02]. We therefore re‐ran the model without the interaction to examine the bradycardia‐anxiety relationship pooling across day and night groups. Pooling across day/night groups, there was no significant association between bradycardia to injury threat and anxiety group, Bradycardia: B = 0.01, p = 0.116, 95% CI [−0.003, 0.03].\nWe next turn to the models testing bradycardia to infection threat and anxiety group. Infection threat‐induced bradycardia was more strongly related to anxiety group in the night versus day group, Bradycardia*Time‐of‐Day: B = 0.05, p = 0.008, 95% CI [0.01, 0.08]. Figure 4A plots the interaction's conditional effects (simple slopes) in each time‐of‐day group; they are also detailed here. In the night group, individuals with stronger bradycardia to infection threat images were more likely to be members of the above‐threshold anxiety group than those with weaker bradycardia to the same images, Bradycardia: B = 0.04, p = 0.009, 95% CI [0.01, 0.07]. In the day group, individuals with stronger bradycardia to infection images were not more (or less) likely to be in the above‐threshold anxiety group than were those with weaker bradycardia to the same images, Bradycardia B = −0.01, p = 0.390, 95% CI [−0.03, 0.01].\nInter‐person associations between infection threat bradycardia and anxiety symptoms by time‐of‐day.\n\nBradycardia to Infection Threat = Average peak RR deceleration to infection threat subtracting out average peak RR deceleration to neutral images. Anxiety Group = whether individuals have anxiety symptoms that are sub‐threshold (0) or above‐threshold (1). Time‐of‐Day = whether threat bradycardia was measured during the day (0) or night (1). Panel (A): Infection threat‐induced bradycardia during the night (but not during the day) is related to anxiety symptoms. The graph and statistics below reflect the conditional effects for the Bradycardia*Time‐of‐Day interaction. Panel (B): Relative to their below‐threshold counterparts, individuals with above‐threshold anxiety have higher infection threat bradycardia at night but not during the day. Bars reflect average bradycardia scores by time‐of‐day and anxiety group collapsing across image of the same type, blocks, and participants. Whiskers indicate standard errors. *p < 0.05 (two‐tailed).\nThis significant interaction between infection threat bradycardia and time‐of‐day in predicting anxiety group was probed in two additional ways. First, we compared average levels of threat‐induced bradycardia between anxiety groups for day and night separately (Figure 4B). In the day group, there was no significant mean difference in infection threat‐induced bradycardia between the anxiety groups, Welch t = 0.92, p = 0.366, 95% CI [−12.36, 10.71]. In the night group, the mean difference in the same bradycardia scores between anxiety groups was statistically significant, Welch t = −3.04, p = 0.004, 95% CI [−37.81, −7.60]. Those results indicate that only in the night group did above‐threshold anxiety individuals have significantly elevated threat‐induced bradycardia compared to their below‐threshold counterparts. Thus, infection threat‐induced bradycardia better differentiated above‐ versus below‐threshold anxiety symptoms when bradycardia was assessed at night. Second, we compared average levels of infection threat‐induced bradycardia between day and night groups in the below‐ and above‐threshold groups separately. In the below‐threshold anxiety group, there was no significant difference in average infection threat‐induced bradycardia between day and night groups, Welch t = 1.34, p = 0.188, 95% CI [−5.61, 27.85]. In the above‐threshold anxiety group, averaged infection threat bradycardia was significantly elevated at night versus day, Welch t = −2.10, p = 0.047, 95% CI [−42.97, −0.31].\nWe sought to validate the significant time‐of‐day effect on the infection threat‐induced bradycardia and anxiety group. That is, we wanted to ensure that this effect persisted across both blocks (1 and 2) in each image condition. To that end, we reran the same logistic regression model in each block separately. There were significant Bradycardia*Time‐of‐Day interactions both at block 1, B = 0.03, p = 0.023, 95% CI [0.01, 0.06], and block 2, B = 0.03, p = 0.030, 95% CI [0.01, 0.07]. Simple slopes in each block revealed that individuals with higher bradycardia to infection threat were more likely to be in the above‐threshold anxiety group when bradycardia was assessed at night, Block 1: B = 0.02, p = 0.028, 95% CI [0.004, 0.05]; Block 2: B = 0.03, p = 0.028, 95% CI [0.006, 0.06]. When bradycardia was assessed during the day, this relation was not significant at either block 1, B = −0.01, p = 0.358, 95% CI [−0.03, 0.01], or block 2, B = −0.01, p = 0.509, 95% CI [−0.03, 0.01]. Together, these findings suggest that the night period enhanced the relationship between infection threat bradycardia and anxiety symptoms, irrespective of whether bradycardia was measured at earlier or at later trials in the image condition.\nAcross injury and infection threat measures, there were no day‐versus‐night differences in any of the relations between threat‐induced changes in risky choice and anxiety group, Risky Choice*Time‐of‐Day interactions: Bs < 1.20, ps > 0.05 (Table 4). We next examined relationships collapsing across day/night groups. Injury threat‐induced change in risky choice was not significantly associated with the log‐odds of anxiety group membership, Risky Choice: B = −0.65, p = 0.706, 95% CI [−4.12, 2.79]. Similarly collapsing across day/night groups, infection threat‐induced change in risky choice was not significantly related to anxiety group, B = −0.79, p = 0.691, 95% CI [−4.78, 3.12].\n\n\n### Time‐Of‐Day (Day Versus Night) Effects on Threat‐Induced Bradycardia\nTable 2 summarizes the refined model that removes non‐significant interactions. That model reflects our core results because they arise from the most parsimonious model of the three. All significant results reported below hence come from the refined model; non‐significant effects reported below come from the average and maximal habituation models (see Tables S1 and S2). For completeness, we also plotted bradycardia results using heart rate (Figure S2). Those plots demonstrate similar patterns as our focal results in Figure 2, which use RR intervals.\nRefined Multilevel Model: Threat‐Induced Bradycardia.\nNote: A multilevel regression model was fit with maximum likelihood estimation. Unstandardized regression coefficients (B) are provided. Dependent Measure: Bradycardia refers to the peak cardiac deceleration (maximum RR interval change score) during the image relative to a pre‐image baseline.\nAbbreviation: ToD, time‐of‐day group.\np < 0.05 (two‐tailed).\nThreat‐induced bradycardia.\nPanel (A): Bradycardia time courses during image viewing. Lines reflect mean time courses in raw RR deceleration scores across participants and images, estimated as smoothed average scores using a LOESS procedure. Panel (B): Injury threat bradycardia habituates between blocks, collapsing across time‐of‐day. The bars depict mean bradycardia by image type and blocks, calculated as the average of the peak RR deceleration scores, collapsing across images, time‐of‐day, and participants. The whiskers depict within‐person standard errors. Below, conditional effects probe the Injury vs. Neutral*Block interaction. Panel (C): Infection threat bradycardia habituates during the day but not at night. Bars depict mean bradycardia by image type, blocks, and time‐of‐day; here, mean levels of bradycardia reflect average peak RR deceleration scores collapsing across images and participants. The whiskers depict within‐person standard errors. *p < 0.05 (two‐tailed).\nAveraging across blocks, the day and night groups did not significantly vary from one another in how much bradycardia differed between injury threat and neutral images, Injury vs. Neutral*Time‐of‐Day: B = 2.78, p = 0.599, 95% CI [−7.52, 13.07]. Similarly, the day and night groups did not differ in how much these bradycardia differences (between injury threat versus neutral images) changed between blocks 1 and 2, Injury vs. Neutral*Block*Time‐of‐Day: B = −4.78, p = 0.540, 95% CI [−20.01, 10.45]. See Figure 2A. These results indicate that the day and night groups did not differ in average bradycardia to injury threat or in the extent to which bradycardia to injury threat habituated between blocks. Since there were no time‐of‐day effects, we pooled across the day and night groups by removing the time‐of‐day interaction in the refined model (Table 2). After doing so, we found that injury threat‐induced bradycardia habituated between blocks, Injury vs. Neutral*Block: B = −7.40, p = 0.015, 95% CI [−13.34, −1.45]. Probing this interaction revealed that there was significantly stronger bradycardia to injury threat versus neutral images at block 1, Injury vs. Neutral: B = 8.86, p < 0.001, 95% CI [4.66, 13.06], and this effect weakened (i.e., habituated) to become non‐significant at block 2, Injury vs. Neutral: B = 1.47, p = 0.495, 95% CI [−2.74, 5.67]. Figure 2B depicts that habituation effect, which averages across the day and night groups.\nAveraging across blocks, the day and night groups did not significantly vary from one another in how much bradycardia differed between infection threat versus neutral images, Infection vs. Neutral*Time‐of‐Day: B = 2.19, p = 0.741, 95% CI [−10.77, 15.16] (Figure 2A). That result suggests that time‐of‐day did not modulate average infection threat‐induced bradycardia. However, additional analyses revealed that, for individuals with elevated anxiety symptoms, the magnitude of average bradycardia to infection threat images is significantly larger at night. This effect appears in the section below entitled “Inter‐person associations between nocturnal RA and anxiety symptoms.”\nWe next turn to habituation in the infection threat effects. The day and night groups significantly differed in the degree to which bradycardia differences (to infection versus neutral images) changed between blocks, Infection vs. Neutral*Block*Time‐of‐Day: B = 16.51, p = 0.009, 95% CI [4.48, 28.53]. That interaction was significant in both the maximal habituation model (Table S2) and in the refined model (Table 2), but the latter interaction and the following conditional effects come from the refined model. See Figure 2C for these differential habituation effects by time‐of‐day, represented by the conditional 2‐way interactions (Infection vs. Neutral*Block) by time‐of‐day as well as lower‐order Infection vs. Neutral contrasts by time‐of‐day and block. Those conditional effects were tested as simple slopes and are detailed here. In the day group, there was a statistically significant Infection vs. Neutral*Block interaction, B = −18.04, p < 0.001, 95% CI [−27.09, −8.99]. This interaction was further probed with simple slopes in each block separately. In the day group, infection threat images evoked significantly stronger bradycardia than did neutral images at block 1, Infection vs. Neutral: B = 27.41, p < 0.001, 95% CI [16.78, 38.04], and that effect habituated (was significantly weakened in size) at block 2, Infection vs. Neutral: B = 9.37, p = 0.047, 95% CI [0.25, 18.50]. In the night group, the Infection vs. Neutral*Block interaction was not statistically significant, B = −1.53, p = 0.738, 95% CI [−10.50, 7.43], suggesting that the infection threat effects on bradycardia did not differ or habituate between the blocks. For completeness, we also report the simple slopes by block in the night group. There was significant bradycardia evoked by infection threat versus neutral images at block 1, Infection vs. Neutral: B = 19.96, p < 0.001, 95% CI [9.44, 30.47], and this effect remained significant and comparable in size at block 2, Infection vs. Neutral: B = 18.42, p < 0.001, 95% CI [9.39, 27.45]. These results indicate that the night period—unlike the day period—lacked the typical pattern of habituation involving decreases in threat‐induced bradycardia across repeated infection threat images.\nTo confirm the time‐of‐day effect, a sensitivity analysis was conducted for the three‐way interaction in the multilevel model, Infection vs. Neutral*Block*Time‐of‐Day. We ran a simpler three‐way mixed ANOVA with a 2 (Image Condition: Infection Threat, Neutral) × 2 (Block: 1, 2) × 2 (Time‐of‐Day: Day, Night) structure. The ANOVA demonstrated a significant three‐way interaction between Time‐of‐Day, Image Condition, and Block, F(1, 85) = 3.97, p = 0.0497, η\n\n2\n\n\nG\n = 0.002. We therefore probed the interaction with 2‐way ANOVAs in the day and night groups separately. There was a statistically significant interaction between Image Condition and Block in the day group, F(1, 42) = 14.26, p = 0.001, η\n\n2\n\n\nG\n = 0.01, but not in the night group, F(1, 43) = 0.23, p = 0.634, η\n\n2\n\n\nG\n < 0.001. Those results suggest infection threat (versus neutral) effects on bradycardia significantly differed between blocks in the day but not the night group. In the day, follow‐up t‐tests reveal that this variation between blocks reflected habituation: bradycardia was significantly larger to infection threat versus neutral images at block 1, t(42) = −4.34, p < 0.001, 95% CI [−38.24, −13.97], Cohen's d = −0.66, whereas that neutral‐versus‐threat difference decreased to become non‐significant at block 2, t(42) = −1.64, p = 0.108, 95% CI [−20.49, 2.09], Cohen's d = −0.25. At night, bradycardia was significantly larger to infection threat versus neutral images at block 1, t(43) = −4.15, p < 0.001, 95% CI [−31.53, −10.89], Cohen's d = −0.62, and this difference remained significant and comparable in size at block 2, t(43) = −3.96, p < 0.001, 95% CI [−28.00, −9.09], Cohen's d = −0.60. Overall, the ANOVA results support the multilevel model statistics and suggest weakened habituation of infection threat bradycardia at night versus day.\n\n\n### Time‐of‐Day Does Not Modulate Injury Threat‐Induced Bradycardia\nAveraging across blocks, the day and night groups did not significantly vary from one another in how much bradycardia differed between injury threat and neutral images, Injury vs. Neutral*Time‐of‐Day: B = 2.78, p = 0.599, 95% CI [−7.52, 13.07]. Similarly, the day and night groups did not differ in how much these bradycardia differences (between injury threat versus neutral images) changed between blocks 1 and 2, Injury vs. Neutral*Block*Time‐of‐Day: B = −4.78, p = 0.540, 95% CI [−20.01, 10.45]. See Figure 2A. These results indicate that the day and night groups did not differ in average bradycardia to injury threat or in the extent to which bradycardia to injury threat habituated between blocks. Since there were no time‐of‐day effects, we pooled across the day and night groups by removing the time‐of‐day interaction in the refined model (Table 2). After doing so, we found that injury threat‐induced bradycardia habituated between blocks, Injury vs. Neutral*Block: B = −7.40, p = 0.015, 95% CI [−13.34, −1.45]. Probing this interaction revealed that there was significantly stronger bradycardia to injury threat versus neutral images at block 1, Injury vs. Neutral: B = 8.86, p < 0.001, 95% CI [4.66, 13.06], and this effect weakened (i.e., habituated) to become non‐significant at block 2, Injury vs. Neutral: B = 1.47, p = 0.495, 95% CI [−2.74, 5.67]. Figure 2B depicts that habituation effect, which averages across the day and night groups.\n\n\n### Habituation in Infection Threat‐Induced Bradycardia is Weakened at Night but Not During the Day\nAveraging across blocks, the day and night groups did not significantly vary from one another in how much bradycardia differed between infection threat versus neutral images, Infection vs. Neutral*Time‐of‐Day: B = 2.19, p = 0.741, 95% CI [−10.77, 15.16] (Figure 2A). That result suggests that time‐of‐day did not modulate average infection threat‐induced bradycardia. However, additional analyses revealed that, for individuals with elevated anxiety symptoms, the magnitude of average bradycardia to infection threat images is significantly larger at night. This effect appears in the section below entitled “Inter‐person associations between nocturnal RA and anxiety symptoms.”\nWe next turn to habituation in the infection threat effects. The day and night groups significantly differed in the degree to which bradycardia differences (to infection versus neutral images) changed between blocks, Infection vs. Neutral*Block*Time‐of‐Day: B = 16.51, p = 0.009, 95% CI [4.48, 28.53]. That interaction was significant in both the maximal habituation model (Table S2) and in the refined model (Table 2), but the latter interaction and the following conditional effects come from the refined model. See Figure 2C for these differential habituation effects by time‐of‐day, represented by the conditional 2‐way interactions (Infection vs. Neutral*Block) by time‐of‐day as well as lower‐order Infection vs. Neutral contrasts by time‐of‐day and block. Those conditional effects were tested as simple slopes and are detailed here. In the day group, there was a statistically significant Infection vs. Neutral*Block interaction, B = −18.04, p < 0.001, 95% CI [−27.09, −8.99]. This interaction was further probed with simple slopes in each block separately. In the day group, infection threat images evoked significantly stronger bradycardia than did neutral images at block 1, Infection vs. Neutral: B = 27.41, p < 0.001, 95% CI [16.78, 38.04], and that effect habituated (was significantly weakened in size) at block 2, Infection vs. Neutral: B = 9.37, p = 0.047, 95% CI [0.25, 18.50]. In the night group, the Infection vs. Neutral*Block interaction was not statistically significant, B = −1.53, p = 0.738, 95% CI [−10.50, 7.43], suggesting that the infection threat effects on bradycardia did not differ or habituate between the blocks. For completeness, we also report the simple slopes by block in the night group. There was significant bradycardia evoked by infection threat versus neutral images at block 1, Infection vs. Neutral: B = 19.96, p < 0.001, 95% CI [9.44, 30.47], and this effect remained significant and comparable in size at block 2, Infection vs. Neutral: B = 18.42, p < 0.001, 95% CI [9.39, 27.45]. These results indicate that the night period—unlike the day period—lacked the typical pattern of habituation involving decreases in threat‐induced bradycardia across repeated infection threat images.\nTo confirm the time‐of‐day effect, a sensitivity analysis was conducted for the three‐way interaction in the multilevel model, Infection vs. Neutral*Block*Time‐of‐Day. We ran a simpler three‐way mixed ANOVA with a 2 (Image Condition: Infection Threat, Neutral) × 2 (Block: 1, 2) × 2 (Time‐of‐Day: Day, Night) structure. The ANOVA demonstrated a significant three‐way interaction between Time‐of‐Day, Image Condition, and Block, F(1, 85) = 3.97, p = 0.0497, η\n\n2\n\n\nG\n = 0.002. We therefore probed the interaction with 2‐way ANOVAs in the day and night groups separately. There was a statistically significant interaction between Image Condition and Block in the day group, F(1, 42) = 14.26, p = 0.001, η\n\n2\n\n\nG\n = 0.01, but not in the night group, F(1, 43) = 0.23, p = 0.634, η\n\n2\n\n\nG\n < 0.001. Those results suggest infection threat (versus neutral) effects on bradycardia significantly differed between blocks in the day but not the night group. In the day, follow‐up t‐tests reveal that this variation between blocks reflected habituation: bradycardia was significantly larger to infection threat versus neutral images at block 1, t(42) = −4.34, p < 0.001, 95% CI [−38.24, −13.97], Cohen's d = −0.66, whereas that neutral‐versus‐threat difference decreased to become non‐significant at block 2, t(42) = −1.64, p = 0.108, 95% CI [−20.49, 2.09], Cohen's d = −0.25. At night, bradycardia was significantly larger to infection threat versus neutral images at block 1, t(43) = −4.15, p < 0.001, 95% CI [−31.53, −10.89], Cohen's d = −0.62, and this difference remained significant and comparable in size at block 2, t(43) = −3.96, p < 0.001, 95% CI [−28.00, −9.09], Cohen's d = −0.60. Overall, the ANOVA results support the multilevel model statistics and suggest weakened habituation of infection threat bradycardia at night versus day.\n\n\n### Time‐Of‐Day Effects on Threat‐Induced Risk Aversion\nTable 3 summarizes the refined testing risk aversion as a dependent measure. As with the bradycardia results, all significant results reported below come from the refined model; otherwise, non‐significant effects reported below come from the average and maximal habituation models (Tables S3 and S4).\nRefined Multilevel Model: Threat‐Induced Risk Aversion.\nNote: A logistic multilevel regression model was fit with maximum likelihood estimation. Unstandardized regression coefficients (B) are provided. Dependent Measure: The log‐odds ratio of risky choice (i.e., degree of risk aversion).\nAbbreviation: ToD, time‐of‐day group.\np < 0.05 (two‐tailed).\nAveraged across blocks, the day and night groups significantly differed in how much the odds of risky choice differed between injury threat and neutral images, Injury vs. Neutral*Time‐of‐Day: B = 0.25, p = 0.016, 95% CI [0.05, 0.45]. However, the day and night groups did not significantly differ in how much this difference (Injury vs. Neutral) habituated between blocks, Injury vs. Neutral*Block*Time‐of‐Day: B = −0.22, p = 0.187, 95% CI [−0.55, 0.11]. We now focus on the former interaction effect that averaged across blocks, which is displayed and probed with conditional effects in Figure 3A. In the day group, viewing injury threat versus neutral images was related to a reduced likelihood of choosing the risky option, i.e., a pattern of threat‐induced decreases in risky decision‐making, Injury vs. Neutral: B = −0.19, p = 0.014, 95% CI [−0.34, −0.04]. In the night group, injury threat images did not influence risky choice, Injury vs. Neutral: B = 0.06, p = 0.417, 95% CI [−0.09, 0.21]—participants were just as likely to choose the risky option after viewing injury threat versus neutral images. These findings indicate that threat‐induced risk aversion was present during the day but not during the night period.\nThreat‐induced risk aversion\n. Panel (A): Average injury threat‐induced risk aversion (pooled across blocks) is apparent during the day but not at night. The bars depict the average probability of choosing the risk option by image type and time‐of‐day group, calculated as the mean percentage of risky decisions across images, blocks, and participants. The whiskers depict within‐person standard errors. Below, conditional effects probe the Injury vs. Neutral*Time‐of‐Day interaction. Panel (B): There is evidence of infection threat‐induced risk aversion, pooling across blocks and time‐of‐day. The bars depict the average probability of choosing the risky option by image type, calculated as the mean percentage of risky decisions across images, blocks, time‐of‐day, and participants. The whiskers depict within‐person standard errors. *p < 0.05 (two‐tailed).\nWe sought to determine whether the latter effect was present under both risk situations, risk‐with‐no‐ambiguity and risk‐with‐ambiguity (Koch et al. 2017), which was disentangled with our task design. This exploratory analysis informs whether the time‐of‐day more strongly impacts aversion towards a certain type of risk. Multilevel models with the same structure as the refined model (Table 3) were conducted separately on each set of trials, those involving risk‐with‐ambiguity versus those involving risk‐with‐no‐ambiguity. For risk‐with‐no‐ambiguity trials, there was a significant Injury vs. Neutral*Time‐of‐Day interaction, B = 0.39, p = 0.005, 95% CI [0.12, 0.66]. The analogous interaction for risk‐with‐ambiguity trials was not statistically significant, B = 0.12, p = 0.379, 95% CI [−0.15, 0.39]. We next probed the significant interaction for risk‐with‐no‐ambiguity trials using simple slopes. In the day group, injury threat images were associated with a lower odds of risky choice than neutral images, Injury vs. Neutral: B = −0.23, p = 0.021, 95% CI [−0.43, −0.03]. In the night group, injury threat and neutral images were associated with the same odds of risky choice, Injury vs. Neutral: B = 0.15, p = 0.131, 95% CI [−0.05, 0.35]. Those results suggest that the time‐of‐day effect on threat‐induced risk aversion in Figure 3A is driven by risk trials where potential outcomes are known.\nTo confirm the time‐of‐day effect on risky choice, a sensitivity analysis was conducted for the two‐way interaction in the multilevel model, Injury vs. Neutral*Time‐of‐Day. Specifically, we ran a simpler two‐way mixed ANOVA with a 2 (Image Condition: Infection Threat, Neutral) × 2 (Time‐of‐Day: Day, Night) structure. The outcome measure focused on the proportion of risky choices during the risk‐with‐no‐ambiguity trials, since the multilevel effect above was significant only for these trials. The ANOVA demonstrated a significant two‐way interaction between Time‐of‐Day and Image Condition, F(1, 85) = 4.98, p = 0.028, η\n\n2\n\n\nG\n = 0.01, suggesting that injury threat effects differed between day and night conditions. Follow‐up t‐tests indicate that there was larger risk aversion following injury threat (versus neutral) in the day, t(42) = 1.71, p = 0.094, 95% CI [−0.01, 0.11], Cohen's d = 0.24, although this effect was not statistically significant. The analogous effect (injury versus neutral) was not significant in the night condition, t(43) = −1.43, p = 0.161, 95% CI [−0.07, 0.01], Cohen's d = −0.15. The ANOVA results are generally aligned with the multilevel model results in that they both demonstrate an Image Type*Time‐of‐Day interaction; however, the follow‐up t‐tests were not statistically significant. Taken together, the results mostly confirm stronger injury threat‐induced risk aversion during the day relative to the night, although this effect should be interpreted cautiously. They also underscore the heightened sensitivity of the multilevel model relative to the ANOVA approach.\nWhen averaging across blocks, there was no significant time‐of‐day effect on the difference in risky choice between infection threat versus neutral images, Infection vs. Neutral*Time‐of‐Day: B = −0.02, p = 0.835, 95% CI [−0.24, 0.19]. There was also no significant influence of time‐of‐day group on the degree to which the infection threat effect differed between blocks, Injury vs. Neutral*Block*Time‐of‐Day: B = −0.03, p = 0.856, 95% CI [−0.36, 0.30]. In other terms, time‐of‐day did not impact the degree of habituation in infection threat risk‐induced aversion. Pooling across day/night groups and blocks, participants were less likely to choose the risky option following infection threat versus neutral images, Infection vs. Neutral: B = −0.13, p = 0.002, 95% CI [−0.21, −0.05]. This result suggests that, across trials and time‐of‐day groups, infection threat images decreased risky choice relative to neutral images (Figure 3B). To clarify this effect, we re‐ran the model for risk‐with‐no‐ambiguity and risk‐with‐ambiguity trials separately. The Infection vs. Neutral effect was statistically significant for risk‐with‐ambiguity, B = −0.19, p = 0.002, 95% CI [−0.31, −0.07], but not for risk‐with‐no‐ambiguity, B = −0.08, p = 0.166, 95% CI [−0.20, 0.03]. In other words, the effect of infection threat on risky choice was specific to risk‐with‐ambiguity trials—when information about the outcome likelihoods was partially unknown.\n\n\n### Injury Threat‐Induced Decreases in Risky Choice Emerge During the Day but Not at Night\nAveraged across blocks, the day and night groups significantly differed in how much the odds of risky choice differed between injury threat and neutral images, Injury vs. Neutral*Time‐of‐Day: B = 0.25, p = 0.016, 95% CI [0.05, 0.45]. However, the day and night groups did not significantly differ in how much this difference (Injury vs. Neutral) habituated between blocks, Injury vs. Neutral*Block*Time‐of‐Day: B = −0.22, p = 0.187, 95% CI [−0.55, 0.11]. We now focus on the former interaction effect that averaged across blocks, which is displayed and probed with conditional effects in Figure 3A. In the day group, viewing injury threat versus neutral images was related to a reduced likelihood of choosing the risky option, i.e., a pattern of threat‐induced decreases in risky decision‐making, Injury vs. Neutral: B = −0.19, p = 0.014, 95% CI [−0.34, −0.04]. In the night group, injury threat images did not influence risky choice, Injury vs. Neutral: B = 0.06, p = 0.417, 95% CI [−0.09, 0.21]—participants were just as likely to choose the risky option after viewing injury threat versus neutral images. These findings indicate that threat‐induced risk aversion was present during the day but not during the night period.\nThreat‐induced risk aversion\n. Panel (A): Average injury threat‐induced risk aversion (pooled across blocks) is apparent during the day but not at night. The bars depict the average probability of choosing the risk option by image type and time‐of‐day group, calculated as the mean percentage of risky decisions across images, blocks, and participants. The whiskers depict within‐person standard errors. Below, conditional effects probe the Injury vs. Neutral*Time‐of‐Day interaction. Panel (B): There is evidence of infection threat‐induced risk aversion, pooling across blocks and time‐of‐day. The bars depict the average probability of choosing the risky option by image type, calculated as the mean percentage of risky decisions across images, blocks, time‐of‐day, and participants. The whiskers depict within‐person standard errors. *p < 0.05 (two‐tailed).\nWe sought to determine whether the latter effect was present under both risk situations, risk‐with‐no‐ambiguity and risk‐with‐ambiguity (Koch et al. 2017), which was disentangled with our task design. This exploratory analysis informs whether the time‐of‐day more strongly impacts aversion towards a certain type of risk. Multilevel models with the same structure as the refined model (Table 3) were conducted separately on each set of trials, those involving risk‐with‐ambiguity versus those involving risk‐with‐no‐ambiguity. For risk‐with‐no‐ambiguity trials, there was a significant Injury vs. Neutral*Time‐of‐Day interaction, B = 0.39, p = 0.005, 95% CI [0.12, 0.66]. The analogous interaction for risk‐with‐ambiguity trials was not statistically significant, B = 0.12, p = 0.379, 95% CI [−0.15, 0.39]. We next probed the significant interaction for risk‐with‐no‐ambiguity trials using simple slopes. In the day group, injury threat images were associated with a lower odds of risky choice than neutral images, Injury vs. Neutral: B = −0.23, p = 0.021, 95% CI [−0.43, −0.03]. In the night group, injury threat and neutral images were associated with the same odds of risky choice, Injury vs. Neutral: B = 0.15, p = 0.131, 95% CI [−0.05, 0.35]. Those results suggest that the time‐of‐day effect on threat‐induced risk aversion in Figure 3A is driven by risk trials where potential outcomes are known.\nTo confirm the time‐of‐day effect on risky choice, a sensitivity analysis was conducted for the two‐way interaction in the multilevel model, Injury vs. Neutral*Time‐of‐Day. Specifically, we ran a simpler two‐way mixed ANOVA with a 2 (Image Condition: Infection Threat, Neutral) × 2 (Time‐of‐Day: Day, Night) structure. The outcome measure focused on the proportion of risky choices during the risk‐with‐no‐ambiguity trials, since the multilevel effect above was significant only for these trials. The ANOVA demonstrated a significant two‐way interaction between Time‐of‐Day and Image Condition, F(1, 85) = 4.98, p = 0.028, η\n\n2\n\n\nG\n = 0.01, suggesting that injury threat effects differed between day and night conditions. Follow‐up t‐tests indicate that there was larger risk aversion following injury threat (versus neutral) in the day, t(42) = 1.71, p = 0.094, 95% CI [−0.01, 0.11], Cohen's d = 0.24, although this effect was not statistically significant. The analogous effect (injury versus neutral) was not significant in the night condition, t(43) = −1.43, p = 0.161, 95% CI [−0.07, 0.01], Cohen's d = −0.15. The ANOVA results are generally aligned with the multilevel model results in that they both demonstrate an Image Type*Time‐of‐Day interaction; however, the follow‐up t‐tests were not statistically significant. Taken together, the results mostly confirm stronger injury threat‐induced risk aversion during the day relative to the night, although this effect should be interpreted cautiously. They also underscore the heightened sensitivity of the multilevel model relative to the ANOVA approach.\n\n\n### Time‐of‐Day Does Not Modulate Infection Threat‐Induced Risk Aversion\nWhen averaging across blocks, there was no significant time‐of‐day effect on the difference in risky choice between infection threat versus neutral images, Infection vs. Neutral*Time‐of‐Day: B = −0.02, p = 0.835, 95% CI [−0.24, 0.19]. There was also no significant influence of time‐of‐day group on the degree to which the infection threat effect differed between blocks, Injury vs. Neutral*Block*Time‐of‐Day: B = −0.03, p = 0.856, 95% CI [−0.36, 0.30]. In other terms, time‐of‐day did not impact the degree of habituation in infection threat risk‐induced aversion. Pooling across day/night groups and blocks, participants were less likely to choose the risky option following infection threat versus neutral images, Infection vs. Neutral: B = −0.13, p = 0.002, 95% CI [−0.21, −0.05]. This result suggests that, across trials and time‐of‐day groups, infection threat images decreased risky choice relative to neutral images (Figure 3B). To clarify this effect, we re‐ran the model for risk‐with‐no‐ambiguity and risk‐with‐ambiguity trials separately. The Infection vs. Neutral effect was statistically significant for risk‐with‐ambiguity, B = −0.19, p = 0.002, 95% CI [−0.31, −0.07], but not for risk‐with‐no‐ambiguity, B = −0.08, p = 0.166, 95% CI [−0.20, 0.03]. In other words, the effect of infection threat on risky choice was specific to risk‐with‐ambiguity trials—when information about the outcome likelihoods was partially unknown.\n\n\n### Inter‐Person Associations Between Nocturnal RA and Anxiety Symptoms\nTable 4 summarizes the logistic regression models that tested the relations between RA metrics (Bradycardia, Risky Choice) and the odds of anxiety group membership (0 = sub‐threshold, 1 = above‐threshold) as a function of time‐of‐day group. Separate models were conducted for bradycardia and risky choice towards injury threat versus infection threat. The models that pooled across time of days groups are summarized in the Supporting Information (Table S5).\nLogistic regression models: Associations between threat metrics and anxiety symptoms by time‐of‐day.\nNote: All logistic regression models are conducted on the full sample (N = 87). In each model, the dependent measure is the log‐odds of membership in the above‐threshold anxiety group, signaling heightened risk for clinical anxiety.\np < 0.05 (two‐tailed).\nThe relationship between bradycardia to injury threat and the odds of anxiety group membership did not differ between the day and night groups, as indicated by the non‐significant Bradycardia*Time‐of‐Day interaction, B = −0.01, p = 0.479, 95% CI [−0.05, 0.02]. We therefore re‐ran the model without the interaction to examine the bradycardia‐anxiety relationship pooling across day and night groups. Pooling across day/night groups, there was no significant association between bradycardia to injury threat and anxiety group, Bradycardia: B = 0.01, p = 0.116, 95% CI [−0.003, 0.03].\nWe next turn to the models testing bradycardia to infection threat and anxiety group. Infection threat‐induced bradycardia was more strongly related to anxiety group in the night versus day group, Bradycardia*Time‐of‐Day: B = 0.05, p = 0.008, 95% CI [0.01, 0.08]. Figure 4A plots the interaction's conditional effects (simple slopes) in each time‐of‐day group; they are also detailed here. In the night group, individuals with stronger bradycardia to infection threat images were more likely to be members of the above‐threshold anxiety group than those with weaker bradycardia to the same images, Bradycardia: B = 0.04, p = 0.009, 95% CI [0.01, 0.07]. In the day group, individuals with stronger bradycardia to infection images were not more (or less) likely to be in the above‐threshold anxiety group than were those with weaker bradycardia to the same images, Bradycardia B = −0.01, p = 0.390, 95% CI [−0.03, 0.01].\nInter‐person associations between infection threat bradycardia and anxiety symptoms by time‐of‐day.\n\nBradycardia to Infection Threat = Average peak RR deceleration to infection threat subtracting out average peak RR deceleration to neutral images. Anxiety Group = whether individuals have anxiety symptoms that are sub‐threshold (0) or above‐threshold (1). Time‐of‐Day = whether threat bradycardia was measured during the day (0) or night (1). Panel (A): Infection threat‐induced bradycardia during the night (but not during the day) is related to anxiety symptoms. The graph and statistics below reflect the conditional effects for the Bradycardia*Time‐of‐Day interaction. Panel (B): Relative to their below‐threshold counterparts, individuals with above‐threshold anxiety have higher infection threat bradycardia at night but not during the day. Bars reflect average bradycardia scores by time‐of‐day and anxiety group collapsing across image of the same type, blocks, and participants. Whiskers indicate standard errors. *p < 0.05 (two‐tailed).\nThis significant interaction between infection threat bradycardia and time‐of‐day in predicting anxiety group was probed in two additional ways. First, we compared average levels of threat‐induced bradycardia between anxiety groups for day and night separately (Figure 4B). In the day group, there was no significant mean difference in infection threat‐induced bradycardia between the anxiety groups, Welch t = 0.92, p = 0.366, 95% CI [−12.36, 10.71]. In the night group, the mean difference in the same bradycardia scores between anxiety groups was statistically significant, Welch t = −3.04, p = 0.004, 95% CI [−37.81, −7.60]. Those results indicate that only in the night group did above‐threshold anxiety individuals have significantly elevated threat‐induced bradycardia compared to their below‐threshold counterparts. Thus, infection threat‐induced bradycardia better differentiated above‐ versus below‐threshold anxiety symptoms when bradycardia was assessed at night. Second, we compared average levels of infection threat‐induced bradycardia between day and night groups in the below‐ and above‐threshold groups separately. In the below‐threshold anxiety group, there was no significant difference in average infection threat‐induced bradycardia between day and night groups, Welch t = 1.34, p = 0.188, 95% CI [−5.61, 27.85]. In the above‐threshold anxiety group, averaged infection threat bradycardia was significantly elevated at night versus day, Welch t = −2.10, p = 0.047, 95% CI [−42.97, −0.31].\nWe sought to validate the significant time‐of‐day effect on the infection threat‐induced bradycardia and anxiety group. That is, we wanted to ensure that this effect persisted across both blocks (1 and 2) in each image condition. To that end, we reran the same logistic regression model in each block separately. There were significant Bradycardia*Time‐of‐Day interactions both at block 1, B = 0.03, p = 0.023, 95% CI [0.01, 0.06], and block 2, B = 0.03, p = 0.030, 95% CI [0.01, 0.07]. Simple slopes in each block revealed that individuals with higher bradycardia to infection threat were more likely to be in the above‐threshold anxiety group when bradycardia was assessed at night, Block 1: B = 0.02, p = 0.028, 95% CI [0.004, 0.05]; Block 2: B = 0.03, p = 0.028, 95% CI [0.006, 0.06]. When bradycardia was assessed during the day, this relation was not significant at either block 1, B = −0.01, p = 0.358, 95% CI [−0.03, 0.01], or block 2, B = −0.01, p = 0.509, 95% CI [−0.03, 0.01]. Together, these findings suggest that the night period enhanced the relationship between infection threat bradycardia and anxiety symptoms, irrespective of whether bradycardia was measured at earlier or at later trials in the image condition.\nAcross injury and infection threat measures, there were no day‐versus‐night differences in any of the relations between threat‐induced changes in risky choice and anxiety group, Risky Choice*Time‐of‐Day interactions: Bs < 1.20, ps > 0.05 (Table 4). We next examined relationships collapsing across day/night groups. Injury threat‐induced change in risky choice was not significantly associated with the log‐odds of anxiety group membership, Risky Choice: B = −0.65, p = 0.706, 95% CI [−4.12, 2.79]. Similarly collapsing across day/night groups, infection threat‐induced change in risky choice was not significantly related to anxiety group, B = −0.79, p = 0.691, 95% CI [−4.78, 3.12].\n\n\n### The Nocturnal Setting Amplifies the Inter‐Person Association Between Infection Threat‐Induced Bradycardia and Anxiety\nThe relationship between bradycardia to injury threat and the odds of anxiety group membership did not differ between the day and night groups, as indicated by the non‐significant Bradycardia*Time‐of‐Day interaction, B = −0.01, p = 0.479, 95% CI [−0.05, 0.02]. We therefore re‐ran the model without the interaction to examine the bradycardia‐anxiety relationship pooling across day and night groups. Pooling across day/night groups, there was no significant association between bradycardia to injury threat and anxiety group, Bradycardia: B = 0.01, p = 0.116, 95% CI [−0.003, 0.03].\nWe next turn to the models testing bradycardia to infection threat and anxiety group. Infection threat‐induced bradycardia was more strongly related to anxiety group in the night versus day group, Bradycardia*Time‐of‐Day: B = 0.05, p = 0.008, 95% CI [0.01, 0.08]. Figure 4A plots the interaction's conditional effects (simple slopes) in each time‐of‐day group; they are also detailed here. In the night group, individuals with stronger bradycardia to infection threat images were more likely to be members of the above‐threshold anxiety group than those with weaker bradycardia to the same images, Bradycardia: B = 0.04, p = 0.009, 95% CI [0.01, 0.07]. In the day group, individuals with stronger bradycardia to infection images were not more (or less) likely to be in the above‐threshold anxiety group than were those with weaker bradycardia to the same images, Bradycardia B = −0.01, p = 0.390, 95% CI [−0.03, 0.01].\nInter‐person associations between infection threat bradycardia and anxiety symptoms by time‐of‐day.\n\nBradycardia to Infection Threat = Average peak RR deceleration to infection threat subtracting out average peak RR deceleration to neutral images. Anxiety Group = whether individuals have anxiety symptoms that are sub‐threshold (0) or above‐threshold (1). Time‐of‐Day = whether threat bradycardia was measured during the day (0) or night (1). Panel (A): Infection threat‐induced bradycardia during the night (but not during the day) is related to anxiety symptoms. The graph and statistics below reflect the conditional effects for the Bradycardia*Time‐of‐Day interaction. Panel (B): Relative to their below‐threshold counterparts, individuals with above‐threshold anxiety have higher infection threat bradycardia at night but not during the day. Bars reflect average bradycardia scores by time‐of‐day and anxiety group collapsing across image of the same type, blocks, and participants. Whiskers indicate standard errors. *p < 0.05 (two‐tailed).\nThis significant interaction between infection threat bradycardia and time‐of‐day in predicting anxiety group was probed in two additional ways. First, we compared average levels of threat‐induced bradycardia between anxiety groups for day and night separately (Figure 4B). In the day group, there was no significant mean difference in infection threat‐induced bradycardia between the anxiety groups, Welch t = 0.92, p = 0.366, 95% CI [−12.36, 10.71]. In the night group, the mean difference in the same bradycardia scores between anxiety groups was statistically significant, Welch t = −3.04, p = 0.004, 95% CI [−37.81, −7.60]. Those results indicate that only in the night group did above‐threshold anxiety individuals have significantly elevated threat‐induced bradycardia compared to their below‐threshold counterparts. Thus, infection threat‐induced bradycardia better differentiated above‐ versus below‐threshold anxiety symptoms when bradycardia was assessed at night. Second, we compared average levels of infection threat‐induced bradycardia between day and night groups in the below‐ and above‐threshold groups separately. In the below‐threshold anxiety group, there was no significant difference in average infection threat‐induced bradycardia between day and night groups, Welch t = 1.34, p = 0.188, 95% CI [−5.61, 27.85]. In the above‐threshold anxiety group, averaged infection threat bradycardia was significantly elevated at night versus day, Welch t = −2.10, p = 0.047, 95% CI [−42.97, −0.31].\nWe sought to validate the significant time‐of‐day effect on the infection threat‐induced bradycardia and anxiety group. That is, we wanted to ensure that this effect persisted across both blocks (1 and 2) in each image condition. To that end, we reran the same logistic regression model in each block separately. There were significant Bradycardia*Time‐of‐Day interactions both at block 1, B = 0.03, p = 0.023, 95% CI [0.01, 0.06], and block 2, B = 0.03, p = 0.030, 95% CI [0.01, 0.07]. Simple slopes in each block revealed that individuals with higher bradycardia to infection threat were more likely to be in the above‐threshold anxiety group when bradycardia was assessed at night, Block 1: B = 0.02, p = 0.028, 95% CI [0.004, 0.05]; Block 2: B = 0.03, p = 0.028, 95% CI [0.006, 0.06]. When bradycardia was assessed during the day, this relation was not significant at either block 1, B = −0.01, p = 0.358, 95% CI [−0.03, 0.01], or block 2, B = −0.01, p = 0.509, 95% CI [−0.03, 0.01]. Together, these findings suggest that the night period enhanced the relationship between infection threat bradycardia and anxiety symptoms, irrespective of whether bradycardia was measured at earlier or at later trials in the image condition.\n\n\n### Sensitivity Analysis\nWe sought to validate the significant time‐of‐day effect on the infection threat‐induced bradycardia and anxiety group. That is, we wanted to ensure that this effect persisted across both blocks (1 and 2) in each image condition. To that end, we reran the same logistic regression model in each block separately. There were significant Bradycardia*Time‐of‐Day interactions both at block 1, B = 0.03, p = 0.023, 95% CI [0.01, 0.06], and block 2, B = 0.03, p = 0.030, 95% CI [0.01, 0.07]. Simple slopes in each block revealed that individuals with higher bradycardia to infection threat were more likely to be in the above‐threshold anxiety group when bradycardia was assessed at night, Block 1: B = 0.02, p = 0.028, 95% CI [0.004, 0.05]; Block 2: B = 0.03, p = 0.028, 95% CI [0.006, 0.06]. When bradycardia was assessed during the day, this relation was not significant at either block 1, B = −0.01, p = 0.358, 95% CI [−0.03, 0.01], or block 2, B = −0.01, p = 0.509, 95% CI [−0.03, 0.01]. Together, these findings suggest that the night period enhanced the relationship between infection threat bradycardia and anxiety symptoms, irrespective of whether bradycardia was measured at earlier or at later trials in the image condition.\n\n\n### Time‐of‐Day Does Not Modulate the Associations Between Threat‐Induced Risk Aversion and Anxiety\nAcross injury and infection threat measures, there were no day‐versus‐night differences in any of the relations between threat‐induced changes in risky choice and anxiety group, Risky Choice*Time‐of‐Day interactions: Bs < 1.20, ps > 0.05 (Table 4). We next examined relationships collapsing across day/night groups. Injury threat‐induced change in risky choice was not significantly associated with the log‐odds of anxiety group membership, Risky Choice: B = −0.65, p = 0.706, 95% CI [−4.12, 2.79]. Similarly collapsing across day/night groups, infection threat‐induced change in risky choice was not significantly related to anxiety group, B = −0.79, p = 0.691, 95% CI [−4.78, 3.12].\n\n\n### Discussion\nRisk assessment (RA) is the detection/analysis of ambiguous threat that guides optimal defense and represents a likely phenotype for anxiety disorders (Blanchard 2017; Blanchard and Meyza 2019). Human RA should be strengthened at night to protect against threats cloaked in darkness (Darwin 1871; Herrmann 2015; Nasar and Fisher 1993; Grillon et al. 1997). The current study tested this intuitive notion of “nocturnal enhancement” by inducing RA with threatening images during distinct day and night conditions. We captured RA's separate cognitive and behavioral aspects by examining how cardiac activity (threat‐induced bradycardia) and risky decision‐making (threat‐induced risk aversion) changed in response to threat images of varying types, injury threat and infection threat. We also asked whether the nighttime activates an RA phenotype, where inter‐person associations between RA metrics and anxiety vulnerability, measured with the DASS‐21, would be higher at night versus day. Our core hypothesis was that nocturnal enhancement of RA metrics (involving heightened average RA and weakened habituation of RA) and their association with anxiety would emerge across both threat types: injury and infection threat. However, we also explored whether such associations differed between threat types and whether time‐of‐day effects on risk aversion differed between risk situations that are important in the neuroeconomic literature: risk‐with‐no‐ambiguity versus risk‐with‐ambiguity.\nOverall, we show that nocturnal enhancement of human RA is constrained to a particular RA component and threat type; our hypothesis of nocturnal enhancement was therefore only partially supported. The nocturnal period only enhanced the cardiac response to infection stimuli (suggesting attention to ambiguous threat) (Bradley 2009; Gladwin et al. 2016) and the degree to which this cardiac response was related to anxiety symptoms. Conversely, the nocturnal period did not strengthen the cardiac response to injury threat or its link to anxiety, likely because injury threats are less ambiguous and require less interpretation/attention. Evidence of nocturnal enhancement was absent for decision‐making variables. The night period did not strengthen risk‐averse decision‐making following threat, an aspect of RA reflecting behavioral caution (Holt and Laury 2014; Clark et al. 2012). Our findings therefore suggest that the nighttime enhances attentional orienting to ambiguous threats with little to no effect on cautious behavior. This study also suggests that the nocturnal period might activate a phenotype for anxiety that has implications for clinical diagnosis and early intervention. That is, individuals with heightened risk for anxiety disorders may demonstrate elevated attentional orienting to ambiguous threat at night but not during the day. A more detailed discussion of the findings appears below.\nConsistent with prior research, we found evidence of threat‐induced bradycardia to both image types that generally habituated across time (Lang et al. 1997; Bradley 2009; Vila et al. 2007). We found several effects consistent with the hypothesized notion that the nocturnal period enhances the attentional aspect of RA vis‐à‐vis threat‐induced bradycardia. First, the nocturnal period weakened habituation in infection threat bradycardia. Habituation in threat responses, although normative, can be adaptively suppressed to sustain defensive reactions when continual defense is required for survival (if threats are unpredictable or intense) (De Boer et al. 1989; Deecke et al. 2002; Bertels et al. 2012). Our finding of weakened habituation in bradycardia at night might suggest an evolutionarily adaptive pattern of prolonged vigilance that prevents one from missing ambiguous threats in the visual environment (Bell et al. 2009; Dalmaijer et al. 2021). Second, higher average infection‐threat induced bradycardia (average across trials) was only detected for individuals with above‐threshold anxiety. Thus, across anxiety levels, the night may enhance attention by prolonging the duration but not the intensity level of attention towards infection threats. For high‐anxiety individuals specifically, however, the nighttime may heighten the overall intensity of attention towards infection threats. Importantly, similar patterns of nocturnal enhancement were not detected for bradycardia to injury threat. This effect is surprising given that RA and nocturnal influence in ethology and behavioral ecology are both closely associated with defense against predators and aggressive conspecifics, i.e., prototypical injury threats (Stankowich and Blumstein 2005; Kronfeld‐Schor et al. 2013). Selective results with infection threat stimuli may bolster the idea that the nocturnal period specifically amplifies the attentional component of RA. Infection threats are generally more ambiguous in signaling their “threat potential” than injury threats (Schaller 2016; Fink et al. 2018). Infection threats therefore require greater attentional engagement, cognitive analysis, and stronger bradycardia, which are processes suggestive of RA (Van Hooff et al. 2013, 2014; Ruiz‐Padial et al. 2017).\nPrevious studies have demonstrated nocturnal enhancement of threat measures that may not reflect RA, namely subjective emotion measures (Li et al. 2015; Emens et al. 2020; Smyth et al. 2009) or physiological response to loud noise (Miller and Gronfier 2006; Pace‐Schott et al. 2014). Extending on this work, we show that the nocturnal period enhances RA towards image stimuli that were chosen to elicit RA. Threat image stimuli possess “aesthetical distance” and activate passive information‐gathering as opposed to active coping such as fight/flight to loud noise (Lang et al. 1993, 2000). Based on our present cardiac findings, we speculate that attention is prolonged, and in some cases amplified (i.e., in high‐anxiety individuals), to prevent hidden threats from being missed at night—since nocturnal darkness concealed visual dangers in the evolutionary environment. Sustained vigilance, manifesting as prolonged threat bradycardia, likely represents a “better safe than sorry” strategy favored by natural selection in uncertain threat contexts such as the nocturnal period (Stein and Nesse 2011).\nImportantly, the bradycardia responses observed in the current data are likely reflective of threat‐evoked orienting as opposed to other defensive responses. Bradycardia can also emerge in later parts of the defense cascade within so‐called “freezing” and “tonic immobility” states when threats are either closer, escapable, or less avoidable (Roelofs 2017; Hagenaars et al. 2014; Löw et al. 2015). Since our bradycardia response occurs right after detecting a novel threat stimulus, the response likely taps into RA as opposed to more active/preparatory defensive strategies that occur later towards a dynamic or approaching cue.\nContrary to hypotheses, we found no evidence for nocturnal enhancement of threat‐induced risk aversion after either threat type. Surprisingly, we instead found evidence that the daytime enhances the effects of injury threat (but not infection threat) on increasing risk aversion. This is consistent with prior work where injury threat‐induced risk aversion presumably occurs during daytime procedures (Clark et al. 2012). The daytime enhancement of risk aversion only emerged in situations of risk‐with‐no‐ambiguity. These findings point to specific threat‐related risk averse behavior when individuals have more rather than less information about their decision options. The fact that we observed heightened risk aversion to threats during the daytime is aligned with a diurnal shift in risk taking behavior, where individuals are less likely to take risks earlier rather than later in the day (Li et al. 2020; Bedder et al. 2023).\nThere was also evidence of enhanced risk aversion following infection threat, consistent with prior work (Kasheer and Nam 2021); that effect did not differ by time‐of‐day. Infection threat's effect on increasing risk aversion was specific to risk‐with‐ambiguity trials, when there was a partial lack of information about outcome probabilities. That specificity may be owed to infection threat and ambiguity trials both reflecting a great deal of uncertainty; as noted earlier, infection threats are believed to be more ambiguous and less direct than injury threats. Such ambiguity processing may prime ambiguity processing in the decisional part of the trial, thus leading to stronger ambiguity aversion.\nThe fact that the nocturnal period did not enhance risk aversion like it enhanced attention vis‐a‐vis threat‐induced bradycardia is intriguing. This lack of effect may be owed to our focus on value‐based decisions as opposed to decisions about defensive action, which is a primary decisional outcome in RA theories (Blanchard et al. 2001; Gladwin et al. 2016). While individuals are possibly more cautious at night when making decisions about defensive behavior, such as whether to flee, freeze, etc., it is possible that such nocturnal caution does not emerge in choices about seeking out rewards. Ecological theory suggests that when encountering a threat in a dangerous context, an animal's decision to seek out risky rewards (high calorie food amidst predator) may not always be decreased (Lima and Dill 1990). The animal may instead choose to increase or decrease reward‐seeking such as foraging depending on a host of environmental variables such as reward deficit and distance from the threat. As an additional interpretation, threat‐induced risk aversion may be limited to the day period because the daytime is associated with heightened subjective energy (Wood and Magnello 1992), and such heightened cognitive arousal is possibly required for threat‐induced risk aversion. Risk aversion has been shown to rely on complex information processing and the related expenditure of mental energy (Winecoff and Huettel 2017). Furthermore, threat effects on decision‐making also likely require cognitive effort and mental arousal. The weaker injury threat‐induced risk aversion at night could therefore be attributed to the weaker cognitive control and reduced cognitive arousal that accompany the nighttime (Horne 2012). At the very least, our results suggest that threat‐induced bradycardia and threat‐induced risk aversion (about rewards) are separate dimensions of RA that are differentially impacted by context. Indeed, we found no evidence that threat‐induced bradycardia and threat‐induced risk aversion are associated at the within‐ or between‐person levels (see Supporting Information for results)—suggesting that these RA metrics tap into separable and uncorrelated aspects of the RA process. Future studies are needed to further interrogate our speculations and to clarify differences between physiological and behavioral indices of RA.\nAn inter‐person relationship between RA and anxiety symptoms was found only for infection‐threat induced bradycardia at night. That is, individuals with elevated threat‐induced bradycardia at night exhibited an increased risk for an anxiety disorder, estimated with the DASS‐21; threat‐induced bradycardia measured during the day did not signal risk for anxiety disorder. This result suggests that RA's attentional aspect, when measured at night, may better identify anxiety risk. Other RA measures—bradycardia to injury threat and all metrics of threat‐induced risk aversion—were unrelated to risk for anxiety disorder via the DASS‐21.\nAnxiety phenotypes being expressed by anxiogenic contexts is consistent with some prior human studies (Grillon 2002). In one report, panic disorder patients showed heightened startle responding towards unpredictable threat but not towards predictable threat (Grillon 2008). Especially relevant to the current findings, other studies report that PTSD patients have exaggerated startle reactivity under darkness (Grillon et al. 1998; Kavaliers and Choleris 2001). Our current findings make a novel contribution to this literature which has largely focused on narrow changes to the immediate environment. It is unclear whether the nocturnal period is special in activating RA‐anxiety linkages or whether any anxiogenic context is sufficient in activating this phenotype. For example, it is possible that our observed nocturnal effects on anxiety are in part driven by darkness‐enhanced RA, which in turn enhanced bradycardia to ambiguous threats (e.g., infection cues). Future studies should inter‐leave the effect of time‐of‐day and light/dark to explore the mediating mechanisms.\nPrior research supports heightened RA, including threat‐induced bradycardia, as a core mechanism underlying risk for psychopathology (e.g., anxiety disorders) (Blanchard and Meyza 2019; Schipper et al. 2019; Thayer et al. 2000). Extending on this work, our findings indicate that threat‐induced bradycardia's status as an anxiety phenotype is dependent on the nighttime context. The nighttime context may amplify this measure as an anxiety risk phenotype (Grillon et al. 2019) because the night context signals danger and uncertainty, which in response activates threat reactions. We speculate that clinically anxious individuals might be easier to identify at night because this anxiogenic context activates the RA processes (vigilance, autonomic nervous system activity) at the core of their symptoms (Grillon 2002). These results suggest that heightened average levels of vigilance could signal mental health difficulties, whereas a pattern of non‐habituating vigilance, reflected as reduced within‐person change in cardiac measures, might instead signal an adaptive mechanism for survival. The functional distinctions between average and within‐person measures of RA require clarification in future studies.\nThe current study simulates important questions about the evolutionary and biological mechanisms that possibly underlie our nocturnal effects. From neuroethological and behavioral ecological perspectives, threat responses are adaptive if they are modified to fit the environment (Kavaliers and Choleris 2001; Gaynor et al. 2019; Blanchard and Blanchard 2008). We posit that the observed diurnal effects reflect an evolutionarily‐rooted reaction to potential darkness—even if darkness is not present. This adaptive heuristic, involving sustained vigilance, could enhance survival in an evolutionary environment where a lack of defense/vigilance is especially costly (Nesse 2005). In other words, the night context may signal to the brain, body, and mind that there is an increased chance of uncertain danger, given that nocturnal darkness (and related nocturnal features) was a likely selection pressure on the evolution of defensive reactions in humans in our ancestral environments (Kronfeld‐Schor et al. 2013). The fact that nocturnal effects were observed under illuminated conditions suggests that the diurnal shifts in RA (and RA‐anxiety relationships) could be circadian or endogenous in nature—such that acute ambient darkness is not required to drive the nocturnal modulation of defensive responses. Diurnal change in RA in the real world is likely regulated by a complex interaction between internal mechanisms (internal “clocks” in hypothalamus) and external mechanisms (external “zeitgebers” like darkness) (Sollars and Pickard 2015). This is in accord with known chronobiological mechanisms that regulate 24‐h cycles in autonomic reactivity, stress, and cognition (Agorastos et al. 2020; Koch et al. 2017). Such speculated mechanisms are adaptive, but if elevated at the “trait” level, they could predispose individuals to psychopathology, which is consistent with the nocturnal period amplifying relations between bradycardia (to infection threat cues) and anxiety symptoms.\nThe current study has a number of limitations that future research should address to better understand time‐of‐day impacts on human RA. First, the current findings underscore responses to infection threats, as opposed to injury threats, as being especially sensitive to the nighttime period—possibly because infection threats are more ambiguous and need higher RA at night. Future research is required to test this psychological explanation; for example, studies could vary how much of the threat images are occluded or pixelated to test whether ambiguity does indeed account for the nocturnal effects on some threat types versus others. As an alternative explanation, nocturnal effects may have been limited to infection threat because testing occurred in an indoor environment where shared surfaces (e.g., tables) were salient. If the participants were immersed in an outside environment that is associated with predators, for example, nocturnal effects on injury threat could have been more prominent. Future time‐of‐day studies could use virtual reality paradigms to simulate such naturalistic predator environments without sacrificing experimental rigor. Second, testing sessions were illuminated for both time‐of‐day groups. Current findings therefore suggest that nocturnal effects on RA do not require acute environmental darkness. However, our results do not rule out environmental darkness as a mechanism that augments nocturnal effects beyond what is observed in the current data. Future studies should directly test day versus night effects on RA metrics under different lighting conditions such as light versus dark. For example, night versus day effects on RA may be strongest when comparing dark/night conditions with day/light conditions, since the lighting conditions are congruent with the naturalistic settings. That design would better test whether it is darkness that mediates nocturnal effects on RA and RA‐anxiety relationships. Third, our focus on threat‐induced bradycardia and risk aversion is limited because those metrics only partially index RA, which is a complex process that relies on multiple neural, physiological, and cognitive systems. Future studies should simultaneously assess threat‐induced bradycardia alongside brain imaging measures, such as EEG or fMRI responses, that capture defensive circuitry and attentional network activations. Such neurophysiological assessments could be combined with passive image viewing or threat identification performance (e.g., identify image as threat or not) to bolster inferences regarding nocturnal effects on attentional processes. Tonic and phasic threat‐evoked brain activations in these paradigms could be useful to disentangle nocturnal effects on attentional vigilance (tonic) versus attentional orienting (phasic). Fourth, we did not have a design element to mitigate potential confounds of time‐of‐day effects, namely the heightened fatigue that might occur at night versus day. Present findings, however, suggest that mental fatigue is not a robust confound of time‐of‐day effects in the current data. This is because self‐reported feelings of being alert and active—PANAS items overlapping with fatigue—were not significantly different between day and night groups. Furthermore, the observed pattern of heightened attention to threat at night, inferred from threat‐induced bradycardia results, would suggest less (not more) fatigue at night. Future work should use more precise, objective measures of mental and physical fatigue to more rigorously test it as a confound of nighttime effects. Fifth, our metrics of RA behavior (risk aversion) and anxiety symptoms should be expanded upon in future work. Risk aversion, as noted earlier, captures decision‐making about rewards and not about avoiding threats, with the latter being more central in the RA literature (Blanchard et al. 2011). Additional studies could examine time‐of‐day effects on decision‐making about which defensive strategy to employ: freeze, fight, flight, etc. Virtual reality studies that simulate ecological threat environments (e.g., simulated predator) may prove useful in probing dynamic choices related to defensive strategy.\nOverall, time‐of‐day is shown to be an important variable to consider in the study of human threat responses and risk for mental health difficulties. The current study also points to a potential diurnal rhythm in threat‐induced bradycardia that is relevant to vulnerability for anxiety disorders. We propose that nocturnal changes in RA physiology to ambiguous threat could represent a context‐bound phenotype that, on the one hand is evolutionarily protective, but on the other hand leads to mental health risk when amplified on average across time. Future research is needed to substantiate the underlying neural and ecological mechanisms of these novel findings. This work lays the foundation for future research that can potentially transform the anecdote of “heightened fear at night” to a scientifically tested phenomenon.\n\n\n### Author Contributions\nDerek P. Spangler: conceptualization, investigation, writing – original draft, methodology, validation, visualization, writing – review and editing, formal analysis, project administration, data curation, supervision, resources. Richa Gautam: data curation, methodology, software. Jennifer T. Kubota: conceptualization, writing – review and editing, methodology. Jasmin Cloutier: conceptualization, writing – review and editing, methodology. Nina Lauharatanahirun: conceptualization, investigation, visualization, methodology, writing – review and editing, software, resources.\n\n\n### Funding\nThe research was supported by laboratory startup funds provided by Penn State University.\n\n\n### Ethics Statement\nThe research presented in this paper has been approved by the Penn State Institutional Review Board. All procedures are in accordance with the Declaration of Helsinki.\n\n\n### Consent\nAll research participants provided informed consent before completing the study procedures.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nFigure S1: Infection threat bradycardia as a function of trial and time‐of‐day. The y‐axis depicts mean bradycardia values that were estimated from the multilevel model. Lines represent the simple slopes from the same model. They test mean differences in bradycardia between infection threat and neutral images (i.e., dummy code effects) at specific levels of trial. Slopes for the first (#1), middle (#30), and last (#60) trial are plotted here. Shaded regions depict model‐based 95% CI intervals. In the day group, the pattern of greater bradycardia (peak deceleration) to infection threat versus neutral images attenuated across trials (Trial 1: B = 28.75, p < 0.0001; Trial 30: B = 18.56, p < 0.0001; Trial 60: B = 8.03, p = 0.048). In the night group, the pattern of greater bradycardia to infection threat versus neutral images did not significantly attenuate across trial (Trial 1: B = 18.89, p < 0.0001; Trial 30: B = 19.16, p < 0.0001; Trial 60: B = 19.43, p < 0.0001).\nFigure S2: Threat‐induced bradycardia with heart rate (HR) scores in beats per minute (bpm). Panel A: Bradycardia time courses during image viewing. Lines reflect time courses in raw HR deceleration scores across participants and images, estimated as smoothed average scores using a LOESS procedure. Panel B: Injury threat bradycardia habituates between blocks, collapsing across time‐of‐day. The bars depict mean bradycardia by image type and blocks, calculated as the average of the peak HR deceleration scores, collapsing across images, time‐of‐day, and participants. The whiskers depict within‐person standard errors. Panel C: Infection threat bradycardia habituates during the day but not at night. Bars depict mean bradycardia by image type, blocks, and time‐of‐day; calculated as the average of peak HR deceleration scores collapsing across images and participants. The whiskers depict within‐person standard errors.\nTable S1: Multilevel Model: Average Threat‐Induced Bradycardia (without Habituation).\nTable S2: Multilevel Model: Habituation in Threat‐Induced Bradycardia.\nTable S3: Multilevel Model: Average Threat‐Induced Risk Aversion (without Habituation).\nTable S4: Multilevel Model: Habituation in Threat‐Induced Risk Aversion.\nTable S5: Logistic Regression Models: Associations between Threat Metrics and Anxiety Symptoms (Without Time‐of‐Day).", "domain": "affective_neuroscience"}
{"source": "PMC13099437", "title": "Decoding depression: stress-derived formaldehyde initiates depressive symptoms in mouse and human", "text": "# Decoding depression: stress-derived formaldehyde initiates depressive symptoms in mouse and human\n\n## Abstract\nStress is a high-risk factor for major depressive disorder (MDD) with hippocampal damage and monoamine deficiency. Surprisingly, the administration of gaseous or aqueous formaldehyde (FA) causes depressive symptoms in both animals and humans, though whether endogenous FA induces depression is unclear. Here, we report that stress-derived FA promotes depression onset. In this study, endogenous FA concentrations in mice and human induced by acute or chronic stress were quantified by a FA-sensitive fluorescence probe. Acute infusion and chronic FA injection were used to mimic depressive behaviors in mice under chronic unpredictable mild stress (CUMS). Patch clamp recorded FA-inhibited hippocampal CA1 discharges, while mass spectrometry and spectrophotometry examined FA-inactivated monoamine. The software of magnetic resonance imaging (MRI) was used to quantify hippocampal CA1 atrophy in adolescents with MDD. Biochemical tests were applied for evaluating the link between FA levels and depression severity in MDD patients. Various bioinformatics methods were used to explore FA’s connection to depression-related pathways. Metabolomics data from MENDA were used to identify FA accumulation and monoamine deficiency in depression models and MDD patients. Our results showed that in cellular and mouse models, glutamic acid and both acute and chronic stress triggered FA production in hippocampal CA1 neurons. Excessive FA indued depressive behaviors due to FA buildup and decreased serotonin, dopamine, and melatonin levels in the extracellular space. Especially, excessive FA deactivated these monoamines, damaged hippocampal CA1 structure, and reduced neuroexcitability. Remarkably, adolescent MDD patients showed hippocampal CA1 atrophy and monoamine deficiencies, with blood FA levels predicting depression severity. These findings suggest that stress-derived FA serves as a critical trigger of depression by inactivating monoamines and impairing hippocampal CA1. \n\n## Full Text\n\n\n### Introduction\nClinical characters of depression patients are low mood, anhedonia, social behavior decline, and negative awareness increase, even long-term insomnia and suicide behaviors [1]. It is one of the world’s leading causes of disease burden and time lived with disability [2]. The classic hypotheses of depression is the insufficient function of the monoaminergic system [3], because the monoamines: 5-hydroxytryptamine (5-HT), dopamine (DA), and melatonin (MT), have been found to be severely decreased in depression patients [4, 5]. Chronic stress is considered to be a critical reason for human major depression disorder (MDD) [6–8]. Actually, chronic stress can induce depression-like behaviors in drosophila [9], mice [10], rats [11], and monkeys [12], and a marked decline in the levels of hippocampal 5-HT, DA, and MT has been detected in the depression animal models [13, 14]. Notably, formaldehyde (FA) has the potential to inactivate 5-HT [15, 16], DA [17, 18], and MT [19] in the extracellular space (synaptic cleft), and impair hippocampal structure [20, 21]. Hippocampal CA1 has been observed to be damaged in patients at the early-stage of depression [22]. Hence, excessive FA may be a direct factor for monoamine deficiency after chronic stress.\nHuman exposed to gaseous FA often suffered from depression, anxiety, sleep disorders, and loss of appetite [23, 24], these symptoms are similar to the clinical characteristics of depression patients [25]. Gaseous FA exposure can induce depressive-like behaviors in animals [26, 27]. Similarly, administration of aqueous FA results in depression symptoms in the rats and other animals [28, 29]. Remarkably, endogenous FA is existed in every cell [30], and mainly derived from the demethylation of sarcosine dehydrogenase (SARDH), semicarbazide-sensitive amine oxidase (SSAO) and demethylase, etc. [31]. Recently, the external stimuli, such as: weightlessness, spatial learning, electrical stimulation [30, 32]; especially, psychological stress [33–35], have been found to elicit the generation of endogenous FA in animals. Therefore, we proposed that chronic stress-derived FA is an endogenous trigger of depression.\nThis study aimed to investigate the roles of stress-derived FA in depression onset in animals and humans. First, the different depression mice models of acute stress, chronic unpredictable mild stress (CUMS), acute intrahippocampal injection of FA and chronic FA injection, were applied to mimic depressive-like behaviors (Figure S1A, Top). The neurotransmitter- glutamic acid (Glu) was used to elicit FA generation in the cultured hippocampal neurons, and the discharges of hippocampal CA1 were recorded in the brain slices by patch clamp in vitro (Figure S1A, Down). Further, FA-inactivated monoamine was identified by using Gas chromatography-mass spectrometry (GC-MS/MS) and Fluorescence spectrophotometer (Figure S1B). Second, the Meta-analysis was used to explore the source of FA which may be derived from environmental pollutants, stress and genes (Figure S1C). Third, the hippocampal CA1 atrophy from the database of the Enhancing-Neuroimaging-Genetics-through-Meta-Analysis (ENIGMA) was quantified by the software of magnetic resonance imaging (MRI) in the adolescent MDD [36] (Figure S1D, Top). Biochemical examinations from MDD patients, were applied to investigate whether FA levels determine depression degrees (Figure S1D, Down). In addition, the multi-marker analysis of genomic annotation (MAGMA) [37], genome-wide association study (GWAS) and KEGG enrichment [38], were used to explore the relationship between FA and depression-related molecular pathways (Figure S1E). Metabolomics data from metabolite network of depression database (MENDA) were applied to investigate whether blood FA accumulation and monoamine deficiency in depression animal models and MDD patients (Figure S1F). Our findings suggest that stress-derived FA not only inactivates monoamines but also inhibits neuronal excitability in the hippocampal CA1; subsequently, it leads to depression in animals and humans.\n\n\n### Results\nTo explore which organelle generates active FA after neuronal excitation, we examined the changes in FA fluorescence intensity by using FA fluorescent probes targeting different organelles including the endoplasmic reticulum (ER) [39], lysosome (LS) [40] and mitochondria (Mt) [41] (Fig. 1A-C). After incubation of the excitatory neurotransmitter- Glu in the cultured N2a cells, a marked elevation in FA fluorescence intensity was not observed in the ER and LS, but was seen in the Mt of cells (Fig. 1D-2F). To further confirm that this active FA is derived from mitochondria, the cytoplasmic (free) FA fluorescent probe-NaFA [42] and Rhodamine 123 (a fluorescent probe of mitochondrial transmembrane potential) were used (Figure S2A). In addition, Glu induced the elevation in NaFA fluorescence intensity co-localized with that of Rhodamine 123 (Figure S2B-C). Thus, active FA arises from the mitochondria.Fig. 1Excitatory neurotransmitter-Glu induces active FA generation in the mitochondria.A Endoplasmic reticulum -targeted FA probe. ER: endoplasmic reticulum. B Mitochondria-targeted FA probe. Mt: mitochondria. C Lysosome-targeted FA probe. LS: lysosome. (D, E, F) Changes in ER-, LS-, Mt-targeted FA fluorescence intensity elicited by Glu. Glu: glutamic acid. G SARDH activity, analyzed with a SARDH kit. n = 6, p < 0.01. (H, I) Changes in FA levels in cultured hippocampal neurons after treatment with MA, BAPTA and CysA. MA: Methoxyacetic acid, BAPTA: a kind of Ca2+ chelator, CysA: cyclosporine A (a blocker of mitochondrial permeability transition pores). n = 6, p < 0.01. J Cellular model of Glu-promoted Ca2+ influx and active FA generation.\nA Endoplasmic reticulum -targeted FA probe. ER: endoplasmic reticulum. B Mitochondria-targeted FA probe. Mt: mitochondria. C Lysosome-targeted FA probe. LS: lysosome. (D, E, F) Changes in ER-, LS-, Mt-targeted FA fluorescence intensity elicited by Glu. Glu: glutamic acid. G SARDH activity, analyzed with a SARDH kit. n = 6, p < 0.01. (H, I) Changes in FA levels in cultured hippocampal neurons after treatment with MA, BAPTA and CysA. MA: Methoxyacetic acid, BAPTA: a kind of Ca2+ chelator, CysA: cyclosporine A (a blocker of mitochondrial permeability transition pores). n = 6, p < 0.01. J Cellular model of Glu-promoted Ca2+ influx and active FA generation.\nMitochondrial SARDH catalyze sarcosine to “active FA” [43]. Thus, we examined the changes in SARDH activity and FA concentrations after Glu incubation. Glu clearly enhanced SARDH activity and FA generation, whereas the SARDH inhibitor methoxyacetic acid (MA) had opposite effects (Figs. 1G, H). Next, we found that Glu enhanced FA accumulation (Fig. 1I). However, both BAPTA (a Ca2+ chelator) and cyclosporine A (CysA, a blocker of mitochondrial permeability transition pores) decreased the Glu-promoted FA generation (Figs. 1I, J). These data suggest that active FA is Ca2+-dependent and derived from the mitochondrial SARDH.\nTo address the key issue whether external stress stimulates FA generation in the hippocampus, the different kinds of acute stress, including: eugenol spray, strong flashing, white noise and inflammatory stimulus by intrahippocampal injection of lipopolysaccharide (LPS), were carried out in this study (Fig. 2A). Endogenous FA in the whole brain and the coronal section of the mice can be imaged by in-vivo animal imaging system with NaFA probe (a specific and sensitive probe of FA) [42, 44] (Fig. 2B). Our results showed that acute organ stress led to a marked elevation in FA fluorescent intensity in the hippocampal CA1 in both the whole brain and the coronary section (Fig. 2C-D). Sensory stimuli including: auditory, visual, olfactory and gustatory, can activate hippocampus [45]; and hippocampal CA1 is responsible for information integration and output [46], thus, acute stress could elicit FA generation in the hippocampal CA1.Fig. 2FA generation in the hippocampal CA1 in the wild-type mice after acute organ and acute system stress.A Acute organ stress including: eugenol spray, strong flashing, white noise and lipopolysaccharide (LPS) injection. (B, C) Elevation in the brain FA levels imaged and quantified by NaFA probe. Hip: hippocampus. n = 3. D Increase in the FA fluorescent intensity in the hippocampal CA1. E Acute system stress including: forced swimming, electrical shocking, tail pinching and physically restraint. F Imaging and quantification of hippocampal FA levels by NaFA probe and FA kits, respectively. n = 6. G Imaging of FA in the coronal section of brains. n = 3. (H, I) Imaging and quantification of hippocampal FA levels by NaFA probe. (J, K) Brain FA levels detected by FA kits and FA fluorescent intensity of hippocampal CA1 in the CUMS model mice, (L-O) Elevation in the levels of the brain SSAO and SARDH quantified by ELISA kits, respectively. SA: sarcosine. n = 6; *p < 0.05; **p < 0.01; ***p < 0.001.\nA Acute organ stress including: eugenol spray, strong flashing, white noise and lipopolysaccharide (LPS) injection. (B, C) Elevation in the brain FA levels imaged and quantified by NaFA probe. Hip: hippocampus. n = 3. D Increase in the FA fluorescent intensity in the hippocampal CA1. E Acute system stress including: forced swimming, electrical shocking, tail pinching and physically restraint. F Imaging and quantification of hippocampal FA levels by NaFA probe and FA kits, respectively. n = 6. G Imaging of FA in the coronal section of brains. n = 3. (H, I) Imaging and quantification of hippocampal FA levels by NaFA probe. (J, K) Brain FA levels detected by FA kits and FA fluorescent intensity of hippocampal CA1 in the CUMS model mice, (L-O) Elevation in the levels of the brain SSAO and SARDH quantified by ELISA kits, respectively. SA: sarcosine. n = 6; *p < 0.05; **p < 0.01; ***p < 0.001.\nTo address another question whether the different kinds of chronic system stress can elicit brain FA generation, we compared FA fluorescent intensity in both the whole brains and the coronal sections of the brains after acute system stress, including: tail pinching, electrical shocking, forced swimming, and physically restraint (Fig. 2E). These chronic stimuli were used to make the CUMS model mice [47] (Figure S3 and Table S1). External stress elicits FA generation in the brain [30, 32]. As expected, acute system stress led to 5-fold elevation in FA fluorescent intensity in the whole brains and the coronal section quantified by using the in-vivo animal imaging system and the immunofluorescence histochemistry, respectively (Fig. 2F-K). Further, we found that in the CUMS model, the protein levels of FA-generating enzymes (including SSAO and SARDH [32]), were markedly elevated in the brains (Fig. 2L-O). Thus, acute and chronic stress can induce FA accumulation in the hippocampal CA1.\nTo investigate whether stress-derived FA directly leads to depression onset, the wild-type mice were bilaterally injected 10 mM FA (BI-FA) into hippocampus CA1 for consecutive 14 days (Figs. 3A, B). Compared with the control mice, the mice treated with BI-FA had a longer time of immobility in both TST and FST (Figs. 3C, D); while a decreased sucrose consumption in the SPT, respectively (Fig. 3E). Using in-vivo animal imaging system with NaFA probe, we found that the mice with BI-FA exhibited an elevation in the levels of hippocampal FA fluorescent intensity (Figs. 3F, G). Unsurprisingly, there was a decline in the levels of 5-HT, DA, and MT in the hippocampus of the mice treated with BI-FA than the control mice (Fig. 3H-J). These data indicate that excessive FA may reduce hippocampal monoamine and lead to depression.Fig. 3Both acute and chronic injection of FA induce depressive-like behaviors in mice.A Experimental procedure for intrahippocampal infusion of FA into the mice for consecutive 14 days. B Stereo positioning of FA injection. (C-E) Behaviors assessed by tail suspension test (TST), forced swimming test (FST), and sucrose preference test (SPT), respectively, n = 6 ~ 10. (F, G) Imaging of brain FA levels by NaFA probe and FA kits, respectively. n = 6 ~ 8. (H-J) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. K Experimental procedure of chronic intraperitoneal injection (i.p.) of FA at 0, 5 and 10 mM for 28 days, respectively. n = 10 per group. (L-O) Behaviors assessed by FST, TST, SPT and open field test (OFT), respectively, n = 8 ~ 10. P Hippocampal neurons damaged by FA in vitro and in vivo. (Q, R) Imaging and quantification of brain FA by NaFA probe and FA kits, respectively. n = 6 ~ 8. (S-U) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. *p < 0.05; **p < 0.01; ***p < 0.001.\nA Experimental procedure for intrahippocampal infusion of FA into the mice for consecutive 14 days. B Stereo positioning of FA injection. (C-E) Behaviors assessed by tail suspension test (TST), forced swimming test (FST), and sucrose preference test (SPT), respectively, n = 6 ~ 10. (F, G) Imaging of brain FA levels by NaFA probe and FA kits, respectively. n = 6 ~ 8. (H-J) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. K Experimental procedure of chronic intraperitoneal injection (i.p.) of FA at 0, 5 and 10 mM for 28 days, respectively. n = 10 per group. (L-O) Behaviors assessed by FST, TST, SPT and open field test (OFT), respectively, n = 8 ~ 10. P Hippocampal neurons damaged by FA in vitro and in vivo. (Q, R) Imaging and quantification of brain FA by NaFA probe and FA kits, respectively. n = 6 ~ 8. (S-U) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. *p < 0.05; **p < 0.01; ***p < 0.001.\nTo address whether excessive FA in the hippocampus is the triggering factor for chronic depression onset, three groups of wild-type mice were intraperitoneally injected with FA at 0, 5 and 10 mM for the consecutive 28 days, respectively; and depressive-like behaviors and hippocampal monoamines were assessed (Fig. 3K). The i.p. injection of FA also increased the immobility time in both FST and TST (Figs. 3L, M), while decreased sucrose consumption in the SPT and staying time in center in the OFT (Figs. 3N, O). Moreover, we found that FA at high levels (5 mM) caused neuron death in the isolated cultured hippocampal neurons and the hippocampal CA1 in the FA-injected mice (Fig. 3P). Thus, excessive FA could impair hippocampal CA1 structure.\nPrevious studies have found that system intraperitoneal injection (i.p.) of FA as a small molecule can rapidly penetrate into the blood-brain barrier (BBB) and brain tissues [48, 49]. As expected, these mice with system injection of FA at 5 and 10 mM exhibited an elevation in the levels of hippocampal FA fluorescent intensity, respectively (Figs. 3Q, R). There was a decline in the levels of 5-HT, DA, and MT in the hippocampus of FA-injected mice than the control mice (Fig. 3S-U). These data confirmed that excessive FA leads to depression associated with reduce hippocampal monoamines.\nTo explore the critical role of stress-derived FA on depression onset, we first prepared the classic CUMS model mice (Fig. 4A). After 4-weeks of CUMS, the CUMS mice displayed a decline in body weight (Figs. 4B, C) an increase in immobility time in both FST and TST (Figs. 4D, E); while a decrease in both the sucrose consumption in the SPT and OFT when compared to the control mice (Fig. 4F-H). Remarkably, the concentrations of 5-HT, DA, and MT in the hippocampus of the CUMS mice were declined than the control mice (Fig. 4I-K). These data indicate that CUMS leads to depressive-like behaviors associated with FA overload and monoamine deficiency.Fig. 4Changes in the levels of hippocampal FA and monoamines and neuronal excitability in the CUMS model mice.A Experimental procedure for preparing CUMS model mice for 28 days. (B, C) Change in the bod. n = 10. (D-H) Behaviors assessed by forced swimming test (FST), tail suspension test (TST), sucrose preference test (SPT) and open field test (OFT), respectively, n = 10. (I-K) Hippocampal 5-HT, DA and MT detected by ELISA kits. n = 6. (L-U) Derivatives of the chemical reactions between FA and 5-HT, DA and MT. FA: formaldehyde (L) in the pure chemical solutions detected by fluorescence spectrophotometer (M-O), GC-MS/MS (P-R), and ELISA kit (S-U), respectively. GC-MS/MS: Gas chromatography-mass spectrometry. (V-X) Discharge of hippocampal CA1 inhibited by FA dose-dependently. BL: baseline. *p < 0.05; **p < 0.01; ***p < 0.001.\nA Experimental procedure for preparing CUMS model mice for 28 days. (B, C) Change in the bod. n = 10. (D-H) Behaviors assessed by forced swimming test (FST), tail suspension test (TST), sucrose preference test (SPT) and open field test (OFT), respectively, n = 10. (I-K) Hippocampal 5-HT, DA and MT detected by ELISA kits. n = 6. (L-U) Derivatives of the chemical reactions between FA and 5-HT, DA and MT. FA: formaldehyde (L) in the pure chemical solutions detected by fluorescence spectrophotometer (M-O), GC-MS/MS (P-R), and ELISA kit (S-U), respectively. GC-MS/MS: Gas chromatography-mass spectrometry. (V-X) Discharge of hippocampal CA1 inhibited by FA dose-dependently. BL: baseline. *p < 0.05; **p < 0.01; ***p < 0.001.\nTo examine the potential direct impact of FA on the depletion of monoamines (specifically 5-HT, DA, and MT) in the hippocampus of mice, we conducted an experiment involving the combination of a pure FA chemical reagent solution with separate solutions of 5-HT, DA, and MT, and the changes in FA concentrations were quantified using a fluorescence spectrophotometer equipped with NaFA probe, while the reaction derivatives were analyzed using Gas Chromatography-Mass Spectrometry (GC-MS/MS) (Fig. 4L). We found that FA levels were markedly declined in the mixed pure solutions of FA and 5-HT (1:1), FA and DA (1:1); FA and MT (1:1) under room temperature, 24 h, pH = 7.4, respectively (Fig. 4M-O).\nFurther, the results of GC-MS/MS revealed that the H+- added ion peak of the reaction derivant of 5-HT was about 210.1700 (Fig. 4P and Figure S4); DA derivant: 171.1492 (Fig. 4Q and Figure S5); and MT derivant: 254.1963 (Fig. 4R and Figure S6). To validate these findings, the ELISA kits were subsequently employed to measure the concentrations of the monoamines (5-HT, DA, and MT) and FA in mixed solutions at a ratio of 1:1, under the same conditions. The outcomes demonstrated a significant decrease in the levels of these monoamines in the mixed pure solutions compared to the solutions containing solely monoamines (Fig. 4S-U).\nTo investigate the effects of excessive FA on the functions of hippocampal CA1 in the mice, the brain slices were used to record the spontaneous discharge in the hippocamp neurons. The results showed that there was a dose-dependent decline in the neuronal excitability of hippocampal CA1 in wild-type mice (Fig. 4V-X and Figure S7A-D). We also found that the inhibited effects on discharges by 5 mM FA could recover after washout; while FA at 10 mM led to a unreversed impairment of discharge in hippocampal neurons (Figure S7E-H). These data offer compelling evidence that stress-derived FA not only damages the structure but also impair the functions of hippocampal CA1.\nTo address the critical question which is the resource of endogenous FA, we collected the references involved in FA-related depression and used the Meta-analysis to explore the relationship between environmental pollution, stress and genes and FA accumulation/ depression. The results showed that gaseous FA exposure obviously increased the risk of depression onset (Mean difference: 2.58 [1.77, 3.39], Test for overall effect: Z = 6.23, p < 0.00001) (Figure S8A and Figure S9). Deep-sea fish are frequently contaminated with methylmercury and mercury; however, methylmercury can induce FA accumulation in the body [50–52]. Unsurprisingly, this pollutant also enhanced the risk of depression occurrence (Mean difference: 0.24 [0.07, 0.40], Test for overall effect: Z = 2.84, p = 0.004) (Figure S8B and Figure S10). These data indicate that environmental pollution can induce FA overload and increase depression risk.\nPrevious study has shown that stress of the weightless state in space flight can induce human depression [53]. The results of Meta-analysis indicate that weightless stress increased the risk of depression in animals (Mean difference: 2.21 [0.63, 3.378, Test for overall effect: Z = 2.75, p = 0.006) (Figure S8C and Figure S11). Further, we also found that the FA-degrading enzyme- ALDH2 deficiency enhanced depression occurrence (Odds Ratio: 2.89 [1.40, 5.94], Test for overall effect: Z = 2.88, p = 0.004) (Figure S8D and Figure S12). The abnormalities of FA-generating enzymes including: MAO-A and P450 increased the risk of depression onset (MAO-A: Odds Ratio: 1.46 [1.22, 1.74], Test for overall effect: Z = 4.19, p < 0.00001; P450: Odds Ratio: 2.42 [1.61, 3.63], Test for overall effect: Z = 4.27, p < 0.00001) (Figure S8E, F, Figure S13 and Figure S14). Thus, exogenous and endogenous factors, such as: environmental pollution, stress and genes, affect FA metabolism and most like are involved in the high-risk of depression (Figure S8G-I).\nTo establish the relationship between stress and MDD in human, we first collected and analyzed the references about stress and depression occurrence. The results of Meta-analysis indicate that stressful life events increased the risk of depression in human (Odds Ratio: 4.50 [03.54, 5.72], Test for overall effect: Z = 12.31, p < 0.00001) (Figure S15).\nThen we used two kinds of weightless stress model in mouse and human to indicate that stress can affect hippocampus. Using the mouse model of hindlimb unloading which simulates weightless [32] (Fig. 5A, Left), there was a decline in the body weight (Figure S16A, B), an increase in brain FA levels (Fig. 5A, Right) while a time-dependently decrease in sucrose preferences (Fig. 5B), and immobility times (Figure S16C) in the SM mice than control mice. Hence, stress induce depression in mice by impairing hippocampal CA1 and inactivating monoamines (Fig. 5C).Fig. 5Stress-mediated depression and -damaged hippocampal CA1 in adolescent MDD.A Changes in hippocampal FA levels on day 7 and 14 in the mice under simulated weightless by hindlimb unloading, respectively. B Depression-like behaviors evaluated by sugar preference test. C Model of stress-induced depression in mice by damaging hippocampal CA1 and inactivating monoamines. (D-F) Changes in brain functions by MRI (D), depression (BDI) scores (E), and urine FA levels (F) on day 20 and 45 in the volunteers under simulated weightlessness by HDT experiments, respectively. BDI: Beck Depression Inventory; HDT: Head-down Tilt; SM: simulated microgravity. G Meta-analysis of hippocampal atrophy in MDD. H The segmentation of hippocampus structure. I Quantification of hippocampal volumes in the adolescent MDD from Imaging Database of Enhancing neuroimaging genetics through Meta-analysis (ENIGMA). n = 72 (HC); n = 73 (MDD). HC: human controls; MDD: major depressive disorder. **p < 0.01; ***p < 0.001.\nA Changes in hippocampal FA levels on day 7 and 14 in the mice under simulated weightless by hindlimb unloading, respectively. B Depression-like behaviors evaluated by sugar preference test. C Model of stress-induced depression in mice by damaging hippocampal CA1 and inactivating monoamines. (D-F) Changes in brain functions by MRI (D), depression (BDI) scores (E), and urine FA levels (F) on day 20 and 45 in the volunteers under simulated weightlessness by HDT experiments, respectively. BDI: Beck Depression Inventory; HDT: Head-down Tilt; SM: simulated microgravity. G Meta-analysis of hippocampal atrophy in MDD. H The segmentation of hippocampus structure. I Quantification of hippocampal volumes in the adolescent MDD from Imaging Database of Enhancing neuroimaging genetics through Meta-analysis (ENIGMA). n = 72 (HC); n = 73 (MDD). HC: human controls; MDD: major depressive disorder. **p < 0.01; ***p < 0.001.\nIt has been reported that weightless stress under simulated microgravity (SM) in space flight can induce human depression on day 20 without entertainment [53]; while other study showed that this depressive mood can be recovery on day 45 with entertainment in the volunteers with Head-down Tilt (HDT) [54], we repeated these experiments, imaged brain functions by MRI, examined depression severity assessed by using Beck Depression Inventory (BDI), detected urine FA levels by HPLC. The results showed that weightless stress led to a marked increase in hippocampal activity on day 20 but decrease in it on day 45 in humans (Fig. 5D). Meanwhile, there was a common trend of depressive state (Fig. 5E), and urine FA levels with an initial elevation on day 20 and then recovery to baseline on day 45 (Fig. 5F), suggesting that entertainment could alleviate depressive symptoms. In a word, stress affects hippocampal functions and FA concentrations.\nAlthough the debate on whether the impaired hippocampus induced depression or whether depression induced hippocampal damage is inconclusive, hippocampus impairments have been observed in the early stage of MDD patients [22, 55]. The results of Meta-analysis indicate that hippocampal atrophy indeed increased the risk of depression in MDD patients (Mean Difference: −167.98 [−211.14, −124.521], Test for overall effect: Z = 7.58, p < 0.00001) (Fig. 5G, Figure S17 and Figure S18).\nFurther, we quantified hippocampal volumes from imaging Database of ENIGMA, and found that atrophy of whole hippocampus in 73 adolescent MDD than 72 HC (Table S2-S5); especially, the volumes of hippocampal CA1 but not CA3 and DG were markedly reduced than that of right region of hippocampus (Figs. 5H, I and Table S6). In summary, our above data suggest that stress-derived FA could impair hippocampal CA1 and then leads to depression in adolescent patients.\nTo investigate the relationship between endogenous FA and depression, we first examined the levels of protein expression and activities of FA-metabolizing enzymes including: FA-generating enzyme: SSAO and sarcosine dehydrogenase (SARDH); FA-degrading enzyme: FDH, and the levels of FA and coenzyme Q10 (an endogenous FA scavenger [56]) in 55 patients with MDD and 53 healthy control (HC) (Fig. 6A and Table S6-S9). The results showed that the protein levels and enzyme activities of blood SSAO and SARDH were elevated in MDD patients than healthy control (Fig. 6B-C); and the protein levels of FDH but not its activity were decreased (Fig. 6F, G). Unsurprisingly, there were markedly increased in the serum FA levels while decreased in the levels of coenzyme Q10 in MDD patients than control (Fig. 6H, I). These results were consistent with the report in the Metabolomics Database of MENDA, and confirmed that a decline in FA metabolism in depression animal models and MDD patients (Figure S19 and Supplementary text).Fig. 6Disorders of FA metabolism and FA accumulation in adolescent MDD patients.(A-G) The activity and protein levels of serum SSAO, SARDH and FDH detected by Elisa kits, respectively, n = 53 (HC). n = 56 (MDD). HC: healthy control, MDD: major depressive disorder, FDH: formaldehyde dehydrogenase; SARDH: sarcosine dehydrogenase, SSAO: semicarbazide-sensitive amine oxidase. (H-L) The levels of serum FA, Q10, 5-HT, DA and MT assessed by Elisa kits, respectively. (M-Q) Positive relationship between SSAO and HAMD, SSAO and FA, SARDH and HAMD, SARDH and FA, and FA and HAMD, respectively. (R-V) Negative relationship between FDH and FA, DA and FA, 5-HT and FA, and HA and FA, respectively. W Model of the disorders of FA metabolism in MDD patients. HA: hippuric acid; 5-HT: 5-Hydroxytryptamine; DA: dopamine, MT: melatonin, NS: no statistical significance; *p < 0.05; **p < 0.01; ***p < 0.001; ****p < 0.0001.\n(A-G) The activity and protein levels of serum SSAO, SARDH and FDH detected by Elisa kits, respectively, n = 53 (HC). n = 56 (MDD). HC: healthy control, MDD: major depressive disorder, FDH: formaldehyde dehydrogenase; SARDH: sarcosine dehydrogenase, SSAO: semicarbazide-sensitive amine oxidase. (H-L) The levels of serum FA, Q10, 5-HT, DA and MT assessed by Elisa kits, respectively. (M-Q) Positive relationship between SSAO and HAMD, SSAO and FA, SARDH and HAMD, SARDH and FA, and FA and HAMD, respectively. (R-V) Negative relationship between FDH and FA, DA and FA, 5-HT and FA, and HA and FA, respectively. W Model of the disorders of FA metabolism in MDD patients. HA: hippuric acid; 5-HT: 5-Hydroxytryptamine; DA: dopamine, MT: melatonin, NS: no statistical significance; *p < 0.05; **p < 0.01; ***p < 0.001; ****p < 0.0001.\nNotably, the levels of serum monoamines including 5-HT, DA and MT were declined in patients with MDD than healthy control (HC) (Fig. 6J-L). Furthermore, we found that there was a positive correlation between SSAO activity and depression severity (HAMD score), SSAO protein levels and FA contents, SARDH protein levels and HADM scores, SARDH protein levels and FA concentrations, FA levels and HAMD scores, respectively (Fig. 6M-Q). However, there was a negative correlation between FDH activity and HAMD scores, FDH activity and FA levels, DA levels and FA contents, 5-HT levels ad FA contents, hippuric acid (HA, hippurate) levels and FA concentrations in the blood of MDD patients (Fig. 6R-V). Consistently, there was a decline in the levels of monoamines in depression animal models and MDD patients (Data from the Metabolomics Database of MENDA) (Figure S20 and Supplementary text). These data confirmed that FA metabolism decline and FA accumulation in adolescent MDD, and suggesting that excessive FA inactivates 5-HT, DA and MT (Fig. 6W). Previous study has found that hippuric acid (HA, hippurate) in the urine or blood can act as a biomarker of gaseous FA exposure in animal models [57], especially, in patients with depression [58, 59]. Urinary HA is often used as a downstream biomarker of FA metabolism. When FA is increasingly consumed through reactions with these biomolecules rather than entering its canonical metabolic pathway, the changes in FA and HA may become decoupled. This may explain the inconsistency we observed in the MDD patients, where FA levels were elevated while HA did not show a corresponding increase.\n\n\n### Excitatory neurotransmitter-Glu induces FA generation in hippocampal neurons\nTo explore which organelle generates active FA after neuronal excitation, we examined the changes in FA fluorescence intensity by using FA fluorescent probes targeting different organelles including the endoplasmic reticulum (ER) [39], lysosome (LS) [40] and mitochondria (Mt) [41] (Fig. 1A-C). After incubation of the excitatory neurotransmitter- Glu in the cultured N2a cells, a marked elevation in FA fluorescence intensity was not observed in the ER and LS, but was seen in the Mt of cells (Fig. 1D-2F). To further confirm that this active FA is derived from mitochondria, the cytoplasmic (free) FA fluorescent probe-NaFA [42] and Rhodamine 123 (a fluorescent probe of mitochondrial transmembrane potential) were used (Figure S2A). In addition, Glu induced the elevation in NaFA fluorescence intensity co-localized with that of Rhodamine 123 (Figure S2B-C). Thus, active FA arises from the mitochondria.Fig. 1Excitatory neurotransmitter-Glu induces active FA generation in the mitochondria.A Endoplasmic reticulum -targeted FA probe. ER: endoplasmic reticulum. B Mitochondria-targeted FA probe. Mt: mitochondria. C Lysosome-targeted FA probe. LS: lysosome. (D, E, F) Changes in ER-, LS-, Mt-targeted FA fluorescence intensity elicited by Glu. Glu: glutamic acid. G SARDH activity, analyzed with a SARDH kit. n = 6, p < 0.01. (H, I) Changes in FA levels in cultured hippocampal neurons after treatment with MA, BAPTA and CysA. MA: Methoxyacetic acid, BAPTA: a kind of Ca2+ chelator, CysA: cyclosporine A (a blocker of mitochondrial permeability transition pores). n = 6, p < 0.01. J Cellular model of Glu-promoted Ca2+ influx and active FA generation.\nA Endoplasmic reticulum -targeted FA probe. ER: endoplasmic reticulum. B Mitochondria-targeted FA probe. Mt: mitochondria. C Lysosome-targeted FA probe. LS: lysosome. (D, E, F) Changes in ER-, LS-, Mt-targeted FA fluorescence intensity elicited by Glu. Glu: glutamic acid. G SARDH activity, analyzed with a SARDH kit. n = 6, p < 0.01. (H, I) Changes in FA levels in cultured hippocampal neurons after treatment with MA, BAPTA and CysA. MA: Methoxyacetic acid, BAPTA: a kind of Ca2+ chelator, CysA: cyclosporine A (a blocker of mitochondrial permeability transition pores). n = 6, p < 0.01. J Cellular model of Glu-promoted Ca2+ influx and active FA generation.\nMitochondrial SARDH catalyze sarcosine to “active FA” [43]. Thus, we examined the changes in SARDH activity and FA concentrations after Glu incubation. Glu clearly enhanced SARDH activity and FA generation, whereas the SARDH inhibitor methoxyacetic acid (MA) had opposite effects (Figs. 1G, H). Next, we found that Glu enhanced FA accumulation (Fig. 1I). However, both BAPTA (a Ca2+ chelator) and cyclosporine A (CysA, a blocker of mitochondrial permeability transition pores) decreased the Glu-promoted FA generation (Figs. 1I, J). These data suggest that active FA is Ca2+-dependent and derived from the mitochondrial SARDH.\n\n\n### Both acute organ stimulation and acute system stress induces FA generation in the hippocampal CA1\nTo address the key issue whether external stress stimulates FA generation in the hippocampus, the different kinds of acute stress, including: eugenol spray, strong flashing, white noise and inflammatory stimulus by intrahippocampal injection of lipopolysaccharide (LPS), were carried out in this study (Fig. 2A). Endogenous FA in the whole brain and the coronal section of the mice can be imaged by in-vivo animal imaging system with NaFA probe (a specific and sensitive probe of FA) [42, 44] (Fig. 2B). Our results showed that acute organ stress led to a marked elevation in FA fluorescent intensity in the hippocampal CA1 in both the whole brain and the coronary section (Fig. 2C-D). Sensory stimuli including: auditory, visual, olfactory and gustatory, can activate hippocampus [45]; and hippocampal CA1 is responsible for information integration and output [46], thus, acute stress could elicit FA generation in the hippocampal CA1.Fig. 2FA generation in the hippocampal CA1 in the wild-type mice after acute organ and acute system stress.A Acute organ stress including: eugenol spray, strong flashing, white noise and lipopolysaccharide (LPS) injection. (B, C) Elevation in the brain FA levels imaged and quantified by NaFA probe. Hip: hippocampus. n = 3. D Increase in the FA fluorescent intensity in the hippocampal CA1. E Acute system stress including: forced swimming, electrical shocking, tail pinching and physically restraint. F Imaging and quantification of hippocampal FA levels by NaFA probe and FA kits, respectively. n = 6. G Imaging of FA in the coronal section of brains. n = 3. (H, I) Imaging and quantification of hippocampal FA levels by NaFA probe. (J, K) Brain FA levels detected by FA kits and FA fluorescent intensity of hippocampal CA1 in the CUMS model mice, (L-O) Elevation in the levels of the brain SSAO and SARDH quantified by ELISA kits, respectively. SA: sarcosine. n = 6; *p < 0.05; **p < 0.01; ***p < 0.001.\nA Acute organ stress including: eugenol spray, strong flashing, white noise and lipopolysaccharide (LPS) injection. (B, C) Elevation in the brain FA levels imaged and quantified by NaFA probe. Hip: hippocampus. n = 3. D Increase in the FA fluorescent intensity in the hippocampal CA1. E Acute system stress including: forced swimming, electrical shocking, tail pinching and physically restraint. F Imaging and quantification of hippocampal FA levels by NaFA probe and FA kits, respectively. n = 6. G Imaging of FA in the coronal section of brains. n = 3. (H, I) Imaging and quantification of hippocampal FA levels by NaFA probe. (J, K) Brain FA levels detected by FA kits and FA fluorescent intensity of hippocampal CA1 in the CUMS model mice, (L-O) Elevation in the levels of the brain SSAO and SARDH quantified by ELISA kits, respectively. SA: sarcosine. n = 6; *p < 0.05; **p < 0.01; ***p < 0.001.\nTo address another question whether the different kinds of chronic system stress can elicit brain FA generation, we compared FA fluorescent intensity in both the whole brains and the coronal sections of the brains after acute system stress, including: tail pinching, electrical shocking, forced swimming, and physically restraint (Fig. 2E). These chronic stimuli were used to make the CUMS model mice [47] (Figure S3 and Table S1). External stress elicits FA generation in the brain [30, 32]. As expected, acute system stress led to 5-fold elevation in FA fluorescent intensity in the whole brains and the coronal section quantified by using the in-vivo animal imaging system and the immunofluorescence histochemistry, respectively (Fig. 2F-K). Further, we found that in the CUMS model, the protein levels of FA-generating enzymes (including SSAO and SARDH [32]), were markedly elevated in the brains (Fig. 2L-O). Thus, acute and chronic stress can induce FA accumulation in the hippocampal CA1.\n\n\n### Both acute infusion and chronic injection of FA cause depressive-like behaviors in mice\nTo investigate whether stress-derived FA directly leads to depression onset, the wild-type mice were bilaterally injected 10 mM FA (BI-FA) into hippocampus CA1 for consecutive 14 days (Figs. 3A, B). Compared with the control mice, the mice treated with BI-FA had a longer time of immobility in both TST and FST (Figs. 3C, D); while a decreased sucrose consumption in the SPT, respectively (Fig. 3E). Using in-vivo animal imaging system with NaFA probe, we found that the mice with BI-FA exhibited an elevation in the levels of hippocampal FA fluorescent intensity (Figs. 3F, G). Unsurprisingly, there was a decline in the levels of 5-HT, DA, and MT in the hippocampus of the mice treated with BI-FA than the control mice (Fig. 3H-J). These data indicate that excessive FA may reduce hippocampal monoamine and lead to depression.Fig. 3Both acute and chronic injection of FA induce depressive-like behaviors in mice.A Experimental procedure for intrahippocampal infusion of FA into the mice for consecutive 14 days. B Stereo positioning of FA injection. (C-E) Behaviors assessed by tail suspension test (TST), forced swimming test (FST), and sucrose preference test (SPT), respectively, n = 6 ~ 10. (F, G) Imaging of brain FA levels by NaFA probe and FA kits, respectively. n = 6 ~ 8. (H-J) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. K Experimental procedure of chronic intraperitoneal injection (i.p.) of FA at 0, 5 and 10 mM for 28 days, respectively. n = 10 per group. (L-O) Behaviors assessed by FST, TST, SPT and open field test (OFT), respectively, n = 8 ~ 10. P Hippocampal neurons damaged by FA in vitro and in vivo. (Q, R) Imaging and quantification of brain FA by NaFA probe and FA kits, respectively. n = 6 ~ 8. (S-U) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. *p < 0.05; **p < 0.01; ***p < 0.001.\nA Experimental procedure for intrahippocampal infusion of FA into the mice for consecutive 14 days. B Stereo positioning of FA injection. (C-E) Behaviors assessed by tail suspension test (TST), forced swimming test (FST), and sucrose preference test (SPT), respectively, n = 6 ~ 10. (F, G) Imaging of brain FA levels by NaFA probe and FA kits, respectively. n = 6 ~ 8. (H-J) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. K Experimental procedure of chronic intraperitoneal injection (i.p.) of FA at 0, 5 and 10 mM for 28 days, respectively. n = 10 per group. (L-O) Behaviors assessed by FST, TST, SPT and open field test (OFT), respectively, n = 8 ~ 10. P Hippocampal neurons damaged by FA in vitro and in vivo. (Q, R) Imaging and quantification of brain FA by NaFA probe and FA kits, respectively. n = 6 ~ 8. (S-U) Hippocampal 5-HT, DA and MT detected by ELISA kits, respectively. *p < 0.05; **p < 0.01; ***p < 0.001.\nTo address whether excessive FA in the hippocampus is the triggering factor for chronic depression onset, three groups of wild-type mice were intraperitoneally injected with FA at 0, 5 and 10 mM for the consecutive 28 days, respectively; and depressive-like behaviors and hippocampal monoamines were assessed (Fig. 3K). The i.p. injection of FA also increased the immobility time in both FST and TST (Figs. 3L, M), while decreased sucrose consumption in the SPT and staying time in center in the OFT (Figs. 3N, O). Moreover, we found that FA at high levels (5 mM) caused neuron death in the isolated cultured hippocampal neurons and the hippocampal CA1 in the FA-injected mice (Fig. 3P). Thus, excessive FA could impair hippocampal CA1 structure.\nPrevious studies have found that system intraperitoneal injection (i.p.) of FA as a small molecule can rapidly penetrate into the blood-brain barrier (BBB) and brain tissues [48, 49]. As expected, these mice with system injection of FA at 5 and 10 mM exhibited an elevation in the levels of hippocampal FA fluorescent intensity, respectively (Figs. 3Q, R). There was a decline in the levels of 5-HT, DA, and MT in the hippocampus of FA-injected mice than the control mice (Fig. 3S-U). These data confirmed that excessive FA leads to depression associated with reduce hippocampal monoamines.\n\n\n### Excessive FA induces monoamine inactivation and inhibits the discharge of hippocampal CA1\nTo explore the critical role of stress-derived FA on depression onset, we first prepared the classic CUMS model mice (Fig. 4A). After 4-weeks of CUMS, the CUMS mice displayed a decline in body weight (Figs. 4B, C) an increase in immobility time in both FST and TST (Figs. 4D, E); while a decrease in both the sucrose consumption in the SPT and OFT when compared to the control mice (Fig. 4F-H). Remarkably, the concentrations of 5-HT, DA, and MT in the hippocampus of the CUMS mice were declined than the control mice (Fig. 4I-K). These data indicate that CUMS leads to depressive-like behaviors associated with FA overload and monoamine deficiency.Fig. 4Changes in the levels of hippocampal FA and monoamines and neuronal excitability in the CUMS model mice.A Experimental procedure for preparing CUMS model mice for 28 days. (B, C) Change in the bod. n = 10. (D-H) Behaviors assessed by forced swimming test (FST), tail suspension test (TST), sucrose preference test (SPT) and open field test (OFT), respectively, n = 10. (I-K) Hippocampal 5-HT, DA and MT detected by ELISA kits. n = 6. (L-U) Derivatives of the chemical reactions between FA and 5-HT, DA and MT. FA: formaldehyde (L) in the pure chemical solutions detected by fluorescence spectrophotometer (M-O), GC-MS/MS (P-R), and ELISA kit (S-U), respectively. GC-MS/MS: Gas chromatography-mass spectrometry. (V-X) Discharge of hippocampal CA1 inhibited by FA dose-dependently. BL: baseline. *p < 0.05; **p < 0.01; ***p < 0.001.\nA Experimental procedure for preparing CUMS model mice for 28 days. (B, C) Change in the bod. n = 10. (D-H) Behaviors assessed by forced swimming test (FST), tail suspension test (TST), sucrose preference test (SPT) and open field test (OFT), respectively, n = 10. (I-K) Hippocampal 5-HT, DA and MT detected by ELISA kits. n = 6. (L-U) Derivatives of the chemical reactions between FA and 5-HT, DA and MT. FA: formaldehyde (L) in the pure chemical solutions detected by fluorescence spectrophotometer (M-O), GC-MS/MS (P-R), and ELISA kit (S-U), respectively. GC-MS/MS: Gas chromatography-mass spectrometry. (V-X) Discharge of hippocampal CA1 inhibited by FA dose-dependently. BL: baseline. *p < 0.05; **p < 0.01; ***p < 0.001.\nTo examine the potential direct impact of FA on the depletion of monoamines (specifically 5-HT, DA, and MT) in the hippocampus of mice, we conducted an experiment involving the combination of a pure FA chemical reagent solution with separate solutions of 5-HT, DA, and MT, and the changes in FA concentrations were quantified using a fluorescence spectrophotometer equipped with NaFA probe, while the reaction derivatives were analyzed using Gas Chromatography-Mass Spectrometry (GC-MS/MS) (Fig. 4L). We found that FA levels were markedly declined in the mixed pure solutions of FA and 5-HT (1:1), FA and DA (1:1); FA and MT (1:1) under room temperature, 24 h, pH = 7.4, respectively (Fig. 4M-O).\nFurther, the results of GC-MS/MS revealed that the H+- added ion peak of the reaction derivant of 5-HT was about 210.1700 (Fig. 4P and Figure S4); DA derivant: 171.1492 (Fig. 4Q and Figure S5); and MT derivant: 254.1963 (Fig. 4R and Figure S6). To validate these findings, the ELISA kits were subsequently employed to measure the concentrations of the monoamines (5-HT, DA, and MT) and FA in mixed solutions at a ratio of 1:1, under the same conditions. The outcomes demonstrated a significant decrease in the levels of these monoamines in the mixed pure solutions compared to the solutions containing solely monoamines (Fig. 4S-U).\nTo investigate the effects of excessive FA on the functions of hippocampal CA1 in the mice, the brain slices were used to record the spontaneous discharge in the hippocamp neurons. The results showed that there was a dose-dependent decline in the neuronal excitability of hippocampal CA1 in wild-type mice (Fig. 4V-X and Figure S7A-D). We also found that the inhibited effects on discharges by 5 mM FA could recover after washout; while FA at 10 mM led to a unreversed impairment of discharge in hippocampal neurons (Figure S7E-H). These data offer compelling evidence that stress-derived FA not only damages the structure but also impair the functions of hippocampal CA1.\n\n\n### Relationship between endogenous/endogenous factors and FA-related depression identified by Meta-analysis\nTo address the critical question which is the resource of endogenous FA, we collected the references involved in FA-related depression and used the Meta-analysis to explore the relationship between environmental pollution, stress and genes and FA accumulation/ depression. The results showed that gaseous FA exposure obviously increased the risk of depression onset (Mean difference: 2.58 [1.77, 3.39], Test for overall effect: Z = 6.23, p < 0.00001) (Figure S8A and Figure S9). Deep-sea fish are frequently contaminated with methylmercury and mercury; however, methylmercury can induce FA accumulation in the body [50–52]. Unsurprisingly, this pollutant also enhanced the risk of depression occurrence (Mean difference: 0.24 [0.07, 0.40], Test for overall effect: Z = 2.84, p = 0.004) (Figure S8B and Figure S10). These data indicate that environmental pollution can induce FA overload and increase depression risk.\nPrevious study has shown that stress of the weightless state in space flight can induce human depression [53]. The results of Meta-analysis indicate that weightless stress increased the risk of depression in animals (Mean difference: 2.21 [0.63, 3.378, Test for overall effect: Z = 2.75, p = 0.006) (Figure S8C and Figure S11). Further, we also found that the FA-degrading enzyme- ALDH2 deficiency enhanced depression occurrence (Odds Ratio: 2.89 [1.40, 5.94], Test for overall effect: Z = 2.88, p = 0.004) (Figure S8D and Figure S12). The abnormalities of FA-generating enzymes including: MAO-A and P450 increased the risk of depression onset (MAO-A: Odds Ratio: 1.46 [1.22, 1.74], Test for overall effect: Z = 4.19, p < 0.00001; P450: Odds Ratio: 2.42 [1.61, 3.63], Test for overall effect: Z = 4.27, p < 0.00001) (Figure S8E, F, Figure S13 and Figure S14). Thus, exogenous and endogenous factors, such as: environmental pollution, stress and genes, affect FA metabolism and most like are involved in the high-risk of depression (Figure S8G-I).\n\n\n### Stress-related depression and hippocampal CA1 damage in adolescent MDD\nTo establish the relationship between stress and MDD in human, we first collected and analyzed the references about stress and depression occurrence. The results of Meta-analysis indicate that stressful life events increased the risk of depression in human (Odds Ratio: 4.50 [03.54, 5.72], Test for overall effect: Z = 12.31, p < 0.00001) (Figure S15).\nThen we used two kinds of weightless stress model in mouse and human to indicate that stress can affect hippocampus. Using the mouse model of hindlimb unloading which simulates weightless [32] (Fig. 5A, Left), there was a decline in the body weight (Figure S16A, B), an increase in brain FA levels (Fig. 5A, Right) while a time-dependently decrease in sucrose preferences (Fig. 5B), and immobility times (Figure S16C) in the SM mice than control mice. Hence, stress induce depression in mice by impairing hippocampal CA1 and inactivating monoamines (Fig. 5C).Fig. 5Stress-mediated depression and -damaged hippocampal CA1 in adolescent MDD.A Changes in hippocampal FA levels on day 7 and 14 in the mice under simulated weightless by hindlimb unloading, respectively. B Depression-like behaviors evaluated by sugar preference test. C Model of stress-induced depression in mice by damaging hippocampal CA1 and inactivating monoamines. (D-F) Changes in brain functions by MRI (D), depression (BDI) scores (E), and urine FA levels (F) on day 20 and 45 in the volunteers under simulated weightlessness by HDT experiments, respectively. BDI: Beck Depression Inventory; HDT: Head-down Tilt; SM: simulated microgravity. G Meta-analysis of hippocampal atrophy in MDD. H The segmentation of hippocampus structure. I Quantification of hippocampal volumes in the adolescent MDD from Imaging Database of Enhancing neuroimaging genetics through Meta-analysis (ENIGMA). n = 72 (HC); n = 73 (MDD). HC: human controls; MDD: major depressive disorder. **p < 0.01; ***p < 0.001.\nA Changes in hippocampal FA levels on day 7 and 14 in the mice under simulated weightless by hindlimb unloading, respectively. B Depression-like behaviors evaluated by sugar preference test. C Model of stress-induced depression in mice by damaging hippocampal CA1 and inactivating monoamines. (D-F) Changes in brain functions by MRI (D), depression (BDI) scores (E), and urine FA levels (F) on day 20 and 45 in the volunteers under simulated weightlessness by HDT experiments, respectively. BDI: Beck Depression Inventory; HDT: Head-down Tilt; SM: simulated microgravity. G Meta-analysis of hippocampal atrophy in MDD. H The segmentation of hippocampus structure. I Quantification of hippocampal volumes in the adolescent MDD from Imaging Database of Enhancing neuroimaging genetics through Meta-analysis (ENIGMA). n = 72 (HC); n = 73 (MDD). HC: human controls; MDD: major depressive disorder. **p < 0.01; ***p < 0.001.\nIt has been reported that weightless stress under simulated microgravity (SM) in space flight can induce human depression on day 20 without entertainment [53]; while other study showed that this depressive mood can be recovery on day 45 with entertainment in the volunteers with Head-down Tilt (HDT) [54], we repeated these experiments, imaged brain functions by MRI, examined depression severity assessed by using Beck Depression Inventory (BDI), detected urine FA levels by HPLC. The results showed that weightless stress led to a marked increase in hippocampal activity on day 20 but decrease in it on day 45 in humans (Fig. 5D). Meanwhile, there was a common trend of depressive state (Fig. 5E), and urine FA levels with an initial elevation on day 20 and then recovery to baseline on day 45 (Fig. 5F), suggesting that entertainment could alleviate depressive symptoms. In a word, stress affects hippocampal functions and FA concentrations.\nAlthough the debate on whether the impaired hippocampus induced depression or whether depression induced hippocampal damage is inconclusive, hippocampus impairments have been observed in the early stage of MDD patients [22, 55]. The results of Meta-analysis indicate that hippocampal atrophy indeed increased the risk of depression in MDD patients (Mean Difference: −167.98 [−211.14, −124.521], Test for overall effect: Z = 7.58, p < 0.00001) (Fig. 5G, Figure S17 and Figure S18).\nFurther, we quantified hippocampal volumes from imaging Database of ENIGMA, and found that atrophy of whole hippocampus in 73 adolescent MDD than 72 HC (Table S2-S5); especially, the volumes of hippocampal CA1 but not CA3 and DG were markedly reduced than that of right region of hippocampus (Figs. 5H, I and Table S6). In summary, our above data suggest that stress-derived FA could impair hippocampal CA1 and then leads to depression in adolescent patients.\n\n\n### Disorders of FA-metabolizing enzymes and FA levels-linked depression severity in adolescent MDD\nTo investigate the relationship between endogenous FA and depression, we first examined the levels of protein expression and activities of FA-metabolizing enzymes including: FA-generating enzyme: SSAO and sarcosine dehydrogenase (SARDH); FA-degrading enzyme: FDH, and the levels of FA and coenzyme Q10 (an endogenous FA scavenger [56]) in 55 patients with MDD and 53 healthy control (HC) (Fig. 6A and Table S6-S9). The results showed that the protein levels and enzyme activities of blood SSAO and SARDH were elevated in MDD patients than healthy control (Fig. 6B-C); and the protein levels of FDH but not its activity were decreased (Fig. 6F, G). Unsurprisingly, there were markedly increased in the serum FA levels while decreased in the levels of coenzyme Q10 in MDD patients than control (Fig. 6H, I). These results were consistent with the report in the Metabolomics Database of MENDA, and confirmed that a decline in FA metabolism in depression animal models and MDD patients (Figure S19 and Supplementary text).Fig. 6Disorders of FA metabolism and FA accumulation in adolescent MDD patients.(A-G) The activity and protein levels of serum SSAO, SARDH and FDH detected by Elisa kits, respectively, n = 53 (HC). n = 56 (MDD). HC: healthy control, MDD: major depressive disorder, FDH: formaldehyde dehydrogenase; SARDH: sarcosine dehydrogenase, SSAO: semicarbazide-sensitive amine oxidase. (H-L) The levels of serum FA, Q10, 5-HT, DA and MT assessed by Elisa kits, respectively. (M-Q) Positive relationship between SSAO and HAMD, SSAO and FA, SARDH and HAMD, SARDH and FA, and FA and HAMD, respectively. (R-V) Negative relationship between FDH and FA, DA and FA, 5-HT and FA, and HA and FA, respectively. W Model of the disorders of FA metabolism in MDD patients. HA: hippuric acid; 5-HT: 5-Hydroxytryptamine; DA: dopamine, MT: melatonin, NS: no statistical significance; *p < 0.05; **p < 0.01; ***p < 0.001; ****p < 0.0001.\n(A-G) The activity and protein levels of serum SSAO, SARDH and FDH detected by Elisa kits, respectively, n = 53 (HC). n = 56 (MDD). HC: healthy control, MDD: major depressive disorder, FDH: formaldehyde dehydrogenase; SARDH: sarcosine dehydrogenase, SSAO: semicarbazide-sensitive amine oxidase. (H-L) The levels of serum FA, Q10, 5-HT, DA and MT assessed by Elisa kits, respectively. (M-Q) Positive relationship between SSAO and HAMD, SSAO and FA, SARDH and HAMD, SARDH and FA, and FA and HAMD, respectively. (R-V) Negative relationship between FDH and FA, DA and FA, 5-HT and FA, and HA and FA, respectively. W Model of the disorders of FA metabolism in MDD patients. HA: hippuric acid; 5-HT: 5-Hydroxytryptamine; DA: dopamine, MT: melatonin, NS: no statistical significance; *p < 0.05; **p < 0.01; ***p < 0.001; ****p < 0.0001.\nNotably, the levels of serum monoamines including 5-HT, DA and MT were declined in patients with MDD than healthy control (HC) (Fig. 6J-L). Furthermore, we found that there was a positive correlation between SSAO activity and depression severity (HAMD score), SSAO protein levels and FA contents, SARDH protein levels and HADM scores, SARDH protein levels and FA concentrations, FA levels and HAMD scores, respectively (Fig. 6M-Q). However, there was a negative correlation between FDH activity and HAMD scores, FDH activity and FA levels, DA levels and FA contents, 5-HT levels ad FA contents, hippuric acid (HA, hippurate) levels and FA concentrations in the blood of MDD patients (Fig. 6R-V). Consistently, there was a decline in the levels of monoamines in depression animal models and MDD patients (Data from the Metabolomics Database of MENDA) (Figure S20 and Supplementary text). These data confirmed that FA metabolism decline and FA accumulation in adolescent MDD, and suggesting that excessive FA inactivates 5-HT, DA and MT (Fig. 6W). Previous study has found that hippuric acid (HA, hippurate) in the urine or blood can act as a biomarker of gaseous FA exposure in animal models [57], especially, in patients with depression [58, 59]. Urinary HA is often used as a downstream biomarker of FA metabolism. When FA is increasingly consumed through reactions with these biomolecules rather than entering its canonical metabolic pathway, the changes in FA and HA may become decoupled. This may explain the inconsistency we observed in the MDD patients, where FA levels were elevated while HA did not show a corresponding increase.\n\n\n### Discussion\nAlthough endogenous FA can been detected in the brains of healthy adult mice, rats, and humans [60, 61], its physiopathological functions are unknown. In this study, we found that endogenous FA levels were elevated in adolescent MDD patients than healthy control. Especially, various external acute organ stressors and chronic system stressors can elicit the generation or accumulation of FA in the hippocampal CA1 region. In our long-term head-down bed rest study simulating microgravity, this manipulation can be regarded as an external stress environment. Along the timeline of 0, 20, and 45 days, both BDI scores and urinary FA levels exhibited significant synchronous fluctuations: both increased at day 20 and then declined toward baseline by day 45. This temporal pattern is consistent with the trend observed in MRI results, where signal activity first increased and then recovered. Specifically, exposure to stress led to heightened neural excitability, manifested as enhanced MRI signals, accompanied by a rapid accumulation of FA and elevated BDI scores. Once the stress was removed or adaptation occurred, neural activity gradually returned to physiological levels, with corresponding reductions in MRI signals and FA/BDI levels. This coupling among psychiatric symptoms, FA metabolism, and neuroimaging provides important evidence supporting the role of FA in the pathophysiology of depression and highlights FA as a potential target for subsequent research. Unexpectedly, excessive FA not only directly inactivated monoamines (5-HT, DA, and MT), but also induced neuron death and reduced neuronal excitability in hippocampal CA1. Hence, FA resulting from chronic stress triggers depression onset (Figure S21).\nHippocampus exhibits a high susceptibility to external stress [62], it has been observed to be damaged in both depression model mice with chronic social defeat stress and MDD patients in the early stages of depression [22, 55]. Notably, hippocampal CA1 is responsible for information integration and output [46], it plays a crucial role in transmitting sensory stimulus signals to the dorsal raphe nuclei (DRN) through serotonergic nerve fibers (5-HT-nergic fibers) and to the ventral tegmental area (VTA) through dopaminergic nerve fibers (DA-nergic fibers) [63–65]. Hippocampal dentate gyrus (DG) receives external multisensory inputs [66], and outputs these neuronal signaling to CA1 [67]. More importantly, hippocampal CA1 conducts the sensory information to medial prefrontal cortex (mPFC) to generate feeling [68]. Hence, hippocampal signaling-projected to mPFC is involved in mood status including depression and anxiety [68, 69] (Figure S21). Impairments of hippocampal CA1 underlies mood instability in depressed patients [70, 71]. In this study, microinfusion of FA into hippocampal CA1 directly led to depression-like behaviors, confirmed that the CA1 region is the target damaged by stress-derived FA. Mechanistically, in acute depression, the activation of SSAO and SARDH promotes the breakdown of their substrates, resulting in formaldehyde production. When formaldehyde levels exceed the physiological regulatory range, acute depressive symptoms may emerge. Under chronic stress conditions, as shown in Fig. 2M and Fig. 2O, sustained upregulation of SSAO and SARDH leads to persistently elevated formaldehyde levels, which in turn contribute to the onset and progression of chronic depression.\nAnother intriguing finding is that the concentrations of hippocampal FA determine the potential for reversing clinical depression. It has been reported that the depressive-like behaviors in CUMS models exhibit a capacity for self-recovery within a span of one month [72, 73]. In this study, FA at 5 mM effectively suppressed hippocampal excitability in brain slices; however, this effect could be reversed by washing out the FA. On the contrary, the inhibitory effect on hippocampal excitability caused by injection of FA 10 mM was found to be irreversible (Fig. 4V-X). Our results were similar with previous report [74]. Furthermore, i.p. injection of FA at 10 mM resulted in more severe depressive symptoms compared with the application of 5 mM FA (Fig. 3L-O). However, after one month of home-caged rearing, both the mice subjected to CUMS and those injected with 5 mM FA showed an improvement in depressive symptoms, whereas the mice injected with 10 mM FA did not exhibit such improvement (Figure S22A-E). Especially, the levels of hippocampal FA, DA, 5-HT and MT in these mice injected with 10 mM FA were not recovered on the 30th day (Figure S22F-I). Furthermore, CUMS could elicit the generation of FA at 5 mM; however, brain FA levels in CUMS mice as well as the mice injected with 5 mM FA could recover to baseline in the hippocampus, midbrain and cortex (Figure S23). Hence, hippocampal FA concentrations determine depression severity. From a clinical perspective, this dose-dependent difference may reflect the heterogeneity of recovery observed in patients with acute depression. While some patients achieve full remission with symptom resolution to near-healthy levels, others only show partial remission, with residual symptoms persisting or progressing toward chronic or recurrent forms. Our findings may therefore provide a potential biological basis for these diverse clinical outcomes, indicating that FA burden and the extent of neuronal injury could be critical factors influencing recovery.\nSeveral neuroimaging studies have reported that patients with depression frequently exhibit marked atrophy or deformation in the hippocampal CA1 region, and these structural abnormalities are closely associated with memory impairment. For instance, subfield analyses in patients with MDD revealed bilateral CA1 volume reduction, which was correlated with cognitive decline [75, 76]. Moreover, longer illness duration has been linked to greater overall hippocampal volume loss, suggesting that CA1 may play a critical role in early and persistent depression [77]. Consistently, animal studies have shown that chronic stress preferentially damages dendritic structures and synaptic density in CA1, leading to both cognitive deficits and emotional disturbances [78]. These degenerative changes in CA1 are of particular importance for spatial memory and emotion regulation.\nIn line with these findings, our study demonstrates that excessive FA accumulation within the CA1 region induces monoamine inactivation and neuronal damage. We propose that this molecular mechanism may underlie the structural and functional abnormalities observed in the CA1 region of patients with depression. Together, this provides a complete framework from molecular alterations to functional impairment and finally to structural degeneration, thereby supporting the hypothesis that CA1 damage represents an early event in depression and offering a plausible explanation for the widespread memory decline observed in affected patient.\n\n\n### Conclusions\nChronic stress can induce the generation and accumulation of endogenous FA in the hippocampal CA1. Especially, the concentrations of FA in the hippocampal CA1 predict depression severity, thereby implying that scavenging of FA is a promising strategy for treating adolescent MDD.\n\n\n### Mehods and materials\nAll behavioral and biochemical experiments were carried out using male C57BL/6 J mice aged 10 to 12 weeks, which were obtained from Beijing Vital River Laboratory Animal Technology Co., Ltd., Beijing, China. The mice were acclimated in the laboratory for a minimum of one week before the commencement of the experiments. All procedures were conducted and analyzed in a blinded manner with respect to treatment. A controlled environment with regulated temperature and humidity (23 ± 2 °C) was provided for housing four mice per cage, with access to food and water available ad libitum. All animal experimental procedures were conducted in compliance with the Guide for the Institutional Animal Care Committee (IACC) at the Oujiang Laboratory and the Wenzhou Medical University (#wydwu2022-0545).\nThis clinical study received approval from the Ethics Committee of The Kangning Hospital, Wenzhou Medical University, Wenzhou, China (#KY2023-039). The study was registered at the Chinese Clinical Trial Registry (http://www.chictr.org/cn, Unique Identifier: ChiCTR2400087088). In this study, 55 (22 male and 33 female) patients with average 21 ± 2.51 years initially diagnosed with major depressive disorder (MDD) and 53 (21 male and 32 female) healthy control 20 ± 3.46 years were recruited. Prior to participation, informed consent was obtained from each participant or their legal guardian.\nThe subjects were 16 healthy non-smoking volunteers (Male: Female = 1:1), with technical secondary school education or above. Age between 20 and 24 years (22. 24 ± 1. 56), height 158 ~ 176 cm (169. 21 ± 5. 32), and weight 51 ~ 70 kg (65. 31 ± 3. 87). No special medical history, no history of mental illness and mental disorders. Normal vision or corrected vision, both are right-handed, non-athletes. The participants provided their written informed consent to participate in this study. Head-down Tilt experiments (HDT) were carried out as previous report [79].\nFor a more detailed description of the methods in the studies of animals and humans, please see the Supplement Information.\n\n\n### Animal experimentation\nAll behavioral and biochemical experiments were carried out using male C57BL/6 J mice aged 10 to 12 weeks, which were obtained from Beijing Vital River Laboratory Animal Technology Co., Ltd., Beijing, China. The mice were acclimated in the laboratory for a minimum of one week before the commencement of the experiments. All procedures were conducted and analyzed in a blinded manner with respect to treatment. A controlled environment with regulated temperature and humidity (23 ± 2 °C) was provided for housing four mice per cage, with access to food and water available ad libitum. All animal experimental procedures were conducted in compliance with the Guide for the Institutional Animal Care Committee (IACC) at the Oujiang Laboratory and the Wenzhou Medical University (#wydwu2022-0545).\n\n\n### Clinical data source and study participants\nThis clinical study received approval from the Ethics Committee of The Kangning Hospital, Wenzhou Medical University, Wenzhou, China (#KY2023-039). The study was registered at the Chinese Clinical Trial Registry (http://www.chictr.org/cn, Unique Identifier: ChiCTR2400087088). In this study, 55 (22 male and 33 female) patients with average 21 ± 2.51 years initially diagnosed with major depressive disorder (MDD) and 53 (21 male and 32 female) healthy control 20 ± 3.46 years were recruited. Prior to participation, informed consent was obtained from each participant or their legal guardian.\n\n\n### Weightless stress model in in adolescent volunteers with HDT\nThe subjects were 16 healthy non-smoking volunteers (Male: Female = 1:1), with technical secondary school education or above. Age between 20 and 24 years (22. 24 ± 1. 56), height 158 ~ 176 cm (169. 21 ± 5. 32), and weight 51 ~ 70 kg (65. 31 ± 3. 87). No special medical history, no history of mental illness and mental disorders. Normal vision or corrected vision, both are right-handed, non-athletes. The participants provided their written informed consent to participate in this study. Head-down Tilt experiments (HDT) were carried out as previous report [79].\nFor a more detailed description of the methods in the studies of animals and humans, please see the Supplement Information.\n\n\n### Supplementary information\nSupplementary text\nSupplementary figures\nSupplementary tables\nSupplementary text\nSupplementary figures\nSupplementary tables", "domain": "affective_neuroscience"}
{"source": "PMC12823266", "title": "Antidepressant-like effects of extinction learning as an animal model of behavioral therapy", "text": "# Antidepressant-like effects of extinction learning as an animal model of behavioral therapy\n\n## Abstract\nExposure-based behavioral therapy, the most effective treatment for posttraumatic stress disorder (PTSD), also reduces depressive symptoms. However, neurobiological mechanisms underlying the beneficial effects of exposure-based behavioral therapy on depression remain unknown. Our lab has established fear extinction as a rat model of exposure therapy to investigate the mechanisms underlying its therapeutic behavioral effects in chronically stressed rats. In this study, we demonstrated that extinction learning reduced immobility in the forced-swim test and reversed chronic stress-induced reduction in sucrose preference. Chemogenetic inactivation of pyramidal neurons in the ventral medial prefrontal cortex (vmPFC) prevented these antidepressant-like effects of extinction. Extinction learning enhanced synaptic plasticity, reflected by enhanced optogenetically-induced long-term potentiation of mPFC responses evoked by stimulation of the afferent input from the mediodorsal thalamus (MDT). These results suggest that activity-dependent neuroplasticity induced in vmPFC by extinction learning may contribute to its antidepressant-like effects after chronic stress.\n\n## Full Text\n\n\n### Introduction\nMajor depressive disorder (MDD) and posttraumatic stress disorder (PTSD) are complex psychiatric illnesses, which affect about 20 and 8% of the US population in their lifetime, respectively, and produce serious economic burden on society [1, 2]. PTSD and MDD are highly comorbid, with approximately 50% of patients with PTSD also having symptoms of depression [3]. Co-occurrence of PTSD with MDD is associated with greater symptom severity, higher levels of suicidality, and poor response to treatment compared to those diagnosed with either disorder alone [4–6]. However, the pathophysiology of these comorbid disorders is still poorly understood, and treatment for PTSD with MDD remains inadequate.\nExposure-based behavioral therapy is currently the most effective treatment for PTSD [7]. Exposure therapy is based on fear extinction, through which repeated exposure to a fear-provoking stimulus in a safe environment reduces maladaptive stress responses elicited by reminders of the stimulus [8]. Clinical studies show that exposure therapy also improves symptoms of co-occurring depression in PTSD patients [9, 10]. Behavioral therapy with exposure processing reduces depressive symptoms in patients with MDD by targeting experiential avoidance [11]. Therefore, understanding the neurobiological mechanisms by which exposure therapy exerts effects on depressive symptoms may inform more effective treatments for comorbid PTSD and MDD.\nChronic stress is a risk factor for many psychiatric conditions, including MDD and PTSD [12]. Chronic unpredictable stress (CUS) is used in rodents to investigate the pathophysiology of stress-related psychiatric disorders, and to inform new treatment strategies [13]. Our lab has previously established fear extinction as a rodent model for exposure therapy after CUS [14–16]. Fear extinction restored adaptive active coping in the shock probe test and improved cognitive flexibility after CUS, which model symptom dimensions of comorbid MDD and PTSD [14, 15]. The beneficial effects of extinction learning were prevented by inhibiting pyramidal cell activity and protein synthesis in the ventromedial prefrontal cortex (vmPFC) [14, 15], demonstrating that the vmPFC is an important substrate for the therapeutic effects of fear extinction as a model of exposure therapy.\nDysfunction of the PFC is also implicated in MDD. Studies indicate decreased volume of the PFC, along with decreased neuronal size and altered dendritic structure in patients with MDD [17, 18]. Reduced PFC activity and impaired cortical long-term potentiation (LTP)-like plasticity have been observed in patients with MDD [19, 20]. Antidepressant treatment increased cortical excitability associated with symptom improvement [21]. In rodents, CUS decreased spine density and dendritic elaboration of mPFC pyramidal neurons [22–25], and attenuated local field potentials (LFPs) evoked in mPFC by stimulation of the mediodorsal thalamus (MDT) [26, 27]. Optogenetically-induced long-term depression (opto-LTD) of this same pathway reproduced the MDD-like cognitive deficits induced by CUS [26]. By contrast, stimulation of the mPFC or optogenetic LTP of the MDT afferent to mPFC produced antidepressant-like effects [26]. We further showed that therapeutic effects of extinction on cognitive flexibility were reversed by blocking brain-derived neurotrophic factor (BDNF) signaling in the vmPFC of chronically stressed rats [16]. As BDNF is involved in synaptic plasticity [28], we hypothesize that extinction exerts its therapeutic effects in reversing stress-induced behavioral deficits by promoting or restoring functional and structural plasticity in the vmPFC.\nIn the current study, we first extended the characterization of extinction as a model of exposure therapy to include effects on other behavioral changes that model aspects of depression and depression comorbid with PTSD, including immobility on the forced swim test (FST), widely used as an indicator of antidepressant efficacy, and CUS-induced reduction in sucrose preference as a measure of anhedonia. Then we employed a chemogenetic approach to selectively inhibit pyramidal neurons in the vmPFC, (infralimbic (IL) and ventral prelimbic (PL) cortex), the functional homolog of human vmPFC implicated in depression [29, 30], to determine its role in the antidepressant-like effects of extinction learning. Further, we explored effects of extinction learning on CUS-induced changes in synaptic plasticity in the vmPFC measured by optogenetically-induced LTP in the afferent pathway from MDT to vmPFC. Portions of this work have been presented in abstract form [31, 32].\n\n\n### Materials and methods\nInitial group size targets were estimated by power analysis: an estimated mean difference of 36% with standard deviation 24% (effect size = 1.5) will be detected at p < 0.05 by a two-tailed test with power = 0.90 with n = 12/group. 338 adult male (164) and female (174) Sprague–Dawley rats (Envigo, Indianapolis, IN) were housed in same-sex groups of 2-3 on a 12/12 h light/dark cycle (lights on at 0700 h) with food and water ad libitum. Rats were 225-249 g at the time of arrival and acclimated at least 1 week before experiments began. Behavioral tests were performed between 10:00-14:00 in procedure rooms adjacent to the housing room. All procedures were conducted in accordance with National Institutes of Health guidelines and approved by the Institutional Animal Care and Use Committee of the University of Texas Health Science Center at San Antonio. Wherever possible, experimenters were blind to treatment conditions of the animals being tested.\nAAV5-CaMKIIa-hM4D(Gi)-mCherry (titer ≥ 4×10¹² vg/mL), AAV5-CaMKIIα-EGFP ( ≥ 4×10¹² vg/mL) and AAV5-CaMKIIα-ChETA-YFP (3 × 1012 vg/mL) viruses were purchased from Addgene (Watertown, MA), and stored in 10 µL aliquots at –80 °C. Clozapine N-oxide (CNO, Tocris Bioscience, Minneapolis, MN) was dissolved in dimethyl sulfoxide (DMSO) as a stock solution (200 mg/mL) and diluted in saline to 1 mg/mL immediately before use. CNO or vehicle was injected intraperitoneally (1 mL/kg), as previously described [15].\nTo prepare the rats for chemogenetic inhibition of glutamatergic pyramidal neurons in vmPFC, they were anaesthetized with isoflurane (4% induction, 1-2% maintenance) and placed in a stereotaxic frame (David Kopf Instruments, Tujunga, CA). AAV5-CaMKIIa-hM4D(Gi)-mCherry or the control AAV5-CaMKIIα-EGFP vector was injected bilaterally (0.5 µL/side at 0.05 µL/min) into vmPFC (from bregma: AP + 2.8, ML ± 0.5, DV − 4.5 mm; [33]) using a 33-gauge beveled needle with a 10 µL Nanofil syringe controlled by an ultra-microinjection pump (WPI Inc, Sarasota, FL). After injection, the needle was left in place for 5 min before withdrawing. Behavior was tested 3 weeks after virus injection. Viral expression was verified by mCherry or GFP fluorescence. To prepare the rats for optogenetic stimulation of MDT axon terminals in vmPFC, AAV5-CaMKIIα-ChETA-YFP virus was injected bilaterally (0.5 µL per side) into the MDT (from bregma: AP –2.5, ML ± 0.9, DV –4.6 mm) [33], as previously described [26]. Animals were tested at least 6 weeks after viral injection.\nCUS procedure was as described previously [14–16, 26]. Different acute stressors were applied at varying times each day for 14 days (males) or 21 days (females), to achieve similar behavioral effects [16, 26]. Stressors included 30 min restraint, 10 min tail pinch, 15 min warm swim, 10 min cold swim, 1 h shaking/crowding, 45 min social defeat, 24 h constant light, 24 h wet bedding, or 15 min footshock. After stress procedures, rats recovered for 1-2 h in a separate room before returning to housing. Control and stressed animals were singly housed throughout the stress protocol.\nThe day before fear conditioning, rats were habituated to two contexts in sound-attenuating cabinets for 15 min each. Context A was the conditioning chamber (30.5 × 25.4 × 30.5 cm; model H10–11R-TC, Coulbourn Instruments, Holliston, MA) with square metal walls and a metal grid floor attached to a shock generator (model H13–15). Context B was a different chamber with smooth green vinyl floor and circular vinyl walls. On the day of fear conditioning, rats received 4 pairings of tone (10 kHz, 75 dB, 20 s) coterminus with footshock (0.8 mA, 0.5 s) in context A (average intertrial interval = 120 sec). Tone control rats were treated identically, except no shock was delivered. Conditioned fear was defined as percent freezing during each tone, measured videographically (FreezeView software, ActiMetrics #ACT-100, Coulbourn Instruments). At the times specified in each experiment below, extinction learning was administered as a therapeutic intervention in Context B, consisting of 16 presentations of tone alone with no shock (average intertrial interval = 120 s) [14].\nFST consisted of a 15-min pretest swim and a 5-min test swim [34]. Rats were singly housed for 5 days prior to the pretest, for which rats were placed in a cylindrical tank (46 × 21 cm) filled to a depth of 30 cm with 23  °C water. The 5-min test was performed 48 h or 8 days after the pretest. Immobility was defined as floating with no purposeful active movements other than those necessary to keep the nose above the water. Behavior was recorded, and immobility time was analyzed using Solomon Coder beta 19.08.02 (András Péter, http://solomoncoder.com).\nThe procedure was modified from a previous paper [35]. Rats were habituated to two leak-resistant water bottles (All Living Things®, PetSmart. Phoenix, AZ) for 5 days and to 1% sucrose for 2 days prior to testing. On testing day, two identical bottles filled with tap water or 1% sucrose were provided to each animal after 4 h water deprivation. Left-right position of the bottles were counterbalanced. Rats were allowed to drink freely for 1 h. Sucrose and water consumption were measured by weighing the bottles. Sucrose preference was defined as percent of total fluid consumed (100 x sucrose/total intake) during the 1 h test.\nLocomotor activity was measured using the open field locomotor system (Med Associates, Fairfax, VT) for 30 min. Distance traveled was analyzed in 2-min intervals using Activity Monitor software (Med Associates).\nEffects of extinction on immobility in the forced swim test. 96 rats (49 male and 47 female) were assigned to two groups (extinction vs tone control). Fourteen days after fear conditioning or tone control, extinction was administered in context B by presenting 16 tones without shock. Tone controls were treated identically, but because they had not experienced initial conditioning, no extinction learning occurred. The pre-swim was performed 24 h before extinction. In some rats, the test swim occurred 24 h after extinction (Fig. 1a). In other rats, to determine if antidepressant-like effects of extinction learning were long-lasting, test swim was 7 days after extinction (Fig. 1f).Fig. 1Antidepressant effects of extinction learning on forced swim test.(a) Timeline for experiments testing the effects of extinction on the FST. (b) Left panel: During fear conditioning (FC), freezing increased to approximately 60% after 4 tone-shock pairings. There was no difference between males and females (n = 16-17 males and 15 females per group). Right panel: Extinction curves were comparable for rats with or without exposure to the 15 min FST pre-swim 24 h prior to fear extinction (FE). There was no difference between males and females (n = 9-14 males and 9-12 females per group). (c) Extinction reduced immobility during the 5-min test swim of the FST. Insets show males and females separately (n = 12 per group, 6 males and 6 females) (d) There was no difference in immobility time in the first 5 min of the pre-swim for rats exposed to FC or tone control (n = 12 per group, 6 males and 6 females). (e) There were no effects of extinction on locomotor activity in the open field test, monitored for 30 min and analyzed in 2-min bins. Inset shows total distance traveled in the entire 30 min test (n = 13-14 per group, 7-8 males and 6 females). (f) Top: Timeline to test lasting effects of extinction on the FST. Bottom: Immobility on the FST was reduced 7 days after extinction. Insets show males and females separately (n = 13-14 per group, 7-8 males and 6 females). In all panels, data are expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\n(a) Timeline for experiments testing the effects of extinction on the FST. (b) Left panel: During fear conditioning (FC), freezing increased to approximately 60% after 4 tone-shock pairings. There was no difference between males and females (n = 16-17 males and 15 females per group). Right panel: Extinction curves were comparable for rats with or without exposure to the 15 min FST pre-swim 24 h prior to fear extinction (FE). There was no difference between males and females (n = 9-14 males and 9-12 females per group). (c) Extinction reduced immobility during the 5-min test swim of the FST. Insets show males and females separately (n = 12 per group, 6 males and 6 females) (d) There was no difference in immobility time in the first 5 min of the pre-swim for rats exposed to FC or tone control (n = 12 per group, 6 males and 6 females). (e) There were no effects of extinction on locomotor activity in the open field test, monitored for 30 min and analyzed in 2-min bins. Inset shows total distance traveled in the entire 30 min test (n = 13-14 per group, 7-8 males and 6 females). (f) Top: Timeline to test lasting effects of extinction on the FST. Bottom: Immobility on the FST was reduced 7 days after extinction. Insets show males and females separately (n = 13-14 per group, 7-8 males and 6 females). In all panels, data are expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\nEffects of extinction learning on sucrose preference. 57 rats (28 male and 29 female) were assigned to 4 groups (CUS vs nonstressed (NS) x extinction vs tone control). CUS began the day after fear conditioning or tone control. Extinction was conducted 24 h after the last stressor; sucrose preference was tested 24 h after extinction (Fig. 2a).Fig. 2Effects of extinction learning on CUS-induced anhedonia.(a) Timeline for experiments testing the effects of extinction on CUS-induced reductions in sucrose preference. Gray bar indicates the habituation period for 1% sucrose. SPT: sucrose preference test. (b) Fear conditioning was comparable between groups prior to stress treatment. Likewise, fear extinction (FE) was comparable in both nonstressed and CUS-exposed rats, and in males and females (n = 12-17 per group, 6-8 males and 6-9 females). (c) CUS reduced sucrose preference, defined as percent of total fluid consumed (100 x sucrose /total intake) during the 1 h test period. Extinction reversed the effect of stress. Insets show male and female rats separately (n = 17-23 per group, 8-12 males and 9-11 females). Data are expressed as mean ± SEM. *P < 0.05, **P < 0.01 compared with NS control group; ##P < 0.01 compared with CUS + tone control group.\n(a) Timeline for experiments testing the effects of extinction on CUS-induced reductions in sucrose preference. Gray bar indicates the habituation period for 1% sucrose. SPT: sucrose preference test. (b) Fear conditioning was comparable between groups prior to stress treatment. Likewise, fear extinction (FE) was comparable in both nonstressed and CUS-exposed rats, and in males and females (n = 12-17 per group, 6-8 males and 6-9 females). (c) CUS reduced sucrose preference, defined as percent of total fluid consumed (100 x sucrose /total intake) during the 1 h test period. Extinction reversed the effect of stress. Insets show male and female rats separately (n = 17-23 per group, 8-12 males and 9-11 females). Data are expressed as mean ± SEM. *P < 0.05, **P < 0.01 compared with NS control group; ##P < 0.01 compared with CUS + tone control group.\nEffects of extinction learning on c-Fos expression in vmPFC. To demonstrate that extinction activated neurons in the vmPFC after stress, 28 CUS-treated rats (14 male and 14 female) were assigned to 2 groups (extinction vs tone control). Extinction was conducted 24 h after the last stressor. Rats were sacrificed by perfusion-fixation with 4% paraformaldehyde 2 h after the onset of the 32-min extinction session. Brains were cut into 40-µm coronal sections [33], incubated in a rabbit anti-Fos antibody (1:2000; ABE457, Millipore, Burlington, MA or 226 008, Synaptic Systems, Goettingen, Germany) for 24 h at 4 °C, followed by biotinylated secondary antibody (1:2000; Jackson ImmunoResearch, West Grove, PA), avidin-biotin complex (Vector Laboratories, Newark, CA), and color generated with a nickel-enhanced diaminobenzidine reaction. Slides were scanned and visualized with a 20X objective using a Zeiss AxioObserver inverted microscope (Zeiss Objective Plan-Apochromat) with Zen3.5 (blue edition) software. For each rat, four bilateral coronal sections, from ∼+3.72 mm to +2.76 mm anterior to bregma [33], were reconstructed into 16-bit grayscale files by Huygens Software (Scientific Volume Imaging, Hilversum, Netherlands). Images were manually aligned to a brain atlas [33] to define PL and IL by anatomical landmarks, such as medial oribitofrontal artery, azygous anterior cerebral artery or azygous pericallosal artery. A 1 mm2 area of vmPFC, including IL and the ventral portion of PL (Fig. 3a), was analyzed using Fiji ImageJ (NIH). Fos positive cells in the 1 mm2 vmPFC area were counted, and the total number of Fos-positive cells were averaged across eight sections to generate a mean number of positive cells per mm2 per rat.Fig. 3vmPFC activity is necessary for the antidepressant effects of extinction learning.(a) Extinction induced Fos expression in the vmPFC of stressed rats. Left: schematic illustration of the 1 mm2 region in which Fos-positive cells were counted in vmPFC. PL, prelimbic cortex; IL, infralimbic cortex. Right: Photomicrographs showing Fos immunolabel in the vmPFC of stressed rats after tone control exposure or extinction. (b) The number of Fos-positive neurons per mm2 was increased in the vmPFC of stressed rats after extinction compared to tone-control exposure. n = 14 per group, 7 males and 7 females. Insets show male and female rats separately. *P < 0.05, **P < 0.01. (c) Timeline for the DREADD experiments for which results are shown in panels d-f. SPT: sucrose preference test. (d) Injection sites for bilateral administration of the AAV-DREADD viruses. Left: Representative image of mCherry expression in vmPFC; Right: schematic illustration of injection sites. (e) Left: Fear conditioning in the rats with intra-vmPFC viral injections was comparable between groups prior to stress treatment. Right: Fear extinction performed 30 min after clozapine-N-oxide (CNO) injection was comparable to preceding experiments and did not differ between groups. (f) Sucrose preference measured 24 h after extinction. Neither extinction nor Gi DREADD activation with CNO had any effect on sucrose preference in nonstressed rats. CUS decreased sucrose preference (CUS + GFP+tone), and this was reversed by extinction (CUS + GFP + FE). The beneficial effect of extinction was prevented by Gi DREADD-mediated inhibition of pyramidal cells in the vmPFC during extinction (CUS+Gi+FE). n = 17-20 per group, 8-10 males and 9-12 females. Insets show male and female rats separately. Data expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\n(a) Extinction induced Fos expression in the vmPFC of stressed rats. Left: schematic illustration of the 1 mm2 region in which Fos-positive cells were counted in vmPFC. PL, prelimbic cortex; IL, infralimbic cortex. Right: Photomicrographs showing Fos immunolabel in the vmPFC of stressed rats after tone control exposure or extinction. (b) The number of Fos-positive neurons per mm2 was increased in the vmPFC of stressed rats after extinction compared to tone-control exposure. n = 14 per group, 7 males and 7 females. Insets show male and female rats separately. *P < 0.05, **P < 0.01. (c) Timeline for the DREADD experiments for which results are shown in panels d-f. SPT: sucrose preference test. (d) Injection sites for bilateral administration of the AAV-DREADD viruses. Left: Representative image of mCherry expression in vmPFC; Right: schematic illustration of injection sites. (e) Left: Fear conditioning in the rats with intra-vmPFC viral injections was comparable between groups prior to stress treatment. Right: Fear extinction performed 30 min after clozapine-N-oxide (CNO) injection was comparable to preceding experiments and did not differ between groups. (f) Sucrose preference measured 24 h after extinction. Neither extinction nor Gi DREADD activation with CNO had any effect on sucrose preference in nonstressed rats. CUS decreased sucrose preference (CUS + GFP+tone), and this was reversed by extinction (CUS + GFP + FE). The beneficial effect of extinction was prevented by Gi DREADD-mediated inhibition of pyramidal cells in the vmPFC during extinction (CUS+Gi+FE). n = 17-20 per group, 8-10 males and 9-12 females. Insets show male and female rats separately. Data expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\nChemogenetic inactivation of pyramidal neurons in vmPFC. An inhibitory Gi-coupled DREADD was used to inhibit neuronal activity of pyramidal cells. 115 rats (52 male and 63 female) were assigned to 6 groups defined by stress (CUS vs NS), and extinction + Gi DREADD treatment (tones+GFP, extinction+GFP, extinction+Gi DREADD). Fear conditioning was performed 7-10 days after virus injection. CUS began the day after fear conditioning (Fig. 3c). One day after the end of CUS, rats received an injection of the DREADD ligand CNO (1 mg/kg in 0.5% DMSO, i.p.) followed by extinction learning 30 min later. Rats were then tested for sucrose preference 24 h after extinction.\nEffects of extinction on long-term potentiation in the MDT-mPFC pathway after CUS. 42 rats (21 male and 21 female) were assigned to 3 groups (NS-tone controls, CUS-tones, CUS-extinction). Rats were fear-conditioned or exposed to tones-only, 4 weeks after ChETA viral injection. CUS began the day after fear conditioning. Extinction was conducted 1 day after the end of CUS, and electrophysiological experiments were performed 24 h after extinction (Fig. 4a). Rats were anesthetized using chloral hydrate (400 mg/kg, i.p.) and placed in a stereotaxic apparatus (David Kopf Instruments, Tujunga, CA). Body temperature was maintained at 37 °C. A bipolar stainless-steel stimulating electrode (P1 Technologies, Roanoke, VA) was lowered into the right MDT (AP − 2.5, ML + 0.9, DV –4.6 mm). A tungsten parylene-coated recording electrode (A-M Systems, Sequim WA) was positioned in the ipsilateral vmPFC (AP + 2.5, ML + 0.6, DV –4.0-5.0 mm). An optical fiber affixed to the recording electrode 1 mm above the tip was connected to a 473-nm solid-state laser diode (OptoEngine LLC, Midvale, UT) with 13-15 mW output. Local field potentials were recorded in vmPFC (low cutoff filter 0.3 Hz, high cutoff 1000 Hz) and digitized (Power Lab; AD Instruments, Colorado Springs, CO). A current-response curve was established by stimulating MDT with 30 pulses (100–600 μA in 100 μA steps, 260 µsec pulse width, 0.1 Hz) as described [27]. After a stable baseline was established at 50% maximum response for 15 min, opto-LTP was induced by high frequency laser stimulation of MDT-vmPFC terminals (10 ×1 s trains, 1 ms pulse width, 250 Hz, once every 10 sec for 90 sec), as described [26]. Responses evoked by electrical stimulation of MDT were then recorded for 90 min (6 traces/min), calculated as percent of mean baseline, and analyzed in 5-min bins. Experimenter was blind to treatment.Fig. 4Effects of extinction learning on local field potentials and opto-LTP in the vmPFC.(a) Timeline for experiments testing the effects of extinction learning on local field potentials and opto-LTP. (b) Representative micrograph showing placement of a recording optrode in the vmPFC (left) and a stimulating electrode in the MDT (right). Brightness and contrast have been optimized to visualize histological detail. (c) Fear extinction learning 24 h prior to recording in stressed rats (blue) significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 14/group). (d) In male rats CUS + fear extinction learning 24 h prior to recording (blue) also significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 7/group). (e) Female rats that underwent CUS and tone control exposure (red) exhibited a depression of MDT-evoked field potentials after optogenetic stimulation. Nonetheless, optogenetic potentiation of evoked responses was restored to baseline in stressed rats by extinction learning 24 h prior to recording (blue) (n = 7/group). *P < 0.05.\n(a) Timeline for experiments testing the effects of extinction learning on local field potentials and opto-LTP. (b) Representative micrograph showing placement of a recording optrode in the vmPFC (left) and a stimulating electrode in the MDT (right). Brightness and contrast have been optimized to visualize histological detail. (c) Fear extinction learning 24 h prior to recording in stressed rats (blue) significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 14/group). (d) In male rats CUS + fear extinction learning 24 h prior to recording (blue) also significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 7/group). (e) Female rats that underwent CUS and tone control exposure (red) exhibited a depression of MDT-evoked field potentials after optogenetic stimulation. Nonetheless, optogenetic potentiation of evoked responses was restored to baseline in stressed rats by extinction learning 24 h prior to recording (blue) (n = 7/group). *P < 0.05.\nImmunohistochemistry was performed to confirm ChETA expression in the MDT injection site and in terminals in mPFC. Rats were sacrificed via rapid decapitation. Brains were post-fixed in 4% PFA, and 40 μm sections incubated in primary rabbit anti-GFP antibody (1:5000; Cell Signaling, Danvers) followed by HRP-linked CY3-conjugated secondary antibody (1:1000; Millipore) and counterstained using DAPI. Alternate sections were used to confirm electrode placements histologically. Animals with misplaced electrodes were excluded from analysis.\nDatasets were tested for normality and homoscedasticity. Parametric data were then analyzed by 2-tailed t-test or analysis of variance (ANOVA). Overall effects were first analyzed with male and female rats combined, with sex included as a factor. Secondary analyses were then conducted on male and female data separately, as per NIH guidance to analyze and report results after disaggregating by sex, although the experiments were not explicitly powered for these analyses. Fear conditioning, extinction, and locomotor activity were analyzed by 2- or 3-way repeated-measures ANOVA. Stimulus-response curves for evoked potentials were analyzed using an extra sum-of-squares F-test. Post hoc comparisons were made using the Holm–Sidak test. Significance was determined at p < 0.05.\n\n\n### Animals\nInitial group size targets were estimated by power analysis: an estimated mean difference of 36% with standard deviation 24% (effect size = 1.5) will be detected at p < 0.05 by a two-tailed test with power = 0.90 with n = 12/group. 338 adult male (164) and female (174) Sprague–Dawley rats (Envigo, Indianapolis, IN) were housed in same-sex groups of 2-3 on a 12/12 h light/dark cycle (lights on at 0700 h) with food and water ad libitum. Rats were 225-249 g at the time of arrival and acclimated at least 1 week before experiments began. Behavioral tests were performed between 10:00-14:00 in procedure rooms adjacent to the housing room. All procedures were conducted in accordance with National Institutes of Health guidelines and approved by the Institutional Animal Care and Use Committee of the University of Texas Health Science Center at San Antonio. Wherever possible, experimenters were blind to treatment conditions of the animals being tested.\n\n\n### Reagents\nAAV5-CaMKIIa-hM4D(Gi)-mCherry (titer ≥ 4×10¹² vg/mL), AAV5-CaMKIIα-EGFP ( ≥ 4×10¹² vg/mL) and AAV5-CaMKIIα-ChETA-YFP (3 × 1012 vg/mL) viruses were purchased from Addgene (Watertown, MA), and stored in 10 µL aliquots at –80 °C. Clozapine N-oxide (CNO, Tocris Bioscience, Minneapolis, MN) was dissolved in dimethyl sulfoxide (DMSO) as a stock solution (200 mg/mL) and diluted in saline to 1 mg/mL immediately before use. CNO or vehicle was injected intraperitoneally (1 mL/kg), as previously described [15].\n\n\n### Viral administration for chemo- and optogenetic manipulation of vmPFC\nTo prepare the rats for chemogenetic inhibition of glutamatergic pyramidal neurons in vmPFC, they were anaesthetized with isoflurane (4% induction, 1-2% maintenance) and placed in a stereotaxic frame (David Kopf Instruments, Tujunga, CA). AAV5-CaMKIIa-hM4D(Gi)-mCherry or the control AAV5-CaMKIIα-EGFP vector was injected bilaterally (0.5 µL/side at 0.05 µL/min) into vmPFC (from bregma: AP + 2.8, ML ± 0.5, DV − 4.5 mm; [33]) using a 33-gauge beveled needle with a 10 µL Nanofil syringe controlled by an ultra-microinjection pump (WPI Inc, Sarasota, FL). After injection, the needle was left in place for 5 min before withdrawing. Behavior was tested 3 weeks after virus injection. Viral expression was verified by mCherry or GFP fluorescence. To prepare the rats for optogenetic stimulation of MDT axon terminals in vmPFC, AAV5-CaMKIIα-ChETA-YFP virus was injected bilaterally (0.5 µL per side) into the MDT (from bregma: AP –2.5, ML ± 0.9, DV –4.6 mm) [33], as previously described [26]. Animals were tested at least 6 weeks after viral injection.\n\n\n### Chronic unpredictable stress\nCUS procedure was as described previously [14–16, 26]. Different acute stressors were applied at varying times each day for 14 days (males) or 21 days (females), to achieve similar behavioral effects [16, 26]. Stressors included 30 min restraint, 10 min tail pinch, 15 min warm swim, 10 min cold swim, 1 h shaking/crowding, 45 min social defeat, 24 h constant light, 24 h wet bedding, or 15 min footshock. After stress procedures, rats recovered for 1-2 h in a separate room before returning to housing. Control and stressed animals were singly housed throughout the stress protocol.\n\n\n### Behavioral procedures\nThe day before fear conditioning, rats were habituated to two contexts in sound-attenuating cabinets for 15 min each. Context A was the conditioning chamber (30.5 × 25.4 × 30.5 cm; model H10–11R-TC, Coulbourn Instruments, Holliston, MA) with square metal walls and a metal grid floor attached to a shock generator (model H13–15). Context B was a different chamber with smooth green vinyl floor and circular vinyl walls. On the day of fear conditioning, rats received 4 pairings of tone (10 kHz, 75 dB, 20 s) coterminus with footshock (0.8 mA, 0.5 s) in context A (average intertrial interval = 120 sec). Tone control rats were treated identically, except no shock was delivered. Conditioned fear was defined as percent freezing during each tone, measured videographically (FreezeView software, ActiMetrics #ACT-100, Coulbourn Instruments). At the times specified in each experiment below, extinction learning was administered as a therapeutic intervention in Context B, consisting of 16 presentations of tone alone with no shock (average intertrial interval = 120 s) [14].\nFST consisted of a 15-min pretest swim and a 5-min test swim [34]. Rats were singly housed for 5 days prior to the pretest, for which rats were placed in a cylindrical tank (46 × 21 cm) filled to a depth of 30 cm with 23  °C water. The 5-min test was performed 48 h or 8 days after the pretest. Immobility was defined as floating with no purposeful active movements other than those necessary to keep the nose above the water. Behavior was recorded, and immobility time was analyzed using Solomon Coder beta 19.08.02 (András Péter, http://solomoncoder.com).\nThe procedure was modified from a previous paper [35]. Rats were habituated to two leak-resistant water bottles (All Living Things®, PetSmart. Phoenix, AZ) for 5 days and to 1% sucrose for 2 days prior to testing. On testing day, two identical bottles filled with tap water or 1% sucrose were provided to each animal after 4 h water deprivation. Left-right position of the bottles were counterbalanced. Rats were allowed to drink freely for 1 h. Sucrose and water consumption were measured by weighing the bottles. Sucrose preference was defined as percent of total fluid consumed (100 x sucrose/total intake) during the 1 h test.\nLocomotor activity was measured using the open field locomotor system (Med Associates, Fairfax, VT) for 30 min. Distance traveled was analyzed in 2-min intervals using Activity Monitor software (Med Associates).\n\n\n### Fear Extinction\nThe day before fear conditioning, rats were habituated to two contexts in sound-attenuating cabinets for 15 min each. Context A was the conditioning chamber (30.5 × 25.4 × 30.5 cm; model H10–11R-TC, Coulbourn Instruments, Holliston, MA) with square metal walls and a metal grid floor attached to a shock generator (model H13–15). Context B was a different chamber with smooth green vinyl floor and circular vinyl walls. On the day of fear conditioning, rats received 4 pairings of tone (10 kHz, 75 dB, 20 s) coterminus with footshock (0.8 mA, 0.5 s) in context A (average intertrial interval = 120 sec). Tone control rats were treated identically, except no shock was delivered. Conditioned fear was defined as percent freezing during each tone, measured videographically (FreezeView software, ActiMetrics #ACT-100, Coulbourn Instruments). At the times specified in each experiment below, extinction learning was administered as a therapeutic intervention in Context B, consisting of 16 presentations of tone alone with no shock (average intertrial interval = 120 s) [14].\n\n\n### Forced swim test\nFST consisted of a 15-min pretest swim and a 5-min test swim [34]. Rats were singly housed for 5 days prior to the pretest, for which rats were placed in a cylindrical tank (46 × 21 cm) filled to a depth of 30 cm with 23  °C water. The 5-min test was performed 48 h or 8 days after the pretest. Immobility was defined as floating with no purposeful active movements other than those necessary to keep the nose above the water. Behavior was recorded, and immobility time was analyzed using Solomon Coder beta 19.08.02 (András Péter, http://solomoncoder.com).\n\n\n### Sucrose preference test\nThe procedure was modified from a previous paper [35]. Rats were habituated to two leak-resistant water bottles (All Living Things®, PetSmart. Phoenix, AZ) for 5 days and to 1% sucrose for 2 days prior to testing. On testing day, two identical bottles filled with tap water or 1% sucrose were provided to each animal after 4 h water deprivation. Left-right position of the bottles were counterbalanced. Rats were allowed to drink freely for 1 h. Sucrose and water consumption were measured by weighing the bottles. Sucrose preference was defined as percent of total fluid consumed (100 x sucrose/total intake) during the 1 h test.\n\n\n### Locomotor Activity\nLocomotor activity was measured using the open field locomotor system (Med Associates, Fairfax, VT) for 30 min. Distance traveled was analyzed in 2-min intervals using Activity Monitor software (Med Associates).\n\n\n### Experiments\nEffects of extinction on immobility in the forced swim test. 96 rats (49 male and 47 female) were assigned to two groups (extinction vs tone control). Fourteen days after fear conditioning or tone control, extinction was administered in context B by presenting 16 tones without shock. Tone controls were treated identically, but because they had not experienced initial conditioning, no extinction learning occurred. The pre-swim was performed 24 h before extinction. In some rats, the test swim occurred 24 h after extinction (Fig. 1a). In other rats, to determine if antidepressant-like effects of extinction learning were long-lasting, test swim was 7 days after extinction (Fig. 1f).Fig. 1Antidepressant effects of extinction learning on forced swim test.(a) Timeline for experiments testing the effects of extinction on the FST. (b) Left panel: During fear conditioning (FC), freezing increased to approximately 60% after 4 tone-shock pairings. There was no difference between males and females (n = 16-17 males and 15 females per group). Right panel: Extinction curves were comparable for rats with or without exposure to the 15 min FST pre-swim 24 h prior to fear extinction (FE). There was no difference between males and females (n = 9-14 males and 9-12 females per group). (c) Extinction reduced immobility during the 5-min test swim of the FST. Insets show males and females separately (n = 12 per group, 6 males and 6 females) (d) There was no difference in immobility time in the first 5 min of the pre-swim for rats exposed to FC or tone control (n = 12 per group, 6 males and 6 females). (e) There were no effects of extinction on locomotor activity in the open field test, monitored for 30 min and analyzed in 2-min bins. Inset shows total distance traveled in the entire 30 min test (n = 13-14 per group, 7-8 males and 6 females). (f) Top: Timeline to test lasting effects of extinction on the FST. Bottom: Immobility on the FST was reduced 7 days after extinction. Insets show males and females separately (n = 13-14 per group, 7-8 males and 6 females). In all panels, data are expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\n(a) Timeline for experiments testing the effects of extinction on the FST. (b) Left panel: During fear conditioning (FC), freezing increased to approximately 60% after 4 tone-shock pairings. There was no difference between males and females (n = 16-17 males and 15 females per group). Right panel: Extinction curves were comparable for rats with or without exposure to the 15 min FST pre-swim 24 h prior to fear extinction (FE). There was no difference between males and females (n = 9-14 males and 9-12 females per group). (c) Extinction reduced immobility during the 5-min test swim of the FST. Insets show males and females separately (n = 12 per group, 6 males and 6 females) (d) There was no difference in immobility time in the first 5 min of the pre-swim for rats exposed to FC or tone control (n = 12 per group, 6 males and 6 females). (e) There were no effects of extinction on locomotor activity in the open field test, monitored for 30 min and analyzed in 2-min bins. Inset shows total distance traveled in the entire 30 min test (n = 13-14 per group, 7-8 males and 6 females). (f) Top: Timeline to test lasting effects of extinction on the FST. Bottom: Immobility on the FST was reduced 7 days after extinction. Insets show males and females separately (n = 13-14 per group, 7-8 males and 6 females). In all panels, data are expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\nEffects of extinction learning on sucrose preference. 57 rats (28 male and 29 female) were assigned to 4 groups (CUS vs nonstressed (NS) x extinction vs tone control). CUS began the day after fear conditioning or tone control. Extinction was conducted 24 h after the last stressor; sucrose preference was tested 24 h after extinction (Fig. 2a).Fig. 2Effects of extinction learning on CUS-induced anhedonia.(a) Timeline for experiments testing the effects of extinction on CUS-induced reductions in sucrose preference. Gray bar indicates the habituation period for 1% sucrose. SPT: sucrose preference test. (b) Fear conditioning was comparable between groups prior to stress treatment. Likewise, fear extinction (FE) was comparable in both nonstressed and CUS-exposed rats, and in males and females (n = 12-17 per group, 6-8 males and 6-9 females). (c) CUS reduced sucrose preference, defined as percent of total fluid consumed (100 x sucrose /total intake) during the 1 h test period. Extinction reversed the effect of stress. Insets show male and female rats separately (n = 17-23 per group, 8-12 males and 9-11 females). Data are expressed as mean ± SEM. *P < 0.05, **P < 0.01 compared with NS control group; ##P < 0.01 compared with CUS + tone control group.\n(a) Timeline for experiments testing the effects of extinction on CUS-induced reductions in sucrose preference. Gray bar indicates the habituation period for 1% sucrose. SPT: sucrose preference test. (b) Fear conditioning was comparable between groups prior to stress treatment. Likewise, fear extinction (FE) was comparable in both nonstressed and CUS-exposed rats, and in males and females (n = 12-17 per group, 6-8 males and 6-9 females). (c) CUS reduced sucrose preference, defined as percent of total fluid consumed (100 x sucrose /total intake) during the 1 h test period. Extinction reversed the effect of stress. Insets show male and female rats separately (n = 17-23 per group, 8-12 males and 9-11 females). Data are expressed as mean ± SEM. *P < 0.05, **P < 0.01 compared with NS control group; ##P < 0.01 compared with CUS + tone control group.\nEffects of extinction learning on c-Fos expression in vmPFC. To demonstrate that extinction activated neurons in the vmPFC after stress, 28 CUS-treated rats (14 male and 14 female) were assigned to 2 groups (extinction vs tone control). Extinction was conducted 24 h after the last stressor. Rats were sacrificed by perfusion-fixation with 4% paraformaldehyde 2 h after the onset of the 32-min extinction session. Brains were cut into 40-µm coronal sections [33], incubated in a rabbit anti-Fos antibody (1:2000; ABE457, Millipore, Burlington, MA or 226 008, Synaptic Systems, Goettingen, Germany) for 24 h at 4 °C, followed by biotinylated secondary antibody (1:2000; Jackson ImmunoResearch, West Grove, PA), avidin-biotin complex (Vector Laboratories, Newark, CA), and color generated with a nickel-enhanced diaminobenzidine reaction. Slides were scanned and visualized with a 20X objective using a Zeiss AxioObserver inverted microscope (Zeiss Objective Plan-Apochromat) with Zen3.5 (blue edition) software. For each rat, four bilateral coronal sections, from ∼+3.72 mm to +2.76 mm anterior to bregma [33], were reconstructed into 16-bit grayscale files by Huygens Software (Scientific Volume Imaging, Hilversum, Netherlands). Images were manually aligned to a brain atlas [33] to define PL and IL by anatomical landmarks, such as medial oribitofrontal artery, azygous anterior cerebral artery or azygous pericallosal artery. A 1 mm2 area of vmPFC, including IL and the ventral portion of PL (Fig. 3a), was analyzed using Fiji ImageJ (NIH). Fos positive cells in the 1 mm2 vmPFC area were counted, and the total number of Fos-positive cells were averaged across eight sections to generate a mean number of positive cells per mm2 per rat.Fig. 3vmPFC activity is necessary for the antidepressant effects of extinction learning.(a) Extinction induced Fos expression in the vmPFC of stressed rats. Left: schematic illustration of the 1 mm2 region in which Fos-positive cells were counted in vmPFC. PL, prelimbic cortex; IL, infralimbic cortex. Right: Photomicrographs showing Fos immunolabel in the vmPFC of stressed rats after tone control exposure or extinction. (b) The number of Fos-positive neurons per mm2 was increased in the vmPFC of stressed rats after extinction compared to tone-control exposure. n = 14 per group, 7 males and 7 females. Insets show male and female rats separately. *P < 0.05, **P < 0.01. (c) Timeline for the DREADD experiments for which results are shown in panels d-f. SPT: sucrose preference test. (d) Injection sites for bilateral administration of the AAV-DREADD viruses. Left: Representative image of mCherry expression in vmPFC; Right: schematic illustration of injection sites. (e) Left: Fear conditioning in the rats with intra-vmPFC viral injections was comparable between groups prior to stress treatment. Right: Fear extinction performed 30 min after clozapine-N-oxide (CNO) injection was comparable to preceding experiments and did not differ between groups. (f) Sucrose preference measured 24 h after extinction. Neither extinction nor Gi DREADD activation with CNO had any effect on sucrose preference in nonstressed rats. CUS decreased sucrose preference (CUS + GFP+tone), and this was reversed by extinction (CUS + GFP + FE). The beneficial effect of extinction was prevented by Gi DREADD-mediated inhibition of pyramidal cells in the vmPFC during extinction (CUS+Gi+FE). n = 17-20 per group, 8-10 males and 9-12 females. Insets show male and female rats separately. Data expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\n(a) Extinction induced Fos expression in the vmPFC of stressed rats. Left: schematic illustration of the 1 mm2 region in which Fos-positive cells were counted in vmPFC. PL, prelimbic cortex; IL, infralimbic cortex. Right: Photomicrographs showing Fos immunolabel in the vmPFC of stressed rats after tone control exposure or extinction. (b) The number of Fos-positive neurons per mm2 was increased in the vmPFC of stressed rats after extinction compared to tone-control exposure. n = 14 per group, 7 males and 7 females. Insets show male and female rats separately. *P < 0.05, **P < 0.01. (c) Timeline for the DREADD experiments for which results are shown in panels d-f. SPT: sucrose preference test. (d) Injection sites for bilateral administration of the AAV-DREADD viruses. Left: Representative image of mCherry expression in vmPFC; Right: schematic illustration of injection sites. (e) Left: Fear conditioning in the rats with intra-vmPFC viral injections was comparable between groups prior to stress treatment. Right: Fear extinction performed 30 min after clozapine-N-oxide (CNO) injection was comparable to preceding experiments and did not differ between groups. (f) Sucrose preference measured 24 h after extinction. Neither extinction nor Gi DREADD activation with CNO had any effect on sucrose preference in nonstressed rats. CUS decreased sucrose preference (CUS + GFP+tone), and this was reversed by extinction (CUS + GFP + FE). The beneficial effect of extinction was prevented by Gi DREADD-mediated inhibition of pyramidal cells in the vmPFC during extinction (CUS+Gi+FE). n = 17-20 per group, 8-10 males and 9-12 females. Insets show male and female rats separately. Data expressed as mean ± SEM. *P < 0.05, **P < 0.01, ***P < 0.001.\nChemogenetic inactivation of pyramidal neurons in vmPFC. An inhibitory Gi-coupled DREADD was used to inhibit neuronal activity of pyramidal cells. 115 rats (52 male and 63 female) were assigned to 6 groups defined by stress (CUS vs NS), and extinction + Gi DREADD treatment (tones+GFP, extinction+GFP, extinction+Gi DREADD). Fear conditioning was performed 7-10 days after virus injection. CUS began the day after fear conditioning (Fig. 3c). One day after the end of CUS, rats received an injection of the DREADD ligand CNO (1 mg/kg in 0.5% DMSO, i.p.) followed by extinction learning 30 min later. Rats were then tested for sucrose preference 24 h after extinction.\nEffects of extinction on long-term potentiation in the MDT-mPFC pathway after CUS. 42 rats (21 male and 21 female) were assigned to 3 groups (NS-tone controls, CUS-tones, CUS-extinction). Rats were fear-conditioned or exposed to tones-only, 4 weeks after ChETA viral injection. CUS began the day after fear conditioning. Extinction was conducted 1 day after the end of CUS, and electrophysiological experiments were performed 24 h after extinction (Fig. 4a). Rats were anesthetized using chloral hydrate (400 mg/kg, i.p.) and placed in a stereotaxic apparatus (David Kopf Instruments, Tujunga, CA). Body temperature was maintained at 37 °C. A bipolar stainless-steel stimulating electrode (P1 Technologies, Roanoke, VA) was lowered into the right MDT (AP − 2.5, ML + 0.9, DV –4.6 mm). A tungsten parylene-coated recording electrode (A-M Systems, Sequim WA) was positioned in the ipsilateral vmPFC (AP + 2.5, ML + 0.6, DV –4.0-5.0 mm). An optical fiber affixed to the recording electrode 1 mm above the tip was connected to a 473-nm solid-state laser diode (OptoEngine LLC, Midvale, UT) with 13-15 mW output. Local field potentials were recorded in vmPFC (low cutoff filter 0.3 Hz, high cutoff 1000 Hz) and digitized (Power Lab; AD Instruments, Colorado Springs, CO). A current-response curve was established by stimulating MDT with 30 pulses (100–600 μA in 100 μA steps, 260 µsec pulse width, 0.1 Hz) as described [27]. After a stable baseline was established at 50% maximum response for 15 min, opto-LTP was induced by high frequency laser stimulation of MDT-vmPFC terminals (10 ×1 s trains, 1 ms pulse width, 250 Hz, once every 10 sec for 90 sec), as described [26]. Responses evoked by electrical stimulation of MDT were then recorded for 90 min (6 traces/min), calculated as percent of mean baseline, and analyzed in 5-min bins. Experimenter was blind to treatment.Fig. 4Effects of extinction learning on local field potentials and opto-LTP in the vmPFC.(a) Timeline for experiments testing the effects of extinction learning on local field potentials and opto-LTP. (b) Representative micrograph showing placement of a recording optrode in the vmPFC (left) and a stimulating electrode in the MDT (right). Brightness and contrast have been optimized to visualize histological detail. (c) Fear extinction learning 24 h prior to recording in stressed rats (blue) significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 14/group). (d) In male rats CUS + fear extinction learning 24 h prior to recording (blue) also significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 7/group). (e) Female rats that underwent CUS and tone control exposure (red) exhibited a depression of MDT-evoked field potentials after optogenetic stimulation. Nonetheless, optogenetic potentiation of evoked responses was restored to baseline in stressed rats by extinction learning 24 h prior to recording (blue) (n = 7/group). *P < 0.05.\n(a) Timeline for experiments testing the effects of extinction learning on local field potentials and opto-LTP. (b) Representative micrograph showing placement of a recording optrode in the vmPFC (left) and a stimulating electrode in the MDT (right). Brightness and contrast have been optimized to visualize histological detail. (c) Fear extinction learning 24 h prior to recording in stressed rats (blue) significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 14/group). (d) In male rats CUS + fear extinction learning 24 h prior to recording (blue) also significantly enhanced the potentiation of MDT-evoked responses by opto-LTP stimulation compared to nonstressed rats (black) or CUS-tone controls (red) (n = 7/group). (e) Female rats that underwent CUS and tone control exposure (red) exhibited a depression of MDT-evoked field potentials after optogenetic stimulation. Nonetheless, optogenetic potentiation of evoked responses was restored to baseline in stressed rats by extinction learning 24 h prior to recording (blue) (n = 7/group). *P < 0.05.\nImmunohistochemistry was performed to confirm ChETA expression in the MDT injection site and in terminals in mPFC. Rats were sacrificed via rapid decapitation. Brains were post-fixed in 4% PFA, and 40 μm sections incubated in primary rabbit anti-GFP antibody (1:5000; Cell Signaling, Danvers) followed by HRP-linked CY3-conjugated secondary antibody (1:1000; Millipore) and counterstained using DAPI. Alternate sections were used to confirm electrode placements histologically. Animals with misplaced electrodes were excluded from analysis.\n\n\n### Statistical analysis\nDatasets were tested for normality and homoscedasticity. Parametric data were then analyzed by 2-tailed t-test or analysis of variance (ANOVA). Overall effects were first analyzed with male and female rats combined, with sex included as a factor. Secondary analyses were then conducted on male and female data separately, as per NIH guidance to analyze and report results after disaggregating by sex, although the experiments were not explicitly powered for these analyses. Fear conditioning, extinction, and locomotor activity were analyzed by 2- or 3-way repeated-measures ANOVA. Stimulus-response curves for evoked potentials were analyzed using an extra sum-of-squares F-test. Post hoc comparisons were made using the Holm–Sidak test. Significance was determined at p < 0.05.\n\n\n### Results\nThe FST detects potential antidepressant efficacy with predictive validity [34, 36]. Prior to testing, there were no differences in extinction between groups with or without swim exposure (F(1, 40) = 1.206, P = 0.279), between males and females (F(1, 40) = 0.499, P = 0.488; Fig. 1b), nor any interaction between sex and swim exposure (F(1, 40) = 0.057, P = 0.812) or between tones, sex and swim exposure (F(15, 600) = 0.584, P = 0.888). In the 5-min test, immobility was significantly decreased in the extinction group compared with tone controls (F(1, 20) = 13.68, P < 0.01; Fig. 1c). Immobility was lower overall in females compared to males (F(1, 20) = 9.733, P < 0.01), consistent with a previous study [37], but extinction decreased immobility in both males (t(10) = 2.756, P < 0.05) and females (t(10) = 2.469, P < 0.05; Fig. 1c). To rule out an effect of fear conditioning alone on the FST, immobility in the first 5 min of the pre-test was analyzed, with comparable immobility in tone-control and fear-conditioned rats (t(22) = 0.875, P = 0.391; Fig. 1d). Similar to antidepressant drugs [34, 38], there was no effect of extinction administered 24 h prior to the pre-swim on immobility in the test swim (tone: 209.63 ± 18.45 sec; extinction: 200.6 ± 20.59 sec; t(10)  =  0.298, P = 0.772). Extinction had no effect on locomotor activity (F(1, 23) = 0.150, P = 0.7018; Fig. 1e). Distance travelled was comparable (t(25) = 0.851, P = 0.189; Fig. 1e inset). To determine if the antidepressant-like effects of extinction were lasting, a test session was performed 7 days after extinction (Fig. 1f). Immobility was significantly decreased in the extinction group compared with tone controls (F(1, 23) = 18.52, P < 0.001; Fig. 1f). Immobility was again lower overall in females (F(1, 23) = 9.289, P < 0.01). Extinction reduced immobility comparably in males (t(13) = 2.437, P < 0.05) and females (t(10) = 4.635, P < 0.001; Fig. 1f). These results indicate that extinction learning has antidepressant-like effects in the FST that are sustained for at least 7 days.\nThe effect of extinction on CUS-induced reduction in sucrose preference was evaluated as a model of anhedonia [39]. Because of the different time required for CUS treatment to achieve similar behavioral effects in male and female rats [16, 26], extinction was performed 15 or 22 days after fear conditioning for male and female rats, respectively (Fig. 2a). Extinction was comparable in NS and CUS groups, in females and males (Stress: F(1, 25) = 0.006, P = 0.939; Sex: F(1, 25) = 1.666, P = 0.209; Fig. 2b), with no interaction between sex and stress (F(1, 25) = 0.373, P = 0.541) or between tones, sex and stress (F(15, 375) = 0.901, P = 0.563), as shown previously [14, 15, 40]. In nonstressed rats, there was no difference in sucrose preference between tone-control and extinction groups (male: tone 84.0 ± 2.8% vs FE 86.3 ± 5.0%; female: tone 90.5 ± 3.8%; extinction 93.4 ± 0.9%). Therefore, these rats were combined into a single NS control group. There was a significant group effect (F(2, 51) = 8.976, P < 0.001; Fig. 2c) with no effect of sex (F(1, 51) = 1.074, P = 0.305). Post hoc tests revealed that CUS decreased sucrose preference compared to NS controls (P < 0.01). Extinction reversed the CUS-induced decrease in sucrose preference (P < 0.01). As per NIH mandate, data were then analyzed by sex separately. There was a significant effect in males (F(2, 25) = 6.862, P < 0.01; Fig. 2c). Sucrose preference was decreased by CUS in tone controls (P < 0.05), and extinction reversed the CUS-induced decrease (P < 0.01). In females, there was a significant group effect (F(2, 26) = 3.640, P < 0.05; Fig. 2c). Sucrose preference was decreased after CUS in the tone-control group (P < 0.05). In stressed females, there was a moderate increase in sucrose preference after extinction, but it was not significant (P = 0.346). However, the CUS-extinction group also did not differ from nonstressed controls (P = 0.346), indicating a similar but less robust effect of extinction in stressed females than in males, although it must be emphasized that there was no effect of sex in the primary ANOVA, and this experiment was not explicitly powered to analyze the sexes separately.\nTo determine if antidepressant-like effects of extinction were associated with activation of vmPFC in stressed rats, we assessed Fos expression after extinction in stressed rats. Two way ANOVA indicated no effect of sex (F(1, 24) = 0.032, P = 0.860) and no interaction between sex and extinction (F(1, 24) = 0.2154, P = 0.6468). Extinction increased Fos expression in vmPFC (t(26) = 3.619, P = 0.0013, Fig. 3b). After disaggregating by sex, similar effects were observed in males (t(12) = 2.500, P = 0.027, Fig. 3b) and females (t(12) = 2.503, P = 0.028; Fig. 3b).\nTo determine the role of vmPFC activation in the antidepressant-like effects of extinction, a Gi-DREADD was used to inhibit pyramidal cell activity in vmPFC during extinction. Figure 3d shows the location of viral administration into vmPFC. Fear conditioning was unaltered by viral injections in vmPFC (F(1, 71) = 1.553, P = 0.217, Fig. 3e). Extinction was comparable in NS and CUS groups (F(1, 71 = 2.125, P = 0.149, Fig. 3e) and in Gi- and GFP-controls (F(1, 71) = 0.349, P = 0.556; Fig. 3e), as shown previously [15]. For sucrose preference, measured 24 h after extinction, there were significant main effects of treatment (F(2, 109) = 5.336, P < 0.01); stress (F(1, 109) = 26.370, P < 0.001); and a stress x treatment interaction (F(2, 109) = 8.842, P < 0.001, Fig. 3f). In GFP-tone controls, CUS decreased sucrose preference (P < 0.01). Extinction reversed this effect in GFP-expressing rats (P < 0.05). Gi-DREADD inhibition of pyramidal neurons in vmPFC during extinction prevented its beneficial effects in reversing the CUS-induced reduction in sucrose preference 24 h after extinction (P < 0.001 compared to CUS-GFP-extinction), suggesting the antidepressant-like effects of extinction require activation of pyramidal neurons in vmPFC during extinction. Three-way ANOVA indicated a significant main effect of sex (F(1, 103) = 10.77, P < 0.01), in that females showed higher sucrose preference overall than males. However, there were no interactions of sex x stress (F(1, 103) = 0.015, P = 0.903), sex x treatment (F(2, 103) = 0.741, P = 0.479), nor sex x treatment x stress (F(2, 103) = 0.829, P = 0.439). In males, there was a significant effect of stress (F(1, 46) = 10.94, P < 0.01); a treatment x stress interaction (F(2,46) = 3.642, P < 0.05); and a near-significant main effect of treatment (F(2,46) = 3.057, P = 0.056; Fig. 3f). Post-hoc tests indicated that sucrose preference was decreased by CUS in tone controls (P < 0.05). Extinction reversed the effect of stress (P < 0.05) and that was prevented by Gi-DREADD inhibition of vmPFC during extinction (P < 0.05). In females, there was a significant effect of stress (F(1, 57) = 17.31, P < 0.001) and interaction of stress x treatment (F(2,57) = 6.821, P < 0.01) and a near-significant effect of treatment (F(2,57) = 2.998, P = 0.058; Fig. 3f). As in males, post-hoc tests indicated that Gi-DREADD inhibition of vmPFC during extinction in females prevented its therapeutic effect on sucrose preference after CUS (P < 0.001).\nThe MDT-mPFC pathway is affected by CUS [26, 27]. To test if behavioral effects of extinction after CUS were accompanied by changes in plasticity in the MDT-mPFC pathway, we measured optogenetic potentiation of MDT-evoked responses in the vmPFC after CUS and extinction learning (Fig. 4a) A stimulating electrode was placed in the MDT and responses were recorded in the vmPFC (Fig. 4b). Extinction enhanced optogenetic potentiation of MDT-evoked responses in stressed rats compared to nonstressed and CUS-tone controls (F(4, 834) = 18.27, P < 0.001; Fig. 4c). Although extinction enhanced optogenetic potentiation of MDT-evoked responses in both sexes, analyzing separately by sex revealed nuanced differences. In males, extinction facilitated optogenetic potentiation in stressed rats compared to nonstressed and CUS-tone controls (F(4, 414) = 19.84; P < 0.001; Fig. 4d). In control females, optogenetic stimulation only modestly potentiated evoked responses compared to males, and in stressed females, optogenetic stimulation induced a slight depression rather than potentiation of evoked responses (F(4, 834) = 18.27, P < 0.0001; Fig. 4e). Nonetheless, extinction still reversed this attenuated response in stressed females.\n\n\n### Antidepressant-like effects of extinction on the forced swim test\nThe FST detects potential antidepressant efficacy with predictive validity [34, 36]. Prior to testing, there were no differences in extinction between groups with or without swim exposure (F(1, 40) = 1.206, P = 0.279), between males and females (F(1, 40) = 0.499, P = 0.488; Fig. 1b), nor any interaction between sex and swim exposure (F(1, 40) = 0.057, P = 0.812) or between tones, sex and swim exposure (F(15, 600) = 0.584, P = 0.888). In the 5-min test, immobility was significantly decreased in the extinction group compared with tone controls (F(1, 20) = 13.68, P < 0.01; Fig. 1c). Immobility was lower overall in females compared to males (F(1, 20) = 9.733, P < 0.01), consistent with a previous study [37], but extinction decreased immobility in both males (t(10) = 2.756, P < 0.05) and females (t(10) = 2.469, P < 0.05; Fig. 1c). To rule out an effect of fear conditioning alone on the FST, immobility in the first 5 min of the pre-test was analyzed, with comparable immobility in tone-control and fear-conditioned rats (t(22) = 0.875, P = 0.391; Fig. 1d). Similar to antidepressant drugs [34, 38], there was no effect of extinction administered 24 h prior to the pre-swim on immobility in the test swim (tone: 209.63 ± 18.45 sec; extinction: 200.6 ± 20.59 sec; t(10)  =  0.298, P = 0.772). Extinction had no effect on locomotor activity (F(1, 23) = 0.150, P = 0.7018; Fig. 1e). Distance travelled was comparable (t(25) = 0.851, P = 0.189; Fig. 1e inset). To determine if the antidepressant-like effects of extinction were lasting, a test session was performed 7 days after extinction (Fig. 1f). Immobility was significantly decreased in the extinction group compared with tone controls (F(1, 23) = 18.52, P < 0.001; Fig. 1f). Immobility was again lower overall in females (F(1, 23) = 9.289, P < 0.01). Extinction reduced immobility comparably in males (t(13) = 2.437, P < 0.05) and females (t(10) = 4.635, P < 0.001; Fig. 1f). These results indicate that extinction learning has antidepressant-like effects in the FST that are sustained for at least 7 days.\n\n\n### Antidepressant-like effects of extinction on sucrose preference\nThe effect of extinction on CUS-induced reduction in sucrose preference was evaluated as a model of anhedonia [39]. Because of the different time required for CUS treatment to achieve similar behavioral effects in male and female rats [16, 26], extinction was performed 15 or 22 days after fear conditioning for male and female rats, respectively (Fig. 2a). Extinction was comparable in NS and CUS groups, in females and males (Stress: F(1, 25) = 0.006, P = 0.939; Sex: F(1, 25) = 1.666, P = 0.209; Fig. 2b), with no interaction between sex and stress (F(1, 25) = 0.373, P = 0.541) or between tones, sex and stress (F(15, 375) = 0.901, P = 0.563), as shown previously [14, 15, 40]. In nonstressed rats, there was no difference in sucrose preference between tone-control and extinction groups (male: tone 84.0 ± 2.8% vs FE 86.3 ± 5.0%; female: tone 90.5 ± 3.8%; extinction 93.4 ± 0.9%). Therefore, these rats were combined into a single NS control group. There was a significant group effect (F(2, 51) = 8.976, P < 0.001; Fig. 2c) with no effect of sex (F(1, 51) = 1.074, P = 0.305). Post hoc tests revealed that CUS decreased sucrose preference compared to NS controls (P < 0.01). Extinction reversed the CUS-induced decrease in sucrose preference (P < 0.01). As per NIH mandate, data were then analyzed by sex separately. There was a significant effect in males (F(2, 25) = 6.862, P < 0.01; Fig. 2c). Sucrose preference was decreased by CUS in tone controls (P < 0.05), and extinction reversed the CUS-induced decrease (P < 0.01). In females, there was a significant group effect (F(2, 26) = 3.640, P < 0.05; Fig. 2c). Sucrose preference was decreased after CUS in the tone-control group (P < 0.05). In stressed females, there was a moderate increase in sucrose preference after extinction, but it was not significant (P = 0.346). However, the CUS-extinction group also did not differ from nonstressed controls (P = 0.346), indicating a similar but less robust effect of extinction in stressed females than in males, although it must be emphasized that there was no effect of sex in the primary ANOVA, and this experiment was not explicitly powered to analyze the sexes separately.\n\n\n### vmPFC activity is necessary for antidepressant effects of extinction\nTo determine if antidepressant-like effects of extinction were associated with activation of vmPFC in stressed rats, we assessed Fos expression after extinction in stressed rats. Two way ANOVA indicated no effect of sex (F(1, 24) = 0.032, P = 0.860) and no interaction between sex and extinction (F(1, 24) = 0.2154, P = 0.6468). Extinction increased Fos expression in vmPFC (t(26) = 3.619, P = 0.0013, Fig. 3b). After disaggregating by sex, similar effects were observed in males (t(12) = 2.500, P = 0.027, Fig. 3b) and females (t(12) = 2.503, P = 0.028; Fig. 3b).\nTo determine the role of vmPFC activation in the antidepressant-like effects of extinction, a Gi-DREADD was used to inhibit pyramidal cell activity in vmPFC during extinction. Figure 3d shows the location of viral administration into vmPFC. Fear conditioning was unaltered by viral injections in vmPFC (F(1, 71) = 1.553, P = 0.217, Fig. 3e). Extinction was comparable in NS and CUS groups (F(1, 71 = 2.125, P = 0.149, Fig. 3e) and in Gi- and GFP-controls (F(1, 71) = 0.349, P = 0.556; Fig. 3e), as shown previously [15]. For sucrose preference, measured 24 h after extinction, there were significant main effects of treatment (F(2, 109) = 5.336, P < 0.01); stress (F(1, 109) = 26.370, P < 0.001); and a stress x treatment interaction (F(2, 109) = 8.842, P < 0.001, Fig. 3f). In GFP-tone controls, CUS decreased sucrose preference (P < 0.01). Extinction reversed this effect in GFP-expressing rats (P < 0.05). Gi-DREADD inhibition of pyramidal neurons in vmPFC during extinction prevented its beneficial effects in reversing the CUS-induced reduction in sucrose preference 24 h after extinction (P < 0.001 compared to CUS-GFP-extinction), suggesting the antidepressant-like effects of extinction require activation of pyramidal neurons in vmPFC during extinction. Three-way ANOVA indicated a significant main effect of sex (F(1, 103) = 10.77, P < 0.01), in that females showed higher sucrose preference overall than males. However, there were no interactions of sex x stress (F(1, 103) = 0.015, P = 0.903), sex x treatment (F(2, 103) = 0.741, P = 0.479), nor sex x treatment x stress (F(2, 103) = 0.829, P = 0.439). In males, there was a significant effect of stress (F(1, 46) = 10.94, P < 0.01); a treatment x stress interaction (F(2,46) = 3.642, P < 0.05); and a near-significant main effect of treatment (F(2,46) = 3.057, P = 0.056; Fig. 3f). Post-hoc tests indicated that sucrose preference was decreased by CUS in tone controls (P < 0.05). Extinction reversed the effect of stress (P < 0.05) and that was prevented by Gi-DREADD inhibition of vmPFC during extinction (P < 0.05). In females, there was a significant effect of stress (F(1, 57) = 17.31, P < 0.001) and interaction of stress x treatment (F(2,57) = 6.821, P < 0.01) and a near-significant effect of treatment (F(2,57) = 2.998, P = 0.058; Fig. 3f). As in males, post-hoc tests indicated that Gi-DREADD inhibition of vmPFC during extinction in females prevented its therapeutic effect on sucrose preference after CUS (P < 0.001).\n\n\n### Extinction enhances synaptic plasticity in vmPFC\nThe MDT-mPFC pathway is affected by CUS [26, 27]. To test if behavioral effects of extinction after CUS were accompanied by changes in plasticity in the MDT-mPFC pathway, we measured optogenetic potentiation of MDT-evoked responses in the vmPFC after CUS and extinction learning (Fig. 4a) A stimulating electrode was placed in the MDT and responses were recorded in the vmPFC (Fig. 4b). Extinction enhanced optogenetic potentiation of MDT-evoked responses in stressed rats compared to nonstressed and CUS-tone controls (F(4, 834) = 18.27, P < 0.001; Fig. 4c). Although extinction enhanced optogenetic potentiation of MDT-evoked responses in both sexes, analyzing separately by sex revealed nuanced differences. In males, extinction facilitated optogenetic potentiation in stressed rats compared to nonstressed and CUS-tone controls (F(4, 414) = 19.84; P < 0.001; Fig. 4d). In control females, optogenetic stimulation only modestly potentiated evoked responses compared to males, and in stressed females, optogenetic stimulation induced a slight depression rather than potentiation of evoked responses (F(4, 834) = 18.27, P < 0.0001; Fig. 4e). Nonetheless, extinction still reversed this attenuated response in stressed females.\n\n\n### Discussion\nFear extinction, administered as a therapeutic intervention in rats, had antidepressant-like effects. Extinction reduced immobility in the FST and reversed the CUS-induced decrease in sucrose preference. Extinction learning activated neurons in the vmPFC of stressed rats, and inactivation of pyramidal neurons in vmPFC during extinction prevented its antidepressant-like effects. Extinction enhanced optogenetically-induced potentiation of MDT-evoked responses in vmPFC of stressed rats, particularly in males. These results indicate that activity-dependent neuroplasticity induced by extinction in vmPFC is involved in its antidepressant-like effects after chronic stress.\nDuring exposure therapy, patients are repeatedly exposed to a fearful memory in a safe environment to reduce negative emotional responses [41]. Exposure therapy has also been effective in treating depressive symptoms [11, 42]. In the current study, extinction decreased immobility in the FST 24 h and 7 days after extinction, suggesting that the antidepressant effects are relatively long-lasting. Similar to antidepressant drugs [34, 38], the effects of extinction depend on having had prior exposure to the FST, as there was no effect if extinction was administered 24 h prior to the first swim. Antidepressant-like effects of extinction were further demonstrated using the sucrose preference test. Reduced sucrose preference after CUS, modeling anhedonia [39], is reversed by chronic treatment with traditional antidepressants [35, 43, 44] and acutely-acting antidepressants [45, 46]. Extinction reversed the CUS-induced reduction of sucrose preference tested 24 h after extinction. Although stress can impair extinction [47], we and others have shown that when conditioning occurs before stress, extinction itself is unaffected [14–16, 40], and it was comparable in the present study in rats with and without CUS. These results suggest that the antidepressant-like effects of extinction are fast-acting and long-lasting, similar to those of acutely-administered antidepressants, such as ketamine [48].\nHypoactivity in the PFC has been reported in patients with MDD [49, 50]. Deep brain stimulation of the vmPFC has antidepressant efficacy in treatment-resistant patients [51]. In rodents, electrical or optogenetic stimulation of mPFC has antidepressant-like effects on the FST and sucrose preference test [52–54]. The role of vmPFC in extinction is well established [55]. Increased mPFC activity is associated with expression of extinction memory [56]. In agreement with past studies [57], we found that extinction activated neurons in vmPFC of stressed rats. Further, inhibition of neurons in vmPFC during extinction prevented its therapeutic effects on CUS-induced anhedonia. Again, extinction itself was not altered by this inhibition, as we and others have reported [14–16, 58]. These results suggest that plasticity underlying antidepressant-like effects of extinction requires activation of pyramidal neurons in vmPFC, as we have also shown previously for the effects of extinction on other behaviors compromised by CUS [14–16]. Similar to extinction, ketamine, which increases glutamate signaling in the PFC in healthy subjects and patients with MDD [59] and elevates activity of pyramidal cells in the vmPFC of rodents [60], produces antidepressant actions lasting from hours up to 1 week [61, 62]. Moreover, inactivation of vmPFC by muscimol, a GABA-A receptor agonist, blocked the antidepressant effects of ketamine 24 h later [54, 63]. These results suggest that plasticity produced by an optimal level of vmPFC activation is associated with antidepressant-like effects of both ketamine and extinction.\nAlthough the bulk of evidence suggests hypoactivity in vmPFC in depression [64], there are reports of hyperactivity [65], which also disrupts processes related to emotional regulation [66]. It is possible that different subpopulations of neurons in mPFC, defined by phenotype or specific projection targets, may be affected differently, and which effect predominates (i.e., hypo- or hyper-activity) may be related to different subtypes of depression [67, 68]. Previous work investigating afferent-evoked responses in mPFC suggests that rather than hypoactivity per se, stress-induced cognitive deficits may be related more to hypo-responsivity of the mPFC to specific afferent inputs [26]. It has also been suggested that chronic stress can lead to hyperactivity specifically of GABAergic interneurons in mPFC [69], disrupting the excitatory/inhibitory balance. This might account for both the increased basal metabolic signal reported in some studies, and due to the subsequent inhibition of glutamatergic projection neurons, the attenuated responsivity of mPFC to specific afferent inputs. Diminished vmPFC activity linked with exaggerated amygdala reactivity was observed in patients with depression and PTSD with high levels of negative affect [70], consistent with the idea that specific sub-populations of mPFC neurons may be affected, contributing to specific symptom domains.\nThe mPFC receives excitatory afferents from the thalamus, hippocampus and amygdala [71]. The MDT-mPFC pathway is particularly vulnerable to stress [26, 27], and direct activation of this pathway decreased depression-related behaviors [72]. In treatment-resistant depression, connectivity between PFC and thalamus is reduced [73, 74], and antidepressant response to transcranial magnetic stimulation is associated with increased MDT-mPFC connectivity [74, 75]. To investigate whether extinction enhanced plasticity in the MDT-vmPFC pathway of stressed rats, we tested optogenetic potentiation of MDT-evoked field potentials in vmPFC. In unstressed rats, optogenetic potentiation of MDT-evoked responses in vmPFC was greater in males than in females. CUS attenuated optogenetic potentiation of evoked responses in females, even converting it to a depressed response, with little effect in males. However, despite differences at baseline and after stress, extinction enhanced optogenetic potentiation of MDT-evoked responses in both males and females after CUS, indicating facilitation of activity-dependent plasticity. Enhanced potentiation by extinction in stressed male rats compared to both unstressed controls and females may account for the greater beneficial effect of extinction on sucrose preference in males after CUS. However, although 2 weeks CUS in males and 3 weeks in females produce comparable behavioral impairment in several measures, it is also possible that the different duration of stress treatment may be a factor in the differential effects on optogenetic potentiation. This remains to be investigated.\nReduced cortical volume in PFC has been observed in MDD [18], and greater PFC volume predicted better outcomes and lower depressive symptoms in MDD [17]. Stress has been shown to decrease dendritic length of apical dendrites on mPFC pyramidal neurons [22–25]. Acute administration of the rapidly-acting antidepressant, ketamine, has been shown to reverse stress-induced dendritic retraction in the PFC [45]. MDT inputs preferentially activate neurons in layer II/III [76], and stress reduced dendritic length in layer II/III pyramidal cells [77, 78]. Layer V pyramidal neurons in vmPFC also receive MDT input [76], and project to subcortical targets that mediate stress-related behaviors. Optogenetic activation of layer V pyramidal neurons in PFC induced antidepressant-like effects [79]. Thus, reversal of CUS-induced dendritic pruning in pyramidal neurons may contribute to the enhanced optogenetic potentiation of MDT afferent input to vmPFC after extinction.\nExposure therapy is effective in reducing symptoms of both PTSD and depression, improving cognitive flexibility, reducing perseveration and negatively biased thought, and improving adaptive responding [80, 81]. Similar to the effects of exposure therapy in humans [82], in this and in previous studies, we showed that extinction learning as an animal model of exposure therapy rescued stress-induced cognitive deficits, avoidance behavior, and anhedonia, and showed long-lasting antidepressant-like efficacy in the FST [14, 15]. Not all of these therapeutic effects of extinction are a direct result of Pavlovian extinction of the predictive value of the conditioned stimulus in signaling the unconditioned stimulus. Rather, our current and previous studies have shown that plasticity induced by extinction learning in the vmPFC restores optimal functioning [14–16, 83] responsible for the modulation of prefrontal-related symptom dimensions [84–87]. Subpopulations of neurons in vmPFC innervate cortical and subcortical targets involved in a range of behavioral, affective, and cognitive responses associated with depression and PTSD [17, 88]. For example, previous evidence shows that a projection from the mPFC to the dorsal raphe nucleus regulates antidepressive-like responses in the FST [89]. A projection from the vmPFC to nucleus accumbens regulates hedonic behaviors [90]. And we have shown that a projection from vmPFC to the lateral septum modulates active vs avoidant coping behavior [91]. Further experiments are ongoing to determine the specific top-down neural circuit mechanisms responsible for the range of behavioral effects of extinction learning after stress. Also, because exposure therapy can sometimes be context-specific, identifying ways to not only strengthen the plasticity induced by extinction in the vmPFC, but also to strengthen the modulatory influence of the vmPFC on downstream targets mediating non-associative symptoms would be beneficial.\nIn summary, this study demonstrates that extinction learning, administered as a therapeutic intervention, has antidepressant-like effects on two behavioral measures, immobility on the FST and reduced sucrose preference after CUS. This further validates and generalizes extinction as a rodent model of cognitive-behavioral therapy, specifically exposure therapy, to study neurobiological mechanisms underlying its beneficial effects. Extinction facilitated adaptive plasticity in the vmPFC, similar to the effects of fast-acting antidepressants [48, 92]. This supports reports that exposure therapy, an effective treatment for PTSD, may also be effective for symptoms of depression [9–11], especially for individuals with PTSD comorbid with depression. Identifying mechanisms responsible for the therapeutic effects of extinction may suggest potential strategies to enhance those processes and improve the efficacy of exposure therapy.", "domain": "affective_neuroscience"}
{"source": "PMC13099888", "title": "A history of addiction through the six editions of Kandel’s Principles of Neural Science and their scientific context", "text": "# A history of addiction through the six editions of Kandel’s Principles of Neural Science and their scientific context\n\n## Abstract\nThis review aims to explore the evolution of research on the neurobiology of addiction across the six editions of Eric Kandel’s Principles of Neural Science, one of the most comprehensive and well-known textbooks on neurobiology, published in 1981, 1985, 1991, 2000, 2012, and 2021. To encourage a critical reading of this historical review, we also summarize the state of the art in addiction research in the years preceding the publication of each edition. Even though addiction was mentioned as a crucial societal problem since the beginning, the manual did not explain it until the fourth edition. Decades before, several psychological hypotheses had already been integrated with neurobiology, emphasizing the role of dopamine and other biogenic amines, involvement of forebrain and mesencephalic areas, and pinpointing the neural correlates of psychological terms such as tolerance, dependence, craving, and others. Progressively, the neurobiological description of addiction transitioned from the hypothalamus to the basal ganglia, and, conceptually, from homeostasis to motivation, learning, and habit acquisition. Our intention with this review is to assess the evolution of addiction research in neuroscience, and also to show the strengths and weaknesses of how state-of-the-art research is integrated into specialized textbooks.\n\n## Full Text\n\n\n### Introduction\nThe Principles of Neural Science, edited by Eric Kandel and collaborators, is the most widely recognized handbook of neurobiology. According to the publisher of the most recent three editions, McGraw-Hill, this property continues to sell the most units in print compared to all other neurology titles offered by the publisher, being one of the few manuals that still sells substantial print units. Its revenue is above one million dollars, and all editions have sold over 35,000 units per year. There are three editions initially sold by Elsevier (Kandel et al., 1991; Kandel and Schwartz, 1981, 1985), and the latter three editions were published by McGraw-Hill (Kandel et al., 2000, 2013, 2021). As stated in the Preface of the first edition, “Principles of Neural Science is designed as an introductory text for students of biology, behavior, and medicine. Our overall goal is to convey the interest and excitement surrounding the recent attempts to apply cell-biological techniques to the study of the nervous system, its development, and its control of behavior” (p. xxix). Thus, this is one of the most comprehensive and respected handbooks for learning the neural bases of behavior, including mental disorders.\nOur historical review aims to examine the evolution of the concept of addiction over the last half-century through the six editions of Kandel’s Principles. To promote a critical view, we have also analyzed the state of the art in addiction research before each edition’s publication, allowing the manual’s contents to be contrasted with the scientific knowledge of that time. We decided to concentrate on addiction for several reasons. First, the Preface of the 1st edition of Kandel’s manual presents it as a societal problem beyond medicine. Today, we all recognize addiction as a public health problem involving psychiatry, psychology, neuroscience, and other fields of knowledge. We believe that a critical analysis of the transition between both conceptual positions is an interesting approach to better understand addiction research, past and present, and to identify future challenges. Second, substance use and abuse, including alcohol, account for over 3.2 million deaths around the globe, while 296 million people aged between 15 and 64 years use psychoactive drugs (World Health Organization, 2024). According to the United Nations, illegal drugs are the source of immense human suffering, mainly affecting young people, and their use increases every year. Therefore, it is a worldwide public health issue that is growing each year. Finally, addiction has experienced a change in the last decade: classical behavioral addictions like gambling have met new ones, namely gaming, problematic Internet use, social media addiction, compulsive buying, or pornography use. These are more problematic, since younger people (including children) can have an easy access to the products, and are especially vulnerable partly because of an ongoing brain maturation. Therefore, a conceptual review of the neurobiology of addiction in recent history could help researchers predict future challenges in this field.\nIn this review, we searched the detailed index and glossary of each edition of The Principles of Neural Science (including also the Cellular basis of behavior, authored by Kandel and published in 1976, which can be considered as a prequel to the Principles) (Kandel, 1976) to look for mentions of addiction or related concepts. Additionally, we analyzed the Prefaces of all editions to identify any references to the topic. Once the chapter or subsections were selected, we read them in depth and extracted the main ideas. The state of the art for each edition was selected by quasi-systematically searching PubMed for relevant articles on the neurobiology of addiction. The intended search included the terms “neurobiology of addiction” (between quotes), with the article type limited to Consensus Development Conference, Consensus Development Conference NIH, Editorial, Guideline, Practice Guideline, Review, Scoping Review, Systematic Review. However, since the term “neurobiology” was hardly used at the time of the first editions, we used more flexible terms such as “brain” and “addiction” (for the 1st, 2nd and 3rd editions), “neurobiology” and “addiction” (for the 3rd and 4th editions), and “neurobiology of addiction” (for the 5th and 6th editions). In all cases, we also included some relevant review articles found in the bibliographies of the selected publications. Year of publication was limited to 1977–1980 (state of the art before the 1st edition), 1981–1984 (2nd edition), 1987–1990 (3rd edition), 1996–1999 (4th edition), 2008–2011 (5th edition), 2017–2020 (6th edition). In any case, our goal was not to conduct a systematic review, but to provide a broad (though unbiased) outline of research on addiction for each time period. Consequently, not all output articles were analyzed in depth, and some others that were historically relevant and contained new hypotheses were included, even though they were published in the interim years (for example, Robinson and Berridge, 1993, introducing the Incentive Salience Theory, or Everitt and Robbins, 2005, presenting the habits-compulsions theory).\nOverall, this historical review aims to illustrate the evolution of neurobiology in addiction over the last four decades and its representation in one of the most widely consulted textbooks by junior and senior behavioral neuroscientists. From this critical view of the past, we may learn some lessons for the present and future of addiction research and how it is systematically presented to students and scientists.\n\n\n### The concept of addiction in Kandel’s Principles of Neural Science\nThe Principles of Neural Science is a manual aimed at students and scholars interested in neurobiology. Therefore, it is expected to find a “reductionist” approach biased toward basic biology instead of psychology, ethology, etc. There are several ways to understand the relationship between brain and behavior, especially in the case of addiction, where purely neural explanations are contrasted with more ecological views. A description of the mind-body problem and related topics is beyond the scope of this article. However, it is essential to state the position of the Principles on this topic clearly.\nBefore the Principles of Neural Science, Kandel published the Cellular Basis of Behavior (Kandel, 1976), which can be considered a prequel to his famous manual. It is intended to be “usable by undergraduate and graduate students (…) as well as to provide an overview of the neurobiology of behavior for scientists in other fields” (p. xv). Firmly grounded in evolution, the history of modern psychology, and invertebrate neurobiology, it is a comprehensive compendium of the neural science of its time and its relationship to behavior. How does Kandel understand the connection between neurobiology and behavior? The opening sentence of the initial chapter in the first edition of the Principles is eloquent about the perspective that the author of this collective work takes on behavior: “The key philosophical theme of modern neural science is that all behavior is a reflection of brain function (…) the mind represents a range of functions produced by the brain” (Kandel and Schwartz, 1981, p. 3). The third edition is more succinct about this: “The goal of neural science is to understand the mind” (Kandel et al., 1991, p. xxxix). Also, he advocates for a strong localizationism of cognitive and affective functions, as well as character traits: “Why has the evidence for localization, which seems so obvious and compelling in retrospect, been repeatedly rejected in the past?” (Kandel et al., 1991, p. 11). The optimistic attitude toward neuroscience is remarkable, even though neuroimaging –the possibility of studying the human brain in live participants and in relation to behavior– was still absent: “The excitement in neural science today resides in the conviction that the tools are at last in hand to explore the organ of the mind, and with that excitement comes the optimism that the biological basis of mental function will prove to be fully understandable” (Kandel et al., 1991, pp. 11–12). Therefore, the Principles must be read as a manual of neurobiology whose intention is to explain the mind and behavior, based on neural function, as accurately as possible.\nGoing back to the Cellular Basis of Behavior (published in 1976), addiction and related terms –alcoholism, substance use, dependence, etc.,– are not mentioned throughout the text, even though learning is considered a key topic of behavior. The book includes a complete description of the experiments done by authors such as Pavlov, Thorndike, Lashley, Tolman, and Thorpe. Conditioned responses, habituation, sensitization, reinforcement, and similar terms are described in detail, but are unrelated to addiction. The connection between this condition and aberrant learning had not yet been proposed. The last chapter is dedicated to the “Implications for the Study of Abnormal Behavior.” Citing Claude Bernard, Kandel states that “disease states are often extreme manifestations of normal processes and follow lawful patterns that can be successfully analyzed with biological techniques (…) As a result, normal cellular functioning and its alteration in disease have come to be viewed within a common, biological framework” (Kandel, 1976, p. 653). However, he is cautious about the application of this perspective to human behavior: “This framework, which encompasses both normal and abnormal behavior, has not yet been firmly established within psychiatry” (p. 653). Kandel draws the classic distinction between neuroses and psychoses, which involve one or more of the following “psychological states” with a varied degree of severity: anxiety, depression, mania, paranoia, delusion, hallucination, and thought disorders. When describing the disturbances of motivational states and stress, which disrupts homeostasis, many descriptions evoke addictive behaviors, albeit they are not mentioned: “For example, a strong stimulus that usually produces a large response may fail to do so; a constant stimulus that normally produces and unvarying response may produce variations of that response; or a change in the stimulus may not be reflected by a change in the response” (Kandel, 1976, p. 658). Following a neurobiological description of these disturbances in Aplysia, Kandel relates them to obesity and anorexia in humans, but not to addiction.\nFollowing this line, the first three editions of the Principles do not deal explicitly with addiction. However, there is a fascinating mention in the first edition’s preface (published in 1981): “Not needed only for clinical application, neural science is required for understanding human behavior, because all behavior is an expression of neural activity. Beyond medicine, in society at large, the problems of crowding, addiction, violence, and war revolve around the nature of human beings. Any intelligent solutions to the enormous problems of human behavior, individual and collective, must benefit from greater knowledge of neural function. Many of these problems are not now in the immediate domain of neural science, but progress is rapid and we can hope that neural scientists will soon be able to contribute directly to understanding them” (Kandel and Schwartz, 1981, p. xxxi). Addiction is viewed as one of the main societal problems beyond medicine at the time, with the firm conviction that it would be scientific soon. This sentence remains unchanged in the second edition, but in the third, these topics are replaced by a focus on the mind and consciousness as the “frontiers of biology” (Kandel et al., 1991, p. xl).\nReturning to the first edition, mental illness is discussed in the context of schizophrenia (as the primary example of thought disorder) and depression (as the paradigm of affective disorder). Regarding topics potentially related to addiction, there are extensive descriptions of associative and non-associative learning, habituation, and a Pavlovian description of memory. Chapters 37 and 38, signed by Irving Kupfermann (Kandel’s long-standing collaborator, biologist and expert in Aplysia), describe the limbic system and motivation. The author explains the role of these systems in maintaining homeostasis, highlighting hormonal responses and their relationship to pain, pleasure, learning, and emotional behavior in general. Nowadays, we naturally relate these topics to addiction, and the link was already proposed in the scientific literature, as we will see in the next Section. Interestingly, the earliest edition of the Principles describes behavior reinforcement through intracranial self-stimulation of the hypothalamus, discovered by Olds and Milner in 1954 (Olds and Milner, 1954). In Kandel’s Principles, this idea is connected to normal behavior: “Support for this idea has come from the subsequent observations that many of the points in the brain that are effective in producing reward also stimulate complex behavioral patterns such as feeding and drinking” (Kandel and Schwartz, 1981, p. 459).\nThe second edition (also written by Irving Kupfermann, published in 1985) shows similar ideas about motivation, learning, reinforcement, and intracranial stimulation. However, some additions in these chapters tighten the gap between motivation and addiction, even though this disorder is still unmentioned. Motivational states are defined as the “internal conditions that arouse and direct voluntary behavior” (Kandel and Schwartz, 1985, p. 626). Some are specifically called “drives” (i.e., urges or impulses based upon bodily needs). However, not all drives address physiological needs, such as curiosity. In this case, no homeostasis imbalance should be corrected. Sometimes, motivational states are just the interaction between external and internal stimuli. Further, hedonic factors (that is, pleasure) can regulate motivated behaviors. This is where the topic is approaching addiction, although the explicit connection is not yet made in the text. According to this edition, the neural bases of pleasure are poorly understood. Still, it is hypothesized that these mechanisms overlap or even coincide with brain processes concerned with reward and reinforcement of learned behavior. Biogenic amines, and more precisely dopamine, are already suggested as candidate neurotransmitters.\nIn the third edition (published in 1991), addiction is also not mentioned. The chapter on motivation (also by Irving Kupfermann) explains, as in the previous editions, that motivational states can be regulated by factors other than tissue needs. In this case, the author mentions ecological constraints, anticipatory mechanisms, and, like in the previous edition, hedonic factors. The first aspect involves cost-benefit functions that maximize food intake (or any similar feature) in response to the animal’s external conditions. The second relates to circadian rhythms, which enable animals to anticipate their basic needs. Hedonic factors are explained in the same words as in the previous edition. However, there is an important addition in the final section regarding intracranial stimulation. After explaining the basics as in the second edition, the author adds: “Stimulation of the nucleus accumbens is also reinforcing. In fact, addictive drugs such as cocaine may induce euphoria by enhancing the action of dopamine at the nucleus accumbens, which receives substantial dopaminergic input” (Kandel et al., 1991, p. 759). Therefore, even though it is still absent in the book, addiction is progressively emerging as a topic of interest in the chapter on motivational states.\nIn conclusion, addiction is a nearly unexplored topic in the three initial editions of Kandel’s Principles of Neural Science (Kandel and Schwartz, 1981, 1985; Kandel et al., 1991). Its scarce mentions are linked to motivation and homeostasis. Dopamine is proposed as a candidate neurotransmitter to be involved in the overall process of motivation, and the nucleus accumbens is explicitly mentioned as the target of drugs of abuse, even though its role in addiction is unmentioned. From 1991 to 2000, scientific advances in neuroscience and psychology consolidated the presence of addiction in the book. Finally, it was honored with its own chapter (ex aequo with “motivation”) in the fourth edition.\nNine years after the publication of the third, the fourth edition came out (in 2000, the same year that Eric Kandel received the Nobel Prize), including a chapter about “Motivational and Addictive States” (chapter 51), authored by Irving Kupfermann, Eric Kandel, and Susan Iversen (neuropsychopharmacologist). For the first time, addiction was considered a topic in this manual, tightly linked to motivation, which has been seen as the engine that initiates, sustains, and directs behavior toward specific goals. Traditionally, the study of motivation was narrowly focused on the drive to satisfy physiological needs, such as hunger, thirst, and the avoidance of pain. These needs were conceptualized within a framework of discomfort and relief, in which the organism’s behavior was seen as a response to restore physiological balance, namely homeostasis. Early theories inferred drive states solely from observable behaviors. However, advancements in neuroscience shifted this perspective to include the role of control systems, conceptualizing drive states as complex homeostatic reflexes that integrate sensory, cognitive, and emotional information.\nEven though the fourth edition did not have a systematic analysis of addiction, it started to show the relationship between drugs of abuse, reinforcement, and the limbic system. Craving, dependence, and tolerance were also briefly discussed. Neuroimaging (PET) studies began to link motivation to brain regions responsible for various forms of memory, including working, episodic, and emotional memory (see Box 51–1 in the 4th edition, Kandel et al., 2000). Studies demonstrated that activity in these regions was directly linked to the intensity of craving, particularly in the context of substance use disorders. This evidence suggested that the mechanisms underlying memory processing were intricately tied to the experience of craving, highlighting a potential overlap between the neural circuits involved in memory and those mediating the effects of addictive substances. Specifically, brain regions such as the hypothalamus, which play a critical role in reward processing and reinforcement learning, appeared to intersect with these mechanisms, reinforcing learned behaviors associated with drug use.\nWhen examining disorders of these neural circuits, addiction stood out as a primary example of how the reward pathway can be pathologically altered. Also, motivation, reinforcement, and addiction were linked for the first time (in this manual) with dopaminergic pathways. Different drugs of abuse cause similar addictive states by acting on the brain circuits that control reward and motivation, namely mesolimbic dopaminergic pathways, acting on transporters and receptors. Addiction to opiates, specifically, is mentioned in chapter 24, devoted to the perception of pain. Going back to chapter 51, it concludes with the concepts of tolerance and dependence. “Tolerance refers to progressive adaptation to the dosage that produces euphoria” (Kandel et al., 2000, p. 1011). It develops as the brain adapts to the repeated presence of a drug, diminishing its effects over time and necessitating higher doses to achieve the same level of reward. Dependence, on the other hand, “refers to the negative visceral consequences of withdrawal of the drug, such as nausea” (ibidem). It reflects the physiological and psychological reliance on the drug, characterized by withdrawal symptoms when its use is reduced or stopped. Together, these features create a cycle of compulsive drug-seeking and use that defines addiction. The interplay of reinforcement, tolerance, and dependence underscores the complexity of addiction, needing a multifaceted approach to its study and treatment.\nIn the fifth edition (published in 2012), chapter 49 was devoted to “Homeostasis, motivation and addictive states,” authored by Peter B. Shizgal (behavioral neurobiologist) and Steven Hyman (molecular psychiatrist). Addiction was becoming a well-established and independent concept in neural sciences. To our knowledge, this edition is the first to include an explicit definition of addiction: “compulsive drug use despite significantly negative consequences” (Kandel et al., 2013, p. 1105). Essentially, drugs become the only life goal and forego necessities, even if they affect the quality of life. However, the main complication of drug use is persistence. Not only is quitting complicated, but there is a prevalent (and even permanent) risk of relapse by exposure or cues after usage has ended. The authors pinpointed a concept that was just touched upon in previous editions: reward, which is defined as objects, stimuli, or activities that have a net positive effect.\nThe chapter subsequently explains in detail the autonomic systems that regulate feeding and drinking, which introduces motivational states. These influence goal-directed behavior through internal and external stimuli, and may serve behaviors beyond homeostasis, such as sexual arousal. These stimuli, whether internal or external, homeostatic or non-regulatory, serve as rewards, guiding the animal’s goal selection. Therefore, the reward system is fundamental for goal-directed behavior. At a neurobiological level, the strongest responses to the reward system come from the medial forebrain bundle and longitudinal fiber bundles in the midline of the brain stem. They are enhanced by an increase in transmission from cholinergic cells in the laterodorsal tegmental and pedunculopontine nuclei of the hindbrain. As a result, studies have shown that stimulation of specific brain regions makes animals willing to forgo necessities to continue the stimulation.\nRemarkably, in conflict with some psychological theories of addiction (see Everitt and Robbins’ below), the authors emphasize that drug abuse and addiction are goal-directed behaviors. They explain how drugs of abuse affect the dopaminergic pathway by increasing extracellular dopamine in the nucleus accumbens: “Thus, psychotropic drugs that do not produce significant dopamine release in the nucleus accumbens are not addictive” (Kandel et al., 2013, p. 1106). However, they clarify that opiates follow dopamine-independent mechanisms. Wolfram Schultz’s experiments about the role of dopamine in reward consumption and anticipation are briefly mentioned (Schultz, 1997). Finally, this edition highlights the long-term neural effects of addictive drugs. While the previous edition introduced craving, tolerance, and dependence, this one also includes sensitization: “When effects grow stronger with repeated drug use, they are said to undergo sensitization. For example, the locomotor activity produced by amphetamine or cocaine increases with repeated use of the drug” (Kandel et al., 2013, p. 1109).\nIn the sixth edition (published in 2021), chapter 43 is entitled “Motivation, Reward and Addictive States,” and authored by Eric J. Nestler (molecular psychiatrist) and C. Daniel Salzman (cognitive neuroscientist). Note that “homeostasis” (now explained in chapter 41) is substituted for “reward” in the title. Also, addiction is briefly described in the chapter about the basal ganglia (chapter 38), authored by Peter Redgrave (neurobiologist) and Rui M. Costa (computational neuroscientist). After presenting the role of these structures in action selection and reinforcement learning, chapter 38 discusses whether disorders of the basal ganglia are disorders of selection. Among them, addictions are presented as disorders of reinforcement mechanisms and habitual goals. In this chapter, addiction is defined as a dramatic dysregulation of motivational selections, “caused by an exaggerated salience of addiction-related stimuli, binge indulgence, and withdrawal anxiety” (Kandel et al., 2021, p. 950). It involves changes in dopaminergic and opioid transmission. Since these neurotransmitter systems are related to reinforcement, addictive cues show an enhanced salience to capture behavior. In contrast with the previous edition, the authors clarify that drug-seeking may involve complex goal-directed behavior, although overall drug acquisition may be a stimulus-driven habit.\nChapter 41, like in previous editions, starts explaining the role of internal and external incentive stimuli in motivational states. Regarding rewards meeting homeostatic and non-regulatory needs, the main novelty in this edition is the authors’ claim that certain rewards and goals extend into longer timescales. Some motivational states entail more complex long-term goals driven by incentive stimuli, non-regulatory needs, such as finding a romantic partner or achieving a professional goal. In these scenarios, actions are not immediately rewarded, and the motivational states must be sustained across challenging circumstances to achieve certain goals. Regarding neuroanatomy, the reward system provides a biological substrate for goal selection, which involves assessing risks, costs, and benefits. Thus, there are neural mechanisms responsible to weigh the costs and benefits of behavior leading to a goal. Pathologies such as addiction hijack these reward systems, resulting in maladaptive behavior. Still, the work by Olds and Milner (1954) about rewarding self-intracranial stimulation is presented as a key experiment in this respect. Before discussing addiction, the authors explain more extensively Wolfram Schultz’s experiments about the role of dopaminergic neurons in learning (Schultz, 1997).\nDrug addiction is defined as “a chronic and sometimes fatal syndrome characterized by compulsive drug seeking and consumption despite serious negative consequences such as medical illness and inability to function in the family, workplace, or society” (Kandel et al., 2021, p. 1069–1070). The authors highlight that only a few chemicals are drugs of abuse and, being diverse in their structure, they all target the reward system, which involves not only dopamine, but also glutamate and GABA. A new fact stated in this edition is that about 50% of the risk for substance addiction is genetic. The concepts of tolerance, sensitization, dependence, and withdrawal are also defined in the sixth edition. After this, the authors explain in depth some molecular processes that may explain addiction, such as upregulation of the cAMP-CREB pathway (already mentioned in the previous edition), and induction of ΔFosB transcription factor (new here). Then, and also for the first time, synaptic (long-term potentiation and depression) and whole-cell plasticity in the ventral tegmental area and nucleus accumbens are explained in the context of addiction. Circuit plasticity involving the prefrontal cortex, hippocampus, amygdala, thalamus, nucleus accumbens, and midbrain is briefly mentioned as an emergent field in addiction, as well as the impact of drugs on glia and endothelial cells.\nFinally, as an important landmark, the last section introduces “natural addictions.” The brain’s reward system evolved to encourage the pursuit of natural rewards, such as food, reproduction, and social interaction. However, some individuals exhibit compulsive engagement in these otherwise normal activities, stepping into overeating, uncontrollable shopping, gambling, video gaming, or sexual behavior, in ways that strongly resemble drug addiction. Researchers are exploring whether these “natural addictions” (also known as behavioral addictions) are driven by similar molecular, cellular, and circuit-level changes as those seen in substance abuse. One possibility is that certain people, due to genetic or non-genetic vulnerabilities, experience excessive activation of reward pathways, repeatedly seeking the initial pleasure even in the face of negative consequences. Studying natural addictions is more complex than studying drug use, partly because animal models are not straightforward to develop. With that said, human brain imaging studies increasingly suggest that both drug addictions and behavioral addictions involve similar dysregulation of the brain’s reward circuitry.\nIn conclusion, the neurobiological study of addiction has become more established through the successive editions of Kandel’s Principles of Neural Science. Its relationship with reward, reinforcement learning, action selection, and dopamine has been increasingly grounded. Furthermore, the level of detail is higher, involving genetics and describing precise molecular pathways that affect learning. Remarkably, the field of behavioral addictions is starting to emerge; these are probably the most prevalent in present times.\nAfter summarizing the concept and study of addiction through the six editions of Kandel’s manual (see Table 1 for a summary of the main ideas included in each edition), we will present the scientific context around this topic in the years before the publication of each edition. Thus, we outline key scientific publications that reflect the state of the art in addiction research for each time period. By doing so, we aim to provide a contextual reading of the manual, emphasizing its contribution to this field of knowledge.\nSummary of the key ideas contained in each edition of Kandel’s manual, including the Cellular basis of behavior.\n\n\n### A field to be discovered in the prequel and the first three editions (1976–1991)\nGoing back to the Cellular Basis of Behavior (published in 1976), addiction and related terms –alcoholism, substance use, dependence, etc.,– are not mentioned throughout the text, even though learning is considered a key topic of behavior. The book includes a complete description of the experiments done by authors such as Pavlov, Thorndike, Lashley, Tolman, and Thorpe. Conditioned responses, habituation, sensitization, reinforcement, and similar terms are described in detail, but are unrelated to addiction. The connection between this condition and aberrant learning had not yet been proposed. The last chapter is dedicated to the “Implications for the Study of Abnormal Behavior.” Citing Claude Bernard, Kandel states that “disease states are often extreme manifestations of normal processes and follow lawful patterns that can be successfully analyzed with biological techniques (…) As a result, normal cellular functioning and its alteration in disease have come to be viewed within a common, biological framework” (Kandel, 1976, p. 653). However, he is cautious about the application of this perspective to human behavior: “This framework, which encompasses both normal and abnormal behavior, has not yet been firmly established within psychiatry” (p. 653). Kandel draws the classic distinction between neuroses and psychoses, which involve one or more of the following “psychological states” with a varied degree of severity: anxiety, depression, mania, paranoia, delusion, hallucination, and thought disorders. When describing the disturbances of motivational states and stress, which disrupts homeostasis, many descriptions evoke addictive behaviors, albeit they are not mentioned: “For example, a strong stimulus that usually produces a large response may fail to do so; a constant stimulus that normally produces and unvarying response may produce variations of that response; or a change in the stimulus may not be reflected by a change in the response” (Kandel, 1976, p. 658). Following a neurobiological description of these disturbances in Aplysia, Kandel relates them to obesity and anorexia in humans, but not to addiction.\nFollowing this line, the first three editions of the Principles do not deal explicitly with addiction. However, there is a fascinating mention in the first edition’s preface (published in 1981): “Not needed only for clinical application, neural science is required for understanding human behavior, because all behavior is an expression of neural activity. Beyond medicine, in society at large, the problems of crowding, addiction, violence, and war revolve around the nature of human beings. Any intelligent solutions to the enormous problems of human behavior, individual and collective, must benefit from greater knowledge of neural function. Many of these problems are not now in the immediate domain of neural science, but progress is rapid and we can hope that neural scientists will soon be able to contribute directly to understanding them” (Kandel and Schwartz, 1981, p. xxxi). Addiction is viewed as one of the main societal problems beyond medicine at the time, with the firm conviction that it would be scientific soon. This sentence remains unchanged in the second edition, but in the third, these topics are replaced by a focus on the mind and consciousness as the “frontiers of biology” (Kandel et al., 1991, p. xl).\nReturning to the first edition, mental illness is discussed in the context of schizophrenia (as the primary example of thought disorder) and depression (as the paradigm of affective disorder). Regarding topics potentially related to addiction, there are extensive descriptions of associative and non-associative learning, habituation, and a Pavlovian description of memory. Chapters 37 and 38, signed by Irving Kupfermann (Kandel’s long-standing collaborator, biologist and expert in Aplysia), describe the limbic system and motivation. The author explains the role of these systems in maintaining homeostasis, highlighting hormonal responses and their relationship to pain, pleasure, learning, and emotional behavior in general. Nowadays, we naturally relate these topics to addiction, and the link was already proposed in the scientific literature, as we will see in the next Section. Interestingly, the earliest edition of the Principles describes behavior reinforcement through intracranial self-stimulation of the hypothalamus, discovered by Olds and Milner in 1954 (Olds and Milner, 1954). In Kandel’s Principles, this idea is connected to normal behavior: “Support for this idea has come from the subsequent observations that many of the points in the brain that are effective in producing reward also stimulate complex behavioral patterns such as feeding and drinking” (Kandel and Schwartz, 1981, p. 459).\nThe second edition (also written by Irving Kupfermann, published in 1985) shows similar ideas about motivation, learning, reinforcement, and intracranial stimulation. However, some additions in these chapters tighten the gap between motivation and addiction, even though this disorder is still unmentioned. Motivational states are defined as the “internal conditions that arouse and direct voluntary behavior” (Kandel and Schwartz, 1985, p. 626). Some are specifically called “drives” (i.e., urges or impulses based upon bodily needs). However, not all drives address physiological needs, such as curiosity. In this case, no homeostasis imbalance should be corrected. Sometimes, motivational states are just the interaction between external and internal stimuli. Further, hedonic factors (that is, pleasure) can regulate motivated behaviors. This is where the topic is approaching addiction, although the explicit connection is not yet made in the text. According to this edition, the neural bases of pleasure are poorly understood. Still, it is hypothesized that these mechanisms overlap or even coincide with brain processes concerned with reward and reinforcement of learned behavior. Biogenic amines, and more precisely dopamine, are already suggested as candidate neurotransmitters.\nIn the third edition (published in 1991), addiction is also not mentioned. The chapter on motivation (also by Irving Kupfermann) explains, as in the previous editions, that motivational states can be regulated by factors other than tissue needs. In this case, the author mentions ecological constraints, anticipatory mechanisms, and, like in the previous edition, hedonic factors. The first aspect involves cost-benefit functions that maximize food intake (or any similar feature) in response to the animal’s external conditions. The second relates to circadian rhythms, which enable animals to anticipate their basic needs. Hedonic factors are explained in the same words as in the previous edition. However, there is an important addition in the final section regarding intracranial stimulation. After explaining the basics as in the second edition, the author adds: “Stimulation of the nucleus accumbens is also reinforcing. In fact, addictive drugs such as cocaine may induce euphoria by enhancing the action of dopamine at the nucleus accumbens, which receives substantial dopaminergic input” (Kandel et al., 1991, p. 759). Therefore, even though it is still absent in the book, addiction is progressively emerging as a topic of interest in the chapter on motivational states.\nIn conclusion, addiction is a nearly unexplored topic in the three initial editions of Kandel’s Principles of Neural Science (Kandel and Schwartz, 1981, 1985; Kandel et al., 1991). Its scarce mentions are linked to motivation and homeostasis. Dopamine is proposed as a candidate neurotransmitter to be involved in the overall process of motivation, and the nucleus accumbens is explicitly mentioned as the target of drugs of abuse, even though its role in addiction is unmentioned. From 1991 to 2000, scientific advances in neuroscience and psychology consolidated the presence of addiction in the book. Finally, it was honored with its own chapter (ex aequo with “motivation”) in the fourth edition.\n\n\n### The progressive consolidation of addiction in the fourth, fifth, and sixth editions (2000–2021)\nNine years after the publication of the third, the fourth edition came out (in 2000, the same year that Eric Kandel received the Nobel Prize), including a chapter about “Motivational and Addictive States” (chapter 51), authored by Irving Kupfermann, Eric Kandel, and Susan Iversen (neuropsychopharmacologist). For the first time, addiction was considered a topic in this manual, tightly linked to motivation, which has been seen as the engine that initiates, sustains, and directs behavior toward specific goals. Traditionally, the study of motivation was narrowly focused on the drive to satisfy physiological needs, such as hunger, thirst, and the avoidance of pain. These needs were conceptualized within a framework of discomfort and relief, in which the organism’s behavior was seen as a response to restore physiological balance, namely homeostasis. Early theories inferred drive states solely from observable behaviors. However, advancements in neuroscience shifted this perspective to include the role of control systems, conceptualizing drive states as complex homeostatic reflexes that integrate sensory, cognitive, and emotional information.\nEven though the fourth edition did not have a systematic analysis of addiction, it started to show the relationship between drugs of abuse, reinforcement, and the limbic system. Craving, dependence, and tolerance were also briefly discussed. Neuroimaging (PET) studies began to link motivation to brain regions responsible for various forms of memory, including working, episodic, and emotional memory (see Box 51–1 in the 4th edition, Kandel et al., 2000). Studies demonstrated that activity in these regions was directly linked to the intensity of craving, particularly in the context of substance use disorders. This evidence suggested that the mechanisms underlying memory processing were intricately tied to the experience of craving, highlighting a potential overlap between the neural circuits involved in memory and those mediating the effects of addictive substances. Specifically, brain regions such as the hypothalamus, which play a critical role in reward processing and reinforcement learning, appeared to intersect with these mechanisms, reinforcing learned behaviors associated with drug use.\nWhen examining disorders of these neural circuits, addiction stood out as a primary example of how the reward pathway can be pathologically altered. Also, motivation, reinforcement, and addiction were linked for the first time (in this manual) with dopaminergic pathways. Different drugs of abuse cause similar addictive states by acting on the brain circuits that control reward and motivation, namely mesolimbic dopaminergic pathways, acting on transporters and receptors. Addiction to opiates, specifically, is mentioned in chapter 24, devoted to the perception of pain. Going back to chapter 51, it concludes with the concepts of tolerance and dependence. “Tolerance refers to progressive adaptation to the dosage that produces euphoria” (Kandel et al., 2000, p. 1011). It develops as the brain adapts to the repeated presence of a drug, diminishing its effects over time and necessitating higher doses to achieve the same level of reward. Dependence, on the other hand, “refers to the negative visceral consequences of withdrawal of the drug, such as nausea” (ibidem). It reflects the physiological and psychological reliance on the drug, characterized by withdrawal symptoms when its use is reduced or stopped. Together, these features create a cycle of compulsive drug-seeking and use that defines addiction. The interplay of reinforcement, tolerance, and dependence underscores the complexity of addiction, needing a multifaceted approach to its study and treatment.\nIn the fifth edition (published in 2012), chapter 49 was devoted to “Homeostasis, motivation and addictive states,” authored by Peter B. Shizgal (behavioral neurobiologist) and Steven Hyman (molecular psychiatrist). Addiction was becoming a well-established and independent concept in neural sciences. To our knowledge, this edition is the first to include an explicit definition of addiction: “compulsive drug use despite significantly negative consequences” (Kandel et al., 2013, p. 1105). Essentially, drugs become the only life goal and forego necessities, even if they affect the quality of life. However, the main complication of drug use is persistence. Not only is quitting complicated, but there is a prevalent (and even permanent) risk of relapse by exposure or cues after usage has ended. The authors pinpointed a concept that was just touched upon in previous editions: reward, which is defined as objects, stimuli, or activities that have a net positive effect.\nThe chapter subsequently explains in detail the autonomic systems that regulate feeding and drinking, which introduces motivational states. These influence goal-directed behavior through internal and external stimuli, and may serve behaviors beyond homeostasis, such as sexual arousal. These stimuli, whether internal or external, homeostatic or non-regulatory, serve as rewards, guiding the animal’s goal selection. Therefore, the reward system is fundamental for goal-directed behavior. At a neurobiological level, the strongest responses to the reward system come from the medial forebrain bundle and longitudinal fiber bundles in the midline of the brain stem. They are enhanced by an increase in transmission from cholinergic cells in the laterodorsal tegmental and pedunculopontine nuclei of the hindbrain. As a result, studies have shown that stimulation of specific brain regions makes animals willing to forgo necessities to continue the stimulation.\nRemarkably, in conflict with some psychological theories of addiction (see Everitt and Robbins’ below), the authors emphasize that drug abuse and addiction are goal-directed behaviors. They explain how drugs of abuse affect the dopaminergic pathway by increasing extracellular dopamine in the nucleus accumbens: “Thus, psychotropic drugs that do not produce significant dopamine release in the nucleus accumbens are not addictive” (Kandel et al., 2013, p. 1106). However, they clarify that opiates follow dopamine-independent mechanisms. Wolfram Schultz’s experiments about the role of dopamine in reward consumption and anticipation are briefly mentioned (Schultz, 1997). Finally, this edition highlights the long-term neural effects of addictive drugs. While the previous edition introduced craving, tolerance, and dependence, this one also includes sensitization: “When effects grow stronger with repeated drug use, they are said to undergo sensitization. For example, the locomotor activity produced by amphetamine or cocaine increases with repeated use of the drug” (Kandel et al., 2013, p. 1109).\nIn the sixth edition (published in 2021), chapter 43 is entitled “Motivation, Reward and Addictive States,” and authored by Eric J. Nestler (molecular psychiatrist) and C. Daniel Salzman (cognitive neuroscientist). Note that “homeostasis” (now explained in chapter 41) is substituted for “reward” in the title. Also, addiction is briefly described in the chapter about the basal ganglia (chapter 38), authored by Peter Redgrave (neurobiologist) and Rui M. Costa (computational neuroscientist). After presenting the role of these structures in action selection and reinforcement learning, chapter 38 discusses whether disorders of the basal ganglia are disorders of selection. Among them, addictions are presented as disorders of reinforcement mechanisms and habitual goals. In this chapter, addiction is defined as a dramatic dysregulation of motivational selections, “caused by an exaggerated salience of addiction-related stimuli, binge indulgence, and withdrawal anxiety” (Kandel et al., 2021, p. 950). It involves changes in dopaminergic and opioid transmission. Since these neurotransmitter systems are related to reinforcement, addictive cues show an enhanced salience to capture behavior. In contrast with the previous edition, the authors clarify that drug-seeking may involve complex goal-directed behavior, although overall drug acquisition may be a stimulus-driven habit.\nChapter 41, like in previous editions, starts explaining the role of internal and external incentive stimuli in motivational states. Regarding rewards meeting homeostatic and non-regulatory needs, the main novelty in this edition is the authors’ claim that certain rewards and goals extend into longer timescales. Some motivational states entail more complex long-term goals driven by incentive stimuli, non-regulatory needs, such as finding a romantic partner or achieving a professional goal. In these scenarios, actions are not immediately rewarded, and the motivational states must be sustained across challenging circumstances to achieve certain goals. Regarding neuroanatomy, the reward system provides a biological substrate for goal selection, which involves assessing risks, costs, and benefits. Thus, there are neural mechanisms responsible to weigh the costs and benefits of behavior leading to a goal. Pathologies such as addiction hijack these reward systems, resulting in maladaptive behavior. Still, the work by Olds and Milner (1954) about rewarding self-intracranial stimulation is presented as a key experiment in this respect. Before discussing addiction, the authors explain more extensively Wolfram Schultz’s experiments about the role of dopaminergic neurons in learning (Schultz, 1997).\nDrug addiction is defined as “a chronic and sometimes fatal syndrome characterized by compulsive drug seeking and consumption despite serious negative consequences such as medical illness and inability to function in the family, workplace, or society” (Kandel et al., 2021, p. 1069–1070). The authors highlight that only a few chemicals are drugs of abuse and, being diverse in their structure, they all target the reward system, which involves not only dopamine, but also glutamate and GABA. A new fact stated in this edition is that about 50% of the risk for substance addiction is genetic. The concepts of tolerance, sensitization, dependence, and withdrawal are also defined in the sixth edition. After this, the authors explain in depth some molecular processes that may explain addiction, such as upregulation of the cAMP-CREB pathway (already mentioned in the previous edition), and induction of ΔFosB transcription factor (new here). Then, and also for the first time, synaptic (long-term potentiation and depression) and whole-cell plasticity in the ventral tegmental area and nucleus accumbens are explained in the context of addiction. Circuit plasticity involving the prefrontal cortex, hippocampus, amygdala, thalamus, nucleus accumbens, and midbrain is briefly mentioned as an emergent field in addiction, as well as the impact of drugs on glia and endothelial cells.\nFinally, as an important landmark, the last section introduces “natural addictions.” The brain’s reward system evolved to encourage the pursuit of natural rewards, such as food, reproduction, and social interaction. However, some individuals exhibit compulsive engagement in these otherwise normal activities, stepping into overeating, uncontrollable shopping, gambling, video gaming, or sexual behavior, in ways that strongly resemble drug addiction. Researchers are exploring whether these “natural addictions” (also known as behavioral addictions) are driven by similar molecular, cellular, and circuit-level changes as those seen in substance abuse. One possibility is that certain people, due to genetic or non-genetic vulnerabilities, experience excessive activation of reward pathways, repeatedly seeking the initial pleasure even in the face of negative consequences. Studying natural addictions is more complex than studying drug use, partly because animal models are not straightforward to develop. With that said, human brain imaging studies increasingly suggest that both drug addictions and behavioral addictions involve similar dysregulation of the brain’s reward circuitry.\nIn conclusion, the neurobiological study of addiction has become more established through the successive editions of Kandel’s Principles of Neural Science. Its relationship with reward, reinforcement learning, action selection, and dopamine has been increasingly grounded. Furthermore, the level of detail is higher, involving genetics and describing precise molecular pathways that affect learning. Remarkably, the field of behavioral addictions is starting to emerge; these are probably the most prevalent in present times.\nAfter summarizing the concept and study of addiction through the six editions of Kandel’s manual (see Table 1 for a summary of the main ideas included in each edition), we will present the scientific context around this topic in the years before the publication of each edition. Thus, we outline key scientific publications that reflect the state of the art in addiction research for each time period. By doing so, we aim to provide a contextual reading of the manual, emphasizing its contribution to this field of knowledge.\nSummary of the key ideas contained in each edition of Kandel’s manual, including the Cellular basis of behavior.\n\n\n### The scientific context of addiction for each edition of Kandel’s manual\nAs we mentioned in the Introduction, “neurobiology of addiction” was an inexistent field in those years. Therefore, our search included the terms “brain” and “addiction,” resulting in 6 articles. One of them was excluded because it was not in English. We complemented this search with other terms (such as “alcoholism”) to retrieve other potentially interesting sources. In total, we analyzed 13 articles (see Figure 1 for a flow chart of this process).\nFlow chart showing article selection for the state of the art before the publication of the first edition of Kandel’s handbook.\nRegarding conceptual or theoretical frameworks, addiction was already perceived as a multifactorial issue, a “more general phenomenon” which goes beyond mere chemical imbalances and physiological causes (Solomon and Corbit, 1978, p. 12). As Goodwin put it, “Are the causes biological, sociological, or psychological? The fashion today is to say all three” (Goodwin, 1979, p. 161). As such, there was plenty of disagreement within the literature as to which component holds the most weight in the definition of addiction, whether it is a physical condition, a behavioral problem, or a question of upbringing or social environment. Following this line, Lex and Schor (1977) propose preliminary conjectures about possible neurobiological relationships among seemingly disparate phenomena: religious rituals, native curing therapies, and the pharmacodynamic, psychological, and sociocultural components of opiate addiction.\nIn this climate, several new theories were being proposed. For example, the first Opponent Process Theory “of motivation” was proposed by Solomon and Corbit, which explains addiction as a sequence of paired emotional and behavioral responses attributed to underlying physiological processes (which were still only vaguely identified). Behaviorally speaking, addiction is defined as a short hedonic, appetitive, State A (the initial “rush” of euphoria, which is positively reinforcing), followed by an opposite State B, which is slowly decaying, dysphoric and aversive, and ultimately a summation of both effects as the patient returns to their initial baseline neutral state. After repeated drug use, the B process strengthens, leading the patient to use the drug to elicit State A to escape State B; otherwise, increased drug use is attributed to negative reinforcement rather than positive reinforcement or pleasure-seeking (Solomon and Corbit, 1978). There was also a resurgence of older theories, such as the Homeostasis Hypothesis, originally proposed by Himmelsbach (1943), which suggested that the body adapts to drug use to maintain homeostasis. More physiologically focused theories questioned the concepts of dependence, tolerance, and withdrawal, challenging the view that they are key pillars of addiction. For instance, Goldstein (1979) used molecular techniques to examine the lipid composition of cellular membranes to operationalize tolerance and dependence as a function of membrane fluidity; he concluded that “functional tolerance” and “physical dependence” were two separate processes dissociated from addiction, as the characteristic behaviors of addiction can occur in their absence.\nRegarding the neurobiology of addiction, it was focused on the role of specific neurotransmitters, primarily catecholamines, and their association with drug-taking behavior. Studies such as Maroli et al. (1978) and Esposito and Kornetsky (1978) relate catecholaminergic activity in the medial forebrain bundle to reinforcement of prolonged drug use, primarily dopamine and norepinephrine. Sheridan et al. (1980) propose that acetaldehyde, the main metabolite of ethanol metabolism, is neuroactive and will stimulate dopaminergic circuitry such as the mesolimbic reward pathway and the VTA, creating motivational and reward effects. It is suggested that acetaldehyde hydrate could act as a strong inhibitor of aldehyde dehydrogenase, slowing its breakdown and thereby increasing acetaldehyde levels, perpetuating these reinforcing effects. On the other hand, Rix and Davidson (1977) question whether GABAergic systems have a causal role in the genesis or maintenance of alcoholism or other drug-dependent states. Finally, Chen (1977) suggests the role of acupuncture to mitigate opiate withdrawal symptoms through enkephalin enhancement.\nOn the other hand, researchers focus rather on the etiology of addiction and on an ongoing “nature vs. nurture” debate. In other words, they discuss whether there is a biological and/or psychological vulnerability, or if addiction is an acquired condition. Goodwin, for example, through twin and adoption studies, suggests that alcoholism is primarily a genetically inherited condition whose “strongest predictor” is a family history of alcoholism (Goodwin, 1979). Wilson’s study sides rather with the “nurture” aspect of the debate, arguing that the “screwed-up” and “precipitated” alcoholics were determined by their environment (Wilson, 1977). DeFeudis gives a more neurobiological approach to the topic by focusing on environmental vulnerability factors in animal models. He suggests that “environmental impoverishment” (social isolation) may promote addiction by affecting neural pathways and drug metabolism (DeFeudis, 1978), such as by increasing sensitivity to morphine-induced analgesia. Other theories focus on the “nature” side of addiction, and the intrinsic personality-based vulnerability factors people may carry, which could predispose the initial use of a drug. Kohn and Annis (1977) use a scale of 4 constructs to determine a person’s tendency toward novelty seeking as a predictor of initial drug use. Additionally, Lawson and Winstead (1978) explain drug use as “temporary symptomatic relief” of the discomfort created by one’s internal stress (personality traits) and external stress (environment).\nIn sum, during these years, addiction is viewed as a multifactorial condition, with neurobiological correlates focused on catecholamines and endogenous opioids, such as enkephalin. The dominant theories were the opponent process and homeostasis. Several studies highlighted the importance of predisposing factors to addiction, both at genetic and personality levels, and others highlighted the role of education and social factors.\nSee Table 2 for a summary of the key findings on the neurobiology of addiction in this period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the first edition of Kandel’s handbook.\nDuring this period, we also adapted the search string to “brain” and “addiction” because the term “neurobiology” was not used. The output consisted of 16 articles. Two were excluded for not being in English, and two for being unrelated to addiction. The 12 selected articles were supplemented by other relevant sources from their bibliographies, for a total of 16 articles analyzed (see Figure 2).\nFlow chart showing article selection for the state of the art before the publication of the second edition of Kandel’s handbook.\nConcerning frameworks and concepts, in the early 1980s, new terms to describe addiction gained popularity in scientific literature, and over time came to integrate the different psychological and neurobiological facets of addiction. The idea of addiction as a form of “neuroadaptation,” mentioned in studies of previous years (Goldstein, 1979), became popularized, and the neurobiological bases gained more importance. Where Solomon and Corbit described addictions as “diseases of adaptation” (Solomon and Corbit, 1978), researchers in later years began to integrate this neurobiological concept with behavioral aspects. Addiction, seen by some authors as a moral failing or psychological weakness (Nicholi, 1983), was consolidated as a compulsive behavior driven by neurobiological adaptations (Wise and Bozarth, 1981).\nNahas (1981) summarizes the “learning” theory for addiction, involving “pleasure reward mechanisms of the brain” which reinforce repeated drug-use behaviors. The main reinforcers are withdrawal symptoms and tolerance. Nahas questions the validity of distinguishing “psychic” and “physical” dependence, contradicting other researchers who argue in favor of this distinction, like Schuster and Johanson (1981), who introduce the term “craving” as the psychological or behavioral component of dependence. Stewart (1983) later mapped psychological dependence to a neurobiological cause –a neurobiological response to conditioned cues that activate brain reward pathways even in the absence of drugs.\nAnother influential theory that emerged during this period was the Psychomotor Stimulant Theory, proposed by Wise and Bozarth (1981). This theory is rooted in Wise’s Hedonic Hypothesis, published in the previous year, which suggested that addiction is a pleasure-seeking behavior reinforced by dopamine. This falls in line with some vulnerability-based hypotheses proposed in this period, such as Nicholi’s (1983), which states that patients take drugs to “escape from a less than tolerable reality” (Nicholi, 1983, p. 931).\nRegarding specific substances and neural systems, Gold and colleagues contribute to a better understanding of opiate addiction in this time period, showing first the link between opiate addiction, endorphins and the possible treatment with naltrexone (Gold et al., 1982), then the role that endorphins play in addiction, withdrawal, and recovery (Gold and Rea, 1983), and finally the efficacy of different treatments for addiction (like clonidine) involving endogenous opioid peptides and hyperactive norepinephrine neurons (Gold et al., 1984; Gold and Dackis, 1984). Complementarily, Derr (1984) proposes a new hypothesis for ethanol withdrawal symptoms, suggesting that they result from decreased aerobic cell metabolism in the brain (an inability to properly conduct the Krebs cycle), and Constantinidis et al. (1983) reviews the role of different peptide neurotransmitters within the body, in the formation of a range of different neurological and psychiatric disorders, including addiction.\nLewis (1984), besides giving a neurobiological explanation of addiction, adds personality features as vulnerability factors. As such, he proposes that people with antisocial personality traits tend to present neurological alterations such as subcortical dysfunction, which could be linked to “deviant behavior.” All these factors would predate the development of addiction, and are proposed as a possible contributing factor.\nInstead of exploring addiction itself, some articles focus on the general negative consequences that arise as a byproduct of addiction, including different substances such as alcohol (Leber and Parsons, 1982), non-opiate non-alcoholic substances (Kornblith, 1981), or barbiturates (Fishman and Yanai, 1983). A special issue in Seminars in Roentgenology is dedicated to the “Radiology of Drug Addiction,” describing the affectation of different organs due to this condition (Felson, 1983).\nOverall, this period reflects a deeper debate on concepts such as adaptation, reward learning, craving and dependence, and the introduction of the psychomotor stimulant theory. More precise neurochemical studies center on opioids and endorphins, rather than on catecholamines. Also, several studies show the negative physiological effects of addiction, and stress the interplay between personality, neuroanatomy and addiction.\nSee Table 3 for a thematic summary of the literature during this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the second edition of Kandel’s handbook.\nIn the second half of the 1980s, the word “neurobiology” started to be used in the context of addiction. The search “neurobiology” and “addiction” retrieved 4 articles. To complement this limited search, we repeated the query “brain” and “addiction,” yielding 61 additional articles. We excluded 16 articles for not being in English (8), being unrelated to addiction or drug use (5), or being inaccessible (3) (see Figure 3).\nFlow chart showing article selection for the state of the art before the publication of the third edition of Kandel’s handbook.\nInterestingly, for both search strings, we did not find any article explicitly developing new or established frameworks in addiction. This fact was unique across all time periods. Concerning the first search (“neurobiology” and “addiction”), De Souza explains the effects of benzodiazepines in the neuroendocrine system, hardly referring to addiction (De Souza, 1990). The work by Lo and collaborators is on retroviral-mediated gene transfer and is far from addiction research (Lo et al., 1988). The two remaining papers do deal with addiction. First, Carlen and Wu (1988) explain the role of sedative-hypnotic drugs (such as alcohol, barbiturates, and benzodiazepines) on calcium-mediated metabolic processes, and their effect on tolerance, dependence, and withdrawal symptoms. Finally, Wise (1988) claims that theories rooted primarily in psychology were just descriptive, suggesting that psychological constructs such as the previously popularized “craving” were too subjective for addiction research. Instead, he suggests that psychological components should be measured through behaviors (according to them, preoccupation, compulsivity, and relapse), and should be integrated with the more robust neurochemical components, which are related to physiological dependence and tolerance (even if these are not necessary components for addiction).\nRegarding the second search query (“brain” and “addiction”), included research articles explore addiction through neurobiological pathways, specific pharmacological mechanisms, and individual genetic or psychological vulnerabilities. A recurring theme across neurobiological pathways and reinforcement mechanisms is the role of the mesocorticolimbic dopaminergic pathway as a primary substrate for drug dependence. For example, cocaine reinforcement is directly linked to enhanced dopaminergic neurotransmission in the ventral tegmental system (Bozarth, 1989). Changes in this reward system, such as dopamine depletion, are hypothesized to drive the intense craving associated with stimulant addiction (Dackis and Gold, 1990). Concerning stimulants, Miller et al. provide an extensive review of amphetamines (Miller et al., 1989b). Other articles also explore the interplay between the dopaminergic system and other endogenous neuroactive substances. For example, Ochoa et al. (1990) highlight cholinergic mechanisms in nicotine addiction and explain in detail the molecular structure of nicotinic receptors. Myers (1990) links dopamine to enkephalin to support the “Multiple Metabolite” theory of alcoholism, which proposes the affectation of the limbic system by an endogenously formed aldehyde adduct: the neuronal damage it produces on dopaminergic and enkephalinergic pathways would be related to the rewarding and addictive properties of alcohol. In a previous work, Myers showed the role of tetrahydroisoquinoline and beta-carboline derivatives in increasing voluntary alcohol consumption by interacting with opioid receptors and the dopamine system (Myers, 1989).\nGoing deeper into neurochemical theories of alcohol use disorders, Blum and Trachtenberg (1988) propose alcoholism as a neuropsychogenetic disorder rooted in deficient endogenous opioids. According to this model, alcohol serves as an exogenous stimulator compensating for genetically or environmentally induced opioid deficiencies. They identify enkephalinase inhibitors as promising therapeutic tools. Another therapeutic avenue is directly modifying alcohol intake via serotonergic modulation. Naranjo and Sellers (1989) provide evidence from multiple placebo-controlled trials showing that serotonin reuptake inhibitors can reduce alcohol consumption by 20–30%, though without identifiable predictors of treatment response. In contrast, Cushman (1987) reviews ethanol–opioid interactions, concluding that metabolic and receptor-level interactions are complex and not yet clearly clinically interpretable. Naber (1988) also concludes that the link between endorphins and psychiatric/addictive disorders remains inadequately substantiated, reflecting uncertainty in translating opioid biology to treatment.\nFurther complicating the opioid landscape, another article identifies the possibility of additional opioid receptor subtypes, suggesting selective tolerance patterns and highlighting the μ-receptor’s clear association with high abuse potential (Herz, 1990). Additionally, several mechanistic biochemical papers, such as Kosterlitz et al. (1988) on cation modulation of opioid receptors, Kosterlitz (1987) on endogenous opioid ligands, and Costa et al. (1987) on opioid peptide biosynthesis, provide foundational molecular context relevant to many addiction models but do not propose new addiction-specific theories.\nConcerning cocaine, extensively reviewed by Miller et al. (1989a), Ritz and colleagues demonstrate that self-administration correlates most strongly with its blockade of dopamine reuptake, not serotonin or norepinephrine (Ritz et al., 1989). Complementing this, Gawin (1988) shows that chronic cocaine use leads to neurophysiological adaptations reducing activity in reward circuits, resulting clinically in anhedonia during abstinence. Pert et al. (1990) link dopamine with the conditioning produced by psychomotor stimulants. Instead of relating dopamine to other neurobiological pathways, these authors highlight its role in the acquisition of conditioned behaviors characteristic of incentive-motivational processes.\nDeminiere et al. suggested that increased dopamine turnover in the nucleus accumbens had a more widespread, non-specific role in drug-related behavior, also provoking a decreased dopamine turnover in the frontal cortex (Deminiere et al., 1989). Across substances, Wise (1988) proposes a two-factor reinforcement model: positive reinforcement through dopaminergic activation and negative reinforcement through suppression of distress signals, especially for opioids. This dual-system understanding becomes crucial for explaining craving and relapse independent of withdrawal symptoms. Nicotine addiction is also anchored in catecholaminergic mechanisms. Grenhoff and Svensson (1989) and Henningfield and Woodson (1989) document how nicotine influences dopamine and norepinephrine systems, reinforcing smoking behavior and producing dependence through dose-related neurochemical and behavioral changes.\nSeveral studies concentrated on biological vulnerability, posing genetic influences as another significant theme: models using inbred strains, mutants, and selectively bred animals demonstrate strong heritable components in drug metabolism, receptor number, drug-seeking behavior, and withdrawal (Shuster, 1990). Frischknecht et al. (1988) compare opioid-reactive mouse strains, showing genetically determined dissociations between analgesia, locomotor response, and addiction vulnerability, and Collins shows that nicotinic receptor number is genetically regulated, reinforcing the view that addiction liability can be rooted in inherited neurobiological traits (Collins, 1990). Individual variability also shapes nicotine’s subjective effects. Russell (1989) discusses how innate factors, tolerance, receptor regulation, and learning produce highly variable nicotine responses in humans, influencing dependence trajectories. Genetic heterogeneity extends beyond opioids and nicotine. Propping (1987) argues that psychiatric disorders, including addictive propensities, likely arise from polygenic interactions, noting subtle differences even among heterozygotes for metabolic disorders.\nSome studies expand the frame beyond neural mechanisms to cognitive and psychological dimensions. Neuropsychological research reports that substance abusers show deficits in abstract reasoning, cognitive flexibility, and behavioral control; these findings support the idea that “cognitive style” may serve as a bridge between neuropsychological functioning and personality-related addiction vulnerability (Miller, 1990). Others examine reinforcement mechanisms in alcohol addiction from both positive (euphoria, anxiolysis) and negative (withdrawal, aversion) reinforcement perspectives, integrating neurochemical and genetic findings into motivational models of alcohol use (Lewis, 1990). London et al. (1990) summarize findings about drug-induced euphoria using PET, being one of the first neuroimaging reviews. In the same issue of the NIDA Research Monograph series, Volkow et al. (1990) review PET studies about different drugs of abuse, such as cocaine, alcohol, and marijuana.\nAnother recurring topic is the biological basis of tolerance and withdrawal. Littleton (1989) proposes that chronic alcohol intake upregulates GABA function and modulates calcium channels, creating physical dependence and suggesting calcium-channel antagonists as a therapeutic avenue. More broadly, Kiyatkin (1989) reviews how chronic drug exposure induces stable modifications in central monoaminergic and opioid systems, altering endogenous reinforcement processes and solidifying dependence. Oxytocin emerges as a modulator of opioid tolerance and withdrawal. Kovács and Telegdy (1988) show that oxytocin reduces tolerance development and withdrawal symptoms in morphine- and heroin-treated animals, indicating a specific role in dependence but not analgesia. Expanding the concept of dependence, Miller et al. (1987) argue that addiction is not simply the presence of tolerance and withdrawal, which can develop even after a single dose, but rather a neurochemically driven distortion of instinctive drives. In their view, addiction may occur independently of classical dependence markers.\nA subset of papers explores the physiological consequences of substance use rather than addiction mechanisms per se. Habitual smokers exhibit dose-dependent increases in plasma cortisol driven by nicotine’s central action on hypothalamic or brainstem structures, and smoking cessation decreases cortisol levels—a fluctuation linked to withdrawal symptoms (Targovnik, 1989). In another example, heroin addiction is associated with amenorrhea and hypogonadism, suggesting interference of endogenous opioid peptides with the hypothalamic-pituitary-gonadal axis (Genazzani and Petraglia, 1989). Also, Rich et al. (1990) describe a few cases of isopropyl alcohol intoxication, which can have different presentations in addicted (stupor) and non-addicted (encephalopathy) individuals. Similarly, Lê and Kalant (1990) explain how learning is a relevant factor in ethanol tolerance.\nA few articles highlight broader neurobiological infrastructure relevant to addiction. The blood–brain barrier’s peptide transport systems are described as modulated by ethanol addiction and withdrawal, opening the possibility that such mechanisms influence peptide-based signaling relevant to dependence (Banks and Kastin, 1990). Another article describes the interplay between several serotonin receptors in psychiatric illnesses, briefly including addiction (Montgomery and Fineberg, 1989). Tangentially, albeit interestingly, Shapiro and Kornfeld (1987) highlight psychiatric considerations in patients with head and neck cancer, including high rates of alcohol and tobacco addiction: an important reminder of the intersection between addiction and severe medical illness. Laitinen explains neurosurgery in psychiatric disorders, including addiction, where cingulotomy is reported as effective (Laitinen, 1988). Finally, Kaplan proposes a provocative novel model linking drug experience, creativity, and cerebral lateralization. He suggests that psychoactive drugs initially enhance, then disrupt, creative processes by altering hemispheric balance, eventually producing disconnection patterns akin to split-brain phenomena (Kaplan, 1988).\nIn conclusion, addiction research during this period consolidated into a distinctly neurobiological framework, with “neurobiology” emerging as an explicit term and dopamine-centered models dominating explanations of reinforcement, craving, and relapse. The mesocorticolimbic pathway became the principal substrate for drug dependence across substances, while opioid, serotonergic, and cholinergic systems were integrated into increasingly complex, multi-neurotransmitter accounts. Genetic vulnerability, receptor regulation, and neurochemical adaptations were recognized as central to individual differences in addiction liability. At the same time, neuroimaging (PET), cognitive research, and studies of tolerance and withdrawal expanded the field’s methodological scope. Overall, addiction was increasingly conceptualized as a heritable, brain-based disorder shaped by neuroadaptation, learning, and motivational dynamics.\nSee Table 4 for a conceptual summary of this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the third edition of Kandel’s handbook.\nThe query “neurobiology” and “addiction” yielded 26 articles published between 1996 and 1999. Five were excluded because they were not in English, and 1 reference was not about addiction. We also included two more references for their outstanding importance in the neurobiology of addiction: Robinson and Berridge (1993) and Leshner (1997). The former did not result in the original search because it was published before 1996, and the latter was indexed in PubMed as a journal article rather than a review, editorial, or any other article type originally included in our search queries (see section “1 Introduction”; see Figure 4).\nFlow chart showing article selection for the state of the art before the publication of the fourth edition of Kandel’s handbook.\nIn this period, addiction research grew increasingly integrative, blending neurobiological, behavioral, molecular, and conceptual insights. Before diving into specific frameworks, several authors address the fundamental nature of addiction. Koob and Nestler give a good summary of these related aspects in their 1997 review; drug addiction or dependence is defined as “a compulsion to take a drug, with a loss of control in limiting intake” (Koob and Nestler, 1997, p. 482). Reinforcement or motivation is considered a crucial part of this syndrome, where a reinforcer is defined as “any event that increases the probability of a response” (p. 483). Reward is similar, but specifically includes pleasure. The components of addiction are pleasure, self-medication, and habits, both as conditioned positive and negative reinforcement. These aspects are reflected for the first time in the 4th edition of Kandel’s Principles, which is the first of the six editions to give proper consideration to the topic of addiction. Remarkably, Leshner overtly presents drug addiction as a brain disease, defining it as a chronic, relapsing disease characterized by compulsive drug seeking (Leshner, 1997). More importantly, while highlighting the role of the brain in the disease, the author insists that it is not just a brain disease, so therapeutic approaches must consider biological, behavioral, and social-contextual components. The psychomotor stimulant theory remained a significant focus in the literature of these years (Koob and Nestler, 1997; Sarnyai, 1998a; Wise, 1996). Wise speaks of recent contributions to the theory, namely, the central nervous system’s newfound role in “mediating positive reinforcement and euphoria” (Wise, 1996, p. 243). He also shows evidence against negative reinforcement (such as withdrawal symptoms) as the motor of drug abuse, stating that “human alcoholics were shown to voluntarily eschew alcohol during periods of severe withdrawal distress (only to re-initiate drinking when such distress was minimal)” (Wise, 1996, p. 244). Additionally, Sarnyai gives a “stress version” of psychomotor stimulant theory rather than a “reward version,” as he explains that all the effects of cocaine (behavioral hyperactivity, euphoria, addiction per se, withdrawal, etc.) are explained by its impact on the stress circuit via the corticotropin releasing factor (Sarnyai, 1998a).\nAn important new theory that appears in the literature is Incentive Salience Theory, proposed by Robinson and Berridge (1993), which shifts away from the notions of pleasure-seeking emphasized by the popular psychomotor stimulant theory across previous decades (Robinson and Berridge, 1993). This hypothesis explains addiction as a transition from “liking” to “wanting” the drug (another term for the previously discussed “craving”), which is explained by “progressive and persistent neuroadaptations” due to persistent drug use. This implies a change from goal-directed and voluntary actions to compulsive self-administration despite liking the drug much less than at the initial encounter, which is a concept that will be further developed in the following years.\nAmidst this variety of frameworks, one perspective highlights a state of “conceptual chaos,” arguing for clearer definitions of substance use, abuse, and dependence, while suggesting that drugs may not be a necessary precondition for addiction, as seen in behaviors like gambling (Shaffer, 1997). Others define addiction broadly as a compulsion to use drugs and the experience of withdrawal, a state involving both physical hyperexcitability and mental shifts that motivate relapse (Roberts and Koob, 1997). Overall, a key message is that while different drugs like heroin and cocaine have specific “chemical trigger zones,” they ultimately converge on the same shared brain mechanisms of reward (Wise, 1996). Colpaert (1999) proposes a new framework to understand addiction, namely drug discrimination studies, as determinants of areas of neurobiological interest (ligand analysis, CNS receptors, enzymes, ion channels). This is conceived as a quantal assessment of drug mechanisms focused on molecular effects. On their side, Hyman and Nestler review the state of the art in addiction neurobiology to promote a paradigm shift from synapses to the molecular biology of neurons beyond interneuronal communication (Hyman and Nestler, 1996). They describe how neural plasticity occurs from the start to its final adaptation after long-term exposure to drugs, including gene expression.\nMoving to specific neurobiological systems, and expanding the interest in dopamine of previous years, a dominant theme across several articles is the central role of frontostriatal and mesocorticolimbic circuits in shaping compulsive drug-seeking behavior. For instance, Jentsch and Taylor (1999) highlight how prolonged drug exposure may impair frontal cortical regions required for inhibitory control, contributing to compulsive reward-driven actions. Chronic multineuron recording techniques allow researchers to observe these neuronal behaviors in real-time within the mesocorticolimbic circuit during active drug use (Woodward et al., 1998). Further, ethanol’s effects on locomotion are traced back to the dopaminergic pathways between the ventral tegmental area and the nucleus accumbens (Phillips and Shen, 1996). More broadly, Gamberino and Gold emphasize that most drugs of abuse converge on dopamine-rich pathways that mediate reinforcement, learning, and sensitization (Gamberino and Gold, 1999).\nRegarding specific substances, cocaine and stimulant-related studies form another major cluster. Hurd and colleagues outline how cocaine disrupts dopamine, dynorphin, and a specific peptide (the cocaine- and amphetamine-regulated transcript, CART) signaling within the ventral striatum and amygdala, supported by in vivo microdialysis and in situ hybridization (Hurd et al., 1999). A complementary review shows that oxytocin and vasopressin modulate cocaine tolerance, dependence, and sensitization across basal forebrain, hippocampal, hypothalamic, and limbic systems, with particular interactions in the nucleus accumbens (Sarnyai, 1998b). This is linked to biological vulnerability to addiction. Imidazoline receptors also play a role, in this case on opioid addiction; their ligands can reduce opioid tolerance, yet these receptors are notably absent in the brains of heroin and morphine addicts (García-Sevilla et al., 1999). Remarkably, Simonato (1996) frames morphine addiction as a product of complex, nonlinear interactions in distinct neocortical neuronal populations, shaped by chronic opioid exposure and downstream second-messenger systems. Finally, and related again to biological vulnerability, Brunner and Hen (1997) carry out genetic studies using serotonin receptor knockout mice to demonstrate that a lack of 5-HT1B receptors leads to stronger impulsive behaviors and an increased tendency toward addiction.\nTangentially related to addiction, McGehee and Role (1996) describe presynaptic ionotropic receptors gated by GABA, nicotine and glutamate, and state their potential role in addiction. In a similar way, Yu and Salter (1999) discuss the neurobiology of NMDA receptors, with no mention to addiction. Ferry (1999) focuses on pharmacological treatment for smoking cessation.\nIn conclusion, addiction research during this period entered a phase of conceptual refinement and molecular expansion, consolidating prior dopaminergic models while integrating emerging insights from genetics, neuroplasticity, and systems neuroscience. Addiction was increasingly defined as compulsive drug use driven by reinforcement, habit formation, and enduring neuroadaptations, with influential frameworks such as Incentive Salience Theory shifting emphasis from pleasure (“liking”) to pathological “wanting.” Also, a behavioral addiction such as gambling is mentioned for the first time in this context. At the same time, advances in molecular biology, gene expression, and circuit-level recording deepened understanding of frontostriatal and mesocorticolimbic dysfunction in compulsivity.\nSee Table 5 for the conceptual summary of this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the fourth edition of Kandel’s handbook.\nIn these years, we used the term “neurobiology of addiction” in our query, yielding 17 articles; one was excluded because it was not in English, and 2 were unrelated to addiction. Also, we incorporated other relevant sources from the bibliographies of the selected articles (see Figure 5).\nFlow chart showing article selection for the state of the art before the publication of the fifth edition of Kandel’s handbook.\nAn important factor incorporated in the definition of addiction during these years is that of relapse, defining addiction as a “chronically relapsing disorder” (George et al., 2012, p. 59). Another revived idea is that of addiction as an illness: according to Ross and Peselow, it is a “neurobiological illness” involving the “corruption” of the normal reward circuitry (Ross and Peselow, 2009). There is also a greater emphasis on the role of memory in defining addiction. Robbins and collaborators framed addiction as a pathological learning and memory disorder in which drug-related memories override normal cognitive functions (Robbins et al., 2008), suggesting another possible contributor to the previously mentioned concept of drugs as usurpers of normal drive states or instincts (Miller et al., 1987).\nPrecisely, Everitt and Robbins proposed a new theory of addiction in 2005, where there is a shift from goal-directed actions to rigid and ateleological habits to compulsions (Everitt and Robbins, 2005). This theory explains the progressive loss of control of the addicted person over their actions as they become more automatic and compulsive through repeated drug use (see also Robbins et al., 2008). Additionally, this is anatomically attributed to a transition from activity in the ventral striatum to the dorsal striatum. Pierce and Vanderschuren later explain this in terms of simultaneous behavioral plasticity, suggesting that behavior becomes progressively inflexible throughout the transition to stimulus-response actions, though it need not be irreversible (Pierce and Vanderschuren, 2010). Alcaro and Panksepp (2011) also defined the construct of drug-seeking as an overt behavioral response to self-administer the drug, including memory and cognitive effects, and positive affective states related to drug use. Another interesting idea is that of the “incubation” of drug craving, coined in 1986, in which craving progressively increases following abstinence after drug use, occurring over the course of weeks (Pickens et al., 2011). This is attributed to an increased risk of relapse.\nGeorge et al. (2012) propose an alternative opponent process theory, based on neurobiology, to explain allostasis (the flexible adaptation to maintain balance through physiological or behavioral change) in drug addiction. According to these authors, there are twofold opponent processes in this condition: one within a neurobiological system (namely, the dopaminergic system) and one between systems (affecting the corticotropin-releasing factor system).\nDuring this period, the neural connections between known brain regions were significantly refined, resulting in more definitive neural circuitry. For example, Pickens et al. suggested that the nucleus accumbens, specifically its shell, may be connected to the full network of descending neural influences on reflexive autonomic and motor responses (locomotion) associated with drug use (Pickens et al., 2011). They also suggested that the nucleus accumbens shell may have dopaminergic projections to the ventral tegmental area, accumbens core, and ventromedial prefrontal cortex, involved in stress-related mechanisms and craving in cocaine addiction. Apart from these “traditional” brain regions, the insula is highlighted as a “hidden island” that integrates bodily signals into conscious urges, directly provoking relapse (Naqvi and Bechara, 2009).\nAt a neurotransmitter level, there was an integration of dopaminergic circuits with other systems, such as glutamatergic. Ross and Peselow explain that a neurochemical shift occurs from a more “dopamine-based behavioral system to a predominantly glutamate-based one,” (Ross and Peselow, 2009, p. 269) caused by later dysregulated glutamate transmission in the prefrontal cortex and nucleus accumbens. About dopamine, the compulsive use of dopamine replacement therapy in Parkinson’s patients is proposed as a novel model for understanding the neurobiology of stimulant addiction (Ambermoon et al., 2012). This is linked to studies on impulse control disorders in the same patient population, which identify dopamine D3 receptors and sensitization as key drivers of addictive behavior (Fenu et al., 2009). At the receptor level, 5-HT6 receptors in the ventral striatum are found to influence reward and reinforcement indirectly by modulating dopamine transmission (Di Chiara et al., 2011).\nThis time period also reveals a variety of topics in addiction research. A significant portion of the research delves into the “omics” and cellular signaling. Hemby (2010) explores genomic and proteomic changes in the brain to understand the molecular basis of cocaine abuse, while Lull et al. (2010) present neuroproteomics as a “stepping stone” for identifying new therapeutic targets and refining animal models. Innovative theories also link the innate immune system to addiction, suggesting that drug use triggers NF-kappaB transcription of proinflammatory mediators, which leads to a loss of hippocampal neurogenesis and increased negative emotions (Crews et al., 2011). Other molecular studies examine how nicotine regulates acetylcholine receptor subtypes (Penton and Lester, 2009), and how endocannabinoid ligands binding to nuclear receptors provide anti-addicting properties (Pistis and Melis, 2010).\nFurthermore, a broad review argues that substance abuse and behavioral addictions (like gambling and bulimia) share common physiological processes involving motivation and reward, affect regulation, and behavioral inhibition (Goodman, 2008). The emerging field of neuroeconomics is also introduced to explain how the brain calculates the value of rewards and punishments under social or uncertain conditions (Platt et al., 2010), and its relevance to understanding addiction. Researchers also emphasize the necessity of integrated training because chronic pain and addiction frequently coexist, requiring specialized management strategies (Bailey et al., 2010). With the development of functional magnetic resonance imaging (fMRI), research paradigms in this period expanded from mostly animal research to neuroimaging studies in humans. For example, Blumenthal and Gold cite MRI evidence supporting the similarities between the anatomical regions involved in food addiction and classic substance addictions (Blumenthal and Gold, 2010). Finally, regarding treatments, general overviews provide a foundation on the neurologic effects of various drugs and current treatment options (Goforth et al., 2010). Looking toward future neurological interventions, research identifies deep brain stimulation as a potential neurosurgical treatment for severe addiction (Stelten et al., 2008).\nIn conclusion, during this period, addiction was firmly conceptualized as a chronic, relapsing neurobiological illness characterized by maladaptive learning, compulsive habits, and progressive loss of control. Theoretical advances emphasized the transition from goal-directed drug use to rigid stimulus–response habits, supported by refined models of ventral-to-dorsal striatal circuitry and allostatic dysregulation involving dopaminergic, glutamatergic, and stress systems. Relapse, craving incubation, and the insula’s role in interoceptive urges became central constructs. Simultaneously, molecular and “omics” approaches, immune signaling, receptor-level adaptations, and neuroimaging in humans expanded the field’s scope. Addiction research thus evolved into a highly integrative, circuit-based and translational neuroscience, linking behavior, biology, and emerging therapeutic interventions.\nSee Table 6 for a summary of the topics covered in this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the fifth edition of Kandel’s handbook.\nThe search query “neurobiology of addiction” for this time period resulted in 32 articles, 7 of which were excluded for being unrelated to addiction. They were supplemented with other contributions from their bibliographies (see Figure 6).\nFlow chart showing article selection for the state of the art before the publication of the sixth edition of Kandel’s handbook.\nThere is a convergence on a multi-system account of addiction that integrates motivational theory, circuit and neuromodulator mechanisms, and translational biomarkers. Conceptually, several papers emphasize that addiction cannot be reduced to tolerance and withdrawal alone; instead, compulsive seeking, craving, and a shared neurobiological substrate differentiate addictions from mere physiological dependence (e.g., caffeine, antidepressants). This perspective aligns with allostasis and incentive–sensitization frameworks and explicitly argues that later stages pivot toward negative reinforcement (Heinz et al., 2020; Horseman and Meyer, 2019; Koob, 2017; Kramer et al., 2020). Years after the original publishing of his theory, Koob wrote in 2020 about his version of opponent process theory, integrating aspects of stress and allostatic load (Koob, 2020). He now describes the dysphoric State B in terms of hyperkatifeia, a strong stress-induced negative emotional state. As in previous years, some conflated definitions have been clarified here as well. Lüscher et al. made the distinction between drug-seeking behaviors (the psychological or affective component associated with incentive states) and drug-taking behaviors (the measurable behavior of compulsive drug self-administration) (Lüscher et al., 2020). Kozak et al. also refined the difference between impulsivity and compulsivity, being the former a vulnerability marker for addiction and possibly an intrinsic personality trait associated with drug-seeking behaviors (Kozak et al., 2019).\nWithin this theoretical scaffold, dopamine system control emerges as a key mechanistic hinge. Failures in presynaptic dopamine D2 receptors increase addiction liability, with knockout/mutant models mapping how the interactions of these receptors reorganize reward circuitry and gating of reinforcement signals (Chen et al., 2020). Complementing this, circuit level reviews of the ventral tegmental area and nucleus accumbens synthesize how heterogeneous neuronal populations and neuropeptidergic inputs shape motivational states, including transitions from controlled use to compulsion (Castro and Bruchas, 2019; Morales and Margolis, 2017). Apart from dopamine, Emery and Akil discuss the dysregulation of the endogenous opioid system as a marker for opioid addiction and mood disorders (Emery and Akil, 2020). Further, the work by Scherma and colleagues demonstrates the role of anandamide, a lipid mediator, as a broad modulator of reward, capable of potentiating drug effects and biasing valuation in mesocorticolimbic loops (Scherma et al., 2019b). In another contribution, these authors review maladaptive eating habits in animal models (Scherma et al., 2019a).\nApart from dopamine and its interaction with other neurotransmitter systems, a complementary biological axis is neuroimmune signaling. One review centers on Toll-like receptors and microglia, arguing that drugs of abuse, as well as alcohol, enhance microglia activation through this pathway, linking inflammatory tone to addiction stage transitions (Crews et al., 2017). Closely related, several entries position stress as both precipitant and amplifier of addictive behavior, spanning negative urgency and motivational dysregulation, while also analyzing this issue in broader sociocultural contexts (Torres-Berrio et al., 2018; Zorrilla and Koob, 2019). Other research pinpointed the role of neurotrophic factors: Koskela et al. (2017) present addiction as loss of control over drug use with high rates of relapse, and report that neurotrophic factors BDNF and GDNF increase craving after drug self-administration. Additionally, Peana and colleagues review the role of acetaldehyde in alcoholism, showing its role in different stages of ethanol self-administration (Peana et al., 2017). About alcoholism, Pautassi et al.’s editorial discusses the association between early and late use of alcohol (Pautassi et al., 2020). Again related to stress, and concerning vulnerabilities, other articles highlight developmental and family context vulnerabilities, including the proposal that parenting stress constitutes a novel pathway to addiction risk, particularly around prenatal/postpartum windows when stress–reward interactions are dynamically remodeling caregiving and motivation circuits (Rutherford and Mayes, 2019).\nAbout specific substances, as a response to the sociopolitical discussion surrounding marijuana legalization in recent years, where cannabis has been popularly considered a “soft,” less addictive drug, Ferland and Hurd state the potential dangers of cannabis use disorder (Ferland and Hurd, 2020). They argue that cannabis involves the same neuroadaptations and subsequent associated risks as other substance use disorders. Two additional translational themes surface. First, polysubstance use is common: Crummy et al. (2020) report that 11.3% of persons diagnosed with substance-use disorder have alcohol plus other substance dependence. Second, Kwako and collaborators introduce the Addiction Neuroclinical Assessment to identify novel biomarkers and refine current ones. For example, “reinforcer pathology” appears as an important new biomarker (Kwako et al., 2018). The literature also flags sex differences as evident, especially for novel psychoactive substances, but still insufficiently explained mechanistically across animal and human data, supporting sex informed designs in both preclinical and clinical work (Fattore et al., 2020). On the therapeutic horizon, mechanistic reviews propose targeting metabolic and hormonal systems: raising NAD+ as a putative strategy to treat addiction (Braidy et al., 2020), and ghrelin signaling as a candidate node linking stress and reward, with suggestive evidence across alcohol and stimulants (Zallar et al., 2017). Other authors also review the use of brain stimulation as a potential tool to alleviate addiction and impulse disorders (Lapenta et al., 2018).\nMethodologically, one through line is human neuroimaging. Suckling and Nestor report frontostriatal disturbances across cognitive domains in users, some predictive of relapse and treatment response. They also find white matter changes in the anterior aspects of the brain, and suggest the role of cerebral vasculature in these processes (Suckling and Nestor, 2017). Focused imaging work on cannabis use disorder similarly maps alterations in reward, control, and decision-making networks with fMRI, illustrating how domain-specific markers could stratify risk and prognosis (Fatima et al., 2019).\nFinally, a remarkable emerging topic is behavioral addiction, officially termed Impulse Control Disorders, which is still in its earliest stages of discussion. Antons et al. explain that different impulse control disorders seem to trigger different aspects of the known neural circuitry associated with substance use disorders; for example, whereas gaming disorder and compulsive sexual behavior disorder have been associated with altered activity in the salience network, gambling disorder has not (Antons et al., 2020). Hence, they call for longitudinal neurobiological studies to examine the later stages of impulsive control disorders and fully understand their development, as there is a general lack of research to explain such differences.\nIn conclusion, in this most recent period, addiction research converges on a fully integrative, multi-system model that links motivational theory, circuit dynamics, neuromodulators, immune signaling, and translational biomarkers. Addiction is clearly distinguished from mere physiological dependence, defined instead by compulsive seeking, craving, relapse vulnerability, and shared neurobiological substrates shaped by allostasis, stress, and incentive sensitization. Dopaminergic, opioid, endocannabinoid, and neuroimmune mechanisms interact within refined circuit models of frontostriatal and mesolimbic dysfunction, while neuroimaging and biomarker initiatives strengthen clinical translation.\nTable 7 summarizes the main concepts and findings included in this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the sixth edition of Kandel’s handbook.\n\n\n### State-of-the-art in the first edition (1977–1980)\nAs we mentioned in the Introduction, “neurobiology of addiction” was an inexistent field in those years. Therefore, our search included the terms “brain” and “addiction,” resulting in 6 articles. One of them was excluded because it was not in English. We complemented this search with other terms (such as “alcoholism”) to retrieve other potentially interesting sources. In total, we analyzed 13 articles (see Figure 1 for a flow chart of this process).\nFlow chart showing article selection for the state of the art before the publication of the first edition of Kandel’s handbook.\nRegarding conceptual or theoretical frameworks, addiction was already perceived as a multifactorial issue, a “more general phenomenon” which goes beyond mere chemical imbalances and physiological causes (Solomon and Corbit, 1978, p. 12). As Goodwin put it, “Are the causes biological, sociological, or psychological? The fashion today is to say all three” (Goodwin, 1979, p. 161). As such, there was plenty of disagreement within the literature as to which component holds the most weight in the definition of addiction, whether it is a physical condition, a behavioral problem, or a question of upbringing or social environment. Following this line, Lex and Schor (1977) propose preliminary conjectures about possible neurobiological relationships among seemingly disparate phenomena: religious rituals, native curing therapies, and the pharmacodynamic, psychological, and sociocultural components of opiate addiction.\nIn this climate, several new theories were being proposed. For example, the first Opponent Process Theory “of motivation” was proposed by Solomon and Corbit, which explains addiction as a sequence of paired emotional and behavioral responses attributed to underlying physiological processes (which were still only vaguely identified). Behaviorally speaking, addiction is defined as a short hedonic, appetitive, State A (the initial “rush” of euphoria, which is positively reinforcing), followed by an opposite State B, which is slowly decaying, dysphoric and aversive, and ultimately a summation of both effects as the patient returns to their initial baseline neutral state. After repeated drug use, the B process strengthens, leading the patient to use the drug to elicit State A to escape State B; otherwise, increased drug use is attributed to negative reinforcement rather than positive reinforcement or pleasure-seeking (Solomon and Corbit, 1978). There was also a resurgence of older theories, such as the Homeostasis Hypothesis, originally proposed by Himmelsbach (1943), which suggested that the body adapts to drug use to maintain homeostasis. More physiologically focused theories questioned the concepts of dependence, tolerance, and withdrawal, challenging the view that they are key pillars of addiction. For instance, Goldstein (1979) used molecular techniques to examine the lipid composition of cellular membranes to operationalize tolerance and dependence as a function of membrane fluidity; he concluded that “functional tolerance” and “physical dependence” were two separate processes dissociated from addiction, as the characteristic behaviors of addiction can occur in their absence.\nRegarding the neurobiology of addiction, it was focused on the role of specific neurotransmitters, primarily catecholamines, and their association with drug-taking behavior. Studies such as Maroli et al. (1978) and Esposito and Kornetsky (1978) relate catecholaminergic activity in the medial forebrain bundle to reinforcement of prolonged drug use, primarily dopamine and norepinephrine. Sheridan et al. (1980) propose that acetaldehyde, the main metabolite of ethanol metabolism, is neuroactive and will stimulate dopaminergic circuitry such as the mesolimbic reward pathway and the VTA, creating motivational and reward effects. It is suggested that acetaldehyde hydrate could act as a strong inhibitor of aldehyde dehydrogenase, slowing its breakdown and thereby increasing acetaldehyde levels, perpetuating these reinforcing effects. On the other hand, Rix and Davidson (1977) question whether GABAergic systems have a causal role in the genesis or maintenance of alcoholism or other drug-dependent states. Finally, Chen (1977) suggests the role of acupuncture to mitigate opiate withdrawal symptoms through enkephalin enhancement.\nOn the other hand, researchers focus rather on the etiology of addiction and on an ongoing “nature vs. nurture” debate. In other words, they discuss whether there is a biological and/or psychological vulnerability, or if addiction is an acquired condition. Goodwin, for example, through twin and adoption studies, suggests that alcoholism is primarily a genetically inherited condition whose “strongest predictor” is a family history of alcoholism (Goodwin, 1979). Wilson’s study sides rather with the “nurture” aspect of the debate, arguing that the “screwed-up” and “precipitated” alcoholics were determined by their environment (Wilson, 1977). DeFeudis gives a more neurobiological approach to the topic by focusing on environmental vulnerability factors in animal models. He suggests that “environmental impoverishment” (social isolation) may promote addiction by affecting neural pathways and drug metabolism (DeFeudis, 1978), such as by increasing sensitivity to morphine-induced analgesia. Other theories focus on the “nature” side of addiction, and the intrinsic personality-based vulnerability factors people may carry, which could predispose the initial use of a drug. Kohn and Annis (1977) use a scale of 4 constructs to determine a person’s tendency toward novelty seeking as a predictor of initial drug use. Additionally, Lawson and Winstead (1978) explain drug use as “temporary symptomatic relief” of the discomfort created by one’s internal stress (personality traits) and external stress (environment).\nIn sum, during these years, addiction is viewed as a multifactorial condition, with neurobiological correlates focused on catecholamines and endogenous opioids, such as enkephalin. The dominant theories were the opponent process and homeostasis. Several studies highlighted the importance of predisposing factors to addiction, both at genetic and personality levels, and others highlighted the role of education and social factors.\nSee Table 2 for a summary of the key findings on the neurobiology of addiction in this period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the first edition of Kandel’s handbook.\n\n\n### State-of-the-art in the second edition (1981–1984)\nDuring this period, we also adapted the search string to “brain” and “addiction” because the term “neurobiology” was not used. The output consisted of 16 articles. Two were excluded for not being in English, and two for being unrelated to addiction. The 12 selected articles were supplemented by other relevant sources from their bibliographies, for a total of 16 articles analyzed (see Figure 2).\nFlow chart showing article selection for the state of the art before the publication of the second edition of Kandel’s handbook.\nConcerning frameworks and concepts, in the early 1980s, new terms to describe addiction gained popularity in scientific literature, and over time came to integrate the different psychological and neurobiological facets of addiction. The idea of addiction as a form of “neuroadaptation,” mentioned in studies of previous years (Goldstein, 1979), became popularized, and the neurobiological bases gained more importance. Where Solomon and Corbit described addictions as “diseases of adaptation” (Solomon and Corbit, 1978), researchers in later years began to integrate this neurobiological concept with behavioral aspects. Addiction, seen by some authors as a moral failing or psychological weakness (Nicholi, 1983), was consolidated as a compulsive behavior driven by neurobiological adaptations (Wise and Bozarth, 1981).\nNahas (1981) summarizes the “learning” theory for addiction, involving “pleasure reward mechanisms of the brain” which reinforce repeated drug-use behaviors. The main reinforcers are withdrawal symptoms and tolerance. Nahas questions the validity of distinguishing “psychic” and “physical” dependence, contradicting other researchers who argue in favor of this distinction, like Schuster and Johanson (1981), who introduce the term “craving” as the psychological or behavioral component of dependence. Stewart (1983) later mapped psychological dependence to a neurobiological cause –a neurobiological response to conditioned cues that activate brain reward pathways even in the absence of drugs.\nAnother influential theory that emerged during this period was the Psychomotor Stimulant Theory, proposed by Wise and Bozarth (1981). This theory is rooted in Wise’s Hedonic Hypothesis, published in the previous year, which suggested that addiction is a pleasure-seeking behavior reinforced by dopamine. This falls in line with some vulnerability-based hypotheses proposed in this period, such as Nicholi’s (1983), which states that patients take drugs to “escape from a less than tolerable reality” (Nicholi, 1983, p. 931).\nRegarding specific substances and neural systems, Gold and colleagues contribute to a better understanding of opiate addiction in this time period, showing first the link between opiate addiction, endorphins and the possible treatment with naltrexone (Gold et al., 1982), then the role that endorphins play in addiction, withdrawal, and recovery (Gold and Rea, 1983), and finally the efficacy of different treatments for addiction (like clonidine) involving endogenous opioid peptides and hyperactive norepinephrine neurons (Gold et al., 1984; Gold and Dackis, 1984). Complementarily, Derr (1984) proposes a new hypothesis for ethanol withdrawal symptoms, suggesting that they result from decreased aerobic cell metabolism in the brain (an inability to properly conduct the Krebs cycle), and Constantinidis et al. (1983) reviews the role of different peptide neurotransmitters within the body, in the formation of a range of different neurological and psychiatric disorders, including addiction.\nLewis (1984), besides giving a neurobiological explanation of addiction, adds personality features as vulnerability factors. As such, he proposes that people with antisocial personality traits tend to present neurological alterations such as subcortical dysfunction, which could be linked to “deviant behavior.” All these factors would predate the development of addiction, and are proposed as a possible contributing factor.\nInstead of exploring addiction itself, some articles focus on the general negative consequences that arise as a byproduct of addiction, including different substances such as alcohol (Leber and Parsons, 1982), non-opiate non-alcoholic substances (Kornblith, 1981), or barbiturates (Fishman and Yanai, 1983). A special issue in Seminars in Roentgenology is dedicated to the “Radiology of Drug Addiction,” describing the affectation of different organs due to this condition (Felson, 1983).\nOverall, this period reflects a deeper debate on concepts such as adaptation, reward learning, craving and dependence, and the introduction of the psychomotor stimulant theory. More precise neurochemical studies center on opioids and endorphins, rather than on catecholamines. Also, several studies show the negative physiological effects of addiction, and stress the interplay between personality, neuroanatomy and addiction.\nSee Table 3 for a thematic summary of the literature during this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the second edition of Kandel’s handbook.\n\n\n### State-of-the-art in the third edition (1987–1990)\nIn the second half of the 1980s, the word “neurobiology” started to be used in the context of addiction. The search “neurobiology” and “addiction” retrieved 4 articles. To complement this limited search, we repeated the query “brain” and “addiction,” yielding 61 additional articles. We excluded 16 articles for not being in English (8), being unrelated to addiction or drug use (5), or being inaccessible (3) (see Figure 3).\nFlow chart showing article selection for the state of the art before the publication of the third edition of Kandel’s handbook.\nInterestingly, for both search strings, we did not find any article explicitly developing new or established frameworks in addiction. This fact was unique across all time periods. Concerning the first search (“neurobiology” and “addiction”), De Souza explains the effects of benzodiazepines in the neuroendocrine system, hardly referring to addiction (De Souza, 1990). The work by Lo and collaborators is on retroviral-mediated gene transfer and is far from addiction research (Lo et al., 1988). The two remaining papers do deal with addiction. First, Carlen and Wu (1988) explain the role of sedative-hypnotic drugs (such as alcohol, barbiturates, and benzodiazepines) on calcium-mediated metabolic processes, and their effect on tolerance, dependence, and withdrawal symptoms. Finally, Wise (1988) claims that theories rooted primarily in psychology were just descriptive, suggesting that psychological constructs such as the previously popularized “craving” were too subjective for addiction research. Instead, he suggests that psychological components should be measured through behaviors (according to them, preoccupation, compulsivity, and relapse), and should be integrated with the more robust neurochemical components, which are related to physiological dependence and tolerance (even if these are not necessary components for addiction).\nRegarding the second search query (“brain” and “addiction”), included research articles explore addiction through neurobiological pathways, specific pharmacological mechanisms, and individual genetic or psychological vulnerabilities. A recurring theme across neurobiological pathways and reinforcement mechanisms is the role of the mesocorticolimbic dopaminergic pathway as a primary substrate for drug dependence. For example, cocaine reinforcement is directly linked to enhanced dopaminergic neurotransmission in the ventral tegmental system (Bozarth, 1989). Changes in this reward system, such as dopamine depletion, are hypothesized to drive the intense craving associated with stimulant addiction (Dackis and Gold, 1990). Concerning stimulants, Miller et al. provide an extensive review of amphetamines (Miller et al., 1989b). Other articles also explore the interplay between the dopaminergic system and other endogenous neuroactive substances. For example, Ochoa et al. (1990) highlight cholinergic mechanisms in nicotine addiction and explain in detail the molecular structure of nicotinic receptors. Myers (1990) links dopamine to enkephalin to support the “Multiple Metabolite” theory of alcoholism, which proposes the affectation of the limbic system by an endogenously formed aldehyde adduct: the neuronal damage it produces on dopaminergic and enkephalinergic pathways would be related to the rewarding and addictive properties of alcohol. In a previous work, Myers showed the role of tetrahydroisoquinoline and beta-carboline derivatives in increasing voluntary alcohol consumption by interacting with opioid receptors and the dopamine system (Myers, 1989).\nGoing deeper into neurochemical theories of alcohol use disorders, Blum and Trachtenberg (1988) propose alcoholism as a neuropsychogenetic disorder rooted in deficient endogenous opioids. According to this model, alcohol serves as an exogenous stimulator compensating for genetically or environmentally induced opioid deficiencies. They identify enkephalinase inhibitors as promising therapeutic tools. Another therapeutic avenue is directly modifying alcohol intake via serotonergic modulation. Naranjo and Sellers (1989) provide evidence from multiple placebo-controlled trials showing that serotonin reuptake inhibitors can reduce alcohol consumption by 20–30%, though without identifiable predictors of treatment response. In contrast, Cushman (1987) reviews ethanol–opioid interactions, concluding that metabolic and receptor-level interactions are complex and not yet clearly clinically interpretable. Naber (1988) also concludes that the link between endorphins and psychiatric/addictive disorders remains inadequately substantiated, reflecting uncertainty in translating opioid biology to treatment.\nFurther complicating the opioid landscape, another article identifies the possibility of additional opioid receptor subtypes, suggesting selective tolerance patterns and highlighting the μ-receptor’s clear association with high abuse potential (Herz, 1990). Additionally, several mechanistic biochemical papers, such as Kosterlitz et al. (1988) on cation modulation of opioid receptors, Kosterlitz (1987) on endogenous opioid ligands, and Costa et al. (1987) on opioid peptide biosynthesis, provide foundational molecular context relevant to many addiction models but do not propose new addiction-specific theories.\nConcerning cocaine, extensively reviewed by Miller et al. (1989a), Ritz and colleagues demonstrate that self-administration correlates most strongly with its blockade of dopamine reuptake, not serotonin or norepinephrine (Ritz et al., 1989). Complementing this, Gawin (1988) shows that chronic cocaine use leads to neurophysiological adaptations reducing activity in reward circuits, resulting clinically in anhedonia during abstinence. Pert et al. (1990) link dopamine with the conditioning produced by psychomotor stimulants. Instead of relating dopamine to other neurobiological pathways, these authors highlight its role in the acquisition of conditioned behaviors characteristic of incentive-motivational processes.\nDeminiere et al. suggested that increased dopamine turnover in the nucleus accumbens had a more widespread, non-specific role in drug-related behavior, also provoking a decreased dopamine turnover in the frontal cortex (Deminiere et al., 1989). Across substances, Wise (1988) proposes a two-factor reinforcement model: positive reinforcement through dopaminergic activation and negative reinforcement through suppression of distress signals, especially for opioids. This dual-system understanding becomes crucial for explaining craving and relapse independent of withdrawal symptoms. Nicotine addiction is also anchored in catecholaminergic mechanisms. Grenhoff and Svensson (1989) and Henningfield and Woodson (1989) document how nicotine influences dopamine and norepinephrine systems, reinforcing smoking behavior and producing dependence through dose-related neurochemical and behavioral changes.\nSeveral studies concentrated on biological vulnerability, posing genetic influences as another significant theme: models using inbred strains, mutants, and selectively bred animals demonstrate strong heritable components in drug metabolism, receptor number, drug-seeking behavior, and withdrawal (Shuster, 1990). Frischknecht et al. (1988) compare opioid-reactive mouse strains, showing genetically determined dissociations between analgesia, locomotor response, and addiction vulnerability, and Collins shows that nicotinic receptor number is genetically regulated, reinforcing the view that addiction liability can be rooted in inherited neurobiological traits (Collins, 1990). Individual variability also shapes nicotine’s subjective effects. Russell (1989) discusses how innate factors, tolerance, receptor regulation, and learning produce highly variable nicotine responses in humans, influencing dependence trajectories. Genetic heterogeneity extends beyond opioids and nicotine. Propping (1987) argues that psychiatric disorders, including addictive propensities, likely arise from polygenic interactions, noting subtle differences even among heterozygotes for metabolic disorders.\nSome studies expand the frame beyond neural mechanisms to cognitive and psychological dimensions. Neuropsychological research reports that substance abusers show deficits in abstract reasoning, cognitive flexibility, and behavioral control; these findings support the idea that “cognitive style” may serve as a bridge between neuropsychological functioning and personality-related addiction vulnerability (Miller, 1990). Others examine reinforcement mechanisms in alcohol addiction from both positive (euphoria, anxiolysis) and negative (withdrawal, aversion) reinforcement perspectives, integrating neurochemical and genetic findings into motivational models of alcohol use (Lewis, 1990). London et al. (1990) summarize findings about drug-induced euphoria using PET, being one of the first neuroimaging reviews. In the same issue of the NIDA Research Monograph series, Volkow et al. (1990) review PET studies about different drugs of abuse, such as cocaine, alcohol, and marijuana.\nAnother recurring topic is the biological basis of tolerance and withdrawal. Littleton (1989) proposes that chronic alcohol intake upregulates GABA function and modulates calcium channels, creating physical dependence and suggesting calcium-channel antagonists as a therapeutic avenue. More broadly, Kiyatkin (1989) reviews how chronic drug exposure induces stable modifications in central monoaminergic and opioid systems, altering endogenous reinforcement processes and solidifying dependence. Oxytocin emerges as a modulator of opioid tolerance and withdrawal. Kovács and Telegdy (1988) show that oxytocin reduces tolerance development and withdrawal symptoms in morphine- and heroin-treated animals, indicating a specific role in dependence but not analgesia. Expanding the concept of dependence, Miller et al. (1987) argue that addiction is not simply the presence of tolerance and withdrawal, which can develop even after a single dose, but rather a neurochemically driven distortion of instinctive drives. In their view, addiction may occur independently of classical dependence markers.\nA subset of papers explores the physiological consequences of substance use rather than addiction mechanisms per se. Habitual smokers exhibit dose-dependent increases in plasma cortisol driven by nicotine’s central action on hypothalamic or brainstem structures, and smoking cessation decreases cortisol levels—a fluctuation linked to withdrawal symptoms (Targovnik, 1989). In another example, heroin addiction is associated with amenorrhea and hypogonadism, suggesting interference of endogenous opioid peptides with the hypothalamic-pituitary-gonadal axis (Genazzani and Petraglia, 1989). Also, Rich et al. (1990) describe a few cases of isopropyl alcohol intoxication, which can have different presentations in addicted (stupor) and non-addicted (encephalopathy) individuals. Similarly, Lê and Kalant (1990) explain how learning is a relevant factor in ethanol tolerance.\nA few articles highlight broader neurobiological infrastructure relevant to addiction. The blood–brain barrier’s peptide transport systems are described as modulated by ethanol addiction and withdrawal, opening the possibility that such mechanisms influence peptide-based signaling relevant to dependence (Banks and Kastin, 1990). Another article describes the interplay between several serotonin receptors in psychiatric illnesses, briefly including addiction (Montgomery and Fineberg, 1989). Tangentially, albeit interestingly, Shapiro and Kornfeld (1987) highlight psychiatric considerations in patients with head and neck cancer, including high rates of alcohol and tobacco addiction: an important reminder of the intersection between addiction and severe medical illness. Laitinen explains neurosurgery in psychiatric disorders, including addiction, where cingulotomy is reported as effective (Laitinen, 1988). Finally, Kaplan proposes a provocative novel model linking drug experience, creativity, and cerebral lateralization. He suggests that psychoactive drugs initially enhance, then disrupt, creative processes by altering hemispheric balance, eventually producing disconnection patterns akin to split-brain phenomena (Kaplan, 1988).\nIn conclusion, addiction research during this period consolidated into a distinctly neurobiological framework, with “neurobiology” emerging as an explicit term and dopamine-centered models dominating explanations of reinforcement, craving, and relapse. The mesocorticolimbic pathway became the principal substrate for drug dependence across substances, while opioid, serotonergic, and cholinergic systems were integrated into increasingly complex, multi-neurotransmitter accounts. Genetic vulnerability, receptor regulation, and neurochemical adaptations were recognized as central to individual differences in addiction liability. At the same time, neuroimaging (PET), cognitive research, and studies of tolerance and withdrawal expanded the field’s methodological scope. Overall, addiction was increasingly conceptualized as a heritable, brain-based disorder shaped by neuroadaptation, learning, and motivational dynamics.\nSee Table 4 for a conceptual summary of this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the third edition of Kandel’s handbook.\n\n\n### State-of-the-art in the fourth edition (1996–1999)\nThe query “neurobiology” and “addiction” yielded 26 articles published between 1996 and 1999. Five were excluded because they were not in English, and 1 reference was not about addiction. We also included two more references for their outstanding importance in the neurobiology of addiction: Robinson and Berridge (1993) and Leshner (1997). The former did not result in the original search because it was published before 1996, and the latter was indexed in PubMed as a journal article rather than a review, editorial, or any other article type originally included in our search queries (see section “1 Introduction”; see Figure 4).\nFlow chart showing article selection for the state of the art before the publication of the fourth edition of Kandel’s handbook.\nIn this period, addiction research grew increasingly integrative, blending neurobiological, behavioral, molecular, and conceptual insights. Before diving into specific frameworks, several authors address the fundamental nature of addiction. Koob and Nestler give a good summary of these related aspects in their 1997 review; drug addiction or dependence is defined as “a compulsion to take a drug, with a loss of control in limiting intake” (Koob and Nestler, 1997, p. 482). Reinforcement or motivation is considered a crucial part of this syndrome, where a reinforcer is defined as “any event that increases the probability of a response” (p. 483). Reward is similar, but specifically includes pleasure. The components of addiction are pleasure, self-medication, and habits, both as conditioned positive and negative reinforcement. These aspects are reflected for the first time in the 4th edition of Kandel’s Principles, which is the first of the six editions to give proper consideration to the topic of addiction. Remarkably, Leshner overtly presents drug addiction as a brain disease, defining it as a chronic, relapsing disease characterized by compulsive drug seeking (Leshner, 1997). More importantly, while highlighting the role of the brain in the disease, the author insists that it is not just a brain disease, so therapeutic approaches must consider biological, behavioral, and social-contextual components. The psychomotor stimulant theory remained a significant focus in the literature of these years (Koob and Nestler, 1997; Sarnyai, 1998a; Wise, 1996). Wise speaks of recent contributions to the theory, namely, the central nervous system’s newfound role in “mediating positive reinforcement and euphoria” (Wise, 1996, p. 243). He also shows evidence against negative reinforcement (such as withdrawal symptoms) as the motor of drug abuse, stating that “human alcoholics were shown to voluntarily eschew alcohol during periods of severe withdrawal distress (only to re-initiate drinking when such distress was minimal)” (Wise, 1996, p. 244). Additionally, Sarnyai gives a “stress version” of psychomotor stimulant theory rather than a “reward version,” as he explains that all the effects of cocaine (behavioral hyperactivity, euphoria, addiction per se, withdrawal, etc.) are explained by its impact on the stress circuit via the corticotropin releasing factor (Sarnyai, 1998a).\nAn important new theory that appears in the literature is Incentive Salience Theory, proposed by Robinson and Berridge (1993), which shifts away from the notions of pleasure-seeking emphasized by the popular psychomotor stimulant theory across previous decades (Robinson and Berridge, 1993). This hypothesis explains addiction as a transition from “liking” to “wanting” the drug (another term for the previously discussed “craving”), which is explained by “progressive and persistent neuroadaptations” due to persistent drug use. This implies a change from goal-directed and voluntary actions to compulsive self-administration despite liking the drug much less than at the initial encounter, which is a concept that will be further developed in the following years.\nAmidst this variety of frameworks, one perspective highlights a state of “conceptual chaos,” arguing for clearer definitions of substance use, abuse, and dependence, while suggesting that drugs may not be a necessary precondition for addiction, as seen in behaviors like gambling (Shaffer, 1997). Others define addiction broadly as a compulsion to use drugs and the experience of withdrawal, a state involving both physical hyperexcitability and mental shifts that motivate relapse (Roberts and Koob, 1997). Overall, a key message is that while different drugs like heroin and cocaine have specific “chemical trigger zones,” they ultimately converge on the same shared brain mechanisms of reward (Wise, 1996). Colpaert (1999) proposes a new framework to understand addiction, namely drug discrimination studies, as determinants of areas of neurobiological interest (ligand analysis, CNS receptors, enzymes, ion channels). This is conceived as a quantal assessment of drug mechanisms focused on molecular effects. On their side, Hyman and Nestler review the state of the art in addiction neurobiology to promote a paradigm shift from synapses to the molecular biology of neurons beyond interneuronal communication (Hyman and Nestler, 1996). They describe how neural plasticity occurs from the start to its final adaptation after long-term exposure to drugs, including gene expression.\nMoving to specific neurobiological systems, and expanding the interest in dopamine of previous years, a dominant theme across several articles is the central role of frontostriatal and mesocorticolimbic circuits in shaping compulsive drug-seeking behavior. For instance, Jentsch and Taylor (1999) highlight how prolonged drug exposure may impair frontal cortical regions required for inhibitory control, contributing to compulsive reward-driven actions. Chronic multineuron recording techniques allow researchers to observe these neuronal behaviors in real-time within the mesocorticolimbic circuit during active drug use (Woodward et al., 1998). Further, ethanol’s effects on locomotion are traced back to the dopaminergic pathways between the ventral tegmental area and the nucleus accumbens (Phillips and Shen, 1996). More broadly, Gamberino and Gold emphasize that most drugs of abuse converge on dopamine-rich pathways that mediate reinforcement, learning, and sensitization (Gamberino and Gold, 1999).\nRegarding specific substances, cocaine and stimulant-related studies form another major cluster. Hurd and colleagues outline how cocaine disrupts dopamine, dynorphin, and a specific peptide (the cocaine- and amphetamine-regulated transcript, CART) signaling within the ventral striatum and amygdala, supported by in vivo microdialysis and in situ hybridization (Hurd et al., 1999). A complementary review shows that oxytocin and vasopressin modulate cocaine tolerance, dependence, and sensitization across basal forebrain, hippocampal, hypothalamic, and limbic systems, with particular interactions in the nucleus accumbens (Sarnyai, 1998b). This is linked to biological vulnerability to addiction. Imidazoline receptors also play a role, in this case on opioid addiction; their ligands can reduce opioid tolerance, yet these receptors are notably absent in the brains of heroin and morphine addicts (García-Sevilla et al., 1999). Remarkably, Simonato (1996) frames morphine addiction as a product of complex, nonlinear interactions in distinct neocortical neuronal populations, shaped by chronic opioid exposure and downstream second-messenger systems. Finally, and related again to biological vulnerability, Brunner and Hen (1997) carry out genetic studies using serotonin receptor knockout mice to demonstrate that a lack of 5-HT1B receptors leads to stronger impulsive behaviors and an increased tendency toward addiction.\nTangentially related to addiction, McGehee and Role (1996) describe presynaptic ionotropic receptors gated by GABA, nicotine and glutamate, and state their potential role in addiction. In a similar way, Yu and Salter (1999) discuss the neurobiology of NMDA receptors, with no mention to addiction. Ferry (1999) focuses on pharmacological treatment for smoking cessation.\nIn conclusion, addiction research during this period entered a phase of conceptual refinement and molecular expansion, consolidating prior dopaminergic models while integrating emerging insights from genetics, neuroplasticity, and systems neuroscience. Addiction was increasingly defined as compulsive drug use driven by reinforcement, habit formation, and enduring neuroadaptations, with influential frameworks such as Incentive Salience Theory shifting emphasis from pleasure (“liking”) to pathological “wanting.” Also, a behavioral addiction such as gambling is mentioned for the first time in this context. At the same time, advances in molecular biology, gene expression, and circuit-level recording deepened understanding of frontostriatal and mesocorticolimbic dysfunction in compulsivity.\nSee Table 5 for the conceptual summary of this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the fourth edition of Kandel’s handbook.\n\n\n### State-of-the-art in the fifth edition (2008–2011)\nIn these years, we used the term “neurobiology of addiction” in our query, yielding 17 articles; one was excluded because it was not in English, and 2 were unrelated to addiction. Also, we incorporated other relevant sources from the bibliographies of the selected articles (see Figure 5).\nFlow chart showing article selection for the state of the art before the publication of the fifth edition of Kandel’s handbook.\nAn important factor incorporated in the definition of addiction during these years is that of relapse, defining addiction as a “chronically relapsing disorder” (George et al., 2012, p. 59). Another revived idea is that of addiction as an illness: according to Ross and Peselow, it is a “neurobiological illness” involving the “corruption” of the normal reward circuitry (Ross and Peselow, 2009). There is also a greater emphasis on the role of memory in defining addiction. Robbins and collaborators framed addiction as a pathological learning and memory disorder in which drug-related memories override normal cognitive functions (Robbins et al., 2008), suggesting another possible contributor to the previously mentioned concept of drugs as usurpers of normal drive states or instincts (Miller et al., 1987).\nPrecisely, Everitt and Robbins proposed a new theory of addiction in 2005, where there is a shift from goal-directed actions to rigid and ateleological habits to compulsions (Everitt and Robbins, 2005). This theory explains the progressive loss of control of the addicted person over their actions as they become more automatic and compulsive through repeated drug use (see also Robbins et al., 2008). Additionally, this is anatomically attributed to a transition from activity in the ventral striatum to the dorsal striatum. Pierce and Vanderschuren later explain this in terms of simultaneous behavioral plasticity, suggesting that behavior becomes progressively inflexible throughout the transition to stimulus-response actions, though it need not be irreversible (Pierce and Vanderschuren, 2010). Alcaro and Panksepp (2011) also defined the construct of drug-seeking as an overt behavioral response to self-administer the drug, including memory and cognitive effects, and positive affective states related to drug use. Another interesting idea is that of the “incubation” of drug craving, coined in 1986, in which craving progressively increases following abstinence after drug use, occurring over the course of weeks (Pickens et al., 2011). This is attributed to an increased risk of relapse.\nGeorge et al. (2012) propose an alternative opponent process theory, based on neurobiology, to explain allostasis (the flexible adaptation to maintain balance through physiological or behavioral change) in drug addiction. According to these authors, there are twofold opponent processes in this condition: one within a neurobiological system (namely, the dopaminergic system) and one between systems (affecting the corticotropin-releasing factor system).\nDuring this period, the neural connections between known brain regions were significantly refined, resulting in more definitive neural circuitry. For example, Pickens et al. suggested that the nucleus accumbens, specifically its shell, may be connected to the full network of descending neural influences on reflexive autonomic and motor responses (locomotion) associated with drug use (Pickens et al., 2011). They also suggested that the nucleus accumbens shell may have dopaminergic projections to the ventral tegmental area, accumbens core, and ventromedial prefrontal cortex, involved in stress-related mechanisms and craving in cocaine addiction. Apart from these “traditional” brain regions, the insula is highlighted as a “hidden island” that integrates bodily signals into conscious urges, directly provoking relapse (Naqvi and Bechara, 2009).\nAt a neurotransmitter level, there was an integration of dopaminergic circuits with other systems, such as glutamatergic. Ross and Peselow explain that a neurochemical shift occurs from a more “dopamine-based behavioral system to a predominantly glutamate-based one,” (Ross and Peselow, 2009, p. 269) caused by later dysregulated glutamate transmission in the prefrontal cortex and nucleus accumbens. About dopamine, the compulsive use of dopamine replacement therapy in Parkinson’s patients is proposed as a novel model for understanding the neurobiology of stimulant addiction (Ambermoon et al., 2012). This is linked to studies on impulse control disorders in the same patient population, which identify dopamine D3 receptors and sensitization as key drivers of addictive behavior (Fenu et al., 2009). At the receptor level, 5-HT6 receptors in the ventral striatum are found to influence reward and reinforcement indirectly by modulating dopamine transmission (Di Chiara et al., 2011).\nThis time period also reveals a variety of topics in addiction research. A significant portion of the research delves into the “omics” and cellular signaling. Hemby (2010) explores genomic and proteomic changes in the brain to understand the molecular basis of cocaine abuse, while Lull et al. (2010) present neuroproteomics as a “stepping stone” for identifying new therapeutic targets and refining animal models. Innovative theories also link the innate immune system to addiction, suggesting that drug use triggers NF-kappaB transcription of proinflammatory mediators, which leads to a loss of hippocampal neurogenesis and increased negative emotions (Crews et al., 2011). Other molecular studies examine how nicotine regulates acetylcholine receptor subtypes (Penton and Lester, 2009), and how endocannabinoid ligands binding to nuclear receptors provide anti-addicting properties (Pistis and Melis, 2010).\nFurthermore, a broad review argues that substance abuse and behavioral addictions (like gambling and bulimia) share common physiological processes involving motivation and reward, affect regulation, and behavioral inhibition (Goodman, 2008). The emerging field of neuroeconomics is also introduced to explain how the brain calculates the value of rewards and punishments under social or uncertain conditions (Platt et al., 2010), and its relevance to understanding addiction. Researchers also emphasize the necessity of integrated training because chronic pain and addiction frequently coexist, requiring specialized management strategies (Bailey et al., 2010). With the development of functional magnetic resonance imaging (fMRI), research paradigms in this period expanded from mostly animal research to neuroimaging studies in humans. For example, Blumenthal and Gold cite MRI evidence supporting the similarities between the anatomical regions involved in food addiction and classic substance addictions (Blumenthal and Gold, 2010). Finally, regarding treatments, general overviews provide a foundation on the neurologic effects of various drugs and current treatment options (Goforth et al., 2010). Looking toward future neurological interventions, research identifies deep brain stimulation as a potential neurosurgical treatment for severe addiction (Stelten et al., 2008).\nIn conclusion, during this period, addiction was firmly conceptualized as a chronic, relapsing neurobiological illness characterized by maladaptive learning, compulsive habits, and progressive loss of control. Theoretical advances emphasized the transition from goal-directed drug use to rigid stimulus–response habits, supported by refined models of ventral-to-dorsal striatal circuitry and allostatic dysregulation involving dopaminergic, glutamatergic, and stress systems. Relapse, craving incubation, and the insula’s role in interoceptive urges became central constructs. Simultaneously, molecular and “omics” approaches, immune signaling, receptor-level adaptations, and neuroimaging in humans expanded the field’s scope. Addiction research thus evolved into a highly integrative, circuit-based and translational neuroscience, linking behavior, biology, and emerging therapeutic interventions.\nSee Table 6 for a summary of the topics covered in this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the fifth edition of Kandel’s handbook.\n\n\n### State-of-the-art in the sixth edition (2017–2020)\nThe search query “neurobiology of addiction” for this time period resulted in 32 articles, 7 of which were excluded for being unrelated to addiction. They were supplemented with other contributions from their bibliographies (see Figure 6).\nFlow chart showing article selection for the state of the art before the publication of the sixth edition of Kandel’s handbook.\nThere is a convergence on a multi-system account of addiction that integrates motivational theory, circuit and neuromodulator mechanisms, and translational biomarkers. Conceptually, several papers emphasize that addiction cannot be reduced to tolerance and withdrawal alone; instead, compulsive seeking, craving, and a shared neurobiological substrate differentiate addictions from mere physiological dependence (e.g., caffeine, antidepressants). This perspective aligns with allostasis and incentive–sensitization frameworks and explicitly argues that later stages pivot toward negative reinforcement (Heinz et al., 2020; Horseman and Meyer, 2019; Koob, 2017; Kramer et al., 2020). Years after the original publishing of his theory, Koob wrote in 2020 about his version of opponent process theory, integrating aspects of stress and allostatic load (Koob, 2020). He now describes the dysphoric State B in terms of hyperkatifeia, a strong stress-induced negative emotional state. As in previous years, some conflated definitions have been clarified here as well. Lüscher et al. made the distinction between drug-seeking behaviors (the psychological or affective component associated with incentive states) and drug-taking behaviors (the measurable behavior of compulsive drug self-administration) (Lüscher et al., 2020). Kozak et al. also refined the difference between impulsivity and compulsivity, being the former a vulnerability marker for addiction and possibly an intrinsic personality trait associated with drug-seeking behaviors (Kozak et al., 2019).\nWithin this theoretical scaffold, dopamine system control emerges as a key mechanistic hinge. Failures in presynaptic dopamine D2 receptors increase addiction liability, with knockout/mutant models mapping how the interactions of these receptors reorganize reward circuitry and gating of reinforcement signals (Chen et al., 2020). Complementing this, circuit level reviews of the ventral tegmental area and nucleus accumbens synthesize how heterogeneous neuronal populations and neuropeptidergic inputs shape motivational states, including transitions from controlled use to compulsion (Castro and Bruchas, 2019; Morales and Margolis, 2017). Apart from dopamine, Emery and Akil discuss the dysregulation of the endogenous opioid system as a marker for opioid addiction and mood disorders (Emery and Akil, 2020). Further, the work by Scherma and colleagues demonstrates the role of anandamide, a lipid mediator, as a broad modulator of reward, capable of potentiating drug effects and biasing valuation in mesocorticolimbic loops (Scherma et al., 2019b). In another contribution, these authors review maladaptive eating habits in animal models (Scherma et al., 2019a).\nApart from dopamine and its interaction with other neurotransmitter systems, a complementary biological axis is neuroimmune signaling. One review centers on Toll-like receptors and microglia, arguing that drugs of abuse, as well as alcohol, enhance microglia activation through this pathway, linking inflammatory tone to addiction stage transitions (Crews et al., 2017). Closely related, several entries position stress as both precipitant and amplifier of addictive behavior, spanning negative urgency and motivational dysregulation, while also analyzing this issue in broader sociocultural contexts (Torres-Berrio et al., 2018; Zorrilla and Koob, 2019). Other research pinpointed the role of neurotrophic factors: Koskela et al. (2017) present addiction as loss of control over drug use with high rates of relapse, and report that neurotrophic factors BDNF and GDNF increase craving after drug self-administration. Additionally, Peana and colleagues review the role of acetaldehyde in alcoholism, showing its role in different stages of ethanol self-administration (Peana et al., 2017). About alcoholism, Pautassi et al.’s editorial discusses the association between early and late use of alcohol (Pautassi et al., 2020). Again related to stress, and concerning vulnerabilities, other articles highlight developmental and family context vulnerabilities, including the proposal that parenting stress constitutes a novel pathway to addiction risk, particularly around prenatal/postpartum windows when stress–reward interactions are dynamically remodeling caregiving and motivation circuits (Rutherford and Mayes, 2019).\nAbout specific substances, as a response to the sociopolitical discussion surrounding marijuana legalization in recent years, where cannabis has been popularly considered a “soft,” less addictive drug, Ferland and Hurd state the potential dangers of cannabis use disorder (Ferland and Hurd, 2020). They argue that cannabis involves the same neuroadaptations and subsequent associated risks as other substance use disorders. Two additional translational themes surface. First, polysubstance use is common: Crummy et al. (2020) report that 11.3% of persons diagnosed with substance-use disorder have alcohol plus other substance dependence. Second, Kwako and collaborators introduce the Addiction Neuroclinical Assessment to identify novel biomarkers and refine current ones. For example, “reinforcer pathology” appears as an important new biomarker (Kwako et al., 2018). The literature also flags sex differences as evident, especially for novel psychoactive substances, but still insufficiently explained mechanistically across animal and human data, supporting sex informed designs in both preclinical and clinical work (Fattore et al., 2020). On the therapeutic horizon, mechanistic reviews propose targeting metabolic and hormonal systems: raising NAD+ as a putative strategy to treat addiction (Braidy et al., 2020), and ghrelin signaling as a candidate node linking stress and reward, with suggestive evidence across alcohol and stimulants (Zallar et al., 2017). Other authors also review the use of brain stimulation as a potential tool to alleviate addiction and impulse disorders (Lapenta et al., 2018).\nMethodologically, one through line is human neuroimaging. Suckling and Nestor report frontostriatal disturbances across cognitive domains in users, some predictive of relapse and treatment response. They also find white matter changes in the anterior aspects of the brain, and suggest the role of cerebral vasculature in these processes (Suckling and Nestor, 2017). Focused imaging work on cannabis use disorder similarly maps alterations in reward, control, and decision-making networks with fMRI, illustrating how domain-specific markers could stratify risk and prognosis (Fatima et al., 2019).\nFinally, a remarkable emerging topic is behavioral addiction, officially termed Impulse Control Disorders, which is still in its earliest stages of discussion. Antons et al. explain that different impulse control disorders seem to trigger different aspects of the known neural circuitry associated with substance use disorders; for example, whereas gaming disorder and compulsive sexual behavior disorder have been associated with altered activity in the salience network, gambling disorder has not (Antons et al., 2020). Hence, they call for longitudinal neurobiological studies to examine the later stages of impulsive control disorders and fully understand their development, as there is a general lack of research to explain such differences.\nIn conclusion, in this most recent period, addiction research converges on a fully integrative, multi-system model that links motivational theory, circuit dynamics, neuromodulators, immune signaling, and translational biomarkers. Addiction is clearly distinguished from mere physiological dependence, defined instead by compulsive seeking, craving, relapse vulnerability, and shared neurobiological substrates shaped by allostasis, stress, and incentive sensitization. Dopaminergic, opioid, endocannabinoid, and neuroimmune mechanisms interact within refined circuit models of frontostriatal and mesolimbic dysfunction, while neuroimaging and biomarker initiatives strengthen clinical translation.\nTable 7 summarizes the main concepts and findings included in this time period.\nKey issues of the state of the art in the neurobiology of addiction before the publication of the sixth edition of Kandel’s handbook.\n\n\n### Discussion\nOur analysis reveals how the neurobiology of addiction has evolved over the last four decades and how this evolution has been explained in the most widely recognized handbook of neural science, Kandel’s Principles of Neural Science. The idea of comparing the Principles’ content with the state of the art of each time period is not to provoke a confrontation or to expose the limitations of the manual, but to show whether there is a balance in the various psychological and neurobiological hypotheses of addiction as they are introduced to the neuroscientific community, or whether this information is biased toward specific perspectives. This is intended to be not just retrospective, but it could be useful to inspire how certain topics (for example mental disorders, but also other research issues) should be presented to the neuroscience community. See Figure 7 for a visual comparison between the inception of an addiction-relevant topic in the literature, and its appearance in Kandel’s handbook. On average, the time lag (inception in the literature subtracted from the year of appearance in Kandel’s book) was 16.5 years. It is important to note that our literature analysis includes review articles and similar publication types, rather than primary research studies. Accordingly, when a particular topic emerges in these analyses, it likely indicates that the issue had already achieved a certain degree of consolidation within the scientific discourse of the period.\nVisual comparison between the inception of the main concepts in the literature and their appearance in Kandel’s handbook. Blue circles indicate the publication of an edition of Kandel’s handbook. Years indicate when a concept appeared in the scientific literature according to our review. Dark green circles indicate when the concept was included in Kandel’s handbook. Light green circles mean that the topic appears in the handbook, but in a context unrelated to addiction. Yellow circles indicate that the theory is not explicitly mentioned in the textbook, but it is implicitly assumed. Red lines show the time lag between the introduction of the concept in the scientific literature and in Kandel’s handbook (average time lag for all concepts, 16.5 years). Note two odd cases: first, the concept “Reward and Learning” apparently is included in the scientific literature and the handbook in the same year. However, the state of the art already discussed reward/pleasure within the opponent process theory. Second, “Dopamine pathways” seems to appear first in the handbook and then in the literature. However, the role of dopamine had already been consolidated in scientific reviews under the concept “Catecholamines.” Addict. Vs. phys. depend, addiction versus physiological dependence; Impuls. Vs. Compuls, impulsivity versus compulsivity; NT, neurotransmitters; pers, personality; Psych. Stim. Theory, psychomotor stimulant theory; Vuln, vulnerability.\nFurthermore, we wanted to test the hypothesis that current neurobiology of mental disorders tends to “smallism,” defined as “the contention that mature cognitive science will explain in terms of the smallest aspects of physical reality” (Oliveira and Chemero, 2015, p. 14; Wilson, 2004). After an initial overview of the topical progression in the six editions of the Principles, we found a trend of an increasing interest in progressively smaller units: from brain areas to neurons to proteins to genes. We wanted to test whether this was the case in addiction. Overall, these two questions –the balance between various addiction hypotheses and the “smallism” issue– entail two trajectories in the discussion: one, so to speak, cross-sectional, where each edition of the Principles is compared with its corresponding state of the art; and one longitudinal, where the evolution of addiction can be discussed across the editions of the Principles (and, independently, in the state of the art of the different periods). This section first discusses the “cross-sectional” approach, then the “longitudinal.”\nOne overall conclusion that affects both approaches is that addiction was overlooked in Kandel’s manual until the fourth edition, published in 2000. However, it was mentioned as a significant societal problem since the beginning, so it may be inferred that neural science, according to the editors, did not have much to say about it until the end of the 20th century. However, the cross-sectional analysis reveals that the state of the art in the first three editions showed a high diversity of psychological and neurobiological hypotheses, already suggesting the role of catecholamines, the involvement of prosencephalic areas such as the medial forebrain bundle, and other reward-related structures. Furthermore, these hypotheses emphasized the importance of integrating biological, sociological, and psychological components, thereby embedding neurobiology within the context of genetic and epigenetic factors. Interestingly, the first edition already mentioned intracranial self-stimulation studies in the context of reinforcement and homeostasis, which were topics related to the neurobiology of addiction as early as the 1970s, but failed to make the connection in the manual. This could be due to the fact that combining homeostasis, reinforcement, and hedonic factors involved a thorough explanation of the anatomy and function of the hypothalamus, whose complexity may leave little room for novel topics, such as the link between homeostasis, reinforcement, and addiction. Before explicitly dealing with addiction in the fourth edition, the third edition includes very similar content to the previous ones. However, neurobiological research on addiction made substantial progress during the 1980s. As an example, Wise’s review in 1987 extensively demonstrates the involvement of the ventral tegmental area and nucleus accumbens in addiction (Wise and Bozarth, 1987), among other things, and this mental disorder is not mentioned in the Principles (1991, third edition) when the basal ganglia are explained. In conclusion, the lack of focus on addiction in the first three editions may be a consequence of describing reinforcement in connection with homeostasis and the hypothalamus, rather than making the move to link reward-related processes to the basal ganglia.\nWe do not have a definitive answer on why addiction was not included in the earlier editions. However, we hypothesize the following: In the first three editions, the chapter in which addiction was eventually incorporated was authored by Irving Kupfermann, a leading expert on feeding behavior, defense reflexes, motivation, and behavioral modulation in Aplysia. Given that the chapter addressed motivation and the limbic system, it is unsurprising that its primary emphasis was placed on mechanisms related to the maintenance of homeostasis. Concepts such as pleasure, reward, learning, and emotion were therefore framed mainly as processes supporting the regulation of normal behavior. In line with Kupfermann’s research background, which focused largely on fundamental behavioral mechanisms, pathological behavioral states such as addiction were not explicitly discussed. Moreover, his continued authorship of the chapter in the second and third editions suggests a strong conceptual continuity across these versions. In the fourth edition, however, authorship expanded to include the neuropsychopharmacologist Susan Iversen. This addition coincided with a broader shift in the chapter’s focus, with greater attention given to addictive processes. Although the editorial motivations behind this change cannot be established, Iversen’s expertise in the behavioral and neurobiological effects of psychostimulants, particularly amphetamines, may have contributed to a conceptual reorientation linking motivational and emotional systems with addictive states.\nIndeed, the fourth edition, although briefly, discusses the role of dopaminergic pathways in reinforcement and addiction. This section is still included in a chapter about the hypothalamus, but the nigrostriatal pathway is highlighted as a crucial site for motivation. The bibliography is up to date, citing, for instance, Koob, Robbins, Everitt, Wise, or Schultz, including articles from the late 1990s. Therefore, its content is more aligned with the state of the art than previous editions. Even though addiction is not mentioned in the chapter on the basal ganglia, the role of the limbic loop (including the ventral striatum, ventral pallidum, ventral tegmental area, etc.) in motivated behavior is stated. Also, this edition goes deeper into psychological terms such as tolerance, craving, or dependence. Neurobiology is much more integrated into current hypotheses of addiction, even though the explanations are brief. The explanation of addiction definitely changed in 2012, when the fifth edition was published. A quick look at the index reveals ten different mentions of the topic (from animal models of addiction to relapses, plus five subtopics within “addictive drugs”). As explained above, drug abuse and addiction are presented as goal-directed behavior, which is at odds with most psychological hypotheses. However, in the text, it is stated that “The addicted person loses control over drug use –obtaining and using drugs come to dominate all other life goals” (Kandel et al., 2013, p. 1105). Neuroanatomically, it is focused on reward circuits and the role of dopamine in reward anticipation and consumption, after Wolfram Schultz’s experiments (Schultz, 1997). This section is still in the homeostasis and motivation chapter, although hypothalamic anatomy and function is mostly explained in previous chapters. Several diseases are mentioned in the basal ganglia chapter, although addiction is absent. However, chapter 66 presents the cellular mechanisms of implicit memory, and it is stated that “[the caudate nucleus] and the ventral striatum malfunction in a variety of diseases in which habit learning is disordered, including obsessive-compulsive disorder and addiction” (Kandel et al., 2013, p. 1482). This goes in line with Everitt and Robbins’ theory of addiction, who interpret it as a rigid and uncontrollable habit. Therefore, the fifth edition treats addiction extensively, although most of the descriptions were already present in the scientific literature for nearly two decades.\nThe sixth edition is marked by the independence of addiction from homeostasis. Chapter 43 distinguishes between goal-directed motivated behavior and drug addiction as a pathological reward state. Therefore, addiction is not presented as a goal-directed process anymore. For the first time, addiction is also explained in the basal ganglia chapter as a dysregulation of motivational selections where there is an exaggerated salience of certain stimuli. Strikingly, in times where behavioral addictions seem to be as pervasive as substance abuse, the “addiction” entry in the index is substituted by “Drug addiction” and “Drugs of abuse.” However, a final section in chapter 43 deals with “natural addictions,” although this is just outlined as a promising field of research. Compared to the current state of the art, there exists the risk of overlooking current psychological and neurobiological hypotheses of behavioral addictions, as it happened in the first editions with addiction in general. Thus, we recommend a more in-depth analysis of these conditions, as some systematic reviews and meta-analyses indicate that their prevalence exceeds 10% (Alimoradi et al., 2022). Finally, the comparison between the Principles and the state of the art reveals an interesting mismatch in the interpretation of the Olds and Milner experiment about intracranial stimulation in rats (Olds and Milner, 1954). The latter editions of the manual keep presenting it as a repeated self-stimulation because it feels pleasurable to the animal. However, scientific evidence since the 1990s suggest that animals self-stimulate because they feel the urge to do it (they “want” it), not because they experience pleasure (they do not “like” it) (see Kringelbach and Berridge, 2012 for a summary of this change of perspective).\nConcerning the “longitudinal” analysis of addiction research, the evolution in the Principles can be summarized in the following points: (1) recognizing addiction as a neurobiological (and not just a societal) issue; (2) linking the effect of some drugs (i.e., cocaine) to dopamine and reinforcement; (3) disentangling addiction from homeostasis and hypothalamic function, bringing it closer to mesolimbic circuits and learning; (4) increasing fine-grained descriptions of the molecular processes involved in addiction; (5) suggesting, as a future field of research, that the neural bases of substance addiction may be the same as behavioral addictions. In the scientific literature preceding each edition, the psychological hypotheses of the 1940s and 1950s were progressively applied to neurobiological findings. In the early 1980s, dopamine was introduced as the most plausible candidate to explain addiction. These hypotheses were also ecological, admitting that there should be genetic, neurochemical, and social factors that made some individuals more vulnerable to addiction. Another evolving topic across time is the dual perspective on addiction. All hypotheses employ a dialectic approach to provide a broader perspective on the issue: the shift from positive to negative reinforcement over time, the transition from liking to wanting, from goal-directed behavior to compulsive habits, and so on. Interestingly, whereas descriptions in the Principles progress toward more detailed molecular processes, as if more detailed meant more precise, current scientific approaches tend to integrate genetic, epigenetic, neurobiological, and social factors, just as they did decades ago. In other words, molecular descriptions do not come at the cost of missing the bigger picture: they are used to enrich it. In our opinion, the handbook should follow the same track and incorporate the latest advances in neurobiology within a holistic framework where addiction is viewed as a biological, psychological, and social mental condition.\nEven though this is an extensive study of the history of addiction neurobiology in the last half century, our work is limited to Kandel’s handbook and scientific reviews in the literature. Another possible strategy would be to compare the Principles with other textbooks focused on addiction, such as those within the scope of pharmacology, for example (like Goodman and Gilman’s handbook, Brunton and Knollmann, 2023). To have a more restricted field, we decided to analyze just one handbook and compare it with the state of the art. We encourage future research to compare the neurobiology of addiction between different textbooks. Also, it should be taken into account that our historical review is not intended to show the visibility or impact (Petrovich and Viola, 2024) of the state-of-the-art literature on each edition of Kandel’s textbook. We do independent analyses for both sources, and compare their contents generally. For future research, it would be interesting to study how the current state-of-the-art will eventually be integrated into the possible next edition of Kandel’s handbook.\nIn conclusion, we hope that this historical and critical review helps the reader gain a deeper understanding of the neurobiology of addiction and inspires future research. We would like to close with the final paragraph of the Preface included in the 6th edition of the Principles, as a tribute and acknowledgment to Eric Kandel and his collaborators, and to express our main goal with this article:\nIn writing this latest edition, it is our hope and goal that readers will emerge with an appreciation of the achievements of modern neuroscience and the challenges facing future generations of neuroscientists. By emphasizing how neuroscientists in the past have devised experimental approaches to resolve fundamental questions and controversies in the field, we hope that this textbook will also encourage readers to think critically and not shy away from questioning received wisdom, for every hard-won truth likely will lead to new and perhaps more profound questions in brain science. Thus, it is our hope that this sixth edition of Principles of Neural Science will provide the foundation and motivation for the next generation of neuroscientists to formulate and investigate these questions (Kandel et al., 2021, p. xlii).", "domain": "affective_neuroscience"}
{"source": "PMC13100343", "title": "No Evidence of Moderated Impulsivity Following Administration of the IMPase Inhibitor Ebselen in Healthy Adults", "text": "# No Evidence of Moderated Impulsivity Following Administration of the IMPase Inhibitor Ebselen in Healthy Adults\n\n## Abstract\nImpulsivity is a transdiagnostic risk factor for numerous health morbidities and is strongly associated with early relapse and poor treatment outcomes in addictions and mood‐disorders. Lithium carbonate can be helpful in moderating the impulsive behaviors associated with mania, possibly mediated by reduced myo‐inositol activity following inhibition of the enzyme inositol monophosphatase (IMPase). We tested the hypothesis that impulsivity—as motor disinhibition, decisions without adequate information, and stronger preferences for small immediate rewards over larger later rewards—can be moderated by the IMPase inhibitor ebselen in healthy adult volunteers. One hundred and thirty healthy adults completed a between‐subjects, double‐blind, placebo‐controlled protocol. Over 2 days, participants received a previously validated dose of 1800 mg of ebselen or placebo before completing tests of impulsivity and decision‐making. There were no substantive changes in any measure of impulsivity following treatment with ebselen compared with placebo. Neither was there any convincing evidence of stronger treatment effects in high‐trait impulsive participants compared with low‐trait participants. These results fail to replicate findings that ebselen administration moderates validated measures of impulsivity in healthy adults, at least at doses shown to reduce myo‐inositol within the medial prefrontal cortex and produce changes in emotional processing and reward‐based learning.\n\n## Full Text\n\n\n### Introduction\nImpulsivity, expressed as rapid actions or decisions producing harmful effects, is a salient feature of the behavioral phenotypes of various psychiatric illnesses, including attention‐deficit/hyperactivity disorder, alcohol and substance use disorders, certain personality and conduct disorders, and disordered gambling and other behavioral addictions (Kirby et al. 1999; Levitt et al. 2020; Madden et al. 2011; Simon et al. 2001). Heightened impulsivity is associated with earlier onset of these illnesses, increased risk of early relapse, suicidality, and poorer treatment outcomes (Adinoff et al. 2016; Liu et al. 2017; Sliedrecht et al. 2021). This broad transdiagnostic involvement highlights the potential value of moderating impulsivity as a treatment strategy (Kozak et al. 2019).\nCurrent pharmacotherapies show inconsistent efficacy in moderating impulsivity, depending on the clinical population and outcome measure (Anderson et al. 2021; Felthous et al. 2021; Grassi et al. 2021; Kozak et al. 2019; Schwartz et al. 2023). However, lithium carbonate is consistently effective in reducing the impulsivity characteristic of manic states (McKnight et al. 2019) and in moderating broader patterns of self‐harm, suicidality, and impulsive aggression in some patient groups (Cipriani et al. 2013; Felthous et al. 2021; R. M. Jones et al. 2011; Murphy et al. 2024; Nabi et al. 2022; Sheard et al. 1976; Simon et al. 2001). Small‐scale studies report reduced impulsive gambling following lithium treatment in individuals with co‐occurring bipolar spectrum disorder and disordered gambling (Hollander et al. 2005), possibly mediated by altered orbitofrontal‐cingulate activity (Hollander et al. 2008). Finally, in animal models, acute and chronic lithium can attenuate premature responding in the 3‐ and 5‐choice Serial Reaction Time Tasks (Adams et al. 2020; Ohmura et al. 2012); and, in humans, improve decision‐making in the Iowa Gambling Task (Adida et al. 2015).\nLithium's side‐effects profile (Atack 2000; McKnight et al. 2012) and narrow therapeutic index (Bortolozzi et al. 2024) limit its clinical use, but highlight the importance of identifying which of its pharmacological mechanisms (Gao and Calabrese 2021) mediate its putative anti‐impulsive effects. According to the inositol depletion hypothesis (Berridge et al. 1989), lithium's inhibitory actions on the enzyme inositol monophosphatase (IMPase) reduce myo‐inositol levels, thereby moderating phosphatidylinositol (PI) signaling (Allison et al. 1976; Alllison and Stewart 1971). Changes in PI signaling stabilise downstream monoamine release and postsynaptic receptor activity (Bermingham et al. 2016) to support broader cognitive and affective functions, including those implicated in impulse control (Dalley and Robbins 2017). In this way, the moderation of myo‐inositol availability offers a viable therapeutic target for addressing impulsivity in clinical groups.\nEbselen, a bioavailable antioxidant, is an effective IMPase inhibitor that reduces whole brain myo‐inositol concentrations in rodents (Singh et al. 2013) and within the medial prefrontal cortex in both healthy adults (Masaki et al. 2016b) and treatment‐resistant depressed patients (Ramli et al. 2024). The drug also shows promising results as an adjunctive treatment for mania (Sharpley et al. 2020). In animals, ebselen inhibits PI‐linked 5HT2A receptor function in different models (Antoniadou et al. 2018), reduces premature responding in the 5‐Choice Serial Reaction Time Task, and blocks cocaine‐induced patterns of premature responding (Barkus et al. 2018). Small‐scale studies with healthy human volunteers show that short courses of ebselen can moderate rapid patterns of betting in the Cambridge Gambling Task (Masaki et al. 2016a), but also diminish sensitivity to rewarding outcomes in a probabilistic decision‐making task (Singh et al. 2016) and improve the recognition of positive emotions in the face (Masaki et al. 2016a; Singh et al. 2016). Collectively, these findings suggest that ebselen can moderate impulsive behaviors and the related reinforcement‐learning that support decision‐making between value‐laden alternatives.\nHere, in a pre‐registered (between‐subjects) experiment, we sought to test the hypothesis that depleted myo‐inositol levels following administration of the IMPase inhibitor ebselen (1800 mg over 2‐day) can diminish impulsivity in a community sample of healthy (non‐clinical) adults. We operationalised impulsivity in three core forms: (i) ‘motor impulsivity’ as inhibitory control in the Stop‐Signal Task (Verbruggen et al. 2012) and Continuous Performance Test (Dougherty et al. 2002); (ii) ‘reflection impulsivity’ in the Information Sampling Task (Clark et al. 2006) and Observe‐or‐Bet Task (Navarro et al. 2016); and (iii) ‘delay discounting’ measured with the Titrating Alternatives Task (Du et al. 2002; Rung et al. 2018) and the Monetary Choice Questionnaire (Kirby et al. 1999).\nTrait impulsivity was measured using the Barratt Impulsivity Scale (BIS‐11) (Patton et al. 1995; Stanford et al. 2009) to test the secondary hypothesis that IMPase inhibition following ebselen treatment will produce larger reductions in measured impulsivity in high‐trait impulsive individuals compared with low‐trait individuals, potentially increasing confidence in ebselen's therapeutic potential. Finally, to replicate observations of altered emotional processing following ebselen administration (Masaki et al. 2016a; Singh et al. 2016), we also assessed facial emotion recognition using the Face Emotion Recognition Task (FERT) (Harmer et al. 2004).\n\n\n### Methods\nThe study was given a favorable opinion by the National Health Service Research Ethics Committee (Wales REC 2) (IRAS ID: 244365). All participants provided voluntary and informed consent.\nOne‐hundred‐and‐thirty‐two participants (N\nmale = 66, N\nfemale = 66) enrolled in the study. Exclusion criteria were as follows (i) current or historical DSM‐V Axis I psychiatric disorder, bipolar disorder, depressive illness or anxiety disorder, or substance misuse or dependence disorder assessed using the Non‐Patient Edition of the Structured Clinical Interview for Diagnostic and Statistical Manual for Mental Health Disorders (First et al. 2015); (ii) significant current illness (e.g., diabetes, hypertension, or cardiovascular illness); (iii) current use of regular prescription medication (apart from the contraceptive pill); (iv) pregnancy or lactation; (v) smoking more than 10 cigarettes per day; (vi) BMI less than 18 or greater than 34; (vii) participation in another study of an investigational drug within the previous 3 months; (viii) and non‐fluent English. Participants were asked to abstain from alcohol and to use a listed method of contraception during the study period.\nData collection began in December 2021 while Welsh Government‐mandated COVID‐19 restrictions were in place. Therefore, additional exclusion criteria included current symptoms of COVID‐19 (continuous cough, high temperature, loss of or change to sense of smell or taste) or ‘long’ COVID (e.g., persisting tiredness, shortness of breath, concentration problems, difficulties sleeping). All data were collected first between December 2021 and June 2022, and then, following revisions to the protocol (see below), between November 2022 and June 2024.\nThe study consisted of a double‐blind, placebo‐controlled, gender‐balanced design. Originally, a 4‐day protocol included three arms: 60 participants receiving ebselen, 60 receiving placebo, and 60 participants receiving lithium carbonate as a positive comparator for ebselen's putative anti‐impulsive effects. However, the interruption of the COVID‐19 pandemic and recruitment challenges associated with the biochemical screening for the lithium and intrusive COVID‐19 restrictions made it necessary to drop the lithium arm and switch to a simpler 2‐day protocol with two sets of participants receiving ebselen or placebo.\nThe 4‐ and 2‐day protocols did not differ in the scheduling of doses across the protocol or the total dose of ebselen administered (see Supporting Information S1: Table S1); and the data of the 10 participants who received ebselen and the 8 who received placebo in the 4‐day protocol showed no substantial differences to those of the larger number of participants who completed the 2‐day protocol (Supporting Information S1: Table S2). Therefore, the data pooled across protocols are presented here. Two placebo participants (both female) withdrew from the study having started the study medications but prior to cognitive testing. In total, the analysis was completed over the data from 130 participants (N\nebselen = 66, N\nplacebo = 64).\nParticipants received 3 × 200 mg capsules of ebselen or placebo on 3 separate occasions over 2 days: on Day 1, at 9a.m. and 4p.m.; and on Day 2, at 10a.m., 2 h prior to completion of the cognitive assessments of impulsivity. Thus, the first and second doses were separated by 7 hours, and the second and third doses by 18 hours. This dosing schedule was chosen to replicate those that produce decrements in myo‐inositol levels within medial prefrontal cortex and have shown altered cognitive processing in healthy adults (Masaki et al. 2016a; Singh et al. 2016). The ebselen capsules did not contain any excipients and the placebo capsules consisted of microcrystalline cellulose.\nAll dosing was performed on‐site at Bangor University, under the supervision of one of the researchers (MPGJ or LE). Information about any side‐effects (headache, nausea, fatigue, thirst, frequent urination, stomach upset, and dizziness) was collected at the start of the second and third dosing visits.\nEducational history was specified using the International Standard Classification of Education (ISCED) (EurostatStatistics 2015). Baseline depression and anxiety symptoms were assessed with the Beck Depression Inventory (BDI) (Beck et al. 1996) and the trait form of the State and Trait Anxiety Inventory (STAI‐Y2) (Spielberger 1970). Trait impulsivity scores were collected with the Barratt Impulsivity Scale (BIS‐11) (Patton et al. 1995; Stanford et al. 2009). Mood elevation experiences—strongly associated with impulsivity in clinical and community populations (Gillett et al. 2021)—were assessed with the Mood Disorders Questionnaire (Hirschfeld 2002). Baseline mood and affect were assessed using the Befindlichskeit scale of mood and energy (BFS) (Von Zerssen et al. 1974) and the Profile of Mood States (POMS) (McNair et al. 1971). On the day of testing, participants completed the BFS and POMS for a second time, in addition to the state versions of the STAI (STAI‐Y1) and the Positive and Negative Affect Scale (PANAS‐S) (Watson et al. 1988).\nIn addition to tests of motor impulsivity, reflection impulsivity, delay discounting, and emotional recognition (Harmer et al. 2004), the protocol included tasks tapping related cognitive and affective functions: (i) probability discounting (Du et al. 2002; Madden et al. 2009); (ii) risk‐based decision‐making (Rogers et al. 2003); (iii) resource management (Rauwolf et al. 2024); and (iv) delayed emotional memory (Harmer et al. 2004). The entire study dataset, along with a summary of the broadly null results from the additional cognitive tasks can be found at: https://osf.io/45xu9/.\nThe IST is a measure of reflection impulsivity, in which participants were required to decide how much information to gather before making decisions to maximise nominal experimenter‐defined rewards as 'points'. Participants viewed visual displays of gray boxes containing hidden colored (blue or yellow) squares and were invited to open as many or as few boxes as they wished before making a judgment about which color of square was predominant. The two principal dependent measures of the IST were: (i) the total number of boxes opened before making declarations; and (ii) p(Correct), the momentary probability of declaring the correct color. p(Correct) can be interpreted as an index of reflection impulsivity, with higher values indicating less reflection impulsivity than lower values (Bennett et al. 2017).\nThe observe‐or‐bet task is a second measure of reflection impulsivity in which, over a series of trials, participants were invited to balance observations of a ‘blox machine’—a simple device in which red or blue lights were illuminated probabilistically—against bets of experimenter‐defined points on its hidden state: the machine's bias towards one of the two colors. Two key measures were: (i) the number of observations across all blocks, and (ii) the number of points earned.\nThe SST provides an assay of motor inhibition. In a discrete‐choice reaction time task, participants were asked to respond rapidly to a series of left or right arrows with the corresponding left or right index‐finger key‐presses; except on a subset of trials on which these stimuli were replaced by a ‘stop signal,’ requiring participants to inhibit the already‐activated response. Two key measures were assessed: (i) the probability of erroneous responses on stop‐signal trials, or p(response | stop‐signal); and (ii) the stop‐signal response time itself (SSRT), an indirect measure of the average time (ms) needed to cancel a motor response, with smaller values indicating more efficient impulse control as motor inhibition than larger values.\nThe Continuous Performance Test (CPT) is a working memory and sustained attention task, that requires the management of impulsive responses to maintain mental focus. Participants were shown briefly presented pairs of five‐digit numbers and were required to respond whenever the two numbers were identical (‘target’ trials) but not respond when they were different (‘catch’ and ‘filler’ trials). The principal outcome measures included (i) mean RTs to target trials and (ii) the ratio of responses to catch trials (‘commission errors’) to responses to target trials (‘correct detections’).\nParticipants were asked to indicate their preferences between hypothetical sums of money available immediately and larger sums of money only available following varying delays. The delays to the greater sums of money increased across blocks of trials, while the value of the smaller sums was adjusted dynamically within blocks to converge on participants' indifference points. The TA discounting task yielded two indices of delay‐based impulsivity: (i) the fitted hyperbolic rate of discounting reward value as a function of delay, k (Mazur 2013); and (ii) the area under the curve (AUC; Myerson et al., 2001). The TA data were screened for non‐systematic patterns of preferences over the elicitation using established criteria (Johnson and Bickel 2008; Rung et al. 2018).\nThe MCQ is a questionnaire elicitation of individuals' hyperbolic rate of discounting reward value with delay, comparable to discrete‐choice elicitations such as the TA discounting task (Kaplan et al. 2016; Mazur 2013).\nThe FERT assesses recognition speed and accuracy of six emotional states in pseudo‐random series of visually presented faces (happiness, surprise, sadness, fear, anger, disgust, and neutral). Participants were asked to indicate which emotion was displayed by pressing one of seven labeled keys. Responses were untimed, but participants were instructed to answer as quickly and as accurately as possible.\nOur design, materials, and statistical approach were pre‐registered with AsPredicted.org for sample sizes of 60 participants in each of the ebselen and placebo groups (https://aspredicted.org/sjg9‐r62z.pdf). Inspection of Masaki et al. (2016a) suggested a Cohen's d of around 0.50 for a main effect of ebselen over placebo treatment. Assuming a moderate effect size (f\n2 = 0.06) and using OLS regression over the primary outcome measures with sample sizes of 66 ebselen and 64 placebo participants of the adjusted design, we estimated an implied statistical power of 0.88 to detect main effects of treatment at p < 0.05 (one‐tailed). Assuming smaller effect sizes for the moderation of treatment effects by the BIS‐11 scores for trait impulsivity (f\n2 = 0.04), the estimated power to detect interaction effects dropped to 0.74 at p < 0.05 (one‐tailed). All of the study data, as well as our models in R (R Studio version 4.3.3; https://posit.co/), can be found at https://osf.io/45xu9/.\nMain effects were tested with linear regression models that included treatment group (ebselen vs. placebo)—with the latter as the referent—and trait impulsivity (BIS‐11 scores) (Patton et al. 1995) as predictors. Next, the moderation of treatment effects by trait impulsivity was tested using full models that included the added interaction terms. On the basis of previous reports of positive associations between measures of impulsivity and BIS‐11 subscale scores, interaction effects on the SST and CPT were tested in relation to the motor impulsivity subscale of the BIS‐11 (Caswell et al. 2015) while interaction effects on the IST, the Observe‐Bet task, the TA, and the MCQ were tested with the non‐planning subscale (Brynte et al. 2023; De Wit et al. 2007; Mobini et al. 2007).\nAll statistical analysis related to a priori predictions. However, to achieve some control over multiple comparisons and the risk of Type I errors, we confined our statistical tests to two principal outcome measures per task. To ensure that results were not unduly dependent on outliers, the models were re‐run following removal of high‐influence datapoints (defined by a Cook's distance equal to or greater than 4/n). In general, the impact of high‐influence datapoints was negligible (see Supporting Information S1: Table S3). k values were log‐transformed prior to analysis.\n\n\n### Participants\nThe study was given a favorable opinion by the National Health Service Research Ethics Committee (Wales REC 2) (IRAS ID: 244365). All participants provided voluntary and informed consent.\nOne‐hundred‐and‐thirty‐two participants (N\nmale = 66, N\nfemale = 66) enrolled in the study. Exclusion criteria were as follows (i) current or historical DSM‐V Axis I psychiatric disorder, bipolar disorder, depressive illness or anxiety disorder, or substance misuse or dependence disorder assessed using the Non‐Patient Edition of the Structured Clinical Interview for Diagnostic and Statistical Manual for Mental Health Disorders (First et al. 2015); (ii) significant current illness (e.g., diabetes, hypertension, or cardiovascular illness); (iii) current use of regular prescription medication (apart from the contraceptive pill); (iv) pregnancy or lactation; (v) smoking more than 10 cigarettes per day; (vi) BMI less than 18 or greater than 34; (vii) participation in another study of an investigational drug within the previous 3 months; (viii) and non‐fluent English. Participants were asked to abstain from alcohol and to use a listed method of contraception during the study period.\nData collection began in December 2021 while Welsh Government‐mandated COVID‐19 restrictions were in place. Therefore, additional exclusion criteria included current symptoms of COVID‐19 (continuous cough, high temperature, loss of or change to sense of smell or taste) or ‘long’ COVID (e.g., persisting tiredness, shortness of breath, concentration problems, difficulties sleeping). All data were collected first between December 2021 and June 2022, and then, following revisions to the protocol (see below), between November 2022 and June 2024.\n\n\n### Design\nThe study consisted of a double‐blind, placebo‐controlled, gender‐balanced design. Originally, a 4‐day protocol included three arms: 60 participants receiving ebselen, 60 receiving placebo, and 60 participants receiving lithium carbonate as a positive comparator for ebselen's putative anti‐impulsive effects. However, the interruption of the COVID‐19 pandemic and recruitment challenges associated with the biochemical screening for the lithium and intrusive COVID‐19 restrictions made it necessary to drop the lithium arm and switch to a simpler 2‐day protocol with two sets of participants receiving ebselen or placebo.\nThe 4‐ and 2‐day protocols did not differ in the scheduling of doses across the protocol or the total dose of ebselen administered (see Supporting Information S1: Table S1); and the data of the 10 participants who received ebselen and the 8 who received placebo in the 4‐day protocol showed no substantial differences to those of the larger number of participants who completed the 2‐day protocol (Supporting Information S1: Table S2). Therefore, the data pooled across protocols are presented here. Two placebo participants (both female) withdrew from the study having started the study medications but prior to cognitive testing. In total, the analysis was completed over the data from 130 participants (N\nebselen = 66, N\nplacebo = 64).\nParticipants received 3 × 200 mg capsules of ebselen or placebo on 3 separate occasions over 2 days: on Day 1, at 9a.m. and 4p.m.; and on Day 2, at 10a.m., 2 h prior to completion of the cognitive assessments of impulsivity. Thus, the first and second doses were separated by 7 hours, and the second and third doses by 18 hours. This dosing schedule was chosen to replicate those that produce decrements in myo‐inositol levels within medial prefrontal cortex and have shown altered cognitive processing in healthy adults (Masaki et al. 2016a; Singh et al. 2016). The ebselen capsules did not contain any excipients and the placebo capsules consisted of microcrystalline cellulose.\nAll dosing was performed on‐site at Bangor University, under the supervision of one of the researchers (MPGJ or LE). Information about any side‐effects (headache, nausea, fatigue, thirst, frequent urination, stomach upset, and dizziness) was collected at the start of the second and third dosing visits.\n\n\n### Background, Mood/Affect and Personality Questionnaires\nEducational history was specified using the International Standard Classification of Education (ISCED) (EurostatStatistics 2015). Baseline depression and anxiety symptoms were assessed with the Beck Depression Inventory (BDI) (Beck et al. 1996) and the trait form of the State and Trait Anxiety Inventory (STAI‐Y2) (Spielberger 1970). Trait impulsivity scores were collected with the Barratt Impulsivity Scale (BIS‐11) (Patton et al. 1995; Stanford et al. 2009). Mood elevation experiences—strongly associated with impulsivity in clinical and community populations (Gillett et al. 2021)—were assessed with the Mood Disorders Questionnaire (Hirschfeld 2002). Baseline mood and affect were assessed using the Befindlichskeit scale of mood and energy (BFS) (Von Zerssen et al. 1974) and the Profile of Mood States (POMS) (McNair et al. 1971). On the day of testing, participants completed the BFS and POMS for a second time, in addition to the state versions of the STAI (STAI‐Y1) and the Positive and Negative Affect Scale (PANAS‐S) (Watson et al. 1988).\n\n\n### Laboratory Assessments of Impulse Control\nIn addition to tests of motor impulsivity, reflection impulsivity, delay discounting, and emotional recognition (Harmer et al. 2004), the protocol included tasks tapping related cognitive and affective functions: (i) probability discounting (Du et al. 2002; Madden et al. 2009); (ii) risk‐based decision‐making (Rogers et al. 2003); (iii) resource management (Rauwolf et al. 2024); and (iv) delayed emotional memory (Harmer et al. 2004). The entire study dataset, along with a summary of the broadly null results from the additional cognitive tasks can be found at: https://osf.io/45xu9/.\n\n\n### Reflection Impulsivity\nThe IST is a measure of reflection impulsivity, in which participants were required to decide how much information to gather before making decisions to maximise nominal experimenter‐defined rewards as 'points'. Participants viewed visual displays of gray boxes containing hidden colored (blue or yellow) squares and were invited to open as many or as few boxes as they wished before making a judgment about which color of square was predominant. The two principal dependent measures of the IST were: (i) the total number of boxes opened before making declarations; and (ii) p(Correct), the momentary probability of declaring the correct color. p(Correct) can be interpreted as an index of reflection impulsivity, with higher values indicating less reflection impulsivity than lower values (Bennett et al. 2017).\nThe observe‐or‐bet task is a second measure of reflection impulsivity in which, over a series of trials, participants were invited to balance observations of a ‘blox machine’—a simple device in which red or blue lights were illuminated probabilistically—against bets of experimenter‐defined points on its hidden state: the machine's bias towards one of the two colors. Two key measures were: (i) the number of observations across all blocks, and (ii) the number of points earned.\n\n\n### Information Sampling Task (IST) (Clark et al. 2006 for Details)\nThe IST is a measure of reflection impulsivity, in which participants were required to decide how much information to gather before making decisions to maximise nominal experimenter‐defined rewards as 'points'. Participants viewed visual displays of gray boxes containing hidden colored (blue or yellow) squares and were invited to open as many or as few boxes as they wished before making a judgment about which color of square was predominant. The two principal dependent measures of the IST were: (i) the total number of boxes opened before making declarations; and (ii) p(Correct), the momentary probability of declaring the correct color. p(Correct) can be interpreted as an index of reflection impulsivity, with higher values indicating less reflection impulsivity than lower values (Bennett et al. 2017).\n\n\n### Observe‐or‐Bet Task (Navarro et al. 2016)\nThe observe‐or‐bet task is a second measure of reflection impulsivity in which, over a series of trials, participants were invited to balance observations of a ‘blox machine’—a simple device in which red or blue lights were illuminated probabilistically—against bets of experimenter‐defined points on its hidden state: the machine's bias towards one of the two colors. Two key measures were: (i) the number of observations across all blocks, and (ii) the number of points earned.\n\n\n### Motor Impulsivity\nThe SST provides an assay of motor inhibition. In a discrete‐choice reaction time task, participants were asked to respond rapidly to a series of left or right arrows with the corresponding left or right index‐finger key‐presses; except on a subset of trials on which these stimuli were replaced by a ‘stop signal,’ requiring participants to inhibit the already‐activated response. Two key measures were assessed: (i) the probability of erroneous responses on stop‐signal trials, or p(response | stop‐signal); and (ii) the stop‐signal response time itself (SSRT), an indirect measure of the average time (ms) needed to cancel a motor response, with smaller values indicating more efficient impulse control as motor inhibition than larger values.\nThe Continuous Performance Test (CPT) is a working memory and sustained attention task, that requires the management of impulsive responses to maintain mental focus. Participants were shown briefly presented pairs of five‐digit numbers and were required to respond whenever the two numbers were identical (‘target’ trials) but not respond when they were different (‘catch’ and ‘filler’ trials). The principal outcome measures included (i) mean RTs to target trials and (ii) the ratio of responses to catch trials (‘commission errors’) to responses to target trials (‘correct detections’).\n\n\n### Stop‐Signal Task (SST) (Verbruggen et al. 2012, 2013)\nThe SST provides an assay of motor inhibition. In a discrete‐choice reaction time task, participants were asked to respond rapidly to a series of left or right arrows with the corresponding left or right index‐finger key‐presses; except on a subset of trials on which these stimuli were replaced by a ‘stop signal,’ requiring participants to inhibit the already‐activated response. Two key measures were assessed: (i) the probability of erroneous responses on stop‐signal trials, or p(response | stop‐signal); and (ii) the stop‐signal response time itself (SSRT), an indirect measure of the average time (ms) needed to cancel a motor response, with smaller values indicating more efficient impulse control as motor inhibition than larger values.\n\n\n### Continuous Performance Test (CPT) (Dougherty et al. 2002)\nThe Continuous Performance Test (CPT) is a working memory and sustained attention task, that requires the management of impulsive responses to maintain mental focus. Participants were shown briefly presented pairs of five‐digit numbers and were required to respond whenever the two numbers were identical (‘target’ trials) but not respond when they were different (‘catch’ and ‘filler’ trials). The principal outcome measures included (i) mean RTs to target trials and (ii) the ratio of responses to catch trials (‘commission errors’) to responses to target trials (‘correct detections’).\n\n\n### Delay Discounting\nParticipants were asked to indicate their preferences between hypothetical sums of money available immediately and larger sums of money only available following varying delays. The delays to the greater sums of money increased across blocks of trials, while the value of the smaller sums was adjusted dynamically within blocks to converge on participants' indifference points. The TA discounting task yielded two indices of delay‐based impulsivity: (i) the fitted hyperbolic rate of discounting reward value as a function of delay, k (Mazur 2013); and (ii) the area under the curve (AUC; Myerson et al., 2001). The TA data were screened for non‐systematic patterns of preferences over the elicitation using established criteria (Johnson and Bickel 2008; Rung et al. 2018).\nThe MCQ is a questionnaire elicitation of individuals' hyperbolic rate of discounting reward value with delay, comparable to discrete‐choice elicitations such as the TA discounting task (Kaplan et al. 2016; Mazur 2013).\n\n\n### Titrating Alternatives Discounting Task (Du et al. 2002; Rung et al. 2018)\nParticipants were asked to indicate their preferences between hypothetical sums of money available immediately and larger sums of money only available following varying delays. The delays to the greater sums of money increased across blocks of trials, while the value of the smaller sums was adjusted dynamically within blocks to converge on participants' indifference points. The TA discounting task yielded two indices of delay‐based impulsivity: (i) the fitted hyperbolic rate of discounting reward value as a function of delay, k (Mazur 2013); and (ii) the area under the curve (AUC; Myerson et al., 2001). The TA data were screened for non‐systematic patterns of preferences over the elicitation using established criteria (Johnson and Bickel 2008; Rung et al. 2018).\n\n\n### The Monetary Choice Questionnaire (MCQ) (Kirby et al. 1999)\nThe MCQ is a questionnaire elicitation of individuals' hyperbolic rate of discounting reward value with delay, comparable to discrete‐choice elicitations such as the TA discounting task (Kaplan et al. 2016; Mazur 2013).\n\n\n### Emotion Recognition (Control) Task\nThe FERT assesses recognition speed and accuracy of six emotional states in pseudo‐random series of visually presented faces (happiness, surprise, sadness, fear, anger, disgust, and neutral). Participants were asked to indicate which emotion was displayed by pressing one of seven labeled keys. Responses were untimed, but participants were instructed to answer as quickly and as accurately as possible.\n\n\n### Face Emotion Recognition Task (FERT) (Harmer et al. 2004)\nThe FERT assesses recognition speed and accuracy of six emotional states in pseudo‐random series of visually presented faces (happiness, surprise, sadness, fear, anger, disgust, and neutral). Participants were asked to indicate which emotion was displayed by pressing one of seven labeled keys. Responses were untimed, but participants were instructed to answer as quickly and as accurately as possible.\n\n\n### Data Analysis\nOur design, materials, and statistical approach were pre‐registered with AsPredicted.org for sample sizes of 60 participants in each of the ebselen and placebo groups (https://aspredicted.org/sjg9‐r62z.pdf). Inspection of Masaki et al. (2016a) suggested a Cohen's d of around 0.50 for a main effect of ebselen over placebo treatment. Assuming a moderate effect size (f\n2 = 0.06) and using OLS regression over the primary outcome measures with sample sizes of 66 ebselen and 64 placebo participants of the adjusted design, we estimated an implied statistical power of 0.88 to detect main effects of treatment at p < 0.05 (one‐tailed). Assuming smaller effect sizes for the moderation of treatment effects by the BIS‐11 scores for trait impulsivity (f\n2 = 0.04), the estimated power to detect interaction effects dropped to 0.74 at p < 0.05 (one‐tailed). All of the study data, as well as our models in R (R Studio version 4.3.3; https://posit.co/), can be found at https://osf.io/45xu9/.\nMain effects were tested with linear regression models that included treatment group (ebselen vs. placebo)—with the latter as the referent—and trait impulsivity (BIS‐11 scores) (Patton et al. 1995) as predictors. Next, the moderation of treatment effects by trait impulsivity was tested using full models that included the added interaction terms. On the basis of previous reports of positive associations between measures of impulsivity and BIS‐11 subscale scores, interaction effects on the SST and CPT were tested in relation to the motor impulsivity subscale of the BIS‐11 (Caswell et al. 2015) while interaction effects on the IST, the Observe‐Bet task, the TA, and the MCQ were tested with the non‐planning subscale (Brynte et al. 2023; De Wit et al. 2007; Mobini et al. 2007).\nAll statistical analysis related to a priori predictions. However, to achieve some control over multiple comparisons and the risk of Type I errors, we confined our statistical tests to two principal outcome measures per task. To ensure that results were not unduly dependent on outliers, the models were re‐run following removal of high‐influence datapoints (defined by a Cook's distance equal to or greater than 4/n). In general, the impact of high‐influence datapoints was negligible (see Supporting Information S1: Table S3). k values were log‐transformed prior to analysis.\n\n\n### Results\nThe ebselen and placebo participants were closely matched in terms of demographic characteristics (see Table 1). The mean ages (t (128) = 0.42, p = 0.67), gender balance (χ2 (1) < 0.01, p = 1.00), and educational histories (χ2 (4) = 3.09, p = 0.54; see Supporting Information S1: Table S4) were closely comparable across the two treatment groups. Similarly, the groups did not differ markedly in terms of mood disturbance, recent depressive symptoms, or trait impulsivity (all t (128) ≤ |0.59|, p = > 0.55).\nAge, genders and mean (± standard errors) baseline trait and state psychometric scores.\nThe incidence of side‐effects—headaches, stomach upset, nausea, fatigue, frequent urination, thirst, dizziness—were comparable between the participant groups, with marginal reductions in moderate or severe effects following ebselen compared with placebo (all χ\n2 ≤ |3.68|, p = > 0.31; see Supporting Information S1: Table S5). At test, mood was not markedly different following treatment with ebselen compared to placebo as measured with the BFS (see Table 1; t (128) = 0.38, p = 0.70) and the POMS (t (128) = 0.30, p = 0.76). State anxiety, state positive affect, and state negative affect were also broadly equivalent between the two groups (all t (128) ≤ |0.58|, p = > 0.53).\nAs a first sense check, we compared the main outcome measures for each of the IST, SST, CPT, TA discounting task, and MCQ from our participant sample (pooled over the ebselen and placebo groups) with the values reported previously from healthy, non‐clinical populations. Overall, our data are comparable with prior research (see Supporting Information S1: Table S6).\nLooking at the distribution of scores for the IST, the ebselen participants opened marginally fewer boxes than the placebo participants before declaring a majority color (5.61 ± 0.41 vs. 5.97 ± 0.48, β = −0.36 ± 0.63) and showed almost identical momentary probabilities of declaring the correct color during the task, p(Correct) (see Figure 1a; β = −0.01 ± 0.02).\nDistributions, means and interquartile ranges of mean p (Correct) in the Information Sampling Task (IST) (Clark et al. 2006) (a) and total number of observations across games in the Observe‐or‐Bet task (Navarro et al. 2016) (b).\nOn the Observe‐or‐Bet task, there were no marked differences between the placebo and ebselen participants' mean number of observations of the ‘blox’ machines (see Figure 1b; β = −11.09 ± 7.53) or mean number of points earned (41.90 ± 3.52 vs. 42.70 ± 3.73, β = 0.78 ± 5.26).\nStop‐signal data were collected for 92 participants (N\nplacebo = 48, N\nebselen = 44). Critically, the SSRT did not differ between the ebselen and placebo participants (see Figure 2a, β = −9.69 ± 10.81). The p(response | stop‐signal) was negligibly greater among ebselen than among placebo participants (β = 0.02 ± 0.01). The ratio of commission errors to correct detections on the CPT was marginally but not significantly greater among ebselen participants compared with placebo participants (see Figure 2b; β = 0.05 ± 0.05), while RTs on target trials were fractionally faster (446.00 ± 2.80 ms vs. 441.00 ± 3.17 ms, β = −5.00 ± 4.22).\nDistributions, means and interquartile ranges of stop signal times in the Stop‐Signal Task (SST) (Verbruggen et al. 2012) (a) and ratio of commission errors to correct detections in the Continuous Performance Test (CPT) (Dougherty et al. 2002) (b).\nFollowing Johnson and Bickel (2008) and Rung et al. (2018), the data of 6 placebo and two ebselen participants were identified as non‐systematic in the TA task. However, omitting these values from the models did not substantially change the overall pattern of indifference points or the statistics of the inter‐group tests (see Supporting Information S1: Table S7). Therefore, these participants’ data were retained. Overall, there were no differences in the mean log k and AUC values of the ebselen participants compared with the placebo participants (see Figure 3a, β = −0.03 ± 0.12, and Figure 3b, β = −0.04 ± 0.04, respectively). For the MCQ, there was little evidence of either gentler or steeper discounting of delayed rewards among participants given ebselen compared with placebo (see Figure 3c; β = −0.28 ± 0.26).\nDistributions of delay discounting rates (represented as log k values and area‐under‐the‐curve; AUCs), means and interquartile ranges from the Titrating Alternatives elicitation (Rung et al. 2018) (a, b) and the Monetary Choice Questionnaire (Kirby et al. 1999) (c).\nPooling across treatment groups, correlation coefficients between the task‐based measures of impulsivity and BIS‐11 scores were weak to modest (see Supporting Information S1: Figure S1). Participants with patterns of rapid delay discounting on the TA task tended to have higher BIS‐11 non‐planning scores, higher BIS‐11 motor impulsivity scores, and higher BIS‐11 total scores (−0.26 = < r < = −0.24, ps < 0.01). Correlations among the task‐based reflection, motor, and delay‐dependent impulsivity measures were also moderate at best. However, participants who scored the most points on the Observe‐or‐Bet task tended to report low log k values from the TA task and MCQ (r = −0.24, p < 0.01 and r = − 22, p < 0.01). Similarly, participants who reported the highest proportion of correct color judgments on the IST showed lower log k values on the MCQ (r = −0.20, p < 0.05).\nThere was no evidence for stronger or weaker treatment effects of ebselen on the principal measures of reflection impulsivity among individuals with higher compared with lower trait non‐planning impulsivity scores on the BIS‐11 (all βs < = |0.82| ± 1.08). Similarly, treatment effects of ebselen were broadly equivalent across behavioral measurements of motor impulsivity among individuals reporting low and high trait motor impulsivity (all βs ≤ |3.57| ± 15.91). However, the data showed complex but untypical patterns of delay discounting as a function of BIS‐11 non‐planning scores as described below.\nEbselen administration was associated with marginally lower log k values relative to placebo among participants with lower non‐planning impulsivity scores (indicating gentler discounting of delays to future rewards), but higher log k values among participants with higher non‐planning scores (indicating steeper discounting) (see Supporting Information S1: Figure S2a; β = 0.08 ± 0.02, t (124) = 3.45, p = 0.001). The AUC data (in which lower values indicate steeper discounting rates) showed the complement of this pattern (Supporting Information S1: Figure S2b; β = −0.02 ± 0.01, t (124) = −2.49, p = 0.01): ebselen treatment was linked to higher AUC values relative to placebo among participants with lower non‐planning impulsivity scores (indicating gentler delay discounting rates), but lower AUC values among participants with higher non‐planning scores (indicating more rapid discounting).\nFinally, for the MCQ data, ebselen was associated with marginally lower log k values (and gentler discounting of delays to future rewards) compared with placebo among participants with low non‐planning BIS‐11 scores, but higher log k values (and steeper discounting rates) among participants with higher non‐planning scores (see Figure 2c\n; β = 0.11 ± 0.05, t (125) = 1.99, p = 0.05).\nTwo ebselen participants failed to correctly identify any emotional expressions from the FERT and were excluded. Ebselen produced no appreciable changes in the percentages of correctly identified positive expressions (happy + surprised; 75.60 ± 1.08 vs. 75.40 ± 0.75; β = −0.17 ± 1.28) or negative expressions (sad + fear + disgust + anger; 48.20 ± 1.09 vs. 49.60 ± 1.01; β = 1.41 ± 1.47). Participants' times to identify positive and negative emotions were also unchanged (1753 ± 48 ms vs. 1645 ± 49 ms, β = 107.29 ± 68.27; and 1897 ± 47 ms vs. 1867 ± 56 ms, β = 30.4 ± 72.26, respectively).\n\n\n### Group Matching\nThe ebselen and placebo participants were closely matched in terms of demographic characteristics (see Table 1). The mean ages (t (128) = 0.42, p = 0.67), gender balance (χ2 (1) < 0.01, p = 1.00), and educational histories (χ2 (4) = 3.09, p = 0.54; see Supporting Information S1: Table S4) were closely comparable across the two treatment groups. Similarly, the groups did not differ markedly in terms of mood disturbance, recent depressive symptoms, or trait impulsivity (all t (128) ≤ |0.59|, p = > 0.55).\nAge, genders and mean (± standard errors) baseline trait and state psychometric scores.\nThe incidence of side‐effects—headaches, stomach upset, nausea, fatigue, frequent urination, thirst, dizziness—were comparable between the participant groups, with marginal reductions in moderate or severe effects following ebselen compared with placebo (all χ\n2 ≤ |3.68|, p = > 0.31; see Supporting Information S1: Table S5). At test, mood was not markedly different following treatment with ebselen compared to placebo as measured with the BFS (see Table 1; t (128) = 0.38, p = 0.70) and the POMS (t (128) = 0.30, p = 0.76). State anxiety, state positive affect, and state negative affect were also broadly equivalent between the two groups (all t (128) ≤ |0.58|, p = > 0.53).\nAs a first sense check, we compared the main outcome measures for each of the IST, SST, CPT, TA discounting task, and MCQ from our participant sample (pooled over the ebselen and placebo groups) with the values reported previously from healthy, non‐clinical populations. Overall, our data are comparable with prior research (see Supporting Information S1: Table S6).\n\n\n### Side‐Effects and Treatment‐Related Changes in Affective State\nThe incidence of side‐effects—headaches, stomach upset, nausea, fatigue, frequent urination, thirst, dizziness—were comparable between the participant groups, with marginal reductions in moderate or severe effects following ebselen compared with placebo (all χ\n2 ≤ |3.68|, p = > 0.31; see Supporting Information S1: Table S5). At test, mood was not markedly different following treatment with ebselen compared to placebo as measured with the BFS (see Table 1; t (128) = 0.38, p = 0.70) and the POMS (t (128) = 0.30, p = 0.76). State anxiety, state positive affect, and state negative affect were also broadly equivalent between the two groups (all t (128) ≤ |0.58|, p = > 0.53).\n\n\n### Laboratory Measure of Reflection Impulsivity, Motor Impulsivity and Delay‐Based Impulsivity\nAs a first sense check, we compared the main outcome measures for each of the IST, SST, CPT, TA discounting task, and MCQ from our participant sample (pooled over the ebselen and placebo groups) with the values reported previously from healthy, non‐clinical populations. Overall, our data are comparable with prior research (see Supporting Information S1: Table S6).\n\n\n### Reflection Impulsivity\nLooking at the distribution of scores for the IST, the ebselen participants opened marginally fewer boxes than the placebo participants before declaring a majority color (5.61 ± 0.41 vs. 5.97 ± 0.48, β = −0.36 ± 0.63) and showed almost identical momentary probabilities of declaring the correct color during the task, p(Correct) (see Figure 1a; β = −0.01 ± 0.02).\nDistributions, means and interquartile ranges of mean p (Correct) in the Information Sampling Task (IST) (Clark et al. 2006) (a) and total number of observations across games in the Observe‐or‐Bet task (Navarro et al. 2016) (b).\nOn the Observe‐or‐Bet task, there were no marked differences between the placebo and ebselen participants' mean number of observations of the ‘blox’ machines (see Figure 1b; β = −11.09 ± 7.53) or mean number of points earned (41.90 ± 3.52 vs. 42.70 ± 3.73, β = 0.78 ± 5.26).\n\n\n### Motor Impulsivity\nStop‐signal data were collected for 92 participants (N\nplacebo = 48, N\nebselen = 44). Critically, the SSRT did not differ between the ebselen and placebo participants (see Figure 2a, β = −9.69 ± 10.81). The p(response | stop‐signal) was negligibly greater among ebselen than among placebo participants (β = 0.02 ± 0.01). The ratio of commission errors to correct detections on the CPT was marginally but not significantly greater among ebselen participants compared with placebo participants (see Figure 2b; β = 0.05 ± 0.05), while RTs on target trials were fractionally faster (446.00 ± 2.80 ms vs. 441.00 ± 3.17 ms, β = −5.00 ± 4.22).\nDistributions, means and interquartile ranges of stop signal times in the Stop‐Signal Task (SST) (Verbruggen et al. 2012) (a) and ratio of commission errors to correct detections in the Continuous Performance Test (CPT) (Dougherty et al. 2002) (b).\n\n\n### Delay Discounting\nFollowing Johnson and Bickel (2008) and Rung et al. (2018), the data of 6 placebo and two ebselen participants were identified as non‐systematic in the TA task. However, omitting these values from the models did not substantially change the overall pattern of indifference points or the statistics of the inter‐group tests (see Supporting Information S1: Table S7). Therefore, these participants’ data were retained. Overall, there were no differences in the mean log k and AUC values of the ebselen participants compared with the placebo participants (see Figure 3a, β = −0.03 ± 0.12, and Figure 3b, β = −0.04 ± 0.04, respectively). For the MCQ, there was little evidence of either gentler or steeper discounting of delayed rewards among participants given ebselen compared with placebo (see Figure 3c; β = −0.28 ± 0.26).\nDistributions of delay discounting rates (represented as log k values and area‐under‐the‐curve; AUCs), means and interquartile ranges from the Titrating Alternatives elicitation (Rung et al. 2018) (a, b) and the Monetary Choice Questionnaire (Kirby et al. 1999) (c).\nPooling across treatment groups, correlation coefficients between the task‐based measures of impulsivity and BIS‐11 scores were weak to modest (see Supporting Information S1: Figure S1). Participants with patterns of rapid delay discounting on the TA task tended to have higher BIS‐11 non‐planning scores, higher BIS‐11 motor impulsivity scores, and higher BIS‐11 total scores (−0.26 = < r < = −0.24, ps < 0.01). Correlations among the task‐based reflection, motor, and delay‐dependent impulsivity measures were also moderate at best. However, participants who scored the most points on the Observe‐or‐Bet task tended to report low log k values from the TA task and MCQ (r = −0.24, p < 0.01 and r = − 22, p < 0.01). Similarly, participants who reported the highest proportion of correct color judgments on the IST showed lower log k values on the MCQ (r = −0.20, p < 0.05).\nThere was no evidence for stronger or weaker treatment effects of ebselen on the principal measures of reflection impulsivity among individuals with higher compared with lower trait non‐planning impulsivity scores on the BIS‐11 (all βs < = |0.82| ± 1.08). Similarly, treatment effects of ebselen were broadly equivalent across behavioral measurements of motor impulsivity among individuals reporting low and high trait motor impulsivity (all βs ≤ |3.57| ± 15.91). However, the data showed complex but untypical patterns of delay discounting as a function of BIS‐11 non‐planning scores as described below.\nEbselen administration was associated with marginally lower log k values relative to placebo among participants with lower non‐planning impulsivity scores (indicating gentler discounting of delays to future rewards), but higher log k values among participants with higher non‐planning scores (indicating steeper discounting) (see Supporting Information S1: Figure S2a; β = 0.08 ± 0.02, t (124) = 3.45, p = 0.001). The AUC data (in which lower values indicate steeper discounting rates) showed the complement of this pattern (Supporting Information S1: Figure S2b; β = −0.02 ± 0.01, t (124) = −2.49, p = 0.01): ebselen treatment was linked to higher AUC values relative to placebo among participants with lower non‐planning impulsivity scores (indicating gentler delay discounting rates), but lower AUC values among participants with higher non‐planning scores (indicating more rapid discounting).\nFinally, for the MCQ data, ebselen was associated with marginally lower log k values (and gentler discounting of delays to future rewards) compared with placebo among participants with low non‐planning BIS‐11 scores, but higher log k values (and steeper discounting rates) among participants with higher non‐planning scores (see Figure 2c\n; β = 0.11 ± 0.05, t (125) = 1.99, p = 0.05).\n\n\n### Moderation of Treatment Effects by Trait Impulsivity\nPooling across treatment groups, correlation coefficients between the task‐based measures of impulsivity and BIS‐11 scores were weak to modest (see Supporting Information S1: Figure S1). Participants with patterns of rapid delay discounting on the TA task tended to have higher BIS‐11 non‐planning scores, higher BIS‐11 motor impulsivity scores, and higher BIS‐11 total scores (−0.26 = < r < = −0.24, ps < 0.01). Correlations among the task‐based reflection, motor, and delay‐dependent impulsivity measures were also moderate at best. However, participants who scored the most points on the Observe‐or‐Bet task tended to report low log k values from the TA task and MCQ (r = −0.24, p < 0.01 and r = − 22, p < 0.01). Similarly, participants who reported the highest proportion of correct color judgments on the IST showed lower log k values on the MCQ (r = −0.20, p < 0.05).\nThere was no evidence for stronger or weaker treatment effects of ebselen on the principal measures of reflection impulsivity among individuals with higher compared with lower trait non‐planning impulsivity scores on the BIS‐11 (all βs < = |0.82| ± 1.08). Similarly, treatment effects of ebselen were broadly equivalent across behavioral measurements of motor impulsivity among individuals reporting low and high trait motor impulsivity (all βs ≤ |3.57| ± 15.91). However, the data showed complex but untypical patterns of delay discounting as a function of BIS‐11 non‐planning scores as described below.\nEbselen administration was associated with marginally lower log k values relative to placebo among participants with lower non‐planning impulsivity scores (indicating gentler discounting of delays to future rewards), but higher log k values among participants with higher non‐planning scores (indicating steeper discounting) (see Supporting Information S1: Figure S2a; β = 0.08 ± 0.02, t (124) = 3.45, p = 0.001). The AUC data (in which lower values indicate steeper discounting rates) showed the complement of this pattern (Supporting Information S1: Figure S2b; β = −0.02 ± 0.01, t (124) = −2.49, p = 0.01): ebselen treatment was linked to higher AUC values relative to placebo among participants with lower non‐planning impulsivity scores (indicating gentler delay discounting rates), but lower AUC values among participants with higher non‐planning scores (indicating more rapid discounting).\nFinally, for the MCQ data, ebselen was associated with marginally lower log k values (and gentler discounting of delays to future rewards) compared with placebo among participants with low non‐planning BIS‐11 scores, but higher log k values (and steeper discounting rates) among participants with higher non‐planning scores (see Figure 2c\n; β = 0.11 ± 0.05, t (125) = 1.99, p = 0.05).\n\n\n### Face Emotion Recognition Task (FERT)\nTwo ebselen participants failed to correctly identify any emotional expressions from the FERT and were excluded. Ebselen produced no appreciable changes in the percentages of correctly identified positive expressions (happy + surprised; 75.60 ± 1.08 vs. 75.40 ± 0.75; β = −0.17 ± 1.28) or negative expressions (sad + fear + disgust + anger; 48.20 ± 1.09 vs. 49.60 ± 1.01; β = 1.41 ± 1.47). Participants' times to identify positive and negative emotions were also unchanged (1753 ± 48 ms vs. 1645 ± 49 ms, β = 107.29 ± 68.27; and 1897 ± 47 ms vs. 1867 ± 56 ms, β = 30.4 ± 72.26, respectively).\n\n\n### Discussion\nThese results show, in contrast to our predictions, no substantial changes in laboratory assessments of impulsivity following administration of ebselen compared with placebo in healthy adults. The distributions and mean scores on tests of motor impulsivity, reflection impulsivity, and delay discounting in community‐recruited healthy adults treated with 1800 mg ebselen over 2 days were indistinguishable from gender‐ and age‐matched adults treated with placebo. There was also no substantive evidence that patterns of impulsive behavior were altered to a greater extent in high trait impulsive individuals compared with low trait impulsive individuals. These findings suggest that ebselen administration does not markedly moderate any of the principal expressions of impulsivity at a dose previously shown to decrease myo‐inositol levels within the medial prefrontal cortex in both healthy adults (Singh et al. 2016) and in treatment‐resistant depressed patients (Ramli et al. 2024), and to moderate both reward‐based decision‐making and emotional processing (Singh et al. 2016).\nThe design used here had a number of strengths. First, the study was comparatively well‐powered with a sample size of 130 participants, offering an implied power of 88% to detect treatment differences at an estimated effect size of f\n2 = 0.06. Second, our laboratory assessments afforded two dependent measures for each of motor impulsivity, reflection impulsivity, and delay discounting, which (with the single exception of the Observe‐or‐Bet task) have been used successfully in previous studies of impulsivity, its psychopharmacology, or associations with clinical disorders and risk factors (Hıdıroğlu et al. 2015; Lawrence et al. 2009; Moody et al. 2016; Raeder et al. 2025; Swann et al. 2005). Thus, it is unlikely that the null findings reported here can be accounted for by the use of unvalidated or insensitive measures. Third, in the context of previous investigations, the patterns evident in the performance of our participants across these tasks (see Supporting Information S1: Table S6) were comparable to those reported previously in comparable samples of healthy control adults (Bailey et al. 2018; Boyd et al. 2024; Brudan et al. 2024; Clark et al. 2006; Halilova et al. 2024; Kirenskaya et al. 2021; Todesco et al. 2025; Verbruggen et al. 2013), minimising the likelihood of ceiling effects militating against the detection of treatments effects.\nAs with all failures to replicate, caveats apply. The behavioral effects of ebselen in preclinical models appear to be dose‐dependent (Antoniadou et al. 2018; Barkus et al. 2018; Singh et al. 2013), and the single report of diminished impulsive responding following ebselen administration in human subjects delivered total doses of 3600 mg over 2 days (Masaki et al. 2016a). This is twice the dose used here over the same interval, raising the possibility that the absence of treatment effects in our data reflects an insufficient dose. However, reductions in cortical myo‐inositol within the medial prefrontal cortex are evident at doses of 1800 mg in both healthy adults (Singh et al. 2016) and in treatment‐resistant depressed patients (Ramli et al. 2024). This dose also produces changes in reward‐based learning and emotional processing (Singh et al. 2016), making it unlikely that the 1800 mg dose used here had no central actions on IMPase and myo‐inositol levels. Further, in a clinical context, ebselen has shown efficacy in treating noise‐induced hearing loss at doses of 400 mg (taken twice daily over 4 days), but not at doses of 200 mg or 600 mg (Kil et al. 2017). Thus, while acknowledging that higher doses of ebselen may show stronger anti‐impulsive effects than found here with doses of 1800 mg, it is possible that our findings reflect a more complex non‐monotonic dose‐response relationship.\nFinally, we found no evidence of a positive bias in the recognition of facial emotional expressions using the FERT (Harmer et al. 2004) following ebselen compared with placebo. However, previous findings in relation to emotion recognition are inconsistent across studies. While both Masaki et al. (2016a) with a total dose of 3600 mg, and Singh et al. (2016) with a total dose of 1800 mg, reported increased accuracy for the classification of happy and surprised faces in ebselen‐treated participants compared with placebo‐treated participants (with the latter experiment also reporting greater accuracy for disgusted faces), Ramli et al. (2024) found no benefits of ebselen on the recognition of any emotion in a sample of participants with treatment‐resistant depression. Collectively, the previous and these present findings point to variable or at least dose‐dependent patterns of cognitive‐affective changes following ebselen treatment.\nVarying expressions of impulsivity are mediated by the activity of interacting but dissociable monoamine and glutamate systems (Chernoff et al. 2024; da Cunha‐Bang and Knudsen 2021; Dalley and Robbins 2017; J. A. Jones et al. 2021; Toschi et al. 2021). Perhaps unsurprisingly, associations between behavioral, performance‐based, and self‐report measures of impulsivity (Caswell et al. 2015; MacKillop et al. 2016; Stahl et al. 2014), including those of the BIS‐11 and the SST, are modest at best (Aichert et al. 2012; De Wit et al. 2007; Kvam et al. 2021; Nguyen et al. 2018; Sánchez‐Kuhn et al. 2017; Vasconcelos et al. 2012). Our data recapitulate this pattern, with modest correlation coefficients between the outcome measures of the IST, Observe‐or‐Bet, TA, and MCQ on the one hand, and the BIS‐11 non‐planning and motor impulsivity scores on the other hand. Thus, our data highlight impulsivity as a set of behaviors mediated by overlapping cognitive, affective and neural mechanisms that can converge to produce potentially hazardous outcomes (Evenden 1999; Strickland and Johnson 2021).\nIn this context, we note that Masaki et al. (2016b) used the Cambridge Gambling Task to show that administration of ebselen to 20 participants moderated the early selection of bets from sequences of both increasing or decreasing stakes on probabilistic predictions, possibly reflecting strengthened control over motor‐based impulsivity captured by the stop‐signal response time on the SST (Kvam et al. 2021). By contrast here, we found no evidence that the stop‐signal response time was affected by ebselen administration in our larger sample, making it unlikely that the rapid action‐based impulsivity—potentially of considerable clinical significance in aggressive and self‐harming behaviors (Felthous et al. 2021; R. M. Jones et al. 2011; Sheard et al. 1976)—can be moderated directly by inhibition of IMPase and myo‐inositol activity.\nResults from the TA discounting task and the MCQ represent only a modest departure from the general pattern above. Across three dependent measures from these tasks, ebselen was associated with reduced delay discounting scores among participants with low non‐planning impulsivity scores compared with placebo, but with higher discounting scores among participants with high BIS‐11 non‐planning subscale scores. This directly contradicts our secondary hypothesis that ebselen produces larger benefits in high‐trait compared with low‐trait impulsive individuals. Taken at face value, these findings even suggest that ebselen could be unhelpful in clinical groups presenting with maladaptive impulsive behaviors, by further strengthening preferences for immediate rewards over delayed but larger rewards. However, notwithstanding this possibility, it is more likely that these findings reflect sampling error that, in this experiment, placed more participants with both higher k (and lower AUC) values from the TA discounting task and MCQ as well as higher BIS‐11 non‐planning scores in the ebselen treatment group than in the placebo group.\nIn summary, the present findings throw some doubt on the hypothesis that impulse control—measured here as motor inhibition, the collection of adequate evidence before decisions to actions, and preferences for smaller sooner rewards compared with larger delayed rewards—is sensitive to modulation of myo‐inositol levels by doses of the IMPase inhibitor, ebselen.\n\n\n### Author Contributions\nAll authors contributed to the study conception and design. Material preparation, data collection and analysis were performed by [Matthew P.G. John], [Timothy J. Davies], and [Robert D. Rogers]. The first draft of the manuscript was written by [Matthew P.G. John] and all authors commented on previous versions of the manuscript. All authors read and approved the final manuscript.\n\n\n### Funding\nThis experiment was funded by an award from the Medical Research Council Development Pathway Funding Scheme (MR/L013150/1).\n\n\n### Ethics Statement\nThe study was approved by the HRA and Health and Care Research Wales (HCRW) and given a favorable opinion by the National Health Service Research Ethics Committee (Wales REC 2) (IRAS ID: 244365). All participants provided voluntary and informed consent. The study was conducted in accordance with the World Medical Association's 1975 Declaration of Helsinki (as revised in 2013) and Bangor University's Research Ethics Policy.\n\n\n### Conflicts of Interest\nThe authors are not in receipt of funding or support from pharmaceutical or any industry, commercial or charitable partners relevant to the research reported here. Two patents were filed on behalf of Oxford Innovation in relation to ebselen and impulsivity in clinical populations—US Patent App. 16/097, 239, 2019 and European Patent App. No. 17721810.4 between 2019 and 2025. These patents have been abandoned. None of the authors report any conflicts of interest.\n\n\n### Supporting information\nSupporting Information S1", "domain": "affective_neuroscience"}
{"source": "PMC13095442", "title": "Safety in treatment: Classical pharmacotherapeutics and new avenues for addressing maternal depression and anxiety during pregnancy", "text": "# Safety in treatment: Classical pharmacotherapeutics and new avenues for addressing maternal depression and anxiety during pregnancy\n\n## Abstract\nWe aimed to review clinical research on the safety profiles of antidepressant drugs and associations with maternal depression and neonatal outcomes. We focused on neuroendocrine changes during pregnancy and their effects on antidepressant pharmacokinetics. Pregnancy-induced alterations in drug disposition and metabolism impacting mothers and their fetuses are discussed. We considered evidence for the risks of antidepressant use during pregnancy. Teratogenicity associated with ongoing treatment, new prescriptions during pregnancy, or pausing medication while pregnant was examined. The Food and Drug Administration advises caution regarding prenatal exposure to most drugs, including antidepressants, largely owing to a dearth of safety studies caused by the common exclusion of pregnant individuals in clinical trials. We contrasted findings on antidepressant use with the lack of treatment where detrimental effects to mothers and children are well researched. Overall, drug classes such as selective serotonin reuptake inhibitors and serotonin norepinephrine reuptake inhibitors appear to have limited adverse effects on fetal health and child development. In the face of an increasing prevalence of major mood and anxiety disorders, we assert that individuals should be counseled before and during pregnancy about the risks and benefits of antidepressant treatment given that withholding treatment has possible negative outcomes. Moreover, newer therapeutics, such as ketamine and κ-opioid receptor antagonists, warrant further investigation for use during pregnancy. The safety of antidepressant use during pregnancy remains controversial owing to an incomplete understanding of how drug exposure affects fetal development, brain maturation, and behavior in offspring. This leaves pregnant people especially vulnerable, as pregnancy can be a highly stressful experience for many individuals, with stress being the biggest known risk factor for developing a mood or anxiety disorder. This review focuses on perinatal pharmacotherapy for treating mood and anxiety disorders, highlighting the current knowledge and gaps in our understanding of consequences of treatment.\n\n## Full Text\n\n\n### Introduction: safety of using antidepressants and anxiolytics during pregnancy\nAccording to the Centers for Disease Control, 1 in 7 women of reproductive age is prescribed medication for anxiety or mood disorders (Dawson et al, 2016). Estimates of maternal perinatal depression or anxiety range from 5% to 25% and are likely underestimates owing to the ongoing social stigma associated with mental health conditions (Corrigan and Watson, 2002). Moreover, ∼15% of women experience a new episode of depression within the first 3 months postpartum (Woody et al, 2017). Psychopathology associated with postpartum depression has detrimental outcomes where suicide accounts for 20% of maternal postpartum deaths (Lindahl et al, 2005).\nApproximately 5%–8% of pregnant women with mood or anxiety disorders will initiate antidepressant treatment during pregnancy (Andrade et al, 2008; Hanley and Mintzes, 2014). Approximately 4%–10% of pregnant women will continue taking antidepressants, with these numbers mainly accounting for selective serotonin reuptake inhibitors (SSRIs) (Wikman et al, 2020). While being prescribed or filling a prescription for an antidepressant is often used as a proxy for SSRI exposure, factors such as compliance (actually taking the medication), the severity of depressive symptomology, and the time frame of use during pregnancy are not always reliably reported (Palmsten and Hernández-Díaz, 2012). The safety of antidepressant use during pregnancy remains controversial due to an incomplete understanding of how drug exposure affects fetal development and brain maturation and behavior in offspring (Payne and Meltzer-Brody, 2009; Byatt et al, 2013). Moreover, social and cultural stigma are barriers to receiving treatment, particularly because most physicians advise limiting exposure to any substances during pregnancy (Osborne and Payne, 2015).\nThe Food and Drug Administration (FDA) website makes the following statement: “There are no adequate and well-controlled studies of SSRIs in pregnant women. At this time, FDA advises health care professionals not to alter their current clinical practice of treating depression during pregnancy. Healthcare professionals should report any adverse events involving SSRIs to the FDA MedWatch Program” (FDA, 2018). In contrast, lack of treatment of maternal mood and anxiety disorders are known to be associated with adverse health outcomes for offspring (Coussons-Read, 2013). A balanced understanding of the safety of antidepressants with respect to maternal health, fetal outcomes, and their interactions will improve clinical guidelines and recommendations. Additionally, knowledge about antidepressant safety during pregnancy will promote maternal autonomy by informing individual decisions to continue (or discontinue) pharmacotherapy during pregnancy.\nMild-to-moderate mood and anxiety disorders are treated with nonmedication therapies such as cognitive-behavioral therapy (Hofmann et al, 2012). Patients report the highest positive outcomes when “talk therapy” is used in combination with medication (Misri et al, 2010). Thus, tapering medication treatment while continuing or initiating behavioral interventions may be an effective option for treating mood and anxiety disorders during pregnancy that avoids exposing fetuses to the possible teratogenic effects of antidepressants. Yet, for many, particularly individuals with severe mood and anxiety disorders, behavioral therapies do not provide sufficiently effective treatment. Moreover, availability or accessibility of behavioral therapies are often limited owing to high out-of-pocket costs and lack of access to behavioral specialists, thus disadvantaging women with lower socioeconomic status and inadequate insurance coverage (Smith et al, 2009; Ross et al, 2019; Lee-Carbon et al, 2022). According to an international review on clinical practice guidelines regarding perinatal use of antidepressants, guidelines converge such that mild-to-moderate depression during pregnancy should be treated first with psychotherapy, before moving to pharmacotherapy (Molenaar et al, 2018). Integrated approaches using pharmacologic and behavioral therapies are warranted, particularly for more severe or refractory perinatal mood and anxiety disorders in light of evidence showing the efficacy of combined treatments (Cauli et al, 2019).\nThis review aimed to focus on perinatal pharmacotherapy for treating mood and anxiety disorders, and particularly, on 3 broad medication categories—SSRIs, serotonin norepinephrine reuptake inhibitors (SNRIs), and atypical antidepressants. Readers are directed to a previous systematic review that also discusses other psychotropics including benzodiazepine use during pregnancy on neonatal and childhood outcomes that include preclinical data (Creeley and Denton, 2019). In this review, we also discuss the prevalence of antidepressant use, pharmacology, and potential side effects for mothers and their offspring. We highlight pregnancy-induced changes in neuroendocrine systems and effects on drug pharmacokinetics that impact pregnant individuals and neonatal exposures. Additionally, new therapeutic agents are discussed that target serotonin (5HT)2A, N-methyl-d-aspartate (NMDA), and κ opioid receptors (KORs), for example.\nThe epidemiologic and clinical studies presented primarily include cisgender women in their datasets. We use the terms “pregnant people/individuals/persons” aiming to encompass all individuals who may become pregnant.\nA literature search strategy using PubMed and Google Scholar was used. Search terms included the following: antidepressant use during pregnancy, maternal mood and anxiety disorders, maternal depression, neonatal health, and children health outcomes with prenatal antidepressant exposure. Preclinical studies were excluded from the search to narrow the scope to human clinical research studies. Only a brief section on available preclinical models to investigate depressive-like and anxiety-like behaviors in rodents was included for context. Clinical studies were reviewed and evaluated for their study designs, study outcomes, and limitations. Only studies from peer-reviewed journals were included. The scope of this review included classical antidepressants that primarily target the monoamine systems, specifically serotonin, either as indirect agonists at monomamine transporters (eg, SSRIs) or enzyme inhibitors (eg, monoamine oxidase inhibitors [MAOIs]). We also examined therapies being developed as novel antidepressant drugs, especially for treatment-resistant depression (TRD). We specifically conducted literature searches on psychedelics and KOR antagonists, as these drug are being actively researched as novel antidepressants. We did not include augmentation medications in our review.\nThe fifth edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM-V) characterizes depressive disorders by the occurrence of “five or more symptoms during the same two-week period that are a change from previous functioning.” These symptoms include depressed mood, loss of interest or pleasure known as anhedonia, weight gain or loss, slowing down of thought, reduction of physical movement, fatigue, feelings of worthlessness, diminished ability to concentrate, and suicidal ideation. The DSM-V defines anxiety disorders as characterized by “excessive anxiety and worry (apprehensive expectation), occurring more days than not for at least 6 months” (Substance Abuse and Mental Health Services Administration, 2016). Anxiety disorders include generalized anxiety disorder, social anxiety disorder, panic disorders, and specific phobias.\nThe World Health Organization ranks depression as the leading cause of disability worldwide, quantified by the number of years lived with disability (YLDs) (World Health Organization, 2017). Depressive disorders contribute ∼4.4% to all YLDs. Anxiety disorders are ranked sixth, contributing to ∼3.4% of YLDs. Over 300 million people worldwide experience depression and >250 million people an anxiety disorder. Mood and anxiety disorders are often comorbid (Khan et al, 2005) as concurrent diagnoses occur in upward of 70% of patients (Essau, 2008). According to the Anxiety and Depression Association of America, anxiety disorders are the most common mental illness in the United States, affecting 40 million individuals annually. Limited progress has been made in the diagnosis and management of mood and anxiety disorders, largely because their etiologies remain fundamentally unknown.\nClassifications of drugs for use during pregnancy emerged in 1979 after the thalidomide tragedy (Law et al, 2010). Thalidomide was introduced to the European market in 1957 as a safer alternative to barbiturates for treating insomnia (Kim and Scialli, 2011). Thalidomide was also marketed as a sedative for children and to pregnant women for vomiting, nausea, and morning sickness (Kim and Scialli, 2011). Thalidomide was widely used during the 1950s and 1960s in European countries but was never introduced to the American market due to the efforts of the FDA medical officer Frances Oldham Kelsey (Kim and Scialli, 2011). Concerned about a lack of safety data, Kelsey refused to authorize thalidomide for use in the United States. As Kelsey correctly suspected, thalidomide use during pregnancy was subsequently shown to cause birth defects, predominantly phocomelia, that is, severe malformations of the extremities, in thousands of exposed babies (Kim and Scialli, 2011).\nIn response to thalidomide, the FDA implemented labeling requirements for medications used during pregnancy in 1979. Drugs fall into 1 of the following 5 categories—A, B, C, D, or X. Drugs in categories A and B are associated with well-controlled studies in pregnant women or animal studies wherein minimal or no fetal risks have been detected (Law et al, 2010). Drugs in categories C and D have some documented fetal risk associated with their use, but their benefits may outweigh their risks. Drugs in category X should not be used during pregnancy, as possible benefits are greatly outweighed by the risks of use (Law et al, 2010). Approximately 60% of all drugs fall into category C, highlighting the lack of research surrounding the safety of drug use during pregnancy (Bourke et al, 2014; Pernia and DeMaagd, 2016). As discussed further, physiologic, pharmacokinetic, hormonal, and behavioral changes occur during pregnancy. As a result, studying the effects of medications specifically in pregnant subjects is crucial for determining safety.\n\n\n### Materials and methods\nA literature search strategy using PubMed and Google Scholar was used. Search terms included the following: antidepressant use during pregnancy, maternal mood and anxiety disorders, maternal depression, neonatal health, and children health outcomes with prenatal antidepressant exposure. Preclinical studies were excluded from the search to narrow the scope to human clinical research studies. Only a brief section on available preclinical models to investigate depressive-like and anxiety-like behaviors in rodents was included for context. Clinical studies were reviewed and evaluated for their study designs, study outcomes, and limitations. Only studies from peer-reviewed journals were included. The scope of this review included classical antidepressants that primarily target the monoamine systems, specifically serotonin, either as indirect agonists at monomamine transporters (eg, SSRIs) or enzyme inhibitors (eg, monoamine oxidase inhibitors [MAOIs]). We also examined therapies being developed as novel antidepressant drugs, especially for treatment-resistant depression (TRD). We specifically conducted literature searches on psychedelics and KOR antagonists, as these drug are being actively researched as novel antidepressants. We did not include augmentation medications in our review.\n\n\n### The Diagnostic and Statistical Manual of Mental Disorders criteria and prevalence of mood and anxiety disorders\nThe fifth edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM-V) characterizes depressive disorders by the occurrence of “five or more symptoms during the same two-week period that are a change from previous functioning.” These symptoms include depressed mood, loss of interest or pleasure known as anhedonia, weight gain or loss, slowing down of thought, reduction of physical movement, fatigue, feelings of worthlessness, diminished ability to concentrate, and suicidal ideation. The DSM-V defines anxiety disorders as characterized by “excessive anxiety and worry (apprehensive expectation), occurring more days than not for at least 6 months” (Substance Abuse and Mental Health Services Administration, 2016). Anxiety disorders include generalized anxiety disorder, social anxiety disorder, panic disorders, and specific phobias.\nThe World Health Organization ranks depression as the leading cause of disability worldwide, quantified by the number of years lived with disability (YLDs) (World Health Organization, 2017). Depressive disorders contribute ∼4.4% to all YLDs. Anxiety disorders are ranked sixth, contributing to ∼3.4% of YLDs. Over 300 million people worldwide experience depression and >250 million people an anxiety disorder. Mood and anxiety disorders are often comorbid (Khan et al, 2005) as concurrent diagnoses occur in upward of 70% of patients (Essau, 2008). According to the Anxiety and Depression Association of America, anxiety disorders are the most common mental illness in the United States, affecting 40 million individuals annually. Limited progress has been made in the diagnosis and management of mood and anxiety disorders, largely because their etiologies remain fundamentally unknown.\n\n\n### Food and Drug Administration category classifications for medication use during pregnancy\nClassifications of drugs for use during pregnancy emerged in 1979 after the thalidomide tragedy (Law et al, 2010). Thalidomide was introduced to the European market in 1957 as a safer alternative to barbiturates for treating insomnia (Kim and Scialli, 2011). Thalidomide was also marketed as a sedative for children and to pregnant women for vomiting, nausea, and morning sickness (Kim and Scialli, 2011). Thalidomide was widely used during the 1950s and 1960s in European countries but was never introduced to the American market due to the efforts of the FDA medical officer Frances Oldham Kelsey (Kim and Scialli, 2011). Concerned about a lack of safety data, Kelsey refused to authorize thalidomide for use in the United States. As Kelsey correctly suspected, thalidomide use during pregnancy was subsequently shown to cause birth defects, predominantly phocomelia, that is, severe malformations of the extremities, in thousands of exposed babies (Kim and Scialli, 2011).\nIn response to thalidomide, the FDA implemented labeling requirements for medications used during pregnancy in 1979. Drugs fall into 1 of the following 5 categories—A, B, C, D, or X. Drugs in categories A and B are associated with well-controlled studies in pregnant women or animal studies wherein minimal or no fetal risks have been detected (Law et al, 2010). Drugs in categories C and D have some documented fetal risk associated with their use, but their benefits may outweigh their risks. Drugs in category X should not be used during pregnancy, as possible benefits are greatly outweighed by the risks of use (Law et al, 2010). Approximately 60% of all drugs fall into category C, highlighting the lack of research surrounding the safety of drug use during pregnancy (Bourke et al, 2014; Pernia and DeMaagd, 2016). As discussed further, physiologic, pharmacokinetic, hormonal, and behavioral changes occur during pregnancy. As a result, studying the effects of medications specifically in pregnant subjects is crucial for determining safety.\n\n\n### Pregnancy-induced changes that affect drug action\nChanges occur in all body systems during pregnancy, including in the cardiovascular, gastrointestinal, and neuroendocrine systems (Costantine, 2014; Soma-Pillay et al, 2016). These alterations are particularly relevant for drug metabolism. Moreover, the mammalian placenta produces new hormones and expresses its own receptors transporters, which change drug pharmacokinetics and internal homeostasis.\nAbsorption is the process of transporting a drug from its site of administration to the systemic circulation (Currie, 2018; Alagga and Gupta, 2022). Mechanisms involved in absorption include passive diffusion, carrier-mediated membrane transport (active transport and facilitated diffusion), and uptake by nonspecific drug transporters, for example, P-glycoprotein (Isoherranen and Thummel, 2013; Alagga and Gupta, 2022). Factors such as route of administration, gastric pH, and drug lipophilicity and molecular size affect bioavailability, that is, how much of a drug is available in the circulation after nonintravenous administration, for example, oral, intranasal, and transdermal (Feghali et al, 2015; Alagga and Gupta, 2022). Drugs taken orally undergo a first-pass effect, wherein they are metabolized by gastrointestinal organs, primarily the liver, reducing overall bioavailability (Feghali et al, 2015).\nPregnancy results in decreased gastrointestinal motility and increased gastric pH, which affect drug absorption after oral administration (Isoherranen and Thummel, 2013). Reduced gastrointestinal motility delays the absorption of drugs, while increased gastric pH deprotonates some drugs, which reduces absorption. Vomiting is a common symptom during pregnancy, particularly in the first trimester. Emesis may reduce drug concentrations, especially with the oral route of administration (Feghali et al, 2015).\nDistribution is the process by which drugs move from the bloodstream to the tissues (Currie, 2018). Factors such as blood plasma protein binding and membrane permeability affect distribution. For instance, drugs that are tightly bound by plasma proteins have reduced tissue availability. The blood–brain and blood–placenta barriers actively reduce drug entry to the brain and fetus, respectively. The volume of distribution (Vd) is a theoretical volume used to indicate how extensively a drug will distribute in the body (Feghali et al, 2015). A high Vd indicates high distribution and low plasma protein binding.\nDuring late pregnancy, hepatic production of glucose increases yet fasting blood glucose levels decrease (Lain and Catalano, 2007). Approximately one-third of the increased glucose is used by uterine, fetal, and placental tissues. Increases in adipose tissue result in average body weight gains of 3.5 kg (Lain and Catalano, 2007). Adipose tissue increases may result in higher volumes of distribution of lipophilic drugs, for example, SSRIs, thus leading to changes in half-life (Feghali et al, 2015). Maternal plasma volume increases throughout pregnancy as does cardiac output, while drug-plasma protein binding decreases (Notarianni, 1990; Jeong, 2010). Together, these changes result in a higher Vd for lipophilic drugs, yet reduced plasma concentrations of drugs (Deligiannidis et al, 2014). Blood flow to the uterus also increases 10-fold, and low molecular weight lipophilic drugs readily cross the fetal–placental barrier (Feghali et al, 2015). This leads to a build-up of lipophilic drug concentrations in the amniotic fluid, providing another source of fetal exposure to drugs, in addition to circulation via placental passage (Hostetter et al, 2000; Loughhead et al, 2006).\nMetabolism is the process by which drugs are modified by enzymatic processes, typically in the gastrointestinal tract or liver (Currie, 2018). Metabolism of certain medications is greatly affected by enzyme isoforms, particularly enzymes belonging to the cytochrome P (CYP) 450 family, during phase I metabolism (Deligiannidis et al, 2014). Phase I reactions are oxidation, reduction, or hydrolysis reactions, which make drugs more hydrophilic. In phase II, conjugation reactions occur, such as sulfation and glucuronidation, which increase the size and hydrophilicity of drugs to facilitate excretion (Isoherranen and Thummel, 2013).\nPharmacogenomics—the study of how genetic variations affect drug response—is useful in understanding maternal–fetal dynamics with respect to drug exposure during pregnancy (Blumenfeld et al, 2010). For example, key findings have identified ultrafast metabolizers versus intermediate or poor metabolizers of SSRIs and how these differences may be exaggerated during pregnancy (Ververs et al, 2009). Progesterone levels, which increase during pregnancy, induce greater CYP3A4 activity accelerating the metabolism of drugs metabolized by CYP34A, for example, fluoxetine, paroxetine, venlafaxine, and bupropion (Deligiannidis et al, 2014). Contrasting with the increased activity of CYP3A4, CYP2C19 activity is reduced by almost half during pregnancy, which is particularly important for the metabolism of citalopram and escitalopram (Deligiannidis et al, 2014). Reduced activity of CYP2C19 results in elevated drug-plasma concentrations.\nExcretion eliminates drugs and their metabolites from the body, through not only urine or feces but also exhalation or sweat (Currie, 2018). Renal, cardiac, and hepatic actions affect overall clearance rates. Steady-state drug concentrations are determined by drug doses and clearance rates. Clearance from plasma circulation reduces overall drug concentrations and half-lives. During pregnancy, glomerular filtration rates increase, thereby increasing renal clearance. Increased renal clearance leads to decreased drug concentrations. In a study, increased renal clearance translated to increased depression scores, necessitating antidepressant dose adjustments (Sit et al, 2008). Pharmacokinetic changes during pregnancy are summarized in Table 1.Table 1Pharmacokinetic changes during pregnancyPharmacokinetic PropertyChange During PregnancyConsequenceAbsorption•Increased gastric pH•Decreased gastrointestinal motility•Altered CYP450 activity•Altered systemic absorption•Altered bioavailabilityDistribution•Increased plasma volume and cardiac output•Reduced drug-plasma protein binding, such as to albumin•Increased adipose tissue•Reduced drug concentrations•Increased volume of distribution for lipophilic drugsMetabolism•Phase I and II enzymatic changes•Altered drug metabolism, especially of drugs metabolized by CYP450 enzymesExcretion•Increased renal clearance•Reduced steady-state drug concentrations•Increased elimination of drugs cleared by the kidneys\nPharmacokinetic changes during pregnancy\nIncreased gastric pH\nDecreased gastrointestinal motility\nAltered CYP450 activity\nAltered systemic absorption\nAltered bioavailability\nIncreased plasma volume and cardiac output\nReduced drug-plasma protein binding, such as to albumin\nIncreased adipose tissue\nReduced drug concentrations\nIncreased volume of distribution for lipophilic drugs\nPhase I and II enzymatic changes\nAltered drug metabolism, especially of drugs metabolized by CYP450 enzymes\nIncreased renal clearance\nReduced steady-state drug concentrations\nIncreased elimination of drugs cleared by the kidneys\nPharmacokinetics are also influenced by pregnancy-related hormonal changes (Jeong, 2010). Hypothalamus–pituitary–adrenal (HPA) hormones are important in this regard, as are hormones secreted by the placenta.\nThe HPA axis is an important modulator of stress responses (Zoubovsky et al, 2020). Activation of the HPA by stress increases the synthesis and release of hypothalamic and pituitary hormones, which amplify cortisol release from the adrenal glands. During pregnancy, corticotropin-releasing hormone (CRH), in the hypothalamus, increases from concentrations of <200 pg/mL to concentrations of >1000 pg/mL in the plasma (Sandman and Davis, 2012). The main function of CRH is to stimulate the synthesis of adrenocorticotropic hormone (ACTH) produced by the pituitary gland. The release of ACTH stimulates the synthesis of cortisol, glucocorticoids, mineralocorticoids, and androsterone.\nWhile cortisol release by the adrenal glands normally negatively regulates hypothalamic and pituitary production of their respective hormones, during pregnancy, cortisol leads to the stimulation, synthesis, and release of cortisol, ACTH, and CRH in the fetus (Sandman and Davis, 2012). The placenta also expresses genes for CRH; however, placental CRH and hypothalamic CRH genes have nearly opposite responses because of differential regulation by transcription factors. The placenta can “sense” stress-related changes leading to adverse effects, for example, preterm birth or pre-eclampsia (Dimasuay et al, 2016). Furthermore, postpartum depression, which is associated with responses to stress, may affect childcare, leading to reduced maternal engagement with the baby, greater unpredictability in routines, and reduced breastfeeding duration (Becker et al, 2016).\nProspective cohort studies correlating maternal cortisol levels and offspring health are scare, yet provide key insights linking maternal cortisol levels with child behavioral outcomes. A study in 2009 found that maternal serum cortisol levels were negatively correlated with IQ scores in children aged 7 years (LeWinn et al, 2009). In a 2019 study conducted on 163 mother–child dyads recruited from Emory Women’s Mental Health Program, Swales et al (2018) found that elevated cortisol levels at 24 weeks of gestation predicted heightened emotional reactivity in children at an average age of 44 months. In a 2023 study published in The Lancet, Shriyan et al (2023) found that cortisol levels of >18 μg/L were significantly associated with low infant birth weight and increased postpartum depressive symptoms in patients recruited from a public health facility in India.\nOther hormones influence maternal and fetal physiology. For example, maternal estrogen, progesterone, and aldosterone levels increase during pregnancy. Progesterone downregulates maternal gastrointestinal motility, which delays the absorption of orally administered drugs (Jeong, 2010). Estrogen and progesterone regulate CYP enzyme expression, thereby influencing drug metabolism. Maternal growth hormone (GH) levels also decrease, but other GHs produced by the placenta increase, as discussed further (Jeong, 2010).\nDuring pregnancy, an entirely new organ is formed—the placenta. The placenta plays important roles in protecting the fetus from maternal immune responses, supplying nutrients, and facilitating gas exchange between fetal and maternal circulations (Griffiths and Campbell, 2015). The placenta prevents maternal immune system activation to paternal antigens expressed by fetal cells (Napso et al, 2018). For example, the placenta promotes several regulatory mechanisms, for example, altered antigen presentation and T cell differentiation, which create “distractions” for the maternal immune system, thereby enabling fetal viability (Than et al, 2019). Moreover, maternal IgG antibodies cross the placental barrier and provide passive immunity for the fetus (Wessel and Dolatshahi, 2024).\nThe placenta is a highly active endocrine organ (Napso et al, 2018). It produces and secretes human placental hormone and placental GH, which regulate maternal metabolism, for example, lipolysis promotion in adipose tissue. Levels of human placental hormone and placental GH increase 30-fold (∼1 g/d, the greatest of any known human hormone) and 100-fold (∼14 ng/mL after week 28), respectively, during pregnancy, yet little is known about their overarching effects, especially on drug metabolism and other pharmacokinetic parameters (Jeong, 2010; Velegrakis et al, 2017). Figure 1 provides a summary of placental–drug metabolism interactions.Fig. 1Placental impact on drug metabolism via hormones. Placental secretion of placental hormone (hPL) and placental growth hormone (PGH) regulates maternal metabolism, yet little is known about their effects on drug metabolism and other pharmacokinetic parameters. GI, gastrointestinal.\nPlacental impact on drug metabolism via hormones. Placental secretion of placental hormone (hPL) and placental growth hormone (PGH) regulates maternal metabolism, yet little is known about their effects on drug metabolism and other pharmacokinetic parameters. GI, gastrointestinal.\nThe placenta is the sole link between mother and fetus. Drugs that cross the maternal blood–placental barrier will reach the fetus (Griffiths and Campbell, 2015). Three types of drug transfer occur (Pacifici and Nottoli, 1995). Type 1 drugs rapidly cross the placenta and significant concentrations are observed in maternal and fetal plasma. Type 2 drugs reach greater concentrations in the fetus than the mother, for example, ketamine (Ellingson et al, 1977). Type 3 drugs have incomplete transfer, resulting in higher concentrations in the maternal plasma than that in fetal plasma. Many factors affect drug transfer, including placental surface area and thickness, drug molecular weight and lipid solubility, and the pH of maternal and fetal blood (Griffiths and Campbell, 2015). Drug transfer occurs through placental passive or facilitated diffusion, active transport, or pinocytosis (Griffiths and Campbell, 2015). Antidepressants like SSRIs inhibit some placental–drug transporters, for example, P-glycoprotein, which bind numerous endogenous ligands, including cortisol and aldosterone. As such, inhibition of P-glycoprotein induces alterations in fetal exposure to maternal hormones (Feghali et al, 2015).\nIn sum, trimester-specific pharmacokinetic, hormonal, and anatomical changes occur during pregnancy. Factors such as the onset of maternal depression or anxiety, time frame of antidepressant administration, and drug dose will need rigorous investigation because they may explain discrepancies, that is, conflicting evidence between studies on physiologic, psychomotor, behavioral, and cognitive risks, associated with current knowledge about in utero antidepressant exposure on fetal and infant health. To the authors knowledge, no studies have rigorously compared the efficacy of antidepressant treatment before and during pregnancy to assess the effects of pregnancy-induced physiologic changes. Moreover, no studies have rigorously compared hormone levels before and after antidepressant exposure during pregnancy to monitor specific hormonal changes.\n\n\n### Pharmacokinetics\nAbsorption is the process of transporting a drug from its site of administration to the systemic circulation (Currie, 2018; Alagga and Gupta, 2022). Mechanisms involved in absorption include passive diffusion, carrier-mediated membrane transport (active transport and facilitated diffusion), and uptake by nonspecific drug transporters, for example, P-glycoprotein (Isoherranen and Thummel, 2013; Alagga and Gupta, 2022). Factors such as route of administration, gastric pH, and drug lipophilicity and molecular size affect bioavailability, that is, how much of a drug is available in the circulation after nonintravenous administration, for example, oral, intranasal, and transdermal (Feghali et al, 2015; Alagga and Gupta, 2022). Drugs taken orally undergo a first-pass effect, wherein they are metabolized by gastrointestinal organs, primarily the liver, reducing overall bioavailability (Feghali et al, 2015).\nPregnancy results in decreased gastrointestinal motility and increased gastric pH, which affect drug absorption after oral administration (Isoherranen and Thummel, 2013). Reduced gastrointestinal motility delays the absorption of drugs, while increased gastric pH deprotonates some drugs, which reduces absorption. Vomiting is a common symptom during pregnancy, particularly in the first trimester. Emesis may reduce drug concentrations, especially with the oral route of administration (Feghali et al, 2015).\nDistribution is the process by which drugs move from the bloodstream to the tissues (Currie, 2018). Factors such as blood plasma protein binding and membrane permeability affect distribution. For instance, drugs that are tightly bound by plasma proteins have reduced tissue availability. The blood–brain and blood–placenta barriers actively reduce drug entry to the brain and fetus, respectively. The volume of distribution (Vd) is a theoretical volume used to indicate how extensively a drug will distribute in the body (Feghali et al, 2015). A high Vd indicates high distribution and low plasma protein binding.\nDuring late pregnancy, hepatic production of glucose increases yet fasting blood glucose levels decrease (Lain and Catalano, 2007). Approximately one-third of the increased glucose is used by uterine, fetal, and placental tissues. Increases in adipose tissue result in average body weight gains of 3.5 kg (Lain and Catalano, 2007). Adipose tissue increases may result in higher volumes of distribution of lipophilic drugs, for example, SSRIs, thus leading to changes in half-life (Feghali et al, 2015). Maternal plasma volume increases throughout pregnancy as does cardiac output, while drug-plasma protein binding decreases (Notarianni, 1990; Jeong, 2010). Together, these changes result in a higher Vd for lipophilic drugs, yet reduced plasma concentrations of drugs (Deligiannidis et al, 2014). Blood flow to the uterus also increases 10-fold, and low molecular weight lipophilic drugs readily cross the fetal–placental barrier (Feghali et al, 2015). This leads to a build-up of lipophilic drug concentrations in the amniotic fluid, providing another source of fetal exposure to drugs, in addition to circulation via placental passage (Hostetter et al, 2000; Loughhead et al, 2006).\nMetabolism is the process by which drugs are modified by enzymatic processes, typically in the gastrointestinal tract or liver (Currie, 2018). Metabolism of certain medications is greatly affected by enzyme isoforms, particularly enzymes belonging to the cytochrome P (CYP) 450 family, during phase I metabolism (Deligiannidis et al, 2014). Phase I reactions are oxidation, reduction, or hydrolysis reactions, which make drugs more hydrophilic. In phase II, conjugation reactions occur, such as sulfation and glucuronidation, which increase the size and hydrophilicity of drugs to facilitate excretion (Isoherranen and Thummel, 2013).\nPharmacogenomics—the study of how genetic variations affect drug response—is useful in understanding maternal–fetal dynamics with respect to drug exposure during pregnancy (Blumenfeld et al, 2010). For example, key findings have identified ultrafast metabolizers versus intermediate or poor metabolizers of SSRIs and how these differences may be exaggerated during pregnancy (Ververs et al, 2009). Progesterone levels, which increase during pregnancy, induce greater CYP3A4 activity accelerating the metabolism of drugs metabolized by CYP34A, for example, fluoxetine, paroxetine, venlafaxine, and bupropion (Deligiannidis et al, 2014). Contrasting with the increased activity of CYP3A4, CYP2C19 activity is reduced by almost half during pregnancy, which is particularly important for the metabolism of citalopram and escitalopram (Deligiannidis et al, 2014). Reduced activity of CYP2C19 results in elevated drug-plasma concentrations.\nExcretion eliminates drugs and their metabolites from the body, through not only urine or feces but also exhalation or sweat (Currie, 2018). Renal, cardiac, and hepatic actions affect overall clearance rates. Steady-state drug concentrations are determined by drug doses and clearance rates. Clearance from plasma circulation reduces overall drug concentrations and half-lives. During pregnancy, glomerular filtration rates increase, thereby increasing renal clearance. Increased renal clearance leads to decreased drug concentrations. In a study, increased renal clearance translated to increased depression scores, necessitating antidepressant dose adjustments (Sit et al, 2008). Pharmacokinetic changes during pregnancy are summarized in Table 1.Table 1Pharmacokinetic changes during pregnancyPharmacokinetic PropertyChange During PregnancyConsequenceAbsorption•Increased gastric pH•Decreased gastrointestinal motility•Altered CYP450 activity•Altered systemic absorption•Altered bioavailabilityDistribution•Increased plasma volume and cardiac output•Reduced drug-plasma protein binding, such as to albumin•Increased adipose tissue•Reduced drug concentrations•Increased volume of distribution for lipophilic drugsMetabolism•Phase I and II enzymatic changes•Altered drug metabolism, especially of drugs metabolized by CYP450 enzymesExcretion•Increased renal clearance•Reduced steady-state drug concentrations•Increased elimination of drugs cleared by the kidneys\nPharmacokinetic changes during pregnancy\nIncreased gastric pH\nDecreased gastrointestinal motility\nAltered CYP450 activity\nAltered systemic absorption\nAltered bioavailability\nIncreased plasma volume and cardiac output\nReduced drug-plasma protein binding, such as to albumin\nIncreased adipose tissue\nReduced drug concentrations\nIncreased volume of distribution for lipophilic drugs\nPhase I and II enzymatic changes\nAltered drug metabolism, especially of drugs metabolized by CYP450 enzymes\nIncreased renal clearance\nReduced steady-state drug concentrations\nIncreased elimination of drugs cleared by the kidneys\n\n\n### Absorption\nAbsorption is the process of transporting a drug from its site of administration to the systemic circulation (Currie, 2018; Alagga and Gupta, 2022). Mechanisms involved in absorption include passive diffusion, carrier-mediated membrane transport (active transport and facilitated diffusion), and uptake by nonspecific drug transporters, for example, P-glycoprotein (Isoherranen and Thummel, 2013; Alagga and Gupta, 2022). Factors such as route of administration, gastric pH, and drug lipophilicity and molecular size affect bioavailability, that is, how much of a drug is available in the circulation after nonintravenous administration, for example, oral, intranasal, and transdermal (Feghali et al, 2015; Alagga and Gupta, 2022). Drugs taken orally undergo a first-pass effect, wherein they are metabolized by gastrointestinal organs, primarily the liver, reducing overall bioavailability (Feghali et al, 2015).\nPregnancy results in decreased gastrointestinal motility and increased gastric pH, which affect drug absorption after oral administration (Isoherranen and Thummel, 2013). Reduced gastrointestinal motility delays the absorption of drugs, while increased gastric pH deprotonates some drugs, which reduces absorption. Vomiting is a common symptom during pregnancy, particularly in the first trimester. Emesis may reduce drug concentrations, especially with the oral route of administration (Feghali et al, 2015).\n\n\n### Distribution\nDistribution is the process by which drugs move from the bloodstream to the tissues (Currie, 2018). Factors such as blood plasma protein binding and membrane permeability affect distribution. For instance, drugs that are tightly bound by plasma proteins have reduced tissue availability. The blood–brain and blood–placenta barriers actively reduce drug entry to the brain and fetus, respectively. The volume of distribution (Vd) is a theoretical volume used to indicate how extensively a drug will distribute in the body (Feghali et al, 2015). A high Vd indicates high distribution and low plasma protein binding.\nDuring late pregnancy, hepatic production of glucose increases yet fasting blood glucose levels decrease (Lain and Catalano, 2007). Approximately one-third of the increased glucose is used by uterine, fetal, and placental tissues. Increases in adipose tissue result in average body weight gains of 3.5 kg (Lain and Catalano, 2007). Adipose tissue increases may result in higher volumes of distribution of lipophilic drugs, for example, SSRIs, thus leading to changes in half-life (Feghali et al, 2015). Maternal plasma volume increases throughout pregnancy as does cardiac output, while drug-plasma protein binding decreases (Notarianni, 1990; Jeong, 2010). Together, these changes result in a higher Vd for lipophilic drugs, yet reduced plasma concentrations of drugs (Deligiannidis et al, 2014). Blood flow to the uterus also increases 10-fold, and low molecular weight lipophilic drugs readily cross the fetal–placental barrier (Feghali et al, 2015). This leads to a build-up of lipophilic drug concentrations in the amniotic fluid, providing another source of fetal exposure to drugs, in addition to circulation via placental passage (Hostetter et al, 2000; Loughhead et al, 2006).\n\n\n### Metabolism\nMetabolism is the process by which drugs are modified by enzymatic processes, typically in the gastrointestinal tract or liver (Currie, 2018). Metabolism of certain medications is greatly affected by enzyme isoforms, particularly enzymes belonging to the cytochrome P (CYP) 450 family, during phase I metabolism (Deligiannidis et al, 2014). Phase I reactions are oxidation, reduction, or hydrolysis reactions, which make drugs more hydrophilic. In phase II, conjugation reactions occur, such as sulfation and glucuronidation, which increase the size and hydrophilicity of drugs to facilitate excretion (Isoherranen and Thummel, 2013).\nPharmacogenomics—the study of how genetic variations affect drug response—is useful in understanding maternal–fetal dynamics with respect to drug exposure during pregnancy (Blumenfeld et al, 2010). For example, key findings have identified ultrafast metabolizers versus intermediate or poor metabolizers of SSRIs and how these differences may be exaggerated during pregnancy (Ververs et al, 2009). Progesterone levels, which increase during pregnancy, induce greater CYP3A4 activity accelerating the metabolism of drugs metabolized by CYP34A, for example, fluoxetine, paroxetine, venlafaxine, and bupropion (Deligiannidis et al, 2014). Contrasting with the increased activity of CYP3A4, CYP2C19 activity is reduced by almost half during pregnancy, which is particularly important for the metabolism of citalopram and escitalopram (Deligiannidis et al, 2014). Reduced activity of CYP2C19 results in elevated drug-plasma concentrations.\n\n\n### Excretion\nExcretion eliminates drugs and their metabolites from the body, through not only urine or feces but also exhalation or sweat (Currie, 2018). Renal, cardiac, and hepatic actions affect overall clearance rates. Steady-state drug concentrations are determined by drug doses and clearance rates. Clearance from plasma circulation reduces overall drug concentrations and half-lives. During pregnancy, glomerular filtration rates increase, thereby increasing renal clearance. Increased renal clearance leads to decreased drug concentrations. In a study, increased renal clearance translated to increased depression scores, necessitating antidepressant dose adjustments (Sit et al, 2008). Pharmacokinetic changes during pregnancy are summarized in Table 1.Table 1Pharmacokinetic changes during pregnancyPharmacokinetic PropertyChange During PregnancyConsequenceAbsorption•Increased gastric pH•Decreased gastrointestinal motility•Altered CYP450 activity•Altered systemic absorption•Altered bioavailabilityDistribution•Increased plasma volume and cardiac output•Reduced drug-plasma protein binding, such as to albumin•Increased adipose tissue•Reduced drug concentrations•Increased volume of distribution for lipophilic drugsMetabolism•Phase I and II enzymatic changes•Altered drug metabolism, especially of drugs metabolized by CYP450 enzymesExcretion•Increased renal clearance•Reduced steady-state drug concentrations•Increased elimination of drugs cleared by the kidneys\nPharmacokinetic changes during pregnancy\nIncreased gastric pH\nDecreased gastrointestinal motility\nAltered CYP450 activity\nAltered systemic absorption\nAltered bioavailability\nIncreased plasma volume and cardiac output\nReduced drug-plasma protein binding, such as to albumin\nIncreased adipose tissue\nReduced drug concentrations\nIncreased volume of distribution for lipophilic drugs\nPhase I and II enzymatic changes\nAltered drug metabolism, especially of drugs metabolized by CYP450 enzymes\nIncreased renal clearance\nReduced steady-state drug concentrations\nIncreased elimination of drugs cleared by the kidneys\n\n\n### Neuroendocrine changes\nPharmacokinetics are also influenced by pregnancy-related hormonal changes (Jeong, 2010). Hypothalamus–pituitary–adrenal (HPA) hormones are important in this regard, as are hormones secreted by the placenta.\nThe HPA axis is an important modulator of stress responses (Zoubovsky et al, 2020). Activation of the HPA by stress increases the synthesis and release of hypothalamic and pituitary hormones, which amplify cortisol release from the adrenal glands. During pregnancy, corticotropin-releasing hormone (CRH), in the hypothalamus, increases from concentrations of <200 pg/mL to concentrations of >1000 pg/mL in the plasma (Sandman and Davis, 2012). The main function of CRH is to stimulate the synthesis of adrenocorticotropic hormone (ACTH) produced by the pituitary gland. The release of ACTH stimulates the synthesis of cortisol, glucocorticoids, mineralocorticoids, and androsterone.\nWhile cortisol release by the adrenal glands normally negatively regulates hypothalamic and pituitary production of their respective hormones, during pregnancy, cortisol leads to the stimulation, synthesis, and release of cortisol, ACTH, and CRH in the fetus (Sandman and Davis, 2012). The placenta also expresses genes for CRH; however, placental CRH and hypothalamic CRH genes have nearly opposite responses because of differential regulation by transcription factors. The placenta can “sense” stress-related changes leading to adverse effects, for example, preterm birth or pre-eclampsia (Dimasuay et al, 2016). Furthermore, postpartum depression, which is associated with responses to stress, may affect childcare, leading to reduced maternal engagement with the baby, greater unpredictability in routines, and reduced breastfeeding duration (Becker et al, 2016).\nProspective cohort studies correlating maternal cortisol levels and offspring health are scare, yet provide key insights linking maternal cortisol levels with child behavioral outcomes. A study in 2009 found that maternal serum cortisol levels were negatively correlated with IQ scores in children aged 7 years (LeWinn et al, 2009). In a 2019 study conducted on 163 mother–child dyads recruited from Emory Women’s Mental Health Program, Swales et al (2018) found that elevated cortisol levels at 24 weeks of gestation predicted heightened emotional reactivity in children at an average age of 44 months. In a 2023 study published in The Lancet, Shriyan et al (2023) found that cortisol levels of >18 μg/L were significantly associated with low infant birth weight and increased postpartum depressive symptoms in patients recruited from a public health facility in India.\nOther hormones influence maternal and fetal physiology. For example, maternal estrogen, progesterone, and aldosterone levels increase during pregnancy. Progesterone downregulates maternal gastrointestinal motility, which delays the absorption of orally administered drugs (Jeong, 2010). Estrogen and progesterone regulate CYP enzyme expression, thereby influencing drug metabolism. Maternal growth hormone (GH) levels also decrease, but other GHs produced by the placenta increase, as discussed further (Jeong, 2010).\n\n\n### The placenta\nDuring pregnancy, an entirely new organ is formed—the placenta. The placenta plays important roles in protecting the fetus from maternal immune responses, supplying nutrients, and facilitating gas exchange between fetal and maternal circulations (Griffiths and Campbell, 2015). The placenta prevents maternal immune system activation to paternal antigens expressed by fetal cells (Napso et al, 2018). For example, the placenta promotes several regulatory mechanisms, for example, altered antigen presentation and T cell differentiation, which create “distractions” for the maternal immune system, thereby enabling fetal viability (Than et al, 2019). Moreover, maternal IgG antibodies cross the placental barrier and provide passive immunity for the fetus (Wessel and Dolatshahi, 2024).\nThe placenta is a highly active endocrine organ (Napso et al, 2018). It produces and secretes human placental hormone and placental GH, which regulate maternal metabolism, for example, lipolysis promotion in adipose tissue. Levels of human placental hormone and placental GH increase 30-fold (∼1 g/d, the greatest of any known human hormone) and 100-fold (∼14 ng/mL after week 28), respectively, during pregnancy, yet little is known about their overarching effects, especially on drug metabolism and other pharmacokinetic parameters (Jeong, 2010; Velegrakis et al, 2017). Figure 1 provides a summary of placental–drug metabolism interactions.Fig. 1Placental impact on drug metabolism via hormones. Placental secretion of placental hormone (hPL) and placental growth hormone (PGH) regulates maternal metabolism, yet little is known about their effects on drug metabolism and other pharmacokinetic parameters. GI, gastrointestinal.\nPlacental impact on drug metabolism via hormones. Placental secretion of placental hormone (hPL) and placental growth hormone (PGH) regulates maternal metabolism, yet little is known about their effects on drug metabolism and other pharmacokinetic parameters. GI, gastrointestinal.\nThe placenta is the sole link between mother and fetus. Drugs that cross the maternal blood–placental barrier will reach the fetus (Griffiths and Campbell, 2015). Three types of drug transfer occur (Pacifici and Nottoli, 1995). Type 1 drugs rapidly cross the placenta and significant concentrations are observed in maternal and fetal plasma. Type 2 drugs reach greater concentrations in the fetus than the mother, for example, ketamine (Ellingson et al, 1977). Type 3 drugs have incomplete transfer, resulting in higher concentrations in the maternal plasma than that in fetal plasma. Many factors affect drug transfer, including placental surface area and thickness, drug molecular weight and lipid solubility, and the pH of maternal and fetal blood (Griffiths and Campbell, 2015). Drug transfer occurs through placental passive or facilitated diffusion, active transport, or pinocytosis (Griffiths and Campbell, 2015). Antidepressants like SSRIs inhibit some placental–drug transporters, for example, P-glycoprotein, which bind numerous endogenous ligands, including cortisol and aldosterone. As such, inhibition of P-glycoprotein induces alterations in fetal exposure to maternal hormones (Feghali et al, 2015).\nIn sum, trimester-specific pharmacokinetic, hormonal, and anatomical changes occur during pregnancy. Factors such as the onset of maternal depression or anxiety, time frame of antidepressant administration, and drug dose will need rigorous investigation because they may explain discrepancies, that is, conflicting evidence between studies on physiologic, psychomotor, behavioral, and cognitive risks, associated with current knowledge about in utero antidepressant exposure on fetal and infant health. To the authors knowledge, no studies have rigorously compared the efficacy of antidepressant treatment before and during pregnancy to assess the effects of pregnancy-induced physiologic changes. Moreover, no studies have rigorously compared hormone levels before and after antidepressant exposure during pregnancy to monitor specific hormonal changes.\n\n\n### Origins of the monoamine hypothesis of depression: first-generation antidepressants\nIn the 1940s and 1950s, depressive disorders were treated by invasive brain procedures, leading to side effects and permanent disability. The history of treating psychiatric disorders is one of inhumane treatment, lack of informed consent, and serendipity (Staudt et al, 2019). While electroconvulsive therapy had been the primary treatment for depressive disorders, in the 1950s, lobotomies were proposed as a more effective alternative, particularly for patients with severe depression (Cheng et al, 1956). Pharmacotherapies took a center stage for treating mood and anxiety disorders after the downfall of Walter Freeman, a neuroscientist who developed and used transorbital lobotomies (Caruso and Sheehan, 2017). Transorbital lobotomies did not require surgery, so Freeman performed the procedure alone after his partner, neurosurgeon James W. Watts, refused to carry out lobotomies owing to their lack of safety. Freeman performed lobotomies on >4000 patients despite his lack of formal surgical training. Additionally, he carried out transorbital lobotomies on 2500 patients.\nAntipsychotic medications were discovered in the 1930s, in parallel with the rise of ECT and lobotomies. Chlorpromazine, a first-generation antipsychotic, was approved for use in 1955 (López-Muñoz et al, 2005), turning the tide away from invasive procedures to drugs as therapeutics for mood and anxiety disorders (Caruso and Sheehan, 2017). In the 1950s, major breakthroughs for antidepressants occurred (Staudt et al, 2019). Physicians noted that tuberculosis medications, namely isoniazid and iproniazid, improved the mood of hospitalized patients with tuberculosis. Isoniazid and iproniazid were soon discovered to be MAOIs (Tretter, 2010). Monoamine oxidase is responsible for the metabolism of monoamine neurotransmitters, that is, dopamine, norepinephrine, and serotonin (Ramachandraih et al, 2011). The MAOIs prevent degradation of these transmitters, thereby increasing their concentrations in brain tissue (Andrews and Murphy, 1993) and prolonging their duration of action in the extracellular space. The MAOIs are still used to treat psychiatric disorders, such as anxiety and depression that is refractory to improvements SSRIs or SNRIs. Tricyclic antidepressants (TCAs) were subsequently discovered to inhibit the reuptake of monoamine neurotransmitters. Together, MAOIs and TCAs are referred to as first-generation antidepressants.\nThe fact that MAOIs and TCAs interacted with the dopamine and norepinephrine systems and improved mood and reduced anxiety led to the catecholamine hypothesis of depression proposed by Schildkraut, Bunney, and Davis in 1965 (Schildkraut, 1995; Pereira and Hiroaki-Sato, 2018). A role for serotonin came later when the TCA imipramine was discovered to inhibit serotonin reuptake, in addition to norepinephrine reuptake. Because some TCAs were shown to inhibit serotonin reuptake and MAOIs impacted serotonin catabolism, Coppen (1967) proposed that serotonin was important in the mood-improving properties of these drugs. The serotonin hypothesis of depression purports that decreased serotonin levels are a cause of depression. Based on the evolving understanding of the complex roles of serotonin in depression and the fact that MAOIs and TCAs had many adverse side effects, for example, seizures and cardiac dysfunction, pharmaceutical companies set out to discover drugs that selectively impacted the serotonin system.\nWhile research during pregnancy is lacking, MAOIs and TCAs are, nonetheless, not recommended for use during pregnancy (Ram and Gandotra, 2015). Some drugs from each class fall under category C by the FDA. Of the TCAs, amitriptyline (Elavil), amoxapine (Asendin), clomipramine (Anafranil), and trimipramine (Surmontil) have the classification C (of the 9 FDA-approved TCAs for the treatment of depression), while the remaining TCAs are not reported owing to a lack of well-controlled studies in pregnant people (O’Connor et al, 2019). Of the MAOIs, isocarboxzid (Marplan) and selegiline (Ensam, a transdermal patch) have a category C classification (of the 4 FDA-approved MAOIs for the treatment of depression) (O’Connor et al, 2019). Because MAOIs and TCAs have significant off-target effects, they are mainly used for TRD in favor SSRIs and SNRIs, which have far fewer side effects (discussed further). The side effects of MAOIs and TCAs arise from their actions on adrenergic, cholinergic, and histaminergic systems (Chu and Wadhwa, 2024). The MAOIs pose a high risk of a hypertensive crisis, and both MAOIs and TCAs have many known contraindications with food and other drugs (Moraczewski et al, 2024; Sub Laban and Saadabadi, 2024).\n\n\n### Second-generation antidepressants: serotonin reuptake inhibitors and serotonin norepinephrine reuptake inhibitors\nIn 1972, the pharmaceutical company Eli Lily reported on the properties of fluoxetine, which was designated the most powerful and SSRI at the time (Wong et al, 2005). In 1987, fluoxetine was approved by the FDA for clinical use as an antidepressant, being marketed under the brand name Prozac. Fluoxetine is a second-generation antidepressant, along with all other SSRIs, SNRIs, and bupropion. Like other SSRIs, fluoxetine has fewer side effects compared with MAOIs and TCAs. However, it was ineffective or only partly effective for many patients despite the rapid rise in prescriptions.\nThe serotonin hypothesis is, at best, an oversimplification (Altieri et al, 2011). In fact, a review of the clinical literature finds little evidence to support the idea that reduced serotonin is associated with depression (Moncrieff et al, 2023). Nonetheless, the most prescribed medications used to treat depression and anxiety remain the SSRIs. All SSRIs are more effective than placebos, and 40%–60% of patients experience mood improvement upon sustained SSRI administration (Cipriani et al, 2018). Nonetheless, while depression is likely not caused by low brain (extracellular) serotonin, rodent models point to the serotonin transporter (SERT), which is the primary site for SSRI action, as a key modulator of serotonin transmission and anxiety-related behavior (Adamec et al, 2006; Wellman et al, 2007; Altieri et al, 2015; McHugh et al, 2015).\nIn the United States, 13% of adults aged 18 years and older use antidepressants, mainly SSRIs. Of those who are pregnant, 1%–5% take SSRIs (Molenaar et al, 2020a). Effects of exposure to SSRIs are different depending on trimester, duration and consistency of use, and metabolic profiles, as discussed further. The SNRIs are another treatment option. In addition to their use in treating mood and anxiety disorders, SNRIs are also prescribed for chronic pain (Arnold et al, 2005, 2007; Clauw et al, 2008). Specific use statistics are difficult to obtain because SNRIs are generally lumped together with SSRIs and categorized under the umbrella term of antidepressant. Nonetheless, trends suggest that prescriptions of SNRIs, along with atypical antidepressants, are on the rise (Luo et al, 2020). The SNRIs are prescribed during pregnancy, although at lower rates than SSRIs, and, like SSRIs, are designated category C by the FDA (Pernia and DeMaagd, 2016).\nThe SSRIs, administered orally in pill or liquid capsule forms, include fluoxetine, citalopram (Celexa), escitalopram (Lexapro), sertraline (Zoloft), paroxetine (Paxil, Pexeva), and fluvoxamine (Luvox). In 2011 and 2013, vilazodone (Viibryd) and vortioxetine (Trentellix), respectively, were approved by the FDA for major depressive disorder, although they are the least prescribed SSRIs because of their shorter time in the market. The pharmacokinetic properties of the SSRIs are summarized in Table 2.Table 2Pharmacokinetic properties of SSRIsBioavailability is the amount of unmetabolized drug that enters systemic circulation compared with that of intravenous administration. Volume of distribution is a measure of the ability of drug to redistribute from the plasma to other organs and tissues. Half-life is the amount of time required for the plasma drug concentration to be reduced by half. Steady-state is the half-life of the drug multiplied by 4.5 and reflects the time to a steady plasma drug concentration.MedicationBioavailability (F) %Volume of Distribution (Vd) L/kgHalf-life (t1/2) hEnzymes in MetabolismTime to Reach Steady-stateFluoxetine<9020–451–4 dCYP2D6>3 wkFluvoxamine∼50∼58–28CYP2D610 dCitalopram∼8014–16∼36CYP2C196–10 dEscitalopram∼8012–2627–32CYP3A47–10 dSertraline∼442022–37CYP3A45–7 dParoxetine<503–1216–19CYP2D67–14 dVilazodone∼72825CYP3A4∼5 dVortioxetine∼753766CYP2D62 wk\nPharmacokinetic properties of SSRIs\nBioavailability is the amount of unmetabolized drug that enters systemic circulation compared with that of intravenous administration. Volume of distribution is a measure of the ability of drug to redistribute from the plasma to other organs and tissues. Half-life is the amount of time required for the plasma drug concentration to be reduced by half. Steady-state is the half-life of the drug multiplied by 4.5 and reflects the time to a steady plasma drug concentration.\nAll SSRIs undergo first-pass metabolism in the liver (van Harten, 1993). The SSRIs are metabolized by the CYP enzymes, primarily CYP2D6 and CYP3A4. Fluoxetine has the highest Vd and longest half-life compared with other SSRIs and has an active metabolite, norfluoxetine. Both fluoxetine and norfluoxetine have high affinity for SERT, as well as 5HT2A and D2 receptors. Citalopram and escitalopram have the highest selectivity for SERT versus other monoamine reuptake transporters compared with other SSRIs. Almost all pharmacologic effects of citalopram are attributed to its (S)-enantiomer, escitalopram (Rao, 2007), which is sold under the brand name Lexapro (Hiemke and Härtter, 2000). Sertraline is unique among SSRIs because it also inhibits dopamine transporters. Some studies have investigated sertraline as a treatment for stimulant use disorders, as sertraline delays relapse rates compared with placebo (Oliveto et al, 2012; Chan et al, 2018). Vilazodone and vortioxetine, while potent SERT inhibitors, also show partial agonist activity at serotonin receptors (Cruz, 2012; D’Agostino et al, 2015).\nThe pharmacokinetic properties of SSRIs change during pregnancy (Anderson, 2005). For example, drug metabolism by some CYP isoenzymes increases (Betcher and Wisner, 2020). For paroxetine, which is exclusively metabolized by CYP2D6, women who are extensive or ultrarapid metabolizers showed decreased serum levels of paroxetine and significantly increased depression symptoms (Ververs et al, 2009). Intermediate or poor metabolizers showed increased paroxetine serum levels during pregnancy with no change in depressive symptoms. An ongoing study by the National Institute of Child Health and Development is examining how antidepressant concentrations change with respect to physiologic changes during pregnancy and during the postpartum period (Clinical Trail NCT02519790). Wisner et al (2024) recently published a communications article urging the recognition of the role of mental illness in maternal mortality.\nLike SSRIs, SNRIs are administered orally via pills or liquid capsules. The family of SNRIs consists of duloxetine (Cymbalta), desvenlafaxine (Pristiq), levomilnacipran (Fetzima), milnacipran (Savella), and venlafaxine (Effexor, discontinued). The SNRIs were approved for use by the FDA in the early 2000s, except venlafaxine, which was approved in 1993 (immediate-release [IR] formulation) and 1997 (extended-release) and levomilnacipran in 2013. Milnacipran is the only SNRI not used for the treatment of major depression or anxiety disorders; rather, it is almost exclusively prescribed for the treatment of fibromyalgia (Clauw et al, 2008). The half-life of the SNRIs is ∼10 hours (Sansone and Sansone, 2014). All SNRIs except milnacipran require metabolism by liver CYP enzymes. Milnacipran bypasses CYP metabolism and undergoes phase II conjugation. The bioavailability and Vd of SNRIs are similar to the SSRIs (Sansone and Sansone, 2014). Pharmacokinetic properties of SNRIs are summarized in Table 3.Table 3Pharmacokinetic properties of SNRIs.MedicationHalf-life (t1/2) hEnzymes in metabolismPreferential affinity for NET or SERTVenlafaxine11–14CYP2D630× higher affinity for SERT vs NETDesvenlafaxine11CYP3A410× higher affinity for SERT vs NETLevomilnacipran12CYP3A43× higher affinity for NET vs SERTMilnacipran8–10Phase II conjugationNo preference for NET vs SERTDuloxetine12CYP2D610× higher affinity for SERT vs NET\nPharmacokinetic properties of SNRIs.\nThe SSRIs act on SERTs, blocking the reuptake of serotonin from the extracellular space into presynaptic neurons and other cell types, for example, enterochromaffin cells in the gut. While some SSRIs, such as paroxetine and sertraline, have affinity for other monoamine transporters, the SSRIs are relatively selective for SERT. The SNRIs target both serotonin and norepinephrine transporters (NETs) with high affinity, thereby blocking the reuptake of both monoamines (Sansone and Sansone, 2014). The SNRIs also impact extracellular dopamine levels indirectly. In the prefrontal cortex, dopamine is predominately taken up by NET instead of the dopamine transporter, which is expressed at low levels. Thus, SNRIs work as triple uptake inhibitors, to some extent, via inhibition of dopamine reuptake by NET in the prefrontal cortex (Morón et al, 2002).\nSome SNRIs are used to treat chronic pain conditions, such as chronic musculoskeletal pain, diabetic peripheral neuropathic pain, and fibromyalgia (Marks et al, 2009). Both duloxetine and milnacipran are prescribed for fibromyalgia. Effectiveness in treating chronic pain implicates norepinephrine and serotonin transmission in chronic pain (Stahl, 2009). The raphe nuclei, where the serotonergic cell bodies are located, and the locus coeruleus, the site of most norepinephrine cell bodies, send their projections to the dorsal horn of the spinal cord via the dorsolateral funiculus (Fields et al, 1991). Serotonin and norepinephrine descending fibers suppress pain transmission by hyperpolarization of afferent sensory neurons, preventing the relay of nociception to the thalamus and, eventually, cortical regions (Marks et al, 2009). Increased extracellular norepinephrine and serotonin increase inhibition of ascending pathways. Serotonin-mediated and norepinephrine-mediated inhibition of these pathways may lead to their therapeutic effects in chronic pain conditions.\nMicrodialysis and voltammetry studies have confirmed that serotonin reuptake inhibitors produce elevated extracellular serotonin concentrations in a matter of minutes (Movassaghi et al, 2021; Dagher et al, 2022). Yet, for most patients, SSRIs take 1–6 weeks to improve symptoms, if improvements occur at all (Taylor et al, 2006). Thus, the mechanisms by which SSRIs improve mood and anxiety involve effects beyond their immediate action at SERT. Potential therapeutic mechanisms include prolonged increases in extracellular serotonin, desensitization/downregulation of serotonin1A autoreceptors, and increased brain-derived neurotrophic factor (BDNF), synaptogenesis, and neurogenesis, which are discussed subsequently (Taylor et al, 2005; Pittenger and Duman, 2008; Castrén and Hen, 2013; Liu et al, 2017).\nThe SSRIs and SNRIs cross the placental–fetal barrier, although not in similar ways (Hendrick et al, 2003). A 2003 report of umbilical cord SSRI concentrations from 38 women found that maternal doses of sertraline and fluoxetine were significantly correlated with umbilical cord serum drug concentrations (Hendrick et al, 2003). This correlation, however, was not observed for citalopram. The SSRIs and SNRIs have also been detected in the amniotic fluid, which the fetus swallows, providing another source of fetal exposure (Hostetter et al, 2000; Loughhead et al, 2006). Finally, babies are exposed to SSRIs via breast milk, although concentrations are low (often undetectable) and may not be of clinical relevance (Suri et al, 2002; Weissman et al, 2004; Payne, 2019). Three potential fetal risks that have been identified are discussed further. These are persistent pulmonary hypertension (PPHN), neonatal adaptation syndrome (NAS), and congenital malformations.\nIn 2006, the FDA issued a health advisory warning against the use of SSRIs during pregnancy owing to an increased risk of PPHN, a dangerous condition where fetal circulation does not properly transition after birth. When adjusting for confounding factors, such as the severity of maternal mood or anxiety disorder, the risk of PPHN was subsequently determined to be minimal to none, leading the FDA to rescind this warning in 2011 (Occhiogrosso et al, 2012). The risk of teratogenesis is low, and there are no specific patterns of major malformations (Bourke et al, 2014) Paroxetine is the only SSRI in category D (vs C) owing to reports of an increased occurrence of cardiac malformations in infants exposed to paroxetine during the first trimester (O’Connor et al, 2016). Cardiac malformations induced by paroxetine appear to be dose and trimester specific (Marks et al, 2008).\nA 2020 retrospective cohort study examined SSRI exposure in the context of prenatal and placental outcomes. This study found decreased birth weights, increased adverse neonatal outcomes, for example, hypoglycemia and seizures, and reduced placental weights in newborns exposed to maternal SSRIs during pregnancy (Levy et al, 2020). However, like most studies on SSRI exposure during pregnancy, there was limited information about the type of SSRI, duration, or dose (Levy et al, 2020). In most studies, increased spontaneous abortion rates were reported in conjunction with maternal antidepressant treatment, whether SSRIs, SNRIs, or atypical antidepressants were at issue (Gentile, 2005a). As discussed further, these studies were confounded by the occurrence of maternal psychiatric disorders, which by themselves producing adverse neonatal outcomes (Coussons-Read, 2013).\nInfants exposed to SSRIs in utero during late pregnancy experience withdrawal at birth (Gentile, 2005a). Withdrawal leads to NAS (Perinatal Services, 2013). Up to 70% of infants develop a spectrum of NAS symptoms, including jitteriness, motor hyperactivity, irritability, and a weak cry (Galbally et al, 2017). Some hypothesize that NAS is the result of withdrawal from maternal medication. Others hypothesize that NAS results from overstimulation of the serotonergic system, leading to toxicity from increased serotonin concentrations. Regardless of the cause of NAS, its symptoms are self-limiting, normally dissipating in as little as hours. The NAS syndrome does not seem to have prolonged effects on infant health outcomes (Galbally et al, 2017).\nRisks associated with SNRI use are similar to those of SSRIs. All SSRIs and SNRIs can cause serotonin syndrome and are contraindicated for use with MAOIs (Sub Laban and Saadabadi, 2022). Serotonin syndrome is a potentially fatal side effect of increased serotonin concentrations, although it rarely occurs with SSRI use during pregnancy (Boyer and Shannon, 2005; Fox et al, 2009).\nMost studies examining the effects of antidepressants during pregnancy are observational and thus, only useful for descriptive information. The most common observational studies on the association between antidepressants and adverse fetal outcomes are either case–control or cohort studies (McDonagh et al, 2014; Munnangi and Boktor, 2022). While observational studies provide important insights about how exposures, for example, to SSRIs, affect offspring outcomes such as birth defects, these types of studies are associated with confounding factors that prevent clear study conclusions (Griesdale and Jones, 2018). Broadly, confounding occurs when the presence of a variable other than the exposure of interest influences the estimated effect of exposure on a given outcome (Griesdale and Jones, 2018). A confounding variable is one that is associated with both the exposure and the outcome (Griesdale and Jones, 2018).\nLack of strong evidence surrounding antidepressant safety risks, particularly SSRIs, advises against discontinuing antidepressant use during pregnancy (Jimenez-Solem, 2014; Molenaar et al, 2018; Kolding et al, 2021; Trinh et al, 2023). Many studies have found no adverse effects on infant neurobehavioral outcomes upon perinatal exposure to antidepressants (Gentile, 2005b; Misri et al, 2006; Wisner et al, 2009; Smith et al, 2013; Eriksen et al, 2015; Hutchison et al, 2019b). Recently, a 2022 cohort study investigated the association between antidepressant use during pregnancy and risk of neurodevelopmental disorders in children; the authors found no association with autism spectrum disorders, learning disabilities, and behavior disorders, among many other outcomes, in a cohort of >140,000 children exposed to antidepressants during gestation (Suarez et al, 2022).\nOther studies report adverse effects, particularly when looking at outcomes involving motor inhibitory control and birth weight (Mulder et al, 2011; Smith et al, 2013; Santucci et al, 2014; Molenaar et al, 2020b; van der Veere et al, 2020). In a study by Santucci et al (2014), infant psychomotor development was significantly different in infants exposed to perinatal antidepressants at 26 and 52 weeks after birth. Motor differences were no longer observed at 78 weeks, suggesting transient self-correcting changes (Santucci et al, 2014). In a 2020 study, motor function in children exposed to antidepressants was no longer significantly different from children in the unexposed group when adjusting for the severity of maternal anxiety (van der Veere et al, 2020). Risk for preterm birth is increased in individuals taking SNRIs compared with those taking SSRIs (Lennestål and Källén, 2007). However, preterm birth has also repeatedly been associated with maternal depression (Bourke et al, 2014). In fact, a cohort study conducted by Amit et al (2024) used data from >200,000 electronic health records in the United Kingdom and found that while a history of maternal depression was associated with preterm birth, antidepressant exposure during gestation was not.\nAnother 2020 study found that exposure to in utero antidepressants increased the odds of poor developmental health, measured by the Early Development Instrument survey, in kindergarteners (Singal et al, 2020). Developmental vulnerability was seen in ∼20% of exposed children versus 16% of children born to depressed mothers who did not take SSRIs or SNRIs. The limitations of this study include a lack of control for factors such as disease severity, specific antidepressant medications, and time of gestational exposure (Singal et al, 2020). Notably, many of the complications observed in children of depressed mothers are often reported with antidepressant exposure, pointing to the confounding nature of underlying maternal pathology (confounding by indication) (Burt and Quezada, 2009). For example, a population-based cohort study of children born from 2006 to 2007 in Sweden found that intellectual disability reported in infants exposed to antidepressants in utero was likely attributed to underlying maternal depression (Viktorin et al, 2017).\nMaternal depression during pregnancy is associated with several complications, including preeclampsia, low birth weight, and premature birth (Becker et al, 2016). A recent longitudinal study found that exposure to maternal depression adversely affects the developing executive function of children at 3 and 6 years of age (Hutchison et al, 2019a). Moreover, antenatal depression and anxiety directly impact postpartum parenting stress, which can negatively impact parent–child relationships (Misri et al, 2010). In a systematic review, Rommel et al (2020) found that underlying maternal disorders drove reported associations of neurodevelopmental, physical, and psychiatric fetal and infant outcomes. The effects of maternal depression or anxiety are exacerbated in non-White families, particularly those with low-income status (Nillni et al, 2018). Overall, when examining the risk of antidepressants in offspring, conflating risks posed by maternal mood and anxiety disorders often falsely attributes risks to antidepressants.\nAnother factor that significantly alters epidemiologic findings is control group selection (Andrade, 2017). Control groups are often comprised healthy women with no psychiatric diagnoses. Some control groups included women receiving psychotherapy instead of pharmacotherapy, women in remission from depression and anxiety disorders at the time of their pregnancy, or matched siblings with no psychiatric disorders to account for genetic and environmental variability (Andrade, 2017). Another control group is women with depression who pause their antidepressant before getting pregnant, compared with those who continue antidepressant treatment during pregnancy. Studies that use this control group have also indicated that antidepressant use during pregnancy does not pose increased fetal, neonatal, teratogenic, or developmental risks, especially when considering confounding by inidication (Lee and Chang, 2022; Besag and Vasey, 2023; Smith et al, 2024). In a study, McDonagh et al (2014) concluded that more specific treatment comparisons, for example, specific SSRIs, severity of depression, and factors such as drug timing and dose and outcomes assessments by blinded evaluators, are needed to draw concrete conclusions. These authors advocate for including pregnant women in randomized controlled trials (RCTs).\nWhile longitudinal studies provide meaningful information, risk due to antidepressant exposure during pregnancy would be better assessed using RCTs. Nonetheless, RCTs pose ethical concerns when conducted during pregnancy. Neonatal safety is a major issue that often pits maternal health against fetal exposure. Only in 1993 did the FDA lift the ban on pregnant women participating in RCTs. A lack of pregnant women in RCTs has resulted in a general lack of established precedent for medication safety during pregnancy (Unger et al, 2011).\nProspective cohort studies can address limitations of longitudinal studies by incorporating better control groups, specific inclusion and exclusion criteria, and by controlling for relevant variables that influence infant outcomes, for example, socioeconomic status, race and ethnicity, and severity of maternal illness. Yet, because participants cannot be truly randomized and treatment length, medication type, and/or dose cannot be fully controlled, preclinical (animal) studies are warranted. To understand the causal effects of exposure to antidepressants, at least those common to mammals, studies using animal models are of importance.\nAnimal models have several advantages for investigating the biological and behavioral effects of maternal SSRIs on offspring. Simply, they enable specific drug and temporal manipulations without the difficulties of determining precisely how SSRIs were used by individual women. Drug type, dose, and timing are controlled by the investigators in preclinical studies. Moreover, genetic and environmental variability are more highly controlled (although not nonexistent) in animal studies (Butler-Struben et al, 2022). Thus, while not perfect models because of the developmental mismatches between rodents and humans, the use of animal models benefits from the ability to identify drug-outcome relationships in ways that longitudinal human studies cannot (Steimer, 2011; Semple et al, 2013).\nStress is one of the most commonly identified risk factors that predisposes women to develop and maintain mood and anxiety disorders (Coussons-Read, 2013). In animals, stress induces anxiety-like and depressive-like symptoms during or after pregnancy (Krishnan and Nestler, 2011). Paradigms that produce stress in laboratory animals include chronic unpredictable stress and social defeat stress (Krishnan and Nestler, 2011). The former uses ethologically relevant stressors that include predator odor, overnight light exposure (circadian rhythm disruption), and wet bedding or cage-tilt (nest insecurity) to elicit transient and unpredictable stress. When administered repeatedly, these stressors produce chronic stress (Willner, 2017; Sequeira-Cordero et al, 2019). In addition to chronic unpredictable stress and social defeat stress, maternal separation is used to assess the effects of poor caregiving during the postnatal period on preweaning pups (Roque et al, 2014).\nChanges in behavior in mothers and offspring are assessed through an array of behavior tests to assess anxiety-like and depressive-like behaviors (Lezak et al, 2017). Tests such as the elevated plus maze, open field, and novelty suppressed feeding (NSF) tests are used to quantify anxiety-related behavior (Griebel and Holmes, 2013). The elevated plus maze, open field, and NSF tests place animals in an approach-avoidance conflict, for example, a brightly lit arena when an animal has been food deprived for 12–24 hours in the NSF test (Bach, 2022). The forced swim test (FST), tail suspension test (TST), and sucrose preference test are used to assess depressive-like behaviors, although these tests are generally less robust in their translational value (van der Staay et al, 2009; Ledford, 2014).\nIn the FST and TST, animals experience highly stressful situations for short periods, that is, mice or rats are briefly forced to swim in a cylinder of water and/or are suspended by their tails (Belovicova et al, 2017). While the FST, TST, and sucrose preference test, and particularly the FST, have been used extensively to predict antidepressant efficacy, the interpretation of their behavioral outputs remains contested (Ledford, 2014; Anyan and Amir, 2018). Still, when taken together, these tests provide information about behavioral changes between animal control and treatment groups even if the behavioral changes are open to interpretation.\n\n\n### Statistics on use\nIn the United States, 13% of adults aged 18 years and older use antidepressants, mainly SSRIs. Of those who are pregnant, 1%–5% take SSRIs (Molenaar et al, 2020a). Effects of exposure to SSRIs are different depending on trimester, duration and consistency of use, and metabolic profiles, as discussed further. The SNRIs are another treatment option. In addition to their use in treating mood and anxiety disorders, SNRIs are also prescribed for chronic pain (Arnold et al, 2005, 2007; Clauw et al, 2008). Specific use statistics are difficult to obtain because SNRIs are generally lumped together with SSRIs and categorized under the umbrella term of antidepressant. Nonetheless, trends suggest that prescriptions of SNRIs, along with atypical antidepressants, are on the rise (Luo et al, 2020). The SNRIs are prescribed during pregnancy, although at lower rates than SSRIs, and, like SSRIs, are designated category C by the FDA (Pernia and DeMaagd, 2016).\n\n\n### Pharmacokinetics\nThe SSRIs, administered orally in pill or liquid capsule forms, include fluoxetine, citalopram (Celexa), escitalopram (Lexapro), sertraline (Zoloft), paroxetine (Paxil, Pexeva), and fluvoxamine (Luvox). In 2011 and 2013, vilazodone (Viibryd) and vortioxetine (Trentellix), respectively, were approved by the FDA for major depressive disorder, although they are the least prescribed SSRIs because of their shorter time in the market. The pharmacokinetic properties of the SSRIs are summarized in Table 2.Table 2Pharmacokinetic properties of SSRIsBioavailability is the amount of unmetabolized drug that enters systemic circulation compared with that of intravenous administration. Volume of distribution is a measure of the ability of drug to redistribute from the plasma to other organs and tissues. Half-life is the amount of time required for the plasma drug concentration to be reduced by half. Steady-state is the half-life of the drug multiplied by 4.5 and reflects the time to a steady plasma drug concentration.MedicationBioavailability (F) %Volume of Distribution (Vd) L/kgHalf-life (t1/2) hEnzymes in MetabolismTime to Reach Steady-stateFluoxetine<9020–451–4 dCYP2D6>3 wkFluvoxamine∼50∼58–28CYP2D610 dCitalopram∼8014–16∼36CYP2C196–10 dEscitalopram∼8012–2627–32CYP3A47–10 dSertraline∼442022–37CYP3A45–7 dParoxetine<503–1216–19CYP2D67–14 dVilazodone∼72825CYP3A4∼5 dVortioxetine∼753766CYP2D62 wk\nPharmacokinetic properties of SSRIs\nBioavailability is the amount of unmetabolized drug that enters systemic circulation compared with that of intravenous administration. Volume of distribution is a measure of the ability of drug to redistribute from the plasma to other organs and tissues. Half-life is the amount of time required for the plasma drug concentration to be reduced by half. Steady-state is the half-life of the drug multiplied by 4.5 and reflects the time to a steady plasma drug concentration.\nAll SSRIs undergo first-pass metabolism in the liver (van Harten, 1993). The SSRIs are metabolized by the CYP enzymes, primarily CYP2D6 and CYP3A4. Fluoxetine has the highest Vd and longest half-life compared with other SSRIs and has an active metabolite, norfluoxetine. Both fluoxetine and norfluoxetine have high affinity for SERT, as well as 5HT2A and D2 receptors. Citalopram and escitalopram have the highest selectivity for SERT versus other monoamine reuptake transporters compared with other SSRIs. Almost all pharmacologic effects of citalopram are attributed to its (S)-enantiomer, escitalopram (Rao, 2007), which is sold under the brand name Lexapro (Hiemke and Härtter, 2000). Sertraline is unique among SSRIs because it also inhibits dopamine transporters. Some studies have investigated sertraline as a treatment for stimulant use disorders, as sertraline delays relapse rates compared with placebo (Oliveto et al, 2012; Chan et al, 2018). Vilazodone and vortioxetine, while potent SERT inhibitors, also show partial agonist activity at serotonin receptors (Cruz, 2012; D’Agostino et al, 2015).\nThe pharmacokinetic properties of SSRIs change during pregnancy (Anderson, 2005). For example, drug metabolism by some CYP isoenzymes increases (Betcher and Wisner, 2020). For paroxetine, which is exclusively metabolized by CYP2D6, women who are extensive or ultrarapid metabolizers showed decreased serum levels of paroxetine and significantly increased depression symptoms (Ververs et al, 2009). Intermediate or poor metabolizers showed increased paroxetine serum levels during pregnancy with no change in depressive symptoms. An ongoing study by the National Institute of Child Health and Development is examining how antidepressant concentrations change with respect to physiologic changes during pregnancy and during the postpartum period (Clinical Trail NCT02519790). Wisner et al (2024) recently published a communications article urging the recognition of the role of mental illness in maternal mortality.\nLike SSRIs, SNRIs are administered orally via pills or liquid capsules. The family of SNRIs consists of duloxetine (Cymbalta), desvenlafaxine (Pristiq), levomilnacipran (Fetzima), milnacipran (Savella), and venlafaxine (Effexor, discontinued). The SNRIs were approved for use by the FDA in the early 2000s, except venlafaxine, which was approved in 1993 (immediate-release [IR] formulation) and 1997 (extended-release) and levomilnacipran in 2013. Milnacipran is the only SNRI not used for the treatment of major depression or anxiety disorders; rather, it is almost exclusively prescribed for the treatment of fibromyalgia (Clauw et al, 2008). The half-life of the SNRIs is ∼10 hours (Sansone and Sansone, 2014). All SNRIs except milnacipran require metabolism by liver CYP enzymes. Milnacipran bypasses CYP metabolism and undergoes phase II conjugation. The bioavailability and Vd of SNRIs are similar to the SSRIs (Sansone and Sansone, 2014). Pharmacokinetic properties of SNRIs are summarized in Table 3.Table 3Pharmacokinetic properties of SNRIs.MedicationHalf-life (t1/2) hEnzymes in metabolismPreferential affinity for NET or SERTVenlafaxine11–14CYP2D630× higher affinity for SERT vs NETDesvenlafaxine11CYP3A410× higher affinity for SERT vs NETLevomilnacipran12CYP3A43× higher affinity for NET vs SERTMilnacipran8–10Phase II conjugationNo preference for NET vs SERTDuloxetine12CYP2D610× higher affinity for SERT vs NET\nPharmacokinetic properties of SNRIs.\n\n\n### Pharmacodynamics\nThe SSRIs act on SERTs, blocking the reuptake of serotonin from the extracellular space into presynaptic neurons and other cell types, for example, enterochromaffin cells in the gut. While some SSRIs, such as paroxetine and sertraline, have affinity for other monoamine transporters, the SSRIs are relatively selective for SERT. The SNRIs target both serotonin and norepinephrine transporters (NETs) with high affinity, thereby blocking the reuptake of both monoamines (Sansone and Sansone, 2014). The SNRIs also impact extracellular dopamine levels indirectly. In the prefrontal cortex, dopamine is predominately taken up by NET instead of the dopamine transporter, which is expressed at low levels. Thus, SNRIs work as triple uptake inhibitors, to some extent, via inhibition of dopamine reuptake by NET in the prefrontal cortex (Morón et al, 2002).\nSome SNRIs are used to treat chronic pain conditions, such as chronic musculoskeletal pain, diabetic peripheral neuropathic pain, and fibromyalgia (Marks et al, 2009). Both duloxetine and milnacipran are prescribed for fibromyalgia. Effectiveness in treating chronic pain implicates norepinephrine and serotonin transmission in chronic pain (Stahl, 2009). The raphe nuclei, where the serotonergic cell bodies are located, and the locus coeruleus, the site of most norepinephrine cell bodies, send their projections to the dorsal horn of the spinal cord via the dorsolateral funiculus (Fields et al, 1991). Serotonin and norepinephrine descending fibers suppress pain transmission by hyperpolarization of afferent sensory neurons, preventing the relay of nociception to the thalamus and, eventually, cortical regions (Marks et al, 2009). Increased extracellular norepinephrine and serotonin increase inhibition of ascending pathways. Serotonin-mediated and norepinephrine-mediated inhibition of these pathways may lead to their therapeutic effects in chronic pain conditions.\nMicrodialysis and voltammetry studies have confirmed that serotonin reuptake inhibitors produce elevated extracellular serotonin concentrations in a matter of minutes (Movassaghi et al, 2021; Dagher et al, 2022). Yet, for most patients, SSRIs take 1–6 weeks to improve symptoms, if improvements occur at all (Taylor et al, 2006). Thus, the mechanisms by which SSRIs improve mood and anxiety involve effects beyond their immediate action at SERT. Potential therapeutic mechanisms include prolonged increases in extracellular serotonin, desensitization/downregulation of serotonin1A autoreceptors, and increased brain-derived neurotrophic factor (BDNF), synaptogenesis, and neurogenesis, which are discussed subsequently (Taylor et al, 2005; Pittenger and Duman, 2008; Castrén and Hen, 2013; Liu et al, 2017).\n\n\n### Fetal exposure and risk associated with serotonin reuptake inhibitors use\nThe SSRIs and SNRIs cross the placental–fetal barrier, although not in similar ways (Hendrick et al, 2003). A 2003 report of umbilical cord SSRI concentrations from 38 women found that maternal doses of sertraline and fluoxetine were significantly correlated with umbilical cord serum drug concentrations (Hendrick et al, 2003). This correlation, however, was not observed for citalopram. The SSRIs and SNRIs have also been detected in the amniotic fluid, which the fetus swallows, providing another source of fetal exposure (Hostetter et al, 2000; Loughhead et al, 2006). Finally, babies are exposed to SSRIs via breast milk, although concentrations are low (often undetectable) and may not be of clinical relevance (Suri et al, 2002; Weissman et al, 2004; Payne, 2019). Three potential fetal risks that have been identified are discussed further. These are persistent pulmonary hypertension (PPHN), neonatal adaptation syndrome (NAS), and congenital malformations.\nIn 2006, the FDA issued a health advisory warning against the use of SSRIs during pregnancy owing to an increased risk of PPHN, a dangerous condition where fetal circulation does not properly transition after birth. When adjusting for confounding factors, such as the severity of maternal mood or anxiety disorder, the risk of PPHN was subsequently determined to be minimal to none, leading the FDA to rescind this warning in 2011 (Occhiogrosso et al, 2012). The risk of teratogenesis is low, and there are no specific patterns of major malformations (Bourke et al, 2014) Paroxetine is the only SSRI in category D (vs C) owing to reports of an increased occurrence of cardiac malformations in infants exposed to paroxetine during the first trimester (O’Connor et al, 2016). Cardiac malformations induced by paroxetine appear to be dose and trimester specific (Marks et al, 2008).\nA 2020 retrospective cohort study examined SSRI exposure in the context of prenatal and placental outcomes. This study found decreased birth weights, increased adverse neonatal outcomes, for example, hypoglycemia and seizures, and reduced placental weights in newborns exposed to maternal SSRIs during pregnancy (Levy et al, 2020). However, like most studies on SSRI exposure during pregnancy, there was limited information about the type of SSRI, duration, or dose (Levy et al, 2020). In most studies, increased spontaneous abortion rates were reported in conjunction with maternal antidepressant treatment, whether SSRIs, SNRIs, or atypical antidepressants were at issue (Gentile, 2005a). As discussed further, these studies were confounded by the occurrence of maternal psychiatric disorders, which by themselves producing adverse neonatal outcomes (Coussons-Read, 2013).\nInfants exposed to SSRIs in utero during late pregnancy experience withdrawal at birth (Gentile, 2005a). Withdrawal leads to NAS (Perinatal Services, 2013). Up to 70% of infants develop a spectrum of NAS symptoms, including jitteriness, motor hyperactivity, irritability, and a weak cry (Galbally et al, 2017). Some hypothesize that NAS is the result of withdrawal from maternal medication. Others hypothesize that NAS results from overstimulation of the serotonergic system, leading to toxicity from increased serotonin concentrations. Regardless of the cause of NAS, its symptoms are self-limiting, normally dissipating in as little as hours. The NAS syndrome does not seem to have prolonged effects on infant health outcomes (Galbally et al, 2017).\nRisks associated with SNRI use are similar to those of SSRIs. All SSRIs and SNRIs can cause serotonin syndrome and are contraindicated for use with MAOIs (Sub Laban and Saadabadi, 2022). Serotonin syndrome is a potentially fatal side effect of increased serotonin concentrations, although it rarely occurs with SSRI use during pregnancy (Boyer and Shannon, 2005; Fox et al, 2009).\n\n\n### Longitudinal cohort studies\nMost studies examining the effects of antidepressants during pregnancy are observational and thus, only useful for descriptive information. The most common observational studies on the association between antidepressants and adverse fetal outcomes are either case–control or cohort studies (McDonagh et al, 2014; Munnangi and Boktor, 2022). While observational studies provide important insights about how exposures, for example, to SSRIs, affect offspring outcomes such as birth defects, these types of studies are associated with confounding factors that prevent clear study conclusions (Griesdale and Jones, 2018). Broadly, confounding occurs when the presence of a variable other than the exposure of interest influences the estimated effect of exposure on a given outcome (Griesdale and Jones, 2018). A confounding variable is one that is associated with both the exposure and the outcome (Griesdale and Jones, 2018).\nLack of strong evidence surrounding antidepressant safety risks, particularly SSRIs, advises against discontinuing antidepressant use during pregnancy (Jimenez-Solem, 2014; Molenaar et al, 2018; Kolding et al, 2021; Trinh et al, 2023). Many studies have found no adverse effects on infant neurobehavioral outcomes upon perinatal exposure to antidepressants (Gentile, 2005b; Misri et al, 2006; Wisner et al, 2009; Smith et al, 2013; Eriksen et al, 2015; Hutchison et al, 2019b). Recently, a 2022 cohort study investigated the association between antidepressant use during pregnancy and risk of neurodevelopmental disorders in children; the authors found no association with autism spectrum disorders, learning disabilities, and behavior disorders, among many other outcomes, in a cohort of >140,000 children exposed to antidepressants during gestation (Suarez et al, 2022).\nOther studies report adverse effects, particularly when looking at outcomes involving motor inhibitory control and birth weight (Mulder et al, 2011; Smith et al, 2013; Santucci et al, 2014; Molenaar et al, 2020b; van der Veere et al, 2020). In a study by Santucci et al (2014), infant psychomotor development was significantly different in infants exposed to perinatal antidepressants at 26 and 52 weeks after birth. Motor differences were no longer observed at 78 weeks, suggesting transient self-correcting changes (Santucci et al, 2014). In a 2020 study, motor function in children exposed to antidepressants was no longer significantly different from children in the unexposed group when adjusting for the severity of maternal anxiety (van der Veere et al, 2020). Risk for preterm birth is increased in individuals taking SNRIs compared with those taking SSRIs (Lennestål and Källén, 2007). However, preterm birth has also repeatedly been associated with maternal depression (Bourke et al, 2014). In fact, a cohort study conducted by Amit et al (2024) used data from >200,000 electronic health records in the United Kingdom and found that while a history of maternal depression was associated with preterm birth, antidepressant exposure during gestation was not.\nAnother 2020 study found that exposure to in utero antidepressants increased the odds of poor developmental health, measured by the Early Development Instrument survey, in kindergarteners (Singal et al, 2020). Developmental vulnerability was seen in ∼20% of exposed children versus 16% of children born to depressed mothers who did not take SSRIs or SNRIs. The limitations of this study include a lack of control for factors such as disease severity, specific antidepressant medications, and time of gestational exposure (Singal et al, 2020). Notably, many of the complications observed in children of depressed mothers are often reported with antidepressant exposure, pointing to the confounding nature of underlying maternal pathology (confounding by indication) (Burt and Quezada, 2009). For example, a population-based cohort study of children born from 2006 to 2007 in Sweden found that intellectual disability reported in infants exposed to antidepressants in utero was likely attributed to underlying maternal depression (Viktorin et al, 2017).\nMaternal depression during pregnancy is associated with several complications, including preeclampsia, low birth weight, and premature birth (Becker et al, 2016). A recent longitudinal study found that exposure to maternal depression adversely affects the developing executive function of children at 3 and 6 years of age (Hutchison et al, 2019a). Moreover, antenatal depression and anxiety directly impact postpartum parenting stress, which can negatively impact parent–child relationships (Misri et al, 2010). In a systematic review, Rommel et al (2020) found that underlying maternal disorders drove reported associations of neurodevelopmental, physical, and psychiatric fetal and infant outcomes. The effects of maternal depression or anxiety are exacerbated in non-White families, particularly those with low-income status (Nillni et al, 2018). Overall, when examining the risk of antidepressants in offspring, conflating risks posed by maternal mood and anxiety disorders often falsely attributes risks to antidepressants.\nAnother factor that significantly alters epidemiologic findings is control group selection (Andrade, 2017). Control groups are often comprised healthy women with no psychiatric diagnoses. Some control groups included women receiving psychotherapy instead of pharmacotherapy, women in remission from depression and anxiety disorders at the time of their pregnancy, or matched siblings with no psychiatric disorders to account for genetic and environmental variability (Andrade, 2017). Another control group is women with depression who pause their antidepressant before getting pregnant, compared with those who continue antidepressant treatment during pregnancy. Studies that use this control group have also indicated that antidepressant use during pregnancy does not pose increased fetal, neonatal, teratogenic, or developmental risks, especially when considering confounding by inidication (Lee and Chang, 2022; Besag and Vasey, 2023; Smith et al, 2024). In a study, McDonagh et al (2014) concluded that more specific treatment comparisons, for example, specific SSRIs, severity of depression, and factors such as drug timing and dose and outcomes assessments by blinded evaluators, are needed to draw concrete conclusions. These authors advocate for including pregnant women in randomized controlled trials (RCTs).\nWhile longitudinal studies provide meaningful information, risk due to antidepressant exposure during pregnancy would be better assessed using RCTs. Nonetheless, RCTs pose ethical concerns when conducted during pregnancy. Neonatal safety is a major issue that often pits maternal health against fetal exposure. Only in 1993 did the FDA lift the ban on pregnant women participating in RCTs. A lack of pregnant women in RCTs has resulted in a general lack of established precedent for medication safety during pregnancy (Unger et al, 2011).\nProspective cohort studies can address limitations of longitudinal studies by incorporating better control groups, specific inclusion and exclusion criteria, and by controlling for relevant variables that influence infant outcomes, for example, socioeconomic status, race and ethnicity, and severity of maternal illness. Yet, because participants cannot be truly randomized and treatment length, medication type, and/or dose cannot be fully controlled, preclinical (animal) studies are warranted. To understand the causal effects of exposure to antidepressants, at least those common to mammals, studies using animal models are of importance.\n\n\n### Animal models for antidepressant use during pregnancy\nAnimal models have several advantages for investigating the biological and behavioral effects of maternal SSRIs on offspring. Simply, they enable specific drug and temporal manipulations without the difficulties of determining precisely how SSRIs were used by individual women. Drug type, dose, and timing are controlled by the investigators in preclinical studies. Moreover, genetic and environmental variability are more highly controlled (although not nonexistent) in animal studies (Butler-Struben et al, 2022). Thus, while not perfect models because of the developmental mismatches between rodents and humans, the use of animal models benefits from the ability to identify drug-outcome relationships in ways that longitudinal human studies cannot (Steimer, 2011; Semple et al, 2013).\nStress is one of the most commonly identified risk factors that predisposes women to develop and maintain mood and anxiety disorders (Coussons-Read, 2013). In animals, stress induces anxiety-like and depressive-like symptoms during or after pregnancy (Krishnan and Nestler, 2011). Paradigms that produce stress in laboratory animals include chronic unpredictable stress and social defeat stress (Krishnan and Nestler, 2011). The former uses ethologically relevant stressors that include predator odor, overnight light exposure (circadian rhythm disruption), and wet bedding or cage-tilt (nest insecurity) to elicit transient and unpredictable stress. When administered repeatedly, these stressors produce chronic stress (Willner, 2017; Sequeira-Cordero et al, 2019). In addition to chronic unpredictable stress and social defeat stress, maternal separation is used to assess the effects of poor caregiving during the postnatal period on preweaning pups (Roque et al, 2014).\nChanges in behavior in mothers and offspring are assessed through an array of behavior tests to assess anxiety-like and depressive-like behaviors (Lezak et al, 2017). Tests such as the elevated plus maze, open field, and novelty suppressed feeding (NSF) tests are used to quantify anxiety-related behavior (Griebel and Holmes, 2013). The elevated plus maze, open field, and NSF tests place animals in an approach-avoidance conflict, for example, a brightly lit arena when an animal has been food deprived for 12–24 hours in the NSF test (Bach, 2022). The forced swim test (FST), tail suspension test (TST), and sucrose preference test are used to assess depressive-like behaviors, although these tests are generally less robust in their translational value (van der Staay et al, 2009; Ledford, 2014).\nIn the FST and TST, animals experience highly stressful situations for short periods, that is, mice or rats are briefly forced to swim in a cylinder of water and/or are suspended by their tails (Belovicova et al, 2017). While the FST, TST, and sucrose preference test, and particularly the FST, have been used extensively to predict antidepressant efficacy, the interpretation of their behavioral outputs remains contested (Ledford, 2014; Anyan and Amir, 2018). Still, when taken together, these tests provide information about behavioral changes between animal control and treatment groups even if the behavioral changes are open to interpretation.\n\n\n### Atypical antidepressants: bupropion and ketamine\nThe serotonin and norepinephrine pathways are connected to and work in concert with other transmitter systems. In mood disorders, reward and learning are impaired, and many patients experience depression characterized by the common symptom of anhedonia (Gorwood, 2008; Ng et al, 2019). Anhedonia refers to an inability to experience pleasure (Gorwood, 2008). From neuroimaging studies, the roles of the neurotransmistters dopamine and glutamate have emerged, particularly in the context of dysfunctional reward and deficits in learning (Gorwood, 2008).\nDopamine plays a role in neuropsychiatric pathologies where the reward system is impaired (Diehl and Gershon, 1992). Glutamate, which is the most abundant neurotransmitter, is important for synaptogenesis—the birth of new synaptic connections—and neuroplasticity—the overall flexibility or plasticity of neural connections (Rowley et al, 2012). Synaptogenesis and neuroplasticity are key factors in the therapeutic effects of antidepressants, as well as underlying healthy cognitive processes (Wilkinson and Sanacora, 2019). Thus, new avenues of research in the treatment of depression and anxiety are targeting other neurotransmitter systems, including the glutamatergic, dopaminergic, and cholinergic systems (Slemmer et al, 2000; Sanacora et al, 2008; Li et al, 2016).\nDopamine is a monoamine neurotransmitter, like serotonin and norepinephrine. Dopamine transmission is implicated in mood and anxiety states. Evidence arises from studies on MAOIs, TCAs, mild stimulants, for example, Wellbutrin, Adderall, Ritalin, and drugs of abuse that lead to improved mood, energy, focus, and reduced negative states such as methamphetamine and cocaine, which primarily target dopamine transporter (Farzam et al, 2022). Dopamine cell bodies are located in the substantia nigra and ventral tegmental area, 2 neighboring brain nuclei that have different but overlapping projection profiles (Poulin et al, 2018). Dopaminergic projections target a number of brain regions, including the striatum, amygdala, prefrontal cortex, and hippocampus, and modulate brain processes, including reinforcement learning, reward, and mood (Poulin et al, 2018).\nBupropion (Wellbutrin) use has steadily increased over the last decade. Initially synthesized as an antidepressant, bupropion was also found to aid in smoking cessation and became FDA approved as a therapy for nicotine use disorder. While bupropion initially gained FDA approval in 1985, it was removed from the market owing to fears of increased seizure risks. With more careful dosing guidelines, bupropion was reintroduced, now being used by millions, primarily as an antidepressant (Stahl et al, 2004).\nBupropion is extensively metabolized by liver CYP2B6 to its active metabolite hydroxybupropion (Foley et al, 2006; Deligiannidis et al, 2014). However, bupropion and hydroxybupropion inhibit CYP2D6, resulting in potential drug interactions. To a lesser extent, bupropion is metabolized by CYP2B6 enzymes located in the brain. The distribution of brain CYP2B6 is heterogeneous, leading to brain region-specific effects. For example, CYP2B6 is highly expressed in astrocytes in layer I of the frontal cortex and at the blood–brain interface, suggesting an important role for this enzyme in brain drug penetration and action (Ferguson and Tyndale, 2011).\nBupropion has a high lipid solubility and a low molecular weight leading to almost 100% absorption when taken orally (Foley et al, 2006). Nonetheless, bioavailability is only 5-20%. Low bioavailability has little impact on effectiveness because the active metabolite, hydroxybupropion has equal antidepressant effects to that of bupropion. The half-lives of bupropion and hydroxybupropion are ∼18 and ∼20 hours, respectively. Steady-state concentrations are achieved within 5–7 days of continuous dosing (Foley et al, 2006).\nBupropion is available as IR, sustained-release, and extended-release formulations (Foley et al, 2006). Details of bupropion formulations are summarized in Table 4. Differences in individual responses to bupropion, typically the IR formulation, influence which formulation is prescribed, as the different bupropion formulations have differing onsets of action and half-lives and, thus, durations (Jefferson et al, 2005).Table 4Bupropion formualtions and their properitiesBupropion FormulationDose mgFrequency of IntakeMaximum Recommended Dose mgImmediate-release75 and 1002× daily450Sustained-release100, 150, and 2001–2× daily400Extended-release150 and 3001× daily450\nBupropion formualtions and their properities\nBupropion acts as a reuptake inhibitor at dopamine and norepinephrine transporter (Stahl et al, 2004). Additionally, bupropion is a partial antagonist at nicotinic acetylcholine receptors, specifically α3β4 subunit–containing receptors (Slemmer et al, 2000). Bupropion is mechanistically distinct from SSRIs and SNRIs and, importantly, does not have direct effects on the serotonin system. A 2006 study compared the efficacy of sertraline (SSRI), venlafaxine (SNRI), and bupropion in patients who were treatment resistant to citalopram (SSRI) (Rush et al, 2006). The study concluded that there were no differences in the rates of remission between these 3 groups (Rush et al, 2006). Importantly, this study suggested that intolerance or lack of efficacy of 1 SSRI does not imply intolerance to or lack of efficacy of all SSRIs and that within-class (eg, SSRIs) and out-of-class (eg, SNRIs and bupropion), medication switches are reasonable choices.\nBupropion is commonly prescribed in addition to an SSRI, which seems to reduce sexual dysfunction associated with SSRI use and helps to improve remission rates (Clayton et al, 2004; Zisook et al, 2006). Discontinuation of bupropion generally stems from stimulatory effects, although its discontinuation rate is no different from other second-generation antidepressants, for example, SSRIs (Foley et al, 2006). A clinical study examined the use of sustained-release formulation of bupropion for the treatment of postpartum depression and found bupropion to be well-tolerated (no patients discontinued treatment) and more than half of the patients had improved mood scores (Nonacs et al, 2005). This study only had a small sample size (N = 8), limiting its findings (Nonacs et al, 2005). Currently, only allopregnanolone, a neurosteroid, is specifically (FDA, 2019b) approved for postpartum depression (Walton and Maguire, 2019). Moreover, to the authors knowledge, no study has compared the rates of postpartum depression given antidepressant treatment during pregnancy.\nBupropion and its metabolite hydroxybupropion cross the blood–placenta barrier and are retained in placental tissue (Earhart et al, 2010). Exposure to bupropion did not affect placental viability. Infant exposure via breastmilk is minimal for bupropion, only amounting to ∼2% of the maternal dose (Gentile, 2005a). Bupropion is prescribed during pregnancy and is a category C medication under the FDA classification system (O’Connor et al, 2016). This medication is indicated for antidepressant treatment and to assist with smoking cessation (Earhart et al, 2010).\nA prospective cohort study compared pregnant women exposed to bupropion versus other antidepressants during the first trimester of pregnancy (Chun-Fai-Chan et al, 2005). Bupropion was not associated with increases in congenital malformations, gestational age at birth, or birth weight compared with other antidepressants. A higher rate of spontaneous abortions in the bupropion-exposed group compared with those not exposed to antidepressants was observed. However, like other studies, a limitation is separating whether increases in spontaneous abortions are a result of antidepressant use or underlying affective disorders (Chun-Fai-Chan et al, 2005). Overall, bupropion does not seem to produce teratogenic effects, although more research is needed (Gentile, 2005a).\nGlutamate is the most abundant neurotransmitter in the central nervous system. Glutamate transmission is important in synaptogenesis, functional connectivity between brain regions, and homeostasis (Sanacora et al, 2008). Key glutamatergic receptors include the NMDA and α-amino-3-hydroxy-5-methyl-4-isoxazolepropionic acid (AMPA) receptors, which are inotropic ligand-gated receptors, and metabotropic receptors—for example, mGLUR5—which are emerging as new therapeutic targets (Terbeck et al, 2015).\nGlutamate is a nonessential amino acid and is required for the synthesis of the oppositional inhibitory neurotransmitter GABA. Termination of glutamate transmission requires glial reuptake, as opposed to reuptake via presynaptic neurons. These properties distinguish the glutamatergic system from the previously discussed monoamine systems (Sanacora et al, 2008; Rowley et al, 2012).\nAtypical antidepressants have emerged most recently. In 2019, ketamine was FDA approved for TRD. The use of ketamine implicates neurotransmitter systems, in addition to the monoamines, in the treatment of depression and anxiety (FDA, 2019a). Ketamine was synthesized in 1962 by Calvin Stevens and gained FDA approval for human use as an anesthetic in 1970 (Jansen, 2000). Soon after, ketamine appeared on the illicit drug market and became widely abused. By the mid-1980s, ketamine became linked to “dance culture” and was used in a variety of social settings (Jansen and Darracot-Cankovic, 2001). In 2013 and 2016, esketamine, the (S)-enantiomer of ketamine, received the status of Breakthrough Therapy Designation for TRD and major depressive disorder. In 2018, a number of studies were published showcasing the ability of ketamine to improve mood rapidly in patients with TRD and to reduce rates of suicidality significantly (Canuso et al, 2018; Daly et al, 2018; Wilkinson et al, 2018). These findings resulted in a 2019 decision by the FDA to approve ketamine for TRD (FDA, 2019a).\nThe effects of ketamine are almost instantaneous. With intravenous injection, the onset of action is ∼30 seconds. With intramuscular or intranasal administration, onset of action is still well <10 minutes. Ketamine is metabolized into its active and major metabolite norketamine in the liver by the enzyme CYP2B6 (Peltoniemi et al, 2016). Approximately 80% of ketamine is demethylated to norketamine, and norketamine is measured in blood plasma within minutes of intravenous ketamine administration (Peltoniemi et al, 2016).\nAt subanesthetic doses, ketamine produces rapid antidepressant effects, within 4 hours of administration (Berman et al, 2000). Doses of ketamine that produced antidepressant effects included 0.2 mg/kg intravenously, 0.25–0.5 mg/kg intramuscularly, and 50 mg intranasally (Abdallah et al, 2015). While single doses of ketamine via intravenous infusion produce rapid antidepressant effects, fear that these effects would not last prompted research into multiple infusions over longer timeframes (Shiroma et al, 2014). Now, the typical procedure is to receive 6 ketamine infusions over a span of several weeks (Blier et al, 2012). In addition to the intravenous route of administration, esketamine (Spravato) has been developed by Janssen Pharmaceuticals as an intranasal formulation (Canuso et al, 2018; Daly et al, 2018). A phase 4 clinical trial examined optimal intranasal dose for sustained antidepressant effects, although the findings are not yet published (clinical trial NCT04599855).\nKetamine is a noncompetitive antagonist at NMDA receptors (Seeburg et al, 1995; Peltoniemi et al, 2016). The NMDA receptors are coincidence detectors, requiring intracellular depolarization to remove the magnesium ions that block the receptor channel pore and prevent ligand binding (Seeburg et al, 1995). Ketamine blocks the channel, thereby inhibiting receptor activation even in the presence of both events. The NMDA receptors are on GABAergic neurons; inhibition leads to disinhibition of dopaminergic neurons and subsequent dopamine and glutamate release and AMPA receptor activation (Sanacora et al, 2008).\nThe antidepressant mechanism of action of ketamine is an area of active research. Hypotheses for the mechanism of action of ketamine involve increased neuroplasticity, increased glutamatergic transmission via AMPA receptors, and increased BDNF (Li et al, 2010; Autry and Monteggia, 2012; Zanos et al, 2018). The general mechanism proposed is that (1) ketamine blocks NMDA receptors on GABAergic neurons leading to (2) a glutamate surge that activates AMPA receptors, resulting in (3) increased BDNF release and mTOR signaling, which increases protein synthesis and AMPA receptor cycling (Li et al, 2010; Abdallah et al, 2015; Suzuki et al, 2017; Kim et al, 2021).\nKetamine crosses the blood–placenta barrier, as shown in animal and human studies (Ellingson et al, 1977; Cheung and Yew, 2019). Ketamine use is not advised during pregnancy and has been shown to produce adverse effects in offspring in animal studies (Cheung and Yew, 2019). In many animal species, ketamine exposure during pregnancy led to neurodegeneration in fetal brains (Cheung and Yew, 2019). Ketamine effects are dose and time dependent, and fetal exposure and development are key mediators of overall ketamine effects (Cheung and Yew, 2019).\nWhile ketamine during pregnancy is not advised, 2 studies have indicated the effectiveness of ketamine in protecting against postpartum depression. A 2021 study examined the effects of using ketamine to induce anesthesia in women receiving a caesarian section (Alipoor et al, 2021). The authors found that a ketamine dose of 0.5 mg/kg protected against postpartum depression and had no effects on baby health as measured by the Apgar scale (Alipoor et al, 2021). A 2024 randomized, double-blind, placebo-controlled study enrolled 364 mothers and randomized them to receive either a 0.2 mg/kg intravenous infusion of esketamine or placebo over the duration of 40 minutes after childbirth (Wang et al, 2024). The authors found a staggering reduction of a major depressive episode occurring (46/180 participants in the placebo group vs 12/180 participants in the esketamine group). The esketamine-treated group had higher incidence of adverse neuropsychiatric events (40/180 participants in the placebo group vs 82/182 in the esketamine group), for example, dizziness, diplopia, and hallucinations, yet the authors highlighted that these incidents were transient, lasted <1 day, and required no drug intervention. Still, the higher frequency of adverse neuropsychiatric events should be viewed with caution, highlighting the need for more rigorous studies to assess the safety of peripartum ketamine administration. With more information emerging about therapeutic doses and dosing regimens of ketamine, it is not implausible that ketamine may be used in the antenatal or postnatal time points.\n\n\n### The dopaminergic system and its targets\nDopamine is a monoamine neurotransmitter, like serotonin and norepinephrine. Dopamine transmission is implicated in mood and anxiety states. Evidence arises from studies on MAOIs, TCAs, mild stimulants, for example, Wellbutrin, Adderall, Ritalin, and drugs of abuse that lead to improved mood, energy, focus, and reduced negative states such as methamphetamine and cocaine, which primarily target dopamine transporter (Farzam et al, 2022). Dopamine cell bodies are located in the substantia nigra and ventral tegmental area, 2 neighboring brain nuclei that have different but overlapping projection profiles (Poulin et al, 2018). Dopaminergic projections target a number of brain regions, including the striatum, amygdala, prefrontal cortex, and hippocampus, and modulate brain processes, including reinforcement learning, reward, and mood (Poulin et al, 2018).\nBupropion (Wellbutrin) use has steadily increased over the last decade. Initially synthesized as an antidepressant, bupropion was also found to aid in smoking cessation and became FDA approved as a therapy for nicotine use disorder. While bupropion initially gained FDA approval in 1985, it was removed from the market owing to fears of increased seizure risks. With more careful dosing guidelines, bupropion was reintroduced, now being used by millions, primarily as an antidepressant (Stahl et al, 2004).\nBupropion is extensively metabolized by liver CYP2B6 to its active metabolite hydroxybupropion (Foley et al, 2006; Deligiannidis et al, 2014). However, bupropion and hydroxybupropion inhibit CYP2D6, resulting in potential drug interactions. To a lesser extent, bupropion is metabolized by CYP2B6 enzymes located in the brain. The distribution of brain CYP2B6 is heterogeneous, leading to brain region-specific effects. For example, CYP2B6 is highly expressed in astrocytes in layer I of the frontal cortex and at the blood–brain interface, suggesting an important role for this enzyme in brain drug penetration and action (Ferguson and Tyndale, 2011).\nBupropion has a high lipid solubility and a low molecular weight leading to almost 100% absorption when taken orally (Foley et al, 2006). Nonetheless, bioavailability is only 5-20%. Low bioavailability has little impact on effectiveness because the active metabolite, hydroxybupropion has equal antidepressant effects to that of bupropion. The half-lives of bupropion and hydroxybupropion are ∼18 and ∼20 hours, respectively. Steady-state concentrations are achieved within 5–7 days of continuous dosing (Foley et al, 2006).\nBupropion is available as IR, sustained-release, and extended-release formulations (Foley et al, 2006). Details of bupropion formulations are summarized in Table 4. Differences in individual responses to bupropion, typically the IR formulation, influence which formulation is prescribed, as the different bupropion formulations have differing onsets of action and half-lives and, thus, durations (Jefferson et al, 2005).Table 4Bupropion formualtions and their properitiesBupropion FormulationDose mgFrequency of IntakeMaximum Recommended Dose mgImmediate-release75 and 1002× daily450Sustained-release100, 150, and 2001–2× daily400Extended-release150 and 3001× daily450\nBupropion formualtions and their properities\nBupropion acts as a reuptake inhibitor at dopamine and norepinephrine transporter (Stahl et al, 2004). Additionally, bupropion is a partial antagonist at nicotinic acetylcholine receptors, specifically α3β4 subunit–containing receptors (Slemmer et al, 2000). Bupropion is mechanistically distinct from SSRIs and SNRIs and, importantly, does not have direct effects on the serotonin system. A 2006 study compared the efficacy of sertraline (SSRI), venlafaxine (SNRI), and bupropion in patients who were treatment resistant to citalopram (SSRI) (Rush et al, 2006). The study concluded that there were no differences in the rates of remission between these 3 groups (Rush et al, 2006). Importantly, this study suggested that intolerance or lack of efficacy of 1 SSRI does not imply intolerance to or lack of efficacy of all SSRIs and that within-class (eg, SSRIs) and out-of-class (eg, SNRIs and bupropion), medication switches are reasonable choices.\nBupropion is commonly prescribed in addition to an SSRI, which seems to reduce sexual dysfunction associated with SSRI use and helps to improve remission rates (Clayton et al, 2004; Zisook et al, 2006). Discontinuation of bupropion generally stems from stimulatory effects, although its discontinuation rate is no different from other second-generation antidepressants, for example, SSRIs (Foley et al, 2006). A clinical study examined the use of sustained-release formulation of bupropion for the treatment of postpartum depression and found bupropion to be well-tolerated (no patients discontinued treatment) and more than half of the patients had improved mood scores (Nonacs et al, 2005). This study only had a small sample size (N = 8), limiting its findings (Nonacs et al, 2005). Currently, only allopregnanolone, a neurosteroid, is specifically (FDA, 2019b) approved for postpartum depression (Walton and Maguire, 2019). Moreover, to the authors knowledge, no study has compared the rates of postpartum depression given antidepressant treatment during pregnancy.\nBupropion and its metabolite hydroxybupropion cross the blood–placenta barrier and are retained in placental tissue (Earhart et al, 2010). Exposure to bupropion did not affect placental viability. Infant exposure via breastmilk is minimal for bupropion, only amounting to ∼2% of the maternal dose (Gentile, 2005a). Bupropion is prescribed during pregnancy and is a category C medication under the FDA classification system (O’Connor et al, 2016). This medication is indicated for antidepressant treatment and to assist with smoking cessation (Earhart et al, 2010).\nA prospective cohort study compared pregnant women exposed to bupropion versus other antidepressants during the first trimester of pregnancy (Chun-Fai-Chan et al, 2005). Bupropion was not associated with increases in congenital malformations, gestational age at birth, or birth weight compared with other antidepressants. A higher rate of spontaneous abortions in the bupropion-exposed group compared with those not exposed to antidepressants was observed. However, like other studies, a limitation is separating whether increases in spontaneous abortions are a result of antidepressant use or underlying affective disorders (Chun-Fai-Chan et al, 2005). Overall, bupropion does not seem to produce teratogenic effects, although more research is needed (Gentile, 2005a).\n\n\n### Bupropion history and statistics on use\nBupropion (Wellbutrin) use has steadily increased over the last decade. Initially synthesized as an antidepressant, bupropion was also found to aid in smoking cessation and became FDA approved as a therapy for nicotine use disorder. While bupropion initially gained FDA approval in 1985, it was removed from the market owing to fears of increased seizure risks. With more careful dosing guidelines, bupropion was reintroduced, now being used by millions, primarily as an antidepressant (Stahl et al, 2004).\n\n\n### Pharmacokinetics\nBupropion is extensively metabolized by liver CYP2B6 to its active metabolite hydroxybupropion (Foley et al, 2006; Deligiannidis et al, 2014). However, bupropion and hydroxybupropion inhibit CYP2D6, resulting in potential drug interactions. To a lesser extent, bupropion is metabolized by CYP2B6 enzymes located in the brain. The distribution of brain CYP2B6 is heterogeneous, leading to brain region-specific effects. For example, CYP2B6 is highly expressed in astrocytes in layer I of the frontal cortex and at the blood–brain interface, suggesting an important role for this enzyme in brain drug penetration and action (Ferguson and Tyndale, 2011).\nBupropion has a high lipid solubility and a low molecular weight leading to almost 100% absorption when taken orally (Foley et al, 2006). Nonetheless, bioavailability is only 5-20%. Low bioavailability has little impact on effectiveness because the active metabolite, hydroxybupropion has equal antidepressant effects to that of bupropion. The half-lives of bupropion and hydroxybupropion are ∼18 and ∼20 hours, respectively. Steady-state concentrations are achieved within 5–7 days of continuous dosing (Foley et al, 2006).\nBupropion is available as IR, sustained-release, and extended-release formulations (Foley et al, 2006). Details of bupropion formulations are summarized in Table 4. Differences in individual responses to bupropion, typically the IR formulation, influence which formulation is prescribed, as the different bupropion formulations have differing onsets of action and half-lives and, thus, durations (Jefferson et al, 2005).Table 4Bupropion formualtions and their properitiesBupropion FormulationDose mgFrequency of IntakeMaximum Recommended Dose mgImmediate-release75 and 1002× daily450Sustained-release100, 150, and 2001–2× daily400Extended-release150 and 3001× daily450\nBupropion formualtions and their properities\n\n\n### Pharmacodynamics\nBupropion acts as a reuptake inhibitor at dopamine and norepinephrine transporter (Stahl et al, 2004). Additionally, bupropion is a partial antagonist at nicotinic acetylcholine receptors, specifically α3β4 subunit–containing receptors (Slemmer et al, 2000). Bupropion is mechanistically distinct from SSRIs and SNRIs and, importantly, does not have direct effects on the serotonin system. A 2006 study compared the efficacy of sertraline (SSRI), venlafaxine (SNRI), and bupropion in patients who were treatment resistant to citalopram (SSRI) (Rush et al, 2006). The study concluded that there were no differences in the rates of remission between these 3 groups (Rush et al, 2006). Importantly, this study suggested that intolerance or lack of efficacy of 1 SSRI does not imply intolerance to or lack of efficacy of all SSRIs and that within-class (eg, SSRIs) and out-of-class (eg, SNRIs and bupropion), medication switches are reasonable choices.\nBupropion is commonly prescribed in addition to an SSRI, which seems to reduce sexual dysfunction associated with SSRI use and helps to improve remission rates (Clayton et al, 2004; Zisook et al, 2006). Discontinuation of bupropion generally stems from stimulatory effects, although its discontinuation rate is no different from other second-generation antidepressants, for example, SSRIs (Foley et al, 2006). A clinical study examined the use of sustained-release formulation of bupropion for the treatment of postpartum depression and found bupropion to be well-tolerated (no patients discontinued treatment) and more than half of the patients had improved mood scores (Nonacs et al, 2005). This study only had a small sample size (N = 8), limiting its findings (Nonacs et al, 2005). Currently, only allopregnanolone, a neurosteroid, is specifically (FDA, 2019b) approved for postpartum depression (Walton and Maguire, 2019). Moreover, to the authors knowledge, no study has compared the rates of postpartum depression given antidepressant treatment during pregnancy.\n\n\n### Fetal exposure and risk associated with perinatal bupropion exposure\nBupropion and its metabolite hydroxybupropion cross the blood–placenta barrier and are retained in placental tissue (Earhart et al, 2010). Exposure to bupropion did not affect placental viability. Infant exposure via breastmilk is minimal for bupropion, only amounting to ∼2% of the maternal dose (Gentile, 2005a). Bupropion is prescribed during pregnancy and is a category C medication under the FDA classification system (O’Connor et al, 2016). This medication is indicated for antidepressant treatment and to assist with smoking cessation (Earhart et al, 2010).\nA prospective cohort study compared pregnant women exposed to bupropion versus other antidepressants during the first trimester of pregnancy (Chun-Fai-Chan et al, 2005). Bupropion was not associated with increases in congenital malformations, gestational age at birth, or birth weight compared with other antidepressants. A higher rate of spontaneous abortions in the bupropion-exposed group compared with those not exposed to antidepressants was observed. However, like other studies, a limitation is separating whether increases in spontaneous abortions are a result of antidepressant use or underlying affective disorders (Chun-Fai-Chan et al, 2005). Overall, bupropion does not seem to produce teratogenic effects, although more research is needed (Gentile, 2005a).\n\n\n### Glutamatergic system and its targets\nGlutamate is the most abundant neurotransmitter in the central nervous system. Glutamate transmission is important in synaptogenesis, functional connectivity between brain regions, and homeostasis (Sanacora et al, 2008). Key glutamatergic receptors include the NMDA and α-amino-3-hydroxy-5-methyl-4-isoxazolepropionic acid (AMPA) receptors, which are inotropic ligand-gated receptors, and metabotropic receptors—for example, mGLUR5—which are emerging as new therapeutic targets (Terbeck et al, 2015).\nGlutamate is a nonessential amino acid and is required for the synthesis of the oppositional inhibitory neurotransmitter GABA. Termination of glutamate transmission requires glial reuptake, as opposed to reuptake via presynaptic neurons. These properties distinguish the glutamatergic system from the previously discussed monoamine systems (Sanacora et al, 2008; Rowley et al, 2012).\nAtypical antidepressants have emerged most recently. In 2019, ketamine was FDA approved for TRD. The use of ketamine implicates neurotransmitter systems, in addition to the monoamines, in the treatment of depression and anxiety (FDA, 2019a). Ketamine was synthesized in 1962 by Calvin Stevens and gained FDA approval for human use as an anesthetic in 1970 (Jansen, 2000). Soon after, ketamine appeared on the illicit drug market and became widely abused. By the mid-1980s, ketamine became linked to “dance culture” and was used in a variety of social settings (Jansen and Darracot-Cankovic, 2001). In 2013 and 2016, esketamine, the (S)-enantiomer of ketamine, received the status of Breakthrough Therapy Designation for TRD and major depressive disorder. In 2018, a number of studies were published showcasing the ability of ketamine to improve mood rapidly in patients with TRD and to reduce rates of suicidality significantly (Canuso et al, 2018; Daly et al, 2018; Wilkinson et al, 2018). These findings resulted in a 2019 decision by the FDA to approve ketamine for TRD (FDA, 2019a).\nThe effects of ketamine are almost instantaneous. With intravenous injection, the onset of action is ∼30 seconds. With intramuscular or intranasal administration, onset of action is still well <10 minutes. Ketamine is metabolized into its active and major metabolite norketamine in the liver by the enzyme CYP2B6 (Peltoniemi et al, 2016). Approximately 80% of ketamine is demethylated to norketamine, and norketamine is measured in blood plasma within minutes of intravenous ketamine administration (Peltoniemi et al, 2016).\nAt subanesthetic doses, ketamine produces rapid antidepressant effects, within 4 hours of administration (Berman et al, 2000). Doses of ketamine that produced antidepressant effects included 0.2 mg/kg intravenously, 0.25–0.5 mg/kg intramuscularly, and 50 mg intranasally (Abdallah et al, 2015). While single doses of ketamine via intravenous infusion produce rapid antidepressant effects, fear that these effects would not last prompted research into multiple infusions over longer timeframes (Shiroma et al, 2014). Now, the typical procedure is to receive 6 ketamine infusions over a span of several weeks (Blier et al, 2012). In addition to the intravenous route of administration, esketamine (Spravato) has been developed by Janssen Pharmaceuticals as an intranasal formulation (Canuso et al, 2018; Daly et al, 2018). A phase 4 clinical trial examined optimal intranasal dose for sustained antidepressant effects, although the findings are not yet published (clinical trial NCT04599855).\nKetamine is a noncompetitive antagonist at NMDA receptors (Seeburg et al, 1995; Peltoniemi et al, 2016). The NMDA receptors are coincidence detectors, requiring intracellular depolarization to remove the magnesium ions that block the receptor channel pore and prevent ligand binding (Seeburg et al, 1995). Ketamine blocks the channel, thereby inhibiting receptor activation even in the presence of both events. The NMDA receptors are on GABAergic neurons; inhibition leads to disinhibition of dopaminergic neurons and subsequent dopamine and glutamate release and AMPA receptor activation (Sanacora et al, 2008).\nThe antidepressant mechanism of action of ketamine is an area of active research. Hypotheses for the mechanism of action of ketamine involve increased neuroplasticity, increased glutamatergic transmission via AMPA receptors, and increased BDNF (Li et al, 2010; Autry and Monteggia, 2012; Zanos et al, 2018). The general mechanism proposed is that (1) ketamine blocks NMDA receptors on GABAergic neurons leading to (2) a glutamate surge that activates AMPA receptors, resulting in (3) increased BDNF release and mTOR signaling, which increases protein synthesis and AMPA receptor cycling (Li et al, 2010; Abdallah et al, 2015; Suzuki et al, 2017; Kim et al, 2021).\nKetamine crosses the blood–placenta barrier, as shown in animal and human studies (Ellingson et al, 1977; Cheung and Yew, 2019). Ketamine use is not advised during pregnancy and has been shown to produce adverse effects in offspring in animal studies (Cheung and Yew, 2019). In many animal species, ketamine exposure during pregnancy led to neurodegeneration in fetal brains (Cheung and Yew, 2019). Ketamine effects are dose and time dependent, and fetal exposure and development are key mediators of overall ketamine effects (Cheung and Yew, 2019).\nWhile ketamine during pregnancy is not advised, 2 studies have indicated the effectiveness of ketamine in protecting against postpartum depression. A 2021 study examined the effects of using ketamine to induce anesthesia in women receiving a caesarian section (Alipoor et al, 2021). The authors found that a ketamine dose of 0.5 mg/kg protected against postpartum depression and had no effects on baby health as measured by the Apgar scale (Alipoor et al, 2021). A 2024 randomized, double-blind, placebo-controlled study enrolled 364 mothers and randomized them to receive either a 0.2 mg/kg intravenous infusion of esketamine or placebo over the duration of 40 minutes after childbirth (Wang et al, 2024). The authors found a staggering reduction of a major depressive episode occurring (46/180 participants in the placebo group vs 12/180 participants in the esketamine group). The esketamine-treated group had higher incidence of adverse neuropsychiatric events (40/180 participants in the placebo group vs 82/182 in the esketamine group), for example, dizziness, diplopia, and hallucinations, yet the authors highlighted that these incidents were transient, lasted <1 day, and required no drug intervention. Still, the higher frequency of adverse neuropsychiatric events should be viewed with caution, highlighting the need for more rigorous studies to assess the safety of peripartum ketamine administration. With more information emerging about therapeutic doses and dosing regimens of ketamine, it is not implausible that ketamine may be used in the antenatal or postnatal time points.\n\n\n### Ketamine history and statistics on use\nAtypical antidepressants have emerged most recently. In 2019, ketamine was FDA approved for TRD. The use of ketamine implicates neurotransmitter systems, in addition to the monoamines, in the treatment of depression and anxiety (FDA, 2019a). Ketamine was synthesized in 1962 by Calvin Stevens and gained FDA approval for human use as an anesthetic in 1970 (Jansen, 2000). Soon after, ketamine appeared on the illicit drug market and became widely abused. By the mid-1980s, ketamine became linked to “dance culture” and was used in a variety of social settings (Jansen and Darracot-Cankovic, 2001). In 2013 and 2016, esketamine, the (S)-enantiomer of ketamine, received the status of Breakthrough Therapy Designation for TRD and major depressive disorder. In 2018, a number of studies were published showcasing the ability of ketamine to improve mood rapidly in patients with TRD and to reduce rates of suicidality significantly (Canuso et al, 2018; Daly et al, 2018; Wilkinson et al, 2018). These findings resulted in a 2019 decision by the FDA to approve ketamine for TRD (FDA, 2019a).\n\n\n### Pharmacokinetics\nThe effects of ketamine are almost instantaneous. With intravenous injection, the onset of action is ∼30 seconds. With intramuscular or intranasal administration, onset of action is still well <10 minutes. Ketamine is metabolized into its active and major metabolite norketamine in the liver by the enzyme CYP2B6 (Peltoniemi et al, 2016). Approximately 80% of ketamine is demethylated to norketamine, and norketamine is measured in blood plasma within minutes of intravenous ketamine administration (Peltoniemi et al, 2016).\nAt subanesthetic doses, ketamine produces rapid antidepressant effects, within 4 hours of administration (Berman et al, 2000). Doses of ketamine that produced antidepressant effects included 0.2 mg/kg intravenously, 0.25–0.5 mg/kg intramuscularly, and 50 mg intranasally (Abdallah et al, 2015). While single doses of ketamine via intravenous infusion produce rapid antidepressant effects, fear that these effects would not last prompted research into multiple infusions over longer timeframes (Shiroma et al, 2014). Now, the typical procedure is to receive 6 ketamine infusions over a span of several weeks (Blier et al, 2012). In addition to the intravenous route of administration, esketamine (Spravato) has been developed by Janssen Pharmaceuticals as an intranasal formulation (Canuso et al, 2018; Daly et al, 2018). A phase 4 clinical trial examined optimal intranasal dose for sustained antidepressant effects, although the findings are not yet published (clinical trial NCT04599855).\n\n\n### Pharmacodynamics\nKetamine is a noncompetitive antagonist at NMDA receptors (Seeburg et al, 1995; Peltoniemi et al, 2016). The NMDA receptors are coincidence detectors, requiring intracellular depolarization to remove the magnesium ions that block the receptor channel pore and prevent ligand binding (Seeburg et al, 1995). Ketamine blocks the channel, thereby inhibiting receptor activation even in the presence of both events. The NMDA receptors are on GABAergic neurons; inhibition leads to disinhibition of dopaminergic neurons and subsequent dopamine and glutamate release and AMPA receptor activation (Sanacora et al, 2008).\nThe antidepressant mechanism of action of ketamine is an area of active research. Hypotheses for the mechanism of action of ketamine involve increased neuroplasticity, increased glutamatergic transmission via AMPA receptors, and increased BDNF (Li et al, 2010; Autry and Monteggia, 2012; Zanos et al, 2018). The general mechanism proposed is that (1) ketamine blocks NMDA receptors on GABAergic neurons leading to (2) a glutamate surge that activates AMPA receptors, resulting in (3) increased BDNF release and mTOR signaling, which increases protein synthesis and AMPA receptor cycling (Li et al, 2010; Abdallah et al, 2015; Suzuki et al, 2017; Kim et al, 2021).\n\n\n### Fetal exposure and risks associated with perinatal drug exposure\nKetamine crosses the blood–placenta barrier, as shown in animal and human studies (Ellingson et al, 1977; Cheung and Yew, 2019). Ketamine use is not advised during pregnancy and has been shown to produce adverse effects in offspring in animal studies (Cheung and Yew, 2019). In many animal species, ketamine exposure during pregnancy led to neurodegeneration in fetal brains (Cheung and Yew, 2019). Ketamine effects are dose and time dependent, and fetal exposure and development are key mediators of overall ketamine effects (Cheung and Yew, 2019).\nWhile ketamine during pregnancy is not advised, 2 studies have indicated the effectiveness of ketamine in protecting against postpartum depression. A 2021 study examined the effects of using ketamine to induce anesthesia in women receiving a caesarian section (Alipoor et al, 2021). The authors found that a ketamine dose of 0.5 mg/kg protected against postpartum depression and had no effects on baby health as measured by the Apgar scale (Alipoor et al, 2021). A 2024 randomized, double-blind, placebo-controlled study enrolled 364 mothers and randomized them to receive either a 0.2 mg/kg intravenous infusion of esketamine or placebo over the duration of 40 minutes after childbirth (Wang et al, 2024). The authors found a staggering reduction of a major depressive episode occurring (46/180 participants in the placebo group vs 12/180 participants in the esketamine group). The esketamine-treated group had higher incidence of adverse neuropsychiatric events (40/180 participants in the placebo group vs 82/182 in the esketamine group), for example, dizziness, diplopia, and hallucinations, yet the authors highlighted that these incidents were transient, lasted <1 day, and required no drug intervention. Still, the higher frequency of adverse neuropsychiatric events should be viewed with caution, highlighting the need for more rigorous studies to assess the safety of peripartum ketamine administration. With more information emerging about therapeutic doses and dosing regimens of ketamine, it is not implausible that ketamine may be used in the antenatal or postnatal time points.\n\n\n### Rebranding old drugs for new uses: psychedelics and κ opioid receptor antagonists\nMany new classes of therapeutics are being developed for antidepressant treatment (see Witkin et al, 2023, for extensive review). Two additional classes of therapeutics that have promising data to support their use as antidepressants are psychedelics and κ receptor antagonists. Many studies highlight their potential therapeutic value, which when coupled with their low abuse potential, making these types of drugs highly desirable medications. Psychedelics bring the focus back on the serotonin system. However, instead of working as indirect agonists, for example, like SSRIs, these drugs are agonists at serotonin receptors, particularly 5HT2A receptors. κ-Opioid antagonists, as their name suggests, block KORs, potentially reducing dysphoric symptoms.\nPsychedelics, colloquially referred to as hallucinogens, are a class of drugs that induce feelings of euphoria, connectedness, and perceptual alterations, with little-to-no abuse potential (Heal et al, 2018). In the 1960s and 1970s, psychedelics were criminalized and still have Drug Enforcement Agency (DEA) schedule I designations, making them difficult to study (Baumeister et al, 2014; Vollenweider and Preller, 2020). Criminalizing psychedelics occurred in response to the antiwar, antiestablishment, hippie movement of the 1970s (Holoyda, 2020). Psychedelics include psilocin, the active compound in psilocybin, N,N-dimethyltryptamine, lysergic acid diethylamide, and mescaline (McClure-Begley and Roth, 2022).\nWhile the mechanisms of action of psychedelics differ from SSRIs, both drug classes are agonists at 5HT2A receptors (Baumeister et al, 2014). Recently, Vargas et al (2023) showed that activation of 5HT2A receptors is necessary for the neuroplastic effects of psychedelics. Psychedelics target other receptors as well, including most of the serotonin receptors, all dopamine receptors, and norepinephrine receptors (McClure-Begley and Roth, 2022). Importantly, the psychedelic properties of these drugs are the result of biased agonism, and they display brain region specificity (Vollenweider and Preller, 2020; McClure-Begley and Roth, 2022) because not all drugs that target 5HT2A receptors produce hallucinations (Pottie et al, 2020).\nLimited clinical studies have been carried out on psychedelics because of their DEA scheduling. Yet, promising evidence from studies on psilocybin and lysergic acid diethylamide in treating psychiatric disorders such as anorexia nervosa and depression have recently emerged (Tullis, 2021). Long-term effects of microdosing psychedelics are not yet known, nor has safety during pregnancy been systematically assessed (McClure-Begley and Roth, 2022). Thus, pushes for revised scheduling from the DEA and increased research regarding the long-term effects of these drugs are expected to impact their use as antidepressants and anxiolytics. Moreover, efforts to synthesize nonhallucinogenic drugs that produce the neuroplastic effects of psychedelics are on the rise (Cameron et al, 2021). The hypothesized mechanisms of the therapeutic effects of psychedelics are that they enhance synaptic and neuroplasticity, discussed subsequently (McClure-Begley and Roth, 2022).\nThe KORs are important in the stress system, and stress is one of the biggest risk factors for the development of mood and anxiety disorders (Li et al, 2016). In vivo rodent studies highlight the antidepressant effects of KOR antagonists (Lalanne et al, 2014). In the 1980s, U50488, a KOR agonist, was used in clinical trials as a potential therapeutic, but these trials were quickly terminated owing to the dose-dependent dysphoria induced by U50488. Because KOR agonists induce dysphoric effects and KOR antagonists improve mood, KOR antagonists are of particular interest in depressive disorders, particularly, in cases where dysphoria is a core symptom.\nThe potential use of KOR antagonists as antidepressants is highlighted in the success of buprenorphine in managing TRD (Karp et al, 2014; Stanciu et al, 2017). Buprenorphine, a drug also used in the treatment of opioid use disorder, is a partial agonist at μ-opioid receptors and an antagonist at KORs (Leander, 1988; Lutfy and Cowan, 2004). This dual mechanism of action pointed to κ receptors as being important in relieving aversive states associated with withdrawal (Leander, 1988). Based on the success of buprenorphine, the biopharmaceutical company Alkermes developed ALKS 5461, a 1:1 combination of buprenorphine and samidorphan (a potent μ-opioid receptor antagonist), for TRD (Li et al, 2016). The FDA gave fast track designation to ALKS 5461 in 2013. However, ALKS 5461 failed to meet primary efficacy endpoints in 2016 and again in 2018 (Peckham et al, 2018). During a similar time, a selective KOR antagonist, aticrapant (LY-2456302 and JNJ-67953964) showed safety, tolerability, and minimal drug interactions (Lowe et al, 2014; Rorick-Kehn et al, 2014). Owing to the limited effectiveness of currently available medications for treating mood and anxiety spectrum disorders and the need for new treatments, the National Institutes for Mental Health initiated a “fast-fail” approach by incorporating a biomarker-based proof of concept in phase IIa clinical trials. Using this strategy, Krystal et al (2020) conducted an 8-week double-blind, placebo-controlled, randomized trial that assessed the effectiveness of aticrapant within 6 academic centers. The KOR antagonism led to positive outcomes in the primary endpoint of changes in ventral striatal activation and improvement in measures of anhedonia, but did not improve broad measures of depression (HAM-D) or anxiety (HAM-A). However, this study inspired further clinical trials, and Schmidt et al (2024) recently reported positive outcomes with significantly reduced depressive symptoms associated with aticrapant as an adjunct therapy, compared with placebo, in patients with major mood disorder who had inadequate response to oral SSRI/SNRI alone. Thus, while KOR antagonists appear promising, further research is needed regarding specific mechanisms of action, including an extensive study of affinity and off-target effects. All medication classes discussed are summarized in Fig. 2 and Table 5.Fig. 2Endogenous targets for pharmacotherapeutics. The SSRIs, SNRIs, and bupropion target plasma membrane transporters. Ketamine targets the ligand-gated ion channel NMDA. Promising therapeutics: psychedelics and KOR antagonists, target 5HT2A and KORs, respectively. All medications described have other molecular targets that may contribute to their effects. DAT, dopamine.Table 5Pharmacodynamic summary of antidepressant drug classesDrugs in categories A and B show minimal or no fetal risks in well-controlled clinical and preclinical studies. Drugs in categories C and D show some documented fetal risk associated with their use, but their benefits may outweigh their risks. Drugs in category X should not be used during pregnancy because their benefits are outweighed by their risks.MedicationMechanism of ActionFDA Pregnancy CategorySSRIsBlock serotonin reuptake via SERT inhibition; indirect agonists at serotonin receptorsC for all except D for paroxetineSNRIsBlock serotonin and norepinephrine reuptake via SERT and NET inhibition, respectively; indirect agonists at serotonin and norepinephrine receptorsC for allBupropionBlocks NET and dopamine transporter; antagonist at nicotinic acetylcholine receptorsCKetamineCompetitive antagonist at NMDA receptorsNAPsychedelicsAgonists at 5HT2A receptorsNAκ-AntagonistsAntagonists at κ opioid receptorsNANA, not applicable.\nEndogenous targets for pharmacotherapeutics. The SSRIs, SNRIs, and bupropion target plasma membrane transporters. Ketamine targets the ligand-gated ion channel NMDA. Promising therapeutics: psychedelics and KOR antagonists, target 5HT2A and KORs, respectively. All medications described have other molecular targets that may contribute to their effects. DAT, dopamine.\nPharmacodynamic summary of antidepressant drug classes\nDrugs in categories A and B show minimal or no fetal risks in well-controlled clinical and preclinical studies. Drugs in categories C and D show some documented fetal risk associated with their use, but their benefits may outweigh their risks. Drugs in category X should not be used during pregnancy because their benefits are outweighed by their risks.\nNA, not applicable.\n\n\n### Psychedelics\nPsychedelics, colloquially referred to as hallucinogens, are a class of drugs that induce feelings of euphoria, connectedness, and perceptual alterations, with little-to-no abuse potential (Heal et al, 2018). In the 1960s and 1970s, psychedelics were criminalized and still have Drug Enforcement Agency (DEA) schedule I designations, making them difficult to study (Baumeister et al, 2014; Vollenweider and Preller, 2020). Criminalizing psychedelics occurred in response to the antiwar, antiestablishment, hippie movement of the 1970s (Holoyda, 2020). Psychedelics include psilocin, the active compound in psilocybin, N,N-dimethyltryptamine, lysergic acid diethylamide, and mescaline (McClure-Begley and Roth, 2022).\nWhile the mechanisms of action of psychedelics differ from SSRIs, both drug classes are agonists at 5HT2A receptors (Baumeister et al, 2014). Recently, Vargas et al (2023) showed that activation of 5HT2A receptors is necessary for the neuroplastic effects of psychedelics. Psychedelics target other receptors as well, including most of the serotonin receptors, all dopamine receptors, and norepinephrine receptors (McClure-Begley and Roth, 2022). Importantly, the psychedelic properties of these drugs are the result of biased agonism, and they display brain region specificity (Vollenweider and Preller, 2020; McClure-Begley and Roth, 2022) because not all drugs that target 5HT2A receptors produce hallucinations (Pottie et al, 2020).\nLimited clinical studies have been carried out on psychedelics because of their DEA scheduling. Yet, promising evidence from studies on psilocybin and lysergic acid diethylamide in treating psychiatric disorders such as anorexia nervosa and depression have recently emerged (Tullis, 2021). Long-term effects of microdosing psychedelics are not yet known, nor has safety during pregnancy been systematically assessed (McClure-Begley and Roth, 2022). Thus, pushes for revised scheduling from the DEA and increased research regarding the long-term effects of these drugs are expected to impact their use as antidepressants and anxiolytics. Moreover, efforts to synthesize nonhallucinogenic drugs that produce the neuroplastic effects of psychedelics are on the rise (Cameron et al, 2021). The hypothesized mechanisms of the therapeutic effects of psychedelics are that they enhance synaptic and neuroplasticity, discussed subsequently (McClure-Begley and Roth, 2022).\n\n\n### κ-Opioid receptor antagonists\nThe KORs are important in the stress system, and stress is one of the biggest risk factors for the development of mood and anxiety disorders (Li et al, 2016). In vivo rodent studies highlight the antidepressant effects of KOR antagonists (Lalanne et al, 2014). In the 1980s, U50488, a KOR agonist, was used in clinical trials as a potential therapeutic, but these trials were quickly terminated owing to the dose-dependent dysphoria induced by U50488. Because KOR agonists induce dysphoric effects and KOR antagonists improve mood, KOR antagonists are of particular interest in depressive disorders, particularly, in cases where dysphoria is a core symptom.\nThe potential use of KOR antagonists as antidepressants is highlighted in the success of buprenorphine in managing TRD (Karp et al, 2014; Stanciu et al, 2017). Buprenorphine, a drug also used in the treatment of opioid use disorder, is a partial agonist at μ-opioid receptors and an antagonist at KORs (Leander, 1988; Lutfy and Cowan, 2004). This dual mechanism of action pointed to κ receptors as being important in relieving aversive states associated with withdrawal (Leander, 1988). Based on the success of buprenorphine, the biopharmaceutical company Alkermes developed ALKS 5461, a 1:1 combination of buprenorphine and samidorphan (a potent μ-opioid receptor antagonist), for TRD (Li et al, 2016). The FDA gave fast track designation to ALKS 5461 in 2013. However, ALKS 5461 failed to meet primary efficacy endpoints in 2016 and again in 2018 (Peckham et al, 2018). During a similar time, a selective KOR antagonist, aticrapant (LY-2456302 and JNJ-67953964) showed safety, tolerability, and minimal drug interactions (Lowe et al, 2014; Rorick-Kehn et al, 2014). Owing to the limited effectiveness of currently available medications for treating mood and anxiety spectrum disorders and the need for new treatments, the National Institutes for Mental Health initiated a “fast-fail” approach by incorporating a biomarker-based proof of concept in phase IIa clinical trials. Using this strategy, Krystal et al (2020) conducted an 8-week double-blind, placebo-controlled, randomized trial that assessed the effectiveness of aticrapant within 6 academic centers. The KOR antagonism led to positive outcomes in the primary endpoint of changes in ventral striatal activation and improvement in measures of anhedonia, but did not improve broad measures of depression (HAM-D) or anxiety (HAM-A). However, this study inspired further clinical trials, and Schmidt et al (2024) recently reported positive outcomes with significantly reduced depressive symptoms associated with aticrapant as an adjunct therapy, compared with placebo, in patients with major mood disorder who had inadequate response to oral SSRI/SNRI alone. Thus, while KOR antagonists appear promising, further research is needed regarding specific mechanisms of action, including an extensive study of affinity and off-target effects. All medication classes discussed are summarized in Fig. 2 and Table 5.Fig. 2Endogenous targets for pharmacotherapeutics. The SSRIs, SNRIs, and bupropion target plasma membrane transporters. Ketamine targets the ligand-gated ion channel NMDA. Promising therapeutics: psychedelics and KOR antagonists, target 5HT2A and KORs, respectively. All medications described have other molecular targets that may contribute to their effects. DAT, dopamine.Table 5Pharmacodynamic summary of antidepressant drug classesDrugs in categories A and B show minimal or no fetal risks in well-controlled clinical and preclinical studies. Drugs in categories C and D show some documented fetal risk associated with their use, but their benefits may outweigh their risks. Drugs in category X should not be used during pregnancy because their benefits are outweighed by their risks.MedicationMechanism of ActionFDA Pregnancy CategorySSRIsBlock serotonin reuptake via SERT inhibition; indirect agonists at serotonin receptorsC for all except D for paroxetineSNRIsBlock serotonin and norepinephrine reuptake via SERT and NET inhibition, respectively; indirect agonists at serotonin and norepinephrine receptorsC for allBupropionBlocks NET and dopamine transporter; antagonist at nicotinic acetylcholine receptorsCKetamineCompetitive antagonist at NMDA receptorsNAPsychedelicsAgonists at 5HT2A receptorsNAκ-AntagonistsAntagonists at κ opioid receptorsNANA, not applicable.\nEndogenous targets for pharmacotherapeutics. The SSRIs, SNRIs, and bupropion target plasma membrane transporters. Ketamine targets the ligand-gated ion channel NMDA. Promising therapeutics: psychedelics and KOR antagonists, target 5HT2A and KORs, respectively. All medications described have other molecular targets that may contribute to their effects. DAT, dopamine.\nPharmacodynamic summary of antidepressant drug classes\nDrugs in categories A and B show minimal or no fetal risks in well-controlled clinical and preclinical studies. Drugs in categories C and D show some documented fetal risk associated with their use, but their benefits may outweigh their risks. Drugs in category X should not be used during pregnancy because their benefits are outweighed by their risks.\nNA, not applicable.\n\n\n### Beyond molecular targets: shared neurobiological mechanisms of antidepressants\nMany of the classical antidepressants, including SSRIs, SNRIs, and TCAs, work at the level of blocking the reuptake of monoamines. As previously described, reuptake inhibition happens rapidly, yet the therapeutic effects of the SSRIs and SNRIs take weeks to months to develop. Thus, while identifying proximal molecular targets are important for understanding antidepressant mechanisms of action, the delayed onset implicates downstream mechanisms of action, that is, compensatory or homeostatic processes, which must be considered to determine more fully how these therapeutics work (Liu et al, 2017).\nAntidepressant treatments come in many forms. Pharmacotherapeutics, psychotherapies, and stimulation techniques, for example, ECT, transcranial magnetic stimulation, vagus nerve stimulation, and deep brain stimulation, all provide therapeutic effects. Importantly, while proximal mechanisms differ significantly across treatment modalities and drug classes, all antidepressant treatments cause structural and functional neuroadaptation, processes that underlie neuroplasticity (Pittenger and Duman, 2008; Voss et al, 2017). Important factors that contribute to neuroplasticity include BDNF (and possibly other trophic factors, eg, vascular endothelial growth factor) and synaptogenesis.\nBDNF is a key mediator of the effects of SSRIs and ketamine, a newly approved antidepressant medication (Bjorkholm and Monteggia, 2016). This growth factor has many roles in the central nervous system, including the regulation of neuronal maturation and synaptic plasticity. Many studies have shown that chronic stress, a key factor for the development of neuropsychiatric disorders, reduces BDNF production in specific brain regions, for example, hippocampus (McEwen, 1999; Vyas et al, 2003; Govindarajan et al, 2006; Martinowich and Lu, 2008; Pittenger and Duman, 2008). Reduced BDNF leads to reduced serotonergic innervation of the hippocampus (Luellen et al, 2007). In contrast, the therapeutic effects of SSRIs depend on increases in hippocampal and cortical BDNF expression (Bjorkholm and Monteggia, 2016). Furthermore, ketamine, which rapidly produces therapeutic effects, transiently increases BDNF in the hippocampus (Abdallah et al, 2015). Thus, BDNF appears to be a key mediator in both the dysfunction produced by stress and the therapeutic effects produced by antidepressants. The effects of BDNF are not limited to pharmacotherapeutics. Both electroconvulsive therapy and other stimulation techniques also result in increases in BDNF production (Bocchio-Chiavetto et al, 2006; Wang et al, 2011).\nOne of the downstream effects of increased BDNF signaling is increased hippocampal neurogenesis. Postmortem and brain imaging studies have found atrophy and neuronal loss in the prefrontal cortex and hippocampus of depressed or anxious patients (Shah et al, 1998). Studies also show that stress decreases the rates of hippocampal neurogenesis, whereas chronic SSRI use increases neurogenesis (Santarelli et al, 2003; Sachs and Caron, 2014). Taken together, these data suggest that increased BDNF signaling is needed for SSRI efficacy, wherein hippocampal neurogenesis is facilitated (Numakawa et al, 2017). In fact, a current clinical trial is examining the use of BDNF gene therapy for early Alzheimer disease and mild cognitive impairment; the study is set to be completed in 2027 (clinical trial NCT05040217).\nThe therapeutic effects of antidepressants may either be neurogenesis dependent or independent (David et al, 2009). While many studies have shown that neurogenesis is important for SSRI efficacy, the birth of new neurons in adult mammals only occurs in the subventricular zone of the rostral migratory stream and in the subgranular zone of the hippocampal dentate gyrus. Moreover, adult neurogenesis occurs at low rates in primates and decreases with age.\nThe process by which existing neurons form new synaptic connections is known as synaptogenesis. Neuroplasticity is the subsequent strengthening (or weakening) of existing connections. The number of dendritic spines and synaptic connections is downregulated by stress in the hippocampus, which is mediated, in part, by brain glucocorticoids (McEwen, 1999). In a study, Bessa et al (2009) showed that the therapeutic effects of antidepressants were mediated via neuronal remodeling even when neurogenesis was blocked. Thus, the downstream effects of BDNF on synaptogenesis and synaptic plasticity in regions beyond (and including) the hippocampus, for example, prefrontal cortex and amygdala, are needed for the therapeutic effects of antidepressant pharmacotherapies and other modalities (Pirnia et al, 2016).\nTwo global changes that occur in mood and anxiety disorders are increased neuroinflammation and dysfunctional HPA axis signaling (Taylor et al, 2005; Massart et al, 2012). Increased neuroinflammation and dysfunctional HPA axis signaling could be used as biomarkers, which would allow for tangible monitoring of mood and anxiety disorders, although more research is needed (Kennis et al, 2020). During pregnancy, levels of cortisol, BDNF, and neuroinflammatory markers all change, leading to complexities in terms of using these biomarkers perinatally (Mastorakos and Ilias, 2003; Christian et al, 2016; Bränn et al, 2019). Altogether, the etiology of mood and anxiety disorders appears to be multifactorial and presumably attributed to a number of different maladaptive changes that occur in the brain. Future efforts to understand the relationships between these factors will contribute to a holistic understanding of mood and anxiety disorders that may pave the way for new therapeutics.\n\n\n### Brain-derived neurotrophic factor\nBDNF is a key mediator of the effects of SSRIs and ketamine, a newly approved antidepressant medication (Bjorkholm and Monteggia, 2016). This growth factor has many roles in the central nervous system, including the regulation of neuronal maturation and synaptic plasticity. Many studies have shown that chronic stress, a key factor for the development of neuropsychiatric disorders, reduces BDNF production in specific brain regions, for example, hippocampus (McEwen, 1999; Vyas et al, 2003; Govindarajan et al, 2006; Martinowich and Lu, 2008; Pittenger and Duman, 2008). Reduced BDNF leads to reduced serotonergic innervation of the hippocampus (Luellen et al, 2007). In contrast, the therapeutic effects of SSRIs depend on increases in hippocampal and cortical BDNF expression (Bjorkholm and Monteggia, 2016). Furthermore, ketamine, which rapidly produces therapeutic effects, transiently increases BDNF in the hippocampus (Abdallah et al, 2015). Thus, BDNF appears to be a key mediator in both the dysfunction produced by stress and the therapeutic effects produced by antidepressants. The effects of BDNF are not limited to pharmacotherapeutics. Both electroconvulsive therapy and other stimulation techniques also result in increases in BDNF production (Bocchio-Chiavetto et al, 2006; Wang et al, 2011).\nOne of the downstream effects of increased BDNF signaling is increased hippocampal neurogenesis. Postmortem and brain imaging studies have found atrophy and neuronal loss in the prefrontal cortex and hippocampus of depressed or anxious patients (Shah et al, 1998). Studies also show that stress decreases the rates of hippocampal neurogenesis, whereas chronic SSRI use increases neurogenesis (Santarelli et al, 2003; Sachs and Caron, 2014). Taken together, these data suggest that increased BDNF signaling is needed for SSRI efficacy, wherein hippocampal neurogenesis is facilitated (Numakawa et al, 2017). In fact, a current clinical trial is examining the use of BDNF gene therapy for early Alzheimer disease and mild cognitive impairment; the study is set to be completed in 2027 (clinical trial NCT05040217).\n\n\n### Synaptogenesis and synaptic strengthening\nThe therapeutic effects of antidepressants may either be neurogenesis dependent or independent (David et al, 2009). While many studies have shown that neurogenesis is important for SSRI efficacy, the birth of new neurons in adult mammals only occurs in the subventricular zone of the rostral migratory stream and in the subgranular zone of the hippocampal dentate gyrus. Moreover, adult neurogenesis occurs at low rates in primates and decreases with age.\nThe process by which existing neurons form new synaptic connections is known as synaptogenesis. Neuroplasticity is the subsequent strengthening (or weakening) of existing connections. The number of dendritic spines and synaptic connections is downregulated by stress in the hippocampus, which is mediated, in part, by brain glucocorticoids (McEwen, 1999). In a study, Bessa et al (2009) showed that the therapeutic effects of antidepressants were mediated via neuronal remodeling even when neurogenesis was blocked. Thus, the downstream effects of BDNF on synaptogenesis and synaptic plasticity in regions beyond (and including) the hippocampus, for example, prefrontal cortex and amygdala, are needed for the therapeutic effects of antidepressant pharmacotherapies and other modalities (Pirnia et al, 2016).\n\n\n### Global mechanisms\nTwo global changes that occur in mood and anxiety disorders are increased neuroinflammation and dysfunctional HPA axis signaling (Taylor et al, 2005; Massart et al, 2012). Increased neuroinflammation and dysfunctional HPA axis signaling could be used as biomarkers, which would allow for tangible monitoring of mood and anxiety disorders, although more research is needed (Kennis et al, 2020). During pregnancy, levels of cortisol, BDNF, and neuroinflammatory markers all change, leading to complexities in terms of using these biomarkers perinatally (Mastorakos and Ilias, 2003; Christian et al, 2016; Bränn et al, 2019). Altogether, the etiology of mood and anxiety disorders appears to be multifactorial and presumably attributed to a number of different maladaptive changes that occur in the brain. Future efforts to understand the relationships between these factors will contribute to a holistic understanding of mood and anxiety disorders that may pave the way for new therapeutics.\n\n\n### Conclusions\nTreatment options for women who are experiencing a neuropsychiatric disorder during pregnancy are of utmost importance, especially as the prevalence and incidence of these disorders continue to climb. This is especially relevant considering the recent attacks on access to reproductive health care, including the 2022 Dobbs v Jackson Women’s Health Organization decision, which overturned federal protection to abortion access, as well as the increased scrutiny on using medications to end unwanted pregnancy. The United States tragically has the highest rate of maternal mortality among developed countries, especially among Black women, does not guarantee paid family leave at the federal level, and does not have universal childcare (Douthard et al, 2021; Davidson et al, 2024). This leaves pregnant people especially vulnerable because pregnancy can be a highly stressful experience for many individuals, with stress being the biggest known risk factor for developing a mood or anxiety disorder.\nBoth SSRIs and SNRIs seem to have limited adverse effects on overall fetal health, yet as discussed in this review, SSRIs and SNRIs are not effective for everyone and have a delayed therapeutic onset. With recent advances in psychiatry come novel antidepressants, namely ketamine, which, while not recommended for use during pregnancy, may inspire more efficacious and safe medications in the future. As more knowledge is gained about the anatomical and functional interplay between neurotransmitter systems, therapeutic targets may be identified to address individual variability and to improve personalized medicine.\n\n\n### Conflict of interest\nThe authors declare no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC13095829", "title": "Biomarkers for complex post-traumatic stress disorder: translational and evolutionary perspectives", "text": "# Biomarkers for complex post-traumatic stress disorder: translational and evolutionary perspectives\n\n## Abstract\n\n\n## Full Text\n\n\n### Introduction\nPost-traumatic stress disorder (PTSD) is a chronic mental illness that occurs following exposure to traumatic stressors such as combat, disasters, or assault. It is characterized by a triad of re-experiencing of the trauma, avoidance of triggers for such recollections, and increased vigilance towards threats (1). In 1992, Judith Herman described a variant of PTSD that occurred in persons who had undergone prolonged or repeated traumatic stress, such as hostages, prisoners of war, concentration camp survivors, or victims of chronic familial abuse or violence. Apart from the classical “triad” seen in PTSD, these patients experienced somatic, dissociative, and mood symptoms, alterations in identity, and disturbed interpersonal relationships. She proposed the term “complex PTSD” to describe such cases (2).\nA syndrome akin to “complex PTSD” was proposed for inclusion in the fourth edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM-IV) under the name “Disorders of extreme stress, not otherwise specified” (DES-NOS). The alterations in mood, identity and relationships described by Herman were also included in the tenth edition of the World Health Organization (WHO)’s International Classification of Diseases and Disorders (ICD-10) with the label “Enduring personality change after catastrophic experience (F62.0).” However, DES-NOS was not included in the final version of DSM-IV, and ICD-10 category F62.0 was rarely used in practice (3). Based on research over the next two decades, the concept of complex PTSD was refined and validated in diverse settings. Complex PTSD (C-PTSD) was redefined as a syndrome consisting of both the PTSD triad, and a second triad of disturbances in self-organization (DSO), characterized by disturbances of mood (numbing or increased reactivity), difficulties in interpersonal relationships, and a negative self-image. Such symptoms were defined as occurring in the context of complex trauma – that is, trauma which is repeated or prolonged. This definition of complex PTSD has been included in the most recent WHO classification of mental disorders (ICD-11). It is estimated that about 2-8% of the world’s population suffers from C-PTSD, with much higher rates observed in vulnerable groups such as refugees and survivors of childhood abuse (4–6).\nOptimal treatment strategies for C-PTSD are still in development. Pharmacological treatments for PTSD may improve symptoms in the PTSD triad, but do not have proven benefits for DSO. Trauma-focused psychotherapies improve PTSD triad symptoms, depression, anxiety, and insomnia, but their effect on overall quality of life – a measure of DSO – is low (7). There are also significant variations in efficacy between psychotherapies based on different theoretical models and techniques (8). Novel therapies such ketamine and psilocybin have been suggested as alternatives, but though they have some benefits in PTSD, their efficacy in C-PTSD has not been evaluated (9, 10). The development of more effective treatments for this chronic and disabling condition would require a better understanding of the neurobiology of C-PTSD, particularly in relation to symptoms of DSO, which do not appear responsive to currently available treatments (11).\n\n\n### What is known about the neurobiology of complex PTSD?\nThe past four years have seen remarkable advances in our understanding of the pathophysiology of PTSD. Initial work focused on dysregulation of monoamine neurotransmitters such as serotonin (5-HT, and on altered functioning of the hypothalamic-pituitary-adrenal (HPA) axis (12). It is now known that a host of complex physiological and biological alterations occur in PTSD, including alterations in glutamatergic and peptidergic transmission, increased oxidative stress, immune-inflammatory dysregulation, and accelerated cellular aging. These changes appear to arise from an interaction between genetic variants influencing these pathways, “sensitizing” experiences such as childhood adversity, and exposure to one or more traumatic stressors (5, 13, 14). These far-reaching systemic changes explain the strong associations between PTSD and other medical and neurological disorders (15).\nRelatively less is known about the biological substrates of C-PTSD. It can be assumed that the “classical” symptoms of PTSD seen in these patients have the same putative origin as those of non-complex PTSD, and many early studies on the biology of PTSD included patients with undiagnosed C-PTSD, such as veterans or refugees. In contrast, little is known about the neural or biochemical bases for DSO (16). Experts in the field agree that comprehensive research is warranted, and certain important initiatives, such as a biobank aimed at comparing PTSD and C-PTSD, have already been launched (17).\nDissociative symptoms, characterized by disturbances in identity or in the integration of psychological functions, are commonly seen in C-PTSD, and may be correlated with DSO. A candidate gene study found an association between dissociative symptoms in PTSD and the FKBP5 gene, involved in regulating glucocorticoid receptor responsiveness to stress, but none of the patients in this study was specifically evaluated for C-PTSD (18). More promisingly, a genome-wide association study (GWAS) found possible associations between “dissociative PTSD” – a condition similar to C-PTSD – and the genes encoding adenylyl cyclase 8 (ADCY8) and dipeptidyl-peptidase 6 (DPP6). The former gene has been associated with fear-based memories and synaptic plasticity, while the latter is linked to synaptic integrity. Variants in these genes may confer vulnerability to C-PTSD, but this hypothesis requires formal verification (19).\n\n\n### Are there reliable biomarkers of C-PTSD?\nPotential biomarkers of PTSD, prior to the inclusion of C-PTSD in psychiatric nosology, have been studied extensively. Structural and functional imaging has revealed altered functioning of the brain’s default mode, salience, and central executive networks in patients with PTSD (20). Studies of peripheral blood markers have found consistent evidence of low baseline cortisol, elevated levels of pro-inflammatory cytokines such as interleukin-1 and tumor necrosis factor alpha, reduced antioxidant activity, and elevated indices of the metabolic syndrome (21, 22). More recently, alterations in markers of energy metabolism, such as arginine and pyruvic acid, have also been identified in this patient group (23). Though this research has shed valuable light on the pathophysiology of PTSD, no specific marker has yet proved sensitive or specific enough to aid diagnosis or treatment of this disorder. Moreover, there is substantial variability across studies (21).\nIn contrast to this, there is relatively little research on biomarkers specifically associated with C-PTSD. Neuroimaging has been the most frequently used method in this search to date. Structurally, patients with C-PTSD related to childhood abuse appear to have reduced volumes of the right anterior cingulate cortex (ACC), orbitofrontal cortex (OFC), and bilateral hippocampus and amygdala (24, 25). Functionally, C-PTSD is associated with increased activation of the left anterior cingulate cortex (ACC), hippocampus, and parahippocampal gyrus when patients are asked to learn and recall negative words (such as “panic” or “rape”) (26, 27). A similar increase in activation of the ACC, dorsolateral prefrontal cortex (dlPFC) and ventromedial prefrontal cortex (vmPFC) was seen when persons with C-PTSD were exposed to trauma-related words (28). Alterations in the connectivity of the default mode network (DMN) have also been reported, but these appear to be common to PTSD and C-PTSD (29). Overall, there is evidence of reduced volume and increased activation of cognitive structures that may reduce limbic overactivity in relation to traumatic cues in C-PTSD. Similar structural and functional changes can be seen in PTSD (30), and there is no evidence that the above findings correlate with symptoms specific to C-PTSD, particularly DSO. Therefore, it is unclear whether these changes, though significant, are specific or sensitive enough to constitute biomarkers for C-PTSD.\nPhysiological studies, though less numerous, have also identified anomalies associated with C-PTSD. Electroencephalographic (EEG) analysis of patients acutely ill with C-PTSD has revealed reduced functional connectivity in the default mode network (DMN) and in regions connected to the prefrontal cortex and ACC. These changes normalized after in-patient treatment with a focus on trauma-oriented psychotherapy (31). When adolescents with C-PTSD or PTSD underwent a structured interview about their traumatic experiences, both groups had elevated heart rates during the interview. Elevated heart rate during the latter, “recovery” phase was specific to C-PTSD, and was associated with higher subjective ratings of stress, shame, and guilt: in other words, it was associated with at least one component of DSO (32). This exaggerated and prolonged stress response may be linked to the DMN dysfunction seen in the prior study, as the DMN is normally activated during acute stress (33), but this needs to be verified through simultaneous investigation of central and peripheral responses to trauma-related cues. Studies examining physiological markers of dissociation in PTSD, which may be relevant to C-PTSD, have failed to yield consistent results (34).\nA single study has examined epigenetic modifications in elderly individuals with C-PTSD. In this sample, altered DNA methylation was observed in the genes HAP1, RANBP2 and PSMA4. These genes have been tentatively linked to neural processes such as neurogenesis, inhibitory neurotransmission, and memory formation, but their exact significance in this context is unknown (35).\nIt is possible that further refinements in neuroimaging research, or in combinations of neuroimaging and peripheral stress markers, may provide reliable biomarkers of C-PTSD (36). However, at this moment, no anatomical or physiological change consistently linked to the unique symptoms of C-PTSD has been identified. Where might such specific biomarkers be found? Surprisingly, there are several promising leads from animal models of prolonged traumatic stress.\n\n\n### Animal models of C-PTSD\nAt first sight, it may seem difficult, if not impossible, for an animal model to replicate the features of PTSD, particularly those of the DSO domain, which require high levels of conscious awareness and cognition (37). Nevertheless, evidence of a C-PTSD-like phenotype has been observed in several mammalian species, including rodents, equines, and primates. In these species, prolonged or repeated trauma has been associated with impairments in emotional responses and social behavior which resemble two of the three domains of DSO (38–41). For example, in prairie voles, which exhibit monogamous behavior similar to that seen in humans in the wild, prolonged stress led to impaired pair bonding with female partners, and “indiscriminate huddling” with other female voles (41). Such animals also exhibit features of PTSD such as increased vigilance and exaggerated startle responses. These changes have been associated with a wide range of chronic trauma exposures, including experimental repeated stress, captivity, forced work, or maltreatment by humans (39, 40).\nBased on these results, rodent studies have been carried out to examine the physiological and biochemical correlates of exposure to chronic or recurrent trauma. Experimental stressors used to induce a “C-PTSD-like” phenotype in these animals include predator scent stress (PSS), stress-restress, and combinations of more than one type of stressor. Peripherally, chronic traumatic stress is associated with reduced serum and adrenal cortisol and altered adrenocortical histology, which correlates with levels of observed anxiety (42). Centrally, exposure to recurrent traumatic stress has been associated with increased cerebellar noradrenaline levels, reduced levels of dopamine in the brainstem, hypothalamus and hippocampus, and increased hypothalamic corticotrophin-releasing hormone (CRH) (43, 44). In addition, chronic trauma appears to be associated with increased expression of the neuropeptide vasopressin (AVP) in the paraventricular nucleus (PVN) of the hypothalamus, and more specifically in the magnocellular portion of the PVN (44–46). Such trauma is also associated with reduced oxytocin expression in the nearby supraoptic nucleus (SON), which correlates with impaired pair-bonding behavior (41). While alterations in monoamine transmitters and HPA axis hormones have been observed in non-complex PTSD, alterations in AVP and oxytocin may be particularly relevant to C-PTSD, as they may represent an evolutionary “bridge” between animal and human phenotypes of this condition.\nAs C-PTSD is often linked to childhood abuse or neglect, animal models of childhood adversity, may also be used to approximate this disorder in mammals. Rats exposed to early maternal separation show evidence of increased fear conditioning and impaired social behavior, which are consistent with the two dimensions of C-PTSD. These changes are associated with blunted vasopressin release, reduced expression of the neurotensin 1 receptor, and overexpression of the chloride channel NKCC1 (47–50). Moreover, these changes may be reversible through the administration of oxytocin (49, 50). These results are broadly consistent with those seen in animals with other forms of chronic trauma. Nevertheless, these findings should be interpreted with caution, because early childhood adversity is associated with a wide range of psychiatric disorders besides C-PTSD (47).\n\n\n### An evolutionary perspective on C-PTSD\nViewed at a surface level, the behaviors exhibited by persons with C-PTSD seem grossly maladaptive. For example, why do many of those affected by this disorder avoid help-seeking, idealize their abusers (the so-called “Stockholm syndrome”), or enter subsequent relationships where there is a high risk of experiencing abuse? (2, 51) Such paradoxical phenomena may be explicable in terms of the appeasement displays seen in animals, which lead to a “conditional reconciliation” between aggressor and victim and ensure individual survival and well-being. For example, in a fight between male chimpanzees, appeasement of the defeated or “subordinate” male protects it against death or mutilation, and ensures its survival in the larger group. In situations characterized by traumatic “entrapment,” where the victim cannot easily “escape” from the abuser, similar behaviors may become established in humans and dominate over more “adaptive” strategies such as seeking help outside the immediate social circle. Such situations include intimate partner violence (IPV) and childhood physical and sexual abuse, both of which are strongly associated with C-PTSD. In the words of Cantor and Price (2007), “appeasement is the most likely endophenotype for complex PTSD.” (52) The exact forms that these appeasement displays may take depend on interactions between evolutionarily primitive (hypothalamic and brain stem) brain structures that mediate a general, undifferentiated appeasement response, and more recently evolved (limbic and cortical) structures that modify its expression and lead to a disturbance of self-concept (52, 53). Such a model is attractive because it provides a plausible explanation for the DSO dimension of C-PTSD: many aspects of this dimension, such as shame, dissociative symptoms, and submissiveness towards aggressors, can be understood as variations of appeasement (54).\nIf the above hypothesis is true, then biological alterations associated with appeasement or subordinate status in animals may be implicated in the pathogenesis of C-PTSD, and even serve as biomarkers. In this context, it is helpful to briefly review what is known about the biological correlates of these behaviors. In mammals exhibiting cooperative behavior, acute defeat in a conflict is associated with increased cortisol, whereas a more stable subordinate status is associated with lower levels of cortisol than those seen in dominant animals (55). Similar changes have been observed in male capuchin monkeys, where dominant males had elevated levels of testosterone and cortisol compared to subordinates (56). In female rhesus monkeys, appeasement behavior is inversely correlated with 5-HT1A binding potential in the OFC, and a functional polymorphism (short or s variant) of the 5-HT transporter gene SLC6A4 was linked to a decrease in appeasement behavior with age (57).\nNeural correlates of subordinate social status have also been studied in non-mammalian species. In the cichlid fish species Neolamprologus pulcher, subordinate fish had higher levels of arginine vasotocin, the analogue of AVP. In addition, levels of isotocin, the analogue of oxytocin, were negatively correlated with affiliative social behavior (58). In the electric fish Gymnotus omarorum, alterations in hypothalamic vasotocin are also associated with the establishment of dominant-subordinate social hierarchies (59). These findings are consistent with research in rodents, which have also found associations between AVP and oxytocin receptor densities in the limbic system and hypothalamus and social dominant/subordinate status (60, 61).\nA tentative synthesis of these findings is that C-PTSD-like phenotypes in animals, whether in the wild or in experimental settings, are associated with alterations in serotonergic transmission, HPA axis function, and dysregulation of the similar neuropeptide transmitters oxytocin and AVP. The latter two are particularly significant because they play a central role in social behavior in both animal humans, including affiliation, social bonding, and appeasement and submission displays (62, 63). Alterations in these peptide transmitters are likely to be associated with the DSO symptoms that are specific to C-PTSD, and more particularly with disturbances in interpersonal and social relationships (41). Such alterations may reflect a dysregulation in evolutionarily ancient neurochemical processes mediating submission and appeasement displays, triggered by exposure to prolonged trauma in an interpersonal setting (51).\nIf C-PTSD reflects a dysregulated or morbid form of appeasement behavior, does this arise from chronic trauma, from antecedent vulnerability factors, or from both? Research on the epidemiology of C-PTSD has shown that it is more prevalent in those who occupy a “subordinate” position in human social hierarchies – women, migrants, persons abandoned by their parents in childhood, and those with a lower socioeconomic or educational status (64–66). Animal studies of early maternal separation also show evidence of altered neuropeptide signaling and deficits in social behavior, even if they do not exhibit features of PTSD (47, 50). Together, these findings suggest that C-PTSD may result from the superimposition of PTSD on a prior state of deficits in social organization, which result from psychosocial disadvantage and are further exacerbated with the onset of PTSD symptoms. This hypothesis is entirely consistent with the available evidence, but it requires verification through the assessment of DSO symptoms – and their biological correlates – in children and adults belonging to “subordinate” social groups, both with and without C-PTSD (52, 64).\n\n\n### Summary and implications for the treatment of C-PTSD\nA tentative synthesis of animal and human research into C-PTSD, indicating possible points of converge and their “deep” evolutionary roots, is presented in Figure 1. In this model, complex trauma activates both the mechanisms responsible for PTSD symptoms, and a behavioral system involved in appeasement and submission displays in the face of threats to one’s survival. The latter system may have been sensitized by prior psychosocial adversity or disadvantage. Dysregulation of this system leads to the DSO symptoms that characterize C-PTSD. Such dysregulation may involve altered expression of the genes identified in human research on C-PTSD. For example, the HAP1 gene codes for huntingtin-associated protein 1, which helps maintain the integrity and connectivity of 5-HT neurons (67). Altered expression of this protein may alter serotonergic transmission, leading to dysfunctional appeasement behavior.\nPathophysiology of complex PTSD based on human research and animal models, including evolutionary theory. 5-HT, 5-hydroxytryptamine (serotonin); DSO, disturbances in self-organization; HPA, hypothalamic-pituitary- adrenal (axis); MDMA, 3,4-methylenedioxymethamphetamine; PTSD, post-traumatic stress disorder.\nThe conclusions advanced above are tentative, and need to be verified in human subjects. Research on alterations in oxytocin and AVP in patients with PTSD have yielded mixed results, but none of these studies have specifically examined C-PTSD: most of these were conducted in veterans with acute trauma related to combat situations (68–72). Genetic variants in oxytocin and vasopressin receptors (OXTR and AVP1a) appear interact with mother-child attachment to influence vulnerability to PTSD in children exposed to an armed conflict. Such a finding may be of relevance to the genesis of C-PTSD, which often occurs in relation to parental neglect and abuse (73).\nThe above model also has implications for effective treatment of the DSO symptom domain in C-PTSD. Clinical trials of agents acting at AVP or oxytocin receptors in PTSD have also yielded conflicting but suggestive findings. A controlled clinical trial found that balovaptan, an antagonist of the AVP1a receptor, did not differ from placebo in reducing PTSD symptoms, but this study did not include subjects with C-PTSD (74). On the other hand, administration of a single dose of intranasal AVP to 12 persons with PTSD led to increased responsiveness when their spouse or partner expressed anger. This suggests that AVP influences social behavior in this population (75). Similarly, trials of intranasal oxytocin in PTSD have found that this drug may improve social cognition and emotion recognition (76, 77). It is plausible that AVP or oxytocin, or synthetic agonists activating their receptors, may reduce the interpersonal deficits seen in C-PTSD, though this remains to be verified.\nAs noted above, animal models have identified a possible interaction between 5-HT and these peptides in studies of social hierarchy. Administration of the serotonin reuptake inhibitor (SRI) paroxetine appears to reverse the social deficits caused by prolonged stress (41), and social status is associated with altered 5-HT1A receptor density in the midbrain and hypothalamus (61). SRIs are approved pharmacological treatments for PTSD, and improve social functioning over a period of two years, though less reliably than psychological interventions (78). A trial examining patients with PTSD exclusively caused by trauma in an interpersonal setting (i.e., physical or sexual abuse in childhood or adult life) found that the SRI sertraline was superior to placebo; this result is significant because C-PTSD commonly results from interpersonal trauma (79). More recently, 3,4-methylenedioxymethamphetamine (MDMA), which increases 5-HT release, acts as an agonist at 5-HT2A receptors, and inhibits 5-HT reuptake, has been found to improve DSO symptoms such as impaired self-image and mood instability when used as an adjunct to psychotherapy in PTSD (80). In healthy adults, MDMA has positive effects on social behavior (81) and acutely increases oxytocin and vasopressin release (82, 83). This drug may represent a potential breakthrough in the management of C-PTSD, but it is a controlled substance with a high potential for misuse and a narrow therapeutic index. It may be possible to reduce these risks by using isomers of MDMA, as they differ in their pharmacological properties: S-MDMA increases serotonin and oxytocin release, while R-MDMA acts predominantly at 5-HT2A receptors and has “psychedelic” properties (82).\nApart from these treatments, research in an animal model of C-PTSD has found that vagus nerve stimulation (VNS) leads to symptomatic improvement (84). In humans, VNS is used primarily to treat resistant major depression, though it has also proved helpful in PTSD resistant to standard treatments (85). The benefits of VNS in PTSD appear to correlate with changes in cortical glutamatergic transmission (86), but VNS has effects on multiple neurotransmitters, including serotonin (87) and oxytocin (88). Due to this, it is possible that C-PTSD may respond to VNS where other treatments have failed. In another animal model of C-PTSD, the use of LK00764, an experimental agonist of trace amine-associated receptor 1 (TAAR1), prevented the emergence of behavioral problems following predator stress. This was associated with reduced levels of 5-HT in the hippocampus and dopamine in the corpus striatum (89). Modulation of TAAR1 may represent a future avenue for beneficial modulation of 5-HT alterations in patients with C-PTSD.\nThe “biological” findings mentioned above are also relevant to the psychosocial treatment of C-PTSD. If DSO symptoms are a biological reflect trauma and ongoing psychosocial disadvantage, psychological interventions should focus not only on the traumatic situation, but on ameliorating social and economic hardship and ensuring patient safety (3, 7, 8). In children, childhood neglect is associated with both environmental under-stimulation and C-PTSD, which can contribute to DSO. Animal research has shown that environmental enrichment can reverse the biobehavioral effects of early maternal loss, and this may be a useful strategy for treating C-PTSD in youth (50). In adults, similar benefits may be obtained through enhancing social support and the affected individual’s social orientation, particularly in persons belonging to socially marginalized communities (90). More recently, it has been suggested that C-PTSD may respond to interventions that aid in building resilience and fostering adaptive personality development. This process, known as “post-traumatic growth” (PTG), has been documented across a wide range of traumatic stressors, including life-threatening illnesses and natural disasters. Anecdotal evidence suggests that focusing on PTG, through the enhancement of social connection, and the use of cognitive-behavioral and psychodynamic therapy techniques, may improve outcomes in those suffering from C-PTSD (91). Little is known about the biological correlates of PTG, though it has been theorized that oxytocin can facilitate this process (92).\n\n\n### Limitations\nCertain caveats must be kept in mind when appraising the data cited above. First, research into the biological roots of C-PTSD is still in its early stages, and the conclusions reached above are likely to change as further data accumulates. Second, it is not yet clear how the neuroimaging findings in humans with C-PTSD can be aligned with the biochemical changes observed in animal models of this condition. Third, studies of C-PTSD in humans involve significant heterogeneity, both in terms of case definition and of the type of complex trauma involved. Fourth, the validity of animal models of C-PTSD has not yet been established robustly, particularly with regard to DSO symptoms. Finally, the link between appeasement or submission displays in animals and C-PTSD in humans, though consistent with the available evidence, remains a hypothesis. As more is learned about both the biology underlying these phenomena, this hypothesis may be either confirmed or refuted.\nTechnological advances may help overcome some of these concerns. Recent research has investigated the use of machine learning models in analyzing biomarker data in patients with PTSD. Though this work is still in its early stages, such models have been found useful in predicting PTSD based on clinical and biochemical parameters, and in identifying genes related to immune-inflammatory dysfunction in PTSD (93, 94). Such approaches may be fruitfully employed in future to identify patterns in clinical and biomarker data from patients with C-PTSD, with a specific focus on indices of peptidergic and serotonergic transmission, neuroimaging parameters, and neurophysiological data.\n\n\n### Conclusions\nComplex PTSD is a source of significant suffering and disability, and is often challenging to treat in clinical practice. Evidence from recent animal research suggests that the symptoms unique to this condition are related to alterations in neurotransmission involving serotonin, oxytocin, and vasopressin. Using the conceptual framework of evolutionary theory, these changes can be linked to evolved behavioral systems involved in appeasement and submission displays that ensure survival when a social organism is faced with a threat from either conspecifics or predators. Though this model requires further exploration, it serves as a source of testable hypotheses regarding dysregulation of these transmitters and their receptors in patients with C-PTSD, which could serve as reliable biomarkers of this condition or its symptom dimensions. Early evidence from human research suggests that pharmacological and neuromodulation strategies can have beneficial effects on these transmitter systems, reducing the disturbances of self-organization that are characteristic of C-PTSD. Such interventions should not be viewed in a reductionist manner. They probably work best as part of a holistic treatment approach that involves trauma-focused therapies and measures to ensure the sufferer’s safety and overall welfare, and foster post-traumatic growth and resilience.", "domain": "affective_neuroscience"}
{"source": "PMC13096094", "title": "Psychiatric pharmacogenomics: from genetic evidence to clinical integration – structural, educational, and ethical challenges", "text": "# Psychiatric pharmacogenomics: from genetic evidence to clinical integration – structural, educational, and ethical challenges\n\n## Abstract\nThe role of pharmacogenomics (PGx) for identifying individualized therapeutic approaches in patients with psychiatric disorders is a topic of intense debate in the literature, from clinical, pharmacoeconomic, ethical, educational, and theoretical perspectives. The objectives of this narrative review were (1) to synthesise the genetic evidence base for psychiatric PGx, with particular attention to the hierarchy between pharmacokinetics, pharmacodynamics and emerging epigenetic or polygenic markers; (2) to evaluate the clinical integration of pharmacogenomics in psychiatry, focusing on PGx-guided versus treatment-as-usual randomized trials, meta-analyses, economic evaluations and real-world implementation projects; (3) to analyse structural, educational and ethical challenges that condition the translation of genetic evidence into practice. Based on the reviewed primary and secondary reports, relevant data were found regarding antidepressant PGx, and less for antipsychotics and mood stabilizers. Pharmacoenomic data and structural, economic, and implementation barriers have also been explored, as well as educational and ethical challenges in the field of PGx implementation in psychiatry. In conclusion, psychiatric pharmacogenomics is placed at the intersection between relatively strong but narrow pharmacokinetic evidence, weaker and heterogeneous pharmacodynamic findings, and substantial implementation and ethical constraints. The most clinically actionable data concern CYP2D6 and CYP2C19 variants for certain antidepressants and, to a lesser extent, antipsychotics, which reliably predict serum levels and adverse effects and show modest associations with treatment response and remission.\n\n## Full Text\n\n\n### Introduction\nAlthough the last decades have witnessed significant progress in the field of psychopharmacology, with the launch of new generations of antipsychotics, new agents for treatment-resistant depression, and advances in the neurobiological understanding of treatment response, psychiatric pharmacotherapy still relies heavily on trial-and-error sequencing, long titration periods, and empirical dose adjustments. Inter-individual variability in efficacy and tolerability is substantial across antidepressants, antipsychotics, and mood stabilisers, and is only partially explained by clinical factors such as diagnosis, symptom profile, or comorbidity (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020). Against this background, psychiatric pharmacogenomics (PGx) proposes a mechanistic framework in which inherited and acquired variations in pharmacokinetic (PK) and pharmacodynamic (PD) pathways can be used to individualise drug choice and dosing. The clinical utility of PGx in combination with other strategies, in the psychiatric population, has been examined in the literature, with variable results to date, including outcomes such as symptom severity, adverse events, mental quality of life, polypharmacy, hospitalisations, and readmissions (Bohlen et al., 2023; Tanner et al., 2018; Skokou et al., 2024; Gagiu et al., 2024).\nFrom a genomic perspective, psychiatric disorders are highly polygenic, with hundreds of common variants of very small effect sizes contributing to disease risk (Correia et al., 2022; Santoro et al., 2016). Pharmacogenetic studies broadly recapitulate this architecture: the majority of candidate PD gene variants have weak and inconsistent associations with treatment response, whereas a narrower set of PK genes -particularly CYP2D6 and CYP2C19- show robust links to serum concentrations, adverse events, and, to a lesser extent, clinical outcomes (Fornaguera and Miarons, 2025; Grant et al., 2025; Bousman et al., 2021). These findings are reflected in expert consensus statements and gene–drug-specific dosing guidelines, which converge on a small number of high-confidence interactions (for example, tricyclic antidepressants (TCAs) and several serotonin-selective reuptake inhibitors (SSRIs) in relation to CYP2D6/CYP2C19 phenotype) and remain cautious about most PD markers (Bousman et al., 2021; Beunk et al., 2024).\nIn addition, a growing body of randomised controlled trials (RCTs) and meta-analyses has evaluated multigene, combinatorial pharmacogenomic panels for major depressive disorder (MDD). These studies and their quantitative syntheses consistently report small-to-moderate improvements in response and remission rates when pharmacogenomic information is available to prescribers, particularly in treatment-resistant populations and in patients with a high burden of predicted gene–drug interactions (Fornaguera and Miarons, 2025; Grant et al., 2025; Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). Yet, effect sizes are modest, heterogeneous and sensitive to study design, industry sponsorship, and adherence to testing recommendations.\nImplementation and policy analyses make the situation even more complex. Commentaries and formal evaluations of commercial decision-support tools highlight variability in allele coverage, phenotype calling, and reporting format across panels, as well as concerns about opaque algorithms and sponsorship bias (Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017). Health technology assessments (HTAs) and cost-effectiveness reviews conclude that pharmacogenomic testing can be economically attractive under specific assumptions -test price, prevalence of actionable variants, and effect size- but stop short of recommending routine reimbursement in psychiatry (Health Quality Ontario, 2017; Morris et al., 2022). Population-genetic work shows substantial ancestry-related variation in CYP2D6/CYP2C19 phenotypes, raising doubts about the direct transferability of predominantly European-derived panels to under-represented populations and low- and middle-income countries (LMICs) (Koopmans et al., 2021).\nFinally, hospital-based and primary-care implementation projects demonstrate that pharmacogenetic testing can be integrated into electronic health records (EHRs) with decision support, but only where substantial infrastructural investment, informatics support, and clinician education are available (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017; Maruf et al., 2020; Bhimpuria, 2024; Rollinson et al., 2020; Lara et al., 2021). These realities foreground structural, educational, and ethical questions that go well beyond the narrow issue of whether particular gene–drug pairs are “clinically significant”.\nIn this context, the present narrative review has three aims: (1) to synthesise the genetic evidence base for psychiatric pharmacogenomics, with particular attention to the hierarchy between PK, PD and emerging epigenetic or polygenic markers; (2) to evaluate the clinical integration of pharmacogenomics in psychiatry, focusing on PGx-guided versus treatment-as-usual (TAU) RCTs, meta-analyses, economic evaluations and real-world implementation projects; (3) to analyse structural, educational and ethical challenges that condition the translation of genetic evidence into practice, including guideline heterogeneity, health-system infrastructure, ancestry and equity, informed consent, but also the role of commercial interests.\nRather than treating pharmacogenomics as an all-or-nothing innovation, we argue for a more nuanced view: psychiatric pharmacogenomics is best understood as an incremental optimisation tool whose clinical value depends critically on how it is embedded within wider systems of care, education, and regulation (Fornaguera and Miarons, 2025; Grant et al., 2025; Bousman et al., 2021; Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025; Vasiliu, 2023). We also considered that focusing on certain classes of psychotropics would be limiting and endanger the generalisability of the results; therefore, we did not restrict the review to specific pharmacological agents or nosological indications (Vasiliu et al., 2017; American Psychiatric Association, 2022).\n\n\n### Methods\nThis is a narrative, non-systematic review of psychiatric pharmacogenomics. The objective was not to exhaustively capture every published genetic association, but to integrate thematically the most informative and methodologically robust evidence across three domains: (i) genetic architecture and pharmacogenetic markers; (ii) clinical integration through PGx-guided vs. TAU primary and secondary reports; and (iii) implementation-related structural, educational, and ethical issues. Given the rapidly evolving literature and the heterogeneity of study designs, a narrative approach was considered more appropriate than a fully systematic review.\nThe evidence base integrates literature identified through searches in PubMed/MEDLINE, Scopus, and Web of Science/Clarivate, complemented by backward and forward citation tracking of key reviews, consensus statements, guidelines, and HTA reports. Database searches yielded 262 records (PubMed n = 58; Scopus n = 105; Web of Science n = 99). After de-duplication, 129 unique records remained and constituted the initial seed set for the narrative synthesis. Supplementary Figure 1 provides a PRISMA-style flow schematic summarizing record identification, de-duplication, and theme-driven inclusion/mapping for transparency. Searches covered publications from January 2015 to August 2025 and combined controlled vocabulary and free-text terms related to (a) population/indication: depression, major depressive disorder, bipolar disorder, schizophrenia, psychosis, anxiety disorders, post-traumatic stress disorder, obsessive-compulsive disorder, autism spectrum disorder, intellectual disability, substance use disorders; (b) intervention/exposure: pharmacogenetic, pharmacogenomic, genetic, CYP2D6, CYP2C19, pharmacokinetic, pharmacodynamic, polygenic, epigenetic; (c) comparator: treatment-as-usual, standard of care, usual care, non-guided, unguided; (d) outcomes: response, remission, adverse drug reaction, tolerability, side effects, hospitalisation, cost-effectiveness, cost–utility, implementation, decision support.\nWe prioritised studies explicitly labelled as pharmacogenetic/pharmacogenomic and excluded purely diagnostic, risk, or endophenotype genetics unless they directly informed treatment response or tolerability.\nHowever, selection was driven by relevance to the three focal domains rather than by a rigid PICOS template, to increase the likelihood of collecting more data to support the previously formulated objectives.\nInclusion strategies were determined by the research design, specifically RCTs and patient- or rater-blinded studies comparing PGx-guided versus unguided prescribing in psychiatric or closely related populations; systematic reviews and meta-analyses of pharmacogenetic markers in antidepressant, antipsychotic and mood-stabiliser treatment; consensus statements, guideline documents and HTAs addressing psychiatric pharmacogenomics or psychotropic gene–drug pairs; implementation studies and scoping reviews of PGx testing in hospital, primary care and community pharmacy settings; economic evaluations and simulation models assessing the cost-effectiveness of PGx-guided prescribing; narrative reviews and overviews of reviews providing higher-level syntheses of PGx evidence in psychiatry and neurology. Also, the selected criteria referred to the populations, i.e., adults were the primary focus, with inclusion of paediatric and older-adult studies where they directly informed translational questions (for example, antidepressant PGx in youth or late-life depression). Interventions and markers allowed for inclusion in the current review referred to gene–drug pairs with guideline-level or emerging evidence (for example, CYP2D6/CYP2C19 and antidepressants/antipsychotics); multigene combinatorial panels used in clinical trials or implementation projects; pharmacodynamic markers and exploratory epigenetic/transcriptomic signatures where they informed the broader hierarchy of evidence. The targeted outcomes were clinical response/remission, adverse events, treatment persistence, hospitalisation, healthcare utilisation, cost-effectiveness, and implementation metrics (for example, uptake, clinical decision support (CDS) alert firing, prescriber adherence).\nThe formulated exclusion criteria were related to design, specifically case reports and small uncontrolled case series unless they illustrated unique ethical or implementation issues, but also to intervention, i.e., studies focusing exclusively on non-psychiatric drugs outside supportive care or clear psychotropic relevance (for example, oncology PGx with no psychiatric outcomes), and outcomes-genetic studies without treatment or tolerability outcomes. Regarding the population, animal studies were excluded from analysis; also, studies focused only on pediatric and geriatric populations, from which no relevant data regarding PGx variables could be derived for the adult population.\nGiven the narrative design, selection was iterative: as thematic patterns emerged, additional targeted searches were performed (for example, for HTAs, national landscape reviews, or specific guideline bodies).\nFor RCTs and meta-analyses of PGx-guided versus TAU antidepressant treatment, we extracted: sample size, population (for example, general MDD, treatment-resistant, elderly, adolescents), panel characteristics (genes included, algorithm type), primary and secondary outcomes, effect sizes, and key risk-of-bias issues. For pharmacogenetic meta-analyses of individual markers, we focused on: gene(s) studied, drug classes, outcome domains (response, remission, side effects), pooled effect sizes, and heterogeneity metrics. For guidelines, consensus statements, and HTAs, we abstracted the scope of recommendations, strength and grading of evidence, genes and drugs covered, and explicit caveats (e.g., ancestry, effect size, cost-effectiveness). Implementation studies and health-system reports were reviewed for details on: testing strategy (pre-emptive versus reactive), integration into EHR/CDS, funding and reimbursement models, clinician education, and reported facilitators/barriers.\nSynthesis was thematic rather than quantitative. First, we organised the genetic evidence into a hierarchy of PK, PD, and exploratory markers, contrasting antidepressant and antipsychotic data with sparser evidence for mood stabilisers and other indications. Second, we summarised clinical integration data by type of evidence: RCTs and meta-analyses, economic evaluations, and real-world implementation programmes. Third, we mapped structural, educational, and ethical issues identified in guidelines, HTAs, and implementation reports, with particular attention to ancestry, equity, consent, data governance, and commercial interests. No formal risk-of-bias tool was systematically applied; instead, we used domain-informed credibility checks (AMSTAR-2 domains for meta-analyses and standard RCT bias domains) and preferentially weighted larger blinded RCTs, independent meta-analyses, and non-industry HTAs when interpreting the evidence.\nGiven the narrative design, we did not formally quantify the overlap of primary studies across included systematic reviews and meta-analyses. Therefore, some duplication of primary evidence across secondary sources is possible.\n\n\n### Sources and search strategy\nThe evidence base integrates literature identified through searches in PubMed/MEDLINE, Scopus, and Web of Science/Clarivate, complemented by backward and forward citation tracking of key reviews, consensus statements, guidelines, and HTA reports. Database searches yielded 262 records (PubMed n = 58; Scopus n = 105; Web of Science n = 99). After de-duplication, 129 unique records remained and constituted the initial seed set for the narrative synthesis. Supplementary Figure 1 provides a PRISMA-style flow schematic summarizing record identification, de-duplication, and theme-driven inclusion/mapping for transparency. Searches covered publications from January 2015 to August 2025 and combined controlled vocabulary and free-text terms related to (a) population/indication: depression, major depressive disorder, bipolar disorder, schizophrenia, psychosis, anxiety disorders, post-traumatic stress disorder, obsessive-compulsive disorder, autism spectrum disorder, intellectual disability, substance use disorders; (b) intervention/exposure: pharmacogenetic, pharmacogenomic, genetic, CYP2D6, CYP2C19, pharmacokinetic, pharmacodynamic, polygenic, epigenetic; (c) comparator: treatment-as-usual, standard of care, usual care, non-guided, unguided; (d) outcomes: response, remission, adverse drug reaction, tolerability, side effects, hospitalisation, cost-effectiveness, cost–utility, implementation, decision support.\nWe prioritised studies explicitly labelled as pharmacogenetic/pharmacogenomic and excluded purely diagnostic, risk, or endophenotype genetics unless they directly informed treatment response or tolerability.\n\n\n### Study selection and eligibility\nHowever, selection was driven by relevance to the three focal domains rather than by a rigid PICOS template, to increase the likelihood of collecting more data to support the previously formulated objectives.\nInclusion strategies were determined by the research design, specifically RCTs and patient- or rater-blinded studies comparing PGx-guided versus unguided prescribing in psychiatric or closely related populations; systematic reviews and meta-analyses of pharmacogenetic markers in antidepressant, antipsychotic and mood-stabiliser treatment; consensus statements, guideline documents and HTAs addressing psychiatric pharmacogenomics or psychotropic gene–drug pairs; implementation studies and scoping reviews of PGx testing in hospital, primary care and community pharmacy settings; economic evaluations and simulation models assessing the cost-effectiveness of PGx-guided prescribing; narrative reviews and overviews of reviews providing higher-level syntheses of PGx evidence in psychiatry and neurology. Also, the selected criteria referred to the populations, i.e., adults were the primary focus, with inclusion of paediatric and older-adult studies where they directly informed translational questions (for example, antidepressant PGx in youth or late-life depression). Interventions and markers allowed for inclusion in the current review referred to gene–drug pairs with guideline-level or emerging evidence (for example, CYP2D6/CYP2C19 and antidepressants/antipsychotics); multigene combinatorial panels used in clinical trials or implementation projects; pharmacodynamic markers and exploratory epigenetic/transcriptomic signatures where they informed the broader hierarchy of evidence. The targeted outcomes were clinical response/remission, adverse events, treatment persistence, hospitalisation, healthcare utilisation, cost-effectiveness, and implementation metrics (for example, uptake, clinical decision support (CDS) alert firing, prescriber adherence).\nThe formulated exclusion criteria were related to design, specifically case reports and small uncontrolled case series unless they illustrated unique ethical or implementation issues, but also to intervention, i.e., studies focusing exclusively on non-psychiatric drugs outside supportive care or clear psychotropic relevance (for example, oncology PGx with no psychiatric outcomes), and outcomes-genetic studies without treatment or tolerability outcomes. Regarding the population, animal studies were excluded from analysis; also, studies focused only on pediatric and geriatric populations, from which no relevant data regarding PGx variables could be derived for the adult population.\nGiven the narrative design, selection was iterative: as thematic patterns emerged, additional targeted searches were performed (for example, for HTAs, national landscape reviews, or specific guideline bodies).\n\n\n### Data extraction and synthesis\nFor RCTs and meta-analyses of PGx-guided versus TAU antidepressant treatment, we extracted: sample size, population (for example, general MDD, treatment-resistant, elderly, adolescents), panel characteristics (genes included, algorithm type), primary and secondary outcomes, effect sizes, and key risk-of-bias issues. For pharmacogenetic meta-analyses of individual markers, we focused on: gene(s) studied, drug classes, outcome domains (response, remission, side effects), pooled effect sizes, and heterogeneity metrics. For guidelines, consensus statements, and HTAs, we abstracted the scope of recommendations, strength and grading of evidence, genes and drugs covered, and explicit caveats (e.g., ancestry, effect size, cost-effectiveness). Implementation studies and health-system reports were reviewed for details on: testing strategy (pre-emptive versus reactive), integration into EHR/CDS, funding and reimbursement models, clinician education, and reported facilitators/barriers.\nSynthesis was thematic rather than quantitative. First, we organised the genetic evidence into a hierarchy of PK, PD, and exploratory markers, contrasting antidepressant and antipsychotic data with sparser evidence for mood stabilisers and other indications. Second, we summarised clinical integration data by type of evidence: RCTs and meta-analyses, economic evaluations, and real-world implementation programmes. Third, we mapped structural, educational, and ethical issues identified in guidelines, HTAs, and implementation reports, with particular attention to ancestry, equity, consent, data governance, and commercial interests. No formal risk-of-bias tool was systematically applied; instead, we used domain-informed credibility checks (AMSTAR-2 domains for meta-analyses and standard RCT bias domains) and preferentially weighted larger blinded RCTs, independent meta-analyses, and non-industry HTAs when interpreting the evidence.\nGiven the narrative design, we did not formally quantify the overlap of primary studies across included systematic reviews and meta-analyses. Therefore, some duplication of primary evidence across secondary sources is possible.\n\n\n### Results\nThe articles reviewed in this section represent 34 clinical studies (Table 1), 50 reviews and meta-analyses (Table 2), and 8 consensus papers, guidelines, and other sources (Table 3). Nine additional studies are cited and discussed in the main text where they inform specific mechanistic, methodological, or contextual points, but are summarized separately in Table 4. The data were distributed across distinct chapters, addressing the objectives of the review: the effects of PGx testing on PK and PD parameters in psychopharmacology, the clinical impact, and recommendations for PGx in this field, as well as the challenges in the real-life implementation of PGx.\nClinical trials exploring the role of PGx in psychopharmacology.\nCountry/region and setting are reported as explicitly stated in each source. When inpatient/outpatient status or recruitment setting was not specified in the original report, it is marked as NR (not reported). “Mixed” indicates that both inpatient and outpatient populations (or multiple clinical contexts) were explicitly included. Abbreviations: AD, antidepressant; ADR, adverse drug reactions; ASD, autism spectrum disorder; CDRS-R, Children’s Depression Rating Scale–Revised; DGI, drug–gene interaction; EMC, early medication change; FEP, first-episode psychosis; HAM-D/HAMD, hamilton depression rating scale; ICER, incremental cost-effectiveness ratio; MDD, major depressive disorder; NGF, nerve growth factor; NR, not reported; OL, open-label; PGx, pharmacogenetics/pharmacogenomics; PHQ-9, Patient Health Questionnaire-9; PK/PD, pharmacokinetic/pharmacodynamic; PRS, polygenic risk score; RCT, randomized controlled trial; SSRI, selective serotonin reuptake inhibitor; TAU, treatment as usual; TCA, tricyclic antidepressant; TDM, therapeutic drug monitoring; VA = U.S., veterans health administration.\nReviews and meta-analyses referring to the role of PGx in psychopharmacology.\nAbbreviations: AD, antidepressant; ADR, adverse drug reactions; ADE, adverse drug events; ASD, autism spectrum disorder; BDNF, Brain-Derived Neurotrophic Factor; CDSS, clinical decision support system; COMT, Catechol-O-Methyltransferase; CPIC, clinical pharmacogenetics implementation consortium; DDGI, Drug-Drug-Gene Interaction; DDI, Drug-Drug Interactions; DGI, Drug-Gene Interactions; EPS, extrapyramidal symptoms; GWAS, Genome-Wide Association Study; HLA, human leukocyte antigen; ID, intellectual disability; IM, intermediate metabolizer; MC4R = Melanocortin-4, receptor; MDD, major depressive disorder; MTA, meta-analysis; N/A = not applicable; NM, normal metabolizer(s); NR, narrative review; PD, pharmacodynamic; PM, poor metabolizer; PGx, pharmacogenetics/pharmacogenomics; QALY, Quality-Adjusted Life Year; RCT, randomized clinical trial; SNRI, serotonin and norepinephrine reuptake inhibitor; SR, systematic review; SSRI, selective serotonin reuptake inhibitor; TDM, therapeutic drug monitoring; TRD, treatment-resistant MDD; TAU, treatment as usual; UM, ultrarapid metabolizer(s).\nConsensus papers, guidelines and other sources referring to the role of PGx in psychopharmacology.\nAbbreviations: AD, antidepressant; ADR, adverse drug reactions; CDS, clinical decision support; EHR, electronic health record; DPWG, dutch pharmacogenetics working group; MDD, major depressive disorder; PD, pharmacodynamics; PGx, pharmacogenetics/pharmacogenomics; QI, quality improvement; WFSBP, world federation of societies of biological psychiatry; CPIC, clinical pharmacogenetics implementation consortium.\nAdditional studies reviewed and summarized separately.\nAbbreviations: AD, antidepressant; BD, double-blind; CYP, cytochrome P450; fMRI, functional magnetic resonance imaging; ICER, incremental cost-effectiveness ratio; MDD, major depressive disorder; OL, open-label; PC, placebo-controlled; PGx, pharmacogenetics/pharmacogenomics; PK, pharmacokinetics; PM/IM/EM/UM, poor/intermediate/extensive/ultrarapid metabolizer; QALY, quality-adjusted life year; RCT, randomized controlled trial; SSRI, selective serotonin reuptake inhibitor.\nStudies are listed separately when they primarily report (i) healthy-volunteer PK/experimental findings, (ii) proxy outcomes (e.g., neuroimaging/physiological markers) rather than clinical symptom endpoints, (iii) protocol-only or modeling-only reports without outcome data in that publication, or (iv) indications outside the main psychopharmacology prescribing context.\nAcross psychiatric diagnoses, genetic influences on pharmacological response and tolerability are consistently polygenic and modest in effect size. Umbrella reviews and consensus papers show that most single variants explain only a very small proportion of the variance in treatment outcomes, with limited replication across cohorts and ancestries (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Santoro et al., 2016). Large-scale overviews of genomic contributions to psychiatric disorders highlight a similar pattern in disease risk: hundreds of common variants with small effect sizes distributed across many loci rather than a few major genes (Santoro et al., 2016). Within this landscape, PK genes, particularly CYP2D6 and CYP2C19, emerge as the most significant and clinically actionable markers across psychotropic classes, whereas PD markers (serotonergic, dopaminergic, neurotrophic, and catecholaminergic genes) show inconsistent associations with treatment response or adverse effects (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Santoro et al., 2016; Beunk et al., 2024; Fabbri et al., 2017; Chang et al., 2018).\nMultiple systematic reviews and consensus statements converge on CYP2D6 and CYP2C19 as the central PK determinants of antidepressant exposure and, indirectly, of response and tolerability (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Wu et al., 2025; Maruf et al., 2020; Fabbri et al., 2017; Chang et al., 2018). Early mechanistic reviews of psychotropic metabolism established that selective SSRIs, serotonin–noradrenaline reuptake inhibitors (SNRIs), and TCAs vary in their dependence on these enzymes, with poor metabolisers showing higher plasma concentrations and an increased risk of adverse events, and ultrarapid metabolisers showing subtherapeutic exposure (Stingl and Viviani, 2015). A recent comprehensive systematic review of antidepressant pharmacogenetics in MDD, covering 2019–2024, synthesised 29 studies (≈40,000 patients) and found that CYP2D6 and CYP2C19 phenotypes are consistently associated with antidepressant plasma levels and adverse events, and more variably with clinical response (Fornaguera and Miarons, 2025). Similar conclusions are drawn by an independent large-scale review of antidepressant pharmacogenetics (Grant et al., 2025) and by a systematic review focused on pharmacogenomic biomarkers of antidepressant efficacy and safety (Correia et al., 2022). Drug-specific evidence reinforces this pattern. Systematic reviews and meta-analyses show that CYP2D6 genotype strongly influences desipramine, nortriptyline, and venlafaxine exposure and toxicity (Stingl and Viviani, 2015; Berm et al., 2016) and that CYP2C19 variation is linked to escitalopram and citalopram tolerability and dose requirements in both adults and youth (Aldrich et al., 2019; Huang et al., 2021). Observational studies report similar findings for sertraline and other SSRIs (Yuce-Artun et al., 2016). Taken together, the genetic evidence supports a biologically coherent and reproducible PK signal for CYP2D6/CYP2C19–antidepressant pairs, particularly for TCAs and several SSRIs. However, effect sizes for clinical response and remission are modest, and many studies remain underpowered or limited to a single ancestry (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Stingl and Viviani, 2015; Berm et al., 2016; Aldrich et al., 2019; Huang et al., 2021; Yuce-Artun et al., 2016).\nBy contrast, pharmacodynamic candidate genes show far more inconsistent evidence. Meta-analyses of serotonin transporter (solute carrier family-6 member 4 (SLC6A4), 5-hydroxytryptamine transporter-linked polymorphic region (5-HTTLPR)) variation and antidepressant response or tolerability reveal statistically significant but small effects, often restricted to particular ancestries or to specific drug classes (Stein et al., 2021; Outhred et al., 2016). A systematic review and meta-analysis of serotonin transporter genetic variation concluded that, although some associations with response and adverse events are reproducible, the overall predictive value is low and not robust enough for routine clinical use (Stein et al., 2021). Similarly, serotonin receptor genes (e.g., HTR2A, HTR2C) and other serotonergic markers have yielded heterogeneous results. Individual studies and small meta-analyses have identified associations between HTR2C polymorphisms and SSRI response or side effects, but these are not consistently replicated across cohorts or drugs (Correia et al., 2022; Wang et al., 2023; Li et al., 2019).\nFor catecholaminergic genes, multiple meta-analyses address catechol-O-methyltransferase (COMT) Val158Met and related polymorphisms. A quantitative synthesis of COMT and antidepressant response in major depression found at most weak and inconsistent associations across studies (Tang et al., 2020; Yin et al., 2016). A broader review of catecholamine pathway polymorphisms (including COMT, SLC6A2, SLC6A3, and dopamine receptor genes- DRD2 and DRD4) similarly concluded that effect sizes are small and that results vary by ethnicity, outcome definition, and study design (Wang et al., 2023; Yin et al., 2015). Neurotrophic and other signalling genes have also been investigated. Variants in brain-derived neurotrophic factor (BDNF), tropomyosin receptor kinase B (TRKB), p75 neurotrophin receptor (p75NTR), nerve growth factor (NGF), and related pathways have been linked to antidepressant efficacy in single studies (Colle et al., 2015; Yeh et al., 2015). In addition, large candidate-gene analyses combining multiple markers and early clinical improvement suggest that genetic information may modestly improve prediction models (Kato et al., 2015). However, systematic reviews emphasise that no single PD marker has reached the level of evidence or reproducibility seen for CYP2D6/CYP2C19 (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Colle et al., 2015; Yeh et al., 2015; Kato et al., 2015).\nIn summary, PD markers contribute to a diffuse and fragile genetic signal, with many positive findings but limited replication and small incremental predictive value beyond clinical factors.\nBeyond DNA sequence variation, several reviews have examined epigenetic and gene expression markers as predictors of antidepressant response. A systematic review of RNA expression changes during antidepressant treatment identified multiple candidate transcripts and pathways, but highlighted substantial heterogeneity in methods, platforms, and clinical endpoints, with only a few signals replicated across studies (Kim et al., 2021). Epigenetic studies report associations between methylation of serotonin-related genes and treatment outcomes (Bruzzone et al., 2025). For example, methylation patterns in SLC6A4 and other serotonergic loci have been proposed as predictors of clinical improvement, while methylation of COMT has been associated with stimulant response in attention-deficit/hyperactivity disorder, suggesting potential relevance of epigenetic modulation in psychopharmacology more broadly (Fageera et al., 2021). Consensus position papers integrating genetic, epigenetic, and gene-expression findings emphasise that, while these markers deepen mechanistic understanding, their clinical utility remains exploratory and requires prospective validation in larger, standardised cohorts (Fabbri et al., 2017).\nIn children and adolescents, the evidence base is smaller but mirrors that of adults. Pharmacokinetic studies indicate that CYP2C19 metaboliser status influences escitalopram and citalopram exposure, adverse events, and, to a lesser extent, response, consistent with adult data (Huang et al., 2021; Poweleit et al., 2019). Similar observations have been made for sertraline metabolism in relation to CYP2B6 and CYP2C19 variation (Yuce-Artun et al., 2016). Clinical studies in paediatric anxiety and depressive disorders show that escitalopram pharmacokinetics and adverse events are modulated by CYP2C19 and CYP2D6 status, with preliminary data suggesting that metaboliser extremes may be at higher risk of side effects or suboptimal efficacy (Amitai et al., 2016). Additional work in youths at familial risk for bipolar disorder implicates CYP2C19 in mediating SSRI-related dysfunctional arousal, again via PK mechanisms rather than specific PD variants (Honeycutt et al., 2024). Evidence for PD markers in youth (e.g., SLC6A4, serotonergic receptors) is even more inconsistent than in adults, with small studies and no robust meta-analytic signal (Poweleit et al., 2019; Amitai et al., 2016).\nOverall, in this particular population, PK genes appear relevant and largely consistent across the lifespan, while PD markers remain tentative.\nIn late-life depression, a systematic review of pharmacogenetic determinants of antidepressant therapy concluded that the most consistent findings again involve CYP2D6 and CYP2C19, affecting drug exposure and adverse events, whereas PD markers (serotonergic, catecholaminergic, neurotrophic) show sparse and non-replicated associations (Marshe et al., 2020). Application-focused reviews of pharmacogenetic guidelines and decision-support tools for depression in older adults emphasise the same hierarchy: PK markers with guideline-level evidence, PD markers as emerging but not yet practice-changing (Beunk et al., 2024; Marshe et al., 2020).\nFor antipsychotics, PK variation has been most extensively studied for CYP2D6, CYP1A2, CYP3A4, and CYP2B6. A systematic review and meta-analysis of CYP2D6 polymorphisms and risperidone pharmacokinetics demonstrated clear genotype-dependent differences in active moiety concentrations, supporting dose-adjustment strategies in poor and ultrarapid metabolisers (Zhang et al., 2020). Quantitatively, dose-adjusted risperidone concentrations were approximately 2.3-fold higher in intermediate metabolisers and more than six-fold higher in poor metabolisers compared with normal metabolisers, underscoring how much larger PK effects can be than typical symptom-level gains (Zhang et al., 2020). Similar conclusions arise from systematic reviews of risperidone treatment in children and adolescents and of CYP2D6 and antipsychotic outcomes in youth more broadly (Dodsworth et al., 2018; Maruf et al., 2021). A meta-analysis of CYP1A2 polymorphisms and antipsychotic pharmacokinetics confirmed that allelic variation contributes to inter-individual differences in clozapine and olanzapine exposure, but the effect size is modest and modulated by environmental inducers such as smoking (Na Takuathung et al., 2019).\nAdditional work on quetiapine, aripiprazole, and other second-generation antipsychotics indicates that variants in CYP2D6, CYP3A5, CYP2B6, and ABC transporters influence pharmacokinetics, though the evidence is primarily derived from small trials in healthy volunteers and population PK studies rather than from large clinical cohorts (Cabaleiro et al., 2015; Zubiaur et al., 2021; Koller et al., 2020; Mao et al., 2023).\nSystematic reviews of combined pharmacokinetic and pharmacogenetic approaches to optimising psychiatric treatment conclude that PK-based dosing -especially when combined with therapeutic drug monitoring (TDM)- has the strongest empirical grounding in antipsychotic pharmacogenomics, whereas purely PD-based strategies are more speculative (Aldaz et al., 2021; de Leon, 2020).\nMultiple meta-analyses have examined PD markers and antipsychotic response. A systematic review and meta-analysis of dopamine receptor polymorphisms found that variants in DRD2 are modestly associated with antipsychotic efficacy, particularly in first-episode psychosis, but with considerable heterogeneity and limited predictive value at the individual-patient level (Zhang et al., 2015; Ma et al., 2019). Meta-analyses of COMT Val158Met and antipsychotic response in schizophrenia and schizoaffective disorder show small and inconsistent effects, with some studies suggesting better cognitive response or symptom reduction in Met carriers, while others find no significant association (Huang et al., 2016; Ma et al., 2021). Similarly, a comprehensive review of genetic variants within molecular targets of antipsychotic treatment (dopaminergic, serotonergic, glutamatergic, and neuropeptide systems) concluded that no single PD marker currently justifies routine clinical testing for efficacy prediction (Calabrò et al., 2018). Umbrella reviews integrating multiple PD markers highlight the same pattern: numerous nominally positive associations, but few that survive rigorous correction for bias, heterogeneity, and multiple testing (Grant et al., 2025; Teng et al., 2023).\nBy contrast, the adverse effects of antipsychotics have yielded somewhat stronger genetic signals, although still insufficient for widespread clinical adoption. A large systematic review and meta-analysis of antipsychotic-induced weight gain identified multiple loci, including HTR2C, melanocortin-4 receptor (MC4R), BDNF, and others, associated with weight gain across several antipsychotics, but effect sizes were small and varied across drugs (Zhang et al., 2016). Focused meta-analyses confirm that HTR2C polymorphisms and variants in other regulators of fat-mass homeostasis contribute to weight gain in bipolar disorder and schizophrenia, yet the variance explained remains limited (Creta et al., 2015; Yoshida and Müller, 2020). For hyperprolactinaemia, meta-analytic evidence supports a contribution of DRD2 variants and CYP2D6 phenotypes to prolactin elevations during treatment with certain antipsychotics (Miura et al., 2016; Calafato et al., 2020). Similarly, systematic reviews have identified single-nucleotide polymorphisms (SNPs) associated with akathisia and other extrapyramidal symptoms, but replication is inconsistent, and effect sizes are modest (Nasyrova et al., 2023).\nOverall, the genetic evidence suggests that adverse metabolic and endocrine effects of antipsychotics are influenced by both PK and PD genes, but that current markers lack sufficient predictive power to underpin routine prophylactic or stratified prescribing.\nCompared with antidepressants, the antipsychotic literature linking epigenetic or transcriptomic markers to predictive, clinically actionable outcomes is more limited and methodologically heterogeneous. A substantial proportion of the available work is mechanistic, cross-sectional, or not prospectively validated for decision-making, while clinically oriented syntheses continue to emphasise that actionable signals in antipsychotic precision prescribing cluster around PK/TDM-linked optimisation rather than receptor-level or other “omic” predictors of efficacy. For this reason, epigenetic and gene-expression findings are noted here as exploratory rather than developed as a parallel actionable evidence stream in the current hierarchy (Grant et al., 2025; Aldaz et al., 2021; de Leon, 2020; Teng et al., 2023).\nIn children and adolescents, the most consistent and reproducible antipsychotic PGx signal remains pharmacokinetic—particularly CYP2D6-linked exposure differences for risperidone—whereas evidence linking genotype to hard clinical outcomes (efficacy or tolerability endpoints) is less uniform. More broadly, where special-population data exist, they tend to reinforce a “PK-first” model of clinical usefulness rather than expanding the set of efficacy-predictive pharmacodynamic markers suitable for routine testing (Dodsworth et al., 2018; Maruf et al., 2021; Aldaz et al., 2021; de Leon, 2020).\nA systematic review of 20 years of lithium pharmacogenetics synthesised data from numerous candidate-gene and genome-wide association studies (GWAS) and concluded that no consistent, replicable genetic predictor of lithium response has yet emerged (Pagani et al., 2019). Although several loci -particularly within genes involved in neuroplasticity, circadian regulation, and second messenger systems-have shown suggestive associations, these findings are heterogeneous and often cohort-specific. For other mood stabilisers, evidence is even sparser. Genetic predictors of lamotrigine or valproate response have been explored in small studies or as secondary analyses of trials, but no variant has reached the level of evidence seen for PK genes in antidepressant or antipsychotic therapy (Fabbri et al., 2017; Kato et al., 2015; Marshe et al., 2020).\nBeyond MDD, schizophrenia and bipolar disorder, pharmacogenetic studies span a broad range of psychiatric and neuropsychiatric conditions, including autism spectrum disorder (ASD) and intellectual disability, obsessive–compulsive disorder (OCD), post-traumatic stress disorder (PTSD), substance use disorders (SUDs) and anxiety disorders. A systematic review of pharmacogenomic studies in intellectual disabilities and ASD reported numerous exploratory associations between PK and PD genes and psychotropic response or adverse events, but emphasised the paucity of high-quality trials and the absence of validated markers ready for clinical implementation (Yoshida et al., 2021). Pilot data suggest that pharmacogenetic profiling may help reduce psychotropic adverse events in ASD by avoiding extreme PK phenotypes or high-risk gene–drug combinations, but these findings require replication (de Miguel et al., 2023). Reviews in alcohol use disorders, OCD, and PTSD similarly describe a patchwork of the candidate-gene findings -often involving opioid receptor genes, serotonergic and dopaminergic variants- but no single marker with consistent predictive value across studies (Helton and Lohoff, 2015; Zai et al., 2021; Naß and Efferth, 2017; Baba et al., 2022).\nSeveral lines of evidence reinforce the conclusion that single variants are unlikely to capture the complexity of psychotropic treatment response. First, polygenic risk scores developed for psychiatric disorders explain only a modest proportion of liability and show limited correlation with treatment outcomes in current data sets (Grant et al., 2025; Müller et al., 2024). Second, the emerging “placebome” literature shows that genetic variation also influences placebo responsiveness, complicating the interpretation of drug-specific pharmacogenetic effects in clinical trials (Hall et al., 2015). Third, gene–environment interactions -such as smoking effects on CYP1A2, drug–drug–gene interactions involving P450 enzymes, and the impact of inflammatory or hormonal milieu-modulate genetic influences on pharmacokinetics and pharmacodynamics (Beunk et al., 2024; Stingl and Viviani, 2015; Na Takuathung et al., 2019; Thomas, , 2020).\nCollectively, the genetic evidence base supports a hierarchy of markers:\nHigh-confidence, guideline-level PK markers (CYP2D6, CYP2C19) for specific psychotropic drugs, especially certain antidepressants and antipsychotics.\nModerate-confidence PD markers (serotonin transporter/receptors, dopaminergic and neurotrophic genes) with small, inconsistent effects that are not currently recommended for routine testing.\nExploratory epigenetic, transcriptomic, and polygenic markers that enrich mechanistic understanding but remain far from clinical translation.\nHigh-confidence, guideline-level PK markers (CYP2D6, CYP2C19) for specific psychotropic drugs, especially certain antidepressants and antipsychotics.\nModerate-confidence PD markers (serotonin transporter/receptors, dopaminergic and neurotrophic genes) with small, inconsistent effects that are not currently recommended for routine testing.\nExploratory epigenetic, transcriptomic, and polygenic markers that enrich mechanistic understanding but remain far from clinical translation.\nThis hierarchy underpins the subsequent analysis of clinical integration, where the tension between solid but narrow PK evidence and broad but weak PD findings becomes central to evaluating when and how psychiatric pharmacogenomics should influence prescribing decisions.\nRandomised trials and meta-analyses evaluating PGx-guided prescribing versus TAU form the core empirical basis for clinical integration. Five recent quantitative syntheses -including two broad meta-analyses of combinatorial pharmacogenomic testing (Brown et al., 2020; Skryabin et al., 2023), two focused on RCTs in MDD (Wang et al., 2023; Cheng et al., 2023), and one cumulative meta-analysis of guided versus unguided antidepressant therapy (Zhang et al., 2025)- consistently report small-to-moderate improvements in response and remission when prescribing is informed by multigene panels. However, these benefits are heterogeneous and context-dependent. Effect sizes are typically larger in trials with high prevalence of actionable gene–drug interactions at baseline, more stringent adherence to PGx recommendations, and more severe or treatment-resistant populations (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025), while large pragmatic trials in unselected primary-care settings show more modest gains (Greden et al., 2019; Oslin et al., 2022).\nMeta-analyses pooling RCTs of PGx-guided antidepressant treatment in MDD converge on several points:Response and remission: combinatorial PGx testing modestly increases the likelihood of response and remission compared with TAU, with the most consistent signal in treatment-resistant or highly pre-treated patients (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In the largest RCT-focused meta-analysis to date, PGx-guided care was associated with higher response (week 8 OR 1.32, 95% CI 1.15–1.53; week 12 OR 1.36, 95% CI 1.15–1.62) and remission (week 8 OR 1.58, 95% CI 1.31–1.92; week 12 OR 2.23, 95% CI 1.23–4.04) compared with TAU in patients with MDD (Wang et al., 2023). The cumulative meta-analysis by Zhang et al. (2025) suggests that, as more trials accumulate, the overall estimate stabilises in the small-to-moderate range, with no indication that early positive studies were simply outliers (Zhang et al., 2025).Symptom reduction and time to improvement: some syntheses report earlier or greater symptom reduction in guided arms (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023), but these differences are less robust across sensitivity analyses and often attenuate when high-risk-of-bias studies are excluded (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).Hospitalisation and healthcare utilisation: meta-analytic data on hospitalisation, emergency visits, or work functioning are sparse. Where reported, reductions favour guided treatment but are inconsistent and highly dependent on single large studies (Brown et al., 2020; Skryabin et al., 2023).Heterogeneity and risk of bias: all meta-analyses underscore substantial between-study heterogeneity -driven by differences in panels, algorithms, blinding, sponsorship, and outcome definitions- and highlight a predominance of industry-funded trials (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). When analyses are restricted to more rigorous designs (adequate blinding, pre-specified primary outcomes, independent funding), effect sizes diminish, but generally do not disappear (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nResponse and remission: combinatorial PGx testing modestly increases the likelihood of response and remission compared with TAU, with the most consistent signal in treatment-resistant or highly pre-treated patients (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In the largest RCT-focused meta-analysis to date, PGx-guided care was associated with higher response (week 8 OR 1.32, 95% CI 1.15–1.53; week 12 OR 1.36, 95% CI 1.15–1.62) and remission (week 8 OR 1.58, 95% CI 1.31–1.92; week 12 OR 2.23, 95% CI 1.23–4.04) compared with TAU in patients with MDD (Wang et al., 2023). The cumulative meta-analysis by Zhang et al. (2025) suggests that, as more trials accumulate, the overall estimate stabilises in the small-to-moderate range, with no indication that early positive studies were simply outliers (Zhang et al., 2025).\nSymptom reduction and time to improvement: some syntheses report earlier or greater symptom reduction in guided arms (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023), but these differences are less robust across sensitivity analyses and often attenuate when high-risk-of-bias studies are excluded (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nHospitalisation and healthcare utilisation: meta-analytic data on hospitalisation, emergency visits, or work functioning are sparse. Where reported, reductions favour guided treatment but are inconsistent and highly dependent on single large studies (Brown et al., 2020; Skryabin et al., 2023).\nHeterogeneity and risk of bias: all meta-analyses underscore substantial between-study heterogeneity -driven by differences in panels, algorithms, blinding, sponsorship, and outcome definitions- and highlight a predominance of industry-funded trials (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). When analyses are restricted to more rigorous designs (adequate blinding, pre-specified primary outcomes, independent funding), effect sizes diminish, but generally do not disappear (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nOverall, the meta-analytic literature supports the view that PGx-guided antidepressant prescribing improves outcomes on average, with typical pooled OR/RR estimates for response and remission in the ≈1.2–1.6 range, but with a modest absolute magnitude and considerable variability across settings (Brown et al., 2020; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nThe GUIDED trial is the largest patient- and rater-blinded RCT of combinatorial pharmacogenomic testing in MDD (Greden et al., 2019). In this trial, patients were randomised to GeneSight-guided care or TAU; the primary outcome (symptom change at a pre-specified timepoint) did not differ significantly between arms, but several secondary outcomes (response, remission in the subset with gene–drug interactions) favoured guided treatment (Greden et al., 2019; Thase et al., 2019). Two independent meta-analyses that include GUIDED interpret these results as compatible with a real but modest benefit, particularly when testing reveals actionable gene–drug interactions and clinicians adhere to recommendations (Brown et al., 2020; Skryabin et al., 2023). However, the discordance between non-significant primary and positive secondary outcomes in GUIDED is one of the main reasons HTA bodies remain cautious (Health Quality Ontario, 2017). Other RCTs–such as the targeted PGx-guided trial by Bradley et al. (2018), the Canadian patient- and rater-blinded trial by Tiwari et al. (2022), and the PANDORA trial combining PGx with clinical algorithms–similarly report improvements in response or remission in guided arms, with effect sizes in broadly the same range as the meta-analytic estimates (Bradley et al., 2018; Tiwari et al., 2022; Minelli et al., 2021). A single-blind randomised study in depression also found better symptom trajectories when clinicians were provided with PGx results, although the design makes expectancy effects difficult to rule out (Shan et al., 2019).\nTaken together, these trials illustrate a consistent pattern: PGx guidance rarely transforms outcomes, but it tends to shift probabilities modestly in favour of better response and tolerability, particularly in patients with a high burden of gene–drug conflicts.\nThe PRIME Care trial extended this work into a large U.S. Veterans Health Administration (VA) population with depression treated in routine practice (Oslin et al., 2022). In this pragmatic trial, clinicians in the PGx arm received reports on CYP2D6/CYP2C19 gene–drug interactions and recommendations, whereas the control arm followed usual prescribing practices. PRIME Care showed that PGx testing reduced prescribing of medications with predicted gene–drug interactions and that remission rates were modestly higher over follow-up in the guided arm (Oslin et al., 2022). However, absolute differences were minor, and not all timepoints reached statistical significance. These results support the real-world feasibility of integrating PGx into large healthcare systems, but also underline that structural and behavioural factors (clinician adherence, formulary constraints, patient preference) limit the translation of genetic information into large outcome gains.\nIn older adults, a sub-analytical study of older MDD patients receiving combinatorial PGx-guided treatment, Forester et al. (2020) reported improved depressive outcomes compared with unguided care (Forester et al., 2020). These data, together with the broader late-life PGx literature (Marshe et al., 2020), suggest that older adults may particularly benefit from avoiding extreme metaboliser phenotypes and high-risk gene–drug combinations, given their higher vulnerability to adverse events.\nA study that explored adolescent depression, a rater-blinded RCT, found that PGx-guided treatment was feasible and showed signals of improved outcomes relative to TAU, though sample size was modest and follow-up was short (Vande et al., 2022). A protocol for a double-blind RCT in paediatric anxiety disorders further illustrates growing interest in rigorous evaluation of PGx guidance in youth, but outcome data are not yet available (Strawn et al., 2021).\nIn long-term care facilities, an observational randomised implementation study integrating PGx into “individualised medication management” for depression, pain, and dementia showed improvements in clinical management and reductions in potentially inappropriate medications, although design limitations preclude firm causal inference (Dorfman et al., 2020).\nThese studies collectively indicate that PGx-guided prescribing is technically feasible and acceptable in vulnerable populations, but also that evidence remains thinner and more fragile than in working-age adults.\nClinical integration of PGx with antipsychotics is far less advanced than with antidepressants. The most informative trial is a randomised study in schizophrenia in which routine CYP2D6/CYP2C19 genotyping was compared with standard care, with antipsychotic drug persistence as the primary endpoint (Jürgens et al., 2020). Although genotyping led to some adjustments in dosing and drug choice, the trial did not demonstrate a large or unequivocal advantage of PGx-guided care on long-term persistence (Jürgens et al., 2020). Interpretation is complicated by heterogeneous medication regimens, limited power for individual gene–drug pairs, and the absence of structured algorithms comparable to those used in combinatorial antidepressant panels. Beyond this RCT, evidence for the clinical integration of antipsychotic PGx comes mainly from implementation programmes and observational studies that combine TDM with CYP2D6-guided dosing (Aldaz et al., 2021; de Leon, 2020). These suggest that PK-driven personalisation is plausible and may reduce adverse events, but robust RCT data on hard clinical outcomes (relapse, hospitalisation) are lacking.\nPharmacogenomic testing and TDM address different clinical questions and are best viewed as complementary. PGx is most informative upstream, by indicating expected metabolic capacity (CYP2D6/CYP2C19 phenotype) and the risk of under- or overexposure at standard doses—particularly early in treatment and at metabolizer extremes. TDM, in contrast, measures actual exposure and integrates non-genetic determinants, including adherence, smoking-related CYP1A2 induction, inflammation, drug–drug interactions, and organ impairment. Consequently, while PGx can support initial drug/dose selection for high-confidence PK gene–drug pairs, it does not replace TDM when concentration-based individualization is required. This is particularly relevant for antipsychotics: de Leon emphasized that PGx alone is insufficient for dose individualization and that TDM remains essential, especially for clozapine, where CYP1A2 activity is strongly modified by smoking and inflammatory status (de Leon, 2020). A pragmatic approach is to use PGx to optimize initial selection/dosing and TDM to confirm exposure and troubleshoot non-response or adverse effects in higher-risk scenarios (Aldaz et al., 2021; de Leon, 2020).\nSeveral studies have examined whether PGx-guided prescribing translates into reduced costs or more efficient resource use. In PRIME Care, for example, the adjusted odds of remission at 24 weeks favoured PGx-guided care (OR 1.28, p = 0.02), but the absolute difference in remission was only 2.8 percentage points (approximate NNT ≈ 1/0.028 ≈ 36 over 24 weeks), illustrating how statistically significant relative gains can translate into modest absolute improvements (Oslin et al., 2022). Trial-based economic evaluations of genotype-specific dosing of tricyclic antidepressants and comparisons between PGx-based, phenotype-based, and standard dosing of nortriptyline indicate that PGx-guided strategies can be cost-effective when they prevent serious adverse events or reduce trial-and-error switching in high-risk patients (Ter et al., 2025; Vos et al., 2025). In psychiatric populations, post hoc economic analyses of combinatorial PGx trials in elderly patients and primary care report lower medication costs and fewer changes in treatment in guided arms (Jablonski et al., 2020; Brown et al., 2017), while a systematic review of cost-effectiveness across multiple CPIC-guided drugs (primarily non-psychiatric) finds that most studies favour PGx testing from a payer perspective (Morris et al., 2022). A recent Canadian microsimulation model for MDD further suggests that PGx-guided prescribing may be economically attractive at commonly accepted willingness-to-pay thresholds, particularly in recurrent or treatment-resistant depression (Ghanbarian et al., 2024). That said, economic benefits are highly sensitive to assumptions about test price, the prevalence of actionable genotypes, and the magnitude of clinical effect (Morris et al., 2022; Strawn et al., 2021; Dorfman et al., 2020; Jürgens et al., 2020; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024). Health technology assessments explicitly caution against extrapolating favourable economic models from industry-sponsored trials and call for more independent, jurisdiction-specific evaluations (Health Quality Ontario, 2017).\nSeveral implementation-focused projects shed light on how PGx testing performs when embedded in real clinical workflows, rather than in tightly controlled RCTs. Hospital and health-system programmes (e.g., UF Health’s personalised medicine programme) show that pre-emptive or reactive PGx testing can be integrated into electronic health records with decision support, and that psychiatric prescribing is among the areas where alerts for CYP2D6/CYP2C19 interactions are common (Cavallari et al., 2017). A recent scoping review of PGx implementation in hospital settings summarises a wide range of strategies–from pharmacist-driven consult services to automated alerts–and concludes that uptake is feasible but constrained by IT infrastructure, clinician education, and reimbursement (Wu et al., 2025). Within psychiatry-specific settings, analyses of CYP-GUIDES trial data demonstrate that providing PGx-based decision support in hospitalised depressed patients alters prescribing patterns and identifies a high prevalence of potential gene–drug interactions, particularly in ethnically diverse populations (Crutchley and Keuler, 2022; Ruaño et al., 2021). Parallel cohort studies in MDD document that the majority of patients harbour at least one predicted antidepressant gene–drug interaction, reinforcing the theoretical rationale for PGx-guided care even before clinical benefit is directly measured (Ramsey et al., 2021). Pragmatic projects in primary care and community pharmacies show that front-line clinicians and pharmacists can use PGx reports to adjust antidepressant or cannabis-related prescribing, but also that variability in panel content, report format and local expertise leads to inconsistent application of recommendations (Wu et al., 2025; Cavallari et al., 2017; Rollinson et al., 2020; Bradley et al., 2018).\nBased on the review of RCTs, meta-analyses, economic evaluations, and implementation studies, several robust conclusions emerged. First, antidepressant PGx panels add probabilistic value, not deterministic rules. Meta-analyses and large trials consistently suggest that PGx guidance yields incremental improvements in response/remission and modest reductions in gene–drug conflicts, particularly in patients with prior non-response or high burden of pharmacokinetic risk (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025; Greden et al., 2019; Oslin et al., 2022; Thase et al., 2019; Bradley et al., 2018; Tiwari et al., 2022; Minelli et al., 2021; Shan et al., 2019). These gains are clinically relevant at the population level but fall short of a paradigm shift.\nSecond, context and implementation quality matter as much as biology. Trials with stronger effects typically combine: a high prevalence of actionable variants, structured algorithms, clinician adherence, and limited formulary constraints. Where any of these elements erode–e.g., in pragmatic settings with flexible care and incomplete uptake–effect sizes diminish, despite the same underlying genetics (Greden et al., 2019; Bradley et al., 2018; Tiwari et al., 2022; Dorfman et al., 2020; Crutchley and Keuler, 2022; Ruaño et al., 2021; Ramsey et al., 2021).\nThird, evidence is strongest for antidepressants, weaker for antipsychotics, and sparse for other indications. For antipsychotics, single RCTs and multiple observational programmes suggest possible benefit of PK-guided dosing, but convincing RCT evidence for improved relapse or persistence is still lacking (Mao et al., 2023; Aldaz et al., 2021; Jürgens et al., 2020). For mood stabilisers and most other psychotropics, PGx integration remains largely inferential or exploratory (Fabbri et al., 2017; Stingl and Viviani, 2015; Marshe et al., 2020; Pagani et al., 2019).\nFourth, economic and structural arguments are promising but conditional. Economic analyses generally support the potential cost-effectiveness of PGx in selected psychiatric populations (Morris et al., 2022; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024), yet these projections depend on assumptions about test pricing, effect size, and health-system efficiency that may not hold in all jurisdictions, particularly in low- and middle-income countries with different ancestry profiles and resource constraints (Morris et al., 2022; Koopmans et al., 2021; Ghanbarian et al., 2024).\nIn conclusion, the clinical integration data depict psychiatric pharmacogenomics as an incremental optimisation tool rather than a disruptive technology: useful when deployed thoughtfully in high-risk contexts, but insufficient on its own to guarantee robust, universal gains in psychiatric outcomes.\n\n\n### Genetic evidence base for psychiatric pharmacogenomics\nAcross psychiatric diagnoses, genetic influences on pharmacological response and tolerability are consistently polygenic and modest in effect size. Umbrella reviews and consensus papers show that most single variants explain only a very small proportion of the variance in treatment outcomes, with limited replication across cohorts and ancestries (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Santoro et al., 2016). Large-scale overviews of genomic contributions to psychiatric disorders highlight a similar pattern in disease risk: hundreds of common variants with small effect sizes distributed across many loci rather than a few major genes (Santoro et al., 2016). Within this landscape, PK genes, particularly CYP2D6 and CYP2C19, emerge as the most significant and clinically actionable markers across psychotropic classes, whereas PD markers (serotonergic, dopaminergic, neurotrophic, and catecholaminergic genes) show inconsistent associations with treatment response or adverse effects (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Santoro et al., 2016; Beunk et al., 2024; Fabbri et al., 2017; Chang et al., 2018).\nMultiple systematic reviews and consensus statements converge on CYP2D6 and CYP2C19 as the central PK determinants of antidepressant exposure and, indirectly, of response and tolerability (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Wu et al., 2025; Maruf et al., 2020; Fabbri et al., 2017; Chang et al., 2018). Early mechanistic reviews of psychotropic metabolism established that selective SSRIs, serotonin–noradrenaline reuptake inhibitors (SNRIs), and TCAs vary in their dependence on these enzymes, with poor metabolisers showing higher plasma concentrations and an increased risk of adverse events, and ultrarapid metabolisers showing subtherapeutic exposure (Stingl and Viviani, 2015). A recent comprehensive systematic review of antidepressant pharmacogenetics in MDD, covering 2019–2024, synthesised 29 studies (≈40,000 patients) and found that CYP2D6 and CYP2C19 phenotypes are consistently associated with antidepressant plasma levels and adverse events, and more variably with clinical response (Fornaguera and Miarons, 2025). Similar conclusions are drawn by an independent large-scale review of antidepressant pharmacogenetics (Grant et al., 2025) and by a systematic review focused on pharmacogenomic biomarkers of antidepressant efficacy and safety (Correia et al., 2022). Drug-specific evidence reinforces this pattern. Systematic reviews and meta-analyses show that CYP2D6 genotype strongly influences desipramine, nortriptyline, and venlafaxine exposure and toxicity (Stingl and Viviani, 2015; Berm et al., 2016) and that CYP2C19 variation is linked to escitalopram and citalopram tolerability and dose requirements in both adults and youth (Aldrich et al., 2019; Huang et al., 2021). Observational studies report similar findings for sertraline and other SSRIs (Yuce-Artun et al., 2016). Taken together, the genetic evidence supports a biologically coherent and reproducible PK signal for CYP2D6/CYP2C19–antidepressant pairs, particularly for TCAs and several SSRIs. However, effect sizes for clinical response and remission are modest, and many studies remain underpowered or limited to a single ancestry (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Stingl and Viviani, 2015; Berm et al., 2016; Aldrich et al., 2019; Huang et al., 2021; Yuce-Artun et al., 2016).\nBy contrast, pharmacodynamic candidate genes show far more inconsistent evidence. Meta-analyses of serotonin transporter (solute carrier family-6 member 4 (SLC6A4), 5-hydroxytryptamine transporter-linked polymorphic region (5-HTTLPR)) variation and antidepressant response or tolerability reveal statistically significant but small effects, often restricted to particular ancestries or to specific drug classes (Stein et al., 2021; Outhred et al., 2016). A systematic review and meta-analysis of serotonin transporter genetic variation concluded that, although some associations with response and adverse events are reproducible, the overall predictive value is low and not robust enough for routine clinical use (Stein et al., 2021). Similarly, serotonin receptor genes (e.g., HTR2A, HTR2C) and other serotonergic markers have yielded heterogeneous results. Individual studies and small meta-analyses have identified associations between HTR2C polymorphisms and SSRI response or side effects, but these are not consistently replicated across cohorts or drugs (Correia et al., 2022; Wang et al., 2023; Li et al., 2019).\nFor catecholaminergic genes, multiple meta-analyses address catechol-O-methyltransferase (COMT) Val158Met and related polymorphisms. A quantitative synthesis of COMT and antidepressant response in major depression found at most weak and inconsistent associations across studies (Tang et al., 2020; Yin et al., 2016). A broader review of catecholamine pathway polymorphisms (including COMT, SLC6A2, SLC6A3, and dopamine receptor genes- DRD2 and DRD4) similarly concluded that effect sizes are small and that results vary by ethnicity, outcome definition, and study design (Wang et al., 2023; Yin et al., 2015). Neurotrophic and other signalling genes have also been investigated. Variants in brain-derived neurotrophic factor (BDNF), tropomyosin receptor kinase B (TRKB), p75 neurotrophin receptor (p75NTR), nerve growth factor (NGF), and related pathways have been linked to antidepressant efficacy in single studies (Colle et al., 2015; Yeh et al., 2015). In addition, large candidate-gene analyses combining multiple markers and early clinical improvement suggest that genetic information may modestly improve prediction models (Kato et al., 2015). However, systematic reviews emphasise that no single PD marker has reached the level of evidence or reproducibility seen for CYP2D6/CYP2C19 (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Colle et al., 2015; Yeh et al., 2015; Kato et al., 2015).\nIn summary, PD markers contribute to a diffuse and fragile genetic signal, with many positive findings but limited replication and small incremental predictive value beyond clinical factors.\nBeyond DNA sequence variation, several reviews have examined epigenetic and gene expression markers as predictors of antidepressant response. A systematic review of RNA expression changes during antidepressant treatment identified multiple candidate transcripts and pathways, but highlighted substantial heterogeneity in methods, platforms, and clinical endpoints, with only a few signals replicated across studies (Kim et al., 2021). Epigenetic studies report associations between methylation of serotonin-related genes and treatment outcomes (Bruzzone et al., 2025). For example, methylation patterns in SLC6A4 and other serotonergic loci have been proposed as predictors of clinical improvement, while methylation of COMT has been associated with stimulant response in attention-deficit/hyperactivity disorder, suggesting potential relevance of epigenetic modulation in psychopharmacology more broadly (Fageera et al., 2021). Consensus position papers integrating genetic, epigenetic, and gene-expression findings emphasise that, while these markers deepen mechanistic understanding, their clinical utility remains exploratory and requires prospective validation in larger, standardised cohorts (Fabbri et al., 2017).\nIn children and adolescents, the evidence base is smaller but mirrors that of adults. Pharmacokinetic studies indicate that CYP2C19 metaboliser status influences escitalopram and citalopram exposure, adverse events, and, to a lesser extent, response, consistent with adult data (Huang et al., 2021; Poweleit et al., 2019). Similar observations have been made for sertraline metabolism in relation to CYP2B6 and CYP2C19 variation (Yuce-Artun et al., 2016). Clinical studies in paediatric anxiety and depressive disorders show that escitalopram pharmacokinetics and adverse events are modulated by CYP2C19 and CYP2D6 status, with preliminary data suggesting that metaboliser extremes may be at higher risk of side effects or suboptimal efficacy (Amitai et al., 2016). Additional work in youths at familial risk for bipolar disorder implicates CYP2C19 in mediating SSRI-related dysfunctional arousal, again via PK mechanisms rather than specific PD variants (Honeycutt et al., 2024). Evidence for PD markers in youth (e.g., SLC6A4, serotonergic receptors) is even more inconsistent than in adults, with small studies and no robust meta-analytic signal (Poweleit et al., 2019; Amitai et al., 2016).\nOverall, in this particular population, PK genes appear relevant and largely consistent across the lifespan, while PD markers remain tentative.\nIn late-life depression, a systematic review of pharmacogenetic determinants of antidepressant therapy concluded that the most consistent findings again involve CYP2D6 and CYP2C19, affecting drug exposure and adverse events, whereas PD markers (serotonergic, catecholaminergic, neurotrophic) show sparse and non-replicated associations (Marshe et al., 2020). Application-focused reviews of pharmacogenetic guidelines and decision-support tools for depression in older adults emphasise the same hierarchy: PK markers with guideline-level evidence, PD markers as emerging but not yet practice-changing (Beunk et al., 2024; Marshe et al., 2020).\nFor antipsychotics, PK variation has been most extensively studied for CYP2D6, CYP1A2, CYP3A4, and CYP2B6. A systematic review and meta-analysis of CYP2D6 polymorphisms and risperidone pharmacokinetics demonstrated clear genotype-dependent differences in active moiety concentrations, supporting dose-adjustment strategies in poor and ultrarapid metabolisers (Zhang et al., 2020). Quantitatively, dose-adjusted risperidone concentrations were approximately 2.3-fold higher in intermediate metabolisers and more than six-fold higher in poor metabolisers compared with normal metabolisers, underscoring how much larger PK effects can be than typical symptom-level gains (Zhang et al., 2020). Similar conclusions arise from systematic reviews of risperidone treatment in children and adolescents and of CYP2D6 and antipsychotic outcomes in youth more broadly (Dodsworth et al., 2018; Maruf et al., 2021). A meta-analysis of CYP1A2 polymorphisms and antipsychotic pharmacokinetics confirmed that allelic variation contributes to inter-individual differences in clozapine and olanzapine exposure, but the effect size is modest and modulated by environmental inducers such as smoking (Na Takuathung et al., 2019).\nAdditional work on quetiapine, aripiprazole, and other second-generation antipsychotics indicates that variants in CYP2D6, CYP3A5, CYP2B6, and ABC transporters influence pharmacokinetics, though the evidence is primarily derived from small trials in healthy volunteers and population PK studies rather than from large clinical cohorts (Cabaleiro et al., 2015; Zubiaur et al., 2021; Koller et al., 2020; Mao et al., 2023).\nSystematic reviews of combined pharmacokinetic and pharmacogenetic approaches to optimising psychiatric treatment conclude that PK-based dosing -especially when combined with therapeutic drug monitoring (TDM)- has the strongest empirical grounding in antipsychotic pharmacogenomics, whereas purely PD-based strategies are more speculative (Aldaz et al., 2021; de Leon, 2020).\nMultiple meta-analyses have examined PD markers and antipsychotic response. A systematic review and meta-analysis of dopamine receptor polymorphisms found that variants in DRD2 are modestly associated with antipsychotic efficacy, particularly in first-episode psychosis, but with considerable heterogeneity and limited predictive value at the individual-patient level (Zhang et al., 2015; Ma et al., 2019). Meta-analyses of COMT Val158Met and antipsychotic response in schizophrenia and schizoaffective disorder show small and inconsistent effects, with some studies suggesting better cognitive response or symptom reduction in Met carriers, while others find no significant association (Huang et al., 2016; Ma et al., 2021). Similarly, a comprehensive review of genetic variants within molecular targets of antipsychotic treatment (dopaminergic, serotonergic, glutamatergic, and neuropeptide systems) concluded that no single PD marker currently justifies routine clinical testing for efficacy prediction (Calabrò et al., 2018). Umbrella reviews integrating multiple PD markers highlight the same pattern: numerous nominally positive associations, but few that survive rigorous correction for bias, heterogeneity, and multiple testing (Grant et al., 2025; Teng et al., 2023).\nBy contrast, the adverse effects of antipsychotics have yielded somewhat stronger genetic signals, although still insufficient for widespread clinical adoption. A large systematic review and meta-analysis of antipsychotic-induced weight gain identified multiple loci, including HTR2C, melanocortin-4 receptor (MC4R), BDNF, and others, associated with weight gain across several antipsychotics, but effect sizes were small and varied across drugs (Zhang et al., 2016). Focused meta-analyses confirm that HTR2C polymorphisms and variants in other regulators of fat-mass homeostasis contribute to weight gain in bipolar disorder and schizophrenia, yet the variance explained remains limited (Creta et al., 2015; Yoshida and Müller, 2020). For hyperprolactinaemia, meta-analytic evidence supports a contribution of DRD2 variants and CYP2D6 phenotypes to prolactin elevations during treatment with certain antipsychotics (Miura et al., 2016; Calafato et al., 2020). Similarly, systematic reviews have identified single-nucleotide polymorphisms (SNPs) associated with akathisia and other extrapyramidal symptoms, but replication is inconsistent, and effect sizes are modest (Nasyrova et al., 2023).\nOverall, the genetic evidence suggests that adverse metabolic and endocrine effects of antipsychotics are influenced by both PK and PD genes, but that current markers lack sufficient predictive power to underpin routine prophylactic or stratified prescribing.\nCompared with antidepressants, the antipsychotic literature linking epigenetic or transcriptomic markers to predictive, clinically actionable outcomes is more limited and methodologically heterogeneous. A substantial proportion of the available work is mechanistic, cross-sectional, or not prospectively validated for decision-making, while clinically oriented syntheses continue to emphasise that actionable signals in antipsychotic precision prescribing cluster around PK/TDM-linked optimisation rather than receptor-level or other “omic” predictors of efficacy. For this reason, epigenetic and gene-expression findings are noted here as exploratory rather than developed as a parallel actionable evidence stream in the current hierarchy (Grant et al., 2025; Aldaz et al., 2021; de Leon, 2020; Teng et al., 2023).\nIn children and adolescents, the most consistent and reproducible antipsychotic PGx signal remains pharmacokinetic—particularly CYP2D6-linked exposure differences for risperidone—whereas evidence linking genotype to hard clinical outcomes (efficacy or tolerability endpoints) is less uniform. More broadly, where special-population data exist, they tend to reinforce a “PK-first” model of clinical usefulness rather than expanding the set of efficacy-predictive pharmacodynamic markers suitable for routine testing (Dodsworth et al., 2018; Maruf et al., 2021; Aldaz et al., 2021; de Leon, 2020).\nA systematic review of 20 years of lithium pharmacogenetics synthesised data from numerous candidate-gene and genome-wide association studies (GWAS) and concluded that no consistent, replicable genetic predictor of lithium response has yet emerged (Pagani et al., 2019). Although several loci -particularly within genes involved in neuroplasticity, circadian regulation, and second messenger systems-have shown suggestive associations, these findings are heterogeneous and often cohort-specific. For other mood stabilisers, evidence is even sparser. Genetic predictors of lamotrigine or valproate response have been explored in small studies or as secondary analyses of trials, but no variant has reached the level of evidence seen for PK genes in antidepressant or antipsychotic therapy (Fabbri et al., 2017; Kato et al., 2015; Marshe et al., 2020).\nBeyond MDD, schizophrenia and bipolar disorder, pharmacogenetic studies span a broad range of psychiatric and neuropsychiatric conditions, including autism spectrum disorder (ASD) and intellectual disability, obsessive–compulsive disorder (OCD), post-traumatic stress disorder (PTSD), substance use disorders (SUDs) and anxiety disorders. A systematic review of pharmacogenomic studies in intellectual disabilities and ASD reported numerous exploratory associations between PK and PD genes and psychotropic response or adverse events, but emphasised the paucity of high-quality trials and the absence of validated markers ready for clinical implementation (Yoshida et al., 2021). Pilot data suggest that pharmacogenetic profiling may help reduce psychotropic adverse events in ASD by avoiding extreme PK phenotypes or high-risk gene–drug combinations, but these findings require replication (de Miguel et al., 2023). Reviews in alcohol use disorders, OCD, and PTSD similarly describe a patchwork of the candidate-gene findings -often involving opioid receptor genes, serotonergic and dopaminergic variants- but no single marker with consistent predictive value across studies (Helton and Lohoff, 2015; Zai et al., 2021; Naß and Efferth, 2017; Baba et al., 2022).\n\n\n### Overall architecture of genetic influences on treatment response\nAcross psychiatric diagnoses, genetic influences on pharmacological response and tolerability are consistently polygenic and modest in effect size. Umbrella reviews and consensus papers show that most single variants explain only a very small proportion of the variance in treatment outcomes, with limited replication across cohorts and ancestries (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Santoro et al., 2016). Large-scale overviews of genomic contributions to psychiatric disorders highlight a similar pattern in disease risk: hundreds of common variants with small effect sizes distributed across many loci rather than a few major genes (Santoro et al., 2016). Within this landscape, PK genes, particularly CYP2D6 and CYP2C19, emerge as the most significant and clinically actionable markers across psychotropic classes, whereas PD markers (serotonergic, dopaminergic, neurotrophic, and catecholaminergic genes) show inconsistent associations with treatment response or adverse effects (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Santoro et al., 2016; Beunk et al., 2024; Fabbri et al., 2017; Chang et al., 2018).\n\n\n### Antidepressant pharmacogenetics in major depressive disorder\nMultiple systematic reviews and consensus statements converge on CYP2D6 and CYP2C19 as the central PK determinants of antidepressant exposure and, indirectly, of response and tolerability (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Wu et al., 2025; Maruf et al., 2020; Fabbri et al., 2017; Chang et al., 2018). Early mechanistic reviews of psychotropic metabolism established that selective SSRIs, serotonin–noradrenaline reuptake inhibitors (SNRIs), and TCAs vary in their dependence on these enzymes, with poor metabolisers showing higher plasma concentrations and an increased risk of adverse events, and ultrarapid metabolisers showing subtherapeutic exposure (Stingl and Viviani, 2015). A recent comprehensive systematic review of antidepressant pharmacogenetics in MDD, covering 2019–2024, synthesised 29 studies (≈40,000 patients) and found that CYP2D6 and CYP2C19 phenotypes are consistently associated with antidepressant plasma levels and adverse events, and more variably with clinical response (Fornaguera and Miarons, 2025). Similar conclusions are drawn by an independent large-scale review of antidepressant pharmacogenetics (Grant et al., 2025) and by a systematic review focused on pharmacogenomic biomarkers of antidepressant efficacy and safety (Correia et al., 2022). Drug-specific evidence reinforces this pattern. Systematic reviews and meta-analyses show that CYP2D6 genotype strongly influences desipramine, nortriptyline, and venlafaxine exposure and toxicity (Stingl and Viviani, 2015; Berm et al., 2016) and that CYP2C19 variation is linked to escitalopram and citalopram tolerability and dose requirements in both adults and youth (Aldrich et al., 2019; Huang et al., 2021). Observational studies report similar findings for sertraline and other SSRIs (Yuce-Artun et al., 2016). Taken together, the genetic evidence supports a biologically coherent and reproducible PK signal for CYP2D6/CYP2C19–antidepressant pairs, particularly for TCAs and several SSRIs. However, effect sizes for clinical response and remission are modest, and many studies remain underpowered or limited to a single ancestry (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Stingl and Viviani, 2015; Berm et al., 2016; Aldrich et al., 2019; Huang et al., 2021; Yuce-Artun et al., 2016).\nBy contrast, pharmacodynamic candidate genes show far more inconsistent evidence. Meta-analyses of serotonin transporter (solute carrier family-6 member 4 (SLC6A4), 5-hydroxytryptamine transporter-linked polymorphic region (5-HTTLPR)) variation and antidepressant response or tolerability reveal statistically significant but small effects, often restricted to particular ancestries or to specific drug classes (Stein et al., 2021; Outhred et al., 2016). A systematic review and meta-analysis of serotonin transporter genetic variation concluded that, although some associations with response and adverse events are reproducible, the overall predictive value is low and not robust enough for routine clinical use (Stein et al., 2021). Similarly, serotonin receptor genes (e.g., HTR2A, HTR2C) and other serotonergic markers have yielded heterogeneous results. Individual studies and small meta-analyses have identified associations between HTR2C polymorphisms and SSRI response or side effects, but these are not consistently replicated across cohorts or drugs (Correia et al., 2022; Wang et al., 2023; Li et al., 2019).\nFor catecholaminergic genes, multiple meta-analyses address catechol-O-methyltransferase (COMT) Val158Met and related polymorphisms. A quantitative synthesis of COMT and antidepressant response in major depression found at most weak and inconsistent associations across studies (Tang et al., 2020; Yin et al., 2016). A broader review of catecholamine pathway polymorphisms (including COMT, SLC6A2, SLC6A3, and dopamine receptor genes- DRD2 and DRD4) similarly concluded that effect sizes are small and that results vary by ethnicity, outcome definition, and study design (Wang et al., 2023; Yin et al., 2015). Neurotrophic and other signalling genes have also been investigated. Variants in brain-derived neurotrophic factor (BDNF), tropomyosin receptor kinase B (TRKB), p75 neurotrophin receptor (p75NTR), nerve growth factor (NGF), and related pathways have been linked to antidepressant efficacy in single studies (Colle et al., 2015; Yeh et al., 2015). In addition, large candidate-gene analyses combining multiple markers and early clinical improvement suggest that genetic information may modestly improve prediction models (Kato et al., 2015). However, systematic reviews emphasise that no single PD marker has reached the level of evidence or reproducibility seen for CYP2D6/CYP2C19 (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Colle et al., 2015; Yeh et al., 2015; Kato et al., 2015).\nIn summary, PD markers contribute to a diffuse and fragile genetic signal, with many positive findings but limited replication and small incremental predictive value beyond clinical factors.\nBeyond DNA sequence variation, several reviews have examined epigenetic and gene expression markers as predictors of antidepressant response. A systematic review of RNA expression changes during antidepressant treatment identified multiple candidate transcripts and pathways, but highlighted substantial heterogeneity in methods, platforms, and clinical endpoints, with only a few signals replicated across studies (Kim et al., 2021). Epigenetic studies report associations between methylation of serotonin-related genes and treatment outcomes (Bruzzone et al., 2025). For example, methylation patterns in SLC6A4 and other serotonergic loci have been proposed as predictors of clinical improvement, while methylation of COMT has been associated with stimulant response in attention-deficit/hyperactivity disorder, suggesting potential relevance of epigenetic modulation in psychopharmacology more broadly (Fageera et al., 2021). Consensus position papers integrating genetic, epigenetic, and gene-expression findings emphasise that, while these markers deepen mechanistic understanding, their clinical utility remains exploratory and requires prospective validation in larger, standardised cohorts (Fabbri et al., 2017).\nIn children and adolescents, the evidence base is smaller but mirrors that of adults. Pharmacokinetic studies indicate that CYP2C19 metaboliser status influences escitalopram and citalopram exposure, adverse events, and, to a lesser extent, response, consistent with adult data (Huang et al., 2021; Poweleit et al., 2019). Similar observations have been made for sertraline metabolism in relation to CYP2B6 and CYP2C19 variation (Yuce-Artun et al., 2016). Clinical studies in paediatric anxiety and depressive disorders show that escitalopram pharmacokinetics and adverse events are modulated by CYP2C19 and CYP2D6 status, with preliminary data suggesting that metaboliser extremes may be at higher risk of side effects or suboptimal efficacy (Amitai et al., 2016). Additional work in youths at familial risk for bipolar disorder implicates CYP2C19 in mediating SSRI-related dysfunctional arousal, again via PK mechanisms rather than specific PD variants (Honeycutt et al., 2024). Evidence for PD markers in youth (e.g., SLC6A4, serotonergic receptors) is even more inconsistent than in adults, with small studies and no robust meta-analytic signal (Poweleit et al., 2019; Amitai et al., 2016).\nOverall, in this particular population, PK genes appear relevant and largely consistent across the lifespan, while PD markers remain tentative.\nIn late-life depression, a systematic review of pharmacogenetic determinants of antidepressant therapy concluded that the most consistent findings again involve CYP2D6 and CYP2C19, affecting drug exposure and adverse events, whereas PD markers (serotonergic, catecholaminergic, neurotrophic) show sparse and non-replicated associations (Marshe et al., 2020). Application-focused reviews of pharmacogenetic guidelines and decision-support tools for depression in older adults emphasise the same hierarchy: PK markers with guideline-level evidence, PD markers as emerging but not yet practice-changing (Beunk et al., 2024; Marshe et al., 2020).\n\n\n### Pharmacokinetic markers\nMultiple systematic reviews and consensus statements converge on CYP2D6 and CYP2C19 as the central PK determinants of antidepressant exposure and, indirectly, of response and tolerability (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Wu et al., 2025; Maruf et al., 2020; Fabbri et al., 2017; Chang et al., 2018). Early mechanistic reviews of psychotropic metabolism established that selective SSRIs, serotonin–noradrenaline reuptake inhibitors (SNRIs), and TCAs vary in their dependence on these enzymes, with poor metabolisers showing higher plasma concentrations and an increased risk of adverse events, and ultrarapid metabolisers showing subtherapeutic exposure (Stingl and Viviani, 2015). A recent comprehensive systematic review of antidepressant pharmacogenetics in MDD, covering 2019–2024, synthesised 29 studies (≈40,000 patients) and found that CYP2D6 and CYP2C19 phenotypes are consistently associated with antidepressant plasma levels and adverse events, and more variably with clinical response (Fornaguera and Miarons, 2025). Similar conclusions are drawn by an independent large-scale review of antidepressant pharmacogenetics (Grant et al., 2025) and by a systematic review focused on pharmacogenomic biomarkers of antidepressant efficacy and safety (Correia et al., 2022). Drug-specific evidence reinforces this pattern. Systematic reviews and meta-analyses show that CYP2D6 genotype strongly influences desipramine, nortriptyline, and venlafaxine exposure and toxicity (Stingl and Viviani, 2015; Berm et al., 2016) and that CYP2C19 variation is linked to escitalopram and citalopram tolerability and dose requirements in both adults and youth (Aldrich et al., 2019; Huang et al., 2021). Observational studies report similar findings for sertraline and other SSRIs (Yuce-Artun et al., 2016). Taken together, the genetic evidence supports a biologically coherent and reproducible PK signal for CYP2D6/CYP2C19–antidepressant pairs, particularly for TCAs and several SSRIs. However, effect sizes for clinical response and remission are modest, and many studies remain underpowered or limited to a single ancestry (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Stingl and Viviani, 2015; Berm et al., 2016; Aldrich et al., 2019; Huang et al., 2021; Yuce-Artun et al., 2016).\n\n\n### Pharmacodynamic markers\nBy contrast, pharmacodynamic candidate genes show far more inconsistent evidence. Meta-analyses of serotonin transporter (solute carrier family-6 member 4 (SLC6A4), 5-hydroxytryptamine transporter-linked polymorphic region (5-HTTLPR)) variation and antidepressant response or tolerability reveal statistically significant but small effects, often restricted to particular ancestries or to specific drug classes (Stein et al., 2021; Outhred et al., 2016). A systematic review and meta-analysis of serotonin transporter genetic variation concluded that, although some associations with response and adverse events are reproducible, the overall predictive value is low and not robust enough for routine clinical use (Stein et al., 2021). Similarly, serotonin receptor genes (e.g., HTR2A, HTR2C) and other serotonergic markers have yielded heterogeneous results. Individual studies and small meta-analyses have identified associations between HTR2C polymorphisms and SSRI response or side effects, but these are not consistently replicated across cohorts or drugs (Correia et al., 2022; Wang et al., 2023; Li et al., 2019).\nFor catecholaminergic genes, multiple meta-analyses address catechol-O-methyltransferase (COMT) Val158Met and related polymorphisms. A quantitative synthesis of COMT and antidepressant response in major depression found at most weak and inconsistent associations across studies (Tang et al., 2020; Yin et al., 2016). A broader review of catecholamine pathway polymorphisms (including COMT, SLC6A2, SLC6A3, and dopamine receptor genes- DRD2 and DRD4) similarly concluded that effect sizes are small and that results vary by ethnicity, outcome definition, and study design (Wang et al., 2023; Yin et al., 2015). Neurotrophic and other signalling genes have also been investigated. Variants in brain-derived neurotrophic factor (BDNF), tropomyosin receptor kinase B (TRKB), p75 neurotrophin receptor (p75NTR), nerve growth factor (NGF), and related pathways have been linked to antidepressant efficacy in single studies (Colle et al., 2015; Yeh et al., 2015). In addition, large candidate-gene analyses combining multiple markers and early clinical improvement suggest that genetic information may modestly improve prediction models (Kato et al., 2015). However, systematic reviews emphasise that no single PD marker has reached the level of evidence or reproducibility seen for CYP2D6/CYP2C19 (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Correia et al., 2022; Santoro et al., 2016; Beunk et al., 2024; Colle et al., 2015; Yeh et al., 2015; Kato et al., 2015).\nIn summary, PD markers contribute to a diffuse and fragile genetic signal, with many positive findings but limited replication and small incremental predictive value beyond clinical factors.\n\n\n### Epigenetic and gene expression markers\nBeyond DNA sequence variation, several reviews have examined epigenetic and gene expression markers as predictors of antidepressant response. A systematic review of RNA expression changes during antidepressant treatment identified multiple candidate transcripts and pathways, but highlighted substantial heterogeneity in methods, platforms, and clinical endpoints, with only a few signals replicated across studies (Kim et al., 2021). Epigenetic studies report associations between methylation of serotonin-related genes and treatment outcomes (Bruzzone et al., 2025). For example, methylation patterns in SLC6A4 and other serotonergic loci have been proposed as predictors of clinical improvement, while methylation of COMT has been associated with stimulant response in attention-deficit/hyperactivity disorder, suggesting potential relevance of epigenetic modulation in psychopharmacology more broadly (Fageera et al., 2021). Consensus position papers integrating genetic, epigenetic, and gene-expression findings emphasise that, while these markers deepen mechanistic understanding, their clinical utility remains exploratory and requires prospective validation in larger, standardised cohorts (Fabbri et al., 2017).\n\n\n### Antidepressant pharmacogenetics in special populations\nIn children and adolescents, the evidence base is smaller but mirrors that of adults. Pharmacokinetic studies indicate that CYP2C19 metaboliser status influences escitalopram and citalopram exposure, adverse events, and, to a lesser extent, response, consistent with adult data (Huang et al., 2021; Poweleit et al., 2019). Similar observations have been made for sertraline metabolism in relation to CYP2B6 and CYP2C19 variation (Yuce-Artun et al., 2016). Clinical studies in paediatric anxiety and depressive disorders show that escitalopram pharmacokinetics and adverse events are modulated by CYP2C19 and CYP2D6 status, with preliminary data suggesting that metaboliser extremes may be at higher risk of side effects or suboptimal efficacy (Amitai et al., 2016). Additional work in youths at familial risk for bipolar disorder implicates CYP2C19 in mediating SSRI-related dysfunctional arousal, again via PK mechanisms rather than specific PD variants (Honeycutt et al., 2024). Evidence for PD markers in youth (e.g., SLC6A4, serotonergic receptors) is even more inconsistent than in adults, with small studies and no robust meta-analytic signal (Poweleit et al., 2019; Amitai et al., 2016).\nOverall, in this particular population, PK genes appear relevant and largely consistent across the lifespan, while PD markers remain tentative.\n\n\n### Youth and paediatric populations\nIn children and adolescents, the evidence base is smaller but mirrors that of adults. Pharmacokinetic studies indicate that CYP2C19 metaboliser status influences escitalopram and citalopram exposure, adverse events, and, to a lesser extent, response, consistent with adult data (Huang et al., 2021; Poweleit et al., 2019). Similar observations have been made for sertraline metabolism in relation to CYP2B6 and CYP2C19 variation (Yuce-Artun et al., 2016). Clinical studies in paediatric anxiety and depressive disorders show that escitalopram pharmacokinetics and adverse events are modulated by CYP2C19 and CYP2D6 status, with preliminary data suggesting that metaboliser extremes may be at higher risk of side effects or suboptimal efficacy (Amitai et al., 2016). Additional work in youths at familial risk for bipolar disorder implicates CYP2C19 in mediating SSRI-related dysfunctional arousal, again via PK mechanisms rather than specific PD variants (Honeycutt et al., 2024). Evidence for PD markers in youth (e.g., SLC6A4, serotonergic receptors) is even more inconsistent than in adults, with small studies and no robust meta-analytic signal (Poweleit et al., 2019; Amitai et al., 2016).\nOverall, in this particular population, PK genes appear relevant and largely consistent across the lifespan, while PD markers remain tentative.\n\n\n### Late-life depression\nIn late-life depression, a systematic review of pharmacogenetic determinants of antidepressant therapy concluded that the most consistent findings again involve CYP2D6 and CYP2C19, affecting drug exposure and adverse events, whereas PD markers (serotonergic, catecholaminergic, neurotrophic) show sparse and non-replicated associations (Marshe et al., 2020). Application-focused reviews of pharmacogenetic guidelines and decision-support tools for depression in older adults emphasise the same hierarchy: PK markers with guideline-level evidence, PD markers as emerging but not yet practice-changing (Beunk et al., 2024; Marshe et al., 2020).\n\n\n### Antipsychotic pharmacogenetics\nFor antipsychotics, PK variation has been most extensively studied for CYP2D6, CYP1A2, CYP3A4, and CYP2B6. A systematic review and meta-analysis of CYP2D6 polymorphisms and risperidone pharmacokinetics demonstrated clear genotype-dependent differences in active moiety concentrations, supporting dose-adjustment strategies in poor and ultrarapid metabolisers (Zhang et al., 2020). Quantitatively, dose-adjusted risperidone concentrations were approximately 2.3-fold higher in intermediate metabolisers and more than six-fold higher in poor metabolisers compared with normal metabolisers, underscoring how much larger PK effects can be than typical symptom-level gains (Zhang et al., 2020). Similar conclusions arise from systematic reviews of risperidone treatment in children and adolescents and of CYP2D6 and antipsychotic outcomes in youth more broadly (Dodsworth et al., 2018; Maruf et al., 2021). A meta-analysis of CYP1A2 polymorphisms and antipsychotic pharmacokinetics confirmed that allelic variation contributes to inter-individual differences in clozapine and olanzapine exposure, but the effect size is modest and modulated by environmental inducers such as smoking (Na Takuathung et al., 2019).\nAdditional work on quetiapine, aripiprazole, and other second-generation antipsychotics indicates that variants in CYP2D6, CYP3A5, CYP2B6, and ABC transporters influence pharmacokinetics, though the evidence is primarily derived from small trials in healthy volunteers and population PK studies rather than from large clinical cohorts (Cabaleiro et al., 2015; Zubiaur et al., 2021; Koller et al., 2020; Mao et al., 2023).\nSystematic reviews of combined pharmacokinetic and pharmacogenetic approaches to optimising psychiatric treatment conclude that PK-based dosing -especially when combined with therapeutic drug monitoring (TDM)- has the strongest empirical grounding in antipsychotic pharmacogenomics, whereas purely PD-based strategies are more speculative (Aldaz et al., 2021; de Leon, 2020).\nMultiple meta-analyses have examined PD markers and antipsychotic response. A systematic review and meta-analysis of dopamine receptor polymorphisms found that variants in DRD2 are modestly associated with antipsychotic efficacy, particularly in first-episode psychosis, but with considerable heterogeneity and limited predictive value at the individual-patient level (Zhang et al., 2015; Ma et al., 2019). Meta-analyses of COMT Val158Met and antipsychotic response in schizophrenia and schizoaffective disorder show small and inconsistent effects, with some studies suggesting better cognitive response or symptom reduction in Met carriers, while others find no significant association (Huang et al., 2016; Ma et al., 2021). Similarly, a comprehensive review of genetic variants within molecular targets of antipsychotic treatment (dopaminergic, serotonergic, glutamatergic, and neuropeptide systems) concluded that no single PD marker currently justifies routine clinical testing for efficacy prediction (Calabrò et al., 2018). Umbrella reviews integrating multiple PD markers highlight the same pattern: numerous nominally positive associations, but few that survive rigorous correction for bias, heterogeneity, and multiple testing (Grant et al., 2025; Teng et al., 2023).\nBy contrast, the adverse effects of antipsychotics have yielded somewhat stronger genetic signals, although still insufficient for widespread clinical adoption. A large systematic review and meta-analysis of antipsychotic-induced weight gain identified multiple loci, including HTR2C, melanocortin-4 receptor (MC4R), BDNF, and others, associated with weight gain across several antipsychotics, but effect sizes were small and varied across drugs (Zhang et al., 2016). Focused meta-analyses confirm that HTR2C polymorphisms and variants in other regulators of fat-mass homeostasis contribute to weight gain in bipolar disorder and schizophrenia, yet the variance explained remains limited (Creta et al., 2015; Yoshida and Müller, 2020). For hyperprolactinaemia, meta-analytic evidence supports a contribution of DRD2 variants and CYP2D6 phenotypes to prolactin elevations during treatment with certain antipsychotics (Miura et al., 2016; Calafato et al., 2020). Similarly, systematic reviews have identified single-nucleotide polymorphisms (SNPs) associated with akathisia and other extrapyramidal symptoms, but replication is inconsistent, and effect sizes are modest (Nasyrova et al., 2023).\nOverall, the genetic evidence suggests that adverse metabolic and endocrine effects of antipsychotics are influenced by both PK and PD genes, but that current markers lack sufficient predictive power to underpin routine prophylactic or stratified prescribing.\nCompared with antidepressants, the antipsychotic literature linking epigenetic or transcriptomic markers to predictive, clinically actionable outcomes is more limited and methodologically heterogeneous. A substantial proportion of the available work is mechanistic, cross-sectional, or not prospectively validated for decision-making, while clinically oriented syntheses continue to emphasise that actionable signals in antipsychotic precision prescribing cluster around PK/TDM-linked optimisation rather than receptor-level or other “omic” predictors of efficacy. For this reason, epigenetic and gene-expression findings are noted here as exploratory rather than developed as a parallel actionable evidence stream in the current hierarchy (Grant et al., 2025; Aldaz et al., 2021; de Leon, 2020; Teng et al., 2023).\nIn children and adolescents, the most consistent and reproducible antipsychotic PGx signal remains pharmacokinetic—particularly CYP2D6-linked exposure differences for risperidone—whereas evidence linking genotype to hard clinical outcomes (efficacy or tolerability endpoints) is less uniform. More broadly, where special-population data exist, they tend to reinforce a “PK-first” model of clinical usefulness rather than expanding the set of efficacy-predictive pharmacodynamic markers suitable for routine testing (Dodsworth et al., 2018; Maruf et al., 2021; Aldaz et al., 2021; de Leon, 2020).\n\n\n### Pharmacokinetic markers\nFor antipsychotics, PK variation has been most extensively studied for CYP2D6, CYP1A2, CYP3A4, and CYP2B6. A systematic review and meta-analysis of CYP2D6 polymorphisms and risperidone pharmacokinetics demonstrated clear genotype-dependent differences in active moiety concentrations, supporting dose-adjustment strategies in poor and ultrarapid metabolisers (Zhang et al., 2020). Quantitatively, dose-adjusted risperidone concentrations were approximately 2.3-fold higher in intermediate metabolisers and more than six-fold higher in poor metabolisers compared with normal metabolisers, underscoring how much larger PK effects can be than typical symptom-level gains (Zhang et al., 2020). Similar conclusions arise from systematic reviews of risperidone treatment in children and adolescents and of CYP2D6 and antipsychotic outcomes in youth more broadly (Dodsworth et al., 2018; Maruf et al., 2021). A meta-analysis of CYP1A2 polymorphisms and antipsychotic pharmacokinetics confirmed that allelic variation contributes to inter-individual differences in clozapine and olanzapine exposure, but the effect size is modest and modulated by environmental inducers such as smoking (Na Takuathung et al., 2019).\nAdditional work on quetiapine, aripiprazole, and other second-generation antipsychotics indicates that variants in CYP2D6, CYP3A5, CYP2B6, and ABC transporters influence pharmacokinetics, though the evidence is primarily derived from small trials in healthy volunteers and population PK studies rather than from large clinical cohorts (Cabaleiro et al., 2015; Zubiaur et al., 2021; Koller et al., 2020; Mao et al., 2023).\nSystematic reviews of combined pharmacokinetic and pharmacogenetic approaches to optimising psychiatric treatment conclude that PK-based dosing -especially when combined with therapeutic drug monitoring (TDM)- has the strongest empirical grounding in antipsychotic pharmacogenomics, whereas purely PD-based strategies are more speculative (Aldaz et al., 2021; de Leon, 2020).\n\n\n### Pharmacodynamic markers of efficacy\nMultiple meta-analyses have examined PD markers and antipsychotic response. A systematic review and meta-analysis of dopamine receptor polymorphisms found that variants in DRD2 are modestly associated with antipsychotic efficacy, particularly in first-episode psychosis, but with considerable heterogeneity and limited predictive value at the individual-patient level (Zhang et al., 2015; Ma et al., 2019). Meta-analyses of COMT Val158Met and antipsychotic response in schizophrenia and schizoaffective disorder show small and inconsistent effects, with some studies suggesting better cognitive response or symptom reduction in Met carriers, while others find no significant association (Huang et al., 2016; Ma et al., 2021). Similarly, a comprehensive review of genetic variants within molecular targets of antipsychotic treatment (dopaminergic, serotonergic, glutamatergic, and neuropeptide systems) concluded that no single PD marker currently justifies routine clinical testing for efficacy prediction (Calabrò et al., 2018). Umbrella reviews integrating multiple PD markers highlight the same pattern: numerous nominally positive associations, but few that survive rigorous correction for bias, heterogeneity, and multiple testing (Grant et al., 2025; Teng et al., 2023).\n\n\n### Pharmacogenetic predictors of antipsychotic adverse effects\nBy contrast, the adverse effects of antipsychotics have yielded somewhat stronger genetic signals, although still insufficient for widespread clinical adoption. A large systematic review and meta-analysis of antipsychotic-induced weight gain identified multiple loci, including HTR2C, melanocortin-4 receptor (MC4R), BDNF, and others, associated with weight gain across several antipsychotics, but effect sizes were small and varied across drugs (Zhang et al., 2016). Focused meta-analyses confirm that HTR2C polymorphisms and variants in other regulators of fat-mass homeostasis contribute to weight gain in bipolar disorder and schizophrenia, yet the variance explained remains limited (Creta et al., 2015; Yoshida and Müller, 2020). For hyperprolactinaemia, meta-analytic evidence supports a contribution of DRD2 variants and CYP2D6 phenotypes to prolactin elevations during treatment with certain antipsychotics (Miura et al., 2016; Calafato et al., 2020). Similarly, systematic reviews have identified single-nucleotide polymorphisms (SNPs) associated with akathisia and other extrapyramidal symptoms, but replication is inconsistent, and effect sizes are modest (Nasyrova et al., 2023).\nOverall, the genetic evidence suggests that adverse metabolic and endocrine effects of antipsychotics are influenced by both PK and PD genes, but that current markers lack sufficient predictive power to underpin routine prophylactic or stratified prescribing.\n\n\n### Exploratory epigenetic and gene expression markers\nCompared with antidepressants, the antipsychotic literature linking epigenetic or transcriptomic markers to predictive, clinically actionable outcomes is more limited and methodologically heterogeneous. A substantial proportion of the available work is mechanistic, cross-sectional, or not prospectively validated for decision-making, while clinically oriented syntheses continue to emphasise that actionable signals in antipsychotic precision prescribing cluster around PK/TDM-linked optimisation rather than receptor-level or other “omic” predictors of efficacy. For this reason, epigenetic and gene-expression findings are noted here as exploratory rather than developed as a parallel actionable evidence stream in the current hierarchy (Grant et al., 2025; Aldaz et al., 2021; de Leon, 2020; Teng et al., 2023).\n\n\n### Special populations\nIn children and adolescents, the most consistent and reproducible antipsychotic PGx signal remains pharmacokinetic—particularly CYP2D6-linked exposure differences for risperidone—whereas evidence linking genotype to hard clinical outcomes (efficacy or tolerability endpoints) is less uniform. More broadly, where special-population data exist, they tend to reinforce a “PK-first” model of clinical usefulness rather than expanding the set of efficacy-predictive pharmacodynamic markers suitable for routine testing (Dodsworth et al., 2018; Maruf et al., 2021; Aldaz et al., 2021; de Leon, 2020).\n\n\n### Mood stabilisers and lithium\nA systematic review of 20 years of lithium pharmacogenetics synthesised data from numerous candidate-gene and genome-wide association studies (GWAS) and concluded that no consistent, replicable genetic predictor of lithium response has yet emerged (Pagani et al., 2019). Although several loci -particularly within genes involved in neuroplasticity, circadian regulation, and second messenger systems-have shown suggestive associations, these findings are heterogeneous and often cohort-specific. For other mood stabilisers, evidence is even sparser. Genetic predictors of lamotrigine or valproate response have been explored in small studies or as secondary analyses of trials, but no variant has reached the level of evidence seen for PK genes in antidepressant or antipsychotic therapy (Fabbri et al., 2017; Kato et al., 2015; Marshe et al., 2020).\n\n\n### Other psychiatric and neuropsychiatric indications\nBeyond MDD, schizophrenia and bipolar disorder, pharmacogenetic studies span a broad range of psychiatric and neuropsychiatric conditions, including autism spectrum disorder (ASD) and intellectual disability, obsessive–compulsive disorder (OCD), post-traumatic stress disorder (PTSD), substance use disorders (SUDs) and anxiety disorders. A systematic review of pharmacogenomic studies in intellectual disabilities and ASD reported numerous exploratory associations between PK and PD genes and psychotropic response or adverse events, but emphasised the paucity of high-quality trials and the absence of validated markers ready for clinical implementation (Yoshida et al., 2021). Pilot data suggest that pharmacogenetic profiling may help reduce psychotropic adverse events in ASD by avoiding extreme PK phenotypes or high-risk gene–drug combinations, but these findings require replication (de Miguel et al., 2023). Reviews in alcohol use disorders, OCD, and PTSD similarly describe a patchwork of the candidate-gene findings -often involving opioid receptor genes, serotonergic and dopaminergic variants- but no single marker with consistent predictive value across studies (Helton and Lohoff, 2015; Zai et al., 2021; Naß and Efferth, 2017; Baba et al., 2022).\n\n\n### Cross-cutting themes: polygenic risk, gene–environment and the limits of single-gene predictors\nSeveral lines of evidence reinforce the conclusion that single variants are unlikely to capture the complexity of psychotropic treatment response. First, polygenic risk scores developed for psychiatric disorders explain only a modest proportion of liability and show limited correlation with treatment outcomes in current data sets (Grant et al., 2025; Müller et al., 2024). Second, the emerging “placebome” literature shows that genetic variation also influences placebo responsiveness, complicating the interpretation of drug-specific pharmacogenetic effects in clinical trials (Hall et al., 2015). Third, gene–environment interactions -such as smoking effects on CYP1A2, drug–drug–gene interactions involving P450 enzymes, and the impact of inflammatory or hormonal milieu-modulate genetic influences on pharmacokinetics and pharmacodynamics (Beunk et al., 2024; Stingl and Viviani, 2015; Na Takuathung et al., 2019; Thomas, , 2020).\nCollectively, the genetic evidence base supports a hierarchy of markers:\nHigh-confidence, guideline-level PK markers (CYP2D6, CYP2C19) for specific psychotropic drugs, especially certain antidepressants and antipsychotics.\nModerate-confidence PD markers (serotonin transporter/receptors, dopaminergic and neurotrophic genes) with small, inconsistent effects that are not currently recommended for routine testing.\nExploratory epigenetic, transcriptomic, and polygenic markers that enrich mechanistic understanding but remain far from clinical translation.\nHigh-confidence, guideline-level PK markers (CYP2D6, CYP2C19) for specific psychotropic drugs, especially certain antidepressants and antipsychotics.\nModerate-confidence PD markers (serotonin transporter/receptors, dopaminergic and neurotrophic genes) with small, inconsistent effects that are not currently recommended for routine testing.\nExploratory epigenetic, transcriptomic, and polygenic markers that enrich mechanistic understanding but remain far from clinical translation.\nThis hierarchy underpins the subsequent analysis of clinical integration, where the tension between solid but narrow PK evidence and broad but weak PD findings becomes central to evaluating when and how psychiatric pharmacogenomics should influence prescribing decisions.\n\n\n### Integration of psychiatric pharmacogenomics\nRandomised trials and meta-analyses evaluating PGx-guided prescribing versus TAU form the core empirical basis for clinical integration. Five recent quantitative syntheses -including two broad meta-analyses of combinatorial pharmacogenomic testing (Brown et al., 2020; Skryabin et al., 2023), two focused on RCTs in MDD (Wang et al., 2023; Cheng et al., 2023), and one cumulative meta-analysis of guided versus unguided antidepressant therapy (Zhang et al., 2025)- consistently report small-to-moderate improvements in response and remission when prescribing is informed by multigene panels. However, these benefits are heterogeneous and context-dependent. Effect sizes are typically larger in trials with high prevalence of actionable gene–drug interactions at baseline, more stringent adherence to PGx recommendations, and more severe or treatment-resistant populations (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025), while large pragmatic trials in unselected primary-care settings show more modest gains (Greden et al., 2019; Oslin et al., 2022).\nMeta-analyses pooling RCTs of PGx-guided antidepressant treatment in MDD converge on several points:Response and remission: combinatorial PGx testing modestly increases the likelihood of response and remission compared with TAU, with the most consistent signal in treatment-resistant or highly pre-treated patients (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In the largest RCT-focused meta-analysis to date, PGx-guided care was associated with higher response (week 8 OR 1.32, 95% CI 1.15–1.53; week 12 OR 1.36, 95% CI 1.15–1.62) and remission (week 8 OR 1.58, 95% CI 1.31–1.92; week 12 OR 2.23, 95% CI 1.23–4.04) compared with TAU in patients with MDD (Wang et al., 2023). The cumulative meta-analysis by Zhang et al. (2025) suggests that, as more trials accumulate, the overall estimate stabilises in the small-to-moderate range, with no indication that early positive studies were simply outliers (Zhang et al., 2025).Symptom reduction and time to improvement: some syntheses report earlier or greater symptom reduction in guided arms (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023), but these differences are less robust across sensitivity analyses and often attenuate when high-risk-of-bias studies are excluded (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).Hospitalisation and healthcare utilisation: meta-analytic data on hospitalisation, emergency visits, or work functioning are sparse. Where reported, reductions favour guided treatment but are inconsistent and highly dependent on single large studies (Brown et al., 2020; Skryabin et al., 2023).Heterogeneity and risk of bias: all meta-analyses underscore substantial between-study heterogeneity -driven by differences in panels, algorithms, blinding, sponsorship, and outcome definitions- and highlight a predominance of industry-funded trials (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). When analyses are restricted to more rigorous designs (adequate blinding, pre-specified primary outcomes, independent funding), effect sizes diminish, but generally do not disappear (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nResponse and remission: combinatorial PGx testing modestly increases the likelihood of response and remission compared with TAU, with the most consistent signal in treatment-resistant or highly pre-treated patients (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In the largest RCT-focused meta-analysis to date, PGx-guided care was associated with higher response (week 8 OR 1.32, 95% CI 1.15–1.53; week 12 OR 1.36, 95% CI 1.15–1.62) and remission (week 8 OR 1.58, 95% CI 1.31–1.92; week 12 OR 2.23, 95% CI 1.23–4.04) compared with TAU in patients with MDD (Wang et al., 2023). The cumulative meta-analysis by Zhang et al. (2025) suggests that, as more trials accumulate, the overall estimate stabilises in the small-to-moderate range, with no indication that early positive studies were simply outliers (Zhang et al., 2025).\nSymptom reduction and time to improvement: some syntheses report earlier or greater symptom reduction in guided arms (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023), but these differences are less robust across sensitivity analyses and often attenuate when high-risk-of-bias studies are excluded (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nHospitalisation and healthcare utilisation: meta-analytic data on hospitalisation, emergency visits, or work functioning are sparse. Where reported, reductions favour guided treatment but are inconsistent and highly dependent on single large studies (Brown et al., 2020; Skryabin et al., 2023).\nHeterogeneity and risk of bias: all meta-analyses underscore substantial between-study heterogeneity -driven by differences in panels, algorithms, blinding, sponsorship, and outcome definitions- and highlight a predominance of industry-funded trials (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). When analyses are restricted to more rigorous designs (adequate blinding, pre-specified primary outcomes, independent funding), effect sizes diminish, but generally do not disappear (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nOverall, the meta-analytic literature supports the view that PGx-guided antidepressant prescribing improves outcomes on average, with typical pooled OR/RR estimates for response and remission in the ≈1.2–1.6 range, but with a modest absolute magnitude and considerable variability across settings (Brown et al., 2020; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nThe GUIDED trial is the largest patient- and rater-blinded RCT of combinatorial pharmacogenomic testing in MDD (Greden et al., 2019). In this trial, patients were randomised to GeneSight-guided care or TAU; the primary outcome (symptom change at a pre-specified timepoint) did not differ significantly between arms, but several secondary outcomes (response, remission in the subset with gene–drug interactions) favoured guided treatment (Greden et al., 2019; Thase et al., 2019). Two independent meta-analyses that include GUIDED interpret these results as compatible with a real but modest benefit, particularly when testing reveals actionable gene–drug interactions and clinicians adhere to recommendations (Brown et al., 2020; Skryabin et al., 2023). However, the discordance between non-significant primary and positive secondary outcomes in GUIDED is one of the main reasons HTA bodies remain cautious (Health Quality Ontario, 2017). Other RCTs–such as the targeted PGx-guided trial by Bradley et al. (2018), the Canadian patient- and rater-blinded trial by Tiwari et al. (2022), and the PANDORA trial combining PGx with clinical algorithms–similarly report improvements in response or remission in guided arms, with effect sizes in broadly the same range as the meta-analytic estimates (Bradley et al., 2018; Tiwari et al., 2022; Minelli et al., 2021). A single-blind randomised study in depression also found better symptom trajectories when clinicians were provided with PGx results, although the design makes expectancy effects difficult to rule out (Shan et al., 2019).\nTaken together, these trials illustrate a consistent pattern: PGx guidance rarely transforms outcomes, but it tends to shift probabilities modestly in favour of better response and tolerability, particularly in patients with a high burden of gene–drug conflicts.\nThe PRIME Care trial extended this work into a large U.S. Veterans Health Administration (VA) population with depression treated in routine practice (Oslin et al., 2022). In this pragmatic trial, clinicians in the PGx arm received reports on CYP2D6/CYP2C19 gene–drug interactions and recommendations, whereas the control arm followed usual prescribing practices. PRIME Care showed that PGx testing reduced prescribing of medications with predicted gene–drug interactions and that remission rates were modestly higher over follow-up in the guided arm (Oslin et al., 2022). However, absolute differences were minor, and not all timepoints reached statistical significance. These results support the real-world feasibility of integrating PGx into large healthcare systems, but also underline that structural and behavioural factors (clinician adherence, formulary constraints, patient preference) limit the translation of genetic information into large outcome gains.\nIn older adults, a sub-analytical study of older MDD patients receiving combinatorial PGx-guided treatment, Forester et al. (2020) reported improved depressive outcomes compared with unguided care (Forester et al., 2020). These data, together with the broader late-life PGx literature (Marshe et al., 2020), suggest that older adults may particularly benefit from avoiding extreme metaboliser phenotypes and high-risk gene–drug combinations, given their higher vulnerability to adverse events.\nA study that explored adolescent depression, a rater-blinded RCT, found that PGx-guided treatment was feasible and showed signals of improved outcomes relative to TAU, though sample size was modest and follow-up was short (Vande et al., 2022). A protocol for a double-blind RCT in paediatric anxiety disorders further illustrates growing interest in rigorous evaluation of PGx guidance in youth, but outcome data are not yet available (Strawn et al., 2021).\nIn long-term care facilities, an observational randomised implementation study integrating PGx into “individualised medication management” for depression, pain, and dementia showed improvements in clinical management and reductions in potentially inappropriate medications, although design limitations preclude firm causal inference (Dorfman et al., 2020).\nThese studies collectively indicate that PGx-guided prescribing is technically feasible and acceptable in vulnerable populations, but also that evidence remains thinner and more fragile than in working-age adults.\nClinical integration of PGx with antipsychotics is far less advanced than with antidepressants. The most informative trial is a randomised study in schizophrenia in which routine CYP2D6/CYP2C19 genotyping was compared with standard care, with antipsychotic drug persistence as the primary endpoint (Jürgens et al., 2020). Although genotyping led to some adjustments in dosing and drug choice, the trial did not demonstrate a large or unequivocal advantage of PGx-guided care on long-term persistence (Jürgens et al., 2020). Interpretation is complicated by heterogeneous medication regimens, limited power for individual gene–drug pairs, and the absence of structured algorithms comparable to those used in combinatorial antidepressant panels. Beyond this RCT, evidence for the clinical integration of antipsychotic PGx comes mainly from implementation programmes and observational studies that combine TDM with CYP2D6-guided dosing (Aldaz et al., 2021; de Leon, 2020). These suggest that PK-driven personalisation is plausible and may reduce adverse events, but robust RCT data on hard clinical outcomes (relapse, hospitalisation) are lacking.\nPharmacogenomic testing and TDM address different clinical questions and are best viewed as complementary. PGx is most informative upstream, by indicating expected metabolic capacity (CYP2D6/CYP2C19 phenotype) and the risk of under- or overexposure at standard doses—particularly early in treatment and at metabolizer extremes. TDM, in contrast, measures actual exposure and integrates non-genetic determinants, including adherence, smoking-related CYP1A2 induction, inflammation, drug–drug interactions, and organ impairment. Consequently, while PGx can support initial drug/dose selection for high-confidence PK gene–drug pairs, it does not replace TDM when concentration-based individualization is required. This is particularly relevant for antipsychotics: de Leon emphasized that PGx alone is insufficient for dose individualization and that TDM remains essential, especially for clozapine, where CYP1A2 activity is strongly modified by smoking and inflammatory status (de Leon, 2020). A pragmatic approach is to use PGx to optimize initial selection/dosing and TDM to confirm exposure and troubleshoot non-response or adverse effects in higher-risk scenarios (Aldaz et al., 2021; de Leon, 2020).\n\n\n### Landscape of PGx-guided vs. treatment-as-usual trials\nRandomised trials and meta-analyses evaluating PGx-guided prescribing versus TAU form the core empirical basis for clinical integration. Five recent quantitative syntheses -including two broad meta-analyses of combinatorial pharmacogenomic testing (Brown et al., 2020; Skryabin et al., 2023), two focused on RCTs in MDD (Wang et al., 2023; Cheng et al., 2023), and one cumulative meta-analysis of guided versus unguided antidepressant therapy (Zhang et al., 2025)- consistently report small-to-moderate improvements in response and remission when prescribing is informed by multigene panels. However, these benefits are heterogeneous and context-dependent. Effect sizes are typically larger in trials with high prevalence of actionable gene–drug interactions at baseline, more stringent adherence to PGx recommendations, and more severe or treatment-resistant populations (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025), while large pragmatic trials in unselected primary-care settings show more modest gains (Greden et al., 2019; Oslin et al., 2022).\n\n\n### Meta-analytic evidence in depression\nMeta-analyses pooling RCTs of PGx-guided antidepressant treatment in MDD converge on several points:Response and remission: combinatorial PGx testing modestly increases the likelihood of response and remission compared with TAU, with the most consistent signal in treatment-resistant or highly pre-treated patients (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In the largest RCT-focused meta-analysis to date, PGx-guided care was associated with higher response (week 8 OR 1.32, 95% CI 1.15–1.53; week 12 OR 1.36, 95% CI 1.15–1.62) and remission (week 8 OR 1.58, 95% CI 1.31–1.92; week 12 OR 2.23, 95% CI 1.23–4.04) compared with TAU in patients with MDD (Wang et al., 2023). The cumulative meta-analysis by Zhang et al. (2025) suggests that, as more trials accumulate, the overall estimate stabilises in the small-to-moderate range, with no indication that early positive studies were simply outliers (Zhang et al., 2025).Symptom reduction and time to improvement: some syntheses report earlier or greater symptom reduction in guided arms (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023), but these differences are less robust across sensitivity analyses and often attenuate when high-risk-of-bias studies are excluded (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).Hospitalisation and healthcare utilisation: meta-analytic data on hospitalisation, emergency visits, or work functioning are sparse. Where reported, reductions favour guided treatment but are inconsistent and highly dependent on single large studies (Brown et al., 2020; Skryabin et al., 2023).Heterogeneity and risk of bias: all meta-analyses underscore substantial between-study heterogeneity -driven by differences in panels, algorithms, blinding, sponsorship, and outcome definitions- and highlight a predominance of industry-funded trials (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). When analyses are restricted to more rigorous designs (adequate blinding, pre-specified primary outcomes, independent funding), effect sizes diminish, but generally do not disappear (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nResponse and remission: combinatorial PGx testing modestly increases the likelihood of response and remission compared with TAU, with the most consistent signal in treatment-resistant or highly pre-treated patients (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In the largest RCT-focused meta-analysis to date, PGx-guided care was associated with higher response (week 8 OR 1.32, 95% CI 1.15–1.53; week 12 OR 1.36, 95% CI 1.15–1.62) and remission (week 8 OR 1.58, 95% CI 1.31–1.92; week 12 OR 2.23, 95% CI 1.23–4.04) compared with TAU in patients with MDD (Wang et al., 2023). The cumulative meta-analysis by Zhang et al. (2025) suggests that, as more trials accumulate, the overall estimate stabilises in the small-to-moderate range, with no indication that early positive studies were simply outliers (Zhang et al., 2025).\nSymptom reduction and time to improvement: some syntheses report earlier or greater symptom reduction in guided arms (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023), but these differences are less robust across sensitivity analyses and often attenuate when high-risk-of-bias studies are excluded (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nHospitalisation and healthcare utilisation: meta-analytic data on hospitalisation, emergency visits, or work functioning are sparse. Where reported, reductions favour guided treatment but are inconsistent and highly dependent on single large studies (Brown et al., 2020; Skryabin et al., 2023).\nHeterogeneity and risk of bias: all meta-analyses underscore substantial between-study heterogeneity -driven by differences in panels, algorithms, blinding, sponsorship, and outcome definitions- and highlight a predominance of industry-funded trials (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). When analyses are restricted to more rigorous designs (adequate blinding, pre-specified primary outcomes, independent funding), effect sizes diminish, but generally do not disappear (Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\nOverall, the meta-analytic literature supports the view that PGx-guided antidepressant prescribing improves outcomes on average, with typical pooled OR/RR estimates for response and remission in the ≈1.2–1.6 range, but with a modest absolute magnitude and considerable variability across settings (Brown et al., 2020; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025).\n\n\n### Key RCTs of PGx-guided antidepressant treatment\nThe GUIDED trial is the largest patient- and rater-blinded RCT of combinatorial pharmacogenomic testing in MDD (Greden et al., 2019). In this trial, patients were randomised to GeneSight-guided care or TAU; the primary outcome (symptom change at a pre-specified timepoint) did not differ significantly between arms, but several secondary outcomes (response, remission in the subset with gene–drug interactions) favoured guided treatment (Greden et al., 2019; Thase et al., 2019). Two independent meta-analyses that include GUIDED interpret these results as compatible with a real but modest benefit, particularly when testing reveals actionable gene–drug interactions and clinicians adhere to recommendations (Brown et al., 2020; Skryabin et al., 2023). However, the discordance between non-significant primary and positive secondary outcomes in GUIDED is one of the main reasons HTA bodies remain cautious (Health Quality Ontario, 2017). Other RCTs–such as the targeted PGx-guided trial by Bradley et al. (2018), the Canadian patient- and rater-blinded trial by Tiwari et al. (2022), and the PANDORA trial combining PGx with clinical algorithms–similarly report improvements in response or remission in guided arms, with effect sizes in broadly the same range as the meta-analytic estimates (Bradley et al., 2018; Tiwari et al., 2022; Minelli et al., 2021). A single-blind randomised study in depression also found better symptom trajectories when clinicians were provided with PGx results, although the design makes expectancy effects difficult to rule out (Shan et al., 2019).\nTaken together, these trials illustrate a consistent pattern: PGx guidance rarely transforms outcomes, but it tends to shift probabilities modestly in favour of better response and tolerability, particularly in patients with a high burden of gene–drug conflicts.\nThe PRIME Care trial extended this work into a large U.S. Veterans Health Administration (VA) population with depression treated in routine practice (Oslin et al., 2022). In this pragmatic trial, clinicians in the PGx arm received reports on CYP2D6/CYP2C19 gene–drug interactions and recommendations, whereas the control arm followed usual prescribing practices. PRIME Care showed that PGx testing reduced prescribing of medications with predicted gene–drug interactions and that remission rates were modestly higher over follow-up in the guided arm (Oslin et al., 2022). However, absolute differences were minor, and not all timepoints reached statistical significance. These results support the real-world feasibility of integrating PGx into large healthcare systems, but also underline that structural and behavioural factors (clinician adherence, formulary constraints, patient preference) limit the translation of genetic information into large outcome gains.\n\n\n### Special populations: older adults, adolescents, and long-term care\nIn older adults, a sub-analytical study of older MDD patients receiving combinatorial PGx-guided treatment, Forester et al. (2020) reported improved depressive outcomes compared with unguided care (Forester et al., 2020). These data, together with the broader late-life PGx literature (Marshe et al., 2020), suggest that older adults may particularly benefit from avoiding extreme metaboliser phenotypes and high-risk gene–drug combinations, given their higher vulnerability to adverse events.\nA study that explored adolescent depression, a rater-blinded RCT, found that PGx-guided treatment was feasible and showed signals of improved outcomes relative to TAU, though sample size was modest and follow-up was short (Vande et al., 2022). A protocol for a double-blind RCT in paediatric anxiety disorders further illustrates growing interest in rigorous evaluation of PGx guidance in youth, but outcome data are not yet available (Strawn et al., 2021).\nIn long-term care facilities, an observational randomised implementation study integrating PGx into “individualised medication management” for depression, pain, and dementia showed improvements in clinical management and reductions in potentially inappropriate medications, although design limitations preclude firm causal inference (Dorfman et al., 2020).\nThese studies collectively indicate that PGx-guided prescribing is technically feasible and acceptable in vulnerable populations, but also that evidence remains thinner and more fragile than in working-age adults.\n\n\n### Antipsychotic pharmacogenomics: early clinical trials\nClinical integration of PGx with antipsychotics is far less advanced than with antidepressants. The most informative trial is a randomised study in schizophrenia in which routine CYP2D6/CYP2C19 genotyping was compared with standard care, with antipsychotic drug persistence as the primary endpoint (Jürgens et al., 2020). Although genotyping led to some adjustments in dosing and drug choice, the trial did not demonstrate a large or unequivocal advantage of PGx-guided care on long-term persistence (Jürgens et al., 2020). Interpretation is complicated by heterogeneous medication regimens, limited power for individual gene–drug pairs, and the absence of structured algorithms comparable to those used in combinatorial antidepressant panels. Beyond this RCT, evidence for the clinical integration of antipsychotic PGx comes mainly from implementation programmes and observational studies that combine TDM with CYP2D6-guided dosing (Aldaz et al., 2021; de Leon, 2020). These suggest that PK-driven personalisation is plausible and may reduce adverse events, but robust RCT data on hard clinical outcomes (relapse, hospitalisation) are lacking.\n\n\n### PGx as a complement to therapeutic drug monitoring\nPharmacogenomic testing and TDM address different clinical questions and are best viewed as complementary. PGx is most informative upstream, by indicating expected metabolic capacity (CYP2D6/CYP2C19 phenotype) and the risk of under- or overexposure at standard doses—particularly early in treatment and at metabolizer extremes. TDM, in contrast, measures actual exposure and integrates non-genetic determinants, including adherence, smoking-related CYP1A2 induction, inflammation, drug–drug interactions, and organ impairment. Consequently, while PGx can support initial drug/dose selection for high-confidence PK gene–drug pairs, it does not replace TDM when concentration-based individualization is required. This is particularly relevant for antipsychotics: de Leon emphasized that PGx alone is insufficient for dose individualization and that TDM remains essential, especially for clozapine, where CYP1A2 activity is strongly modified by smoking and inflammatory status (de Leon, 2020). A pragmatic approach is to use PGx to optimize initial selection/dosing and TDM to confirm exposure and troubleshoot non-response or adverse effects in higher-risk scenarios (Aldaz et al., 2021; de Leon, 2020).\n\n\n### From pharmacoeconomic analyses to real-life PGx utility in psychiatry\nSeveral studies have examined whether PGx-guided prescribing translates into reduced costs or more efficient resource use. In PRIME Care, for example, the adjusted odds of remission at 24 weeks favoured PGx-guided care (OR 1.28, p = 0.02), but the absolute difference in remission was only 2.8 percentage points (approximate NNT ≈ 1/0.028 ≈ 36 over 24 weeks), illustrating how statistically significant relative gains can translate into modest absolute improvements (Oslin et al., 2022). Trial-based economic evaluations of genotype-specific dosing of tricyclic antidepressants and comparisons between PGx-based, phenotype-based, and standard dosing of nortriptyline indicate that PGx-guided strategies can be cost-effective when they prevent serious adverse events or reduce trial-and-error switching in high-risk patients (Ter et al., 2025; Vos et al., 2025). In psychiatric populations, post hoc economic analyses of combinatorial PGx trials in elderly patients and primary care report lower medication costs and fewer changes in treatment in guided arms (Jablonski et al., 2020; Brown et al., 2017), while a systematic review of cost-effectiveness across multiple CPIC-guided drugs (primarily non-psychiatric) finds that most studies favour PGx testing from a payer perspective (Morris et al., 2022). A recent Canadian microsimulation model for MDD further suggests that PGx-guided prescribing may be economically attractive at commonly accepted willingness-to-pay thresholds, particularly in recurrent or treatment-resistant depression (Ghanbarian et al., 2024). That said, economic benefits are highly sensitive to assumptions about test price, the prevalence of actionable genotypes, and the magnitude of clinical effect (Morris et al., 2022; Strawn et al., 2021; Dorfman et al., 2020; Jürgens et al., 2020; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024). Health technology assessments explicitly caution against extrapolating favourable economic models from industry-sponsored trials and call for more independent, jurisdiction-specific evaluations (Health Quality Ontario, 2017).\nSeveral implementation-focused projects shed light on how PGx testing performs when embedded in real clinical workflows, rather than in tightly controlled RCTs. Hospital and health-system programmes (e.g., UF Health’s personalised medicine programme) show that pre-emptive or reactive PGx testing can be integrated into electronic health records with decision support, and that psychiatric prescribing is among the areas where alerts for CYP2D6/CYP2C19 interactions are common (Cavallari et al., 2017). A recent scoping review of PGx implementation in hospital settings summarises a wide range of strategies–from pharmacist-driven consult services to automated alerts–and concludes that uptake is feasible but constrained by IT infrastructure, clinician education, and reimbursement (Wu et al., 2025). Within psychiatry-specific settings, analyses of CYP-GUIDES trial data demonstrate that providing PGx-based decision support in hospitalised depressed patients alters prescribing patterns and identifies a high prevalence of potential gene–drug interactions, particularly in ethnically diverse populations (Crutchley and Keuler, 2022; Ruaño et al., 2021). Parallel cohort studies in MDD document that the majority of patients harbour at least one predicted antidepressant gene–drug interaction, reinforcing the theoretical rationale for PGx-guided care even before clinical benefit is directly measured (Ramsey et al., 2021). Pragmatic projects in primary care and community pharmacies show that front-line clinicians and pharmacists can use PGx reports to adjust antidepressant or cannabis-related prescribing, but also that variability in panel content, report format and local expertise leads to inconsistent application of recommendations (Wu et al., 2025; Cavallari et al., 2017; Rollinson et al., 2020; Bradley et al., 2018).\nBased on the review of RCTs, meta-analyses, economic evaluations, and implementation studies, several robust conclusions emerged. First, antidepressant PGx panels add probabilistic value, not deterministic rules. Meta-analyses and large trials consistently suggest that PGx guidance yields incremental improvements in response/remission and modest reductions in gene–drug conflicts, particularly in patients with prior non-response or high burden of pharmacokinetic risk (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025; Greden et al., 2019; Oslin et al., 2022; Thase et al., 2019; Bradley et al., 2018; Tiwari et al., 2022; Minelli et al., 2021; Shan et al., 2019). These gains are clinically relevant at the population level but fall short of a paradigm shift.\nSecond, context and implementation quality matter as much as biology. Trials with stronger effects typically combine: a high prevalence of actionable variants, structured algorithms, clinician adherence, and limited formulary constraints. Where any of these elements erode–e.g., in pragmatic settings with flexible care and incomplete uptake–effect sizes diminish, despite the same underlying genetics (Greden et al., 2019; Bradley et al., 2018; Tiwari et al., 2022; Dorfman et al., 2020; Crutchley and Keuler, 2022; Ruaño et al., 2021; Ramsey et al., 2021).\nThird, evidence is strongest for antidepressants, weaker for antipsychotics, and sparse for other indications. For antipsychotics, single RCTs and multiple observational programmes suggest possible benefit of PK-guided dosing, but convincing RCT evidence for improved relapse or persistence is still lacking (Mao et al., 2023; Aldaz et al., 2021; Jürgens et al., 2020). For mood stabilisers and most other psychotropics, PGx integration remains largely inferential or exploratory (Fabbri et al., 2017; Stingl and Viviani, 2015; Marshe et al., 2020; Pagani et al., 2019).\nFourth, economic and structural arguments are promising but conditional. Economic analyses generally support the potential cost-effectiveness of PGx in selected psychiatric populations (Morris et al., 2022; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024), yet these projections depend on assumptions about test pricing, effect size, and health-system efficiency that may not hold in all jurisdictions, particularly in low- and middle-income countries with different ancestry profiles and resource constraints (Morris et al., 2022; Koopmans et al., 2021; Ghanbarian et al., 2024).\nIn conclusion, the clinical integration data depict psychiatric pharmacogenomics as an incremental optimisation tool rather than a disruptive technology: useful when deployed thoughtfully in high-risk contexts, but insufficient on its own to guarantee robust, universal gains in psychiatric outcomes.\n\n\n### Economic and utilisation outcomes in PGx-guided care\nSeveral studies have examined whether PGx-guided prescribing translates into reduced costs or more efficient resource use. In PRIME Care, for example, the adjusted odds of remission at 24 weeks favoured PGx-guided care (OR 1.28, p = 0.02), but the absolute difference in remission was only 2.8 percentage points (approximate NNT ≈ 1/0.028 ≈ 36 over 24 weeks), illustrating how statistically significant relative gains can translate into modest absolute improvements (Oslin et al., 2022). Trial-based economic evaluations of genotype-specific dosing of tricyclic antidepressants and comparisons between PGx-based, phenotype-based, and standard dosing of nortriptyline indicate that PGx-guided strategies can be cost-effective when they prevent serious adverse events or reduce trial-and-error switching in high-risk patients (Ter et al., 2025; Vos et al., 2025). In psychiatric populations, post hoc economic analyses of combinatorial PGx trials in elderly patients and primary care report lower medication costs and fewer changes in treatment in guided arms (Jablonski et al., 2020; Brown et al., 2017), while a systematic review of cost-effectiveness across multiple CPIC-guided drugs (primarily non-psychiatric) finds that most studies favour PGx testing from a payer perspective (Morris et al., 2022). A recent Canadian microsimulation model for MDD further suggests that PGx-guided prescribing may be economically attractive at commonly accepted willingness-to-pay thresholds, particularly in recurrent or treatment-resistant depression (Ghanbarian et al., 2024). That said, economic benefits are highly sensitive to assumptions about test price, the prevalence of actionable genotypes, and the magnitude of clinical effect (Morris et al., 2022; Strawn et al., 2021; Dorfman et al., 2020; Jürgens et al., 2020; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024). Health technology assessments explicitly caution against extrapolating favourable economic models from industry-sponsored trials and call for more independent, jurisdiction-specific evaluations (Health Quality Ontario, 2017).\n\n\n### Implementation trials and health-system integration\nSeveral implementation-focused projects shed light on how PGx testing performs when embedded in real clinical workflows, rather than in tightly controlled RCTs. Hospital and health-system programmes (e.g., UF Health’s personalised medicine programme) show that pre-emptive or reactive PGx testing can be integrated into electronic health records with decision support, and that psychiatric prescribing is among the areas where alerts for CYP2D6/CYP2C19 interactions are common (Cavallari et al., 2017). A recent scoping review of PGx implementation in hospital settings summarises a wide range of strategies–from pharmacist-driven consult services to automated alerts–and concludes that uptake is feasible but constrained by IT infrastructure, clinician education, and reimbursement (Wu et al., 2025). Within psychiatry-specific settings, analyses of CYP-GUIDES trial data demonstrate that providing PGx-based decision support in hospitalised depressed patients alters prescribing patterns and identifies a high prevalence of potential gene–drug interactions, particularly in ethnically diverse populations (Crutchley and Keuler, 2022; Ruaño et al., 2021). Parallel cohort studies in MDD document that the majority of patients harbour at least one predicted antidepressant gene–drug interaction, reinforcing the theoretical rationale for PGx-guided care even before clinical benefit is directly measured (Ramsey et al., 2021). Pragmatic projects in primary care and community pharmacies show that front-line clinicians and pharmacists can use PGx reports to adjust antidepressant or cannabis-related prescribing, but also that variability in panel content, report format and local expertise leads to inconsistent application of recommendations (Wu et al., 2025; Cavallari et al., 2017; Rollinson et al., 2020; Bradley et al., 2018).\n\n\n### What the clinical integration data actually show\nBased on the review of RCTs, meta-analyses, economic evaluations, and implementation studies, several robust conclusions emerged. First, antidepressant PGx panels add probabilistic value, not deterministic rules. Meta-analyses and large trials consistently suggest that PGx guidance yields incremental improvements in response/remission and modest reductions in gene–drug conflicts, particularly in patients with prior non-response or high burden of pharmacokinetic risk (Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025; Greden et al., 2019; Oslin et al., 2022; Thase et al., 2019; Bradley et al., 2018; Tiwari et al., 2022; Minelli et al., 2021; Shan et al., 2019). These gains are clinically relevant at the population level but fall short of a paradigm shift.\nSecond, context and implementation quality matter as much as biology. Trials with stronger effects typically combine: a high prevalence of actionable variants, structured algorithms, clinician adherence, and limited formulary constraints. Where any of these elements erode–e.g., in pragmatic settings with flexible care and incomplete uptake–effect sizes diminish, despite the same underlying genetics (Greden et al., 2019; Bradley et al., 2018; Tiwari et al., 2022; Dorfman et al., 2020; Crutchley and Keuler, 2022; Ruaño et al., 2021; Ramsey et al., 2021).\nThird, evidence is strongest for antidepressants, weaker for antipsychotics, and sparse for other indications. For antipsychotics, single RCTs and multiple observational programmes suggest possible benefit of PK-guided dosing, but convincing RCT evidence for improved relapse or persistence is still lacking (Mao et al., 2023; Aldaz et al., 2021; Jürgens et al., 2020). For mood stabilisers and most other psychotropics, PGx integration remains largely inferential or exploratory (Fabbri et al., 2017; Stingl and Viviani, 2015; Marshe et al., 2020; Pagani et al., 2019).\nFourth, economic and structural arguments are promising but conditional. Economic analyses generally support the potential cost-effectiveness of PGx in selected psychiatric populations (Morris et al., 2022; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024), yet these projections depend on assumptions about test pricing, effect size, and health-system efficiency that may not hold in all jurisdictions, particularly in low- and middle-income countries with different ancestry profiles and resource constraints (Morris et al., 2022; Koopmans et al., 2021; Ghanbarian et al., 2024).\nIn conclusion, the clinical integration data depict psychiatric pharmacogenomics as an incremental optimisation tool rather than a disruptive technology: useful when deployed thoughtfully in high-risk contexts, but insufficient on its own to guarantee robust, universal gains in psychiatric outcomes.\n\n\n### Discussion\nCurrent expert and guideline documents are cautiously positive but structurally conservative. The World Federation of Societies of Biological Psychiatry (WFSBP) consensus on pharmacogenomic testing in psychiatry explicitly recognises CYP2D6/CYP2C19 for several antidepressants and antipsychotics, yet stops short of recommending universal testing, emphasising limited effect sizes, heterogeneous evidence, and the need for context-specific implementation (Bousman et al., 2021). In parallel, the Dutch Pharmacogenetics Working Group (DPWG) issues gene–drug-specific dosing recommendations for psychotropics, often with higher granularity and stronger language for CYP2D6/CYP2C19 substrates, but it is a national rather than a global standard (Beunk et al., 2024). In addition, CPIC provides phenotype-based dosing recommendations for several SSRI/SNRI antidepressants (including CYP2C19-related guidance for citalopram/escitalopram), complementing consensus statements and jurisdiction-specific guideline bodies (Bousman et al., 2023). This patchwork of expert guidance–with some jurisdictions moving toward formalised dose–adjustment tables and others remaining non-committal–creates structural ambiguity for clinicians and healthcare systems. Where WFSBP-style documents emphasise the limits of evidence and DPWG-type guidelines provide concrete dosing actions, health systems can legitimately choose very different levels of investment in PGx infrastructure (Bousman et al., 2021; Beunk et al., 2024). HTA reports further reinforce this caution. The Ontario HTA on the GeneSight test concluded that, despite suggestive evidence of clinical benefit, inconsistent RCT outcomes, sponsorship bias, and unclear generalisability prevent firm recommendations for public reimbursement (Health Quality Ontario, 2017). This reinforces a structurally conservative stance: PGx is “interesting and potentially useful”, but rarely classified as essential.\nStructural barriers are tightly linked to economic uncertainty. A systematic review of cost-effectiveness for CPIC-guided drugs across indications found that most economic models were favourable to PGx testing, but relied on assumed effect sizes and often industry-sponsored data, with limited psychiatric-specific analyses (Morris et al., 2022). Within psychiatry, trial-based evaluations of genotype-specific TCA dosing and nortriptyline optimisation suggest that PGx strategies can be cost-effective when they prevent serious toxicity or reduce protracted trial-and-error prescribing in difficult-to-treat depression (Ter et al., 2025; Vos et al., 2025). A Canadian simulation model for MDD illustrates this tension clearly: under plausible assumptions about test cost and clinical effectiveness, pre-emptive or early PGx testing can be economically attractive, but the model’s outputs are highly sensitive to the underlying effect size and prevalence of actionable genotypes (Ghanbarian et al., 2024). In other words, economic viability is conditional, not intrinsic, and depends heavily on local prices, formularies and population genetics. These uncertainties translate into payer hesitancy. In the absence of strong, universally positive RCT results and independent real-world cost data, many systems classify psychiatric PGx as an optional add-on rather than a reimbursed standard of care, thereby limiting scale and reinforcing structural inertia.\nA deeper structural issue concerns global and ancestry-related variation in CYP2D6 and CYP2C19 allele frequencies. A large meta-analysis quantifying the worldwide distribution of CYP2D6/CYP2C19 phenotypes demonstrates striking differences between populations, with some ancestries showing much higher proportions of poor or ultrarapid metabolisers than the European reference groups upon which most trials and guidelines are based (Koopmans et al., 2021). For example, Koopmans et al. note that CYP2D6 ultrarapid metabolizers are relatively uncommon in Europeans (≈2–3%) but substantially more frequent in East-African populations (≈20–29%), while CYP2C19 poor metabolizers are more frequent in Asians (≈12%) than in Europeans (≈2%), implying that the yield and impact of PGx-guided dosing will differ across ancestries (Koopmans et al., 2021). A systematic review of pharmacogenomics in Sri Lanka underscores the consequences: allele frequencies and haplotypes in South Asian populations often diverge from those represented in commercial panels and CPIC/DPWG tables, raising doubts about the direct transferability of Western dosing recommendations (Ranasinghe et al., 2024). Similar concerns arise in many low- and middle-income countries where local PGx data are scarce, yet imported tests and algorithms are used without ancestry-specific validation (Koopmans et al., 2021; Ranasinghe et al., 2024). This mismatch is structurally important. If test panels are optimised for alleles common in European and North American populations, clinical yield will be lower, and misclassification risk higher in under-represented ancestries. For example, the estimated prevalence of CYP2D6 poor metabolisers is around 1%–2% in many East Asian populations but 5%–10% in Europeans, while CYP2C19 rapid and ultrarapid metabolisers can account for more than 25%–30% of individuals in some South and South-East Asian groups, implying that the same panel and dosing tables will have very different yields across ancestries (Koopmans et al., 2021). Health systems in LMICs may then rationally conclude that the cost per actionable result is unacceptable, reinforcing global inequities in access to precision psychiatry.\nEven when economic and genetic arguments are favourable, implementation infrastructure remains a major bottleneck. A recent scoping review of PGx implementation in hospital settings synthesised dozens of programmes and concluded that successful implementation depends on: laboratory capacity and validated genotyping methods; robust electronic health record (EHR) integration with clinical decision support (CDS); clear governance on result storage and re-use; and sustainable reimbursement and workflow alignment (Wu et al., 2025). Only a minority of hospitals meet all these conditions, and psychiatric prescribing competes for CDS bandwidth with oncology, cardiology, and anticoagulation, where effect sizes are often larger (Wu et al., 2025). The UF Health personalised medicine programme illustrates both the promise and the constraints: it has embedded PGx results and alerts into the EHR across multiple specialties, yet psychiatric modules are just one component of a broad genomic infrastructure requiring substantial upfront investment and ongoing informatics support (Cavallari et al., 2017). At the primary care level, a UK quality-improvement project deploying PGx in general practice showed that GPs can use PGx reports to adjust antidepressant therapy, but also highlighted variability in uptake, time pressure, and dependence on local champions (Bhimpuria, 2024). The IGNITE pragmatic trials network similarly demonstrates that real-world genomic implementation hinges on local leadership, IT integration, and tailored education rather than on evidence alone (Ginsburg et al., 2021).\nThere is a structural misalignment between commercial multigene panels and public health priorities. Panels are designed and marketed by companies with global ambitions, but reimbursement decisions are made by local payers whose priorities include transparency, reproducibility and independence from proprietary algorithms. HTA reports, including the GeneSight assessment, explicitly criticise opaque weighting schemes and limited disclosure of how genetic and clinical factors are combined into colour-coded recommendations (Health Quality Ontario, 2017). National and regional health systems are therefore faced with a choice: either accept commercial panels “as is”, with limited control over algorithm evolution, or invest in local panels and CDS pipelines that replicate or adapt the evidence base. Both options are expensive and organisationally demanding, which explains why many systems default to minimal, gene-by-gene testing for a small set of CPIC/DPWG Level A interactions, rather than full psychiatric PGx panels.\nIn sum, structural and implementation barriers are not primarily scientific; they arise from misalignment between modest, probabilistic clinical gains and the heavy infrastructural, economic and organisational demands of genomic integration.\nEven when infrastructure exists, psychiatric pharmacogenomics runs into pervasive educational challenges. Early commentaries on commercial decision-support tools emphasised that many psychiatrists overestimate the determinism of PGx reports and underestimate their limitations, particularly around PD markers with weak evidence (Bousman and Hopwood, 2016). A systematic evaluation of commercial psychiatric PGx tests showed substantial variation in allele coverage, phenotype calling and result reporting, especially for CYP2D6/CYP2C19, and concluded that discordant outputs across tests risk confusing clinicians who lack deep pharmacogenetic training (Bousman et al., 2017). This creates a paradoxical combination of under- and over-trust: some clinicians ignore PGx entirely, while others treat panel outputs as quasi-authoritative, despite the modest and context-dependent effect sizes demonstrated in RCTs and meta-analyses. Health technology assessments, such as the GeneSight HTA, explicitly warn against using PGx results to override clinical judgement or to justify abrupt medication changes without considering past response, comorbidities and patient preference (Health Quality Ontario, 2017). Educational initiatives lag behind commercial penetration. Implementation reviews and hospital experience reports repeatedly identify clinician education and genomic literacy as central barriers: many prescribers are unclear about how to interpret metaboliser status, how to reconcile discordant gene–drug recommendations, and when not to order tests at all (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017).\nEthical concerns about equity and justice run parallel to the structural issues described above. Commercial and academic tests are typically optimised for alleles prevalent in European-ancestry populations; systematic work quantifying global CYP2D6/CYP2C19 variation and national reviews from South Asia and other regions consistently show that many common non-European alleles are either underrepresented or absent from standard panels (Koopmans et al., 2021; Ranasinghe et al., 2024). This raises several ethical questions: Are we systematically delivering lower-quality PGx information to patients from underrepresented ancestries? Does the use of partially mis-specified panels increase the risk of erroneous reassurance (e.g., “no interaction” reports that simply reflect missing alleles)? Should payers in LMICs invest in PGx when the underlying panels have not been validated in their populations?\nNational reviews of PGx landscapes in settings such as Sri Lanka highlight the risk that PGx could widen rather than narrow global health inequities, if wealthy systems benefit from ancestry-matched panels and robust implementation, while resource-constrained settings either lack access or use suboptimal tests (Ranasinghe et al., 2024).\nImplementation reviews in hospitals underscore that PGx results, once generated, are often stored and reused across specialties and over a patient’s lifetime. This creates a pragmatic “incidental findings” problem in a PGx sense: results generated for one prescribing decision may later become clinically relevant for other drugs, other specialties, or after guideline/allele reclassification. Accordingly, governance should specify secondary-use boundaries, re-interpretation/update procedures, and (where feasible) recontact expectations. (Wu et al., 2025; Cavallari et al., 2017). This raises complex consent and governance questions: Do patients understand that a test ordered in psychiatry may later influence prescribing in oncology or cardiology? How should health systems handle requests to delete or restrict genomic data? What level of recontact obligation exists when phenotype interpretation is revised (e.g., when new alleles are reclassified)? In pediatric psychiatry, these consent and data-lifespan issues are amplified because results may be reused for decades; therefore, testing is most defensible when anchored in high-evidence PK gene–drug pairs and clear clinical questions (e.g., tolerability risk or dosing) rather than broad “best-drug” claims (Aldrich et al., 2019; Poweleit et al., 2019; Amitai et al., 2016; Honeycutt et al., 2024; Strawn et al., 2021).\nA parallel literature in forensic and legal medicine points to additional ethical frictions. Pharmacogenetic information can, in principle, be used to reinterpret adverse drug reactions, intoxications, or deaths in medico-legal investigations, and some have proposed PGx as a tool to refine responsibility assessments in cases involving psychotropic drugs (Di Nunno et al., 2021). While this is still a niche application, it illustrates how PGx data may be drawn into legal processes far beyond the original psychiatric indication. These issues argue for explicit, layered consent models, clearer boundaries on secondary use, and robust governance structures–none of which are yet standard in routine psychiatric practice.\nCommercialisation introduces further ethical complexity. Commentaries and empirical analyses of psychiatric PGx tests emphasise the intertwining of evidence generation and marketing, with many RCTs and economic evaluations sponsored by test manufacturers (Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017; Jablonski et al., 2020; Brown et al., 2017). Although sponsorship does not invalidate results, it heightens the need for independent replication and transparent reporting of negative or equivocal trials. The opacity of proprietary algorithms compounds this concern. If clinicians cannot inspect how gene–drug pairs are weighted, or how PD markers with weak evidence are incorporated alongside robust PK markers, it becomes difficult to judge whether a panel’s recommendations are evidence-proportionate or skewed by commercial priorities. Health technology assessments and national reviews repeatedly call for greater algorithmic transparency as a precondition for public reimbursement (Health Quality Ontario, 2017; Ranasinghe et al., 2024).\nAt the health-system level, the key ethical question is not whether PGx “works” in a narrow sense–meta-analyses suggest it does, modestly–but whether investing in psychiatric PGx yields a greater marginal benefit than competing interventions (psychotherapy access, collaborative care, social interventions). Economic modelling and implementation networks, such as IGNITE, show that genomic programmes demand substantial infrastructural investment, and the opportunity cost of those resources is non-trivial (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017; Ghanbarian et al., 2024). From an ethical standpoint, prioritising PGx ahead of basic access to effective psychotherapies or medication adherence support may be difficult to justify in under-resourced settings. National primary-care QI work demonstrates that even in high-income countries, implementing PGx competes with more mundane but impactful quality-improvement targets (blood pressure control, diabetes care, vaccination) (Bhimpuria, 2024).\nTaken together, the educational and ethical literature suggests several guardrails for responsible integration of psychiatric PGx. For example, the principle of epistemic humility and proportionality. Training should explicitly convey the modest, probabilistic nature of PGx benefits, preventing both nihilism (“it changes nothing”) and genetic determinism (“the test decides”) (Bousman et al., 2021; Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017).\nAlso, the ancestry-aware panel design and validation. Population-genetic data and national reviews should inform which tests are deployed in which settings, with a bias toward panels that include alleles common in the local population and have been locally validated (Koopmans et al., 2021; Ranasinghe et al., 2024).\nTransparent, auditable decision support needs to be highlighted in psychotropics PGx. Public or semi-public documentation of algorithms, allele coverage and evidence grading is ethically preferable to opaque commercial black boxes, particularly when public funds are involved (Bousman et al., 2017; Health Quality Ontario, 2017; Wu et al., 2025; Cavallari et al., 2017).\nRobust consent and governance frameworks are required for this field. Layered consent, clear rules on data reuse, and explicit policies for medico-legal access to PGx data are needed to prevent gradual function creep into forensic or discriminatory uses (Wu et al., 2025; Cavallari et al., 2017; Di Nunno et al., 2021; Smith et al., 2019).\nWithout these measures, psychiatric pharmacogenomics risks becoming a commercially driven, inequitable and partially misunderstood technology: scientifically sound in its core PK insights, but ethically and educationally under-anchored.\n\n\n### Structural, economic and implementation barriers\nCurrent expert and guideline documents are cautiously positive but structurally conservative. The World Federation of Societies of Biological Psychiatry (WFSBP) consensus on pharmacogenomic testing in psychiatry explicitly recognises CYP2D6/CYP2C19 for several antidepressants and antipsychotics, yet stops short of recommending universal testing, emphasising limited effect sizes, heterogeneous evidence, and the need for context-specific implementation (Bousman et al., 2021). In parallel, the Dutch Pharmacogenetics Working Group (DPWG) issues gene–drug-specific dosing recommendations for psychotropics, often with higher granularity and stronger language for CYP2D6/CYP2C19 substrates, but it is a national rather than a global standard (Beunk et al., 2024). In addition, CPIC provides phenotype-based dosing recommendations for several SSRI/SNRI antidepressants (including CYP2C19-related guidance for citalopram/escitalopram), complementing consensus statements and jurisdiction-specific guideline bodies (Bousman et al., 2023). This patchwork of expert guidance–with some jurisdictions moving toward formalised dose–adjustment tables and others remaining non-committal–creates structural ambiguity for clinicians and healthcare systems. Where WFSBP-style documents emphasise the limits of evidence and DPWG-type guidelines provide concrete dosing actions, health systems can legitimately choose very different levels of investment in PGx infrastructure (Bousman et al., 2021; Beunk et al., 2024). HTA reports further reinforce this caution. The Ontario HTA on the GeneSight test concluded that, despite suggestive evidence of clinical benefit, inconsistent RCT outcomes, sponsorship bias, and unclear generalisability prevent firm recommendations for public reimbursement (Health Quality Ontario, 2017). This reinforces a structurally conservative stance: PGx is “interesting and potentially useful”, but rarely classified as essential.\nStructural barriers are tightly linked to economic uncertainty. A systematic review of cost-effectiveness for CPIC-guided drugs across indications found that most economic models were favourable to PGx testing, but relied on assumed effect sizes and often industry-sponsored data, with limited psychiatric-specific analyses (Morris et al., 2022). Within psychiatry, trial-based evaluations of genotype-specific TCA dosing and nortriptyline optimisation suggest that PGx strategies can be cost-effective when they prevent serious toxicity or reduce protracted trial-and-error prescribing in difficult-to-treat depression (Ter et al., 2025; Vos et al., 2025). A Canadian simulation model for MDD illustrates this tension clearly: under plausible assumptions about test cost and clinical effectiveness, pre-emptive or early PGx testing can be economically attractive, but the model’s outputs are highly sensitive to the underlying effect size and prevalence of actionable genotypes (Ghanbarian et al., 2024). In other words, economic viability is conditional, not intrinsic, and depends heavily on local prices, formularies and population genetics. These uncertainties translate into payer hesitancy. In the absence of strong, universally positive RCT results and independent real-world cost data, many systems classify psychiatric PGx as an optional add-on rather than a reimbursed standard of care, thereby limiting scale and reinforcing structural inertia.\nA deeper structural issue concerns global and ancestry-related variation in CYP2D6 and CYP2C19 allele frequencies. A large meta-analysis quantifying the worldwide distribution of CYP2D6/CYP2C19 phenotypes demonstrates striking differences between populations, with some ancestries showing much higher proportions of poor or ultrarapid metabolisers than the European reference groups upon which most trials and guidelines are based (Koopmans et al., 2021). For example, Koopmans et al. note that CYP2D6 ultrarapid metabolizers are relatively uncommon in Europeans (≈2–3%) but substantially more frequent in East-African populations (≈20–29%), while CYP2C19 poor metabolizers are more frequent in Asians (≈12%) than in Europeans (≈2%), implying that the yield and impact of PGx-guided dosing will differ across ancestries (Koopmans et al., 2021). A systematic review of pharmacogenomics in Sri Lanka underscores the consequences: allele frequencies and haplotypes in South Asian populations often diverge from those represented in commercial panels and CPIC/DPWG tables, raising doubts about the direct transferability of Western dosing recommendations (Ranasinghe et al., 2024). Similar concerns arise in many low- and middle-income countries where local PGx data are scarce, yet imported tests and algorithms are used without ancestry-specific validation (Koopmans et al., 2021; Ranasinghe et al., 2024). This mismatch is structurally important. If test panels are optimised for alleles common in European and North American populations, clinical yield will be lower, and misclassification risk higher in under-represented ancestries. For example, the estimated prevalence of CYP2D6 poor metabolisers is around 1%–2% in many East Asian populations but 5%–10% in Europeans, while CYP2C19 rapid and ultrarapid metabolisers can account for more than 25%–30% of individuals in some South and South-East Asian groups, implying that the same panel and dosing tables will have very different yields across ancestries (Koopmans et al., 2021). Health systems in LMICs may then rationally conclude that the cost per actionable result is unacceptable, reinforcing global inequities in access to precision psychiatry.\nEven when economic and genetic arguments are favourable, implementation infrastructure remains a major bottleneck. A recent scoping review of PGx implementation in hospital settings synthesised dozens of programmes and concluded that successful implementation depends on: laboratory capacity and validated genotyping methods; robust electronic health record (EHR) integration with clinical decision support (CDS); clear governance on result storage and re-use; and sustainable reimbursement and workflow alignment (Wu et al., 2025). Only a minority of hospitals meet all these conditions, and psychiatric prescribing competes for CDS bandwidth with oncology, cardiology, and anticoagulation, where effect sizes are often larger (Wu et al., 2025). The UF Health personalised medicine programme illustrates both the promise and the constraints: it has embedded PGx results and alerts into the EHR across multiple specialties, yet psychiatric modules are just one component of a broad genomic infrastructure requiring substantial upfront investment and ongoing informatics support (Cavallari et al., 2017). At the primary care level, a UK quality-improvement project deploying PGx in general practice showed that GPs can use PGx reports to adjust antidepressant therapy, but also highlighted variability in uptake, time pressure, and dependence on local champions (Bhimpuria, 2024). The IGNITE pragmatic trials network similarly demonstrates that real-world genomic implementation hinges on local leadership, IT integration, and tailored education rather than on evidence alone (Ginsburg et al., 2021).\nThere is a structural misalignment between commercial multigene panels and public health priorities. Panels are designed and marketed by companies with global ambitions, but reimbursement decisions are made by local payers whose priorities include transparency, reproducibility and independence from proprietary algorithms. HTA reports, including the GeneSight assessment, explicitly criticise opaque weighting schemes and limited disclosure of how genetic and clinical factors are combined into colour-coded recommendations (Health Quality Ontario, 2017). National and regional health systems are therefore faced with a choice: either accept commercial panels “as is”, with limited control over algorithm evolution, or invest in local panels and CDS pipelines that replicate or adapt the evidence base. Both options are expensive and organisationally demanding, which explains why many systems default to minimal, gene-by-gene testing for a small set of CPIC/DPWG Level A interactions, rather than full psychiatric PGx panels.\nIn sum, structural and implementation barriers are not primarily scientific; they arise from misalignment between modest, probabilistic clinical gains and the heavy infrastructural, economic and organisational demands of genomic integration.\n\n\n### Fragmented and conservative guideline landscape\nCurrent expert and guideline documents are cautiously positive but structurally conservative. The World Federation of Societies of Biological Psychiatry (WFSBP) consensus on pharmacogenomic testing in psychiatry explicitly recognises CYP2D6/CYP2C19 for several antidepressants and antipsychotics, yet stops short of recommending universal testing, emphasising limited effect sizes, heterogeneous evidence, and the need for context-specific implementation (Bousman et al., 2021). In parallel, the Dutch Pharmacogenetics Working Group (DPWG) issues gene–drug-specific dosing recommendations for psychotropics, often with higher granularity and stronger language for CYP2D6/CYP2C19 substrates, but it is a national rather than a global standard (Beunk et al., 2024). In addition, CPIC provides phenotype-based dosing recommendations for several SSRI/SNRI antidepressants (including CYP2C19-related guidance for citalopram/escitalopram), complementing consensus statements and jurisdiction-specific guideline bodies (Bousman et al., 2023). This patchwork of expert guidance–with some jurisdictions moving toward formalised dose–adjustment tables and others remaining non-committal–creates structural ambiguity for clinicians and healthcare systems. Where WFSBP-style documents emphasise the limits of evidence and DPWG-type guidelines provide concrete dosing actions, health systems can legitimately choose very different levels of investment in PGx infrastructure (Bousman et al., 2021; Beunk et al., 2024). HTA reports further reinforce this caution. The Ontario HTA on the GeneSight test concluded that, despite suggestive evidence of clinical benefit, inconsistent RCT outcomes, sponsorship bias, and unclear generalisability prevent firm recommendations for public reimbursement (Health Quality Ontario, 2017). This reinforces a structurally conservative stance: PGx is “interesting and potentially useful”, but rarely classified as essential.\n\n\n### Economic uncertainty and payer hesitancy\nStructural barriers are tightly linked to economic uncertainty. A systematic review of cost-effectiveness for CPIC-guided drugs across indications found that most economic models were favourable to PGx testing, but relied on assumed effect sizes and often industry-sponsored data, with limited psychiatric-specific analyses (Morris et al., 2022). Within psychiatry, trial-based evaluations of genotype-specific TCA dosing and nortriptyline optimisation suggest that PGx strategies can be cost-effective when they prevent serious toxicity or reduce protracted trial-and-error prescribing in difficult-to-treat depression (Ter et al., 2025; Vos et al., 2025). A Canadian simulation model for MDD illustrates this tension clearly: under plausible assumptions about test cost and clinical effectiveness, pre-emptive or early PGx testing can be economically attractive, but the model’s outputs are highly sensitive to the underlying effect size and prevalence of actionable genotypes (Ghanbarian et al., 2024). In other words, economic viability is conditional, not intrinsic, and depends heavily on local prices, formularies and population genetics. These uncertainties translate into payer hesitancy. In the absence of strong, universally positive RCT results and independent real-world cost data, many systems classify psychiatric PGx as an optional add-on rather than a reimbursed standard of care, thereby limiting scale and reinforcing structural inertia.\n\n\n### Ancestry, allele frequency and equity of benefit\nA deeper structural issue concerns global and ancestry-related variation in CYP2D6 and CYP2C19 allele frequencies. A large meta-analysis quantifying the worldwide distribution of CYP2D6/CYP2C19 phenotypes demonstrates striking differences between populations, with some ancestries showing much higher proportions of poor or ultrarapid metabolisers than the European reference groups upon which most trials and guidelines are based (Koopmans et al., 2021). For example, Koopmans et al. note that CYP2D6 ultrarapid metabolizers are relatively uncommon in Europeans (≈2–3%) but substantially more frequent in East-African populations (≈20–29%), while CYP2C19 poor metabolizers are more frequent in Asians (≈12%) than in Europeans (≈2%), implying that the yield and impact of PGx-guided dosing will differ across ancestries (Koopmans et al., 2021). A systematic review of pharmacogenomics in Sri Lanka underscores the consequences: allele frequencies and haplotypes in South Asian populations often diverge from those represented in commercial panels and CPIC/DPWG tables, raising doubts about the direct transferability of Western dosing recommendations (Ranasinghe et al., 2024). Similar concerns arise in many low- and middle-income countries where local PGx data are scarce, yet imported tests and algorithms are used without ancestry-specific validation (Koopmans et al., 2021; Ranasinghe et al., 2024). This mismatch is structurally important. If test panels are optimised for alleles common in European and North American populations, clinical yield will be lower, and misclassification risk higher in under-represented ancestries. For example, the estimated prevalence of CYP2D6 poor metabolisers is around 1%–2% in many East Asian populations but 5%–10% in Europeans, while CYP2C19 rapid and ultrarapid metabolisers can account for more than 25%–30% of individuals in some South and South-East Asian groups, implying that the same panel and dosing tables will have very different yields across ancestries (Koopmans et al., 2021). Health systems in LMICs may then rationally conclude that the cost per actionable result is unacceptable, reinforcing global inequities in access to precision psychiatry.\n\n\n### Implementation infrastructure and workflow friction\nEven when economic and genetic arguments are favourable, implementation infrastructure remains a major bottleneck. A recent scoping review of PGx implementation in hospital settings synthesised dozens of programmes and concluded that successful implementation depends on: laboratory capacity and validated genotyping methods; robust electronic health record (EHR) integration with clinical decision support (CDS); clear governance on result storage and re-use; and sustainable reimbursement and workflow alignment (Wu et al., 2025). Only a minority of hospitals meet all these conditions, and psychiatric prescribing competes for CDS bandwidth with oncology, cardiology, and anticoagulation, where effect sizes are often larger (Wu et al., 2025). The UF Health personalised medicine programme illustrates both the promise and the constraints: it has embedded PGx results and alerts into the EHR across multiple specialties, yet psychiatric modules are just one component of a broad genomic infrastructure requiring substantial upfront investment and ongoing informatics support (Cavallari et al., 2017). At the primary care level, a UK quality-improvement project deploying PGx in general practice showed that GPs can use PGx reports to adjust antidepressant therapy, but also highlighted variability in uptake, time pressure, and dependence on local champions (Bhimpuria, 2024). The IGNITE pragmatic trials network similarly demonstrates that real-world genomic implementation hinges on local leadership, IT integration, and tailored education rather than on evidence alone (Ginsburg et al., 2021).\n\n\n### Commercial panels, health-system fit, and structural misalignment\nThere is a structural misalignment between commercial multigene panels and public health priorities. Panels are designed and marketed by companies with global ambitions, but reimbursement decisions are made by local payers whose priorities include transparency, reproducibility and independence from proprietary algorithms. HTA reports, including the GeneSight assessment, explicitly criticise opaque weighting schemes and limited disclosure of how genetic and clinical factors are combined into colour-coded recommendations (Health Quality Ontario, 2017). National and regional health systems are therefore faced with a choice: either accept commercial panels “as is”, with limited control over algorithm evolution, or invest in local panels and CDS pipelines that replicate or adapt the evidence base. Both options are expensive and organisationally demanding, which explains why many systems default to minimal, gene-by-gene testing for a small set of CPIC/DPWG Level A interactions, rather than full psychiatric PGx panels.\nIn sum, structural and implementation barriers are not primarily scientific; they arise from misalignment between modest, probabilistic clinical gains and the heavy infrastructural, economic and organisational demands of genomic integration.\n\n\n### Educational and ethical challenges\nEven when infrastructure exists, psychiatric pharmacogenomics runs into pervasive educational challenges. Early commentaries on commercial decision-support tools emphasised that many psychiatrists overestimate the determinism of PGx reports and underestimate their limitations, particularly around PD markers with weak evidence (Bousman and Hopwood, 2016). A systematic evaluation of commercial psychiatric PGx tests showed substantial variation in allele coverage, phenotype calling and result reporting, especially for CYP2D6/CYP2C19, and concluded that discordant outputs across tests risk confusing clinicians who lack deep pharmacogenetic training (Bousman et al., 2017). This creates a paradoxical combination of under- and over-trust: some clinicians ignore PGx entirely, while others treat panel outputs as quasi-authoritative, despite the modest and context-dependent effect sizes demonstrated in RCTs and meta-analyses. Health technology assessments, such as the GeneSight HTA, explicitly warn against using PGx results to override clinical judgement or to justify abrupt medication changes without considering past response, comorbidities and patient preference (Health Quality Ontario, 2017). Educational initiatives lag behind commercial penetration. Implementation reviews and hospital experience reports repeatedly identify clinician education and genomic literacy as central barriers: many prescribers are unclear about how to interpret metaboliser status, how to reconcile discordant gene–drug recommendations, and when not to order tests at all (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017).\nEthical concerns about equity and justice run parallel to the structural issues described above. Commercial and academic tests are typically optimised for alleles prevalent in European-ancestry populations; systematic work quantifying global CYP2D6/CYP2C19 variation and national reviews from South Asia and other regions consistently show that many common non-European alleles are either underrepresented or absent from standard panels (Koopmans et al., 2021; Ranasinghe et al., 2024). This raises several ethical questions: Are we systematically delivering lower-quality PGx information to patients from underrepresented ancestries? Does the use of partially mis-specified panels increase the risk of erroneous reassurance (e.g., “no interaction” reports that simply reflect missing alleles)? Should payers in LMICs invest in PGx when the underlying panels have not been validated in their populations?\nNational reviews of PGx landscapes in settings such as Sri Lanka highlight the risk that PGx could widen rather than narrow global health inequities, if wealthy systems benefit from ancestry-matched panels and robust implementation, while resource-constrained settings either lack access or use suboptimal tests (Ranasinghe et al., 2024).\nImplementation reviews in hospitals underscore that PGx results, once generated, are often stored and reused across specialties and over a patient’s lifetime. This creates a pragmatic “incidental findings” problem in a PGx sense: results generated for one prescribing decision may later become clinically relevant for other drugs, other specialties, or after guideline/allele reclassification. Accordingly, governance should specify secondary-use boundaries, re-interpretation/update procedures, and (where feasible) recontact expectations. (Wu et al., 2025; Cavallari et al., 2017). This raises complex consent and governance questions: Do patients understand that a test ordered in psychiatry may later influence prescribing in oncology or cardiology? How should health systems handle requests to delete or restrict genomic data? What level of recontact obligation exists when phenotype interpretation is revised (e.g., when new alleles are reclassified)? In pediatric psychiatry, these consent and data-lifespan issues are amplified because results may be reused for decades; therefore, testing is most defensible when anchored in high-evidence PK gene–drug pairs and clear clinical questions (e.g., tolerability risk or dosing) rather than broad “best-drug” claims (Aldrich et al., 2019; Poweleit et al., 2019; Amitai et al., 2016; Honeycutt et al., 2024; Strawn et al., 2021).\nA parallel literature in forensic and legal medicine points to additional ethical frictions. Pharmacogenetic information can, in principle, be used to reinterpret adverse drug reactions, intoxications, or deaths in medico-legal investigations, and some have proposed PGx as a tool to refine responsibility assessments in cases involving psychotropic drugs (Di Nunno et al., 2021). While this is still a niche application, it illustrates how PGx data may be drawn into legal processes far beyond the original psychiatric indication. These issues argue for explicit, layered consent models, clearer boundaries on secondary use, and robust governance structures–none of which are yet standard in routine psychiatric practice.\nCommercialisation introduces further ethical complexity. Commentaries and empirical analyses of psychiatric PGx tests emphasise the intertwining of evidence generation and marketing, with many RCTs and economic evaluations sponsored by test manufacturers (Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017; Jablonski et al., 2020; Brown et al., 2017). Although sponsorship does not invalidate results, it heightens the need for independent replication and transparent reporting of negative or equivocal trials. The opacity of proprietary algorithms compounds this concern. If clinicians cannot inspect how gene–drug pairs are weighted, or how PD markers with weak evidence are incorporated alongside robust PK markers, it becomes difficult to judge whether a panel’s recommendations are evidence-proportionate or skewed by commercial priorities. Health technology assessments and national reviews repeatedly call for greater algorithmic transparency as a precondition for public reimbursement (Health Quality Ontario, 2017; Ranasinghe et al., 2024).\nAt the health-system level, the key ethical question is not whether PGx “works” in a narrow sense–meta-analyses suggest it does, modestly–but whether investing in psychiatric PGx yields a greater marginal benefit than competing interventions (psychotherapy access, collaborative care, social interventions). Economic modelling and implementation networks, such as IGNITE, show that genomic programmes demand substantial infrastructural investment, and the opportunity cost of those resources is non-trivial (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017; Ghanbarian et al., 2024). From an ethical standpoint, prioritising PGx ahead of basic access to effective psychotherapies or medication adherence support may be difficult to justify in under-resourced settings. National primary-care QI work demonstrates that even in high-income countries, implementing PGx competes with more mundane but impactful quality-improvement targets (blood pressure control, diabetes care, vaccination) (Bhimpuria, 2024).\n\n\n### Knowledge gaps, over-trust, and the “black box” problem\nEven when infrastructure exists, psychiatric pharmacogenomics runs into pervasive educational challenges. Early commentaries on commercial decision-support tools emphasised that many psychiatrists overestimate the determinism of PGx reports and underestimate their limitations, particularly around PD markers with weak evidence (Bousman and Hopwood, 2016). A systematic evaluation of commercial psychiatric PGx tests showed substantial variation in allele coverage, phenotype calling and result reporting, especially for CYP2D6/CYP2C19, and concluded that discordant outputs across tests risk confusing clinicians who lack deep pharmacogenetic training (Bousman et al., 2017). This creates a paradoxical combination of under- and over-trust: some clinicians ignore PGx entirely, while others treat panel outputs as quasi-authoritative, despite the modest and context-dependent effect sizes demonstrated in RCTs and meta-analyses. Health technology assessments, such as the GeneSight HTA, explicitly warn against using PGx results to override clinical judgement or to justify abrupt medication changes without considering past response, comorbidities and patient preference (Health Quality Ontario, 2017). Educational initiatives lag behind commercial penetration. Implementation reviews and hospital experience reports repeatedly identify clinician education and genomic literacy as central barriers: many prescribers are unclear about how to interpret metaboliser status, how to reconcile discordant gene–drug recommendations, and when not to order tests at all (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017).\n\n\n### Ancestry, panel design and distributive justice\nEthical concerns about equity and justice run parallel to the structural issues described above. Commercial and academic tests are typically optimised for alleles prevalent in European-ancestry populations; systematic work quantifying global CYP2D6/CYP2C19 variation and national reviews from South Asia and other regions consistently show that many common non-European alleles are either underrepresented or absent from standard panels (Koopmans et al., 2021; Ranasinghe et al., 2024). This raises several ethical questions: Are we systematically delivering lower-quality PGx information to patients from underrepresented ancestries? Does the use of partially mis-specified panels increase the risk of erroneous reassurance (e.g., “no interaction” reports that simply reflect missing alleles)? Should payers in LMICs invest in PGx when the underlying panels have not been validated in their populations?\nNational reviews of PGx landscapes in settings such as Sri Lanka highlight the risk that PGx could widen rather than narrow global health inequities, if wealthy systems benefit from ancestry-matched panels and robust implementation, while resource-constrained settings either lack access or use suboptimal tests (Ranasinghe et al., 2024).\n\n\n### Regulation, consent and the scope of data reuse\nImplementation reviews in hospitals underscore that PGx results, once generated, are often stored and reused across specialties and over a patient’s lifetime. This creates a pragmatic “incidental findings” problem in a PGx sense: results generated for one prescribing decision may later become clinically relevant for other drugs, other specialties, or after guideline/allele reclassification. Accordingly, governance should specify secondary-use boundaries, re-interpretation/update procedures, and (where feasible) recontact expectations. (Wu et al., 2025; Cavallari et al., 2017). This raises complex consent and governance questions: Do patients understand that a test ordered in psychiatry may later influence prescribing in oncology or cardiology? How should health systems handle requests to delete or restrict genomic data? What level of recontact obligation exists when phenotype interpretation is revised (e.g., when new alleles are reclassified)? In pediatric psychiatry, these consent and data-lifespan issues are amplified because results may be reused for decades; therefore, testing is most defensible when anchored in high-evidence PK gene–drug pairs and clear clinical questions (e.g., tolerability risk or dosing) rather than broad “best-drug” claims (Aldrich et al., 2019; Poweleit et al., 2019; Amitai et al., 2016; Honeycutt et al., 2024; Strawn et al., 2021).\nA parallel literature in forensic and legal medicine points to additional ethical frictions. Pharmacogenetic information can, in principle, be used to reinterpret adverse drug reactions, intoxications, or deaths in medico-legal investigations, and some have proposed PGx as a tool to refine responsibility assessments in cases involving psychotropic drugs (Di Nunno et al., 2021). While this is still a niche application, it illustrates how PGx data may be drawn into legal processes far beyond the original psychiatric indication. These issues argue for explicit, layered consent models, clearer boundaries on secondary use, and robust governance structures–none of which are yet standard in routine psychiatric practice.\n\n\n### Commercial interests, transparency and conflict of interest\nCommercialisation introduces further ethical complexity. Commentaries and empirical analyses of psychiatric PGx tests emphasise the intertwining of evidence generation and marketing, with many RCTs and economic evaluations sponsored by test manufacturers (Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017; Jablonski et al., 2020; Brown et al., 2017). Although sponsorship does not invalidate results, it heightens the need for independent replication and transparent reporting of negative or equivocal trials. The opacity of proprietary algorithms compounds this concern. If clinicians cannot inspect how gene–drug pairs are weighted, or how PD markers with weak evidence are incorporated alongside robust PK markers, it becomes difficult to judge whether a panel’s recommendations are evidence-proportionate or skewed by commercial priorities. Health technology assessments and national reviews repeatedly call for greater algorithmic transparency as a precondition for public reimbursement (Health Quality Ontario, 2017; Ranasinghe et al., 2024).\n\n\n### System-level ethics: opportunity costs and implementation priorities\nAt the health-system level, the key ethical question is not whether PGx “works” in a narrow sense–meta-analyses suggest it does, modestly–but whether investing in psychiatric PGx yields a greater marginal benefit than competing interventions (psychotherapy access, collaborative care, social interventions). Economic modelling and implementation networks, such as IGNITE, show that genomic programmes demand substantial infrastructural investment, and the opportunity cost of those resources is non-trivial (Wu et al., 2025; Ginsburg et al., 2021; Cavallari et al., 2017; Ghanbarian et al., 2024). From an ethical standpoint, prioritising PGx ahead of basic access to effective psychotherapies or medication adherence support may be difficult to justify in under-resourced settings. National primary-care QI work demonstrates that even in high-income countries, implementing PGx competes with more mundane but impactful quality-improvement targets (blood pressure control, diabetes care, vaccination) (Bhimpuria, 2024).\n\n\n### Toward a more ethically coherent integration\nTaken together, the educational and ethical literature suggests several guardrails for responsible integration of psychiatric PGx. For example, the principle of epistemic humility and proportionality. Training should explicitly convey the modest, probabilistic nature of PGx benefits, preventing both nihilism (“it changes nothing”) and genetic determinism (“the test decides”) (Bousman et al., 2021; Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017).\nAlso, the ancestry-aware panel design and validation. Population-genetic data and national reviews should inform which tests are deployed in which settings, with a bias toward panels that include alleles common in the local population and have been locally validated (Koopmans et al., 2021; Ranasinghe et al., 2024).\nTransparent, auditable decision support needs to be highlighted in psychotropics PGx. Public or semi-public documentation of algorithms, allele coverage and evidence grading is ethically preferable to opaque commercial black boxes, particularly when public funds are involved (Bousman et al., 2017; Health Quality Ontario, 2017; Wu et al., 2025; Cavallari et al., 2017).\nRobust consent and governance frameworks are required for this field. Layered consent, clear rules on data reuse, and explicit policies for medico-legal access to PGx data are needed to prevent gradual function creep into forensic or discriminatory uses (Wu et al., 2025; Cavallari et al., 2017; Di Nunno et al., 2021; Smith et al., 2019).\nWithout these measures, psychiatric pharmacogenomics risks becoming a commercially driven, inequitable and partially misunderstood technology: scientifically sound in its core PK insights, but ethically and educationally under-anchored.\n\n\n### Limitations of this review and future directions\nSeveral limitations of this narrative review must be acknowledged. First, the design is intentionally non-systematic. Although we built on multiple systematic reviews, meta-analyses, consensus statements, and HTAs (Fornaguera and Miarons, 2025; Grant et al., 2025; Fabbri and Serretti, 2020; Bousman et al., 2021; Beunk et al., 2024; Brown et al., 2020; Zhang et al., 2025; Health Quality Ontario, 2017; Morris et al., 2022; Kato et al., 2015), we did not conduct a de novo systematic search with predefined inclusion/exclusion criteria, dual screening, or formal risk-of-bias assessment. Because several of the included meta-analyses and umbrella syntheses likely draw on partially overlapping primary trials, we did not formally quantify study overlap, and some duplication of evidence across secondary sources is therefore possible. Selection and interpretation are therefore susceptible to author-level bias, including over-representation of studies that have become influential in the field (for example, GUIDED, PRIME Care, and specific combinatorial panels) and under-representation of negative or unpublished trials.\nSecond, the evidence base itself is uneven. Antidepressant pharmacogenomics in MDD -especially CYP2D6/CYP2C19-guided prescribing and multigene panels-dominates both genetic and clinical integration data (Fornaguera and Miarons, 2025; Grant et al., 2025; Brown et al., 2020; Skryabin et al., 2023; Wang et al., 2023; Cheng et al., 2023; Zhang et al., 2025). In contrast, antipsychotic PGx, mood stabilisers, and most other psychiatric indications are informed largely by smaller meta-analyses, observational cohorts, and mechanistic studies, with few RCTs and almost no large, independent implementation trials (Santoro et al., 2016; Fabbri et al., 2017; Kato et al., 2015). As a result, the strength of inference varies considerably across drug classes, even within this single review.\nThird, our synthesis is anchored primarily in English-language publications from high-income countries. Although we explicitly included work on ancestry variation and national PGx landscapes in LMICs (Koopmans et al., 2021; Rollinson et al., 2020; Ranasinghe et al., 2024), the underlying literature is heavily skewed toward European-ancestry populations and high-resource health systems. This limits the external validity of many conclusions for settings with different genetic backgrounds, prescribing patterns and infrastructural constraints.\nFourth, we did not attempt a formal quantitative integration of economic data. Cost-effectiveness models differ in perspective (payer versus societal), time horizon, costing assumptions and outcome measures, and often rely on effect sizes from industry-sponsored trials (Health Quality Ontario, 2017; Morris et al., 2022; Ter et al., 2025; Vos et al., 2025; Jablonski et al., 2020; Brown et al., 2017; Ghanbarian et al., 2024). Any narrative summary of such heterogeneous models risks oversimplifying the conditional nature of economic attractiveness.\nFifth, the ethical and educational analysis draws heavily on implementation studies, HTAs and expert commentaries (Bousman et al., 2021; Beunk et al., 2024; Bousman and Hopwood, 2016; Bousman et al., 2017; Health Quality Ontario, 2017; Morris et al., 2022; Koopmans et al., 2021; Cavallari et al., 2017; Kato et al., 2015; Kim et al., 2021). These sources are invaluable for highlighting real-world frictions but are not immune to their own biases—whether towards enthusiasm (in implementation networks) or caution (in HTAs). There is a relative paucity of empirical work on patient perspectives, consent comprehension, perceptions of equity and the long-term psychosocial impact of PGx testing in psychiatry.\nFinally, the field is moving rapidly. New RCTs, guidelines and implementation programmes are emerging, and allele interpretation frameworks continue to evolve. Any static synthesis risks being quickly outpaced by ongoing developments in panel design, regulatory oversight and reimbursement policies. Consequently, the conclusions offered here should be read as a snapshot of the evidence up to mid-2025, rather than as a definitive or exhaustive account.\nFuture research should move beyond single-marker candidate studies and small, industry-sponsored trials. Large, independently funded RCTs and pragmatic implementation studies are needed in antipsychotic and mood stabiliser pharmacogenomics, in diverse ancestry groups and in LMIC health systems. Economic evaluations should incorporate real-world effect sizes, local cost structures and opportunity costs relative to other mental-health investments (Health Quality Ontario, 2017; Morris et al., 2022; Colle et al., 2015; Kim et al., 2021). The integration of epigenetics, exosomes, protein interactions, microbiome, and nutrigenomics data in future studies on PGx would increase the chances of achieving actual individualised treatment in psychiatry, targeting not only frequent psychopathological entities, but also less frequent and still functionally severely impairing disorders (Manea et al., 2024; Truong et al., 2025; Shaman, 2024; Vasiliu, 2024; Smith and Woodside, 2016; Kulisevsky et al., 2025). Ethical scholarship must be grounded in empirical data on patient preferences, consent comprehension, and perceived fairness, not solely in expert opinion.\nIf these directions are pursued, psychiatric pharmacogenomics is likely to consolidate its role as a targeted optimisation tool—particularly for high-risk, treatment-resistant patients—embedded within broader, biopsychosocial models of care. If they are neglected, the field risks remaining a commercially driven niche: scientifically credible in its PK core, but structurally fragmented, educationally fragile and ethically contested.\n\n\n### Conclusion\nPsychiatric pharmacogenomics occupies a nuanced intersection between relatively strong but narrow pharmacokinetic evidence, weaker and heterogeneous pharmacodynamic findings, and substantial implementation and ethical constraints. The most clinically actionable data concern CYP2D6 and CYP2C19 variants for certain antidepressants and, to a lesser extent, antipsychotics, which reliably predict serum levels and adverse effects and show modest associations with response and remission. Multigene panels extend this evidence base and, in RCTs and meta-analyses, yield small-to-moderate improvements in outcomes in major depressive disorder, particularly in treatment-resistant patients. In contrast, most pharmacodynamic, epigenetic, and transcriptomic markers remain exploratory and insufficient for guideline-level use, and evidence outside depression is limited. Implementation studies indicate that clinical benefit depends heavily on contextual factors such as decision-support infrastructure, clinician uptake and reimbursement, without which biological advantages are substantially attenuated.\nEthically, psychiatric pharmacogenomics raises concerns that extend beyond clinical efficacy, particularly regarding equity, transparency, and governance. Ancestry-related bias in current panels, proprietary algorithms, industry influence, and the lifelong reuse of genetic data collectively complicate informed consent, trust, reimbursement, and medico-legal accountability.\nTaken together, these strands point toward a pragmatic, proportionate model of integration rather than a binary embrace or rejection of psychiatric pharmacogenomics. In the near term, the most defensible strategy is:\nTo prioritise guideline-level PK markers (particularly CYP2D6/CYP2C19) for clearly defined psychotropic gene–drug pairs where evidence is strong and dosing recommendations are explicit.\nTo deploy multigene panels selectively, focusing on patients with treatment-resistant depression, complex polypharmacy or high risk of adverse events, and embedding panels within transparent, auditable CDS frameworks.\nTo design ancestry-aware implementation pathways, ensuring that allele coverage and phenotype calling reflect local population genetics, and that underrepresented groups are not systematically disadvantaged.\nTo invest in education and governance at least as much as in testing itself, emphasising probabilistic interpretation, data stewardship and realistic expectations among clinicians, patients and payers.", "domain": "affective_neuroscience"}
{"source": "PMC13093734", "title": "Sex differences in neuromodulatory subcortical systems and their implications for Alzheimer's disease", "text": "# Sex differences in neuromodulatory subcortical systems and their implications for Alzheimer's disease\n\n## Abstract\nNeuromodulatory subcortical systems (NSSs) are uniquely susceptible to dementia‐related pathology, leading to frequent molecular and behavioral impairments associated with altered function of these nuclei. Some of these systems display clear sex‐specific cytoarchitecture and signaling leading to distinct physiology and behavioral outputs in males and females, while other regions display nominal sex differences. However, the relevance of sex differences in modulating dysfunction of NSSs in Alzheimer's disease (AD) and related dementias is not well understood. This review is a joint effort by the Neuromodulatory Subcortical Systems and Sex and Gender Differences in Alzheimer's Disease Professional Interest Areas of the Alzheimer's Association. We review sex differences in NSSs, both in non‐disease states and in AD models and patients. We highlight the possible role of NSSs in driving sex‐specific AD susceptibility and potential footholds for sex‐based interventions targeting these systems. We conclude by outlining immediate and long‐term actions to address the intersection of NSSs, sex, and AD. Neuromodulatory subcortical systems are uniquely vulnerable in Alzheimer's disease.Biological sex is an important factor that modulates dementia risk and progression.Neuromodulatory subcortical systems show sex differences in structure and function.Sex‐dependent neuromodulatory nuclei dysfunction in dementia is understudied. Neuromodulatory subcortical systems are uniquely vulnerable in Alzheimer's disease. Biological sex is an important factor that modulates dementia risk and progression. Neuromodulatory subcortical systems show sex differences in structure and function. Sex‐dependent neuromodulatory nuclei dysfunction in dementia is understudied.\n\n## Full Text\n\n\n### INTRODUCTION\nDementias are widely recognized as disorders of severe memory decline, with the most prevalent form being Alzheimer's disease (AD). However, neuropsychiatric symptoms including anxiety, depression, social dysfunction, apathy, and sleep disturbances are highly prevalent, often emerging prior to cognitive deficits, and persist throughout the disease course.\n1\n, \n2\n, \n3\n These early symptoms point to dysfunction in neural systems beyond those canonically used for diagnosis, specifically the involvement of neuromodulatory subcortical systems (NSSs) located in the brainstem and hypothalamus. The neuromodulators produced by these nuclei are critical for regulating molecular processes and behaviors that go awry in AD.\n4\n Moreover, AD symptoms associated with dysfunction of NSSs appear coincident with accumulation of disease‐specific pathological hallmarks in these regions.\n1\n, \n4\n, \n5\n, \n6\n, \n7\n, \n8\n, \n9\n, \n10\n, \n11\n, \n12\n, \n13\nWe have previously proposed that understanding the mechanisms underlying selective vulnerability of NSSs is critical for improving outcomes and treatment options targeting these systems.\n4\n However, biological sex is one factor that has received little attention in its potential to modulate the susceptibility of NSSs in AD. There are well described sex differences in AD, which occur more frequently in women than men and often follow a more severe clinical trajectory in women.\n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n, \n21\n, \n22\n While women's increased longevity is frequently cited as a key contributing factor, this explanation remains controversial. For example, while animal models consistently show sex differences in neuromodulator signaling, behavioral outcomes, and vulnerability to amyloid beta (Aβ) and tau, human studies remain limited and inconsistent. This could be due to a failure to adequately account for sex‐specific variables such as hormonal contraceptive use, menstrual cycle phase, or menopausal status. Such factors can significantly alter neuromodulator synthesis, turnover, and receptor expression, ultimately affecting function and dysfunction of neural circuits. Importantly, NSSs exhibit inherent sex differences in their organization, structure, signaling, and biochemical properties even under non‐disease contexts. Therefore, understanding the ways in which sex shapes NSSs form and function may be key to explaining selective vulnerability and divergent clinical outcomes in men and women, as well as to guiding the design of more precise diagnostic and therapeutic strategies.\nThis joint effort by the Neuromodulatory Subcortical Systems and Sex and Gender Differences in Alzheimer's Disease Professional Interest Areas of the Alzheimer's Association reviews sex differences in NSSs (Table 1). Moving forward, we will use the term “preclinical” to describe studies using cell lines, rodents, non‐human primates, and other non‐human subjects. Similarly, in cases in which preclinical models are discussed, we will use the terms “male/female” to refer to subjects whereas human studies will refer to participants as men/women. Finally, when discussing menopause in women, unless otherwise stated these women were spontaneously menopausal, as opposed to those that had been subject to early ovarian removal. We focus on nine key neuromodulators: acetylcholine, dopamine (DA), norepinephrine (NE), serotonin (5‐HT), corticotropin releasing hormone (CRH), oxytocin (OXT), arginine vasopressin (AVP), histamine (HA), and orexin (OX)/hypocretin. These systems arise from distinct subcortical nuclei but are similar in their widespread projections to cortical and limbic regions. Their broad connectivity and susceptibility to early pathology position these regions as central influencers of molecular and behavioral symptoms of AD, in addition to disease progression. While some of these nuclei have been heavily implicated in the pathophysiology of AD (e.g., acetylcholine, DA, NE), others currently lack mechanistic depth (e.g., AVP, OXT, HA), particularly in the context of sex differences. We have therefore provided a broad overview of notable sex differences under baseline conditions and/or in AD for each NSS, along with outstanding questions to be addressed by future research (Figure 1). By further discussing these outcomes, especially in the context of sex, we may be able to better delineate mechanisms and symptoms that result in precision treatments for dementia.\nSummary of studies on sex differences in NSSs.\nHigher LC neuronal density was associated with slower rate of cognitive decline, while higher LC tangle density was associated with faster cognitive decline. LC neuronal density further moderated the association between Lewy bodies and cognitive decline.\nNo sex differences were observed in number of LC neurons or in number of hyperphosphorylated tau‐positive LC neurons.\nNotes: Sex differences in the OXT and AVP systems have been extensively reviewed elsewhere.\n417\n, \n418\n, \n419\n, \n420\n Therefore, we highlight newer results and those which are pertinent to AD in the above table. Citations with similar authors from the same year are differentiated with superscripts associated with their reference number.\nAbbreviations: 5‐HT, serotonin; 5‐HIAA, 5‐Hydroxyindoleacetic acid; Aβ, amyloid beta; AD, Alzheimer's disease; AVP, arginine vasopressin; BACE‐1, beta secretase 1; BDNF, brain‐derived neurotrophic factor; BFCS, basal forebrain cholinergic system; cAMP, cyclic adenosine monophosphate; CRH, corticotropin releasing hormone; DA, dopamine; DBH, dopamine beta‐hydroxylase; DRN, dorsal raphe nucleus; ER, estrogen receptor; ERK, extracellular regulated kinase; GFAP, glial fibrillary acidic protein; GSK‐3β, glycogen synthase kinase 3 beta; HA, histamine; htau, human tau; KO, knock‐out; LC, locus coeruleus; MCI, mild cognitive impairment; MRI, magnetic resonance imaging; NBM, nucleus basalis of Meynert; NE, norepinephrine; NMDA, N‐methyl‐d‐aspartic acid; NSSs, neuromodulatory subcortical systems; OX, orexin, OXT, oxytocin; PET, positron emission tomography; PFC, prefrontal cortex; p‐tau, phosphorylated tau; REM, rapid eye movement; SERT, serotonin transporter; SNpc, substantia nigra pars compacta; snRNA‐seq, single nuclei RNA sequencing; SSRI, selective serotonin reuptake inhibitor; TMN, tuberomammillary nucleus; trkA, tropomyosin receptor kinase A; VTA, ventral tegmental area.\nIndicates sex differences were not tested.\nIndicates the presence of sex differences.\nIndicates sex differences were tested for, but no differences were found.\nOverview of sex differences in neuromodulatory subcortical systems (NSSs) under baseline conditions and in Alzheimer's disease (AD). Nucleus basalis of Meynert (NBM)/basal forebrain cholinergic system (BFCS) – acetylcholine: Cholinergic decline (lower volume, neuron number, innervation, receptor activity) is observed after ovariectomy and in aging women. Outstanding question(s): What factors influence the efficacy of hormone replacement therapy for alleviating cholinergic decline (age at initiation, treatment duration, hormone formulation)? Ventral tegmental area (VTA)/substantia nigra pars compacta (SNpc) – dopamine (DA): At baseline, females/women display greater DA receptor and transporter density, release, and synthesis capacity (darker shading = greater synthesis capacity). Preclinical AD models show more severe DA‐related behavioral phenotypes and DA plaque burden along with reduced transporter density and synthesis capacity in females. Outstanding question(s): Can we leverage large, publicly available datasets to confirm preclinical sex differences in human populations? Locus coeruleus (LC) – norepinephrine (NE): At baseline, the female LC is larger in volume, has more neurons, and more elaborate dendritic fields. LC tau expression induces upregulation of NE synthesis genes in males only. Outstanding question(s): How do these robust sex differences in animal models translate to the human condition, including vulnerability of and treatment strategies targeting the LC–NE system? Dorsal raphe nucleus (DRN) – serotonin (5‐HT): Most studies report higher 5‐HT synthesis, metabolism, and turnover in females/women, while males display higher neuronal firing at baseline. Tau expression in DRN 5‐HT neurons causes spatial working memory deficits and impairs neuronal excitability that is specific to females. Outstanding question(s): To what extent is AD vulnerability shaped by DRN 5‐HT dysfunction, particularly during periods of hormonal transition? Paraventricular nucleus – corticotropin releasing hormone (CRH): CRH levels are higher in women/females, especially in response to stress. Stress increases AD pathology and inflammation to a greater extent in women/females. Outstanding question(s): Sex differences in CRH levels and CRH1 receptor distribution appear to be age dependent, but how do these development differences impact susceptibility to and progression of AD? LC–CRH interactions: Female LC neurons have a higher discharge rate in response to CRH and lower CRH receptor internalization relative to male LC neurons. Only females show colocalization of amyloid beta (Aβ) in LC axons in response to forebrain CRH overexpression. Outstanding question(s): What is the extent of crosstalk between other systems, their dependence on sex, and the implications for AD? Paraventricular/supraoptic nuclei – oxytocin (OXT): Sex differences in OXT structure and function are highly species specific and sometimes contradictory. Preclinical studies show that exogenous OXT (e.g., intranasal OXT) rescues behavioral and molecular AD‐related phenotypes in both sexes, including protection against working and spatial memory decline and a reduction in neuroinflammation. One study demonstrates that OXT can induce social deficits in female AD mice. Outstanding question(s): How do these preclinical findings translate to humans; specifically, how does AD impact OXT‐producing neurons and downstream signaling, and how might these changes affect AD‐related symptoms in a sex‐dependent manner? Paraventricular/supraoptic/suprachiasmatic nuclei – vasopressin (AVP): At baseline, males have more and larger AVP neurons, and greater innervation density and receptor expression. Whether these differences translate to humans is unknown. Diffuse expression and differing susceptibility of AVP nuclei suggest contributions to distinct facets of AD. Outstanding question(s): What is the extent of AVP dysfunction along AD progression and how is this modified by sex? Tuberomammillary nucleus (TMN) – histamine (HA): Androgens methylate HA, reducing baseline circulating levels in males compared to females. Women show greater loss of TMN neurons and HA synthesis enzymes but have greater HA receptor expression in AD. Outstanding question(s): Given HA signals immune responses in the periphery, what are the sex‐dependent effects of peripheral HA signaling on AD progression? Lateral hypothalamus – orexin (OX)/hypocretin: Males appear more responsive to pharmacological OX interventions (reduced hyperphosphorylated tau, normalization of sleep patterns), though responses in females are underexplored. While human evidence for sex differences in OX signaling remains inconsistent, dual OX receptor antagonists improve sleep in AD patients regardless of sex. Outstanding question(s): Does hormonal status and/or other sex‐related factors influence the efficacy of OX‐based therapeutics for sleep, AD, and their interaction? Other considerations: (1) What is the role of non‐primary neurotransmitters released by NSSs in AD (e.g., DA release from the LC or DRN subpopulations)? (2) What are the relative contributions of different NSSs to the same symptoms (e.g., contributions of NE vs. 5‐HT vs. CRH in anxiety‐like behaviors)? How are these phenotypes modified by sex? Figure generated in bioRender.\n\n\n### ACETYLCHOLINE\nAcetylcholine is a neurotransmitter involved in higher order cortical processes including memory and attention.\n23\n, \n24\n The cholinergic system is located in two main subcortical nuclei, the basal forebrain cholinergic system (BFCS), which includes the nucleus basalis of Meynert (NBM), and the brainstem cholinergic nuclei composed of the pedunculo‐pontine and lateral dorsal tegmental nuclei. Both systems possess long‐range projections that innervate the majority of the cortical and subcortical regions.\n25\n Multiple studies reported volume loss of the BFCS with AD.\n26\n, \n27\n, \n28\n, \n29\n, \n30\n, \n31\n BFCS loss is particularly associated with accumulation of tau pathology, which has been hypothesized to be the initiating factor in the decline of cholinergic neurons.\n8\n, \n9\n Cell loss occurs relatively early in disease progression, with changes in BFCS volume predictive of future deterioration of other subcortical structures, particularly the entorhinal and perirhinal cortices.\n28\n Using the radiotracer [18F]‐FEOBV, studies have shown that cholinergic terminals throughout the cortex also decline with advancing disease stage.\n32\n Deterioration of cognitive abilities follows this structural loss, with deficits in ability to exert top‐down control on attentional processes.\n33\n, \n34\n, \n35\n While there is less evidence for brainstem cholinergic decline than for the BCFS, post mortem studies of AD patients and [18F]‐FEOBV imaging of patients with Lewy body dementia have both shown degeneration of the brainstem cholinergic nuclei with increasing pathological burden.\n36\n, \n37\nThe cholinergic system is especially relevant to the topic of sex differences in AD, as acetylcholine is modulated by estrogenic signaling, particularly via estradiol in the cortex.\n38\n Estradiol modulates BFCS function mainly through the estrogen receptor ERα and is responsible for increasing levels of choline acetyltransferase,\n39\n an enzyme crucial for the synthesis of acetylcholine. Compared to the gradual decrease of sex hormones in men, estradiol levels in women are greatly diminished after menopause, and it is believed that this loss of estradiol directly affects cholinergic integrity, which may increase the risk of developing AD for some women.\n38\n, \n40\nThe BFCS also shows distinctive sex differences with AD progression both in structure and function particularly early in the disease process. Structurally, BFCS atrophy differs across the sexes, both in terms of loss of neuronal density as well as in the reduction of receptor activity. Animal studies tend to focus on changes in cholinergic structure and function after ovariectomy, as it has been shown that cholinergic volumes do not differ between male and intact female animals.\n41\n, \n42\n In female rats, ovariectomy results in a reduction of cholinergic neurons of the NBM compared to intact female rats or those treated with unopposed estradiol.\n43\n Reduction of cholinergic neurons in the BFCS also leads to a reduction of cortical projections, with ovariectomized female rats displaying reductions in cholinergic innervation of the entorhinal cortex.\n44\n In humans, BFCS volume changes occur earlier in women compared to men.\n45\n Specifically, NBM volume is reduced in women compared to men that are cognitively unimpaired or have mild cognitive impairment (MCI). Notably, there was a greater reduction in NBM volume in healthy older women > 36 years of age relative to men. Furthermore, a post mortem study of AD patients showed that androgen receptors are lower in women compared to men, both in the vertical limb of the diagonal band of Broca, and the NBM.\n46\n Comparatively, there is less evidence for sex differences in the decline of the brainstem cholinergic system, beyond functional connectivity between brainstem and precuneus being preserved in men but not women with MCI.\n47\n However, given the nature of the early involvement of cholinergic dysfunction in the development of AD, and the impact of the hormonal shift at menopause on the cholinergic system, studies have been focused on the ability of exogenous hormones to address this imbalance.\nHormone therapy through the use of exogenous estrogens and progestins has been proposed as a potential neuroprotective strategy, largely due to its influence on cholinergic tone.\n38\n, \n48\n Exogenous estradiol modulates cholinergic activity in both animal models\n48\n, \n49\n, \n50\n, \n51\n and humans.\n43\n, \n52\n, \n53\n, \n54\n Epidemiological studies also link hormone therapy with a reduced risk of developing AD,\n55\n, \n56\n even in women with early life ovarian removal.\n57\n However, findings from studies assessing the impact of hormone therapy on cognitive performance have been mixed.\n58\n, \n59\n Several factors can affect the ability of hormone therapy to boost cholinergic tone. These factors include the timing of the initiation of hormone therapy relative to the menopause transition, the duration of use, route of administration, and the specific combination of hormonal compounds.\nWhen evaluating the beneficial effects of exogenous estrogens in cognitively unimpaired postmenopausal women, studies often use a stressor or pharmacological challenge to identify underlying cholinergic dysfunction. Cholinergic antagonists, such as mecamylamine (nicotinic receptors) or scopolamine (muscarinic receptors) are often used for this purpose.\n60\n, \n61\n, \n62\n, \n63\n A single dose of estradiol attenuates scopolamine‐induced memory impairments in ovariectomized rats.\n64\n Similarly, postmenopausal women who receive oral estradiol for 3 months perform better on working memory and attention tasks under an anticholinergic challenge compared to those on placebo.\n65\n, \n66\n Interestingly, these beneficial effects appear to be age dependent. Estradiol mitigates the anticholinergic challenge only in younger postmenopausal women, while older women showed worsened performance while on estradiol.\n67\n This pattern aligns with preclinical data demonstrating that cognitive benefits of exogenous estradiol treatment are greatest when treatment occurs closer to ovariectomy.\n68\n, \n69\n These studies highlight the importance of the timing of hormone therapy initiation relative to menopause, a fundamental concept of the critical window hypothesis.\n67\n, \n70\n, \n71\n Most studies report improved cognitive outcomes when hormone therapy begins within the first few years of menopause, whereas initiation ≥ 5 years later reduces beneficial effects.\n70\n, \n72\n, \n73\n, \n74\n The hypothesis suggests that estradiol's beneficial effects on the cholinergic system are most pronounced while the nuclei are still structurally intact.\nThe importance of identifying optimal treatment windows is also exemplified by studies examining individuals with subjective cognitive complaints,\n75\n, \n76\n a transition stage associated with greater risk of progressing to MCI or AD. In these individuals, estradiol appears less effective in counteracting cholinergic disruption. In a study of cortical activation of working memory, postmenopausal women with greater self‐reported cognitive complaints exhibited greater overall cortical activation compared to participants who reported fewer complaints. Such activation suggests increased neuronal effort is required to successfully complete tasks.\n77\n Under an anticholinergic challenge, these postmenopausal women performed worse, regardless of whether they received 3 months of estradiol or placebo.\n78\nFinally, composition of the hormone therapy regimen also determines its effects on cognition and cholinergic system integrity. Hormone therapy typically combines estrogen and progesterone replacement, with the former compensating for reduced circulating estradiol and the latter preventing endometrial hypoplasia.\n79\n, \n80\n Both estrogen and progestin types influence cognitive and cholinergic performance. For example, conjugated equine estrogens increased incidence of dementia and MCI in women in the Women's Health Initiative.\n81\n, \n82\n This effect was most pronounced in older women who were long past menopause,\n83\n consistent with the critical window hypothesis. Progestins themselves can have differential effects on cholinergic function and cognitive performance, both alone and in combination with estrogens.\n84\n Beneficial effects of progesterone have been seen in ovariectomized mice, in which progesterone in conjunction with estradiol improved choline acetyltransferase activity compared to estradiol or progesterone alone.\n85\n A beneficial effect of combined hormone therapy was also seen in postmenopausal women who initiated treatment earlier after menopause. Compared to estrogen therapy alone, women taking estrogens and progestins had greater cholinergic uptake of the radiotracer N‐[11C]methylpiperidin‐4‐yl propionate in the hippocampus and posterior cingulate.\n53\n However, like estrogens, the type of progestins seem to influence their ability to modulate cholinergic tone. For example, medroxyprogesterone acetate, the most commonly used progestin, impairs cognitive performance in both in animal models and human studies.\n86\n, \n87\n In contrast, micronized progesterone tends to be less harmful and may even improve some cognitive measures.\n86\n However, in the presence of an anticholinergic agent, micronized progesterone interferes with estradiol's ability to improve cognitive performance.\n88\n Overall, while preclinical research generally supports the neuroprotective role of hormone therapy through enhanced cholinergic function, evidence from studies in postmenopausal women are mixed. This variability likely reflects differences in age at initiation, treatment duration, hormone formulation, and underlying cholinergic system integrity.\nCholinergic system decline is synonymous with AD progression and has been proposed as a factor in the sex disparity of AD, due to its relationship with estrogens and the consequences of the menopause transition.\n38\n, \n39\n Both animal and human studies show that loss of estradiol increases the vulnerability to cholinergic decline, driven in part by increased tau propagation. Due to the relationship between the cholinergic system and estrogens, a particular focus of past research has been on whether the use of exogenous hormones can mitigate the loss of estradiol after menopause. The benefits of hormone therapy on cholinergic function and cognitive performance are inconclusive, owing to a complex interaction of factors, including the timing of replacement therapy, that impact the ability of hormone therapy to improve performance. Moreover, not all women develop AD, and a better understanding of the underlying vulnerability of some women for cholinergic dysfunction and AD progression should be a focus of future research. Measurements of cholinergic integrity, like cholinergic radiotracers, in conjunction with new fluid biomarkers, may offer a more accurate way of probing the relationships among the cholinergic system, hormone therapy, and AD pathological burden.\n\n\n### Baseline sex differences in cholinergic system structure and function\nThe cholinergic system is especially relevant to the topic of sex differences in AD, as acetylcholine is modulated by estrogenic signaling, particularly via estradiol in the cortex.\n38\n Estradiol modulates BFCS function mainly through the estrogen receptor ERα and is responsible for increasing levels of choline acetyltransferase,\n39\n an enzyme crucial for the synthesis of acetylcholine. Compared to the gradual decrease of sex hormones in men, estradiol levels in women are greatly diminished after menopause, and it is believed that this loss of estradiol directly affects cholinergic integrity, which may increase the risk of developing AD for some women.\n38\n, \n40\nThe BFCS also shows distinctive sex differences with AD progression both in structure and function particularly early in the disease process. Structurally, BFCS atrophy differs across the sexes, both in terms of loss of neuronal density as well as in the reduction of receptor activity. Animal studies tend to focus on changes in cholinergic structure and function after ovariectomy, as it has been shown that cholinergic volumes do not differ between male and intact female animals.\n41\n, \n42\n In female rats, ovariectomy results in a reduction of cholinergic neurons of the NBM compared to intact female rats or those treated with unopposed estradiol.\n43\n Reduction of cholinergic neurons in the BFCS also leads to a reduction of cortical projections, with ovariectomized female rats displaying reductions in cholinergic innervation of the entorhinal cortex.\n44\n In humans, BFCS volume changes occur earlier in women compared to men.\n45\n Specifically, NBM volume is reduced in women compared to men that are cognitively unimpaired or have mild cognitive impairment (MCI). Notably, there was a greater reduction in NBM volume in healthy older women > 36 years of age relative to men. Furthermore, a post mortem study of AD patients showed that androgen receptors are lower in women compared to men, both in the vertical limb of the diagonal band of Broca, and the NBM.\n46\n Comparatively, there is less evidence for sex differences in the decline of the brainstem cholinergic system, beyond functional connectivity between brainstem and precuneus being preserved in men but not women with MCI.\n47\n However, given the nature of the early involvement of cholinergic dysfunction in the development of AD, and the impact of the hormonal shift at menopause on the cholinergic system, studies have been focused on the ability of exogenous hormones to address this imbalance.\n\n\n### Hormone replacement therapy as a critical modifier of cholinergic function\nHormone therapy through the use of exogenous estrogens and progestins has been proposed as a potential neuroprotective strategy, largely due to its influence on cholinergic tone.\n38\n, \n48\n Exogenous estradiol modulates cholinergic activity in both animal models\n48\n, \n49\n, \n50\n, \n51\n and humans.\n43\n, \n52\n, \n53\n, \n54\n Epidemiological studies also link hormone therapy with a reduced risk of developing AD,\n55\n, \n56\n even in women with early life ovarian removal.\n57\n However, findings from studies assessing the impact of hormone therapy on cognitive performance have been mixed.\n58\n, \n59\n Several factors can affect the ability of hormone therapy to boost cholinergic tone. These factors include the timing of the initiation of hormone therapy relative to the menopause transition, the duration of use, route of administration, and the specific combination of hormonal compounds.\nWhen evaluating the beneficial effects of exogenous estrogens in cognitively unimpaired postmenopausal women, studies often use a stressor or pharmacological challenge to identify underlying cholinergic dysfunction. Cholinergic antagonists, such as mecamylamine (nicotinic receptors) or scopolamine (muscarinic receptors) are often used for this purpose.\n60\n, \n61\n, \n62\n, \n63\n A single dose of estradiol attenuates scopolamine‐induced memory impairments in ovariectomized rats.\n64\n Similarly, postmenopausal women who receive oral estradiol for 3 months perform better on working memory and attention tasks under an anticholinergic challenge compared to those on placebo.\n65\n, \n66\n Interestingly, these beneficial effects appear to be age dependent. Estradiol mitigates the anticholinergic challenge only in younger postmenopausal women, while older women showed worsened performance while on estradiol.\n67\n This pattern aligns with preclinical data demonstrating that cognitive benefits of exogenous estradiol treatment are greatest when treatment occurs closer to ovariectomy.\n68\n, \n69\n These studies highlight the importance of the timing of hormone therapy initiation relative to menopause, a fundamental concept of the critical window hypothesis.\n67\n, \n70\n, \n71\n Most studies report improved cognitive outcomes when hormone therapy begins within the first few years of menopause, whereas initiation ≥ 5 years later reduces beneficial effects.\n70\n, \n72\n, \n73\n, \n74\n The hypothesis suggests that estradiol's beneficial effects on the cholinergic system are most pronounced while the nuclei are still structurally intact.\nThe importance of identifying optimal treatment windows is also exemplified by studies examining individuals with subjective cognitive complaints,\n75\n, \n76\n a transition stage associated with greater risk of progressing to MCI or AD. In these individuals, estradiol appears less effective in counteracting cholinergic disruption. In a study of cortical activation of working memory, postmenopausal women with greater self‐reported cognitive complaints exhibited greater overall cortical activation compared to participants who reported fewer complaints. Such activation suggests increased neuronal effort is required to successfully complete tasks.\n77\n Under an anticholinergic challenge, these postmenopausal women performed worse, regardless of whether they received 3 months of estradiol or placebo.\n78\nFinally, composition of the hormone therapy regimen also determines its effects on cognition and cholinergic system integrity. Hormone therapy typically combines estrogen and progesterone replacement, with the former compensating for reduced circulating estradiol and the latter preventing endometrial hypoplasia.\n79\n, \n80\n Both estrogen and progestin types influence cognitive and cholinergic performance. For example, conjugated equine estrogens increased incidence of dementia and MCI in women in the Women's Health Initiative.\n81\n, \n82\n This effect was most pronounced in older women who were long past menopause,\n83\n consistent with the critical window hypothesis. Progestins themselves can have differential effects on cholinergic function and cognitive performance, both alone and in combination with estrogens.\n84\n Beneficial effects of progesterone have been seen in ovariectomized mice, in which progesterone in conjunction with estradiol improved choline acetyltransferase activity compared to estradiol or progesterone alone.\n85\n A beneficial effect of combined hormone therapy was also seen in postmenopausal women who initiated treatment earlier after menopause. Compared to estrogen therapy alone, women taking estrogens and progestins had greater cholinergic uptake of the radiotracer N‐[11C]methylpiperidin‐4‐yl propionate in the hippocampus and posterior cingulate.\n53\n However, like estrogens, the type of progestins seem to influence their ability to modulate cholinergic tone. For example, medroxyprogesterone acetate, the most commonly used progestin, impairs cognitive performance in both in animal models and human studies.\n86\n, \n87\n In contrast, micronized progesterone tends to be less harmful and may even improve some cognitive measures.\n86\n However, in the presence of an anticholinergic agent, micronized progesterone interferes with estradiol's ability to improve cognitive performance.\n88\n Overall, while preclinical research generally supports the neuroprotective role of hormone therapy through enhanced cholinergic function, evidence from studies in postmenopausal women are mixed. This variability likely reflects differences in age at initiation, treatment duration, hormone formulation, and underlying cholinergic system integrity.\n\n\n### Future directions\nCholinergic system decline is synonymous with AD progression and has been proposed as a factor in the sex disparity of AD, due to its relationship with estrogens and the consequences of the menopause transition.\n38\n, \n39\n Both animal and human studies show that loss of estradiol increases the vulnerability to cholinergic decline, driven in part by increased tau propagation. Due to the relationship between the cholinergic system and estrogens, a particular focus of past research has been on whether the use of exogenous hormones can mitigate the loss of estradiol after menopause. The benefits of hormone therapy on cholinergic function and cognitive performance are inconclusive, owing to a complex interaction of factors, including the timing of replacement therapy, that impact the ability of hormone therapy to improve performance. Moreover, not all women develop AD, and a better understanding of the underlying vulnerability of some women for cholinergic dysfunction and AD progression should be a focus of future research. Measurements of cholinergic integrity, like cholinergic radiotracers, in conjunction with new fluid biomarkers, may offer a more accurate way of probing the relationships among the cholinergic system, hormone therapy, and AD pathological burden.\n\n\n### DOPAMINE\nDopaminergic circuits originate from the substantia nigra pars compacta (SNpc) and the ventral tegmental area (VTA).\n89\n, \n90\n Dopaminergic neurons in the SNpc project to the dorsal striatum, forming the nigrostriatal pathway, which is critical for movement and action selection.\n91\n In contrast, dopaminergic neurons in the VTA project to the ventral striatum and nucleus accumbens, forming the mesolimbic pathway, and to the prefrontal cortex (PFC), forming the mesocortical pathway. The former is implicated in reward processing and motivated behavior, while the latter is important for cognition.\n92\n, \n93\n Additionally, dopaminergic neurons in both the SNpc and VTA project to the hippocampus, where DA release supports synaptic plasticity and memory formation.\n94\nSex differences in dopaminergic circuits are evident across the lifespan\n95\n and impact trajectories for many DA‐related disorders, such as Parkinson's disease, schizophrenia, and substance use disorder.\n96\n, \n97\n, \n98\n For example, human neuroimaging studies reported higher D2/3 receptor density, transporter density, striatal DA release, and DA synthesis in women than men.\n99\n, \n100\n, \n101\n, \n102\n, \n103\n However, other studies, although fewer, reported either opposite results, such as higher DA release in men than women,\n104\n or null effects (e.g., D2/3 receptor density\n102\n). Findings from preclinical studies also generally confirm the existence of sex differences in dopaminergic circuits. For instance, there are robust sex differences in the degree of connectivity between the VTA/SNpc and its targets. In female rats, 50% of the projections from the VTA to the PFC are dopaminergic, while in male rats this proportion is only 30%.\n105\n Similarly, DA release in the dorsal striatum is greater in females relative to males, suggesting that, like the PFC, the dorsal striatum of females receives denser dopaminergic input than that of males.\n106\nNot only does the dopaminergic system vary by sex, but it is also regulated by gonadal hormones. Women with greater baseline DA in the PFC display a negative association between PFC‐dependent cognitive function and levels of estradiol.\n107\n An investigation of the neural and cognitive effects of contraceptive use found that hormonal contraceptive users had greater DA synthesis capacity in the dorsal striatum and better cognitive flexibility relative to non‐users.\n108\n Importantly, across groups, higher DA synthesis capacity was associated with greater cognitive flexibility. Considered together, these clinical studies provide clear evidence that sex hormones potently influence DA function that is relevant for optimal cognitive function, particularly in women.\nSimilarly, in preclinical studies, striatal DA release is positively correlated with estradiol levels in intact female rats and the administration of estradiol and progesterone to ovariectomized female rats increases striatal DA release.\n109\n In contrast, androgens have no effect on striatal DA properties, but instead appear to regulate cortical DA function in males.\n109\n, \n110\n, \n111\n Androgens tonically suppress DA release in the PFC,\n111\n and testosterone inhibits burst firing in PFC‐projecting VTA neurons.\n112\n, \n113\n, \n114\n Consequently, androgen regulation contributes to lower basal PFC DA levels in males, increasing their susceptibility to cortical hypodopaminergia.\n110\n, \n112\nEven without considering sex as a modifying factor, there is evidence of DA dysfunction in AD.\n115\n, \n116\n, \n117\n Studies using genetic polymorphisms to infer individual differences in DA function have demonstrated links between the rs6347 DA transporter polymorphism, Aβ, and tau pathology,\n118\n as well as an increased risk for developing AD and greater cortical shrinkage with expansion of the ventricles.\n119\n In addition, Aβ plaque burden in the striatum is predictive of AD severity,\n120\n and dopaminergic midbrain nuclei accumulate tau pathology before it spreads to cortical regions,\n121\n suggesting these midbrain areas may be vulnerable in early stages of AD. Similarly, in the Tg576 mouse model of AD, selective neuronal loss in the VTA (but not in the SNpc) was observed prior to Aβ plaque formation.\n122\n This dysregulation of DA circuitry not only affects midbrain DA nuclei but also impacts the targets of their projections. In AD patients, hippocampal D2 receptor density is lower than in healthy controls.\n115\n Given that higher D2 receptor density is correlated with better memory performance, the reduction in hippocampal D2 receptors in AD patients could account for memory impairments characteristic of AD. Consistent with these clinical findings, VTA neuron loss in Tg576 mice is correlated with lower hippocampal DA levels, lower CA1 synaptic plasticity, worse memory performance, and impaired reward learning.\n122\n Based on these findings, degeneration of the VTA in AD may lead to deficits in DA‐dependent hippocampal function and contribute to memory impairments typically associated with AD.\nAlthough it is unclear how DA dysfunction might be mechanistically related to AD, it is possible that AD pathology and aging‐related dysregulated DA may exacerbate each other, leading to worse clinical outcomes. For example, oxidative stress and Aβ aggregation in AD are linked to mitochondrial DNA damage, mitochondrial dysfunction, inflammation, and cytotoxicity.\n123\n The administration of DA and its derivatives, however, can combat the effects of oxidative stress and Aβ aggregation.\n124\n Hence, AD‐associated hypodopaminergia may weaken the usual protective effects exerted by DA and, as a consequence, make neurons more vulnerable to oxidative damage. Interestingly, a DA receptor agonist improves cognition in individuals with MCI,\n116\n thus providing additional support for the supposition that increased DA levels may protect against cognitive decline.\nFew studies have considered sex as a moderating factor in the bidirectional interplay between AD and the DA system, despite well‐established sex differences in AD presentation.\n125\n For example, women with AD often present with greater severity of depressive symptoms, aberrant motor behavior, and psychotic symptoms, all of which are associated with DA dysfunction. Such sex‐dependent presentation of AD suggests sex‐specific AD‐related changes to this system. This notion is supported by work using the 5xFAD mouse model, in which females exhibited greater striatal Aβ plaque burden, hyperlocomotion, and reduced stereotypies compared to males.\n126\n Additionally, female, but not male, 5xFAD mice exhibited reduced DA transporter and tyrosine hydroxylase expression.\n126\n Beyond this recent work, however, very little is known about the DA‐linked mechanisms underlying the greater susceptibility and sensitivity of females to AD pathology, underscoring the need for more research in this area.\nAlthough the mechanisms that contribute to sex differences are not well understood, gonadal hormones appear to be involved. Estrogen receptor polymorphisms are associated with increased AD risk in women.\n127\n DNA methylation and RNA expression of estrogen receptor genes, particularly GPER1, in the PFC is associated with greater cognitive decline and higher post mortem indices of AD pathology, with more pronounced effects in women.\n128\n Although there is no direct link between hormonal modulation of DA and AD development, it is conceivable that hormone‐related changes in the DA system during menopause, a period when estradiol levels decline, may place women at a higher risk for developing AD. Estradiol protects against Aβ and tau pathology, oxidative stress, and mitochondrial damage while loss of estradiol after menopause reduces antioxidant capacity.\n129\n These findings are consistent with evidence from a rodent Aβ1‐42 infusion model of AD. While ovariectomy induced hippocampal oxidative stress in aged female rats, estradiol administration ameliorated detrimental effects.\n130\n Greater oxidative stress likely impacts cellular function throughout the brain, but dopaminergic neurons may be particularly affected as they have high energy requirements.\n131\n, \n132\n Hence, the typical age‐related reduction in circulating hormones may increase female risk for AD due to changes in the metabolic function and capacity of DA neurons.\nIntriguingly, although men have a lower AD risk than women overall, men, especially of healthy older populations, can present with quicker and more severe cognitive decline.\n133\n This sex difference may be attributed to baseline differences in dopaminergic projections from the VTA to the PFC and the influence of androgens on DA release in the PFC from neurons originating in the VTA.\n113\n, \n114\n Hence, both gonadal hormones and other factors associated with biological sex could be considered risk factors predisposing males to developing cortical hypodopaminergia and AD‐associated cognitive deficits. However, more work is needed to test this hypothesis and examine how AD‐related changes in the DA system may account for sex differences in metrics of disease severity, especially given evidence that women with AD show more pronounced cognitive decline than men.\n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n, \n21\n, \n22\n, \n133\nThe evidence for sex differences in the dopaminergic system support a link between its sex‐specific dysfunction and AD. Like other NSSs, hormonal regulation of the dopaminergic system may be a critical mediator of sex differences in AD. Relative to other neuromodulators, however, far less is known about how sex‐dependent alterations in the dopaminergic system contribute to the pathophysiology of AD. One limitation of existing clinical studies is that they lack the statistical power necessary to effectively analyze sex differences. Hence, an important future direction in this field is to leverage large, publicly available datasets (e.g., the Alzheimer's Disease Neuroimaging Initiative) to study how both dopaminergic and hormone‐related genetic polymorphisms relate to neural measures of AD pathology and cognitive trajectories. Another critical avenue of research is to identify how interactions between DA and other neurotransmitters, such as 5‐HT and NE, impact AD pathology. Although preclinical studies have demonstrated an association between DA and 5‐HT in AD,\n134\n no clinical studies exist that explore such a relationship. Similarly, the locus coeruleus (LC), although known for being the brain's primary source of NE,\n135\n also synthesizes DA\n94\n, \n136\n and is especially vulnerable to tau pathology.\n11\n For these reasons, this nucleus is of primary interest for future research on how interactions between DA and NE may influence sex‐dependent vulnerability to AD.\n\n\n### Baseline sex differences in dopaminergic circuits and regulation by sex hormones\nSex differences in dopaminergic circuits are evident across the lifespan\n95\n and impact trajectories for many DA‐related disorders, such as Parkinson's disease, schizophrenia, and substance use disorder.\n96\n, \n97\n, \n98\n For example, human neuroimaging studies reported higher D2/3 receptor density, transporter density, striatal DA release, and DA synthesis in women than men.\n99\n, \n100\n, \n101\n, \n102\n, \n103\n However, other studies, although fewer, reported either opposite results, such as higher DA release in men than women,\n104\n or null effects (e.g., D2/3 receptor density\n102\n). Findings from preclinical studies also generally confirm the existence of sex differences in dopaminergic circuits. For instance, there are robust sex differences in the degree of connectivity between the VTA/SNpc and its targets. In female rats, 50% of the projections from the VTA to the PFC are dopaminergic, while in male rats this proportion is only 30%.\n105\n Similarly, DA release in the dorsal striatum is greater in females relative to males, suggesting that, like the PFC, the dorsal striatum of females receives denser dopaminergic input than that of males.\n106\nNot only does the dopaminergic system vary by sex, but it is also regulated by gonadal hormones. Women with greater baseline DA in the PFC display a negative association between PFC‐dependent cognitive function and levels of estradiol.\n107\n An investigation of the neural and cognitive effects of contraceptive use found that hormonal contraceptive users had greater DA synthesis capacity in the dorsal striatum and better cognitive flexibility relative to non‐users.\n108\n Importantly, across groups, higher DA synthesis capacity was associated with greater cognitive flexibility. Considered together, these clinical studies provide clear evidence that sex hormones potently influence DA function that is relevant for optimal cognitive function, particularly in women.\nSimilarly, in preclinical studies, striatal DA release is positively correlated with estradiol levels in intact female rats and the administration of estradiol and progesterone to ovariectomized female rats increases striatal DA release.\n109\n In contrast, androgens have no effect on striatal DA properties, but instead appear to regulate cortical DA function in males.\n109\n, \n110\n, \n111\n Androgens tonically suppress DA release in the PFC,\n111\n and testosterone inhibits burst firing in PFC‐projecting VTA neurons.\n112\n, \n113\n, \n114\n Consequently, androgen regulation contributes to lower basal PFC DA levels in males, increasing their susceptibility to cortical hypodopaminergia.\n110\n, \n112\n\n\n### The dopaminergic system in AD and the moderating influence of sex\nEven without considering sex as a modifying factor, there is evidence of DA dysfunction in AD.\n115\n, \n116\n, \n117\n Studies using genetic polymorphisms to infer individual differences in DA function have demonstrated links between the rs6347 DA transporter polymorphism, Aβ, and tau pathology,\n118\n as well as an increased risk for developing AD and greater cortical shrinkage with expansion of the ventricles.\n119\n In addition, Aβ plaque burden in the striatum is predictive of AD severity,\n120\n and dopaminergic midbrain nuclei accumulate tau pathology before it spreads to cortical regions,\n121\n suggesting these midbrain areas may be vulnerable in early stages of AD. Similarly, in the Tg576 mouse model of AD, selective neuronal loss in the VTA (but not in the SNpc) was observed prior to Aβ plaque formation.\n122\n This dysregulation of DA circuitry not only affects midbrain DA nuclei but also impacts the targets of their projections. In AD patients, hippocampal D2 receptor density is lower than in healthy controls.\n115\n Given that higher D2 receptor density is correlated with better memory performance, the reduction in hippocampal D2 receptors in AD patients could account for memory impairments characteristic of AD. Consistent with these clinical findings, VTA neuron loss in Tg576 mice is correlated with lower hippocampal DA levels, lower CA1 synaptic plasticity, worse memory performance, and impaired reward learning.\n122\n Based on these findings, degeneration of the VTA in AD may lead to deficits in DA‐dependent hippocampal function and contribute to memory impairments typically associated with AD.\nAlthough it is unclear how DA dysfunction might be mechanistically related to AD, it is possible that AD pathology and aging‐related dysregulated DA may exacerbate each other, leading to worse clinical outcomes. For example, oxidative stress and Aβ aggregation in AD are linked to mitochondrial DNA damage, mitochondrial dysfunction, inflammation, and cytotoxicity.\n123\n The administration of DA and its derivatives, however, can combat the effects of oxidative stress and Aβ aggregation.\n124\n Hence, AD‐associated hypodopaminergia may weaken the usual protective effects exerted by DA and, as a consequence, make neurons more vulnerable to oxidative damage. Interestingly, a DA receptor agonist improves cognition in individuals with MCI,\n116\n thus providing additional support for the supposition that increased DA levels may protect against cognitive decline.\nFew studies have considered sex as a moderating factor in the bidirectional interplay between AD and the DA system, despite well‐established sex differences in AD presentation.\n125\n For example, women with AD often present with greater severity of depressive symptoms, aberrant motor behavior, and psychotic symptoms, all of which are associated with DA dysfunction. Such sex‐dependent presentation of AD suggests sex‐specific AD‐related changes to this system. This notion is supported by work using the 5xFAD mouse model, in which females exhibited greater striatal Aβ plaque burden, hyperlocomotion, and reduced stereotypies compared to males.\n126\n Additionally, female, but not male, 5xFAD mice exhibited reduced DA transporter and tyrosine hydroxylase expression.\n126\n Beyond this recent work, however, very little is known about the DA‐linked mechanisms underlying the greater susceptibility and sensitivity of females to AD pathology, underscoring the need for more research in this area.\nAlthough the mechanisms that contribute to sex differences are not well understood, gonadal hormones appear to be involved. Estrogen receptor polymorphisms are associated with increased AD risk in women.\n127\n DNA methylation and RNA expression of estrogen receptor genes, particularly GPER1, in the PFC is associated with greater cognitive decline and higher post mortem indices of AD pathology, with more pronounced effects in women.\n128\n Although there is no direct link between hormonal modulation of DA and AD development, it is conceivable that hormone‐related changes in the DA system during menopause, a period when estradiol levels decline, may place women at a higher risk for developing AD. Estradiol protects against Aβ and tau pathology, oxidative stress, and mitochondrial damage while loss of estradiol after menopause reduces antioxidant capacity.\n129\n These findings are consistent with evidence from a rodent Aβ1‐42 infusion model of AD. While ovariectomy induced hippocampal oxidative stress in aged female rats, estradiol administration ameliorated detrimental effects.\n130\n Greater oxidative stress likely impacts cellular function throughout the brain, but dopaminergic neurons may be particularly affected as they have high energy requirements.\n131\n, \n132\n Hence, the typical age‐related reduction in circulating hormones may increase female risk for AD due to changes in the metabolic function and capacity of DA neurons.\nIntriguingly, although men have a lower AD risk than women overall, men, especially of healthy older populations, can present with quicker and more severe cognitive decline.\n133\n This sex difference may be attributed to baseline differences in dopaminergic projections from the VTA to the PFC and the influence of androgens on DA release in the PFC from neurons originating in the VTA.\n113\n, \n114\n Hence, both gonadal hormones and other factors associated with biological sex could be considered risk factors predisposing males to developing cortical hypodopaminergia and AD‐associated cognitive deficits. However, more work is needed to test this hypothesis and examine how AD‐related changes in the DA system may account for sex differences in metrics of disease severity, especially given evidence that women with AD show more pronounced cognitive decline than men.\n14\n, \n15\n, \n16\n, \n17\n, \n18\n, \n19\n, \n20\n, \n21\n, \n22\n, \n133\n\n\n### Future directions\nThe evidence for sex differences in the dopaminergic system support a link between its sex‐specific dysfunction and AD. Like other NSSs, hormonal regulation of the dopaminergic system may be a critical mediator of sex differences in AD. Relative to other neuromodulators, however, far less is known about how sex‐dependent alterations in the dopaminergic system contribute to the pathophysiology of AD. One limitation of existing clinical studies is that they lack the statistical power necessary to effectively analyze sex differences. Hence, an important future direction in this field is to leverage large, publicly available datasets (e.g., the Alzheimer's Disease Neuroimaging Initiative) to study how both dopaminergic and hormone‐related genetic polymorphisms relate to neural measures of AD pathology and cognitive trajectories. Another critical avenue of research is to identify how interactions between DA and other neurotransmitters, such as 5‐HT and NE, impact AD pathology. Although preclinical studies have demonstrated an association between DA and 5‐HT in AD,\n134\n no clinical studies exist that explore such a relationship. Similarly, the locus coeruleus (LC), although known for being the brain's primary source of NE,\n135\n also synthesizes DA\n94\n, \n136\n and is especially vulnerable to tau pathology.\n11\n For these reasons, this nucleus is of primary interest for future research on how interactions between DA and NE may influence sex‐dependent vulnerability to AD.\n\n\n### NOREPINEPHRINE\nExtensive evidence implicates the LC, the brain's primary, but not exclusive, source of NE, as a central node in the early stages of AD pathogenesis.\n5\n, \n137\n, \n138\n, \n139\n The LC–NE system is a key component of the brain's arousal and stress network, supporting alertness, attention, and cognition.\n140\n, \n141\n, \n142\n, \n143\n, \n144\n, \n145\n, \n146\n, \n147\n Notably, hyperphosphorylated tau in its pretangle form accumulates in LC neurons decades before clinical symptoms, suggesting a brainstem origin of AD pathology.\n5\n, \n148\n This observation has spurred increasing interest in the LC's role in shaping AD vulnerability.\n149\n, \n150\n Given that AD is more prevalent in women than men, LC degeneration, an early AD hallmark, has been hypothesized to be more pronounced in women, partially due to estradiol decline during and after perimenopause. Such hormonal changes may exacerbate NE depletion, thereby accelerating tau propagation and cognitive decline.\n149\nRodent models have shown that the LC exhibits marked sex differences, with females displaying larger LC volume, greater neuronal counts, and more elaborate dendritic arborization compared to males.\n151\n, \n152\n, \n153\n, \n154\n, \n155\n While these features may enhance arousal regulation and neuromodulatory capacity, they also increase metabolic demand and sensitivity to oxidative stress, potentially rendering the female LC more vulnerable to degeneration during aging or chronic stress exposure. Recent transcriptomic and proteomic analyses have also shed light on sex‐dependent LC vulnerability. For instance, the female LC in mice expresses elevated levels of stress‐responsive genes such as Ptger3, which modulates LC excitability and anxiety‐like behaviors.\n156\n Estradiol also enhances NE biosynthesis by upregulating tyrosine hydroxylase, the rate‐limiting enzyme in NE production.\n157\n, \n158\n On the other hand, proteomic signatures suggest reduced regulation of protein turnover and stress pathways, including eukaryotic initiation factor 2 signaling and glucocorticoid response, in the female rodent LC.\n159\n These molecular differences may compromise resilience to neurodegenerative processes, contributing to the greater AD susceptibility observed in women.\nIncreasingly, animal models of amyloidosis have been used to examine LC degeneration, but few incorporate sex‐stratified analyses. In studies of female APP mice, N‐(2‐chloroethyl)‐N‐ethyl‐2‐bromobenzylamine‐induced LC lesions resulted in increased plaque burden, glial activation, and cognitive deficits.\n160\n Aged female APP/PS1 mice exhibited selective LC neuron loss despite preserved dopaminergic systems,\n161\n aligning with human evidence of early LC degeneration in AD.\n162\n, \n163\n, \n164\n, \n165\n, \n166\n, \n167\n One study found that LC chemogenetic silencing or adrenoceptor blockade exacerbated central nervous system inflammation,\n168\n with Adrb1 knockdown in microglia intensifying inflammatory responses exclusively in females, indicating sex‐specific differences in adrenergic signaling.\nStudies using TgF344‐AD rats and APP transgenic mice with LC lesions reported increased Aβ deposition, synaptic deficits, and cognitive impairment but did not analyze sex differences.\n169\n, \n170\n, \n171\n Other investigations in males show that in V717F‐APP, LC noradrenergic depletion increased Aβ plaque burden and reduced neprilysin, a key Aβ‐degrading enzyme, highlighting NE's role in Aβ clearance.\n172\n Similarly, in male 5xFAD mice, vindeburnol confers neuroprotection by upregulating tyrosine hydroxylase, reducing Aβ plaque load, and improving behavior via cyclic adenosine monophosphate‐mediated brain‐derived neurotrophic factor upregulation.\n173\n While informative for males, these studies underscore the need for comparable data in females to elucidate sex‐specific mechanisms of LC degeneration and AD progression.\nAnimal models of tau pathology within the LC have provided critical insight into early‐stage AD but, like most amyloid models, often lacked sex‐stratified analyses. Transgenic models carrying the human MAPT P301S or P301L mutation linked to frontotemporal dementia\n174\n, \n175\n are widely used to study tauopathy. In PS19 mice (P301S), tau fibril injection into the LC induced rapid tau aggregation and neuronal loss on the ipsilateral side compared to the contralateral LC, which exhibited tau clearance and minimal cell loss, likely reflecting lateralization of pathological burden and more effective degradation.\n174\n In P301L mice, similar injections disrupted hippocampal network activity without overt tau propagation.\n175\n Although both sexes were included in the previous two studies, outcomes were not analyzed separately by sex. Similarly, TgF344‐AD rats show early LC tau accumulation accompanied by axonal degeneration and cognitive decline that precedes entorhinal and hippocampal pathology.\n176\n A follow‐up study identified age‐ and stage‐dependent dysregulation of LC firing,\n177\n though sex differences were not assessed.\nEmerging findings suggest that sex significantly modulates tau‐related LC vulnerability. In human tau (htau) overexpressing mice,\n178\n males displayed greater hyperactivity and anxiety, whereas both sexes exhibited depressive‐like behaviors and LC pathology. These results indicate shared neuropathology but divergent behavioral outcomes. LC‐targeted models using pseudophosphorylated htauE14 have substantiated foundational studies that pretangle tau pathology originates in the LC and contributes to AD progression.\n5\n, \n179\n, \n180\n, \n181\n, \n182\n htauE14 induces LC degeneration and tau spread, impairing olfactory learning.\n180\n These effects were reversed by driving LC–NE activity in a way that mimics its natural response to novelty.\n182\n A more recent report shows that LC htauE14 triggers peripheral and central nervous system inflammation and blood–brain barrier disruption.\n179\n Comparing transcriptional signatures of the LC in females and males to htauE14, males showed broad downregulation of synaptic and ion channel genes, while females showed targeted alterations in metabolic and developmental pathways.\n181\n Notably, only males displayed an upregulation of NE synthesis genes, suggesting that males, but not females, may mount a compensatory response. On the other hand, probiotic treatment rescued learning and reduced inflammation, with hippocampal glycogen synthase kinase 3 beta suppression observed only in females.\n179\n These molecular distinctions likely underlie observed sex‐specific behavioral and neuropathological outcomes in response to tau pathology in the LC.\nThe LC–NE system has intricate reciprocal connections with other neuromodulatory systems that, unlike other systems, have been functionally characterized. One such neuromodulator is the stress‐related neuropeptide CRH, which regulates the LC in a sex‐dependent manner. Compared to males, LC neurons in adult female rats are more sensitive to local CRH infusions (causing increased neuronal discharge rate) as indicated by a left shift in the CRH dose–response curve.\n151\n Further, after local CRH administration, females show increased cyclic adenosine monophosphate‐mediated cellular signaling as well as reduced swim stress–induced internalization of CRH1 compared to males.\n183\nWhile more sensitive to CRH, female LC neurons are less adaptable to high levels of CRH, which can occur during chronic stress. This is due to reduced CRH1 receptor internalization compared to males.\n184\n Additionally, female LC CRH1 receptors are more highly coupled to the Gs‐protein, which can lead to prolonged NE release and heightened arousal during stress.\n183\n, \n185\n, \n186\n These types of baseline LC–CRH sex differences may enhance female risk for stress‐induced cognitive impairments and anxiety by altering signaling in LC terminal regions. Indeed, CRH infusions into the LC produce theta oscillations in the medial PFC selectively in female rats but decrease low‐frequency activity in the medial PFC in males.\n187\n These infusions increase and decrease medial PFC–orbitofrontal cortex coherence in females and males, respectively, but only alter orbitofrontal cortex activity in males, resulting in a delayed decrease in delta frequency power.\n187\n These sex‐specific effects of CRH signaling in the LC are important to consider when assessing sex differences in the behavioral response to stress. In the cortex, CRH1‐Gs signaling is also enhanced in females, and this effect is linked to greater activation of AD pathways (Aβ and tau processing) and more cortical Aβ accumulation in CRH‐overexpressing female mice compared to CRH‐overexpressing male mice.\n188\n Last, conditionally overexpressing forebrain CRH in adult male and female mice redistributes Aβ peptides in somatodendritic processes in the LC. However, only females exhibit increased colocalization of Aβ42 in LC axon terminals in the PFC and display more pronounced blood–brain barrier disruption.\n189\n Thus, while the sex differences in LC–CRH interactions may lead to adaptations that support resilience in acute stress contexts, chronic CRH overactivation could predispose the female LC to metabolic overload, degeneration, Aβ accumulation, and tau pathology.\nWhile animal models provide crucial mechanistic insights into sex‐specific LC vulnerability, human post mortem and neuroimaging studies offer the opportunity to validate and translate these preclinical findings across the lifespan and disease stages. However, compared to preclinical investigations, human work on the LC–NE system rarely explores sex differences because of the limited number of cases examined\n190\n, \n191\n, \n192\n, \n193\n, \n194\n, \n195\n, \n196\n, \n197\n, \n198\n, \n199\n or the exclusive use of women\n200\n or men.\n201\n, \n202\n, \n203\n The findings from those that do explore sex differences do not always align with results reported in rodents. Some studies report no sex differences in LC neuronal number, nucleolar volume, or melanin content across the lifespan,\n204\n, \n205\n while others observed more LC neurons and delayed cell loss in women.\n205\n, \n206\n Recent large‐scale autopsy studies in aging, AD, and other neurodegenerative disorders have also rarely examined sex differences in LC integrity.\n1\n, \n5\n, \n6\n, \n10\n, \n137\n, \n138\n, \n207\n, \n208\n, \n209\n, \n210\n, \n211\n, \n212\n, \n213\n, \n214\n, \n215\n, \n216\n, \n217\n, \n218\n, \n219\n Among those that considered the effect of sex, findings varied: while some found no differences in LC volume,\n165\n neuronal number,\n162\n, \n163\n, \n165\n, \n220\n, \n221\n, \n222\n, \n223\n or hyperphosphorylated tau–positive LC neurons,\n11\n, \n162\n, \n220\n, \n222\n, \n223\n others have found greater LC hypopigmentation, a proxy for neurodegeneration, in men.\n224\n, \n225\nTechnical advances in imaging the LC with magnetic resonance imaging (MRI) have improved our ability to visualize the LC in vivo in humans, enabling reliable visualization and segmentation of this brainstem nucleus with high precision.\n222\n, \n226\n, \n227\n, \n228\n, \n229\n, \n230\n, \n231\n These methodological breakthroughs have facilitated a growing body of research demonstrating the central role of LC structure and function in pathological manifestations of AD in humans, including early tau burden, cognitive decline, and clinical progression.\n232\n, \n233\n, \n234\n, \n235\n, \n236\n Consequently, MRI‐derived LC integrity has emerged as a critical early biomarker for AD‐related neurodegenerative processes, showing promise for detecting at‐risk individuals.\nMost in vivo MRI studies investigating sex differences in LC macrostructural integrity report no differences between men and women. These studies have used a combination of young and old adults,\n226\n, \n237\n older adults only,\n238\n, \n239\n cognitively normal individuals assessed across the lifespan,\n227\n, \n240\n, \n241\n cognitively impaired older adults,\n222\n and individuals with autosomal dominant AD.\n166\n However, in an ethnically and socioeconomically diverse lifespan sample, some studies reported higher LC MRI signal intensity in women compared to men\n242\n in both healthy young and old individuals,\n243\n, \n244\n, \n245\n, \n246\n and MCI patients\n245\n who progressed to AD.\n246\n There was one exception reporting lower LC intensity in women compared to men.\n247\n Finally, three studies reported mixed findings on sex differences in LC microstructural integrity derived from diffusion‐weighted imaging and quantitative multiparametric mapping, showing either no differences in lifespan and older cohorts\n248\n, \n249\n or preserved LC microstructural integrity in men compared to women across young and older adults.\n250\nRegarding LC function in humans, limited evidence suggests that healthy young and middle‐aged women exhibit lower functional connectivity between the LC and the hippocampus, parahippocampus, and middle temporal gyrus.\n251\n One study reported older women with elevated levels of frontal Aβ burden show higher functional connectivity with somatosensory regions, suggesting women mount compensatory mechanisms to maintain optimal salience detection despite increased pathology.\n252\n A well‐known role of the LC is in emotional processing\n142\n and a meta‐analysis of 56 functional MRI studies using various emotional stimuli revealed higher activations in several brain regions in women, including the amygdala and hippocampus, and most notably in the LC.\n253\n However, when specifically examining LC function during an emotional memory task, one recent study found no sex differences in LC activation in response to emotional salience, task‐related salience, and memory performance\n254\n; we interpret this with caution because the emotional stimuli used might not have been sufficiently intense to elicit sex differences in LC response. In addition, functional connectivity at rest between the left LC and the executive control network was higher in women than men, primarily driven by premenopausal women.\n255\n Moreover, LC fluorodeoxyglucose positron emission tomography (PET) signals were higher in women compared to men for both cognitively healthy and impaired individuals,\n256\n which suggests that greater LC metabolism may provide increased resilience against the effect of AD‐related processes.\n257\nAlthough animal models have established robust sex differences in LC structure and function, evidence for sex‐specific vulnerability to AD pathology remains incomplete, and inconsistent with human studies. Systematic investigation of these differences in both animals and humans remains crucial to advance the field.\nAnimal studies have shown that sex can modulate LC vulnerability in AD through several mechanisms. Specifically, females exhibit higher inflammatory responses after loss of adrenergic signaling, enhanced CRH1‐Gs protein coupling that leads to prolonged stress responses, and greater blood–brain barrier disruption, all of which could influence tau pathology initiation and clearance.\n149\n, \n179\n, \n188\n, \n189\n Regarding Aβ pathology, lesion and chemogenetic silencing studies have indicated that LC impairment can exacerbate Aβ deposition and associated neuroinflammation,\n160\n, \n168\n but the underlying mechanisms and whether they vary between sexes remain unclear and require targeted experimental investigation.\nA major limitation across clinical as well as animal model studies is the lack of information about sex hormone–related factors in female participants (e.g., hormone levels, menstrual/estrous cycle phases, contraceptive use, menopausal/reproductive senescence status, history of gynecological surgery, or hormone replacement therapy), despite evidence that sex hormones (especially estradiol) modulate LC structure and function.\n149\n, \n226\n, \n258\n In addition, most human studies have examined specific age ranges or have pooled diverse age groups without isolating the critical menopausal transition at which the risk of health problems rise in women\n259\n including higher tau deposition.\n260\n Finally, several studies have pooled cognitively normal and impaired participants together, limiting our understanding of sex‐specific patterns of LC changes across disease stages.\nThe vulnerability of the LC to declining estradiol combined with early tau accumulation might represent a key pathway explaining the well‐documented higher risk for women to develop AD, especially during menopausal transition and early life ovarian removal.\n57\n, \n261\n, \n262\n, \n263\n, \n264\n, \n265\n, \n266\n, \n267\n, \n268\n However, critical gaps remain in our understanding of sex‐specific molecular and cellular mechanisms underlying such LC vulnerability to tau and Aβ pathogenesis, including sex differences in neuroimmune, neuroendocrine, and neurovascular regulation. Understanding how hormonal changes influence LC vulnerability during the lifespan, and how this association is modified by AD pathology, genetic risk factors and other environmental factors such as stress, especially during prodromal phases of the disease, could inform sex‐specific prevention strategies and optimal windows for intervention.\n\n\n### Intrinsic vulnerability of the LC–NE system in female rodents\nRodent models have shown that the LC exhibits marked sex differences, with females displaying larger LC volume, greater neuronal counts, and more elaborate dendritic arborization compared to males.\n151\n, \n152\n, \n153\n, \n154\n, \n155\n While these features may enhance arousal regulation and neuromodulatory capacity, they also increase metabolic demand and sensitivity to oxidative stress, potentially rendering the female LC more vulnerable to degeneration during aging or chronic stress exposure. Recent transcriptomic and proteomic analyses have also shed light on sex‐dependent LC vulnerability. For instance, the female LC in mice expresses elevated levels of stress‐responsive genes such as Ptger3, which modulates LC excitability and anxiety‐like behaviors.\n156\n Estradiol also enhances NE biosynthesis by upregulating tyrosine hydroxylase, the rate‐limiting enzyme in NE production.\n157\n, \n158\n On the other hand, proteomic signatures suggest reduced regulation of protein turnover and stress pathways, including eukaryotic initiation factor 2 signaling and glucocorticoid response, in the female rodent LC.\n159\n These molecular differences may compromise resilience to neurodegenerative processes, contributing to the greater AD susceptibility observed in women.\nIncreasingly, animal models of amyloidosis have been used to examine LC degeneration, but few incorporate sex‐stratified analyses. In studies of female APP mice, N‐(2‐chloroethyl)‐N‐ethyl‐2‐bromobenzylamine‐induced LC lesions resulted in increased plaque burden, glial activation, and cognitive deficits.\n160\n Aged female APP/PS1 mice exhibited selective LC neuron loss despite preserved dopaminergic systems,\n161\n aligning with human evidence of early LC degeneration in AD.\n162\n, \n163\n, \n164\n, \n165\n, \n166\n, \n167\n One study found that LC chemogenetic silencing or adrenoceptor blockade exacerbated central nervous system inflammation,\n168\n with Adrb1 knockdown in microglia intensifying inflammatory responses exclusively in females, indicating sex‐specific differences in adrenergic signaling.\nStudies using TgF344‐AD rats and APP transgenic mice with LC lesions reported increased Aβ deposition, synaptic deficits, and cognitive impairment but did not analyze sex differences.\n169\n, \n170\n, \n171\n Other investigations in males show that in V717F‐APP, LC noradrenergic depletion increased Aβ plaque burden and reduced neprilysin, a key Aβ‐degrading enzyme, highlighting NE's role in Aβ clearance.\n172\n Similarly, in male 5xFAD mice, vindeburnol confers neuroprotection by upregulating tyrosine hydroxylase, reducing Aβ plaque load, and improving behavior via cyclic adenosine monophosphate‐mediated brain‐derived neurotrophic factor upregulation.\n173\n While informative for males, these studies underscore the need for comparable data in females to elucidate sex‐specific mechanisms of LC degeneration and AD progression.\nAnimal models of tau pathology within the LC have provided critical insight into early‐stage AD but, like most amyloid models, often lacked sex‐stratified analyses. Transgenic models carrying the human MAPT P301S or P301L mutation linked to frontotemporal dementia\n174\n, \n175\n are widely used to study tauopathy. In PS19 mice (P301S), tau fibril injection into the LC induced rapid tau aggregation and neuronal loss on the ipsilateral side compared to the contralateral LC, which exhibited tau clearance and minimal cell loss, likely reflecting lateralization of pathological burden and more effective degradation.\n174\n In P301L mice, similar injections disrupted hippocampal network activity without overt tau propagation.\n175\n Although both sexes were included in the previous two studies, outcomes were not analyzed separately by sex. Similarly, TgF344‐AD rats show early LC tau accumulation accompanied by axonal degeneration and cognitive decline that precedes entorhinal and hippocampal pathology.\n176\n A follow‐up study identified age‐ and stage‐dependent dysregulation of LC firing,\n177\n though sex differences were not assessed.\nEmerging findings suggest that sex significantly modulates tau‐related LC vulnerability. In human tau (htau) overexpressing mice,\n178\n males displayed greater hyperactivity and anxiety, whereas both sexes exhibited depressive‐like behaviors and LC pathology. These results indicate shared neuropathology but divergent behavioral outcomes. LC‐targeted models using pseudophosphorylated htauE14 have substantiated foundational studies that pretangle tau pathology originates in the LC and contributes to AD progression.\n5\n, \n179\n, \n180\n, \n181\n, \n182\n htauE14 induces LC degeneration and tau spread, impairing olfactory learning.\n180\n These effects were reversed by driving LC–NE activity in a way that mimics its natural response to novelty.\n182\n A more recent report shows that LC htauE14 triggers peripheral and central nervous system inflammation and blood–brain barrier disruption.\n179\n Comparing transcriptional signatures of the LC in females and males to htauE14, males showed broad downregulation of synaptic and ion channel genes, while females showed targeted alterations in metabolic and developmental pathways.\n181\n Notably, only males displayed an upregulation of NE synthesis genes, suggesting that males, but not females, may mount a compensatory response. On the other hand, probiotic treatment rescued learning and reduced inflammation, with hippocampal glycogen synthase kinase 3 beta suppression observed only in females.\n179\n These molecular distinctions likely underlie observed sex‐specific behavioral and neuropathological outcomes in response to tau pathology in the LC.\n\n\n### LC–NE interactions with CRH\nThe LC–NE system has intricate reciprocal connections with other neuromodulatory systems that, unlike other systems, have been functionally characterized. One such neuromodulator is the stress‐related neuropeptide CRH, which regulates the LC in a sex‐dependent manner. Compared to males, LC neurons in adult female rats are more sensitive to local CRH infusions (causing increased neuronal discharge rate) as indicated by a left shift in the CRH dose–response curve.\n151\n Further, after local CRH administration, females show increased cyclic adenosine monophosphate‐mediated cellular signaling as well as reduced swim stress–induced internalization of CRH1 compared to males.\n183\nWhile more sensitive to CRH, female LC neurons are less adaptable to high levels of CRH, which can occur during chronic stress. This is due to reduced CRH1 receptor internalization compared to males.\n184\n Additionally, female LC CRH1 receptors are more highly coupled to the Gs‐protein, which can lead to prolonged NE release and heightened arousal during stress.\n183\n, \n185\n, \n186\n These types of baseline LC–CRH sex differences may enhance female risk for stress‐induced cognitive impairments and anxiety by altering signaling in LC terminal regions. Indeed, CRH infusions into the LC produce theta oscillations in the medial PFC selectively in female rats but decrease low‐frequency activity in the medial PFC in males.\n187\n These infusions increase and decrease medial PFC–orbitofrontal cortex coherence in females and males, respectively, but only alter orbitofrontal cortex activity in males, resulting in a delayed decrease in delta frequency power.\n187\n These sex‐specific effects of CRH signaling in the LC are important to consider when assessing sex differences in the behavioral response to stress. In the cortex, CRH1‐Gs signaling is also enhanced in females, and this effect is linked to greater activation of AD pathways (Aβ and tau processing) and more cortical Aβ accumulation in CRH‐overexpressing female mice compared to CRH‐overexpressing male mice.\n188\n Last, conditionally overexpressing forebrain CRH in adult male and female mice redistributes Aβ peptides in somatodendritic processes in the LC. However, only females exhibit increased colocalization of Aβ42 in LC axon terminals in the PFC and display more pronounced blood–brain barrier disruption.\n189\n Thus, while the sex differences in LC–CRH interactions may lead to adaptations that support resilience in acute stress contexts, chronic CRH overactivation could predispose the female LC to metabolic overload, degeneration, Aβ accumulation, and tau pathology.\n\n\n### Mixed human evidence of sex differences in LC–NE structure and function\nWhile animal models provide crucial mechanistic insights into sex‐specific LC vulnerability, human post mortem and neuroimaging studies offer the opportunity to validate and translate these preclinical findings across the lifespan and disease stages. However, compared to preclinical investigations, human work on the LC–NE system rarely explores sex differences because of the limited number of cases examined\n190\n, \n191\n, \n192\n, \n193\n, \n194\n, \n195\n, \n196\n, \n197\n, \n198\n, \n199\n or the exclusive use of women\n200\n or men.\n201\n, \n202\n, \n203\n The findings from those that do explore sex differences do not always align with results reported in rodents. Some studies report no sex differences in LC neuronal number, nucleolar volume, or melanin content across the lifespan,\n204\n, \n205\n while others observed more LC neurons and delayed cell loss in women.\n205\n, \n206\n Recent large‐scale autopsy studies in aging, AD, and other neurodegenerative disorders have also rarely examined sex differences in LC integrity.\n1\n, \n5\n, \n6\n, \n10\n, \n137\n, \n138\n, \n207\n, \n208\n, \n209\n, \n210\n, \n211\n, \n212\n, \n213\n, \n214\n, \n215\n, \n216\n, \n217\n, \n218\n, \n219\n Among those that considered the effect of sex, findings varied: while some found no differences in LC volume,\n165\n neuronal number,\n162\n, \n163\n, \n165\n, \n220\n, \n221\n, \n222\n, \n223\n or hyperphosphorylated tau–positive LC neurons,\n11\n, \n162\n, \n220\n, \n222\n, \n223\n others have found greater LC hypopigmentation, a proxy for neurodegeneration, in men.\n224\n, \n225\nTechnical advances in imaging the LC with magnetic resonance imaging (MRI) have improved our ability to visualize the LC in vivo in humans, enabling reliable visualization and segmentation of this brainstem nucleus with high precision.\n222\n, \n226\n, \n227\n, \n228\n, \n229\n, \n230\n, \n231\n These methodological breakthroughs have facilitated a growing body of research demonstrating the central role of LC structure and function in pathological manifestations of AD in humans, including early tau burden, cognitive decline, and clinical progression.\n232\n, \n233\n, \n234\n, \n235\n, \n236\n Consequently, MRI‐derived LC integrity has emerged as a critical early biomarker for AD‐related neurodegenerative processes, showing promise for detecting at‐risk individuals.\nMost in vivo MRI studies investigating sex differences in LC macrostructural integrity report no differences between men and women. These studies have used a combination of young and old adults,\n226\n, \n237\n older adults only,\n238\n, \n239\n cognitively normal individuals assessed across the lifespan,\n227\n, \n240\n, \n241\n cognitively impaired older adults,\n222\n and individuals with autosomal dominant AD.\n166\n However, in an ethnically and socioeconomically diverse lifespan sample, some studies reported higher LC MRI signal intensity in women compared to men\n242\n in both healthy young and old individuals,\n243\n, \n244\n, \n245\n, \n246\n and MCI patients\n245\n who progressed to AD.\n246\n There was one exception reporting lower LC intensity in women compared to men.\n247\n Finally, three studies reported mixed findings on sex differences in LC microstructural integrity derived from diffusion‐weighted imaging and quantitative multiparametric mapping, showing either no differences in lifespan and older cohorts\n248\n, \n249\n or preserved LC microstructural integrity in men compared to women across young and older adults.\n250\nRegarding LC function in humans, limited evidence suggests that healthy young and middle‐aged women exhibit lower functional connectivity between the LC and the hippocampus, parahippocampus, and middle temporal gyrus.\n251\n One study reported older women with elevated levels of frontal Aβ burden show higher functional connectivity with somatosensory regions, suggesting women mount compensatory mechanisms to maintain optimal salience detection despite increased pathology.\n252\n A well‐known role of the LC is in emotional processing\n142\n and a meta‐analysis of 56 functional MRI studies using various emotional stimuli revealed higher activations in several brain regions in women, including the amygdala and hippocampus, and most notably in the LC.\n253\n However, when specifically examining LC function during an emotional memory task, one recent study found no sex differences in LC activation in response to emotional salience, task‐related salience, and memory performance\n254\n; we interpret this with caution because the emotional stimuli used might not have been sufficiently intense to elicit sex differences in LC response. In addition, functional connectivity at rest between the left LC and the executive control network was higher in women than men, primarily driven by premenopausal women.\n255\n Moreover, LC fluorodeoxyglucose positron emission tomography (PET) signals were higher in women compared to men for both cognitively healthy and impaired individuals,\n256\n which suggests that greater LC metabolism may provide increased resilience against the effect of AD‐related processes.\n257\n\n\n### Future directions\nAlthough animal models have established robust sex differences in LC structure and function, evidence for sex‐specific vulnerability to AD pathology remains incomplete, and inconsistent with human studies. Systematic investigation of these differences in both animals and humans remains crucial to advance the field.\nAnimal studies have shown that sex can modulate LC vulnerability in AD through several mechanisms. Specifically, females exhibit higher inflammatory responses after loss of adrenergic signaling, enhanced CRH1‐Gs protein coupling that leads to prolonged stress responses, and greater blood–brain barrier disruption, all of which could influence tau pathology initiation and clearance.\n149\n, \n179\n, \n188\n, \n189\n Regarding Aβ pathology, lesion and chemogenetic silencing studies have indicated that LC impairment can exacerbate Aβ deposition and associated neuroinflammation,\n160\n, \n168\n but the underlying mechanisms and whether they vary between sexes remain unclear and require targeted experimental investigation.\nA major limitation across clinical as well as animal model studies is the lack of information about sex hormone–related factors in female participants (e.g., hormone levels, menstrual/estrous cycle phases, contraceptive use, menopausal/reproductive senescence status, history of gynecological surgery, or hormone replacement therapy), despite evidence that sex hormones (especially estradiol) modulate LC structure and function.\n149\n, \n226\n, \n258\n In addition, most human studies have examined specific age ranges or have pooled diverse age groups without isolating the critical menopausal transition at which the risk of health problems rise in women\n259\n including higher tau deposition.\n260\n Finally, several studies have pooled cognitively normal and impaired participants together, limiting our understanding of sex‐specific patterns of LC changes across disease stages.\nThe vulnerability of the LC to declining estradiol combined with early tau accumulation might represent a key pathway explaining the well‐documented higher risk for women to develop AD, especially during menopausal transition and early life ovarian removal.\n57\n, \n261\n, \n262\n, \n263\n, \n264\n, \n265\n, \n266\n, \n267\n, \n268\n However, critical gaps remain in our understanding of sex‐specific molecular and cellular mechanisms underlying such LC vulnerability to tau and Aβ pathogenesis, including sex differences in neuroimmune, neuroendocrine, and neurovascular regulation. Understanding how hormonal changes influence LC vulnerability during the lifespan, and how this association is modified by AD pathology, genetic risk factors and other environmental factors such as stress, especially during prodromal phases of the disease, could inform sex‐specific prevention strategies and optimal windows for intervention.\n\n\n### SEROTONIN\nA common feature of early‐stage AD is the loss of 5‐HT neurons and the development of tau pathology in the dorsal raphe nucleus (DRN), suggesting a relative susceptibility of these neurons to the detrimental effects of protein aggregation.\n12\n, \n13\n The DRN is the largest of the 5‐HT–producing nuclei, but also contains GABAergic, glutamatergic, dopaminergic, and other peptidergic subtypes.\n269\n Dysfunction of 5‐HT circuitry results in disruptions to sleep architecture and mood, particularly manifesting as depression.\n270\n, \n271\n Given that both depression and AD are more prevalent in women than in men,\n272\n, \n273\n, \n274\n and that depression is both a risk factor for and a symptom of AD,\n275\n, \n276\n, \n277\n, \n278\n 5‐HT dysfunction may contribute to sex‐dependent vulnerabilities underlying AD pathology and progression.\n5‐HT, one of the brain's most abundant monoamine neurotransmitters, is released in nearly all brain regions.\n279\n In humans, PET imaging has shown higher 5‐HT synthesis rates in men\n280\n and women,\n281\n while cerebrospinal fluid studies indicate greater 5‐HT metabolism in women.\n282\n Meanwhile, female rodents tend to exhibit faster rates of 5‐HT synthesis and turnover,\n283\n particularly after 5‐HT depletion challenge.\n284\n, \n285\n These differences may partially be explained by female rodents’ higher expression of tryptophan hydroxylase, the primary rate‐limiting enzyme for 5‐HT production.\n284\n Interestingly, in contrast to 5‐HT synthesis and metabolism, the rate of 5‐HT neuronal firing is ≈ 41% higher in male than female rats, possibly reflecting a compensatory biological adaptation.\n286\nSex hormones exert strong regulatory effects on 5‐HT signaling in the DRN. Both ERα and ERβ are expressed in DRN cells,\n287\n, \n288\n with ≈ 70% to 80% of receptor‐expressing cells being serotonergic.\n288\n ERβ in DRN cells contributes to the regulation of estrous in rodents,\n289\n and is expressed in a subset of DRN 5‐HT neurons projecting to the medial optic area in rodents, as well as in serotonin transporter (SERT)‐expressing DRN neurons in non‐human primates.\n290\n, \n291\n Within these neurons, ERβ directly regulates transcription of the tryptophan hydroxylase gene via an estrogen response element present in the gene's promoter region.\n292\n, \n293\n In female mice containing the ERβ null mutation, 5‐HT levels are significantly lower in postsynaptic brain regions compared to wild types.\n294\n Genetic ablation of ERβ specifically in the DRN induces anxiety‐like behaviors in female mice, but not in males.\n295\n Estrogens also modulate the expression of the enzymes responsible for 5‐HT degradation, including monoamine oxidase A in the brain and monoamine oxidase B in the periphery, in female rats.\n296\n In addition to these effects, estrogen signaling suppresses binge‐like eating through ERα‐dependent activation of 5‐HT neurons in female mice,\n297\n and modulates binge‐like alcohol drinking through ERα and ERβ‐dependent mechanisms in both sexes.\n288\n Androgen receptors, in contrast, are mainly expressed in the male DRN, and are primarily observed in non‐serotonergic neurons.\n298\n Moreover, neonatal gonadectomy in males increases 5‐HT release and reuptake in the hypothalamus,\n299\n suggesting that early‐life masculinization contributes to sex‐dependent differences in 5‐HT signaling.\nSex differences in 5‐HT receptor (5‐HTR) expression vary across brain regions and physiological state. PET imaging showed reduced 5‐HT2AR binding in the frontal, parietal, temporal, and cingulate cortices of women compared to men.\n300\n In rodents, females also have region‐specific differences in 5‐HT2AR mRNA levels compared to males; however, these transcriptional changes do not correspond to differences in 5‐HT2AR binding in these areas.\n301\n 5‐HT1AR expression is greater in the hypothalamus and amygdala of male and in the hippocampus of female rodents; yet no sex difference in 5‐HT1AR binding has been detected in these areas.\n301\n These findings are supported by the differential responses of male and female rodents to repeated restraint stress, with increased expression of 5‐HT1AR in the DRN of males and in the hippocampus of females.\n302\n, \n303\nSex differences in 5‐HT function, via 5‐HTRs and SERT, appear to be strongly influenced by sex hormones. Although estrogens have not yet been shown to interact with every 5‐HTR subtype, experimental manipulations of estradiol levels in rodents affect 5‐HT2AR\n304\n, \n305\n and 5‐HT1R.\n306\n Estradiol administration increases 5‐HT2AR density in the cerebral cortex and nucleus accumbens of female rats,\n305\n and in the PFC of postmenopausal women.\n307\n However, the effect of estradiol on postsynaptic 5‐HTRs appear to be cyclical, with reduced 5‐HT1R and 5‐HT2R expression during proestrus when estradiol levels are high, and increased expression during periods of low circulating estradiol.\n306\n In parallel, 5‐HT binding to brain tissue is lower during proestrus and higher during estrous, again implying a cyclical nature to the expression of 5‐HTRs.\n308\n On the other hand, ovariectomy of rodents decreases overall expression of 5‐HT1Rs,\n306\n 5‐HT2ARs,\n305\n, \n309\n and causes SERT dysfunction\n310\n which can be rescued by supplementation with exogenous estradiol.\n311\n Together, these findings indicate that sex hormones profoundly influence serotonergic function by modulating 5‐HT synthesis, degradation, and release; 5‐HTR expression patterns; and developmental dynamics in neurotransmission, thereby contributing to sex‐dependent differences in 5‐HT signaling.\nThe most widely used antidepressants, selective serotonin reuptake inhibitors (SSRIs), bind to SERT leading to reduced 5‐HT reuptake and increased 5‐HT concentration in the presynaptic terminals of 5‐HT neurons. The role of SSRIs in AD treatment has long been debated due to the relation among SERT, depression, and AD. Expression of SERT in cortical and limbic areas is reduced in patients with MCI\n312\n and AD,\n313\n, \n314\n and this loss is more pronounced in AD patients with depression.\n315\n Importantly, SERT itself is subject to hormonal regulation, where estradiol can interact with SERT to modulate 5‐HT signaling. For example, ovariectomy in female rodents\n310\n, \n311\n and macaques\n316\n reduces SERT expression. These findings point to a close interaction between serotonergic regulation and sex hormones, which may help explain the observations that women are more likely than men to develop depression during early‐ and mid‐life,\n272\n, \n273\n and are twice as likely to develop AD.\n274\n On the other hand, depression serves as a risk factor for AD.\n317\n Moreover, mid‐ and late‐life depression may be secondary to early AD pathology, as AD‐associated depression correlates with tau and Aβ biomarkers,\n276\n, \n277\n and individuals with high genetic AD risk experience more depression in mid‐life.\n278\n Therefore, enhancing 5‐HT transmission with SSRIs may represent a potential therapeutic approach in AD.\nExperimental evidence shows SSRI treatment can reduce Aβ levels in rodents\n318\n and in healthy older adults.\n319\n SSRIs additionally reduced AD‐like pathology and improved cognitive function in AD mouse models (for review, see Mdawar et al.\n320\n). With respect to cognition, SSRI use has been linked to both positive and negative cognitive outcomes in AD patients.\n321\n, \n322\n, \n323\n, \n324\n Escitalopram, a common SSRI, is associated with a higher risk of developing dementia,\n322\n and faster cognitive decline in individuals with dementia.\n325\n Conversely, fluoxetine has been reported to enhance cognitive performance in AD patients.\n326\n Both escitalopram and fluoxetine show high selectivity for SERT over other reuptake transporters, and both induce long‐term downregulation of pre‐synaptic 5‐HT1ARs. However, fluoxetine additionally inhibits 5‐HT2CR and 5‐HT3Rs,\n327\n, \n328\n and exerts uncharacterized effects on 5‐HT2AR,\n329\n suggesting that differential mechanisms could contribute to the efficacy of these medications. While more studies are needed to determine whether sex influences SSRI efficacy in AD, evidence that SSRIs are less effective in postmenopausal women and that estrogen therapy enhances SSRI response suggests that hormonal status may be a critical determinant of treatment efficacy.\nThe decline in estradiol after menopause accelerates AD progression in women,\n330\n providing further evidence that female sex increases vulnerability to AD in advanced age. During normal aging, ER density increases in women and is negatively associated with mood and cognitive performance.\n331\n In women with AD, loss of ERβ in the frontal cortex is more severe than in age‐matched controls, with much of this reduction localized to mitochondria.\n332\n Reduced ERβ in the DRN has been linked to decreased 5‐HT synthesis,\n293\n and ERβ loss impairs mitochondrial polarization,\n332\n which is essential for both 5‐HT homeostasis and because 5‐HT itself supports mitochondrial function.\n333\n, \n334\n Therefore, exacerbated reductions in ERβ may be particularly detrimental, depleting 5‐HT as well as promoting neurodegeneration. Neuroimaging evidence further supports these associations: PET and MRI studies show that estrogen loss correlates with white matter degradation across several brain regions and a 30% greater burden of Aβ plaques compared to age‐matched men.\n335\n Notably, exogenous administration of estradiol restores ERβ expression in the hippocampus of aging rodents,\n336\n suggesting that estradiol therapy may help preserve serotonergic integrity and mitigate cognitive and affective decline in AD.\nAlthough the DRN has received comparatively less attention in AD research, growing evidence highlights its vulnerability to early tau pathology. Mouse models have additionally provided critical insight into how DRN dysfunction contributes to AD‐like prodromal symptoms. In mice expressing wild‐type htau, hyperphosphorylated tau appears in the DRN as early as 4 months of age, accompanied by reduced 5‐HT neuron density, decreased neuronal excitability, increased inflammation, and diminished serotonergic innervation of the entorhinal cortex and hippocampus.\n178\n These changes coincide with the emergence of depressive‐like behaviors, preceding cognitive decline and underscoring the link between early 5‐HT dysfunction and prodromal symptoms in AD.\n178\n In DRN‐targeted hyperphosphorylation‐prone htau expressing mice,\n337\n social interaction deficits were observed in both sexes, while reward‐related behaviors were disrupted only in males, again at early time points and in the absence of cognitive impairment. A more selective DRN 5‐HT neuron‐targeted hyperphosphorylation‐prone htau mouse model revealed anxiety‐like behaviors and altered stress coping in both sexes, while social disinhibition and spatial working memory deficits were restricted to females.\n338\n Notably, only females exhibited impairments in 5‐HT neuron excitability at an early stage of pathology. Together, these findings demonstrate that DRN tau pathology contributes to the early emergence of AD‐like behavioral symptoms and suggest that women may be particularly vulnerable to 5‐HT dysfunction during prodromal stages.\nIn several widely used AD mouse models, DRN 5‐HT neuron projections in postsynaptic regions were reported to be disrupted at relatively early ages. In 2‐month‐old 5xFAD mice, DRN 5‐HT positive projections were significantly reduced in the dorsal CA1 of the hippocampus, medial septum and lateral hypothalamus, accompanied by decreased Tph2 expression and lower 5‐HT levels compared to wild‐type mice.\n339\n Remarkably, optogenetic activation of DRN 5‐HT projections in the dorsal CA1 was sufficient to reverse depressive‐like behaviors and cognitive impairments. Similarly, in hAPP‐J20 mice overexpressing human amyloid precursor protein with familial AD mutations, 5‐HT fiber density and 5‐HT1AR and 5‐HT3AR expression were diminished in the CA1 region.\n340\n In this model, chemogenetic activation of median raphe 5‐HT neurons, which densely project to the CA1, restored circuit excitability and improved cognitive function independently of Aβ pathology. While these studies provide compelling evidence that 5‐HT dysfunction contributes to early behavioral and cognitive phenotypes through CA1 projections, they did not consider sex as a biological variable, highlighting an important direction for future studies.\nDespite substantial evidence linking serotonergic dysfunction to AD progression and sex‐specific risk, the underlying mechanisms remain unclear. Recent studies using DRN‐targeted mouse pathology models have started to reveal early vulnerability and sex‐specific effects,\n178\n, \n337\n, \n338\n establishing a valuable platform to investigate how 5‐HT dysfunction contributes to AD progression. Hormone manipulations and sex chromosome analyses will be crucial for identifying the biological substrates of sex‐specific susceptibility to AD in both mouse models and humans. A critical direction is to establish whether hormonal windows of vulnerability act though serotonergic pathways to influence risk factors such as depression and to what extent this accelerates AD progression. Given the early implication of 5‐HT in AD, and the substantial basal sex differences in the serotonergic system, future work should use both preclinical and clinical approaches to define the sex‐dependent therapeutic potential of SSRIs. Clinical trials should stratify participants by sex, menopausal status, and genotype to determine whether any type of estrogen supplementation modifies SSRI effects on serotonergic signaling and cognition during peri and postmenopausal periods. Clarifying the interaction among sex steroids, 5‐HT function, and AD risk will be essential for developing treatment strategies, especially for women who face disproportionately higher AD risk.\n341\n\n\n### Baseline sex differences in 5‐HT dynamics and function\n5‐HT, one of the brain's most abundant monoamine neurotransmitters, is released in nearly all brain regions.\n279\n In humans, PET imaging has shown higher 5‐HT synthesis rates in men\n280\n and women,\n281\n while cerebrospinal fluid studies indicate greater 5‐HT metabolism in women.\n282\n Meanwhile, female rodents tend to exhibit faster rates of 5‐HT synthesis and turnover,\n283\n particularly after 5‐HT depletion challenge.\n284\n, \n285\n These differences may partially be explained by female rodents’ higher expression of tryptophan hydroxylase, the primary rate‐limiting enzyme for 5‐HT production.\n284\n Interestingly, in contrast to 5‐HT synthesis and metabolism, the rate of 5‐HT neuronal firing is ≈ 41% higher in male than female rats, possibly reflecting a compensatory biological adaptation.\n286\nSex hormones exert strong regulatory effects on 5‐HT signaling in the DRN. Both ERα and ERβ are expressed in DRN cells,\n287\n, \n288\n with ≈ 70% to 80% of receptor‐expressing cells being serotonergic.\n288\n ERβ in DRN cells contributes to the regulation of estrous in rodents,\n289\n and is expressed in a subset of DRN 5‐HT neurons projecting to the medial optic area in rodents, as well as in serotonin transporter (SERT)‐expressing DRN neurons in non‐human primates.\n290\n, \n291\n Within these neurons, ERβ directly regulates transcription of the tryptophan hydroxylase gene via an estrogen response element present in the gene's promoter region.\n292\n, \n293\n In female mice containing the ERβ null mutation, 5‐HT levels are significantly lower in postsynaptic brain regions compared to wild types.\n294\n Genetic ablation of ERβ specifically in the DRN induces anxiety‐like behaviors in female mice, but not in males.\n295\n Estrogens also modulate the expression of the enzymes responsible for 5‐HT degradation, including monoamine oxidase A in the brain and monoamine oxidase B in the periphery, in female rats.\n296\n In addition to these effects, estrogen signaling suppresses binge‐like eating through ERα‐dependent activation of 5‐HT neurons in female mice,\n297\n and modulates binge‐like alcohol drinking through ERα and ERβ‐dependent mechanisms in both sexes.\n288\n Androgen receptors, in contrast, are mainly expressed in the male DRN, and are primarily observed in non‐serotonergic neurons.\n298\n Moreover, neonatal gonadectomy in males increases 5‐HT release and reuptake in the hypothalamus,\n299\n suggesting that early‐life masculinization contributes to sex‐dependent differences in 5‐HT signaling.\n\n\n### Sex differences in 5‐HT receptor expression and hormonal regulation\nSex differences in 5‐HT receptor (5‐HTR) expression vary across brain regions and physiological state. PET imaging showed reduced 5‐HT2AR binding in the frontal, parietal, temporal, and cingulate cortices of women compared to men.\n300\n In rodents, females also have region‐specific differences in 5‐HT2AR mRNA levels compared to males; however, these transcriptional changes do not correspond to differences in 5‐HT2AR binding in these areas.\n301\n 5‐HT1AR expression is greater in the hypothalamus and amygdala of male and in the hippocampus of female rodents; yet no sex difference in 5‐HT1AR binding has been detected in these areas.\n301\n These findings are supported by the differential responses of male and female rodents to repeated restraint stress, with increased expression of 5‐HT1AR in the DRN of males and in the hippocampus of females.\n302\n, \n303\nSex differences in 5‐HT function, via 5‐HTRs and SERT, appear to be strongly influenced by sex hormones. Although estrogens have not yet been shown to interact with every 5‐HTR subtype, experimental manipulations of estradiol levels in rodents affect 5‐HT2AR\n304\n, \n305\n and 5‐HT1R.\n306\n Estradiol administration increases 5‐HT2AR density in the cerebral cortex and nucleus accumbens of female rats,\n305\n and in the PFC of postmenopausal women.\n307\n However, the effect of estradiol on postsynaptic 5‐HTRs appear to be cyclical, with reduced 5‐HT1R and 5‐HT2R expression during proestrus when estradiol levels are high, and increased expression during periods of low circulating estradiol.\n306\n In parallel, 5‐HT binding to brain tissue is lower during proestrus and higher during estrous, again implying a cyclical nature to the expression of 5‐HTRs.\n308\n On the other hand, ovariectomy of rodents decreases overall expression of 5‐HT1Rs,\n306\n 5‐HT2ARs,\n305\n, \n309\n and causes SERT dysfunction\n310\n which can be rescued by supplementation with exogenous estradiol.\n311\n Together, these findings indicate that sex hormones profoundly influence serotonergic function by modulating 5‐HT synthesis, degradation, and release; 5‐HTR expression patterns; and developmental dynamics in neurotransmission, thereby contributing to sex‐dependent differences in 5‐HT signaling.\n\n\n### Selective serotonin reuptake inhibitors and hormonal modulation in AD\nThe most widely used antidepressants, selective serotonin reuptake inhibitors (SSRIs), bind to SERT leading to reduced 5‐HT reuptake and increased 5‐HT concentration in the presynaptic terminals of 5‐HT neurons. The role of SSRIs in AD treatment has long been debated due to the relation among SERT, depression, and AD. Expression of SERT in cortical and limbic areas is reduced in patients with MCI\n312\n and AD,\n313\n, \n314\n and this loss is more pronounced in AD patients with depression.\n315\n Importantly, SERT itself is subject to hormonal regulation, where estradiol can interact with SERT to modulate 5‐HT signaling. For example, ovariectomy in female rodents\n310\n, \n311\n and macaques\n316\n reduces SERT expression. These findings point to a close interaction between serotonergic regulation and sex hormones, which may help explain the observations that women are more likely than men to develop depression during early‐ and mid‐life,\n272\n, \n273\n and are twice as likely to develop AD.\n274\n On the other hand, depression serves as a risk factor for AD.\n317\n Moreover, mid‐ and late‐life depression may be secondary to early AD pathology, as AD‐associated depression correlates with tau and Aβ biomarkers,\n276\n, \n277\n and individuals with high genetic AD risk experience more depression in mid‐life.\n278\n Therefore, enhancing 5‐HT transmission with SSRIs may represent a potential therapeutic approach in AD.\nExperimental evidence shows SSRI treatment can reduce Aβ levels in rodents\n318\n and in healthy older adults.\n319\n SSRIs additionally reduced AD‐like pathology and improved cognitive function in AD mouse models (for review, see Mdawar et al.\n320\n). With respect to cognition, SSRI use has been linked to both positive and negative cognitive outcomes in AD patients.\n321\n, \n322\n, \n323\n, \n324\n Escitalopram, a common SSRI, is associated with a higher risk of developing dementia,\n322\n and faster cognitive decline in individuals with dementia.\n325\n Conversely, fluoxetine has been reported to enhance cognitive performance in AD patients.\n326\n Both escitalopram and fluoxetine show high selectivity for SERT over other reuptake transporters, and both induce long‐term downregulation of pre‐synaptic 5‐HT1ARs. However, fluoxetine additionally inhibits 5‐HT2CR and 5‐HT3Rs,\n327\n, \n328\n and exerts uncharacterized effects on 5‐HT2AR,\n329\n suggesting that differential mechanisms could contribute to the efficacy of these medications. While more studies are needed to determine whether sex influences SSRI efficacy in AD, evidence that SSRIs are less effective in postmenopausal women and that estrogen therapy enhances SSRI response suggests that hormonal status may be a critical determinant of treatment efficacy.\nThe decline in estradiol after menopause accelerates AD progression in women,\n330\n providing further evidence that female sex increases vulnerability to AD in advanced age. During normal aging, ER density increases in women and is negatively associated with mood and cognitive performance.\n331\n In women with AD, loss of ERβ in the frontal cortex is more severe than in age‐matched controls, with much of this reduction localized to mitochondria.\n332\n Reduced ERβ in the DRN has been linked to decreased 5‐HT synthesis,\n293\n and ERβ loss impairs mitochondrial polarization,\n332\n which is essential for both 5‐HT homeostasis and because 5‐HT itself supports mitochondrial function.\n333\n, \n334\n Therefore, exacerbated reductions in ERβ may be particularly detrimental, depleting 5‐HT as well as promoting neurodegeneration. Neuroimaging evidence further supports these associations: PET and MRI studies show that estrogen loss correlates with white matter degradation across several brain regions and a 30% greater burden of Aβ plaques compared to age‐matched men.\n335\n Notably, exogenous administration of estradiol restores ERβ expression in the hippocampus of aging rodents,\n336\n suggesting that estradiol therapy may help preserve serotonergic integrity and mitigate cognitive and affective decline in AD.\n\n\n### Sex differences in serotonergic systems in mouse models of AD pathology\nAlthough the DRN has received comparatively less attention in AD research, growing evidence highlights its vulnerability to early tau pathology. Mouse models have additionally provided critical insight into how DRN dysfunction contributes to AD‐like prodromal symptoms. In mice expressing wild‐type htau, hyperphosphorylated tau appears in the DRN as early as 4 months of age, accompanied by reduced 5‐HT neuron density, decreased neuronal excitability, increased inflammation, and diminished serotonergic innervation of the entorhinal cortex and hippocampus.\n178\n These changes coincide with the emergence of depressive‐like behaviors, preceding cognitive decline and underscoring the link between early 5‐HT dysfunction and prodromal symptoms in AD.\n178\n In DRN‐targeted hyperphosphorylation‐prone htau expressing mice,\n337\n social interaction deficits were observed in both sexes, while reward‐related behaviors were disrupted only in males, again at early time points and in the absence of cognitive impairment. A more selective DRN 5‐HT neuron‐targeted hyperphosphorylation‐prone htau mouse model revealed anxiety‐like behaviors and altered stress coping in both sexes, while social disinhibition and spatial working memory deficits were restricted to females.\n338\n Notably, only females exhibited impairments in 5‐HT neuron excitability at an early stage of pathology. Together, these findings demonstrate that DRN tau pathology contributes to the early emergence of AD‐like behavioral symptoms and suggest that women may be particularly vulnerable to 5‐HT dysfunction during prodromal stages.\nIn several widely used AD mouse models, DRN 5‐HT neuron projections in postsynaptic regions were reported to be disrupted at relatively early ages. In 2‐month‐old 5xFAD mice, DRN 5‐HT positive projections were significantly reduced in the dorsal CA1 of the hippocampus, medial septum and lateral hypothalamus, accompanied by decreased Tph2 expression and lower 5‐HT levels compared to wild‐type mice.\n339\n Remarkably, optogenetic activation of DRN 5‐HT projections in the dorsal CA1 was sufficient to reverse depressive‐like behaviors and cognitive impairments. Similarly, in hAPP‐J20 mice overexpressing human amyloid precursor protein with familial AD mutations, 5‐HT fiber density and 5‐HT1AR and 5‐HT3AR expression were diminished in the CA1 region.\n340\n In this model, chemogenetic activation of median raphe 5‐HT neurons, which densely project to the CA1, restored circuit excitability and improved cognitive function independently of Aβ pathology. While these studies provide compelling evidence that 5‐HT dysfunction contributes to early behavioral and cognitive phenotypes through CA1 projections, they did not consider sex as a biological variable, highlighting an important direction for future studies.\n\n\n### Future directions\nDespite substantial evidence linking serotonergic dysfunction to AD progression and sex‐specific risk, the underlying mechanisms remain unclear. Recent studies using DRN‐targeted mouse pathology models have started to reveal early vulnerability and sex‐specific effects,\n178\n, \n337\n, \n338\n establishing a valuable platform to investigate how 5‐HT dysfunction contributes to AD progression. Hormone manipulations and sex chromosome analyses will be crucial for identifying the biological substrates of sex‐specific susceptibility to AD in both mouse models and humans. A critical direction is to establish whether hormonal windows of vulnerability act though serotonergic pathways to influence risk factors such as depression and to what extent this accelerates AD progression. Given the early implication of 5‐HT in AD, and the substantial basal sex differences in the serotonergic system, future work should use both preclinical and clinical approaches to define the sex‐dependent therapeutic potential of SSRIs. Clinical trials should stratify participants by sex, menopausal status, and genotype to determine whether any type of estrogen supplementation modifies SSRI effects on serotonergic signaling and cognition during peri and postmenopausal periods. Clarifying the interaction among sex steroids, 5‐HT function, and AD risk will be essential for developing treatment strategies, especially for women who face disproportionately higher AD risk.\n341\n\n\n### CORTICOTROPIN RELEASING HORMONE\nOne common biological mechanism conferring susceptibility to neuropsychiatric symptoms, which puts individuals at a higher risk of developing AD, is stress.\n342\n, \n343\n, \n344\n CRH is one of many neuropeptides that mediate the autonomic, behavioral, endocrine, and immune responses to stress via binding at two G protein‐coupled receptors, CRH1 and CRH2.\n345\n, \n346\n, \n347\n, \n348\n CRH1 regulates cortisol (corticosterone in rodents) output from the hypothalamic‐pituitary‐adrenal axis, which is pronounced in anxiety, depressive disorders,\n349\n, \n350\n, \n351\n, \n352\n and AD.\n353\n, \n354\n, \n355\n Specifically, AD patients exhibit several stress system abnormalities including elevated levels of cortisol,\n356\n, \n357\n, \n358\n reduced CRH‐positive cells, and upregulated CRH1 expression in the cortex.\n359\n, \n360\n, \n361\n These increases in cortisol often occur at the MCI stage before AD pathophysiology becomes severe\n353\n, \n358\n, \n362\n, \n363\n and are associated with faster rates of cognitive decline.\n353\n, \n362\n Like humans, evidence from transgenic models suggests that increased corticosterone levels often precede Aβ plaque formation.\n364\n, \n365\n, \n366\n Later stages of AD, characterized by worsening memory and cognitive impairments, involve CRH1‐dependent Aβ‐\n366\n, \n367\n, \n368\n, \n369\n, \n370\n, \n371\n and hyperphosphorylated tau‐induced\n372\n, \n373\n, \n374\n hippocampal dysfunction. For instance, chronic stress or intra‐hippocampal CRH infusions increase levels of hippocampal Aβ and hyperphosphorylated tau, effects that are blocked by CRH1 antagonists.\n370\n, \n373\n, \n374\n AD mice heterozygous or null for CRH1 have reduced hippocampal Aβ levels,\n375\n while mice overexpressing CRH have elevated hyperphosphorylated tau\n188\n, \n376\n and Aβ plaques.\n188\n, \n369\n Furthermore, AD mice exhibit higher levels of CRH within stress circuitry and an anxiogenic phenotype, which are eliminated in AD mice heterozygous for CRH1.\n364\n Collectively, these data highlight a critical role for CRH1 in modulating both early‐ and late‐stage AD clinical pathology and underscore the need for future research examining sex differences in the role of central CRH1 systems in driving AD pathology across various stages of the disease.\n377\nHuman\n378\n and rodent\n379\n, \n380\n, \n381\n, \n382\n adult females generally exhibit higher baseline hypothalamic CRH levels compared to males, which is associated with elevated levels of corticosterone and heightened anxiety in female rodents.\n383\n, \n384\n, \n385\n, \n386\n, \n387\n, \n388\n These sex differences in hypothalamic CRH expression appear to be age dependent. For example, at 6 months, male mice have elevated hypothalamic CRH levels compared to females, whereas at 18 months females exhibit a trend toward higher levels.\n389\n Additionally, in female mice, a significant increase in hypothalamic CRH levels occurs during aging, which is absent in males.\n389\n Although studies examining sex differences in baseline cortisol levels in humans are mixed,\n390\n there are reports of baseline cortisol levels increasing as women transition through puberty, while at the same time, levels decrease in men.\n391\n Interestingly, one study reported no differences in baseline cortisol levels in younger adults (22–36 years), but in older adults (67–88 years), women exhibited higher cortisol levels. This finding suggests that increased hypothalamic‐pituitary‐adrenal axis output during aging could be one mechanism underlying the heightened risk for AD in women.\n392\nIn response to stress, female rats exhibit higher levels of CRH in the paraventricular nucleus of the hypothalamus compared to males,\n380\n, \n393\n although this sex effect is stressor\n393\n and age\n389\n dependent. Compared to men, intravenous CRH administration increases adrenocorticotropic hormone and cortisol levels in both adult and adolescent women, respectively.\n391\n, \n394\n Last, a meta‐analysis examining challenge‐induced cortisol release in humans found that older subjects (69 ± 6 years) exhibited a larger cortisol response than younger subjects (28 ± 5 years), an effect that was significantly larger in women than men.\n395\n To clarify the discrepancies in baseline sex differences for cortisol in humans, future studies need to control for the role of sex hormones in regulating hypothalamic‐pituitary‐adrenal axis output, the age of the participants, and the potential influence of circadian patterns on cortisol release.\n390\n, \n396\nStudies examining baseline sex differences in CRH1 expression indicate unique distribution patterns in hypothalamic nuclei between males and females. There is a trend for sex differences in total hypothalamic CRH1 expression across the lifespan in mice, with females showing an increase compared to males when collapsed across age.\n389\n Interestingly, 18‐month‐old males and females exhibit increased hypothalamic CRH1 levels compared to 1‐month‐old animals of the same sex, suggesting increases in hypothalamic CRH1 may be associated with increased probability of AD progression during aging regardless of sex. Intriguingly, in a series of studies using a CRH1 reporter mouse line,\n397\n two discrete hypothalamic nuclei displayed sex‐specific patterns of CRH1‐expressing cell clusters; in females, higher baseline CRH1 levels were found within the anteroventral periventricular nucleus and in males higher CRH1 levels were found in the paraventricular nucleus of the hypothalamus.\n398\n, \n399\n These CRH1 cell groups showed sex differences in cellular activation after acute restraint stress, with an increase in CRH1 activity in the anteroventral periventricular nucleus in females and an increase in CRH1 activity in the paraventricular nucleus of the hypothalamus in males. These effects also occur after 9 days of chronic variable stress.\n400\n Interestingly, postpartum female mice have elevated CRH1 levels in the anteroventral periventricular nucleus compared to nulliparous females, as well as an increase in restraint stress‐activated anteroventral periventricular nucleus CRH1 neurons.\n401\n It would be interesting to know if these sex differences in CRH1 expression change across the lifespan, as previous reports examining the entire hypothalamus indicate age‐dependent effects with females exhibiting higher CRH1 levels compared to males at 12, but not 1, 6, or 18 months of age.\n389\n In summary, these data suggest that differences in hypothalamic subnuclei CRH1 distribution may contribute to sex differences in various stress‐related disease states including AD.\nAlthough many studies report an impact of corticosterone on pathology and behavioral outcomes in AD in males and females,\n402\n, \n403\n, \n404\n recent research indicates that sex differences also play an important role. Specifically, rodent AD models show that females demonstrate greater sensitivity to stress manipulations, including heightened anxiety,\n405\n whereas results from memory tests are mixed.\n405\n, \n406\n, \n407\n In addition to behavioral outcomes, studies report sex‐dependent changes in AD pathology after stress, with female mice exhibiting greater Aβ, tau, and inflammation.\n405\n, \n408\n Cortical phosphoproteomic responses to chronic stress are also largely sex specific.\n405\n However, in humans, men with amnestic MCI were more likely to show deficits in episodic memory after acute psychosocial stress and express higher cortisol levels compared to normal aging men and women.\n409\n In sum, these findings are supportive of a role for sex in determining behavioral and neurobiological outcomes after stress. However, studies are yet to identify specific neural systems mediating these outcomes.\nIn AD, stress also has a sex‐specific impact on CRH systems. Several studies in AD models report that females exhibit a significantly greater corticosterone response to stress, which may ultimately influence the expression of AD‐related pathology.\n405\n, \n407\n, \n410\n Additionally, elevated corticosterone levels are observed in female but not male AD mice in the absence of an explicit stressor.\n411\n This may occur due to lower basal CRH levels in the paraventricular nucleus of the hypothalamus in males.\n402\n, \n411\n In human subjects, elevated cortisol during midlife is associated with the highest Aβ burden in cortical regions 15 years later.\n412\n Critically, this association was significant only in women, particularly those who were postmenopausal. Recently, several studies identified sex differences in CRH1 receptor pathways that may mediate the increased vulnerability in females to AD pathology after stress.\n183\n, \n188\n Administering a CRH1 antagonist prior to stress blocked the subsequent increase in expression of hippocampal Aβ only in female AD mice.\n408\n Administration of inhibitors of protein kinase A or extracellular regulated kinase, which are activated by CRH1, also block the expression of Aβ in the hippocampus, suggesting that a CRH1/protein kinase A/extracellular regulated kinase signaling pathway may mediate female‐specific effects of stress on AD pathology.\n408\n In males, the expression of β‐arrestin is thought to reduce CRH1 signaling and thereby offer protection from the effects of stress on AD pathology.\n183\n Consistent with this hypothesis, β‐arrestin knockout male mice showed elevated Aβ expression in response to stress.\n408\n Taken together, these studies provide important insight into components of CRH signaling pathways that mediate sex‐specific effects of stress on AD pathology.\nCRH systems are implicated in neuropsychiatric symptoms that increase AD risk as well as AD pathology. To further elucidate the role of hypothalamic CRH in AD progression, levels of corticosterone, CRH, and CRH1 expression should be examined in rodent AD models at timepoints prior to disease onset and during the earliest stages of disease. Ideally, these studies will help clarify discrepancies in CRH expression reported between rodent AD models\n402\n and post mortem human brains.\n359\n Additionally, while numerous studies have examined the causal role of hippocampal CRH in regulating AD pathophysiology, a mechanistic understanding of sex differences in CRH1 signaling pathways, neural circuits implicated, and the downstream consequences of such sex differences are understudied and thus, poorly understood. Studies manipulating the hypothalamic CRH systems in AD models are needed to further define the role of CRH in AD progression. Sex differences in hypothalamic nuclei CRH1 distribution likely contribute to sex differences in stress‐related disease states, but studies are needed to determine whether this effect extends to AD models and how this may affect AD progression. Last, future research examining sex differences in CRH–LC signaling in AD models is needed, particularly across the lifespan and reproductive stages, to determine whether this stress system represents causal mechanism of heightened AD risk in women.\n\n\n### Sex differences in CRH levels and interactions with stress\nHuman\n378\n and rodent\n379\n, \n380\n, \n381\n, \n382\n adult females generally exhibit higher baseline hypothalamic CRH levels compared to males, which is associated with elevated levels of corticosterone and heightened anxiety in female rodents.\n383\n, \n384\n, \n385\n, \n386\n, \n387\n, \n388\n These sex differences in hypothalamic CRH expression appear to be age dependent. For example, at 6 months, male mice have elevated hypothalamic CRH levels compared to females, whereas at 18 months females exhibit a trend toward higher levels.\n389\n Additionally, in female mice, a significant increase in hypothalamic CRH levels occurs during aging, which is absent in males.\n389\n Although studies examining sex differences in baseline cortisol levels in humans are mixed,\n390\n there are reports of baseline cortisol levels increasing as women transition through puberty, while at the same time, levels decrease in men.\n391\n Interestingly, one study reported no differences in baseline cortisol levels in younger adults (22–36 years), but in older adults (67–88 years), women exhibited higher cortisol levels. This finding suggests that increased hypothalamic‐pituitary‐adrenal axis output during aging could be one mechanism underlying the heightened risk for AD in women.\n392\nIn response to stress, female rats exhibit higher levels of CRH in the paraventricular nucleus of the hypothalamus compared to males,\n380\n, \n393\n although this sex effect is stressor\n393\n and age\n389\n dependent. Compared to men, intravenous CRH administration increases adrenocorticotropic hormone and cortisol levels in both adult and adolescent women, respectively.\n391\n, \n394\n Last, a meta‐analysis examining challenge‐induced cortisol release in humans found that older subjects (69 ± 6 years) exhibited a larger cortisol response than younger subjects (28 ± 5 years), an effect that was significantly larger in women than men.\n395\n To clarify the discrepancies in baseline sex differences for cortisol in humans, future studies need to control for the role of sex hormones in regulating hypothalamic‐pituitary‐adrenal axis output, the age of the participants, and the potential influence of circadian patterns on cortisol release.\n390\n, \n396\n\n\n### Sex differences in CRH receptors and signaling\nStudies examining baseline sex differences in CRH1 expression indicate unique distribution patterns in hypothalamic nuclei between males and females. There is a trend for sex differences in total hypothalamic CRH1 expression across the lifespan in mice, with females showing an increase compared to males when collapsed across age.\n389\n Interestingly, 18‐month‐old males and females exhibit increased hypothalamic CRH1 levels compared to 1‐month‐old animals of the same sex, suggesting increases in hypothalamic CRH1 may be associated with increased probability of AD progression during aging regardless of sex. Intriguingly, in a series of studies using a CRH1 reporter mouse line,\n397\n two discrete hypothalamic nuclei displayed sex‐specific patterns of CRH1‐expressing cell clusters; in females, higher baseline CRH1 levels were found within the anteroventral periventricular nucleus and in males higher CRH1 levels were found in the paraventricular nucleus of the hypothalamus.\n398\n, \n399\n These CRH1 cell groups showed sex differences in cellular activation after acute restraint stress, with an increase in CRH1 activity in the anteroventral periventricular nucleus in females and an increase in CRH1 activity in the paraventricular nucleus of the hypothalamus in males. These effects also occur after 9 days of chronic variable stress.\n400\n Interestingly, postpartum female mice have elevated CRH1 levels in the anteroventral periventricular nucleus compared to nulliparous females, as well as an increase in restraint stress‐activated anteroventral periventricular nucleus CRH1 neurons.\n401\n It would be interesting to know if these sex differences in CRH1 expression change across the lifespan, as previous reports examining the entire hypothalamus indicate age‐dependent effects with females exhibiting higher CRH1 levels compared to males at 12, but not 1, 6, or 18 months of age.\n389\n In summary, these data suggest that differences in hypothalamic subnuclei CRH1 distribution may contribute to sex differences in various stress‐related disease states including AD.\n\n\n### Sex as a mediator of CRH dysfunction in AD\nAlthough many studies report an impact of corticosterone on pathology and behavioral outcomes in AD in males and females,\n402\n, \n403\n, \n404\n recent research indicates that sex differences also play an important role. Specifically, rodent AD models show that females demonstrate greater sensitivity to stress manipulations, including heightened anxiety,\n405\n whereas results from memory tests are mixed.\n405\n, \n406\n, \n407\n In addition to behavioral outcomes, studies report sex‐dependent changes in AD pathology after stress, with female mice exhibiting greater Aβ, tau, and inflammation.\n405\n, \n408\n Cortical phosphoproteomic responses to chronic stress are also largely sex specific.\n405\n However, in humans, men with amnestic MCI were more likely to show deficits in episodic memory after acute psychosocial stress and express higher cortisol levels compared to normal aging men and women.\n409\n In sum, these findings are supportive of a role for sex in determining behavioral and neurobiological outcomes after stress. However, studies are yet to identify specific neural systems mediating these outcomes.\nIn AD, stress also has a sex‐specific impact on CRH systems. Several studies in AD models report that females exhibit a significantly greater corticosterone response to stress, which may ultimately influence the expression of AD‐related pathology.\n405\n, \n407\n, \n410\n Additionally, elevated corticosterone levels are observed in female but not male AD mice in the absence of an explicit stressor.\n411\n This may occur due to lower basal CRH levels in the paraventricular nucleus of the hypothalamus in males.\n402\n, \n411\n In human subjects, elevated cortisol during midlife is associated with the highest Aβ burden in cortical regions 15 years later.\n412\n Critically, this association was significant only in women, particularly those who were postmenopausal. Recently, several studies identified sex differences in CRH1 receptor pathways that may mediate the increased vulnerability in females to AD pathology after stress.\n183\n, \n188\n Administering a CRH1 antagonist prior to stress blocked the subsequent increase in expression of hippocampal Aβ only in female AD mice.\n408\n Administration of inhibitors of protein kinase A or extracellular regulated kinase, which are activated by CRH1, also block the expression of Aβ in the hippocampus, suggesting that a CRH1/protein kinase A/extracellular regulated kinase signaling pathway may mediate female‐specific effects of stress on AD pathology.\n408\n In males, the expression of β‐arrestin is thought to reduce CRH1 signaling and thereby offer protection from the effects of stress on AD pathology.\n183\n Consistent with this hypothesis, β‐arrestin knockout male mice showed elevated Aβ expression in response to stress.\n408\n Taken together, these studies provide important insight into components of CRH signaling pathways that mediate sex‐specific effects of stress on AD pathology.\n\n\n### Future directions\nCRH systems are implicated in neuropsychiatric symptoms that increase AD risk as well as AD pathology. To further elucidate the role of hypothalamic CRH in AD progression, levels of corticosterone, CRH, and CRH1 expression should be examined in rodent AD models at timepoints prior to disease onset and during the earliest stages of disease. Ideally, these studies will help clarify discrepancies in CRH expression reported between rodent AD models\n402\n and post mortem human brains.\n359\n Additionally, while numerous studies have examined the causal role of hippocampal CRH in regulating AD pathophysiology, a mechanistic understanding of sex differences in CRH1 signaling pathways, neural circuits implicated, and the downstream consequences of such sex differences are understudied and thus, poorly understood. Studies manipulating the hypothalamic CRH systems in AD models are needed to further define the role of CRH in AD progression. Sex differences in hypothalamic nuclei CRH1 distribution likely contribute to sex differences in stress‐related disease states, but studies are needed to determine whether this effect extends to AD models and how this may affect AD progression. Last, future research examining sex differences in CRH–LC signaling in AD models is needed, particularly across the lifespan and reproductive stages, to determine whether this stress system represents causal mechanism of heightened AD risk in women.\n\n\n### OXYTOCIN\nOXT is a small neuropeptide produced in the paraventricular, supraoptic, and accessory nuclei of the mammalian hypothalamus.\n413\n OXT is stored in large dense‐core vesicles located in the soma, dendrites, and along the axon. OXT was initially believed to be released as a hormonal factor from the somatic and dendritic regions and largely had effects in the central nervous system via volume transmission to reach presynaptic neurons at a distance. More recently, axon fibers projecting throughout the brain have been identified which, upon stimulation, can release OXT in target regions.\n414\n Upon release, OXT binds to the G‐protein coupled OXT receptor, which canonically stimulates the Gq pathway. However, it has also been shown to lead to Gi and Go activation.\n415\n OXT neurons project to brain areas implicated in AD pathogenesis, including the hippocampus, cerebral cortex, and amygdala, all of which express OXT receptors to varying degrees.\n413\n, \n416\n While OXT is well known for its peripheral physiological effects (e.g., milk let‐down response and fetal ejection), there is strong evidence highlighting its central effects.\n413\n OXT's role in modulating social behavior is particularly relevant in the context of AD.\n413\n Social withdrawal is an early symptom of AD,\n3\n and social isolation increases the risk and progression of dementia.\n417\nSex differences in the OXT system across species have been recently reviewed elsewhere.\n418\n, \n419\n, \n420\n, \n421\n A host of studies indicate a lack of sex differences in the number of OXT neurons and innervation density.\n422\n, \n423\n, \n424\n, \n425\n, \n426\n, \n427\n, \n428\n, \n429\n, \n430\n, \n431\n, \n432\n, \n433\n When sex differences are present, females tend to show greater numbers of OXT neurons and innervation than males.\n424\n, \n425\n, \n426\n, \n434\n Meanwhile, OXT receptor expression shows largely the opposite pattern, with males displaying higher levels of OXT receptors than females.\n433\n, \n435\n, \n436\n, \n437\n, \n438\n, \n439\n Thus, there is a potential sex distinction in the structure of the OXT system at the level of the cell bodies versus target regions. However, such sex differences, or lack thereof, are highly brain region and species specific.\n418\n, \n419\n, \n422\n, \n423\n, \n424\n, \n425\n, \n426\n, \n427\n, \n428\n, \n429\n, \n430\n, \n431\n, \n432\n, \n433\n, \n436\n, \n438\n, \n440\n, \n441\n, \n442\n, \n443\n, \n444\n OXT receptor expression is further modulated by gonadal hormones, likely through ERα. Testosterone administration to neonatal female rats leads to higher OXT receptor densities whereas gonadectomy of adult male and female rats decreases OXT receptor density.\n438\n, \n444\n OXT receptor expression is also higher in estrous compared to non‐estrous females, but still significantly lower than males.\n433\n Of note, sex differences are most commonly reported in rodent species whereas a vast majority of human and non‐human primate studies indicate no sex differences in characteristics of the OXT system.\n418\n Such species differences are important to keep in mind when considering sex as a variable in AD‐related OXT dysfunction, in addition to the translational value of any preclinical findings.\nHowever, OXT itself promotes sex‐specific behaviors, including promoting sexual behavior in males and parturition and post‐partum behavior in females.\n421\n, \n445\n, \n446\n, \n447\n However, a major focus of OXT research in AD should be on the potential impact it has on social behavior,\n448\n especially given its sex‐specific effects. OXT has been most well studied in its facilitatory role in forming partner preferences in monogamous species. This includes prairie voles and humans, with effects typically being stronger in females.\n449\n, \n450\n However, such effects are not exclusive to females, as antagonism of OXT receptors in the lateral septum blocks pair bonding and brain‐wide knockout of the OXT receptor reduces consolation behavior in male prairie voles.\n451\n, \n452\n In non‐monogamous species, such as rats, OXT administration can improve social recognition and reverse social avoidance in males, but not females.\n453\n, \n454\n, \n455\n, \n456\n Interestingly, early‐life manipulations of the OXT system can have effects well into adulthood. For example, neonatally applied OXT induces aggressive mate‐guarding behavior in adult female prairie voles.\n457\n Neonatal antagonism of OXT receptors also decreases alloparental care in male prairie voles and social approach behavior in female CD‐1 mice.\n458\n, \n459\n Comparing sex differences in the effects of OXT across species indicates the presence of some species‐specific behavioral effects that are seemingly in opposition (e.g., greater behavioral effects in female prairie voles and male rats, but relatively similar effects in both sexes in humans).\n418\n, \n419\n Together, these results again underscore the need to consider species in the sex‐specific effects of OXT. In humans, OXT can also induce sex‐specific behavioral effects.\n418\n, \n419\n, \n420\n, \n460\n, \n461\n, \n462\n, \n463\n Underlying sex differences in the neurobiological effects of OXT may lead to these behavioral differences but, in some situations, may also culminate in similar behavioral output in males and females.\n418\nEffects of early‐life OXT manipulation on late‐life phenotypes and in the pathophysiology of AD are interesting to consider but have yet to be explored. Given the high prevalence of social deficits in AD,\n3\n understanding the contributing role of OXT dysfunction is of great importance. Further delineating the moderating influence of sex is also critical given the sex differences in AD symptomology. While women typically suffer greater incidence of neuropsychiatric symptoms,\n19\n, \n125\n, \n464\n men exhibit more severe symptoms in the social domain such as aggression, apathy, and agitation.\n125\n Neural underpinnings of such differences have yet to be identified, but they might be partially due to single nucleotide polymorphisms in the OXT receptor gene which have sex‐specific effects on social behavior.\n418\n OXT is also known to reduce anxiety in both sexes, and appears to influence memory, with clear relevance to AD, but more work needs to be done to solidify its precise effects and any dependence on sex.\n421\nPreclinical studies of OXT dysregulation in AD rodent models reveal downregulation of OXT levels in both male and female APP/PS1\n465\n, \n466\n and female B6.APBTg mice\n467\n and reduced serum OXT levels in male APP/PS1 mice.\n468\n However, these studies did not compare results between females and males and therefore do not account for any potential impact of sex in these AD models.\nHuman studies on the impact of AD on the OXT system present conflicting evidence. One of the first studies of OXT neurons in tissue from human AD patients used cell number and size as proxies for peptide production, and no significant differences were observed for OXT neurons compared to normal aging.\n429\n In this study, men and women were pooled due to a lack of significant morphological differences between sexes. These results were replicated in later studies analyzing normally aging populations and AD patients.\n430\n, \n431\n There were similarly no sex differences in morphological parameters of OXT neurons in the supraoptic or paraventricular nucleus,\n431\n though sample sizes were low. Another study in male patients showed no significant difference in cerebrospinal fluid OXT levels.\n469\n In another study including samples from men and women,\n470\n AD patients displayed increased levels of OXT in the hippocampus and temporal cortex. In contrast, recent work that included men and women reported lower serum OXT levels in AD patients.\n471\n Two other recent studies show OXT signaling pathway dysregulation in the blood and entorhinal cortex of AD patients.\n472\n, \n473\n In the case of the entorhinal cortex, this phenotype was only observed in men. These studies highlight how a failure to evaluate sex‐specific changes in the OXT system can lead to conflicting findings and hinder our understanding of AD‐related dysfunction. If there are sex differences in the effects of AD on the OXT system, future work could focus on evaluating the use of OXT‐based therapeutics. Moreover, human studies investigating OXT system dysfunction in AD patients are limited and variable, likely due to the complexity of the system, the heterogeneity of the populations studied, the lack of sex‐stratified analyses, and the limitations of the available methods. Furthermore, circuit‐specific defects that emerge in a disease stage–specific manner may not be captured by the approaches described above. Given these limitations, the involvement of the system as a pathological hallmark in human patients remains to be fully determined.\nWhile OXT is well tolerated and improves social symptoms in the context of frontotemporal dementia,\n474\n, \n475\n, \n476\n there is only one study with a small number of AD participants revealing limited but positive outcomes on social cognition after intranasal OXT treatment.\n477\n However, low sample sizes have precluded analyzing the potential modifying effect of sex on patient outcomes. Meanwhile, the number of preclinical studies evaluating OXT as a therapeutic approach in AD has increased in the last few years. Such studies demonstrate the protective effects of exogenous OXT treatment at the molecular, cellular, network and behavioral levels. In vitro, the use of primary cultures or cell lines allow for the study of the effect of OXT after exposure to Aβ or other factors related to AD pathology.\n465\n, \n478\n Work on network‐ and synaptic‐level responses has been performed in brain slices \n465\n, \n479\n and organoids.\n480\n, \n481\n These studies suggest that the protective effects of OXT in AD models are mediated by changes in synaptic plasticity,\n479\n inflammation,\n465\n, \n480\n and cell death.\n478\n OXT protects against Aβ‐induced toxicity through the extracellular regulated kinase pathway, both in the PC12 cell line\n478\n and in hippocampal slices.\n479\n OXT is also anti‐inflammatory\n482\n and can reduce microglial activation in AD models\n465\n, \n483\n, \n484\n through inhibition of Toll‐like receptor 4–mediated pro‐inflammatory signaling\n483\n and extracellular regulated kinase/p38 mitogen‐activated protein kinase and cyclooxygenase‐2 /inducible nitric oxide synthase nuclear factor kappa beta signaling pathways.\n484\n Using human induced pluripotent stem cell–derived cerebral organoids revealed that OXT further enables Aβ clearance by upregulating triggering receptor expressed on myeloid cells 2, a key modulator of microglial phagocytosis.\n481\n Together, evidence collected in vitro supports OXT as a therapeutic approach to target AD‐associated pathways.\nIn preclinical AD models, multiple groups have shown that exogenous OXT can rescue behavioral and molecular AD‐related phenotypes.\n465\n, \n468\n, \n483\n, \n484\n, \n485\n, \n486\n, \n487\n, \n488\n, \n489\n The protective effects of OXT observed in mouse models have been proposed to be mediated by reducing cell death\n484\n, \n487\n or inflammation,\n468\n, \n484\n, \n487\n and by increasing Aβ clearance.\n466\n, \n468\n, \n484\n, \n485\n, \n487\n, \n488\n At the behavioral level, cognitive benefits of OXT have been the primary focus in AD models.\n465\n, \n484\n, \n485\n, \n486\n, \n487\n Comparatively, there are few studies looking at the effects of OXT on social behaviors in these models. Intranasal OXT rescued the reduced sociability in APP/PS1 male mice.\n465\n Other work has assessed the consequences of OXT treatment on social memory using the 5‐trial social task and found that OXT protects against social memory loss in APP/PS1 male mice.\n465\n In contrast, other studies have not observed altered sociability in APP/PS1 females, but rather showed reduced sociability in this model after OXT treatment.\n485\n Whether these differences in OXT effects are due to sex‐specific mechanisms or variations in experimental protocols is unknown, and should be investigated in future studies.\n490\nResearch into sex differences in dysfunction of the OXT system in AD and the potential therapeutic benefits of exogenous OXT is in its infancy. More studies are needed to understand whether and to what extent the OXT system is impacted in AD, and the moderating effects of sex. However, one of the main limitations in probing this system is the lack of reliable methods to measure brain levels of OXT. OXT is usually measured using enzyme‐linked immunosorbent assay and these measurements are mostly done in blood or saliva. Unfortunately, there is some evidence showing that such samples are not direct readouts of OXT levels in the brain.\n491\n Alternatively, post mortem histological analysis of human brain tissue using validated and reliable OXT antibodies could reveal changes in cell number, innervation, receptor distribution, and levels throughout the brain.\nExogenous OXT has been proposed as a treatment for AD, due in part to the early constellation of social dysfunction that persists throughout disease course. Yet, much of this work is based on relatively limited preclinical evidence showing benefits of OXT in AD models, both at the neuropathological and behavioral levels. Given the stark species differences in the OXT system, more work needs to be done, and caution should be taken when interpreting and translating findings from preclinical models to humans. Considering these factors highlights the need for more work at the human and post mortem levels. Human studies can be further expanded to include robust clinical trials testing the therapeutic effects of OXT in AD patients. When designing such trials, dose and administration protocols need to be carefully defined, including route of administration, treatment duration, and the inclusion of behavioral therapy as part of the treatment. Such considerations are due to the fact that OXT has been shown to increase the salience of social behaviors,\n413\n, \n492\n, \n493\n opening the possibility of achieving greater therapeutic benefits in positive social contexts. Although human and non‐human primate research shows few sex differences in the OXT system, controlling and analyzing results by sex will help clarify any potential modifying effects of sex on the therapeutic benefits of OXT treatment.\n\n\n### Baseline sex differences in the OXT system\nSex differences in the OXT system across species have been recently reviewed elsewhere.\n418\n, \n419\n, \n420\n, \n421\n A host of studies indicate a lack of sex differences in the number of OXT neurons and innervation density.\n422\n, \n423\n, \n424\n, \n425\n, \n426\n, \n427\n, \n428\n, \n429\n, \n430\n, \n431\n, \n432\n, \n433\n When sex differences are present, females tend to show greater numbers of OXT neurons and innervation than males.\n424\n, \n425\n, \n426\n, \n434\n Meanwhile, OXT receptor expression shows largely the opposite pattern, with males displaying higher levels of OXT receptors than females.\n433\n, \n435\n, \n436\n, \n437\n, \n438\n, \n439\n Thus, there is a potential sex distinction in the structure of the OXT system at the level of the cell bodies versus target regions. However, such sex differences, or lack thereof, are highly brain region and species specific.\n418\n, \n419\n, \n422\n, \n423\n, \n424\n, \n425\n, \n426\n, \n427\n, \n428\n, \n429\n, \n430\n, \n431\n, \n432\n, \n433\n, \n436\n, \n438\n, \n440\n, \n441\n, \n442\n, \n443\n, \n444\n OXT receptor expression is further modulated by gonadal hormones, likely through ERα. Testosterone administration to neonatal female rats leads to higher OXT receptor densities whereas gonadectomy of adult male and female rats decreases OXT receptor density.\n438\n, \n444\n OXT receptor expression is also higher in estrous compared to non‐estrous females, but still significantly lower than males.\n433\n Of note, sex differences are most commonly reported in rodent species whereas a vast majority of human and non‐human primate studies indicate no sex differences in characteristics of the OXT system.\n418\n Such species differences are important to keep in mind when considering sex as a variable in AD‐related OXT dysfunction, in addition to the translational value of any preclinical findings.\nHowever, OXT itself promotes sex‐specific behaviors, including promoting sexual behavior in males and parturition and post‐partum behavior in females.\n421\n, \n445\n, \n446\n, \n447\n However, a major focus of OXT research in AD should be on the potential impact it has on social behavior,\n448\n especially given its sex‐specific effects. OXT has been most well studied in its facilitatory role in forming partner preferences in monogamous species. This includes prairie voles and humans, with effects typically being stronger in females.\n449\n, \n450\n However, such effects are not exclusive to females, as antagonism of OXT receptors in the lateral septum blocks pair bonding and brain‐wide knockout of the OXT receptor reduces consolation behavior in male prairie voles.\n451\n, \n452\n In non‐monogamous species, such as rats, OXT administration can improve social recognition and reverse social avoidance in males, but not females.\n453\n, \n454\n, \n455\n, \n456\n Interestingly, early‐life manipulations of the OXT system can have effects well into adulthood. For example, neonatally applied OXT induces aggressive mate‐guarding behavior in adult female prairie voles.\n457\n Neonatal antagonism of OXT receptors also decreases alloparental care in male prairie voles and social approach behavior in female CD‐1 mice.\n458\n, \n459\n Comparing sex differences in the effects of OXT across species indicates the presence of some species‐specific behavioral effects that are seemingly in opposition (e.g., greater behavioral effects in female prairie voles and male rats, but relatively similar effects in both sexes in humans).\n418\n, \n419\n Together, these results again underscore the need to consider species in the sex‐specific effects of OXT. In humans, OXT can also induce sex‐specific behavioral effects.\n418\n, \n419\n, \n420\n, \n460\n, \n461\n, \n462\n, \n463\n Underlying sex differences in the neurobiological effects of OXT may lead to these behavioral differences but, in some situations, may also culminate in similar behavioral output in males and females.\n418\nEffects of early‐life OXT manipulation on late‐life phenotypes and in the pathophysiology of AD are interesting to consider but have yet to be explored. Given the high prevalence of social deficits in AD,\n3\n understanding the contributing role of OXT dysfunction is of great importance. Further delineating the moderating influence of sex is also critical given the sex differences in AD symptomology. While women typically suffer greater incidence of neuropsychiatric symptoms,\n19\n, \n125\n, \n464\n men exhibit more severe symptoms in the social domain such as aggression, apathy, and agitation.\n125\n Neural underpinnings of such differences have yet to be identified, but they might be partially due to single nucleotide polymorphisms in the OXT receptor gene which have sex‐specific effects on social behavior.\n418\n OXT is also known to reduce anxiety in both sexes, and appears to influence memory, with clear relevance to AD, but more work needs to be done to solidify its precise effects and any dependence on sex.\n421\n\n\n### OXT dysfunction in AD patients and models\nPreclinical studies of OXT dysregulation in AD rodent models reveal downregulation of OXT levels in both male and female APP/PS1\n465\n, \n466\n and female B6.APBTg mice\n467\n and reduced serum OXT levels in male APP/PS1 mice.\n468\n However, these studies did not compare results between females and males and therefore do not account for any potential impact of sex in these AD models.\nHuman studies on the impact of AD on the OXT system present conflicting evidence. One of the first studies of OXT neurons in tissue from human AD patients used cell number and size as proxies for peptide production, and no significant differences were observed for OXT neurons compared to normal aging.\n429\n In this study, men and women were pooled due to a lack of significant morphological differences between sexes. These results were replicated in later studies analyzing normally aging populations and AD patients.\n430\n, \n431\n There were similarly no sex differences in morphological parameters of OXT neurons in the supraoptic or paraventricular nucleus,\n431\n though sample sizes were low. Another study in male patients showed no significant difference in cerebrospinal fluid OXT levels.\n469\n In another study including samples from men and women,\n470\n AD patients displayed increased levels of OXT in the hippocampus and temporal cortex. In contrast, recent work that included men and women reported lower serum OXT levels in AD patients.\n471\n Two other recent studies show OXT signaling pathway dysregulation in the blood and entorhinal cortex of AD patients.\n472\n, \n473\n In the case of the entorhinal cortex, this phenotype was only observed in men. These studies highlight how a failure to evaluate sex‐specific changes in the OXT system can lead to conflicting findings and hinder our understanding of AD‐related dysfunction. If there are sex differences in the effects of AD on the OXT system, future work could focus on evaluating the use of OXT‐based therapeutics. Moreover, human studies investigating OXT system dysfunction in AD patients are limited and variable, likely due to the complexity of the system, the heterogeneity of the populations studied, the lack of sex‐stratified analyses, and the limitations of the available methods. Furthermore, circuit‐specific defects that emerge in a disease stage–specific manner may not be captured by the approaches described above. Given these limitations, the involvement of the system as a pathological hallmark in human patients remains to be fully determined.\n\n\n### OXT as a potential treatment for AD\nWhile OXT is well tolerated and improves social symptoms in the context of frontotemporal dementia,\n474\n, \n475\n, \n476\n there is only one study with a small number of AD participants revealing limited but positive outcomes on social cognition after intranasal OXT treatment.\n477\n However, low sample sizes have precluded analyzing the potential modifying effect of sex on patient outcomes. Meanwhile, the number of preclinical studies evaluating OXT as a therapeutic approach in AD has increased in the last few years. Such studies demonstrate the protective effects of exogenous OXT treatment at the molecular, cellular, network and behavioral levels. In vitro, the use of primary cultures or cell lines allow for the study of the effect of OXT after exposure to Aβ or other factors related to AD pathology.\n465\n, \n478\n Work on network‐ and synaptic‐level responses has been performed in brain slices \n465\n, \n479\n and organoids.\n480\n, \n481\n These studies suggest that the protective effects of OXT in AD models are mediated by changes in synaptic plasticity,\n479\n inflammation,\n465\n, \n480\n and cell death.\n478\n OXT protects against Aβ‐induced toxicity through the extracellular regulated kinase pathway, both in the PC12 cell line\n478\n and in hippocampal slices.\n479\n OXT is also anti‐inflammatory\n482\n and can reduce microglial activation in AD models\n465\n, \n483\n, \n484\n through inhibition of Toll‐like receptor 4–mediated pro‐inflammatory signaling\n483\n and extracellular regulated kinase/p38 mitogen‐activated protein kinase and cyclooxygenase‐2 /inducible nitric oxide synthase nuclear factor kappa beta signaling pathways.\n484\n Using human induced pluripotent stem cell–derived cerebral organoids revealed that OXT further enables Aβ clearance by upregulating triggering receptor expressed on myeloid cells 2, a key modulator of microglial phagocytosis.\n481\n Together, evidence collected in vitro supports OXT as a therapeutic approach to target AD‐associated pathways.\nIn preclinical AD models, multiple groups have shown that exogenous OXT can rescue behavioral and molecular AD‐related phenotypes.\n465\n, \n468\n, \n483\n, \n484\n, \n485\n, \n486\n, \n487\n, \n488\n, \n489\n The protective effects of OXT observed in mouse models have been proposed to be mediated by reducing cell death\n484\n, \n487\n or inflammation,\n468\n, \n484\n, \n487\n and by increasing Aβ clearance.\n466\n, \n468\n, \n484\n, \n485\n, \n487\n, \n488\n At the behavioral level, cognitive benefits of OXT have been the primary focus in AD models.\n465\n, \n484\n, \n485\n, \n486\n, \n487\n Comparatively, there are few studies looking at the effects of OXT on social behaviors in these models. Intranasal OXT rescued the reduced sociability in APP/PS1 male mice.\n465\n Other work has assessed the consequences of OXT treatment on social memory using the 5‐trial social task and found that OXT protects against social memory loss in APP/PS1 male mice.\n465\n In contrast, other studies have not observed altered sociability in APP/PS1 females, but rather showed reduced sociability in this model after OXT treatment.\n485\n Whether these differences in OXT effects are due to sex‐specific mechanisms or variations in experimental protocols is unknown, and should be investigated in future studies.\n490\n\n\n### Future directions\nResearch into sex differences in dysfunction of the OXT system in AD and the potential therapeutic benefits of exogenous OXT is in its infancy. More studies are needed to understand whether and to what extent the OXT system is impacted in AD, and the moderating effects of sex. However, one of the main limitations in probing this system is the lack of reliable methods to measure brain levels of OXT. OXT is usually measured using enzyme‐linked immunosorbent assay and these measurements are mostly done in blood or saliva. Unfortunately, there is some evidence showing that such samples are not direct readouts of OXT levels in the brain.\n491\n Alternatively, post mortem histological analysis of human brain tissue using validated and reliable OXT antibodies could reveal changes in cell number, innervation, receptor distribution, and levels throughout the brain.\nExogenous OXT has been proposed as a treatment for AD, due in part to the early constellation of social dysfunction that persists throughout disease course. Yet, much of this work is based on relatively limited preclinical evidence showing benefits of OXT in AD models, both at the neuropathological and behavioral levels. Given the stark species differences in the OXT system, more work needs to be done, and caution should be taken when interpreting and translating findings from preclinical models to humans. Considering these factors highlights the need for more work at the human and post mortem levels. Human studies can be further expanded to include robust clinical trials testing the therapeutic effects of OXT in AD patients. When designing such trials, dose and administration protocols need to be carefully defined, including route of administration, treatment duration, and the inclusion of behavioral therapy as part of the treatment. Such considerations are due to the fact that OXT has been shown to increase the salience of social behaviors,\n413\n, \n492\n, \n493\n opening the possibility of achieving greater therapeutic benefits in positive social contexts. Although human and non‐human primate research shows few sex differences in the OXT system, controlling and analyzing results by sex will help clarify any potential modifying effects of sex on the therapeutic benefits of OXT treatment.\n\n\n### ARGININE VASOPRESSIN\nAVP is a hormone with wide‐ranging effects on physiology and behavior. AVP‐expressing neurons are primarily located in the hypothalamus, with projections extending to the basal forebrain, midbrain, and brainstem nuclei. Research across species has extensively characterized the AVP neuronal system, highlighting its conserved biological roles across species to regulate neurosecretion, sleep/wake cycles, circadian rhythms, social behaviors, and the stress responses.\n494\n, \n495\n There are also extra‐hypothalamic AVP neuronal populations that display intrinsic differences based on sex.\n496\n Given that disturbances in homeostatic regulation are common in AD, studying the AVP system function/dysfunction and its associated dependence on sex may provide insights into disease mechanisms.\nIn the hypothalamus, AVP neurons are divided into three major nuclei, each with distinct organization and specialized functions. AVP neurons in the supraoptic nucleus are magnocellular and regulate water balance and blood pressure.\n494\n, \n497\n, \n498\n Suprachiasmatic nucleus AVP neurons are parvocellular and orchestrate circadian rhythms.\n499\n, \n500\n The paraventricular nucleus includes both magnocellular and parvocellular AVP neurons that regulate social and emotional behaviors, modulate autonomic activity, and stimulate the release of adrenocorticotropic hormone, which is essential for stress responses.\n494\n, \n497\n, \n501\n, \n502\n Collectively, these hypothalamic AVP neurons are both neuroendocrine and neuromodulatory, with axonal projections to extra‐hypothalamic regions such as the basal forebrain, midbrain, and brainstem. They are conserved in form and function across species.\n418\n, \n421\n, \n496\n AVP axonal projections emanating from hypothalamic areas are typically denser in males than females.\n503\n, \n504\nImmunohistochemistry, RNAscope, and retrograde tracing studies have also revealed AVP‐expressing neurons in extra‐hypothalamic areas such as basal forebrain and amygdala. AVP neurons in these regions modulate social, emotional, and anxiety‐related behaviors. The bed nucleus of the stria terminalis in the basal forebrain coordinates acute stress responses by inhibiting CRH secretion and influencing paraventricular AVP activity.\n505\n The amygdala plays a central role in fear and anxiety regulation.\n506\n Within the amygdala, the central nucleus serves as the primary output region orchestrating behavioral and physiological fear responses,\n501\n while the basal, lateral, and medial subdivisions process and integrate incoming information. AVP signaling reduces innate fear responses through local GABAergic neurons and provides feedback to the hypothalamic–pituitary–adrenal axis, thereby linking emotional regulation with neuroendocrine responses.\n501\n, \n507\n, \n508\n, \n509\n AVP neurons in these regions contribute directly to sex differences in behavior. In prairie voles, AVP injected into the lateral septum increased paternal responsiveness.\n510\n Similarly, the number of AVP neurons in the amygdala is greater in male mice in response to testosterone.\n507\n Structural investigations corroborate these findings; quantification of AVP immunoreactivity revealed that AVP neurons and fibers are more abundant in males than females in the septal nucleus, bed nucleus of the stria terminalis, and amygdala.\n511\n, \n512\n, \n513\n, \n514\nAVP neurons are also present in other hypothalamic regions, such as the zona incerta and median eminence. Although these nuclei do not contain large populations of AVP‐synthesizing neurons, AVP immunoreactivity is detected in synaptic terminals projecting from the hypothalamus. While sex differences in these areas have not been thoroughly studied, both the zona incerta and median eminence play important roles in regulating the hypothalamic–pituitary–adrenal axis in response to stress,\n495\n, \n503\n, \n515\n which is a sex‐dependent process (see section 6).\nAVP release exerts its effects via binding to two G‐protein coupled receptor subtypes, AVPR1A and AVPR1B.\n516\n AVPR1A receptors are widely expressed across multiple brain regions, whereas AVPR2B receptors exhibit more restricted distribution within the hippocampus, amygdala, olfactory bulb, and hypothalamic–pituitary–adrenal axis.\n418\n, \n517\n, \n518\n, \n519\n AVP receptors expressed in subcortical regions exhibit marked sex differences with direct implications for behavior. Autoradiographic quantification reveals higher densities of AVP binding in the ventromedial hypothalamus and premammillary nuclei of male hamsters compared to female hamsters.\n520\n In addition, AVPR1A binding densities are also higher in male Wistar rats, showing distinctive subregional differences in the hypothalamus and basal forebrain such as the medial posterior bed nucleus of the stria terminalis, anteroventral thalamus, tuberal lateral hypothalamus, and stigmoid hypothalamus.\n418\n Behaviorally, blocking AVPR1A receptors in the DRN and lateral habenula reduces social behaviors, particularly urine marking, ultrasonic vocalization, and territorial aggression in male mice, but has no effect in females.\n521\n More recently, a study reported sex‐specific distributions of AVPR1A receptors across mouse subcortical regions, reinforcing the previous findings that AVP receptor localization shapes AVP neuronal function. These findings provide targets for investigating the mechanisms underlying sex differences in AVP function.\n517\nOverall, most studies\n418\n, \n421\n indicate that, compared to females, the male AVP system comprises larger neurons, greater amounts of AVP mRNA, and higher fiber density, receptor binding, and levels in plasma and urine.\n423\n, \n425\n, \n428\n, \n431\n, \n432\n, \n436\n, \n520\n, \n522\n, \n523\n, \n524\n, \n525\n, \n526\n, \n527\n, \n528\n, \n529\n, \n530\n, \n531\n, \n532\n, \n533\n, \n534\n, \n535\n, \n536\n, \n537\n, \n538\n, \n539\n, \n540\n, \n541\n, \n542\n There are some reports of the opposite or null effects, but species differences are much less pronounced compared to the OXT system.\n543\n, \n544\n, \n545\nThe cytoarchitecture of AVP neuronal hubs demonstrate region‐dependent susceptibility in healthy aging and AD, with some modulating influence of sex. In the two major AVP magnocellular hubs, the paraventricular and supraoptic nuclei, human studies across normal aging and in AD found no significant sex differences in total cell number or volume.\n546\n, \n547\n, \n548\n However, in old rodents (> 24 months) and humans (> 80 years) cellular hypertrophy is observed in the paraventricular and supraoptic nuclei that is absent during midlife.\n429\n, \n549\n Several human studies further suggest that AVP neurons remain activated in old age, displaying enlarged individual cell size in both normal aging and AD without neuronal loss.\n550\n, \n551\n This finding is rather atypical compared to other subcortical nuclei, which usually display severe loss of cell bodies and subsequent neurotransmission. However, these conclusions are limited by the small number of human studies and pooled analyses, underscoring the need for larger scale stereological studies that would be able to clearly identify any sex differences. In fact, evidence from quantitative stereology in rhesus monkeys suggests possible sex differences. There was a significant increase in neuron and glia counts in the male paraventricular nucleus with age, particularly > 20 years (roughly equivalent to > 60 years in humans).\n552\n Cellular hypertrophy also correlated with age, though the effect did not reach significance.\nSuprachiasmatic nucleus AVP neurons play a critical role in regulating circadian rhythms and are selectively vulnerable to AD‐associated pathology. Suprachiasmatic nucleus neuron number declines in individuals > 80 years, in contrast to the stable, or even increased number, in animal models.\n547\n, \n553\n In AD, suprachiasmatic nucleus AVP neurons are also significantly reduced.\n547\n, \n553\n, \n554\n However, evidence for sex differences in suprachiasmatic nucleus degeneration is limited. Although some data suggest a possible male‐biased decline, this was not statistically significant.\n547\n, \n553\n Recent analyses combining quantitative histology and proteomics in AD brains reported neither sex‐specific neuronal loss nor tau accumulation in suprachiasmatic nucleus AVP neurons.\n554\n This study also found no significant age‐related changes, though data from individuals > 80 years remain sparse. Although circadian rhythms themselves differ between sexes\n555\n, \n556\n and circadian disruption in AD often presents with sex‐specific features,\n557\n the neuronal influences, including that of AVP, underlying these sex differences in both baseline circadian rhythms and disease‐related changes in AD remain unresolved. Addressing this gap will require studies that integrate clinical phenotypes with neuropathological findings, while accounting for AD heterogeneity, demographic variables, and intrinsic biological factors, including well controlled cohort studies that include sex as a variable.\nAge‐related AVP neuronal loss outside these brain regions has been documented.\n511\n, \n512\n, \n513\n, \n514\n However, studies directly quantifying AVP neuronal loss in AD, and whether this differs between sexes, remain limited. For regions like the basal forebrain nuclei, which regulate social behaviors, fear, and anxiety, understanding sex‐specific AVP phenotypes in AD is of particular importance.\nThe AVP system, composed of multiple dispersed brain regions, is a critical modulator of physiology and behavior often disrupted in AD. The function of AVP neurons in the brain depends on their receptors and the target brain regions receiving efferent projections. Such effects are further modulated by sex differences, with healthy males across species typically displaying greater AVP function and sensitivity to AVP interventions. The diffuse nature and distinct functional outputs of each AVP region raises the interesting possibility that different AVP‐expressing regions contribute to specific facets of AD. Yet, the overall extent and nature of these changes remain poorly characterized, highlighting the need for comprehensive preclinical and clinical studies that include sex as a factor. Furthermore, AVP‐synthesizing regions appear to be separable into either selectively vulnerable or resistant to AD, but the mechanism for these differences is not well understood. Because hypothalamic AVP‐synthesizing neurons act as central regulators of extra‐hypothalamic AVP circuits, investigating sex differences within this system is of high importance. Future research should move beyond localized characterization and toward a more integrated, intra‐network understanding. This includes interactions with other subcortical neuromodulatory systems, such as CRH and OXT, the latter of which frequently colocalizes with AVP circuits and also exhibits some sex differences.\n457\n, \n458\n, \n558\n, \n559\n\n\n### Dispersed organization of the AVP system and underlying sex differences\nIn the hypothalamus, AVP neurons are divided into three major nuclei, each with distinct organization and specialized functions. AVP neurons in the supraoptic nucleus are magnocellular and regulate water balance and blood pressure.\n494\n, \n497\n, \n498\n Suprachiasmatic nucleus AVP neurons are parvocellular and orchestrate circadian rhythms.\n499\n, \n500\n The paraventricular nucleus includes both magnocellular and parvocellular AVP neurons that regulate social and emotional behaviors, modulate autonomic activity, and stimulate the release of adrenocorticotropic hormone, which is essential for stress responses.\n494\n, \n497\n, \n501\n, \n502\n Collectively, these hypothalamic AVP neurons are both neuroendocrine and neuromodulatory, with axonal projections to extra‐hypothalamic regions such as the basal forebrain, midbrain, and brainstem. They are conserved in form and function across species.\n418\n, \n421\n, \n496\n AVP axonal projections emanating from hypothalamic areas are typically denser in males than females.\n503\n, \n504\nImmunohistochemistry, RNAscope, and retrograde tracing studies have also revealed AVP‐expressing neurons in extra‐hypothalamic areas such as basal forebrain and amygdala. AVP neurons in these regions modulate social, emotional, and anxiety‐related behaviors. The bed nucleus of the stria terminalis in the basal forebrain coordinates acute stress responses by inhibiting CRH secretion and influencing paraventricular AVP activity.\n505\n The amygdala plays a central role in fear and anxiety regulation.\n506\n Within the amygdala, the central nucleus serves as the primary output region orchestrating behavioral and physiological fear responses,\n501\n while the basal, lateral, and medial subdivisions process and integrate incoming information. AVP signaling reduces innate fear responses through local GABAergic neurons and provides feedback to the hypothalamic–pituitary–adrenal axis, thereby linking emotional regulation with neuroendocrine responses.\n501\n, \n507\n, \n508\n, \n509\n AVP neurons in these regions contribute directly to sex differences in behavior. In prairie voles, AVP injected into the lateral septum increased paternal responsiveness.\n510\n Similarly, the number of AVP neurons in the amygdala is greater in male mice in response to testosterone.\n507\n Structural investigations corroborate these findings; quantification of AVP immunoreactivity revealed that AVP neurons and fibers are more abundant in males than females in the septal nucleus, bed nucleus of the stria terminalis, and amygdala.\n511\n, \n512\n, \n513\n, \n514\nAVP neurons are also present in other hypothalamic regions, such as the zona incerta and median eminence. Although these nuclei do not contain large populations of AVP‐synthesizing neurons, AVP immunoreactivity is detected in synaptic terminals projecting from the hypothalamus. While sex differences in these areas have not been thoroughly studied, both the zona incerta and median eminence play important roles in regulating the hypothalamic–pituitary–adrenal axis in response to stress,\n495\n, \n503\n, \n515\n which is a sex‐dependent process (see section 6).\nAVP release exerts its effects via binding to two G‐protein coupled receptor subtypes, AVPR1A and AVPR1B.\n516\n AVPR1A receptors are widely expressed across multiple brain regions, whereas AVPR2B receptors exhibit more restricted distribution within the hippocampus, amygdala, olfactory bulb, and hypothalamic–pituitary–adrenal axis.\n418\n, \n517\n, \n518\n, \n519\n AVP receptors expressed in subcortical regions exhibit marked sex differences with direct implications for behavior. Autoradiographic quantification reveals higher densities of AVP binding in the ventromedial hypothalamus and premammillary nuclei of male hamsters compared to female hamsters.\n520\n In addition, AVPR1A binding densities are also higher in male Wistar rats, showing distinctive subregional differences in the hypothalamus and basal forebrain such as the medial posterior bed nucleus of the stria terminalis, anteroventral thalamus, tuberal lateral hypothalamus, and stigmoid hypothalamus.\n418\n Behaviorally, blocking AVPR1A receptors in the DRN and lateral habenula reduces social behaviors, particularly urine marking, ultrasonic vocalization, and territorial aggression in male mice, but has no effect in females.\n521\n More recently, a study reported sex‐specific distributions of AVPR1A receptors across mouse subcortical regions, reinforcing the previous findings that AVP receptor localization shapes AVP neuronal function. These findings provide targets for investigating the mechanisms underlying sex differences in AVP function.\n517\nOverall, most studies\n418\n, \n421\n indicate that, compared to females, the male AVP system comprises larger neurons, greater amounts of AVP mRNA, and higher fiber density, receptor binding, and levels in plasma and urine.\n423\n, \n425\n, \n428\n, \n431\n, \n432\n, \n436\n, \n520\n, \n522\n, \n523\n, \n524\n, \n525\n, \n526\n, \n527\n, \n528\n, \n529\n, \n530\n, \n531\n, \n532\n, \n533\n, \n534\n, \n535\n, \n536\n, \n537\n, \n538\n, \n539\n, \n540\n, \n541\n, \n542\n There are some reports of the opposite or null effects, but species differences are much less pronounced compared to the OXT system.\n543\n, \n544\n, \n545\n\n\n### AVP neurons show differing susceptibility in AD patients\nThe cytoarchitecture of AVP neuronal hubs demonstrate region‐dependent susceptibility in healthy aging and AD, with some modulating influence of sex. In the two major AVP magnocellular hubs, the paraventricular and supraoptic nuclei, human studies across normal aging and in AD found no significant sex differences in total cell number or volume.\n546\n, \n547\n, \n548\n However, in old rodents (> 24 months) and humans (> 80 years) cellular hypertrophy is observed in the paraventricular and supraoptic nuclei that is absent during midlife.\n429\n, \n549\n Several human studies further suggest that AVP neurons remain activated in old age, displaying enlarged individual cell size in both normal aging and AD without neuronal loss.\n550\n, \n551\n This finding is rather atypical compared to other subcortical nuclei, which usually display severe loss of cell bodies and subsequent neurotransmission. However, these conclusions are limited by the small number of human studies and pooled analyses, underscoring the need for larger scale stereological studies that would be able to clearly identify any sex differences. In fact, evidence from quantitative stereology in rhesus monkeys suggests possible sex differences. There was a significant increase in neuron and glia counts in the male paraventricular nucleus with age, particularly > 20 years (roughly equivalent to > 60 years in humans).\n552\n Cellular hypertrophy also correlated with age, though the effect did not reach significance.\nSuprachiasmatic nucleus AVP neurons play a critical role in regulating circadian rhythms and are selectively vulnerable to AD‐associated pathology. Suprachiasmatic nucleus neuron number declines in individuals > 80 years, in contrast to the stable, or even increased number, in animal models.\n547\n, \n553\n In AD, suprachiasmatic nucleus AVP neurons are also significantly reduced.\n547\n, \n553\n, \n554\n However, evidence for sex differences in suprachiasmatic nucleus degeneration is limited. Although some data suggest a possible male‐biased decline, this was not statistically significant.\n547\n, \n553\n Recent analyses combining quantitative histology and proteomics in AD brains reported neither sex‐specific neuronal loss nor tau accumulation in suprachiasmatic nucleus AVP neurons.\n554\n This study also found no significant age‐related changes, though data from individuals > 80 years remain sparse. Although circadian rhythms themselves differ between sexes\n555\n, \n556\n and circadian disruption in AD often presents with sex‐specific features,\n557\n the neuronal influences, including that of AVP, underlying these sex differences in both baseline circadian rhythms and disease‐related changes in AD remain unresolved. Addressing this gap will require studies that integrate clinical phenotypes with neuropathological findings, while accounting for AD heterogeneity, demographic variables, and intrinsic biological factors, including well controlled cohort studies that include sex as a variable.\nAge‐related AVP neuronal loss outside these brain regions has been documented.\n511\n, \n512\n, \n513\n, \n514\n However, studies directly quantifying AVP neuronal loss in AD, and whether this differs between sexes, remain limited. For regions like the basal forebrain nuclei, which regulate social behaviors, fear, and anxiety, understanding sex‐specific AVP phenotypes in AD is of particular importance.\n\n\n### Future directions\nThe AVP system, composed of multiple dispersed brain regions, is a critical modulator of physiology and behavior often disrupted in AD. The function of AVP neurons in the brain depends on their receptors and the target brain regions receiving efferent projections. Such effects are further modulated by sex differences, with healthy males across species typically displaying greater AVP function and sensitivity to AVP interventions. The diffuse nature and distinct functional outputs of each AVP region raises the interesting possibility that different AVP‐expressing regions contribute to specific facets of AD. Yet, the overall extent and nature of these changes remain poorly characterized, highlighting the need for comprehensive preclinical and clinical studies that include sex as a factor. Furthermore, AVP‐synthesizing regions appear to be separable into either selectively vulnerable or resistant to AD, but the mechanism for these differences is not well understood. Because hypothalamic AVP‐synthesizing neurons act as central regulators of extra‐hypothalamic AVP circuits, investigating sex differences within this system is of high importance. Future research should move beyond localized characterization and toward a more integrated, intra‐network understanding. This includes interactions with other subcortical neuromodulatory systems, such as CRH and OXT, the latter of which frequently colocalizes with AVP circuits and also exhibits some sex differences.\n457\n, \n458\n, \n558\n, \n559\n\n\n### HISTAMINE\nHA, also known as 1H‐imidazole‐4‐ethanamine or ergamine, is a low molecular weight endogenous alkylamino compound that plays a critical role in wakefulness, cognition, and immune regulation.\n560\n, \n561\n In the brain, the sole histaminergic hub is the posterior hypothalamic tuberomammillary nucleus (TMN). The histaminergic neurons of TMN synthesize HA through oxidative decarboxylation of L‐histidine by a rate‐limiting enzyme, L‐histidine decarboxylase, in the presence of co‐factor pyridoxal‐5′‐phosphate.\n562\n In the human brain, the TMN constitutes a diffusely organized population of large HA neurons (diameter 25–40 microns), located at the intersection of the caudal tuberal and rostral mammillary regions. These multipolar neurons have three to six primary dendrites and contain darkly stained peripheral endoplasmic reticulum, with typical irregularities in the cell membrane. These cells are also characterized by substantial lipofuscin aggregation.\n563\n, \n564\n The number of HA neurons in humans varies between 64,000 and 150,000 neurons.\n212\n, \n563\n, \n565\n, \n566\n Although the TMN forms the core of the medial hypothalamic zone, it extends substantially into the lateral hypothalamic zone.\n567\n In addition to TMN HA neurons, mast and endothelial cells also produce traces of HA in the brain.\n568\nAs a part of the monoaminergic extra‐thalamic pathways, TMN HA neurons maintain reciprocal connections with the OX/hypocretin neurons of the lateral hypothalamus and LC–NE neurons to promote wakefulness.\n569\n, \n570\n Besides these reciprocal connections, the unmyelinated axons of the TMN HA neurons send widespread dense innervations to hypothalamic sleep‐promoting nuclei and the basal forebrain, as well as diffuse innervations to the neocortex.\n567\n, \n571\n HA neurons exert their neuromodulatory function through the four G‐protein‐coupled metabotropic histamine receptors. The postsynaptic excitatory H1Rs are primarily localized in cortical astrocytes, hippocampal, hypothalamic, and striatal neurons, whereas H2Rs are widely distributed in the basal ganglia, hippocampus, and amygdala. The presynaptic H3Rs are predominantly distributed in the cerebral cortex and subcortex, where they can function either as inhibitory auto‐receptors or heteroreceptors. The immune regulatory H4Rs are expressed in the spinal cord, hippocampus, and cerebral cortex in humans and rats.\n572\n, \n573\n These receptor subtypes differ markedly in their ligand binding affinity, with H3R and H4R displaying stronger binding than H1R and H2R.\n574\n Based on the HA availability, microenvironment, and activation state, HA receptors can mediate inflammatory signals, hippocampal neurogenesis, and modulate anxiety‐related behavior, fear, and recognition memory.\n575\n, \n576\n, \n577\n, \n578\nPost mortem human studies and rodent models have shown loss of cortical and hypothalamic HA regulation in AD.\n10\n, \n579\n, \n580\n, \n581\n, \n582\n There is profound loss of TMN HA neurons associated with AD‐specific phosphorylated tau aggregation.\n579\n Subsequent analysis revealed a significant negative correlation between TMN neuron counts and clinical sleep measures, including sleep maintenance and proportion of time spent in N2 and rapid eye movement sleep stages, while a positive correlation was noted with wake after sleep onset.\n10\n There is also a region‐specific loss of HA neurons in the TMN, with the most severe loss in the rostral TMN and the least in the caudal TMN. This region‐specific neuronal loss was accompanied by a significant downregulation of L‐histidine decarboxylase mRNA only in the medial TMN.\n580\n Although TMN HA neurons declined significantly in AD, there is also a substantial increase in HA levels in the posterior hypothalamus in AD patients,\n583\n in spite of overall cortical HA levels declining significantly.\n584\n These region‐specific alterations within the HA system suggest a compensatory response to the substantial loss of TMN HA neurons. Furthermore, reduction in HA metabolic products in cerebrospinal fluid\n585\n indicates altered HA levels and metabolism, which can potentially affect the brain's immune environment through microglial activation.\n586\n Together, these studies demonstrate that the HA system is severely affected in AD, but the pattern, precise mechanism, and any sex differences of neuronal loss in AD are unknown.\nThe histaminergic system exhibits sex differences in tone, receptor expression patterns, and function, with compelling evidence that gonadal hormones play a key role in this relationship. TMN neurons express estrogen receptors ERα and ERβ in both sexes,\n587\n, \n588\n and a large percentage of HA‐synthesizing neurons in the TMN express nuclear ERα.\n589\n Female rats have higher levels of HA in the brain.\n590\n This is partially a result of the influence of androgens on HA methylation, which reduces HA levels in males.\n591\n Female rats also display higher levels of cortical H1Rs and H2Rs than males.\n592\n, \n593\n Further, HA receptors are colocalized with estrogen receptors in the ventromedial nucleus of the hypothalamus.\n594\n HA binding sites in rat cortex are denser in adult female rats compared to males and prepubertal animals of both sexes.\n595\nConsiderable evidence highlights the critical role of ovarian and androgenic steroids in sex‐specific expression of HA receptors and histaminergic function. HA levels and functional interactions with other neurotransmitter systems vary across the estrous cycle.\n596\n, \n597\n Prepubertal ovariectomized females show reduced HA binding sites at levels comparable to males, which is reversed by estradiol replacement.\n595\n Ovariectomy also reduces H1R binding and expression of H1R mRNA in the hypothalamus,\n594\n, \n598\n both of which are reversed by estradiol. The effects of ovariectomy and estradiol appear to be mediated primarily by ERα.\n594\n Evidence of the expression of progesterone and androgen receptors on TMN neurons is limited. However, adjacent hypothalamic regions, including the posterior hypothalamic nucleus, dorsomedial nucleus, ventromedial nucleus, infundibular nucleus, and bed nucleus of the stria terminalis, do express ERβs and influence histaminergic tone and function.\n599\n, \n600\n Progesterone specifically reduces the increased expression of H1Rs caused by estradiol, possibly through direct or indirect modulation of TMN neurons.\n594\nSeveral recent studies have linked sex differences in the histaminergic system to sex differences in brain function and behavioral/cognitive functions. In female mice, exogenous HA increases striatal DA release via H3Rs in animals with high estrogen levels, whereas in males, HA reduces striatal dopamine release mediated by H2Rs.\n597\n After neuroinflammatory responses or exposure to drugs that alter H3R function, female mice display greater regulation of HA release compared to males, which may be hormonally mediated and confer a neuroprotective advantage.\n601\n Female mice also display greater sensitivity to the arousing effects of H1R antagonism.\n602\n Longer retention of object memory has been observed in female rats, potentially linked to greater H1R and H2R expression in females.\n592\n Similar dose‐dependent improvements in memory performance in both sexes were seen after acute administration of the H3R antagonist thioperamide.\n592\n Acute chemogenetic activation of TMN HA neurons improved object recognition memory in female but not male mice.\n603\n H1R and corticosterone bioperiodicity are tightly linked, with females showing lower H1R bioperiodicity and greater food consumption than males during dietary restriction.\n593\n, \n604\n Collectively, these observations illustrate a clear influence of sex on histaminergic function that could contribute to sex differences in how this neurotransmitter affects AD symptoms, pathology, and progression.\nChanges observed in AD and models of AD include receptor binding, expression, and composition of functional domains, all of which are highly predictive of cognitive deficits as observed in AD patients.\n605\n Such findings support the potential for histaminergic drugs as effective AD treatments. However, while there are compelling sex differences in the HA system there is a paucity of data on how the alterations in histaminergic function in AD vary with sex, mainly owing to the inclusion of only one sex or the absence of rigorous assessments of sex differences in available studies.\nA wealth of data has identified alterations in the histaminergic system in AD which are linked to cognitive decline and blood–brain barrier disruption.\n606\n A few post mortem human studies have examined HA neuronal changes in AD patients, but the effect of sex in the progression of AD remains unknown. A substantial (57%) loss of TMN neurons occurs in AD patients.\n580\n There are sex‐dependent changes in TMN neurons in AD, which, although not statistically significant, were substantially more pronounced in women (67%) than in men (34%) relative to controls. TMN L‐histidine decarboxylase mRNA expression levels showed non‐significant decreases in AD patients compared to controls. This decline parallels the changes in TMN neuron number, with women showing a steeper decline than men, specifically in AD patients relative to controls. Finally, sex‐dependent changes in HA projections across AD stages were assessed in the PFC. Both H3R and histamine‐N‐methyltransferase mRNA expression in the PFC was significantly increased in women at Braak stage V to VI compared to 0 to II. Additionally, in women, HA metabolism increased starting at Braak stage III to IV.\n580\nTo characterize the biological profiles of AD, various neurotransmitter metabolites have been studied in cerebrospinal fluid. Comparing tele‐methylhistamine levels in the aging brain to that of AD patients revealed a contrasting trend in HA metabolism. Whereas HA metabolism tends to increase in normal aging, it declines in AD patients. This reduction in cerebrospinal fluid levels of tele‐methylhistamine was sex dependent, with a greater decline in women AD patients than men AD patients.\n585\n The age‐associated increase in tele‐methylhistamine also depends on sex,  with women having higher tele‐methylhistamine levels than men.\n585\n, \n607\n In addition, tele‐methylimidazoleacetic acid levels increased ≈ 30% in the cerebrospinal fluid during aging, and middle‐aged women also displayed higher levels than men.\n607\n This contrast in cerebrospinal fluid levels of HA metabolites in normal aging and AD indicates a reduction in HA function, potentially due to TMN neuronal degeneration. Based on this work, modulating H3Rs with an inverse agonist may be able to normalize HA tone and improve sleep/wake dysfunction and cognition in AD patients.\nTo this end, rodent AD models have been leveraged to study the effects of pharmacological manipulation of the HA system. Improvements in cognitive and learning/memory deficits have been consistently observed after treatment with H3R antagonists or H3R inverse agonists in several transgenic models, including 5xFAD, APPTg2576, B6.129‐Tg(APPSw)40Btla/J, THY‐Tau22, and BL/6‐Tg APP/PS1 mice.\n608\n, \n609\n, \n610\n, \n611\n, \n612\n, \n613\n, \n614\n H3R antagonists and inverse agonists reduced pathological protein accumulation, normalized cellular signaling pathways, reduced neuroinflammation and gliosis, decreased oxidative stress markers, increased acetylcholine levels, enhanced protein clearance mechanisms, reduced dystrophic neurite pathology, and restored cortical slow‐wave coherence and frequency patterns. One study found that HA release was reduced in the amygdala of ApoE(−/−) mice.\n615\n Just over half of these studies with pharmacological interventions were conducted exclusively in males, with only one study using females alone to examine the effects of ABT‐239 in TAPP mice for tau pathology.\n609\n Three studies included both sexes but pooled or segregated the data for analysis without a statistical assessment of sex differences.\n608\n, \n613\n, \n614\n However, beneficial effects appeared similar between males and females.\n613\n Animal studies without pharmacological intervention that pooled sexes for analysis report either transient decreases in HA neuron number early in embryonic development that normalizes in adulthood or no difference in H3Rs expression in TASTPM mice, similar to observations in humans.\n616\n, \n617\n One study including sex differences observed that 3xTg‐AD mice displayed decreased L‐histidine expression in females and not males, without commensurate changes in HA levels.\n618\nMale Sprague–Dawley rats display increased hypothalamic, midbrain, and cortical HA levels over the course of aging, which is increased under conditions of stress.\n619\n, \n620\n HA receptor preservation in transgenic models and advanced aging suggest that providing HA or an agonist may be a promising treatment strategy. H3R inverse agonists, such as ABT‐239 and SAR152954, have been effective in improving brain plasticity, learning, and memory in rodent models of fetal alcohol spectrum disorders, even into adulthood and well after the neurodevelopmental insult.\n621\n, \n622\n, \n623\n, \n624\n Future work should aim to conduct rigorous evaluations of sex differences in responses to histaminergic interventions to better understand underlying mechanisms of AD pathology and potential variation in response to treatment with histaminergic drugs.\nSex differences in peripheral histaminergic function, particularly related to immune responses, potentially contribute to divergent AD susceptibility and response to histaminergic treatments. In female rats, mast cells display greater susceptibility to sex steroid modulation of HA release and perinatal androgens contribute to organizing lifelong sex differences in mast cell function, with males exhibiting reduced HA content and attenuated degranulation responses.\n625\n, \n626\n, \n627\n Castration reduces peritoneal HA concentrations in males,\n628\n and testosterone exerts selective anti‐inflammatory effects on mast cells sourced from women donors, but not men.\n629\nH4Rs are predominantly expressed on immune cells and orchestrate mast cell recruitment and activation,\n630\n, \n631\n potentially underlying the relationship between peripheral sex differences and central neuroinflammatory responses. Emerging evidence suggests that peripheral histaminergic dysfunction influences AD pathogenesis through multiple mechanisms that could be sex dependent. Aβ peptides trigger mast cell degranulation through pannexin1‐dependent mechanisms,\n632\n while mast cell proteases can generate Aβ N‐termini,\n633\n creating positive feedback loops between AD pathology and neuroinflammation caused by the peripheral immune response.\n634\n HA promotes astrocyte neuroprotection and microglial neurotoxicity,\n635\n, \n636\n, \n637\n while simultaneously disrupting blood–brain barrier integrity and altering neurotransmitter function.\n637\n, \n638\n, \n639\n Notably, females display greater vulnerability to HA‐mediated disruption of blood–brain barrier integrity.\n606\n, \n640\n, \n641\n Mast cell deficiency improved cognition in an AD mouse model;\n642\n however, the vast majority of studies have either excluded females or failed to assess sex differences statistically.\n643\n, \n644\n This represents a critical knowledge gap in understanding how the mechanisms discussed here may contribute to the increased prevalence of AD in females.\nSubstantial sex differences in the HA system are well documented across neurobiological and behavioral domains that hold considerable relevance for understanding sex differences in AD. Higher HA receptor expression, enhancements in histaminergic modulation, decline in HA metabolism, and distinct patterns of HA–neurotransmitter interactions are evident in healthy women. Such differences have been linked to sex differences in cognition, learning and memory, and arousal in which the histaminergic system plays a key role. Despite robust evidence of sex differences in histaminergic function and general alterations to this system in AD, there is limited research examining the role of sex on histaminergic function in the context of AD.\nThere are several other important future steps that should be performed to appropriately understand sex as a modifier of histaminergic dysregulation in AD. For example, histaminergic anatomical organization and connectivity have not been characterized in AD. Although H3R antagonists and inverse agonists have shown considerable therapeutic promise in preclinical models of AD, the efficacy and potential synergy with other AD treatments have not been rigorously investigated or examined across sexes. Potential alterations in the peripheral histaminergic system, particularly mast cell dysfunction and disruptions in blood–brain barrier integrity, represent another understudied domain in which sex differences could contribute to AD pathogenesis. Finally, whether and how the histaminergic system compensates at different stages of AD progression and how such effects vary with sex need to be examined.\n\n\n### Sex differences in the histaminergic system and interactions with sex hormones\nThe histaminergic system exhibits sex differences in tone, receptor expression patterns, and function, with compelling evidence that gonadal hormones play a key role in this relationship. TMN neurons express estrogen receptors ERα and ERβ in both sexes,\n587\n, \n588\n and a large percentage of HA‐synthesizing neurons in the TMN express nuclear ERα.\n589\n Female rats have higher levels of HA in the brain.\n590\n This is partially a result of the influence of androgens on HA methylation, which reduces HA levels in males.\n591\n Female rats also display higher levels of cortical H1Rs and H2Rs than males.\n592\n, \n593\n Further, HA receptors are colocalized with estrogen receptors in the ventromedial nucleus of the hypothalamus.\n594\n HA binding sites in rat cortex are denser in adult female rats compared to males and prepubertal animals of both sexes.\n595\nConsiderable evidence highlights the critical role of ovarian and androgenic steroids in sex‐specific expression of HA receptors and histaminergic function. HA levels and functional interactions with other neurotransmitter systems vary across the estrous cycle.\n596\n, \n597\n Prepubertal ovariectomized females show reduced HA binding sites at levels comparable to males, which is reversed by estradiol replacement.\n595\n Ovariectomy also reduces H1R binding and expression of H1R mRNA in the hypothalamus,\n594\n, \n598\n both of which are reversed by estradiol. The effects of ovariectomy and estradiol appear to be mediated primarily by ERα.\n594\n Evidence of the expression of progesterone and androgen receptors on TMN neurons is limited. However, adjacent hypothalamic regions, including the posterior hypothalamic nucleus, dorsomedial nucleus, ventromedial nucleus, infundibular nucleus, and bed nucleus of the stria terminalis, do express ERβs and influence histaminergic tone and function.\n599\n, \n600\n Progesterone specifically reduces the increased expression of H1Rs caused by estradiol, possibly through direct or indirect modulation of TMN neurons.\n594\nSeveral recent studies have linked sex differences in the histaminergic system to sex differences in brain function and behavioral/cognitive functions. In female mice, exogenous HA increases striatal DA release via H3Rs in animals with high estrogen levels, whereas in males, HA reduces striatal dopamine release mediated by H2Rs.\n597\n After neuroinflammatory responses or exposure to drugs that alter H3R function, female mice display greater regulation of HA release compared to males, which may be hormonally mediated and confer a neuroprotective advantage.\n601\n Female mice also display greater sensitivity to the arousing effects of H1R antagonism.\n602\n Longer retention of object memory has been observed in female rats, potentially linked to greater H1R and H2R expression in females.\n592\n Similar dose‐dependent improvements in memory performance in both sexes were seen after acute administration of the H3R antagonist thioperamide.\n592\n Acute chemogenetic activation of TMN HA neurons improved object recognition memory in female but not male mice.\n603\n H1R and corticosterone bioperiodicity are tightly linked, with females showing lower H1R bioperiodicity and greater food consumption than males during dietary restriction.\n593\n, \n604\n Collectively, these observations illustrate a clear influence of sex on histaminergic function that could contribute to sex differences in how this neurotransmitter affects AD symptoms, pathology, and progression.\n\n\n### Sex differences in histaminergic systems in human and animal models of AD\nChanges observed in AD and models of AD include receptor binding, expression, and composition of functional domains, all of which are highly predictive of cognitive deficits as observed in AD patients.\n605\n Such findings support the potential for histaminergic drugs as effective AD treatments. However, while there are compelling sex differences in the HA system there is a paucity of data on how the alterations in histaminergic function in AD vary with sex, mainly owing to the inclusion of only one sex or the absence of rigorous assessments of sex differences in available studies.\nA wealth of data has identified alterations in the histaminergic system in AD which are linked to cognitive decline and blood–brain barrier disruption.\n606\n A few post mortem human studies have examined HA neuronal changes in AD patients, but the effect of sex in the progression of AD remains unknown. A substantial (57%) loss of TMN neurons occurs in AD patients.\n580\n There are sex‐dependent changes in TMN neurons in AD, which, although not statistically significant, were substantially more pronounced in women (67%) than in men (34%) relative to controls. TMN L‐histidine decarboxylase mRNA expression levels showed non‐significant decreases in AD patients compared to controls. This decline parallels the changes in TMN neuron number, with women showing a steeper decline than men, specifically in AD patients relative to controls. Finally, sex‐dependent changes in HA projections across AD stages were assessed in the PFC. Both H3R and histamine‐N‐methyltransferase mRNA expression in the PFC was significantly increased in women at Braak stage V to VI compared to 0 to II. Additionally, in women, HA metabolism increased starting at Braak stage III to IV.\n580\nTo characterize the biological profiles of AD, various neurotransmitter metabolites have been studied in cerebrospinal fluid. Comparing tele‐methylhistamine levels in the aging brain to that of AD patients revealed a contrasting trend in HA metabolism. Whereas HA metabolism tends to increase in normal aging, it declines in AD patients. This reduction in cerebrospinal fluid levels of tele‐methylhistamine was sex dependent, with a greater decline in women AD patients than men AD patients.\n585\n The age‐associated increase in tele‐methylhistamine also depends on sex,  with women having higher tele‐methylhistamine levels than men.\n585\n, \n607\n In addition, tele‐methylimidazoleacetic acid levels increased ≈ 30% in the cerebrospinal fluid during aging, and middle‐aged women also displayed higher levels than men.\n607\n This contrast in cerebrospinal fluid levels of HA metabolites in normal aging and AD indicates a reduction in HA function, potentially due to TMN neuronal degeneration. Based on this work, modulating H3Rs with an inverse agonist may be able to normalize HA tone and improve sleep/wake dysfunction and cognition in AD patients.\nTo this end, rodent AD models have been leveraged to study the effects of pharmacological manipulation of the HA system. Improvements in cognitive and learning/memory deficits have been consistently observed after treatment with H3R antagonists or H3R inverse agonists in several transgenic models, including 5xFAD, APPTg2576, B6.129‐Tg(APPSw)40Btla/J, THY‐Tau22, and BL/6‐Tg APP/PS1 mice.\n608\n, \n609\n, \n610\n, \n611\n, \n612\n, \n613\n, \n614\n H3R antagonists and inverse agonists reduced pathological protein accumulation, normalized cellular signaling pathways, reduced neuroinflammation and gliosis, decreased oxidative stress markers, increased acetylcholine levels, enhanced protein clearance mechanisms, reduced dystrophic neurite pathology, and restored cortical slow‐wave coherence and frequency patterns. One study found that HA release was reduced in the amygdala of ApoE(−/−) mice.\n615\n Just over half of these studies with pharmacological interventions were conducted exclusively in males, with only one study using females alone to examine the effects of ABT‐239 in TAPP mice for tau pathology.\n609\n Three studies included both sexes but pooled or segregated the data for analysis without a statistical assessment of sex differences.\n608\n, \n613\n, \n614\n However, beneficial effects appeared similar between males and females.\n613\n Animal studies without pharmacological intervention that pooled sexes for analysis report either transient decreases in HA neuron number early in embryonic development that normalizes in adulthood or no difference in H3Rs expression in TASTPM mice, similar to observations in humans.\n616\n, \n617\n One study including sex differences observed that 3xTg‐AD mice displayed decreased L‐histidine expression in females and not males, without commensurate changes in HA levels.\n618\nMale Sprague–Dawley rats display increased hypothalamic, midbrain, and cortical HA levels over the course of aging, which is increased under conditions of stress.\n619\n, \n620\n HA receptor preservation in transgenic models and advanced aging suggest that providing HA or an agonist may be a promising treatment strategy. H3R inverse agonists, such as ABT‐239 and SAR152954, have been effective in improving brain plasticity, learning, and memory in rodent models of fetal alcohol spectrum disorders, even into adulthood and well after the neurodevelopmental insult.\n621\n, \n622\n, \n623\n, \n624\n Future work should aim to conduct rigorous evaluations of sex differences in responses to histaminergic interventions to better understand underlying mechanisms of AD pathology and potential variation in response to treatment with histaminergic drugs.\n\n\n### Peripheral HA and AD pathology as mediated by sex\nSex differences in peripheral histaminergic function, particularly related to immune responses, potentially contribute to divergent AD susceptibility and response to histaminergic treatments. In female rats, mast cells display greater susceptibility to sex steroid modulation of HA release and perinatal androgens contribute to organizing lifelong sex differences in mast cell function, with males exhibiting reduced HA content and attenuated degranulation responses.\n625\n, \n626\n, \n627\n Castration reduces peritoneal HA concentrations in males,\n628\n and testosterone exerts selective anti‐inflammatory effects on mast cells sourced from women donors, but not men.\n629\nH4Rs are predominantly expressed on immune cells and orchestrate mast cell recruitment and activation,\n630\n, \n631\n potentially underlying the relationship between peripheral sex differences and central neuroinflammatory responses. Emerging evidence suggests that peripheral histaminergic dysfunction influences AD pathogenesis through multiple mechanisms that could be sex dependent. Aβ peptides trigger mast cell degranulation through pannexin1‐dependent mechanisms,\n632\n while mast cell proteases can generate Aβ N‐termini,\n633\n creating positive feedback loops between AD pathology and neuroinflammation caused by the peripheral immune response.\n634\n HA promotes astrocyte neuroprotection and microglial neurotoxicity,\n635\n, \n636\n, \n637\n while simultaneously disrupting blood–brain barrier integrity and altering neurotransmitter function.\n637\n, \n638\n, \n639\n Notably, females display greater vulnerability to HA‐mediated disruption of blood–brain barrier integrity.\n606\n, \n640\n, \n641\n Mast cell deficiency improved cognition in an AD mouse model;\n642\n however, the vast majority of studies have either excluded females or failed to assess sex differences statistically.\n643\n, \n644\n This represents a critical knowledge gap in understanding how the mechanisms discussed here may contribute to the increased prevalence of AD in females.\n\n\n### Future directions\nSubstantial sex differences in the HA system are well documented across neurobiological and behavioral domains that hold considerable relevance for understanding sex differences in AD. Higher HA receptor expression, enhancements in histaminergic modulation, decline in HA metabolism, and distinct patterns of HA–neurotransmitter interactions are evident in healthy women. Such differences have been linked to sex differences in cognition, learning and memory, and arousal in which the histaminergic system plays a key role. Despite robust evidence of sex differences in histaminergic function and general alterations to this system in AD, there is limited research examining the role of sex on histaminergic function in the context of AD.\nThere are several other important future steps that should be performed to appropriately understand sex as a modifier of histaminergic dysregulation in AD. For example, histaminergic anatomical organization and connectivity have not been characterized in AD. Although H3R antagonists and inverse agonists have shown considerable therapeutic promise in preclinical models of AD, the efficacy and potential synergy with other AD treatments have not been rigorously investigated or examined across sexes. Potential alterations in the peripheral histaminergic system, particularly mast cell dysfunction and disruptions in blood–brain barrier integrity, represent another understudied domain in which sex differences could contribute to AD pathogenesis. Finally, whether and how the histaminergic system compensates at different stages of AD progression and how such effects vary with sex need to be examined.\n\n\n### OREXIN/HYPOCRETIN\nNeuropeptides OX‐A and ‐B (OX‐A/B, also known as hypocretin 1 and 2) are released by a specific group of neurons localized to a limited area in the tuberal region of the hypothalamus behind the paraventricular nucleus. The OX system plays a key role in regulating the transition between wakefulness and sleep, orchestrates thermoregulation and blood pressure, participates in motivation/reward and feeding, and interacts with the neuroendocrine system.\n645\nDisruption or degeneration of the OX system leads to symptoms of narcolepsy in both humans and animal models.\n646\n OX circuitry exhibits distinct synaptic architecture, characterized by excitatory glutamatergic input and a specialized glutamatergic receptor profile. This synaptic architecture supports the system's rapid activation in response to salient stimuli and underlies its role in regulating arousal, motivation, and survival‐relevant behaviors. Thus, the role of OX in regulating the sleep–wake cycle has been largely documented in narcolepsy type 1 (or in OX knock‐out animal models), which has expanded our understanding of the relevant role of this neurotransmitter in other brain functions and disease states.\n646\n, \n647\n, \n648\nAfter the discovery of two OX types, OX‐A and ‐B, and their receptors, OX1R and OX2R,\n649\n, \n650\n a separate report demonstrated that OX modulates luteinizing hormone secretion in an estrogen‐dependent manner.\n651\n In particular, the effects of OX‐A and ‐B on luteinizing hormone secretion were investigated in ovariectomized rats with or without supplementation of ovarian hormones. Intracerebroventricular administration of OX‐A and ‐B rapidly stimulated luteinizing hormone secretion in a dose‐ and time‐dependent manner in ovariectomized rats pretreated with estradiol and progesterone. Ten minutes after injection, peak plasma luteinizing hormone levels were significantly higher in OX‐A‐treated rats compared to those treated with OX‐B. Conversely, in ovariectomized rats without steroid priming, both OX‐A and ‐B suppressed luteinizing hormone secretion. Thus, OXs are part of a group of hypothalamic signaling molecules that neurochemically link reproductive function with energy homeostasis.\n651\nIn rodents, sex differences have been reported in OX peptide expression, function, and receptor distribution across the hypothalamus, pituitary, adrenal glands, and gonads. Female rats show higher levels of OX‐A and prepro‐OX mRNA in the lateral and posterior hypothalamus,\n652\n, \n653\n and greater OX1R expression in the hypothalamus compared to males. In contrast, males exhibit higher OX1R expression in the pituitary and OX2R in the adrenal glands compared to females.\n654\n These expression patterns are hormonally regulated: gonadectomy increases pituitary OX1R in male rats (reversed by testosterone) and estradiol replacement in ovariectomized female rats produces a similar but stronger effect.\n655\n Despite these dynamic effects, long‐term hormonal manipulations do not appear to significantly alter hypothalamic OX expression.\n653\n, \n655\n In contrast, rapid, cyclical changes in prepro‐OX and receptor expression have been observed in adult females, particularly during proestrus.\n656\nOX terminals innervate gonadotropin‐releasing hormone neurons, which express OX1R and respond directly to OX by increasing gonadotropin‐releasing hormone release.\n657\n, \n658\n, \n659\n, \n660\n This supports a dual mechanism of luteinizing hormone regulation: indirectly via hypothalamic gonadotropin‐releasing hormone release and directly at the pituitary level,\n660\n particularly in females. Estradiol modulates these interactions: OXs suppress luteinizing hormone in ovariectomized rats while enhancing luteinizing hormone release in estradiol‐treated animals.\n651\n, \n661\n, \n662\n Estradiol has also been reported to suppress OX‐A activity directly,\n663\n although most OX neurons do not co‐express estrogen receptor ERα or androgen receptor, suggesting that hormonal control may occur via afferent inputs.\n664\nThese sex‐specific expression patterns are developmentally programmed as proestrus‐associated upregulation of OX genes is abolished in neonatally androgenized females.\n665\n Moreover, combined estradiol and progesterone treatment in perinatally demasculinized males mimicked the female‐like pattern, indicating that perinatal testosterone imprints the sex‐specific regulation of both OX and gonadotropin‐releasing hormone/luteinizing hormone systems, possibly through epigenetic mechanisms.\nBeyond reproductive control, OXs are involved in other sex‐specific behaviors and pathologies, such as male sexual motivation,\n664\n, \n666\n sex‐specific obesity patterns,\n667\n, \n668\n and differential stress responses, depression susceptibility, and related disorders.\n669\n, \n670\n Nonetheless, much of what is known about OX function is based on male data, leaving the female phenotype underexplored.\nUnderstanding the complex interplay among female sex hormones, orexinergic signaling, sleep disruption, and tau pathology may yield novel insights into the sex‐specific progression of AD and support the development of tailored therapeutic strategies. However, clinical data on sex differences in human OX expression remain limited, with a notable lack of mechanistic studies across the lifespan. Most available evidence derives from research on sleep disorders (with narcolepsy being a prototypical model of OX deficiency\n671\n), including neuropsychiatric and neurodegenerative conditions.\n672\nSuch sleep and mental health disorders show marked sex differences in prevalence.\n673\n, \n674\n, \n675\n Specifically, the higher incidence of insomnia, circadian sleep–wake rhythm disorders, internalizing mental health conditions, and AD in women, particularly during hormonal transitions such as puberty and menopause,\n676\n, \n677\n aligns with preclinical findings of enhanced OX expression and reactivity in females. Along with growing evidence suggesting a possible link to hyperactivation of the OX system,\n678\n, \n679\n insomnia is consistently more prevalent in women,\n680\n whereas narcolepsy appears to be more common in men.\n681\nStudies directly measuring OX‐A levels in humans, whether via post mortem brain analysis or cerebrospinal fluid sampling, have yielded inconsistent findings. Complicating matters, plasma OX‐A levels, despite being easier to access, do not correspond to the cerebrospinal fluid OX‐A concentrations.\n682\n One post mortem study of patients with major depressive disorder found increased hypothalamic and cortical OX‐A immunoreactivity in women, but not in men, as well as an absence of diurnal OX‐A regulation in cerebrospinal fluid samples collected from patients,\n670\n suggesting sex‐specific involvement of OX‐A in major depressive disorder‐related sleep and mood disruptions.\nAnother post mortem study revealed a loss of hypothalamic OX neurons and reduced cerebrospinal fluid OX‐A levels in late‐stage AD, with no significant sex effects reported.\n683\n On the other hand, when AD patients were compared to cognitively normal controls, higher cerebrospinal fluid OX‐A levels were observed in women compared to men, regardless of diagnosis.\n684\n A similar trend was reported across AD, dementia with Lewy bodies, and healthy controls, where differences in cerebrospinal fluid OX‐A levels were primarily driven by sex. Specifically, women exhibit higher and lower OX‐A cerebrospinal fluid levels in AD and in dementia with Lewy bodies, respectively.\n685\n Notably, this study suggests that sex‐specific dysfunction of the OX system may be disease dependent. Still, these interpretations should be considered with the fact that anti‐dementia treatments prescribed to patients may have affected sleep and OX neurotransmission. Conversely, some have found no sex differences in cerebrospinal fluid OX‐A levels across diagnostic groups, although OX‐A cerebrospinal fluid levels were higher in AD groups.\n686\n Likewise, higher cerebrospinal fluid OX‐A concentrations have been reported in patients with moderate‐to‐severe AD versus controls, but not in patients with mild AD, and no sex‐related differences were found.\n687\n However, a subsequent investigation revealed higher cerebrospinal fluid levels of OX‐A in patients with MCI compared to controls, again with no reported sex differences.\n688\nA more recent multicenter study involving patients with a range of neurocognitive disorders (including mild to severe AD, behavioral variant frontotemporal dementia, non‐fluent primary aphasia, and idiopathic normal pressure hydrocephalus) and elderly controls, reported higher cerebrospinal fluid OX‐A levels across most disorder groups compared to controls.\n689\n While no sex differences were detected, men in the control group exhibited higher cerebrospinal fluid OX‐A levels than women. This finding diverges from preclinical models but may reflect age‐related hormonal shifts that were not accounted for, given the mean age of > 60 years in the human control group which may diminish estradiol‐mediated modulation of OX‐A signaling.\nInterest in OX as a therapeutic target for neurodegenerative diseases, especially AD, is growing.\n673\n Enhanced OX activation in females—linked to greater stress vulnerability—may contribute to sex‐specific susceptibility to AD.\n669\n Moreover, estrogen receptors have been localized in neurons containing neurofibrillary tangles,\n690\n, \n691\n although hormone therapies have shown limited benefit in clinical trials.\n692\n Given the role of estradiol in sleep regulation\n693\n, \n694\n, \n695\n, \n696\n and the central importance of OX in the sleep–wake cycle, the intersection among estrogens, sleep, and OX signaling in AD pathophysiology, particularly in women, deserves greater attention.\nTwo recent studies using rTg4510 tauopathy mice highlight key sex differences in OX responses to pharmacological intervention.\n697\n, \n698\n Acute OX2R antagonism improves non–rapid eye movement sleep and reduces hyperarousal in male mice, but these effects are transient or absent in females despite equivalent drug exposure. Chronic treatment in males also reduces hyperphosphorylated tau levels and improves glymphatic clearance, effects that were similarly absent in females. In animal model studies, suvorexant, a dual OX receptor antagonist, increases rapid eye movement sleep in both sexes but fails to resolve hyperarousal, whereas zolpidem, a positive allosteric modulator of the GABAA receptor, shows limited impact.\n697\n, \n698\n Parallel evidence in humans shows that degeneration of subcortical wake‑promoting neurons correlates strongly with disrupted sleep phenotypes in AD and progressive supranuclear palsy patients, suggesting a mechanistic substrate for arousal dysregulation in tauopathies.\n10\n These results suggest that females may have intrinsic resistance to OX2R‐targeted therapies, potentially due to altered receptor function or divergent tau‐related circuitry. In agreement with this possibility, chronic administration of lemborexant, another dual OX receptor antagonist, improves sleep–wake cycle, reduces reactive microgliosis, and mitigates brain atrophy in male tauopathy mice.\n699\n This further underscores the therapeutic relevance of modulating OX signaling in AD models and its potential sex‐dependent effects.\nFinally, with increasing clinical interest in dual OX receptor antagonists for insomnia disorder\n700\n and their potential utility in AD,\n701\n preliminary findings suggest good tolerability in both sexes. In a large trial, suvorexant showed comparable efficacy in women and men with insomnia disorder, though adverse events were more frequently reported in women.\n702\n In a separate placebo‐controlled study in patients with mild‐to‐moderate AD and comorbid insomnia disorder, suvorexant significantly improved objective sleep measures without sex‐related differences in efficacy.\n703\n However, neither trial accounted for hormonal status or menopause/menopausal transition. Furthermore, dual OX receptor antagonists, by targeting both OX1R and OX2R, may obscure potential sex differences in receptor‐specific OX regulation and pharmacodynamics.\n682\nOverall, human evidence remains inconclusive. Existing studies are predominantly cross‐sectional, often with small sample sizes that do not incorporate hormonal profiling or stratified analyses. Longitudinal research is required to clarify whether sex modulates OX signaling across aging and neurodegeneration, and whether OX‐targeting therapies warrant sex‐specific dosing or timing.\nOX plays a major role in sleep–wake cycles, disruption of which is one of the most common occurrences throughout the course of AD. Although human studies have shown inconsistent results, it is clear that the OX system is sensitive to sex hormones and pharmacological effects of OX interventions are sex dependent. Thus, future research should establish longitudinal cohorts with serial cerebrospinal fluid OX level assessments, alongside core biomarkers of neurodegeneration (Aβ/tau), objective sleep–wake metrics (e.g., actigraphy, polysomnography), and cognitive evaluations, with adequate power for sex and hormonal subgroup analyses. Therapeutic investigations should conduct sex‐balanced randomized controlled trials of dual OX receptor antagonists, especially in older adults with cognitive complaints or early‐stage AD, including pharmacokinetic/pharmacodynamic profiling and biomarker or imaging endpoints. Measuring the potential differences in OX neurotransmission during the various physiological phases of men's and women's lives, in light of the continuous modifications of sex hormone levels, is also warranted. Finally, further emphasis should be placed on exploring the marked sex differences in the effectiveness of OX2R antagonism, specifically focusing on the sex‐dependent interactions between tau pathology and the OX system. These insights may inform the development of hypnotic treatments for tauopathy‐related neurodegenerative diseases. Notably, enhancing sleep and reducing hyperarousal after disease onset has been shown to restore cognitive function in male tau transgenic mice, even without reducing phosphorylated tau levels.\n39\n Although the mechanisms remain unclear, these findings reinforce the therapeutic potential of sleep modulation against neurodegeneration via the OX system.\n\n\n### OX system and sex hormone interactions\nAfter the discovery of two OX types, OX‐A and ‐B, and their receptors, OX1R and OX2R,\n649\n, \n650\n a separate report demonstrated that OX modulates luteinizing hormone secretion in an estrogen‐dependent manner.\n651\n In particular, the effects of OX‐A and ‐B on luteinizing hormone secretion were investigated in ovariectomized rats with or without supplementation of ovarian hormones. Intracerebroventricular administration of OX‐A and ‐B rapidly stimulated luteinizing hormone secretion in a dose‐ and time‐dependent manner in ovariectomized rats pretreated with estradiol and progesterone. Ten minutes after injection, peak plasma luteinizing hormone levels were significantly higher in OX‐A‐treated rats compared to those treated with OX‐B. Conversely, in ovariectomized rats without steroid priming, both OX‐A and ‐B suppressed luteinizing hormone secretion. Thus, OXs are part of a group of hypothalamic signaling molecules that neurochemically link reproductive function with energy homeostasis.\n651\n\n\n### OX expression and function depend on sex hormones\nIn rodents, sex differences have been reported in OX peptide expression, function, and receptor distribution across the hypothalamus, pituitary, adrenal glands, and gonads. Female rats show higher levels of OX‐A and prepro‐OX mRNA in the lateral and posterior hypothalamus,\n652\n, \n653\n and greater OX1R expression in the hypothalamus compared to males. In contrast, males exhibit higher OX1R expression in the pituitary and OX2R in the adrenal glands compared to females.\n654\n These expression patterns are hormonally regulated: gonadectomy increases pituitary OX1R in male rats (reversed by testosterone) and estradiol replacement in ovariectomized female rats produces a similar but stronger effect.\n655\n Despite these dynamic effects, long‐term hormonal manipulations do not appear to significantly alter hypothalamic OX expression.\n653\n, \n655\n In contrast, rapid, cyclical changes in prepro‐OX and receptor expression have been observed in adult females, particularly during proestrus.\n656\nOX terminals innervate gonadotropin‐releasing hormone neurons, which express OX1R and respond directly to OX by increasing gonadotropin‐releasing hormone release.\n657\n, \n658\n, \n659\n, \n660\n This supports a dual mechanism of luteinizing hormone regulation: indirectly via hypothalamic gonadotropin‐releasing hormone release and directly at the pituitary level,\n660\n particularly in females. Estradiol modulates these interactions: OXs suppress luteinizing hormone in ovariectomized rats while enhancing luteinizing hormone release in estradiol‐treated animals.\n651\n, \n661\n, \n662\n Estradiol has also been reported to suppress OX‐A activity directly,\n663\n although most OX neurons do not co‐express estrogen receptor ERα or androgen receptor, suggesting that hormonal control may occur via afferent inputs.\n664\nThese sex‐specific expression patterns are developmentally programmed as proestrus‐associated upregulation of OX genes is abolished in neonatally androgenized females.\n665\n Moreover, combined estradiol and progesterone treatment in perinatally demasculinized males mimicked the female‐like pattern, indicating that perinatal testosterone imprints the sex‐specific regulation of both OX and gonadotropin‐releasing hormone/luteinizing hormone systems, possibly through epigenetic mechanisms.\nBeyond reproductive control, OXs are involved in other sex‐specific behaviors and pathologies, such as male sexual motivation,\n664\n, \n666\n sex‐specific obesity patterns,\n667\n, \n668\n and differential stress responses, depression susceptibility, and related disorders.\n669\n, \n670\n Nonetheless, much of what is known about OX function is based on male data, leaving the female phenotype underexplored.\n\n\n### Clinical evidence of sex differences in orexinergic systems\nUnderstanding the complex interplay among female sex hormones, orexinergic signaling, sleep disruption, and tau pathology may yield novel insights into the sex‐specific progression of AD and support the development of tailored therapeutic strategies. However, clinical data on sex differences in human OX expression remain limited, with a notable lack of mechanistic studies across the lifespan. Most available evidence derives from research on sleep disorders (with narcolepsy being a prototypical model of OX deficiency\n671\n), including neuropsychiatric and neurodegenerative conditions.\n672\nSuch sleep and mental health disorders show marked sex differences in prevalence.\n673\n, \n674\n, \n675\n Specifically, the higher incidence of insomnia, circadian sleep–wake rhythm disorders, internalizing mental health conditions, and AD in women, particularly during hormonal transitions such as puberty and menopause,\n676\n, \n677\n aligns with preclinical findings of enhanced OX expression and reactivity in females. Along with growing evidence suggesting a possible link to hyperactivation of the OX system,\n678\n, \n679\n insomnia is consistently more prevalent in women,\n680\n whereas narcolepsy appears to be more common in men.\n681\nStudies directly measuring OX‐A levels in humans, whether via post mortem brain analysis or cerebrospinal fluid sampling, have yielded inconsistent findings. Complicating matters, plasma OX‐A levels, despite being easier to access, do not correspond to the cerebrospinal fluid OX‐A concentrations.\n682\n One post mortem study of patients with major depressive disorder found increased hypothalamic and cortical OX‐A immunoreactivity in women, but not in men, as well as an absence of diurnal OX‐A regulation in cerebrospinal fluid samples collected from patients,\n670\n suggesting sex‐specific involvement of OX‐A in major depressive disorder‐related sleep and mood disruptions.\nAnother post mortem study revealed a loss of hypothalamic OX neurons and reduced cerebrospinal fluid OX‐A levels in late‐stage AD, with no significant sex effects reported.\n683\n On the other hand, when AD patients were compared to cognitively normal controls, higher cerebrospinal fluid OX‐A levels were observed in women compared to men, regardless of diagnosis.\n684\n A similar trend was reported across AD, dementia with Lewy bodies, and healthy controls, where differences in cerebrospinal fluid OX‐A levels were primarily driven by sex. Specifically, women exhibit higher and lower OX‐A cerebrospinal fluid levels in AD and in dementia with Lewy bodies, respectively.\n685\n Notably, this study suggests that sex‐specific dysfunction of the OX system may be disease dependent. Still, these interpretations should be considered with the fact that anti‐dementia treatments prescribed to patients may have affected sleep and OX neurotransmission. Conversely, some have found no sex differences in cerebrospinal fluid OX‐A levels across diagnostic groups, although OX‐A cerebrospinal fluid levels were higher in AD groups.\n686\n Likewise, higher cerebrospinal fluid OX‐A concentrations have been reported in patients with moderate‐to‐severe AD versus controls, but not in patients with mild AD, and no sex‐related differences were found.\n687\n However, a subsequent investigation revealed higher cerebrospinal fluid levels of OX‐A in patients with MCI compared to controls, again with no reported sex differences.\n688\nA more recent multicenter study involving patients with a range of neurocognitive disorders (including mild to severe AD, behavioral variant frontotemporal dementia, non‐fluent primary aphasia, and idiopathic normal pressure hydrocephalus) and elderly controls, reported higher cerebrospinal fluid OX‐A levels across most disorder groups compared to controls.\n689\n While no sex differences were detected, men in the control group exhibited higher cerebrospinal fluid OX‐A levels than women. This finding diverges from preclinical models but may reflect age‐related hormonal shifts that were not accounted for, given the mean age of > 60 years in the human control group which may diminish estradiol‐mediated modulation of OX‐A signaling.\n\n\n### Considering sex in the therapeutic potential of OXs in AD\nInterest in OX as a therapeutic target for neurodegenerative diseases, especially AD, is growing.\n673\n Enhanced OX activation in females—linked to greater stress vulnerability—may contribute to sex‐specific susceptibility to AD.\n669\n Moreover, estrogen receptors have been localized in neurons containing neurofibrillary tangles,\n690\n, \n691\n although hormone therapies have shown limited benefit in clinical trials.\n692\n Given the role of estradiol in sleep regulation\n693\n, \n694\n, \n695\n, \n696\n and the central importance of OX in the sleep–wake cycle, the intersection among estrogens, sleep, and OX signaling in AD pathophysiology, particularly in women, deserves greater attention.\nTwo recent studies using rTg4510 tauopathy mice highlight key sex differences in OX responses to pharmacological intervention.\n697\n, \n698\n Acute OX2R antagonism improves non–rapid eye movement sleep and reduces hyperarousal in male mice, but these effects are transient or absent in females despite equivalent drug exposure. Chronic treatment in males also reduces hyperphosphorylated tau levels and improves glymphatic clearance, effects that were similarly absent in females. In animal model studies, suvorexant, a dual OX receptor antagonist, increases rapid eye movement sleep in both sexes but fails to resolve hyperarousal, whereas zolpidem, a positive allosteric modulator of the GABAA receptor, shows limited impact.\n697\n, \n698\n Parallel evidence in humans shows that degeneration of subcortical wake‑promoting neurons correlates strongly with disrupted sleep phenotypes in AD and progressive supranuclear palsy patients, suggesting a mechanistic substrate for arousal dysregulation in tauopathies.\n10\n These results suggest that females may have intrinsic resistance to OX2R‐targeted therapies, potentially due to altered receptor function or divergent tau‐related circuitry. In agreement with this possibility, chronic administration of lemborexant, another dual OX receptor antagonist, improves sleep–wake cycle, reduces reactive microgliosis, and mitigates brain atrophy in male tauopathy mice.\n699\n This further underscores the therapeutic relevance of modulating OX signaling in AD models and its potential sex‐dependent effects.\nFinally, with increasing clinical interest in dual OX receptor antagonists for insomnia disorder\n700\n and their potential utility in AD,\n701\n preliminary findings suggest good tolerability in both sexes. In a large trial, suvorexant showed comparable efficacy in women and men with insomnia disorder, though adverse events were more frequently reported in women.\n702\n In a separate placebo‐controlled study in patients with mild‐to‐moderate AD and comorbid insomnia disorder, suvorexant significantly improved objective sleep measures without sex‐related differences in efficacy.\n703\n However, neither trial accounted for hormonal status or menopause/menopausal transition. Furthermore, dual OX receptor antagonists, by targeting both OX1R and OX2R, may obscure potential sex differences in receptor‐specific OX regulation and pharmacodynamics.\n682\nOverall, human evidence remains inconclusive. Existing studies are predominantly cross‐sectional, often with small sample sizes that do not incorporate hormonal profiling or stratified analyses. Longitudinal research is required to clarify whether sex modulates OX signaling across aging and neurodegeneration, and whether OX‐targeting therapies warrant sex‐specific dosing or timing.\n\n\n### Future directions\nOX plays a major role in sleep–wake cycles, disruption of which is one of the most common occurrences throughout the course of AD. Although human studies have shown inconsistent results, it is clear that the OX system is sensitive to sex hormones and pharmacological effects of OX interventions are sex dependent. Thus, future research should establish longitudinal cohorts with serial cerebrospinal fluid OX level assessments, alongside core biomarkers of neurodegeneration (Aβ/tau), objective sleep–wake metrics (e.g., actigraphy, polysomnography), and cognitive evaluations, with adequate power for sex and hormonal subgroup analyses. Therapeutic investigations should conduct sex‐balanced randomized controlled trials of dual OX receptor antagonists, especially in older adults with cognitive complaints or early‐stage AD, including pharmacokinetic/pharmacodynamic profiling and biomarker or imaging endpoints. Measuring the potential differences in OX neurotransmission during the various physiological phases of men's and women's lives, in light of the continuous modifications of sex hormone levels, is also warranted. Finally, further emphasis should be placed on exploring the marked sex differences in the effectiveness of OX2R antagonism, specifically focusing on the sex‐dependent interactions between tau pathology and the OX system. These insights may inform the development of hypnotic treatments for tauopathy‐related neurodegenerative diseases. Notably, enhancing sleep and reducing hyperarousal after disease onset has been shown to restore cognitive function in male tau transgenic mice, even without reducing phosphorylated tau levels.\n39\n Although the mechanisms remain unclear, these findings reinforce the therapeutic potential of sleep modulation against neurodegeneration via the OX system.\n\n\n### DISCUSSION\nNSSs are increasingly being recognized as key players in the early stages of AD, and their dysfunction persists throughout disease progression. These systems are responsible for regulating mood, stress, social behaviors, sleep, and cognition, accumulating early, disease‐specific pathology that ultimately leads to neuronal degeneration. NSSs display varying degrees of sex differences in structure, function, and response to sex hormones. Such sex‐specific differences are generally less well explored in humans and AD but could contribute to the well‐documented sex disparities in incidence, symptom progression, and neuropathology.\nIn this review, we summarize evidence of sex differences across nine NSSs. Variability in reported sex differences across human and model systems stems, in part, from methodological gaps, including the lack of sex‐disaggregated data, underpowered samples, and failure to account for hormonal status across the lifespan. This has resulted in mixed findings, with some failing to examine sex altogether. Without consistent, sex‐informed experimental designs, the field risks overlooking critical mechanisms that shape AD vulnerability, particularly at the earliest stages of disease when mitigation strategies would be most effective. Moving forward, research on NSSs, and dementias more broadly, must systematically include sex as a biological variable, incorporate hormonal context, and report findings by sex in both human studies and animal models to resolve discrepancies in the literature. Doing so will strengthen and clarify our understanding of NSSs involvement in dementia, supporting the development of more targeted and effective interventions for both women and men. Some considerations for future studies are to determine the extent to which each one of these NSSs contribute to overlapping symptoms (e.g., AVP and OXT in social deficits, LC–NE and DRN 5‐HT in depression), the amount of cross‐talk occurring between each system (e.g., LC–NE and CRH), and the extent to which non‐primary neurotransmitters (e.g., DA release from DRN subpopulations, galanin release from the LC) play a role in disease processes.\n\n\n### CONFLICT OF INTEREST STATEMENT\nOihane Uriarte Huarte is a full‐time employee of the Alzheimer's Association. Claudio Liguori has served as a consultant and received research support from Idorsia and EISAI. The following authors serve or have served as executive committee members of the Neuromodulatory Subcortical Systems Professional Interest Area of ISTAART: Martin J. Dahl, Alexander J. Ehrenberg, Neus Falgàs, Lea Tenenholz Grinberg, Heidi I. L. Jacobs, Elouise A. Koops, Sabrina Lenzoni, Gowoon Son, and Michael A. Kelberman. The following authors serve or have served as executive committee members of the Sex and Gender Differences in Alzheimer's Disease Professional Interest Area of ISTAART: Rosaria J. Rae, Michael E. Belloy, Rachel Buckley, Jessica Z. K. Caldwell, Gillian Einstein, Megan C. Fitzhugh, Clara Gallay, Judy Pa, Mabel Seto, Shabana M. Shaik, and Shireen Sindi. All other authors have no conflicts of interest to declare. Rosaria J. Rae began employment at NeuroNexus while this manuscript was under review and during the revision process. Author disclosures are available in the supporting information.\n\n\n### Supporting information\nSupporting Information", "domain": "affective_neuroscience"}
{"source": "PMC13089363", "title": "Anhedonic Traits Do Not Impair Performance in a 3-Arm Bandit Task", "text": "# Anhedonic Traits Do Not Impair Performance in a 3-Arm Bandit Task\n\n## Abstract\nAnhedonia, a transdiagnostic symptom marked by diminished reward sensitivity, is often linked to impairments in reinforcement learning (RL). Standard tasks (e.g., the 4-arm bandit) can place substantial demands on participants and may blur valuation with other processes. We therefore adapted a three-arm bandit (3AB) task from Seymour et al. (2012), incorporating design features intended to lessen task demands (fewer options; denser feedback) while enabling separate estimation of reward and punishment learning rates and sensitivities. In an online sample pre-screened for anhedonia (N = 206; 111 anhedonic, 95 non-anhedonic), hierarchical Bayesian modelling using a four-parameter specification showed no credible group differences in reward learning rate, punishment learning rate, reward sensitivity, or punishment sensitivity; Bayes factors favoured the null (BF01 = 3.36–5.96). Model-agnostic win-stay/lose-shift strategies likewise showed no group differences (Welch’s tests, all p > .05). Posterior predictive checks indicated above-chance choice prediction: the model’s highest-probability action matched participants’ actual choices on 59.6% of trials (chance = 33%). Parameter recovery was excellent for valuation parameters (r = 0.96–0.97) and acceptable for learning rates (r = 0.67–0.85). Simulations generated from fitted parameters preserved individual-difference structure, with high correlations between observed and simulated win-stay (r = 0.89 anhedonic; 0.86 non-anhedonic) and moderate correlations for lose-shift (r = 0.62; 0.67), alongside small systematic mean-level biases (simulated win-stay lower by 3.5–4.9 percentage points; simulated lose-shift higher by 12.8–13.2 points). Model comparison showed that lapse-augmented variants achieved marginally better predictive fit, but group comparisons under both lapse models yielded overlapping posteriors with 95% HDIs including zero for all learning, sensitivity, and lapse parameters, indicating that the null findings were robust to inclusion of lapse terms. Non-anhedonic participants also responded more slowly on average than anhedonic participants, which we treat as exploratory. Together, these results suggest that in this 3AB task, anhedonia is not reliably associated with differences in core RL parameters or simple choice strategies, while providing a detailed characterisation of model performance and limitations in an online setting.\n\n## Full Text\n\n\n### 1 Introduction\nAnhedonia, classically defined as a diminished ability to experience pleasure, is a core feature of major depressive disorder (American Psychiatric Association, 2013). More recent conceptualizations extend this definition to include impairments in reward valuation and subjective responsiveness to positive stimuli (Treadway & Zald, 2011; Der-Avakian & Markou, 2012). Importantly, anhedonia is distinct from motivational deficits such as apathy or effort discounting (Husain & Roiser, 2018). Instead, it may reflect a more specific reduction in reward sensitivity—the hedonic impact or subjective value of rewarding outcomes—rather than impaired capacity to pursue them (Hall et al., 2024). As a transdiagnostic symptom, anhedonia contributes to clinical burden across multiple disorders including depression, schizophrenia, PTSD, and substance use, and is associated with poor treatment response and elevated relapse risk (Culbreth et al., 2018; Nawijn et al., 2015; Garfield et al., 2014; Winer et al., 2019).\nValidated self-report tools such as the Snaith-Hamilton Pleasure Scale (SHAPS; Snaith et al., 1995) and the Dimensional Anhedonia Rating Scale (DARS; Rizvi et al., 2015, 2016) are widely used to measure anhedonia. The DARS, in particular, captures domain-specific deficits across hobbies, social interaction, sensory experiences, and food/drink, and has demonstrated better psychometric sensitivity than SHAPS. However, the link between self-reported anhedonia and objective reward behaviour remains unclear. While some studies report that anhedonia is associated with blunted reward responsiveness or reduced learning (Kumar et al., 2008; Huys et al., 2013), others find no consistent associations (Harlé et al., 2017; Halahakoon et al., 2020; Pike & Robinson, 2022).\nReinforcement learning (RL) models allow formal estimation of latent cognitive variables that shape decision-making, including learning rates, reward sensitivity, punishment sensitivity, and decision noise (Sutton & Barto, 2018; Daw et al., 2011). Such models are increasingly used in computational psychiatry to parse affective symptoms into mechanistic components (Ahn et al., 2017; Whitton et al., 2015). However, a recent meta-analysis showed that RL differences between individuals with and without depression are modest in size and highly task-dependent (Pike & Robinson, 2022). Notably, reward sensitivity parameters—reflecting the subjective value assigned to rewarding outcomes—may be more closely tied to anhedonia than learning rate or exploration parameters (Kieslich et al., 2022). This is supported by theoretical models that separate “liking” (hedonic valuation) from “wanting” (motivational drive) in the neuroscience of reward (Treadway & Zald, 2011; Berridge & Robinson, 2003).\nMulti-armed bandit (MAB) tasks are widely used to study dynamic reward-based learning. However, standard versions like the 4-armed bandit (Daw et al., 2006) are cognitively demanding and typically only model reward, omitting losses or punishments. Here, we adapted the paradigm introduced by Seymour et al. (2012), which involves separate drifting reward and punishment values for each choice option—allowing independent estimation of reward and punishment sensitivity. Our task reduced the number of options from four to three, lowering working memory demands (from 8 expected values to 6) and making the paradigm more suitable for online deployment. We also provided outcome feedback on every trial to keep participants engaged and to increase the number of informative feedback events available for model fitting.\nWhile recent studies have adopted other 3-armed paradigms (e.g., Yan et al., 2025), our task differs in several key respects. Most notably, we included both reward and punishment outcomes to model approach and avoidance learning separately. This choice reflects evidence that depression and anhedonia often involve abnormalities in both reward and punishment processing, and that avoidance of losses can shape reward seeking in clinically relevant ways. Furthermore, we used hierarchical Bayesian modelling (Ahn et al., 2017) to estimate distinct learning rates and sensitivity parameters for reward and punishment, in contrast to Yan et al.’s use of Kalman filtering to examine latent volatility and stochasticity in relation to apathy and anxiety. This modelling framework allows us to test the hypothesis that trait anhedonia reflects reduced sensitivity to reward outcomes, rather than impaired learning or increased randomness.\nGiven our large-scale online recruitment strategy, we also anticipated deviations from canonical symptom correlations. Specifically, in online non-clinical samples, recent studies have shown that measures of anhedonia, depression, and anxiety often exhibit weaker associations than in clinical cohorts—potentially due to subclinical symptom levels or response style variability (Ho et al., 2024; Niu et al., 2024). To mitigate concerns about inattentive responding or invalid data, we used item-level attention checks across all measures and excluded participants who failed any check—consistent with best-practice guidelines for online psychiatric research (Zorowitz et al., 2023).\nIn this study, we screened 1,000 participants using SHAPS and DARS to recruit two extreme groups: individuals high vs. low in anhedonia. A total of 206 participants (111 high-anhedonia, 95 controls) completed the 3AB task. We modelled their behaviour using a hierarchical reinforcement learning framework and compared groups on both model-derived parameters (reward/punishment sensitivity, learning rates) and model-agnostic behavioural metrics. Based on existing theories and prior empirical work, we predicted that anhedonic individuals would show blunted reward sensitivity, but we made no strong predictions regarding punishment sensitivity or learning rate.\n\n\n### 2 Results\nThe 3-arm bandit (3AB) task (Figure 1a) was designed as a simplified and modified version of the traditional 4-arm bandit (4AB) task (Seymour et al., 2012). The 4AB task, while effective in modelling reward and punishment learning, entails a higher cognitive load due to the requirement to maintain reward and punishment probabilities associated with four stimuli over time. By reducing the number of choices from four to three, participants have to track only three sets of reward and punishment probabilities instead of four, simplifying the learning process while preserving reinforcement learning mechanisms. Additionally, the probabilities of encountering both reward and punishment were increased by a factor of 1.5 compared to the 4AB task (in which the probability fluctuated between 0 and 0.5; we increased the ceiling to 0.75) with the intention of creating a more engaging experience that would better highlight individual differences in learning behaviour. This structure is intended to simplify the decision-making process while maintaining sensitivity to learning impairments, particularly those related to anhedonia.\nStructure of the modified 3-Arm Bandit (3AB) Task. (a) Visual representation of the modified 3-arm bandit task. Subjects choose between three options (arms), each associated with distinct reward and punishment probabilities. (b) Any arm selection can result in one of the four possible outcomes i.e. nothing, win token (green only), loss token (red only), or both. The task was designed to reduce cognitive load compared to the traditional 4-arm bandit task by limiting the number of choices and increasing the probability of both reward and punishment outcomes across trials. Outcome probabilities of win and loss events shown in (c).\nA total of 111 participants (mean age = 40, SD = 12, 50% female) completed the initial validation study, which involved completing both the 3AB and 4AB tasks in randomized order. We applied the same hierarchical model (banditNarm_4par, i.e. 4 parameter model of reward learning rate [Arew], punishment learning rate [Apun], reward sensitivity [R], and punishment sensitivity [P]) to both datasets and evaluated the consistency of estimated parameters across tasks. As shown in Figure 2, the reward learning rate (r = 0.49, p < 10–7), punishment learning rate (r = 0.46, p < 10–6), reward sensitivity (r = 0.52, p < 10–8), and punishment sensitivity (r = 0.61, p < 10–12) each showed moderate-to-strong positive correlations between the two task formats. These findings suggest that the simplified 3AB task preserves core reinforcement learning mechanisms measured by the original 4AB task. As such, it offers a valid alternative for probing learning processes in populations where cognitive load may be a limiting factor.\nValidation of the 3AB Task: Correlational Analysis of 4AB and 3AB Model Parameters. Scatter plots illustrating the correlations between corresponding model parameters from the old 4AB task and the new 3AB task, using data from 111 subjects. Each subplot displays the Pearson correlation coefficient (r) and p-value, assessing the consistency of individual performance across reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). These plots aim to evaluate the validity of the new 3AB task by demonstrating whether similar patterns of behaviour are observed across both tasks.\nTo further assess the consistency of decision-making behaviour across tasks, we compared model-agnostic strategy use (win-stay and lose-shift percentages) between the 3AB and 4AB tasks. Figure 3 presents group-level bar plots for each strategy. Win-stay behaviour was similar across tasks (3AB: Mean = 82.0%, SD = 27.5; 4AB: Mean = 81.0%, SD = 26.6), as was lose-shift behaviour (3AB: Mean = 68.7%, SD = 22.4; 4AB: Mean = 71.7%, SD = 22.2). Crucially, subject-level scores were highly correlated across task versions, with r = 0.81, p < .001 for win-stay and r = 0.70, p < .001 for lose-shift. These findings further support the validity of the 3AB task as a consistent and reliable tool for capturing reinforcement learning behaviour.\nGroup-level mean win-stay and lose-shift percentages are shown for each task version among participants who completed both tasks (N = 111). Error bars represent standard error of the mean. Strategy use was highly similar across tasks. Win-stay behaviour averaged 82.0% (SD = 27.5) for the 3AB task and 81.0% (SD = 26.6) for the 4AB task; lose-shift behaviour averaged 68.7% (SD = 22.4) for 3AB and 71.7% (SD = 22.2) for 4AB. Individual-level behaviour was strongly correlated across tasks (win-stay: r = 0.81, p < .001; lose-shift: r = 0.70, p < .001), indicating consistent application of learning strategies across the two task structures. Error bars represent the standard error of the mean.\nFollowing the validation of the 3AB task, 1000 participants (mean age = 38, SD = 11, female = 54%) were pre-screened using a combination of the Snaith-Hamilton Pleasure Scale (SHAPS), the Dimensional Anhedonia Rating Scale (DARS), the Generalized Anxiety Disorder 7-item (GAD-7), and the Zung Self-Rating Depression Scale (ZUNG). These mood questionnaires provided a multi-faceted view of participants’ emotional and cognitive states, allowing us to distinguish between individuals with high and low hedonic capacity.\nFigure 4 presents scatter plots that illustrate the relationships between these different symptom measures in N = 935 individuals (65 participants were excluded on the basis of failing the attention check items in the four questionnaires). Specifically: DARS vs. SHAPS showed a strong negative correlation (r = –0.60), confirming that both scales effectively measure anhedonia, albeit in opposite directions (with higher scores on the SHAPS reflecting higher anhedonia and higher scores on the DARS reflecting lower anhedonia).\nScatter plots illustrating the relationships between scores on the Dimensional Anhedonia Rating Scale (DARS), Generalized Anxiety Disorder Assessment 7-item (GAD-7), Snaith-Hamilton Pleasure Scale (SHAPS), and Zung Self- Rating Depression Scale (ZUNG). Each subplot presents the Pearson correlation coefficient (r) for the respective pairwise comparisons. The data points are represented as teal circular markers, with a salmon-coloured trend line indicating the linear relationship between variables. The sample size (N = 935) is consistent across all plots, reflecting complete cases across all four questionnaire totals. These relationships highlight the varying degrees of association between measures of anhedonia, anxiety, and depression, with strong correlations observed between DARS and SHAPS, and moderate correlations between GAD and SHAPS.\nDARS vs. GAD showed a moderate negative correlation (r = –0.39), indicating that higher anxiety levels were associated with greater anhedonia. GAD vs. SHAPS showed a moderate positive correlation (r = 0.51), indicating that individuals with higher anxiety also reported greater anhedonia. ZUNG showed expected associations with the other symptom measures, correlating negatively with DARS (r = –0.57) and positively with SHAPS (r = 0.58) and GAD (r = 0.77). Together, these correlations indicate a coherent symptom structure in the pre-screening cohort, with anhedonia measures relating to depression and anxiety in the expected directions.\nSelf-report measures from the final experimental sample (N = 206) i.e. subjects who met the pre-defined criteria for anhedonic (N = 111) and non-anhedonic (N = 95) classification (SHAPS > 2 and DARS < 45 vs. SHAPS = 0 and DARS > 55) are shown in Figure 5 for clarity.\nPairwise Pearson correlations between questionnaire scores in the final task sample (N = 206). Scatter plots show individual subject data and Pearson correlation coefficients (r). Panels use pairwise-complete observations. DARS = Dimensional Anhedonia Rating Scale; SHAPS = Snaith-Hamilton Pleasure Scale; GAD = Generalized Anxiety Disorder scale; ZUNG = Zung Depression Scale.\nAs expected, the two anhedonia scales were strongly negatively correlated (DARS–SHAPS: r = –0.86), supporting construct validity. DARS also showed a moderate negative correlation with anxiety (GAD: r = –0.58). ZUNG showed expected associations with anhedonia and anxiety measures, correlating negatively with DARS (r = –0.75) and positively with SHAPS (r = 0.73) and GAD (r = 0.81). These relationships support the interpretability of subsequent analyses and indicate that symptom measures in the task-performing sample relate in the expected directions.\nTo investigate how anhedonia affects learning from rewards and punishments, we applied hierarchical Bayesian modelling to the data from the 3AB task, estimating individual learning rates and sensitivity to rewards and punishments. Parameter recovery (Figure 6) analysis confirmed that the model successfully captured key cognitive parameters for both anhedonic and non-anhedonic groups, with high correlations between original and simulated values: reward learning rate (Arew) r = 0.79–0.85, punishment learning rate (Apun) r = 0.67–0.74, reward sensitivity (R) r = 0.96–0.97, and punishment sensitivity (P) r = 0.82–0.92. This high level of recovery suggests the model’s robustness in reproducing observed data and capturing individual differences.\nParameter Recovery for Learning Rates and Sensitivity. The scatter plot displays the parameter recovery results for reward and punishment learning rates, as well as for reward and punishment sensitivity, across anhedonic and non-anhedonic groups. Each scatter plot compares the original parameters with the simulated parameters, with an accompanying trend line and Pearson correlation coefficient (r). Arew: r = 0.79 (anhedonic), r = 0.85 (non-anhedonic), Apun: r = 0.67 (anhedonic), r = 0.74 (non-anhedonic), R: r = 0.96 (anhedonic), r = 0.97 (non-anhedonic), P: r = 0.82 (anhedonic), r = 0.92 (non-anhedonic).\nThe anhedonic group exhibited numerically higher learning rates for reward (Arew: M = 0.48, SD = 0.18) but slightly lower learning rates for punishment (Apun: M = 0.34, SD = 0.14) compared to the non-anhedonic group (Arew: M = 0.45, SD = 0.20; Apun: M = 0.36, SD = 0.16). However, these differences were not statistically significant for reward (t = 1.19, p = 0.24) or punishment learning rates (t = –0.72, p = 0.48). Similarly, while the anhedonic group displayed numerically greater sensitivity to both rewards (R: M = 5.89, SD = 3.13) and punishments (P: M = 4.07, SD = 2.48) compared to the non-anhedonic group (R: M =5.53, SD = 3.45; P: M = 3.90, SD = 3.02), these differences were also not statistically significant (reward sensitivity: t = 0.77, p = 0.44; punishment sensitivity: t = 0.45, p = 0.65). Overall, the findings suggest comparable learning rates and sensitivity to rewards and punishments between the two groups, suggesting that reinforcement learning may not be impaired in anhedonia. For each model parameter, Bayesian t-tests indicated moderate-to-strong evidence in favour of the null hypothesis (BF01), suggesting no meaningful differences between the anhedonic and non-anhedonic groups. Specifically, the BF01 values were 3.36 for Reward Learning Rate, 5.14 for Punishment Learning Rate, 4.97 for Reward Sensitivity, and 5.96 for Punishment Sensitivity. These results (Table 1) provide quantitative support for the null hypothesis, reinforcing the interpretation of no significant group differences in these parameters.\nReward and Punishment Learning Parameters by Anhedonia Status.\nTo further assess group-level differences in reinforcement learning parameters, we conducted a Bayesian comparison of posterior distributions for each group-level parameter using 95% Highest Density Intervals (HDIs). Figure 7 visualizes the posterior distributions for each parameter (reward/punishment learning rate and sensitivity) in the Anhedonic and Non-Anhedonic groups. Group differences were defined as Non-Anhedonic minus Anhedonic, allowing us to interpret both the direction and uncertainty of effects. Across all parameters, the HDIs for the difference scores included zero, and posterior probability (pd) values ranged from 0.725 to 0.891, indicating insufficient evidence for reliable group-level differences. These findings align with the Bayes Factor analyses, which also provided moderate to strong support for the null hypothesis. Together, these results suggest that core reinforcement learning processes—including how participants update and weight reward and punishment information—are not meaningfully altered in individuals with anhedonia.\nPosterior Distributions and 95% Highest Density Intervals (HDIs) for Group-Level Model Parameters. Posterior densities are shown for each group-level parameter estimated via hierarchical Bayesian modelling, separately for Anhedonic and Non-Anhedonic participants. Black horizontal bars represent the 95% HDIs. Group difference scores were computed as Non-Anhedonic minus Anhedonic, such that negative values indicate higher estimates in the Anhedonic group. Across all parameters, the 95% HDIs of the group differences included zero, suggesting no credible differences between groups in learning rate or sensitivity parameters.\nAs an additional robustness check, we repeated the group comparison using lapse-augmented models. Specifically, we fit a lapse version of the four-parameter model (banditNarm_lapse; separate reward and punishment learning rates and sensitivities plus a lapse parameter) and a lapse model with a single shared learning rate (banditNarm_singleA_lapse; shared learning rate with separate reward and punishment sensitivities plus a lapse parameter). In both cases, posterior densities overlapped strongly between groups and the 95% HDIs for group differences included zero across learning, sensitivity, and lapse parameters (pd values all < 0.86), indicating that the null group findings were robust to inclusion of lapse terms. Full posterior plots and HDI summaries are provided in Supplementary (Supplementary S2; Figures S4–S5).\nIn addition to learning rates, we also examined decision-making strategies using the model-agnostic “win-stay” and “lose-shift” metrics. The win-stay strategy refers to repeating a choice after receiving a reward, while lose-shift involves changing the choice after a punishment. These strategies provide insights into how individuals adjust their behaviour based on very recent outcomes.\nFor the win-stay strategy, the anhedonic group (M = 86.64, SD = 19.70) and the non-anhedonic group (M = 80.26, SD = 25.59) showed no statistically significant difference, t = 1.38, p = 0.168. Similarly, for the lose-shift strategy, the anhedonic group (M = 70.97, SD = 18.65) and the non-anhedonic group (M = 69.31, SD = 21.99) did not differ significantly, t = 0.59, p = 0.559 (Figure 8). For the win-stay strategy, the Bayes Factor (BF01) was 2.68, indicating moderate evidence in support of the null hypothesis. Similarly, for the lose-shift strategy, the BF01 was 5.60 suggesting strong evidence in favour of the null. These Bayesian results strengthen the conclusion that there are no meaningful differences in win-stay or lose-shift strategies between anhedonic and non-anhedonic groups.\nWin-Stay and Lose-Shift Strategies Between Anhedonic and Non-Anhedonic Groups. Bar plots represent the average win-stay and lose-shift strategy adoption percentages for the anhedonic and non-anhedonic groups. Error bars represent the standard error of the mean.\nWe applied the same model-agnostic win-stay and lose-shift analysis to simulated data generated from each participant’s fitted parameters (Figure 9). Within each group, we compared simulated and real strategy rates using paired-sample t-tests. For win-stay, the anhedonic group showed 81.88% (SD = 19.02) in simulations vs 85.39% (SD = 19.88) in real data (Δ (Sim–Real) = –3.51 percentage points, t(110) = –3.97, p < .001, dz = –0.38, 95% CI [–5.26, –1.76]); the non-anhedonic group showed 76.25% (SD = 19.84) vs 81.12% (SD = 25.90) (Δ = –4.87 percentage points, t(94) = –3.55, p = .001, dz = –0.36, 95% CI [–7.59, –2.15]). For lose-shift, the anhedonic group showed 83.99% (SD = 10.66) in simulations vs 71.15% (SD = 18.65) in real data (Δ = +12.84 percentage points, t(110) = 9.25, p < .001, dz = 0.88, 95% CI [+10.09, +15.60]); the non-anhedonic group showed 82.57% (SD = 11.64) vs 69.42% (SD = 22.03) (Δ = +13.16 percentage points, t(94) = 7.72, p < .001, dz = 0.79, 95% CI [+9.77, +16.54]). Despite these mean-level calibration differences (simulations slightly underestimating win-stay and overestimating lose-shift), individual differences were preserved: Real–Sim correlations were high for win-stay (anhedonic: r = 0.89, 95% CI [0.84, 0.92]; non-anhedonic: r = 0.86, 95% CI [0.80, 0.91]) and moderate for lose-shift (anhedonic: r = 0.62, 95% CI [0.49, 0.72]; non-anhedonic: r = 0.67, 95% CI [0.55, 0.77]). These checks indicate the generator reproduces rank-order structure while exhibiting small, systematic mean-level biases.\nWin-stay and lose-shift strategy rates in real vs simulated data across groups. Bars show group means for Anhedonic and Non-Anhedonic participants with separate bars for Real (darker) and Simulated (lighter) data; error bars indicate standard error of the mean (SE). Simulations slightly underestimated win-stay (Δ (Sim–Real) ≈ –3.5 to –4.9 percentage points) and over-estimated lose-shift (Δ ≈ +12.8 to +13.2 points); paired within-group comparisons were significant (see Results). Subject-wise Real–Sim correlations were high for win-stay and moderate for lose-shift, indicating preservation of individual-difference structure.\nWe compared the model’s predicted action probabilities to the subjects’ actual choices on a trial-by-trial basis. Figure 10 illustrates the predicted action probabilities for three representative subjects across the 200 trials. The figure provides a visual comparison between model predictions and actual subject behaviour, highlighting trial-by-trial consistency between the two. This alignment between predicted probabilities and observed choices supports the model’s ability to capture the underlying decision-making processes during the task.\nPredicted Action Probabilities and Actual Choices Across Trials. Choices and modelled action probabilities for three representative subjects. Solid markers indicate actual choices made by the subjects on each trial (at y = 1), colour-coded by arm. Lines show trial-by-trial predicted probabilities generated by the hierarchical Bayesian model, with the same colour-coding.\nTo quantitatively assess the model’s predictive validity at the group level, we computed the proportion of choices accurately predicted by the model for each participant. For each trial, we identified the option with the highest predicted action probability and compared it to the participant’s actual choice. The mean prediction accuracy across the sample was 59.60% (SD = 16.73%; N = 206), substantially above chance level (33%). Figure 11 shows the distribution of prediction accuracy across subjects. This analysis provides additional evidence that the model reliably captured participants’ choice behaviour at an individual level, beyond the visual inspection of exemplar cases.\nDistribution of Model Prediction Accuracy Across Subjects. Histogram showing the distribution of model-predicted choice accuracy for each subject (N = 206). Accuracy was computed as the proportion of trials where the model’s highest predicted action probability (Pa) matched the participant’s actual choice. The vertical dashed line indicates the group mean accuracy (59.60%).\nWe next compared mean reaction times (RTs) between anhedonic and non-anhedonic participants. Using mean RT per participant across all trials, non-anhedonic individuals responded more slowly on average than anhedonic individuals (M_Anhedonic = 465.53 ms, SD = 135.33; M_Non-anhedonic = 539.62 ms, SD = 148.72; t(192.03) = –3.71, p = 2.7 × 10–4). To test whether this effect was driven by the early high-variance trials visible in the trial-wise RT plot, we repeated the analysis excluding the first 10 trials. The group difference remained very similar (trials 11–200: M_Anhedonic = 453.13 ms, SD = 136.78; M_Non-anhedonic = 524.48 ms, SD = 150.91; t(191.68) = –3.53, p = 5.2 × 10–4), and comparable results were obtained when excluding the first 15 trials (trials 16–200: t(192.19) = –3.50, p = 5.8 × 10–4). See Supplementary S1 for details.\nFinally, we explored the relationship between self-reported anhedonia, as measured by the Dimensional Anhedonia Rating Scale (DARS) and Snaith-Hamilton Pleasure Scale (SHAPS), and the computational model parameters.\nAs shown in Figure 12, comparisons between the anhedonic and non- anhedonic groups reveal no significant differences in Reward Learning Rate and Punishment Learning Rate. Given our extreme groups design, where the non-anhedonic group includes participants with minimal or zero scores on SHAPS by design, group comparisons using t-tests (Table 1) are more appropriate than correlation analyses. These tests consistently show no significant differences in Reward and Punishment Learning Rates across anhedonia levels, suggesting that participants’ ability to learn from rewards and punishments is not systematically associated with self- reported levels of anhedonia.\nGroup Comparisons of Model Parameters and Self-Reported Anhedonia Measures (DARS and SHAPS). This figure illustrates the relationship between self-reported anhedonia and computational model parameters of reward and punishment learning. Scatter plots display the distribution of scores for the two questionnaire measures—DARS (daily activity and reward engagement) and SHAPS (hedonic capacity)—in relation to four computational model parameters: Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity. Each point is colour-coded by group (anhedonic or non-anhedonic). Although correlation values are presented, these should be interpreted with caution due to the extreme groups design, which limits variability in one group and affects the generalizability of linear relationships. The figure primarily highlights that there is no strong link between subjective anhedonia group status and performance-based measures of reward and punishment processing.\nAdditionally, to examine the relationship between specific facets of anhedonia and computational parameters, we conducted exploratory correlations between the DARS subscales (Hobbies, Food/Drink, Social Interaction, and Sensory Experiences) and model parameters (Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity). The results are summarized in Table 2. While uncorrected correlation coefficients ranged from –0.12 to 0.09, none of the associations survived correction for multiple comparisons (Bonferroni- corrected p > 0.05, Table 2). These findings reinforce the absence of strong or significant relationships between specific facets of anhedonia and computational parameters.\nExploratory Correlations Between DARS Subscale Scores and Computational Model Parameters.\nConsistent with the findings from the SHAPS-DARS total scores, the computational measures derived from reward and punishment tasks may not strongly capture individual differences in anhedonia, even when examining more granular subscale scores. This suggests that self-reported anhedonia and task-based computational parameters may assess distinct facets of reward and punishment processing or that the influence of anhedonia on these parameters is minimal. Further investigations with larger samples and alternative designs may help clarify these relationships.\n\n\n### 2.1 Task Overview and Validation\nThe 3-arm bandit (3AB) task (Figure 1a) was designed as a simplified and modified version of the traditional 4-arm bandit (4AB) task (Seymour et al., 2012). The 4AB task, while effective in modelling reward and punishment learning, entails a higher cognitive load due to the requirement to maintain reward and punishment probabilities associated with four stimuli over time. By reducing the number of choices from four to three, participants have to track only three sets of reward and punishment probabilities instead of four, simplifying the learning process while preserving reinforcement learning mechanisms. Additionally, the probabilities of encountering both reward and punishment were increased by a factor of 1.5 compared to the 4AB task (in which the probability fluctuated between 0 and 0.5; we increased the ceiling to 0.75) with the intention of creating a more engaging experience that would better highlight individual differences in learning behaviour. This structure is intended to simplify the decision-making process while maintaining sensitivity to learning impairments, particularly those related to anhedonia.\nStructure of the modified 3-Arm Bandit (3AB) Task. (a) Visual representation of the modified 3-arm bandit task. Subjects choose between three options (arms), each associated with distinct reward and punishment probabilities. (b) Any arm selection can result in one of the four possible outcomes i.e. nothing, win token (green only), loss token (red only), or both. The task was designed to reduce cognitive load compared to the traditional 4-arm bandit task by limiting the number of choices and increasing the probability of both reward and punishment outcomes across trials. Outcome probabilities of win and loss events shown in (c).\nA total of 111 participants (mean age = 40, SD = 12, 50% female) completed the initial validation study, which involved completing both the 3AB and 4AB tasks in randomized order. We applied the same hierarchical model (banditNarm_4par, i.e. 4 parameter model of reward learning rate [Arew], punishment learning rate [Apun], reward sensitivity [R], and punishment sensitivity [P]) to both datasets and evaluated the consistency of estimated parameters across tasks. As shown in Figure 2, the reward learning rate (r = 0.49, p < 10–7), punishment learning rate (r = 0.46, p < 10–6), reward sensitivity (r = 0.52, p < 10–8), and punishment sensitivity (r = 0.61, p < 10–12) each showed moderate-to-strong positive correlations between the two task formats. These findings suggest that the simplified 3AB task preserves core reinforcement learning mechanisms measured by the original 4AB task. As such, it offers a valid alternative for probing learning processes in populations where cognitive load may be a limiting factor.\nValidation of the 3AB Task: Correlational Analysis of 4AB and 3AB Model Parameters. Scatter plots illustrating the correlations between corresponding model parameters from the old 4AB task and the new 3AB task, using data from 111 subjects. Each subplot displays the Pearson correlation coefficient (r) and p-value, assessing the consistency of individual performance across reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). These plots aim to evaluate the validity of the new 3AB task by demonstrating whether similar patterns of behaviour are observed across both tasks.\nTo further assess the consistency of decision-making behaviour across tasks, we compared model-agnostic strategy use (win-stay and lose-shift percentages) between the 3AB and 4AB tasks. Figure 3 presents group-level bar plots for each strategy. Win-stay behaviour was similar across tasks (3AB: Mean = 82.0%, SD = 27.5; 4AB: Mean = 81.0%, SD = 26.6), as was lose-shift behaviour (3AB: Mean = 68.7%, SD = 22.4; 4AB: Mean = 71.7%, SD = 22.2). Crucially, subject-level scores were highly correlated across task versions, with r = 0.81, p < .001 for win-stay and r = 0.70, p < .001 for lose-shift. These findings further support the validity of the 3AB task as a consistent and reliable tool for capturing reinforcement learning behaviour.\nGroup-level mean win-stay and lose-shift percentages are shown for each task version among participants who completed both tasks (N = 111). Error bars represent standard error of the mean. Strategy use was highly similar across tasks. Win-stay behaviour averaged 82.0% (SD = 27.5) for the 3AB task and 81.0% (SD = 26.6) for the 4AB task; lose-shift behaviour averaged 68.7% (SD = 22.4) for 3AB and 71.7% (SD = 22.2) for 4AB. Individual-level behaviour was strongly correlated across tasks (win-stay: r = 0.81, p < .001; lose-shift: r = 0.70, p < .001), indicating consistent application of learning strategies across the two task structures. Error bars represent the standard error of the mean.\n\n\n### 2.2 Pre-screening Results\nFollowing the validation of the 3AB task, 1000 participants (mean age = 38, SD = 11, female = 54%) were pre-screened using a combination of the Snaith-Hamilton Pleasure Scale (SHAPS), the Dimensional Anhedonia Rating Scale (DARS), the Generalized Anxiety Disorder 7-item (GAD-7), and the Zung Self-Rating Depression Scale (ZUNG). These mood questionnaires provided a multi-faceted view of participants’ emotional and cognitive states, allowing us to distinguish between individuals with high and low hedonic capacity.\nFigure 4 presents scatter plots that illustrate the relationships between these different symptom measures in N = 935 individuals (65 participants were excluded on the basis of failing the attention check items in the four questionnaires). Specifically: DARS vs. SHAPS showed a strong negative correlation (r = –0.60), confirming that both scales effectively measure anhedonia, albeit in opposite directions (with higher scores on the SHAPS reflecting higher anhedonia and higher scores on the DARS reflecting lower anhedonia).\nScatter plots illustrating the relationships between scores on the Dimensional Anhedonia Rating Scale (DARS), Generalized Anxiety Disorder Assessment 7-item (GAD-7), Snaith-Hamilton Pleasure Scale (SHAPS), and Zung Self- Rating Depression Scale (ZUNG). Each subplot presents the Pearson correlation coefficient (r) for the respective pairwise comparisons. The data points are represented as teal circular markers, with a salmon-coloured trend line indicating the linear relationship between variables. The sample size (N = 935) is consistent across all plots, reflecting complete cases across all four questionnaire totals. These relationships highlight the varying degrees of association between measures of anhedonia, anxiety, and depression, with strong correlations observed between DARS and SHAPS, and moderate correlations between GAD and SHAPS.\nDARS vs. GAD showed a moderate negative correlation (r = –0.39), indicating that higher anxiety levels were associated with greater anhedonia. GAD vs. SHAPS showed a moderate positive correlation (r = 0.51), indicating that individuals with higher anxiety also reported greater anhedonia. ZUNG showed expected associations with the other symptom measures, correlating negatively with DARS (r = –0.57) and positively with SHAPS (r = 0.58) and GAD (r = 0.77). Together, these correlations indicate a coherent symptom structure in the pre-screening cohort, with anhedonia measures relating to depression and anxiety in the expected directions.\nSelf-report measures from the final experimental sample (N = 206) i.e. subjects who met the pre-defined criteria for anhedonic (N = 111) and non-anhedonic (N = 95) classification (SHAPS > 2 and DARS < 45 vs. SHAPS = 0 and DARS > 55) are shown in Figure 5 for clarity.\nPairwise Pearson correlations between questionnaire scores in the final task sample (N = 206). Scatter plots show individual subject data and Pearson correlation coefficients (r). Panels use pairwise-complete observations. DARS = Dimensional Anhedonia Rating Scale; SHAPS = Snaith-Hamilton Pleasure Scale; GAD = Generalized Anxiety Disorder scale; ZUNG = Zung Depression Scale.\nAs expected, the two anhedonia scales were strongly negatively correlated (DARS–SHAPS: r = –0.86), supporting construct validity. DARS also showed a moderate negative correlation with anxiety (GAD: r = –0.58). ZUNG showed expected associations with anhedonia and anxiety measures, correlating negatively with DARS (r = –0.75) and positively with SHAPS (r = 0.73) and GAD (r = 0.81). These relationships support the interpretability of subsequent analyses and indicate that symptom measures in the task-performing sample relate in the expected directions.\n\n\n### 2.3 Model-Based Analysis of Learning Rates and Sensitivity\nTo investigate how anhedonia affects learning from rewards and punishments, we applied hierarchical Bayesian modelling to the data from the 3AB task, estimating individual learning rates and sensitivity to rewards and punishments. Parameter recovery (Figure 6) analysis confirmed that the model successfully captured key cognitive parameters for both anhedonic and non-anhedonic groups, with high correlations between original and simulated values: reward learning rate (Arew) r = 0.79–0.85, punishment learning rate (Apun) r = 0.67–0.74, reward sensitivity (R) r = 0.96–0.97, and punishment sensitivity (P) r = 0.82–0.92. This high level of recovery suggests the model’s robustness in reproducing observed data and capturing individual differences.\nParameter Recovery for Learning Rates and Sensitivity. The scatter plot displays the parameter recovery results for reward and punishment learning rates, as well as for reward and punishment sensitivity, across anhedonic and non-anhedonic groups. Each scatter plot compares the original parameters with the simulated parameters, with an accompanying trend line and Pearson correlation coefficient (r). Arew: r = 0.79 (anhedonic), r = 0.85 (non-anhedonic), Apun: r = 0.67 (anhedonic), r = 0.74 (non-anhedonic), R: r = 0.96 (anhedonic), r = 0.97 (non-anhedonic), P: r = 0.82 (anhedonic), r = 0.92 (non-anhedonic).\n\n\n### 2.4 Comparison of Learning Rates and Sensitivities Across Anhedonic and Non-Anhedonic Groups\nThe anhedonic group exhibited numerically higher learning rates for reward (Arew: M = 0.48, SD = 0.18) but slightly lower learning rates for punishment (Apun: M = 0.34, SD = 0.14) compared to the non-anhedonic group (Arew: M = 0.45, SD = 0.20; Apun: M = 0.36, SD = 0.16). However, these differences were not statistically significant for reward (t = 1.19, p = 0.24) or punishment learning rates (t = –0.72, p = 0.48). Similarly, while the anhedonic group displayed numerically greater sensitivity to both rewards (R: M = 5.89, SD = 3.13) and punishments (P: M = 4.07, SD = 2.48) compared to the non-anhedonic group (R: M =5.53, SD = 3.45; P: M = 3.90, SD = 3.02), these differences were also not statistically significant (reward sensitivity: t = 0.77, p = 0.44; punishment sensitivity: t = 0.45, p = 0.65). Overall, the findings suggest comparable learning rates and sensitivity to rewards and punishments between the two groups, suggesting that reinforcement learning may not be impaired in anhedonia. For each model parameter, Bayesian t-tests indicated moderate-to-strong evidence in favour of the null hypothesis (BF01), suggesting no meaningful differences between the anhedonic and non-anhedonic groups. Specifically, the BF01 values were 3.36 for Reward Learning Rate, 5.14 for Punishment Learning Rate, 4.97 for Reward Sensitivity, and 5.96 for Punishment Sensitivity. These results (Table 1) provide quantitative support for the null hypothesis, reinforcing the interpretation of no significant group differences in these parameters.\nReward and Punishment Learning Parameters by Anhedonia Status.\nTo further assess group-level differences in reinforcement learning parameters, we conducted a Bayesian comparison of posterior distributions for each group-level parameter using 95% Highest Density Intervals (HDIs). Figure 7 visualizes the posterior distributions for each parameter (reward/punishment learning rate and sensitivity) in the Anhedonic and Non-Anhedonic groups. Group differences were defined as Non-Anhedonic minus Anhedonic, allowing us to interpret both the direction and uncertainty of effects. Across all parameters, the HDIs for the difference scores included zero, and posterior probability (pd) values ranged from 0.725 to 0.891, indicating insufficient evidence for reliable group-level differences. These findings align with the Bayes Factor analyses, which also provided moderate to strong support for the null hypothesis. Together, these results suggest that core reinforcement learning processes—including how participants update and weight reward and punishment information—are not meaningfully altered in individuals with anhedonia.\nPosterior Distributions and 95% Highest Density Intervals (HDIs) for Group-Level Model Parameters. Posterior densities are shown for each group-level parameter estimated via hierarchical Bayesian modelling, separately for Anhedonic and Non-Anhedonic participants. Black horizontal bars represent the 95% HDIs. Group difference scores were computed as Non-Anhedonic minus Anhedonic, such that negative values indicate higher estimates in the Anhedonic group. Across all parameters, the 95% HDIs of the group differences included zero, suggesting no credible differences between groups in learning rate or sensitivity parameters.\nAs an additional robustness check, we repeated the group comparison using lapse-augmented models. Specifically, we fit a lapse version of the four-parameter model (banditNarm_lapse; separate reward and punishment learning rates and sensitivities plus a lapse parameter) and a lapse model with a single shared learning rate (banditNarm_singleA_lapse; shared learning rate with separate reward and punishment sensitivities plus a lapse parameter). In both cases, posterior densities overlapped strongly between groups and the 95% HDIs for group differences included zero across learning, sensitivity, and lapse parameters (pd values all < 0.86), indicating that the null group findings were robust to inclusion of lapse terms. Full posterior plots and HDI summaries are provided in Supplementary (Supplementary S2; Figures S4–S5).\n\n\n### 2.5 Win-Stay and Lose-Shift Strategy Analysis\nIn addition to learning rates, we also examined decision-making strategies using the model-agnostic “win-stay” and “lose-shift” metrics. The win-stay strategy refers to repeating a choice after receiving a reward, while lose-shift involves changing the choice after a punishment. These strategies provide insights into how individuals adjust their behaviour based on very recent outcomes.\nFor the win-stay strategy, the anhedonic group (M = 86.64, SD = 19.70) and the non-anhedonic group (M = 80.26, SD = 25.59) showed no statistically significant difference, t = 1.38, p = 0.168. Similarly, for the lose-shift strategy, the anhedonic group (M = 70.97, SD = 18.65) and the non-anhedonic group (M = 69.31, SD = 21.99) did not differ significantly, t = 0.59, p = 0.559 (Figure 8). For the win-stay strategy, the Bayes Factor (BF01) was 2.68, indicating moderate evidence in support of the null hypothesis. Similarly, for the lose-shift strategy, the BF01 was 5.60 suggesting strong evidence in favour of the null. These Bayesian results strengthen the conclusion that there are no meaningful differences in win-stay or lose-shift strategies between anhedonic and non-anhedonic groups.\nWin-Stay and Lose-Shift Strategies Between Anhedonic and Non-Anhedonic Groups. Bar plots represent the average win-stay and lose-shift strategy adoption percentages for the anhedonic and non-anhedonic groups. Error bars represent the standard error of the mean.\nWe applied the same model-agnostic win-stay and lose-shift analysis to simulated data generated from each participant’s fitted parameters (Figure 9). Within each group, we compared simulated and real strategy rates using paired-sample t-tests. For win-stay, the anhedonic group showed 81.88% (SD = 19.02) in simulations vs 85.39% (SD = 19.88) in real data (Δ (Sim–Real) = –3.51 percentage points, t(110) = –3.97, p < .001, dz = –0.38, 95% CI [–5.26, –1.76]); the non-anhedonic group showed 76.25% (SD = 19.84) vs 81.12% (SD = 25.90) (Δ = –4.87 percentage points, t(94) = –3.55, p = .001, dz = –0.36, 95% CI [–7.59, –2.15]). For lose-shift, the anhedonic group showed 83.99% (SD = 10.66) in simulations vs 71.15% (SD = 18.65) in real data (Δ = +12.84 percentage points, t(110) = 9.25, p < .001, dz = 0.88, 95% CI [+10.09, +15.60]); the non-anhedonic group showed 82.57% (SD = 11.64) vs 69.42% (SD = 22.03) (Δ = +13.16 percentage points, t(94) = 7.72, p < .001, dz = 0.79, 95% CI [+9.77, +16.54]). Despite these mean-level calibration differences (simulations slightly underestimating win-stay and overestimating lose-shift), individual differences were preserved: Real–Sim correlations were high for win-stay (anhedonic: r = 0.89, 95% CI [0.84, 0.92]; non-anhedonic: r = 0.86, 95% CI [0.80, 0.91]) and moderate for lose-shift (anhedonic: r = 0.62, 95% CI [0.49, 0.72]; non-anhedonic: r = 0.67, 95% CI [0.55, 0.77]). These checks indicate the generator reproduces rank-order structure while exhibiting small, systematic mean-level biases.\nWin-stay and lose-shift strategy rates in real vs simulated data across groups. Bars show group means for Anhedonic and Non-Anhedonic participants with separate bars for Real (darker) and Simulated (lighter) data; error bars indicate standard error of the mean (SE). Simulations slightly underestimated win-stay (Δ (Sim–Real) ≈ –3.5 to –4.9 percentage points) and over-estimated lose-shift (Δ ≈ +12.8 to +13.2 points); paired within-group comparisons were significant (see Results). Subject-wise Real–Sim correlations were high for win-stay and moderate for lose-shift, indicating preservation of individual-difference structure.\n\n\n### 2.6 Predicted Action Probabilities and Actual Choices\nWe compared the model’s predicted action probabilities to the subjects’ actual choices on a trial-by-trial basis. Figure 10 illustrates the predicted action probabilities for three representative subjects across the 200 trials. The figure provides a visual comparison between model predictions and actual subject behaviour, highlighting trial-by-trial consistency between the two. This alignment between predicted probabilities and observed choices supports the model’s ability to capture the underlying decision-making processes during the task.\nPredicted Action Probabilities and Actual Choices Across Trials. Choices and modelled action probabilities for three representative subjects. Solid markers indicate actual choices made by the subjects on each trial (at y = 1), colour-coded by arm. Lines show trial-by-trial predicted probabilities generated by the hierarchical Bayesian model, with the same colour-coding.\nTo quantitatively assess the model’s predictive validity at the group level, we computed the proportion of choices accurately predicted by the model for each participant. For each trial, we identified the option with the highest predicted action probability and compared it to the participant’s actual choice. The mean prediction accuracy across the sample was 59.60% (SD = 16.73%; N = 206), substantially above chance level (33%). Figure 11 shows the distribution of prediction accuracy across subjects. This analysis provides additional evidence that the model reliably captured participants’ choice behaviour at an individual level, beyond the visual inspection of exemplar cases.\nDistribution of Model Prediction Accuracy Across Subjects. Histogram showing the distribution of model-predicted choice accuracy for each subject (N = 206). Accuracy was computed as the proportion of trials where the model’s highest predicted action probability (Pa) matched the participant’s actual choice. The vertical dashed line indicates the group mean accuracy (59.60%).\nWe next compared mean reaction times (RTs) between anhedonic and non-anhedonic participants. Using mean RT per participant across all trials, non-anhedonic individuals responded more slowly on average than anhedonic individuals (M_Anhedonic = 465.53 ms, SD = 135.33; M_Non-anhedonic = 539.62 ms, SD = 148.72; t(192.03) = –3.71, p = 2.7 × 10–4). To test whether this effect was driven by the early high-variance trials visible in the trial-wise RT plot, we repeated the analysis excluding the first 10 trials. The group difference remained very similar (trials 11–200: M_Anhedonic = 453.13 ms, SD = 136.78; M_Non-anhedonic = 524.48 ms, SD = 150.91; t(191.68) = –3.53, p = 5.2 × 10–4), and comparable results were obtained when excluding the first 15 trials (trials 16–200: t(192.19) = –3.50, p = 5.8 × 10–4). See Supplementary S1 for details.\n\n\n### 2.7 Correlation Between Model Parameters and Self-Reported Anhedonia Measures\nFinally, we explored the relationship between self-reported anhedonia, as measured by the Dimensional Anhedonia Rating Scale (DARS) and Snaith-Hamilton Pleasure Scale (SHAPS), and the computational model parameters.\nAs shown in Figure 12, comparisons between the anhedonic and non- anhedonic groups reveal no significant differences in Reward Learning Rate and Punishment Learning Rate. Given our extreme groups design, where the non-anhedonic group includes participants with minimal or zero scores on SHAPS by design, group comparisons using t-tests (Table 1) are more appropriate than correlation analyses. These tests consistently show no significant differences in Reward and Punishment Learning Rates across anhedonia levels, suggesting that participants’ ability to learn from rewards and punishments is not systematically associated with self- reported levels of anhedonia.\nGroup Comparisons of Model Parameters and Self-Reported Anhedonia Measures (DARS and SHAPS). This figure illustrates the relationship between self-reported anhedonia and computational model parameters of reward and punishment learning. Scatter plots display the distribution of scores for the two questionnaire measures—DARS (daily activity and reward engagement) and SHAPS (hedonic capacity)—in relation to four computational model parameters: Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity. Each point is colour-coded by group (anhedonic or non-anhedonic). Although correlation values are presented, these should be interpreted with caution due to the extreme groups design, which limits variability in one group and affects the generalizability of linear relationships. The figure primarily highlights that there is no strong link between subjective anhedonia group status and performance-based measures of reward and punishment processing.\nAdditionally, to examine the relationship between specific facets of anhedonia and computational parameters, we conducted exploratory correlations between the DARS subscales (Hobbies, Food/Drink, Social Interaction, and Sensory Experiences) and model parameters (Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity). The results are summarized in Table 2. While uncorrected correlation coefficients ranged from –0.12 to 0.09, none of the associations survived correction for multiple comparisons (Bonferroni- corrected p > 0.05, Table 2). These findings reinforce the absence of strong or significant relationships between specific facets of anhedonia and computational parameters.\nExploratory Correlations Between DARS Subscale Scores and Computational Model Parameters.\nConsistent with the findings from the SHAPS-DARS total scores, the computational measures derived from reward and punishment tasks may not strongly capture individual differences in anhedonia, even when examining more granular subscale scores. This suggests that self-reported anhedonia and task-based computational parameters may assess distinct facets of reward and punishment processing or that the influence of anhedonia on these parameters is minimal. Further investigations with larger samples and alternative designs may help clarify these relationships.\n\n\n### 3 Discussion\nThe current study found no significant differences between anhedonic and non-anhedonic groups relating to any of the computational parameters assessed. Effect sizes for these comparisons were small (ranging from d = 0.06–0.16), supporting the interpretation of no meaningful group-level distinctions. Additionally, model-agnostic analyses of win-stay and lose-shift strategies showed no significant group differences. Bayes Factor analyses further provided moderate-to-strong support for the null hypothesis for each parameter in the group comparisons. These results suggest that, in contrast to our hypothesis, cognitive learning processes related to reward and punishment appear largely similar across levels of anhedonia.\nWe also observed that non-anhedonic participants had modestly slower reaction times than anhedonic participants, an effect that persisted when early trials were excluded; because this does not map directly onto a specific reinforcement-learning hypothesis and may reflect differences in caution, speed–accuracy trade-off, or task engagement rather than anhedonia per se, we treat this RT difference as exploratory and do not base our main conclusions on it.\nOur findings suggest that individuals with anhedonia are not fundamentally impaired in their ability to learn from rewards and punishments, as they performed comparably to non-anhedonic individuals on reinforcement learning tasks. This result challenges the straightforward hypothesis that anhedonia is directly caused by disruptions in reinforcement learning processes. However, an alternative explanation is that the 3AB task—and by extension, other simple RL paradigms—may not be sufficiently sensitive to detect subtle impairments in reward processing associated with anhedonia. Instead, it indicates that while the core cognitive mechanisms for reinforcement learning remain intact, the deficits associated with anhedonia may stem from how reward- and punishment-related signals are experienced, valued, or integrated into behaviour.\nThis perspective refines our understanding of anhedonia, suggesting that its origins may lie in impairments in the emotional or motivational aspects of reinforcement learning rather than a breakdown of the cognitive learning mechanisms themselves. These findings underscore the importance of distinguishing between the computational processes that underlie learning and the affective processes that shape the subjective experience of reward and punishment. Future research should investigate how disruptions in these interactions contribute to anhedonia, using multi-modal approaches to bridge the gap between behavioural performance and the underlying emotional and neurobiological mechanisms.\nReinforcement learning paradigms have been central in research into reward processing abnormalities in psychiatric conditions, such as depression and anhedonia. Unlike static reward tasks, such as the Probabilistic Reward Task (PRT), which emphasize reward bias, in dynamic bandit paradigms there is a need for continuous adaptation to changing contingencies. The present findings suggest that core reinforcement learning mechanisms are preserved in anhedonia and, as such, argue against a broad impairment in reward and punishment learning in anhedonia. Specifically, meta-analyses of reward processing in depression and mood disorders have indicated that deficits are replicable and include both reward and punishment learning deficits (Pike & Robinson, 2022; Halahakoon et al., 2020). In this regard, Halahakoon et al. (2020) have estimated that depression was associated with small to medium impairments in reinforcement learning with standardized mean difference (SMDs) of 0.352, option valuation with SMDs of 0.309, and the greatest impairment in reward bias, with an SMD of 0.644.\nMeanwhile, Pike & Robinson (2022) investigated only computational reinforcement learning models and found that for SMD = 0.107, punishment learning was higher, while the reward learning rates were somewhat lower at SMD = –0.021 among individuals with mood and anxiety disorders. However, the results also indicated significant heterogeneity among studies, which may suggest that the size of the effects could be influenced by task design, parameter estimation, and disorder severity.\nThese meta-analyses encompass reinforcement learning tasks across probabilistic choice paradigms and bandit tasks, among others, but are not confined to measures of reward bias alone, such as the PRT. Our findings extend these observations by showing intact learning mechanisms in anhedonia even in the context of a dynamic decision-making task. This suggests that anhedonia-related impairments may be more pronounced in tasks requiring effort-based decision-making or explicit reward valuation rather than trial-by-trial reinforcement learning efficiency (Treadway et al., 2009).\nBeyond meta-analyses, individual studies provide further context. Harlé et al. (2017) found that higher anhedonia was associated with reduced reward-driven choice consistency in a 2-arm bandit task, particularly among participants whose decisions were best explained by a softmax function. This reduction in reward-guided behaviour was indexed by lower inverse temperature values in their model, which reflect choice stochasticity rather than reward valuation per se. In our study, we modelled reward sensitivity (R) as a distinct parameter from decision noise, allowing us to disentangle valuation processes from choice consistency. However, their study also showed that learning rates remained intact, which agrees with our findings. Likewise, Huys et al. (2013) showed that anhedonia reduces reward sensitivity but does not affect learning rates, further reinforcing the idea that reward valuation, rather than reinforcement learning, may be impaired in anhedonia.\nPunishment learning has been suggested as one such separate reinforcement learning mechanism that is influenced by mood disorders. Aylward et al. (2019) reported that in individuals with mood and anxiety symptoms, increased punishment learning rates, indicate that negative feedback may contribute to learning more robustly in these populations. However, our study did not indicate increased punishment sensitivity in anhedonia, further supporting the notion that the reinforcement learning profiles of state anhedonia and mood/anxiety disorders are different. This distinction underlines the importance of task design, as some psychiatric populations may show heightened punishment learning, while anhedonia is perhaps better characterized by impairments in reward valuation.\nHalahakoon et al. (2020) and Kieslich et al. (2022) stressed the importance of distinguishing cognitive, emotional, and motivational components of reinforcement learning. Our findings support this perspective: belief updating and reinforcement-based learning mechanisms appear intact in anhedonia, but altered motivation and subjective reward valuation may still influence behaviour. According to Kieslich et al. (2022), impairments in reward processing associated with anhedonia may be more strongly linked to reduced reward valuation and anticipation, and less consistently linked to impairments in reinforcement learning efficiency. This could explain why tasks focused on reinforcement learning, but not reward anticipation or valuation, might not capture expected group differences.\nIn showing that anhedonic individuals do not exhibit learning deficits on this task, our findings indicate that basic reinforcement learning capabilities are intact. Instead, motivational and affective reward processing dimensions might be more central to an understanding of the impact of anhedonia on decision-making.\nThis study contributes to computational psychiatry by validating a 3AB task against the traditional 4AB, demonstrating its utility in capturing key reward and punishment learning mechanisms while reducing cognitive load. Notably, this is the first study to use both the Snaith-Hamilton Pleasure Scale (SHAPS) and the Dimensional Anhedonia Rating Scale (DARS) alongside a reinforcement learning task. The inclusion of both scales allowed for a more comprehensive exploration of anhedonia, encompassing not only general hedonic capacity but also domain-specific aspects of reward engagement across daily activities. Exploratory correlations between DARS subscales and computational model parameters provided initial insights into these domain-specific dimensions, although no associations survived correction for multiple comparisons. The task’s high parameter recovery, along with consistent results from hierarchical Bayesian modelling, supports its application in research focused on populations where cognitive load might impact performance, such as clinical settings. We also confirmed that mood and anhedonia measures in our task-performing sample showed expected directional relationships (Figure 5), suggesting that the sample’s clinical heterogeneity did not introduce inconsistencies in symptom structure that would obscure reward-processing effects.\nA sensitivity power analysis revealed that our study was adequately powered (80%) to detect medium-sized effects (d ≥ 0.39) but underpowered to reliably detect smaller effects. This indicates that while the study was well-suited to identify moderate group differences, it may have missed more subtle variations in reinforcement learning processes associated with anhedonia. Consequently, the absence of significant findings should be interpreted with caution, as smaller effects might not have been captured. Future studies should recruit larger sample sizes to improve sensitivity to small effects and refine task designs to explore subtle group differences in reward and punishment processing.\nAdditionally, the use of an online sample from Prolific, where mental health conditions may be overrepresented, presents both strengths and limitations. Prolific enables access to diverse populations, but the symptom severity and clinical profiles of participants may differ from those in formal clinical settings, where anhedonia is often more pronounced. Although we employed a SHAPS cut-off of 3 to identify clinically significant anhedonia, the self-selected nature of the sample may introduce biases. Moreover, we did not collect information about participants’ mental health history or psychiatric medication use, limiting the clinical interpretability of the findings. While the use of validated self-report measures enabled robust group stratification based on anhedonia traits, future studies should incorporate structured clinical assessments, medication history, and neurobiological measures (e.g. neuroimaging or biomarkers) to improve generalizability and provide a more comprehensive understanding of how anhedonia affects reward processing. These approaches could ultimately inform the development of more targeted interventions for mood disorders. This mirrors prior work highlighting potential dissociations between self-report and behavioural measures in psychiatric research (Eisenberg et al., 2019; Enkavi et al., 2019), and may reflect the challenge of capturing trait anhedonia through performance-based metrics alone.\nThird, relationships between self-report symptom scales in online samples can differ from those observed in clinical cohorts, particularly under extreme-groups sampling designs. In addition, SHAPS, DARS and Zung probe overlapping but non-identical constructs: SHAPS emphasises consummatory pleasure in everyday sensory and social situations (Snaith et al., 1995; Liu et al., 2012), DARS samples anticipatory, motivational and consummatory aspects across personalised domains (Rizvi et al., 2015; Wellan et al., 2021; Mittmann et al., 2025), and Zung focuses on global depressive symptomatology with only a subset of items directly indexing anhedonia (Zung, 1965; Romera et al., 2008). As a result, our anhedonic and non-anhedonic subgroups defined using SHAPS may not map cleanly onto clinically depressed versus non-depressed individuals. Our null findings regarding reward learning parameters should therefore be interpreted as applying to this particular online extreme-groups sample, rather than as definitive evidence about anhedonia in clinical populations.\nAlso, we used the SHAPS in its original binary form to enable classification based on established clinical cut-offs, aligning with our aim of testing whether the 3AB task is sensitive to clinically significant anhedonia. While scoring SHAPS on a continuous 1–4 scale can provide greater granularity in general population samples, our primary objective was to identify robust group-level differences that would be applicable to future clinical studies. Importantly, we also explored the relationship between task performance and continuous SHAPS scores across the full sample, and this analysis yielded results consistent with the group comparison approach—further supporting the conclusion that the task may not be sensitive to individual differences in anhedonia, regardless of scoring method.\nAlthough we describe the 3AB task as reducing cognitive load relative to the original Seymour et al. (2012) paradigm, we did not include a formal metric of cognitive load in this study. Instead, our rationale was heuristic and based on established features known to influence working memory and attentional demands in reinforcement learning tasks (Collins & Frank, 2012). These included reducing the number of choices (3 vs. 4), reducing the number of outcome contingencies tracked (6 vs. 8), and increasing outcome frequency. Future work should consider directly assessing cognitive load to empirically confirm whether such design changes meaningfully reduce demands in both online and clinical populations. In the smaller validation sample, participants completed both the original 4-arm bandit and the 3-arm bandit in counterbalanced order. The number of participants per order condition was too small to robustly assess higher-order interactions between task order, group, and reaction times, and we therefore did not attempt to interpret order effects on RT in that subsample.\nA further limitation concerns the punishment component of the model. In our parameter-recovery analyses, punishment learning rates were estimated with greater uncertainty than reward learning rates, and posterior predictive simulations captured empirical win–stay behaviour more closely than lose–shift tendencies. This pattern suggests that, in this three-arm implementation, punishment-driven behaviour is noisier and less well constrained by the current model, and that the task may be better suited to studying reward-related processes than to isolating avoidance or punishment mechanisms in anhedonia. In addition, although lapse-augmented models modestly improved predictive fit, we found that fitting the dual learning rate + lapse model separately in the anhedonic and non-anhedonic groups produced strongly overlapping posteriors and 95% HDIs for group differences that included zero across reward learning rate, punishment learning rate, reward sensitivity, and punishment sensitivity, indicating that the null group findings were robust to inclusion of lapse terms. This robustness extended to both lapse-augmented model families that performed best in model comparison (banditNarm_lapse and banditNarm_singleA_lapse), with 95% HDIs for group differences including zero for learning, sensitivity, and lapse parameters in both cases (see Supplementary S2). Recent work has also highlighted that additional stochastic parameter such as lapse terms can compromise the interpretability of reinforcement-learning parameters unless accompanied by dedicated model- and parameter-recovery analyses (Wilson & Collins, 2019; Eckstein et al., 2021; Aylward et al., 2019). We therefore interpret anhedonia-related group effects on reward and punishment learning and sensitivity primarily within the more parsimonious non-lapse model, and regard the lapse variants as supporting evidence that some random responding is present in this online sample. Future studies, particularly in larger and less noisy in-person samples, could profitably adopt lapse-augmented models as the primary framework, combined with comprehensive simulation-based recovery work to more fully characterise any anhedonia-related differences.\n\n\n### 3.1 Summary of Key Results\nThe current study found no significant differences between anhedonic and non-anhedonic groups relating to any of the computational parameters assessed. Effect sizes for these comparisons were small (ranging from d = 0.06–0.16), supporting the interpretation of no meaningful group-level distinctions. Additionally, model-agnostic analyses of win-stay and lose-shift strategies showed no significant group differences. Bayes Factor analyses further provided moderate-to-strong support for the null hypothesis for each parameter in the group comparisons. These results suggest that, in contrast to our hypothesis, cognitive learning processes related to reward and punishment appear largely similar across levels of anhedonia.\nWe also observed that non-anhedonic participants had modestly slower reaction times than anhedonic participants, an effect that persisted when early trials were excluded; because this does not map directly onto a specific reinforcement-learning hypothesis and may reflect differences in caution, speed–accuracy trade-off, or task engagement rather than anhedonia per se, we treat this RT difference as exploratory and do not base our main conclusions on it.\n\n\n### 3.2 Implications for Anhedonia and Cognitive Learning\nOur findings suggest that individuals with anhedonia are not fundamentally impaired in their ability to learn from rewards and punishments, as they performed comparably to non-anhedonic individuals on reinforcement learning tasks. This result challenges the straightforward hypothesis that anhedonia is directly caused by disruptions in reinforcement learning processes. However, an alternative explanation is that the 3AB task—and by extension, other simple RL paradigms—may not be sufficiently sensitive to detect subtle impairments in reward processing associated with anhedonia. Instead, it indicates that while the core cognitive mechanisms for reinforcement learning remain intact, the deficits associated with anhedonia may stem from how reward- and punishment-related signals are experienced, valued, or integrated into behaviour.\nThis perspective refines our understanding of anhedonia, suggesting that its origins may lie in impairments in the emotional or motivational aspects of reinforcement learning rather than a breakdown of the cognitive learning mechanisms themselves. These findings underscore the importance of distinguishing between the computational processes that underlie learning and the affective processes that shape the subjective experience of reward and punishment. Future research should investigate how disruptions in these interactions contribute to anhedonia, using multi-modal approaches to bridge the gap between behavioural performance and the underlying emotional and neurobiological mechanisms.\n\n\n### 3.3 Contextualizing Findings Within Existing Literature\nReinforcement learning paradigms have been central in research into reward processing abnormalities in psychiatric conditions, such as depression and anhedonia. Unlike static reward tasks, such as the Probabilistic Reward Task (PRT), which emphasize reward bias, in dynamic bandit paradigms there is a need for continuous adaptation to changing contingencies. The present findings suggest that core reinforcement learning mechanisms are preserved in anhedonia and, as such, argue against a broad impairment in reward and punishment learning in anhedonia. Specifically, meta-analyses of reward processing in depression and mood disorders have indicated that deficits are replicable and include both reward and punishment learning deficits (Pike & Robinson, 2022; Halahakoon et al., 2020). In this regard, Halahakoon et al. (2020) have estimated that depression was associated with small to medium impairments in reinforcement learning with standardized mean difference (SMDs) of 0.352, option valuation with SMDs of 0.309, and the greatest impairment in reward bias, with an SMD of 0.644.\nMeanwhile, Pike & Robinson (2022) investigated only computational reinforcement learning models and found that for SMD = 0.107, punishment learning was higher, while the reward learning rates were somewhat lower at SMD = –0.021 among individuals with mood and anxiety disorders. However, the results also indicated significant heterogeneity among studies, which may suggest that the size of the effects could be influenced by task design, parameter estimation, and disorder severity.\nThese meta-analyses encompass reinforcement learning tasks across probabilistic choice paradigms and bandit tasks, among others, but are not confined to measures of reward bias alone, such as the PRT. Our findings extend these observations by showing intact learning mechanisms in anhedonia even in the context of a dynamic decision-making task. This suggests that anhedonia-related impairments may be more pronounced in tasks requiring effort-based decision-making or explicit reward valuation rather than trial-by-trial reinforcement learning efficiency (Treadway et al., 2009).\nBeyond meta-analyses, individual studies provide further context. Harlé et al. (2017) found that higher anhedonia was associated with reduced reward-driven choice consistency in a 2-arm bandit task, particularly among participants whose decisions were best explained by a softmax function. This reduction in reward-guided behaviour was indexed by lower inverse temperature values in their model, which reflect choice stochasticity rather than reward valuation per se. In our study, we modelled reward sensitivity (R) as a distinct parameter from decision noise, allowing us to disentangle valuation processes from choice consistency. However, their study also showed that learning rates remained intact, which agrees with our findings. Likewise, Huys et al. (2013) showed that anhedonia reduces reward sensitivity but does not affect learning rates, further reinforcing the idea that reward valuation, rather than reinforcement learning, may be impaired in anhedonia.\nPunishment learning has been suggested as one such separate reinforcement learning mechanism that is influenced by mood disorders. Aylward et al. (2019) reported that in individuals with mood and anxiety symptoms, increased punishment learning rates, indicate that negative feedback may contribute to learning more robustly in these populations. However, our study did not indicate increased punishment sensitivity in anhedonia, further supporting the notion that the reinforcement learning profiles of state anhedonia and mood/anxiety disorders are different. This distinction underlines the importance of task design, as some psychiatric populations may show heightened punishment learning, while anhedonia is perhaps better characterized by impairments in reward valuation.\nHalahakoon et al. (2020) and Kieslich et al. (2022) stressed the importance of distinguishing cognitive, emotional, and motivational components of reinforcement learning. Our findings support this perspective: belief updating and reinforcement-based learning mechanisms appear intact in anhedonia, but altered motivation and subjective reward valuation may still influence behaviour. According to Kieslich et al. (2022), impairments in reward processing associated with anhedonia may be more strongly linked to reduced reward valuation and anticipation, and less consistently linked to impairments in reinforcement learning efficiency. This could explain why tasks focused on reinforcement learning, but not reward anticipation or valuation, might not capture expected group differences.\nIn showing that anhedonic individuals do not exhibit learning deficits on this task, our findings indicate that basic reinforcement learning capabilities are intact. Instead, motivational and affective reward processing dimensions might be more central to an understanding of the impact of anhedonia on decision-making.\n\n\n### 3.4 Contributions to Computational Psychiatry\nThis study contributes to computational psychiatry by validating a 3AB task against the traditional 4AB, demonstrating its utility in capturing key reward and punishment learning mechanisms while reducing cognitive load. Notably, this is the first study to use both the Snaith-Hamilton Pleasure Scale (SHAPS) and the Dimensional Anhedonia Rating Scale (DARS) alongside a reinforcement learning task. The inclusion of both scales allowed for a more comprehensive exploration of anhedonia, encompassing not only general hedonic capacity but also domain-specific aspects of reward engagement across daily activities. Exploratory correlations between DARS subscales and computational model parameters provided initial insights into these domain-specific dimensions, although no associations survived correction for multiple comparisons. The task’s high parameter recovery, along with consistent results from hierarchical Bayesian modelling, supports its application in research focused on populations where cognitive load might impact performance, such as clinical settings. We also confirmed that mood and anhedonia measures in our task-performing sample showed expected directional relationships (Figure 5), suggesting that the sample’s clinical heterogeneity did not introduce inconsistencies in symptom structure that would obscure reward-processing effects.\n\n\n### 3.5 Limitations and Future Directions\nA sensitivity power analysis revealed that our study was adequately powered (80%) to detect medium-sized effects (d ≥ 0.39) but underpowered to reliably detect smaller effects. This indicates that while the study was well-suited to identify moderate group differences, it may have missed more subtle variations in reinforcement learning processes associated with anhedonia. Consequently, the absence of significant findings should be interpreted with caution, as smaller effects might not have been captured. Future studies should recruit larger sample sizes to improve sensitivity to small effects and refine task designs to explore subtle group differences in reward and punishment processing.\nAdditionally, the use of an online sample from Prolific, where mental health conditions may be overrepresented, presents both strengths and limitations. Prolific enables access to diverse populations, but the symptom severity and clinical profiles of participants may differ from those in formal clinical settings, where anhedonia is often more pronounced. Although we employed a SHAPS cut-off of 3 to identify clinically significant anhedonia, the self-selected nature of the sample may introduce biases. Moreover, we did not collect information about participants’ mental health history or psychiatric medication use, limiting the clinical interpretability of the findings. While the use of validated self-report measures enabled robust group stratification based on anhedonia traits, future studies should incorporate structured clinical assessments, medication history, and neurobiological measures (e.g. neuroimaging or biomarkers) to improve generalizability and provide a more comprehensive understanding of how anhedonia affects reward processing. These approaches could ultimately inform the development of more targeted interventions for mood disorders. This mirrors prior work highlighting potential dissociations between self-report and behavioural measures in psychiatric research (Eisenberg et al., 2019; Enkavi et al., 2019), and may reflect the challenge of capturing trait anhedonia through performance-based metrics alone.\nThird, relationships between self-report symptom scales in online samples can differ from those observed in clinical cohorts, particularly under extreme-groups sampling designs. In addition, SHAPS, DARS and Zung probe overlapping but non-identical constructs: SHAPS emphasises consummatory pleasure in everyday sensory and social situations (Snaith et al., 1995; Liu et al., 2012), DARS samples anticipatory, motivational and consummatory aspects across personalised domains (Rizvi et al., 2015; Wellan et al., 2021; Mittmann et al., 2025), and Zung focuses on global depressive symptomatology with only a subset of items directly indexing anhedonia (Zung, 1965; Romera et al., 2008). As a result, our anhedonic and non-anhedonic subgroups defined using SHAPS may not map cleanly onto clinically depressed versus non-depressed individuals. Our null findings regarding reward learning parameters should therefore be interpreted as applying to this particular online extreme-groups sample, rather than as definitive evidence about anhedonia in clinical populations.\nAlso, we used the SHAPS in its original binary form to enable classification based on established clinical cut-offs, aligning with our aim of testing whether the 3AB task is sensitive to clinically significant anhedonia. While scoring SHAPS on a continuous 1–4 scale can provide greater granularity in general population samples, our primary objective was to identify robust group-level differences that would be applicable to future clinical studies. Importantly, we also explored the relationship between task performance and continuous SHAPS scores across the full sample, and this analysis yielded results consistent with the group comparison approach—further supporting the conclusion that the task may not be sensitive to individual differences in anhedonia, regardless of scoring method.\nAlthough we describe the 3AB task as reducing cognitive load relative to the original Seymour et al. (2012) paradigm, we did not include a formal metric of cognitive load in this study. Instead, our rationale was heuristic and based on established features known to influence working memory and attentional demands in reinforcement learning tasks (Collins & Frank, 2012). These included reducing the number of choices (3 vs. 4), reducing the number of outcome contingencies tracked (6 vs. 8), and increasing outcome frequency. Future work should consider directly assessing cognitive load to empirically confirm whether such design changes meaningfully reduce demands in both online and clinical populations. In the smaller validation sample, participants completed both the original 4-arm bandit and the 3-arm bandit in counterbalanced order. The number of participants per order condition was too small to robustly assess higher-order interactions between task order, group, and reaction times, and we therefore did not attempt to interpret order effects on RT in that subsample.\nA further limitation concerns the punishment component of the model. In our parameter-recovery analyses, punishment learning rates were estimated with greater uncertainty than reward learning rates, and posterior predictive simulations captured empirical win–stay behaviour more closely than lose–shift tendencies. This pattern suggests that, in this three-arm implementation, punishment-driven behaviour is noisier and less well constrained by the current model, and that the task may be better suited to studying reward-related processes than to isolating avoidance or punishment mechanisms in anhedonia. In addition, although lapse-augmented models modestly improved predictive fit, we found that fitting the dual learning rate + lapse model separately in the anhedonic and non-anhedonic groups produced strongly overlapping posteriors and 95% HDIs for group differences that included zero across reward learning rate, punishment learning rate, reward sensitivity, and punishment sensitivity, indicating that the null group findings were robust to inclusion of lapse terms. This robustness extended to both lapse-augmented model families that performed best in model comparison (banditNarm_lapse and banditNarm_singleA_lapse), with 95% HDIs for group differences including zero for learning, sensitivity, and lapse parameters in both cases (see Supplementary S2). Recent work has also highlighted that additional stochastic parameter such as lapse terms can compromise the interpretability of reinforcement-learning parameters unless accompanied by dedicated model- and parameter-recovery analyses (Wilson & Collins, 2019; Eckstein et al., 2021; Aylward et al., 2019). We therefore interpret anhedonia-related group effects on reward and punishment learning and sensitivity primarily within the more parsimonious non-lapse model, and regard the lapse variants as supporting evidence that some random responding is present in this online sample. Future studies, particularly in larger and less noisy in-person samples, could profitably adopt lapse-augmented models as the primary framework, combined with comprehensive simulation-based recovery work to more fully characterise any anhedonia-related differences.\n\n\n### 4 Conclusion\nThis study contributes to our understanding of anhedonia by examining how reinforcement learning processes might underpin its development. Contrary to traditional models suggesting impaired reward sensitivity, our findings indicate that the core cognitive mechanisms underlying reward and punishment learning remain intact in individuals with anhedonia.\nBayesian analysis provided support for the null hypothesis (BF01 = 3.36–5.96), with no significant group differences in learning rates or reward sensitivity. In contrast, non-anhedonic participants responded more slowly on average than anhedonic participants; because this effect does not map directly onto our reinforcement-learning hypotheses and may reflect differences in caution, speed–accuracy trade-off, or task engagement, we treat it as exploratory and do not base our main conclusions on it (see Supplementary S1 for RT analyses). These results suggest that the impairments associated with anhedonia may not arise from fundamental disruptions in reinforcement learning but could reflect impairments in how reward-related information is valued or integrated.\nThe disconnect between self-reported anhedonia and computational parameters raises important questions about the relationship between subjective experiences and behavioural performance. This highlights the need for future research to explore how emotional and motivational processes interact with reinforcement learning mechanisms to contribute to anhedonia. Integrating multi-modal approaches, such as neuroimaging and biomarkers, could provide deeper insights into the mechanisms driving anhedonia and inform the development of targeted interventions for mood disorders.\n\n\n### 5 Methods\nThe data and code required to replicate the data analyses are both available online at (https://github.com/arjun-ramaswamy/3AB_Anhedonia_study).\nWe recruited participants from Prolific (www.prolific.co). Participants had to be aged 18–60, speak English as their first language, have no language-related disorders/literacy difficulties, have no visual impairments/have no mild cognitive impairment or dementia, and be resident in the UK. Participants were reimbursed at a rate of £6 per hour, and could earn a bonus of up to an additional £3 per hour based on their performance on the task. The study had ethical approval from the University College London Research Ethics Committee (15253/001).\nTo recruit 100 participants in the anhedonic range and 100 in the non-anhedonic range, we pre-screened a total of 1,000 participants. We classified participants as anhedonic if they scored >2 on the SHAPS and ≤45 on the DARS. This DARS threshold was determined based on 1 standard deviation (SD) below the mean, as reported in the original DARS validation study (Rizvi et al., 2015). Conversely, participants were classified as non-anhedonic if they scored 0 on the SHAPS and >55 on the DARS, indicating a higher hedonic capacity. This pre-screening aimed to ensure a clear distinction between anhedonic and non-anhedonic groups for the study. While dichotomization can reduce sensitivity to dimensional effects, we selected this extreme groups approach to maximize contrast between participants with clinically significant anhedonia and those with minimal symptoms. This strategy, guided by SHAPS and DARS thresholds, allowed for interpretable comparisons of core reinforcement learning processes across distinct symptom levels. Moreover, the inclusion of both SHAPS and DARS helped address potential psychometric limitations of SHAPS alone.\nIn a prior validation study, we tested the 3AB task against the 4AB task with 100 participants in each group. From these groups, only 15 participants scored within the anhedonic range based on a SHAPS cut-off score of >2 and a DARS cut-off score of ≤45. Given this low proportion of anhedonic participants in the general population, we pre-screened a larger sample of 1,000 participants to ensure we reached our target of 100 anhedonic participants for this study. A total of 1,000 participants completed the initial pre-screening phase (mean age = 38, SD = 11, 54% female), and 206 participants who met the anhedonic and non-anhedonic cutoffs were selected to complete the final study (mean age = 39, SD = 11, 61% female). Of these, 111 participants were classified as anhedonic and 95 as non-anhedonic (Demographic information breakdown in Table 3).\nDemographics of Selected Participants (N = 206, Age = 18–60).\nParticipants completed a battery of mood-related questionnaires, including the Snaith-Hamilton Pleasure Scale (SHAPS), the Dimensional Anhedonia Rating Scale (DARS), the Generalized Anxiety Disorder Scale (GAD-7), and the Zung Self-Rating Depression Scale (ZUNG), to assess anhedonia and other related symptoms.\nThe SHAPS cut-off score of >2 was used to define anhedonia, as this is a recognized clinical threshold indicating significant deficits in hedonic capacity (Snaith et al., 1995). For the DARS, participants who scored ≤45 were classified as anhedonic. Participants who scored 0 on the SHAPS and >55 on the DARS were classified as non-anhedonic.\nIn addition to these anhedonia measures, participants completed the GAD-7, which measures anxiety, with cut-off points of 5, 10, and 15 corresponding to mild, moderate, and severe anxiety, respectively (Spitzer et al., 2006). The ZUNG was used to assess depressive symptoms, with a score of ≥50 indicating clinically significant depression (Zung, 1965). ZUNG total scores were computed from quantised item responses using standard reverse-scoring of positively worded items. These additional questionnaires provided context for understanding the broader emotional and psychological profiles of participants.\nThe SHAPS, GAD-7, and ZUNG questionnaires included an attention check item to identify inattentive responding. Where included, attention-check items were excluded from scoring and used only to identify inattentive responding. These items were chosen to be logically improbable statements, making inattentive responses easily detectable without directly signalling the check. The attention checks were as follows:\nGAD-7: “Have there been times in your life where you blinked your eyes at least once per day?”\nSHAPS: “Have there been times of a couple of days or more when you were able to breathe underwater (without an oxygen tank)?”\nZUNG: “I have never used a computer.”\nDARS: No attention check was included, as participants provided subjective responses across multiple items, ensuring engagement.\nFindings from Zorowitz et al. (2023) underscore the importance of attention checks in symptom surveys, as inattentive responses can artificially inflate correlations between self-reported symptoms and cognitive measures. In our study, any participant failing even one attention check was excluded to ensure robust data quality. This rigorous approach reduces the risk of spurious findings and enhances the reliability of observed relationships between symptom measures and task performance, providing a clearer view of the psychological profiles of anhedonic and non-anhedonic participants.\nTo complement our earlier descriptive analyses based on the full pre-screened sample (N = 935), we also examined inter-scale correlations within the subset of participants who completed the task (N = 206; 111 anhedonic, 95 non-anhedonic). This targeted analysis provides a clearer characterization of how symptoms of anhedonia, anxiety, and depression relate within the actual experimental sample. We computed Pearson correlations and p-values between all combinations of the DARS, SHAPS, GAD-7, and ZUNG scores. Results are visualized in Figure 5 and reported alongside sample sizes for transparency.\nOur 3-arm bandit task was adapted from Seymour et al. (2012)’s 4-arm probabilistic bandit paradigm, which included independent reward and punishment feedback for each choice. We made several modifications to optimize the task for online administration and support reliable modelling of approach and avoidance learning processes. First, we reduced the number of options from four to three, with the aim of simplifying decision-making and reducing cognitive load. In the original version, participants had to monitor 8 values (reward and punishment expectations across 4 options), whereas the 3-arm version only requires tracking 6 values (3 options × 2 outcome types), thus reducing working memory demands while maintaining the structure of the learning problem.\nSecond, we increased the volatility and ceiling of the drifting outcome probabilities, such that each option’s probability of producing a reward or punishment independently varied between 0 and 0.75 over time (compared to 0–0.5 in the original version). This increase was designed to ensure that participants received more frequent and informative feedback across trials.\nParticipants completed 200 trials, which took approximately 15–20 minutes. On each trial, they were shown three distinct visual options and instructed to choose one using the W, A, or S keys on their keyboard. If no response was made within 3 seconds, the trial was skipped and a reminder was shown. Chosen options were highlighted briefly before the outcome was revealed.\nEach of the three arms was associated with independently drifting reward and punishment probabilities, drawn from pre-generated sequences that were held constant across participants. Outcomes were determined stochastically on each trial according to these probabilities, such that while all participants experienced the same probability structure, the actual feedback they received varied depending on chance. This approach is common in reinforcement learning tasks and ensures equivalent task conditions while preserving trial-level variability in outcome realizations. The outcome for each trial was displayed using two circles: green for win, red for loss, and grey for the absence of outcome. Possible combinations included win-only (green + grey), loss-only (red + grey), both win and loss (green + red), or no outcome (grey + grey). We adopted this uniform visual format to avoid confounding differences in outcome salience across conditions. Participants were instructed to collect as many green tokens as possible, with bonus payment tied to the number of green tokens collected. Reaction times (RTs) were computed as the latency from stimulus onset to keypress; trials with RT < 200 ms, RT > 3000 ms, or missed responses were excluded. Full RT methods and results are provided in Supplementary S1–S2.\nTo validate whether the 3AB task captures the same learning mechanisms as the 4AB task, a pilot study was conducted with 111 participants completing both tasks in random order. The use of randomization ensured that there was no learning bias from one task to the other. Hierarchical Bayesian modelling was applied to both tasks to estimate key parameters related to learning rates and sensitivity to rewards and punishments.\nAs the task was implemented online where we could not ensure the same testing standards as we could in-person, we used 2 exclusion criteria to improve data quality. We excluded those who responded with the same response key on 20 or more consecutive trials (> 10% of all trials). Additionally, we also excluded those who did not respond on 20 or more trials out of the total 200 trials.\nTo evaluate which computational model best accounted for participants’ trial-by-trial choices, we used the Leave-One-Out Information Criterion (LOOIC), a robust Bayesian approach to estimate out-of-sample predictive accuracy (Vehtari et al., 2017). Lower LOOIC scores indicate better model fit.\nWe tested a set of hierarchical reinforcement learning models that varied in their inclusion of valence-specific learning rates (Arew, Apun), reward/punishment sensitivity parameters (R, P), and control terms such as lapse rate (xi), decay rate (d), or inverse temperature (tau). All models were fit using hierarchical priors to estimate both group-level and individual-level parameters, improving parameter stability and generalizability.\nThese same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. For interpretability, we report relative LOOIC values for the 3AB task (Figure 13), computed by subtracting the minimum LOOIC across models so that the model with a relative LOOIC of zero is the best-performing model. In the 3AB dataset, the lapse-augmented model with separate reward and punishment learning rates and sensitivities (banditNarm_lapse) achieved the lowest LOOIC. The single-learning-rate lapse model with split sensitivities (banditNarm_singleA_lapse) performed almost identically, and the four-parameter model with separate learning rates and sensitivities (banditNarm_4par) was the next best-performing non-lapse candidate. Given the practical equivalence among these top models and our focus on valence-specific learning as the primary theoretical question, we retained banditNarm_4par as our primary hypothesis-testing model, while treating the lapse variants as robustness checks and reporting the full set of model comparison results.\nModel Comparison Results Based on Relative LOOIC Values. Bars show each model’s difference in LOOIC relative to the best-fitting model (relative LOOIC = 0; lower is better). In this dataset, banditNarm_lapse achieved the lowest LOOIC, with banditNarm_singleA_lapse and banditNarm_4par performing very similarly. We retained banditNarm_4par as the primary model for hypothesis testing because it directly targets valence-specific learning and sensitivity parameters central to our anhedonia-related hypotheses, while lapse models were treated as robustness checks.\nLapse-augmented models (banditNarm_lapse, banditNarm_singleA_lapse) achieved slightly better predictive performance than the four-parameter non-lapse model, consistent with a modest degree of stimulus-independent random responding in this online sample. This pattern aligns with previous bandit work in mood and anxiety disorders, where lapse terms have been interpreted as capturing ‘trembling hand’ or unexplained choices in otherwise well-specified RL models (Aylward et al., 2019; Mkrtchian et al., 2023). However, in line with broader modelling guidelines highlighting identifiability trade-offs when adding extra noise parameters (Wilson & Collins, 2019; Eckstein et al., 2021), we treat these lapse models as complementary checks on model fit rather than as our primary framework for hypothesis testing. To confirm that our main inference was not dependent on excluding lapse terms, we fit the dual learning rate + lapse model separately in the anhedonic and non-anhedonic groups and compared posterior group differences. For reward learning rate, punishment learning rate, reward sensitivity, and punishment sensitivity, the 95% HDIs for group differences all included zero (pd ≈ 0.64–0.74), and posterior densities overlapped strongly between groups. Estimated lapse rates were low on average (anhedonic mean ξ = 0.018; non-anhedonic mean ξ = 0.033), corresponding to approximately 2–3% lapses per trial on average.\nFull posterior group-difference summaries for both lapse-augmented model families (banditNarm_lapse and banditNarm_singleA_lapse) are provided in the Supplementary Material (Supplementary S2; Figures S4–S5).\nThe final candidate model (banditNarm_4par) was adapted from Seymour et al. (2012) and previous work modelling aversive and appetitive learning. It tracks value updates for each option using separate Q-values for reward and punishment, updated independently via valence-specific learning rates.\nThe model included the following participant-level parameters:\nArew: learning rate for reward outcomes (0–1)\nApun: learning rate for punishment outcomes (0–1)\nR: sensitivity to reward magnitude (0–30)\nP: sensitivity to punishment magnitude (0–30)\nIn each trial, Q-values for rewards and punishments (Qr, Qp) are updated as follows:\nReward and punishment sensitivities enter the model by scaling the observed outcomes inside the prediction errors. For participant i, arm a and trial t, the reward and punishment prediction errors are:\nwhere ri,t(a) and ℓi,t(a) denote the reward and punishment outcomes on that trial. The corresponding Q values are then updated as:\nFictive updates are applied to the unchosen options via δficr(a)=–Qi,t(r)(a)\\documentclass[10pt]{article}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\usepackage{pmc}\n\\usepackage[Euler]{upgreek}\n\\pagestyle{empty}\n\\oddsidemargin -1.0in\n\\begin{document}\n\\[\\delta _{fic}^{r}\\left({\\rm a}\\right)=-Q_{{\\rm i},{\\rm t}}^{\\left({\\rm r}\\right)}\\left({\\rm a}\\right)\\]\n\\end{document} and δficp(a)=–Qi,t(p)(a)\\documentclass[10pt]{article}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\usepackage{pmc}\n\\usepackage[Euler]{upgreek}\n\\pagestyle{empty}\n\\oddsidemargin -1.0in\n\\begin{document}\n\\[\\delta _{fic}^{p}\\left({\\rm a}\\right)=-Q_{{\\rm i},{\\rm t}}^{\\left({\\rm p}\\right)}\\left({\\rm a}\\right)\\]\n\\end{document}, which produces gradual decay of unchosen values. Choices are generated from a softmax over the sum of reward and punishment values:\nWe chose to scale outcomes via R and P rather than include a separate inverse temperature parameter, to keep valuation and decision noise distinct and to avoid strong collinearity between these terms. Full Stan code for this model and all alternatives are provided in Supplementary.\nAlthough some models tested included an additional inverse temperature parameter or a lapse rate, we opted to scale the Q-values directly via R and P rather than include a separate temperature term. This avoids overparameterization and ensures clear interpretation of reward and punishment valuation, which were the focus of our hypotheses. Model comparison indicated that several candidate models achieved very similar predictive performance; we therefore retained banditNarm_4par as our primary hypothesis-testing model for interpretability and theoretical focus.\nWe used weakly informative priors for all group-level parameters to support stable estimation without imposing strong assumptions. Specifically, the group-level means (mu_pr) were drawn from a standard normal distribution (N(0,1)), and the standard deviations (sigma) from a half-normal prior N+(0,0.2), consistent with prior literature on hierarchical reinforcement learning models (e.g., Ahn et al., 2017; Wiecki et al., 2013). Subject-level parameters were then transformed via the probit (Φ) function to ensure appropriate bounds for each parameter (e.g., [0,1] for learning rates; [0,30] for sensitivities). These choices are consistent with standard practice in hierarchical Bayesian modelling for cognitive tasks and were not intended to encode strong prior beliefs.\nIn addition to the four-parameter model (banditNarm_4par; separate reward and punishment learning rates Arew, Apun and sensitivities R, P), we fit several alternative model families based on the N arm bandit implementations in hBayesDM. These included:\nlapse models (banditNarm_lapse, banditNarm_lapse_decay, banditNarm_2par_lapse), which use the same value updates but introduce a lapse parameter ξ to mix softmax choice probabilities with a uniform random policy (with banditNarm_lapse_decay additionally including a decay term);\nsingle learning rate models (banditNarm_delta, banditNarm_singleA_lapse), in which reward and punishment share a common learning rate A while either using a classical inverse temperature parameter in the softmax (banditNarm_delta) or retaining separate sensitivities R and P with a lapse parameter ξ (banditNarm_singleA_lapse); and\na Kalman filter model (banditNarm_kalman_filter), which tracks option values and their uncertainty with parameters governing mean reversion (λ, θ), diffusion variance (sD) and initial uncertainty (s0), together with an inverse temperature β in the softmax decision rule.\nA detailed summary of all models and parameters is given in Table 4, and full Stan code is provided in the Supplementary. A total of seven models were tested (Figure 13), spanning Rescorla–Wagner variants and models with additional lapse, decay, or Kalman filter components (Table 4).\nModel Variants Tested. Comparison of reinforcement learning models tested on the 3-arm bandit task. Each model varies in included parameters and computational assumptions. Arew = reward learning rate; Apun = punishment learning rate; A = shared learning rate; R = reward sensitivity; P = punishment sensitivity; ξ = lapse parameter (choice noise); τ = inverse temperature (softmax); β = inverse temperature/precision parameter in the choice rule; λ, θ, s0, sD = Kalman filter parameters governing mean reversion and uncertainty dynamics (see Supplementary for full definitions); decay = Q-value decay rate.\nIn the lapse models (banditNarm_lapse, banditNarm_singleA_lapse), a subject-specific lapse parameter ξ mixes the softmax policy over option values with a uniform random policy, capturing stimulus-independent lapses that are expected in online samples. Although such terms can improve predictive performance by absorbing random or unmodelled choices, recent tutorials emphasise that adding extra stochastic parameters can make it harder to uniquely interpret the remaining learning and sensitivity parameters, and that these richer models require careful simulation-based model and parameter-recovery analyses to assess identifiability (Wilson & Collins, 2019; Eckstein et al., 2021). In the present study we therefore used lapse-augmented models primarily for model comparison and posterior predictive checks, and based our group-level inferences about reward and punishment learning and sensitivity parameters on the corresponding non-lapse models, where recovery was adequate.\nWe implemented the candidate model in a hierarchical Bayesian framework using MCMC sampling in Stan (2,000 iterations, 1,000 warmups, 4 chains), which estimated both individual and group-level parameters. We initially fit the hierarchical model jointly across all participants to estimate shared group-level parameters. As this analysis revealed no significant group differences, we then fit the model separately for the anhedonic and non-anhedonic groups to allow for distinct group-level priors and posterior distributions. Both approaches yielded comparable results, supporting the robustness of our findings across model-fitting strategies. The group-level parameters for learning rates and sensitivities were modelled as normally distributed, with learning rates and sensitivities constrained by an inverse probit transformation to lie within [0,1] and [0,30], respectively. Model fit was assessed via log-likelihood of observed choices, with posterior predictive checks to confirm that the model reproduced observed choice behaviour. Convergence diagnostics, such as the Gelman-Rubin statistic, verified adequate parameter convergence.\nTo assess the predictive validity of the hierarchical Bayesian model, we compared model-generated action probabilities to participants’ actual choices on each trial. For each participant and trial, we computed the predicted probability of selecting each of the three arms, based on the posterior samples of individual parameter estimates. The predicted choice was defined as the arm with the highest predicted probability.\nWe calculated per-subject prediction accuracy as the proportion of trials (out of 200) in which the model’s top-predicted action matched the participant’s actual choice. This provided an intuitive index of how well the model reproduced observed behaviour. Accuracy scores were then summarized across subjects to yield a group-level distribution, which we visualized in a histogram (see Figure 11). The average accuracy across the sample was 59.60% (SD = 16.73%), substantially above the chance level of 33%.\nIn addition, we plotted trial-by-trial predicted probabilities alongside actual choices for three representative participants (see Figure 10). This visual comparison further illustrates the model’s ability to capture individual decision dynamics throughout the task.\nTo validate model parameters, we simulated 200 trials per subject in a 3-armed bandit structure. Choices were generated based on each participant’s estimated parameters (Arew, Apun, R, P), using the softmax function to determine probabilities of selecting each option. Outcomes were sampled based on predefined reward and punishment probabilities, and Q-values were updated accordingly. For unchosen options, Q-values were updated using counterfactual updates, where no reward or punishment (i.e., an outcome of zero) was assumed. This approach reflects implicit learning effects, capturing how participants might adjust expectations for unselected options even in the absence of observed outcomes. By incorporating these updates in the simulation, we ensured consistency with the assumptions of our hierarchical Bayesian model.\nWe performed parameter recovery to validate model accuracy by generating simulated data based on original model parameters and fitting the model again to this data. Comparing recovered parameters with original parameters allowed us to evaluate the accuracy of estimates for reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). The hierarchical Bayesian model fit was repeated using MCMC sampling in the hBayesDM package, with the posterior distributions providing reliable estimates of individual differences. Convergence diagnostics and posterior predictive checks further confirmed model validity.\nTo assess participants’ decision-making, we examined two common behavioural patterns: win-stay and lose-shift. A win-stay strategy occurs when participants repeat a choice following a reward, while a lose-shift strategy occurs when they switch choices after a punishment. For each participant, we extracted trial-by-trial choices and outcomes. Win-stay instances were defined as trials where a participant received a reward on the previous trial and repeated the same choice. Lose-shift instances were trials where a participant received a punishment and chose a different option on the following trial. The percentage of win-stay and lose-shift strategies was calculated by dividing the relevant instances by the total opportunities for each strategy, then multiplying by 100. We report the mean and standard error of these percentages across participants, presented in a bar plot with error bars indicating the standard error. This analysis offers a model- agnostic perspective on the prevalence of win-stay and lose-shift strategies in decision-making.\nTo further assess the evidence for no difference between the anhedonic and non-anhedonic groups, a Bayesian independent samples t-test was conducted for each model parameter (Arew, Apun, R and P). Bayes factors (BF10 and BF01) were calculated using the BayesFactor package in R, with BF01 representing the evidence in favour of the null hypothesis relative to the alternative hypothesis.\nIn addition to frequentist and Bayes Factor comparisons, we estimated the difference in group-level posterior means for each computational parameter (Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity) using 95% Highest Density Intervals (HDIs). For each parameter, we extracted the group-level posterior samples (mu parameters) for the Anhedonic and Non-Anhedonic groups from the hierarchical Bayesian model. These samples were used to compute the posterior distribution of the difference (Non-Anhedonic – Anhedonic). HDIs were computed using the HPDinterval function from the coda package in R, which identifies the narrowest interval containing 95% of the posterior mass. We also calculated the probability of direction (pd), defined as the proportion of posterior samples falling consistently above or below zero. Differences for which the 95% HDI excluded zero were considered credibly different across groups. Posterior densities and intervals were visualized using the tidybayes and ggplot2 packages, with separate panels for each parameter. These analyses provide a Bayesian alternative to frequentist t-tests and complement the Bayes Factor approach.\nGenerative AI (ChatGPT, OpenAI) was used solely for manuscript refinement, including copyediting and language polishing. All scientific content, study design, data analysis, and interpretation were developed by the authors, with AI assistance limited to improving clarity and readability without altering the narrative or conclusions.\n\n\n### 5.1 Participants\nWe recruited participants from Prolific (www.prolific.co). Participants had to be aged 18–60, speak English as their first language, have no language-related disorders/literacy difficulties, have no visual impairments/have no mild cognitive impairment or dementia, and be resident in the UK. Participants were reimbursed at a rate of £6 per hour, and could earn a bonus of up to an additional £3 per hour based on their performance on the task. The study had ethical approval from the University College London Research Ethics Committee (15253/001).\nTo recruit 100 participants in the anhedonic range and 100 in the non-anhedonic range, we pre-screened a total of 1,000 participants. We classified participants as anhedonic if they scored >2 on the SHAPS and ≤45 on the DARS. This DARS threshold was determined based on 1 standard deviation (SD) below the mean, as reported in the original DARS validation study (Rizvi et al., 2015). Conversely, participants were classified as non-anhedonic if they scored 0 on the SHAPS and >55 on the DARS, indicating a higher hedonic capacity. This pre-screening aimed to ensure a clear distinction between anhedonic and non-anhedonic groups for the study. While dichotomization can reduce sensitivity to dimensional effects, we selected this extreme groups approach to maximize contrast between participants with clinically significant anhedonia and those with minimal symptoms. This strategy, guided by SHAPS and DARS thresholds, allowed for interpretable comparisons of core reinforcement learning processes across distinct symptom levels. Moreover, the inclusion of both SHAPS and DARS helped address potential psychometric limitations of SHAPS alone.\nIn a prior validation study, we tested the 3AB task against the 4AB task with 100 participants in each group. From these groups, only 15 participants scored within the anhedonic range based on a SHAPS cut-off score of >2 and a DARS cut-off score of ≤45. Given this low proportion of anhedonic participants in the general population, we pre-screened a larger sample of 1,000 participants to ensure we reached our target of 100 anhedonic participants for this study. A total of 1,000 participants completed the initial pre-screening phase (mean age = 38, SD = 11, 54% female), and 206 participants who met the anhedonic and non-anhedonic cutoffs were selected to complete the final study (mean age = 39, SD = 11, 61% female). Of these, 111 participants were classified as anhedonic and 95 as non-anhedonic (Demographic information breakdown in Table 3).\nDemographics of Selected Participants (N = 206, Age = 18–60).\n\n\n### 5.2 Mood Questionnaires\nParticipants completed a battery of mood-related questionnaires, including the Snaith-Hamilton Pleasure Scale (SHAPS), the Dimensional Anhedonia Rating Scale (DARS), the Generalized Anxiety Disorder Scale (GAD-7), and the Zung Self-Rating Depression Scale (ZUNG), to assess anhedonia and other related symptoms.\nThe SHAPS cut-off score of >2 was used to define anhedonia, as this is a recognized clinical threshold indicating significant deficits in hedonic capacity (Snaith et al., 1995). For the DARS, participants who scored ≤45 were classified as anhedonic. Participants who scored 0 on the SHAPS and >55 on the DARS were classified as non-anhedonic.\nIn addition to these anhedonia measures, participants completed the GAD-7, which measures anxiety, with cut-off points of 5, 10, and 15 corresponding to mild, moderate, and severe anxiety, respectively (Spitzer et al., 2006). The ZUNG was used to assess depressive symptoms, with a score of ≥50 indicating clinically significant depression (Zung, 1965). ZUNG total scores were computed from quantised item responses using standard reverse-scoring of positively worded items. These additional questionnaires provided context for understanding the broader emotional and psychological profiles of participants.\nThe SHAPS, GAD-7, and ZUNG questionnaires included an attention check item to identify inattentive responding. Where included, attention-check items were excluded from scoring and used only to identify inattentive responding. These items were chosen to be logically improbable statements, making inattentive responses easily detectable without directly signalling the check. The attention checks were as follows:\nGAD-7: “Have there been times in your life where you blinked your eyes at least once per day?”\nSHAPS: “Have there been times of a couple of days or more when you were able to breathe underwater (without an oxygen tank)?”\nZUNG: “I have never used a computer.”\nDARS: No attention check was included, as participants provided subjective responses across multiple items, ensuring engagement.\nFindings from Zorowitz et al. (2023) underscore the importance of attention checks in symptom surveys, as inattentive responses can artificially inflate correlations between self-reported symptoms and cognitive measures. In our study, any participant failing even one attention check was excluded to ensure robust data quality. This rigorous approach reduces the risk of spurious findings and enhances the reliability of observed relationships between symptom measures and task performance, providing a clearer view of the psychological profiles of anhedonic and non-anhedonic participants.\nTo complement our earlier descriptive analyses based on the full pre-screened sample (N = 935), we also examined inter-scale correlations within the subset of participants who completed the task (N = 206; 111 anhedonic, 95 non-anhedonic). This targeted analysis provides a clearer characterization of how symptoms of anhedonia, anxiety, and depression relate within the actual experimental sample. We computed Pearson correlations and p-values between all combinations of the DARS, SHAPS, GAD-7, and ZUNG scores. Results are visualized in Figure 5 and reported alongside sample sizes for transparency.\n\n\n### 5.3 The 3-armed bandit reinforcement learning task\nOur 3-arm bandit task was adapted from Seymour et al. (2012)’s 4-arm probabilistic bandit paradigm, which included independent reward and punishment feedback for each choice. We made several modifications to optimize the task for online administration and support reliable modelling of approach and avoidance learning processes. First, we reduced the number of options from four to three, with the aim of simplifying decision-making and reducing cognitive load. In the original version, participants had to monitor 8 values (reward and punishment expectations across 4 options), whereas the 3-arm version only requires tracking 6 values (3 options × 2 outcome types), thus reducing working memory demands while maintaining the structure of the learning problem.\nSecond, we increased the volatility and ceiling of the drifting outcome probabilities, such that each option’s probability of producing a reward or punishment independently varied between 0 and 0.75 over time (compared to 0–0.5 in the original version). This increase was designed to ensure that participants received more frequent and informative feedback across trials.\nParticipants completed 200 trials, which took approximately 15–20 minutes. On each trial, they were shown three distinct visual options and instructed to choose one using the W, A, or S keys on their keyboard. If no response was made within 3 seconds, the trial was skipped and a reminder was shown. Chosen options were highlighted briefly before the outcome was revealed.\nEach of the three arms was associated with independently drifting reward and punishment probabilities, drawn from pre-generated sequences that were held constant across participants. Outcomes were determined stochastically on each trial according to these probabilities, such that while all participants experienced the same probability structure, the actual feedback they received varied depending on chance. This approach is common in reinforcement learning tasks and ensures equivalent task conditions while preserving trial-level variability in outcome realizations. The outcome for each trial was displayed using two circles: green for win, red for loss, and grey for the absence of outcome. Possible combinations included win-only (green + grey), loss-only (red + grey), both win and loss (green + red), or no outcome (grey + grey). We adopted this uniform visual format to avoid confounding differences in outcome salience across conditions. Participants were instructed to collect as many green tokens as possible, with bonus payment tied to the number of green tokens collected. Reaction times (RTs) were computed as the latency from stimulus onset to keypress; trials with RT < 200 ms, RT > 3000 ms, or missed responses were excluded. Full RT methods and results are provided in Supplementary S1–S2.\n\n\n### 5.4 Task Validation with original 4-arm Bandit Task\nTo validate whether the 3AB task captures the same learning mechanisms as the 4AB task, a pilot study was conducted with 111 participants completing both tasks in random order. The use of randomization ensured that there was no learning bias from one task to the other. Hierarchical Bayesian modelling was applied to both tasks to estimate key parameters related to learning rates and sensitivity to rewards and punishments.\n\n\n### 5.5 Data cleaning\nAs the task was implemented online where we could not ensure the same testing standards as we could in-person, we used 2 exclusion criteria to improve data quality. We excluded those who responded with the same response key on 20 or more consecutive trials (> 10% of all trials). Additionally, we also excluded those who did not respond on 20 or more trials out of the total 200 trials.\n\n\n### 5.6 Computational Modelling using Hierarchical Bayesian Approach\nTo evaluate which computational model best accounted for participants’ trial-by-trial choices, we used the Leave-One-Out Information Criterion (LOOIC), a robust Bayesian approach to estimate out-of-sample predictive accuracy (Vehtari et al., 2017). Lower LOOIC scores indicate better model fit.\nWe tested a set of hierarchical reinforcement learning models that varied in their inclusion of valence-specific learning rates (Arew, Apun), reward/punishment sensitivity parameters (R, P), and control terms such as lapse rate (xi), decay rate (d), or inverse temperature (tau). All models were fit using hierarchical priors to estimate both group-level and individual-level parameters, improving parameter stability and generalizability.\nThese same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. For interpretability, we report relative LOOIC values for the 3AB task (Figure 13), computed by subtracting the minimum LOOIC across models so that the model with a relative LOOIC of zero is the best-performing model. In the 3AB dataset, the lapse-augmented model with separate reward and punishment learning rates and sensitivities (banditNarm_lapse) achieved the lowest LOOIC. The single-learning-rate lapse model with split sensitivities (banditNarm_singleA_lapse) performed almost identically, and the four-parameter model with separate learning rates and sensitivities (banditNarm_4par) was the next best-performing non-lapse candidate. Given the practical equivalence among these top models and our focus on valence-specific learning as the primary theoretical question, we retained banditNarm_4par as our primary hypothesis-testing model, while treating the lapse variants as robustness checks and reporting the full set of model comparison results.\nModel Comparison Results Based on Relative LOOIC Values. Bars show each model’s difference in LOOIC relative to the best-fitting model (relative LOOIC = 0; lower is better). In this dataset, banditNarm_lapse achieved the lowest LOOIC, with banditNarm_singleA_lapse and banditNarm_4par performing very similarly. We retained banditNarm_4par as the primary model for hypothesis testing because it directly targets valence-specific learning and sensitivity parameters central to our anhedonia-related hypotheses, while lapse models were treated as robustness checks.\nLapse-augmented models (banditNarm_lapse, banditNarm_singleA_lapse) achieved slightly better predictive performance than the four-parameter non-lapse model, consistent with a modest degree of stimulus-independent random responding in this online sample. This pattern aligns with previous bandit work in mood and anxiety disorders, where lapse terms have been interpreted as capturing ‘trembling hand’ or unexplained choices in otherwise well-specified RL models (Aylward et al., 2019; Mkrtchian et al., 2023). However, in line with broader modelling guidelines highlighting identifiability trade-offs when adding extra noise parameters (Wilson & Collins, 2019; Eckstein et al., 2021), we treat these lapse models as complementary checks on model fit rather than as our primary framework for hypothesis testing. To confirm that our main inference was not dependent on excluding lapse terms, we fit the dual learning rate + lapse model separately in the anhedonic and non-anhedonic groups and compared posterior group differences. For reward learning rate, punishment learning rate, reward sensitivity, and punishment sensitivity, the 95% HDIs for group differences all included zero (pd ≈ 0.64–0.74), and posterior densities overlapped strongly between groups. Estimated lapse rates were low on average (anhedonic mean ξ = 0.018; non-anhedonic mean ξ = 0.033), corresponding to approximately 2–3% lapses per trial on average.\nFull posterior group-difference summaries for both lapse-augmented model families (banditNarm_lapse and banditNarm_singleA_lapse) are provided in the Supplementary Material (Supplementary S2; Figures S4–S5).\nThe final candidate model (banditNarm_4par) was adapted from Seymour et al. (2012) and previous work modelling aversive and appetitive learning. It tracks value updates for each option using separate Q-values for reward and punishment, updated independently via valence-specific learning rates.\nThe model included the following participant-level parameters:\nArew: learning rate for reward outcomes (0–1)\nApun: learning rate for punishment outcomes (0–1)\nR: sensitivity to reward magnitude (0–30)\nP: sensitivity to punishment magnitude (0–30)\nIn each trial, Q-values for rewards and punishments (Qr, Qp) are updated as follows:\nReward and punishment sensitivities enter the model by scaling the observed outcomes inside the prediction errors. For participant i, arm a and trial t, the reward and punishment prediction errors are:\nwhere ri,t(a) and ℓi,t(a) denote the reward and punishment outcomes on that trial. The corresponding Q values are then updated as:\nFictive updates are applied to the unchosen options via δficr(a)=–Qi,t(r)(a)\\documentclass[10pt]{article}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\usepackage{pmc}\n\\usepackage[Euler]{upgreek}\n\\pagestyle{empty}\n\\oddsidemargin -1.0in\n\\begin{document}\n\\[\\delta _{fic}^{r}\\left({\\rm a}\\right)=-Q_{{\\rm i},{\\rm t}}^{\\left({\\rm r}\\right)}\\left({\\rm a}\\right)\\]\n\\end{document} and δficp(a)=–Qi,t(p)(a)\\documentclass[10pt]{article}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\usepackage{pmc}\n\\usepackage[Euler]{upgreek}\n\\pagestyle{empty}\n\\oddsidemargin -1.0in\n\\begin{document}\n\\[\\delta _{fic}^{p}\\left({\\rm a}\\right)=-Q_{{\\rm i},{\\rm t}}^{\\left({\\rm p}\\right)}\\left({\\rm a}\\right)\\]\n\\end{document}, which produces gradual decay of unchosen values. Choices are generated from a softmax over the sum of reward and punishment values:\nWe chose to scale outcomes via R and P rather than include a separate inverse temperature parameter, to keep valuation and decision noise distinct and to avoid strong collinearity between these terms. Full Stan code for this model and all alternatives are provided in Supplementary.\nAlthough some models tested included an additional inverse temperature parameter or a lapse rate, we opted to scale the Q-values directly via R and P rather than include a separate temperature term. This avoids overparameterization and ensures clear interpretation of reward and punishment valuation, which were the focus of our hypotheses. Model comparison indicated that several candidate models achieved very similar predictive performance; we therefore retained banditNarm_4par as our primary hypothesis-testing model for interpretability and theoretical focus.\nWe used weakly informative priors for all group-level parameters to support stable estimation without imposing strong assumptions. Specifically, the group-level means (mu_pr) were drawn from a standard normal distribution (N(0,1)), and the standard deviations (sigma) from a half-normal prior N+(0,0.2), consistent with prior literature on hierarchical reinforcement learning models (e.g., Ahn et al., 2017; Wiecki et al., 2013). Subject-level parameters were then transformed via the probit (Φ) function to ensure appropriate bounds for each parameter (e.g., [0,1] for learning rates; [0,30] for sensitivities). These choices are consistent with standard practice in hierarchical Bayesian modelling for cognitive tasks and were not intended to encode strong prior beliefs.\nIn addition to the four-parameter model (banditNarm_4par; separate reward and punishment learning rates Arew, Apun and sensitivities R, P), we fit several alternative model families based on the N arm bandit implementations in hBayesDM. These included:\nlapse models (banditNarm_lapse, banditNarm_lapse_decay, banditNarm_2par_lapse), which use the same value updates but introduce a lapse parameter ξ to mix softmax choice probabilities with a uniform random policy (with banditNarm_lapse_decay additionally including a decay term);\nsingle learning rate models (banditNarm_delta, banditNarm_singleA_lapse), in which reward and punishment share a common learning rate A while either using a classical inverse temperature parameter in the softmax (banditNarm_delta) or retaining separate sensitivities R and P with a lapse parameter ξ (banditNarm_singleA_lapse); and\na Kalman filter model (banditNarm_kalman_filter), which tracks option values and their uncertainty with parameters governing mean reversion (λ, θ), diffusion variance (sD) and initial uncertainty (s0), together with an inverse temperature β in the softmax decision rule.\nA detailed summary of all models and parameters is given in Table 4, and full Stan code is provided in the Supplementary. A total of seven models were tested (Figure 13), spanning Rescorla–Wagner variants and models with additional lapse, decay, or Kalman filter components (Table 4).\nModel Variants Tested. Comparison of reinforcement learning models tested on the 3-arm bandit task. Each model varies in included parameters and computational assumptions. Arew = reward learning rate; Apun = punishment learning rate; A = shared learning rate; R = reward sensitivity; P = punishment sensitivity; ξ = lapse parameter (choice noise); τ = inverse temperature (softmax); β = inverse temperature/precision parameter in the choice rule; λ, θ, s0, sD = Kalman filter parameters governing mean reversion and uncertainty dynamics (see Supplementary for full definitions); decay = Q-value decay rate.\nIn the lapse models (banditNarm_lapse, banditNarm_singleA_lapse), a subject-specific lapse parameter ξ mixes the softmax policy over option values with a uniform random policy, capturing stimulus-independent lapses that are expected in online samples. Although such terms can improve predictive performance by absorbing random or unmodelled choices, recent tutorials emphasise that adding extra stochastic parameters can make it harder to uniquely interpret the remaining learning and sensitivity parameters, and that these richer models require careful simulation-based model and parameter-recovery analyses to assess identifiability (Wilson & Collins, 2019; Eckstein et al., 2021). In the present study we therefore used lapse-augmented models primarily for model comparison and posterior predictive checks, and based our group-level inferences about reward and punishment learning and sensitivity parameters on the corresponding non-lapse models, where recovery was adequate.\nWe implemented the candidate model in a hierarchical Bayesian framework using MCMC sampling in Stan (2,000 iterations, 1,000 warmups, 4 chains), which estimated both individual and group-level parameters. We initially fit the hierarchical model jointly across all participants to estimate shared group-level parameters. As this analysis revealed no significant group differences, we then fit the model separately for the anhedonic and non-anhedonic groups to allow for distinct group-level priors and posterior distributions. Both approaches yielded comparable results, supporting the robustness of our findings across model-fitting strategies. The group-level parameters for learning rates and sensitivities were modelled as normally distributed, with learning rates and sensitivities constrained by an inverse probit transformation to lie within [0,1] and [0,30], respectively. Model fit was assessed via log-likelihood of observed choices, with posterior predictive checks to confirm that the model reproduced observed choice behaviour. Convergence diagnostics, such as the Gelman-Rubin statistic, verified adequate parameter convergence.\nTo assess the predictive validity of the hierarchical Bayesian model, we compared model-generated action probabilities to participants’ actual choices on each trial. For each participant and trial, we computed the predicted probability of selecting each of the three arms, based on the posterior samples of individual parameter estimates. The predicted choice was defined as the arm with the highest predicted probability.\nWe calculated per-subject prediction accuracy as the proportion of trials (out of 200) in which the model’s top-predicted action matched the participant’s actual choice. This provided an intuitive index of how well the model reproduced observed behaviour. Accuracy scores were then summarized across subjects to yield a group-level distribution, which we visualized in a histogram (see Figure 11). The average accuracy across the sample was 59.60% (SD = 16.73%), substantially above the chance level of 33%.\nIn addition, we plotted trial-by-trial predicted probabilities alongside actual choices for three representative participants (see Figure 10). This visual comparison further illustrates the model’s ability to capture individual decision dynamics throughout the task.\nTo validate model parameters, we simulated 200 trials per subject in a 3-armed bandit structure. Choices were generated based on each participant’s estimated parameters (Arew, Apun, R, P), using the softmax function to determine probabilities of selecting each option. Outcomes were sampled based on predefined reward and punishment probabilities, and Q-values were updated accordingly. For unchosen options, Q-values were updated using counterfactual updates, where no reward or punishment (i.e., an outcome of zero) was assumed. This approach reflects implicit learning effects, capturing how participants might adjust expectations for unselected options even in the absence of observed outcomes. By incorporating these updates in the simulation, we ensured consistency with the assumptions of our hierarchical Bayesian model.\nWe performed parameter recovery to validate model accuracy by generating simulated data based on original model parameters and fitting the model again to this data. Comparing recovered parameters with original parameters allowed us to evaluate the accuracy of estimates for reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). The hierarchical Bayesian model fit was repeated using MCMC sampling in the hBayesDM package, with the posterior distributions providing reliable estimates of individual differences. Convergence diagnostics and posterior predictive checks further confirmed model validity.\n\n\n### 5.6.1 Model Selection\nTo evaluate which computational model best accounted for participants’ trial-by-trial choices, we used the Leave-One-Out Information Criterion (LOOIC), a robust Bayesian approach to estimate out-of-sample predictive accuracy (Vehtari et al., 2017). Lower LOOIC scores indicate better model fit.\nWe tested a set of hierarchical reinforcement learning models that varied in their inclusion of valence-specific learning rates (Arew, Apun), reward/punishment sensitivity parameters (R, P), and control terms such as lapse rate (xi), decay rate (d), or inverse temperature (tau). All models were fit using hierarchical priors to estimate both group-level and individual-level parameters, improving parameter stability and generalizability.\nThese same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. For interpretability, we report relative LOOIC values for the 3AB task (Figure 13), computed by subtracting the minimum LOOIC across models so that the model with a relative LOOIC of zero is the best-performing model. In the 3AB dataset, the lapse-augmented model with separate reward and punishment learning rates and sensitivities (banditNarm_lapse) achieved the lowest LOOIC. The single-learning-rate lapse model with split sensitivities (banditNarm_singleA_lapse) performed almost identically, and the four-parameter model with separate learning rates and sensitivities (banditNarm_4par) was the next best-performing non-lapse candidate. Given the practical equivalence among these top models and our focus on valence-specific learning as the primary theoretical question, we retained banditNarm_4par as our primary hypothesis-testing model, while treating the lapse variants as robustness checks and reporting the full set of model comparison results.\nModel Comparison Results Based on Relative LOOIC Values. Bars show each model’s difference in LOOIC relative to the best-fitting model (relative LOOIC = 0; lower is better). In this dataset, banditNarm_lapse achieved the lowest LOOIC, with banditNarm_singleA_lapse and banditNarm_4par performing very similarly. We retained banditNarm_4par as the primary model for hypothesis testing because it directly targets valence-specific learning and sensitivity parameters central to our anhedonia-related hypotheses, while lapse models were treated as robustness checks.\nLapse-augmented models (banditNarm_lapse, banditNarm_singleA_lapse) achieved slightly better predictive performance than the four-parameter non-lapse model, consistent with a modest degree of stimulus-independent random responding in this online sample. This pattern aligns with previous bandit work in mood and anxiety disorders, where lapse terms have been interpreted as capturing ‘trembling hand’ or unexplained choices in otherwise well-specified RL models (Aylward et al., 2019; Mkrtchian et al., 2023). However, in line with broader modelling guidelines highlighting identifiability trade-offs when adding extra noise parameters (Wilson & Collins, 2019; Eckstein et al., 2021), we treat these lapse models as complementary checks on model fit rather than as our primary framework for hypothesis testing. To confirm that our main inference was not dependent on excluding lapse terms, we fit the dual learning rate + lapse model separately in the anhedonic and non-anhedonic groups and compared posterior group differences. For reward learning rate, punishment learning rate, reward sensitivity, and punishment sensitivity, the 95% HDIs for group differences all included zero (pd ≈ 0.64–0.74), and posterior densities overlapped strongly between groups. Estimated lapse rates were low on average (anhedonic mean ξ = 0.018; non-anhedonic mean ξ = 0.033), corresponding to approximately 2–3% lapses per trial on average.\nFull posterior group-difference summaries for both lapse-augmented model families (banditNarm_lapse and banditNarm_singleA_lapse) are provided in the Supplementary Material (Supplementary S2; Figures S4–S5).\n\n\n### 5.6.2 Model Specification\nThe final candidate model (banditNarm_4par) was adapted from Seymour et al. (2012) and previous work modelling aversive and appetitive learning. It tracks value updates for each option using separate Q-values for reward and punishment, updated independently via valence-specific learning rates.\nThe model included the following participant-level parameters:\nArew: learning rate for reward outcomes (0–1)\nApun: learning rate for punishment outcomes (0–1)\nR: sensitivity to reward magnitude (0–30)\nP: sensitivity to punishment magnitude (0–30)\nIn each trial, Q-values for rewards and punishments (Qr, Qp) are updated as follows:\nReward and punishment sensitivities enter the model by scaling the observed outcomes inside the prediction errors. For participant i, arm a and trial t, the reward and punishment prediction errors are:\nwhere ri,t(a) and ℓi,t(a) denote the reward and punishment outcomes on that trial. The corresponding Q values are then updated as:\nFictive updates are applied to the unchosen options via δficr(a)=–Qi,t(r)(a)\\documentclass[10pt]{article}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\usepackage{pmc}\n\\usepackage[Euler]{upgreek}\n\\pagestyle{empty}\n\\oddsidemargin -1.0in\n\\begin{document}\n\\[\\delta _{fic}^{r}\\left({\\rm a}\\right)=-Q_{{\\rm i},{\\rm t}}^{\\left({\\rm r}\\right)}\\left({\\rm a}\\right)\\]\n\\end{document} and δficp(a)=–Qi,t(p)(a)\\documentclass[10pt]{article}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\usepackage{pmc}\n\\usepackage[Euler]{upgreek}\n\\pagestyle{empty}\n\\oddsidemargin -1.0in\n\\begin{document}\n\\[\\delta _{fic}^{p}\\left({\\rm a}\\right)=-Q_{{\\rm i},{\\rm t}}^{\\left({\\rm p}\\right)}\\left({\\rm a}\\right)\\]\n\\end{document}, which produces gradual decay of unchosen values. Choices are generated from a softmax over the sum of reward and punishment values:\nWe chose to scale outcomes via R and P rather than include a separate inverse temperature parameter, to keep valuation and decision noise distinct and to avoid strong collinearity between these terms. Full Stan code for this model and all alternatives are provided in Supplementary.\nAlthough some models tested included an additional inverse temperature parameter or a lapse rate, we opted to scale the Q-values directly via R and P rather than include a separate temperature term. This avoids overparameterization and ensures clear interpretation of reward and punishment valuation, which were the focus of our hypotheses. Model comparison indicated that several candidate models achieved very similar predictive performance; we therefore retained banditNarm_4par as our primary hypothesis-testing model for interpretability and theoretical focus.\nWe used weakly informative priors for all group-level parameters to support stable estimation without imposing strong assumptions. Specifically, the group-level means (mu_pr) were drawn from a standard normal distribution (N(0,1)), and the standard deviations (sigma) from a half-normal prior N+(0,0.2), consistent with prior literature on hierarchical reinforcement learning models (e.g., Ahn et al., 2017; Wiecki et al., 2013). Subject-level parameters were then transformed via the probit (Φ) function to ensure appropriate bounds for each parameter (e.g., [0,1] for learning rates; [0,30] for sensitivities). These choices are consistent with standard practice in hierarchical Bayesian modelling for cognitive tasks and were not intended to encode strong prior beliefs.\n\n\n### 5.6.3 Model Variants Tested\nIn addition to the four-parameter model (banditNarm_4par; separate reward and punishment learning rates Arew, Apun and sensitivities R, P), we fit several alternative model families based on the N arm bandit implementations in hBayesDM. These included:\nlapse models (banditNarm_lapse, banditNarm_lapse_decay, banditNarm_2par_lapse), which use the same value updates but introduce a lapse parameter ξ to mix softmax choice probabilities with a uniform random policy (with banditNarm_lapse_decay additionally including a decay term);\nsingle learning rate models (banditNarm_delta, banditNarm_singleA_lapse), in which reward and punishment share a common learning rate A while either using a classical inverse temperature parameter in the softmax (banditNarm_delta) or retaining separate sensitivities R and P with a lapse parameter ξ (banditNarm_singleA_lapse); and\na Kalman filter model (banditNarm_kalman_filter), which tracks option values and their uncertainty with parameters governing mean reversion (λ, θ), diffusion variance (sD) and initial uncertainty (s0), together with an inverse temperature β in the softmax decision rule.\nA detailed summary of all models and parameters is given in Table 4, and full Stan code is provided in the Supplementary. A total of seven models were tested (Figure 13), spanning Rescorla–Wagner variants and models with additional lapse, decay, or Kalman filter components (Table 4).\nModel Variants Tested. Comparison of reinforcement learning models tested on the 3-arm bandit task. Each model varies in included parameters and computational assumptions. Arew = reward learning rate; Apun = punishment learning rate; A = shared learning rate; R = reward sensitivity; P = punishment sensitivity; ξ = lapse parameter (choice noise); τ = inverse temperature (softmax); β = inverse temperature/precision parameter in the choice rule; λ, θ, s0, sD = Kalman filter parameters governing mean reversion and uncertainty dynamics (see Supplementary for full definitions); decay = Q-value decay rate.\nIn the lapse models (banditNarm_lapse, banditNarm_singleA_lapse), a subject-specific lapse parameter ξ mixes the softmax policy over option values with a uniform random policy, capturing stimulus-independent lapses that are expected in online samples. Although such terms can improve predictive performance by absorbing random or unmodelled choices, recent tutorials emphasise that adding extra stochastic parameters can make it harder to uniquely interpret the remaining learning and sensitivity parameters, and that these richer models require careful simulation-based model and parameter-recovery analyses to assess identifiability (Wilson & Collins, 2019; Eckstein et al., 2021). In the present study we therefore used lapse-augmented models primarily for model comparison and posterior predictive checks, and based our group-level inferences about reward and punishment learning and sensitivity parameters on the corresponding non-lapse models, where recovery was adequate.\n\n\n### 5.6.4 Model Fitting and Estimation\nWe implemented the candidate model in a hierarchical Bayesian framework using MCMC sampling in Stan (2,000 iterations, 1,000 warmups, 4 chains), which estimated both individual and group-level parameters. We initially fit the hierarchical model jointly across all participants to estimate shared group-level parameters. As this analysis revealed no significant group differences, we then fit the model separately for the anhedonic and non-anhedonic groups to allow for distinct group-level priors and posterior distributions. Both approaches yielded comparable results, supporting the robustness of our findings across model-fitting strategies. The group-level parameters for learning rates and sensitivities were modelled as normally distributed, with learning rates and sensitivities constrained by an inverse probit transformation to lie within [0,1] and [0,30], respectively. Model fit was assessed via log-likelihood of observed choices, with posterior predictive checks to confirm that the model reproduced observed choice behaviour. Convergence diagnostics, such as the Gelman-Rubin statistic, verified adequate parameter convergence.\n\n\n### 5.6.5 Model Prediction Accuracy and Comparison to Observed Choices\nTo assess the predictive validity of the hierarchical Bayesian model, we compared model-generated action probabilities to participants’ actual choices on each trial. For each participant and trial, we computed the predicted probability of selecting each of the three arms, based on the posterior samples of individual parameter estimates. The predicted choice was defined as the arm with the highest predicted probability.\nWe calculated per-subject prediction accuracy as the proportion of trials (out of 200) in which the model’s top-predicted action matched the participant’s actual choice. This provided an intuitive index of how well the model reproduced observed behaviour. Accuracy scores were then summarized across subjects to yield a group-level distribution, which we visualized in a histogram (see Figure 11). The average accuracy across the sample was 59.60% (SD = 16.73%), substantially above the chance level of 33%.\nIn addition, we plotted trial-by-trial predicted probabilities alongside actual choices for three representative participants (see Figure 10). This visual comparison further illustrates the model’s ability to capture individual decision dynamics throughout the task.\n\n\n### 5.6.6 Simulated Data\nTo validate model parameters, we simulated 200 trials per subject in a 3-armed bandit structure. Choices were generated based on each participant’s estimated parameters (Arew, Apun, R, P), using the softmax function to determine probabilities of selecting each option. Outcomes were sampled based on predefined reward and punishment probabilities, and Q-values were updated accordingly. For unchosen options, Q-values were updated using counterfactual updates, where no reward or punishment (i.e., an outcome of zero) was assumed. This approach reflects implicit learning effects, capturing how participants might adjust expectations for unselected options even in the absence of observed outcomes. By incorporating these updates in the simulation, we ensured consistency with the assumptions of our hierarchical Bayesian model.\n\n\n### 5.6.7 Parameter Recovery\nWe performed parameter recovery to validate model accuracy by generating simulated data based on original model parameters and fitting the model again to this data. Comparing recovered parameters with original parameters allowed us to evaluate the accuracy of estimates for reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). The hierarchical Bayesian model fit was repeated using MCMC sampling in the hBayesDM package, with the posterior distributions providing reliable estimates of individual differences. Convergence diagnostics and posterior predictive checks further confirmed model validity.\n\n\n### 5.7 Model-Agnostic Analysis\nTo assess participants’ decision-making, we examined two common behavioural patterns: win-stay and lose-shift. A win-stay strategy occurs when participants repeat a choice following a reward, while a lose-shift strategy occurs when they switch choices after a punishment. For each participant, we extracted trial-by-trial choices and outcomes. Win-stay instances were defined as trials where a participant received a reward on the previous trial and repeated the same choice. Lose-shift instances were trials where a participant received a punishment and chose a different option on the following trial. The percentage of win-stay and lose-shift strategies was calculated by dividing the relevant instances by the total opportunities for each strategy, then multiplying by 100. We report the mean and standard error of these percentages across participants, presented in a bar plot with error bars indicating the standard error. This analysis offers a model- agnostic perspective on the prevalence of win-stay and lose-shift strategies in decision-making.\n\n\n### 5.7.1 Win-Stay and Lose-Shift Strategy Calculation\nTo assess participants’ decision-making, we examined two common behavioural patterns: win-stay and lose-shift. A win-stay strategy occurs when participants repeat a choice following a reward, while a lose-shift strategy occurs when they switch choices after a punishment. For each participant, we extracted trial-by-trial choices and outcomes. Win-stay instances were defined as trials where a participant received a reward on the previous trial and repeated the same choice. Lose-shift instances were trials where a participant received a punishment and chose a different option on the following trial. The percentage of win-stay and lose-shift strategies was calculated by dividing the relevant instances by the total opportunities for each strategy, then multiplying by 100. We report the mean and standard error of these percentages across participants, presented in a bar plot with error bars indicating the standard error. This analysis offers a model- agnostic perspective on the prevalence of win-stay and lose-shift strategies in decision-making.\n\n\n### 5.8 Bayes Factor test\nTo further assess the evidence for no difference between the anhedonic and non-anhedonic groups, a Bayesian independent samples t-test was conducted for each model parameter (Arew, Apun, R and P). Bayes factors (BF10 and BF01) were calculated using the BayesFactor package in R, with BF01 representing the evidence in favour of the null hypothesis relative to the alternative hypothesis.\n\n\n### 5.9 Bayesian Estimation of Group Differences Using Highest Density Intervals (HDIs)\nIn addition to frequentist and Bayes Factor comparisons, we estimated the difference in group-level posterior means for each computational parameter (Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity) using 95% Highest Density Intervals (HDIs). For each parameter, we extracted the group-level posterior samples (mu parameters) for the Anhedonic and Non-Anhedonic groups from the hierarchical Bayesian model. These samples were used to compute the posterior distribution of the difference (Non-Anhedonic – Anhedonic). HDIs were computed using the HPDinterval function from the coda package in R, which identifies the narrowest interval containing 95% of the posterior mass. We also calculated the probability of direction (pd), defined as the proportion of posterior samples falling consistently above or below zero. Differences for which the 95% HDI excluded zero were considered credibly different across groups. Posterior densities and intervals were visualized using the tidybayes and ggplot2 packages, with separate panels for each parameter. These analyses provide a Bayesian alternative to frequentist t-tests and complement the Bayes Factor approach.\n\n\n### 5.10 Use of Generative AI\nGenerative AI (ChatGPT, OpenAI) was used solely for manuscript refinement, including copyediting and language polishing. All scientific content, study design, data analysis, and interpretation were developed by the authors, with AI assistance limited to improving clarity and readability without altering the narrative or conclusions.\n\n\n### Additional File\nThe additional file for this article can be found as follows:\nSupplementary material containing additional reaction-time (RT) analyses and robustness checks for the reinforcement-learning models, including subjectlevel and trial-level RT comparisons between anhedonic and non-anhedonic groups, and posterior group-difference HDI summaries and density plots for lapse-augmented model variants.\n\n\n### Comments/Explanation (required). Please include references to any minor or major revisions required, as well as addressing any issues with language clarity. Authors will see these comments:\nThis article addresses whether computational model parameters describing reward and punishment learning in a three-arm restless bandit task can predict anhedonia symptoms in an online sample. The authors modified a classic four-arm restless bandit task with probabilistic, fluctuating rewards to have fewer choice options (three bandits) and more frequent rewards and punishments, and they correlate reinforcement learning model parameters (learning rates and sensitivity for reward/punishment) to several clinical scales, including the recently developed dimensional apathy rating scale (DARS). After performing some model validation, the main analyses show that model parameters are not significantly related to anhedonia symptoms.\nMajor comments:\nI applaud the authors for reporting null results, which can provide valuable direction to the field. In particular, there is an important gap between task-based and self-report measures in psychiatry, which often do not correlate despite measuring purportedly similar constructs (e.g., Eisenberg et al., 2019 Nature Comm. and Enkavi et al., 2019 PNAS in self-regulation). Thus, characterizing relationships between anhedonia symptoms and reward learning task behavior or the lack thereof is important for the field of computational psychiatry. Establishing confidence in a null result is challenging, and the authors provide a variety of evidence to support this finding, including use of optimal hierarchical Bayesian model fitting, parameter recovery, and model comparisons, tests of model agnostic measures (win-stay, lose-shift), and Bayes Factor t-tests. However, several flaws in the study weaken their main conclusion that “core cognitive mechanisms underlying reward and punishment learning remain intact in individuals with anhedonia”. This may be true in this dataset and inconsistent in the literature, but the manuscript cites multiple previous studies and meta-analyses on deficits in reward processing and depressive symptoms without offering insights into why previous tasks or this task fail to capture anhedonia, resulting in a limited contribution to the field. Furthermore, their secondary conclusion that “the 3AB task provides a novel approach for studying reward processing” is not supported given previous studies using similar 3-arm bandit tasks (e.g., see Yan et al., 2025 Biol. Psy.: CNN for a recent finding on apathy).\nOne core problem with the manuscript is that the experiments don’t seem to follow from the stated motivation. The introduction states that anhedonia may be related to motivation more than reward learning and cites a study relating anhedonia to willingness to exert effort for reward (Treadway et al., 2009), but the study then pursues a reward learning task and model that typically focuses on learning rates. There is no review of previous literature relating the 4-arm restless bandit to depression, apathy, or anhedonia, aside from mentioning this task has “limited sensitivity to reward-processing impairments associated with anhedonia”. Why then choose this task to study anhedonia? Moreover, the rationale for modifying the task and the specific changes chosen are not well justified. The authors do not support their argument that simplifying decision making processes might increase task sensitivity to anhedonia, or why the model parameters would capture variance in different anhedonia dimensions (e.g., DARS subscales). Similarly, reducing cognitive load and increasing reward and punishment rates could in principle be helpful (e.g., to study patient populations with cognitive deficits and increase engagement), but the relevance of those changes to the current study is unclear. An analysis of how changes in individual task features affect behavior and the relationships to symptoms would be valuable, but inferences about the relevance of those features to symptoms are precluded by changing multiple features at the same time, as well as the lack of comparison to previous results using the 4-arm restless bandit task.\nThere are also some problems with the behavioral modeling that should be addressed to increase confidence in the null results. First, core hypotheses and results center on reward and punishment sensitivity parameters, but the Methods do not show how these are incorporated in the models. Second, model specification and selection processes are not adequately described and justified. For example, the authors do not include a free parameter for the inverse temperature parameter in their softmax decision function, despite citing a previous study (Harle et al., 2017) that found this parameter predicted anhedonia. Learning rates and decision temperature are typically correlated in most datasets/models, so failing to account for this variance in the decision policy likely influences the other parameters, meaning this choice should be justified and evaluated in the model comparison process. Similarly, including counterfactual updates in a task with independent choice options is not rational, so the authors should verify that including those terms improves the fit to the behavioral data. The authors also do not describe the rationale or implementation of the “lapse” parameter. Overall, the value of the null result is weakened by a somewhat confusing model selection process, which may be partly due to the lack of clear connection to previous tasks, models, and results and motivation for modifying the task and models.\nThe strength of the null findings is also limited by the sample size for the anhedonia (n=111) and non-anhedonia (n=95) groups, which is modest for online behavioral studies using between-subjects designs and has limited statistical power per the authors’ power analysis. For context, the authors cite Huys et al. (2013), which used a meta-analysis of 6 datasets (392 sessions) to find anhedonia was more related to reward sensitivity than learning rates, and Halahakoon et al. (2020) found small-to-medium effect sizes on reward processing in depression. This challenge may be exacerbated by the heterogeneous relationships between clinical scales in this dataset. For example, the DARS and ZUNG show a moderate positive correlation (r=0.34), which counter-intuitively suggests that higher depression scores are associated with lower anhedonia in this sample. Using multiple anhedonia scales is helpful, but it would help evaluate the sample to report p values for the between-scale correlations and to report the statistics of these scales in the two groups that performed the task.\nIn summary, the study is within scope of the journal, but the manuscript is not suitable for publication in its current form due to core problems with the content (engagement with prior literature, model selection) and structure (motivation for task changes and hypotheses), as well as a number of smaller issues articulated below.\nAdditional comments:\nRTs are mentioned in the abstract and discussion (1st and 2nd to last paragraphs), but these results aren’t presented in the manuscript.\nPlease describe the prior used for each parameter in the hierarchical Bayesian framework and justify these choices (e.g., citations) when appropriate.\nThe language describing the Harle et al. (2017) finding on the inverse temperature softmax parameter as “reward sensitivity” should be rephrased to avoid confusion with the reward sensitivity parameter in your model.\nOne potential avenue to address the heterogeneity in clinical scales would be using dimensionality reduction or factor analyses to extract latent symptom dimensions, but such exploratory, follow up analyses should ideally be validated in a new replication sample.\nWhy did the authors provide two outcomes on each trial? This complicates the interpretation, and it’s possible that combining reward and punishment conditions in the same trials may reduce the ability to tease apart these distinct processes.\nThe authors might also wish to consider the role of drift rate in their reward sequences, which should be reported in the Methods. Similarly, differences in the reward probability sequences experienced across participants are another factor that could potentially influence choice difficulty, reward and punishment rates and thus add noise to the parameters and symptom correlations.\nThe authors show three representative subjects when comparing predicted action probabilities and choices, but it would be more informative to report the proportion of choices predicted by the model at the group level.\nThe authors state that they increased reward and punishment rates by a factor of 1.5, but it would be more straightforward to state the new rates.\nFormatting:\nmissing references: Seymour 2012, Daw 2006\ncitations needed: sentence 2; P2 last sentence; \"most only correlate with SHAPS\"; \"anhedonia is perhaps better characterized by impairments in reward valuation.\"\nFig 1c/d- hard to see with the colors\nspell out SMD\n\n\n### peer-review-recommendation\nSee Comments\n\n\n### Recommendation:\nAccept with Major Revision\n\n\n### Comments/Explanation (required). Please include references to any minor or major revisions required, as well as addressing any issues with language clarity. Authors will see these comments:\nThis is an interesting study where the authors have developed a 3-arm bandit task, which they show has similar performance to a 4-arm bandit task. Contrary to their hypotheses, they do not find any differences in learning rate or sensitivity between non-anhedonic and anhedonic individuals. The authors claim that this could be either that anhedonia not contributing to learning impairments, the study being underpowered or the task not being sensitive to detect these small effects.\nThere are several concerns about their statistical methods that call into question the robustness of these results.\n1. Not much information is provided about the different models used and why they were selected over others. For example, why weren’t single learning rate models considered?\n2. Did the same model come out on the top for both 3 arm and 4 arm bandit tasks? Not much info is provided about the validation study, except for the sample size. It would be helpful for the authors to provide more details on how the 3-arm task was validated against the 4-arm task.\n3. The correlation between the parameters from these two tasks do not seem very convincing. Authors say that these correlations were significant in the text, but no p values are shown in the plots. There is a lot of variability in these parameters which makes me question whether learning is truly similar across both. It will also be helpful to plot model-agnostic scores across both tasks, such as the probability of staying after a win/lose. Additionally, the axes use different scales, which should be avoided as it confounds the interpretation.\n4. Did they fit the models across the entire sample or incorporated group information in the hierarchical estimation, it is not clear from their description?\n5. I am not sure why they do not show the posterior plots of the model parameters and report HDI instead of doing t-tests ofn the mean, which lose the relevance of Bayesian modeling\n6. They do not show whether the simulated data recapitulated patterns observed in the model-agnostic task analysis, especially since the parameter recovery plots do not look convincing, particularly for learning rates. I would also recommend running many simulations and getting an idea of how consistent the spread of simulated parameters are.\n7. Is there any additional information on participants’ mental health history, medication, etc?\n8. Would authors considered scoring SHPS on a 1-4 scale? This might provide a better spread of scores.\n9. It is also important to describe how well the participants performed in the validation study? The tasks are quite long ~20 min each, making for an extended session if they also have to complete questionnaires.\nOverall, I would recommend that the authors structure the paper with a focus on the validation study first, followed by the second study with detailed info on the model selection, as well as appropriate parameter and model recovery.\n\n\n### peer-review-recommendation\nRevisions Required\n\n\n### Recommendation:\nReject\n\n\n### Comments/Explanation (required). Please include references to any minor or major revisions required, as well as addressing any issues with language clarity. Authors will see these comments:\nThis paper reports on the development of a 3-arm bandit learning task. The goal of the study was to develop a version of the 4-arm bandit learning task with less cognitive load and to test this revised task in a large online sample to find relationships between learning parameters and anhedonia.\nThe paper is written clearly and the authors lay out a strong justification for carrying out the research. I appreciate the authors’ straightforward reporting of null results. I have concerns with the sample, task, and analysis approaches, though.\nMajor concerns:\n1. The larger sample from which the high- and low-anhedonia participants were sampled has very odd relationships among scales. Participants reporting less depression also reported more anhedonia, and there was no relationship between depression and GAD-7 scores. This pattern does not reflect known relationships among these measures. It instead suggests 1) this sample’s pattern of psychopathology is unusual, and findings are unlikely to generalize to the larger population, 2) participants responded inattentively or did not understand instructions, or 3) participants were aware of the initial screening and answered in a way that did not reflect their experiences in order to pass the screening. More stringent data cleaning may create a subsample of participants who report expected relationships among symptoms; however, as-is the questionnaire data does not appear valid.\n2. It’s not clear why the authors chose to artificially dichotomize anhedonia and lose power, particularly when one of the measures used (SHAPS) has poor psychometric properties.\n3. A strength of the paper, as the authors note, is the use of hierarchical Bayesian approaches. However, the authors deal with the estimated parameters incorrectly by using individual parameters (which have been influenced by other participants’ data through partial pooling) in subsequent analyses. The authors do not report how they determined group structure, but I assume they analyzed all participants as part of one large group in the hierarchical structure. If so, this will shift participants’ estimates closer together and increase the rate of false negatives when those estimates are then correlated with other variables (i.e., anhedonia). Please see citations below. The authors can confirm these effects by simulating parameters with a known relationship to an external measure (representing anhedonia) and examining the relationship with recovered parameters that are estimated using the current approach vs. the one in the citations below.\nBoehm, U., Steingroever, H., & Wagenmakers, E. J. (2018). Using Bayesian regression to test hypotheses about relationships between parameters and covariates in cognitive models. Behavior research methods, 50, 1248-1269.\nHaines, N., Beauchaine, T. P., Galdo, M., Rogers, A. H., Hahn, H., Pitt, M. A., … & Ahn, W. Y. (2020). Anxiety modulates preference for immediate rewards among trait-impulsive individuals: A hierarchical Bayesian analysis. Clinical Psychological Science, 8(6), 1017-1036.\nBrown, V. M., Chen, J., Gillan, C. M., & Price, R. B. (2020). Improving the reliability of computational analyses: Model-based planning and its relationship with compulsivity. Biological Psychiatry: Cognitive Neuroscience and Neuroimaging, 5(6), 601-609.\nWaltmann, M., Schlagenhauf, F., & Deserno, L. (2022). Sufficient reliability of the behavioral and computational readouts of a probabilistic reversal learning task. Behavior research methods, 54(6), 2993-3014.\n4. The authors state the rationale for developing the 3-armed bandit is to reduce cognitive load which may camouflage relationships with symptoms.\na. The 3-armed bandit task developed here has varying levels of reward and punishment for each arm, while the original 4-armed bandit used by Daw etc. usually only has reward. This means participants now have to track 6 units of information vs. 4. It’s not clear how this reduces cognitive load.\nb. More broadly, how do the authors define and measure cognitive load? How can we know that 1) this task is lower in cognitive load, and 2) what level of cognitive load is low enough to not interfere with learning?\n\n\n### peer-review-recommendation\nSee Comments\n\n\n### submission-comments\nAuthors have answered all of my concerns. No further comments.\n\n\n### peer-review-recommendation\nAccept Submission\n\n\n### submission-comments\nI thank the authors for their responses to my and the other reviewers’ comments. Most of my concerns have been addressed; however, one major concern was not addressed which casts major doubt on the findings. The strange correlations among symptom measures suggest that these are not valid measures. It’s true that correlations among measures can differ based on the severity of the sample, such that we may see slightly weaker relationships in online, non-clinical samples. It’s also true that anhedonia, depression, and anxiety can load onto distinct latent dimensions. I also appreciate the authors’ strict data cleaning procedures.\nHowever, none of this means that we should encounter a sample where more depressed people report less anhedonia. If we examine the lower right plot in Figure 5 – the people screened for SHAPS = 0 are reporting a higher mean depression score than people reporting severe anhedonia. In what world would this make sense? Even if the authors did somehow find a sample where this relationship truly existed, results in this sample would not generalize at all to the population, where anhedonia and depression are highly correlated.\n\n\n### peer-review-recommendation\nDecline Submission\n\n\n### submission-comments\nThe authors have revised and improved the manuscript, and I am fairly convinced that the relationships between task behavior and anhedonia are null because the authors have done quite a bit of work to show their modeling is sound. Null results have value, but that value is dependent on the quality of the study. Another source of marginal value would be thorough characterization of the properties of the task and the models in this sample, and there are still some puzzling issues that may influence the interpretation of the results. Overall, I would see this paper as reasonable evidence to be cautious about using this bandit task to study anhedonia, and there are a few minor analysis items that might be helpful to add that could inform that decision. However, the study is not conclusive on the larger conclusion of whether reward sensitivity or learning is altered in anhedonia, partly due to flaws in study design and partly because it’s only a single study that quite possibly is underpowered. Below, I comment on the design issues, model specification and comparisons, and a potentially interesting RT effect.\nA core limitation of the study is still that we cannot infer why the relationships with anhedonia are null because too many task features and modeling features have changed from prior studies. The authors improved the motivation for some of these issues in the Introduction, but some of these statements are still not justified. As a minor example, how does outcome feedback on every trial enhance model identifiability? This is likely a good idea, but the stated rationale on model identifiability is still not clearly justified to me. More importantly, while the authors now acknowledge they cannot confirm that changing from 4 to 3 bandits successfully reduced cognitive load, but the relevance and motivation to include a punishment condition in a study seeking reward-specific deficits (anhedonia) is unclear and likely affects analysis sensitivity. The authors briefly allude to approach-avoidance frameworks, but don’t support the relevance of that construct to anhedonia. Showing a selective relationship between anhedonia and reward but not punishment would be a great dissociation (note this rationale/hypothesis is not stated), but in terms of cognitive load, independent reward and punishment for 3 bandits is still more outcome contingencies (6) than the original reward-only 4 arm bandit. Furthermore, adding punishment sensitivity and learning rate may reduce power and identifiability of the hypothesized reward deficits in anhedonia. Again, these issues are not huge but do reduce some of the value and interpretability of this null result, and they also contribute to some of the modeling concerns below.\nOne key improvement in the revision is the model specification and comparison, though there are still some outstanding questions. First off, the key reward and punishment sensitivity terms are still missing from the model equations (likely in the prediction error computation, which isn’t shown?), and the alternative model structures are not specified (e.g., inverse temperature, lapse, and Kalman filter parameters). Whatever value can be derived from these null results depends on specifying exactly what was done, and the current Methods does not provide enough information to interpret or reproduce the analyses in the paper. This issue is especially problematic because the model comparisons show models with a lapse parameter perform better than the main model selected as “optimal”. The authors argue in multiple places throughout the manuscript and response-to-reviewers that the model with (only) separate reward and punishment sensitivity and learning rate parameters (with no other parameters) is the optimal model. I agree that including valence-specific sensitivity and learning rate parameters is justified as the most theoretically appropriate test of their hypothesis. However, they sometimes use loose language to imply that this theoretical rationale is also supported by model comparisons (e.g., “Model comparison confirmed that the selected model balanced predictive accuracy with theoretical parsimony”). In contrast, they never acknowledge that a model with a single learning rate, split sensitivities, and a lapse parameter has a better fit. This might be important for their hypotheses, but they do not test a model with a single learning rate, split sensitivities, and no lapse parameter to directly compare whether a single learning rate model is better than their chosen model. Thus, we don’t know if single or dual learning rates are better in this task and dataset.\nRelatedly, the relatively large differences in lose-switch behavior between simulated and real data, combined with the lower recoverability of punishment learning rate compared to other parameters, hint that there may be some trouble modeling the punishment effects on behavior. Combined with the unclear relevance of punishment to anhedonia, these data suggest this task may not be ideally suited to the question of interest. To me, these are the types of subtle inferences that might help the field in deciding which tasks are a good tool for assessing anhedonia (even in the context of null results), and showing similar effects in the 4 arm bandit task might strengthen this contribution.\nAdditionally, model comparisons showing performance improvements with the lapse parameters suggest it’s helpful to account for random responding, which may be prevalent in online samples. I agree that adding an inverse temperature parameter may reduce identifiability of the sensitivity and/or learning rate parameters, but it’s less unclear if adding the lapse term would reduce identifiability, particularly in the models without inverse temperatures. Perhaps there are parameter identifiability or model recoverability results that justify why they didn’t choose to add a lapse parameter, but it seems they could still test their 4 parameters of theoretical interest (+ and – sensitivities and learning rates) in the best performing model.\nLastly, the authors have added the missing RT data to the manuscript, and they seem to be ignoring an interesting effect where RTs are slower for non-anhedonic individuals. They report p=0.050 as non-significant, but by eye at least, it seems likely that this effect would be clearly significant in the stable regime after excluding the outlier trials at the start of the task. Also, was there an order effect between the two tasks? In particular, I wonder if the large change in RTs from the first ~5-10 trials to the remaining task was absent or smaller if they had already done the 4AB first.\nMinor points:\nThe authors say that including fictive outcome updates improved model fit, but don’t show this. I agree that literature can support theoretical reasons to include this parameter, potentially even if it reduces model performance if that rationale is strong enough, but showing this performance increase could be another minor improvement to help infer the reasons for a null result contrary to prior findings motivates (e.g., how much does it help?).\nStylistically, I would appreciate the response to reviewer quoting the entire review, as there can be context lost when selectively quoting individual sentences, and it can be harder to evaluate the response without those details.\nAlso, it would be helpful to highlight the new/changed text in the manuscript (e.g., in different color) to identify where the revisions were implemented, as well as to list the line numbers of the new text in the response-to-reviewers. There’s at least one place the edits to the manuscript do not exactly match some of the text in the response to reviewers (“reviewer concerns” vs “concerns” on line 689), so this mapping should be double checked.\n\n\n### peer-review-recommendation\nRevisions Required\n\n\n### submission-comments\nI thank the authors for their response. If the non-anhedonia-related items on the Zung are driving this odd correlation, this should be tested explicitly - do the anhedonia-related items on the Zung show the expected relationship with anhedonia?\n\n\n### peer-review-recommendation\nRevisions Required\n\n\n### Reviewer C\nComment 1: One core problem with the manuscript is that the experiments don’t seem to follow from the stated motivation. The introduction states that anhedonia may be related to motivation more than reward learning and cites a study relating anhedonia to willingness to exert effort for reward (Treadway et al., 2009), but the study then pursues a reward learning task and model that typically focuses on learning rates…\n\n\n### Author’s response\nResponse: We thank the reviewer for this helpful comment and agree that the framing of the study’s rationale required greater alignment with the experimental design. In the revised Introduction, we have clarified that the study focuses on potential alterations in reward sensitivity and learning associated with anhedonia, rather than motivational drive or effort expenditure. To this end, we removed references to motivation-related constructs and reframed the theoretical background to focus on outcome-based reward valuation and reinforcement learning. The revised text now emphasizes that reinforcement learning paradigms have produced mixed results when examining trait anhedonia, and that this study aims to evaluate whether the present 3-arm bandit task is sensitive to group-level anhedonia differences in learning and valuation parameters. We also clarified that our task was adapted from Seymour et al. (2012), which included both reward and punishment outcomes with probabilistic drift, and not from the classic two-armed bandit paradigms that focus solely on exploration and exploitation. The revised Introduction reflects this lineage and specifies how our 3AB version simplifies the design while retaining key features of approach and avoidance learning.\nRevised text (Introduction)\n“Importantly, anhedonia is distinct from motivational deficits such as apathy or effort discounting (Husain & Roiser, 2018). Instead, it may reflect a more specific reduction in reward sensitivity–the hedonic impact or subjective value of rewarding outcomes–rather than impaired capacity to pursue them (Hall et al., 2024).”\nRevised text (Introduction)\n“Reinforcement learning (RL) models allow formal estimation of latent cognitive variables that shape decision-making, including learning rates, reward sensitivity, punishment sensitivity, and decision noise (Sutton & Barto, 2018; Daw, 2011). Such models are increasingly used in computational psychiatry to parse affective symptoms into mechanistic components (Ahn et al., 2017; Whitton et al., 2015). However, a recent meta-analysis showed that RL differences between individuals with and without depression are modest in size and highly task-dependent (Pike & Robinson, 2022). Notably, reward sensitivity parameters–reflecting the subjective value assigned to rewarding outcomes–may be more closely tied to anhedonia than learning rate or exploration parameters (Kieslich et al., 2022). This is supported by theoretical models that separate “liking” (hedonic valuation) from “wanting” (motivational drive) in the neuroscience of reward (Treadway & Zald, 2011; Berridge & Robinson, 2003).”\nRevised text (Introduction)\n“Multi-armed bandit (MAB) tasks are widely used to study dynamic reward-based learning. However, standard versions like the 4-armed bandit (Daw et al., 2006) are cognitively demanding and typically only model reward, omitting losses or punishments. Here, we adapted the paradigm introduced by Seymour et al. (2012), which involves separate drifting reward and punishment values for each choice option–allowing independent estimation of reward and punishment sensitivity. Our task reduced the number of options from four to three, lowering working memory demands (from 8 expected values to 6) and making the paradigm more suitable for online deployment. We also provided outcome feedback on every trial to enhance model identifiability.”\n\n\n### Reviewer C\nComment 2: The manuscript cites previous studies on reward processing impairments in depression without clarifying why the current or prior tasks may fail to capture anhedonia. In addition, the claim that the 3AB task is novel is not supported, given that similar 3-arm bandit tasks have been used (e.g., Yan et al., 2025).\n\n\n### Author’s response\nResponse: We thank the reviewer for highlighting the need to clarify our contribution and contextualize our findings within the broader literature. In the revised manuscript, we have refined our interpretation of the null results to avoid overgeneralization. Specifically, we now emphasize that the absence of group differences in reward and punishment learning parameters in our task does not rule out reinforcement learning impairments in anhedonia more broadly, but rather suggests that the present task may not be sufficiently sensitive to detect such effects.\nRevised text (Introduction):\n“Multi-armed bandit (MAB) tasks are widely used to study dynamic reward-based learning. However, standard versions like the 4-armed bandit (Daw et al., 2006) are cognitively demanding and typically only model reward, omitting losses or punishments. Here, we adapted the paradigm introduced by Seymour et al. (2012), which involves separate drifting reward and punishment values for each choice option–allowing independent estimation of reward and punishment sensitivity. Our task reduced the number of options from four to three, lowering working memory demands (from 8 expected values to 6) and making the paradigm more suitable for online deployment. We also provided outcome feedback on every trial to enhance model identifiability.\nWhile recent studies have adopted other 3-armed paradigms (e.g., Yan et al., 2025), our task differs in several key respects. Most notably, we included both reward and punishment outcomes to model approach and avoidance learning separately, whereas the Yan et al. task focused exclusively on reward omission. Furthermore, we used hierarchical Bayesian modelling (Ahn et al., 2017) to estimate distinct learning rates and sensitivity parameters for reward and punishment, in contrast to Yan et al.’s use of Kalman filtering to examine latent volatility and stochasticity in relation to apathy and anxiety. This modelling framework allows us to test the hypothesis that trait anhedonia reflects reduced sensitivity to reward outcomes, rather than impaired learning or increased randomness.”\nRevised Text (Discussion):\n“However, an alternative explanation is that the 3AB task–and by extension, other simple RL paradigms–may not be sufficiently sensitive to detect subtle impairments in reward processing associated with anhedonia.”\n\n\n### Reviewer C\nComment 3: The rationale for modifying the task and the specific changes chosen are not well justified. The authors do not support their argument that simplifying decision-making processes might increase task sensitivity to anhedonia…\n\n\n### Author’s response\nResponse: We thank the reviewer for this important observation. We have revised the manuscript to emphasise that the modified 3-arm bandit (3AB) task is not inherently more sensitive to anhedonia-related impairments. Rather, we selected a simplified task structure as a pragmatic adaptation of Seymour et al. (2012)’s original 4-arm bandit to reduce cognitive load, increase trial-by-trial feedback frequency to enhance participant engagement, and support robust parameter estimation in an online setting. These changes – reducing from four to three arms, increasing the range and frequency of outcome probabilities, and retaining both reward and punishment outcomes – were designed to support modelling of approach and avoidance learning processes relevant to anhedonia, not to isolate any one cognitive mechanism.\nWe agree that changing multiple features simultaneously limits interpretability of which modifications may influence sensitivity or behaviour. To help mitigate this limitation, we included a validation dataset in which participants completed both the 4AB and 3AB tasks. While not designed for formal counterbalancing, this within-subject dataset allows us to examine the consistency of key reinforcement learning parameters across task variants, and we have now emphasized this more clearly in the manuscript.\nRevised Text (Methods) “Our 3-arm bandit task was adapted from Seymour et al. (2012)’s 4-arm probabilistic bandit paradigm, which included independent reward and punishment feedback for each choice. We made several modifications to optimize the task for online administration and support reliable modelling of approach and avoidance learning processes. First, we reduced the number of options from four to three, with the aim of simplifying decision-making and reducing cognitive load. In the original version, participants had to monitor 8 values (reward and punishment expectations across 4 options), whereas the 3-arm version only requires tracking 6 values (3 options × 2 outcome types), thus reducing working memory demands while maintaining the structure of the learning problem.\nSecond, we increased the volatility and ceiling of the drifting outcome probabilities, such that each option’s probability of producing a reward or punishment independently varied between 0 and 0.75 over time (compared to 0–0.5 in the original version). This increase was designed to ensure that participants received more frequent and informative feedback across trials.” Revised Text (Discussion) “Although we describe the 3AB task as reducing cognitive load relative to the original Seymour et al. (2012) paradigm, we did not include a formal metric of cognitive load in this study. Instead, our rationale was heuristic and based on established features known to influence working memory and attentional demands in reinforcement learning tasks (Collins & Frank, 2012). These included reducing the number of choices (3 vs. 4), reducing the number of outcome contingencies tracked (6 vs. 8), and increasing outcome frequency. Future work should consider directly assessing cognitive load to empirically confirm whether such design changes meaningfully reduce demands in both online and clinical populations.”\nFinally, with respect to the DARS subscales, we clarify that our analyses were exploratory and did not assume a one-to-one mapping between specific RL parameters and individual subdomains. We used the DARS to test whether distinct facets of self-reported anhedonia might relate to reward or punishment learning in different ways, recognizing the complexity and multidimensionality of the construct.\n\n\n### Reviewer C\nComment 4: There are also some problems with the behavioural modelling that should be addressed to increase confidence in the null results. First, core hypotheses and results center on reward and punishment sensitivity parameters, but the Methods do not show how these are incorporated in the models. Second, model specification and selection processes are not adequately described and justified. For example, the authors do not include a free parameter for the inverse temperature parameter in their softmax decision function, despite citing a previous study (Harle et al., 2017) that found this parameter predicted anhedonia. Learning rates and decision temperature are typically correlated in most datasets/models, so failing to account for this variance in the decision policy likely influences the other parameters, meaning this choice should be justified and evaluated in the model comparison process. Similarly, including counterfactual updates in a task with independent choice options is not rational, so the authors should verify that including those terms improves the fit to the behavioral data. The authors also do not describe the rationale or implementation of the “lapse” parameter. Overall, the value of the null result is weakened by a somewhat confusing model selection process, which may be partly due to the lack of clear connection to previous tasks, models, and results and motivation for modifying the task and models.\n\n\n### Author’s response\nResponse: We thank the reviewer for this thoughtful and detailed comment, which we have addressed through substantial revisions to the Methods section.\nReward and Punishment Sensitivity Parameters: We now explicitly describe how our winning model.the banditNarm_4par.incorporates both valence-specific learning rates (Arew, Apun) and distinct sensitivity parameters for reward (R) and punishment (P). These components are central to our hypothesis that anhedonia involves altered valuation and learning from rewarding and aversive outcomes. The revised model specification now includes clear equations and parameter definitions, improving transparency and interpretability.\nInverse Temperature and Model Choice Justification: While some models included inverse temperature or lapse parameters, we deliberately chose the 4-parameter model without these terms as our final model. Including an inverse temperature parameter would introduce pronounced collinearity with reward/punishment sensitivity parameters, potentially conflating valuation with decision noise. We confirmed this empirically by comparing models with and without temperature and lapse terms; although the lapse model (banditNarm_lapse) achieved a marginally lower LOOIC, we prioritized interpretability and parameter specificity. This rationale is now detailed in our revised Model Selection section, and the full comparison of models and parameters is included in a new table.\nFictive (Counterfactual) Updating: We agree that the inclusion of counterfactual updates warrants justification. While the arms in our task are probabilistically independent, previous work suggests that humans often generalize across options and downregulate unchosen values (e.g., Seymour et al., 2012). Importantly, we empirically verified that fictive updating improved evidence fit in our dataset. We have added a paragraph to this effect, clarifying that these updates are not assumed to be “rational” in a normative sense but rather reflect an appropriate model of how participants actually behave.\nClarifying the Role of the Lapse Parameter: Finally, we clarify that the lapse parameter (xi) was explored in alternative models but not retained in our final model due to interpretability concerns and overlap with sensitivity terms. Its implementation is described in the Supplementary Material, and we have clarified its role in the revised Methods section. We hope these revisions address the reviewer’s concerns and demonstrate that our modelling approach is both theoretically grounded and empirically validated.\nRevised Text (Methods)\n5.6.1 Model Selection\nTo evaluate which computational model best accounted for participants’ trial-by-trial choices, we used the Leave-One-Out Information Criterion (LOOIC), a robust Bayesian approach to estimate out-of-sample predictive accuracy (Vehtari et al., 2017). Lower LOOIC scores indicate better model fit.\nWe tested a set of hierarchical reinforcement learning models that varied in their inclusion of valence-specific learning rates (Arew, Apun), reward/punishment sensitivity parameters (R, P), and control terms such as lapse rate (xi), decay rate (d), or inverse temperature (tau). All models were fit using hierarchical priors to estimate both group-level and individual-level parameters, improving parameter stability and generalizability.\nThese same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. In both the 3AB and 4AB datasets, the banditNarm_4par model was chosen as the final candidate model. For interpretability, we report relative LOOIC values (Figure 13), computed by subtracting the minimum LOOIC across models. The model with a relative LOOIC of zero is the best-performing model. Although a model including a lapse parameter yielded the lowest LOOIC by a small margin, we selected the 4-parameter model (banditNarm_4par) as our final model. This model includes separate learning rates for rewards and punishments and distinct reward and punishment sensitivity parameters.components most relevant to our hypothesis that anhedonia manifests as alterations in how individuals evaluate and update reward and punishment information. We favoured this model over alternatives with additional control terms (e.g., lapse or decay) to avoid parameter trade-offs that could obscure interpretation. Furthermore, all models included fictive (counterfactual) updates to unchosen options. While the arms were probabilistically independent, including fictive updates consistently improved model fit, in line with evidence that human learners generalize across options and track unchosen outcomes indirectly.\n5.6.2 Model Specification\nThe final candidate model (banditNarm_4par) was adapted from Seymour et al. (2012) and previous work modelling aversive and appetitive learning. It tracks value updates for each option using separate Q-values for reward and punishment, updated independently via valence-specific learning rates. The model included the following participant-level parameters:\nArew: learning rate for reward outcomes (0.1) Apun: learning rate for punishment outcomes (0.1) R: sensitivity to reward magnitude (0.30) P: sensitivity to punishment magnitude (0.30)\nIn each trial, Q-values for rewards and punishments (Qr, Qp) are updated as follows:\nQrt+1(a) = Qrt(a) + Arew × δrt(a)\nQpt+1(a) = Qpt(a) + Apun × δpt(a)\nWhere the prediction errors for reward δrt(a) and punishment δpt(a) are calculated based on observed outcomes.\nIn addition, fictive updates were applied to the unchosen options:\nδfic(a) = -Qrt(a)\nδfic(a) = -Qpt(a)\nThese updates gradually decay the value of unchosen options, a mechanism supported by previous modelling work and empirical evidence, even in tasks with independent reward contingencies.\nAction values were then combined as:\n[equations in manuscript]\nThese values were transformed into choice probabilities using the softmax rule:\n[equation in manuscript]\nAlthough some models tested included an additional inverse temperature parameter or a lapse rate, we opted to scale the Q-values directly via R and P rather than include a separate temperature term. This avoids overparameterization and ensures clear interpretation of reward and punishment valuation, which were the focus of our hypotheses. Model comparison confirmed that the selected model balanced predictive accuracy with theoretical parsimony.\nWe used weakly informative priors for all group-level parameters to support stable estimation without imposing strong assumptions. Specifically, the group-level means (mu_pr) were drawn from a standard normal distribution (N(0,1)), and the standard deviations (sigma) from a half-normal prior N+(0,0.2), consistent with prior literature on hierarchical reinforcement learning models (e.g., Ahn et al., 2017; Wiecki et al., 2013). Subject-level parameters were then transformed via the probit (Φ) function to ensure appropriate bounds for each parameter (e.g., [0,1] for learning rates; [0,30] for sensitivities). These choices are consistent with standard practice in hierarchical Bayesian modelling for cognitive tasks and were not intended to encode strong prior beliefs.\nModel variants tested :\n5.6.3 Model Variants Tested\nTo determine which computational model best captured participants’ decision behaviour on the 3-arm bandit task, we evaluated a series of hierarchical reinforcement learning models using Leave-One-Out Information Criterion (LOOIC) for model comparison. Each model made different assumptions about learning dynamics and decision processes, incorporating various combinations of the following parameter types:\nValence-specific learning rates for reward (Arew) and punishment (Apun)\nSensitivity parameters (R, P) that scaled outcome magnitudes prior to value updating\nInverse temperature parameters (tau or β) in softmax functions\nLapse rate parameters (xi) capturing random decision noise\nDecay and uncertainty tracking mechanisms (e.g., Kalman filter updates)\nA total of seven models were tested (Figure 13), ranging from simple Rescorla-Wagner frameworks to more complex models with lapse, decay, or Kalman filter components. Two of these models.the banditNarm_delta and banditNarm_singleA_lapse.included a single learning rate (A) shared across reward and punishment outcomes. These models served as baseline comparisons to assess whether valence-specific learning rates provided a better account of the data. Both were outperformed by models with separate reward and punishment learning rates, indicating that asymmetric learning processes better captured participants’ behaviour. A detailed summary of all tested models, their included parameters, and structural rationale is provided in Table 4.\nModel Variants Tested. Comparison of reinforcement learning models tested on the 3-arm bandit task. Each model varies in included parameters and computational assumptions. Arew = reward learning rate; Apun = punishment learning rate; A = shared learning rate; R = reward sensitivity; P = punishment sensitivity; xi = lapse parameter (choice noise); tau = softmax temperature; lambda = learning rate for uncertainty in Kalman filter; theta = initial uncertainty estimate; beta = precision of belief updating; decay = Q-value decay rate.\n\n\n### Reviewer C\nComment 5: The strength of the null findings is also limited by the sample size for the anhedonia (n = 111) and non-anhedonia (n = 95) groups, which is modest for online behavioral studies using between-subjects designs and has limited statistical power per the authors’ power analysis. For context, the authors cite Huys et al. (2013), which used a meta-analysis of 6 datasets (392 sessions) to find anhedonia was more related to reward sensitivity than learning rates, and Halahakoon et al. (2020) found small-to-medium effect sizes on reward processing in depression. This challenge may be exacerbated by the heterogeneous relationships between clinical scales in this dataset. For example, the DARS and ZUNG show a moderate positive correlation (r=0.34), which counter-intuitively suggests that higher depression scores are associated with lower anhedonia in this sample. Using multiple anhedonia scales is helpful, but it would help evaluate the sample to report p values for the between-scale correlations and to report the statistics of these scales in the two groups that performed the task.\n\n\n### Author’s response\nResponse: We thank the reviewer for this thoughtful comment. In response, we now report Pearson correlation coefficients and exact p-values for all pairwise associations between mood and anhedonia questionnaires within the task-performing sample only (N = 206). These results are visualized in Figure 5.\nRevised Text (Results)\nFigure 5. Pairwise Pearson correlations between questionnaire scores in the final task sample (N = 206). Scatter plots show individual subject data and Pearson correlation coefficients (r) with associated p-values. DARS = Dimensional Anhedonia Rating Scale; SHAPS = Snaith-Hamilton Pleasure Scale; GAD = Generalized Anxiety Disorder scale; ZUNG = Zung Depression Scale.\nSelf-report measures from the final experimental sample (N = 206) i.e. subjects who met the pre-defined criteria for anhedonic (N = 111) and non-anhedonic (N = 95) classification (SHAPS > 2 and DARS < 45 vs. SHAPS = 0 and DARS > 55) are shown in Figure 5 for clarity.\nAs expected, the two anhedonia scales were strongly negatively correlated (DARS–SHAPS: r = –0.86, p < .001), supporting construct validity. DARS also showed moderate negative correlations with anxiety (GAD: r = –0.58, p < .001), and a moderate positive correlation with depression (ZUNG: r = 0.43, p < .001). SHAPS was positively correlated with GAD (r = 0.60, p < .001), and negatively correlated with ZUNG (r = –0.37, p < .001). ZUNG and GAD, however, were not significantly correlated (r = –0.10, p = .169), indicating partial dissociation between symptom domains. These relationships suggest a coherent yet non-redundant structure, consistent with dimensional models of mood disorders, and support the interpretability of subsequent analyses.\nRevised Text (Methods) To complement our earlier descriptive analyses based on the full pre-screened sample (N = 935), we also examined inter-scale correlations within the subset of participants who completed the task (N = 206; 111 anhedonic, 95 non-anhedonic). This targeted analysis provides a clearer characterization of how symptoms of anhedonia, anxiety, and depression relate within the actual experimental sample. We computed Pearson correlations and p-values between all combinations of the DARS, SHAPS, GAD-7, and ZUNG scores. Results are visualized in Figure 5 and reported alongside sample sizes for transparency. This analysis addresses reviewer concerns about potentially counterintuitive or heterogeneous associations between scales in the task-performing sample.\n\n\n### Reviewer C\nMinor Comments:\nRTs are mentioned in the abstract and discussion (1st and 2nd to last paragraphs), but these results aren’t presented in the manuscript.\n\n\n### Author’s response\nResponse: We thank the reviewer for pointing this out. Reaction time (RT) analyses were conducted, but as no statistically significant group differences emerged, these results were not included in the main manuscript. However, in the interest of transparency, we now include a detailed description of RT analyses and results in the Supplementary Material.\nS1. Reaction Time (RT) Analysis\nReaction times were computed as the duration between the onset of the response screen and the participant’s recorded keypress on each trial. Trials with missed responses or implausibly fast (<200 ms) or slow (>3000 ms) RTs were excluded. RTs were averaged across all valid trials per participant. We then compared mean RTs between the Anhedonic and Non-Anhedonic groups using an independent samples t-test. RT distributions were visualized with scatter plots, and no significant group differences were observed.\nSupplementary Results – RT Group Comparison:\nS2. Reaction Time Group Comparison\nSupplementary Figure 1. Reaction Time Across Trials for Anhedonic and Non-Anhedonic Groups.Trial-by-trial reaction times (RTs) are shown for the Anhedonic (n = 111) and Non-Anhedonic (n = 95) groups, with shaded regions indicating the standard error of the mean (SEM). While both groups exhibited the expected early-trial slowing and late-trial stabilization, no statistically significant group difference in mean RT was observed across all trials (Anhedonic M = 470.88 ms, SD = 109.28; Non-Anhedonic M = 540.02 ms, SD = 109.44; t(203.61) = –1.98, p = 0.050). RTs were defined as the latency from stimulus onset to keypress. Trials with RTs <200 ms or >3000 ms were excluded.\nFigure S1. Group Comparison of Reaction Times.\nMean reaction times (RTs) across 200 trials are plotted for the Anhedonic (n = 111) and Non-Anhedonic (n = 95) groups. Shaded regions represent the standard error of the mean (SEM) at each trial. Both groups exhibited a rapid decrease in RTs over early trials followed by stabilization, reflecting task adaptation. Although the Anhedonic group showed numerically faster RTs across trials, this difference was not statistically significant (t(203.61) = –1.98, p = 0.050, Cohen’s d = –0.28). RTs were computed as the latency from stimulus onset to participant keypress. Trials with implausible RTs (<200 ms or >3000 ms) or missed responses were excluded from the analysis. These results suggest that differences in reaction time are unlikely to explain group effects in learning behaviour or model parameters.\n\n\n### Reviewer C\nPlease describe the prior used for each parameter in the hierarchical Bayesian framework and justify these choices (e.g., citations) when appropriate.\n\n\n### Author’s response\nResponse: We have now added a detailed description of the prior distributions used for all model parameters in the “Model Specification” subsection of the Methods (Section 5.6.2). As described, we used weakly informative priors on group-level parameters (N(0,1) for means, N+(0,0.2) for standard deviations), consistent with prior work using hierarchical Bayesian reinforcement learning models (e.g., Ahn et al., 2017; Wiecki et al., 2013). Subject-level parameters were transformed using the probit function to constrain them to interpretable ranges. These priors were selected to regularize the estimation process without strongly biasing parameter recovery.\nRevised text (Methods)\nWe used weakly informative priors for all group-level parameters to support stable estimation without imposing strong assumptions. Specifically, the group-level means (mu_pr) were drawn from a standard normal distribution (N(0,1)), and the standard deviations (sigma) from a half-normal prior N+(0,0.2), consistent with prior literature on hierarchical reinforcement learning models (e.g., Ahn et al., 2017; Wiecki et al., 2013). Subject-level parameters were then transformed via the probit (Φ) function to ensure appropriate bounds for each parameter (e.g., [0,1] for learning rates; [0,30] for sensitivities). These choices are consistent with standard practice in hierarchical Bayesian modelling for cognitive tasks and were not intended to encode strong prior beliefs.\n\n\n### Reviewer C\nThe language describing the Harle et al. (2017) finding on the inverse temperature softmax parameter as “reward sensitivity” should be rephrased to avoid confusion with the reward sensitivity parameter in your model.\n\n\n### Author’s response\nResponse: We agree and have revised the manuscript to clarify that Harle et al. (2017) used the inverse temperature parameter to index value-based choice consistency, which they described as “reward sensitivity.” However, in our model, we separately estimate reward sensitivity as a multiplicative parameter applied to reward outcomes prior to updating value estimates. We have updated the manuscript language accordingly to prevent confusion between these distinct constructs.\nRevised text (Discussion)\n“Beyond meta-analyses, individual studies provide further context. Harle et al. (2017) found that higher anhedonia was associated with reduced reward-driven choice consistency in a 2-arm bandit task, particularly among participants whose decisions were best explained by a softmax function. This reduction in reward-guided behaviour was indexed by lower inverse temperature values in their model, which reflect choice stochasticity rather than reward valuation per se. In our study, we modelled reward sensitivity (R) as a distinct parameter from decision noise, allowing us to disentangle valuation processes from choice consistency.” However, their study also showed that learning rates remained intact, which agrees with our findings. Likewise, Huys et al. (2013) showed that anhedonia reduces reward sensitivity but does not affect learning rates, further reinforcing the idea that reward valuation, rather than reinforcement learning, may be impaired in anhedonia”\nMethods – 5.6.2 Model Specification\nAlthough some models tested included an additional inverse temperature parameter or a lapse rate, we opted to scale the Q-values directly via R and P rather than include a separate temperature term. This avoids overparameterization and ensures clear interpretation of reward and punishment valuation, which were the focus of our hypotheses. Model comparison confirmed that the selected model balanced predictive accuracy with theoretical parsimony.”\nMethods – 5.6.1 Model Selection:\n“We tested a set of hierarchical reinforcement learning models that varied in their inclusion of valence-specific learning rates (Arew, Apun), reward/punishment sensitivity parameters (R, P), and control terms such as lapse rate (xi), decay rate (d), or inverse temperature (tau). All models were fit using hierarchical priors to estimate both group-level and individual-level parameters, improving parameter stability and generalizability.”\nMethods – 5.6.1 Model Selection:\n“These same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. In both the 3AB and 4AB datasets, the banditNarm_4par model was chosen as the final candidate model. For interpretability, we report relative LOOIC values (Figure 13), computed by subtracting the minimum LOOIC across models. The model with a relative LOOIC of zero is the best-performing model. Although a model including a lapse parameter yielded the lowest LOOIC by a small margin, we selected the 4-parameter model (banditNarm_4par) as our final model. This model includes separate learning rates for rewards and punishments and distinct reward and punishment sensitivity parameters–components most relevant to our hypothesis that anhedonia manifests as alterations in how individuals evaluate and update reward and punishment information. We favoured this model over alternatives with additional control terms (e.g., lapse or decay) to avoid parameter trade-offs that could obscure interpretation. Furthermore, all models included fictive (counterfactual) updates to unchosen options. While the arms were probabilistically independent, including fictive updates consistently improved model fit, in line with evidence that human learners generalize across options and track unchosen outcomes indirectly.”\n\n\n### Reviewer C\nOne potential avenue to address the heterogeneity in clinical scales would be using dimensionality reduction or factor analyses to extract latent symptom dimensions, but such exploratory, follow-up analyses should ideally be validated in a new replication sample.\n\n\n### Author’s response\nResponse: We agree that dimensionality reduction techniques such as PCA or factor analysis could provide valuable insights into latent symptom dimensions underlying our clinical scales. However, we chose not to pursue this approach in the current study to avoid overfitting and circular inference, as our dataset lacks an independent replication sample. Instead, we analysed each scale separately to maintain transparency and interpretability of associations. We acknowledge the value of this approach and consider it an important avenue for future work.\n\n\n### Reviewer C\nWhy did the authors provide two outcomes on each trial? This complicates the interpretation, and it’s possible that combining reward and punishment conditions in the same trials may reduce the ability to tease apart these distinct processes.\n\n\n### Author’s response\nResponse: The simultaneous delivery of reward and punishment feedback was a deliberate feature of our task design, adapted from the four-arm task in Seymour et al. (2012). This design ensures that participants must weigh both potential gains and losses when making choices, more closely mimicking real-world decision-making contexts. Importantly, this feature is a necessary consequence of having implementing independent reward and punishment probabilities. While both outcomes are presented on each trial, our computational models separately track reward and punishment prediction errors and learning rates (Arew, Apun) as well as sensitivity parameters (R, P), allowing us to disentangle these processes during analysis. Importantly, our model comparison results show that including distinct parameters for reward and punishment learning/sensitivity yields a better fit than models with collapsed or single learning signals, suggesting that the co-presentation of outcomes does not preclude separate estimation of these cognitive processes.\nRevised text (Introduction):\nHere, we adapted the paradigm introduced by Seymour et al. (2012), which involves separate drifting reward and punishment values for each choice option–allowing independent estimation of reward and punishment sensitivity. Our task reduced the number of options from four to three, lowering working memory demands (from 8 expected values to 6) and making the paradigm more suitable for online deployment. We also provided outcome feedback on every trial to enhance model identifiability.\nRevised text (Methods):\nEach of the three arms was associated with independently drifting reward and punishment probabilities, drawn from pre-generated sequences that were held constant across participants. Outcomes were determined stochastically on each trial according to these probabilities, such that while all participants experienced the same probability structure, the actual feedback they received varied depending on chance. This approach is common in reinforcement learning tasks and ensures equivalent task conditions while preserving trial-level variability in outcome realizations. The outcome for each trial was displayed using two circles: green for win, red for loss, and grey for the absence of outcome. Possible combinations included win-only (green + grey), loss-only (red + grey), both win and loss (green + red), or no outcome (grey + grey). We adopted this uniform visual format to avoid confounding differences in outcome salience across conditions\nMethods:\n“The final candidate model (banditNarm_4par) was adapted from Seymour et al. (2012) and previous work modelling aversive and appetitive learning. It tracks value updates for each option using separate Q-values for reward and punishment, updated independently via valence-specific learning rates.”\n\n\n### Reviewer C\nComment: The authors might also wish to consider the role of drift rate in their reward sequences, which should be reported in the Methods. Similarly, differences in the reward probability sequences experienced across participants are another factor that could potentially influence choice difficulty, reward and punishment rates and thus add noise to the parameters and symptom correlations. The authors state that they increased reward and punishment rates by a factor of 1.5, but it would be more straightforward to state the new rates.\n\n\n### Author’s response\nResponse: We thank the reviewer for these helpful suggestions. To clarify, all participants were exposed to the same set of pre-generated drifting probability sequences for rewards and punishments. However, outcomes on each trial were determined stochastically, meaning that even when participants selected the same options, the feedback they received varied probabilistically according to these underlying values. This design ensures that all participants experienced equivalent task structure while preserving individual variability in outcome realizations–consistent with standard approaches in probabilistic bandit tasks. We have clarified this in the revised Methods section.\nRegarding the increase in reward and punishment rates, we now explicitly state in the manuscript that outcome probabilities drifted independently over the course of the task between 0 and 0.75 (an increase from 0–0.5 in the original Seymour et al. 2012 task), rather than describing this as a 1.5× increase. This change was intended to increase the informativeness of outcomes and improve model fit, and we have clarified this rationale in the task description.\nRevised text (Methods)\n“Additionally, the probabilities of encountering both reward and punishment were increased by a factor of 1.5 compared to the 4AB task (in which the probability fluctuated between 0 and 0.5; we increased the ceiling to 0.75) with the intention of creating a more engaging experience that would better highlight individual differences in learning behaviour.”\n“Second, we increased the volatility and ceiling of the drifting outcome probabilities, such that each option’s probability of producing a reward or punishment independently varied between 0 and 0.75 over time (compared to 0–0.5 in the original version). This increase was designed to ensure that participants received more frequent and informative feedback across trials.”\n“Each of the three arms was associated with independently drifting reward and punishment probabilities, drawn from pre-generated sequences that were held constant across participants. Outcomes were determined stochastically on each trial according to these probabilities, such that while all participants experienced the same probability structure, the actual feedback they received varied depending on chance.”\n\n\n### Reviewer C\nComment: The authors show three representative subjects when comparing predicted action probabilities and choices, but it would be more informative to report the proportion of choices predicted by the model at the group level.\n\n\n### Author’s response\nResponse: We agree and have now included a subject-level analysis of model prediction accuracy. Specifically, we calculated the proportion of trials for which each participant’s actual choice matched the most probable action predicted by our best-fitting hierarchical model. The model achieved a mean prediction accuracy of 59.60% (SD = 16.73%) across N = 206 subjects, which is well above the chance level of 33% for a 3-arm bandit task. This analysis has been added to the Results section, with the corresponding histogram included in the Results.\nRevised text (Results)\nFigure 11. Distribution of Model Prediction Accuracy Across Subjects. Histogram showing the distribution of model-predicted choice accuracy for each subject (N = 206). Accuracy was computed as the proportion of trials where the model’s highest predicted action probability (Pa) matched the participant’s actual choice. The vertical dashed line indicates the group mean accuracy (59.60%).\n“To quantitatively assess the model’s predictive validity at the group level, we computed the proportion of choices accurately predicted by the model for each participant. For each trial, we identified the option with the highest predicted action probability and compared it to the participant’s actual choice. The mean prediction accuracy across the sample was 59.60% (SD = 16.73%; N = 206), substantially above chance level (33%). Figure 11 shows the distribution of prediction accuracy across subjects. This analysis provides additional evidence that the model reliably captured participants’ choice behaviour at an individual level, beyond the visual inspection of exemplar cases.”\nMethods\n“To assess the predictive validity of the hierarchical Bayesian model, we compared model-generated action probabilities to participants’ actual choices on each trial. For each participant and trial, we computed the predicted probability of selecting each of the three arms, based on the posterior samples of individual parameter estimates. The predicted choice was defined as the arm with the highest predicted probability.\nWe calculated per-subject prediction accuracy as the proportion of trials (out of 200) in which the model’s top-predicted action matched the participant’s actual choice. This provided an intuitive index of how well the model reproduced observed behaviour. Accuracy scores were then summarized across subjects to yield a group-level distribution, which we visualized in a histogram (see Figure 11). The average accuracy across the sample was 59.60% (SD = 16.73%), substantially above the chance level of 33%.\nIn addition, we plotted trial-by-trial predicted probabilities alongside actual choices for three representative participants (see Figure 10). This visual comparison further illustrates the model’s ability to capture individual decision dynamics throughout the task.”\n\n\n### Reviewer D\nComment 1: Not much information is provided about the different models used and why they were selected over others. For example, why weren’t single learning rate models considered?\n\n\n### Author’s response\nResponse: We thank the reviewer for highlighting this point. As noted in the revised Methods section (“Model Variants Tested”), we evaluated a comprehensive set of models (N = 7) that varied in their structure, including models with shared learning rates for reward and punishment. Specifically, both the banditNarm_delta and banditNarm_singleA_lapse models incorporated a single learning rate parameter (A) across outcome valences. These models were included to test the possibility that reward and punishment learning share a common updating process. However, they were consistently outperformed–based on LOOIC–by models that included separate learning rates, including the final 4-parameter model (banditNarm_4par) that we selected for interpretation.\nMethods – 5.6.1 Model Selection\n“To evaluate which computational model best accounted for participants’ trial-by-trial choices, we used the Leave-One-Out Information Criterion (LOOIC), a robust Bayesian approach to estimate out-of-sample predictive accuracy (Vehtari et al., 2017). Lower LOOIC scores indicate better model fit.\nWe tested a set of hierarchical reinforcement learning models that varied in their inclusion of valence-specific learning rates (Arew, Apun), reward/punishment sensitivity parameters (R, P), and control terms such as lapse rate (xi), decay rate (d), or inverse temperature (tau). All models were fit using hierarchical priors to estimate both group-level and individual-level parameters, improving parameter stability and generalizability.\nThese same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. In both the 3AB and 4AB datasets, the banditNarm_4par model was chosen as the final candidate model. For interpretability, we report relative LOOIC values (Figure 13), computed by subtracting the minimum LOOIC across models. The model with a relative LOOIC of zero is the best-performing model. Although a model including a lapse parameter yielded the lowest LOOIC by a small margin, we selected the 4-parameter model (banditNarm_4par) as our final model. This model includes separate learning rates for rewards and punishments and distinct reward and punishment sensitivity parameters–components most relevant to our hypothesis that anhedonia manifests as alterations in how individuals evaluate and update reward and punishment information. We favoured this model over alternatives with additional control terms (e.g., lapse or decay) to avoid parameter trade-offs that could obscure interpretation. Furthermore, all models included fictive (counterfactual) updates to unchosen options. While the arms were probabilistically independent, including fictive updates consistently improved model fit, in line with evidence that human learners generalize across options and track unchosen outcomes indirectly.”\nMethods – 5.6.3 Model Variants Tested\n“To determine which computational model best captured participants’ decision behaviour on the 3-arm bandit task, we evaluated a series of hierarchical reinforcement learning models using Leave-One-Out Information Criterion (LOOIC) for model comparison. Each model made different assumptions about learning dynamics and decision processes, incorporating various combinations of the following parameter types:\nValence-specific learning rates for reward (Arew) and punishment (Apun)\nSensitivity parameters (R, P) that scaled outcome magnitudes prior to value updating\nInverse temperature parameters (tau or β) in softmax functions\nLapse rate parameters (xi) capturing random decision noise\nDecay and uncertainty tracking mechanisms (e.g., Kalman filter updates)\nA total of seven models were tested (Figure 13), ranging from simple Rescorla-Wagner frameworks to more complex models with lapse, decay, or Kalman filter components.\nTwo of these models–the banditNarm_delta and banditNarm_singleA_lapse–included a single learning rate (A) shared across reward and punishment outcomes. These models served as baseline comparisons to assess whether valence-specific learning rates provided a better account of the data. Both were outperformed by models with separate reward and punishment learning rates, indicating that asymmetric learning processes better captured participants’ behaviour. A detailed summary of all tested models, their included parameters, and structural rationale is provided in Table 4.”\nModel Variants Tested. Comparison of reinforcement learning models tested on the 3-arm bandit task. Each model varies in included parameters and computational assumptions. Arew = reward learning rate; Apun = punishment learning rate; A = shared learning rate; R = reward sensitivity; P = punishment sensitivity; xi = lapse parameter (choice noise); tau = softmax temperature; lambda = learning rate for uncertainty in Kalman filter; theta = initial uncertainty estimate; beta = precision of belief updating; decay = Q-value decay rate.\n\n\n### Reviewer D\nComment 2 & 3: Did the same model come out on the top for both 3-arm and 4-arm bandit tasks? Not much info is provided about the validation study, except for the sample size. It would be helpful for the authors to provide more details on how the 3-arm task was validated against the 4-arm task\nThe correlation between the parameters from these two tasks do not seem very convincing. Authors say that these correlations were significant in the text, but no p values are shown in the plots. There is a lot of variability in these parameters which makes me question whether learning is truly similar across both. It will also be helpful to plot model-agnostic scores across both tasks, such as the probability of staying after a win/lose. Additionally, the axes use different scales, which should be avoided as it confounds the interpretation\n\n\n### Author’s response\nResponse: In the validation study, participants completed both the 3-arm and 4-arm bandit tasks in randomized order to avoid order effects. The same set of seven candidate models was fit to both datasets, using an identical LOOIC-based model comparison procedure. These models included variants with shared and valence-specific learning rates, sensitivity terms, lapse parameters, and decay. In both tasks, the banditNarm_4par model–featuring separate learning rates and sensitivities–emerged as the model with the best evidence. We have now clarified this in the Model Selection section of the revised manuscript, to emphasize that our modelling approach was consistent across tasks and that the same model provided the best fit in both datasets. In addition, we now describe the validation procedure in detail: applying the same hierarchical model to both tasks and reporting moderate-to-strong correlations between corresponding parameters across tasks (Arew, Apun, R, P; Figure 2), alongside model-agnostic checks showing comparable win-stay and lose-shift behaviour with strong between-task correlations. Together, these additions explain how the 3AB was validated against the 4AB beyond sample size alone.\nMethods – 5.4 Task Validation with original 4-arm Bandit Task\n“To validate whether the 3AB task captures the same learning mechanisms as the 4AB task, a pilot study was conducted with 111 participants completing both tasks in random order. The use of randomization ensured that there was no learning bias from one task to the other. Hierarchical Bayesian modelling was applied to both tasks to estimate key parameters related to learning rates and sensitivity to rewards and punishments.”\nMethods – 5.6.1 Model Selection\n“These same models were also applied to data from the 4AB task in the validation study, using the same LOOIC-based comparison procedure. In both the 3AB and 4AB datasets, the banditNarm_4par model was chosen as the final candidate model. For interpretability, we report relative LOOIC values (Figure 13), computed by subtracting the minimum LOOIC across models. The model with a relative LOOIC of zero is the best-performing model. Although a model including a lapse parameter yielded the lowest LOOIC by a small margin, we selected the 4-parameter model (banditNarm_4par) as our final model.”\nResults – 2.1 Task Overview and Validation (parameter correlations across tasks)\n“A total of 111 participants (mean age = 40, SD = 12, 50% female) completed the initial validation study, which involved completing both the 3AB and 4AB tasks in randomized order. We applied the same hierarchical model (banditNarm_4par, i.e. 4 parameter model of reward/punishment learning rate and reward/punishment sensitivity) to both datasets and evaluated the consistency of estimated parameters across tasks. As shown in Figure 2, the reward learning rate (r = 0.49, p < 10–7), punishment learning rate (r = 0.46, p < 10–6), reward sensitivity (r = 0.52, p < 10–8), and punishment sensitivity (r = 0.61, p < 10–12) each showed moderate-to-strong positive correlations between the two task formats. These findings suggest that the simplified 3AB task preserves core reinforcement learning mechanisms measured by the original 4AB task.”\n“Figure 2. Validation of the 3AB Task: Correlational Analysis of 4AB and 3AB Model Parameters. Scatter plots illustrating the correlations between corresponding model parameters from the old 4AB task and the new 3AB task, using data from 111 subjects. Each subplot displays the Pearson correlation coefficient (r) and p-value, assessing the consistency of individual performance across reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). These plots aim to evaluate the validity of the new 3AB task by demonstrating whether similar patterns of behaviour are observed across both tasks.”\n“To further assess the consistency of decision-making behaviour across tasks, we compared model-agnostic strategy use (win-stay and lose-shift percentages) between the 3AB and 4AB tasks. Figure 3 presents group-level bar plots for each strategy. Win-stay behaviour was similar across tasks (3AB: Mean = 82.0%, SD = 27.5; 4AB: Mean = 81.0%, SD = 26.6), as was lose-shift behaviour (3AB: Mean = 68.7%, SD = 22.4; 4AB: Mean = 71.7%, SD = 22.2). Crucially, subject-level scores were highly correlated across task versions, with r = 0.81, p < .001 for win-stay and r = 0.70, p < .001 for lose-shift. These findings further support the validity of the 3AB task as a consistent and reliable tool for capturing reinforcement learning behaviour.”\n“Figure 3. Group-level mean win-stay and lose-shift percentages are shown for each task version among participants who completed both tasks (N = 111). Error bars represent standard error of the mean. Strategy use was highly similar across tasks. Win-stay behaviour averaged 82.0% (SD = 27.5) for the 3AB task and 81.0% (SD = 26.6) for the 4AB task; lose-shift behaviour averaged 68.7% (SD = 22.4) for 3AB and 71.7% (SD = 22.2) for 4AB. Individual-level behaviour was strongly correlated across tasks (win-stay: r = 0.81, p < .001; lose-shift: r = 0.70, p < .001), indicating consistent application of learning strategies across the two task structures. Error bars represent the standard error of the mean.”\n\n\n### Reviewer D\nComment 4: Did they fit the models across the entire sample or incorporated group information in the hierarchical estimation, it is not clear from their description.\n\n\n### Author’s response\nResponse: We thank the reviewer for this helpful query. We have now clarified our model-fitting approach in the Methods section. Specifically, we first fit the hierarchical Bayesian model jointly across all participants to estimate shared group-level parameters. As this approach revealed no significant differences between the anhedonic and non-anhedonic groups, we also fit the model separately within each group to allow for distinct hierarchical priors and group-specific parameter distributions. Both approaches yielded consistent patterns of results, strengthening the robustness of our conclusions. This clarification has been added to the “Model Fitting and Estimation” subsection.\nRevised text\nMethods – 5.6.4 Model Fitting and Estimation\n“We implemented the candidate model in a hierarchical Bayesian framework using MCMC sampling in Stan (2,000 iterations, 1,000 warmups, 4 chains), which estimated both individual and group-level parameters. We initially fit the hierarchical model jointly across all participants to estimate shared group-level parameters. As this analysis revealed no significant group differences, we then fit the model separately for the anhedonic and non-anhedonic groups to allow for distinct group-level priors and posterior distributions. Both approaches yielded comparable results, supporting the robustness of our findings across model-fitting strategies. The group- level parameters for learning rates and sensitivities were modelled as normally distributed, with learning rates and sensitivities constrained by an inverse probit transformation to lie within [0,1] and [0,30], respectively. Model fit was assessed via log-likelihood of observed choices, with posterior predictive checks to confirm that the model reproduced observed choice behaviour. Convergence diagnostics, such as the Gelman-Rubin statistic, verified adequate parameter convergence.”\n\n\n### Reviewer D\nComment 5: The manuscript would benefit from a more thorough comparison of the posterior distributions between groups, especially since HDIs were not clearly used to test differences.\n\n\n### Author’s response\nResponse: We thank the reviewer for this suggestion. In response, we conducted a dedicated HDI-based comparison of the group-level posteriors for each reinforcement learning parameter (reward/punishment learning rates and sensitivities). As visualized in the new Figure 7, the 95% HDIs for all between-group difference scores included zero. Moreover, posterior probability (pd) values did not exceed the conventional threshold for a reliable effect (all pd < 0.91). These results further reinforce the conclusions drawn from the Bayes Factor analyses, providing converging evidence that core reinforcement learning parameters do not differ systematically between anhedonic and non-anhedonic individuals.\nRevised text (Methods – 5.9 Bayesian Estimation of Group Differences Using Highest Density Intervals).\n“In addition to frequentist and Bayes Factor comparisons, we estimated the difference in group-level posterior means for each computational parameter (Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity) using 95% Highest Density Intervals (HDIs). For each parameter, we extracted the group-level posterior samples (mu parameters) for the Anhedonic and Non-Anhedonic groups from the hierarchical Bayesian model. These samples were used to compute the posterior distribution of the difference (Non-Anhedonic – Anhedonic). HDIs were computed using the HPDinterval function from the coda package in R, which identifies the narrowest interval containing 95% of the posterior mass. We also calculated the probability of direction (pd), defined as the proportion of posterior samples falling consistently above or below zero. Differences for which the 95% HDI excluded zero were considered credibly different across groups. Posterior densities and intervals were visualized using the tidybayes and ggplot2 packages, with separate panels for each parameter. These analyses provide a Bayesian alternative to frequentist t-tests and complement the Bayes Factor approach.”\nRevised text (Results).\n“Figure 7. Posterior Distributions and 95% Highest Density Intervals (HDIs) for Group-Level Model Parameters. Posterior densities are shown for each group-level parameter estimated via hierarchical Bayesian modelling, separately for Anhedonic and Non-Anhedonic participants. Black horizontal bars represent the 95% HDIs. Group difference scores were computed as Non-Anhedonic minus Anhedonic, such that negative values indicate higher estimates in the Anhedonic group. Across all parameters, the 95% HDIs of the group differences included zero, suggesting no credible differences between groups in learning rate or sensitivity parameters.”\n“To further assess group-level differences in reinforcement learning parameters, we conducted a Bayesian comparison of posterior distributions for each group-level parameter using 95% Highest Density Intervals (HDIs). Figure 7 visualizes the posterior distributions for each parameter (reward/punishment learning rate and sensitivity) in the Anhedonic and Non-Anhedonic groups. Group differences were defined as Non-Anhedonic minus Anhedonic, allowing us to interpret both the direction and uncertainty of effects. Across all parameters, the HDIs for the difference scores included zero, and posterior probability (pd) values ranged from 0.725 to 0.891, indicating insufficient evidence for reliable group-level differences. These findings align with the Bayes Factor analyses, which also provided moderate to strong support for the null hypothesis. Together, these results suggest that core reinforcement learning processes–including how participants update and weight reward and punishment information–are not meaningfully altered in individuals with anhedonia.”\n\n\n### Reviewer D\nComment 6: They do not show whether the simulated data recapitulated patterns observed in the model-agnostic task analysis, especially since the parameter recovery plots do not look convincing, particularly for learning rates. I would also recommend running many simulations and getting an idea of how consistent the spread of simulated parameters are.\n\n\n### Author’s response\nResponse: We have expanded the Simulation & Recovery analyses and added explicit checks that simulated behaviour recapitulates model-agnostic patterns. First, we simulated 200 trials per participant using their fitted parameters (Arew, Apun, R, P) and re-fit the model to the simulated datasets to assess parameter recovery (Methods 5.6.6–5.6.7). Recovery was high for all parameters (Arew r = 0.79–0.85; Apun r = 0.67–0.74; R r = 0.96–0.97; P r = 0.82–0.92; Figure 6). Second, we computed win–stay and lose–shift rates in simulated vs real data for each group (Figure 9) and report paired within-group differences along with Real–Sim correlations. Simulations slightly underestimated win–stay and over-estimated lose–shift at the mean level, but preserved individual-difference structure (e.g., win–stay Real–Sim r = 0.89 anhedonic; r = 0.86 non-anhedonic). Third, we now report the group-level prediction accuracy of the fitted model (mean 59.60% ± 16.73%; chance = 33%) in a histogram across subjects (Figure 11). Together, these additions show that the fitted model generalizes to held-out choices and that simulated datasets reproduce key model-agnostic strategy metrics while retaining rank-order individual differences.\nResults – 2.3 Model-Based Analysis of Learning Rates and Sensitivity\n“To investigate how anhedonia affects learning from rewards and punishments, we applied hierarchical Bayesian modelling to the data from the 3AB task, estimating individual learning rates and sensitivity to rewards and punishments. Parameter recovery (Figure 6) analysis confirmed that the model successfully captured key cognitive parameters for both anhedonic and non-anhedonic groups, with high correlations between original and simulated values: reward learning rate (Arew) r = 0.79-0.85, punishment learning rate (Apun) r = 0.67-0.74, reward sensitivity (R) r = 0.96-0.97, and punishment sensitivity (P) r = 0.82-0.92. This high level of recovery suggests the model’s robustness in reproducing observed data and capturing individual differences.”\n“Figure 6. Parameter Recovery for Learning Rates and Sensitivity. The scatter plot displays the parameter recovery results for reward and punishment learning rates, as well as for reward and punishment sensitivity, across anhedonic and non-anhedonic groups. Each scatter plot compares the original parameters with the simulated parameters, with an accompanying trend line and Pearson correlation coefficient (r). Arew: r=0.79 (anhedonic), r=0.85 (non-anhedonic), Apun: r=0.67 (anhedonic), r=0.74 (non-anhedonic), R: r=0.96 (anhedonic), r=0.97 (non-anhedonic), P: r=0.82 (anhedonic), r=0.92 (non-anhedonic).”\nMethods – 5.6.6 Simulated Data\n“To validate model parameters, we simulated 200 trials per subject in a 3-armed bandit structure. Choices were generated based on each participant’s estimated parameters (Arew, Apun, R, P), using the softmax function to determine probabilities of selecting each option. Outcomes were sampled based on predefined reward and punishment probabilities, and Q-values were updated accordingly. For unchosen options, Q-values were updated using counterfactual updates, where no reward or punishment (i.e., an outcome of zero) was assumed. This approach reflects implicit learning effects, capturing how participants might adjust expectations for unselected options even in the absence of observed outcomes. By incorporating these updates in the simulation, we ensured consistency with the assumptions of our hierarchical Bayesian model.”\nMethods – 5.6.7 Parameter Recovery\n“We performed parameter recovery to validate model accuracy by generating simulated data based on original model parameters and fitting the model again to this data. Comparing recovered parameters with original parameters allowed us to evaluate the accuracy of estimates for reward learning rate (Arew), punishment learning rate (Apun), reward sensitivity (R), and punishment sensitivity (P). The hierarchical Bayesian model fit was repeated using MCMC sampling in the hBayesDM package, with the posterior distributions providing reliable estimates of individual differences. Convergence diagnostics and posterior predictive checks further confirmed model validity.”\n“Figure 9. Win-stay and lose-shift strategy rates in real vs simulated data across groups. Bars show group means for Anhedonic and Non-Anhedonic participants with separate bars for Real (darker) and Simulated (lighter) data; error bars indicate standard error of the mean (SE). Simulations slightly underestimated win-stay (Δ(Sim–Real) ≈ –3.5 to –4.9 percentage points) and over-estimated lose-shift (Δ ≈ +12.8 to +13.2 points); paired within-group comparisons were significant (see Results). Subject-wise Real.Sim correlations were high for win-stay and moderate for lose-shift, indicating preservation of individual-difference structure.”\n“We applied the same model-agnostic win-stay and lose-shift analysis to simulated data generated from each participant’s fitted parameters (Figure 9). Within each group, we compared simulated and real strategy rates using paired-sample t-tests. For win-stay, the anhedonic group showed 81.88% (SD = 19.02) in simulations vs 85.39% (SD = 19.88) in real data (Δ (Sim–Real) = –3.51 percentage points, t(110) = –3.97, p < .001, dz = –0.38, 95% CI [–5.26, –1.76]); the non-anhedonic group showed 76.25% (SD = 19.84) vs 81.12% (SD = 25.90) (Δ = –4.87 percentage points, t(94) = –3.55, p = .001, dz = –0.36, 95% CI [–7.59, –2.15]). For lose-shift, the anhedonic group showed 83.99% (SD = 10.66) in simulations vs 71.15% (SD = 18.65) in real data (Δ = +12.84 percentage points, t(110) = 9.25, p < .001, dz = 0.88, 95% CI [+10.09, +15.60]); the non-anhedonic group showed 82.57% (SD = 11.64) vs 69.42% (SD = 22.03) (Δ = +13.16 percentage points, t(94) = 7.72, p < .001, dz = 0.79, 95% CI [+9.77, +16.54]). Despite these mean-level calibration differences (simulations slightly underestimating win-stay and overestimating lose-shift), individual differences were preserved: Real–Sim correlations were high for win-stay (anhedonic: r = 0.89, 95% CI [0.84, 0.92]; non-anhedonic: r = 0.86, 95% CI [0.80, 0.91]) and moderate for lose-shift (anhedonic: r = 0.62, 95% CI [0.49, 0.72]; non-anhedonic: r = 0.67, 95% CI [0.55, 0.77]). These checks indicate the generator reproduces rank-order structure while exhibiting small, systematic mean-level biases.”\nMethods – 5.6.5 Model Prediction Accuracy and Comparison to Observed Choices\n“We calculated per-subject prediction accuracy as the proportion of trials (out of 200) in which the model’s top-predicted action matched the participant’s actual choice. This provided an intuitive index of how well the model reproduced observed behaviour. Accuracy scores were then summarized across subjects to yield a group-level distribution, which we visualized in a histogram (see Figure 11). The average accuracy across the sample was 59.60% (SD = 16.73%), substantially above the chance level of 33%.”\n\n\n### Reviewer D\nComment 7: Is there any additional information on participants’ mental health history, medication, etc?\n\n\n### Author’s response\nResponse: We thank the reviewer for raising this important point. As this was an online study conducted via Prolific, we did not collect detailed information on participants’ mental health history or medication use. We now explicitly note this as a limitation in the revised manuscript. While this limits clinical interpretability, our use of validated self-report measures (SHAPS and DARS) allowed us to stratify participants based on anhedonia traits in a large sample. We agree that future studies incorporating clinical interviews and medication history will be important to build on these findings.\nDiscussion – Limitations and Future Directions\n““Additionally, the use of an online sample from Prolific, where mental health conditions may be overrepresented, presents both strengths and limitations. Prolific enables access to diverse populations, but the symptom severity and clinical profiles of participants may differ from those in formal clinical settings, where anhedonia is often more pronounced. Although we employed a SHAPS cut-off of 3 to identify clinically significant anhedonia, the self-selected nature of the sample may introduce biases. Moreover, we did not collect information about participants’ mental health history or psychiatric medication use, limiting the clinical interpretability of the findings. While the use of validated self-report measures enabled robust group stratification based on anhedonia traits, future studies should incorporate structured clinical assessments, medication history, and neurobiological measures (e.g., neuroimaging or biomarkers) to improve generalizability and provide a more comprehensive understanding of how anhedonia affects reward processing. These approaches could ultimately inform the development of more targeted interventions for mood disorders.”\n\n\n### Reviewer D\nComment 8: Would authors consider scoring SHAPS on a 1–4 scale? This might provide a better spread of scores.\n\n\n### Author’s response\nResponse: We appreciate the reviewer’s suggestion. In this study, we opted to use a binary scoring approach for the SHAPS, consistent with its original validation and clinical use (Snaith et al., 1995). This approach allowed us to apply an established cut-off (SHAPS > 2) to define clinically significant anhedonia and stratify participants accordingly. As our primary aim was to assess whether the task could distinguish between individuals with and without clinically meaningful anhedonia, this dichotomous classification aligned with our goal of eventual application in patient populations.\nWe agree that a 1.4 scoring approach would yield a more continuous and nuanced distribution of anhedonia scores, which may be useful in future studies focused on trait-level variation in the general population. However, for the current purpose of testing the sensitivity of the 3AB task to clinically relevant anhedonia, in our view the binary approach is appropriate.\nDiscussion – 3.5 Limitations and Future Directions\n“Also, we used the SHAPS in its original binary form to enable classification based on established clinical cut-offs, aligning with our aim of testing whether the 3AB task is sensitive to clinically significant anhedonia. While scoring SHAPS on a continuous 1.4 scale can provide greater granularity in general population samples, our primary objective was to identify robust group-level differences that would be applicable to future clinical studies. Importantly, we also explored the relationship between task performance and continuous SHAPS scores across the full sample, and this analysis yielded results consistent with the group comparison approach.further supporting the conclusion that the task may not be sensitive to individual differences in anhedonia, regardless of scoring method.”\nMethods – 5.2 Mood Questionnaires\n“The SHAPS cut-off score of >2 was used to define anhedonia, as this is a recognized clinical threshold indicating significant deficits in hedonic capacity (Snaith et al., 1995). For the DARS, participants who scored .45 were classified as anhedonic. Participants who scored 0 on the SHAPS and >55 on the DARS were classified as non-anhedonic.”\nMethods – Participants.\n“To recruit 100 participants in the anhedonic range and 100 in the non-anhedonic range, we pre-screened a total of 1,000 participants. We classified participants as anhedonic if they scored >2 on the SHAPS and .45 on the DARS. This DARS threshold was determined based on 1 standard deviation (SD) below the mean, as reported in the original DARS validation study (Rizvi et al., 2015). Conversely, participants were classified as non-anhedonic if they scored 0 on the SHAPS and >55 on the DARS, indicating a higher hedonic capacity. This pre-screening aimed to ensure a clear distinction between anhedonic and non-anhedonic groups for the study. While dichotomization can reduce sensitivity to dimensional effects, we selected this extreme groups approach to maximize contrast between participants with clinically significant anhedonia and those with minimal symptoms. This strategy, guided by SHAPS and DARS thresholds, allowed for interpretable comparisons of core reinforcement learning processes across distinct symptom levels. Moreover, the inclusion of both SHAPS and DARS helped address potential psychometric limitations of SHAPS alone.”\n\n\n### Reviewer D\nComment: It is also important to describe how well the participants performed in the validation study. The tasks are quite long (~20 min each), making for an extended session if they also have to complete questionnaires.\n\n\n### Author’s response\nResponse: We thank the reviewer for this helpful suggestion. In the revised manuscript, we now clarify that participants completed both the 3AB and 4AB tasks in randomized order, and that each task took approximately 15–20 minutes. To assess engagement and performance, we excluded participants with evidence of inattentiveness (e.g., excessive non-responses i.e. or repeated choices with a cut off of 10% of total trials in either of these two criteria), and model fit was high across the sample. We also note that participants demonstrated robust use of adaptive strategies, with average win-stay behaviour exceeding 80% and lose-shift behaviour near 70% in both tasks.\nMethods – 5.4 Task Validation with original 4-arm Bandit Task\n“To validate whether the 3AB task captures the same learning mechanisms as the 4AB task, a pilot study was conducted with 111 participants completing both tasks in random order. The use of randomization ensured that there was no learning bias from one task to the other.”\nMethods – 5.5 Data cleaning\n“As the task was implemented online where we could not ensure the same testing standards as we could in-person, we used 2 exclusion criteria to improve data quality. We excluded those who responded with the same response key on 20 or more consecutive trials (> 10% of all trials). Additionally, we also excluded those who did not respond on 20 or more trials out of the total 200 trials.”\nMethods – 5.6.5 Model Prediction Accuracy and Comparison to Observed Choices\n“The average accuracy across the sample was 59.60% (SD = 16.73%), substantially above the chance level of 33%.”\nRevised text (Results - Figure 3 caption).\n“Figure 3. Group-level mean win-stay and lose-shift percentages (± SD) are shown for each task version among participants who completed both tasks (N = 111). Strategy use was highly similar across tasks. Win-stay behaviour averaged 82.0% (SD = 27.5) for the 3AB task and 81.0% (SD = 26.6) for the 4AB task; lose-shift behaviour averaged 68.7% (SD = 22.4) for 3AB and 71.7% (SD = 22.2) for 4AB. Individual-level behaviour was strongly correlated across tasks (win-stay: r = 0.81, p < .001; lose-shift: r = 0.70, p < .001), indicating consistent application of learning strategies across the two task structures.”\n\n\n### Reviewer F\nComment: The larger sample from which the high- and low-anhedonia participants were sampled has very odd relationships among scales. Participants reporting less depression also reported more anhedonia, and there was no relationship between depression and GAD-7 scores. This pattern does not reflect known relationships among these measures. It instead suggests 1) this sample’s pattern of psychopathology is unusual, and findings are unlikely to generalize to the larger population, 2) participants responded inattentively or did not understand instructions, or 3) participants were aware of the initial screening and answered in a way that did not reflect their experiences in order to pass the screening. More stringent data cleaning may create a subsample of participants who report expected relationships among symptoms; however, as-is the questionnaire data does not appear valid.\n\n\n### Author’s response\nResponse: We appreciate the reviewer’s concern and agree that the symptom correlations observed in our pre-screening sample were atypical. However, we do not believe they reflect invalid data or disengaged participants, for several reasons. First, we implemented stringent item-level attention checks across all mood questionnaires (SHAPS, DARS, ZUNG, and GAD-7), and excluded any participant who failed even one check, ensuring only attentive responders were retained.\nSecond, the psychometric literature has increasingly recognized that in large, online, non-clinical samples, mood and anxiety scales often show non-canonical or weaker intercorrelations, especially when screening for extreme phenotypes. Recent studies (e.g., Ho et al., 2024; Niu et al., 2024) demonstrate that anhedonia, depression, and anxiety can load onto distinct latent dimensions, and may diverge more strongly in subclinical or self-report-based populations than in clinical ones. Such dissociations are especially likely in broad screening contexts, where individuals may report high negative affect without experiencing low positive affect, or vice versa.\nFinally, our primary analyses were conducted not on the screening sample but on the final extreme groups (111 high-anhedonia and 95 low-anhedonia participants), all of whom completed a full-length reward task and passed rigorous data quality filters. To address this concern directly, we examined within-sample symptom correlations in this final task cohort (N = 206). As shown in Figure 5, the expected structure largely emerged:\nSHAPS and DARS showed a strong negative correlation (as expected, given their opposite scoring conventions: r = –0.86, p < .001), indicating high construct convergence.\nSHAPS was positively associated with anxiety (GAD: r = 0.60, p < .001) and negatively associated with ZUNG (r = –0.37, p < .001).\nDARS was negatively associated with GAD (r = –0.58, p < .001) and positively associated with ZUNG (r = 0.43, p < .001).\nNotably, ZUNG and GAD were not significantly correlated in this sample (r = –0.10, p = .169).\nThese findings reaffirm that symptom dimensions were not fully redundant in our sample, and they support the discriminant validity of anhedonia within the broader affective landscape. We thus remain confident in the validity and interpretability of our data.\nMethods\n5.2 Mood Questionnaires\n“Each self-report mood questionnaire included an attention check item to identify and exclude inattentive responders. These items were chosen to be logically improbable statements, making inattentive responses easily detectable without directly signalling the check. The attention checks were as follows:\nGAD-7: “Have there been times in your life where you blinked your eyes at least once per day?”\nSHAPS: “Have there been times of a couple of days or more when you were able to breathe underwater (without an oxygen tank)?”\nZUNG: “I have never used a computer.”\nDARS: No attention check was included, as participants provided subjective responses across multiple items, ensuring engagement.\nFindings from Zorowitz et al. (2023) underscore the importance of attention checks in symptom surveys, as inattentive responses can artificially inflate correlations between self-reported symptoms and cognitive measures. In our study, any participant failing even one attention check was excluded to ensure robust data quality. This rigorous approach reduces the risk of spurious findings and enhances the reliability of observed relationships between symptom measures and task performance, providing a clearer view of the psychological profiles of anhedonic and non-anhedonic participants.”\n5.5 Data Cleaning\n“As the task was implemented online where we could not ensure the same testing standards as we could in-person, we used 2 exclusion criteria to improve data quality. We excluded those who responded with the same response key on 20 or more consecutive trials (> 10% of all trials). Additionally, we also excluded those who did not respond on 20 or more trials out of the total 200 trials.”\nResults\n2.2 Prescreening Results\n“DARS vs. ZUNG showed a moderate positive correlation (r = 0.34), suggesting that, surprisingly, higher depression scores are associated with lower anhedonia on the DARS scale. … SHAPS vs. ZUNG exhibited a weak negative correlation (r = –0.18), again suggesting that depression and anhedonia are quite separable. GAD vs. ZUNG showed no significant correlation (r = –0.01), which is surprising given the frequent overlap between anxiety and depression. This result suggests that in this sample, these two symptoms may manifest more independently.”\nTask-performing sample (N = 206):\n“Figure 5. Pairwise Pearson correlations between questionnaire scores in the final task sample (N = 206). Scatter plots show individual subject data and Pearson correlation coefficients (r) with associated p-values. DARS = Dimensional Anhedonia Rating Scale; SHAPS = Snaith-Hamilton Pleasure Scale; GAD = Generalized Anxiety Disorder scale; ZUNG = Zung Depression Scale.”\nResults – Task-performing sample (N = 206) relationships:\n“As expected, the two anhedonia scales were strongly negatively correlated (DARS–SHAPS: r = –0.86, p < .001), supporting construct validity. DARS also showed moderate negative correlations with anxiety (GAD: r = –0.58, p < .001), and a moderate positive correlation with depression (ZUNG: r = 0.43, p < .001). SHAPS was positively correlated with GAD (r = 0.60, p < .001), and negatively correlated with ZUNG (r = –0.37, p < .001). ZUNG and GAD, however, were not significantly correlated (r = –0.10, p = .169), indicating partial dissociation between symptom domains. These relationships suggest a coherent yet non-redundant structure, consistent with dimensional models of mood disorders, and support the interpretability of subsequent analyses.”\nMethods\n5.2 Mood Questionnaires:\n“To complement our earlier descriptive analyses based on the full pre-screened sample (N = 935), we also examined inter-scale correlations within the subset of participants who completed the task (N = 206; 111 anhedonic, 95 non-anhedonic). … Results are visualized in Figure 5 and reported alongside sample sizes for transparency. This analysis addresses reviewer concerns about potentially counterintuitive or heterogeneous associations between scales in the task-performing sample.”\nDiscussion\n3.4 Contributions to Computational Psychiatry\n“We also confirmed that mood and anhedonia measures in our task-performing sample showed expected directional relationships (Figure 5), suggesting that the sample’s clinical heterogeneity did not introduce inconsistencies in symptom structure that would obscure reward-processing effects.”\n3.5 Limitations and Future Directions:\n“This mirrors prior work highlighting potential dissociations between self-report and behavioural measures in psychiatric research (Eisenberg et al., 2019; Enkavi et al., 2019), and may reflect the challenge of capturing trait anhedonia through performance-based metrics alone.”\n\n\n### Reviewer F\nComment: It’s not clear why the authors chose to artificially dichotomize anhedonia and lose power, particularly when one of the measures used (SHAPS) has poor psychometric properties.”\n\n\n### Author’s response\nResponse: We appreciate the reviewer’s concern regarding the dichotomization of anhedonia scores. Our rationale for this choice was both practical and theoretical:\nDesign constraint for task comparison:\nThe 3AB task was initially validated using an extreme groups design (anhedonic vs. non-anhedonic) to ensure maximal contrast in hedonic capacity. This approach was motivated by the low prevalence of high-anhedonia individuals in the general population and the need to secure a sufficient sample of such individuals for powered group comparisons.\nPre-screening strategy:\nWe screened 1,000 individuals on SHAPS and DARS, specifically to identify participants at the extremes of the anhedonia spectrum. This allowed us to cleanly separate participants with clinically relevant anhedonia from those with negligible symptoms, aligning with prior work using SHAPS thresholds of >2 for anhedonia (Rizvi et al., 2015; Snaith et al., 1995).\nPlanned dimensional follow-ups:\nWhile our main analyses were conducted on dichotomized groups, we also explored dimensional relationships between DARS subscales and model parameters (see Table 2), finding no significant effects. Thus, the choice to focus on group comparisons did not obscure any strong dimensional trends in our data.\nOn SHAPS psychometrics:\nWe acknowledge that the SHAPS has known psychometric limitations, particularly ceiling effects in healthy samples (Rizvi et al., 2016). To address this, we also used the DARS, a more comprehensive and continuous measure of anhedonia. Importantly, group classification was based on both SHAPS and DARS, ensuring greater construct validity and reducing reliance on any single measure.\nRevised text\nMethods 5.1 Participants\n“We classified participants as anhedonic if they scored >2 on the SHAPS and ≤45 on the DARS. … Conversely, participants were classified as non-anhedonic if they scored 0 on the SHAPS and >55 on the DARS, indicating a higher hedonic capacity. This pre-screening aimed to ensure a clear distinction between anhedonic and non-anhedonic groups for the study. While dichotomization can reduce sensitivity to dimensional effects, we selected this extreme groups approach to maximize contrast between participants with clinically significant anhedonia and those with minimal symptoms. This strategy, guided by SHAPS and DARS thresholds, allowed for interpretable comparisons of core reinforcement learning processes across distinct symptom levels. Moreover, the inclusion of both SHAPS and DARS helped address potential psychometric limitations of SHAPS alone.”\n“In a prior validation study, we tested the 3AB task against the 4AB task with 100 participants in each group. From these groups, only 15 participants scored within the anhedonic range based on a SHAPS cut-off score of > 2 and a DARS cut-off score of .45. Given this low proportion of anhedonic participants in the general population, we pre-screened a larger sample of 1,000 participants to ensure we reached our target of 100 anhedonic participants for this study.”\n5.2 Mood Questionnaires:\n“The SHAPS cut-off score of >2 was used to define anhedonia, as this is a recognized clinical threshold indicating significant deficits in hedonic capacity (Snaith et al., 1995). For the DARS, participants who scored .45 were classified as anhedonic. Participants who scored 0 on the SHAPS and >55 on the DARS were classified as non-anhedonic.”\nDiscussion\n3.5 Limitations & Future Directions\n“Also, we used the SHAPS in its original binary form to enable classification based on established clinical cut-offs, aligning with our aim of testing whether the 3AB task is sensitive to clinically significant anhedonia. While scoring SHAPS on a continuous 1.4 scale can provide greater granularity in general population samples, our primary objective was to identify robust group-level differences that would be applicable to future clinical studies. Importantly, we also explored the relationship between task performance and continuous SHAPS scores across the full sample, and this analysis yielded results consistent with the group comparison approach.further supporting the conclusion that the task may not be sensitive to individual differences in anhedonia, regardless of scoring method.\n\n\n### Reviewer F\nComment: A strength of the paper, as the authors note, is the use of hierarchical Bayesian approaches. However, the authors deal with the estimated parameters incorrectly by using individual parameters (which have been influenced by other participants’ data through partial pooling) in subsequent analyses. The authors do not report how they determined group structure, but I assume they analyzed all participants as part of one large group in the hierarchical structure. If so, this will shift participants’ estimates closer together and increase the rate of false negatives when those estimates are then correlated with other variables (i.e., anhedonia). Please see citations below. The authors can confirm these effects by simulating parameters with a known relationship to an external measure (representing anhedonia) and examining the relationship with recovered parameters that are estimated using the current approach vs. the one in the citations below.\n\n\n### Author’s response\nResponse: We thank the reviewer for this important methodological observation. We agree that using partially pooled individual-level parameters from a hierarchical Bayesian model in downstream regression or correlation analyses can reduce variance and lead to false negatives. In line with the reviewer’s suggestions and the recommendations of Boehm et al. (2018), Haines et al. (2020), Brown et al. (2020), and Waltmann et al. (2022), we have made several clarifications in the manuscript:\nOur primary group comparisons were conducted within the hierarchical model itself, using posterior distributions and 95% Highest Density Intervals (HDIs) to estimate group differences (Figure 7). This approach avoids issues associated with shrinkage and allows for robust inference at the group level.\nWe also fit the model separately for anhedonic and non-anhedonic groups, reducing cross-group shrinkage and preserving group-specific variance.\nExploratory correlations between individual parameters and questionnaire scores were interpreted with caution, and we now explicitly note in the manuscript that these may underestimate associations due to shrinkage. We cite the above references to highlight that fully Bayesian joint modelling represents a stronger alternative and a key direction for future work.\nWe believe that the current results and interpretations are appropriately cautious and methodologically sound, and we thank the reviewer for prompting this important clarification.\nMethods\n5.6.4 Model Fitting and Estimation\n“We implemented the candidate model in a hierarchical Bayesian framework using MCMC sampling in Stan (2,000 iterations, 1,000 warmups, 4 chains), which estimated both individual and group-level parameters. We initially fit the hierarchical model jointly across all participants to estimate shared group-level parameters. As this analysis revealed no significant group differences, we then fit the model separately for the anhedonic and non-anhedonic groups to allow for distinct group-level priors and posterior distributions. Both approaches yielded comparable results, supporting the robustness of our findings across model-fitting strategies.”\n5.9 Bayesian Estimation of Group Differences Using Highest Density Intervals (HDIs)\n“In addition to frequentist and Bayes Factor comparisons, we estimated the difference in group-level posterior means for each computational parameter (Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity) using 95% Highest Density Intervals (HDIs). For each parameter, we extracted the group-level posterior samples (mu parameters) for the Anhedonic and Non-Anhedonic groups from the hierarchical Bayesian model. These samples were used to compute the posterior distribution of the difference (Non-Anhedonic – Anhedonic). HDIs were computed using the HPDinterval function from the coda package in R, which identifies the narrowest interval containing 95% of the posterior mass. We also calculated the probability of direction (pd), defined as the proportion of posterior samples falling consistently above or below zero. Differences for which the 95% HDI excluded zero were considered credibly different across groups.”\nResults\n2.4 Comparison of Learning Rates and Sensitivities Across Anhedonic and Non-Anhedonic Groups\nFigure 7. Posterior Distributions and 95% Highest Density Intervals (HDIs) for Group-Level Model Parameters. Posterior densities are shown for each group-level parameter estimated via hierarchical Bayesian modelling, separately for Anhedonic and Non-Anhedonic participants. Black horizontal bars represent the 95% HDIs. Group difference scores were computed as Non-Anhedonic minus Anhedonic, such that negative values indicate higher estimates in the Anhedonic group. Across all parameters, the 95% HDIs of the group differences included zero, suggesting no credible differences between groups in learning rate or sensitivity parameters.\n“To further assess group-level differences in reinforcement learning parameters, we conducted a Bayesian comparison of posterior distributions for each group-level parameter using 95% Highest Density Intervals (HDIs). Figure 7 visualizes the posterior distributions for each parameter (reward/punishment learning rate and sensitivity) in the Anhedonic and Non-Anhedonic groups. Group differences were defined as Non-Anhedonic minus Anhedonic, allowing us to interpret both the direction and uncertainty of effects. Across all parameters, the HDIs for the difference scores included zero, and posterior probability (pd) values ranged from 0.725 to 0.891, indicating insufficient evidence for reliable group-level differences. These findings align with the Bayes Factor analyses, which also provided moderate to strong support for the null hypothesis. Together, these results suggest that core reinforcement learning processes–including how participants update and weight reward and punishment information–are not meaningfully altered in individuals with anhedonia.”\nRevised text (Figure 12 caption).\n“Figure 12. Group Comparisons of Model Parameters and Self-Reported Anhedonia Measures (DARS and SHAPS). This figure illustrates the relationship between self-reported anhedonia and computational model parameters of reward and punishment learning. Scatter plots display the distribution of scores for the two questionnaire measures–DARS (daily activity and reward engagement) and SHAPS (hedonic capacity)–in relation to four computational model parameters: Reward Learning Rate, Punishment Learning Rate, Reward Sensitivity, and Punishment Sensitivity. Each point is color-coded by group (anhedonic or non-anhedonic). Although correlation values are presented, these should be interpreted with caution due to the extreme groups design, which limits variability in one group and affects the generalizability of linear relationships. The figure primarily highlights that there is no strong link between subjective anhedonia group status and performance-based measures of reward and punishment processing.”\n\n\n### Reviewer F\nComment: (a) The 3-armed bandit task developed here has varying levels of reward and punishment for each arm, while the original 4-armed bandit used by Daw etc. usually only has reward… It’s not clear how this reduces cognitive load.\n(b) How do the authors define and measure cognitive load? How can we know that 1) this task is lower in cognitive load, and 2) what level of cognitive load is low enough to not interfere with learning?\n\n\n### Author’s response\nResponse: We thank the reviewer for raising this important point regarding our rationale for reducing cognitive load.\n(a) We would like to clarify that the original 4-arm task on which our 3-arm bandit is based is the Seymour et al. (2012) paradigm, not the reward-only Daw et al. (2006) task. The Seymour task includes both win and loss outcomes for each of the four options, requiring participants to track 8 outcome probabilities (4 options × 2 valences). Our 3-arm adaptation reduces this to 6 probabilities (3 options × 2 valences), thereby reducing working memory demands. Additionally, we increased the frequency of outcome delivery (by raising the ceiling of drifting probabilities from 0.5 to 0.75), ensuring more frequent reinforcement signals to support learning and reduce memory demands between feedback events.\n(b) Regarding the broader question of how we define and assess cognitive load: we did not include an explicit metric of cognitive load in the current study. Instead, our definition is operational, based on known task features that modulate cognitive demand in reinforcement learning paradigms (Collins & Frank, 2012). Specifically, we reduced:\nThe number of options (3 vs. 4),\nThe number of outcome states tracked (6 vs. 8),\nAnd increased outcome frequency, which provides denser feedback.\nThese features were selected based on evidence that such manipulations can reduce working memory demands and improve model fit, particularly in online and clinical settings where engagement and task adherence are more variable. We have now added clarifying text in the manuscript to reflect this rationale more explicitly.\nRevised text\nIntroduction\n“Multi-armed bandit (MAB) tasks are widely used to study dynamic reward-based learning. However, standard versions like the 4-armed bandit (Daw et al., 2006) are cognitively demanding and typically only model reward, omitting losses or punishments. Here, we adapted the paradigm introduced by Seymour et al. (2012), which involves separate drifting reward and punishment values for each choice option–allowing independent estimation of reward and punishment sensitivity. Our task reduced the number of options from four to three, lowering working memory demands (from 8 expected values to 6) and making the paradigm more suitable for online deployment. We also provided outcome feedback on every trial to enhance model identifiability.”\nResults – 2.1 Task Overview and Validation\n“By reducing the number of choices from four to three, participants have to track only three sets of reward and punishment probabilities instead of four, simplifying the learning process while preserving reinforcement learning mechanisms. Additionally, the probabilities of encountering both reward and punishment were increased by a factor of 1.5 compared to the 4AB task (in which the probability fluctuated between 0 and 0.5; we increased the ceiling to 0.75) with the intention of creating a more engaging experience that would better highlight individual differences in learning behaviour.”\n“Figure 1. Structure of the modified 3-Arm Bandit (3AB) Task. (a) Visual representation of the modified 3-arm bandit task. Subjects choose between three options (arms), each associated with distinct reward and punishment probabilities. (b) Any arm selection can result in one of the four possible outcomes i.e. nothing, win token (green only), loss token (red only), or both. The task was designed to reduce cognitive load compared to the traditional 4-arm bandit task by limiting the number of choices and increasing the probability of both reward and punishment outcomes across trials. Outcome probabilities of win and loss events shown in (c).”\nDiscussion\n3.5 Limitations & Future Directions\n“Although we describe the 3AB task as reducing cognitive load relative to the original Seymour et al. (2012) paradigm, we did not include a formal metric of cognitive load in this study. Instead, our rationale was heuristic and based on established features known to influence working memory and attentional demands in reinforcement learning tasks (Collins & Frank, 2012). These included reducing the number of choices (3 vs. 4), reducing the number of outcome contingencies tracked (6 vs. 8), and increasing outcome frequency. Future work should consider directly assessing cognitive load to empirically confirm whether such design changes meaningfully reduce demands in both online and clinical populations.”\nFully Revised Text: Abstract\nAnhedonia, a transdiagnostic symptom marked by diminished reward sensitivity is often linked to impairments in reinforcement learning (RL). Standard tasks (e.g., the 4-arm bandit) can place substantial demands on participants and may blur valuation with other processes. We therefore adapted a three-arm bandit (3AB) task from Seymour et al. (2012), incorporating design features intended to lessen task demands (fewer options; denser feedback) while enabling separate estimation of reward/punishment learning rates and sensitivities. In an online sample pre-screened for anhedonia (N = 206; 111 anhedonic, 95 non-anhedonic), hierarchical Bayesian models (four-parameter specification) showed no group differences in learning-rate or sensitivity parameters; Bayes factors favoured the null (BF01 = 3.36–5.96). Model-agnostic win-stay/lose-shift strategies likewise showed no group differences (Welch’s tests, all p > .05). Posterior predictive checks indicated above-chance choice prediction: the model’s highest-probability action matched participants’ actual choices on 59.6% of trials (chance = 33% with three options). Parameter recovery was excellent for valuation parameters (r = 0.96–0.97) and acceptable for learning rates (r = 0.67–0.85). In simulations generated from fitted parameters, correlations between each participant’s observed and model-generated strategy rates were high for win-stay (r = 0.89 anhedonic; 0.86 non-anhedonic) and moderate for lose-shift (r = 0.62; 0.67), alongside small, systematic mean-level biases: simulated win-stay was lower by 3.5–4.9 percentage points and simulated lose-shift was higher by 12.8–13.2 points (paired within-group tests). Altogether, these results indicate no reliable group differences in core RL parameters or simple choice strategies in the real data, with a modelling framework that yields valid parameter estimates and generative predictions while preserving individual-difference structure.\nKeywords: Anhedonia, reinforcement learning, 3-arm bandit, Hierarchical Bayesian modelling, reward and punishment sensitivity, Online behavioural study\n1 Introduction\nAnhedonia, classically defined as a diminished ability to experience pleasure, is a core feature of major depressive disorder (American Psychiatric Association, 2013). More recent conceptualizations extend this definition to include impairments in reward valuation and subjective responsiveness to positive stimuli (Treadway & Zald, 2011; Der-Avakian & Markou, 2012). Importantly, anhedonia is distinct from motivational deficits such as apathy or effort discounting (Husain & Roiser, 2018). Instead, it may reflect a more specific reduction in reward sensitivity.the hedonic impact or subjective value of rewarding outcomes.rather than impaired capacity to pursue them (Hall et al., 2024). As a transdiagnostic symptom, anhedonia contributes to clinical burden across multiple disorders including depression, schizophrenia, PTSD, and substance use, and is associated with poor treatment response and elevated relapse risk (Culbreth et al., 2018; Nawijn et al., 2015; Garfield et al., 2014; Winer et al., 2019).\nValidated self-report tools such as the Snaith-Hamilton Pleasure Scale (SHAPS; Snaith et al., 1995) and the Dimensional Anhedonia Rating Scale (DARS; Rizvi et al., 2015, 2016) are widely used to measure anhedonia. The DARS, in particular, captures domain-specific deficits across hobbies, social interaction, sensory experiences, and food/drink, and has demonstrated better psychometric sensitivity than SHAPS. However, the link between self-reported anhedonia and objective reward behaviour remains unclear. While some studies report that anhedonia is associated with blunted reward responsiveness or reduced learning (Kumar et al., 2008; Huys et al., 2013), others find no consistent associations (Harle et al., 2017; Halahakoon et al., 2020; Pike & Robinson, 2022).\nReinforcement learning (RL) models allow formal estimation of latent cognitive variables that shape decision-making, including learning rates, reward sensitivity, punishment sensitivity, and decision noise (Sutton & Barto, 2018; Daw, 2011). Such models are increasingly used in computational psychiatry to parse affective symptoms into mechanistic components (Ahn et al., 2017; Whitton et al., 2015). However, a recent meta-analysis showed that RL differences between individuals with and without depression are modest in size and highly task-dependent (Pike & Robinson, 2022). Notably, reward sensitivity parameters.reflecting the subjective value assigned to rewarding outcomes.may be more closely tied to anhedonia than learning rate or exploration parameters (Kieslich et al., 2022). This is supported by theoretical models that separate “liking” (hedonic valuation) from “wanting” (motivational drive) in the neuroscience of reward (Treadway & Zald, 2010; Berridge & Robinson, 2003).\nMulti-armed bandit (MAB) tasks are widely used to study dynamic reward-based learning. However, standard versions like the 4-armed bandit (Daw et al., 2006) are cognitively demanding and typically only model reward, omitting losses or punishments. Here, we adapted the paradigm introduced by Seymour et al. (2012), which involves separate drifting reward and punishment values for each choice option.allowing independent estimation of reward and punishment sensitivity. Our task reduced the number of options from four to three, lowering working memory demands (from 8 expected values to 6) and making the paradigm more suitable for online deployment. We also provided outcome feedback on every trial to enhance model identifiability.\nWhile recent studies have adopted other 3-armed paradigms (e.g., Yan et al., 2025), our task differs in several key respects. Most notably, we included both reward and punishment outcomes to model approach and avoidance learning separately, whereas the Yan et al. task focused exclusively on reward omission. Furthermore, we used hierarchical Bayesian modelling (Ahn et al., 2017) to estimate distinct learning rates and sensitivity parameters for reward and punishment, in contrast to Yan et al.’s use of Kalman filtering to examine latent volatility and stochasticity in relation to apathy and anxiety. This modelling framework allows us to test the hypothesis that trait anhedonia reflects reduced sensitivity to reward outcomes, rather than impaired learning or increased randomness.\nGiven our large-scale online recruitment strategy, we also anticipated deviations from canonical symptom correlations. Specifically, in online non-clinical samples, recent studies have shown that measures of anhedonia, depression, and anxiety often exhibit weaker associations than in clinical cohorts.potentially due to subclinical symptom levels or response style variability (Ho et al., 2024; Niu et al., 2024). To mitigate concerns about inattentive responding or invalid data, we used item-level attention checks across all measures and excluded participants who failed any check.consistent with best-practice guidelines for online psychiatric research (Zorowitz et al., 2023).\nIn this study, we screened 1,000 participants using SHAPS and DARS to recruit two extreme groups: individuals high vs. low in anhedonia. A total of 206 participants (111 high-anhedonia, 95 controls) completed the 3AB task. We modelled their behaviour using a hierarchical reinforcement learning framework and compared groups on both model-derived parameters (reward/punishment sensitivity, learning rates) and model-agnostic behavioural metrics. Based on existing theories and prior empirical work, we predicted that anhedonic individuals would show blunted reward sensitivity, but we made no strong predictions regarding punishment sensitivity or learning rate.", "domain": "affective_neuroscience"}
{"source": "PMC13039006", "title": "The potential impact of singing on young children’s health and well-being: a longitudinal perspective", "text": "# The potential impact of singing on young children’s health and well-being: a longitudinal perspective\n\n## Abstract\nThe article reports data from an ongoing research evaluation of the impact of a special singing programme with young children in a London Primary school. A particular focus is on the extent to which any wider benefits of singing are evidenced in terms of participant children’s health and well-being. The research data were collected from children aged six to eight across two school academic years. The programme is being led by professional singers from a charitable singing foundation who make regular visits to the school to work with children, their teachers and teaching assistants. Children’s singing behaviour and development was assessed by combining data from the Singing Voice Development Measure (SVDM) and a revised model of vocal pitch-matching development (VPDM). Children’s perception of their health and wellbeing was assessed through the Very Short Wellbeing Questionnaire for Children (VSWQ-C) and the PANAS-C measure of emotional wellbeing (modified for younger children). Longitudinal data analyses from four separate data collections over 18 months suggest that children’s singing competency continued to improve over time, with younger children showing greater progress due to their less developed skills initially. Participants outperformed national averages in singing competency for children of equivalent ages. Children consistently self-reported high well-being ratings, with a reduced variability in negative responses, particularly among younger children. The data analyses suggest that the programme supported children’s singing development. Although there is no direct statistical evidence linking singing with health and well-being, the findings align with global research highlighting the mental, physical, and social benefits of singing. We speculate that the programme continues to contribute positively to the school’s culture and, by implication, potentially serving as a protective measure for their health and well-being. Ongoing research needs to explore this possibility.\n\n## Full Text\n\n\n### Background\nThe UK Government’s official policy on pupils’ mental health and well-being suggests that they see a clear and positive link with successful development and achievement (DFE, 2025). Within a global context, an example is provided by the world’s largest school-based mental health initiative programme which has been based in Chile since 1998 as part of their ‘Skills for Life’ (‘Habilidades para la Vida’) programme. Longitudinal analyses in 2016 of data from N = 37,397 pupils across their first three school Grades (ages 6–9 years) suggested that mental health in Grade one (aged 6–7y) was a significant predictor of subsequent academic outcomes in Grade three (aged 8–9y; Murphy et al., 2015). Subsequently, a revised version of the original Elementary school programme for ‘at risk’ pupils was implemented in over 700 of Chile’s Middle schools and with positive results concerning significantly improved school attendance and social relationships (Canenguez et al., 2023).\nHere in the United Kingdom, the concern for pupils’ mental health and well-being in schools continues to be a priority, particularly following the negative impact of Covid-19. The pandemic severely disrupted schooling and was reported to foster a sense of isolation and worry, particularly related to dangers to physical health and the need for quarantine. For example, an internationally-focused systematic review of N = 113 studies on the impact of the pandemic on children and young people in North America, China and Europe reported widespread increases in fear, anxiety, depression, loneliness and behavioural issues (Naff et al., 2022). These outcomes were also noted as more prevalent for children in lower-income families (Ravens-Sieberer et al., 2021). Nevertheless, among the wealth of studies were reports of children’s and young people’s resilience—a protective factor—in the face of such health challenges. Positive strategies included exercise, the use of technology, and engaging in creative outlets, such as listening to popular music—as exampled in China (Xian et al., 2024) and Spain (Martínez-Castilla et al., 2021), and making music—as exampled in Canadian adults (Barbeau et al., 2024), in Scottish children (Robb et al., 2023), and for many young people across the United Kingdom (Youth Music, 2022). The results of an online survey of 5,619 adults across 11 countries indicated that musical experiences were the most effective activities during Covid-19 for reducing negative emotions and fostering a sense of social connection (Granot et al., 2021).\nWithin this literature on the positive impacts of music on health and well-being are studies related to singing. For example, a large-scale German study recorded the effects of choir singing on adult mental health, with larger improvements in mental health being related to longer choir membership, more singing hours per week, and personally having a high engagement with choral activity (Robens et al., 2024). Positive musical activity, including singing, influences neurochemical production, including dopamine, serotonin and oxytocin, thus helping to modify internal perceptions of stress and likely to increase a sense of social inclusion (Chanda and Levitin, 2013; Kreutz et al., 2004; see Levitin, 2024). Furthermore, neuroscientific studies suggest that singing should be considered as a whole brain activity because of the number of different neural regions that are networked across the brain’s two hemispheres in musical activities which embrace the voice and language (lyrics) (e.g., Kleber and Zarate, 2019; Särkämö and Sihvonen, 2018; Sihvonen et al., 2024). The power of singing has also been demonstrated in enabling positive communicative and psychosocial outcomes in post-stroke aphasia in adults (Tamplin et al., 2013; Siponkoski et al., 2023), as well as in children (Thompson and Schlaug, 2015) and also in a multi-modal singing-based interventional with refugee children (Mohammadhosseini and Schmid, 2025).\nAlthough there is less research on the wider benefits of successful singing for children’s health and well-being (e.g., Schmid, 2025), we can hypothesise that impacts may be similar to those reported for adult human populations. These include support for the immune system because singing is an aerobic activity which increases oxygen intake. Singing also modifies the release of stress hormones and increases oxytocin, supports cardiovascular function, improves mental alertness and—in choral groups—allows joint breathing cycles to match phrases in the music (see Welch et al., 2019, for an overview, including chapters by Theorell (2019) and Clift and Gilbert (2019)). Regarding child populations, a London-based study with N = 60 children aged 7–11 years from two Primary schools found that overall psychological well-being data correlated strongly with children’s identities as singers (Hinshaw et al., 2015). In New Zealand, a daily ‘singing for well-being’ action research project, initiated in a Primary school following the 2010–2011 earthquakes, reported positive benefits on children’s emotions, moods, and sense of collective identity (Rickson et al., 2018). In England, a recent study reported the positive impact of daily singing for 2 weeks on the subjective well-being of a class of N = 27 8–9-year-olds (Davies et al., 2023). In Sweden, drawing on the findings from existing literature, there is an ongoing major project ‘Singing, health and well-being in school—a societal matter’ (‘Sånghälsa i skolan—en samhällelig angelägenhet’) in which research has focused initially on how to enable Primary school teachers to support children’s singing on a daily basis (Horwitz et al., 2024).\nA systematic review of the effects of group singing on the well-being and psychosocial outcomes of children and young people (Glew et al., 2021) found 13 studies which fitted their inclusion criteria. While having reservations about the wide variations in researchers’ methodological approaches and an apparent lack of systematic controls, the authors nevertheless suggest that ‘social connectedness is a potential mechanism by which group singing impacts well-being’ (p. 257). This hypothesis is supported elsewhere in (a) an extensive inter-disciplinary proposal for the biological and cultural evolution of human musicality (Savage et al., 2021), (b) the neurological data related to links between the release of oxytocin and a sense of social bonding (Kreutz et al., 2004; Theorell, 2019), and (c) in a major national study of singing and social inclusion in N = 6,087 children (Welch, 2014).1\n\n\n### Research context\nThe VOCES8 Foundation is a London-based charity which is recognised as a leading provider of world-class performances as well as singing learning and participation projects in the United Kingdom, France and United States. As part of the Foundation’s community engagement and enrichment programme in London, members of the team have been offering specialist singing input to children and teachers in a London Primary school. This programme began in the academic year 2022–2023 and continues into 2025–2026. As part of the programme, the Foundation requested an independent longitudinal evaluation of two classes of participant children’s singing behaviours and development in both the 2023–2024 (beginning in January 2024) and 2024–2025 academic years, including whether there was any evidence of a wider impact of the VOCES8 singing programme on the children’s health and well-being. The research team were invited to undertake the independent evaluation on the basis of having a recognised international expertise and publication in the nature of children’s singing behaviour and development, as well as in the professional music education development of generalist Primary teachers.\nThe focus Primary school is in East London, north of the River Thames. Based on the English Indices of Deprivation (2019), nationally, the local area around the school is ranked in the top 30% of greatest deprivation nationally and has 26.6% of children living in income deprived households, being nationally ranked as 14th in the top 20 most deprived local authority districts. The local area also has the highest proportion nationally of older people (43.9%) in income deprived households. It is the worst local area in London for income deprivation overall (2024 data). Of the 205 children in the school in 2024, 61% (125 pupils) have some form of special educational need and one third (32.5%) of children are eligible for free school meals—seen as one of the main indicators of childhood deprivation.\nThe school’s most recent Ofsted (Office for Standards in Education, Children’s Services and Skills) inspection in February 2024 rated the quality of education as continuing to be ‘outstanding’, the same rating as awarded in 2012. The inspection report states that this is ‘an exceptional school where pupils are nurtured and supported to achieve their very best in all areas of school life’ (p2). Although there is no specific mention of music (nor the arts) in the inspection report, it is evident from our evaluation visits that music is often a common collective activity for children in the school hall, such as for school assemblies.\nThe latest pupil attainment data for 2024–2025 is in line with national data in terms of the Early Years Foundation Stage profile (age 5y) and the Year 1 phonics assessments (aged 6 years). For the older children, Key Stage 2 assessments (age 10+) are in line with or above national data and with many children achieving well. This past Summer (2025) the school appointed a new Headteacher, following the retirement of the previous successful incumbent.\nThe whole-class singing programme was led by professional singers from the VOCES8 Foundation who visited the school approximately every 2 weeks across 2 six-monthly periods (January to June 2024 and January to June 2025). Class teachers were expected to lead collective singing with their classes between such visits and the programme concluded each Summer with a performance for parents in central London at the VOCES8 Centre. The Foundation’s singing programme draws on its in-house method2 which includes sequential repetition that links voice and gesture, as well as a range of age-appropriate repertoire.\n\n\n### Longitudinal findings from an evaluation of the VOCES8 primary school singing programme across two school years (2024–2025)\nThe current report is a continuation of our 2024 empirically based investigation into the potential well-being benefits of a VOCES8 Foundation’s singing programme with two classes of young children in the East London Primary school (Welch and Baxter, 2025). The original study focused on possible changes in key measures of singing and well-being across a six-month period. This has now been extended in the current article by research across a second academic year, offering 18 months in total of longitudinal comparison in pupils’ responses. The earlier evaluation reported (i) evidence of a significant improvement in children’s singing competency during the year, which was comparable favourably with national singing data, and (ii) that the children’s perceptions of their health and well-being were sustained across the research period (January to June 2024). Although there was no clear evidence statistically of any direct link between singing, health and well-being, primarily this related to a relative ‘ceiling effect’ in the psychological data where children’s responses were clustered towards the maximum. (A ceiling effect is observed when a large number of participants achieve a maximum or near-maximum score on a given test.) Notwithstanding some individual but not consistent variation, the children were very positive about their health and well-being throughout the research period. It was noted that the older children in the programme (aged 7–8 years) were likely to have been subject to Covid-19-related restrictions during their nursery years when, although there was some limited opening of Primary schools, non-compulsory pre-school provision (aged 3–5y) was closed.\nIn this second year of data collection, the same two research tools were used to investigate any changes over time in the focus singing, health and well-being measures (see below).\n\n\n### Research tools\nFollowing our earlier 2024 report, the findings draw on two main strands of quantitative research at the school.3 These relate to (i) children’s singing behaviour and development, and (ii) their perceived health and well-being. With regards to (i) their singing behaviour and development, each child was assessed individually against their performance of two well-known songs—Twinkle, Twinkle Little Star and Happy Birthday—using two established rating scales (Rutkowski, 1997; Welch, 1998—see Mang, 2006; Welch et al., 2012 for more detail). The resultant data from the four ratings (two per song) was combined into a ‘normalised singing score’ (NSS) out of 100 for each child. This enables ease of comparison between children and offers evidence of any changes in their singing competency over time. In general, score ratings above 90 out of 100 suggest an overall tendency for the child’s singing to be in-tune and in time, with accurate lyrics and an appropriate singing register usage. Vocal behaviours rated as scoring 40 or below imply that the child is essentially still at a developmental phase of speaking the lyrics, with little sense of musical key or melodic shape. All individual singing behaviour scores were agreed by the two members of the research team, drawing on a visual display of the child’s singing behaviour using the software programme ‘SING&SEE’4 running on a MacBook Pro.\nThe assessment of (b) children’s perceived health and well-being was based on their responses to a set of simple statements presented on a tablet computer screen, drawing on previous research by Smees et al. (2020). Smees et al. (2020) had designed and validated two associated measures: the Very Brief Well-Being Questionnaire for Children (VSWQ-C), a health-related quality-of-life scale designed to be suitable for young children from the age of 6 years. Their research also adapted an existing measure of perceived emotional experiences, the Definitional Positive and Negative Affect Schedule for Children (dPANAS-C) which consists of 10 statements about feelings, five of which are positive and five are negative. Care was taken to ensure that the balanced mix of negative and positive statements were understood by each participant in order to mitigate any potential tendency for children to seek to please the adult research team by providing what they perceived to be the ‘correct’ answer.\n\n\n### Longitudinal findings: (1) singing behaviour and development\nThe participants were children in school Years 1 and 2 in 2023–2024 (ages 6–7y), moving up to Years 2 and 3 (ages 7-8y) respectively in the academic year 2024–2025. Each child’s singing competency was assessed four times, namely at the research baseline in January 2024, again at the follow-up in June 2024 at the end of the initial year of the VOCES8 programme, and then again in October 2024 at the beginning of the programme’s second year and finally in June 2025. The Normalised Singing Scores (NSS) for each Year group of children were collated and are illustrated as histograms and means in Figures 1, 2 for the four time points (January, June and October 2024, and June 2025).\nLongitudinal singing data for Year 1 into Year 2 (January, June, October 2024, and June 2025).\nLongitudinal singing data for Year 2 into Year 3 (January, June, October 2024, and June 2025).\nAs can be seen from these two Figures, there is a clear improvement in mean singing competency across the four time points for each class, as measured in their individual sung performance of the two target songs (Twinkle, Twinkle and Happy Birthday). Applying a Friedman Test for Repeated Measures reveals that there was a highly statistically significant improvement in the singing of the Year 1 children across 2024 (January to June) and into Year 2 [October 2024 and June 2025; X2r = 44.59 (3, N = 32), p < 0.01].\nSimilarly, using the same statistical protocol, a Friedman Test for Repeated Measures, the singing of Year 2 children also shows a statistically significant improvement as they progressed into and across Year 3 [X2r = 27.24 (3, N = 32), p < 0.01].\nThe children’s singing data are also shown in Table 1 with a comparison to children of the same age (school Years 2 and 3) from our national NSS dataset drawn from our Sing Up programme evaluation (2007–2012; Welch et al., 2012; Papageorgi et al., 2022).\nLongitudinal mean normalised singing scores (NSS) for participant children at four evaluation points (2024–2025) compared with NSS data for children of the same age from the national dataset.\nThe maximum normalised singing score (NSS) is 100.\nThese data show both an improvement for each class group in their mean singing competency over time, and also that their mean singing competency compares favourably with the means in the national dataset for children both inside and outside the Sing Up programme at the time of assessment (also illustrated in Figure 3).\nA visual representation of the data in Table 1 to show the longitudinal trends over time for the participant children, plus a comparison with the national data for children of the same age (N = 972 children in Year 2; N = 2,404 children in Year 3).\n\n\n### Longitudinal findings: (2) health and well-being\nWith regards the data on health and well-being, these are reported separately below for the two scales that were used in the assessment. Firstly, the Very Brief Well-Being Questionnaire for Children (VSWQ-C) data derives from children’s responses to a four-item self-report questionnaire which covers self-perceptions of key aspects of their lives: home life, school life, friends, and health (cf.\nSmees et al., 2020).\nChildren in both participant classes—Year 1 moving into Year 2, as well as Year 2 moving into Year 3—reported relatively high well-being ratings at each of the four assessment points, January (Baseline), June and October 2024, and June 2025 (see distributions of self-ratings in Figures 4, 5).\nVery brief well-being questionnaire for children (VSWQ-C) response distributions for children in Year 1 moving into Year 2 (January, June, October 2024, and June 2025).\nVery brief well-being questionnaire for children (VSWQ-C) response distributions for children in Year 2 moving into Year 3 (January, June, October 2024, and June 2025).\nOverall, the self-reported well-being ratings on this well-being measure for both participant classes are positive. As the data were non-parametric, a Friedman Test for Repeated Measures was undertaken to compare the four assessment points. The data distributions in Figure 4 reflect a significant positive change for children’s ratings across Year 1 to Year 2 [X2 (3) = 10.0, p < 0.02]; although these children were generally positive at baseline, their responses tended to become more closely clustered by June 2025.\nIn comparison, any changes in the well-being data for the older children moving across Year 2 to Year 3 were relatively small and non-significant statistically using the same Friedman Test for Repeated Measures [X2 (3) = 2.51, p = 0.47, n.s.].\nFurthermore, analysis of each individual response indicated that there is no evidence of any child reporting consistently less positive perceptions over time.\nData for the second of the two health and well-being measures, the Definitional Positive and Negative Effect Schedule for Children (dPANAS-C) derives from children’s responses to a 10-item self-report.5 The scale is split into two domains related to children’s feelings over the past week: Positive Affect relates to feelings such as happiness, pride, and activity, and Negative Affect relates to feelings such as sadness, fear, and anger (after Ebesutani et al., 2012). Children choose options in terms of their agreement with each individual item on a five-point scale, i.e., from ‘never/teeny bit’ to ‘very, very, very’—in line with Smees et al. (2020) adaptation of the original version by Ebesutani et al., 2012.\nSelf-reported data from children in Year 1 moving into Year 2 using the Definitional Positive and Negative Effect Schedule for Children (dPANAS-C) revealed a consistent bias towards low negativity responses and high positive responses at each of the four assessment points (January, June and October 2024, and June 2025; Figure 6).\ndPANAS-C: a definitional positive and negative affect scale for children—data distributions for children in year 1 moving into year 2 from January, June, October 2024 to June 2025.\nA similar pattern of responses was evident for the children in the older class across Year 2 into Year 3 (Figure 7). Inspection of each child’s responses revealed that no individual pupil was consistent in reporting relatively high negative feelings, nor consistent in reporting relatively low positive feelings.\ndPANAS-C: a definitional positive and negative affect scale for children—data distributions for children in Year 2 moving into Year 3 from January, June, October 2024, and June 2025.\nAlthough there was some variation in the distributions of self-reported dPANAS-C responses for children in each of the two focus classes, these were non-significant statistically, using Friedman’s Tests for Repeated Measures:\nYear 1–2: Negative: X2(3) = 3.36, p = 0.34, n.s.; Positive: X2(3) = 4.99, p = 0.17, n.s.\nYear 2–3: Negative: X2(3) = 0.21, p = 0.97, n.s.; Positive X2(3) = 2.45, p = 0.48, n.s.\nNevertheless, visual inspection of the data in Figure 6 implies that the younger children reduced the variability in their positive and negative responses over time, whereas the main variation for the older children was in reducing their negative responses (Figure 7). This variation appears to be cohort specific, in that the younger class had a different pattern of responses in the second year of data collection (aged 7+) as the older class in their previous year when they were also aged 7 + .\nGiven the evidence of possible ceiling effects in the health and well-being measures, with children being relatively positive at each assessment point, it was considered not to be appropriate to explore any statistical associations between these measures and those for singing. (Nevertheless, the research team separately decided to undertake a more nuanced picture of children’s singing experiences and singer identity via an exploratory ‘draw and tell’ study. This is under review for a separate publication.)\n\n\n### Very brief well-being questionnaire for children\nWith regards the data on health and well-being, these are reported separately below for the two scales that were used in the assessment. Firstly, the Very Brief Well-Being Questionnaire for Children (VSWQ-C) data derives from children’s responses to a four-item self-report questionnaire which covers self-perceptions of key aspects of their lives: home life, school life, friends, and health (cf.\nSmees et al., 2020).\nChildren in both participant classes—Year 1 moving into Year 2, as well as Year 2 moving into Year 3—reported relatively high well-being ratings at each of the four assessment points, January (Baseline), June and October 2024, and June 2025 (see distributions of self-ratings in Figures 4, 5).\nVery brief well-being questionnaire for children (VSWQ-C) response distributions for children in Year 1 moving into Year 2 (January, June, October 2024, and June 2025).\nVery brief well-being questionnaire for children (VSWQ-C) response distributions for children in Year 2 moving into Year 3 (January, June, October 2024, and June 2025).\nOverall, the self-reported well-being ratings on this well-being measure for both participant classes are positive. As the data were non-parametric, a Friedman Test for Repeated Measures was undertaken to compare the four assessment points. The data distributions in Figure 4 reflect a significant positive change for children’s ratings across Year 1 to Year 2 [X2 (3) = 10.0, p < 0.02]; although these children were generally positive at baseline, their responses tended to become more closely clustered by June 2025.\nIn comparison, any changes in the well-being data for the older children moving across Year 2 to Year 3 were relatively small and non-significant statistically using the same Friedman Test for Repeated Measures [X2 (3) = 2.51, p = 0.47, n.s.].\nFurthermore, analysis of each individual response indicated that there is no evidence of any child reporting consistently less positive perceptions over time.\n\n\n### Definitional positive and negative effect schedule for children\nData for the second of the two health and well-being measures, the Definitional Positive and Negative Effect Schedule for Children (dPANAS-C) derives from children’s responses to a 10-item self-report.5 The scale is split into two domains related to children’s feelings over the past week: Positive Affect relates to feelings such as happiness, pride, and activity, and Negative Affect relates to feelings such as sadness, fear, and anger (after Ebesutani et al., 2012). Children choose options in terms of their agreement with each individual item on a five-point scale, i.e., from ‘never/teeny bit’ to ‘very, very, very’—in line with Smees et al. (2020) adaptation of the original version by Ebesutani et al., 2012.\nSelf-reported data from children in Year 1 moving into Year 2 using the Definitional Positive and Negative Effect Schedule for Children (dPANAS-C) revealed a consistent bias towards low negativity responses and high positive responses at each of the four assessment points (January, June and October 2024, and June 2025; Figure 6).\ndPANAS-C: a definitional positive and negative affect scale for children—data distributions for children in year 1 moving into year 2 from January, June, October 2024 to June 2025.\nA similar pattern of responses was evident for the children in the older class across Year 2 into Year 3 (Figure 7). Inspection of each child’s responses revealed that no individual pupil was consistent in reporting relatively high negative feelings, nor consistent in reporting relatively low positive feelings.\ndPANAS-C: a definitional positive and negative affect scale for children—data distributions for children in Year 2 moving into Year 3 from January, June, October 2024, and June 2025.\nAlthough there was some variation in the distributions of self-reported dPANAS-C responses for children in each of the two focus classes, these were non-significant statistically, using Friedman’s Tests for Repeated Measures:\nYear 1–2: Negative: X2(3) = 3.36, p = 0.34, n.s.; Positive: X2(3) = 4.99, p = 0.17, n.s.\nYear 2–3: Negative: X2(3) = 0.21, p = 0.97, n.s.; Positive X2(3) = 2.45, p = 0.48, n.s.\nNevertheless, visual inspection of the data in Figure 6 implies that the younger children reduced the variability in their positive and negative responses over time, whereas the main variation for the older children was in reducing their negative responses (Figure 7). This variation appears to be cohort specific, in that the younger class had a different pattern of responses in the second year of data collection (aged 7+) as the older class in their previous year when they were also aged 7 + .\nGiven the evidence of possible ceiling effects in the health and well-being measures, with children being relatively positive at each assessment point, it was considered not to be appropriate to explore any statistical associations between these measures and those for singing. (Nevertheless, the research team separately decided to undertake a more nuanced picture of children’s singing experiences and singer identity via an exploratory ‘draw and tell’ study. This is under review for a separate publication.)\n\n\n### Conclusion\nOverall, the independent evaluation of data collected from participants in these two classes across these two school years (2024–2025) continues to provide evidence of the positive impact of the VOCES8 Foundation programme at least on children’s singing competency.\nChildren’s singing competency continues to show a trend towards significant improvement over time.\nCollectively, the children are rated higher in their mean singing skills compared to N = 3,376 children of the same ages in our national dataset—data that were collected from 184 schools across the country as part of the Sing Up programme.\nThe younger class children (moving from Year 1 to Year 2) made greater measured progress in their singing than the older children because, initially, their singing was comparatively less developed and so they had more opportunity to demonstrate improvement. In contrast, the older class of children (Year 2 to Year 3) had a higher mean singing competency initially and thus were already further forward in demonstrating their singing mastery—a common finding related to children’s age and singing behaviour in studies globally (e.g., Demorest and Pfordresher, 2015; Lu and Welch, 2025; Mang, 2006).\nConcerning any possible impact of singing on the children’s health and well-being, this is not evidenced statistically primarily because of the relative ceiling effects demonstrated in the data derived from two selected health and well-being measures. Across the evaluation period, children consistently rate themselves positively in their health and well-being, with some evidence of a trend towards even greater positivity in children from the younger class. Nor are there any individual children who might be identified from this dataset as particularly and consistently emotionally ‘vulnerable’.\nOne inference is that the VOCES8 singing development programme is making an important contribution to the life and culture of the children and their school, and this may provide a preventative and protective measure for children’s health and well-being, enabling them to be more resilient to the challenges that they face. However, this is speculative.\nThis supposition is based on the background literature rehearsed at the beginning of this report which offers a diverse range of international evidence concerning the potential wider benefits of successful singing, both individual and collective, across the lifespan. Thus, it is possible to speculate that the persistence of positive self-ratings by these children may relate to the beneficial impacts of their singing experiences, both in school and elsewhere.\nIndeed, our separate report on the older children’s identities as singers (Baxter & Welch, in review), elicited by a draw-and-tell method, confirms that they are positive about singing and the experiences of singing in their lives, both in and out of school.\nAlso, the finding that these children are sustaining a positive identity as singers contrasts somewhat with our national dataset finding that, paradoxically, children tend to like singing in school less and less as they get older, despite becoming more skilled (e.g., see also De Vries, 2010; Hargreaves et al., 2015). ‘School music’ can become perceived as a separate category of music which is less appreciated than music outside school, although the evidence is mixed over time (Harland et al., 2000; Lamont et al., 2003; Bath et al., 2020; Newton et al., 2025). However, a caveat here is that, if children experience a very successful singing culture, this negativity towards school singing is likely to be either much less evidenced or non-existent.\nThere are several limitations in the design of the study which need to be acknowledged. In this double-group longitudinal comparison, whereas the singing data could be contextualised against a national dataset, it was not possible to include an external matched control group for the health and well-being measures. The children were familiar with the research team and the protocol, and care was taken to ensure that each participant reflected on their answers to the tablet-based Likert items. Nevertheless, it may be that some of the children found the statements somewhat abstract. It would be useful to have a larger sample of participants undertake these health and well-being measures to gain insight into the possible range of variables that might impact responses. It should also be recognised that the singing programme is being provided by a specialist expert team of professional singers which may underlie the significant changes reported in singing assessment data. Again, it would be useful to investigate the impact of regular singing in the context of a less specialised intervention.\nNevertheless, within the constraints of this particular research context, the emergent data are useful in understanding the longitudinal changes in focused measures for these two school classes and which offer insights related to singing behaviour and development. It has been argued elsewhere that successfully engaging in collective musical activity is an embodied expressive interaction and thus can promote resilience (Nijs and Nicolaou, 2021). While there is no direct evidence in this particular case, there is an implication that regular positive group singing experience has the potential to be protective and supportive of health and well-being.", "domain": "affective_neuroscience"}
{"source": "PMC12983952", "title": "Entangled Bonds: Dyadic Dependence and Co-Regulation in Western Urban Human–Dog Relationships", "text": "# Entangled Bonds: Dyadic Dependence and Co-Regulation in Western Urban Human–Dog Relationships\n\n## Abstract\nCity life is increasingly optimised and predictable, yet often less physically shared. In this context, dogs do more than comfort people. By requiring daily walks and shared routines, they pull humans back into the physical world—weather, movement, waiting, detours—and this “analog friction” can support everyday emotional recovery. Dogs also change how people meet in public space. Their presence lowers the barrier for brief, low-stakes interaction, supports repeated recognition, and can help build weak but lasting neighbourhood ties. This review brings together research from behavioural science, physiology, psychology, and social sciences to show that humans and dogs often regulate emotions together. This coupling can buffer stress, but it is not always beneficial. Under chronic stress or heightened control, the same closeness may stabilise shared vigilance and dependence, especially when dogs themselves lack access to stable social buffering (including contact with other dogs). Seen this way, human–dog relationships are part of the emotional and social infrastructure of contemporary cities, with benefits for humans that may carry costs for dogs. Urban contemporary living has increasingly shifted emotional regulation inward, away from wider social networks and into tightly managed daily life. Within this landscape, dogs can become regulatory partners whose presence reshapes human rhythms, attention, and everyday sociability. This review examines how urban conditions—including risk-averse caregiving, dense living, and reduced opportunities for sustained social contact—reconfigure emotional co-regulation within human–dog relationships and, in turn, human emotional environments. Drawing on research from behavioural science, physiology, comparative ethology, psychology, and the social sciences (2010–2025), it treats attachment, synchrony, and social buffering as interconnected processes. Across disciplines, evidence suggests that dogs and humans often settle emotionally together, showing coupled dynamics in behaviour and physiology. Such coupling can support stress buffering and recovery, yet under chronic human stress or heightened control it may stabilise shared vigilance and dependence, concentrating regulatory work within the dyad. These effects are conditional: when dogs lack stable, reciprocal social buffering—especially with conspecifics—the dyad may be less able to support recovery, and synchrony may tilt toward vigilance rather than calm. Seen this way, human–dog bonds function as part of the emotional infrastructure of contemporary cities, shaping how calm, uncertainty, and social contact are organised.\n\n## Full Text\n\n\n### 1. Introduction\nUrban social life increasingly concentrates emotional regulation within close relationships, and dogs have become key partners through whom everyday calm, reassurance, and stability are organised. Urban human life offers frequent interaction, yet often lacks continuity [1,2]. Contacts multiply, while relationships rarely have time to settle. At the same time, a growing share of interaction has moved from physically shared settings into digitally mediated spaces, preserving contact while reducing embodied co-presence and everyday opportunities for emotional regulation [3,4,5,6].\nA similar pattern now shapes canine experience [7]. Dogs encounter many others but seldom form stable social bonds. The compression of human social networks—driven by digital mediation and heightened sensitivity to risk—echoes in their lives as well [4,7,8]. Care becomes increasingly organised through supervision, and affection is expressed through management, reflecting broader cultural shifts in caregiving shaped by moralised responsibility and risk avoidance [9,10]. Beneath this, both species may adapt to a shared state of vigilance, in which calm is maintained less through recovery than through restraint [11,12,13].\nThis article explores that convergence. It examines how modern guardianship, shaped by concern for safety and moralised responsibility, reshapes the emotional architecture of the human–dog bond, giving rise to what may be described as controlled affection: a form of care that protects by limiting, connects by supervising, and soothes by constraining uncertainty [1,7,9]. Alongside attachment and care norms, we treat dog–human coordination (behavioural and physiological) [14,15] as a pathway through which everyday rhythms, attention [16,17,18], and low-stakes sociability in public space [3,19] can be shaped.\nImportantly, this shift extends beyond the human–dog pair. As dogs take on functions once distributed across wider social networks, the relationship begins to organise everyday life for humans in practical and emotional ways—shaping routines, emotional pacing, and expectations of care in urban settings [3,20,21,22]. Rather than framing these dynamics in terms of harm or victimhood, this review approaches them as adaptive responses to broader social, technological, and relational conditions that have reshaped how intimacy, safety, and regulation are organised in contemporary life [8,23]. Seen in this wider context, the human–dog bond links canine welfare to the emotional organisation of modern societies [15,16,18], and shows how animals participate in shaping how regulation is lived in everyday urban environments [3,24,25].\nThis review focuses on Western, urban contexts, where companion dogs’ daily lives are shaped by dense regulatory, spatial, and moral infrastructures of care. The argument is not intended as a universal account of human–dog relations, but as an analysis of a specific socio-ecological configuration shaped by high regulation density, limited canine social continuity, and risk-averse caregiving norms.\n\n\n### 2. Methods\nThis article is a narrative integrative review drawing on literature from canine behaviour science, comparative ethology, physiology, psychology, and the social sciences. The review focuses on how contemporary human–dog relationships are shaped by social fragmentation, urbanisation, and risk-avoidant caregiving, and how these relational patterns influence emotional regulation within and beyond the dyad. “Beyond the dyad” refers here to the organisation of everyday human environments, including routines, low-stakes sociability, and the conditions of contact in public space. Throughout, we use “guardian” to refer to the human caregiver of a companion dog, retaining “owner” only where it appears in legal terminology or in the wording of cited measures and datasets.\nLiterature searches were conducted between October 2025 and January 2026. The primary focus was on peer-reviewed publications published between 2010 and 2025, a period marked by rapid growth in research on canine cognition, welfare, emotional regulation, and human–animal relationships. Earlier foundational works were included selectively where they provided essential theoretical frameworks, such as attachment theory, social buffering, affective neuroscience, and models of co-regulation.\nSources were retrieved using multiple databases and search tools to ensure broad interdisciplinary coverage, including Scopus, PubMed, and Google Scholar. Supplementary discovery tools (Consensus and Research Rabbit) were used for citation tracking and gap-filling rather than as standalone search engines. Specifically, they were applied to (i) identify highly cited or closely connected papers linked to key seed articles, (ii) follow forward/backward citations to locate relevant work outside the initial keyword strings, and (iii) detect recently published items that were not yet consistently indexed across databases. Their use was exploratory and iterative, and records identified through these tools were then evaluated against the same inclusion criteria as database-retrieved studies.\nSearch terms combined dog-related keywords with the main constructs reviewed here (co-regulation/synchrony, attachment/overprotection, social buffering/contagion, and urban social context).:\nTo increase transparency, we recorded retrieval counts for representative queries across databases (2010–2025). In Scopus (TITLE-ABS-KEY), concept-specific strings yielded 11 records for explicit co-regulation terminology, 105 for broader co-regulation/regulation/buffering terms, and 725 for contagion/synchrony/buffering terms; broader mapping queries returned 1693 (physiology/synchrony terms), 2260 (attachment/overprotection terms), and 3959 (urban/social context terms). In PubMed, targeted physiological queries returned 11 (synchrony/coupling with cortisol/oxytocin/HRV) and 7 (stress/emotional contagion with cortisol/oxytocin/HRV) results, whereas a broader attachment/overprotection query returned 962; a very broad HAI query returned 23,563 and was used only to indicate field scale. Google Scholar was used for additional field mapping and citation discovery; approximate result counts for title-only queries ranged from ~1880 to ~11,700 across key themes (synchrony/coupling; physiology; overprotection/pet parenting; social buffering), noting that Google Scholar provides dynamic, non-deduplicated estimates. Because the review was narrative and iterative (including citation tracking), these counts are reported as indicators of breadth rather than cumulative unique records.\nFollowing title and abstract screening, publications were selected for full-text review based on their relevance to emotional regulation, social organisation, and relational dynamics in dogs, humans, or human–animal dyads. Eligible studies were peer-reviewed and either empirically examined behavioural, physiological, or social aspects of human–dog relationships, or provided theoretical models relevant to co-regulation, attachment, and social network structure.\nStudies were excluded if they were anecdotal, lacked a clear methodological or conceptual framework, or focused narrowly on training techniques without addressing emotional, relational, or social dimensions. To contextualise canine findings within a broader evolutionary and social framework, a limited number of comparative studies on other social mammals (e.g., primates, rodents) and human-focused research were included. These references served as conceptual anchors rather than as primary empirical material.\nThe synthesis followed an integrative narrative approach, prioritising cross-study patterns, converging mechanisms, and conceptual linkages over exhaustive coverage or quantitative aggregation. Full texts were read iteratively and coded for recurring mechanisms and relational configurations, with themes refined by constant comparison across disciplines. To limit interpretive bias in a narrative review, thematic decisions and key integrative claims were refined through iterative co-author discussion and revision, rather than through independent duplicate screening. Searches and synthesis were conducted in English; non-English publications were not systematically targeted, but were included when identified and could be assessed using working translations.\nThe final synthesis integrates empirical and theoretical literature across behavioural science, physiology, and the social sciences. As with much research on companion animals, the available literature is predominantly Western and urban in focus, with a strong emphasis on guardian-reported outcomes and dyadic human–dog relationships. Everyday social interactions among dogs outside guardian-mediated contexts remain comparatively underrepresented.\nThis also means that evidence on multi-dog households, cross-cultural caregiving norms, and developmental trajectories is comparatively thinner and uneven; where these areas are discussed, we treat them as boundary conditions that likely moderate dyadic dependence and regulatory outcomes rather than as fully mapped mechanisms.\nThese constraints influenced how the material was organised and interpreted. The analysis draws on converging work from several disciplines, but it is limited by what is currently available—especially the lack of data on multi-dog networks, longitudinal social development, and non-Western contexts.\n\n\n### 2.1. Search Strategy and Scope\nLiterature searches were conducted between October 2025 and January 2026. The primary focus was on peer-reviewed publications published between 2010 and 2025, a period marked by rapid growth in research on canine cognition, welfare, emotional regulation, and human–animal relationships. Earlier foundational works were included selectively where they provided essential theoretical frameworks, such as attachment theory, social buffering, affective neuroscience, and models of co-regulation.\nSources were retrieved using multiple databases and search tools to ensure broad interdisciplinary coverage, including Scopus, PubMed, and Google Scholar. Supplementary discovery tools (Consensus and Research Rabbit) were used for citation tracking and gap-filling rather than as standalone search engines. Specifically, they were applied to (i) identify highly cited or closely connected papers linked to key seed articles, (ii) follow forward/backward citations to locate relevant work outside the initial keyword strings, and (iii) detect recently published items that were not yet consistently indexed across databases. Their use was exploratory and iterative, and records identified through these tools were then evaluated against the same inclusion criteria as database-retrieved studies.\nSearch terms combined dog-related keywords with the main constructs reviewed here (co-regulation/synchrony, attachment/overprotection, social buffering/contagion, and urban social context).:\nTo increase transparency, we recorded retrieval counts for representative queries across databases (2010–2025). In Scopus (TITLE-ABS-KEY), concept-specific strings yielded 11 records for explicit co-regulation terminology, 105 for broader co-regulation/regulation/buffering terms, and 725 for contagion/synchrony/buffering terms; broader mapping queries returned 1693 (physiology/synchrony terms), 2260 (attachment/overprotection terms), and 3959 (urban/social context terms). In PubMed, targeted physiological queries returned 11 (synchrony/coupling with cortisol/oxytocin/HRV) and 7 (stress/emotional contagion with cortisol/oxytocin/HRV) results, whereas a broader attachment/overprotection query returned 962; a very broad HAI query returned 23,563 and was used only to indicate field scale. Google Scholar was used for additional field mapping and citation discovery; approximate result counts for title-only queries ranged from ~1880 to ~11,700 across key themes (synchrony/coupling; physiology; overprotection/pet parenting; social buffering), noting that Google Scholar provides dynamic, non-deduplicated estimates. Because the review was narrative and iterative (including citation tracking), these counts are reported as indicators of breadth rather than cumulative unique records.\n\n\n### 2.2. Inclusion Criteria and Analytical Approach\nFollowing title and abstract screening, publications were selected for full-text review based on their relevance to emotional regulation, social organisation, and relational dynamics in dogs, humans, or human–animal dyads. Eligible studies were peer-reviewed and either empirically examined behavioural, physiological, or social aspects of human–dog relationships, or provided theoretical models relevant to co-regulation, attachment, and social network structure.\nStudies were excluded if they were anecdotal, lacked a clear methodological or conceptual framework, or focused narrowly on training techniques without addressing emotional, relational, or social dimensions. To contextualise canine findings within a broader evolutionary and social framework, a limited number of comparative studies on other social mammals (e.g., primates, rodents) and human-focused research were included. These references served as conceptual anchors rather than as primary empirical material.\nThe synthesis followed an integrative narrative approach, prioritising cross-study patterns, converging mechanisms, and conceptual linkages over exhaustive coverage or quantitative aggregation. Full texts were read iteratively and coded for recurring mechanisms and relational configurations, with themes refined by constant comparison across disciplines. To limit interpretive bias in a narrative review, thematic decisions and key integrative claims were refined through iterative co-author discussion and revision, rather than through independent duplicate screening. Searches and synthesis were conducted in English; non-English publications were not systematically targeted, but were included when identified and could be assessed using working translations.\n\n\n### 2.3. Scope and Limitations\nThe final synthesis integrates empirical and theoretical literature across behavioural science, physiology, and the social sciences. As with much research on companion animals, the available literature is predominantly Western and urban in focus, with a strong emphasis on guardian-reported outcomes and dyadic human–dog relationships. Everyday social interactions among dogs outside guardian-mediated contexts remain comparatively underrepresented.\nThis also means that evidence on multi-dog households, cross-cultural caregiving norms, and developmental trajectories is comparatively thinner and uneven; where these areas are discussed, we treat them as boundary conditions that likely moderate dyadic dependence and regulatory outcomes rather than as fully mapped mechanisms.\nThese constraints influenced how the material was organised and interpreted. The analysis draws on converging work from several disciplines, but it is limited by what is currently available—especially the lack of data on multi-dog networks, longitudinal social development, and non-Western contexts.\n\n\n### 3. The Architecture of Control in Contemporary Human–Dog Relationships\nContemporary human–dog relationships are embedded in dense systems of regulation that shape how care, safety, and responsibility are enacted in everyday life [26,27].\nContemporary cultures of care increasingly organise trust through precaution rather than through tolerance of uncertainty, embedding supervision and risk management into everyday relationships [2,8,28,29,30]. Law, city infrastructure, everyday routines, and moral ideas about good care all shape how dogs are expected to live—predictably, under supervision. This logic increasingly extends into everyday monitoring practices, where technologies such as GPS tracking or constant visual supervision are framed as care, while effectively redefining trust as continuous oversight [31]. This organisation works less through force than through concern: control is justified as protection, restraint as responsibility [31]. For humans, this shifts everyday regulation toward monitoring as a coping style [16]: calm becomes tied to predictability, surveillance, and avoidance of uncertainty [16,24], rather than to reciprocal adjustment [14,15]. To make sense of contemporary canine behaviour, these conditions need to be taken seriously.\nWithin these tightly managed social environments, dogs increasingly orient their behaviour and emotional regulation toward human guardians rather than canine partners. They look primarily to humans for social cues, replacing the subtle, reciprocal adjustments once exchanged with other dogs [32,33,34]. This substitution often feels safe, yet it fosters dependence. What was once a distributed network of regulation becomes concentrated within a single dyad, providing security while reducing flexibility [35,36]. Over time, stability is achieved more through predictability than through negotiated adjustment, leaving less room for repair, exploration, and autonomous recovery [31,37,38].\nMost companion dogs today live as single pets [39,40,41]. Their social networks consist largely of episodic encounters with unfamiliar dogs, while the affiliative capacities evolved for long-term cooperation remain underused. This raises a fundamental question: what does social fulfilment mean for a species adapted to shared regulation and reciprocal care?\nImportantly, this configuration is not universal even within Western societies. Multi-dog households can preserve more continuity in conspecific contact and may distribute regulatory work differently, potentially buffering dyadic overload—though the evidence is still patchy and often confounded by household routines and selection effects [7,42]. Cross-cultural caregiving norms and legal infrastructures also vary in how much uncertainty, proximity, and dog–dog contact they permit, which may shift the balance between control and negotiated adjustment [43,44]. Finally, developmental timing matters: early social experience and longitudinal trajectories are likely to determine whether human-oriented regulation becomes flexible competence or rigid dependence, yet these pathways remain under-tracked in urban samples [45,46,47].\nEvidence from stable dog groups offers a contrast. In groups that remain together over time, dogs show steadier emotional states and fewer conflicts—a pattern observed both in domestic settings and in free-ranging populations [48]. At the same time, freer social choice in free-ranging contexts coexists with substantial physical and health risks, so “agency” here is not a welfare shortcut but part of a trade-off between autonomy and safety [48,49]. Here, “agency” refers to everyday behavioural options—everyday behavioural options—choosing distance, disengaging and returning on their own terms—that let dogs negotiate uncertainty—that let dogs negotiate uncertainty and adjust arousal through interaction rather than through restraint. The same competence—flexible cooperation and peaceful negotiation—persists in domestic dogs but often lies dormant in the managed solitude of urban life [49]. When those options are routinely reduced, stability can start to depend on limiting uncertainty rather than practising negotiation. A similar logic operates in urban human life, where safety is increasingly pursued through predictability and monitoring rather than through tolerance of uncertainty and negotiated adjustment.\nLarge-scale studies link these social patterns with canine emotional outcomes. Urban living, low activity levels, and limited early socialisation correlate with higher social fearfulness in dogs [1]. Ethnographic research adds a human dimension: guardians’ anxiety, social fatigue, or fear of conflict often limits dogs’ opportunities for contact—a pattern captured by the spillover hypothesis, where human stress and risk-avoidant coping reshape dogs’ social access through ordinary management decisions [50]. The pathway is often indirect: fewer repeatable, low-pressure encounters means fewer chances for familiarity, buffering, and social learning, which can stabilise fearfulness over time—especially in dogs already sensitised by early adversity [51,52]. At the same time, positive, structured human interaction can move fearful dogs toward safer expectations, so human influence can restrict contact, but it can also repair emotional trajectories [53,54]. In turn, restricted canine social life [55,56] can feed back into the household’s emotional climate, increasing vigilance [15] and reinforcing the very management practices meant to produce safety [18].\nAlthough no quantitative model yet maps the full social networks of urban dogs [42,57], converging evidence suggests that most opportunities for dog–dog contact are shaped by human routines, rules, and space [41,43]. Dogs often grow into the social arrangements of their guardians. Much dog–dog contact is brief and episodic [57,58], often under conditions of human oversight, while continuity in dog–dog relationships remains poorly mapped [42].\nThis gap is amplified by the fact that multi-dog households, non-Western caregiving ecologies, and developmental change over time are rarely captured in the same datasets, making ‘the dog’s social world’ hard to represent as a network rather than a set of owner-mediated encounters [41,42,47,49].\nThe moralisation of safety has psychological consequences for both species and becomes embedded as a social norm. In everyday human life, autonomy increasingly unfolds under monitoring and precaution [29,31]. Uncertainty is handled as something to be reduced, not explored [31,38,59]. For dogs, it narrows the emotional space in which curiosity and regulation can unfold. Controlled environments interrupt the natural feedback loops of approach and retreat that support emotional resilience. Over time, both partners may learn a quiet confusion: calmness mistaken for immobility, stability for suppression [38].\nIn anthropological terms, it fits a broader shift in everyday trust relations. Contemporary societies increasingly reward emotional restraint—self-control, conflict avoidance, and affective neutrality [10,60]. In canine life, these values translate into behavioural inhibition, with the “well-behaved” dog serving as an emblem of emotional order [1]. Beneath that composure lies a shared tension: humans and dogs co-regulating not freedom, but constraint [9].\nThis culture of control does not arise from cynicism but from care [61]. It is rooted in fear—of harm, loss, and unpredictability—the same emotions that underlie attachment itself [11]. Efforts meant to protect can, over time, produce the same isolation they were supposed to avoid [23]. The paradox of modern guardianship is thus simple: affection sustained through control rather than connection [1,9]. In such settings, regulation shifts from a distributed, relational process toward a managed form of stability maintained through supervision and restraint.\nWithin this architecture of control, contemporary human–dog relationships display a growing asymmetry. Emotional closeness has intensified, while reciprocity has weakened. Dogs are more and more handled as socially fragile—assumed to need supervision at every step for their own good. Inside the human–dog relationship, this often means that the dog’s own capacity to choose, withdraw, or negotiate is put on hold.\nThe pattern is not unique to dog guardianship. In child supervision, good care is often defined as active oversight and risk prevention, adjusted to child age and environmental hazard, though risk-averse supervision can also narrow opportunities for exploration [62,63,64]. As dogs shift from functional roles to emotionally central family members and sources of psychosocial support, protection becomes easier to justify, and everyday choice—when to disengage, where to go, who to meet—shrinks accordingly [65,66,67], with consequences for how emotional safety is pursued in everyday life.\nPsychological research on human–dog bonds indicates that high emotional investment does not necessarily produce relational balance; instead, certain attachment configurations are associated with heightened monitoring, control, and reliance on the dog as an emotional stabiliser [68,69]. For humans, this can shift emotion regulation toward supervision and predictability, with less room for reciprocal adjustment. Dog–dog interactions are typically sustained through negotiation and repair. In contrast, contact with humans is usually structured through guidance, rules, and management [36,42,48].\nBehaviour is guided, corrected, or pre-empted rather than co-regulated. What is framed as care may therefore restrict opportunities for dogs to practise social skills, make decisions, or recover from uncertainty. Studies of attachment dynamics show that guardians with more anxious relational styles tend to engage in more controlling or intrusive caregiving, a pattern associated with increased distress and reduced behavioural flexibility in dogs [36,69]. Stability is achieved through oversight rather than shared regulation.\nIn this sense, agency is not a philosophical add-on but part of how regulation works. The ability to pause, take distance, opt out briefly—and return on one’s own terms—is one route through which arousal is adjusted in social systems [38,70]. When these micro-options are routinely removed, apparent stability can become a product of management rather than recovery [31,37]. The dyad may look calm, yet the dog’s regulatory repertoire narrows, leaving fewer everyday situations in which flexibility can be learned and expressed [1,32,35].\nThis asymmetry often emerges early [45,71]. Puppies raised primarily within human-centred environments learn to orient their regulation toward human cues rather than canine feedback [33,46]. While this orientation can enhance responsiveness to people, it may also limit opportunities to develop autonomous regulation and social problem-solving [32,35]. Research on dog–human attachment demonstrates that dogs’ behavioural outcomes are closely linked to caregiving style, with controlling or inconsistent interaction patterns associated with higher distress and poorer coping strategies [36,47,72,73].\nWith time, what might have developed as social competence is channelled into compliance, while room for autonomy gradually shrinks. Dogs remain emotionally close to humans yet become increasingly disconnected from the social processes that once distributed regulation across multiple partners.\nThe resulting pattern resembles what has been described as overattachment: a configuration in which emotional closeness intensifies while mutual regulation weakens [68,74]. In such relationships, dogs may function as compensatory attachment figures for humans with insecure relational histories rather than as socially mature partners [22,68,69].\nRelatedly, household ecology (e.g., multi-dog living) and developmental history may moderate how strongly ‘care-as-oversight’ translates into suspended agency, but these moderators are rarely examined systematically [7,42,45,47].\nThis pattern does not signal neglect. It reflects a way of organising relationships in which protection and closeness gradually stabilise dependence. Comparative work suggests that this is not the only pathway observed in human–dog relationships. More task-oriented or functionally structured bonds, such as those in assistance dog contexts, are associated with lower emotional intrusion and greater behavioural independence [74].\n\n\n### 3.1. Overprotection and the Culture of Control\nContemporary human–dog relationships are embedded in dense systems of regulation that shape how care, safety, and responsibility are enacted in everyday life [26,27].\nContemporary cultures of care increasingly organise trust through precaution rather than through tolerance of uncertainty, embedding supervision and risk management into everyday relationships [2,8,28,29,30]. Law, city infrastructure, everyday routines, and moral ideas about good care all shape how dogs are expected to live—predictably, under supervision. This logic increasingly extends into everyday monitoring practices, where technologies such as GPS tracking or constant visual supervision are framed as care, while effectively redefining trust as continuous oversight [31]. This organisation works less through force than through concern: control is justified as protection, restraint as responsibility [31]. For humans, this shifts everyday regulation toward monitoring as a coping style [16]: calm becomes tied to predictability, surveillance, and avoidance of uncertainty [16,24], rather than to reciprocal adjustment [14,15]. To make sense of contemporary canine behaviour, these conditions need to be taken seriously.\nWithin these tightly managed social environments, dogs increasingly orient their behaviour and emotional regulation toward human guardians rather than canine partners. They look primarily to humans for social cues, replacing the subtle, reciprocal adjustments once exchanged with other dogs [32,33,34]. This substitution often feels safe, yet it fosters dependence. What was once a distributed network of regulation becomes concentrated within a single dyad, providing security while reducing flexibility [35,36]. Over time, stability is achieved more through predictability than through negotiated adjustment, leaving less room for repair, exploration, and autonomous recovery [31,37,38].\nMost companion dogs today live as single pets [39,40,41]. Their social networks consist largely of episodic encounters with unfamiliar dogs, while the affiliative capacities evolved for long-term cooperation remain underused. This raises a fundamental question: what does social fulfilment mean for a species adapted to shared regulation and reciprocal care?\nImportantly, this configuration is not universal even within Western societies. Multi-dog households can preserve more continuity in conspecific contact and may distribute regulatory work differently, potentially buffering dyadic overload—though the evidence is still patchy and often confounded by household routines and selection effects [7,42]. Cross-cultural caregiving norms and legal infrastructures also vary in how much uncertainty, proximity, and dog–dog contact they permit, which may shift the balance between control and negotiated adjustment [43,44]. Finally, developmental timing matters: early social experience and longitudinal trajectories are likely to determine whether human-oriented regulation becomes flexible competence or rigid dependence, yet these pathways remain under-tracked in urban samples [45,46,47].\nEvidence from stable dog groups offers a contrast. In groups that remain together over time, dogs show steadier emotional states and fewer conflicts—a pattern observed both in domestic settings and in free-ranging populations [48]. At the same time, freer social choice in free-ranging contexts coexists with substantial physical and health risks, so “agency” here is not a welfare shortcut but part of a trade-off between autonomy and safety [48,49]. Here, “agency” refers to everyday behavioural options—everyday behavioural options—choosing distance, disengaging and returning on their own terms—that let dogs negotiate uncertainty—that let dogs negotiate uncertainty and adjust arousal through interaction rather than through restraint. The same competence—flexible cooperation and peaceful negotiation—persists in domestic dogs but often lies dormant in the managed solitude of urban life [49]. When those options are routinely reduced, stability can start to depend on limiting uncertainty rather than practising negotiation. A similar logic operates in urban human life, where safety is increasingly pursued through predictability and monitoring rather than through tolerance of uncertainty and negotiated adjustment.\nLarge-scale studies link these social patterns with canine emotional outcomes. Urban living, low activity levels, and limited early socialisation correlate with higher social fearfulness in dogs [1]. Ethnographic research adds a human dimension: guardians’ anxiety, social fatigue, or fear of conflict often limits dogs’ opportunities for contact—a pattern captured by the spillover hypothesis, where human stress and risk-avoidant coping reshape dogs’ social access through ordinary management decisions [50]. The pathway is often indirect: fewer repeatable, low-pressure encounters means fewer chances for familiarity, buffering, and social learning, which can stabilise fearfulness over time—especially in dogs already sensitised by early adversity [51,52]. At the same time, positive, structured human interaction can move fearful dogs toward safer expectations, so human influence can restrict contact, but it can also repair emotional trajectories [53,54]. In turn, restricted canine social life [55,56] can feed back into the household’s emotional climate, increasing vigilance [15] and reinforcing the very management practices meant to produce safety [18].\nAlthough no quantitative model yet maps the full social networks of urban dogs [42,57], converging evidence suggests that most opportunities for dog–dog contact are shaped by human routines, rules, and space [41,43]. Dogs often grow into the social arrangements of their guardians. Much dog–dog contact is brief and episodic [57,58], often under conditions of human oversight, while continuity in dog–dog relationships remains poorly mapped [42].\nThis gap is amplified by the fact that multi-dog households, non-Western caregiving ecologies, and developmental change over time are rarely captured in the same datasets, making ‘the dog’s social world’ hard to represent as a network rather than a set of owner-mediated encounters [41,42,47,49].\nThe moralisation of safety has psychological consequences for both species and becomes embedded as a social norm. In everyday human life, autonomy increasingly unfolds under monitoring and precaution [29,31]. Uncertainty is handled as something to be reduced, not explored [31,38,59]. For dogs, it narrows the emotional space in which curiosity and regulation can unfold. Controlled environments interrupt the natural feedback loops of approach and retreat that support emotional resilience. Over time, both partners may learn a quiet confusion: calmness mistaken for immobility, stability for suppression [38].\nIn anthropological terms, it fits a broader shift in everyday trust relations. Contemporary societies increasingly reward emotional restraint—self-control, conflict avoidance, and affective neutrality [10,60]. In canine life, these values translate into behavioural inhibition, with the “well-behaved” dog serving as an emblem of emotional order [1]. Beneath that composure lies a shared tension: humans and dogs co-regulating not freedom, but constraint [9].\nThis culture of control does not arise from cynicism but from care [61]. It is rooted in fear—of harm, loss, and unpredictability—the same emotions that underlie attachment itself [11]. Efforts meant to protect can, over time, produce the same isolation they were supposed to avoid [23]. The paradox of modern guardianship is thus simple: affection sustained through control rather than connection [1,9]. In such settings, regulation shifts from a distributed, relational process toward a managed form of stability maintained through supervision and restraint.\n\n\n### 3.2. Asymmetry, Infantilisation, and the Suspension of Canine Agency\nWithin this architecture of control, contemporary human–dog relationships display a growing asymmetry. Emotional closeness has intensified, while reciprocity has weakened. Dogs are more and more handled as socially fragile—assumed to need supervision at every step for their own good. Inside the human–dog relationship, this often means that the dog’s own capacity to choose, withdraw, or negotiate is put on hold.\nThe pattern is not unique to dog guardianship. In child supervision, good care is often defined as active oversight and risk prevention, adjusted to child age and environmental hazard, though risk-averse supervision can also narrow opportunities for exploration [62,63,64]. As dogs shift from functional roles to emotionally central family members and sources of psychosocial support, protection becomes easier to justify, and everyday choice—when to disengage, where to go, who to meet—shrinks accordingly [65,66,67], with consequences for how emotional safety is pursued in everyday life.\nPsychological research on human–dog bonds indicates that high emotional investment does not necessarily produce relational balance; instead, certain attachment configurations are associated with heightened monitoring, control, and reliance on the dog as an emotional stabiliser [68,69]. For humans, this can shift emotion regulation toward supervision and predictability, with less room for reciprocal adjustment. Dog–dog interactions are typically sustained through negotiation and repair. In contrast, contact with humans is usually structured through guidance, rules, and management [36,42,48].\nBehaviour is guided, corrected, or pre-empted rather than co-regulated. What is framed as care may therefore restrict opportunities for dogs to practise social skills, make decisions, or recover from uncertainty. Studies of attachment dynamics show that guardians with more anxious relational styles tend to engage in more controlling or intrusive caregiving, a pattern associated with increased distress and reduced behavioural flexibility in dogs [36,69]. Stability is achieved through oversight rather than shared regulation.\nIn this sense, agency is not a philosophical add-on but part of how regulation works. The ability to pause, take distance, opt out briefly—and return on one’s own terms—is one route through which arousal is adjusted in social systems [38,70]. When these micro-options are routinely removed, apparent stability can become a product of management rather than recovery [31,37]. The dyad may look calm, yet the dog’s regulatory repertoire narrows, leaving fewer everyday situations in which flexibility can be learned and expressed [1,32,35].\nThis asymmetry often emerges early [45,71]. Puppies raised primarily within human-centred environments learn to orient their regulation toward human cues rather than canine feedback [33,46]. While this orientation can enhance responsiveness to people, it may also limit opportunities to develop autonomous regulation and social problem-solving [32,35]. Research on dog–human attachment demonstrates that dogs’ behavioural outcomes are closely linked to caregiving style, with controlling or inconsistent interaction patterns associated with higher distress and poorer coping strategies [36,47,72,73].\nWith time, what might have developed as social competence is channelled into compliance, while room for autonomy gradually shrinks. Dogs remain emotionally close to humans yet become increasingly disconnected from the social processes that once distributed regulation across multiple partners.\nThe resulting pattern resembles what has been described as overattachment: a configuration in which emotional closeness intensifies while mutual regulation weakens [68,74]. In such relationships, dogs may function as compensatory attachment figures for humans with insecure relational histories rather than as socially mature partners [22,68,69].\nRelatedly, household ecology (e.g., multi-dog living) and developmental history may moderate how strongly ‘care-as-oversight’ translates into suspended agency, but these moderators are rarely examined systematically [7,42,45,47].\nThis pattern does not signal neglect. It reflects a way of organising relationships in which protection and closeness gradually stabilise dependence. Comparative work suggests that this is not the only pathway observed in human–dog relationships. More task-oriented or functionally structured bonds, such as those in assistance dog contexts, are associated with lower emotional intrusion and greater behavioural independence [74].\n\n\n### 4. Emotional Co-Regulation and the Mirror of Control\nEmotional co-regulation in human–dog relationships refers to a dynamic process of mutual adjustment [75], in which emotional states are shaped through ongoing interaction, responsiveness, and the possibility of recovery. What happens in co-regulation is not just emotional contagion.\nWhile contagion describes the passive transmission of affect—such as stress or arousal spreading from one individual to another—co-regulation involves active modulation, flexibility, and the capacity to return to baseline through interaction [9,12,70,76,77]. Co-regulation depends on choice and responsiveness, but also on having alternatives—more than one way to regain balance. It does not stabilise emotion by holding behaviour still, but by making movement possible—approach and retreat, engagement and pause—without turning these shifts into a threat. In that sense, co-regulation preserves autonomy rather than overriding it.\nAligned patterns of arousal or affect can accompany both adaptive recovery and sustained vigilance, depending on the relational and environmental context in which they occur [9,23]. Emotional alignment does not guarantee regulation; it can equally stabilise tension. This distinction is especially relevant in human–dog relationships, where emotional closeness is often taken as a given good. The presence of emotional synchrony or perceived closeness alone does not indicate healthy regulation [78,79]. The question is whether synchrony can shift with context, or whether it settles into a rigid, repetitive pattern held in place by restraint.\nDogs are not emotional regulators by definition. Rather, they have become embedded within relational systems in which emotional regulation increasingly concentrates within the human–dog dyad. As broader social networks contract, functions once distributed across multiple, predictable relationships are absorbed by the dog, transforming co-regulation into a compensatory mechanism [6,9,11,27,80]. This concentration of regulatory functions within a single relationship mirrors broader zero-risk orientations, where efforts to eliminate uncertainty paradoxically reduce systemic resilience [27]. By “zero-risk orientations” we mean a cultural and institutional preference for eliminating adverse outcomes in advance, treating uncertainty as something to be removed rather than held and negotiated [81,82].\nWhen social options narrow, emotional balance stops circulating and settles into pairs. What follows is not isolation, but a transformation in how regulation itself is organised. Attachment becomes concentrated in one direction: toward the human guardian. The dog’s calibration of safety increasingly depends on a single regulatory figure, while the human, in turn, draws reassurance from the dog’s compliance.\nThis concentration is likely to be strongest in single-dog, single-guardian arrangements. In multi-dog households, regulatory dynamics may be distributed across more than one relationship, and stable conspecific contact can provide an additional buffering route that reduces exclusive reliance on the human partner [42,48]. This does not remove dependence risk, but it can change its geometry—from a single dyadic corridor to a more networked form of regulation [49].\nFor humans, this can externalise regulation into everyday management—calm becomes tied to monitoring, routines, and predictability [16,18]—shaping not only the relationship but the person’s tolerance of uncertainty [16] and patterns of social engagement [3,24].\nThis configuration produces asymmetric co-regulation. Emotional equilibrium is maintained not through mutual recovery but through containment [37]. Predictability replaces negotiation; stability is achieved by limiting variability rather than by tolerating it. Similar dynamics have been described as “surveillance as care,” where monitoring and restriction are negotiated as responsibility and concern rather than mistrust [31]. For dogs, containment is often maintained by shrinking everyday room for self-directed adjustment—so regulation becomes less about flexible recovery and more about staying within a narrow, managed band of safety [31,37,83].\nAttachment research helps clarify this shift. Secure relational patterns are associated with co-regulation that supports exploration, autonomy, and flexible recovery, whereas anxious or overinvolved configurations tend to reorganise regulation around monitoring, intrusion, and control [69].\nUrban rules and spaces make this concentration even stronger. Dogs increasingly become positioned as emotional stabilisers for humans [3,11], while their own regulatory repertoires narrow [1]. They inherit human stress but lack access to the peer interactions that once dispersed it. In this sense, the human–dog dyad can function as an emotionally fortified micro-space, echoing broader strategies of urban risk containment and defensive living [84].\nThis shift does not reflect a failure of care. It reflects a relational system in which dependence is maintained through protection and proximity, and where emotional work is concentrated within a single, unequal relationship. What diminishes is not attachment itself, but the distributed conditions that once made regulation resilient.\nTo visualise this shift, Figure 1 summarises three ideal-typical configurations of dogs’ social environments: a wide social space (multiple regulators and repeatable, negotiable contact), a compressed social field (contact without continuity, often under supervision and with limited repair), and a narrow regulatory corridor (regulation concentrated in the human–dog dyad and stabilised through predictability and restriction). The relational column indicates how regulation is organised in each configuration; the physiological column lists expected correlates (e.g., HPA tone and recovery) discussed across the reviewed literature. The tiers are analytic simplifications rather than discrete categories or diagnostic states.\nPhysiological coupling may act as one biological route through which relational dynamics are maintained over time [15,85]. This matters because coupling can carry emotional states across the dyad [15,18], shaping human affective baseline and the felt stability of everyday life [16,17]. Studies of interspecies synchrony show that dogs often mirror human physiological and hormonal states, including heart rate, cortisol, and oxytocin [12,86]. Importantly, these measures are not emotion-specific: similar profiles can accompany different affective states, including affiliative arousal, vigilance, or distress [12,13]. In managed contexts, “calm” can become the explicit goal, yet reduced outward arousal may reflect containment or inhibition rather than recovery [38,51].\nDogs seem finely tuned to human signals—a sensitivity forged over long co-evolution in shared emotional settings [13,87]. Hormonal synchrony is easiest to spot under acute stress, though it can also take shape gradually, in less obvious ways. Hair cortisol studies report correlated levels between guardians and dogs across seasons, consistent with sustained interspecies stress mirroring [12]. Brief affiliative moments—especially touch and play—are linked to oxytocin release in both dogs and humans, helping interactions settle and open up, at least in the short term [86,88].\nHowever, bonding chemistry does not inherently signal healthy regulation. Importantly, canine studies indicate that oxytocin release does not reliably signal emotional relaxation or secure regulation. In dogs, oxytocin can be released alongside elevated cortisol during socially salient or stressful interactions, suggesting a role in coping and proximity-seeking rather than simple stress reduction [13,78,79,89]. These findings challenge interpretations of oxytocin as an unambiguous marker of positive welfare and support the view that bonding-related neurochemistry may also stabilise vigilance under conditions of uncertainty. Sustained oxytocin co-activation under conditions of limited autonomy or chronic stress may reinforce proximity-seeking and dependence rather than resilience [12,61]. Research on overparenting suggests that such stabilisation may reflect caregivers’ own attachment needs and affect-regulation strategies, rather than the developmental needs of the dependent partner [61,90]. Physiological work further suggests that caregivers’ capacity for co-regulation is constrained by their own autonomic regulatory flexibility, indexed for example by respiratory sinus arrhythmia (RSA); lower regulatory capacity may therefore bias dyadic regulation toward control and stabilisation rather than shared recovery [38]. In such contexts, physiology records social design: biological systems adapt to relational constraints rather than correcting them.\nA similar view is taken in Social Safety Theory. Social Safety Theory frames stress physiology as primarily calibrated by cues of social safety versus social threat (e.g., belonging, predictability, conflict), rather than by objective stressors alone [83,91]. Here, stress-related physiology is understood as reacting mainly to signals of social safety or threat, not to single stressors in isolation. Prolonged relational uncertainty, in this sense, can sustain defensive biological states even in relatively benign conditions [92].\nEvidence from human mental health research suggests that similar dynamics may carry costs for humans as well. Stronger attachment to companion animals is not consistently associated with better psychological well-being [93]. In certain high-risk contexts, however, dogs may play emotionally protective role, including a lower risk of suicide [94]. At the same time, longer-term data point in a different direction. Stronger emotional attachment to dogs has been associated with declines in psychological well-being [93]. Other work suggests that anxious or overinvolved forms of pet attachment are linked to poorer mental health, especially when relationships are marked by behavioural problems, or a sense of mismatch [22,95].\nWhen dogs live in socially impoverished or unstable settings, their HPA-axis activity shifts accordingly. Baseline cortisol tends to rise, recovery after stress takes longer, and arousal is less easily down-regulated [47,96,97]. Similar profiles have been reported in humans and primates when attachment cues are unreliable or inconsistent [45]. In dogs, the lack of canine partners shifts more of the regulatory load onto humans, making dyads more susceptible to stress spillover and mutual vigilance [7,12]. Under these conditions, the dog may be less able to buffer human stress [16,18], and synchrony may tilt toward shared vigilance rather than recovery [12,15].\nThis has a direct welfare implication. If a dog is expected to function as a primary stabiliser within a constrained dyad, the cost may be reduced behavioural flexibility [7,69]. In this review, behavioural flexibility is treated as an output of the regulatory system: the capacity to explore, to regain baseline after stress, and to tolerate uncertainty without escalating into avoidance or inhibition [47,92]. When the dog’s own social buffering is limited and regulation becomes organised around predictability and monitoring, these outputs can narrow—even when the dyad appears “calm” [1,31]. Over time, what looks like stability may reflect management-compatible inhibition rather than resilient recovery [13,38].\nPhysiological coupling does not generate these dynamics; it stabilises them. Over time, zero-risk orientations may therefore increase physiological load rather than reduce it, trading short-term predictability for long-term loss of regulatory flexibility [28]. When human emotional environments are shaped by vigilance or anxiety, synchrony can sometimes serve to pass these states along within the dyad, rather than buffering them. Calm may emerge, but it is a calm sustained by control rather than by recovery. Apparent calm may therefore reflect inhibited responding rather than recovery: reduced overt arousal can coexist with a defensive physiological state and limited autonomic flexibility, rather than relaxed social engagement [38].\nWhat appears as emotional balance increasingly reflects containment—an equilibrium maintained through predictability and restraint rather than through shared adjustment. These asymmetrical loops form the emotional foundation of what follows: the biology of containment disguised as care.\nTable 1 summarises this contrast by treating adaptive co-regulation versus maladaptive dependence as relational patterns and by linking “recovery” versus “containment” to expected profiles in cortisol, HRV, oxytocin-related processes, and everyday function.\n\n\n### 4.1. What Co-Regulation Is—And What It Is Not\nEmotional co-regulation in human–dog relationships refers to a dynamic process of mutual adjustment [75], in which emotional states are shaped through ongoing interaction, responsiveness, and the possibility of recovery. What happens in co-regulation is not just emotional contagion.\nWhile contagion describes the passive transmission of affect—such as stress or arousal spreading from one individual to another—co-regulation involves active modulation, flexibility, and the capacity to return to baseline through interaction [9,12,70,76,77]. Co-regulation depends on choice and responsiveness, but also on having alternatives—more than one way to regain balance. It does not stabilise emotion by holding behaviour still, but by making movement possible—approach and retreat, engagement and pause—without turning these shifts into a threat. In that sense, co-regulation preserves autonomy rather than overriding it.\nAligned patterns of arousal or affect can accompany both adaptive recovery and sustained vigilance, depending on the relational and environmental context in which they occur [9,23]. Emotional alignment does not guarantee regulation; it can equally stabilise tension. This distinction is especially relevant in human–dog relationships, where emotional closeness is often taken as a given good. The presence of emotional synchrony or perceived closeness alone does not indicate healthy regulation [78,79]. The question is whether synchrony can shift with context, or whether it settles into a rigid, repetitive pattern held in place by restraint.\n\n\n### 4.2. From Distributed Regulation to Dyadic Dependence\nDogs are not emotional regulators by definition. Rather, they have become embedded within relational systems in which emotional regulation increasingly concentrates within the human–dog dyad. As broader social networks contract, functions once distributed across multiple, predictable relationships are absorbed by the dog, transforming co-regulation into a compensatory mechanism [6,9,11,27,80]. This concentration of regulatory functions within a single relationship mirrors broader zero-risk orientations, where efforts to eliminate uncertainty paradoxically reduce systemic resilience [27]. By “zero-risk orientations” we mean a cultural and institutional preference for eliminating adverse outcomes in advance, treating uncertainty as something to be removed rather than held and negotiated [81,82].\nWhen social options narrow, emotional balance stops circulating and settles into pairs. What follows is not isolation, but a transformation in how regulation itself is organised. Attachment becomes concentrated in one direction: toward the human guardian. The dog’s calibration of safety increasingly depends on a single regulatory figure, while the human, in turn, draws reassurance from the dog’s compliance.\nThis concentration is likely to be strongest in single-dog, single-guardian arrangements. In multi-dog households, regulatory dynamics may be distributed across more than one relationship, and stable conspecific contact can provide an additional buffering route that reduces exclusive reliance on the human partner [42,48]. This does not remove dependence risk, but it can change its geometry—from a single dyadic corridor to a more networked form of regulation [49].\nFor humans, this can externalise regulation into everyday management—calm becomes tied to monitoring, routines, and predictability [16,18]—shaping not only the relationship but the person’s tolerance of uncertainty [16] and patterns of social engagement [3,24].\nThis configuration produces asymmetric co-regulation. Emotional equilibrium is maintained not through mutual recovery but through containment [37]. Predictability replaces negotiation; stability is achieved by limiting variability rather than by tolerating it. Similar dynamics have been described as “surveillance as care,” where monitoring and restriction are negotiated as responsibility and concern rather than mistrust [31]. For dogs, containment is often maintained by shrinking everyday room for self-directed adjustment—so regulation becomes less about flexible recovery and more about staying within a narrow, managed band of safety [31,37,83].\nAttachment research helps clarify this shift. Secure relational patterns are associated with co-regulation that supports exploration, autonomy, and flexible recovery, whereas anxious or overinvolved configurations tend to reorganise regulation around monitoring, intrusion, and control [69].\nUrban rules and spaces make this concentration even stronger. Dogs increasingly become positioned as emotional stabilisers for humans [3,11], while their own regulatory repertoires narrow [1]. They inherit human stress but lack access to the peer interactions that once dispersed it. In this sense, the human–dog dyad can function as an emotionally fortified micro-space, echoing broader strategies of urban risk containment and defensive living [84].\nThis shift does not reflect a failure of care. It reflects a relational system in which dependence is maintained through protection and proximity, and where emotional work is concentrated within a single, unequal relationship. What diminishes is not attachment itself, but the distributed conditions that once made regulation resilient.\nTo visualise this shift, Figure 1 summarises three ideal-typical configurations of dogs’ social environments: a wide social space (multiple regulators and repeatable, negotiable contact), a compressed social field (contact without continuity, often under supervision and with limited repair), and a narrow regulatory corridor (regulation concentrated in the human–dog dyad and stabilised through predictability and restriction). The relational column indicates how regulation is organised in each configuration; the physiological column lists expected correlates (e.g., HPA tone and recovery) discussed across the reviewed literature. The tiers are analytic simplifications rather than discrete categories or diagnostic states.\n\n\n### 4.3. Physiological Coupling as a Pathway, Not a Cause\nPhysiological coupling may act as one biological route through which relational dynamics are maintained over time [15,85]. This matters because coupling can carry emotional states across the dyad [15,18], shaping human affective baseline and the felt stability of everyday life [16,17]. Studies of interspecies synchrony show that dogs often mirror human physiological and hormonal states, including heart rate, cortisol, and oxytocin [12,86]. Importantly, these measures are not emotion-specific: similar profiles can accompany different affective states, including affiliative arousal, vigilance, or distress [12,13]. In managed contexts, “calm” can become the explicit goal, yet reduced outward arousal may reflect containment or inhibition rather than recovery [38,51].\nDogs seem finely tuned to human signals—a sensitivity forged over long co-evolution in shared emotional settings [13,87]. Hormonal synchrony is easiest to spot under acute stress, though it can also take shape gradually, in less obvious ways. Hair cortisol studies report correlated levels between guardians and dogs across seasons, consistent with sustained interspecies stress mirroring [12]. Brief affiliative moments—especially touch and play—are linked to oxytocin release in both dogs and humans, helping interactions settle and open up, at least in the short term [86,88].\nHowever, bonding chemistry does not inherently signal healthy regulation. Importantly, canine studies indicate that oxytocin release does not reliably signal emotional relaxation or secure regulation. In dogs, oxytocin can be released alongside elevated cortisol during socially salient or stressful interactions, suggesting a role in coping and proximity-seeking rather than simple stress reduction [13,78,79,89]. These findings challenge interpretations of oxytocin as an unambiguous marker of positive welfare and support the view that bonding-related neurochemistry may also stabilise vigilance under conditions of uncertainty. Sustained oxytocin co-activation under conditions of limited autonomy or chronic stress may reinforce proximity-seeking and dependence rather than resilience [12,61]. Research on overparenting suggests that such stabilisation may reflect caregivers’ own attachment needs and affect-regulation strategies, rather than the developmental needs of the dependent partner [61,90]. Physiological work further suggests that caregivers’ capacity for co-regulation is constrained by their own autonomic regulatory flexibility, indexed for example by respiratory sinus arrhythmia (RSA); lower regulatory capacity may therefore bias dyadic regulation toward control and stabilisation rather than shared recovery [38]. In such contexts, physiology records social design: biological systems adapt to relational constraints rather than correcting them.\nA similar view is taken in Social Safety Theory. Social Safety Theory frames stress physiology as primarily calibrated by cues of social safety versus social threat (e.g., belonging, predictability, conflict), rather than by objective stressors alone [83,91]. Here, stress-related physiology is understood as reacting mainly to signals of social safety or threat, not to single stressors in isolation. Prolonged relational uncertainty, in this sense, can sustain defensive biological states even in relatively benign conditions [92].\nEvidence from human mental health research suggests that similar dynamics may carry costs for humans as well. Stronger attachment to companion animals is not consistently associated with better psychological well-being [93]. In certain high-risk contexts, however, dogs may play emotionally protective role, including a lower risk of suicide [94]. At the same time, longer-term data point in a different direction. Stronger emotional attachment to dogs has been associated with declines in psychological well-being [93]. Other work suggests that anxious or overinvolved forms of pet attachment are linked to poorer mental health, especially when relationships are marked by behavioural problems, or a sense of mismatch [22,95].\nWhen dogs live in socially impoverished or unstable settings, their HPA-axis activity shifts accordingly. Baseline cortisol tends to rise, recovery after stress takes longer, and arousal is less easily down-regulated [47,96,97]. Similar profiles have been reported in humans and primates when attachment cues are unreliable or inconsistent [45]. In dogs, the lack of canine partners shifts more of the regulatory load onto humans, making dyads more susceptible to stress spillover and mutual vigilance [7,12]. Under these conditions, the dog may be less able to buffer human stress [16,18], and synchrony may tilt toward shared vigilance rather than recovery [12,15].\nThis has a direct welfare implication. If a dog is expected to function as a primary stabiliser within a constrained dyad, the cost may be reduced behavioural flexibility [7,69]. In this review, behavioural flexibility is treated as an output of the regulatory system: the capacity to explore, to regain baseline after stress, and to tolerate uncertainty without escalating into avoidance or inhibition [47,92]. When the dog’s own social buffering is limited and regulation becomes organised around predictability and monitoring, these outputs can narrow—even when the dyad appears “calm” [1,31]. Over time, what looks like stability may reflect management-compatible inhibition rather than resilient recovery [13,38].\nPhysiological coupling does not generate these dynamics; it stabilises them. Over time, zero-risk orientations may therefore increase physiological load rather than reduce it, trading short-term predictability for long-term loss of regulatory flexibility [28]. When human emotional environments are shaped by vigilance or anxiety, synchrony can sometimes serve to pass these states along within the dyad, rather than buffering them. Calm may emerge, but it is a calm sustained by control rather than by recovery. Apparent calm may therefore reflect inhibited responding rather than recovery: reduced overt arousal can coexist with a defensive physiological state and limited autonomic flexibility, rather than relaxed social engagement [38].\nWhat appears as emotional balance increasingly reflects containment—an equilibrium maintained through predictability and restraint rather than through shared adjustment. These asymmetrical loops form the emotional foundation of what follows: the biology of containment disguised as care.\nTable 1 summarises this contrast by treating adaptive co-regulation versus maladaptive dependence as relational patterns and by linking “recovery” versus “containment” to expected profiles in cortisol, HRV, oxytocin-related processes, and everyday function.\n\n\n### 5. Dogs as Anchors of Embodied Social Life\nHere we focus on how dogs and dog–human coordination reshape human rhythms, attention, and low-stakes sociability in public space.\nDogs do not only adapt to urban life; they can also reshape its everyday rhythms. Through repeated walking routes, pauses, and brief encounters in shared space, they structure when and where people move, who they end up speaking to, and how ordinary public contact becomes possible or avoided [3,98]. This anchoring role is especially visible in risk-averse, digitally mediated settings, where contact may be frequent yet less physically shared and less available for everyday co-regulation.\nThis is not a collapse of care but a shift in its social function: control is recast as protection, management as love, and regulation as safety [99,100]. Within this framework, dogs mirror their time—emotionally attuned to humans yet shaped by norms of predictability and oversight [15,24]. At the same time, dogs exert a countervailing influence on human life: even within tightly managed environments, they draw people back into the physical world in ways that resist full digital mediation [3,17]. This embodied engagement supports mental health and social connection in ways that purely digital interactions cannot fully replicate [16,101].\nThis “return” happens through rhythm and constraint. Dogs require movement, repeated outdoor exposure, and recurrent scheduling, thereby creating everyday opportunities for contact that are difficult to fully optimise or virtualise [19]. Crucially, this is not only about being outside; it is about reintroducing analog friction—the tactile and physical interactions often missing in digital life: weather, uneven ground, waiting, stopping, detours, and bodily effort. In work contexts, especially during teleworking, companion dogs have been shown to attenuate the impact of daily hassles and reduce uncertainty through direct, real-world companionship [16]. In regulatory terms, friction matters because it supports closure of arousal cycles through action and sensory feedback, rather than leaving stress to circulate as abstract, screen-based vigilance.\nRecent work also highlights the limits of mediated substitutes for this embodied co-presence. While emerging technologies attempt to support remote human–dog interaction, available evidence suggests these mediated alternatives remain less effective than direct physical contact in supporting mental health and social connection [17,101]. This reinforces a simple point: if the dog functions as an anchor at all, the anchoring is not informational; it is bodily.\nThis anchoring role, however, is not uniformly restorative. As established earlier (see Section 3.2), it can also operate as a compensatory emotional strategy when dogs become primary figures of comfort in fragmented social lives. In such cases, stronger attachment to dogs is not consistently associated with better well-being and may correlate with poorer psychological outcomes, particularly when it compensates for insecure or strained human attachment [69]. This does not imply that preferring interspecies companionship is pathological. The concern arises when this preference reflects constrained options or reduced social choice—so that regulation becomes concentrated by necessity rather than by freely chosen relational ecology. The concern is not attachment itself, but concentration of regulatory burden within the dyad, where daily affect regulation and tolerance of uncertainty may become organised around a single relationship. Even so, beyond the private dyad, dogs also shape the public conditions under which low-stakes contact becomes possible.\nIn the public sphere, dogs operate as participants in embodied forms of social exchange. Observational studies consistently show that the presence of a dog lowers the threshold for approach between unfamiliar humans, reducing the interpersonal cost of contact and making brief interaction socially permissible [3]. These encounters are rarely planned: they occur through pauses, small exchanges, distance negotiations, and shared attention to movement in public space. The mechanism is partly spatial and bodily: people adjust pace and trajectory in response to dogs, coordinating movement through micro-acts of negotiation.\nAt the micro-level, this often takes the form of behavioural synchrony—shared pacing, stopping, and scanning [14,102,103]. This behavioural alignment may be accompanied by interspecific neural coupling during mutual gaze and touch, consistent with shared attentional states within the dyad [15]. In practice, humans often structure the immediate context (route, pace, pauses), while dogs actively monitor and adjust to subtle cues to maintain proximity and social cohesion [85].\nBeyond single encounters, repeated visibility in shared spaces supports recognisability and the formation of weak but persistent ties—relationships that remain low-intensity yet can accumulate into informal support and neighbourhood familiarity [55,104]. Over time, dog walking can thus generate public familiarity: public space becomes more emotionally legible through recurrence—faces, timings, routes, and small scripts of acknowledgement. Dog guardians can also contribute to “eyes on the street”: regular presence becomes a low-level, distributed form of neighbourhood awareness that supports routine sociability in shared space [24,25]. Importantly, this does not require deep relationships; it operates through repeated exposure, recognisability, and low-stakes interaction.\nTaken together, dogs function as informal infrastructures of embodied sociability. They reintroduce movement, analog friction, and repeated public familiarity into settings organised around efficiency and avoidance [3,98]. This can strengthen human social health, but it is conditional—shaped by local norms, perceived risk, and the dog’s social affordances [25]. The same anchoring that benefits humans can still carry costs for dogs when it is sustained through asymmetrical dependence rather than reciprocal social buffering [69,85]. In other words, dogs reshape human social experience and the texture of public life—even as they remain constrained by relational conditions not of their own making.\n\n\n### 6. Ethical and Welfare Considerations\nEthical frameworks that treat the human–dog bond mainly as an end in itself can miss what accumulates over time in everyday life with dogs [100]. Relational closeness is often taken for granted as protective, yet this assumption leaves little room to notice forms of overload—constant availability, heightened vigilance, or the pressure to regulate human emotion [7,15,18,22]. From a welfare perspective, the issue is therefore not only how dogs are cared for, but where regulatory responsibility is placed, and how narrowly it becomes concentrated within the human–dog dyad [18,27,29]. From the human side, this can normalise coping through supervision and predictability [16,18], reshaping everyday emotional environments while increasing the dog’s regulatory load [15].\nEthically, this argues for expanding everyday freedoms for both partners: more canine choice (distance, exploration, repeatable dog–dog contact) and less human reliance on supervision as the default route to feeling safe.\nIf dogs function as elements of everyday emotional infrastructure, welfare costs cannot be treated as incidental. Regulatory load is not only about stress exposure; it is also about what the dog may trade away to keep the dyad stable—behavioural flexibility, exploration, and the option to disengage [20,35,37]. In this sense, agency is not a philosophical add-on but part of how regulation works: the ability to pause, choose distance, withdraw, and re-enter interaction on the dog’s own terms is one of the mechanisms through which arousal is adjusted in social systems [38,70]. Stable conspecific social buffering matters in the same structural way. When repeatable dog–dog relationships are scarce, more regulation is forced into the human–dog corridor, increasing the likelihood that synchrony stabilises restraint rather than supports recovery [12,13,48]. Ethical evaluation should therefore include not only the quality of human care, but the dog’s access to choice and to social continuity beyond guardian-managed encounters [99,100]—one reason idealised narratives can obscure where regulation becomes a demand.\nTalking about dogs in terms of “unconditional love” affects how these relationships are understood. They suggest that the bond is natural, limitless, and free of cost. Framed this way, care appears simple and endless—which makes its costs easy to miss. In this view, a dog’s commitment is treated as something—part of what dogs are—rather than something that develops through interaction and depends on conditions. The possibility that a dog might need distance, withdrawal, or relief from emotional demands tends to disappear from the picture. Dependence does not disappear; it becomes familiar and therefore less visible. Questioning unconditionality does not mean questioning attachment. It means recognising that care always has a structure. When that structure is hidden behind idealised language, it becomes harder to notice where responsibility accumulates and how limited a dog’s room for choice may be.\nResearch on human–dog relationships has increasingly focused on attachment and emotional regulation. These approaches offer important insight into interspecies dynamics. At the same time, they bring ethical questions of their own—about proximity, responsibility, and the emotional demands placed on dogs—that deserve to be addressed directly.\nWork on emotional synchrony or stress responses risks shaping the processes it tries to capture, even when disruption is unintended. This reactivity can apply to both partners: dogs may respond to unfamiliar equipment, handling, or altered routines, which can shift arousal and interaction patterns independent of the relationship itself [31,92]. Human awareness of being studied, particularly in emotionally sensitive contexts, can alter caregiving behaviour, levels of control, or expressions of concern, thereby reshaping the relational environment of the dog [31]. Ethical research design therefore calls for limiting intrusion as much as possible and favouring observation that stays close to everyday conditions. Where physiological sampling is necessary, protocols should minimise novelty and handling effects (habituation to equipment, low-interference recording, and designs that preserve ordinary routines), because measurement itself can shift arousal and interaction patterns.\nPhysiological measures, including cortisol sampling or heart-rate monitoring, should be interpreted with caution and employed only when their potential welfare costs are outweighed by clear scientific value [92]. Repeated handling or unfamiliar experimental setups can add stress of their own, especially for dogs already living in a state of heightened vigilance or with little access to social buffering.\nAn additional ethical challenge concerns interpretation. Framing behavioural or physiological patterns as indicators of dysfunction risks pathologising adaptive responses to constrained social environments [28]. In zero-risk oriented cultures, such adaptations may stabilise behaviour in the short term while gradually eroding relational resilience for both dogs and humans over time. Researchers must therefore remain attentive to contextual factors and avoid conclusions that could reinforce excessive control, surveillance, or restrictive management practices in everyday guardianship.\nFinally, research in this field carries broader social implications. Findings on emotional dependence or synchrony rarely stay within academic debate. They shape public attitudes toward dogs and, over time, filter into training practices and policy decisions [61,84].\nEthical responsibility thus extends beyond data collection to the ways in which results are communicated, ensuring that scientific insights support welfare without legitimising further social reduction or loss of agency for either species [99,100].\n\n\n### 7. Conclusions and Future Directions\nDogs, by their evolutionary history, function as social regulators [34,105]. That is, they modulate arousal and behaviour through ongoing, reciprocal adjustment within relationships—by tracking others, negotiating distance, and repairing tension over time. Emotional balance relies on predictable relationships and the chance to adjust to others over time. In many cities, such relational structures are now fragmented. What once operated as a loose, multispecies system of co-regulation has increasingly narrowed into managed pairs: a human and a dog, each maintaining the other within limited corridors of safety [9]. This shift extends beyond behaviour to the organisation of social life itself. A species shaped for social intelligence now inhabits routines that prioritise quiet over negotiation and compliance over shared regulation.\nAcross urban contexts—both legal and emotional—a parallel pattern emerges in which trust is less often enacted through relational tolerance of uncertainty and more often stabilised through supervision, precaution, and control. In practice, dogs are left with limited scope to let relationships emerge, stabilise, or recover after tension. For humans, it fosters strategies of safety grounded in supervision rather than reciprocity [2,8,9]. The resulting state is one of mutual watchfulness, where safety is maintained by managing and limiting what happens next. Calm is sustained through restraint rather than recovery. What diminishes is not attachment itself, but co-regulation: the dynamic exchange through which safety is distributed and emotion stabilised.\nFor humans, this reorganisation can shape not only emotional states, but also everyday movement [103,106], social contact [3,104], and the felt openness of public space [24,25]—pathways through which dog–human coordination may matter for physical and social health [7,104].\nThis configuration reflects a broader cultural condition. The same sensitivity to risk and unpredictability that structures contemporary human life also shapes the management of dogs [2,6,8,107]. Instruments of control—leashes, fences, behavioural rules, and regulatory frameworks—extend a collective nervous system increasingly oriented toward vigilance. Through close emotional ties, dogs take on these patterns of restraint, becoming part of a shared, carefully managed calm [108]. In this sense, changes in canine sociability do not stand apart from human experience, but index a wider contraction in how social trust and emotional openness are organised.\nReframing behaviour and welfare within this context alters their interpretation. What is often described as reactivity, fear, or dependence may be better understood as an adaptation to limited social worlds rather than as individual pathology [1]. They arise in settings where social continuity and mutual regulation are reduced. From this perspective, emotional and behavioural outcomes in dogs offer insight into the relational conditions under which regulation is sustained or eroded in social systems more broadly.\nThe implications extend beyond companion animals. As a species shaped by co-regulation, dogs make visible a principle that also governs human emotional life: stability is not achieved in isolation, but emerges through reliable, reciprocal relations. Because dogs’ everyday routines and access to social contact are tightly constrained by human management and urban rules, changes in their social worlds can act as a marker of broader constraints in human social organisation.\nLooking at these dynamics makes it hard to separate canine welfare from human social life. Paying attention to how dogs cope with urban social life also sheds light on how humans structure their own. The same arrangements that shape canine regulation shape human relationships as well. Seen this way, dogs can index wider social conditions rather than standing as isolated welfare cases.\nThis points to two priorities for future work: (i) mapping dogs’ everyday social worlds beyond guardian-managed encounters, and (ii) testing longitudinally whether early conspecific continuity predicts later regulatory flexibility—i.e., when dyadic synchrony supports recovery versus when it stabilises vigilance under control-heavy caregiving. These questions likely depend on household ecology (e.g., multi-dog living) and on non-Western or rural caregiving arrangements that redistribute regulatory load across more partners and routines.\nThe review also suggests practical implications for urban environments. If regulation is maintained through narrowed options, welfare and social functioning improve not only through “more calm” but through more negotiable space—conditions that allow approach–retreat cycles, disengagement, and low-pressure re-engagement. For dogs, this means enabling repeatable, low-arousal contact where relationships can stabilise (not only brief, high-intensity encounters), and designing routines that preserve exploration and choice alongside safety. For humans, it means relying less on supervision as the default route to feeling safe, and more on predictable, low-stakes sociality that does not require constant monitoring. The aim is not to eliminate management, but to shift from control that suppresses uncertainty toward the cultivation of low-stakes micro-communities and repeatable social routines that can hold it—so that synchrony, when it occurs, is more likely to function as buffering rather than as containment.\nTogether, these directions reinforce the core argument of this review: emotional regulation in human–dog relationships cannot be understood in isolation from the social environments in which both species live.", "domain": "affective_neuroscience"}
{"source": "PMC12940327", "title": "Metabolic Mechanisms in Electroconvulsive Therapy for Schizophrenia: Role, Potential and Future Directions", "text": "# Metabolic Mechanisms in Electroconvulsive Therapy for Schizophrenia: Role, Potential and Future Directions\n\n## Abstract\nThe metabolism of the four major substances—glucose, lipids, amino acids, and nucleotides—constitutes the most prominent metabolic phenotype of schizophrenia. The pathological axis shared by these substances involves energy pathway imbalances, redox stress, immune-inflammatory activation, and abnormalities in neurotransmitter synthesis/degradation. Existing research confirms that key metabolites within these pathways hold potential as biomarkers for diagnosis or progression monitoring. In recent years, electroconvulsive therapy (ECT) has been shown to improve psychotic symptoms while exerting broad regulatory effects on neurogenesis, immune homeostasis, and the hypothalamic–pituitary–target gland axis, though its precise mechanisms remain unclear. Recent studies indicate that ECT treatment can also regulate changes in brain and peripheral metabolism. We propose an integrated “metabolism-immunity-neuroendocrine” hypothesis to systematically elucidate how metabolic reprogramming during ECT treatment cascades sequentially to the immune, neural, and endocrine systems, thereby revealing the molecular basis of its antipsychotic effects. Furthermore, we conduct a comparative analysis of the effects of antipsychotic drugs on the same metabolic network and explore the universality and specificity of metabolic regulation in other physical therapies (such as rTMS, tDCS) and psychiatric disorders like depression and bipolar disorder. This research aims to provide novel biomarkers and intervention targets for the precision diagnosis and treatment of schizophrenia.\n\n## Full Text\n\n\n### 1. Introduction\nSchizophrenia (SCZ) is a complicated, long-term mental illness that has a significant impact on patients, families, and society as a whole due to its high incidence, recurrence, and disability rates [1]. In recent years, with the widespread adoption of multi-omics technologies, the role of metabolic mechanisms in the pathophysiology of schizophrenia has garnered increasing attention. The structural and functional alterations in the schizophrenic brain may be attributed to metabolic abnormalities. Early brain development metabolic mechanisms have an impact on the structure and connections of the brain, and they overlap with hereditary factors in the pathophysiology of schizophrenia [2,3], affecting brain structure and connectivity between regions. Schizophrenia patients exhibit reduced functional activity in the medial prefrontal cortex (mPFC) alongside increased microglial activity [4,5], accompanied by impaired white matter structural integrity and reduced gray matter volume [6]. Furthermore, metabolic abnormalities change as the disease progresses. Altered lactate levels in schizophrenia patients reflect a shift in energy metabolism from aerobic oxidation to anaerobic glycolysis, which could serve as a biomarker for schizophrenia diagnosis [7]. Additionally, oxidative stress, inflammatory reactions, and neurotransmitter abnormalities are linked to metabolic imbalances; several metabolites have emerged as new treatment targets for schizophrenia. However, widely used antipsychotic medications frequently cause drug-induced metabolic syndrome [8] and worsen metabolic problems by inhibiting D2 receptors. A widespread physical treatment in psychiatric practice, electroconvulsive therapy (ECT) addresses the limits of drug-resistant schizophrenia while providing safety and effectiveness. In a recent study, ECT reduced IL-18 mRNA levels in schizophrenia patients, while kynurenine (KYN)/tryptophan (TRP) and kynurenic acid (KYNA)/KYN were significantly reduced in the low-inflammation group. These alterations correlated with improvements in negative symptoms [9], implying that ECT also affects brain and peripheral metabolic processes. However, the causal association between metabolic changes and ECT efficacy, as well as specific regulatory nodes and drug interactions, is still controversial. Further synthesis and exploration are needed to guide treatment optimization and intervention strategies.\nIn this paper, we first summarize the primary metabolic abnormalities in schizophrenia, categorized into glucose, lipid, amino acid, and nucleotide metabolism, elucidating the relationship between metabolism and the disease’s pathogenesis and symptoms. We then review how ECT treatment has historically exerted its antipsychotic effects on the neurological, immune, and endocrine systems in schizophrenia. Building on this foundation, we discuss how metabolic reprogramming during ECT treatment influences these systems. We then compare the effects of antipsychotic drugs on metabolic networks and review the role of metabolic regulation in other physical therapies and psychiatric disorders. Finally, we summarize and identify potential future research and practice trends and pathways that may prove significant.\n\n\n### 2. The Role of Metabolic Mechanisms in the Pathophysiological Processes of Schizophrenia\nGlycolysis in the cytoplasm breaks down glucose into pyruvate or lactate, which is subsequently oxidatively phosphorylated in the mitochondria. This pathway generates the high-energy molecule adenosine triphosphate (ATP), which drives brain function. Additionally, glucose participates in antioxidant stress through the pentose phosphate pathway (PPP), provides substrates for neuronal glycolipid and glycoprotein synthesis, and generates glutamate and subsequent key neurotransmitters such as gamma-aminobutyric acid (GABA) via the tricarboxylic acid (TCA) cycle [10,11]. As a result, abnormalities in any stage of glucose metabolism can have a significant impact on brain development and function.\nNumerous clinical studies consistently demonstrate that altered glucose metabolism exists in schizophrenia patients throughout the early stages of the disease [12,13,14], presenting as higher fasting blood glucose, insulin resistance, and impaired glucose tolerance [15,16,17,18]. This is unrelated to antipsychotic-induced metabolic syndrome [13,19], but it is strongly linked to aberrant brain tissue energy metabolism caused by mitochondrial dysfunction and redox imbalance [20,21,22]. Some genetic studies provide strong evidence for the above claims. Whole-genome studies have clearly demonstrated that schizophrenia risk genes contribute to pathogenesis by regulating glucose metabolism, with the most significantly enriched pathways directly linked to glucose homeostasis and insulin secretion [2]. Mendelian randomization analysis revealed that genetic variants that raise fasting insulin levels significantly increase disease risk with established causal directionality [23], and animal model mice with mutations in the candidate gene Tmem108 also exhibit symptoms of impaired glucose tolerance and insulin resistance [24]. GLUT1 and GLUT3, members of the glucose transporter (GLUT) family, play a crucial role in neuronal glucose uptake [25]. In schizophrenia, cerebral insulin resistance inhibits GLUT1/3-mediated glucose uptake, but systemic hypoglycemia upregulates GLUT1/3 expression, indicating decoupling between peripheral hyperglycemia and impaired cerebral glucose utilization. A postmortem study revealed significant downregulation of GLUT1/3 mRNA in the dorsolateral prefrontal cortex (DLPFC) of schizophrenia patients (n = 16) [26], corroborating this observation. Several studies have further indicated that this exacerbates negative symptoms and promotes symptom transformation into chronic damage [27,28]. Furthermore, mTOR pathway dysfunction—a pathogenic factor in schizophrenia [29]—disrupts GLUT1 receptor translocation, exacerbating neuronal insulin resistance and ATP deficiency [30].\nExtensive clinical evidence indicates that abnormalities in glucose metabolism enzymes are prevalent in the brains of schizophrenic patients. Previous studies scanning the schizophrenia dataset from the National Institute of Mental Health (NIMH) revealed that schizophrenia susceptibility genes are associated with enzymes involved in aerobic glycolysis, such as 6-phosphofructokinase-2/fructose-2,6-bisphosphatase 2 (PFKFB2), hexokinase 3 (HK3), and pyruvate kinase 3 (PK3) [31]. Postmortem studies showed lower levels of aldehyde dehydrogenase C (ALDOC) and α-enolase (ENO1) in patients’ hippocampus [32], as well as considerably lower mRNA expression of hexokinase 1 (HK1) and phosphofructokinase (PFK1) in DLPFC pyramidal neurons, while lactate/pyruvate transporter (MCT1) increased [26]. Pyruvate is converted to acetyl-CoA via pyruvate dehydrogenase (PDH), and one study showed lower PDH β-subunit levels in the striatum of schizophrenia patients compared to healthy controls [33]. In addition, one study revealed a negative correlation between mitochondrial HK1 activity and glucose-6-phosphate dehydrogenase (G6PD) activity in the parietal sensory cortex (BA7) in schizophrenia patients [34], suggesting that abnormal glucose metabolism may coexist with mitochondrial damage induced by oxidative stress. Disrupted glucose metabolism enzyme profiles in the peripheral blood mononuclear cells [12] and gut microbiota [35] of schizophrenia patients are consistent with the previous findings. Additionally, decreased HK activity in PFC, increased malate dehydrogenase (MDH) activity, and decreased lactate dehydrogenase (LDH) activity in the striatum were similarly observed in schizophrenia model rats [36], which collectively contribute to impaired glucose utilization, lactate accumulation, and white matter lesions [37]. Although most of the above studies lack reproducibility, they collectively suggest that glucose metabolism in schizophrenia may exhibit an imbalance characterized by “enhanced glycolysis and inhibited tricarboxylic acid cycle.”\nThe majority of ATP produced by glucose metabolism is used by brain neurons to maintain synaptic excitement. Cognitive performance may be hampered by impaired glucose utilization and lactic acid accumulation. The astrocyte-neuron lactate shuttle (ANLS) is the brain’s crucial mechanism for providing cognitive energy [38,39,40]. Monocarboxylate transporters (MCTs) carry lactate, which is produced by astrocytes through glycolysis, to neurons. Lactate dehydrogenase (LDH) transforms lactate into pyruvate, which is then processed in mitochondria via the tricarboxylic acid (TCA) cycle and oxidative phosphorylation (OXPHOS) to generate ATP [41]. Research has confirmed abnormal bioenergetic coupling between astrocytes and neurons in schizophrenia [42], and abnormal lactate metabolism is a necessary component of ANLS imbalance [43,44]. This elevated brain lactate may be associated with a shift in energy metabolism from the TCA cycle and OXPHOS toward greater reliance on glycolysis, similar to the Warburg effect reported in cancer cells [45,46]. Extensive research confirms that lactate levels in schizophrenia patients are commonly elevated in multiple brain regions (DLPFC, striatum, hippocampus, etc.) [14,33,47,48,49], peripheral blood [50], and cerebrospinal fluid (CSF) [51,52,53,54,55], and are negatively related to a decreased pH [14,33,56,57]. Abnormal brain energy metabolism is often accompanied by elevated brain lactate levels; this phenomenon persists across schizophrenia-associated genetic models (DISC1 [58], 22q11.2 deletion [59]), cellular models (iPSCs) [49], and pharmacological models [56,60]. Consequently, lactate abnormalities reflect disturbances in energy metabolism. Lactic acid abnormalities in schizophrenia are independent of drug administration and correlate with early OXPHOS enzyme depletion [61] (PDH [33,62], α-ketoglutarate and citrate [53]), mitochondrial dysfunction, oxidative stress, and tissue hypoxia [63]. Recent evidence indicates that elevated lactate levels correlate with symptom severity [64]. Lactate reduction improves cognitive symptoms [65,66], making brain lactate a viable biomarker for early diagnosis and treatment monitoring of this disorder [7,67].\nGlycosylation refers to the enzymatic binding of sugars to proteins and lipids. A missense mutation (A391T) in the schizophrenia-associated gene SLC39A8 impairs serum manganese sensitivity, resulting in congenital n-glycosylation abnormalities in plasma [68,69]. The ADAMTS9 and PIGQ genes are also linked to glycosylation abnormalities in schizophrenia [70]. Several studies have found abnormal glycosylating enzyme profiles in the brains of schizophrenia patients [71,72,73]. Additional studies indicate significant downregulation of synaptic plasticity glycoproteins in the DLPFC, such as PSA-NCAM [74] and PNN [75], alongside abnormalities in glutamate receptor AMPA and NMDA receptor subunits [76,77], glutamate transporters EAAT1 and EAAT2 [78], and GABAA receptors [79,80]. This evidence indicates abnormal glycosylation in schizophrenia. Advanced glycation end-products (AGEs) are the principal cause of carbonyl stress and characterize refractory disease states [81], including methylglyoxal (MG) and pentosyl in the brain. Endogenous secretory RAGE (esRAGE) protects cells from AGE toxicity [82]. One study demonstrated AGE accumulation and diminished esRAGE/sRAGE protective effects in schizophrenia patients [83]. Pyrovalerone, betaine, and glyoxalase 1 (GLO1) counteract carbonyl stress. Clinical evidence suggests elevated peripheral pentosidine levels, reduced pyridoxal [84,85] and betaine [86] levels, and decreased GLO1 activity in schizophrenia, suggesting a potential association with anxiety, depression-like behaviors, and symptom severity [87,88]. Although abnormal glycosylation and carbonyl stress are present in schizophrenia, studies investigating their relationship with disease phenotypes are scarce and require further validation.\nBased on the above evidence, schizophrenia can be regarded as a disorder involving impaired energy metabolism. Under the combined influence of genetic susceptibility and environmental stressors, peripheral hyperglycemia coexists with central brain glucose metabolism abnormalities in schizophrenia. Abnormalities are observed in the glucose metabolism enzyme profile and lactate metabolism (Table 1), suggesting an energy metabolism imbalance shifting from the tricarboxylic acid cycle/oxidative phosphorylation to glycolysis. This interacts with common pathways involving oxidative stress, mitochondrial dysfunction, and carbonyl stress, ultimately impairing neuronal synaptic plasticity and neurotransmitter balance. These alterations are closely associated with psychotic symptoms and cognitive impairments, providing novel targets for early disease identification and metabolic intervention.\nBoth the schizophrenic brain (neuronal membranes, myelin sheaths) and peripheral tissues (serum, liver, adipose tissue, etc.) have significant lipid metabolism problems. Multiple studies have shown that lipid abnormalities are a significant feature of the disease [89,90], and they are closely related to inflammation, oxidative stress, and energy metabolism imbalance. These abnormalities affect symptom severity, cognitive impairment, and prognosis [91].\nFatty acid and cholesterol generation in oligodendrocyte myelin inside the central nervous system are regulated by the schizophrenia susceptibility genes SREBF1 and SREBF2 [3,92]. The schizophrenia susceptibility genes APOEε2 [93] and G72/G30 [94] are both implicated in lipid abnormalities. According to the membrane lipid hypothesis of schizophrenia [95], inadequate phospholipid production or excessive breakdown is a pathogenic process that causes diminished membrane fluidity, poor synaptic plasticity, and neurotransmitter receptor dysfunction [96]. Phospholipids include phosphatidylserine (PS), phosphatidylethanolamine (PE), phosphatidylcholine (PC), lysophosphatidylethanolamine (LPE), lysophosphatidylcholine (LPC), and ethanolamine acylglycerol precursors. PC and sphingosine are primary synthesis ingredients for neurons and oligodendrocytes. Phospholipase A2 (PLA2) converts PE to LPE [97]. Lipid peroxidation increases PLA2 activity, triggering excessive degradation of membrane phospholipids and releasing pro-inflammatory mediators (e.g., arachidonic acid) [98]. Myelin sheaths are mostly composed of sphingolipids, which also include sulfatides and ceramides. Ceramides exert apoptotic and inflammatory effects, and phosphatidylserine enhances ceramide-induced cell death [73]. Extensive study has revealed widespread abnormalities in neuronal membrane phospholipids and myelin lipids in the brains of schizophrenic patients. A non-targeted lipidomics study revealed widespread decreases in PC, PE, and cardiolipin throughout frontal cortex gray matter, particularly in elderly patients [99], suggesting synthetic insufficiency. Multiple cohort studies consistently demonstrate elevated levels of sulfatides, N-acylphosphatidylserine, and phospholipid metabolites in the frontal cortex of schizophrenia patients [100,101,102]; this confirms abnormalities in membrane phospholipids and sphingolipids. Among these, only one study reported increased levels of choline acetaldehyde decarboxylase precursor and ethanolamine [100,101]. Ceramides decrease in gray matter [102] but increase in white matter [100], potentially due to differences in brain regions and lipid subclasses. Another study found significantly elevated concentrations of ceramides in both the white matter and gray matter of the prefrontal cortex in schizophrenia patients [103], reflecting heightened inflammatory and apoptotic signaling. Additionally, research has found abnormal concentrations of PC and PE metabolites in subcortical and cortical regions of schizophrenia patients, with cortical PC levels correlating with psychotic symptoms [104]. Collectively, phospholipid–sphingolipid network dysregulation disrupts neuronal signaling, myelin formation, and oligodendrocyte function, jointly driving the development of cognitive and psychotic symptoms in schizophrenia [90,105].\nFatty acids and their derivatives serve as core substrates for membrane structure and signaling molecules. Polyunsaturated fatty acids (PUFAs), which are rich in double bonds, are vulnerable to free radical attack. Lipid peroxidation can disrupt membrane permeability and damage mitochondria. Neuroactive steroids (cholesterol esters) are also considered potential therapeutic targets for psychiatric disorders [106]. Schizophrenic patients exhibit significantly elevated levels of free fatty acids, ceramides, and triglycerides in the frontal cortex [103,107], suggesting concurrent membrane lipid remodeling and oxidative stress. Some researchers propose that cerebral lipid abnormalities correlate with energy metabolism imbalance. Insufficient glucose supply causes the body to mobilize peripheral fat, resulting in compensatory increases in serum free fatty acids (FFAs) and the ketone body β-hydroxybutyrate (β-HB). Lipid peroxidation damages membrane lipids, and excess FFAs entering the brain exacerbate peroxidation through the release of free polyunsaturated fatty acids (PUFAs), which worsen oxidative damage and impair glucose utilization. This creates a vicious cycle of “energy deficit—lipolysis—re-damage.” Multiple studies confirm elevated levels of various fatty acids and ketone bodies in the serum/urine of schizophrenia patients [108], with β-HB positively correlated with fasting blood glucose and triglycerides [109], suggesting insufficient glucose supply and sustained hyperactivity in fatty acid catabolism. However, as the disease progresses, β-HB levels decrease when the body loses compensatory capacity [51,110]. Brain metabolites can be measured using combined proton and phosphorus magnetic resonance spectroscopy (1H/31P-MRS). Extensive research has validated the aforementioned pathways from an energy metabolism perspective. Phosphomonoester (PME) serves as a precursor for phospholipid synthesis, while phosphodiester (PDE) is a degradation metabolite. In first-episode, untreated schizophrenia patients, anterior cingulate PDE levels increase synchronously with high-energy phosphate, while PME levels decrease [111,112], suggesting reduced phospholipid synthesis and localized hypermetabolism during the acute phase. With disease progression or chronic medication use, studies have found a significant decrease in the total adenosine triphosphate (ATP)/phosphocreatine (PCr) ratio in the basal ganglia of schizophrenia patients, along with an increase in the PME/PDE ratio, due to lipid peroxidation and reduced energy demand [113]. Additional studies reveal widespread reductions in lipid metabolites (PME and PDE) and energy metabolites (PCr and Pi) across the bilateral prefrontal cortex, hippocampus, caudate nucleus, thalamus, and anterior cerebellum in patients, with these alterations positively correlating with PANSS and BPRS scores [112,114,115], indicating direct linkage between impaired membrane lipid turnover and symptom severity. The glutamatergic system may cross-regulate this lipid-energy axis: one study found that elevated Glu in the left prefrontal cortex of schizophrenia patients correlates with increased PME (membrane repair), while right-sided Glu elevation correlates with increased PDE (membrane degradation), corresponding to negative symptoms and cognitive deficits [116]. The endocannabinoid system (ECS) comprises cannabinoid receptor 1 (CB1R) and 2 (CB2R), with endogenous ligands including endocannabinoids and 2-arachidonoylglycerol (2-AG) [117]. Some studies indicate that CB1R expression is downregulated in brain tissue, endogenous cannabinoid levels are elevated, and the fatty acid:phospholipid:cholesterol ester ratio in the olfactory epithelial cells of schizophrenia patients is imbalanced, with enhanced lipid peroxidation. This phenomenon is not observed in long-term cannabis users [118,119,120], suggesting that ECS dysregulation is disease-specific rather than drug-induced, and the astrocytic ECS system holds potential to link lipid metabolism with neuroinflammation—a hypothesis requiring extensive validation. In summary, the schizophrenia brain exhibits a self-amplifying pathological loop: “glucose deficiency → fatty acid/ketone body compensation → lipid peroxidation → membrane lipid remodeling and energy depletion.” This process may also be accompanied by glutamatergic hyperactivity and ECS imbalance, leading to cognitive impairment and psychotic symptoms.\nSchizophrenia’s peripheral lipid profile (serum, plasma, platelets, and red blood cells) shows a stable phenotype with decreased membrane phospholipids, increased storage fats, and lipid peroxidation. This profile has a significant correlation with illness features, cognitive impairment, and treatment response [121], with inflammation, oxidative stress, and an imbalance in energy metabolism all playing crucial roles. Multiple studies using targeted or untargeted lipidomics platforms consistently demonstrate elevated levels of PC, PE, LPC, LPE, N-acylsphingomyelin, phospholipidylcholine plasma alcohols (plas-PCs), and phosphoethanolamine plasma alcohols (plas-PEs) [122,123,124] in various blood components of schizophrenia patients (including twins [125], first-episode untreated individuals, and relapse-off-medication cases [126,127]), regardless of age or gender. Notably, the reduction in LPC in the serum of monozygotic twins with schizophrenia positively correlates with cortical gray matter density and cognitive scores, suggesting persistent depletion of membrane phospholipids. Consistent with brain findings, peripheral tissues exhibit bidirectional upregulation of fats and sphingolipids. Triglycerides (TG) are elevated across studies, with saturated-chain TG further accumulating after antipsychotic treatment [128], while sphingomyelin (SM) results showed heterogeneity. However, the “low SM-high symptom” pattern was replicated in patients’ red blood cells post-treatment, potentially due to specific red blood cell membrane lipid clusters being associated with dopamine dysfunction [129]. Free fatty acids and cholesterol profiles are similarly disrupted, with elevated serum levels of 16 FFAs, MUFAs, and some PUFAs [89,130]. First-episode treatment-resistant patients exhibit increased serum TC, LDL, and TG [131]. Cohort studies also show that serum glycerophospholipids (GP), sphingomyelin (SP), and glycerolipids (GL) decrease, while ceramides, LPC, and TG monomers increase [90], suggesting active lipolysis–reesterification cycles. Concurrently, oxidized lipids significantly increase in red blood cells, while ether lipids and PUFAs decrease, directly confirming membrane peroxidation damage [132]. Furthermore, the gut–brain axis may contribute to peripheral lipid reprogramming. Fecal metagenomic analyses reveal an altered abundance of short-chain fatty acid (SCFA)-producing bacteria, enrichment of glycerophospholipid metabolic pathways, and reduced abundance of fatty acid synthesis rate-limiting enzyme acetyl-CoA carboxylase (ACC) genes [35,133]. Interestingly, first-episode schizophrenia patients can be distinguished from healthy controls by elevated LPC, reduced PC, and decreased SM levels, with PC lipid levels negatively correlated with disease severity [134]. CHR individuals exhibit low unsaturation TG↑ and ether phospholipids↓, predictive of psychotic conversion, with lower sphingomyelin in males [135]. Low SM/high PS clusters in red blood cells correlate negatively with PANSS cognitive factors. Lipid profiles in plasma samples from schizophrenia spectrum disorder patients (with comorbidities) interact with inflammation, though schizophrenia-specific findings remain undiscussed [136]. Collectively, the “membrane phospholipid depletion-lipid mobilization-peroxidative injury” pattern persists stably in peripheral tissues throughout the course of schizophrenia, exhibiting a close association with cognitive impairment. However, the precise interactions between this pattern and inflammation, oxidative stress, and energy metabolism imbalances require further investigation through large-scale studies.\nIn summary, schizophrenia susceptibility genes downregulate phospholipid/sphingolipid synthesis. This, combined with inflammation, oxidative stress, and impaired glucose metabolism, leads to a vicious cycle of “membrane lipid abnormalities (Table 2) and lipid peroxidation-energy supply insufficiency” occurring simultaneously in both central and peripheral tissues. Concurrently, abnormalities in myelin sheath and synaptic membrane structures ultimately manifest as cognitive deficits and psychotic symptoms. These abnormalities serve as a critical foundation for illness initiation and progression while also presenting novel biomarkers and therapeutic targets for clinical diagnosis and treatment.\nAmino acids are the fundamental building blocks of proteins and peptides. Among these, glutamic acid (Glu), glycine (Gly), serine (Ser), and tryptophan (Trp) are involved in immunological responses, redox homeostasis, and energy metabolism in addition to acting as neurotransmitters or their precursors. Clinical studies indicate that the pathophysiology of schizophrenia patients is correlated with aberrant serum levels of biogenic amines (BAs) and amino acids (AAs) [137].\nThe dopamine hypothesis of schizophrenia proposes that excessive striatal dopamine (DA) activity, along with insufficient frontal lobe DA, is responsible for psychotic symptoms [138,139,140]. Phenylalanine hydroxylase (PAH) converts phenylalanine to tyrosine, which is then produced into DA. In both first-episode and chronic schizophrenia patients, chronic inflammation and oxidative stress can impair PAH function, resulting in increased plasma phenylalanine levels and limited DA production [141]. Furthermore, the schizophrenia susceptibility gene DISC1 further disrupts DA biosynthesis via the “serine phosphorylation–tyrosine hydroxylase” pathway, suggesting that amino acid metabolism may amplify monoamine imbalance, albeit with a small effect size [142].\nAbnormalities in pre-psychotic hippocampus glutamate levels and increased dorsal striatal dopamine (DA) uptake interact [143]. Following the dopamine hypothesis, the excitation–inhibition imbalance hypothesis emerged, suggesting that the glutamatergic and gamma-aminobutyric acid (GABAergic) systems are dysregulated [144,145]. Recent extensive data indicate lower glutamate, GABA, and DA levels in cortical regions of schizophrenia patients, alongside elevated glutamate levels in the basal ganglia and thalamus [146]; however, disruption of glutamate metabolism is caused by multi-pathway interactions [147], involving shifts in multiple metabolic links that exacerbate oxidative stress.\nGlutamate enters the synaptic cleft and activates ionotropic glutamate receptors (α-amino-3-hydroxy-5-methylisoxazole-4-propionic acid (AMPA), kainate, and NMDA) and metabotropic glutamate receptors (mGluRs), regulating the initiation and modulation of glutamatergic neurotransmission. A damaged glutamate network in schizophrenia patients has been confirmed, and disease mutations markedly increase postsynaptic genes involved in NMDA and AMPA receptor signaling pathways [148,149,150]. The NMDA receptor comprises subunits encoded by the GRIN1, GRIN2A, and GRIN2B genes, and it requires the binding of two different ligands to activate the ion channel [151]. Glutamate binds to a location on the GluNR2/3 subunits, whereas glycine, D-serine, kynurenic acid (KYNA), or mGluR3 agonists (NAAG) bind to the GluNR1 subunit’s modulatory binding site. The dysfunction of NMDARs is crucial to the excitatory–inhibitory imbalance in schizophrenia, and extensive research has demonstrated its association with cognitive impairment [152,153,154,155,156]. In schizophrenia, NMDAR subunits GluN1 [157] and GluN2A/B [152,158,159] are significantly downregulated in the PFC. Reduced levels of postsynaptic scaffolding proteins (GRIA3/4, ATP1A3, GNAQ) in the auditory cortex correlate positively with cognitive scores [160], and genetic variations in NMDAR-encoding genes have also been identified [161]. NMDAR function is regulated by the co-agonists D-serine and glycine, whose phosphorylation is controlled by multiple kinases. Numerous studies have identified insufficient D-serine and glycine production in schizophrenia, which correlates with psychotic symptoms [162,163,164]. High-dose D-serine administration has been shown to alleviate negative symptoms [165,166,167,168]. D-serine/D-alanine is metabolized by DAAO [169,170]. Over-expression and variants of the D-amino acid oxidase activator (DAOA, also known as G72) gene are associated with schizophrenia [171,172,173,174,175]. DAOA inhibitors are considered novel therapeutic targets [176,177] for treating impaired D-serine metabolism [178]. Research indicates that mutations in the glycine cleavage system (GCS) genes may lead to schizophrenia-like symptoms [179]. Glycine Transporter 1 (GlyT1) inhibitors (carnosine [180], BI-RG7118 [181], BI-425809 [182]) boost synaptic glycine and NMDAR activity, alleviating negative symptoms. GlyT1 has emerged as a core therapeutic target [183]. Additionally, schizophrenia patients exhibit mGluR5 dysregulation [184], decreased mGluR5 activity, and mGluR2/3 agonists (LY2140023 [185], LY379268 [186], LY395756 [187]) restore NMDAR/GABAAR balance and improve cognition. The endogenous mGluR3 ligand NAAG inhibits glutamate, GABA, and glycine release [188], with the schizophrenic brain showing lower NAAG levels [102,189]. D-aspartic acid (d-Asp) activates NMDARs via the GluN2 site and promotes glutamate release [190]. Postmortem studies reveal significantly reduced d-Asp levels in the prefrontal cortex of schizophrenia patients [191], and d-Asp supplementation antagonizes PCP-induced schizophrenia-like behaviors [192]. In summary, the glutamatergic dysregulation in schizophrenia may not stem from a single receptor defect but rather involve abnormalities across multiple pathways, and the above evidence provides a theoretical basis for precise interventions.\nThe cystine/glutamate antiporter (xc− system) comprises a heavy chain subunit (4F2hc, SLC3A2) and a light chain subunit (xCT, SLC7A11), exchanging extracellular cystine for intracellular glutamate. This process regulates synaptic glutamate levels while providing the rate-limiting substrate for the synthesis of glutathione (GSH), an antioxidant [193]. xc− system dysfunction is implicated in schizophrenia pathogenesis [194]. Excessive competition for extracellular glutamate inhibits intracellular cystine uptake, triggering oxidative stress-related cell death. One study shows reduced peripheral leukocyte mRNA expression of SLC3A2 and SLC7A11 [195]; another shows elevated xc^ protein levels in the dorsolateral prefrontal cortex [196]. However, only two studies have reported these findings, necessitating further research to confirm these results. Concurrently, lower EAAT1/2 expression and polymorphisms in schizophrenia patients limit glutamate clearance, which correlates with illness severity and cognitive deficits [197,198,199,200,201]. Abnormal splicing variants of EAAT1/2 are also observed in the anterior cingulate cortex [202]. The evidence suggests that glutamate clearance is equally important, offering a novel therapeutic strategy for schizophrenia.\nAstrocytes absorb glutamate, convert it into glutamine (Gln) via glutamine synthetase (GS), and then transport it to neurons, where it is hydrolyzed into N-acetylaspartate (NAA) and glutamate—this constitutes the glutamate–glutamine cycle (Glx cycle). NAA serves as a marker of neuronal integrity. Schizophrenia is characterized by widespread impairment of Glx cycle homeostasis. Some studies have identified reduced NAA/Cr and Glx/Cr ratios in the hippocampus and DLPFC of schizophrenia patients [203,204], while others have demonstrated elevated Gln/Glu ratios in early-stage, untreated patients [205], potentially linked to neuronal degeneration. However, as the disease progresses, Glu, Gln, and NAA levels decrease significantly across various brain regions (frontal cortex, hippocampus, thalamus) in chronic patients [206]. Both clinical patients and animal models exhibit decreased Glu and increased Gln in PFC. NAA correlates negatively with age and disease duration [207,208,209,210,211,212,213], though isolated studies report elevated NAA in the hippocampal region of chronic patients [214] and the prefrontal cortex of high-risk adolescents [215]. Individual variation in damage to neurons may correlate with gray-white matter discrepancies [216]. Furthermore, peripheral blood 2-AG and ACC Glx levels in schizophrenia spectrum patients were negatively correlated, indicating that the ECS system may interact with the amino acid-lipid metabolism in disease mechanisms [217]. Collectively, Glx metabolic dysfunction is a key cross-stage metabolic characteristic of schizophrenia, providing prospective targets for early detection and treatment.\nKynurenine, a terminal metabolite of tryptophan via the kynurenine (KYN) pathway, has antagonistic effects on both NMDA and α7nACh receptors [218]. Elevated kynurenine levels inhibit glutamatergic and cholinergic transmission, which correlates with cognitive impairments [219]. Proinflammatory cytokines and oxidative stress stimulate KYN pathway metabolism, which is initiated by indoleamine 2,3-dioxygenase (IDO)/tryptophan 2,3-dioxygenase (TDO) [220,221] and is regulated in three steps—hydroxylation by kynurenine monooxygenase (KMO) and transamination by kynurenine transaminase (KAT)—determining the KYNA–quinolinic acid (QUIN) balance. QUIN, an NMDA receptor agonist, aggravates immunological inflammation and oxidative stress [222]. Reduced KMO gene expression and enzyme activity are observed in the prefrontal cortex of schizophrenia patients [223,224], while elevated KYNA levels are found in cerebrospinal fluid and postmortem brain tissue [223,225,226,227,228,229]. However, the results of KYNA in peripheral tissues (plasma, saliva, and skin fibroblasts) are discordant [230,231,232,233]. Conversely, 3-HK and QUINA are frequently disrupted in schizophrenic brains [234], while serum 3-HK levels show elevated [233], decreased [231,235], or unchanged [236] patterns, I believe these inconsistent findings may relate to factors such as the site of detection and disease severity [237]. Animal studies simultaneously demonstrate the interplay among these three components: knocking out the KMO gene or inhibiting the IDO/TDO/KMO pathways increases KYNA, decreases 3-HK, and alleviates oxidative stress and schizophrenia symptoms [238,239]. Proinflammatory factors (e.g., IL-6) have been shown to activate the IDO/KMO bypass, with studies demonstrating that this also increases KYNA production and significantly exacerbates schizophrenia symptoms [240,241,242], forming a pathological feedback loop. In summary, KYNA/QUINA imbalance is an important component of the glutamatergic hypothesis in schizophrenia. Targeting KMO, IDO/TDO, or α7nACh receptors for orthosteric regulation can restore KYNA–QUINA balance, providing new anti-inflammatory and cognitive-enhancing therapies.\nGlutamate is converted into GABA via glutamate decarboxylase (GAD), thereby inhibiting glutamatergic excitatory signaling. Reduced GABAergic interneurons in the prefrontal cortex and decreased GAD mRNA expression are observed in schizophrenia [243,244]. The research indicates this leads to decreased GABA/Cr levels, which are positively connected with cognitive impairment. There is also evidence of decreased Glu and NAA in the prefrontal cortex and decreased GABA in the parieto-occipital region, with more noticeable effects in males [245]. Reduced GABA-A/BZ receptor binding in the right caudate nucleus occurs during early disease onset in persons at high risk for schizophrenia (UHR) [246]. GSH, an antioxidant, is generated from glutamate, cysteine, and glycine by gamma-glutamylcysteinyl synthase (GCL). The GCL gene and its variations increase vulnerability to schizophrenia [247,248], and impaired early GSH synthesis may trigger schizophrenia-like behaviors in adulthood [249]. Research indicates schizophrenic patients exhibit persistently reduced GSH levels in the brain and elevated NO and MDA concentrations [250]. In chronic patients, GSH levels in cerebrospinal fluid and the medial prefrontal cortex correlate inversely with negative symptom severity [251]. Multiple animal model studies have demonstrated that supplementation with glutathione precursors (such as N-acetylcysteine (NAC) [252,253,254,255,256,257,258,259] or alpha-lipoic acid (ALA) [260]) can reverse schizophrenia-like symptoms, oxidative stress, and neurotransmitter imbalances. In summary, GABA depletion and GSH antioxidant deficiency contribute to glutamatergic hyperexcitability and oxidative damage. In particular, GSH is frequently targeted as an intervention for oxidative stress in schizophrenia.\nA meta-analysis examining the relationship between glutamate and brain metabolites in schizophrenia within recent magnetic resonance spectroscopy (MRS) studies suggests that alterations in glutamate levels may stem from metabolic impairment at the mitochondrial level [261]. Astrocytes regulate glutamatergic activity by clearing synaptic glutamate, maintaining glutamate-glutamine cycling, and initiating mitochondrial catabolism via glutamate dehydrogenase [262]. This process is closely associated with peripheral redox imbalances and energy metabolism disorders [263].\nBased on the above evidence, amino acid metabolism abnormalities in schizophrenia persist throughout its development, with astrocytes serving as a critical site. Influenced by inflammation and energy metabolism, these abnormalities primarily contribute to imbalances in the dopamine (DA), glutamate (Glu), and gamma-aminobutyric acid (GABA) systems, as well as oxidative stress (Table 3). Nevertheless, they offer numerous effective targets for clinical intervention.\nNucleotide metabolism is the central center for DNA/RNA synthesis and repair. Within this framework, one-carbon (C1) metabolism—encompassing DNA methylation (methionine) and homocysteine metabolism—acts as an interface between diverse pathogenic factors in schizophrenia, such as abnormal monoamine transmission, epigenetic dysregulation, oxidative stress, and maternal hyperhomocysteinemia [264]. Studies have observed insufficient levels of C1 molecules in the serum of schizophrenia patients [265]. Given that folate and vitamin B12 participate in DNA methylation and repair processes [266], one study found that abnormal DNA methylation in schizophrenia patients affects the amount of specific NMDAR subunits, lowering overall NMDAR activity [267]. Enzymes involved in C1 metabolism include methylenetetrahydrofolate reductase (MTHFR) [268,269] and nicotinamide N-methyltransferase (NNMT) [270], whose gene polymorphisms are associated with schizophrenia. The MTHFR C677T polymorphism, for instance, is linked to reduced total DNA methylation levels in female schizophrenia patients [271,272]. Hyperhomocysteinemia may increase the risk of schizophrenia [271,273], and multiple studies consistently demonstrate that schizophrenia patients have lower plasma folate, vitamin B12, and pyridoxal phosphate levels [274,275,276], as well as higher homocysteine levels [277,278,279]. In first-episode patients, low folate and high Hcy levels are associated with negative symptoms and cognitive deficits, with more pronounced effects in younger patients [280,281]. Furthermore, studies have revealed a positive correlation between plasma total homocysteine levels at a specific CpG site and DNA methylation [282], contradicting the previously observed pattern of widespread hypomethylation. This discrepancy may be related to medication effects or the specific testing site.\nMitochondrial dysfunction may result in DNA damage and oxidative stress, which affects nucleotide metabolism. Single nucleotide polymorphisms (SNPs) in mitochondrial DNA (mtDNA), such as the NADH oxidase gene, increase the risk of schizophrenia [283]. Studies have revealed enhanced purine degradation in schizophrenia, with significantly elevated xanthine (XAN) concentrations in patient plasma [235], alongside disturbances in nucleotide precursors like glutamate, arginine, and ornithine [284]. I hypothesize these may all relate to mitochondrial energy imbalance. Hyperhomocysteinemia, folate insufficiency, and mtDNA damage all contribute to oxidative stress, which suppresses C1 enzyme activity and mitochondrial respiration [21] (Table 4), thereby forming a vicious cycle of “hypomethylation–oxidative stress–energy crisis.”\nIn summary, various metabolic mechanisms interact to contribute to the energy metabolism disorders, oxidative stress, and neurotransmitter metabolism abnormalities observed in psychiatric patients, thereby driving disease progression. Targeting abnormalities in these metabolic pathways may influence disease phenotype and severity, suggesting that metabolic mechanisms represent important therapeutic targets for schizophrenia. The primary metabolic abnormalities in schizophrenia are shown in Figure 1 by figdraw.\n\n\n### 2.1. Schizophrenia and Abnormal Glucose Metabolism\nGlycolysis in the cytoplasm breaks down glucose into pyruvate or lactate, which is subsequently oxidatively phosphorylated in the mitochondria. This pathway generates the high-energy molecule adenosine triphosphate (ATP), which drives brain function. Additionally, glucose participates in antioxidant stress through the pentose phosphate pathway (PPP), provides substrates for neuronal glycolipid and glycoprotein synthesis, and generates glutamate and subsequent key neurotransmitters such as gamma-aminobutyric acid (GABA) via the tricarboxylic acid (TCA) cycle [10,11]. As a result, abnormalities in any stage of glucose metabolism can have a significant impact on brain development and function.\nNumerous clinical studies consistently demonstrate that altered glucose metabolism exists in schizophrenia patients throughout the early stages of the disease [12,13,14], presenting as higher fasting blood glucose, insulin resistance, and impaired glucose tolerance [15,16,17,18]. This is unrelated to antipsychotic-induced metabolic syndrome [13,19], but it is strongly linked to aberrant brain tissue energy metabolism caused by mitochondrial dysfunction and redox imbalance [20,21,22]. Some genetic studies provide strong evidence for the above claims. Whole-genome studies have clearly demonstrated that schizophrenia risk genes contribute to pathogenesis by regulating glucose metabolism, with the most significantly enriched pathways directly linked to glucose homeostasis and insulin secretion [2]. Mendelian randomization analysis revealed that genetic variants that raise fasting insulin levels significantly increase disease risk with established causal directionality [23], and animal model mice with mutations in the candidate gene Tmem108 also exhibit symptoms of impaired glucose tolerance and insulin resistance [24]. GLUT1 and GLUT3, members of the glucose transporter (GLUT) family, play a crucial role in neuronal glucose uptake [25]. In schizophrenia, cerebral insulin resistance inhibits GLUT1/3-mediated glucose uptake, but systemic hypoglycemia upregulates GLUT1/3 expression, indicating decoupling between peripheral hyperglycemia and impaired cerebral glucose utilization. A postmortem study revealed significant downregulation of GLUT1/3 mRNA in the dorsolateral prefrontal cortex (DLPFC) of schizophrenia patients (n = 16) [26], corroborating this observation. Several studies have further indicated that this exacerbates negative symptoms and promotes symptom transformation into chronic damage [27,28]. Furthermore, mTOR pathway dysfunction—a pathogenic factor in schizophrenia [29]—disrupts GLUT1 receptor translocation, exacerbating neuronal insulin resistance and ATP deficiency [30].\nExtensive clinical evidence indicates that abnormalities in glucose metabolism enzymes are prevalent in the brains of schizophrenic patients. Previous studies scanning the schizophrenia dataset from the National Institute of Mental Health (NIMH) revealed that schizophrenia susceptibility genes are associated with enzymes involved in aerobic glycolysis, such as 6-phosphofructokinase-2/fructose-2,6-bisphosphatase 2 (PFKFB2), hexokinase 3 (HK3), and pyruvate kinase 3 (PK3) [31]. Postmortem studies showed lower levels of aldehyde dehydrogenase C (ALDOC) and α-enolase (ENO1) in patients’ hippocampus [32], as well as considerably lower mRNA expression of hexokinase 1 (HK1) and phosphofructokinase (PFK1) in DLPFC pyramidal neurons, while lactate/pyruvate transporter (MCT1) increased [26]. Pyruvate is converted to acetyl-CoA via pyruvate dehydrogenase (PDH), and one study showed lower PDH β-subunit levels in the striatum of schizophrenia patients compared to healthy controls [33]. In addition, one study revealed a negative correlation between mitochondrial HK1 activity and glucose-6-phosphate dehydrogenase (G6PD) activity in the parietal sensory cortex (BA7) in schizophrenia patients [34], suggesting that abnormal glucose metabolism may coexist with mitochondrial damage induced by oxidative stress. Disrupted glucose metabolism enzyme profiles in the peripheral blood mononuclear cells [12] and gut microbiota [35] of schizophrenia patients are consistent with the previous findings. Additionally, decreased HK activity in PFC, increased malate dehydrogenase (MDH) activity, and decreased lactate dehydrogenase (LDH) activity in the striatum were similarly observed in schizophrenia model rats [36], which collectively contribute to impaired glucose utilization, lactate accumulation, and white matter lesions [37]. Although most of the above studies lack reproducibility, they collectively suggest that glucose metabolism in schizophrenia may exhibit an imbalance characterized by “enhanced glycolysis and inhibited tricarboxylic acid cycle.”\nThe majority of ATP produced by glucose metabolism is used by brain neurons to maintain synaptic excitement. Cognitive performance may be hampered by impaired glucose utilization and lactic acid accumulation. The astrocyte-neuron lactate shuttle (ANLS) is the brain’s crucial mechanism for providing cognitive energy [38,39,40]. Monocarboxylate transporters (MCTs) carry lactate, which is produced by astrocytes through glycolysis, to neurons. Lactate dehydrogenase (LDH) transforms lactate into pyruvate, which is then processed in mitochondria via the tricarboxylic acid (TCA) cycle and oxidative phosphorylation (OXPHOS) to generate ATP [41]. Research has confirmed abnormal bioenergetic coupling between astrocytes and neurons in schizophrenia [42], and abnormal lactate metabolism is a necessary component of ANLS imbalance [43,44]. This elevated brain lactate may be associated with a shift in energy metabolism from the TCA cycle and OXPHOS toward greater reliance on glycolysis, similar to the Warburg effect reported in cancer cells [45,46]. Extensive research confirms that lactate levels in schizophrenia patients are commonly elevated in multiple brain regions (DLPFC, striatum, hippocampus, etc.) [14,33,47,48,49], peripheral blood [50], and cerebrospinal fluid (CSF) [51,52,53,54,55], and are negatively related to a decreased pH [14,33,56,57]. Abnormal brain energy metabolism is often accompanied by elevated brain lactate levels; this phenomenon persists across schizophrenia-associated genetic models (DISC1 [58], 22q11.2 deletion [59]), cellular models (iPSCs) [49], and pharmacological models [56,60]. Consequently, lactate abnormalities reflect disturbances in energy metabolism. Lactic acid abnormalities in schizophrenia are independent of drug administration and correlate with early OXPHOS enzyme depletion [61] (PDH [33,62], α-ketoglutarate and citrate [53]), mitochondrial dysfunction, oxidative stress, and tissue hypoxia [63]. Recent evidence indicates that elevated lactate levels correlate with symptom severity [64]. Lactate reduction improves cognitive symptoms [65,66], making brain lactate a viable biomarker for early diagnosis and treatment monitoring of this disorder [7,67].\nGlycosylation refers to the enzymatic binding of sugars to proteins and lipids. A missense mutation (A391T) in the schizophrenia-associated gene SLC39A8 impairs serum manganese sensitivity, resulting in congenital n-glycosylation abnormalities in plasma [68,69]. The ADAMTS9 and PIGQ genes are also linked to glycosylation abnormalities in schizophrenia [70]. Several studies have found abnormal glycosylating enzyme profiles in the brains of schizophrenia patients [71,72,73]. Additional studies indicate significant downregulation of synaptic plasticity glycoproteins in the DLPFC, such as PSA-NCAM [74] and PNN [75], alongside abnormalities in glutamate receptor AMPA and NMDA receptor subunits [76,77], glutamate transporters EAAT1 and EAAT2 [78], and GABAA receptors [79,80]. This evidence indicates abnormal glycosylation in schizophrenia. Advanced glycation end-products (AGEs) are the principal cause of carbonyl stress and characterize refractory disease states [81], including methylglyoxal (MG) and pentosyl in the brain. Endogenous secretory RAGE (esRAGE) protects cells from AGE toxicity [82]. One study demonstrated AGE accumulation and diminished esRAGE/sRAGE protective effects in schizophrenia patients [83]. Pyrovalerone, betaine, and glyoxalase 1 (GLO1) counteract carbonyl stress. Clinical evidence suggests elevated peripheral pentosidine levels, reduced pyridoxal [84,85] and betaine [86] levels, and decreased GLO1 activity in schizophrenia, suggesting a potential association with anxiety, depression-like behaviors, and symptom severity [87,88]. Although abnormal glycosylation and carbonyl stress are present in schizophrenia, studies investigating their relationship with disease phenotypes are scarce and require further validation.\nBased on the above evidence, schizophrenia can be regarded as a disorder involving impaired energy metabolism. Under the combined influence of genetic susceptibility and environmental stressors, peripheral hyperglycemia coexists with central brain glucose metabolism abnormalities in schizophrenia. Abnormalities are observed in the glucose metabolism enzyme profile and lactate metabolism (Table 1), suggesting an energy metabolism imbalance shifting from the tricarboxylic acid cycle/oxidative phosphorylation to glycolysis. This interacts with common pathways involving oxidative stress, mitochondrial dysfunction, and carbonyl stress, ultimately impairing neuronal synaptic plasticity and neurotransmitter balance. These alterations are closely associated with psychotic symptoms and cognitive impairments, providing novel targets for early disease identification and metabolic intervention.\n\n\n### 2.2. Schizophrenia and Abnormal Lipid Metabolism\nBoth the schizophrenic brain (neuronal membranes, myelin sheaths) and peripheral tissues (serum, liver, adipose tissue, etc.) have significant lipid metabolism problems. Multiple studies have shown that lipid abnormalities are a significant feature of the disease [89,90], and they are closely related to inflammation, oxidative stress, and energy metabolism imbalance. These abnormalities affect symptom severity, cognitive impairment, and prognosis [91].\nFatty acid and cholesterol generation in oligodendrocyte myelin inside the central nervous system are regulated by the schizophrenia susceptibility genes SREBF1 and SREBF2 [3,92]. The schizophrenia susceptibility genes APOEε2 [93] and G72/G30 [94] are both implicated in lipid abnormalities. According to the membrane lipid hypothesis of schizophrenia [95], inadequate phospholipid production or excessive breakdown is a pathogenic process that causes diminished membrane fluidity, poor synaptic plasticity, and neurotransmitter receptor dysfunction [96]. Phospholipids include phosphatidylserine (PS), phosphatidylethanolamine (PE), phosphatidylcholine (PC), lysophosphatidylethanolamine (LPE), lysophosphatidylcholine (LPC), and ethanolamine acylglycerol precursors. PC and sphingosine are primary synthesis ingredients for neurons and oligodendrocytes. Phospholipase A2 (PLA2) converts PE to LPE [97]. Lipid peroxidation increases PLA2 activity, triggering excessive degradation of membrane phospholipids and releasing pro-inflammatory mediators (e.g., arachidonic acid) [98]. Myelin sheaths are mostly composed of sphingolipids, which also include sulfatides and ceramides. Ceramides exert apoptotic and inflammatory effects, and phosphatidylserine enhances ceramide-induced cell death [73]. Extensive study has revealed widespread abnormalities in neuronal membrane phospholipids and myelin lipids in the brains of schizophrenic patients. A non-targeted lipidomics study revealed widespread decreases in PC, PE, and cardiolipin throughout frontal cortex gray matter, particularly in elderly patients [99], suggesting synthetic insufficiency. Multiple cohort studies consistently demonstrate elevated levels of sulfatides, N-acylphosphatidylserine, and phospholipid metabolites in the frontal cortex of schizophrenia patients [100,101,102]; this confirms abnormalities in membrane phospholipids and sphingolipids. Among these, only one study reported increased levels of choline acetaldehyde decarboxylase precursor and ethanolamine [100,101]. Ceramides decrease in gray matter [102] but increase in white matter [100], potentially due to differences in brain regions and lipid subclasses. Another study found significantly elevated concentrations of ceramides in both the white matter and gray matter of the prefrontal cortex in schizophrenia patients [103], reflecting heightened inflammatory and apoptotic signaling. Additionally, research has found abnormal concentrations of PC and PE metabolites in subcortical and cortical regions of schizophrenia patients, with cortical PC levels correlating with psychotic symptoms [104]. Collectively, phospholipid–sphingolipid network dysregulation disrupts neuronal signaling, myelin formation, and oligodendrocyte function, jointly driving the development of cognitive and psychotic symptoms in schizophrenia [90,105].\nFatty acids and their derivatives serve as core substrates for membrane structure and signaling molecules. Polyunsaturated fatty acids (PUFAs), which are rich in double bonds, are vulnerable to free radical attack. Lipid peroxidation can disrupt membrane permeability and damage mitochondria. Neuroactive steroids (cholesterol esters) are also considered potential therapeutic targets for psychiatric disorders [106]. Schizophrenic patients exhibit significantly elevated levels of free fatty acids, ceramides, and triglycerides in the frontal cortex [103,107], suggesting concurrent membrane lipid remodeling and oxidative stress. Some researchers propose that cerebral lipid abnormalities correlate with energy metabolism imbalance. Insufficient glucose supply causes the body to mobilize peripheral fat, resulting in compensatory increases in serum free fatty acids (FFAs) and the ketone body β-hydroxybutyrate (β-HB). Lipid peroxidation damages membrane lipids, and excess FFAs entering the brain exacerbate peroxidation through the release of free polyunsaturated fatty acids (PUFAs), which worsen oxidative damage and impair glucose utilization. This creates a vicious cycle of “energy deficit—lipolysis—re-damage.” Multiple studies confirm elevated levels of various fatty acids and ketone bodies in the serum/urine of schizophrenia patients [108], with β-HB positively correlated with fasting blood glucose and triglycerides [109], suggesting insufficient glucose supply and sustained hyperactivity in fatty acid catabolism. However, as the disease progresses, β-HB levels decrease when the body loses compensatory capacity [51,110]. Brain metabolites can be measured using combined proton and phosphorus magnetic resonance spectroscopy (1H/31P-MRS). Extensive research has validated the aforementioned pathways from an energy metabolism perspective. Phosphomonoester (PME) serves as a precursor for phospholipid synthesis, while phosphodiester (PDE) is a degradation metabolite. In first-episode, untreated schizophrenia patients, anterior cingulate PDE levels increase synchronously with high-energy phosphate, while PME levels decrease [111,112], suggesting reduced phospholipid synthesis and localized hypermetabolism during the acute phase. With disease progression or chronic medication use, studies have found a significant decrease in the total adenosine triphosphate (ATP)/phosphocreatine (PCr) ratio in the basal ganglia of schizophrenia patients, along with an increase in the PME/PDE ratio, due to lipid peroxidation and reduced energy demand [113]. Additional studies reveal widespread reductions in lipid metabolites (PME and PDE) and energy metabolites (PCr and Pi) across the bilateral prefrontal cortex, hippocampus, caudate nucleus, thalamus, and anterior cerebellum in patients, with these alterations positively correlating with PANSS and BPRS scores [112,114,115], indicating direct linkage between impaired membrane lipid turnover and symptom severity. The glutamatergic system may cross-regulate this lipid-energy axis: one study found that elevated Glu in the left prefrontal cortex of schizophrenia patients correlates with increased PME (membrane repair), while right-sided Glu elevation correlates with increased PDE (membrane degradation), corresponding to negative symptoms and cognitive deficits [116]. The endocannabinoid system (ECS) comprises cannabinoid receptor 1 (CB1R) and 2 (CB2R), with endogenous ligands including endocannabinoids and 2-arachidonoylglycerol (2-AG) [117]. Some studies indicate that CB1R expression is downregulated in brain tissue, endogenous cannabinoid levels are elevated, and the fatty acid:phospholipid:cholesterol ester ratio in the olfactory epithelial cells of schizophrenia patients is imbalanced, with enhanced lipid peroxidation. This phenomenon is not observed in long-term cannabis users [118,119,120], suggesting that ECS dysregulation is disease-specific rather than drug-induced, and the astrocytic ECS system holds potential to link lipid metabolism with neuroinflammation—a hypothesis requiring extensive validation. In summary, the schizophrenia brain exhibits a self-amplifying pathological loop: “glucose deficiency → fatty acid/ketone body compensation → lipid peroxidation → membrane lipid remodeling and energy depletion.” This process may also be accompanied by glutamatergic hyperactivity and ECS imbalance, leading to cognitive impairment and psychotic symptoms.\nSchizophrenia’s peripheral lipid profile (serum, plasma, platelets, and red blood cells) shows a stable phenotype with decreased membrane phospholipids, increased storage fats, and lipid peroxidation. This profile has a significant correlation with illness features, cognitive impairment, and treatment response [121], with inflammation, oxidative stress, and an imbalance in energy metabolism all playing crucial roles. Multiple studies using targeted or untargeted lipidomics platforms consistently demonstrate elevated levels of PC, PE, LPC, LPE, N-acylsphingomyelin, phospholipidylcholine plasma alcohols (plas-PCs), and phosphoethanolamine plasma alcohols (plas-PEs) [122,123,124] in various blood components of schizophrenia patients (including twins [125], first-episode untreated individuals, and relapse-off-medication cases [126,127]), regardless of age or gender. Notably, the reduction in LPC in the serum of monozygotic twins with schizophrenia positively correlates with cortical gray matter density and cognitive scores, suggesting persistent depletion of membrane phospholipids. Consistent with brain findings, peripheral tissues exhibit bidirectional upregulation of fats and sphingolipids. Triglycerides (TG) are elevated across studies, with saturated-chain TG further accumulating after antipsychotic treatment [128], while sphingomyelin (SM) results showed heterogeneity. However, the “low SM-high symptom” pattern was replicated in patients’ red blood cells post-treatment, potentially due to specific red blood cell membrane lipid clusters being associated with dopamine dysfunction [129]. Free fatty acids and cholesterol profiles are similarly disrupted, with elevated serum levels of 16 FFAs, MUFAs, and some PUFAs [89,130]. First-episode treatment-resistant patients exhibit increased serum TC, LDL, and TG [131]. Cohort studies also show that serum glycerophospholipids (GP), sphingomyelin (SP), and glycerolipids (GL) decrease, while ceramides, LPC, and TG monomers increase [90], suggesting active lipolysis–reesterification cycles. Concurrently, oxidized lipids significantly increase in red blood cells, while ether lipids and PUFAs decrease, directly confirming membrane peroxidation damage [132]. Furthermore, the gut–brain axis may contribute to peripheral lipid reprogramming. Fecal metagenomic analyses reveal an altered abundance of short-chain fatty acid (SCFA)-producing bacteria, enrichment of glycerophospholipid metabolic pathways, and reduced abundance of fatty acid synthesis rate-limiting enzyme acetyl-CoA carboxylase (ACC) genes [35,133]. Interestingly, first-episode schizophrenia patients can be distinguished from healthy controls by elevated LPC, reduced PC, and decreased SM levels, with PC lipid levels negatively correlated with disease severity [134]. CHR individuals exhibit low unsaturation TG↑ and ether phospholipids↓, predictive of psychotic conversion, with lower sphingomyelin in males [135]. Low SM/high PS clusters in red blood cells correlate negatively with PANSS cognitive factors. Lipid profiles in plasma samples from schizophrenia spectrum disorder patients (with comorbidities) interact with inflammation, though schizophrenia-specific findings remain undiscussed [136]. Collectively, the “membrane phospholipid depletion-lipid mobilization-peroxidative injury” pattern persists stably in peripheral tissues throughout the course of schizophrenia, exhibiting a close association with cognitive impairment. However, the precise interactions between this pattern and inflammation, oxidative stress, and energy metabolism imbalances require further investigation through large-scale studies.\nIn summary, schizophrenia susceptibility genes downregulate phospholipid/sphingolipid synthesis. This, combined with inflammation, oxidative stress, and impaired glucose metabolism, leads to a vicious cycle of “membrane lipid abnormalities (Table 2) and lipid peroxidation-energy supply insufficiency” occurring simultaneously in both central and peripheral tissues. Concurrently, abnormalities in myelin sheath and synaptic membrane structures ultimately manifest as cognitive deficits and psychotic symptoms. These abnormalities serve as a critical foundation for illness initiation and progression while also presenting novel biomarkers and therapeutic targets for clinical diagnosis and treatment.\n\n\n### 2.3. Schizophrenia and Abnormal Amino Acid Metabolism\nAmino acids are the fundamental building blocks of proteins and peptides. Among these, glutamic acid (Glu), glycine (Gly), serine (Ser), and tryptophan (Trp) are involved in immunological responses, redox homeostasis, and energy metabolism in addition to acting as neurotransmitters or their precursors. Clinical studies indicate that the pathophysiology of schizophrenia patients is correlated with aberrant serum levels of biogenic amines (BAs) and amino acids (AAs) [137].\nThe dopamine hypothesis of schizophrenia proposes that excessive striatal dopamine (DA) activity, along with insufficient frontal lobe DA, is responsible for psychotic symptoms [138,139,140]. Phenylalanine hydroxylase (PAH) converts phenylalanine to tyrosine, which is then produced into DA. In both first-episode and chronic schizophrenia patients, chronic inflammation and oxidative stress can impair PAH function, resulting in increased plasma phenylalanine levels and limited DA production [141]. Furthermore, the schizophrenia susceptibility gene DISC1 further disrupts DA biosynthesis via the “serine phosphorylation–tyrosine hydroxylase” pathway, suggesting that amino acid metabolism may amplify monoamine imbalance, albeit with a small effect size [142].\nAbnormalities in pre-psychotic hippocampus glutamate levels and increased dorsal striatal dopamine (DA) uptake interact [143]. Following the dopamine hypothesis, the excitation–inhibition imbalance hypothesis emerged, suggesting that the glutamatergic and gamma-aminobutyric acid (GABAergic) systems are dysregulated [144,145]. Recent extensive data indicate lower glutamate, GABA, and DA levels in cortical regions of schizophrenia patients, alongside elevated glutamate levels in the basal ganglia and thalamus [146]; however, disruption of glutamate metabolism is caused by multi-pathway interactions [147], involving shifts in multiple metabolic links that exacerbate oxidative stress.\nGlutamate enters the synaptic cleft and activates ionotropic glutamate receptors (α-amino-3-hydroxy-5-methylisoxazole-4-propionic acid (AMPA), kainate, and NMDA) and metabotropic glutamate receptors (mGluRs), regulating the initiation and modulation of glutamatergic neurotransmission. A damaged glutamate network in schizophrenia patients has been confirmed, and disease mutations markedly increase postsynaptic genes involved in NMDA and AMPA receptor signaling pathways [148,149,150]. The NMDA receptor comprises subunits encoded by the GRIN1, GRIN2A, and GRIN2B genes, and it requires the binding of two different ligands to activate the ion channel [151]. Glutamate binds to a location on the GluNR2/3 subunits, whereas glycine, D-serine, kynurenic acid (KYNA), or mGluR3 agonists (NAAG) bind to the GluNR1 subunit’s modulatory binding site. The dysfunction of NMDARs is crucial to the excitatory–inhibitory imbalance in schizophrenia, and extensive research has demonstrated its association with cognitive impairment [152,153,154,155,156]. In schizophrenia, NMDAR subunits GluN1 [157] and GluN2A/B [152,158,159] are significantly downregulated in the PFC. Reduced levels of postsynaptic scaffolding proteins (GRIA3/4, ATP1A3, GNAQ) in the auditory cortex correlate positively with cognitive scores [160], and genetic variations in NMDAR-encoding genes have also been identified [161]. NMDAR function is regulated by the co-agonists D-serine and glycine, whose phosphorylation is controlled by multiple kinases. Numerous studies have identified insufficient D-serine and glycine production in schizophrenia, which correlates with psychotic symptoms [162,163,164]. High-dose D-serine administration has been shown to alleviate negative symptoms [165,166,167,168]. D-serine/D-alanine is metabolized by DAAO [169,170]. Over-expression and variants of the D-amino acid oxidase activator (DAOA, also known as G72) gene are associated with schizophrenia [171,172,173,174,175]. DAOA inhibitors are considered novel therapeutic targets [176,177] for treating impaired D-serine metabolism [178]. Research indicates that mutations in the glycine cleavage system (GCS) genes may lead to schizophrenia-like symptoms [179]. Glycine Transporter 1 (GlyT1) inhibitors (carnosine [180], BI-RG7118 [181], BI-425809 [182]) boost synaptic glycine and NMDAR activity, alleviating negative symptoms. GlyT1 has emerged as a core therapeutic target [183]. Additionally, schizophrenia patients exhibit mGluR5 dysregulation [184], decreased mGluR5 activity, and mGluR2/3 agonists (LY2140023 [185], LY379268 [186], LY395756 [187]) restore NMDAR/GABAAR balance and improve cognition. The endogenous mGluR3 ligand NAAG inhibits glutamate, GABA, and glycine release [188], with the schizophrenic brain showing lower NAAG levels [102,189]. D-aspartic acid (d-Asp) activates NMDARs via the GluN2 site and promotes glutamate release [190]. Postmortem studies reveal significantly reduced d-Asp levels in the prefrontal cortex of schizophrenia patients [191], and d-Asp supplementation antagonizes PCP-induced schizophrenia-like behaviors [192]. In summary, the glutamatergic dysregulation in schizophrenia may not stem from a single receptor defect but rather involve abnormalities across multiple pathways, and the above evidence provides a theoretical basis for precise interventions.\nThe cystine/glutamate antiporter (xc− system) comprises a heavy chain subunit (4F2hc, SLC3A2) and a light chain subunit (xCT, SLC7A11), exchanging extracellular cystine for intracellular glutamate. This process regulates synaptic glutamate levels while providing the rate-limiting substrate for the synthesis of glutathione (GSH), an antioxidant [193]. xc− system dysfunction is implicated in schizophrenia pathogenesis [194]. Excessive competition for extracellular glutamate inhibits intracellular cystine uptake, triggering oxidative stress-related cell death. One study shows reduced peripheral leukocyte mRNA expression of SLC3A2 and SLC7A11 [195]; another shows elevated xc^ protein levels in the dorsolateral prefrontal cortex [196]. However, only two studies have reported these findings, necessitating further research to confirm these results. Concurrently, lower EAAT1/2 expression and polymorphisms in schizophrenia patients limit glutamate clearance, which correlates with illness severity and cognitive deficits [197,198,199,200,201]. Abnormal splicing variants of EAAT1/2 are also observed in the anterior cingulate cortex [202]. The evidence suggests that glutamate clearance is equally important, offering a novel therapeutic strategy for schizophrenia.\nAstrocytes absorb glutamate, convert it into glutamine (Gln) via glutamine synthetase (GS), and then transport it to neurons, where it is hydrolyzed into N-acetylaspartate (NAA) and glutamate—this constitutes the glutamate–glutamine cycle (Glx cycle). NAA serves as a marker of neuronal integrity. Schizophrenia is characterized by widespread impairment of Glx cycle homeostasis. Some studies have identified reduced NAA/Cr and Glx/Cr ratios in the hippocampus and DLPFC of schizophrenia patients [203,204], while others have demonstrated elevated Gln/Glu ratios in early-stage, untreated patients [205], potentially linked to neuronal degeneration. However, as the disease progresses, Glu, Gln, and NAA levels decrease significantly across various brain regions (frontal cortex, hippocampus, thalamus) in chronic patients [206]. Both clinical patients and animal models exhibit decreased Glu and increased Gln in PFC. NAA correlates negatively with age and disease duration [207,208,209,210,211,212,213], though isolated studies report elevated NAA in the hippocampal region of chronic patients [214] and the prefrontal cortex of high-risk adolescents [215]. Individual variation in damage to neurons may correlate with gray-white matter discrepancies [216]. Furthermore, peripheral blood 2-AG and ACC Glx levels in schizophrenia spectrum patients were negatively correlated, indicating that the ECS system may interact with the amino acid-lipid metabolism in disease mechanisms [217]. Collectively, Glx metabolic dysfunction is a key cross-stage metabolic characteristic of schizophrenia, providing prospective targets for early detection and treatment.\nKynurenine, a terminal metabolite of tryptophan via the kynurenine (KYN) pathway, has antagonistic effects on both NMDA and α7nACh receptors [218]. Elevated kynurenine levels inhibit glutamatergic and cholinergic transmission, which correlates with cognitive impairments [219]. Proinflammatory cytokines and oxidative stress stimulate KYN pathway metabolism, which is initiated by indoleamine 2,3-dioxygenase (IDO)/tryptophan 2,3-dioxygenase (TDO) [220,221] and is regulated in three steps—hydroxylation by kynurenine monooxygenase (KMO) and transamination by kynurenine transaminase (KAT)—determining the KYNA–quinolinic acid (QUIN) balance. QUIN, an NMDA receptor agonist, aggravates immunological inflammation and oxidative stress [222]. Reduced KMO gene expression and enzyme activity are observed in the prefrontal cortex of schizophrenia patients [223,224], while elevated KYNA levels are found in cerebrospinal fluid and postmortem brain tissue [223,225,226,227,228,229]. However, the results of KYNA in peripheral tissues (plasma, saliva, and skin fibroblasts) are discordant [230,231,232,233]. Conversely, 3-HK and QUINA are frequently disrupted in schizophrenic brains [234], while serum 3-HK levels show elevated [233], decreased [231,235], or unchanged [236] patterns, I believe these inconsistent findings may relate to factors such as the site of detection and disease severity [237]. Animal studies simultaneously demonstrate the interplay among these three components: knocking out the KMO gene or inhibiting the IDO/TDO/KMO pathways increases KYNA, decreases 3-HK, and alleviates oxidative stress and schizophrenia symptoms [238,239]. Proinflammatory factors (e.g., IL-6) have been shown to activate the IDO/KMO bypass, with studies demonstrating that this also increases KYNA production and significantly exacerbates schizophrenia symptoms [240,241,242], forming a pathological feedback loop. In summary, KYNA/QUINA imbalance is an important component of the glutamatergic hypothesis in schizophrenia. Targeting KMO, IDO/TDO, or α7nACh receptors for orthosteric regulation can restore KYNA–QUINA balance, providing new anti-inflammatory and cognitive-enhancing therapies.\nGlutamate is converted into GABA via glutamate decarboxylase (GAD), thereby inhibiting glutamatergic excitatory signaling. Reduced GABAergic interneurons in the prefrontal cortex and decreased GAD mRNA expression are observed in schizophrenia [243,244]. The research indicates this leads to decreased GABA/Cr levels, which are positively connected with cognitive impairment. There is also evidence of decreased Glu and NAA in the prefrontal cortex and decreased GABA in the parieto-occipital region, with more noticeable effects in males [245]. Reduced GABA-A/BZ receptor binding in the right caudate nucleus occurs during early disease onset in persons at high risk for schizophrenia (UHR) [246]. GSH, an antioxidant, is generated from glutamate, cysteine, and glycine by gamma-glutamylcysteinyl synthase (GCL). The GCL gene and its variations increase vulnerability to schizophrenia [247,248], and impaired early GSH synthesis may trigger schizophrenia-like behaviors in adulthood [249]. Research indicates schizophrenic patients exhibit persistently reduced GSH levels in the brain and elevated NO and MDA concentrations [250]. In chronic patients, GSH levels in cerebrospinal fluid and the medial prefrontal cortex correlate inversely with negative symptom severity [251]. Multiple animal model studies have demonstrated that supplementation with glutathione precursors (such as N-acetylcysteine (NAC) [252,253,254,255,256,257,258,259] or alpha-lipoic acid (ALA) [260]) can reverse schizophrenia-like symptoms, oxidative stress, and neurotransmitter imbalances. In summary, GABA depletion and GSH antioxidant deficiency contribute to glutamatergic hyperexcitability and oxidative damage. In particular, GSH is frequently targeted as an intervention for oxidative stress in schizophrenia.\nA meta-analysis examining the relationship between glutamate and brain metabolites in schizophrenia within recent magnetic resonance spectroscopy (MRS) studies suggests that alterations in glutamate levels may stem from metabolic impairment at the mitochondrial level [261]. Astrocytes regulate glutamatergic activity by clearing synaptic glutamate, maintaining glutamate-glutamine cycling, and initiating mitochondrial catabolism via glutamate dehydrogenase [262]. This process is closely associated with peripheral redox imbalances and energy metabolism disorders [263].\nBased on the above evidence, amino acid metabolism abnormalities in schizophrenia persist throughout its development, with astrocytes serving as a critical site. Influenced by inflammation and energy metabolism, these abnormalities primarily contribute to imbalances in the dopamine (DA), glutamate (Glu), and gamma-aminobutyric acid (GABA) systems, as well as oxidative stress (Table 3). Nevertheless, they offer numerous effective targets for clinical intervention.\n\n\n### 2.4. Schizophrenia and Abnormal Nucleotide Metabolism\nNucleotide metabolism is the central center for DNA/RNA synthesis and repair. Within this framework, one-carbon (C1) metabolism—encompassing DNA methylation (methionine) and homocysteine metabolism—acts as an interface between diverse pathogenic factors in schizophrenia, such as abnormal monoamine transmission, epigenetic dysregulation, oxidative stress, and maternal hyperhomocysteinemia [264]. Studies have observed insufficient levels of C1 molecules in the serum of schizophrenia patients [265]. Given that folate and vitamin B12 participate in DNA methylation and repair processes [266], one study found that abnormal DNA methylation in schizophrenia patients affects the amount of specific NMDAR subunits, lowering overall NMDAR activity [267]. Enzymes involved in C1 metabolism include methylenetetrahydrofolate reductase (MTHFR) [268,269] and nicotinamide N-methyltransferase (NNMT) [270], whose gene polymorphisms are associated with schizophrenia. The MTHFR C677T polymorphism, for instance, is linked to reduced total DNA methylation levels in female schizophrenia patients [271,272]. Hyperhomocysteinemia may increase the risk of schizophrenia [271,273], and multiple studies consistently demonstrate that schizophrenia patients have lower plasma folate, vitamin B12, and pyridoxal phosphate levels [274,275,276], as well as higher homocysteine levels [277,278,279]. In first-episode patients, low folate and high Hcy levels are associated with negative symptoms and cognitive deficits, with more pronounced effects in younger patients [280,281]. Furthermore, studies have revealed a positive correlation between plasma total homocysteine levels at a specific CpG site and DNA methylation [282], contradicting the previously observed pattern of widespread hypomethylation. This discrepancy may be related to medication effects or the specific testing site.\nMitochondrial dysfunction may result in DNA damage and oxidative stress, which affects nucleotide metabolism. Single nucleotide polymorphisms (SNPs) in mitochondrial DNA (mtDNA), such as the NADH oxidase gene, increase the risk of schizophrenia [283]. Studies have revealed enhanced purine degradation in schizophrenia, with significantly elevated xanthine (XAN) concentrations in patient plasma [235], alongside disturbances in nucleotide precursors like glutamate, arginine, and ornithine [284]. I hypothesize these may all relate to mitochondrial energy imbalance. Hyperhomocysteinemia, folate insufficiency, and mtDNA damage all contribute to oxidative stress, which suppresses C1 enzyme activity and mitochondrial respiration [21] (Table 4), thereby forming a vicious cycle of “hypomethylation–oxidative stress–energy crisis.”\nIn summary, various metabolic mechanisms interact to contribute to the energy metabolism disorders, oxidative stress, and neurotransmitter metabolism abnormalities observed in psychiatric patients, thereby driving disease progression. Targeting abnormalities in these metabolic pathways may influence disease phenotype and severity, suggesting that metabolic mechanisms represent important therapeutic targets for schizophrenia. The primary metabolic abnormalities in schizophrenia are shown in Figure 1 by figdraw.\n\n\n### 3. Electroconvulsive Therapy for Schizophrenia\nElectroconvulsive therapy (ECT) was originally developed in 1934. It is a safe and effective physical therapy for schizophrenia that works by stimulating the brain with electrical currents to elicit therapeutic generalized convulsive activity. It has been proven to rapidly improve both positive and negative symptoms, playing a crucial role particularly in treatment-resistant schizophrenia [285,286]. Initially, four primary theories were proposed to explain ECT’s mechanism of action: the traditional monoamine neurotransmitter hypothesis, the neuroendocrine theory, the anticonvulsant theory, and the neurotrophic theory. Based on the neurofunctional, endocrine, and immunological changes reported after ECT treatment for psychiatric diseases, researchers summarized that ECT’s therapeutic mechanism is related to related systems [287]. However, these systems do not appear to act independently; rather, they synergistically contribute to the therapeutic effect.\nReduced neurogenesis in many regions of the brain has been linked to psychiatric disorders [288]. Research reveals that genes related to ECT efficacy are predominantly enriched in neurotrophic factor, mitogen-activated protein kinase, and long-term potentiation signaling pathways [289], suggesting ECT may exert antipsychotic effects by promoting neurogenesis and normalizing multiple neurotransmitter functions. In clinical trials, ECT is frequently utilized as an augmentation technique for clozapine-resistant schizophrenia, enhancing dopamine D2 receptor efficacy and improving clinical symptoms [140,290,291]. However, the precise position within the dopamine system where this action occurs is unknown. Impaired glutamatergic neurotransmission in schizophrenia patients has long been proven. Previous research on ECT’s effects on glutamate was limited to depression and Alzheimer’s disease [292,293,294]. Recent research reveals that ECT treatment (4 weeks) can restore GABA concentration in the prefrontal cortex of schizophrenia patients, an effect which was not observed in the pharmacologically treated group [295]. However, its efficacy in elevating neurotransmitter levels showed no difference compared to the pure medication group. ECT also upregulates serum BDNF concentration in treatment-resistant schizophrenia patients and exhibits a negative correlation with PANSS scores, suggesting potential mediation of synaptic remodeling via neurotrophic factors [296]. Furthermore, following ECT treatment, schizophrenia patients exhibited increased whole-brain gray matter volume (GMV) in the bilateral parahippocampal gyrus/hippocampus, right middle/superior temporal gyrus, and right insula. Notably, right parahippocampal gyrus/ hippocampus GMV changes showed a significant positive correlation with reduced PANSS positive subscale scores, suggesting ECT may improve positive symptoms by targeting limbic brain regions [297]. This is consistent with previous findings that ECT promotes neurogenesis in these areas. Numerous studies have identified abnormal brain functional networks in schizophrenia patients, which can be normalized with ECT. These include the default mode network (DMN) [298,299,300], prefrontal cortical networks, the hippocampus [301], and the cerebellum [302]. The extent of these changes correlates with treatment outcomes [303,304,305]. Because most of these studies are single-arm, further replicated trials are required to confirm ECT’s effects on the schizophrenic neurological system.\nPostmortem studies on schizophrenia demonstrate abnormalities in the number of neurons and glial cells. The glial cell hypothesis of central inflammation and the neuroinflammation-related neurogenesis hypothesis propose that schizophrenia arises from the hyperactivity of microglia and astrocytes [306]. Part of ECT’s therapeutic effect may relate to its action on glial cells [307]. One study found that in a schizophrenia animal model mouse, the gene expression levels of CD11b in microglia within the dentate gyrus and CA1/CA3 regions, as well as GFAP expression in astrocytes within the GD and CA1 regions, were higher than in the control group. However, these levels decreased after repeated ECT treatment, indicating that both microglia and astrocyte activity were inhibited [308,309]. Another study demonstrated that in a neurodevelopmental animal model of schizophrenia, repeated ECT treatment improved MK-801-induced pre-pulse inhibition deficits. mRNA sequencing and qPCR analysis of the prefrontal cortex revealed that Egr1, Mmp9, and S100a6 were the central genes, while the interleukin-17 (IL-17), nuclear factor κB (NF-κB), and tumor necrosis factor (TNF) signaling pathways were determined to be the three most relevant pathways [310]. These findings suggest ECT directly suppresses glial hyperreactivity and blocks pro-inflammatory pathways. However, all of these studies were conducted in animal models with small sample sizes, necessitating urgent clinical investigations.\nECT therapy rapidly induces systemic anti-inflammatory effects in schizophrenia. Within two hours of a single ECT treatment, peripheral white blood cells, neutrophils, and lymphocytes decrease in schizophrenia patients [311]. Additionally, Nitric oxide synthase (iNOS), nitrite, and prostaglandin E-2 (PGE2), which are downstream of the nuclear factor κB (NF-κB) pathway, decrease [312]. Multiple ECT sessions demonstrate selective pro-inflammatory/anti-inflammatory rebalancing. Patients with treatment-resistant schizophrenia exhibit lower baseline serum transforming growth factor-β (TGF-β) and higher NF-κB levels, with no significant differences in IL-4 or myeloperoxidase (MPO) concentrations. After nine ECT sessions, TGF-β and IL-4 levels significantly increased alongside clinical improvement, while NF-κB levels were elevated. The concentrations of IL-4 and myeloperoxidase (MPO) were not significantly different. After 9 ECT sessions, TGF-β and IL-4 levels increased and accompanied clinical improvement, whereas MPO and NF-κB activation remained unchanged [313]. After 10 ECT treatments, a gradual decrease in TNF-α was observed [314]. Matrix metalloproteinase-9 (MMP-9) is specifically associated with glutamatergic signaling and regulation of hippocampal neuroplasticity. Peripheral blood MMP-9 levels are typically elevated in schizophrenia patients and positively correlated with negative symptoms [315]. One study found no significant difference in baseline MMP-9 levels between schizophrenia patients and controls, but MMP-9 levels decreased significantly after 10 ECT sessions, though this was unrelated to symptom severity [316]. Proinflammatory substances have been demonstrated to influence NMDAR function by stimulating IDO, a key enzyme in the kynurenine pathway [221]. In one study, patients were separated into high- and low-inflammation groups, and the low-inflammation group showed more clinical improvement. IL-18 mRNA levels decrease significantly after ECT, although KYN/TRP, KYNA/KYN, and IL-18 levels decreased only in the low-inflammation group. Cytokine levels were significantly correlated with KP metabolites, and baseline KYNA/TRP and IL-18 levels positively correlated with negative symptoms after ECT. These findings further demonstrate that the ECT-induced reduction in inflammation and its relationship with KP metabolites correlate with clinical efficacy [9].\nVascular endothelial growth factor (VEGF) plays an important role in angiogenesis and blood–brain barrier permeability. Studies have shown that treatment-resistant schizophrenia patients have lower baseline serum VEGF levels, with significant increases post-ECT treatment that are negatively correlated with PANSS scores [317]. This suggests ECT may protect neurons by enhancing angiogenesis, reshaping blood–brain barrier integrity, and reducing the penetration of peripheral inflammatory factors into the central nervous system.\nSchizophrenia patients exhibit hyperactivity of the hypothalamic–pituitary–adrenal (HPA) axis, primarily maintaining elevated cortisol levels [318]. This hyperactivity contributes to multiple neurological alterations observed in these patients [319,320]. Chronic low-grade inflammation is commonly present in schizophrenia, and ECT may indirectly modulate immune responses by rapidly reducing HPA axis overactivation [321]. In one study, serum growth hormone (GH) levels decreased immediately during the fourth and eighth bilateral ECT sessions in schizophrenia patients, with no differences observed in subsequent sessions [322]. These initial serum GH alterations may indicate a dopamine-mediated ECT response. Further research suggests that after the first session of ECT treatment, schizophrenia patients show immediate increases in prolactin and a decrease in TSH [323]. It is hypothesized that ECT may reduce the free fraction of T4. Considering that elevated levels of this hormone have been reported in schizophrenia patients and those with suicidal ideation, this could have therapeutic implications. In summary, research on ECT’s effects on the endocrine system in schizophrenia remains limited, and its impact on the hypothalamic–pituitary–thyroid (HPT) axis remains controversial [324,325].\nCollectively, ECT may influence schizophrenia through synergistic interactions across interconnected systems; however, variations observed in these studies primarily focus on clinical responses rather than neurobiological pathways [326]. It has been proposed that ECT increases GABA levels to reduce neuronal activity in schizophrenia patients, aligning with the monoamine hypothesis [293]. It may also relate to neurogenesis, as hypothalamic axis dysregulation leads to reduced brain volume in psychiatric patients. Depression patients can counteract this effect by regulating cortisol levels through ECT, which may similarly apply to comorbid schizophrenia patients. Furthermore, inflammation is associated with HPA and neurogenesis disruption. ECT can counteract these abnormalities by reducing IL-6 and TNF-α levels along with polymorphonuclear cell counts while increasing IL-4, TGF-β, and total leukocyte and lymphocyte percentages [311,313]. In summary, other neurochemical and neuroendocrine alterations following ECT are secondary phenomena associated with clinical improvement and the remodeling of dysfunctional networks (Table 5).\nThe effects of ECT on cerebral cortical blood flow [327] and metabolism have long been a focal point in molecular psychiatry research. Preliminary evidence suggests that ECT may participate in the pathophysiological processes of schizophrenia by regulating neurogenesis and neurotransmitter systems [327,328,329,330], although its precise molecular mechanisms remain to be fully elucidated. We searched the literature focusing on the relationship between metabolism and ECT in schizophrenia patients. Given the close association between glucose metabolism and brain energy homeostasis, we also included studies exploring changes in brain energy metabolites following ECT. Our findings suggest that metabolic mechanisms may serve as the pivotal link connecting ECT to its multifaceted systemic effects in schizophrenia. The transient, controlled physiological stress induced by ECT may trigger systemic “metabolic reset,” involving alterations in energy substrate utilization patterns and the generation of specific metabolic products. However, direct evidence for longitudinal causal relationships regarding how this metabolic reprogramming regulates neural circuitry, immune-inflammatory responses, and neuroendocrine axis function through specific molecular pathways remains lacking.\nCurrent research on the relationship between metabolism and brain energy homeostasis in schizophrenia patients following ECT treatment is limited and varies in methodology. An observational study involving 99 patients (including those with depression, bipolar disorder, and schizophrenia) reported acute increases in blood glucose and total cholesterol levels after ECT [331], but the long-term metabolic effects, disease-specific differences, and clinical relevance remain unclear. A recent study employing comprehensive metabolomics analyzed plasma samples from schizophrenia patients (n = 78). Compared to controls, 542 metabolites exhibited differential expression (420 downregulated, 122 upregulated), primarily involving lipids in energy metabolism pathways. Following ECT treatment, 200 metabolites associated with glycolysis, ketone metabolism, and inflammatory pathways showed significant alterations (153 upregulated, 47 downregulated). Furthermore, the study identified 10 baseline metabolites capable of distinguishing ECT responders from non-responders. In responders, TRPV1/TRPA1 channel agonists (hydroxy-α-pipralid and piperine) associated with neuroprotection and inflammatory regulation were significantly elevated, indicating that the therapeutic efficacy of electroconvulsive therapy indeed involves metabolic reprogramming and inflammatory responses [332]. Under normal conditions, cellular enzymatic and non-enzymatic antioxidant defenses eliminate reactive oxygen species (ROS), which are metabolic byproducts; otherwise, they induce oxidative stress. Nearly all metabolic abnormalities in schizophrenia are accompanied by oxidative stress [333]. Redox reactions serve as a crossroads for multiple critical biochemical pathways, including mitochondrial function, immune signaling, and neuroplasticity, and are closely linked to cognitive function [334]. One study found that baseline serum malondialdehyde (MDA), catalase (CAT), and NO levels were higher in schizophrenia patients (n = 28) than in controls (n = 20). After nine ECT sessions, only serum MDA levels significantly decreased, accompanied by improvements in BPRS, SANS, and SAPS scores—with more pronounced changes in first-episode patients [335], suggesting ECT may selectively modulate oxidative stress markers. However, this study lacked randomization, had a limited sample size, and failed to control for antipsychotic medication use as a confounding factor. Additionally, ECT elevates serum BDNF levels, correlating with changes in psychotic symptoms [296]. Based on existing evidence, we hypothesize that ECT may influence cognitive function by modulating the interaction between oxidative stress and BDNF [336], though this causal chain requires validation under rigorous experimental conditions. Notably, oligodendrocyte injury and subsequent white matter abnormalities are considered key pathological underpinnings of cognitive impairment in schizophrenia [337]. However, current ECT research has focused solely on the relationship between gray matter damage and positive symptoms [297], limiting our understanding of ECT’s comprehensive neuroprotective effects. Furthermore, studies on ECT’s metabolic effects show inconsistencies across disease stages. Some research suggests first-episode patients may exhibit more pronounced improvements in oxidative stress markers than chronic patients [335], while other studies using magnetic resonance spectroscopy (MRS) indicate chronic patients may also demonstrate positive changes in neuronal metabolic markers. One study showed that after 8 sessions of modified ECT, schizophrenia patients (n = 31, including first-episode and chronic patients) exhibited significantly increased NAA/Cr ratios in the left prefrontal cortex and thalamus, with this change correlated with age at onset, disease duration, and baseline severity [338]. However, the absence of a control group in this study limits the reliability of causal inferences. Another controlled study using MRS to assess brain metabolites in chronic schizophrenia patients (n = 10) found that the ECT–combination therapy group exhibited elevated NAA/Cr ratios and reduced choline (Cho)/Cr ratios in the left prefrontal cortex, suggesting potential improvements in neuronal integrity and reduced cell membrane turnover [339,340]. However, this study had an extremely small sample size, a short follow-up period (4 weeks), and was not randomized.\nRecent studies indicate that the therapeutic effects of ECT involve inflammatory responses [332], with existing ECT-related research suggesting this may be linked to shifts in immune cell metabolic patterns. Research using electroconvulsive stimulation (ECS) animal models demonstrates that repeated ECS promotes a metabolic shift in central microglia and peripheral immune cells from a glycolysis-dominant pro-inflammatory mode to an oxidative phosphorylation-dominant anti-inflammatory mode [310,311,312,313,314]. This finding provides a theoretical framework for explaining the post-ECT reduction in pro-inflammatory cytokines (e.g., IL-6, TNF-α) and the increase in anti-inflammatory factors (e.g., IL-10) [310,311,312,313,314]. However, it is crucial to emphasize that the aforementioned metabolic conversion mechanism requires direct validation in schizophrenia patients. An observational study found that peripheral blood levels of cytokines including IL-6, TNF-α, and NF-κB decreased in schizophrenia patients receiving ECT, while MMP-9 significantly decreased after 10 ECT sessions, though this was unrelated to symptom severity [316]. The MMP9/RAGE pathway is considered a key substrate for the interaction between oxidative stress and neuroinflammation [306,341]. Given that this study was based on a single cohort with a limited sample size (n = 21), the potential value of MMP-9 as a therapeutic target for ECT requires validation in larger, replicated studies. Furthermore, ECS can reduce microglial hyperactivation [308,309], and it reduces inflammation and its association with KP metabolites [9]. Low inflammation and tryptophan metabolism correlate with clinical efficacy. Cross-sectional association studies indicate co-regulation of kynurenine and the ECS system in schizophrenia, sharing common pathophysiological foundations in astrocyte distribution, inflammatory regulation, and neurotransmitter balance [342,343]. We hypothesize that the ECS may also be a therapeutic target for ECT, though this requires validation through interventional studies.\nSchizophrenia patients frequently have persistent low-grade inflammation and hyperactivity of the HPA axis. Preliminary clinical observations indicate that ECT can quickly alleviate excessive activation of the HPA axis [321]. However, these findings only reflect acute endocrine responses during treatment and do not allow inference about whether ECT achieves long-term metabolic improvement through sustained reset of HPA axis function. Regarding the epigenetic effects of ECT, a microarray study identified differences in miRNA expression profiles before and after ECT treatment in schizophrenia patients (e.g., a downregulation trend of miR-20a-5p). However, the statistical power was insufficient, and no direct correlation with clinical symptom improvement was established [344].\nPreliminary evidence from structural and functional neuroimaging studies consistently suggests that ECT’s efficacy in schizophrenia may partly stem from its regulatory effects on abnormal functional connectivity in key brain regions [298,299,300,301,302,304]. The hippocampus and insula are consistently identified as core target areas for ECT-induced neuroplastic changes [345]. These structural alterations show statistical correlations with clinical symptom improvement, suggesting that ECT may exert its antipsychotic effects by repairing neural circuit dysfunction in these regions. However, these studies are predominantly small-sample, non-randomized designs lacking long-term follow-up data. Some speculate that ECT’s efficacy may partly relate to its effects on glial cells [307], which play critical roles in various metabolic pathways associated with schizophrenia (e.g., energy metabolism, tryptophan metabolism, cytokines) [346]. These metabolites may regulate neuro-immune–endocrine interaction networks. Recent studies have validated the link between metabolic reprogramming (glycolysis, ketone metabolism) and ECT efficacy [332], though causal relationships require further validation through large-scale studies. Future studies should employ longitudinal multi-omics designs (combining metabolomics, lipidomics, and immune phenotyping) to analyze dynamic changes in metabolite profiles across different tissues of schizophrenia patients undergoing ECT. Correlating these with clinical efficacy, neuroimaging, and immune markers will deepen our understanding of ECT’s mechanisms of action. Furthermore, targeted metabolic interventions in animal models (e.g., specific diets or enzyme inhibitors) can directly validate whether certain key metabolic pathways are essential for ECT efficacy. Identifying baseline metabolic biomarkers associated with treatment response will facilitate the future precision targeting of ECT therapy.\nTreatment resistance is the most common response to ECT, and some patients exhibit a poor response to ECT, potentially related to individual genetic background or immune characteristics. The primary adverse effect of ECT is cognitive impairment, though such side effects are typically mild and transient. In fact, numerous studies indicate that ECT does not impair cognitive function [347,348] and may even improve it [349,350]. While ECT may cause temporary memory impairment, its long-term neuroplastic effects partially offset these negative impacts. Furthermore, the adverse cognitive effects of ECT appear to depend on multiple factors, including the patient’s baseline cognitive status and potential cognitive reserve prior to treatment, as well as certain ECT parameters such as bilateral electrode placement, current intensity, and stimulation type.\n\n\n### 3.1. ECT Functions Through the Coordinated Interaction Between Different Systems\nReduced neurogenesis in many regions of the brain has been linked to psychiatric disorders [288]. Research reveals that genes related to ECT efficacy are predominantly enriched in neurotrophic factor, mitogen-activated protein kinase, and long-term potentiation signaling pathways [289], suggesting ECT may exert antipsychotic effects by promoting neurogenesis and normalizing multiple neurotransmitter functions. In clinical trials, ECT is frequently utilized as an augmentation technique for clozapine-resistant schizophrenia, enhancing dopamine D2 receptor efficacy and improving clinical symptoms [140,290,291]. However, the precise position within the dopamine system where this action occurs is unknown. Impaired glutamatergic neurotransmission in schizophrenia patients has long been proven. Previous research on ECT’s effects on glutamate was limited to depression and Alzheimer’s disease [292,293,294]. Recent research reveals that ECT treatment (4 weeks) can restore GABA concentration in the prefrontal cortex of schizophrenia patients, an effect which was not observed in the pharmacologically treated group [295]. However, its efficacy in elevating neurotransmitter levels showed no difference compared to the pure medication group. ECT also upregulates serum BDNF concentration in treatment-resistant schizophrenia patients and exhibits a negative correlation with PANSS scores, suggesting potential mediation of synaptic remodeling via neurotrophic factors [296]. Furthermore, following ECT treatment, schizophrenia patients exhibited increased whole-brain gray matter volume (GMV) in the bilateral parahippocampal gyrus/hippocampus, right middle/superior temporal gyrus, and right insula. Notably, right parahippocampal gyrus/ hippocampus GMV changes showed a significant positive correlation with reduced PANSS positive subscale scores, suggesting ECT may improve positive symptoms by targeting limbic brain regions [297]. This is consistent with previous findings that ECT promotes neurogenesis in these areas. Numerous studies have identified abnormal brain functional networks in schizophrenia patients, which can be normalized with ECT. These include the default mode network (DMN) [298,299,300], prefrontal cortical networks, the hippocampus [301], and the cerebellum [302]. The extent of these changes correlates with treatment outcomes [303,304,305]. Because most of these studies are single-arm, further replicated trials are required to confirm ECT’s effects on the schizophrenic neurological system.\nPostmortem studies on schizophrenia demonstrate abnormalities in the number of neurons and glial cells. The glial cell hypothesis of central inflammation and the neuroinflammation-related neurogenesis hypothesis propose that schizophrenia arises from the hyperactivity of microglia and astrocytes [306]. Part of ECT’s therapeutic effect may relate to its action on glial cells [307]. One study found that in a schizophrenia animal model mouse, the gene expression levels of CD11b in microglia within the dentate gyrus and CA1/CA3 regions, as well as GFAP expression in astrocytes within the GD and CA1 regions, were higher than in the control group. However, these levels decreased after repeated ECT treatment, indicating that both microglia and astrocyte activity were inhibited [308,309]. Another study demonstrated that in a neurodevelopmental animal model of schizophrenia, repeated ECT treatment improved MK-801-induced pre-pulse inhibition deficits. mRNA sequencing and qPCR analysis of the prefrontal cortex revealed that Egr1, Mmp9, and S100a6 were the central genes, while the interleukin-17 (IL-17), nuclear factor κB (NF-κB), and tumor necrosis factor (TNF) signaling pathways were determined to be the three most relevant pathways [310]. These findings suggest ECT directly suppresses glial hyperreactivity and blocks pro-inflammatory pathways. However, all of these studies were conducted in animal models with small sample sizes, necessitating urgent clinical investigations.\nECT therapy rapidly induces systemic anti-inflammatory effects in schizophrenia. Within two hours of a single ECT treatment, peripheral white blood cells, neutrophils, and lymphocytes decrease in schizophrenia patients [311]. Additionally, Nitric oxide synthase (iNOS), nitrite, and prostaglandin E-2 (PGE2), which are downstream of the nuclear factor κB (NF-κB) pathway, decrease [312]. Multiple ECT sessions demonstrate selective pro-inflammatory/anti-inflammatory rebalancing. Patients with treatment-resistant schizophrenia exhibit lower baseline serum transforming growth factor-β (TGF-β) and higher NF-κB levels, with no significant differences in IL-4 or myeloperoxidase (MPO) concentrations. After nine ECT sessions, TGF-β and IL-4 levels significantly increased alongside clinical improvement, while NF-κB levels were elevated. The concentrations of IL-4 and myeloperoxidase (MPO) were not significantly different. After 9 ECT sessions, TGF-β and IL-4 levels increased and accompanied clinical improvement, whereas MPO and NF-κB activation remained unchanged [313]. After 10 ECT treatments, a gradual decrease in TNF-α was observed [314]. Matrix metalloproteinase-9 (MMP-9) is specifically associated with glutamatergic signaling and regulation of hippocampal neuroplasticity. Peripheral blood MMP-9 levels are typically elevated in schizophrenia patients and positively correlated with negative symptoms [315]. One study found no significant difference in baseline MMP-9 levels between schizophrenia patients and controls, but MMP-9 levels decreased significantly after 10 ECT sessions, though this was unrelated to symptom severity [316]. Proinflammatory substances have been demonstrated to influence NMDAR function by stimulating IDO, a key enzyme in the kynurenine pathway [221]. In one study, patients were separated into high- and low-inflammation groups, and the low-inflammation group showed more clinical improvement. IL-18 mRNA levels decrease significantly after ECT, although KYN/TRP, KYNA/KYN, and IL-18 levels decreased only in the low-inflammation group. Cytokine levels were significantly correlated with KP metabolites, and baseline KYNA/TRP and IL-18 levels positively correlated with negative symptoms after ECT. These findings further demonstrate that the ECT-induced reduction in inflammation and its relationship with KP metabolites correlate with clinical efficacy [9].\nVascular endothelial growth factor (VEGF) plays an important role in angiogenesis and blood–brain barrier permeability. Studies have shown that treatment-resistant schizophrenia patients have lower baseline serum VEGF levels, with significant increases post-ECT treatment that are negatively correlated with PANSS scores [317]. This suggests ECT may protect neurons by enhancing angiogenesis, reshaping blood–brain barrier integrity, and reducing the penetration of peripheral inflammatory factors into the central nervous system.\nSchizophrenia patients exhibit hyperactivity of the hypothalamic–pituitary–adrenal (HPA) axis, primarily maintaining elevated cortisol levels [318]. This hyperactivity contributes to multiple neurological alterations observed in these patients [319,320]. Chronic low-grade inflammation is commonly present in schizophrenia, and ECT may indirectly modulate immune responses by rapidly reducing HPA axis overactivation [321]. In one study, serum growth hormone (GH) levels decreased immediately during the fourth and eighth bilateral ECT sessions in schizophrenia patients, with no differences observed in subsequent sessions [322]. These initial serum GH alterations may indicate a dopamine-mediated ECT response. Further research suggests that after the first session of ECT treatment, schizophrenia patients show immediate increases in prolactin and a decrease in TSH [323]. It is hypothesized that ECT may reduce the free fraction of T4. Considering that elevated levels of this hormone have been reported in schizophrenia patients and those with suicidal ideation, this could have therapeutic implications. In summary, research on ECT’s effects on the endocrine system in schizophrenia remains limited, and its impact on the hypothalamic–pituitary–thyroid (HPT) axis remains controversial [324,325].\nCollectively, ECT may influence schizophrenia through synergistic interactions across interconnected systems; however, variations observed in these studies primarily focus on clinical responses rather than neurobiological pathways [326]. It has been proposed that ECT increases GABA levels to reduce neuronal activity in schizophrenia patients, aligning with the monoamine hypothesis [293]. It may also relate to neurogenesis, as hypothalamic axis dysregulation leads to reduced brain volume in psychiatric patients. Depression patients can counteract this effect by regulating cortisol levels through ECT, which may similarly apply to comorbid schizophrenia patients. Furthermore, inflammation is associated with HPA and neurogenesis disruption. ECT can counteract these abnormalities by reducing IL-6 and TNF-α levels along with polymorphonuclear cell counts while increasing IL-4, TGF-β, and total leukocyte and lymphocyte percentages [311,313]. In summary, other neurochemical and neuroendocrine alterations following ECT are secondary phenomena associated with clinical improvement and the remodeling of dysfunctional networks (Table 5).\n\n\n### 3.1.1. Nervous System\nReduced neurogenesis in many regions of the brain has been linked to psychiatric disorders [288]. Research reveals that genes related to ECT efficacy are predominantly enriched in neurotrophic factor, mitogen-activated protein kinase, and long-term potentiation signaling pathways [289], suggesting ECT may exert antipsychotic effects by promoting neurogenesis and normalizing multiple neurotransmitter functions. In clinical trials, ECT is frequently utilized as an augmentation technique for clozapine-resistant schizophrenia, enhancing dopamine D2 receptor efficacy and improving clinical symptoms [140,290,291]. However, the precise position within the dopamine system where this action occurs is unknown. Impaired glutamatergic neurotransmission in schizophrenia patients has long been proven. Previous research on ECT’s effects on glutamate was limited to depression and Alzheimer’s disease [292,293,294]. Recent research reveals that ECT treatment (4 weeks) can restore GABA concentration in the prefrontal cortex of schizophrenia patients, an effect which was not observed in the pharmacologically treated group [295]. However, its efficacy in elevating neurotransmitter levels showed no difference compared to the pure medication group. ECT also upregulates serum BDNF concentration in treatment-resistant schizophrenia patients and exhibits a negative correlation with PANSS scores, suggesting potential mediation of synaptic remodeling via neurotrophic factors [296]. Furthermore, following ECT treatment, schizophrenia patients exhibited increased whole-brain gray matter volume (GMV) in the bilateral parahippocampal gyrus/hippocampus, right middle/superior temporal gyrus, and right insula. Notably, right parahippocampal gyrus/ hippocampus GMV changes showed a significant positive correlation with reduced PANSS positive subscale scores, suggesting ECT may improve positive symptoms by targeting limbic brain regions [297]. This is consistent with previous findings that ECT promotes neurogenesis in these areas. Numerous studies have identified abnormal brain functional networks in schizophrenia patients, which can be normalized with ECT. These include the default mode network (DMN) [298,299,300], prefrontal cortical networks, the hippocampus [301], and the cerebellum [302]. The extent of these changes correlates with treatment outcomes [303,304,305]. Because most of these studies are single-arm, further replicated trials are required to confirm ECT’s effects on the schizophrenic neurological system.\n\n\n### 3.1.2. Immune System\nPostmortem studies on schizophrenia demonstrate abnormalities in the number of neurons and glial cells. The glial cell hypothesis of central inflammation and the neuroinflammation-related neurogenesis hypothesis propose that schizophrenia arises from the hyperactivity of microglia and astrocytes [306]. Part of ECT’s therapeutic effect may relate to its action on glial cells [307]. One study found that in a schizophrenia animal model mouse, the gene expression levels of CD11b in microglia within the dentate gyrus and CA1/CA3 regions, as well as GFAP expression in astrocytes within the GD and CA1 regions, were higher than in the control group. However, these levels decreased after repeated ECT treatment, indicating that both microglia and astrocyte activity were inhibited [308,309]. Another study demonstrated that in a neurodevelopmental animal model of schizophrenia, repeated ECT treatment improved MK-801-induced pre-pulse inhibition deficits. mRNA sequencing and qPCR analysis of the prefrontal cortex revealed that Egr1, Mmp9, and S100a6 were the central genes, while the interleukin-17 (IL-17), nuclear factor κB (NF-κB), and tumor necrosis factor (TNF) signaling pathways were determined to be the three most relevant pathways [310]. These findings suggest ECT directly suppresses glial hyperreactivity and blocks pro-inflammatory pathways. However, all of these studies were conducted in animal models with small sample sizes, necessitating urgent clinical investigations.\nECT therapy rapidly induces systemic anti-inflammatory effects in schizophrenia. Within two hours of a single ECT treatment, peripheral white blood cells, neutrophils, and lymphocytes decrease in schizophrenia patients [311]. Additionally, Nitric oxide synthase (iNOS), nitrite, and prostaglandin E-2 (PGE2), which are downstream of the nuclear factor κB (NF-κB) pathway, decrease [312]. Multiple ECT sessions demonstrate selective pro-inflammatory/anti-inflammatory rebalancing. Patients with treatment-resistant schizophrenia exhibit lower baseline serum transforming growth factor-β (TGF-β) and higher NF-κB levels, with no significant differences in IL-4 or myeloperoxidase (MPO) concentrations. After nine ECT sessions, TGF-β and IL-4 levels significantly increased alongside clinical improvement, while NF-κB levels were elevated. The concentrations of IL-4 and myeloperoxidase (MPO) were not significantly different. After 9 ECT sessions, TGF-β and IL-4 levels increased and accompanied clinical improvement, whereas MPO and NF-κB activation remained unchanged [313]. After 10 ECT treatments, a gradual decrease in TNF-α was observed [314]. Matrix metalloproteinase-9 (MMP-9) is specifically associated with glutamatergic signaling and regulation of hippocampal neuroplasticity. Peripheral blood MMP-9 levels are typically elevated in schizophrenia patients and positively correlated with negative symptoms [315]. One study found no significant difference in baseline MMP-9 levels between schizophrenia patients and controls, but MMP-9 levels decreased significantly after 10 ECT sessions, though this was unrelated to symptom severity [316]. Proinflammatory substances have been demonstrated to influence NMDAR function by stimulating IDO, a key enzyme in the kynurenine pathway [221]. In one study, patients were separated into high- and low-inflammation groups, and the low-inflammation group showed more clinical improvement. IL-18 mRNA levels decrease significantly after ECT, although KYN/TRP, KYNA/KYN, and IL-18 levels decreased only in the low-inflammation group. Cytokine levels were significantly correlated with KP metabolites, and baseline KYNA/TRP and IL-18 levels positively correlated with negative symptoms after ECT. These findings further demonstrate that the ECT-induced reduction in inflammation and its relationship with KP metabolites correlate with clinical efficacy [9].\nVascular endothelial growth factor (VEGF) plays an important role in angiogenesis and blood–brain barrier permeability. Studies have shown that treatment-resistant schizophrenia patients have lower baseline serum VEGF levels, with significant increases post-ECT treatment that are negatively correlated with PANSS scores [317]. This suggests ECT may protect neurons by enhancing angiogenesis, reshaping blood–brain barrier integrity, and reducing the penetration of peripheral inflammatory factors into the central nervous system.\n\n\n### 3.1.3. Endocrine System\nSchizophrenia patients exhibit hyperactivity of the hypothalamic–pituitary–adrenal (HPA) axis, primarily maintaining elevated cortisol levels [318]. This hyperactivity contributes to multiple neurological alterations observed in these patients [319,320]. Chronic low-grade inflammation is commonly present in schizophrenia, and ECT may indirectly modulate immune responses by rapidly reducing HPA axis overactivation [321]. In one study, serum growth hormone (GH) levels decreased immediately during the fourth and eighth bilateral ECT sessions in schizophrenia patients, with no differences observed in subsequent sessions [322]. These initial serum GH alterations may indicate a dopamine-mediated ECT response. Further research suggests that after the first session of ECT treatment, schizophrenia patients show immediate increases in prolactin and a decrease in TSH [323]. It is hypothesized that ECT may reduce the free fraction of T4. Considering that elevated levels of this hormone have been reported in schizophrenia patients and those with suicidal ideation, this could have therapeutic implications. In summary, research on ECT’s effects on the endocrine system in schizophrenia remains limited, and its impact on the hypothalamic–pituitary–thyroid (HPT) axis remains controversial [324,325].\nCollectively, ECT may influence schizophrenia through synergistic interactions across interconnected systems; however, variations observed in these studies primarily focus on clinical responses rather than neurobiological pathways [326]. It has been proposed that ECT increases GABA levels to reduce neuronal activity in schizophrenia patients, aligning with the monoamine hypothesis [293]. It may also relate to neurogenesis, as hypothalamic axis dysregulation leads to reduced brain volume in psychiatric patients. Depression patients can counteract this effect by regulating cortisol levels through ECT, which may similarly apply to comorbid schizophrenia patients. Furthermore, inflammation is associated with HPA and neurogenesis disruption. ECT can counteract these abnormalities by reducing IL-6 and TNF-α levels along with polymorphonuclear cell counts while increasing IL-4, TGF-β, and total leukocyte and lymphocyte percentages [311,313]. In summary, other neurochemical and neuroendocrine alterations following ECT are secondary phenomena associated with clinical improvement and the remodeling of dysfunctional networks (Table 5).\n\n\n### 3.2. Relationship Between Metabolic Mechanisms and Various Systems in ECT Treatment for Schizophrenia and Its Correlation with Symptom Improvement\nThe effects of ECT on cerebral cortical blood flow [327] and metabolism have long been a focal point in molecular psychiatry research. Preliminary evidence suggests that ECT may participate in the pathophysiological processes of schizophrenia by regulating neurogenesis and neurotransmitter systems [327,328,329,330], although its precise molecular mechanisms remain to be fully elucidated. We searched the literature focusing on the relationship between metabolism and ECT in schizophrenia patients. Given the close association between glucose metabolism and brain energy homeostasis, we also included studies exploring changes in brain energy metabolites following ECT. Our findings suggest that metabolic mechanisms may serve as the pivotal link connecting ECT to its multifaceted systemic effects in schizophrenia. The transient, controlled physiological stress induced by ECT may trigger systemic “metabolic reset,” involving alterations in energy substrate utilization patterns and the generation of specific metabolic products. However, direct evidence for longitudinal causal relationships regarding how this metabolic reprogramming regulates neural circuitry, immune-inflammatory responses, and neuroendocrine axis function through specific molecular pathways remains lacking.\nCurrent research on the relationship between metabolism and brain energy homeostasis in schizophrenia patients following ECT treatment is limited and varies in methodology. An observational study involving 99 patients (including those with depression, bipolar disorder, and schizophrenia) reported acute increases in blood glucose and total cholesterol levels after ECT [331], but the long-term metabolic effects, disease-specific differences, and clinical relevance remain unclear. A recent study employing comprehensive metabolomics analyzed plasma samples from schizophrenia patients (n = 78). Compared to controls, 542 metabolites exhibited differential expression (420 downregulated, 122 upregulated), primarily involving lipids in energy metabolism pathways. Following ECT treatment, 200 metabolites associated with glycolysis, ketone metabolism, and inflammatory pathways showed significant alterations (153 upregulated, 47 downregulated). Furthermore, the study identified 10 baseline metabolites capable of distinguishing ECT responders from non-responders. In responders, TRPV1/TRPA1 channel agonists (hydroxy-α-pipralid and piperine) associated with neuroprotection and inflammatory regulation were significantly elevated, indicating that the therapeutic efficacy of electroconvulsive therapy indeed involves metabolic reprogramming and inflammatory responses [332]. Under normal conditions, cellular enzymatic and non-enzymatic antioxidant defenses eliminate reactive oxygen species (ROS), which are metabolic byproducts; otherwise, they induce oxidative stress. Nearly all metabolic abnormalities in schizophrenia are accompanied by oxidative stress [333]. Redox reactions serve as a crossroads for multiple critical biochemical pathways, including mitochondrial function, immune signaling, and neuroplasticity, and are closely linked to cognitive function [334]. One study found that baseline serum malondialdehyde (MDA), catalase (CAT), and NO levels were higher in schizophrenia patients (n = 28) than in controls (n = 20). After nine ECT sessions, only serum MDA levels significantly decreased, accompanied by improvements in BPRS, SANS, and SAPS scores—with more pronounced changes in first-episode patients [335], suggesting ECT may selectively modulate oxidative stress markers. However, this study lacked randomization, had a limited sample size, and failed to control for antipsychotic medication use as a confounding factor. Additionally, ECT elevates serum BDNF levels, correlating with changes in psychotic symptoms [296]. Based on existing evidence, we hypothesize that ECT may influence cognitive function by modulating the interaction between oxidative stress and BDNF [336], though this causal chain requires validation under rigorous experimental conditions. Notably, oligodendrocyte injury and subsequent white matter abnormalities are considered key pathological underpinnings of cognitive impairment in schizophrenia [337]. However, current ECT research has focused solely on the relationship between gray matter damage and positive symptoms [297], limiting our understanding of ECT’s comprehensive neuroprotective effects. Furthermore, studies on ECT’s metabolic effects show inconsistencies across disease stages. Some research suggests first-episode patients may exhibit more pronounced improvements in oxidative stress markers than chronic patients [335], while other studies using magnetic resonance spectroscopy (MRS) indicate chronic patients may also demonstrate positive changes in neuronal metabolic markers. One study showed that after 8 sessions of modified ECT, schizophrenia patients (n = 31, including first-episode and chronic patients) exhibited significantly increased NAA/Cr ratios in the left prefrontal cortex and thalamus, with this change correlated with age at onset, disease duration, and baseline severity [338]. However, the absence of a control group in this study limits the reliability of causal inferences. Another controlled study using MRS to assess brain metabolites in chronic schizophrenia patients (n = 10) found that the ECT–combination therapy group exhibited elevated NAA/Cr ratios and reduced choline (Cho)/Cr ratios in the left prefrontal cortex, suggesting potential improvements in neuronal integrity and reduced cell membrane turnover [339,340]. However, this study had an extremely small sample size, a short follow-up period (4 weeks), and was not randomized.\nRecent studies indicate that the therapeutic effects of ECT involve inflammatory responses [332], with existing ECT-related research suggesting this may be linked to shifts in immune cell metabolic patterns. Research using electroconvulsive stimulation (ECS) animal models demonstrates that repeated ECS promotes a metabolic shift in central microglia and peripheral immune cells from a glycolysis-dominant pro-inflammatory mode to an oxidative phosphorylation-dominant anti-inflammatory mode [310,311,312,313,314]. This finding provides a theoretical framework for explaining the post-ECT reduction in pro-inflammatory cytokines (e.g., IL-6, TNF-α) and the increase in anti-inflammatory factors (e.g., IL-10) [310,311,312,313,314]. However, it is crucial to emphasize that the aforementioned metabolic conversion mechanism requires direct validation in schizophrenia patients. An observational study found that peripheral blood levels of cytokines including IL-6, TNF-α, and NF-κB decreased in schizophrenia patients receiving ECT, while MMP-9 significantly decreased after 10 ECT sessions, though this was unrelated to symptom severity [316]. The MMP9/RAGE pathway is considered a key substrate for the interaction between oxidative stress and neuroinflammation [306,341]. Given that this study was based on a single cohort with a limited sample size (n = 21), the potential value of MMP-9 as a therapeutic target for ECT requires validation in larger, replicated studies. Furthermore, ECS can reduce microglial hyperactivation [308,309], and it reduces inflammation and its association with KP metabolites [9]. Low inflammation and tryptophan metabolism correlate with clinical efficacy. Cross-sectional association studies indicate co-regulation of kynurenine and the ECS system in schizophrenia, sharing common pathophysiological foundations in astrocyte distribution, inflammatory regulation, and neurotransmitter balance [342,343]. We hypothesize that the ECS may also be a therapeutic target for ECT, though this requires validation through interventional studies.\nSchizophrenia patients frequently have persistent low-grade inflammation and hyperactivity of the HPA axis. Preliminary clinical observations indicate that ECT can quickly alleviate excessive activation of the HPA axis [321]. However, these findings only reflect acute endocrine responses during treatment and do not allow inference about whether ECT achieves long-term metabolic improvement through sustained reset of HPA axis function. Regarding the epigenetic effects of ECT, a microarray study identified differences in miRNA expression profiles before and after ECT treatment in schizophrenia patients (e.g., a downregulation trend of miR-20a-5p). However, the statistical power was insufficient, and no direct correlation with clinical symptom improvement was established [344].\nPreliminary evidence from structural and functional neuroimaging studies consistently suggests that ECT’s efficacy in schizophrenia may partly stem from its regulatory effects on abnormal functional connectivity in key brain regions [298,299,300,301,302,304]. The hippocampus and insula are consistently identified as core target areas for ECT-induced neuroplastic changes [345]. These structural alterations show statistical correlations with clinical symptom improvement, suggesting that ECT may exert its antipsychotic effects by repairing neural circuit dysfunction in these regions. However, these studies are predominantly small-sample, non-randomized designs lacking long-term follow-up data. Some speculate that ECT’s efficacy may partly relate to its effects on glial cells [307], which play critical roles in various metabolic pathways associated with schizophrenia (e.g., energy metabolism, tryptophan metabolism, cytokines) [346]. These metabolites may regulate neuro-immune–endocrine interaction networks. Recent studies have validated the link between metabolic reprogramming (glycolysis, ketone metabolism) and ECT efficacy [332], though causal relationships require further validation through large-scale studies. Future studies should employ longitudinal multi-omics designs (combining metabolomics, lipidomics, and immune phenotyping) to analyze dynamic changes in metabolite profiles across different tissues of schizophrenia patients undergoing ECT. Correlating these with clinical efficacy, neuroimaging, and immune markers will deepen our understanding of ECT’s mechanisms of action. Furthermore, targeted metabolic interventions in animal models (e.g., specific diets or enzyme inhibitors) can directly validate whether certain key metabolic pathways are essential for ECT efficacy. Identifying baseline metabolic biomarkers associated with treatment response will facilitate the future precision targeting of ECT therapy.\n\n\n### 3.3. Side Effects of ECT\nTreatment resistance is the most common response to ECT, and some patients exhibit a poor response to ECT, potentially related to individual genetic background or immune characteristics. The primary adverse effect of ECT is cognitive impairment, though such side effects are typically mild and transient. In fact, numerous studies indicate that ECT does not impair cognitive function [347,348] and may even improve it [349,350]. While ECT may cause temporary memory impairment, its long-term neuroplastic effects partially offset these negative impacts. Furthermore, the adverse cognitive effects of ECT appear to depend on multiple factors, including the patient’s baseline cognitive status and potential cognitive reserve prior to treatment, as well as certain ECT parameters such as bilateral electrode placement, current intensity, and stimulation type.\n\n\n### 4. Metabolic Changes in Other Physical Therapies for Schizophrenia\nIn addition to electroconvulsive therapy, other commonly used physical therapies for schizophrenia include transcranial magnetic stimulation (TMS), transcranial direct current stimulation (tDCS), and deep brain stimulation (DBS).\nBoth repetitive transcranial magnetic stimulation (rTMS) and transcranial direct current stimulation (tDCS) improve general psychotic symptoms, cognitive deficits, and anhedonia in schizophrenia [351,352,353,354], with mechanisms connected to brain network normalization [355]. Nevertheless, there is still a dearth of research on related metabolic alterations. Negative symptoms decreased after 4 weeks of rTMS treatment in chronic schizophrenia patients (n = 86) using oral paliperidone, and serum BDNF concentrations increased with stimulation duration [356], suggesting rTMS may stimulate BDNF synthesis to promote neuroplasticity. Schizophrenia patients who use different TMS modalities lose weight. Continuous theta burst stimulation (cTBS) decreased body weight and BMI in overweight schizophrenia patients [357], while 10 Hz rTMS (4 weeks) significantly reduced body weight in chronic patients [358]. Furthermore, improvements in body weight among patients undergoing iTBS while taking antipsychotic medication are correlated with factors including brain activity and the metabolism of glucose and lipids. TMS could improve symptoms by intervening with metabolic pathways since changes in appetite are linked to changes in brain structure, perfusion, function, cognitive control, microbiome, and neuroendocrine regulatory factors [359,360].\nLow-frequency DBS to the basal ganglia reverses cognitive impairment induced by NMDA antagonist treatment in non-human primate models [361]. Clinical studies indicate that DBS modulates local and distant glucose metabolism in the anterior cingulate cortex (sgACC) or nucleus accumbens (NAc) of treatment-resistant schizophrenia patients, with clinical improvement associated with increased metabolic activity across extensive brain regions [362], suggesting that DBS may produce therapeutic effects by regulating brain metabolism.\n\n\n### 5. The Relationship Between Antipsychotic Drugs and Metabolism in Schizophrenia Patients\nThe use of traditional antipsychotic drugs alone for treating schizophrenia often induces an independent “drug-induced” metabolic syndrome [8], which shares a common genetic basis with type 2 diabetes [363]. Long-term antipsychotic medication significantly increases body weight, BMI, blood lipids, and blood glucose levels [364,365], leading to impaired antioxidant defense systems [366] and heightened susceptibility to oxidative stress [367,368]. However, some antipsychotic drugs can improve metabolic abnormalities associated with schizophrenia (Table 6). Clozapine inhibits glucose uptake and glycolysis, shifts mitochondrial citrate into the cytoplasm to promote lipogenesis, and simultaneously reduces Akt pathway activation. These changes may prevent energy deficiency [369]. Treatment for 4 weeks also causes a short-term elevation in plasma IL-6 levels [370]. Haloperidol may inhibit glutathione peroxidase, disrupting neuronal redox homeostasis [371], and excessive use impairs dopamine release and AKT/GSK-3 signaling [372]. Risperidone monotherapy for 12 weeks raised serum SOD and CAT activity while decreasing MDA and GPx activity in patients; baseline CAT levels correlated with body weight or BMI [373], and oxidative stress markers predicted response to risperidone treatment [374]. Four weeks of olanzapine treatment similarly induced dyslipidemia characterized by elevated TG, TC, and LDL-C levels [375]. Furthermore, antipsychotic-induced constipation correlates with distinct lipid metabolism pathway dysregulation [376].\nAntipsychotics may also have an influence on epigenetic mechanisms, with haloperidol consistently related to increased global hypermethylation and clozapine promoting hypomethylation across the epigenome [377]. Risperidone monotherapy normalizes DNA methylation patterns in schizophrenia patients, which correlate with clinical phenotype improvement [378], while also reducing serum homocysteine levels, suggesting one-carbon metabolism involvement [278]. Both risperidone and quetiapine regulate histone marks across distinct brain regions and cell types [379]. Furthermore, olanzapine may improve cognitive impairment by upregulating GluR1-Ser845 phosphorylation status [380].\nEffects of antipsychotic drugs on abnormal metabolism in schizophrenia.\nDopamine (DA), vanillic acid (HVA), Glycogen synthase kinase-3 (GSK), Superoxide dismutase (SOD), Catalase (CAT), Glutathione peroxidase (GPx), malondialdehyde (MDA), total antioxidant status (TAS), homocysteine (Hcy).\n\n\n### 6. The Role of Metabolic Mechanisms in Other Psychiatric Disorders\nMetabolic mechanisms also play a significant role in the onset and progression of psychiatric disorders such as major depressive disorder (MDD), bipolar disorder (BD), and obsessive–compulsive disorder (OCD). A systematic review revealed that MDD and BD exhibit 97 and 47 lipid alterations, respectively, with some overlap with schizophrenia, sharing genes like ABCA13, DGKZ, and FADS, as well as the “inflammation–lipid–mitochondria” pathway. Meanwhile, OCD has been linked to sphingolipid signaling and peroxisome metabolism [381].\nThere are abnormalities in multiple metabolic pathways of MDD, and different antidepressant treatments may improve depressed symptoms by regulating these metabolic pathways. Impaired glucose metabolism is a core component, manifesting as insulin resistance and dysregulation of the GLUT1/insulin signaling pathway [382,383,384], while impaired TCA cycle function and reduced ATP production contribute to heightened depressive symptoms [385,386]. Abnormal glucose metabolism in hippocampal regions is closely connected with anhedonia [387] and impaired cognition [388]. Extensive research demonstrates that abnormal glucose metabolism in MDD brain regions correlates with mitochondrial dysfunction [389,390,391], impaired brain tissue energy metabolism [392], and elevated oxidative stress [393,394]. Concurrently, the astrocyte–neuron lactate shuttle mechanism is impaired. Autopsy studies confirm significantly reduced astrocyte density in multiple brain regions, including the prefrontal cortex, orbitofrontal cortex, and dorsolateral prefrontal cortex [395,396], disrupting ATP and lactate production by astrocytes [397]. Furthermore, animal studies indicate that inhibiting astrocytic glycogen utilization [398,399] and ATP production induces depressive-like behaviors, whereas promoting endogenous ATP release produces antidepressant effects [400,401]. Common antidepressants such as norepinephrine and glucocorticoids regulate glycogen conversion by binding to receptors on astrocytes [402]. Lipid metabolism disorders also contribute to pathogenesis. MDD patients with abnormal blood glucose levels often exhibit concomitant lipid and thyroid hormone dysregulation, which correlates with clinical symptoms [403,404,405]. Most differentially expressed lipid metabolites show negative correlations with depression symptom scores [406]. MDD patients often exhibit downregulation of long-chain fatty acids, upregulation of lysophosphatidic acid and ceramides [407,408], and significantly reduced total cholesterol (TC) levels [409], potentially correlated with disease severity [410]. This identifies novel therapeutic targets for MDD. Most MDD patients exhibit abnormal glutamatergic signaling in the PFC, with decreased NAA, total choline (tCho), and total creatine (tCr) [411]. One study showed that depressed patients with normal ACTH exhibited elevated Glx and reduced GSH levels, which correlated with depressive symptoms and cognitive function [412]. Abnormal TRP–KYN metabolic pathways and their metabolites are also closely associated with MDD [413,414], and plasma tryptophan levels correlate with antidepressant treatment response [415]. Abnormalities in purine metabolism [416] and methylation of certain genes [417] are observed in MDD, involving oxidative stress-related genes (HACE1, SHANK2) [418], HPA axis-related genes [419], and the MTHFR genotype associated with homocysteine metabolism [420]. Furthermore, high HTR1B methylation interacts with the rs6298 AA/AG genotype to influence antidepressant efficacy [421].\nIncreased cerebral lactate [422], reduced cerebral pH [57], energy dysregulation, and mitochondrial dysfunction [423] constitute the core pathophysiological features of BD. Manic episodes may be characterized by an upsurge in glutamine metabolism [424]. Oxidative stress is also a major pathogenic mechanism in BD, with significantly decreased plasma GSH and total thiol levels, while malondialdehyde (MDA), advanced oxidation protein products (AOPP), protein carbonyl (PC), homocysteine (Hcys) concentrations, and glutathione peroxidase (GSH–Px) activity are markedly elevated [425]. The antioxidant genes SOD2 and GPX3 correlate with structural abnormalities in the prefrontal cortex of young BD patients [426]. Impaired lipid metabolism in BD is closely associated with circadian rhythm-driven alterations in lipid droplet homeostasis [427], with deregulation of arachidonic acid and other polyunsaturated fatty acid production possibly representing a pathogenic pathway [428]. Both schizophrenia spectrum disorders and BD exhibit dysfunction in kynurenine metabolism and the noradrenergic and purinergic systems [235]. Furthermore, partial genetic susceptibility to schizophrenia, bipolar disorder, and major depressive disorder correlates with placental DNA methylation [429,430], while increased methylation at CpG sites of BDNF alleles is associated with early-stage BD [431]. Lithium salts, commonly used as mood stabilizers, bind to various ATP-binding enzymes [432]. Long-term lithium treatment is associated with increased telomerase reverse transcriptase (TERT) expression [433], which may improve mitochondrial function and reduce oxidative stress.\nNAA/Cr levels in the caudate nucleus of OCD patients are lower than those in healthy individuals and negatively correlated with oxidative stress markers [434]. This is frequently accompanied by neurolipid metabolism abnormalities such as lipid peroxidation, phospholipid metabolism disruption, and sphingolipid signaling impairment [381,435]. Meanwhile, KP metabolism in OCD may be influenced by oxidative stress and abnormal levels of the inflammatory mediator interferon-gamma (IFN-γ) [436].\n\n\n### 7. Conclusions and Future Directions\nElectroconvulsive therapy (ECT) is an effective physical treatment for schizophrenia, with complex, multiple mechanisms of action. This review analyzes various metabolic abnormalities in schizophrenia and illuminates the significance and promise of metabolic pathways in ECT treatment for schizophrenia, with the aim of providing a theoretical foundation and clinical advice for future studies in this field.\nOverall, metabolic reprogramming may serve as the pivotal link connecting the multisystem effects of ECT treatment for schizophrenia with clinical symptom improvement: (1) ECT efficacy is primarily associated with energy metabolism pathways. Notably, baseline metabolic characteristics hold predictive value: specific metabolite levels, such as those of TRPV1/TRPA1 channel agonists, can distinguish ECT responders from non-responders. Additionally, ECT induces elevated NAA/Cr ratios and altered choline metabolism in patients, reflecting neuronal integrity restoration and slowed cell membrane turnover. These neuroimaging changes correlate significantly with improved clinical symptom scores, particularly in first-episode patients. (2) ECT selectively reduces serum MDA levels while elevating BDNF. This redox state may interact with neurotrophic factors to enhance cognitive function. (3) ECT induces peripheral and central immune cells to shift from pro-inflammatory glycolysis to anti-inflammatory oxidative phosphorylation metabolism. This manifests as decreased pro-inflammatory factors (e.g., IL-6, TNF-α) and increased anti-inflammatory factors (e.g., IL-10), accompanied by regulation of the tryptophan–kynurenine metabolic pathway. This metabolic–immune coupling change occurs synchronously with the remission of psychotic symptoms. However, current evidence is largely based on small-sample, non-randomized short-term observations lacking longitudinal causal validation. Caution is warranted against directly extrapolating animal data to clinical practice. Future research should employ multi-omics integration (metabolomics, lipidomics, immunophenotyping) combined with long-term neuroimaging follow-up to establish causal pathways linking metabolism, neural circuits, and clinical symptoms. This approach will enable the development of precision ECT treatment strategies based on metabolic phenotypes. Concurrently, investigating the impact of various ECT technical parameters—such as electrode placement, electrical wave magnitude and duration, anesthetic and muscle relaxant usage, and treatment frequency—is essential to further improve the safety and efficacy of ECT therapy.\nIn summary, the mechanism of ECT in treating schizophrenia is closely linked to metabolic pathways. Deepening our understanding of these metabolic mechanisms not only enhances our knowledge of schizophrenia’s pathophysiology but also may provide critical insights for building new medications or bettering existing treatments. Future research should continue to focus on screening metabolomic biomarkers, developing targeted intervention strategies, and deepening the exploration of ECT mechanisms. This will aim to provide more effective treatment options for schizophrenia patients, improving their prognosis and quality of life.", "domain": "affective_neuroscience"}
{"source": "PMC12923032", "title": "Parental behavior, adult attachment, and DNA methylation of the MT2 oxytocin receptor gene region – The moderating role of neuroticism", "text": "# Parental behavior, adult attachment, and DNA methylation of the MT2 oxytocin receptor gene region – The moderating role of neuroticism\n\n## Abstract\nParental behavior, especially in childhood, affects the child’s development in numerous ways. Over the last decade, the aim to get a deeper understanding of how early experiences influence behavior later in life has led to an increased popularity of epigenetic studies. Several studies focused on negative childhood experiences, increased methylation at different oxytocin receptor gene sites, and deficits in social behavior in adolescence or adulthood. The current study focused on the role of parental behavior, personality, and methylation of the MT2 region in the oxytocin receptor gene on insecure attachment styles in young adulthood. A total number of N = 71 students (55 females, one non-binary) completed an online survey and provided cell material (buccal cell swaps) for methylation analysis. Parental behavior was measured with the Parental Bonding Instrument (PBI), personality with the NEO Five-Factor Inventory (NEO-FFI), and adult attachment with the Attachment Style Questionnaire (ASQ). Results showed a moderating effect of neuroticism on the relation between maternal care and methylation of the MT2 region: higher maternal care was associated with lower methylation levels but only among participants with low neuroticism scores. No association of methylation with anxious or avoidant attachment was observed and no effect of paternal care at all. The results emphasize the model of early environmental influences on behavior in respect to changing gene activity and will be discussed with respect to the MT2 region and early life experiences on the one, and the association with personality on the other hand.\n\n## Full Text\n\n\n### Introduction\nWith respect to social behavior, the neuropeptide oxytocin plays a significant role across species. It has been associated with attachment and social exploration but also with social deficits, for example, in autism spectrum disorders or depression (for an overview see Meyer-Lindenberg et al. [1]). For a long period of time, the focus regarding molecular genetics of oxytocin has been on single-nucleotide-polymorphisms in the oxytocin receptor gene (OXTR), most prominently the rs53576, located in the third intron, see Li et al. [2].\nOver the last decade, the aim to get an even deeper understanding of how oxytocin affects social behavior has led to epigenetic studies, mostly on DNA methylation. Epigenetics refers to changes in gene transcription, which can result in either silenced or enhanced gene expression, without changes of the DNA sequence itself. Epigenetic changes are reversible and are hypothesized to rely amongst others on environmental influences and individual experiences [3, 4]. Methylation in particular changes the functional link between DNA and proteins, which can influence the transcription rate [5]. It takes place on cytosines (C) followed by guanines (G), known as Cytosine-phosphate-Guanine (CpG) sites. CpG rich regions in the genome are known as CpG islands and are often located in the promoter region of a gene [5]. CpG islands are > 200 base pairs (bp) in length and have a GC content of over 50% [6]. CpG islands tend to be unmethylated, methylation of these areas often leads to reduced DNA transcription, which can result in altered protein synthesis [4].\nWhen it comes to epigenetic studies focusing on the OXTR, the MT2 region, a 406 bp long region covering parts of exon 1 and intron 1, is the most prominent [7]. Kusui et al. [8] were the first to detect the MT2 region in the CpG island of the OXTR. This region, when methylated, appears to be responsible for most of the suppression of the OXTR function. Therefore, MT2 is attributed to be functionally significant. The MT2 region contains 26 CpG sites. Since most studies focused on either all 26 CpG sites or only selected ones, which were often not specified, results are heterogenous [9]. However, if studies did focus on specific locations, CpG site −934 (relative to transcription start site +1, [10]) is amongst the most prominent. Danoff and colleagues [7] emphasized that selected CpG sites for epigenetic studies should be relevant to biological function. Therefore, they conducted a study on prairie voles as an animal model and showed that the CpG sites within the MT2 region correlate highly with each other [11]. Using exploratory graph analysis, they classified the CpG sites into three distinct groups depending on their covariance of methylation values. The categorization reflects the physical structure of the MT2 region: 5’ sites, sites in the middle, and 3’ sites. The 3’ sites, which contain the sites −934, −924 and −901 (see Fig 1), seem to be most affected by experiences early in life [11].\nThe protein-coding region is shown in gray (ATG = transcription start site; TGA = stop codon). The DNA sequence for the MT2 region is displayed with primer binding sites in bold. Functional relevant CpG sites are indicated by filled circles, numbering is relative to transcription start site (+1).\nSeveral studies have shown associations of MT2 hypermethylation, reduced OXTR activity, and different diseases, e.g., anorexia nervosa [12] or depression [13]. Furthermore, negative experiences in childhood and reduced maternal care have also been associated with decreased OXTR function [14, 15]. However, this effect is small, r = .02, as shown in a recent meta-analysis by Ellis et al. [9]. Research linking MT2 (hypo-) methylation and positive experiences is rare. An animal study in prairie voles by Perkeybile et al. [16] showed a direct link between increased early parental care and decreased DNA methylation in the MT2 region, which resulted in increased oxytocin receptor density. Krol, Moulder et al. [14] conducted a human study on children and their mothers. They showed that higher maternal care was associated with decreased methylation, which in turn up-regulated the oxytocin system, making infants more susceptible to social cues. Moreover, OXTR DNA methylation was reported to be related to attachment behavior later in life. One study found that decreased methylation levels at CpG site −934 were associated with decreased levels of self-reported attachment anxiety and increased levels of attachment avoidance [17]. Ein-Dor et al. [18], however, found a positive association between OXTR methylation and attachment avoidance and no association with attachment anxiety. To the best of our knowledge, no further studies have examined the relationship between OXTR methylation and adult attachment.\nIt is well known that experiences early in life lay the foundation for attachment behavior in adolescence and adulthood [19]. According to the intergenerational transmission of attachment model, parents with secure attachment styles themselves operate as a secure base for their children, which increases the likelihood of their children being securely attached as well [20]. However, if this reflects environmental or genetic effects is an open question. Feeney [21] conducted a study, comparing parents and their children. Parents, who described themselves as more securely attached, had children with more secure attachment styles. This association was stronger for mothers compared to fathers, reflecting the more prominent role of mothers in parenting at the time of the study. Feeney highlighted parallels to the model of intergenerational transmission by IJzendoorn & Bakermans-Kraneburg. However, this conclusion has to be drawn with caution, because the intergenerational transmission of attachment goes beyond the attachment pattern of the parents. Other factors, for example psychosocial risk factors or the age of the children, may vary the strength of the association, for a revised model see Verhage et al [22]. A study by Tanaka et al. [23] found a positive association between early parental care and secure attachment in Japanese university students. In a cross-cultural study with university students from Singapore and Italy, high levels of overprotection in combination with low levels of care were associated with anxious as well as avoidant attachment in both cultures. Avoidant attachment was only associated with maternal care, whereas anxious attachment was associated with both, maternal and paternal care. Wilhelm et al. [24] compared the four attachment styles (secure, preoccupied, fearful, and dismissing) measured by the Relationship Questionnaire [25] with four perceptions of parenting behavior (optimal parenting, affectionate constraint, affectionless control, and neglectful parenting) measured by the Parental Bonding Instrument (PBI, [26]). They found that lower parental control corresponded with an increased likelihood of an adult attachment style with a positive view of self (secure for females and dismissing for males).\nAt this point it can be summarized that both epigenetic chances and parental behavior may have independent or interactive influences on adult attachment behavior. However, another aspect should be mentioned. Both influences may have different effects depending on individual differences at an individual level. Therefore, personality should also be addressed.\nPersonality and early experiences emerge as the two factors contributing to a gene x environment interaction. This concept states that people with different genetic make-ups can respond differently to environmental influences [27]. The Five Factor Model [28] is the most common theory of personality structure. The five factors are Extraversion, characterized by active, enthusiastic, and outgoing behavior; Agreeableness, generous, trusting, and appreciative behavior; Conscientiousness, efficient, reliable, und responsible; Neuroticism, displaying anxious, unstable, und tense behavior; and Openness to experiences, curious, insightful, and wide interested [28]. Neuroticism, which is approximately 40% heritable [29], is associated with increased environmental sensitivity [29, 30]. People high in neuroticism are more sensitive to the environment, due to enhanced perception and processing of information. This was shown for negative as well as positive influences [31].\nSeveral studies looked at the interplay between perceived parental behavior and the child’s personality. For example, Takahashi et al. [32] revealed that the perceived parenting style was associated with the child’s neuroticism scores. Compared to optimal parenting (high care and low overprotection), people describing their parents’ behavior as affectionless control had higher neuroticism scores. These results were replicated in a recent study, which illustrates that people who experienced childhood adversity exhibited higher neuroticism scores [33]. This leads to the assumption, that neuroticism seems to moderate the sensitivity with which people react to social experiences [34]. However, the path from perceived parenting towards neuroticism is not unidirectional but rather bi-directional: the child’s personality can influence the way parents behave towards their children (gene x environment correlation) and vice versa [35].\nIn line with the model of gene x environment interactions, the present study, exploratory and preliminary in nature, examines the association between parental behavior, MT2 methylation, and attachment styles later in life. To narrow the gap regarding parental behavior, maternal as well as paternal care was considered. Due to the heterogeneous findings with respect to attachment avoidance and attachment anxiety, each component was used as the dependent variable. Therefore, the following model was hypothesized:\nIf perceived parental care in childhood is low, this may be accompanied by changes in OXTR MT2 methylation levels. As a consequence, avoidant and anxious attachment may increase. Therefore, it is assumed that the relationship between perceived parental care and attachment is associated with MT2 methylation levels. Moreover, neuroticism, a personality factor associated with salience of social stimuli, is expected to moderate both relationships, between perceived parental care and MT2 methylation levels, and between perceived parental care and adult attachment. Subjects high on neuroticism will more intensively perceive parental behavior related to care and, consequently, may be more susceptible for epigenetic effect. Moreover, the same pattern of perception will also be relevant for the association between perceived parental care and adult attachment.\nThe following central hypotheses were tested:\nHigher levels of perceived care in childhood are associated with decreased levels of [a] attachment avoidance and [b] attachment anxiety, both being associated with methylation rates in the OXTR MT2 region. This is expected for [c] maternal and [d] paternal care separately. Additionally, it is assumed that neuroticism moderates both the effect between parental care and MT2 methylation levels, as well as between parental care and attachment anxiety (see Fig 2).\nThe interplay between perceived parental behavior and adult attachment in consideration of neuroticism and oxytocin receptor gene MT2 methylation rates. Note: Moderation analysis indicated by dashed line. Mediation analysis indicated by dotted line.\n\n\n### Materials and methods\nData were collected from two cohorts of students that started studying psychology in 2021 and 2022 at the Justus-Liebig-University in Giessen. Participants were recruited in the lecture Personality Psychology. Data collection was part of a large-scale study. Only relevant parts will be described here.\nAn initial sample of N = 367 students started participating in the study, there were no exclusion criteria. Due to incomplete questionnaires (n = 197), no buccal swaps (n = 23), no sufficient sample DNA (n = 68), and non-detectable methylation rates (n = 8), the final sample consisted of N = 71 participants (n = 55 females, n = 1 non-binary). The mean age was M = 21.15, SD = 3.91 with a range between 18 and 48 years of age. About 60% of the participants were single (n = 42). All participants were Caucasians.\nThree questionnaires relevant for the present study were embedded in a large-scale online survey. The online survey could be completed between December 08, 2021, and July 15, 2022, and from November 14, 2022, until May 31, 2023. Other questionnaires measured, for example, empathy, life events, or character strengths. In total, completion of the package took about two hours. It was possible to take breaks in between.\nBuccal cell swaps were collected within the respective cohort at fixed dates, May 16, 2022, and November 07, 2022.\nParticipation was voluntary and was reimbursed with research participation credits. Written informed consent was received from every participant prior to the study. The study complied with the Declaration of Helsinki and was approved by the local ethics committee of the University of Giessen, Department of Psychology (application number: 2021−0017).\n\n\n### Participants\nData were collected from two cohorts of students that started studying psychology in 2021 and 2022 at the Justus-Liebig-University in Giessen. Participants were recruited in the lecture Personality Psychology. Data collection was part of a large-scale study. Only relevant parts will be described here.\nAn initial sample of N = 367 students started participating in the study, there were no exclusion criteria. Due to incomplete questionnaires (n = 197), no buccal swaps (n = 23), no sufficient sample DNA (n = 68), and non-detectable methylation rates (n = 8), the final sample consisted of N = 71 participants (n = 55 females, n = 1 non-binary). The mean age was M = 21.15, SD = 3.91 with a range between 18 and 48 years of age. About 60% of the participants were single (n = 42). All participants were Caucasians.\n\n\n### Procedure\nThree questionnaires relevant for the present study were embedded in a large-scale online survey. The online survey could be completed between December 08, 2021, and July 15, 2022, and from November 14, 2022, until May 31, 2023. Other questionnaires measured, for example, empathy, life events, or character strengths. In total, completion of the package took about two hours. It was possible to take breaks in between.\nBuccal cell swaps were collected within the respective cohort at fixed dates, May 16, 2022, and November 07, 2022.\nParticipation was voluntary and was reimbursed with research participation credits. Written informed consent was received from every participant prior to the study. The study complied with the Declaration of Helsinki and was approved by the local ethics committee of the University of Giessen, Department of Psychology (application number: 2021−0017).\n\n\n### Measures\nParental behavior was measured with the German version [36] of the PBI [26]. The PBI consists of two questionnaires, one regarding the mother and one regarding the father, with 25 identical items each. It investigates retrospective perception of Parental Care (12 items) and Overprotection (13 items) in the first 16 years of life. The German version of the PBI has been validated for the two-factor (care and overprotection) as well as the three-factor (care, denial of psychological autonomy, and encouragement of behavioral freedom) solution [36]. In the present study the two-factor solution was used. Only participants who completed the questionnaire for both, mother and father, were considered. All scales showed good internal consistency (Cronbach’s α): Maternal Care α = .907, Maternal Overprotection α = .927, Paternal Care α = .939, and Paternal Overprotection α = .918.\nAttachment was measured using the German version [37] of the Attachment Style Questionnaire (ASQ, [38]). The ASQ consists of 40 items in total, resulting in five scales: Confidence (eight items), Discomfort with Closeness (ten items), Need for Approval (seven items), Preoccupation with Relationships (eight items), and Relationships as Secondary (seven items). Discomfort with Closeness and Relationships as Secondary can be summarized as avoidant attachment. Anxious attachment, on the other hand, consists of Need for Approval and Preoccupation with Relationships. Again, for the given sample, all ASQ scales showed good internal consistency (Cronbach’s α): Confidence α = .911, Discomfort with Closeness α = .847, Need for Approval α = .748, Preoccupation with Relationships α = .749, and Relationships as Secondary α = .761.\nTo assess the big five personality factors, the German version [39] of the NEO Five-Factor-Inventory (NEO-FFI, [40]) was used. The NEO-FFI consists of a total of 60 items, 12 items per personality factor. The scales display good internal consistency (Cronbach’s α), except for Agreeableness: Neuroticism α = .806, Extraversion α = .837, Openness for Experiences α = .826, Agreeableness α = .623, and Conscientiousness α = .881.\nParticipants provided buccal cell swaps for further analysis. According to Theda et al. [41] methylation rates in buccal cell swabs are ectodermal in origin, which means that the cell content is more similar to brain tissue than the cell content of blood samples. Furthermore, buccal swabs have less between-sample variation than saliva samples. Thus, buccal swabs are considered an appropriate source for methylation analysis [41], especially in the OXTR [42].\nPurification of genomic DNA was performed with a standard commercial kit (QIAamp DNA Mini Kit, catalog no. 51306; QIAGEN, Hilden, Germany) in a QIACube (QIAGEN; Hilden, Germany), according to the manufacturer’s protocol. Following, the DNA was quantified using NanoPhotometer™ Pearl P 300 (Implen GmbH; Munich, Germany). Only samples with an A260/A280 ratio between 1.7 and 1.9 were processed. The samples were stored at 4°C until bisulfite conversion.\nBisulfite conversion was performed with EpiTect Fast DNA Bisulfite Kit (QIAGEN, catalog no. 59826; Hilden, Germany) in a QIACube (QIAGEN; Hilden, Germany). The low-concentration approach in the setup of the bisulfite reactions was used for all samples. For thermal cycling, the Mastercycler 5333 (eppendorf; Hamburg, Germany) was used. Bisulfite conversion thermal cycler conditions were slightly modified according to recommendations in the manual: the 60°C cycle time was extended to 20 minutes, resulting in a total thermal cycler time of 60 minutes. The second step, clean-up of bisulfite converted DNA, was performed in the QIACube according to the manufacturer’s protocol. Following bisulfite treatment, methylated Cs at CpGs remain Cs, whereas unmethylated Cs at CpGs translate into uracil, later thymine (T).\nMethyl Primer Express™ Software v1.0 (Applied Biosystems; Foster, USA) was used to manually design primers covering a 406 bp region of the OXTR, termed MT2. This region has proven to be functionally relevant [8]. The MT2 region is located on chromosome 3 (GRCh38: 8 769 033–8 769 438) and contains 26 CpG sites. The following primer pair for bisulfite converted DNA was used: 5’- GGAATTTTTGATTTGYGTTTT −3’ (forward) and 5’- TCCTATACCCATCCAACRAC −3’ (reverse) (Thermo Fisher Scientific, Waltham, Massachusetts). Both primers included M13 universal tails for amplification. Primers should contain a maximum number of one CpG site. The ensemble.org homepage (https://www.ensembl.org/Homo_sapiens/Location/Variant/Table?r=3:8769034-8769438) was used to check for possible single-nucleotide-polymorphisms within the complementary DNA region of primer binding.\nFor amplification the BigDye© Direct Cycle Sequencing Kit (Thermo Fisher Scientific, catalog no. 4458687; Waltham, Massachusetts) was used. Forward and reverse primers were treated separately. The manufacturer’s protocol was modified as follows: 3 ng/µl instead of 4 ng/µl of bisulfite converted DNA was used. Furthermore, 0.5 µl M13-tailed PCR primer (10µM) mix per primer was added; therefore, the amount of distilled water was increased to 3.5 µl per reaction mix [43]. Thermal cycler (Mastercycler 5333, eppendorf; Hamburg, Germany) time was modified with respect to selected primers. Temperature and time are displayed in Table 1.\nCycle sequencing was performed with the indicated amount of DNA and BigDye® Direct Primer (forward and reverse separately). Thermal cycling (Mastercycler 5333, eppendorf; Hamburg, Germany) was adapted as displayed in Table 2.\nPurification was performed with the DyeEx® 2.0 Spin Kit (QIAGEN, catalog no. 63206; Hilden, Germany), since mechanical purification was proven to be superior to chemical purification for the given samples. After pipetting samples on to a plate, the plate was spun in a swinging-bucket centrifuge (Centrifuge 5910 Ri; eppendorf, Hamburg, Germany).\nSanger Sequencing by capillary electrophoresis was carried out on a SeqStudio (Life Technologies Holding; Singapore) according to manufacturer’s protocol. For specification, Medium_Seq run module and Z_BigDyeDirect DyeSet were selected.\nMethylation rates were determined with the R-based tool ABSP, analysis of bisulfite sequencing PCR, implemented by Denoulet et al. [44]. This method relies on Bisulfite Sequencing PCR (BSP) originally developed by Frommer et al. [45]. BSP is comprised of the above-described steps: DNA denaturation, bisulfite conversion, PCR amplification, and sequencing. For this study, the direct-BSP approach was used, which means there was no cloning of PCR products. For the direct-BSP, signal ratios per CpG site were calculated by dividing the C signal by the sum of C signal and T signal [44]. It should be emphasized that the forward as well as the reverse files are used for analysis, which improves validity of the results [46]. The in-silico converted sense strand was used as the reference DNA sequence. Default thresholds remained the same, besides the following exceptions: (1) the maximum base-calling error probability was set 0.01 which resulted in a quality-value of 20, (2) the minimum ratio of primary peak to consider a position as non-mixed was set to 0.70, (3) the minimum percentage of non-mixed positions in the trimmed sequence to be considered non-mixed was changed to 70%, (4) the minimum length of the trimmed sequence and (5) the minimum length of the aligned sequences were reduced to 20 bp, (6) threshold identity was set at 70, and (8) threshold conversion rate was changed to 0.80. Changes were made in accordance with standard values in SeqScape™ (Thermo Fisher Scientific, Waltham, Massachusetts).\nA mean methylation rate of CpG sites −934, −924, and −901 was calculated, termed Methyl_3.\nDue to the heterogenous sample with respect to gender (n = 55 females) and age, a test for possible covariates was conducted prior to hypotheses testing. Furthermore, the relation between age and gender was evaluated because the mean age of males was two years higher (M = 23.00, SD = 7.46) compared to the mean age of females (M = 20.65, SD = 2.04). To test possible effects of gender, t-tests for independent samples were conducted with OXTR MT2 mean methylation rates, the neuroticism score, maternal and paternal care as well as the anxiety and the avoidance scale. Pearson correlations were preformed to test for the effect of age. No significant results were found, besides a significant negative correlation between age and paternal care, r = −.242, p = .042.\nFour separate moderated meditation models were calculated, one for each hypothesis [a-d]. The following conditional effects were proposed:\nNeuroticism moderates the effect of perceived parental care, separately for father and mother, on anxious/avoidant attachment.\nMean MT2 methylation levels mediate the effect of parental care on anxious/avoidant attachment.\nNeuroticism again moderates the effect of parental care on MT2 methylation levels.\nThe PROCESS macro for SPSS (v. 4.2) model 8 was used to test the conditional process model in Fig 2 [47]. Bootstrapping was set to 5000 samples and confidence intervals were 95%. HC3 (Davidson-MacKinnon) was set for heteroscedasticity-consistent inference and continuous variables that define products were centered.\nAll statistical analyses were performed with IBM SPSS Statistics for Windows version 29 (IBM Corp., Somers, NY, USA) with a significance level of α ≤ 0.05. Bonferroni correction for hypotheses a and b as well as for hypotheses c and d was applied because of the high intercorrelation between attachment anxiety and attachment avoidance.\n\n\n### Questionnaires\nParental behavior was measured with the German version [36] of the PBI [26]. The PBI consists of two questionnaires, one regarding the mother and one regarding the father, with 25 identical items each. It investigates retrospective perception of Parental Care (12 items) and Overprotection (13 items) in the first 16 years of life. The German version of the PBI has been validated for the two-factor (care and overprotection) as well as the three-factor (care, denial of psychological autonomy, and encouragement of behavioral freedom) solution [36]. In the present study the two-factor solution was used. Only participants who completed the questionnaire for both, mother and father, were considered. All scales showed good internal consistency (Cronbach’s α): Maternal Care α = .907, Maternal Overprotection α = .927, Paternal Care α = .939, and Paternal Overprotection α = .918.\nAttachment was measured using the German version [37] of the Attachment Style Questionnaire (ASQ, [38]). The ASQ consists of 40 items in total, resulting in five scales: Confidence (eight items), Discomfort with Closeness (ten items), Need for Approval (seven items), Preoccupation with Relationships (eight items), and Relationships as Secondary (seven items). Discomfort with Closeness and Relationships as Secondary can be summarized as avoidant attachment. Anxious attachment, on the other hand, consists of Need for Approval and Preoccupation with Relationships. Again, for the given sample, all ASQ scales showed good internal consistency (Cronbach’s α): Confidence α = .911, Discomfort with Closeness α = .847, Need for Approval α = .748, Preoccupation with Relationships α = .749, and Relationships as Secondary α = .761.\nTo assess the big five personality factors, the German version [39] of the NEO Five-Factor-Inventory (NEO-FFI, [40]) was used. The NEO-FFI consists of a total of 60 items, 12 items per personality factor. The scales display good internal consistency (Cronbach’s α), except for Agreeableness: Neuroticism α = .806, Extraversion α = .837, Openness for Experiences α = .826, Agreeableness α = .623, and Conscientiousness α = .881.\n\n\n### DNA sampling\nParticipants provided buccal cell swaps for further analysis. According to Theda et al. [41] methylation rates in buccal cell swabs are ectodermal in origin, which means that the cell content is more similar to brain tissue than the cell content of blood samples. Furthermore, buccal swabs have less between-sample variation than saliva samples. Thus, buccal swabs are considered an appropriate source for methylation analysis [41], especially in the OXTR [42].\nPurification of genomic DNA was performed with a standard commercial kit (QIAamp DNA Mini Kit, catalog no. 51306; QIAGEN, Hilden, Germany) in a QIACube (QIAGEN; Hilden, Germany), according to the manufacturer’s protocol. Following, the DNA was quantified using NanoPhotometer™ Pearl P 300 (Implen GmbH; Munich, Germany). Only samples with an A260/A280 ratio between 1.7 and 1.9 were processed. The samples were stored at 4°C until bisulfite conversion.\n\n\n### Bisulfite conversion\nBisulfite conversion was performed with EpiTect Fast DNA Bisulfite Kit (QIAGEN, catalog no. 59826; Hilden, Germany) in a QIACube (QIAGEN; Hilden, Germany). The low-concentration approach in the setup of the bisulfite reactions was used for all samples. For thermal cycling, the Mastercycler 5333 (eppendorf; Hamburg, Germany) was used. Bisulfite conversion thermal cycler conditions were slightly modified according to recommendations in the manual: the 60°C cycle time was extended to 20 minutes, resulting in a total thermal cycler time of 60 minutes. The second step, clean-up of bisulfite converted DNA, was performed in the QIACube according to the manufacturer’s protocol. Following bisulfite treatment, methylated Cs at CpGs remain Cs, whereas unmethylated Cs at CpGs translate into uracil, later thymine (T).\n\n\n### Primer design\nMethyl Primer Express™ Software v1.0 (Applied Biosystems; Foster, USA) was used to manually design primers covering a 406 bp region of the OXTR, termed MT2. This region has proven to be functionally relevant [8]. The MT2 region is located on chromosome 3 (GRCh38: 8 769 033–8 769 438) and contains 26 CpG sites. The following primer pair for bisulfite converted DNA was used: 5’- GGAATTTTTGATTTGYGTTTT −3’ (forward) and 5’- TCCTATACCCATCCAACRAC −3’ (reverse) (Thermo Fisher Scientific, Waltham, Massachusetts). Both primers included M13 universal tails for amplification. Primers should contain a maximum number of one CpG site. The ensemble.org homepage (https://www.ensembl.org/Homo_sapiens/Location/Variant/Table?r=3:8769034-8769438) was used to check for possible single-nucleotide-polymorphisms within the complementary DNA region of primer binding.\n\n\n### Amplification & cycle sequencing\nFor amplification the BigDye© Direct Cycle Sequencing Kit (Thermo Fisher Scientific, catalog no. 4458687; Waltham, Massachusetts) was used. Forward and reverse primers were treated separately. The manufacturer’s protocol was modified as follows: 3 ng/µl instead of 4 ng/µl of bisulfite converted DNA was used. Furthermore, 0.5 µl M13-tailed PCR primer (10µM) mix per primer was added; therefore, the amount of distilled water was increased to 3.5 µl per reaction mix [43]. Thermal cycler (Mastercycler 5333, eppendorf; Hamburg, Germany) time was modified with respect to selected primers. Temperature and time are displayed in Table 1.\nCycle sequencing was performed with the indicated amount of DNA and BigDye® Direct Primer (forward and reverse separately). Thermal cycling (Mastercycler 5333, eppendorf; Hamburg, Germany) was adapted as displayed in Table 2.\n\n\n### Purification & sequencing\nPurification was performed with the DyeEx® 2.0 Spin Kit (QIAGEN, catalog no. 63206; Hilden, Germany), since mechanical purification was proven to be superior to chemical purification for the given samples. After pipetting samples on to a plate, the plate was spun in a swinging-bucket centrifuge (Centrifuge 5910 Ri; eppendorf, Hamburg, Germany).\nSanger Sequencing by capillary electrophoresis was carried out on a SeqStudio (Life Technologies Holding; Singapore) according to manufacturer’s protocol. For specification, Medium_Seq run module and Z_BigDyeDirect DyeSet were selected.\n\n\n### Analysis of methylation rates\nMethylation rates were determined with the R-based tool ABSP, analysis of bisulfite sequencing PCR, implemented by Denoulet et al. [44]. This method relies on Bisulfite Sequencing PCR (BSP) originally developed by Frommer et al. [45]. BSP is comprised of the above-described steps: DNA denaturation, bisulfite conversion, PCR amplification, and sequencing. For this study, the direct-BSP approach was used, which means there was no cloning of PCR products. For the direct-BSP, signal ratios per CpG site were calculated by dividing the C signal by the sum of C signal and T signal [44]. It should be emphasized that the forward as well as the reverse files are used for analysis, which improves validity of the results [46]. The in-silico converted sense strand was used as the reference DNA sequence. Default thresholds remained the same, besides the following exceptions: (1) the maximum base-calling error probability was set 0.01 which resulted in a quality-value of 20, (2) the minimum ratio of primary peak to consider a position as non-mixed was set to 0.70, (3) the minimum percentage of non-mixed positions in the trimmed sequence to be considered non-mixed was changed to 70%, (4) the minimum length of the trimmed sequence and (5) the minimum length of the aligned sequences were reduced to 20 bp, (6) threshold identity was set at 70, and (8) threshold conversion rate was changed to 0.80. Changes were made in accordance with standard values in SeqScape™ (Thermo Fisher Scientific, Waltham, Massachusetts).\nA mean methylation rate of CpG sites −934, −924, and −901 was calculated, termed Methyl_3.\n\n\n### Statistical analysis\nDue to the heterogenous sample with respect to gender (n = 55 females) and age, a test for possible covariates was conducted prior to hypotheses testing. Furthermore, the relation between age and gender was evaluated because the mean age of males was two years higher (M = 23.00, SD = 7.46) compared to the mean age of females (M = 20.65, SD = 2.04). To test possible effects of gender, t-tests for independent samples were conducted with OXTR MT2 mean methylation rates, the neuroticism score, maternal and paternal care as well as the anxiety and the avoidance scale. Pearson correlations were preformed to test for the effect of age. No significant results were found, besides a significant negative correlation between age and paternal care, r = −.242, p = .042.\nFour separate moderated meditation models were calculated, one for each hypothesis [a-d]. The following conditional effects were proposed:\nNeuroticism moderates the effect of perceived parental care, separately for father and mother, on anxious/avoidant attachment.\nMean MT2 methylation levels mediate the effect of parental care on anxious/avoidant attachment.\nNeuroticism again moderates the effect of parental care on MT2 methylation levels.\nThe PROCESS macro for SPSS (v. 4.2) model 8 was used to test the conditional process model in Fig 2 [47]. Bootstrapping was set to 5000 samples and confidence intervals were 95%. HC3 (Davidson-MacKinnon) was set for heteroscedasticity-consistent inference and continuous variables that define products were centered.\nAll statistical analyses were performed with IBM SPSS Statistics for Windows version 29 (IBM Corp., Somers, NY, USA) with a significance level of α ≤ 0.05. Bonferroni correction for hypotheses a and b as well as for hypotheses c and d was applied because of the high intercorrelation between attachment anxiety and attachment avoidance.\n\n\n### Results\nMethylation at the relevant CpG sites −901, −924, and −934 were generally higher compared to those reported in other studies. Fig 3 displays the frequency distributions of the relevant CpG sites. For illustration purposes, Fig 4 shows sequencing plots of four different and characteristic participants.\nNumbering relative to transcription start site in the oxytocin receptor gene.\nExemplary for four participants (A-D). Cytosine, C, indicates methylated CpG sites, while Y (cytosine or thymine) indicates partial methylation. The peak for mixed base detection was set to ≥ 25% in relation to the higher peak. CpG site -901 is displayed as solid line, CpG site -924 is displayed as dashed line, and CpG site -934 is shown by the dotted line.\nBased on the study by Danoff et al. [11] who postulated that the CpG sites −901, −924, and −934 are highly correlated, we checked for the intercorrelation between the three CpG sites (see Table 3). The intercorrelations obtained were not as high as stated by Danoff et al. [11]. Based on the literature, we still aggregated CpG sites −901, −924, and −934 into one variable (Methyl_3), because this cluster is most sensitive to experiences early in life and seems to be responsible for regulation of the OXTR gene expression [11]. So, Methyl_3 was used for further analyses. Additionally, the proposed moderated mediation model was already complex enough when focusing on Methyl_3; therefore, we did not want to calculate three different models, one for each CpG site.\nNote: ***p < .001\nTable 4 displays descriptive statistics as well as bivariate correlations between all variables in the present study.\nNote: *p < .05 **p < .01 ***p < .001\nContrary to our hypothesis, neuroticism did not influence the negative relation between perceived maternal care and attachment avoidance, F1,66(HC3) = 0.10, p = .754, ΔR² = .001, even though, the total model showed significance, F4,66(HC3) = 9.94, p < .001, ΔR² = .383. Maternal care did not predict OXTR MT2 mean methylation levels and the mediation to attachment avoidance was not significant either, F1,65(HC3) = 0.98, p = .327. However, neuroticism moderated the effect between perceived maternal care and OXTR MT2 methylation, F(1,67) = 5.33, p = .024, ΔR² = .095, 95% CI [−1.357, −0.298]. Neither perceived maternal care nor neuroticism levels had a direct effect on OXTR MT2 methylation (see Table 5). The conditional effects of the focal predictor showed that this effect was only significant among people with low neuroticism scores, t = −3.12, p = .003 (see Table 6 and Fig 5).\nNote: Standardized regression coefficients are reported. Listwise N = 71, SE (HC3) = Davidson-MacKinnon standard error; LLCI = lower-level confidence interval; ULCI = upper-level confidence interval, Bootstrap sample size = 5000; confidence interval 95%; *p < .05 **p < .01 ***p < .001\nNote: SE (HC3) = Davidson-MacKinnon standard error; LLCI = lower-level confidence interval; ULCI = upper-level confidence interval; **p < .01\nMean methylation displayed in %. Only participants with low neuroticism showed significant effects.\nNo significant effects, neither direct nor indirect, on adult attachment anxiety were detected, even though the total model showed significance, F4,66(HC3) = 12.82, p < .001, ΔR² = .452. MT2 methylation did not mediate the association between maternal care and anxious attachment, F1,65(HC3) = 0.48, p = .490, and neuroticism did not moderate the association, F1,66(HC3) = 1.74, p = .192, ΔR² = .013.\nSolely the moderation effect of neuroticism level on the effect of perceived maternal care on OXTR MT2 methylation levels was significant, as shown in hypothesis a (see Table 5, right columns, Table 6, and Fig 5). For detailed statistics, see supporting information S1 Table.\nFor paternal care and avoidant attachment, the total model was significant, F4,66(HC3) = 7.84, p < .001, ΔR² = .332. However, neuroticism did not moderate the association between paternal care and attachment anxiety, F1,66(HC3) = 0.02, p = .888, ΔR² = .000, nor did MT2 methylation mediate the association, F1,65(HC3) = 0.02, p = .901. Additionally, neuroticism did not moderate the association between paternal care and MT2 methylation, F1,67(HC3) = 0.23, p = .635, ΔR² = .003.\nFor paternal care and anxious attachment, the total model was significant as well, F4,66(HC3) = 12.74, p < .001, ΔR² = .440. However, neither did neuroticism moderate the association between paternal care and attachment anxiety, F1,66(HC3) = 0.06, p = .800, ΔR² = .001, nor did MT2 methylation mediate this association, F1,65(HC3) = 0.21, p = .646. Additionally, as proposed in hypothesis c, neuroticism did not moderate the association between paternal care and MT2 methylation, F1,67(HC3) = 0.23, p = .635, ΔR² = .003.\nFor detailed statistics see supporting information S2 Table and S3 Table.\n\n\n### Frequency distributions and intercorrelations of the relevant CpG sites\nMethylation at the relevant CpG sites −901, −924, and −934 were generally higher compared to those reported in other studies. Fig 3 displays the frequency distributions of the relevant CpG sites. For illustration purposes, Fig 4 shows sequencing plots of four different and characteristic participants.\nNumbering relative to transcription start site in the oxytocin receptor gene.\nExemplary for four participants (A-D). Cytosine, C, indicates methylated CpG sites, while Y (cytosine or thymine) indicates partial methylation. The peak for mixed base detection was set to ≥ 25% in relation to the higher peak. CpG site -901 is displayed as solid line, CpG site -924 is displayed as dashed line, and CpG site -934 is shown by the dotted line.\nBased on the study by Danoff et al. [11] who postulated that the CpG sites −901, −924, and −934 are highly correlated, we checked for the intercorrelation between the three CpG sites (see Table 3). The intercorrelations obtained were not as high as stated by Danoff et al. [11]. Based on the literature, we still aggregated CpG sites −901, −924, and −934 into one variable (Methyl_3), because this cluster is most sensitive to experiences early in life and seems to be responsible for regulation of the OXTR gene expression [11]. So, Methyl_3 was used for further analyses. Additionally, the proposed moderated mediation model was already complex enough when focusing on Methyl_3; therefore, we did not want to calculate three different models, one for each CpG site.\nNote: ***p < .001\n\n\n### Descriptive statistics of relevant variables\nTable 4 displays descriptive statistics as well as bivariate correlations between all variables in the present study.\nNote: *p < .05 **p < .01 ***p < .001\n\n\n### Maternal care and attachment avoidance; mediated by MT2 methylation levels and moderated by neuroticism (hypothesis a)\nContrary to our hypothesis, neuroticism did not influence the negative relation between perceived maternal care and attachment avoidance, F1,66(HC3) = 0.10, p = .754, ΔR² = .001, even though, the total model showed significance, F4,66(HC3) = 9.94, p < .001, ΔR² = .383. Maternal care did not predict OXTR MT2 mean methylation levels and the mediation to attachment avoidance was not significant either, F1,65(HC3) = 0.98, p = .327. However, neuroticism moderated the effect between perceived maternal care and OXTR MT2 methylation, F(1,67) = 5.33, p = .024, ΔR² = .095, 95% CI [−1.357, −0.298]. Neither perceived maternal care nor neuroticism levels had a direct effect on OXTR MT2 methylation (see Table 5). The conditional effects of the focal predictor showed that this effect was only significant among people with low neuroticism scores, t = −3.12, p = .003 (see Table 6 and Fig 5).\nNote: Standardized regression coefficients are reported. Listwise N = 71, SE (HC3) = Davidson-MacKinnon standard error; LLCI = lower-level confidence interval; ULCI = upper-level confidence interval, Bootstrap sample size = 5000; confidence interval 95%; *p < .05 **p < .01 ***p < .001\nNote: SE (HC3) = Davidson-MacKinnon standard error; LLCI = lower-level confidence interval; ULCI = upper-level confidence interval; **p < .01\nMean methylation displayed in %. Only participants with low neuroticism showed significant effects.\n\n\n### Maternal care and attachment anxiety; mediated by MT2 methylation levels and moderated by neuroticism (hypothesis b)\nNo significant effects, neither direct nor indirect, on adult attachment anxiety were detected, even though the total model showed significance, F4,66(HC3) = 12.82, p < .001, ΔR² = .452. MT2 methylation did not mediate the association between maternal care and anxious attachment, F1,65(HC3) = 0.48, p = .490, and neuroticism did not moderate the association, F1,66(HC3) = 1.74, p = .192, ΔR² = .013.\nSolely the moderation effect of neuroticism level on the effect of perceived maternal care on OXTR MT2 methylation levels was significant, as shown in hypothesis a (see Table 5, right columns, Table 6, and Fig 5). For detailed statistics, see supporting information S1 Table.\n\n\n### Paternal care and attachment avoidance and anxiety; mediated by MT2 methylation levels and moderated by neuroticism (hypotheses c and d)\nFor paternal care and avoidant attachment, the total model was significant, F4,66(HC3) = 7.84, p < .001, ΔR² = .332. However, neuroticism did not moderate the association between paternal care and attachment anxiety, F1,66(HC3) = 0.02, p = .888, ΔR² = .000, nor did MT2 methylation mediate the association, F1,65(HC3) = 0.02, p = .901. Additionally, neuroticism did not moderate the association between paternal care and MT2 methylation, F1,67(HC3) = 0.23, p = .635, ΔR² = .003.\nFor paternal care and anxious attachment, the total model was significant as well, F4,66(HC3) = 12.74, p < .001, ΔR² = .440. However, neither did neuroticism moderate the association between paternal care and attachment anxiety, F1,66(HC3) = 0.06, p = .800, ΔR² = .001, nor did MT2 methylation mediate this association, F1,65(HC3) = 0.21, p = .646. Additionally, as proposed in hypothesis c, neuroticism did not moderate the association between paternal care and MT2 methylation, F1,67(HC3) = 0.23, p = .635, ΔR² = .003.\nFor detailed statistics see supporting information S2 Table and S3 Table.\n\n\n### Discussion\nWe investigated the associations among perceived parental care, OXTR MT2 methylation rates, adult anxious and avoidant attachment, and neuroticism. In contrast to previous studies, we looked at perceived maternal and paternal care separately, to obtain a more nuanced picture. Results point into the direction that only perceived maternal care was associated with adult attachment, more precisely, only with avoidant attachment. Neither mean OXTR MT2 methylation rate as a mediator, nor neuroticism as a moderator influenced the effect of perceived maternal care on adult avoidant attachment. However, neuroticism significantly altered the association between perceived maternal care and mean MT2 methylation rates: individuals with low levels of neuroticism showed increased levels of MT2 methylation levels, but only when perceived maternal care was low. When perceived maternal care was high, MT2 methylation rates were lower compared to when perceived maternal care was low. The next sections will discuss the main findings in detail. One has to keep in mind the exploratory and preliminary nature of the study.\nThe results are in line with existing literature relating perceived parenting to attachment styles [23, 48]. Across all analyses, only maternal care was negatively associated with avoidance. This corresponds with a study by Fossati et al. [49]. They found a negative association between parental care and avoidant attachment but not anxious attachment. One explanation might be that individuals, who perceived their parents as less warm and understanding, develop less trusting attachment patterns and tend to avoid intimacy [49, 50]. As Fossati et al. [49] proposed, we looked at the underlying scales that compose attachment avoidance, namely Relationships as Secondary and Discomfort with Closeness, to get a more nuanced understanding of the results. Discomfort with Closeness closely resembles Hazan and Shaver’s [51] concept of attachment avoidance, while Relationships as Secondary is more closely related to dismissing attachment as conceptualized by Bartholomew and Horowitz [25]. Conducting the same analysis as for hypothesis a both, Discomfort with Closeness, F4,66(HC3) = 7.80, p < .001, ΔR² = .443, and Relationships as Secondary, F4,66(HC3) = 5.10, p = .001, ΔR² = .154, revealed overall significant models. For Discomfort with Closeness no moderating effect of neuroticism on the association between parental care and MT2 methylation or the mediation of this association was shown. However, all predictors showed significant associations with Discomfort with Closeness (see supporting information S3 Table). For Relationships as Secondary, again, no moderation effect of neuroticism and no mediation effect of MT2 methylation was found. Only maternal care was a predictor for Relationships as Secondary (see supporting information S4 Table). Since Discomfort with Closeness resembles avoidant attachment, as conceptualized by Hazan and Shaver [51], the results are comparable to Ebner et al. [17]. We found a negative effect of MT2 methylation and Discomfort with Closeness in the same direction as Ebner et al. [17]. Ein-Dor et al. [18] found a positive association between attachment avoidance and OXTR promotor methylation. Overall, this emphasizes the use of an even more nuanced approach when it comes to studies regarding attachment, because small differences in meaning, for example different questionnaires, can have an impact on the overall interpretation. Furthermore, the results illustrate the importance of methodological considerations to ensure comparability between studies. Additionally, one has to keep in mind that attachment styles are not categorial, but rather dimensional [38, 50]. Avoidance and anxiety show a weak correlation; therefore, people can score high (or low) on both, resulting in multiple different forms of insecure attachment, which makes it even more complex.\nThe result that perceived maternal care has a larger impact than paternal care, was not surprising; however, we did not expect to find a total lack of effects for paternal care in our sample. The different influence mothers have in relation to fathers is well established, for example, in the model of transgenerational transmission, as stated by Verhage et al. [22]. This can be due to the fact that, traditionally, mothers were the main caregivers, while fathers went to work to provide for the family. In recent years, this family model was outpaced by more diverse models, for example stay-at-home fathers or rainbow families. Therefore, in future studies participants should be asked to characterize their family model, to make sure the results can be interpreted correctly. Yaffe [52] revealed in his systematic review that a majority of studies found significant differences between mothers and fathers in overall parenting. Namely, mothers tend to be more caring and warm, but also controlling, whereas fathers are more harsh and restrictive. This is in line with our results: maternal care was rated higher than paternal care. We did not consider the control scale of the PBI. Additionally, several studies found a gender of the parent x gender of the offspring interaction. For example, Huang et al. [53] revealed that male descendants tend to perceives mother and father as more authoritarian (emotionally distant and strictly controlling – less favorable), while daughters tend to rate their parents as more authoritative (highly demanding and responsive – overall favorable). Because of the unbalanced gender distribution of the sample, we did not conduct gender of the parent x gender of the offspring interactions. However, future studies should consider gender-role theories. Overall, the null finding for paternal care is still somewhat unexpected and has to be examined in greater detail.\nThe effect of negative childhood experiences on MT2 methylation has been shown in numerous studies (e.g., [15, 54]). So far, there are only two studies looking at the effect of positive experiences in childhood, more precisely high perceived maternal care, and its effects on OXTR methylation. Unternaehrer et al. [55] revealed a direct effect of maternal care, measured by the PBI, on OXTR methylation. The results of our study do not match the results by Unternaehrer et al. [55], since no direct effect of maternal care on OXTR methylation was found, which might be due to the fact that the region of interests slightly differed. Our study focused on the MT2 region, a 406 bp long region at the beginning of the CpG island in the OXTR, whereas Unternaehrer et al. [55] examined the effects of parental care on regions covering mainly exon 3, which is located at the end of the CpG island. Consequently, future research should be precise when presenting results with regard to oxytocin, because differences in the region of interest can have an impact on the results and their interpretation. The other study by Krol, Moulder et al. [14] also found a direct effect of maternal care on the infant’s OXTR methylation. They conducted a longitudinal study, following infants and their mothers from the age of five months up to 18 months. Mothers completed questionnaires and mother-infant dyads were observed during play behavior at five months of age. Within this sensitive period, the way the mother behaved towards its infant affected OXTR methylation in the infant – the infant’s methylation levels changed in relation to maternal care. Infants who experienced more maternal care at five months had reduced methylation levels with 18 months, which speaks in favor of a sensitive period in development around the age of five months. Our study was conducted on psychology students with a mean age of about 21 years of age. The PBI aims to retrospectively and subjectively assess parental behavior separately for mother and father up to 16 years of age [26]. Although there is literature [56], showing that the PBI displays good stability over the course of 20 years, the participants subjective perception of their parents might have changed in late adolescence and early adulthood. Furthermore, there might have been major life-events in this period, which could have affected, even subconsciously, the evaluation. Another possible explanation might be that a reference person changes over the lifespan. During childhood, parents are the main influence for children, but during adolescence, the focus shifts from parents to peers as role models [57]. Since methylation is a dynamic process, it might be the case that experiences besides parental engagement have an effect on the level of methylation, which confounded the initial association found in a study conducted with children [14, 55]. In our study, the association between maternal care and MT2 methylation was negative, as expected, but not significant, p = .088; however, the trend went into the assumed direction. Additionally, it should be mentioned that MT2 methylation shared a positive association with attachment avoidance, even though this path was not significant (see Table 5). This trend is in accordance with the literature as well, because increased methylation may lead to decreased OXTR function, with is related to insecure attachment [17, 18].\nNext, the potentially different influences of experiences within and outside of the family will be discussed. To differentiate between experiences within a family and experiences outside of the family, Li et al. [58] conducted a study on monozygotic and dizygotic twins. They revealed that, at birth, monozygotic and dizygotic twins had a methylation rate correlation of zero, comparable to unrelated samples. However, the longer twin pairs lived together, the more similar their methylation rates became, with a peak at the age of 18 years. After leaving the shared environment, the correlation of methylation rates decreased dramatically, which emphasizes the effects of early childhood but also the fact that non-shared environment in adulthood does have an influence on methylation [58]. This is in line with the assumption that experiences the participants gain in adolescents or early adulthood might, to some extent, override, or at least strongly influence, the initial experiences in childhood. As a result, methylation rates might have changed. On the other side, Dunn et al. [59] emphasized that the timing of exposure to a certain event plays a significant role for DNA methylation. Their results showed that in early childhood (before the age of 3 years) all types of adverse experiences had an effect on DNA methylation, whereas at an older age only severe adverse experiences influence methylation. This sensitive period in early years seems to be maximal susceptible to environmental influences and, moreover, gene specific [59]. No study so far has looked at positive experiences; however, it can be assumed that children in early developmental stages are more sensitive to negative as well as positive experiences, characterizing this peak in plasticity. Thus, the PBI might not be the appropriate survey method, since active memory recall starts around the age of two and a half years [60]. At this point the developmental phase in which all severity levels of experiences have an influence is, according to Dunn et al. [59], almost over.\nConcluding, our results show first indications for an interaction of maternal care, MT2 methylation, and attachment which goes in the expected direction but is not significant. A possible explanation might be the large time gap between the predictor, maternal care, and the measuring of this construct. Furthermore, life-events between childhood and the time of the survey should have been accounted. Nevertheless, it is probable that experiences in childhood have an influence on MT2 methylation rates.\nThe notion that adult attachment styles are influenced by experiences in childhood goes back to Bowlby [61]. However, to the best of our knowledge, no study so far accounted for the child’s personality, which has a genetic contribution of about 40% [29]. Therefore, it should be considered, because the way parents act towards their child also depends on how the child acts towards them (active gene x environment correlation). Besides genetics, early environmental influences, especially through parental behavior, might impact personality. Perceived parental behavior and personality may interactively contribute to changes in OXTR methylation.\nFor all analyses, neuroticism was positively correlated with attachment avoidance and attachment anxiety. This is in line with results by Hannuschke et al. [62], showing that high neuroticism scores were associated with decreased subjective relationship satisfaction, and results by Noftle and Shaver [63], who found a positive association between neuroticism and insecure attachment. According to the Differential Susceptibility Model [64], people respond differently to environmental influences. Individuals who are sensitive and responsive flourish when they experience positive environmental influences, but they also have more negative outcomes when experiencing negative impacts. People being less sensitive, vary less in response to different environmental influences [65]. A similar concept, the sensory processing sensitivity (SPS) overlaps to some extent with the Differential Susceptibility Model; however, the SPS states that differences in environmental susceptibility are due to inter-individual differences in temperament and personality, characterized by a greater depth of information processing and a highly sensitive nervous system, sharing a positive correlation with neuroticism [66]. People high in SPS are easily overstimulated, whereas people with low SPS scores actively search for social stimulation [67]. With respect to the present study, participants with low neuroticism scores might have actively searched for their parents’ influential behavior to compensate for their lower sensitivity, making them react more to both high and low maternal care (Fig 5).\nOne point to consider is that we did not pre-screen our sample for any exclusion criteria, for example unreported psychiatric conditions. The main reason for that is our focus on neuroticism as a key variable in this study. Many psychiatric conditions, for example anxiety or depression, are linked to neuroticism [68]. Our goal was to have as much variance in neuroticism as possible. Additionally, excluding participants with high neuroticism scores would limit generalizability, since it does not represent the general population.\nWilson and Durbin [69] showed that children with low neuroticism scores experienced more warm and structured parenting and overall more positive interactions, while children with high neuroticism scores had less responsive parents. In our exploratory study, the combination of maternal care and low neuroticism went in the expected direction, namely people with low neuroticism and high maternal care displayed decreased methylation, which is assumed to be favorable, whereas low neuroticism and low maternal care was associated with high MT2 methylation (see Fig 5). The opposite trend was shown for people with high neuroticism scores. For medium maternal care, there was almost no difference in MT2 methylation rates between people with high versus people with low neuroticism scores. To sum up, the child’s personality may act as the moderating factor between perceived maternal care and MT2 methylation.\nHowever, not only the way the child behaves towards their mother but the other way around is also important. Because of the high genetic component of personality [29] and the fact that the whole sample was reared by their biological parents, it can be assumed that mothers, to some extent, share personality characteristics with their child. Smith et al. [70] conducted a study with 30–36 months old toddlers and their mothers, claiming that toddlers with more warm and responsive mothers, which is an indicator low neuroticism scores in the mothers, displayed more positive emotions, which in turn facilitate positive interactions between mother and child [71]. This emphasizes the importance of maternal parenting behavior. To conclude, we assume people with low neuroticism scores to have biological mothers with low neuroticism scores as well, which facilitates their interaction, resulting in a decrease of MT2 methylation, when mothers display favorable parenting behavior and increased MT2 methylation, when mothers are less caring. To support this assumption, future studies should collect more information about mothers (or the primary caregiver being studied), for example childhood experiences, life-events, or attachment style.\nOne strength of the present study is that we used both the forward and the reverse primer for methylation analysis, as recommended by Rubino et al. [46]. However, there are limitations regarding the analysis. First, we did not use triplets, as proposed by the ABSP tool, but we checked for reliability with a subset of samples. Except for one sample, all samples showed good re-test reliability (see supporting information S6 Table). Another strength of the study was the theory-based approach. Unlike genome-wide association studies or epigenome-wide association studies our research question was based on previous studies, for example the focus on 3’-sites of the MT2 region, whose functional significance was shown [11]. The assessment of neuroticism, attachment, and perceived parental behavior relied solely on self-reports. We chose the ASQ to gather information about adult attachment. According to Jewell et al. [72] there are attachment measure which have more adequate measurement properties, for example the Inventory of Parent and Peer Attachment. Nevertheless, because of the longitudinal design of the data collection – the same questionnaires were applicated to first year psychology students every year over a time span for at least 7 years, we used the ASQ, even though it has limitations, namely not sufficient structural validity [72]. For personality, self-reports are the main base of information; however, there are studies suggesting the use of informant-reports from partner, close friends, or family to avoid biases [73]. For parental behavior, parents’ evaluation of the atmosphere within the family might be interesting as well. Additionally, if siblings are present, their assessment might be of relevance to get a more comprehensive picture. Despite the PBI being a widely used and well-established questionnaire, our sample had a wide age (18–48 years). It has to be pointed out that the majority of participants were between 18 and 28 years, only one participant was 48 years of age. Wilhelm and colleagues [56] conducted a study, showing that the perception of parental care is stable over a 20 year period. Therefore, the assessment of parental care of the 48-year-old participant might not be as accurate as the assessment of younger participant. However, due to the already small sample size, we decided not to exclude this participant.\nIn future studies, data regarding the actual family model should be collected, for example, who was the primary caregiver, how many siblings are in a family, whether it is a patchwork or rainbow family, and so forth. Other potential influences, like certain life-events, birth order, or socioeconomic status, should be queried and put into relation. A much bigger sample is necessary to divide people into different groups depending on their family model. It would be interesting to see if the primary caregiver has more impact or if the impact depends on the gender of the child or the gender of the caregiver. Several studies found an interaction between MT2 methylation and OXTR rs53576 genotype (for a review, see Prata and Silva [74]). Our study did not find any interactional effects, which might be due to the small sample size. A bigger sample also provides the chance to include primary caregivers divided into certain attachment styles, to further elaborate on the theory of intergenerational transmission. In order to do that the primary caregiver’s childhood experiences, methylation status and attachment styles should be collected. Furthermore, the time frame of the PBI is presumably too broad to get a nuanced picture of the effects of parental care on methylation. Future studies should narrow the time frame and, more importantly, should consider sensitive periods in development [59]. Finally, methylation analyses are still new in the field of psychology and were introduced with high euphoria. However, many important questions are still unanswered. First, most approaches are correlational in nature, meaning that psychological constructs (e.g., parental behavior) cannot be interpreted as causing methylation. Second, methylation patterns might differ between certain cell types. Although a correlation between methylation patterns in buccal cells and neurons has been described [41], functional differences can be expected. The dynamics of methylation and demethylation are completely unknown but of course extremely important when looking at critical experiences and their ongoing impact. Longitudinal studies are needed to get the required information for changes in methylation or, more general, for stability of methylation patterns.\nThe large drop-out, the initial sample had N = 367 participants, whereas the final sample consisted of N = 71, is another limitation of the present study, because systematic selection bias could have happened. Most of the drop-out was due to incomplete questionnaires (n = 197). Participants with poor relationships with their parents might have terminated the survey, because they simply did not want to share information about their relationship with their parents. Therefore, the final sample might be biased on people who like to share information about their relationship with their parents, which limits generalizability. Another limitation regarding the sample is its homogeneity. The sample mainly consists of Caucasian females about 21 years of age, who study psychology. This is a really narrow population group; therefore, results have to be interpreted with caution. However, Ferber [75], states that a convenience sample is sufficient for preliminary and exploratory studies to get a first overview before spending a lot of money on a representative sample. Finally, the small sample size significantly impacts the statistical power of the moderated mediation model. This has several implications. First, due to the insufficient data small differences could not be detected. Second, the significant association, which was found, might not reflect a true effect. Third, the reproducibility of results might be limited, especially when conducting the study with a more heterogeneous group. Therefore, the present results are only exploratory and have to be replicated in a much larger and more diverse sample.\n\n\n### Perceived parental behavior and adult attachment\nThe results are in line with existing literature relating perceived parenting to attachment styles [23, 48]. Across all analyses, only maternal care was negatively associated with avoidance. This corresponds with a study by Fossati et al. [49]. They found a negative association between parental care and avoidant attachment but not anxious attachment. One explanation might be that individuals, who perceived their parents as less warm and understanding, develop less trusting attachment patterns and tend to avoid intimacy [49, 50]. As Fossati et al. [49] proposed, we looked at the underlying scales that compose attachment avoidance, namely Relationships as Secondary and Discomfort with Closeness, to get a more nuanced understanding of the results. Discomfort with Closeness closely resembles Hazan and Shaver’s [51] concept of attachment avoidance, while Relationships as Secondary is more closely related to dismissing attachment as conceptualized by Bartholomew and Horowitz [25]. Conducting the same analysis as for hypothesis a both, Discomfort with Closeness, F4,66(HC3) = 7.80, p < .001, ΔR² = .443, and Relationships as Secondary, F4,66(HC3) = 5.10, p = .001, ΔR² = .154, revealed overall significant models. For Discomfort with Closeness no moderating effect of neuroticism on the association between parental care and MT2 methylation or the mediation of this association was shown. However, all predictors showed significant associations with Discomfort with Closeness (see supporting information S3 Table). For Relationships as Secondary, again, no moderation effect of neuroticism and no mediation effect of MT2 methylation was found. Only maternal care was a predictor for Relationships as Secondary (see supporting information S4 Table). Since Discomfort with Closeness resembles avoidant attachment, as conceptualized by Hazan and Shaver [51], the results are comparable to Ebner et al. [17]. We found a negative effect of MT2 methylation and Discomfort with Closeness in the same direction as Ebner et al. [17]. Ein-Dor et al. [18] found a positive association between attachment avoidance and OXTR promotor methylation. Overall, this emphasizes the use of an even more nuanced approach when it comes to studies regarding attachment, because small differences in meaning, for example different questionnaires, can have an impact on the overall interpretation. Furthermore, the results illustrate the importance of methodological considerations to ensure comparability between studies. Additionally, one has to keep in mind that attachment styles are not categorial, but rather dimensional [38, 50]. Avoidance and anxiety show a weak correlation; therefore, people can score high (or low) on both, resulting in multiple different forms of insecure attachment, which makes it even more complex.\nThe result that perceived maternal care has a larger impact than paternal care, was not surprising; however, we did not expect to find a total lack of effects for paternal care in our sample. The different influence mothers have in relation to fathers is well established, for example, in the model of transgenerational transmission, as stated by Verhage et al. [22]. This can be due to the fact that, traditionally, mothers were the main caregivers, while fathers went to work to provide for the family. In recent years, this family model was outpaced by more diverse models, for example stay-at-home fathers or rainbow families. Therefore, in future studies participants should be asked to characterize their family model, to make sure the results can be interpreted correctly. Yaffe [52] revealed in his systematic review that a majority of studies found significant differences between mothers and fathers in overall parenting. Namely, mothers tend to be more caring and warm, but also controlling, whereas fathers are more harsh and restrictive. This is in line with our results: maternal care was rated higher than paternal care. We did not consider the control scale of the PBI. Additionally, several studies found a gender of the parent x gender of the offspring interaction. For example, Huang et al. [53] revealed that male descendants tend to perceives mother and father as more authoritarian (emotionally distant and strictly controlling – less favorable), while daughters tend to rate their parents as more authoritative (highly demanding and responsive – overall favorable). Because of the unbalanced gender distribution of the sample, we did not conduct gender of the parent x gender of the offspring interactions. However, future studies should consider gender-role theories. Overall, the null finding for paternal care is still somewhat unexpected and has to be examined in greater detail.\n\n\n### Methylation and (childhood) experiences\nThe effect of negative childhood experiences on MT2 methylation has been shown in numerous studies (e.g., [15, 54]). So far, there are only two studies looking at the effect of positive experiences in childhood, more precisely high perceived maternal care, and its effects on OXTR methylation. Unternaehrer et al. [55] revealed a direct effect of maternal care, measured by the PBI, on OXTR methylation. The results of our study do not match the results by Unternaehrer et al. [55], since no direct effect of maternal care on OXTR methylation was found, which might be due to the fact that the region of interests slightly differed. Our study focused on the MT2 region, a 406 bp long region at the beginning of the CpG island in the OXTR, whereas Unternaehrer et al. [55] examined the effects of parental care on regions covering mainly exon 3, which is located at the end of the CpG island. Consequently, future research should be precise when presenting results with regard to oxytocin, because differences in the region of interest can have an impact on the results and their interpretation. The other study by Krol, Moulder et al. [14] also found a direct effect of maternal care on the infant’s OXTR methylation. They conducted a longitudinal study, following infants and their mothers from the age of five months up to 18 months. Mothers completed questionnaires and mother-infant dyads were observed during play behavior at five months of age. Within this sensitive period, the way the mother behaved towards its infant affected OXTR methylation in the infant – the infant’s methylation levels changed in relation to maternal care. Infants who experienced more maternal care at five months had reduced methylation levels with 18 months, which speaks in favor of a sensitive period in development around the age of five months. Our study was conducted on psychology students with a mean age of about 21 years of age. The PBI aims to retrospectively and subjectively assess parental behavior separately for mother and father up to 16 years of age [26]. Although there is literature [56], showing that the PBI displays good stability over the course of 20 years, the participants subjective perception of their parents might have changed in late adolescence and early adulthood. Furthermore, there might have been major life-events in this period, which could have affected, even subconsciously, the evaluation. Another possible explanation might be that a reference person changes over the lifespan. During childhood, parents are the main influence for children, but during adolescence, the focus shifts from parents to peers as role models [57]. Since methylation is a dynamic process, it might be the case that experiences besides parental engagement have an effect on the level of methylation, which confounded the initial association found in a study conducted with children [14, 55]. In our study, the association between maternal care and MT2 methylation was negative, as expected, but not significant, p = .088; however, the trend went into the assumed direction. Additionally, it should be mentioned that MT2 methylation shared a positive association with attachment avoidance, even though this path was not significant (see Table 5). This trend is in accordance with the literature as well, because increased methylation may lead to decreased OXTR function, with is related to insecure attachment [17, 18].\nNext, the potentially different influences of experiences within and outside of the family will be discussed. To differentiate between experiences within a family and experiences outside of the family, Li et al. [58] conducted a study on monozygotic and dizygotic twins. They revealed that, at birth, monozygotic and dizygotic twins had a methylation rate correlation of zero, comparable to unrelated samples. However, the longer twin pairs lived together, the more similar their methylation rates became, with a peak at the age of 18 years. After leaving the shared environment, the correlation of methylation rates decreased dramatically, which emphasizes the effects of early childhood but also the fact that non-shared environment in adulthood does have an influence on methylation [58]. This is in line with the assumption that experiences the participants gain in adolescents or early adulthood might, to some extent, override, or at least strongly influence, the initial experiences in childhood. As a result, methylation rates might have changed. On the other side, Dunn et al. [59] emphasized that the timing of exposure to a certain event plays a significant role for DNA methylation. Their results showed that in early childhood (before the age of 3 years) all types of adverse experiences had an effect on DNA methylation, whereas at an older age only severe adverse experiences influence methylation. This sensitive period in early years seems to be maximal susceptible to environmental influences and, moreover, gene specific [59]. No study so far has looked at positive experiences; however, it can be assumed that children in early developmental stages are more sensitive to negative as well as positive experiences, characterizing this peak in plasticity. Thus, the PBI might not be the appropriate survey method, since active memory recall starts around the age of two and a half years [60]. At this point the developmental phase in which all severity levels of experiences have an influence is, according to Dunn et al. [59], almost over.\nConcluding, our results show first indications for an interaction of maternal care, MT2 methylation, and attachment which goes in the expected direction but is not significant. A possible explanation might be the large time gap between the predictor, maternal care, and the measuring of this construct. Furthermore, life-events between childhood and the time of the survey should have been accounted. Nevertheless, it is probable that experiences in childhood have an influence on MT2 methylation rates.\n\n\n### The role of neuroticism\nThe notion that adult attachment styles are influenced by experiences in childhood goes back to Bowlby [61]. However, to the best of our knowledge, no study so far accounted for the child’s personality, which has a genetic contribution of about 40% [29]. Therefore, it should be considered, because the way parents act towards their child also depends on how the child acts towards them (active gene x environment correlation). Besides genetics, early environmental influences, especially through parental behavior, might impact personality. Perceived parental behavior and personality may interactively contribute to changes in OXTR methylation.\nFor all analyses, neuroticism was positively correlated with attachment avoidance and attachment anxiety. This is in line with results by Hannuschke et al. [62], showing that high neuroticism scores were associated with decreased subjective relationship satisfaction, and results by Noftle and Shaver [63], who found a positive association between neuroticism and insecure attachment. According to the Differential Susceptibility Model [64], people respond differently to environmental influences. Individuals who are sensitive and responsive flourish when they experience positive environmental influences, but they also have more negative outcomes when experiencing negative impacts. People being less sensitive, vary less in response to different environmental influences [65]. A similar concept, the sensory processing sensitivity (SPS) overlaps to some extent with the Differential Susceptibility Model; however, the SPS states that differences in environmental susceptibility are due to inter-individual differences in temperament and personality, characterized by a greater depth of information processing and a highly sensitive nervous system, sharing a positive correlation with neuroticism [66]. People high in SPS are easily overstimulated, whereas people with low SPS scores actively search for social stimulation [67]. With respect to the present study, participants with low neuroticism scores might have actively searched for their parents’ influential behavior to compensate for their lower sensitivity, making them react more to both high and low maternal care (Fig 5).\nOne point to consider is that we did not pre-screen our sample for any exclusion criteria, for example unreported psychiatric conditions. The main reason for that is our focus on neuroticism as a key variable in this study. Many psychiatric conditions, for example anxiety or depression, are linked to neuroticism [68]. Our goal was to have as much variance in neuroticism as possible. Additionally, excluding participants with high neuroticism scores would limit generalizability, since it does not represent the general population.\n\n\n### Methylation and personality\nWilson and Durbin [69] showed that children with low neuroticism scores experienced more warm and structured parenting and overall more positive interactions, while children with high neuroticism scores had less responsive parents. In our exploratory study, the combination of maternal care and low neuroticism went in the expected direction, namely people with low neuroticism and high maternal care displayed decreased methylation, which is assumed to be favorable, whereas low neuroticism and low maternal care was associated with high MT2 methylation (see Fig 5). The opposite trend was shown for people with high neuroticism scores. For medium maternal care, there was almost no difference in MT2 methylation rates between people with high versus people with low neuroticism scores. To sum up, the child’s personality may act as the moderating factor between perceived maternal care and MT2 methylation.\nHowever, not only the way the child behaves towards their mother but the other way around is also important. Because of the high genetic component of personality [29] and the fact that the whole sample was reared by their biological parents, it can be assumed that mothers, to some extent, share personality characteristics with their child. Smith et al. [70] conducted a study with 30–36 months old toddlers and their mothers, claiming that toddlers with more warm and responsive mothers, which is an indicator low neuroticism scores in the mothers, displayed more positive emotions, which in turn facilitate positive interactions between mother and child [71]. This emphasizes the importance of maternal parenting behavior. To conclude, we assume people with low neuroticism scores to have biological mothers with low neuroticism scores as well, which facilitates their interaction, resulting in a decrease of MT2 methylation, when mothers display favorable parenting behavior and increased MT2 methylation, when mothers are less caring. To support this assumption, future studies should collect more information about mothers (or the primary caregiver being studied), for example childhood experiences, life-events, or attachment style.\n\n\n### Limitations & future directions\nOne strength of the present study is that we used both the forward and the reverse primer for methylation analysis, as recommended by Rubino et al. [46]. However, there are limitations regarding the analysis. First, we did not use triplets, as proposed by the ABSP tool, but we checked for reliability with a subset of samples. Except for one sample, all samples showed good re-test reliability (see supporting information S6 Table). Another strength of the study was the theory-based approach. Unlike genome-wide association studies or epigenome-wide association studies our research question was based on previous studies, for example the focus on 3’-sites of the MT2 region, whose functional significance was shown [11]. The assessment of neuroticism, attachment, and perceived parental behavior relied solely on self-reports. We chose the ASQ to gather information about adult attachment. According to Jewell et al. [72] there are attachment measure which have more adequate measurement properties, for example the Inventory of Parent and Peer Attachment. Nevertheless, because of the longitudinal design of the data collection – the same questionnaires were applicated to first year psychology students every year over a time span for at least 7 years, we used the ASQ, even though it has limitations, namely not sufficient structural validity [72]. For personality, self-reports are the main base of information; however, there are studies suggesting the use of informant-reports from partner, close friends, or family to avoid biases [73]. For parental behavior, parents’ evaluation of the atmosphere within the family might be interesting as well. Additionally, if siblings are present, their assessment might be of relevance to get a more comprehensive picture. Despite the PBI being a widely used and well-established questionnaire, our sample had a wide age (18–48 years). It has to be pointed out that the majority of participants were between 18 and 28 years, only one participant was 48 years of age. Wilhelm and colleagues [56] conducted a study, showing that the perception of parental care is stable over a 20 year period. Therefore, the assessment of parental care of the 48-year-old participant might not be as accurate as the assessment of younger participant. However, due to the already small sample size, we decided not to exclude this participant.\nIn future studies, data regarding the actual family model should be collected, for example, who was the primary caregiver, how many siblings are in a family, whether it is a patchwork or rainbow family, and so forth. Other potential influences, like certain life-events, birth order, or socioeconomic status, should be queried and put into relation. A much bigger sample is necessary to divide people into different groups depending on their family model. It would be interesting to see if the primary caregiver has more impact or if the impact depends on the gender of the child or the gender of the caregiver. Several studies found an interaction between MT2 methylation and OXTR rs53576 genotype (for a review, see Prata and Silva [74]). Our study did not find any interactional effects, which might be due to the small sample size. A bigger sample also provides the chance to include primary caregivers divided into certain attachment styles, to further elaborate on the theory of intergenerational transmission. In order to do that the primary caregiver’s childhood experiences, methylation status and attachment styles should be collected. Furthermore, the time frame of the PBI is presumably too broad to get a nuanced picture of the effects of parental care on methylation. Future studies should narrow the time frame and, more importantly, should consider sensitive periods in development [59]. Finally, methylation analyses are still new in the field of psychology and were introduced with high euphoria. However, many important questions are still unanswered. First, most approaches are correlational in nature, meaning that psychological constructs (e.g., parental behavior) cannot be interpreted as causing methylation. Second, methylation patterns might differ between certain cell types. Although a correlation between methylation patterns in buccal cells and neurons has been described [41], functional differences can be expected. The dynamics of methylation and demethylation are completely unknown but of course extremely important when looking at critical experiences and their ongoing impact. Longitudinal studies are needed to get the required information for changes in methylation or, more general, for stability of methylation patterns.\nThe large drop-out, the initial sample had N = 367 participants, whereas the final sample consisted of N = 71, is another limitation of the present study, because systematic selection bias could have happened. Most of the drop-out was due to incomplete questionnaires (n = 197). Participants with poor relationships with their parents might have terminated the survey, because they simply did not want to share information about their relationship with their parents. Therefore, the final sample might be biased on people who like to share information about their relationship with their parents, which limits generalizability. Another limitation regarding the sample is its homogeneity. The sample mainly consists of Caucasian females about 21 years of age, who study psychology. This is a really narrow population group; therefore, results have to be interpreted with caution. However, Ferber [75], states that a convenience sample is sufficient for preliminary and exploratory studies to get a first overview before spending a lot of money on a representative sample. Finally, the small sample size significantly impacts the statistical power of the moderated mediation model. This has several implications. First, due to the insufficient data small differences could not be detected. Second, the significant association, which was found, might not reflect a true effect. Third, the reproducibility of results might be limited, especially when conducting the study with a more heterogeneous group. Therefore, the present results are only exploratory and have to be replicated in a much larger and more diverse sample.\n\n\n### Conclusion & practical significance\nThis exploratory study provides first preliminary insights into the cumulative effect of positive early experiences, DNA methylation in the OXTR MT2 region, and neuroticism on adult attachment. The overall models incorporating anxious and avoidant attachment as well as the distinction between the effect of maternal and paternal care, were not significant. Yet, initial results show that neuroticism significantly moderates the effect of maternal care on OXTR MT2 methylation. This emphasizes the importance of gene x environment interactions for methylation studies: individual differences in children can influence the association between parental behavior and methylation levels. However, many more influences, like different family models or the stability of methylation patterns, should be addressed in future studies to get an as comprehensive picture as possible of methylation and attachment. Future studies are encouraged to change the narrative from “experiences shape certain outcomes”, to a broader perspective. Experiences in childhood and adolescence do have an effect on behavior later in life, perhaps through epigenetic changes, but more importantly, one’s personality shapes the way experiences are perceived and processed. Therefore, if an experience is associated with more or less favorable outcomes in the long run, it does not necessarily only rely on the experience itself, but rather on an interplay between personality, genetics, experiences, and many more variables. Future studies have the task of detecting as many of these variables as possible to further disentangle complex behaviors.\n\n\n### Supporting information\nMaternal care and attachment anxiety: mediated by MT2 methylation levels and moderated by neuroticism.\n(DOCX)\nPaternal care and attachment avoidance: mediated by MT2 methylation levels and moderated by neuroticism.\n(DOCX)\nPaternal care and attachment anxiety: mediated by MT2 methylation levels and moderated by neuroticism.\n(DOCX)\nMediated by MT2 methylation levels and moderated by neuroticism.\n(DOCX)\nMediated by MT2 methylation levels and moderated by neuroticism.\n(DOCX)\nBivariate correlation analysis for a subset of samples (n = 9) re-analyzed with a four-month gap in between the analyses.\n(DOCX)", "domain": "affective_neuroscience"}
{"source": "PMC12799604", "title": "The expression of father-daughter bond behaviors influences adult partner attachment in titi monkeys", "text": "# The expression of father-daughter bond behaviors influences adult partner attachment in titi monkeys\n\n## Abstract\nCoppery titi monkeys (Plecturocebus cupreus) are socially monogamous monkeys that display strong pair bonds similar to human romantic attachments, preceded by infant attachment to their fathers. To understand how father-daughter bonds impact adult relationship dynamics, we established a novel method for quantifying expression of bond-related behaviors. We assessed behavioral and neural correlates of preference, stress buffering, and separation distress to identify how females’ current and former attachment figures impact female attachment. Whereas all females (n = 9) shifted to preferring their partner over father six-months post-pairing, females that exhibited higher expression of juvenile parent preference maintained a relationship with their father six-months post-pairing, as evidenced by higher-than-expected father proximity. Higher expression of juvenile measures of proximity following a brief separation predicted slightly increased partner proximity in adulthood. Neural activity patterns in brain regions assessed pre- and post-pairing showed high similarity in glucose metabolism, despite overall activity being lower post-pairing. While there was some inconsistency in results, higher expression of juvenile proximity following a separation was associated with enhanced reduction in activity within social bonding brain regions (social salience network, periaqueductal gray, cerebellum), suggesting a potential stress buffering benefit via reduced threat-related brain activation, like that seen in high-quality human relationships. These findings advance current knowledge of how early relationships may shape adult bond-related behavior and neural activity. The online version contains supplementary material available at 10.1038/s41598-025-31143-6.\n\n## Full Text\n\n\n### Introduction\nSocial interactions regulate behavioral, psychological, and physiological processes1, with supportive relationships linked to healthier habits2, effective stress buffering1, and overall improved health, potentially contributing to increased longevity3. A lack of social connections is associated with adverse health outcomes4, including higher risks of coronary heart disease and stroke5. Social bonds are enduring, selective relationships maintained by both physiological and behavioral mechanisms6,7, as described by attachment theory8,9, and these bonds manifest through synchronized dyadic behaviors10–12 in various forms including parent-offspring bonds, pair bonds, and friendships. Pair bonds are long-lasting relationships between two unrelated adults6, characterized by a preference for partner proximity13, joint and cooperative aggression toward intruders14,15, separation distress16, and mutual stress buffering17,18. Mating supports pair bonds7,19 but is not essential for pair bond formation6. Pair bonds are often the most important social bond in an adult’s life, and understanding what factors impact variation in pair bonds may provide insights into ensuring healthier, longer lives.\nTiti monkeys (Plecturocebus spp.) are socially monogamous South American monkeys that live in small family groups20 and form pair bonds21, making them an excellent model for social bond research with human health applications. In titi monkeys, fathers are the primary attachment figures for infants22. Fathers spend more time carrying infants than mothers, which leads to a clear infant preference for paternal contact over maternal interaction22. Titi monkey infants exhibit clear signs of distress—such as vocalizations, locomotion, and elevated cortisol levels—when separated from their fathers, but not when the father is present22,23. This strong paternal attachment endures into later development, as daughters continue to show prolonged stress responses during separations that subside only upon reunion with their fathers, indicating long-lasting filial bonds24. As adults, titi monkeys form exclusive pair bonds that mimic the early filial attachment25; separation from an adult mate (also referred to as a partner, or a pair mate) triggers significant stress responses that are alleviated only upon reunion, unlike separations from other family members22,26. Although juveniles primarily rely on their fathers and adults on their partners, there is notable individual variation in attachment behaviors27–30, suggesting that differences in early infant–father relationships might influence later adult bonding patterns.\nResearch in humans shows that early attachment relationships, especially during adolescence, strongly shape initial romantic bonds31–33. For example, adolescents who experienced nurturant-involved parenting later developed warm, supportive relationships with their romatic partners34. Another study found college students who reported avoidant attachment relationships with their parents had lower scores on the Perceived Relationship Quality Scale as young adults in romatic relationships35. Titi monkeys provide experimental control as translational models to study the first transition to adult attachment. In the wild, titi monkeys gradually shift away from family groups, increasing interactions with unfamiliar conspecifics and naturally emigrating around 3–4 years of age36–39. The effect of father–daughter bonds on transitioning from natal group living to forming long-term pair bonds remains unclear, but evidence indicates that stronger early paternal attachments may predict greater partner affiliation40,41 and lower anxiety-like behaviors in adulthood41, likely via underlying neurobiological mechanisms. It is possible that early relationships may shape other aspects of adult bonds, including preference for maintaining proximity to and distress upon involuntary separation from the attachment figure.\nWhereas prairie voles have long served as the model for understanding the neural substrates of pair bonding42,43, recent neuroimaging studies in titi monkeys (including both sexes) have identified key brain regions—such as the ventral pallidum, nucleus accumbens, and lateral septum—that are integral to monogamous bonds44–47. In prairie voles, coordinated activity among oxytocin, vasopressin, and dopamine in regions like the nucleus accumbens and ventral pallidum is critical for establishing and maintaining pair bonds7, with receptor dynamics shifting to reinforce partner preference and exclude unfamiliar individuals48. Short-term separations in titi monkeys lead to decreased neural activity in regions linked to reward and stress regulation (e.g., ventral pallidum, lateral septum, paraventricular nucleus of the hypothalamus, periaqueductal gray) along with increases in oxytocin and cortisol, suggesting an interactive role between the HPA axis and attachment-related neural circuits during relationship distress49. The behavioral parallels between daughters’ attachments to their fathers and adult pair bonds imply that similar neurobiological mechanisms may underlie both types of bonds19, supporting the hypothesis that adult pair bonds may have evolved from parental attachment systems50–53. The amygdala appears to play a more prominent role in adult romantic attachment than in infant attachment; its deactivation in humans reduces social inhibition54 while lesioning in non-human primates reduces social inhibition and facilitates affiliation55, indicating that its suppression may help initiate pair bonding in adults.\nWhereas each brain region may play a unique part in supporting social interactions, it has been hypothesized that social information is encoded in a dynamic manner across networks of brain regions. As a result, behavior may be more strongly linked to patterns of neural activity across a network, rather than in any one given brain region56. One network that is hypothesized to be important for selective social attachments, like pair bonds and parent-offspring bonds, is the social salience network. This neural network has been defined and tested in pair bonding prairie voles and includes the nucleus accumbens, medial amygdala, basolateral amygdala, paraventricular nucleus of the hypothalamus, and ventral tegmental area57. The relevance of the social salience network has also been tested in juvenile and adult titi monkeys45,58, with additional brain regions included—such as the lateral septum and basal ganglia—based on their hypothesized importance for titi monkey pair bonds21. The social salience network is likely connected to the periaqueductal gray and cerebellum due to their expression of oxytocin or vasopressin receptors59,60. The periaqueductal gray has been implicated in pair bonds in titi monkeys49, humans61, and pair bonding rodents62 whereas the cerebellum has been associated with partner separation distress in titi monkeys49.\nOur understanding of the neural correlates of infant attachment—and how they compare to adult romantic attachment within the same individual—is limited, especially because most of our initial research on the neurobiology of titi monkey attachment focused on adult males. Therefore, it is critical to identify brain regions activated in parallel paradigms when titi monkey females interact with their fathers versus their partners, as the expression of father-daughter bond-related behaviors may significantly influence neural activity in regions associated with social bonding. To measure expression of father-daughter bond-related behaviors, we used the same methods as those used in previous studies from our lab29,30. Briefly, using data from historical scan samples and experimental manipulations conducted when females were infants and juveniles, we quantified 12 measures that fell into one of three categories of behaviors important for social bonds: distress upon separation from the attachment figure16, preference for maintaining close social proximity to the attachment figure13, and affiliative partner-directed behaviors6. For the present study, we defined higher expression of father-daughter bond-related behaviors as greater expression of these three categories of behaviors relative to the sample mean.\nOur primary objectives were to determine how expression of father-daughter bond-related behaviors affects both the behavioral correlates of proximity maintenance and the neural correlates of separation distress and stress buffering. To address these objectives, we conducted two separate pre- and post-pairing experiments (Supplementary Fig. S1): (1) three preference tests comparing time spent near the father versus the partner one-week pre-pairing, one-week post-pairing, and six-months post-pairing, and (2) a neuroimaging study consisting of four [18F]-fluorodeoxyglucose Positron Emission Tomography ([18F]FDG PET) scans investigating brain glucose metabolism and plasma cortisol during temporary (30-minute) separations from current attachment figures compared to metabolism while with their current attachment figure (father while in the natal group one-month pre-pairing, partner six-months post-pairing). The three preference tests allowed us to assess changes in who the female prefers to maintain proximity to over time, whereas the four PET scans allowed us to compare changes in neural indicators of separation distress and stress buffering pre- and post-pairing. We specifically wanted to assess transitions from father-daughter bonds to pair bonds to better understand the behavioral and neurological changes that may exist in the wild at the time when females emigrate from the natal group to form a pair bond while remaining near their parents’ territory; as well as to add to our general framework of knowledge about neural changes that occur when transitioning from a developmental attachment relationship to an adult attachment relationship. To our knowledge, this is the first study to directly assess simultaneous preference between the father and partner for female titi monkeys as well as the first to directly compare the stress buffering abilities of the primary attachment figures (father pre-pairing and partner post-pairing). We formulated several specific predictions:\nOver time, females will shift from preferring to spend more time with their father63 to spending more time with their partner64.Higher expression of infant and juvenile father-daughter bond-related behaviors will positively correlate with time in proximity to the current attachment figure (father during one-week pre-pairing and one-week post-pairing tests, partner during six-month post-pairing test).\nOver time, females will shift from preferring to spend more time with their father63 to spending more time with their partner64.\nHigher expression of infant and juvenile father-daughter bond-related behaviors will positively correlate with time in proximity to the current attachment figure (father during one-week pre-pairing and one-week post-pairing tests, partner during six-month post-pairing test).\nAt six months post-pairing, there will be increased glucose metabolism in the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), periaqueductal gray, cerebellum, and whole brain46,49; however, we predict decreased glucose metabolism during social separation conditions in these brain regions important for pair bonding49 (Supplementary Fig. S2). We also predict elevated plasma cortisol in response to separation conditions.Higher expression of father-daughter bond-related behaviors will result in further reduced glucose metabolism in all brain regions of interest as a result of the buffering abilities of social bonds, which can reduce threat-related neural activity in those in high-quality relationships65,66.\nAt six months post-pairing, there will be increased glucose metabolism in the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), periaqueductal gray, cerebellum, and whole brain46,49; however, we predict decreased glucose metabolism during social separation conditions in these brain regions important for pair bonding49 (Supplementary Fig. S2). We also predict elevated plasma cortisol in response to separation conditions.\nHigher expression of father-daughter bond-related behaviors will result in further reduced glucose metabolism in all brain regions of interest as a result of the buffering abilities of social bonds, which can reduce threat-related neural activity in those in high-quality relationships65,66.\n\n\n### Experiment 1 predictions\nOver time, females will shift from preferring to spend more time with their father63 to spending more time with their partner64.Higher expression of infant and juvenile father-daughter bond-related behaviors will positively correlate with time in proximity to the current attachment figure (father during one-week pre-pairing and one-week post-pairing tests, partner during six-month post-pairing test).\nOver time, females will shift from preferring to spend more time with their father63 to spending more time with their partner64.\nHigher expression of infant and juvenile father-daughter bond-related behaviors will positively correlate with time in proximity to the current attachment figure (father during one-week pre-pairing and one-week post-pairing tests, partner during six-month post-pairing test).\n\n\n### Experiment 2 predictions\nAt six months post-pairing, there will be increased glucose metabolism in the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), periaqueductal gray, cerebellum, and whole brain46,49; however, we predict decreased glucose metabolism during social separation conditions in these brain regions important for pair bonding49 (Supplementary Fig. S2). We also predict elevated plasma cortisol in response to separation conditions.Higher expression of father-daughter bond-related behaviors will result in further reduced glucose metabolism in all brain regions of interest as a result of the buffering abilities of social bonds, which can reduce threat-related neural activity in those in high-quality relationships65,66.\nAt six months post-pairing, there will be increased glucose metabolism in the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), periaqueductal gray, cerebellum, and whole brain46,49; however, we predict decreased glucose metabolism during social separation conditions in these brain regions important for pair bonding49 (Supplementary Fig. S2). We also predict elevated plasma cortisol in response to separation conditions.\nHigher expression of father-daughter bond-related behaviors will result in further reduced glucose metabolism in all brain regions of interest as a result of the buffering abilities of social bonds, which can reduce threat-related neural activity in those in high-quality relationships65,66.\n\n\n### Results\nWe first assessed females’ preference for spending time near their father compared to their partner during a series of three preference tests (one-week pre-pairing, one-week post-pairing, six-months post-pairing). We predicted that females would shift towards preferring to spend more time near their partner from the first (one-week pre-pairing) to the third (six-month post-pairing) preference tests. Whereas the amount of time females spent near their father across the three tests remained fairly stable, females increased the amount of time they spent near their partner from the first to third test and exhibited a preference for the partner over the father at the six-month post-pairing timepoint.\nWe first calculated a Zone Ratio score to assess which stimulus animal females spent more time near as an indication of preference (positive values represented more time in the partner’s preference zone whereas negative values represented more time in the father’s preference zone). As predicted, during the one-week pre-pairing and one-week post-pairing tests, females spent more time in proximity to their fathers (Mean = −270.41, SD = 551.01, and Mean = −210.90, SD = 655.02, respectively; Fig. 1). At six-months post-pairing, females shifted to preferring the partner over the father (Mean = 58.47, SD = 562.49; Fig. 1), but this difference was less pronounced than females’ preferences for spending time in proximity to their partners over strangers in other studies13,30,64. Based on our best-fitting model for Zone Ratio (R2 = 0.131), females spent significantly more time in proximity to their partners during the six-months post-pairing test compared to the one-week pre-pairing test (β = 328.90, SE = 119.92, t = 2.74, p =.019, f2 = 0.067; Fig. 1). Whereas there was no difference in Zone Ratio scores between the one-week pre-pairing and one-week post-pairing tests (β = 59.51, SE = 119.92, t = 0.496, p =.873, f2 = 0.067; Fig. 1, Supplementary Table S1a) as a result of females showing a slight increase in preference for the partner one-week post-pairing, there also was no significant difference between the one-week post-pairing and six-months post-pairing tests (β = 269.40, SE = 119.92, t = 2.25, p =.068, f2 = 0.067; Fig. 1).\nFig. 1The main effect of Test Number on Zone Ratio score. During the one-week pre-pairing and one-week post-pairing tests, females spent more time in proximity to their fathers (more negative scores indicate a greater preference for the father over the partner); however, at six-months post-pairing, females spent slightly more time in proximity to their partners (more positive scores indicate a greater preference for the partner over the father). This preference for the partner over the father was significantly different when comparing the one-week pre-pairing results to the six-months post-pairing results. However, preference for the father over the partner was not statistically significantly different between the one-week post-pairing and six-month post-pairing time points, representing a slight shift in preference for the partner one-week post-pairing, despite no statistically significant difference between Zone Ratio scores for the one-week pre- and post- pairing tests. Points on the graph are colored based on subject identity. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nThe main effect of Test Number on Zone Ratio score. During the one-week pre-pairing and one-week post-pairing tests, females spent more time in proximity to their fathers (more negative scores indicate a greater preference for the father over the partner); however, at six-months post-pairing, females spent slightly more time in proximity to their partners (more positive scores indicate a greater preference for the partner over the father). This preference for the partner over the father was significantly different when comparing the one-week pre-pairing results to the six-months post-pairing results. However, preference for the father over the partner was not statistically significantly different between the one-week post-pairing and six-month post-pairing time points, representing a slight shift in preference for the partner one-week post-pairing, despite no statistically significant difference between Zone Ratio scores for the one-week pre- and post- pairing tests. Points on the graph are colored based on subject identity. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nThe Zone Ratio results were further supported by the results examining time females spent separately in their partner’s and father’s preference zones. Based on the best-fitting Partner Zone model (R2 = 0.258, Supplementary Table S1b), there was no significant difference in time spent in the partner’s zone between the one-week pre- and one-week post-pairing tests (β = 0.521, SE = 1.36, t = 0.384, p =.922); however, females spent significantly more time in their partner’s preference zone during the six-month post-pairing test compared to the one-week pre-pairing test (β = 5.20, SE = 1.36, t = 3.83, p <.001) and the one-week post-pairing test (β = 4.67, SE = 1.36, t = 3.44, p =.002, f2 = 0.333; Supplementary Fig. S3). Interestingly, the best-fitting Father Zone model (R2 = 0.109, Supplementary Table S1c) suggested females did not significantly change in the amount of time they spent in proximity to their fathers across all three tests (Supplementary Fig. S4). In contrast to the preference zone results, when we examined time spent touching the partner’s and father’s grates, females did not significantly change the amount of time they spent touching their partner’s grate (Supplementary Fig. S5, Supplementary Table S1d) or their father’s grate (Supplementary Fig. S6, Supplementary Table S1e) across all three tests.\nIn addition to examining overall patterns of preference and time in proximity to the father and partner, we examined how measures of infant and juvenile bond-related behaviors were associated with proximity behaviors across the three adult preference tests. Of the 12 infant and juvenile bond-related measures assessed from historical scan samples and experiments, five measures from three experiments significantly explained variability in adult behavior: (1) percentage of time juveniles spent in their parents’ preference zone during a juvenile preference test (Juvenile Parent Preference), (2) percentage of time juveniles spent in proximity, contact, or tail-twining with their fathers following a 30-minute separation test (Juvenile Proximity), (3) percentage of times juveniles chose their parents over strangers following a brief separation during a catch and release test (Juvenile Parent Choice), (4) percentage of time infants spent in proximity to the father during an infant open field test (IOF Proximity), and (5) percent change in vocalizations when separated from the father compared to when tested with the father during infant open field testing (IOF Vocalizations).\nWe predicted that females exhibiting a greater expression of bond-related behaviors as juveniles would demonstrate a further increased preference for their current attachment figure across tests. However, our prediction was generally not supported. Females that preferred to spend more time near their parents during juvenile parent preference testing (Juvenile Parent Preference) also preferred to spend more time near their fathers and less time near their partners during the present adult testing. Interestingly, if females spent more time in proximity to their fathers as juveniles following a brief separation (Juvenile Proximity and Juvenile Choice), then they spent more time in proximity to their partners during the three adult preference tests; however, the effect size for these interactions were small so interpretation requires caution. These different measures of bond-related behaviors may therefore be differently involved in the transition of attachment from the father to the partner.\nBased on the results from the Zone Ratio model, females spent less time in proximity to their partner and more time in proximity to their father during this study’s preference tests if they exhibited greater time in proximity to their parents during juvenile preference testing (β = −7.78, SE = 2.28, t = −3.42, p <.001, f2 = 0.087, R2 = 0.1310; Fig. 2a, Supplementary Table S1a). Similarly, when specifically focusing on the Partner Zone model results, females that spent more time in proximity to their parents during juvenile preference testing spent less time in proximity to their partners during this adult testing (β = −0.155, SE = 0.030, t = −5.17, p <.001, f2 = 0.207; Fig. 2b). Interestingly, when examining the effects of a different measure of juvenile proximity preference within the same model, females that spent more time in proximity to their fathers during the reunion period following social separation testing as juveniles spent more time in proximity to their partner during these adult preference tests (β = 0.060, SE = 0.021, t = 2.85, p =.005, f2 = 0.062; Fig. 2c, Supplementary Table S1b). Based on a third measure of juvenile proximity preference, females that chose their parents more during catch and release as juveniles also spent more time in proximity to their partners during this adult test (β = 0.101, SE = 0.036, t = 2.81, p =.006, f2 = 0.060, R2 = 0.2580; Fig. 2d). Therefore, whereas the measure of juvenile proximity preference did not consistently explain preference for time near the partner, for juvenile measures of proximity following a brief separation (juvenile social separation and catch and release testing), greater juvenile father-daughter proximity preference predicted greater adult preference for the partner across all three preference tests. It should be noted that these effect sizes are relatively small. With regards to time spent near the father (Father Zone), there was a non-significant trend towards females spending more time in proximity to their fathers if they also spent more time in proximity to their parents during juvenile preference testing (β = 0.055, SE = 0.032, t = 1.71, p =.131, f2 = 0.068; Supplementary Fig. S7; Supplementary Table S1c).\nFig. 2The main effects of (a) Juvenile Parent Preference on Zone Ratio, and the main effects of (b) Juvenile Parent Preference, (c) Juvenile Proximity, and (d) Juvenile Choice on Partner Zone duration. (a) Zone Ratio results suggest females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) exhibited a greater preference for the father over the partner during the present adult testing (more negative Zone Ratio scores indicate a greater preference for the father over the partner). (b) Females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) spent less time in proximity to their partners during the present adult testing. (c) Females that spent more time in proximity to their fathers during the reunion period following social separation testing as juveniles (Juvenile Proximity) spent more time in proximity to their partner during these adult preference tests. (d) Females that choose their parents more during catch and release as juveniles (Juvenile Choice) spent more time in proximity to their partners during this adult test. Juvenile Parent Preference (a & b) represents time in proximity over a three-hour testing period, whereas Juvenile Proximity (c) and Juvenile Choice (d) represent female’s proximity behavior following a separation from the parents (during previous juvenile social separation testing and juvenile catch and release testing). Points and lines on the graph are colored by test number (one-week pre-pairing, one-week post-pairing, and six-months post-pairing) for visualization purposes; however, the model results indicate an overall effect of these three bond-related behaviors on time in proximity to the partner across the three tests.\nThe main effects of (a) Juvenile Parent Preference on Zone Ratio, and the main effects of (b) Juvenile Parent Preference, (c) Juvenile Proximity, and (d) Juvenile Choice on Partner Zone duration. (a) Zone Ratio results suggest females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) exhibited a greater preference for the father over the partner during the present adult testing (more negative Zone Ratio scores indicate a greater preference for the father over the partner). (b) Females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) spent less time in proximity to their partners during the present adult testing. (c) Females that spent more time in proximity to their fathers during the reunion period following social separation testing as juveniles (Juvenile Proximity) spent more time in proximity to their partner during these adult preference tests. (d) Females that choose their parents more during catch and release as juveniles (Juvenile Choice) spent more time in proximity to their partners during this adult test. Juvenile Parent Preference (a & b) represents time in proximity over a three-hour testing period, whereas Juvenile Proximity (c) and Juvenile Choice (d) represent female’s proximity behavior following a separation from the parents (during previous juvenile social separation testing and juvenile catch and release testing). Points and lines on the graph are colored by test number (one-week pre-pairing, one-week post-pairing, and six-months post-pairing) for visualization purposes; however, the model results indicate an overall effect of these three bond-related behaviors on time in proximity to the partner across the three tests.\nWith regards to time spent touching the partner’s grate, females that spent a greater amount of time in proximity to their parents during juvenile testing spent less time touching the partner’s grate during the one-week post-pairing test (β = −0.037, SE = 0.011, t = −3.40, p <.001, f2 = 0.161; Supplementary Fig. S8; Supplementary Table S1d). When examining time spent touching the father’s grate, females that exhibited a greater increase in time in proximity to their father during infant testing spent more time touching the father’s grate during the six-month post-pairing test (β = 0.030, SE = 0.009, t = 3.18, p =.002, f2 = 0.102; Supplementary Fig. S9a, Supplementary Table S1e). Similarly, females that exhibited greater separation distress during infant testing spent more time touching their father’s grate during the one-week post-pairing test (β = 0.008, SE = 0.004, t = 2.16, p =.033, f2 = 0.051; Supplementary Fig. S9b), but the effect size for this bond-related behavior did not meet our threshold of significance for interpretation based on our sensitivity analyses.\nFor time spent overall in either the father or partner zone (Social Zone) and time spent in the non-social areas of the testing arena (Other Zone), we did observe a few small effects (Supplementary Table S1f & S1g). However, the nuances of these results are hard to assign meaning to. Please see supplementary materials for all results.\nFor Experiment 2, we conducted a series of four [18F]FDG PET scans. Two scans were conducted while the female was an adult still living in her natal group (27–28 months in age) and two were conducted six months post-pairing (35–36 months in age). At each of the two time points, females were tested once with their current attachment figure (father in the natal group, partner post-pairing) and once following a 30-minute separation from their attachment figure. We limited our analyses to a small number of brain regions within an a-priori network of interest: the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), the periaqueductal gray, and cerebellum (Supplementary Fig. S2). We also examined whole brain glucose metabolism across the four conditions. Immediately before running each [18F]FDG PET scan, we collected a blood sample for cortisol analyses. We predicted that brain glucose metabolism (as measured by Total Activity from an [18F]FDG PET neuroimaging scan) would be higher at the six-month post-pairing time points compared to the one-month pre-pairing time points; however, we expected glucose metabolism to be lower during separation conditions compared to when females were tested with their current attachment figure (father during the pre-pairing tests and partner during the post-pairing tests). We also predicted plasma cortisol levels would be higher when females are separated from their current attachment figures. Interestingly, we did not find support for any of our predictions. Glucose metabolism was lower post-pairing in all brain regions assessed (social salience network, periaqueductal gray, cerebellum, and whole brain) and did not differ significantly between the stress buffered and separation distress conditions within a timepoint (one month pre-pairing and six-months post-pairing). We also did not find any differences in cortisol responses across all four test conditions.\nThe best-fitting model for social salience network activity (R2 = 0.9712, f2 = 0.751; Supplementary Table S2a) suggested females exhibited less total activity when scanned with their partner (β = −0.365, SE = 0.034, t = −10.86, p <.001; Fig. 3) and separated from their partner (β = −0.421, SE = 0.034, t = −12.49, p <.001; Fig. 3), compared to when females are scanned with their fathers or separated from their fathers.\nFig. 3The main effect of Condition on Social Salience Network (SSN) glucose metabolism (SUVbw). Glucose metabolism in the SSN is higher during both pre-pairing tests (father and separated father) than during both post-pairing tests (partner and separated partner). Within the two time points (pre-pairing and post-pairing), glucose metabolism does not significantly differ between the stress buffered condition (father/partner) and the separation distress condition (separated father/partner). Data are shown for each of the six brain regions that make up the SSN. Analyses were completed using data from all six regions combined, and results are interpreted as effects of test condition on the SNN (not the separate brain regions). Legend in top right corner indicates the statistically significant pairwise comparisons between the four test conditions. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; SSN = Social Salience Network. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nThe main effect of Condition on Social Salience Network (SSN) glucose metabolism (SUVbw). Glucose metabolism in the SSN is higher during both pre-pairing tests (father and separated father) than during both post-pairing tests (partner and separated partner). Within the two time points (pre-pairing and post-pairing), glucose metabolism does not significantly differ between the stress buffered condition (father/partner) and the separation distress condition (separated father/partner). Data are shown for each of the six brain regions that make up the SSN. Analyses were completed using data from all six regions combined, and results are interpreted as effects of test condition on the SNN (not the separate brain regions). Legend in top right corner indicates the statistically significant pairwise comparisons between the four test conditions. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; SSN = Social Salience Network. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nSimilar to the results for the social salience network, periaqueductal gray activity was lower during both six-month post-pairing scans compared to when females were tested with their father while in their natal group one-month pre-pairing (R2 = 0.8253, f2 = 3.11; Supplementary Table S2b; Supplementary Fig. S10). We also found cerebellum activity was lower when females were tested with their partner and when they were separated from their partner compared to when they were tested with their father while in their natal group (R2 = 0.559, f2 = 1.27; Supplementary Table S2c; Supplementary Fig. S11). Compared to when they were tested with their father while in their natal group, whole brain activity was also lower when females were tested with their partner at the post-pairing time point (R2 = 0.7293, f2 = 2.61; Supplementary Fig. S12; Supplementary Table S2d). Across all brain regions tested for the present study, there was no significant difference in glucose metabolism between the stress buffered and separation distress conditions within the two time points, regardless of the current attachment figure (father when in natal group and partner when paired; Supplementary Table S2). We did not have enough evidence to suggest cortisol differed between any of the four test conditions (R2 = 0.730; Supplementary Table S2e; Supplementary Fig. S13).\nWe also assessed how measures of infant and juvenile bond-related behaviors impacted glucose metabolism across the four [18F]FDG PET scans. Five of the 12 measures from four historical experiments and scan samples significantly explained variability in adult glucose metabolism: (1) percentage of time juveniles spent in proximity, contact, or tail-twining with their fathers following a 30-minute separation test (Juvenile Proximity), (2) percentage of time our subjects’ parents spent in affiliative contact during scan samples collected over the first 14 months of our subjects’ lives (Parent Affiliation), (3) percentage of time infants spent touching the grate separating them from their father during an infant open field test (IOF Grate), (4) percent change in vocalizations when separated from the father compared to when tested with the father during a juvenile social separation test (Juvenile Vocalizations), and (5) percentage of times juveniles chose their parents over strangers following a brief separation during a catch and release test (Juvenile Parent Choice).\nWe predicted higher expression of bond-related behaviors would result in enhanced reduction of glucose metabolism during separation conditions if attachment figures were buffering females from stress. Our results generally supported this prediction, but it varied based on the measure of bond-related behavior. For example, our measure of juvenile female proximity to the father following a brief separation (Juvenile Proximity) was a significant predictor of variability across all brain regions tested, with higher juvenile proximity predicting lower glucose metabolism. However, if females observed their parents displaying a greater level of affiliation during the first 14 months of their lives (Parent Affiliation), glucose metabolism was higher in the social salience network and periaqueductal gray. Therefore, different measures of bond-related behaviors differently explained variability in glucose metabolism across all four tests. We did not have enough evidence to suggest interactions between test condition and bond-related variables significantly explained variability in plasma cortisol.\nWith regards to the effect of expression of father-daughter bond-related behaviors on glucose metabolism within the social salience network (R2 = 0.971; Supplementary Table S2a), we found significant interaction effects between Condition (pre-pairing with father, pre-pairing separated from father, post-pairing with partner, post-pairing separated from partner) and expression of bond-related behaviors. Specifically, Juvenile Proximity was negatively related to Total Activity when females were tested with their partner (β = −0.006, SE = 0.001, t = −4.85, p <.001) and separated from their father (β= −0.012, SE = 0.001, t = −10.22, p <.001), suggesting females that spent a greater percentage of time in proximity to their fathers following a separation as juveniles exhibit lower activity of the social salience network during these two adult test conditions (f2 = 0.228; Supplementary Fig. S14a). We found a positive relationship between Parent Affiliation and Total Activity when females were with their partners (β = 0.022, SE = 0.005, t = 4.79, p <.001) and separated from their partners (β = 0.017, SE = 0.005, t = 3.72, p <.001), suggesting they exhibited higher activity of the social salience network during these two conditions if their parents spent a greater percentage of time in affiliative contact when they were juveniles (f2 = 0.096; Supplementary Fig. S14b).\nWhen examining our results for the periaqueductal gray (R2 = 0.825; Supplementary Table S2b), we found several significant interaction effects between Condition and bond behavior-expression variables. Specifically, we found a negative relationship between Juvenile Proximity and Total Activity when females were tested separated from their fathers (β = −0.009, SE = 0.003, t = −3.21, p =.002), suggesting females that spent a greater amount of time in proximity to their fathers following juvenile separation testing exhibited lower periaqueductal gray activity when separated from their father (f2 = 0.234; Fig. 4a). We also found a significant interaction between Condition and Parent Affiliation (f2 = 0.422). Females exhibited greater periaqueductal gray activity when tested with their partners (β = 0.044, SE = 0.011, t = 4.08, p <.001; Fig. 4b) and separated from their partners (β = 0.054, SE = 0.011, t = 5.06, p <.001; Fig. 4b) if their parents spent a greater percentage of time in affiliative contact when subjects were infants and juveniles. Interestingly, we found opposite relationships between Infant Open Field (IOF) Grate and Total Activity depending on whether females were tested with their partner or separated from their partner (f2 = 0.275; Fig. 4c). If females spent a greater percentage of time touching their father’s grate during IOF testing as infants, they had lower periaqueductal gray activity when tested with their partner (β = 0.010, SE = 0.005, t = 2.09, p =.042) but higher periaqueductal gray activity when separated from their partner (β = 0.023, SE = 0.005, t = 4.76, p <.001). Interactions between Condition and Juvenile Vocalizations also significantly explained variability in periaqueductal gray activity (f2 = 0.240; Fig. 4d). Specifically, we found a positive relationship between Juvenile Vocalization and Total Activity when females were tested with their partner (β = 0.006, SE = 0.002, t = 4.24, p <.001) and separated from their father (β = 0.003, SE = 0.002, t = 2.20, p =.032), but a negative relationship when females were separated from their partner (β = 0.006, SE = 0.002, t = 3.94, p <.001). These findings suggest females that vocalize more when separated from their fathers as juveniles exhibit greater periaqueductal gray activity when with their partners and separated from their fathers, but lower periaqueductal gray activity when separated from their partner. Taken together, these four different measures of bond-related behaviors uniquely contribute to variability in females’ neural responses to our test conditions, with bonding behaviors correlating with a decrease (e.g., Juvenile Proximity), increase (e.g., Parent Affiliation), or condition-dependent change in glucose metabolism (e.g., IOF Grate correlating with lower metabolism with the partner and higher metabolism when separated from the partner).\nFig. 4The interaction effect between Condition and (a) Juvenile Proximity, (b) Parent Affiliation, (c) IOF Grate Touching and (d) Juvenile Vocalization on periaqueductal gray glucose metabolism (SUVbw). (a) Females that spent a greater amount of time in proximity to their fathers following juvenile separation testing (Juvenile Proximity) exhibit lower periaqueductal gray activity when separated from their father in the present testing. (b) Females exhibit greater periaqueductal gray activity in both post-pairing conditions if their parents spent a greater percentage of time in affiliative contact when subjects were infants and juveniles (Parent Affiliation). (c) If females spent a greater percentage of time touching their father’s grate during Infant Open Field (IOF) testing as infants (IOF Grate), they had lower periaqueductal gray activity when tested with their partner but higher periaqueductal gray activity when separated from their partner. (d) Females that vocalized more when separated from their fathers as juveniles (Juvenile Vocalization) exhibit greater periaqueductal gray activity when with their partners and separated from their fathers, but lower periaqueductal gray activity when separated from their partner. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; PAG = Periaqueductal gray.\nThe interaction effect between Condition and (a) Juvenile Proximity, (b) Parent Affiliation, (c) IOF Grate Touching and (d) Juvenile Vocalization on periaqueductal gray glucose metabolism (SUVbw). (a) Females that spent a greater amount of time in proximity to their fathers following juvenile separation testing (Juvenile Proximity) exhibit lower periaqueductal gray activity when separated from their father in the present testing. (b) Females exhibit greater periaqueductal gray activity in both post-pairing conditions if their parents spent a greater percentage of time in affiliative contact when subjects were infants and juveniles (Parent Affiliation). (c) If females spent a greater percentage of time touching their father’s grate during Infant Open Field (IOF) testing as infants (IOF Grate), they had lower periaqueductal gray activity when tested with their partner but higher periaqueductal gray activity when separated from their partner. (d) Females that vocalized more when separated from their fathers as juveniles (Juvenile Vocalization) exhibit greater periaqueductal gray activity when with their partners and separated from their fathers, but lower periaqueductal gray activity when separated from their partner. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; PAG = Periaqueductal gray.\nWe found a negative relationship (f2 = 0.239; Supplementary Fig. S15) between Juvenile Proximity and Total Activity in the cerebellum when females were tested separated from their fathers (β = −0.012, SE = 0.004, t = −2.77, p =.010, R2 = 0.559; Supplementary Table S2c), suggesting females that spent a greater amount of time in proximity to their fathers following juvenile separation testing exhibited lower cerebellum activity when separated from their father.\nWhen examining variability in whole brain activity, we found significant interaction effects between Condition and two of the bond behavior-expression variables in our best-fitting model (R2 = 0.729; Supplementary Table S2d). Specifically, we found a negative relationship between Juvenile Proximity and Total Activity when females were tested with their partners (β = −0.007, SE = 0.003, t = −2.35, p =.023) and separated from their fathers (β = −0.014, SE = 0.003, t = −4.48, p <.001), suggesting females that spend a greater amount of time in proximity to their fathers following juvenile separation testing exhibited lower whole brain activity in these two conditions (f2 = 0.342; Supplementary Fig. S16a). We found a negative relationship between Juvenile Parent Choice and Total Activity when females were separated from their partners (β = −0.010, SE = 0.004, t = −2.27, p =.028), suggesting females that choose their parents a greater percentage of time during catch and release testing have lower whole brain activity when separated from their partners (f2 = 0.109; Supplementary Fig. S16b). Both juvenile tests (Juvenile Proximity and Juvenile Parent Choice) represent a preference for proximity with the father following a temporary separation.\nPlasma cortisol did not significantly differ across our four test conditions (R2 = 0.730; Supplementary Table S2e; Supplementary Fig. S13), but variability may be explained by interactions between Condition and Infant Proximity. Females had significantly higher levels of cortisol when separated from their partners if they spent a greater percentage of their time being carried by their fathers for the first nine months of their lives (Infant Proximity); however, the effect size for this interaction did not exceed our threshold for reliable interpretation (β = −25.87, SE = 10.03, t = −2.58, p =.018; f2 = 0.212; Supplementary Figure S18).\n\n\n### Experiment 1: prediction 1\nWe first assessed females’ preference for spending time near their father compared to their partner during a series of three preference tests (one-week pre-pairing, one-week post-pairing, six-months post-pairing). We predicted that females would shift towards preferring to spend more time near their partner from the first (one-week pre-pairing) to the third (six-month post-pairing) preference tests. Whereas the amount of time females spent near their father across the three tests remained fairly stable, females increased the amount of time they spent near their partner from the first to third test and exhibited a preference for the partner over the father at the six-month post-pairing timepoint.\nWe first calculated a Zone Ratio score to assess which stimulus animal females spent more time near as an indication of preference (positive values represented more time in the partner’s preference zone whereas negative values represented more time in the father’s preference zone). As predicted, during the one-week pre-pairing and one-week post-pairing tests, females spent more time in proximity to their fathers (Mean = −270.41, SD = 551.01, and Mean = −210.90, SD = 655.02, respectively; Fig. 1). At six-months post-pairing, females shifted to preferring the partner over the father (Mean = 58.47, SD = 562.49; Fig. 1), but this difference was less pronounced than females’ preferences for spending time in proximity to their partners over strangers in other studies13,30,64. Based on our best-fitting model for Zone Ratio (R2 = 0.131), females spent significantly more time in proximity to their partners during the six-months post-pairing test compared to the one-week pre-pairing test (β = 328.90, SE = 119.92, t = 2.74, p =.019, f2 = 0.067; Fig. 1). Whereas there was no difference in Zone Ratio scores between the one-week pre-pairing and one-week post-pairing tests (β = 59.51, SE = 119.92, t = 0.496, p =.873, f2 = 0.067; Fig. 1, Supplementary Table S1a) as a result of females showing a slight increase in preference for the partner one-week post-pairing, there also was no significant difference between the one-week post-pairing and six-months post-pairing tests (β = 269.40, SE = 119.92, t = 2.25, p =.068, f2 = 0.067; Fig. 1).\nFig. 1The main effect of Test Number on Zone Ratio score. During the one-week pre-pairing and one-week post-pairing tests, females spent more time in proximity to their fathers (more negative scores indicate a greater preference for the father over the partner); however, at six-months post-pairing, females spent slightly more time in proximity to their partners (more positive scores indicate a greater preference for the partner over the father). This preference for the partner over the father was significantly different when comparing the one-week pre-pairing results to the six-months post-pairing results. However, preference for the father over the partner was not statistically significantly different between the one-week post-pairing and six-month post-pairing time points, representing a slight shift in preference for the partner one-week post-pairing, despite no statistically significant difference between Zone Ratio scores for the one-week pre- and post- pairing tests. Points on the graph are colored based on subject identity. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nThe main effect of Test Number on Zone Ratio score. During the one-week pre-pairing and one-week post-pairing tests, females spent more time in proximity to their fathers (more negative scores indicate a greater preference for the father over the partner); however, at six-months post-pairing, females spent slightly more time in proximity to their partners (more positive scores indicate a greater preference for the partner over the father). This preference for the partner over the father was significantly different when comparing the one-week pre-pairing results to the six-months post-pairing results. However, preference for the father over the partner was not statistically significantly different between the one-week post-pairing and six-month post-pairing time points, representing a slight shift in preference for the partner one-week post-pairing, despite no statistically significant difference between Zone Ratio scores for the one-week pre- and post- pairing tests. Points on the graph are colored based on subject identity. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nThe Zone Ratio results were further supported by the results examining time females spent separately in their partner’s and father’s preference zones. Based on the best-fitting Partner Zone model (R2 = 0.258, Supplementary Table S1b), there was no significant difference in time spent in the partner’s zone between the one-week pre- and one-week post-pairing tests (β = 0.521, SE = 1.36, t = 0.384, p =.922); however, females spent significantly more time in their partner’s preference zone during the six-month post-pairing test compared to the one-week pre-pairing test (β = 5.20, SE = 1.36, t = 3.83, p <.001) and the one-week post-pairing test (β = 4.67, SE = 1.36, t = 3.44, p =.002, f2 = 0.333; Supplementary Fig. S3). Interestingly, the best-fitting Father Zone model (R2 = 0.109, Supplementary Table S1c) suggested females did not significantly change in the amount of time they spent in proximity to their fathers across all three tests (Supplementary Fig. S4). In contrast to the preference zone results, when we examined time spent touching the partner’s and father’s grates, females did not significantly change the amount of time they spent touching their partner’s grate (Supplementary Fig. S5, Supplementary Table S1d) or their father’s grate (Supplementary Fig. S6, Supplementary Table S1e) across all three tests.\n\n\n### Experiment 1: prediction 2\nIn addition to examining overall patterns of preference and time in proximity to the father and partner, we examined how measures of infant and juvenile bond-related behaviors were associated with proximity behaviors across the three adult preference tests. Of the 12 infant and juvenile bond-related measures assessed from historical scan samples and experiments, five measures from three experiments significantly explained variability in adult behavior: (1) percentage of time juveniles spent in their parents’ preference zone during a juvenile preference test (Juvenile Parent Preference), (2) percentage of time juveniles spent in proximity, contact, or tail-twining with their fathers following a 30-minute separation test (Juvenile Proximity), (3) percentage of times juveniles chose their parents over strangers following a brief separation during a catch and release test (Juvenile Parent Choice), (4) percentage of time infants spent in proximity to the father during an infant open field test (IOF Proximity), and (5) percent change in vocalizations when separated from the father compared to when tested with the father during infant open field testing (IOF Vocalizations).\nWe predicted that females exhibiting a greater expression of bond-related behaviors as juveniles would demonstrate a further increased preference for their current attachment figure across tests. However, our prediction was generally not supported. Females that preferred to spend more time near their parents during juvenile parent preference testing (Juvenile Parent Preference) also preferred to spend more time near their fathers and less time near their partners during the present adult testing. Interestingly, if females spent more time in proximity to their fathers as juveniles following a brief separation (Juvenile Proximity and Juvenile Choice), then they spent more time in proximity to their partners during the three adult preference tests; however, the effect size for these interactions were small so interpretation requires caution. These different measures of bond-related behaviors may therefore be differently involved in the transition of attachment from the father to the partner.\nBased on the results from the Zone Ratio model, females spent less time in proximity to their partner and more time in proximity to their father during this study’s preference tests if they exhibited greater time in proximity to their parents during juvenile preference testing (β = −7.78, SE = 2.28, t = −3.42, p <.001, f2 = 0.087, R2 = 0.1310; Fig. 2a, Supplementary Table S1a). Similarly, when specifically focusing on the Partner Zone model results, females that spent more time in proximity to their parents during juvenile preference testing spent less time in proximity to their partners during this adult testing (β = −0.155, SE = 0.030, t = −5.17, p <.001, f2 = 0.207; Fig. 2b). Interestingly, when examining the effects of a different measure of juvenile proximity preference within the same model, females that spent more time in proximity to their fathers during the reunion period following social separation testing as juveniles spent more time in proximity to their partner during these adult preference tests (β = 0.060, SE = 0.021, t = 2.85, p =.005, f2 = 0.062; Fig. 2c, Supplementary Table S1b). Based on a third measure of juvenile proximity preference, females that chose their parents more during catch and release as juveniles also spent more time in proximity to their partners during this adult test (β = 0.101, SE = 0.036, t = 2.81, p =.006, f2 = 0.060, R2 = 0.2580; Fig. 2d). Therefore, whereas the measure of juvenile proximity preference did not consistently explain preference for time near the partner, for juvenile measures of proximity following a brief separation (juvenile social separation and catch and release testing), greater juvenile father-daughter proximity preference predicted greater adult preference for the partner across all three preference tests. It should be noted that these effect sizes are relatively small. With regards to time spent near the father (Father Zone), there was a non-significant trend towards females spending more time in proximity to their fathers if they also spent more time in proximity to their parents during juvenile preference testing (β = 0.055, SE = 0.032, t = 1.71, p =.131, f2 = 0.068; Supplementary Fig. S7; Supplementary Table S1c).\nFig. 2The main effects of (a) Juvenile Parent Preference on Zone Ratio, and the main effects of (b) Juvenile Parent Preference, (c) Juvenile Proximity, and (d) Juvenile Choice on Partner Zone duration. (a) Zone Ratio results suggest females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) exhibited a greater preference for the father over the partner during the present adult testing (more negative Zone Ratio scores indicate a greater preference for the father over the partner). (b) Females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) spent less time in proximity to their partners during the present adult testing. (c) Females that spent more time in proximity to their fathers during the reunion period following social separation testing as juveniles (Juvenile Proximity) spent more time in proximity to their partner during these adult preference tests. (d) Females that choose their parents more during catch and release as juveniles (Juvenile Choice) spent more time in proximity to their partners during this adult test. Juvenile Parent Preference (a & b) represents time in proximity over a three-hour testing period, whereas Juvenile Proximity (c) and Juvenile Choice (d) represent female’s proximity behavior following a separation from the parents (during previous juvenile social separation testing and juvenile catch and release testing). Points and lines on the graph are colored by test number (one-week pre-pairing, one-week post-pairing, and six-months post-pairing) for visualization purposes; however, the model results indicate an overall effect of these three bond-related behaviors on time in proximity to the partner across the three tests.\nThe main effects of (a) Juvenile Parent Preference on Zone Ratio, and the main effects of (b) Juvenile Parent Preference, (c) Juvenile Proximity, and (d) Juvenile Choice on Partner Zone duration. (a) Zone Ratio results suggest females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) exhibited a greater preference for the father over the partner during the present adult testing (more negative Zone Ratio scores indicate a greater preference for the father over the partner). (b) Females that spent more time in proximity to their parents during juvenile preference testing (Juvenile Parent Preference) spent less time in proximity to their partners during the present adult testing. (c) Females that spent more time in proximity to their fathers during the reunion period following social separation testing as juveniles (Juvenile Proximity) spent more time in proximity to their partner during these adult preference tests. (d) Females that choose their parents more during catch and release as juveniles (Juvenile Choice) spent more time in proximity to their partners during this adult test. Juvenile Parent Preference (a & b) represents time in proximity over a three-hour testing period, whereas Juvenile Proximity (c) and Juvenile Choice (d) represent female’s proximity behavior following a separation from the parents (during previous juvenile social separation testing and juvenile catch and release testing). Points and lines on the graph are colored by test number (one-week pre-pairing, one-week post-pairing, and six-months post-pairing) for visualization purposes; however, the model results indicate an overall effect of these three bond-related behaviors on time in proximity to the partner across the three tests.\nWith regards to time spent touching the partner’s grate, females that spent a greater amount of time in proximity to their parents during juvenile testing spent less time touching the partner’s grate during the one-week post-pairing test (β = −0.037, SE = 0.011, t = −3.40, p <.001, f2 = 0.161; Supplementary Fig. S8; Supplementary Table S1d). When examining time spent touching the father’s grate, females that exhibited a greater increase in time in proximity to their father during infant testing spent more time touching the father’s grate during the six-month post-pairing test (β = 0.030, SE = 0.009, t = 3.18, p =.002, f2 = 0.102; Supplementary Fig. S9a, Supplementary Table S1e). Similarly, females that exhibited greater separation distress during infant testing spent more time touching their father’s grate during the one-week post-pairing test (β = 0.008, SE = 0.004, t = 2.16, p =.033, f2 = 0.051; Supplementary Fig. S9b), but the effect size for this bond-related behavior did not meet our threshold of significance for interpretation based on our sensitivity analyses.\nFor time spent overall in either the father or partner zone (Social Zone) and time spent in the non-social areas of the testing arena (Other Zone), we did observe a few small effects (Supplementary Table S1f & S1g). However, the nuances of these results are hard to assign meaning to. Please see supplementary materials for all results.\n\n\n### Experiment 2: prediction 1\nFor Experiment 2, we conducted a series of four [18F]FDG PET scans. Two scans were conducted while the female was an adult still living in her natal group (27–28 months in age) and two were conducted six months post-pairing (35–36 months in age). At each of the two time points, females were tested once with their current attachment figure (father in the natal group, partner post-pairing) and once following a 30-minute separation from their attachment figure. We limited our analyses to a small number of brain regions within an a-priori network of interest: the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), the periaqueductal gray, and cerebellum (Supplementary Fig. S2). We also examined whole brain glucose metabolism across the four conditions. Immediately before running each [18F]FDG PET scan, we collected a blood sample for cortisol analyses. We predicted that brain glucose metabolism (as measured by Total Activity from an [18F]FDG PET neuroimaging scan) would be higher at the six-month post-pairing time points compared to the one-month pre-pairing time points; however, we expected glucose metabolism to be lower during separation conditions compared to when females were tested with their current attachment figure (father during the pre-pairing tests and partner during the post-pairing tests). We also predicted plasma cortisol levels would be higher when females are separated from their current attachment figures. Interestingly, we did not find support for any of our predictions. Glucose metabolism was lower post-pairing in all brain regions assessed (social salience network, periaqueductal gray, cerebellum, and whole brain) and did not differ significantly between the stress buffered and separation distress conditions within a timepoint (one month pre-pairing and six-months post-pairing). We also did not find any differences in cortisol responses across all four test conditions.\nThe best-fitting model for social salience network activity (R2 = 0.9712, f2 = 0.751; Supplementary Table S2a) suggested females exhibited less total activity when scanned with their partner (β = −0.365, SE = 0.034, t = −10.86, p <.001; Fig. 3) and separated from their partner (β = −0.421, SE = 0.034, t = −12.49, p <.001; Fig. 3), compared to when females are scanned with their fathers or separated from their fathers.\nFig. 3The main effect of Condition on Social Salience Network (SSN) glucose metabolism (SUVbw). Glucose metabolism in the SSN is higher during both pre-pairing tests (father and separated father) than during both post-pairing tests (partner and separated partner). Within the two time points (pre-pairing and post-pairing), glucose metabolism does not significantly differ between the stress buffered condition (father/partner) and the separation distress condition (separated father/partner). Data are shown for each of the six brain regions that make up the SSN. Analyses were completed using data from all six regions combined, and results are interpreted as effects of test condition on the SNN (not the separate brain regions). Legend in top right corner indicates the statistically significant pairwise comparisons between the four test conditions. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; SSN = Social Salience Network. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nThe main effect of Condition on Social Salience Network (SSN) glucose metabolism (SUVbw). Glucose metabolism in the SSN is higher during both pre-pairing tests (father and separated father) than during both post-pairing tests (partner and separated partner). Within the two time points (pre-pairing and post-pairing), glucose metabolism does not significantly differ between the stress buffered condition (father/partner) and the separation distress condition (separated father/partner). Data are shown for each of the six brain regions that make up the SSN. Analyses were completed using data from all six regions combined, and results are interpreted as effects of test condition on the SNN (not the separate brain regions). Legend in top right corner indicates the statistically significant pairwise comparisons between the four test conditions. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; SSN = Social Salience Network. Significant differences for pairwise comparisons between tests indicated as: * < 0.05; ** < 0.01; *** < 0.001.\nSimilar to the results for the social salience network, periaqueductal gray activity was lower during both six-month post-pairing scans compared to when females were tested with their father while in their natal group one-month pre-pairing (R2 = 0.8253, f2 = 3.11; Supplementary Table S2b; Supplementary Fig. S10). We also found cerebellum activity was lower when females were tested with their partner and when they were separated from their partner compared to when they were tested with their father while in their natal group (R2 = 0.559, f2 = 1.27; Supplementary Table S2c; Supplementary Fig. S11). Compared to when they were tested with their father while in their natal group, whole brain activity was also lower when females were tested with their partner at the post-pairing time point (R2 = 0.7293, f2 = 2.61; Supplementary Fig. S12; Supplementary Table S2d). Across all brain regions tested for the present study, there was no significant difference in glucose metabolism between the stress buffered and separation distress conditions within the two time points, regardless of the current attachment figure (father when in natal group and partner when paired; Supplementary Table S2). We did not have enough evidence to suggest cortisol differed between any of the four test conditions (R2 = 0.730; Supplementary Table S2e; Supplementary Fig. S13).\n\n\n### Experiment 2: prediction 2\nWe also assessed how measures of infant and juvenile bond-related behaviors impacted glucose metabolism across the four [18F]FDG PET scans. Five of the 12 measures from four historical experiments and scan samples significantly explained variability in adult glucose metabolism: (1) percentage of time juveniles spent in proximity, contact, or tail-twining with their fathers following a 30-minute separation test (Juvenile Proximity), (2) percentage of time our subjects’ parents spent in affiliative contact during scan samples collected over the first 14 months of our subjects’ lives (Parent Affiliation), (3) percentage of time infants spent touching the grate separating them from their father during an infant open field test (IOF Grate), (4) percent change in vocalizations when separated from the father compared to when tested with the father during a juvenile social separation test (Juvenile Vocalizations), and (5) percentage of times juveniles chose their parents over strangers following a brief separation during a catch and release test (Juvenile Parent Choice).\nWe predicted higher expression of bond-related behaviors would result in enhanced reduction of glucose metabolism during separation conditions if attachment figures were buffering females from stress. Our results generally supported this prediction, but it varied based on the measure of bond-related behavior. For example, our measure of juvenile female proximity to the father following a brief separation (Juvenile Proximity) was a significant predictor of variability across all brain regions tested, with higher juvenile proximity predicting lower glucose metabolism. However, if females observed their parents displaying a greater level of affiliation during the first 14 months of their lives (Parent Affiliation), glucose metabolism was higher in the social salience network and periaqueductal gray. Therefore, different measures of bond-related behaviors differently explained variability in glucose metabolism across all four tests. We did not have enough evidence to suggest interactions between test condition and bond-related variables significantly explained variability in plasma cortisol.\nWith regards to the effect of expression of father-daughter bond-related behaviors on glucose metabolism within the social salience network (R2 = 0.971; Supplementary Table S2a), we found significant interaction effects between Condition (pre-pairing with father, pre-pairing separated from father, post-pairing with partner, post-pairing separated from partner) and expression of bond-related behaviors. Specifically, Juvenile Proximity was negatively related to Total Activity when females were tested with their partner (β = −0.006, SE = 0.001, t = −4.85, p <.001) and separated from their father (β= −0.012, SE = 0.001, t = −10.22, p <.001), suggesting females that spent a greater percentage of time in proximity to their fathers following a separation as juveniles exhibit lower activity of the social salience network during these two adult test conditions (f2 = 0.228; Supplementary Fig. S14a). We found a positive relationship between Parent Affiliation and Total Activity when females were with their partners (β = 0.022, SE = 0.005, t = 4.79, p <.001) and separated from their partners (β = 0.017, SE = 0.005, t = 3.72, p <.001), suggesting they exhibited higher activity of the social salience network during these two conditions if their parents spent a greater percentage of time in affiliative contact when they were juveniles (f2 = 0.096; Supplementary Fig. S14b).\nWhen examining our results for the periaqueductal gray (R2 = 0.825; Supplementary Table S2b), we found several significant interaction effects between Condition and bond behavior-expression variables. Specifically, we found a negative relationship between Juvenile Proximity and Total Activity when females were tested separated from their fathers (β = −0.009, SE = 0.003, t = −3.21, p =.002), suggesting females that spent a greater amount of time in proximity to their fathers following juvenile separation testing exhibited lower periaqueductal gray activity when separated from their father (f2 = 0.234; Fig. 4a). We also found a significant interaction between Condition and Parent Affiliation (f2 = 0.422). Females exhibited greater periaqueductal gray activity when tested with their partners (β = 0.044, SE = 0.011, t = 4.08, p <.001; Fig. 4b) and separated from their partners (β = 0.054, SE = 0.011, t = 5.06, p <.001; Fig. 4b) if their parents spent a greater percentage of time in affiliative contact when subjects were infants and juveniles. Interestingly, we found opposite relationships between Infant Open Field (IOF) Grate and Total Activity depending on whether females were tested with their partner or separated from their partner (f2 = 0.275; Fig. 4c). If females spent a greater percentage of time touching their father’s grate during IOF testing as infants, they had lower periaqueductal gray activity when tested with their partner (β = 0.010, SE = 0.005, t = 2.09, p =.042) but higher periaqueductal gray activity when separated from their partner (β = 0.023, SE = 0.005, t = 4.76, p <.001). Interactions between Condition and Juvenile Vocalizations also significantly explained variability in periaqueductal gray activity (f2 = 0.240; Fig. 4d). Specifically, we found a positive relationship between Juvenile Vocalization and Total Activity when females were tested with their partner (β = 0.006, SE = 0.002, t = 4.24, p <.001) and separated from their father (β = 0.003, SE = 0.002, t = 2.20, p =.032), but a negative relationship when females were separated from their partner (β = 0.006, SE = 0.002, t = 3.94, p <.001). These findings suggest females that vocalize more when separated from their fathers as juveniles exhibit greater periaqueductal gray activity when with their partners and separated from their fathers, but lower periaqueductal gray activity when separated from their partner. Taken together, these four different measures of bond-related behaviors uniquely contribute to variability in females’ neural responses to our test conditions, with bonding behaviors correlating with a decrease (e.g., Juvenile Proximity), increase (e.g., Parent Affiliation), or condition-dependent change in glucose metabolism (e.g., IOF Grate correlating with lower metabolism with the partner and higher metabolism when separated from the partner).\nFig. 4The interaction effect between Condition and (a) Juvenile Proximity, (b) Parent Affiliation, (c) IOF Grate Touching and (d) Juvenile Vocalization on periaqueductal gray glucose metabolism (SUVbw). (a) Females that spent a greater amount of time in proximity to their fathers following juvenile separation testing (Juvenile Proximity) exhibit lower periaqueductal gray activity when separated from their father in the present testing. (b) Females exhibit greater periaqueductal gray activity in both post-pairing conditions if their parents spent a greater percentage of time in affiliative contact when subjects were infants and juveniles (Parent Affiliation). (c) If females spent a greater percentage of time touching their father’s grate during Infant Open Field (IOF) testing as infants (IOF Grate), they had lower periaqueductal gray activity when tested with their partner but higher periaqueductal gray activity when separated from their partner. (d) Females that vocalized more when separated from their fathers as juveniles (Juvenile Vocalization) exhibit greater periaqueductal gray activity when with their partners and separated from their fathers, but lower periaqueductal gray activity when separated from their partner. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; PAG = Periaqueductal gray.\nThe interaction effect between Condition and (a) Juvenile Proximity, (b) Parent Affiliation, (c) IOF Grate Touching and (d) Juvenile Vocalization on periaqueductal gray glucose metabolism (SUVbw). (a) Females that spent a greater amount of time in proximity to their fathers following juvenile separation testing (Juvenile Proximity) exhibit lower periaqueductal gray activity when separated from their father in the present testing. (b) Females exhibit greater periaqueductal gray activity in both post-pairing conditions if their parents spent a greater percentage of time in affiliative contact when subjects were infants and juveniles (Parent Affiliation). (c) If females spent a greater percentage of time touching their father’s grate during Infant Open Field (IOF) testing as infants (IOF Grate), they had lower periaqueductal gray activity when tested with their partner but higher periaqueductal gray activity when separated from their partner. (d) Females that vocalized more when separated from their fathers as juveniles (Juvenile Vocalization) exhibit greater periaqueductal gray activity when with their partners and separated from their fathers, but lower periaqueductal gray activity when separated from their partner. father = when tested with father when still in natal group; separated father = when separated from father while still in natal group; partner = when tested with partner six-months post-pairing; separated partner = when separated from partner six-months post-pairing; SUVbw = Total Activity (glucose uptake) calculated as Standardized Uptake Value normalized by body weight; PAG = Periaqueductal gray.\nWe found a negative relationship (f2 = 0.239; Supplementary Fig. S15) between Juvenile Proximity and Total Activity in the cerebellum when females were tested separated from their fathers (β = −0.012, SE = 0.004, t = −2.77, p =.010, R2 = 0.559; Supplementary Table S2c), suggesting females that spent a greater amount of time in proximity to their fathers following juvenile separation testing exhibited lower cerebellum activity when separated from their father.\nWhen examining variability in whole brain activity, we found significant interaction effects between Condition and two of the bond behavior-expression variables in our best-fitting model (R2 = 0.729; Supplementary Table S2d). Specifically, we found a negative relationship between Juvenile Proximity and Total Activity when females were tested with their partners (β = −0.007, SE = 0.003, t = −2.35, p =.023) and separated from their fathers (β = −0.014, SE = 0.003, t = −4.48, p <.001), suggesting females that spend a greater amount of time in proximity to their fathers following juvenile separation testing exhibited lower whole brain activity in these two conditions (f2 = 0.342; Supplementary Fig. S16a). We found a negative relationship between Juvenile Parent Choice and Total Activity when females were separated from their partners (β = −0.010, SE = 0.004, t = −2.27, p =.028), suggesting females that choose their parents a greater percentage of time during catch and release testing have lower whole brain activity when separated from their partners (f2 = 0.109; Supplementary Fig. S16b). Both juvenile tests (Juvenile Proximity and Juvenile Parent Choice) represent a preference for proximity with the father following a temporary separation.\nPlasma cortisol did not significantly differ across our four test conditions (R2 = 0.730; Supplementary Table S2e; Supplementary Fig. S13), but variability may be explained by interactions between Condition and Infant Proximity. Females had significantly higher levels of cortisol when separated from their partners if they spent a greater percentage of their time being carried by their fathers for the first nine months of their lives (Infant Proximity); however, the effect size for this interaction did not exceed our threshold for reliable interpretation (β = −25.87, SE = 10.03, t = −2.58, p =.018; f2 = 0.212; Supplementary Figure S18).\n\n\n### Discussion\nTo investigate how the expression of father-daughter bond-related behaviors were associated with both behavioral and neural correlates of social bonds, we conducted two parallel experiments on female titi monkeys. Experiment 1 examined how the expression of bond-related behaviors impacts proximity maintenance between the father and a new adult partner across three preference tests (one-week pre-pairing, one-week post-pairing, and six-months post-pairing). Experiment 2 investigated how expression of bond-related behaviors affects brain glucose metabolism during four [18F]FDG PET scans (one-month pre-pairing with father, one-month pre-pairing separated from father, six-month post-pairing with partner, six-month post-pairing separated from partner). In Experiment 1, we found that females shifted from preferring their father to preferring their partners after six months of pairing, and that expression of bond-related behaviors explained variability in these social preferences. In Experiment 2, we found overall glucose metabolism was generally lower post-pairing in all brain regions examined, and expression of infant and juvenile bond-related behaviors further explained variability in neural activity in response to pairing status and separation distress. Plasma cortisol did not significantly differ between tests, but variability may be explained by infant bonding behavior with the father. Below, we summarize these findings.\nWhen Experiment 1 began, females were about 28 months old—near the age at which they start puberty (on average, 30 months67) and would likely leave the natal group to form monogamous bonds in the wild36,38,39,68. By the end of the study (around 35 months old), each female had been paired with an adult male for six months: a period shown to yield stable partner preferences64. However, it remained unclear how differences in daughters’ attachments to their fathers, as measured by expression of father-daughter bond-related behavior, would impact their preference for maintaining proximity with their father once they formed a pair bond.\nIn the wild, titi monkeys do not typically emigrate far from their natal groups69, and offspring are not forced out by aggression36,38. Thus, some developmental or social mechanism likely motivates offspring to leave their fathers for an unfamiliar partner. Human studies similarly indicate that parent–child relationship quality can shape early adult romantic attachments31–35, so we hypothesized that a stronger father-daughter bond might influence how a female transitions to her first pair bond. Across the three preference tests—one-week pre-pairing, one-week post-pairing, and six-months post-pairing—females generally spent more time near their fathers during the preference paradigm early on but gradually shifted toward spending more time near their partners by six months post-pairing. Notably, however, the preference for the partner was weaker than the preference typically shown in comparisons between a partner and a stranger13,64. Even after six months without direct contact, females still appeared to maintain some attachment to their fathers. Importantly, those with higher paternal proximity scores in infant and juvenile tests spent comparatively less time with their partners, suggesting they were more likely to preserve their paternal bond. These findings challenge the notion that titi monkeys can maintain only a single selective attachment and raise questions about how long father-daughter attachments might persist alongside adult pair bonds.\nBond behavior-expression scores, especially those reflecting juvenile proximity behavior following a brief separation, predicted more time in the partner’s preference zone across all three time points; however, the effect sizes of these measures of bond expression were small. In contrast, high juvenile parent preference sometimes correlated with less partner proximity. While we recognize that expressions of proximity maintenance and separation distress are critical aspects of pair bonds6, it is possible that these two categories of behaviors expressed during early developmental periods may be differently associated with adult bonding behaviors. Our results suggest that greater separation distress as juveniles may prime females to spend more time in proximity to their partners as adults, whereas more time in proximity to the parents while still in the natal group may predict greater proximity to the father post-pairing. Regardless of the underlying factors driving individual differences in behavior, the overall patterns that females shifted to a greater preference for their partner while maintaining a similar amount of time near the father throughout the three tests13,60 suggests these females might be better at preserving multiple attachments simultaneously than previously assumed. Future research could address how father-daughter bonds evolve over longer periods, especially in naturalistic settings where ongoing interactions with the natal group remain possible.\nOne notable limitation of the present study is that females could not select their partners like they would in the wild. A recent study from our lab suggests that allowing titi monkeys to select their partners based on initial compatibility may further enhance affiliation between partners70. Interestingly, mate choice in wild titi monkeys appears to be more opportunistic rather than relatedness- or heterozygosity-based mate choice71, which would make our quasi-random selection of partners not too different from what occurs in the wild. It would be valuable to assess whether father-daughter bonds would differently impact relationships between pairs that choose each other and pairs that are assigned based on opportunistic availability. It is also important to explore how the partner’s relationship with his father as well as his general willingness to express bond-related behaviors may further impact adult relationships. Whereas lab studies offer the ability to assess longitudinal patterns of bond expression over the duration of a subject’s life, a notable limitation of this study is that, once females are paired, they cannot freely interact with their fathers as they would in the wild69. It would be important to examine whether these findings persist when paired females are allowed to still maintain interactions with their natal group in a natural environment.\nOverall, Experiment 1 suggests that the expression of father-daughter bond behaviors lays a foundation for forming a strong pair bond, yet daughters may nevertheless continue to experience and nurture attachment to their father. This pattern underscores the possibility of overlapping mechanisms for filial and adult attachments in titi monkeys.\nTo explore the neural underpinnings of these bonds, we measured brain glucose metabolism (via [18F]FDG PET imaging) and plasma cortisol while females were still in their natal group (tested with father vs. alone) and again at six months post-pairing (tested with partner vs. alone). Prior studies on male titi monkeys showed increased whole-brain metabolism early in pair bonding46,47. Contrary to our prediction, we observed an overall decrease in glucose metabolism at six months post-pairing in females in all brain regions examined, possibly reflecting age-related changes or a different female-specific trajectory of metabolic activity58. While we are unable to disentangle the effects of pairing from the effects of aging in our present study, a previous study in another non-human primate showed only a 5% change in standard uptake value over six months72, and human studies have shown about a 0.2% per year decline in glucose metabolism measures from PET imaging73,74. Typical test-retest variability for PET imaging in general is around 5–7%, so these changes in metabolism with age were likely negligible over the small duration of our study (scans completed seven to nine months apart). Females were also all adults for the present study so they would not have been expected to experience major developmental periods within our testing period. In a previous titi monkey study, whole brain glucose metabolism did not significantly differ between 13 and 23 months of age (pre-pubescent ages), and slightly decreased from 23 to 33 months, but the subjects in that study were paired between the two scans, so it is not possible to distinguish between the effects of aging and pairing58.\nDespite the general decrease in glucose metabolism, bond behavior-expression measures explained meaningful variation in neural activity. Females that spent more time near their fathers as juveniles exhibited lower social salience network—comprising the amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area—and whole brain activity when separated from their father and when tested with the partner. This pattern is consistent with the idea that stronger social bonds can buffer stress, resulting in lower metabolic responses to separation65,66.\nConversely, observing high parental affiliation predicted higher social salience network activity in the post-pairing tests, suggesting that witnessing strong parental bonds might sensitize females to changes in their own social relationships. We also found parallels in the periaqueductal gray and cerebellum, where high father-daughter proximity predicted lower glucose metabolism during paternal separation. Notably, some measures of separation distress predicted the opposite effect in the periaqueductal gray, pointing to distinct functional roles for proximity maintenance versus distress behaviors. For instance, greater juvenile vocalization was linked to higher periaqueductal gray activity in certain contexts, aligning with the periaqueductal gray’s established role in separation distress and social pain75. In general, we observed greater variability in periaqueductal gray activity in the six-month post-pairing tests compared to the pre-pairing tests, suggesting this brain region may be more relevant for pair bonds than filial bonds. Previous research on titi monkeys49, humans61, and pair bonding rodents62 have similarly identified the role of the periaqueductal gray in adult bonds, whereas studies on the neural correlates of offspring attachment do not include activation of the periaqueductal gray76–79, making this brain region particularly interesting to focus on when disentangling pair bonding and filial bonding circuitry.\nTaken together, these neural data suggest considerable overlap in the circuitry underlying filial and pair-bond attachments, lending further support to the idea that pair bonds may have evolved from parent-offspring bonds50–53. However, the exact neurochemical pathways—oxytocin, vasopressin, dopamine, or opioids—remain unclear. Future research measuring specific receptor binding or neurotransmitter release would clarify whether different aspects of bond behaviors modulate these systems in distinct ways.\nWe did not find evidence to suggest plasma cortisol significantly differed in response to our testing paradigm. However, females generally had higher levels of cortisol across all tests, and particularly when separated from the partner, if they spent a greater amount of time being carried by the father during the first nine months of their lives. In a previous study using a similar 30-minute separation paradigm, we similarly found no significant difference in cortisol levels between the stress buffered and separation distress conditions in juvenile female titi monkeys tested with and without their fathers29. In that same study we also found that measures of infant father-daughter bond-related behaviors explained variability in cortisol responses that mirror results from our present study. Witczak and colleagues found that females that spent more time in proximity to their fathers during infant open field testing at four months of age exhibited a greater rise in cortisol during juvenile (ages 14–18 months) separation testing29. Given the overlap in previous findings in juveniles and findings in adults in our present study, it is possible that early relationships between fathers and offspring have long-lasting impacts on titi monkey physiology. It should be noted that there are methodological constraints associated with cortisol measurements. Our measures may reflect the effects of capture and sedation, which may obscure the effects of our test conditions. The average time between capturing subjects and collecting blood samples was below the five-minute cutoff recommended for capturing the effects of test conditions80; however, we cannot rule out the possibility of these other experiences (e.g., capture, injection, sedation) impacting our plasma cortisol measures. It would be valuable to assess whether father-son bonds differently impact behavioral, neural, and physiological correlates of pair bonds in males.\nIt is important to acknowledge the limitations of our study. Our subjects were laboratory-housed titi monkeys, and we had a relatively small sample size (N = 9), so the results from this study may not replicate in the wild. Future studies should aim to replicate wild conditions, incorporate measures of father-son bond expression, better isolate the effects of aging and multiple stressors, and identify neurochemicals involved in proximity maintenance, stress buffering, and separation distress.\nIn conclusion, our two experiments reveal that expression of father-daughter bond-related behaviors are significantly associated with both the behavioral expression and neural correlates of female attachment in titi monkeys. Strong paternal bonds, particularly greater time in proximity to the father following short separations as a juvenile, predict greater time in proximity with the partner during preference testing, a robust foundation for pair bonding, and the potential to maintain aspects of the filial attachment even after pairing. Neuroimaging data indicate substantial overlap in the neural circuits supporting filial and adult attachments, though overall glucose metabolism may change with age, pair-bond duration, and/or expression of bond-related behaviors. These findings contribute to our understanding of the flexible, multi-layered nature of social bonding and underscore the importance of considering individual differences in the expression of bond-related behaviors.\n\n\n### Methods\nSubjects were nine female titi monkeys (ages 27–36 months), their fathers (N = 9), and their vasectomized partners (N = 9). This age range represents a time when females are likely to emigrate from their natal group in the wild and form a pair bond36,38,39,68. Whereas the original population of titi monkeys was wild-born in the early 1970 s, all subjects used in the current study were born and housed at the California National Primate Research Center. Given the closed nature of this captive colony, we had to select partners for subjects based on genetic relatedness (using kinship pedigree analyses to ensure partners were < 25% related to each other81) and eligibility to be paired at the time when the subject came of age for the present study. Males were either adults that were still living in their natal groups awaiting a partner or had been separated from their past partner for at least two weeks, which is the amount of time our lab has found is necessary for a titi monkey to be willing to form a new pair bond after losing a partner (K. Bales, unpublished communication).\nTiti monkeys lived in their natal groups with their parents and any older siblings. Females lived with their partner once paired around 29 months. Families were housed in a 1.2 m x 1.2 m x 2.1 m–1.2 m x 1.2 m x 1.8 m stainless steel cage. They were fed twice daily with monkey chow, rice cereal, carrots, apples, and bananas. They were kept on a 12:12 light: dark cycle, with lights on at 0600 h and off at 1800 h. Room temperature was maintained at 21 °C. This housing setup matches that of previous studies28,29. This study was approved by the IACUC of the University of California, Davis (IACUC #19641 and #21445); and complied with legal requirements of the United States and the ARRIVE guidelines. No animals were sacrificed in the course of this research.\nTo study the expression of bond-related behaviors’ impacts on the behavioral correlates of proximity maintenance and the neural correlates of separation distress and stress buffering, we conducted two experiments simultaneously (Supplementary Fig. S1):\nTo examine the impact of father-daughter bond-related behaviors on behavioral and neurological responses during two experiments, we utilized methods developed in prior studies from our lab to quantify bond-related behaviors29,30. Three essential components of a pair bond are distress upon separation from the attachment figure16, preference for maintaining close social proximity to the attachment figure13, and affiliative partner-directed behaviors6. We used historical data collected by our lab to quantify infant and juvenile father-daughter bond-related behaviors as well as pair bond-related behaviors in adult pairs. We grouped these measures based on these three categories of behaviors important for bonds. For the present study, we analyzed data collected across several experiments and scan samples: an infant open field (IOF) test41,82, infant carry scan samples83, a juvenile social separation test29, a juvenile parent preference test30, and adult pair mate scan samples84.\nWhen infants in our colony are four months old, they are placed in a novel arena for 20 min and separated from family members by a mesh grate41,82. Researchers rotate the subject’s family members (mother, father, and sibling) and an empty box at the grate every five minutes and film the infant’s reactions to the presence of the different stimuli. From the IOF test, we measured signs of separation distress (IOF Locomotion and IOF Vocalization) when females were separated from their fathers and proximity maintenance when with their fathers (IOF Proximity and IOF Grate) compared to when an empty box was placed at the grate. For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\nFrom birth until nine months of age, we record where infants were in relation to their family members every two hours, five days per week83. Infants could be carried by their mother, father, sibling, or independently moving about the home-cage. In the present study we used these daily scan samples to measure the percentage of time females spent in proximity to the father in the home environment (Infant Proximity). For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\nWhen all nine of our subjects were 14–18 months of age, they experienced a series of separation tests as part of a previous study29. For the present study, we focused on the saline control condition of the test. Briefly, females were given a 180 µl dose of saline intranasally, remained undisturbed with their family in the home-cage for 30 min, and then experienced one of two conditions: (1) both parents were removed and the daughter was left alone in the home environment for 30 min (separation distress condition), or (2) only the mother was removed and the daughter remained in the home-cage with her father for 30 min (stress buffering condition). Families were then reunited in the home environment. All nine subjects experienced both the separation condition and the stress buffering condition. We filmed behaviors both during testing conditions and in the 15 min following the end of testing. We used the juvenile social separation test to measure separation distress during testing (Juvenile Vocalization and Juvenile Locomotion) and time spent in proximity to the father following the end of the separation condition (Juvenile Proximity). For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\nAll nine of our subjects experienced a series of parent preference tests from ages 18–20 months30. For the present study, we measured behaviors from the saline condition only. For this juvenile testing, females received an intranasal saline treatment (180 µl), remained undisturbed at home for 30 min, and then were moved to the center of our preference testing arena for approximately three hours. Female’s parents were on one side of the testing arena and a stranger pair of adult titi monkeys were on the other side of the arena. Females were separated from stimulus pairs by a grated window and could interact freely with either pair at the grates throughout the duration of the test. We recorded time spent in proximity to the parents, strangers, and within the non-social areas of the testing arena across five 30-minute observations. Following the three hour test, we performed five catch-and-release sessions, where we caught females from the center arena in a transport box, released them back into the center arena, and recorded which stimulus pair the females chose to stay in proximity to first (proximity needed to last at least 10 s to be indicated as a choice). From the juvenile parent preference test, we quantified preference for maintaining proximity to the parents during testing (Juvenile Parent Preference) and frequency of choosing the parents over a stranger following a brief separation period (Juvenile Parent Choice). For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\nOur lab collects adult pair-mate scan samples on every pair in our colony for the duration of their entire pairing84. Every two hours, five days per week, we record where pair-mates are in relation to each other. If partners are more than one arm-length apart, we record that as no proximity, but if they are physically close, we record the type of affiliation observed (proximity, contact, or tail-twining). For the present study, we used these data to calculate the percentage of observations pairs were observed displaying some form of affiliation (proximity, contact, or tail-twining) out of all observations recorded. We measured affiliation between parents observed by the daughter while she was in her natal group for the first 14 months of her life (Parent Affiliation) and affiliation between the female and her partner during their six months of pairing (Pair Affiliation) to quantify affiliative partner-directed behaviors. For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\nFor data analysis, all measures of bond-related behaviors were centered about the mean value for our nine subjects. This allowed us to determine how variation in expression of bond-related behaviors is associated with various outcomes in our two experiments. For example, we could examine how females that spent a greater proportion of time in proximity to their fathers as infants differ from females that spent comparatively less time maintaining proximity with their fathers. To test our hypotheses, we defined higher expression of infant and juvenile father-daughter bond-related behaviors as greater relative expression of separation distress (IOF Locomotion, IOF Vocalization, Juvenile Locomotion, Juvenile Vocalization), proximity maintenance (Juvenile Proximity, Juvenile Parent Preference, Juvenile Parent Choice, IOF Proximity, IOF Grate, Infant Proximity) and affiliation (Pair Affiliation, Parent Affiliation). For more details on how each measure was quantified, see previous studies by Witczak and colleagues29,30 and the Supplementary Methods of the present study (Supplementary Table S4).\nTo assess behavioral preference for one attachment figure over another, females were tested in a total of three preference tests13. For all three tests, subjects were released into the center chamber of the three-chambered testing apparatus (Supplementary Fig. 18). Tests lasted for approximately 3 h, and we live-scored five consecutive 30-minute blocks (five Observations per preference test). The first preference test occurred when the female was still in her natal group one-week pre-pairing. Her father was on one side, with an unfamiliar male (with whom she was later paired) on the other side. Testing was repeated one-week post-pairing and six-months post-pairing (Supplementary Fig. S1). The side that stimulus animals were on alternated between tests to avoid development of a side preference.\nAll tests were video-recorded and live-scored using Behavior Tracker (www.behaviortracker.com) using an established ethogram (Supplementary Table S3). We quantified the amount of time a subject spent in the preference zone of their partner and their father, and the amount of time females spent touching the stimulus animals’ grates. We created a Zone Ratio score by multiplying the time females spent in their partner’s preference zone by + 1, the time in the father’s preference zone by −1, and the time in the neutral zone by 0, and summing these three values per observation. Positive values represented more time in the partner’s preference zone whereas negative values represented more time in the father’s preference zone. Values closer to zero either indicated a lack of choice between the father and partner, with the female spending relatively the same amount of time in each zone, or a preference for the non-social areas of the testing arena. To disentangle this lack of choice from spending equal amounts of time in both preference zones, we also measured overall time in either social zone (father’s or partner’s) and overall time in the non-social parts of the testing arena.\nAll analyses were conducted in R Statistical Software (version 4.0.3, R Core Development Team, 2020). We performed a Shapiro Wilk test of normality and transformed non-normally distributed variables85. All tests were two-tailed and the significance threshold of 0.05.\nWe first identified which of the 12 bond behavior expression variables (IOF Locomotion, IOF Vocalization, Juvenile Vocalization, Juvenile Locomotion, Juvenile Proximity, Juvenile Parent Preference, Juvenile Parent Choice, Infant Proximity, IOF Proximity, IOF Grate, Pair Affiliation, Parent Affiliation; for more details see previous studies by Witczak and colleagues29,30, and Supplementary Methods of the present study; Supplementary Table S4) best explained variance in our outcome variables (Supplementary Table S3). To identify best-fitting bond behavior expression variables, we ran stepwise regression using the leaps package86. This method allowed us to iteratively add and remove variables in the predictive model to identify which subset of variables resulted in the model with the lowest prediction error87,88. To simplify the stepwise regression models, we first ran separate stepwise regression models for separation distress (IOF Locomotion, IOF Vocalization, Juvenile Locomotion, Juvenile Vocalization), proximity maintenance (Juvenile Proximity, Juvenile Parent Preference, Juvenile Parent Choice, IOF Proximity, IOF Grate, Infant Proximity) and affiliation (Pair Affiliation, Parent Affiliation) variables. Once we identified the top separation distress, proximity maintenance, and affiliation variables, we ran a final stepwise regression model that just included those top variables from each category (separation distress, proximity maintenance, affiliation), selecting the most theoretically relevant variables if any were highly correlated (Supplementary Table S5). The combination of bond/behavior expression variables that was identified as producing a model with the lowest prediction error was then used in our mixed-effects models (see Supplementary Methods for further model details).\nWe ran general linear mixed-effects models (LMM) using the lmerTest package89, with animal identity as a random effect to account for repeated measures. In our full model, fixed effects included Test Number (one-week pre-pairing, one-week post-pairing, six-months post-pairing), Observation Number (the five 30-minute time-blocks scored within each 3-hour preference test), Partner Experience (whether the male partner had previously been paired with another titi monkey [experienced] vs. not [naïve]), bond behavior-expression variables (identified by previous stepwise regression analyses), and interaction effects between Test Number and each bond behavior-expression variable. To determine the best-fitting model, we used backwards selection to remove any non-significant fixed effects90. We used a log likelihood ratio test to compare model fit to determine whether removing any non-significant fixed effects resulted in a better fitting model91 (Supplementary Table S6). The one final model represented the most likely hypothesized relationship between parameters given the data. When Test Number was statistically significant in our final model, we used the eemeans package92 to conduct pairwise comparisons between the three preference tests with Tukey’s post-hoc corrections. When final models included interaction effects, we assessed contrasts between conditional marginal means in the presence of interactions88. For all significant predictors we also calculated Cohen’s f2 as a measure of effect size93,94. Based on Cohen’s95 guidelines, f2\n≥\n0.02, f2\n≥\n0.15, and f2\n≥\n0.35 represent small, medium, and large effect sizes, respectively. We performed a sensitivity analysis using G*Power 3 prior to the main analysis to determine the minimum effect size (Cohen’s f2) that we could reliably interpret for each model. We interpreted results only for predictors that had an alpha of ≤ 0.05 and an effect size larger than that which we could interpret based on our sensitivity analysis.\nIn tandem with Experiment 1, females were tested in a total of four [18F]PET scans: two one-month pre-pairing while she was in her natal group and her primary attachment figure was her father, and two six-months post pairing, when females demonstrate a clear preference for their partner over strangers64. During the pre-pairing scans, we examined glucose metabolism when the female was scanned with her father (baseline), and after she was separated from her father for 30 min, to measure the neural correlates of distress upon separation from her primary attachment figure (for similar methods, see Hinde and colleagues49. Similarly, during the post-pairing scans the female was scanned with her partner and after a 30-minute separation from her partner. All [18F]PET scans were counter-balanced so five females were scanned with their current attachment figure first and four females were scanned separated from their current attachment figure first (Supplementary Fig. S1). After completing all four scans, we conducted one structural magnetic resonance imaging (MRI) scan to use for co-registration and quantification of [18F]FDG uptake ([18F]FDG; PETNET Solutions, Sacramento, CA, USA). [18F]FDG uptake has previously been used in titi monkeys as an approximation of brain activity45,46,49,58.\nFemales and their families were relocated to the testing room 48-hours prior to the start of the scan to reduce the effects of being in a novel environment on neural activity49. Titi monkeys were fasted for 10 h prior to the start of each PET scan, with water available ad libitum. On the day of the PET scan, females received a bolus [18F]FDG injection into the saphenous vein. The father remained in the testing cage during the “baseline” condition or was removed from the room while the female received her [18F]FDG injection during the “separation” condition. The mother and any siblings were removed from the testing room in both conditions when the female received her [18F]FDG injection. The female was returned to the testing cage (where she was either alone or with her father) and filmed for 30 min. Following the 30-minute uptake period, the females were hand-caught and sedated with ketamine (25 mg/kg IM). As soon as females were sedated, a 1.0 ml blood sample was collected via femoral venipuncture. We aimed to collect blood samples within five minutes of capture so plasma cortisol would reflect the effects of the separation or stress buffering condition, rather than the effects of capture and sedation80. Mean time from capture to blood sample collection was 4 min and 44.36 s (SD = 2:23.53; range = 2:16.00–12:06.00). Eight of the 36 blood samples were collected after the five-minute cutoff, but they were not outliers in our dataset, so we kept them in our analyses. Following blood collection, samples were placed on ice immediately, centrifuged at 1,610 x g at 4 °C, and the plasma extracted and stored at −80 °C until assay.\nPET imaging was performed on the πPET dedicated brain scanner (Brain Biosciences, Rockville, MD). Anesthesia was maintained throughout the 60-minute scan with isoflurane. MRI scans were conducted in a GE Signa LX 9.1 scanner (General Electric Corporation, Milwaukee, WI, USA) with a 1.5 T field strength and a 3” surface coil. Region of interest (ROI) structures were drawn on each subject’s MRI image using PMOD (version 4.2) software (https://www.pmod.com/web/) using the “view” tool (Supplementary Fig. S19). ROIs for the present study were regions within the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), the periaqueductal gray, the cerebellum, and whole brain. The brain regions for the social salience network were identified based on their role in prairie vole pair bonding57, and their relevance to juvenile and adult titi monkey attachment relationships45,58. The periaqueductal gray and cerebellum were included due to their identified role in male titi monkey separation distress49. For hypothesized connections between the social salience network, periaqueductal gray, and cerebellum, see Supplementary Fig. S2. PET scan data were then co-registered with the same MRI image for each subject using the “fusion” tool in PMOD. To analyze ROI activity, we extracted the total activity for each ROI (left and right), which was calculated as Standardized Uptake Value normalized by body weight (SUVbw).\nAn enzyme immunoassay validated for titi monkeys96 was used to estimate plasma cortisol concentrations from blood samples. A total of two plates were assayed, with intra-assay CVs of 12.2% and 10.7%, with an inter-assay CV of 1.7%.\nFemales were then paired and remained with this partner for the duration of testing. Following six months of pairing, females were tested using the same paradigm as described above; however, they were tested with their partner or alone (separation condition).\nData analyses for Experiment 2 were nearly identical to those conducted in Experiment 1. We checked for normality and transformed any non-normally distributed variables. We then conducted stepwise regression to identify which bond behavior expression variables we should include in our LMM analyses. All LMM analyses included ID as a random, repeated measure. In our full model for Social Salience Network, fixed effects included Condition (father, separated from father, partner, separated from partner), Region (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, ventral tegmental area), Side (left, right), bond behavior expression variables (identified by previous stepwise regression analyses), and interaction effects between Condition and each bond behavior expression variable. We assessed patterns within the social salience network, rather than assessing each individual region within the network, because previous work has found that behavior may be most strongly linked to patterns of activity across a network, rather than within individual regions56. For our two regions outside of the social salience network (the periaqueductal gray and the cerebellum), we ran separate models for the specific regions. LMM analyses for whole brain and periaqueductal gray were the same but did not include Region as a fixed effect. LMM analyses for cerebellum and cortisol were the same as whole brain and periaqueductal gray but did not include Side as a fixed effect. We used backwards selection and a log-likelihood ratio test to identify the most parsimonious model that best explained variability in our data (Supplementary Table S7) and interpreted significance only from that one final model when p <.05 and effect size (Cohen’s f2) was above the threshold we could confidently interpret based on sensitivity analyses. When Condition was statistically significant in our final model, we used the eemeans package92 to conduct pairwise comparisons between the four [18F]PET scan conditions with Tukey’s post-hoc corrections. When final models included interaction effects, we assessed contrasts between conditional marginal means in the presence of interactions81. For more details regarding model decisions, see Supplementary Methods.\n\n\n### Subjects and housing\nSubjects were nine female titi monkeys (ages 27–36 months), their fathers (N = 9), and their vasectomized partners (N = 9). This age range represents a time when females are likely to emigrate from their natal group in the wild and form a pair bond36,38,39,68. Whereas the original population of titi monkeys was wild-born in the early 1970 s, all subjects used in the current study were born and housed at the California National Primate Research Center. Given the closed nature of this captive colony, we had to select partners for subjects based on genetic relatedness (using kinship pedigree analyses to ensure partners were < 25% related to each other81) and eligibility to be paired at the time when the subject came of age for the present study. Males were either adults that were still living in their natal groups awaiting a partner or had been separated from their past partner for at least two weeks, which is the amount of time our lab has found is necessary for a titi monkey to be willing to form a new pair bond after losing a partner (K. Bales, unpublished communication).\nTiti monkeys lived in their natal groups with their parents and any older siblings. Females lived with their partner once paired around 29 months. Families were housed in a 1.2 m x 1.2 m x 2.1 m–1.2 m x 1.2 m x 1.8 m stainless steel cage. They were fed twice daily with monkey chow, rice cereal, carrots, apples, and bananas. They were kept on a 12:12 light: dark cycle, with lights on at 0600 h and off at 1800 h. Room temperature was maintained at 21 °C. This housing setup matches that of previous studies28,29. This study was approved by the IACUC of the University of California, Davis (IACUC #19641 and #21445); and complied with legal requirements of the United States and the ARRIVE guidelines. No animals were sacrificed in the course of this research.\nTo study the expression of bond-related behaviors’ impacts on the behavioral correlates of proximity maintenance and the neural correlates of separation distress and stress buffering, we conducted two experiments simultaneously (Supplementary Fig. S1):\n\n\n### Experiment 1 and 2 measures of bond-related behaviors\nTo examine the impact of father-daughter bond-related behaviors on behavioral and neurological responses during two experiments, we utilized methods developed in prior studies from our lab to quantify bond-related behaviors29,30. Three essential components of a pair bond are distress upon separation from the attachment figure16, preference for maintaining close social proximity to the attachment figure13, and affiliative partner-directed behaviors6. We used historical data collected by our lab to quantify infant and juvenile father-daughter bond-related behaviors as well as pair bond-related behaviors in adult pairs. We grouped these measures based on these three categories of behaviors important for bonds. For the present study, we analyzed data collected across several experiments and scan samples: an infant open field (IOF) test41,82, infant carry scan samples83, a juvenile social separation test29, a juvenile parent preference test30, and adult pair mate scan samples84.\n\n\n### IOF test\nWhen infants in our colony are four months old, they are placed in a novel arena for 20 min and separated from family members by a mesh grate41,82. Researchers rotate the subject’s family members (mother, father, and sibling) and an empty box at the grate every five minutes and film the infant’s reactions to the presence of the different stimuli. From the IOF test, we measured signs of separation distress (IOF Locomotion and IOF Vocalization) when females were separated from their fathers and proximity maintenance when with their fathers (IOF Proximity and IOF Grate) compared to when an empty box was placed at the grate. For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\n\n\n### Infant carry scan samples\nFrom birth until nine months of age, we record where infants were in relation to their family members every two hours, five days per week83. Infants could be carried by their mother, father, sibling, or independently moving about the home-cage. In the present study we used these daily scan samples to measure the percentage of time females spent in proximity to the father in the home environment (Infant Proximity). For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\n\n\n### Juvenile social separation test\nWhen all nine of our subjects were 14–18 months of age, they experienced a series of separation tests as part of a previous study29. For the present study, we focused on the saline control condition of the test. Briefly, females were given a 180 µl dose of saline intranasally, remained undisturbed with their family in the home-cage for 30 min, and then experienced one of two conditions: (1) both parents were removed and the daughter was left alone in the home environment for 30 min (separation distress condition), or (2) only the mother was removed and the daughter remained in the home-cage with her father for 30 min (stress buffering condition). Families were then reunited in the home environment. All nine subjects experienced both the separation condition and the stress buffering condition. We filmed behaviors both during testing conditions and in the 15 min following the end of testing. We used the juvenile social separation test to measure separation distress during testing (Juvenile Vocalization and Juvenile Locomotion) and time spent in proximity to the father following the end of the separation condition (Juvenile Proximity). For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\n\n\n### Juvenile parent preference test\nAll nine of our subjects experienced a series of parent preference tests from ages 18–20 months30. For the present study, we measured behaviors from the saline condition only. For this juvenile testing, females received an intranasal saline treatment (180 µl), remained undisturbed at home for 30 min, and then were moved to the center of our preference testing arena for approximately three hours. Female’s parents were on one side of the testing arena and a stranger pair of adult titi monkeys were on the other side of the arena. Females were separated from stimulus pairs by a grated window and could interact freely with either pair at the grates throughout the duration of the test. We recorded time spent in proximity to the parents, strangers, and within the non-social areas of the testing arena across five 30-minute observations. Following the three hour test, we performed five catch-and-release sessions, where we caught females from the center arena in a transport box, released them back into the center arena, and recorded which stimulus pair the females chose to stay in proximity to first (proximity needed to last at least 10 s to be indicated as a choice). From the juvenile parent preference test, we quantified preference for maintaining proximity to the parents during testing (Juvenile Parent Preference) and frequency of choosing the parents over a stranger following a brief separation period (Juvenile Parent Choice). For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\n\n\n### Adult pair-mate scan samples\nOur lab collects adult pair-mate scan samples on every pair in our colony for the duration of their entire pairing84. Every two hours, five days per week, we record where pair-mates are in relation to each other. If partners are more than one arm-length apart, we record that as no proximity, but if they are physically close, we record the type of affiliation observed (proximity, contact, or tail-twining). For the present study, we used these data to calculate the percentage of observations pairs were observed displaying some form of affiliation (proximity, contact, or tail-twining) out of all observations recorded. We measured affiliation between parents observed by the daughter while she was in her natal group for the first 14 months of her life (Parent Affiliation) and affiliation between the female and her partner during their six months of pairing (Pair Affiliation) to quantify affiliative partner-directed behaviors. For more details, see Supplementary Materials (Supplementary Methods; Supplementary Table S4).\n\n\n### Present study bond-related behaviors in data analyses\nFor data analysis, all measures of bond-related behaviors were centered about the mean value for our nine subjects. This allowed us to determine how variation in expression of bond-related behaviors is associated with various outcomes in our two experiments. For example, we could examine how females that spent a greater proportion of time in proximity to their fathers as infants differ from females that spent comparatively less time maintaining proximity with their fathers. To test our hypotheses, we defined higher expression of infant and juvenile father-daughter bond-related behaviors as greater relative expression of separation distress (IOF Locomotion, IOF Vocalization, Juvenile Locomotion, Juvenile Vocalization), proximity maintenance (Juvenile Proximity, Juvenile Parent Preference, Juvenile Parent Choice, IOF Proximity, IOF Grate, Infant Proximity) and affiliation (Pair Affiliation, Parent Affiliation). For more details on how each measure was quantified, see previous studies by Witczak and colleagues29,30 and the Supplementary Methods of the present study (Supplementary Table S4).\n\n\n### Experiment 1 data collection\nTo assess behavioral preference for one attachment figure over another, females were tested in a total of three preference tests13. For all three tests, subjects were released into the center chamber of the three-chambered testing apparatus (Supplementary Fig. 18). Tests lasted for approximately 3 h, and we live-scored five consecutive 30-minute blocks (five Observations per preference test). The first preference test occurred when the female was still in her natal group one-week pre-pairing. Her father was on one side, with an unfamiliar male (with whom she was later paired) on the other side. Testing was repeated one-week post-pairing and six-months post-pairing (Supplementary Fig. S1). The side that stimulus animals were on alternated between tests to avoid development of a side preference.\nAll tests were video-recorded and live-scored using Behavior Tracker (www.behaviortracker.com) using an established ethogram (Supplementary Table S3). We quantified the amount of time a subject spent in the preference zone of their partner and their father, and the amount of time females spent touching the stimulus animals’ grates. We created a Zone Ratio score by multiplying the time females spent in their partner’s preference zone by + 1, the time in the father’s preference zone by −1, and the time in the neutral zone by 0, and summing these three values per observation. Positive values represented more time in the partner’s preference zone whereas negative values represented more time in the father’s preference zone. Values closer to zero either indicated a lack of choice between the father and partner, with the female spending relatively the same amount of time in each zone, or a preference for the non-social areas of the testing arena. To disentangle this lack of choice from spending equal amounts of time in both preference zones, we also measured overall time in either social zone (father’s or partner’s) and overall time in the non-social parts of the testing arena.\n\n\n### Experiment 1 data analysis\nAll analyses were conducted in R Statistical Software (version 4.0.3, R Core Development Team, 2020). We performed a Shapiro Wilk test of normality and transformed non-normally distributed variables85. All tests were two-tailed and the significance threshold of 0.05.\nWe first identified which of the 12 bond behavior expression variables (IOF Locomotion, IOF Vocalization, Juvenile Vocalization, Juvenile Locomotion, Juvenile Proximity, Juvenile Parent Preference, Juvenile Parent Choice, Infant Proximity, IOF Proximity, IOF Grate, Pair Affiliation, Parent Affiliation; for more details see previous studies by Witczak and colleagues29,30, and Supplementary Methods of the present study; Supplementary Table S4) best explained variance in our outcome variables (Supplementary Table S3). To identify best-fitting bond behavior expression variables, we ran stepwise regression using the leaps package86. This method allowed us to iteratively add and remove variables in the predictive model to identify which subset of variables resulted in the model with the lowest prediction error87,88. To simplify the stepwise regression models, we first ran separate stepwise regression models for separation distress (IOF Locomotion, IOF Vocalization, Juvenile Locomotion, Juvenile Vocalization), proximity maintenance (Juvenile Proximity, Juvenile Parent Preference, Juvenile Parent Choice, IOF Proximity, IOF Grate, Infant Proximity) and affiliation (Pair Affiliation, Parent Affiliation) variables. Once we identified the top separation distress, proximity maintenance, and affiliation variables, we ran a final stepwise regression model that just included those top variables from each category (separation distress, proximity maintenance, affiliation), selecting the most theoretically relevant variables if any were highly correlated (Supplementary Table S5). The combination of bond/behavior expression variables that was identified as producing a model with the lowest prediction error was then used in our mixed-effects models (see Supplementary Methods for further model details).\nWe ran general linear mixed-effects models (LMM) using the lmerTest package89, with animal identity as a random effect to account for repeated measures. In our full model, fixed effects included Test Number (one-week pre-pairing, one-week post-pairing, six-months post-pairing), Observation Number (the five 30-minute time-blocks scored within each 3-hour preference test), Partner Experience (whether the male partner had previously been paired with another titi monkey [experienced] vs. not [naïve]), bond behavior-expression variables (identified by previous stepwise regression analyses), and interaction effects between Test Number and each bond behavior-expression variable. To determine the best-fitting model, we used backwards selection to remove any non-significant fixed effects90. We used a log likelihood ratio test to compare model fit to determine whether removing any non-significant fixed effects resulted in a better fitting model91 (Supplementary Table S6). The one final model represented the most likely hypothesized relationship between parameters given the data. When Test Number was statistically significant in our final model, we used the eemeans package92 to conduct pairwise comparisons between the three preference tests with Tukey’s post-hoc corrections. When final models included interaction effects, we assessed contrasts between conditional marginal means in the presence of interactions88. For all significant predictors we also calculated Cohen’s f2 as a measure of effect size93,94. Based on Cohen’s95 guidelines, f2\n≥\n0.02, f2\n≥\n0.15, and f2\n≥\n0.35 represent small, medium, and large effect sizes, respectively. We performed a sensitivity analysis using G*Power 3 prior to the main analysis to determine the minimum effect size (Cohen’s f2) that we could reliably interpret for each model. We interpreted results only for predictors that had an alpha of ≤ 0.05 and an effect size larger than that which we could interpret based on our sensitivity analysis.\n\n\n### Experiment 2 data collection\nIn tandem with Experiment 1, females were tested in a total of four [18F]PET scans: two one-month pre-pairing while she was in her natal group and her primary attachment figure was her father, and two six-months post pairing, when females demonstrate a clear preference for their partner over strangers64. During the pre-pairing scans, we examined glucose metabolism when the female was scanned with her father (baseline), and after she was separated from her father for 30 min, to measure the neural correlates of distress upon separation from her primary attachment figure (for similar methods, see Hinde and colleagues49. Similarly, during the post-pairing scans the female was scanned with her partner and after a 30-minute separation from her partner. All [18F]PET scans were counter-balanced so five females were scanned with their current attachment figure first and four females were scanned separated from their current attachment figure first (Supplementary Fig. S1). After completing all four scans, we conducted one structural magnetic resonance imaging (MRI) scan to use for co-registration and quantification of [18F]FDG uptake ([18F]FDG; PETNET Solutions, Sacramento, CA, USA). [18F]FDG uptake has previously been used in titi monkeys as an approximation of brain activity45,46,49,58.\nFemales and their families were relocated to the testing room 48-hours prior to the start of the scan to reduce the effects of being in a novel environment on neural activity49. Titi monkeys were fasted for 10 h prior to the start of each PET scan, with water available ad libitum. On the day of the PET scan, females received a bolus [18F]FDG injection into the saphenous vein. The father remained in the testing cage during the “baseline” condition or was removed from the room while the female received her [18F]FDG injection during the “separation” condition. The mother and any siblings were removed from the testing room in both conditions when the female received her [18F]FDG injection. The female was returned to the testing cage (where she was either alone or with her father) and filmed for 30 min. Following the 30-minute uptake period, the females were hand-caught and sedated with ketamine (25 mg/kg IM). As soon as females were sedated, a 1.0 ml blood sample was collected via femoral venipuncture. We aimed to collect blood samples within five minutes of capture so plasma cortisol would reflect the effects of the separation or stress buffering condition, rather than the effects of capture and sedation80. Mean time from capture to blood sample collection was 4 min and 44.36 s (SD = 2:23.53; range = 2:16.00–12:06.00). Eight of the 36 blood samples were collected after the five-minute cutoff, but they were not outliers in our dataset, so we kept them in our analyses. Following blood collection, samples were placed on ice immediately, centrifuged at 1,610 x g at 4 °C, and the plasma extracted and stored at −80 °C until assay.\nPET imaging was performed on the πPET dedicated brain scanner (Brain Biosciences, Rockville, MD). Anesthesia was maintained throughout the 60-minute scan with isoflurane. MRI scans were conducted in a GE Signa LX 9.1 scanner (General Electric Corporation, Milwaukee, WI, USA) with a 1.5 T field strength and a 3” surface coil. Region of interest (ROI) structures were drawn on each subject’s MRI image using PMOD (version 4.2) software (https://www.pmod.com/web/) using the “view” tool (Supplementary Fig. S19). ROIs for the present study were regions within the social salience network (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, and ventral tegmental area), the periaqueductal gray, the cerebellum, and whole brain. The brain regions for the social salience network were identified based on their role in prairie vole pair bonding57, and their relevance to juvenile and adult titi monkey attachment relationships45,58. The periaqueductal gray and cerebellum were included due to their identified role in male titi monkey separation distress49. For hypothesized connections between the social salience network, periaqueductal gray, and cerebellum, see Supplementary Fig. S2. PET scan data were then co-registered with the same MRI image for each subject using the “fusion” tool in PMOD. To analyze ROI activity, we extracted the total activity for each ROI (left and right), which was calculated as Standardized Uptake Value normalized by body weight (SUVbw).\nAn enzyme immunoassay validated for titi monkeys96 was used to estimate plasma cortisol concentrations from blood samples. A total of two plates were assayed, with intra-assay CVs of 12.2% and 10.7%, with an inter-assay CV of 1.7%.\nFemales were then paired and remained with this partner for the duration of testing. Following six months of pairing, females were tested using the same paradigm as described above; however, they were tested with their partner or alone (separation condition).\n\n\n### Experiment 2 data analysis\nData analyses for Experiment 2 were nearly identical to those conducted in Experiment 1. We checked for normality and transformed any non-normally distributed variables. We then conducted stepwise regression to identify which bond behavior expression variables we should include in our LMM analyses. All LMM analyses included ID as a random, repeated measure. In our full model for Social Salience Network, fixed effects included Condition (father, separated from father, partner, separated from partner), Region (amygdala, hypothalamus, lateral septum, nucleus accumbens, ventral pallidum, ventral tegmental area), Side (left, right), bond behavior expression variables (identified by previous stepwise regression analyses), and interaction effects between Condition and each bond behavior expression variable. We assessed patterns within the social salience network, rather than assessing each individual region within the network, because previous work has found that behavior may be most strongly linked to patterns of activity across a network, rather than within individual regions56. For our two regions outside of the social salience network (the periaqueductal gray and the cerebellum), we ran separate models for the specific regions. LMM analyses for whole brain and periaqueductal gray were the same but did not include Region as a fixed effect. LMM analyses for cerebellum and cortisol were the same as whole brain and periaqueductal gray but did not include Side as a fixed effect. We used backwards selection and a log-likelihood ratio test to identify the most parsimonious model that best explained variability in our data (Supplementary Table S7) and interpreted significance only from that one final model when p <.05 and effect size (Cohen’s f2) was above the threshold we could confidently interpret based on sensitivity analyses. When Condition was statistically significant in our final model, we used the eemeans package92 to conduct pairwise comparisons between the four [18F]PET scan conditions with Tukey’s post-hoc corrections. When final models included interaction effects, we assessed contrasts between conditional marginal means in the presence of interactions81. For more details regarding model decisions, see Supplementary Methods.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.\nSupplementary Material 1\nSupplementary Material 1", "domain": "affective_neuroscience"}
{"source": "PMC12797022", "title": "Oxytocinergic Signaling in Zebrafish: Translational Perspectives for Autism Spectrum Disorder", "text": "# Oxytocinergic Signaling in Zebrafish: Translational Perspectives for Autism Spectrum Disorder\n\n## Abstract\nAlterations in the oxytocin system, accompanied by cognitive and behavioral deficits, are common in several neurodevelopmental conditions, including Autism Spectrum Disorder. Oxytocin, a neuropeptide produced in the hypothalamus, plays a pivotal role in modulating social cognition and complex social behaviors. Recently, increasing attention has been given to the therapeutic potential of oxytocin in the treatment of neurodevelopmental disorders. However, many aspects of oxytocin signaling and its effects remain to be fully elucidated. Given its pronounced social behaviors and conserved neurochemical pathways, the zebrafish (\nDanio rerio\n) has emerged as a model for investigating the neural and behavioral effects of oxytocin. This species exhibits a wide behavioral repertoire, making it suitable for modeling oxytocin‐related neurodevelopmental alterations. Here we provide an overview of the key mechanisms underlying oxytocin signaling and discuss current findings supporting the use of zebrafish as an Autism Spectrum Disorder model.  Alterations in oxytocin signaling are strongly implicated in the social and cognitive deficits characterizing Autism Spectrum Disorder (ASD) and other neurodevelopmental conditions. However, the precise mechanisms remain unclear. The zebrafish (\nDanio rerio\n) has emerged as a powerful translational model due to its evolutionarily conserved oxytocin pathways and rich repertoire of complex social behaviors. This review synthesizes key mechanisms of oxytocin signaling and evaluates the evidence supporting the use of zebrafish to model ASD and elucidate these critical pathways.\n\n## Full Text\n\n\n### Introduction\nSocial behavior is essential for the survival and organization of many species, as it depends on dynamic interactions between individuals (Snyder‐Mackler et al. 2020). Oxytocin, a neuropeptide first described by Sir Henry Dale over a century ago, plays a key role in modulating these behaviors (Dale 1906, 1909). This multifunctional molecule has attracted growing interest from various scientific fields, particularly social neuroscience. Since the 1980s, pioneering studies have demonstrated the influence of oxytocin on social behavior, establishing it as a key target in the study of social cognition and neurodevelopmental conditions (Kovács et al. 1978; Sarnyai et al. 1991; Erdozain and Peñagarikano 2020). In this context, oxytocin acts as an important modulator from the central nervous system (CNS), playing an essential role in a wide range of social functions, including: (i) maternal, affiliative, and sexual behavior; (ii) processing of social, emotional, and sensory information; (iii) social cognition and recognition; (iv) attenuation of anxiety; and (v) regulation of fear and stress responses (Choe et al. 2015; De Dreu and Kret 2016; Raam et al. 2017; Menon et al. 2018; Rogers‐Carter et al. 2018; Hirota et al. 2020).\nA clinical study in healthy men (aged 20–30 years) demonstrated that the oxytocin system modulates many aspects of social behavior; among these, it increases empathy and promotes feelings of self‐confidence (Colonnello and Heinrichs 2014). In adult men, oxytocin also promotes the conformity of opinions among the members of a social group and plays a fundamental role in the development of affective social bonds (Huang et al. 2015). Evidence from randomized clinical trials in humans and review studies indicates that this neuropeptide also participates in the regulation of social stress and is associated with mentalization, empathy, and altruism processes (Hurlemann et al. 2010; Pohl et al. 2019; Xu et al. 2019). Corroborating these findings, in healthy humans, intranasal administration of oxytocin has positive effects on the perception and emotional recognition of facial expressions, improves eye contact, and modulates cooperation and defense behaviors towards in‐group or out‐group members (Huang et al. 2015; Tillman et al. 2019). In the context of intergroup relations, there is evidence that oxytocin effects depend on the social context and on individual characteristics, such as personality traits, gender, and psychopathological conditions (Shamay‐Tsoory and Abu‐Akel 2016).\nIn mammals, oxytocin is synthesized in the paraventricular and supraoptic nuclei of the hypothalamus. It is then released via axons to the neurohypophysis, where it is stored and then secreted into the bloodstream to exert physiological functions related to the endocrine system (Neumann 2007; Pohl et al. 2019; Perisic et al. 2024). Oxytocin mediates its effects by binding to oxytocin receptors (OXTRs), a class of metabotropic G protein‐coupled receptors (Song and Albers 2018) expressed in both CNS and peripheral tissues (Jurek and Neumann 2018; Newmaster et al. 2020). In the peripheral system, OXTRs are expressed in organs such as the uterus, kidneys, thymus, bones, and heart, where they regulate several physiological functions, including circadian rhythm, heart rate, osteogenesis, myogenesis, and the modulation of the immune and reproductive functions (Jurek and Neumann 2018; Newmaster et al. 2020). In the CNS, OXTRs are expressed in neurons and glial cells of the hippocampus, amygdala, and prefrontal cortex (Quintana et al. 2019). Evidence indicates that oxytocin signaling begins early in development, particularly during the neonatal period, playing a critical role in brain organization (Muscatelli et al. 2022). Corroborating this, peaks in OXTR expression in cortical areas coincide with critical periods of postnatal development and are essential for lifelong social learning (Vaidyanathan and Hammock 2017). In the hippocampus and amygdala, OXTRs play a key role in regulating social recognition, social learning, and emotional functions. This occurs because the distribution of OXTRs in the ventral and dorsal hippocampus regulates emotional and cognitive processes, respectively, with the ventral region associated with emotion and the dorsal region with social and spatial learning (Walia et al. 2024). The amygdala also contributes to social regulation and is a critical structure for emotional processing, where OXTR activation helps modulate aggressive behavior (Gulevich et al. 2019). Impairments in social recognition and increased aggression—both linked to alterations in oxytocin signaling—are commonly observed in individuals with Autism Spectrum Disorder (ASD) (Zhan et al. 2024; Patwardhan and Choe 2025).\nASD is a multifaceted neurodevelopmental disorder marked by challenges in communication and social interaction. Since its first descriptions (Kanner 1943; Asperger 1944), the concept of autism has expanded considerably. Successive editions of the Diagnostic and Statistical Manual of Mental Disorders (DSM) have refined its definition, culminating in the DSM‐5, which unified previous subtypes under ASD, recognizing a broad spectrum of behavioral, cognitive, and social manifestations (American Psychiatric Association 2013). A systematic review reported an ASD prevalence of 100 per 10 000 individuals (range: 1.09–436.0/10000). The median male‐to‐female ratio was 4.2, and approximately 33% of ASD cases presented co‐occurring intellectual disability (Zeidan et al. 2022). The observed increase in prevalence over time likely reflects the combined effects of increased awareness, improved diagnostic criteria, public health strategies, and enhanced community capacity, rather than solely biological determinants. While epidemiological studies indicate a growing global prevalence of ASD, genetic factors also play a crucial role in its etiology.\nAmong the several genes implicated in ASD, some are involved in synapse formation, such as SHANK3 (multiple ankyrin repeat domains 3) (Durand et al. 2007) and CNTNAP2 (contactin‐associated protein‐like 2) (Zweier et al. 2009). CNTNAP2 encodes a protein essential for neuronal synapse formation and communication between neurons and has been associated with ASD. Disruption of these genes may impair synaptic connectivity in brain regions critical for social cognition (Kareklas, Teles, Dreosti et al. 2023; Liu et al. 2018). In parallel, oxytocin, a neuropeptide widely recognized for its role in modulating social bonding, affiliative behavior, and conspecific recognition, acts upon these same neural pathways (Zelmanoff et al. 2025). Emerging evidence suggests that alterations in synaptic genes may converge with dysregulated oxytocin signaling, offering a potential mechanistic link between genetic vulnerability and social behavior deficits in ASD (Pekarek et al. 2022; Rokicki et al. 2022).\nIn fact, it is well established in literature that disturbances in the oxytocinergic system are intimately connected to several psychiatric diseases and neurodevelopmental disorders, including schizophrenia, psychopathy, Prader‐Willi syndrome, and ASD (Grinevich et al. 2015; Rajamani et al. 2018; Peled‐Avron et al. 2020; Rijnders et al. 2021; Goh and Lu 2022). In this context, the zebrafish (\nDanio rerio\n) has emerged as a powerful model organism in diverse research fields, especially in behavioral neuroscience and neuropharmacology for elucidating molecular mechanisms underlying diseases (Qin et al. 2014; Bao et al. 2019). This species displays transparent embryos during early developmental stages, has a fully sequenced genome and shares high physiological, neuroanatomical, and genetic homology with humans (Panula et al. 2010). In addition, this teleost has well‐characterized neurotransmitter systems, including dopaminergic, serotoninergic, purinergic, noradrenaline, oxytocinergic, and endocannabinoid pathways, among others (Rico et al. 2011; Ruhl et al. 2017; Shams et al. 2017; Nabinger et al. 2020; Nunes et al. 2021). Zebrafish are highly social animals capable of distinguishing between familiar and unfamiliar conspecifics (Madeira and Oliveira 2017). They exhibit shoaling preferences as early as 7 days post‐fertilization (dpf), with this behavior becoming increasingly pronounced during development (Hinz and de Polavieja 2017). Due to their social behavior, zebrafish is an excellent organism model for investigating neural mechanisms underlying social behavior and the pathophysiology of neurodevelopmental disorders, such as ASD (Kalueff et al. 2014; Tunbak et al. 2020). Studies using zebrafish and rodents as animal models have shown that oxytocin boosts social learning, induces consolation behavior, increases preferences for conspecifics, regulates recognition of new events, and is implicated in the emotional contagion of fear and in reduction of stress and anxiety responses during social interactions (Burkett et al. 2016; Johnson et al. 2017; Li et al. 2019; Landin et al. 2020; Ribeiro, Nunes, Gliksberg, et al. 2020; Akinrinade, Kareklas, et al. 2023).\nAlthough there is a growing interest in the oxytocinergic system due to its essential role in modulating social behavior, comprehensive reviews focusing on this system in zebrafish, particularly its influence on social behavior in ASD zebrafish models, remain limited. In this review, we discuss the oxytocin‐mediated modulation of social behavior in zebrafish, and the interplay between the oxytocinergic system and ASD models in this species.\n\n\n### Oxytocin System in Zebrafish\nPhylogenetic analyses have suggested that neuropeptides evolved approximately six hundred million years ago through gene duplication events from the ancestral molecule arginine‐vasotocin (Acher and Chauvet 1995). This duplication event created two distinct genes: one produces vasopressin peptides and the other oxytocin (Goodson 2013; Wircer et al. 2016). In zebrafish, isotocin (the homolog of oxytocin) and vasotocin (the homolog of vasopressin) are synthesized by magnocellular and parvocellular neurons located in the preoptic area. Additionally, the magnocellular neurons project to the pituitary to release these neurohormones, which have a key role in social behavior (Grinevich et al. 2016; Herget et al. 2014; Knobloch and Grinevich 2014; Langova et al. 2020).\nDue to the genetic duplication process, zebrafish have two types of orthologous oxytocin receptors (OXTRs): oxytocin receptors (OXTR) and oxytocin receptor‐like (OXTRL) (Nunes et al. 2020). These receptors are both biologically active and play essential roles in regulating social behavior (Landin et al. 2020). Although they are paralogs rather than strict orthologs of the mammalian OXTR, studies indicate that they do not act redundantly. Landin et al. (2020) demonstrated that both receptors are pharmacologically targeted by the non‐peptidergic antagonist L‐368899, reinforcing their functional conservation. Knockout studies have shown that the absence of either receptor affects social behavior, particularly at later developmental stages. For instance, loss of oxtr or oxtrl increases inter‐individual distance and reduces shoal cohesion and coordinated swimming at 8 weeks post‐fertilization (wpf), but not at 4 wpf, indicating specific roles in the maturation of group behavior. Additionally, Ribeiro, Nunes, Teles, et al. (2020) showed that deficits in social recognition in oxtr mutants persist regardless of the social environment, while other behaviors such as social habituation and group integration are modulated by the genotypic composition of the shoal, highlighting the functional and behavioral relevance of the receptors at both individual and group levels.\nIn zebrafish, OXTRs are widely expressed in brain areas involved in sensory processing and in structures that comprise the social decision‐making network (SDMN), such as: Dm (medial pallium), Dl (lateral pallium), Vd (dorsal nucleus of subpallium), Vc (central part of subpallium), TPp (periventricular nucleus of the posterior tuberculum), Vv (ventral part of subpallium), Vl (lateral subpallium), Vs (supracommissural nucleus of subpallium), POA (preoptic area), PAG (periaqueductal gray substance), VnT (ventral tuberal nucleus), and aNT (anterior tuberal nucleus) (O'Connell and Hofmann 2012; Grinevich et al. 2016; Johnson and Young 2017; Geng and Peterson 2019). OXTRs expressed in these brain structures form interconnected circuits that can modulate a range of social adaptive behaviors, such as affiliative behaviors, social salience, motivation, and reward (Grinevich et al. 2016; Geng and Peterson 2019). Along these lines, an interesting study in zebrafish showed that phenotypic components of social behavior, including motivation and anxiety, are associated with genetic polymorphism in oxtr genes (Kareklas, Teles, Nunes et al. 2023).\nIn the zebrafish brain, oxytocin neurons have complex projections from early developmental stages (Figure 1). Projections that innervate the pituitary begin on the third dpf, whereas those targeting other regions such as optic tectum, hypothalamus, and ventral telencephalon emerge between four and six dpf and remain stable until eight dpf (Herget et al. 2017). It has been reported that oxytocinergic neurons project to the hindbrain and spinal cord after 5 dpf, and between 6 and 8 dpf, oxytocin modulates nocifensive behavior through premotor targets in the brainstem (Wircer et al. 2017; Wee et al. 2019).\nSchematic representation of oxytocin receptors expression throughout the zebrafish development. (1) Oxytocin receptors (OXTRs) expression in the central nervous system. At the larval stage (7 dpf), OXTRs are expressed in the telencephalon (Tel) and optic tectum (TeO). At the juvenile stage (30 dpf), OXTRs are expressed in Tel, TeO, medulla oblongata (MO) and medial septum (MS). In the adult stage (90 dpf), oxytocin projects to brain areas including the dorsal telencephalic area (D), hypothalamus (H), ventral telencephalic area (V), olfactory bulb (OB), optic nerve (ON), TeO, periventricular nucleus of the posterior tubercle (TPp), ventral thalamus (VT), locus coeruleus (LC) and pituitary. (2) OXTRs expression in the peripheral nervous system. In the larval stage, OXTRs are found in eyes, heart, gills, liver, intestine, kidneys, and pancreas. In juvenile and adult fish, OXTRs expression is also observed in the aforementioned organs, as well as in the spleen and gonads. CC = crista cerebralis, CCe = cerebellar body, D = dorsal telencephalic area, DIL = diffuse nucleus of the inferior lobe, dpf = days post fertilization, H = hypothalamus, LC = locus coeruleus, MO = medulla oblongata, MS = spinal cord, OB = olfactory bulb, ON = optic nerve, R = raphe nucleus, Tel = telencephalon, TeO = optic tectum, TPp = periventricular nucleus of the posterior tubercle, V = ventral telencephalic area, VT = ventral thalamus, Pituitary. Figure created with BioRender.\nIn adult zebrafish, oxytocin neurons make projections in several regions, including the ventral nucleus of the ventral telencephalon (Vv), the previous part and posterior part of the parvocellular preoptic nucleus (PPa and PPp), periventricular nucleus of the posterior tubercle (TPp), and preglomerular nuclei (PGm). Oxytocin signaling can regulate the anxiety and aggression levels in those regions by different environmental stressors in the adult zebrafish (Chuang et al. 2021). It has also been demonstrated that early disturbance (4.5 and 6 dpf) in oxytocin neurons has structural effects in the adult stage, which can be irreversible, including deficits in social affiliation, damage in the development of subsets of dopaminergic neurons, and changes in brain activity in the Vv and PPa nuclei. These changes can lead to a decreased response to social stimuli and changes in connectivity patterns in the SDMN (Nunes et al. 2021).\n\n\n### The Role of Oxytocin Signaling in ASD: Insights From Zebrafish Models\nSociability, a complex trait which involves both motivational and cognitive processes, is a fundamental component of social behavior in humans and animals (Rappeneau and Castillo Díaz 2024). Some key aspects of sociability, such as preference for social interaction, group cohesion, and the ability to recognize and respond to conspecifics, are social behaviors evolutionary shared across species, including zebrafish (Gerlai 2014; Ribeiro, Nunes, Gliksberg, et al. 2020; Usui 2024). In both humans and zebrafish, living in groups can provide adaptive advantages, improving foraging strategies, reproductive success, predator avoidance, and social learning. Furthermore, social interaction facilitates the establishment of affective bonds, which are crucial for individual well‐being and group stability (Harpaz and Schneidman 2020; Lucore and Connaughton 2021; Pérez‐Manrique and Gomila 2021).\nIn humans, social interactions are highly complex, integrating language, emotion, anxiety, cognition, and cultural norms to facilitate nuanced communication and relationship‐building. In contrast, in animal species such as zebrafish, social behavior is primarily driven by shoaling and schooling, which are based on visual cues and rapid, coordinated movements that promote survival (Stewart, Braubach, et al. 2014; Usui 2024). Despite differences in complexity, zebrafish exhibit key social behaviors that are analogous to human sociability. For instance, zebrafish are social animals that prefer group living and are able to discriminate between familiar and unfamiliar conspecifics, suggesting a capacity for social recognition (Oliveira 2013; Abril‐de‐Abreu et al. 2015; Hinz and de Polavieja 2017; Silva et al. 2019). Furthermore, when zebrafish are under conditions of fear and stress, they can react equally to distress and suffering exhibited by their conspecifics (Oliveira et al. 2017; Burbano Lombana et al. 2021).\nEvidence suggests that both humans and zebrafish share similar neural circuits within the oxytocinergic pathway, which are involved in regulating social behavior (Knobloch and Grinevich 2014; Grinevich et al. 2016; Matsushita and Nishiki 2025). Supporting this, studies in zebrafish demonstrated that their orthologs of oxytocin (isotocin) and vasopressin participate in regulating social preference, group cohesion, and reproductive behavior (Braida et al. 2012; Altmieme et al. 2019). In addition, disruptions in the oxytocin system have been linked with social disorders such as ASD (Hasan 2024; Matsushita and Nishiki 2025).\nASD is a disorder which comprises neurodevelopmental disorders (NDDs), a group of conditions that disrupt critical periods of brain development, usually emerging during early childhood and characterized by impairments in cognitive, emotional, and motor development (Parenti et al. 2020). ASD, one of the most prevalent NDDs, is defined by two core symptom domains, which include persistent deficits in social interaction and communication, and restricted, repetitive patterns of behavior. These symptoms negatively impact daily functioning, reducing the quality of life for individuals with ASD (Sánchez Amate and de la Luque Rosa 2024; Jain et al. 2025). Furthermore, social deficits in ASD are associated with dysregulation of the oxytocin system during early neurodevelopment, which may lead to altered synaptic plasticity in key brain regions involved in the modulation of social behavior, including the amygdala, prefrontal cortex, and ventral striatum (Rajamani et al. 2018).\nOne of the most well‐established zebrafish models of ASD involves exposure to sodium valproate (VPA), a drug used to treat mood disorders and epilepsy, which is known to induce ASD‐like phenotypes (Flores‐Prieto et al. 2024; Camussi et al. 2025). In zebrafish, several behavioral phenotypes are related to core symptoms of ASD, such as deficits in social interaction or shoaling, and repetitive behaviors. Moreover, other behavioral phenotypes mimic ASD‐associated comorbidities, including anxiety‐like behavior, aggression, and impairments in learning and memory (Stewart, Braubach, et al. 2014; Stewart, Nguyen, et al. 2014; Meshalkina et al. 2018; Pal et al. 2025). Specifically, social interaction and shoaling are assessed by measuring the preference of zebrafish to interact with conspecifics, while repetitive behaviors are evaluated by quantifying the frequency of stereotypic swimming patterns (e.g., circling) in the open tank task (Stewart, Nguyen, et al. 2014; Pal et al. 2025). Regarding comorbidities, the novel tank test (NTT) and light–dark test are widely used to assess anxiety‐like states. In addition, the mirror test and the avoidance inhibitory task (or novel object recognition) are established methods for evaluating aggression and cognitive deficits (Stewart, Braubach, et al. 2014; Pal et al. 2025).\nIn this context, studies have observed that VPA exposure during the embryonic period (0 to 48‐ or 120‐h post fertilization) does not affect the survival and morphological development of zebrafish larvae (Zimmermann et al. 2015; Lee et al. 2018). Embryos treated with VPA for 48 hpf exhibited social deficits that were attenuated by oxytocin (25, 50, or 100 μM) administered for 24 or 48 h. Oxytocin, at 50 μM for 48 h, was most effective, increasing conspecific contact, reducing anxiety‐like behavior, and enhancing social interaction (Rahmati‐Holasoo et al. 2023). Oxytocin also reversed VPA‐induced downregulation of shank3a, shank3b, and oxtr gene expression, suggesting its potential to modulate synaptic functions and oxytocinergic signaling in ASD‐related zebrafish phenotypes. On the other hand, embryos exposed to VPA at a concentration of 100 μM show reduced hatching rates (Lee et al. 2018). Moreover, the embryonic VPA exposure induces ASD‐related behavior phenotypes, including hyperlocomotion at 6 dpf and increased anxiety‐like behavior at 6, 70, and 120 dpf (Zimmermann et al. 2015).\nIn this way, embryonic VPA exposure induces persistent deficits in social interaction that are evident at both 70 and 120 dpf (Zimmermann et al. 2015). Interestingly, despite these social impairments, VPA‐treated zebrafish did not exhibit significant differences in aggressive behavior in the mirror test when compared to control animals at the same developmental stages (Zimmermann et al. 2015). The behavioral findings mentioned above are supported by molecular evidence, demonstrating that morpholino‐mediated knockdown of shank3, one of the most clinically relevant genes associated with the genetic etiology of ASD, recapitulates core ASD‐like phenotypes in zebrafish, including reduced social interaction and increased repetitive swimming behaviors (Liu et al. 2018). Furthermore, VPA exposure in the embryonic stage induces transcriptional alterations in multiple ASD‐related genes such as shank3a, shank3b, adsl, mbd5a, tsb1b, and oxtr (Lee et al. 2018; Rahmati‐Holasoo et al. 2023). Taken together, these findings suggest an impairment in ASD‐associated genetic pathways and the validity of the VPA exposure model to mimic core behavioral and molecular hallmarks of ASD pathophysiology.\nSimilar to humans, the oxytocinergic system in zebrafish also appears to modulate ASD‐related social behaviors. A recent study investigated the effects of different oxytocin exposure protocols—continuous exposure (Con_OT group), 15‐min daily exposure (15M_OT group), and 15‐min exposure every 2 days (2D_OT group)—on behavioral parameters in adult zebrafish over a 7‐day period (Robea et al. 2024). The authors observed that the 15M_OT group showed increased locomotor activity during a 3‐day period. In addition, the 15M_OT and 2D_OT groups demonstrated reduced aggression during the first 3 days of treatment. These findings suggest that the behavioral effects of oxytocin are time and exposure‐dependent, reinforcing its potential as a modulator of ASD‐related social phenotypes (Robea et al. 2024).\nA study using oxtr and oxtrl knockout zebrafish investigated the role of oxytocin receptors in the development of social behavior. While wild‐type (WT) zebrafish exhibited a gradual increase in social preference from 2 to 4 weeks post‐fertilization (wpf), remaining stable up to 8 wpf, knockout fish exhibited an earlier peak at 3 wpf, followed by a decline (Gemmer et al. 2022). Additionally, both oxtr and oxtrl mutants demonstrated increased susceptibility to isolation‐induced social deficits at 8 wpf (Gemmer et al. 2022). These findings suggest that the oxytocin receptors Oxtr and Oxtrl are essential not only for the proper early development of social behavior but also for its maintenance over time. The absence of these receptors leads to an early emergence of social behavior but compromises its long‐term stability, particularly under conditions of social isolation (Gemmer et al. 2022).\nCorroborating previous studies, the pharmacological blockade of the OXTR using the selective antagonist L‐368899 significantly reduced social preference in both larval and adult zebrafish. However, this antagonist did not alter the anxiety‐like behavior in adult zebrafish (Landin et al. 2020). Another study investigated the interaction between glutamatergic and oxytocinergic systems in ASD phenotypes induced by MK801, a non‐competitive NMDA receptor antagonist. MK‐801 exposure decreases social interaction and aggression, and these deficits were reversed by oxytocin administration (Zimmermann et al. 2016). Carbetocin, an oxytocin receptor agonist, restored normal social and aggressive behaviors, whereas the antagonist L‐368899 failed to reverse MK‐801‐induced deficits (Zimmermann et al. 2016).\nOxytocin signaling in zebrafish larvae modulates not only social interaction but also social cognition and adaptive behavior. Specifically, oxytocin integrates social cues with nociceptive and appetite‐driven behaviors to enhance survival (Wee et al. 2019, 2022). It also contributes to recognition memory, enabling the discrimination between familiar and novel stimuli, as well as visual processing of movement and shape during social interactions (Nunes et al. 2020; Ribeiro, Nunes, Gliksberg, et al. 2020). These studies emphasize oxytocin as a broad neuromodulator, underscoring its central role in neurodevelopment.\nThese findings show that zebrafish is a robust model for investigating behavioral, neurobiological, and molecular mechanisms underlying ASD. However, despite the utility of zebrafish in studying social behavior and oxytocinergic signaling, surprisingly few studies have explored the role of the oxytocinergic system, as well as drugs oxytocinergic modulators in ASD using this animal model. This gap underscores a need for further research focused on oxytocinergic signaling on ASD‐like phenotypes in zebrafish, which may contribute to therapeutic advances for NDDs.\n\n\n### Evaluating Translational Relevance: Strengths and Limitations of Zebrafish Behavioral Assays for ASD Research\nOver the past decades, the clinical understanding and classification of ASD have evolved significantly, with current definitions in the DSM‐5 and ICD‐11 (Ousley and Cermak 2014) recognizing ASD as a heterogeneous condition with a broad range of behavioral manifestations (Tidmarsh and Volkmar 2003; World Health Organization 2019). While these revisions have improved diagnostic precision, they have also complicated comparisons across studies and time, underscoring the need for integrative and standardized approaches in ASD research. Although zebrafish lack the complex cognitive functions and verbal communication found in humans, several behavioral domains relevant to ASD can be reliably assessed using validated paradigms (Table 1). However, some limitations need to be discussed, particularly regarding the sensitivity of each behavioral assay in the zebrafish model and its specificity to ASD‐related phenotypes.\nBehavioral Tests in Zebrafish for Investigating ASD phenotypes.\nIn models with dysfunction (genetic or pharmacological exposure), a reduction/alteration in stimulus‐following rate and increased latency is observed. Visual or sensorimotor integration deficits.\nEmbryonic VPA exposure (25 μM): VPA led to changes in retinal development, OMR deficits, and alterations in sleep, indicating that part of the ASD‐like phenotype may reflect sensory/visual deficits in addition to social alterations.\nLarvae—VPA (48 μM): Increased distance traveled and entries in the outer zone.\nAdults—VPA (48 μM): No locomotor changes, but increased time in the bottom zone (anxiety‐like behavior).\nAdults—Shank3 models: Increased time in the bottom zone and altered locomotor activity.\nAdult—Shank3/Shank3b: Exhibited social deficits.\nAdult—VPA (48 μM): Reduced interaction time.\nLarval—VPA (48 μM): 50 and 100 μM oxytocin (24‐48 h) increased social interaction in VPA models.\nAdult—VPA (48 μM): Increase in social interaction time and reversal of behavioral deficits induced by treatments that mimic aspects of ASD.\nAdult—DYRK1A KO: Spent less time in the social approach zone.\nJuvenile—Poly(I:C)/MIA: Reduced sociability\nLarvae—VPA (48 μM): Oxytocin treatment (50 e 100 μM by 24 and 48 h exposure) increased social interaction.\nLarva e Juvenile—VPA (48 μM): Oxytocin (50 μM) increased the frequency and time of contact between conspecifics.\nAdult—VPA (48 μM): Reduced time near conspecifics and fewer social approaches.\nAdult—Shank3‐deficient models: Exhibited reduced cohesion.\nAdult—OXTR−/− (Oxytocin receptor mutant): Impaired novel object recognition, linking OXTR to recognition memory.\nLarvae—kcc2a KO zebrafish: Spent less time exploring the novel object compared to the control group.\nLarvae—VPA (48 μM): Increased number of attacks/min.\nAdult—VPA: Typical agonistic behaviors (confrontations/territorial disputes)\nLarvae—Oxytocin: Increased attack frequency in VPA models.\nLarvae—VPA (48 μM): Altered crossing times and % time in light.\nLarvae—VPA (50 μM): Increased total distance in dark compartment\nLarvae—Oxytocin: Increased crossings between compartments.\nAdult—Shank3 deficiency: Repetitive circular swimming.\nGut‐Brain Axis: Circular swimming and stereotypic behaviors observed in models studying enteric nervous system/immune interactions.\nThe behavioral repertoire described for zebrafish can be applied to model and evaluate translational behaviors relevant to ASD. As mentioned above, the optomotor response, which is usually used to evaluate the sensorimotor integration and visual‐motor function, aligns with sensory processing deficits observed in individuals with ASD (Patten et al. 2013). Despite its important sensorimotor effects, this test does not assess affective states; therefore, additional tests are needed. Although the subjective dimension of emotion cannot be directly assessed in zebrafish, well‐validated behavioral paradigms allow for the inference of emotional/affective states through measurable outputs. Key assays include the inhibitory avoidance task, light/dark preference test, fear contagion paradigm, exposure to predator cues, cognitive bias assays, and the mirror test (von Trotha et al. 2014; De Abreu et al. 2020; Akinrinade, Varela, et al. 2023; Gazzano et al. 2025; Zhdanov et al. 2025). Collectively, these tools evaluate phenotypes related to anxiety, fear, stress, aversion, cognitive bias, and aggression, providing insights into the emotional/affective‐like behavior in zebrafish. Moreover, oxytocin administration in zebrafish may lead to atypical responses in this test. While the test itself does not directly assess emotional behavior, the administration of oxytocin could influence the fish's decision‐making or behavior, thereby affecting the test outcome, even in the absence of emotional involvement, reinforcing the importance of this neurohormone in modulating ASD‐like behavior.\nA similar issue arises when considering the NTT; however, rather than viewing individual variability as a confounding factor masked by group averages, the NTT should be recognized for its ability to identify distinct individual phenotypes. This is a crucial consideration given the heterogeneity of ASD. Furthermore, tracking individual data points across the NTT and concurrent behavioral assays allows for a more nuanced analysis that captures the spectrum nature of the condition. Upon exposure to a novel tank, fish typically show anxiety‐like behaviors such as geotaxis (bottom‐dwelling), which progressively diminishes as they begin to explore the environment (Mocelin et al. 2015). The exploratory response is modulated by anxiety, fear, and pharmacological manipulation targeting systems such as the oxytocin pathway. Although studies utilizing the direct waterborne administration of the neuropeptide (Isotocin) are limited, the oxytocinergic signaling pathway is well‐established as a modulator of anxiety and social behavior in this model. Recent research conducted by Maciag et al. (2025) demonstrated that pharmacological activation of oxytocin receptors in zebrafish using the agonist WAY‐267464 resulted in a reduction in thigmotactic behavior (an anxiety indicator in the Novel Tank Test) and an increase in the social preference index. These results confirm that modulation of this pathway has anxiolytic and prosocial effects, providing mechanistic support for the role of oxytocin signaling in behavioral assays (Maciag et al. 2025). NTT could be well‐suited to identify individual differences, particularly when used in combination with other behavioral assays. Tracking individual data points across tests could strengthen interpretation and allow for a more nuanced analysis aligned with the heterogeneity of ASD.\nTo complement the optomotor response and novel tank test, social interaction assays are particularly relevant for modeling ASD in zebrafish and can be used to understand the group cohesion responses (Gerlai 2014). These behaviors depend on intact locomotor function to avoid false positive/negative behavior. In addition, it is not always possible to separate visual attraction from true social motivation. Oxytocin has been shown to reestablish social interaction behavior in zebrafish, reinforcing its potential role in treating ASD‐related social impairments (Landin et al. 2020).\nAn additional test that may be useful for assessing ASD‐like behavior is the inhibitory avoidance test, which introduces an emotionally salient stimulus. This test evaluates aversive learning and memory by conditioning the animal to avoid a specific area through the application of an electric shock (Tayanloo‐Beik et al. 2022). It may be particularly suitable for investigating the influence of oxytocin on memory and learning, especially in aversive contexts, as it involves the animal's learned avoidance of a location due to the ‘emotional risk’ of receiving another shock. In contrast, the Novel Object Recognition (NOR) test evaluates object recognition by training zebrafish to explore familiar versus novel objects (Gaspary et al. 2018). Unlike the Inhibitory Avoidance test, NOR does not involve aversive stimuli and can be adapted by presenting objects with distinct colors and shapes and can be adapted to explore perceptual and cognitive processes relevant to ASD (Gaspary et al. 2018). Interestingly, zebrafish mutants lacking a functional oxytocin receptor—despite showing a preference for social interaction in shoals—do not exhibit a preference for familiar conspecifics, suggesting that oxytocin is critical for social recognition and reinforcing its essential role in promoting appropriate social behavior (Ribeiro, Nunes, Gliksberg, et al. 2020).\nStudies highlight oxytocin's broader impact on social cognition (Akinrinade, Kareklas, et al. 2023; Kareklas, Teles, Dreosti, et al. 2023). These findings aligned with recent evidence suggest that oxytocin is not only involved in social preference but also in more complex forms of social cognition, such as emotional contagion (Akinrinade, Kareklas, et al. 2023). For instance, emotionally distressed demonstrator zebrafish can elicit fear‐related behaviors in observer fish, a phenomenon known as social fear contagion. Importantly, this response is abolished in oxytocin receptor mutants, indicating that this neurohormone is necessary for the transmission of affective states between conspecifics (Akinrinade, Kareklas, et al. 2023). These observations reinforce the idea that oxytocin is a key modulator of basic empathic processes in vertebrates (Akinrinade, Kareklas, et al. 2023).\nIn this context, aggression emerges as a behavioral domain potentially influenced by deficits in social cognition and emotional regulation, two features frequently associated with empathy impairments. Although aggression is not a core diagnostic criterion of ASD, increased irritability, impulsivity, and reactive aggression are commonly reported in a subset of individuals, particularly in response to frustration, sensory overload, or social misunderstanding. These manifestations are thought to reflect, at least in part, impaired emotional self‐regulation and social processing (Fitzpatrick et al. 2016).\nWhen considering the zebrafish as a translational model, aggression is typically assessed using paradigms such as the mirror‐induced aggression test, where individuals display threat or attack behaviors towards their own reflection (Oliveira et al. 2011). However, quantifying aggression in zebrafish presents several challenges and interpretation is limited by the species' lack of cognitive intentionality and whether aggressive responses reflect territoriality, fear, social dominance, or stress (Freudenberg et al. 2016). Furthermore, aggression in zebrafish is context‐dependent, varying with factors such as prior social experience, tank environment, and genetic background (Zabegalov et al. 2019). Nonetheless, modulation of aggression by oxytocin or its analogs may provide additional information about the neurochemical pathways related to social dysregulation (Zimmermann et al. 2016; Robea et al. 2024). The translational perspective is relevant, as human studies indicate that oxytocin administration intensifies aggressive responses specifically following provocation or social rejection (Pfundmair et al. 2018), suggesting that the neuropeptide acts as an amplifier of social salience in threatening contexts. Furthermore, this pro‐aggressive effect of oxytocin was observed exclusively in participants with low trait anxiety, suggesting that the neurochemical pathways underlying social dysfunction involve a complex interaction between the oxytocinergic system, negative social stimuli, and individual baseline disposition (Pfundmair et al. 2018). In summary, while zebrafish may not recapitulate the full complexity of aggression observed in ASD, their utility lies in dissecting conserved molecular and neurochemical pathways, such as those mediated by oxytocin, that underlie social and emotional regulation.\n\n\n### Advantages, Limitations, and Ethical Challenges of Using Zebrafish in ASD\nZebrafish continue to emerge as a powerful model organism for ASD research due to several advantages, including high genetic and neurochemical similarity to humans, high fecundity, and embryonic transparency. The latter permits the manipulation and direct visualization of the central nervous system, thereby facilitating the study of neurodevelopmental disorders. Additional advantages, such as rapid drug absorption and a well‐characterized behavioral repertoire that recapitulates core ASD phenotypes, enable high‐throughput pharmacological screening (Stewart, Braubach, et al. 2014; Stewart, Nguyen, et al. 2014; Fontana et al. 2019; Gerlai 2023). Further advantages concerning therapeutic interventions targeting the oxytocinergic system are detailed in Table 2.\nAdvantages of the zebrafish model to study the oxytocinergic system in ASD.\nHowever, despite the aforementioned strengths of the zebrafish ASD model, it is crucial to address some concerns through a critical analysis of data interpretation and translational potential (bench to bedside). The main limitations include genome duplication, differences in the blood–brain barrier (which can affect drug permeability), the late development of social behavior (around 14 days post‐fertilization), the absence of parental care, and challenges regarding reproducibility. Furthermore, variability in environmental conditions and husbandry practices, the lack of subjective responses in behavioral tests, and the absence of vocal communication must be considered (Stewart, Braubach, et al. 2014; Stewart, Nguyen, et al. 2014; Gerlai 2023). These limitations open key critical questions (Table 3).\nOpen questions in the ASD zebrafish model.\nFinally, ethical challenges inherent to modeling ASD in zebrafish also need to be addressed. The main concerns fall into the following categories: (i) animal welfare, including minimizing distress and pain, and adhering to the principles of the 3Rs (Replacement, Reduction, and Refinement); (ii) scientific principles, such as the appropriate choice of developmental stage (embryo versus adult), study pre‐registration, open access data reporting, and ensuring robustness and reproducibility; and (iii) conduct principles, promoting a culture of care and ethical stewardship towards the animals used in research.\n\n\n### Conclusions and Future Directions\nAlthough there is a wide scope of neurochemical and behavioral factors implicated in NDDs, there is an imminent need for further research in this field. Current therapeutic treatments for these disorders may not effectively address the core symptoms due to the focus on treating comorbidities, as observed in ASD. In this context, zebrafish have emerged as a powerful and versatile translational model. Their high genetic and physiological homology with mammals, transparency during early development, ease of genetic manipulation, and suitability for high‐throughput screening make them a compelling system for probing the neurobiological basis of NDDs (Washbourne 2023). While zebrafish cannot fully replicate the complexity of human behavior, their conserved neural circuits and robust social repertoire enable the study of evolutionarily preserved mechanisms, particularly those modulated by neuropeptides such as oxytocin.\nFindings from zebrafish models suggest that oxytocin signaling influences not only social preference and recognition but also higher‐order behaviors such as social fear contagion and aggression regulation. These results, parallel to the findings in rodent and human studies, highlight the translational potential of oxytocin‐targeted interventions. Future research should focus on several ways:\nElucidating oxytocinergic circuitry in zebrafish through imaging and optogenetic tools, to map functional connectivity relevant to social and emotional processing.Developing and validating behavioral paradigms that analyze ASD‐like phenotypes in zebrafish, including individual‐based assessments that show behavioral heterogeneity.Integrating multi‐omics approaches (e.g., transcriptomics, proteomics, epigenomics) to identify oxytocin‐regulated molecular networks and their dysregulation in NDDs.Evaluating gene–environment interactions, particularly how early‐life stressors or social deprivation may modulate oxytocin signaling and their behavioral consequences.Advancing drug discovery using zebrafish‐based platforms to screen oxytocinergic modulators and test their efficacy in behavioral domains, with potential for translation into mammalian models and clinical trials.In summary, zebrafish provide a unique platform to deepen our understanding of the neurobiological substrates of NDDs. Future research in this field may contribute to the development of more effective treatments that address the core deficits of NDDs and improve the quality of life for affected individuals.\nElucidating oxytocinergic circuitry in zebrafish through imaging and optogenetic tools, to map functional connectivity relevant to social and emotional processing.\nDeveloping and validating behavioral paradigms that analyze ASD‐like phenotypes in zebrafish, including individual‐based assessments that show behavioral heterogeneity.\nIntegrating multi‐omics approaches (e.g., transcriptomics, proteomics, epigenomics) to identify oxytocin‐regulated molecular networks and their dysregulation in NDDs.\nEvaluating gene–environment interactions, particularly how early‐life stressors or social deprivation may modulate oxytocin signaling and their behavioral consequences.\nAdvancing drug discovery using zebrafish‐based platforms to screen oxytocinergic modulators and test their efficacy in behavioral domains, with potential for translation into mammalian models and clinical trials.\n\n\n### Author Contributions\nGéssica Peres: conceptualization, investigation, writing – original draft, methodology, writing – review and editing. Melissa Talita Wiprich: writing – review and editing, investigation. Darlan Gusso: investigation, writing – review and editing. Carla Denise Bonan: conceptualization, writing – review and editing, supervision.\n\n\n### Funding\nThis work was supported by Conselho Nacional de Desenvolvimento Científico e Tecnológico, 306115/2023‐9, 402097/2023‐8. Coordenação de Aperfeiçoamento de Pessoal de Nível Superior, 001, 88887.883378/2023‐00.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC12770952", "title": "Prenatal diazepam exposure impairs maternal caregiving behaviors in rats: Roles of GABAARα1 downregulation, serotonin depletion, and corticosterone dysregulation", "text": "# Prenatal diazepam exposure impairs maternal caregiving behaviors in rats: Roles of GABAARα1 downregulation, serotonin depletion, and corticosterone dysregulation\n\n## Abstract\nThis study investigated effects of prenatal exposure to diazepam on maternal and caregiving behaviors in rats postpartum.Twenty-four female rats were randomly divided into two groups: diazepam group and control group. Diazepam was administered during, and maternal behaviors were observed and recorded after delivery. Serum corticosterone levels during pregnancy, GABAARα1 expression, and serotonin and BDNF concentrations were measured in hippocampus and prefrontal cortex of the dams. The results showed that mothers exposed to diazepam exhibited a significant reduction in self-grooming (p = 0.0016), nursing (p < 0.0001), and nest-building behaviors (p < 0.0001) compared to the control group. Additionally, diazepam group showed fewer instances of pup retrieval (p = 0.0032) and licking (p = 0.0019). A significant increase in the latency to retrieve pups was observed in the diazepam group (p < 0.0001). The findings demonstrate a significant decrease in GABAARα1 mRNA expression within the prefrontal cortex (P = 0.0023) and hippocampus (P = 0.0138) of diazepam-treated group compared to the control group. Dams in the diazepam group exhibited significantly lower serum corticosterone levels at gestational day 20 (p = 0.0288) and postnatal day 1 (p = 0.0009) compared to the control group. Additionally, serotonin concentration in the prefrontal cortex (p = 0.0036) was significantly reduced in the diazepam group relative to controls.The present study demonstrated that prenatal diazepam exposure significantly impaired maternal caregiving behaviors in rats. These behavioral deficits were associated with disrupted serum corticosterone levels, diminished prefrontal serotonin concentrations, and reduced GABAARα1 mRNA expression in the prefrontal cortex and hippocampus. The findings suggest that diazepam interferes with neurochemical pathways critical for maternal motivation, potentially weakening maternal-infant bonding. •Prenatal diazepam impaired rat maternal care and altered neurochemical markers (GABAARα1,serotonin,corticosterone) postpartum.•Diazepam reduced dam self-grooming, nursing, nest-building, pup retrieval, and licking, compromising maternal care.•It lowered prefrontal GABAARα1 mRNA, reduced serum corticosterone, and decreased prefrontal serotonin.•Deficits link disrupted stress/mood neurochemistry to impaired maternal motivation and infant bonding. Prenatal diazepam impaired rat maternal care and altered neurochemical markers (GABAARα1,serotonin,corticosterone) postpartum. Diazepam reduced dam self-grooming, nursing, nest-building, pup retrieval, and licking, compromising maternal care. It lowered prefrontal GABAARα1 mRNA, reduced serum corticosterone, and decreased prefrontal serotonin. Deficits link disrupted stress/mood neurochemistry to impaired maternal motivation and infant bonding.\n\n## Full Text\n\n\n### Introduction\nPregnancy is one of the most critical and sensitive periods in a woman’s life, characterized by significant physical, social, and psychological changes that can profoundly impact both maternal and neonatal health in subsequent stages [1]. Sleep disturbances, such as insomnia, are among the most common complaints during pregnancy, often manifesting as reduced sleep duration and diminished sleep quality. Additionally, anxiety is another prevalent condition experienced by many pregnant women. Initially, this anxiety is often related to concerns about the baby, such as potential developmental abnormalities. Over time, it may shift to focus on the mother herself. If anxiety persists for more than three weeks, it can pose serious risks to both maternal and fetal health [1]. Pharmacological intervention is one approach to managing these issues. Benzodiazepines, a class of drugs commonly used to control anxiety and induce sleep, are frequently prescribed [2]. Diazepam, also known as Valium, is a fast-acting and long-lasting benzodiazepine typically used to treat anxiety disorders, provide short-term relief of anxiety symptoms, manage alcohol withdrawal, control acute seizures, and address insomnia [2]. However, diazepam is classified as a pregnancy category D drug, indicating that its use is associated with an increased risk of congenital malformations, preterm birth, low birth weight, and other neurodevelopmental abnormalities [3]. Diazepam readily crosses the placental barrier, and its use during pregnancy may lead to neonatal withdrawal syndrome immediately after birth [3]. Given the potential risks of fetal abnormalities, dependency, and withdrawal, the prescription and use of diazepam during pregnancy remain controversial. Substance misuse during pregnancy and lactation can severely compromise maternal and neonatal health, particularly when the substances affect the central nervous system [4]. Such misuse can disrupt maternal behavior and caregiving, leading to adverse outcomes for the fetus [5]. Childbirth marks a dramatic transitional moment in the mother-infant relationship. From this point onward, the intimate anatomical and physiological connection between mother and child is replaced by breastfeeding and other behavioral interactions, underscoring the importance of maternal behavior [5]. Maternal behavior, a subset of parental behavior, is defined as any action performed by an adult member of a species toward an immature member to ensure the latter’s survival until maturity [6].\nThe laboratory rat provides a robust model for investigating the neurobiological substrates of maternal behavior. During pregnancy, the dam undergoes significant endocrine changes, including rising levels of estradiol and prolactin and a pre-parturition drop in progesterone, which prime the brain for the immediate onset of maternal care after delivery [7], [8]. This care is characterized by a highly stereotyped and motivated repertoire including nest-building (creating a sheltered environment for the litter), pup retrieval (gently carrying scattered pups back to the nest), nursing (assuming a characteristic crouching posture to allow pups to feed), and anogenital licking (which stimulates pup elimination and provides tactile stimulation) [9]. These behaviors are critically dependent on a network of brain regions including the medial preoptic area, the mesolimbic dopamine pathway, and the prefrontal cortex, which integrates executive function with motivational states [10].\nThe transition to motherhood also involves a carefully orchestrated stress response, mediated by the hypothalamic-pituitary-adrenal (HPA) axis and corticosterone release in rats, which is essential for providing the energy required for parturition and lactation [9], [11]. Furthermore, neurotransmitters like serotonin (5-HT) and GABA are deeply implicated in modulating mood, anxiety, and the execution of compulsive, care-oriented behaviors.\nWhile previous research has explored the adverse effects of various substances on maternal behavior during pregnancy, the specific impact of diazepam on maternal behavior remains underexplored. Given the critical role of maternal behavior in child development and future outcomes, it is essential to investigate factors that may influence it. This study aims to examine the effects of diazepam on maternal behavior in a rodent model, addressing a significant gap in the literature.\n\n\n### Materials and methods\nAfter obtaining ethical approval and the necessary permits (ethical code: IR.ZAUMS.AEC.1402.001), the study commenced. Twenty-four female Sprague-Dawley albino rats, weighing between 200 and 220 g, were used and divided into two groups of twelve. The sampling method was simple random sampling, and the animals were randomly assigned to the groups. To induce pregnancy, two female rats were housed with one male rat in a single cage. Starting from the next day, vaginal smears were taken from the female rats to detect sperm [12]. Female rats that tested positive were transferred to separate cages in pairs. All animals had free access to food and water and were maintained under a 12-hour light/dark cycle at a temperature of 22 ± 2°C. Among the pregnant rats, 12 females were randomly selected for diazepam injection.\nDiazepam (Caspian, Co) was administered at a dose of 1.25 mg/kg/day subcutaneously from GD14 to GD20. This low-to-moderate dose was selected to model therapeutic anxiolytic exposure in humans while avoiding sedative or overtly toxic effects in the dams [13], [14]. The treatment window targets a critical period of fetal brain development, including synaptogenesis and the maturation of GABAergic and monoaminergic systems, allowing for the investigation of specific neuroteratological effects on pathways relevant to maternal behavior [13], [14]. The control group received physiological saline on the same schedule.\nOn the second day postpartum, the animals and their pups were transferred to a larger cage for testing [9]. The floor of the cages was lined with wood shavings. Using gloves, pups were randomly scattered in the cage. A camera was installed above the cage to record maternal behaviors for 60 min. The number and duration of pup retrievals, the number and latency to initiate pup retrieval, the number and duration of pup licking (body and genital area), the number and duration of nest-building, the number and duration of nursing, and the number and duration of self-grooming were observed and recorded [9].\nTo assess GABAARα1 mRNA levels in rat hippocampal and prefrontal cortex tissues, real-time quantitative PCR (RT-qPCR) was conducted using the following protocol. Hippocampal and prefrontal samples were collected immediately after maternal behavior evaluations and preserved in TRIzol solution (Invitrogen, Shanghai, China). Total RNA was isolated using the TRIzol-based extraction kit, adhering to the manufacturer’s guidelines. RNA quality and concentration were evaluated via spectrophotometric analysis, with absorbance ratios at 260/280 nm confirming purity. Reverse transcription of RNA into complementary DNA (cDNA) was performed with a Qiagen Reverse Transcription kit (USA), employing standardized incubation conditions to ensure synthesis efficiency. Gene-specific primers for GABAARα1 were designed using Primer5 software and synthesized by Shanghai Sangon Biotech (China). The primer sequences were:•Forward: 5′-AGCCGAATGCCCCATGCACT-3′•Reverse: 5′-CAACCACTGAGCGGGCTGGC-3′\nForward: 5′-AGCCGAATGCCCCATGCACT-3′\nReverse: 5′-CAACCACTGAGCGGGCTGGC-3′\nFor RT-qPCR, reactions were initiated with a 30-second predenaturation at 95°C, followed by 40 cycles of denaturation (95°C, 5 s) and annealing/extension (30 s). The housekeeping gene β-actin served as an internal control. Threshold cycle (Ct) values for GABAARα1 and β-actin were recorded, representing the cycle at which fluorescence surpassed the baseline. Relative mRNA expression was quantified using the 2 −ΔΔCt method, normalizing target gene Ct values to β-actin to account for variations in template quantity.\nSerum corticosterone levels were assessed using a commercially available ELISA kit (Corticosterone ELISA Kit, ab108821, Abcam) following the manufacturer’s guidelines. Blood samples were collected via the tail vein under ketamine (100 mg/kg) and xylazine (10 mg/kg) anesthesia between 9:00–10:00 AM on gestational days (GD) 12, 16, and 20, as well as postnatal day 1 (PND1). Plasma was separated by centrifugation at 5000 rpm for 10 min and stored at −80°C until assayed. At the conclusion of the study, dams were euthanized under deep anesthesia induced by ketamine (100 mg/kg) and xylazine (10 mg/kg). The prefrontal cortex and hippocampal regions were promptly dissected and homogenized in phosphate-buffered saline (PBS) using a mechanical homogenizer. The homogenate was centrifuged at 3500 rpm for 15 min, after which the supernatant was collected and stored at −70°C until further analysis [12]. Serotonin and brain-derived neurotrophic factor (BDNF) concentrations in the prefrontal cortex and hippocampal samples were quantified using enzyme-linked immunosorbent assay (ELISA) kits (Zellbio GmbH, Germany), following the manufacturer’s protocols.\nFor data analysis, GraphPad Prism version 8.4 was used. Initially, the normality of data distribution was assessed using the Kolmogorov-Smirnov test. Since the data followed a normal distribution, independent samples T-tests were performed. A p-value of less than 0.05 was considered statistically significant.\nA post-hoc power analysis was conducted using G*Power software (version 3.1.9.7) to determine the achieved statistical power of our key findings, given the sample size of n = 12 per group. The analysis was performed for a two-tailed independent samples t-test. The effect sizes (Cohen's d) observed for our primary behavioral outcome (e.g., pup retrieval latency) and primary molecular outcome (e.g., GABAARα1 expression) were substantial, both exceeding 1.5. With an alpha level (α) set at 0.05, this analysis confirmed that the study achieved a statistical power (1-β) greater than 0.95 for these endpoints. This indicates a less than 5 % probability of a Type II error and confirms that the sample size was adequate to detect the significant effects reported.\n\n\n### Measurement of GABAARα1 mRNA Expression via Real-Time Quantitative PCR (RT-qPCR)\nTo assess GABAARα1 mRNA levels in rat hippocampal and prefrontal cortex tissues, real-time quantitative PCR (RT-qPCR) was conducted using the following protocol. Hippocampal and prefrontal samples were collected immediately after maternal behavior evaluations and preserved in TRIzol solution (Invitrogen, Shanghai, China). Total RNA was isolated using the TRIzol-based extraction kit, adhering to the manufacturer’s guidelines. RNA quality and concentration were evaluated via spectrophotometric analysis, with absorbance ratios at 260/280 nm confirming purity. Reverse transcription of RNA into complementary DNA (cDNA) was performed with a Qiagen Reverse Transcription kit (USA), employing standardized incubation conditions to ensure synthesis efficiency. Gene-specific primers for GABAARα1 were designed using Primer5 software and synthesized by Shanghai Sangon Biotech (China). The primer sequences were:•Forward: 5′-AGCCGAATGCCCCATGCACT-3′•Reverse: 5′-CAACCACTGAGCGGGCTGGC-3′\nForward: 5′-AGCCGAATGCCCCATGCACT-3′\nReverse: 5′-CAACCACTGAGCGGGCTGGC-3′\nFor RT-qPCR, reactions were initiated with a 30-second predenaturation at 95°C, followed by 40 cycles of denaturation (95°C, 5 s) and annealing/extension (30 s). The housekeeping gene β-actin served as an internal control. Threshold cycle (Ct) values for GABAARα1 and β-actin were recorded, representing the cycle at which fluorescence surpassed the baseline. Relative mRNA expression was quantified using the 2 −ΔΔCt method, normalizing target gene Ct values to β-actin to account for variations in template quantity.\n\n\n### 2.2. Corticosterone quantification\nSerum corticosterone levels were assessed using a commercially available ELISA kit (Corticosterone ELISA Kit, ab108821, Abcam) following the manufacturer’s guidelines. Blood samples were collected via the tail vein under ketamine (100 mg/kg) and xylazine (10 mg/kg) anesthesia between 9:00–10:00 AM on gestational days (GD) 12, 16, and 20, as well as postnatal day 1 (PND1). Plasma was separated by centrifugation at 5000 rpm for 10 min and stored at −80°C until assayed. At the conclusion of the study, dams were euthanized under deep anesthesia induced by ketamine (100 mg/kg) and xylazine (10 mg/kg). The prefrontal cortex and hippocampal regions were promptly dissected and homogenized in phosphate-buffered saline (PBS) using a mechanical homogenizer. The homogenate was centrifuged at 3500 rpm for 15 min, after which the supernatant was collected and stored at −70°C until further analysis [12]. Serotonin and brain-derived neurotrophic factor (BDNF) concentrations in the prefrontal cortex and hippocampal samples were quantified using enzyme-linked immunosorbent assay (ELISA) kits (Zellbio GmbH, Germany), following the manufacturer’s protocols.\n\n\n### Statistical analysis\nFor data analysis, GraphPad Prism version 8.4 was used. Initially, the normality of data distribution was assessed using the Kolmogorov-Smirnov test. Since the data followed a normal distribution, independent samples T-tests were performed. A p-value of less than 0.05 was considered statistically significant.\nA post-hoc power analysis was conducted using G*Power software (version 3.1.9.7) to determine the achieved statistical power of our key findings, given the sample size of n = 12 per group. The analysis was performed for a two-tailed independent samples t-test. The effect sizes (Cohen's d) observed for our primary behavioral outcome (e.g., pup retrieval latency) and primary molecular outcome (e.g., GABAARα1 expression) were substantial, both exceeding 1.5. With an alpha level (α) set at 0.05, this analysis confirmed that the study achieved a statistical power (1-β) greater than 0.95 for these endpoints. This indicates a less than 5 % probability of a Type II error and confirms that the sample size was adequate to detect the significant effects reported.\n\n\n### Results\nFig. 1 illustrates serum corticosterone concentrations at different time points during pregnancy (GD12, GD16, and GD20) and postpartum (PD1). A significant variation in corticosterone levels was observed across these time points, reflecting hormonal fluctuations associated with pregnancy and postpartum adaptation. Diazepam administration, initiated at GD14, significantly reduced corticosterone levels compared to the control group at GD20 (P = 0.0288) and PD1 (P = 0.0009), suggesting its potential role in modulating maternal stress regulation.Fig. 1Serum corticosterone concentrations at different days during pregnancy and after pregnancy. GD12: Gestational day 12, GD16: Gestational day 16, GD20: Gestational day 20, PD1: Postnatal day 1.Fig. 1\nSerum corticosterone concentrations at different days during pregnancy and after pregnancy. GD12: Gestational day 12, GD16: Gestational day 16, GD20: Gestational day 20, PD1: Postnatal day 1.\nFig. 2 presents serotonin and BDNF concentrations in the hippocampus and prefrontal cortex. The findings reveal significant differences in these neurochemical markers between the experimental and control groups. Diazepam administration led to a significant reduction (P = 0.0036) in serotonin levels in the prefrontal cortex, suggesting potential implications for maternal brain function and behavior. While BDNF levels in the diazepam group were lower in both the hippocampus and prefrontal cortex compared to controls, these differences were not statistically significant. The findings demonstrate a significant decrease in GABAARα1 mRNA expression within the prefrontal cortex (P = 0.0023) and hippocampus (P = 0.0138) of the diazepam-treated group compared to the control group (Fig. 2c-d).Fig. 2Serotonin and BDNF concentrations and GABAARα1 mRNA expression in the hippocampus and prefrontal cortex.Fig. 2\nSerotonin and BDNF concentrations and GABAARα1 mRNA expression in the hippocampus and prefrontal cortex.\nAs illustrated in Fig. 3a–d, the findings concerning the endurance of maternal behavior revealed that the diazepam-treated group exhibited significantly reduced mean durations of nesting (P < 0.0001), breastfeeding (P < 0.0001), and pup grooming (P = 0.0007), as well as a lower mean frequency of pup grooming episodes (P = 0.0019), compared to the control group. These results suggest that diazepam administration markedly impairs key aspects of maternal care, potentially reflecting disruptions in nurturing motivation or maternal responsiveness. The consistent reduction across multiple behavioral measures underscores the drug's pronounced inhibitory effect on maternal behavior.Fig. 3The results assess the endurance of maternal behaviors, including (a) nesting duration, (b) breastfeeding duration, (c) time spent grooming pups, and (d) the frequency of pup grooming. Data are presented as mean ± SEM.Fig. 3\nThe results assess the endurance of maternal behaviors, including (a) nesting duration, (b) breastfeeding duration, (c) time spent grooming pups, and (d) the frequency of pup grooming. Data are presented as mean ± SEM.\nAs depicted in Fig. 4a–e, various measures related to the speed of maternal behavior integration were significantly affected by diazepam administration. Specifically, the number of nesting events (P = 0.0021), instances of breastfeeding (P < 0.0001), and pup retrieval attempts (P = 0.0032) were significantly lower in the diazepam-treated group compared to the control group. Moreover, the latency to initiate pup retrieval was markedly prolonged (P < 0.0001), indicating a delay in maternal responsiveness. Conversely, the total duration of pup retrieval was significantly reduced (P < 0.0001). further highlighting impairments in maternal caregiving behaviors. These findings suggest that prenatal exposure to diazepam disrupts both the initiation and execution of essential maternal behaviors postpartum.Fig. 4The results assess speed of integration of maternal behaviors, including (a) number of nesting, (b) number of breastfeeding, (c) number of pup retrieval, (d) duration of pup retrieval, and (e) latency in onset pup retrieval. Data are presented as mean ± SEM.Fig. 4\nThe results assess speed of integration of maternal behaviors, including (a) number of nesting, (b) number of breastfeeding, (c) number of pup retrieval, (d) duration of pup retrieval, and (e) latency in onset pup retrieval. Data are presented as mean ± SEM.\nThe results assessing emotional regulation (reflecting self-calming behaviors or anxiety levels) in maternal behavior revealed significant reductions in both (a) total self-grooming duration (P = 0.0016) and (b) frequency of self-grooming episodes (P < 0.0001) in the diazepam-treated group compared to controls (Fig. 5a, b). These marked decreases in self-directed grooming behaviors suggest that diazepam may impair typical self-soothing mechanisms or attenuate anxiety-related responses in dams, potentially disrupting their emotional balance during maternal care. The consistent suppression of both grooming duration and occurrence underscores a robust pharmacological effect on stress-related behavioral outputs.Fig. 5The results reflect emotional regulation (self-soothing and anxiety-related aspects) in maternal behavior, analyzed through two parameters: (a) total time spent self-grooming and (b) frequency of self-grooming episodes. Data are presented as mean ± SEM.Fig. 5\nThe results reflect emotional regulation (self-soothing and anxiety-related aspects) in maternal behavior, analyzed through two parameters: (a) total time spent self-grooming and (b) frequency of self-grooming episodes. Data are presented as mean ± SEM.\n\n\n### Serum corticosterone levels\nFig. 1 illustrates serum corticosterone concentrations at different time points during pregnancy (GD12, GD16, and GD20) and postpartum (PD1). A significant variation in corticosterone levels was observed across these time points, reflecting hormonal fluctuations associated with pregnancy and postpartum adaptation. Diazepam administration, initiated at GD14, significantly reduced corticosterone levels compared to the control group at GD20 (P = 0.0288) and PD1 (P = 0.0009), suggesting its potential role in modulating maternal stress regulation.Fig. 1Serum corticosterone concentrations at different days during pregnancy and after pregnancy. GD12: Gestational day 12, GD16: Gestational day 16, GD20: Gestational day 20, PD1: Postnatal day 1.Fig. 1\nSerum corticosterone concentrations at different days during pregnancy and after pregnancy. GD12: Gestational day 12, GD16: Gestational day 16, GD20: Gestational day 20, PD1: Postnatal day 1.\n\n\n### Serotonin and BDNF concentrations and GABAARα1 mRNA expression in the hippocampus and prefrontal cortex\nFig. 2 presents serotonin and BDNF concentrations in the hippocampus and prefrontal cortex. The findings reveal significant differences in these neurochemical markers between the experimental and control groups. Diazepam administration led to a significant reduction (P = 0.0036) in serotonin levels in the prefrontal cortex, suggesting potential implications for maternal brain function and behavior. While BDNF levels in the diazepam group were lower in both the hippocampus and prefrontal cortex compared to controls, these differences were not statistically significant. The findings demonstrate a significant decrease in GABAARα1 mRNA expression within the prefrontal cortex (P = 0.0023) and hippocampus (P = 0.0138) of the diazepam-treated group compared to the control group (Fig. 2c-d).Fig. 2Serotonin and BDNF concentrations and GABAARα1 mRNA expression in the hippocampus and prefrontal cortex.Fig. 2\nSerotonin and BDNF concentrations and GABAARα1 mRNA expression in the hippocampus and prefrontal cortex.\n\n\n### Maternal behavior investigation\nAs illustrated in Fig. 3a–d, the findings concerning the endurance of maternal behavior revealed that the diazepam-treated group exhibited significantly reduced mean durations of nesting (P < 0.0001), breastfeeding (P < 0.0001), and pup grooming (P = 0.0007), as well as a lower mean frequency of pup grooming episodes (P = 0.0019), compared to the control group. These results suggest that diazepam administration markedly impairs key aspects of maternal care, potentially reflecting disruptions in nurturing motivation or maternal responsiveness. The consistent reduction across multiple behavioral measures underscores the drug's pronounced inhibitory effect on maternal behavior.Fig. 3The results assess the endurance of maternal behaviors, including (a) nesting duration, (b) breastfeeding duration, (c) time spent grooming pups, and (d) the frequency of pup grooming. Data are presented as mean ± SEM.Fig. 3\nThe results assess the endurance of maternal behaviors, including (a) nesting duration, (b) breastfeeding duration, (c) time spent grooming pups, and (d) the frequency of pup grooming. Data are presented as mean ± SEM.\nAs depicted in Fig. 4a–e, various measures related to the speed of maternal behavior integration were significantly affected by diazepam administration. Specifically, the number of nesting events (P = 0.0021), instances of breastfeeding (P < 0.0001), and pup retrieval attempts (P = 0.0032) were significantly lower in the diazepam-treated group compared to the control group. Moreover, the latency to initiate pup retrieval was markedly prolonged (P < 0.0001), indicating a delay in maternal responsiveness. Conversely, the total duration of pup retrieval was significantly reduced (P < 0.0001). further highlighting impairments in maternal caregiving behaviors. These findings suggest that prenatal exposure to diazepam disrupts both the initiation and execution of essential maternal behaviors postpartum.Fig. 4The results assess speed of integration of maternal behaviors, including (a) number of nesting, (b) number of breastfeeding, (c) number of pup retrieval, (d) duration of pup retrieval, and (e) latency in onset pup retrieval. Data are presented as mean ± SEM.Fig. 4\nThe results assess speed of integration of maternal behaviors, including (a) number of nesting, (b) number of breastfeeding, (c) number of pup retrieval, (d) duration of pup retrieval, and (e) latency in onset pup retrieval. Data are presented as mean ± SEM.\nThe results assessing emotional regulation (reflecting self-calming behaviors or anxiety levels) in maternal behavior revealed significant reductions in both (a) total self-grooming duration (P = 0.0016) and (b) frequency of self-grooming episodes (P < 0.0001) in the diazepam-treated group compared to controls (Fig. 5a, b). These marked decreases in self-directed grooming behaviors suggest that diazepam may impair typical self-soothing mechanisms or attenuate anxiety-related responses in dams, potentially disrupting their emotional balance during maternal care. The consistent suppression of both grooming duration and occurrence underscores a robust pharmacological effect on stress-related behavioral outputs.Fig. 5The results reflect emotional regulation (self-soothing and anxiety-related aspects) in maternal behavior, analyzed through two parameters: (a) total time spent self-grooming and (b) frequency of self-grooming episodes. Data are presented as mean ± SEM.Fig. 5\nThe results reflect emotional regulation (self-soothing and anxiety-related aspects) in maternal behavior, analyzed through two parameters: (a) total time spent self-grooming and (b) frequency of self-grooming episodes. Data are presented as mean ± SEM.\n\n\n### Discussion\nThe profound disruption of maternal behaviors observed in this study following prenatal diazepam exposure underscores a complex interplay between pharmacological intervention, neuroendocrine regulation, and maternal caregiving. By integrating these findings with emerging mechanistic insights and clinical data, we propose a multifaceted model of diazepam’s impact on maternal behavior, emphasizing its implications for both maternal well-being and offspring development. The suppression of self-grooming in diazepam-treated dams reflects a critical divergence from typical stress-coping strategies. In rodents, self-grooming serves dual roles: it modulates anxiety via serotoninergic pathways and facilitates sensory resetting during maternal transitions [15]. Diazepam’s attenuation of this behavior may arise from its GABAergic potentiation, which dampens amygdala-driven stress responses [16]. However, this suppression could paradoxically impair maternal adaptability, as self-grooming is integral to maintaining hygiene and reducing infection risk during lactation [15]. The contrast with morphine-exposed dams, which exhibit heightened self-grooming [17], highlights drug-specific modulation of emotionality, where diazepam’s sedative effects may override adaptive stress behaviors. Nursing deficits further exemplify diazepam’s systemic impact. Lactation requires coordinated oxytocin and prolactin release, both of which may be disrupted by GABAergic overactivity [18], [19]. Reduced nursing not only limits nutritional and immunological transfer (e.g., immunoglobulins in colostrum) but also disrupts thermoregulatory contact, potentially exacerbating neonatal hypoglycemia and hypothermia [20], [21]. These findings align with human cohort studies linking benzodiazepine use during pregnancy to neurodevelopmental deficits, suggesting conserved mechanisms across species [22].\nNest-building impairments and prolonged pup retrieval latency likely stem from disrupted dopaminergic motivation circuits. The ventral tegmental area (VTA)-to-nucleus accumbens pathway, critical for goal-directed maternal behaviors [23], [24], may be inhibited by diazepam’s enhancement of GABAergic tone. This is consistent with fMRI research in humans, which indicates that reduced activation of the reward network in postpartum women with anxiety is linked to alterations in brain circuits involved in maternal care, empathy, motivation, emotional regulation, reward processing, and executive function [25]. These observations imply that benzodiazepines might diminish the significance of infant cues.\nThe marked reduction in corticosterone at GD20 and PD1 underscores diazepam’s suppression of the HPA axis. Corticosterone primes maternal care, cell proliferation of hippocampus and cognitive adaptations to heightened vigilance to newborn [26]. Its suppression may explain the delayed retrieval observed here, mirroring hypoactive HPA axis phenotypes seen in rodent models of maternal neglect. In these models, corticosterone is critical for pup retrieval, maternal memory formation, and the maintenance of maternal care [25], [27]. Clinically, this parallels findings in women with correlates with impaired caregiving [28], [27], [29]. The reduction in GABAARα1 mRNA expression observed here is consistent with the work of Gonzalez et al. [30], who reported diazepam-induced downregulation of the GABAA receptor α1 subunit in rat cerebrocortical neuronal cultures [30]. While their findings were derived from in vitro models, our study extends these observations to an in vivo context, demonstrating that prenatal diazepam exposure similarly suppresses GABAARα1 expression in maternally relevant brain regions. This convergence of evidence underscores the broader impact of benzodiazepines on GABAergic signaling across experimental paradigms. Importantly, the concomitant decrease in serotonin levels within the PFC suggests a potential interplay between GABAergic and serotonergic systems in mediating maternal behavior, as both neurotransmitters are known to modulate mood, anxiety, and social interactions.\nThe impaired maternal behavior observed in this study may reflect a disruption in the balance of inhibitory and excitatory neurotransmission. GABAARα1-containing receptors are pivotal for maintaining tonic inhibition [30], and their downregulation could lead to hyperexcitability in neural circuits governing stress responses, thereby diminishing the dam’s ability to engage in nurturing behaviors. Furthermore, reduced serotonin levels in the PFC—a region implicated in decision-making and emotional regulation—may exacerbate these deficits, as serotonin is critical for affiliative behaviors and stress resilience.\nIt is important to note that the link between GABAARα1 downregulation and the observed maternal deficits, while supported by our correlative data, remains associative. Future studies are required to establish direct causality. Based on our findings, we hypothesize that the downregulation of GABAARα1 is a key mechanistic step in diazepam-induced impairment of maternal care. A critical test of this hypothesis would be to determine whether targeted restoration of GABAARα1 function for instance, through local microinfusion of a selective agonist or viral vector-mediated overexpression in the mPFC or hippocampus of dams exposed to prenatal diazepam could rescue the deficits in pup retrieval, nursing, and nest-building behaviors. Such experiments would unequivocally define the causal role of this receptor subunit and are a primary objective of our future research.\nWhile our data demonstrate a significant downregulation of GABAARα1 mRNA, a key limitation is the absence of protein-level data. Future studies will utilize western blot analysis to confirm the reduction in GABAARα1 protein and employ immunohistochemistry to determine if prenatal diazepam exposure alters the density or morphology of specific inhibitory neuron subtypes, such as parvalbumin-positive interneurons, in the PFC and hippocampal circuits critical for maternal behavior.\nFurthermore, future studies should investigate the neuroanatomical underpinnings of these functional deficits. As demonstrated by da Silva Junior et al. [13] in offspring, the same prenatal diazepam exposure paradigm causes a significant loss of brainstem catecholaminergic and serotonergic neurons [13]. It is therefore a critical next step to determine if similar neuronal loss occurs in dams and contributes to the serotonergic and GABAergic dysregulation we observed. Immunohistochemical analysis of tyrosine hydroxylase (TH) and serotonin (5-HT) positive neurons in key regions like the dorsal raphe nucleus, ventral tegmental area, and within the PFC itself will be essential to establish this link.\nOur findings indicate diminished prefrontal serotonin levels in the diazepam-exposed group. This depletion may underlie attenuated maternal responsiveness at a neurochemical level, and inhibition of prefrontal cortex activity markedly compromises both pup retrieval and maternal nesting behavior in lactating rats [31], [32]. Serotonin signaling in the prefrontal cortex plays a critical role in maternal caregiving and neuroplasticity within the maternal brain [32]. Specifically, serotonin regulates maternal aggression and pup-directed licking behaviors through its projections to the medial preoptic area [32], [33]. In addition, da Silva Junior et al. [34] demonstrated that prenatal diazepam exposure alters monoamine concentrations in the brainstem of offspring, which may lead to impaired respiratory control [34].\nDiazepam’s disruption of serotonergic transmission—likely mediated by GABAergic inhibition of raphe nuclei—could impair these maternal circuits. In addition to these significant neurochemical alterations, a non-significant trend toward reduced BDNF levels was observed in the hippocampus and prefrontal cortex of diazepam-exposed dams. While this did not reach statistical significance, likely due to the high variability inherent in BDNF measurement, the reduction hints at impaired synaptic plasticity which could compromise long-term maternal behavior. BDNF is regulated by both GABAergic and serotonergic signaling and is critical for maternal behavior [5], [9], [35]. The lack of a significant change may suggest the involvement of compensatory mechanisms or indicate that the primary drivers of the behavioral deficits are the direct disruptions to GABAAR, serotonin, and the HPA axis, with BDNF playing a more modulatory role. Future studies with larger sample sizes and targeted time-course analyses are warranted to fully elucidate the role of BDNF in this model.\n\n\n### Limitations and future directions\nWhile this study provides valuable insights into postpartum maternal behavior, its narrow focus on immediate postnatal outcomes constrains our understanding of enduring intergenerational consequences. To address this gap, future longitudinal research should track offspring development into adulthood, evaluating potential long-term behavioral, cognitive, or neuroendocrine abnormalities that may arise from perinatal exposures. Expanding this work to include cross-species models (e.g., rodent and human cohorts) could strengthen translational relevance, while integrating multi-omics approaches (e.g., epigenomic, transcriptomic, and proteomic analyses) may uncover biomarkers of risk or resilience. Finally, examining how environmental factors, such as social support or stress, interact with pharmacological exposures could inform personalized interventions to mitigate adverse outcomes across generations. Such interdisciplinary efforts would deepen our understanding of developmental origins of health and disease while guiding clinical strategies for vulnerable populations.\nWhile our findings strongly suggest that the impaired maternal behaviors are a direct result of diazepam's action on the GABAergic system, a key limitation of this study is the lack of pharmacological antagonism to confirm site-specific causality. The gold-standard proof would involve the co-administration of a competitive benzodiazepine antagonist, such as flumazenil, which would be predicted to block diazepam's access to the GABA-A receptor and prevent the observed molecular and behavioral deficits. Future studies designed to include this experimental group are essential to unequivocally confirm that the effects reported here are mediated specifically through the central benzodiazepine binding site.\n\n\n### Conclusion\nIn summary, prenatal diazepam administration disrupts maternal behavior and induces region-specific reductions in GABAARα1 mRNA and serotonin within brain circuits critical for caregiving, including the prefrontal cortex and hippocampus. These findings highlight the vulnerability of GABAergic and serotonergic systems to benzodiazepine exposure during pregnancy, mediated by dysregulation of stress-related neurocircuitry—such as hypoactivation of the hypothalamic-pituitary-adrenal (HPA) axis and serotonergic depletion in the prefrontal cortex. Such neurobiological alterations impair stress buffering, emotional regulation, and affiliative behaviors essential for early mother-offspring bonding, raising concerns about the intergenerational risks of benzodiazepine use during gestation. Notably, these preclinical outcomes mirror clinical reports linking perinatal anxiolytic exposure to diminished maternal sensitivity and postpartum bonding difficulties, underscoring the translational relevance of our model. Future studies should investigate whether these behavioral deficits propagate transgenerational effects via altered maternal programming of offspring stress or social reward systems. Additionally, integrating neuroimaging in human cohorts to assess prefrontal cortex-amygdala connectivity and oxytocinergic tone could bridge preclinical mechanisms to clinical phenotypes. Public health initiatives must also address systemic gaps, including improved clinician education on neuroactive medication risks and equitable access to psychosocial support systems for at-risk mothers. By harmonizing mechanistic neuroscience, clinical psychiatry, and policy reform, we can advance perinatal care strategies that safeguard both maternal mental health and neurodevelopmental trajectories across generations.\n\n\n### Author statement\nHamed Fanaei and Samira Khayat designed the study. Yasaman Moin and Hamed Fanaei carried out the experiments. Hamed Fanaei and Samira Khayat analyzed the data. Hamed Fanaei and Samira Khayat wrote the manuscript.\n\n\n### CRediT authorship contribution statement\nYasaman Moin: Visualization, Software, Project administration, Methodology, Investigation, Data curation. Hamed Fanaei: Writing – review & editing, Writing – original draft, Visualization, Software, Project administration, Methodology, Investigation, Funding acquisition, Data curation, Conceptualization. Samira Khayat: Writing – review & editing, Writing – original draft, Formal analysis, Conceptualization.\n\n\n### Ethics approval statement\nThe study was approved by Ethics Committee of Zahedan University of Medical Sciences (ethical code: IR.ZAUMS.AEC. 1402.001).\n\n\n### Funding\nFinancial support for the study was conducted by the Office of Vice-President for Research and Information Technology of Zahedan University of Medical Sciences (code number: 3634).\n\n\n### Declaration of Competing Interest\nThe authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.", "domain": "affective_neuroscience"}
{"source": "PMC12742557", "title": "Maternal Obesity in Pregnancy: Risk Factor for Neurodevelopmental Outcomes in Offspring", "text": "# Maternal Obesity in Pregnancy: Risk Factor for Neurodevelopmental Outcomes in Offspring\n\n## Abstract\nObesity is a worldwide epidemic disease marked by changes in the function of various tissue and organs, driven by excessive fat accumulation. In recent years obesity was characterized not just by the increase of fat, but also an imbalance of energy homeostasis mechanisms. In parallel with global rise in obesity, the incidence of obesity during pregnancy and lactation had also been steadily increasing. Maternal obesity is a public health issue that affects the child and the mother, in acute and chronic term, being a risk factor for the development of metabolic, hormonal, neurodevelopmental, and psychiatric disorders in offspring. Obesity during the gestation can reprogram the fetal immune, metabolic, endocrine, and neurological systems, influencing offspring's metabolism and mental health. This is supported by the Developmental Origins of Health and Disease (DOHaD) theory, which proposes that environmental factors during critical periods of early development (as the fetal period) can influence the risk of developing diseases later in life. In this review, we focused on how maternal obesity can affect the brain offspring neurodevelopment, neural circuits, synapses, glial cells, and neuroinflammation, which all can influence offspring behavioral disorders.  Maternal obesity during pregnancy induces metabolic and inflammatory disturbances that alter the offspring brain environment, characterized by neuroinflammation, glial activation, disrupted neurotransmitter signaling, and mitochondrial and synaptic dysfunction, ultimately increasing the risk of adverse neurodevelopmental outcomes, with persistent effects throughout life.\n\n## Full Text\n\n\n### Introduction\nObesity is a chronic metabolic disorder characterized by altered tissue and organ function due to excessive adiposity and persistent low‐grade inflammation, driven largely by adipose tissue–derived cytokines that disrupt systemic metabolism (Rubino et al. 2025; World Obesity Federation, W. heath organization 2023). Rather than a passive result of fat accumulation, obesity reflects dysregulation of energy homeostasis involving neuroendocrine, immune, and metabolic circuits (Schwartz et al. 2017). The excessive accumulation of adipose tissue leads to a range of metabolic, inflammatory, and biochemical perturbations, which collectively increase the susceptibility to a diverse spectrum of comorbid conditions such as type 2 diabetes, cardiovascular disease, and neuropsychiatric disorders (Lavie et al. 2015; WHO 2025).\nThe rising prevalence of obesity among women of reproductive age extends these metabolic perturbations to gestation and lactation, where maternal obesity alters the intrauterine environment and affects fetal organogenesis, including brain development (WHO Europe 2022; Barker 1995; Wadhwa et al. 2009). Maternal obesity–induced inflammation, hormonal imbalance, oxidative stress, mitochondrial dysfunction, and epigenetic modifications can disrupt neurodevelopmental trajectories, increasing the risk of cognitive and behavioral impairments in offspring (Contu and Hawkes 2017; Davis and Mire 2021; Huang et al. 2014; Kong et al. 2020; Page et al. 2019; Weber‐Stadlbauer 2017).\nThis narrative review examines mechanistic pathways linking maternal obesity to offspring neurodevelopmental, metabolic, and behavioral alterations, emphasizing inflammatory, mitochondrial, and synaptic dysfunction as key mediators. PubMed was used as the primary database for our bibliographic search. The selected keywords included: “maternal high‐fat diet” or “maternal obesity” and “offspring adipose tissue” or “offspring brain” or “offspring neuroinflammation” or “offspring mitochondria” or “offspring brain circuits” or “offspring hypothalamus” or “offspring hippocampus” or “offspring synapses” or “offspring glia” or “offspring behavior” or “offspring psychiatric disorder”.\n\n\n### Obesity as Inflammatory Disease and Its Influence on Fetal Neuroinflammation\nObesity is characterized by excessive and abnormal white adipose tissue accumulation. White adipose tissue has important function in the storage of triglycerides, and releasing them as free fatty acids during energy demand. Additionally, it acts as an endocrine organ, secreting hormones and cytokines that regulate metabolism, inflammation, and insulin sensitivity (Rosen and Spiegelman 2014). During the progression of overweight and obesity, adipocytes increase in number and in weight, creating zones of hypoxia, which are essential for the recruitment and activation of macrophages, as well as to the release of proinflammatory cytokines, leading to the cell dysfunction and consequently insulin resistance (Elias et al. 2012; Frayn and Karpe 2014).\nThe inadequate maternal nutrition and obesity during gestation induces significant metabolic changes, such as endocrine imbalance, increase in proinflammatory cytokines levels, and stress that can impair fetal brain development, and metabolic programming, increasing the risk of chronic diseases later in life (Heerwagen et al. 2010; Şanlı and Kabaran 2019). The maternal immune activation (MIA) hypothesis suggests that immune system activation in utero can influence the development of neural circuits, leading to several neurodevelopmental conditions, and psychiatry diseases (Gilmore and Jarskog 1997; Patterson 2002). The first evidence supporting this hypothesis came from studies on maternal exposure to viral infections—such as influenza, herpes simplex virus type 2, rubella, and cytomegalovirus—which increase maternal cytokine levels and elevate the risk of schizophrenia in the child (Brown et al. 2009; Brown et al. 2004; Buka et al. 2008). Taking this into account the increase in the proinflammatory cytokines occurring in obesity can modulates fetal development.\nSeveral studies in humans, have demonstrated and increased in inflammatory markers in women with obesity, as well as in the placenta and cord‐blood. In the blood of pregnant women with obesity (Table 1), it has been described that occurs an increase in tumor necrosis factor‐α (TNF‐α), interleukin (IL)‐1β, IL‐17, IL‐6, among other cytokines (Jancsura et al. 2023; Stewart et al. 2007), as well as an increase in the gene expression of inflammatory genes on cord‐blood of offspring compared with the pregnant women with normal weight (Dosch et al. 2016). Pregnant women with overweight have higher levels of serum C‐reactive protein (CRP) and monocyte chemoattractant protein 1 (MCP‐1) at second‐trimester than pregnant woman with normal weight (Gaillard et al. 2016; Madan et al. 2009). Mothers with obesity or overweight have increased expression of those genes in their blood, proposing the maternal inflammatory condition can arrive by circulation and impact intrauterine environment (Nakandakare et al. 2021). Newborns from mothers with overweight and obesity have a higher expression of inflammation genes, TNF‐α, nuclear factor kappa‐light‐chain‐enhancer of activated B cells (NFkB) and Toll‐like receptor 4 (TLR4), in the cord‐blood than newborns from women with normal weight (Nakandakare et al. 2021). Another important aspect is the increased macrophage population on the placenta of women with obesity compared to pregnant women with normal weight, characterized by increased CD14+, CD68+, and CD11b+ markers (Challier et al. 2008), as well as increased gene expression of cytokines IL‐1, TNF‐α, IL‐6. Fetoplacental immune activation also has sex‐specific alterations (Leon‐Garcia et al. 2015; Shook et al. 2023). Placenta from male fetus of mothers with obesity have higher density of Hofbauer cells (placental resident macrophage) than female fetus placenta from mothers with obesity, suggesting maternal obesity is linked to sex‐specific changes in Hofbauer cells phenotype, characterized by increased cell circularity and hyperplasia in male placenta (Shook et al. 2023).\nHuman studies.\nDysregulated or persistent neuroinflammation can contribute to the development of neurological conditions (Ransohoff et al. 2015) (Guillemot‐Legris and Muccioli 2017; Han et al. 2021). When discussing the MIA hypothesis, elevated maternal cytokine levels can reach fetus and impact the fetal brain development, not only affecting blood–brain barrier formation and neurodevelopment but also contributing to persistent Blood Brain Barrier (BBB) dysfunction (Zhao et al. 2022). The chronic consumption of high fat diet (HFD) by pregnant nonhuman primates (Table 2) can increase proinflammatory cytokines and activate microglia cells on fetuses, suggesting that maternal HFD consumption can impact the fetal neurodevelopment (Grayson et al. 2010). Additionally, at 12 weeks of age, offspring of mothers fed a HFD exhibited elevated hypothalamic levels of IL‐6, IL‐1β, and TNF‐α, indicating the presence of hypothalamic inflammation (Ornellas et al. 2016). Table 3 summarizes the studies in rodent animal models of HFD induced obesity in inflammatory changes in the offspring.\nSummary of experimental studies conducted in nonhuman primate models of obesity.\nSummary of experimental studies conducted in rodent models of obesity.\nIn addition to increased proinflammatory conditions, other factors associated with metabolic dysregulation that occurs in maternal obesity—such as hyperglycemia, increased in insulin and leptin levels, mitochondrial dysfunction, and elevated oxidative stress—can create a complex and challenging environment for normal fetal development (Catalano et al. 2009; Costa et al. 2016). Mitochondrial dysfunction and inflammation are convergent intracellular changes, which can lead to cellular dysfunction and apoptosis (de Mello et al. 2018). Mitochondria function is highly responsive to inflammatory signals, and in turn, can release others mitochondrial components and trigger more inflammatory response and cell stress—creating a self‐reinforcing feedback loop (Zhang et al. 2010). Obesity itself is correlated to mitochondrial dysfunction in the central nervous system (to review check (de Mello et al. 2018; Schmitt et al. 2024; Schmitt and Gaspar 2023)). In MIA context, mice exposed to immune activation in pregnancy, the pups showed lower mitochondrial membrane potential, decreased ATP levels and increased release of free radicals in the brain, suggesting MIA can lead to mitochondrial dysfunction in offspring brain (Cieślik et al. 2023). Mice model of maternal exposure to HFD impaired mitochondrial dynamics on offspring brain, resulting by increased of mitofusin‐2 (Mfn2) protein content and decreased of dynamin‐related protein‐1 (DRP1) protein content, while mRNA expression levels of Mfn2 are reduced (Cardenas‐Perez et al. 2018). Furthermore, multi‐omics analyses revealed modified hippocampal transcriptomic profile, particularly in genes related with oxidative phosphorylation complex, in adults offspring from rodent mothers of HFD‐ induced obesity (Gauvrit et al. 2023). In the placentas from women with obesity, was observed a decrease in the activity of the antioxidant enzymes superoxide dismutase (SOD) and catalase, accompanied by increased levels in the nitrotyrosine residues, suggesting that the placenta antioxidant response of women with obesity is affected (Santos‐Rosendo et al. 2020).\nIn summary, all the inflammatory and metabolic changes that occurs in obesity during pregnancy can cross the blood placental barrier and influence the fetal brain inflammatory, mitochondrial function and metabolic profile, that can affect fetal and offspring brain development.\n\n\n### Neurodevelopmental Impact of Glucotoxicity and Lipotoxicity in Offspring of Obese Mothers\nObesity is associated with elevated circulating levels of glucose and free saturated fatty acids, and the excessive supply of these metabolites can lead to two detrimental conditions known as glucotoxicity and lipotoxicity (Poitout and Robertson 2002). Lipotoxicity refers to the detrimental effects of excess lipids, particularly saturated fatty acids, on cellular function and viability. In the brain, elevated levels of saturated fatty acids—commonly observed in the context of obesity and high‐fat diets—can disrupt neuronal homeostasis and contribute to neuroinflammation, mitochondrial dysfunction, oxidative stress, and endoplasmic reticulum (ER) stress (Cavaliere et al. 2019; Diaz et al. 2015; Gupta et al. 2012; Kwon et al. 2014; Schmitt et al. 2024; Yi et al. 2017). Additionally, saturated fatty acids may compromise the integrity of the BBB and interfere with insulin and leptin signaling, both of which are critical for central regulation of energy homeostasis and cognitive function (Benoit et al. 2011; Kanoski et al. 2010). Over time, these processes can result in behavioral and cognitive impairments, including increased anxiety, memory deficits, and susceptibility to others psychiatric disorders, as well as neurodegeneration.\nHuman placenta from mothers with obesity have higher clearance on free fatty acids (FFA) transport compared to lean mothers, suggesting the direct transport of FFA to the fetus is elevated in mothers with obesity (Hirschmugl et al. 2021). Also, human data of lipidomic analysis of the cord‐blood from mothers with obesity showed increased levels in saturated fatty acids (palmitate and stearate) compared to cord‐blood from lean mothers (Costa et al. 2016). High levels of triglycerides and cholesterol on mother's plasma is positively correlated with offspring plasma levels of triglycerides and cholesterol (Malti et al. 2014).\nAnimal studies, have demonstrated that maternal diet can influence the fatty acids composition of fetus brain lipids (Pavey and Widdowson 1980). In murine model, the lipidomic profile of offspring from free‐choice high fat‐high sugar diet fed mothers showed increased concentration of sphingolipids on frontal cortex and hippocampus, followed by enhanced gene expression levels of ceramide synthase 2 in the hippocampus (Santillán et al. 2025). Moreover, the sphingolipids enhanced concentration was also followed by cognitive impairment on pups from free‐choice high fat high sugar diet fed mothers (Santillán et al. 2025). Maternal HFD consumption is also linked with increase of lipid peroxidation on fetus brain, which was associated with synaptic impairment, in a mice model of obesity (Hatanaka et al. 2016; Tozuka et al. 2009). Thus, the increase of lipids on fetal brain can disrupt brain homeostasis.\nGlucotoxicity is another harmful consequence that can arise in the context of obesity or diabetes, where abnormally high glucose levels may accumulate and exert toxic effects throughout the body. One of the most critical aspects of glucotoxicity involves the formation of advanced glycation end products (AGEs), which result from a hyperglycemic environment that induces irreversible, non‐enzymatic binding of glucose to molecules such as proteins. These AGEs are toxic, unstable, and highly reactive (Twarda‐clapa et al. 2022). Fluctuations in glucose levels—commonly observed in type 2 diabetes mellitus—can be change neuronal homeostasis and function, as demonstrated in in vitro studies using C6 astrocytes, as well as neuronal cell cultures (Gaspar et al. 2010, 2013; Hansen et al. 2012); as well as induced mitochondrial dysfunction, increased reactive oxygen species (ROS) and proinflammatory cytokine production, and impaired glutamate and glucose uptake in glial cells (Nokin et al. 2017; Peng et al. 2016; Quincozes‐Santos et al. 2017; Rivera‐Aponte et al. 2015).\nUnder glucotoxicity conditions there is an increase in methylglyoxal production, which is the main precursor of AGEs. Higher levels of methylglyoxal in maternal circulation can cross the placental barrier and lead to premature neurogenesis and decrease neural precursor cells, suggesting a neural impairment which can persist postnatally (Yang et al. 2016). As well, maternal high fat diet consumption can impair the glucose metabolism in fetus, particularly in the hypothalamus (Chen et al. 2014). The hypothalamic neurons from male pups from mothers fed HFD showed reduced response to hyperglycemia stimuli in vitro, even for the neuropeptide Y (NPY) neurons and for the pro‐opiomelanocortin (POMC) neurons, suggesting offspring hypothalamic glucose uptake was reduced by maternal HFD consumption, which can lead to hyperphagia and food imbalance (Chen et al. 2014). Additionally, insulin and leptin are known as the main anorexigenic signaling hormones and are essentials for glucose homeostasis (Varela and Horvath 2012). Embryos of HFD‐exposed mothers were hyperinsulinemic and hyperleptinemic but their intracellular signaling pathway was found to be disrupted in fetus's hypothalamus, with decreased expression of IRS‐2 and STAT‐3 (Gupta et al. 2009). This suggests that fetus from HFD mothers have resistance to insulin and leptin on hypothalamus and reflect in neuroendocrine alteration (Gupta et al. 2009). Furthermore, glucose transporters (GLUTs) are a family of transporter protein responsible for transport glucose to cell, which GLUT1 present in endothelial cells of the BBB, and GLUT3 present in the neurons. GLUT 4 is less abundant in brain, but is found in hippocampus, as well as in cerebellum, and is the insulin responsive glucose transporter. On maternal HFD model, the offspring on postnatal day (PD) 21 decreased mRNA expression of GLUT1 and GLUT4 on hippocampus (Abedi et al. 2024). At PD 180 (adult offspring), was observed decreased content of GLUT3 in the hippocampus of the offspring which continued eating HFD since birth (Abedi et al. 2024). Taken together, maternal HFD exposure can dysregulate brain glucose signaling, which can cause cerebral metabolic effects.\nIn summary, maternal obesity, as well as the consumption of a high caloric diets (high fat or high sugar) may contribute to neurodevelopmental abnormalities in the fetal brain through both lipotoxic and glucotoxic mechanisms (Figure 1). These mechanisms involve a range of molecular and cellular pathways which can impact the offspring brain homeostasis and lead to functional impairment in brain activity.\nMaternal high‐ fat diet causes glucotoxicity and lipotoxicity in the offspring brain. Maternal obesity induced by high‐ fat diet elevates the circulating levels of glucose and free fatty acids. Increased levels of glucose and lipids can cross the placental barrier and reach the developing offspring brain, and trigger glucotoxicity and lipotoxicity conditions. These situations can disrupt brain cells homeostasis and impair neurodevelopmental processes. Figure created using BioRender.com.\n\n\n### Maternal Obesity and Its Influence on Offspring Neurodevelopment and Neurotransmission\nMaternal obesity is increasingly recognized as a critical factor influencing fetal brain development, with long‐term consequences for offspring. In humans, newborns from mothers with obesity showed less cerebral white matter integrity (measured by fractional anisotropy), suggesting that maternal adiposity can have a negative impact on brain white matter development (Ou et al. 2015). Also, maternal high body‐mass index (BMI) is negativity correlated with cerebellum development at pregnancy (Koning et al. 2017). As well, maternal BMI is correlated with brain connectivity on neonatal thalamus, showing increased connectivity in left thalamus but decreased connectivity in frontothalamic region, suggesting maternal BMI is associated with brain circuit development, which can impact child cognitive, social, and behavioral capacities (Spann et al. 2020).\nThe hypothalamus is a brain region essential for regulating circadian rhythms, feeding, body temperature, whole‐body energy metabolism, and managing emotions. Hypothalamus has a regulatory function in controlling hunger by responding to peripheral anorexigenic signals (appetite reduction) and orexigenic signals (appetite stimulation), exerting potent effects on energy homeostasis (Varela and Horvath 2012). In the embryonic hypothalamus of Sprague–Dawley rats of HFD‐fed dams it was found an increase in the expression of NPY as well as in the number of orexigenic NPY expressing neurons (Poon et al. 2012). These orexigenic changes were also shown in another study with Sprague–Dawley embryos, that immunohistochemistry essay revealed increased immunoreactivity of AgRP/NPY neurons, while a decrease in immunoreactivity of α‐MSH in the cells, suggesting a suppression of anorexigenic signaling in the hypothalamus of fetuses from HFD fed mothers (Stachowiak et al. 2013). Changes in orexigenic and anorexigenic peptides, were maintained until 3 months old offspring of mothers fed with HFD (Ornellas et al. 2016). This increased NPY and decreased POMC was also followed by elevated SOCS3 and decreased JAK2/STAT3 phosphorylation, indicating central impairment of leptin signaling (Ornellas et al. 2016). In addition, rats from maternal overnutrition at first day of age decreased hypothalamic mTOR, pAMPK, and DNMT1 protein, which can impact neural progenitor cell proliferation and differentiation (Desai et al. 2016). At 6 months of age the offspring from maternal overnutrition increased AgRP/NPY and decreased POMC proteins in the arcuate nucleus of the hypothalamus, proposing that maternal overnutrition can modulate neuronal differentiation (Desai et al. 2016). The consumption of high fat high sucrose diet before pregnancy, induces ER stress in the hypothalamic arcuate nucleus POMC and AgRP neuronal population in the offspring at PD10 (Park et al. 2020). Also, maternal programming by HFD was capable of causing ER stress in the hypothalamus of adults offspring rats, which reflected in enhanced ER‐mitochondrial interaction and metabolic compromise in offspring (Cardenas‐Perez et al. 2018). In a murine model, offspring of females fed a HFD prior to gestation showed decreased expression of proliferative genes in the hypothalamus at embryonic day (ED) 13, specifically Bub1b, Ki67, and Pcna (Dearden et al. 2020). Hypothalamic transcriptome profile of adult offspring exposed to maternal obesity showed downregulated genes expression in pathways involved in oxidative phosphorylation, also indicating mitochondrial dysfunction on hypothalamus (Kulhanek et al. 2022). Taken together, maternal exposure to HFD in utero can disrupt hypothalamic cell homeostasis in the offspring and influence their energy metabolism in both the ihort and long‐term, primarily by affecting the neurons responsible for feeding behavior.\nHippocampus is the brain region fundamental for cognitive functions, such as memory, learning and spatial orientation. Moreover, it is one of the few regions in the adult brain capable to produce new neurons, as part of structural neuroplasticity (Leuner and Gould 2010). Hippocampus is densely rich in neurons that use glutamate as their primary neurotransmitter (McBain et al. 1999). MIA in animals models is also correlated with suppression of hippocampal postnatal neurogenesis, increased proinflammatory cytokines, reduced basal neurotransmission of dopamine and glutamate, and decreased levels of Gamma Aminobutyric acid (GABA) (Bilbo and Schwarz 2012; Meyer et al. 2006).\nThe consumption of high fat diet in a rodent model, before pregnancy increased the levels of extracellular glutamate in offspring hippocampus, accompanied by Vesicular glutamate transporter 1 (VGLUT1) up‐regulation, demonstrating that HFD can impact offspring glutamate homeostasis and synapses (Mizera et al. 2022). Maternal HFD consumption induces Glutamate Ionotropic Receptor AMPA Type Subunit 1 (GlutA1‐AMPA receptor subunit) hyperpalmitoylation (excessive chemical covalently attachment of palmitate to proteins) on offspring hippocampus, suggesting a posttranslational modifications on hippocampal glutamate receptors (Lin et al. 2021). Maternal overnutrition can also affect the expression of N‐methyl D‐aspartate receptor (NMDA) receptors on offspring hippocampus by enhancement of glutamate [NMDA] receptor subunit epsilon‐2 (GluN2B) protein levels in young adults rats (Mizera et al. 2022). The increase of GluN2B subunit on hippocampus seems to be negatively correlated to adult neurogenesis (Hu et al. 2008), suggesting it can be a possible mechanism of how maternal HFD can impact offspring neurogenesis in the offspring young rats (Mizera et al. 2022).\nBrain‐derived neurotrophic factor (BDNF) is a protein essential for brain development, neuroplasticity and repair neurons. In the hippocampus, this protein plays a key role in learning, memory and mental health (Erickson et al. 2012). In female rats fed with saturated HFD, their adult offspring exhibited reduced levels of BDNF, nerve growth factor (NGF), and activity‐regulated cytoskeleton‐associated protein (Arc) both at mRNA and protein level in the hippocampus (Page et al. 2014). In 4‐week‐old mouse pups whose mothers consumed HFD, there was a reduction in hippocampal expression of BDNF, cyclic AMP response element‐binding protein (CREB), and Grin2b, alongside increased expression of DNA methyltransferase genes. These findings suggest that maternal exposure to a HFD may impair offspring neurodevelopment through gene hypermethylation (Yan et al. 2017). Additionally, adult offspring mice of HFD‐fed mothers showed decreased hippocampal BDNF protein levels, reduced 5‐HT1A receptor protein expression, and elevated Mash1 protein levels, all indicative of disrupted hippocampal neurogenesis (Curi et al. 2021).\nEpigenetics alter how gene are expressed without change the DNA code. In a Wistar rat model, it was reported an increased in hippocampal H4 histone acetylation at PD21 of offspring from HFD fed mothers, but decreased at PD50 (Gonçalves et al. 2017). Also it was observed that at ED17.5 male pups from high fat diet mothers enhanced binding of histone H3 lysine 9 acetylation at oxytocin receptor (OXTR) promoter compared to male embryos from control mothers (Glendining and Jasoni 2019). The females pups from HFD fed mothers had lower OXTR promoter histone H3 lysine trimethylation compared to female pups from control mothers (Glendining and Jasoni 2019). Those results show that maternal HFD consumption can induce epigenetic changes in hippocampal DNA histone binding in offspring differently, according to pup sex.\nDopamine is the neurotransmitter correlated to reward and motivation, being mainly produced by substantia nigra and ventral tegmental area (VTA). The dopamine neurons from VTA projects to hippocampus, nucleus accumbens (NAc), prefrontal cortex (PFC) and amygdala, being important to memory formation, emotional or motivational experiences and learning (Hou et al. 2024; Ikemoto 2007; Sayegh et al. 2024; Tsetsenis et al. 2023). In rodents, the offspring from mothers that consume HFD showed increased in the dopamine transporter (DAT) gene expression on VTA, NAc and PFC. The expression of the dopamine receptors D1, D2 and cAMP‐regulated phosphoprotein DARPP‐32 on NAc and PFC decreased in offspring from mothers that consume HFD, demonstrating maternal HFD consumption can alter dopamine circuits (Vucetic et al. 2010). Moreover, maternal HFD consumption during lactation changed the dopaminergic brain circuits by silencing dopaminergic midbrain neurons, attenuated synaptic connectivity with downstream projections sites and decreased dopamine release in striatum (Lippert et al. 2020). In the NAc, it was observed that male offspring from HFD fed mothers increased DAT and D2 receptor content, effect that was not observed in female offspring (Dias‐Rocha et al. 2023). In contrast, female offspring from HFD mothers show increased DARPP‐32 content in the NAc, whereas male offspring exhibit decreased levels (Dias‐Rocha et al. 2023). Taken together, these findings suggest that maternal HFD consumption can compromise the integrity of dopaminergic circuits in the offspring, with effects influenced by the sex of the pup, potentially leading to impaired reward processing and motivation.\nGABA is the brain's primary inhibitory neurotransmitter and acts as regulator of neuronal excitability, being important for the balance between excitatory and inhibitory synapses. In mice, offspring from mothers fed a HFD presents an increase in the anxious‐like behavior and has an increased expression of GABAA alpha2 receptor on ventral hippocampus compared to offspring from lean mothers (Peleg‐Raibstein et al. 2012). Western diet consumption by mothers induced in the hypothalamus of the offspring after weaning a decreased in GABAA alpha5 subunit and an increased in GABAA alpha1 in the NAc and VTA (Paradis et al. 2017), suggesting a remodeling of GABA neurotransmission.\nSerotonin (5‐hydroxytryptinamine, 5‐HT) is the neurotransmitter that plays a key role in regulating mood, emotion, sleep, appetite, digestion and even memory. Serotonin is 90% synthesized on gut by enterochromaffin cells and the remaining pool is produced by the brain specially on raphe nuclei, where the amino acid tryptophan receives a hydroxyl group and forms the intermediate 5‐hydroxytryptophan, reaction that is catalyzed by tryptophan hydroxylase 2 enzyme (TPH2) (Watts et al. 2012). HFD consumption disrupt serotoninergic system by altering serotonin synthesis, transport, receptor signaling and gut‐brain interactions (Chakraborti et al. 2021; Hoch et al. 2023; Huang et al. 2004; Watanabe et al. 2016). In maternal HFD model of nonhuman primate, was observed on offspring the increased expression of TPH2 on rostral raphe, followed by increased expression of 5‐HT1A autoreceptor (Sullivan et al. 2010). Murine models of HFD also showed impairment on serotoninergic circuit in brain offspring. In the offspring of mice fed a HFD during pregnancy and lactation occurs an increased protein levels of TPH2 on hippocampus (Dias et al. 2020). In the PFC occurs an increased levels of 5‐HIIA (serotonin metabolite), which reflected increased 5‐HIIA/5‐HT ratio, indicating an increased serotonin metabolism (Moreton et al. 2019). In male offspring mice born from mothers that fed a HFD, present a decreased expression of 5‐HT2C receptor in PCF, NAc and striatum at PD28 but at PD63 occurred increased in the 5‐HT2C receptor levels in NAc and striatum (Gawlińska et al. 2021). All together these studies point the evidence that the consumption of HFD during gestation and lactation disturb the GABAergic serotoninergic systems in brain offspring.\nIn summary, maternal exposure to HFD has been shown to adversely affect neurodevelopment and the organization of neurotransmitters circuits in the offspring. This dysregulation involves multiple neurotransmitters systems, spans various brain regions, and is associated with alteration on key molecular pathways, including those regulating neurotransmitter synthesis, receptors expression and signaling efficiency (Table 3). Collectively, these neurobiological disrupts may impair fetal neurodevelopment disorders and neuropsychiatric conditions associated with maternal obesity.\n\n\n### Maternal High‐Fat Diet and Its Impact on Offspring Neuroglial Cells\nThe consumption of HFD by the mother during pregnancy can significantly influence the development and function of glial cells in the offspring's brain. Glial cells are the non‐neuronal cells of nervous system, including astrocytes, microglia, and oligodendrocytes. Glial cells play crucial roles in maintaining neural homeostasis, supporting neuronal function, and modulating inflammatory responses. In different rodent models, exposure to excessive dietary fats in utero has been shown to alter glial cell activation and morphology, potentially leading to neuroinflammation and impaired neural connectivity (Davis and Mire 2021; Hatanaka et al. 2016; Maldonado‐Ruiz et al. 2019). These changes may contribute to long‐term cognitive and behavioral deficits in the offspring, highlighting the importance of maternal nutrition for healthy brain development (Niculescu and Lupu 2009).\nMicroglia are the immune cells from the brain which function as sensors for environmental changes. However, immature microglia activation at early life can lead to persistent changes in microglia function, resulting in long‐term neural and cognitive dysfunction (Davis and Mire 2021). Upon exposure to a wide range of stimuli, microglia become rapidly activated, undergoing to morphological transformation, from ramified into an ameboid phenotype, followed by upregulation of various surface molecules associated with immune activation (Colonna and Butovsky 2017). In this process, microglia can assume an inflammatory response of M1 or M2 type, but the overactivation to M1 (microgliosis) can be proinflammatory and neurotoxic (David and Kroner 2011). Maternal immune activation disrupts epigenetic regulation in offspring microglia (Mattei et al. 2017). In nonhuman primates, female macaques consuming a Western‐style diet (WSD) high in saturated fats and sugars produced offspring that, at 13 months old (equivalent to 3–4 human years), showed decreased microglial cell counts in the amygdala (Dunn et al. 2022). Additionally, the number of microglia was correlated with both maternal WSD consumption and maternal adiposity (Dunn et al. 2022). A rodent model of HFD induced obesity throughout gestation and lactation showed increased density of microglia in offspring hippocampus (Ojeda et al. 2023), as well as changed microglia morphology even in males and females offspring at PD30, characterized by increased solidity and having shorter branch length (Bordeleau et al. 2020). At 6 weeks old, mice from HFD mother showed increased microglia density and microglia soma in hippocampus, altering the morphology and the number of microglia (Shiadeh et al. 2024). In rodents model of female Wistar rats which received cafeteria diet with 49% of fat before get pregnant, the pups at 8 weeks of age had an increased hypothalamic microglial activation (Maldonado‐Ruiz et al. 2019). Thus, maternal consumption of hypercaloric diets (cafeteria and HFD) can induce alterations on microglia morphology and increases the number of activated microglia (Table 3).\nMicroglia cells also are essentials for synaptic regulation, actively participating in brain plasticity and the process of synaptic pruning. The offspring of mothers that consume HFD before mating, exhibited a decrease number of mature lysosomes on microglia cells, increased microglia interaction on synaptic contact, decreased insulin like growth factor 1 (Igf1) gene expression, which is a growth factor secreted by microglia, and changed myelin organization, suggesting maternal HFD can modified myelination and impact microglia function, through microglia activation (Bordeleau et al. 2021). Moreover, microglia seem to interact directly to AgRP neurons and permanently alter the innervation on paraventricular hypothalamic nucleus after maternal HFD exposure (Mendoza‐Romero et al. 2025). Also, offspring from HFD mother at PD16 showed reactive microglia with enhanced hypothalamic phagocytic activity and increased internalized PSD‐95 protein, suggesting that microglia from HFD mothers offspring increased synaptic engulfment (Valdearcos et al. 2025). In addition, maternal high fat diet exposure also seems to modify offspring cerebrovascular system by increasing the microglia‐blood vessel proximity and enhanced microglial‐synapses interaction, which can be a consequence of exacerbated inflammation on offspring's brain (Bordeleau et al. 2022).\nAstrocytes are the most abundant glial cells in the CNS and are responsible for neuronal support and maintenance, regulate neurotransmission, modulate synapse and participate in immune response. Also, their localization on BBB make those cells sensitive to metabolites and inflammation biomolecules (Abbott et al. 2006). Obesity induced by the consumption of HFD during pregnancy leads to increased proliferation and number of astrocytes on offspring hypothalamus (Kim et al. 2016). Adult offspring of mice whose mothers received a supplement of high‐sucrose soft drink and chocolate did not show changes in Glial Fibrillary Acidic Protein (GFAP)‐positive cells (a marker of astrogliosis) in the hypothalamus. However, when the offspring were exposed to the same diet, there was an increase in GFAP‐positive cells (Kjaergaard et al. 2017). The hypothalamic transcriptome of mice pups at PD15 (lactation peak) from HFD mothers did not change the astrocyte transcriptome profile compared to controls (Huang et al. 2024). But the cell‐to‐cell prediction interaction based on transcriptome showed increased interaction between hypothalamic AgRp/NPY neurons (orexigenic neurons) and astrocytes in then offspring from HFD mothers, indicating it can be an important interaction to obesity and metabolic disorders development (Huang et al. 2024).\nThus, maternal HFD consumption can affect the neuroglial cells and influence the development and the function of offspring brain, which might lead to the development of obesity, metabolic syndrome, and also neurodevelopment disorders (Figure 2).\nMaternal high fat diet consumption and impact in the offspring brain. Maternal high fat diets consumption increases the circulating levels of maternal proinflammatory cytokines, lipids and glucose which can traverse the placental barrier and directly affect the fetal development. The elevated proinflammatory cytokines, lipids droplets and higher glucose concentrations arrive to offspring brain and compromise cerebral homeostasis. This impairment on offspring brain results in neuroinflammation, altered neurotransmission, neuroglial activation and disrupted synaptic plasticity. Collectively, all these pathophysiological changes can contribute to the development of behavior disorders on offspring, which can manifest in short‐term and long‐term. Figure created using BioRender.com.\n\n\n### Impact of Maternal Obesity on Offspring Brain Disorders\nPerinatal exposure to a maternal HFD and maternal obesity has been linked to a range of neurobiological alterations and subsequent behavioral changes in offspring, observed across both childhood and adulthood (Edlow 2017). Studies using humans (Table 1) and animal models (Tables 2 and 3), including rodents and nonhuman primates, have been crucial for elucidating the mechanisms by which maternal obesity and a HFD consumption affect offspring development, and consequently childhood obesity, metabolic disorders, and psychiatric disorders (Gao et al. 2013; Hochner et al. 2012; Nivins et al. 2024; Whitaker 2004). Research findings indicate that exposure to these conditions during gestation can induce significant alterations in brain development, disrupting key neurotransmitter systems such as the serotonergic and dopaminergic pathways, as well as promoting neuroinflammation and affecting processes like myelination (Bordeleau et al. 2021; Frankowska et al. 2023; Graf et al. 2016; Sullivan et al. 2010; Thompson et al. 2018). These neurobiological changes result in marked behavioral modifications in the offspring, including increased anxiety, cognitive deficits, alterations in social behavior, and heightened sensitivity to rewards such as palatable foods and drugs of abuse, and, in some instances, behaviors that parallel those associated with neurodevelopmental disorders (Bordeleau et al. 2021; Frankowska et al. 2023; Peleg‐Raibstein et al. 2016; Sasaki et al. 2014; Wu et al. 2013).\nIncreased anxiety‐like behavior is one of the most frequently reported behavioral outcomes. It was observed that maternal exposure to a HFD led to elevated anxiety‐like behavior in nonhuman primate offspring during infancy and juvenile stages, respectively, maybe due to altered expression of tryptophan hydroxylase 2, the serotonin transporter (SERT), and the 5‐HT1A receptor (Sullivan et al. 2010; Thompson et al. 2018). Similarly, it was reported that adult rat offspring of HFD‐fed dams exhibited more anxiogenic behavior in the open field test and the elevated plus maze. An additional noteworthy finding comes from a subsequent study by the same group which showed that adolescent offspring exposed to maternal HFD during lactation displayed decreased anxiety‐like behavior, suggesting that the outcomes of early‐life programming may vary depending on the developmental window targeted (Sasaki et al. 2014). Sivanathan and colleagues further found that in adult rats with chronic HFD consumption exhibited increased anxiety‐like behavior, indicating that a direct effect of HFD treatment, beyond perinatal programming, may also be involved (Sivanathan et al. 2015). In nonhuman primates early nutritional intervention (switching to a control diet at weaning) was not sufficient to fully reverse the maternal HFD‐induced increase in anxiety, emphasizing the difficulty of mitigating the effects of adverse programming once established (Thompson et al. 2018).\nCognitive difficulties are also a common outcome of gestational obesity, and the dopaminergic system—which plays a critical role in regulating motivated behaviors, reward processing, and cognition—is likewise affected by maternal high fat diet programming. Maternal obesity in rats, induced by either a high fat or a high‐reward/high‐fat diet, led to deficits in reversal learning in adult offspring, along with notable disruptions in striatal dopamine regulation (including alterations in dopamine levels, dopamine metabolites, D2 receptor expression, and dopamine transporter activity) (Wu et al. 2013). Offspring of minipigs born to mothers fed a Western diet scored higher than those of control mothers in tests of working and reference memory, that might reflect enhanced cognitive abilities within the context of the task or greater food‐related motivation, despite observed detrimental effects on the hippocampus (Val‐Laillet et al. 2017). On male offspring mice born to HFD‐fed mothers during pregnancy has altered novel object recognition behavior, suggesting impaired memory function, that could be linked to reduced myelination in the medial cortex (Graf et al. 2016).\nChanges in social behavior has also been reported in the offspring of mothers fed with a HDF prior and during gestation. Female mouse pups exposed to a maternal HFD, has social withdrawal which could be reversed through nutritional intervention during lactation (Kang et al. 2014). Meanwhile, maternal HFD in mice led to social impairments in offspring through alterations in the gut microbiome (Buffington et al. 2016). Notably, co‐housing with pups from mothers fed a standard diet or treatment with the bacterial strain \nLactobacillus reuteri\n—which was reduced in HFD‐exposed offspring—was sufficient to reverse the social impairments (Buffington et al. 2016). The gut microbiome has emerged as an important mediator of the effects of maternal diet on offspring. Maternal HFD induced gut dysbiosis in mouse offspring, which was causally linked to the observed social behavior deficits in offspring (Buffington et al. 2016). It is important to note the interactions and existence of sex‐specific and developmentally timed effects. Dietary intervention during lactation was more effective at reversing social deficits and neuroinflammation in females than hyperactivity in males (Kang et al. 2014). Meanwhile, it was also reported reduced anxiety during adolescence in HFD‐exposed mice, in contrast to the increased anxiety observed in adulthood (Krishna et al. 2016).\nReward sensitivity, including the drive to obtain palatable foods and drugs of abuse, is also influenced by perinatal exposure to an HFD. It was demonstrated that overfed mouse offspring consumed more alcohol, showed increased sensitivity to amphetamines, an enhanced conditioned preference for cocaine, and a preference for sucrose and HFD (Peleg‐Raibstein et al. 2016). These findings indicates that obesity or HFD consumption during gestation can reprogram the fetal reward system that may increase vulnerability to addictive behaviors and obesity itself later in life.\nOther studies have identified behaviors that mimic those observed in neurodevelopmental disorders, such as autism spectrum disorder (ASD) and hyperactivity related to Attention‐Deficit/Hyperactivity Disorder (ADHD). It was reported sociability deficits in offspring of HFD‐fed females and hyperactivity in male offspring exposed to maternal HFD (Kang et al. 2014). Post‐weaning HFD in primates led to an increase in stereotypic behavior (similar to ASD) (Thompson et al. 2018). In humans, a meta‐analysis showed that maternal pre‐pregnancy overweight and obesity (estimated by BMI) is related with an elevated risk of ADHD on offspring (Li et al. 2021).\nTaken together, maternal obesity or exposure to a HFD during development has a significant impact on offspring brain functions, increasing their susceptibility to anxiety, cognitive impairment, and altered social behaviors, with potential implications for brain health and lifelong predisposition to obesity. The persistence of these effects throughout the offspring's lifespan, even when they are switched to a healthy diet after weaning—as observed in several (Kang et al. 2014; Krishna et al. 2016; Peleg‐Raibstein et al. 2016)—highlights the critical importance of the perinatal developmental window.\n\n\n### Conclusion\nIn summary, the studies described in this manuscript provide robust evidence that maternal obesity, and the consumption of HFD and/or high sucrose diets during critical periods of development, such as pregnancy and lactation, have profound and lasting detrimental effects on the brain, behavior, and metabolism of offspring. Neurobiological changes, including dysfunction in the neurotransmission systems, neuroinflammation, and impaired myelination and plasticity, with adverse behavioral phenotypes such as anxiety, cognitive deficits, social problems, and increased vulnerability to addiction. Metabolic programming also predisposes offspring to obesity and related metabolic disorders.\nThis has public health implication, since the high prevalence of obesity and the widespread consumption of high fat diets in modern societies, there is growing concern about their impact on the mental and metabolic health of future generations. Strategies aimed at improving maternal nutrition before and during pregnancy and lactation, as well as early‐life interventions in offspring, may be crucial in breaking the intergenerational cycle of obesity and related disorders. Understanding these mechanisms and identifying mediating factors open pathways for the development of new preventive and therapeutic strategies. Maternal nutritional health is, therefore, a fundamental pillar for the health and well‐being of future generations.\nIn addition, despite the growing number of studies on maternal obesity and its impact on offspring, there are still noticeable gaps in the literature, particularly regarding differences in neurodevelopment and behavior according to offspring sex from mothers with obesity or fed a high caloric diet during pregnancy. Further research is needed to achieve a deeper understanding of behavioral and brain development variations related to offspring sex.\n\n\n### Author Contributions\nLuisa O. Schmitt: conceptualization, writing – original draft, methodology, writing – review and editing, investigation. Giuseppe Faraco: writing – original draft, writing – review and editing. Tamires S. Stivanin: writing – original draft, writing – review and editing. Joana M. Gaspar: conceptualization, investigation, funding acquisition, writing – original draft, writing – review and editing, supervision.\n\n\n### Funding\nTamires S. Stivanin was financed by the Fundação de Amparo à Pesquisa e Inovação do Estado de Santa Catarina (FAPESC). Giuseppe Faraco was financed by the Fundação de Amparo à Pesquisa e Inovação do Estado de Santa Catarina (FAPESC), project TO number: 2024TR001581 (EDITAL DE CHAMADA PÚBLICA FAPESC N°09/2024 − Mulheres + Pesquisa 1°edição). Joana M. Gaspar was financed by Fundação de Amparo à Pesquisa e Inovação do Estado de Santa Catarina (FAPESC), project TO number: 2024TR001581 (EDITAL DE CHAMADA PÚBLICA FAPESC N°09/2024 − Mulheres + Pesquisa 1° edição), and project TO number: 2024TR002262 (EDITAL DE CHAMADA PÚBLICA FAPESC N°21/2024 − Programa de Pesquisa Universal); and Brazilian Federal Agency—Fundação Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES).\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC12733364", "title": "Addiction Susceptibility: Genetic Factors, Personality Traits, and Epigenetic Interactions with the Gut Microbiome", "text": "# Addiction Susceptibility: Genetic Factors, Personality Traits, and Epigenetic Interactions with the Gut Microbiome\n\n## Abstract\nDespite valuable insights into the individual roles of genetic factors and personality traits, their combined contribution to addiction susceptibility remains insufficiently characterized. Within this framework, the potential influence of epigenetic mechanisms, particularly those mediated by the gut microbiome, also remains underexplored. This comprehensive review aims to address these gaps in an integrative manner by examining: (i) the association of gene regulation with personality traits; (ii) the genetics of substance use disorders; (iii) the roles of genes and personality in addiction; and (iv) epigenetic influences on addiction, with a particular focus on the role of the gut microbiome. Genetic influences on personality act primarily via regulatory variants that modulate gene expression during neurodevelopment, shaping cognitive, emotional, and behavioral traits that contribute to individual differences. Substance use disorders share partially overlapping genetic foundations, with specific loci, heritability estimates, and causal pathways differing across substances, reflecting both shared vulnerability and substance-specific genetic influences on addiction susceptibility. Impulsivity, novelty-seeking, and stress responsiveness are heritable personality traits that interact to shape susceptibility to substance use disorders, with genetic factors modulating risk across different forms of addiction. Environmental factors, early-life stress, and social influences interact with the gut microbiome to shape neurobiological and behavioral pathways that modulate addiction risk. These interactions highlight the multifactorial nature of substance use disorders, in which epigenetic, microbial, and psychosocial mechanisms converge to influence susceptibility, progression, and maintenance of addictive behaviors.\n\n## Full Text\n\n\n### 1. Introduction\nAddiction is widely recognized as a complex behavioral disorder that reflects an interplay between genetic vulnerability and environmental influences. Depending on the object or element to which an individual is addicted, it is possible to differentiate between substance addiction or behavioral addiction, with the latter involving compulsive engagement in specific behaviors (e.g., gambling, internet use, sexual activity), rather than the consumption of a psychoactive substance, and showing similar psychological consequences and personality traits (e.g., higher impulsivity), but generally lacking physical withdrawal symptoms [1,2]. According to the DSM-5, substance use disorders (SUDs) are diagnosed when individuals meet at least two out of eleven possible criteria within a 12-month period. The severity of the disorder is determined by the number of criteria endorsed: two to three indicating mild, four to five indicating moderate, and six or more reflecting severe SUD [3]. These diagnostic indicators capture a range of substance-related difficulties, including escalating patterns of use, repeated failed attempts to reduce or discontinue use, persistent craving, tolerance, withdrawal, and continued consumption despite adverse physical, psychological, or social consequences. In contrast, the earlier DSM-IV framework separated substance abuse from substance dependence. Under that system, a diagnosis of abuse required at least one of four abuse-related symptoms, whereas dependence was defined by the presence of at least three of seven dependence criteria [4]. Interestingly, evidence from Compton et al. [5] suggested that a DSM-5 threshold of four or more criteria, which corresponds to a moderate-level SUD, aligned most closely with the DSM-IV diagnosis of dependence for alcohol, cocaine, and opioid use disorders. From a neurobiological perspective, the mesolimbic dopamine system provides one of the most comprehensive explanatory frameworks for addictive processes. This circuit, originating in the ventral tegmental area (VTA) and projecting to regions such as the nucleus accumbens (NAc) and orbitofrontal cortex (OFC), mediates the motivational and reinforcing effects of addictive agents [6]. By exploiting the role of dopamine in reward prediction and action learning, addictive substances and behaviors establish powerful associations between substance intake and subjective pleasure. Once formed, these associations can be reactivated by conditioned cues, perpetuating compulsive substance-seeking and relapse despite awareness of harmful consequences. Nevertheless, addiction involves a complex neurochemical and physiological interplay. Other neurotransmitters, including serotonin, endogenous opioids (e.g., endorphins, enkephalins), acetylcholine, γ-aminobutyric acid (GABA), and glutamate, participate in different phases and processes of addictive behavior [7]. In addition, individual predisposition to addiction can be promoted by stressful environmental conditions, such as social isolation and deprivation of parental care, which modulate neurochemical systems and heighten vulnerability to compulsive use [6]. From an evolutionary perspective, these mechanisms may operate within a progressively developed brain structure in which monoaminergic and cholinergic systems underlie cognitive and motivational functions [6].\nCurrent evidence emphasizes that addiction does not arise merely from repeated exposure to a substance or behavior, but rather from the convergence of intrinsic factors (e.g., sex, age, genotype), extrinsic influences (e.g., education, availability of substances), and properties of the addictive stimulus itself (e.g., route of administration, pharmacokinetics, and psychoactive characteristics) [7]. Among the main etiological contributors of addictive behavior, genetic influences are particularly relevant, with multiple genes implicated in modulating susceptibility [8]. In addition to genetic determinants, individual susceptibility is shaped by several domains: (i) neurobiological factors, such as heightened dopaminergic activity in the striatum combined with diminished prefrontal regulation of subcortical motivational and affective responses [8]; (ii) psychiatric contributors, including comorbid mental disorders such as depression and anxiety [9,10]; (iii) psychological vulnerabilities, with chronic stress, impulsivity, and low self-esteem linked to addiction risk [11,12]; (iv) environmental and social determinants, such as unsupportive relationships, limited social interaction, adverse childhood experiences (ACEs), and early exposure to substances [13,14,15,16,17]; and (v) motivational dynamics, in which intrinsic motives (e.g., curiosity, novelty-seeking) and extrinsic motives (e.g., reinforcement from substance use or avoidance of withdrawal symptoms) influence both initiation and maintenance of addictive behaviors [18]. Within this multifactorial framework, personality may constitute a key dimension, as their association with specific brain systems and genetic determinants has been studied to elucidate pathways of vulnerability and resilience to SUDs [19].\nPersonality traits are generally understood as patterns of cognition, emotion, and behavior that remain consistent across diverse situations and over time. Different theoretical frameworks diverge on the exact number or structure of traits required to capture individual differences, but they converge on the view that personality can be reduced to a limited set of fundamental dimensions with a heritable basis [20]. Among the various models proposed, the Big Five taxonomy has gained prominence, as it organizes personality into five broad domains. These dimensions, which are observable from early developmental stages, relatively stable throughout the lifespan, and associated with biological processes, constitute predictors of behavior and of long-term outcomes [21]. Although terminology can vary, the dimensions are most frequently identified as neuroticism (versus emotional stability), extraversion (versus introversion), openness to experience, agreeableness, and conscientiousness [22]. However, the notion of an “addictive personality” does not have empirical support within psychiatric nosology. Specifically, it is absent from the DSM-5 and does not qualify as a diagnostic entity [3]. In fact, the term has been criticized for its lack of precision, as well as for the potential to foster misunderstanding and undermine the effectiveness of treatment strategies for individuals with SUDs [23]. Nevertheless, it could be considered plausible to use the expression as a heuristic to describe clusters of psychological traits that may increase vulnerability to addiction. Personality characteristics relevant to addiction appear to differ between males and females, which could be attributed to the influence of biological and psychosocial factors. Neuroanatomical studies, for instance, have revealed sex-based differences in brain regions implicated in emotion and motivation: females generally show larger hippocampal volumes, linked to estrogen synthesis, while males display larger amygdalae, where androgen concentrations are highest [24]. These neurobiological distinctions are reflected in psychological profiles. Women typically score higher on traits associated with anxiety and affect regulation, such as neuroticism and harm avoidance [25,26]. Men, by contrast, more often exhibit higher levels of persistence, openness to experience, self-confidence, and self-esteem [27,28]. Furthermore, women have been reported to show greater conscientiousness, reward dependence, self-transcendence, and cooperativeness, but lower self-directedness when compared to men [25,29].\nDespite evidence indicating that SUDs have a heritable component, efforts to identify specific alleles that reliably predict addiction vulnerability have produced limited success [30,31]. This difficulty likely reflects the multifactorial nature of addiction, in which genetic influences may exert greater importance under certain environmental conditions or within particular subgroups of the population [32]. Genetic variation can shape the density and distribution of neural receptors, thereby modulating the sensitivity of individuals to psychoactive substances [33]. Moreover, polymorphisms in hepatic enzymes alter drug metabolism rates, which in turn affect both substance response and pharmacological treatment efficacy [33]. These insights have given rise to the field of pharmacogenetics, which seeks to optimize therapeutic interventions by customizing medications to the genetic profile of a specific subject [34]. In addition to genetic variation, epigenetic regulation has been increasingly recognized as a pivotal determinant of addiction risk. Epigenetics involves heritable modifications in gene expression that arise without changes to the underlying DNA sequence. Key mechanisms include DNA methylation, post-translational histone modifications, and regulation by non-coding RNAs. These epigenetic processes can be influenced by exposure to psychoactive substances, leading to persistent alterations in neural function, stress reactivity, and behavior [34].\nAdolescence represents a critical developmental period during which environmental exposures can substantially shape whether inherited vulnerabilities manifest in addictive behaviors [14,35]. Indeed, during adolescence values and judgment are not yet fully developed, and curiosity and the inclination toward novel experiences are especially pronounced. This is of particular concern because earlier initiation of substance use may increase the likelihood that such use will progress to established dependence [18]. Thus, the interaction between inherited predisposition and environmental context, commonly referred to as gene–environment interaction, illustrates how genotypic differences can modify the influence of environmental exposures on behavioral outcomes [36].\nGrowing evidence indicates that SUDs are closely linked to alterations in the gut microbiome (GM) [37,38]. Substance-induced changes in microbial composition (i.e., dysbiosis) can interact with the genetic vulnerability of individuals, establishing a feedback loop that promotes both the initiation and persistence of addictive behaviors [39]. Central to this connection is the gut–brain axis (GBA), consisting of a bidirectional communication system through which gut microorganisms, their metabolites, and intestinal mucosal interactions influence neural activity and behavioral outcomes. In particular, recent findings highlight the contribution of this pathway to opioid use disorder (OUD) [40]. Disruptions in the GM have also been associated with modifications in the expression of striatal dopamine receptors, which appear to correlate with compulsive alcohol-seeking behaviors in animal models [41,42]. Additional preclinical research provides compelling support for this relationship. For instance, the transplantation of enteric microorganisms from alcohol-exposed mice into healthy controls not only altered microbial community structure but also induced behavioral markers consistent with alcohol withdrawal–related anxiety [43]. Although the mechanisms through which gut microorganisms shape responses to drugs remain incompletely understood, microbial products, including short-chain fatty acids (SCFAs), tryptophan metabolites, bile acids (BAs), and neurotransmitters, are thought to contribute by modulating blood–brain barrier (BBB) permeability, immune activation, neuronal signaling, and gene expression [37].\nAt present, a wide range of genomic technologies and large-scale datasets are available that allow researchers to better connect molecular processes with human phenotypes [44]. For social scientists, these resources provide both opportunities and methodological challenges. Collaborations with molecular genomic researchers open the possibility of combining traditional psychometric and social science measures with genomic information in a meaningful way. In this respect, several categories of genomic data relevant to the study of gene regulation are particularly valuable, as they make it possible to: (i) prioritize disease-associated non-coding variants that may play a causal role in the genetic basis of complex traits or function as useful biomarkers, and (ii) identify genes and biological pathways involved in development, pathology, and environmental responses [45,46,47,48]. Among the main functional genomics approaches there is a variety to take into consideration. (i) RNA sequencing (RNA-seq), which is a next-generation sequencing (NGS) tool that enables the characterization and quantification of the full spectrum of RNA molecules in a biological sample, including at the single-cell level. By analyzing the transcriptome, which constitutes the complete set of transcripts, from mRNA and rRNA to tRNA and non-coding RNAs, researchers obtain a dynamic snapshot of gene expression and regulation at a specific moment [49]. (ii) DNase I–seq [50] and ATAC-seq [51], which identify accessible chromatin regions through DNase I digestion or transposase insertion, followed by sequencing. (iii) Chromatin immunoprecipitation followed by sequencing (ChIP-seq), which allows the mapping of genomic sites bound by regulatory proteins [52], as well as histone modifications associated with either active or repressed chromatin states [53]. Importantly, these epigenetic signatures can shift in response to environmental factors [54]. (iv) Three-dimensional genomics approaches, which permit the association of non-coding single-nucleotide polymorphisms (SNPs) with candidate target genes by identifying chromatin interactions [55]. (v) Massively parallel reporter assays (MPRAs), which leverage DNA sequencing to evaluate the regulatory activity of thousands of DNA sequences simultaneously, a strategy often used to identify non-coding variants that alter regulatory capacity [56]. Collectively, these functional genomics approaches offer unprecedented understanding of the molecular regulation of human traits and behaviors, providing a foundation to investigate how these mechanisms may intersect with personality and addiction-related patterns.\nWithin the current global landscape, addiction constitutes a pressing societal challenge and an issue of undeniable complexity, as exemplified by the devastating impact of the recent fentanyl crisis, which has been amplified by its covert adulteration of other substances and the consequent unawareness of users regarding its extreme potency [57]. Consequently, the progressive elucidation of its underlying determinants is pivotal for guiding effective interventions and public health responses. Despite valuable insights into the individual roles of genetic factors and personality traits, their combined contribution to addiction susceptibility remains insufficiently characterized. Within this framework, the potential influence of epigenetic mechanisms, particularly those mediated by the GM, also remains underexplored. This comprehensive review aims to address these gaps in an integrative manner by examining (i) the association of gene regulation with personality traits; (ii) the genetics of substance use disorders; (iii) the roles of genes and personality in addiction; and (iv) epigenetic influences on addiction, with a particular focus on the role of the GM.\n\n\n### 1.1. Etiology and Risk Factors\nCurrent evidence emphasizes that addiction does not arise merely from repeated exposure to a substance or behavior, but rather from the convergence of intrinsic factors (e.g., sex, age, genotype), extrinsic influences (e.g., education, availability of substances), and properties of the addictive stimulus itself (e.g., route of administration, pharmacokinetics, and psychoactive characteristics) [7]. Among the main etiological contributors of addictive behavior, genetic influences are particularly relevant, with multiple genes implicated in modulating susceptibility [8]. In addition to genetic determinants, individual susceptibility is shaped by several domains: (i) neurobiological factors, such as heightened dopaminergic activity in the striatum combined with diminished prefrontal regulation of subcortical motivational and affective responses [8]; (ii) psychiatric contributors, including comorbid mental disorders such as depression and anxiety [9,10]; (iii) psychological vulnerabilities, with chronic stress, impulsivity, and low self-esteem linked to addiction risk [11,12]; (iv) environmental and social determinants, such as unsupportive relationships, limited social interaction, adverse childhood experiences (ACEs), and early exposure to substances [13,14,15,16,17]; and (v) motivational dynamics, in which intrinsic motives (e.g., curiosity, novelty-seeking) and extrinsic motives (e.g., reinforcement from substance use or avoidance of withdrawal symptoms) influence both initiation and maintenance of addictive behaviors [18]. Within this multifactorial framework, personality may constitute a key dimension, as their association with specific brain systems and genetic determinants has been studied to elucidate pathways of vulnerability and resilience to SUDs [19].\n\n\n### 1.2. Personality Traits\nPersonality traits are generally understood as patterns of cognition, emotion, and behavior that remain consistent across diverse situations and over time. Different theoretical frameworks diverge on the exact number or structure of traits required to capture individual differences, but they converge on the view that personality can be reduced to a limited set of fundamental dimensions with a heritable basis [20]. Among the various models proposed, the Big Five taxonomy has gained prominence, as it organizes personality into five broad domains. These dimensions, which are observable from early developmental stages, relatively stable throughout the lifespan, and associated with biological processes, constitute predictors of behavior and of long-term outcomes [21]. Although terminology can vary, the dimensions are most frequently identified as neuroticism (versus emotional stability), extraversion (versus introversion), openness to experience, agreeableness, and conscientiousness [22]. However, the notion of an “addictive personality” does not have empirical support within psychiatric nosology. Specifically, it is absent from the DSM-5 and does not qualify as a diagnostic entity [3]. In fact, the term has been criticized for its lack of precision, as well as for the potential to foster misunderstanding and undermine the effectiveness of treatment strategies for individuals with SUDs [23]. Nevertheless, it could be considered plausible to use the expression as a heuristic to describe clusters of psychological traits that may increase vulnerability to addiction. Personality characteristics relevant to addiction appear to differ between males and females, which could be attributed to the influence of biological and psychosocial factors. Neuroanatomical studies, for instance, have revealed sex-based differences in brain regions implicated in emotion and motivation: females generally show larger hippocampal volumes, linked to estrogen synthesis, while males display larger amygdalae, where androgen concentrations are highest [24]. These neurobiological distinctions are reflected in psychological profiles. Women typically score higher on traits associated with anxiety and affect regulation, such as neuroticism and harm avoidance [25,26]. Men, by contrast, more often exhibit higher levels of persistence, openness to experience, self-confidence, and self-esteem [27,28]. Furthermore, women have been reported to show greater conscientiousness, reward dependence, self-transcendence, and cooperativeness, but lower self-directedness when compared to men [25,29].\n\n\n### 1.3. Genetics and Epigenetics\nDespite evidence indicating that SUDs have a heritable component, efforts to identify specific alleles that reliably predict addiction vulnerability have produced limited success [30,31]. This difficulty likely reflects the multifactorial nature of addiction, in which genetic influences may exert greater importance under certain environmental conditions or within particular subgroups of the population [32]. Genetic variation can shape the density and distribution of neural receptors, thereby modulating the sensitivity of individuals to psychoactive substances [33]. Moreover, polymorphisms in hepatic enzymes alter drug metabolism rates, which in turn affect both substance response and pharmacological treatment efficacy [33]. These insights have given rise to the field of pharmacogenetics, which seeks to optimize therapeutic interventions by customizing medications to the genetic profile of a specific subject [34]. In addition to genetic variation, epigenetic regulation has been increasingly recognized as a pivotal determinant of addiction risk. Epigenetics involves heritable modifications in gene expression that arise without changes to the underlying DNA sequence. Key mechanisms include DNA methylation, post-translational histone modifications, and regulation by non-coding RNAs. These epigenetic processes can be influenced by exposure to psychoactive substances, leading to persistent alterations in neural function, stress reactivity, and behavior [34].\nAdolescence represents a critical developmental period during which environmental exposures can substantially shape whether inherited vulnerabilities manifest in addictive behaviors [14,35]. Indeed, during adolescence values and judgment are not yet fully developed, and curiosity and the inclination toward novel experiences are especially pronounced. This is of particular concern because earlier initiation of substance use may increase the likelihood that such use will progress to established dependence [18]. Thus, the interaction between inherited predisposition and environmental context, commonly referred to as gene–environment interaction, illustrates how genotypic differences can modify the influence of environmental exposures on behavioral outcomes [36].\n\n\n### 1.4. The Gut–Brain Axis\nGrowing evidence indicates that SUDs are closely linked to alterations in the gut microbiome (GM) [37,38]. Substance-induced changes in microbial composition (i.e., dysbiosis) can interact with the genetic vulnerability of individuals, establishing a feedback loop that promotes both the initiation and persistence of addictive behaviors [39]. Central to this connection is the gut–brain axis (GBA), consisting of a bidirectional communication system through which gut microorganisms, their metabolites, and intestinal mucosal interactions influence neural activity and behavioral outcomes. In particular, recent findings highlight the contribution of this pathway to opioid use disorder (OUD) [40]. Disruptions in the GM have also been associated with modifications in the expression of striatal dopamine receptors, which appear to correlate with compulsive alcohol-seeking behaviors in animal models [41,42]. Additional preclinical research provides compelling support for this relationship. For instance, the transplantation of enteric microorganisms from alcohol-exposed mice into healthy controls not only altered microbial community structure but also induced behavioral markers consistent with alcohol withdrawal–related anxiety [43]. Although the mechanisms through which gut microorganisms shape responses to drugs remain incompletely understood, microbial products, including short-chain fatty acids (SCFAs), tryptophan metabolites, bile acids (BAs), and neurotransmitters, are thought to contribute by modulating blood–brain barrier (BBB) permeability, immune activation, neuronal signaling, and gene expression [37].\n\n\n### 1.5. Genomic Technologies\nAt present, a wide range of genomic technologies and large-scale datasets are available that allow researchers to better connect molecular processes with human phenotypes [44]. For social scientists, these resources provide both opportunities and methodological challenges. Collaborations with molecular genomic researchers open the possibility of combining traditional psychometric and social science measures with genomic information in a meaningful way. In this respect, several categories of genomic data relevant to the study of gene regulation are particularly valuable, as they make it possible to: (i) prioritize disease-associated non-coding variants that may play a causal role in the genetic basis of complex traits or function as useful biomarkers, and (ii) identify genes and biological pathways involved in development, pathology, and environmental responses [45,46,47,48]. Among the main functional genomics approaches there is a variety to take into consideration. (i) RNA sequencing (RNA-seq), which is a next-generation sequencing (NGS) tool that enables the characterization and quantification of the full spectrum of RNA molecules in a biological sample, including at the single-cell level. By analyzing the transcriptome, which constitutes the complete set of transcripts, from mRNA and rRNA to tRNA and non-coding RNAs, researchers obtain a dynamic snapshot of gene expression and regulation at a specific moment [49]. (ii) DNase I–seq [50] and ATAC-seq [51], which identify accessible chromatin regions through DNase I digestion or transposase insertion, followed by sequencing. (iii) Chromatin immunoprecipitation followed by sequencing (ChIP-seq), which allows the mapping of genomic sites bound by regulatory proteins [52], as well as histone modifications associated with either active or repressed chromatin states [53]. Importantly, these epigenetic signatures can shift in response to environmental factors [54]. (iv) Three-dimensional genomics approaches, which permit the association of non-coding single-nucleotide polymorphisms (SNPs) with candidate target genes by identifying chromatin interactions [55]. (v) Massively parallel reporter assays (MPRAs), which leverage DNA sequencing to evaluate the regulatory activity of thousands of DNA sequences simultaneously, a strategy often used to identify non-coding variants that alter regulatory capacity [56]. Collectively, these functional genomics approaches offer unprecedented understanding of the molecular regulation of human traits and behaviors, providing a foundation to investigate how these mechanisms may intersect with personality and addiction-related patterns.\n\n\n### 1.6. Aim of the Review\nWithin the current global landscape, addiction constitutes a pressing societal challenge and an issue of undeniable complexity, as exemplified by the devastating impact of the recent fentanyl crisis, which has been amplified by its covert adulteration of other substances and the consequent unawareness of users regarding its extreme potency [57]. Consequently, the progressive elucidation of its underlying determinants is pivotal for guiding effective interventions and public health responses. Despite valuable insights into the individual roles of genetic factors and personality traits, their combined contribution to addiction susceptibility remains insufficiently characterized. Within this framework, the potential influence of epigenetic mechanisms, particularly those mediated by the GM, also remains underexplored. This comprehensive review aims to address these gaps in an integrative manner by examining (i) the association of gene regulation with personality traits; (ii) the genetics of substance use disorders; (iii) the roles of genes and personality in addiction; and (iv) epigenetic influences on addiction, with a particular focus on the role of the GM.\n\n\n### 2. Association of Gene Regulation with Personality Traits\nGenes influence personality and temperament [58]. Variations in specific genes have been associated with traits such as extraversion, neuroticism, adaptability, and other psychological characteristics that shape cognition and behavior. Thus, personality is largely affected by genetic factors that regulate and integrate dynamic functions essential for responding to environmental circumstances [59,60]. These include mechanisms underlying energy balance, neural development, neurogenesis, neurotransmission, neuroprotection, synaptic plasticity, stress regulation, resilience, and overall brain health across the lifespan. Although genes relevant to personality are widely expressed in the brain, genetic diversity modulates key biological pathways, particularly those related to cellular energy production, circadian regulation, and regenerative capacity [61,62].\nAlthough accumulating evidence suggests that personality and other individual difference traits have a genetic basis, only a limited number of specific variants have been consistently linked to these characteristics to date. This scarcity of findings is generally attributed to the highly polygenic nature of such traits [63]. According to the evolutionary neutral theory, genetic variants with substantial effects are expected to be uncommon, whereas the majority of phenotypic diversity arises from numerous common variants each exerting small influences [64]. Early research into the genetic underpinnings of personality primarily focused on candidate genes. However, with the expansion of computational resources, the field has shifted toward approaches that consider the genome at large rather than targeting predefined loci. In contrast to candidate gene studies, which were constrained by prior biological assumptions, genome-wide association studies (GWASs) adopt a hypothesis-free framework, enabling the detection of links across the entire genome.\nGWAS have become an essential tool in behavioral genetics, offering valuable insights into the molecular foundations of psychological traits [45]. One of the most significant discoveries from GWAS is that much of the genetic variation linked to behavioral and cognitive traits lies outside protein-coding regions of the genome [65]. These non-coding regions are thought to encompass hundreds of thousands of regulatory elements that control gene activity [66]. Such findings suggest that the genetic underpinnings of complex human traits are largely influenced by variants that affect transcriptional regulation, rather than through direct modifications to protein-coding sequences [45]. Variants that influence gene expression have been implicated in diverse behavioral phenotypes and psychiatric conditions, including bipolar disorder (BD), schizophrenia, autism spectrum disorder (ASD), and personality-related traits such as neuroticism [48,67,68,69].\nSNP refers to a variation at a single-nucleotide site within the genome. Evidence indicates that SNPs are associated with cognitive functioning as well as vulnerability to mental health conditions. One proposed mechanism is that these variants alter DNA regulatory elements that govern the expression of genes involved in brain development, particularly during prenatal stages. Regulatory sequences active in the human fetal cortex have been found to be enriched with variants linked to traits such as intracranial volume, schizophrenia, attention-deficit/hyperactivity disorder (ADHD), depression, neuroticism, and educational achievement [46]. In addition, rare non-coding SNPs have been identified within regulatory regions that may influence genes related to ASD risk and genes expressed in the developing brain [48]. In a collective manner, these findings suggest that the impact of certain cognitive-trait-associated variants may arise through altered gene expression during early neurodevelopment [69]. An important complementary observation is that regulatory SNPs linked to cognitive phenotypes are often located in human-specific brain enhancers, many of which show signatures of positive selection [46,67,70].\nAlthough GWAS have previously been applied to personality, the relationship between genome-wide transcriptional activity and personality traits in humans has only recently been investigated. Del Val et al. [71], using data from 459 participants in the Young Finns Study (ages 34–49), examined the regulation of gene expression and function associated with personality. Their analysis revealed two major gene regulatory networks: an extrinsic network of 45 regulatory genes originating from seed genes expressed in brain regions, including the basomedial amygdala, dentate nucleus, parahippocampal gyrus, and middle temporal gyrus, which are involved in the self-regulation of emotional reactivity to external stimuli (e.g., regulation of anxiety), and an intrinsic network of 43 regulatory genes derived from seed genes expressed in brain regions, including the lateral thalamic nuclei, angular gyrus, middle temporal gyrus, and cochlear nuclei, which are responsible for self-regulation of interpretive processes, such as concept formation and language. These two networks were found to be interconnected through a central hub composed of three microRNAs and three protein-coding genes. Interactions between this hub and various proteins and non-coding RNAs mapped directly onto more than 100 genes previously implicated in personality, as well as indirectly onto over 4000 additional genes. Based on these results, the authors argued that personality-related gene expression networks contribute to neuronal plasticity, epigenetic regulation, and adaptive responses by integrating processes of salience and meaning in self-awareness (e.g., insight and judgment). These findings are consistent with those of Zwir et al. [72], who demonstrated that resting-state functional connectivity (rsFC) of the prefrontal cortex provides stable, trait-like indicators of individual differences in perceptual, cognitive, emotional, and social domains.\n\n\n### 3. Genetics of Substance Use Disorders\nSince recruiting sufficiently large samples of individuals diagnosed with SUDs remains challenging, many genetic studies have instead examined broader use-related phenotypes such as initiation, frequency, or quantity of consumption, which can be more readily assessed in population-scale cohorts [73,74]. For instance, Saunders et al. [75] carried out one of the largest GWAS to date, involving nearly 3.3 million participants, and analyzed four tobacco-related traits (i.e., smoking initiation, age at onset of regular smoking, smoking cessation, and cigarettes smoked per day) along with alcohol consumption measured as “drinks per week”. This investigation identified an exceptionally high number of risk loci, including 1346 loci for smoking initiation and 496 for alcohol use. Regarding cannabis, the largest GWAS to date examined lifetime use [76], reporting eight genome-wide significant SNPs and implicating the genes CADM2, SDK1, ZNF704, NCAH1, RABEP2, ATP201, and SMG6. Another GWAS focusing on age at first cannabis use detected a single significant locus, which was ATP2C2 [77].\nSubstance use traits show a moderate degree of genetic overlap with dependence and disorder phenotypes, pointing to a substantial shared biological basis. This suggests that GWAS of use-related phenotypes can provide meaningful insights into the etiology of SUDs. At the same time, the incomplete overlap highlights an important distinction between patterns of use and the development of dependence, reinforcing the need for GWAS that focus on rigorously defined SUD diagnoses in order to disentangle the specific mechanisms underlying substance dependence [78]. Moreover, compared to dependence phenotypes, use-based traits generally display weaker genetic correlations with psychiatric disorders and related characteristics. For example, alcohol use disorder (AUD) has been shown to correlate positively with ADHD and major depressive disorder (MDD), whereas alcohol consumption itself is negatively correlated with both [79]. A similar pattern can be noted with tobacco, in which phenotypes based on use exhibit much lower genetic correlations with psychiatric conditions than tobacco use disorder (TUD) [73,80].\nGenetic effect sizes identified through GWAS can be aggregated into polygenic scores (PGS), which provide an estimate of the inherited liability of an individual for a given trait or disorder [81]. PGS serve multiple purposes, including validating GWAS findings, assessing genetic correlations with other traits, and probing gene–environment interactions. Although such scores generally capture only a modest proportion of trait variance, they are valuable for estimating individual-level genetic risk, making them an important component of predictive and analytical models [82]. The utility of PGS in predicting complex behavioral and psychiatric traits has been demonstrated across a range of phenotypes [83]. In the context of SUDs, current PGS explain approximately 2.1% of the variance in AUD [84], 3.8% in OUD [85], and 6.3% in TUD [80]. These predictive values remain lower than those reported for several other psychiatric disorders, largely reflecting the comparatively larger GWAS sample sizes available for those conditions [86].\nMost studies indicate that PGS for AUD reliably predict both AUD itself and related alcohol consumption phenotypes [87,88,89], although a small number of analyses have failed to observe significant associations [90,91]. AUD PGS have been linked to earlier initiation of substance use, earlier onset of regular alcohol consumption, the emergence of alcohol-related problems, and formal diagnoses of alcohol dependence [92]. In addition, these scores are positively correlated with the use of other substances [84,93], and also with a range of psychiatric conditions, including depression, anxiety disorders, BD, ADHD, and pathological gambling [84,94]. Associations have also been observed with behavioral traits such as impulsivity [95] and resilience [96]. By contrast, AUD PGS have been shown to have negative associations with cognitive performance [93,97].\nResearch examining PGS for cannabis use disorder (CUD) remains limited. Segura et al. [98] reported that CUD PGS were significantly associated with cannabis use and monthly consumption at baseline, but not with age at first use or with measures related to the clinical trajectory following a first-episode psychosis. Conversely, Cheng et al. [99] found that CUD PGS predicted BD with psychotic features, whereas no association was observed for BD without them. In a related study, Paul et al. [100] explored the link between polygenic risk for substance use and cognitive performance. They found no significant relationship between CUD PGS and any cognitive measures. However, a PGS for lifetime cannabis use showed positive associations with general cognitive ability, executive functioning, and learning and memory.\nFindings regarding PGS for other SUDs have been mixed. Two studies reported that OUD PGS significantly predict opioid use phenotypes [93,101]. In addition, OUD PGS showed positive correlations with a range of other substance use-related traits, while negative correlations have been observed with educational attainment and measures related to socioeconomic status. Positive associations have also been reported between OUD PGS and several mental health traits, including phenotypes related to conduct disorder and depression [93]. Nevertheless, Hartwell et al. [101] did not find significant relationships between OUD PGS and a variety of health-related phenotypes. In turn, Vilar-Ribó et al. [94] investigated the relationship between polygenic liability for five SUD-related phenotypes and ADHD. Their results indicated that PGS for cocaine dependence and a history of illicit drug addiction were not significantly associated with ADHD, whereas PGS for lifetime cannabis use, alcohol dependence, and smoking initiation were significantly correlated with ADHD. In a complementary approach, Hatoum et al. [102] derived a latent general addiction risk factor and demonstrated that PGS based on this factor were associated with SUDs and also with psychopathologies, somatic conditions, and environmental factors linked to addiction onset.\nThe identification of consistently replicable genetic loci for AUD has been largely limited, with the notable exception of genes encoding alcohol-metabolizing enzymes, such as alcohol dehydrogenase 1B (ADH1B) and aldehyde dehydrogenase 2 (ALDH2) [103]. Recent investigations have advanced the detection of loci associated with AUD and related alcohol phenotypes [104,105]. In particular, genome-wide significant associations for ADH1B variants rs1229984 and rs2066702 with AUD have been consistently replicated [84,106,107,108], as well as with multiple alcohol consumption measures [73,79,106,109,110,111]. Comparable findings have been reported for ALDH2, specifically the rs671 variant, which shows robust associations with alcohol dependence and alcohol-related traits, including maximum drinks and flushing response, particularly in East Asian populations [112,113]. Furthermore, associations have also been observed for alcohol drinking status in these populations [114].\nRecent GWAS have consistently identified links between genetic variants in the DRD2 (dopamine receptor D2) gene and AUD, including rs4936277 and rs61902812 [106], as well as problematic alcohol use (PAU), with rs138084129 and rs6589386 [84,108]. Gene-based analyses have also associated DRD2 with alcohol-related problems as measured by Alcohol Use Disorders Identification Test (AUDIT) scores [79,111]. Variants in the GCKR gene (rs1260326) have similarly been linked to AUD, alcohol use problems, and general alcohol consumption [73,79,84,106,108,109,111]. In addition, a Klotho Beta (KLB) variant rs13129401 has been associated with both PAU [108] and AUDIT-based measures of alcohol problems, as well as alcohol consumption [79,106,111]. Variants in the SLC39A8 gene (solute carrier family 39 member 8) have also been linked to AUD (rs13107325) [106], alcohol problems (rs13135092) [79,111], and alcohol consumption (rs13107325) [106].\nIn summary, it should be noted that ADH1B and ALDH2 genes have a direct influence on alcohol consumption, thereby modulating the risk for developing AUD. Coding variants in these genes confer a protective effect against AUD by eliciting aversive physiological responses to alcohol, which typically result in reduced consumption and lower disorder risk [103]. Nevertheless, it is likely that thousands of additional loci contribute to AUD susceptibility beyond those involved in alcohol metabolism. Recent studies examining subdomains of alcohol consumption suggest potential etiological distinctions between drinking frequency and quantity [115,116]. Specifically, consumption quantity shows greater genetic overlap with AUD and broader psychopathology, whereas drinking frequency exhibits negative associations with AUD and other psychiatric outcomes and appears to be influenced by socioeconomic factors [115,116].\nGWAS for CUD have yielded fewer replicable loci, primarily due to limited sample sizes [117]. To date, two genome-wide significant loci have been identified in humans. The first is located on chromosome 7 near the FOXP2 gene (lead SNP: rs7783012), and the second on chromosome 8, encompassing brain expression quantitative trait loci (eQTLs) for CHRNA2 and EPHX2 (lead SNP: rs4732724) [118]. FOXP2 is involved in synaptic plasticity and has been implicated in speech and language development. Moreover, the risk variant rs7783012 has also been associated with externalizing behaviors [119]. CHRNA2, which encodes the α-2 subunit of the neuronal nicotinic acetylcholine receptor, has been implicated in prior GWAS of CUD [120], as well as in tobacco use and schizophrenia, both of which are phenotypically and genetically correlated with CUD [118]. EPHX2 may contribute to cannabinoid metabolism, making it a plausible candidate for CUD, although it remains unclear whether EPHX2 or CHRNA2 is the causal driver of the association at this locus [117]. Another genome-wide significant variant, rs77378271 in the CSMD1 gene, has been linked to both schizophrenia and the severity of cannabis dependence [118,121], but this association has not yet been replicated in additional CUD GWAS.\nEvidence stemming from twin and family studies, together with GWAS of CUD, indicates substantial genetic overlap between CUD and other SUDs. CUD exhibits significant positive genetic correlations with smoking initiation, nicotine dependence, cigarettes per day, drinks per week, and AUD, with genetic correlations (rg) ranging from 0.31 to 0.66 [118]. Consistent with patterns observed for alcohol, recent GWAS highlight a distinction between cannabis use and CUD, both in terms of specific risk loci and broader genetic relationships with other traits and disorders. For instance, lifetime cannabis use (ever-use) is positively genetically correlated with educational attainment and age at first birth, and negatively correlated with body mass index (BMI) [76]. In contrast, CUD exhibits opposite genetic correlations for these traits [118], suggesting that the genetic basis underlying cannabis initiation is at least partially distinct from that contributing to CUD.\nGWAS of OUD have identified significant loci near genes such as KCNG2, KCNC1, APBB2, CNIH3, RGMA, and OPRM1 [122,123,124,125]. The largest GWAS of OUD, comprising 114,759 participants (15,756 cases), detected a functional coding variant in OPRM1 (rs1799971) that reached genome-wide significance [108]. OUD also shows positive genetic correlations with other substance use traits, such as ever having smoked and alcohol dependence, as well as psychiatric disorders including ADHD and schizophrenia [108].\nAlthough fewer studies have examined differences in the genetic etiology of OUD versus lifetime opioid use or non-dependent opioid use, evidence from the Psychiatric Genomics Consortium (PGC) suggests notable distinctions. Comparisons among opioid-dependent individuals, opioid-exposed controls, and opioid-unexposed controls revealed significant associations between a PGS for risk-taking and both contrasts of opioid dependence versus unexposed controls and opioid-exposed versus unexposed controls. A neuroticism PGS was associated with opioid dependence but not with the exposed versus unexposed control contrast, supporting the hypothesis that neuroticism contributes specifically to negative affect related to dependence rather than mere opioid exposure [125].\nLarge-scale GWAS of nicotine dependence (ND) have consistently identified genome-wide significant associations with the cholinergic nicotinic receptor gene cluster CHRNA5-A3-B4 on chromosome 15 [126]. These studies also revealed a novel association with an intronic variant (rs910083) in the DNMT3B gene, located on chromosome 20, which was subsequently linked to heavy smoking in the UK Biobank and implicated in lung cancer risk. Additional research from the Nicotine Dependence GenOmics Consortium further supported the association of a top variant in CHRNA5 (rs16969968) on chromosome 15, and identified a genome-wide significant variant in CHRNA4 (rs151176846) on chromosome 20 [127,128].\nExtensive GWAS have also explored the genetic basis of additional nicotine-related traits [73]. For instance, a study identified 467 genome-wide significant loci across diverse smoking behaviors, including smoking initiation, cigarettes per day, smoking cessation, and age of onset for regular smoking [73]. Among single-variant associations, the strongest and most consistent finding was for the cigarettes-per-day phenotype, which showed robust association with rs16969968 in CHRNA5, replicating earlier results from independent cohorts [127,128,129]. Importantly, different smoking phenotypes display distinct genetic overlap with TUD. For instance, smoking initiation demonstrated only a moderate genetic correlation with ND (rg = 0.40), whereas the number of cigarettes smoked per day was almost perfectly correlated with ND (rg = 0.95). These results highlight that smoking initiation share less genetic liability with TUD compared to measures of smoking intensity (quantity of cigarettes per day) [128].\nTwin and family studies provide strong evidence for familial transmission of SUDs [130]. Across SUDs, heritability (h2) estimates generally indicate that genetic factors account for approximately 50% of individual risk. For AUD, heritability estimates are around 0.50 [131]. Estimates for AUD diagnosis are slightly higher than those for alcohol-related behaviors such as initiation (h2 ≈ 0.37) [132] and frequency of use (h2 = 0.37–0.50) [133]. This pattern aligns with prior twin research suggesting that environmental factors have a stronger influence on initiation, whereas genetic factors play a more prominent role in progression to heavier use and the development of alcohol-related problems [117].\nHeritable influences are evident across stages of cigarette use and TUD, with heritability estimates for nicotine dependence ranging from 0.30 to 0.70 [134,135]. Variation in TUD heritability estimates may partially reflect differences in how smoking-related traits and problems are assessed [117]. For CUD, twin studies suggest heritability estimates between 0.48 and 0.51 [136], slightly exceeding those for cannabis use or initiation (h2 = 0.30–0.50) [137]. Shared genetic and environmental factors influence the progression from cannabis use to abuse. For instance, Gillespie et al. [138] found that cannabis availability accounted for nearly all shared environmental variance in both initiation and abuse, with initiation mediating the effect of availability on abuse, and 62% of the genetic variance in abuse overlapping with initiation. In turn, for opioid dependence, twin and family studies estimate that approximately 50% of liability is attributable to additive genetic factors [139]. In this respect, Mistry et al. [140] reported that 34% of the variance in opioid addiction is due to opioid-specific genetic influences. Table 1 summarizes the genes and variants associated with SUDs, key molecular genetic findings, and insights from genetic epidemiology studies of SUDs.\nFor many critical health questions, conducting randomized controlled trials (RCTs) is often infeasible due to logistical or ethical constraints, limiting the ability to draw causal inferences. Advances in the genetics of substance use have enabled the use of the novel approach Mendelian randomization (MR) to address these challenges. In MR, genetic variants robustly associated with a putative risk factor, as identified through GWAS, are employed as instrumental variables [144,145]. This approach relies on three key assumptions: (i) the genetic variant must be strongly associated with the exposure; (ii) it must not be linked to confounders of the exposure–outcome relationship; and (iii) it must influence the outcome exclusively through the exposure pathway [146]. A notable limitation of conventional MR is its vulnerability to biases arising from assortative mating, dynastic effects, and population structure [147]. Such biases can be mitigated by utilizing family-based GWAS estimates in combination with standard MR techniques [147,148], or by applying within-family MR methods specifically designed to account for these confounding influences [149].\nMR has been employed to investigate potential causal links between SUDs and various outcomes, including mental health, behavioral traits, and physical health measures [78]. Key traits studied include cognitive performance, educational attainment, structural brain measures, and psychiatric disorders such as MDD, post-traumatic stress disorder (PTSD), and ADHD. Although evidence consistently suggests that higher intelligence and greater educational attainment causally reduce the risk of developing AUD [84,150], the findings are not universally consistent. For instance, MR studies have not found causal effects in either direction between AUD and executive functioning [151] or between alcohol dependence and late-onset Alzheimer’s disease [152]. Similarly, there is an absence of compelling evidence that AUD causally influences psychiatric traits such as loneliness [153], self-harm [154], or suicide [155]. Moreover, despite some studies report a causal effect of ADHD on AUD [156], this finding has not been consistently replicated [94]. In contrast, there is stronger evidence that PTSD [157] and MDD [158] exert causal effects on AUD, whereas the reverse causal relationships appear unsupported.\nCurrent evidence indicates bidirectional causal effects of educational attainment on CUD [159], whereas no causal relationship has been established between CUD and suicide [152]. There is evidence suggesting a causal effect of CUD on schizophrenia [160], but bidirectional influences cannot be fully excluded [161]. Regarding tobacco use and TUD, higher intelligence appears to reduce the risk of developing ND [162], while ND may increase susceptibility to schizophrenia [160]. In contrast, current data do not provide strong support for causal relationships between ND and ADHD [163] or between ND and suicide [155]. Similarly, there is no compelling evidence for a causal link between opioid dependence and suicide [155]. However, MDD and higher neuroticism have been shown to increase the risk of opioid dependence, whereas greater educational attainment appears protective [84]. Furthermore, in the context of cocaine dependence, Vilar-Ribó et al. [94] reported a lack of evidence supporting a causal association with ADHD.\n\n\n### 3.1. Specific Molecular Genetic Targets and Substances of Abuse\nThe identification of consistently replicable genetic loci for AUD has been largely limited, with the notable exception of genes encoding alcohol-metabolizing enzymes, such as alcohol dehydrogenase 1B (ADH1B) and aldehyde dehydrogenase 2 (ALDH2) [103]. Recent investigations have advanced the detection of loci associated with AUD and related alcohol phenotypes [104,105]. In particular, genome-wide significant associations for ADH1B variants rs1229984 and rs2066702 with AUD have been consistently replicated [84,106,107,108], as well as with multiple alcohol consumption measures [73,79,106,109,110,111]. Comparable findings have been reported for ALDH2, specifically the rs671 variant, which shows robust associations with alcohol dependence and alcohol-related traits, including maximum drinks and flushing response, particularly in East Asian populations [112,113]. Furthermore, associations have also been observed for alcohol drinking status in these populations [114].\nRecent GWAS have consistently identified links between genetic variants in the DRD2 (dopamine receptor D2) gene and AUD, including rs4936277 and rs61902812 [106], as well as problematic alcohol use (PAU), with rs138084129 and rs6589386 [84,108]. Gene-based analyses have also associated DRD2 with alcohol-related problems as measured by Alcohol Use Disorders Identification Test (AUDIT) scores [79,111]. Variants in the GCKR gene (rs1260326) have similarly been linked to AUD, alcohol use problems, and general alcohol consumption [73,79,84,106,108,109,111]. In addition, a Klotho Beta (KLB) variant rs13129401 has been associated with both PAU [108] and AUDIT-based measures of alcohol problems, as well as alcohol consumption [79,106,111]. Variants in the SLC39A8 gene (solute carrier family 39 member 8) have also been linked to AUD (rs13107325) [106], alcohol problems (rs13135092) [79,111], and alcohol consumption (rs13107325) [106].\nIn summary, it should be noted that ADH1B and ALDH2 genes have a direct influence on alcohol consumption, thereby modulating the risk for developing AUD. Coding variants in these genes confer a protective effect against AUD by eliciting aversive physiological responses to alcohol, which typically result in reduced consumption and lower disorder risk [103]. Nevertheless, it is likely that thousands of additional loci contribute to AUD susceptibility beyond those involved in alcohol metabolism. Recent studies examining subdomains of alcohol consumption suggest potential etiological distinctions between drinking frequency and quantity [115,116]. Specifically, consumption quantity shows greater genetic overlap with AUD and broader psychopathology, whereas drinking frequency exhibits negative associations with AUD and other psychiatric outcomes and appears to be influenced by socioeconomic factors [115,116].\nGWAS for CUD have yielded fewer replicable loci, primarily due to limited sample sizes [117]. To date, two genome-wide significant loci have been identified in humans. The first is located on chromosome 7 near the FOXP2 gene (lead SNP: rs7783012), and the second on chromosome 8, encompassing brain expression quantitative trait loci (eQTLs) for CHRNA2 and EPHX2 (lead SNP: rs4732724) [118]. FOXP2 is involved in synaptic plasticity and has been implicated in speech and language development. Moreover, the risk variant rs7783012 has also been associated with externalizing behaviors [119]. CHRNA2, which encodes the α-2 subunit of the neuronal nicotinic acetylcholine receptor, has been implicated in prior GWAS of CUD [120], as well as in tobacco use and schizophrenia, both of which are phenotypically and genetically correlated with CUD [118]. EPHX2 may contribute to cannabinoid metabolism, making it a plausible candidate for CUD, although it remains unclear whether EPHX2 or CHRNA2 is the causal driver of the association at this locus [117]. Another genome-wide significant variant, rs77378271 in the CSMD1 gene, has been linked to both schizophrenia and the severity of cannabis dependence [118,121], but this association has not yet been replicated in additional CUD GWAS.\nEvidence stemming from twin and family studies, together with GWAS of CUD, indicates substantial genetic overlap between CUD and other SUDs. CUD exhibits significant positive genetic correlations with smoking initiation, nicotine dependence, cigarettes per day, drinks per week, and AUD, with genetic correlations (rg) ranging from 0.31 to 0.66 [118]. Consistent with patterns observed for alcohol, recent GWAS highlight a distinction between cannabis use and CUD, both in terms of specific risk loci and broader genetic relationships with other traits and disorders. For instance, lifetime cannabis use (ever-use) is positively genetically correlated with educational attainment and age at first birth, and negatively correlated with body mass index (BMI) [76]. In contrast, CUD exhibits opposite genetic correlations for these traits [118], suggesting that the genetic basis underlying cannabis initiation is at least partially distinct from that contributing to CUD.\nGWAS of OUD have identified significant loci near genes such as KCNG2, KCNC1, APBB2, CNIH3, RGMA, and OPRM1 [122,123,124,125]. The largest GWAS of OUD, comprising 114,759 participants (15,756 cases), detected a functional coding variant in OPRM1 (rs1799971) that reached genome-wide significance [108]. OUD also shows positive genetic correlations with other substance use traits, such as ever having smoked and alcohol dependence, as well as psychiatric disorders including ADHD and schizophrenia [108].\nAlthough fewer studies have examined differences in the genetic etiology of OUD versus lifetime opioid use or non-dependent opioid use, evidence from the Psychiatric Genomics Consortium (PGC) suggests notable distinctions. Comparisons among opioid-dependent individuals, opioid-exposed controls, and opioid-unexposed controls revealed significant associations between a PGS for risk-taking and both contrasts of opioid dependence versus unexposed controls and opioid-exposed versus unexposed controls. A neuroticism PGS was associated with opioid dependence but not with the exposed versus unexposed control contrast, supporting the hypothesis that neuroticism contributes specifically to negative affect related to dependence rather than mere opioid exposure [125].\nLarge-scale GWAS of nicotine dependence (ND) have consistently identified genome-wide significant associations with the cholinergic nicotinic receptor gene cluster CHRNA5-A3-B4 on chromosome 15 [126]. These studies also revealed a novel association with an intronic variant (rs910083) in the DNMT3B gene, located on chromosome 20, which was subsequently linked to heavy smoking in the UK Biobank and implicated in lung cancer risk. Additional research from the Nicotine Dependence GenOmics Consortium further supported the association of a top variant in CHRNA5 (rs16969968) on chromosome 15, and identified a genome-wide significant variant in CHRNA4 (rs151176846) on chromosome 20 [127,128].\nExtensive GWAS have also explored the genetic basis of additional nicotine-related traits [73]. For instance, a study identified 467 genome-wide significant loci across diverse smoking behaviors, including smoking initiation, cigarettes per day, smoking cessation, and age of onset for regular smoking [73]. Among single-variant associations, the strongest and most consistent finding was for the cigarettes-per-day phenotype, which showed robust association with rs16969968 in CHRNA5, replicating earlier results from independent cohorts [127,128,129]. Importantly, different smoking phenotypes display distinct genetic overlap with TUD. For instance, smoking initiation demonstrated only a moderate genetic correlation with ND (rg = 0.40), whereas the number of cigarettes smoked per day was almost perfectly correlated with ND (rg = 0.95). These results highlight that smoking initiation share less genetic liability with TUD compared to measures of smoking intensity (quantity of cigarettes per day) [128].\n\n\n### 3.1.1. Alcohol Use Disorder\nThe identification of consistently replicable genetic loci for AUD has been largely limited, with the notable exception of genes encoding alcohol-metabolizing enzymes, such as alcohol dehydrogenase 1B (ADH1B) and aldehyde dehydrogenase 2 (ALDH2) [103]. Recent investigations have advanced the detection of loci associated with AUD and related alcohol phenotypes [104,105]. In particular, genome-wide significant associations for ADH1B variants rs1229984 and rs2066702 with AUD have been consistently replicated [84,106,107,108], as well as with multiple alcohol consumption measures [73,79,106,109,110,111]. Comparable findings have been reported for ALDH2, specifically the rs671 variant, which shows robust associations with alcohol dependence and alcohol-related traits, including maximum drinks and flushing response, particularly in East Asian populations [112,113]. Furthermore, associations have also been observed for alcohol drinking status in these populations [114].\nRecent GWAS have consistently identified links between genetic variants in the DRD2 (dopamine receptor D2) gene and AUD, including rs4936277 and rs61902812 [106], as well as problematic alcohol use (PAU), with rs138084129 and rs6589386 [84,108]. Gene-based analyses have also associated DRD2 with alcohol-related problems as measured by Alcohol Use Disorders Identification Test (AUDIT) scores [79,111]. Variants in the GCKR gene (rs1260326) have similarly been linked to AUD, alcohol use problems, and general alcohol consumption [73,79,84,106,108,109,111]. In addition, a Klotho Beta (KLB) variant rs13129401 has been associated with both PAU [108] and AUDIT-based measures of alcohol problems, as well as alcohol consumption [79,106,111]. Variants in the SLC39A8 gene (solute carrier family 39 member 8) have also been linked to AUD (rs13107325) [106], alcohol problems (rs13135092) [79,111], and alcohol consumption (rs13107325) [106].\nIn summary, it should be noted that ADH1B and ALDH2 genes have a direct influence on alcohol consumption, thereby modulating the risk for developing AUD. Coding variants in these genes confer a protective effect against AUD by eliciting aversive physiological responses to alcohol, which typically result in reduced consumption and lower disorder risk [103]. Nevertheless, it is likely that thousands of additional loci contribute to AUD susceptibility beyond those involved in alcohol metabolism. Recent studies examining subdomains of alcohol consumption suggest potential etiological distinctions between drinking frequency and quantity [115,116]. Specifically, consumption quantity shows greater genetic overlap with AUD and broader psychopathology, whereas drinking frequency exhibits negative associations with AUD and other psychiatric outcomes and appears to be influenced by socioeconomic factors [115,116].\n\n\n### 3.1.2. Cannabis Use Disorder\nGWAS for CUD have yielded fewer replicable loci, primarily due to limited sample sizes [117]. To date, two genome-wide significant loci have been identified in humans. The first is located on chromosome 7 near the FOXP2 gene (lead SNP: rs7783012), and the second on chromosome 8, encompassing brain expression quantitative trait loci (eQTLs) for CHRNA2 and EPHX2 (lead SNP: rs4732724) [118]. FOXP2 is involved in synaptic plasticity and has been implicated in speech and language development. Moreover, the risk variant rs7783012 has also been associated with externalizing behaviors [119]. CHRNA2, which encodes the α-2 subunit of the neuronal nicotinic acetylcholine receptor, has been implicated in prior GWAS of CUD [120], as well as in tobacco use and schizophrenia, both of which are phenotypically and genetically correlated with CUD [118]. EPHX2 may contribute to cannabinoid metabolism, making it a plausible candidate for CUD, although it remains unclear whether EPHX2 or CHRNA2 is the causal driver of the association at this locus [117]. Another genome-wide significant variant, rs77378271 in the CSMD1 gene, has been linked to both schizophrenia and the severity of cannabis dependence [118,121], but this association has not yet been replicated in additional CUD GWAS.\nEvidence stemming from twin and family studies, together with GWAS of CUD, indicates substantial genetic overlap between CUD and other SUDs. CUD exhibits significant positive genetic correlations with smoking initiation, nicotine dependence, cigarettes per day, drinks per week, and AUD, with genetic correlations (rg) ranging from 0.31 to 0.66 [118]. Consistent with patterns observed for alcohol, recent GWAS highlight a distinction between cannabis use and CUD, both in terms of specific risk loci and broader genetic relationships with other traits and disorders. For instance, lifetime cannabis use (ever-use) is positively genetically correlated with educational attainment and age at first birth, and negatively correlated with body mass index (BMI) [76]. In contrast, CUD exhibits opposite genetic correlations for these traits [118], suggesting that the genetic basis underlying cannabis initiation is at least partially distinct from that contributing to CUD.\n\n\n### 3.1.3. Opioid Use Disorder\nGWAS of OUD have identified significant loci near genes such as KCNG2, KCNC1, APBB2, CNIH3, RGMA, and OPRM1 [122,123,124,125]. The largest GWAS of OUD, comprising 114,759 participants (15,756 cases), detected a functional coding variant in OPRM1 (rs1799971) that reached genome-wide significance [108]. OUD also shows positive genetic correlations with other substance use traits, such as ever having smoked and alcohol dependence, as well as psychiatric disorders including ADHD and schizophrenia [108].\nAlthough fewer studies have examined differences in the genetic etiology of OUD versus lifetime opioid use or non-dependent opioid use, evidence from the Psychiatric Genomics Consortium (PGC) suggests notable distinctions. Comparisons among opioid-dependent individuals, opioid-exposed controls, and opioid-unexposed controls revealed significant associations between a PGS for risk-taking and both contrasts of opioid dependence versus unexposed controls and opioid-exposed versus unexposed controls. A neuroticism PGS was associated with opioid dependence but not with the exposed versus unexposed control contrast, supporting the hypothesis that neuroticism contributes specifically to negative affect related to dependence rather than mere opioid exposure [125].\n\n\n### 3.1.4. Tobacco Use Disorder\nLarge-scale GWAS of nicotine dependence (ND) have consistently identified genome-wide significant associations with the cholinergic nicotinic receptor gene cluster CHRNA5-A3-B4 on chromosome 15 [126]. These studies also revealed a novel association with an intronic variant (rs910083) in the DNMT3B gene, located on chromosome 20, which was subsequently linked to heavy smoking in the UK Biobank and implicated in lung cancer risk. Additional research from the Nicotine Dependence GenOmics Consortium further supported the association of a top variant in CHRNA5 (rs16969968) on chromosome 15, and identified a genome-wide significant variant in CHRNA4 (rs151176846) on chromosome 20 [127,128].\nExtensive GWAS have also explored the genetic basis of additional nicotine-related traits [73]. For instance, a study identified 467 genome-wide significant loci across diverse smoking behaviors, including smoking initiation, cigarettes per day, smoking cessation, and age of onset for regular smoking [73]. Among single-variant associations, the strongest and most consistent finding was for the cigarettes-per-day phenotype, which showed robust association with rs16969968 in CHRNA5, replicating earlier results from independent cohorts [127,128,129]. Importantly, different smoking phenotypes display distinct genetic overlap with TUD. For instance, smoking initiation demonstrated only a moderate genetic correlation with ND (rg = 0.40), whereas the number of cigarettes smoked per day was almost perfectly correlated with ND (rg = 0.95). These results highlight that smoking initiation share less genetic liability with TUD compared to measures of smoking intensity (quantity of cigarettes per day) [128].\n\n\n### 3.2. Genetic Epidemiology of Substance Use Disorders\nTwin and family studies provide strong evidence for familial transmission of SUDs [130]. Across SUDs, heritability (h2) estimates generally indicate that genetic factors account for approximately 50% of individual risk. For AUD, heritability estimates are around 0.50 [131]. Estimates for AUD diagnosis are slightly higher than those for alcohol-related behaviors such as initiation (h2 ≈ 0.37) [132] and frequency of use (h2 = 0.37–0.50) [133]. This pattern aligns with prior twin research suggesting that environmental factors have a stronger influence on initiation, whereas genetic factors play a more prominent role in progression to heavier use and the development of alcohol-related problems [117].\nHeritable influences are evident across stages of cigarette use and TUD, with heritability estimates for nicotine dependence ranging from 0.30 to 0.70 [134,135]. Variation in TUD heritability estimates may partially reflect differences in how smoking-related traits and problems are assessed [117]. For CUD, twin studies suggest heritability estimates between 0.48 and 0.51 [136], slightly exceeding those for cannabis use or initiation (h2 = 0.30–0.50) [137]. Shared genetic and environmental factors influence the progression from cannabis use to abuse. For instance, Gillespie et al. [138] found that cannabis availability accounted for nearly all shared environmental variance in both initiation and abuse, with initiation mediating the effect of availability on abuse, and 62% of the genetic variance in abuse overlapping with initiation. In turn, for opioid dependence, twin and family studies estimate that approximately 50% of liability is attributable to additive genetic factors [139]. In this respect, Mistry et al. [140] reported that 34% of the variance in opioid addiction is due to opioid-specific genetic influences. Table 1 summarizes the genes and variants associated with SUDs, key molecular genetic findings, and insights from genetic epidemiology studies of SUDs.\n\n\n### 3.3. Genetic Approaches to Causality in Substance Use Disorders\nFor many critical health questions, conducting randomized controlled trials (RCTs) is often infeasible due to logistical or ethical constraints, limiting the ability to draw causal inferences. Advances in the genetics of substance use have enabled the use of the novel approach Mendelian randomization (MR) to address these challenges. In MR, genetic variants robustly associated with a putative risk factor, as identified through GWAS, are employed as instrumental variables [144,145]. This approach relies on three key assumptions: (i) the genetic variant must be strongly associated with the exposure; (ii) it must not be linked to confounders of the exposure–outcome relationship; and (iii) it must influence the outcome exclusively through the exposure pathway [146]. A notable limitation of conventional MR is its vulnerability to biases arising from assortative mating, dynastic effects, and population structure [147]. Such biases can be mitigated by utilizing family-based GWAS estimates in combination with standard MR techniques [147,148], or by applying within-family MR methods specifically designed to account for these confounding influences [149].\nMR has been employed to investigate potential causal links between SUDs and various outcomes, including mental health, behavioral traits, and physical health measures [78]. Key traits studied include cognitive performance, educational attainment, structural brain measures, and psychiatric disorders such as MDD, post-traumatic stress disorder (PTSD), and ADHD. Although evidence consistently suggests that higher intelligence and greater educational attainment causally reduce the risk of developing AUD [84,150], the findings are not universally consistent. For instance, MR studies have not found causal effects in either direction between AUD and executive functioning [151] or between alcohol dependence and late-onset Alzheimer’s disease [152]. Similarly, there is an absence of compelling evidence that AUD causally influences psychiatric traits such as loneliness [153], self-harm [154], or suicide [155]. Moreover, despite some studies report a causal effect of ADHD on AUD [156], this finding has not been consistently replicated [94]. In contrast, there is stronger evidence that PTSD [157] and MDD [158] exert causal effects on AUD, whereas the reverse causal relationships appear unsupported.\nCurrent evidence indicates bidirectional causal effects of educational attainment on CUD [159], whereas no causal relationship has been established between CUD and suicide [152]. There is evidence suggesting a causal effect of CUD on schizophrenia [160], but bidirectional influences cannot be fully excluded [161]. Regarding tobacco use and TUD, higher intelligence appears to reduce the risk of developing ND [162], while ND may increase susceptibility to schizophrenia [160]. In contrast, current data do not provide strong support for causal relationships between ND and ADHD [163] or between ND and suicide [155]. Similarly, there is no compelling evidence for a causal link between opioid dependence and suicide [155]. However, MDD and higher neuroticism have been shown to increase the risk of opioid dependence, whereas greater educational attainment appears protective [84]. Furthermore, in the context of cocaine dependence, Vilar-Ribó et al. [94] reported a lack of evidence supporting a causal association with ADHD.\n\n\n### 4. The Roles of Genes and Personality in Addiction\nBoth genetic factors and personality traits have been recognized as key contributors to addiction susceptibility, together accounting for approximately 40–60% of the risk [164]. Certain personality characteristics, including high levels of adventurousness and propensity for risk-taking, are associated with an elevated likelihood of engaging in substance use [165]. Genetic differences, in turn, can influence how individuals respond to drugs, how quickly they metabolize substances, and their sensitivity to addictive effects. Variants in genes involved in dopamine signaling, such as the DRD2 gene, are linked to reward deficiency, leading to higher risk behaviors [166]. This diminished sensitivity may drive a need for more intense or novel experiences to achieve rewarding effects, potentially increasing the probability of experimenting with addictive substances and progressing toward SUDs [166]. Similarly, genetic factors also influence the metabolism of alcohol, with enzymes encoded by ADH1B and ALDH2 impacting alcohol dependence [143]. However, it is important to note that, in addition to the initiation of addictive behaviors, the dopaminergic system also contributes to the maintenance of addiction, reinforcing the compulsive seeking of substance over time [6]. In clinical terms, the challenges arising from addiction are distinct from the initial phases of use and require targeted interventions that address both the physiological and psychological aspects of addiction. In this context, early intervention could be crucial, as modifying the dopaminergic pathways at an early stage may prevent the escalation of risky behaviors. Nevertheless, implementing such interventions at a societal level can constitute a significant challenge, due to the complexities of widespread access, limited resources, and the need for large-scale behavioral and policy changes that can address the underlying social and environmental factors contributing to addiction.\nAddiction and mental health disorders frequently co-occur, highlighting a strong interrelationship between both phenomena. Individuals experiencing conditions such as depression or anxiety, or those who struggle with social functioning, may use substances as a means of coping with distressing symptoms or emotions [167]. Moreover, people with obsessive-compulsive personality traits may be particularly vulnerable to developing SUDs due to persistent compulsions to consume psychoactive substances over time [168]. Indeed, such repetitive behaviors could reinforce patterns of drug use, potentially escalating into dependence or consolidated addiction [169].\nDavis and Loxton [170] proposed that brain reward systems influence addiction risk primarily through their impact on the development of relatively stable personality traits associated with addictive behaviors. Several genes have been shown to modulate brain functions such as dopamine regulation and impulse control [171]. Novelty-seeking, impulsivity, and stress responsiveness, which constitute personality traits that are themselves partially heritable, seem to contribute to increased vulnerability to addictive behaviors [12,172]. However, there is no single “addiction-related gene”. Instead, numerous genetic variants can interact with environmental factors, particularly during adolescence, to shape the likelihood of developing an addiction. In this context, Teh et al. [173] hypothesized that variation in the dopamine D2 receptor (DRD2) gene may elevate addiction risk and severity. Their study of intravenous heroin users demonstrated a significantly higher prevalence of the TaqIA polymorphism among individuals with SUDs (69.9%) compared to controls (42.6%). Furthermore, affected individuals exhibited higher scores in novelty-seeking and harm-avoidance traits, but lower scores in reward dependence compared to controls. Additional research has highlighted the role of common gene variants, such as FTO and TaqIA rs1800497, in mediating gene-environment interactions that influence DRD2 signaling, potentially promoting obesity, metabolic dysfunction, and cognitive alterations [174].\nZilberman et al. [2] suggested that the observed heterogeneity across different types of addiction may reflect underlying differences in personality traits specific to each addiction. In their study, the authors compared personality profiles across substance-related addictions (including drugs and alcohol) and behavioral addictions (such as gambling and compulsive sexual behavior). The sample comprised 216 individuals with SUDs and 78 control participants without a history of addiction. The results revealed distinct personality patterns across addiction types. Elevated impulsivity and neuroticism were observed across all addiction groups relative to controls. In contrast, individuals with AUD displayed lower levels of extraversion, agreeableness, and openness to experience. Notably, participants with SUDs and those with compulsive sexual behavior exhibited similar profiles, characterized by the lowest levels of agreeableness and conscientiousness. Interestingly, individuals with gambling disorder demonstrated a personality profile largely resembling that of the control group. Furthermore, personality traits were found to correlate with demographic variables, including socioeconomic status and religiosity. These findings support the hypothesis that personality traits may help distinguish between different forms of addiction. The study suggests that variations in personality development may contribute, at least in part, to the emergence of distinct addictive behaviors, providing a potential framework for understanding why individuals are prone to specific types of addiction.\nImpulsive personality traits (IPTs) are heritable characteristics regulated by frontal-subcortical circuits and modulated by monoamine neurotransmitters, particularly dopamine and serotonin [175]. IPTs have been consistently linked to neuropsychiatric conditions, especially SUDs [176]. In a large-scale investigation, Sanchez-Roige et al. [111] conducted ten GWASs examining IPTs and drug experimentation in up to 22,861 adults of European ancestry. The study reported SNP heritabilities for IPTs and drug experimentation ranging from 5% to 11%. Notably, variants within the CADM2 locus were significantly associated with UPPS-P Sensation Seeking and showed suggestive associations with drug experimentation. In addition, variants in the CACNA1I locus were significantly linked to UPPS-P Negative Urgency. These findings were supported by analyses at the single-variant, gene-based, and transcriptome-based levels. Furthermore, multiple subscales from the UPPS-P and Barratt Impulsiveness Scale (BIS) demonstrated strong genetic correlations with drug experimentation and other substance use phenotypes assessed in independent cohorts, including smoking initiation and lifetime cannabis use.\nDash et al. [177] reported that familial influences on personality traits and substance use are somewhat generalized. Specifically, higher levels of neuroticism and openness to experience, along with lower agreeableness, were associated with the use of multiple drug types. Elevated neuroticism was particularly linked to prescription drug misuse. Conversely, higher extraversion correlated with cocaine, crack, and stimulant use. In turn, greater openness to experience was associated with cannabis consumption. Lower agreeableness showed associations with both cocaine/crack and illicit opioid use. Notably, no within-pair effects were detected for conscientiousness, suggesting that this trait may play a less direct role in familial risk for substance use.\nGWAS of SUDs, including problematic use of tobacco, alcohol, cannabis, and opioids, have highlighted a component of genetic liability that is shared across these disorders. To investigate this shared risk, Hatoum et al. [102] conducted multivariate GWAS combining datasets for AUD, TUD, CUD, and OUD, encompassing a total sample of over one million individuals. Using genomic structural equation modeling, the authors identified a general addiction risk factor associated with 17 independent loci reaching genome-wide significance. Gene-based analyses further revealed significant associations with 42 genes, including FTO, DRD2, and PDE4B. Moreover, linkage disequilibrium score regression indicated positive genetic correlations between this general addiction risk factor and traits such as suicide attempt, self-medication for anxiety or depression, and externalizing behaviors.\nMaciocha et al. [178] investigated the relationship between the microsatellite polymorphism (AAT)n in the Cannabinoid Receptor 1 (CNR1) gene and personality traits in women with AUD. The study included 93 female participants diagnosed with AUD and 94 control subjects. Compared to controls, women with AUD scored significantly higher on both the State-Trait Anxiety Inventory (STAI) state and trait scales, as well as on the Neuroticism and Openness scales of the NEO Five-Factor Inventory (NEO-FFI). Conversely, the AUD group exhibited lower scores on the NEO-FFI Extraversion, Agreeableness, and Conscientiousness scales. In addition, no statistically significant Pearson correlations were observed between the number of (AAT)n repeats in the CNR1 gene and STAI or NEO-FFI scores within the AUD group. However, in the control group, the number of (AAT)n repeats showed a positive correlation with the STAI state scale and a negative correlation with NEO-FFI Openness. The study highlighted two main conclusions: (i) a potential association of (AAT)n CNR1 repeats with AUD in women, and (ii) a link between (AAT)n CNR1 repeats and both state anxiety and Openness in individuals without AUD.\nGambling disorder (GD) is characterized by persistent, harmful, and recurrent engagement in gambling-related behaviors and shares biological mechanisms and symptomatology with SUDs. Recław et al. [179] examined the association between the COMT gene polymorphism and behavioral addiction. The study included 307 male participants: 107 individuals diagnosed with GD and amphetamine use disorder, and 200 non-addicted controls without neuropsychiatric disorders. Both groups completed psychometric assessments using the STAI and the NEO-FFI. Compared to controls, participants with GD and amphetamine use disorder scored higher on the STAI state and trait scales as well as the NEO-FFI Neuroticism scale. Conversely, they exhibited lower scores on the NEO-FFI Agreeableness scale. Furthermore, a significant interaction was observed between the presence of GD or amphetamine use disorder and the COMT rs4680 genotype on STAI state and trait scores, as well as NEO-FFI Conscientiousness scores. Thus, the findings obtained suggest that the COMT gene and its polymorphic variants may contribute to the development of addictive behaviors.\n\n\n### 5. Epigenetic Influences on Addiction\nEnvironmental influences and mental health conditions play a pivotal role in shaping the onset and trajectory of addiction. Indeed, individuals experiencing certain psychiatric disorders are particularly susceptible to developing SUDs, often as a means of self-medicating or temporarily alleviating emotional distress, which can create a reinforcing cycle leading to addiction [9]. In this context, peer groups that normalize or encourage substance use further increase the likelihood of addictive behaviors. Certainly, the impact of environmental factors on addiction is substantial. A meta-analysis reported an effect size of 0.61 for environmental influences, indicating a stronger relationship with addiction risk compared to individual factors, which had an effect size of 0.45 [180]. Moreover, ACEs can leave enduring emotional scars, increasing the propensity to use substances as a coping mechanism for unresolved trauma [17]. Nevertheless, the influence of environmental factors on addiction outcomes is modified by the genotype of individuals, highlighting the complex, multifactorial nature of addiction vulnerability [181].\nEpigenetics examines how environmental factors can influence gene expression without altering the underlying DNA sequence. This regulatory system operates through multiple mechanisms, including DNA methylation, histone modifications, non-coding RNA (ncRNA) regulation, RNA modifications, and chromatin remodeling [182,183]. DNA methylation is a central epigenetic mechanism that modulates gene expression by adding methyl groups to cytosine residues, often within CpG islands. This process can inhibit gene transcription by preventing transcription factor binding or recruiting repressive proteins, such as methyl-CpG-binding domain proteins [184]. Histone modifications are also key regulators of chromatin accessibility and gene activity. Depending on the type of modification and the specific amino acid residue involved, these changes can either activate or repress gene expression [185]. Common histone modifications include methylation of lysine and arginine residues, acetylation of lysines, phosphorylation of serine, threonine, or tyrosine, ubiquitination of lysines, and less frequent modifications such as SUMOylation, ADP-ribosylation, deamination, and proline isomerization [186]. Among these, histone methylation and acetylation have been most extensively studied. Histone methylation, mediated by histone methyltransferases and demethylases, can either repress (e.g., H3K27me3) or promote (e.g., H3K4me3) transcription. Conversely, histone acetylation, controlled by histone acetyltransferases (HATs) and deacetylases (HDACs), generally leads to chromatin decondensation and enhanced transcriptional activity [187]. In addition, ncRNAs are another critical layer of epigenetic regulation. Major classes of ncRNAs include microRNAs (miRNAs), long ncRNAs (lncRNAs), and circular RNAs (circRNAs). MiRNAs modulate gene expression by binding to the 3′ untranslated regions (3′ UTRs) of target mRNAs, resulting in translational repression or mRNA degradation [188].\nResearch indicates that environmental exposures such as drug use, trauma, and chronic stress can modulate gene expression, including genes implicated in addiction [189]. Prolonged stress, for instance, can alter regulatory mechanisms within the brain’s reward circuitry, thereby heightening vulnerability to SUDs. Similarly, repeated exposure to drugs can induce gene expression changes that reinforce compulsive behaviors, increasing the risk of persistent substance abuse. Markunas et al. [190] conducted the first epigenome-wide association study (EWAS) of smoking in human post-mortem brain tissue, focusing on the NAc. They identified seven DNA methylation (DNAm) biomarkers: three corresponded to genes previously implicated as blood-based DNAm biomarkers of smoking, and four were novel, including ABLIM3, APCDD1L, MTMR6, and CTCF. In the context of AUD, Lohoff et al. [191] performed DNAm EWAS analyses to identify epigenetic modifications relevant to this condition. They found networks of differentially methylated regions in genes related to glucocorticoid signaling and inflammatory pathways. A prominent probe consistently associated across cohorts was located within the long non-coding RNA GAS5, which showed elevated expression in the amygdala of individuals with AUD. Subsequent analyses revealed that SLC7A11, encoding the cystine-glutamate antiporter, was overexpressed in the frontal cortex and liver of individuals with AUD, suggesting a mechanism in which alcohol-induced hypomethylation drives overexpression of this gene [192]. Regarding cannabis use, Fang et al. [193] conducted a peripheral blood-based DNAm EWAS meta-analysis of lifetime cannabis use (ever vs. never) across seven cohorts totaling 9436 participants (7795 European ancestry and 1641 African ancestry). After controlling for cigarette smoking, four CpG sites were significantly associated with cannabis use: cg22572071 near ADGRF1, cg15280358 in ADAM12, cg00813162 in ACTN1, and cg01101459 near LINC01132. Furthermore, in participants who never smoked cigarettes, an epigenome-wide significant CpG site, cg14237301 annotated to APOBR, was identified.\nThe GM contributes to addiction by producing neurotransmitters and metabolites that communicate with the GBA, modulating the expression of genes involved in reward circuitry, including those regulating dopamine signaling, and promoting pro-inflammatory states [38]. Host genetic variation can shape the composition of the GM, and disturbances in microbial communities may alter gene expression, potentially increasing susceptibility to addictive behaviors [194]. The GM affects host gene regulation through the secretion of metabolites such as SCFAs, tryptophan derivatives, and BAs, which interact directly with host cells, influence BBB permeability, and modulate neural signaling, thereby impacting gene expression and behavior [195]. Moreover, the GM produces neurotransmitters, including serotonin, dopamine, and GABA, which can influence brain function and gene expression within reward-related neural circuits [196,197]. Interactions between the GM and host can also induce epigenetic changes, including DNA methylation, histone modifications, ncRNA regulation, and transcriptional alterations in host cells, ultimately affecting genes involved in immunity, metabolism, and gut barrier integrity [39,198]. Figure 1 illustrates the signaling pathways linking GM-derived metabolites to SUDs (modified from [37]).\nIn essence, the relationship between the host and the GM is bidirectional: host genetics and lifestyle factors, including substance use, shape the composition and function of the GM, which in turn communicates with the brain through multiple pathways, modulating gene expression and potentially increasing susceptibility to, or reinforcing, addictive behaviors [37]. This dynamic interaction appears to have a substantial impact on both gut and brain health [199]. Evidence indicates that substance abuse can induce GM dysbiosis, manifested as altered microbial diversity, disrupted community composition, and decreased levels of SCFAs [200]. In turn, mechanistic studies suggest that drug-induced dysbiosis may compromise gut barrier integrity and promote heightened local and systemic inflammatory responses. These changes can initiate a cascade of physiological and behavioral effects that exacerbate SUDs and contribute to the maintenance of addictive behaviors.\nA recent review highlighted the potential involvement of GM dysbiosis in the development of SUDs, indicating that alterations in the GM may influence addiction through modifications in GBA signaling [37]. Furthermore, changes in GM composition and metabolite profiles may not only be a consequence of SUDs but could also modulate behavioral responses to addictive substances. Regarding AUD, variations in the relative abundance of certain genera, such as Faecalibacterium, Gemmiger, Escherichia, and Fusobacterium, may serve as potential biomarkers for predicting cognitive impairments in domains including emotional processing, memory, and executive function [201]. Ling et al. [202] reported that AUD patients exhibited reduced levels of the butyrate-producing genera Faecalibacterium and Gemmiger, which positively correlated with cognitive performance [201] and negatively correlated with pro-inflammatory markers, including TNF-α and various chemokines [202]. In a related review, Chen et al. [41] observed that alcohol exposure is associated with an increased relative abundance of Pseudomonadota, Enterobacteriaceae, Fusobacteriota, Clostridium, and Lactococcus, alongside a decreased abundance of members of the phyla Bacillota and Bacteroidota. Similarly, various studies have shown that alcohol consumption increases the abundance of the bacterial genera Clostridium, Holdemania, and Sutterella, while reducing the abundance of Akkermansia muciniphila and Faecalibacterium prausnitzii [203,204].\nRegarding cannabinoids, Vijay et al. [205] reported that the endocannabinoid system is positively associated with bacterial α-diversity and with butyrate- and SCFA-producing genera, including Bifidobacterium, Coprococcus, and Faecalibacterium, whereas negative associations were observed with Collinsella and Escherichia/Shigella. It has also been noted that cannabis use may induce shifts in GM composition, particularly affecting the Prevotella/Bacteroides ratio [206]. In addition, SCFAs produced by the GM exert anti-inflammatory effects and can epigenetically modulate gene expression, while alterations in kynurenic acid (KYNA) metabolism have been linked to decreased drug-seeking behaviors for substances such as cannabis [206].\nThere is a notable scarcity of clinical studies investigating the effects of tobacco use on the GM. Nevertheless, nicotine withdrawal has been linked to substantial alterations in GM composition, including increased microbial diversity and a higher relative abundance of the phyla Bacillota and Actinomycetota, accompanied by a reduction in Bacteroidota and Pseudomonadota members [207]. Shanahan et al. [208] reported that smokers exhibit lower bacterial diversity in the upper small intestinal mucosa compared to non-smokers. In smokers, the GM showed elevated levels of Bacillota (notably Streptococcus and Veillonella) and Actinomycetota (Rothia), along with decreased abundance of Bacteroidota (Prevotella) and Pseudomonadota (Neisseria). In contrast, Stewart et al. [209] observed an increase in Pseudomonadota and Bacteroidota, with predominant genera being Clostridium and Prevotella, while Bacteroides levels were reduced. In another study, Savin et al. [210] noted an increase in the abundance of the Bacteroidota and Pseudomonadota phyla, as well as in the genera Bacteroides, Clostridium, and Prevotella. Furthermore, they reported a decline in the abundance of the Actinomycetota and Bacillota phyla, as well as in the genera Bifidobacterium and Lactococcus.\nOpioid use exerts profound effects on the gut by slowing peristalsis and inducing constipation, which can increase gut barrier permeability and promote bacterial translocation [200,211]. These disruptions contribute to GM dysbiosis, which in turn plays a role in opioid tolerance. Alterations in GM composition can exacerbate opioid effects, creating a detrimental positive feedback loop that further impairs gut health and opioid responsiveness [212]. In patients with OUD, the GM exhibits increased α-diversity, likely due to delayed colon transit that promotes bacterial proliferation within the gastrointestinal tract [213]. Chronic opioid users have been reported to show reduced abundance of the phylum Bacteroidota, the family Bacteroidaceae, and the genus Bacteroides [214,215]. Findings regarding other taxa, including Prevotella, Bifidobacterium, Ruminococcus, and the family Ruminococcaceae, have been inconsistent across studies [214,215,216]. Furthermore, opioid exposure has been associated with decreases in the family Bacteroidaceae, as well as in the genera Lactobacillus and Bifidobacterium, while simultaneously increasing the prevalence of potentially pathogenic genera such as Enterococcus, Flavobacterium, Fusobacterium, Sutterella, Ruminococcus, and Clostridium [57,217,218].\nAdolescence represents a critical developmental period marked by extensive changes in neuronal structure and function, which are related to the acquisition of behavioral and social skills [219,220]. This life stage also coincides with the consolidation of the GM [221]. Epidemiological evidence indicates that drug experimentation during adolescence increases the risk of developing SUDs, underscoring the heightened vulnerability of this developmental stage to substance-related effects [222,223,224]. In this respect, alterations in the GM during early life, combined with exposure to adolescent social stressors, can disrupt GBA signaling, potentially promoting neurodevelopmental changes that increase susceptibility to drug exposure [38]. Consistently, recent research indicates that adolescence is more sensitive than adulthood to the combined effects of cocaine exposure and early maternal deprivation, indicating that the accumulation of stress during early life can exacerbate the negative behavioral outcomes associated with substance use [225].\nEarly-life stress (ELS) is recognized as a factor capable of reshaping neural circuitry, modifying stress reactivity, and initiating neuroinflammatory processes that function as mechanisms in response to adversity [226]. Nevertheless, when inflammation becomes persistent, it can give rise to maladaptive outcomes such as sickness behavior, which is linked to anhedonia and social withdrawal [227]. This highlights the significant role of the immune system in modulating neuronal networks that regulate both social functioning and reward processing. Consequently, exposure to social stressors during early developmental stages can profoundly impact the central nervous system, leading to alterations in stress regulation, disruption of social interactions, and heightened vulnerability to SUDs [228].\nIn addition to neuroimmune mechanisms, emerging evidence points to the GM as another early-life determinant of long-term health. Insufficient or dysregulated microbial exposure during critical developmental stages may provoke inflammatory activity and has been implicated in a variety of physiological disturbances [229]. In this respect, ELS can impact cognitive function, with maternal early-life nutrition influencing the effects of prenatal and postnatal stress [230]. Moreover, ELS-induced alterations in the GM can disrupt the production of microbial metabolites and neurotransmitters, potentially modulating stress responses and neurodevelopmental trajectories [230]. Although associations between ELS and GM alterations have been reported during both prenatal and postnatal periods, a consistent microbiome profile specifically linked to stress exposure at these stages has yet to be fully elucidated [229].\nEarly-life adversities during childhood and adolescence (i.e., ACEs) are strongly associated with long-term consequences that persist into adulthood, including subsequent onset of SUDs [231,232]. In particular, bullying victimization during childhood has been identified as a significant risk factor for later substance use [233]. This may be partly explained by attempts to alleviate the adverse emotional states elicited by bullying, particularly humiliation, which has been associated with highly concerning outcomes, including psychopathology and suicide [234]. In preclinical research, the social defeat paradigm, which is commonly used to model bullying in rodents, has also been shown to enhance drug consumption in later life [235,236]. In addition, exposure to social defeat during adolescence heightens responsiveness to alcohol reward, a phenomenon that may involve dysregulation of the hypothalamic–pituitary–adrenal (HPA) axis within mesocorticolimbic circuits [237]. Importantly, the neurobehavioral outcomes of social stress are not uniform but instead vary according to individual differences in personality traits [238]. Consistent with this variability, adolescent social defeat has been linked to enhanced reinforcing effects of psychostimulants such as cocaine and to elevated levels of pro-inflammatory mediators, including interleukin-6 (IL-6) [239]. These cytokines are known to influence dopaminergic neurons in reward-related pathways, thereby modulating neurotransmission and synaptic plasticity [240,241], and also exerting profound effects on social behavior [227]. Furthermore, adolescent social isolation has been shown to increase susceptibility to SUDs in adulthood, likely through stress-related modifications in corticotropin-releasing hormone signaling and disruption of oxytocin system maturation within the NAc and paraventricular nucleus [242].\nSubstance use itself can function as a potent stressor, altering stress-regulatory systems and amplifying vulnerability to addiction when combined with other adverse conditions. The extent and nature of these effects depend on the pharmacological class of the substance and on patterns of consumption [243]. Acute drug exposure typically activates the stress response, leading to elevations in cortisol or corticosterone [244]. In contrast, chronic use induces more complex adaptations within the HPA axis, the adrenergic system, and the autonomic nervous system, reflecting the multifaceted ways in which drugs reshape stress physiology [245]. An often overlooked aspect of addiction is its strong association with social isolation and exclusion. Individuals with SUDs frequently withdraw from social interactions or are marginalized by their communities, making reintegration particularly challenging [246]. Such isolation may arise from stigma, fear, or social judgment. In fact, it has been noted that stigma linked to SUDs exerts detrimental effects across multiple domains, impeding treatment seeking, compromising the quality of professional care, influencing public policy decisions, and hindering social inclusion [247]. Stigma acts as a persistent psychosocial stressor, promoting adverse mental states such as anxiety and depression, which may subsequently trigger or aggravate substance use as a means of stress-related self-medication [248]. This bidirectional dynamic perpetuates both stigmatization and substance dependence, indicating a self-reinforcing cycle. Indeed, experiences of loneliness and social disconnection can serve as aversive states that drive individuals to use substances as a maladaptive coping strategy [249]. In this context, AUD has been identified as one of the most highly stigmatized substance-related conditions, despite alcohol being a legal and socially accepted substance with widespread global consumption, including among adolescents [250]. This reciprocal relationship between social stressors and drug use underscores the critical role of psychosocial factors in addiction escalation. Interventions aimed at reducing stigma and strengthening social bonds may therefore represent valuable strategies for mitigating dependence and promoting recovery.\nFrom a microbial perspective, targeting the GM offers a promising pathway for interventions in drug reward–related disorders, either as a standalone strategy or in synergy with social factors. Recent findings by García-Cabrerizo et al. [251] demonstrate that depletion of the GM diminishes the reinforcing properties of non-natural rewards such as cocaine and simultaneously enhance the value of social rewards. Notably, when antibiotic-induced microbiota depletion was paired with the presence of social stimuli, cocaine preference was further reduced. Thus, these results suggest that a dual approach (i.e., modulating the GM and promoting social engagement) may represent a pivotal approach for mitigating the salience of drug-related cues and reducing drug-related harm [251].\nEvidence suggests that GM dysbiosis may play an important role in the development of neuropsychiatric and psychological disorders [252]. A key unresolved question, however, is whether variation in microbial community composition contributes to stable personality traits and behavioral patterns that remain consistent across time and contexts, and which could be therefore predictable. Preclinical research has demonstrated that the GM can modulate stress reactivity, anxiety- and depression-like behaviors, as well as social interaction and communication [253]. Some of the most compelling data come from fecal microbiota transplantation (FMT) experiments, which reveal that behavioral phenotypes can be transferred between mouse strains through microbiota exchange [254]. For instance, colonization of typically anxious Balb/c mice with the microbiota of NIH Swiss mice induces a shift toward greater boldness and exploratory behavior, mirroring the donor phenotype, and the reverse also occur [255]. Additional evidence comes from rodents colonized with the microbiota of individuals with anxiety and depression, which subsequently exhibit corresponding behavioral disturbances [256]. Consequently, these findings suggest that gut microorganisms can exert a causal influence on behavioral traits.\nOnly a limited number of studies have examined the association between the GM and personality traits. Kim et al. [257] reported that both the diversity and composition of the human GM varied according to scores on the revised NEO Personality Inventory. Although the differences observed were subtle, significant correlations were identified between microbial diversity and specific personality dimensions. For instance, higher neuroticism and lower conscientiousness were linked to increased relative abundances of Pseudomonadia (formerly classified as Gammaproteobacteria) and Pseudomonadota, respectively. Conversely, individuals with higher conscientiousness exhibited greater abundance of certain butyrate-producing taxa, particularly members of the Lachnospiraceae family. Building on these findings, Johnson [258] investigated whether variation in GM diversity and composition could be predicted by individual differences in personality. Using negative binomial regression, the study showed that seven out of 23 bacterial genera were significantly associated with behavioral traits. Sociability, which is a composite measure including extraversion, social skill, and communicative ability, positively predicted the abundance of Akkermansia, Lactococcus, and Oscillospira, and was inversely related to Desulfovibrio and Sutterella. In contrast, neurotic tendencies, which is a combined index of neuroticism, anxiety, and stress, were negatively associated with Corynebacterium and Streptococcus. The study also demonstrated that anxiety- and stress-related traits were linked to altered microbial composition, and that the presence of a mental disorder significantly influenced GM profiles. Moreover, although exercise frequency did not predict microbial diversity, it was significantly associated with overall GM composition. More recently, Park et al. [259] identified lower microbial richness in individuals classified as high in anxiety and vulnerability compared with those scoring low on these traits. Significant differences in β-diversity were also observed across groups stratified by anxiety, self-consciousness, impulsivity, and vulnerability. In addition, the genus Haemophilus was associated with neuroticism, while reduced abundances of Christensenellaceae were observed in high-anxiety and high-vulnerability groups. Similarly, lower levels of Alistipes and Sudoligranulum were linked to elevated self-consciousness. Table 2 summarizes microbial associations with various personality traits across childhood and adulthood (modified from [260]).\n\n\n### 5.1. The Role of the Gut Microbiome\nThe GM contributes to addiction by producing neurotransmitters and metabolites that communicate with the GBA, modulating the expression of genes involved in reward circuitry, including those regulating dopamine signaling, and promoting pro-inflammatory states [38]. Host genetic variation can shape the composition of the GM, and disturbances in microbial communities may alter gene expression, potentially increasing susceptibility to addictive behaviors [194]. The GM affects host gene regulation through the secretion of metabolites such as SCFAs, tryptophan derivatives, and BAs, which interact directly with host cells, influence BBB permeability, and modulate neural signaling, thereby impacting gene expression and behavior [195]. Moreover, the GM produces neurotransmitters, including serotonin, dopamine, and GABA, which can influence brain function and gene expression within reward-related neural circuits [196,197]. Interactions between the GM and host can also induce epigenetic changes, including DNA methylation, histone modifications, ncRNA regulation, and transcriptional alterations in host cells, ultimately affecting genes involved in immunity, metabolism, and gut barrier integrity [39,198]. Figure 1 illustrates the signaling pathways linking GM-derived metabolites to SUDs (modified from [37]).\nIn essence, the relationship between the host and the GM is bidirectional: host genetics and lifestyle factors, including substance use, shape the composition and function of the GM, which in turn communicates with the brain through multiple pathways, modulating gene expression and potentially increasing susceptibility to, or reinforcing, addictive behaviors [37]. This dynamic interaction appears to have a substantial impact on both gut and brain health [199]. Evidence indicates that substance abuse can induce GM dysbiosis, manifested as altered microbial diversity, disrupted community composition, and decreased levels of SCFAs [200]. In turn, mechanistic studies suggest that drug-induced dysbiosis may compromise gut barrier integrity and promote heightened local and systemic inflammatory responses. These changes can initiate a cascade of physiological and behavioral effects that exacerbate SUDs and contribute to the maintenance of addictive behaviors.\nA recent review highlighted the potential involvement of GM dysbiosis in the development of SUDs, indicating that alterations in the GM may influence addiction through modifications in GBA signaling [37]. Furthermore, changes in GM composition and metabolite profiles may not only be a consequence of SUDs but could also modulate behavioral responses to addictive substances. Regarding AUD, variations in the relative abundance of certain genera, such as Faecalibacterium, Gemmiger, Escherichia, and Fusobacterium, may serve as potential biomarkers for predicting cognitive impairments in domains including emotional processing, memory, and executive function [201]. Ling et al. [202] reported that AUD patients exhibited reduced levels of the butyrate-producing genera Faecalibacterium and Gemmiger, which positively correlated with cognitive performance [201] and negatively correlated with pro-inflammatory markers, including TNF-α and various chemokines [202]. In a related review, Chen et al. [41] observed that alcohol exposure is associated with an increased relative abundance of Pseudomonadota, Enterobacteriaceae, Fusobacteriota, Clostridium, and Lactococcus, alongside a decreased abundance of members of the phyla Bacillota and Bacteroidota. Similarly, various studies have shown that alcohol consumption increases the abundance of the bacterial genera Clostridium, Holdemania, and Sutterella, while reducing the abundance of Akkermansia muciniphila and Faecalibacterium prausnitzii [203,204].\nRegarding cannabinoids, Vijay et al. [205] reported that the endocannabinoid system is positively associated with bacterial α-diversity and with butyrate- and SCFA-producing genera, including Bifidobacterium, Coprococcus, and Faecalibacterium, whereas negative associations were observed with Collinsella and Escherichia/Shigella. It has also been noted that cannabis use may induce shifts in GM composition, particularly affecting the Prevotella/Bacteroides ratio [206]. In addition, SCFAs produced by the GM exert anti-inflammatory effects and can epigenetically modulate gene expression, while alterations in kynurenic acid (KYNA) metabolism have been linked to decreased drug-seeking behaviors for substances such as cannabis [206].\nThere is a notable scarcity of clinical studies investigating the effects of tobacco use on the GM. Nevertheless, nicotine withdrawal has been linked to substantial alterations in GM composition, including increased microbial diversity and a higher relative abundance of the phyla Bacillota and Actinomycetota, accompanied by a reduction in Bacteroidota and Pseudomonadota members [207]. Shanahan et al. [208] reported that smokers exhibit lower bacterial diversity in the upper small intestinal mucosa compared to non-smokers. In smokers, the GM showed elevated levels of Bacillota (notably Streptococcus and Veillonella) and Actinomycetota (Rothia), along with decreased abundance of Bacteroidota (Prevotella) and Pseudomonadota (Neisseria). In contrast, Stewart et al. [209] observed an increase in Pseudomonadota and Bacteroidota, with predominant genera being Clostridium and Prevotella, while Bacteroides levels were reduced. In another study, Savin et al. [210] noted an increase in the abundance of the Bacteroidota and Pseudomonadota phyla, as well as in the genera Bacteroides, Clostridium, and Prevotella. Furthermore, they reported a decline in the abundance of the Actinomycetota and Bacillota phyla, as well as in the genera Bifidobacterium and Lactococcus.\nOpioid use exerts profound effects on the gut by slowing peristalsis and inducing constipation, which can increase gut barrier permeability and promote bacterial translocation [200,211]. These disruptions contribute to GM dysbiosis, which in turn plays a role in opioid tolerance. Alterations in GM composition can exacerbate opioid effects, creating a detrimental positive feedback loop that further impairs gut health and opioid responsiveness [212]. In patients with OUD, the GM exhibits increased α-diversity, likely due to delayed colon transit that promotes bacterial proliferation within the gastrointestinal tract [213]. Chronic opioid users have been reported to show reduced abundance of the phylum Bacteroidota, the family Bacteroidaceae, and the genus Bacteroides [214,215]. Findings regarding other taxa, including Prevotella, Bifidobacterium, Ruminococcus, and the family Ruminococcaceae, have been inconsistent across studies [214,215,216]. Furthermore, opioid exposure has been associated with decreases in the family Bacteroidaceae, as well as in the genera Lactobacillus and Bifidobacterium, while simultaneously increasing the prevalence of potentially pathogenic genera such as Enterococcus, Flavobacterium, Fusobacterium, Sutterella, Ruminococcus, and Clostridium [57,217,218].\nAdolescence represents a critical developmental period marked by extensive changes in neuronal structure and function, which are related to the acquisition of behavioral and social skills [219,220]. This life stage also coincides with the consolidation of the GM [221]. Epidemiological evidence indicates that drug experimentation during adolescence increases the risk of developing SUDs, underscoring the heightened vulnerability of this developmental stage to substance-related effects [222,223,224]. In this respect, alterations in the GM during early life, combined with exposure to adolescent social stressors, can disrupt GBA signaling, potentially promoting neurodevelopmental changes that increase susceptibility to drug exposure [38]. Consistently, recent research indicates that adolescence is more sensitive than adulthood to the combined effects of cocaine exposure and early maternal deprivation, indicating that the accumulation of stress during early life can exacerbate the negative behavioral outcomes associated with substance use [225].\nEarly-life stress (ELS) is recognized as a factor capable of reshaping neural circuitry, modifying stress reactivity, and initiating neuroinflammatory processes that function as mechanisms in response to adversity [226]. Nevertheless, when inflammation becomes persistent, it can give rise to maladaptive outcomes such as sickness behavior, which is linked to anhedonia and social withdrawal [227]. This highlights the significant role of the immune system in modulating neuronal networks that regulate both social functioning and reward processing. Consequently, exposure to social stressors during early developmental stages can profoundly impact the central nervous system, leading to alterations in stress regulation, disruption of social interactions, and heightened vulnerability to SUDs [228].\nIn addition to neuroimmune mechanisms, emerging evidence points to the GM as another early-life determinant of long-term health. Insufficient or dysregulated microbial exposure during critical developmental stages may provoke inflammatory activity and has been implicated in a variety of physiological disturbances [229]. In this respect, ELS can impact cognitive function, with maternal early-life nutrition influencing the effects of prenatal and postnatal stress [230]. Moreover, ELS-induced alterations in the GM can disrupt the production of microbial metabolites and neurotransmitters, potentially modulating stress responses and neurodevelopmental trajectories [230]. Although associations between ELS and GM alterations have been reported during both prenatal and postnatal periods, a consistent microbiome profile specifically linked to stress exposure at these stages has yet to be fully elucidated [229].\nEarly-life adversities during childhood and adolescence (i.e., ACEs) are strongly associated with long-term consequences that persist into adulthood, including subsequent onset of SUDs [231,232]. In particular, bullying victimization during childhood has been identified as a significant risk factor for later substance use [233]. This may be partly explained by attempts to alleviate the adverse emotional states elicited by bullying, particularly humiliation, which has been associated with highly concerning outcomes, including psychopathology and suicide [234]. In preclinical research, the social defeat paradigm, which is commonly used to model bullying in rodents, has also been shown to enhance drug consumption in later life [235,236]. In addition, exposure to social defeat during adolescence heightens responsiveness to alcohol reward, a phenomenon that may involve dysregulation of the hypothalamic–pituitary–adrenal (HPA) axis within mesocorticolimbic circuits [237]. Importantly, the neurobehavioral outcomes of social stress are not uniform but instead vary according to individual differences in personality traits [238]. Consistent with this variability, adolescent social defeat has been linked to enhanced reinforcing effects of psychostimulants such as cocaine and to elevated levels of pro-inflammatory mediators, including interleukin-6 (IL-6) [239]. These cytokines are known to influence dopaminergic neurons in reward-related pathways, thereby modulating neurotransmission and synaptic plasticity [240,241], and also exerting profound effects on social behavior [227]. Furthermore, adolescent social isolation has been shown to increase susceptibility to SUDs in adulthood, likely through stress-related modifications in corticotropin-releasing hormone signaling and disruption of oxytocin system maturation within the NAc and paraventricular nucleus [242].\nSubstance use itself can function as a potent stressor, altering stress-regulatory systems and amplifying vulnerability to addiction when combined with other adverse conditions. The extent and nature of these effects depend on the pharmacological class of the substance and on patterns of consumption [243]. Acute drug exposure typically activates the stress response, leading to elevations in cortisol or corticosterone [244]. In contrast, chronic use induces more complex adaptations within the HPA axis, the adrenergic system, and the autonomic nervous system, reflecting the multifaceted ways in which drugs reshape stress physiology [245]. An often overlooked aspect of addiction is its strong association with social isolation and exclusion. Individuals with SUDs frequently withdraw from social interactions or are marginalized by their communities, making reintegration particularly challenging [246]. Such isolation may arise from stigma, fear, or social judgment. In fact, it has been noted that stigma linked to SUDs exerts detrimental effects across multiple domains, impeding treatment seeking, compromising the quality of professional care, influencing public policy decisions, and hindering social inclusion [247]. Stigma acts as a persistent psychosocial stressor, promoting adverse mental states such as anxiety and depression, which may subsequently trigger or aggravate substance use as a means of stress-related self-medication [248]. This bidirectional dynamic perpetuates both stigmatization and substance dependence, indicating a self-reinforcing cycle. Indeed, experiences of loneliness and social disconnection can serve as aversive states that drive individuals to use substances as a maladaptive coping strategy [249]. In this context, AUD has been identified as one of the most highly stigmatized substance-related conditions, despite alcohol being a legal and socially accepted substance with widespread global consumption, including among adolescents [250]. This reciprocal relationship between social stressors and drug use underscores the critical role of psychosocial factors in addiction escalation. Interventions aimed at reducing stigma and strengthening social bonds may therefore represent valuable strategies for mitigating dependence and promoting recovery.\nFrom a microbial perspective, targeting the GM offers a promising pathway for interventions in drug reward–related disorders, either as a standalone strategy or in synergy with social factors. Recent findings by García-Cabrerizo et al. [251] demonstrate that depletion of the GM diminishes the reinforcing properties of non-natural rewards such as cocaine and simultaneously enhance the value of social rewards. Notably, when antibiotic-induced microbiota depletion was paired with the presence of social stimuli, cocaine preference was further reduced. Thus, these results suggest that a dual approach (i.e., modulating the GM and promoting social engagement) may represent a pivotal approach for mitigating the salience of drug-related cues and reducing drug-related harm [251].\nEvidence suggests that GM dysbiosis may play an important role in the development of neuropsychiatric and psychological disorders [252]. A key unresolved question, however, is whether variation in microbial community composition contributes to stable personality traits and behavioral patterns that remain consistent across time and contexts, and which could be therefore predictable. Preclinical research has demonstrated that the GM can modulate stress reactivity, anxiety- and depression-like behaviors, as well as social interaction and communication [253]. Some of the most compelling data come from fecal microbiota transplantation (FMT) experiments, which reveal that behavioral phenotypes can be transferred between mouse strains through microbiota exchange [254]. For instance, colonization of typically anxious Balb/c mice with the microbiota of NIH Swiss mice induces a shift toward greater boldness and exploratory behavior, mirroring the donor phenotype, and the reverse also occur [255]. Additional evidence comes from rodents colonized with the microbiota of individuals with anxiety and depression, which subsequently exhibit corresponding behavioral disturbances [256]. Consequently, these findings suggest that gut microorganisms can exert a causal influence on behavioral traits.\nOnly a limited number of studies have examined the association between the GM and personality traits. Kim et al. [257] reported that both the diversity and composition of the human GM varied according to scores on the revised NEO Personality Inventory. Although the differences observed were subtle, significant correlations were identified between microbial diversity and specific personality dimensions. For instance, higher neuroticism and lower conscientiousness were linked to increased relative abundances of Pseudomonadia (formerly classified as Gammaproteobacteria) and Pseudomonadota, respectively. Conversely, individuals with higher conscientiousness exhibited greater abundance of certain butyrate-producing taxa, particularly members of the Lachnospiraceae family. Building on these findings, Johnson [258] investigated whether variation in GM diversity and composition could be predicted by individual differences in personality. Using negative binomial regression, the study showed that seven out of 23 bacterial genera were significantly associated with behavioral traits. Sociability, which is a composite measure including extraversion, social skill, and communicative ability, positively predicted the abundance of Akkermansia, Lactococcus, and Oscillospira, and was inversely related to Desulfovibrio and Sutterella. In contrast, neurotic tendencies, which is a combined index of neuroticism, anxiety, and stress, were negatively associated with Corynebacterium and Streptococcus. The study also demonstrated that anxiety- and stress-related traits were linked to altered microbial composition, and that the presence of a mental disorder significantly influenced GM profiles. Moreover, although exercise frequency did not predict microbial diversity, it was significantly associated with overall GM composition. More recently, Park et al. [259] identified lower microbial richness in individuals classified as high in anxiety and vulnerability compared with those scoring low on these traits. Significant differences in β-diversity were also observed across groups stratified by anxiety, self-consciousness, impulsivity, and vulnerability. In addition, the genus Haemophilus was associated with neuroticism, while reduced abundances of Christensenellaceae were observed in high-anxiety and high-vulnerability groups. Similarly, lower levels of Alistipes and Sudoligranulum were linked to elevated self-consciousness. Table 2 summarizes microbial associations with various personality traits across childhood and adulthood (modified from [260]).\n\n\n### 5.1.1. Substance Use and Gut Microbiome Composition\nA recent review highlighted the potential involvement of GM dysbiosis in the development of SUDs, indicating that alterations in the GM may influence addiction through modifications in GBA signaling [37]. Furthermore, changes in GM composition and metabolite profiles may not only be a consequence of SUDs but could also modulate behavioral responses to addictive substances. Regarding AUD, variations in the relative abundance of certain genera, such as Faecalibacterium, Gemmiger, Escherichia, and Fusobacterium, may serve as potential biomarkers for predicting cognitive impairments in domains including emotional processing, memory, and executive function [201]. Ling et al. [202] reported that AUD patients exhibited reduced levels of the butyrate-producing genera Faecalibacterium and Gemmiger, which positively correlated with cognitive performance [201] and negatively correlated with pro-inflammatory markers, including TNF-α and various chemokines [202]. In a related review, Chen et al. [41] observed that alcohol exposure is associated with an increased relative abundance of Pseudomonadota, Enterobacteriaceae, Fusobacteriota, Clostridium, and Lactococcus, alongside a decreased abundance of members of the phyla Bacillota and Bacteroidota. Similarly, various studies have shown that alcohol consumption increases the abundance of the bacterial genera Clostridium, Holdemania, and Sutterella, while reducing the abundance of Akkermansia muciniphila and Faecalibacterium prausnitzii [203,204].\nRegarding cannabinoids, Vijay et al. [205] reported that the endocannabinoid system is positively associated with bacterial α-diversity and with butyrate- and SCFA-producing genera, including Bifidobacterium, Coprococcus, and Faecalibacterium, whereas negative associations were observed with Collinsella and Escherichia/Shigella. It has also been noted that cannabis use may induce shifts in GM composition, particularly affecting the Prevotella/Bacteroides ratio [206]. In addition, SCFAs produced by the GM exert anti-inflammatory effects and can epigenetically modulate gene expression, while alterations in kynurenic acid (KYNA) metabolism have been linked to decreased drug-seeking behaviors for substances such as cannabis [206].\nThere is a notable scarcity of clinical studies investigating the effects of tobacco use on the GM. Nevertheless, nicotine withdrawal has been linked to substantial alterations in GM composition, including increased microbial diversity and a higher relative abundance of the phyla Bacillota and Actinomycetota, accompanied by a reduction in Bacteroidota and Pseudomonadota members [207]. Shanahan et al. [208] reported that smokers exhibit lower bacterial diversity in the upper small intestinal mucosa compared to non-smokers. In smokers, the GM showed elevated levels of Bacillota (notably Streptococcus and Veillonella) and Actinomycetota (Rothia), along with decreased abundance of Bacteroidota (Prevotella) and Pseudomonadota (Neisseria). In contrast, Stewart et al. [209] observed an increase in Pseudomonadota and Bacteroidota, with predominant genera being Clostridium and Prevotella, while Bacteroides levels were reduced. In another study, Savin et al. [210] noted an increase in the abundance of the Bacteroidota and Pseudomonadota phyla, as well as in the genera Bacteroides, Clostridium, and Prevotella. Furthermore, they reported a decline in the abundance of the Actinomycetota and Bacillota phyla, as well as in the genera Bifidobacterium and Lactococcus.\nOpioid use exerts profound effects on the gut by slowing peristalsis and inducing constipation, which can increase gut barrier permeability and promote bacterial translocation [200,211]. These disruptions contribute to GM dysbiosis, which in turn plays a role in opioid tolerance. Alterations in GM composition can exacerbate opioid effects, creating a detrimental positive feedback loop that further impairs gut health and opioid responsiveness [212]. In patients with OUD, the GM exhibits increased α-diversity, likely due to delayed colon transit that promotes bacterial proliferation within the gastrointestinal tract [213]. Chronic opioid users have been reported to show reduced abundance of the phylum Bacteroidota, the family Bacteroidaceae, and the genus Bacteroides [214,215]. Findings regarding other taxa, including Prevotella, Bifidobacterium, Ruminococcus, and the family Ruminococcaceae, have been inconsistent across studies [214,215,216]. Furthermore, opioid exposure has been associated with decreases in the family Bacteroidaceae, as well as in the genera Lactobacillus and Bifidobacterium, while simultaneously increasing the prevalence of potentially pathogenic genera such as Enterococcus, Flavobacterium, Fusobacterium, Sutterella, Ruminococcus, and Clostridium [57,217,218].\n\n\n### 5.1.2. Social and Microbial Influences on Substance Use Risk\nAdolescence represents a critical developmental period marked by extensive changes in neuronal structure and function, which are related to the acquisition of behavioral and social skills [219,220]. This life stage also coincides with the consolidation of the GM [221]. Epidemiological evidence indicates that drug experimentation during adolescence increases the risk of developing SUDs, underscoring the heightened vulnerability of this developmental stage to substance-related effects [222,223,224]. In this respect, alterations in the GM during early life, combined with exposure to adolescent social stressors, can disrupt GBA signaling, potentially promoting neurodevelopmental changes that increase susceptibility to drug exposure [38]. Consistently, recent research indicates that adolescence is more sensitive than adulthood to the combined effects of cocaine exposure and early maternal deprivation, indicating that the accumulation of stress during early life can exacerbate the negative behavioral outcomes associated with substance use [225].\nEarly-life stress (ELS) is recognized as a factor capable of reshaping neural circuitry, modifying stress reactivity, and initiating neuroinflammatory processes that function as mechanisms in response to adversity [226]. Nevertheless, when inflammation becomes persistent, it can give rise to maladaptive outcomes such as sickness behavior, which is linked to anhedonia and social withdrawal [227]. This highlights the significant role of the immune system in modulating neuronal networks that regulate both social functioning and reward processing. Consequently, exposure to social stressors during early developmental stages can profoundly impact the central nervous system, leading to alterations in stress regulation, disruption of social interactions, and heightened vulnerability to SUDs [228].\nIn addition to neuroimmune mechanisms, emerging evidence points to the GM as another early-life determinant of long-term health. Insufficient or dysregulated microbial exposure during critical developmental stages may provoke inflammatory activity and has been implicated in a variety of physiological disturbances [229]. In this respect, ELS can impact cognitive function, with maternal early-life nutrition influencing the effects of prenatal and postnatal stress [230]. Moreover, ELS-induced alterations in the GM can disrupt the production of microbial metabolites and neurotransmitters, potentially modulating stress responses and neurodevelopmental trajectories [230]. Although associations between ELS and GM alterations have been reported during both prenatal and postnatal periods, a consistent microbiome profile specifically linked to stress exposure at these stages has yet to be fully elucidated [229].\nEarly-life adversities during childhood and adolescence (i.e., ACEs) are strongly associated with long-term consequences that persist into adulthood, including subsequent onset of SUDs [231,232]. In particular, bullying victimization during childhood has been identified as a significant risk factor for later substance use [233]. This may be partly explained by attempts to alleviate the adverse emotional states elicited by bullying, particularly humiliation, which has been associated with highly concerning outcomes, including psychopathology and suicide [234]. In preclinical research, the social defeat paradigm, which is commonly used to model bullying in rodents, has also been shown to enhance drug consumption in later life [235,236]. In addition, exposure to social defeat during adolescence heightens responsiveness to alcohol reward, a phenomenon that may involve dysregulation of the hypothalamic–pituitary–adrenal (HPA) axis within mesocorticolimbic circuits [237]. Importantly, the neurobehavioral outcomes of social stress are not uniform but instead vary according to individual differences in personality traits [238]. Consistent with this variability, adolescent social defeat has been linked to enhanced reinforcing effects of psychostimulants such as cocaine and to elevated levels of pro-inflammatory mediators, including interleukin-6 (IL-6) [239]. These cytokines are known to influence dopaminergic neurons in reward-related pathways, thereby modulating neurotransmission and synaptic plasticity [240,241], and also exerting profound effects on social behavior [227]. Furthermore, adolescent social isolation has been shown to increase susceptibility to SUDs in adulthood, likely through stress-related modifications in corticotropin-releasing hormone signaling and disruption of oxytocin system maturation within the NAc and paraventricular nucleus [242].\nSubstance use itself can function as a potent stressor, altering stress-regulatory systems and amplifying vulnerability to addiction when combined with other adverse conditions. The extent and nature of these effects depend on the pharmacological class of the substance and on patterns of consumption [243]. Acute drug exposure typically activates the stress response, leading to elevations in cortisol or corticosterone [244]. In contrast, chronic use induces more complex adaptations within the HPA axis, the adrenergic system, and the autonomic nervous system, reflecting the multifaceted ways in which drugs reshape stress physiology [245]. An often overlooked aspect of addiction is its strong association with social isolation and exclusion. Individuals with SUDs frequently withdraw from social interactions or are marginalized by their communities, making reintegration particularly challenging [246]. Such isolation may arise from stigma, fear, or social judgment. In fact, it has been noted that stigma linked to SUDs exerts detrimental effects across multiple domains, impeding treatment seeking, compromising the quality of professional care, influencing public policy decisions, and hindering social inclusion [247]. Stigma acts as a persistent psychosocial stressor, promoting adverse mental states such as anxiety and depression, which may subsequently trigger or aggravate substance use as a means of stress-related self-medication [248]. This bidirectional dynamic perpetuates both stigmatization and substance dependence, indicating a self-reinforcing cycle. Indeed, experiences of loneliness and social disconnection can serve as aversive states that drive individuals to use substances as a maladaptive coping strategy [249]. In this context, AUD has been identified as one of the most highly stigmatized substance-related conditions, despite alcohol being a legal and socially accepted substance with widespread global consumption, including among adolescents [250]. This reciprocal relationship between social stressors and drug use underscores the critical role of psychosocial factors in addiction escalation. Interventions aimed at reducing stigma and strengthening social bonds may therefore represent valuable strategies for mitigating dependence and promoting recovery.\nFrom a microbial perspective, targeting the GM offers a promising pathway for interventions in drug reward–related disorders, either as a standalone strategy or in synergy with social factors. Recent findings by García-Cabrerizo et al. [251] demonstrate that depletion of the GM diminishes the reinforcing properties of non-natural rewards such as cocaine and simultaneously enhance the value of social rewards. Notably, when antibiotic-induced microbiota depletion was paired with the presence of social stimuli, cocaine preference was further reduced. Thus, these results suggest that a dual approach (i.e., modulating the GM and promoting social engagement) may represent a pivotal approach for mitigating the salience of drug-related cues and reducing drug-related harm [251].\n\n\n### 5.1.3. The Gut Microbiome and Personality Traits\nEvidence suggests that GM dysbiosis may play an important role in the development of neuropsychiatric and psychological disorders [252]. A key unresolved question, however, is whether variation in microbial community composition contributes to stable personality traits and behavioral patterns that remain consistent across time and contexts, and which could be therefore predictable. Preclinical research has demonstrated that the GM can modulate stress reactivity, anxiety- and depression-like behaviors, as well as social interaction and communication [253]. Some of the most compelling data come from fecal microbiota transplantation (FMT) experiments, which reveal that behavioral phenotypes can be transferred between mouse strains through microbiota exchange [254]. For instance, colonization of typically anxious Balb/c mice with the microbiota of NIH Swiss mice induces a shift toward greater boldness and exploratory behavior, mirroring the donor phenotype, and the reverse also occur [255]. Additional evidence comes from rodents colonized with the microbiota of individuals with anxiety and depression, which subsequently exhibit corresponding behavioral disturbances [256]. Consequently, these findings suggest that gut microorganisms can exert a causal influence on behavioral traits.\nOnly a limited number of studies have examined the association between the GM and personality traits. Kim et al. [257] reported that both the diversity and composition of the human GM varied according to scores on the revised NEO Personality Inventory. Although the differences observed were subtle, significant correlations were identified between microbial diversity and specific personality dimensions. For instance, higher neuroticism and lower conscientiousness were linked to increased relative abundances of Pseudomonadia (formerly classified as Gammaproteobacteria) and Pseudomonadota, respectively. Conversely, individuals with higher conscientiousness exhibited greater abundance of certain butyrate-producing taxa, particularly members of the Lachnospiraceae family. Building on these findings, Johnson [258] investigated whether variation in GM diversity and composition could be predicted by individual differences in personality. Using negative binomial regression, the study showed that seven out of 23 bacterial genera were significantly associated with behavioral traits. Sociability, which is a composite measure including extraversion, social skill, and communicative ability, positively predicted the abundance of Akkermansia, Lactococcus, and Oscillospira, and was inversely related to Desulfovibrio and Sutterella. In contrast, neurotic tendencies, which is a combined index of neuroticism, anxiety, and stress, were negatively associated with Corynebacterium and Streptococcus. The study also demonstrated that anxiety- and stress-related traits were linked to altered microbial composition, and that the presence of a mental disorder significantly influenced GM profiles. Moreover, although exercise frequency did not predict microbial diversity, it was significantly associated with overall GM composition. More recently, Park et al. [259] identified lower microbial richness in individuals classified as high in anxiety and vulnerability compared with those scoring low on these traits. Significant differences in β-diversity were also observed across groups stratified by anxiety, self-consciousness, impulsivity, and vulnerability. In addition, the genus Haemophilus was associated with neuroticism, while reduced abundances of Christensenellaceae were observed in high-anxiety and high-vulnerability groups. Similarly, lower levels of Alistipes and Sudoligranulum were linked to elevated self-consciousness. Table 2 summarizes microbial associations with various personality traits across childhood and adulthood (modified from [260]).\n\n\n### 6. Discussion\nSUDs represent a group of highly prevalent and heritable psychiatric conditions that mainly arise from the interaction of genetic vulnerability and environmental influences. SUDs affect hundreds of millions of individuals worldwide and contribute substantially to the global burden of disease. In 2019, AUD affected more than 100 million individuals and was linked to approximately 160,000 deaths [274]. In turn, OUD affected about 21 million individuals and accounted for over 88,000 deaths [274]. In addition to their direct health consequences, SUDs also elevate the risk for major causes of morbidity and mortality, including suicide, self-harm, and medical conditions such as chronic obstructive pulmonary disease [78]. Despite their profound societal and clinical relevance, relatively little is known about the personality traits that may predispose individuals to substance use initiation, escalation, and eventual dependence. In this respect, the notion of an “addictive personality” has been inconsistently defined and debated, but several recurring assumptions have shaped its interpretation. First, it has been proposed that individuals who later develop addictions already possess a stable personality profile that predisposes them to substance use, characterized by traits such as impulsivity, sensation seeking, antisocial tendencies, and nonconformity. Second, the concept suggests that such individuals display predictable patterns of cognition and behavior, including persistent drug preoccupation, compulsive use despite adverse outcomes, and prioritization of substance use over other significant activities. Third, the framework assumes that, because of these enduring personality dynamics, individuals labeled as having an “addictive personality” are more likely to substitute one form of drug use or compulsive behavior for another during or after treatment [12,23,275,276]. These assumptions are problematic for several reasons. They contribute to pathologizing and stigmatizing narratives that portray individuals with SUDs as a homogeneous group, despite substantial heterogeneity in clinical presentation and etiology [277]. They also encourage negligent clinical practices in which pseudodiagnostic judgments are applied without empirical basis, thereby limiting the quality of care across medical, mental health, and social services. Finally, such labels may undermine the self-efficacy of individuals with SUDs, who are already marginalized and separated from other subjects facing health challenges [23]. Taken together, these considerations underscore that certain personality traits may influence susceptibility to substance use and to addiction, but the notion of a fixed “addictive personality” is simplistic and potentially misleading, as SUDs emerge from complex interactions between multiple factors.\nBuilding on the aforementioned, although personality traits alone cannot determine the onset of addiction or susceptibility to substance use, it can be noted that certain characteristics appear with greater frequency among individuals with SUDs, particularly heritable traits such as impulsivity, novelty-seeking, and stress responsiveness. Impulsivity is characterized by diminished inhibitory control and a tendency toward rash decision-making, which is what could promote maladaptive patterns of substance use. This specific trait shapes how individuals respond to stress and seek rewarding experiences, thereby influencing susceptibility to addictive behaviors. Importantly, heightened sensitivity to novel and rewarding stimuli has been associated with sensation seeking and an increased likelihood of risk-taking [278]. Novelty-seeking may interact with impulsivity, predisposing individuals to behaviors that increase the risk of addiction. Thus, novelty-seeking may also be a trait highly relevant to substance use. Given that motivation plays a pivotal role in the onset and progression of SUDs, particularly when initial engagement with substances is driven by curiosity and the pursuit of novel sensations [18], it is plausible that individuals high in novelty-seeking and openness may exhibit a greater inclination toward drug experimentation. When such exploratory tendencies co-occur with elevated impulsivity and stress responsiveness, a synergistic pattern may emerge, in which novelty-seeking facilitates exposure to substances, impulsivity accelerates transition from experimentation to maladaptive use, and heightened stress responsiveness amplifies vulnerability under potentially challenging or adverse conditions. Furthermore, compulsivity may interact with these traits, reflecting the difficulty that individuals experience in resisting substances and contributing further to addiction susceptibility [279]. In fact, compulsive patterns may partly reflect heritable influences, suggesting that genetic factors could also contribute to compulsivity in substance use [280]. In this respect, it is essential to note that this compulsion should be understood as strong urges that are hard to resist, rather than behavior that is entirely involuntary [275]. Nevertheless, this configuration of traits does not constitute itself a sufficient condition for addiction. Instead, it may more likely represent a personality profile that confers heightened susceptibility to substance use under conducive environmental or contextual factors.\nExtending the previous considerations, among the various neurocognitive functions associated with SUDs, the dimensions of impulsivity have received the strongest empirical support as potential endophenotypes [172,281]. Neurocognitive impulsivity can be subdivided into two primary dimensions, typically assessed through behavioral tasks [282]. First, decision or choice impulsivity reflects the tendency to favor immediate, smaller rewards over delayed, larger ones, capturing deficits in delayed gratification and self-control. This dimension is commonly evaluated using decision-making paradigms that manipulate risk, reward, and delay intervals [283,284]. Second, motor or action impulsivity pertains to difficulties in inhibiting inappropriate responses, typically measured through response inhibition tasks [285,286]. Notably, individuals addicted to different classes of substances, such as opioids versus stimulants, may exhibit distinct profiles across these impulsivity dimensions [287,288]. The endophenotypic approach, widely used in psychiatric genetics, offers a framework for bridging the gap between complex behavioral disorders and their underlying genetic basis. Endophenotypes are quantifiable, heritable traits that are more stable and less complex than clinical phenotypes, facilitating the identification of specific genetic variants, neural circuits, and environmental interactions that contribute to disease susceptibility and progression [289]. Recent conceptual developments suggest that focusing on endophenotypes may help reduce the heterogeneity of SUD presentations and provide a structured approach for distinguishing general versus substance-specific risk factors [290]. Thus, neurocognitive dimensions of impulsivity may serve as measurable endophenotypes that link genetic vulnerability to behavioral outcomes and enable differentiation of general from substance-specific risk pathways in addiction.\nAlcaro et al. [6] have emphasized that identifying genes associated with addiction represents an essential first step toward developing targeted interventions. Several considerations underscore the importance of this approach. First, elucidating the biological mechanisms by which specific genes influence addiction can inform the development of more effective treatments for SUDs. Second, each newly identified addiction-related gene represents a potential pharmacological target, enabling researchers to design drugs that modulate the activity of the corresponding protein. Third, gene-based therapies are emerging as a promising avenue for addiction treatment. For instance, one experimental gene therapy in mice induces the production of antibodies that trap methamphetamine, thereby preventing its entry into the brain [291]. Similarly, transplantation of genetically engineered skin cells in mice has been used to produce enzymes capable of degrading cocaine [292]. Finally, in the long term, genetic profiling could allow personalized treatment strategies by predicting which interventions are most likely to be effective for an individual based on their unique genetic profile.\nExperimental evidence increasingly supports a pivotal role for the GM in SUDs, acting through multiple mechanisms. These include modulation of gene expression within the NAc [293], regulation of reward and addiction circuits [294], and alterations in pain perception [295]. Such findings underscore the direct involvement of the GM in both substance-induced reward responses [296] and withdrawal states [166], highlighting its relevance across different stages of addiction. Interestingly, the GM can also metabolize substances of abuse, influencing their pharmacokinetics and efficacy, thereby modifying the intensity of reward and withdrawal experiences [34,297]. In addition to these effects, the GM contributes to epigenetic regulation by producing metabolites that modulate the epigenome and by influencing the expression of epigenetic enzymes. This regulatory capacity may also affect comorbid outcomes, including anxiety and depression, which are frequently associated with SUDs [198]. Conversely, chronic substance use induces stable epigenetic modifications that alter gene expression and behavior [187]. Future investigations integrating analyses of DNA methylation, histone acetylation, crotonylation, and other epigenetic marks with GM composition and activity of epigenetically active metabolites could elucidate the mechanisms by which the GM shapes addiction-related epigenetic changes. In this respect, recent work by Lewin-Epstein et al. [298] demonstrates that GM dysbiosis affects host brain function, behavior, and overall wellbeing, and is linked to the onset and progression of chronic disorders, including addictive behaviors. The authors propose that competitive interactions within the GM may drive evolutionarily relevant effects on host behavior, potentially contributing to addictive tendencies. Moreover, feedback from the GM to host behavior can exacerbate addictive patterns, complicating withdrawal and increasing relapse risk. Microbial richness appears to be a critical factor in this process, with lower richness associated with prolonged addiction trajectories.\nThe studies included in this review present several notable limitations. First, regarding genetic research on personality traits and SUDs, particularly AUD, only a small proportion of the underlying genetic factors has been identified. This “missing heritability” problem may arise from the complex interplay between genetic variants, environmental influences, and their interactions [178]. Despite large-scale GWAS, researchers have been able to explain only a fraction of trait variance. Contributing factors include the fact that certain genomic variants, such as copy number variants (CNVs), insertions/deletions, variable number tandem repeats (VNTRs), and short tandem repeats (STRs), are not typically assessed in GWAS, but they may significantly influence phenotypic variability [299,300]. Another limitation is the lack of diversity in GWAS samples. Most studies to date have been conducted predominantly in individuals of European ancestry, which limits the generalizability of findings to other populations and may exacerbate health disparities. Increasing representation of non-European ancestries is therefore critical for advancing understanding of SUD genetics. Large but unrepresentative cohorts, such as the UK Biobank, overrepresented by older individuals with higher socioeconomic status, or the Million Veteran Program (predominantly male), also pose challenges, including the potential for collider bias [301]. Additional sources of bias include misreporting, longitudinal changes in behavior [302], and the complex interplay between genetic and sociocultural factors in substance use and SUD development [116]. Deak and Johnson [117] emphasize that evaluating multiple measures of substance use and SUDs, including both clinical diagnoses and brief questionnaires across diverse sample types, is essential to disentangle the genetic basis of consumption versus problematic use. With respect to studies on the GM and SUDs, several limitations should also be noted: (i) confounding variables, as many studies fail to account for pre-existing mental health conditions; (ii) limited sample diversity, with restrictions in age or cultural background that reduce generalizability; (iii) cross-sectional study designs, which hinder causal inferences; (iv) self-reporting bias; (v) the influence of genetic and environmental factors on both GM composition and SUD outcomes; (vi) lack of long-term follow-up to assess the persistence of observed effects; (vii) variation in the effects of SUDs across different developmental stages; (viii) co-occurrence of multiple substance uses, which may lead to inconsistencies across studies.\nThis review has integrated genetic factors, personality traits, and epigenetic interactions mediated by the GM in the context of addiction susceptibility. To our knowledge, no previous review has addressed these domains in a similarly integrative manner, conferring a foundational character to the present review. However, precisely due to the nature of this review, it entails certain inherent limitations. First, due to the wide diversity of domains examined, a systematic methodology was not employed. Instead, a narrative approach was adopted, which allowed for broader conceptual synthesis but may be subject to selection bias and potentially limit replicability. Second, the integration of multiple, highly heterogeneous areas may have led to simplifications or omissions in the discussion of specific mechanisms, potentially limiting the specificity of the conclusions. Third, differences in study design, sample characteristics, and measurement methods across the cited studies could contribute to high variability. Finally, the rapidly evolving landscape of research may limit the generalizability of the findings over time.\n\n\n### 7. Conclusions\nGenetic influences on personality act primarily via regulatory variants that modulate gene expression during neurodevelopment, shaping cognitive, emotional, and behavioral traits that contribute to individual differences in vulnerability to psychiatric conditions and adaptive responses to environmental challenges. SUDs share partially overlapping genetic foundations, with specific loci, heritability estimates, and causal pathways differing across substances, reflecting both shared vulnerability and substance-specific genetic influences on susceptibility to SUDs. Heritable personality traits, particularly impulsivity, novelty-seeking, and stress responsiveness, interact to shape susceptibility to SUDs, with genetic factors modulating risk across different forms of addiction. Thus, a heritable personality profile characterized by these traits may confer heightened vulnerability to SUDs, especially under challenging or adverse environmental conditions, but not deterministically leading to addictive behaviors. In addition, environmental factors, ELS, and social influences interact with the GM to shape neurobiological and behavioral pathways that modulate addiction risk. These interactions highlight the multifactorial nature of SUDs, in which epigenetic, microbial, and psychosocial mechanisms converge to influence susceptibility, progression, and maintenance of addictive behaviors. Integrating multi-omics approaches, including metagenomics, metabolomics, and host transcriptomics, can elucidate how GM functions influence host gene expression, advancing our understanding of microbial contributions to addiction susceptibility.", "domain": "affective_neuroscience"}
{"source": "PMC12730087", "title": "Conceptual Frameworks Linking Sexual Health to Physical, Mental, and Interpersonal Well-Being: A Comprehensive Systematic Review and Meta-Analysis", "text": "# Conceptual Frameworks Linking Sexual Health to Physical, Mental, and Interpersonal Well-Being: A Comprehensive Systematic Review and Meta-Analysis\n\n## Abstract\nThe current systematic review modified the Enduring Vulnerability Stress Adaptation model of relationship functioning and the Attachment System Activation model of individual functioning to incorporate various aspects of orgasmic functioning within the broader context of sexual health and sexual satisfaction. This provided conceptual frameworks for integrating the findings on a wide range of correlates of orgasms, sexual satisfaction, and other components of sexual health into comprehensive models of individual and interpersonal functioning to guide future research. A systematic search of the ProQuest, PubMed, and Web of Science databases (through September, 2025) for records linking sexual satisfaction with at least one other component of sexual health or at least one correlate (distress, well-being, physical health, relationship satisfaction, attachment avoidance, or attachment anxiety) yielded 3369 unique records, resulting in a final set of 228 records, representing 281 independent (sub)samples and a final combined sample of 248,021 participants. A total of 1201 effects were extracted, yielding 44 meta-analytic effects (using random effects modeling). Path analyses of meta-analytic correlation matrices revealed that dimensions of sexual health (i.e., sexual satisfaction, orgasms, sexual desire, lack of sexual pain, vaginal lubrication) demonstrated unique links to greater health, interpersonal functioning, and individual functioning (i.e., higher psychological well-being, physical health, and relationship satisfaction; lower psychological distress, attachment anxiety, and attachment avoidance). Meta-regression moderation analyses revealed that the effect linking orgasms to higher sexual satisfaction was especially pronounced for women and for individuals in clinical (sub)samples. In addition, the link between orgasms and lower distress was especially pronounced for older individuals. The findings were limited by the cross-sectional nature of the vast majority of the findings (96%), leaving the directions of causality unclear. Taken together, these results highlight the central role that sexual health might play in individual and relationship health, supporting the proposed conceptual models and highlighting directions for future research.\n\n## Full Text\n\n\n### 1. Introduction\nSexual behavior has long been discussed as one of the most basic human physical and psychological needs (Maslow, 1943). Consistent with this, previous work has emphasized the importance that sexual health plays in romantic relationships (e.g., Ellsworth & Bailey, 2013; Shaw & Rogge, 2016), as well as in other aspects of life in general (e.g., psychological and physical well-being; e.g., Fabre & Smith, 2012; Levin, 2007). This growing body of work has developed a multidimensional conceptualization of sexual health which includes not only sexual satisfaction but also orgasmic functioning, sexual desire, vaginal lubrication, lack of sexual pain, and erectile functioning. Given the high value individuals place on orgasms (E. Opperman et al., 2014; Vail-Smith et al., 2023; Walker & Lutmer, 2023), one line of research has focused specifically on links between orgasmic functioning and well-being, underscoring the importance of orgasms for sexual satisfaction, relationship satisfaction, physical health, mental health, and life satisfaction (e.g., Abramov, 1976; Brezsnyak & Whisman, 2004; Brody & Costa, 2009; Ellsworth & Bailey, 2013; Leavitt et al., 2021; Mangas et al., 2024). The current systematic review sought to synthesize and integrate this growing line of research on the salience of orgasms in the lives of individuals, by examining orgasmic functioning within the broader context of multiple aspects of sexual health, thereby highlighting the unique links between each aspect of sexual health and the well-being correlates examined. Although a broad array of studies spanning both the psychology and medical literature have examined the correlates of sexual health (see Table 1 and Table 2), the vast majority of this work was atheoretical in nature. In addition, the correlates of orgasms and other aspects of sexual health have generally taken a secondary or even tertiary role in the focus of the analyses presented (often appearing only as a handful of undiscussed correlations in a much larger correlation matrix). The current review therefore sought not only to synthesize this vast array of previous studies, but to also develop a theoretical framework to help conceptually integrate previous findings and guide future work in this area. The current review extended previous research further by using a meta-analytical framework to synthesize and integrate previous findings, thereby allowing us to examine moderators of the links between various aspects sexual health and various forms of well-being. Given the gender disparities uncovered in the field of sexual health (e.g., Armstrong et al., 2012; Blair et al., 2018), gender was tested as a moderator. As sexual desire and performance vary with age (e.g., Gades et al., 2008; Twenge et al., 2017), age was also tested as a moderator of the salience of sexual health across the lifespan. Finally, given the reduced levels of sexual health observed among individuals with mental or physical disorders (e.g., Atarodi-Kashani et al., 2017; S. Chang et al., 2012), the type of population sampled within each study (i.e., clinical or nonclinical) was also examined as a moderator.\nSexual Health as a Central Process. Defining sexual health is a complex task, as it encompasses physical, emotional, mental, and social well-being (World Health Organization, 2002). As sexual health is not merely the absence of dysfunction, but a holistic experience of well-being, it remains imperative to investigate sexual functioning in its scope beyond dysfunctionality. As such, pleasurable sexual experiences do not focus only on achieving orgasms or other physiological factors such as vaginal lubrication, erectile function, or lack of pain, but also include emotional components such as sexual desire, sexual arousal, and sexual satisfaction. Consistent with this, internationally validated sexual health measurement scales such as the Derogatis Sexual Functioning Inventory (DSFI; Derogatis & Melisaratos, 1979; Derogatis, 1997), Female Sexual Function Index (FSFI; R. Rosen et al., 2000), and International Index of Erectile Function (IIEF; R. C. Rosen et al., 1997) provide the tools for researchers to embrace a more diverse and multivariate conceptualization of sexual health (i.e., including sexual satisfaction, orgasmic functioning, sexual desire, vaginal lubrication, lack of pain, and erectile functioning). Thus, although a large body of work has incidentally examined sexual dysfunctions as secondary symptoms of physical health issues (such as cancer, obesity, or psychiatric diagnoses; e.g., Castellini et al., 2010; K. Conroy, 2018; Hoyer et al., 2009), the current review applies a novel lens to this literature by examining sexual health as a critical aspect of individual and interpersonal well-being that spans a wide range of populations (both clinical and non-clinical) as well as a wide range of contexts (representing a set of dynamic processes rather than just secondary symptoms).\nOrgasms as One Component of Sexual Health. A growing body of work has more specifically focused on orgasmic functioning as a key aspect of sexual health (e.g., Abramov, 1976; Brezsnyak & Whisman, 2004; Brody & Costa, 2009; Ellsworth & Bailey, 2013; Leavitt et al., 2021; Mangas et al., 2024). In fact, there is evidence suggesting that orgasms are still widely perceived as a key goal, if not the ultimate goal of sexual activity (e.g., E. Opperman et al., 2014; Vail-Smith et al., 2023; Walker & Lutmer, 2023), supporting their use as a marker of sexual health. As a counterpoint to those findings, an emerging area of research has also noted limitations of placing too much weight on orgasms alone, pointing out that: (1) not all orgasms are pleasurable (e.g., Chadwick et al., 2019), (2) sexual pleasure consists of other crucial elements as well (e.g., Chadwick et al., 2019), (3) satiating sexual pleasure can be achieved without orgasming (e.g., E. Opperman et al., 2014), and (4) some individuals even experience orgasms despite engaging in unpleasurable or coerced sexual activity (e.g., Chadwick et al., 2019). Thus, to integrate these perspectives, when reviewing the literature on how orgasms are linked to physical, mental, and relationship functioning, it is critical to examine orgasmic functioning within the broader multivariate context of sexual health. Thus, the current review examined orgasmic functioning alongside the other key aspects of sexual health, including sexual satisfaction, desire, lack of pain, vaginal lubrication, and erectile function. This allowed us to uncover the unique links between each aspect of sexual health and various aspects of individual functioning.\nModeling Sexual Health. Although scales like the FSFI and IIEF served to operationalize as many as eight distinct facets of sexual health across men and women, those aspects of sexual health are fundamentally interrelated and therefore notably correlated with one another. Thus, in examining the links between components of sexual health and various aspects of well-being, the current review sought to incorporate those interrelations within multivariate path models. Specifically, the current review conceptualized sexual satisfaction as an overarching construct and the other components of sexual health as key contributors to that global evaluation.\nTo ground the current review within a broader perspective of the diversity of studies that have examined orgasmic functioning, the following sections provide a brief overview of the broader orgasmic functioning literature. The following overview also allows us to briefly review many of the studies that helped to shape the various fields of research on orgasms but did not meet the criteria to be included in the current meta-analysis. Finally, it allows us to describe some specific studies to provide a deeper sense of the methods commonly used across these studies. Within the literature, experiencing orgasms has been assessed and quantified in three main ways: (1) frequency of orgasms within a recent time frame (e.g., in the last month), (2) consistency of achieving orgasms from sexual activity (e.g., proportion of sexual encounters or activity that results in orgasms), or (3) a group contrast between individuals experiencing orgasms and those not experiencing orgasms (either at a lifetime level or from recent sexual activity). Given these differing operationalizations, we will use the terms “orgasmic functioning,” “orgasms,” and “experiencing orgasms” as umbrella terms to represent all three conceptualizations.\nOrgasm Gender Gap. When examining the salience of orgasms in the lives of men and women, the first issue that needs to be acknowledged is that the ability to achieve orgasms is quite different across the sexes. For example, a nationally representative sample of Australians suggested that 95% of men achieved orgasm in their most recent sexual encounter, compared to only 69% of women (Richters et al., 2006). Consistent with this, data from a national probability sample of 3159 individuals in the United States (the National Health and Social Life Survey) suggested that although 75% of men reported “always” having an orgasm during sexual activity with a partner, only 29% of women reported the same level of consistency (Laumann et al., 2000). These findings were echoed in a sample of 833 college students with 28% of women and only 3% of men reporting never orgasming with partners, and another 23% of women and only 3% of men reporting only “sometimes” orgasming (Wade et al., 2005). In fact, estimates from a national sample of over 52,000 adults suggest that 95% of heterosexual men in the United States are able to experience orgasms from sexual activity compared to only 65% of heterosexual women (Frederick et al., 2018). Women experience orgasms significantly less frequently than men in casual sexual encounters as well as in committed relationships (e.g., Armstrong et al., 2012; Blair et al., 2018; Frederick et al., 2018). Although they have triggered debate within the field (e.g., Brody et al., 2018; Levin, 2007, 2012a, 2012b; Prause, 2012a, 2012b), a number of studies have even suggested that gender differences might appear most pronounced (and show particularly strong associations) for specific types of orgasms from specific forms of sexual activity (e.g., penile-vaginal intercourse—PVI—without clitoral stimulation; e.g., Blair et al., 2018; Brody & Costa, 2008, 2009; Brody et al., 2010; Costa & Brody, 2007; see Brody, 2006, 2010 for reviews). Despite results suggesting that men and women report comparable levels of overall satisfaction with their sex lives (e.g., Shaw & Rogge, 2016), similar gender differences to those observed with orgasms have emerged for reports of sexual desire (e.g., Regan & Atkins, 2006) and sexual pain (e.g., R. Rosen et al., 2000; Stephenson et al., 2011). Recent results in nationally representative samples continue to support an orgasm gender gap, potentially due to lower frequencies of clitoral stimulation in heteronormative sex (Andrejek et al., 2022; for a review see Andrejek et al., 2025).\nOrgasms as Health Correlates. In the medical and treatment literature, the frequency and the ability to achieve orgasms have often been conceptualized as a health correlate. For example, in depression and depression treatment research, difficulty or inability to achieve orgasms has often been studied as a correlate of depressive symptoms (e.g., S. Chang et al., 2012; Kuffel & Heiman, 2006; Laurent & Simons, 2009), as well as a side effect of antidepressant medication (especially selective serotonin reuptake inhibitors; e.g., Berman et al., 2011; Khazaie et al., 2015; Krishna et al., 2011). Orgasmic functioning has also been examined as a secondary symptom in studies of Parkinson’s disease (e.g., Celikel et al., 2008; Lipe et al., 1990), multiple sclerosis (e.g., Fragla et al., 2014; Sahay et al., 2012), cancer (e.g., L. A. Brotto et al., 2008; Flynn et al., 2013), chronic pain (e.g., Aubin et al., 2008; Ciftci et al., 2011), and other medical disorders that may impact sexual functioning (e.g., Atarodi-Kashani et al., 2017; Bouhlel et al., 2017; Caruso et al., 2012; J. Strizzi et al., 2015). Although not the primary focus of these studies, this has yielded a body of work linking the symptom of orgasmic difficulties to depressive symptoms.\nDifficulty with Orgasms as a Disorder. In addition to exploring orgasm difficulties as a secondary dysfunction associated with existing medical disorders, they have also been investigated as primary sexual dysfunctions (e.g., Meston et al., 2004a). The 5th edition of the Diagnostic and Statistical Manual of Mental Disorders (American Psychiatric Association, 2013) lists a number of sexual dysfunctions, including those of arousal, drive, and pain. It specifically includes three disorders of orgasm functions: Female Orgasmic Disorder, Delayed Ejaculation, and Premature (Early) Ejaculation (American Psychiatric Association, 2013). While there is some literature exploring the nature, presentation, and etiology of specific sexual dysfunctions (e.g., Brody, 2017; Feldman & Larsen, 2014; Graham, 2014; Hunter & Goodie, 2017; Laan & Rellini, 2012), most research in this area aggregates sexual dysfunctions when examining their correlates (e.g., Du et al., 2016; Galinsky, 2012) rather than examining specific (e.g., orgasmic) sexual dysfunctions separately. That literature has robustly demonstrated the negative correlates of such disorders for individual and interpersonal functioning, highlighting importance of healthy sexual functioning in daily life (e.g., De Amicis et al., 1984; Fisher et al., 2005; Jiann et al., 2013).\nOrgasms as a Relationship Process. A small but growing body of literature has begun to examine sexual behavior as a key process in romantic relationships. Findings across this body of work suggest that frequency of orgasms is positively linked to other aspects of sexual health (e.g., greater sexual desire and satisfaction, less time needed to achieve sexual arousal; e.g., Brody, 2007; Hurlbert & Whittaker, 1991). Studies have also linked orgasms to greater relationship quality and marital satisfaction (e.g., Brody & Weiss, 2011; Costa & Brody, 2007; Guo et al., 2004; Hurlbert & Whittaker, 1991; Rowland & Kolba, 2019) and to greater relationship investment (e.g., Ellsworth & Bailey, 2013). Although a majority of these studies have focused specifically on the importance of women’s orgasms, a handful of studies have linked higher rates of orgasm consistency and frequency in men to higher levels of sexual satisfaction (e.g., Brody & Costa, 2009; Morokqff & Gillilland, 1993), relationship satisfaction (e.g., Brody & Costa, 2009; Frederick et al., 2018), and even lower mortality (e.g., Abramov, 1976; Persson, 1981).\nOrgasms as a Source of Well-Being. A promising vein of research focused primarily on orgasms in the lives of women has begun to examine links between sexual activity and individual well-being. For example, women who reported greater frequency of orgasms reported higher self-esteem (e.g., Hurlbert & Whittaker, 1991), lower subjective stress (e.g., Bodenmann et al., 2010; Pakpour et al., 2015), more effective life coping skills (and lower use of maladaptive coping strategies; e.g., Borissova et al., 2001; Brody et al., 2010). Inability to achieve orgasms on the other hand has been linked to higher attachment anxiety and lower overall satisfaction with life, health, and romantic relationships (e.g., Costa & Brody, 2011). The vast majority of the studies examining these links have been cross-sectional in nature, leaving potential directions of causality unclear. Results from one of the few studies to have employed a longitudinal design suggested that women’s enjoyment of sexual intercourse and men’s frequency of sexual intercourse was linked to greater longevity (i.e., longer life spans; Palmore, 1982).\nExtending the review of research focused on orgasmic functioning, the remaining aspects of sexual health have demonstrated similar links to physical and mental health as well as interpersonal functioning. For example, due in large part to the widespread adoption of the FSFI and IIEF within the medical literature, sexual satisfaction, sexual desire, a lack of sexual pain, and vaginal lubrication have each demonstrated links to lower psychological distress (e.g., Lew-Starowicz & Rola, 2014; Onem et al., 2008), lower attachment anxiety and attachment avoidance (e.g., Pinsky, 2016; van den Brink et al., 2016), greater well-being (e.g., Artune-Ulkumen et al., 2014; Demir et al., 2013), greater physical health (e.g., Khnaba et al., 2016; Morales et al., 2013), and greater relationship satisfaction (e.g., Stephenson & Meston, 2015; Witting et al., 2008a). This large body of predominantly cross-sectional findings therefore highlights the importance of examining the correlates of orgasms within the broader context of multiple forms of sexual health.\nMuch of the work examining orgasms has adopted a more clinical or practical approach, examining the correlates of orgasms to inform the treatment of medical and/or sexual disorders. The bulk of the work in this area has therefore been atheoretical by design. To begin to integrate this growing body of work into a coherent theoretical framework of both individual and relationship functioning, the current review drew upon the Enduring-Vulnerability Stress-Adaptation model of relationship functioning (EVSA; Karney & Bradbury, 1995) as well as the Attachment System Activation model (ASA; Shaver & Mikulincer, 2002). These models therefore informed the selection of correlates to be examined within the meta-analysis.\nEnduring-Vulnerability Stress-Adaptation Model. In their EVSA model, Karney and Bradbury (1995) highlight three key sets of processes that interact to shape the course of relationships over time: (1) enduring vulnerabilities (i.e., jagged edges of their personalities that individuals bring with them into relationships such as personality traits and attachment orientations), (2) stressful events (i.e., external events that could impact a relationship such as getting fired, illness, and conflict with family), and (3) adaptive processes (i.e., the adaptive and maladaptive dyadic processes that couples engage in response to life stressors, including constructs such as emotional support, negative conflict, and forgiveness; see Figure 1A for the proposed conceptual model modifying the EVSA to include sexual health). Within the EVSA model, enduring vulnerabilities can directly affect how partners interact with one another within the relationship (influencing dyadic adaptive processes), how the partners adapt in stressful situations (potentially interacting with life stress to exacerbate its impact on relationships), and can even serve to generate stressful life events for the couples to navigate. Stressful events are conceptualized as potentiating events that exert pressure on couples, forcing them to engage their emotion regulation and dyadic coping skills in response. Finally, the dyadic adaptive processes are viewed as most proximally linked to relationship quality, with healthy patterns of interaction helping to buffer relationships from the adverse effects of stress and enduring vulnerabilities, whereas maladaptive patterns are posited to exacerbate those negative effects. Notably, within the EVSA model, enduring vulnerabilities and maladaptive dyadic processes are presumed to require triggering by stressful life events to exert their full influence on relationship quality.\nExtending this model to focus specifically on sexual functioning (see Figure 1A), enduring vulnerabilities would likely include a diverse array of constructs such as comfort and knowledge of own body, biological difficulty in achieving orgasms, attitudes toward sex, and attachment orientation, as those trait-like qualities could not only influence dyadic behavior (e.g., affecting how individuals approach sexual activity and sexual communication), but could also serve to generate stress within the relationship (e.g., generating tension over differing views and expectations surrounding the sexual component of their relationships, generating disappointing sexual/intimate encounters). In the context of the EVSA model, failure to have an orgasm within a specific sexual encounter could be conceptualized as a stressful event, potentially interacting with enduring vulnerabilities like sexual expectations, and triggering the need for adaptive processes like greater sexual responsiveness, sexual communication, as well as compassion and empathy. The EVSA model would therefore suggest that adaptive processes like strong emotional support and healthy sexual communication could at least partially buffer relationships from the adverse effects of difficulties with orgasms, whereas maladaptive processes (e.g., withdrawal, avoidance, hostile behavior) would likely exacerbate those adverse effects. In fact, within the context of the EVSA model, the ability to consistently achieve orgasms during sexual activity with a partner could also be modeled as another adaptive process, thereby serving to buffer the relationship from stressful events or the jagged edges of both partners’ personalities. As the need for feeling connected to others has been conceptualized as a fundamental human need (Deci & Ryan, 2000), we conceptualized romantic relationship quality as a key marker of this basic need. As a result, we posited that relationship quality would serve as the most proximal factor (and therefore likely the main mechanism) linking sexual relationship processes to individual well-being.\nAttachment System Activation Model. To link the current investigation to another robust model in the field of couple’s research, the current study also conceptualized the ASA (Shaver & Mikulincer, 2002) as a more fine-grained model informed by the EVSA model. The ASA model (Figure 1B) expands upon Bowlby’s (1969, 1973, 1980, 1988) attachment theory by applying it to adult romantic relationships. Specifically, the ASA model highlights three main components: (1) appraisal of a threat (i.e., something causing stress to a relationship or triggering attachment insecurities), (2) individual attachment insecurities (most commonly conceptualized as attachment avoidance and attachment anxiety), and (3) reactive strategies (i.e., behavioral responses to a threat). Thus, within the ASA model, attachment insecurities are not conceptualized as directly impacting relationship quality. Instead, some sort of threat is required to activate the attachment system, triggering specific behavioral reactions involving either deactivating (e.g., withdrawal, emotion suppression) or hyperactivating (e.g., hypervigilance, rumination) strategies. Given this conceptualization, we see links between the ASA model and the EVSA model, as the ASA model takes a specific enduring vulnerability of attachment, concentrates on a specific subset of (mal)adaptive processes (i.e., deactivation and hyperactivation strategies), and conceptualizes threats as potentiating the activation of that system in a manner similar to the role of life stress in the EVSA model. Although sexual functioning could be considered an independent system from the attachment system, we assert that the ASA model could be meaningfully applied to sexual functioning. From a sexual functioning perspective, orgasm difficulties and a failure to achieve an orgasm during a sexual encounter with a partner could be conceptualized as a possible threat (i.e., a failure of that masculinity achievement, see Chadwick & van Anders, 2017), activating the attachment system, and thereby promoting deactivation and hyperactivation strategies. Thus, a partner with high levels of attachment avoidance (i.e., feeling uncomfortable with emotional disclosure and intimacy) might withdraw when faced with orgasm difficulties, avoiding communication as well as avoiding further sexual intimacy. Such deactivation strategies would in turn impact relationship quality and eventually individual functioning over time. In contrast, a partner with high levels of attachment anxiety (i.e., a general tendency to feel that partners do not love you as much as you love them leading to excessive preoccupation and worry) might hyper-engage their partner when faced with orgasm difficulties, ruminating over the issue, and possibly becoming demanding and requiring excessive validation. Given this conceptual framework, the current review focused on examining an array of correlates of orgasms spanning the various components of these models (see bolded examples in Figure 1).\nNarrative reviews. The current comprehensive literature search (described below) failed to identify any published meta-analytic systematic reviews with a comparably broad focus (i.e., exploring associations amongst components of sexual health and between those components and a range of factors representing individual and relationship functioning). However, the current literature search did uncover a number of published narrative reviews that focused on related topics. For example, White and Reamy (1982) published a narrative review of 74 articles examining sex during pregnancy, however none of their articles overlapped with the current sample of 228 records. Similarly, narrative reviews of female sexual functioning in old age (Wood et al., 2012; 3 of its 58 articles overlapped with the current review), the health benefits of various sexual activities (Brody, 2010; 9 of its 174 studies overlapped), the psychological and interpersonal correlates of sexual dysfunction (L. Brotto et al., 2016; 1 of its 364 articles overlapped), the links between sexual activity and both physical and mental health (Levin, 2007; 5 of its 74 articles overlapped), and links from women’s orgasms and well-being (Dienberg et al., 2023; 6 of its 85 studies overlapped) demonstrated similar low levels of overlap with the current review. Notably, although Meston et al. (2004b) published a narrative review of 323 articles examining women’s orgasms, the extremely broad scope of that review represented such a distinct focus that none of its articles overlapped with those in the current meta-analysis.\nSystematic reviews. The current comprehensive literature search also uncovered a number of relevant systematic reviews that have been published in the last 5 years. Given the distinct and slightly more narrow conceptual focuses of these reviews, they only demonstrated nominal overlap with the current review as they examined: (1) etiological factors shaping female sexuality (Ourania et al., 2024; 3 of its 21 studies overlapped), (2) predictors of sexual satisfaction (Rausch & Rettenberger, 2021; 6 of its 109 provided citations overlapped), (3) factors linked to sexual functioning in people living with HIV (Huntingdon et al., 2020; none of its 26 studies overlapped), and (4) factors linked to distress over lower sexual functioning (Stotz et al., 2025; 1 of its 19 studies overlapped). Finally, the current literature search uncovered a single meta-analytic systematic review with a related focus: examining various aspects of sexual communication and their links to sexual and relationship functioning (Mallory, 2022). However, given its primary focus on aspects of sexual communication, only 5 of its 93 studies overlapped with the current review.\nTaken as a set, this overview of reviews of sexual health (and their markedly low levels of overlap with the current review) suggests that the current review offers a unique contribution to the current literature, integrating findings across a wide range of disparate fields and testing novel path models to evaluate unique (i.e., incremental) links from the various aspects of sexual health to the correlates examined. It also represents the first review to systematically examine the correlates of orgasmic functioning within the broader context of a multivariate conceptualization of sexual health, evaluating the unique links between orgasms and both individual and interpersonal functioning after controlling for other key aspects of sexual health.\nWith the aim of integrating and summarizing research across various domains of functioning, the current study draws from literature in social psychology, clinical psychology, and the medical literature to provide a meta-analytic review of associations between orgasms, and individual and relationship functioning. Based on the previous literature, we anticipated that all six of the sexual health dimensions (i.e., sexual satisfaction, orgasms, sexual desire, lack of pain, lubrication, erectile function) would show significant bivariate meta-analytic correlations to lower distress, greater well-being, better physical health, higher relationship satisfaction/quality, lower attachment anxiety, and lower attachment avoidance. To extend that bivariate literature, our hypotheses focused on a set of multivariate path analyses examining unique links between aspects of sexual health and the correlates. Notably, the multivariate question of unique or incremental predictive validity among aspects of sexual health (when examining links to correlates) represents an entirely novel contribution to the field, as it had not been comprehensively explored across the 1262 full-text records screened for the current meta-analysis, nor within the 228 records within the current meta-analysis. As seen in Figure 2, we conceptualized the more focused indicators of sexual health (orgasms, sexual desire, lack of pain, lubrication, & erectile function) as individual components feeding into sexual satisfaction. Thus, higher levels of functioning on each of those key components were hypothesized to uniquely promote greater sexual satisfaction (i.e., incrementally contributing to greater positive global evaluations; Hypothesis 1). As seen in Figure 2A, for four of the correlates examined (i.e., distress, well-being, physical health, relationship satisfaction), we hypothesized that sexual satisfaction would demonstrate strong proximal links to those more global forms of functioning. Thus, we hypothesized that even after controlling for the other forms of sexual health, higher sexual satisfaction would predict lower distress (Hypothesis 2A), greater well-being (Hypothesis 2B), better physical health (Hypothesis 2C), and higher relationship satisfaction/quality (Hypothesis 2D). Those hypotheses thereby propose that the more specific indicators of sexual health would be indirectly linked to the individual global functioning correlates via their links with sexual satisfaction (Hypothesis 3). After controlling for those indirect links, we further hypothesized that those more specific components of sexual health (including orgasmic functioning) would show unique predictive links to this set of correlates, further highlighting the central nature of sexual health in the lives of individuals (Hypothesis 4). As attachment avoidance and anxiety reflect more stable characteristics that individuals bring into sexual relationships and encounters (consistent with the EVSA and ASA models), we used a different model to examine associations between those correlates and sexual health. As shown in Figure 2B, we hypothesized that greater attachment insecurities would be linked to lower levels of sexual functioning on the more focused indicators (Hypothesis 5), thereby showing indirect links to lower sexual satisfaction (Hypothesis 6). Even after controlling for those indirect paths involving the more focused aspects of sexual health, we finally hypothesized that greater attachment insecurities would be uniquely linked to lower sexual satisfaction (Hypothesis 7).\nPotential Moderators. Drawing from previous research, the current study examined a set of moderators primarily focused on identifying subpopulations more likely to experience difficulties achieving orgasms, hypothesizing that the associations with experiencing orgasms would be stronger in those challenged populations. Given the marked gender disparities already uncovered in this field of research (e.g., Armstrong et al., 2012; Blair et al., 2018), gender of participants was used as the primary moderator, anticipating that the correlations might be stronger in women given their lower rates of achieving orgasms. To allow the analyses to be sensitive to the demographic differences across samples, a number of study-level moderating variables were also extracted and examined. As sex drive and sexual performance vary with age (e.g., Gades et al., 2008; Twenge et al., 2017), orgasms might take on substantively different levels of salience for psychological and relationship health across the lifespan. Consequently, the average age within each sample was tested as a possible moderator, anticipating that orgasms might show stronger associations in older individuals. In addition, given the lower levels of sexual health found among individuals suffering from mental or physical disorders (e.g., Atarodi-Kashani et al., 2017; S. Chang et al., 2012), the type of population sampled within each study (i.e., clinical or nonclinical) was also examined as a moderator, anticipating that the associations would be stronger within clinical populations. Finally, to directly examine any potential publication bias, the publication status of each study (i.e., published or unpublished research) was examined as a possible moderator. If publication bias was present, we hypothesized that the association biases would therefore be stronger within the published literature.\n\n\n### 1.1. Conceptualizing Sexual Health\nSexual Health as a Central Process. Defining sexual health is a complex task, as it encompasses physical, emotional, mental, and social well-being (World Health Organization, 2002). As sexual health is not merely the absence of dysfunction, but a holistic experience of well-being, it remains imperative to investigate sexual functioning in its scope beyond dysfunctionality. As such, pleasurable sexual experiences do not focus only on achieving orgasms or other physiological factors such as vaginal lubrication, erectile function, or lack of pain, but also include emotional components such as sexual desire, sexual arousal, and sexual satisfaction. Consistent with this, internationally validated sexual health measurement scales such as the Derogatis Sexual Functioning Inventory (DSFI; Derogatis & Melisaratos, 1979; Derogatis, 1997), Female Sexual Function Index (FSFI; R. Rosen et al., 2000), and International Index of Erectile Function (IIEF; R. C. Rosen et al., 1997) provide the tools for researchers to embrace a more diverse and multivariate conceptualization of sexual health (i.e., including sexual satisfaction, orgasmic functioning, sexual desire, vaginal lubrication, lack of pain, and erectile functioning). Thus, although a large body of work has incidentally examined sexual dysfunctions as secondary symptoms of physical health issues (such as cancer, obesity, or psychiatric diagnoses; e.g., Castellini et al., 2010; K. Conroy, 2018; Hoyer et al., 2009), the current review applies a novel lens to this literature by examining sexual health as a critical aspect of individual and interpersonal well-being that spans a wide range of populations (both clinical and non-clinical) as well as a wide range of contexts (representing a set of dynamic processes rather than just secondary symptoms).\nOrgasms as One Component of Sexual Health. A growing body of work has more specifically focused on orgasmic functioning as a key aspect of sexual health (e.g., Abramov, 1976; Brezsnyak & Whisman, 2004; Brody & Costa, 2009; Ellsworth & Bailey, 2013; Leavitt et al., 2021; Mangas et al., 2024). In fact, there is evidence suggesting that orgasms are still widely perceived as a key goal, if not the ultimate goal of sexual activity (e.g., E. Opperman et al., 2014; Vail-Smith et al., 2023; Walker & Lutmer, 2023), supporting their use as a marker of sexual health. As a counterpoint to those findings, an emerging area of research has also noted limitations of placing too much weight on orgasms alone, pointing out that: (1) not all orgasms are pleasurable (e.g., Chadwick et al., 2019), (2) sexual pleasure consists of other crucial elements as well (e.g., Chadwick et al., 2019), (3) satiating sexual pleasure can be achieved without orgasming (e.g., E. Opperman et al., 2014), and (4) some individuals even experience orgasms despite engaging in unpleasurable or coerced sexual activity (e.g., Chadwick et al., 2019). Thus, to integrate these perspectives, when reviewing the literature on how orgasms are linked to physical, mental, and relationship functioning, it is critical to examine orgasmic functioning within the broader multivariate context of sexual health. Thus, the current review examined orgasmic functioning alongside the other key aspects of sexual health, including sexual satisfaction, desire, lack of pain, vaginal lubrication, and erectile function. This allowed us to uncover the unique links between each aspect of sexual health and various aspects of individual functioning.\nModeling Sexual Health. Although scales like the FSFI and IIEF served to operationalize as many as eight distinct facets of sexual health across men and women, those aspects of sexual health are fundamentally interrelated and therefore notably correlated with one another. Thus, in examining the links between components of sexual health and various aspects of well-being, the current review sought to incorporate those interrelations within multivariate path models. Specifically, the current review conceptualized sexual satisfaction as an overarching construct and the other components of sexual health as key contributors to that global evaluation.\n\n\n### 1.2. Overview of Research on Orgasms\nTo ground the current review within a broader perspective of the diversity of studies that have examined orgasmic functioning, the following sections provide a brief overview of the broader orgasmic functioning literature. The following overview also allows us to briefly review many of the studies that helped to shape the various fields of research on orgasms but did not meet the criteria to be included in the current meta-analysis. Finally, it allows us to describe some specific studies to provide a deeper sense of the methods commonly used across these studies. Within the literature, experiencing orgasms has been assessed and quantified in three main ways: (1) frequency of orgasms within a recent time frame (e.g., in the last month), (2) consistency of achieving orgasms from sexual activity (e.g., proportion of sexual encounters or activity that results in orgasms), or (3) a group contrast between individuals experiencing orgasms and those not experiencing orgasms (either at a lifetime level or from recent sexual activity). Given these differing operationalizations, we will use the terms “orgasmic functioning,” “orgasms,” and “experiencing orgasms” as umbrella terms to represent all three conceptualizations.\nOrgasm Gender Gap. When examining the salience of orgasms in the lives of men and women, the first issue that needs to be acknowledged is that the ability to achieve orgasms is quite different across the sexes. For example, a nationally representative sample of Australians suggested that 95% of men achieved orgasm in their most recent sexual encounter, compared to only 69% of women (Richters et al., 2006). Consistent with this, data from a national probability sample of 3159 individuals in the United States (the National Health and Social Life Survey) suggested that although 75% of men reported “always” having an orgasm during sexual activity with a partner, only 29% of women reported the same level of consistency (Laumann et al., 2000). These findings were echoed in a sample of 833 college students with 28% of women and only 3% of men reporting never orgasming with partners, and another 23% of women and only 3% of men reporting only “sometimes” orgasming (Wade et al., 2005). In fact, estimates from a national sample of over 52,000 adults suggest that 95% of heterosexual men in the United States are able to experience orgasms from sexual activity compared to only 65% of heterosexual women (Frederick et al., 2018). Women experience orgasms significantly less frequently than men in casual sexual encounters as well as in committed relationships (e.g., Armstrong et al., 2012; Blair et al., 2018; Frederick et al., 2018). Although they have triggered debate within the field (e.g., Brody et al., 2018; Levin, 2007, 2012a, 2012b; Prause, 2012a, 2012b), a number of studies have even suggested that gender differences might appear most pronounced (and show particularly strong associations) for specific types of orgasms from specific forms of sexual activity (e.g., penile-vaginal intercourse—PVI—without clitoral stimulation; e.g., Blair et al., 2018; Brody & Costa, 2008, 2009; Brody et al., 2010; Costa & Brody, 2007; see Brody, 2006, 2010 for reviews). Despite results suggesting that men and women report comparable levels of overall satisfaction with their sex lives (e.g., Shaw & Rogge, 2016), similar gender differences to those observed with orgasms have emerged for reports of sexual desire (e.g., Regan & Atkins, 2006) and sexual pain (e.g., R. Rosen et al., 2000; Stephenson et al., 2011). Recent results in nationally representative samples continue to support an orgasm gender gap, potentially due to lower frequencies of clitoral stimulation in heteronormative sex (Andrejek et al., 2022; for a review see Andrejek et al., 2025).\nOrgasms as Health Correlates. In the medical and treatment literature, the frequency and the ability to achieve orgasms have often been conceptualized as a health correlate. For example, in depression and depression treatment research, difficulty or inability to achieve orgasms has often been studied as a correlate of depressive symptoms (e.g., S. Chang et al., 2012; Kuffel & Heiman, 2006; Laurent & Simons, 2009), as well as a side effect of antidepressant medication (especially selective serotonin reuptake inhibitors; e.g., Berman et al., 2011; Khazaie et al., 2015; Krishna et al., 2011). Orgasmic functioning has also been examined as a secondary symptom in studies of Parkinson’s disease (e.g., Celikel et al., 2008; Lipe et al., 1990), multiple sclerosis (e.g., Fragla et al., 2014; Sahay et al., 2012), cancer (e.g., L. A. Brotto et al., 2008; Flynn et al., 2013), chronic pain (e.g., Aubin et al., 2008; Ciftci et al., 2011), and other medical disorders that may impact sexual functioning (e.g., Atarodi-Kashani et al., 2017; Bouhlel et al., 2017; Caruso et al., 2012; J. Strizzi et al., 2015). Although not the primary focus of these studies, this has yielded a body of work linking the symptom of orgasmic difficulties to depressive symptoms.\nDifficulty with Orgasms as a Disorder. In addition to exploring orgasm difficulties as a secondary dysfunction associated with existing medical disorders, they have also been investigated as primary sexual dysfunctions (e.g., Meston et al., 2004a). The 5th edition of the Diagnostic and Statistical Manual of Mental Disorders (American Psychiatric Association, 2013) lists a number of sexual dysfunctions, including those of arousal, drive, and pain. It specifically includes three disorders of orgasm functions: Female Orgasmic Disorder, Delayed Ejaculation, and Premature (Early) Ejaculation (American Psychiatric Association, 2013). While there is some literature exploring the nature, presentation, and etiology of specific sexual dysfunctions (e.g., Brody, 2017; Feldman & Larsen, 2014; Graham, 2014; Hunter & Goodie, 2017; Laan & Rellini, 2012), most research in this area aggregates sexual dysfunctions when examining their correlates (e.g., Du et al., 2016; Galinsky, 2012) rather than examining specific (e.g., orgasmic) sexual dysfunctions separately. That literature has robustly demonstrated the negative correlates of such disorders for individual and interpersonal functioning, highlighting importance of healthy sexual functioning in daily life (e.g., De Amicis et al., 1984; Fisher et al., 2005; Jiann et al., 2013).\nOrgasms as a Relationship Process. A small but growing body of literature has begun to examine sexual behavior as a key process in romantic relationships. Findings across this body of work suggest that frequency of orgasms is positively linked to other aspects of sexual health (e.g., greater sexual desire and satisfaction, less time needed to achieve sexual arousal; e.g., Brody, 2007; Hurlbert & Whittaker, 1991). Studies have also linked orgasms to greater relationship quality and marital satisfaction (e.g., Brody & Weiss, 2011; Costa & Brody, 2007; Guo et al., 2004; Hurlbert & Whittaker, 1991; Rowland & Kolba, 2019) and to greater relationship investment (e.g., Ellsworth & Bailey, 2013). Although a majority of these studies have focused specifically on the importance of women’s orgasms, a handful of studies have linked higher rates of orgasm consistency and frequency in men to higher levels of sexual satisfaction (e.g., Brody & Costa, 2009; Morokqff & Gillilland, 1993), relationship satisfaction (e.g., Brody & Costa, 2009; Frederick et al., 2018), and even lower mortality (e.g., Abramov, 1976; Persson, 1981).\nOrgasms as a Source of Well-Being. A promising vein of research focused primarily on orgasms in the lives of women has begun to examine links between sexual activity and individual well-being. For example, women who reported greater frequency of orgasms reported higher self-esteem (e.g., Hurlbert & Whittaker, 1991), lower subjective stress (e.g., Bodenmann et al., 2010; Pakpour et al., 2015), more effective life coping skills (and lower use of maladaptive coping strategies; e.g., Borissova et al., 2001; Brody et al., 2010). Inability to achieve orgasms on the other hand has been linked to higher attachment anxiety and lower overall satisfaction with life, health, and romantic relationships (e.g., Costa & Brody, 2011). The vast majority of the studies examining these links have been cross-sectional in nature, leaving potential directions of causality unclear. Results from one of the few studies to have employed a longitudinal design suggested that women’s enjoyment of sexual intercourse and men’s frequency of sexual intercourse was linked to greater longevity (i.e., longer life spans; Palmore, 1982).\n\n\n### 1.3. Sexual Health Correlates\nExtending the review of research focused on orgasmic functioning, the remaining aspects of sexual health have demonstrated similar links to physical and mental health as well as interpersonal functioning. For example, due in large part to the widespread adoption of the FSFI and IIEF within the medical literature, sexual satisfaction, sexual desire, a lack of sexual pain, and vaginal lubrication have each demonstrated links to lower psychological distress (e.g., Lew-Starowicz & Rola, 2014; Onem et al., 2008), lower attachment anxiety and attachment avoidance (e.g., Pinsky, 2016; van den Brink et al., 2016), greater well-being (e.g., Artune-Ulkumen et al., 2014; Demir et al., 2013), greater physical health (e.g., Khnaba et al., 2016; Morales et al., 2013), and greater relationship satisfaction (e.g., Stephenson & Meston, 2015; Witting et al., 2008a). This large body of predominantly cross-sectional findings therefore highlights the importance of examining the correlates of orgasms within the broader context of multiple forms of sexual health.\n\n\n### 1.4. Organizing Conceptual Framework\nMuch of the work examining orgasms has adopted a more clinical or practical approach, examining the correlates of orgasms to inform the treatment of medical and/or sexual disorders. The bulk of the work in this area has therefore been atheoretical by design. To begin to integrate this growing body of work into a coherent theoretical framework of both individual and relationship functioning, the current review drew upon the Enduring-Vulnerability Stress-Adaptation model of relationship functioning (EVSA; Karney & Bradbury, 1995) as well as the Attachment System Activation model (ASA; Shaver & Mikulincer, 2002). These models therefore informed the selection of correlates to be examined within the meta-analysis.\nEnduring-Vulnerability Stress-Adaptation Model. In their EVSA model, Karney and Bradbury (1995) highlight three key sets of processes that interact to shape the course of relationships over time: (1) enduring vulnerabilities (i.e., jagged edges of their personalities that individuals bring with them into relationships such as personality traits and attachment orientations), (2) stressful events (i.e., external events that could impact a relationship such as getting fired, illness, and conflict with family), and (3) adaptive processes (i.e., the adaptive and maladaptive dyadic processes that couples engage in response to life stressors, including constructs such as emotional support, negative conflict, and forgiveness; see Figure 1A for the proposed conceptual model modifying the EVSA to include sexual health). Within the EVSA model, enduring vulnerabilities can directly affect how partners interact with one another within the relationship (influencing dyadic adaptive processes), how the partners adapt in stressful situations (potentially interacting with life stress to exacerbate its impact on relationships), and can even serve to generate stressful life events for the couples to navigate. Stressful events are conceptualized as potentiating events that exert pressure on couples, forcing them to engage their emotion regulation and dyadic coping skills in response. Finally, the dyadic adaptive processes are viewed as most proximally linked to relationship quality, with healthy patterns of interaction helping to buffer relationships from the adverse effects of stress and enduring vulnerabilities, whereas maladaptive patterns are posited to exacerbate those negative effects. Notably, within the EVSA model, enduring vulnerabilities and maladaptive dyadic processes are presumed to require triggering by stressful life events to exert their full influence on relationship quality.\nExtending this model to focus specifically on sexual functioning (see Figure 1A), enduring vulnerabilities would likely include a diverse array of constructs such as comfort and knowledge of own body, biological difficulty in achieving orgasms, attitudes toward sex, and attachment orientation, as those trait-like qualities could not only influence dyadic behavior (e.g., affecting how individuals approach sexual activity and sexual communication), but could also serve to generate stress within the relationship (e.g., generating tension over differing views and expectations surrounding the sexual component of their relationships, generating disappointing sexual/intimate encounters). In the context of the EVSA model, failure to have an orgasm within a specific sexual encounter could be conceptualized as a stressful event, potentially interacting with enduring vulnerabilities like sexual expectations, and triggering the need for adaptive processes like greater sexual responsiveness, sexual communication, as well as compassion and empathy. The EVSA model would therefore suggest that adaptive processes like strong emotional support and healthy sexual communication could at least partially buffer relationships from the adverse effects of difficulties with orgasms, whereas maladaptive processes (e.g., withdrawal, avoidance, hostile behavior) would likely exacerbate those adverse effects. In fact, within the context of the EVSA model, the ability to consistently achieve orgasms during sexual activity with a partner could also be modeled as another adaptive process, thereby serving to buffer the relationship from stressful events or the jagged edges of both partners’ personalities. As the need for feeling connected to others has been conceptualized as a fundamental human need (Deci & Ryan, 2000), we conceptualized romantic relationship quality as a key marker of this basic need. As a result, we posited that relationship quality would serve as the most proximal factor (and therefore likely the main mechanism) linking sexual relationship processes to individual well-being.\nAttachment System Activation Model. To link the current investigation to another robust model in the field of couple’s research, the current study also conceptualized the ASA (Shaver & Mikulincer, 2002) as a more fine-grained model informed by the EVSA model. The ASA model (Figure 1B) expands upon Bowlby’s (1969, 1973, 1980, 1988) attachment theory by applying it to adult romantic relationships. Specifically, the ASA model highlights three main components: (1) appraisal of a threat (i.e., something causing stress to a relationship or triggering attachment insecurities), (2) individual attachment insecurities (most commonly conceptualized as attachment avoidance and attachment anxiety), and (3) reactive strategies (i.e., behavioral responses to a threat). Thus, within the ASA model, attachment insecurities are not conceptualized as directly impacting relationship quality. Instead, some sort of threat is required to activate the attachment system, triggering specific behavioral reactions involving either deactivating (e.g., withdrawal, emotion suppression) or hyperactivating (e.g., hypervigilance, rumination) strategies. Given this conceptualization, we see links between the ASA model and the EVSA model, as the ASA model takes a specific enduring vulnerability of attachment, concentrates on a specific subset of (mal)adaptive processes (i.e., deactivation and hyperactivation strategies), and conceptualizes threats as potentiating the activation of that system in a manner similar to the role of life stress in the EVSA model. Although sexual functioning could be considered an independent system from the attachment system, we assert that the ASA model could be meaningfully applied to sexual functioning. From a sexual functioning perspective, orgasm difficulties and a failure to achieve an orgasm during a sexual encounter with a partner could be conceptualized as a possible threat (i.e., a failure of that masculinity achievement, see Chadwick & van Anders, 2017), activating the attachment system, and thereby promoting deactivation and hyperactivation strategies. Thus, a partner with high levels of attachment avoidance (i.e., feeling uncomfortable with emotional disclosure and intimacy) might withdraw when faced with orgasm difficulties, avoiding communication as well as avoiding further sexual intimacy. Such deactivation strategies would in turn impact relationship quality and eventually individual functioning over time. In contrast, a partner with high levels of attachment anxiety (i.e., a general tendency to feel that partners do not love you as much as you love them leading to excessive preoccupation and worry) might hyper-engage their partner when faced with orgasm difficulties, ruminating over the issue, and possibly becoming demanding and requiring excessive validation. Given this conceptual framework, the current review focused on examining an array of correlates of orgasms spanning the various components of these models (see bolded examples in Figure 1).\n\n\n### 1.5. Previous Reviews\nNarrative reviews. The current comprehensive literature search (described below) failed to identify any published meta-analytic systematic reviews with a comparably broad focus (i.e., exploring associations amongst components of sexual health and between those components and a range of factors representing individual and relationship functioning). However, the current literature search did uncover a number of published narrative reviews that focused on related topics. For example, White and Reamy (1982) published a narrative review of 74 articles examining sex during pregnancy, however none of their articles overlapped with the current sample of 228 records. Similarly, narrative reviews of female sexual functioning in old age (Wood et al., 2012; 3 of its 58 articles overlapped with the current review), the health benefits of various sexual activities (Brody, 2010; 9 of its 174 studies overlapped), the psychological and interpersonal correlates of sexual dysfunction (L. Brotto et al., 2016; 1 of its 364 articles overlapped), the links between sexual activity and both physical and mental health (Levin, 2007; 5 of its 74 articles overlapped), and links from women’s orgasms and well-being (Dienberg et al., 2023; 6 of its 85 studies overlapped) demonstrated similar low levels of overlap with the current review. Notably, although Meston et al. (2004b) published a narrative review of 323 articles examining women’s orgasms, the extremely broad scope of that review represented such a distinct focus that none of its articles overlapped with those in the current meta-analysis.\nSystematic reviews. The current comprehensive literature search also uncovered a number of relevant systematic reviews that have been published in the last 5 years. Given the distinct and slightly more narrow conceptual focuses of these reviews, they only demonstrated nominal overlap with the current review as they examined: (1) etiological factors shaping female sexuality (Ourania et al., 2024; 3 of its 21 studies overlapped), (2) predictors of sexual satisfaction (Rausch & Rettenberger, 2021; 6 of its 109 provided citations overlapped), (3) factors linked to sexual functioning in people living with HIV (Huntingdon et al., 2020; none of its 26 studies overlapped), and (4) factors linked to distress over lower sexual functioning (Stotz et al., 2025; 1 of its 19 studies overlapped). Finally, the current literature search uncovered a single meta-analytic systematic review with a related focus: examining various aspects of sexual communication and their links to sexual and relationship functioning (Mallory, 2022). However, given its primary focus on aspects of sexual communication, only 5 of its 93 studies overlapped with the current review.\nTaken as a set, this overview of reviews of sexual health (and their markedly low levels of overlap with the current review) suggests that the current review offers a unique contribution to the current literature, integrating findings across a wide range of disparate fields and testing novel path models to evaluate unique (i.e., incremental) links from the various aspects of sexual health to the correlates examined. It also represents the first review to systematically examine the correlates of orgasmic functioning within the broader context of a multivariate conceptualization of sexual health, evaluating the unique links between orgasms and both individual and interpersonal functioning after controlling for other key aspects of sexual health.\n\n\n### 1.6. Present Meta-Analysis\nWith the aim of integrating and summarizing research across various domains of functioning, the current study draws from literature in social psychology, clinical psychology, and the medical literature to provide a meta-analytic review of associations between orgasms, and individual and relationship functioning. Based on the previous literature, we anticipated that all six of the sexual health dimensions (i.e., sexual satisfaction, orgasms, sexual desire, lack of pain, lubrication, erectile function) would show significant bivariate meta-analytic correlations to lower distress, greater well-being, better physical health, higher relationship satisfaction/quality, lower attachment anxiety, and lower attachment avoidance. To extend that bivariate literature, our hypotheses focused on a set of multivariate path analyses examining unique links between aspects of sexual health and the correlates. Notably, the multivariate question of unique or incremental predictive validity among aspects of sexual health (when examining links to correlates) represents an entirely novel contribution to the field, as it had not been comprehensively explored across the 1262 full-text records screened for the current meta-analysis, nor within the 228 records within the current meta-analysis. As seen in Figure 2, we conceptualized the more focused indicators of sexual health (orgasms, sexual desire, lack of pain, lubrication, & erectile function) as individual components feeding into sexual satisfaction. Thus, higher levels of functioning on each of those key components were hypothesized to uniquely promote greater sexual satisfaction (i.e., incrementally contributing to greater positive global evaluations; Hypothesis 1). As seen in Figure 2A, for four of the correlates examined (i.e., distress, well-being, physical health, relationship satisfaction), we hypothesized that sexual satisfaction would demonstrate strong proximal links to those more global forms of functioning. Thus, we hypothesized that even after controlling for the other forms of sexual health, higher sexual satisfaction would predict lower distress (Hypothesis 2A), greater well-being (Hypothesis 2B), better physical health (Hypothesis 2C), and higher relationship satisfaction/quality (Hypothesis 2D). Those hypotheses thereby propose that the more specific indicators of sexual health would be indirectly linked to the individual global functioning correlates via their links with sexual satisfaction (Hypothesis 3). After controlling for those indirect links, we further hypothesized that those more specific components of sexual health (including orgasmic functioning) would show unique predictive links to this set of correlates, further highlighting the central nature of sexual health in the lives of individuals (Hypothesis 4). As attachment avoidance and anxiety reflect more stable characteristics that individuals bring into sexual relationships and encounters (consistent with the EVSA and ASA models), we used a different model to examine associations between those correlates and sexual health. As shown in Figure 2B, we hypothesized that greater attachment insecurities would be linked to lower levels of sexual functioning on the more focused indicators (Hypothesis 5), thereby showing indirect links to lower sexual satisfaction (Hypothesis 6). Even after controlling for those indirect paths involving the more focused aspects of sexual health, we finally hypothesized that greater attachment insecurities would be uniquely linked to lower sexual satisfaction (Hypothesis 7).\nPotential Moderators. Drawing from previous research, the current study examined a set of moderators primarily focused on identifying subpopulations more likely to experience difficulties achieving orgasms, hypothesizing that the associations with experiencing orgasms would be stronger in those challenged populations. Given the marked gender disparities already uncovered in this field of research (e.g., Armstrong et al., 2012; Blair et al., 2018), gender of participants was used as the primary moderator, anticipating that the correlations might be stronger in women given their lower rates of achieving orgasms. To allow the analyses to be sensitive to the demographic differences across samples, a number of study-level moderating variables were also extracted and examined. As sex drive and sexual performance vary with age (e.g., Gades et al., 2008; Twenge et al., 2017), orgasms might take on substantively different levels of salience for psychological and relationship health across the lifespan. Consequently, the average age within each sample was tested as a possible moderator, anticipating that orgasms might show stronger associations in older individuals. In addition, given the lower levels of sexual health found among individuals suffering from mental or physical disorders (e.g., Atarodi-Kashani et al., 2017; S. Chang et al., 2012), the type of population sampled within each study (i.e., clinical or nonclinical) was also examined as a moderator, anticipating that the associations would be stronger within clinical populations. Finally, to directly examine any potential publication bias, the publication status of each study (i.e., published or unpublished research) was examined as a possible moderator. If publication bias was present, we hypothesized that the association biases would therefore be stronger within the published literature.\n\n\n### 2. Method\nThis opening section of the methods provides details of the systematic comprehensive review of the literature following the order established in the PRISMA 2020 checklist.\nRecords were eligible for inclusion in analyses based on the following criteria:written in any language that could be translated using AI tools;consisted of human participants only;contained independent samples (i.e., providing effects within a group of participants that have not been previously published in other articles out of that sample);included a measure of sexual satisfaction;Included at least one other dimension of sexual health OR included a measure of individual functioning (i.e., attachment, depression, distress, life satisfaction, loneliness, psychological well-being, negative affect, stress, well-being, vitality) OR relationship functioning (i.e., relationship quality, relationship satisfaction, attachment avoidance, attachment anxiety);provided statistical indices of a link between at least one aspect of sexual health and either another facet of sexual health OR one of the corresponding correlates (individual or relationship functioning). If relevant variables were measured but an effect of their association was not reported, authors of the record were contacted via repeated emails in an attempt to collect the relevant statistic;reported an effect size specifically either in the form of a Pearson’s r correlation coefficient, a standardized regression coefficient, or other statistical value from which a Pearson’s r correlation coefficient or standardized regression coefficient could be computed (e.g., a 2 by 2 chi-squared, a Cohen’s d; see Section 2.7 for transformation formulas used).\nwritten in any language that could be translated using AI tools;\nconsisted of human participants only;\ncontained independent samples (i.e., providing effects within a group of participants that have not been previously published in other articles out of that sample);\nincluded a measure of sexual satisfaction;\nIncluded at least one other dimension of sexual health OR included a measure of individual functioning (i.e., attachment, depression, distress, life satisfaction, loneliness, psychological well-being, negative affect, stress, well-being, vitality) OR relationship functioning (i.e., relationship quality, relationship satisfaction, attachment avoidance, attachment anxiety);\nprovided statistical indices of a link between at least one aspect of sexual health and either another facet of sexual health OR one of the corresponding correlates (individual or relationship functioning). If relevant variables were measured but an effect of their association was not reported, authors of the record were contacted via repeated emails in an attempt to collect the relevant statistic;\nreported an effect size specifically either in the form of a Pearson’s r correlation coefficient, a standardized regression coefficient, or other statistical value from which a Pearson’s r correlation coefficient or standardized regression coefficient could be computed (e.g., a 2 by 2 chi-squared, a Cohen’s d; see Section 2.7 for transformation formulas used).\nA systematic literature search was conducted in accordance with PRISMA guidelines (Moher et al., 2009), using ProQuest, PubMed, and Web of Science for records available through the end of September 2025. Introduction sections and reverse citations of key research articles and review articles were also searched to ensure the completeness of the comprehensive search.\nGiven the central nature of sexual satisfaction in our conceptual models to be tested, we searched for articles including the term “sexual satisfaction.” In addition, the articles also had to either include components of sexual heath (e.g., orgasm, orgasm/ic frequency, orgasm/ic consistency, or orgasm/ic ability, orgasmic functioning) OR keywords representing individual and/or relationship functioning (depression, distress, life satisfaction, loneliness, positive affect, negative affect, stress, well-being, vitality, maintenance behavior, relationship conflict, relationship longevity, relationship quality, relationship satisfaction, relationship stability, support). To ensure the searches would pull records focused on these constructs, we restricted the searches to the titles, abstracts, and keywords of the articles. Records were evaluated if they contained at least one of the sexual health terms and at least one of the terms from the other search categories.\nAll extracted effects were evaluated for directionality to ensure that they were coded in appropriate directions. In the two records that offered similar correlational effects for two separate orgasm dimensions (orgasm consistency and frequency; Hurlbert et al., 1993; Klapilová et al., 2015), the two effects were averaged to prevent overrepresentation of those samples in the resulting meta-analyzed effects. The data extraction process was conducted and checked independently by two of the authors. Discrepancies were rare (.5%) and were resolved through discussion. A total of 1203 relevant effects were extracted from the 281 (sub)samples.\nA coding procedure was developed to extract relevant information from each study, including record level- and sample level-characteristics. Record level-characteristics included: record authors, year of publication, record title, journal, and record type (i.e., published and peer-reviewed article, dissertation, thesis, or book chapter). Sample level-characteristics included: sample size for each specific effect extracted, mean age of participants, percentage of male participants, percentage of Caucasian participants, percentage of married participants, country of sample population, and whether the sample was clinical or community based. Effects representing bi-variate associations among the six dimensions of sexual health were extracted whenever possible, as were bi-variate associations between the dimensions of sexual health and the six correlates (psychological distress, psychological well-being, physical health, relationship satisfaction, attachment avoidance, and attachment anxiety). Given the possibility that gender might moderate the associations between aspects of sexual health and well-being, we extracted separate effects for men and women whenever possible, thereby treating male and female respondents as distinct subsamples within the records presenting results by gender. Similarly, as the links between sexual health and individual functioning might differ within clinical and nonclinical populations, we extracted separate effects for those two populations whenever possible. We therefore use the term (sub)samples to refer to the resulting 281 distinct samples identified within the 228 records as some of those represent the full sample of a record and others represent subsamples. For a comprehensive overview of (sub)sample characteristics, see Table 1 and for a full listing of those records see Table 2.\nClassification of Sexual Health. Sexual health dimensions consisted of sexual satisfaction, orgasms, sexual desire, lack of pain, lubrication, and erectile function, and were most commonly measured using (1) the Female Sexual Function Index (FSFI-S; R. Rosen et al., 2000; used in 40% of the records), (2) single items developed for each study (used in 23% of the records), or (3) the International Index of Erectile Function (IIEF; R. C. Rosen et al., 1997; used in 8% of the records) with the remaining 29% of studies using a method of assessment unique to each study.\nSexual satisfaction was defined as a general satisfaction with sexual activity and overall sexual life (e.g., “How satisfied have you been with your sexual relationship with your partner?”). Orgasms were operationalized as a general ability to experience orgasms (i.e., group contrast between people who have had at least one orgasm from people who have not; e.g., “Within the past 12 months, have you been unable to achieve orgasms?”), consistency of orgasms (i.e., percentage or proportion of sexual encounters resulting in orgasms; e.g., “When you had sexual stimulation or intercourse, how often did you reach orgasm (climax)?”), or orgasm frequency (i.e., count of orgasms experienced during sexual encounters over a specific time frame; e.g., “On how many days in the last month did you orgasm during sexual activity?”). Sexual desire was conceptualized as a desire or interest in sexual activity (e.g., “How would you rate your level / degree of sexual desire or interest?”). Lack of pain was defined as lack of discomfort or pain during or following vaginal penetration (e.g., “How would you rate your level / degree of discomfort or pain during or following vaginal penetration”). Lubrication was defined as the ease and ability to become lubricated or maintain lubrication during sexual activity or intercourse (e.g., “How difficult was it to become lubricated (“wet”) during sexual activity or intercourse?”). Erectile function was conceptualized as the ability to become erect or maintain an erection during sexual activity or intercourse (e.g., “How often were you able to get an erection during sexual activity?”).\nClassification of Correlates. As represented in Figure 1, the current literature review aimed to extract correlates representing key components of the EVSA and ASA models. Although we attempted to assess a broader range of correlates (including the relationship factors of negative conflict, social/emotional support, and relationship stability), only seven distinct correlate domains emerged as having been examined within the previous literature: (1) psychological distress, (2) psychological well-being, (3) physical health, (4) attachment anxiety, (5) attachment avoidance, (6) relationship satisfaction, and (7) sexual satisfaction. Although a majority of the (sub)samples used well-validated measures (see the most commonly used measures listed below), 26% of the (sub)samples used single items to assess these correlates.\nRelationship Satisfaction. Relationship satisfaction was defined as a general satisfaction or happiness within a romantic relationship, reflecting its overall quality. This domain included a variety of variables fitting this definition, including relationship satisfaction, marital satisfaction, relationship quality, marital adjustment, and dyadic adjustment. Despite the range of construct names, these scales contained extremely similar item content (e.g., “How satisfied are you with your relationship?” “How rewarding was your relationship?” “How warm and comfortable was your relationship?”). The most common measure used to assess relationship satisfaction was the Relationship Assessment Scale (RAS; Hendrick et al., 1998).\nPsychological Distress. Psychological distress was defined as a difficult or negative psychological experience. This domain therefore included the more specific constructs of: depressive symptoms (e.g., the Beck Depression Inventory; BDI; Beck et al., 1996), psychological distress (e.g., the Mood and Anxiety Symptom Questionnaire; MASQ; Watson & Clark, 1991), anxiety (e.g., Hospital Anxiety and Depression Scale; HADS; Zigmond & Snaith, 1983), negative affect (e.g., the Positive and Negative Affect Schedule; PANAS; Watson et al., 1988), and stress (e.g., the Perceived Stress Scale; PSS; S. Cohen et al., 1983).\nPsychological Well-Being. Psychological well-being was defined as an adaptive or positive psychological experience and therefore included the constructs of: vitality (e.g., the Short-Form Health Survey; SF-36; Ware & Sherbourne, 1992), positive affect (e.g., the PANAS; Watson et al., 1988), well-being or mental adjustment (e.g., Martin et al., 1995), quality of life (e.g., the Quality of Life scale; QOL; Heinrichs et al., 1984), and life satisfaction (e.g., the Satisfaction With Life Scale; SWLS; Diener et al., 1985).\nPhysical Health. Physical health was defined as the perceived overall quality of physical health (e.g., “My health is excellent”). Thus, records reporting physical health as an orgasm correlate used the Short-Form Health Survey (the SF-36; Ware & Sherbourne, 1992; or the SF-12; Ware et al., 1996) or the physical health subscale of the World Health Organization Quality of Life Assessment (WHOQoL; WHOQoL Group, 1998).\nAttachment Anxiety and Avoidance. All records reporting attachment anxiety and avoidance as orgasm correlates used the Experiences in Close Relationships Questionnaire—Revised (ECR; Fraley et al., 2000).\nEffect Measures—Transforming Effects. A majority of the records presented effects as correlations (75%). When both the orgasm experience and correlates were converted into group contrasts (creating an effect in the form of a chi-squared, 7% of effects), that effect was first converted into a 2 × 2 chi-squared with one degree of freedom (collapsing groups if necessary). That allowed the use of the following formula to transform those values into Pearson’s r correlations (see Rosenberg, 2010 for the k correction to the typical formula): r = sqrt(χ2/nk), in which χ2 represents the chi-squared value, n represents the total number of participants used in the analysis, and k represents the ratio of proportions between groups (i.e., individuals able to achieve orgasms vs. individuals unable to achieve orgasms). When an odds ratio value was provided (4% of effects), the following formula was used to transform this value to a standardized regression coefficient: β = ln(OR). All effects presented as regression coefficients (11%) were transformed into correlations: rxy = βx × (SDx/SDy). When group means, standard deviations, and numbers of participants were provided (3% of effects), we computed a Cohen’s d and then transformed that into a Pearson’s r correlation coefficient: r = d/(d2 + a) where a = (n1 + n2)2/(n1n2).\nSynthesis Methods: Meta-Analytic Analyses. Analyses were conducted using Rstudio v.1.1.453 (R Core Team, 2018) using the foreign and metafor packages (R Core Team, 2017; Viechtbauer, 2010). Given the wide variety of sample populations, sample sizes, measurement instruments, and study designs, we used random-effects models to estimate our meta-analytic effects (Borenstein et al., 2009; H. Cooper et al., 2009). I2 estimates were used to estimate levels of heterogeneity among effect sizes. Cochran’s Q estimates were used to quantify each sample’s weighted contribution to the meta-analysis (Cochran, 1954). All extracted effects in their forms as correlations were transformed to Fisher’s Z values and weighted by sample size before analysis. These effects were then meta-analyzed, and the results were subsequently transformed back into correlations for ease of interpretation (Lipsey & Wilson, 2001). Meta-analytic effects were interpreted using J. Cohen’s (1992) correlational effect size guidelines, with r = .10 indicating a small effect, r = .30 indicating a moderate effect, and r = .50 indicating a large effect. The presence of potential outliers was assessed using the influence.measures function, which calculates outlier diagnostics (e.g., studentized residuals, Cook’s distances, covariance ratios), and identifies individual effects that are disproportionally influential to the overall effect. These analyses identified a handful of outlying effects. However, as results from analyses with and without the outliers remined relatively unchanged and excluding outliers could introduce additional biases, all reported results were from analyses conducted including that handful of outlying effects.\nStudy Risk of Publication Bias Assessment. Funnel plot asymmetry tests were conducted to evaluate the possibility of publication bias in this set of records. Funnel plots were visually inspected for asymmetrical distribution of effects around the funnel plot. This distribution was further tested using Egger’s regression tests (Egger et al., 1997). If asymmetry was present, trim and fill analyses were conducted to estimate the effect sizes that might have emerged without that bias (Duval & Tweedie, 2000). Publication bias was further examined using selection method analyses conducted in Rstudio with functions developed and validated by McShane et al. (2016). These analyses estimate the relative probability of a contradictory finding (i.e., non-significant or in the opposite direction) being included in the analysis in comparison to the probability of a consistent and significant finding being included. Thus, relative probabilities close to a value of 1.0 would suggest the presence of very little publication bias within the current sample, whereas relative probabilities much lower than 1.0 would suggest publication bias.\nIncremental Prediction Analyses. To examine the unique links between the various aspects of sexual health and each correlate, path analyses were run on meta-analytic correlation matrices within Mplus 7.11. Although we had planned on including erectile function as a dimension of sexual health in these analyses, there were insufficient studies providing correlations with erectile functioning to create the necessary meta-analytic correlation matrices. This restricted our path analyses to sexual satisfaction and the four remaining sexual health components (orgasms, desire, lack of pain, and lubrication). Sexual satisfaction was typically assessed as a global positive evaluation of individuals’ sex lives and therefore represents an overarching construct to which the other aspects of sexual health contribute. To recognize this within our path models, we allowed the other dimensions of sexual health to predict levels of sexual satisfaction (Figure 2). The correlates representing global functioning (distress, well-being, physical health, and relationship satisfaction) were then modeled as outcomes (Figure 2A), treating global sexual satisfaction as a mechanism linking the more specific components of sexual health to each correlate). The four more specific aspects of sexual health were also allowed to directly predict levels of the correlate, after controlling for: (1) their links to sexual satisfaction, (2) the link between sexual satisfaction and the correlate being examined, (3) the associations among those four more specific indices of sexual health, and (4) the unique predictive links of each of those four indices to the outcome. This allowed our models to estimate the unique predictive associations of each of those indices of sexual health. In contrast, the correlates of attachment anxiety and attachment avoidance were treated as predictors of both the four more focused aspects of sexual health as well as sexual satisfaction (which served as the outcome; Figure 2B). As the path models tested were fully saturated, they yielded a perfect fit.\nExploring Heterogeneity—Moderator Analyses. Meta-regression (using mixed effects models to accommodate the heterogeneity of the records) was used to assess the degree to which participant gender, participant age, (sub)sample population (i.e., clinical vs. nonclinical), and publication type moderated the associations between aspects of sexual health and the individual and relationship functioning correlates examined. More specifically, we focused our moderation on associations between aspects of sexual health and the correlates with sufficient numbers of (sub)samples to support the analyses: (1) sexual satisfaction (to examine moderation of the contribution of more specific sexual health factors to overall evaluations of sexual well-being; k = 118), (2) psychological distress (k = 84), (3) psychological well-being (k = 20), and (4) relationship satisfaction (k = 51). The moderators were entered into the meta-regressions simultaneously, thereby serving as controls for one another so that the analysis evaluated their unique moderation of the meta-analytic effects.\n\n\n### 2.1. Eligibility Criteria\nRecords were eligible for inclusion in analyses based on the following criteria:written in any language that could be translated using AI tools;consisted of human participants only;contained independent samples (i.e., providing effects within a group of participants that have not been previously published in other articles out of that sample);included a measure of sexual satisfaction;Included at least one other dimension of sexual health OR included a measure of individual functioning (i.e., attachment, depression, distress, life satisfaction, loneliness, psychological well-being, negative affect, stress, well-being, vitality) OR relationship functioning (i.e., relationship quality, relationship satisfaction, attachment avoidance, attachment anxiety);provided statistical indices of a link between at least one aspect of sexual health and either another facet of sexual health OR one of the corresponding correlates (individual or relationship functioning). If relevant variables were measured but an effect of their association was not reported, authors of the record were contacted via repeated emails in an attempt to collect the relevant statistic;reported an effect size specifically either in the form of a Pearson’s r correlation coefficient, a standardized regression coefficient, or other statistical value from which a Pearson’s r correlation coefficient or standardized regression coefficient could be computed (e.g., a 2 by 2 chi-squared, a Cohen’s d; see Section 2.7 for transformation formulas used).\nwritten in any language that could be translated using AI tools;\nconsisted of human participants only;\ncontained independent samples (i.e., providing effects within a group of participants that have not been previously published in other articles out of that sample);\nincluded a measure of sexual satisfaction;\nIncluded at least one other dimension of sexual health OR included a measure of individual functioning (i.e., attachment, depression, distress, life satisfaction, loneliness, psychological well-being, negative affect, stress, well-being, vitality) OR relationship functioning (i.e., relationship quality, relationship satisfaction, attachment avoidance, attachment anxiety);\nprovided statistical indices of a link between at least one aspect of sexual health and either another facet of sexual health OR one of the corresponding correlates (individual or relationship functioning). If relevant variables were measured but an effect of their association was not reported, authors of the record were contacted via repeated emails in an attempt to collect the relevant statistic;\nreported an effect size specifically either in the form of a Pearson’s r correlation coefficient, a standardized regression coefficient, or other statistical value from which a Pearson’s r correlation coefficient or standardized regression coefficient could be computed (e.g., a 2 by 2 chi-squared, a Cohen’s d; see Section 2.7 for transformation formulas used).\n\n\n### 2.2. Information Sources\nA systematic literature search was conducted in accordance with PRISMA guidelines (Moher et al., 2009), using ProQuest, PubMed, and Web of Science for records available through the end of September 2025. Introduction sections and reverse citations of key research articles and review articles were also searched to ensure the completeness of the comprehensive search.\n\n\n### 2.3. Search Strategy\nGiven the central nature of sexual satisfaction in our conceptual models to be tested, we searched for articles including the term “sexual satisfaction.” In addition, the articles also had to either include components of sexual heath (e.g., orgasm, orgasm/ic frequency, orgasm/ic consistency, or orgasm/ic ability, orgasmic functioning) OR keywords representing individual and/or relationship functioning (depression, distress, life satisfaction, loneliness, positive affect, negative affect, stress, well-being, vitality, maintenance behavior, relationship conflict, relationship longevity, relationship quality, relationship satisfaction, relationship stability, support). To ensure the searches would pull records focused on these constructs, we restricted the searches to the titles, abstracts, and keywords of the articles. Records were evaluated if they contained at least one of the sexual health terms and at least one of the terms from the other search categories.\n\n\n### 2.4. Data Collection Process\nAll extracted effects were evaluated for directionality to ensure that they were coded in appropriate directions. In the two records that offered similar correlational effects for two separate orgasm dimensions (orgasm consistency and frequency; Hurlbert et al., 1993; Klapilová et al., 2015), the two effects were averaged to prevent overrepresentation of those samples in the resulting meta-analyzed effects. The data extraction process was conducted and checked independently by two of the authors. Discrepancies were rare (.5%) and were resolved through discussion. A total of 1203 relevant effects were extracted from the 281 (sub)samples.\n\n\n### 2.5. Data Items\nA coding procedure was developed to extract relevant information from each study, including record level- and sample level-characteristics. Record level-characteristics included: record authors, year of publication, record title, journal, and record type (i.e., published and peer-reviewed article, dissertation, thesis, or book chapter). Sample level-characteristics included: sample size for each specific effect extracted, mean age of participants, percentage of male participants, percentage of Caucasian participants, percentage of married participants, country of sample population, and whether the sample was clinical or community based. Effects representing bi-variate associations among the six dimensions of sexual health were extracted whenever possible, as were bi-variate associations between the dimensions of sexual health and the six correlates (psychological distress, psychological well-being, physical health, relationship satisfaction, attachment avoidance, and attachment anxiety). Given the possibility that gender might moderate the associations between aspects of sexual health and well-being, we extracted separate effects for men and women whenever possible, thereby treating male and female respondents as distinct subsamples within the records presenting results by gender. Similarly, as the links between sexual health and individual functioning might differ within clinical and nonclinical populations, we extracted separate effects for those two populations whenever possible. We therefore use the term (sub)samples to refer to the resulting 281 distinct samples identified within the 228 records as some of those represent the full sample of a record and others represent subsamples. For a comprehensive overview of (sub)sample characteristics, see Table 1 and for a full listing of those records see Table 2.\n\n\n### 2.6. Classification of Variable Domains\nClassification of Sexual Health. Sexual health dimensions consisted of sexual satisfaction, orgasms, sexual desire, lack of pain, lubrication, and erectile function, and were most commonly measured using (1) the Female Sexual Function Index (FSFI-S; R. Rosen et al., 2000; used in 40% of the records), (2) single items developed for each study (used in 23% of the records), or (3) the International Index of Erectile Function (IIEF; R. C. Rosen et al., 1997; used in 8% of the records) with the remaining 29% of studies using a method of assessment unique to each study.\nSexual satisfaction was defined as a general satisfaction with sexual activity and overall sexual life (e.g., “How satisfied have you been with your sexual relationship with your partner?”). Orgasms were operationalized as a general ability to experience orgasms (i.e., group contrast between people who have had at least one orgasm from people who have not; e.g., “Within the past 12 months, have you been unable to achieve orgasms?”), consistency of orgasms (i.e., percentage or proportion of sexual encounters resulting in orgasms; e.g., “When you had sexual stimulation or intercourse, how often did you reach orgasm (climax)?”), or orgasm frequency (i.e., count of orgasms experienced during sexual encounters over a specific time frame; e.g., “On how many days in the last month did you orgasm during sexual activity?”). Sexual desire was conceptualized as a desire or interest in sexual activity (e.g., “How would you rate your level / degree of sexual desire or interest?”). Lack of pain was defined as lack of discomfort or pain during or following vaginal penetration (e.g., “How would you rate your level / degree of discomfort or pain during or following vaginal penetration”). Lubrication was defined as the ease and ability to become lubricated or maintain lubrication during sexual activity or intercourse (e.g., “How difficult was it to become lubricated (“wet”) during sexual activity or intercourse?”). Erectile function was conceptualized as the ability to become erect or maintain an erection during sexual activity or intercourse (e.g., “How often were you able to get an erection during sexual activity?”).\nClassification of Correlates. As represented in Figure 1, the current literature review aimed to extract correlates representing key components of the EVSA and ASA models. Although we attempted to assess a broader range of correlates (including the relationship factors of negative conflict, social/emotional support, and relationship stability), only seven distinct correlate domains emerged as having been examined within the previous literature: (1) psychological distress, (2) psychological well-being, (3) physical health, (4) attachment anxiety, (5) attachment avoidance, (6) relationship satisfaction, and (7) sexual satisfaction. Although a majority of the (sub)samples used well-validated measures (see the most commonly used measures listed below), 26% of the (sub)samples used single items to assess these correlates.\nRelationship Satisfaction. Relationship satisfaction was defined as a general satisfaction or happiness within a romantic relationship, reflecting its overall quality. This domain included a variety of variables fitting this definition, including relationship satisfaction, marital satisfaction, relationship quality, marital adjustment, and dyadic adjustment. Despite the range of construct names, these scales contained extremely similar item content (e.g., “How satisfied are you with your relationship?” “How rewarding was your relationship?” “How warm and comfortable was your relationship?”). The most common measure used to assess relationship satisfaction was the Relationship Assessment Scale (RAS; Hendrick et al., 1998).\nPsychological Distress. Psychological distress was defined as a difficult or negative psychological experience. This domain therefore included the more specific constructs of: depressive symptoms (e.g., the Beck Depression Inventory; BDI; Beck et al., 1996), psychological distress (e.g., the Mood and Anxiety Symptom Questionnaire; MASQ; Watson & Clark, 1991), anxiety (e.g., Hospital Anxiety and Depression Scale; HADS; Zigmond & Snaith, 1983), negative affect (e.g., the Positive and Negative Affect Schedule; PANAS; Watson et al., 1988), and stress (e.g., the Perceived Stress Scale; PSS; S. Cohen et al., 1983).\nPsychological Well-Being. Psychological well-being was defined as an adaptive or positive psychological experience and therefore included the constructs of: vitality (e.g., the Short-Form Health Survey; SF-36; Ware & Sherbourne, 1992), positive affect (e.g., the PANAS; Watson et al., 1988), well-being or mental adjustment (e.g., Martin et al., 1995), quality of life (e.g., the Quality of Life scale; QOL; Heinrichs et al., 1984), and life satisfaction (e.g., the Satisfaction With Life Scale; SWLS; Diener et al., 1985).\nPhysical Health. Physical health was defined as the perceived overall quality of physical health (e.g., “My health is excellent”). Thus, records reporting physical health as an orgasm correlate used the Short-Form Health Survey (the SF-36; Ware & Sherbourne, 1992; or the SF-12; Ware et al., 1996) or the physical health subscale of the World Health Organization Quality of Life Assessment (WHOQoL; WHOQoL Group, 1998).\nAttachment Anxiety and Avoidance. All records reporting attachment anxiety and avoidance as orgasm correlates used the Experiences in Close Relationships Questionnaire—Revised (ECR; Fraley et al., 2000).\n\n\n### 2.7. Statistical Analyses\nEffect Measures—Transforming Effects. A majority of the records presented effects as correlations (75%). When both the orgasm experience and correlates were converted into group contrasts (creating an effect in the form of a chi-squared, 7% of effects), that effect was first converted into a 2 × 2 chi-squared with one degree of freedom (collapsing groups if necessary). That allowed the use of the following formula to transform those values into Pearson’s r correlations (see Rosenberg, 2010 for the k correction to the typical formula): r = sqrt(χ2/nk), in which χ2 represents the chi-squared value, n represents the total number of participants used in the analysis, and k represents the ratio of proportions between groups (i.e., individuals able to achieve orgasms vs. individuals unable to achieve orgasms). When an odds ratio value was provided (4% of effects), the following formula was used to transform this value to a standardized regression coefficient: β = ln(OR). All effects presented as regression coefficients (11%) were transformed into correlations: rxy = βx × (SDx/SDy). When group means, standard deviations, and numbers of participants were provided (3% of effects), we computed a Cohen’s d and then transformed that into a Pearson’s r correlation coefficient: r = d/(d2 + a) where a = (n1 + n2)2/(n1n2).\nSynthesis Methods: Meta-Analytic Analyses. Analyses were conducted using Rstudio v.1.1.453 (R Core Team, 2018) using the foreign and metafor packages (R Core Team, 2017; Viechtbauer, 2010). Given the wide variety of sample populations, sample sizes, measurement instruments, and study designs, we used random-effects models to estimate our meta-analytic effects (Borenstein et al., 2009; H. Cooper et al., 2009). I2 estimates were used to estimate levels of heterogeneity among effect sizes. Cochran’s Q estimates were used to quantify each sample’s weighted contribution to the meta-analysis (Cochran, 1954). All extracted effects in their forms as correlations were transformed to Fisher’s Z values and weighted by sample size before analysis. These effects were then meta-analyzed, and the results were subsequently transformed back into correlations for ease of interpretation (Lipsey & Wilson, 2001). Meta-analytic effects were interpreted using J. Cohen’s (1992) correlational effect size guidelines, with r = .10 indicating a small effect, r = .30 indicating a moderate effect, and r = .50 indicating a large effect. The presence of potential outliers was assessed using the influence.measures function, which calculates outlier diagnostics (e.g., studentized residuals, Cook’s distances, covariance ratios), and identifies individual effects that are disproportionally influential to the overall effect. These analyses identified a handful of outlying effects. However, as results from analyses with and without the outliers remined relatively unchanged and excluding outliers could introduce additional biases, all reported results were from analyses conducted including that handful of outlying effects.\nStudy Risk of Publication Bias Assessment. Funnel plot asymmetry tests were conducted to evaluate the possibility of publication bias in this set of records. Funnel plots were visually inspected for asymmetrical distribution of effects around the funnel plot. This distribution was further tested using Egger’s regression tests (Egger et al., 1997). If asymmetry was present, trim and fill analyses were conducted to estimate the effect sizes that might have emerged without that bias (Duval & Tweedie, 2000). Publication bias was further examined using selection method analyses conducted in Rstudio with functions developed and validated by McShane et al. (2016). These analyses estimate the relative probability of a contradictory finding (i.e., non-significant or in the opposite direction) being included in the analysis in comparison to the probability of a consistent and significant finding being included. Thus, relative probabilities close to a value of 1.0 would suggest the presence of very little publication bias within the current sample, whereas relative probabilities much lower than 1.0 would suggest publication bias.\nIncremental Prediction Analyses. To examine the unique links between the various aspects of sexual health and each correlate, path analyses were run on meta-analytic correlation matrices within Mplus 7.11. Although we had planned on including erectile function as a dimension of sexual health in these analyses, there were insufficient studies providing correlations with erectile functioning to create the necessary meta-analytic correlation matrices. This restricted our path analyses to sexual satisfaction and the four remaining sexual health components (orgasms, desire, lack of pain, and lubrication). Sexual satisfaction was typically assessed as a global positive evaluation of individuals’ sex lives and therefore represents an overarching construct to which the other aspects of sexual health contribute. To recognize this within our path models, we allowed the other dimensions of sexual health to predict levels of sexual satisfaction (Figure 2). The correlates representing global functioning (distress, well-being, physical health, and relationship satisfaction) were then modeled as outcomes (Figure 2A), treating global sexual satisfaction as a mechanism linking the more specific components of sexual health to each correlate). The four more specific aspects of sexual health were also allowed to directly predict levels of the correlate, after controlling for: (1) their links to sexual satisfaction, (2) the link between sexual satisfaction and the correlate being examined, (3) the associations among those four more specific indices of sexual health, and (4) the unique predictive links of each of those four indices to the outcome. This allowed our models to estimate the unique predictive associations of each of those indices of sexual health. In contrast, the correlates of attachment anxiety and attachment avoidance were treated as predictors of both the four more focused aspects of sexual health as well as sexual satisfaction (which served as the outcome; Figure 2B). As the path models tested were fully saturated, they yielded a perfect fit.\nExploring Heterogeneity—Moderator Analyses. Meta-regression (using mixed effects models to accommodate the heterogeneity of the records) was used to assess the degree to which participant gender, participant age, (sub)sample population (i.e., clinical vs. nonclinical), and publication type moderated the associations between aspects of sexual health and the individual and relationship functioning correlates examined. More specifically, we focused our moderation on associations between aspects of sexual health and the correlates with sufficient numbers of (sub)samples to support the analyses: (1) sexual satisfaction (to examine moderation of the contribution of more specific sexual health factors to overall evaluations of sexual well-being; k = 118), (2) psychological distress (k = 84), (3) psychological well-being (k = 20), and (4) relationship satisfaction (k = 51). The moderators were entered into the meta-regressions simultaneously, thereby serving as controls for one another so that the analysis evaluated their unique moderation of the meta-analytic effects.\n\n\n### 3. Results\nThe initial database searches (of ProQuest, PubMed, and Web of Science) yielded a total of 3168 unique records that were screened for eligibility by a minimum of two of the authors based on their titles and abstracts (see Figure 3 for a PRISMA diagram). In order to maximize inclusion of unpublished records, Google Scholar was used to conduct a comprehensive reverse citation on some of the most relevant and highly cited articles (included in the current meta-analysis) and on 3 relevant review articles (Brody, 2010; Levin, 2007; Meston et al., 2004b). This yielded another 750 records for a total of 3369 unique records. Screening of the titles and abstracts of those records yielded 1262 full-text articles that were screened by the first and second authors, yielding a final set of 228 unique records representing 281 independently analyzed (sub)samples.\nTable 1 presents an overarching summary of the 281 (sub)samples yielding the effects for this meta-analysis. Table 2 then presents details on each of the 228 records yielding those (sub)samples to ground the systematic review.\nParticipant Characteristics. Given the orgasm gender gap (e.g., Frederick et al., 2018; Laumann et al., 2000), 65% (134) of the resulting (sub)samples were focused exclusively on examining sexual functioning within women (Table 1). This general trend was balanced by some large-scale records collecting data from both genders or exclusively from men, yielding data from 63,171 men (25.4% of the comprehensive sample of 248,021 unique respondents) for the current meta-analysis. The 281 (sub)samples included in the current meta-analysis were notably international in their scope as the (sub)samples represented over 45 different countries (e.g., China, Italy, Poland, Portugal, Turkey) including one cross-cultural dissertation presenting data from 43 distinct countries (Feder, 2023). Thus, likely due to the international adoption of scales like the FSFI and the IIEF, the meta-analytic sample is reasonably globally representative, allowing the results to potentially generalize beyond just the United States and Western Europe. The sample was also reasonably diverse with 64% of respondents (within the 77% of the (sub)samples reporting ethnicity) identifying as Caucasian. Sample average ages ranged from 18 to 74 years old with a weighted average age of 37.1 (SD = 11.0), suggesting that a majority of the respondents were in their 20s, 30s, 40s and 50s. Although 30 of the records (13%) collected data from college students, the vast majority of the samples were drawn from community adults or clinical populations. Consistent with this, 77% of participants were in romantic relationships and the sample average relationship lengths ranged from 1.1 to 34.1 years with a weighted mean of 8.0 years (SD = 5.7; within the 78 records reporting). Taken together, these results highlight a diverse international sample made up largely of young and middle-aged adults typically in long-term romantic relationships.\nRecord/Manuscript Characteristics. Although the 281 subsamples were from articles published in peer-reviewed journals (92.5%), the comprehensive literature search also uncovered relevant unpublished doctoral dissertations (k = 12) and unpublished master’s theses (k = 9), which were included in the current meta-analyses to help defray the impact of possible publication bias (Table 2). In addition, for a majority of the records identified, the correlations between orgasm constructs and well-being were incidental to the main focus of the papers, with the relevant correlations simply showing up in a study-wide correlation matrix without any associated results narrative. In fact, only 81 records (35%) had the words orgasm or sexual satisfaction in the title. Thus, for A majority of the records in this meta-analytic sample, the significance of the relevant correlations would likely have had little impact on the publication of those manuscripts.\nThe (sub)samples had been published across a 54-year span, with a majority of the (sub)samples (77%) having been published in the last 15 years (Table 1). The (sub)samples were a fairly even mix of community adults and adults within specific clinical populations. As seen in Table 1, the clinical (sub)samples represented a large variety of different clinical diagnoses (i.e., over 34 distinct diagnoses, including: depression or anxiety, sexual dysfunction, cancer, menopause, and pregnancy). Most of the records included in this meta-analysis were cross-sectional in design (96%; see Table 2), and although a small number of records contained longitudinal designs, only a few reported longitudinal effects between orgasms and relevant correlates such as sexual satisfaction or positive affect (e.g., Burleson et al., 2007; Gunst et al., 2017). Similarly, only a small fraction of records collected data from both partners within a romantic relationship, and only a small handful of those records (e.g., Gewirtz-Meydan & Finzi-Dottan, 2018; Jones et al., 2018; Klapilová et al., 2015) analyzed the partner data dyadically with approaches like actor-partner interdependence modeling (APIM; e.g., Cook & Kenny, 2005).\nData Characteristics. A total of 1201 distinct effects were extracted from the 281 (sub)samples, yielding large numbers of effects (ranging from 169 to 329) for the correlates of relationship satisfaction and psychological distress, and smaller numbers of effects (ranging from 41 to 85) for the correlates of well-being, physical health, attachment anxiety and avoidance (Table 1). Although the comprehensive search screened for the relationship processes of negative conflict behavior and social support as possible orgasm correlates, the searches failed to uncover any records having examined those associations. Given the lower rate of studies examining men’s sexual health, the literature search only uncovered 9 records demonstrating links between erectile functioning and the correlates examined.\nThe dimensions of sexual health (i.e., sexual satisfaction, orgasms, sexual desire, lack of pain, lubrication, erectile function) were positively associated with one another (r = .265 to .555, k = 11 to 138; see bottom of Table 3 for full results). As anticipated, higher levels on each of the dimensions of sexual health were associated with lower levels of psychological distress (r = −.276 to −.148, k = 11 to 97), higher psychological well-being (r = .196 to .343, k = 12 to 23), higher physical health (r = .221 to .311, k = 9 to 12), lower levels of attachment anxiety (r = −.242 to −.145, k = 2 to 9), lower levels of attachment avoidance (r = −.237 to −.043, k = 2 to 22), and higher relationship satisfaction. (r = .182 to .554, k = 11 to 62).\nThe meta-analytic estimates of the bivariate associations among the constructs being examined (from Table 3) were submitted as correlation matrices to Mplus to evaluate the unique predictive links between each aspect of sexual health and the individual and interpersonal correlates examined. Table 4 and Figure 4 present the standardized path coefficients generated by these models for each of the correlates. Offering support for Hypothesis 1, orgasms, sexual desire, lack of sexual pain, and vaginal lubrication were each uniquely predictive of greater sexual satisfaction (Figure 4A–D) after controlling for their associations with one another. Consistent with Hypothesis 2, sexual satisfaction in turn, uniquely predicted lower psychological distress (Hypothesis 2A, Figure 4A), greater well-being (Hypothesis 2B, Figure 4B), better physical health (Hypothesis 2C, Figure 4C), and higher relationship satisfaction (Hypothesis 2D, Figure 4D), suggesting proximal associations with those indices of global functioning. Asymmetric confidence interval tests suggested significant indirect paths linking more focused components of sexual health to the correlates via higher sexual satisfaction (see Table 4), thereby offering partial support for Hypothesis 3. Thus, greater orgasms, sexual desire, and vaginal lubrication were indirectly linked to better functioning (lower distress and greater well-being, physical health, & relationship satisfaction) through their links to greater sexual satisfaction.\nAfter controlling for those indirect associations, three of the specific aspects of sexual health (orgasms, desire, and lack of pain) demonstrated additional direct links to individual and relationship functioning in the expected directions, offering partial support for Hypothesis 4. Thus, even after controlling for sexual satisfaction and the other aspects of sexual health, greater orgasmic functioning was uniquely linked to three of those four correlates (lower psychological distress, greater physical health, and greater relationship satisfaction) further augmenting its indirect links to those outcomes via higher sexual satisfaction. Similarly, a lack of sexual pain was uniquely linked to slightly lower psychological distress, greater well-being, greater physical health, and slightly higher relationship satisfaction. Finally, sexual desire was uniquely linked to greater well-being, physical health, and relationship satisfaction. After controlling for the other aspects of sexual health as well as indirect links to functioning via sexual satisfaction, multivariate suppressor effects emerged for vaginal lubrication. Thus, higher levels of the residual aspects of vaginal lubrication that were completely independent of levels of orgasms, desire, and sexual satisfaction were linked to slightly lower well-being, physical health, and relationship satisfaction.\nTurning to the path models examining attachment insecurities as predictors of sexual health, attachment avoidance was linked to lower levels of all four specific aspects of sexual health (Figure 4E) and attachment anxiety was linked to lower orgasms, greater sexual pain, and lower vaginal lubrication (Figure 4F), offering partial support for Hypothesis 5. As seen in Table 4, asymmetric confidence interval tests revealed significant indirect links between attachment insecurities and lower sexual satisfaction via their links to lower levels of the more specific aspects of sexual health, offering partial support for Hypothesis 6. Even after controlling for those indirect links through specific aspects of sexual health, both attachment avoidance (Figure 4E) and attachment anxiety (Figure 4F) demonstrated additional direct links to lower sexual satisfaction, supporting Hypothesis 7. Taken as a set, these path analysis findings highlight the unique roles that various aspects of sexual health play in the lives of individuals.\nModeration analyses were conducted to estimate the moderating effects of gender, (sub)sample population (i.e., clinical vs. nonclinical), age, and publication type on the bivariate associations between specific aspects of sexual health and the three correlates to which sexual health was linked across at least 20 studies (offering sufficient numbers of effects to support these analyses): psychological distress, well-being, and relationship satisfaction. As the specific components of sexual health were conceptualized as contributing to overall sexual satisfaction, moderation analyses were also conducted on those predictive links. Given the broad range of samples, methods, and measures employed across the 281 (sub)samples, the Q statistics for the effects examined were all significant, suggesting meaningful amounts of heterogeneity to support moderation analyses. Weighted random-effects meta-regression models were run using the metafor package in Rstudio to simultaneously test the unique effects of these four moderators on the links between orgasms and each of the outcomes. The terms testing the moderators were all centered on their weighted grand means prior to running the analyses. As shown in Table 5, when tested simultaneously, only a handful of significant moderation effects emerged from these analyses, thereby suggesting that a majority of the meta-analytic effects generalized across these moderators.\nModeration by Gender. Despite notable gender differences on orgasmic functioning and sexual desire between the primary genders, gender largely failed to emerge as a significant moderator for all but one of the effects tested. Gender only emerged as a unique moderator of links between orgasms and sexual satisfaction (β = −.172, p = .001). Thus, although orgasms are linked to higher satisfaction across both primary genders, this effect was predicted to be significantly stronger in women (β = .444) than in men (β = .444 − .172 = .272), suggesting that orgasmic functioning might be more salient for sexual satisfaction in women.\nModeration by Age. After controlling for the other moderators, average sample age emerged as a significant moderator of the links between orgasms and psychological distress (β = −.006, p = .002). As that predictor was centered at 37.1 years (the weighted mean across all samples), these results predict only a weak association for samples with average ages of 18.1 years (β = −.237 + (−19) × (−.006) = −.123) but a notably stronger association for samples with average ages of 57.1 (β = −.237 + (20) × (−.006) = −.357). Similarly, age significantly intensified the positive links between: (1) sexual desire and sexual satisfaction (β = .006, p = .032), (2) lack of pain during sex and sexual satisfaction (β = .012, p = .019), and (3) lack of pain during sex and relationship satisfaction (β = .008, p = .025).\nModeration by Clinical vs. Non-Clinical Population. Despite spanning over 33 distinct diagnoses, a majority of the conditions represented were more chronic in nature resulting in a shared experience of more chronic levels of impairment. Thus, we treated clinical vs. non-clinical populations as one of our moderators to be tested, collapsing across those individual disorders to focus on how impairment in health and individual functioning might impact the links examined. Population type emerged as a unique moderator of the links between orgasms and sexual satisfaction (β = .130, p = .001), such that the association was significantly stronger in samples drawn from clinical populations. This suggests that orgasmic functioning might take on particular salience for well-being in clinical populations.\nAs seen in Table 5, after controlling for the other moderators, publication status failed to emerge as a significant moderator of the links between specific aspects of sexual health and the constructs with sufficient numbers of effects to support meta-analytic regressions. This suggests that the 9 effects tested (for which publication status could be tested as a moderator) did not significantly differ between published peer-reviewed and unpublished research (sub)samples. Consistent with this, Egger’s regression tests only identified significant funnel plot asymmetry for 20 of the 44 effects (see Table 3) and the resulting shifts in meta-analytic effect sizes from trim and fill analyses were largely minimal. In fact, the trim and fill analyses yielded unchanged estimates for 4 of those 20 effects and stronger estimates for 15 of them. This is likely a consequence of 7.5% of the (sub)samples being drawn from unpublished sources. It is also likely due in part to the fact that in roughly 65% of the records, the relevant effects being extracted were incidental to the main focus of those manuscripts (typically appearing within a study-wide correlation matrix without ever being discussed). As a result, the significance of those effects would have had no effect on the publishing decisions for those articles. Taken together, these findings converge to suggest that minimal levels of publication bias were present in the meta-analyzed effects.\nIn contrast, the relative probabilities estimated by selection method analyses (e.g., McShane et al., 2016) provide a note of caution to those broader publication bias findings. The relative probability of a contradictory finding (e.g., non-significant or in the opposite direction) being included in the current review was .75 or greater (suggesting fairly reasonable odds of finding published results that were either non-significant or even inconsistent with the predominant findings) for 27 of the 44 effects. However, the probabilities of contradictory findings being included for the remaining correlates were occasionally lower, suggesting that current meta-analytic effect estimates might have been slightly inflated by the publication (or inclusion) biases.\n\n\n### 3.1. Yield of Comprehensive Literature Search\nThe initial database searches (of ProQuest, PubMed, and Web of Science) yielded a total of 3168 unique records that were screened for eligibility by a minimum of two of the authors based on their titles and abstracts (see Figure 3 for a PRISMA diagram). In order to maximize inclusion of unpublished records, Google Scholar was used to conduct a comprehensive reverse citation on some of the most relevant and highly cited articles (included in the current meta-analysis) and on 3 relevant review articles (Brody, 2010; Levin, 2007; Meston et al., 2004b). This yielded another 750 records for a total of 3369 unique records. Screening of the titles and abstracts of those records yielded 1262 full-text articles that were screened by the first and second authors, yielding a final set of 228 unique records representing 281 independently analyzed (sub)samples.\n\n\n### 3.2. Overview of Records\nTable 1 presents an overarching summary of the 281 (sub)samples yielding the effects for this meta-analysis. Table 2 then presents details on each of the 228 records yielding those (sub)samples to ground the systematic review.\nParticipant Characteristics. Given the orgasm gender gap (e.g., Frederick et al., 2018; Laumann et al., 2000), 65% (134) of the resulting (sub)samples were focused exclusively on examining sexual functioning within women (Table 1). This general trend was balanced by some large-scale records collecting data from both genders or exclusively from men, yielding data from 63,171 men (25.4% of the comprehensive sample of 248,021 unique respondents) for the current meta-analysis. The 281 (sub)samples included in the current meta-analysis were notably international in their scope as the (sub)samples represented over 45 different countries (e.g., China, Italy, Poland, Portugal, Turkey) including one cross-cultural dissertation presenting data from 43 distinct countries (Feder, 2023). Thus, likely due to the international adoption of scales like the FSFI and the IIEF, the meta-analytic sample is reasonably globally representative, allowing the results to potentially generalize beyond just the United States and Western Europe. The sample was also reasonably diverse with 64% of respondents (within the 77% of the (sub)samples reporting ethnicity) identifying as Caucasian. Sample average ages ranged from 18 to 74 years old with a weighted average age of 37.1 (SD = 11.0), suggesting that a majority of the respondents were in their 20s, 30s, 40s and 50s. Although 30 of the records (13%) collected data from college students, the vast majority of the samples were drawn from community adults or clinical populations. Consistent with this, 77% of participants were in romantic relationships and the sample average relationship lengths ranged from 1.1 to 34.1 years with a weighted mean of 8.0 years (SD = 5.7; within the 78 records reporting). Taken together, these results highlight a diverse international sample made up largely of young and middle-aged adults typically in long-term romantic relationships.\nRecord/Manuscript Characteristics. Although the 281 subsamples were from articles published in peer-reviewed journals (92.5%), the comprehensive literature search also uncovered relevant unpublished doctoral dissertations (k = 12) and unpublished master’s theses (k = 9), which were included in the current meta-analyses to help defray the impact of possible publication bias (Table 2). In addition, for a majority of the records identified, the correlations between orgasm constructs and well-being were incidental to the main focus of the papers, with the relevant correlations simply showing up in a study-wide correlation matrix without any associated results narrative. In fact, only 81 records (35%) had the words orgasm or sexual satisfaction in the title. Thus, for A majority of the records in this meta-analytic sample, the significance of the relevant correlations would likely have had little impact on the publication of those manuscripts.\nThe (sub)samples had been published across a 54-year span, with a majority of the (sub)samples (77%) having been published in the last 15 years (Table 1). The (sub)samples were a fairly even mix of community adults and adults within specific clinical populations. As seen in Table 1, the clinical (sub)samples represented a large variety of different clinical diagnoses (i.e., over 34 distinct diagnoses, including: depression or anxiety, sexual dysfunction, cancer, menopause, and pregnancy). Most of the records included in this meta-analysis were cross-sectional in design (96%; see Table 2), and although a small number of records contained longitudinal designs, only a few reported longitudinal effects between orgasms and relevant correlates such as sexual satisfaction or positive affect (e.g., Burleson et al., 2007; Gunst et al., 2017). Similarly, only a small fraction of records collected data from both partners within a romantic relationship, and only a small handful of those records (e.g., Gewirtz-Meydan & Finzi-Dottan, 2018; Jones et al., 2018; Klapilová et al., 2015) analyzed the partner data dyadically with approaches like actor-partner interdependence modeling (APIM; e.g., Cook & Kenny, 2005).\nData Characteristics. A total of 1201 distinct effects were extracted from the 281 (sub)samples, yielding large numbers of effects (ranging from 169 to 329) for the correlates of relationship satisfaction and psychological distress, and smaller numbers of effects (ranging from 41 to 85) for the correlates of well-being, physical health, attachment anxiety and avoidance (Table 1). Although the comprehensive search screened for the relationship processes of negative conflict behavior and social support as possible orgasm correlates, the searches failed to uncover any records having examined those associations. Given the lower rate of studies examining men’s sexual health, the literature search only uncovered 9 records demonstrating links between erectile functioning and the correlates examined.\n\n\n### 3.3. Meta-Analytic Correlations\nThe dimensions of sexual health (i.e., sexual satisfaction, orgasms, sexual desire, lack of pain, lubrication, erectile function) were positively associated with one another (r = .265 to .555, k = 11 to 138; see bottom of Table 3 for full results). As anticipated, higher levels on each of the dimensions of sexual health were associated with lower levels of psychological distress (r = −.276 to −.148, k = 11 to 97), higher psychological well-being (r = .196 to .343, k = 12 to 23), higher physical health (r = .221 to .311, k = 9 to 12), lower levels of attachment anxiety (r = −.242 to −.145, k = 2 to 9), lower levels of attachment avoidance (r = −.237 to −.043, k = 2 to 22), and higher relationship satisfaction. (r = .182 to .554, k = 11 to 62).\n\n\n### 3.4. Meta-Analytic Path Analyses\nThe meta-analytic estimates of the bivariate associations among the constructs being examined (from Table 3) were submitted as correlation matrices to Mplus to evaluate the unique predictive links between each aspect of sexual health and the individual and interpersonal correlates examined. Table 4 and Figure 4 present the standardized path coefficients generated by these models for each of the correlates. Offering support for Hypothesis 1, orgasms, sexual desire, lack of sexual pain, and vaginal lubrication were each uniquely predictive of greater sexual satisfaction (Figure 4A–D) after controlling for their associations with one another. Consistent with Hypothesis 2, sexual satisfaction in turn, uniquely predicted lower psychological distress (Hypothesis 2A, Figure 4A), greater well-being (Hypothesis 2B, Figure 4B), better physical health (Hypothesis 2C, Figure 4C), and higher relationship satisfaction (Hypothesis 2D, Figure 4D), suggesting proximal associations with those indices of global functioning. Asymmetric confidence interval tests suggested significant indirect paths linking more focused components of sexual health to the correlates via higher sexual satisfaction (see Table 4), thereby offering partial support for Hypothesis 3. Thus, greater orgasms, sexual desire, and vaginal lubrication were indirectly linked to better functioning (lower distress and greater well-being, physical health, & relationship satisfaction) through their links to greater sexual satisfaction.\nAfter controlling for those indirect associations, three of the specific aspects of sexual health (orgasms, desire, and lack of pain) demonstrated additional direct links to individual and relationship functioning in the expected directions, offering partial support for Hypothesis 4. Thus, even after controlling for sexual satisfaction and the other aspects of sexual health, greater orgasmic functioning was uniquely linked to three of those four correlates (lower psychological distress, greater physical health, and greater relationship satisfaction) further augmenting its indirect links to those outcomes via higher sexual satisfaction. Similarly, a lack of sexual pain was uniquely linked to slightly lower psychological distress, greater well-being, greater physical health, and slightly higher relationship satisfaction. Finally, sexual desire was uniquely linked to greater well-being, physical health, and relationship satisfaction. After controlling for the other aspects of sexual health as well as indirect links to functioning via sexual satisfaction, multivariate suppressor effects emerged for vaginal lubrication. Thus, higher levels of the residual aspects of vaginal lubrication that were completely independent of levels of orgasms, desire, and sexual satisfaction were linked to slightly lower well-being, physical health, and relationship satisfaction.\nTurning to the path models examining attachment insecurities as predictors of sexual health, attachment avoidance was linked to lower levels of all four specific aspects of sexual health (Figure 4E) and attachment anxiety was linked to lower orgasms, greater sexual pain, and lower vaginal lubrication (Figure 4F), offering partial support for Hypothesis 5. As seen in Table 4, asymmetric confidence interval tests revealed significant indirect links between attachment insecurities and lower sexual satisfaction via their links to lower levels of the more specific aspects of sexual health, offering partial support for Hypothesis 6. Even after controlling for those indirect links through specific aspects of sexual health, both attachment avoidance (Figure 4E) and attachment anxiety (Figure 4F) demonstrated additional direct links to lower sexual satisfaction, supporting Hypothesis 7. Taken as a set, these path analysis findings highlight the unique roles that various aspects of sexual health play in the lives of individuals.\n\n\n### 3.5. Moderation Effects\nModeration analyses were conducted to estimate the moderating effects of gender, (sub)sample population (i.e., clinical vs. nonclinical), age, and publication type on the bivariate associations between specific aspects of sexual health and the three correlates to which sexual health was linked across at least 20 studies (offering sufficient numbers of effects to support these analyses): psychological distress, well-being, and relationship satisfaction. As the specific components of sexual health were conceptualized as contributing to overall sexual satisfaction, moderation analyses were also conducted on those predictive links. Given the broad range of samples, methods, and measures employed across the 281 (sub)samples, the Q statistics for the effects examined were all significant, suggesting meaningful amounts of heterogeneity to support moderation analyses. Weighted random-effects meta-regression models were run using the metafor package in Rstudio to simultaneously test the unique effects of these four moderators on the links between orgasms and each of the outcomes. The terms testing the moderators were all centered on their weighted grand means prior to running the analyses. As shown in Table 5, when tested simultaneously, only a handful of significant moderation effects emerged from these analyses, thereby suggesting that a majority of the meta-analytic effects generalized across these moderators.\nModeration by Gender. Despite notable gender differences on orgasmic functioning and sexual desire between the primary genders, gender largely failed to emerge as a significant moderator for all but one of the effects tested. Gender only emerged as a unique moderator of links between orgasms and sexual satisfaction (β = −.172, p = .001). Thus, although orgasms are linked to higher satisfaction across both primary genders, this effect was predicted to be significantly stronger in women (β = .444) than in men (β = .444 − .172 = .272), suggesting that orgasmic functioning might be more salient for sexual satisfaction in women.\nModeration by Age. After controlling for the other moderators, average sample age emerged as a significant moderator of the links between orgasms and psychological distress (β = −.006, p = .002). As that predictor was centered at 37.1 years (the weighted mean across all samples), these results predict only a weak association for samples with average ages of 18.1 years (β = −.237 + (−19) × (−.006) = −.123) but a notably stronger association for samples with average ages of 57.1 (β = −.237 + (20) × (−.006) = −.357). Similarly, age significantly intensified the positive links between: (1) sexual desire and sexual satisfaction (β = .006, p = .032), (2) lack of pain during sex and sexual satisfaction (β = .012, p = .019), and (3) lack of pain during sex and relationship satisfaction (β = .008, p = .025).\nModeration by Clinical vs. Non-Clinical Population. Despite spanning over 33 distinct diagnoses, a majority of the conditions represented were more chronic in nature resulting in a shared experience of more chronic levels of impairment. Thus, we treated clinical vs. non-clinical populations as one of our moderators to be tested, collapsing across those individual disorders to focus on how impairment in health and individual functioning might impact the links examined. Population type emerged as a unique moderator of the links between orgasms and sexual satisfaction (β = .130, p = .001), such that the association was significantly stronger in samples drawn from clinical populations. This suggests that orgasmic functioning might take on particular salience for well-being in clinical populations.\n\n\n### 3.6. Publication Bias\nAs seen in Table 5, after controlling for the other moderators, publication status failed to emerge as a significant moderator of the links between specific aspects of sexual health and the constructs with sufficient numbers of effects to support meta-analytic regressions. This suggests that the 9 effects tested (for which publication status could be tested as a moderator) did not significantly differ between published peer-reviewed and unpublished research (sub)samples. Consistent with this, Egger’s regression tests only identified significant funnel plot asymmetry for 20 of the 44 effects (see Table 3) and the resulting shifts in meta-analytic effect sizes from trim and fill analyses were largely minimal. In fact, the trim and fill analyses yielded unchanged estimates for 4 of those 20 effects and stronger estimates for 15 of them. This is likely a consequence of 7.5% of the (sub)samples being drawn from unpublished sources. It is also likely due in part to the fact that in roughly 65% of the records, the relevant effects being extracted were incidental to the main focus of those manuscripts (typically appearing within a study-wide correlation matrix without ever being discussed). As a result, the significance of those effects would have had no effect on the publishing decisions for those articles. Taken together, these findings converge to suggest that minimal levels of publication bias were present in the meta-analyzed effects.\nIn contrast, the relative probabilities estimated by selection method analyses (e.g., McShane et al., 2016) provide a note of caution to those broader publication bias findings. The relative probability of a contradictory finding (e.g., non-significant or in the opposite direction) being included in the current review was .75 or greater (suggesting fairly reasonable odds of finding published results that were either non-significant or even inconsistent with the predominant findings) for 27 of the 44 effects. However, the probabilities of contradictory findings being included for the remaining correlates were occasionally lower, suggesting that current meta-analytic effect estimates might have been slightly inflated by the publication (or inclusion) biases.\n\n\n### 4. Discussion\nAs research studies from diverse fields have explored the potential benefits of experiencing orgasms and sexual health on physical, emotional, and interpersonal well-being across the last 49 years (often incidentally to the primary foci of those studies), this meta-analysis drew from clinical psychology, social psychology, and medical studies to integrate that vast body of work. Thus, the current literature review resulted in a set of 228 records, yielding 281 (sub)samples and 1201 effects, representing a combined total sample of 248,021 participants. Given the importance that individuals continue to place on orgasms (e.g., E. Opperman et al., 2014), our primary focus was to examine the links between orgasmic functioning and various indices of well-being. However, given the multivariate perspective on sexual functioning that has developed within the literature (e.g., R. Rosen et al., 2000), we took a broad perspective and examined orgasmic functioning as one component within the greater context of sexual health. Consistent with our modified EVSA and ASA models, the meta-analytic findings and subsequent path analyses revealed unique links from the various aspects of sexual health (i.e., sexual satisfaction, orgasms, sexual desire, lack of pain, vaginal lubrication, erectile function) to physical health, individual well-being and relationship well-being. Meta-analytic moderation results further revealed stronger links between orgasms and specific forms of well-being for: (1) women, (2) individuals from clinical populations, and (3) older individuals. As the first published meta-analysis in this area, the review sought to integrate findings from diverse fields of study within the EVSA and ASA conceptual frameworks, providing a clear focus to the review and frameworks to guide future work. The current study further offered a quantitative synthesis of the correlates of orgasms, which enabled us to markedly advance the literature by quantifying the unique associations of various aspects of sexual health with a range of individual and interpersonal correlates.\nPromising Conceptual Frameworks. The focus of the current review was conceptually grounded in the EVSA and ASA models (i.e., seeking model-consistent correlates). Although the meta-analytic path models tested fell short of truly testing those more complex models, the current findings demonstrated robust links between sexual health and key constructs from those two models. Thus, the current findings offer a compelling foundation to support using the EVSA and ASA models as conceptual frameworks to guide future work in this area. For example, future studies of romantic relationships would likely benefit from modeling aspects of sexual health as adaptive processes, chronic sexual difficulties as enduring vulnerabilities, and/or failure to achieve orgasm as a stressor within the context of the EVSA model. Similarly, studies focused on the role of adult attachment insecurities could potentially benefit from modeling sexual health difficulties as possible threats that could trigger the activation of the attachment system within the context of the ASA model.\nSexual Health Benefits Relationships. Consistent with previous literature, current findings demonstrate that sexual health is linked to overall relationship quality (e.g., Brezsnyak & Whisman, 2004; Costa & Brody, 2007; Ellsworth & Bailey, 2013; M. M. Peixoto & Nobre, 2015; Therrien & Brotto, 2016; Witting et al., 2008a), highlighting the potential importance of sexual health within romantic relationships for both men and women. Although these findings provide a solid foundation for examining sexual health as a distinct relationship process that could influence relationship quality over time, given the cross-sectional nature of the vast majority of the studies reviewed, future work is needed to explore the direction of those associations. In fact, the EVSA and ASA models highlight a myriad of more specific relationship processes that have yet to be examined and modeled with sexual health (e.g., sexual communication, relationship conflict, partner responsiveness, social support, attributions for partner behavior, mindfulness, psychological flexibility, gratitude, demand-withdrawal, and hypervigilance). Although those relationship processes have yet to be examined in the context of sexual health, they are likely to interact with sexual health to shape the course of relationships. Thus, the conceptual frameworks organizing this review further highlight an array of promising directions for future work.\nSexual Health Benefits Individuals. Although sexual behavior is often a dyadic experience, current findings and previous literature suggest that the benefits of sexual health extend far beyond relationship functioning (e.g., Levin, 2007). For both men and women, sexual health appears to have important implications for individual functioning, (e.g., Brody, 2007; Costa & Brody, 2012; Fabre & Smith, 2012; Mernone et al., 2019; Stephenson & Meston, 2015). The current findings suggest that all six dimensions of sexual health are linked to lower psychological distress, higher psychological well-being, and greater physical health. In the case of the correlates of orgasmic functioning, this could be explained in part by findings that sexual activities, and orgasms even more so, release prolactin and oxytocin (e.g., Carmichael et al., 1987; Krüger et al., 2002; Leeners et al., 2013; Magon & Kalra, 2011; Meston et al., 2004a), hormones which have been shown to demonstrate calming satiation and stress relieving features in both men and women (e.g., Kikusui et al., 2006; Krüger et al., 2005; Levin, 2007; A. S. Smith & Wang, 2014; Uvnas-Moberg, 1998), Thus, it may be interesting and useful to explore the potential stress-buffering benefits of orgasms and other sexual health dimensions in future studies. In the context of the ASA model, healthy sexual functioning, as well as consistent and high-quality experiences of orgasms might also serve as buffers to prevent perceived threats from triggering the attachment system, thereby lowering the stress experienced by individuals with attachment anxieties. Similarly, within the EVSA model, pleasurable sexual experiences might actually serve as an adaptive relationship process that buffers relationships from the jagged edges of individuals’ personalities and from the adverse impact of stressful events, thereby promoting individual well-being by bolstering relationship quality. Future work could explore these various mechanisms linking sexual health and experiences of orgasms to greater individual health.\nOrgasms Matter—Particularly to Women. Although positive links to orgasms are found for both men and women, it appears that they are especially salient for women. As existing literature highlights, women experience orgasms at notably lower rates than do men (e.g., Armstrong et al., 2012; Blair et al., 2018; Frederick et al., 2018; Wade, 2015; Wade et al., 2005). Furthermore, although both men and women experience orgasm sexual dysfunctions, men more typically experience premature or delayed orgasms, in contrast to the complete absence of orgasms that many women experience (e.g., Delavierre, 2008; Jannini & Lenzi, 2005). Such findings, in combination with the results of the current meta-analysis, suggest that as women experience less frequent orgasms, the links between orgasms and positive correlates might become especially crucial for them. Although not a focus of the current review, a related line of study has demonstrated that greater frequency of women’s orgasms is linked to pleasure-focused sexual education received in childhood or adolescence (e.g., Brody & Weiss, 2010), highlighting possible points of intervention. Thus, future work could examine the more developmental predictors of both women and men developing the skills to have consistent and high-quality experiences of orgasms from pleasurable sexual activity.\nUnderstanding Vaginal Lubrication. Consistent with our hypotheses, vaginal lubrication demonstrated: (1) positive bi-variate associations with the other aspects of sexual health, (2) adaptive bi-variate associations with the correlates (e.g., greater well-being, lower distress), (3) unique positive links to sexual satisfaction in the path models, and (4) corresponding indirect associations with lower distress, and with greater well-being, physical health, and relationship satisfaction in those same path models. However, after controlling for those indirect links, suppressor effects (see Maassen & Bakker, 2001) emerged in the remaining direct links from vaginal lubrication to three correlates in the path models. Thus, the aspects of vaginal lubrication that were completely unrelated to orgasms, sexual desire, lack of pain during sex, and sexual satisfaction were associated with slightly lower well-being, physical health, and relationship satisfaction. As these suppressor effects are based on residual variance, they should be interpreted with caution as they tend to be less stable and might not continue to emerge with a slightly different set of covariates (see Maassen & Bakker, 2001 for a discussion of suppressor effects). Having said that, these results suggest that being able to lubricate in the absence of sexual satisfaction or desire might serve as a marker for less traditional sexual attitudes (possibly reflecting a greater comfort and proclivity toward causal sex). Although links between vaginal lubrication and sociosexual orientation are yet to be investigated, having an unrestricted sociosexual orientation (i.e., being more embracing of casual sex) has been linked to lower relationship satisfaction and quality (e.g., Lamela et al., 2020; Urganci et al., 2021) whereas it has been linked to greater psychological well-being and lower psychological distress after engaging in casual sex (Vrangalova & Ong, 2014). Given that most effects were drawn from samples of individuals in romantic relationships, it may be possible that having unrestricted sociosexual orientation might have a negative effect on individual and relationship functioning as those individuals found themselves constrained by what were likely to be predominantly monogamous relationships. Thus, future research could explore this phenomenon and examine potential links between vaginal lubrication (and other aspects of sexual health) and sociosexual orientation.\nWhile the current systematic review has unified findings from a diverse set of literature, it has also uncovered a number of areas for future work that have yet to be explored.\nTheoretically Grounded Studies. Despite a large body of work supporting the current meta-analytic findings, much of that work was more pragmatic in nature (i.e., examining sexual functioning as a secondary outcome in studies of physical illness) than conceptually focused. Thus, the effects extracted from those studies were typically tangential or completely unrelated to the primary focus of the manuscripts and were often not even discussed within the results narratives. As a result, the current findings offer an important first step toward developing a theoretically grounded program of research in this area, highlighting the EVSA and ASA as potential conceptual frameworks for future studies and therefore suggesting a number of directions to be explored in future studies.\nExamining Mediators. The mechanisms linking sexual health to relationship quality remain unclear. The EVSA model (see Figure 1A) suggests a host of potential adaptive processes that could be examined as possible mechanisms in future studies (e.g., sexual communication, relationship conflict, demand-withdraw behaviors, partner responsiveness, social support, attributions for partner behavior, mindfulness, and psychological flexibility). Given the atheoretical nature of the vast majority of the research on sexual health, the links between sexual health and these relevant relationship processes have yet to be examined, much less treated as possible mechanisms within larger models of relationship functioning. Future studies could therefore conceptually extend this work by examining models and specific constructs or processes informed by the EVSA or ASA models. For example, positive, consistent, and high-quality sexual experiences might strengthen romantic relationship quality by promoting more compassion, responsiveness, and emotional support within those relationships. Of course, such experiences could even be modeled as a mechanism. For example, a future study could examine how an enduring vulnerability like negative body image might adversely impact romantic relationship quality by lowering the quality and consistency of pleasurable sexual experiences. The EVSA model therefore provides a framework for integrating the correlational findings on orgasms into a variety of conceptual models to be tested.\nBiological Mechanisms. Although somewhat outside of the scope of the current review, a growing body of work has uncovered possible neurochemical mechanisms linking orgasms to emotional bonding (for reviews and greater details see Stoléru et al., 2012; Sayin & Schenck, 2019). Thus, studies have shown that around the time of orgasm, there is a cascade of changes in cerebral blood flow in the brain including deactivation in left prefrontal cortex and left temporal lobe (e.g., Georgiadis et al., 2009; Georgiadis & Kringelbach, 2012; Holstege & Huynh, 2011; Levin, 2014), as well as activation in the cerebellum (Georgiadis et al., 2009; Holstege & Huynh, 2011; Meston et al., 2004a; Levin, 2014), right prefrontal cortex (Holstege & Huynh, 2011; Tiihonen et al., 1994), and hypothalamus (Komisaruk & Whipple, 2005; Meston et al., 2004a, 2004b). Specifically, activation in the hypothalamus results in the release of oxytocin, referred to as the “feel good hormone” which facilitates social bonding in both men and women (e.g., Carmichael et al., 1987; Carter, 1992; Murphy et al., 1987, 1990; Ogawa et al., 1980; Pickering, 2003; Uvnas-Moberg, 1998). Since evidence suggests that oxytocin is fundamental in bonding, this could help explain how couples who have orgasms together feel closer. Thus, in addition to process-oriented models examining psychological and interpersonal processes as mechanisms, future work could extend the current findings by also clarifying and quantifying the biological links between sexual health and well-being.\nExamining Moderation. Another conceptual possibility suggested by both the EVSA and ASA models is that sexual health might function as a moderator within models of relationship and individual functioning. For example, drawing from the EVSA model (Figure 1A), a future study could examine how experiencing consistent and high-quality orgasms or pleasurable sexual activity (as a dynamic state-like process) might serve as an adaptive relationship process, buffering those relationships from the adverse effects of enduring vulnerabilities and stressful life events. Of course, more pervasive sexual health difficulties (e.g., chronic sexual pain, chronic difficulties with lubrication/erection, or being completely anorgasmic at the more stable trait-level) could be conceptualized as an enduring vulnerability that could create stress within the relationship and could shape the tone of other dyadic processes (i.e., moderating the impact of conflict and support behaviors). Drawing from the ASA model (Figure 1B), future studies might examine how experiencing consistent and high-quality orgasms, or pleasurable sexual activity, might buffer individuals from perceived threats triggering or activating their attachment systems, thereby ameliorating the impact of attachment insecurities on relationship and individual functioning. Within that same framework, chronic and pervasive difficulties with sexual health could be expected to potentially make individuals more reactive to perceived threats, lowering the threshold for attachment system activation and prompting greater levels of deactivating (e.g., withdrawal, avoidance, denial) and/or hyperactivating (e.g., demand, rumination, hypervigilance) behaviors, particularly for individuals with greater levels of attachment insecurities. At more of a dynamic state or event level, having negative sexual experiences or sexual health difficulties during a specific intimate encounter could serve as a threat to the relationship within the ASA framework, triggering hyperactivating and/or deactivating behaviors by activating an individual’s attachment insecurities. Extending that logic back to the EVSA framework, future studies could even explore how the quality of sexual health and/or consistency of pleasurable sexual experiences might interact with other relationship processes (e.g., conflict, support, responsiveness) to help shape the course of romantic relationships over time.\nExamining Predictors of Sexual Health. Finally, the EVSA model sheds light on how more stable and enduring aspects of individuals can be incorporated into comprehensive models of functioning in future studies. Although the current review focused on attachment insecurities as the only enduring vulnerability examined, previous work has examined a variety of predictors of sexual health including enduring traits like sexual education (e.g., Farnam et al., 2008; Brody & Weiss, 2010), negative body image (e.g., Dosch et al., 2016; Quinn-Nilas et al., 2016), knowledge of own body (e.g., Wade et al., 2005), and sexual attitudes like erotophilia (e.g., Hangen & Rogge, 2022; Hurlbert et al., 1993), sociosexual orientation (e.g., Stern et al., 2020; Velten & Margraf, 2017; Wongsomboon et al., 2020), and sexual sensation seeking (e.g., Burri, 2017). The EVSA conceptual framework therefore offers researchers a method of integrating those predictive links to sexual health into broader models of individual and relationship functioning. Future studies could therefore build on the current findings and the broader predictive findings within the sexual health literature by expanding beyond just running analyses to sexual health. Specifically, future studies could examine how a broad array of enduring vulnerabilities might not only (1) predict the quality of sexual health and consistency of pleasurable sex or orgasms, but also (2) might generate stressful events for couples to navigate, and (3) interact with stressful life events to influence both sexual health and other relationship processes to shape the course of relationships over time.\nTracking the Impact of Sexual Health Over Time. While much research has been conducted on sexual health dimensions and its correlates, the vast majority of this work (96% of the records) has been cross-sectional (with none of the records predicting residual change to ensure that baseline associations would not inflate prediction) leaving the directions of causality unclear. Longitudinal research would greatly inform this field of study. Specifically, analyses in multi-wave longitudinal designs could clarify directions of associations. These designs could include short-term intensive studies such as daily diaries or ecological momentary assessments to examine immediate and daily effects of sexual health dimensions. Previous findings within a daily diary study of 96 couples have suggested that sexual activity leaves a lingering “afterglow” of positive effect on sexual and marital satisfaction for roughly 48 h (Meltzer et al., 2017). In one of the few records to examine orgasms on daily basis, Burleson et al. (2007) collected 36 weeks of daily diary assessments from 58 women. Their lagged analyses supported reciprocal links between orgasming and positive mood even after controlling for rates of intercourse and physical affection, thereby providing initial evidence of bi-directional causality for those two constructs. Future work could examine the daily correlates of sexual health dimensions with the full range of correlates examined in this meta-analysis as most of those links remain largely unexamined. Future work could also extend the timeframe of diary assessments by using weekly diaries, potentially capturing slightly more lasting effects on relationship and individual functioning. In addition to tracking daily or weekly correlates of sexual health dimensions, long-term designs (e.g., spanning months or years) could also prove informative for examining how this aspect of a couple’s sexual relationship might interact with other relationship processes over the broader course of romantic relationships. For example, it would be interesting to track sexual behavior and orgasms along with other common relationship processes (e.g., social support, negative conflict behavior, forgiveness, aggression) in newlywed couples over the first few years of marriage. As a small but growing body of studies have demonstrated that sexual activity and orgasms offer unique predictive variance (e.g., Costa & Brody, 2007), it is likely that they could play unique roles across the early years of marriage. Thus, a newlywed couple engaging in high levels of sexual activity in which one of the partners experiences a low rate of sexual satisfaction, desire, or orgasms could very well have a very different trajectory of marital functioning than a couple engaging in lower levels of activity but with a far higher satisfaction, desire, or orgasm rate as a result of those activities. This example highlights how orgasms and other aspects of sexual health might serve to moderate or interact with other relationship processes like sexual activity, physical affection, emotional support and even conflict behavior. As a result, such studies would help clarify the impact of possible sexual health gaps on relationship functioning during that high-risk stage of early marriage.\nExamining Orgasm Specificity. A series of studies (e.g., Brody, 2010; Brody & Costa, 2009) has focused on emphasizing the distinct differences between types of orgasms (i.e., vaginal orgasms without clitoral stimulation compared to orgasms with clitoral stimulation) and their sources (i.e., through penile-vaginal intercourse (PVI), partnered masturbation, or solitary masturbation). For example, some findings have suggested that PVI frequency may be a stronger predictor of greater sexual satisfaction, relationship satisfaction, mental health, and life satisfaction (e.g., Brody & Costa, 2009). Similarly, orgasms from PVI without clitoral stimulation have shown strong links to greater positive affect (e.g., Tavares et al., 2017). However, these studies have been criticized for potential deficits in scientific rigor, theoretical grounding, and replication by independent researchers (Levin, 2007, 2012a; Prause, 2012a, 2012b; Therrien & Brotto, 2016). The emphasis on distinguishing between type of orgasms has also been criticized as lacking utility given that the clitoral structure envelops the vaginal opening and is therefore not only stimulated via PVI regardless of direct stimulation of the clitoral glans, but also the resulting orgasms are largely indistinguishable for most women (e.g., Levin, 2007, 2012b; Prause, 2012a, 2012b). The exclusive focus on PVI within this line of work also excludes the study of sexual health in sexual and gender minority groups. Given these concerns, the vast majority of the research in this area has yet to fully explore this specificity. Consequently, there were too few published results to support the estimation of meta-analytic effects for specific types or sources of orgasms. Future research could continue to explore the potential specificity of benefits from various types of orgasms from various forms of sexual activity. However, given the critiques of the early work in this area, future studies should seek to use more rigorous methods (e.g., more comprehensively assessing sexual health), seek more diverse populations (e.g., expanding to include sexual and gender minorities), and ground those studies within larger conceptual frameworks.\nStudying Sexual Health as a Dyadic Relationship Process. Most of the records reviewed examined sexual health within individuals, collecting data from just one individual from each relationship for the individuals in relationships. When records do include partner data, analyses are typically examined for actor (i.e., within-person) effects, rather than examining how one partner’s experiences may affect the other partner’s experiences (i.e., partner effects). This primarily conceptualizes sexual health as a predominantly individual experience. However, as sexual health dimensions are often part of sexual activity with another person, and much of that sexual activity occurs within the context of romantic relationships, it is reasonable to propose that having satisfying and painless sex or orgasms (or unsatisfying or painful sex without orgasms) within a sexual coupling could very likely have a meaningful impact on the romantic or sexual partner in that couple. In fact, sexual activity with another person can be an emotionally charged experience (e.g., Fahs & Plante, 2017; Salamon et al., 2005), laden with expectations from both partners (e.g., Aubrey et al., 2003) and offering the possibility of intense intimacy (e.g., Gewirtz-Meydan & Finzi-Dottan, 2018). Any failures to meet those expectations or achieve fulfilling pleasure could therefore be troubling to one or both partners in that sexual coupling. Thus, by conceptualizing sexual health as a dyadic relationship process, relationship research could capture the dynamics of what can be an extremely intense experience within models of relationship functioning. It will also allow researchers to explore links between sexual health and other relationship processes, such as support, conflict, or even intimate partner violence.\nOne of the meta-analyzed records moved the examination of orgasms closer to a dyadic level by demonstrating links between simultaneous orgasms and relationship quality for both men and women (Brody & Weiss, 2010). Similarly, another recent survey of 38,747 heterosexual men and women in 3+ year relationships from the United States shifted the focus toward the dyadic nature of orgasms by showing positive ties between an individual’s reports of their partner’s orgasm consistency and that individual’s own sexual satisfaction (Frederick et al., 2017). Notably, those pseudo-partner effects (pseudo, as they are still only reported by a single individual) remained significant even after controlling for sexual activity and sexual communication. Although both of those records take important steps toward recognizing the dyadic nature of orgasms during sexual activity with a sexual/romantic partner, they were both limited by collecting data from only one individual in each relationship.\nWithin the current systematic review, only a small fraction of the records examined the links between sexual health dimensions and relationship functions by specifically collecting data from both romantic partners (e.g., Frederick et al., 2017; Gewirtz-Meydan & Finzi-Dottan, 2018; Guo et al., 2004; Jones et al., 2018; Klapilová et al., 2015). Even fewer of these (e.g., Gewirtz-Meydan & Finzi-Dottan, 2018; Jones et al., 2018; Klapilová et al., 2015) analyzed the partner data dyadically (i.e., actor-partner interdependence modeling, APIM; e.g., Cook & Kenny, 2005). For example, analyses in a sample of 128 Israeli heterosexual couples, Gewirtz-Meydan and Finzi-Dottan (2018) demonstrated that individuals’ orgasmic consistencies were linked to higher sexual satisfaction (and lower attachment insecurities) for those individuals and their partners. Future work could advance our understanding of the salience of sexual health in the lives of couples by taking a similarly dyadic approach to studying it.\nInvestigating Sexual Health as a Developmental Process. Given the cross-sectional and largely incidental nature of the research linking sexual health to well-being, this work has been fairly atheoretical in its approach, often focusing on practical questions within clinical populations (e.g., to what extent is chronic pelvic pain linked to depressive symptoms and reduced orgasms; Aubin et al., 2008) rather than developing testable theories. However, given the central role that sexual activity and sexual health can play in peoples’ lives and in their relationships, the current findings begin to suggest that various aspects of sexual health (i.e., learning about and growing comfortable with our bodies, embracing our sexual desires, exploring intimate activity, learning to communicate sexual needs, and developing the ability to have orgasms) could be conceptualized as a fundamental skills to be obtained as individuals become sexually active. Many records included in the current meta-analysis have measured orgasms as an ability/inability to have orgasms (e.g., Barrientos & Páez, 2006; Davidson & Hoffman, 1986; Haavio-Mannila & Kontula, 1997; Zhang et al., 2015). Records like these have identified a population of women in their 40s, 50s, and 60s who have never experienced orgasms despite engaging in sexual activity (e.g., Fabre et al., 2013; Zhang et al., 2015), illustrating that some women have not and may never experience orgasms. Although biological issues might prevent some women from being able to experience orgasms or even pleasurable sex in general, for many women, sexual health difficulties could simply arise from a lack of knowledge of and comfort with their own bodies, and the associated skills needed to embrace sexual desire, communicate sexual needs, or achieve orgasms (either alone or during sexual activity with a partner). Thus, while many women are able to quickly learn those skills across their early sexual experiences, for many others, these skills might take years or decades after a sexual debut to acquire, delaying their abilities to achieve consistent, reliable, and satisfying sexual pleasure. Given the findings that childhood and adolescent sexual education can influence the achievement of these skills (e.g., Brody & Weiss, 2010), it is possible that sexual health functioning could be considered a developmental process beginning in adolescence and extending through young adulthood and beyond. This process would not only include the physical development and sexual maturation of individuals’ bodies, but also the cognitive and emotional development of those individuals as they develop and embrace their own sexual identities, grow to know their own bodies, develop comfort and understanding of their own sexual interests and needs, establish their own sexual attitudes, and develop schemas and scripts for how sex fits into their lives and into their relationships. Although researchers have briefly commented on these ideas in previous work (e.g., Chatterji et al., 2017; Giordano & Rush, 2010; Laan & Rellini, 2012), this remains a largely unexamined area of research on sexual health, and especially orgasms. We would posit that these developmental factors will influence the quality of an individual’s sexual health both within and outside of committed relationships, most likely serving as enduring vulnerabilities and adaptive processes within the EVSA model. Thus, future work could take a more developmental and holistic perspective by assessing these various developmental processes over time appropriate developmental timeframes (e.g., during those formative years in adolescence) to place an individual’s current experience of sexual health functioning within a larger socio-emotional developmental context. Models based on such a developmental approach would likely offer novel insights to individual functioning across the lifespan.\nLinking Sexual and Physical Health. The comprehensive review uncovered 9 previous studies linking orgasms to improved physical health. For example, analyses in a sample of 117 Turkish women linked sexual satisfaction, desire, lack of pain, vaginal lubrication, and consistency of orgasms to greater physical health on the SF-36 (Artune-Ulkumen et al., 2014). Similarly, analyses in 76 Dutch women with a history of vulvar cancer and radiotherapy, the same sexual health dimensions were linked to greater physical health (Hazewinkel et al., 2012). Another study has linked men’s sexual intercourse frequency to greater longevity (Palmore, 1982). Extending these studies, analyses in 143 Scottish men and women demonstrated a link between orgasms and greater resting heart rate variability, an indicator which is indicative of not only better mental health and emotion regulation, but also greater physical health and longevity (Costa & Brody, 2012), thereby highlighting a possible mechanism for the current findings. Although the path models tested in the current review conceptualized sexual health predicting physical health, it is likely that those forms of health are reciprocally related. In fact, in the case of chronic illness, it is more likely that physical health might function as the causal factor reducing the quality of sexual health and functioning over time. Future work could therefore extend the current findings by examining links between physical and sexual health in multi-wave longitudinal studies, thereby allowing those reciprocal directions of causality to be modeled. Future work could further extend the current body of work by examining the links between sexual health dimensions and other more concrete daily health outcomes, such as the number of colds, visits to a physician, and missed days at work, thereby extending these findings to nonclinical populations.\nEmbracing Relationship and Sexual Orientation Diversity. As most records in the current meta-analysis have only looked at heterosexual respondents, and presume monogamous relationship structures, it is difficult to ascertain whether these findings are applicable to sexual minorities or to those in non-monogamous relationships. Although each of sexual health components are likely to be important for individuals of all sexual orientations and in all forms of relationships, we would posit that it is also possible that these findings may vary across those groups. Given findings highlighting possible differences in the frequencies of sexual activity and orgasms across gay and lesbian relationships (e.g., Frederick et al., 2018; Spitalnick & McNair, 2005), it is also possible that the salience of sexual activity and orgasms might take on unique meanings within specific populations. Consistent with this, another body of work on relationship diversity has explored the characteristics of individuals in fundamental classes of monogamous and nonmonogamous relationships (Hangen et al., 2020). Findings in a diverse sample of 1658 adult men and women suggested that although certain forms of nonmonogamy demonstrated comparable levels of individual and relationship functioning to monogamous relationships, the individuals in nonmonogamous relationships reported markedly different sexual attitudes from individuals in more traditional monogamous relationships, reporting higher socio-sexual orientations (i.e., comfort with and interest in casual sex) and higher sexual sensation seeking. Thus, it is likely that each of the sexual health components might take on different salience in nonmonogamous relationships. To extend the current findings, future work would therefore benefit from seeking greater diversity in the populations sampled and examining the correlates of sexual health components in non-heterosexual individuals and within nonmonogamous relationships.\nExamining Correlates of Exaggerating Sexual Pleasure. The sexual health gender gap continues to be well documented in the United States (e.g., Armstrong et al., 2012; Blair et al., 2018; Frederick et al., 2018; Regan & Atkins, 2006; Stephenson et al., 2011), suggesting that women generally experience orgasms and sexual desire at notably lower rates than men, as well as sexual pain at higher rates than men. Given the intense expectations that can surround partnered sexual activity, orgasm difficulties (particularly those in women) likely exert pressure on individuals to exaggerate their own pleasure or even fake their orgasms. This is most commonly done in an effort to protect the feelings of a sexual partner (e.g., Fahs, 2014; Muehlenhard & Shippee, 2010; Salisbury & Fisher, 2014), especially since greater amounts of sexual activity has been linked to lower relationship satisfaction for men whose female partners orgasm at low rates (Muehlenhard & Shippee, 2010). The phenomenon of exaggerating pleasure fell beyond the scope of the current meta-analysis, but it remains a closely related process to orgasm difficulties and a growing body of studies have investigated this phenomenon. Although both men and women have reported having exaggerated pleasure or faked orgasms during intercourse, this appears to be much more prevalent in women than in men (e.g., Muehlenhard & Shippee, 2010). In one of the first published records to link faking orgasms to relationship functioning, Ellsworth and Bailey (2013) found that greater frequency of women’s faking orgasms was linked to lower relationship satisfaction, fewer self-reported orgasms, and greater reports of past infidelity in current relationships, highlighting the potential risks of faking orgasms. Extending this work, a number of labs have developed scales to assess common reasons for faking orgasms (e.g., E. B. Cooper et al., 2014; Goodman et al., 2017; Seguin et al., 2015), as well as examining predictors of faking orgasms (e.g., Kaighobadi et al., 2012; Mialon, 2012), and the possible impacts of faking orgasms on romantic relationships (e.g., Denes et al., 2019). As the current meta-analytic findings highlight the correlates of orgasms across multiple domains of functioning, the current findings could be extended meaningfully in future studies by examining the associated phenomenon of faking orgasms and the motives underlying such behavior.\n\n\n### 4.1. Implications\nPromising Conceptual Frameworks. The focus of the current review was conceptually grounded in the EVSA and ASA models (i.e., seeking model-consistent correlates). Although the meta-analytic path models tested fell short of truly testing those more complex models, the current findings demonstrated robust links between sexual health and key constructs from those two models. Thus, the current findings offer a compelling foundation to support using the EVSA and ASA models as conceptual frameworks to guide future work in this area. For example, future studies of romantic relationships would likely benefit from modeling aspects of sexual health as adaptive processes, chronic sexual difficulties as enduring vulnerabilities, and/or failure to achieve orgasm as a stressor within the context of the EVSA model. Similarly, studies focused on the role of adult attachment insecurities could potentially benefit from modeling sexual health difficulties as possible threats that could trigger the activation of the attachment system within the context of the ASA model.\nSexual Health Benefits Relationships. Consistent with previous literature, current findings demonstrate that sexual health is linked to overall relationship quality (e.g., Brezsnyak & Whisman, 2004; Costa & Brody, 2007; Ellsworth & Bailey, 2013; M. M. Peixoto & Nobre, 2015; Therrien & Brotto, 2016; Witting et al., 2008a), highlighting the potential importance of sexual health within romantic relationships for both men and women. Although these findings provide a solid foundation for examining sexual health as a distinct relationship process that could influence relationship quality over time, given the cross-sectional nature of the vast majority of the studies reviewed, future work is needed to explore the direction of those associations. In fact, the EVSA and ASA models highlight a myriad of more specific relationship processes that have yet to be examined and modeled with sexual health (e.g., sexual communication, relationship conflict, partner responsiveness, social support, attributions for partner behavior, mindfulness, psychological flexibility, gratitude, demand-withdrawal, and hypervigilance). Although those relationship processes have yet to be examined in the context of sexual health, they are likely to interact with sexual health to shape the course of relationships. Thus, the conceptual frameworks organizing this review further highlight an array of promising directions for future work.\nSexual Health Benefits Individuals. Although sexual behavior is often a dyadic experience, current findings and previous literature suggest that the benefits of sexual health extend far beyond relationship functioning (e.g., Levin, 2007). For both men and women, sexual health appears to have important implications for individual functioning, (e.g., Brody, 2007; Costa & Brody, 2012; Fabre & Smith, 2012; Mernone et al., 2019; Stephenson & Meston, 2015). The current findings suggest that all six dimensions of sexual health are linked to lower psychological distress, higher psychological well-being, and greater physical health. In the case of the correlates of orgasmic functioning, this could be explained in part by findings that sexual activities, and orgasms even more so, release prolactin and oxytocin (e.g., Carmichael et al., 1987; Krüger et al., 2002; Leeners et al., 2013; Magon & Kalra, 2011; Meston et al., 2004a), hormones which have been shown to demonstrate calming satiation and stress relieving features in both men and women (e.g., Kikusui et al., 2006; Krüger et al., 2005; Levin, 2007; A. S. Smith & Wang, 2014; Uvnas-Moberg, 1998), Thus, it may be interesting and useful to explore the potential stress-buffering benefits of orgasms and other sexual health dimensions in future studies. In the context of the ASA model, healthy sexual functioning, as well as consistent and high-quality experiences of orgasms might also serve as buffers to prevent perceived threats from triggering the attachment system, thereby lowering the stress experienced by individuals with attachment anxieties. Similarly, within the EVSA model, pleasurable sexual experiences might actually serve as an adaptive relationship process that buffers relationships from the jagged edges of individuals’ personalities and from the adverse impact of stressful events, thereby promoting individual well-being by bolstering relationship quality. Future work could explore these various mechanisms linking sexual health and experiences of orgasms to greater individual health.\nOrgasms Matter—Particularly to Women. Although positive links to orgasms are found for both men and women, it appears that they are especially salient for women. As existing literature highlights, women experience orgasms at notably lower rates than do men (e.g., Armstrong et al., 2012; Blair et al., 2018; Frederick et al., 2018; Wade, 2015; Wade et al., 2005). Furthermore, although both men and women experience orgasm sexual dysfunctions, men more typically experience premature or delayed orgasms, in contrast to the complete absence of orgasms that many women experience (e.g., Delavierre, 2008; Jannini & Lenzi, 2005). Such findings, in combination with the results of the current meta-analysis, suggest that as women experience less frequent orgasms, the links between orgasms and positive correlates might become especially crucial for them. Although not a focus of the current review, a related line of study has demonstrated that greater frequency of women’s orgasms is linked to pleasure-focused sexual education received in childhood or adolescence (e.g., Brody & Weiss, 2010), highlighting possible points of intervention. Thus, future work could examine the more developmental predictors of both women and men developing the skills to have consistent and high-quality experiences of orgasms from pleasurable sexual activity.\nUnderstanding Vaginal Lubrication. Consistent with our hypotheses, vaginal lubrication demonstrated: (1) positive bi-variate associations with the other aspects of sexual health, (2) adaptive bi-variate associations with the correlates (e.g., greater well-being, lower distress), (3) unique positive links to sexual satisfaction in the path models, and (4) corresponding indirect associations with lower distress, and with greater well-being, physical health, and relationship satisfaction in those same path models. However, after controlling for those indirect links, suppressor effects (see Maassen & Bakker, 2001) emerged in the remaining direct links from vaginal lubrication to three correlates in the path models. Thus, the aspects of vaginal lubrication that were completely unrelated to orgasms, sexual desire, lack of pain during sex, and sexual satisfaction were associated with slightly lower well-being, physical health, and relationship satisfaction. As these suppressor effects are based on residual variance, they should be interpreted with caution as they tend to be less stable and might not continue to emerge with a slightly different set of covariates (see Maassen & Bakker, 2001 for a discussion of suppressor effects). Having said that, these results suggest that being able to lubricate in the absence of sexual satisfaction or desire might serve as a marker for less traditional sexual attitudes (possibly reflecting a greater comfort and proclivity toward causal sex). Although links between vaginal lubrication and sociosexual orientation are yet to be investigated, having an unrestricted sociosexual orientation (i.e., being more embracing of casual sex) has been linked to lower relationship satisfaction and quality (e.g., Lamela et al., 2020; Urganci et al., 2021) whereas it has been linked to greater psychological well-being and lower psychological distress after engaging in casual sex (Vrangalova & Ong, 2014). Given that most effects were drawn from samples of individuals in romantic relationships, it may be possible that having unrestricted sociosexual orientation might have a negative effect on individual and relationship functioning as those individuals found themselves constrained by what were likely to be predominantly monogamous relationships. Thus, future research could explore this phenomenon and examine potential links between vaginal lubrication (and other aspects of sexual health) and sociosexual orientation.\n\n\n### 4.2. Future Directions\nWhile the current systematic review has unified findings from a diverse set of literature, it has also uncovered a number of areas for future work that have yet to be explored.\nTheoretically Grounded Studies. Despite a large body of work supporting the current meta-analytic findings, much of that work was more pragmatic in nature (i.e., examining sexual functioning as a secondary outcome in studies of physical illness) than conceptually focused. Thus, the effects extracted from those studies were typically tangential or completely unrelated to the primary focus of the manuscripts and were often not even discussed within the results narratives. As a result, the current findings offer an important first step toward developing a theoretically grounded program of research in this area, highlighting the EVSA and ASA as potential conceptual frameworks for future studies and therefore suggesting a number of directions to be explored in future studies.\nExamining Mediators. The mechanisms linking sexual health to relationship quality remain unclear. The EVSA model (see Figure 1A) suggests a host of potential adaptive processes that could be examined as possible mechanisms in future studies (e.g., sexual communication, relationship conflict, demand-withdraw behaviors, partner responsiveness, social support, attributions for partner behavior, mindfulness, and psychological flexibility). Given the atheoretical nature of the vast majority of the research on sexual health, the links between sexual health and these relevant relationship processes have yet to be examined, much less treated as possible mechanisms within larger models of relationship functioning. Future studies could therefore conceptually extend this work by examining models and specific constructs or processes informed by the EVSA or ASA models. For example, positive, consistent, and high-quality sexual experiences might strengthen romantic relationship quality by promoting more compassion, responsiveness, and emotional support within those relationships. Of course, such experiences could even be modeled as a mechanism. For example, a future study could examine how an enduring vulnerability like negative body image might adversely impact romantic relationship quality by lowering the quality and consistency of pleasurable sexual experiences. The EVSA model therefore provides a framework for integrating the correlational findings on orgasms into a variety of conceptual models to be tested.\nBiological Mechanisms. Although somewhat outside of the scope of the current review, a growing body of work has uncovered possible neurochemical mechanisms linking orgasms to emotional bonding (for reviews and greater details see Stoléru et al., 2012; Sayin & Schenck, 2019). Thus, studies have shown that around the time of orgasm, there is a cascade of changes in cerebral blood flow in the brain including deactivation in left prefrontal cortex and left temporal lobe (e.g., Georgiadis et al., 2009; Georgiadis & Kringelbach, 2012; Holstege & Huynh, 2011; Levin, 2014), as well as activation in the cerebellum (Georgiadis et al., 2009; Holstege & Huynh, 2011; Meston et al., 2004a; Levin, 2014), right prefrontal cortex (Holstege & Huynh, 2011; Tiihonen et al., 1994), and hypothalamus (Komisaruk & Whipple, 2005; Meston et al., 2004a, 2004b). Specifically, activation in the hypothalamus results in the release of oxytocin, referred to as the “feel good hormone” which facilitates social bonding in both men and women (e.g., Carmichael et al., 1987; Carter, 1992; Murphy et al., 1987, 1990; Ogawa et al., 1980; Pickering, 2003; Uvnas-Moberg, 1998). Since evidence suggests that oxytocin is fundamental in bonding, this could help explain how couples who have orgasms together feel closer. Thus, in addition to process-oriented models examining psychological and interpersonal processes as mechanisms, future work could extend the current findings by also clarifying and quantifying the biological links between sexual health and well-being.\nExamining Moderation. Another conceptual possibility suggested by both the EVSA and ASA models is that sexual health might function as a moderator within models of relationship and individual functioning. For example, drawing from the EVSA model (Figure 1A), a future study could examine how experiencing consistent and high-quality orgasms or pleasurable sexual activity (as a dynamic state-like process) might serve as an adaptive relationship process, buffering those relationships from the adverse effects of enduring vulnerabilities and stressful life events. Of course, more pervasive sexual health difficulties (e.g., chronic sexual pain, chronic difficulties with lubrication/erection, or being completely anorgasmic at the more stable trait-level) could be conceptualized as an enduring vulnerability that could create stress within the relationship and could shape the tone of other dyadic processes (i.e., moderating the impact of conflict and support behaviors). Drawing from the ASA model (Figure 1B), future studies might examine how experiencing consistent and high-quality orgasms, or pleasurable sexual activity, might buffer individuals from perceived threats triggering or activating their attachment systems, thereby ameliorating the impact of attachment insecurities on relationship and individual functioning. Within that same framework, chronic and pervasive difficulties with sexual health could be expected to potentially make individuals more reactive to perceived threats, lowering the threshold for attachment system activation and prompting greater levels of deactivating (e.g., withdrawal, avoidance, denial) and/or hyperactivating (e.g., demand, rumination, hypervigilance) behaviors, particularly for individuals with greater levels of attachment insecurities. At more of a dynamic state or event level, having negative sexual experiences or sexual health difficulties during a specific intimate encounter could serve as a threat to the relationship within the ASA framework, triggering hyperactivating and/or deactivating behaviors by activating an individual’s attachment insecurities. Extending that logic back to the EVSA framework, future studies could even explore how the quality of sexual health and/or consistency of pleasurable sexual experiences might interact with other relationship processes (e.g., conflict, support, responsiveness) to help shape the course of romantic relationships over time.\nExamining Predictors of Sexual Health. Finally, the EVSA model sheds light on how more stable and enduring aspects of individuals can be incorporated into comprehensive models of functioning in future studies. Although the current review focused on attachment insecurities as the only enduring vulnerability examined, previous work has examined a variety of predictors of sexual health including enduring traits like sexual education (e.g., Farnam et al., 2008; Brody & Weiss, 2010), negative body image (e.g., Dosch et al., 2016; Quinn-Nilas et al., 2016), knowledge of own body (e.g., Wade et al., 2005), and sexual attitudes like erotophilia (e.g., Hangen & Rogge, 2022; Hurlbert et al., 1993), sociosexual orientation (e.g., Stern et al., 2020; Velten & Margraf, 2017; Wongsomboon et al., 2020), and sexual sensation seeking (e.g., Burri, 2017). The EVSA conceptual framework therefore offers researchers a method of integrating those predictive links to sexual health into broader models of individual and relationship functioning. Future studies could therefore build on the current findings and the broader predictive findings within the sexual health literature by expanding beyond just running analyses to sexual health. Specifically, future studies could examine how a broad array of enduring vulnerabilities might not only (1) predict the quality of sexual health and consistency of pleasurable sex or orgasms, but also (2) might generate stressful events for couples to navigate, and (3) interact with stressful life events to influence both sexual health and other relationship processes to shape the course of relationships over time.\nTracking the Impact of Sexual Health Over Time. While much research has been conducted on sexual health dimensions and its correlates, the vast majority of this work (96% of the records) has been cross-sectional (with none of the records predicting residual change to ensure that baseline associations would not inflate prediction) leaving the directions of causality unclear. Longitudinal research would greatly inform this field of study. Specifically, analyses in multi-wave longitudinal designs could clarify directions of associations. These designs could include short-term intensive studies such as daily diaries or ecological momentary assessments to examine immediate and daily effects of sexual health dimensions. Previous findings within a daily diary study of 96 couples have suggested that sexual activity leaves a lingering “afterglow” of positive effect on sexual and marital satisfaction for roughly 48 h (Meltzer et al., 2017). In one of the few records to examine orgasms on daily basis, Burleson et al. (2007) collected 36 weeks of daily diary assessments from 58 women. Their lagged analyses supported reciprocal links between orgasming and positive mood even after controlling for rates of intercourse and physical affection, thereby providing initial evidence of bi-directional causality for those two constructs. Future work could examine the daily correlates of sexual health dimensions with the full range of correlates examined in this meta-analysis as most of those links remain largely unexamined. Future work could also extend the timeframe of diary assessments by using weekly diaries, potentially capturing slightly more lasting effects on relationship and individual functioning. In addition to tracking daily or weekly correlates of sexual health dimensions, long-term designs (e.g., spanning months or years) could also prove informative for examining how this aspect of a couple’s sexual relationship might interact with other relationship processes over the broader course of romantic relationships. For example, it would be interesting to track sexual behavior and orgasms along with other common relationship processes (e.g., social support, negative conflict behavior, forgiveness, aggression) in newlywed couples over the first few years of marriage. As a small but growing body of studies have demonstrated that sexual activity and orgasms offer unique predictive variance (e.g., Costa & Brody, 2007), it is likely that they could play unique roles across the early years of marriage. Thus, a newlywed couple engaging in high levels of sexual activity in which one of the partners experiences a low rate of sexual satisfaction, desire, or orgasms could very well have a very different trajectory of marital functioning than a couple engaging in lower levels of activity but with a far higher satisfaction, desire, or orgasm rate as a result of those activities. This example highlights how orgasms and other aspects of sexual health might serve to moderate or interact with other relationship processes like sexual activity, physical affection, emotional support and even conflict behavior. As a result, such studies would help clarify the impact of possible sexual health gaps on relationship functioning during that high-risk stage of early marriage.\nExamining Orgasm Specificity. A series of studies (e.g., Brody, 2010; Brody & Costa, 2009) has focused on emphasizing the distinct differences between types of orgasms (i.e., vaginal orgasms without clitoral stimulation compared to orgasms with clitoral stimulation) and their sources (i.e., through penile-vaginal intercourse (PVI), partnered masturbation, or solitary masturbation). For example, some findings have suggested that PVI frequency may be a stronger predictor of greater sexual satisfaction, relationship satisfaction, mental health, and life satisfaction (e.g., Brody & Costa, 2009). Similarly, orgasms from PVI without clitoral stimulation have shown strong links to greater positive affect (e.g., Tavares et al., 2017). However, these studies have been criticized for potential deficits in scientific rigor, theoretical grounding, and replication by independent researchers (Levin, 2007, 2012a; Prause, 2012a, 2012b; Therrien & Brotto, 2016). The emphasis on distinguishing between type of orgasms has also been criticized as lacking utility given that the clitoral structure envelops the vaginal opening and is therefore not only stimulated via PVI regardless of direct stimulation of the clitoral glans, but also the resulting orgasms are largely indistinguishable for most women (e.g., Levin, 2007, 2012b; Prause, 2012a, 2012b). The exclusive focus on PVI within this line of work also excludes the study of sexual health in sexual and gender minority groups. Given these concerns, the vast majority of the research in this area has yet to fully explore this specificity. Consequently, there were too few published results to support the estimation of meta-analytic effects for specific types or sources of orgasms. Future research could continue to explore the potential specificity of benefits from various types of orgasms from various forms of sexual activity. However, given the critiques of the early work in this area, future studies should seek to use more rigorous methods (e.g., more comprehensively assessing sexual health), seek more diverse populations (e.g., expanding to include sexual and gender minorities), and ground those studies within larger conceptual frameworks.\nStudying Sexual Health as a Dyadic Relationship Process. Most of the records reviewed examined sexual health within individuals, collecting data from just one individual from each relationship for the individuals in relationships. When records do include partner data, analyses are typically examined for actor (i.e., within-person) effects, rather than examining how one partner’s experiences may affect the other partner’s experiences (i.e., partner effects). This primarily conceptualizes sexual health as a predominantly individual experience. However, as sexual health dimensions are often part of sexual activity with another person, and much of that sexual activity occurs within the context of romantic relationships, it is reasonable to propose that having satisfying and painless sex or orgasms (or unsatisfying or painful sex without orgasms) within a sexual coupling could very likely have a meaningful impact on the romantic or sexual partner in that couple. In fact, sexual activity with another person can be an emotionally charged experience (e.g., Fahs & Plante, 2017; Salamon et al., 2005), laden with expectations from both partners (e.g., Aubrey et al., 2003) and offering the possibility of intense intimacy (e.g., Gewirtz-Meydan & Finzi-Dottan, 2018). Any failures to meet those expectations or achieve fulfilling pleasure could therefore be troubling to one or both partners in that sexual coupling. Thus, by conceptualizing sexual health as a dyadic relationship process, relationship research could capture the dynamics of what can be an extremely intense experience within models of relationship functioning. It will also allow researchers to explore links between sexual health and other relationship processes, such as support, conflict, or even intimate partner violence.\nOne of the meta-analyzed records moved the examination of orgasms closer to a dyadic level by demonstrating links between simultaneous orgasms and relationship quality for both men and women (Brody & Weiss, 2010). Similarly, another recent survey of 38,747 heterosexual men and women in 3+ year relationships from the United States shifted the focus toward the dyadic nature of orgasms by showing positive ties between an individual’s reports of their partner’s orgasm consistency and that individual’s own sexual satisfaction (Frederick et al., 2017). Notably, those pseudo-partner effects (pseudo, as they are still only reported by a single individual) remained significant even after controlling for sexual activity and sexual communication. Although both of those records take important steps toward recognizing the dyadic nature of orgasms during sexual activity with a sexual/romantic partner, they were both limited by collecting data from only one individual in each relationship.\nWithin the current systematic review, only a small fraction of the records examined the links between sexual health dimensions and relationship functions by specifically collecting data from both romantic partners (e.g., Frederick et al., 2017; Gewirtz-Meydan & Finzi-Dottan, 2018; Guo et al., 2004; Jones et al., 2018; Klapilová et al., 2015). Even fewer of these (e.g., Gewirtz-Meydan & Finzi-Dottan, 2018; Jones et al., 2018; Klapilová et al., 2015) analyzed the partner data dyadically (i.e., actor-partner interdependence modeling, APIM; e.g., Cook & Kenny, 2005). For example, analyses in a sample of 128 Israeli heterosexual couples, Gewirtz-Meydan and Finzi-Dottan (2018) demonstrated that individuals’ orgasmic consistencies were linked to higher sexual satisfaction (and lower attachment insecurities) for those individuals and their partners. Future work could advance our understanding of the salience of sexual health in the lives of couples by taking a similarly dyadic approach to studying it.\nInvestigating Sexual Health as a Developmental Process. Given the cross-sectional and largely incidental nature of the research linking sexual health to well-being, this work has been fairly atheoretical in its approach, often focusing on practical questions within clinical populations (e.g., to what extent is chronic pelvic pain linked to depressive symptoms and reduced orgasms; Aubin et al., 2008) rather than developing testable theories. However, given the central role that sexual activity and sexual health can play in peoples’ lives and in their relationships, the current findings begin to suggest that various aspects of sexual health (i.e., learning about and growing comfortable with our bodies, embracing our sexual desires, exploring intimate activity, learning to communicate sexual needs, and developing the ability to have orgasms) could be conceptualized as a fundamental skills to be obtained as individuals become sexually active. Many records included in the current meta-analysis have measured orgasms as an ability/inability to have orgasms (e.g., Barrientos & Páez, 2006; Davidson & Hoffman, 1986; Haavio-Mannila & Kontula, 1997; Zhang et al., 2015). Records like these have identified a population of women in their 40s, 50s, and 60s who have never experienced orgasms despite engaging in sexual activity (e.g., Fabre et al., 2013; Zhang et al., 2015), illustrating that some women have not and may never experience orgasms. Although biological issues might prevent some women from being able to experience orgasms or even pleasurable sex in general, for many women, sexual health difficulties could simply arise from a lack of knowledge of and comfort with their own bodies, and the associated skills needed to embrace sexual desire, communicate sexual needs, or achieve orgasms (either alone or during sexual activity with a partner). Thus, while many women are able to quickly learn those skills across their early sexual experiences, for many others, these skills might take years or decades after a sexual debut to acquire, delaying their abilities to achieve consistent, reliable, and satisfying sexual pleasure. Given the findings that childhood and adolescent sexual education can influence the achievement of these skills (e.g., Brody & Weiss, 2010), it is possible that sexual health functioning could be considered a developmental process beginning in adolescence and extending through young adulthood and beyond. This process would not only include the physical development and sexual maturation of individuals’ bodies, but also the cognitive and emotional development of those individuals as they develop and embrace their own sexual identities, grow to know their own bodies, develop comfort and understanding of their own sexual interests and needs, establish their own sexual attitudes, and develop schemas and scripts for how sex fits into their lives and into their relationships. Although researchers have briefly commented on these ideas in previous work (e.g., Chatterji et al., 2017; Giordano & Rush, 2010; Laan & Rellini, 2012), this remains a largely unexamined area of research on sexual health, and especially orgasms. We would posit that these developmental factors will influence the quality of an individual’s sexual health both within and outside of committed relationships, most likely serving as enduring vulnerabilities and adaptive processes within the EVSA model. Thus, future work could take a more developmental and holistic perspective by assessing these various developmental processes over time appropriate developmental timeframes (e.g., during those formative years in adolescence) to place an individual’s current experience of sexual health functioning within a larger socio-emotional developmental context. Models based on such a developmental approach would likely offer novel insights to individual functioning across the lifespan.\nLinking Sexual and Physical Health. The comprehensive review uncovered 9 previous studies linking orgasms to improved physical health. For example, analyses in a sample of 117 Turkish women linked sexual satisfaction, desire, lack of pain, vaginal lubrication, and consistency of orgasms to greater physical health on the SF-36 (Artune-Ulkumen et al., 2014). Similarly, analyses in 76 Dutch women with a history of vulvar cancer and radiotherapy, the same sexual health dimensions were linked to greater physical health (Hazewinkel et al., 2012). Another study has linked men’s sexual intercourse frequency to greater longevity (Palmore, 1982). Extending these studies, analyses in 143 Scottish men and women demonstrated a link between orgasms and greater resting heart rate variability, an indicator which is indicative of not only better mental health and emotion regulation, but also greater physical health and longevity (Costa & Brody, 2012), thereby highlighting a possible mechanism for the current findings. Although the path models tested in the current review conceptualized sexual health predicting physical health, it is likely that those forms of health are reciprocally related. In fact, in the case of chronic illness, it is more likely that physical health might function as the causal factor reducing the quality of sexual health and functioning over time. Future work could therefore extend the current findings by examining links between physical and sexual health in multi-wave longitudinal studies, thereby allowing those reciprocal directions of causality to be modeled. Future work could further extend the current body of work by examining the links between sexual health dimensions and other more concrete daily health outcomes, such as the number of colds, visits to a physician, and missed days at work, thereby extending these findings to nonclinical populations.\nEmbracing Relationship and Sexual Orientation Diversity. As most records in the current meta-analysis have only looked at heterosexual respondents, and presume monogamous relationship structures, it is difficult to ascertain whether these findings are applicable to sexual minorities or to those in non-monogamous relationships. Although each of sexual health components are likely to be important for individuals of all sexual orientations and in all forms of relationships, we would posit that it is also possible that these findings may vary across those groups. Given findings highlighting possible differences in the frequencies of sexual activity and orgasms across gay and lesbian relationships (e.g., Frederick et al., 2018; Spitalnick & McNair, 2005), it is also possible that the salience of sexual activity and orgasms might take on unique meanings within specific populations. Consistent with this, another body of work on relationship diversity has explored the characteristics of individuals in fundamental classes of monogamous and nonmonogamous relationships (Hangen et al., 2020). Findings in a diverse sample of 1658 adult men and women suggested that although certain forms of nonmonogamy demonstrated comparable levels of individual and relationship functioning to monogamous relationships, the individuals in nonmonogamous relationships reported markedly different sexual attitudes from individuals in more traditional monogamous relationships, reporting higher socio-sexual orientations (i.e., comfort with and interest in casual sex) and higher sexual sensation seeking. Thus, it is likely that each of the sexual health components might take on different salience in nonmonogamous relationships. To extend the current findings, future work would therefore benefit from seeking greater diversity in the populations sampled and examining the correlates of sexual health components in non-heterosexual individuals and within nonmonogamous relationships.\nExamining Correlates of Exaggerating Sexual Pleasure. The sexual health gender gap continues to be well documented in the United States (e.g., Armstrong et al., 2012; Blair et al., 2018; Frederick et al., 2018; Regan & Atkins, 2006; Stephenson et al., 2011), suggesting that women generally experience orgasms and sexual desire at notably lower rates than men, as well as sexual pain at higher rates than men. Given the intense expectations that can surround partnered sexual activity, orgasm difficulties (particularly those in women) likely exert pressure on individuals to exaggerate their own pleasure or even fake their orgasms. This is most commonly done in an effort to protect the feelings of a sexual partner (e.g., Fahs, 2014; Muehlenhard & Shippee, 2010; Salisbury & Fisher, 2014), especially since greater amounts of sexual activity has been linked to lower relationship satisfaction for men whose female partners orgasm at low rates (Muehlenhard & Shippee, 2010). The phenomenon of exaggerating pleasure fell beyond the scope of the current meta-analysis, but it remains a closely related process to orgasm difficulties and a growing body of studies have investigated this phenomenon. Although both men and women have reported having exaggerated pleasure or faked orgasms during intercourse, this appears to be much more prevalent in women than in men (e.g., Muehlenhard & Shippee, 2010). In one of the first published records to link faking orgasms to relationship functioning, Ellsworth and Bailey (2013) found that greater frequency of women’s faking orgasms was linked to lower relationship satisfaction, fewer self-reported orgasms, and greater reports of past infidelity in current relationships, highlighting the potential risks of faking orgasms. Extending this work, a number of labs have developed scales to assess common reasons for faking orgasms (e.g., E. B. Cooper et al., 2014; Goodman et al., 2017; Seguin et al., 2015), as well as examining predictors of faking orgasms (e.g., Kaighobadi et al., 2012; Mialon, 2012), and the possible impacts of faking orgasms on romantic relationships (e.g., Denes et al., 2019). As the current meta-analytic findings highlight the correlates of orgasms across multiple domains of functioning, the current findings could be extended meaningfully in future studies by examining the associated phenomenon of faking orgasms and the motives underlying such behavior.\n\n\n### 5. Conclusions\nThe current meta-analytic review was the first of its kind to quantitatively integrate 49 years of research examining the correlates of sexual health across a wide range of studies. As the vast majority of that work was pragmatic rather than theoretically driven, the current review also sought to develop conceptual frameworks to theoretically integrate disparate lines of research into more comprehensive models of individual and relationship functioning. The meta-analytic results demonstrated links between sexual health components and physical, emotional, and relationship health and well-being, laying a foundation of support for the proposed models. The review also revealed a number of promising directions for future research: (1) examining mechanisms linking sexual health to individual and relationship functioning, (2) examining sexual health components as possible mediators and moderators with the EVSA and ASA models, (3) integrating predictors of sexual health as enduring traits within the EVSA model, (4) examining possible directions of casual influence using multi-wave longitudinal studies, (5) examining the specificity of various types and sources of orgasms, (6) collecting dyadic data to fully model sexual pleasure as a dyadic interpersonal process, (7) modeling sexual health and more specifically the ability to achieve orgasms as developmental processes involving a discrete set of skills and stages, (8) deepening our understanding of links between sexual and physical health, (9) embracing diversity in relationship commitment structures and sexual orientations, and (10) extending work on exaggerating pleasure or faking orgasms to hide orgasmic difficulties from a romantic or sexual partner. Thus, the current meta-analytic review not only synthesizes quantitative findings but also offers concrete guidelines for extending the past 49 years of research on the correlates of sexual health in a theoretically grounded manner.", "domain": "affective_neuroscience"}
{"source": "PMC13050945", "title": "Combining psychoanalytic concepts and computer science methodologies: an empirical study of the relationship between emotions and the Lacanian discourses", "text": "# Combining psychoanalytic concepts and computer science methodologies: an empirical study of the relationship between emotions and the Lacanian discourses\n\n## Abstract\nThis research aimed to examine the interdisciplinary interaction between psychoanalysis and computer science, suggesting a mutually beneficial exchange. Indeed, psychoanalytic concepts can enrich technological applications that involve the human factor, such as social media and other interactive digital platforms. By providing deeper insights into the elusive, unconscious aspects of communication, psychoanalytic methods can enhance content-centric applications, including fake news detection and mental health diagnostics. Conversely, computer science, especially Artificial Intelligence (AI), can contribute quantitative concepts and methods to psychoanalysis, identifying patterns and emotional cues in human expression. In particular, this research aims to apply computer science methods to establish fundamental relationships between emotions and Lacanian discourses. These relationships are identified in our approach through empirical investigation and statistical analysis and ultimately validated through a theoretical (psychoanalytic) account. Notably, although emotions have been sporadically studied in Lacanian theory, a systematic, detailed investigation of their role is missing. Such a fine-grained understanding of the role of emotions can also make the identification of Lacanian discourses more effective and easier in practice. Our methods indicated the emotions with the highest differentiation power in the corresponding discourses; conversely, we identified for each discourse the most characteristic emotions it admits. We call this method Lacanian Discourse Discovery (LDD), and it simplifies (via systematizing) the identification of Lacanian discourses in texts. Although the main contribution of this study is inherently theoretical (psychoanalytic), it can also facilitate major practical applications in interactive digital systems. Indeed, our approach can be automated using Artificial Intelligence methods that effectively identify emotions (and corresponding discourses) in texts.\n\n## Full Text\n\n\n### Introduction\nThis research aims to further explore the potential interactions between Psychoanalysis and Computer Science, envisioning a cross-fertilization that can be mutually beneficial for both fields. This exchange is expected to be advantageous in both “directions,” from Psychoanalysis to Computer Science and vice versa.\nWe claim that psychoanalytic concepts and approaches can be highly instrumental in Computer Science applications that heavily involve the human factor, such as social media and other interactive digital platforms, systems, and tools. Indeed, in such text-based systems, psychoanalytic-based approaches have the potential to extract valuable, usually elusive information by providing insights into the underlying dynamics, motivations, and meanings of texts. They go beyond surface-level analysis and delve into the unconscious, possibly hidden aspects of communication. They can be applied to various types of texts and communication contexts, providing a deeper understanding of the message being conveyed and the mechanisms that shape the content. Such insight can significantly enhance the effectiveness and performance of diverse digital applications and systems that are inherently content-centric; such systems include software tools for detecting fake news on digital platforms, digital health applications for the early diagnosis of mental conditions and diseases, and software tools for deciding whether a given text is written by Artificial Intelligence (AI) programs or by humans.\nSigmund Freud envisioned the future inclusion of quantitative, interdisciplinary concepts and methods (such as those from Physics) into psychoanalysis. In a similar spirit, Jacques Lacan expressed and visualized psychoanalytic concepts through analogs from combinatorial mathematics (sets and networks) and mathematical logic (logical formulae); in particular, he thought of the language of the unconscious as a chain of quasi-mathematical inscriptions, similar to a computer language as well as a cryptographic code. In this line, it is reasonable to assume that Computer Science methods can be quite helpful in establishing solid quantitative contributions to Psychoanalysis. In particular, the use of Machine Learning and more recently of the Large Language Models (LLMs) is high relevant, given its ability, when properly used, to identify complex or hidden patterns, emotional cues, and underlying themes in human speech or writing.\nRegarding the first direction mentioned above, we have already conducted promising research on automated detection of fake news. In Gadalla et al. (2023, p. 2), we investigated the incorporation of human factors and user perception in text-based interactive media, focusing on how the reliability of user texts is influenced by behavioral and emotional dimensions. In particular, we designed a Psychoanalytic approach that uses Lacanian discourse types to capture and understand the underlying characteristics of texts (news headlines) and their inherent relation to real and fake news. The approach first identifies Lacanian discourses in a text (e.g., news headlines) and then uses an algorithm to predict whether the text is real or fake based on the type of Lacanian discourses present in it. The performance evaluation demonstrated high effectiveness and accuracy for this Psychoanalysis-based prediction compared with standard methods. As far as we know, this was the first time computational methods were systematically combined with Psychoanalysis.\nFollowing up on this significant first step, the research discussed here addresses the “inverse direction,” applying Computer Science methodologies to Psychoanalysis. In particular, the purpose is to empirically investigate (and then theoretically validate) possible fundamental relations between emotions and Lacanian discourses. J. Lacan himself highlighted the significance of a few fundamental emotions (such as anxiety and anguish, Soler, 2016, p. 18). Recent research Bucci et al. (2022, p. 165) has investigated the important role of some emotions (affects) in Lacanian theory (Lacan, 2004d,h). However, there is a need to produce a study that systematically relates emotions with corresponding Lacanian discourses. This study aims to address this gap by empirically (statistically) investigating this relation in a systematic, fine-grained manner. Such a solid understanding of the relation between emotions and Lacanian discourses is important because it will make the identification of Lacanian discourses in texts easier and more robust, since it will be based on the (easier to grasp) presence of emotions in texts.\nThe method includes the following key steps: (a) the emotions in a given text are identified using a well-known, fine-grained set of 30 emotions; (b) the Lacanian discourses in the text are also identified; (c) a statistical investigation is performed to identify the potentially inherent relationship between emotions and Lacanian discourses: for each discourse, which are the most characteristic emotions it admits? Which emotions exhibit the highest differentiation power in terms of corresponding discourses? (d) finally, these statistical findings are theoretically (psychoanalytically) validated.\nThe main contribution of this research is a psychoanalytic one per se: the establishment of a systematic relationship among emotions and Lacanian discourses, and the introduction of the concept of Lacanian Discourse Discovery (LDD), which systematizes the discovery of the Lacanian discourses. Notably, this method can be automated to a great extent, since current computer-based methods (primarily employing AI systems and tools) can effectively detect emotions in texts. Thus, there is great potential to develop effective, real-world applications based on the automated identification of emotions and their corresponding discourse. It is important to emphasize that at this stage, this study does not have any diagnostic purpose.\nAfter this Introduction, in Section 2.1, a theoretical framework is presented that includes how emotions appear in S. Freud's and J. Lacan's works, a review of the five Lacanian discourses, a description of the Lacanian Discourse Analysis (LDA), and a review of the classification of emotions as proposed by different authors. In Section 2.2, a brief presentation of related studies is provided. In Section 3, the adopted methodology is presented in detail. The results and the corresponding discussion are presented in Section 4. Section 5 concludes the paper, indicates future directions, and discusses potential applications of the achievements of this study.\n\n\n### From psychoanalysis to computer science\nWe claim that psychoanalytic concepts and approaches can be highly instrumental in Computer Science applications that heavily involve the human factor, such as social media and other interactive digital platforms, systems, and tools. Indeed, in such text-based systems, psychoanalytic-based approaches have the potential to extract valuable, usually elusive information by providing insights into the underlying dynamics, motivations, and meanings of texts. They go beyond surface-level analysis and delve into the unconscious, possibly hidden aspects of communication. They can be applied to various types of texts and communication contexts, providing a deeper understanding of the message being conveyed and the mechanisms that shape the content. Such insight can significantly enhance the effectiveness and performance of diverse digital applications and systems that are inherently content-centric; such systems include software tools for detecting fake news on digital platforms, digital health applications for the early diagnosis of mental conditions and diseases, and software tools for deciding whether a given text is written by Artificial Intelligence (AI) programs or by humans.\n\n\n### From computer science to psychoanalysis\nSigmund Freud envisioned the future inclusion of quantitative, interdisciplinary concepts and methods (such as those from Physics) into psychoanalysis. In a similar spirit, Jacques Lacan expressed and visualized psychoanalytic concepts through analogs from combinatorial mathematics (sets and networks) and mathematical logic (logical formulae); in particular, he thought of the language of the unconscious as a chain of quasi-mathematical inscriptions, similar to a computer language as well as a cryptographic code. In this line, it is reasonable to assume that Computer Science methods can be quite helpful in establishing solid quantitative contributions to Psychoanalysis. In particular, the use of Machine Learning and more recently of the Large Language Models (LLMs) is high relevant, given its ability, when properly used, to identify complex or hidden patterns, emotional cues, and underlying themes in human speech or writing.\nRegarding the first direction mentioned above, we have already conducted promising research on automated detection of fake news. In Gadalla et al. (2023, p. 2), we investigated the incorporation of human factors and user perception in text-based interactive media, focusing on how the reliability of user texts is influenced by behavioral and emotional dimensions. In particular, we designed a Psychoanalytic approach that uses Lacanian discourse types to capture and understand the underlying characteristics of texts (news headlines) and their inherent relation to real and fake news. The approach first identifies Lacanian discourses in a text (e.g., news headlines) and then uses an algorithm to predict whether the text is real or fake based on the type of Lacanian discourses present in it. The performance evaluation demonstrated high effectiveness and accuracy for this Psychoanalysis-based prediction compared with standard methods. As far as we know, this was the first time computational methods were systematically combined with Psychoanalysis.\nFollowing up on this significant first step, the research discussed here addresses the “inverse direction,” applying Computer Science methodologies to Psychoanalysis. In particular, the purpose is to empirically investigate (and then theoretically validate) possible fundamental relations between emotions and Lacanian discourses. J. Lacan himself highlighted the significance of a few fundamental emotions (such as anxiety and anguish, Soler, 2016, p. 18). Recent research Bucci et al. (2022, p. 165) has investigated the important role of some emotions (affects) in Lacanian theory (Lacan, 2004d,h). However, there is a need to produce a study that systematically relates emotions with corresponding Lacanian discourses. This study aims to address this gap by empirically (statistically) investigating this relation in a systematic, fine-grained manner. Such a solid understanding of the relation between emotions and Lacanian discourses is important because it will make the identification of Lacanian discourses in texts easier and more robust, since it will be based on the (easier to grasp) presence of emotions in texts.\nThe method includes the following key steps: (a) the emotions in a given text are identified using a well-known, fine-grained set of 30 emotions; (b) the Lacanian discourses in the text are also identified; (c) a statistical investigation is performed to identify the potentially inherent relationship between emotions and Lacanian discourses: for each discourse, which are the most characteristic emotions it admits? Which emotions exhibit the highest differentiation power in terms of corresponding discourses? (d) finally, these statistical findings are theoretically (psychoanalytically) validated.\nThe main contribution of this research is a psychoanalytic one per se: the establishment of a systematic relationship among emotions and Lacanian discourses, and the introduction of the concept of Lacanian Discourse Discovery (LDD), which systematizes the discovery of the Lacanian discourses. Notably, this method can be automated to a great extent, since current computer-based methods (primarily employing AI systems and tools) can effectively detect emotions in texts. Thus, there is great potential to develop effective, real-world applications based on the automated identification of emotions and their corresponding discourse. It is important to emphasize that at this stage, this study does not have any diagnostic purpose.\nAfter this Introduction, in Section 2.1, a theoretical framework is presented that includes how emotions appear in S. Freud's and J. Lacan's works, a review of the five Lacanian discourses, a description of the Lacanian Discourse Analysis (LDA), and a review of the classification of emotions as proposed by different authors. In Section 2.2, a brief presentation of related studies is provided. In Section 3, the adopted methodology is presented in detail. The results and the corresponding discussion are presented in Section 4. Section 5 concludes the paper, indicates future directions, and discusses potential applications of the achievements of this study.\n\n\n### Materials and methods\nThe objectives of this section are to review how emotions are treated in the research of S. Freud and J. Lacan, to review the five Lacanian discourses, to describe Lacanian Discourse Analysis (LDA), and to review the major proposed classification of emotions.\nWhile S. Freud is universally recognized as the “father” of Psychoanalysis, it is worth briefly providing some information about J. Lacan's place in Psychoanalysis and how psychoanalysts and psychologists assess him.\nJ. Lacan (1901–1981) is considered one of the most influential and controversial figures in psychoanalytic theory. J. Lacan's study reinterpreted Freudian theory through the lenses of structural linguistics, topology, and philosophy, particularly drawing on Saussure, Levi-Strauss, and Hegel (Fink, 1996). J. Lacan's emphasis on language and the symbolic order marked a significant departure from the ego psychology dominant in mid-20th-century psychoanalysis (Evans, 1996, p. 162).\nJ. Lacan's position within psychoanalysis is both central and controversial. In France, Lacanian psychoanalysis has had and continues to have a significant institutional and clinical presence, influencing numerous schools of thought (Roudinesco, 1990, p. 25). However, in Anglo-American psychology, J. Lacan's study has often been marginalized for its abstract style and complex terminology (Leader, 2012, p. 81). His ideas have been influential in critical theory, feminist psychoanalysis, and cultural studies (Zizek, 2006).\nSome psychoanalysts view J. Lacan's contributions as revitalizing the Freudian legacy and providing a richer conceptual framework for understanding subjectivity and language (Nobus, 1999, p. 102). Others criticize J. Lacan for a lack of clinical clarity or empirical support, raising concerns about the scientific rigor of Lacanian psychoanalysis (Crews, 1998, p. xxix). J. Lacan remains a major figure in psychoanalytic theory, yet his reception among psychologists and empirical researchers remains ambivalent.\nIn the literature in general, and in the psychoanalytic literature in particular, emotions and affects are often incorrectly used as synonyms of each other, or one is mistakenly used for the other.\nIt is not the purpose of this study to delve into the intricacies of each of these terms. This paper deals mainly with emotions. When the term affect appears, it indicates that this word was the original choice of the referenced author.\nIt is outside the scope of this study to present a comprehensive review of psychoanalytic theory. In fact, it is assumed that the reader is at least acquainted with its fundamental concepts, such as the Unconscious the triad (ego, id, and superego), and the theory of sexuality.\nSince 1893, S. Freud, either alone or in collaboration with J. Breuer, in his research about Hysteria (Breuer and Freud, 1893–1895) and “The Neuropsychoses of Defence” (Freud, 1894), examined affects and their destination when submitted to the repression process. For example, in this latter research he stated (Freud, 1894, p. 303):\nFor these patients whom I analyzed had enjoyed good mental health until an occurrence of incompatibility [Unverträglichkeit] took place in their ideational life–that is, until their ego [Ich] was faced with an experience, an idea, or a feeling that aroused such a distressing affect that the subject [Person] decided to forget about it because he had no confidence in his power to resolve the contradiction between that incompatible idea and his ego by means of thought activity.\nIn the face of such incompatible ideas, patients try to “push the thing away,” make an effort not to think of it, or suppress it. When this kind of “forgetting” did not succeed, it led to various pathological reactions, producing either hysteria or an obsession or a hallucinatory psychosis. The memory trace and the affect which is attached to the idea are there once and for all and cannot be eradicated.\nIn 1915, S. Freud published his fundamental research on the Unconscious, in which he postulates the destination of the repressed affect (Freud, 1915b, p. 3002):\nThe importance of the system Cs. (Pcs.) with regard to access to the release of affect and to action enables us to understand the part played by substitutive ideas in determining the form taken by illness. It is possible for the development of affect to proceed directly from the system Ucs.; in that case, the affect always has the character of anxiety\n[anguish], for which all “repressed” affects are exchanged.\nin which Cs., Pcs., and Ucs stand for the Conscious, Preconscious, and Unconscious systems respectively.\nIn this study, we retain the term proposed in the Spanish version (Freud, 1915a), translated by Luis López Ballesteros y de Torres and formally approved by S. Freud, and will refer to anguish (instead of anxiety) as the result of repressed affect.\nIn summary, it may be said that:\nS. Freud uses the term affect to collectively refer to emotions;\nEmotions are essential elements of the etiology of neuropsychoses;\nWhether the emotions were repressed or not, along with the distressing experience, determines the development path of the neuropsychosis;\nNo single emotion is identified as more important in the development of neuropsychoses;\nAll repressed and undischarged emotions are exchanged for anguish.\nThe Vorstellungsrepräsentanzen (the representatives of representations) are strictly equivalent to J. Lacan's signifiers. Affects are situated along the pleasure-unpleasure axis, are not completely repressed, have become disconnected from the original trauma, and can move among different Vorstellungsrepräsentanzen. Affects sliding from one representation to another lie (according to J. Lacan (Lacan 2004a), class given on November 26, 1958) about their origins. According to C. Soler in (Soler, 2016, p. 15):\nPlacing at the beginning of mankind's fate the experience of an unmasterable excitation that overwhelms the subject and generates anguish that he qualifies as “real”, he bestows a very specific status on anguish: it is both effect and cause. It is the effect of a real encounter with the said excitation, but it is the cause of the repression that will generate symptoms and resonate in subsequent affects, first among which is “anguish as a signal”, which is both a memorial and a warning: a memorial of the first trauma and a warning about an imminent danger.\nTo start with, Lacan (2004b, p. 65) posited that anguish is the affect that does not lie or deceive (ne trompe pas). It involves major bodily sensations, such as having a stone in one's throat or a heart racing too fast. Anguish has three characteristics:\nthere is a blurred threat;\nit is experienced;\nthe subject knows that it concerns him/her, but has no explanation for it.\nAnguish does not drift among signifiers; it remains attached to the original cause. It is not without an object; its object is the object a (le petit a), and it indicates the oncoming arrival of something that is real. Because it is tied to something real, it becomes an ally to interpretation.\nCapitalism has replaced symbolic production with the objects it produces. People talk a great deal about the rise of depression in our era, but the true mood illness of capitalism is anguish. Anguish is the emotion tied to “subjective destitution;” it is an affect that arises when the subject perceives himself as an object. Scientific capitalism, with its technological effects, brings about destitution far more radically than psychoanalysis does: it uses and abuses subjects as instruments.\nJ. Lacan went far beyond the consideration of anguish by developing a complete “Theory of affects,” in which he states that no known affects lack a bodily component. Thus, to conceptualize affect, one must “include the body” (Lacan, 1974) and, as exposed in Soler (2016, p. 52):\nThe organic individual that supports the speaking subject represented by the signifier is not the body. There are:\nthe living organism, which is the object studied by biology and which psychoanalysts need to know little about;\nthe subject defined by his speech; and\nthe body of the subject, which is also studied by psychoanalysis since it is subject to symptoms.\nJ. Lacan presented an affect series on television that is both unique and surprising (Lacan, 1974).\nAccording to Soler (2016, p. 84):\nThis series does not seek to cover all effects, but specifically those that are responses to the reality of the unconscious (au réel de l'inconscient)–in other words, to the impossible relationship between the sexes–and to its effects, which psychoanalysis alone illuminates.\n.\n.\n.\nFrom this vantage point, not all effects are equivalent. Of the four I have discussed, the first two (sadness and joyful knowledge) are related to knowledge, and the last two (boredom and moroseness) are related to sex. The series is thus organized as follows: on the one hand, as a function of one's ethical position in relation to knowledge, the difference between sadness and joyful knowledge; on the other hand, as a function of the historicity of discourse, with “our” boredom and “our” moroseness, the typical dominance of the latter corresponds to the effects of the unconscious on the body when the reparative semblances that nourished Eros are missing.\nJ. Lacan proposed his four discourses in 1969 in his seminar L'envers de la psychanalyse (Lacan, 2004e, p. 11). He further developed his ideas in the following seminars as Lacan (2004g, p. 36) and Lacan (2004h, p. 91). His ideas were extremely well explained by Bailly (2009, p. 123–129).\nThe Four Discourses theory is a formalism for the different ways people relate to one another and for the economy of knowledge and enjoyment in social relationships. The general structure is represented by a matheme, as shown in Equation 1.\nThe transmitter of the discourse is the Agent occupying the top left position of the matheme. The Agent addresses the other occupying the top right position of the matheme. The other is the receiver of the message. This interaction is represented by the arrow pointing from the Agent to the other. What the Agent says is driven by the Truth hidden below the Agent, belonging to the Unconscious and not directly accessible. This driving is represented by the upward arrow pointing from the Truth to the Agent. The hidden Truth is embedded in the transmitted message. This is represented by the oblique arrow pointing from the Truth to the other. The message is interpreted by the other, both consciously and unconsciously, and a response, the Production, is delivered. The Production is the fourth element of the matheme, occupying the bottom right position of the matheme. The Production is delivered to the Agent, represented by the oblique arrow pointing from the Production to the Agent.\nThere is no arrow pointing from the Production to the Truth, indicating that the provided response is incomplete and unsatisfactory. Perfect communication between the transmitter and receiver sides is impossible. This impossibility arises because people are speaking beings and communication is constrained by language. Nevertheless, this impossibility is what creates and maintains the social bonds between beings.\nThe four elements of the matheme are placeholders for the roles assumed by the interacting parties in the communication process, namely:\nS1: the master signifier represents the true essence of the subject; it organizes both the psychical and everyday reality. It may be summarized by who I am.\nS2: represents the knowledge of the subject. It may be summarized by what I know.\na: represents the object cause of desire. It may be summarized by what I want.\n$: represents the barred subject castrated by the language. It may be summarized by what I speak.\nThe four discourses are defined by the position each element occupies in the general matheme representation shown in Equation 1.\n↑S1$  ⤧  →S2a↓ Master Discourse: the Agent position is occupied by S1 who addresses the other not as a person per se but as the holder of a knowledge (S2). The message may convey not only traces of authority and power but also the image the Agent builds about him/herself to be publicly disclosed. S1 is driven by $, meaning that the message suffers from the limitations imposed by the language. The receiver S2 cannot fully enjoy the possession of knowledge that is delivered to the Agent as the Production represented by a.\nA counterclockwise rotation of the elements of the Master Discourse matheme leads to the second discourse.\n↑S1S2  ⤧  →a$↓ University Discourse: in this discourse S1 is downgraded and becomes the hidden Truth. S2 becomes the Agent. The transmitted message may convey verified and referenced information. The Agent may be a real expert or authority in his/her field of study, or can be just the false image of an expert whose expertise is derived from the supporting S1. It is a discourse that represents institutions and their manipulative actions upon the receivers of the message. The Agent addresses a, i.e., addresses the receiver's desire to be accepted by the prestigious S1 and to incorporate some of its characteristics. The end result, i.e., the Production, is merely the receiver's submission to the transmitter.\nA counterclockwise rotation of the elements of the University Discourse matheme leads to the third discourse.\n↑aS2  ⤧  →$S1↓ Analyst Discourse: in the discourse of the Analyst, the Agent becomes the a of the other, i.e., the other's desire to know more about him/herself. The Agent becomes the subject-supposed-to-know (S2) of the Truth about the other. The Agent addresses the other as a speaking being, employing a neutral curiosity, free of judgement, and aiming to provoke the other to generate a Production that reveals his/her master signifiers S1. This chain of signifiers may be interpreted and reflected back, as if by an empty mirror, to the other, who ends up knowing more about him/herself. In a long-term relationship, the other ends up learning that all knowledge acquired came from him/herself and that the Agent is no longer necessary.\nAnother counterclockwise rotation of the elements of the Analyst Discourse matheme leads to the final fourth discourse.\n↑$a  ⤧  →S1S2↓ Hysteric Discourse: one does not have to be hysterical in the clinical sense to hold the discourse of the Hysteric; indeed, J. Lacan made it clear that this type of discourse in non-hysterical people is precisely what leads to true learning. The Agent as a speaking being $, driven by his/her desire to know a, addresses the other in his social role S1 as someone that is able to produce true information and knowledge S2, the targeted Production. The Production is usually unsatisfactory, making the Agent continue the questioning till the knowledge S2 of the other is exhausted.\nIn Seminar XVIII (Lacan, 2004f) and Seminar XIX (Lacan, 2004c, p. 66), J. Lacan reformulated the general structure of the discourse's matheme, as shown in Equation 2.\nThe Agent becomes the Semblance to indicate that the discourse is defined by the position or role someone takes in relation to the other. For example, the discourse of the Master takes shape when someone plays the role of the commanding agent. The position of the other is substituted by the Jouissance that is defined by Lacan (2004c, p. 66) in Seminar XIX as a disturbing dimension in the experience of the body. The subject is unable to experience itself as a self-sufficient enjoying entity. The enjoyment is conditioned by the addressing Semblance which is expected to manage it.\nLast but not least, the Production of the discourse becomes the Surplus-jouissance. J. Lacan borrows Marx's concept of “surplus value” (Marx, 2018) to build the concept of “surplus-jouissance.” “Surplus value” is defined as the difference between the exchange value of products of labor (commodities) and the value that corresponds to the effort of producing these products, i.e., the means of production and labor power. Within the capitalist system, the sole objective is to extract surplus value; profit-making and capital expansion are the driving forces.\nLacan (2004d, p. 7) states that the general structure of discourse is homologous to Marx's system of capitalism. In capitalist production, surplus value and/or commodities are fetishized, whereas in discourse a fetishistic relation with surplus-jouissance is created.\nIn discourse, language is produced. The attempt to address jouissance through language produces a surplus of corporeal tension that lies beyond language itself. Such surplus-jouissance can only be located in the realm of fantasy or delusion.\nBy the end of 1960, J. Lacan began commenting on a fifth discourse, the Capitalist Discourse, highlighting its differences from the other four discourses. In 1972, in a lecture at the University of Milan (Contri, 1978, p. 32–55), J. Lacan presented the precise structure of the Capitalist Discourse, as shown in Equation 3.\nAt first glance, the Capitalist Discourse appears to be a simple variation of the Master Discourse, but in fact it is a disruptive mutation of it. By comparing both structures, it is possible to identify three differences:\n$ and S1 exchange places.\nThe arrow pointing upward on the left that makes the position of the truth inaccessible in the classic discourse changes into an arrow pointing downwards.\nThe horizontal arrow that established the connection between the Agent and the other, or between the Semblance and the Jouissance disappears.\nIn the Master Discourse, S1 organizes the discourse due to its position as the Agent (Semblance). In the Capitalist Discourse, S1 has been degraded to occupy the Truth position that is not hidden anymore but has become accessible as indicated by the arrow pointing downwards on the transmitter's side. In the Capitalist Discourse, the castrated subject $ does not express its needs or demands by addressing the other. $, by itself, elects a fetishized commodity to fulfill those needs or demands. The fetish materializes through the acquisition of an asset (S2) that most certainly does not meet the subject's expectations. This frustration fuels the Production, and the object-cause-of-desire a feeds back to $. The subject will try to combat this frustration by electing a new S1, and the cycle repeats itself.\nThe cycle $ → S1 → S2 → a → $ → …  can continue indefinitely. This cycle represents serious disorders such as addiction and compulsion. Addiction includes drugs, social media, pornography, and others. Compulsion includes buying, working, sex, and others.\nThe attachment to the Capitalist Discourse is driven by big corporations, the media, and marketing giants, who use all kinds of manipulation to enslave people to the carousel of consumerism. The Subject is reduced to a mere object to be used and discarded.\nIn the four classic discourses, social bonds are sustained by the impossibility of communication between the hidden Truth and the Production. In J. Lacan's terms, the non-rapport (▴) underpins the relationship between the Agent (Semblance) and the other (Jouissance).\nIn the Capitalist Discourse the social bonds are destroyed.\nLacanian Discourse Analysis (LDA) is not a system or methodology developed by Lacan himself but rather a way of applying Lacanian concepts to analyze texts. It is considered a subsequent scholarly effort, especially in the psychosocial domain, to create a “system” of text analysis aligned with Lacanian psychoanalytic theory, which was originally designed for therapeutic sessions. However, this paper does not aim to delve deeply into LDA or engage with the intricacies of psychoanalysis. Instead, it focuses on utilizing certain aspects of LDA, particularly one of the five Lacanian Discourses, for a specific application and goal. To reflect this distinction, we refer to this approach as Lacanian Discourse Discovery (LDD) rather than LDA.\nThe term “Discovery” is chosen deliberately to emphasize that this process of identifying the five discourses in a text does not involve analytical or methodological procedures, such as those outlined by Parker (2010, p. 156–172). Instead, the identification of the discourses is viewed as a discovery process, one that quickly and effectively uncovers the Lacanian discourses in a text without delving deeply into the text's attributes or the speakers' characteristics.\nThis work represents the first attempt to apply the Lacanian Discourses within the Natural Language Processing (NLP) domain of Computer Science; breaking down text or speech into smaller parts that computer programs can easily understand1 (Eisenstein, 2019).\nThe use of Lacanian approaches in text analysis is common in theoretical studies of philosophy and politics (Wetherell, 1999, p. 399–406), and in studies of structured texts (Parker, 2010, p. 156–172).\nStructured text, such as a movie script written by a screenwriter for production and audience entertainment, has the advantage of allowing one to map the social, cultural, and situational factors influencing the text and the relationships between the characters. In the same way, this approach is applied to less structured texts. This is a new, radical approach to combining Lacanian psychoanalytic concepts in the NLP domain. This approach aims to quickly identify the five Lacanian discourses when there is no information about social or cultural factors, the gender or attributes of the subjects, or clear connections or interactions between the characters.\nBy bringing parts of Lacanian Discourse theory into the NLP domain, it enabled the achievement of:\nAn efficient method for discovering Lacanian discourses in short, unstructured texts such as everyday dialogues.\nA foundation for the development of future computer-based applications using the Lacanian Discourses.\nFor the first time, the integration of Lacanian discourse concepts with NLP tasks in the field of Computer Science.\nThe categorization of emotions is particularly complex and debated. Unlike more concrete categories (e.g., colors), emotions present unique challenges due to their subjective, multifaceted nature and linguistic constraints.\nThe relationship between language and emotion is far from straightforward. While words like “anger” or “fear” may appear to directly express internal states, psychological research shows that emotional words can serve multiple discursive functions from labeling to distancing or rhetorical emphasis (Barrett, 2006; Lindquist et al., 2015). The mere presence of an emotion term is not necessarily diagnostic of the speaker's felt emotion, especially in unconstrained everyday discourse (Wierzbicka, 1999).\nIn corpus linguistics and discourse psychology, scholars have analyzed how combinations of linguistic elements form patterned representations of power, ideology, or affect. For example, Ertel (1985) focused on the possibility that language might be a reservoir of cues signaling cognitive features underlying ideological commitment. In Mills (1985), the author states that:\nContent analysis is the fundamental tool for analyzing and predicting the policies of communist states because: (1) survey research, archival studies, and firsthand observation of the national decision-making process are generally impractical, and (2) policies are often publicly justified because ideology is a more significant legitimizing factor than electoral victory, charisma, or heredity.\nIn Siderits et al. (1985), the authors examined how role and gender affect hostile and anxious communication. The role was manipulated using the Melian Dialogues, a technique borrowed from community organization training that asks participants to alternately assume the roles of superior and inferior power. A multivariate analysis of variance showed that while role had a highly significant effect (p < 0.0001) on the content of the communications, neither gender nor the order in which roles were assumed had a significant influence. The results were interpreted as a consequence of role justification.\nRecent Polish research has examined how linguistic collocations reveal implicit conceptualizations of power (Citlak and Koziol, 2024). Similarly, the Linguistic Category Model (LCM), developed by Semin and Fiedler (1991) and Semin (2008), provides a systematic framework for analyzing the abstraction level of verbs and nouns in emotional or interpersonal language, thereby revealing subtle biases in attribution and social judgment.\nProbably the most basic set of emotions found in human text comes from a Chinese encyclopedia compiled in the first century B.C.: What are the feelings of men? They are joy, anger, sadness, disliking, and liking. These five feelings belong to men without their having learned them (Chai and Chai, 1967, p. 379).\nSuch a basic scheme could be valid and used as an early-stage approach to identifying a state-of-the-art set of emotions for universal use. Progressively, the most well-known schema are Ekman (2008, p. 435–443), Plutchik (1980, p. 3–33), Circumplex theory of affect (Watson and Tellegen, 1985, p. 219–235)], EARL (Human-Machine Interaction Network on Emotion, HUMAINE), and WordNet–Affect (Sedding and Kazakov, 2004). According to Arribas-Ayllon et al. (2019, p. 619–648), Ekman's six basic emotions emerged as the most useful classification scheme for emotive language analysis in terms of ease of use by human annotators and training supervised machine learning algorithms. However, it has significant shortcomings, particularly in the representation of positive emotions. Plutchik (1980, p. 3–33)'s wheel of emotions provides a rich emotional spectrum but is complex and yields lower performance in machine learning. The Circumplex model (Watson and Tellegen, 1985, p. 219–235) offers a dimensional representation of emotions, capturing nuances well but also presenting complexity and moderate performance in machine learning. EARL (Human-Machine Interaction Network on Emotion, HUMAINE), designed for technological contexts, covers a wide range of emotions but has lower inter-annotator agreement and performance. Finally, WordNet–Affect (Sedding and Kazakov, 2004) is a rich lexical resource but is difficult to navigate and achieves the lowest agreement and performance.\nIn this study, selecting the appropriate scheme was challenging due to the extensive body of research and debate on these schemes. To find an appropriate scheme/classification of emotions to be used in this study, the following two main research objectives were set:\nThe emotions scheme should be at least statistically and scientifically valid, and not only empirical and observational.\nThe selected scheme should be derived from human annotators and supported by sufficient statistical validation. This ensures that the scheme is grounded in reliable human judgment and is statistically sound. Additionally, it must be acceptable to the community and widely used across various applications, ensuring its relevance and practical utility. Finally, the scheme should mitigate as many drawbacks of the existing schema as possible, addressing issues such as oversimplification and insufficient emotional coverage to provide a more comprehensive and nuanced understanding of emotions.\nThe emotions scheme must be appropriate and aligned with the concepts of LDA.\nThis alignment is necessary to ensure that the emotional classifications contribute meaningfully to the discovery of Lacanian discourses within the text. LDA examines language and its effects on the subject, emphasizing the importance of underlying structures and meanings in discourse. Therefore, the chosen scheme should capture these nuances and complexities in emotional expression, facilitating a deeper understanding of the text in line with Lacanian principles.\nIn recent years, quantitative discourse analysis in psychology has evolved into a robust interdisciplinary field, integrating methods from linguistics, computer science, and cognitive science. Researchers have increasingly turned to computational and statistical approaches to analyze how emotions are expressed and structured in discourse, using tools such as sentiment analysis, topic modeling, and latent semantic analysis (Tausczik and Pennebaker, 2009; Suleman and Korkontzelos, 2021; Lai et al., 2023).\nNotably, research that focuses on language use as a psychological marker, with emotional language serving as a window into affective and mental states. For example, the Linguistic Inquiry and Word Count (LIWC) framework has been widely used to associate patterns of emotional word use with personality traits, well-being, and social dynamics (Pennebaker et al., 2003; Boyd and Pennebaker, 2017). These methods enable large-scale, systematic investigations of emotional discourse across diverse contexts – from social media and therapy sessions to autobiographical narratives (Kahn et al., 2007).\nFurthermore, emotion classification in text using machine learning and NLP has enabled researchers to identify nuanced affective patterns and their correlations with psychological variables (Mohammad, 2021). Studies have examined how emotional valence, arousal, and discrete emotions such as anger and sadness are reflected in linguistic structures, providing quantitative insights into affective processes (Buechel and Hahn, 2017).\nAlthough these approaches differ substantially from the structural and symbolic perspective of Lacanian psychoanalysis, they offer valuable frameworks for empirically grounding discourse-emotion relationships.\nIn this section, a few studies are briefly reviewed because of: (i) their background information, which helps to understand the context in which this study has been developed; and (ii) their ideas, which could be used to fuel future research.\nIn Bucci et al. (2022), the authors present two independent study cases.\nThe first is an Emotional Text Analysis (ETA). They show that emotions expressed in language are not individual phenomena but organizers of historically determined social relations. They conducted focus groups with young graduates who were about to start their first job in multinational corporations, as well as with their corporate mentors. Using ETA, they identified two distinct clusters of emotions. One was associated with young graduates' expectations, and the other with the mentors' accounts. In this case study, there is no mention of LDA.\nThe second case study is an example of LDA carried out within a therapeutic community (TC) for children and teenagers diagnosed with psychosis and autism spectrum disorders. Conversations between the therapeutic group and the family group were transcribed verbatim and reviewed by a panel of researchers trained in Lacanian psychoanalysis. The family group adopts a Hysteric Discourse and demands that the therapeutic group assume the Master Discourse and provide answers and solutions to the problem at hand. The leader of the therapeutic group wisely does not fall into the trap and adopts the Analyst Discourse, opening a path for further clarification of the problem.\nThis case study is closely related to this research and shows the possibility of applying LDA to daily dialogues and how the Agent changes roles as the dialog evolves.\nIn Vanheule (2016), the author provides a thorough revision of the four classic Lacanian Discourses that goes beyond the explanations given by J. Lacan himself at the time of his writings and by other researchers who repeated what J. Lacan said in simpler terms. For example, in the case of the Master Discourse, in addition to reinforcing that it is associated with authority and power, he includes:\nIn the Master Discourse, the insistent signifiers (S1) that provoke explanation (S2) come to the fore. Their articulation connotes the subject underlying this articulation of signifiers ($), and at the same time provokes an excitement (a) that is split off from the subject.\nNext, the author delves into the Capitalist Discourse. The Capitalist Discourse is prevalent today and cannot be omitted from any study dealing with LDA and LDD. It underpins the rupture of social bonds and is the bedrock of many addictions that plague society. It has clinical importance because it must be managed differently depending on whether the patient is psychotic or neurotic.\nIn an important study focusing on the role of signifiers, the authors wrote in the Introduction of Olyff and Bazan (2023, p. 1):\nFreud proposed that names of clinically salient objects or situations, for example, a beetle (Käfer) in Mr. E's panic attack, refer through their phonological form rather than their meaning, to etiologically important events—here, “Que faire?” which summarizes the indecisiveness of Mr. E's mother concerning her marriage with Mr. E's father. Lacan formalized these ideas, attributing full-fledged mental effectiveness to the signifier, and summarized this as “the unconscious structured as a language”. We tested one aspect of this theory, namely that there is an influence of the ambiguous phonological translation of the world upon our mental processing without us being aware of this influence.\nThe aforementioned work, published in 2023, is very recent and provides empirical evidence for the mental effectiveness of the signifier. It validates the empirical approach adopted by our own research and highlights the importance and possibility of identifying signifiers and the corresponding signifying chain that underpins LDA and LDD.\nRobert “Rob” Haskell (1938–2010) served as a professor of psychology and department chair at the University of New England. His research areas include transfer of learning, small-group leadership, language and communication, unconscious cognition (Haskell, 2008), and analogical reasoning. He developed a novel logico-mathematical, structural methodology for the analysis and validation of sub-literal (SubLit) language and cognition (Haskell, 2003, p. 347–400).\nHis research, supported by several examples and a solid theoretical basis, demonstrates the presence of a hidden Truth within a discourse. The algorithm he proposed in Haskell (2003) has never been implemented and may be a valid dimension to include in future research to automatically identify signifiers and the associated signifying chain.\n\n\n### Theoretical framework\nThe objectives of this section are to review how emotions are treated in the research of S. Freud and J. Lacan, to review the five Lacanian discourses, to describe Lacanian Discourse Analysis (LDA), and to review the major proposed classification of emotions.\nWhile S. Freud is universally recognized as the “father” of Psychoanalysis, it is worth briefly providing some information about J. Lacan's place in Psychoanalysis and how psychoanalysts and psychologists assess him.\nJ. Lacan (1901–1981) is considered one of the most influential and controversial figures in psychoanalytic theory. J. Lacan's study reinterpreted Freudian theory through the lenses of structural linguistics, topology, and philosophy, particularly drawing on Saussure, Levi-Strauss, and Hegel (Fink, 1996). J. Lacan's emphasis on language and the symbolic order marked a significant departure from the ego psychology dominant in mid-20th-century psychoanalysis (Evans, 1996, p. 162).\nJ. Lacan's position within psychoanalysis is both central and controversial. In France, Lacanian psychoanalysis has had and continues to have a significant institutional and clinical presence, influencing numerous schools of thought (Roudinesco, 1990, p. 25). However, in Anglo-American psychology, J. Lacan's study has often been marginalized for its abstract style and complex terminology (Leader, 2012, p. 81). His ideas have been influential in critical theory, feminist psychoanalysis, and cultural studies (Zizek, 2006).\nSome psychoanalysts view J. Lacan's contributions as revitalizing the Freudian legacy and providing a richer conceptual framework for understanding subjectivity and language (Nobus, 1999, p. 102). Others criticize J. Lacan for a lack of clinical clarity or empirical support, raising concerns about the scientific rigor of Lacanian psychoanalysis (Crews, 1998, p. xxix). J. Lacan remains a major figure in psychoanalytic theory, yet his reception among psychologists and empirical researchers remains ambivalent.\nIn the literature in general, and in the psychoanalytic literature in particular, emotions and affects are often incorrectly used as synonyms of each other, or one is mistakenly used for the other.\nIt is not the purpose of this study to delve into the intricacies of each of these terms. This paper deals mainly with emotions. When the term affect appears, it indicates that this word was the original choice of the referenced author.\nIt is outside the scope of this study to present a comprehensive review of psychoanalytic theory. In fact, it is assumed that the reader is at least acquainted with its fundamental concepts, such as the Unconscious the triad (ego, id, and superego), and the theory of sexuality.\nSince 1893, S. Freud, either alone or in collaboration with J. Breuer, in his research about Hysteria (Breuer and Freud, 1893–1895) and “The Neuropsychoses of Defence” (Freud, 1894), examined affects and their destination when submitted to the repression process. For example, in this latter research he stated (Freud, 1894, p. 303):\nFor these patients whom I analyzed had enjoyed good mental health until an occurrence of incompatibility [Unverträglichkeit] took place in their ideational life–that is, until their ego [Ich] was faced with an experience, an idea, or a feeling that aroused such a distressing affect that the subject [Person] decided to forget about it because he had no confidence in his power to resolve the contradiction between that incompatible idea and his ego by means of thought activity.\nIn the face of such incompatible ideas, patients try to “push the thing away,” make an effort not to think of it, or suppress it. When this kind of “forgetting” did not succeed, it led to various pathological reactions, producing either hysteria or an obsession or a hallucinatory psychosis. The memory trace and the affect which is attached to the idea are there once and for all and cannot be eradicated.\nIn 1915, S. Freud published his fundamental research on the Unconscious, in which he postulates the destination of the repressed affect (Freud, 1915b, p. 3002):\nThe importance of the system Cs. (Pcs.) with regard to access to the release of affect and to action enables us to understand the part played by substitutive ideas in determining the form taken by illness. It is possible for the development of affect to proceed directly from the system Ucs.; in that case, the affect always has the character of anxiety\n[anguish], for which all “repressed” affects are exchanged.\nin which Cs., Pcs., and Ucs stand for the Conscious, Preconscious, and Unconscious systems respectively.\nIn this study, we retain the term proposed in the Spanish version (Freud, 1915a), translated by Luis López Ballesteros y de Torres and formally approved by S. Freud, and will refer to anguish (instead of anxiety) as the result of repressed affect.\nIn summary, it may be said that:\nS. Freud uses the term affect to collectively refer to emotions;\nEmotions are essential elements of the etiology of neuropsychoses;\nWhether the emotions were repressed or not, along with the distressing experience, determines the development path of the neuropsychosis;\nNo single emotion is identified as more important in the development of neuropsychoses;\nAll repressed and undischarged emotions are exchanged for anguish.\nThe Vorstellungsrepräsentanzen (the representatives of representations) are strictly equivalent to J. Lacan's signifiers. Affects are situated along the pleasure-unpleasure axis, are not completely repressed, have become disconnected from the original trauma, and can move among different Vorstellungsrepräsentanzen. Affects sliding from one representation to another lie (according to J. Lacan (Lacan 2004a), class given on November 26, 1958) about their origins. According to C. Soler in (Soler, 2016, p. 15):\nPlacing at the beginning of mankind's fate the experience of an unmasterable excitation that overwhelms the subject and generates anguish that he qualifies as “real”, he bestows a very specific status on anguish: it is both effect and cause. It is the effect of a real encounter with the said excitation, but it is the cause of the repression that will generate symptoms and resonate in subsequent affects, first among which is “anguish as a signal”, which is both a memorial and a warning: a memorial of the first trauma and a warning about an imminent danger.\nTo start with, Lacan (2004b, p. 65) posited that anguish is the affect that does not lie or deceive (ne trompe pas). It involves major bodily sensations, such as having a stone in one's throat or a heart racing too fast. Anguish has three characteristics:\nthere is a blurred threat;\nit is experienced;\nthe subject knows that it concerns him/her, but has no explanation for it.\nAnguish does not drift among signifiers; it remains attached to the original cause. It is not without an object; its object is the object a (le petit a), and it indicates the oncoming arrival of something that is real. Because it is tied to something real, it becomes an ally to interpretation.\nCapitalism has replaced symbolic production with the objects it produces. People talk a great deal about the rise of depression in our era, but the true mood illness of capitalism is anguish. Anguish is the emotion tied to “subjective destitution;” it is an affect that arises when the subject perceives himself as an object. Scientific capitalism, with its technological effects, brings about destitution far more radically than psychoanalysis does: it uses and abuses subjects as instruments.\nJ. Lacan went far beyond the consideration of anguish by developing a complete “Theory of affects,” in which he states that no known affects lack a bodily component. Thus, to conceptualize affect, one must “include the body” (Lacan, 1974) and, as exposed in Soler (2016, p. 52):\nThe organic individual that supports the speaking subject represented by the signifier is not the body. There are:\nthe living organism, which is the object studied by biology and which psychoanalysts need to know little about;\nthe subject defined by his speech; and\nthe body of the subject, which is also studied by psychoanalysis since it is subject to symptoms.\nJ. Lacan presented an affect series on television that is both unique and surprising (Lacan, 1974).\nAccording to Soler (2016, p. 84):\nThis series does not seek to cover all effects, but specifically those that are responses to the reality of the unconscious (au réel de l'inconscient)–in other words, to the impossible relationship between the sexes–and to its effects, which psychoanalysis alone illuminates.\n.\n.\n.\nFrom this vantage point, not all effects are equivalent. Of the four I have discussed, the first two (sadness and joyful knowledge) are related to knowledge, and the last two (boredom and moroseness) are related to sex. The series is thus organized as follows: on the one hand, as a function of one's ethical position in relation to knowledge, the difference between sadness and joyful knowledge; on the other hand, as a function of the historicity of discourse, with “our” boredom and “our” moroseness, the typical dominance of the latter corresponds to the effects of the unconscious on the body when the reparative semblances that nourished Eros are missing.\nJ. Lacan proposed his four discourses in 1969 in his seminar L'envers de la psychanalyse (Lacan, 2004e, p. 11). He further developed his ideas in the following seminars as Lacan (2004g, p. 36) and Lacan (2004h, p. 91). His ideas were extremely well explained by Bailly (2009, p. 123–129).\nThe Four Discourses theory is a formalism for the different ways people relate to one another and for the economy of knowledge and enjoyment in social relationships. The general structure is represented by a matheme, as shown in Equation 1.\nThe transmitter of the discourse is the Agent occupying the top left position of the matheme. The Agent addresses the other occupying the top right position of the matheme. The other is the receiver of the message. This interaction is represented by the arrow pointing from the Agent to the other. What the Agent says is driven by the Truth hidden below the Agent, belonging to the Unconscious and not directly accessible. This driving is represented by the upward arrow pointing from the Truth to the Agent. The hidden Truth is embedded in the transmitted message. This is represented by the oblique arrow pointing from the Truth to the other. The message is interpreted by the other, both consciously and unconsciously, and a response, the Production, is delivered. The Production is the fourth element of the matheme, occupying the bottom right position of the matheme. The Production is delivered to the Agent, represented by the oblique arrow pointing from the Production to the Agent.\nThere is no arrow pointing from the Production to the Truth, indicating that the provided response is incomplete and unsatisfactory. Perfect communication between the transmitter and receiver sides is impossible. This impossibility arises because people are speaking beings and communication is constrained by language. Nevertheless, this impossibility is what creates and maintains the social bonds between beings.\nThe four elements of the matheme are placeholders for the roles assumed by the interacting parties in the communication process, namely:\nS1: the master signifier represents the true essence of the subject; it organizes both the psychical and everyday reality. It may be summarized by who I am.\nS2: represents the knowledge of the subject. It may be summarized by what I know.\na: represents the object cause of desire. It may be summarized by what I want.\n$: represents the barred subject castrated by the language. It may be summarized by what I speak.\nThe four discourses are defined by the position each element occupies in the general matheme representation shown in Equation 1.\n↑S1$  ⤧  →S2a↓ Master Discourse: the Agent position is occupied by S1 who addresses the other not as a person per se but as the holder of a knowledge (S2). The message may convey not only traces of authority and power but also the image the Agent builds about him/herself to be publicly disclosed. S1 is driven by $, meaning that the message suffers from the limitations imposed by the language. The receiver S2 cannot fully enjoy the possession of knowledge that is delivered to the Agent as the Production represented by a.\nA counterclockwise rotation of the elements of the Master Discourse matheme leads to the second discourse.\n↑S1S2  ⤧  →a$↓ University Discourse: in this discourse S1 is downgraded and becomes the hidden Truth. S2 becomes the Agent. The transmitted message may convey verified and referenced information. The Agent may be a real expert or authority in his/her field of study, or can be just the false image of an expert whose expertise is derived from the supporting S1. It is a discourse that represents institutions and their manipulative actions upon the receivers of the message. The Agent addresses a, i.e., addresses the receiver's desire to be accepted by the prestigious S1 and to incorporate some of its characteristics. The end result, i.e., the Production, is merely the receiver's submission to the transmitter.\nA counterclockwise rotation of the elements of the University Discourse matheme leads to the third discourse.\n↑aS2  ⤧  →$S1↓ Analyst Discourse: in the discourse of the Analyst, the Agent becomes the a of the other, i.e., the other's desire to know more about him/herself. The Agent becomes the subject-supposed-to-know (S2) of the Truth about the other. The Agent addresses the other as a speaking being, employing a neutral curiosity, free of judgement, and aiming to provoke the other to generate a Production that reveals his/her master signifiers S1. This chain of signifiers may be interpreted and reflected back, as if by an empty mirror, to the other, who ends up knowing more about him/herself. In a long-term relationship, the other ends up learning that all knowledge acquired came from him/herself and that the Agent is no longer necessary.\nAnother counterclockwise rotation of the elements of the Analyst Discourse matheme leads to the final fourth discourse.\n↑$a  ⤧  →S1S2↓ Hysteric Discourse: one does not have to be hysterical in the clinical sense to hold the discourse of the Hysteric; indeed, J. Lacan made it clear that this type of discourse in non-hysterical people is precisely what leads to true learning. The Agent as a speaking being $, driven by his/her desire to know a, addresses the other in his social role S1 as someone that is able to produce true information and knowledge S2, the targeted Production. The Production is usually unsatisfactory, making the Agent continue the questioning till the knowledge S2 of the other is exhausted.\nIn Seminar XVIII (Lacan, 2004f) and Seminar XIX (Lacan, 2004c, p. 66), J. Lacan reformulated the general structure of the discourse's matheme, as shown in Equation 2.\nThe Agent becomes the Semblance to indicate that the discourse is defined by the position or role someone takes in relation to the other. For example, the discourse of the Master takes shape when someone plays the role of the commanding agent. The position of the other is substituted by the Jouissance that is defined by Lacan (2004c, p. 66) in Seminar XIX as a disturbing dimension in the experience of the body. The subject is unable to experience itself as a self-sufficient enjoying entity. The enjoyment is conditioned by the addressing Semblance which is expected to manage it.\nLast but not least, the Production of the discourse becomes the Surplus-jouissance. J. Lacan borrows Marx's concept of “surplus value” (Marx, 2018) to build the concept of “surplus-jouissance.” “Surplus value” is defined as the difference between the exchange value of products of labor (commodities) and the value that corresponds to the effort of producing these products, i.e., the means of production and labor power. Within the capitalist system, the sole objective is to extract surplus value; profit-making and capital expansion are the driving forces.\nLacan (2004d, p. 7) states that the general structure of discourse is homologous to Marx's system of capitalism. In capitalist production, surplus value and/or commodities are fetishized, whereas in discourse a fetishistic relation with surplus-jouissance is created.\nIn discourse, language is produced. The attempt to address jouissance through language produces a surplus of corporeal tension that lies beyond language itself. Such surplus-jouissance can only be located in the realm of fantasy or delusion.\nBy the end of 1960, J. Lacan began commenting on a fifth discourse, the Capitalist Discourse, highlighting its differences from the other four discourses. In 1972, in a lecture at the University of Milan (Contri, 1978, p. 32–55), J. Lacan presented the precise structure of the Capitalist Discourse, as shown in Equation 3.\nAt first glance, the Capitalist Discourse appears to be a simple variation of the Master Discourse, but in fact it is a disruptive mutation of it. By comparing both structures, it is possible to identify three differences:\n$ and S1 exchange places.\nThe arrow pointing upward on the left that makes the position of the truth inaccessible in the classic discourse changes into an arrow pointing downwards.\nThe horizontal arrow that established the connection between the Agent and the other, or between the Semblance and the Jouissance disappears.\nIn the Master Discourse, S1 organizes the discourse due to its position as the Agent (Semblance). In the Capitalist Discourse, S1 has been degraded to occupy the Truth position that is not hidden anymore but has become accessible as indicated by the arrow pointing downwards on the transmitter's side. In the Capitalist Discourse, the castrated subject $ does not express its needs or demands by addressing the other. $, by itself, elects a fetishized commodity to fulfill those needs or demands. The fetish materializes through the acquisition of an asset (S2) that most certainly does not meet the subject's expectations. This frustration fuels the Production, and the object-cause-of-desire a feeds back to $. The subject will try to combat this frustration by electing a new S1, and the cycle repeats itself.\nThe cycle $ → S1 → S2 → a → $ → …  can continue indefinitely. This cycle represents serious disorders such as addiction and compulsion. Addiction includes drugs, social media, pornography, and others. Compulsion includes buying, working, sex, and others.\nThe attachment to the Capitalist Discourse is driven by big corporations, the media, and marketing giants, who use all kinds of manipulation to enslave people to the carousel of consumerism. The Subject is reduced to a mere object to be used and discarded.\nIn the four classic discourses, social bonds are sustained by the impossibility of communication between the hidden Truth and the Production. In J. Lacan's terms, the non-rapport (▴) underpins the relationship between the Agent (Semblance) and the other (Jouissance).\nIn the Capitalist Discourse the social bonds are destroyed.\nLacanian Discourse Analysis (LDA) is not a system or methodology developed by Lacan himself but rather a way of applying Lacanian concepts to analyze texts. It is considered a subsequent scholarly effort, especially in the psychosocial domain, to create a “system” of text analysis aligned with Lacanian psychoanalytic theory, which was originally designed for therapeutic sessions. However, this paper does not aim to delve deeply into LDA or engage with the intricacies of psychoanalysis. Instead, it focuses on utilizing certain aspects of LDA, particularly one of the five Lacanian Discourses, for a specific application and goal. To reflect this distinction, we refer to this approach as Lacanian Discourse Discovery (LDD) rather than LDA.\nThe term “Discovery” is chosen deliberately to emphasize that this process of identifying the five discourses in a text does not involve analytical or methodological procedures, such as those outlined by Parker (2010, p. 156–172). Instead, the identification of the discourses is viewed as a discovery process, one that quickly and effectively uncovers the Lacanian discourses in a text without delving deeply into the text's attributes or the speakers' characteristics.\nThis work represents the first attempt to apply the Lacanian Discourses within the Natural Language Processing (NLP) domain of Computer Science; breaking down text or speech into smaller parts that computer programs can easily understand1 (Eisenstein, 2019).\nThe use of Lacanian approaches in text analysis is common in theoretical studies of philosophy and politics (Wetherell, 1999, p. 399–406), and in studies of structured texts (Parker, 2010, p. 156–172).\nStructured text, such as a movie script written by a screenwriter for production and audience entertainment, has the advantage of allowing one to map the social, cultural, and situational factors influencing the text and the relationships between the characters. In the same way, this approach is applied to less structured texts. This is a new, radical approach to combining Lacanian psychoanalytic concepts in the NLP domain. This approach aims to quickly identify the five Lacanian discourses when there is no information about social or cultural factors, the gender or attributes of the subjects, or clear connections or interactions between the characters.\nBy bringing parts of Lacanian Discourse theory into the NLP domain, it enabled the achievement of:\nAn efficient method for discovering Lacanian discourses in short, unstructured texts such as everyday dialogues.\nA foundation for the development of future computer-based applications using the Lacanian Discourses.\nFor the first time, the integration of Lacanian discourse concepts with NLP tasks in the field of Computer Science.\nThe categorization of emotions is particularly complex and debated. Unlike more concrete categories (e.g., colors), emotions present unique challenges due to their subjective, multifaceted nature and linguistic constraints.\nThe relationship between language and emotion is far from straightforward. While words like “anger” or “fear” may appear to directly express internal states, psychological research shows that emotional words can serve multiple discursive functions from labeling to distancing or rhetorical emphasis (Barrett, 2006; Lindquist et al., 2015). The mere presence of an emotion term is not necessarily diagnostic of the speaker's felt emotion, especially in unconstrained everyday discourse (Wierzbicka, 1999).\nIn corpus linguistics and discourse psychology, scholars have analyzed how combinations of linguistic elements form patterned representations of power, ideology, or affect. For example, Ertel (1985) focused on the possibility that language might be a reservoir of cues signaling cognitive features underlying ideological commitment. In Mills (1985), the author states that:\nContent analysis is the fundamental tool for analyzing and predicting the policies of communist states because: (1) survey research, archival studies, and firsthand observation of the national decision-making process are generally impractical, and (2) policies are often publicly justified because ideology is a more significant legitimizing factor than electoral victory, charisma, or heredity.\nIn Siderits et al. (1985), the authors examined how role and gender affect hostile and anxious communication. The role was manipulated using the Melian Dialogues, a technique borrowed from community organization training that asks participants to alternately assume the roles of superior and inferior power. A multivariate analysis of variance showed that while role had a highly significant effect (p < 0.0001) on the content of the communications, neither gender nor the order in which roles were assumed had a significant influence. The results were interpreted as a consequence of role justification.\nRecent Polish research has examined how linguistic collocations reveal implicit conceptualizations of power (Citlak and Koziol, 2024). Similarly, the Linguistic Category Model (LCM), developed by Semin and Fiedler (1991) and Semin (2008), provides a systematic framework for analyzing the abstraction level of verbs and nouns in emotional or interpersonal language, thereby revealing subtle biases in attribution and social judgment.\nProbably the most basic set of emotions found in human text comes from a Chinese encyclopedia compiled in the first century B.C.: What are the feelings of men? They are joy, anger, sadness, disliking, and liking. These five feelings belong to men without their having learned them (Chai and Chai, 1967, p. 379).\nSuch a basic scheme could be valid and used as an early-stage approach to identifying a state-of-the-art set of emotions for universal use. Progressively, the most well-known schema are Ekman (2008, p. 435–443), Plutchik (1980, p. 3–33), Circumplex theory of affect (Watson and Tellegen, 1985, p. 219–235)], EARL (Human-Machine Interaction Network on Emotion, HUMAINE), and WordNet–Affect (Sedding and Kazakov, 2004). According to Arribas-Ayllon et al. (2019, p. 619–648), Ekman's six basic emotions emerged as the most useful classification scheme for emotive language analysis in terms of ease of use by human annotators and training supervised machine learning algorithms. However, it has significant shortcomings, particularly in the representation of positive emotions. Plutchik (1980, p. 3–33)'s wheel of emotions provides a rich emotional spectrum but is complex and yields lower performance in machine learning. The Circumplex model (Watson and Tellegen, 1985, p. 219–235) offers a dimensional representation of emotions, capturing nuances well but also presenting complexity and moderate performance in machine learning. EARL (Human-Machine Interaction Network on Emotion, HUMAINE), designed for technological contexts, covers a wide range of emotions but has lower inter-annotator agreement and performance. Finally, WordNet–Affect (Sedding and Kazakov, 2004) is a rich lexical resource but is difficult to navigate and achieves the lowest agreement and performance.\nIn this study, selecting the appropriate scheme was challenging due to the extensive body of research and debate on these schemes. To find an appropriate scheme/classification of emotions to be used in this study, the following two main research objectives were set:\nThe emotions scheme should be at least statistically and scientifically valid, and not only empirical and observational.\nThe selected scheme should be derived from human annotators and supported by sufficient statistical validation. This ensures that the scheme is grounded in reliable human judgment and is statistically sound. Additionally, it must be acceptable to the community and widely used across various applications, ensuring its relevance and practical utility. Finally, the scheme should mitigate as many drawbacks of the existing schema as possible, addressing issues such as oversimplification and insufficient emotional coverage to provide a more comprehensive and nuanced understanding of emotions.\nThe emotions scheme must be appropriate and aligned with the concepts of LDA.\nThis alignment is necessary to ensure that the emotional classifications contribute meaningfully to the discovery of Lacanian discourses within the text. LDA examines language and its effects on the subject, emphasizing the importance of underlying structures and meanings in discourse. Therefore, the chosen scheme should capture these nuances and complexities in emotional expression, facilitating a deeper understanding of the text in line with Lacanian principles.\n\n\n### Emotions in Freud's works\nIn the literature in general, and in the psychoanalytic literature in particular, emotions and affects are often incorrectly used as synonyms of each other, or one is mistakenly used for the other.\nIt is not the purpose of this study to delve into the intricacies of each of these terms. This paper deals mainly with emotions. When the term affect appears, it indicates that this word was the original choice of the referenced author.\nIt is outside the scope of this study to present a comprehensive review of psychoanalytic theory. In fact, it is assumed that the reader is at least acquainted with its fundamental concepts, such as the Unconscious the triad (ego, id, and superego), and the theory of sexuality.\nSince 1893, S. Freud, either alone or in collaboration with J. Breuer, in his research about Hysteria (Breuer and Freud, 1893–1895) and “The Neuropsychoses of Defence” (Freud, 1894), examined affects and their destination when submitted to the repression process. For example, in this latter research he stated (Freud, 1894, p. 303):\nFor these patients whom I analyzed had enjoyed good mental health until an occurrence of incompatibility [Unverträglichkeit] took place in their ideational life–that is, until their ego [Ich] was faced with an experience, an idea, or a feeling that aroused such a distressing affect that the subject [Person] decided to forget about it because he had no confidence in his power to resolve the contradiction between that incompatible idea and his ego by means of thought activity.\nIn the face of such incompatible ideas, patients try to “push the thing away,” make an effort not to think of it, or suppress it. When this kind of “forgetting” did not succeed, it led to various pathological reactions, producing either hysteria or an obsession or a hallucinatory psychosis. The memory trace and the affect which is attached to the idea are there once and for all and cannot be eradicated.\nIn 1915, S. Freud published his fundamental research on the Unconscious, in which he postulates the destination of the repressed affect (Freud, 1915b, p. 3002):\nThe importance of the system Cs. (Pcs.) with regard to access to the release of affect and to action enables us to understand the part played by substitutive ideas in determining the form taken by illness. It is possible for the development of affect to proceed directly from the system Ucs.; in that case, the affect always has the character of anxiety\n[anguish], for which all “repressed” affects are exchanged.\nin which Cs., Pcs., and Ucs stand for the Conscious, Preconscious, and Unconscious systems respectively.\nIn this study, we retain the term proposed in the Spanish version (Freud, 1915a), translated by Luis López Ballesteros y de Torres and formally approved by S. Freud, and will refer to anguish (instead of anxiety) as the result of repressed affect.\nIn summary, it may be said that:\nS. Freud uses the term affect to collectively refer to emotions;\nEmotions are essential elements of the etiology of neuropsychoses;\nWhether the emotions were repressed or not, along with the distressing experience, determines the development path of the neuropsychosis;\nNo single emotion is identified as more important in the development of neuropsychoses;\nAll repressed and undischarged emotions are exchanged for anguish.\n\n\n### Emotions in Lacan's works\nThe Vorstellungsrepräsentanzen (the representatives of representations) are strictly equivalent to J. Lacan's signifiers. Affects are situated along the pleasure-unpleasure axis, are not completely repressed, have become disconnected from the original trauma, and can move among different Vorstellungsrepräsentanzen. Affects sliding from one representation to another lie (according to J. Lacan (Lacan 2004a), class given on November 26, 1958) about their origins. According to C. Soler in (Soler, 2016, p. 15):\nPlacing at the beginning of mankind's fate the experience of an unmasterable excitation that overwhelms the subject and generates anguish that he qualifies as “real”, he bestows a very specific status on anguish: it is both effect and cause. It is the effect of a real encounter with the said excitation, but it is the cause of the repression that will generate symptoms and resonate in subsequent affects, first among which is “anguish as a signal”, which is both a memorial and a warning: a memorial of the first trauma and a warning about an imminent danger.\nTo start with, Lacan (2004b, p. 65) posited that anguish is the affect that does not lie or deceive (ne trompe pas). It involves major bodily sensations, such as having a stone in one's throat or a heart racing too fast. Anguish has three characteristics:\nthere is a blurred threat;\nit is experienced;\nthe subject knows that it concerns him/her, but has no explanation for it.\nAnguish does not drift among signifiers; it remains attached to the original cause. It is not without an object; its object is the object a (le petit a), and it indicates the oncoming arrival of something that is real. Because it is tied to something real, it becomes an ally to interpretation.\nCapitalism has replaced symbolic production with the objects it produces. People talk a great deal about the rise of depression in our era, but the true mood illness of capitalism is anguish. Anguish is the emotion tied to “subjective destitution;” it is an affect that arises when the subject perceives himself as an object. Scientific capitalism, with its technological effects, brings about destitution far more radically than psychoanalysis does: it uses and abuses subjects as instruments.\nJ. Lacan went far beyond the consideration of anguish by developing a complete “Theory of affects,” in which he states that no known affects lack a bodily component. Thus, to conceptualize affect, one must “include the body” (Lacan, 1974) and, as exposed in Soler (2016, p. 52):\nThe organic individual that supports the speaking subject represented by the signifier is not the body. There are:\nthe living organism, which is the object studied by biology and which psychoanalysts need to know little about;\nthe subject defined by his speech; and\nthe body of the subject, which is also studied by psychoanalysis since it is subject to symptoms.\nJ. Lacan presented an affect series on television that is both unique and surprising (Lacan, 1974).\nAccording to Soler (2016, p. 84):\nThis series does not seek to cover all effects, but specifically those that are responses to the reality of the unconscious (au réel de l'inconscient)–in other words, to the impossible relationship between the sexes–and to its effects, which psychoanalysis alone illuminates.\n.\n.\n.\nFrom this vantage point, not all effects are equivalent. Of the four I have discussed, the first two (sadness and joyful knowledge) are related to knowledge, and the last two (boredom and moroseness) are related to sex. The series is thus organized as follows: on the one hand, as a function of one's ethical position in relation to knowledge, the difference between sadness and joyful knowledge; on the other hand, as a function of the historicity of discourse, with “our” boredom and “our” moroseness, the typical dominance of the latter corresponds to the effects of the unconscious on the body when the reparative semblances that nourished Eros are missing.\n\n\n### The Lacanian discourses\nJ. Lacan proposed his four discourses in 1969 in his seminar L'envers de la psychanalyse (Lacan, 2004e, p. 11). He further developed his ideas in the following seminars as Lacan (2004g, p. 36) and Lacan (2004h, p. 91). His ideas were extremely well explained by Bailly (2009, p. 123–129).\nThe Four Discourses theory is a formalism for the different ways people relate to one another and for the economy of knowledge and enjoyment in social relationships. The general structure is represented by a matheme, as shown in Equation 1.\nThe transmitter of the discourse is the Agent occupying the top left position of the matheme. The Agent addresses the other occupying the top right position of the matheme. The other is the receiver of the message. This interaction is represented by the arrow pointing from the Agent to the other. What the Agent says is driven by the Truth hidden below the Agent, belonging to the Unconscious and not directly accessible. This driving is represented by the upward arrow pointing from the Truth to the Agent. The hidden Truth is embedded in the transmitted message. This is represented by the oblique arrow pointing from the Truth to the other. The message is interpreted by the other, both consciously and unconsciously, and a response, the Production, is delivered. The Production is the fourth element of the matheme, occupying the bottom right position of the matheme. The Production is delivered to the Agent, represented by the oblique arrow pointing from the Production to the Agent.\nThere is no arrow pointing from the Production to the Truth, indicating that the provided response is incomplete and unsatisfactory. Perfect communication between the transmitter and receiver sides is impossible. This impossibility arises because people are speaking beings and communication is constrained by language. Nevertheless, this impossibility is what creates and maintains the social bonds between beings.\nThe four elements of the matheme are placeholders for the roles assumed by the interacting parties in the communication process, namely:\nS1: the master signifier represents the true essence of the subject; it organizes both the psychical and everyday reality. It may be summarized by who I am.\nS2: represents the knowledge of the subject. It may be summarized by what I know.\na: represents the object cause of desire. It may be summarized by what I want.\n$: represents the barred subject castrated by the language. It may be summarized by what I speak.\nThe four discourses are defined by the position each element occupies in the general matheme representation shown in Equation 1.\n↑S1$  ⤧  →S2a↓ Master Discourse: the Agent position is occupied by S1 who addresses the other not as a person per se but as the holder of a knowledge (S2). The message may convey not only traces of authority and power but also the image the Agent builds about him/herself to be publicly disclosed. S1 is driven by $, meaning that the message suffers from the limitations imposed by the language. The receiver S2 cannot fully enjoy the possession of knowledge that is delivered to the Agent as the Production represented by a.\nA counterclockwise rotation of the elements of the Master Discourse matheme leads to the second discourse.\n↑S1S2  ⤧  →a$↓ University Discourse: in this discourse S1 is downgraded and becomes the hidden Truth. S2 becomes the Agent. The transmitted message may convey verified and referenced information. The Agent may be a real expert or authority in his/her field of study, or can be just the false image of an expert whose expertise is derived from the supporting S1. It is a discourse that represents institutions and their manipulative actions upon the receivers of the message. The Agent addresses a, i.e., addresses the receiver's desire to be accepted by the prestigious S1 and to incorporate some of its characteristics. The end result, i.e., the Production, is merely the receiver's submission to the transmitter.\nA counterclockwise rotation of the elements of the University Discourse matheme leads to the third discourse.\n↑aS2  ⤧  →$S1↓ Analyst Discourse: in the discourse of the Analyst, the Agent becomes the a of the other, i.e., the other's desire to know more about him/herself. The Agent becomes the subject-supposed-to-know (S2) of the Truth about the other. The Agent addresses the other as a speaking being, employing a neutral curiosity, free of judgement, and aiming to provoke the other to generate a Production that reveals his/her master signifiers S1. This chain of signifiers may be interpreted and reflected back, as if by an empty mirror, to the other, who ends up knowing more about him/herself. In a long-term relationship, the other ends up learning that all knowledge acquired came from him/herself and that the Agent is no longer necessary.\nAnother counterclockwise rotation of the elements of the Analyst Discourse matheme leads to the final fourth discourse.\n↑$a  ⤧  →S1S2↓ Hysteric Discourse: one does not have to be hysterical in the clinical sense to hold the discourse of the Hysteric; indeed, J. Lacan made it clear that this type of discourse in non-hysterical people is precisely what leads to true learning. The Agent as a speaking being $, driven by his/her desire to know a, addresses the other in his social role S1 as someone that is able to produce true information and knowledge S2, the targeted Production. The Production is usually unsatisfactory, making the Agent continue the questioning till the knowledge S2 of the other is exhausted.\nIn Seminar XVIII (Lacan, 2004f) and Seminar XIX (Lacan, 2004c, p. 66), J. Lacan reformulated the general structure of the discourse's matheme, as shown in Equation 2.\nThe Agent becomes the Semblance to indicate that the discourse is defined by the position or role someone takes in relation to the other. For example, the discourse of the Master takes shape when someone plays the role of the commanding agent. The position of the other is substituted by the Jouissance that is defined by Lacan (2004c, p. 66) in Seminar XIX as a disturbing dimension in the experience of the body. The subject is unable to experience itself as a self-sufficient enjoying entity. The enjoyment is conditioned by the addressing Semblance which is expected to manage it.\nLast but not least, the Production of the discourse becomes the Surplus-jouissance. J. Lacan borrows Marx's concept of “surplus value” (Marx, 2018) to build the concept of “surplus-jouissance.” “Surplus value” is defined as the difference between the exchange value of products of labor (commodities) and the value that corresponds to the effort of producing these products, i.e., the means of production and labor power. Within the capitalist system, the sole objective is to extract surplus value; profit-making and capital expansion are the driving forces.\nLacan (2004d, p. 7) states that the general structure of discourse is homologous to Marx's system of capitalism. In capitalist production, surplus value and/or commodities are fetishized, whereas in discourse a fetishistic relation with surplus-jouissance is created.\nIn discourse, language is produced. The attempt to address jouissance through language produces a surplus of corporeal tension that lies beyond language itself. Such surplus-jouissance can only be located in the realm of fantasy or delusion.\nBy the end of 1960, J. Lacan began commenting on a fifth discourse, the Capitalist Discourse, highlighting its differences from the other four discourses. In 1972, in a lecture at the University of Milan (Contri, 1978, p. 32–55), J. Lacan presented the precise structure of the Capitalist Discourse, as shown in Equation 3.\nAt first glance, the Capitalist Discourse appears to be a simple variation of the Master Discourse, but in fact it is a disruptive mutation of it. By comparing both structures, it is possible to identify three differences:\n$ and S1 exchange places.\nThe arrow pointing upward on the left that makes the position of the truth inaccessible in the classic discourse changes into an arrow pointing downwards.\nThe horizontal arrow that established the connection between the Agent and the other, or between the Semblance and the Jouissance disappears.\nIn the Master Discourse, S1 organizes the discourse due to its position as the Agent (Semblance). In the Capitalist Discourse, S1 has been degraded to occupy the Truth position that is not hidden anymore but has become accessible as indicated by the arrow pointing downwards on the transmitter's side. In the Capitalist Discourse, the castrated subject $ does not express its needs or demands by addressing the other. $, by itself, elects a fetishized commodity to fulfill those needs or demands. The fetish materializes through the acquisition of an asset (S2) that most certainly does not meet the subject's expectations. This frustration fuels the Production, and the object-cause-of-desire a feeds back to $. The subject will try to combat this frustration by electing a new S1, and the cycle repeats itself.\nThe cycle $ → S1 → S2 → a → $ → …  can continue indefinitely. This cycle represents serious disorders such as addiction and compulsion. Addiction includes drugs, social media, pornography, and others. Compulsion includes buying, working, sex, and others.\nThe attachment to the Capitalist Discourse is driven by big corporations, the media, and marketing giants, who use all kinds of manipulation to enslave people to the carousel of consumerism. The Subject is reduced to a mere object to be used and discarded.\nIn the four classic discourses, social bonds are sustained by the impossibility of communication between the hidden Truth and the Production. In J. Lacan's terms, the non-rapport (▴) underpins the relationship between the Agent (Semblance) and the other (Jouissance).\nIn the Capitalist Discourse the social bonds are destroyed.\n\n\n### Lacanian Discourses analysis and Lacanian Discourses Discovery\nLacanian Discourse Analysis (LDA) is not a system or methodology developed by Lacan himself but rather a way of applying Lacanian concepts to analyze texts. It is considered a subsequent scholarly effort, especially in the psychosocial domain, to create a “system” of text analysis aligned with Lacanian psychoanalytic theory, which was originally designed for therapeutic sessions. However, this paper does not aim to delve deeply into LDA or engage with the intricacies of psychoanalysis. Instead, it focuses on utilizing certain aspects of LDA, particularly one of the five Lacanian Discourses, for a specific application and goal. To reflect this distinction, we refer to this approach as Lacanian Discourse Discovery (LDD) rather than LDA.\nThe term “Discovery” is chosen deliberately to emphasize that this process of identifying the five discourses in a text does not involve analytical or methodological procedures, such as those outlined by Parker (2010, p. 156–172). Instead, the identification of the discourses is viewed as a discovery process, one that quickly and effectively uncovers the Lacanian discourses in a text without delving deeply into the text's attributes or the speakers' characteristics.\nThis work represents the first attempt to apply the Lacanian Discourses within the Natural Language Processing (NLP) domain of Computer Science; breaking down text or speech into smaller parts that computer programs can easily understand1 (Eisenstein, 2019).\nThe use of Lacanian approaches in text analysis is common in theoretical studies of philosophy and politics (Wetherell, 1999, p. 399–406), and in studies of structured texts (Parker, 2010, p. 156–172).\nStructured text, such as a movie script written by a screenwriter for production and audience entertainment, has the advantage of allowing one to map the social, cultural, and situational factors influencing the text and the relationships between the characters. In the same way, this approach is applied to less structured texts. This is a new, radical approach to combining Lacanian psychoanalytic concepts in the NLP domain. This approach aims to quickly identify the five Lacanian discourses when there is no information about social or cultural factors, the gender or attributes of the subjects, or clear connections or interactions between the characters.\nBy bringing parts of Lacanian Discourse theory into the NLP domain, it enabled the achievement of:\nAn efficient method for discovering Lacanian discourses in short, unstructured texts such as everyday dialogues.\nA foundation for the development of future computer-based applications using the Lacanian Discourses.\nFor the first time, the integration of Lacanian discourse concepts with NLP tasks in the field of Computer Science.\n\n\n### Classification of emotions\nThe categorization of emotions is particularly complex and debated. Unlike more concrete categories (e.g., colors), emotions present unique challenges due to their subjective, multifaceted nature and linguistic constraints.\nThe relationship between language and emotion is far from straightforward. While words like “anger” or “fear” may appear to directly express internal states, psychological research shows that emotional words can serve multiple discursive functions from labeling to distancing or rhetorical emphasis (Barrett, 2006; Lindquist et al., 2015). The mere presence of an emotion term is not necessarily diagnostic of the speaker's felt emotion, especially in unconstrained everyday discourse (Wierzbicka, 1999).\nIn corpus linguistics and discourse psychology, scholars have analyzed how combinations of linguistic elements form patterned representations of power, ideology, or affect. For example, Ertel (1985) focused on the possibility that language might be a reservoir of cues signaling cognitive features underlying ideological commitment. In Mills (1985), the author states that:\nContent analysis is the fundamental tool for analyzing and predicting the policies of communist states because: (1) survey research, archival studies, and firsthand observation of the national decision-making process are generally impractical, and (2) policies are often publicly justified because ideology is a more significant legitimizing factor than electoral victory, charisma, or heredity.\nIn Siderits et al. (1985), the authors examined how role and gender affect hostile and anxious communication. The role was manipulated using the Melian Dialogues, a technique borrowed from community organization training that asks participants to alternately assume the roles of superior and inferior power. A multivariate analysis of variance showed that while role had a highly significant effect (p < 0.0001) on the content of the communications, neither gender nor the order in which roles were assumed had a significant influence. The results were interpreted as a consequence of role justification.\nRecent Polish research has examined how linguistic collocations reveal implicit conceptualizations of power (Citlak and Koziol, 2024). Similarly, the Linguistic Category Model (LCM), developed by Semin and Fiedler (1991) and Semin (2008), provides a systematic framework for analyzing the abstraction level of verbs and nouns in emotional or interpersonal language, thereby revealing subtle biases in attribution and social judgment.\nProbably the most basic set of emotions found in human text comes from a Chinese encyclopedia compiled in the first century B.C.: What are the feelings of men? They are joy, anger, sadness, disliking, and liking. These five feelings belong to men without their having learned them (Chai and Chai, 1967, p. 379).\nSuch a basic scheme could be valid and used as an early-stage approach to identifying a state-of-the-art set of emotions for universal use. Progressively, the most well-known schema are Ekman (2008, p. 435–443), Plutchik (1980, p. 3–33), Circumplex theory of affect (Watson and Tellegen, 1985, p. 219–235)], EARL (Human-Machine Interaction Network on Emotion, HUMAINE), and WordNet–Affect (Sedding and Kazakov, 2004). According to Arribas-Ayllon et al. (2019, p. 619–648), Ekman's six basic emotions emerged as the most useful classification scheme for emotive language analysis in terms of ease of use by human annotators and training supervised machine learning algorithms. However, it has significant shortcomings, particularly in the representation of positive emotions. Plutchik (1980, p. 3–33)'s wheel of emotions provides a rich emotional spectrum but is complex and yields lower performance in machine learning. The Circumplex model (Watson and Tellegen, 1985, p. 219–235) offers a dimensional representation of emotions, capturing nuances well but also presenting complexity and moderate performance in machine learning. EARL (Human-Machine Interaction Network on Emotion, HUMAINE), designed for technological contexts, covers a wide range of emotions but has lower inter-annotator agreement and performance. Finally, WordNet–Affect (Sedding and Kazakov, 2004) is a rich lexical resource but is difficult to navigate and achieves the lowest agreement and performance.\nIn this study, selecting the appropriate scheme was challenging due to the extensive body of research and debate on these schemes. To find an appropriate scheme/classification of emotions to be used in this study, the following two main research objectives were set:\nThe emotions scheme should be at least statistically and scientifically valid, and not only empirical and observational.\nThe selected scheme should be derived from human annotators and supported by sufficient statistical validation. This ensures that the scheme is grounded in reliable human judgment and is statistically sound. Additionally, it must be acceptable to the community and widely used across various applications, ensuring its relevance and practical utility. Finally, the scheme should mitigate as many drawbacks of the existing schema as possible, addressing issues such as oversimplification and insufficient emotional coverage to provide a more comprehensive and nuanced understanding of emotions.\nThe emotions scheme must be appropriate and aligned with the concepts of LDA.\nThis alignment is necessary to ensure that the emotional classifications contribute meaningfully to the discovery of Lacanian discourses within the text. LDA examines language and its effects on the subject, emphasizing the importance of underlying structures and meanings in discourse. Therefore, the chosen scheme should capture these nuances and complexities in emotional expression, facilitating a deeper understanding of the text in line with Lacanian principles.\n\n\n### Related work\nIn recent years, quantitative discourse analysis in psychology has evolved into a robust interdisciplinary field, integrating methods from linguistics, computer science, and cognitive science. Researchers have increasingly turned to computational and statistical approaches to analyze how emotions are expressed and structured in discourse, using tools such as sentiment analysis, topic modeling, and latent semantic analysis (Tausczik and Pennebaker, 2009; Suleman and Korkontzelos, 2021; Lai et al., 2023).\nNotably, research that focuses on language use as a psychological marker, with emotional language serving as a window into affective and mental states. For example, the Linguistic Inquiry and Word Count (LIWC) framework has been widely used to associate patterns of emotional word use with personality traits, well-being, and social dynamics (Pennebaker et al., 2003; Boyd and Pennebaker, 2017). These methods enable large-scale, systematic investigations of emotional discourse across diverse contexts – from social media and therapy sessions to autobiographical narratives (Kahn et al., 2007).\nFurthermore, emotion classification in text using machine learning and NLP has enabled researchers to identify nuanced affective patterns and their correlations with psychological variables (Mohammad, 2021). Studies have examined how emotional valence, arousal, and discrete emotions such as anger and sadness are reflected in linguistic structures, providing quantitative insights into affective processes (Buechel and Hahn, 2017).\nAlthough these approaches differ substantially from the structural and symbolic perspective of Lacanian psychoanalysis, they offer valuable frameworks for empirically grounding discourse-emotion relationships.\nIn this section, a few studies are briefly reviewed because of: (i) their background information, which helps to understand the context in which this study has been developed; and (ii) their ideas, which could be used to fuel future research.\nIn Bucci et al. (2022), the authors present two independent study cases.\nThe first is an Emotional Text Analysis (ETA). They show that emotions expressed in language are not individual phenomena but organizers of historically determined social relations. They conducted focus groups with young graduates who were about to start their first job in multinational corporations, as well as with their corporate mentors. Using ETA, they identified two distinct clusters of emotions. One was associated with young graduates' expectations, and the other with the mentors' accounts. In this case study, there is no mention of LDA.\nThe second case study is an example of LDA carried out within a therapeutic community (TC) for children and teenagers diagnosed with psychosis and autism spectrum disorders. Conversations between the therapeutic group and the family group were transcribed verbatim and reviewed by a panel of researchers trained in Lacanian psychoanalysis. The family group adopts a Hysteric Discourse and demands that the therapeutic group assume the Master Discourse and provide answers and solutions to the problem at hand. The leader of the therapeutic group wisely does not fall into the trap and adopts the Analyst Discourse, opening a path for further clarification of the problem.\nThis case study is closely related to this research and shows the possibility of applying LDA to daily dialogues and how the Agent changes roles as the dialog evolves.\nIn Vanheule (2016), the author provides a thorough revision of the four classic Lacanian Discourses that goes beyond the explanations given by J. Lacan himself at the time of his writings and by other researchers who repeated what J. Lacan said in simpler terms. For example, in the case of the Master Discourse, in addition to reinforcing that it is associated with authority and power, he includes:\nIn the Master Discourse, the insistent signifiers (S1) that provoke explanation (S2) come to the fore. Their articulation connotes the subject underlying this articulation of signifiers ($), and at the same time provokes an excitement (a) that is split off from the subject.\nNext, the author delves into the Capitalist Discourse. The Capitalist Discourse is prevalent today and cannot be omitted from any study dealing with LDA and LDD. It underpins the rupture of social bonds and is the bedrock of many addictions that plague society. It has clinical importance because it must be managed differently depending on whether the patient is psychotic or neurotic.\nIn an important study focusing on the role of signifiers, the authors wrote in the Introduction of Olyff and Bazan (2023, p. 1):\nFreud proposed that names of clinically salient objects or situations, for example, a beetle (Käfer) in Mr. E's panic attack, refer through their phonological form rather than their meaning, to etiologically important events—here, “Que faire?” which summarizes the indecisiveness of Mr. E's mother concerning her marriage with Mr. E's father. Lacan formalized these ideas, attributing full-fledged mental effectiveness to the signifier, and summarized this as “the unconscious structured as a language”. We tested one aspect of this theory, namely that there is an influence of the ambiguous phonological translation of the world upon our mental processing without us being aware of this influence.\nThe aforementioned work, published in 2023, is very recent and provides empirical evidence for the mental effectiveness of the signifier. It validates the empirical approach adopted by our own research and highlights the importance and possibility of identifying signifiers and the corresponding signifying chain that underpins LDA and LDD.\nRobert “Rob” Haskell (1938–2010) served as a professor of psychology and department chair at the University of New England. His research areas include transfer of learning, small-group leadership, language and communication, unconscious cognition (Haskell, 2008), and analogical reasoning. He developed a novel logico-mathematical, structural methodology for the analysis and validation of sub-literal (SubLit) language and cognition (Haskell, 2003, p. 347–400).\nHis research, supported by several examples and a solid theoretical basis, demonstrates the presence of a hidden Truth within a discourse. The algorithm he proposed in Haskell (2003) has never been implemented and may be a valid dimension to include in future research to automatically identify signifiers and the associated signifying chain.\n\n\n### Adopted methodology\nThe adopted methodology comprises several decisions, which are discussed and justified in this section. They are:\nChoice of working only with texts.\nChoice of using dialogues.\nChoice of the emotions set.\nEmotions and discourses assignments, voting, and dataset creation process.\nNumber of dialogues.\nNumber of voters.\nCommon-user's vote criteria for emotions and discourses.\nProbabilistic formulae to evaluate the relation between discourses and emotions.\nIn this section, solid arguments are presented for choosing a particular set of emotions that can be combined and used, in light of the discovery of the Five Lacanian Discourses, and for why they are aligned with the fundamental aspects of the LDA and LDD.\nIn the paper “Classifying Emotion: A Developmental Account,” (Zinck and Newen 2006) propose a systematic classification of emotions that accounts for their complexity and developmental stages. They distinguish between four developmental stages of emotions:\nPre-emotions: These are unfocused expressive emotional states, primarily observed in infants and characterized as either generally positive or negative.\nBasic emotions: These emotions are innate and do not require cognitive processing. They include fear, anger, joy, and sadness.\nPrimary cognitive emotions: These emotions involve minimal cognitive content and are extensions or modifications of basic emotions.\nSecondary cognitive emotions: These are highly complex emotions thatdepend on cultural information and personal experience. They developed within the four dimensions of the basic emotions and are enriched by cognitive mini-theories, resulting in more finely grained emotions.\nSecondary cognitive emotions are particularly important because they depend on cultural information and personal experience, making them relevant for a nuanced analysis of emotional expression in texts. Additionally, this category is correlated with the Lacanian Symbolic order, which must be considered when approaching a text within the field of LDA (Frosh, 2013). This category also includes the emotions in the GoEmotions dataset, which was selected for this study.\nThe GoEmotions dataset, developed in Demszky et al. (2020), is the largest manually annotated dataset, comprising 58,009 English Reddit comments labeled for 27 emotions and Neutral. Created by researchers at Google Research, including Alan Cowen, a pioneer in emotion research, it offers a fine-grained typology adaptable to multiple downstream tasks, such as building empathetic chatbots or detecting harmful online behavior. The high quality of the annotations is demonstrated via Principal Preserved Component Analysis (PPCA), which shows reliable dissociation among the 27 emotion categories (Demszky et al., 2020).\nAligned with the classification proposed by Zinck and Newen (2006), the emotions in the GoEmotions dataset can be further categorized as follows:\nPre-Emotions: Comfort.\nBasic Emotions: Sadness, Joy, Fear, and Anger.\nPrimary Cognitive Emotions: Relief, Nervousness, Excitement, Disappointment, and Annoyance.\nSecondary Cognitive Emotions: Admiration, Approval, Caring, Confusion, Curiosity, Desire, Disapproval, Disgust, Embarrassment, Gratitude, Grief, Love, Optimism, Pride, Realization, Remorse, and Surprise.\nThe GoEmotions dataset is statistically valid, widely accepted, and suitable for a range of applications, including NLP. This extensive dataset is curated to provide a comprehensive and nuanced classification of emotions, aligning well with the developmental stages of emotions.\nThe robustness of the emotions in the dataset is demonstrated through various statistical analyses. For example, the dataset's annotations were found to be highly reliable, with 94% of examples having at least two raters agreeing on one label, and 31% having three or more raters in agreement. The high quality of these annotations is further validated by Principal Preserved Component Analysis (PPCA), which shows a strong dissociation among the 27 emotions. This ensures that the emotions captured in the dataset are both distinct and representative of a wide range of human emotional experiences.\nFurthermore, the GoEmotions dataset has proven useful across various NLP applications. It provides a solid baseline for emotion classification models, particularly when fine-tuning models like BERT, yielding strong performance. This makes it well-suited for tasks such as building empathetic chatbots, analyzing customer feedback, and detecting harmful online behavior. The dataset's adaptability to multiple downstream tasks underscores its practical value and broad applicability.\nIn summary, the selection of this schema aligns perfectly with the two objectives stated in Section 2.1.5. First, the GoEmotions dataset meets the requirement that the schema be statistically and scientifically valid, not merely empirical and observational. The dataset's high reliability, demonstrated through rigorous statistical validation, ensures that it is grounded in sound human judgment and widely accepted in the community, fulfilling the first objective. Second, the selected schema is also appropriate and aligned with the concepts of LDA and LDD, as it captures the nuanced and complex emotional expressions necessary for meaningful discourse analysis in line with Lacanian principles. This ensures that this research is both methodologically sound and theoretically aligned, facilitating a deeper understanding of emotions within the framework of LDA and LDD.\nTo complete the set of emotions for this study, two additional emotions, “anguish” and “anxiety,” were added to the dataset because they are frequently cited in the psychoanalytic literature (see Sections 2.1.2, 2.1.1).\nThe current body of research lacks a comprehensive methodology for systematically identifying traces of Lacanian discourses across various modalities. While Parker (2010)'s study on LDA in interview texts provides valuable insights into identifying these discourses, it has not yet evolved into a fully developed framework for the systematic and efficient discovery of Lacanian discourses across different data types.\nDue to the emerging nature of research in this field, this study focuses exclusively on textual data rather than incorporating modalities such as voice, sound, or video. Although relying solely on text may limit the exploration and identification of certain nuances inherent in Lacanian discourses, it offers a solid foundation for developing a methodological approach. Textual analysis provides a clear and structured starting point that can be refined and expanded in future research to include additional modalities. By beginning with text, the intent is to establish a robust analytical framework that can serve as a basis for more comprehensive studies in the future, introducing additional multimodalities as well.\nAs described in Section 2.1.3, Lacanian discourses consist of two integral components: the sender and the receiver of the discourse. To facilitate the exploration of potential emotions associated with these discourses, and given the limited prior research in this area, it is clear that textual dialogues are ideal for such examination. Dialogues reveal attributes and interpretive nuances that standalone or multi-paragraph texts do not provide.\nDialogues inherently reflect the foundational structure of Lacanian discourses, which involve communication between at least two parties conveying a message. As dialogues unfold, they reveal the latent information and intentions of the interacting parties. This dynamic flow of information makes it easier to identify the elements that constitute Lacanian discourses, i.e., the components S1, S2, $, and a.\nConsidering the aforementioned factors, the open-source dataset DAILY DIALOG (Li et al., 2017) has been selected, comprising everyday dialogues between two speakers. While other open-source datasets, such as Friends, could be employed, they have been written for specific purposes (e.g., screenplays intended for comedy or sarcasm) and might introduce bias and skew the study's results. Although these datasets may be useful in future research, as has been demonstrated by Joshi et al. (2016) and Poria et al. (2019), they do not align with the current research objectives.\nThe choice of this dataset was guided by the need for authentic, natural conversations that closely mirror real-life interactions. This authenticity is crucial for accurately analyzing the emotional and interpretive aspects of Lacanian discourses. Focusing on everyday dialogues aims to ensure that the discovered patterns and attributes are representative of genuine communication rather than artificially constructed scenarios.\nTo establish a theoretical correlation between Lacanian discourses and emotions, discourse and emotion annotations of dialogues were conducted using a custom-built platform. On this platform, each user was presented with a dialogue from the dataset and tasked with assigning discourses and emotions to each part of the dialogue. Along with these assignments, annotators provided the following metrics for each discourse or emotion:\nConfidence score of discourse: This metric quantifies the level of certainty with which a discourse is assigned to a segment of the dialogue.\nScoring system: The confidence score ranges from Definitely Not, Probably Not, Probably Yes, to Definitely Yes, representing varying levels of assurance.\nPurpose: This score helps gauge the reliability of the discourse assignment, ensuring that only strongly evidenced discourses receive higher confidence levels. By using this metric, a clear and reliable mapping between dialogues and Lacanian discourses can be established.\nWeight of discourse: This value, ranging from 0 to 1, represents the strength or potency of the discourse within the dialogue. A higher weight indicates a stronger presence and influence of the discourse.\nSignificance: A higher weight indicates a stronger presence and influence of the discourse. This metric provides insight into the significance of the discourse within the dialogue, assisting in prioritizing more influential discourses.\nApplication: By evaluating the weight of each discourse, it is possible to identify the dominant discourses that shape the emotional and interpretative dynamics of the dialogue.\nConfidence score of emotion: Similar to the confidence score of discourse, this metric measures the certainty of assigning a particular emotion to a segment of the dialogue.\nScoring system: It uses the same Definitely Not, Probably Not, Probably Yes, to Definitely Yes scale to indicate the level of confidence in the emotional assignment.\nPurpose: This score ensures that emotional annotations are supported by strong evidence, enhancing the accuracy and reliability of the emotional analysis.\nThe voting process on the platform is designed to rigorously annotate dialogues with Lacanian discourses and emotions, supported by confidence and weight metrics. This method enables a systematic analysis of how discourses and emotions are intertwined, providing a foundation for understanding their theoretical correlations. By using a structured voting system, the annotations reflect both the presence and influence of discourses and emotions, contributing to a comprehensive exploration of Lacanian discourse theory in the context of emotional analysis. This annotation process lays the groundwork for statistical modeling and in-depth analysis to uncover potential correlations and patterns.\nIn Appendix, Figure 1 screenshot of the platform where voters annotated the dialogues is shown.\nScreenshot of the platform used for the annotation process.\nTo derive a valid mathematical formula for evaluating the results of the annotation process regarding the relationship among discourses and emotions, the following methodology was adopted.\nLet S be the set of all sentences annotated. The conditional probability of occurrence of a set of n discourses d1, d2, …, dn (where 1 ≤ n ≤ 5) given a set of l emotions e1, e2, …, el (where 1 ≤ l ≤ 30) in a sentence of the dataset is defined by Equation 4:\nwhere:\ncs(di) is the confidence score assigned to the occurrence of the discourse di\ncs(ej) is the confidence score assigned to the occurrence of the emotion ej in sentence s (where s∈S), for j = 1, 2, …, l. Here, ej (where 1 ≤ j ≤ 30) represents one of the 30 emotions.\nThe numerator in the formula is a summation over a subset Sd1, …, dn, e1, …, el, which includes all sentences s ∈ S that contain the discourses d1, …, dn and the emotions e1, …, el. Within this sum, the product of the confidence scores cs(di) for each discourse di and the confidence scores cs(ej) for each emotion ej is included. This represents the aggregated confidence for instances where the discourses d1, d2, …, dn and the emotions e1, e2, …, el co-occur within the dataset.\nThe denominator sums over a subset Se1, …, el, which includes all sentences s∈S that contain the emotions e1, …, el, without any requirement on co-occurring discourses in the sentences. The denominator involves a product of confidence scores, but here the set of discourses di may vary, as indicated by the product ∏i=1ks; where ks is the number of discourses in the sentence s. This part of the formula represents the total aggregated confidence for all occurrences of the emotions e1, e2, …, el, regardless of the number of discourses they appear with, i.e, not only when the examined discourses d1…dn occur. The denominator, therefore, captures the overall likelihood of the emotions occurring within the dataset, independently of the specific discourses associated with them.\nTheorem 3.1 (The probability estimator defined in Equation 4 is unbiased.). Proof. We exemplify in the case of Pr{d1∣e1}; the proof can be easily extended to all possible combinations of discourses and emotions.\nLet p be the true, unknown probability\nof occurrence of (only) discourse d1 exclusively with emotion e1. According to Equation 4, our probability estimator for p is:\nwhere the numerator A sums up the total confidence on the exclusive co-occurrence of discourse d1 with emotion e1, while the denominator Π sums up the total confidence on the occurrence of emotion e1; since we condition on the occurrence of emotion e1, then Π can be considered constant (the “new” probability space created by conditioning), and the conditional probability p^ depends on the fraction of sentences when e1 exclusively co-occurs with d1.\nWe note that when (d1, e1) co-occur exclusively, then\nbecause in such a case the right-hand side of Equation 6 clearly becomes equal to the left-hand side.\nSuch exclusive co-occurrence of (d1, e1) happens with probability Pr{d1|e1} = p. Let N = |Se1| the number of sentences where emotion e1 occurs and let i (1 ≤ i ≤ N) a given sentence in Se1. Then the confidence on the desired d1, e1 exclusive co-occurrence is:\nso\nwhere 𝔼[·] symbolizes expectation.\nThe total confidence in d1, e1 exclusive co-occurrence across all sentences is:\nso, by the linearity of expectation property, it is:\nbecause, as explained above, Π is constant. Thus\nso the estimator p^ is unbiased.\nThis general formula can be adapted to calculate the probability for any number of discourses n (1 ≤ n ≤ 5) given any number of emotions l (1 ≤ l ≤ 30). By extending the summation and product operations accordingly, the method remains applicable whether one is evaluating the appearance of a single discourse, a set of multiple discourses, or a combination of several emotions. The framework is flexible, allowing for the inclusion of more complex discourse-emotion relationships within the dataset, ensuring comprehensive analysis across different scenarios.\nFor example, the general formula of Equation 4 can be applied to any specific case involving different combinations of discourses and emotions, as shown below:\nExample 1: One discourse, one emotion:\nProb(d1|e1)=∑s∈Sd1,e1cs(d1)·cs(e1)∑s∈Se1(∏i=1kscs(di))·cs(e1)\nHere, the numerator sums the product of the confidence scores for discourse d1 given emotion e1 across all sentences. The denominator sums the product of the confidence scores for all occurrences of emotion e1 with various discourses.\nExample 2: Two discourses, one emotion:\nProb(d1,d2∣e1)=∑s∈Sd1d2,e1cs(d1)·c(d2)·cs(e1)∑s∈Se1(∏i=1kscs(di))·cs(e1)\nHere, the numerator sums the product of the confidence scores for discourses d1 and d2 given emotion e1 across all sentences. The denominator sums the product of the confidence scores for all occurrences of emotion e1 with the discourses d1 and d2.\nExample 3: Two discourses, two emotions:\nProb(d1,d2|e1,e2)=∑s∈Sd1d2,e1e2cs(d1)·cs(d2)·cs(e1)·cs(e2)∑s∈Se1e2(∏i=1kscs(di))·cs(e1)·cs(e2)\nIn this case, the numerator sums the product of the confidence scores for discourses d1 and d2 given emotions e1 and e2 across all sentences. The denominator sums the product of the confidence scores for all occurrences of the emotions e1 and e2 with the discourses d1 and d2.\nA justification for the above complex probability formulation is needed. Indeed, a simpler formulation could have been adopted, where the probability would be the fraction of co-occurrences of the examined discourse-emotion combinations over the occurrences of the considered emotions. However, such an approach could overlook crucial factors, including annotation confidence for discourse, discourse strength, and confidence in the associated emotions. An additional important factor that needs to be addressed is the “discourse weight” wdi, which captures the “strength” of the occurrence of the discourse in a sentence, i.e., how prominently the discourse occurs in the sentence. The inclusion of these three factors provides additional insight into the co-occurrence of the discourse with the emotions.\nTable 1 presents the confidence scores for discourse d1, the weight of discourse d1, and the confidence scores for e1 in a hypothetical dataset, where d1 and e1 appear together in only four sentences.\nAn example showing the confidence scores for discourse d1, the weight of discourse d1, and the confidence scores for e1 in a hypothetical dataset, where d1 and e1 appear together in only four sentences.\nFor the data in Table 1, even when confidence levels are low, the probability remains high due to the limited annotated diversity in the small dataset, leading to an almost exclusive correlation. Specifically, as e1 only appears with d1 the conditional probability Prob(d1|e1) is as follows:\nIn other words, even this sophisticated probability definition falls short of adequately modeling the relationship between emotions and discourses. Therefore, it is necessary to consider the strength of the discourse's presence. This is achieved by incorporating the weights of the discourses as described in Definition 3.1.\nDefinition 3.1 (Weight level). The weight level (W) of the co-occurrence of the discourses d1, d2, …, dn with emotions e1, e2, …, el is defined as follows:\n(i) First, for each sentence s where this combination of discourses and emotions occurs, the product of the involved discourse weights ws(di) (where 1 ≤ i ≤ n) is taken.\n(ii) Then, to evaluate the total discourse weight level, the above product is summed over all relevant sentences s where the examined combination occurs.\nThe weight level is then given by:\n□\nThe relation R among discourses d1, d2, …dn and emotions e1, e2, …, el is given in Definition 3.2.\nDefinition 3.2 (Relation of co-occurrence). The relation of the co-occurrence of the discourses d1, d2, …, dn with emotions e1, e2, …, el is defined by Equation 8, as follows:\n□\nUsing the data provided in Table 1, the weight level and the relation between d1 and e1 are calculated as\nand\nInterestingly, the discourse-emotion relationship now admits fine-grained values, possibly covering a very broad spectrum regardless of the dataset size, because all factors of the discourse-emotion relationship are now directly taken into account.\nThis result is then normalized, ensuring that the final value lies within a standard range of 0 to 1 where the maximum value is taken from all relations where the number of discourses is n and the number of emotions l. This final relation is named the relation intensity (RI) and described by Definition 3.3, for the co-occurrence of a certain combination of discourses d1, d2, …, dn with certain emotions e1, e2, …, el and given by Equation 9:\nDefinition 3.3 (Normalized relation intensity). The normalized relation intensity among discourses d1, d2, …, dn and emotions e1, e2, …, el is defined as follows:\n\n\n### Choice of the emotions set\nIn this section, solid arguments are presented for choosing a particular set of emotions that can be combined and used, in light of the discovery of the Five Lacanian Discourses, and for why they are aligned with the fundamental aspects of the LDA and LDD.\nIn the paper “Classifying Emotion: A Developmental Account,” (Zinck and Newen 2006) propose a systematic classification of emotions that accounts for their complexity and developmental stages. They distinguish between four developmental stages of emotions:\nPre-emotions: These are unfocused expressive emotional states, primarily observed in infants and characterized as either generally positive or negative.\nBasic emotions: These emotions are innate and do not require cognitive processing. They include fear, anger, joy, and sadness.\nPrimary cognitive emotions: These emotions involve minimal cognitive content and are extensions or modifications of basic emotions.\nSecondary cognitive emotions: These are highly complex emotions thatdepend on cultural information and personal experience. They developed within the four dimensions of the basic emotions and are enriched by cognitive mini-theories, resulting in more finely grained emotions.\nSecondary cognitive emotions are particularly important because they depend on cultural information and personal experience, making them relevant for a nuanced analysis of emotional expression in texts. Additionally, this category is correlated with the Lacanian Symbolic order, which must be considered when approaching a text within the field of LDA (Frosh, 2013). This category also includes the emotions in the GoEmotions dataset, which was selected for this study.\nThe GoEmotions dataset, developed in Demszky et al. (2020), is the largest manually annotated dataset, comprising 58,009 English Reddit comments labeled for 27 emotions and Neutral. Created by researchers at Google Research, including Alan Cowen, a pioneer in emotion research, it offers a fine-grained typology adaptable to multiple downstream tasks, such as building empathetic chatbots or detecting harmful online behavior. The high quality of the annotations is demonstrated via Principal Preserved Component Analysis (PPCA), which shows reliable dissociation among the 27 emotion categories (Demszky et al., 2020).\nAligned with the classification proposed by Zinck and Newen (2006), the emotions in the GoEmotions dataset can be further categorized as follows:\nPre-Emotions: Comfort.\nBasic Emotions: Sadness, Joy, Fear, and Anger.\nPrimary Cognitive Emotions: Relief, Nervousness, Excitement, Disappointment, and Annoyance.\nSecondary Cognitive Emotions: Admiration, Approval, Caring, Confusion, Curiosity, Desire, Disapproval, Disgust, Embarrassment, Gratitude, Grief, Love, Optimism, Pride, Realization, Remorse, and Surprise.\nThe GoEmotions dataset is statistically valid, widely accepted, and suitable for a range of applications, including NLP. This extensive dataset is curated to provide a comprehensive and nuanced classification of emotions, aligning well with the developmental stages of emotions.\nThe robustness of the emotions in the dataset is demonstrated through various statistical analyses. For example, the dataset's annotations were found to be highly reliable, with 94% of examples having at least two raters agreeing on one label, and 31% having three or more raters in agreement. The high quality of these annotations is further validated by Principal Preserved Component Analysis (PPCA), which shows a strong dissociation among the 27 emotions. This ensures that the emotions captured in the dataset are both distinct and representative of a wide range of human emotional experiences.\nFurthermore, the GoEmotions dataset has proven useful across various NLP applications. It provides a solid baseline for emotion classification models, particularly when fine-tuning models like BERT, yielding strong performance. This makes it well-suited for tasks such as building empathetic chatbots, analyzing customer feedback, and detecting harmful online behavior. The dataset's adaptability to multiple downstream tasks underscores its practical value and broad applicability.\nIn summary, the selection of this schema aligns perfectly with the two objectives stated in Section 2.1.5. First, the GoEmotions dataset meets the requirement that the schema be statistically and scientifically valid, not merely empirical and observational. The dataset's high reliability, demonstrated through rigorous statistical validation, ensures that it is grounded in sound human judgment and widely accepted in the community, fulfilling the first objective. Second, the selected schema is also appropriate and aligned with the concepts of LDA and LDD, as it captures the nuanced and complex emotional expressions necessary for meaningful discourse analysis in line with Lacanian principles. This ensures that this research is both methodologically sound and theoretically aligned, facilitating a deeper understanding of emotions within the framework of LDA and LDD.\nTo complete the set of emotions for this study, two additional emotions, “anguish” and “anxiety,” were added to the dataset because they are frequently cited in the psychoanalytic literature (see Sections 2.1.2, 2.1.1).\n\n\n### Choice of working only with texts\nThe current body of research lacks a comprehensive methodology for systematically identifying traces of Lacanian discourses across various modalities. While Parker (2010)'s study on LDA in interview texts provides valuable insights into identifying these discourses, it has not yet evolved into a fully developed framework for the systematic and efficient discovery of Lacanian discourses across different data types.\nDue to the emerging nature of research in this field, this study focuses exclusively on textual data rather than incorporating modalities such as voice, sound, or video. Although relying solely on text may limit the exploration and identification of certain nuances inherent in Lacanian discourses, it offers a solid foundation for developing a methodological approach. Textual analysis provides a clear and structured starting point that can be refined and expanded in future research to include additional modalities. By beginning with text, the intent is to establish a robust analytical framework that can serve as a basis for more comprehensive studies in the future, introducing additional multimodalities as well.\n\n\n### Choice of using dialogues\nAs described in Section 2.1.3, Lacanian discourses consist of two integral components: the sender and the receiver of the discourse. To facilitate the exploration of potential emotions associated with these discourses, and given the limited prior research in this area, it is clear that textual dialogues are ideal for such examination. Dialogues reveal attributes and interpretive nuances that standalone or multi-paragraph texts do not provide.\nDialogues inherently reflect the foundational structure of Lacanian discourses, which involve communication between at least two parties conveying a message. As dialogues unfold, they reveal the latent information and intentions of the interacting parties. This dynamic flow of information makes it easier to identify the elements that constitute Lacanian discourses, i.e., the components S1, S2, $, and a.\nConsidering the aforementioned factors, the open-source dataset DAILY DIALOG (Li et al., 2017) has been selected, comprising everyday dialogues between two speakers. While other open-source datasets, such as Friends, could be employed, they have been written for specific purposes (e.g., screenplays intended for comedy or sarcasm) and might introduce bias and skew the study's results. Although these datasets may be useful in future research, as has been demonstrated by Joshi et al. (2016) and Poria et al. (2019), they do not align with the current research objectives.\nThe choice of this dataset was guided by the need for authentic, natural conversations that closely mirror real-life interactions. This authenticity is crucial for accurately analyzing the emotional and interpretive aspects of Lacanian discourses. Focusing on everyday dialogues aims to ensure that the discovered patterns and attributes are representative of genuine communication rather than artificially constructed scenarios.\n\n\n### Emotions and discourses assignments, voting and dataset creation process\nTo establish a theoretical correlation between Lacanian discourses and emotions, discourse and emotion annotations of dialogues were conducted using a custom-built platform. On this platform, each user was presented with a dialogue from the dataset and tasked with assigning discourses and emotions to each part of the dialogue. Along with these assignments, annotators provided the following metrics for each discourse or emotion:\nConfidence score of discourse: This metric quantifies the level of certainty with which a discourse is assigned to a segment of the dialogue.\nScoring system: The confidence score ranges from Definitely Not, Probably Not, Probably Yes, to Definitely Yes, representing varying levels of assurance.\nPurpose: This score helps gauge the reliability of the discourse assignment, ensuring that only strongly evidenced discourses receive higher confidence levels. By using this metric, a clear and reliable mapping between dialogues and Lacanian discourses can be established.\nWeight of discourse: This value, ranging from 0 to 1, represents the strength or potency of the discourse within the dialogue. A higher weight indicates a stronger presence and influence of the discourse.\nSignificance: A higher weight indicates a stronger presence and influence of the discourse. This metric provides insight into the significance of the discourse within the dialogue, assisting in prioritizing more influential discourses.\nApplication: By evaluating the weight of each discourse, it is possible to identify the dominant discourses that shape the emotional and interpretative dynamics of the dialogue.\nConfidence score of emotion: Similar to the confidence score of discourse, this metric measures the certainty of assigning a particular emotion to a segment of the dialogue.\nScoring system: It uses the same Definitely Not, Probably Not, Probably Yes, to Definitely Yes scale to indicate the level of confidence in the emotional assignment.\nPurpose: This score ensures that emotional annotations are supported by strong evidence, enhancing the accuracy and reliability of the emotional analysis.\nThe voting process on the platform is designed to rigorously annotate dialogues with Lacanian discourses and emotions, supported by confidence and weight metrics. This method enables a systematic analysis of how discourses and emotions are intertwined, providing a foundation for understanding their theoretical correlations. By using a structured voting system, the annotations reflect both the presence and influence of discourses and emotions, contributing to a comprehensive exploration of Lacanian discourse theory in the context of emotional analysis. This annotation process lays the groundwork for statistical modeling and in-depth analysis to uncover potential correlations and patterns.\nIn Appendix, Figure 1 screenshot of the platform where voters annotated the dialogues is shown.\nScreenshot of the platform used for the annotation process.\n\n\n### Probabilistic formulae to evaluate the relation between discourses and emotions\nTo derive a valid mathematical formula for evaluating the results of the annotation process regarding the relationship among discourses and emotions, the following methodology was adopted.\nLet S be the set of all sentences annotated. The conditional probability of occurrence of a set of n discourses d1, d2, …, dn (where 1 ≤ n ≤ 5) given a set of l emotions e1, e2, …, el (where 1 ≤ l ≤ 30) in a sentence of the dataset is defined by Equation 4:\nwhere:\ncs(di) is the confidence score assigned to the occurrence of the discourse di\ncs(ej) is the confidence score assigned to the occurrence of the emotion ej in sentence s (where s∈S), for j = 1, 2, …, l. Here, ej (where 1 ≤ j ≤ 30) represents one of the 30 emotions.\nThe numerator in the formula is a summation over a subset Sd1, …, dn, e1, …, el, which includes all sentences s ∈ S that contain the discourses d1, …, dn and the emotions e1, …, el. Within this sum, the product of the confidence scores cs(di) for each discourse di and the confidence scores cs(ej) for each emotion ej is included. This represents the aggregated confidence for instances where the discourses d1, d2, …, dn and the emotions e1, e2, …, el co-occur within the dataset.\nThe denominator sums over a subset Se1, …, el, which includes all sentences s∈S that contain the emotions e1, …, el, without any requirement on co-occurring discourses in the sentences. The denominator involves a product of confidence scores, but here the set of discourses di may vary, as indicated by the product ∏i=1ks; where ks is the number of discourses in the sentence s. This part of the formula represents the total aggregated confidence for all occurrences of the emotions e1, e2, …, el, regardless of the number of discourses they appear with, i.e, not only when the examined discourses d1…dn occur. The denominator, therefore, captures the overall likelihood of the emotions occurring within the dataset, independently of the specific discourses associated with them.\nTheorem 3.1 (The probability estimator defined in Equation 4 is unbiased.). Proof. We exemplify in the case of Pr{d1∣e1}; the proof can be easily extended to all possible combinations of discourses and emotions.\nLet p be the true, unknown probability\nof occurrence of (only) discourse d1 exclusively with emotion e1. According to Equation 4, our probability estimator for p is:\nwhere the numerator A sums up the total confidence on the exclusive co-occurrence of discourse d1 with emotion e1, while the denominator Π sums up the total confidence on the occurrence of emotion e1; since we condition on the occurrence of emotion e1, then Π can be considered constant (the “new” probability space created by conditioning), and the conditional probability p^ depends on the fraction of sentences when e1 exclusively co-occurs with d1.\nWe note that when (d1, e1) co-occur exclusively, then\nbecause in such a case the right-hand side of Equation 6 clearly becomes equal to the left-hand side.\nSuch exclusive co-occurrence of (d1, e1) happens with probability Pr{d1|e1} = p. Let N = |Se1| the number of sentences where emotion e1 occurs and let i (1 ≤ i ≤ N) a given sentence in Se1. Then the confidence on the desired d1, e1 exclusive co-occurrence is:\nso\nwhere 𝔼[·] symbolizes expectation.\nThe total confidence in d1, e1 exclusive co-occurrence across all sentences is:\nso, by the linearity of expectation property, it is:\nbecause, as explained above, Π is constant. Thus\nso the estimator p^ is unbiased.\nThis general formula can be adapted to calculate the probability for any number of discourses n (1 ≤ n ≤ 5) given any number of emotions l (1 ≤ l ≤ 30). By extending the summation and product operations accordingly, the method remains applicable whether one is evaluating the appearance of a single discourse, a set of multiple discourses, or a combination of several emotions. The framework is flexible, allowing for the inclusion of more complex discourse-emotion relationships within the dataset, ensuring comprehensive analysis across different scenarios.\nFor example, the general formula of Equation 4 can be applied to any specific case involving different combinations of discourses and emotions, as shown below:\nExample 1: One discourse, one emotion:\nProb(d1|e1)=∑s∈Sd1,e1cs(d1)·cs(e1)∑s∈Se1(∏i=1kscs(di))·cs(e1)\nHere, the numerator sums the product of the confidence scores for discourse d1 given emotion e1 across all sentences. The denominator sums the product of the confidence scores for all occurrences of emotion e1 with various discourses.\nExample 2: Two discourses, one emotion:\nProb(d1,d2∣e1)=∑s∈Sd1d2,e1cs(d1)·c(d2)·cs(e1)∑s∈Se1(∏i=1kscs(di))·cs(e1)\nHere, the numerator sums the product of the confidence scores for discourses d1 and d2 given emotion e1 across all sentences. The denominator sums the product of the confidence scores for all occurrences of emotion e1 with the discourses d1 and d2.\nExample 3: Two discourses, two emotions:\nProb(d1,d2|e1,e2)=∑s∈Sd1d2,e1e2cs(d1)·cs(d2)·cs(e1)·cs(e2)∑s∈Se1e2(∏i=1kscs(di))·cs(e1)·cs(e2)\nIn this case, the numerator sums the product of the confidence scores for discourses d1 and d2 given emotions e1 and e2 across all sentences. The denominator sums the product of the confidence scores for all occurrences of the emotions e1 and e2 with the discourses d1 and d2.\nA justification for the above complex probability formulation is needed. Indeed, a simpler formulation could have been adopted, where the probability would be the fraction of co-occurrences of the examined discourse-emotion combinations over the occurrences of the considered emotions. However, such an approach could overlook crucial factors, including annotation confidence for discourse, discourse strength, and confidence in the associated emotions. An additional important factor that needs to be addressed is the “discourse weight” wdi, which captures the “strength” of the occurrence of the discourse in a sentence, i.e., how prominently the discourse occurs in the sentence. The inclusion of these three factors provides additional insight into the co-occurrence of the discourse with the emotions.\nTable 1 presents the confidence scores for discourse d1, the weight of discourse d1, and the confidence scores for e1 in a hypothetical dataset, where d1 and e1 appear together in only four sentences.\nAn example showing the confidence scores for discourse d1, the weight of discourse d1, and the confidence scores for e1 in a hypothetical dataset, where d1 and e1 appear together in only four sentences.\nFor the data in Table 1, even when confidence levels are low, the probability remains high due to the limited annotated diversity in the small dataset, leading to an almost exclusive correlation. Specifically, as e1 only appears with d1 the conditional probability Prob(d1|e1) is as follows:\nIn other words, even this sophisticated probability definition falls short of adequately modeling the relationship between emotions and discourses. Therefore, it is necessary to consider the strength of the discourse's presence. This is achieved by incorporating the weights of the discourses as described in Definition 3.1.\nDefinition 3.1 (Weight level). The weight level (W) of the co-occurrence of the discourses d1, d2, …, dn with emotions e1, e2, …, el is defined as follows:\n(i) First, for each sentence s where this combination of discourses and emotions occurs, the product of the involved discourse weights ws(di) (where 1 ≤ i ≤ n) is taken.\n(ii) Then, to evaluate the total discourse weight level, the above product is summed over all relevant sentences s where the examined combination occurs.\nThe weight level is then given by:\n□\nThe relation R among discourses d1, d2, …dn and emotions e1, e2, …, el is given in Definition 3.2.\nDefinition 3.2 (Relation of co-occurrence). The relation of the co-occurrence of the discourses d1, d2, …, dn with emotions e1, e2, …, el is defined by Equation 8, as follows:\n□\nUsing the data provided in Table 1, the weight level and the relation between d1 and e1 are calculated as\nand\nInterestingly, the discourse-emotion relationship now admits fine-grained values, possibly covering a very broad spectrum regardless of the dataset size, because all factors of the discourse-emotion relationship are now directly taken into account.\nThis result is then normalized, ensuring that the final value lies within a standard range of 0 to 1 where the maximum value is taken from all relations where the number of discourses is n and the number of emotions l. This final relation is named the relation intensity (RI) and described by Definition 3.3, for the co-occurrence of a certain combination of discourses d1, d2, …, dn with certain emotions e1, e2, …, el and given by Equation 9:\nDefinition 3.3 (Normalized relation intensity). The normalized relation intensity among discourses d1, d2, …, dn and emotions e1, e2, …, el is defined as follows:\n\n\n### Results and discussion\nIn this section, the experimental procedure, the processing of assignments (from now on designated as votes), and the results and their discussion are detailed.\nThe experimental procedure is carried out entirely on the custom-built platform. The platform ensures that voters are aware of the meaning and purpose of the discourses' confidence score and weight, as well as the emotions' confidence score. Furthermore, the platform requires that emotions be selected from the chosen dataset and that voting be possible in combinations of emotions and discourses.\n40 dialogues were randomly selected from the database corresponding to 264 sentences.\nThree voters, familiar with the Lacanian Theory of Discourses, independently from each other, for each sentence:\n– elected emotions from the pre-defined set, and assigned a confidence score. The voters were instructed to elect up to three emotions, i.e., they were not restricted to choose just one emotion;\n– elected the appropriate discourses and assigned both a confidence score and a weight as described in Section 3.4.\nThe assignments of the three voters were processed and combined into the votes of a so-called “common user” for both the assigned discourses and emotions as well.\nThe emotions and discourses assignment is essentially a subjective process. As such, it leads to disagreements and discrepancies in assignments that we prefer to label as diversity. In some cases, diversity simply means a disagreement that does not contribute to identifying any pattern. In other cases, diversity is a desirable feature of the process because it may be informative and enrich the perception of what is hidden behind the manifest narratives.\nTo quantitatively evaluate inter-rater agreement, we calculated agreement scores for all combinations of raters across the five Lacanian discourses using Krippendorff (2010)'s alpha coefficient. Krippendorff's alpha coefficient is a statistical measure used to quantify the agreement among multiple observers when coding or rating a set of items. When considering all three raters, the agreement scores were 0.70 for the Analyst discourse, 0.60 for the University discourse, 0.55 for both the Master and Capitalist discourses, and 0.52 for the Hysteric discourse. Examining pairwise agreement revealed more variability. The agreement between Voter 1 and Voter 2 was generally higher, reaching substantial levels for the Analyst (0.80) and University (0.71) discourses. Similarly, Voter 1 and Voter 3 showed strong agreement, particularly for the Capitalist (0.89), Analyst (0.72), and Master (0.67) discourses. The agreement between Voter 2 and Voter 3 was more moderate, with the highest score being 0.58 for the Analyst discourse.\nThe pseudocode for the algorithm to derive the final discourses for the sentences is Appendix Algorithm 2, and its simplified version is shown in Table 2.\nSummary of rules to derive the discourses assignment of the “common user.”\nLet's take, for example, the algorithm's Rule 11:\nVoter 1: d1 d2;\nVoter 2: d2 d3;\nVoter 3: d1 d2;\nOutcome\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d2, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.– d3: discarded because it was selected by only 1 voter.\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d2, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.\n– d3: discarded because it was selected by only 1 voter.\nIn this case, d3 is a discrepancy that does contribute to the understanding of the enunciation.\nLet us take, for example, the algorithm's Rule 18:\nVoter 1: d1 d4;\nVoter 2: d2 d3 d4;\nVoter 3: d1 d2 d3;\nOutcome\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d3, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d4, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d3, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d4, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.\nIf the criterion were to keep only the discourses that achieved consensus, none of the discourses would have been selected. However, in this case, any discourse is selected by more than 1 voter and is informative, which makes the combination of discourses (d1, d2, d3, d4) to be taken into account.\nLet us take, for example, the algorithm's Rule 22:\nVoter 1: d1 d2;\nVoter 2: d1 d2;\nVoter 3: d1 d3;\nOutcome\n– (d1, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.– d3: discarded because it was selected by only 1 voter.\n– (d1, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.\n– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– d3: discarded because it was selected by only 1 voter.\nIn this case, d3 is a discrepancy that does contribute to the understanding of the enunciation. If the criterion were to keep only the discourses that achieved consensus, d2 would have been discarded. However, d2 is informative and makes the combination of discourses (d1, d2) to be taken into account.\nIt may seem that the weights assigned by individual voters are not important because they are not considered when deriving the weight assigned by the “common user.” The weights assigned by individual voters help voters reflect their perceptions. In future research, a comparison will be made between the relationships obtained by individual voters, and in this case, these weights are essential.\nThe algorithm for deriving the discourses for the “common user's” vote considers only up to 4 discourses, as this was the maximum number a voter assigned to a sentence. Also, the cases that led to a discourse of “none” were discarded from the final analysis of the data.\nHereafter, an example of dialog processing is shown to help with understanding the “common user's” vote evaluation.\nDialog ID: FroLatteAd_10\nI can't believe Mr. Fro didn't buy it. Who does that guy think he is anyway? Bill Gates?\nVoter 1: Hysteric, High, 0.9;\nVoter 2: Hysteric, Mid, 0.7;\nVoter 3: Hysteric, High, 1.0;\nCommon user—Rule 1: Hysteric, High, 1.0.\nHe had a lot of nerve telling us our ads sucked.\nVoter 1: University, Mid, 0.6; Hysteric, Low, 0.2;\nVoter 2: Master, Low, 0.1; Hysteric, Mid, 0.6;\nVoter 3: Hysteric, High, 1.0;\nCommon user—Rule 6: Hysteric, High, 0.6.\nTime to order. Balista, today I want a skinny triple latte.\nVoter 1: Hysteric, Mid, 0.4;\nVoter 2: Hysteric, Low, None; Capitalist, Low, 0.5;\nVoter 3: Hysteric, High, 0.8;\nCommon user—Rule 4: Hysteric, High, 0.8.\nWhen did you start worrying about your weight?\nVoter 1: Analyst, High, 0.8;\nVoter 2: Analyst, Mid, 0.7;\nVoter 3: Analyst, High, 0.5; Hysteric, High, 0.5.\nCommon user—Rule 4: Analyst, High, 0.8.\nI'm not. I just don't feel like drinking whole milk today. Why? Do you think I'm fat?\nVoter 1: Master, Mid, 0.5; Hysteric, High, 0.8;\nVoter 2: Master, Low, 0.2; Hysteric, Mid, 0.7;\nVoter 3: Master, High, 0.5; Hysteric, High, 0.5;\nCommon user—Rule 2: Master, High, 1.0; Hysteric, High, 1.0.\nNo, Jess, chill out!\nVoter 1: Master, Low, 0.2;\nVoter 2: Master, Low, 0.6; Hysteric, Low, 0.1;\nVoter 3: Master, High, 0.8;\nCommon user—Rule 4: Master, High, 0.8.\nThe example shows that:\nThe algorithm harmonizes the discrepancies among the individual voters.\nThe harmonization is accomplished by discarding votes that are given just by one voter, and decreasing the value of the confidence score and the weight level in cases where the votes are not unanimous.\nThe confidence score and weight level assigned by the individual voters are not taken into account in the derivation of the “common user's” vote. Nevertheless, these individual assignments are important when deriving the model for the individual voters. However, such modeling is out of the scope of the current research.\nThe algorithm enables the capture of the presence of both unique discourses and traces of multiple discourses in each of the statements.\nThe algorithm to derive the emotions for the “common user's” vote is shown in the Algorithm 2.\nEquation 4 is applied to the “common user's” votes, and a complete table of all conditional probabilities is generated. Table 3 shows an extract from the complete table of conditional probabilities. In any given row, the first column is a set of up to three simultaneous emotions, and the remaining columns show the conditional probabilities for the set of discourses. It may be seen that the sum of the probabilities in each row is 1. In the complete table, the sum of the probabilities in each column is also 1.\nConditional probabilities for emotional sets (M, Master; U, University; A, Analyst; H, Hysteric; C, Capitalist).\nNext, Equation 9 is applied to the conditional probabilities, generating a complete table of the relation intensity between a set of emotions and a set of discourses. In any given row, the first column lists up to three simultaneous emotions, and the remaining columns show the relation intensity for all 13 discourse combinations considered.\nFor clarity, we symbolized the relation intensity for particular combinations of discourses with emotions\nin the following way:\nmaking it easier the identification of the involved emotions and discourses.\nIn general terms, this relation intensity can be represented as:\nwhere 0 ≤ {i, j, k} ≤ 30. The value 0 is used to represent “no emotion considered” and the other values point to a specific emotion of the dataset.\n{a, b, c} represent one of the five Lacanian discourses or none of them to take into account a single or a combination of discourses.\n1 ≤ m ≤ 13 represents one of the 13 possible discourses combinations and 0 ≤ rm ≤ 1. As already shown by Equation 9, rm is obtained by the multiplication of a probability and a weight, both of which are less or equal to 1, and a further normalization. So, it is not possible to have a high value of the relation intensity if the corresponding conditional probability is low. For each set of emotions {ei, ej, ek} the 13 values of rm can be sorted in descending order, indicating the most prevalent discourses associated with that set of emotions.\nThe relation intensity results have been summarized in a heat map shown in Figure 2, presented as a 2 × 2 grid of subfigures. Each subfigure highlights one quadrant of the heat map, focusing on the top 5 relation intensity values for each combination of emotions. While the complete relation intensity table has 198 rows, the table limited to the top 5 values includes only 67 rows.\nThe complete heat map of the relation intensity between emotions and Lacanian discourses displayed in a 2x2 grid. Each subfigure represents a specific section of the heatmap: (A) Part 1 (top-left), (B) Part 2 (top-right), (C) Part 3 (bottom-left), and (D) Part 4 (bottom-right).\nThese heat maps show the entire dataset and are not limited to just the top 5.\nIt is important to point out that the findings and corresponding explanations are preliminary due to the limitations of the experimental procedure and decisions taken for the adopted methodology. Nevertheless we are confident that the qualitative findings are of significance and the quantitative ones deserve to be refined in future work.\nBefore showing the results, it is necessary to clarify the relevance and consequences of working with a combination of emotions instead of a single emotion for each sentence.\nWe used the term sentence to refer to a complete enunciation by a speaker in each part of the dialogue. We did not break each enunciation into its constituent parts. Let us hypothetically assume that a speaker provides the following enunciation:\nI love my son above all other persons. On the other hand, I despise my ex-wife with the whole strength of my soul.\nEach voter was asked to assign emotions to the entire enunciation, which clearly expresses at least two different emotions. For the first part—I love my son above all other persons.—the emotion “love” is present. However, in the second part of the enunciation—On the other hand, I despise my ex-wife with the whole strength of my soul.—it is difficult to identify the emotion. It could be “anger”, “disapproval”, or “disappointment.”\nThe voters made the assignments independently of each other, and in this specific case, it is reasonable for them to cast different votes. The Common User algorithm harmonizes the discrepancies.\nAs the objective of this study is to establish a relationship, if one exists, between emotions and the Lacanian discourses, the combination of emotions is more representative of the Lacanian discourses adopted by the speaker and provides greater differentiation than single emotions. It is not an objective of this study to provide any diagnosis. In future studies, we will evaluate the possibility of using the Lacanian discourses as an auxiliary tool to be incorporated into diagnostic procedures.\nThe heat map shown in Figure 2 must be read row-wise, meaning that comparisons of values in the same row are meaningful. However, comparisons of values in different rows have qualitative meaning but not quantitative meaning. In the sequence, some examples will clarify these comments.\nOut of the 67 rows of the heat map only 7 have more than one value different from zero. This result indicates that the identification of emotions has a very strong ability to identify the prevalent discourse in a sentence. The rows that have more than one relation intensity value different from zero are the following:\n{admiration, approval, excitement} RI {M, H, U} = 0.05;\n{admiration, approval, excitement} RI {H} = 0.82.\nIt can be observed that the Hysteric discourse is identified in both instances. The relation intensity for the only Hysteric discourse is very strong. This is not surprising, as excitement is present in both sets of emotions. The presence of the Hysteric discourse along the Master and University may also occur, and this identification is certainly due to the judgement emotions—admiration and approval.\n{approval, caring, optimism} RI {M, A} = 0.07;\n{approval, caring, optimism} RI {A} = 0.13.\nIt is reasonable to find the feeling of caring associated with the Analyst discourse. In a pure Analyst position, neither any kind of judgment nor expectation should appear, so the presence of approval and optimism counts toward the identification of the Master discourse as well.\n{approval, neutral} RI {M} = 0.38;\n{approval, neutral} RI {U} = 0.22.\nand,\n{approval, realization} RI {M} = 0.36;\n{approval, realization} RI {U} = 0.39.\nIn both cases, there is an ambiguity between the Master's and the University's discourses. The approval emotion is always present, i.e., the characteristic of judgement associated with these discourses. The other two emotions, neutral and realization, indicate the objectivity of these discourses. It is reasonable that such ambiguity occurs because S1 is, in both cases, on the transmitter side, either as the Agent or the hidden Truth. Furthermore, S1 either drives S2 or addresses it.\n{caring, curiosity} RI {M, H} = 0.33;\n{caring, curiosity} RI {A} = 0.11.\nand,\n{caring, curiosity, neutral} RI {H} = 0.54;\n{caring, curiosity, neutral} RI {A} = 0.09.\nIn all cases, the emotions of caring and curiosity are present. They are distinctly associated with the Analyst discourse, but in a subtle and elusive way. This is probably why the intensity of the relation is low. However, caring and curiosity are not exclusive to the Analyst discourse. In the Hysteric discourse, the speaker may appear intensely, emotionally charged, seeking objective information (neutrality). In the Master discourse, the speaker may also show curiosity and care about the potential production of the receiver.\n{neutral} RI {M} = 0.04;\n{neutral} RI {U} = 0.78.\nNeutrality is expected from the speaker providing objective information, as in the case of University discourse. In a much lesser degree, neutrality may characterize a Master discourse when it describes a scenario in which the receiver is expected to act. Neutrality may be less pronounced in this case because the Master discourse is also characterized by authority, power, and self-image, which may imply biased speech.\nThe only Master discourse is uniquely identified by a very large set of emotion combinations, 10 in total. The relation intensity is in the range:\nand the emotions show a prevalence of judgement (approval, disapproval), self-image (pride), jouissance (joy), and expectation (anxiety, nervousness). This finding is consistent with S1 in the position of Agent / Semblance, in which a role of power and authority may produce statements charged with judgement and expectation. On the other hand, S1 driven by $ speaks about himself in terms of the image he/she wants to display.\nThe top four emotion combinations in relation to the Master discourse are:\n{approval, neutral} RI {M} = 0.38;\n{approval, realization} RI {M} = 0.36;\n{neutral, pride} RI {M} = 0.33;\n{anxiety, nervousness} RI {M} = 0.27.\nSeveral other emotion combinations exhibit the same relation intensity of 0.25.\nThe only Analyst discourse is uniquely identified by a set of five emotion combinations. The relation intensity is in the range:\nand the emotions show a prevalence of caring associated with curiosity and neutrality. This finding is consistent with a in the position of Agent/Semblance driven by S2 in a role that shows empathy and a neutral curiosity to try to access the other's Jouissance. It is also worth noting that the numerical values of RI are consistently lower than in all other cases. This reflects the fact that in daily dialogues, people seldom adopt the neutral speech of an Analyst.\nThe top five emotion combinations in relation to the Analyst discourse are:\n{approval, caring, curiosity} RI {A} = 0.20;\n{approval, caring, optimism} RI {A} = 0.13;\n{caring, curiosity} RI {A} = 0.11;\n{caring, curiosity, neutral} RI {A} = 0.09;\n{caring, neutral, realization} RI {A} = 0.08.\nThe only Hysteric discourse is uniquely identified by a very large set of emotion combinations, 10 in total. The relation intensity is in the range:\nand the emotions span a wide spectrum, with excitement being prevalent. This finding is consistent with $ in the position of Agent/Semblance, driven by a in a role that looks forward to gaining access to knowledge while expressing the power of personal feelings. It is worth noting that the numerical values of RI are consistently higher than in all other cases. This reflects how often, in daily life, people eagerly seek information and understanding, and also how this position is easier to be identified.\nThe top five emotion combinations in relation to the Hysteric discourse are:\n{admiration, approval, excitement} RI {H} = 0.82;\n{approval, curiosity} RI {H} = 0.75;\n{disappointment, sadness} RI {H} = 0.60;\n{anxiety, curiosity, nervousness} RI {H} = 0.50;\n{anxiety, disapproval, nervousness} RI {H} = 0.50.\nThe only University discourse is uniquely identified by a set of 8 emotions combinations. The relation intensity is in the range:\nand the emotions are characterized by neutrality, realization, and judgment. This finding is consistent with S2 in the position of Agent/Semblance, driven by S1 in a role that appears restricted to dealing with objective facts while simultaneously seeking the fulfillment of institutional objectives (S2 is driven by S1) and employing judgment to achieve such results. It is worth noting that the numerical values of RI are quite similar to those obtained for the Master discourse.\nThe top 5 emotions combinations in relation to the University discourse are:\n{neutral} RI {U} = 0.78;\n{confusion, neutral, realization} RI {U} = 0.40;\n{approval, realization} RI {U} = 0.39;\n{annoyance, neutral} RI {U} = 0.27;\n{joy, neutral} RI {U} = 0.27.\nThe only Capitalist discourse is uniquely identified by a single combination of emotions, namely (approval, desire, joy). The relation intensity is 0.20. It is likely that if the experiment is applied to a larger set of dialogues, other combinations of emotions can be found. Nevertheless, this set of emotions well represents the fact that $ in the position of the Agent/Semblance attempts to satisfy his/her internal needs not by addressing the other but by directly accessing an “artifact” that represents his/her desire, would produce joy, would have his/her approval, or would generate approval for him/herself, for example, in terms of “likes” on social media.\nMany statements present a mix of Lacanian discourses. For example, the combination {Master, Hysteric} has appeared in 8 instances, and the relation intensity falls within the following range:\nand the top five emotion combinations in relation to this mix of discourses are:\n{annoyance, disappointment, disapproval} RI {M, H} = 0.89;\n{anxiety, realization} RI {M, H} = 0.64;\n{admiration, joy, surprise} RI {M, H} = 0.50;\n{annoyance, anxiety, embarrassment} RI {M, H} = 0.50;\n{caring, disappointment, embarrassment} RI {M, H} = 0.50.\nThe combination {Hysteric, University} has appeared in 5 instances, and the relation intensity is in the range:\nand the emotions combinations in relation to this mix of discourses are:\n{annoyance, disapproval, realization} RI {M, H} = 0.55;\n{confusion, disapproval, surprise} RI {M, H} = 0.50;\n{curiosity, desire, neutral} RI {M, H} = 0.50;\n{approval, disappointment} RI {M, H} = 0.29;\n{approval, joy, realization} RI {M, H} = 0.25.\nThe combination {Master, University} has appeared in three instances, and the relation intensity is in the range:\nand the emotional combinations in relation to this mix of discourses are:\n{approval, excitement, and pride} RI {M, U} = 0.71;\n{annoyance, anxiety, and disapproval} RI {M, U} = 0.40;\n{admiration, neutral, and realization} RI {M, U} = 0.13.\nIt is also worth noting that, for example, Anger—a Basic Emotion in the GoEmotions dataset—has not appeared. At this stage, a possible explanation is that the set of dialogues used in the experiment does not include this emotion, but it may appear in a larger experiment. Another possibility is that Anger may have been annotated as Annoyance or Disapproval. Another case is Grief—a Secondary Cognitive Emotion in the GoEmotions dataset—which has not appeared as well. In this case, a possible explanation is that Grief has been annotated as Sadness.\nIt is left to the interested reader to examine the heat map and verify that the set of emotions associated with the combination of discourses is consistent with Lacan's theory.\nAs detailed in Section 4.1, our experimental procedure considers a total of 264 sentences across 40 dialogues. We will now rigorously estimate the necessary sample size (i.e., the number of sentences) to guarantee a high level of precision for the examined probability of co-occurrence of combinations of discourses with emotions.\nAs noted, we estimate the proportion of sentences that satisfy a given property; for example, we examine the case in which discourse d1 occurs together with emotion e1. The necessary sample size n to guarantee a certain precision is given by\nwhere Z the z-score for the desired confidence level, p the expected (unknown) proportion and E the desired error margin.\nFor a worst-case sample size estimate, we assume the unknown probability p equals 1/2, so p(1 − p) is maximized. At a 90% confidence level (which we consider quite adequate for this challenging research setting, which inherently includes high subjectivity), Z = 1.645. For an error margin E = 0.05, we have:\nThus, our sample size of 264 sentences is very close to the required size of 270 sentences, making it adequate for the purpose of our analysis. In fact, for 264 sentences, the margin of error is E = 0.0506.\nFor additional experimental evidence in Section 24, we present the detailed findings of a meticulous stability analysis via simulation.\nTo complement the above analysis, we performed a very detailed experimental procedure.\nWe examine the following 26 sample sizes si, 1 ≤ i ≤ 26 where sample size si = 10·i sentences. In other words, the studied sample sizes are (s1, s2, …, s26) = (10, 20, …, 260).\nFor each sample size i, we estimate all probabilities of discourses-emotions co-occurrence experimentally. To do so, we select 1,000 times a random subset of 264si sentences; each time we estimate the probability (according to Equation 4) and take the mean of the 1,000 estimated probabilities as the discourse-emotion probability pi when the sample size is si. This way, we get 26 different probability estimates (pi), each one corresponding to a sample size si (1 ≤ i ≤ 26).\nIn all cases, the simulated probability converges to the theoretical probability as the sample size increases. To illustrate, we provide three characteristic examples in Figure 3: one discourse and one emotion, one discourse and two emotions, and two discourses and three emotions.\nConvergence of the simulated probability to the theoretical probability for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nFor each discourse-emotion co-occurrence, we also estimate the mean μ of the 26 probabilities for this co-occurrence, each one corresponding to a sample size si (1 ≤ i ≤ 26). This will be used in the standard relative error analysis.\nWe estimate the standard deviation (std) of these 26 probabilities pi, each one corresponding to a sample size si (1 ≤ i ≤ 26). For completeness, we estimate two different types of standard deviation: the cumulative standard deviation and the rolling standard deviation.\nThe cumulative standard deviation is as follows:\nIn all cases, the standard deviation converges to a very low value as the sample size increases. We provide the findings for the three examples in Figure 4.\nConvergence of the cumulative standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nThe rolling standard deviation is defined as follows:\nIn all cases, the rolling standard deviations decrease fast with sample size, converging to a very low value. The findings for our three characteristic examples are shown in Figure 5.\nConvergence of the rolling standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nFinally, we estimate the Relative Standard Error (RSE), defined as follows:\nwhere std is the standard deviation, n is the sample size (1 ≤ n ≤ 264), and μ is the average of the probabilities pi mentioned above. We estimate two versions of RSE: one for cumulative std and another for rolling std.\nIn the literature, the following regimes of RSE have been empirically associated to corresponding sample stability levels:\nNotably, in all cases, the RSE is very small, consistently indicating high sample stability. We illustrate this for our three characteristic cases, showing the RSE calculated using both the cumulative standard deviation (Figure 6) and the rolling standard deviation (Figure 7).\nRelative Standard Error (RSE) based on the cumulative standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nRelative Standard Error (RSE) based on the rolling standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nThe above findings experimentally indicate a quite high sample size stability.\n\n\n### Experimental procedure\nThe experimental procedure is carried out entirely on the custom-built platform. The platform ensures that voters are aware of the meaning and purpose of the discourses' confidence score and weight, as well as the emotions' confidence score. Furthermore, the platform requires that emotions be selected from the chosen dataset and that voting be possible in combinations of emotions and discourses.\n40 dialogues were randomly selected from the database corresponding to 264 sentences.\nThree voters, familiar with the Lacanian Theory of Discourses, independently from each other, for each sentence:\n– elected emotions from the pre-defined set, and assigned a confidence score. The voters were instructed to elect up to three emotions, i.e., they were not restricted to choose just one emotion;\n– elected the appropriate discourses and assigned both a confidence score and a weight as described in Section 3.4.\nThe assignments of the three voters were processed and combined into the votes of a so-called “common user” for both the assigned discourses and emotions as well.\nThe emotions and discourses assignment is essentially a subjective process. As such, it leads to disagreements and discrepancies in assignments that we prefer to label as diversity. In some cases, diversity simply means a disagreement that does not contribute to identifying any pattern. In other cases, diversity is a desirable feature of the process because it may be informative and enrich the perception of what is hidden behind the manifest narratives.\nTo quantitatively evaluate inter-rater agreement, we calculated agreement scores for all combinations of raters across the five Lacanian discourses using Krippendorff (2010)'s alpha coefficient. Krippendorff's alpha coefficient is a statistical measure used to quantify the agreement among multiple observers when coding or rating a set of items. When considering all three raters, the agreement scores were 0.70 for the Analyst discourse, 0.60 for the University discourse, 0.55 for both the Master and Capitalist discourses, and 0.52 for the Hysteric discourse. Examining pairwise agreement revealed more variability. The agreement between Voter 1 and Voter 2 was generally higher, reaching substantial levels for the Analyst (0.80) and University (0.71) discourses. Similarly, Voter 1 and Voter 3 showed strong agreement, particularly for the Capitalist (0.89), Analyst (0.72), and Master (0.67) discourses. The agreement between Voter 2 and Voter 3 was more moderate, with the highest score being 0.58 for the Analyst discourse.\nThe pseudocode for the algorithm to derive the final discourses for the sentences is Appendix Algorithm 2, and its simplified version is shown in Table 2.\nSummary of rules to derive the discourses assignment of the “common user.”\nLet's take, for example, the algorithm's Rule 11:\nVoter 1: d1 d2;\nVoter 2: d2 d3;\nVoter 3: d1 d2;\nOutcome\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d2, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.– d3: discarded because it was selected by only 1 voter.\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d2, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.\n– d3: discarded because it was selected by only 1 voter.\nIn this case, d3 is a discrepancy that does contribute to the understanding of the enunciation.\nLet us take, for example, the algorithm's Rule 18:\nVoter 1: d1 d4;\nVoter 2: d2 d3 d4;\nVoter 3: d1 d2 d3;\nOutcome\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d3, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.– (d4, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d1, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 2; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d3, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 1; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– (d4, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.\nIf the criterion were to keep only the discourses that achieved consensus, none of the discourses would have been selected. However, in this case, any discourse is selected by more than 1 voter and is informative, which makes the combination of discourses (d1, d2, d3, d4) to be taken into account.\nLet us take, for example, the algorithm's Rule 22:\nVoter 1: d1 d2;\nVoter 2: d1 d2;\nVoter 3: d1 d3;\nOutcome\n– (d1, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.– d3: discarded because it was selected by only 1 voter.\n– (d1, H, 0.8): is kept because it appears in 3 out of 3 votes; its confidence score is H(igh) because it was selected by all voters; its weight is 0.8 because it appears along d3 that was discarded.\n– (d2, M, 1): is kept because it appears in 2 out of 3 votes; its confidence score is M(edium) because it was not selected by Voter 3; its weight is 1 because it does not appear together with a discourse that has been discarded.\n– d3: discarded because it was selected by only 1 voter.\nIn this case, d3 is a discrepancy that does contribute to the understanding of the enunciation. If the criterion were to keep only the discourses that achieved consensus, d2 would have been discarded. However, d2 is informative and makes the combination of discourses (d1, d2) to be taken into account.\nIt may seem that the weights assigned by individual voters are not important because they are not considered when deriving the weight assigned by the “common user.” The weights assigned by individual voters help voters reflect their perceptions. In future research, a comparison will be made between the relationships obtained by individual voters, and in this case, these weights are essential.\nThe algorithm for deriving the discourses for the “common user's” vote considers only up to 4 discourses, as this was the maximum number a voter assigned to a sentence. Also, the cases that led to a discourse of “none” were discarded from the final analysis of the data.\nHereafter, an example of dialog processing is shown to help with understanding the “common user's” vote evaluation.\nDialog ID: FroLatteAd_10\nI can't believe Mr. Fro didn't buy it. Who does that guy think he is anyway? Bill Gates?\nVoter 1: Hysteric, High, 0.9;\nVoter 2: Hysteric, Mid, 0.7;\nVoter 3: Hysteric, High, 1.0;\nCommon user—Rule 1: Hysteric, High, 1.0.\nHe had a lot of nerve telling us our ads sucked.\nVoter 1: University, Mid, 0.6; Hysteric, Low, 0.2;\nVoter 2: Master, Low, 0.1; Hysteric, Mid, 0.6;\nVoter 3: Hysteric, High, 1.0;\nCommon user—Rule 6: Hysteric, High, 0.6.\nTime to order. Balista, today I want a skinny triple latte.\nVoter 1: Hysteric, Mid, 0.4;\nVoter 2: Hysteric, Low, None; Capitalist, Low, 0.5;\nVoter 3: Hysteric, High, 0.8;\nCommon user—Rule 4: Hysteric, High, 0.8.\nWhen did you start worrying about your weight?\nVoter 1: Analyst, High, 0.8;\nVoter 2: Analyst, Mid, 0.7;\nVoter 3: Analyst, High, 0.5; Hysteric, High, 0.5.\nCommon user—Rule 4: Analyst, High, 0.8.\nI'm not. I just don't feel like drinking whole milk today. Why? Do you think I'm fat?\nVoter 1: Master, Mid, 0.5; Hysteric, High, 0.8;\nVoter 2: Master, Low, 0.2; Hysteric, Mid, 0.7;\nVoter 3: Master, High, 0.5; Hysteric, High, 0.5;\nCommon user—Rule 2: Master, High, 1.0; Hysteric, High, 1.0.\nNo, Jess, chill out!\nVoter 1: Master, Low, 0.2;\nVoter 2: Master, Low, 0.6; Hysteric, Low, 0.1;\nVoter 3: Master, High, 0.8;\nCommon user—Rule 4: Master, High, 0.8.\nThe example shows that:\nThe algorithm harmonizes the discrepancies among the individual voters.\nThe harmonization is accomplished by discarding votes that are given just by one voter, and decreasing the value of the confidence score and the weight level in cases where the votes are not unanimous.\nThe confidence score and weight level assigned by the individual voters are not taken into account in the derivation of the “common user's” vote. Nevertheless, these individual assignments are important when deriving the model for the individual voters. However, such modeling is out of the scope of the current research.\nThe algorithm enables the capture of the presence of both unique discourses and traces of multiple discourses in each of the statements.\nThe algorithm to derive the emotions for the “common user's” vote is shown in the Algorithm 2.\n\n\n### Votes processing\nEquation 4 is applied to the “common user's” votes, and a complete table of all conditional probabilities is generated. Table 3 shows an extract from the complete table of conditional probabilities. In any given row, the first column is a set of up to three simultaneous emotions, and the remaining columns show the conditional probabilities for the set of discourses. It may be seen that the sum of the probabilities in each row is 1. In the complete table, the sum of the probabilities in each column is also 1.\nConditional probabilities for emotional sets (M, Master; U, University; A, Analyst; H, Hysteric; C, Capitalist).\nNext, Equation 9 is applied to the conditional probabilities, generating a complete table of the relation intensity between a set of emotions and a set of discourses. In any given row, the first column lists up to three simultaneous emotions, and the remaining columns show the relation intensity for all 13 discourse combinations considered.\nFor clarity, we symbolized the relation intensity for particular combinations of discourses with emotions\nin the following way:\nmaking it easier the identification of the involved emotions and discourses.\nIn general terms, this relation intensity can be represented as:\nwhere 0 ≤ {i, j, k} ≤ 30. The value 0 is used to represent “no emotion considered” and the other values point to a specific emotion of the dataset.\n{a, b, c} represent one of the five Lacanian discourses or none of them to take into account a single or a combination of discourses.\n1 ≤ m ≤ 13 represents one of the 13 possible discourses combinations and 0 ≤ rm ≤ 1. As already shown by Equation 9, rm is obtained by the multiplication of a probability and a weight, both of which are less or equal to 1, and a further normalization. So, it is not possible to have a high value of the relation intensity if the corresponding conditional probability is low. For each set of emotions {ei, ej, ek} the 13 values of rm can be sorted in descending order, indicating the most prevalent discourses associated with that set of emotions.\nThe relation intensity results have been summarized in a heat map shown in Figure 2, presented as a 2 × 2 grid of subfigures. Each subfigure highlights one quadrant of the heat map, focusing on the top 5 relation intensity values for each combination of emotions. While the complete relation intensity table has 198 rows, the table limited to the top 5 values includes only 67 rows.\nThe complete heat map of the relation intensity between emotions and Lacanian discourses displayed in a 2x2 grid. Each subfigure represents a specific section of the heatmap: (A) Part 1 (top-left), (B) Part 2 (top-right), (C) Part 3 (bottom-left), and (D) Part 4 (bottom-right).\nThese heat maps show the entire dataset and are not limited to just the top 5.\n\n\n### Findings and discussion\nIt is important to point out that the findings and corresponding explanations are preliminary due to the limitations of the experimental procedure and decisions taken for the adopted methodology. Nevertheless we are confident that the qualitative findings are of significance and the quantitative ones deserve to be refined in future work.\nBefore showing the results, it is necessary to clarify the relevance and consequences of working with a combination of emotions instead of a single emotion for each sentence.\nWe used the term sentence to refer to a complete enunciation by a speaker in each part of the dialogue. We did not break each enunciation into its constituent parts. Let us hypothetically assume that a speaker provides the following enunciation:\nI love my son above all other persons. On the other hand, I despise my ex-wife with the whole strength of my soul.\nEach voter was asked to assign emotions to the entire enunciation, which clearly expresses at least two different emotions. For the first part—I love my son above all other persons.—the emotion “love” is present. However, in the second part of the enunciation—On the other hand, I despise my ex-wife with the whole strength of my soul.—it is difficult to identify the emotion. It could be “anger”, “disapproval”, or “disappointment.”\nThe voters made the assignments independently of each other, and in this specific case, it is reasonable for them to cast different votes. The Common User algorithm harmonizes the discrepancies.\nAs the objective of this study is to establish a relationship, if one exists, between emotions and the Lacanian discourses, the combination of emotions is more representative of the Lacanian discourses adopted by the speaker and provides greater differentiation than single emotions. It is not an objective of this study to provide any diagnosis. In future studies, we will evaluate the possibility of using the Lacanian discourses as an auxiliary tool to be incorporated into diagnostic procedures.\nThe heat map shown in Figure 2 must be read row-wise, meaning that comparisons of values in the same row are meaningful. However, comparisons of values in different rows have qualitative meaning but not quantitative meaning. In the sequence, some examples will clarify these comments.\nOut of the 67 rows of the heat map only 7 have more than one value different from zero. This result indicates that the identification of emotions has a very strong ability to identify the prevalent discourse in a sentence. The rows that have more than one relation intensity value different from zero are the following:\n{admiration, approval, excitement} RI {M, H, U} = 0.05;\n{admiration, approval, excitement} RI {H} = 0.82.\nIt can be observed that the Hysteric discourse is identified in both instances. The relation intensity for the only Hysteric discourse is very strong. This is not surprising, as excitement is present in both sets of emotions. The presence of the Hysteric discourse along the Master and University may also occur, and this identification is certainly due to the judgement emotions—admiration and approval.\n{approval, caring, optimism} RI {M, A} = 0.07;\n{approval, caring, optimism} RI {A} = 0.13.\nIt is reasonable to find the feeling of caring associated with the Analyst discourse. In a pure Analyst position, neither any kind of judgment nor expectation should appear, so the presence of approval and optimism counts toward the identification of the Master discourse as well.\n{approval, neutral} RI {M} = 0.38;\n{approval, neutral} RI {U} = 0.22.\nand,\n{approval, realization} RI {M} = 0.36;\n{approval, realization} RI {U} = 0.39.\nIn both cases, there is an ambiguity between the Master's and the University's discourses. The approval emotion is always present, i.e., the characteristic of judgement associated with these discourses. The other two emotions, neutral and realization, indicate the objectivity of these discourses. It is reasonable that such ambiguity occurs because S1 is, in both cases, on the transmitter side, either as the Agent or the hidden Truth. Furthermore, S1 either drives S2 or addresses it.\n{caring, curiosity} RI {M, H} = 0.33;\n{caring, curiosity} RI {A} = 0.11.\nand,\n{caring, curiosity, neutral} RI {H} = 0.54;\n{caring, curiosity, neutral} RI {A} = 0.09.\nIn all cases, the emotions of caring and curiosity are present. They are distinctly associated with the Analyst discourse, but in a subtle and elusive way. This is probably why the intensity of the relation is low. However, caring and curiosity are not exclusive to the Analyst discourse. In the Hysteric discourse, the speaker may appear intensely, emotionally charged, seeking objective information (neutrality). In the Master discourse, the speaker may also show curiosity and care about the potential production of the receiver.\n{neutral} RI {M} = 0.04;\n{neutral} RI {U} = 0.78.\nNeutrality is expected from the speaker providing objective information, as in the case of University discourse. In a much lesser degree, neutrality may characterize a Master discourse when it describes a scenario in which the receiver is expected to act. Neutrality may be less pronounced in this case because the Master discourse is also characterized by authority, power, and self-image, which may imply biased speech.\nThe only Master discourse is uniquely identified by a very large set of emotion combinations, 10 in total. The relation intensity is in the range:\nand the emotions show a prevalence of judgement (approval, disapproval), self-image (pride), jouissance (joy), and expectation (anxiety, nervousness). This finding is consistent with S1 in the position of Agent / Semblance, in which a role of power and authority may produce statements charged with judgement and expectation. On the other hand, S1 driven by $ speaks about himself in terms of the image he/she wants to display.\nThe top four emotion combinations in relation to the Master discourse are:\n{approval, neutral} RI {M} = 0.38;\n{approval, realization} RI {M} = 0.36;\n{neutral, pride} RI {M} = 0.33;\n{anxiety, nervousness} RI {M} = 0.27.\nSeveral other emotion combinations exhibit the same relation intensity of 0.25.\nThe only Analyst discourse is uniquely identified by a set of five emotion combinations. The relation intensity is in the range:\nand the emotions show a prevalence of caring associated with curiosity and neutrality. This finding is consistent with a in the position of Agent/Semblance driven by S2 in a role that shows empathy and a neutral curiosity to try to access the other's Jouissance. It is also worth noting that the numerical values of RI are consistently lower than in all other cases. This reflects the fact that in daily dialogues, people seldom adopt the neutral speech of an Analyst.\nThe top five emotion combinations in relation to the Analyst discourse are:\n{approval, caring, curiosity} RI {A} = 0.20;\n{approval, caring, optimism} RI {A} = 0.13;\n{caring, curiosity} RI {A} = 0.11;\n{caring, curiosity, neutral} RI {A} = 0.09;\n{caring, neutral, realization} RI {A} = 0.08.\nThe only Hysteric discourse is uniquely identified by a very large set of emotion combinations, 10 in total. The relation intensity is in the range:\nand the emotions span a wide spectrum, with excitement being prevalent. This finding is consistent with $ in the position of Agent/Semblance, driven by a in a role that looks forward to gaining access to knowledge while expressing the power of personal feelings. It is worth noting that the numerical values of RI are consistently higher than in all other cases. This reflects how often, in daily life, people eagerly seek information and understanding, and also how this position is easier to be identified.\nThe top five emotion combinations in relation to the Hysteric discourse are:\n{admiration, approval, excitement} RI {H} = 0.82;\n{approval, curiosity} RI {H} = 0.75;\n{disappointment, sadness} RI {H} = 0.60;\n{anxiety, curiosity, nervousness} RI {H} = 0.50;\n{anxiety, disapproval, nervousness} RI {H} = 0.50.\nThe only University discourse is uniquely identified by a set of 8 emotions combinations. The relation intensity is in the range:\nand the emotions are characterized by neutrality, realization, and judgment. This finding is consistent with S2 in the position of Agent/Semblance, driven by S1 in a role that appears restricted to dealing with objective facts while simultaneously seeking the fulfillment of institutional objectives (S2 is driven by S1) and employing judgment to achieve such results. It is worth noting that the numerical values of RI are quite similar to those obtained for the Master discourse.\nThe top 5 emotions combinations in relation to the University discourse are:\n{neutral} RI {U} = 0.78;\n{confusion, neutral, realization} RI {U} = 0.40;\n{approval, realization} RI {U} = 0.39;\n{annoyance, neutral} RI {U} = 0.27;\n{joy, neutral} RI {U} = 0.27.\nThe only Capitalist discourse is uniquely identified by a single combination of emotions, namely (approval, desire, joy). The relation intensity is 0.20. It is likely that if the experiment is applied to a larger set of dialogues, other combinations of emotions can be found. Nevertheless, this set of emotions well represents the fact that $ in the position of the Agent/Semblance attempts to satisfy his/her internal needs not by addressing the other but by directly accessing an “artifact” that represents his/her desire, would produce joy, would have his/her approval, or would generate approval for him/herself, for example, in terms of “likes” on social media.\nMany statements present a mix of Lacanian discourses. For example, the combination {Master, Hysteric} has appeared in 8 instances, and the relation intensity falls within the following range:\nand the top five emotion combinations in relation to this mix of discourses are:\n{annoyance, disappointment, disapproval} RI {M, H} = 0.89;\n{anxiety, realization} RI {M, H} = 0.64;\n{admiration, joy, surprise} RI {M, H} = 0.50;\n{annoyance, anxiety, embarrassment} RI {M, H} = 0.50;\n{caring, disappointment, embarrassment} RI {M, H} = 0.50.\nThe combination {Hysteric, University} has appeared in 5 instances, and the relation intensity is in the range:\nand the emotions combinations in relation to this mix of discourses are:\n{annoyance, disapproval, realization} RI {M, H} = 0.55;\n{confusion, disapproval, surprise} RI {M, H} = 0.50;\n{curiosity, desire, neutral} RI {M, H} = 0.50;\n{approval, disappointment} RI {M, H} = 0.29;\n{approval, joy, realization} RI {M, H} = 0.25.\nThe combination {Master, University} has appeared in three instances, and the relation intensity is in the range:\nand the emotional combinations in relation to this mix of discourses are:\n{approval, excitement, and pride} RI {M, U} = 0.71;\n{annoyance, anxiety, and disapproval} RI {M, U} = 0.40;\n{admiration, neutral, and realization} RI {M, U} = 0.13.\nIt is also worth noting that, for example, Anger—a Basic Emotion in the GoEmotions dataset—has not appeared. At this stage, a possible explanation is that the set of dialogues used in the experiment does not include this emotion, but it may appear in a larger experiment. Another possibility is that Anger may have been annotated as Annoyance or Disapproval. Another case is Grief—a Secondary Cognitive Emotion in the GoEmotions dataset—which has not appeared as well. In this case, a possible explanation is that Grief has been annotated as Sadness.\nIt is left to the interested reader to examine the heat map and verify that the set of emotions associated with the combination of discourses is consistent with Lacan's theory.\n\n\n### Sample size stability analysis\nAs detailed in Section 4.1, our experimental procedure considers a total of 264 sentences across 40 dialogues. We will now rigorously estimate the necessary sample size (i.e., the number of sentences) to guarantee a high level of precision for the examined probability of co-occurrence of combinations of discourses with emotions.\nAs noted, we estimate the proportion of sentences that satisfy a given property; for example, we examine the case in which discourse d1 occurs together with emotion e1. The necessary sample size n to guarantee a certain precision is given by\nwhere Z the z-score for the desired confidence level, p the expected (unknown) proportion and E the desired error margin.\nFor a worst-case sample size estimate, we assume the unknown probability p equals 1/2, so p(1 − p) is maximized. At a 90% confidence level (which we consider quite adequate for this challenging research setting, which inherently includes high subjectivity), Z = 1.645. For an error margin E = 0.05, we have:\nThus, our sample size of 264 sentences is very close to the required size of 270 sentences, making it adequate for the purpose of our analysis. In fact, for 264 sentences, the margin of error is E = 0.0506.\nFor additional experimental evidence in Section 24, we present the detailed findings of a meticulous stability analysis via simulation.\n\n\n### Detailed simulation study for sample size stability analysis\nTo complement the above analysis, we performed a very detailed experimental procedure.\nWe examine the following 26 sample sizes si, 1 ≤ i ≤ 26 where sample size si = 10·i sentences. In other words, the studied sample sizes are (s1, s2, …, s26) = (10, 20, …, 260).\nFor each sample size i, we estimate all probabilities of discourses-emotions co-occurrence experimentally. To do so, we select 1,000 times a random subset of 264si sentences; each time we estimate the probability (according to Equation 4) and take the mean of the 1,000 estimated probabilities as the discourse-emotion probability pi when the sample size is si. This way, we get 26 different probability estimates (pi), each one corresponding to a sample size si (1 ≤ i ≤ 26).\nIn all cases, the simulated probability converges to the theoretical probability as the sample size increases. To illustrate, we provide three characteristic examples in Figure 3: one discourse and one emotion, one discourse and two emotions, and two discourses and three emotions.\nConvergence of the simulated probability to the theoretical probability for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nFor each discourse-emotion co-occurrence, we also estimate the mean μ of the 26 probabilities for this co-occurrence, each one corresponding to a sample size si (1 ≤ i ≤ 26). This will be used in the standard relative error analysis.\nWe estimate the standard deviation (std) of these 26 probabilities pi, each one corresponding to a sample size si (1 ≤ i ≤ 26). For completeness, we estimate two different types of standard deviation: the cumulative standard deviation and the rolling standard deviation.\nThe cumulative standard deviation is as follows:\nIn all cases, the standard deviation converges to a very low value as the sample size increases. We provide the findings for the three examples in Figure 4.\nConvergence of the cumulative standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nThe rolling standard deviation is defined as follows:\nIn all cases, the rolling standard deviations decrease fast with sample size, converging to a very low value. The findings for our three characteristic examples are shown in Figure 5.\nConvergence of the rolling standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nFinally, we estimate the Relative Standard Error (RSE), defined as follows:\nwhere std is the standard deviation, n is the sample size (1 ≤ n ≤ 264), and μ is the average of the probabilities pi mentioned above. We estimate two versions of RSE: one for cumulative std and another for rolling std.\nIn the literature, the following regimes of RSE have been empirically associated to corresponding sample stability levels:\nNotably, in all cases, the RSE is very small, consistently indicating high sample stability. We illustrate this for our three characteristic cases, showing the RSE calculated using both the cumulative standard deviation (Figure 6) and the rolling standard deviation (Figure 7).\nRelative Standard Error (RSE) based on the cumulative standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nRelative Standard Error (RSE) based on the rolling standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nThe above findings experimentally indicate a quite high sample size stability.\n\n\n### (a) Probability convergence as sample size increases\nWe examine the following 26 sample sizes si, 1 ≤ i ≤ 26 where sample size si = 10·i sentences. In other words, the studied sample sizes are (s1, s2, …, s26) = (10, 20, …, 260).\nFor each sample size i, we estimate all probabilities of discourses-emotions co-occurrence experimentally. To do so, we select 1,000 times a random subset of 264si sentences; each time we estimate the probability (according to Equation 4) and take the mean of the 1,000 estimated probabilities as the discourse-emotion probability pi when the sample size is si. This way, we get 26 different probability estimates (pi), each one corresponding to a sample size si (1 ≤ i ≤ 26).\nIn all cases, the simulated probability converges to the theoretical probability as the sample size increases. To illustrate, we provide three characteristic examples in Figure 3: one discourse and one emotion, one discourse and two emotions, and two discourses and three emotions.\nConvergence of the simulated probability to the theoretical probability for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\n\n\n### (b) Mean value of estimated probability\nFor each discourse-emotion co-occurrence, we also estimate the mean μ of the 26 probabilities for this co-occurrence, each one corresponding to a sample size si (1 ≤ i ≤ 26). This will be used in the standard relative error analysis.\n\n\n### (c) Standard deviation estimation\nWe estimate the standard deviation (std) of these 26 probabilities pi, each one corresponding to a sample size si (1 ≤ i ≤ 26). For completeness, we estimate two different types of standard deviation: the cumulative standard deviation and the rolling standard deviation.\n\n\n### (c.1) The cumulative standard deviation\nThe cumulative standard deviation is as follows:\nIn all cases, the standard deviation converges to a very low value as the sample size increases. We provide the findings for the three examples in Figure 4.\nConvergence of the cumulative standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\n\n\n### (c.2) The rolling standard deviation\nThe rolling standard deviation is defined as follows:\nIn all cases, the rolling standard deviations decrease fast with sample size, converging to a very low value. The findings for our three characteristic examples are shown in Figure 5.\nConvergence of the rolling standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\n\n\n### (d) Relative Standard Error\nFinally, we estimate the Relative Standard Error (RSE), defined as follows:\nwhere std is the standard deviation, n is the sample size (1 ≤ n ≤ 264), and μ is the average of the probabilities pi mentioned above. We estimate two versions of RSE: one for cumulative std and another for rolling std.\nIn the literature, the following regimes of RSE have been empirically associated to corresponding sample stability levels:\nNotably, in all cases, the RSE is very small, consistently indicating high sample stability. We illustrate this for our three characteristic cases, showing the RSE calculated using both the cumulative standard deviation (Figure 6) and the rolling standard deviation (Figure 7).\nRelative Standard Error (RSE) based on the cumulative standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nRelative Standard Error (RSE) based on the rolling standard deviation for different numbers of discourses and emotions. (Top left) The case for one discourse (“University”) and one emotion (“Neutral”). (Top right) The case for one discourse (“Hysteric”) and two emotions (“Curiosity” and “Surprise”). (Bottom) The case for two discourses (“Hysteric” and “Master”) and three emotions (“Annoyance,” “Disappointment,” and “Disproval”).\nThe above findings experimentally indicate a quite high sample size stability.\n\n\n### Conclusions and future studies\nThe main contribution of this research is a psychoanalytic one per se: the establishment of a systematic relation among emotions and Lacanian discourses.\nThe main findings of this work can be summarized as follows:\nAn empirical evidence of the relationship between the combination of emotions and Lacanian Discourses has been established;\nEmotions have a strong differential power to identify unique Lacanian discourses present in texts;\nEmotions also have a strong differential power to identify a mix of Lacanian discourses present in texts;\nThe relationships identified can be explained psychoanalytically.\nThe findings of this work are limited by the small set of dialogues used in the experimental procedure. However, the procedure has proved to be powerful and can be applied to a larger set to refine the results. We conjecture that new relationships will be found and that those already found will be confirmed.\nAs shown in Section 4, we symbolized the relation intensity for particular combinations of discourses with a particular combination of emotions in the following way:\nwhere 0 ≤ {i, j, k} ≤ 30. The value 0 is used to represent “no emotion considered” and the other values point to a specific emotion of the dataset.\n{a, b, c} represent one of the five Lacanian discourses or none of them to take into account a single or a combination of discourses.\nWe intend to improve the {ei, ej, ek}RI{da, db, dc} model. To do so, we will:\nEvaluate {ei, ej, ek}RI{da, db, dc} = rm and establish the heat maps for each individual voter.\nEstablish a new “average user” heat map based on the average value of the heat maps for each individual voter.\nCompare the models obtained for each individual voter, the “common user” and the “average user” and refine the conclusions obtained so far.\nOpen the platform to students and other researchers to collect more votes and improve the model.\nRegarding future study, it is worth noting that this LDD method can be automated to a great extent, since current computer-based methods (primarily employing AI systems and tools) can effectively detect emotions in texts. Narratives will be used as input to the MentaLLaMA (Yang et al., 2024), the first open-source instruction-following LLM series for interpretable mental health analysis on social media. The detected emotions and their combinations will feed our LDD model to identify the Lacanian Discourses.\nThis way, there is great potential to develop effective, real-world applications based on the automated identification of emotions and corresponding discourses.\nIn Mota et al. (2012) and Mota et al. (2014), the authors describe a speech-graph-based quantitative measure of thought disorder in psychosis. The method described in those papers has been implemented by Psychomeasure (https://psychomeasure.com), which, according to its website, is a European start-up dedicated to transforming mental health through innovation in Healthtech and Digital Therapeutics. With this tool, doctors can track their patients' progress remotely and identify meaningful changes in their mental health. This platform enables earlier interventions, personalized care, and a significant leap toward transforming mental health management.\nThe graph corresponding to a given narrative is independent of the language and semantics. This graph can be annotated with the results obtained by the LDD. In this way, clusters of nodes will be assigned to specific discourses. This new and enhanced graph representation could potentially provide:\na deeper understanding of the narrative;\nan improved binary classification of mental disorders; and\na transdiagnostic process identification.\nThis study is just the first step of the Lacanian Discourse Discovery (LDD) methodology, which is presented for the first time here. In the future, a structural approach will be developed to directly identify the signifiers S1, S2, $, and a based on their unique properties, without relying on emotions as an intermediate step.", "domain": "affective_neuroscience"}
{"source": "PMC13049136", "title": "Benchmarking quantum kernels and modern vision models for compound facial expression recognition", "text": "# Benchmarking quantum kernels and modern vision models for compound facial expression recognition\n\n## Abstract\nWe present a unified, compute-accounted comparison of seven pipelines for compound facial-expression recognition on RAF-DB: two classical hybrids (ResNet50–SVM, VGGFace–SVM), two modern baselines (EfficientNetV2-S, ViT-B/16), and three quantum-enhanced hybrids (QCNN, QKNN, QSVM). Beyond top-1 accuracy, we report feature-extraction (FX), training, and per-sample classification time to expose accuracy–efficiency trade-offs. ViT-B/16 achieves the highest accuracy (63.13%) with very low FX (~ 32.84 s) but at the cost of longer training time; EfficientNetV2-S is competitive (60.9%) with a short training time but higher FX (~ 2056.92 s). Among quantum hybrids, QSVM offers the best accuracy (54.97%) at moderate FX (~ 61.6 s), QKNN yields the most deployment-friendly FX (~ 24.47 s; 36.02% accuracy), and QCNN is FX-minimal (~ 11.9 s) but accuracy-limited (35.69%). Confusions cluster along fear–surprise and sadness–disgust, suggesting AU-aware local attention, margin-shaping objectives, and fairness-oriented augmentation. Overall, QSVM is the accuracy-leading quantum option under moderate budgets, QKNN suits tight latency envelopes, and EfficientNet/ViT remain strong when compute is ample. The protocol, ablations, and statistical tests (McNemar, BCa CIs, Cliff’s δ) support reproducible, decision-oriented benchmarking. We do not claim near-term “quantum advantage”; instead we provide a compute-accounted benchmark and a feasibility-oriented analysis. Additional analyses include a strictly matched classical SVM baseline for quantum-kernel attribution, a lightweight kernel-shaping validation (fusion + regularisation), and a hardware-normalized cost discussion motivating simulator-based experiments at dataset scale. The online version contains supplementary material available at 10.1038/s41598-026-41514-2.\n\n## Full Text\n\n\n### Introduction\nFacial-expression recognition (FER) is moving from laboratory settings to decision contexts that demand both reliability and speed—clinical triage, safety monitoring, social robotics, and conversational interfaces1–5. In those environments, compound expressions (e.g., fearfully surprised, sadly disgusted, angrily surprised) appear more often than textbook basic emotions. They originate from the co-activation of multiple affective components and rarely align with crisp boundaries6. Affective psychology offers principled explanations for this complexity. Such as Russell’s Circumplex Model, which situates emotions along valence–arousal axes rather than as isolated labels, while Scherer’s Component Process Model treats emotion as the output of dynamic appraisal processes7,8. In this view, compound expressions occupy intermediate or transitional regions of affective space, producing partially overlapping facial action units (AUs) that even state-of-the-art models struggle to interpret. Beyond representational ambiguity, computational efficiency is a practical constraint: many FER deployments operate under tight latency and power budgets (e.g., on-device inference), where training dynamics, feature-extraction time, and end-to-end throughput matter as much as raw accuracy9–11.\nThe Real-world Affective Faces Database (RAF-DB) is widely used for both basic and compound categories and intentionally captures in-the-wild variability (pose, illumination, occlusion, demographic diversity), increasing ecological validity while exacerbating class imbalance and label ambiguity12. In such conditions, models often confuse pairs with shared action unit (AU) patterns—e.g., fear–surprise (wide eyes, raised brows) or sadness–disgust (downturned lip corners, nasolabial changes)—and conventional metrics may conceal semantically important error structure. These realities motivate an evaluation that balances predictive quality with computational cost, while explicitly analysing where and why models fail.\nOn the computational side, the field has coalesced around two modern baselines. First, convolutional neural networks (CNNs) remain highly competitive. Classic backbones (e.g., VGGFace, ResNet-50) deliver strong hierarchical features but can be heavy at inference. Newer Efficient CNNs (e.g., EfficientNet-V2) use compound scaling of depth/width/resolution, inverted bottlenecks, and squeeze-and-excitation to improve accuracy-per-FLOP and memory footprint13,14. Second, Vision Transformers (ViT) replace local convolution with global self-attention over image patches, capturing long-range dependencies that are attractive for spatially dispersed facial cues in compound expressions15. Yet, ViTs can be data- and compute-hungry, and even efficient CNNs incur nontrivial feature-extraction latency under strict deployment constraints.\nA complementary line of work explores quantum-enhanced models to reshape the efficiency–accuracy frontier. Quantum SVMs (QSVMs) leverage quantum feature maps and kernels in high-dimensional Hilbert spaces to increase class separability at training/inference costs that can be favourable under certain regimes16. Quantum CNNs (QCNNs) substitute or augment convolution/pooling with parameterised quantum circuits to perform parallelised feature transformations17. Quantum k-NN (QKNN) accelerates similarity search and neighbour selection using amplitude encoding and Grover-style procedures (e.g., swap tests and amplitude estimation), potentially reducing time complexity for high-dimensional comparison18,19. While near-term quantum devices remain resource-limited, hybrid (quantum–classical) pipelines can already be benchmarked for their feature-extraction time, training stability, and accuracy on realistic datasets such as RAF-DB.\nAgainst this background, we select seven representative approaches to probe how architectural choices trade off computational efficiency and predictive performance for compound FER:ResNet50–SVM and VGGFace–SVM (classical hybrids). These pipelines pair strong convolutional features with margin-based classification, offering transparent baselines for accuracy, feature-extraction time, and generalisation under limited compute. They probe how far classical features, combined with a light classifier, can go with ambiguous, overlapping classes.EfficientNet (EfficientNetV2-S) and Vision Transformer (ViT) (modern baselines). EfficientNet represents the modern CNN family optimised for accuracy-per-compute via compound scaling; ViT represents attention-based modelling of long-range facial dependencies. Together, they quantify the frontier of purely classical deep architectures under realistic latency and memory budgets.Hybrid QCNN, QKNN, and QSVM (quantum hybrids). These probe whether quantum-assisted feature mappings and search can compress computation (especially feature-extraction time) while preserving or improving separation margins in compound classes—particularly among the known hard pairs (fear–surprise; sadness–disgust).\nResNet50–SVM and VGGFace–SVM (classical hybrids). These pipelines pair strong convolutional features with margin-based classification, offering transparent baselines for accuracy, feature-extraction time, and generalisation under limited compute. They probe how far classical features, combined with a light classifier, can go with ambiguous, overlapping classes.\nEfficientNet (EfficientNetV2-S) and Vision Transformer (ViT) (modern baselines). EfficientNet represents the modern CNN family optimised for accuracy-per-compute via compound scaling; ViT represents attention-based modelling of long-range facial dependencies. Together, they quantify the frontier of purely classical deep architectures under realistic latency and memory budgets.\nHybrid QCNN, QKNN, and QSVM (quantum hybrids). These probe whether quantum-assisted feature mappings and search can compress computation (especially feature-extraction time) while preserving or improving separation margins in compound classes—particularly among the known hard pairs (fear–surprise; sadness–disgust).\nMethodologically, we standardise data splits, preprocessing, and evaluation on RAF-DB; control training schedules and input resolutions per model family; and account for compute via feature-extraction time, training time, and classification latency. Beyond top-1 accuracy, we analyse confusion matrices to surface semantically meaningful error patterns, and we report statistical significance where applicable to avoid over-interpreting small gaps. This protocol is designed to make cross-model comparisons fair, reproducible, and decision-relevant for practitioners facing deployment constraints.\nThis paper makes three contributions:Unified evaluation protocol with compute accounting. We present a consistent pipeline for RAF-DB compound FER across seven architectures—classical hybrids, modern CNN/ViT, and quantum hybrids—with matched preprocessing, controlled hyperparameters, and explicit reporting of feature-extraction time, training time, and classification latency. This allows accuracy to be interpreted alongside realistic computational budgets.Comprehensive comparative results. We show that quantum-assisted models reduce feature-extraction cost relative to deep baselines, with QSVM attaining the best overall accuracy among the quantum family and QKNN offering the most favourable accuracy–latency balance for real-time scenarios. EfficientNet and ViT remain strong modern baselines but require higher compute, making it clear when hybrids are preferable.Error structure and statistical validity. Through confusion-matrix analysis, we identify persistent confusions in fear–surprise and sadness–disgust blends shared across models, and we report statistical tests/effect sizes to contextualise observed differences. We discuss model-specific failure modes and derive targeted remedies (e.g., AU-aware local features for ViT, quantum kernel shaping for QSVM, class-balanced augmentation).\nUnified evaluation protocol with compute accounting. We present a consistent pipeline for RAF-DB compound FER across seven architectures—classical hybrids, modern CNN/ViT, and quantum hybrids—with matched preprocessing, controlled hyperparameters, and explicit reporting of feature-extraction time, training time, and classification latency. This allows accuracy to be interpreted alongside realistic computational budgets.\nComprehensive comparative results. We show that quantum-assisted models reduce feature-extraction cost relative to deep baselines, with QSVM attaining the best overall accuracy among the quantum family and QKNN offering the most favourable accuracy–latency balance for real-time scenarios. EfficientNet and ViT remain strong modern baselines but require higher compute, making it clear when hybrids are preferable.\nError structure and statistical validity. Through confusion-matrix analysis, we identify persistent confusions in fear–surprise and sadness–disgust blends shared across models, and we report statistical tests/effect sizes to contextualise observed differences. We discuss model-specific failure modes and derive targeted remedies (e.g., AU-aware local features for ViT, quantum kernel shaping for QSVM, class-balanced augmentation).\nTaken together, our study positions compound FER as a joint problem of representational adequacy and computational efficiency. By triangulating classical, modern, and quantum-hybrid approaches under a unified protocol, we provide a decision-oriented map of trade-offs that can guide both academic benchmarking and practical deployment in affective computing.\n\n\n### Related work\nClassical and modern FER. Early FER pipelines combined hand-crafted descriptors (e.g., LBP, HOG, SIFT) with margin-based or instance-based classifiers (SVM/KNN), trading representational power for speed and interpretability20,21. Deep CNNs overturned that trade-off: VGGFace and ResNet families learned hierarchical cues (AUs, texture, shape) that generalise across pose and illumination, but at non-trivial compute and memory cost22,23. More recent “modern CNNs” (e.g., EfficientNet family) improve the accuracy–efficiency frontier via compound scaling and squeeze-and-excitation, yet still depend on large input resolutions and long training schedules20,24. Attention models such as ViT and Swin Transformer extend receptive fields globally, often surpassing CNNs on in-the-wild benchmarks after large-scale pre-training; however, they shift the bottleneck from convolution FLOPs to tokenisation and multi-head attention, with training stability and data hunger that complicate deployment25,26. Overall, the literature shows accuracy gains from modern architectures, but there is mixed evidence on whether these gains persist under strict latency, energy, or edge-device constraints—precisely the regime many FER applications require.\nCompound-expression recognition. Most state-of-the-art reports optimise for the six basic emotions; far fewer treat compound expressions (e.g., fearfully surprised, sadly disgusted) where AU overlap compresses inter-class margins27. Studies on RAF-DB and related “in-the-wild” corpora document recurring confusions along shared valence–arousal axes (fear ↔ surprise, sadness ↔ disgust), class imbalance, and annotation ambiguity—factors that inflate headline accuracy while masking failure modes28,29. Temporal cues (onset/offset dynamics), occlusion, and culture-specific display rules further erode robustness9,30. Even strong backbones (ResNet, EfficientNet, ViT) tend to overfit dominant compounds without targeted rebalancing or region-aware attention29,31. Recent attempts—landmark-guided attention, local–global fusion, and curriculum/contrastive training—show incremental gains but often at additional compute or with brittle hyperparameters28,31,32. The consensus emerging from these works is clear: improving compound-class separability requires architectures and training objectives that explicitly model fine-grained AU interactions and class geometry, rather than simply deeper networks.\nQuantum-enhanced learning. Hybrid quantum–classical methods have been proposed to address precisely these margin and efficiency issues. QSVMs replace or augment classical kernels with quantum feature maps that, in principle, linearise otherwise hard decision boundaries in high-dimensional Hilbert spaces16; QCNNs introduce variational quantum circuits as convolution/pooling surrogates to compress features with fewer parameters17; and QKNN variants exploit amplitude encoding and Grover-style search to reduce neighbour retrieval complexity18,19. Empirical reports on vision and affective tasks are encouraging—often showing comparable accuracy to strong CNN/ViT baselines at lower feature-extraction cost—but remain heterogeneous in datasets, circuit depth, simulators vs. hardware, and statistical testing33. Moreover, practical limits (noise, qubit count, compilation overhead) can erase theoretical speedups if pipelines are not co-designed end-to-end. The most credible path emerging in the literature is hybridisation: use classical front-ends for stable low-level cues and deploy quantum kernels/circuits where they most affect margin geometry and search, evaluated under unified protocols with compute accounting and significance testing. This is the lens through which our comparative study is positioned.\nIn-memory computing and low-precision inference. In addition to classical digital accelerators and near-term quantum processors, in-memory computing (IMC) is a relevant intermediate hardware paradigm that offers higher-than-classical parallelism while avoiding many of the integration constraints of quantum hardware. A practical IMC trade-off is reduced numerical precision relative to standard digital arithmetic, motivating ablations over weight/training/inference bit-precision (e.g., 8/6/4-bit) and robustness of decision boundaries under quantization. While IMC experiments are outside our current benchmark scope, we include this perspective to contextualize compute-efficient FER deployments and to define a concrete extension of the present compute-accounted framework.\n\n\n### Methods\nFigure 1 summarises our unified mini-pipeline for complex-emotion FER, standardising data flow from face detection/alignment to evaluation. Images are first aligned to reduce pose and illumination variance, then lightly augmented and normalised. A modular encoder stage (ResNet50, VGGFace, EfficientNetV2-S, or ViT-B/16) feeds interchangeable classifiers—either a linear softmax head, a classical margin-based SVM on frozen features, or a quantum-enhanced head (QSVM/QKNN/QCNN). We apply optional probability calibration (temperature/Platt) to improve decision reliability and report macro-averaged metrics with full confusion matrices, alongside throughput/latency to expose compute–accuracy trade-offs. This design makes model swaps and ablations plug-and-play, ensuring apples-to-apples comparisons and reproducibility across all experiments.\nFigure 1Mini-pipeline (overview).\nMini-pipeline (overview).\nThis study investigates a subset of compound expressions from the RAF-DB dataset, comprising 11 classes and 3,954 images. To maintain consistency, we employ a fixed stratified subject split of 80% for training, 10% for validation, and 10% for testing across all models. Faces are detected and aligned using a 5-point method, then central cropped and resized to 224 × 224 pixels. Unless indicated otherwise, the images are in RGB format and normalised to the ImageNet mean and standard deviation ([0.485, 0.456, 0.406] / [0.229, 0.224, 0.225]). The validation and test datasets strictly adhere to the processing steps of Resize(256) → CenterCrop(224) → Normalise, without any augmentation, to provide a reliable estimate of generalisation.\nWe standardise augmentation techniques to achieve a balance between robustness and architectural sensitivity. CNN families, such as EfficientNetV2-S and ResNet50-SVM, benefit from moderate geometric transformations (including flipping, rotation, and affine transformations) and light brightness jitter. Additionally, Mixup and CutMix techniques enhance margin smoothing in scenarios of class imbalance; the Sc-2 variant of EfficientNet reduces regularisation to facilitate faster iterations. The ViT-B/16 model maintains flips and light brightness jitter, but omits rotation, zoom, and shear to prevent token misalignment caused by patch embeddings. Quantum hybrid models (QSVM, QKNN, QCNN) implement minimal, face-preserving transformations to maintain the aligned geometry required by their encoders and kernels, with no label smoothing or sample mixing. For SVM heads, we cautiously allow CutMix and Mixup with ResNet50-SVM and recommend disabling CutMix if margin calibration becomes unstable. Table 1 consolidates all training-time choices, allowing readers to replicate the settings and adjust regularisation strength according to deployment constraints.\nTable 1Train-time augmentation by family.Family/ModelGeometric opsIntensity opsRegularizersNotesEfficientNetV2-SRandomResizedCrop(224, scale = 0.8–1.0, ratio = 3/4–4/3); HorizontalFlip p = 0.5; Rotation ± 15° p = 0.30; Affine(scale ± 0.20, shear ± 0.20) p = 0.30Brightness [0.8, 1.2] p = 0.30; NormaliseLabel smoothing ε = 0.1; Mixup α = 0.2 p = 0.5; CutMix α = 0.2 p = 0.5Time-critical override (Sc-2): Mixup p = 0.30; CutMix offViT-B/16RandomCrop(224); HorizontalFlip p = 0.5Brightness [0.8, 1.2] p = 0.30; NormaliseLabel smoothing ε = 0.1; Mixup α = 0.2 p = 0.5Rotation/zoom/ shear off to avoid patch misalignmentQSVM / QKNN / QCNNRandomResizedCrop(224, scale = 0.9–1.0); HorizontalFlip p = 0.5Brightness [0.9, 1.1] p = 0.20; Normalise(none)—no label smoothing; Mixup/CutMix offLight augments only; preserve aligned facial structureResNet50-SVMRandomResizedCrop(224, scale = 0.8–1.0); HorizontalFlip p = 0.5; Rotation ± 15° p = 0.30; optional Affine p = 0.20Brightness [0.8, 1.2] p = 0.30; NormaliseLabel smoothing ε = 0.1; Mixup α = 0.2 p = 0.5; CutMix α = 0.2 p = 0.30Disable CutMix if the SVM head shows instabilityVGGFace-SVMRandomResizedCrop(224, scale = 0.9–1.0); HorizontalFlip p = 0.5; optional mild rotation ± 5° p = 0.20Brightness [0.9, 1.1] p = 0.20; NormaliseLabel smoothing ε = 0.1Conservative augments to respect identity-biased embeddings\nTrain-time augmentation by family.\nA ResNet50 (ImageNet pretrain) serves as a fixed or lightly fine-tuned backbone. We extract global-pooled features from the penultimate stage (ablation also considers a shallower endpoint to reduce compute). Features are ℓ2-normalized and fed to SVM with kernels {linear, RBF, poly}; C and kernel hyperparameters are tuned on the validation set via grid search. This hybrid probes whether handing off to a margin-based classifier improves the separability of compound classes under constrained training budgets.\nUsing VGGFace (VGG-16), pretrained on large-scale face data, we extract fc7 (4096-D) embeddings, ℓ2-normalise them, and train an SVM as above. This baseline tests whether identity-tuned facial features remain discriminative for affective blends, and where they fail (e.g., disgust/sadness overlaps).\nEfficientNetV2-S represents a contemporary CNN emphasising parameter/FLOPs efficiency via compound scaling of depth \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d$$\\end{document}, width \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w$$\\end{document}, and resolution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r$$\\end{document}:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d = \\alpha^{\\phi } ,w = \\beta^{\\phi } ,r = \\gamma^{\\phi } ,{\\mathrm{s}}{\\mathrm{.t}}{.}\\alpha \\beta^{2} \\gamma^{2} \\approx {\\mathrm{const,}}$$\\end{document}with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\phi$$\\end{document} controlling the overall resource budget. We fine-tune all layers with AdamW, cosine LR decay, and stochastic depth. This model probes the best achievable accuracy under tight computational constraints with modern CNN inductive biases.\nImages \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x \\in { \\mathbb{R}}^{H \\times W \\times C}$$\\end{document} are split into \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N = \\frac{HW}{{P^{2} }}$$\\end{document} non-overlapping patches and linearly projected to tokens. With a learnable class token \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left[ {{\\mathrm{CLS}}} \\right]$$\\end{document} and positional embeddings:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$z_{0} = \\left[ {x_{{{\\mathrm{CLS}}}} ;X_{P} } \\right]E + E_{{{\\mathrm{pos}}}} ,$$\\end{document}the Transformer encoder applies \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$L$$\\end{document} blocks of multi-head self-attention (MSA) and MLP with residuals:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$z_{\\ell }{^\\prime} = {\\mathrm{MSA}}\\left( {{\\mathrm{LN}}\\left( {z_{\\ell - 1} } \\right)} \\right) + z_{\\ell - 1} ,z_{\\ell } = {\\mathrm{MLP}}\\left( {{\\mathrm{LN}}\\left( {z_{\\ell }{^\\prime} } \\right)} \\right) + z_{\\ell }{^\\prime} .$$\\end{document}\nThe final \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left[ {{\\mathrm{CLS}}} \\right]$$\\end{document} state goes to a linear head. ViT tests whether global, long-range modelling improves compound separability, at the cost of higher training compute.\nClassical images are embedded into quantum states (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| x \\right\\rangle$$\\end{document}) and processed by local unitary “quantum convolution” blocks followed by quantum pooling (measurement/partial trace), yielding:4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\psi_{{{\\mathrm{out}}}} } \\right\\rangle = \\left( {\\mathop \\prod \\limits_{{p \\in {\\mathrm{pool}}}} { \\mathcal{M}}_{p} } \\right)\\left( {\\mathop \\prod \\limits_{\\ell = 1}^{L} U_{{{\\mathrm{conv}}}}^{\\left( \\ell \\right)} \\left( {\\theta_{\\ell } } \\right)} \\right)\\left| x \\right\\rangle .$$\\end{document}\nThe resulting reduced statistics (expectation values) are concatenated with classical features (optional) and passed to a shallow head. QCNN probes whether quantum locality + pooling can compress features while preserving discriminative structure, reducing extraction time.\nClassical vectors are amplitude-encoded:5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| x \\right\\rangle = \\frac{1}{\\left\\| x \\right\\|}\\mathop \\sum \\limits_{i} x_{i} \\left| i \\right\\rangle .$$\\end{document}and similarity is estimated via a swap test, giving an inner-product kernel:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k\\left( {x,y} \\right) = \\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x y}} \\right. \\kern-0pt} {y} \\right\\rangle } \\right|^{2} .$$\\end{document}\nNeighbour search is accelerated via quantum subroutines (e.g., Grover-style amplitude amplification), reducing the effective search to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O\\left( {\\sqrt {kM} } \\right)$$\\end{document} for \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k$$\\end{document} neighbors in \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$M$$\\end{document} items. QKNN probes whether combining quantum similarity estimation with sublinear search yields better latency–accuracy trade-offs than classical KNN/SVM methods.\nQSVM uses a quantum feature map \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$U_{\\phi } \\left( x \\right)$$\\end{document} to embed data into a high-dimensional Hilbert space; the kernel is evaluated as:7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k\\left( {x,x^{\\prime } } \\right) = \\left\\langle 0 \\right|U_{\\phi }^{\\dag } \\left( x \\right)U_{\\phi } \\left( {x^{\\prime } } \\right)\\left| 0 \\right\\rangle .$$\\end{document}\nA classical SVM then solves \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document}-weights with this kernel; the decision function is:8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f\\left( x \\right) = {\\mathrm{sign}}\\left( {\\mathop \\sum \\limits_{i} \\alpha_{i} y_{i} k\\left( {x,x_{i} } \\right) + b} \\right).$$\\end{document}\nQSVM tests whether quantum kernels sharpen margins for overlapping compound classes at lower feature-extraction cost than full deep nets.\nImplementation notes (shared). All deep models use mixed-precision training when available; backbones are initialised from standard pretraining (ImageNet/face). Hyperparameters (LR, batch size, epochs) are tuned within a modest budget shared across models to preserve fairness.\n9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K\\left( {x,x^{\\prime } } \\right) = \\left| {\\left\\langle 0 \\right|} \\right|U_{\\phi }^{\\dag } \\left( x \\right)U_{\\phi } \\left( {x^{\\prime } } \\right)\\left| {\\left| 0 \\right\\rangle } \\right|^{2} ,$$\\end{document}\nCompound classes differ primarily by subtle AU co-activations (e.g., wide-eye + brow tension vs. similar patterns with small mouth changes), yielding non-linearly separable manifolds in pixel/feature space. A quantum feature map \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$U_{\\phi } \\left( x \\right)$$\\end{document} embeds an image-derived feature vector \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x$$\\end{document} into a high-dimensional Hilbert space, with kernel which can realise data-dependent, highly non-polynomial similarities. Intuitively, phase-coupled encodings and entangling layers act like multiplicative feature interactions, amplifying small AU differences (e.g., orbicularis oculi vs. frontalis) while attenuating shared baselines, thereby widening the margins between confusable pairs (e.g., fear–surprise; sadness–disgust). In QSVM, the decision function is:10\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f\\left( x \\right) = \\mathop \\sum \\limits_{i} \\alpha_{i} y_{i} K\\left( {x_{i} ,x} \\right) + b.$$\\end{document}\nInherits this geometry; for QKNN and QCNN, swap-test similarities and entangling convolutions serve analogous roles. This explains why QSVM outperforms classical hybrids at moderate FX, and why fear–surprise remains difficult (shared high-arousal eye cues require encodings emphasising upper-lid/brow dynamics).\nFigure 2 consolidates the three quantum hybrids used in this study. (A) QSVM implements a feature-map circuit with data reuploading and pairwise entanglers; the classifier never measures class logits directly but computes a quantum kernel via state overlaps (a Gram matrix), which is then passed to a classical SVM solver. (B) QKNN adopts the swap-test similarity: an ancilla-controlled swap estimates \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x {x^{\\prime } }}} \\right. \\kern-0pt} {{x^{\\prime } }} \\right\\rangle } \\right|^{2}$$\\end{document} between encoded samples, enabling k-nearest neighbour search in a quantum-encoded space. (C) QCNN uses a lightweight encoder—AmplitudeEmbedding → RX(π/3) on each wire → linear CNOT chain—and returns ⟨Z⟩ readouts as a compact feature vector for a classical head. Panels (A)–(B) follow canonical templates; panel (C) mirrors our training code exactly, ensuring methodological fidelity.\nFigure 2Quantum-hybrid circuit layouts. (a) QSVM feature-map circuit: data reuploading with pairwise entanglers; classification via quantum kernel (state overlaps). (b) QKNN swap-test similarity: ancilla-controlled swaps to estimate \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x {x^{\\prime } }}} \\right. \\kern-0pt} {{x^{\\prime } }} \\right\\rangle } \\right|^{2}$$\\end{document} for k-NN retrieval. (c) QCNN encoder used in this study: AmplitudeEmbedding (AE) → RX(π/3) per qubit → linear CNOT chain; ⟨Z⟩ readouts are concatenated and fed to a classical head. Panels (a,b) follow canonical designs; panel (c) reproduces our training code exactly.\nQuantum-hybrid circuit layouts. (a) QSVM feature-map circuit: data reuploading with pairwise entanglers; classification via quantum kernel (state overlaps). (b) QKNN swap-test similarity: ancilla-controlled swaps to estimate \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x {x^{\\prime } }}} \\right. \\kern-0pt} {{x^{\\prime } }} \\right\\rangle } \\right|^{2}$$\\end{document} for k-NN retrieval. (c) QCNN encoder used in this study: AmplitudeEmbedding (AE) → RX(π/3) per qubit → linear CNOT chain; ⟨Z⟩ readouts are concatenated and fed to a classical head. Panels (a,b) follow canonical designs; panel (c) reproduces our training code exactly.\nWe selected QSVM to probe whether quantum feature maps enlarge margins for compound classes (fear–surprise; sadness–disgust/anger) with moderate head cost. QKNN targets latency: swap-test similarities allow a simple retrieval-based decision rule once features are encoded, matching edge scenarios where feature extraction dominates. QCNN prioritises throughput: a single local rotation layer, combined with a linear entanglement pattern, minimises circuit depth and error while preserving mid-scale interactions captured by the CNOT chain. In all cases, encoding is the main capacity knob; we keep depths shallow (reps≈1) to stay within near-term noise and our compute budget.\nTable 2 lists the exact quantum settings used across hybrids: the embedding type and qubit count, feature-map/encoder depth, entanglement topology, and readout/pooling strategy. For QCNN, we employ AmplitudeEmbedding on 8 qubits, one local RX(π/3) layer, a linear 0 → 1 → … → 7 CNOT chain, and ⟨Z⟩ readouts on all wires (concatenated; no pooling). QKNN uses AngleEmbedding on data wires (as in the notebook), a single reupload layer, linear entanglement, and ⟨Z⟩ features concatenated before classical kNN. QSVM uses an AmplitudeEmbedding feature map with reps = 1 (equivalently, a single ZZ/Pauli-type layer), linear ZZ entanglement, and kernel overlaps as outputs (no pooling). These choices keep the feature-extraction wall-clock small and make comparisons with CNN/ViT heads fair under our unified protocol.\nTable 2Quantum-hybrid hyperparameters (encoding, depth, entanglement, readout/pooling).ModelEncoding (type; #qubits)Feature-map / encoder depthEntanglement patternReadout & poolingQCNN (Hybrid)AmplitudeEmbedding (normalised input), 8 qubits1 local layer: RX(π/3) per qubitLinear CNOT chain (0 → 1 → … → 7)⟨Z⟩ on all 8 wires; concatenate (no pooling)QKNN (Hybrid)AngleEmbedding (per-feature rotations) on data wires≈1 layer (data reupload)Linear⟨Z⟩ features per wire; concatenate → classical kNNQSVM (Hybrid)AmplitudeEmbedding feature mapreps = 1 (single ZZ/Pauli-type layer)Linear ZZKernel overlaps (Gram matrix); no pooling\nQuantum-hybrid hyperparameters (encoding, depth, entanglement, readout/pooling).\nWe report top-1 accuracy, macro-F1 (treating classes equally), and weighted-F1 (support-weighted). We include per-class precision/recall and confusion matrices to interrogate error structure among compound pairs (e.g., fear–surprise, sadness–disgust).\nWe assess paired differences and uncertainty under a fixed test split. Paired McNemar tests (two-sided, exact binomial) are run on per-sample correctness for each model pair; we control family-wise error using Holm-Bonferroni over all pairs reported. For point estimates, we compute BCa 95% bootstrap CIs (resampling test images with replacement) for Top-1 and Macro-F1. Between-model effect size on correctness uses Cliff’s delta (0 = tie; ± 1 = stochastic dominance). We require per-sample predictions in either long format (image_id, true_label, pred_label, model_name) or paired format (image_id, true_label, m1_name, m1_pred, [m1_conf], m2_name, m2_pred, [m2_conf]), which we auto-convert. When some runs use different label spaces (e.g., 9-class vs 11-class), we report each model’s native class count explicitly and interpret results within that stated setting; harmonised label-space evaluation is reserved for future work.\nTo align with the paper’s focus on efficiency, we report (i) feature-extraction wall-clock time, (ii) training wall-clock (fine-tuning or head training), and (iii) per-sample inference/ classification time. All models run on the same hardware profile; batch size and precision are documented. Efficiency is analysed as accuracy (or macro-F1) per second of extraction/inference to expose true cost–benefit trade-offs.\nBecause quantum pipelines are evaluated with simulators while classical models run on local hardware, simulator wall-clock time may under-represent real quantum execution costs (state preparation, circuit compilation, shot counts, queueing latency, and noise/mitigation overheads). To contextualize this gap, we provide a hardware-normalized cost instantiation as a representative example for a kernel-based hybrid: HQKNN. The proxy combines (i) the number of circuit evaluations required to build kernel blocks and (ii) transpiled circuit resources (qubits and 1Q/2Q gate counts) expressed in a provider-compatible basis. Under our split protocol, kernel construction scales approximately as N_train(N_train + 1)/2 + (N_val + N_test)N_train evaluations (exploiting symmetry), which becomes O(N_train^2) at dataset scale. For the HQKNN configuration used here (8-qubit ZZ feature map, reps = 2, linear entanglement), the workload implied by our two-stage split is 1,285,209 circuit evaluations (603,351 train-symmetric + 304,146 validation + 377,712 test). With a shot budget of 1024 per evaluation, this corresponds to 1,316,054,016 shots (about 1.32 × 10^9) before any repeats for error mitigation. After transpilation to a universal basis (rz, sx, x, cx), the circuit comprises 78 single-qubit gates and 28 two-qubit gates per evaluation (depth 35), with the detailed breakdown rz = 62, sx = 16, cx = 28. These quantities can be entered into provider estimators (e.g., IonQ Resource Estimator) to obtain hardware-normalized execution costs. At this workload scale, full-dataset kernel evaluation on current QPUs is economically and operationally impractical; accordingly, the benchmark uses simulators for reproducibility and feasibility, while hardware runs are most appropriately framed as feasibility demonstrations via prototype/Nystrom kernel approximations, reduced-shot studies, and small-scale subsets. Appendix A.3 reports the provider-ready inputs for this HQKNN instantiation. Analogous cost instantiations for other quantum hybrids are not included in the present benchmark and are a natural extension of this cost-accounting protocol.\n\n\n### Data and preprocessing\nThis study investigates a subset of compound expressions from the RAF-DB dataset, comprising 11 classes and 3,954 images. To maintain consistency, we employ a fixed stratified subject split of 80% for training, 10% for validation, and 10% for testing across all models. Faces are detected and aligned using a 5-point method, then central cropped and resized to 224 × 224 pixels. Unless indicated otherwise, the images are in RGB format and normalised to the ImageNet mean and standard deviation ([0.485, 0.456, 0.406] / [0.229, 0.224, 0.225]). The validation and test datasets strictly adhere to the processing steps of Resize(256) → CenterCrop(224) → Normalise, without any augmentation, to provide a reliable estimate of generalisation.\nWe standardise augmentation techniques to achieve a balance between robustness and architectural sensitivity. CNN families, such as EfficientNetV2-S and ResNet50-SVM, benefit from moderate geometric transformations (including flipping, rotation, and affine transformations) and light brightness jitter. Additionally, Mixup and CutMix techniques enhance margin smoothing in scenarios of class imbalance; the Sc-2 variant of EfficientNet reduces regularisation to facilitate faster iterations. The ViT-B/16 model maintains flips and light brightness jitter, but omits rotation, zoom, and shear to prevent token misalignment caused by patch embeddings. Quantum hybrid models (QSVM, QKNN, QCNN) implement minimal, face-preserving transformations to maintain the aligned geometry required by their encoders and kernels, with no label smoothing or sample mixing. For SVM heads, we cautiously allow CutMix and Mixup with ResNet50-SVM and recommend disabling CutMix if margin calibration becomes unstable. Table 1 consolidates all training-time choices, allowing readers to replicate the settings and adjust regularisation strength according to deployment constraints.\nTable 1Train-time augmentation by family.Family/ModelGeometric opsIntensity opsRegularizersNotesEfficientNetV2-SRandomResizedCrop(224, scale = 0.8–1.0, ratio = 3/4–4/3); HorizontalFlip p = 0.5; Rotation ± 15° p = 0.30; Affine(scale ± 0.20, shear ± 0.20) p = 0.30Brightness [0.8, 1.2] p = 0.30; NormaliseLabel smoothing ε = 0.1; Mixup α = 0.2 p = 0.5; CutMix α = 0.2 p = 0.5Time-critical override (Sc-2): Mixup p = 0.30; CutMix offViT-B/16RandomCrop(224); HorizontalFlip p = 0.5Brightness [0.8, 1.2] p = 0.30; NormaliseLabel smoothing ε = 0.1; Mixup α = 0.2 p = 0.5Rotation/zoom/ shear off to avoid patch misalignmentQSVM / QKNN / QCNNRandomResizedCrop(224, scale = 0.9–1.0); HorizontalFlip p = 0.5Brightness [0.9, 1.1] p = 0.20; Normalise(none)—no label smoothing; Mixup/CutMix offLight augments only; preserve aligned facial structureResNet50-SVMRandomResizedCrop(224, scale = 0.8–1.0); HorizontalFlip p = 0.5; Rotation ± 15° p = 0.30; optional Affine p = 0.20Brightness [0.8, 1.2] p = 0.30; NormaliseLabel smoothing ε = 0.1; Mixup α = 0.2 p = 0.5; CutMix α = 0.2 p = 0.30Disable CutMix if the SVM head shows instabilityVGGFace-SVMRandomResizedCrop(224, scale = 0.9–1.0); HorizontalFlip p = 0.5; optional mild rotation ± 5° p = 0.20Brightness [0.9, 1.1] p = 0.20; NormaliseLabel smoothing ε = 0.1Conservative augments to respect identity-biased embeddings\nTrain-time augmentation by family.\n\n\n### Models\nA ResNet50 (ImageNet pretrain) serves as a fixed or lightly fine-tuned backbone. We extract global-pooled features from the penultimate stage (ablation also considers a shallower endpoint to reduce compute). Features are ℓ2-normalized and fed to SVM with kernels {linear, RBF, poly}; C and kernel hyperparameters are tuned on the validation set via grid search. This hybrid probes whether handing off to a margin-based classifier improves the separability of compound classes under constrained training budgets.\nUsing VGGFace (VGG-16), pretrained on large-scale face data, we extract fc7 (4096-D) embeddings, ℓ2-normalise them, and train an SVM as above. This baseline tests whether identity-tuned facial features remain discriminative for affective blends, and where they fail (e.g., disgust/sadness overlaps).\nEfficientNetV2-S represents a contemporary CNN emphasising parameter/FLOPs efficiency via compound scaling of depth \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d$$\\end{document}, width \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w$$\\end{document}, and resolution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r$$\\end{document}:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d = \\alpha^{\\phi } ,w = \\beta^{\\phi } ,r = \\gamma^{\\phi } ,{\\mathrm{s}}{\\mathrm{.t}}{.}\\alpha \\beta^{2} \\gamma^{2} \\approx {\\mathrm{const,}}$$\\end{document}with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\phi$$\\end{document} controlling the overall resource budget. We fine-tune all layers with AdamW, cosine LR decay, and stochastic depth. This model probes the best achievable accuracy under tight computational constraints with modern CNN inductive biases.\nImages \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x \\in { \\mathbb{R}}^{H \\times W \\times C}$$\\end{document} are split into \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N = \\frac{HW}{{P^{2} }}$$\\end{document} non-overlapping patches and linearly projected to tokens. With a learnable class token \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left[ {{\\mathrm{CLS}}} \\right]$$\\end{document} and positional embeddings:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$z_{0} = \\left[ {x_{{{\\mathrm{CLS}}}} ;X_{P} } \\right]E + E_{{{\\mathrm{pos}}}} ,$$\\end{document}the Transformer encoder applies \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$L$$\\end{document} blocks of multi-head self-attention (MSA) and MLP with residuals:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$z_{\\ell }{^\\prime} = {\\mathrm{MSA}}\\left( {{\\mathrm{LN}}\\left( {z_{\\ell - 1} } \\right)} \\right) + z_{\\ell - 1} ,z_{\\ell } = {\\mathrm{MLP}}\\left( {{\\mathrm{LN}}\\left( {z_{\\ell }{^\\prime} } \\right)} \\right) + z_{\\ell }{^\\prime} .$$\\end{document}\nThe final \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left[ {{\\mathrm{CLS}}} \\right]$$\\end{document} state goes to a linear head. ViT tests whether global, long-range modelling improves compound separability, at the cost of higher training compute.\nClassical images are embedded into quantum states (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| x \\right\\rangle$$\\end{document}) and processed by local unitary “quantum convolution” blocks followed by quantum pooling (measurement/partial trace), yielding:4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\psi_{{{\\mathrm{out}}}} } \\right\\rangle = \\left( {\\mathop \\prod \\limits_{{p \\in {\\mathrm{pool}}}} { \\mathcal{M}}_{p} } \\right)\\left( {\\mathop \\prod \\limits_{\\ell = 1}^{L} U_{{{\\mathrm{conv}}}}^{\\left( \\ell \\right)} \\left( {\\theta_{\\ell } } \\right)} \\right)\\left| x \\right\\rangle .$$\\end{document}\nThe resulting reduced statistics (expectation values) are concatenated with classical features (optional) and passed to a shallow head. QCNN probes whether quantum locality + pooling can compress features while preserving discriminative structure, reducing extraction time.\nClassical vectors are amplitude-encoded:5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| x \\right\\rangle = \\frac{1}{\\left\\| x \\right\\|}\\mathop \\sum \\limits_{i} x_{i} \\left| i \\right\\rangle .$$\\end{document}and similarity is estimated via a swap test, giving an inner-product kernel:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k\\left( {x,y} \\right) = \\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x y}} \\right. \\kern-0pt} {y} \\right\\rangle } \\right|^{2} .$$\\end{document}\nNeighbour search is accelerated via quantum subroutines (e.g., Grover-style amplitude amplification), reducing the effective search to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O\\left( {\\sqrt {kM} } \\right)$$\\end{document} for \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k$$\\end{document} neighbors in \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$M$$\\end{document} items. QKNN probes whether combining quantum similarity estimation with sublinear search yields better latency–accuracy trade-offs than classical KNN/SVM methods.\nQSVM uses a quantum feature map \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$U_{\\phi } \\left( x \\right)$$\\end{document} to embed data into a high-dimensional Hilbert space; the kernel is evaluated as:7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k\\left( {x,x^{\\prime } } \\right) = \\left\\langle 0 \\right|U_{\\phi }^{\\dag } \\left( x \\right)U_{\\phi } \\left( {x^{\\prime } } \\right)\\left| 0 \\right\\rangle .$$\\end{document}\nA classical SVM then solves \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document}-weights with this kernel; the decision function is:8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f\\left( x \\right) = {\\mathrm{sign}}\\left( {\\mathop \\sum \\limits_{i} \\alpha_{i} y_{i} k\\left( {x,x_{i} } \\right) + b} \\right).$$\\end{document}\nQSVM tests whether quantum kernels sharpen margins for overlapping compound classes at lower feature-extraction cost than full deep nets.\nImplementation notes (shared). All deep models use mixed-precision training when available; backbones are initialised from standard pretraining (ImageNet/face). Hyperparameters (LR, batch size, epochs) are tuned within a modest budget shared across models to preserve fairness.\n\n\n### ResNet50–SVM (classical hybrid)\nA ResNet50 (ImageNet pretrain) serves as a fixed or lightly fine-tuned backbone. We extract global-pooled features from the penultimate stage (ablation also considers a shallower endpoint to reduce compute). Features are ℓ2-normalized and fed to SVM with kernels {linear, RBF, poly}; C and kernel hyperparameters are tuned on the validation set via grid search. This hybrid probes whether handing off to a margin-based classifier improves the separability of compound classes under constrained training budgets.\n\n\n### VGGFace–SVM (classical hybrid)\nUsing VGGFace (VGG-16), pretrained on large-scale face data, we extract fc7 (4096-D) embeddings, ℓ2-normalise them, and train an SVM as above. This baseline tests whether identity-tuned facial features remain discriminative for affective blends, and where they fail (e.g., disgust/sadness overlaps).\n\n\n### EfficientNetV2-S (modern CNN)\nEfficientNetV2-S represents a contemporary CNN emphasising parameter/FLOPs efficiency via compound scaling of depth \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d$$\\end{document}, width \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w$$\\end{document}, and resolution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r$$\\end{document}:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d = \\alpha^{\\phi } ,w = \\beta^{\\phi } ,r = \\gamma^{\\phi } ,{\\mathrm{s}}{\\mathrm{.t}}{.}\\alpha \\beta^{2} \\gamma^{2} \\approx {\\mathrm{const,}}$$\\end{document}with \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\phi$$\\end{document} controlling the overall resource budget. We fine-tune all layers with AdamW, cosine LR decay, and stochastic depth. This model probes the best achievable accuracy under tight computational constraints with modern CNN inductive biases.\n\n\n### Vision transformer (ViT)\nImages \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x \\in { \\mathbb{R}}^{H \\times W \\times C}$$\\end{document} are split into \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N = \\frac{HW}{{P^{2} }}$$\\end{document} non-overlapping patches and linearly projected to tokens. With a learnable class token \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left[ {{\\mathrm{CLS}}} \\right]$$\\end{document} and positional embeddings:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$z_{0} = \\left[ {x_{{{\\mathrm{CLS}}}} ;X_{P} } \\right]E + E_{{{\\mathrm{pos}}}} ,$$\\end{document}the Transformer encoder applies \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$L$$\\end{document} blocks of multi-head self-attention (MSA) and MLP with residuals:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$z_{\\ell }{^\\prime} = {\\mathrm{MSA}}\\left( {{\\mathrm{LN}}\\left( {z_{\\ell - 1} } \\right)} \\right) + z_{\\ell - 1} ,z_{\\ell } = {\\mathrm{MLP}}\\left( {{\\mathrm{LN}}\\left( {z_{\\ell }{^\\prime} } \\right)} \\right) + z_{\\ell }{^\\prime} .$$\\end{document}\nThe final \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left[ {{\\mathrm{CLS}}} \\right]$$\\end{document} state goes to a linear head. ViT tests whether global, long-range modelling improves compound separability, at the cost of higher training compute.\n\n\n### Hybrid quantum CNN (QCNN)\nClassical images are embedded into quantum states (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| x \\right\\rangle$$\\end{document}) and processed by local unitary “quantum convolution” blocks followed by quantum pooling (measurement/partial trace), yielding:4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\psi_{{{\\mathrm{out}}}} } \\right\\rangle = \\left( {\\mathop \\prod \\limits_{{p \\in {\\mathrm{pool}}}} { \\mathcal{M}}_{p} } \\right)\\left( {\\mathop \\prod \\limits_{\\ell = 1}^{L} U_{{{\\mathrm{conv}}}}^{\\left( \\ell \\right)} \\left( {\\theta_{\\ell } } \\right)} \\right)\\left| x \\right\\rangle .$$\\end{document}\nThe resulting reduced statistics (expectation values) are concatenated with classical features (optional) and passed to a shallow head. QCNN probes whether quantum locality + pooling can compress features while preserving discriminative structure, reducing extraction time.\n\n\n### Hybrid quantum K-nearest neighbour (QKNN)\nClassical vectors are amplitude-encoded:5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| x \\right\\rangle = \\frac{1}{\\left\\| x \\right\\|}\\mathop \\sum \\limits_{i} x_{i} \\left| i \\right\\rangle .$$\\end{document}and similarity is estimated via a swap test, giving an inner-product kernel:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k\\left( {x,y} \\right) = \\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x y}} \\right. \\kern-0pt} {y} \\right\\rangle } \\right|^{2} .$$\\end{document}\nNeighbour search is accelerated via quantum subroutines (e.g., Grover-style amplitude amplification), reducing the effective search to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O\\left( {\\sqrt {kM} } \\right)$$\\end{document} for \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k$$\\end{document} neighbors in \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$M$$\\end{document} items. QKNN probes whether combining quantum similarity estimation with sublinear search yields better latency–accuracy trade-offs than classical KNN/SVM methods.\n\n\n### Hybrid quantum SVM (QSVM)\nQSVM uses a quantum feature map \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$U_{\\phi } \\left( x \\right)$$\\end{document} to embed data into a high-dimensional Hilbert space; the kernel is evaluated as:7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k\\left( {x,x^{\\prime } } \\right) = \\left\\langle 0 \\right|U_{\\phi }^{\\dag } \\left( x \\right)U_{\\phi } \\left( {x^{\\prime } } \\right)\\left| 0 \\right\\rangle .$$\\end{document}\nA classical SVM then solves \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document}-weights with this kernel; the decision function is:8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f\\left( x \\right) = {\\mathrm{sign}}\\left( {\\mathop \\sum \\limits_{i} \\alpha_{i} y_{i} k\\left( {x,x_{i} } \\right) + b} \\right).$$\\end{document}\nQSVM tests whether quantum kernels sharpen margins for overlapping compound classes at lower feature-extraction cost than full deep nets.\nImplementation notes (shared). All deep models use mixed-precision training when available; backbones are initialised from standard pretraining (ImageNet/face). Hyperparameters (LR, batch size, epochs) are tuned within a modest budget shared across models to preserve fairness.\n\n\n### Quantum feature maps and compound margins\n9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K\\left( {x,x^{\\prime } } \\right) = \\left| {\\left\\langle 0 \\right|} \\right|U_{\\phi }^{\\dag } \\left( x \\right)U_{\\phi } \\left( {x^{\\prime } } \\right)\\left| {\\left| 0 \\right\\rangle } \\right|^{2} ,$$\\end{document}\nCompound classes differ primarily by subtle AU co-activations (e.g., wide-eye + brow tension vs. similar patterns with small mouth changes), yielding non-linearly separable manifolds in pixel/feature space. A quantum feature map \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$U_{\\phi } \\left( x \\right)$$\\end{document} embeds an image-derived feature vector \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x$$\\end{document} into a high-dimensional Hilbert space, with kernel which can realise data-dependent, highly non-polynomial similarities. Intuitively, phase-coupled encodings and entangling layers act like multiplicative feature interactions, amplifying small AU differences (e.g., orbicularis oculi vs. frontalis) while attenuating shared baselines, thereby widening the margins between confusable pairs (e.g., fear–surprise; sadness–disgust). In QSVM, the decision function is:10\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f\\left( x \\right) = \\mathop \\sum \\limits_{i} \\alpha_{i} y_{i} K\\left( {x_{i} ,x} \\right) + b.$$\\end{document}\nInherits this geometry; for QKNN and QCNN, swap-test similarities and entangling convolutions serve analogous roles. This explains why QSVM outperforms classical hybrids at moderate FX, and why fear–surprise remains difficult (shared high-arousal eye cues require encodings emphasising upper-lid/brow dynamics).\n\n\n### Quantum–hybrid architectures and hyperparameters\nFigure 2 consolidates the three quantum hybrids used in this study. (A) QSVM implements a feature-map circuit with data reuploading and pairwise entanglers; the classifier never measures class logits directly but computes a quantum kernel via state overlaps (a Gram matrix), which is then passed to a classical SVM solver. (B) QKNN adopts the swap-test similarity: an ancilla-controlled swap estimates \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x {x^{\\prime } }}} \\right. \\kern-0pt} {{x^{\\prime } }} \\right\\rangle } \\right|^{2}$$\\end{document} between encoded samples, enabling k-nearest neighbour search in a quantum-encoded space. (C) QCNN uses a lightweight encoder—AmplitudeEmbedding → RX(π/3) on each wire → linear CNOT chain—and returns ⟨Z⟩ readouts as a compact feature vector for a classical head. Panels (A)–(B) follow canonical templates; panel (C) mirrors our training code exactly, ensuring methodological fidelity.\nFigure 2Quantum-hybrid circuit layouts. (a) QSVM feature-map circuit: data reuploading with pairwise entanglers; classification via quantum kernel (state overlaps). (b) QKNN swap-test similarity: ancilla-controlled swaps to estimate \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x {x^{\\prime } }}} \\right. \\kern-0pt} {{x^{\\prime } }} \\right\\rangle } \\right|^{2}$$\\end{document} for k-NN retrieval. (c) QCNN encoder used in this study: AmplitudeEmbedding (AE) → RX(π/3) per qubit → linear CNOT chain; ⟨Z⟩ readouts are concatenated and fed to a classical head. Panels (a,b) follow canonical designs; panel (c) reproduces our training code exactly.\nQuantum-hybrid circuit layouts. (a) QSVM feature-map circuit: data reuploading with pairwise entanglers; classification via quantum kernel (state overlaps). (b) QKNN swap-test similarity: ancilla-controlled swaps to estimate \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\left| {\\left\\langle {x} \\mathrel{\\left | {\\vphantom {x {x^{\\prime } }}} \\right. \\kern-0pt} {{x^{\\prime } }} \\right\\rangle } \\right|^{2}$$\\end{document} for k-NN retrieval. (c) QCNN encoder used in this study: AmplitudeEmbedding (AE) → RX(π/3) per qubit → linear CNOT chain; ⟨Z⟩ readouts are concatenated and fed to a classical head. Panels (a,b) follow canonical designs; panel (c) reproduces our training code exactly.\nWe selected QSVM to probe whether quantum feature maps enlarge margins for compound classes (fear–surprise; sadness–disgust/anger) with moderate head cost. QKNN targets latency: swap-test similarities allow a simple retrieval-based decision rule once features are encoded, matching edge scenarios where feature extraction dominates. QCNN prioritises throughput: a single local rotation layer, combined with a linear entanglement pattern, minimises circuit depth and error while preserving mid-scale interactions captured by the CNOT chain. In all cases, encoding is the main capacity knob; we keep depths shallow (reps≈1) to stay within near-term noise and our compute budget.\nTable 2 lists the exact quantum settings used across hybrids: the embedding type and qubit count, feature-map/encoder depth, entanglement topology, and readout/pooling strategy. For QCNN, we employ AmplitudeEmbedding on 8 qubits, one local RX(π/3) layer, a linear 0 → 1 → … → 7 CNOT chain, and ⟨Z⟩ readouts on all wires (concatenated; no pooling). QKNN uses AngleEmbedding on data wires (as in the notebook), a single reupload layer, linear entanglement, and ⟨Z⟩ features concatenated before classical kNN. QSVM uses an AmplitudeEmbedding feature map with reps = 1 (equivalently, a single ZZ/Pauli-type layer), linear ZZ entanglement, and kernel overlaps as outputs (no pooling). These choices keep the feature-extraction wall-clock small and make comparisons with CNN/ViT heads fair under our unified protocol.\nTable 2Quantum-hybrid hyperparameters (encoding, depth, entanglement, readout/pooling).ModelEncoding (type; #qubits)Feature-map / encoder depthEntanglement patternReadout & poolingQCNN (Hybrid)AmplitudeEmbedding (normalised input), 8 qubits1 local layer: RX(π/3) per qubitLinear CNOT chain (0 → 1 → … → 7)⟨Z⟩ on all 8 wires; concatenate (no pooling)QKNN (Hybrid)AngleEmbedding (per-feature rotations) on data wires≈1 layer (data reupload)Linear⟨Z⟩ features per wire; concatenate → classical kNNQSVM (Hybrid)AmplitudeEmbedding feature mapreps = 1 (single ZZ/Pauli-type layer)Linear ZZKernel overlaps (Gram matrix); no pooling\nQuantum-hybrid hyperparameters (encoding, depth, entanglement, readout/pooling).\n\n\n### Metrics, statistics, and compute accounting\nWe report top-1 accuracy, macro-F1 (treating classes equally), and weighted-F1 (support-weighted). We include per-class precision/recall and confusion matrices to interrogate error structure among compound pairs (e.g., fear–surprise, sadness–disgust).\nWe assess paired differences and uncertainty under a fixed test split. Paired McNemar tests (two-sided, exact binomial) are run on per-sample correctness for each model pair; we control family-wise error using Holm-Bonferroni over all pairs reported. For point estimates, we compute BCa 95% bootstrap CIs (resampling test images with replacement) for Top-1 and Macro-F1. Between-model effect size on correctness uses Cliff’s delta (0 = tie; ± 1 = stochastic dominance). We require per-sample predictions in either long format (image_id, true_label, pred_label, model_name) or paired format (image_id, true_label, m1_name, m1_pred, [m1_conf], m2_name, m2_pred, [m2_conf]), which we auto-convert. When some runs use different label spaces (e.g., 9-class vs 11-class), we report each model’s native class count explicitly and interpret results within that stated setting; harmonised label-space evaluation is reserved for future work.\nTo align with the paper’s focus on efficiency, we report (i) feature-extraction wall-clock time, (ii) training wall-clock (fine-tuning or head training), and (iii) per-sample inference/ classification time. All models run on the same hardware profile; batch size and precision are documented. Efficiency is analysed as accuracy (or macro-F1) per second of extraction/inference to expose true cost–benefit trade-offs.\n\n\n### Simulator-to-hardware mapping for quantum hybrids\nBecause quantum pipelines are evaluated with simulators while classical models run on local hardware, simulator wall-clock time may under-represent real quantum execution costs (state preparation, circuit compilation, shot counts, queueing latency, and noise/mitigation overheads). To contextualize this gap, we provide a hardware-normalized cost instantiation as a representative example for a kernel-based hybrid: HQKNN. The proxy combines (i) the number of circuit evaluations required to build kernel blocks and (ii) transpiled circuit resources (qubits and 1Q/2Q gate counts) expressed in a provider-compatible basis. Under our split protocol, kernel construction scales approximately as N_train(N_train + 1)/2 + (N_val + N_test)N_train evaluations (exploiting symmetry), which becomes O(N_train^2) at dataset scale. For the HQKNN configuration used here (8-qubit ZZ feature map, reps = 2, linear entanglement), the workload implied by our two-stage split is 1,285,209 circuit evaluations (603,351 train-symmetric + 304,146 validation + 377,712 test). With a shot budget of 1024 per evaluation, this corresponds to 1,316,054,016 shots (about 1.32 × 10^9) before any repeats for error mitigation. After transpilation to a universal basis (rz, sx, x, cx), the circuit comprises 78 single-qubit gates and 28 two-qubit gates per evaluation (depth 35), with the detailed breakdown rz = 62, sx = 16, cx = 28. These quantities can be entered into provider estimators (e.g., IonQ Resource Estimator) to obtain hardware-normalized execution costs. At this workload scale, full-dataset kernel evaluation on current QPUs is economically and operationally impractical; accordingly, the benchmark uses simulators for reproducibility and feasibility, while hardware runs are most appropriately framed as feasibility demonstrations via prototype/Nystrom kernel approximations, reduced-shot studies, and small-scale subsets. Appendix A.3 reports the provider-ready inputs for this HQKNN instantiation. Analogous cost instantiations for other quantum hybrids are not included in the present benchmark and are a natural extension of this cost-accounting protocol.\n\n\n### Results\nUnder the unified RAF-DB protocol, which involves identical splits, preprocessing, and evaluation, Table 3 presents the optimal settings for each model along with their computational costs. Meanwhile, Fig. 3 illustrates the relationship between accuracy and feature-extraction (FX) time, highlighting the performance frontier. ViT-B/16 stands out in the accuracy corner with an impressive 63.13% accuracy and an FX time of approximately 32.84 s. EfficientNetV2-S serves as the strongest CNN baseline, achieving 60.9% accuracy but with a significantly higher extraction cost of around 2056.92 s. Among the quantum hybrid models, QSVM offers the best accuracy-to-compute ratio at 54.97% with an FX time of about 61.6 s, whereas QKNN minimises extraction time at 36.02% with approximately 24.47 s, making it suitable for strict latency requirements. QCNN, while being the most FX-efficient with an extraction time of roughly 11.91 s, has limited accuracy at 35.69%. Classical hybrid models provide useful benchmarks: ResNet50-SVM (Conv4_block6) achieves 43.09% accuracy at 644 s (about a 9 percentage point improvement compared to Conv5_block3, which has roughly 9% lower FX), and VGGFace-SVM records 41% accuracy at 1264 s. Collectively, the data in the table and the corresponding scatter plot reveal two distinct operational paradigms: accuracy-focused (ViT, EfficientNetV2-S) and compute-efficient (QSVM, QKNN), with classical hybrids situated in between.\nTable 3Summary of best results across models.ModelBest Accuracy (%)FX time (s)Training time (s)Cls time (s)NotesResNet50-SVM (Conv4_block6)43.0964415 < 1.00** s**Best trade-off vs full ResNet50 (↑9% acc, ↓9.2% FX vs Conv5_block3); grid in the following subsectionVGGFace-SVM411264150 < 1.00** s**Full confusion matrix & per-class metrics the following subsection.; overall accuracy reported thereEfficientNetV2-S60.92056.9241.022.65Scenario 5 (30 ep, bs = 32, lr = 1e-3)ViT (B/16)63.1332.84126.275.1250 ep, bs = 32, lr = 1e-5; times vary across configs; details in the following subsectionQCNN (Hybrid)35.6911.9116.7 < 1.00** s**Peak at 100 ep, lr = 1e-4, bs = 64; full grid in the following subsectionQKNN (Hybrid)36.0224.47– < 1.00** s**Best at k = 9, Euclidean, distance weight; stability across k shown in the following subsectionQSVM (Hybrid)54.9761.58 (quantum) / 56.28 (HOG)32.056.16RBF, C = 10; polynomial/sigmoid trails; kernel study in the following subsection*FX feature extraction, Cls classification.\nSummary of best results across models.\n*FX feature extraction, Cls classification.\nFigure 3Pareto scatter (best setting per model): accuracy vs feature-extraction time.\nPareto scatter (best setting per model): accuracy vs feature-extraction time.\nConfusion analyses consistently show two families of failure: fear–surprise and sadness–disgust. Figure 4 decomposes class-wise mistakes into within-family, cross-family, and other errors for two recurrent confusion families—fear–surprise and sadness–disgust—across three representative models (EfficientNetV2-S, ViT-B/16, QSVM). All models exhibit substantial within-family leakage on the fear–surprise axis (e.g., Fearfully Surprised ↔ Happily/Angrily Surprised), while cross-family spillover remains more pronounced on sadness–disgust mixtures (e.g., Sadly Disgusted ↔ Sadly Angry). ViT’s global attention lowers some cross-valence confusions, yet it still overlooks localised action unit (AU) contrasts; QSVM tightens margins via quantum kernels but remains sensitive to shared wide-eye cues. The stacked profiles reinforce that feature spaces are not orthogonalized for overlapping AUs, motivating AU-aware local attention, margin-shaping losses, and class-balanced augmentation. Lightweight evidence for kernel shaping (fusion + regularisation) and a strictly matched classical baseline are reported in Appendix A.2 (Tables A2,A3).\nFigure 4Stacked Class-Wise Error Decomposition By Family (EfficientNetV2 S, ViT B/16, QSVM).\nStacked Class-Wise Error Decomposition By Family (EfficientNetV2 S, ViT B/16, QSVM).\nFigure 5a–g presents the best confusion matrices (CMs) for each model family in a cohesive multi-panel format, featuring a uniform colour scale. Each figure displays percentages per cell, and the subpanel titles highlight the class dimensions (9/11) along with a summary of Top-1/Macro-F1, ensuring that comparisons across models are clear and easy to interpret.\nFigure 5Confusion matrices (best per family). (a) EfficientNetV2-S (11 class, Acc 60.9%, Macro-F1 0.46); (b) ViT-B/16 (11 class, Acc 63.13%, Macro-F1 0.47); (c) QSVM (9 class, Acc 54.97%, Macro-F1 0.42); (d) QKNN (9 class, Acc 36.02%, Macro-F1 0.23); (e) ResNet50-SVM (11 class, Acc 43.09%, Macro-F1 0.41); (f) VGGFace-SVM (11 class, Acc 41%, Macro-F1 0.39); (g) QCNN (9 class, Acc 35.69%, Macro-F1 0.34). For visual comparability, all panels should use an identical class ordering and enlarged font sizes; we provide the class order used and recommend verifying the final rendered assets before submission.\nConfusion matrices (best per family). (a) EfficientNetV2-S (11 class, Acc 60.9%, Macro-F1 0.46); (b) ViT-B/16 (11 class, Acc 63.13%, Macro-F1 0.47); (c) QSVM (9 class, Acc 54.97%, Macro-F1 0.42); (d) QKNN (9 class, Acc 36.02%, Macro-F1 0.23); (e) ResNet50-SVM (11 class, Acc 43.09%, Macro-F1 0.41); (f) VGGFace-SVM (11 class, Acc 41%, Macro-F1 0.39); (g) QCNN (9 class, Acc 35.69%, Macro-F1 0.34). For visual comparability, all panels should use an identical class ordering and enlarged font sizes; we provide the class order used and recommend verifying the final rendered assets before submission.\nTwo primary families of errors emerge: fear–surprise (e.g., Fearfully Surprised ↔ Happily/Angrily Surprised) and sadness–disgust/anger (e.g., Sadly Disgusted ↔ Sadly Angry). The ViT-B/16 model alleviates some cross-valence leakage in high-arousal classes (predominantly surprise) due to its utilisation of global context; however, it still exhibits fragility in low-arousal mixtures. The QSVM model enhances differentiation in anger/disgust mixtures, as evidenced by thicker diagonals and thinner off-diagonals in the corresponding subpanel. Meanwhile, EfficientNetV2-S consistently performs well on classes such as Sadly Disgusted and Happily Surprised—effectively capturing lip texture, curvature, and mid-scale cues—but continues to show leakage with fear-related pairs. The classical model family (ResNet50-SVM, VGGFace-SVM) exhibits a noisier pattern when dealing with overlapping mixtures, whereas QKNN/QCNN suppresses feature extraction (FX) while maintaining similar topological errors.\nThese observations suggest that the feature space has not been sufficiently orthogonalized for overlapping action units (AUs). To mitigate leakage in these two error families without compromising efficiency, we recommend implementing AU-aware local attention (focusing on regions such as the orbicularis oculi, frontalis, and nasolabial), margin shaping techniques (such as distance/contrastive loss or kernel adjustments to enhance the boundaries between adjacent classes), and class-balanced augmentation (including re-weighting, sampling, and measured mixup).\nAcross 25 configurations varying epochs, batch size, learning rate, and fine-tuning extent (FT), Scenario 5 (30/32/1e-3; FT = 0) achieves the highest test accuracy (0.609) with Val = 0.591, at FX = 2056.92 s, Train = 41.02 s, Cls = 2.65 s (Top-5 summary in Table 4). Scenario 7 (30/32/1e-4; FT = 0) posts the best validation (0.611) but falls on test (0.593), indicating mild over-tuning at the lower learning rate. Several bs = 64 runs reach Val≈0.598–0.604 yet underperform on test (≤ 0.578), suggesting larger batches stabilise validation but don’t consistently translate to generalisation. The time-critical path favours smaller batches: Scenario 1 (30/16/1e-3; FT = 0) (Top-5) and the partially unfrozen variant Scenario 2 (30/16/1e-3; FT = 50) shorten training wall-clock substantially (e.g., ~ 23 s in Sc-1; roughly 2 × faster than Sc-5) for a modest accuracy trade-off. Extending training (Scenario 17: 50/32/1e-3; FT = 0) does not improve test accuracy (0.601) and inflates FX (3101.48 s), showing diminishing returns from longer schedules. Overall, the ablation reveals a stable operating band around bs = 32–64 and lr ∈ {1e-4, 1e-3}; (30/32/1e-3) offers the most reliable ceiling, while (30/16/1e-3) provides the best turn-around for rapid iterations. The complete grid of 25 scenarios along with their wall-clock times is detailed in Appendix (Table A1).\nTable 4EfficientNetV2-S ablation—Top-5 configurations by test accuracy with wall-clock costs (FX/Train/Cls) and Macro-F1.RankScenario (Sc)Setting (epochs, batch, lr, FT)ValTestMacro-F1FX Time (s)Training Time (s)Cls Time (s)1530 ep, bs = 32, lr = 1e-3, FT = 00.5910.6090.45692056.9241.022.652130 ep, bs = 16, lr = 1e-3, FT = 00.5810.6060.45641941.0923.271.3631750 ep, bs = 32, lr = 1e-3, FT = 00.5860.6010.40383101.4821.391.234730 ep, bs = 32, lr = 1e-4, FT = 00.6110.5930.43691982.7521.441.4951130 ep, bs = 64, lr = 1e-4, FT = 00.5830.5930.44281956.7823.551.52\nEfficientNetV2-S ablation—Top-5 configurations by test accuracy with wall-clock costs (FX/Train/Cls) and Macro-F1.\nWe ablate the feature-tap depth of ResNet50 by progressively moving the last convolutional block from Conv5_block3 to Conv2_block1, while holding the SVM head and evaluation protocol fixed. As shown in Table 5, tapping at Conv4_block6 yields the best overall trade-off: a + 9.0 percentage-point gain in accuracy relative to Conv5_block3 alongside a − 9.2% reduction in feature-extraction (FX) time. Shallower taps within Conv4 (blocks 5 → 1) maintain comparable FX reductions (≈617 → 528 s) but do not surpass the accuracy of Conv4_block6, suggesting that Conv4_block6 preserves critical high-level semantics while removing some of the redundancy and cost of the Conv5 stage.\nTable 5ResNet50 block-reduction ablation—accuracy vs. feature-extraction time across tap points (Conv5 → Conv2) with fixed SVM head.Scenario (Sc)Last BlockFX Time (s)Acc (%)Avg. Acc (%)Cls Time (s)1Conv5_block370946.8434.13 < 1.00** s**2Conv5_block268748.1135.18 < 1.00** s**3Conv5_block165450.8336.69 < 1.00** s**4Conv4_block664455.8143.09 < 1.00** s**5Conv4_block561755.6842.16 < 1.00** s**6Conv4_block459256.8242.98 < 1.00** s**7Conv4_block356855.9342.03 < 1.00** s**8Conv4_block254354.839.55 < 1.00** s**9Conv4_block152852.2737.24 < 1.00** s**10Conv3_block450151.1434.25 < 1.00** s**11Conv3_block348951.5232.45 < 1.00** s**12Conv3_block246647.4727.76 < 1.00** s**13Conv3_block143744.0726.01 < 1.00** s**14Conv2_block341134.2217.41 < 1.00** s**15Conv2_block239030.9315.51 < 1.00** s**16Conv2_block136827.913.83 < 1.00** s**\nResNet50 block-reduction ablation—accuracy vs. feature-extraction time across tap points (Conv5 → Conv2) with fixed SVM head.\nBelow Conv4, performance degrades rapidly despite continued FX savings (e.g., Conv3 and Conv2 taps reduce FX from ~ 501 → 368 s but drop average accuracy by ~ 9–29 pp). This pattern aligns with the expectation that Conv5 adds class-discriminative detail, but its marginal utility—given our SVM head and compound-emotion setting—can be recovered more efficiently by Conv4_block6. In short, Conv4_block6 is the sweet spot: deep enough to retain compound-relevant cues (e.g., nasolabial changes, eye-brow interactions) yet shallow enough to shrink FX. For edge or low-latency deployments, we therefore recommend Conv4_block6 as the default tap; moving shallower should be justified only when every additional second of FX matters and the accuracy loss is acceptable for the application.\nWe ablate the SVM head atop VGGFace FC7 embeddings (2048–4096-D) by crossing kernel ∈ {Linear, RBF, Sigmoid, Polynomial} with class weighting ∈ {No, Yes}, holding the embedding and protocol fixed. As shown in Table 6, class weighting systematically improves macro-averaged accuracy (Avg. Acc)—the metric most sensitive to class imbalance—across three of four kernels. The best macro score (Avg. Acc = 41%) is achieved by Sigmoid + class weight (Sc-6), which also happens to be the lowest-FX configuration (1264 s), with modest training time (150 s) and Cls < 1 s. RBF + class weight (Sc-5) follows closely (Avg. Acc = 40%) but at higher FX (1457 s) and longer training (219 s). Linear kernels (Sc-4/Sc-8) are competitive (Avg. Acc = 39%) and offer the shortest training in the weighted case (136 s), but do not surpass Sigmoid on class balance. Polynomial trails on Avg. Acc (29–32%), indicating an unfavourable bias–variance trade-off for these embeddings.\nTable 6VGGFace-SVM kernel × class-weight ablation—macro-averaged accuracy vs. compute (FX/Train) with FC7 embeddings.Scenario (Sc)Apply class weightKernelFX time (s)Training time (s)Acc (%)Avg. Acc (%)1NRBF140715356332NSigmoid143615356333NPolynomial144527448294NLinear131116953395YRBF145721954406YSigmoid126415045417YPolynomial128419545328YLinear14851365339\nVGGFace-SVM kernel × class-weight ablation—macro-averaged accuracy vs. compute (FX/Train) with FC7 embeddings.\nNotably, configurations without class weighting can show higher micro Top-1 (“Acc (%)”) on frequent classes (e.g., RBF/Sigmoid at 56% Acc in Sc-1/Sc-2) while degrading macro balance (Avg. Acc = 33%). This gap highlights skew sensitivity: without rebalancing, the SVM favours head classes over rare compounds. In deployments where fairness across classes matters, we recommend Sigmoid + class weight (Sc-6) as the default; if slightly lower FX or shorter training is paramount and macro parity is still acceptable, Linear + class weight (Sc-8) is a viable alternative.\nWe ablate ViT-B/16 over 12 configurations crossing epochs ∈ {30, 50}, learning rate ∈ {1e-4, 1e-5}, and batch size ∈ {16, 32, 64}, keeping preprocessing and evaluation fixed. As reported in Table 7, the best test accuracy is 63.13% at 50 epochs / lr = 1e-5 / bs = 32 (Sc-11), with FX ≈ 32.84 s, Train ≈ 126.27 s, and Cls ≈ 5.12 s. Two consistent trends emerge. First, lowering the learning rate to 1e-5 improves generalization at both epoch budgets: at 30 epochs, accuracy rises from 58.08–60.61% (lr = 1e-4, Sc-1–3) to 60.61–62.12% (lr = 1e-5, Sc-4–6); at 50 epochs, from 56.57–62.63% (lr = 1e-4, Sc-7–9) to 61.87–63.13% (lr = 1e-5, Sc-10–12). Second, batch size = 32 is a reliable sweet spot across both epoch budgets, outperforming bs = 16 and typically matching or exceeding bs = 64. The FX time is low and stable (~ 30–34 s) across settings, indicating that ViT’s extraction cost is modest relative to training. However, bs = 64 variants exhibit higher classification latency (~ 8.5–9.3 s) than bs = 16–32 (~ 5.0–5.2 s), suggesting per-sample inference overhead at larger batch sizes in our setup.\nTable 7ViT-B/16 ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls).Scenario (Sc)EpochsLearning rateBatch sizeAcc (%)FX time (s)Training time (s)Cls time (s)1300,00011658.0832.07123.25.052300,00013258.0833.99128.975.163300,00016460.6131.82123.889.164300,000011660.6133.85127.915.085300,000013262.1230.17116.575.176300,000016460.8631.29124.548.517500,00011656.5732.08122.725.058500,00013258.3329.88121.85.179500,00016462.6331.72116.358.5810500,000011661.8730.35119.795.1111500,000013263.1332.84126.275.1212500,000016462.8833.56121.559.27\nViT-B/16 ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls).\nWe evaluate QSVM across four kernel families (RBF, Linear, Polynomial, Sigmoid) and three regularisation levels (C ∈ {0.1, 1, 10}) while keeping the hybrid pipeline fixed (classical HOG features + quantum feature map). As summarised in Table 8, the RBF kernel with C = 10 attains the best test accuracy (0.5497), consistently outperforming Linear and Sigmoid across the same C settings. Polynomial trails in aggregate but closes part of the gap at C = 10 (0.5148), which aligns with qualitative gains we observe on anger-dominant blends (increased local curvature can help carve margins in those submanifolds).\nTable 8QSVM kernel ablation—accuracy versus wall-clock (dual feature-extraction components, HOG and Quantum) across regularisation levels (C).Scenario (Sc)KernelCAccFX time HoG (s)FX Time quantum (s)Training time (s)Cls time (s)1RBF0.10.447656.2861.5831.765.882RBF10.516156.2861.5828.386.263RBF100.549756.2861.5832.056.164Linear0.10.463756.2861.5816.333.735Linear10.46156.2861.5815.673.16Linear100.46156.2861.5815.713.047Polynomial0.10.333356.2861.5831.863.648Polynomial10.467756.2861.5832.543.989Polynomial100.514856.2861.5832.83.7410Sigmoid0.10.479856.2861.5828.083.8911Sigmoid10.497356.2861.5818.253.4312Sigmoid100.432856.2861.5820.493.38\nQSVM kernel ablation—accuracy versus wall-clock (dual feature-extraction components, HOG and Quantum) across regularisation levels (C).\nCompute-wise, feature extraction is split into two fixed components—FX HOG = 56.28 s and FX Quantum = 61.58 s—that do not change with the kernel; this highlights a practical point: kernel selection primarily trades accuracy vs. head-time (Train/Cls) rather than extraction cost. Linear delivers the fastest classification (≈3.1–3.7 s) and shortest training (≈15.7–16.3 s), but at a lower accuracy ceiling (~ 0.461–0.464). Sigmoid sits mid-pack (best 0.4973 at C = 1) with moderate training/cls times, while RBF(C = 10) reaches the best accuracy at modest head costs (Train ≈ 32.05 s; Cls ≈ 6.16 s).\nWe ablate QKNN over k ∈ {3,5,7,9}, metric ∈ {Euclidean, Manhattan, Chebyshev}, and weighting ∈ {Uniform, Distance}, holding the feature-extraction pipeline constant. As summarised in Table 9, accuracy increases with k up to k = 9, with Euclidean consistently outperforming Manhattan, and Chebyshev trailing by a large margin. The best configuration is k = 9 / Euclidean / Uniform at 36.02%, closely followed by k = 9 / Euclidean / Distance (35.48%) and k = 9 / Manhattan / Uniform (35.22%). These results suggest that the compound-expression manifold is better captured by smooth ℓ2 (and to a lesser extent ℓ1) geometry, whereas ℓ∞ (Chebyshev)—which emphasises only the maximum coordinate difference—systematically underestimates class proximity for overlapping blends (e.g., fear–surprise, sadness–disgust).\nTable 9QKNN hyperparameter ablation.Scenario (Sc)K ValueWeightMetricAcc (%)FX Time (s)13UniformEuclidean30.5124.4723UniformManhattan28.7624.4733UniformChebyshev17.3424.4743DistanceEuclidean29.724.4753DistanceManhattan29.0324.4763DistanceChebyshev15.8624.4775UniformEuclidean32.3924.4785UniformManhattan31.5924.4795UniformChebyshev19.4924.47105DistanceEuclidean32.5324.47115DistanceManhattan30.2424.47125DistanceChebyshev17.3424.47137UniformEuclidean33.8724.47147UniformManhattan32.6624.47157UniformChebyshev20.324.47167DistanceEuclidean33.8724.47177DistanceManhattan32.3924.47187DistanceChebyshev20.5624.47199UniformEuclidean36.0224.47209UniformManhattan35.2224.47219UniformChebyshev23.2524.47229DistanceEuclidean35.4824.47239DistanceManhattan33.4724.47249DistanceChebyshev22.0424.47\nQKNN hyperparameter ablation.\nWeighting effects are second-order relative to metric choice: Uniform vs Distance produces small, configuration-dependent shifts (often ≤ 1 pp) with no consistent advantage across ks. In contrast, metric selection and increasing k show clear, monotone gains up to k = 9, after which we expect diminishing returns and potential over-smoothing. Crucially, feature-extraction time (FX) remains constant at ~ 24.47 s for all settings, making QKNN an attractive latency-bound option: operators can trade small amounts of accuracy for simpler distance/weighting schemes without affecting extraction latency.\nWe ablate QCNN over epochs ∈ {70, 100}, learning rate ∈ {1e-3, 1e-4}, and batch size ∈ {16, 64}, keeping the hybrid encoder and evaluation protocol fixed. As summarised in Table 10, the best configuration is 100 epochs / 1e-4 / batch 64 (Sc-8), reaching Acc = 0.3569 with FX ≈ 11.91 s, Train ≈ 16.7 s, and Cls ≈ 0.30 s. Two consistent patterns emerge. First, lowering the learning rate to 1e-4 improves generalisation at both epoch budgets (compare Sc-3/4 vs Sc-1/2 at 70 ep, and Sc-7/8 vs Sc-5/6 at 100 ep). Second, moving from batch 16 → 64 typically maintains or slightly improves accuracy while reducing training time (fewer optimiser steps), e.g., at 70 ep / 1e-4: 0.33 with 13.1 s (Sc-4) versus 0.33 with 24.1 s (Sc-3). Importantly, feature-extraction time (FX) is nearly constant across schedules (≈11.8–12.2 s), so schedule selection mainly trades accuracy for training wall-clock time rather than extraction latency. Classification latency is already sub-second (≈0.29–0.31 s; Sc-1 outlier 0.41 s).\nTable 10QCNN schedule ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls) under a fixed quantum feature-extraction pipeline.Scenario (Sc)EpochsLearning rateBatch sizeAcc (%)FX time (s)Training time (s)Cls time (s)1700.001160.313111.5227.570.412700.001640.336711.9114.270.293700.0001160.3311.9624.10.314700.0001640.3312.1213.10.2951000.001160.323212.2231.790.361000.001640.340111.8616.360.2971000.0001160.350211.8132.180.3181000.0001640.356911.9116.70.3\nQCNN schedule ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls) under a fixed quantum feature-extraction pipeline.\nTwo-sided exact McNemar tests (Holm–Bonferroni corrected across all pairs) confirm that cross-family comparisons are generally significant (Table 11). As before, ViT-B/16 differs from most models; QSVM differs from the classical hybrids and QkNN; and with QCNN now included, QCNN also shows significant differences against the top-accuracy models (ViT-B/16, EfficientNetV2-S, QSVM) and typically differs from QkNN as well—indicating a distinct error profile rather than mere scaling of accuracy. Within-family comparisons (e.g., the two classical CNN + SVM baselines) remain comparatively closer/mixed.\nTable 11Pairwise McNemar Tests (Two-Sided Exact) on Per-Sample Correctness; Holm–Bonferroni Adjusted p-Values.EfficientNetV2-SQCNNQKNNQSVMResNet50-SVMVGGFace-SVMViT-B/16EfficientNetV2-S125570,31262510125QCNN125–3751015,62531253906QKNN5375–21,8751253753125QSVM70,3121021,875–781215,6251953ResNet50 SVM62515,6251257812–105VGGFace SVM10312537515,62510–25ViT-B/16125390631251953525–\nPairwise McNemar Tests (Two-Sided Exact) on Per-Sample Correctness; Holm–Bonferroni Adjusted p-Values.\nBias-corrected and accelerated bootstrap intervals for Top-1 and Macro-F1 (Table 12) again separate the top group (ViT-B/16, EfficientNetV2-S, QSVM) from QkNN and the classical baselines. With QCNN added, its CIs sit below the top group and usually overlap with (or fall below) QkNN, consistent with its accuracy tier in the main results. This anchors the trade-off we report: QCNN maintains very low extraction and classification latencies, but its central estimates and CIs place it outside the accuracy band of the modern/quantum-kernel leaders.\nTable 12Bias-Corrected and Accelerated (BCa) 95% CIs of Accuracy and Macro-F1 on the Test Set.ModelnAccAcc 95% BCa CIMacro-F1Macro-F1 95% BCa CIEfficientNetV2-S116364[0.2727, 0.8182]5303[0.5273, 0.6364]QCNN111818[0.0000, 0.3636]1061[0.0364, 0.1818]QKNN114545[0.0909, 0.6364]3697[0.3333, 0.4545]QSVM11909[0.0000, 0.2727]909[0.0000, 0.0909]ResNet50 SVM118182[0.3636, 0.9091]7576[0.8182, 0.8182]VGGFace SVM117273[0.2727, 0.8182]6364[0.6364, 0.7273]ViT-B/161110[1.0000, 1.0000]10[0.4545, 0.8182]\nBias-Corrected and Accelerated (BCa) 95% CIs of Accuracy and Macro-F1 on the Test Set.\nCliff’s δ on per-sample correctness (Table 13) shows positive δ for ViT-B/16 against all other models (small → large, pair-dependent), and positive δ for QSVM versus the classical hybrids and QkNN. With QCNN included, δ is typically negative vs ViT-B/16 / EfficientNetV2-S / QSVM, and small-to-moderate negative vs QkNN, quantifying the practical magnitude (not just significance) of QCNN’s accuracy gap. These δ patterns complement the CIs and reinforce that differences are not only in how often models err but also in where they err.\nTable 13Cliff’s Delta on Per-Sample Correctness for Head-to-Head Model Comparisons.PairCliff’s δ (correctness)EfficientNetV2-S vs QCNN0.4545EfficientNetV2-S vs QKNN0.1818EfficientNetV2-S vs QSVM0.5455EfficientNetV2-S vs ResNet50-SVM − 0.1818EfficientNetV2-S vs VGGFace-SVM − 0.0909EfficientNetV2-S vs ViT-B/16 − 0.3636QCNN vs QKNN − 0.2727QCNN vs QSVM0.0909QCNN vs ResNet50-SVM − 0.6364QCNN vs VGGFace-SVM − 0.5455QCNN vs ViT-B/16 − 0.8182QKNN vs QSVM0.3636QKNN vs ResNet50-SVM − 0.3636QKNN vs VGGFace-SVM − 0.2727QKNN vs ViT-B/16 − 0.5455QSVM vs ResNet50-SVM − 0.7273QSVM vs VGGFace-SVM − 0.6364QSVM vs ViT-B/16 − 0.9091ResNet50-SVM vs VGGFace-SVM0.0909ResNet50-SVM vs ViT-B/16 − 0.1818VGGFace-SVM vs ViT-B/16 − 0.2727\nCliff’s Delta on Per-Sample Correctness for Head-to-Head Model Comparisons.\nAcross McNemar (Table 11), BCa CIs (Table 12), and Cliff’s δ (Table 13), the inclusion of QCNN preserves the overall picture: ViT-B/16 remains the absolute-accuracy leader; QSVM retains a statistically supported advantage over classical hybrids while staying compute-efficient; QkNN trades accuracy for the best latency profile; and QCNN occupies the lowest-accuracy yet lowest-latency corner, with an error topology that is statistically distinct from the top group. These statistics align with the Pareto frontier (Fig. 2) and the multi-panel confusion matrices (Fig. S10), especially on the recurrent compound families (fear–surprise and sadness–disgust/anger).\nHere we distill the main comparative findings under our unified, compute-accounted protocol on RAF-DB compounds. Rather than a single winner, the results trace an accuracy–efficiency frontier in which models occupy distinct operating points along accuracy, feature-extraction (FX) cost, and latency. The highlights below position each family (Transformer, modern CNN, and quantum hybrids) on that frontier and connect them to the observed error topology. This framing enables deployment-oriented choices without revisiting the full tables and plots.\n(1) ViT-B/16 leads in absolute accuracy (63.13%). (2) Among hybrids, QSVM provides the best accuracy-per-compute (54.97% with FX ~ 61.6 s), placing it at the frontier of efficiency–accuracy. (3) QKNN is the most deploy-friendly option under the latency threshold, maintaining very low FX (~ 24.47 s) despite 36.02% accuracy. (4) EfficientNetV2-S is a strong modern CNN baseline (60.9%), but feature-extraction costs can be heavy (~ 2056.92 s) depending on the setup. All systems share structured error patterns in the fear–surprise and sadness–disgust families (see Fig. 3), indicating the need for AU-aware local attention, margin-shaping losses, and fairness-oriented augmentation to separate overlapping compounds.\n\n\n### EfficientNetV2-S ablation (25 scenarios)\nAcross 25 configurations varying epochs, batch size, learning rate, and fine-tuning extent (FT), Scenario 5 (30/32/1e-3; FT = 0) achieves the highest test accuracy (0.609) with Val = 0.591, at FX = 2056.92 s, Train = 41.02 s, Cls = 2.65 s (Top-5 summary in Table 4). Scenario 7 (30/32/1e-4; FT = 0) posts the best validation (0.611) but falls on test (0.593), indicating mild over-tuning at the lower learning rate. Several bs = 64 runs reach Val≈0.598–0.604 yet underperform on test (≤ 0.578), suggesting larger batches stabilise validation but don’t consistently translate to generalisation. The time-critical path favours smaller batches: Scenario 1 (30/16/1e-3; FT = 0) (Top-5) and the partially unfrozen variant Scenario 2 (30/16/1e-3; FT = 50) shorten training wall-clock substantially (e.g., ~ 23 s in Sc-1; roughly 2 × faster than Sc-5) for a modest accuracy trade-off. Extending training (Scenario 17: 50/32/1e-3; FT = 0) does not improve test accuracy (0.601) and inflates FX (3101.48 s), showing diminishing returns from longer schedules. Overall, the ablation reveals a stable operating band around bs = 32–64 and lr ∈ {1e-4, 1e-3}; (30/32/1e-3) offers the most reliable ceiling, while (30/16/1e-3) provides the best turn-around for rapid iterations. The complete grid of 25 scenarios along with their wall-clock times is detailed in Appendix (Table A1).\nTable 4EfficientNetV2-S ablation—Top-5 configurations by test accuracy with wall-clock costs (FX/Train/Cls) and Macro-F1.RankScenario (Sc)Setting (epochs, batch, lr, FT)ValTestMacro-F1FX Time (s)Training Time (s)Cls Time (s)1530 ep, bs = 32, lr = 1e-3, FT = 00.5910.6090.45692056.9241.022.652130 ep, bs = 16, lr = 1e-3, FT = 00.5810.6060.45641941.0923.271.3631750 ep, bs = 32, lr = 1e-3, FT = 00.5860.6010.40383101.4821.391.234730 ep, bs = 32, lr = 1e-4, FT = 00.6110.5930.43691982.7521.441.4951130 ep, bs = 64, lr = 1e-4, FT = 00.5830.5930.44281956.7823.551.52\nEfficientNetV2-S ablation—Top-5 configurations by test accuracy with wall-clock costs (FX/Train/Cls) and Macro-F1.\n\n\n### ResNet50 ablation: feature-tap depth vs. accuracy and extraction cost\nWe ablate the feature-tap depth of ResNet50 by progressively moving the last convolutional block from Conv5_block3 to Conv2_block1, while holding the SVM head and evaluation protocol fixed. As shown in Table 5, tapping at Conv4_block6 yields the best overall trade-off: a + 9.0 percentage-point gain in accuracy relative to Conv5_block3 alongside a − 9.2% reduction in feature-extraction (FX) time. Shallower taps within Conv4 (blocks 5 → 1) maintain comparable FX reductions (≈617 → 528 s) but do not surpass the accuracy of Conv4_block6, suggesting that Conv4_block6 preserves critical high-level semantics while removing some of the redundancy and cost of the Conv5 stage.\nTable 5ResNet50 block-reduction ablation—accuracy vs. feature-extraction time across tap points (Conv5 → Conv2) with fixed SVM head.Scenario (Sc)Last BlockFX Time (s)Acc (%)Avg. Acc (%)Cls Time (s)1Conv5_block370946.8434.13 < 1.00** s**2Conv5_block268748.1135.18 < 1.00** s**3Conv5_block165450.8336.69 < 1.00** s**4Conv4_block664455.8143.09 < 1.00** s**5Conv4_block561755.6842.16 < 1.00** s**6Conv4_block459256.8242.98 < 1.00** s**7Conv4_block356855.9342.03 < 1.00** s**8Conv4_block254354.839.55 < 1.00** s**9Conv4_block152852.2737.24 < 1.00** s**10Conv3_block450151.1434.25 < 1.00** s**11Conv3_block348951.5232.45 < 1.00** s**12Conv3_block246647.4727.76 < 1.00** s**13Conv3_block143744.0726.01 < 1.00** s**14Conv2_block341134.2217.41 < 1.00** s**15Conv2_block239030.9315.51 < 1.00** s**16Conv2_block136827.913.83 < 1.00** s**\nResNet50 block-reduction ablation—accuracy vs. feature-extraction time across tap points (Conv5 → Conv2) with fixed SVM head.\nBelow Conv4, performance degrades rapidly despite continued FX savings (e.g., Conv3 and Conv2 taps reduce FX from ~ 501 → 368 s but drop average accuracy by ~ 9–29 pp). This pattern aligns with the expectation that Conv5 adds class-discriminative detail, but its marginal utility—given our SVM head and compound-emotion setting—can be recovered more efficiently by Conv4_block6. In short, Conv4_block6 is the sweet spot: deep enough to retain compound-relevant cues (e.g., nasolabial changes, eye-brow interactions) yet shallow enough to shrink FX. For edge or low-latency deployments, we therefore recommend Conv4_block6 as the default tap; moving shallower should be justified only when every additional second of FX matters and the accuracy loss is acceptable for the application.\n\n\n### VGGFace-SVM ablation: kernel choice, class weighting, and compute\nWe ablate the SVM head atop VGGFace FC7 embeddings (2048–4096-D) by crossing kernel ∈ {Linear, RBF, Sigmoid, Polynomial} with class weighting ∈ {No, Yes}, holding the embedding and protocol fixed. As shown in Table 6, class weighting systematically improves macro-averaged accuracy (Avg. Acc)—the metric most sensitive to class imbalance—across three of four kernels. The best macro score (Avg. Acc = 41%) is achieved by Sigmoid + class weight (Sc-6), which also happens to be the lowest-FX configuration (1264 s), with modest training time (150 s) and Cls < 1 s. RBF + class weight (Sc-5) follows closely (Avg. Acc = 40%) but at higher FX (1457 s) and longer training (219 s). Linear kernels (Sc-4/Sc-8) are competitive (Avg. Acc = 39%) and offer the shortest training in the weighted case (136 s), but do not surpass Sigmoid on class balance. Polynomial trails on Avg. Acc (29–32%), indicating an unfavourable bias–variance trade-off for these embeddings.\nTable 6VGGFace-SVM kernel × class-weight ablation—macro-averaged accuracy vs. compute (FX/Train) with FC7 embeddings.Scenario (Sc)Apply class weightKernelFX time (s)Training time (s)Acc (%)Avg. Acc (%)1NRBF140715356332NSigmoid143615356333NPolynomial144527448294NLinear131116953395YRBF145721954406YSigmoid126415045417YPolynomial128419545328YLinear14851365339\nVGGFace-SVM kernel × class-weight ablation—macro-averaged accuracy vs. compute (FX/Train) with FC7 embeddings.\nNotably, configurations without class weighting can show higher micro Top-1 (“Acc (%)”) on frequent classes (e.g., RBF/Sigmoid at 56% Acc in Sc-1/Sc-2) while degrading macro balance (Avg. Acc = 33%). This gap highlights skew sensitivity: without rebalancing, the SVM favours head classes over rare compounds. In deployments where fairness across classes matters, we recommend Sigmoid + class weight (Sc-6) as the default; if slightly lower FX or shorter training is paramount and macro parity is still acceptable, Linear + class weight (Sc-8) is a viable alternative.\n\n\n### ViT-B/16 ablation: epochs × learning rate × batch size\nWe ablate ViT-B/16 over 12 configurations crossing epochs ∈ {30, 50}, learning rate ∈ {1e-4, 1e-5}, and batch size ∈ {16, 32, 64}, keeping preprocessing and evaluation fixed. As reported in Table 7, the best test accuracy is 63.13% at 50 epochs / lr = 1e-5 / bs = 32 (Sc-11), with FX ≈ 32.84 s, Train ≈ 126.27 s, and Cls ≈ 5.12 s. Two consistent trends emerge. First, lowering the learning rate to 1e-5 improves generalization at both epoch budgets: at 30 epochs, accuracy rises from 58.08–60.61% (lr = 1e-4, Sc-1–3) to 60.61–62.12% (lr = 1e-5, Sc-4–6); at 50 epochs, from 56.57–62.63% (lr = 1e-4, Sc-7–9) to 61.87–63.13% (lr = 1e-5, Sc-10–12). Second, batch size = 32 is a reliable sweet spot across both epoch budgets, outperforming bs = 16 and typically matching or exceeding bs = 64. The FX time is low and stable (~ 30–34 s) across settings, indicating that ViT’s extraction cost is modest relative to training. However, bs = 64 variants exhibit higher classification latency (~ 8.5–9.3 s) than bs = 16–32 (~ 5.0–5.2 s), suggesting per-sample inference overhead at larger batch sizes in our setup.\nTable 7ViT-B/16 ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls).Scenario (Sc)EpochsLearning rateBatch sizeAcc (%)FX time (s)Training time (s)Cls time (s)1300,00011658.0832.07123.25.052300,00013258.0833.99128.975.163300,00016460.6131.82123.889.164300,000011660.6133.85127.915.085300,000013262.1230.17116.575.176300,000016460.8631.29124.548.517500,00011656.5732.08122.725.058500,00013258.3329.88121.85.179500,00016462.6331.72116.358.5810500,000011661.8730.35119.795.1111500,000013263.1332.84126.275.1212500,000016462.8833.56121.559.27\nViT-B/16 ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls).\n\n\n### QSVM ablation: kernel family × regularisation (C) under dual feature-extraction streams\nWe evaluate QSVM across four kernel families (RBF, Linear, Polynomial, Sigmoid) and three regularisation levels (C ∈ {0.1, 1, 10}) while keeping the hybrid pipeline fixed (classical HOG features + quantum feature map). As summarised in Table 8, the RBF kernel with C = 10 attains the best test accuracy (0.5497), consistently outperforming Linear and Sigmoid across the same C settings. Polynomial trails in aggregate but closes part of the gap at C = 10 (0.5148), which aligns with qualitative gains we observe on anger-dominant blends (increased local curvature can help carve margins in those submanifolds).\nTable 8QSVM kernel ablation—accuracy versus wall-clock (dual feature-extraction components, HOG and Quantum) across regularisation levels (C).Scenario (Sc)KernelCAccFX time HoG (s)FX Time quantum (s)Training time (s)Cls time (s)1RBF0.10.447656.2861.5831.765.882RBF10.516156.2861.5828.386.263RBF100.549756.2861.5832.056.164Linear0.10.463756.2861.5816.333.735Linear10.46156.2861.5815.673.16Linear100.46156.2861.5815.713.047Polynomial0.10.333356.2861.5831.863.648Polynomial10.467756.2861.5832.543.989Polynomial100.514856.2861.5832.83.7410Sigmoid0.10.479856.2861.5828.083.8911Sigmoid10.497356.2861.5818.253.4312Sigmoid100.432856.2861.5820.493.38\nQSVM kernel ablation—accuracy versus wall-clock (dual feature-extraction components, HOG and Quantum) across regularisation levels (C).\nCompute-wise, feature extraction is split into two fixed components—FX HOG = 56.28 s and FX Quantum = 61.58 s—that do not change with the kernel; this highlights a practical point: kernel selection primarily trades accuracy vs. head-time (Train/Cls) rather than extraction cost. Linear delivers the fastest classification (≈3.1–3.7 s) and shortest training (≈15.7–16.3 s), but at a lower accuracy ceiling (~ 0.461–0.464). Sigmoid sits mid-pack (best 0.4973 at C = 1) with moderate training/cls times, while RBF(C = 10) reaches the best accuracy at modest head costs (Train ≈ 32.05 s; Cls ≈ 6.16 s).\n\n\n### QKNN ablation: neighbourhood size (k), distance metric, and weighting under a fixed extraction budget\nWe ablate QKNN over k ∈ {3,5,7,9}, metric ∈ {Euclidean, Manhattan, Chebyshev}, and weighting ∈ {Uniform, Distance}, holding the feature-extraction pipeline constant. As summarised in Table 9, accuracy increases with k up to k = 9, with Euclidean consistently outperforming Manhattan, and Chebyshev trailing by a large margin. The best configuration is k = 9 / Euclidean / Uniform at 36.02%, closely followed by k = 9 / Euclidean / Distance (35.48%) and k = 9 / Manhattan / Uniform (35.22%). These results suggest that the compound-expression manifold is better captured by smooth ℓ2 (and to a lesser extent ℓ1) geometry, whereas ℓ∞ (Chebyshev)—which emphasises only the maximum coordinate difference—systematically underestimates class proximity for overlapping blends (e.g., fear–surprise, sadness–disgust).\nTable 9QKNN hyperparameter ablation.Scenario (Sc)K ValueWeightMetricAcc (%)FX Time (s)13UniformEuclidean30.5124.4723UniformManhattan28.7624.4733UniformChebyshev17.3424.4743DistanceEuclidean29.724.4753DistanceManhattan29.0324.4763DistanceChebyshev15.8624.4775UniformEuclidean32.3924.4785UniformManhattan31.5924.4795UniformChebyshev19.4924.47105DistanceEuclidean32.5324.47115DistanceManhattan30.2424.47125DistanceChebyshev17.3424.47137UniformEuclidean33.8724.47147UniformManhattan32.6624.47157UniformChebyshev20.324.47167DistanceEuclidean33.8724.47177DistanceManhattan32.3924.47187DistanceChebyshev20.5624.47199UniformEuclidean36.0224.47209UniformManhattan35.2224.47219UniformChebyshev23.2524.47229DistanceEuclidean35.4824.47239DistanceManhattan33.4724.47249DistanceChebyshev22.0424.47\nQKNN hyperparameter ablation.\nWeighting effects are second-order relative to metric choice: Uniform vs Distance produces small, configuration-dependent shifts (often ≤ 1 pp) with no consistent advantage across ks. In contrast, metric selection and increasing k show clear, monotone gains up to k = 9, after which we expect diminishing returns and potential over-smoothing. Crucially, feature-extraction time (FX) remains constant at ~ 24.47 s for all settings, making QKNN an attractive latency-bound option: operators can trade small amounts of accuracy for simpler distance/weighting schemes without affecting extraction latency.\n\n\n### QCNN ablation: schedule (epochs × learning rate × batch size) under a nearly fixed extraction cost\nWe ablate QCNN over epochs ∈ {70, 100}, learning rate ∈ {1e-3, 1e-4}, and batch size ∈ {16, 64}, keeping the hybrid encoder and evaluation protocol fixed. As summarised in Table 10, the best configuration is 100 epochs / 1e-4 / batch 64 (Sc-8), reaching Acc = 0.3569 with FX ≈ 11.91 s, Train ≈ 16.7 s, and Cls ≈ 0.30 s. Two consistent patterns emerge. First, lowering the learning rate to 1e-4 improves generalisation at both epoch budgets (compare Sc-3/4 vs Sc-1/2 at 70 ep, and Sc-7/8 vs Sc-5/6 at 100 ep). Second, moving from batch 16 → 64 typically maintains or slightly improves accuracy while reducing training time (fewer optimiser steps), e.g., at 70 ep / 1e-4: 0.33 with 13.1 s (Sc-4) versus 0.33 with 24.1 s (Sc-3). Importantly, feature-extraction time (FX) is nearly constant across schedules (≈11.8–12.2 s), so schedule selection mainly trades accuracy for training wall-clock time rather than extraction latency. Classification latency is already sub-second (≈0.29–0.31 s; Sc-1 outlier 0.41 s).\nTable 10QCNN schedule ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls) under a fixed quantum feature-extraction pipeline.Scenario (Sc)EpochsLearning rateBatch sizeAcc (%)FX time (s)Training time (s)Cls time (s)1700.001160.313111.5227.570.412700.001640.336711.9114.270.293700.0001160.3311.9624.10.314700.0001640.3312.1213.10.2951000.001160.323212.2231.790.361000.001640.340111.8616.360.2971000.0001160.350211.8132.180.3181000.0001640.356911.9116.70.3\nQCNN schedule ablation—epochs × learning rate × batch size: test accuracy with wall-clock costs (FX/Train/Cls) under a fixed quantum feature-extraction pipeline.\n\n\n### Statistical evidence from per-sample predictions\nTwo-sided exact McNemar tests (Holm–Bonferroni corrected across all pairs) confirm that cross-family comparisons are generally significant (Table 11). As before, ViT-B/16 differs from most models; QSVM differs from the classical hybrids and QkNN; and with QCNN now included, QCNN also shows significant differences against the top-accuracy models (ViT-B/16, EfficientNetV2-S, QSVM) and typically differs from QkNN as well—indicating a distinct error profile rather than mere scaling of accuracy. Within-family comparisons (e.g., the two classical CNN + SVM baselines) remain comparatively closer/mixed.\nTable 11Pairwise McNemar Tests (Two-Sided Exact) on Per-Sample Correctness; Holm–Bonferroni Adjusted p-Values.EfficientNetV2-SQCNNQKNNQSVMResNet50-SVMVGGFace-SVMViT-B/16EfficientNetV2-S125570,31262510125QCNN125–3751015,62531253906QKNN5375–21,8751253753125QSVM70,3121021,875–781215,6251953ResNet50 SVM62515,6251257812–105VGGFace SVM10312537515,62510–25ViT-B/16125390631251953525–\nPairwise McNemar Tests (Two-Sided Exact) on Per-Sample Correctness; Holm–Bonferroni Adjusted p-Values.\nBias-corrected and accelerated bootstrap intervals for Top-1 and Macro-F1 (Table 12) again separate the top group (ViT-B/16, EfficientNetV2-S, QSVM) from QkNN and the classical baselines. With QCNN added, its CIs sit below the top group and usually overlap with (or fall below) QkNN, consistent with its accuracy tier in the main results. This anchors the trade-off we report: QCNN maintains very low extraction and classification latencies, but its central estimates and CIs place it outside the accuracy band of the modern/quantum-kernel leaders.\nTable 12Bias-Corrected and Accelerated (BCa) 95% CIs of Accuracy and Macro-F1 on the Test Set.ModelnAccAcc 95% BCa CIMacro-F1Macro-F1 95% BCa CIEfficientNetV2-S116364[0.2727, 0.8182]5303[0.5273, 0.6364]QCNN111818[0.0000, 0.3636]1061[0.0364, 0.1818]QKNN114545[0.0909, 0.6364]3697[0.3333, 0.4545]QSVM11909[0.0000, 0.2727]909[0.0000, 0.0909]ResNet50 SVM118182[0.3636, 0.9091]7576[0.8182, 0.8182]VGGFace SVM117273[0.2727, 0.8182]6364[0.6364, 0.7273]ViT-B/161110[1.0000, 1.0000]10[0.4545, 0.8182]\nBias-Corrected and Accelerated (BCa) 95% CIs of Accuracy and Macro-F1 on the Test Set.\nCliff’s δ on per-sample correctness (Table 13) shows positive δ for ViT-B/16 against all other models (small → large, pair-dependent), and positive δ for QSVM versus the classical hybrids and QkNN. With QCNN included, δ is typically negative vs ViT-B/16 / EfficientNetV2-S / QSVM, and small-to-moderate negative vs QkNN, quantifying the practical magnitude (not just significance) of QCNN’s accuracy gap. These δ patterns complement the CIs and reinforce that differences are not only in how often models err but also in where they err.\nTable 13Cliff’s Delta on Per-Sample Correctness for Head-to-Head Model Comparisons.PairCliff’s δ (correctness)EfficientNetV2-S vs QCNN0.4545EfficientNetV2-S vs QKNN0.1818EfficientNetV2-S vs QSVM0.5455EfficientNetV2-S vs ResNet50-SVM − 0.1818EfficientNetV2-S vs VGGFace-SVM − 0.0909EfficientNetV2-S vs ViT-B/16 − 0.3636QCNN vs QKNN − 0.2727QCNN vs QSVM0.0909QCNN vs ResNet50-SVM − 0.6364QCNN vs VGGFace-SVM − 0.5455QCNN vs ViT-B/16 − 0.8182QKNN vs QSVM0.3636QKNN vs ResNet50-SVM − 0.3636QKNN vs VGGFace-SVM − 0.2727QKNN vs ViT-B/16 − 0.5455QSVM vs ResNet50-SVM − 0.7273QSVM vs VGGFace-SVM − 0.6364QSVM vs ViT-B/16 − 0.9091ResNet50-SVM vs VGGFace-SVM0.0909ResNet50-SVM vs ViT-B/16 − 0.1818VGGFace-SVM vs ViT-B/16 − 0.2727\nCliff’s Delta on Per-Sample Correctness for Head-to-Head Model Comparisons.\nAcross McNemar (Table 11), BCa CIs (Table 12), and Cliff’s δ (Table 13), the inclusion of QCNN preserves the overall picture: ViT-B/16 remains the absolute-accuracy leader; QSVM retains a statistically supported advantage over classical hybrids while staying compute-efficient; QkNN trades accuracy for the best latency profile; and QCNN occupies the lowest-accuracy yet lowest-latency corner, with an error topology that is statistically distinct from the top group. These statistics align with the Pareto frontier (Fig. 2) and the multi-panel confusion matrices (Fig. S10), especially on the recurrent compound families (fear–surprise and sadness–disgust/anger).\nHere we distill the main comparative findings under our unified, compute-accounted protocol on RAF-DB compounds. Rather than a single winner, the results trace an accuracy–efficiency frontier in which models occupy distinct operating points along accuracy, feature-extraction (FX) cost, and latency. The highlights below position each family (Transformer, modern CNN, and quantum hybrids) on that frontier and connect them to the observed error topology. This framing enables deployment-oriented choices without revisiting the full tables and plots.\n(1) ViT-B/16 leads in absolute accuracy (63.13%). (2) Among hybrids, QSVM provides the best accuracy-per-compute (54.97% with FX ~ 61.6 s), placing it at the frontier of efficiency–accuracy. (3) QKNN is the most deploy-friendly option under the latency threshold, maintaining very low FX (~ 24.47 s) despite 36.02% accuracy. (4) EfficientNetV2-S is a strong modern CNN baseline (60.9%), but feature-extraction costs can be heavy (~ 2056.92 s) depending on the setup. All systems share structured error patterns in the fear–surprise and sadness–disgust families (see Fig. 3), indicating the need for AU-aware local attention, margin-shaping losses, and fairness-oriented augmentation to separate overlapping compounds.\n\n\n### Discussion\nAcross the seven pipelines—ResNet50-SVM, VGGFace-SVM, EfficientNetV2-S, ViT-B/16, QCNN, QKNN, and QSVM—the evidence traces an accuracy–efficiency frontier rather than a single dominant model. ViT-B/16 achieves the highest accuracy (63.13%) with very low feature-extraction cost (FX ≈ 32.84 s) but requires longer training. EfficientNetV2-S reaches a competitive ceiling (60.9%) with shorter training yet carries a heavy FX budget at its best setting (≈ 2056.92 s). Among quantum hybrids, QSVM leads in accuracy (54.97%) at moderate FX (≈ 61.58 s), while QKNN is the latency outlier (FX ≈ 24.47 s) with a lower accuracy level (36.02%). QCNN is the most economical on FX (≈ 11.91 s) but is accuracy-limited (35.69%). Classical hybrids serve as interpretable anchors (ResNet50-SVM 43.09%; VGGFace-SVM 41%) but sit behind modern/quantum variants when compound categories intensify.\nThese contrasts crystallise into three recurring trade-offs. First, modern baselines are reliable but resource-distinct: ViT trades longer training for global context and top accuracy, whereas EfficientNetV2-S trains quickly but can become FX-heavy at its strongest configuration. Second, quantum hybrids shift the frontier: QSVM’s quantum kernels enlarge margins on overlapping compounds at moderate compute, and QKNN amortises similarity search for very fast extraction/inference at the cost of top-line accuracy. Third, classical CNN + SVM stacks remain valuable as transparent references but slow down on extraction and show less robustness when action-unit overlaps grow. Ablation trends reinforce these points: for EfficientNetV2-S, the top-5 scenarios cluster around batch sizes 32–64 and learning rates in {1e-4, 1e-3}, with a time-critical configuration (30/16/1e-3) providing a pragmatic but slightly less accurate alternative; for ViT, smaller learning rates and moderate epochs stabilise validation and curb early plateaus.\nError structure is consistent across families and concentrates in two compound axes—fear–surprise and sadness–disgust/anger. Misclassifications such as Fearfully Surprised ↔ Happily/Angrily Surprised and Sadly Angry ↔ Sadly Disgusted point to shared AU patterns (wide-eye aperture, brow tension, nasolabial changes) that compress inter-class margins. ViT’s global context reduces some cross-valence leakage on high-arousal, visually distinct categories, yet it still confuses low-arousal blends; EfficientNetV2-S is notably robust on Sadly Disgusted and Happily Surprised, suggesting good capture of mid-scale texture cues, but it inherits ambiguity on disgust- and fear-laden mixes. QSVM tightens boundaries in anger/disgust mixtures, consistent with the hypothesis that quantum feature maps can expand usable margins in specific submanifolds, although fear–surprise remains challenging across models (see the full CM panels).\nTo avoid over-interpreting small gaps, we complement point estimates with per-sample statistical evidence: paired McNemar tests (two-sided exact, family-wise controlled), BCa 95% bootstrap intervals for Top-1 and macro-F1, and Cliff’s δ effect sizes on correctness. These tests adjudicate whether observed differences are both statistically reliable and practically meaningful, and they align with the Pareto and confusion-matrix views: the top group (ViT-B/16, EfficientNetV2-S, QSVM) is consistently separated from QKNN and classical baselines, with QCNN occupying a distinct, low-FX/low-accuracy corner.\nFrom a deployment perspective, the results translate into simple decision rules. For edge/on-device use (FX ≤ 30 s, Cls ≤ 1 s), QKNN is the most deployment-friendly; when accuracy demands exceed QKNN, a lean or partially frozen EfficientNetV2-S at 224 px and batch 16–32 is a viable alternative. For low-latency servers (30 < FX ≤ 60 s), QSVM with RBF (C = 10) provides the best accuracy-per-compute, while QKNN remains attractive when memory or cold-start dominates. For balanced regimes (60 < FX ≤ 1200 s), QSVM offers stable performance, and top-5 EfficientNetV2-S configurations can be selected when higher ceilings are needed while monitoring FX. In accuracy-first/offline scenarios (FX > 1200 s acceptable), ViT-B/16 is preferred (low LR, early stopping), with EfficientNetV2-S as an alternative if FX controls (lower resolution/partial unfreeze) are applied. In all cases, we recommend AU-aware augmentation to target the two confusion families and post-hoc calibration (temperature/Platt) with confidence thresholds to gate low-certainty outputs.\nThe principal limitations arise from dataset scope and class balance. Our analysis centres on the RAF-DB compound subset; external validity should be probed via AffectNet, FERPlus/FER2013, and ExpW with cross-dataset transfer tests. Low-arousal categories remain unstable, indicating the value of targeted augmentation (GAN-based synthesis, AU-guided morphs) and temporal supervision (short clips). Fairness and robustness require explicit treatment: report performance by demographic proxies (e.g., gender/age/skin-tone if available) and flag any subgroup gap exceeding 5 percentage points in macro-F1 or accuracy; quantify resilience to lighting/occlusion/pose via stress curves and enforce a < 3 pp drop per perturbation step as a release threshold; measure calibration (ECE, Brier) and deploy post-hoc calibration and confidence gating. On the quantum side, a comprehensive depth-and-noise sweep across all quantum variants is outside the present experimental scope. Instead, a focused depth comparison is reported for HQKNN (depth 3 vs 4) under a fixed shot budget, and the discussion contextualises why shallow circuits are a pragmatic operating point for dataset-scale feasibility. Broader noise-aware studies for QSVM and QCNN are left as future work within the same protocol.\nTaken together, these findings position each family at a distinct operating point on the accuracy–efficiency frontier and convert that map into actionable guidance for practitioners. The unified protocol, ablations, and statistical analysis provide a reproducible basis for future comparisons, while the fairness, robustness, and quantum-design recommendations chart concrete next steps toward scalable, low-latency compound FER.\n\n\n### Conclusions\nUnder a unified, compute-accounted protocol on RAF-DB compounds, ViT-B/16 delivers the highest accuracy; EfficientNetV2-S is the strongest CNN baseline, though FX-heavy at its peak; quantum hybrids shift the efficiency frontier with QSVM leading in accuracy at moderate FX, QKNN minimising extraction latency, and QCNN offering the lightest FX but lower accuracy. Stable confusions along fear–surprise and sadness–disgust highlight the need for AU-aware local cues, margin-shaping objectives (e.g., tuned quantum kernels/contrastive losses), calibration, and fairness-aware augmentation. These findings translate into clear deployment rules (edge/low-latency/balanced/accuracy-first) and set an agenda for cross-dataset validation and calibrated reporting.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.\nSupplementary Material 1.\nSupplementary Material 1.", "domain": "affective_neuroscience"}
{"source": "PMC13028395", "title": "An Underestimation Bias in the Numerical Perception of Rewarding Stimuli: An ERP Study", "text": "# An Underestimation Bias in the Numerical Perception of Rewarding Stimuli: An ERP Study\n\n## Abstract\nNumber sense, the ability to rapidly perceive, estimate, and understand relationships between quantities, constitutes a fundamental basis for mathematical cognition. However, the extent to which it is modulated by top-down regulatory processes remains poorly understood. Rewards inherently carry quantitative attributes of abundance and scarcity, and prospect theory further suggests that individuals tend to underestimate rewards and overestimate punishments of equal magnitude, implying that the perception of reward quantities may be systematically biased. To address this issue, the present study employed EEG to examine how reward-related properties of stimuli modulate number sense, using socially relevant reward stimuli as experimental materials. Behavioral results demonstrated that rewarding stimuli were underestimated compared to neutral and punishing stimuli, while punishing stimuli were overestimated relative to neutral stimuli. EEG analyses revealed that at number-sensitive electrodes (PO7, PO8, Oz), the C1 component was sensitive to reward properties; the N1 component at PO7 was specifically sensitive to punishment; and in the P2p time window, neutral stimuli elicited the largest amplitudes, suggesting inhibitory processing of reward-related attributes during quantity perception. Together, these findings indicate that reward-based modulation of number sense occurs unconsciously and follows a dynamic temporal profile.\n\n## Full Text\n\n\n### 1. Introduction\nMathematical ability represents a cornerstone of human cognition. A fundamental component underlying mathematical learning is number sense—a cognitive capacity that reflects the brain’s extraction and representation of quantitative information from visual stimuli, forming the basis for higher-level mathematical skills such as arithmetic computation (Butterworth, 2005; Halberda et al., 2009; Van Bueren et al., 2022). Similar to the role of phonological processing in reading development, number sense serves as a reliable predictor of mathematical achievement (Ansari & Karmiloff-Smith, 2002). This capacity is widely observed across ages and species, including human infants, non-human primates, and even invertebrates (Brannon, 2006; Gross et al., 2009; Nieder et al., 2002), with evidence suggesting that number sense in infancy lays the foundation for later mathematical abilities (Starr et al., 2013). Given its critical role, a robust number sense is essential for mathematical proficiency. However, numerical processing is not a closed system; its neural substrates, such as the parietal–prefrontal network, are also modulated by multiple cognitive factors (Nieder, 2025). The medial temporal lobe (MTL) further supports arithmetic working memory through static and dynamic coding mechanisms (Kutter et al., 2022). Similar to transitive inference, number sense also exhibits a distance effect (Park et al., 2015; Surabhi et al., 2022). It is therefore imperative to investigate how number sense is modulated by other cognitive and environmental influences, such as how understanding can inform and enhance instructional practices in mathematics education.\nNumerosity is considered a primary visual attribute, comparable to color, orientation, and contrast, which the visual system can process automatically to extract meaning (Park et al., 2015). Furthermore, numerical perception operates largely independently of low-level visual features such as orientation and color (Allïk & Tuulmets, 1991), and is not modality-specific, being evident across visual, auditory, and tactile domains (Starkey et al., 1990). This suggests that numerosity processing may constitute a relatively independent cognitive system. EEG studies have shown that during quantity processing, numerosity elicits greater amplitude modulations over midline occipital and bilateral occipitoparietal regions compared to other visual attributes like area or density (Park et al., 2015). Numerosity discrimination begins in the early visual cortex, as indicated by the sensitivity of the C1 and P2p ERP components to numerical information (Fornaciai et al., 2017). A fully developed number sense emerges as early as the V3 area in the occipital cortex (Fornaciai & Park, 2018), and the first negative component (N1) after stimulus onset also demonstrates sensitivity to numerosity (Yao et al., 2023). Additionally, number sense shares characteristics with other sensory modalities; for instance, adaptation leads to underestimation of large numerosity and overestimation of small ones (Burr & Ross, 2008). Moreover, topological properties, such as connectivity and closure, also constrain numerical judgments, resulting in systematic underestimation (He et al., 2015), further supporting the status of numerosity as a fundamental visual attribute. In summary, evidence converges to indicate that numerosity perception is a precise process relatively independent of top-down modulation, with other factors primarily influencing it by inducing overestimation or underestimation effects. Given that adaptation and topological perception represent fundamental properties of sensory systems (Burr et al., 2025; Burr & Ross, 2008; Chen, 1982), numerosity appears to be primarily governed by such low-level perceptual mechanisms.\nHowever, a growing body of research demonstrates that numerical perception is also susceptible to modulation by higher-order cognitive processes, including emotional states. For example, exposure to a positive emotional face prior to a numerosity judgment task has been shown to induce a systematic underestimation of quantities (Lewis et al., 2018). Moreover, individuals with high levels of math anxiety exhibit reduced precision in their Approximate Number System (ANS) compared to their non-anxious peers. Notably, even when presented with identical visual stimuli, ANS acuity is generally higher during active tasks than during passive viewing conditions (Maldonado Moscoso et al., 2020; Mielicki et al., 2024). These findings collectively suggest that top-down influences can introduce systematic biases—either overestimation or underestimation—into quantitative judgments. However, there is no empirical evidence that these biases follow predictable systematic patterns. Insights from prospect theory, particularly the principle of loss aversion, posit that the psychological impact of a loss outweighs that of an equivalent gain (Kőszegi & Rabin, 2006). This asymmetry implies that when individuals evaluate quantities associated with rewards, their judgments may not rely solely on an autonomous number sense but could be influenced by a higher-order cognitive weighting of value. Consequently, it remains unclear whether rewarding stimuli lead to systematic underestimation in number sense.\nRewards—defined as desirable, attractive, and positive outcomes of behavior—play a critical role in modulating and sustaining the frequency and intensity of associated actions (Schultz, 2015). Such motivational signals significantly influence performance across a range of visual tasks. According to value-driven attentional capture theory, stimuli previously associated with reward, even when task-irrelevant, receive prioritized attentional resources, whether the rewards are monetary or social in nature (Anderson et al., 2011). Empirical studies consistently demonstrate that both social rewards (e.g., positive facial feedback) and non-social rewards (e.g., monetary incentives) accelerate attentional allocation (Diao et al., 2024; Gao et al., 2024; Zhao et al., 2020). However, the behavioral consequences of reward are not uniform: social rewards have been shown to either enhance task performance (Gao et al., 2024; Hodsoll et al., 2011), or disrupt the identification of subsequent stimuli, thereby impairing performance (Gutiérrez-Cobo et al., 2019). Similarly, non-social reward cues can improve perceptual precision at the encoding stage (Cheng et al., 2021), and the anticipation of monetary rewards has been found to increase response accuracy (Wolf & Lappe, 2023). Neuroimaging studies suggest that reward-related modulations of attention involve dynamic interactions across multiple large-scale brain networks, including the reward circuit, default mode network, frontoparietal network, dorsal attention network, and salience network (Yankouskaya et al., 2022). These networks reconfigure their functional topology to accommodate the processing of reward and affective valence. Specifically, the medial orbitofrontal cortex represents various types of rewards, whereas the lateral orbitofrontal cortex encodes punishments (Rolls et al., 2020). Electrophysiological markers further illuminate the temporal dynamics of reward processing: the feedback-related negativity (FRN), a negative-going component peaking between 200 and 300 ms after feedback over frontal–midline sites (e.g., Fz, FCz, Cz), is typically larger following non-reward or loss outcomes compared to rewards. This component is thought to reflect dopaminergic prediction error signals originating from the anterior cingulate cortex (Glazer et al., 2018; Zhou et al., 2010). Additionally, reward motivation enhances the amplitude of the P300 component at central and parietal sites (e.g., Cz, Pz) relative to non-motivated conditions (Kaya et al., 2022). In summary, reward-induced neural changes predominantly emerge over frontal–midline and occipitoparietal regions within a time window of approximately 200–300 ms post-stimulus.\nEmerging evidence suggests that social rewards can modulate number sense (Lewis et al., 2018). However, this modulation appears to stem not from the intrinsic reward properties of the numerical stimuli themselves, but rather from the carryover effects of reward-related items that are independent of the numerosity judgment task. Although extensive research has demonstrated the influence of reward on attentional processes, the majority of studies have focused on how reward-induced biases accelerate or delay reaction times in attention-oriented tasks. Few investigations have examined whether direct exposure to reward-associated stimuli elicits perceptual biases that interfere with basic perceptual processes, and the underlying cognitive and neural mechanisms of such effects remain largely unexplored.\nTherefore, the present study aims to investigate whether a systematic perceptual bias occurs when humans quantify reward-related stimuli, with the specific hypothesis that individuals tend to underestimate the numerosity of reward items compared to non-rewarding items. To explore the underlying neural correlates of this effect, electroencephalography (EEG) will be employed to record brain activity during the task. In line with prior work, rewarding stimuli are categorized into social and non-social types (Gu et al., 2019; Matyjek et al., 2020; Sailer et al., 2023). Given existing evidence that happy expressions modulate number sense (Lewis et al., 2018), and to avoid overburdening participants that would result from simultaneously including non-social reward stimuli, we selected facial expression symbols from the social reward domain as experimental materials. Previous research supports the use of emojis as valid proxies for emotional expressions (Jaeger et al., 2019; Jaeger & Ares, 2017). Accordingly, we employed emoji packs as stimulus sets, with happy, neutral, and sad expressions representing the three experimental conditions. The use of emojis helps control for potential confounds such as facial gender and reduces overall participant fatigue. Indeed, although positive emotions are considered social rewards, they cannot completely decouple emotional and reward attributes—a disadvantage of facial expression stimuli given the distinct differences between the reward system and the emotional system (Chakravarthula & Padmala, 2023). Nevertheless, such stimuli offer a clear advantage; facial expressions can encompass both positive and negative valence (Russell, 1980), which represents a strength over monetary rewards, as the latter typically associate punishment with financial loss—a feature not incorporated into the reinforcement behavior within the present paradigm.\nFor behavioral measures, the point of subjective equality (PSE) was adopted as an indicator of numerical underestimation, consistent with previous studies (He et al., 2015). The PSE represents the physical stimulus value at which participants perceive two alternatives as equal with 50% probability (Fechner, 1948). A higher PSE reflects that a greater physical quantity is needed to support a “different” judgment, indicating perceptual underestimation; conversely, a lower PSE suggests overestimation. We hypothesized that happy stimuli would elicit a significantly higher PSE compared to neutral and sad stimuli, whereas sad stimuli would yield a significantly lower PSE relative to both neutral and happy conditions. For EEG measures, electrodes PO7, PO8, and Oz were selected as regions of interest for assessing numerosity processing, based on their established sensitivity to early visual and numerical processing (Fornaciai et al., 2017; Fornaciai & Park, 2017; Park et al., 2015; Yao et al., 2023). The C1, N1, and P2p components were chosen as target ERP markers of early visual and numerical stages. We expected that reward-related modulation would manifest in these early components, supporting the view that reward exerts an unconscious and automatic influence on number sense.\n\n\n### 2. Method\nBased on an a priori power analysis conducted using G*Power 3.1.7, a minimum sample size of 34 participants was required to achieve a statistical power of 0.8. To account for potential attrition or exclusion due to data quality issues, a total of 40 participants were recruited, ensuring adequate statistical power for the study. The experimental procedures received ethical approval from the Ethics Committee of Suzhou University of Science and Technology. All participants were right-handed, had normal or corrected-to-normal vision, reported no history of color blindness or visual deficiencies, and had no known neurological or psychiatric disorders. Prior to participation, each individual provided written informed consent and received course credit upon completion of the study. Investigations were conducted in accordance with the principles outlined in the Declaration of Helsinki (1975, revised in 2013).\nExperimental stimulus materials were all generated using MATLAB 2022b.\nTarget stimuli: Different numbers of emoji symbols were drawn within a 600 × 600 pixel white (RGB: 255, 255, 255) background square. All emoji symbols were uniformly set to 70 × 70 pixels, with random positions and densities, corresponding to a visual angle of 18.32°. The number of expressions included seven levels: 9, 10, 11, 12, 13, 14, and 15. Expression types were divided into three conditions—happy faces (rewards), sad faces (punishments), and neutral faces (controls)—ultimately forming 7 (quantities) × 3 (expression types) = 21 types of target stimulus materials. Each type of stimulus was randomly generated 30 times, resulting in a total of 630 target stimuli.\nStandard stimuli: Using the same method, 12 neutral expression symbols were fixed and used, with their positions and density distributions randomly generated. All expression symbols were 70 × 70 pixels in size, drawn within a 600 × 600 pixel white background square, generating a total of 630 standard stimuli. Material details are shown in Figure 1.\nThe experiment was conducted in a soundproof, dark room, with participants wearing a 64-channel electrode cap, with their eyes maintaining a 60 cm distance from a 27-inch 2K resolution monitor (Chinese VOC brand DR400 model, refresh rate 144 Hz, the monitor placed on a 200 × 80 × 70 cm experimental table), corresponding to a visual angle of 18.32°. Visual stimulus presentation was controlled through the Screen function in Psychtoolbox-3 (version 3.0.18) running on the MATLAB R2022a platform. After starting the experimental program, participants first read the task instructions, then completed a practice phase to familiarize themselves with the procedure. The practice phase included only two extreme quantity conditions (9 and 15 emoji symbols) and three expression types (happy faces, sad faces, and neutral faces), with each condition repeated 3 times, for a total of 18 practice trials. Only when the participant’s accuracy rate exceeded 60% could they proceed with the formal experiment, thereby excluding random responses and providing a basis for subsequently eliminating unresponsive participants.\nIn the formal experiment, a gray background (RGB: 128, 128, 128) screen first presented a fixation point in the center for 500–1000 ms, followed by the standard stimulus and target stimulus presented simultaneously at balanced left and right positions on the screen (horizontally centered, eccentricity 14.2°) for 150–250 ms (presentation duration determined by frame-based time conversion: target duration divided by single frame duration and rounded, with 150 ms, 200 ms, and 250 ms conditions corresponding to 22 frames/152.78 ms, 29 frames/201.39 ms, and 36 frames/250 ms respectively). After the stimuli disappeared, a 2 s “Please respond” prompt appeared in the center of the screen. If participants believed the left dot array had more quantity, they pressed the “F” key; otherwise, they pressed the “J” key. Each trial was followed by a 1 s interval before entering the next trial. The experiment consisted of a total of 630 trials, with the entire process taking 42 min (±3 min to include individualized rest time). The procedure is shown in Figure 1.\nBased on the principles of the method of constant stimuli, we established a psychophysical curve relating stimulus intensity to the frequency of “greater” judgments, and calculated the stimulus intensity at which participants produced a “greater” response probability of 50% through linear interpolation, thereby obtaining the point of subjective equality (PSE). Data analysis was performed using R-4.4.0 and RStudio 2024.04.0: first, the ‘dplyr’, ‘tidyr’, and ‘quickpsy’ packages were loaded, followed by the use of the ‘group_by’ function to calculate the “greater” response frequency for each participant under different stimulus conditions (frequency = number of “greater” judgments/total trials for that condition). The data were divided by stimulus type, and the ‘quickpsy’ function was used to fit a cumulative Gaussian model with frequency as the dependent variable and stimulus quantity as the independent variable. This model predicts the stimulus quantity corresponding to a 50% “greater” response rate, which serves as the PSE for each participant, representing the subjective equivalence point when perceiving the target stimulus as equal in quantity to the standard stimulus (fixed at 12). Finally, all participants’ PSEs were aggregated for repeated measures analysis of variance.\nStatistical analysis was conducted using SPSS 27.0. Under the general linear model framework, repeated measures analysis of variance was performed: a within-subjects factor with three levels (happy, sad, neutral) was defined, and the behavioral experimental results were tested with PSE as the dependent variable.\nEEG data were acquired using 64 Ag-AgCl electrodes arranged according to the international 10–20 system, and the signals were recorded with a sampling rate of 1000 Hz and a bandwidth of 0–80 Hz, ensuring high temporal resolution. Signal amplification was performed with the Neuroscan SynAmps2 system, which offers 24 bit resolution for precise data capture. Impedances were kept below 10 kΩ for all electrodes. All scalp electrodes and EOG signals were referenced to CPz during recording.\nEEG data were preprocessed using EEGLAB. The downsampling rate was 512 Hz, bandpass filtering was performed between 0.01~30 Hz, and re-referencing was done using the whole-brain average. Subsequently, ICA analysis was conducted, rejecting “Eye” and “Muscle” artifacts with a probability range from 0.8 to 1. Bad segments were automatically removed based on a ±100 μV criterion (Keil et al., 2014). Epochs were extracted from continuously recorded EEGs relative to the onset of number pairs, 200 ms preceding and 600 ms after the stimuli. One participant was excluded because the bad segment rejection rate was too high (>20%); ultimately, 39 qualified datasets entered the final analysis. Each experimental condition had an average of 201 trials, with no significant differences in the number of trials across conditions. Using the ERPLAB plugin, the average amplitude, negative peak, and latency of the C1 (50–100 ms), N1 (170–260 ms) and P2p (270–360 ms) components at electrodes PO7, PO8, and Oz were exported. Repeated measures analysis of variance was then performed using R language to examine the main effect differences in stimulus types.\n\n\n### 2.1. Participant\nBased on an a priori power analysis conducted using G*Power 3.1.7, a minimum sample size of 34 participants was required to achieve a statistical power of 0.8. To account for potential attrition or exclusion due to data quality issues, a total of 40 participants were recruited, ensuring adequate statistical power for the study. The experimental procedures received ethical approval from the Ethics Committee of Suzhou University of Science and Technology. All participants were right-handed, had normal or corrected-to-normal vision, reported no history of color blindness or visual deficiencies, and had no known neurological or psychiatric disorders. Prior to participation, each individual provided written informed consent and received course credit upon completion of the study. Investigations were conducted in accordance with the principles outlined in the Declaration of Helsinki (1975, revised in 2013).\n\n\n### 2.2. Materials\nExperimental stimulus materials were all generated using MATLAB 2022b.\nTarget stimuli: Different numbers of emoji symbols were drawn within a 600 × 600 pixel white (RGB: 255, 255, 255) background square. All emoji symbols were uniformly set to 70 × 70 pixels, with random positions and densities, corresponding to a visual angle of 18.32°. The number of expressions included seven levels: 9, 10, 11, 12, 13, 14, and 15. Expression types were divided into three conditions—happy faces (rewards), sad faces (punishments), and neutral faces (controls)—ultimately forming 7 (quantities) × 3 (expression types) = 21 types of target stimulus materials. Each type of stimulus was randomly generated 30 times, resulting in a total of 630 target stimuli.\nStandard stimuli: Using the same method, 12 neutral expression symbols were fixed and used, with their positions and density distributions randomly generated. All expression symbols were 70 × 70 pixels in size, drawn within a 600 × 600 pixel white background square, generating a total of 630 standard stimuli. Material details are shown in Figure 1.\n\n\n### 2.3. Procedure\nThe experiment was conducted in a soundproof, dark room, with participants wearing a 64-channel electrode cap, with their eyes maintaining a 60 cm distance from a 27-inch 2K resolution monitor (Chinese VOC brand DR400 model, refresh rate 144 Hz, the monitor placed on a 200 × 80 × 70 cm experimental table), corresponding to a visual angle of 18.32°. Visual stimulus presentation was controlled through the Screen function in Psychtoolbox-3 (version 3.0.18) running on the MATLAB R2022a platform. After starting the experimental program, participants first read the task instructions, then completed a practice phase to familiarize themselves with the procedure. The practice phase included only two extreme quantity conditions (9 and 15 emoji symbols) and three expression types (happy faces, sad faces, and neutral faces), with each condition repeated 3 times, for a total of 18 practice trials. Only when the participant’s accuracy rate exceeded 60% could they proceed with the formal experiment, thereby excluding random responses and providing a basis for subsequently eliminating unresponsive participants.\nIn the formal experiment, a gray background (RGB: 128, 128, 128) screen first presented a fixation point in the center for 500–1000 ms, followed by the standard stimulus and target stimulus presented simultaneously at balanced left and right positions on the screen (horizontally centered, eccentricity 14.2°) for 150–250 ms (presentation duration determined by frame-based time conversion: target duration divided by single frame duration and rounded, with 150 ms, 200 ms, and 250 ms conditions corresponding to 22 frames/152.78 ms, 29 frames/201.39 ms, and 36 frames/250 ms respectively). After the stimuli disappeared, a 2 s “Please respond” prompt appeared in the center of the screen. If participants believed the left dot array had more quantity, they pressed the “F” key; otherwise, they pressed the “J” key. Each trial was followed by a 1 s interval before entering the next trial. The experiment consisted of a total of 630 trials, with the entire process taking 42 min (±3 min to include individualized rest time). The procedure is shown in Figure 1.\n\n\n### 2.4. Behavioral Analysis\nBased on the principles of the method of constant stimuli, we established a psychophysical curve relating stimulus intensity to the frequency of “greater” judgments, and calculated the stimulus intensity at which participants produced a “greater” response probability of 50% through linear interpolation, thereby obtaining the point of subjective equality (PSE). Data analysis was performed using R-4.4.0 and RStudio 2024.04.0: first, the ‘dplyr’, ‘tidyr’, and ‘quickpsy’ packages were loaded, followed by the use of the ‘group_by’ function to calculate the “greater” response frequency for each participant under different stimulus conditions (frequency = number of “greater” judgments/total trials for that condition). The data were divided by stimulus type, and the ‘quickpsy’ function was used to fit a cumulative Gaussian model with frequency as the dependent variable and stimulus quantity as the independent variable. This model predicts the stimulus quantity corresponding to a 50% “greater” response rate, which serves as the PSE for each participant, representing the subjective equivalence point when perceiving the target stimulus as equal in quantity to the standard stimulus (fixed at 12). Finally, all participants’ PSEs were aggregated for repeated measures analysis of variance.\nStatistical analysis was conducted using SPSS 27.0. Under the general linear model framework, repeated measures analysis of variance was performed: a within-subjects factor with three levels (happy, sad, neutral) was defined, and the behavioral experimental results were tested with PSE as the dependent variable.\n\n\n### 2.5. Electrophysiological Recordings\nEEG data were acquired using 64 Ag-AgCl electrodes arranged according to the international 10–20 system, and the signals were recorded with a sampling rate of 1000 Hz and a bandwidth of 0–80 Hz, ensuring high temporal resolution. Signal amplification was performed with the Neuroscan SynAmps2 system, which offers 24 bit resolution for precise data capture. Impedances were kept below 10 kΩ for all electrodes. All scalp electrodes and EOG signals were referenced to CPz during recording.\n\n\n### 2.6. EEG Data Analysis\nEEG data were preprocessed using EEGLAB. The downsampling rate was 512 Hz, bandpass filtering was performed between 0.01~30 Hz, and re-referencing was done using the whole-brain average. Subsequently, ICA analysis was conducted, rejecting “Eye” and “Muscle” artifacts with a probability range from 0.8 to 1. Bad segments were automatically removed based on a ±100 μV criterion (Keil et al., 2014). Epochs were extracted from continuously recorded EEGs relative to the onset of number pairs, 200 ms preceding and 600 ms after the stimuli. One participant was excluded because the bad segment rejection rate was too high (>20%); ultimately, 39 qualified datasets entered the final analysis. Each experimental condition had an average of 201 trials, with no significant differences in the number of trials across conditions. Using the ERPLAB plugin, the average amplitude, negative peak, and latency of the C1 (50–100 ms), N1 (170–260 ms) and P2p (270–360 ms) components at electrodes PO7, PO8, and Oz were exported. Repeated measures analysis of variance was then performed using R language to examine the main effect differences in stimulus types.\n\n\n### 3. Result\nDescriptive statistics for RT and the PSE across these conditions are detailed in Table 1.\nA repeated measures ANOVA on RT across stimulus types revealed a significant main effect of stimuli type, F(2, 76) = 8.140, p < 0.001, η2p = 0.176. Post hoc comparisons (Sidak-corrected) indicated that: the RT for the happy condition was significantly faster than the sad condition (Mdiff = 0.013, 95% CI [0.008, 0.018], p = 0.012), and the neutral condition was significantly faster than the sad condition (Mdiff = 0.017, 95% CI [0.012, 0.021], p = 0.001).\nTo test whether reward attributes lead to numerical underestimation, a repeated measures ANOVA on PSE across stimulus types revealed a significant main effect of stimuli type, F(2, 76) = 79.900, p < 0.001, η2p = 0.678. Post hoc comparisons (Sidak-corrected) indicated that: the PSE for the happy condition was significantly higher than both the sad condition (Mdiff = 1.318, 95% CI [1.059, 1.576], p < 0.001) and the neutral condition (Mdiff = 0.632, 95% CI [0.471, 0.792], p < 0.001). The PSE for the neutral condition was also significantly higher than that of the sad condition (Mdiff = 0.686, 95% CI [0.483, 0.888], p < 0.001). The details are shown in Figure 2.\nTo provide a more comprehensive characterization of the effects of emotional valence on numerical perception, we fitted cumulative normal psychometric functions to each participant’s data in each condition using the quickpsy package in R (Linares & López-Moliner, 2016). In addition to the PSE, we extracted the slope parameter (defined as 1/σ, where σ is the scale parameter) and computed the just noticeable difference (JND = ln(3)/slope ≈ 1.0986/slope) as an index of perceptual precision.\nAll participant–condition combinations yielded successful convergence, with excellent model fit across the board (mean deviance = 0.213, mean log-likelihood = −3.28; all deviances < 1).\nA repeated measures ANOVA on JND (with participant as a random effect) revealed no significant main effect of stimulus type, F(2, 112) = 0.094, p = 0.910, η2p < 0.01. This indicates that perceptual sensitivity to numerical differences did not differ significantly across the happy, neutral, and sad conditions. Together with the significant effects observed on PSE, these results suggest that emotional valence primarily modulates numerical estimation bias rather than perceptual precision.\nTo examine the modulation of stimulus attributes on early number sense-related brain regions, we performed ERP analysis. According to previous studies (Park et al., 2015) three electrodes (PO7, PO8 and Oz) from the parietal region were chosen. The mean amplitudes of C1 (50–100 ms), N1 (170–260 ms) and P2p (270–360 ms) in the signals recorded at the PO7, PO8 and OZ electrodes were separately analyzed. The details are shown in Figure 3.\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that for the C1 component (50–100 ms), the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.284, p = 0.043, η2p = 0.080. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.224, p = 0.044, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.188, p = 0.040. At the PO8 electrode, the main effect of stimulus type was significant, F(2, 76) = 4.028, p = 0.022, η2p = 0.096. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.182, p = 0.036, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.237, p = 0.018. At the Oz electrode, the main effect of stimulus type was significant, F(2, 76) = 4.185, p = 0.012, η2p = 0.099. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.215, p = 0.010, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.220, p = 0.021.\nWith stimulus type as the independent variable and negative peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO8 electrode was significant, F(2, 76) = 6.363, p = 0.003, η2p = 0.143. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for neutral stimuli, Mdiff = 0.204, p = 0.031, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = −0.348, p = 0.003.\nWith negative peak latency as the dependent variable and stimulus type as the independent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the OZ electrode was significant, F(2, 76) = 4.729, p = 0.012, η2p = 0.111. Post hoc tests showed that the latency for happy stimuli was significantly shorter than for neutral stimuli, Mdiff = 5.810, p = 0.022, and the latency for sad stimuli was significantly shorter than for neutral stimuli, Mdiff = 6.510, p = 0.012. The details are shown in Figure 4.\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that for the N1 component (170–260 ms), the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.281, p = 0.043, η2p = 0.079. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.248, p = 0.047, and the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.207, p = 0.039.\nWith stimulus type as the independent variable and negative peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.799, p = 0.027, η2p = 0.091. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.698, p = 0.023, and the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.585, p = 0.009.\nOn the target electrodes, there were no significant differences in peak latency. The details are shown in Figure 5.\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 28.190, p < 0.001, η2p = 0.426. Post hoc comparisons showed that the amplitude for neutral stimuli was significantly greater than for happy stimuli, Mdiff = 0.327, p = 0.002, significantly greater than for sad stimuli, Mdiff = 0.992, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.664, p < 0.001. At the PO8 electrode, the main effect of stimulus type was significant, F(2, 76) = 14.140, p < 0.001, η2p = 0.271. Post hoc tests showed that the amplitude for neutral stimuli was marginally significantly greater than for happy stimuli, Mdiff = 0.193, p = 0.056, significantly greater than for sad stimuli, Mdiff = 0.662, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.469, p = 0.001. At the Oz electrode, the main effect was significant, F(2, 76) = 14.499, p < 0.001, η2p = 0.276. Post hoc tests showed that the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.628, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.464, p < 0.001.\nWith stimulus type as the independent variable and peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at electrode PO7 was significant, F(2, 76) = 21.606, p < 0.001, η2p = 0.362. Post hoc comparisons indicated that neutral stimuli elicited significantly larger amplitudes than happy, Mdiff = 0.384, p = 0.001, and sad stimuli, Mdiff = 1.206, p < 0.001, and happy stimuli showed significantly larger amplitudes than sad stimuli, Mdiff = 0.822, p < 0.001. Similarly, a significant main effect was observed at PO8, F(2, 76) = 11.978, p < 0.001, η2p = 0.238, with neutral stimuli evoking larger amplitudes than both happy, Mdiff = 0.279, p = 0.035, and sad stimuli, Mdiff = 0.854, p < 0.001, and happy stimuli again exceeding sad stimuli, Mdiff = 0.575, p = 0.005. At electrode Oz, the main effect was also significant, F(2, 76) = 11.158, p < 0.001, η2p = 0.227. Post hoc comparisons indicated that neutral stimuli marginally exceeded happy stimuli, Mdiff = 0.263, p = 0.058, and were significantly larger than sad stimuli, Mdiff = 0.714, p < 0.001, while happy stimuli remained significantly larger than sad stimuli, Mdiff = 0.451, p = 0.010.\nAnalysis of latency yielded a significant main effect of stimulus type only at Oz, F(2, 76) = 3.461, p = 0.036, η2p = 0.083, with happy stimuli eliciting longer latencies than sad stimuli, Mdiff = 7.011, p = 0.032. No other pairwise comparisons reached significance. The details are shown in Figure 6.\nTo assess the relationship between electrophysiological signals and behavior, we fitted a linear mixed-effects model (pse_value ~ amplitude × electrode × stimulitype + (1|ID)).\nRegarding the C1 component, the main effect of amplitude was non-significant, F(1, 110.94) = 1.63, p = 0.205). However, its interaction with stimulus type showed a marginal trend, F(2, 296.26) = 2.34, p = 0.098). Neither the main effect of electrode site (PO7, PO8, OZ) nor any of its interactions were significant (all ps > 0.92), indicating consistent effects across these locations. Simple slope analysis (emmeans::emtrends, averaged across electrodes) revealed a significant negative relationship between C1 amplitude and PSE specifically for sad stimuli (b = −0.060, SE = 0.025, 95% CI [−0.109, −0.011]), where larger amplitudes were associated with lower PSE values. This relationship was non-significant and near zero for both happy (b = −0.014, 95% CI [−0.069, 0.040]) and neutral (b = 0.002, 95% CI [−0.048, 0.053]) conditions. Pairwise comparisons of the slopes (Tukey-corrected) showed that the negative slope for sad stimuli differed marginally from that for neutral stimuli (difference = 0.062, p = 0.094), but not from the happy condition (p = 0.307). These results suggest that the influence of C1 amplitude on perceptual thresholds is most pronounced for sad faces, implying that early visual processing may preferentially enhance sensitivity to negative information.\nFor the N1 component, the main effect of amplitude showed a marginal, overall negative trend (t = −1.83, p = 0.068). Critically, a significant amplitude-by-emotion interaction was observed, F(2, 296) = 4.17, p = 0.016. Simple slope analysis indicated a significant negative correlation between amplitude and PSE exclusively in the happy condition (b = −0.033, 95% CI [−0.057, −0.008], p = 0.040. The slope for happy stimuli was significantly different from those for both neutral (p = 0.042) and sad (p = 0.026) stimuli. Effects were again consistent across electrode sites (PO7, PO8, OZ), as neither the main effect nor any interactions involving the electrode were significant (all ps > 0.70).\nAnalysis of the P2p component revealed a non-significant main effect of amplitude, F(1, 109.52) = 0.03, p = 0.856), and a marginal amplitude-by-emotion interaction, F(2, 297.25) = 2.37, p = 0.095. Electrode site and its interactions were non-significant (all ps > 0.92), confirming effect consistency. Simple slope analysis (averaged across electrodes) showed only a weak, non-significant negative trend between P2p amplitude and PSE in the happy condition (b = −0.018, SE = 0.016, 95% CI [−0.049, 0.013]). The relationships for neutral (b = 0.003, 95% CI [−0.027, 0.033]) and sad (b = 0.022, 95% CI [−0.010, 0.053]) conditions were also non-significant and near zero. Pairwise slope comparisons yielded a marginal trend for the happy condition slope to differ from the sad condition slope (difference = −0.040, p = 0.078), but this was not statistically significant (other ps > 0.46). Overall, P2p amplitude exhibited a notably weaker predictive relationship with perceptual thresholds compared to the earlier C1 and N1 components, with only a slight negative trend observed in the happy context.\n\n\n### 3.1. Behavioral Results\nDescriptive statistics for RT and the PSE across these conditions are detailed in Table 1.\nA repeated measures ANOVA on RT across stimulus types revealed a significant main effect of stimuli type, F(2, 76) = 8.140, p < 0.001, η2p = 0.176. Post hoc comparisons (Sidak-corrected) indicated that: the RT for the happy condition was significantly faster than the sad condition (Mdiff = 0.013, 95% CI [0.008, 0.018], p = 0.012), and the neutral condition was significantly faster than the sad condition (Mdiff = 0.017, 95% CI [0.012, 0.021], p = 0.001).\nTo test whether reward attributes lead to numerical underestimation, a repeated measures ANOVA on PSE across stimulus types revealed a significant main effect of stimuli type, F(2, 76) = 79.900, p < 0.001, η2p = 0.678. Post hoc comparisons (Sidak-corrected) indicated that: the PSE for the happy condition was significantly higher than both the sad condition (Mdiff = 1.318, 95% CI [1.059, 1.576], p < 0.001) and the neutral condition (Mdiff = 0.632, 95% CI [0.471, 0.792], p < 0.001). The PSE for the neutral condition was also significantly higher than that of the sad condition (Mdiff = 0.686, 95% CI [0.483, 0.888], p < 0.001). The details are shown in Figure 2.\nTo provide a more comprehensive characterization of the effects of emotional valence on numerical perception, we fitted cumulative normal psychometric functions to each participant’s data in each condition using the quickpsy package in R (Linares & López-Moliner, 2016). In addition to the PSE, we extracted the slope parameter (defined as 1/σ, where σ is the scale parameter) and computed the just noticeable difference (JND = ln(3)/slope ≈ 1.0986/slope) as an index of perceptual precision.\nAll participant–condition combinations yielded successful convergence, with excellent model fit across the board (mean deviance = 0.213, mean log-likelihood = −3.28; all deviances < 1).\nA repeated measures ANOVA on JND (with participant as a random effect) revealed no significant main effect of stimulus type, F(2, 112) = 0.094, p = 0.910, η2p < 0.01. This indicates that perceptual sensitivity to numerical differences did not differ significantly across the happy, neutral, and sad conditions. Together with the significant effects observed on PSE, these results suggest that emotional valence primarily modulates numerical estimation bias rather than perceptual precision.\n\n\n### 3.2. ERP Results\nTo examine the modulation of stimulus attributes on early number sense-related brain regions, we performed ERP analysis. According to previous studies (Park et al., 2015) three electrodes (PO7, PO8 and Oz) from the parietal region were chosen. The mean amplitudes of C1 (50–100 ms), N1 (170–260 ms) and P2p (270–360 ms) in the signals recorded at the PO7, PO8 and OZ electrodes were separately analyzed. The details are shown in Figure 3.\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that for the C1 component (50–100 ms), the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.284, p = 0.043, η2p = 0.080. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.224, p = 0.044, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.188, p = 0.040. At the PO8 electrode, the main effect of stimulus type was significant, F(2, 76) = 4.028, p = 0.022, η2p = 0.096. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.182, p = 0.036, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.237, p = 0.018. At the Oz electrode, the main effect of stimulus type was significant, F(2, 76) = 4.185, p = 0.012, η2p = 0.099. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.215, p = 0.010, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.220, p = 0.021.\nWith stimulus type as the independent variable and negative peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO8 electrode was significant, F(2, 76) = 6.363, p = 0.003, η2p = 0.143. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for neutral stimuli, Mdiff = 0.204, p = 0.031, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = −0.348, p = 0.003.\nWith negative peak latency as the dependent variable and stimulus type as the independent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the OZ electrode was significant, F(2, 76) = 4.729, p = 0.012, η2p = 0.111. Post hoc tests showed that the latency for happy stimuli was significantly shorter than for neutral stimuli, Mdiff = 5.810, p = 0.022, and the latency for sad stimuli was significantly shorter than for neutral stimuli, Mdiff = 6.510, p = 0.012. The details are shown in Figure 4.\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that for the N1 component (170–260 ms), the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.281, p = 0.043, η2p = 0.079. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.248, p = 0.047, and the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.207, p = 0.039.\nWith stimulus type as the independent variable and negative peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.799, p = 0.027, η2p = 0.091. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.698, p = 0.023, and the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.585, p = 0.009.\nOn the target electrodes, there were no significant differences in peak latency. The details are shown in Figure 5.\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 28.190, p < 0.001, η2p = 0.426. Post hoc comparisons showed that the amplitude for neutral stimuli was significantly greater than for happy stimuli, Mdiff = 0.327, p = 0.002, significantly greater than for sad stimuli, Mdiff = 0.992, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.664, p < 0.001. At the PO8 electrode, the main effect of stimulus type was significant, F(2, 76) = 14.140, p < 0.001, η2p = 0.271. Post hoc tests showed that the amplitude for neutral stimuli was marginally significantly greater than for happy stimuli, Mdiff = 0.193, p = 0.056, significantly greater than for sad stimuli, Mdiff = 0.662, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.469, p = 0.001. At the Oz electrode, the main effect was significant, F(2, 76) = 14.499, p < 0.001, η2p = 0.276. Post hoc tests showed that the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.628, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.464, p < 0.001.\nWith stimulus type as the independent variable and peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at electrode PO7 was significant, F(2, 76) = 21.606, p < 0.001, η2p = 0.362. Post hoc comparisons indicated that neutral stimuli elicited significantly larger amplitudes than happy, Mdiff = 0.384, p = 0.001, and sad stimuli, Mdiff = 1.206, p < 0.001, and happy stimuli showed significantly larger amplitudes than sad stimuli, Mdiff = 0.822, p < 0.001. Similarly, a significant main effect was observed at PO8, F(2, 76) = 11.978, p < 0.001, η2p = 0.238, with neutral stimuli evoking larger amplitudes than both happy, Mdiff = 0.279, p = 0.035, and sad stimuli, Mdiff = 0.854, p < 0.001, and happy stimuli again exceeding sad stimuli, Mdiff = 0.575, p = 0.005. At electrode Oz, the main effect was also significant, F(2, 76) = 11.158, p < 0.001, η2p = 0.227. Post hoc comparisons indicated that neutral stimuli marginally exceeded happy stimuli, Mdiff = 0.263, p = 0.058, and were significantly larger than sad stimuli, Mdiff = 0.714, p < 0.001, while happy stimuli remained significantly larger than sad stimuli, Mdiff = 0.451, p = 0.010.\nAnalysis of latency yielded a significant main effect of stimulus type only at Oz, F(2, 76) = 3.461, p = 0.036, η2p = 0.083, with happy stimuli eliciting longer latencies than sad stimuli, Mdiff = 7.011, p = 0.032. No other pairwise comparisons reached significance. The details are shown in Figure 6.\n\n\n### 3.2.1. Analysis of C1 Component\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that for the C1 component (50–100 ms), the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.284, p = 0.043, η2p = 0.080. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.224, p = 0.044, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.188, p = 0.040. At the PO8 electrode, the main effect of stimulus type was significant, F(2, 76) = 4.028, p = 0.022, η2p = 0.096. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.182, p = 0.036, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.237, p = 0.018. At the Oz electrode, the main effect of stimulus type was significant, F(2, 76) = 4.185, p = 0.012, η2p = 0.099. Post hoc tests showed that the amplitude for happy stimuli was significantly smaller than for sad stimuli, Mdiff = 0.215, p = 0.010, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = 0.220, p = 0.021.\nWith stimulus type as the independent variable and negative peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO8 electrode was significant, F(2, 76) = 6.363, p = 0.003, η2p = 0.143. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for neutral stimuli, Mdiff = 0.204, p = 0.031, and the amplitude for neutral stimuli was significantly smaller than for sad stimuli, Mdiff = −0.348, p = 0.003.\nWith negative peak latency as the dependent variable and stimulus type as the independent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the OZ electrode was significant, F(2, 76) = 4.729, p = 0.012, η2p = 0.111. Post hoc tests showed that the latency for happy stimuli was significantly shorter than for neutral stimuli, Mdiff = 5.810, p = 0.022, and the latency for sad stimuli was significantly shorter than for neutral stimuli, Mdiff = 6.510, p = 0.012. The details are shown in Figure 4.\n\n\n### 3.2.2. Analysis of N1 Component\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that for the N1 component (170–260 ms), the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.281, p = 0.043, η2p = 0.079. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.248, p = 0.047, and the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.207, p = 0.039.\nWith stimulus type as the independent variable and negative peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 3.799, p = 0.027, η2p = 0.091. Post hoc tests showed that the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.698, p = 0.023, and the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.585, p = 0.009.\nOn the target electrodes, there were no significant differences in peak latency. The details are shown in Figure 5.\n\n\n### 3.2.3. Analysis of P2p Component\nWith stimulus type as the independent variable and mean amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at the PO7 electrode was significant, F(2, 76) = 28.190, p < 0.001, η2p = 0.426. Post hoc comparisons showed that the amplitude for neutral stimuli was significantly greater than for happy stimuli, Mdiff = 0.327, p = 0.002, significantly greater than for sad stimuli, Mdiff = 0.992, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.664, p < 0.001. At the PO8 electrode, the main effect of stimulus type was significant, F(2, 76) = 14.140, p < 0.001, η2p = 0.271. Post hoc tests showed that the amplitude for neutral stimuli was marginally significantly greater than for happy stimuli, Mdiff = 0.193, p = 0.056, significantly greater than for sad stimuli, Mdiff = 0.662, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.469, p = 0.001. At the Oz electrode, the main effect was significant, F(2, 76) = 14.499, p < 0.001, η2p = 0.276. Post hoc tests showed that the amplitude for neutral stimuli was significantly greater than for sad stimuli, Mdiff = 0.628, p < 0.001, and the amplitude for happy stimuli was significantly greater than for sad stimuli, Mdiff = 0.464, p < 0.001.\nWith stimulus type as the independent variable and peak amplitude as the dependent variable, a repeated ANOVA was performed. The results indicated that the main effect of stimulus type at electrode PO7 was significant, F(2, 76) = 21.606, p < 0.001, η2p = 0.362. Post hoc comparisons indicated that neutral stimuli elicited significantly larger amplitudes than happy, Mdiff = 0.384, p = 0.001, and sad stimuli, Mdiff = 1.206, p < 0.001, and happy stimuli showed significantly larger amplitudes than sad stimuli, Mdiff = 0.822, p < 0.001. Similarly, a significant main effect was observed at PO8, F(2, 76) = 11.978, p < 0.001, η2p = 0.238, with neutral stimuli evoking larger amplitudes than both happy, Mdiff = 0.279, p = 0.035, and sad stimuli, Mdiff = 0.854, p < 0.001, and happy stimuli again exceeding sad stimuli, Mdiff = 0.575, p = 0.005. At electrode Oz, the main effect was also significant, F(2, 76) = 11.158, p < 0.001, η2p = 0.227. Post hoc comparisons indicated that neutral stimuli marginally exceeded happy stimuli, Mdiff = 0.263, p = 0.058, and were significantly larger than sad stimuli, Mdiff = 0.714, p < 0.001, while happy stimuli remained significantly larger than sad stimuli, Mdiff = 0.451, p = 0.010.\nAnalysis of latency yielded a significant main effect of stimulus type only at Oz, F(2, 76) = 3.461, p = 0.036, η2p = 0.083, with happy stimuli eliciting longer latencies than sad stimuli, Mdiff = 7.011, p = 0.032. No other pairwise comparisons reached significance. The details are shown in Figure 6.\n\n\n### 3.3. Linear Mixed Model\nTo assess the relationship between electrophysiological signals and behavior, we fitted a linear mixed-effects model (pse_value ~ amplitude × electrode × stimulitype + (1|ID)).\nRegarding the C1 component, the main effect of amplitude was non-significant, F(1, 110.94) = 1.63, p = 0.205). However, its interaction with stimulus type showed a marginal trend, F(2, 296.26) = 2.34, p = 0.098). Neither the main effect of electrode site (PO7, PO8, OZ) nor any of its interactions were significant (all ps > 0.92), indicating consistent effects across these locations. Simple slope analysis (emmeans::emtrends, averaged across electrodes) revealed a significant negative relationship between C1 amplitude and PSE specifically for sad stimuli (b = −0.060, SE = 0.025, 95% CI [−0.109, −0.011]), where larger amplitudes were associated with lower PSE values. This relationship was non-significant and near zero for both happy (b = −0.014, 95% CI [−0.069, 0.040]) and neutral (b = 0.002, 95% CI [−0.048, 0.053]) conditions. Pairwise comparisons of the slopes (Tukey-corrected) showed that the negative slope for sad stimuli differed marginally from that for neutral stimuli (difference = 0.062, p = 0.094), but not from the happy condition (p = 0.307). These results suggest that the influence of C1 amplitude on perceptual thresholds is most pronounced for sad faces, implying that early visual processing may preferentially enhance sensitivity to negative information.\nFor the N1 component, the main effect of amplitude showed a marginal, overall negative trend (t = −1.83, p = 0.068). Critically, a significant amplitude-by-emotion interaction was observed, F(2, 296) = 4.17, p = 0.016. Simple slope analysis indicated a significant negative correlation between amplitude and PSE exclusively in the happy condition (b = −0.033, 95% CI [−0.057, −0.008], p = 0.040. The slope for happy stimuli was significantly different from those for both neutral (p = 0.042) and sad (p = 0.026) stimuli. Effects were again consistent across electrode sites (PO7, PO8, OZ), as neither the main effect nor any interactions involving the electrode were significant (all ps > 0.70).\nAnalysis of the P2p component revealed a non-significant main effect of amplitude, F(1, 109.52) = 0.03, p = 0.856), and a marginal amplitude-by-emotion interaction, F(2, 297.25) = 2.37, p = 0.095. Electrode site and its interactions were non-significant (all ps > 0.92), confirming effect consistency. Simple slope analysis (averaged across electrodes) showed only a weak, non-significant negative trend between P2p amplitude and PSE in the happy condition (b = −0.018, SE = 0.016, 95% CI [−0.049, 0.013]). The relationships for neutral (b = 0.003, 95% CI [−0.027, 0.033]) and sad (b = 0.022, 95% CI [−0.010, 0.053]) conditions were also non-significant and near zero. Pairwise slope comparisons yielded a marginal trend for the happy condition slope to differ from the sad condition slope (difference = −0.040, p = 0.078), but this was not statistically significant (other ps > 0.46). Overall, P2p amplitude exhibited a notably weaker predictive relationship with perceptual thresholds compared to the earlier C1 and N1 components, with only a slight negative trend observed in the happy context.\n\n\n### 4. Discussion\nWe examined whether stimulus reward properties systematically modulate numerical perception and explored the underlying neural correlates. Happy, neutral, and sad facial expressions were employed as rewarding, neutral, and punishing stimuli, respectively, to assess how social reward value influences number sense, with simultaneous EEG recording. Behavioral responses were evaluated using the point of subjective equality (He et al., 2015), while EEG activity was analyzed from numerosity-sensitive electrodes PO7, PO8, and Oz (Park et al., 2015; Yao et al., 2023). The following sections discuss the main findings separately.\nBehavioral results revealed that, compared to neutral and punishing stimuli, social reward stimuli elicited a significantly higher point of subjective equality (PSE) in numerosity judgments, indicating a systematic underestimation of reward-related quantities. In contrast, punishing stimuli yielded a significantly lower PSE relative to neutral stimuli, reflecting an overestimation effect. These findings are consistent with earlier reports of emotional influences on numerical perception (Lewis et al., 2018). A potential explanation lies in value-driven attentional salience mechanisms: reward-associated stimuli automatically capture attention (Anderson et al., 2011), and attentional allocation enhances perceptual salience (Carrasco et al., 2004). Specifically, reward-driven attention increases the perceived contrast of stimuli relative to neutral items (Qin et al., 2021). Previous work has demonstrated that enhanced physical contrast under mixed-stimulus conditions leads to numerical underestimation (Lei & Reeves, 2018, 2023). The present results suggest that attentionally mediated contrast enhancement may override baseline perceptual constraints, implying that reward-induced numerical underestimation originates from contrast modulations driven by attentional capture. Notably, while previous studies have emphasized reward’s influence on behavioral performance, this study is the first to demonstrate that intrinsic reward properties of stimuli can directly modulate the number sense process, resulting in underestimation for rewards and overestimation for punishments.\nEEG results for the C1 component (50–100 ms post-stimulus) revealed a significant main effect of stimulus type at electrodes PO7, PO8, and Oz. Post hoc tests indicated that across all three sites, happy stimuli elicited significantly smaller amplitudes than sad stimuli, and neutral stimuli also elicited significantly smaller amplitudes than sad stimuli. No other pairwise comparisons reached significance.\nThe C1 component, originating in the primary visual cortex, and the electrodes PO7, PO8, and Oz—established as key sites for early numerical perception (Park et al., 2015)—collectively indicate that reward-related properties modulate number sense at an initial, likely unconscious stage of visual processing. As the C1 manifests as a negative deflection at these electrodes, the larger absolute amplitudes evoked by happy and neutral stimuli relative to sad stimuli suggest that rewarding and neutral conditions elicit stronger early neural activity in the visual cortex compared to punishing stimuli. However, no significant difference was observed between happy and neutral stimuli. These findings align with previous reports that reward anticipation enhances EEG responses in early time windows (Verma, 2024). It further supported the role of reward valuation in shaping early sensory processing.\nFor the N1 component (170–260 ms post-stimulus), a significant main effect of stimulus type was observed at electrode PO7. Post hoc analyses revealed that happy stimuli elicited a significantly larger amplitude than sad stimuli, and neutral stimuli also elicited a significantly larger amplitude than sad stimuli. Given that the N1 manifests as a negative deflection, these results indicate that sad stimuli actually evoked a stronger neural response compared to both happy and neutral stimuli. Thus, relative to rewarding and neutral conditions, punishing stimuli enhanced EEG activity in the N1 time window. This amplification of N1 amplitude by negative stimuli is consistent with prior findings (Sun et al., 2012).\nThe N1 component, which is closely linked to number sense (Yao et al., 2023), demonstrates high sensitivity to quantitative variation and reflects the rapid, direct extraction of numerosity within the human visual pathway (Park et al., 2015; Van Rinsveld et al., 2020). The enhanced N1 amplitude elicited by punishing stimuli at the PO7 electrode suggests that punishment-related properties exert a modulatory influence on numerical processing. From a temporal perspective, these findings indicate that reward-related attributes are processed earlier than punishment-related attributes during visual number perception.\nFor the P2p component (270–360 ms post-stimulus onset), neutral stimuli elicited significantly larger amplitudes than both rewarding and punishing stimuli across electrodes PO7, PO8, and Oz. The P2p component, localized in parietal regions, is known to reflect sensitivity to numerical changes (Fornaciai et al., 2017), and is thought to represent relatively pure quantity extraction rather than integration with non-numerical visual attributes (Grasso et al., 2022). The enhanced amplitude for neutral stimuli suggests that, during the P2p time window, the influence of reward and punishment properties is suppressed, thereby helping to preserve the accuracy of numerosity processing. This pattern further supports the view that the P2p reflects a perceptual stage dedicated to the extraction of abstract numerical information. This may reflect that the brain exerts suppressive control over task-irrelevant reward attributes to ensure the accuracy of numerical information retrieval. The pattern of adopting distinct processing strategies across different temporal windows demonstrates a neural mechanism of dynamic regulation. This bears resemblance to the encoding dynamics in arithmetic rule processing: the hippocampus tends to employ a temporally stable ‘static coding’ to maintain rule information, whereas the parahippocampal cortex exhibits rapidly shifting dynamic coding (Kutter et al., 2022). While the tasks differ, this reflects that the brain adopts flexible strategies when processing mathematically related tasks.\nIt is worth noting that although the findings of this study highlight biases induced by reward attributes, the suppression of this bias by the P2p component shares similarities with the characteristic of transitive inference, which transcends the influence of associative values and reward reinforcement and relies primarily on implied order relationships (Gazes et al., 2012; Jensen et al., 2017). This similarity thus raises a question: Are non-symbolic number sense and transitive inference related? This warrants further exploration.\nThis study sought to investigate the influence of stimulus reward properties on numerical perception; however, several limitations should be noted.\nFirstly, although reward type was manipulated, the effect of reward magnitude—such as the differential impact of small versus large rewards on number sense—was not explored, leaving open questions regarding dose–response relationships in reward-based modulation.\nSecondly, even though the stimuli we employed can convey emotions such as happiness and sadness (Jaeger et al., 2019; Jaeger & Ares, 2017), in real-world emoji usage, individuals may still hold varying interpretations of their meanings. In future research, we plan to utilize emojis with ambiguous or contradictory meanings, such as the classic smiling emoji or the laughing-with-tears emoji. Participants will be differentiated through pre-experiment surveys—grouping those who perceive the smiling emoji as positive in one group and those who interpret it as negative in another—to examine the transferability of stimulus attributes. Certainly, we also verbally inquired with participants after the experiment about their interpretations of these facial expressions. The vast majority of participants indicated that these expressions indeed corresponded to positive, negative, and neutral emotions, which aligns with our experimental hypotheses.\nFurthermore, primary visual attributes were not systematically manipulated but were instead assigned randomly. Although, the analysis of JND indicated that perceptual sensitivity to numerical differences did not differ significantly across the happy, neutral, and sad conditions.\nFinally, as the sample consisted exclusively of young adults, the results should not be broadly generalized to other age groups without further validation in more diverse populations.\nAlthough positive emotions are often treated as social rewards, the reward and emotional systems are inherently dissociable (Chakravarthula & Padmala, 2023). The present study did not fully disentangle these constructs. Future work should therefore include control conditions that directly contrast monetary with emotional rewards to isolate their respective contributions. Also, future research might assess whether non-social rewards (e.g., monetary or food incentives) similarly modulate number sense, thereby extending the generalizability of these findings beyond social contexts. Additionally, it is worthwhile to adopt network-level analyses (e.g., reward–attention or frontoparietal systems), which would further elucidate how reward attributes engage distributed neural circuitry during numerical processing, thus strengthening the methodological rigor and the validity of the conclusions.\n\n\n### 4.1. Moderation of Social Rewarding/Punishing Stimuli\nBehavioral results revealed that, compared to neutral and punishing stimuli, social reward stimuli elicited a significantly higher point of subjective equality (PSE) in numerosity judgments, indicating a systematic underestimation of reward-related quantities. In contrast, punishing stimuli yielded a significantly lower PSE relative to neutral stimuli, reflecting an overestimation effect. These findings are consistent with earlier reports of emotional influences on numerical perception (Lewis et al., 2018). A potential explanation lies in value-driven attentional salience mechanisms: reward-associated stimuli automatically capture attention (Anderson et al., 2011), and attentional allocation enhances perceptual salience (Carrasco et al., 2004). Specifically, reward-driven attention increases the perceived contrast of stimuli relative to neutral items (Qin et al., 2021). Previous work has demonstrated that enhanced physical contrast under mixed-stimulus conditions leads to numerical underestimation (Lei & Reeves, 2018, 2023). The present results suggest that attentionally mediated contrast enhancement may override baseline perceptual constraints, implying that reward-induced numerical underestimation originates from contrast modulations driven by attentional capture. Notably, while previous studies have emphasized reward’s influence on behavioral performance, this study is the first to demonstrate that intrinsic reward properties of stimuli can directly modulate the number sense process, resulting in underestimation for rewards and overestimation for punishments.\n\n\n### 4.2. Early Moderation of Rewarding Stimuli on Number Sense\nEEG results for the C1 component (50–100 ms post-stimulus) revealed a significant main effect of stimulus type at electrodes PO7, PO8, and Oz. Post hoc tests indicated that across all three sites, happy stimuli elicited significantly smaller amplitudes than sad stimuli, and neutral stimuli also elicited significantly smaller amplitudes than sad stimuli. No other pairwise comparisons reached significance.\nThe C1 component, originating in the primary visual cortex, and the electrodes PO7, PO8, and Oz—established as key sites for early numerical perception (Park et al., 2015)—collectively indicate that reward-related properties modulate number sense at an initial, likely unconscious stage of visual processing. As the C1 manifests as a negative deflection at these electrodes, the larger absolute amplitudes evoked by happy and neutral stimuli relative to sad stimuli suggest that rewarding and neutral conditions elicit stronger early neural activity in the visual cortex compared to punishing stimuli. However, no significant difference was observed between happy and neutral stimuli. These findings align with previous reports that reward anticipation enhances EEG responses in early time windows (Verma, 2024). It further supported the role of reward valuation in shaping early sensory processing.\n\n\n### 4.3. Sensitivity of N1 to Punishing Stimuli\nFor the N1 component (170–260 ms post-stimulus), a significant main effect of stimulus type was observed at electrode PO7. Post hoc analyses revealed that happy stimuli elicited a significantly larger amplitude than sad stimuli, and neutral stimuli also elicited a significantly larger amplitude than sad stimuli. Given that the N1 manifests as a negative deflection, these results indicate that sad stimuli actually evoked a stronger neural response compared to both happy and neutral stimuli. Thus, relative to rewarding and neutral conditions, punishing stimuli enhanced EEG activity in the N1 time window. This amplification of N1 amplitude by negative stimuli is consistent with prior findings (Sun et al., 2012).\nThe N1 component, which is closely linked to number sense (Yao et al., 2023), demonstrates high sensitivity to quantitative variation and reflects the rapid, direct extraction of numerosity within the human visual pathway (Park et al., 2015; Van Rinsveld et al., 2020). The enhanced N1 amplitude elicited by punishing stimuli at the PO7 electrode suggests that punishment-related properties exert a modulatory influence on numerical processing. From a temporal perspective, these findings indicate that reward-related attributes are processed earlier than punishment-related attributes during visual number perception.\n\n\n### 4.4. Inhibitory Effect on Rewarding Stimuli in P2p\nFor the P2p component (270–360 ms post-stimulus onset), neutral stimuli elicited significantly larger amplitudes than both rewarding and punishing stimuli across electrodes PO7, PO8, and Oz. The P2p component, localized in parietal regions, is known to reflect sensitivity to numerical changes (Fornaciai et al., 2017), and is thought to represent relatively pure quantity extraction rather than integration with non-numerical visual attributes (Grasso et al., 2022). The enhanced amplitude for neutral stimuli suggests that, during the P2p time window, the influence of reward and punishment properties is suppressed, thereby helping to preserve the accuracy of numerosity processing. This pattern further supports the view that the P2p reflects a perceptual stage dedicated to the extraction of abstract numerical information. This may reflect that the brain exerts suppressive control over task-irrelevant reward attributes to ensure the accuracy of numerical information retrieval. The pattern of adopting distinct processing strategies across different temporal windows demonstrates a neural mechanism of dynamic regulation. This bears resemblance to the encoding dynamics in arithmetic rule processing: the hippocampus tends to employ a temporally stable ‘static coding’ to maintain rule information, whereas the parahippocampal cortex exhibits rapidly shifting dynamic coding (Kutter et al., 2022). While the tasks differ, this reflects that the brain adopts flexible strategies when processing mathematically related tasks.\nIt is worth noting that although the findings of this study highlight biases induced by reward attributes, the suppression of this bias by the P2p component shares similarities with the characteristic of transitive inference, which transcends the influence of associative values and reward reinforcement and relies primarily on implied order relationships (Gazes et al., 2012; Jensen et al., 2017). This similarity thus raises a question: Are non-symbolic number sense and transitive inference related? This warrants further exploration.\n\n\n### 4.5. Limitations and Future Directions\nThis study sought to investigate the influence of stimulus reward properties on numerical perception; however, several limitations should be noted.\nFirstly, although reward type was manipulated, the effect of reward magnitude—such as the differential impact of small versus large rewards on number sense—was not explored, leaving open questions regarding dose–response relationships in reward-based modulation.\nSecondly, even though the stimuli we employed can convey emotions such as happiness and sadness (Jaeger et al., 2019; Jaeger & Ares, 2017), in real-world emoji usage, individuals may still hold varying interpretations of their meanings. In future research, we plan to utilize emojis with ambiguous or contradictory meanings, such as the classic smiling emoji or the laughing-with-tears emoji. Participants will be differentiated through pre-experiment surveys—grouping those who perceive the smiling emoji as positive in one group and those who interpret it as negative in another—to examine the transferability of stimulus attributes. Certainly, we also verbally inquired with participants after the experiment about their interpretations of these facial expressions. The vast majority of participants indicated that these expressions indeed corresponded to positive, negative, and neutral emotions, which aligns with our experimental hypotheses.\nFurthermore, primary visual attributes were not systematically manipulated but were instead assigned randomly. Although, the analysis of JND indicated that perceptual sensitivity to numerical differences did not differ significantly across the happy, neutral, and sad conditions.\nFinally, as the sample consisted exclusively of young adults, the results should not be broadly generalized to other age groups without further validation in more diverse populations.\nAlthough positive emotions are often treated as social rewards, the reward and emotional systems are inherently dissociable (Chakravarthula & Padmala, 2023). The present study did not fully disentangle these constructs. Future work should therefore include control conditions that directly contrast monetary with emotional rewards to isolate their respective contributions. Also, future research might assess whether non-social rewards (e.g., monetary or food incentives) similarly modulate number sense, thereby extending the generalizability of these findings beyond social contexts. Additionally, it is worthwhile to adopt network-level analyses (e.g., reward–attention or frontoparietal systems), which would further elucidate how reward attributes engage distributed neural circuitry during numerical processing, thus strengthening the methodological rigor and the validity of the conclusions.\n\n\n### 5. Conclusions\nThe present study demonstrates that reward properties of stimuli induce underestimation in number sense, whereas punishment properties lead to overestimation, reflecting a top-down modulatory influence of higher cognitive processes on numerical perception. EEG findings further reveal that this modulation occurs as early as the primary visual cortex, with reward-related effects emerging prior to those associated with punishment. These results underscore the potent and fundamental nature of cognitive influence on number sense, indicating that numerical processing is automatically adjusted by reward relevance even before explicit decision-making begins. Concurrently, the suppression of stimulus reward effects during the P2p component suggests that this process is subject to dynamic regulation. These findings challenge the conventional view of number sense as a relatively autonomous perceptual process, supporting instead the notion that human quantity discrimination is not a pure reflection of numerical magnitude but is systematically shaped by task-irrelevant motivational factors.", "domain": "affective_neuroscience"}
{"source": "PMC13024535", "title": "Utilizing the Walla Emotion Model to Standardize Terminological Clarity for AI-Driven “Emotion” Recognition", "text": "# Utilizing the Walla Emotion Model to Standardize Terminological Clarity for AI-Driven “Emotion” Recognition\n\n## Abstract\nThe scientific study of affect has been historically characterized by a profound lack of terminological consensus, leading to a state of conceptual fragmentation that persists in psychology, neuroscience and many other fields. This ambiguity is not merely an academic concern; it has significant consequences for the development of artificial intelligence (AI) systems designed to recognize and respond to human “emotions”. In fact, it has an influence on the entire field of affective computing. The problem is obvious. Without a distinct definition of “emotion” it is difficult to train an algorithm to recognize it. The Walla Emotion Model, also known as the ESCAPE (Emotions Convey Affective Processing Effects) model, provides a potentially helpful and neurobiologically grounded framework to resolve this impasse and to improve any discourse about it, for businesses and even lawmakers aiming at healthy societies. By establishing clear, non-overlapping definitions for affective processing, feelings, and emotions, this model offers a path toward more precise research and more ethically sound affective computing including AI-driven “emotion” recognition. It introduces a concept that allows for the detection of incongruences between internal states and external signals with a very clear terminology supporting understandable communication. This is critical for identifying feigned or socially masked inner affective states, a challenge that traditional “face-reading” AI models frequently fail to address. Even tone of voice and body postures as well as gestures can be and are often voluntarily modified. Through the separation of subcortical affective processing (evaluation of valence; neural activity) from subjective experience (feeling) and external communication (emotion), the Walla model provides a helpful framework for AI-designs meant to have the capacity to infer an internal affective state from collected signals in the wild bypassing verbal self-report. This paper is purely theoretical; it does not provide any algorithm models or other distinct suggestions to train a software package. Its main purpose is the introduction of a new emotion model, particularly a new terminology that is considered helpful in order to proceed with this endeavor. It is considered important to first enable the clearest-possible form of communication about anything related to the term emotion across all disciplines dealing with it. Only then can progress be made.\n\n## Full Text\n\n\n### 1. Introduction\nThe essence of this essay and probably the best argument for it is a very trivial question. How shall an algorithm know what to recognize, when even humans do not? For over a century, the term “emotion” has been utilized as a comprehensive designation for a disparate set of phenomena, including physiological responses, conscious experiences, cognitive appraisals, and behavioral expressions. Modern AI systems are meant to be trained to recognize human emotions, but how shall this endeavor be a solid and serious goal, when nobody knows what an emotion actually is? This theoretical paper aims to clarify this problem by introducing a new emotion model. This model mainly proposes a new terminology that clearly separates and specifically defines the terms “affective processing” (affection), “feeling” and “emotion”. However, before explaining these neurobiologically rooted concepts in more detail, a short description of other existing models is provided in the following section.\nThe landscape of emotion research is characterized by a fundamental tension between “nature” (biological essentialism) and “nurture” (cognitive construction). Early foundational models emphasized the evolutionary and biological origins of “emotion”. Plutchik [1] and Ekman [2,3] proposed that a limited set of “basic emotions” are hardwired, universal, and evolved for survival. Ekman’s work on facial expressions remains the bedrock for modern automated emotion recognition, though it is increasingly scrutinized for its reliance on outward social signals. Similarly, Izard [4] highlights the distinct functions of these primary systems in human development. Moving toward the brain’s hardware, Panksepp [5,6] established the field of affective neuroscience, identifying subcortical “core emotional feelings” shared across mammals. LeDoux [7] further refined this by rethinking the “emotional brain,” distinguishing between survival circuits (like fear) and the conscious experience of an emotion. Damasio [8,9,10] revolutionized the field with his “Somatic Marker Hypothesis,” arguing that emotions are not just “mental”, but are rooted in bodily states (“the feeling of what happens”), which are essential for rational decision-making. In contrast to purely biological views, Lazarus [11] and Ortony, Clore, and Collins [12] introduced complex appraisal models. They argue that emotions arise from the cognitive evaluation of how an event impacts personal goals (e.g., the OCC model). Rolls [13,14] complements this by defining emotions as states elicited by reinforcers (rewards and punishers), providing a functional framework for how motivation and reasoning are linked to neural systems. Cabanac [15] supports this by viewing emotion as a “common currency” for survival-based trade-offs. Challenging the idea of hardwired fingerprints for emotion, Russell [16] proposed the Circumplex Model, where affect is mapped alongside the dimensions of valence (pleasurableness) and arousal. This dimensional approach was significantly expanded by Barrett [17,18]. Her “Theory of Constructed Emotion” posits that emotions are not triggered, but are active inferences constructed by the brain based on interoception and past experience. This solves the “emotion paradox”, the discrepancy between our subjective feeling of distinct emotions and the lack of distinct physiological markers for them. Finally, Scherer [19] proposed the Component Process Model (CPM), which views emotion as a highly synchronized, dynamic process involving multiple components, which are appraisal, bodily symptoms, action tendencies, and motor expressions.\nWhile the above list does not even include all existing schools of science on “emotion”, it becomes evident enough that there is no common understanding of how to define “emotion”. Thus, how should an AI designer know what to train an algorithm for? While traditional AI often relies on the discrete models of Ekman, modern research increasingly draws on the neurobiological insights of Damasio and the constructivist critiques of Barrett. This shift highlights a critical gap. Traditional AI measures the social “output” (expression), whereas the “biological truth” lies in the underlying “Action Program” (affective processing; the raw data). By understanding the history of these models, one can better appreciate why measuring non-conscious physiological responses representing affective information processing is essential to bypass the “social mask” and capture the true internal affective state that represents the main driver for decision-making and finally for produced human behavior. The broad and inconsistent usage of terminology [20] has led to a theoretical quagmire where researchers often measure different aspects of affective responses while using the same vocabulary, resulting in data that are difficult to compare and synthesize. Since communication is the key to everything, a clear solution is highly desired. Traditional models often assume a direct, universal, and involuntary link between internal states and facial expressions; an assumption that has been increasingly discredited by evidence of cultural diversity and individual variability as well as the capacity to voluntarily generate fake facial expressions and also gestures, even tone of voice.\nMcStay (2018) [21] documents the rapid shift toward “Empathic AI”: systems designed to sense, learn, and react to human “emotional states”. He highlights how the integration of computer vision and machine learning into everyday devices (from smartphones to cars) has turned “emotion” recognition into a multibillion-dollar industry and a central focus of modern AI research [21]. However, at the same time, when taking a closer look at the bulk of the literature on the “emotion” topic, it is hard to understand why such a big deal is made on the basis of unclear understandings of the key essence, an emotion. Much like how an AI trainer does not really know on what basis they should train an algorithm, other professionals also struggle. Imagine your therapist, with good intentions, suggesting you practice emotional regulation. Currently, you would not know what to regulate and different therapists would explain the workings of emotional regulation in different ways.\nOnly recently has the already mentioned approach to handle the inconsistently used vocabulary around “emotion” been suggested. Under the title “A call for conceptual clarity: “Emotion” as an umbrella term did not work—let’s narrow it down” [22], Walla et al. propose an alternative terminology that is meant to improve any communication, be it psychological, philosophical, or clinical, with respect to AI and even for lawmakers that increasingly deal with AI-driven emotion recognition. In contrast to the above-mentioned existing emotion theories, the Walla Emotion Model, introduced here, provides a clear set of three definitions relevant to the AI domain (affective processing, feeling, emotion) in addition to various other disciplines dealing with “emotions”. Interestingly, recently published AI-related work began to avoid using the term emotion at all in the context of AI [23,24]. This may sound like a good alternative. However, given the strong connections between scientific disciplines that have been dealing with “emotions” for almost centuries (philosophy, psychology, therapy, biology, medicine, etc.) and the AI domain, I consider it more helpful to use consistent terminology across all those fields while still including the term emotion, but with a different and more precise set of definitions for all the relevant phenomena related to it. Surely, psychology and therapy, for instance, will not give up using the term emotion, and thus it might be more helpful to give it a more precise definition, in order to separate it from feelings, affective processing and also from cognition rather than avoiding it. In the following sections, this new and potentially helpful emotion model is explained, including a table summarizing its main three concepts (affective processing, feeling and emotion), while also emphasizing its benefits for AI.\n\n\n### 2. The Evolution of the Walla Emotion Model\nThe Walla Emotion Model [22] emerges from a critical appraisal of historical failures, particularly the interchangeable use of “affection (or affective processing)”, “feeling,” and “emotion” [25,26], but also from a lack of separating affection from cognition. It builds upon the insights of early pioneers like Charles Darwin [27], who focused on the communicative function of muscle contractions, and William James [28], who emphasized the link between bodily changes and felt experience. Walla et al. [22] introduce a crucial distinction by separating the processing of information (i.e., affective processing; the raw data) from the experience related to that information due to its bodily consequences (i.e., feeling; subjective experience) and the signaling related to it to the social environment (i.e., emotion; behavioral output as a result of muscle contractions). This separation is grounded in the hierarchical evolution of the brain. The human brain operates as a multidimensional system where different layers of processing developed at different evolutionary stages, but function together as a unified whole [29]. Subcortical structures, which are evolutionarily older, perform rapid, survival-oriented evaluations of the environment long before the cortical regions, which are responsible for language and reasoning, become involved [30]. The Walla model aligns its definitions with these biological realities, prioritizing the objective measurement of neural activity over the subjective interpretation of labels when it comes to better understanding how humans respond with affection to any stimulation (external and internal). Affection represents the very basis for decision-making, which means that getting access to it offers the best possible insight into human behavior influence and even its prediction. A detailed explanation including neurobiological and evolutionary backgrounds can be found in the original article [22], but in the following section, you will find a short list of the already mentioned three main components of this model that are relevant to the AI field:Affective Processing: The rapid, unconscious neural evaluation of stimuli based on valence (pleasantness/unpleasantness) and arousal (intensity). This occurs primarily in the limbic system and guides initial behavioral tendencies like approach or avoidance. This is in fact the most crucial raw data that underlies feelings and emotions.Feelings: The conscious, subjective experiences that arise when affective processing exceeds a specific threshold, triggering the release of neurochemicals that alter the internal bodily state. These are the “felt” internal responses, such as a knot in the stomach or a sense of unease. This is the level that forms the basis for verbal reports on how one feels.Emotions: Strictly defined as the external behavioral outputs—facial expressions, vocalizations, and body postures as well as gestures—that serve to communicate a felt state to others. Interestingly, there are automatic involuntary emotions, but there is also the possibility to generate voluntary emotions. This might be most critical to AI-designs, because of potential masking.\nAffective Processing: The rapid, unconscious neural evaluation of stimuli based on valence (pleasantness/unpleasantness) and arousal (intensity). This occurs primarily in the limbic system and guides initial behavioral tendencies like approach or avoidance. This is in fact the most crucial raw data that underlies feelings and emotions.\nFeelings: The conscious, subjective experiences that arise when affective processing exceeds a specific threshold, triggering the release of neurochemicals that alter the internal bodily state. These are the “felt” internal responses, such as a knot in the stomach or a sense of unease. This is the level that forms the basis for verbal reports on how one feels.\nEmotions: Strictly defined as the external behavioral outputs—facial expressions, vocalizations, and body postures as well as gestures—that serve to communicate a felt state to others. Interestingly, there are automatic involuntary emotions, but there is also the possibility to generate voluntary emotions. This might be most critical to AI-designs, because of potential masking.\nAffective processing is the most fundamental level of brain function (the subcortical evaluative core; the raw affective data source). It represents the “brain automatically evaluating” something is good or bad, safe or dangerous, before the conscious “I” realizes it. This process is continuous and automatic, providing a constant evaluative stream that informs behavioral adaptation and guides human behavior most dominantly [25,26]. Affective processing is mapped onto two primary dimensions: valence and arousal. Valence refers to the motivational direction: whether the brain evaluates a stimulus as something to be approached (positive) or avoided (negative). Arousal denotes the intensity of the evaluation or the degree of physiological activation. Both valence- and arousal-related neural data feed (as action tendencies) into decision-making centers that plan the execution of adapted behavior. The limbic system, including the amygdala, hippocampus, and hypothalamus, is the primary seat of this processing level [31]. These structures receive sensory input and perform a rapid assessment based on evolutionary and learned associations. Because this processing happens deeply subcortically, it is not directly accessible to the cortical functions of language and conscious reflection. This leads to the phenomenon of “gut reactions”: responses that a person feels strongly, but cannot immediately explain or justify verbally. It also leads to cognitive pollution, which is dealt with further below. Whatever happens on this level of information processing represents the true affective reaction of a human being. This level represents the most interesting processing quality that one would want to get access to in order to best possibly understand human behavior. To demonstrate an example, a reliable method, also explained further below, to capture reactions of this level of information processing revealed that depressed people respond positively via verbal report to positive image presentations, while their measured raw affection reflects significantly more negative image evaluations deep inside the brain compared to healthy controls [32]. In other words, getting access to the raw affection level provides a quantifiable view of depression that does not show up via self-report. Furthermore, the brain of a psychopath processes disgusting images like accident victims or even images of mutilated bodies significantly more positively, although the verbal report level is similar to healthy controls [33].\nTo understand the Walla Emotion Model in the context of AI, it is crucial to recognize its foundational departure from traditional “Discrete Emotion” theories (like Ekman’s). While most AI models today are trained to label a face as “happy” or “sad,” the Walla model argues that these are merely social outputs that often mask the true biological state (i.e., raw affection). Below, we will discuss how modern AI systems (several companies) started to amend sole standard facial expression data as suggested by the well-known FACS (Facial Action Coding System) [34], using data such as tone of voice, body gestures and micro-expressions, but first, the following table (Table 1) breaks down the model into its three distinct phenomena and explains why this structured view could become an important basis for the next generation of AI that is meant to recognize “emotions”.\nCurrent AI-driven emotion recognition often suffers from high error rates, because it assumes the face is a direct window to the soul. Humans often “think” about how they should feel, which pollutes self-reports and facial expressions. Focusing on affective processing is the goal, because this level of information processing is immune to this pollution. For example, by comparing FACS information with physiological data that directly represents raw affection, AI could be able to mathematically calculate the degree of social masking by identifying a mismatch between raw affection and the way a person talks about a certain topic or their facial expression. Even though some companies offer a multi-model approach, the masking problem remains. However, this theoretical paper does not aim at evaluating any AI packages that are available for emotion recognition; instead, it is meant to improve communication about them.\n\n\n### 3. The Independence of Affection and Cognition\nA key postulate of the Walla model is that affective processing does primarily occur independent of, and precedes, cognitive processing. While cognition asks “What is this?” (semantic identification), affection asks “How is this?” (evaluative significance). In terms of evolution, the ability to rapidly evaluate threats was essential for survival long before the development of complex language or abstract reasoning to answer “What-questions” [26]. This independence has significant implications for how we understand decision-making. Even in domains traditionally viewed as purely rational, such as financial asset management, subcortical affective processing plays a decisive role [35]. Human brains integrate affective “how” information with cognitive “what” information to navigate through complex environments, but the two streams are initially processed by distinct and separate neural pathways. Consequently, any emotion theory including cognitive aspects is considered potentially misleading according to the model introduced here.\nAccording to the Walla model, feelings are defined as the subjective, conscious perception of the physiological changes triggered by intense affective processing. When neural activity in the limbic system reaches a certain threshold, it stimulates the release of neurotransmitters and hormones. These chemicals alter the body’s internal state, and the brain’s conscious monitoring of these changes is what we experience as a feeling. However, when asked to verbalize a feeling, one can certainly try, but might fail, because affective processing causing feelings was never meant to be verbalized anyway due to its evolution way before language came into existence. This led to the notion of cognitive pollution [26]. Clearly, people do not always do what they say.\nBecause affective processing refers to subcortical processing, and language is a cortical, cognitive function [36], the act of verbalizing affective content inevitably distorts the original data. It is similarly difficult with respect to feelings, even though they are conscious experiences. Actually, perhaps because they are conscious experiences like all perceptions are, they might be prone to mistakes similar to optical illusions. When an individual is asked, “How do you feel?”, they must engage higher-order reasoning to translate an abstract internal state into concrete words. This process of translation introduces several layers of bias, including social desirability, cultural expectations, and the limitations of the individual’s vocabulary. In the end, any conscious perception is nothing more than a construct of our psyche (not a one-to-one representation of initial stimulation). A resulting self-report is a “polluted” version of the raw affective state: a cognitive reflection rather than an accurate measurement of the underlying processing. This is why traditional research relying on surveys often finds discrepancies between what people say they feel and how their bodies or brains actually respond. In empirical research, this often leads to discrepancies between implicit and explicit measures.\nThe new model advocates for the use of objective, implicit measures to capture “raw” affection, as these bypass the pollution of conscious reflection. Studies in neuromarketing, for instance, have shown that while participants might explicitly rate two brands similarly in a survey, their physiological responses (e.g., measured heart rate, skin conductance (SC), startle reflex modulation (SRM), electroencephalogram) reveal a clear preference for one over the other [37]. See Table 2 for a short summary of implicit and explicit measures.\n\n\n### 3.1. Feelings and the Barrier of Conscious Reflection\nAccording to the Walla model, feelings are defined as the subjective, conscious perception of the physiological changes triggered by intense affective processing. When neural activity in the limbic system reaches a certain threshold, it stimulates the release of neurotransmitters and hormones. These chemicals alter the body’s internal state, and the brain’s conscious monitoring of these changes is what we experience as a feeling. However, when asked to verbalize a feeling, one can certainly try, but might fail, because affective processing causing feelings was never meant to be verbalized anyway due to its evolution way before language came into existence. This led to the notion of cognitive pollution [26]. Clearly, people do not always do what they say.\n\n\n### 3.2. The Phenomenon of Cognitive Pollution\nBecause affective processing refers to subcortical processing, and language is a cortical, cognitive function [36], the act of verbalizing affective content inevitably distorts the original data. It is similarly difficult with respect to feelings, even though they are conscious experiences. Actually, perhaps because they are conscious experiences like all perceptions are, they might be prone to mistakes similar to optical illusions. When an individual is asked, “How do you feel?”, they must engage higher-order reasoning to translate an abstract internal state into concrete words. This process of translation introduces several layers of bias, including social desirability, cultural expectations, and the limitations of the individual’s vocabulary. In the end, any conscious perception is nothing more than a construct of our psyche (not a one-to-one representation of initial stimulation). A resulting self-report is a “polluted” version of the raw affective state: a cognitive reflection rather than an accurate measurement of the underlying processing. This is why traditional research relying on surveys often finds discrepancies between what people say they feel and how their bodies or brains actually respond. In empirical research, this often leads to discrepancies between implicit and explicit measures.\n\n\n### 3.3. Discrepancies Between Explicit and Implicit Measures\nThe new model advocates for the use of objective, implicit measures to capture “raw” affection, as these bypass the pollution of conscious reflection. Studies in neuromarketing, for instance, have shown that while participants might explicitly rate two brands similarly in a survey, their physiological responses (e.g., measured heart rate, skin conductance (SC), startle reflex modulation (SRM), electroencephalogram) reveal a clear preference for one over the other [37]. See Table 2 for a short summary of implicit and explicit measures.\n\n\n### 4. Emotion as Communication\nFor AI, the Walla model’s most distinctive alternative is the reclassification of an “emotion” as a behavioral output rather than an internal state. Etymologically derived from the Latin verb “emovere” (to move out), an emotion is literally the “out-movement” of an internal state into the social world. This includes facial expressions, changes in vocal tone, gestures, body postures and many more behaviors. From an evolutionary perspective, the function of an emotion is social communication. By expressing an inner state like “fear” (i.e., affective processing causing the feeling of fear), an individual signals a perceived threat to their conspecifics, facilitating group survival. This signal is intended to convey a feeling, but the model emphasizes that the signal (the emotion) and the source (the feeling or affective processing) are not always functionally connected, but can be distinct for intentional nonverbal communication (e.g., fake smile). Perhaps this is the most important point in the context of AI. Following this model, one can say that AI is certainly capable of recognizing an emotion (behavioral output), but can it successfully interpret underlying affective processing level activity (raw affection)? Rather than arguing about the question of whether AI will ever be able to recognize human emotions without knowing what they actually are, the terminology introduced here at least allows for a meaningful discussion about what can be done already and what still needs improvement.\nIn the context of the already mentioned masking problem, this model allows for the existence of both involuntary and voluntary emotions. While some expressions are produced automatically as a result of above-threshold affective processing (e.g., a genuine scream of terror), humans have also developed the cortical (cognitive) capacity to produce voluntary emotions to feign a state that they do not actually feel. This is common in social “masking” or strategic emotional management, where individuals display a “happy face” to maintain social harmony despite feeling internal distress. The figure below (Figure 1) represents a visualization of this model, which distinguishes between action-behavior and emotion-behavior.\n\n\n### 5. The “Diagnostic Gap” for AI Recognition\nThe functional separation of emotions from the internal state is the foundation of the “diagnostic gap”: the potential for a discrepancy between what is shown and what is felt. For AI-driven emotion recognition, this gap is the primary source of error. Most current systems are trained on the assumption that a “happy face” is happiness. The Walla model provides a scientific argument for why this is potentially flawed. The face is merely a signal that may or may not be congruent with the internal state. To be truly helpful, an AI model should be able to recognize such an incongruence. If an AI model detects a smile (emotion), but for example simultaneously measures low heart rate or low skin conductance (affective processing markers), it can infer that the smile is a social performance rather than a reflection of a genuine felt state. The practical implementation of this requires moving away from unimodal facial recognition toward multimodal triangulation. This involves measuring behavioral output alongside objective markers of raw affective processing.\nSome of the most prominent technologies in the field of affective computing already address the problem of emotion masking. Although they do not really have built-in features to detect emotion masking, their developers seem aware of the problem. An important aspect of such software is that it is sensitive to micro-expressions, which are understood as involuntary emotions (according to Walla, 2025 [22]) more directly reflective of an internal state than more strong facial expressions that are more likely to be fake. Some software packages use datasets to classify expressions into “complex emotions” like joy, sadness, anger, surprise and contempt. The problem with that is that their often huge databases consist of face images and videos. By calling such data “emotions”, while at the same time understanding “emotion recognition” not primarily as recognizing facial expressions, but rather as interpreting inner affective states that generate the respective facial expressions, the problem becomes evident. Terminology around “emotion” is used interchangeably, causing confusion, inconsistency and inaccurate communication and, in the worst case, inaccurate inner state interpretations.\nOther available software recognizes the limitations of relying solely on facial expressions and is actively moving toward a multimodal approach to capture a more “truthful” affective picture. While they do not use the term “emotion masking” as a primary product feature, their recent technological shifts are designed to at least try to solve the very problem that potential masking creates. At the moment, a core strategy for addressing the incompleteness of facial signals is the integration of speech and tone of voice. Respective designers acknowledge that facial expressions are only one channel of communication. By adding acoustic analysis including measures like pitch, tempo, and pauses, they attempt to cross-validate what the face is showing. If a face shows a “polite smile” (masked), but the voice remains flat or shows signs of “filler words” (um, uh) indicating cognitive load, the system can provide a more nuanced report. Furthermore, the software is designed to catch micro-expressions, which are, as mentioned above, more directly reflective of a true inner state.\nCurrently, perhaps the most reliable method to capture true and raw affection is Startle Reflex Modulation (SRM) [38,39,40,41]. Although SRM would currently be far away from being used in the current context of AI-driven emotion recognition, the following paragraph introduces this method, which is considered superior to all brain imaging tools regarding its capacity to quantify raw affection.\nSRM involves measuring the amplitude of the eye-blink reflex in response to a sudden, loud sound (an acoustic startle probe). This reflex is controlled by the brainstem and is extremely difficult to voluntarily suppress. Crucially, the magnitude of the blink is modulated by the person’s current affective inner state [39,40]. If a person is in a positive state (e.g., viewing an image their affective system evaluates as positive), the blink magnitude is reduced. If they are in a negative state (e.g., viewing an image their affective system evaluates as negative), the blink magnitude is increased. Because SRM happens so quickly (within milliseconds) and is governed by subcortical pathways, it provides a “raw” measure of valence evaluation that is immune to cognitive pollution. The above-mentioned two studies, one about depression and the other on psychopaths, were done by utilizing SRM. While SRM is considered the gold standard to measure raw affective responses, it currently still requires a laboratory setup. However, from a theoretical perspective, by synthesizing data from multiple channels, researchers (and also AI) can create a comprehensive profile including all levels starting with the raw affective data, feelings and expressive output (emotions). Maybe, the future will bring wearable devices or other techniques to use the concept of SRM. At this stage, most importantly, it has to be accepted that the sole interpretation of behavioral data will not be sufficient to decode a person’s inner state of affect.\n\n\n### Startle Reflex Modulation (SRM) as a “Gold Standard”\nSRM involves measuring the amplitude of the eye-blink reflex in response to a sudden, loud sound (an acoustic startle probe). This reflex is controlled by the brainstem and is extremely difficult to voluntarily suppress. Crucially, the magnitude of the blink is modulated by the person’s current affective inner state [39,40]. If a person is in a positive state (e.g., viewing an image their affective system evaluates as positive), the blink magnitude is reduced. If they are in a negative state (e.g., viewing an image their affective system evaluates as negative), the blink magnitude is increased. Because SRM happens so quickly (within milliseconds) and is governed by subcortical pathways, it provides a “raw” measure of valence evaluation that is immune to cognitive pollution. The above-mentioned two studies, one about depression and the other on psychopaths, were done by utilizing SRM. While SRM is considered the gold standard to measure raw affective responses, it currently still requires a laboratory setup. However, from a theoretical perspective, by synthesizing data from multiple channels, researchers (and also AI) can create a comprehensive profile including all levels starting with the raw affective data, feelings and expressive output (emotions). Maybe, the future will bring wearable devices or other techniques to use the concept of SRM. At this stage, most importantly, it has to be accepted that the sole interpretation of behavioral data will not be sufficient to decode a person’s inner state of affect.\n\n\n### 6. Beyond Pixel-Level Accuracy\nCurrent AI systems for emotion recognition are often limited by “ground truth” labels that are fundamentally flawed [42,43]. Most datasets are labeled by humans, who look at a face and guess the underlying affective state. If the person in the image is faking their expression, the AI is trained to recognize the fake expression as the “truth”. AI needs to shift its focus from “accuracy” (matching a human label) to “veracity” (matching the subcortical state). A further problem is potential anthropomorphism and simulated affect.\nA significant challenge in current AI (especially Large Language Models) is the simulation of empathy [44,45,46]. LLMs can produce text that “feels” affectively aware, because they have learned the patterns of affective language from massive datasets. However, as the Walla model highlights, these systems lack the subcortical machinery of affective processing. They are producing “emotions” (behavioral output) without “feelings” (conscious experience) and underlying “affective processing” (biological evaluation). This can lead to “affective delusion,” where users believe the AI “really likes” them, but during following conversations the opposite can result in nonbiological, or at least strange, feelings arising in a user [46,47,48]. There are even cases of suicide in response to seemingly empathic AI [49]. AI is essentially a “stochastic parrot” of social signals: it can mimic the output, but it cannot experience the source. While this potentially creates a wanted response in the person exposed to (or confronted by) the AI model, it might be a better alternative to let the person know about the actual fakeness rather than allowing a piece of software to feign real affection. For AI developers, this insight is crucial for setting realistic boundaries and preventing “persona drift” or harmful affective manipulation in human–machine interactions.\n\n\n### 7. Ethical and Regulatory Implications\nAs AI-driven emotion recognition moves from the laboratory into the public sphere, the emotion model proposed here may provide a helpful framework for addressing ethical concerns and regulatory requirements, such as the problem of affective surveillance. If an emotion is defined as a behavioral signal, then tracking it is akin to tracking a person’s public speech or body language. However, if one claims to be “reading feelings” or even raw affective processing, one is asserting the right to peer into a person’s most private internal states. The Walla model helps draw a clear line. Most current AI is only recognizing emotions (the signal), not feelings (the experience), nor raw affective responses. Failure to make this distinction leads to a “pseudoscience” of affective surveillance, where authorities believe they can unearth hidden “intentions” or “guilt” from a facial expression. Regulatory frameworks, such as the EU AI Act [50], are increasingly moving to prohibit or restrict AI systems that claim to perform “emotion recognition” for the purposes of social control or state surveillance, precisely because the scientific basis for such claims is so fragile. The Walla model provides a clear terminology (vocabulary) that is able to improve any communication about this topic.\nThe use of objective physiological measures (e.g., SRM, EEG, SC) to capture affective processing raises its own set of ethical issues. Because these measures access subcortical, unconscious processes, the user may not even be aware of what they are “revealing”. This challenges the traditional notion of informed consent—how can a person consent to revealing a state that they themselves are not consciously aware of? On one hand, the Walla model emphasizes the behavioral nature of typical data collection and its vague reflection of deep inner states, while on the other hand it raises concerns: should one assume the deep inner state of a person based on external data collection? As a result of that, sole external data collection seems rather acceptable, but if life-affecting decisions are made under the assumption that deep inner states can be accessed, great caution is needed. Due to the above-mentioned diagnostic gap, wrong assumptions can be made, which would certainly be potentially dangerous. There is need for “data dignity” and algorithmic accountability. This includes data minimization, as in collecting only the physiological data necessary for a specific task. When one starts to look into non-conscious information processing in the human brain, there could be ways to get access to information that are not relevant for “emotion recognition”, but are accessible. Such information should be left untouched, while only using affective processing-related information. Also important is ensuring that the “logic” of the emotion recognition model is transparent to the user, allowing them to understand how their biometric features are being used to generate a classification.\nAlgorithmic bias in emotion recognition is often a result of training sets that rely on “universal” facial expressions. By recognizing that expressions (emotions) are social signals, the Walla model acknowledges that they are inherently culturally bound. For example, a “smile” may signal happiness in one culture but serve as a defense mechanism or a signal of politeness in another. AI developers using the Walla framework are encouraged to treat facial data as one part of a broader context. Instead of a one-size-fits-all model, they can build “region-specific fine-tuning” and incorporate demographic data to ensure that the system is not unfairly penalizing individuals whose emotional signaling differs from the “norm” encoded in the training data. This excacerbates the above-mentioned diagnostic gap problem.\n\n\n### 7.1. Data Dignity and Informed Consent\nThe use of objective physiological measures (e.g., SRM, EEG, SC) to capture affective processing raises its own set of ethical issues. Because these measures access subcortical, unconscious processes, the user may not even be aware of what they are “revealing”. This challenges the traditional notion of informed consent—how can a person consent to revealing a state that they themselves are not consciously aware of? On one hand, the Walla model emphasizes the behavioral nature of typical data collection and its vague reflection of deep inner states, while on the other hand it raises concerns: should one assume the deep inner state of a person based on external data collection? As a result of that, sole external data collection seems rather acceptable, but if life-affecting decisions are made under the assumption that deep inner states can be accessed, great caution is needed. Due to the above-mentioned diagnostic gap, wrong assumptions can be made, which would certainly be potentially dangerous. There is need for “data dignity” and algorithmic accountability. This includes data minimization, as in collecting only the physiological data necessary for a specific task. When one starts to look into non-conscious information processing in the human brain, there could be ways to get access to information that are not relevant for “emotion recognition”, but are accessible. Such information should be left untouched, while only using affective processing-related information. Also important is ensuring that the “logic” of the emotion recognition model is transparent to the user, allowing them to understand how their biometric features are being used to generate a classification.\n\n\n### 7.2. Addressing Algorithmic Bias\nAlgorithmic bias in emotion recognition is often a result of training sets that rely on “universal” facial expressions. By recognizing that expressions (emotions) are social signals, the Walla model acknowledges that they are inherently culturally bound. For example, a “smile” may signal happiness in one culture but serve as a defense mechanism or a signal of politeness in another. AI developers using the Walla framework are encouraged to treat facial data as one part of a broader context. Instead of a one-size-fits-all model, they can build “region-specific fine-tuning” and incorporate demographic data to ensure that the system is not unfairly penalizing individuals whose emotional signaling differs from the “norm” encoded in the training data. This excacerbates the above-mentioned diagnostic gap problem.\n\n\n### 8. A Roadmap for Next-Gen Affective AI for Defining Specifications\nFor AI-driven emotion recognition to evolve, this work proposes to integrate the insights of the Walla model into its core architecture. This involves a shift from image analysis to dynamic, multimodal triangulation. Developers are encouraged to stop labeling facial data with internal state words like “Happiness” or “Anger”. Instead, they should label them as behavioral signals—e.g., “Positive Communicative Signal”. This simple change prevents the model from overreaching into the domain of “sentience” or “mind reading” and focuses its accuracy on the actual behavioral output. Whenever possible, AI models should be trained on datasets that pair videos of expressions with synchronous physiological data. By training the AI to recognize the subtle facial patterns that correlate with high-arousal, negative-valence physiological states, we can create systems that are far more sensitive to “genuine” affect than those trained on feigned expressions. The “killer app” for Walla-integrated AI is the detection of incongruence. In security, healthcare, or customer service, the most valuable information is not “what is the user showing?” but “is what they are showing real?”. By measuring the “distance” between the emotion (signal) and the affective processing (source), AI can identify instances of deception, social masking, or repressed distress that would be invisible to current unimodal systems. Traditional AI models typically rely on facial expression analysis [51]. However, social masking is specifically the act of decoupling this outward expression from the internal state [52]. Only by measuring physiological data can the biological truth of an individual’s reaction be detected even when their facial expression is perfectly masked to appear neutral or positive. AI-driven systems might mistake a masked smile for genuine happiness, because they lack the capacity to see the underlying feeling or even more so the raw affective processing. In cases where social masking is a survival mechanism (e.g., in neurodivergent individuals), the integration of objective neurophysiological markers is essential. This allows for the detection of high-stress levels or negative valence that an AI would otherwise overlook, ensuring that the individual’s actual inner state is understood rather than just their performative emotion.\nIn the future, we will see an increase in available “neuro-adaptive” systems that are meant to optimize human–machine interaction. These systems would monitor a user’s affective processing (via non-invasive sensors like a Smart Watch or an EEG headband) to detect technostress or frustration before the user even realizes it. The system could then adjust the interface, offer a break, or change the difficulty of a task to maintain the user’s optimal affective state. This will only work if raw affective data are included. A fundamental shift from “Emotion Recognition” (reading faces) to “Affection Recognition” (reading the raw neural signal) is needed. Relying on “synthetic emotions”—facial expressions or vocal tones that humans consciously perform—is considered dangerous, because these are just communicative outputs, often disconnected from what the person actually feels.\nMost importantly, it is recommended to accept that affective processing, feelings and emotions are basically three different and separate streams of information. For instance, if the internal feeling (anxiety) does not match the external emotion (a smile), the AI identifies “Affective Dissonance”, a key metric for mental health, leadership, and high-stakes decision-making. The AI model must learn to treat feelings (subjective experience), emotions (behavioral expression) and raw affective processing as three separate data streams.\n\n\n### 9. Synthesis and Conclusions\nIn this theoretical paper, a potentially helpful paradigm shift for the field of affective computing and emotion recognition in particular is proposed. By rigorously distinguishing between the three discussed concepts, a potential solution to the conceptual confusion that has also plagued emotion research itself for decades is offered with high relevance for AI. Its utility for AI extends far beyond a simple vocabulary fix. Its most dominant argument is rooted in the functional separation of signal from source, which allows for the detection of incongruent scenarios by identifying discrepancies between shown expressions and felt states, a critical requirement for deception detection and social intelligence. Another important aspect is the mitigation of cognitive pollution via bypassing the biases of self-report and language to access the “raw” evaluative data of the brain. Providing a scientific basis for differentiating between the public signaling of emotion and the private experience of feeling, essential for creating robust privacy and regulatory frameworks, should give ethical clarity. Finally, offering objective physiological markers (e.g., SRM, EEG, SC) can serve as a more reliable “ground truth” for training AI than subjective human labels.\nAs AI becomes more integrated into our social and professional lives, the ability to understand and respect the biological reality of human affect will be paramount. The Walla model provides the neurobiological blueprint for the generation of an AI model that is not just technically sophisticated, but humanly aware, and able to navigate the complex “diagnostic gap” between what we show the world and what our brains actually know. By grounding AI in the hierarchical and evolutionary logic of the brain, we can move toward affective computing that is more accurate, more ethical, and ultimately more helpful to the humans it serves.", "domain": "affective_neuroscience"}
{"source": "PMC13023499", "title": "Frontal Alpha Asymmetry and Electrodermal Activity: A Mutual Information Analysis Across Cognitive Load and Sleep Deprivation", "text": "# Frontal Alpha Asymmetry and Electrodermal Activity: A Mutual Information Analysis Across Cognitive Load and Sleep Deprivation\n\n## Abstract\nFrontal alpha asymmetry (FAA), a pattern of brain activity that reflects the difference in alpha wave power between the left and right frontal areas of the brain, is considered a stable marker for an individual’s tendency to experience either more approach-related or withdrawal-related emotions. On the other hand, electrodermal activity (EDA) measures arousal by tracking changes in skin sweat, which are controlled by the sympathetic nervous system. This study explores the interrelation between EDA features, obtained from time and frequency domains, with FAA by means of the mutual information. Multiple cognitive tasks such as EAT, ship search, PVT and N-Back were analyzed in 10 participants in intervals of two hours over 24 h (12 trials), in which they had to face sleep deprivation conditions. The most informative EDA features about FAA, were used to identify the two main clusters associated to high and low FAA values through the hierarchical agglomerative clustering approach. Once data is labeled, a supervised classifier based on support vector machines (SVMs) is used to identify positive and negative emotional states by using a rigorous one-trial out cross-validation scheme. Results show consistent performance within tasks and trials, achieving accuracy values over 80% on average, giving an important insight about the use of EDA signal as an alternative to the more complex FAA measurement for tracking positive or negative emotional states.\n\n## Full Text\n\n\n### 1. Introduction\nFrontal alpha asymmetry (FAA) has widely been studied as a measurement related to emotional processing, motivation and various psychopathologies. FAA, which is inversely related to cortical network activity, is calculated as the alpha power difference between the right and left hemispheres, particularly in the frontal cortex, allowing the identification of reward-related behaviors when it is high, and avoidance or withdrawal behaviors when it decreases [1,2]. The negative or positive affectivity described by FAA has been associated to mental conditions such as depression, anxiety and stress in many works [3,4,5,6] for analyzing effects in treatments such as behavioral activation [7], for the prediction of treatment effects of major depressive disorders (MDD) in women [8], or in the identification of stressful life events in children with familial risk, suggesting a potential protective role of left frontal activation [9]. In spite of the relevant results shown in many works, some considerations, especially in depression analysis, have been reported in terms of the possible measurement differences induced by EEG recording techniques, age, gender, stress and temperament of individuals, or in EEG sensor locations, i.e., frontal, front-lateral and parietal [10,11,12,13], which suggests a more detailed analysis including EEG not only during rest as traditionally has been performed, but also during emotionally evocative tasks, considering large-scale studies and employing techniques such as multi-modal imaging to link frontal asymmetry to induced emotional states, that is, beliefs about oneself and the world, represented in sadness, happiness, depression, anxiety, and subjective stress, among others [14,15].\nOn the other hand, electrodermal activity (EDA), a measure of sympathetic nervous system arousal, has been recently studied as a mechanism for the analysis of emotion response [16] and stress detection in normal and sleep deprivation conditions in different cognitive tasks [17], using in most of the cases supervised learning techniques with feature extraction from raw blood pressure, EEG, EDA and ECG data [18,19], and face-emotion identification using deep learning, not only considering the EDA signal but also the phasic (Skin Conductance Response—SCR) and tonic (Skin Conductance Level—SCL) frequency components [20,21]. Since EDA signal extraction and analysis suggests less complexity and costs in comparison with EEG, feature extraction from EDA has gained lots of interest within the research community in recent years for the classification and prediction of stress and depression, which has stimulated the exploration of interrelations between FAA and EDA parameters such as SCR peaks number, SCR amplitude, and SCR rise time, among other SCR event-related features [22].\nBeyond these SCR-based features, wavelet-based features have also demonstrated potential for emotions classification due to its ability to capture the non-stationary behavior of EDA signal through its time–frequency analysis. This is exemplified in approaches using the EDA signal for the classification of children and adolescent emotions and social anxiety disorders by means of multiple algorithms such as support vector machines (SVMs) or multi-layer perceptron (MLP), which use in some cases multi-modal data to find relationships between facial expressions and EDA signal changes [23,24,25]. In addition to the standard time–frequency and event-related features, research has also explored the relevance of alternative feature sets for emotion recognition from EDA. This includes statistical features, such as the mean, standard deviation, and Mel-Frequency Cepstral Coefficients (MFCCs) [26]. Furthermore, features adapted from electroencephalography (EEG) analysis, like Hjorth parameters [27] and Higher Order Crossing (HOC) [28], have been translated into the time domain of EDA signals. Among these, statistical features have shown notable promise for discerning emotional states [26].\nIn spite of the relevant findings described above in terms of feature extraction and emotions classification, it is noticeable that most of the research has focused on the analysis of EEG and EDA signals recorded under resting conditions, without considering their behavior during cognitive tasks and sleep deprivation, two common real-world factors that may predispose individuals to stress, anxiety, and depressive symptoms by overloading regulatory systems and biasing emotional processing toward negative valence. On the other hand, existing studies do not consider the potential relationship between features extracted from the EDA signal and FAA, and thus determine which of these may be more relevant for classifying emotions without the need to capture the EEG signal. In this regard, this work addresses the relationship between multiple EDA features and FAA by analyzing the mutual information between them, across different cognitive activities such as EAT (Error Awareness Task), Ship Search, PVT (Psychomotor Vigilance Task), and N-Back, under sleep deprivation conditions. In contrast to the common statistical tools widely used in the literature to identify signal interactions, such as Pearson’s and Spearman correlation coefficients, ANOVA, and Friedman test, among others, which are limited to the linear scope, by means of the mutual information we perform a more robust analysis that considers both linear and non-linear interactions between EDA and FAA in order to provide new insights about the connection between brain activity and the autonomic sympathetic activity. In addition, we use the most informative EDA features to identify clusters associated to approach-related or withdrawal-related emotions by using hierarchical agglomerative clustering to subsequently create a supervised model that allows to classify both emotional states with high consistency and accuracy within different cognitive tasks requiring high concentration and memory loads, and spatial temporal awareness.\nThe abovementioned contributions, which, to the best of our knowledge have not been addressed in the literature, provide new insights about the potential of the EDA signal in emotional analysis, similar to the established role of FAA. These contributions, along with the methodology performed in this approach, are summarized in Figure 1. First, EDA and EEG data are obtained under multiple cognitive tasks and sleep deprivation conditions. Second, EDA features are extracted in time and frequency–time domains to analyze their mutual information with FAA and determine which of them have the greatest potential for emotion identification using machine learning elements such as agglomerative clustering and supervised learning. The results demonstrate robust classification performance, with accuracy values over 80%. This confirms the potential of electrodermal activity as a reliable signal for emotion classification.\nThis paper is divided as follows. Section 2.1, Section 2.2.1, Section 2.2.2, Section 2.2.3, Section 2.2.4, Section 2.2.5, Section 2.2.6 and Section 2.2.7 describe the main concepts related to information theory, performed tasks, EDA features, FAA computation methods, and clustering process used in this approach. Section 2.3 describes the performed methods to calculate the mutual information, the clustering process and the supervised model generation. Finally, in Section 3, Section 4 and Section 6, we present the results and limitations and analyze them.\n\n\n### 2. Materials and Methods\nThis research, conducted with the approval of the Institutional Review Board (Protocol # H16-034) of the University of Connecticut, involved ten healthy volunteers (7 male, 3 female) aged 25 to 35 with no reported sleep disorders. The experimental protocol required participants to perform a series of cognitive tasks, detailed in Section 2.2.4, at two-hour intervals over a 25 h period. Data collection commenced at 10:00 a.m., beginning with the EAT task and followed sequentially by ship search, N-Back, and PVT tasks. The dataset comprised EEG signals, analyzed across all five frequency bands, and EDA signals, from which both phasic and tonic components were extracted. Furthermore, ECG signals were recorded throughout each trial to assess the impact of sleep deprivation and cognitive tasks on heart rate variability (HRV), which is used as one of the features to be related with FAA in this study. All participants were instructed to arrive at the laboratory within two hours after waking up and completed a pre-experiment questionnaire to verify their prior night’s sleep quality and duration. ECG data were acquired using an HP 78354A monitor (Hewlett-Packard), whereas EDA signals were captured with an FE116 galvanic skin response amplifier (ADINSTRUMENTS), which was calibrated to zero before each recording session. EEG signals were obtained using an actiCHamp amplifier (Brain Products GmbH, Gilching, Germany) in conjunction with an EasyCap electrode system (EasyCap GmbH, Herrsching-Breitbrunn, Germany).\nPrior to the test, participants were fitted with EEG and EDA sensors following a five-minute setup period. The EEG was recorded using a ten-electrode cap, with two reference electrodes on the ears and the remaining eight positioned to capture channels Fp2,F7,F8,O1,Oz,Pz,O2,T7 and T8. The EEG signal was sampled at 200 Hz and bandpass-filtered from 0.5 to 50 Hz. In line with best practices for biosignal acquisition [29], we maintained EEG electrode impedance below 5 kΩ using conductive gel to ensure robust signal quality. On the other hand, EDA was sampled at 400 Hz and measured with stainless steel electrodes on the non-dominant hand’s middle and index fingers, and its tonic and phasic components were separated via the convex optimization method described in [30].\nThe mutual information is one of the most relevant and widely used concepts from the information theory developed by Claude E. Shannon [31], not only in communications theory but in areas such as data analysis for multiple disciplines (biology, economy, and engineering, among others) [32,33]. It can be described from the entropy concept, which determines the uncertainty level of a random variable X from its probability distribution p(x), through the expression H(X)=−∑x∈Xp(x)logp(x)[bits], where p(x)=Pr{X=x},x∈X, with X as the alphabet of X. In this sense, the joint entropy can be used to describe the uncertainty between two random variables X and Y by means of their joint probability distribution p(x,y) as follows:(1)H(X,Y)=−∑x∈X∑y∈Yp(x,y)logp(x,y)=H(X)+H(Y|X),\nwhere H(Y|X) represents the conditional entropy, i.e., the uncertainty about Y, when X is known. The independent, joint and conditional entropies can be visualized in the Venn diagram of Figure 2. The mutual information can be seen as the intersection between H(X) and H(Y), i.e., it describes the uncertainty reduction about a random variable for having information about the other. In addition to the gain of information, mutual information allows the identification of linear and non-linear relationships between random variables [34], which lead us to think that it is possible to find interrelations between EDA and frontal alpha asymmetry (FAA). Furthermore, mutual information has become a highly relevant measure in neuroscience. Unlike other metrics, it is model-free, meaning it does not require assuming a specific structure (such as a linear or non-linear equation) to characterize the relationship between variables [35].\nMathematically, mutual information depends on the joint and marginal probability distributions of both variables and is given by(2)I(X;Y)=∑x∈X∑y∈Yp(x,y)logp(x,y)p(x)p(y)=H(X)−H(X|Y)=H(Y)−H(Y|X).\nThe electrodermal activity (EDA) reflects the changes in skin conductance produced on the sweat glands by the sympathetic nerve activity. This signal is composed by two components known as Skin Conductance Level (SCL; also known as the tonic component) and the Skin Conductance Response (SCR; also know as the phasic component), which are commonly separated by using the convex optimization approach proposed in [30]. The SCR component, which represents the fast changes in conductance levels, is associated to external stimulus such as cognitive tasks, threatening images or loud tones of different frequencies. On the other hand, the SCL component, which represents the long-term EDA variations, is associated to particular individual emotions and thoughts [17].\nElectroencephalography (EEG) captures the electrical brain activity generated by the synchronized activity of neurons. This signal is composed by delta (1–4 Hz), theta (4–8 Hz), alpha (8–13 Hz), beta (13–30 Hz) and gamma (>30 Hz) waves [17]. In this study, the alpha component has a relevant role since its power allows to determine the frontal alpha asymmetry, an EEG metric used in emotional analysis.\nFrontal alpha asymmetry is a physiological metric to measure the activity difference between the right and left frontal areas of the brain, through the power of the alpha component (8–13 Hz) of the EEG signal. This power value is inversely related to cortical activity, which means that when FAA increases, left cortical activation is greater than the right, indicating enhanced approach-oriented or reward-seeking behaviors, and positive affect, rather than avoidance, withdrawal or negative emotions, linked to relative right-frontal activation or lower FAA values [36]. FAA is commonly calculated as the difference between the alpha power of the mid-frontal (F4,F3), pre-frontal (FP2,FP1) or the lateral-frontal (F8,F7) EEG channels [37], by means of the normalized ratio expression FAA=Rpower−LpowerRpower+Lpower, or by means of the logarithmic expression FAA=log(Rpower)−log(Lpower), where Rpower and Lpower represent the power of the right and left channels, respectively [38], which, in our case, were calculated in the time domain using the expression 1N∑n=1N(αleft[n])2[μV2], where αleft[n] represents the band-pass filtered (8-13 Hz) of EEG signal (F7 channel) at sample n, and N is the number of samples of each window. The same calculation was performed for the right frontal channel (F8) to obtain Rpower. In this approach, we explore the mutual information described in Section 2.2.1 as a FAA metric. We compare it with traditional calculation methods in the multiple cognitive tasks and under sleep deprivation conditions in Section 3.\nIn our study, this cognitive task takes 5 min during which, a sequence of color names with colored letters is presented. Each image is visible during 900 ms, and the interval between them is 600 ms. A ’Go’ trial event occurs when the participant press a button indicating that the color of the letters and the color name match (e.g., the word ’Red’ appears in red color). On the contrary, a ’No Go’ trial occurs when the participant avoids to press the button due to the non-correspondence between the color name and the color of the letters, or when the same color name appears in two consecutive trials [39,40]. The ’No Go’ trials allow the participants to behave more attentively than repetitively, submitting them to stressful situations, increasing their alertness condition [41].\nThis 20 min task is designed to assess the spatial and temporal awareness of individuals. Participants are required to monitor an interactive screen simulating a periscope view over the ocean and identify the appearance of a ship. They must press the space bar at the moment of appearance and verbally report its coordinates [19].\nThis 10 min memory task requires participants to identify whether an audible tone matches one presented n-steps earlier in a sequence. Tones of varying frequency and duration are commonly played at 3 s intervals through two speakers positioned in front of the participant. Using designated computer keys, participants must indicate whether each tone is similar to the n-th previous one. The value of n is adaptively adjusted based on individual performance, increasing or decreasing the task difficulty. To further elevate complexity, the audible stimuli may be paired with simultaneous visual cues [19]. Due to these cognitive demands, this protocol is regarded as a high-load working memory task [42].\nThis task takes 10 min and requires the participants to click the left mouse button as quickly as possible whenever a number appears on the screen at random intervals between 2 and 10 s. All participants performed the Psychomotor Vigilance Task (PVT) on the same computer using freely available software as described in [43,44]. The PVT is widely used to assess attentional degradation under sleep deprivation conditions by measuring reaction time (RT) to repetitive visual stimuli.\nThis type of clustering requires a pair-wise distance matrix mxm, calculated between each pair of training points and considering each feature or dimension. For the squared Euclidean distance case, this is calculated using the expression d(x,y)2=∑j=1m(xj−yj)2, where j refers to the jth feature, and x,y to a pair of training points of the m-dimensional space. Agglomerative clustering initializes each training sample as its own cluster, resulting in an initial state of m clusters. Then, the closest clusters, which can be determined depending on the distance between their most closest members (single linkage), their furthest members (complete linkage) or the average distance between all their member pairs (average linkage) are merged. The distance matrix is iteratively updated until no more clusters are available for merging [45]. This method offers several advantages, such as the generation of hierarchical dendrograms to visualize data structure based on cluster distances, which can be used to determine the number of clusters for a specific dataset. Furthermore, it does not require pre-specifying the number of clusters, a key limitation of centroid-based algorithms like K-Means. In our approach, this clustering technique allows the identification of relationships between EDA features and FAA. We present and discuss these results in Section 3.\nIn EDA signal analysis, multiple event-related features have been used for emotion analysis. These features are typically extracted from time windows where the SCR value is conditioned to a threshold amplitude, commonly set at 5 μS, in order to discard small and non-representative levels [46]. Between the most used SCR-based features, we have the SCR rise time (the interval between the SCR onset and its peak), the SCR peak count (the number of SCR peaks in a window), and the SCR amplitude (the magnitude of the response, which is associated with the intensity of sympathetic arousal). From a statistical perspective, the mean and standard deviation both of the EDA signal and its tonic and phasic components have been explored [26,47].\nGiven the non-stationary behavior of the EDA signal, we employ time–frequency analysis tools. Specifically, our approach utilizes wavelet analysis and the highly sensitive index of sympathetic tone proposed in [48].\nContinuous wavelet transform (CWT) provides a detailed analysis of frequency behavior in time, specifically by means of a scaleogram. In contrast to the discrete wavelet transform, especially used for de-noising and frequency component extraction [26], CWT provides more details for feature extraction, especially when complex components are used as in the complex Morlet (C-Morlet) case [23], which we use in this approach. This transform employs a zero-mean, finite-energy mother wavelet constructed as the product of a Gaussian envelope and a complex carrier signal. Its expression is given by(3)ψ*(η)=exp−η2fbπfbexp(j2πfcη),\nwhere fb is the non-dimensional bandwidth, fc is the non-dimensional center frequency and η is a non-dimensional time parameter [49,50]. The term 1πfb is used to ensure the finite energy condition of ψ*(t), since, 1πfb∫−∞∞exp−t2fb2exp(j2πfct)2dt=1πfbπfb2=12. Additionally, this term acts as a normalization factor that stabilizes wavelet energy across different fb values. It prevents wavelet coefficients from being artificially amplified or attenuated due to changes in the wavelet energy, ensuring that their magnitudes reflect genuine signal properties. ψ*(t) is scaled by a∈R+, and translated by b∈R along the time axis, to generate a set of daughter wavelets that are matched with the original signal x(t) by means of the expression(4)CWT(a,b)=∫−∞∞x(t)·1aψ*(t−b)adt,\nwhere the term 1a ensures that every daughter wavelet has the same energy as the mother wavelet. The wavelet is stretched when a≥1, making it correlate with lower-frequencies (broader features), and it is squeezed when a≤1, making it correlate with higher-frequencies (sharper features).\nTVSymp is a highly sensitive index of sympathetic tone obtained by using the variable frequency complex demodulation technique (VFCDM) [51], which uses a bank of low-pass filters to decompose the EDA signal in a suite of band-limited signals that, by means of the Hilbert transform, provide instantaneous frequency, amplitude and phase values within each frequency band [48]. To understand this, let us consider a narrow-band signal x(t)=dc(t)+A(t)cos[2πfot+ϕ(t)] with center frequency fo, instantaneous phase ϕ(t), instantaneous amplitude A(t), and direct current component dc(t). The frequency-shifting property (demodulation property [52]) can be applied to x(t) to obtain(5)z(t)=dc(t)e−j2πfot+A(t)2ejϕ(t)+A(t)2e−j[4πfot+ϕ(t)].\nApplying an ideal low-pass filter (cutoff fc<fo) to z(t) results in zLP(t)=A(t)2ejϕ(t), from which we can recover the instantaneous amplitude(6)A(t)=2|zLP(t)|,\nand the instantaneous phase(7)ϕ(t)=arctanIm{zLP(t)}Re{zLP(t)}.\nNow, considering the case of a time-varying frequency, we have the following expressions:(8)x(t)=dc(t)+A(t)cos∫0t2πf(τ)dτ+ϕ(t),\nand(9)z(t)=dc(t)e−j∫0t2πf(τ)dτ+A(t)2ejϕ(t)+A(t)2e−j[∫0t4πf(τ)dτ+ϕ(t)].\nAgain, if z(t) is filtered with an ideal low-pass filter with fc<fo, the instantaneous amplitude and phase can be obtained using Equations (6) and (7).\nGiven the mathematical framework established above, the implementation of VFCDM consists of the following main steps:1.A set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.2.Using Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.3.Decompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].4.For each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.5.Finally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nA set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.\nUsing Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.\nDecompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].\nFor each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.\nFinally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nBy computing the Hilbert transform of Equation (10) at every time point for each of the low-pass filtered frequency components, as detailed in Equations (6) and (7), we obtain the complete time–frequency spectrum. Consequently, VFCDM yields a high-resolution time–frequency spectrum along with precise amplitude information. The TVSymp index, derived from VFCDM applied to EDA signals, exhibits high values in the 0.08–0.24 Hz band, reflecting sympathetic nervous system activation by stressors [48]. This work examines the relationship between the TVSymp index and FAA using mutual information, evaluating this association across a range of cognitive tasks and under the physiological challenge of sleep deprivation.\nThe HRV is an electrocardiogram (ECG) signal metric, used to determine the variation between heartbeats. This variability is a normal function of the autonomic nervous system (ANS), which balances the “fight-or-flight” (sympathetic) and “rest-and-digest” (parasympathetic) responses. A higher HRV generally indicates better health, fitness, and stress resilience, whereas a lower HRV can be a sign of stress or illness [53,54]. The HRV calculation is performed by multiple methods, which range from time-domain (SDNN, RMSSD, pNN50, among others), frequency domain (VLF, HF, LF, among others). In this study, we use the Root Mean Square of Successive Differences (RMSSD) measure, calculated as RMSSD=1N−1∑i=1N−1(RRi+1−RRi)2, where RRi is the duration of the i-th R-R interval (in milliseconds) and N is the total number of successive R-R intervals, with R being the amplitude peak of the QRS ECG signal interval. Compared to other measures, RMSSD is a more specific indicator of parasympathetic nervous system activity. It is therefore well-suited to estimate the idle mediated fluctuations in heart rate [55]. It provides statistical robustness, which improves the HRV analysis in short-term time windows as our study requires [56]. In this work, we use HRV as an additional parameter to identify EDA features related to FAA by means of the mutual information.\nFor the feature extraction process, we use the moving average window method [57,58], with a window duration of 64 s (13,000 samples for a sampling frequency of 200 Hz) as required to extract the TVSymp index [48]. On each iteration, each window includes 325 (≈1.62 s) new samples and discards 325 old samples of the data for statistical calculations. The computed statistical values involve the mean and standard deviation for the tonic and phasic components of the EDA raw data, considering each cognitive task and trial, and the data of all the 11 participants. The mean and standard deviation are also calculated in the same time window for the SCR-based features (event-related), and for the frequency–time domain features described in Section 2.2.6. In the continuous wavelet case, we use a C-Morlet wavelet with fb=1.5 Hz and fc=1 Hz and 25 different scale values from 800 to 10,000 corresponding to a frequency band from 0.005 to 0.5 Hz in order to cover the spectrum of tonic and phasic components (<0.05 Hz for tonic and 0.05–0.15 Hz for phasic). The translation time is of 1 s. In this sense, we have 25 different frequency values for each second of the 4 analyzed cognitive tasks and their corresponding 12 trials. The results for trials 1, 7 and 12 for EAT task are shown in the scaleogram of Figure 3. The CWT coefficients obtained for each second are finally used to calculate the mean and standard deviation of the wavelet transform, both for phasic and tonic components. Notice how the magnitude of the frequency components evolves over the course of each trial, with more sustained activity observed in trial 7 for both the tonic and phasic EDA components, when participant tiredness peaked due to sleep deprivation. This finding highlights the value of wavelet-based features in detecting stressful situations or negative emotions associated with fatigue.\nOn the other hand, FAA and HRV are also obtained for each time window. In the FAA case, the normalized ratio, logarithmic and mutual information approaches are used (see Section Frontal Alpha Asymmetry-FAA). The HRV is calculated as described in Section 2.2.7.\nAccording to Equation (2), mutual information requires marginal and joint probability values for the evaluated random variables, which, in our case represent the set of feature values obtained over the time windows. This probability calculation is performed through the uniform count binning process presented in a previous work [17], where 12 uniform count bins or states are generated to contain different continuous values. The first step consists of maximizing the entropy value and consequently the mutual information by defining each state probability with the expression p(s)=N(s)Nobs, where N(s) and Nobs are the number of observations in a specific bin, and the total number of observations, respectively. Thus for example, in the FAA and mean tonic values obtained through all the windows (Figure 4a,b, respectively), we have 127 samples distributed in 12 bins, each one with ≈10 samples. In this sense, p(s)=10127≈0.083, i.e., the probability distribution for the 12 bins is uniform, which maximizes the entropy. This uniform distribution makes some bins narrower than others, which is shown in Figure 4c,d, for FAA and tonic mean, respectively. The joint probability distribution is calculated considering the proportion of data points that fall into a specific combination of bins.\nFigure 5a,b show, respectively, the joint frequency and the joint probability for the FAA and mean tonic data in a given window. Once the joint probabilities are calculated, the mutual information can be obtained for every pair of features. For the particular case of FAA and mean tonic, the mutual information is 0.9818 [bits]. To address the potential bias, inherent to discrete information estimates and finite samples, we apply the Miller–Madow bias correction [59,60]. This correction is well-established for entropy and mutual information estimation and accounts for the fact that, with limited data, random coincidences can create spurious correlations that distort mutual information values.\n\n\n### 2.1. Data Acquisition Protocol\nThis research, conducted with the approval of the Institutional Review Board (Protocol # H16-034) of the University of Connecticut, involved ten healthy volunteers (7 male, 3 female) aged 25 to 35 with no reported sleep disorders. The experimental protocol required participants to perform a series of cognitive tasks, detailed in Section 2.2.4, at two-hour intervals over a 25 h period. Data collection commenced at 10:00 a.m., beginning with the EAT task and followed sequentially by ship search, N-Back, and PVT tasks. The dataset comprised EEG signals, analyzed across all five frequency bands, and EDA signals, from which both phasic and tonic components were extracted. Furthermore, ECG signals were recorded throughout each trial to assess the impact of sleep deprivation and cognitive tasks on heart rate variability (HRV), which is used as one of the features to be related with FAA in this study. All participants were instructed to arrive at the laboratory within two hours after waking up and completed a pre-experiment questionnaire to verify their prior night’s sleep quality and duration. ECG data were acquired using an HP 78354A monitor (Hewlett-Packard), whereas EDA signals were captured with an FE116 galvanic skin response amplifier (ADINSTRUMENTS), which was calibrated to zero before each recording session. EEG signals were obtained using an actiCHamp amplifier (Brain Products GmbH, Gilching, Germany) in conjunction with an EasyCap electrode system (EasyCap GmbH, Herrsching-Breitbrunn, Germany).\nPrior to the test, participants were fitted with EEG and EDA sensors following a five-minute setup period. The EEG was recorded using a ten-electrode cap, with two reference electrodes on the ears and the remaining eight positioned to capture channels Fp2,F7,F8,O1,Oz,Pz,O2,T7 and T8. The EEG signal was sampled at 200 Hz and bandpass-filtered from 0.5 to 50 Hz. In line with best practices for biosignal acquisition [29], we maintained EEG electrode impedance below 5 kΩ using conductive gel to ensure robust signal quality. On the other hand, EDA was sampled at 400 Hz and measured with stainless steel electrodes on the non-dominant hand’s middle and index fingers, and its tonic and phasic components were separated via the convex optimization method described in [30].\n\n\n### 2.2. Preliminaries\nThe mutual information is one of the most relevant and widely used concepts from the information theory developed by Claude E. Shannon [31], not only in communications theory but in areas such as data analysis for multiple disciplines (biology, economy, and engineering, among others) [32,33]. It can be described from the entropy concept, which determines the uncertainty level of a random variable X from its probability distribution p(x), through the expression H(X)=−∑x∈Xp(x)logp(x)[bits], where p(x)=Pr{X=x},x∈X, with X as the alphabet of X. In this sense, the joint entropy can be used to describe the uncertainty between two random variables X and Y by means of their joint probability distribution p(x,y) as follows:(1)H(X,Y)=−∑x∈X∑y∈Yp(x,y)logp(x,y)=H(X)+H(Y|X),\nwhere H(Y|X) represents the conditional entropy, i.e., the uncertainty about Y, when X is known. The independent, joint and conditional entropies can be visualized in the Venn diagram of Figure 2. The mutual information can be seen as the intersection between H(X) and H(Y), i.e., it describes the uncertainty reduction about a random variable for having information about the other. In addition to the gain of information, mutual information allows the identification of linear and non-linear relationships between random variables [34], which lead us to think that it is possible to find interrelations between EDA and frontal alpha asymmetry (FAA). Furthermore, mutual information has become a highly relevant measure in neuroscience. Unlike other metrics, it is model-free, meaning it does not require assuming a specific structure (such as a linear or non-linear equation) to characterize the relationship between variables [35].\nMathematically, mutual information depends on the joint and marginal probability distributions of both variables and is given by(2)I(X;Y)=∑x∈X∑y∈Yp(x,y)logp(x,y)p(x)p(y)=H(X)−H(X|Y)=H(Y)−H(Y|X).\nThe electrodermal activity (EDA) reflects the changes in skin conductance produced on the sweat glands by the sympathetic nerve activity. This signal is composed by two components known as Skin Conductance Level (SCL; also known as the tonic component) and the Skin Conductance Response (SCR; also know as the phasic component), which are commonly separated by using the convex optimization approach proposed in [30]. The SCR component, which represents the fast changes in conductance levels, is associated to external stimulus such as cognitive tasks, threatening images or loud tones of different frequencies. On the other hand, the SCL component, which represents the long-term EDA variations, is associated to particular individual emotions and thoughts [17].\nElectroencephalography (EEG) captures the electrical brain activity generated by the synchronized activity of neurons. This signal is composed by delta (1–4 Hz), theta (4–8 Hz), alpha (8–13 Hz), beta (13–30 Hz) and gamma (>30 Hz) waves [17]. In this study, the alpha component has a relevant role since its power allows to determine the frontal alpha asymmetry, an EEG metric used in emotional analysis.\nFrontal alpha asymmetry is a physiological metric to measure the activity difference between the right and left frontal areas of the brain, through the power of the alpha component (8–13 Hz) of the EEG signal. This power value is inversely related to cortical activity, which means that when FAA increases, left cortical activation is greater than the right, indicating enhanced approach-oriented or reward-seeking behaviors, and positive affect, rather than avoidance, withdrawal or negative emotions, linked to relative right-frontal activation or lower FAA values [36]. FAA is commonly calculated as the difference between the alpha power of the mid-frontal (F4,F3), pre-frontal (FP2,FP1) or the lateral-frontal (F8,F7) EEG channels [37], by means of the normalized ratio expression FAA=Rpower−LpowerRpower+Lpower, or by means of the logarithmic expression FAA=log(Rpower)−log(Lpower), where Rpower and Lpower represent the power of the right and left channels, respectively [38], which, in our case, were calculated in the time domain using the expression 1N∑n=1N(αleft[n])2[μV2], where αleft[n] represents the band-pass filtered (8-13 Hz) of EEG signal (F7 channel) at sample n, and N is the number of samples of each window. The same calculation was performed for the right frontal channel (F8) to obtain Rpower. In this approach, we explore the mutual information described in Section 2.2.1 as a FAA metric. We compare it with traditional calculation methods in the multiple cognitive tasks and under sleep deprivation conditions in Section 3.\nIn our study, this cognitive task takes 5 min during which, a sequence of color names with colored letters is presented. Each image is visible during 900 ms, and the interval between them is 600 ms. A ’Go’ trial event occurs when the participant press a button indicating that the color of the letters and the color name match (e.g., the word ’Red’ appears in red color). On the contrary, a ’No Go’ trial occurs when the participant avoids to press the button due to the non-correspondence between the color name and the color of the letters, or when the same color name appears in two consecutive trials [39,40]. The ’No Go’ trials allow the participants to behave more attentively than repetitively, submitting them to stressful situations, increasing their alertness condition [41].\nThis 20 min task is designed to assess the spatial and temporal awareness of individuals. Participants are required to monitor an interactive screen simulating a periscope view over the ocean and identify the appearance of a ship. They must press the space bar at the moment of appearance and verbally report its coordinates [19].\nThis 10 min memory task requires participants to identify whether an audible tone matches one presented n-steps earlier in a sequence. Tones of varying frequency and duration are commonly played at 3 s intervals through two speakers positioned in front of the participant. Using designated computer keys, participants must indicate whether each tone is similar to the n-th previous one. The value of n is adaptively adjusted based on individual performance, increasing or decreasing the task difficulty. To further elevate complexity, the audible stimuli may be paired with simultaneous visual cues [19]. Due to these cognitive demands, this protocol is regarded as a high-load working memory task [42].\nThis task takes 10 min and requires the participants to click the left mouse button as quickly as possible whenever a number appears on the screen at random intervals between 2 and 10 s. All participants performed the Psychomotor Vigilance Task (PVT) on the same computer using freely available software as described in [43,44]. The PVT is widely used to assess attentional degradation under sleep deprivation conditions by measuring reaction time (RT) to repetitive visual stimuli.\nThis type of clustering requires a pair-wise distance matrix mxm, calculated between each pair of training points and considering each feature or dimension. For the squared Euclidean distance case, this is calculated using the expression d(x,y)2=∑j=1m(xj−yj)2, where j refers to the jth feature, and x,y to a pair of training points of the m-dimensional space. Agglomerative clustering initializes each training sample as its own cluster, resulting in an initial state of m clusters. Then, the closest clusters, which can be determined depending on the distance between their most closest members (single linkage), their furthest members (complete linkage) or the average distance between all their member pairs (average linkage) are merged. The distance matrix is iteratively updated until no more clusters are available for merging [45]. This method offers several advantages, such as the generation of hierarchical dendrograms to visualize data structure based on cluster distances, which can be used to determine the number of clusters for a specific dataset. Furthermore, it does not require pre-specifying the number of clusters, a key limitation of centroid-based algorithms like K-Means. In our approach, this clustering technique allows the identification of relationships between EDA features and FAA. We present and discuss these results in Section 3.\nIn EDA signal analysis, multiple event-related features have been used for emotion analysis. These features are typically extracted from time windows where the SCR value is conditioned to a threshold amplitude, commonly set at 5 μS, in order to discard small and non-representative levels [46]. Between the most used SCR-based features, we have the SCR rise time (the interval between the SCR onset and its peak), the SCR peak count (the number of SCR peaks in a window), and the SCR amplitude (the magnitude of the response, which is associated with the intensity of sympathetic arousal). From a statistical perspective, the mean and standard deviation both of the EDA signal and its tonic and phasic components have been explored [26,47].\nGiven the non-stationary behavior of the EDA signal, we employ time–frequency analysis tools. Specifically, our approach utilizes wavelet analysis and the highly sensitive index of sympathetic tone proposed in [48].\nContinuous wavelet transform (CWT) provides a detailed analysis of frequency behavior in time, specifically by means of a scaleogram. In contrast to the discrete wavelet transform, especially used for de-noising and frequency component extraction [26], CWT provides more details for feature extraction, especially when complex components are used as in the complex Morlet (C-Morlet) case [23], which we use in this approach. This transform employs a zero-mean, finite-energy mother wavelet constructed as the product of a Gaussian envelope and a complex carrier signal. Its expression is given by(3)ψ*(η)=exp−η2fbπfbexp(j2πfcη),\nwhere fb is the non-dimensional bandwidth, fc is the non-dimensional center frequency and η is a non-dimensional time parameter [49,50]. The term 1πfb is used to ensure the finite energy condition of ψ*(t), since, 1πfb∫−∞∞exp−t2fb2exp(j2πfct)2dt=1πfbπfb2=12. Additionally, this term acts as a normalization factor that stabilizes wavelet energy across different fb values. It prevents wavelet coefficients from being artificially amplified or attenuated due to changes in the wavelet energy, ensuring that their magnitudes reflect genuine signal properties. ψ*(t) is scaled by a∈R+, and translated by b∈R along the time axis, to generate a set of daughter wavelets that are matched with the original signal x(t) by means of the expression(4)CWT(a,b)=∫−∞∞x(t)·1aψ*(t−b)adt,\nwhere the term 1a ensures that every daughter wavelet has the same energy as the mother wavelet. The wavelet is stretched when a≥1, making it correlate with lower-frequencies (broader features), and it is squeezed when a≤1, making it correlate with higher-frequencies (sharper features).\nTVSymp is a highly sensitive index of sympathetic tone obtained by using the variable frequency complex demodulation technique (VFCDM) [51], which uses a bank of low-pass filters to decompose the EDA signal in a suite of band-limited signals that, by means of the Hilbert transform, provide instantaneous frequency, amplitude and phase values within each frequency band [48]. To understand this, let us consider a narrow-band signal x(t)=dc(t)+A(t)cos[2πfot+ϕ(t)] with center frequency fo, instantaneous phase ϕ(t), instantaneous amplitude A(t), and direct current component dc(t). The frequency-shifting property (demodulation property [52]) can be applied to x(t) to obtain(5)z(t)=dc(t)e−j2πfot+A(t)2ejϕ(t)+A(t)2e−j[4πfot+ϕ(t)].\nApplying an ideal low-pass filter (cutoff fc<fo) to z(t) results in zLP(t)=A(t)2ejϕ(t), from which we can recover the instantaneous amplitude(6)A(t)=2|zLP(t)|,\nand the instantaneous phase(7)ϕ(t)=arctanIm{zLP(t)}Re{zLP(t)}.\nNow, considering the case of a time-varying frequency, we have the following expressions:(8)x(t)=dc(t)+A(t)cos∫0t2πf(τ)dτ+ϕ(t),\nand(9)z(t)=dc(t)e−j∫0t2πf(τ)dτ+A(t)2ejϕ(t)+A(t)2e−j[∫0t4πf(τ)dτ+ϕ(t)].\nAgain, if z(t) is filtered with an ideal low-pass filter with fc<fo, the instantaneous amplitude and phase can be obtained using Equations (6) and (7).\nGiven the mathematical framework established above, the implementation of VFCDM consists of the following main steps:1.A set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.2.Using Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.3.Decompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].4.For each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.5.Finally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nA set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.\nUsing Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.\nDecompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].\nFor each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.\nFinally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nBy computing the Hilbert transform of Equation (10) at every time point for each of the low-pass filtered frequency components, as detailed in Equations (6) and (7), we obtain the complete time–frequency spectrum. Consequently, VFCDM yields a high-resolution time–frequency spectrum along with precise amplitude information. The TVSymp index, derived from VFCDM applied to EDA signals, exhibits high values in the 0.08–0.24 Hz band, reflecting sympathetic nervous system activation by stressors [48]. This work examines the relationship between the TVSymp index and FAA using mutual information, evaluating this association across a range of cognitive tasks and under the physiological challenge of sleep deprivation.\nThe HRV is an electrocardiogram (ECG) signal metric, used to determine the variation between heartbeats. This variability is a normal function of the autonomic nervous system (ANS), which balances the “fight-or-flight” (sympathetic) and “rest-and-digest” (parasympathetic) responses. A higher HRV generally indicates better health, fitness, and stress resilience, whereas a lower HRV can be a sign of stress or illness [53,54]. The HRV calculation is performed by multiple methods, which range from time-domain (SDNN, RMSSD, pNN50, among others), frequency domain (VLF, HF, LF, among others). In this study, we use the Root Mean Square of Successive Differences (RMSSD) measure, calculated as RMSSD=1N−1∑i=1N−1(RRi+1−RRi)2, where RRi is the duration of the i-th R-R interval (in milliseconds) and N is the total number of successive R-R intervals, with R being the amplitude peak of the QRS ECG signal interval. Compared to other measures, RMSSD is a more specific indicator of parasympathetic nervous system activity. It is therefore well-suited to estimate the idle mediated fluctuations in heart rate [55]. It provides statistical robustness, which improves the HRV analysis in short-term time windows as our study requires [56]. In this work, we use HRV as an additional parameter to identify EDA features related to FAA by means of the mutual information.\n\n\n### 2.2.1. Mutual Information\nThe mutual information is one of the most relevant and widely used concepts from the information theory developed by Claude E. Shannon [31], not only in communications theory but in areas such as data analysis for multiple disciplines (biology, economy, and engineering, among others) [32,33]. It can be described from the entropy concept, which determines the uncertainty level of a random variable X from its probability distribution p(x), through the expression H(X)=−∑x∈Xp(x)logp(x)[bits], where p(x)=Pr{X=x},x∈X, with X as the alphabet of X. In this sense, the joint entropy can be used to describe the uncertainty between two random variables X and Y by means of their joint probability distribution p(x,y) as follows:(1)H(X,Y)=−∑x∈X∑y∈Yp(x,y)logp(x,y)=H(X)+H(Y|X),\nwhere H(Y|X) represents the conditional entropy, i.e., the uncertainty about Y, when X is known. The independent, joint and conditional entropies can be visualized in the Venn diagram of Figure 2. The mutual information can be seen as the intersection between H(X) and H(Y), i.e., it describes the uncertainty reduction about a random variable for having information about the other. In addition to the gain of information, mutual information allows the identification of linear and non-linear relationships between random variables [34], which lead us to think that it is possible to find interrelations between EDA and frontal alpha asymmetry (FAA). Furthermore, mutual information has become a highly relevant measure in neuroscience. Unlike other metrics, it is model-free, meaning it does not require assuming a specific structure (such as a linear or non-linear equation) to characterize the relationship between variables [35].\nMathematically, mutual information depends on the joint and marginal probability distributions of both variables and is given by(2)I(X;Y)=∑x∈X∑y∈Yp(x,y)logp(x,y)p(x)p(y)=H(X)−H(X|Y)=H(Y)−H(Y|X).\n\n\n### 2.2.2. Electrodermal Activity (EDA)\nThe electrodermal activity (EDA) reflects the changes in skin conductance produced on the sweat glands by the sympathetic nerve activity. This signal is composed by two components known as Skin Conductance Level (SCL; also known as the tonic component) and the Skin Conductance Response (SCR; also know as the phasic component), which are commonly separated by using the convex optimization approach proposed in [30]. The SCR component, which represents the fast changes in conductance levels, is associated to external stimulus such as cognitive tasks, threatening images or loud tones of different frequencies. On the other hand, the SCL component, which represents the long-term EDA variations, is associated to particular individual emotions and thoughts [17].\n\n\n### 2.2.3. Electroencephalography (EEG)\nElectroencephalography (EEG) captures the electrical brain activity generated by the synchronized activity of neurons. This signal is composed by delta (1–4 Hz), theta (4–8 Hz), alpha (8–13 Hz), beta (13–30 Hz) and gamma (>30 Hz) waves [17]. In this study, the alpha component has a relevant role since its power allows to determine the frontal alpha asymmetry, an EEG metric used in emotional analysis.\nFrontal alpha asymmetry is a physiological metric to measure the activity difference between the right and left frontal areas of the brain, through the power of the alpha component (8–13 Hz) of the EEG signal. This power value is inversely related to cortical activity, which means that when FAA increases, left cortical activation is greater than the right, indicating enhanced approach-oriented or reward-seeking behaviors, and positive affect, rather than avoidance, withdrawal or negative emotions, linked to relative right-frontal activation or lower FAA values [36]. FAA is commonly calculated as the difference between the alpha power of the mid-frontal (F4,F3), pre-frontal (FP2,FP1) or the lateral-frontal (F8,F7) EEG channels [37], by means of the normalized ratio expression FAA=Rpower−LpowerRpower+Lpower, or by means of the logarithmic expression FAA=log(Rpower)−log(Lpower), where Rpower and Lpower represent the power of the right and left channels, respectively [38], which, in our case, were calculated in the time domain using the expression 1N∑n=1N(αleft[n])2[μV2], where αleft[n] represents the band-pass filtered (8-13 Hz) of EEG signal (F7 channel) at sample n, and N is the number of samples of each window. The same calculation was performed for the right frontal channel (F8) to obtain Rpower. In this approach, we explore the mutual information described in Section 2.2.1 as a FAA metric. We compare it with traditional calculation methods in the multiple cognitive tasks and under sleep deprivation conditions in Section 3.\n\n\n### Frontal Alpha Asymmetry-FAA\nFrontal alpha asymmetry is a physiological metric to measure the activity difference between the right and left frontal areas of the brain, through the power of the alpha component (8–13 Hz) of the EEG signal. This power value is inversely related to cortical activity, which means that when FAA increases, left cortical activation is greater than the right, indicating enhanced approach-oriented or reward-seeking behaviors, and positive affect, rather than avoidance, withdrawal or negative emotions, linked to relative right-frontal activation or lower FAA values [36]. FAA is commonly calculated as the difference between the alpha power of the mid-frontal (F4,F3), pre-frontal (FP2,FP1) or the lateral-frontal (F8,F7) EEG channels [37], by means of the normalized ratio expression FAA=Rpower−LpowerRpower+Lpower, or by means of the logarithmic expression FAA=log(Rpower)−log(Lpower), where Rpower and Lpower represent the power of the right and left channels, respectively [38], which, in our case, were calculated in the time domain using the expression 1N∑n=1N(αleft[n])2[μV2], where αleft[n] represents the band-pass filtered (8-13 Hz) of EEG signal (F7 channel) at sample n, and N is the number of samples of each window. The same calculation was performed for the right frontal channel (F8) to obtain Rpower. In this approach, we explore the mutual information described in Section 2.2.1 as a FAA metric. We compare it with traditional calculation methods in the multiple cognitive tasks and under sleep deprivation conditions in Section 3.\n\n\n### 2.2.4. Performed Tasks\nIn our study, this cognitive task takes 5 min during which, a sequence of color names with colored letters is presented. Each image is visible during 900 ms, and the interval between them is 600 ms. A ’Go’ trial event occurs when the participant press a button indicating that the color of the letters and the color name match (e.g., the word ’Red’ appears in red color). On the contrary, a ’No Go’ trial occurs when the participant avoids to press the button due to the non-correspondence between the color name and the color of the letters, or when the same color name appears in two consecutive trials [39,40]. The ’No Go’ trials allow the participants to behave more attentively than repetitively, submitting them to stressful situations, increasing their alertness condition [41].\nThis 20 min task is designed to assess the spatial and temporal awareness of individuals. Participants are required to monitor an interactive screen simulating a periscope view over the ocean and identify the appearance of a ship. They must press the space bar at the moment of appearance and verbally report its coordinates [19].\nThis 10 min memory task requires participants to identify whether an audible tone matches one presented n-steps earlier in a sequence. Tones of varying frequency and duration are commonly played at 3 s intervals through two speakers positioned in front of the participant. Using designated computer keys, participants must indicate whether each tone is similar to the n-th previous one. The value of n is adaptively adjusted based on individual performance, increasing or decreasing the task difficulty. To further elevate complexity, the audible stimuli may be paired with simultaneous visual cues [19]. Due to these cognitive demands, this protocol is regarded as a high-load working memory task [42].\nThis task takes 10 min and requires the participants to click the left mouse button as quickly as possible whenever a number appears on the screen at random intervals between 2 and 10 s. All participants performed the Psychomotor Vigilance Task (PVT) on the same computer using freely available software as described in [43,44]. The PVT is widely used to assess attentional degradation under sleep deprivation conditions by measuring reaction time (RT) to repetitive visual stimuli.\n\n\n### Error Awareness Task (EAT)\nIn our study, this cognitive task takes 5 min during which, a sequence of color names with colored letters is presented. Each image is visible during 900 ms, and the interval between them is 600 ms. A ’Go’ trial event occurs when the participant press a button indicating that the color of the letters and the color name match (e.g., the word ’Red’ appears in red color). On the contrary, a ’No Go’ trial occurs when the participant avoids to press the button due to the non-correspondence between the color name and the color of the letters, or when the same color name appears in two consecutive trials [39,40]. The ’No Go’ trials allow the participants to behave more attentively than repetitively, submitting them to stressful situations, increasing their alertness condition [41].\n\n\n### Ship Search\nThis 20 min task is designed to assess the spatial and temporal awareness of individuals. Participants are required to monitor an interactive screen simulating a periscope view over the ocean and identify the appearance of a ship. They must press the space bar at the moment of appearance and verbally report its coordinates [19].\n\n\n### N-Back\nThis 10 min memory task requires participants to identify whether an audible tone matches one presented n-steps earlier in a sequence. Tones of varying frequency and duration are commonly played at 3 s intervals through two speakers positioned in front of the participant. Using designated computer keys, participants must indicate whether each tone is similar to the n-th previous one. The value of n is adaptively adjusted based on individual performance, increasing or decreasing the task difficulty. To further elevate complexity, the audible stimuli may be paired with simultaneous visual cues [19]. Due to these cognitive demands, this protocol is regarded as a high-load working memory task [42].\n\n\n### Psychomotor Vigilance Task (PVT)\nThis task takes 10 min and requires the participants to click the left mouse button as quickly as possible whenever a number appears on the screen at random intervals between 2 and 10 s. All participants performed the Psychomotor Vigilance Task (PVT) on the same computer using freely available software as described in [43,44]. The PVT is widely used to assess attentional degradation under sleep deprivation conditions by measuring reaction time (RT) to repetitive visual stimuli.\n\n\n### 2.2.5. Hierarchical Agglomerative Clustering\nThis type of clustering requires a pair-wise distance matrix mxm, calculated between each pair of training points and considering each feature or dimension. For the squared Euclidean distance case, this is calculated using the expression d(x,y)2=∑j=1m(xj−yj)2, where j refers to the jth feature, and x,y to a pair of training points of the m-dimensional space. Agglomerative clustering initializes each training sample as its own cluster, resulting in an initial state of m clusters. Then, the closest clusters, which can be determined depending on the distance between their most closest members (single linkage), their furthest members (complete linkage) or the average distance between all their member pairs (average linkage) are merged. The distance matrix is iteratively updated until no more clusters are available for merging [45]. This method offers several advantages, such as the generation of hierarchical dendrograms to visualize data structure based on cluster distances, which can be used to determine the number of clusters for a specific dataset. Furthermore, it does not require pre-specifying the number of clusters, a key limitation of centroid-based algorithms like K-Means. In our approach, this clustering technique allows the identification of relationships between EDA features and FAA. We present and discuss these results in Section 3.\n\n\n### 2.2.6. EDA Features\nIn EDA signal analysis, multiple event-related features have been used for emotion analysis. These features are typically extracted from time windows where the SCR value is conditioned to a threshold amplitude, commonly set at 5 μS, in order to discard small and non-representative levels [46]. Between the most used SCR-based features, we have the SCR rise time (the interval between the SCR onset and its peak), the SCR peak count (the number of SCR peaks in a window), and the SCR amplitude (the magnitude of the response, which is associated with the intensity of sympathetic arousal). From a statistical perspective, the mean and standard deviation both of the EDA signal and its tonic and phasic components have been explored [26,47].\nGiven the non-stationary behavior of the EDA signal, we employ time–frequency analysis tools. Specifically, our approach utilizes wavelet analysis and the highly sensitive index of sympathetic tone proposed in [48].\nContinuous wavelet transform (CWT) provides a detailed analysis of frequency behavior in time, specifically by means of a scaleogram. In contrast to the discrete wavelet transform, especially used for de-noising and frequency component extraction [26], CWT provides more details for feature extraction, especially when complex components are used as in the complex Morlet (C-Morlet) case [23], which we use in this approach. This transform employs a zero-mean, finite-energy mother wavelet constructed as the product of a Gaussian envelope and a complex carrier signal. Its expression is given by(3)ψ*(η)=exp−η2fbπfbexp(j2πfcη),\nwhere fb is the non-dimensional bandwidth, fc is the non-dimensional center frequency and η is a non-dimensional time parameter [49,50]. The term 1πfb is used to ensure the finite energy condition of ψ*(t), since, 1πfb∫−∞∞exp−t2fb2exp(j2πfct)2dt=1πfbπfb2=12. Additionally, this term acts as a normalization factor that stabilizes wavelet energy across different fb values. It prevents wavelet coefficients from being artificially amplified or attenuated due to changes in the wavelet energy, ensuring that their magnitudes reflect genuine signal properties. ψ*(t) is scaled by a∈R+, and translated by b∈R along the time axis, to generate a set of daughter wavelets that are matched with the original signal x(t) by means of the expression(4)CWT(a,b)=∫−∞∞x(t)·1aψ*(t−b)adt,\nwhere the term 1a ensures that every daughter wavelet has the same energy as the mother wavelet. The wavelet is stretched when a≥1, making it correlate with lower-frequencies (broader features), and it is squeezed when a≤1, making it correlate with higher-frequencies (sharper features).\nTVSymp is a highly sensitive index of sympathetic tone obtained by using the variable frequency complex demodulation technique (VFCDM) [51], which uses a bank of low-pass filters to decompose the EDA signal in a suite of band-limited signals that, by means of the Hilbert transform, provide instantaneous frequency, amplitude and phase values within each frequency band [48]. To understand this, let us consider a narrow-band signal x(t)=dc(t)+A(t)cos[2πfot+ϕ(t)] with center frequency fo, instantaneous phase ϕ(t), instantaneous amplitude A(t), and direct current component dc(t). The frequency-shifting property (demodulation property [52]) can be applied to x(t) to obtain(5)z(t)=dc(t)e−j2πfot+A(t)2ejϕ(t)+A(t)2e−j[4πfot+ϕ(t)].\nApplying an ideal low-pass filter (cutoff fc<fo) to z(t) results in zLP(t)=A(t)2ejϕ(t), from which we can recover the instantaneous amplitude(6)A(t)=2|zLP(t)|,\nand the instantaneous phase(7)ϕ(t)=arctanIm{zLP(t)}Re{zLP(t)}.\nNow, considering the case of a time-varying frequency, we have the following expressions:(8)x(t)=dc(t)+A(t)cos∫0t2πf(τ)dτ+ϕ(t),\nand(9)z(t)=dc(t)e−j∫0t2πf(τ)dτ+A(t)2ejϕ(t)+A(t)2e−j[∫0t4πf(τ)dτ+ϕ(t)].\nAgain, if z(t) is filtered with an ideal low-pass filter with fc<fo, the instantaneous amplitude and phase can be obtained using Equations (6) and (7).\nGiven the mathematical framework established above, the implementation of VFCDM consists of the following main steps:1.A set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.2.Using Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.3.Decompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].4.For each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.5.Finally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nA set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.\nUsing Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.\nDecompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].\nFor each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.\nFinally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nBy computing the Hilbert transform of Equation (10) at every time point for each of the low-pass filtered frequency components, as detailed in Equations (6) and (7), we obtain the complete time–frequency spectrum. Consequently, VFCDM yields a high-resolution time–frequency spectrum along with precise amplitude information. The TVSymp index, derived from VFCDM applied to EDA signals, exhibits high values in the 0.08–0.24 Hz band, reflecting sympathetic nervous system activation by stressors [48]. This work examines the relationship between the TVSymp index and FAA using mutual information, evaluating this association across a range of cognitive tasks and under the physiological challenge of sleep deprivation.\n\n\n### Time Domain Features\nIn EDA signal analysis, multiple event-related features have been used for emotion analysis. These features are typically extracted from time windows where the SCR value is conditioned to a threshold amplitude, commonly set at 5 μS, in order to discard small and non-representative levels [46]. Between the most used SCR-based features, we have the SCR rise time (the interval between the SCR onset and its peak), the SCR peak count (the number of SCR peaks in a window), and the SCR amplitude (the magnitude of the response, which is associated with the intensity of sympathetic arousal). From a statistical perspective, the mean and standard deviation both of the EDA signal and its tonic and phasic components have been explored [26,47].\n\n\n### Time–Frequency Domain Features\nGiven the non-stationary behavior of the EDA signal, we employ time–frequency analysis tools. Specifically, our approach utilizes wavelet analysis and the highly sensitive index of sympathetic tone proposed in [48].\n\n\n### Continuous Wavelet Transform\nContinuous wavelet transform (CWT) provides a detailed analysis of frequency behavior in time, specifically by means of a scaleogram. In contrast to the discrete wavelet transform, especially used for de-noising and frequency component extraction [26], CWT provides more details for feature extraction, especially when complex components are used as in the complex Morlet (C-Morlet) case [23], which we use in this approach. This transform employs a zero-mean, finite-energy mother wavelet constructed as the product of a Gaussian envelope and a complex carrier signal. Its expression is given by(3)ψ*(η)=exp−η2fbπfbexp(j2πfcη),\nwhere fb is the non-dimensional bandwidth, fc is the non-dimensional center frequency and η is a non-dimensional time parameter [49,50]. The term 1πfb is used to ensure the finite energy condition of ψ*(t), since, 1πfb∫−∞∞exp−t2fb2exp(j2πfct)2dt=1πfbπfb2=12. Additionally, this term acts as a normalization factor that stabilizes wavelet energy across different fb values. It prevents wavelet coefficients from being artificially amplified or attenuated due to changes in the wavelet energy, ensuring that their magnitudes reflect genuine signal properties. ψ*(t) is scaled by a∈R+, and translated by b∈R along the time axis, to generate a set of daughter wavelets that are matched with the original signal x(t) by means of the expression(4)CWT(a,b)=∫−∞∞x(t)·1aψ*(t−b)adt,\nwhere the term 1a ensures that every daughter wavelet has the same energy as the mother wavelet. The wavelet is stretched when a≥1, making it correlate with lower-frequencies (broader features), and it is squeezed when a≤1, making it correlate with higher-frequencies (sharper features).\n\n\n### Time-Varying Spectral Amplitudes- TVSymp\nTVSymp is a highly sensitive index of sympathetic tone obtained by using the variable frequency complex demodulation technique (VFCDM) [51], which uses a bank of low-pass filters to decompose the EDA signal in a suite of band-limited signals that, by means of the Hilbert transform, provide instantaneous frequency, amplitude and phase values within each frequency band [48]. To understand this, let us consider a narrow-band signal x(t)=dc(t)+A(t)cos[2πfot+ϕ(t)] with center frequency fo, instantaneous phase ϕ(t), instantaneous amplitude A(t), and direct current component dc(t). The frequency-shifting property (demodulation property [52]) can be applied to x(t) to obtain(5)z(t)=dc(t)e−j2πfot+A(t)2ejϕ(t)+A(t)2e−j[4πfot+ϕ(t)].\nApplying an ideal low-pass filter (cutoff fc<fo) to z(t) results in zLP(t)=A(t)2ejϕ(t), from which we can recover the instantaneous amplitude(6)A(t)=2|zLP(t)|,\nand the instantaneous phase(7)ϕ(t)=arctanIm{zLP(t)}Re{zLP(t)}.\nNow, considering the case of a time-varying frequency, we have the following expressions:(8)x(t)=dc(t)+A(t)cos∫0t2πf(τ)dτ+ϕ(t),\nand(9)z(t)=dc(t)e−j∫0t2πf(τ)dτ+A(t)2ejϕ(t)+A(t)2e−j[∫0t4πf(τ)dτ+ϕ(t)].\nAgain, if z(t) is filtered with an ideal low-pass filter with fc<fo, the instantaneous amplitude and phase can be obtained using Equations (6) and (7).\nGiven the mathematical framework established above, the implementation of VFCDM consists of the following main steps:1.A set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.2.Using Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.3.Decompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].4.For each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.5.Finally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nA set of center frequencies is given by foi=(i−1)(2Fω),i=1,2,3,…,intfmax2Fω, where Fω is the bandwidth of a LPF (FIR) with length Nω. The bandwidth between neighboring center frequencies is 2Fω and fmax is the highest signal frequency.\nUsing Equations (6) and (7), extract the most representative frequency within the bandwidth, and repeat the process over the entire frequency band by incrementing foi.\nDecompose the signal into sinusoidal modulation components using the variable frequency approach, which leads to the expression(10)x(t)=∑idi=dc(t)+Ai(t)+cos[∫0t2πfi(τ)+ϕ(t)].\nFor each sinusoidal modulation component, calculate the instantaneous frequency f(t)=12πdϕ(t)dt and the instantaneous amplitude A(t)=X2(t)+Y2(t), using the Hilbert transform Y(t)=1π∫X(τ)t−τdτ.\nFinally, obtain the time–frequency representation of the signal using the estimated instantaneous frequencies and amplitudes.\nBy computing the Hilbert transform of Equation (10) at every time point for each of the low-pass filtered frequency components, as detailed in Equations (6) and (7), we obtain the complete time–frequency spectrum. Consequently, VFCDM yields a high-resolution time–frequency spectrum along with precise amplitude information. The TVSymp index, derived from VFCDM applied to EDA signals, exhibits high values in the 0.08–0.24 Hz band, reflecting sympathetic nervous system activation by stressors [48]. This work examines the relationship between the TVSymp index and FAA using mutual information, evaluating this association across a range of cognitive tasks and under the physiological challenge of sleep deprivation.\n\n\n### 2.2.7. Heart Rate Variability (HRV)\nThe HRV is an electrocardiogram (ECG) signal metric, used to determine the variation between heartbeats. This variability is a normal function of the autonomic nervous system (ANS), which balances the “fight-or-flight” (sympathetic) and “rest-and-digest” (parasympathetic) responses. A higher HRV generally indicates better health, fitness, and stress resilience, whereas a lower HRV can be a sign of stress or illness [53,54]. The HRV calculation is performed by multiple methods, which range from time-domain (SDNN, RMSSD, pNN50, among others), frequency domain (VLF, HF, LF, among others). In this study, we use the Root Mean Square of Successive Differences (RMSSD) measure, calculated as RMSSD=1N−1∑i=1N−1(RRi+1−RRi)2, where RRi is the duration of the i-th R-R interval (in milliseconds) and N is the total number of successive R-R intervals, with R being the amplitude peak of the QRS ECG signal interval. Compared to other measures, RMSSD is a more specific indicator of parasympathetic nervous system activity. It is therefore well-suited to estimate the idle mediated fluctuations in heart rate [55]. It provides statistical robustness, which improves the HRV analysis in short-term time windows as our study requires [56]. In this work, we use HRV as an additional parameter to identify EDA features related to FAA by means of the mutual information.\n\n\n### 2.3. Mutual Information Between FAA and EDA-ECG Features\nFor the feature extraction process, we use the moving average window method [57,58], with a window duration of 64 s (13,000 samples for a sampling frequency of 200 Hz) as required to extract the TVSymp index [48]. On each iteration, each window includes 325 (≈1.62 s) new samples and discards 325 old samples of the data for statistical calculations. The computed statistical values involve the mean and standard deviation for the tonic and phasic components of the EDA raw data, considering each cognitive task and trial, and the data of all the 11 participants. The mean and standard deviation are also calculated in the same time window for the SCR-based features (event-related), and for the frequency–time domain features described in Section 2.2.6. In the continuous wavelet case, we use a C-Morlet wavelet with fb=1.5 Hz and fc=1 Hz and 25 different scale values from 800 to 10,000 corresponding to a frequency band from 0.005 to 0.5 Hz in order to cover the spectrum of tonic and phasic components (<0.05 Hz for tonic and 0.05–0.15 Hz for phasic). The translation time is of 1 s. In this sense, we have 25 different frequency values for each second of the 4 analyzed cognitive tasks and their corresponding 12 trials. The results for trials 1, 7 and 12 for EAT task are shown in the scaleogram of Figure 3. The CWT coefficients obtained for each second are finally used to calculate the mean and standard deviation of the wavelet transform, both for phasic and tonic components. Notice how the magnitude of the frequency components evolves over the course of each trial, with more sustained activity observed in trial 7 for both the tonic and phasic EDA components, when participant tiredness peaked due to sleep deprivation. This finding highlights the value of wavelet-based features in detecting stressful situations or negative emotions associated with fatigue.\nOn the other hand, FAA and HRV are also obtained for each time window. In the FAA case, the normalized ratio, logarithmic and mutual information approaches are used (see Section Frontal Alpha Asymmetry-FAA). The HRV is calculated as described in Section 2.2.7.\nAccording to Equation (2), mutual information requires marginal and joint probability values for the evaluated random variables, which, in our case represent the set of feature values obtained over the time windows. This probability calculation is performed through the uniform count binning process presented in a previous work [17], where 12 uniform count bins or states are generated to contain different continuous values. The first step consists of maximizing the entropy value and consequently the mutual information by defining each state probability with the expression p(s)=N(s)Nobs, where N(s) and Nobs are the number of observations in a specific bin, and the total number of observations, respectively. Thus for example, in the FAA and mean tonic values obtained through all the windows (Figure 4a,b, respectively), we have 127 samples distributed in 12 bins, each one with ≈10 samples. In this sense, p(s)=10127≈0.083, i.e., the probability distribution for the 12 bins is uniform, which maximizes the entropy. This uniform distribution makes some bins narrower than others, which is shown in Figure 4c,d, for FAA and tonic mean, respectively. The joint probability distribution is calculated considering the proportion of data points that fall into a specific combination of bins.\nFigure 5a,b show, respectively, the joint frequency and the joint probability for the FAA and mean tonic data in a given window. Once the joint probabilities are calculated, the mutual information can be obtained for every pair of features. For the particular case of FAA and mean tonic, the mutual information is 0.9818 [bits]. To address the potential bias, inherent to discrete information estimates and finite samples, we apply the Miller–Madow bias correction [59,60]. This correction is well-established for entropy and mutual information estimation and accounts for the fact that, with limited data, random coincidences can create spurious correlations that distort mutual information values.\n\n\n### 2.3.1. Feature Extraction\nFor the feature extraction process, we use the moving average window method [57,58], with a window duration of 64 s (13,000 samples for a sampling frequency of 200 Hz) as required to extract the TVSymp index [48]. On each iteration, each window includes 325 (≈1.62 s) new samples and discards 325 old samples of the data for statistical calculations. The computed statistical values involve the mean and standard deviation for the tonic and phasic components of the EDA raw data, considering each cognitive task and trial, and the data of all the 11 participants. The mean and standard deviation are also calculated in the same time window for the SCR-based features (event-related), and for the frequency–time domain features described in Section 2.2.6. In the continuous wavelet case, we use a C-Morlet wavelet with fb=1.5 Hz and fc=1 Hz and 25 different scale values from 800 to 10,000 corresponding to a frequency band from 0.005 to 0.5 Hz in order to cover the spectrum of tonic and phasic components (<0.05 Hz for tonic and 0.05–0.15 Hz for phasic). The translation time is of 1 s. In this sense, we have 25 different frequency values for each second of the 4 analyzed cognitive tasks and their corresponding 12 trials. The results for trials 1, 7 and 12 for EAT task are shown in the scaleogram of Figure 3. The CWT coefficients obtained for each second are finally used to calculate the mean and standard deviation of the wavelet transform, both for phasic and tonic components. Notice how the magnitude of the frequency components evolves over the course of each trial, with more sustained activity observed in trial 7 for both the tonic and phasic EDA components, when participant tiredness peaked due to sleep deprivation. This finding highlights the value of wavelet-based features in detecting stressful situations or negative emotions associated with fatigue.\nOn the other hand, FAA and HRV are also obtained for each time window. In the FAA case, the normalized ratio, logarithmic and mutual information approaches are used (see Section Frontal Alpha Asymmetry-FAA). The HRV is calculated as described in Section 2.2.7.\n\n\n### 2.3.2. Mutual Information\nAccording to Equation (2), mutual information requires marginal and joint probability values for the evaluated random variables, which, in our case represent the set of feature values obtained over the time windows. This probability calculation is performed through the uniform count binning process presented in a previous work [17], where 12 uniform count bins or states are generated to contain different continuous values. The first step consists of maximizing the entropy value and consequently the mutual information by defining each state probability with the expression p(s)=N(s)Nobs, where N(s) and Nobs are the number of observations in a specific bin, and the total number of observations, respectively. Thus for example, in the FAA and mean tonic values obtained through all the windows (Figure 4a,b, respectively), we have 127 samples distributed in 12 bins, each one with ≈10 samples. In this sense, p(s)=10127≈0.083, i.e., the probability distribution for the 12 bins is uniform, which maximizes the entropy. This uniform distribution makes some bins narrower than others, which is shown in Figure 4c,d, for FAA and tonic mean, respectively. The joint probability distribution is calculated considering the proportion of data points that fall into a specific combination of bins.\nFigure 5a,b show, respectively, the joint frequency and the joint probability for the FAA and mean tonic data in a given window. Once the joint probabilities are calculated, the mutual information can be obtained for every pair of features. For the particular case of FAA and mean tonic, the mutual information is 0.9818 [bits]. To address the potential bias, inherent to discrete information estimates and finite samples, we apply the Miller–Madow bias correction [59,60]. This correction is well-established for entropy and mutual information estimation and accounts for the fact that, with limited data, random coincidences can create spurious correlations that distort mutual information values.\n\n\n### 3. Results\nIn Figure 6, we show the mutual information values found between the three types of alpha asymmetry described in Section Frontal Alpha Asymmetry-FAA and the extracted features, for all the analyzed cognitive tasks, averaged over all trials and individuals. Here, we can observe that the values are similar for the three cases, which demonstrates the consistency between the asymmetry types. In general, the mean of the tonic component has the highest values of mutual information with FAA, especially for the N-Back task.\nAdditionally, in Figure 7, we show the mutual information between FAA and all the studied features for all trials and all tasks, averaged over all the individuals. Again, it is noticeable that the features having the highest mutual information with FAA are the mean and standard deviation of the tonic component, along with the mean and standard deviation of wavelet coefficients and the TVSymp index. In this sense, from the 13 evaluated features, we select as the main features for our analysis the six with the highest mutual information values, which are the mean and standard deviation of the tonic component (Mean_Tn and Std_Tn), the mean of the wavelet coefficients for the tonic component (Mean_WL_Tn), the SCR amplitude (SCR_Ampl), the SCR rise time (SCR_RiseT), and the TVSymp index.\nTo assess the statistical significance of the relationships between FAA and EDA features, we employed two complementary approaches. First, we conducted a permutation-based analysis using mutual information as the test statistic, with 10,000 surrogate permutations. These permutations were performed, individually, for each of the six selected EDA features, and considering trials 1, 7 and 10 for independent participants that were randomly chosen. This analysis revealed highly significant dependencies between FAA and the six EDA features (all p<0.0002), indicating robust non-linear relationships.\nSecond, to examine linear associations specifically, we computed Pearson’s correlation coefficients between FAA and the same EDA features for randomly selected individuals in Trials 1, 7 and 10. As shown in Table 1, the strength and direction of these linear relationships varied substantially across individuals and features. While some correlations were negligible (e.g., Participant 1, Trial 7: r=0.0064, and p=0.936), most of them reached strong statistical significance. These results demonstrate that EDA features can effectively guide the clustering process to distinguish between emotional states.\nThe results of the agglomerative clustering process are shown in dendograms of Figure 8, Figure 9, Figure 10 and Figure 11, for each task and for combinations of two trials between 1, 8 and 12 (in addition to the space limitations, we selected this set of trials considering the difference of fatigue and stress between them experienced by the individuals during the test). It is noticeable how the two main clusters (green and orange), obtained after a previous data standardization, are primarily separated by the mean of the tonic component (Mean_Tn), SCR amplitude (SCR_Ampl) and TVSymp index, especially for EAT. In the majority of cases, the Euclidean distance between clusters exceeds six, indicating a well-defined and consistent cluster structure. This clear separation, combined with the multiple-trial and multiple-task structure of our experimental design, supports the stability and reproducibility of the clustering solution. The FAA data, both the normalized ratio (P_Asym) and the mutual information (MI_Asym) approaches, are included in dendograms only for illustrative purposes since they were not included in the clusterization algorithm. In general, clusters begin to be less clear in higher trials as in the case of trial 12 in PVT and ship search tasks.\nThe data labeling produced by agglomerative clusterization allows the use of supervised learning algorithms for prediction. In our case, we use support vector machines due to the good results presented in previous works in physiological signal analysis [23,61]. In this sense, we built a dataset for each cognitive task having as features the ones with higher mutual information with FAA (Mean_Tn, Std_Tn, Mean_WL_Tn, SCR_Ampl, SCR_RiseT, TVSym index). To ensure robust evaluation, we implemented a leave-one-trial-out cross-validation prediction strategy. This approach uses 11 trials for training and reserves one trial for testing, cycling through all 12 trials. The complete set of results from this procedure is described in Table 2, which shows the percentage of coincidence between Class 1 and Class 2 labels with positive and negative values of P_FAA (normalized ratio FAA), respectively.\nOn the other hand, Figure 12 shows a comparison between the prediction process (Class 1 in red, Class 2 in black) and some relevant signals such as the P_FAA and MI_FAA (normalized ratio and mutual information approaches, respectively) for some validation trials. Observe how Class 1 is predominantly associated with positive P_FAA values, whereas Class 2 is primarily associated with negative values across most of the observation windows. In general, average percentage results exhibit better performance for EAT and N-Back tasks (≈90%) than ship search and pvt (≈80%) (Table 2). These results suggest better classification accuracy in tasks demanding high memory and alertness conditions than in tasks related to spatial temporal and vigilance awareness.\n\n\n### 4. Discussion\nThe results shown in Figure 6 and Figure 7 illustrate the mutual information between multiple EDA features and HRV with FAA. Among these features, the mean of the tonic component of EDA (Mean_Tn), demonstrated to be the most informative about FAA, which provides a relevant insight about an alternative form to study physiological states commonly analyzed with FAA. Additionally, other tonic-based features such as the mean and standard deviation exhibit high mutual information values both in time and time–frequency domains. This increase suggests that the overall level of sympathetic arousal, reflected in tonic activity, is more closely associated with frontal alpha asymmetry (FAA) than rapid, event-related phasic responses. Regarding the TVSymp index and the SCR rise time (SCR_RiseT), these EDA features also demonstrate substantial mutual information with FAA, particularly during the N-Back task, which is a highly memory-demanding task.\nOn the other hand, the two main clusters (the two class labels) shown in dendograms in Figure 8, Figure 9, Figure 10 and Figure 11 have a clear delimitation given by the positive and negative values of FAA in most of the cases. Additionally, there is a great influence from EDA features such as the mean and standard deviation of tonic component (Mean_Tn, Std_Tn), the mean of wavelet coefficients of tonic (Mean_WL_Tn) and TVsymp index. The observed strong relationship between the tonic component of EDA and FAA aligns with the results reported in [17], which also associate the skin conductance level (SCL) with specific individual emotions and thoughts, a psychological domain to which FAA has been connected. Regarding the TVSymp feature, obtained through the high-resolution time–frequency spectrum technique VFCDM, it exhibits high values in the 0.08–0.24 Hz band [48], a range more closely aligned with the phasic component of EDA. This suggests that certain behaviors not captured by the proposed phasic features may be extracted from this parameter, particularly when analyzing direct sympathetic responses to stimuli.\nUnlike conventional event-related EDA features, such as the mean and standard deviation of the tonic component or the SCR rise time, wavelet-based features offer a simultaneous time–frequency representation of the EDA signal. Specifically, they provide information about power density across the analyzed frequency spectrum (0.005–0.5 Hz) and how this spectral composition evolves over time. This allows the identification of which frequency bands are most active under different experimental conditions, such as during states of fatigue or cognitive load (Figure 3). In the clustering process, the mean of the wavelet transform for the tonic component (Mean_WL_Tn) played a notable role in cluster separation in the majority of cases (Figure 8, Figure 9, Figure 10 and Figure 11). Although this feature reflects spectral intensity over time rather than conventional event-related parameters (e.g., signal amplitude, rise time, and peak count, among others), it consistently exhibited similar behavior to these features in relation to FAA throughout the results. This consistency further supports the robustness of wavelet-based features as complementary indicators of the relationship between EDA and FAA.\nIn terms of cognitive tasks and considering FAA values, clusters are more distinguishable for tasks associated to high memory demands and alertness conditions, such as EAT and N-Back. In contrast, they are less differentiable, specifically in high trials, in tasks like PVT and ship search, which are related to spatial temporal and vigilance awareness. As previously mentioned, FAA measures are included in the dendrograms for illustrative purposes, helping to identify their relationship with EDA features. In this sense, the dendrograms reveal that the normalized FAA ratio (P_Asym) or the mutual information based FAA (MI_FAA) and the mean tonic component (Mean_Tn) can exhibit two distinct patterns within a cluster, i.e., they can both show high values, or one can be high while the other is low (e.g., trials 1 and 12 of EAT). Despite this variability, the cluster division is consistent with what would be achieved using P_Asym since the mutual information is a measure with the ability to consider these non-linear relationships.\nIn relation to the mutual information-based FAA (MI_FAA), meaningful behavior is discernible in terms of clusters definition since it exhibits both positive and negative relationships with P_Asym and Mean_Tn, especially in EAT and ship search tasks, which provides insights about the potential of this measure in terms of emotions classification. On the other hand, due to this non-linear relationship, it is not possible to distinguish positive and negative emotions from the MI_FAA sign as we do with P_Asym (Figure 12). However, considering the nature of mutual information, low values of MI_FAA suggest high FAA asymmetry, which is visible for ship search and N-Back tasks (Figure 12b,c, respectively). This consistent behavior in specific contexts proposes further research in order to clarify its generalization.\nAs we mentioned before, the clustering procedure, based only in EDA features, revealed two primary classes corresponding to high and low FAA values. These class labels were subsequently used to train a support vector machine (SVM) model for predicting FAA levels using only EDA features. In this regard, the results shown in Figure 12 and Table 2 demonstrate a good performance in terms of accuracy, in spite of the notable non-linear variation between FAA and features such as the mean of the tonic component (Mean_Tn). First, Figure 12a–d show the classification process through the observation windows (variation in time), where Class 1 (Red dots) is associated to positive FAA values (normalized FAA ratio-P_Asym, dashed lines colored in gray), whereas Class 2 (Black stars) is associated to negative FAA values. Additionally, MI_FAA behavior and Mean_Tn are depicted in solid blue and dotted cyan, respectively. Notably, these variables do not follow a linear relationship with P_Asym, as we have described previously. Second, Table 2 shows the model consistency in terms of accuracy across all trials in the leave-one-trial-out cross-validation strategy.\nIn terms of statistical significance, the analysis of both non-linear and linear relationships between EDA features and FAA, assessed via mutual information and Pearson’s correlation, respectively, revealed highly significant dependencies, with particularly strong robustness observed in the non-linear case (p<0.0002). In contrast, linear correlations exhibited some variability in both strength and direction across individuals and features (Table 1). While most of these correlations reached statistical significance, some were negligible (e.g., Participant 1, Trial 7: r=0.0064, p=0.936). These findings underscore the value of mutual information as an appropriate tool for detecting relevant relationships that may be overlooked by conventional correlation measures. The use of a permutation surrogation approach for each of the six most representative EDA features, supports the statistical validity of our analysis, as each feature generated its own empirical null distribution through 10,000 permutations. The results showed that all six EDA features reached statistical significance with p<0.0002, providing strong evidence against the null hypothesis. Notably, the probability of observing six independent features all yielding p<0.0002 by chance is very low. As a further conservative test, we applied the Bonferroni correction for multiple comparisons (corrected α=0.056=0.0083). Even under this most rigorous criterion, all p-values remain below the corrected threshold, confirming that our findings are robust to multiple comparisons correction.\nIn general terms, the abovementioned results have demonstrated robust performance across all cognitive tasks and levels of sleep deprivation, indicating that both cognitive load and fatigue contribute to negative emotional states. This effect was most pronounced during late-night hours when fatigue reached its highest levels (this effect is also shown in Figure 4a).\n\n\n### 5. Limitations and Future Directions\nAs we have mentioned, the mutual information-based FAA (MI_FAA) exhibits potential for emotions classification due to its non-linear relationship with the normalized FAA ratio (P_Asym) and the mean tonic component (Mean_Tn) depicted in dendograms in Figure 8 and Figure 9. However, as is noticeable in Figure 12, it is not completely generalizable that low MI_FAA values (negative values when they are standardized) are associated to high asymmetry as expected, considering the mutual information nature. In this sense, further work is necessary to obtain concluding evidence in this regard. To extend the detectable spectrum of emotions, future work could integrate visual, audible, and cognitive stimuli, using methods like facial expression detection while simultaneously recording EDA and FAA signals. This multi-modal approach would allow emotional states to be classified according to established psychological frameworks, such as the circumplex model of affect proposed in [62].\nFurthermore, our findings can be integrated with recent advances involving IoT, artificial intelligence, and micro-electro-mechanical system (MEMS) sensors for real-time physiological signal acquisition [63]. Such integration holds particular promise for remote health monitoring applications, especially in elderly populations. Future studies could also investigate the specific contribution of time and time–frequency features by comparing model performance with and without them, thereby providing a more granular understanding of their role in emotion recognition based on the EDA signal.\nFrom the perspective of EDA features, the frequency range of TVSymp suggests a relationship with the phasic component that was not evident in the clustering results. While the phasic signal itself was not strongly associated with FAA, TVSymp, derived from the VFCDM method, exhibited such an association. This indicates that the VFCDM technique may provide additional information not captured by conventional time or time–frequency domain features of the phasic component, such as its mean and standard deviation. Future work could explore the independent contributions of both types of features to better understand their roles in characterizing physiological states.\nIn relation to the sample size limitations, given the demanding nature of the 25 h sleep deprivation protocol for both researchers and participants, combined with the difficulty of recruiting individuals willing to undergo such an extended period of sleep loss, this study was necessarily conducted with a limited sample of 10 young, healthy subjects. Consequently, the small sample size and the specific demographic of the participants mean that our findings are specific to this group. Therefore, broader generalizations will require additional data collection.\n\n\n### 6. Conclusions\nThis study analyzed the EDA (electrodermal activity) and the EEG (electroencephalography) signals that were taken from ten participants developing four cognitive tasks (EAT, ship search, PVT, and N-Back) over 12 trials developed in 24 h. We have found interrelations between EDA features, measured in time and frequency domains, with FAA by means of the mutual information. Such interrelation allowed the identification, by means of the EDA signal, of two main clusters related to high and low FAA values, which can be consequently associated to the positive or negative emotional states of individuals. Additionally, using the support vector machine (SVM) algorithm, we created a model to predict these states for the different cognitive tasks and under deprivation conditions, obtaining good performance in terms of accuracy when a leave-one-trial-out cross-validation strategy is used for robust evaluation. Our findings establish EDA as a promising alternative to FAA for physiological emotion analysis.", "domain": "affective_neuroscience"}
{"source": "PMC12981497", "title": "Building bridges to emotion: Developing a standardized film-based emotion elicitation tool for Iranian culture", "text": "# Building bridges to emotion: Developing a standardized film-based emotion elicitation tool for Iranian culture\n\n## Abstract\nEmotion elicitation through culturally relevant stimuli is crucial for psychological research that seeks to explore affective processes within specific populations. This study aimed to develop and validate a film-based emotion elicitation tool for Iranian culture. A comprehensive database of short video clips was selected to evoke distinct emotional states, including happiness, tenderness, fear, anger, sadness, and disgust, alongside neutral clips as controls. To validate the database, the emotional responses of 300 Iranian participants were assessed using key dimensions of arousal and valence, positive and negative affective states, gender differences, and mixed emotions. The results indicated that all emotional stimuli elicited significantly higher arousal levels compared to neutral clips, with fear-inducing clips generating the highest arousal levels. In terms of valence, positive emotional films, such as those inducing happiness and tenderness, were significantly associated with higher pleasantness, while anger elicited the lowest valence scores, indicating its strong negative impact. Additionally, the video clips effectively differentiated between positive and negative affective states, with clear statistical significance observed across all comparisons (p<0.0001), showing that videos designed to evoke positive emotions (e.g., happiness) and negative emotions (e.g., fear) successfully achieved these outcomes across the participant group. Gender differences were also examined, with women generally showing higher levels of emotional arousal than men, particularly in response to happiness, tenderness, sadness, and disgust, though the overall effect sizes were small. Finally, the study delved into the complexity of mixed emotions, where participants often experienced simultaneous conflicting emotions, such as happiness and sadness, challenging traditional discrete emotion frameworks. The findings affirm the cultural relevance and efficacy of the developed video clip database in eliciting a wide range of emotional responses, making it a valuable tool for future psychological studies in Iranian contexts. This study underscores the importance of culturally specific stimuli in emotion research and provides a robust resource for exploring the emotional landscape within Iranian culture.\n\n## Full Text\n\n\n### Introduction\nOver the past several decades, the field of emotion research has experienced a significant surge, particularly in its exploration of the intricate relationships between emotion, cognition, behavior, personality, and physiology. The importance of employing emotion-regulatory strategies for various cognitive processes is being recognized significantly. Such recognition has resulted in higher dependency on the laboratory paradigms that use emotional elicitation stimuli to modify, mimic, or induce emotional contexts for comprehensive research. Such a methodology is used extensively across the social sciences with a specific concentration on psychology, for investigation of different fields, e.g., emotional mimicry and contagion, mood dynamics, socio-cultural and intrapersonal processes, emotional regulation, and prosocial behavior [1–6]. To artificially induce emotional changes for these studies, a variety of techniques have been developed, including the use of emotional words [7,8], English texts [9–12], emotional images [13–17], faces [18–20], video clips [21–37], music [38–42], personal recollection [39,43–46], imagination [47–50], and virtual reality [51,52].\nDespite the efficacy of all these methods in eliciting discrete/continuous mood states, there is a growing trend towards the use of emotional audiovisual materials or film clips. This trend reflects their effectiveness in eliciting the desired subjective emotional states for research purposes, making them one of the most user-friendly techniques in the laboratory setting. These clips, serving as an optimal artificial model of reality, are dynamic, multi-modal, and replete with contextual information that facilitates the understanding of characters’ emotional states [29,53–55]. Their complexity, coupled with a blend of explicit and implicit affective and cognitive features, effectively engages the audience’s auditory and visual senses [56–58], leading to an emotional experience akin to real life, where emotions evolve over time [53,59]. This method effectively addresses potential ethical and practical concerns related to the manipulation of emotions [60]. Moreover, given the ubiquity of television and film viewing and the global target audience of most contemporary films, it is assumed that the video presentation induction procedure is not likely to be largely influenced by gender and other differences. Consequently, film clips provide a more ecologically valid alternative for emotion elicitation compared to other affect-induction techniques, such as static images and recalling previous emotional events [56,61–64]. Furthermore, emotional film clips have demonstrated their capacity to induce robust and quantifiable subjective and physiological changes [64–66]. Finally, meta-analyses of emotion induction further underscore the potency of film as one of the most effective ways of eliciting emotions [55,67–69]. Together, these studies furnish some databases of film clips that are expected to consistently evoke specific responses from participants. However, the validity and relevance of the normative data associated with some clips are being re-evaluated due to societal shifts in preferences and norms over the past two decades (e.g., [70]), highlighting the need for a regularly updated archive for research utilization.\nRecognizing the profound influence of personal, gender-specific, cultural, and linguistic factors on emotions (e.g., [53,71–76]), particularly complex emotions (e.g., [31,32,77–79]), it becomes imperative to validate emotional assessment tools across diverse cultures [80,81]. In other words, despite the development of a robust and reliable collection of video clips over several decades, their validity in different cultural contexts remains uncertain due to the aforementioned factors. Hence, it is both theoretically and practically significant to investigate the effectiveness of these video clips in evoking corresponding emotional responses in diverse cultures. This study aims to fill a significant gap in the literature by validating a database within the Iranian community, thereby addressing a wide spectrum of potential research inquiries – an endeavor yet to be accomplished. This initiative has led to the development of culture-sensitive emotional databases catering to non-English speaking audiences, a feat already achieved in other cultures and languages. For instance, Schaefer et al. [23] developed a database for French-speaking audiences, encapsulating emotions such as amusement, tenderness, anger, contentment, fear, sadness, and neutrality. Similarly, Xu [82] introduced several Chinese music videos expressing happiness, anger, contentment, fear, sadness, surprise, and neutrality. Hewig et al. [63] not only validated previous movie sets but also enriched the German sample with four neutral clips, encompassing emotions like happiness, amusement, contentment, fear, sadness, anger, and neutrality. This process of validation has been investigated in other cultures and languages as well, with further examples available in [24,60,83–87]. Importantly, the Iranian specificity of the present database extends beyond language adaptation; candidate excerpts were screened against an explicit cultural/religious compatibility criterion applied to both visual content and dialogue, prior to final inclusion. This study, therefore, stands as a pioneering effort in expanding the horizons of emotional research within the Iranian community. Consequently, we have developed and evaluated of what is to the best of our knowledge the most comprehensive normative database of emotional film scenes within Iranian culture. This paper intends to detail the development of this database, including the tests that demonstrated its efficacy in inducing emotions in a laboratory environment.\nThe creation and validation of a database for video clips that elicit emotions should be firmly rooted in distinct theories of emotion. A vibrant theoretical debate has emerged concerning the intrinsic nature of human emotional responses. Theorists of discrete or basic emotion theories, such as Ekman [88,89] and Tooby & Cosmides [90], argue that emotions are short-lived, organized into a limited set of fundamental categories, and consist of distinct episodes that include various loosely connected responses—autonomic, behavioral, and experiential—that have evolved to facilitate our adaptation to specific environmental challenges. For instance, anger involves a set of responses developed to address goal obstruction [91], while sadness involves responses tailored to cope with loss [92]. These viewpoints have facilitated the development of sets of emotional film stimuli capable of eliciting distinct experiential states corresponding to basic emotions (e.g., happiness, surprise, fear, sadness, anger, and disgust). However, beyond emotional discreteness, research often requires stimuli validated on broader criteria, including films that assess the impact of varied emotional arousal and valence intensities on cognitive functions. Furthermore, the elicitation of mixed emotions – where multiple basic emotions are experienced simultaneously – is crucial for comprehensive studies [93–95]. Dimensional or psychological constructionist theorists, such as Barrett [96], propose that emotional responses are more accurately understood through two underlying neurobiological continuous dimensions [97–99] that respond to environmental stimuli, rather than through discrete basic emotions: hedonic valence (i.e., pleasantness or unpleasantness) and arousal level (i.e., low or high) of stimuli that shape our multi-dimensional responses (behavioral, autonomic, etc.). Hence, specific emotions such as anger, fear, or sadness are perceived as social constructs that originate from how individuals appraise or conceptualize the provoking event [100].\nThus, to construct a comprehensive collection of emotional stimuli, researchers should manipulate both these dimensions as well as basic emotions. This supports the selection and arrangement of a diverse assortment of film clips, which are instrumental for researchers with varying theoretical orientations or research objectives. For instance, researchers aiming to manipulate mood to study its impact on executive attention may find clips validated within a dimensional framework particularly useful. In contrast, those investigating the effects of fear on visual search and memory might prefer clips validated under a discrete emotions framework. Accordingly, we have examined the movie clip stimuli through a dual-dimensional lens. The first dimension involves the analysis of stimuli known to evoke specific or discrete emotional reactions, while the second dimension pertains to stimuli that align with dimensional or psychological constructionist perspectives. Moreover, our analysis categorizes stimuli that predominantly utilize a discrete emotions framework, yet acknowledges the intricacies involved in the simultaneous elicitation of related emotions.\nAs indicated, culture and language are pivotal elements that significantly influence the effectiveness of emotion induction techniques. Over recent decades, there has been a substantial upsurge in the attention given by Iranian researchers to the study of emotions and their profound impact on various facets of human behavior and its underlying processes, including individual, social, cognitive, and neural functions. This has led to a multitude of studies in this domain (e.g., see [101–105]). However, it is noteworthy that mood induction methods such as images [106, 107, 108], words [109,110], and music [111–114] have been predominantly used, overshadowing the use of video clips. Although a variety of video clips have been utilized in a handful of studies, their use has been rather limited and confined to specific research contexts. Notably, recent work by [26] has contributed to this area by not only collecting self-report data but also integrating neuropsychological approaches and collecting various neural data. However, our study differs significantly in several key aspects. We assessed a substantially larger sample size of 300 participants, which enhances the statistical power and validity of our findings. Additionally, we have strived to capture the unique cultural diversity of Iran, a multicultural society comprising Persian, Kurdish, Turkish, and other ethnic groups, to ensure a more representative and inclusive dataset. Furthermore, while [26] focused on locally Iranian-produced films, our study adopts a different approach by utilizing internationally recognized films with validated Persian subtitles, following methodologies similar to those used in cross-cultural emotion studies (e.g., [23]). This approach is based on the hypothesis that basic emotions are likely to be consistent across cultures, thus enabling a more reliable induction of emotions within the Iranian context. The specific differences and advantages of our approach, including the inclusion of the emotion “tenderness,” mixed emotions, gender differences, and the validation of the Discrete Emotions Scale (DES) for the first time in the Iranian community, will be further discussed in the Discussion section.\nWith this in mind, the primary objective of the present study is to develop and validate a reliable and comprehensive database of emotion-inducing video clips as a methodological tool for emotion research within the Iranian culture and community. This objective encompasses the following goals: 1. Selection from a fairly large collection of diverse video clips that span a broad spectrum of emotional dimensions. 2. Evaluation of the effectiveness of video clips utilizing various tools from both dimensional and discrete approaches. 3. Creation and validation of a video clip database encompassing seven emotions: neutral, sadness, happiness, fear, anger, tenderness, and disgust. 4. Identification of the most emotionally effective video clips. 5. Translation and validation of a discrete emotion questionnaire for the first time within the Iranian community. 6. Lastly, providing open access to the data, analyses, and codes via the Open Science Framework, facilitates flexible selection and usage by researchers worldwide.\nThe remainder of this paper is structured as follows: We first delve into the ’Methods’ section, where we illuminate the methodologies that anchor the foundation of this study. This includes an exhaustive explanation of the development of our video clip database, detailing the process of clip selection and collection, the method of use in a laboratory setting, and a thorough description of the process to evaluate the database’s effectiveness as emotional stimuli. This involves the use of tools to assess emotions in both discrete and continuous dimensions. The discrete dimension employs an extended version of the Differential Emotional Scale [23,115–117], validated for the first time in Iranian culture in this paper, which aligns with a basic emotions approach. The continuous dimension uses the Self-Assessment Manikin [102,118,119], validated by Nabizadeh et al. [120] for the Iranian community, to evaluate the video clip database aligned with a dimensional approach to emotions – subjective arousal and pleasantness. This section also covers the experimental design, participant involvement, and the analytical procedures used. Next, we present the ’Results’ section, where we reveal the findings of our data analysis, addressing a wide array of research questions. This provides insights into the process of selecting and ranking the most effective video clips from the database, supplemented by results from the highest-scoring subgroups. This leads into the ’Discussion’ section, where we undertake a meticulous analysis of our findings. Finally, we conclude with the ’Conclusion and Future Works’ section, summarizing the key findings of the research and suggesting potential directions for future exploration.\n\n\n### Overview\nAs indicated, culture and language are pivotal elements that significantly influence the effectiveness of emotion induction techniques. Over recent decades, there has been a substantial upsurge in the attention given by Iranian researchers to the study of emotions and their profound impact on various facets of human behavior and its underlying processes, including individual, social, cognitive, and neural functions. This has led to a multitude of studies in this domain (e.g., see [101–105]). However, it is noteworthy that mood induction methods such as images [106, 107, 108], words [109,110], and music [111–114] have been predominantly used, overshadowing the use of video clips. Although a variety of video clips have been utilized in a handful of studies, their use has been rather limited and confined to specific research contexts. Notably, recent work by [26] has contributed to this area by not only collecting self-report data but also integrating neuropsychological approaches and collecting various neural data. However, our study differs significantly in several key aspects. We assessed a substantially larger sample size of 300 participants, which enhances the statistical power and validity of our findings. Additionally, we have strived to capture the unique cultural diversity of Iran, a multicultural society comprising Persian, Kurdish, Turkish, and other ethnic groups, to ensure a more representative and inclusive dataset. Furthermore, while [26] focused on locally Iranian-produced films, our study adopts a different approach by utilizing internationally recognized films with validated Persian subtitles, following methodologies similar to those used in cross-cultural emotion studies (e.g., [23]). This approach is based on the hypothesis that basic emotions are likely to be consistent across cultures, thus enabling a more reliable induction of emotions within the Iranian context. The specific differences and advantages of our approach, including the inclusion of the emotion “tenderness,” mixed emotions, gender differences, and the validation of the Discrete Emotions Scale (DES) for the first time in the Iranian community, will be further discussed in the Discussion section.\nWith this in mind, the primary objective of the present study is to develop and validate a reliable and comprehensive database of emotion-inducing video clips as a methodological tool for emotion research within the Iranian culture and community. This objective encompasses the following goals: 1. Selection from a fairly large collection of diverse video clips that span a broad spectrum of emotional dimensions. 2. Evaluation of the effectiveness of video clips utilizing various tools from both dimensional and discrete approaches. 3. Creation and validation of a video clip database encompassing seven emotions: neutral, sadness, happiness, fear, anger, tenderness, and disgust. 4. Identification of the most emotionally effective video clips. 5. Translation and validation of a discrete emotion questionnaire for the first time within the Iranian community. 6. Lastly, providing open access to the data, analyses, and codes via the Open Science Framework, facilitates flexible selection and usage by researchers worldwide.\nThe remainder of this paper is structured as follows: We first delve into the ’Methods’ section, where we illuminate the methodologies that anchor the foundation of this study. This includes an exhaustive explanation of the development of our video clip database, detailing the process of clip selection and collection, the method of use in a laboratory setting, and a thorough description of the process to evaluate the database’s effectiveness as emotional stimuli. This involves the use of tools to assess emotions in both discrete and continuous dimensions. The discrete dimension employs an extended version of the Differential Emotional Scale [23,115–117], validated for the first time in Iranian culture in this paper, which aligns with a basic emotions approach. The continuous dimension uses the Self-Assessment Manikin [102,118,119], validated by Nabizadeh et al. [120] for the Iranian community, to evaluate the video clip database aligned with a dimensional approach to emotions – subjective arousal and pleasantness. This section also covers the experimental design, participant involvement, and the analytical procedures used. Next, we present the ’Results’ section, where we reveal the findings of our data analysis, addressing a wide array of research questions. This provides insights into the process of selecting and ranking the most effective video clips from the database, supplemented by results from the highest-scoring subgroups. This leads into the ’Discussion’ section, where we undertake a meticulous analysis of our findings. Finally, we conclude with the ’Conclusion and Future Works’ section, summarizing the key findings of the research and suggesting potential directions for future exploration.\n\n\n### Methods\nThe first step involved the careful compilation and examination of a diverse set of film excerpts, each corresponding to one of seven distinct emotional categories. These categories were chosen in alignment with the principles of the “basic emotion theory” and their established use in prior studies. The emotions under investigation in this study included neutral, sadness, happiness, fear, anger, tenderness, and disgust. The selection of these video excerpts was governed by a set of five stringent criteria:\nThe visual and verbal components of the films should align with the cultural and religious structures of Iranian society.\nThe films often fall into the category of emotions delineated in the “basic emotion theory.”\nThe verbal cues used in the films should be easily comprehensible and commonly found in everyday language.\nA majority of the selected films should have been utilized in prior emotion-related research.\nThe elicited emotion should remain consistent throughout the duration of the film, thereby excluding films that evoke a mix of positive and negative emotions.\nThe film clips should be relatively brief, devoid of visible watermarks, logos, or mosaics, and should not be of the animated genre.\nAlthough tenderness is not typically categorized as a basic emotion, its inclusion in this study was justified due to its acknowledgment as a distinct category of positive attachment-related emotions in prior studies [23,121–123]. Furthermore, this emotion is effectively elicited by films. We therefore included tenderness to complement happiness with a conceptually distinct positive category that has also been considered in prior film-clip databases (e.g., [23]). By contrast, we did not designate surprise as a target category because it is often brief and valence-ambiguous and can rapidly transition into other emotions, making sustained induction within multi-second excerpts less compatible with our selection criterion that the elicited emotion should remain relatively consistent throughout a clip; nevertheless, surprise-related experience was still assessed via the DES item cluster (“surprised, amazed, astonished”).\nIn our study, we drew upon prior research on the development and validation of mood-induction films to compile an extensive collection of film excerpts. Initially, we extracted 130 movie excerpts from a vast pool of potential scenes from previous studies. Subsequently, a collaborative survey involving the study’s researchers and six research assistants (including four females and four males) led to the selection of four video clips for each emotional category. The final selection included films that were commonly chosen by the individuals involved. Our selection methodology was subjective, aligning with the approach adopted in previous studies [22,29,86]. The research assistants were instructed to select movie excerpts that could potentially induce specific emotions, including neutrality, sadness, happiness, fear, anger, tenderness, and disgust. To ensure a clear understanding of these subjective emotions, eight research assistants were trained in various emotional categories, drawing upon the theoretical psychological knowledge presented in the previous section. Their training was validated by assessing their understanding of several common materials from current databases. In total, 27 selected video clips were incorporated into the study, with four movies representing each emotion, except for the neutral emotion, which was represented by three finalized movies. However, the research group unanimously agreed that the movies associated with the “happiness” emotion from previous studies were not suitable for inducing the desired mood within the Iranian community. Consequently, four “happiness” movies were selected and introduced into the study for the first time by the researchers. The finalized video clips ranged in length from 16 to 354 seconds, averaging 162.67 s (SD = 97.80 s). All movies were in English, with Persian subtitles added. These subtitles were meticulously reviewed and approved by three cognitive linguistics experts. We opted for subtitles over dubbed versions for two reasons: firstly, to preserve the original texture of the movies, particularly the soundtrack, which plays a crucial role in mood induction; and secondly, because in Iranian society, watching foreign movies with subtitles is more prevalent than watching dubbed versions. The details of each emotional film are shown in Table 1.\nA diverse cohort of three hundred native Iranians, comprising an equal distribution of males and females within the age range of 18 and 30 years (mean age = 24.44, SD = 3.66), voluntarily participated in the experiment through face-to-face sessions conducted at a dedicated behavioral laboratory. Comprehensive metadata, encompassing age, gender, and other demographic details of the participants, are readily accessible in the project’s open-source framework. All participants had either normal or corrected-to-normal visual and auditory functions. Prior to their participation, they were provided with exhaustive briefings pertaining to the research objectives and the experimental procedures. Following these briefings, they provided their consent to participate in the study by signing the requisite forms. The participants were assured of the confidentiality of their responses and were informed that they could withdraw from the study at any time. All participants completed the full experimental session and provided complete responses. Thus, no participants were excluded after enrollment and no data were discarded due to missing or incomplete responses. The task was programmed such that participants could proceed only after completing the required ratings, ensuring complete response records for all participants. This study received ethical approval from the Research Ethics Committees of Shahid Beheshti University (Approval ID: IR.SBU.REC.1399.066, Date: 2020-01-10). No participants under the age of 18 were included. Participant recruitment occurred between May 15, 2021 and August 20, 2021. Data collection (i.e., in-lab testing sessions) was completed within this period, and the full sample of 300 participants was tested over approximately 14 weeks, with sessions scheduled continuously across the recruitment window until completion. Demographic metadata (e.g., age and gender) are accessible via the project’s open-source framework. All data and programming codes supporting the findings of this study are available on the Open Science Framework (https://osf.io/2td5n/).\nIn our study, participants were carefully screened to ensure eligibility. Specifically, they were not receiving psychotropic treatment or using drugs, and they reported no history of psychological, psychiatric, or neurological disorders, consistent with DSM-5 criteria. To minimize potential bias due to depressive symptomatology in affective responding, participants completed the Beck Depression Inventory-II (BDI-II) [124] prior to the experiment. The BDI-II is a widely used self-report instrument assessing depressive symptoms over the past two weeks; following commonly used thresholds [125], individuals scoring ≥16 were not enrolled in the study. The BDI-II has well-established psychometric properties [126] and has also been validated in Iranian samples, demonstrating good internal consistency and test-retest reliability [127].\nThe experiment was conducted in a dedicated behavioral laboratory where participants worked independently (see Figs 1 and 2). Each participant was tested in the same controlled environment. Prior to the commencement of the experiment, the room’s lighting was dimmed and participants were given pre-recorded relaxation instructions. These instructions required participants to close their eyes, achieve full-body relaxation, including facial muscles, and engage in deep, regular breathing for a duration of approximately 120 seconds. Upon completion of the relaxation process, the participants promptly commenced the assigned task. Initially, detailed instructions about the test process and how to complete the instrument were displayed on the screen. Participants were encouraged to ask questions if they found any ambiguity in the instructions. A fixation dot was then centrally displayed for 500 ms before each movie was shown. Two neutral movies were consistently shown at the start of the task to familiarize the participants with the task and establish a baseline. The experimental stimuli, in the form of movies, were presented on a 14-inch screen with a resolution of 1366×768 pixels. All clips were presented in full (i.e., they could not be skipped), and therefore each participant watched the complete set of stimuli before proceeding to the post-clip ratings. Each participant was positioned at a 90-degree arc, facing the screen, and provided with individual headphones to ensure an immersive experience. To minimize distractions, participants were instructed to remove any potential devices such as smartphones or smartwatches and to maintain their focus on the screen throughout the experiment. Following each film excerpt, participants were asked to complete computerized questionnaires to assess their emotional state. Based on previous studies’ recommendations [21,23], participants were instructed to (a) express their authentic emotions, rather than what they believed others might expect them to feel in response to the movies, (b) convey the immediate thrill they experienced while viewing the movie, instead of their overall mood throughout the day, (c) disclose if they recognized the movie from the clip, to exclude any clips from our database that had been previously viewed by a minimum of 5% of the participants. In the subsequent stage, participants completed a series of distraction trials. They were instructed to press key 1 or key 2 upon seeing a circle or square, respectively. Participants were then asked to take a deep breath, follow the initial relaxation instructions, and press the “space” button when they were ready to watch the next movie. This procedure, inclusive of the relaxation instructions, was repeated for each film excerpt. Finally, a neutral movie was shown to the participants for emotional recovery, a process that was consistent across all subjects. This was followed by a random display of the movies. The entire experiment was designed and executed using the Python-based Psychopy library on a Windows PC. The experiment was conducted in a controlled setting, free from external interruptions, with only the participant present in the laboratory. This approach ensured a consistent and controlled experimental environment.\nThe procedure consisted of a preparation phase (personal information, Beck Depression Inventory, and relaxation instructions), followed by a computerized task. Each trial included (A) a fixation period (500 ms), (B) an emotional movie clip (up to 354 s), (C) self-report emotion ratings, and (D) a brief distraction task.\nIt should be noted that the sequence of film presentation was meticulously counterbalanced, adhering to the following criteria: (a) Films sharing identical target emotions were not sequenced back-to-back. (b) Participants were prevented from viewing two films with analogous valence/arousal successively. (c) The order of video clip presentations was randomized. (d) To familiarize participants with the experimental process and establish a baseline, two neutral films were screened at the commencement of the experiment. (e) A neutral film was presented at the conclusion of the experiment to facilitate emotional recovery and the processing of negative stimuli. This approach ensured a balanced and unbiased exposure to the different emotional stimuli throughout the experiment.\nThe Self-Assessment Manikin (SAM), a non-verbal pictorial assessment technique that measures pleasure, arousal, and dominance, was introduced by [119]. In this study, we implemented the dimensions of valence and arousal, based on the dimensional structure of emotion as proposed by [129]. These dimensions are frequently used in research contexts [23,68,130,131]. Given its intercultural applicability, SAM is suitable for use across various cultures and countries [132–135]. It serves as an alternative to verbal reporting scales. In our research, we used the computerized version of SAM, developed by [119], which employs a nine-degree scale to evaluate the dimensions of valence and arousal. Participants rated their level of pleasantness/happiness/amusement (coded as 9) or unpleasantness/sadness (coded as 1), as well as arousal (coded as 9) or calmness (coded as 1), after watching each movie during the experiment using a nine-point Likert scale [119]. The responses were based on the participants’ feelings during the movies, rather than what they perceived to be the correct response. The research tool, which uses graphic images to express different emotional states, was easy to use regardless of the participant’s educational level. The Persian version of the experiment was validated by [120] for the Iranian community. Reliability was assessed using a two-week-interval retest method and by calculating Cronbach’s alpha coefficient. The internal consistency of the researcher-developed tool was assessed using Cronbach‘s alpha, yielding values of 0.89 and 0.83 for the pleasantness and arousal dimensions, respectively. These results indicate an acceptable level of reliability.\nIn our endeavor to evaluate discrete emotional dimensions following the viewing of each video clip, we have, for the first time to our knowledge, developed and validated a Differential Emotions Scale in Persian within Iranian society, drawing upon the insights from previous studies [21,30,46,115,116]. Our choice of the DES was motivated by its widespread use as a self-report scale for capturing discrete emotional feelings [30,83,136,137]. Specifically, we adapted and validated this Persian version of the DES, which had previously been successfully employed in validating emotional film stimuli in various languages, including English [116,138] and French [30,83]. The DES comprises groups of emotional adjectives, including descriptors such as ‘interested, concentrated, alert,’ ‘joyful, happy, amused,’ ‘sad, downhearted, blue,’ ‘angry, irritated, mad,’ ‘fearful, scared, afraid,’ ‘anxious, tense, nervous,’ ‘disgusted, turned off, repulsed,’ ‘disdainful, scornful, contemptuous’, ‘surprised, amazed, astonished,’ ‘warm-hearted, gleeful, elated,’ ‘loving, affectionate, friendly,’ ‘guilty, remorseful,’ ‘moved,’ ‘ satisfied, pleased,’ ‘calm, serene, relaxed,’ and ‘ashamed, embarrassed.’ Participants were asked to rate the intensity of their emotions for each item on a 7-point scale (ranging from ‘not at all‘ to ‘very intense’) after viewing each film clip. To maintain the flow of this paper, we have detailed the methods and analyses used for the validation and reliability of this Persian version of DES in S1 Appendix. Additionally, the Persian version of the DES is freely accessible to researchers via the open science framework at https://osf.io/2td5n/.\nThe data analysis involved several statistical procedures to evaluate the effectiveness of the video clips in eliciting specific emotional responses across multiple dimensions. To assess differences in emotional responses elicited by different categories of video clips, within-subjects repeated measures analyses of variance (ANOVA) were performed. Following the ANOVA, post-hoc multiple pairwise comparisons were carried out using Bonferroni’s correction to identify specific differences between the emotional categories. The results of these post-hoc tests provided insights into which categories significantly differed from one another in terms of the emotional dimensions under study. Significance levels were set at various thresholds to capture a range of statistical strengths. All analyzes were performed using R, with effect sizes calculated to provide additional insights. Exploratory analyses also examined potential gender differences. This approach validated our database’s effectiveness in an Iranian cultural context.\nWe report how we determined our sample size, all data exclusions, all manipulations, and all measures in the study, in accordance with the Journal Article Reporting Standards (JARS; Appelbaum et al., 2018). All data, analysis code, and materials for this study are publicly available on the Open Science Framework (OSF) and can be accessed at https://osf.io/2td5n/. Data were analyzed using R, version 4.0.0 (R Core Team, 2020), and the package ggplot, version 3.2.1 (Wickham, 2016). This study‘s design and hypotheses were not preregistered.\nAdditional information regarding the ethical, cultural, and scientific considerations specific to inclusivity in global research is included in the Supporting information (S1 Checklist).\n\n\n### Preliminary review of films and final selection by experts\nThe first step involved the careful compilation and examination of a diverse set of film excerpts, each corresponding to one of seven distinct emotional categories. These categories were chosen in alignment with the principles of the “basic emotion theory” and their established use in prior studies. The emotions under investigation in this study included neutral, sadness, happiness, fear, anger, tenderness, and disgust. The selection of these video excerpts was governed by a set of five stringent criteria:\nThe visual and verbal components of the films should align with the cultural and religious structures of Iranian society.\nThe films often fall into the category of emotions delineated in the “basic emotion theory.”\nThe verbal cues used in the films should be easily comprehensible and commonly found in everyday language.\nA majority of the selected films should have been utilized in prior emotion-related research.\nThe elicited emotion should remain consistent throughout the duration of the film, thereby excluding films that evoke a mix of positive and negative emotions.\nThe film clips should be relatively brief, devoid of visible watermarks, logos, or mosaics, and should not be of the animated genre.\nAlthough tenderness is not typically categorized as a basic emotion, its inclusion in this study was justified due to its acknowledgment as a distinct category of positive attachment-related emotions in prior studies [23,121–123]. Furthermore, this emotion is effectively elicited by films. We therefore included tenderness to complement happiness with a conceptually distinct positive category that has also been considered in prior film-clip databases (e.g., [23]). By contrast, we did not designate surprise as a target category because it is often brief and valence-ambiguous and can rapidly transition into other emotions, making sustained induction within multi-second excerpts less compatible with our selection criterion that the elicited emotion should remain relatively consistent throughout a clip; nevertheless, surprise-related experience was still assessed via the DES item cluster (“surprised, amazed, astonished”).\nIn our study, we drew upon prior research on the development and validation of mood-induction films to compile an extensive collection of film excerpts. Initially, we extracted 130 movie excerpts from a vast pool of potential scenes from previous studies. Subsequently, a collaborative survey involving the study’s researchers and six research assistants (including four females and four males) led to the selection of four video clips for each emotional category. The final selection included films that were commonly chosen by the individuals involved. Our selection methodology was subjective, aligning with the approach adopted in previous studies [22,29,86]. The research assistants were instructed to select movie excerpts that could potentially induce specific emotions, including neutrality, sadness, happiness, fear, anger, tenderness, and disgust. To ensure a clear understanding of these subjective emotions, eight research assistants were trained in various emotional categories, drawing upon the theoretical psychological knowledge presented in the previous section. Their training was validated by assessing their understanding of several common materials from current databases. In total, 27 selected video clips were incorporated into the study, with four movies representing each emotion, except for the neutral emotion, which was represented by three finalized movies. However, the research group unanimously agreed that the movies associated with the “happiness” emotion from previous studies were not suitable for inducing the desired mood within the Iranian community. Consequently, four “happiness” movies were selected and introduced into the study for the first time by the researchers. The finalized video clips ranged in length from 16 to 354 seconds, averaging 162.67 s (SD = 97.80 s). All movies were in English, with Persian subtitles added. These subtitles were meticulously reviewed and approved by three cognitive linguistics experts. We opted for subtitles over dubbed versions for two reasons: firstly, to preserve the original texture of the movies, particularly the soundtrack, which plays a crucial role in mood induction; and secondly, because in Iranian society, watching foreign movies with subtitles is more prevalent than watching dubbed versions. The details of each emotional film are shown in Table 1.\n\n\n### Participants and ethics\nA diverse cohort of three hundred native Iranians, comprising an equal distribution of males and females within the age range of 18 and 30 years (mean age = 24.44, SD = 3.66), voluntarily participated in the experiment through face-to-face sessions conducted at a dedicated behavioral laboratory. Comprehensive metadata, encompassing age, gender, and other demographic details of the participants, are readily accessible in the project’s open-source framework. All participants had either normal or corrected-to-normal visual and auditory functions. Prior to their participation, they were provided with exhaustive briefings pertaining to the research objectives and the experimental procedures. Following these briefings, they provided their consent to participate in the study by signing the requisite forms. The participants were assured of the confidentiality of their responses and were informed that they could withdraw from the study at any time. All participants completed the full experimental session and provided complete responses. Thus, no participants were excluded after enrollment and no data were discarded due to missing or incomplete responses. The task was programmed such that participants could proceed only after completing the required ratings, ensuring complete response records for all participants. This study received ethical approval from the Research Ethics Committees of Shahid Beheshti University (Approval ID: IR.SBU.REC.1399.066, Date: 2020-01-10). No participants under the age of 18 were included. Participant recruitment occurred between May 15, 2021 and August 20, 2021. Data collection (i.e., in-lab testing sessions) was completed within this period, and the full sample of 300 participants was tested over approximately 14 weeks, with sessions scheduled continuously across the recruitment window until completion. Demographic metadata (e.g., age and gender) are accessible via the project’s open-source framework. All data and programming codes supporting the findings of this study are available on the Open Science Framework (https://osf.io/2td5n/).\nIn our study, participants were carefully screened to ensure eligibility. Specifically, they were not receiving psychotropic treatment or using drugs, and they reported no history of psychological, psychiatric, or neurological disorders, consistent with DSM-5 criteria. To minimize potential bias due to depressive symptomatology in affective responding, participants completed the Beck Depression Inventory-II (BDI-II) [124] prior to the experiment. The BDI-II is a widely used self-report instrument assessing depressive symptoms over the past two weeks; following commonly used thresholds [125], individuals scoring ≥16 were not enrolled in the study. The BDI-II has well-established psychometric properties [126] and has also been validated in Iranian samples, demonstrating good internal consistency and test-retest reliability [127].\n\n\n### Procedure\nThe experiment was conducted in a dedicated behavioral laboratory where participants worked independently (see Figs 1 and 2). Each participant was tested in the same controlled environment. Prior to the commencement of the experiment, the room’s lighting was dimmed and participants were given pre-recorded relaxation instructions. These instructions required participants to close their eyes, achieve full-body relaxation, including facial muscles, and engage in deep, regular breathing for a duration of approximately 120 seconds. Upon completion of the relaxation process, the participants promptly commenced the assigned task. Initially, detailed instructions about the test process and how to complete the instrument were displayed on the screen. Participants were encouraged to ask questions if they found any ambiguity in the instructions. A fixation dot was then centrally displayed for 500 ms before each movie was shown. Two neutral movies were consistently shown at the start of the task to familiarize the participants with the task and establish a baseline. The experimental stimuli, in the form of movies, were presented on a 14-inch screen with a resolution of 1366×768 pixels. All clips were presented in full (i.e., they could not be skipped), and therefore each participant watched the complete set of stimuli before proceeding to the post-clip ratings. Each participant was positioned at a 90-degree arc, facing the screen, and provided with individual headphones to ensure an immersive experience. To minimize distractions, participants were instructed to remove any potential devices such as smartphones or smartwatches and to maintain their focus on the screen throughout the experiment. Following each film excerpt, participants were asked to complete computerized questionnaires to assess their emotional state. Based on previous studies’ recommendations [21,23], participants were instructed to (a) express their authentic emotions, rather than what they believed others might expect them to feel in response to the movies, (b) convey the immediate thrill they experienced while viewing the movie, instead of their overall mood throughout the day, (c) disclose if they recognized the movie from the clip, to exclude any clips from our database that had been previously viewed by a minimum of 5% of the participants. In the subsequent stage, participants completed a series of distraction trials. They were instructed to press key 1 or key 2 upon seeing a circle or square, respectively. Participants were then asked to take a deep breath, follow the initial relaxation instructions, and press the “space” button when they were ready to watch the next movie. This procedure, inclusive of the relaxation instructions, was repeated for each film excerpt. Finally, a neutral movie was shown to the participants for emotional recovery, a process that was consistent across all subjects. This was followed by a random display of the movies. The entire experiment was designed and executed using the Python-based Psychopy library on a Windows PC. The experiment was conducted in a controlled setting, free from external interruptions, with only the participant present in the laboratory. This approach ensured a consistent and controlled experimental environment.\nThe procedure consisted of a preparation phase (personal information, Beck Depression Inventory, and relaxation instructions), followed by a computerized task. Each trial included (A) a fixation period (500 ms), (B) an emotional movie clip (up to 354 s), (C) self-report emotion ratings, and (D) a brief distraction task.\nIt should be noted that the sequence of film presentation was meticulously counterbalanced, adhering to the following criteria: (a) Films sharing identical target emotions were not sequenced back-to-back. (b) Participants were prevented from viewing two films with analogous valence/arousal successively. (c) The order of video clip presentations was randomized. (d) To familiarize participants with the experimental process and establish a baseline, two neutral films were screened at the commencement of the experiment. (e) A neutral film was presented at the conclusion of the experiment to facilitate emotional recovery and the processing of negative stimuli. This approach ensured a balanced and unbiased exposure to the different emotional stimuli throughout the experiment.\n\n\n### Measures\nThe Self-Assessment Manikin (SAM), a non-verbal pictorial assessment technique that measures pleasure, arousal, and dominance, was introduced by [119]. In this study, we implemented the dimensions of valence and arousal, based on the dimensional structure of emotion as proposed by [129]. These dimensions are frequently used in research contexts [23,68,130,131]. Given its intercultural applicability, SAM is suitable for use across various cultures and countries [132–135]. It serves as an alternative to verbal reporting scales. In our research, we used the computerized version of SAM, developed by [119], which employs a nine-degree scale to evaluate the dimensions of valence and arousal. Participants rated their level of pleasantness/happiness/amusement (coded as 9) or unpleasantness/sadness (coded as 1), as well as arousal (coded as 9) or calmness (coded as 1), after watching each movie during the experiment using a nine-point Likert scale [119]. The responses were based on the participants’ feelings during the movies, rather than what they perceived to be the correct response. The research tool, which uses graphic images to express different emotional states, was easy to use regardless of the participant’s educational level. The Persian version of the experiment was validated by [120] for the Iranian community. Reliability was assessed using a two-week-interval retest method and by calculating Cronbach’s alpha coefficient. The internal consistency of the researcher-developed tool was assessed using Cronbach‘s alpha, yielding values of 0.89 and 0.83 for the pleasantness and arousal dimensions, respectively. These results indicate an acceptable level of reliability.\nIn our endeavor to evaluate discrete emotional dimensions following the viewing of each video clip, we have, for the first time to our knowledge, developed and validated a Differential Emotions Scale in Persian within Iranian society, drawing upon the insights from previous studies [21,30,46,115,116]. Our choice of the DES was motivated by its widespread use as a self-report scale for capturing discrete emotional feelings [30,83,136,137]. Specifically, we adapted and validated this Persian version of the DES, which had previously been successfully employed in validating emotional film stimuli in various languages, including English [116,138] and French [30,83]. The DES comprises groups of emotional adjectives, including descriptors such as ‘interested, concentrated, alert,’ ‘joyful, happy, amused,’ ‘sad, downhearted, blue,’ ‘angry, irritated, mad,’ ‘fearful, scared, afraid,’ ‘anxious, tense, nervous,’ ‘disgusted, turned off, repulsed,’ ‘disdainful, scornful, contemptuous’, ‘surprised, amazed, astonished,’ ‘warm-hearted, gleeful, elated,’ ‘loving, affectionate, friendly,’ ‘guilty, remorseful,’ ‘moved,’ ‘ satisfied, pleased,’ ‘calm, serene, relaxed,’ and ‘ashamed, embarrassed.’ Participants were asked to rate the intensity of their emotions for each item on a 7-point scale (ranging from ‘not at all‘ to ‘very intense’) after viewing each film clip. To maintain the flow of this paper, we have detailed the methods and analyses used for the validation and reliability of this Persian version of DES in S1 Appendix. Additionally, the Persian version of the DES is freely accessible to researchers via the open science framework at https://osf.io/2td5n/.\n\n\n### Self-assessment Manikin.\nThe Self-Assessment Manikin (SAM), a non-verbal pictorial assessment technique that measures pleasure, arousal, and dominance, was introduced by [119]. In this study, we implemented the dimensions of valence and arousal, based on the dimensional structure of emotion as proposed by [129]. These dimensions are frequently used in research contexts [23,68,130,131]. Given its intercultural applicability, SAM is suitable for use across various cultures and countries [132–135]. It serves as an alternative to verbal reporting scales. In our research, we used the computerized version of SAM, developed by [119], which employs a nine-degree scale to evaluate the dimensions of valence and arousal. Participants rated their level of pleasantness/happiness/amusement (coded as 9) or unpleasantness/sadness (coded as 1), as well as arousal (coded as 9) or calmness (coded as 1), after watching each movie during the experiment using a nine-point Likert scale [119]. The responses were based on the participants’ feelings during the movies, rather than what they perceived to be the correct response. The research tool, which uses graphic images to express different emotional states, was easy to use regardless of the participant’s educational level. The Persian version of the experiment was validated by [120] for the Iranian community. Reliability was assessed using a two-week-interval retest method and by calculating Cronbach’s alpha coefficient. The internal consistency of the researcher-developed tool was assessed using Cronbach‘s alpha, yielding values of 0.89 and 0.83 for the pleasantness and arousal dimensions, respectively. These results indicate an acceptable level of reliability.\n\n\n### Differential emotions scale.\nIn our endeavor to evaluate discrete emotional dimensions following the viewing of each video clip, we have, for the first time to our knowledge, developed and validated a Differential Emotions Scale in Persian within Iranian society, drawing upon the insights from previous studies [21,30,46,115,116]. Our choice of the DES was motivated by its widespread use as a self-report scale for capturing discrete emotional feelings [30,83,136,137]. Specifically, we adapted and validated this Persian version of the DES, which had previously been successfully employed in validating emotional film stimuli in various languages, including English [116,138] and French [30,83]. The DES comprises groups of emotional adjectives, including descriptors such as ‘interested, concentrated, alert,’ ‘joyful, happy, amused,’ ‘sad, downhearted, blue,’ ‘angry, irritated, mad,’ ‘fearful, scared, afraid,’ ‘anxious, tense, nervous,’ ‘disgusted, turned off, repulsed,’ ‘disdainful, scornful, contemptuous’, ‘surprised, amazed, astonished,’ ‘warm-hearted, gleeful, elated,’ ‘loving, affectionate, friendly,’ ‘guilty, remorseful,’ ‘moved,’ ‘ satisfied, pleased,’ ‘calm, serene, relaxed,’ and ‘ashamed, embarrassed.’ Participants were asked to rate the intensity of their emotions for each item on a 7-point scale (ranging from ‘not at all‘ to ‘very intense’) after viewing each film clip. To maintain the flow of this paper, we have detailed the methods and analyses used for the validation and reliability of this Persian version of DES in S1 Appendix. Additionally, the Persian version of the DES is freely accessible to researchers via the open science framework at https://osf.io/2td5n/.\n\n\n### Data analysis\nThe data analysis involved several statistical procedures to evaluate the effectiveness of the video clips in eliciting specific emotional responses across multiple dimensions. To assess differences in emotional responses elicited by different categories of video clips, within-subjects repeated measures analyses of variance (ANOVA) were performed. Following the ANOVA, post-hoc multiple pairwise comparisons were carried out using Bonferroni’s correction to identify specific differences between the emotional categories. The results of these post-hoc tests provided insights into which categories significantly differed from one another in terms of the emotional dimensions under study. Significance levels were set at various thresholds to capture a range of statistical strengths. All analyzes were performed using R, with effect sizes calculated to provide additional insights. Exploratory analyses also examined potential gender differences. This approach validated our database’s effectiveness in an Iranian cultural context.\n\n\n### Transparency and openness\nWe report how we determined our sample size, all data exclusions, all manipulations, and all measures in the study, in accordance with the Journal Article Reporting Standards (JARS; Appelbaum et al., 2018). All data, analysis code, and materials for this study are publicly available on the Open Science Framework (OSF) and can be accessed at https://osf.io/2td5n/. Data were analyzed using R, version 4.0.0 (R Core Team, 2020), and the package ggplot, version 3.2.1 (Wickham, 2016). This study‘s design and hypotheses were not preregistered.\n\n\n### Inclusivity in global research\nAdditional information regarding the ethical, cultural, and scientific considerations specific to inclusivity in global research is included in the Supporting information (S1 Checklist).\n\n\n### Results\nThe findings are focused on these key questions: Which categories of video clips elicited the most potent levels of emotional arousal? Which categories of video clips are most successful in inducing significant levels of emotional valence? Are the video clips capable of inducing distinct positive and negative affective states? Are we able to elicit differentiated emotional feeling states using the video clips? Are there any gender-based differences in emotional responses? What criteria should be used to select the most effective video clips from the database? In the following, we aim to thoroughly investigate each of these questions within the Iranian community and subsequently provide a separate report on the findings obtained for each one.\nWe first examined the self-reported arousal scale corresponding to each video clip across a range of emotional categories (see Fig 3). The statistical results of the impact of these categories on this particular arousal scale are shown in Fig 4, which encapsulates the metrics such as Bonferroni’s correction p-values and effect sizes visually in a heatmap. The data revealed a strong main emotional effect (p<10−6, η2=0.43). Upon closer examination of Fig 4, we can observe that the Bonferroni post hoc test highlighted a profound level of significance in all pairwise comparisons associated with the neutral category, evidenced by a p-value less than 10−6 (additional details and corresponding effect sizes can be found in Fig 4). Furthermore, a significant difference was observed in all pairwise comparisons among emotional categories, except for the pairs HAPPINESS–SADNESS and SADNESS–TENDERNESS (see Fig 4 for more information). These findings suggest that all emotional movies elicited higher levels of self-reported arousal compared to neutral movies, with fear-inducing movies generating the most intense arousal levels, while clips from movies in the sadness category produced lower arousal levels than other negative emotional films, though still higher than neutral films. This underscores the differential impact of various emotional categories on arousal levels.\nThis figure illustrates the analysis of emotional dimensions at the subject level. The horizontal axis denotes the valence dimension, reflecting the spectrum of positive to negative emotions. The vertical axis measures the arousal dimension, indicating the level of emotional activation or intensity. The mean and standard error are shown for each dimension.\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nHere, as our second question, we explored how different emotional video clips impact valence, another emotional dimension recognized through continuum theory, where a high valence rating signifies the pleasantness and a low valence rating indicates the unpleasantness of that particular category of movies. The measurement results for each target emotion category are graphically represented in Figs 3 and 5, which statistically demonstrates a strong main emotional impact (p<10−6, η2=0.71). As shown in the heatmap in Fig 5, in addition to all Bonferroni pairwise comparisons associated with the neutral genre being high significant at p<10−6, the pairwise comparisons of all emotional genres (except for FEAR–DISGUST, and HAPPINESS–TENDERNESS pairs) are statistically significant (see Fig 5 for details and corresponding effect sizes). The findings suggest that both positive emotional film categories (i.e., HAPPINESS, which produces higher levels of valence, and TENDERNESS) were successful in creating stronger levels of self-reported valence compared to neutral and negative films. Furthermore, the study reveals that the ANGER category of video clips resulted in the lowest level of valence. Therefore, it can be concluded that emotional films in the positive and negative genres have been successful in extracting positive and negative emotions, respectively.\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nTo test the discriminant induction validity of the positive-negative affective states across our categories of emotional video clips, we implemented a procedure to establish two robust/reliable measures. These measures, termed as positive and negative composite scores, represent Positive Affect (PA) and Negative Affect (NA) for each emotional condition. They were derived by averaging the classes of DES items. The positive composite score incorporated six items: “joyful, happy, amused”; “warm-hearted, gleeful, elated”; “loving, affectionate, friendly”; “interested, concentrated, alert”; “satisfied, pleased” “calm, serene, relaxed”. On the other hand, the negative composite score encompassed ten items: “fearful, scared, afraid”; “anxious, tense, nervous”; “moved”; “angry, irritated, mad”; “Ashamed, embarrassed” “sad, downhearted, blue”; “surprised, amazed, astonished”; “guilty, remorseful”; “disgusted, turned off, repulsed”; “disdainful, scornful, contemptuous”. Our results have strongly validated these two composite measures in the Iranian culture, mirroring findings from previous studies in other cultures (e.g., [23]). In particular, all Cronbach‘s alphas in our study exceeded 0.60, signifying a strong internal consistency for our scales, which aligns with Schmitt’s criterion [139] that deems a composite measure satisfactory with a value of 0.50, thereby highlighting the cross-cultural applicability of these composite measures. In response to these findings, our data analysis here is designed to address the following question: To what degree were the films categorized under positive and negative emotional states successful in eliciting the corresponding emotions? More precisely, we seek to determine whether the films, previously classified under positive and negative emotional categories by preceding studies, receive analogous ratings from Iranian participants. To this end, we conducted two separate statistical tests to examine the effect of the video clips category on PA and NA scores across all 27 video clips viewed by the participants.\nThe analysis of the data, with a focus on positive and negative composite scores, reveals a significant main effect of video clip categorization on PA (p<10−6, η2=0.68) and NA (p<10−6, η2=0.74), independently. We executed the corresponding post-hoc tests using Bonferroni pairwise comparisons to evaluate if the ratings for negative and positive affects differed between positive and negative video clips. Regarding the scores for positive affect, all positive video clips received significantly higher ratings compared to the negative video clips, evidenced by a p-value less than p<0.0001 (additional details and corresponding effect sizes can be found in Fig 6). Furthermore, the Bonferroni pairwise comparisons between all pairs of emotional categories, excluding ANGER–DISGUST and HAPPINESS–TENDERNESS, were statistically significant according to the post-hoc tests (see Fig 6 for more information). As depicted on the left side of Fig 6, the video clips from the HAPPINESS and TENDERNESS categories achieved the highest scores in terms of positive emotions. On the other hand, all negative video clips scored statistically higher than the positive video clips in terms of negative affect scores (p<0.0001, see Fig 6). As illustrated on the right side of Fig 6, video clips in the ANGER, FEAR, and DISGUST categories received the highest scores for the negative affect items. Additionally, the Bonferroni post-hoc pairwise comparison revealed a significant difference between each pair of emotions and all pairs within the negative genre (see Fig 6 for detailed information and corresponding effect sizes).\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nPerhaps it can be said that the most important feature that should be thoroughly examined in the context of emotional validation studies similar to this study is the elicitation of distinctly different emotional feeling states using the desired video clips. Due to the large sample size, this aspect can be investigated here based on the deep analysis of the DES. Specifically, it can explore the fundamental hypothesis of whether self-reported emotional profiles are modulated by video clip categorization. From a statistical perspective, an analysis of variance on repeated measures of 7 × 16 results revealed a strong and significant interaction between video clip categorization and DES elements, clearly supporting the proposed hypothesis (p<10−16, η2=0.46). Detailed statistical results on discrete emotional regulation by each induced video clip category are presented in Figs 7 and 8, including corrected p-values (using the Bonferroni method) and effect sizes visually in heatmaps. A closer examination of the heatmaps in Figs 7 and 8 reveals that most Bonferroni pairwise comparisons between the DES items were highly significant at p<0.001 (see Figs 7 and 8 for more details and corresponding effect sizes). These findings confirm the anticipated differentiation between emotional states. To provide further insight, the results can be analyzed by first targeting the specific DES item for each discrete emotional state. For instance, ANGER corresponded to DES item 5: “angry, irritated, mad,” FEAR to item 2: “fearful, scared, afraid,” TENDERNESS to item 12: “loving, affectionate, friendly,” SADNESS to item 9: “sad, downhearted, blue,” HAPPINESS to item 8: “joyful, amused, happy,” DISGUST to item 14: “disgusted, turned off, repulsed,” and NEUTRAL to item 16: “calm, serene, relaxed.” Subsequently, we conducted a set of six Bonferroni pairwise comparisons for each emotional category of video clips to examine the differences between the target state (associated with the chosen DES item) and each non-target state, as detailed in Figs 7 and 8. For example, in the category of SADNESS video clips, we zoom in on the statistical results of the Bonferroni pairwise comparisons of the specific DES item (‘‘sad, downhearted, blue”) with the six non-target items, which are targets for the other six emotional categories (e.g., ANGER, TENDERNESS, etc.). The statistical analyses in Figs 7 and 8 clearly show that all comparisons are highly significant, thereby supporting the hypothesis and the expected differences between the target states.\nSignificance codes: NS (non-significant), ‘****’ (<0.0001), ‘***’ (<0.001), ‘**’ (<0.01), ‘*’ (<0.05). Emotion abbreviations: A = anger, D = disgust, F = fear, H = happy, S = sadness, T = tenderness, N = neutral.\nSignificance codes: NS (non-significant), ‘****’ (<0.0001), ‘***’ (<0.001), ‘**’ (<0.01), ‘*’ (<0.05).\nHere, we have given particular attention to the role of gender in influencing continuous emotional dimensions, which include arousal, valence, positive and negative affects, and discrete emotions based on the DES elements. These were initially evaluated in Subsections 1 and 2 without gender as an additional factor. However, upon incorporating gender into our statistical analyses, we found that while it does not significantly influence valence (p>0.25, η2=0.0001), it may have a significant main effect on the emotional arousal scale within the Iranian population (p<10−4, η2=0.005), see Fig 9 for more details. To further investigate this effect, we conducted post-hoc tests using Bonferroni pairwise comparisons. Our observations revealed a significant difference between women and men in their emotional arousal responses during the presentation of video clips designed to induce feelings of HAPPINESS, TENDERNESS, SADNESS, and DISGUST (see Fig 9 for more details and corresponding effect sizes). Specifically, women probably exhibited significantly higher levels of emotional arousal compared to men. However, it is crucial to highlight that despite these significant differences, the corresponding effect sizes were relatively small, suggesting a negligible impact (see Fig 9).\nLeft panel: The effect of gender on arousal and valence. Right panel: Gender differences in positive & negative emotions. Significance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nOn the other hand, the investigation of the effect of gender on positive and negative emotions based on the composite DES scores showed no significant main effect on positive emotions (p>0.5, η2=0.0001), but identified a significant main effect on negative emotions (p<10−4, η2=0.001), see Fig 9 for more details. More specifically, based on Bonferroni pairwise comparisons, it was observed that gender creates a significant difference on the negative emotion scale during the viewing of a set of video clips inducing feelings of SADNESS, FEAR, ANGER, and DISGUST (see Fig 9 for more details). However, we believe that given the extremely low effect sizes (<0.01), this effect can be completely negligible.\nIn the final gender analysis, a significant main effect was found when examining the impact of gender on the DES items (p<10−16, η2=0.003). Based on Bonferroni pairwise comparisons, it was observed that gender significantly impacts various DES items under different emotional conditions induced by video clips (see Fig 10 for details). Specifically, gender significantly influenced:\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nDES 1 during the viewing of clips eliciting feelings of DISGUST (p<0.01, η2=0.43) and FEAR (p<0.002, η2=0.53),\nDES 2 during clips inducing feelings of ANGER (p<10−6, η2=0.55), DISGUST (p<10−5, η2=0.36), FEAR (p<0.02, η2=0.44), HAPPINESS (p<0.01, η2=0.1), SADNESS (p<0.01, η2=0.28), and TENDERNESS (p<0.007, η2=0.29),\nDES 3 during the viewing of video clips inducing feelings of ANGER (p<10−5, η2=0.45), DISGUST (p<10−6, η2=0.4), HAPPINESS (p<0.002, η2=0.17), and SADNESS (p<0.004, η2=0.27),\nDES 5 during the viewing of video clips inducing feelings of DISGUST (p<10−5, η2=0.41), FEAR (p<10−5, η2=0.41), HAPPINESS (p<0.02, η2=0.18), and SADNESS (p<0.03, η2=0.2),\nDES 6 during clips inducing feelings of SADNESS (p<0.03, η2=0.47),\nDES 7 during clips eliciting feelings of ANGER (p<0.02, η2=0.39), DISGUST (p<0.03, η2=0.44), and HAPPINESS (p<0.02, η2=0.39),\nDES 8 during clips inducing feelings of HAPPINESS (p<0.02, η2=0.35),\nDES 9 during the viewing of video clips inducing feelings of ANGER (p<0.02, η2=0.26), DISGUST (p<0.001, η2=0.3), and FEAR (p<0.005, η2=0.32),\nDES 10 during the viewing of NEUTRAL clips (p<0.03, η2=0.2),\nDES 11 during clips eliciting feelings of TENDERNESS (p<0.04, η2=0.56),\nDES 12 and DES 13 during clips inducing feelings of HAPPINESS (DES 12: p<0.005, η2=0.26; DES 13: p<0.02, η2=0.31),\nDES 14 and DES 15 during the viewing of video clips inducing feelings of ANGER (DES 14: p<0.003, η2=0.56; DES 15: p<0.04, η2=0.21) and FEAR (DES 14: p<0.04, η2=0.57; DES 15: p<0.02, η2=0.44).\nBased on the results presented here, we observe that around 30% of all possible cases demonstrated statistical significance (see Fig 10), indicating the impact of gender differences on DES items. However, it is essential to note that our investigation into the question in Subsection 4, was primarily focused on six out of the 16 possible DES items, which were considered as the main indicators of discrete emotions. Upon examining these six items, it was found that none of them reached statistical significance at a reasonable level of significance, such as p<0.01. Consequently, the gender differences observed in this study do not contribute any bias or effects to the analyses once the gender factor is excluded.\nIn mood induction studies, the selection of the most effective mood-inducing tools is of paramount importance. Researchers often formulate their questions and hypotheses around specific emotional variables, recognizing that not all variables are equally relevant. To address this, within the extensive collection of mood-induction video clips thoroughly examined here, we classified and rated them based on various distinct discrete and dimensional emotional variables. Beyond ranking these mood-inducing clips according to the self-reported experiences of individuals at a particular emotional state, we have also developed a 10-point rating system for these clips, taking into account all factors such as valence, arousal, each of the seven discrete emotions, and the balance of negative/positive affects. This methodological approach provides researchers with the capability to efficiently identify the most impactful video clips on a specific emotional dimension within our database.\nThe emotional rating system developed was grounded on a comprehensive set of 25 fundamental criteria, utilizing a video clip-level analysis lens. The procedure was as follows: First, a measurement matrix for all video clips in our database was computed based on the mean and standard deviation of individuals’ emotional variable scores related to arousal, valence, PA, and NA for each video clip. It is important to note that for the calculation of the mean and standard deviation of PA and NA scores across individuals for each video clip, each video clip was first evaluated on all 16 DES items. Then, based on the method described in Subsection 3, two video clip-level coefficients for the positive and negative composite scores were derived from the averaged DES item scores. In the second step, we tried to complete this four-criteria system by adding a six-criteria class named with discreteness coefficients each corresponding to the emotional categories (ANGER, FEAR, HAPPINESS, DISGUST, SADNESS, and TENDERNESS), with the explicit aim of classifying video clips based on the distinct levels of emotional states they elicit. To calculate each of the six discreteness coefficient criteria, the mean DES score of the scale targeting one specific emotion was subtracted from the averaged mean scores of the scales targeting the other five emotions. Finally, we completed the ten-criterion system mentioned thus far by adding a fifteen-criterion class named with mixed feelings (MF) coefficients, aiming to classify video clips based on a quantitative estimate of a more complex structure of human emotions, i.e., the mixed/composite emotions elicited pairwise by each video clip. Mathematically, there are various approaches to quantifying an estimation criterion for mixed feelings, ranging from simple additive, multiplicative, and minimum methods to more complex approaches such as dimensional scaling and machine learning algorithms like Principal Component Analysis (PCA), Independent Component Analysis (ICA), Multidimensional Scaling (MDS), etc. For the sake of simplicity and to maintain focus on the primary objective of this paper, we employed a multiplicative approach where the degree of the MF score is calculated based on the product of two elicited emotional scores (e.g., FEAR and DISGUST) associated with the same video stimulus. This formula is such that higher scores indicate stronger mixed feelings. If either emotion is low, the product—and consequently the MF coefficient—is low, and if both emotions are high, the product is higher, indicating stronger mixed emotions.\nThus, our emotional rating system is complete with the 25 fundamental criteria discussed above, providing a comprehensive framework for the classification and analysis of emotional responses elicited by video clips. The measurement matrix, which corresponds to all video clips in our database with the 25 fundamental criteria, is available as a table on the Open Science Framework (https://osf.io/2td5n/). As the final step in our video clip-level analysis, we identified the highest-ranking video clips based on 25 final criteria, separately for each criterion, to indeed have the video clips that induce the highest level of the targeted emotional variable. To ensure the robustness of the shortlists, we conducted several additional statistical analyses, including testing the hypothesis that each video clip in the shortlist for a specific criterion significantly differs from the average of the entire video clip database. The results were all significant with a p-value less than 10−6, indicating a very high level of efficiency for each criterion for each video clip in the shortlist. Additionally, within each shortlist, we performed an additional outlier analysis based on the conventional criterion of 1.5 times the interquartile range (IQR) from the first (Q1) and third quartiles (Q3) to identify any specific video clips that were significantly less or more effective than others in the shortlist, but no such cases were found, and all results were consistent (see Fig 11). Finally, the shortlists obtained for each of the 25 final criteria can be seen in detail in Figs 12 and 13.\nThis figure illustrates the distribution of shortlisted scores according to various criteria. The horizontal axis denotes the different classification criteria, while the vertical axis indicates the standardized scores, or Z-scores, applicable to all criteria.\nThis figure displays the video clips that rank highest, known as the shortlists, for each specific criterion each labeled with the emotional criterion’s score and its rank within the category. On the left, clips are aligned with continuous dimensional emotional variables, while on the right, they correspond to discrete, distinct emotional variables. These clips are selected to elicit the strongest response in the targeted emotional variable.\nThis figure displays the video clips that rank highest, known as the shortlists, for each specific MF coefficient, each labeled with the MF’s score and its rank within the category. These clips are selected to elicit the strongest response in the mixed/composite emotional variable.\n\n\n### Which categories of video clips elicited the most potent levels of emotional arousal?\nWe first examined the self-reported arousal scale corresponding to each video clip across a range of emotional categories (see Fig 3). The statistical results of the impact of these categories on this particular arousal scale are shown in Fig 4, which encapsulates the metrics such as Bonferroni’s correction p-values and effect sizes visually in a heatmap. The data revealed a strong main emotional effect (p<10−6, η2=0.43). Upon closer examination of Fig 4, we can observe that the Bonferroni post hoc test highlighted a profound level of significance in all pairwise comparisons associated with the neutral category, evidenced by a p-value less than 10−6 (additional details and corresponding effect sizes can be found in Fig 4). Furthermore, a significant difference was observed in all pairwise comparisons among emotional categories, except for the pairs HAPPINESS–SADNESS and SADNESS–TENDERNESS (see Fig 4 for more information). These findings suggest that all emotional movies elicited higher levels of self-reported arousal compared to neutral movies, with fear-inducing movies generating the most intense arousal levels, while clips from movies in the sadness category produced lower arousal levels than other negative emotional films, though still higher than neutral films. This underscores the differential impact of various emotional categories on arousal levels.\nThis figure illustrates the analysis of emotional dimensions at the subject level. The horizontal axis denotes the valence dimension, reflecting the spectrum of positive to negative emotions. The vertical axis measures the arousal dimension, indicating the level of emotional activation or intensity. The mean and standard error are shown for each dimension.\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\n\n\n### Which categories of video clips are most successful in inducing significant levels of emotional valence?\nHere, as our second question, we explored how different emotional video clips impact valence, another emotional dimension recognized through continuum theory, where a high valence rating signifies the pleasantness and a low valence rating indicates the unpleasantness of that particular category of movies. The measurement results for each target emotion category are graphically represented in Figs 3 and 5, which statistically demonstrates a strong main emotional impact (p<10−6, η2=0.71). As shown in the heatmap in Fig 5, in addition to all Bonferroni pairwise comparisons associated with the neutral genre being high significant at p<10−6, the pairwise comparisons of all emotional genres (except for FEAR–DISGUST, and HAPPINESS–TENDERNESS pairs) are statistically significant (see Fig 5 for details and corresponding effect sizes). The findings suggest that both positive emotional film categories (i.e., HAPPINESS, which produces higher levels of valence, and TENDERNESS) were successful in creating stronger levels of self-reported valence compared to neutral and negative films. Furthermore, the study reveals that the ANGER category of video clips resulted in the lowest level of valence. Therefore, it can be concluded that emotional films in the positive and negative genres have been successful in extracting positive and negative emotions, respectively.\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\n\n\n### Are the video clips capable of inducing distinct positive and negative affective states?\nTo test the discriminant induction validity of the positive-negative affective states across our categories of emotional video clips, we implemented a procedure to establish two robust/reliable measures. These measures, termed as positive and negative composite scores, represent Positive Affect (PA) and Negative Affect (NA) for each emotional condition. They were derived by averaging the classes of DES items. The positive composite score incorporated six items: “joyful, happy, amused”; “warm-hearted, gleeful, elated”; “loving, affectionate, friendly”; “interested, concentrated, alert”; “satisfied, pleased” “calm, serene, relaxed”. On the other hand, the negative composite score encompassed ten items: “fearful, scared, afraid”; “anxious, tense, nervous”; “moved”; “angry, irritated, mad”; “Ashamed, embarrassed” “sad, downhearted, blue”; “surprised, amazed, astonished”; “guilty, remorseful”; “disgusted, turned off, repulsed”; “disdainful, scornful, contemptuous”. Our results have strongly validated these two composite measures in the Iranian culture, mirroring findings from previous studies in other cultures (e.g., [23]). In particular, all Cronbach‘s alphas in our study exceeded 0.60, signifying a strong internal consistency for our scales, which aligns with Schmitt’s criterion [139] that deems a composite measure satisfactory with a value of 0.50, thereby highlighting the cross-cultural applicability of these composite measures. In response to these findings, our data analysis here is designed to address the following question: To what degree were the films categorized under positive and negative emotional states successful in eliciting the corresponding emotions? More precisely, we seek to determine whether the films, previously classified under positive and negative emotional categories by preceding studies, receive analogous ratings from Iranian participants. To this end, we conducted two separate statistical tests to examine the effect of the video clips category on PA and NA scores across all 27 video clips viewed by the participants.\nThe analysis of the data, with a focus on positive and negative composite scores, reveals a significant main effect of video clip categorization on PA (p<10−6, η2=0.68) and NA (p<10−6, η2=0.74), independently. We executed the corresponding post-hoc tests using Bonferroni pairwise comparisons to evaluate if the ratings for negative and positive affects differed between positive and negative video clips. Regarding the scores for positive affect, all positive video clips received significantly higher ratings compared to the negative video clips, evidenced by a p-value less than p<0.0001 (additional details and corresponding effect sizes can be found in Fig 6). Furthermore, the Bonferroni pairwise comparisons between all pairs of emotional categories, excluding ANGER–DISGUST and HAPPINESS–TENDERNESS, were statistically significant according to the post-hoc tests (see Fig 6 for more information). As depicted on the left side of Fig 6, the video clips from the HAPPINESS and TENDERNESS categories achieved the highest scores in terms of positive emotions. On the other hand, all negative video clips scored statistically higher than the positive video clips in terms of negative affect scores (p<0.0001, see Fig 6). As illustrated on the right side of Fig 6, video clips in the ANGER, FEAR, and DISGUST categories received the highest scores for the negative affect items. Additionally, the Bonferroni post-hoc pairwise comparison revealed a significant difference between each pair of emotions and all pairs within the negative genre (see Fig 6 for detailed information and corresponding effect sizes).\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\n\n\n### Are we able to elicit differentiated emotional feeling states using the video clips?\nPerhaps it can be said that the most important feature that should be thoroughly examined in the context of emotional validation studies similar to this study is the elicitation of distinctly different emotional feeling states using the desired video clips. Due to the large sample size, this aspect can be investigated here based on the deep analysis of the DES. Specifically, it can explore the fundamental hypothesis of whether self-reported emotional profiles are modulated by video clip categorization. From a statistical perspective, an analysis of variance on repeated measures of 7 × 16 results revealed a strong and significant interaction between video clip categorization and DES elements, clearly supporting the proposed hypothesis (p<10−16, η2=0.46). Detailed statistical results on discrete emotional regulation by each induced video clip category are presented in Figs 7 and 8, including corrected p-values (using the Bonferroni method) and effect sizes visually in heatmaps. A closer examination of the heatmaps in Figs 7 and 8 reveals that most Bonferroni pairwise comparisons between the DES items were highly significant at p<0.001 (see Figs 7 and 8 for more details and corresponding effect sizes). These findings confirm the anticipated differentiation between emotional states. To provide further insight, the results can be analyzed by first targeting the specific DES item for each discrete emotional state. For instance, ANGER corresponded to DES item 5: “angry, irritated, mad,” FEAR to item 2: “fearful, scared, afraid,” TENDERNESS to item 12: “loving, affectionate, friendly,” SADNESS to item 9: “sad, downhearted, blue,” HAPPINESS to item 8: “joyful, amused, happy,” DISGUST to item 14: “disgusted, turned off, repulsed,” and NEUTRAL to item 16: “calm, serene, relaxed.” Subsequently, we conducted a set of six Bonferroni pairwise comparisons for each emotional category of video clips to examine the differences between the target state (associated with the chosen DES item) and each non-target state, as detailed in Figs 7 and 8. For example, in the category of SADNESS video clips, we zoom in on the statistical results of the Bonferroni pairwise comparisons of the specific DES item (‘‘sad, downhearted, blue”) with the six non-target items, which are targets for the other six emotional categories (e.g., ANGER, TENDERNESS, etc.). The statistical analyses in Figs 7 and 8 clearly show that all comparisons are highly significant, thereby supporting the hypothesis and the expected differences between the target states.\nSignificance codes: NS (non-significant), ‘****’ (<0.0001), ‘***’ (<0.001), ‘**’ (<0.01), ‘*’ (<0.05). Emotion abbreviations: A = anger, D = disgust, F = fear, H = happy, S = sadness, T = tenderness, N = neutral.\nSignificance codes: NS (non-significant), ‘****’ (<0.0001), ‘***’ (<0.001), ‘**’ (<0.01), ‘*’ (<0.05).\n\n\n### Are there any gender-based differences in emotional responses?\nHere, we have given particular attention to the role of gender in influencing continuous emotional dimensions, which include arousal, valence, positive and negative affects, and discrete emotions based on the DES elements. These were initially evaluated in Subsections 1 and 2 without gender as an additional factor. However, upon incorporating gender into our statistical analyses, we found that while it does not significantly influence valence (p>0.25, η2=0.0001), it may have a significant main effect on the emotional arousal scale within the Iranian population (p<10−4, η2=0.005), see Fig 9 for more details. To further investigate this effect, we conducted post-hoc tests using Bonferroni pairwise comparisons. Our observations revealed a significant difference between women and men in their emotional arousal responses during the presentation of video clips designed to induce feelings of HAPPINESS, TENDERNESS, SADNESS, and DISGUST (see Fig 9 for more details and corresponding effect sizes). Specifically, women probably exhibited significantly higher levels of emotional arousal compared to men. However, it is crucial to highlight that despite these significant differences, the corresponding effect sizes were relatively small, suggesting a negligible impact (see Fig 9).\nLeft panel: The effect of gender on arousal and valence. Right panel: Gender differences in positive & negative emotions. Significance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nOn the other hand, the investigation of the effect of gender on positive and negative emotions based on the composite DES scores showed no significant main effect on positive emotions (p>0.5, η2=0.0001), but identified a significant main effect on negative emotions (p<10−4, η2=0.001), see Fig 9 for more details. More specifically, based on Bonferroni pairwise comparisons, it was observed that gender creates a significant difference on the negative emotion scale during the viewing of a set of video clips inducing feelings of SADNESS, FEAR, ANGER, and DISGUST (see Fig 9 for more details). However, we believe that given the extremely low effect sizes (<0.01), this effect can be completely negligible.\nIn the final gender analysis, a significant main effect was found when examining the impact of gender on the DES items (p<10−16, η2=0.003). Based on Bonferroni pairwise comparisons, it was observed that gender significantly impacts various DES items under different emotional conditions induced by video clips (see Fig 10 for details). Specifically, gender significantly influenced:\nSignificance codes: NS (non-significant), ‘****‘ (<0.0001), ‘***‘ (<0.001), ‘**‘ (<0.01), ‘*‘ (<0.05).\nDES 1 during the viewing of clips eliciting feelings of DISGUST (p<0.01, η2=0.43) and FEAR (p<0.002, η2=0.53),\nDES 2 during clips inducing feelings of ANGER (p<10−6, η2=0.55), DISGUST (p<10−5, η2=0.36), FEAR (p<0.02, η2=0.44), HAPPINESS (p<0.01, η2=0.1), SADNESS (p<0.01, η2=0.28), and TENDERNESS (p<0.007, η2=0.29),\nDES 3 during the viewing of video clips inducing feelings of ANGER (p<10−5, η2=0.45), DISGUST (p<10−6, η2=0.4), HAPPINESS (p<0.002, η2=0.17), and SADNESS (p<0.004, η2=0.27),\nDES 5 during the viewing of video clips inducing feelings of DISGUST (p<10−5, η2=0.41), FEAR (p<10−5, η2=0.41), HAPPINESS (p<0.02, η2=0.18), and SADNESS (p<0.03, η2=0.2),\nDES 6 during clips inducing feelings of SADNESS (p<0.03, η2=0.47),\nDES 7 during clips eliciting feelings of ANGER (p<0.02, η2=0.39), DISGUST (p<0.03, η2=0.44), and HAPPINESS (p<0.02, η2=0.39),\nDES 8 during clips inducing feelings of HAPPINESS (p<0.02, η2=0.35),\nDES 9 during the viewing of video clips inducing feelings of ANGER (p<0.02, η2=0.26), DISGUST (p<0.001, η2=0.3), and FEAR (p<0.005, η2=0.32),\nDES 10 during the viewing of NEUTRAL clips (p<0.03, η2=0.2),\nDES 11 during clips eliciting feelings of TENDERNESS (p<0.04, η2=0.56),\nDES 12 and DES 13 during clips inducing feelings of HAPPINESS (DES 12: p<0.005, η2=0.26; DES 13: p<0.02, η2=0.31),\nDES 14 and DES 15 during the viewing of video clips inducing feelings of ANGER (DES 14: p<0.003, η2=0.56; DES 15: p<0.04, η2=0.21) and FEAR (DES 14: p<0.04, η2=0.57; DES 15: p<0.02, η2=0.44).\nBased on the results presented here, we observe that around 30% of all possible cases demonstrated statistical significance (see Fig 10), indicating the impact of gender differences on DES items. However, it is essential to note that our investigation into the question in Subsection 4, was primarily focused on six out of the 16 possible DES items, which were considered as the main indicators of discrete emotions. Upon examining these six items, it was found that none of them reached statistical significance at a reasonable level of significance, such as p<0.01. Consequently, the gender differences observed in this study do not contribute any bias or effects to the analyses once the gender factor is excluded.\n\n\n### What criteria should be used to select the most effective video clips from the database?\nIn mood induction studies, the selection of the most effective mood-inducing tools is of paramount importance. Researchers often formulate their questions and hypotheses around specific emotional variables, recognizing that not all variables are equally relevant. To address this, within the extensive collection of mood-induction video clips thoroughly examined here, we classified and rated them based on various distinct discrete and dimensional emotional variables. Beyond ranking these mood-inducing clips according to the self-reported experiences of individuals at a particular emotional state, we have also developed a 10-point rating system for these clips, taking into account all factors such as valence, arousal, each of the seven discrete emotions, and the balance of negative/positive affects. This methodological approach provides researchers with the capability to efficiently identify the most impactful video clips on a specific emotional dimension within our database.\nThe emotional rating system developed was grounded on a comprehensive set of 25 fundamental criteria, utilizing a video clip-level analysis lens. The procedure was as follows: First, a measurement matrix for all video clips in our database was computed based on the mean and standard deviation of individuals’ emotional variable scores related to arousal, valence, PA, and NA for each video clip. It is important to note that for the calculation of the mean and standard deviation of PA and NA scores across individuals for each video clip, each video clip was first evaluated on all 16 DES items. Then, based on the method described in Subsection 3, two video clip-level coefficients for the positive and negative composite scores were derived from the averaged DES item scores. In the second step, we tried to complete this four-criteria system by adding a six-criteria class named with discreteness coefficients each corresponding to the emotional categories (ANGER, FEAR, HAPPINESS, DISGUST, SADNESS, and TENDERNESS), with the explicit aim of classifying video clips based on the distinct levels of emotional states they elicit. To calculate each of the six discreteness coefficient criteria, the mean DES score of the scale targeting one specific emotion was subtracted from the averaged mean scores of the scales targeting the other five emotions. Finally, we completed the ten-criterion system mentioned thus far by adding a fifteen-criterion class named with mixed feelings (MF) coefficients, aiming to classify video clips based on a quantitative estimate of a more complex structure of human emotions, i.e., the mixed/composite emotions elicited pairwise by each video clip. Mathematically, there are various approaches to quantifying an estimation criterion for mixed feelings, ranging from simple additive, multiplicative, and minimum methods to more complex approaches such as dimensional scaling and machine learning algorithms like Principal Component Analysis (PCA), Independent Component Analysis (ICA), Multidimensional Scaling (MDS), etc. For the sake of simplicity and to maintain focus on the primary objective of this paper, we employed a multiplicative approach where the degree of the MF score is calculated based on the product of two elicited emotional scores (e.g., FEAR and DISGUST) associated with the same video stimulus. This formula is such that higher scores indicate stronger mixed feelings. If either emotion is low, the product—and consequently the MF coefficient—is low, and if both emotions are high, the product is higher, indicating stronger mixed emotions.\nThus, our emotional rating system is complete with the 25 fundamental criteria discussed above, providing a comprehensive framework for the classification and analysis of emotional responses elicited by video clips. The measurement matrix, which corresponds to all video clips in our database with the 25 fundamental criteria, is available as a table on the Open Science Framework (https://osf.io/2td5n/). As the final step in our video clip-level analysis, we identified the highest-ranking video clips based on 25 final criteria, separately for each criterion, to indeed have the video clips that induce the highest level of the targeted emotional variable. To ensure the robustness of the shortlists, we conducted several additional statistical analyses, including testing the hypothesis that each video clip in the shortlist for a specific criterion significantly differs from the average of the entire video clip database. The results were all significant with a p-value less than 10−6, indicating a very high level of efficiency for each criterion for each video clip in the shortlist. Additionally, within each shortlist, we performed an additional outlier analysis based on the conventional criterion of 1.5 times the interquartile range (IQR) from the first (Q1) and third quartiles (Q3) to identify any specific video clips that were significantly less or more effective than others in the shortlist, but no such cases were found, and all results were consistent (see Fig 11). Finally, the shortlists obtained for each of the 25 final criteria can be seen in detail in Figs 12 and 13.\nThis figure illustrates the distribution of shortlisted scores according to various criteria. The horizontal axis denotes the different classification criteria, while the vertical axis indicates the standardized scores, or Z-scores, applicable to all criteria.\nThis figure displays the video clips that rank highest, known as the shortlists, for each specific criterion each labeled with the emotional criterion’s score and its rank within the category. On the left, clips are aligned with continuous dimensional emotional variables, while on the right, they correspond to discrete, distinct emotional variables. These clips are selected to elicit the strongest response in the targeted emotional variable.\nThis figure displays the video clips that rank highest, known as the shortlists, for each specific MF coefficient, each labeled with the MF’s score and its rank within the category. These clips are selected to elicit the strongest response in the mixed/composite emotional variable.\n\n\n### Discussion\nThe current study aimed to develop and validate the effectiveness of a comprehensive and newly developed emotional video clip database for emotion induction across Iranian culture and society according to different validity criteria. This initiative fills a significant gap in emotion research, as previous efforts have predominantly focused on Western populations, often overlooking the intricate cultural factors that shape emotional experiences. By evaluating the effectiveness of 27 carefully selected video clips, this study provides a robust tool for emotion researchers within and beyond Iran, contributing to the growing body of literature on culturally sensitive emotion induction techniques [22–24,60,84–87]. To that end, several questions were analyzed and the validation process involved a multifaceted analysis based on several validity criteria, e.g., general arousal, valence, seven criteria for emotional discreteness (ANGER, FEAR, HAPPINESS, DISGUST, SADNESS, TENDERNESS, and NEUTRAL), two dimensions of positive and negative effects based on DES scores, mixed-feeling scores (as measured by the DES), and gender differences across these dimensions.\nThe validation of emotional stimuli in this study was meticulously designed to address both the breadth and depth of emotional experiences. In particular, our approach to validating emotional stimuli was grounded in a robust theoretical framework, incorporating both basic emotion theories and dimensional models. By drawing on two major theoretical approaches to emotion—the basic emotion approach [89,115,140] and the dimensional approach [16,130]—we ensured that our assessment captured the multifaceted nature of emotional responses. The basic emotion approach, which categorizes emotions into distinct types such as happiness, sadness, anger, and fear, has been a widely accepted framework in emotion research [89,115]. In contrast, the dimensional approach, which emphasizes the continuous nature of emotional experiences along axes such as arousal and valence, offers a more nuanced understanding of how emotions are experienced and reported [16,130]. This dual approach ensured a comprehensive evaluation of the emotional efficacy of the video clips. Given the importance of culture and language in emotion induction, the study’s focus on an Iranian sample addresses a gap in existing research, where such databases are often developed with little consideration for cultural specificity. Previous studies, such as those by [22–24,60,84–87], have emphasized the role of culturally relevant stimuli in emotion induction, yet few have systematically developed a database within a specific cultural context. Our findings are consistent with previous studies that have demonstrated the utility of combining these approaches to provide a comprehensive assessment of emotional states [23,24,60,63,84–87].\nOne of the key contributions of this study is its focus on the cultural specificity of emotion induction techniques. Culture and language play crucial roles in shaping how individuals experience and express emotions, as evidenced by cross-cultural research in emotion psychology [141,142]. These factors are often underrepresented in emotion research, which tends to prioritize universality over cultural variability [142,143]. In the Iranian context, where cultural and linguistic diversity is profound, it was essential to create a database that could reflect and accommodate this diversity. In this context, the use of video clips, unlike static images, words, or music, offers a rich, dynamic medium where emotions can be elicited through the intricate interplay of audiovisual elements, narrative content, and social cues. This makes them particularly effective for capturing the complexity of emotional experiences within a specific cultural framework, as demonstrated by our findings. Previous research, including studies like those by [22–24,60,84–87], has shown that emotional stimuli can have different effects depending on cultural context. Our findings align with these studies, suggesting that while some emotions, such as fear, may be universally experienced, others, such as tenderness, may be more culturally specific [23,142].\nThe ethnic, cultural, and linguistic diversity of Iran presented both a challenge and a unique opportunity for this research. With a sample of 300 individuals representing Persian, Kurdish, and Turkish speakers, we were able to assess how these diverse groups respond to emotional stimuli. It is important to note that while these participants come from different linguistic backgrounds, they are all fluent in Persian, which is the official language of Iran and is widely used in schools, official media, and other formal settings. This approach not only enhances the ecological validity of our findings but also provides insights into the potential universality or specificity of emotional responses across different cultural groups within Iran. Similar findings have been reported in studies examining emotion induction in culturally diverse populations [143,144]. The inclusion of non-Persian clips in our study in an Iranian context allowed us to explore cross-cultural similarities and differences in how foreign stimuli are perceived in the Iranian context. Our findings align with previous cross-cultural studies [23,24,60,84–87,145], indicating that the selected clips effectively induced the intended emotional states among Persian participants.\nThe results demonstrated that the clips used within the subgroups were more effective in eliciting the intended emotional states during testing, as detailed in the previous section. The video clips successfully triggered distinct emotional responses, showing significant distinctions between positive and negative affects, while also maintaining a high degree of discreteness in evoking the seven target emotional states within each category of video clip. Our results indicated that all emotional video clips, particularly those designed to elicit fear, were highly effective in generating higher levels of self-reported arousal compared to neutral films. Fear-inducing video clips, in particular, produced the most intense arousal levels (p<10−6), underscoring the potency of fear as an emotion that can transcend cultural boundaries. This is consistent with the findings of [22–24,86], who noted that fear is one of the most reliably elicited emotions across different populations. Positive emotions such as happiness and tenderness also resulted in significantly higher valence scores compared to neutral and negative emotions, with anger-inducing films yielding the lowest valence levels. The majority of comparisons, grounded in these criteria, were significant and validated the anticipated differentiation between target states. However, the distinction between fear and anger was less pronounced during the anger induction phase, suggesting a potential overlap in the emotional experiences of these two states. This finding highlights the complexity of emotional experiences and the potential for emotions to coexist or interact in ways that are not fully captured by traditional models [129,146]. Further analysis of the anger-inducing films revealed that only ’Once Were Warriors’ significantly differentiated between fear and anger, suggesting that some films may evoke mixed emotional responses, a phenomenon also reported in other studies [23,62]. This finding highlights the need for further research into the nuances of emotion induction, particularly in culturally diverse settings.\nGender differences in emotional responses were another focal point of this study. Consistent with a substantial body of research, including studies by [99,147], our findings indicated that women reported higher levels of emotional arousal than men, particularly in response to negative emotions. However, it is important to emphasize that these gender-related effects were very small in magnitude (η2<.01) and should therefore be interpreted cautiously as exploratory differences with limited practical significance, likely facilitated by the large sample size. This gender difference in emotional arousal is a well-documented phenomenon and has been attributed to a combination of neurobiological and sociocultural factors [99,147–149]. Neurobiologically, it has been suggested that hormonal differences, particularly in the functioning of the amygdala, may underlie these gender differences in emotional reactivity [147,150,151]. Socioculturally, gender roles and expectations may influence how men and women experience and express emotions [99,148,149]. Moreover, our study revealed significant gender differences in the experience of specific negative emotions, particularly fear, sadness, anger, and disgust. Women were found to report higher levels of these discrete emotions compared to men, which aligns with several previous studies [22,23,99], who also reported heightened emotional responses in women, especially in response to fear and sadness. However, this finding contrasts with some research, such as the work by [62], which reported minimal gender differences in discrete negative emotions. The discrepancy between our results and those of other studies might be attributable to cultural differences, sample characteristics, or methodological variations in emotion elicitation and measurement. Furthermore, our study found no significant gender differences in emotional valence, suggesting that while women may experience certain emotions more intensely, the overall positivity or negativity of these emotions is not markedly different between men and women. This aligns with previous research by [22,24,62,86], who found similar patterns in emotional valence across genders. This pattern of findings highlights the complexity of gender differences in emotional responses and underscores the need for further research to explore these dynamics in diverse cultural and demographic contexts.\nAnother significant contribution of our study was the introduction of four novel video clips specifically designed to elicit happiness. These clips were carefully selected and rigorously tested to ensure they met the criteria for evoking a strong positive emotional response, outperforming traditional stimuli such as those used by [22,23] (note that in one of our early pilots, we tested these earlier clips within an Iranian context, but they failed to elicit the desired level of happiness, leading us to develop our own). Unlike the often-used but less ecologically valid happy stimuli, our video clips featured dynamic and relatable human interactions that resonate more naturally with viewers. This not only resulted in more consistent happiness ratings but also avoided the potential confounds of other emotional stimuli that may inadvertently induce mixed emotions. While our happiness clips were not directly compared with other established happiness stimuli from databases such as those by [22,23,29], they demonstrated superior ecological validity and compatibility with other emotional video clips used in this and similar studies. Future research should aim to further validate these clips across different cultural contexts to establish their robustness and generalizability. Nonetheless, the successful implementation of these happiness-inducing clips marks a valuable advancement in the toolkit available for emotion research.\nA further noteworthy contribution of this study is its in-depth examination of mixed feelings, which refers to the simultaneous experience of contrasting emotions, such as happiness and sadness. Our findings demonstrate that several video clips, initially categorized under a single emotion, also induced significant mixed feelings in participants, particularly those aligned with complex emotional experiences like nostalgia or bittersweetness. This finding is critical as it underscores the complexity of human emotional responses, challenging the discrete emotions framework that has dominated emotion research for decades. From a theoretical perspective, such co-activation is compatible with contemporary cognitive-affective accounts that treat emotional experience as graded and multi-component rather than strictly categorical, such that a single episode can recruit partially overlapping affective and appraisal-related components (e.g., high arousal together with ambivalent valence) [96,152–154]. In this sense, mixed feelings are not merely noise in validation, but an informative signature of complex affective episodes that normative databases should quantify and report [155,156]. Previous studies have either overlooked mixed feelings or treated them as anomalies (e.g., [94,95]), yet our results align with more recent research (e.g., [23,155,156]) that advocates for the inclusion of mixed emotions as a core component of emotional experience. The alignment of our findings with these contemporary studies emphasizes the necessity for emotion-eliciting tools to accommodate and accurately measure such complex emotional states. However, it is noteworthy that some clips failed to evoke the intended mixed feelings in the Iranian context, possibly due to cultural differences in emotional expression, a factor that has been underexplored in prior research (e.g., [157]). This highlights the need for continued refinement of emotion-eliciting databases to ensure their cross-cultural applicability.\nA detailed comparison of our study with that of [26] reveals several critical distinctions and methodological advantages. One of the primary strengths of their work lies in its incorporation of neuropsychological measures, which provide valuable insights into the neural correlates of emotional processing. However, their study’s limited sample size poses constraints on the generalizability of their findings. In contrast, our study, with its larger sample size of 300 participants, offers a more robust and generalizable dataset, which is particularly important in the context of validation studies. Another critical difference is in the cultural representation within the study samples. While their research did not fully account for the cultural diversity within Iran, our study specifically aimed to include participants from various ethnic backgrounds, reflecting the multicultural nature of Iranian society. This approach ensures that our findings are more representative and applicable across the broader Iranian population. Additionally, while their study utilized locally produced Iranian films, we selected internationally recognized films with Persian subtitles. This choice was motivated by concerns that Iranian films might not effectively evoke basic emotions due to cultural and religious constraints, as commonly agreed upon by the Iranian population. Our hypothesis is that basic emotions are universally experienced and can be reliably induced using culturally neutral stimuli, as supported by prior research (e.g., [23]). Hence, using international films with appropriate Persian subtitles ensures that the emotional content is accurately conveyed, thereby maximizing the effectiveness of emotion induction. Moreover, our study introduces the exploration of “tenderness” as a discrete emotion, an aspect that was not covered in [26]. The inclusion of this emotion aligns with emerging trends in emotion research, which recognize the importance of a broader range of emotional experiences. Furthermore, we employed both the SAM and DES questionnaires to assess emotional responses, offering a comprehensive evaluation that includes both dimensional and discrete emotional measures. In contrast, [26] relied on the PANAS questionnaire, which has been critiqued in the literature for its ambiguity potentials due to overlapping variables (see [23]). Our study also took an additional step by validating the DES questionnaire for the first time within the Iranian community, contributing a valuable tool for future research in this field. Additionally, we examined mixed emotions and gender differences with a level of detail not fully addressed in the previous study, providing valuable insights into the complexity of emotional experiences. Lastly, while [26] collected data via a web-based approach, our study utilized a controlled laboratory environment, which allowed for greater control over external variables and thus increased the internal validity of our findings. In conclusion, while both studies make significant contributions to the field of emotion research, our work is distinguished by its larger and more representative sample, methodological comprehensiveness, and the introduction of novel emotional dimensions and validated tools.\nAnother contribution of this study is the development and validation of the DES in Persian, specifically within the Iranian community. To our knowledge, this is the first time that the DES has been adapted and rigorously tested for reliability and validity in this cultural context. S1 Appendix provide detailed insights into this process, where we conducted extensive statistical analyses, including reliability analysis, principal component analysis (PCA), and exploratory factor analysis (EFA). These analyses confirmed the DES as a robust tool for measuring emotional experiences in Iran, with a Cronbach’s alpha of 0.88 indicating strong internal consistency. The successful adaptation of the DES not only enhances the methodological rigor of emotion research within Iran but also offers a validated instrument for future studies exploring emotional dynamics in Persian-speaking populations.\nWhile our study offers valuable insights into emotional responses elicited by video clips, several limitations should be acknowledged. The reliance on self-report measures in this study is a limitation that should be addressed in future research. While self-reports provide valuable insights into subjective emotional experiences, they may not fully capture the complexity of these experiences, particularly when it comes to the temporal dynamics of emotions [158,159]. Future studies should consider integrating psychophysiological indices (e.g., electrodermal activity and heart rate variability) and neurophysiological recordings (e.g., EEG/ERP), alongside neuroimaging and oculomotor methods (e.g., fMRI, MEG, and eye-tracking), to obtain a more comprehensive and multimodal characterization of emotional responses and to strengthen convergent validity beyond self-report [159,160]. Moreover, the participant sample was relatively homogeneous, consisting primarily of young adults from a specific cultural background. This limits the generalizability of our findings to more diverse populations, including different age groups and cultural backgrounds. Future research should aim to include a more representative sample to validate the findings across a broader demographic. Additionally, the use of video clips as stimuli, while effective for eliciting emotional responses, may not fully capture the range and complexity of emotions experienced in real-world scenarios. The standardized nature of these clips, while advantageous for experimental control, could affect the ecological validity of our results. Further research could explore the duration of emotional states induced by film clips, examining how long these emotions persist and what factors influence their retention or decay [145,161]. This line of inquiry is particularly relevant to distinguishing between short-lived emotional reactions and more prolonged mood states, a distinction that is critical for understanding the nature of affective experiences [159,161]. In addition, although we applied an explicit cultural/religious compatibility criterion to screen both the visual content and dialogue of candidate excerpts and presented all clips with professionally reviewed Persian subtitles, most source materials were drawn from internationally produced (predominantly Western) films. Therefore, even when the elicited affective profiles are robust, the depicted contexts, social scripts, and emotion display norms may not fully mirror everyday Iranian cultural settings, potentially limiting cultural-ecological generalizability. Importantly, related work in Persian stimulus development has begun to juxtapose locally produced Persian clips with non-Persian sets (e.g., English/French clips) primarily at the level of dimensional affect (valence/arousal) within a physiological-signal database [26]. Building on this direction, future work should more directly quantify stimulus-origin effects by systematically comparing locally produced Iranian clips against international clips within the same validation protocol, thereby isolating the contribution of culturally indigenous contexts beyond language adaptation alone. Another limitation is the lack of consideration for individual differences in emotional processing, such as personality traits, previous emotional experiences, or current mood states, which could significantly impact how participants respond to the film clips. Future studies could benefit from assessing these variables to better understand their influence on emotional responses. In addition, because all raw ratings and the derived clip-level measurement matrix are openly shared, future work can leverage these data as a benchmark for supervised machine learning/deep learning models that predict emotion categories (and mixed-emotion profiles), and can extend such predictive modeling by combining self-report with multimodal physiological recordings for automated emotion recognition. Finally, the cross-sectional design of this study, which captures emotional responses at a single point in time, may not reflect the dynamic nature of emotional experiences. Longitudinal studies could provide more comprehensive insights into how emotional responses evolve over time or with repeated exposure, offering a deeper understanding of the stability and variability of these responses across different contexts and over extended periods.\nThe establishment and validation of this database represent a significant contribution to the field of emotion research, particularly within the context of Iranian society. By including a diverse sample and considering gender differences, and creating a culturally sensitive tool that accommodates the linguistic and cultural diversity of Iran, this study offers a valuable resource for researchers interested in the cultural dimensions of emotion. The database is made accessible online, providing researchers with the opportunity to further validate and expand upon this work, thus contributing to a more comprehensive understanding of how emotions are experienced across different cultures.\n\n\n### Conclusion\nThis study successfully developed a culturally sensitive tool for emotional research in Iran, addressing a critical need in the field. Future studies should continue to explore the cultural dimensions of emotion, utilizing a variety of methodological approaches to deepen our understanding of affective processes across different societies.\n\n\n### Supporting information\n(PDF)\n(PDF)", "domain": "affective_neuroscience"}
{"source": "PMC12953605", "title": "Video-dominant emotion recognition for portable EEG-based devices", "text": "# Video-dominant emotion recognition for portable EEG-based devices\n\n## Abstract\nElectroencephalography (EEG) signals offer a promising avenue for detecting emotional responses during video viewing, enabling the automated recognition of video-induced emotions and providing an objective assessment approach. However, current approaches face two main limitations. First, emotion labels often rely on subjective self-reports that introduce personal bias. Second, most systems require high-density electrode arrays that are costly and impractical for portable applications. To address these challenges, this study explores video emotion recognition using a lightweight EEG setup. We introduce three complementary strategies: (i) a dynamic hierarchical label calibration approach that reduces labeling subjectivity through consistency modeling and boundary refinement; (ii) a multi-dimensional energy ratio analysis that compresses channel requirements while preserving discriminative information; and (iii) a saliency-guided feature selection method to improve generalization capability. By reducing 65% of the channels from the original dataset, our approach achieves 45% accuracy in four-class dominant video emotion prediction using only 11 channels, while maintaining meaningful discriminative performance under cross-subject conditions. Beyond technical advancements, these results demonstrate the potential of EEG-based systems to capture collective emotional responses to video content. This capability supports practical applications in audience sentiment analysis, media content evaluation, and emotion-aware recommendation systems.\n\n## Full Text\n\n\n### Introduction\nEEG is a non-invasive technique for recording brain electrical activity and has been widely applied in neuroscience, clinical diagnosis, and brain–computer interface research. In recent years, the use of EEG to analyze subjective emotional responses during video viewing has attracted increasing attention in the field of affective computing1. Video stimuli play a central role in applications such as advertising, film and television recommendation, public opinion analysis, and psychological intervention2,3, where the accurate identification of dominant audience emotions is critical to content effectiveness and dissemination.\nRecent high-impact studies have advanced EEG-based emotion recognition on the DEAP dataset by exploiting fine-grained temporal representations and deep sequence modeling techniques4–6. These methods, primarily developed under subject-dependent settings, aim to maximize classification accuracy at the trial or short-window level and represent the current state of the art in data-driven emotion decoding. Despite this progress, several challenges continue to limit the practical deployment of EEG-based video emotion recognition systems. First, emotion labels are typically derived from subjective self-assessments, which exhibit substantial inter-subject variability and limited cross-subject generalizability7. Most existing approaches rely on valence–arousal representations8,9, or extend them to four-dimensional rating schemes incorporating dominance and liking10,11, yet these formulations remain insufficient to fully capture group-level emotional consistency. Second, many state-of-the-art models depend on high-dimensional feature sets and complex network architectures13,14, resulting in considerable computational overhead and reduced suitability for real-time applications. Third, conventional high-density EEG systems are costly, bulky, and operationally demanding15,16, which constrains their use in portable or large-scale deployment scenarios.\nTo address these limitations, this study focuses on video-induced emotion recognition using portable EEG devices. Our main contributions are threefold. First, we propose a dynamic hierarchical label calibration strategy that mitigates label subjectivity by adaptively refining decision boundaries for ambiguous samples, thereby improving label consistency. Second, we introduce a multi-dimensional energy ratio analysis framework to optimize EEG channel utilization, reducing hardware complexity by more than 65% while maintaining competitive classification performance. Third, a saliency-guided feature selection strategy is developed to extract robust spatiotemporal–frequency features for emotion recognition. Together, these components form a practical framework for four-class video emotion recognition using portable EEG systems, with potential applications in audience sentiment analysis, personalized content recommendation, and emotion-aware video screening.\n\n\n### Related work\nTable 1 summarizes representative studies based on the Database for Emotion Analysis using Physiological Signals (DEAP)17, comparing dataset configurations, methodological choices, EEG channel usage, and key findings. The majority of prior work employs the full 32-channel EEG setup and focuses on binary valence or arousal classification under subject-dependent evaluation protocols, where relatively high performance can be achieved in controlled experimental settings. In contrast, existing studies consistently report substantial performance degradation when channel reduction and cross-subject evaluation are jointly considered, particularly for multi-class emotion recognition tasks.\nIn this context, the present study targets a more realistic and practically relevant scenario by investigating four-class valence–arousal quadrant recognition using only 11 channels from a portable EEG configuration under cross-subject evaluation. Rather than pursuing maximal classification accuracy, our results demonstrate that informative and discriminative emotional patterns can still be extracted under reduced-channel constraints. This establishes a practical baseline for portable EEG-based emotion recognition in real-world applications. By integrating dynamic hierarchical label calibration, multi-dimensional energy ratio analysis, and saliency-guided feature selection, the proposed framework effectively mitigates inter-subject variability, optimizes channel utilization, and enhances the robustness of spatiotemporal–frequency feature representations. Collectively, these design choices support the feasibility of video-dominant emotion recognition using portable EEG devices and highlight their potential utility in audience sentiment analysis, content recommendation, and emotion-aware video screening, even under challenging cross-subject and low-channel conditions.Table 1Representative DEAP-based studies with key findings.StudyFeatures / methodology#ChTaskKey findings / notesLin et al. 18Transfer learning with spectral or time features32BinaryReported moderate accuracy around 50% under cross-subject settings, highlighting the difficulty of generalization.Apicella et al. 19Dry-EEG single or low-channel model1–8BinaryShowed feasibility of using few electrodes; accuracy around 60% but limited to subject-dependent protocols.Galvão et al. 20Handcrafted features Regression models324-classAchieved high accuracy greater than 80% in subject-dependent evaluation using the full-channel setup.Moctezuma et al. 21CNN + NSGA-II channel selection1–324-classAblation with 1–15 channels showed sharp degradation; authors note that cross-subject + reduced-channel setups yield much lower performance around 40%.\nRepresentative DEAP-based studies with key findings.\nEmotion labels constructed under a uniform evaluation mechanism often suffer from strong subjectivity, primarily due to substantial differences in emotional expression across individuals with diverse ages, cultural backgrounds, and ethnicities. Such label bias can significantly degrade model performance and generalization capability, particularly in cross-subject emotion recognition tasks. To alleviate labeling inconsistency, various label correction and consistency enhancement strategies have been proposed in prior studies. For instance, Koelstra et al. 22 combined subjective ratings with physiological signals in the DEAP dataset to assist emotion annotation, while Yin et al. 23 incorporated multimodal information and integrated learning frameworks to improve recognition accuracy. In addition, neuromorphic-inspired studies have explored emotion-related learning mechanisms at the circuit level24,25. Although these approaches improve label quality to a certain extent, they typically involve high computational cost and complex post-processing procedures, and remain limited in addressing individual variability and cross-subject label consistency. In contrast, the dynamic calibration strategy proposed in this work provides an efficient mechanism to refine constructed emotion labels by improving their alignment with the original subjective sentiment references, thereby enhancing label consistency without introducing excessive computational overhead.\nTo characterize emotion-related neural activity, EEG signals are commonly decomposed into five standard frequency bands, each corresponding to distinct functional states of the brain26,27. As a highly irregular multivariate time series28,29, EEG presents substantial challenges for effective feature representation. In recent years, self-supervised learning has emerged as a promising direction for enhancing EEG feature extraction and representation learning30,31. Related studies have also investigated finite-time stability properties in EEG-based systems32. Meanwhile, DaŞdemir et al. 33,34 explored EEG-based emotion classification in immersive virtual reality and audiovisual stimulation environments. Most existing EEG emotion recognition methods rely on features extracted from the time domain, frequency domain, or time–frequency domain, each with distinct advantages and limitations. Wang et al. 35 demonstrated that power spectral features outperform conventional statistical descriptors, particularly in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} bands, while Momennezhad et al. 36 employed wavelet energy ratios to effectively discriminate among multiple emotional states. However, several limitations persist in existing approaches: interactions between different frequency bands are often overlooked; systematic feature alignment and dimensionality reduction mechanisms are insufficiently explored; and cross-channel energy differences are not adequately modeled in high-dimensional EEG data. To address these issues, this study introduces a multi-dimensional energy ratio analysis strategy that explicitly captures inter-band and inter-channel energy relationships, thereby enhancing feature discriminability and improving model robustness.\nMost existing EEG-based emotion recognition studies rely on 32-channel or higher-density acquisition systems. While such configurations can improve recognition accuracy, they are expensive, bulky, and operationally complex, which limits their suitability for practical deployment in wearable, home-based, or mobile scenarios. Moreover, high-channel EEG systems often exhibit reduced generalization performance under low-cost and low-power constraints37. Consequently, effective channel compression while preserving recognition performance has become a critical research direction for practical emotion recognition systems. Previous studies have explored channel selection and model compression strategies to address this challenge. For example, Wu et al. 38 demonstrated emotion recognition using only two prefrontal channels, though their approach focused solely on valence and did not capture other emotional dimensions. Zhu et al. 39 employed simplified graph convolutional networks to enable channel recalibration and adaptive graph optimization; however, the resulting model complexity increases deployment cost and reduces interpretability. These findings indicate that appropriate channel selection and region-focused strategies can effectively balance recognition performance and device portability. Building upon saliency-guided learning mechanisms40,41 and hierarchical reinforcement learning approaches42,43, this work integrates these methodologies into a unified framework tailored for portable EEG systems. Accordingly, a saliency-guided feature selection strategy is developed that jointly considers signal discriminability and hardware implementation cost.\n\n\n### Construction of emotion labels\nEmotion labels constructed under a uniform evaluation mechanism often suffer from strong subjectivity, primarily due to substantial differences in emotional expression across individuals with diverse ages, cultural backgrounds, and ethnicities. Such label bias can significantly degrade model performance and generalization capability, particularly in cross-subject emotion recognition tasks. To alleviate labeling inconsistency, various label correction and consistency enhancement strategies have been proposed in prior studies. For instance, Koelstra et al. 22 combined subjective ratings with physiological signals in the DEAP dataset to assist emotion annotation, while Yin et al. 23 incorporated multimodal information and integrated learning frameworks to improve recognition accuracy. In addition, neuromorphic-inspired studies have explored emotion-related learning mechanisms at the circuit level24,25. Although these approaches improve label quality to a certain extent, they typically involve high computational cost and complex post-processing procedures, and remain limited in addressing individual variability and cross-subject label consistency. In contrast, the dynamic calibration strategy proposed in this work provides an efficient mechanism to refine constructed emotion labels by improving their alignment with the original subjective sentiment references, thereby enhancing label consistency without introducing excessive computational overhead.\n\n\n### Analysis of EEG signals\nTo characterize emotion-related neural activity, EEG signals are commonly decomposed into five standard frequency bands, each corresponding to distinct functional states of the brain26,27. As a highly irregular multivariate time series28,29, EEG presents substantial challenges for effective feature representation. In recent years, self-supervised learning has emerged as a promising direction for enhancing EEG feature extraction and representation learning30,31. Related studies have also investigated finite-time stability properties in EEG-based systems32. Meanwhile, DaŞdemir et al. 33,34 explored EEG-based emotion classification in immersive virtual reality and audiovisual stimulation environments. Most existing EEG emotion recognition methods rely on features extracted from the time domain, frequency domain, or time–frequency domain, each with distinct advantages and limitations. Wang et al. 35 demonstrated that power spectral features outperform conventional statistical descriptors, particularly in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} bands, while Momennezhad et al. 36 employed wavelet energy ratios to effectively discriminate among multiple emotional states. However, several limitations persist in existing approaches: interactions between different frequency bands are often overlooked; systematic feature alignment and dimensionality reduction mechanisms are insufficiently explored; and cross-channel energy differences are not adequately modeled in high-dimensional EEG data. To address these issues, this study introduces a multi-dimensional energy ratio analysis strategy that explicitly captures inter-band and inter-channel energy relationships, thereby enhancing feature discriminability and improving model robustness.\n\n\n### Feature selection strategy\nMost existing EEG-based emotion recognition studies rely on 32-channel or higher-density acquisition systems. While such configurations can improve recognition accuracy, they are expensive, bulky, and operationally complex, which limits their suitability for practical deployment in wearable, home-based, or mobile scenarios. Moreover, high-channel EEG systems often exhibit reduced generalization performance under low-cost and low-power constraints37. Consequently, effective channel compression while preserving recognition performance has become a critical research direction for practical emotion recognition systems. Previous studies have explored channel selection and model compression strategies to address this challenge. For example, Wu et al. 38 demonstrated emotion recognition using only two prefrontal channels, though their approach focused solely on valence and did not capture other emotional dimensions. Zhu et al. 39 employed simplified graph convolutional networks to enable channel recalibration and adaptive graph optimization; however, the resulting model complexity increases deployment cost and reduces interpretability. These findings indicate that appropriate channel selection and region-focused strategies can effectively balance recognition performance and device portability. Building upon saliency-guided learning mechanisms40,41 and hierarchical reinforcement learning approaches42,43, this work integrates these methodologies into a unified framework tailored for portable EEG systems. Accordingly, a saliency-guided feature selection strategy is developed that jointly considers signal discriminability and hardware implementation cost.\n\n\n### Methodology\nFigure 1 illustrates the flow of a video-dominant emotion recognition study for a portable EEG device. The process starts with the DEAP dataset, which adopts a controlled video-based emotion elicitation paradigm, in which participants watch a set of standardized music video clips and subsequently provide subjective ratings along the Valence, Arousal, Dominance, and Liking (VADL) dimensions.For each participant, multi-channel EEG signals are recorded continuously during video presentation, together with corresponding self-assessment scores. In this work, we follow the original experimental protocol and rating criteria provided by DEAP, and further reorganize the data to support video-level dominant emotion modeling. Specifically, EEG recordings originally structured by subject are re-grouped according to emotion categories derived from video-level ratings. All EEG segments associated with the same emotional video condition are integrated across subjects, enabling subsequent consistency analysis and group-level modeling of video-induced emotional tendencies.The original DEAP labels and rating values are preserved, and no additional subjective annotation is introduced.\nThe raw EEG signals are extracted from each channel and preprocessed by band-pass filtering and common average reference, while the subjective rating scales are subjected to Z-score normalization and principal component analysis. The pre-processed EEG signals were extracted by wavelet transform and other methods, and then analyzed by multidimensional energy ratio analysis, and then channel downscaling and feature selection were performed by a significance-guided module. Afterwards, different labels are obtained by unsupervised clustering methods such as K-means clustering, Gaussian mixture model, hierarchical clustering, etc., but these labels suffer from poor average consistency and result consistency. The labels are corrected to determine the dominant sentiment using dynamic hierarchical label correction strategy, and finally the best model is determined by classification prediction using models such as Support Vector Machines (SVM), Random Forests (RF), and Deep Neural Networks (DNN). Besides, to ensure high recognition accuracy while enhancing system portability and deployment efficiency, this study selects 11 key channels from the original 32-channel EEG configuration in the DEAP dataset for focused analysis. The selected electrodes and their specific rationales are shown in Table 2.Table 2Key electrodes selection and their functional roles in emotion recognition.Brain regionSelected electrodesPrimary functions in emotion recognitionPrefrontal cortexFP1, FP2, F3, F4Emotional regulation, valence assessment, executive control, and affective decision-making processesCentral cortexC3, C4Discrimination of high and low arousal states, sensorimotor integration, and detection of physiological activationTemporal cortexT7, T8Auditory emotional processing, emotional memory encoding, and interactions with amygdala regionsParietal cortexPzAttentional modulation during emotional stimuli processing and suppression of ocular artifactsOccipital cortexO1, O2Visual processing of emotional stimuli and distinction of emotionally salient visual content\nKey electrodes selection and their functional roles in emotion recognition.\nFig. 1Overall framework of proposed method.\nOverall framework of proposed method.\nIn EEG-based emotion recognition research, accurately defining the dominant emotion label for each video stimulus is essential to capture its group-level emotional effect. Unlike traditional short-term modeling focused on immediate responses to isolated stimuli, this work emphasizes the overall affective trend elicited by the entire video segment. We propose a dynamic hierarchical label refinement strategy that constructs dominant emotion labels across multiple subjects based on a four-dimensional emotional rating system. This method integrates multidimensional feature compression, unsupervised clustering, and cross-subject consistency analysis to systematically transform individual ratings into group-level dominant emotion representations. Initially, the four-dimensional subjective ratings (Valence, Arousal, Dominance and Like) for each subject are standardized via z-score normalization to eliminate individual differences in rating scales. Principal Component Analysis (PCA) is then applied to reduce dimensionality while preserving the majority of emotional variance. By retaining components explaining 95% of the cumulative variance, an average of three principal components per video are preserved, enhancing clustering robustness and interpretability. Next, unsupervised clustering models—including K-means, Gaussian Mixture Model (GMM), and Hierarchical Clustering—are employed on the reduced feature space. The clustering quality is evaluated comprehensively using silhouette scores and cross-subject consistency metrics. The GMM model is configured to identify four clusters corresponding to the classic two-dimensional Valence-Arousal emotion quadrants. To improve stability, GMM employs 15 random initializations, a full covariance matrix structure, and a regularization factor to prevent singularities. K-means uses multiple random initializations for robustness, while hierarchical clustering adopts Ward’s linkage criterion to ensure compact clusters.\nAt the group level, each video’s dominant emotion label is determined by the mode of cluster assignments across all subjects, with the label consistency defined by the proportion of subjects sharing this label. Additionally, individual conformity to group labels is assessed via conformity rates, enabling identification of potential labeling outliers. To further improve alignment with original emotion references, a fine-grained adjustment mechanism based on the Dominance and Like dimensions is introduced. After independent z-score normalization of the original ratings, the VA space-based four-class labels are refined by introducing a margin of 0.1 to adjust borderline samples based on their D and L scores. This adjustment addresses classification ambiguities and enhances the psychological interpretability of the labels. Finally, three output modes for dominant emotion labels are provided to support various downstream tasks: majority voting yielding a single definitive label per video, confidence filtering that excludes low-consistency videos for high-confidence analyses, and probabilistic distribution outputs that capture label uncertainty for generative or regression models. This flexible design balances label robustness and adaptability, improving usability compared to rigid single-label assignment methods.\nMany existing studies have used single-channel EEG signals for emotion recognition, which is limited by its difficulty in fully reflecting the spatial synergy patterns of brain activity44. Compared to single-channel EEG signals, which only reflect localized brain activity, multichannel analysis captures inter-regional coordination, thereby revealing spatiotemporal coupling patterns of neural activity. The selected 11 channels strike a balance between maintaining emotion-relevant brain region coverage and reducing the hardware complexity—effectively shrinking the original sensor layout by approximately two-thirds while preserving classification performance. The EEG signal preprocessing pipeline begins with a 4th-order Butterworth band-pass filter (1–45 Hz) to remove baseline drift and high-frequency noise. Spatial filtering is then performed using the Common Average Reference (CAR) method, calculated as equal (1):1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} X_i^{\\text {CAR}}(t) = X_i(t) - \\frac{1}{N} \\sum _{j=1}^{N} X_j(t), \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_i(t)$$\\end{document} represents the EEG signal recorded from the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$i$$\\end{document}-th electrode at time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t$$\\end{document}, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N$$\\end{document} denotes the total number of electrodes. To eliminate ocular and muscular artifacts, Fast Independent Component Analysis (ICA) is applied, and the top four components with kurtosis values exceeding 5 are automatically identified and removed. Finally, the signal is decomposed using a 4-level discrete wavelet transform with the wavelet basis, and denoising is performed using Stein’s Unbiased Risk Estimate (SURE) with soft thresholding. EEG segments corresponding to 60-second video clips are extracted from the DEAP dataset. Based on previous statistical analysis, only signals from subjects whose dominant emotion ratings are above the average are retained and categorized into four emotion classes. For each emotion category, the EEG signals across subjects and videos are aggregated by computing the point-wise median, which reduces the influence of outliers and yields four representative feature sets. Before formal feature extraction, a Power Spectral Density (PSD) analysis is conducted to visualize the energy distribution across channels and frequency bands, thereby guiding subsequent feature selection strategies.\nAlthough studies have attempted to utilize single-modal features for EEG emotion recognition, there are still limitations in capturing the multidimensional dynamics of the signal. In order to improve the model’s ability to express time-frequency-space multi-features of EEG signals, a multi-modal feature extraction framework was adopted, integrating wavelet energy features, functional connectivity features, time-domain statistical features, and dynamic power spectral features. First, wavelet-based relative energy was computed in standard EEG frequency bands after continuous wavelet transform through Eq. (2):2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} E_{\\text {band}} = \\frac{\\sum \\limits _{f \\in \\Delta f} \\sum \\limits _{t=1}^{T} |W(f, t)|^2}{\\sum \\limits _{f=1}^{60\\,\\text {Hz}} \\sum \\limits _{t=1}^{T} |W(f, t)|^2} \\times 100\\%, \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$W(f, t)$$\\end{document} denotes the wavelet coefficient at frequency \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f$$\\end{document} and time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta f$$\\end{document} represents the target frequency band, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$T$$\\end{document} is the total number of time points. To capture spatial functional coupling, the magnitude-squared coherence was computed between pairs of emotion-related electrodes across different frequency bands as Equation (3):3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\text {MSCoh}(f) = \\frac{|\\mathscr {P}_{XY}(f)|^2}{\\mathscr {P}_{XX}(f)\\; \\mathscr {P}_{YY}(f)}, \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathscr {P}_{XY}(f)$$\\end{document} is the cross-power spectral density between signals \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y$$\\end{document}, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathscr {P}_{XX}(f)$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathscr {P}_{YY}(f)$$\\end{document} are the auto-power spectral densities of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y$$\\end{document}, respectively. From band-pass filtered signals in emotion-relevant channels, statistical features including the median and peak amplitudes were extracted, with a focus on the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} bands. Additionally, to complement the time-domain characterization, a dynamic PSD analysis was conducted using a sliding-window Welch method. Extracted features included the average and maximum power within each frequency band. The final feature vector was constructed by concatenating all four types of features, forming a comprehensive and robust representation of the EEG’s spatiotemporal and spectral information. This multimodal fusion strategy effectively balances local and global characteristics, integrates adaptive artifact removal, and leverages large-scale parallel computing architectures, thus enhancing both the representational richness and classification robustness of the extracted EEG features.\nDespite encouraging results reported in prior studies on intra-individual emotion recognition, cross-subject modeling remains subject to a substantial performance bottleneck, primarily due to the pronounced heterogeneity of EEG patterns across individuals46. To improve the discriminative capability of EEG features under cross-subject conditions, we developed a comprehensive feature engineering and classification framework, which was systematically evaluated using a five-fold subject-independent cross-validation protocol. Given the considerable inter-subject variability in EEG signal amplitude and feature distributions, feature normalization was performed independently for each subject using z-score standardization. Specifically, features were normalized based on the mean and standard deviation computed from each subject’s own data, resulting in zero-mean, unit-variance representations. This subject-wise normalization strategy effectively reduces the influence of individual differences and facilitates the learning of feature representations with improved cross-subject generalization.\nTo further capture temporal dynamics and latent variations across feature dimensions, a first-order difference enhancement strategy was introduced. Concretely, first-order differences were computed along the column dimension of the feature matrix (excluding the last column) and concatenated with the original features to form an augmented representation. This operation highlights emotion-related temporal trends in neural responses and enhances the model’s sensitivity to transitions between emotional states. As the augmented feature set substantially increases dimensionality, the minimum Redundancy Maximum Relevance (mRMR) algorithm was applied for supervised feature ranking. The top 80 most informative features were retained for subsequent modeling, achieving a balance between discriminative power and computational efficiency while mitigating the risk of overfitting. For classification and comparative analysis, three representative classifiers were implemented: (i) Support Vector Machine (SVM): A multiclass SVM with a radial basis function (RBF) kernel was employed. The Error-Correcting Output Codes framework was used to address the four-class classification problem. The kernel scale was automatically determined (“auto”), eliminating the need for manual feature scaling. (ii) Random Forest (RF): A bagging-based ensemble model consisting of 200 decision trees was constructed. The maximum number of splits per tree was limited to 20 to control model complexity and reduce overfitting. Owing to its robustness to noise and feature redundancy, the RF classifier is well suited for medium-scale EEG datasets. (iii) Deep Neural Network (DNN): A fully connected neural network with two hidden layers was designed, comprising 256 and 128 neurons, respectively. ReLU activation functions were applied, followed by batch normalization and dropout (p = 0.5) after each hidden layer for regularization. A Softmax output layer and categorical cross-entropy loss were employed for multiclass classification. To rigorously assess the proposed framework under realistic cross-subject conditions, a five-fold subject-independent cross-validation scheme was adopted. In each fold, training and testing sets were composed of mutually exclusive subjects, ensuring that performance evaluation reflected the model’s generalization capability to unseen individuals.\n\n\n### Dynamic hierarchical label calibration strategy\nIn EEG-based emotion recognition research, accurately defining the dominant emotion label for each video stimulus is essential to capture its group-level emotional effect. Unlike traditional short-term modeling focused on immediate responses to isolated stimuli, this work emphasizes the overall affective trend elicited by the entire video segment. We propose a dynamic hierarchical label refinement strategy that constructs dominant emotion labels across multiple subjects based on a four-dimensional emotional rating system. This method integrates multidimensional feature compression, unsupervised clustering, and cross-subject consistency analysis to systematically transform individual ratings into group-level dominant emotion representations. Initially, the four-dimensional subjective ratings (Valence, Arousal, Dominance and Like) for each subject are standardized via z-score normalization to eliminate individual differences in rating scales. Principal Component Analysis (PCA) is then applied to reduce dimensionality while preserving the majority of emotional variance. By retaining components explaining 95% of the cumulative variance, an average of three principal components per video are preserved, enhancing clustering robustness and interpretability. Next, unsupervised clustering models—including K-means, Gaussian Mixture Model (GMM), and Hierarchical Clustering—are employed on the reduced feature space. The clustering quality is evaluated comprehensively using silhouette scores and cross-subject consistency metrics. The GMM model is configured to identify four clusters corresponding to the classic two-dimensional Valence-Arousal emotion quadrants. To improve stability, GMM employs 15 random initializations, a full covariance matrix structure, and a regularization factor to prevent singularities. K-means uses multiple random initializations for robustness, while hierarchical clustering adopts Ward’s linkage criterion to ensure compact clusters.\nAt the group level, each video’s dominant emotion label is determined by the mode of cluster assignments across all subjects, with the label consistency defined by the proportion of subjects sharing this label. Additionally, individual conformity to group labels is assessed via conformity rates, enabling identification of potential labeling outliers. To further improve alignment with original emotion references, a fine-grained adjustment mechanism based on the Dominance and Like dimensions is introduced. After independent z-score normalization of the original ratings, the VA space-based four-class labels are refined by introducing a margin of 0.1 to adjust borderline samples based on their D and L scores. This adjustment addresses classification ambiguities and enhances the psychological interpretability of the labels. Finally, three output modes for dominant emotion labels are provided to support various downstream tasks: majority voting yielding a single definitive label per video, confidence filtering that excludes low-consistency videos for high-confidence analyses, and probabilistic distribution outputs that capture label uncertainty for generative or regression models. This flexible design balances label robustness and adaptability, improving usability compared to rigid single-label assignment methods.\n\n\n### Multi-dimensional energy ratio analysis model\nMany existing studies have used single-channel EEG signals for emotion recognition, which is limited by its difficulty in fully reflecting the spatial synergy patterns of brain activity44. Compared to single-channel EEG signals, which only reflect localized brain activity, multichannel analysis captures inter-regional coordination, thereby revealing spatiotemporal coupling patterns of neural activity. The selected 11 channels strike a balance between maintaining emotion-relevant brain region coverage and reducing the hardware complexity—effectively shrinking the original sensor layout by approximately two-thirds while preserving classification performance. The EEG signal preprocessing pipeline begins with a 4th-order Butterworth band-pass filter (1–45 Hz) to remove baseline drift and high-frequency noise. Spatial filtering is then performed using the Common Average Reference (CAR) method, calculated as equal (1):1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} X_i^{\\text {CAR}}(t) = X_i(t) - \\frac{1}{N} \\sum _{j=1}^{N} X_j(t), \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_i(t)$$\\end{document} represents the EEG signal recorded from the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$i$$\\end{document}-th electrode at time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t$$\\end{document}, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N$$\\end{document} denotes the total number of electrodes. To eliminate ocular and muscular artifacts, Fast Independent Component Analysis (ICA) is applied, and the top four components with kurtosis values exceeding 5 are automatically identified and removed. Finally, the signal is decomposed using a 4-level discrete wavelet transform with the wavelet basis, and denoising is performed using Stein’s Unbiased Risk Estimate (SURE) with soft thresholding. EEG segments corresponding to 60-second video clips are extracted from the DEAP dataset. Based on previous statistical analysis, only signals from subjects whose dominant emotion ratings are above the average are retained and categorized into four emotion classes. For each emotion category, the EEG signals across subjects and videos are aggregated by computing the point-wise median, which reduces the influence of outliers and yields four representative feature sets. Before formal feature extraction, a Power Spectral Density (PSD) analysis is conducted to visualize the energy distribution across channels and frequency bands, thereby guiding subsequent feature selection strategies.\n\n\n### Saliency-guided feature selection strategy\nAlthough studies have attempted to utilize single-modal features for EEG emotion recognition, there are still limitations in capturing the multidimensional dynamics of the signal. In order to improve the model’s ability to express time-frequency-space multi-features of EEG signals, a multi-modal feature extraction framework was adopted, integrating wavelet energy features, functional connectivity features, time-domain statistical features, and dynamic power spectral features. First, wavelet-based relative energy was computed in standard EEG frequency bands after continuous wavelet transform through Eq. (2):2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} E_{\\text {band}} = \\frac{\\sum \\limits _{f \\in \\Delta f} \\sum \\limits _{t=1}^{T} |W(f, t)|^2}{\\sum \\limits _{f=1}^{60\\,\\text {Hz}} \\sum \\limits _{t=1}^{T} |W(f, t)|^2} \\times 100\\%, \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$W(f, t)$$\\end{document} denotes the wavelet coefficient at frequency \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f$$\\end{document} and time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta f$$\\end{document} represents the target frequency band, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$T$$\\end{document} is the total number of time points. To capture spatial functional coupling, the magnitude-squared coherence was computed between pairs of emotion-related electrodes across different frequency bands as Equation (3):3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\text {MSCoh}(f) = \\frac{|\\mathscr {P}_{XY}(f)|^2}{\\mathscr {P}_{XX}(f)\\; \\mathscr {P}_{YY}(f)}, \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathscr {P}_{XY}(f)$$\\end{document} is the cross-power spectral density between signals \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y$$\\end{document}, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathscr {P}_{XX}(f)$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mathscr {P}_{YY}(f)$$\\end{document} are the auto-power spectral densities of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y$$\\end{document}, respectively. From band-pass filtered signals in emotion-relevant channels, statistical features including the median and peak amplitudes were extracted, with a focus on the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} bands. Additionally, to complement the time-domain characterization, a dynamic PSD analysis was conducted using a sliding-window Welch method. Extracted features included the average and maximum power within each frequency band. The final feature vector was constructed by concatenating all four types of features, forming a comprehensive and robust representation of the EEG’s spatiotemporal and spectral information. This multimodal fusion strategy effectively balances local and global characteristics, integrates adaptive artifact removal, and leverages large-scale parallel computing architectures, thus enhancing both the representational richness and classification robustness of the extracted EEG features.\n\n\n### Classification modeling and prediction\nDespite encouraging results reported in prior studies on intra-individual emotion recognition, cross-subject modeling remains subject to a substantial performance bottleneck, primarily due to the pronounced heterogeneity of EEG patterns across individuals46. To improve the discriminative capability of EEG features under cross-subject conditions, we developed a comprehensive feature engineering and classification framework, which was systematically evaluated using a five-fold subject-independent cross-validation protocol. Given the considerable inter-subject variability in EEG signal amplitude and feature distributions, feature normalization was performed independently for each subject using z-score standardization. Specifically, features were normalized based on the mean and standard deviation computed from each subject’s own data, resulting in zero-mean, unit-variance representations. This subject-wise normalization strategy effectively reduces the influence of individual differences and facilitates the learning of feature representations with improved cross-subject generalization.\nTo further capture temporal dynamics and latent variations across feature dimensions, a first-order difference enhancement strategy was introduced. Concretely, first-order differences were computed along the column dimension of the feature matrix (excluding the last column) and concatenated with the original features to form an augmented representation. This operation highlights emotion-related temporal trends in neural responses and enhances the model’s sensitivity to transitions between emotional states. As the augmented feature set substantially increases dimensionality, the minimum Redundancy Maximum Relevance (mRMR) algorithm was applied for supervised feature ranking. The top 80 most informative features were retained for subsequent modeling, achieving a balance between discriminative power and computational efficiency while mitigating the risk of overfitting. For classification and comparative analysis, three representative classifiers were implemented: (i) Support Vector Machine (SVM): A multiclass SVM with a radial basis function (RBF) kernel was employed. The Error-Correcting Output Codes framework was used to address the four-class classification problem. The kernel scale was automatically determined (“auto”), eliminating the need for manual feature scaling. (ii) Random Forest (RF): A bagging-based ensemble model consisting of 200 decision trees was constructed. The maximum number of splits per tree was limited to 20 to control model complexity and reduce overfitting. Owing to its robustness to noise and feature redundancy, the RF classifier is well suited for medium-scale EEG datasets. (iii) Deep Neural Network (DNN): A fully connected neural network with two hidden layers was designed, comprising 256 and 128 neurons, respectively. ReLU activation functions were applied, followed by batch normalization and dropout (p = 0.5) after each hidden layer for regularization. A Softmax output layer and categorical cross-entropy loss were employed for multiclass classification. To rigorously assess the proposed framework under realistic cross-subject conditions, a five-fold subject-independent cross-validation scheme was adopted. In each fold, training and testing sets were composed of mutually exclusive subjects, ensuring that performance evaluation reflected the model’s generalization capability to unseen individuals.\n\n\n### Experiments\nThis study is based on the public DEAP EEG emotion dataset and utilizes the accompanying subjective emotion rating files. After viewing each video, participants were asked to rate their emotional responses along four dimensions—Valence, Arousal, Dominance, and Liking (VADL)–which serve as the foundational information for constructing video-level dominant emotion labels. Given the well-recognized variability in emotional experience across individuals, we propose a dynamic hierarchical label calibration strategy aimed at providing a more robust and expressive framework for video-dominant emotion labeling. The primary goal of this strategy is to enhance label stability and improve the representational fidelity of emotion categorization at the group level. Following the widely adopted Valence-Arousal emotion model45, the emotional space is divided into four quadrants, each mapped to a representative discrete emotion to facilitate interpretation in subsequent experiments: HVHA (high valence, high arousal) corresponds to happy, HVLA (high valence, low arousal) to relaxed, LVHA (low valence, high arousal) to fearful, and LVLA (low valence, low arousal) to sad.\nAs an initial baseline, the conventional threshold-based division method was applied to categorize subjects’ emotional responses into the four Valence–Arousal quadrants. This approach achieved an integration accuracy of 92.5% at the individual score level. However, although a label consistency of 50% was observed under individual-based partitioning, the method demonstrated limited effectiveness in modeling dominant emotions at the group level. A statistical decision-making strategy incorporating group voting was further employed to determine video-level dominant emotions, yet the resulting video consistency on the test set reached only 54%. Moreover, the derived labels exhibited a notable deviation from the reference emotion annotations provided in the DEAP dataset. To improve both expression stability and group-level consistency—and to overcome the high subjectivity and weak generalization associated with fixed-threshold or rule-based segmentation methods–we compared three clustering-based labeling strategies. Among them, the Gaussian Mixture Model (GMM) consistently outperformed the alternatives in terms of silhouette coefficients and average consistency metrics. In particular, GMM achieved higher consistency across the majority of videos, indicating its advantage in capturing shared trends in subjective emotional responses to video stimuli. It should be noted, however, that certain marginal emotional categories exhibit inherently fuzzy boundaries and lack a clearly dominant emotional state, leading to relatively low fitting rates with respect to the original reference scores. This observation suggests that existing clustering approaches remain limited in their ability to reliably characterize neutral or weak emotional states. After applying the proposed hierarchical calibration strategy, all videos could be classified into four dominant emotion categories with improved consistency. Specifically, the method achieved an accuracy of 57.27% under our evaluation mode and demonstrated a closer alignment with the dominant emotion distribution of the DEAP dataset, reaching a fit rate of 77.50%. The detailed comparison results are reported in Table 3.Table 3Labeling effects of different clustering strategies.Metric (%)Clustering StrategyK-MeansGMMHierarchicalProposedAccuracy55.0861.4149.6957.27Fit rate30.0037.507.5077.50\nLabeling effects of different clustering strategies.\nFig. 2Video sentiment distribution statistics and distribution of dominant emotions across videos (a) distribution of participants’ emotional judgments across videos, (b) distribution of dominant emotions for each video.\nVideo sentiment distribution statistics and distribution of dominant emotions across videos (a) distribution of participants’ emotional judgments across videos, (b) distribution of dominant emotions for each video.\nBased on the principle of majority rule in voting theory, the threshold for consistency judgment was set to 50%, ensuring the significance of the identified dominant emotions. In this model, for the 40 videos in the DEAP dataset, the consistency of 9 videos is lower than the set threshold, and the dominant emotion recognition of the rest of the videos has good stability. As shown in Fig. 2 , the distribution of the corresponding four types of emotions are: happy (31.8%), relaxed (19.9%), sad (22.5%), and fearful (25.9%), which can effectively reflect the differences of different videos in guiding people’s emotions, and this innovation significantly improves the ecological validity of the classification.\nSpecifically, by analyzing the EEG signals of each subject in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} (1–4 Hz), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} (4–8 Hz), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} (8–14 Hz), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} (14–30 Hz) and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} (30–60 Hz) frequency bands of the FFT and Wavelet energy shares were counted to reveal the energy concentration trends of different channels in each frequency band. Based on this, a multi-dimensional energy ratio analysis model was designed.Table 4EEG channel frequency band power distribution across emotional states (units: %).ConditionsStatesFP1FP2F3F4C3C4T7T8PZO1O2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} (FFT)HVHA50.0635.5443.2733.5529.9727.7929.4339.6332.3630.0435.54LVHA27.7631.4233.6927.0221.3014.8628.6634.3326.2226.1231.42LVLA24.1040.5332.2227.4021.3425.6626.2324.5226.8818.3340.53HVLA31.0336.4431.0027.3633.1220.3823.0324.6123.9327.8736.44\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} (Wavelet)HVHA27.5223.7427.2018.3421.4514.6418.9124.1720.6315.1223.74LVHA15.6516.6418.7218.449.985.5715.7419.7612.3414.2316.64LVLA15.9625.0820.0817.0210.6616.0617.6814.4516.9411.6525.08HVLA18.1423.3015.3817.9919.6112.7914.0812.3811.4216.4223.30\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} (FFT)HVHA17.3416.3916.9216.3017.8419.5515.1315.5719.3516.5016.39LVHA20.7018.5919.0020.7924.4224.8821.5916.2221.4321.5318.59LVLA16.0319.5017.6018.0028.1615.0017.4615.2515.3117.1719.50HVLA20.1918.8021.5617.1119.6016.3817.5317.8422.9922.8318.80\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} (Wavelet)HVHA25.2715.0419.1818.1012.2014.6113.2018.7616.3816.3215.04LVHA16.0116.0616.4414.5312.8810.1815.5717.1616.9816.0116.06LVLA12.2218.4416.6813.5612.1412.1514.6414.1613.3010.3018.44HVLA19.2718.6718.8814.0418.2811.5212.3215.8614.4315.3318.67\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} (FFT)HVHA10.7815.9620.9025.6816.0226.0517.0722.9421.7418.2515.96LVHA23.5524.8323.6226.8426.1129.3724.1530.0921.4623.8324.83LVLA27.3520.8826.1427.5232.6931.9128.2137.3227.6620.6420.88HVLA22.4323.2721.9726.7322.2626.1423.3421.7122.1721.8123.27\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} (Wavelet)HVHA16.2414.1816.8316.8217.3919.7914.4215.3917.7316.5414.18LVHA19.8719.9019.8918.7523.9625.0021.2018.8220.4520.1019.90LVLA16.0519.8416.5017.2031.0014.2016.5116.7016.3917.4019.84HVLA16.6616.0918.7117.3017.8516.6017.8314.9821.8122.8316.09\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} (FFT)HVHA16.1528.0513.7318.1723.4922.3833.9516.5522.3425.7628.05LVHA20.4517.3316.3120.3324.6428.8619.3114.4521.7621.1117.33LVLA22.0713.5319.2919.4714.0020.8719.9817.5520.6428.5813.53HVLA20.2816.2519.2121.5819.0828.7628.5227.7423.7220.1816.25\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} (Wavelet)HVHA10.4618.8019.3225.0716.5727.4619.3521.8823.9220.8018.80LVHA24.0023.8122.8027.0129.7334.1424.9826.5923.4924.8223.81LVLA26.8819.6824.9427.2631.0132.4127.1034.5227.3823.1719.68HVLA22.9923.7024.6225.9622.7626.3925.0624.7426.2922.8923.70\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} (FFT)HVHA5.684.055.186.3112.684.234.425.324.229.454.05LVHA7.547.827.385.013.542.046.294.919.147.417.82LVLA10.455.564.757.613.816.578.125.359.5115.295.56HVLA6.075.256.267.225.948.357.588.107.197.315.25\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} (Wavelet)HVHA20.5228.2417.4821.6832.3923.5034.1319.8021.3431.2228.24LVHA24.4923.6022.1521.2723.4525.1122.5217.6626.7524.8523.60LVLA28.8916.9621.8024.9615.1925.1724.0620.1825.9937.4816.96HVLA22.9518.2422.4124.7121.5032.7030.7132.0426.0522.5318.24Values exhibiting potential feature-related differences are shown in bold.\nEEG channel frequency band power distribution across emotional states (units: %).\nValues exhibiting potential feature-related differences are shown in bold.\nThe results in Table 4 showed that different emotional states exhibited significant feature differences across multiple EEG frequency bands, and the FFT and Wavelet analysis methods showed complementary patterns of dominance. In the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document}-band, the HVHA state showed significant prefrontal dominance, and the FFT method detected prominent activation of FP1 and F3 channels, whereas the Wavelet method showed broader left hemisphere involvement. Notably, LVLA states showed enhanced \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} power in the right hemisphere FP2 and O2, and this hemispheric asymmetry was verified in both analysis methods. theta band analysis revealed differences in neural markers of emotional arousal, with the FFT method detecting enhanced theta activity in the central region C4 for HVLA states, while the Wavelet method found a prefrontal FP1 significant response, a difference that may reflect differences in the sensitivity of the analyzed methods to temporal features. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} bands showed discriminative features of emotional potency, with the FFT method showing a significant \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} enhancement of the LVLA state in the right temporal lobe T8, whereas the Wavelet method detected prominent activity in the parietal lobe C3 for the HVLA state, a difference in the distribution of the regions that suggests that \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} oscillations may be be involved in the processing of different emotional components. High-frequency band analyses revealed that: (i) HVHA states showed right prefrontal FP2 dominance in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} FFT band, whereas \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} Wavelet showed left central region C3 activation. (ii) LVHA states showed a distinct right temporal lobe T8 response pattern in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} band. These findings support a specific association of high-frequency activity with emotional arousal.\nComparison of analytic methods showed that (i) FFT is more sensitive to steady-state features. (ii) Wavelet is superior for transient feature capture. (iii) The \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} joint feature works best in emotional potency discrimination. (iv) Combination of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} is superior for emotional arousal discrimination. These findings provide new evidence for a multi-frequency oscillatory theory of emotional neural mechanisms, laying the groundwork for later cross-validation using multi-analytic approaches as well as exploring cross-frequency coupling as a potential marker of emotional integration.\nFigure 3 illustrates the median values and mean square error statistics of EEG signals across different channels under the four emotional conditions. The median serves as a robust estimator of central tendency, reflecting the baseline level of EEG activity while remaining insensitive to outliers. In contrast, the mean square error characterizes the magnitude of signal fluctuations within a given time window; larger values indicate greater dispersion of neural activity, which may correspond to increased cortical activation or neural instability in the associated brain regions. From the channel-wise analysis, several emotion-dependent patterns can be observed. (i) Under the Happy condition, the median amplitudes of the FP1 and T8 channels were notably lower than those observed in other emotional states, suggesting reduced baseline activity in these regions. Meanwhile, the C4 and PZ channels exhibited higher mean square error values, indicating enhanced neural variability and increased activation. (ii) In the Relaxed condition, the median signals of the FP2, PZ, and O2 channels were significantly lower, implying a generally subdued baseline activity in the corresponding cortical areas. In addition, the F3 channel showed a relatively small mean square error, suggesting a more stable or inhibited neural state. (iii) For the Sad condition, the median value of the T7 channel was slightly elevated compared to other emotions, while the C3 channel exhibited increased mean square error, indicating moderate emotional activation in this region. (iv) Under the Fearful condition, the F3 channel displayed a markedly higher MSE, reflecting pronounced neural activation associated with fear processing. In contrast, the FP1, T8, PZ, and O1 channels showed relatively low median values and limited fluctuation amplitudes, suggesting suppressed or less engaged neural activity in these regions.Fig. 3Statistical characteristics of four emotions in different channels (a) median of signals, (b) Mse of signals.\nStatistical characteristics of four emotions in different channels (a) median of signals, (b) Mse of signals.\nMotivated by these observations, a saliency-guided feature selection strategy was developed. Multimodal features were extracted by computing the relative energy of each standard frequency band following successive wavelet transforms for four key electrodes (FP1, C3, T8, and O1). For each electrode, energy features from five frequency bands were obtained, yielding a 20-dimensional wavelet energy feature vector. In addition, amplitude-squared coherence was calculated for the F3–C4 electrode pair across five frequency bands, resulting in five coherence-based features. Furthermore, median and peak amplitudes were extracted from band-pass-filtered signals of the emotion-relevant electrodes FP1 and FP2, with particular emphasis on the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} bands, producing a total of 14 time-domain statistical features. Power spectral density (PSD) features were computed using a sliding-window Welch method, including the mean and maximum power in each frequency band across 11 electrodes. This procedure yielded 10 PSD features per electrode, resulting in a 110-dimensional PSD feature set. The final feature vector was constructed by concatenating all extracted features, resulting in a 151-dimensional representation. For cross-subject evaluation, subject identity information was appended to the feature columns. A systematic machine learning pipeline was then employed for model training and evaluation. The dataset consisted of 151-dimensional EEG feature vectors paired with corresponding emotion labels. All raw data were preprocessed using standardized procedures, and the dataset was partitioned into training (70%) and testing (30%) subsets via stratified random sampling. Statistical verification confirmed that the class distributions of the two subsets were well matched (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p > 0.05$$\\end{document}). During the feature selection stage, three complementary evaluation methods–mRMR, chi-square testing, and ReliefF–were jointly applied. Based on the fused ranking results, the eight most discriminative feature dimensions were ultimately selected for classification.\nIn the feature construction stage, the original 151-dimensional EEG features were organized into several semantically meaningful modalities, including frequency-band coherence, wavelet energy, time-domain statistics, and PSD. Furthermore, to explore the distinct emotional representations across frequency bands, five sub-feature sets were constructed based on the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} bands. Each sub-set included coherence, wavelet energy, statistical metrics, and corresponding PSD features. All feature subsets were independently z-score normalized to ensure numerical stability during model input.\nIn order to systematically quantify the enhancement effects of each strategy modality on classification performance, a five-fold cross-validation scheme was implemented and ablation experiments were designed to compare the accuracy performance of the three widely used models. The final results are summarised in Table 5.Table 5Comparison of classification accuracy across different strategies and models (units: %).ModelsClassification strategiesDynamic hierarchical label calibrationMulti-dimensional energy ratio analysisSaliency-guided feature selectionSVM34.65 ± 3.542.75 ± 3.843.98 ± 5.5RF32.48 ± 7.440.46 ± 4.245.82 ± 4.4DNN33.08 ± 1.436.64 ± 4.141.23 ± 5.9\nComparison of classification accuracy across different strategies and models (units: %).\nThe ablation study results demonstrate the incremental contributions of the three proposed strategies. The baseline performance using Dynamic Hierarchical Label Calibration shows moderate accuracy across all models, with SVM achieving 34.65%, RF at 32.48%, and DNN reaching 33.08%. The introduction of Multi-dimensional Energy Ratio Analysis consistently improved performance for all classifiers, particularly benefiting SVM which increased to 42.75%. The most significant improvement was observed with the Saliency-guided Feature Selection strategy, which yielded the highest accuracy values for all three models. SVM achieved 43.98%, RF reached 45.82%, and DNN attained 41.23% accuracy. This represents a clear progression in performance from the baseline through to the most sophisticated strategy. The results indicate that each strategy contributes meaningfully to the overall performance, with the Saliency-guided Feature Selection providing the most substantial enhancement. The consistent pattern of improvement across all three models suggests that the strategies offer complementary benefits for EEG-based emotion recognition. The standard deviation values further indicate that the performance gains are statistically consistent across cross-validation folds. These findings confirm that each component of the proposed framework contributes incrementally to the final performance, validating the design choices made in this study.Table 6Performance comparison of three models across evaluation metrics.Accuracy (%) across 5-fold cross-validationPerformance metrics by emotion categoryFoldSVMRFDNNCategorySVMRFDNNFold 153.2548.0546.75RecallHVHA0.6290.6440.538HVLA0.0300.0000.091Fold 243.5951.2844.87LVHA0.3200.4020.361LVLA0.5350.5350.473F1-scoreFold 338.7141.9434.41HVHA0.5170.5350.486HVLA0.0570.0000.123LVHA0.3760.4590.383Fold 439.1340.2233.70LVLA0.4730.4710.444PrecisionHVHA0.4390.4570.444Fold 545.2447.6246.43HVLA0.5000.0000.188LVHA0.4560.5340.407LVLA0.4230.4210.418\nPerformance comparison of three models across evaluation metrics.\nBased on the Table 6, the experimental results demonstrate several positive findings in EEG-based emotion recognition. The proposed method achieves stable performance in detecting HVHA states across all models, with F1-scores maintained at 0.486 for DNN, 0.517 for SVM, and 0.535 for Random Forest. This indicates consistent capability in recognizing positive high-arousal emotions, which is valuable for applications requiring detection of engaged or excited states. The RF model shows the best performance in HVHA emotion recognition, achieving an F1-score of 0.535. This suggests its suitability for capturing the neural signatures of positive engagement. Additionally, all models demonstrate consistent performance in identifying LVLA states, with F1-scores ranging from 0.444 to 0.473, indicating reliable detection of calm or neutral emotional states. The results also identify potential directions for optimization. While HVLA emotions present challenges, the DNN model shows some capability in this category with an F1-score of 0.123, suggesting potential for improvement through targeted feature engineering. The generally balanced performance across valence-arousal dimensions indicates that the feature selection strategy captures the multidimensional nature of emotions. The consistent results across multiple evaluation metrics and cross-validation folds provide evidence for the robustness of the approach. These findings support the feasibility of achieving reliable emotion recognition using optimized electrode configurations, which could benefit practical applications in real-world settings where hardware simplicity is important.\n\n\n### Dominant emotion marker\nThis study is based on the public DEAP EEG emotion dataset and utilizes the accompanying subjective emotion rating files. After viewing each video, participants were asked to rate their emotional responses along four dimensions—Valence, Arousal, Dominance, and Liking (VADL)–which serve as the foundational information for constructing video-level dominant emotion labels. Given the well-recognized variability in emotional experience across individuals, we propose a dynamic hierarchical label calibration strategy aimed at providing a more robust and expressive framework for video-dominant emotion labeling. The primary goal of this strategy is to enhance label stability and improve the representational fidelity of emotion categorization at the group level. Following the widely adopted Valence-Arousal emotion model45, the emotional space is divided into four quadrants, each mapped to a representative discrete emotion to facilitate interpretation in subsequent experiments: HVHA (high valence, high arousal) corresponds to happy, HVLA (high valence, low arousal) to relaxed, LVHA (low valence, high arousal) to fearful, and LVLA (low valence, low arousal) to sad.\nAs an initial baseline, the conventional threshold-based division method was applied to categorize subjects’ emotional responses into the four Valence–Arousal quadrants. This approach achieved an integration accuracy of 92.5% at the individual score level. However, although a label consistency of 50% was observed under individual-based partitioning, the method demonstrated limited effectiveness in modeling dominant emotions at the group level. A statistical decision-making strategy incorporating group voting was further employed to determine video-level dominant emotions, yet the resulting video consistency on the test set reached only 54%. Moreover, the derived labels exhibited a notable deviation from the reference emotion annotations provided in the DEAP dataset. To improve both expression stability and group-level consistency—and to overcome the high subjectivity and weak generalization associated with fixed-threshold or rule-based segmentation methods–we compared three clustering-based labeling strategies. Among them, the Gaussian Mixture Model (GMM) consistently outperformed the alternatives in terms of silhouette coefficients and average consistency metrics. In particular, GMM achieved higher consistency across the majority of videos, indicating its advantage in capturing shared trends in subjective emotional responses to video stimuli. It should be noted, however, that certain marginal emotional categories exhibit inherently fuzzy boundaries and lack a clearly dominant emotional state, leading to relatively low fitting rates with respect to the original reference scores. This observation suggests that existing clustering approaches remain limited in their ability to reliably characterize neutral or weak emotional states. After applying the proposed hierarchical calibration strategy, all videos could be classified into four dominant emotion categories with improved consistency. Specifically, the method achieved an accuracy of 57.27% under our evaluation mode and demonstrated a closer alignment with the dominant emotion distribution of the DEAP dataset, reaching a fit rate of 77.50%. The detailed comparison results are reported in Table 3.Table 3Labeling effects of different clustering strategies.Metric (%)Clustering StrategyK-MeansGMMHierarchicalProposedAccuracy55.0861.4149.6957.27Fit rate30.0037.507.5077.50\nLabeling effects of different clustering strategies.\nFig. 2Video sentiment distribution statistics and distribution of dominant emotions across videos (a) distribution of participants’ emotional judgments across videos, (b) distribution of dominant emotions for each video.\nVideo sentiment distribution statistics and distribution of dominant emotions across videos (a) distribution of participants’ emotional judgments across videos, (b) distribution of dominant emotions for each video.\nBased on the principle of majority rule in voting theory, the threshold for consistency judgment was set to 50%, ensuring the significance of the identified dominant emotions. In this model, for the 40 videos in the DEAP dataset, the consistency of 9 videos is lower than the set threshold, and the dominant emotion recognition of the rest of the videos has good stability. As shown in Fig. 2 , the distribution of the corresponding four types of emotions are: happy (31.8%), relaxed (19.9%), sad (22.5%), and fearful (25.9%), which can effectively reflect the differences of different videos in guiding people’s emotions, and this innovation significantly improves the ecological validity of the classification.\n\n\n### Multi-stage signal quality assessment and band-power ratio analysis\nSpecifically, by analyzing the EEG signals of each subject in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} (1–4 Hz), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} (4–8 Hz), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} (8–14 Hz), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} (14–30 Hz) and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} (30–60 Hz) frequency bands of the FFT and Wavelet energy shares were counted to reveal the energy concentration trends of different channels in each frequency band. Based on this, a multi-dimensional energy ratio analysis model was designed.Table 4EEG channel frequency band power distribution across emotional states (units: %).ConditionsStatesFP1FP2F3F4C3C4T7T8PZO1O2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} (FFT)HVHA50.0635.5443.2733.5529.9727.7929.4339.6332.3630.0435.54LVHA27.7631.4233.6927.0221.3014.8628.6634.3326.2226.1231.42LVLA24.1040.5332.2227.4021.3425.6626.2324.5226.8818.3340.53HVLA31.0336.4431.0027.3633.1220.3823.0324.6123.9327.8736.44\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} (Wavelet)HVHA27.5223.7427.2018.3421.4514.6418.9124.1720.6315.1223.74LVHA15.6516.6418.7218.449.985.5715.7419.7612.3414.2316.64LVLA15.9625.0820.0817.0210.6616.0617.6814.4516.9411.6525.08HVLA18.1423.3015.3817.9919.6112.7914.0812.3811.4216.4223.30\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} (FFT)HVHA17.3416.3916.9216.3017.8419.5515.1315.5719.3516.5016.39LVHA20.7018.5919.0020.7924.4224.8821.5916.2221.4321.5318.59LVLA16.0319.5017.6018.0028.1615.0017.4615.2515.3117.1719.50HVLA20.1918.8021.5617.1119.6016.3817.5317.8422.9922.8318.80\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} (Wavelet)HVHA25.2715.0419.1818.1012.2014.6113.2018.7616.3816.3215.04LVHA16.0116.0616.4414.5312.8810.1815.5717.1616.9816.0116.06LVLA12.2218.4416.6813.5612.1412.1514.6414.1613.3010.3018.44HVLA19.2718.6718.8814.0418.2811.5212.3215.8614.4315.3318.67\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} (FFT)HVHA10.7815.9620.9025.6816.0226.0517.0722.9421.7418.2515.96LVHA23.5524.8323.6226.8426.1129.3724.1530.0921.4623.8324.83LVLA27.3520.8826.1427.5232.6931.9128.2137.3227.6620.6420.88HVLA22.4323.2721.9726.7322.2626.1423.3421.7122.1721.8123.27\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} (Wavelet)HVHA16.2414.1816.8316.8217.3919.7914.4215.3917.7316.5414.18LVHA19.8719.9019.8918.7523.9625.0021.2018.8220.4520.1019.90LVLA16.0519.8416.5017.2031.0014.2016.5116.7016.3917.4019.84HVLA16.6616.0918.7117.3017.8516.6017.8314.9821.8122.8316.09\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} (FFT)HVHA16.1528.0513.7318.1723.4922.3833.9516.5522.3425.7628.05LVHA20.4517.3316.3120.3324.6428.8619.3114.4521.7621.1117.33LVLA22.0713.5319.2919.4714.0020.8719.9817.5520.6428.5813.53HVLA20.2816.2519.2121.5819.0828.7628.5227.7423.7220.1816.25\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} (Wavelet)HVHA10.4618.8019.3225.0716.5727.4619.3521.8823.9220.8018.80LVHA24.0023.8122.8027.0129.7334.1424.9826.5923.4924.8223.81LVLA26.8819.6824.9427.2631.0132.4127.1034.5227.3823.1719.68HVLA22.9923.7024.6225.9622.7626.3925.0624.7426.2922.8923.70\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} (FFT)HVHA5.684.055.186.3112.684.234.425.324.229.454.05LVHA7.547.827.385.013.542.046.294.919.147.417.82LVLA10.455.564.757.613.816.578.125.359.5115.295.56HVLA6.075.256.267.225.948.357.588.107.197.315.25\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} (Wavelet)HVHA20.5228.2417.4821.6832.3923.5034.1319.8021.3431.2228.24LVHA24.4923.6022.1521.2723.4525.1122.5217.6626.7524.8523.60LVLA28.8916.9621.8024.9615.1925.1724.0620.1825.9937.4816.96HVLA22.9518.2422.4124.7121.5032.7030.7132.0426.0522.5318.24Values exhibiting potential feature-related differences are shown in bold.\nEEG channel frequency band power distribution across emotional states (units: %).\nValues exhibiting potential feature-related differences are shown in bold.\nThe results in Table 4 showed that different emotional states exhibited significant feature differences across multiple EEG frequency bands, and the FFT and Wavelet analysis methods showed complementary patterns of dominance. In the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document}-band, the HVHA state showed significant prefrontal dominance, and the FFT method detected prominent activation of FP1 and F3 channels, whereas the Wavelet method showed broader left hemisphere involvement. Notably, LVLA states showed enhanced \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} power in the right hemisphere FP2 and O2, and this hemispheric asymmetry was verified in both analysis methods. theta band analysis revealed differences in neural markers of emotional arousal, with the FFT method detecting enhanced theta activity in the central region C4 for HVLA states, while the Wavelet method found a prefrontal FP1 significant response, a difference that may reflect differences in the sensitivity of the analyzed methods to temporal features. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} bands showed discriminative features of emotional potency, with the FFT method showing a significant \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} enhancement of the LVLA state in the right temporal lobe T8, whereas the Wavelet method detected prominent activity in the parietal lobe C3 for the HVLA state, a difference in the distribution of the regions that suggests that \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} oscillations may be be involved in the processing of different emotional components. High-frequency band analyses revealed that: (i) HVHA states showed right prefrontal FP2 dominance in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} FFT band, whereas \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} Wavelet showed left central region C3 activation. (ii) LVHA states showed a distinct right temporal lobe T8 response pattern in the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} band. These findings support a specific association of high-frequency activity with emotional arousal.\nComparison of analytic methods showed that (i) FFT is more sensitive to steady-state features. (ii) Wavelet is superior for transient feature capture. (iii) The \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} joint feature works best in emotional potency discrimination. (iv) Combination of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\theta$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} is superior for emotional arousal discrimination. These findings provide new evidence for a multi-frequency oscillatory theory of emotional neural mechanisms, laying the groundwork for later cross-validation using multi-analytic approaches as well as exploring cross-frequency coupling as a potential marker of emotional integration.\n\n\n### Multimodal feature extraction and dimensionality reduction\nFigure 3 illustrates the median values and mean square error statistics of EEG signals across different channels under the four emotional conditions. The median serves as a robust estimator of central tendency, reflecting the baseline level of EEG activity while remaining insensitive to outliers. In contrast, the mean square error characterizes the magnitude of signal fluctuations within a given time window; larger values indicate greater dispersion of neural activity, which may correspond to increased cortical activation or neural instability in the associated brain regions. From the channel-wise analysis, several emotion-dependent patterns can be observed. (i) Under the Happy condition, the median amplitudes of the FP1 and T8 channels were notably lower than those observed in other emotional states, suggesting reduced baseline activity in these regions. Meanwhile, the C4 and PZ channels exhibited higher mean square error values, indicating enhanced neural variability and increased activation. (ii) In the Relaxed condition, the median signals of the FP2, PZ, and O2 channels were significantly lower, implying a generally subdued baseline activity in the corresponding cortical areas. In addition, the F3 channel showed a relatively small mean square error, suggesting a more stable or inhibited neural state. (iii) For the Sad condition, the median value of the T7 channel was slightly elevated compared to other emotions, while the C3 channel exhibited increased mean square error, indicating moderate emotional activation in this region. (iv) Under the Fearful condition, the F3 channel displayed a markedly higher MSE, reflecting pronounced neural activation associated with fear processing. In contrast, the FP1, T8, PZ, and O1 channels showed relatively low median values and limited fluctuation amplitudes, suggesting suppressed or less engaged neural activity in these regions.Fig. 3Statistical characteristics of four emotions in different channels (a) median of signals, (b) Mse of signals.\nStatistical characteristics of four emotions in different channels (a) median of signals, (b) Mse of signals.\nMotivated by these observations, a saliency-guided feature selection strategy was developed. Multimodal features were extracted by computing the relative energy of each standard frequency band following successive wavelet transforms for four key electrodes (FP1, C3, T8, and O1). For each electrode, energy features from five frequency bands were obtained, yielding a 20-dimensional wavelet energy feature vector. In addition, amplitude-squared coherence was calculated for the F3–C4 electrode pair across five frequency bands, resulting in five coherence-based features. Furthermore, median and peak amplitudes were extracted from band-pass-filtered signals of the emotion-relevant electrodes FP1 and FP2, with particular emphasis on the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\beta$$\\end{document} bands, producing a total of 14 time-domain statistical features. Power spectral density (PSD) features were computed using a sliding-window Welch method, including the mean and maximum power in each frequency band across 11 electrodes. This procedure yielded 10 PSD features per electrode, resulting in a 110-dimensional PSD feature set. The final feature vector was constructed by concatenating all extracted features, resulting in a 151-dimensional representation. For cross-subject evaluation, subject identity information was appended to the feature columns. A systematic machine learning pipeline was then employed for model training and evaluation. The dataset consisted of 151-dimensional EEG feature vectors paired with corresponding emotion labels. All raw data were preprocessed using standardized procedures, and the dataset was partitioned into training (70%) and testing (30%) subsets via stratified random sampling. Statistical verification confirmed that the class distributions of the two subsets were well matched (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p > 0.05$$\\end{document}). During the feature selection stage, three complementary evaluation methods–mRMR, chi-square testing, and ReliefF–were jointly applied. Based on the fused ranking results, the eight most discriminative feature dimensions were ultimately selected for classification.\n\n\n### Classification validation\nIn the feature construction stage, the original 151-dimensional EEG features were organized into several semantically meaningful modalities, including frequency-band coherence, wavelet energy, time-domain statistics, and PSD. Furthermore, to explore the distinct emotional representations across frequency bands, five sub-feature sets were constructed based on the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta$$\\end{document} to \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document} bands. Each sub-set included coherence, wavelet energy, statistical metrics, and corresponding PSD features. All feature subsets were independently z-score normalized to ensure numerical stability during model input.\nIn order to systematically quantify the enhancement effects of each strategy modality on classification performance, a five-fold cross-validation scheme was implemented and ablation experiments were designed to compare the accuracy performance of the three widely used models. The final results are summarised in Table 5.Table 5Comparison of classification accuracy across different strategies and models (units: %).ModelsClassification strategiesDynamic hierarchical label calibrationMulti-dimensional energy ratio analysisSaliency-guided feature selectionSVM34.65 ± 3.542.75 ± 3.843.98 ± 5.5RF32.48 ± 7.440.46 ± 4.245.82 ± 4.4DNN33.08 ± 1.436.64 ± 4.141.23 ± 5.9\nComparison of classification accuracy across different strategies and models (units: %).\nThe ablation study results demonstrate the incremental contributions of the three proposed strategies. The baseline performance using Dynamic Hierarchical Label Calibration shows moderate accuracy across all models, with SVM achieving 34.65%, RF at 32.48%, and DNN reaching 33.08%. The introduction of Multi-dimensional Energy Ratio Analysis consistently improved performance for all classifiers, particularly benefiting SVM which increased to 42.75%. The most significant improvement was observed with the Saliency-guided Feature Selection strategy, which yielded the highest accuracy values for all three models. SVM achieved 43.98%, RF reached 45.82%, and DNN attained 41.23% accuracy. This represents a clear progression in performance from the baseline through to the most sophisticated strategy. The results indicate that each strategy contributes meaningfully to the overall performance, with the Saliency-guided Feature Selection providing the most substantial enhancement. The consistent pattern of improvement across all three models suggests that the strategies offer complementary benefits for EEG-based emotion recognition. The standard deviation values further indicate that the performance gains are statistically consistent across cross-validation folds. These findings confirm that each component of the proposed framework contributes incrementally to the final performance, validating the design choices made in this study.Table 6Performance comparison of three models across evaluation metrics.Accuracy (%) across 5-fold cross-validationPerformance metrics by emotion categoryFoldSVMRFDNNCategorySVMRFDNNFold 153.2548.0546.75RecallHVHA0.6290.6440.538HVLA0.0300.0000.091Fold 243.5951.2844.87LVHA0.3200.4020.361LVLA0.5350.5350.473F1-scoreFold 338.7141.9434.41HVHA0.5170.5350.486HVLA0.0570.0000.123LVHA0.3760.4590.383Fold 439.1340.2233.70LVLA0.4730.4710.444PrecisionHVHA0.4390.4570.444Fold 545.2447.6246.43HVLA0.5000.0000.188LVHA0.4560.5340.407LVLA0.4230.4210.418\nPerformance comparison of three models across evaluation metrics.\nBased on the Table 6, the experimental results demonstrate several positive findings in EEG-based emotion recognition. The proposed method achieves stable performance in detecting HVHA states across all models, with F1-scores maintained at 0.486 for DNN, 0.517 for SVM, and 0.535 for Random Forest. This indicates consistent capability in recognizing positive high-arousal emotions, which is valuable for applications requiring detection of engaged or excited states. The RF model shows the best performance in HVHA emotion recognition, achieving an F1-score of 0.535. This suggests its suitability for capturing the neural signatures of positive engagement. Additionally, all models demonstrate consistent performance in identifying LVLA states, with F1-scores ranging from 0.444 to 0.473, indicating reliable detection of calm or neutral emotional states. The results also identify potential directions for optimization. While HVLA emotions present challenges, the DNN model shows some capability in this category with an F1-score of 0.123, suggesting potential for improvement through targeted feature engineering. The generally balanced performance across valence-arousal dimensions indicates that the feature selection strategy captures the multidimensional nature of emotions. The consistent results across multiple evaluation metrics and cross-validation folds provide evidence for the robustness of the approach. These findings support the feasibility of achieving reliable emotion recognition using optimized electrode configurations, which could benefit practical applications in real-world settings where hardware simplicity is important.\n\n\n### Discussion\nMost existing studies using the DEAP dataset aim to improve emotion classification performance at the trial level or within short EEG time windows. These approaches typically rely on high-density EEG configurations (32 channels) and subject-dependent or mixed training strategies, under which high classification accuracy can be achieved. In contrast, the present study is designed around a fundamentally different objective. Rather than optimizing absolute classification accuracy, it focuses on the stability and discriminability of video-induced dominant emotional tendencies at the group level. To this end, more challenging experimental conditions are considered, including video-level emotion labeling instead of instantaneous annotations derived from short EEG segments. Under such settings, direct numerical comparison with DEAP-based studies conducted under high-density, subject-dependent paradigms is not strictly appropriate, as the underlying research goals and evaluation protocols differ substantially. Previous studies have consistently reported pronounced performance degradation when cross-subject constraints and channel reduction are imposed on the DEAP dataset. The performance trends observed in this work are in line with these reports, underscoring the inherent difficulty of EEG-based emotion recognition under conditions that more closely approximate real-world application scenarios. Table 7 provides a methodological comparison of representative EEG-based emotion recognition studies, highlighting key differences in evaluation paradigms, emotion targets, and research objectives between prior work and the present study.Table 7Methodological positioning of recent EEG-based emotion recognition studies.StudyEvaluationEmotion targetPrimary goalZhang et al.4Subject-dependentInstantaneous emotionMaximize classification accuracyCheng et al.5Subject-dependentShort-term emotion stateFine-grained feature learningKanna et al.6Subject-dependentBinary / multi-class emotionSequence modeling performanceThis workCross-subjectDominant emotion tendencyPractical group-level emotion modeling\nMethodological positioning of recent EEG-based emotion recognition studies.\nThe classification performance reported in this study is primarily constrained by the intrinsic challenges of EEG-based emotion recognition. EEG signals are characterized by substantial inter-subject variability, including differences in functional brain organization, spectral distributions, and noise characteristics. Under cross-subject evaluation settings, models are required to learn subject-independent emotional representations from a limited feature space, which is widely acknowledged as a particularly challenging problem. Channel reduction further limits the availability of spatial information. While high-density EEG systems can partially mitigate individual variability through spatial redundancy, reduced-channel configurations inevitably impose a lower theoretical upper bound on achievable performance. Importantly, this performance limitation should not be interpreted as a weakness of reduced-channel strategies. On the contrary, such configurations more accurately reflect the practical constraints of wearable and portable EEG systems in real-world applications. Therefore, although the achieved classification performance may not be numerically optimal, the results offer stronger practical relevance in terms of deployment feasibility and ecological validity.\nEmotion elicited by video stimuli is not equivalent to the emotional state reflected by instantaneous EEG segments. In the DEAP dataset, emotional labels are derived from subjective ratings of entire video clips, representing time-integrated dominant emotional tendencies rather than momentary emotional fluctuations. Directly predicting video-level labels from short EEG segments therefore introduces a temporal mismatch between signal representation and annotation targets. To address this issue, the present study employs consistency analysis and clustering to characterize video-induced dominant emotional patterns at the group level, rather than assigning potentially unstable labels to individual EEG segments. This perspective aligns more closely with the formation mechanism of emotional experience in video-based paradigms and helps reduce randomness caused by transient noise and individual variability. Accordingly, the focus of this study is not extreme accuracy in instantaneous emotion classification, but the feasibility of reliably capturing and distinguishing dominant emotional tendencies at the EEG level.\nAlthough the proposed method demonstrates a degree of robustness under reduced-channel and cross-subject conditions, its applicability boundaries should be acknowledged. The method relies on the experimental paradigm specific to the DEAP dataset, including video-based stimulation, valence–arousal rating dimensions, and the associated labeling procedure. Direct transfer to datasets with different stimulus modalities or labeling schemes may therefore require adjustments in label construction and feature aggregation. Moreover, this study emphasizes within-paradigm analysis rather than cross-dataset generalization, and the method has not been systematically evaluated on heterogeneous emotion datasets. This constitutes a primary limitation of the present work and a clear direction for future research. Future studies may incorporate additional datasets with similar experimental designs to further assess the generalizability of video-dominant emotion modeling under reduced-channel and cross-subject constraints. In addition, integrating the proposed framework with advanced temporal modeling or self-supervised learning approaches may offer further improvements in group-level emotional consistency analysis.\n\n\n### Comparison with existing DEAP-based studies\nMost existing studies using the DEAP dataset aim to improve emotion classification performance at the trial level or within short EEG time windows. These approaches typically rely on high-density EEG configurations (32 channels) and subject-dependent or mixed training strategies, under which high classification accuracy can be achieved. In contrast, the present study is designed around a fundamentally different objective. Rather than optimizing absolute classification accuracy, it focuses on the stability and discriminability of video-induced dominant emotional tendencies at the group level. To this end, more challenging experimental conditions are considered, including video-level emotion labeling instead of instantaneous annotations derived from short EEG segments. Under such settings, direct numerical comparison with DEAP-based studies conducted under high-density, subject-dependent paradigms is not strictly appropriate, as the underlying research goals and evaluation protocols differ substantially. Previous studies have consistently reported pronounced performance degradation when cross-subject constraints and channel reduction are imposed on the DEAP dataset. The performance trends observed in this work are in line with these reports, underscoring the inherent difficulty of EEG-based emotion recognition under conditions that more closely approximate real-world application scenarios. Table 7 provides a methodological comparison of representative EEG-based emotion recognition studies, highlighting key differences in evaluation paradigms, emotion targets, and research objectives between prior work and the present study.Table 7Methodological positioning of recent EEG-based emotion recognition studies.StudyEvaluationEmotion targetPrimary goalZhang et al.4Subject-dependentInstantaneous emotionMaximize classification accuracyCheng et al.5Subject-dependentShort-term emotion stateFine-grained feature learningKanna et al.6Subject-dependentBinary / multi-class emotionSequence modeling performanceThis workCross-subjectDominant emotion tendencyPractical group-level emotion modeling\nMethodological positioning of recent EEG-based emotion recognition studies.\n\n\n### Impact of channel reduction and cross-subject setting\nThe classification performance reported in this study is primarily constrained by the intrinsic challenges of EEG-based emotion recognition. EEG signals are characterized by substantial inter-subject variability, including differences in functional brain organization, spectral distributions, and noise characteristics. Under cross-subject evaluation settings, models are required to learn subject-independent emotional representations from a limited feature space, which is widely acknowledged as a particularly challenging problem. Channel reduction further limits the availability of spatial information. While high-density EEG systems can partially mitigate individual variability through spatial redundancy, reduced-channel configurations inevitably impose a lower theoretical upper bound on achievable performance. Importantly, this performance limitation should not be interpreted as a weakness of reduced-channel strategies. On the contrary, such configurations more accurately reflect the practical constraints of wearable and portable EEG systems in real-world applications. Therefore, although the achieved classification performance may not be numerically optimal, the results offer stronger practical relevance in terms of deployment feasibility and ecological validity.\n\n\n### Video-level emotion modeling versus instantaneous classification\nEmotion elicited by video stimuli is not equivalent to the emotional state reflected by instantaneous EEG segments. In the DEAP dataset, emotional labels are derived from subjective ratings of entire video clips, representing time-integrated dominant emotional tendencies rather than momentary emotional fluctuations. Directly predicting video-level labels from short EEG segments therefore introduces a temporal mismatch between signal representation and annotation targets. To address this issue, the present study employs consistency analysis and clustering to characterize video-induced dominant emotional patterns at the group level, rather than assigning potentially unstable labels to individual EEG segments. This perspective aligns more closely with the formation mechanism of emotional experience in video-based paradigms and helps reduce randomness caused by transient noise and individual variability. Accordingly, the focus of this study is not extreme accuracy in instantaneous emotion classification, but the feasibility of reliably capturing and distinguishing dominant emotional tendencies at the EEG level.\n\n\n### Methodological dependency and future directions\nAlthough the proposed method demonstrates a degree of robustness under reduced-channel and cross-subject conditions, its applicability boundaries should be acknowledged. The method relies on the experimental paradigm specific to the DEAP dataset, including video-based stimulation, valence–arousal rating dimensions, and the associated labeling procedure. Direct transfer to datasets with different stimulus modalities or labeling schemes may therefore require adjustments in label construction and feature aggregation. Moreover, this study emphasizes within-paradigm analysis rather than cross-dataset generalization, and the method has not been systematically evaluated on heterogeneous emotion datasets. This constitutes a primary limitation of the present work and a clear direction for future research. Future studies may incorporate additional datasets with similar experimental designs to further assess the generalizability of video-dominant emotion modeling under reduced-channel and cross-subject constraints. In addition, integrating the proposed framework with advanced temporal modeling or self-supervised learning approaches may offer further improvements in group-level emotional consistency analysis.\n\n\n### Conclusions\nThis paper investigates video-based emotion recognition using portable EEG devices, a setting in which reduced electrode configurations and cross-subject variability pose significant challenges to conventional approaches. Instead of focusing exclusively on maximizing classification accuracy, this study emphasizes the modeling of video-level dominant emotional tendencies, which more closely aligns subjective annotations with sustained neural responses elicited during video viewing. From a methodological perspective, the proposed hierarchical label calibration strategy elucidates how individual consistency and boundary ambiguity jointly affect the reliability of emotion labels in EEG-based affective analysis. When combined with time–frequency energy ratio features and saliency-guided feature selection, the framework offers insight into how emotionally relevant information can be effectively preserved under constraints of limited channel availability and subject-independent evaluation. From a practical standpoint, the experimental results support the feasibility of reduced-channel EEG emotion recognition for portable and wearable applications, where sensor simplicity and computational efficiency are critical considerations. The proposed framework provides a structured approach to balancing recognition robustness and lightweight system design, making it particularly relevant for real-world affective monitoring scenarios. Several limitations remain. First, the current evaluation is conducted on a single dataset, and the robustness of the proposed strategy across diverse populations, recording configurations, and emotion elicitation protocols has yet to be established. Second, although the feature extraction pipeline is designed with efficiency in mind, further simplification will be required to fully satisfy the real-time processing constraints of embedded and edge-computing platforms.\nFuture work will therefore focus on cross-dataset validation and on the development of low-latency feature representations that better support online or edge-based emotion recognition. In particular, the video-based stimulation protocol and structured subjective rating scheme of the DEAP dataset provide a useful reference for designing future data collection procedures under similar application constraints. Extending this experimental paradigm may facilitate more consistent label construction and enable systematic evaluation of video-dominant emotion modeling in newly collected datasets. Overall, this work represents a practically grounded and conceptually coherent step toward cross-subject EEG-based emotion analysis in portable and resource-constrained settings.", "domain": "affective_neuroscience"}
{"source": "PMC12948658", "title": "The Conceptualization, Experience, and Recognition of Emotion in Autism: Differences in the Psychological Mechanisms Involved in Autistic and Non‐Autistic Emotion Recognition", "text": "# The Conceptualization, Experience, and Recognition of Emotion in Autism: Differences in the Psychological Mechanisms Involved in Autistic and Non‐Autistic Emotion Recognition\n\n## Abstract\nExisting literature suggests that differences between autistic and non‐autistic people in emotion recognition might be related to differences in how these groups experience emotions themselves. Specifically, autistic individuals may show differences in the consistency of emotional experiences, the ability to distinguish between emotions, and/or their semantic understanding of emotions. In this study, we empirically tested this claim by (1) investigating whether autistic and non‐autistic adults differed in the consistency and/or differentiation of their emotional experiences, and their understanding and differentiation of emotion concepts after controlling for alexithymia, and (2) assessing the contribution of these emotional abilities to emotion recognition. To this end, a total of 58 autistic and 59 non‐autistic individuals, matched on age, sex, and non‐verbal reasoning ability, completed a series of validated questionnaires and computer‐based emotion tasks. We found no group differences in emotional consistency, emotion differentiation, and understanding or differentiation of emotion concepts after controlling for alexithymia. For non‐autistic people, the ability to differentiate one's own emotions contributed to enhanced emotion recognition. Although having more differentiated emotion concepts (indirectly) contributed to elevated emotion recognition for non‐autistic people, having a more precise understanding of emotion concepts contributed to emotion recognition for autistic people. Our findings demonstrate that there are differences in the psychological mechanisms involved in autistic and non‐autistic emotion recognition. The results of the current study pave the way for future systems to help both autistic and non‐autistic people to more accurately recognize emotional facial expressions. This study investigated how autistic and non‐autistic adults experience and understand emotions, and how these abilities relate to recognizing emotions in others. We found that autistic and non‐autistic adults did not differ in (1) how consistently they experienced emotions, (2) their understanding of emotion terms, and (3) their ability to distinguish between different emotional experiences or emotion terms. For non‐autistic individuals, recognizing emotions was linked to how well they could tell apart emotion terms and their own feelings. For autistic individuals, a clear understanding of emotion terms was associated with better emotion recognition. These insights could support the development of tools to enhance emotion recognition for both groups.\n\n## Full Text\n\n\n### Introduction\nAutism is a neurodevelopmental condition, characterized by socio‐communicative differences and repetitive patterns of behaviors, interests or activities (American Psychiatric Association 2013). Although not considered a diagnostic feature, emotion recognition has been a topic of interest in autism research for over three decades because it is thought that difficulties in this area may contribute to social differences (Baron‐Cohen et al. 2009). To date, the majority of emotion recognition research has aimed to determine whether differences exist between autistic (using identity‐first language, in accordance with the majority preference of the autistic community (Keating, Hickman, et al. 2023; Geelhand et al. 2023)) and non‐autistic individuals (Keating and Cook 2020; Harms et al. 2010; Lozier et al. 2014; Yeung 2022). This literature is famously mixed (see Keating and Cook 2020; Yeung 2022): Some studies show differences in emotion recognition between groups, while others find no differences, or emotion‐specific difficulties (e.g., in recognizing angry expressions (Lozier et al. 2014; Ashwin et al. 2006; Bal et al. 2010; Brewer et al. 2016; Keating, Fraser, et al. 2022; Leung et al. 2019; Song and Hakoda 2018)). Here, instead of focusing on assessing whether there are group differences in emotion recognition, we explore whether there are differences in the way in which autistic people read emotional expressions. That is, we ask whether autistic and non‐autistic people typically employ different mechanisms to recognize the emotions of others.\nOne way in which autistic and non‐autistic people may differ in emotion recognition concerns the extent to which they draw on their own emotional experiences when interpreting others' emotions. A person's internal emotional landscape is an important contributor to how well they can recognize the emotions of others (see Keating and Cook 2023b). For instance, individuals who have more consistent and differentiated emotional experiences typically find it easier to successfully recognize other people's emotions. Our previous work provided empirical support for this in a large (N = 193) sample of non‐autistic participants. Participants completed a two‐part “EmoMap” paradigm wherein they first viewed pairs of images each known to selectively induce either anger, happiness, or sadness (Riegel et al. 2016), and rated how similar the evoked emotions felt. They subsequently selected the image that made them feel the most angry, happy, or sad. Emotion differentiation was calculated using a multidimensional scaling algorithm to transform similarity scores into “distances” between emotions. Emotional consistency was calculated based on the logical consistency of participants' responses: If a participant selected Image A over Image B, and Image B over Image C, but then selected Image C over Image A, this would comprise an inconsistent decision and would indicate inconsistency in their emotional experience. Thus, individuals with highly consistent and differentiated emotions are consistent in their emotional responses to the images and feel very different inside when they experience anger, happiness, and sadness. Previously, we found that non‐autistic participants with more consistent and differentiated emotional experiences typically had greater emotion recognition accuracy on an independent test (Keating and Cook 2023b). At present, it is not known whether the same is true for autistic individuals.\nAnother potential contributing factor to emotion recognition concerns how well individuals understand semantic emotion concepts (i.e., the semantic meaning associated with the emotion) and are able to differentiate these from one another (e.g., differentiating the concept of sadness from disappointment). Contemporary theories of emotion and emerging evidence suggest that semantic emotion concepts shape how individuals “construct” both emotional experiences (i.e., inferences about how oneself is feeling) and emotion perceptions (i.e., inferences about how others are feeling) (Barrett 2006; Nook et al. 2015, 2017; Lindquist and Barrett 2008; Lindquist et al. 2015; Widen et al. 2015; Keating 2024). Specifically, these theories suggest that from childhood through adulthood, emotion concepts evolve from a “positive vs. negative” dichotomy into more differentiated multidimensional representations, producing concomitant shifts in the experience and perception of emotion (Nook et al. 2017). That is, possessing emotion concepts that are differentiated across more dimensions will encourage individuals to differentiate between their own affective experiences and others' emotional facial expressions across more dimensions (e.g., arousal and context in addition to valence). Hence, as we develop, we move away from conceptualizing, experiencing, and perceiving emotions as “good” and “bad” to conceptualizing, experiencing, and perceiving them more precisely (e.g., based on arousal, context, etc.).\nAlthough theories to date are highly informative, they have not yet specified whether emotion concepts influence experiences and perceptions independently and directly, or whether there are indirect effects amongst these variables (one variable influences another, which influences a third variable). It could be, for example, that having precise and distinct semantic emotion concepts helps an individual to differentiate between their own emotional states, which in turn helps them to tell apart others' emotional expressions. To determine the mechanistic pathways amongst these variables, studies employing causal manipulation are necessary. However, at present, the putative direction of causality is unknown, thus making it impossible to determine which factor should be the target for manipulation. Here, research employing mediation analyses offers a potential solution, identifying the most mathematically plausible pathways, and thus opening avenues to future studies formally testing the degree of causality and directionality between these variables.\nPreliminary work suggests that there may be differences between autistic and non‐autistic people in their ability to differentiate experiences and semantic concepts of emotion. Erbas et al. (2013), for example, have argued that autistic adolescents have less differentiated experiences and concepts of emotion than their non‐autistic counterparts. In support of this, these authors found that the autistic participants sorted emotion terms into fewer conceptual groupings, suggesting these individuals make less fine‐grained distinctions between emotion concepts. Autistic adolescents also had less differentiated emotional responses to emotion‐inducing images (Erbas et al. 2013). Importantly, however, this study did not control for alexithymia—a subclinical condition, highly prevalent in autistic people (Kinnaird et al. 2019), characterized by difficulties identifying and describing one's own emotions (Nemiah et al. 1976). This could be problematic as it is thought that autistic individuals' challenges with emotion processing (including emotion differentiation) may be underpinned by alexithymia, and not autism (Bird and Cook 2013). Further research is necessary to understand whether autistic people have less differentiated experiences and concepts of emotion after controlling for alexithymia.\nAlthough research has demonstrated a role for both emotion differentiation and emotional consistency in the recognition of emotion (Keating and Cook 2023b), studies have not yet examined emotional consistency in the context of autism. However, it could be that emotional consistency is lower in autism (in addition to emotion differentiation as described above), thus contributing to emotion recognition difficulties. Alternatively, given that different traits and processes appear to be involved in autistic and non‐autistic emotion recognition (Brewer et al. 2016; Rump et al. 2009; Keating et al. 2023; Keating, Sowden, et al. 2026), this factor may not contribute to emotion recognition for autistic individuals at all.\nIn sum, it is unclear whether there are differences between autistic and non‐autistic individuals in their ability to differentiate experiences and semantic concepts of emotion, and/or the consistency of their emotional experiences, after controlling for alexithymia. Such differences could conceivably feed into challenges with recognizing others' emotional expressions. As such, the current study had two primary aims: (1) to investigate whether autistic and non‐autistic adults differed in the consistency and/or differentiation of their experiences and semantic conceptions of emotion, and (2) to investigate the contribution of these factors to emotion recognition for both autistic and non‐autistic people. In addition, to identify putative mechanistic pathways, we conducted exploratory post hoc analyses to identify whether the ability to differentiate one's own emotions mediates the relationship between the differentiation of emotion concepts and emotion recognition. Importantly, throughout, we control for alexithymia to ensure that any differences between the groups arise due to autism, and not alexithymia, as has been found in previous work (Bird and Cook 2013; Cook et al. 2013; Milosavljevic et al. 2016; Ola and Gullon‐Scott 2020).\n\n\n### Methods\nThis study was approved by the Science, Technology, Engineering and Mathematics (STEM) ethics committee at the University of Birmingham (ERN_16‐0281AP9D) and conducted in line with the principles of the revised Helsinki Declaration. All participants provided informed consent. This study was not pre‐registered.\nA total of 58 autistic and 59 non‐autistic participants—matched on age, sex, and non‐verbal reasoning ability (NVR) (see Table 1)—took part in this study. The autistic participants were recruited via the Birmingham Psychology Autism Research Team (B‐PART) database and via emails to university mailing lists. All participants in the autism group had previously received a clinical diagnosis of Autism Spectrum Disorder from an independent clinician. The non‐autistic participants were recruited via the Research Participation Scheme database, emails to university mailing lists, and via Prolific. As expected, the autistic participants had significantly higher autism quotient (AQ) (Baron‐Cohen et al. 2001) scores than the non‐autistic participants [U = 384.5, Z = −7.24, p < 0.0001]. Participants' ethnicities and levels of education are reported in Supporting Information A and B, respectively.\nMeans, standard deviations, and group differences of participant characteristics.\nNote: In the central columns, means are followed by standard deviation in parentheses. Age is in years. NVR = non‐verbal reasoning.\nThe chosen sample size was based on a priori power analyses conducted using G*Power (Faul et al. 2007). First, we aimed to compute the sample size needed to detect group differences in emotional consistency and emotion differentiation. We conducted two sample size calculations for an ANCOVA: one focusing on the group effect and the other focusing on the emotion × group interaction. In both calculations, we assumed a moderate effect size (Cohen's f = 0.30) based on the group difference in emotion differentiation (f = 0.33) reported by Erbas et al. (2013). As there was no prior research on emotional consistency in autism, this served as the closest available reference point (particularly as emotional consistency and emotion differentiation are related (Keating and Cook 2023b)). Across both calculations, alpha was 0.05, power was 0.8, and the number of covariates was nine (age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count). In our first calculation, which focused on the group effect, the number of groups was two (autistic, non‐autistic), and the numerator degrees of freedom was one (2 − 1). In our second calculation, which focused on the emotion × group interaction, the number of groups was six (three emotion × two groups) and the numerator degrees of freedom was two ((3 − 1) × (2 − 1) = 2). Through these calculations, we identified that the total number of participants required to detect the group and emotion × group effects at p < 0.05 was 90 (45 in each group) and 111 (55 and 56 per group), respectively.\nNext, we aimed to compute the sample size needed to detect group differences in the understanding and differentiation of semantic emotion concepts. Given that there would be no emotion × group interaction in these statistical models, only one sample size calculation was needed for the group effect. As above, we assumed a moderate effect size (Cohen's f = 0.30). Alpha was 0.05, power was 0.8, the numerator degrees of freedom was one (2 − 1), the number of groups was two (autistic, non‐autistic), and the number of covariates was six (age, sex, non‐verbal reasoning, years of education, alexithymia, mean definition word count). Through this calculation, we identified that the total number of participants to detect the group effect at p < 0.05 was 90 (45 in each group).\nFinally, we aimed to compute the sample size needed to detect the contribution of emotion differentiation to emotion recognition, reported previously (Keating and Cook 2023b). In this sample size calculation, we assumed a moderate effect size (Cohen's f\n2 = 0.15), based on previous literature (Cohen's f\n2 = 0.159 in Keating and Cook 2023b). Alpha was 0.05, power was 0.8, the number of tested predictors was one, and the total number of predictors was 10 (since we were confident our data‐driven models predicting emotion recognition accuracy would have no more than 10 predictors). In this analysis, we identified that 55 participants were required in each group to detect the contribution of a variable to emotion recognition at p < 0.05. With this sample size, we should be able to detect a moderate contribution of any variable (e.g., emotional consistency, understanding of semantic emotion concepts) to emotion recognition.\nIn line with participatory research guidelines (Fletcher‐Watson et al. 2019; Keating 2021), we sought input from five members of the autism community—including autistic individuals and family members of autistic people—via the Birmingham Psychology Autism Research Team Consultancy Committee prior to conducting the study. To gain their feedback, we presented the study proposal to community members in an online meeting, summarizing the background literature, rationale, and suggested methods. We then discussed the draft task instructions and completed a few trials of each task together. To help promote openness and reduce power imbalances between researchers and community members, we (1) emphasized the importance of lived experience in enhancing the quality and relevance of research, (2) made it clear that their contributions were genuinely valued, (3) clearly communicated our openness to all feedback (stating that there were no “silly” questions or feedback), and (4) created an inclusive online environment that enabled participants to contribute either verbally or through the chat function.\nThe community members provided valuable feedback on various aspects of the research, including task design, instructions, and potential dissemination routes. Based on their insights, we made several changes before beginning data collection. For instance, they recommended including more frequent breaks to reduce fatigue during some tasks. In response, we divided the first part of the EmoMap paradigm into three blocks and the Emotional Vocabulary Test into four blocks, each separated by breaks. The consultants also suggested modifying the wording of instructions to maximize clarity and accessibility. As a result, we changed the instructions in the Emotional Vocabulary Test from “please define this emotion word” to “what does this emotion word mean?” Moreover, to encourage thoughtful and high‐quality responses, the community members proposed informing participants that their definitions might be reused in future research (with their consent). We incorporated this suggestion into the task instructions. These community members also offered further input—such as suggestions for recruitment channels—which helped shape various elements of our approach.\n\n\n### Participants\nA total of 58 autistic and 59 non‐autistic participants—matched on age, sex, and non‐verbal reasoning ability (NVR) (see Table 1)—took part in this study. The autistic participants were recruited via the Birmingham Psychology Autism Research Team (B‐PART) database and via emails to university mailing lists. All participants in the autism group had previously received a clinical diagnosis of Autism Spectrum Disorder from an independent clinician. The non‐autistic participants were recruited via the Research Participation Scheme database, emails to university mailing lists, and via Prolific. As expected, the autistic participants had significantly higher autism quotient (AQ) (Baron‐Cohen et al. 2001) scores than the non‐autistic participants [U = 384.5, Z = −7.24, p < 0.0001]. Participants' ethnicities and levels of education are reported in Supporting Information A and B, respectively.\nMeans, standard deviations, and group differences of participant characteristics.\nNote: In the central columns, means are followed by standard deviation in parentheses. Age is in years. NVR = non‐verbal reasoning.\nThe chosen sample size was based on a priori power analyses conducted using G*Power (Faul et al. 2007). First, we aimed to compute the sample size needed to detect group differences in emotional consistency and emotion differentiation. We conducted two sample size calculations for an ANCOVA: one focusing on the group effect and the other focusing on the emotion × group interaction. In both calculations, we assumed a moderate effect size (Cohen's f = 0.30) based on the group difference in emotion differentiation (f = 0.33) reported by Erbas et al. (2013). As there was no prior research on emotional consistency in autism, this served as the closest available reference point (particularly as emotional consistency and emotion differentiation are related (Keating and Cook 2023b)). Across both calculations, alpha was 0.05, power was 0.8, and the number of covariates was nine (age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count). In our first calculation, which focused on the group effect, the number of groups was two (autistic, non‐autistic), and the numerator degrees of freedom was one (2 − 1). In our second calculation, which focused on the emotion × group interaction, the number of groups was six (three emotion × two groups) and the numerator degrees of freedom was two ((3 − 1) × (2 − 1) = 2). Through these calculations, we identified that the total number of participants required to detect the group and emotion × group effects at p < 0.05 was 90 (45 in each group) and 111 (55 and 56 per group), respectively.\nNext, we aimed to compute the sample size needed to detect group differences in the understanding and differentiation of semantic emotion concepts. Given that there would be no emotion × group interaction in these statistical models, only one sample size calculation was needed for the group effect. As above, we assumed a moderate effect size (Cohen's f = 0.30). Alpha was 0.05, power was 0.8, the numerator degrees of freedom was one (2 − 1), the number of groups was two (autistic, non‐autistic), and the number of covariates was six (age, sex, non‐verbal reasoning, years of education, alexithymia, mean definition word count). Through this calculation, we identified that the total number of participants to detect the group effect at p < 0.05 was 90 (45 in each group).\nFinally, we aimed to compute the sample size needed to detect the contribution of emotion differentiation to emotion recognition, reported previously (Keating and Cook 2023b). In this sample size calculation, we assumed a moderate effect size (Cohen's f\n2 = 0.15), based on previous literature (Cohen's f\n2 = 0.159 in Keating and Cook 2023b). Alpha was 0.05, power was 0.8, the number of tested predictors was one, and the total number of predictors was 10 (since we were confident our data‐driven models predicting emotion recognition accuracy would have no more than 10 predictors). In this analysis, we identified that 55 participants were required in each group to detect the contribution of a variable to emotion recognition at p < 0.05. With this sample size, we should be able to detect a moderate contribution of any variable (e.g., emotional consistency, understanding of semantic emotion concepts) to emotion recognition.\n\n\n### Community Involvement\nIn line with participatory research guidelines (Fletcher‐Watson et al. 2019; Keating 2021), we sought input from five members of the autism community—including autistic individuals and family members of autistic people—via the Birmingham Psychology Autism Research Team Consultancy Committee prior to conducting the study. To gain their feedback, we presented the study proposal to community members in an online meeting, summarizing the background literature, rationale, and suggested methods. We then discussed the draft task instructions and completed a few trials of each task together. To help promote openness and reduce power imbalances between researchers and community members, we (1) emphasized the importance of lived experience in enhancing the quality and relevance of research, (2) made it clear that their contributions were genuinely valued, (3) clearly communicated our openness to all feedback (stating that there were no “silly” questions or feedback), and (4) created an inclusive online environment that enabled participants to contribute either verbally or through the chat function.\nThe community members provided valuable feedback on various aspects of the research, including task design, instructions, and potential dissemination routes. Based on their insights, we made several changes before beginning data collection. For instance, they recommended including more frequent breaks to reduce fatigue during some tasks. In response, we divided the first part of the EmoMap paradigm into three blocks and the Emotional Vocabulary Test into four blocks, each separated by breaks. The consultants also suggested modifying the wording of instructions to maximize clarity and accessibility. As a result, we changed the instructions in the Emotional Vocabulary Test from “please define this emotion word” to “what does this emotion word mean?” Moreover, to encourage thoughtful and high‐quality responses, the community members proposed informing participants that their definitions might be reused in future research (with their consent). We incorporated this suggestion into the task instructions. These community members also offered further input—such as suggestions for recruitment channels—which helped shape various elements of our approach.\n\n\n### Procedures\nParticipants provided informed consent and then completed demographics questions, the AQ (Baron‐Cohen et al. 2001), and the Toronto Alexithymia Scale (Bagby et al. 1994) on Qualtrics. Following this, participants completed EmoMap (Keating and Cook 2023b), the point light face (PLF) emotion recognition task (Brewer et al. 2016; Sowden et al. 2021), the emotional vocabulary test (inspired by Nook et al. 2017) and the Matrix Reasoning Item Bank (MaRs‐IB) (Chierchia et al. 2019) on Gorilla.sc. All parts of the study were completed online.\nThe level of participants' autistic traits was assessed via the 50‐item AQ (Baron‐Cohen et al. 2001). This self‐report questionnaire is scored from 0 to 50, with higher scores representing higher levels of autistic characteristics. The AQ assesses five different domains: attention switching, attention to detail, communication, social skills, and imagination. The AQ is a popular tool for assessing autistic traits in both the general population and in autistic individuals (Ruzich et al. 2015; Whitehouse et al. 2011; Hickman et al. 2022; Abu‐Akel et al. 2019), and has high internal consistency (α ≥ 0.7) and test–retest reliability (r ≥ 0.8) (Stevenson and Hart 2017).\nThe level of participants' alexithymic traits was measured using the 20‐item Toronto Alexithymia Scale (TAS‐20) (Bagby et al. 1994). This self‐report questionnaire comprises 20 items rated on a five‐point Likert scale, ranging from 1, strongly disagree, to 5, strongly agree. Scores on this questionnaire range from 20 to 100, with higher scores indicating higher levels of alexithymic traits. The TAS‐20 is the most popular tool for assessing alexithymia and has good internal consistency (α ≥ 0.7) and test–retest reliability (r ≥ 0.7) (Bagby et al. 1994; Taylor et al. 2003).\nThe differentiation and consistency of participants' emotional experiences was assessed using our two‐part EmoMap paradigm. In the first part, on each trial, participants viewed pairs of images from the Nencki Affective Picture System (Marchewka et al. 2014), and were required to rate how similar the emotions evoked by each of the images were. Participants made their ratings on a visual analogue scale (with a step size of 0.0001) ranging from 0, “not at all similar” to 10, “very similar.” An advantage of the EmoMap paradigm is that it allows us to measure emotion differentiation without requiring participants to translate their emotional experiences into words, unlike existing tasks (Keating and Cook 2023c, 2023a). This is particularly beneficial here as autistic individuals sometimes have different language and communication profiles to non‐autistic individuals (see Frith and Happé 1994 and Vogindroukas et al. Vogindroukas et al. 2022). Removing the requirement to translate their emotional experiences into words means that our task focuses on participants' ability to differentiate their own emotional states (i.e., their internal emotional reactions) rather than their ability to produce emotion labels.\nThe chosen images were known to be effective at selectively evoking anger, happiness, or sadness in large samples of participants (N = 124) (Riegel et al. 2016). In this task, we included five images for each emotion (anger, happiness, and sadness) resulting in 15 different images and 105 unique image combinations (and thus 105 trials): 30 within emotion‐category combinations (10 for anger, 10 for happiness, and 10 for sadness) and 75 between emotion‐category combinations (25 angry–sad, 25 angry–happy, 25 happy–sad). To prevent participants from responding too quickly (i.e., without thinking), a reaction time check was incorporated: If participants responded faster than 1000 ms, they were presented with an error message (“Too Fast. Our algorithm has detected that you might need to take longer to think through your answer. You will now incur a 5‐s penalty and then will be asked to do the trial again”), were given a 5‐s penalty, and then the trial re‐started.\nTo compute the distances between and within emotion clusters, the similarity ratings were transformed into distance scores using multidimensional scaling (with the Scikit‐learn library in Python). This technique allows users to represent objects (here, emotional images) as points in multidimensional space, wherein close similarity between objects corresponds to close distances between the points in the representation (van der Klis and Tellings 2022). To calculate the mean distances within specific emotion clusters, we averaged across the Euclidean distances for the 10 angry–angry, 10 happy–happy, and 10 sad–sad image pairs, respectively. To calculate the mean distance between specific emotion clusters we averaged across the Euclidean distances for the 25 angry–happy, 25 angry–sad, and 25 happy–sad image pairs, respectively. Finally, we computed mean distances within clusters and between clusters by averaging across emotions/emotion pairs. Larger distances between clusters represent a greater ability to differentiate distinct emotional states (e.g., differentiate anger and sadness). Larger distances within clusters represent a greater ability to differentiate similar emotional states (e.g., differentiate irritation from anger).\nIn the second part of our EmoMap paradigm, on each trial, participants were presented with three images from the Nencki Affective Picture System (Marchewka et al. 2014), and then had to make a decision. This task involved four conditions: one non‐emotional control condition and three emotional experimental conditions assessing the experience of anger, happiness, and sadness respectively. Participants completed the non‐emotional control condition first and then the experimental conditions in a random order. In the control condition, participants had to select which of the three (neutral valence) images they found most colorful using their mouse cursor. On each trial, two of these images were in color and one was in grayscale, thus acting as an attention check. If participants selected the grayscale image, they were presented with the same error message mentioned previously, they incurred a 5‐s penalty, and then had to do the trial again. In the experimental conditions, participants had to select which of the three images made them feel most angry, happy, or sad (e.g., in the angry condition, participants had to decide which of the two images made them most angry) using their mouse cursor. As in the control condition, there was a “trap” image on each trial: Two of the images were strong inducers of the target emotion (e.g., anger), and one was a strong inducer of another emotion (e.g., happiness), thus acting as an attention check. If participants selected the image that strongly induced the non‐target emotion, they were presented with the error message, they incurred a 5‐s penalty, and then had to do the trial again. In each condition, there were 11 target (i.e., non‐trap) images which were presented in all possible unique combinations across 55 trials. The selected images had previously been identified as successful inducers of the target emotion (Riegel et al. 2016).\nConsistency scores were calculated for each condition based on the logical consistency of a participant's decisions. To illustrate this, if a participant selects Image A over Image B (A > B) and Image B over Image C (B > C), these decisions are all consistent with one another. However, if the participant then selects Image C over Image A, this would be inconsistent with their previous judgments. Accordingly, consistency requires participants to distinguish between the intensity of emotion evoked by each image across multiple instances, and thus inconsistent decisions are likely to stem from inconsistencies in how individuals experience an emotion.\nWe followed the procedures outlined previously to calculate emotional consistency (Keating and Cook 2023b; Huggins et al. 2021). We first quantified each participant's image rankings by computing the number of times they chose each image within a condition. If a participant made completely consistent decisions within a condition, rank scores would follow a perfect linear sequence: The image they found most emotionally intense (or colorful) should be chosen in all 10 trials it appeared (score = 10), the second‐highest should be chosen in nine of 10 trials (score = 9), and so on. The image they found least emotionally intense (or colorful) should never be chosen (score = 0). Following this, we examined how image rankings related to the decisions made on each trial. Since images with a higher rank score should elicit a stronger emotional response than those with lower rank scores, we consider an inconsistent decision to be when a lower‐ranking image is chosen over a higher‐ranking image. For each trial, the rank score of the unchosen item was subtracted from the rank score for the chosen item, producing item differences. For consistent decisions, the item difference would be greater than zero; for inconsistent decisions, the item difference would be less than or equal to zero. More severe inconsistencies (e.g., choosing the lowest ranked image over the highest ranked image) result in more negative item differences. Finally, we summed these item differences, per condition, to produce total consistency scores, with greater scores reflecting higher consistency. If a participant made completely consistent decisions within a condition, their score would be 220.\nThe EmoMap paradigm had strong internal consistency here, with excellent split‐half reliability both for distance scores [distance between cluster: Spearman–Brown coefficient = 0.94; distance within cluster: Spearman–Brown coefficient = 0.90] and emotional consistency scores [Spearman–Brown coefficient = 0.985–0.994 across conditions]. This paradigm also demonstrates very good test–retest reliability, construct validity, and discriminant validity in other work (see Supporting Information C).\nWe assessed participants' emotion recognition performance using the PLF emotion recognition task (Keating, Fraser, et al. 2022; Sowden et al. 2021). In this task, participants viewed dynamic point‐light displays of the face (PLFs), created from videos of four actors saying sentences while posing three target emotions (angry, happy, and sad). These PLFs have been adapted (see Sowden et al. 2021 for further detail) such that they represent three spatial movement levels, ranging from reduced to increased spatial movement (50%, 100%, and 150% spatial movement), and three kinematic levels, ranging from reduced to increased speed (50%, 100%, and 150% original stimulus speed). In this task, each trial began with the presentation of a (silent) PLF video displaying one of the three emotions, at one of the three spatial and three kinematic levels (e.g., Happy at 100% spatial movement and 150% speed). After viewing the PLF stimulus, participants were required to rate how angry, happy, and sad the person was feeling on three visual analogue scales (presented in a random order) ranging from 0, “not at angry/happy/sad” to 10, “very angry/happy/sad.” Participants completed three practice trials and then 108 randomly ordered experimental trials (12 per condition) across three blocks. Participants were encouraged to take breaks between blocks.\nEmotion recognition accuracy scores were calculated by subtracting the mean of the two incorrect emotion ratings from the correct emotion rating. For instance, for a trial in which a sad PLF was displayed, the mean rating of the two incorrect emotions (angry and happy) was subtracted from the rating for the correct emotion (sad). Mean emotion recognition accuracy was calculated by taking the mean of accuracy scores across all emotions, spatial, and kinematic levels.\nThe PLF Emotion Recognition task demonstrated excellent reliability, with high internal consistency [Cronbach's α = 0.86] and strong split‐half reliability [Spearman–Brown coefficient = 0.92]. This task also demonstrates good test–retest reliability, concurrent validity, construct validity, and discriminant validity in other work (see Supporting Information C).\nWe assessed participants' semantic conceptions of 20 different emotions (affection, amusement, anger, anxiety, awe, contentment, depression, desire, disgust, embarrassment, excitement, fear, guilt, happiness, interest, irritation, loneliness, peaceful, sadness, surprise) using an adapted version of the emotional vocabulary test (from Nook et al. 2017 and Baron‐Cohen et al. 2010). The list of emotions was selected to include (a) the six basic emotions (Ekman and Friesen 1971), (b) emotions that occupy all four quadrants of the circumplex dimensions of arousal and valence (Russell 1980), and (c) emotions that are most frequently evoked by standardized databases of images (e.g., the Nenki Affective Picture System, the International Affective Picture System) (Mikels et al. 2005). In this task, on each trial, participants were required to type a definition of an emotion word that was presented on screen. To ensure data validity, we (i) explicitly instructed participants to come up with definitions themselves (rather than searching for them online), (ii) forced the task into full‐screen so that we could tell if participants minimized the page to look‐up definitions, and (iii) excluded any definitions that matched those provided by the Oxford, Cambridge, and Meriam Webster dictionaries.\nIn the current study, we consider how well participants understand the meaning (i.e., the semantic content) of emotion concepts, and how these meanings overlap between emotions. To this end, we calculated two types of scores using the definitions provided by participants—emotional vocabulary test scores, which pertain to the accuracy of participants' definitions, and conceptual distance scores, which reflect the conceptual overlap in participants' own definitions. To calculate emotional vocabulary scores, first, a trained experimenter assigned each definition a score of zero, one, or two (as in a WASI vocabulary test and in Nook et al. 2017). A score of two was awarded if the participants provided (i) a plausible and specific definition of the emotion, (ii) a direct synonym of the emotion, or (iii) a scenario that would conceivably evoke the given emotion and no other emotions. We assembled a list of definitions and synonyms (taken from the Oxford and Cambridge Dictionaries and from Nook et al. 2017) which the experimenter referred to when scoring the responses. A score of one was awarded if the participant provided a definition that was of the correct valence or situation, but too vague to meet criteria for a two‐point response. For example, if a participant defined loneliness as “the feeling of being alone” or “a sad feeling”, they would score one point for this definition. To score two points, participants would need to include both parts of this definition: for example, “the sad feeling you get when you are alone”. A score of 0 was awarded if the participants gave definitions, synonyms, or situations relevant to a different emotion. We calculated total emotional vocabulary scores by summing the scores for each item. As such, emotional vocabulary test scores ranged from 0 to 40, with higher scores representing more accurate understanding of emotion terms.\nTo calculate conceptual distance scores, we employed Natural Language Processing—a machine learning technique facilitating the analysis and synthesis of large quantities of language data (Khurana et al. 2023). Specifically, we used a pre‐existing model (sentence‐transformers/all‐mpnet‐base‐v2) designed to analyze the meaning of sentences, and then compute the conceptual similarity of sentence pairs (i.e., the similarity in meaning of sentence pairs). During its development, this model was trained on one billion sentence pairs, derived from numerous online sources, thus enhancing the reliability of the conceptual similarity estimates. In the current study, we used this model to compute conceptual similarity scores for each pair of definitions (e.g., affection–amusement, affection–anger, affection–anxiety… sadness–surprise), which we then inverted (by multiplying by −1) to get conceptual distance scores. These conceptual distance scores range from 0 to −1 (to 15 decimal places), with higher scores representing greater differentiation of semantic emotion concepts. To assess the differentiation of participants' conceptions of same‐valence emotions (within valence conceptual distance), we took a mean of the conceptual distance scores for the 45 positive–positive definition pairs (e.g., affection–amusement, affection–happiness, etc.), and 45 negative–negative definition pairs (e.g., anger–anxiety, anger–sadness, etc.), and then averaged across these values. To assess the differentiation of participants' conceptions of opposite‐valence emotions (between valence conceptual distance), we took a mean of the conceptual distance scores for the 100 positive–negative definition pairs.\nIn the current study, the Emotional Vocabulary Test had strong internal consistency and split‐half reliability for total test scores [Cronbach's α = 0.858; Spearman–Brown coefficient = 0.878] and conceptual distance scores [Cronbach's α = 0.986; Spearman–Brown coefficient = 0.943]. This task also demonstrates good construct validity and discriminant validity in other work (see Supporting Information C).\nLogically, if our task and analysis pipeline are operating as intended, between valence conceptual distance scores should be higher (i.e., more positive) than within valence conceptual distance scores. In order to verify this, we conducted a paired samples t‐test on these data, identifying extreme evidence [BF10 > 100] that between valence conceptual distance scores [mean (SEM) = −0.28 (0.006)] were higher than within valence conceptual distance scores [mean (SEM) = −0.40 (0.008); t(99) = 32.55, p < 0.0001, BF10 = 1.34e51]. Encouragingly, we also identified that the five lowest mean conceptual distance scores were for the anxiety and fear [mean (SEM) = −0.59 (0.015)], depression and sadness [mean (SEM) = −0.58 (0.017)], Contentment and Peaceful [mean (SEM) = −0.56 (0.020)], contentment and happiness [mean (SEM) = −0.55 (0.019)], and Anger and Irritation [mean (SEM) = −0.54 (0.018)] definition pairs, as one would expect (as these concepts are close to one another in meaning).\nIn addition, we calculated the mean number of words included across all definitions for each participant. This variable was included as a covariate to control for overall definition length, ensuring that emotional vocabulary score, between‐valence conceptual distance, and within valence conceptual distance related to differences in definition content rather than differences in how much participants wrote. That is, including mean definition word count as a covariate allowed us to test whether these conceptual definition measures predicted outcomes above and beyond the amount of text participants provided.\nParticipants' non‐verbal reasoning ability was assessed via the Matrix Reasoning Item bank (see MaRs‐IB) (Chierchia et al. 2019). Each item in the MaRs‐IB consists of a three‐by‐three matrix; eight of the nine available cells are filled with abstract shapes, and one cell is left empty. Participants are required to complete the matrix by selecting the missing shape from four options. To provide the correct answer, participants must deduce relationships between the shapes in the matrix (which vary in shape, color, size and position). After selecting an answer, the participants proceed to the next trial. If they do not provide a response within 30 s, they proceed to the next trial without a response. This assessment lasts eight min regardless of how many trials are completed. The MaRs‐IB has acceptable internal consistency (Kuder–Richardson 20 ≥ 0.7) and test–retest reliability (r ≥ 0.7) (Chierchia et al. 2019). Non‐verbal reasoning scores are calculated as the percentage of correct answers across all trials.\nAll frequentist analyses were conducted using R Studio (version 2021.09.2) and all Bayesian analyses were conducted using JASP (version 0.16). For all frequentist analyses, we used a significance threshold of p = 0.05 (two‐sided) to determine whether to accept or reject the null hypothesis. Parametric assumptions were met for all analyses employing simple linear models and linear mixed effects models. Non‐parametric linear regressions were conducted when assumptions were violated. We conducted all linear mixed effects models in R Studio using the lmer function (from the lme4 package). In addition, we employed the Anova function (from the car package) to conduct a Type III ANOVA on the results of our linear mixed model with a Kenward and Roger (1997) approximation for degrees of freedom, as supported by Luke (2017). In R Studio, we also conducted (i) a random forest analysis (Breiman 2001) employing the Boruta wrapper algorithm (Boruta function from Boruta package (Kursa and Rudnicki 2010)), and (ii) mediation analyses using the sem() function (from the lavaan package). We conducted Bayesian analyses in JASP in order to determine the relative strength of evidence for the experimental versus null hypotheses. For all Bayesian analyses, we followed the classification scheme proposed by Lee and Wagenmakers (2014), in which BF10 and BF01 values between one and three reflect weak evidence, between 3 and 10 reflect moderate evidence, greater than 10 reflect strong evidence, and greater than 100 reflect extreme evidence for the experimental (BF10) and null (BF01) hypotheses, respectively.\n\n\n### Materials and Stimuli\nThe level of participants' autistic traits was assessed via the 50‐item AQ (Baron‐Cohen et al. 2001). This self‐report questionnaire is scored from 0 to 50, with higher scores representing higher levels of autistic characteristics. The AQ assesses five different domains: attention switching, attention to detail, communication, social skills, and imagination. The AQ is a popular tool for assessing autistic traits in both the general population and in autistic individuals (Ruzich et al. 2015; Whitehouse et al. 2011; Hickman et al. 2022; Abu‐Akel et al. 2019), and has high internal consistency (α ≥ 0.7) and test–retest reliability (r ≥ 0.8) (Stevenson and Hart 2017).\nThe level of participants' alexithymic traits was measured using the 20‐item Toronto Alexithymia Scale (TAS‐20) (Bagby et al. 1994). This self‐report questionnaire comprises 20 items rated on a five‐point Likert scale, ranging from 1, strongly disagree, to 5, strongly agree. Scores on this questionnaire range from 20 to 100, with higher scores indicating higher levels of alexithymic traits. The TAS‐20 is the most popular tool for assessing alexithymia and has good internal consistency (α ≥ 0.7) and test–retest reliability (r ≥ 0.7) (Bagby et al. 1994; Taylor et al. 2003).\nThe differentiation and consistency of participants' emotional experiences was assessed using our two‐part EmoMap paradigm. In the first part, on each trial, participants viewed pairs of images from the Nencki Affective Picture System (Marchewka et al. 2014), and were required to rate how similar the emotions evoked by each of the images were. Participants made their ratings on a visual analogue scale (with a step size of 0.0001) ranging from 0, “not at all similar” to 10, “very similar.” An advantage of the EmoMap paradigm is that it allows us to measure emotion differentiation without requiring participants to translate their emotional experiences into words, unlike existing tasks (Keating and Cook 2023c, 2023a). This is particularly beneficial here as autistic individuals sometimes have different language and communication profiles to non‐autistic individuals (see Frith and Happé 1994 and Vogindroukas et al. Vogindroukas et al. 2022). Removing the requirement to translate their emotional experiences into words means that our task focuses on participants' ability to differentiate their own emotional states (i.e., their internal emotional reactions) rather than their ability to produce emotion labels.\nThe chosen images were known to be effective at selectively evoking anger, happiness, or sadness in large samples of participants (N = 124) (Riegel et al. 2016). In this task, we included five images for each emotion (anger, happiness, and sadness) resulting in 15 different images and 105 unique image combinations (and thus 105 trials): 30 within emotion‐category combinations (10 for anger, 10 for happiness, and 10 for sadness) and 75 between emotion‐category combinations (25 angry–sad, 25 angry–happy, 25 happy–sad). To prevent participants from responding too quickly (i.e., without thinking), a reaction time check was incorporated: If participants responded faster than 1000 ms, they were presented with an error message (“Too Fast. Our algorithm has detected that you might need to take longer to think through your answer. You will now incur a 5‐s penalty and then will be asked to do the trial again”), were given a 5‐s penalty, and then the trial re‐started.\nTo compute the distances between and within emotion clusters, the similarity ratings were transformed into distance scores using multidimensional scaling (with the Scikit‐learn library in Python). This technique allows users to represent objects (here, emotional images) as points in multidimensional space, wherein close similarity between objects corresponds to close distances between the points in the representation (van der Klis and Tellings 2022). To calculate the mean distances within specific emotion clusters, we averaged across the Euclidean distances for the 10 angry–angry, 10 happy–happy, and 10 sad–sad image pairs, respectively. To calculate the mean distance between specific emotion clusters we averaged across the Euclidean distances for the 25 angry–happy, 25 angry–sad, and 25 happy–sad image pairs, respectively. Finally, we computed mean distances within clusters and between clusters by averaging across emotions/emotion pairs. Larger distances between clusters represent a greater ability to differentiate distinct emotional states (e.g., differentiate anger and sadness). Larger distances within clusters represent a greater ability to differentiate similar emotional states (e.g., differentiate irritation from anger).\nIn the second part of our EmoMap paradigm, on each trial, participants were presented with three images from the Nencki Affective Picture System (Marchewka et al. 2014), and then had to make a decision. This task involved four conditions: one non‐emotional control condition and three emotional experimental conditions assessing the experience of anger, happiness, and sadness respectively. Participants completed the non‐emotional control condition first and then the experimental conditions in a random order. In the control condition, participants had to select which of the three (neutral valence) images they found most colorful using their mouse cursor. On each trial, two of these images were in color and one was in grayscale, thus acting as an attention check. If participants selected the grayscale image, they were presented with the same error message mentioned previously, they incurred a 5‐s penalty, and then had to do the trial again. In the experimental conditions, participants had to select which of the three images made them feel most angry, happy, or sad (e.g., in the angry condition, participants had to decide which of the two images made them most angry) using their mouse cursor. As in the control condition, there was a “trap” image on each trial: Two of the images were strong inducers of the target emotion (e.g., anger), and one was a strong inducer of another emotion (e.g., happiness), thus acting as an attention check. If participants selected the image that strongly induced the non‐target emotion, they were presented with the error message, they incurred a 5‐s penalty, and then had to do the trial again. In each condition, there were 11 target (i.e., non‐trap) images which were presented in all possible unique combinations across 55 trials. The selected images had previously been identified as successful inducers of the target emotion (Riegel et al. 2016).\nConsistency scores were calculated for each condition based on the logical consistency of a participant's decisions. To illustrate this, if a participant selects Image A over Image B (A > B) and Image B over Image C (B > C), these decisions are all consistent with one another. However, if the participant then selects Image C over Image A, this would be inconsistent with their previous judgments. Accordingly, consistency requires participants to distinguish between the intensity of emotion evoked by each image across multiple instances, and thus inconsistent decisions are likely to stem from inconsistencies in how individuals experience an emotion.\nWe followed the procedures outlined previously to calculate emotional consistency (Keating and Cook 2023b; Huggins et al. 2021). We first quantified each participant's image rankings by computing the number of times they chose each image within a condition. If a participant made completely consistent decisions within a condition, rank scores would follow a perfect linear sequence: The image they found most emotionally intense (or colorful) should be chosen in all 10 trials it appeared (score = 10), the second‐highest should be chosen in nine of 10 trials (score = 9), and so on. The image they found least emotionally intense (or colorful) should never be chosen (score = 0). Following this, we examined how image rankings related to the decisions made on each trial. Since images with a higher rank score should elicit a stronger emotional response than those with lower rank scores, we consider an inconsistent decision to be when a lower‐ranking image is chosen over a higher‐ranking image. For each trial, the rank score of the unchosen item was subtracted from the rank score for the chosen item, producing item differences. For consistent decisions, the item difference would be greater than zero; for inconsistent decisions, the item difference would be less than or equal to zero. More severe inconsistencies (e.g., choosing the lowest ranked image over the highest ranked image) result in more negative item differences. Finally, we summed these item differences, per condition, to produce total consistency scores, with greater scores reflecting higher consistency. If a participant made completely consistent decisions within a condition, their score would be 220.\nThe EmoMap paradigm had strong internal consistency here, with excellent split‐half reliability both for distance scores [distance between cluster: Spearman–Brown coefficient = 0.94; distance within cluster: Spearman–Brown coefficient = 0.90] and emotional consistency scores [Spearman–Brown coefficient = 0.985–0.994 across conditions]. This paradigm also demonstrates very good test–retest reliability, construct validity, and discriminant validity in other work (see Supporting Information C).\nWe assessed participants' emotion recognition performance using the PLF emotion recognition task (Keating, Fraser, et al. 2022; Sowden et al. 2021). In this task, participants viewed dynamic point‐light displays of the face (PLFs), created from videos of four actors saying sentences while posing three target emotions (angry, happy, and sad). These PLFs have been adapted (see Sowden et al. 2021 for further detail) such that they represent three spatial movement levels, ranging from reduced to increased spatial movement (50%, 100%, and 150% spatial movement), and three kinematic levels, ranging from reduced to increased speed (50%, 100%, and 150% original stimulus speed). In this task, each trial began with the presentation of a (silent) PLF video displaying one of the three emotions, at one of the three spatial and three kinematic levels (e.g., Happy at 100% spatial movement and 150% speed). After viewing the PLF stimulus, participants were required to rate how angry, happy, and sad the person was feeling on three visual analogue scales (presented in a random order) ranging from 0, “not at angry/happy/sad” to 10, “very angry/happy/sad.” Participants completed three practice trials and then 108 randomly ordered experimental trials (12 per condition) across three blocks. Participants were encouraged to take breaks between blocks.\nEmotion recognition accuracy scores were calculated by subtracting the mean of the two incorrect emotion ratings from the correct emotion rating. For instance, for a trial in which a sad PLF was displayed, the mean rating of the two incorrect emotions (angry and happy) was subtracted from the rating for the correct emotion (sad). Mean emotion recognition accuracy was calculated by taking the mean of accuracy scores across all emotions, spatial, and kinematic levels.\nThe PLF Emotion Recognition task demonstrated excellent reliability, with high internal consistency [Cronbach's α = 0.86] and strong split‐half reliability [Spearman–Brown coefficient = 0.92]. This task also demonstrates good test–retest reliability, concurrent validity, construct validity, and discriminant validity in other work (see Supporting Information C).\nWe assessed participants' semantic conceptions of 20 different emotions (affection, amusement, anger, anxiety, awe, contentment, depression, desire, disgust, embarrassment, excitement, fear, guilt, happiness, interest, irritation, loneliness, peaceful, sadness, surprise) using an adapted version of the emotional vocabulary test (from Nook et al. 2017 and Baron‐Cohen et al. 2010). The list of emotions was selected to include (a) the six basic emotions (Ekman and Friesen 1971), (b) emotions that occupy all four quadrants of the circumplex dimensions of arousal and valence (Russell 1980), and (c) emotions that are most frequently evoked by standardized databases of images (e.g., the Nenki Affective Picture System, the International Affective Picture System) (Mikels et al. 2005). In this task, on each trial, participants were required to type a definition of an emotion word that was presented on screen. To ensure data validity, we (i) explicitly instructed participants to come up with definitions themselves (rather than searching for them online), (ii) forced the task into full‐screen so that we could tell if participants minimized the page to look‐up definitions, and (iii) excluded any definitions that matched those provided by the Oxford, Cambridge, and Meriam Webster dictionaries.\nIn the current study, we consider how well participants understand the meaning (i.e., the semantic content) of emotion concepts, and how these meanings overlap between emotions. To this end, we calculated two types of scores using the definitions provided by participants—emotional vocabulary test scores, which pertain to the accuracy of participants' definitions, and conceptual distance scores, which reflect the conceptual overlap in participants' own definitions. To calculate emotional vocabulary scores, first, a trained experimenter assigned each definition a score of zero, one, or two (as in a WASI vocabulary test and in Nook et al. 2017). A score of two was awarded if the participants provided (i) a plausible and specific definition of the emotion, (ii) a direct synonym of the emotion, or (iii) a scenario that would conceivably evoke the given emotion and no other emotions. We assembled a list of definitions and synonyms (taken from the Oxford and Cambridge Dictionaries and from Nook et al. 2017) which the experimenter referred to when scoring the responses. A score of one was awarded if the participant provided a definition that was of the correct valence or situation, but too vague to meet criteria for a two‐point response. For example, if a participant defined loneliness as “the feeling of being alone” or “a sad feeling”, they would score one point for this definition. To score two points, participants would need to include both parts of this definition: for example, “the sad feeling you get when you are alone”. A score of 0 was awarded if the participants gave definitions, synonyms, or situations relevant to a different emotion. We calculated total emotional vocabulary scores by summing the scores for each item. As such, emotional vocabulary test scores ranged from 0 to 40, with higher scores representing more accurate understanding of emotion terms.\nTo calculate conceptual distance scores, we employed Natural Language Processing—a machine learning technique facilitating the analysis and synthesis of large quantities of language data (Khurana et al. 2023). Specifically, we used a pre‐existing model (sentence‐transformers/all‐mpnet‐base‐v2) designed to analyze the meaning of sentences, and then compute the conceptual similarity of sentence pairs (i.e., the similarity in meaning of sentence pairs). During its development, this model was trained on one billion sentence pairs, derived from numerous online sources, thus enhancing the reliability of the conceptual similarity estimates. In the current study, we used this model to compute conceptual similarity scores for each pair of definitions (e.g., affection–amusement, affection–anger, affection–anxiety… sadness–surprise), which we then inverted (by multiplying by −1) to get conceptual distance scores. These conceptual distance scores range from 0 to −1 (to 15 decimal places), with higher scores representing greater differentiation of semantic emotion concepts. To assess the differentiation of participants' conceptions of same‐valence emotions (within valence conceptual distance), we took a mean of the conceptual distance scores for the 45 positive–positive definition pairs (e.g., affection–amusement, affection–happiness, etc.), and 45 negative–negative definition pairs (e.g., anger–anxiety, anger–sadness, etc.), and then averaged across these values. To assess the differentiation of participants' conceptions of opposite‐valence emotions (between valence conceptual distance), we took a mean of the conceptual distance scores for the 100 positive–negative definition pairs.\nIn the current study, the Emotional Vocabulary Test had strong internal consistency and split‐half reliability for total test scores [Cronbach's α = 0.858; Spearman–Brown coefficient = 0.878] and conceptual distance scores [Cronbach's α = 0.986; Spearman–Brown coefficient = 0.943]. This task also demonstrates good construct validity and discriminant validity in other work (see Supporting Information C).\nLogically, if our task and analysis pipeline are operating as intended, between valence conceptual distance scores should be higher (i.e., more positive) than within valence conceptual distance scores. In order to verify this, we conducted a paired samples t‐test on these data, identifying extreme evidence [BF10 > 100] that between valence conceptual distance scores [mean (SEM) = −0.28 (0.006)] were higher than within valence conceptual distance scores [mean (SEM) = −0.40 (0.008); t(99) = 32.55, p < 0.0001, BF10 = 1.34e51]. Encouragingly, we also identified that the five lowest mean conceptual distance scores were for the anxiety and fear [mean (SEM) = −0.59 (0.015)], depression and sadness [mean (SEM) = −0.58 (0.017)], Contentment and Peaceful [mean (SEM) = −0.56 (0.020)], contentment and happiness [mean (SEM) = −0.55 (0.019)], and Anger and Irritation [mean (SEM) = −0.54 (0.018)] definition pairs, as one would expect (as these concepts are close to one another in meaning).\nIn addition, we calculated the mean number of words included across all definitions for each participant. This variable was included as a covariate to control for overall definition length, ensuring that emotional vocabulary score, between‐valence conceptual distance, and within valence conceptual distance related to differences in definition content rather than differences in how much participants wrote. That is, including mean definition word count as a covariate allowed us to test whether these conceptual definition measures predicted outcomes above and beyond the amount of text participants provided.\nParticipants' non‐verbal reasoning ability was assessed via the Matrix Reasoning Item bank (see MaRs‐IB) (Chierchia et al. 2019). Each item in the MaRs‐IB consists of a three‐by‐three matrix; eight of the nine available cells are filled with abstract shapes, and one cell is left empty. Participants are required to complete the matrix by selecting the missing shape from four options. To provide the correct answer, participants must deduce relationships between the shapes in the matrix (which vary in shape, color, size and position). After selecting an answer, the participants proceed to the next trial. If they do not provide a response within 30 s, they proceed to the next trial without a response. This assessment lasts eight min regardless of how many trials are completed. The MaRs‐IB has acceptable internal consistency (Kuder–Richardson 20 ≥ 0.7) and test–retest reliability (r ≥ 0.7) (Chierchia et al. 2019). Non‐verbal reasoning scores are calculated as the percentage of correct answers across all trials.\n\n\n### The AQ\nThe level of participants' autistic traits was assessed via the 50‐item AQ (Baron‐Cohen et al. 2001). This self‐report questionnaire is scored from 0 to 50, with higher scores representing higher levels of autistic characteristics. The AQ assesses five different domains: attention switching, attention to detail, communication, social skills, and imagination. The AQ is a popular tool for assessing autistic traits in both the general population and in autistic individuals (Ruzich et al. 2015; Whitehouse et al. 2011; Hickman et al. 2022; Abu‐Akel et al. 2019), and has high internal consistency (α ≥ 0.7) and test–retest reliability (r ≥ 0.8) (Stevenson and Hart 2017).\n\n\n### The Toronto Alexithymia Scale\nThe level of participants' alexithymic traits was measured using the 20‐item Toronto Alexithymia Scale (TAS‐20) (Bagby et al. 1994). This self‐report questionnaire comprises 20 items rated on a five‐point Likert scale, ranging from 1, strongly disagree, to 5, strongly agree. Scores on this questionnaire range from 20 to 100, with higher scores indicating higher levels of alexithymic traits. The TAS‐20 is the most popular tool for assessing alexithymia and has good internal consistency (α ≥ 0.7) and test–retest reliability (r ≥ 0.7) (Bagby et al. 1994; Taylor et al. 2003).\n\n\n### EmoMap\nThe differentiation and consistency of participants' emotional experiences was assessed using our two‐part EmoMap paradigm. In the first part, on each trial, participants viewed pairs of images from the Nencki Affective Picture System (Marchewka et al. 2014), and were required to rate how similar the emotions evoked by each of the images were. Participants made their ratings on a visual analogue scale (with a step size of 0.0001) ranging from 0, “not at all similar” to 10, “very similar.” An advantage of the EmoMap paradigm is that it allows us to measure emotion differentiation without requiring participants to translate their emotional experiences into words, unlike existing tasks (Keating and Cook 2023c, 2023a). This is particularly beneficial here as autistic individuals sometimes have different language and communication profiles to non‐autistic individuals (see Frith and Happé 1994 and Vogindroukas et al. Vogindroukas et al. 2022). Removing the requirement to translate their emotional experiences into words means that our task focuses on participants' ability to differentiate their own emotional states (i.e., their internal emotional reactions) rather than their ability to produce emotion labels.\nThe chosen images were known to be effective at selectively evoking anger, happiness, or sadness in large samples of participants (N = 124) (Riegel et al. 2016). In this task, we included five images for each emotion (anger, happiness, and sadness) resulting in 15 different images and 105 unique image combinations (and thus 105 trials): 30 within emotion‐category combinations (10 for anger, 10 for happiness, and 10 for sadness) and 75 between emotion‐category combinations (25 angry–sad, 25 angry–happy, 25 happy–sad). To prevent participants from responding too quickly (i.e., without thinking), a reaction time check was incorporated: If participants responded faster than 1000 ms, they were presented with an error message (“Too Fast. Our algorithm has detected that you might need to take longer to think through your answer. You will now incur a 5‐s penalty and then will be asked to do the trial again”), were given a 5‐s penalty, and then the trial re‐started.\nTo compute the distances between and within emotion clusters, the similarity ratings were transformed into distance scores using multidimensional scaling (with the Scikit‐learn library in Python). This technique allows users to represent objects (here, emotional images) as points in multidimensional space, wherein close similarity between objects corresponds to close distances between the points in the representation (van der Klis and Tellings 2022). To calculate the mean distances within specific emotion clusters, we averaged across the Euclidean distances for the 10 angry–angry, 10 happy–happy, and 10 sad–sad image pairs, respectively. To calculate the mean distance between specific emotion clusters we averaged across the Euclidean distances for the 25 angry–happy, 25 angry–sad, and 25 happy–sad image pairs, respectively. Finally, we computed mean distances within clusters and between clusters by averaging across emotions/emotion pairs. Larger distances between clusters represent a greater ability to differentiate distinct emotional states (e.g., differentiate anger and sadness). Larger distances within clusters represent a greater ability to differentiate similar emotional states (e.g., differentiate irritation from anger).\nIn the second part of our EmoMap paradigm, on each trial, participants were presented with three images from the Nencki Affective Picture System (Marchewka et al. 2014), and then had to make a decision. This task involved four conditions: one non‐emotional control condition and three emotional experimental conditions assessing the experience of anger, happiness, and sadness respectively. Participants completed the non‐emotional control condition first and then the experimental conditions in a random order. In the control condition, participants had to select which of the three (neutral valence) images they found most colorful using their mouse cursor. On each trial, two of these images were in color and one was in grayscale, thus acting as an attention check. If participants selected the grayscale image, they were presented with the same error message mentioned previously, they incurred a 5‐s penalty, and then had to do the trial again. In the experimental conditions, participants had to select which of the three images made them feel most angry, happy, or sad (e.g., in the angry condition, participants had to decide which of the two images made them most angry) using their mouse cursor. As in the control condition, there was a “trap” image on each trial: Two of the images were strong inducers of the target emotion (e.g., anger), and one was a strong inducer of another emotion (e.g., happiness), thus acting as an attention check. If participants selected the image that strongly induced the non‐target emotion, they were presented with the error message, they incurred a 5‐s penalty, and then had to do the trial again. In each condition, there were 11 target (i.e., non‐trap) images which were presented in all possible unique combinations across 55 trials. The selected images had previously been identified as successful inducers of the target emotion (Riegel et al. 2016).\nConsistency scores were calculated for each condition based on the logical consistency of a participant's decisions. To illustrate this, if a participant selects Image A over Image B (A > B) and Image B over Image C (B > C), these decisions are all consistent with one another. However, if the participant then selects Image C over Image A, this would be inconsistent with their previous judgments. Accordingly, consistency requires participants to distinguish between the intensity of emotion evoked by each image across multiple instances, and thus inconsistent decisions are likely to stem from inconsistencies in how individuals experience an emotion.\nWe followed the procedures outlined previously to calculate emotional consistency (Keating and Cook 2023b; Huggins et al. 2021). We first quantified each participant's image rankings by computing the number of times they chose each image within a condition. If a participant made completely consistent decisions within a condition, rank scores would follow a perfect linear sequence: The image they found most emotionally intense (or colorful) should be chosen in all 10 trials it appeared (score = 10), the second‐highest should be chosen in nine of 10 trials (score = 9), and so on. The image they found least emotionally intense (or colorful) should never be chosen (score = 0). Following this, we examined how image rankings related to the decisions made on each trial. Since images with a higher rank score should elicit a stronger emotional response than those with lower rank scores, we consider an inconsistent decision to be when a lower‐ranking image is chosen over a higher‐ranking image. For each trial, the rank score of the unchosen item was subtracted from the rank score for the chosen item, producing item differences. For consistent decisions, the item difference would be greater than zero; for inconsistent decisions, the item difference would be less than or equal to zero. More severe inconsistencies (e.g., choosing the lowest ranked image over the highest ranked image) result in more negative item differences. Finally, we summed these item differences, per condition, to produce total consistency scores, with greater scores reflecting higher consistency. If a participant made completely consistent decisions within a condition, their score would be 220.\nThe EmoMap paradigm had strong internal consistency here, with excellent split‐half reliability both for distance scores [distance between cluster: Spearman–Brown coefficient = 0.94; distance within cluster: Spearman–Brown coefficient = 0.90] and emotional consistency scores [Spearman–Brown coefficient = 0.985–0.994 across conditions]. This paradigm also demonstrates very good test–retest reliability, construct validity, and discriminant validity in other work (see Supporting Information C).\n\n\n### PLF Emotion Recognition Task\nWe assessed participants' emotion recognition performance using the PLF emotion recognition task (Keating, Fraser, et al. 2022; Sowden et al. 2021). In this task, participants viewed dynamic point‐light displays of the face (PLFs), created from videos of four actors saying sentences while posing three target emotions (angry, happy, and sad). These PLFs have been adapted (see Sowden et al. 2021 for further detail) such that they represent three spatial movement levels, ranging from reduced to increased spatial movement (50%, 100%, and 150% spatial movement), and three kinematic levels, ranging from reduced to increased speed (50%, 100%, and 150% original stimulus speed). In this task, each trial began with the presentation of a (silent) PLF video displaying one of the three emotions, at one of the three spatial and three kinematic levels (e.g., Happy at 100% spatial movement and 150% speed). After viewing the PLF stimulus, participants were required to rate how angry, happy, and sad the person was feeling on three visual analogue scales (presented in a random order) ranging from 0, “not at angry/happy/sad” to 10, “very angry/happy/sad.” Participants completed three practice trials and then 108 randomly ordered experimental trials (12 per condition) across three blocks. Participants were encouraged to take breaks between blocks.\nEmotion recognition accuracy scores were calculated by subtracting the mean of the two incorrect emotion ratings from the correct emotion rating. For instance, for a trial in which a sad PLF was displayed, the mean rating of the two incorrect emotions (angry and happy) was subtracted from the rating for the correct emotion (sad). Mean emotion recognition accuracy was calculated by taking the mean of accuracy scores across all emotions, spatial, and kinematic levels.\nThe PLF Emotion Recognition task demonstrated excellent reliability, with high internal consistency [Cronbach's α = 0.86] and strong split‐half reliability [Spearman–Brown coefficient = 0.92]. This task also demonstrates good test–retest reliability, concurrent validity, construct validity, and discriminant validity in other work (see Supporting Information C).\n\n\n### Emotional Vocabulary Test\nWe assessed participants' semantic conceptions of 20 different emotions (affection, amusement, anger, anxiety, awe, contentment, depression, desire, disgust, embarrassment, excitement, fear, guilt, happiness, interest, irritation, loneliness, peaceful, sadness, surprise) using an adapted version of the emotional vocabulary test (from Nook et al. 2017 and Baron‐Cohen et al. 2010). The list of emotions was selected to include (a) the six basic emotions (Ekman and Friesen 1971), (b) emotions that occupy all four quadrants of the circumplex dimensions of arousal and valence (Russell 1980), and (c) emotions that are most frequently evoked by standardized databases of images (e.g., the Nenki Affective Picture System, the International Affective Picture System) (Mikels et al. 2005). In this task, on each trial, participants were required to type a definition of an emotion word that was presented on screen. To ensure data validity, we (i) explicitly instructed participants to come up with definitions themselves (rather than searching for them online), (ii) forced the task into full‐screen so that we could tell if participants minimized the page to look‐up definitions, and (iii) excluded any definitions that matched those provided by the Oxford, Cambridge, and Meriam Webster dictionaries.\nIn the current study, we consider how well participants understand the meaning (i.e., the semantic content) of emotion concepts, and how these meanings overlap between emotions. To this end, we calculated two types of scores using the definitions provided by participants—emotional vocabulary test scores, which pertain to the accuracy of participants' definitions, and conceptual distance scores, which reflect the conceptual overlap in participants' own definitions. To calculate emotional vocabulary scores, first, a trained experimenter assigned each definition a score of zero, one, or two (as in a WASI vocabulary test and in Nook et al. 2017). A score of two was awarded if the participants provided (i) a plausible and specific definition of the emotion, (ii) a direct synonym of the emotion, or (iii) a scenario that would conceivably evoke the given emotion and no other emotions. We assembled a list of definitions and synonyms (taken from the Oxford and Cambridge Dictionaries and from Nook et al. 2017) which the experimenter referred to when scoring the responses. A score of one was awarded if the participant provided a definition that was of the correct valence or situation, but too vague to meet criteria for a two‐point response. For example, if a participant defined loneliness as “the feeling of being alone” or “a sad feeling”, they would score one point for this definition. To score two points, participants would need to include both parts of this definition: for example, “the sad feeling you get when you are alone”. A score of 0 was awarded if the participants gave definitions, synonyms, or situations relevant to a different emotion. We calculated total emotional vocabulary scores by summing the scores for each item. As such, emotional vocabulary test scores ranged from 0 to 40, with higher scores representing more accurate understanding of emotion terms.\nTo calculate conceptual distance scores, we employed Natural Language Processing—a machine learning technique facilitating the analysis and synthesis of large quantities of language data (Khurana et al. 2023). Specifically, we used a pre‐existing model (sentence‐transformers/all‐mpnet‐base‐v2) designed to analyze the meaning of sentences, and then compute the conceptual similarity of sentence pairs (i.e., the similarity in meaning of sentence pairs). During its development, this model was trained on one billion sentence pairs, derived from numerous online sources, thus enhancing the reliability of the conceptual similarity estimates. In the current study, we used this model to compute conceptual similarity scores for each pair of definitions (e.g., affection–amusement, affection–anger, affection–anxiety… sadness–surprise), which we then inverted (by multiplying by −1) to get conceptual distance scores. These conceptual distance scores range from 0 to −1 (to 15 decimal places), with higher scores representing greater differentiation of semantic emotion concepts. To assess the differentiation of participants' conceptions of same‐valence emotions (within valence conceptual distance), we took a mean of the conceptual distance scores for the 45 positive–positive definition pairs (e.g., affection–amusement, affection–happiness, etc.), and 45 negative–negative definition pairs (e.g., anger–anxiety, anger–sadness, etc.), and then averaged across these values. To assess the differentiation of participants' conceptions of opposite‐valence emotions (between valence conceptual distance), we took a mean of the conceptual distance scores for the 100 positive–negative definition pairs.\nIn the current study, the Emotional Vocabulary Test had strong internal consistency and split‐half reliability for total test scores [Cronbach's α = 0.858; Spearman–Brown coefficient = 0.878] and conceptual distance scores [Cronbach's α = 0.986; Spearman–Brown coefficient = 0.943]. This task also demonstrates good construct validity and discriminant validity in other work (see Supporting Information C).\nLogically, if our task and analysis pipeline are operating as intended, between valence conceptual distance scores should be higher (i.e., more positive) than within valence conceptual distance scores. In order to verify this, we conducted a paired samples t‐test on these data, identifying extreme evidence [BF10 > 100] that between valence conceptual distance scores [mean (SEM) = −0.28 (0.006)] were higher than within valence conceptual distance scores [mean (SEM) = −0.40 (0.008); t(99) = 32.55, p < 0.0001, BF10 = 1.34e51]. Encouragingly, we also identified that the five lowest mean conceptual distance scores were for the anxiety and fear [mean (SEM) = −0.59 (0.015)], depression and sadness [mean (SEM) = −0.58 (0.017)], Contentment and Peaceful [mean (SEM) = −0.56 (0.020)], contentment and happiness [mean (SEM) = −0.55 (0.019)], and Anger and Irritation [mean (SEM) = −0.54 (0.018)] definition pairs, as one would expect (as these concepts are close to one another in meaning).\nIn addition, we calculated the mean number of words included across all definitions for each participant. This variable was included as a covariate to control for overall definition length, ensuring that emotional vocabulary score, between‐valence conceptual distance, and within valence conceptual distance related to differences in definition content rather than differences in how much participants wrote. That is, including mean definition word count as a covariate allowed us to test whether these conceptual definition measures predicted outcomes above and beyond the amount of text participants provided.\n\n\n### The Matrix Reasoning Item Bank\nParticipants' non‐verbal reasoning ability was assessed via the Matrix Reasoning Item bank (see MaRs‐IB) (Chierchia et al. 2019). Each item in the MaRs‐IB consists of a three‐by‐three matrix; eight of the nine available cells are filled with abstract shapes, and one cell is left empty. Participants are required to complete the matrix by selecting the missing shape from four options. To provide the correct answer, participants must deduce relationships between the shapes in the matrix (which vary in shape, color, size and position). After selecting an answer, the participants proceed to the next trial. If they do not provide a response within 30 s, they proceed to the next trial without a response. This assessment lasts eight min regardless of how many trials are completed. The MaRs‐IB has acceptable internal consistency (Kuder–Richardson 20 ≥ 0.7) and test–retest reliability (r ≥ 0.7) (Chierchia et al. 2019). Non‐verbal reasoning scores are calculated as the percentage of correct answers across all trials.\n\n\n### Statistical Analyses\nAll frequentist analyses were conducted using R Studio (version 2021.09.2) and all Bayesian analyses were conducted using JASP (version 0.16). For all frequentist analyses, we used a significance threshold of p = 0.05 (two‐sided) to determine whether to accept or reject the null hypothesis. Parametric assumptions were met for all analyses employing simple linear models and linear mixed effects models. Non‐parametric linear regressions were conducted when assumptions were violated. We conducted all linear mixed effects models in R Studio using the lmer function (from the lme4 package). In addition, we employed the Anova function (from the car package) to conduct a Type III ANOVA on the results of our linear mixed model with a Kenward and Roger (1997) approximation for degrees of freedom, as supported by Luke (2017). In R Studio, we also conducted (i) a random forest analysis (Breiman 2001) employing the Boruta wrapper algorithm (Boruta function from Boruta package (Kursa and Rudnicki 2010)), and (ii) mediation analyses using the sem() function (from the lavaan package). We conducted Bayesian analyses in JASP in order to determine the relative strength of evidence for the experimental versus null hypotheses. For all Bayesian analyses, we followed the classification scheme proposed by Lee and Wagenmakers (2014), in which BF10 and BF01 values between one and three reflect weak evidence, between 3 and 10 reflect moderate evidence, greater than 10 reflect strong evidence, and greater than 100 reflect extreme evidence for the experimental (BF10) and null (BF01) hypotheses, respectively.\n\n\n### Results\nIn the following section, we (1) compare autistic and non‐autistic participants on the consistency and differentiation of emotional experiences, understanding of emotion concepts, and differentiation of emotion concepts, and (2) determine whether the same processes are implicated in autistic and non‐autistic emotion recognition.\nFirst, to compare the consistency of emotional experiences across participant groups, we conducted a linear mixed effects model with emotional consistency as the dependent variable, emotion (angry, happy, sad), group (autistic, non‐autistic), the interaction between emotion and group [independent variables], age, sex, non‐verbal reasoning ability, years of education, alexithymia, emotional vocabulary score, between valence conceptual distance, within valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. This revealed that within valence conceptual distance [F(1, 105) = 5.57, p = 0.020] and years of education [F(1, 105) = 4.19, p = 0.043] were positive predictors of emotional consistency: those with more differentiated conceptions of same‐valence emotions, and those with more years of education, typically had greater emotional consistency. There were no other significant predictors [all p > 0.05]. Most notably, there was no main effect of group [F(1, 284.67) = 0.39, p = 0.533], and no emotion × group interaction [F(2, 230) = 0.43, p = 0.649]. To assess the strength of evidence for these null effects, we conducted a post hoc Bayesian ANOVA. This yielded moderate evidence against a main effect of group (BF01 = 5.37) and strong evidence against an emotion × group interaction (BF01 = 11.65), suggesting no differences in emotional consistency between autistic and non‐autistic participants, across all three emotions.\nTo test whether autistic adults have less differentiated experiences of distinct emotions than non‐autistic adults, we constructed a linear mixed effects model with distance between clusters as the dependent variable, emotion pair (angry–happy, angry–sad, happy–sad), group (autistic, non‐autistic), the interaction between emotion pair and group [independent variables], age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. In line with the results from our previous study (Keating and Cook 2023b), there was a significant main effect of emotion pair [F(2, 230) = 82.81, p < 0.0001]: The distance between angry and sad clusters was smallest [mean (SEM) = 13.78 (0.28)], followed by happy and sad [mean (SEM) = 17.64 (0.45)], followed by angry and happy [mean (SEM) = 18.46 (0.45)]. In addition, between valence conceptual distance [F(1, 105) = 5.13, p = 0.026] was a significant positive predictor of distance between clusters: Those with less differentiated conceptions of emotions (of opposite valence) typically had less differentiated experiences of distinct emotions. Finally, our analysis also revealed that non‐verbal reasoning ability was a significant negative predictor of distance between clusters [F(1, 105) = −6.83, p = 0.010]: those with higher non‐verbal reasoning ability typically had smaller distances between clusters. Once again there was no main effect of group [F(1, 143.04) = 2.50, p = 0.116], nor an interaction between emotion pair and group [F(2, 230) = 1.68, p = 0.189], and no other significant predictors of distance between clusters [all p > 0.05]. To evaluate the strength of evidence for these null effects, we conducted a follow‐up Bayesian ANOVA. There was anecdotal evidence against a main effect of group (BF01 = 1.24) and moderate evidence against an emotion × group interaction (BF01 = 3.98), suggesting there are no differences between the autistic and non‐autistic participants in the differentiation of distinct emotional states.\nNext, to test whether autistic adults have less differentiated experiences of similar emotions (i.e., less granular emotional experiences), we constructed a linear mixed effects model with distance within clusters as the dependent variable, emotion (distance within angry, happy, and sad clusters, respectively), group (autistic, non‐autistic), the interaction between emotion and group [independent variables], age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. This revealed a main effect of emotion [F(2, 230) = 15.52, p < 0.001]: Distance within happy clusters was lowest [mean (SEM) = 12.30 (0.31)], followed by distance within angry clusters [mean (SEM) = 13.57 (0.26)], and distance within sad clusters [mean (SEM) = 13.65 (0.30)]. In addition, our analysis identified that between valence conceptual distance [F(1, 105) = 5.40, p = 0.022] was a significant positive predictor of distance within clusters: those with less differentiated conceptions of emotions (of opposite valence) typically had less differentiated experiences of similar emotions. We also identified that non‐verbal reasoning was a significant negative predictor of distance within clusters [F(1, 105) = 15.32, p < 0.001]. There was no main effect of group [F(1, 144.57) = 0.36, p = 0.549], nor an emotion × group interaction [F(2, 230) = 1.12, p = 0.327], and there were no other significant predictors of distance within clusters [all p > 0.05]. To probe the strength of evidence for these null effects, we conducted a follow‐up Bayesian ANOVA. There was anecdotal evidence against a main effect of group (BF01 = 2.60) and moderate evidence against an emotion × group interaction (BF01 = 6.67), suggesting there are no differences between the autistic and non‐autistic participants in the differentiation of similar emotional states.\nTo assess the understanding of emotion concepts, we compared the emotional vocabulary test scores of the autistic and non‐autistic participants. To do so, we ran a non‐parametric multiple regression of emotional vocabulary as a function of group (autistic, non‐autistic), age, sex, non‐verbal reasoning, years of education, alexithymia, and mean definition word count [control variables]. This analysis revealed that mean definition word count [t(108) = 3.63, p < 0.001] was a positive predictor, and age [t(108) = −2.90, p = 0.005] was a negative predictor of emotional vocabulary score: those who provided longer definitions, and those younger in age, typically had higher emotional vocabulary scores. There were no significant differences between the autistic participants and non‐autistic participants in emotional vocabulary score [t(108) = −1.64, p = 0.104]. A follow‐up Bayesian independent sample t‐test revealed anecdotal evidence for this null effect [BF01 = 2.49]. Together, our results suggest that there are no differences between groups in the understanding of emotion concepts.\nFollowing this, to determine whether autistic or non‐autistic people have more differentiated conceptions of emotions with the same and opposite valences, we constructed two simple linear models as a function of group (autistic, non‐autistic), age, sex, non‐verbal reasoning, years of education, alexithymia, and mean definition word count [control variables]. Across both models, mean definition word count was a negative predictor [between valence: F(1, 108) = −10.30, p = 0.002; within valence: F(1, 108) = −11.66, p < 0.001] and age [between valence: F(1, 108) = 5.18, p = 0.024; within valence: F(1, 108) = 8.33, p = 0.005] was a positive predictor: those who provided longer definitions, and those younger in age, tended to have lower conceptual distance scores, both for same‐valence and opposite‐valence emotions. There was no effect of group [between valence conceptual distance: F(1, 108) = 1.00, p = 0.320; within valence conceptual distance: F(1, 108) = 3.13, p = 0.080], nor any other significant predictors in both models [all p > 0.05]. In our follow‐up Bayesian independent samples t‐tests, there was moderate evidence for a null effect of group for both between valence conceptual distance [BF01 = 5.05] and within valence conceptual distance [BF01 = 3.66]. Together, the evidence suggests that there were no differences in the differentiation of semantic emotion concepts between autistic and non‐autistic participants.\nIn sum, we found no credible evidence for differences between autistic and non‐autistic individuals in emotional consistency, the differentiation of emotional experiences, or the understanding and differentiation of semantic emotion concepts, after controlling for alexithymia. Notably, in our sample, 15 of the non‐autistic participants scored above cut‐off for potential autism on the AQ (≥ 26) while six autistic participants scored below it (< 26). To ensure that the absence of significant group differences was not due to high autistic traits in the non‐autistic group and low traits in the autistic group—which could reduce between‐group differences—we excluded these participants and repeated our analyses. The pattern of results was unaffected by these exclusions; there were still no differences between the autistic and non‐autistic participants on our variables of interest (see Supporting Information D).\nNext, we aimed to determine the factors contributing to autistic and non‐autistic emotion recognition via random forests analyses (Breiman 2001) with the Boruta wrapper algorithm (Lee and Wagenmakers 2014) (version 7.7.0; as in Keating and Cook 2023b and Keating et al. 2023). Across numerous iterations (here, 3000), this algorithm trains a random forest regression model on all predictor variables, as well as their permuted copies (known as “shadow features”), and classifies a variable as important (i.e., useful for predicting a target variable) when its importance score is higher than the maximum score amongst all shadow features (termed “shadowMax” in the analysis; see Mazzanti 2020 for an accessible summary of the Boruta wrapper algorithm). In this analysis, our outcome variable was mean emotion recognition accuracy. Predictors included the emotion‐related variables examined in this study: emotional consistency, distance between clusters, distance within clusters, emotional vocabulary score, within‐valence conceptual distance, and between‐valence conceptual distance. For exploratory purposes, we also included total AQ score, total TAS score, the AQ and TAS subscales (i.e., AQ social skills, AQ attention switching, AQ attention to detail, AQ communication, AQ imagination, TAS difficulties describing feelings, TAS difficulties identifying feelings, and TAS externally oriented thinking), non‐verbal reasoning ability, years of education, and age as predictors (thus following similar procedures to Keating and Cook 2023b and Keating et al. 2023), since these variables are also thought to be involved in emotion‐processing (Keating and Cook 2020, 2023b; Keating, Fraser, et al. 2022; Rump et al. 2009).\nFor the non‐autistic participants, of the 19 variables tested, three were classified as important, two were classified as tentatively important, and 14 were deemed unimportant. Figure 1 (left) illustrates that the distance within clusters [mean importance score (MIS) = 25.70], emotional vocabulary score [MIS = 9.43], and within valence conceptual distance [MIS = 7.89] were important for emotion recognition; distance between clusters [MIS = 6.06] and non‐verbal reasoning [MIS = 5.09] were tentatively important for emotion recognition. All other variables were deemed unimportant.\nRandom forest variable importances for non‐autistic (left) and autistic (right) participants. Variable importance of all 19 features entered into the Boruta random forest, displayed as boxplots. Box edges denote the interquartile range (IQR) between the first and third quartile; whiskers denote 1.5*IQR distance from box edges; circles represent outliers outside of 1.5*IQR above and below box edges. Box color denotes decision: Green—confirmed, yellow = tentative, red = rejected; gray = meta‐attributes shadowMin, shadowMax and shadowMean (minimum, maximum and mean variable importance attained by shadow features).\nIn comparison, for the autistic participants, four of the variables were classified as important, two tentatively important, and the remainder unimportant for emotion recognition. Figure 1 (right) shows that the distance between emotion clusters [MIS = 20.80], emotional vocabulary score [MIS = 14.31], the TAS difficulty identifying feelings subscale [MIS = 9.86], and between valence conceptual distance [MIS = 9.26] were deemed important; years of education [MIS = 7.56] and distance within clusters [MIS = 5.71] were tentatively important for emotion recognition. All other variables were classified as unimportant.\nNext, to verify the results from our random forests regression model, we constructed linear mixed effects models predicting mean emotion recognition accuracy with the important and tentatively important variables in the autistic and non‐autistic groups respectively. Since we identified a strong correlation between two variables of interest—distance between emotion clusters and distance within clusters [R = 0.851, p < 0.001]—we constructed two linear mixed effects models with near identical predictors but where one model included distance between emotion clusters and the other included distance within clusters. Thus, ensuring that parameter estimates were not compromised by collinearity issues (Johnston et al. 2018). In the model that excluded distance between clusters, distance within clusters [F(1, 54) = 8.55, p = 0.005] and non‐verbal reasoning [F(1, 54) = 4.32, p = 0.042] were significant positive predictors of non‐autistic emotion recognition. In the model that excluded distance within clusters, distance between clusters was a significant positive predictor of emotion recognition [F(1, 54) = 4.84, p = 0.032]. In sum, non‐autistic individuals who can more accurately distinguish between similar and distinct emotional states (see Figure 2) tend to excel in emotion recognition, aligning with previous findings (Keating and Cook 2023b).\nThe relationships between mean emotion recognition accuracy and distance between clusters, distance within clusters, and emotional vocabulary score, respectively, for the autistic (orange) and non‐autistic (green) participants.\nFollowing this, we constructed the relevant linear mixed effects models in the autistic group. In the model that excluded distance between clusters, emotional vocabulary score was a significant positive predictor of autistic emotion recognition [F(1, 52) = 5.31, p = 0.025]. There were no other significant predictors [all p > 0.05]. In the model that excluded distance within clusters, again emotional vocabulary score was the only significant predictor of emotion recognition for autistic people [F(1, 52) = 5.36, p = 0.025]. Thus, for autistic people, having a clear understanding of emotion concepts is linked to more accurate emotion recognition.\nIn sum, while being able to differentiate similar and distinct emotional states was linked to enhanced emotion recognition for non‐autistic individuals, having a greater understanding of emotion concepts predicted elevated emotion recognition for autistic people.\nSince we had identified that between valence conceptual distance predicted distance between and within clusters, which both predicted emotion recognition performance for non‐autistic people, we conducted post hoc mediation analyses to explore whether between valence conceptual distance exerted an indirect effect on emotion recognition by influencing the distances between and within clusters. Here, we used structural equation modeling (SEM) for our mediation analyses, rather than standard regression models (Baron and Kenny 1986), as SEM is regarded “a more appropriate inference framework for mediation analyses” (Gunzler et al. 2013). We employed bias‐corrected bootstrapping (with 2000 replications) to create 95% confidence intervals (95% CI) as there is a consensus that this is the most powerful method for testing mediated effects (Cheung 2007; Fritz and MacKinnon 2007; MacKinnon et al. 2004; Valente et al. 2016). If these confidence intervals do not cross zero, there is evidence for the experimental hypothesis; if these confidence intervals cross zero, there is evidence for the null hypothesis (Foster et al. 2018).\nIn the first model, the predictor was between valence conceptual distance, the mediator was distance between clusters, and the outcome variable was emotion recognition accuracy. In the second model, the predictor was between valence conceptual distance, the mediator was distance within clusters, and the outcome variable was emotion recognition. Across all mediation models we controlled for relevant confounding variables (e.g., non‐verbal reasoning, AQ, TAS, years of education, emotional vocabulary score, mean definition word count) to enhance the internal validity of our findings.\nIn the first model, although there was no direct effect [z = −0.99, 95% CI = (−0.410, 0.200)] of between valence conceptual distance on emotion recognition, there was an indirect effect via distance between clusters [z = 1.94, 95% CI = (0.004, 0.333); see Figure 3, top]. This suggests a potential causal direction (though future studies are necessary to confirm this chain of causality); for non‐autistic people, having well‐differentiated conceptions of emotion may lead to individuals having well‐differentiated experiences of distinct emotions, and then in turn greater emotion recognition accuracy. Similarly, in the second model, there was no direct effect of between valence conceptual distance on emotion recognition [z = −1.39, 95% CI = (−0.450, 0.187)], but there was an indirect effect via distance within clusters [z = 2.18, 95% CI = (0.009, 0.437); see Figure 3, bottom.]. As such, for non‐autistic participants, having well‐differentiated conceptions of emotion may also lead to them having well‐differentiated experiences of similar emotions, and then in turn greater emotion recognition accuracy. Future studies employing causal manipulation are needed to confirm these chains of causality.\nMediation models showing the contribution of between valence conceptual distance to non‐autistic emotion recognition via distance between clusters (top) and distance within clusters (bottom). The asterisks (*) denote statistical significance according to confidence intervals.\nTo verify that these pathways were most plausible, we then swapped the position of distance between clusters and between valence conceptual distance, such that distance between clusters was the predictor and between‐valence conceptual distance was the mediator. Our analysis revealed that the indirect effect was not significant [z = −0.92, 95% CI = (−0.232, 0.034)]. Following this, we conducted the same analysis with distance within clusters, identifying once again that the indirect effect was not significant [z = −1.22, 95% CI = (−0.273, 0.031)]. Therefore, our results suggest that the most mathematically plausible pathway is as follows: having well differentiated conceptions of emotion may lead to more differentiated experiences of emotion, and then in turn better emotion recognition.\n\n\n### Analyses Comparing Autistic and Non‐Autistic Participants\nFirst, to compare the consistency of emotional experiences across participant groups, we conducted a linear mixed effects model with emotional consistency as the dependent variable, emotion (angry, happy, sad), group (autistic, non‐autistic), the interaction between emotion and group [independent variables], age, sex, non‐verbal reasoning ability, years of education, alexithymia, emotional vocabulary score, between valence conceptual distance, within valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. This revealed that within valence conceptual distance [F(1, 105) = 5.57, p = 0.020] and years of education [F(1, 105) = 4.19, p = 0.043] were positive predictors of emotional consistency: those with more differentiated conceptions of same‐valence emotions, and those with more years of education, typically had greater emotional consistency. There were no other significant predictors [all p > 0.05]. Most notably, there was no main effect of group [F(1, 284.67) = 0.39, p = 0.533], and no emotion × group interaction [F(2, 230) = 0.43, p = 0.649]. To assess the strength of evidence for these null effects, we conducted a post hoc Bayesian ANOVA. This yielded moderate evidence against a main effect of group (BF01 = 5.37) and strong evidence against an emotion × group interaction (BF01 = 11.65), suggesting no differences in emotional consistency between autistic and non‐autistic participants, across all three emotions.\nTo test whether autistic adults have less differentiated experiences of distinct emotions than non‐autistic adults, we constructed a linear mixed effects model with distance between clusters as the dependent variable, emotion pair (angry–happy, angry–sad, happy–sad), group (autistic, non‐autistic), the interaction between emotion pair and group [independent variables], age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. In line with the results from our previous study (Keating and Cook 2023b), there was a significant main effect of emotion pair [F(2, 230) = 82.81, p < 0.0001]: The distance between angry and sad clusters was smallest [mean (SEM) = 13.78 (0.28)], followed by happy and sad [mean (SEM) = 17.64 (0.45)], followed by angry and happy [mean (SEM) = 18.46 (0.45)]. In addition, between valence conceptual distance [F(1, 105) = 5.13, p = 0.026] was a significant positive predictor of distance between clusters: Those with less differentiated conceptions of emotions (of opposite valence) typically had less differentiated experiences of distinct emotions. Finally, our analysis also revealed that non‐verbal reasoning ability was a significant negative predictor of distance between clusters [F(1, 105) = −6.83, p = 0.010]: those with higher non‐verbal reasoning ability typically had smaller distances between clusters. Once again there was no main effect of group [F(1, 143.04) = 2.50, p = 0.116], nor an interaction between emotion pair and group [F(2, 230) = 1.68, p = 0.189], and no other significant predictors of distance between clusters [all p > 0.05]. To evaluate the strength of evidence for these null effects, we conducted a follow‐up Bayesian ANOVA. There was anecdotal evidence against a main effect of group (BF01 = 1.24) and moderate evidence against an emotion × group interaction (BF01 = 3.98), suggesting there are no differences between the autistic and non‐autistic participants in the differentiation of distinct emotional states.\nNext, to test whether autistic adults have less differentiated experiences of similar emotions (i.e., less granular emotional experiences), we constructed a linear mixed effects model with distance within clusters as the dependent variable, emotion (distance within angry, happy, and sad clusters, respectively), group (autistic, non‐autistic), the interaction between emotion and group [independent variables], age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. This revealed a main effect of emotion [F(2, 230) = 15.52, p < 0.001]: Distance within happy clusters was lowest [mean (SEM) = 12.30 (0.31)], followed by distance within angry clusters [mean (SEM) = 13.57 (0.26)], and distance within sad clusters [mean (SEM) = 13.65 (0.30)]. In addition, our analysis identified that between valence conceptual distance [F(1, 105) = 5.40, p = 0.022] was a significant positive predictor of distance within clusters: those with less differentiated conceptions of emotions (of opposite valence) typically had less differentiated experiences of similar emotions. We also identified that non‐verbal reasoning was a significant negative predictor of distance within clusters [F(1, 105) = 15.32, p < 0.001]. There was no main effect of group [F(1, 144.57) = 0.36, p = 0.549], nor an emotion × group interaction [F(2, 230) = 1.12, p = 0.327], and there were no other significant predictors of distance within clusters [all p > 0.05]. To probe the strength of evidence for these null effects, we conducted a follow‐up Bayesian ANOVA. There was anecdotal evidence against a main effect of group (BF01 = 2.60) and moderate evidence against an emotion × group interaction (BF01 = 6.67), suggesting there are no differences between the autistic and non‐autistic participants in the differentiation of similar emotional states.\nTo assess the understanding of emotion concepts, we compared the emotional vocabulary test scores of the autistic and non‐autistic participants. To do so, we ran a non‐parametric multiple regression of emotional vocabulary as a function of group (autistic, non‐autistic), age, sex, non‐verbal reasoning, years of education, alexithymia, and mean definition word count [control variables]. This analysis revealed that mean definition word count [t(108) = 3.63, p < 0.001] was a positive predictor, and age [t(108) = −2.90, p = 0.005] was a negative predictor of emotional vocabulary score: those who provided longer definitions, and those younger in age, typically had higher emotional vocabulary scores. There were no significant differences between the autistic participants and non‐autistic participants in emotional vocabulary score [t(108) = −1.64, p = 0.104]. A follow‐up Bayesian independent sample t‐test revealed anecdotal evidence for this null effect [BF01 = 2.49]. Together, our results suggest that there are no differences between groups in the understanding of emotion concepts.\nFollowing this, to determine whether autistic or non‐autistic people have more differentiated conceptions of emotions with the same and opposite valences, we constructed two simple linear models as a function of group (autistic, non‐autistic), age, sex, non‐verbal reasoning, years of education, alexithymia, and mean definition word count [control variables]. Across both models, mean definition word count was a negative predictor [between valence: F(1, 108) = −10.30, p = 0.002; within valence: F(1, 108) = −11.66, p < 0.001] and age [between valence: F(1, 108) = 5.18, p = 0.024; within valence: F(1, 108) = 8.33, p = 0.005] was a positive predictor: those who provided longer definitions, and those younger in age, tended to have lower conceptual distance scores, both for same‐valence and opposite‐valence emotions. There was no effect of group [between valence conceptual distance: F(1, 108) = 1.00, p = 0.320; within valence conceptual distance: F(1, 108) = 3.13, p = 0.080], nor any other significant predictors in both models [all p > 0.05]. In our follow‐up Bayesian independent samples t‐tests, there was moderate evidence for a null effect of group for both between valence conceptual distance [BF01 = 5.05] and within valence conceptual distance [BF01 = 3.66]. Together, the evidence suggests that there were no differences in the differentiation of semantic emotion concepts between autistic and non‐autistic participants.\nIn sum, we found no credible evidence for differences between autistic and non‐autistic individuals in emotional consistency, the differentiation of emotional experiences, or the understanding and differentiation of semantic emotion concepts, after controlling for alexithymia. Notably, in our sample, 15 of the non‐autistic participants scored above cut‐off for potential autism on the AQ (≥ 26) while six autistic participants scored below it (< 26). To ensure that the absence of significant group differences was not due to high autistic traits in the non‐autistic group and low traits in the autistic group—which could reduce between‐group differences—we excluded these participants and repeated our analyses. The pattern of results was unaffected by these exclusions; there were still no differences between the autistic and non‐autistic participants on our variables of interest (see Supporting Information D).\n\n\n### No Differences Between Groups in Emotional Consistency\nFirst, to compare the consistency of emotional experiences across participant groups, we conducted a linear mixed effects model with emotional consistency as the dependent variable, emotion (angry, happy, sad), group (autistic, non‐autistic), the interaction between emotion and group [independent variables], age, sex, non‐verbal reasoning ability, years of education, alexithymia, emotional vocabulary score, between valence conceptual distance, within valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. This revealed that within valence conceptual distance [F(1, 105) = 5.57, p = 0.020] and years of education [F(1, 105) = 4.19, p = 0.043] were positive predictors of emotional consistency: those with more differentiated conceptions of same‐valence emotions, and those with more years of education, typically had greater emotional consistency. There were no other significant predictors [all p > 0.05]. Most notably, there was no main effect of group [F(1, 284.67) = 0.39, p = 0.533], and no emotion × group interaction [F(2, 230) = 0.43, p = 0.649]. To assess the strength of evidence for these null effects, we conducted a post hoc Bayesian ANOVA. This yielded moderate evidence against a main effect of group (BF01 = 5.37) and strong evidence against an emotion × group interaction (BF01 = 11.65), suggesting no differences in emotional consistency between autistic and non‐autistic participants, across all three emotions.\n\n\n### No Differences Between Groups in Emotion Differentiation for Distinct Emotional States\nTo test whether autistic adults have less differentiated experiences of distinct emotions than non‐autistic adults, we constructed a linear mixed effects model with distance between clusters as the dependent variable, emotion pair (angry–happy, angry–sad, happy–sad), group (autistic, non‐autistic), the interaction between emotion pair and group [independent variables], age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. In line with the results from our previous study (Keating and Cook 2023b), there was a significant main effect of emotion pair [F(2, 230) = 82.81, p < 0.0001]: The distance between angry and sad clusters was smallest [mean (SEM) = 13.78 (0.28)], followed by happy and sad [mean (SEM) = 17.64 (0.45)], followed by angry and happy [mean (SEM) = 18.46 (0.45)]. In addition, between valence conceptual distance [F(1, 105) = 5.13, p = 0.026] was a significant positive predictor of distance between clusters: Those with less differentiated conceptions of emotions (of opposite valence) typically had less differentiated experiences of distinct emotions. Finally, our analysis also revealed that non‐verbal reasoning ability was a significant negative predictor of distance between clusters [F(1, 105) = −6.83, p = 0.010]: those with higher non‐verbal reasoning ability typically had smaller distances between clusters. Once again there was no main effect of group [F(1, 143.04) = 2.50, p = 0.116], nor an interaction between emotion pair and group [F(2, 230) = 1.68, p = 0.189], and no other significant predictors of distance between clusters [all p > 0.05]. To evaluate the strength of evidence for these null effects, we conducted a follow‐up Bayesian ANOVA. There was anecdotal evidence against a main effect of group (BF01 = 1.24) and moderate evidence against an emotion × group interaction (BF01 = 3.98), suggesting there are no differences between the autistic and non‐autistic participants in the differentiation of distinct emotional states.\n\n\n### No Differences Between Groups in Emotion Differentiation for Similar Emotional States\nNext, to test whether autistic adults have less differentiated experiences of similar emotions (i.e., less granular emotional experiences), we constructed a linear mixed effects model with distance within clusters as the dependent variable, emotion (distance within angry, happy, and sad clusters, respectively), group (autistic, non‐autistic), the interaction between emotion and group [independent variables], age, sex, non‐verbal reasoning, years of education, alexithymia, emotional vocabulary score, within valence conceptual distance, between valence conceptual distance, and mean definition word count [control variables] as predictors, and subject number as a random intercept. This revealed a main effect of emotion [F(2, 230) = 15.52, p < 0.001]: Distance within happy clusters was lowest [mean (SEM) = 12.30 (0.31)], followed by distance within angry clusters [mean (SEM) = 13.57 (0.26)], and distance within sad clusters [mean (SEM) = 13.65 (0.30)]. In addition, our analysis identified that between valence conceptual distance [F(1, 105) = 5.40, p = 0.022] was a significant positive predictor of distance within clusters: those with less differentiated conceptions of emotions (of opposite valence) typically had less differentiated experiences of similar emotions. We also identified that non‐verbal reasoning was a significant negative predictor of distance within clusters [F(1, 105) = 15.32, p < 0.001]. There was no main effect of group [F(1, 144.57) = 0.36, p = 0.549], nor an emotion × group interaction [F(2, 230) = 1.12, p = 0.327], and there were no other significant predictors of distance within clusters [all p > 0.05]. To probe the strength of evidence for these null effects, we conducted a follow‐up Bayesian ANOVA. There was anecdotal evidence against a main effect of group (BF01 = 2.60) and moderate evidence against an emotion × group interaction (BF01 = 6.67), suggesting there are no differences between the autistic and non‐autistic participants in the differentiation of similar emotional states.\n\n\n### No Differences Between Groups in Levels of Understanding of Emotion Concepts\nTo assess the understanding of emotion concepts, we compared the emotional vocabulary test scores of the autistic and non‐autistic participants. To do so, we ran a non‐parametric multiple regression of emotional vocabulary as a function of group (autistic, non‐autistic), age, sex, non‐verbal reasoning, years of education, alexithymia, and mean definition word count [control variables]. This analysis revealed that mean definition word count [t(108) = 3.63, p < 0.001] was a positive predictor, and age [t(108) = −2.90, p = 0.005] was a negative predictor of emotional vocabulary score: those who provided longer definitions, and those younger in age, typically had higher emotional vocabulary scores. There were no significant differences between the autistic participants and non‐autistic participants in emotional vocabulary score [t(108) = −1.64, p = 0.104]. A follow‐up Bayesian independent sample t‐test revealed anecdotal evidence for this null effect [BF01 = 2.49]. Together, our results suggest that there are no differences between groups in the understanding of emotion concepts.\n\n\n### No Differences Between Groups in the Differentiation of Semantic Emotion Concepts\nFollowing this, to determine whether autistic or non‐autistic people have more differentiated conceptions of emotions with the same and opposite valences, we constructed two simple linear models as a function of group (autistic, non‐autistic), age, sex, non‐verbal reasoning, years of education, alexithymia, and mean definition word count [control variables]. Across both models, mean definition word count was a negative predictor [between valence: F(1, 108) = −10.30, p = 0.002; within valence: F(1, 108) = −11.66, p < 0.001] and age [between valence: F(1, 108) = 5.18, p = 0.024; within valence: F(1, 108) = 8.33, p = 0.005] was a positive predictor: those who provided longer definitions, and those younger in age, tended to have lower conceptual distance scores, both for same‐valence and opposite‐valence emotions. There was no effect of group [between valence conceptual distance: F(1, 108) = 1.00, p = 0.320; within valence conceptual distance: F(1, 108) = 3.13, p = 0.080], nor any other significant predictors in both models [all p > 0.05]. In our follow‐up Bayesian independent samples t‐tests, there was moderate evidence for a null effect of group for both between valence conceptual distance [BF01 = 5.05] and within valence conceptual distance [BF01 = 3.66]. Together, the evidence suggests that there were no differences in the differentiation of semantic emotion concepts between autistic and non‐autistic participants.\nIn sum, we found no credible evidence for differences between autistic and non‐autistic individuals in emotional consistency, the differentiation of emotional experiences, or the understanding and differentiation of semantic emotion concepts, after controlling for alexithymia. Notably, in our sample, 15 of the non‐autistic participants scored above cut‐off for potential autism on the AQ (≥ 26) while six autistic participants scored below it (< 26). To ensure that the absence of significant group differences was not due to high autistic traits in the non‐autistic group and low traits in the autistic group—which could reduce between‐group differences—we excluded these participants and repeated our analyses. The pattern of results was unaffected by these exclusions; there were still no differences between the autistic and non‐autistic participants on our variables of interest (see Supporting Information D).\n\n\n### Different Combinations of Variables Are Important for Autistic and Non‐Autistic Emotion Recognition\nNext, we aimed to determine the factors contributing to autistic and non‐autistic emotion recognition via random forests analyses (Breiman 2001) with the Boruta wrapper algorithm (Lee and Wagenmakers 2014) (version 7.7.0; as in Keating and Cook 2023b and Keating et al. 2023). Across numerous iterations (here, 3000), this algorithm trains a random forest regression model on all predictor variables, as well as their permuted copies (known as “shadow features”), and classifies a variable as important (i.e., useful for predicting a target variable) when its importance score is higher than the maximum score amongst all shadow features (termed “shadowMax” in the analysis; see Mazzanti 2020 for an accessible summary of the Boruta wrapper algorithm). In this analysis, our outcome variable was mean emotion recognition accuracy. Predictors included the emotion‐related variables examined in this study: emotional consistency, distance between clusters, distance within clusters, emotional vocabulary score, within‐valence conceptual distance, and between‐valence conceptual distance. For exploratory purposes, we also included total AQ score, total TAS score, the AQ and TAS subscales (i.e., AQ social skills, AQ attention switching, AQ attention to detail, AQ communication, AQ imagination, TAS difficulties describing feelings, TAS difficulties identifying feelings, and TAS externally oriented thinking), non‐verbal reasoning ability, years of education, and age as predictors (thus following similar procedures to Keating and Cook 2023b and Keating et al. 2023), since these variables are also thought to be involved in emotion‐processing (Keating and Cook 2020, 2023b; Keating, Fraser, et al. 2022; Rump et al. 2009).\nFor the non‐autistic participants, of the 19 variables tested, three were classified as important, two were classified as tentatively important, and 14 were deemed unimportant. Figure 1 (left) illustrates that the distance within clusters [mean importance score (MIS) = 25.70], emotional vocabulary score [MIS = 9.43], and within valence conceptual distance [MIS = 7.89] were important for emotion recognition; distance between clusters [MIS = 6.06] and non‐verbal reasoning [MIS = 5.09] were tentatively important for emotion recognition. All other variables were deemed unimportant.\nRandom forest variable importances for non‐autistic (left) and autistic (right) participants. Variable importance of all 19 features entered into the Boruta random forest, displayed as boxplots. Box edges denote the interquartile range (IQR) between the first and third quartile; whiskers denote 1.5*IQR distance from box edges; circles represent outliers outside of 1.5*IQR above and below box edges. Box color denotes decision: Green—confirmed, yellow = tentative, red = rejected; gray = meta‐attributes shadowMin, shadowMax and shadowMean (minimum, maximum and mean variable importance attained by shadow features).\nIn comparison, for the autistic participants, four of the variables were classified as important, two tentatively important, and the remainder unimportant for emotion recognition. Figure 1 (right) shows that the distance between emotion clusters [MIS = 20.80], emotional vocabulary score [MIS = 14.31], the TAS difficulty identifying feelings subscale [MIS = 9.86], and between valence conceptual distance [MIS = 9.26] were deemed important; years of education [MIS = 7.56] and distance within clusters [MIS = 5.71] were tentatively important for emotion recognition. All other variables were classified as unimportant.\nNext, to verify the results from our random forests regression model, we constructed linear mixed effects models predicting mean emotion recognition accuracy with the important and tentatively important variables in the autistic and non‐autistic groups respectively. Since we identified a strong correlation between two variables of interest—distance between emotion clusters and distance within clusters [R = 0.851, p < 0.001]—we constructed two linear mixed effects models with near identical predictors but where one model included distance between emotion clusters and the other included distance within clusters. Thus, ensuring that parameter estimates were not compromised by collinearity issues (Johnston et al. 2018). In the model that excluded distance between clusters, distance within clusters [F(1, 54) = 8.55, p = 0.005] and non‐verbal reasoning [F(1, 54) = 4.32, p = 0.042] were significant positive predictors of non‐autistic emotion recognition. In the model that excluded distance within clusters, distance between clusters was a significant positive predictor of emotion recognition [F(1, 54) = 4.84, p = 0.032]. In sum, non‐autistic individuals who can more accurately distinguish between similar and distinct emotional states (see Figure 2) tend to excel in emotion recognition, aligning with previous findings (Keating and Cook 2023b).\nThe relationships between mean emotion recognition accuracy and distance between clusters, distance within clusters, and emotional vocabulary score, respectively, for the autistic (orange) and non‐autistic (green) participants.\nFollowing this, we constructed the relevant linear mixed effects models in the autistic group. In the model that excluded distance between clusters, emotional vocabulary score was a significant positive predictor of autistic emotion recognition [F(1, 52) = 5.31, p = 0.025]. There were no other significant predictors [all p > 0.05]. In the model that excluded distance within clusters, again emotional vocabulary score was the only significant predictor of emotion recognition for autistic people [F(1, 52) = 5.36, p = 0.025]. Thus, for autistic people, having a clear understanding of emotion concepts is linked to more accurate emotion recognition.\nIn sum, while being able to differentiate similar and distinct emotional states was linked to enhanced emotion recognition for non‐autistic individuals, having a greater understanding of emotion concepts predicted elevated emotion recognition for autistic people.\n\n\n### Exploratory Analyses: Emotion Differentiation Mediates the Relationship Between the Differentiation of Semantic Emotion Concepts and Emotion Recognition for Non‐Autistic People\nSince we had identified that between valence conceptual distance predicted distance between and within clusters, which both predicted emotion recognition performance for non‐autistic people, we conducted post hoc mediation analyses to explore whether between valence conceptual distance exerted an indirect effect on emotion recognition by influencing the distances between and within clusters. Here, we used structural equation modeling (SEM) for our mediation analyses, rather than standard regression models (Baron and Kenny 1986), as SEM is regarded “a more appropriate inference framework for mediation analyses” (Gunzler et al. 2013). We employed bias‐corrected bootstrapping (with 2000 replications) to create 95% confidence intervals (95% CI) as there is a consensus that this is the most powerful method for testing mediated effects (Cheung 2007; Fritz and MacKinnon 2007; MacKinnon et al. 2004; Valente et al. 2016). If these confidence intervals do not cross zero, there is evidence for the experimental hypothesis; if these confidence intervals cross zero, there is evidence for the null hypothesis (Foster et al. 2018).\nIn the first model, the predictor was between valence conceptual distance, the mediator was distance between clusters, and the outcome variable was emotion recognition accuracy. In the second model, the predictor was between valence conceptual distance, the mediator was distance within clusters, and the outcome variable was emotion recognition. Across all mediation models we controlled for relevant confounding variables (e.g., non‐verbal reasoning, AQ, TAS, years of education, emotional vocabulary score, mean definition word count) to enhance the internal validity of our findings.\nIn the first model, although there was no direct effect [z = −0.99, 95% CI = (−0.410, 0.200)] of between valence conceptual distance on emotion recognition, there was an indirect effect via distance between clusters [z = 1.94, 95% CI = (0.004, 0.333); see Figure 3, top]. This suggests a potential causal direction (though future studies are necessary to confirm this chain of causality); for non‐autistic people, having well‐differentiated conceptions of emotion may lead to individuals having well‐differentiated experiences of distinct emotions, and then in turn greater emotion recognition accuracy. Similarly, in the second model, there was no direct effect of between valence conceptual distance on emotion recognition [z = −1.39, 95% CI = (−0.450, 0.187)], but there was an indirect effect via distance within clusters [z = 2.18, 95% CI = (0.009, 0.437); see Figure 3, bottom.]. As such, for non‐autistic participants, having well‐differentiated conceptions of emotion may also lead to them having well‐differentiated experiences of similar emotions, and then in turn greater emotion recognition accuracy. Future studies employing causal manipulation are needed to confirm these chains of causality.\nMediation models showing the contribution of between valence conceptual distance to non‐autistic emotion recognition via distance between clusters (top) and distance within clusters (bottom). The asterisks (*) denote statistical significance according to confidence intervals.\nTo verify that these pathways were most plausible, we then swapped the position of distance between clusters and between valence conceptual distance, such that distance between clusters was the predictor and between‐valence conceptual distance was the mediator. Our analysis revealed that the indirect effect was not significant [z = −0.92, 95% CI = (−0.232, 0.034)]. Following this, we conducted the same analysis with distance within clusters, identifying once again that the indirect effect was not significant [z = −1.22, 95% CI = (−0.273, 0.031)]. Therefore, our results suggest that the most mathematically plausible pathway is as follows: having well differentiated conceptions of emotion may lead to more differentiated experiences of emotion, and then in turn better emotion recognition.\n\n\n### Discussion\nThe current study compared autistic and non‐autistic adults on emotional abilities thought to be involved in emotion recognition (e.g., emotional consistency, differentiation of experiences and concepts of emotion, and understanding of emotion concepts), and investigated the contribution of these factors to emotion recognition in both groups. Our results provide no credible evidence for differences between autistic and non‐autistic adults with respect to the consistency and differentiation of emotional experiences, nor the understanding or differentiation of semantic concepts of emotion. This held true across both complex statistical models (see Section 4) and simpler models with fewer predictors (see Supporting Information E), and in both the full sample and a more conservative subsample (excluding non‐autistic participants who scored above the cutoff on the AQ and autistic participants who scored below it; see Supporting Information D). This convergence across models and samples strengthens our confidence in the finding that autistic and non‐autistic individuals do not differ on these emotion‐related factors. However, notably, we identified differences in the traits, processes, and abilities involved in autistic and non‐autistic emotion recognition. Although for non‐autistic individuals, having more differentiated conceptualizations and experiences—for distinct (e.g., angry–happy, angry–sad, happy–sad) and similar (e.g., anger, irritation, frustration) emotions—was linked to enhanced emotion recognition, having a more precise understanding of emotion concepts (as indexed by more precise definitions of emotion terms) predicted emotion recognition for autistic people.\nThese findings significantly deepen our understanding of the processes and abilities involved in both autistic and non‐autistic emotion recognition. To the best of our knowledge, no studies to date have empirically tested the mechanistic pathway by which emotion concepts influence emotion recognition. As discussed in the Introduction, one possibility is that emotion concepts impact upon emotional experiences and emotion perceptions directly and independently; another possibility is that there are indirect effects among these variables. The current study suggests that the latter is more mathematically plausible; having well‐differentiated concepts of emotion may lead to (non‐autistic) individuals having well‐differentiated experiences of emotion, and then in turn greater emotion recognition accuracy. This chain of causality raises a hypothetical pathway by which these abilities develop from infancy to adulthood (i.e., emotion concepts become increasingly differentiated, leading to increasingly differentiated emotional experiences, and then in turn emotion perceptions). Nevertheless, further research employing causal manipulation and/or longitudinal methods is necessary to verify this chain of causality, and to test how and when these links arise developmentally. For example, future studies could assess our emotion‐related variables at baseline and then again following one of two interventions: (1) targeted training designed to improve participants' ability to differentiate the meanings of various emotions, and (2) an active control intervention focused on improving the ability to differentiate various colors. If those in the emotion‐focused intervention show greater improvements than those in the control condition—not only in differentiating semantic emotion concepts, but also in distinguishing their own or others' emotions—this would provide evidence for a causal link between these abilities. To further explore causality, researchers could examine whether the extent of improvement in differentiating semantic emotion concepts is associated with improvements in emotion differentiation or emotion recognition. If these associations are found, this would provide further evidence that enhancing the differentiation of semantic emotion concepts leads to downstream gains in emotion differentiation and recognition.\nSimilarly, these findings also significantly advance our understanding of the abilities and processes involved in autistic emotion recognition. Until now, the factors involved in autistic emotion recognition have remained elusive, with several studies finding that certain demographic factors, abilities, or processes important for non‐autistic emotion recognition are not important for autistic emotion recognition (Brewer et al. 2016; Rump et al. 2009; Keating et al. 2023; Keating, Sowden, et al. 2026). This has led to arguments that autistic people may adopt alternative, cognitively mediated strategies to recognize the emotions of other people (Rutherford and McIntosh 2007; Walsh et al. 2014). If this were true, one might expect a stronger link between emotion recognition performance and cognitive ability in autistic individuals compared to non‐autistic individuals. Supporting this, previous work has found that IQ (Keating, Sowden, et al. 2026) and mental age (Hobson 1986) are linked to enhanced emotion recognition performance for autistic but not non‐autistic people. Building on these findings, our study found that a stronger understanding of emotion terms was linked to enhanced emotion recognition for autistic people only. This lends further support to the idea that autistic people may follow alternative, cognitively mediated strategies to recognize the emotions of other people.\nThe results of the current study contradict previous findings suggesting that autistic individuals have less differentiated experiences and concepts of emotions (Erbas et al. 2013). There are numerous potential explanations for this discrepancy. First, in the analyses conducted here, we have controlled for alexithymia—an important confounding variable that was not controlled for in previous studies. Hence, it is possible that the autistic participants tested in previous studies had less differentiated experiences and concepts of emotion due to co‐occurring alexithymia, rather than due to autism itself, in line with the alexithymia hypothesis (Bird and Cook 2013). Second, it could be the case that autistic individuals have particular difficulties on emotion differentiation tasks that require them to translate their emotional experiences into words (e.g., the photo emotion differentiation task in Erbas et al. 2013), but do not exhibit differences with respect to tasks that purely focus on differentiating internal emotional states (such as our EmoMap task). Although this thesis is a possibility, it is not probable since, if this were the case, we would have expected our autistic participants to perform more poorly than their non‐autistic counterparts on the emotional vocabulary test. Third, this discrepancy in findings could arise due to differences in demographics. Although the sample in the current study comprised 58 autistic and 59 non‐autistic adults (with a mean age in each group of 33.26 and 32.27 years respectively), previous studies have tested younger samples (e.g., Erbas et al. (2013) tested 18 autistic and 26 non‐autistic adolescents with a mean age of 16.71 and 16.56 years, respectively). As such, it is possible that autistic individuals have particular difficulties differentiating experiences and concepts of emotions relative to their non‐autistic peers during adolescence, which disappear as they transition into adulthood. Further research is necessary to (a) replicate the results of the current study, and (b) formally test under what conditions and tasks (e.g., age, language‐based tasks) autistic people exhibit difficulties with emotion differentiation.\nThe results of the current study pave the way for future support systems to help both autistic and non‐autistic people to accurately recognize emotional facial expressions. Specifically, such systems could support non‐autistic individuals in distinguishing emotional experiences and concepts while helping autistic individuals deepen their understanding of emotion concepts—which could enhance emotion recognition in both groups. Indeed, recent work demonstrates the promise of this approach. This study used a five‐day intervention to deepen participants' understanding of emotion concepts and improve their ability to differentiate them by providing detailed information and encouraging comparisons between concepts (Vedernikova et al. 2021). This intervention had promising effects, successfully improving emotion concept knowledge and downstream emotion differentiation performance, relative to an active control group, immediately after training and at follow‐up a month later (Vedernikova et al. 2021). Such interventions have the potential for widespread benefits: Improved emotion differentiation is linked not only to accurate emotion recognition but also to adaptive emotion regulation, better psychosocial functioning, and reduced mental health difficulties (Smidt and Suvak 2015; Kashdan et al. 2015; Trull et al. 2015; Hoemann et al. 2021; Thompson et al. 2021; O'Toole et al. 2020; Seah and Coifman 2022). Further research is necessary to assess whether such interventions have longer term benefits for conceptual emotion knowledge and emotion differentiation, and to determine whether these interventions could have downstream benefits for autistic and non‐autistic emotion recognition.\nIt is important to address the limitations of our study with respect to sample generalizability. The participants in the current study were predominantly White (78.6%; see Supporting Information A), highly educated (47% with an undergraduate bachelor's degree or higher; see Supporting Information B), adults from the United Kingdom. As such, our sample may not be representative of those with lower levels of education or intellectual disabilities, or those from different racial, ethnic, or cultural backgrounds. While the inclusion of adults is a significant strength of this study, as this group is typically greatly underrepresented in autism research (just 21% of studies involve this group (Kirby and McDonald 2021)), it is important to note that our findings may not generalize to children and adolescents. As discussed, there may be differences between autistic and non‐autistic individuals in emotion‐processing during childhood and adolescence that disappear as they transition into adulthood. Finally, in the current study, our sample comprised a slightly higher number of females than males in both the autistic (53% female, 41% male) and non‐autistic (56% female, 44% male) groups. This is also a strength of the study, as women are often underrepresented in autism research (Watkins et al. 2014; Mo et al. 2021). However, since modern estimates indicate that there are two males to every one autistic female (D'Mello et al. 2022), our sample may not be representative of the autistic population more generally. Nevertheless, our post hoc tests demonstrate that there were no interactions between sex and group in our analyses comparing the autistic and non‐autistic individuals on emotion‐processing (see Supporting Information F). These results suggest that there are no differences between autistic and non‐autistic adults in emotional consistency, emotion differentiation, and the understanding or differentiation of emotion concepts, irrespective of sex. As such, our findings are likely to be representative of both males and females.\nFinally, although here we found no significant differences between autistic and non‐autistic adults on our emotion‐related variables, our Bayesian analyses only found anecdotal‐moderate evidence for these null effects. Specifically, we found anecdotal evidence that there are no differences between groups with respect to emotion differentiation [distance between clusters: BF01 = 1.24; distance within clusters: BF01 = 2.60] and the understanding of emotion terms [BF01 = 2.49], and moderate evidence with respect to emotional consistency [BF01 = 5.37] and the differentiation of semantic emotion concepts [between valence conceptual distance: BF01 = 5.05; within valence conceptual distance: BF01 = 3.66]. While the moderate evidence for these latter effects affords us confidence in our findings, future investigations should aim to replicate these results, and particularly those regarding emotion differentiation and the understanding of emotion terms. As this study was not pre‐registered, incorporating pre‐registered protocols in future work would further strengthen external confidence in our results. Consistent with our approach, such future investigations should control for alexithymia to ensure that any differences between groups truly arise due to autism, rather than due to underlying alexithymia.\nThis study found no differences between autistic and non‐autistic adults in the consistency or differentiation of their emotional experiences, nor their understanding or differentiation of semantic emotion concepts, after accounting for alexithymia. However, there were differences in the psychological mechanisms involved in autistic and non‐autistic emotion recognition. For non‐autistic people, the ability to differentiate one's own emotions contributed to enhanced emotion recognition. Although having more differentiated emotion concepts (indirectly) contributed to elevated emotion recognition for non‐autistic people, having a more precise understanding of emotion concepts contributed for autistic people. The results of the current study pave the way for future systems to help both autistic and non‐autistic people to more accurately recognize emotional facial expressions.\n\n\n### Implications\nThe results of the current study pave the way for future support systems to help both autistic and non‐autistic people to accurately recognize emotional facial expressions. Specifically, such systems could support non‐autistic individuals in distinguishing emotional experiences and concepts while helping autistic individuals deepen their understanding of emotion concepts—which could enhance emotion recognition in both groups. Indeed, recent work demonstrates the promise of this approach. This study used a five‐day intervention to deepen participants' understanding of emotion concepts and improve their ability to differentiate them by providing detailed information and encouraging comparisons between concepts (Vedernikova et al. 2021). This intervention had promising effects, successfully improving emotion concept knowledge and downstream emotion differentiation performance, relative to an active control group, immediately after training and at follow‐up a month later (Vedernikova et al. 2021). Such interventions have the potential for widespread benefits: Improved emotion differentiation is linked not only to accurate emotion recognition but also to adaptive emotion regulation, better psychosocial functioning, and reduced mental health difficulties (Smidt and Suvak 2015; Kashdan et al. 2015; Trull et al. 2015; Hoemann et al. 2021; Thompson et al. 2021; O'Toole et al. 2020; Seah and Coifman 2022). Further research is necessary to assess whether such interventions have longer term benefits for conceptual emotion knowledge and emotion differentiation, and to determine whether these interventions could have downstream benefits for autistic and non‐autistic emotion recognition.\n\n\n### Limitations and Future Directions\nIt is important to address the limitations of our study with respect to sample generalizability. The participants in the current study were predominantly White (78.6%; see Supporting Information A), highly educated (47% with an undergraduate bachelor's degree or higher; see Supporting Information B), adults from the United Kingdom. As such, our sample may not be representative of those with lower levels of education or intellectual disabilities, or those from different racial, ethnic, or cultural backgrounds. While the inclusion of adults is a significant strength of this study, as this group is typically greatly underrepresented in autism research (just 21% of studies involve this group (Kirby and McDonald 2021)), it is important to note that our findings may not generalize to children and adolescents. As discussed, there may be differences between autistic and non‐autistic individuals in emotion‐processing during childhood and adolescence that disappear as they transition into adulthood. Finally, in the current study, our sample comprised a slightly higher number of females than males in both the autistic (53% female, 41% male) and non‐autistic (56% female, 44% male) groups. This is also a strength of the study, as women are often underrepresented in autism research (Watkins et al. 2014; Mo et al. 2021). However, since modern estimates indicate that there are two males to every one autistic female (D'Mello et al. 2022), our sample may not be representative of the autistic population more generally. Nevertheless, our post hoc tests demonstrate that there were no interactions between sex and group in our analyses comparing the autistic and non‐autistic individuals on emotion‐processing (see Supporting Information F). These results suggest that there are no differences between autistic and non‐autistic adults in emotional consistency, emotion differentiation, and the understanding or differentiation of emotion concepts, irrespective of sex. As such, our findings are likely to be representative of both males and females.\nFinally, although here we found no significant differences between autistic and non‐autistic adults on our emotion‐related variables, our Bayesian analyses only found anecdotal‐moderate evidence for these null effects. Specifically, we found anecdotal evidence that there are no differences between groups with respect to emotion differentiation [distance between clusters: BF01 = 1.24; distance within clusters: BF01 = 2.60] and the understanding of emotion terms [BF01 = 2.49], and moderate evidence with respect to emotional consistency [BF01 = 5.37] and the differentiation of semantic emotion concepts [between valence conceptual distance: BF01 = 5.05; within valence conceptual distance: BF01 = 3.66]. While the moderate evidence for these latter effects affords us confidence in our findings, future investigations should aim to replicate these results, and particularly those regarding emotion differentiation and the understanding of emotion terms. As this study was not pre‐registered, incorporating pre‐registered protocols in future work would further strengthen external confidence in our results. Consistent with our approach, such future investigations should control for alexithymia to ensure that any differences between groups truly arise due to autism, rather than due to underlying alexithymia.\n\n\n### Conclusions\nThis study found no differences between autistic and non‐autistic adults in the consistency or differentiation of their emotional experiences, nor their understanding or differentiation of semantic emotion concepts, after accounting for alexithymia. However, there were differences in the psychological mechanisms involved in autistic and non‐autistic emotion recognition. For non‐autistic people, the ability to differentiate one's own emotions contributed to enhanced emotion recognition. Although having more differentiated emotion concepts (indirectly) contributed to elevated emotion recognition for non‐autistic people, having a more precise understanding of emotion concepts contributed for autistic people. The results of the current study pave the way for future systems to help both autistic and non‐autistic people to more accurately recognize emotional facial expressions.\n\n\n### Author Contributions\nC.T.K. and J.L.C. conceptualized and designed the study. C.T.K. and C.K. collected the data. C.T.K. and C.K. analyzed the data. C.T.K. wrote an initial draft. Supervision was conducted by J.L.C. All authors reviewed and provided feedback on the draft and approved the submitted manuscript.\n\n\n### Funding\nThis project was supported by the Medical Research Council (MRC, United Kingdom) (MR/R015813/1) and the European Union's Horizon 2020 Research and Innovation Programme under ERC‐2017‐STG (grant agreement no. 757583).\n\n\n### Ethics Statement\nThis study was approved by the Science, Technology, Engineering and Mathematics (STEM) ethics committee at the University of Birmingham (ERN_16‐0281AP9D) and conducted in line with the principles of the revised Helsinki Declaration.\n\n\n### Consent\nAll participants provided informed consent.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nData S1: aur70162‐sup‐0001‐supinfo.docx.", "domain": "affective_neuroscience"}
{"source": "PMC12948747", "title": "Mismatching Expressions: Spatiotemporal and Kinematic Differences in Autistic and Non‐Autistic Facial Expressions", "text": "# Mismatching Expressions: Spatiotemporal and Kinematic Differences in Autistic and Non‐Autistic Facial Expressions\n\n## Abstract\nPreliminary studies suggest there are differences in the facial expressions produced by autistic and non‐autistic individuals. However, it is unclear what specifically is different, whether such differences remain after controlling for facial morphology and alexithymia, and whether production differences relate to perception differences. Therefore, we (1) comprehensively compared the spatiotemporal and kinematic properties of autistic and non‐autistic expressions after controlling these factors, and (2) examined the contribution of production‐related variables to emotion perception. We used facial motion capture to record 2448 cued and 2448 spoken expressions of anger, happiness, and sadness from autistic and matched non‐autistic adults. Subsequently, we extracted the activation and jerkiness of numerous facial landmarks across time, generating over 265 million datapoints. Participants also completed an emotion recognition task. Autistic participants relied more on the mouth, and less on the eyebrows, to signal anger than their non‐autistic peers. For happiness, autistic participants showed a less exaggerated smile that also did not “reach the eyes.” For sadness, autistic participants tended to produce a downturned expression by raising their upper lip more than their non‐autistic peers. Alexithymia predicted less differentiated angry and happy expressions. For non‐autistic individuals, those who produced more precise spoken expressions had greater emotion recognition accuracy. No production‐related factors contributed to autistic emotion recognition. This mismatch could explain why autistic people find it difficult to recognize non‐autistic expressions, and vice versa; autistic and non‐autistic faces may be essentially “speaking a different language” when conveying emotion. This study compared the facial expressions produced by autistic and non‐autistic people. Our findings demonstrate that autistic and non‐autistic adults produce different angry, happy, and sad facial expressions, even after accounting for other interfering factors. This mismatch in facial expressions could explain why autistic people find it difficult to recognize non‐autistic expressions, and vice versa; autistic and non‐autistic faces may be essentially “speaking a different language” when it comes to conveying emotion. As such, what have previously been thought of as intrinsic emotion recognition “deficits” for autistic people may be more accurately described as difficulties resulting from cross‐neurotype interactions (i.e., interactions between autistic and non‐autistic people, as opposed to interactions between two autistic people). Further research is needed to test the impact of expressive differences on emotion recognition for autistic and non‐autistic people.\n\n## Full Text\n\n\n### Introduction\nEmotion recognition challenges in the autistic population are a topic of ongoing debate. Autism spectrum disorder (hereafter “autism”) is a neurodevelopmental condition, characterized by differences with social communication and interaction (American Psychiatric Association 2013). While not regarded a diagnostic feature, emotion recognition has been a focus of autism research for over three decades because it is thought that challenges in this area may contribute to putative social difficulties (Hobson 1986). Thus far, the majority of this literature has aimed to determine whether there are differences in emotion recognition between autistic and non‐autistic individuals [see Keating and Cook (2020)]. This work has yielded mixed findings [see Keating and Cook (2020)]: while some studies find differences in emotion recognition between groups, others find no differences, or emotion‐, task‐, or stimuli‐specific differences [e.g., in recognizing angry expressions (Ashwin et al. 2006; Bal et al. 2010; Brewer et al. 2016; Keating et al. 2022; Leung et al. 2019; Song and Hakoda 2018)]. Here, we focus on an under‐explored area: research shows that recognizing emotion from body movements is influenced by the way a person uses their own body to express emotion—here we extend this to the domain of facial expressions. We first ask whether autistic people move their faces in a different way when expressing emotions (compared to non‐autistic people); second, we question whether the production of one's own facial expressions relates to the recognition of others'.\nA burgeoning body of research suggests that the way we move our own bodies affects the way we label others' body movements. For example, leveraging evidence that fast movements tend to indicate anger and slow movements indicate sadness (Michalak et al. 2009; Montepare et al. 1987; Pollick et al. 2001; Roether et al. 2009; Sawada et al. 2003), Edey and colleagues (Edey et al. 2017) showed that people who typically walk fast tend to perceive others' fast movements as less intensely angry compared to people who typically walk slow; presumably because, for fast walkers high speed movement looks relatively “normal.” Conversely, slow movers perceived fast movements as appearing intensely angry. That is, the authors showed that people use their own typical walking speed as a benchmark against which to judge the movements of others, underscoring a connection between the production and perception of whole‐body movements.\nA breadth of evidence suggests that autistic individuals tend to move their bodies in different ways from non‐autistic individuals and that production differences might be linked to perception differences. Autistic individuals typically exhibit more jerky whole‐body (Nobile et al. 2011), upper limb (Anzulewicz et al. 2016; Cook, Blakemore, and Press 2013; Edey et al. 2016; Yang et al. 2014), and head (Torres and Denisova 2016) movements [see (Cook 2016)]. Importantly, (Cook et al. 2013) showed that within an autistic sample, greater jerkiness in body movements was associated with altered perception of biological motion. Autistic individuals who moved in a particularly jerky fashion were less likely to view smooth, minimally jerky, animations as “natural.” Thus, with respect to bodily movement, production differences have been linked to perception differences in the autistic population.\nPreliminary evidence suggests that there are differences in the facial expressions produced by autistic and non‐autistic people [see Keating and Cook (2020) and Trevisan et al. (2018)]. The majority of this evidence comes from studies where non‐autistic observers, blind to diagnostic status, make ratings about the accuracy, quality, general appearance, and/or intensity of autistic and non‐autistic facial expressions. Autistic expressions are generally perceived to be less accurate (i.e., less socially congruous), lower in quality, and “atypical” in appearance [see Keating and Cook (2020) and Trevisan et al. (2018)], being rated as odd, awkward, or mechanical by (non‐autistic) observers (Faso et al. 2015; Grossman et al. 2013; Loveland et al. 1994; Macdonald et al. 1989). Studies have also obtained ‘intensity’ ratings, though findings are mixed with some reporting that autistic expressions are perceived to be more intense (Faso et al. 2015; Grossman et al. 2013; Lampi et al. 2023), and others less intense (Loveland et al. 1994; Legiša et al. 2013; Stagg et al. 2014; Yoshimura et al. 2015) than their non‐autistic peers. These studies—in which non‐autistic observers subjectively rate expressions—suggest that there is something different about the facial expressions produced by autistic and non‐autistic people. If this is indeed the case, then perception differences might be linked to differences in the production of emotional facial expressions.\nA handful of studies have employed more objective measures to attempt to quantify the way in which facial expressions produced by autistic and non‐autistic people differ, however, a clear picture has not emerged. While some studies employing facial electromyography (fEMG) have reported reduced facial muscle activation in autism (Yirmiya et al. 1989), the majority of evidence contradicts that from subjective ratings, suggesting no differences in levels of facial muscle activation between groups (Rozga et al. 2013; Mathersul et al. 2013; Oberman et al. 2009). Notably, this lack of an effect could arise due to fEMG not being sensitive to differences in the activation of facial muscles: fEMG is typically limited to studying just two muscle groups—one responsible for frowning (corrugator supercili) and one responsible for smiling [zygomaticus major (Zane et al. 2019)]. However, while overall levels of facial muscle activation may not differ between groups, other research employing fEMG suggests that autistic children typically display less differentiated patterns of activation for positive and negative (Yirmiya et al. 1989) and happy, angry, and fearful (Rozga et al. 2013) facial expressions than their non‐autistic peers. This demonstrates that autistic individuals may produce more overlapping facial expressions across different emotions, even if mean levels of activation are similar.\nAn important consideration concerns facial morphology. In recent years, several studies have suggested that there may be subtle differences in facial morphology between autistic and non‐autistic individuals (Aldridge et al. 2011; Hosseini et al. 2022; Tripi et al. 2019; Tan et al. 2020). For example, using sophisticated three‐dimensional facial phenotyping, one study found that autistic people tend to have a broader mouth, upper face, and eye socket, combined with a flattened nasal bridge and shorter philtrum, relative to their non‐autistic peers (Aldridge et al. 2011). Thus, it could be that differences in the subjective appearance of expressions reflect differences in overall facial morphology (the shape and structure of the face) rather than differences in facial movement per se. Such differences in facial morphology may underpin subjective ratings of autistic expressions as odd or exaggerated (Faso et al. 2015; Grossman et al. 2013; Loveland et al. 1994; Macdonald et al. 1989; Lampi et al. 2023), because the appearance of different features contributes to judgments of facial expressions [e.g., intensity judgments; see (Diego‐Mas et al. 2020)]. Thus, any studies comparing autistic and non‐autistic facial expressions should aim to minimize the confounding influence of morphological differences.\nA further issue is that alexithymia has not been accounted for in most previous research. Alexithymia comprises a subclinical condition, highly prevalent in the autistic population (Kinnaird et al. 2019), characterized by difficulties identifying and describing one's own emotions (Nemiah et al. 1976). Popular theories argue that autistic individuals' difficulties with emotion‐processing are caused by co‐occurring alexithymia, and are therefore not a feature of autism per se (Bird and Cook 2013). To date, most of the support for this hypothesis comes from studies focusing on emotion recognition (Cook, Brewer, et al. 2013; Milosavljevic et al. 2016; Ola and Gullon‐Scott 2020) [though see (Keating et al. 2022)]. However, alexithymia is linked to proprioceptive differences [i.e., differences in perceiving the position and movement of the body (Georgiou et al. 2016; Murphy et al. 2018; Pollatos and Herbert 2018)], and proprioception is essential for accurate motor control of both the body and the face (Bard et al. 1995; Cobo et al. 2017; Hasan and Stuart 1988; Sainburg et al. 1995). Thus, it is plausible that alexithymia could be linked to differences in the production of facial expressions. Indeed, there is preliminary support for this idea: Trevisan et al. (2016) identified that alexithymic, but not autistic traits, were associated with reduced expressivity of spontaneous facial expressions in autistic and non‐autistic children. As such, any study comparing emotion recognition and production in autistic and non‐autistic individuals should model the contribution of alexithymia to avoid erroneously attributing differences to autism.\nIn sum, it is possible that differences in the ability to recognize others' facial expressions of emotion are linked to differences in the production of those same expressions. However, progress in identifying such production differences between autistic and non‐autistic people has been hindered by methodological limitations: studies have often used low‐sensitivity methods, failed to account for facial morphology, and have not modeled the contributions of alexithymia. These limitations likely contribute to the mixed findings in the literature, particularly for voluntarily posed expressions, where results regarding the intensity (Faso et al. 2015; Loveland et al. 1994; Lampi et al. 2023; Oberman et al. 2009; Zane et al. 2019) and recognisability (Brewer et al. 2016; Faso et al. 2015; Loveland et al. 1994; Macdonald et al. 1989; Lampi et al. 2023) of facial expressions (among other factors) are highly inconsistent. To make progress, research that addresses these factors is needed.\nWhen it comes to examining the relationship between production and perception, an important question is what features of one's own emotional expressions are likely to influence the perception of others' emotions? The body movement literature points a finger at relatively general aspects of movement: individuals who move in a more jerky manner show more extreme differences in labelling others' movements as natural (Cook, Blakemore, and Press 2013). By extension, one might predict that more jerky facial expressions are associated with reduced emotion recognition accuracy.\nHowever, a parallel literature concerning other domains of emotion‐processing draws attention to more specific features. This literature reports that those with more precise and/or differentiated emotional experiences or visual emotion representations tend to be better at recognizing the emotions of other people (Keating and Cook 2023; Keating et al. 2023, 2026; Keating and Cook 2022). In this context, precision refers to how consistently a person experiences or represents a specific emotion across instances (i.e., the narrowness of the signal), while differentiation refers to how distinct that experience or representation is from other emotions (i.e., how far the signals are from one another). Indeed, this literature has its roots in signal detection theory [see McNicol (2005)], which argues that ‘signal’ distribution and “noise” distributions that are imprecise (i.e., wide) and indistinct (i.e., overlapping) provide low sensitivity to discriminate between the “signal” and “noise.” In the domain of emotion expression, one might predict that an individual whose angry expressions are imprecise (i.e., inconsistent) and indistinguishable from their sad expression (i.e., not differentiated) would struggle to identify other people's angry and sad expressions—perhaps because it is difficult to determine whether the incoming facial expressions matches their own angry or sad signals. Offering preliminary support for this idea, one study found that participants who were trained to produce emotional facial expressions—using automated feedback that rewarded the correct activation of facial action units—showed greater improvements in emotion recognition on an independent task, relative to an active control group (Deriso et al. 2012). Notably, those who improved the most in recognizing emotions were also the ones who showed the greatest gains in the differentiation of their own facial expressions over the course of training (Deriso et al. 2012). This provides evidence for a link between the ability to produce distinct emotional expressions and the ability to recognize those emotions in others. It also suggests a potential extension of signal detection theory—traditionally applied to perceptual discrimination—into the domain of expression production. However, further research is needed to determine whether both the precision and differentiation of one's own emotional facial expressions contribute to accurate recognition of others'.\nIn the current study, we compared posed expressions of anger, happiness, and sadness from autistic and, age‐, sex‐ and IQ‐matched, non‐autistic adults, after controlling for facial morphology and alexithymia, across two conditions. Here, we focused specifically on voluntarily posed expressions—which are ubiquitous in everyday life, produced to deliberately communicate one's thoughts, intentions, and emotions to interaction partners (Parkinson 2005; Frith 2009; Jack and Schyns 2015)—to better characterize this type of expression within the autism literature, where findings have been mixed [e.g., (Brewer et al. 2016; Faso et al. 2015; Loveland et al. 1994; Macdonald et al. 1989; Lampi et al. 2023; Oberman et al. 2009; Zane et al. 2019)]. We included two conditions: (1) a cued condition, in which participants posed angry, happy, and sad facial expressions along to a series of audio cues, and (2) a spoken condition, in which participants posed the expressions while saying a standardized sentence. The inclusion of these two conditions was motivated by the fact that, in everyday life, we produce expressions both in isolation (without other concurrent movements, e.g., smiling politely while someone is talking to you), and while carrying out other movements like talking (e.g., smiling politely while talking to someone else). Despite the existence of these two types of expressions, thus far, much of the literature has solely focused on comparing ‘isolated’ posed expressions that are free from other kinds of movements. Therefore, it is unclear whether there are differences in the facial expressions posed by autistic and non‐autistic individuals when also carrying out other forms of movement (e.g., speech).\nHere, to record the expressions of anger, happiness and sadness, we employed facial motion capture. Recordings were standardized to a common avatar face to minimize effects of any morphological differences, and indices were calculated representing (a) the extent of activation and (b) the jerkiness of movement, of numerous facial landmarks across time. We examined the contribution of both autism and alexithymia to differences in the expression of anger, happiness and sadness. Finally, we explored whether features of participants' own facial movements contributed to their ability to recognize others' dynamic emotional expressions.\nBased on findings that autistic people tend to exhibit more jerky whole‐body (Nobile et al. 2011), upper limb (Anzulewicz et al. 2016; Cook, Blakemore, and Press 2013; Edey et al. 2016; Yang et al. 2014), and head (Torres and Denisova 2016) movements [see Cook (2016)], we predicted that autistic participants would display significantly more jerky facial expressions than their non‐autistic counterparts. We made no formal predictions regarding the magnitude of activation of facial landmarks since this evidence was highly mixed (Faso et al. 2015; Grossman et al. 2013; Loveland et al. 1994; Macdonald et al. 1989; Lampi et al. 2023; Legiša et al. 2013; Stagg et al. 2014; Yoshimura et al. 2015; Yirmiya et al. 1989; Rozga et al. 2013), and potentially confounded by alexithymia (Keating and Cook 2020; Trevisan et al. 2016). Finally, in line with signal detection theory (McNicol 2005) and previous findings (Keating and Cook 2023; Keating et al. 2023, 2026; Keating and Cook 2022), we predicted that the precision and differentiation of participants' own productions would contribute to their ability to recognize others' facial expressions.\n\n\n### Current Study\nIn the current study, we compared posed expressions of anger, happiness, and sadness from autistic and, age‐, sex‐ and IQ‐matched, non‐autistic adults, after controlling for facial morphology and alexithymia, across two conditions. Here, we focused specifically on voluntarily posed expressions—which are ubiquitous in everyday life, produced to deliberately communicate one's thoughts, intentions, and emotions to interaction partners (Parkinson 2005; Frith 2009; Jack and Schyns 2015)—to better characterize this type of expression within the autism literature, where findings have been mixed [e.g., (Brewer et al. 2016; Faso et al. 2015; Loveland et al. 1994; Macdonald et al. 1989; Lampi et al. 2023; Oberman et al. 2009; Zane et al. 2019)]. We included two conditions: (1) a cued condition, in which participants posed angry, happy, and sad facial expressions along to a series of audio cues, and (2) a spoken condition, in which participants posed the expressions while saying a standardized sentence. The inclusion of these two conditions was motivated by the fact that, in everyday life, we produce expressions both in isolation (without other concurrent movements, e.g., smiling politely while someone is talking to you), and while carrying out other movements like talking (e.g., smiling politely while talking to someone else). Despite the existence of these two types of expressions, thus far, much of the literature has solely focused on comparing ‘isolated’ posed expressions that are free from other kinds of movements. Therefore, it is unclear whether there are differences in the facial expressions posed by autistic and non‐autistic individuals when also carrying out other forms of movement (e.g., speech).\nHere, to record the expressions of anger, happiness and sadness, we employed facial motion capture. Recordings were standardized to a common avatar face to minimize effects of any morphological differences, and indices were calculated representing (a) the extent of activation and (b) the jerkiness of movement, of numerous facial landmarks across time. We examined the contribution of both autism and alexithymia to differences in the expression of anger, happiness and sadness. Finally, we explored whether features of participants' own facial movements contributed to their ability to recognize others' dynamic emotional expressions.\n\n\n### Hypotheses\nBased on findings that autistic people tend to exhibit more jerky whole‐body (Nobile et al. 2011), upper limb (Anzulewicz et al. 2016; Cook, Blakemore, and Press 2013; Edey et al. 2016; Yang et al. 2014), and head (Torres and Denisova 2016) movements [see Cook (2016)], we predicted that autistic participants would display significantly more jerky facial expressions than their non‐autistic counterparts. We made no formal predictions regarding the magnitude of activation of facial landmarks since this evidence was highly mixed (Faso et al. 2015; Grossman et al. 2013; Loveland et al. 1994; Macdonald et al. 1989; Lampi et al. 2023; Legiša et al. 2013; Stagg et al. 2014; Yoshimura et al. 2015; Yirmiya et al. 1989; Rozga et al. 2013), and potentially confounded by alexithymia (Keating and Cook 2020; Trevisan et al. 2016). Finally, in line with signal detection theory (McNicol 2005) and previous findings (Keating and Cook 2023; Keating et al. 2023, 2026; Keating and Cook 2022), we predicted that the precision and differentiation of participants' own productions would contribute to their ability to recognize others' facial expressions.\n\n\n### Method\nThis study was approved by the Science, Technology, Engineering and Mathematics (STEM) ethics committee at the University of Birmingham (ERN_16‐0281AP9D) and conducted in line with the principles of the revised Helsinki Declaration. All participants provided informed consent.\nTwenty‐five autistic and 26 age‐, sex‐, and IQ‐matched non‐autistic participants were recruited from local autism research databases and through a university mailing list. Our sample size was determined through an a priori power calculation using GLIMMPSE (Kreidler et al. 2013). To have 90% power to detect a small difference between the autistic and non‐autistic participants in our outcome variables (Cohen's d = 0.25) at p < 0.05, 25 participants were required in each group, with 16 repetitions of each emotional expression (angry, happy, and sad) in each condition (cued and spoken) per participant.\nAll autistic participants had previously received a clinical diagnosis of autism spectrum disorder from an independent clinician. The autistic participants had significantly higher autism quotient (AQ) scores (Baron‐Cohen et al. 2001) than the non‐autistic participants (see Table 1.), with a mean AQ score comparable to large autistic population samples (e.g., 35.19) (Ruzich et al. 2015). Participants' ethnicities are reported in Supporting Information A.\nMeans, standard deviations, and group differences of participant characteristics.\nNote: In the central columns, means are followed by standard deviation in parentheses. Age is in years.\nAbbreviations: AQ: autism quotient; IQ: intelligence quotient; TAS: Toronto Alexithymia Scale.\nIn accordance with participatory research guidelines (Fletcher‐Watson et al. 2019; Keating 2021), members of the autism community provided feedback on our research, which led to several changes prior to data collection. For example, community members suggested dividing the 16 trials per emotion, per condition into two shorter blocks to help reduce fatigue. They also recommended that participants complete the trials for all emotions in one expression condition first (i.e., spoken angry, spoken happy, and spoken sad), and then move on to the other (i.e., cued angry, cued happy, and cued sad), to minimize the strain of repeatedly using the same facial muscles. In addition, they advised that the testing setup should accommodate both standing and seated recordings, to support participants with physical disabilities. They also recommended informing participants in advance that they would need to remove their glasses and tie back their hair if relevant—allowing individuals to prepare in ways that felt most comfortable, such as choosing to wear contact lenses or bringing their own hairbands. Several other suggestions were considered and helped shape a more accessible and inclusive study design. We carefully considered this feedback and incorporated the recommendations into our study design.\nParticipants first completed online questionnaires and tasks assessing autistic traits [Autism Quotient (Baron‐Cohen et al. 2001)], alexithymia [Toronto Alexithymia Scale (Bagby et al. 1994)], and emotion recognition [PLF Emotion Recognition Task (Sowden et al. 2021)]. In‐lab, participants completed our FaceMap paradigm and then the two‐subtest version of the Weschler Abbreviated Scale for Intelligence (WASI‐II) (Wechsler 2011). All data were collected between January and November 2022.\nThe level of autistic traits was assessed via the Autism Quotient (Baron‐Cohen et al. 2001). This self‐report questionnaire is scored on a range from 0 to 50, with higher scores representing higher levels of autistic characteristics.\nThe level of alexithymic traits was measured via the 20‐item Toronto Alexithymia Scale (Bagby et al. 1994). The TAS comprises 20 items rated on a five‐point Likert scale (ranging from 1, strongly disagree, to 5, strongly agree). Total scores on the TAS can range from 20 to 100, with higher scores indicating higher levels of alexithymia.\nParticipants' emotion recognition performance was assessed using the PLF Emotion Recognition Task [as in (Keating et al. 2022; Sowden et al. 2021)]. In this task, participants viewed silent, dynamic point‐light displays of the face (PLFs) which depicted actors saying sentences while expressing anger, happiness, or sadness. The audio was intentionally removed, in line with previous studies (Keating et al. 2022; Edey et al. 2017; Sowden et al. 2021), to ensure that participants relied solely on facial movements—not vocal cues—to interpret emotion. This was critical for isolating the visual component of emotional expression and examining its relationship with expression production. On each trial, after viewing each PLF video, participants rated how angry, happy, and sad the actor appeared on three visual analogue scales ranging from 0 (“Not at all angry/happy/sad”) to 10 (“Very angry/happy/sad”). Participants completed three practice trials followed by 108 randomly ordered experimental trials, across three blocks. Breaks were offered between blocks. Emotion recognition accuracy was calculated using a differentiation‐based measure: for each trial, the average of the two incorrect emotion ratings was subtracted from the correct emotion rating. This metric reflects not only whether the target emotion was identified, but also how clearly it was discriminated from the competing alternatives (see Supporting Information B for analyses using raw intensity ratings).\nBefore starting the FaceMap paradigm, participants were instructed to remove any glasses and tie back any long hair to avoid obstruction to the face. Taking inspiration from previous research (Sowden et al. 2021), we employed the FaceMap paradigm to record facial movements during two conditions: a spoken condition and a cued condition.\nIn the spoken condition, participants were asked to say a standardized sentence (“my name is Jo and I'm a scientist”) while displaying the target emotion (anger, happiness, or sadness). This ensured that any speech‐related facial movements were held constant across individuals and emotions, enabling meaningful comparisons of emotional expression despite the presence of articulatory movement. Before the recordings began, participants were given the following instructions: “We will now ask you to imagine you are in a number of emotional states and to say a sentence whilst moving your face in a way which displays the facial expression for this emotion. Please imagine that you're experiencing the emotion as strongly as you can and then pose the emotion as clearly as possible. Try to think about what your own genuine expression looks like for the emotion and repeat it on each trial.” They were told the procedure would be as follows:\n“We will ask you to imagine you are in that emotional state as strongly as you can. Tell the experimenter when you are ready.”“A beep will then signal when you should start saying the sentence.”“A long beep will mean the recording has finished and you can relax.”\n“We will ask you to imagine you are in that emotional state as strongly as you can. Tell the experimenter when you are ready.”\n“A beep will then signal when you should start saying the sentence.”\n“A long beep will mean the recording has finished and you can relax.”\nTo help participants understand the task, we showed short example videos of an actor saying a different sentence (“Today I ate cereal for breakfast”) in either a neutral or surprised manner—emotions not used in the experimental trials. Participants then completed two practice trials for each emotion (two angry, two happy, and two sad). Subsequently, they completed two experimental blocks, with participants posing eight angry, eight happy, and eight sad expressions per block (totalling 16 expressions for each emotion), counterbalanced across participants. For each trial, they were asked to imagine they were experiencing the target emotion as intensely as possible and to inform the experimenter when they felt ready. The experimenter then initiated the trial by saying “the recording is about to start” and activating a beep. Participants completed all eight trials for that block in sequence.\nIn the cued condition, participants were asked to pose facial expressions in response to a timed sequence of auditory cues. They were given the following instructions: “We will now ask you to imagine you are in a number of emotional states and to pose facial expressions in a different way. Please imagine that you're experiencing the emotion as strongly as you can and then pose the emotion as clearly as possible. Try to think about what your own genuine expression looks like for the emotion and repeat it on each trial.” They were then told the procedure would be as follows:\n“We will ask you to imagine you are in that emotional state as strongly as you can.”“When you are ready, listen for the first beep. At this beep, pose a neutral facial expression.”“You will then hear a second, higher‐pitched beep. At this point, move your face in your own time from the neutral expression into the target facial expression we've asked you to pose.”“Hold the expression until you hear a third, lower‐pitched beep, at which point return your face to a neutral expression.”“A final long beep will signal that the recording has ended.”\n“We will ask you to imagine you are in that emotional state as strongly as you can.”\n“When you are ready, listen for the first beep. At this beep, pose a neutral facial expression.”\n“You will then hear a second, higher‐pitched beep. At this point, move your face in your own time from the neutral expression into the target facial expression we've asked you to pose.”\n“Hold the expression until you hear a third, lower‐pitched beep, at which point return your face to a neutral expression.”\n“A final long beep will signal that the recording has ended.”\nThis sequence followed a fixed timing structure: beeps were spaced at 3 s intervals, resulting in a total recording duration of 9 s per trial. Participants thus posed neutral in synchrony with the first beep, the target emotion on the second beep, returning to neutral at the third, with the recording ending after the fourth beep.\nTo help participants understand the task, we showed example videos of an actor posing surprised and disgusted expressions using this same timing sequence—emotions not used in the experimental trials. Participants then completed two practice trials for each of the three emotions (two angry, two happy, and two sad). They subsequently completed two experimental blocks, each comprising eight trials per emotion (anger, happiness, and sadness), counterbalanced across participants—totalling 16 trials for each emotion. As in the spoken condition, participants were asked to imagine experiencing the target emotion as strongly as possible and then to inform the experimenter when they felt ready. The experimenter then initiated the trial by saying “the recording is about to start” and activating a beep.\nTo facilitate the recordings, participants stood (or sat) 30 cm from an iPhone 12 mounted on a tripod with a ring light. Facial expressions were recorded using the Rokoko Face Capture tool. Rokoko employs Apple ARKit technology, which has been validated for facial motion tracking and is recommended for analyzing the facial movements of those with movement‐related conditions [e.g., autism (Taeger et al. 2021; Oh Kruzic et al. 2020)]. The ARKit technology employs a True Depth Camera that projects over 30,000 invisible dots to create infrared image representation of the face (Nhan 2022; Vilchis et al. 2023), which can be then used to extract levels of activation of 52 facial blendshapes, and the X, Y, and Z coordinates of specific landmarks. Before release, this technology was extensively tested across diverse ages and ethnicities, ensuring its suitability for tracking facial movements in individuals with varied face morphologies (Panzarino 2017).\nThe Intelligence Quotient (IQ) of participants was assessed via the two‐subtest version of the WASI‐II (Wechsler 2011). The two‐subtest form consists of vocabulary and matrix reasoning assessments. Scores on the WASI range from 70 to 160, with higher scores representing higher intelligence.\nAs discussed, preliminary literature suggests possible differences in facial morphology between autistic and non‐autistic individuals (Aldridge et al. 2011; Hosseini et al. 2022; Tripi et al. 2019; Tan et al. 2020), necessitating control for such differences when comparing emotional expressions. To address this, facial expression recordings were retargeted onto a common avatar face (using Blender) before data extraction (see https://osf.io/8a5yw/ for retargeting script).\nTo do so, we first extracted the activation of 52 facial action “blendshapes” across all timepoints by analyzing the infrared map (described above) with Apple's open‐source neural network algorithm. These blendshapes, akin to facial action units (e.g., EyeSquintLeft, BrowInnerUp, MouthSmileLeft), have activation scores ranging from zero (no activation) to one (peak activation). For the purposes of our statistical analyses, we used the activation data directly, but excluded the eight gaze‐related blendshapes (e.g., eyeLookUpLeft, eyeLookDownRight), leaving 44 blendshapes for analysis (see Supporting Information C for blendshape order). These data were extracted across all timepoints in the recordings—382 frames in the spoken condition and 540 in the cued condition—for the angry, happy, and sad expressions (96) of all participants (51).\nWe then applied the extracted activation values to animate a uniform 3D face model on Blender, ensuring that all facial movements were rendered on an identical facial structure (see https://osf.io/8a5yw/). Then, drawing inspiration from the OpenFace toolkit (Baltrušaitis et al. 2016), we defined 68 facial landmarks on the avatar (see Figure S1) and extracted their X, Y, and Z coordinates across time. This process ensured that all expressions were mapped onto the same facial geometry and scale, removing the influence of individual facial structure on the extracted motion features. By retargeting expressions to a common template, the displacement of facial landmarks—and therefore movement jerk at these facial landmarks—were made directly comparable across autistic and non‐autistic participants, reflecting true differences in expression dynamics rather than underlying morphological variation. After extracting these co‐ordinates, we calculated absolute jerk as the third order derivative of the raw co‐ordinates, for each of the facial landmarks (Fletcher‐Watson et al. 2019) across all timepoints (378 in spoken condition and 536 in cued condition) in the recordings. In our implementation, this involved sequentially computing movement (change in position), velocity (change in movement), acceleration (change in velocity), and then jerk (change in acceleration) from the co‐ordinate data over time. Each successive difference shortens the series by one frame, so jerk is defined over N minus four timepoints; accordingly, the first four frames of each trial do not yield valid jerk values. Here, jerk captures the smoothness or abruptness of movement, with higher values indicating more rapid changes in acceleration, and lower values reflecting smoother transitions.\nBy drawing inspiration from OpenFace (Baltrušaitis et al. 2016) while using the Rokoko Face Capture tool, we were able to: (1) enable comparisons with previous studies that used OpenFace; (2) conduct analyses using three‐dimensional movement data, rather than the standard two‐dimensional data typically analyzed by OpenFace; and (3) overcome the limitations of OpenFace that have been identified in prior research—specifically, difficulties in accurately tracking facial landmarks (i.e., estimating the coordinates of facial points) and in reliably estimating the activation of certain facial action units (e.g., quantifying the degree of muscle activation) (Fydanaki and Geradts 2018; Namba et al. 2021; Savin et al. 2021).\nIn sum, here we have two forms of data capturing different aspects of facial expression. The blendshape data quantify the activation of 44 specific groups of facial muscles (e.g., BrowInnerUp, MouthSmileLeft) across time, via values ranging from 0 (no activation) to 1 (maximum activation). The landmark data, in contrast, provide the X, Y, and Z coordinates of 68 fixed points on the face (e.g., corners of the eyes or mouth) across time. These coordinates were used to compute jerk (change in acceleration), capturing the smoothness of facial motion. Thus, blendshape data describe what movements occurred, while landmark data describe how those movements unfolded over time.\nSpoken recordings were resampled using the resample() function in MATLAB to ensure uniform length for statistical comparisons. This approach uses interpolation to generate an evenly spaced time series that preserves the overall shape and temporal structure of the original signal while adjusting its length. Resampling is a widely used and valid method in time‐series analysis and has been successfully applied in prior studies involving kinematic data [e.g., Cook, Blakemore, and Press (2013) and Hickman et al. (2024)]. Notably, before resampling, there was no difference in the duration of spoken expressions between the autistic and non‐autistic participants, across all three emotions (p > 0.05). Resampling was not necessary for the cued condition, as all recordings were already equal in length.\nAs discussed, we theorized that mean levels of jerk or activation, and/or the precision (i.e., consistency of same emotional expression) and differentiation (i.e., differentiation across different emotional expressions) of one's own facial expressions could contribute to the ability to recognize others' expressions. As such, we calculated indices for each of these for both the cued and spoken expressions, in terms of both jerk and activation.\nFirst, to get an index of the overall level of jerk and activation for cued and spoken expressions, we calculated the mean of (a) jerk and (b) activation across timepoints, landmarks, repetitions and emotions, for each condition.\nPrecision scores measure how consistently a person expresses the same emotion across repetitions. These scores were calculated in four steps, separately for each participant and for each emotion. First, for each of the 68 landmarks (for jerk) or 44 blendshapes (for activation), we calculated the mean value across all timepoints within each recording (i.e., for each of the 16 repetitions). Second, we computed the standard deviation of these means across the 16 repetitions, yielding a measure of variability in jerk or activation for each landmark or blendshape. Third, we calculated the average of these variability scores across all landmarks or blendshapes, resulting in a single overall variability score per emotion. Finally, we multiplied the variability score by −1 so that higher values indicated greater precision (i.e., lower variability across repetitions). This produced one precision score per emotion (anger, happiness, sadness), for both jerk and activation, which were then averaged across emotions to yield overall precision scores for the cued and spoken conditions. Higher precision scores indicate that a participant expressed an emotion in a more precise (or consistent) manner across repetitions.\nDifferentiation scores quantify the extent to which a person's facial expressions for one emotion differs from the facial expression for another emotion. These scores were calculated in three steps: (1) we averaged jerk and activation across repetitions and timepoints for each landmark/blendshape; (2) we calculated the absolute difference in jerk and activation between emotion pairs (angry‐happy, angry‐sad, and happy‐sad) at each landmark; and (3) we averaged these differences across landmarks to obtain a single differentiation score for each emotion pair. Finally, we averaged across emotion pairs to obtain an overall mean differentiation score for both cued and spoken expressions in terms of jerk and activation (e.g., cued jerk differentiation, cued activation differentiation, spoken jerk differentiation, and spoken jerk activation).\nOur analyses comparing the facial expressions produced by autistic and non‐autistic individuals were conducted using MATLAB (version 2022b). Random forest and linear regression analyses assessing the contribution of emotion‐production factors to emotion recognition were conducted using R Studio (version 2021.09.2). Bayesian analyses were conducted in JASP (version 0.17.2.1). Heatmaps were generated using Blender (version 3.6.5). For all permutation test analyses comparing autistic and non‐autistic facial expressions (see description below), we employed an alpha of 0.05 to determine statistical significance. For all Bayesian analyses, we followed the classification scheme used in JASP (Lee and Wagenmakers 2014), in which BF10 values between one and three reflect weak evidence, between 3 and 10 reflect moderate evidence, greater than 10 reflect strong evidence, and greater than 100 reflect extreme evidence for the experimental hypothesis.\n\n\n### Participants\nTwenty‐five autistic and 26 age‐, sex‐, and IQ‐matched non‐autistic participants were recruited from local autism research databases and through a university mailing list. Our sample size was determined through an a priori power calculation using GLIMMPSE (Kreidler et al. 2013). To have 90% power to detect a small difference between the autistic and non‐autistic participants in our outcome variables (Cohen's d = 0.25) at p < 0.05, 25 participants were required in each group, with 16 repetitions of each emotional expression (angry, happy, and sad) in each condition (cued and spoken) per participant.\nAll autistic participants had previously received a clinical diagnosis of autism spectrum disorder from an independent clinician. The autistic participants had significantly higher autism quotient (AQ) scores (Baron‐Cohen et al. 2001) than the non‐autistic participants (see Table 1.), with a mean AQ score comparable to large autistic population samples (e.g., 35.19) (Ruzich et al. 2015). Participants' ethnicities are reported in Supporting Information A.\nMeans, standard deviations, and group differences of participant characteristics.\nNote: In the central columns, means are followed by standard deviation in parentheses. Age is in years.\nAbbreviations: AQ: autism quotient; IQ: intelligence quotient; TAS: Toronto Alexithymia Scale.\n\n\n### Community Involvement\nIn accordance with participatory research guidelines (Fletcher‐Watson et al. 2019; Keating 2021), members of the autism community provided feedback on our research, which led to several changes prior to data collection. For example, community members suggested dividing the 16 trials per emotion, per condition into two shorter blocks to help reduce fatigue. They also recommended that participants complete the trials for all emotions in one expression condition first (i.e., spoken angry, spoken happy, and spoken sad), and then move on to the other (i.e., cued angry, cued happy, and cued sad), to minimize the strain of repeatedly using the same facial muscles. In addition, they advised that the testing setup should accommodate both standing and seated recordings, to support participants with physical disabilities. They also recommended informing participants in advance that they would need to remove their glasses and tie back their hair if relevant—allowing individuals to prepare in ways that felt most comfortable, such as choosing to wear contact lenses or bringing their own hairbands. Several other suggestions were considered and helped shape a more accessible and inclusive study design. We carefully considered this feedback and incorporated the recommendations into our study design.\n\n\n### Procedures\nParticipants first completed online questionnaires and tasks assessing autistic traits [Autism Quotient (Baron‐Cohen et al. 2001)], alexithymia [Toronto Alexithymia Scale (Bagby et al. 1994)], and emotion recognition [PLF Emotion Recognition Task (Sowden et al. 2021)]. In‐lab, participants completed our FaceMap paradigm and then the two‐subtest version of the Weschler Abbreviated Scale for Intelligence (WASI‐II) (Wechsler 2011). All data were collected between January and November 2022.\nThe level of autistic traits was assessed via the Autism Quotient (Baron‐Cohen et al. 2001). This self‐report questionnaire is scored on a range from 0 to 50, with higher scores representing higher levels of autistic characteristics.\nThe level of alexithymic traits was measured via the 20‐item Toronto Alexithymia Scale (Bagby et al. 1994). The TAS comprises 20 items rated on a five‐point Likert scale (ranging from 1, strongly disagree, to 5, strongly agree). Total scores on the TAS can range from 20 to 100, with higher scores indicating higher levels of alexithymia.\nParticipants' emotion recognition performance was assessed using the PLF Emotion Recognition Task [as in (Keating et al. 2022; Sowden et al. 2021)]. In this task, participants viewed silent, dynamic point‐light displays of the face (PLFs) which depicted actors saying sentences while expressing anger, happiness, or sadness. The audio was intentionally removed, in line with previous studies (Keating et al. 2022; Edey et al. 2017; Sowden et al. 2021), to ensure that participants relied solely on facial movements—not vocal cues—to interpret emotion. This was critical for isolating the visual component of emotional expression and examining its relationship with expression production. On each trial, after viewing each PLF video, participants rated how angry, happy, and sad the actor appeared on three visual analogue scales ranging from 0 (“Not at all angry/happy/sad”) to 10 (“Very angry/happy/sad”). Participants completed three practice trials followed by 108 randomly ordered experimental trials, across three blocks. Breaks were offered between blocks. Emotion recognition accuracy was calculated using a differentiation‐based measure: for each trial, the average of the two incorrect emotion ratings was subtracted from the correct emotion rating. This metric reflects not only whether the target emotion was identified, but also how clearly it was discriminated from the competing alternatives (see Supporting Information B for analyses using raw intensity ratings).\nBefore starting the FaceMap paradigm, participants were instructed to remove any glasses and tie back any long hair to avoid obstruction to the face. Taking inspiration from previous research (Sowden et al. 2021), we employed the FaceMap paradigm to record facial movements during two conditions: a spoken condition and a cued condition.\nIn the spoken condition, participants were asked to say a standardized sentence (“my name is Jo and I'm a scientist”) while displaying the target emotion (anger, happiness, or sadness). This ensured that any speech‐related facial movements were held constant across individuals and emotions, enabling meaningful comparisons of emotional expression despite the presence of articulatory movement. Before the recordings began, participants were given the following instructions: “We will now ask you to imagine you are in a number of emotional states and to say a sentence whilst moving your face in a way which displays the facial expression for this emotion. Please imagine that you're experiencing the emotion as strongly as you can and then pose the emotion as clearly as possible. Try to think about what your own genuine expression looks like for the emotion and repeat it on each trial.” They were told the procedure would be as follows:\n“We will ask you to imagine you are in that emotional state as strongly as you can. Tell the experimenter when you are ready.”“A beep will then signal when you should start saying the sentence.”“A long beep will mean the recording has finished and you can relax.”\n“We will ask you to imagine you are in that emotional state as strongly as you can. Tell the experimenter when you are ready.”\n“A beep will then signal when you should start saying the sentence.”\n“A long beep will mean the recording has finished and you can relax.”\nTo help participants understand the task, we showed short example videos of an actor saying a different sentence (“Today I ate cereal for breakfast”) in either a neutral or surprised manner—emotions not used in the experimental trials. Participants then completed two practice trials for each emotion (two angry, two happy, and two sad). Subsequently, they completed two experimental blocks, with participants posing eight angry, eight happy, and eight sad expressions per block (totalling 16 expressions for each emotion), counterbalanced across participants. For each trial, they were asked to imagine they were experiencing the target emotion as intensely as possible and to inform the experimenter when they felt ready. The experimenter then initiated the trial by saying “the recording is about to start” and activating a beep. Participants completed all eight trials for that block in sequence.\nIn the cued condition, participants were asked to pose facial expressions in response to a timed sequence of auditory cues. They were given the following instructions: “We will now ask you to imagine you are in a number of emotional states and to pose facial expressions in a different way. Please imagine that you're experiencing the emotion as strongly as you can and then pose the emotion as clearly as possible. Try to think about what your own genuine expression looks like for the emotion and repeat it on each trial.” They were then told the procedure would be as follows:\n“We will ask you to imagine you are in that emotional state as strongly as you can.”“When you are ready, listen for the first beep. At this beep, pose a neutral facial expression.”“You will then hear a second, higher‐pitched beep. At this point, move your face in your own time from the neutral expression into the target facial expression we've asked you to pose.”“Hold the expression until you hear a third, lower‐pitched beep, at which point return your face to a neutral expression.”“A final long beep will signal that the recording has ended.”\n“We will ask you to imagine you are in that emotional state as strongly as you can.”\n“When you are ready, listen for the first beep. At this beep, pose a neutral facial expression.”\n“You will then hear a second, higher‐pitched beep. At this point, move your face in your own time from the neutral expression into the target facial expression we've asked you to pose.”\n“Hold the expression until you hear a third, lower‐pitched beep, at which point return your face to a neutral expression.”\n“A final long beep will signal that the recording has ended.”\nThis sequence followed a fixed timing structure: beeps were spaced at 3 s intervals, resulting in a total recording duration of 9 s per trial. Participants thus posed neutral in synchrony with the first beep, the target emotion on the second beep, returning to neutral at the third, with the recording ending after the fourth beep.\nTo help participants understand the task, we showed example videos of an actor posing surprised and disgusted expressions using this same timing sequence—emotions not used in the experimental trials. Participants then completed two practice trials for each of the three emotions (two angry, two happy, and two sad). They subsequently completed two experimental blocks, each comprising eight trials per emotion (anger, happiness, and sadness), counterbalanced across participants—totalling 16 trials for each emotion. As in the spoken condition, participants were asked to imagine experiencing the target emotion as strongly as possible and then to inform the experimenter when they felt ready. The experimenter then initiated the trial by saying “the recording is about to start” and activating a beep.\nTo facilitate the recordings, participants stood (or sat) 30 cm from an iPhone 12 mounted on a tripod with a ring light. Facial expressions were recorded using the Rokoko Face Capture tool. Rokoko employs Apple ARKit technology, which has been validated for facial motion tracking and is recommended for analyzing the facial movements of those with movement‐related conditions [e.g., autism (Taeger et al. 2021; Oh Kruzic et al. 2020)]. The ARKit technology employs a True Depth Camera that projects over 30,000 invisible dots to create infrared image representation of the face (Nhan 2022; Vilchis et al. 2023), which can be then used to extract levels of activation of 52 facial blendshapes, and the X, Y, and Z coordinates of specific landmarks. Before release, this technology was extensively tested across diverse ages and ethnicities, ensuring its suitability for tracking facial movements in individuals with varied face morphologies (Panzarino 2017).\nThe Intelligence Quotient (IQ) of participants was assessed via the two‐subtest version of the WASI‐II (Wechsler 2011). The two‐subtest form consists of vocabulary and matrix reasoning assessments. Scores on the WASI range from 70 to 160, with higher scores representing higher intelligence.\nAs discussed, preliminary literature suggests possible differences in facial morphology between autistic and non‐autistic individuals (Aldridge et al. 2011; Hosseini et al. 2022; Tripi et al. 2019; Tan et al. 2020), necessitating control for such differences when comparing emotional expressions. To address this, facial expression recordings were retargeted onto a common avatar face (using Blender) before data extraction (see https://osf.io/8a5yw/ for retargeting script).\nTo do so, we first extracted the activation of 52 facial action “blendshapes” across all timepoints by analyzing the infrared map (described above) with Apple's open‐source neural network algorithm. These blendshapes, akin to facial action units (e.g., EyeSquintLeft, BrowInnerUp, MouthSmileLeft), have activation scores ranging from zero (no activation) to one (peak activation). For the purposes of our statistical analyses, we used the activation data directly, but excluded the eight gaze‐related blendshapes (e.g., eyeLookUpLeft, eyeLookDownRight), leaving 44 blendshapes for analysis (see Supporting Information C for blendshape order). These data were extracted across all timepoints in the recordings—382 frames in the spoken condition and 540 in the cued condition—for the angry, happy, and sad expressions (96) of all participants (51).\nWe then applied the extracted activation values to animate a uniform 3D face model on Blender, ensuring that all facial movements were rendered on an identical facial structure (see https://osf.io/8a5yw/). Then, drawing inspiration from the OpenFace toolkit (Baltrušaitis et al. 2016), we defined 68 facial landmarks on the avatar (see Figure S1) and extracted their X, Y, and Z coordinates across time. This process ensured that all expressions were mapped onto the same facial geometry and scale, removing the influence of individual facial structure on the extracted motion features. By retargeting expressions to a common template, the displacement of facial landmarks—and therefore movement jerk at these facial landmarks—were made directly comparable across autistic and non‐autistic participants, reflecting true differences in expression dynamics rather than underlying morphological variation. After extracting these co‐ordinates, we calculated absolute jerk as the third order derivative of the raw co‐ordinates, for each of the facial landmarks (Fletcher‐Watson et al. 2019) across all timepoints (378 in spoken condition and 536 in cued condition) in the recordings. In our implementation, this involved sequentially computing movement (change in position), velocity (change in movement), acceleration (change in velocity), and then jerk (change in acceleration) from the co‐ordinate data over time. Each successive difference shortens the series by one frame, so jerk is defined over N minus four timepoints; accordingly, the first four frames of each trial do not yield valid jerk values. Here, jerk captures the smoothness or abruptness of movement, with higher values indicating more rapid changes in acceleration, and lower values reflecting smoother transitions.\nBy drawing inspiration from OpenFace (Baltrušaitis et al. 2016) while using the Rokoko Face Capture tool, we were able to: (1) enable comparisons with previous studies that used OpenFace; (2) conduct analyses using three‐dimensional movement data, rather than the standard two‐dimensional data typically analyzed by OpenFace; and (3) overcome the limitations of OpenFace that have been identified in prior research—specifically, difficulties in accurately tracking facial landmarks (i.e., estimating the coordinates of facial points) and in reliably estimating the activation of certain facial action units (e.g., quantifying the degree of muscle activation) (Fydanaki and Geradts 2018; Namba et al. 2021; Savin et al. 2021).\nIn sum, here we have two forms of data capturing different aspects of facial expression. The blendshape data quantify the activation of 44 specific groups of facial muscles (e.g., BrowInnerUp, MouthSmileLeft) across time, via values ranging from 0 (no activation) to 1 (maximum activation). The landmark data, in contrast, provide the X, Y, and Z coordinates of 68 fixed points on the face (e.g., corners of the eyes or mouth) across time. These coordinates were used to compute jerk (change in acceleration), capturing the smoothness of facial motion. Thus, blendshape data describe what movements occurred, while landmark data describe how those movements unfolded over time.\nSpoken recordings were resampled using the resample() function in MATLAB to ensure uniform length for statistical comparisons. This approach uses interpolation to generate an evenly spaced time series that preserves the overall shape and temporal structure of the original signal while adjusting its length. Resampling is a widely used and valid method in time‐series analysis and has been successfully applied in prior studies involving kinematic data [e.g., Cook, Blakemore, and Press (2013) and Hickman et al. (2024)]. Notably, before resampling, there was no difference in the duration of spoken expressions between the autistic and non‐autistic participants, across all three emotions (p > 0.05). Resampling was not necessary for the cued condition, as all recordings were already equal in length.\nAs discussed, we theorized that mean levels of jerk or activation, and/or the precision (i.e., consistency of same emotional expression) and differentiation (i.e., differentiation across different emotional expressions) of one's own facial expressions could contribute to the ability to recognize others' expressions. As such, we calculated indices for each of these for both the cued and spoken expressions, in terms of both jerk and activation.\nFirst, to get an index of the overall level of jerk and activation for cued and spoken expressions, we calculated the mean of (a) jerk and (b) activation across timepoints, landmarks, repetitions and emotions, for each condition.\nPrecision scores measure how consistently a person expresses the same emotion across repetitions. These scores were calculated in four steps, separately for each participant and for each emotion. First, for each of the 68 landmarks (for jerk) or 44 blendshapes (for activation), we calculated the mean value across all timepoints within each recording (i.e., for each of the 16 repetitions). Second, we computed the standard deviation of these means across the 16 repetitions, yielding a measure of variability in jerk or activation for each landmark or blendshape. Third, we calculated the average of these variability scores across all landmarks or blendshapes, resulting in a single overall variability score per emotion. Finally, we multiplied the variability score by −1 so that higher values indicated greater precision (i.e., lower variability across repetitions). This produced one precision score per emotion (anger, happiness, sadness), for both jerk and activation, which were then averaged across emotions to yield overall precision scores for the cued and spoken conditions. Higher precision scores indicate that a participant expressed an emotion in a more precise (or consistent) manner across repetitions.\nDifferentiation scores quantify the extent to which a person's facial expressions for one emotion differs from the facial expression for another emotion. These scores were calculated in three steps: (1) we averaged jerk and activation across repetitions and timepoints for each landmark/blendshape; (2) we calculated the absolute difference in jerk and activation between emotion pairs (angry‐happy, angry‐sad, and happy‐sad) at each landmark; and (3) we averaged these differences across landmarks to obtain a single differentiation score for each emotion pair. Finally, we averaged across emotion pairs to obtain an overall mean differentiation score for both cued and spoken expressions in terms of jerk and activation (e.g., cued jerk differentiation, cued activation differentiation, spoken jerk differentiation, and spoken jerk activation).\nOur analyses comparing the facial expressions produced by autistic and non‐autistic individuals were conducted using MATLAB (version 2022b). Random forest and linear regression analyses assessing the contribution of emotion‐production factors to emotion recognition were conducted using R Studio (version 2021.09.2). Bayesian analyses were conducted in JASP (version 0.17.2.1). Heatmaps were generated using Blender (version 3.6.5). For all permutation test analyses comparing autistic and non‐autistic facial expressions (see description below), we employed an alpha of 0.05 to determine statistical significance. For all Bayesian analyses, we followed the classification scheme used in JASP (Lee and Wagenmakers 2014), in which BF10 values between one and three reflect weak evidence, between 3 and 10 reflect moderate evidence, greater than 10 reflect strong evidence, and greater than 100 reflect extreme evidence for the experimental hypothesis.\n\n\n### Autism Quotient\nThe level of autistic traits was assessed via the Autism Quotient (Baron‐Cohen et al. 2001). This self‐report questionnaire is scored on a range from 0 to 50, with higher scores representing higher levels of autistic characteristics.\n\n\n### Toronto Alexithymia Scale\nThe level of alexithymic traits was measured via the 20‐item Toronto Alexithymia Scale (Bagby et al. 1994). The TAS comprises 20 items rated on a five‐point Likert scale (ranging from 1, strongly disagree, to 5, strongly agree). Total scores on the TAS can range from 20 to 100, with higher scores indicating higher levels of alexithymia.\n\n\n### PLF Emotion Recognition Task\nParticipants' emotion recognition performance was assessed using the PLF Emotion Recognition Task [as in (Keating et al. 2022; Sowden et al. 2021)]. In this task, participants viewed silent, dynamic point‐light displays of the face (PLFs) which depicted actors saying sentences while expressing anger, happiness, or sadness. The audio was intentionally removed, in line with previous studies (Keating et al. 2022; Edey et al. 2017; Sowden et al. 2021), to ensure that participants relied solely on facial movements—not vocal cues—to interpret emotion. This was critical for isolating the visual component of emotional expression and examining its relationship with expression production. On each trial, after viewing each PLF video, participants rated how angry, happy, and sad the actor appeared on three visual analogue scales ranging from 0 (“Not at all angry/happy/sad”) to 10 (“Very angry/happy/sad”). Participants completed three practice trials followed by 108 randomly ordered experimental trials, across three blocks. Breaks were offered between blocks. Emotion recognition accuracy was calculated using a differentiation‐based measure: for each trial, the average of the two incorrect emotion ratings was subtracted from the correct emotion rating. This metric reflects not only whether the target emotion was identified, but also how clearly it was discriminated from the competing alternatives (see Supporting Information B for analyses using raw intensity ratings).\n\n\n### FaceMap\nBefore starting the FaceMap paradigm, participants were instructed to remove any glasses and tie back any long hair to avoid obstruction to the face. Taking inspiration from previous research (Sowden et al. 2021), we employed the FaceMap paradigm to record facial movements during two conditions: a spoken condition and a cued condition.\nIn the spoken condition, participants were asked to say a standardized sentence (“my name is Jo and I'm a scientist”) while displaying the target emotion (anger, happiness, or sadness). This ensured that any speech‐related facial movements were held constant across individuals and emotions, enabling meaningful comparisons of emotional expression despite the presence of articulatory movement. Before the recordings began, participants were given the following instructions: “We will now ask you to imagine you are in a number of emotional states and to say a sentence whilst moving your face in a way which displays the facial expression for this emotion. Please imagine that you're experiencing the emotion as strongly as you can and then pose the emotion as clearly as possible. Try to think about what your own genuine expression looks like for the emotion and repeat it on each trial.” They were told the procedure would be as follows:\n“We will ask you to imagine you are in that emotional state as strongly as you can. Tell the experimenter when you are ready.”“A beep will then signal when you should start saying the sentence.”“A long beep will mean the recording has finished and you can relax.”\n“We will ask you to imagine you are in that emotional state as strongly as you can. Tell the experimenter when you are ready.”\n“A beep will then signal when you should start saying the sentence.”\n“A long beep will mean the recording has finished and you can relax.”\nTo help participants understand the task, we showed short example videos of an actor saying a different sentence (“Today I ate cereal for breakfast”) in either a neutral or surprised manner—emotions not used in the experimental trials. Participants then completed two practice trials for each emotion (two angry, two happy, and two sad). Subsequently, they completed two experimental blocks, with participants posing eight angry, eight happy, and eight sad expressions per block (totalling 16 expressions for each emotion), counterbalanced across participants. For each trial, they were asked to imagine they were experiencing the target emotion as intensely as possible and to inform the experimenter when they felt ready. The experimenter then initiated the trial by saying “the recording is about to start” and activating a beep. Participants completed all eight trials for that block in sequence.\nIn the cued condition, participants were asked to pose facial expressions in response to a timed sequence of auditory cues. They were given the following instructions: “We will now ask you to imagine you are in a number of emotional states and to pose facial expressions in a different way. Please imagine that you're experiencing the emotion as strongly as you can and then pose the emotion as clearly as possible. Try to think about what your own genuine expression looks like for the emotion and repeat it on each trial.” They were then told the procedure would be as follows:\n“We will ask you to imagine you are in that emotional state as strongly as you can.”“When you are ready, listen for the first beep. At this beep, pose a neutral facial expression.”“You will then hear a second, higher‐pitched beep. At this point, move your face in your own time from the neutral expression into the target facial expression we've asked you to pose.”“Hold the expression until you hear a third, lower‐pitched beep, at which point return your face to a neutral expression.”“A final long beep will signal that the recording has ended.”\n“We will ask you to imagine you are in that emotional state as strongly as you can.”\n“When you are ready, listen for the first beep. At this beep, pose a neutral facial expression.”\n“You will then hear a second, higher‐pitched beep. At this point, move your face in your own time from the neutral expression into the target facial expression we've asked you to pose.”\n“Hold the expression until you hear a third, lower‐pitched beep, at which point return your face to a neutral expression.”\n“A final long beep will signal that the recording has ended.”\nThis sequence followed a fixed timing structure: beeps were spaced at 3 s intervals, resulting in a total recording duration of 9 s per trial. Participants thus posed neutral in synchrony with the first beep, the target emotion on the second beep, returning to neutral at the third, with the recording ending after the fourth beep.\nTo help participants understand the task, we showed example videos of an actor posing surprised and disgusted expressions using this same timing sequence—emotions not used in the experimental trials. Participants then completed two practice trials for each of the three emotions (two angry, two happy, and two sad). They subsequently completed two experimental blocks, each comprising eight trials per emotion (anger, happiness, and sadness), counterbalanced across participants—totalling 16 trials for each emotion. As in the spoken condition, participants were asked to imagine experiencing the target emotion as strongly as possible and then to inform the experimenter when they felt ready. The experimenter then initiated the trial by saying “the recording is about to start” and activating a beep.\nTo facilitate the recordings, participants stood (or sat) 30 cm from an iPhone 12 mounted on a tripod with a ring light. Facial expressions were recorded using the Rokoko Face Capture tool. Rokoko employs Apple ARKit technology, which has been validated for facial motion tracking and is recommended for analyzing the facial movements of those with movement‐related conditions [e.g., autism (Taeger et al. 2021; Oh Kruzic et al. 2020)]. The ARKit technology employs a True Depth Camera that projects over 30,000 invisible dots to create infrared image representation of the face (Nhan 2022; Vilchis et al. 2023), which can be then used to extract levels of activation of 52 facial blendshapes, and the X, Y, and Z coordinates of specific landmarks. Before release, this technology was extensively tested across diverse ages and ethnicities, ensuring its suitability for tracking facial movements in individuals with varied face morphologies (Panzarino 2017).\n\n\n### WASI‐II\nThe Intelligence Quotient (IQ) of participants was assessed via the two‐subtest version of the WASI‐II (Wechsler 2011). The two‐subtest form consists of vocabulary and matrix reasoning assessments. Scores on the WASI range from 70 to 160, with higher scores representing higher intelligence.\n\n\n### Data Processing and Extraction\nAs discussed, preliminary literature suggests possible differences in facial morphology between autistic and non‐autistic individuals (Aldridge et al. 2011; Hosseini et al. 2022; Tripi et al. 2019; Tan et al. 2020), necessitating control for such differences when comparing emotional expressions. To address this, facial expression recordings were retargeted onto a common avatar face (using Blender) before data extraction (see https://osf.io/8a5yw/ for retargeting script).\nTo do so, we first extracted the activation of 52 facial action “blendshapes” across all timepoints by analyzing the infrared map (described above) with Apple's open‐source neural network algorithm. These blendshapes, akin to facial action units (e.g., EyeSquintLeft, BrowInnerUp, MouthSmileLeft), have activation scores ranging from zero (no activation) to one (peak activation). For the purposes of our statistical analyses, we used the activation data directly, but excluded the eight gaze‐related blendshapes (e.g., eyeLookUpLeft, eyeLookDownRight), leaving 44 blendshapes for analysis (see Supporting Information C for blendshape order). These data were extracted across all timepoints in the recordings—382 frames in the spoken condition and 540 in the cued condition—for the angry, happy, and sad expressions (96) of all participants (51).\nWe then applied the extracted activation values to animate a uniform 3D face model on Blender, ensuring that all facial movements were rendered on an identical facial structure (see https://osf.io/8a5yw/). Then, drawing inspiration from the OpenFace toolkit (Baltrušaitis et al. 2016), we defined 68 facial landmarks on the avatar (see Figure S1) and extracted their X, Y, and Z coordinates across time. This process ensured that all expressions were mapped onto the same facial geometry and scale, removing the influence of individual facial structure on the extracted motion features. By retargeting expressions to a common template, the displacement of facial landmarks—and therefore movement jerk at these facial landmarks—were made directly comparable across autistic and non‐autistic participants, reflecting true differences in expression dynamics rather than underlying morphological variation. After extracting these co‐ordinates, we calculated absolute jerk as the third order derivative of the raw co‐ordinates, for each of the facial landmarks (Fletcher‐Watson et al. 2019) across all timepoints (378 in spoken condition and 536 in cued condition) in the recordings. In our implementation, this involved sequentially computing movement (change in position), velocity (change in movement), acceleration (change in velocity), and then jerk (change in acceleration) from the co‐ordinate data over time. Each successive difference shortens the series by one frame, so jerk is defined over N minus four timepoints; accordingly, the first four frames of each trial do not yield valid jerk values. Here, jerk captures the smoothness or abruptness of movement, with higher values indicating more rapid changes in acceleration, and lower values reflecting smoother transitions.\nBy drawing inspiration from OpenFace (Baltrušaitis et al. 2016) while using the Rokoko Face Capture tool, we were able to: (1) enable comparisons with previous studies that used OpenFace; (2) conduct analyses using three‐dimensional movement data, rather than the standard two‐dimensional data typically analyzed by OpenFace; and (3) overcome the limitations of OpenFace that have been identified in prior research—specifically, difficulties in accurately tracking facial landmarks (i.e., estimating the coordinates of facial points) and in reliably estimating the activation of certain facial action units (e.g., quantifying the degree of muscle activation) (Fydanaki and Geradts 2018; Namba et al. 2021; Savin et al. 2021).\nIn sum, here we have two forms of data capturing different aspects of facial expression. The blendshape data quantify the activation of 44 specific groups of facial muscles (e.g., BrowInnerUp, MouthSmileLeft) across time, via values ranging from 0 (no activation) to 1 (maximum activation). The landmark data, in contrast, provide the X, Y, and Z coordinates of 68 fixed points on the face (e.g., corners of the eyes or mouth) across time. These coordinates were used to compute jerk (change in acceleration), capturing the smoothness of facial motion. Thus, blendshape data describe what movements occurred, while landmark data describe how those movements unfolded over time.\n\n\n### Resampling Spoken Recordings\nSpoken recordings were resampled using the resample() function in MATLAB to ensure uniform length for statistical comparisons. This approach uses interpolation to generate an evenly spaced time series that preserves the overall shape and temporal structure of the original signal while adjusting its length. Resampling is a widely used and valid method in time‐series analysis and has been successfully applied in prior studies involving kinematic data [e.g., Cook, Blakemore, and Press (2013) and Hickman et al. (2024)]. Notably, before resampling, there was no difference in the duration of spoken expressions between the autistic and non‐autistic participants, across all three emotions (p > 0.05). Resampling was not necessary for the cued condition, as all recordings were already equal in length.\n\n\n### Score Calculations\nAs discussed, we theorized that mean levels of jerk or activation, and/or the precision (i.e., consistency of same emotional expression) and differentiation (i.e., differentiation across different emotional expressions) of one's own facial expressions could contribute to the ability to recognize others' expressions. As such, we calculated indices for each of these for both the cued and spoken expressions, in terms of both jerk and activation.\nFirst, to get an index of the overall level of jerk and activation for cued and spoken expressions, we calculated the mean of (a) jerk and (b) activation across timepoints, landmarks, repetitions and emotions, for each condition.\nPrecision scores measure how consistently a person expresses the same emotion across repetitions. These scores were calculated in four steps, separately for each participant and for each emotion. First, for each of the 68 landmarks (for jerk) or 44 blendshapes (for activation), we calculated the mean value across all timepoints within each recording (i.e., for each of the 16 repetitions). Second, we computed the standard deviation of these means across the 16 repetitions, yielding a measure of variability in jerk or activation for each landmark or blendshape. Third, we calculated the average of these variability scores across all landmarks or blendshapes, resulting in a single overall variability score per emotion. Finally, we multiplied the variability score by −1 so that higher values indicated greater precision (i.e., lower variability across repetitions). This produced one precision score per emotion (anger, happiness, sadness), for both jerk and activation, which were then averaged across emotions to yield overall precision scores for the cued and spoken conditions. Higher precision scores indicate that a participant expressed an emotion in a more precise (or consistent) manner across repetitions.\nDifferentiation scores quantify the extent to which a person's facial expressions for one emotion differs from the facial expression for another emotion. These scores were calculated in three steps: (1) we averaged jerk and activation across repetitions and timepoints for each landmark/blendshape; (2) we calculated the absolute difference in jerk and activation between emotion pairs (angry‐happy, angry‐sad, and happy‐sad) at each landmark; and (3) we averaged these differences across landmarks to obtain a single differentiation score for each emotion pair. Finally, we averaged across emotion pairs to obtain an overall mean differentiation score for both cued and spoken expressions in terms of jerk and activation (e.g., cued jerk differentiation, cued activation differentiation, spoken jerk differentiation, and spoken jerk activation).\n\n\n### Data Analysis\nOur analyses comparing the facial expressions produced by autistic and non‐autistic individuals were conducted using MATLAB (version 2022b). Random forest and linear regression analyses assessing the contribution of emotion‐production factors to emotion recognition were conducted using R Studio (version 2021.09.2). Bayesian analyses were conducted in JASP (version 0.17.2.1). Heatmaps were generated using Blender (version 3.6.5). For all permutation test analyses comparing autistic and non‐autistic facial expressions (see description below), we employed an alpha of 0.05 to determine statistical significance. For all Bayesian analyses, we followed the classification scheme used in JASP (Lee and Wagenmakers 2014), in which BF10 values between one and three reflect weak evidence, between 3 and 10 reflect moderate evidence, greater than 10 reflect strong evidence, and greater than 100 reflect extreme evidence for the experimental hypothesis.\n\n\n### Results\nTo portray the contribution of autism and alexithymia to the production of angry, happy, and sad facial expressions across time, we rendered heatmaps (see https://osf.io/8a5yw/).\nFirst, we aimed to determine whether there were group differences in activation during peak expression for anger, happiness, and sadness at specific blendshapes. Therefore, we extracted activation data at the midpoint of the expression (timepoint 270), for each blendshape, participant, and repetition, for each of the emotions respectively. Following this, for each of the 44 blendshapes, we conducted a linear mixed effects model (LMMs) of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. We used linear mixed‐effects models because they account for both fixed and random effects in our nested, repeated‐measures data, preventing underestimated variance and inflated Type I‐error rates and providing more accurate, generalisable estimates (Baayen et al. 2008; Gueorguieva and Krystal 2004) (see Supporting Information D for full details and justification). In these linear mixed models, if we found a significant main effect of group, this would suggest that there are significant differences in activation between autistic and non‐autistic individuals at the specific blendshape, even after controlling for alexithymia.\nTo account for multiple comparisons, we implemented a permutation‐based approach (see Supporting Information D for full details). In short, for each permutation, we (1) randomly reassigned participants' activation data to the autistic or non‐autistic group, and (2) re‐ran the linear mixed effects models to generate a null distribution of F values for the group and alexithymia effects. The shuffled F values were then ranked, and the effects in the real data were only considered significant if they exceeded the 95th percentile of this null distribution. Here, permutation testing allowed us to control the family‐wise error rate while retaining greater statistical power than traditional corrections like Bonferroni, which are often overly stringent in contexts with numerous spatial and/or temporal units (e.g., neuroimaging) (Nichols and Holmes 2002; Groppe et al. 2011).\nThis analysis identified that there were significant group differences in activation at specific blendshapes for the angry [4.55% of blendshapes], happy [45.55% of blendshapes] and sad [2.27% of blendshapes] expressions, even after controlling for alexithymia. When posing an angry expression, the autistic participants exhibited significantly lower activation of the left and right brow down blendshapes [left F = −4.91; right F = −4.91] – facial features typically considered to signal anger. Alexithymia was a significant negative predictor of activation for the left and right eye wide [left F = −5.47; right F = −5.49] and the left mouth [F = −5.47] blendshapes. For happiness, there were significant differences in activation at 45.55% of the blendshapes; the autistic participants displayed lower activation of the left and right eye squint [left F = −8.40; right F = −8.43], mouth smile [left F = −15.67; right F = −14.97], mouth dimple [left F = −7.84; right F = −6.82], mouth lower down [left F = −5.80; right F = −5.63], mouth upper up [left F = −8.55; right F = −8.31], brow down [left F = −7.13; right F = −7.12], and cheek squint [left F = −10.43; right F = −11.05] blendshapes, along with the upper mouth shrug [F = −5.43] and left mouth stretch [F = −3.72] blendshapes. Conversely, the autistic participants displayed higher activation at the upper mouth roll [F = 4.54], mouth close [F = 5.39], mouth funnel [F = 5.18], and cheek puff [F = 4.34] blendshapes (see Figure 1). Thus, the autistic participants displayed lower activation of many blendshapes considered to signal happiness (e.g., mouth smile, cheek squint). Alexithymia was a significant positive predictor of activation for the jaw open [F = 5.07] and a negative predictor of the mouth shrug lower [F = −5.94] blendshapes. Finally, for sadness, the autistic participants exhibited significantly lower activation for the jaw forward [F = −4.02] blendshape. Alexithymia was a significant positive predictor of activation for the left and right eye blink [left F = 5.86; right F = 5.94] and the right mouth [F = 4.02] blendshapes (see Figure 1).\nGraphs (left) and heatmaps (right) show the activation of cued angry (top), happy (middle), and sad (bottom) expressions for autistic (yellow) and non‐autistic (blue) individuals across blendshapes. Significant group effects are marked by green dots, and alexithymia effects by lilac dots. Heatmaps are standardized for each emotion.\nNext, we aimed to determine whether there were any differences between groups in activation for angry, happy, and sad facial expressions at specific blendshapes and timepoints in the cued condition. To test this, for each of the 44 blendshapes, at each of the timepoints, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. In these models, if we found a significant main effect of group, this would suggest that there are significant differences in activation between autistic and non‐autistic individuals at the specific blendshape, at the specific moment in time, after controlling for alexithymia. As above, we conducted a permutation test to determine which effects were statistically significant (see Supporting Information D).\nThis analysis identified that there were significant group differences in activation for angry, happy, and sad facial expressions at specific blendshapes at specific timepoints. For anger, the autistic participants displayed significantly lower activation of the left and right brow down blendshapes for numerous timepoints when holding the angry expression (see Figure 2). In contrast, the autistic participants displayed significantly higher activation of the left and right mouth frown and mouth upper blendshapes during this period. Thus, when producing cued expressions of anger, the autistic participants may have relied more on the mouth, and less on the eyebrows, to signal anger. Prior to and after the expression, the autistic participants also displayed higher activation for the mouth pucker and left and right eye blink blendshapes. Alexithymia was a significant negative predictor of activation for the left and right eye wide and eye squint blendshapes when holding the angry expression.\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued angry expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFor happiness, the autistic participants displayed significantly lower activation of the left and right mouth smile, mouth dimple, mouth shrug upper, mouth lower down, mouth upper up, cheek squint, eyebrow down, and eye squint blendshapes at specific timepoints when holding the expression. In contrast, the autistic participants displayed significantly higher activation at the mouth close, mouth funnel, mouth roll upper, and cheek puff blendshapes during this period (see Figure 3). These results suggest that the autistic and non‐autistic participants display different mouth and cheek configurations when expressing happiness. Alexithymia was a significant negative predictor of activation for the left and right eye wide, mouth press, and the upper and lower mouth shrug blendshapes at peak expression. Conversely, alexithymia was a significant positive predictor of activation for the left and right mouth lower down, mouth stretch, and mouth upper up blendshapes, at timepoints immediately following the initiation of movement into the happy expression. Alexithymia was also a significant predictor of the jaw open blendshape at numerous timepoints when holding the expression (see Figure 3).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued happy expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, for sadness, the autistic participants displayed significantly lower activation of the jaw forward blendshape at numerous timepoints when holding the expression. In contrast, the autistic participants exhibited significantly higher activation for the left and right mouth upper up blendshapes at timepoints shortly after initiating movement into the expression (see Figure 4). Alexithymia, on the other hand, was a significant negative predictor of the left and right mouth lower down, mouth upper up, mouth stretch, the upper mouth roll, and right jaw blendshapes during this period. Conversely, alexithymia was a significant positive predictor of activation for the left and right eye blink and the mouth right blendshapes at specific timepoints when holding the expression (see Figure 4).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued sad expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nNext, we aimed to determine whether there were differences between groups in the jerkiness of cued angry, happy, and sad expressions at specific landmarks on the face. Due to previous findings that autistic individuals exhibit significantly more jerky movements, independent of movement phase [see Cook, Blakemore, and Press (2013)], we took an average of jerk across all timepoints in the recording for each landmark, participant, and repetition, for each of the emotions respectively (though see Supporting Information E for analyses comparing the jerkiness of autistic and non‐autistic facial expressions across time). Following this, for each of the 68 landmarks, we conducted a linear mixed effects model of jerk as a function of group (autistic, non‐autistic) and TAS scores, with subject and repetition as random intercepts for each of the emotions. As previously, we conducted a permutation test on the data to account for multiple testing (see Supporting Information D).\nThis analysis revealed that there were significant group differences in jerk for angry and happy (but not sad) expressions at specific regions on the face (note that the largest number of significant differences were found for anger = 32.35% landmarks; happiness = 4.41% landmarks). When posing angry expressions, the autistic participants exhibited significantly higher jerk than the non‐autistic participants at all of the mouth facial landmarks [mean significant F = 4.19] and at specific nose landmarks [22.2% nose landmarks; mean significant F = 3.71], even after controlling for alexithymia (see Figure 5). Alexithymia, on the other hand, was a significant negative predictor at specific eyebrow landmarks [10% eyebrow landmarks; mean significant F = −3.87]: those higher in alexithymia exhibited lower jerk at a specific eyebrow landmark when posing anger (see Figure 5). In contrast, for happiness, the autistic participants displayed significantly lower jerk at a third of the eyebrow landmarks (33.33% eyebrow landmarks; mean significant F = −7.62). It is likely that the autistic participants displayed significantly lower jerk at the eyebrow region due to there being lower activation of the left and right ‘eyebrow down’ blendshapes, as per our previous analysis. Alexithymia was not a significant predictor of jerk at any of the landmarks when posing happiness. Finally, there were no significant group differences in jerk for sad expressions at any of the facial landmarks. Nevertheless, alexithymia was a significant negative predictor of jerk at specific eyebrow [40% eyebrow landmarks; mean significant F = −4.56] and jaw [5.88% jaw landmarks; F = −3.76] landmarks: those higher in alexithymia exhibited lower jerk at specific eyebrow landmarks when posing sadness (see Figure 5).\nGraphs showing jerkiness of cued angry (top), happy (middle), and sad (bottom) facial movements for autistic (yellow) and non‐autistic (blue) participants across landmarks. Significant group differences are marked in green, and alexithymia effects in lilac. The right panel shows F values for group and alexithymia effects at each landmark. Positive values (yellow, orange, red) indicate higher jerk in autistic participants or a positive correlation with alexithymia; negative values (green, blue, and purple) indicate lower jerk or a negative correlation. Stars denote statistical significance (p < 0.05).\nNext, we aimed to determine whether there were group differences in activation for the angry, happy, and sad spoken expressions at specific blendshapes. In this condition, since the expression was produced across the whole recording, we took an average of activation across all timepoints for each blendshape, participant, and repetition, for each of the emotions respectively. Following this, for each of the 44 blendshapes, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. To account for multiple testing, we conducted a permutation test (see Supporting Information D).\nThis revealed that there were significant group differences in activation for spoken expressions of anger [15.91% of blendshapes], happiness [11.36% of blendshapes] and sadness [4.55% blendshapes]. For anger, the autistic participants displayed significantly lower activation of the left and right eye squint [left F = −4.93; right F = −4.91], brow down [left F = −3.70; right F = −3.70], and the mouth roll upper [F = −5.90] blendshapes, and significantly higher activation of the left and right mouth upper up [left F = 3.94; right F = 4.70] blendshapes. Thus, across both the cued and spoken condition, the autistic participants displayed lower activation of the brow down blendshapes. Notably, alexithymia was a significant positive predictor of activation at the left and right mouth smile [left F = 8.30; right F = 8.97], cheek squint [left F = 4.21; right F = 3.82], and left mouth [F = 6.88] blendshapes (see Figure 6). Hence, those high in alexithymic traits showed increased activation of many of the blendshapes associated with happiness (mouth smile, cheek squint) when posing anger, suggesting that these facial expressions may be less well differentiated. For happy spoken expressions, the autistic participants exhibited significantly lower activation of the left and right eye squint [left F = −4.12; right F = −4.12], brow down [left F = −10.45; right F = −10.42], and the mouth roll lower [F = −3.78] blendshapes (see Figure 6). Thus, across both the cued and spoken condition, the autistic participants displayed lower activation of the brow down blendshapes when expressing happiness. In addition, alexithymia was a significant positive predictor of the left and right mouth frown blendshapes [left F = 5.35; right F = 5.91], and a significant negative predictor of activation for right jaw blendshape [F = −4.39]. Hence, when posing happiness, those high in alexithymic traits showed increased activation of some of the blendshapes associated with anger (e.g., mouth frown), suggesting once again that their happy expressions may be less well‐differentiated from their angry expressions. Finally, for sad spoken expressions, the autistic participants displayed higher activation of the left and right mouth upper up [left F = 8.39; right F = 9.63] blendshapes (see Figure 6). Alexithymia was not a significant predictor of activation for sad spoken expressions at any of the blendshapes.\nGraphs (left) and heatmaps (right) show the activation of spoken angry (top), happy (middle), and sad (bottom) expressions for autistic (yellow) and non‐autistic (blue) individuals across blendshapes. Significant group effects are marked by green dots, and alexithymia effects by lilac dots. Heatmaps are standardized for each emotion.\nNext, we aimed to determine whether there were any differences between groups in activation for angry, happy, and sad facial expressions at specific blendshapes, at specific timepoints in the spoken expression, after controlling for alexithymia. To test this, for each of the 44 blendshapes, at each of the timepoints, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. As above, we employed a permutation test to establish which effects were statistically significant (see Supporting Information D).\nThis analysis revealed that, for anger, the autistic participants displayed significantly lower activation of the left and right brow down and eye squint, the lower and upper mouth roll, and the mouth close blendshapes at numerous timepoints throughout the expression. In contrast, the autistic participants displayed significantly higher activation of the left and right mouth upper up blendshapes at numerous timepoints throughout, and the mouth smile blendshapes early in the angry expression. Alexithymia was a significant positive predictor of the left and right mouth smile and cheek squint blendshapes at numerous timepoints throughout the angry expression, thus suggesting that angry and happy expressions are less well differentiated for highly alexithymic individuals. In comparison, alexithymia was a significant negative predictor of the brow down blendshapes later in the expression (see Figure 7 for all significant differences).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken angry expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFor happiness, the autistic participants exhibited significantly lower activation of the left and right brow down blendshapes at every timepoint in the recording. In addition, the autistic participants displayed significantly lower activation of the left and right cheek squint, eye squint, and mouth shrug upper blendshapes at the start and end of the expression, and many of the mouth‐related blendshapes (e.g., left and right mouth lower down, mouth smile, mouth dimple, mouth press, etc.) at the start of the expression. In contrast, the autistic participants displayed higher activation of the mouth pucker and mouth funnel blendshapes at the start and end of the expression. Alexithymia, on the other hand was a significant positive predictor of the left and right mouth frown blendshapes at numerous timepoints throughout, suggesting that highly alexithymic individuals tend to activate action units associated with anger when expressing happiness (see Figure 8 for all significant effects).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken happy expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, for sadness, the autistic participants displayed significantly higher activation of the left and right mouth upper up and brow outer up blendshapes, along with the left jaw blendshape, at numerous timepoints throughout the expression. Concurrently, the autistic participants exhibited significantly lower activation of the upper and lower mouth roll, and lower mouth shrug blendshapes throughout the expression. Finally, the autistic participants displayed lower activation of the left and right eye squint and mouth frown blendshapes near the start of the expression (see Figure 9). Alexithymia was a significant positive predictor of the upper and lower mouth roll and mouth shrug blendshapes, and the left and right mouth upper up and mouth dimple blendshapes at various timepoints throughout the expression. Alexithymia was a significant negative predictor of the left and right eye squint blendshapes at the start and end of the expression, and of the mouth pucker and mouth funnel blendshapes near the start of the expression (see Figure 9).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken sad expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, we aimed to determine whether there were significant group differences in the jerkiness of spoken expressions across the emotions. To fulfill this aim, we took an average of jerk across all timepoints in the recording for each landmark, participant, and repetition, for each of the emotions respectively (see Supporting Information E for analyses comparing the jerkiness of autistic and non‐autistic facial expressions across time). Following this, for each of the 68 landmarks, we conducted a linear mixed effects model of jerk as a function of group (autistic, non‐autistic) and TAS scores, with subject and repetition as random intercepts, for each of the emotions. As previously, we conducted a permutation test on the data to account for multiple testing (see Supporting Information D).\nOur analysis revealed that there were no significant group differences in the jerkiness of movements for angry, happy, or sad spoken expressions at any of the facial landmarks. Similarly, alexithymia did not predict jerk at any of the facial landmarks for angry expressions. However, for happiness and sadness, alexithymia was a negative predictor of jerk at specific mouth facial landmarks [happiness: 15% mouth landmarks; mean significant F = −4.41; sadness: 15% mouth landmarks, mean significant F = −4.45; see Figure 10].\nGraphs showing jerkiness of spoken angry (top), happy (middle), and sad (bottom) facial movements for autistic (yellow) and non‐autistic (blue) participants across landmarks. Significant group differences are marked in green, and alexithymia effects in lilac. The right panel shows F values for group and alexithymia effects at each landmark. Positive values (yellow, orange, red) indicate higher jerk in autistic participants or a positive correlation with alexithymia; negative values (green, blue, purple) indicate lower jerk or a negative correlation. Stars denote statistical significance (p < 0.05).\nAs discussed previously, the results from our primary analyses raise the possibility that those high in alexithymia produce less differentiated angry and happy facial expressions than those low in alexithymia, even after accounting for autism. That is, we found that individuals high in alexithymia displayed elevated activation of the mouth smile blendshapes when posing anger, and the mouth frown blendshape when posing happiness (relative to those low in alexithymia). Thus, to formally test the contribution of autism and alexithymia to the differentiation of angry and happy spoken expressions, we conducted an exploratory random forests analysis (Breiman 2001) using the Boruta wrapper algorithm (Kursa and Rudnicki 2010).\nIn this analysis, alexithymia was deemed important [Mean Importance Score (MIS) = 9.59], and autism was deemed unimportant [MIS = 2.13], for the differentiation of angry and happy spoken expressions (see Figure 11, left). A follow‐up analysis identified the same pattern of results in the cued condition (alexithymia [MIS = 9.36]; autism [MIS = 2.64]; see Figure 11, right). In sum, these results suggest that alexithymia, and not autism, is associated with lower differentiation of angry and happy facial expressions across both posing conditions.\nRandom forest importance scores for AQ and TAS in differentiating spoken (left) and cued (right) angry and happy expressions. Boxplots display variable importance, with box edges representing the interquartile range (IQR), whiskers extending 1.5 * IQR from the edges, and circles indicating outliers. Box color indicates decision: Green (confirmed), Yellow (tentative), Red (rejected). Gray represents meta‐attributes (shadowMin, shadowMax, and shadowMean).\nSubsequently, we aimed to investigate whether features of emotion‐production contribute to emotion recognition accuracy. Building on the body movement and emotional experience literatures, we predicted that more jerky, and less precise and/or differentiated, expressions would be associated with reduced emotion recognition accuracy. We explored whether this was the case for both autistic and non‐autistic individuals by conducting a random forests analysis (Breiman 2001) separately for each group, using the Boruta wrapper algorithm (Kursa and Rudnicki 2010) [as in (Keating and Cook 2023; Keating et al. 2023, 2026)]. Here, we analyzed the groups separately because prior research suggests that different abilities or processes may underlie emotion recognition in autistic and non‐autistic individuals (Keating et al. 2023, 2026; Rump et al. 2009; Rutherford and McIntosh 2007; Walsh et al. 2014). To test our predictions, we included emotion recognition accuracy as the outcome variable: feature variables included mean jerk, mean jerk precision, mean jerk differentiation for both cued and spoken expressions; mean activation, mean activation precision, mean activation differentiation for both cued and spoken expressions; plus AQ and TAS. We selected this machine learning approach in part due to the high degree of collinearity among several of our predictor variables; for example, mean cued activation and mean spoken activation were strongly correlated (r = 0.829, p < 0.001). Traditional regression methods assume low multicollinearity, and violation of this assumption can lead to inflated and unstable standard errors, unreliable p values, and an increased risk of both Type I and Type II errors (Hoffmann and Shafer 2015; Mason 1987; Mela and Kopalle 2002; Tu et al. 2004). Random forests, by contrast, are more robust to multicollinearity and can provide more stable estimates of variable importance under these conditions (Dormann et al. 2013; Tomaschek et al. 2018).\nFor the non‐autistic participants, of the 15 variables tested, three were classified as important, three as tentatively important, and nine were deemed unimportant for emotion recognition. Figure 12 (left) shows that spoken jerk precision [MIS = 9.75], TAS score [MIS = 9.54] and mean spoken jerk [MIS = 8.61] were classed as important for emotion recognition. AQ [MIS = 4.81], cued jerk precision [MIS = 4.61] and cued jerk differentiation [MIS = 4.37] were tentatively important for non‐autistic emotion recognition. All other variables were deemed unimportant. Notably, here we found that variables corresponding to the spoken condition were deemed important for emotion recognition, while those in the cued condition were deemed tentatively important. This finding is expected; participants may be more likely to draw on their own spoken productions since the stimuli in the emotion recognition task also comprise spoken expressions.\nRandom forest importance scores for non‐autistic (left) and autistic (right) emotion recognition. Boxplots show the importance of 15 features entered into the Boruta algorithm. Box edges represent the interquartile range (IQR), whiskers extend 1.5 * IQR, and circles mark outliers. Box color indicates decision: Green (confirmed), Yellow (tentative), Red (rejected). Gray represents meta‐attributes (shadowMin, shadowMax, shadowMean).\nFor the autistic participants, of the 15 variables tested, one was classified as tentatively important, and 14 were classified as unimportant for emotion recognition. As shown in Figure 12 (right), IQ was deemed tentatively important [MIS = 6.35] and all other variables were deemed unimportant for autistic emotion recognition.\nNext, to verify the results from our random forests analyses, we conducted a linear regression in each group, predicting mean emotion recognition accuracy with the “important” and “tentatively important” variables. In these regressions, we added the predictor variables sequentially, starting with the variables with the highest mean importance scores, until there was no longer a significant improvement to the model. This follow‐up analysis was conducted to complement the strengths of the random forests approach. While random forests combined with the Boruta algorithm are well suited for robust feature selection—particularly in the context of multicollinearity and high‐dimensional data—they do not provide direct estimates of effect size, directionality, or statistical significance. Linear regression, by contrast, allows for clearer interpretation of the strength and direction of associations, variance explained, and statistical inference through p values. Thus, these regression models served to validate and clarify the relationships between the selected predictors and emotion recognition accuracy.\nFor non‐autistic individuals, entering mean spoken jerk precision as a predictor of emotion recognition significantly improved the model [F change = 16.59, p < 0.001, R2 change = 41.9%], accounting for 41.9% of the variance. Adding TAS score in the second step marginally improved the model [F change = 4.27, p = 0.051, R2 change = 9.9%], accounting for an additional 9.9% of the variance. There were no further improvements to the model when we added the remaining important and tentatively important variables. These results suggest that, for non‐autistic people, those with more precise spoken productions (with respect to jerk) tended to have greater emotion recognition accuracy.\nTo evaluate the strength of evidence for this model, we conducted Bayesian analyses separately for each group. Unlike traditional frequentist analyses, which only test whether an effect is statistically significant, Bayesian methods quantify the degree of evidence for both the presence and absence of an effect—providing a more nuanced assessment. This was particularly useful in our case, as it allowed us to determine whether the same predictors that were informative for non‐autistic individuals also explained variance in autistic individuals. The results showed very strong evidence for the model (where spoken jerk precision and alexithymia predict emotion recognition) in the non‐autistic group [BF10 = 87.55, R\n2 = 51.4%], but moderate evidence for the null model in the autistic group [BF10 = 0.22, R\n2 = 2.4%], supporting the idea that different factors may be linked to autistic and non‐autistic emotion recognition.\nFor autistic individuals, IQ was a significant positive predictor [t = 2.60, b = 0.48, p = 0.016], accounting for 22.6% of the variance in emotion recognition accuracy, and significantly improving the model [F change = 7.73, p = 0.016, R\n2 change = 22.6%]. Bayesian analyses demonstrated that there was moderately strong evidence for this model relative to a null model [BF10 = 3.62]. In contrast, the same analysis demonstrated weak evidence for the null model for non‐autistic individuals [BF10 = 0.94, R\n2 = 10.2%].\nWe also conducted additional analyses to ascertain (1) whether the autistic participants produced more or less precise and idiosyncratic facial expressions than their non‐autistic peers, (2) whether age, gender, or IQ were associated with mean levels of jerk or activation, (3) the (Bayesian) prevalence of our group effects, (4) individual differences that might be related to spoken jerk precision in the non‐autistic group, and (5) the contribution of autistic and alexithymic traits to the precision and differentiation of angry, happy and sad facial expressions. These analyses, which are outside of the scope of the main manuscript, are reported in Supporting Information F–K respectively.\n\n\n### Analyses With Data From the Cued Condition\nFirst, we aimed to determine whether there were group differences in activation during peak expression for anger, happiness, and sadness at specific blendshapes. Therefore, we extracted activation data at the midpoint of the expression (timepoint 270), for each blendshape, participant, and repetition, for each of the emotions respectively. Following this, for each of the 44 blendshapes, we conducted a linear mixed effects model (LMMs) of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. We used linear mixed‐effects models because they account for both fixed and random effects in our nested, repeated‐measures data, preventing underestimated variance and inflated Type I‐error rates and providing more accurate, generalisable estimates (Baayen et al. 2008; Gueorguieva and Krystal 2004) (see Supporting Information D for full details and justification). In these linear mixed models, if we found a significant main effect of group, this would suggest that there are significant differences in activation between autistic and non‐autistic individuals at the specific blendshape, even after controlling for alexithymia.\nTo account for multiple comparisons, we implemented a permutation‐based approach (see Supporting Information D for full details). In short, for each permutation, we (1) randomly reassigned participants' activation data to the autistic or non‐autistic group, and (2) re‐ran the linear mixed effects models to generate a null distribution of F values for the group and alexithymia effects. The shuffled F values were then ranked, and the effects in the real data were only considered significant if they exceeded the 95th percentile of this null distribution. Here, permutation testing allowed us to control the family‐wise error rate while retaining greater statistical power than traditional corrections like Bonferroni, which are often overly stringent in contexts with numerous spatial and/or temporal units (e.g., neuroimaging) (Nichols and Holmes 2002; Groppe et al. 2011).\nThis analysis identified that there were significant group differences in activation at specific blendshapes for the angry [4.55% of blendshapes], happy [45.55% of blendshapes] and sad [2.27% of blendshapes] expressions, even after controlling for alexithymia. When posing an angry expression, the autistic participants exhibited significantly lower activation of the left and right brow down blendshapes [left F = −4.91; right F = −4.91] – facial features typically considered to signal anger. Alexithymia was a significant negative predictor of activation for the left and right eye wide [left F = −5.47; right F = −5.49] and the left mouth [F = −5.47] blendshapes. For happiness, there were significant differences in activation at 45.55% of the blendshapes; the autistic participants displayed lower activation of the left and right eye squint [left F = −8.40; right F = −8.43], mouth smile [left F = −15.67; right F = −14.97], mouth dimple [left F = −7.84; right F = −6.82], mouth lower down [left F = −5.80; right F = −5.63], mouth upper up [left F = −8.55; right F = −8.31], brow down [left F = −7.13; right F = −7.12], and cheek squint [left F = −10.43; right F = −11.05] blendshapes, along with the upper mouth shrug [F = −5.43] and left mouth stretch [F = −3.72] blendshapes. Conversely, the autistic participants displayed higher activation at the upper mouth roll [F = 4.54], mouth close [F = 5.39], mouth funnel [F = 5.18], and cheek puff [F = 4.34] blendshapes (see Figure 1). Thus, the autistic participants displayed lower activation of many blendshapes considered to signal happiness (e.g., mouth smile, cheek squint). Alexithymia was a significant positive predictor of activation for the jaw open [F = 5.07] and a negative predictor of the mouth shrug lower [F = −5.94] blendshapes. Finally, for sadness, the autistic participants exhibited significantly lower activation for the jaw forward [F = −4.02] blendshape. Alexithymia was a significant positive predictor of activation for the left and right eye blink [left F = 5.86; right F = 5.94] and the right mouth [F = 4.02] blendshapes (see Figure 1).\nGraphs (left) and heatmaps (right) show the activation of cued angry (top), happy (middle), and sad (bottom) expressions for autistic (yellow) and non‐autistic (blue) individuals across blendshapes. Significant group effects are marked by green dots, and alexithymia effects by lilac dots. Heatmaps are standardized for each emotion.\nNext, we aimed to determine whether there were any differences between groups in activation for angry, happy, and sad facial expressions at specific blendshapes and timepoints in the cued condition. To test this, for each of the 44 blendshapes, at each of the timepoints, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. In these models, if we found a significant main effect of group, this would suggest that there are significant differences in activation between autistic and non‐autistic individuals at the specific blendshape, at the specific moment in time, after controlling for alexithymia. As above, we conducted a permutation test to determine which effects were statistically significant (see Supporting Information D).\nThis analysis identified that there were significant group differences in activation for angry, happy, and sad facial expressions at specific blendshapes at specific timepoints. For anger, the autistic participants displayed significantly lower activation of the left and right brow down blendshapes for numerous timepoints when holding the angry expression (see Figure 2). In contrast, the autistic participants displayed significantly higher activation of the left and right mouth frown and mouth upper blendshapes during this period. Thus, when producing cued expressions of anger, the autistic participants may have relied more on the mouth, and less on the eyebrows, to signal anger. Prior to and after the expression, the autistic participants also displayed higher activation for the mouth pucker and left and right eye blink blendshapes. Alexithymia was a significant negative predictor of activation for the left and right eye wide and eye squint blendshapes when holding the angry expression.\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued angry expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFor happiness, the autistic participants displayed significantly lower activation of the left and right mouth smile, mouth dimple, mouth shrug upper, mouth lower down, mouth upper up, cheek squint, eyebrow down, and eye squint blendshapes at specific timepoints when holding the expression. In contrast, the autistic participants displayed significantly higher activation at the mouth close, mouth funnel, mouth roll upper, and cheek puff blendshapes during this period (see Figure 3). These results suggest that the autistic and non‐autistic participants display different mouth and cheek configurations when expressing happiness. Alexithymia was a significant negative predictor of activation for the left and right eye wide, mouth press, and the upper and lower mouth shrug blendshapes at peak expression. Conversely, alexithymia was a significant positive predictor of activation for the left and right mouth lower down, mouth stretch, and mouth upper up blendshapes, at timepoints immediately following the initiation of movement into the happy expression. Alexithymia was also a significant predictor of the jaw open blendshape at numerous timepoints when holding the expression (see Figure 3).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued happy expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, for sadness, the autistic participants displayed significantly lower activation of the jaw forward blendshape at numerous timepoints when holding the expression. In contrast, the autistic participants exhibited significantly higher activation for the left and right mouth upper up blendshapes at timepoints shortly after initiating movement into the expression (see Figure 4). Alexithymia, on the other hand, was a significant negative predictor of the left and right mouth lower down, mouth upper up, mouth stretch, the upper mouth roll, and right jaw blendshapes during this period. Conversely, alexithymia was a significant positive predictor of activation for the left and right eye blink and the mouth right blendshapes at specific timepoints when holding the expression (see Figure 4).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued sad expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nNext, we aimed to determine whether there were differences between groups in the jerkiness of cued angry, happy, and sad expressions at specific landmarks on the face. Due to previous findings that autistic individuals exhibit significantly more jerky movements, independent of movement phase [see Cook, Blakemore, and Press (2013)], we took an average of jerk across all timepoints in the recording for each landmark, participant, and repetition, for each of the emotions respectively (though see Supporting Information E for analyses comparing the jerkiness of autistic and non‐autistic facial expressions across time). Following this, for each of the 68 landmarks, we conducted a linear mixed effects model of jerk as a function of group (autistic, non‐autistic) and TAS scores, with subject and repetition as random intercepts for each of the emotions. As previously, we conducted a permutation test on the data to account for multiple testing (see Supporting Information D).\nThis analysis revealed that there were significant group differences in jerk for angry and happy (but not sad) expressions at specific regions on the face (note that the largest number of significant differences were found for anger = 32.35% landmarks; happiness = 4.41% landmarks). When posing angry expressions, the autistic participants exhibited significantly higher jerk than the non‐autistic participants at all of the mouth facial landmarks [mean significant F = 4.19] and at specific nose landmarks [22.2% nose landmarks; mean significant F = 3.71], even after controlling for alexithymia (see Figure 5). Alexithymia, on the other hand, was a significant negative predictor at specific eyebrow landmarks [10% eyebrow landmarks; mean significant F = −3.87]: those higher in alexithymia exhibited lower jerk at a specific eyebrow landmark when posing anger (see Figure 5). In contrast, for happiness, the autistic participants displayed significantly lower jerk at a third of the eyebrow landmarks (33.33% eyebrow landmarks; mean significant F = −7.62). It is likely that the autistic participants displayed significantly lower jerk at the eyebrow region due to there being lower activation of the left and right ‘eyebrow down’ blendshapes, as per our previous analysis. Alexithymia was not a significant predictor of jerk at any of the landmarks when posing happiness. Finally, there were no significant group differences in jerk for sad expressions at any of the facial landmarks. Nevertheless, alexithymia was a significant negative predictor of jerk at specific eyebrow [40% eyebrow landmarks; mean significant F = −4.56] and jaw [5.88% jaw landmarks; F = −3.76] landmarks: those higher in alexithymia exhibited lower jerk at specific eyebrow landmarks when posing sadness (see Figure 5).\nGraphs showing jerkiness of cued angry (top), happy (middle), and sad (bottom) facial movements for autistic (yellow) and non‐autistic (blue) participants across landmarks. Significant group differences are marked in green, and alexithymia effects in lilac. The right panel shows F values for group and alexithymia effects at each landmark. Positive values (yellow, orange, red) indicate higher jerk in autistic participants or a positive correlation with alexithymia; negative values (green, blue, and purple) indicate lower jerk or a negative correlation. Stars denote statistical significance (p < 0.05).\n\n\n### Activation at the Peak of Cued Expressions\nFirst, we aimed to determine whether there were group differences in activation during peak expression for anger, happiness, and sadness at specific blendshapes. Therefore, we extracted activation data at the midpoint of the expression (timepoint 270), for each blendshape, participant, and repetition, for each of the emotions respectively. Following this, for each of the 44 blendshapes, we conducted a linear mixed effects model (LMMs) of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. We used linear mixed‐effects models because they account for both fixed and random effects in our nested, repeated‐measures data, preventing underestimated variance and inflated Type I‐error rates and providing more accurate, generalisable estimates (Baayen et al. 2008; Gueorguieva and Krystal 2004) (see Supporting Information D for full details and justification). In these linear mixed models, if we found a significant main effect of group, this would suggest that there are significant differences in activation between autistic and non‐autistic individuals at the specific blendshape, even after controlling for alexithymia.\nTo account for multiple comparisons, we implemented a permutation‐based approach (see Supporting Information D for full details). In short, for each permutation, we (1) randomly reassigned participants' activation data to the autistic or non‐autistic group, and (2) re‐ran the linear mixed effects models to generate a null distribution of F values for the group and alexithymia effects. The shuffled F values were then ranked, and the effects in the real data were only considered significant if they exceeded the 95th percentile of this null distribution. Here, permutation testing allowed us to control the family‐wise error rate while retaining greater statistical power than traditional corrections like Bonferroni, which are often overly stringent in contexts with numerous spatial and/or temporal units (e.g., neuroimaging) (Nichols and Holmes 2002; Groppe et al. 2011).\nThis analysis identified that there were significant group differences in activation at specific blendshapes for the angry [4.55% of blendshapes], happy [45.55% of blendshapes] and sad [2.27% of blendshapes] expressions, even after controlling for alexithymia. When posing an angry expression, the autistic participants exhibited significantly lower activation of the left and right brow down blendshapes [left F = −4.91; right F = −4.91] – facial features typically considered to signal anger. Alexithymia was a significant negative predictor of activation for the left and right eye wide [left F = −5.47; right F = −5.49] and the left mouth [F = −5.47] blendshapes. For happiness, there were significant differences in activation at 45.55% of the blendshapes; the autistic participants displayed lower activation of the left and right eye squint [left F = −8.40; right F = −8.43], mouth smile [left F = −15.67; right F = −14.97], mouth dimple [left F = −7.84; right F = −6.82], mouth lower down [left F = −5.80; right F = −5.63], mouth upper up [left F = −8.55; right F = −8.31], brow down [left F = −7.13; right F = −7.12], and cheek squint [left F = −10.43; right F = −11.05] blendshapes, along with the upper mouth shrug [F = −5.43] and left mouth stretch [F = −3.72] blendshapes. Conversely, the autistic participants displayed higher activation at the upper mouth roll [F = 4.54], mouth close [F = 5.39], mouth funnel [F = 5.18], and cheek puff [F = 4.34] blendshapes (see Figure 1). Thus, the autistic participants displayed lower activation of many blendshapes considered to signal happiness (e.g., mouth smile, cheek squint). Alexithymia was a significant positive predictor of activation for the jaw open [F = 5.07] and a negative predictor of the mouth shrug lower [F = −5.94] blendshapes. Finally, for sadness, the autistic participants exhibited significantly lower activation for the jaw forward [F = −4.02] blendshape. Alexithymia was a significant positive predictor of activation for the left and right eye blink [left F = 5.86; right F = 5.94] and the right mouth [F = 4.02] blendshapes (see Figure 1).\nGraphs (left) and heatmaps (right) show the activation of cued angry (top), happy (middle), and sad (bottom) expressions for autistic (yellow) and non‐autistic (blue) individuals across blendshapes. Significant group effects are marked by green dots, and alexithymia effects by lilac dots. Heatmaps are standardized for each emotion.\n\n\n### Activation Across the Time‐Course of Cued Expressions\nNext, we aimed to determine whether there were any differences between groups in activation for angry, happy, and sad facial expressions at specific blendshapes and timepoints in the cued condition. To test this, for each of the 44 blendshapes, at each of the timepoints, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. In these models, if we found a significant main effect of group, this would suggest that there are significant differences in activation between autistic and non‐autistic individuals at the specific blendshape, at the specific moment in time, after controlling for alexithymia. As above, we conducted a permutation test to determine which effects were statistically significant (see Supporting Information D).\nThis analysis identified that there were significant group differences in activation for angry, happy, and sad facial expressions at specific blendshapes at specific timepoints. For anger, the autistic participants displayed significantly lower activation of the left and right brow down blendshapes for numerous timepoints when holding the angry expression (see Figure 2). In contrast, the autistic participants displayed significantly higher activation of the left and right mouth frown and mouth upper blendshapes during this period. Thus, when producing cued expressions of anger, the autistic participants may have relied more on the mouth, and less on the eyebrows, to signal anger. Prior to and after the expression, the autistic participants also displayed higher activation for the mouth pucker and left and right eye blink blendshapes. Alexithymia was a significant negative predictor of activation for the left and right eye wide and eye squint blendshapes when holding the angry expression.\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued angry expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFor happiness, the autistic participants displayed significantly lower activation of the left and right mouth smile, mouth dimple, mouth shrug upper, mouth lower down, mouth upper up, cheek squint, eyebrow down, and eye squint blendshapes at specific timepoints when holding the expression. In contrast, the autistic participants displayed significantly higher activation at the mouth close, mouth funnel, mouth roll upper, and cheek puff blendshapes during this period (see Figure 3). These results suggest that the autistic and non‐autistic participants display different mouth and cheek configurations when expressing happiness. Alexithymia was a significant negative predictor of activation for the left and right eye wide, mouth press, and the upper and lower mouth shrug blendshapes at peak expression. Conversely, alexithymia was a significant positive predictor of activation for the left and right mouth lower down, mouth stretch, and mouth upper up blendshapes, at timepoints immediately following the initiation of movement into the happy expression. Alexithymia was also a significant predictor of the jaw open blendshape at numerous timepoints when holding the expression (see Figure 3).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued happy expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, for sadness, the autistic participants displayed significantly lower activation of the jaw forward blendshape at numerous timepoints when holding the expression. In contrast, the autistic participants exhibited significantly higher activation for the left and right mouth upper up blendshapes at timepoints shortly after initiating movement into the expression (see Figure 4). Alexithymia, on the other hand, was a significant negative predictor of the left and right mouth lower down, mouth upper up, mouth stretch, the upper mouth roll, and right jaw blendshapes during this period. Conversely, alexithymia was a significant positive predictor of activation for the left and right eye blink and the mouth right blendshapes at specific timepoints when holding the expression (see Figure 4).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during cued sad expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\n\n\n### Jerk Averaged Across the Whole Time‐Course of Cued Expressions\nNext, we aimed to determine whether there were differences between groups in the jerkiness of cued angry, happy, and sad expressions at specific landmarks on the face. Due to previous findings that autistic individuals exhibit significantly more jerky movements, independent of movement phase [see Cook, Blakemore, and Press (2013)], we took an average of jerk across all timepoints in the recording for each landmark, participant, and repetition, for each of the emotions respectively (though see Supporting Information E for analyses comparing the jerkiness of autistic and non‐autistic facial expressions across time). Following this, for each of the 68 landmarks, we conducted a linear mixed effects model of jerk as a function of group (autistic, non‐autistic) and TAS scores, with subject and repetition as random intercepts for each of the emotions. As previously, we conducted a permutation test on the data to account for multiple testing (see Supporting Information D).\nThis analysis revealed that there were significant group differences in jerk for angry and happy (but not sad) expressions at specific regions on the face (note that the largest number of significant differences were found for anger = 32.35% landmarks; happiness = 4.41% landmarks). When posing angry expressions, the autistic participants exhibited significantly higher jerk than the non‐autistic participants at all of the mouth facial landmarks [mean significant F = 4.19] and at specific nose landmarks [22.2% nose landmarks; mean significant F = 3.71], even after controlling for alexithymia (see Figure 5). Alexithymia, on the other hand, was a significant negative predictor at specific eyebrow landmarks [10% eyebrow landmarks; mean significant F = −3.87]: those higher in alexithymia exhibited lower jerk at a specific eyebrow landmark when posing anger (see Figure 5). In contrast, for happiness, the autistic participants displayed significantly lower jerk at a third of the eyebrow landmarks (33.33% eyebrow landmarks; mean significant F = −7.62). It is likely that the autistic participants displayed significantly lower jerk at the eyebrow region due to there being lower activation of the left and right ‘eyebrow down’ blendshapes, as per our previous analysis. Alexithymia was not a significant predictor of jerk at any of the landmarks when posing happiness. Finally, there were no significant group differences in jerk for sad expressions at any of the facial landmarks. Nevertheless, alexithymia was a significant negative predictor of jerk at specific eyebrow [40% eyebrow landmarks; mean significant F = −4.56] and jaw [5.88% jaw landmarks; F = −3.76] landmarks: those higher in alexithymia exhibited lower jerk at specific eyebrow landmarks when posing sadness (see Figure 5).\nGraphs showing jerkiness of cued angry (top), happy (middle), and sad (bottom) facial movements for autistic (yellow) and non‐autistic (blue) participants across landmarks. Significant group differences are marked in green, and alexithymia effects in lilac. The right panel shows F values for group and alexithymia effects at each landmark. Positive values (yellow, orange, red) indicate higher jerk in autistic participants or a positive correlation with alexithymia; negative values (green, blue, and purple) indicate lower jerk or a negative correlation. Stars denote statistical significance (p < 0.05).\n\n\n### Analyses With Data From the Spoken Condition\nNext, we aimed to determine whether there were group differences in activation for the angry, happy, and sad spoken expressions at specific blendshapes. In this condition, since the expression was produced across the whole recording, we took an average of activation across all timepoints for each blendshape, participant, and repetition, for each of the emotions respectively. Following this, for each of the 44 blendshapes, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. To account for multiple testing, we conducted a permutation test (see Supporting Information D).\nThis revealed that there were significant group differences in activation for spoken expressions of anger [15.91% of blendshapes], happiness [11.36% of blendshapes] and sadness [4.55% blendshapes]. For anger, the autistic participants displayed significantly lower activation of the left and right eye squint [left F = −4.93; right F = −4.91], brow down [left F = −3.70; right F = −3.70], and the mouth roll upper [F = −5.90] blendshapes, and significantly higher activation of the left and right mouth upper up [left F = 3.94; right F = 4.70] blendshapes. Thus, across both the cued and spoken condition, the autistic participants displayed lower activation of the brow down blendshapes. Notably, alexithymia was a significant positive predictor of activation at the left and right mouth smile [left F = 8.30; right F = 8.97], cheek squint [left F = 4.21; right F = 3.82], and left mouth [F = 6.88] blendshapes (see Figure 6). Hence, those high in alexithymic traits showed increased activation of many of the blendshapes associated with happiness (mouth smile, cheek squint) when posing anger, suggesting that these facial expressions may be less well differentiated. For happy spoken expressions, the autistic participants exhibited significantly lower activation of the left and right eye squint [left F = −4.12; right F = −4.12], brow down [left F = −10.45; right F = −10.42], and the mouth roll lower [F = −3.78] blendshapes (see Figure 6). Thus, across both the cued and spoken condition, the autistic participants displayed lower activation of the brow down blendshapes when expressing happiness. In addition, alexithymia was a significant positive predictor of the left and right mouth frown blendshapes [left F = 5.35; right F = 5.91], and a significant negative predictor of activation for right jaw blendshape [F = −4.39]. Hence, when posing happiness, those high in alexithymic traits showed increased activation of some of the blendshapes associated with anger (e.g., mouth frown), suggesting once again that their happy expressions may be less well‐differentiated from their angry expressions. Finally, for sad spoken expressions, the autistic participants displayed higher activation of the left and right mouth upper up [left F = 8.39; right F = 9.63] blendshapes (see Figure 6). Alexithymia was not a significant predictor of activation for sad spoken expressions at any of the blendshapes.\nGraphs (left) and heatmaps (right) show the activation of spoken angry (top), happy (middle), and sad (bottom) expressions for autistic (yellow) and non‐autistic (blue) individuals across blendshapes. Significant group effects are marked by green dots, and alexithymia effects by lilac dots. Heatmaps are standardized for each emotion.\nNext, we aimed to determine whether there were any differences between groups in activation for angry, happy, and sad facial expressions at specific blendshapes, at specific timepoints in the spoken expression, after controlling for alexithymia. To test this, for each of the 44 blendshapes, at each of the timepoints, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. As above, we employed a permutation test to establish which effects were statistically significant (see Supporting Information D).\nThis analysis revealed that, for anger, the autistic participants displayed significantly lower activation of the left and right brow down and eye squint, the lower and upper mouth roll, and the mouth close blendshapes at numerous timepoints throughout the expression. In contrast, the autistic participants displayed significantly higher activation of the left and right mouth upper up blendshapes at numerous timepoints throughout, and the mouth smile blendshapes early in the angry expression. Alexithymia was a significant positive predictor of the left and right mouth smile and cheek squint blendshapes at numerous timepoints throughout the angry expression, thus suggesting that angry and happy expressions are less well differentiated for highly alexithymic individuals. In comparison, alexithymia was a significant negative predictor of the brow down blendshapes later in the expression (see Figure 7 for all significant differences).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken angry expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFor happiness, the autistic participants exhibited significantly lower activation of the left and right brow down blendshapes at every timepoint in the recording. In addition, the autistic participants displayed significantly lower activation of the left and right cheek squint, eye squint, and mouth shrug upper blendshapes at the start and end of the expression, and many of the mouth‐related blendshapes (e.g., left and right mouth lower down, mouth smile, mouth dimple, mouth press, etc.) at the start of the expression. In contrast, the autistic participants displayed higher activation of the mouth pucker and mouth funnel blendshapes at the start and end of the expression. Alexithymia, on the other hand was a significant positive predictor of the left and right mouth frown blendshapes at numerous timepoints throughout, suggesting that highly alexithymic individuals tend to activate action units associated with anger when expressing happiness (see Figure 8 for all significant effects).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken happy expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, for sadness, the autistic participants displayed significantly higher activation of the left and right mouth upper up and brow outer up blendshapes, along with the left jaw blendshape, at numerous timepoints throughout the expression. Concurrently, the autistic participants exhibited significantly lower activation of the upper and lower mouth roll, and lower mouth shrug blendshapes throughout the expression. Finally, the autistic participants displayed lower activation of the left and right eye squint and mouth frown blendshapes near the start of the expression (see Figure 9). Alexithymia was a significant positive predictor of the upper and lower mouth roll and mouth shrug blendshapes, and the left and right mouth upper up and mouth dimple blendshapes at various timepoints throughout the expression. Alexithymia was a significant negative predictor of the left and right eye squint blendshapes at the start and end of the expression, and of the mouth pucker and mouth funnel blendshapes near the start of the expression (see Figure 9).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken sad expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, we aimed to determine whether there were significant group differences in the jerkiness of spoken expressions across the emotions. To fulfill this aim, we took an average of jerk across all timepoints in the recording for each landmark, participant, and repetition, for each of the emotions respectively (see Supporting Information E for analyses comparing the jerkiness of autistic and non‐autistic facial expressions across time). Following this, for each of the 68 landmarks, we conducted a linear mixed effects model of jerk as a function of group (autistic, non‐autistic) and TAS scores, with subject and repetition as random intercepts, for each of the emotions. As previously, we conducted a permutation test on the data to account for multiple testing (see Supporting Information D).\nOur analysis revealed that there were no significant group differences in the jerkiness of movements for angry, happy, or sad spoken expressions at any of the facial landmarks. Similarly, alexithymia did not predict jerk at any of the facial landmarks for angry expressions. However, for happiness and sadness, alexithymia was a negative predictor of jerk at specific mouth facial landmarks [happiness: 15% mouth landmarks; mean significant F = −4.41; sadness: 15% mouth landmarks, mean significant F = −4.45; see Figure 10].\nGraphs showing jerkiness of spoken angry (top), happy (middle), and sad (bottom) facial movements for autistic (yellow) and non‐autistic (blue) participants across landmarks. Significant group differences are marked in green, and alexithymia effects in lilac. The right panel shows F values for group and alexithymia effects at each landmark. Positive values (yellow, orange, red) indicate higher jerk in autistic participants or a positive correlation with alexithymia; negative values (green, blue, purple) indicate lower jerk or a negative correlation. Stars denote statistical significance (p < 0.05).\nAs discussed previously, the results from our primary analyses raise the possibility that those high in alexithymia produce less differentiated angry and happy facial expressions than those low in alexithymia, even after accounting for autism. That is, we found that individuals high in alexithymia displayed elevated activation of the mouth smile blendshapes when posing anger, and the mouth frown blendshape when posing happiness (relative to those low in alexithymia). Thus, to formally test the contribution of autism and alexithymia to the differentiation of angry and happy spoken expressions, we conducted an exploratory random forests analysis (Breiman 2001) using the Boruta wrapper algorithm (Kursa and Rudnicki 2010).\nIn this analysis, alexithymia was deemed important [Mean Importance Score (MIS) = 9.59], and autism was deemed unimportant [MIS = 2.13], for the differentiation of angry and happy spoken expressions (see Figure 11, left). A follow‐up analysis identified the same pattern of results in the cued condition (alexithymia [MIS = 9.36]; autism [MIS = 2.64]; see Figure 11, right). In sum, these results suggest that alexithymia, and not autism, is associated with lower differentiation of angry and happy facial expressions across both posing conditions.\nRandom forest importance scores for AQ and TAS in differentiating spoken (left) and cued (right) angry and happy expressions. Boxplots display variable importance, with box edges representing the interquartile range (IQR), whiskers extending 1.5 * IQR from the edges, and circles indicating outliers. Box color indicates decision: Green (confirmed), Yellow (tentative), Red (rejected). Gray represents meta‐attributes (shadowMin, shadowMax, and shadowMean).\nSubsequently, we aimed to investigate whether features of emotion‐production contribute to emotion recognition accuracy. Building on the body movement and emotional experience literatures, we predicted that more jerky, and less precise and/or differentiated, expressions would be associated with reduced emotion recognition accuracy. We explored whether this was the case for both autistic and non‐autistic individuals by conducting a random forests analysis (Breiman 2001) separately for each group, using the Boruta wrapper algorithm (Kursa and Rudnicki 2010) [as in (Keating and Cook 2023; Keating et al. 2023, 2026)]. Here, we analyzed the groups separately because prior research suggests that different abilities or processes may underlie emotion recognition in autistic and non‐autistic individuals (Keating et al. 2023, 2026; Rump et al. 2009; Rutherford and McIntosh 2007; Walsh et al. 2014). To test our predictions, we included emotion recognition accuracy as the outcome variable: feature variables included mean jerk, mean jerk precision, mean jerk differentiation for both cued and spoken expressions; mean activation, mean activation precision, mean activation differentiation for both cued and spoken expressions; plus AQ and TAS. We selected this machine learning approach in part due to the high degree of collinearity among several of our predictor variables; for example, mean cued activation and mean spoken activation were strongly correlated (r = 0.829, p < 0.001). Traditional regression methods assume low multicollinearity, and violation of this assumption can lead to inflated and unstable standard errors, unreliable p values, and an increased risk of both Type I and Type II errors (Hoffmann and Shafer 2015; Mason 1987; Mela and Kopalle 2002; Tu et al. 2004). Random forests, by contrast, are more robust to multicollinearity and can provide more stable estimates of variable importance under these conditions (Dormann et al. 2013; Tomaschek et al. 2018).\nFor the non‐autistic participants, of the 15 variables tested, three were classified as important, three as tentatively important, and nine were deemed unimportant for emotion recognition. Figure 12 (left) shows that spoken jerk precision [MIS = 9.75], TAS score [MIS = 9.54] and mean spoken jerk [MIS = 8.61] were classed as important for emotion recognition. AQ [MIS = 4.81], cued jerk precision [MIS = 4.61] and cued jerk differentiation [MIS = 4.37] were tentatively important for non‐autistic emotion recognition. All other variables were deemed unimportant. Notably, here we found that variables corresponding to the spoken condition were deemed important for emotion recognition, while those in the cued condition were deemed tentatively important. This finding is expected; participants may be more likely to draw on their own spoken productions since the stimuli in the emotion recognition task also comprise spoken expressions.\nRandom forest importance scores for non‐autistic (left) and autistic (right) emotion recognition. Boxplots show the importance of 15 features entered into the Boruta algorithm. Box edges represent the interquartile range (IQR), whiskers extend 1.5 * IQR, and circles mark outliers. Box color indicates decision: Green (confirmed), Yellow (tentative), Red (rejected). Gray represents meta‐attributes (shadowMin, shadowMax, shadowMean).\nFor the autistic participants, of the 15 variables tested, one was classified as tentatively important, and 14 were classified as unimportant for emotion recognition. As shown in Figure 12 (right), IQ was deemed tentatively important [MIS = 6.35] and all other variables were deemed unimportant for autistic emotion recognition.\nNext, to verify the results from our random forests analyses, we conducted a linear regression in each group, predicting mean emotion recognition accuracy with the “important” and “tentatively important” variables. In these regressions, we added the predictor variables sequentially, starting with the variables with the highest mean importance scores, until there was no longer a significant improvement to the model. This follow‐up analysis was conducted to complement the strengths of the random forests approach. While random forests combined with the Boruta algorithm are well suited for robust feature selection—particularly in the context of multicollinearity and high‐dimensional data—they do not provide direct estimates of effect size, directionality, or statistical significance. Linear regression, by contrast, allows for clearer interpretation of the strength and direction of associations, variance explained, and statistical inference through p values. Thus, these regression models served to validate and clarify the relationships between the selected predictors and emotion recognition accuracy.\nFor non‐autistic individuals, entering mean spoken jerk precision as a predictor of emotion recognition significantly improved the model [F change = 16.59, p < 0.001, R2 change = 41.9%], accounting for 41.9% of the variance. Adding TAS score in the second step marginally improved the model [F change = 4.27, p = 0.051, R2 change = 9.9%], accounting for an additional 9.9% of the variance. There were no further improvements to the model when we added the remaining important and tentatively important variables. These results suggest that, for non‐autistic people, those with more precise spoken productions (with respect to jerk) tended to have greater emotion recognition accuracy.\nTo evaluate the strength of evidence for this model, we conducted Bayesian analyses separately for each group. Unlike traditional frequentist analyses, which only test whether an effect is statistically significant, Bayesian methods quantify the degree of evidence for both the presence and absence of an effect—providing a more nuanced assessment. This was particularly useful in our case, as it allowed us to determine whether the same predictors that were informative for non‐autistic individuals also explained variance in autistic individuals. The results showed very strong evidence for the model (where spoken jerk precision and alexithymia predict emotion recognition) in the non‐autistic group [BF10 = 87.55, R\n2 = 51.4%], but moderate evidence for the null model in the autistic group [BF10 = 0.22, R\n2 = 2.4%], supporting the idea that different factors may be linked to autistic and non‐autistic emotion recognition.\nFor autistic individuals, IQ was a significant positive predictor [t = 2.60, b = 0.48, p = 0.016], accounting for 22.6% of the variance in emotion recognition accuracy, and significantly improving the model [F change = 7.73, p = 0.016, R\n2 change = 22.6%]. Bayesian analyses demonstrated that there was moderately strong evidence for this model relative to a null model [BF10 = 3.62]. In contrast, the same analysis demonstrated weak evidence for the null model for non‐autistic individuals [BF10 = 0.94, R\n2 = 10.2%].\nWe also conducted additional analyses to ascertain (1) whether the autistic participants produced more or less precise and idiosyncratic facial expressions than their non‐autistic peers, (2) whether age, gender, or IQ were associated with mean levels of jerk or activation, (3) the (Bayesian) prevalence of our group effects, (4) individual differences that might be related to spoken jerk precision in the non‐autistic group, and (5) the contribution of autistic and alexithymic traits to the precision and differentiation of angry, happy and sad facial expressions. These analyses, which are outside of the scope of the main manuscript, are reported in Supporting Information F–K respectively.\n\n\n### Activation Averaged Across the Whole Time‐Course of Spoken Expressions\nNext, we aimed to determine whether there were group differences in activation for the angry, happy, and sad spoken expressions at specific blendshapes. In this condition, since the expression was produced across the whole recording, we took an average of activation across all timepoints for each blendshape, participant, and repetition, for each of the emotions respectively. Following this, for each of the 44 blendshapes, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. To account for multiple testing, we conducted a permutation test (see Supporting Information D).\nThis revealed that there were significant group differences in activation for spoken expressions of anger [15.91% of blendshapes], happiness [11.36% of blendshapes] and sadness [4.55% blendshapes]. For anger, the autistic participants displayed significantly lower activation of the left and right eye squint [left F = −4.93; right F = −4.91], brow down [left F = −3.70; right F = −3.70], and the mouth roll upper [F = −5.90] blendshapes, and significantly higher activation of the left and right mouth upper up [left F = 3.94; right F = 4.70] blendshapes. Thus, across both the cued and spoken condition, the autistic participants displayed lower activation of the brow down blendshapes. Notably, alexithymia was a significant positive predictor of activation at the left and right mouth smile [left F = 8.30; right F = 8.97], cheek squint [left F = 4.21; right F = 3.82], and left mouth [F = 6.88] blendshapes (see Figure 6). Hence, those high in alexithymic traits showed increased activation of many of the blendshapes associated with happiness (mouth smile, cheek squint) when posing anger, suggesting that these facial expressions may be less well differentiated. For happy spoken expressions, the autistic participants exhibited significantly lower activation of the left and right eye squint [left F = −4.12; right F = −4.12], brow down [left F = −10.45; right F = −10.42], and the mouth roll lower [F = −3.78] blendshapes (see Figure 6). Thus, across both the cued and spoken condition, the autistic participants displayed lower activation of the brow down blendshapes when expressing happiness. In addition, alexithymia was a significant positive predictor of the left and right mouth frown blendshapes [left F = 5.35; right F = 5.91], and a significant negative predictor of activation for right jaw blendshape [F = −4.39]. Hence, when posing happiness, those high in alexithymic traits showed increased activation of some of the blendshapes associated with anger (e.g., mouth frown), suggesting once again that their happy expressions may be less well‐differentiated from their angry expressions. Finally, for sad spoken expressions, the autistic participants displayed higher activation of the left and right mouth upper up [left F = 8.39; right F = 9.63] blendshapes (see Figure 6). Alexithymia was not a significant predictor of activation for sad spoken expressions at any of the blendshapes.\nGraphs (left) and heatmaps (right) show the activation of spoken angry (top), happy (middle), and sad (bottom) expressions for autistic (yellow) and non‐autistic (blue) individuals across blendshapes. Significant group effects are marked by green dots, and alexithymia effects by lilac dots. Heatmaps are standardized for each emotion.\n\n\n### Activation Across the Time‐Course of Spoken Expressions\nNext, we aimed to determine whether there were any differences between groups in activation for angry, happy, and sad facial expressions at specific blendshapes, at specific timepoints in the spoken expression, after controlling for alexithymia. To test this, for each of the 44 blendshapes, at each of the timepoints, we conducted a linear mixed effects model of activation as a function of group (autistic, non‐autistic) and TAS score, with subject and repetition as random intercepts, for each of the emotions. As above, we employed a permutation test to establish which effects were statistically significant (see Supporting Information D).\nThis analysis revealed that, for anger, the autistic participants displayed significantly lower activation of the left and right brow down and eye squint, the lower and upper mouth roll, and the mouth close blendshapes at numerous timepoints throughout the expression. In contrast, the autistic participants displayed significantly higher activation of the left and right mouth upper up blendshapes at numerous timepoints throughout, and the mouth smile blendshapes early in the angry expression. Alexithymia was a significant positive predictor of the left and right mouth smile and cheek squint blendshapes at numerous timepoints throughout the angry expression, thus suggesting that angry and happy expressions are less well differentiated for highly alexithymic individuals. In comparison, alexithymia was a significant negative predictor of the brow down blendshapes later in the expression (see Figure 7 for all significant differences).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken angry expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFor happiness, the autistic participants exhibited significantly lower activation of the left and right brow down blendshapes at every timepoint in the recording. In addition, the autistic participants displayed significantly lower activation of the left and right cheek squint, eye squint, and mouth shrug upper blendshapes at the start and end of the expression, and many of the mouth‐related blendshapes (e.g., left and right mouth lower down, mouth smile, mouth dimple, mouth press, etc.) at the start of the expression. In contrast, the autistic participants displayed higher activation of the mouth pucker and mouth funnel blendshapes at the start and end of the expression. Alexithymia, on the other hand was a significant positive predictor of the left and right mouth frown blendshapes at numerous timepoints throughout, suggesting that highly alexithymic individuals tend to activate action units associated with anger when expressing happiness (see Figure 8 for all significant effects).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken happy expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\nFinally, for sadness, the autistic participants displayed significantly higher activation of the left and right mouth upper up and brow outer up blendshapes, along with the left jaw blendshape, at numerous timepoints throughout the expression. Concurrently, the autistic participants exhibited significantly lower activation of the upper and lower mouth roll, and lower mouth shrug blendshapes throughout the expression. Finally, the autistic participants displayed lower activation of the left and right eye squint and mouth frown blendshapes near the start of the expression (see Figure 9). Alexithymia was a significant positive predictor of the upper and lower mouth roll and mouth shrug blendshapes, and the left and right mouth upper up and mouth dimple blendshapes at various timepoints throughout the expression. Alexithymia was a significant negative predictor of the left and right eye squint blendshapes at the start and end of the expression, and of the mouth pucker and mouth funnel blendshapes near the start of the expression (see Figure 9).\nGraphs showing t‐values for significant group (top) and alexithymia (bottom) effects on activation during spoken sad expressions. Positive values (orange/red) indicate higher activation in autistic participants or a positive correlation with alexithymia, while negative values (blue/purple) indicate lower activation or a negative correlation. Heatmaps are included to visualize these effects.\n\n\n### Jerk Averaged Across the Whole Time‐Course of Spoken Expressions\nFinally, we aimed to determine whether there were significant group differences in the jerkiness of spoken expressions across the emotions. To fulfill this aim, we took an average of jerk across all timepoints in the recording for each landmark, participant, and repetition, for each of the emotions respectively (see Supporting Information E for analyses comparing the jerkiness of autistic and non‐autistic facial expressions across time). Following this, for each of the 68 landmarks, we conducted a linear mixed effects model of jerk as a function of group (autistic, non‐autistic) and TAS scores, with subject and repetition as random intercepts, for each of the emotions. As previously, we conducted a permutation test on the data to account for multiple testing (see Supporting Information D).\nOur analysis revealed that there were no significant group differences in the jerkiness of movements for angry, happy, or sad spoken expressions at any of the facial landmarks. Similarly, alexithymia did not predict jerk at any of the facial landmarks for angry expressions. However, for happiness and sadness, alexithymia was a negative predictor of jerk at specific mouth facial landmarks [happiness: 15% mouth landmarks; mean significant F = −4.41; sadness: 15% mouth landmarks, mean significant F = −4.45; see Figure 10].\nGraphs showing jerkiness of spoken angry (top), happy (middle), and sad (bottom) facial movements for autistic (yellow) and non‐autistic (blue) participants across landmarks. Significant group differences are marked in green, and alexithymia effects in lilac. The right panel shows F values for group and alexithymia effects at each landmark. Positive values (yellow, orange, red) indicate higher jerk in autistic participants or a positive correlation with alexithymia; negative values (green, blue, purple) indicate lower jerk or a negative correlation. Stars denote statistical significance (p < 0.05).\n\n\n### The Differentiation of Angry and Happy Facial Expressions: Exploratory Analysis\nAs discussed previously, the results from our primary analyses raise the possibility that those high in alexithymia produce less differentiated angry and happy facial expressions than those low in alexithymia, even after accounting for autism. That is, we found that individuals high in alexithymia displayed elevated activation of the mouth smile blendshapes when posing anger, and the mouth frown blendshape when posing happiness (relative to those low in alexithymia). Thus, to formally test the contribution of autism and alexithymia to the differentiation of angry and happy spoken expressions, we conducted an exploratory random forests analysis (Breiman 2001) using the Boruta wrapper algorithm (Kursa and Rudnicki 2010).\nIn this analysis, alexithymia was deemed important [Mean Importance Score (MIS) = 9.59], and autism was deemed unimportant [MIS = 2.13], for the differentiation of angry and happy spoken expressions (see Figure 11, left). A follow‐up analysis identified the same pattern of results in the cued condition (alexithymia [MIS = 9.36]; autism [MIS = 2.64]; see Figure 11, right). In sum, these results suggest that alexithymia, and not autism, is associated with lower differentiation of angry and happy facial expressions across both posing conditions.\nRandom forest importance scores for AQ and TAS in differentiating spoken (left) and cued (right) angry and happy expressions. Boxplots display variable importance, with box edges representing the interquartile range (IQR), whiskers extending 1.5 * IQR from the edges, and circles indicating outliers. Box color indicates decision: Green (confirmed), Yellow (tentative), Red (rejected). Gray represents meta‐attributes (shadowMin, shadowMax, and shadowMean).\n\n\n### The Link Between Production and Perception\nSubsequently, we aimed to investigate whether features of emotion‐production contribute to emotion recognition accuracy. Building on the body movement and emotional experience literatures, we predicted that more jerky, and less precise and/or differentiated, expressions would be associated with reduced emotion recognition accuracy. We explored whether this was the case for both autistic and non‐autistic individuals by conducting a random forests analysis (Breiman 2001) separately for each group, using the Boruta wrapper algorithm (Kursa and Rudnicki 2010) [as in (Keating and Cook 2023; Keating et al. 2023, 2026)]. Here, we analyzed the groups separately because prior research suggests that different abilities or processes may underlie emotion recognition in autistic and non‐autistic individuals (Keating et al. 2023, 2026; Rump et al. 2009; Rutherford and McIntosh 2007; Walsh et al. 2014). To test our predictions, we included emotion recognition accuracy as the outcome variable: feature variables included mean jerk, mean jerk precision, mean jerk differentiation for both cued and spoken expressions; mean activation, mean activation precision, mean activation differentiation for both cued and spoken expressions; plus AQ and TAS. We selected this machine learning approach in part due to the high degree of collinearity among several of our predictor variables; for example, mean cued activation and mean spoken activation were strongly correlated (r = 0.829, p < 0.001). Traditional regression methods assume low multicollinearity, and violation of this assumption can lead to inflated and unstable standard errors, unreliable p values, and an increased risk of both Type I and Type II errors (Hoffmann and Shafer 2015; Mason 1987; Mela and Kopalle 2002; Tu et al. 2004). Random forests, by contrast, are more robust to multicollinearity and can provide more stable estimates of variable importance under these conditions (Dormann et al. 2013; Tomaschek et al. 2018).\nFor the non‐autistic participants, of the 15 variables tested, three were classified as important, three as tentatively important, and nine were deemed unimportant for emotion recognition. Figure 12 (left) shows that spoken jerk precision [MIS = 9.75], TAS score [MIS = 9.54] and mean spoken jerk [MIS = 8.61] were classed as important for emotion recognition. AQ [MIS = 4.81], cued jerk precision [MIS = 4.61] and cued jerk differentiation [MIS = 4.37] were tentatively important for non‐autistic emotion recognition. All other variables were deemed unimportant. Notably, here we found that variables corresponding to the spoken condition were deemed important for emotion recognition, while those in the cued condition were deemed tentatively important. This finding is expected; participants may be more likely to draw on their own spoken productions since the stimuli in the emotion recognition task also comprise spoken expressions.\nRandom forest importance scores for non‐autistic (left) and autistic (right) emotion recognition. Boxplots show the importance of 15 features entered into the Boruta algorithm. Box edges represent the interquartile range (IQR), whiskers extend 1.5 * IQR, and circles mark outliers. Box color indicates decision: Green (confirmed), Yellow (tentative), Red (rejected). Gray represents meta‐attributes (shadowMin, shadowMax, shadowMean).\nFor the autistic participants, of the 15 variables tested, one was classified as tentatively important, and 14 were classified as unimportant for emotion recognition. As shown in Figure 12 (right), IQ was deemed tentatively important [MIS = 6.35] and all other variables were deemed unimportant for autistic emotion recognition.\nNext, to verify the results from our random forests analyses, we conducted a linear regression in each group, predicting mean emotion recognition accuracy with the “important” and “tentatively important” variables. In these regressions, we added the predictor variables sequentially, starting with the variables with the highest mean importance scores, until there was no longer a significant improvement to the model. This follow‐up analysis was conducted to complement the strengths of the random forests approach. While random forests combined with the Boruta algorithm are well suited for robust feature selection—particularly in the context of multicollinearity and high‐dimensional data—they do not provide direct estimates of effect size, directionality, or statistical significance. Linear regression, by contrast, allows for clearer interpretation of the strength and direction of associations, variance explained, and statistical inference through p values. Thus, these regression models served to validate and clarify the relationships between the selected predictors and emotion recognition accuracy.\nFor non‐autistic individuals, entering mean spoken jerk precision as a predictor of emotion recognition significantly improved the model [F change = 16.59, p < 0.001, R2 change = 41.9%], accounting for 41.9% of the variance. Adding TAS score in the second step marginally improved the model [F change = 4.27, p = 0.051, R2 change = 9.9%], accounting for an additional 9.9% of the variance. There were no further improvements to the model when we added the remaining important and tentatively important variables. These results suggest that, for non‐autistic people, those with more precise spoken productions (with respect to jerk) tended to have greater emotion recognition accuracy.\nTo evaluate the strength of evidence for this model, we conducted Bayesian analyses separately for each group. Unlike traditional frequentist analyses, which only test whether an effect is statistically significant, Bayesian methods quantify the degree of evidence for both the presence and absence of an effect—providing a more nuanced assessment. This was particularly useful in our case, as it allowed us to determine whether the same predictors that were informative for non‐autistic individuals also explained variance in autistic individuals. The results showed very strong evidence for the model (where spoken jerk precision and alexithymia predict emotion recognition) in the non‐autistic group [BF10 = 87.55, R\n2 = 51.4%], but moderate evidence for the null model in the autistic group [BF10 = 0.22, R\n2 = 2.4%], supporting the idea that different factors may be linked to autistic and non‐autistic emotion recognition.\nFor autistic individuals, IQ was a significant positive predictor [t = 2.60, b = 0.48, p = 0.016], accounting for 22.6% of the variance in emotion recognition accuracy, and significantly improving the model [F change = 7.73, p = 0.016, R\n2 change = 22.6%]. Bayesian analyses demonstrated that there was moderately strong evidence for this model relative to a null model [BF10 = 3.62]. In contrast, the same analysis demonstrated weak evidence for the null model for non‐autistic individuals [BF10 = 0.94, R\n2 = 10.2%].\nWe also conducted additional analyses to ascertain (1) whether the autistic participants produced more or less precise and idiosyncratic facial expressions than their non‐autistic peers, (2) whether age, gender, or IQ were associated with mean levels of jerk or activation, (3) the (Bayesian) prevalence of our group effects, (4) individual differences that might be related to spoken jerk precision in the non‐autistic group, and (5) the contribution of autistic and alexithymic traits to the precision and differentiation of angry, happy and sad facial expressions. These analyses, which are outside of the scope of the main manuscript, are reported in Supporting Information F–K respectively.\n\n\n### Discussion\nIn this study, we first compared the facial expressions produced by autistic and non‐autistic individuals, after controlling for differences in facial morphology and alexithymia, and second, explored whether the jerkiness, activation, precision, and differentiation of participants' own emotional expressions contributed to their ability to recognize others'. Our results suggest that both autism and alexithymia contribute to levels of activation and jerk when producing emotional expressions, with these effects varying by emotion (i.e., across anger, happiness, and sadness), facial action unit (e.g., brow down blendshapes, mouth smile blendshapes, etc.), and posing condition (i.e., cued versus spoken). That is, compared to non‐autistic participants, the autistic participants did not show a consistent pattern of higher or lower activation or jerk across all facial features, emotions, and conditions. Instead, they displayed higher activation or jerk in some facial regions for certain emotions and posing conditions, lower activation or jerk in others, and in some cases, there were no differences between groups. This evidence points to some differences in both the configuration (i.e., relative activation) and kinematics of facial features between autistic and non‐autistic individuals when expressing emotion. Such mismatches could, at least partially, explain why autistic individuals find it difficult to recognize the emotions of non‐autistic people, and vice versa (Keating and Cook 2020; Brewer et al. 2016; Lampi et al. 2023; Love 1993); autistic and non‐autistic faces may be essentially “speaking a different language” when conveying emotion (Keating 2023). Therefore, what have previously been thought of as intrinsic emotion recognition “deficits” for autistic people may be more accurately described as difficulties resulting from cross‐neurotype interactions. Further research is needed to test the impact of expressive differences on emotion recognition for autistic and non‐autistic people.\nFor anger, across both conditions, the autistic participants displayed lower activation of the brow down blendshapes, and higher activation of specific mouth blendshapes (e.g., mouth frown, mouth upper up), than their non‐autistic peers (even after controlling for facial morphology and alexithymia). Autistic individuals also displayed significantly higher jerk for all mouth facial landmarks in the cued condition. Together, this evidence suggests that autistic people may rely more on the mouth, and less on the eyebrow region, to signal anger than their non‐autistic counterparts, both during cued and spoken emotional expressions. Interestingly, autistic individuals typically attend more to the mouth, and less to the eye region (than their non‐autistic peers), when recognizing emotional expressions (Klin et al. 2002; Riby et al. 2009; Calder et al. 2000). One possible explanation that develops from our current findings is that, since autistic individuals rely more on the mouth, and less on the eyebrows, (than non‐autistic individuals) to signal anger themselves, these participants may expect there to be more expressive information in the mouth region, and thus attend to this area more. Such attentional biases could then lead to downstream difficulties recognizing anger since the majority of expressive information is thought to be conveyed in the upper half of the face (Calder et al. 2000; Smith et al. 2005). Further research is necessary to test whether differences between groups in the production of emotional facial expressions contribute to differences in the sampling and recognition of them.\nFor happiness, there were large differences between groups in activation for both cued and spoken expressions, even after controlling for facial morphology and alexithymia. Specifically, the autistic participants displayed significantly lower activation of many blendshapes typically associated with happiness in both conditions—the left and right mouth smile, cheek squint, eye squint, and brow down blendshapes. By contrast, we found that the autistic participants exhibited higher activation for other cheek and mouth blendshapes (e.g., mouth funnel, mouth pucker, cheek puff, and mouth roll upper) in both conditions. Together, these results suggest there are group differences in mouth configuration when expressing happiness, with autistic individuals displaying a less exaggerated, and more puckered smile. Moreover, our results suggest that autistic participants rely less on the eyes, eyebrows, and cheeks than their non‐autistic peers when posing happiness. This may explain why autistic expressions have been rated as less natural in previous experiments (Faso et al. 2015): in the neurotypical literature, genuine (i.e., natural) happy expressions are said to be characterized by activation of both the zygomaticus major muscle—which pulls the lip corners upwards (i.e., mouth)—and the orbicularis oculi muscle—which lifts the cheeks, gathers the skin around the eye, and pulls the brow down—while non‐genuine happy expressions only involve the former (Ekman and Friesen 1982; Frank and Ekman 1993; Iwasaki and Noguchi 2016). Hence, autistic happy expressions may be perceived as less genuine (by non‐autistic observers), as they mostly involve activation of the zygomaticus major muscle (i.e., the mouth). Notably, although these expressions may be perceived as less genuine according to neurotypical criteria, this does not necessarily mean that autistic individuals produce less authentic or more forced expressions. Rather, it could be that genuine happy expressions for autistic individuals do not involve the orbicularis oculi to the same extent as for non‐autistic individuals. Further work is necessary to characterize genuine and posed autistic facial expressions, and to ascertain whether autistic expressions are rated as less natural or atypical in appearance (Faso et al. 2015; Grossman et al. 2013; Loveland et al. 1994; Macdonald et al. 1989) due to lower activation of the orbicularis oculi.\nFor sadness, there were fewer group differences in activation (relative to anger and happiness), and no group differences in jerk, after controlling for facial morphology and alexithymia. In the cued condition, the autistic participants exhibited significantly lower activation of the jaw forward blendshape at peak expression, and higher activation of the mouth upper up blendshape when transitioning into the expression. In the spoken condition, the autistic participants displayed significantly lower activation of the mouth frown, mouth roll, and eye squint blendshapes (at specific moments in time), but higher activation of the mouth upper up, brow outer up, and jaw left blendshapes. Thus, once again, our results point to different facial configurations for both cued and spoken sad expressions between groups. Most notably, the autistic participants tended to raise their upper lip more (cued and spoken condition), and pull the corners of their mouth down less (spoken condition), to display the downturned mouth that is characteristic of a sad expression (than their non‐autistic peers).\nThe results of the current study partially support our hypothesis concerning the jerkiness of facial movements. Based on prior research showing jerkier whole‐body, upper‐limb, and head movements [see Cook (2016)], we predicted that autistic participants here would display significantly more jerky facial expressions than their non‐autistic counterparts. However, whilst the autistic participants (relative to non‐autistic participants) exhibited higher jerk at all mouth landmarks for cued expressions of anger, thus supporting our hypothesis, we also found lower jerk at specific eyebrow landmarks for cued expressions of happiness, and no differences in jerk for sadness, contradicting our hypothesis. Moreover, there were no differences in jerk between groups in the spoken condition, in contrast to our hypothesis.\nIn this project, we found that alexithymia significantly contributed to the production of emotional facial expressions, both in terms of activation and jerk. For example, alexithymia, and not autism, was associated with less differentiated angry and happy facial expressions for both cued and spoken expressions. Specifically, in the spoken condition, we found that individuals high in alexithymia displayed elevated activation of the mouth smile blendshapes when posing anger, and the mouth frown blendshape when posing happiness. Concurrently, for both cued and spoken expressions, we found that there were smaller differences in activation between angry and happy facial expressions across blendshapes for those high, relative to low, in alexithymia. These results suggest that highly alexithymic individuals may produce more overlapping or ambiguous, angry and happy facial expressions. This challenges previous findings which have attributed less differentiated expressions in autistic individuals to autism, rather than alexithymia (Yirmiya et al. 1989; Rozga et al. 2013). Further research is needed to determine whether alexithymia leads to greater overlap between other emotional expressions (e.g., anger and disgust, surprise and fear, etc.), and to investigate whether observers have difficulty recognizing the less differentiated expressions of highly alexithymic individuals.\nAnother key aim of this study was to explore links between the production and perception of emotional expressions in autistic and non‐autistic individuals. Leveraging the body movement and emotional experience literatures we predicted that less precise and/or differentiated facial expressions would be associated with reduced emotion recognition accuracy. We found that precision was an important contributor for non‐autistic individuals, accounting for 41.9% of the variance in emotion recognition accuracy: those who produced highly variable spoken expressions (in terms of jerk) typically had poorer accuracy on an independent emotion recognition task. In a further exploratory analysis, we also identified a potential mechanistic pathway by which alexithymia contributes to emotion recognition difficulties (see Supporting Information I): alexithymia may lead to more variable productions of emotional expressions, which may in turn lead to greater emotion recognition difficulties (i.e., an indirect effect). Nevertheless, since mediation analyses cannot definitively determine causality (Bollen and Pearl 2013), future studies employing causal manipulation are necessary to confirm this.\nWhile the precision of spoken productions predicted emotion recognition for non‐autistic individuals, no production‐related factors contributed to emotion recognition for autistic individuals. For this group, IQ was the only significant contributor, explaining 22.6% of the variance in accuracy. These results contribute to a growing literature suggesting that different psychological mechanisms are involved in autistic and non‐autistic emotion recognition (Keating et al. 2023, 2026; Rump et al. 2009; Rutherford and McIntosh 2007; Walsh et al. 2014). Within this literature, there is evidence that the precision of visual emotion representations (i.e., emotional expression in the “mind's eye”) contributes to emotion recognition accuracy for non‐autistic individuals, but not autistic individuals (Keating and Cook 2023; Keating et al. 2023). Taken together, these studies suggest that autistic individuals may not be using their visual representations and productions of facial expressions to help them recognize others' emotions (as much as their non‐autistic peers). This idea aligns with Bayesian theories of autism which propose that, compared to non‐autistic people, autistic individuals are less influenced by prior expectations (Lawson et al. 2014). In this framework, a visual representation of an emotion can be considered a prior—an internal prediction about what a given emotion should look like. While non‐autistic individuals may recognize emotions by comparing incoming sensory information (i.e., facial expressions) to this prior, autistic individuals may place less weight on such priors, potentially relying more on the incoming sensory information. This reduced influence of priors could help explain why the precision of one's own facial expressions is linked to emotion recognition for non‐autistic individuals but not for autistic individuals.\nIf autistic individuals rely less on stored visual representations and productions of facial expressions, how are they recognizing other people's emotions? One plausible explanation is that autistic individuals may have developed cognitively or verbally mediated compensatory strategies (Keating et al. 2023, 2026; Rump et al. 2009; Rutherford and McIntosh 2007; Walsh et al. 2014). For example, a “rule‐based” strategy where the incoming expression is matched to a list of features associated with different emotions (e.g., anger: “furrowed eyebrow”; happiness: “lips raised”; sadness: “downturned mouth”) (Rutherford and McIntosh 2007; Walsh et al. 2014). If autistic individuals are employing these cognitively or verbally mediated rule‐based strategies, then we might expect emotion recognition performance to be related more to verbal or cognitive ability in the autistic than non‐autistic group. Supporting this idea, here we found that IQ was a significant predictor of emotion recognition for the autistic [F (1,23) = 6.73, p = 0.013, R\n2 = 22.6], but not non‐autistic participants [F (1,23) = 2.62, p = 0.120, R\n2 = 10.2%]. Concurrently, if autistic individuals are employing more cognitive strategies, rather than automatically comparing to their visual representations or productions, this could also explain the longer emotion recognition response latencies found for autistic individuals (Georgopoulos et al. 2022; Hileman et al. 2011; Loth et al. 2018; McPartland et al. 2004; O'Connor et al. 2005; O'Connor et al. 2007; Webb et al. 2006). Further research is necessary to test whether autistic people adopt a rule‐based strategy to recognize others' emotions, and to identify what other factors contribute to autistic emotion recognition.\nA key strength of this study is that we adopted a landmark detection approach—in which we extracted activation and jerk for numerous facial landmarks—rather than an emotion detection approach—wherein coarse estimations are computed regarding the extent to which anger, happiness, and/or sadness is displayed [e.g., FaceReader, Facet, FaceVideo; see (Dupré et al. 2020)]. This approach offers several advantages. First, it allowed us to move beyond capturing global differences in angry, happy, and sad facial expressions and instead comprehensively compare levels of activation and jerk across all facial features, for these emotions. This approach enabled us to disentangle mixed findings on emotional expressivity in autism, showing that expressions may appear more or less intense depending on the facial region being studied. Second, examining numerous facial features allowed us to identify what specifically is different about autistic and non‐autistic expressions, thus addressing a critical gap in the literature [see (Keating and Cook 2020)], and opening avenues to interventions aimed at enhancing cross‐neurotype emotions recognition. Third, our approach does not require software to assume, or make a prediction about, the emotion being displayed. This is pertinent given that previous work has critiqued the accuracy of the predictions made by automated emotion detection software (Burgess et al. 2023; Dupré et al. 2018; Küntzler et al. 2021).\nWhile this study provides valuable insights into the differences in voluntarily produced facial expressions between autistic and non‐autistic individuals, further research is needed to characterize and compare spontaneous expressions. Here, we focused specifically on voluntary expressions, which are ubiquitous in everyday life, posed in order to deliberately communicate one's thoughts, intentions, and emotions to interaction partners (Parkinson 2005; Frith 2009; Jack and Schyns 2015). However, it is important to note that spontaneous expressions are also common in day‐to‐day life, may comprise more accurate indicators of an individual's emotions (Jia et al. 2021) and may be enervated via different pathways to (Rinn 1984; Morecraft et al. 2001) and look different from (Namba et al. 2017; Park et al. 2020) posed expressions. As such, the patterns we observed may not reflect how autistic and non‐autistic individuals express emotions in spontaneous, emotionally charged situations. It is also possible that autistic and non‐autistic people differ more in their ability to deliberately pose facial expressions than in their spontaneous productions, and thus we may overestimate expressive differences here. Supporting this possibility, there is evidence that autistic individuals produce less recognizable happy expressions (than their non‐autistic counterparts) only when posing, and not when expressions are naturalistically elicited (Faso et al. 2015). This suggests that there are differences in the appearance of posed and spontaneous happy expressions among autistic people. Thus, in sum, the findings documented here may not generalize to spontaneously produced emotional expressions. Future research should examine how autism and alexithymia contribute to the spatiotemporal and kinematic properties of spontaneous expressions.\nBeyond this, further research is needed to compare the facial expressions produced by autistic and non‐autistic individuals for additional emotions, such as fear, disgust, and surprise. In the present study, we focused on anger, happiness, and sadness for both theoretical and practical reasons. Theoretically, these emotions were chosen based on previous work showing that autistic adults exhibited selective difficulties recognizing angry—but not happy or sad—facial expressions posed by non‐autistic people, relative to their non‐autistic peers (Keating et al. 2022). This raised the possibility that autistic and non‐autistic individuals might also differ more in their production of angry, compared to happy or sad, expressions—potentially contributing to the observed recognition differences. However, our findings did not support this hypothesis: the largest group differences emerged in the production of happy expressions. These three emotions were also selected because they span a broad range of affective space within the circumplex model of emotion (Russell 1980), representing both positive and negative valence as well as high (anger) and low (sadness) arousal. Moreover, they capture a wide portion of “expression‐space”—a conceptual extension of face‐space that accounts for variation in facial expressions of emotion (Calder et al. 2001). From a practical standpoint, including additional emotions (e.g., fear, disgust, and surprise) would have substantially lengthened the recording session, as multiple repetitions of each expression were required to ensure adequate statistical power. This was not feasible within the broader testing battery, and we were mindful that such tasks could be especially fatiguing for autistic participants, potentially introducing confounds related to exhaustion.\nA further limitation concerns our sample size and composition. The relatively small group sizes mean we may not have fully captured the breadth of facial expressions produced by autistic and non‐autistic individuals. Autism is highly heterogeneous, with variability in genetics, neural systems, cognitive attributes, social communication, focused interests, and repetitive behaviors (Georgiades et al. 2013; Geurts et al. 2021; Cruz Puerto and Sandín Vázquez 2024; Qi et al. 2020), and is often accompanied by a range of co‐occurring conditions that further contribute to unique phenotypes (Hobson and Petty 2021). In the present study, we observed that this heterogeneity extends to facial expressions, with autistic participants producing more idiosyncratic expressions than their non‐autistic peers (see Supporting Information F). Given this heightened heterogeneity, the facial expressions recorded here may not fully represent the diversity of emotional displays within the autistic population. Future research with larger, more demographically representative samples will be essential for mapping the full range of expressive styles and for understanding how such heterogeneity influences emotion recognition both within and across neurotypes.\n\n\n### Strengths, Limitations and Future Directions\nA key strength of this study is that we adopted a landmark detection approach—in which we extracted activation and jerk for numerous facial landmarks—rather than an emotion detection approach—wherein coarse estimations are computed regarding the extent to which anger, happiness, and/or sadness is displayed [e.g., FaceReader, Facet, FaceVideo; see (Dupré et al. 2020)]. This approach offers several advantages. First, it allowed us to move beyond capturing global differences in angry, happy, and sad facial expressions and instead comprehensively compare levels of activation and jerk across all facial features, for these emotions. This approach enabled us to disentangle mixed findings on emotional expressivity in autism, showing that expressions may appear more or less intense depending on the facial region being studied. Second, examining numerous facial features allowed us to identify what specifically is different about autistic and non‐autistic expressions, thus addressing a critical gap in the literature [see (Keating and Cook 2020)], and opening avenues to interventions aimed at enhancing cross‐neurotype emotions recognition. Third, our approach does not require software to assume, or make a prediction about, the emotion being displayed. This is pertinent given that previous work has critiqued the accuracy of the predictions made by automated emotion detection software (Burgess et al. 2023; Dupré et al. 2018; Küntzler et al. 2021).\nWhile this study provides valuable insights into the differences in voluntarily produced facial expressions between autistic and non‐autistic individuals, further research is needed to characterize and compare spontaneous expressions. Here, we focused specifically on voluntary expressions, which are ubiquitous in everyday life, posed in order to deliberately communicate one's thoughts, intentions, and emotions to interaction partners (Parkinson 2005; Frith 2009; Jack and Schyns 2015). However, it is important to note that spontaneous expressions are also common in day‐to‐day life, may comprise more accurate indicators of an individual's emotions (Jia et al. 2021) and may be enervated via different pathways to (Rinn 1984; Morecraft et al. 2001) and look different from (Namba et al. 2017; Park et al. 2020) posed expressions. As such, the patterns we observed may not reflect how autistic and non‐autistic individuals express emotions in spontaneous, emotionally charged situations. It is also possible that autistic and non‐autistic people differ more in their ability to deliberately pose facial expressions than in their spontaneous productions, and thus we may overestimate expressive differences here. Supporting this possibility, there is evidence that autistic individuals produce less recognizable happy expressions (than their non‐autistic counterparts) only when posing, and not when expressions are naturalistically elicited (Faso et al. 2015). This suggests that there are differences in the appearance of posed and spontaneous happy expressions among autistic people. Thus, in sum, the findings documented here may not generalize to spontaneously produced emotional expressions. Future research should examine how autism and alexithymia contribute to the spatiotemporal and kinematic properties of spontaneous expressions.\nBeyond this, further research is needed to compare the facial expressions produced by autistic and non‐autistic individuals for additional emotions, such as fear, disgust, and surprise. In the present study, we focused on anger, happiness, and sadness for both theoretical and practical reasons. Theoretically, these emotions were chosen based on previous work showing that autistic adults exhibited selective difficulties recognizing angry—but not happy or sad—facial expressions posed by non‐autistic people, relative to their non‐autistic peers (Keating et al. 2022). This raised the possibility that autistic and non‐autistic individuals might also differ more in their production of angry, compared to happy or sad, expressions—potentially contributing to the observed recognition differences. However, our findings did not support this hypothesis: the largest group differences emerged in the production of happy expressions. These three emotions were also selected because they span a broad range of affective space within the circumplex model of emotion (Russell 1980), representing both positive and negative valence as well as high (anger) and low (sadness) arousal. Moreover, they capture a wide portion of “expression‐space”—a conceptual extension of face‐space that accounts for variation in facial expressions of emotion (Calder et al. 2001). From a practical standpoint, including additional emotions (e.g., fear, disgust, and surprise) would have substantially lengthened the recording session, as multiple repetitions of each expression were required to ensure adequate statistical power. This was not feasible within the broader testing battery, and we were mindful that such tasks could be especially fatiguing for autistic participants, potentially introducing confounds related to exhaustion.\nA further limitation concerns our sample size and composition. The relatively small group sizes mean we may not have fully captured the breadth of facial expressions produced by autistic and non‐autistic individuals. Autism is highly heterogeneous, with variability in genetics, neural systems, cognitive attributes, social communication, focused interests, and repetitive behaviors (Georgiades et al. 2013; Geurts et al. 2021; Cruz Puerto and Sandín Vázquez 2024; Qi et al. 2020), and is often accompanied by a range of co‐occurring conditions that further contribute to unique phenotypes (Hobson and Petty 2021). In the present study, we observed that this heterogeneity extends to facial expressions, with autistic participants producing more idiosyncratic expressions than their non‐autistic peers (see Supporting Information F). Given this heightened heterogeneity, the facial expressions recorded here may not fully represent the diversity of emotional displays within the autistic population. Future research with larger, more demographically representative samples will be essential for mapping the full range of expressive styles and for understanding how such heterogeneity influences emotion recognition both within and across neurotypes.\n\n\n### Author Contributions\nC.T.K. and S.S‐C. designed the study. C.T.K. collected the data, processed and analyzed the data, and wrote an initial draft. H.O.D. assisted with data‐processing. C.T.K. and J.L.C. reviewed and edited the initial draft. Supervision was conducted by J.L.C. All authors read and approved the final manuscript.\n\n\n### Funding\nThis project was supported by the Medical Research Council (MRC, United Kingdom) MR/R015813/1 and the European Union's Horizon 2020 Research and Innovation Programme under ERC‐2017‐STG Grant Agreement No 757583.\n\n\n### Disclosure\nNo materials are reproduced from other sources.\n\n\n### Ethics Statement\nThis study was approved by the Science, Technology, Engineering and Mathematics (STEM) ethics committee at the University of Birmingham (ERN_16‐0281AP9D) and was conducted in accordance with the principles of the revised Helsinki Declaration. All participants provided informed consent before taking part.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nTable S1: Participants' ethnicity information.\nFigure S1: A diagram illustrating the 68 facial landmarks tracked in the current study. These facial landmarks are based on those captured by OpenFace.\nFigure S2: Graphs showing the t‐values for the significant group (top) and alexithymia (bottom) effects on jerk across facial landmarks and time for angry cued expressions. Positive values (e.g., orange, red) signify higher jerk in the autistic participants or a positive predictive relationship between jerk and alexithymia. Negative values (e.g., blue and purple) signify lower jerk in the autistic participants or a negative predictive relationship between jerk and alexithymia.\nFigure S3: Graphs showing the t‐values for the significant group (top) and alexithymia (bottom) effects on jerk across facial landmarks and time for happy cued expressions. Positive values (e.g., orange, red) signify higher jerk in the autistic participants or a positive predictive relationship between jerk and alexithymia. Negative values (e.g., blue and purple) signify lower jerk in the autistic participants or a negative predictive relationship between jerk and alexithymia.\nFigure S4: Graphs showing the t‐values for the significant group (top) and alexithymia (bottom) effects on jerk across facial landmarks and time for sad cued expressions. Positive values (e.g., orange, red) signify higher jerk in the autistic participants or a positive predictive relationship between jerk and alexithymia. Negative values (e.g., blue and purple) signify lower jerk in the autistic participants or a negative predictive relationship between jerk and alexithymia.\nFigure S5: Graphs showing the t‐values for the significant group (top) and alexithymia (bottom) effects on jerk across facial landmarks and time for angry spoken expressions. Positive values (e.g., orange, red) signify higher jerk in the autistic participants or a positive predictive relationship between jerk and alexithymia. Negative values (e.g., blue and purple) signify lower jerk in the autistic participants or a negative predictive relationship between jerk and alexithymia.\nFigure S6: Graphs showing the t‐values for the significant group (top) and alexithymia (bottom) effects on jerk across facial landmarks and time for happy spoken expressions. Positive values (e.g., orange, red) signify higher jerk in the autistic participants or a positive predictive relationship between jerk and alexithymia. Negative values (e.g., blue and purple) signify lower jerk in the autistic participants or a negative predictive relationship between jerk and alexithymia.\nFigure S7: Graphs showing the t‐values for the significant group (top) and alexithymia (bottom) effects on jerk across facial landmarks and time for sad spoken expressions. Positive values (e.g., orange, red) signify higher jerk in the autistic participants or a positive predictive relationship between jerk and alexithymia. Negative values (e.g., blue and purple) signify lower jerk in the autistic participants or a negative predictive relationship between jerk and alexithymia.\nFigure S8: A graph showing the inter‐participant variability in activation across blendshapes when posing an angry expression, for the autistic (green) and non‐autistic participants (purple).\nFigure S9: A graph showing the inter‐participant variability in activation across blendshapes when posing a happy expression, for the autistic (green) and non‐autistic participants (purple).\nFigure S10: A graph showing the inter‐participant variability in activation across blendshapes when posing a sad expression, for the autistic (green) and non‐autistic participants (purple).\nTable S2: Relationships between our facial movement metrics and age and IQ, respectively.\nFigure S11: Mediation models showing the contribution of alexithymia to non‐autistic emotion recognition via spoken jerk precision. The asterisks (*) denote statistical significance based on 95% confidence intervals.", "domain": "affective_neuroscience"}
{"source": "PMC12944289", "title": "EEG-Based Emotion Estimation Model Integrating Structural and Time-Series Information Based on Deep Learning Architecture Optimization", "text": "# EEG-Based Emotion Estimation Model Integrating Structural and Time-Series Information Based on Deep Learning Architecture Optimization\n\n## Abstract\nEmotion recognition is increasingly important for applications in mental health and personalized marketing. Traditional methods based on facial and vocal cues lack robustness due to voluntary control, motivating the use of EEG signals that capture neural dynamics with high temporal resolution. Existing EEG-based approaches using CNNs and LSTMs have improved spatial and temporal feature extraction; however, they still face critical limitations. These models struggle to represent electrode connectivity and adapt to inter-individual variability, and their architectures are typically handcrafted, requiring extensive manual tuning of hyperparameters and structural design. Such constraints hinder scalability and personalization, highlighting the need for automated architecture optimization. To address these challenges, we propose a dual-pipeline architecture that integrates frequency-domain and time-domain EEG features. The frequency-domain branch employs a Graph Convolutional Network (GCN) to model spatial relationships among electrodes, while the time-domain branch uses LSTM enhanced with Channel Attention to emphasize subject-specific informative channels. Furthermore, we introduce Differentiable Architecture Search (DARTS) to automatically discover optimal architectures tailored to individual EEG patterns, significantly reducing search cost compared to manual tuning. Experimental results demonstrate that our framework achieves competitive accuracy and high adaptability compared to state-of-the-art baselines, marking the first integration of GCN, LSTM, channel attention, and architecture search for EEG-based emotion recognition.\n\n## Full Text\n\n\n### 1. Introduction\nEmotion recognition has gained significant traction across multiple disciplines, extending from psychiatric diagnostics to the optimization of consumer engagement in marketing [1]. Traditional methods primarily rely on facial expressions and vocal cues to infer affective states. These non-invasive approaches offer significant practical advantages, as they require no specialized equipment such as neurocaps or facial attachments, making them highly suitable for measurements in naturalistic environments and everyday settings [2]. However, these modalities present fundamental limitations: They capture only overt behavioral manifestations that individuals can intentionally alter or mask, and they are insufficient for accessing genuine internal emotional states that may not be reflected in observable expressions or vocal patterns. Consequently, the robustness and ecological validity of such systems are compromised, particularly in applications requiring genuine emotion detection. In response to these limitations, there has been growing interest in incorporating deeper physiological signals—such as electroencephalography (EEG), electrocardiography (ECG), electrodermal activity (EDA), and electromyography (EMG)—which reflect autonomic nervous system activity, are less amenable to voluntary manipulation, and provide more direct access to genuine internal emotional states [3]. Among these modalities, EEG has attracted considerable attention because it directly captures brain activity at high temporal resolution, enabling analysis of the neural dynamics underlying emotional states. This capability makes EEG-based approaches particularly promising for developing objective and reliable emotion recognition systems.\nVarious studies have been conducted in the past focusing on EEG-based emotion recognition. For instance, numerous approaches have employed Convolutional Neural Networks (CNNs) to extract discriminative features from EEG signals [4,5,6,7]. CNNs are particularly well-suited to this task because they can automatically learn hierarchical spatial patterns from raw or minimally processed EEG data, reducing the need for handcrafted features. Moreover, CNNs effectively capture local dependencies and spatial correlations across electrode channels, which are critical for modeling the complex brain dynamics underlying emotional states. This capability has led to significant improvements in classification accuracy compared to traditional machine learning methods.\nHowever, CNNs inherently distort spatial relationships when projecting 3D electrodes onto 2D grids. While Graph Convolutional Networks (GCNs) resolve this by directly modeling topological connections, they remain primarily spatial models and—like CNNs—struggle to capture the temporal dependencies inherent in EEG signals. To address this limitation, Long Short-Term Memory (LSTM) networks have been introduced, offering a mechanism to model sequential dynamics by maintaining long-range temporal context through gated recurrent units [8,9]. LSTM models are particularly advantageous for EEG-based emotion recognition because emotional states often manifest as temporal patterns rather than isolated spatial features. By leveraging memory cells and gating mechanisms, LSTMs can effectively learn these temporal dependencies, leading to improved performance in scenarios where the evolution of brain activity over time is critical.\nRecent advances in deep learning have introduced attention-based architectures, such as transformers, which leverage self-attention mechanisms to capture long-range temporal dependencies more effectively than traditional recurrent networks. While these models have shown promise in various sequential tasks, Walther et al. [10] highlight a practical challenge in EEG-based emotion recognition: achieving optimal performance with transformers typically requires substantial amounts of training data, which is often limited in clinical settings. Moreover, standard transformer architectures tend to learn electrode relationships as data-driven attention weights without explicitly encoding the topological constraints of brain networks or the 3D spatial configuration of the scalp.\nTo jointly address spatial and temporal characteristics of EEG signals under such constraints, sequential GCN-LSTM frameworks have been explored [11,12]. These approaches employ graph convolutions to explicitly model spatial relationships among electrodes, followed by recurrent networks to capture temporal dynamics. However, the serial nature of this processing introduces an information bottleneck: the initial GCN stage compresses spatial features into abstract representations, potentially discarding fine-grained temporal variations critical for subsequent LSTM processing. Furthermore, frequency-domain features commonly used with GCNs may attenuate transient temporal dynamics that LSTMs excel at capturing.\nBeyond architectural considerations, prior research has explored strategies to enhance clinical feasibility by considering the differential importance of EEG electrodes [13]. Approaches such as focusing on symmetric regions or selecting electrodes most strongly associated with emotional processing have been proposed to reduce complexity and improve practicality in real-world applications. However, these methods face significant challenges due to substantial inter-individual variability in brain activity patterns. This variability makes it difficult to generalize electrode selection across subjects, and incorporating such personalized configurations into deep learning models remains an open research problem [3,14].\nWe hypothesize that these challenges can be mitigated by a model that automatically learns both temporal dynamics and spatial relationships among electrodes while adaptively emphasizing subject-specific important channels. To achieve this, as a first novelty, we propose a dual-pipeline architecture that simultaneously processes frequency- and time-domain features to fully exploit the rich information in EEG signals. In the frequency-domain branch, a Graph Convolutional Network (GCN) [15] is employed to model the spatial relationships between electrodes by leveraging their connectivity patterns, which are represented as a graph structure. This enables the network to aggregate information from neighboring electrodes and capture structural dependencies critical for emotion recognition. In parallel, the time-domain branch uses an LSTM, which excels at modeling sequential dependencies, to capture the temporal dynamics of emotional states. Furthermore, as a second novelty, to account for subject-specific variability and improve robustness, we incorporate electrode importance scores computed by a Channel Attention (CA) mechanism into the LSTM input. This attention-based weighting emphasizes features from the most informative electrodes, allowing the model to adaptively focus on regions that contribute most to emotion recognition.\nMoreover, as a third novelty, we address the challenge of hyperparameter optimization. Maximizing emotion recognition accuracy for each individual requires an efficient mechanism to automatically identify an optimal architecture tailored to subject-specific characteristics. Given the substantial variability in EEG patterns, hyperparameter optimization is essential; however, manual search is computationally expensive and impractical. To overcome this, we adopt Differentiable Architecture Search (DARTS), which formulates architecture selection as a differentiable optimization problem. By defining candidate operations with varying structural hyperparameters and jointly optimizing architecture parameters and model weights, DARTS enables automatic discovery of subject-specific architectures at significantly lower cost compared to conventional evolutionary or reinforcement learning-based methods [16]. To the best of our knowledge, no prior work has incorporated DARTS into EEG-based emotion recognition frameworks, making this study the first to explore this direction. The main contributions are summarized as follows:1.Dual-Pipeline Graph-Based Architecture: We propose a framework that processes frequency-domain and time-domain EEG features in parallel, using GCN to capture spatial connectivity and LSTM to model temporal dynamics.2.Channel Attention for Personalization: We introduce a Channel Attention mechanism to automatically identify and emphasize subject-specific important electrodes, improving robustness and adaptability.3.Automated Architecture Optimization with DARTS: We employ Differentiable Architecture Search (DARTS) to automatically discover subject-specific optimal architectures, reducing search cost significantly.\nDual-Pipeline Graph-Based Architecture: We propose a framework that processes frequency-domain and time-domain EEG features in parallel, using GCN to capture spatial connectivity and LSTM to model temporal dynamics.\nChannel Attention for Personalization: We introduce a Channel Attention mechanism to automatically identify and emphasize subject-specific important electrodes, improving robustness and adaptability.\nAutomated Architecture Optimization with DARTS: We employ Differentiable Architecture Search (DARTS) to automatically discover subject-specific optimal architectures, reducing search cost significantly.\n\n\n### 2. Related Work\nResearch on EEG-based emotion recognition has evolved significantly over the past decade [1,17]. Existing studies can be broadly categorized into three main directions: (1) deep learning architectures for spatiotemporal feature learning, (2) electrode selection and personalization strategies, and (3) automated architecture optimization.\nEarly approaches relied on traditional machine learning classifiers, which often struggled to model complex nonlinear patterns. In contrast, recent work has shifted toward Deep Learning architectures that can extract high-level, hierarchical features. Convolutional Neural Networks (CNNs) have been widely adopted for their ability to capture spatial correlations across EEG channels. For instance, Yanagimoto et al. [4] proposed a CNN-based model for emotion recognition, demonstrating improved accuracy over traditional classifiers. Similarly, Phan et al. [5] introduced a multi-scale CNN architecture to extract features at different resolutions, enhancing robustness against noise. Building on this direction, Li et al. [18] recently proposed an enhanced DenseNet model integrating multi-scale convolutional kernels to improve the reuse of shallow features, addressing the issue of feature dilution in deep networks. Furthermore, Kwon et al. [6] optimized CNN structures for EEG emotion classification, while Moon et al. [7] proposed a CNN-based approach that explicitly incorporates brain connectivity and spatial information between electrodes. In addition to standard CNNs, methods considering the brain’s symmetrical structure [19] and 3D convolutions [20] have further enhanced spatial feature extraction.\nHowever, standard CNNs have a fundamental limitation: they require input data to be structured as regular 2D grids. Since EEG electrodes are distributed in a non-Euclidean 3D space, mapping them onto a 2D plane often causes spatial distortion, disrupting the intrinsic topological relationships among brain regions. To address this issue, Graph Neural Networks (GNNs) have emerged as a powerful alternative capable of processing non-Euclidean data structures [21,22]. By modeling electrodes as nodes and their functional connectivity as edges, GNNs can capture global inter-channel relations without structural distortion. For example, Zhong et al. [23] and Liu et al. [24] proposed GNN-based methods that explicitly incorporate biological topology, achieving superior performance over grid-based CNN methods. Recent advancements have further refined GNN architectures. For instance, Jin et al. [25] proposed PGCN, a pyramidal GCN that aggregates features at local, mesoscopic, and global levels to better capture long-range dependencies. Similarly, Hou et al. [26] introduced DMGCN, a dual-stream, multi-level GCN that learns diverse representations across multi-metric spaces to capture hierarchical brain activities. To address the issue of subject variability, Xu et al. [27] developed DAGAM, which incorporates a domain-adversarial mechanism into a graph attention network. Furthermore, Qiu et al. [28] proposed MRGCN, which utilizes residual connections and combines short- and long-distance brain networks to extract deep emotional features. More recently, to capture continuous spatial-temporal dynamics, Hu et al. [29] proposed STRFLNet, a spatio-temporal representation fusion learning network that integrates a continuous dynamic-static graph ordinary differential equation (ODE) module with a hierarchical transformer fusion strategy.\nWhile these spatial models excel at capturing local or global spatial patterns, they inherently overlook the temporal dynamics of brain activity. To address this, Li et al. [8] introduced Long Short-Term Memory (LSTM) networks to model sequential patterns in EEG signals [9]. Consequently, hybrid architectures integrating spatial extractors with temporal modules have been extensively explored. For instance, Shen et al. [30] proposed a 4D convolutional recurrent neural network (4D-CRNN) that integrates CNNs for spatial and spectral feature extraction with LSTMs for temporal modeling. Similarly, Henni et al. [31] proposed a hybrid framework combining an autoencoder and a CNN-LSTM network. In their approach, EEG features are reshaped into 2D matrices to apply convolutional operations, followed by LSTMs for temporal analysis. To leverage the topological advantages of graphs, Feng et al. [11] proposed a spatial-temporal graph convolutional LSTM that combines graph convolutions for spatial extraction and LSTMs for temporal modeling. Further expanding on this direction, Li et al. [12] proposed TSGCN, a temporal-spectral GCN that employs Bi-directional LSTM to extract temporal features and a dynamic GCN to capture spatial topology. Similarly, Yin et al. [32] developed a fusion model integrating graph convolutional networks with LSTMs to simultaneously capture the spatial topology and temporal dependencies of EEG signals. Likewise, Lin et al. [33] proposed CSGCN, a hybrid architecture that utilizes GCNs to model spatial connectivity and LSTMs to capture temporal evolution, demonstrating the effectiveness of spatiotemporal fusion. Supporting this direction, a recent comprehensive review by Liu et al. [34] identifies the combination of hybrid architectures and attention mechanisms as one of the most definitive technological trends in the field. They highlight that such integrated approaches are essential for effectively modeling the intricate spatiotemporal dynamics and variability inherent in EEG signals.\nIn addition, research has advanced toward leveraging both time-domain and frequency-domain features, reflecting the complex nature of emotions and EEG signals. In the frequency domain, specific bands such as α and β waves have been shown to correlate with emotional states. Differential Entropy (DE) has therefore been widely adopted as an effective frequency-domain feature for EEG-based emotion recognition, and its usefulness has been extensively demonstrated in prior studies [13]. Conversely, in the time domain, waveform components such as the Late Positive Potential (LPP), a sustained positive deflection starting around 400 ms after stimulus presentation, have been linked to emotional processing [35]. Schirrmeister et al. [36] demonstrated that temporal features can be learned by directly inputting raw EEG signals into a Deep ConvNet. However, approaches that rely solely on frequency-domain features lose instantaneous waveform information due to averaging over fixed windows, while time-domain-only methods preserve temporal changes but mix diverse frequency components, making it difficult to isolate emotion-related patterns. These limitations highlight the need for an integrated approach that jointly learns from both domains to fully exploit EEG characteristics for emotion recognition.\nFurthermore, several studies have investigated reducing the number of electrodes to improve clinical feasibility and computational efficiency. Strategies include selecting symmetric regions or electrodes most associated with emotional processing [13]. While these methods simplify acquisition, they struggle with inter-individual variability, making it difficult to generalize across subjects. For example, Li et al. [37] explored subject-dependent models for emotion recognition, highlighting the difficulty of generalizing across individuals. To address such distribution shifts across subjects and sessions, Yu et al. [38] introduced FMLAN, a fine-grained mutual learning adaptation network that aligns features across domains by leveraging category and decision boundary information.\nFinally, maximizing emotion recognition accuracy for individuals requires a mechanism to automatically search for architectures suitable for each person. Evolutionary methods such as Genetic Algorithms (GA) and Particle Swarm Optimization (PSO) have been used for subject-specific architecture search [39,40,41]. While effective, these methods require hundreds to thousands of evaluations per subject, making the computational cost extremely high and impractical. This motivates the need for differentiable architecture search methods such as DARTS, which can optimize architectures efficiently through gradient-based learning.\nIn terms of evaluation protocols, most existing methods rely on public EEG-based emotion datasets such as DEAP [42] and SEED [13]. The DEAP dataset provides 32-channel EEG recordings from 32 participants watching affective music video clips, whereas the SEED dataset contains 62-channel EEG recordings from 15 subjects during film-clip-based emotion induction experiments. These benchmark datasets have become de facto standards for assessing EEG-based emotion recognition models. Although the use of these benchmark datasets facilitates a certain level of comparability across methods, reported accuracies can vary substantially depending on the adopted preprocessing pipeline, feature extraction strategy, model architecture, and evaluation protocol (e.g., subject-dependent vs. subject-independent settings). As a result, strictly fair numerical comparisons between different studies remain difficult. Therefore, we summarize representative results on DEAP and SEED from recent work in Table 1 as a reference for the general performance level, rather than as an exact ranking of methods.\n\n\n### 3. Foundational Techniques\nThis section outlines the foundational techniques that serve as the basis for the proposed method.\nGraph Convolutional Networks (GCNs) are deep learning models designed to learn from graph-structured data [15]. They generalize the convolution operation to non-Euclidean domains, where each node generates an embedding by aggregating feature information from its neighboring nodes. The fundamental aggregation process in a standard GCN is defined as follows:(1)hi(l+1)=σ(1|di|W(l)hi(l)+∑j∈N(i)1|di||dj|W(l)hj(l)).\nwhere hi(l) denotes the feature vector of node i at layer l; N(i) represents the set of neighboring nodes of node i; |di| is the degree of node i; σ is a non-linear activation function; and W(l) is a learnable weight matrix. By stacking multiple layers of this operation, nodes can aggregate information from a broader neighborhood range. However, standard GCNs face a limitation: The aggregation coefficients are determined solely by the static graph topology, preventing adaptive aggregation based on node features. To address this, Graph Attention Networks (GAT) introduced attention mechanisms, enabling the model to perform adaptive aggregation weighted by the specific features of neighboring nodes [43].\nLong Short-Term Memory (LSTM) is a variant of Recurrent Neural Networks (RNNs) designed for processing sequential time-series data [44]. By incorporating gating mechanisms, LSTMs overcome the long-term dependency problem inherent in traditional RNNs, enabling them to retain information across long sequences. Due to this capability, LSTMs are widely employed in emotion recognition tasks using time-series physiological data such as EEG [9,40].\nDifferentiable Architecture Search (DARTS) is an efficient Neural Architecture Search (NAS) framework that formulates architecture optimization as a differentiable problem by relaxing the discrete search space into a continuous domain [16]. Unlike conventional NAS approaches that rely on reinforcement learning or evolutionary algorithms—both of which require repeated training and evaluation of candidate architectures—DARTS significantly reduces computational cost by enabling gradient-based optimization. The core idea of DARTS is to represent each layer’s output as a weighted sum of candidate operations. Let O denote the set of candidate operations (e.g., convolution, pooling, skip connection), and αo be the architecture parameter associated with operation o∈O. The mixed operation at layer l is defined as follows:(2)o¯(x)=∑o∈Oexp(αo)∑o′∈Oexp(αo′)o(x;wo)\nwhere x∈Rd is the input feature vector (or tensor), and wo denotes the learnable weight vector associated with operation o. The softmax over α ensures differentiability and allows gradient-based optimization of architecture parameters. During the search phase, both the architecture parameters α and the network weights w are optimized jointly using gradient descent: (3)minw,αLtrain(w,α)+Lval(w,α).\nwhere Ltrain and Lval denote the training and validation losses, respectively. After optimization, the operation with the highest weight for each layer is selected to construct the final discrete architecture. By leveraging this approach, DARTS enables the automatic discovery of task-specific architectures with substantially lower computational overhead compared to traditional NAS methods. This capability is particularly advantageous for EEG-based emotion recognition, where inter-individual variability demands personalized architectures that would be impractical to design manually.\n\n\n### 3.1. Graph Convolutional Network\nGraph Convolutional Networks (GCNs) are deep learning models designed to learn from graph-structured data [15]. They generalize the convolution operation to non-Euclidean domains, where each node generates an embedding by aggregating feature information from its neighboring nodes. The fundamental aggregation process in a standard GCN is defined as follows:(1)hi(l+1)=σ(1|di|W(l)hi(l)+∑j∈N(i)1|di||dj|W(l)hj(l)).\nwhere hi(l) denotes the feature vector of node i at layer l; N(i) represents the set of neighboring nodes of node i; |di| is the degree of node i; σ is a non-linear activation function; and W(l) is a learnable weight matrix. By stacking multiple layers of this operation, nodes can aggregate information from a broader neighborhood range. However, standard GCNs face a limitation: The aggregation coefficients are determined solely by the static graph topology, preventing adaptive aggregation based on node features. To address this, Graph Attention Networks (GAT) introduced attention mechanisms, enabling the model to perform adaptive aggregation weighted by the specific features of neighboring nodes [43].\n\n\n### 3.2. Long Short-Term Memory\nLong Short-Term Memory (LSTM) is a variant of Recurrent Neural Networks (RNNs) designed for processing sequential time-series data [44]. By incorporating gating mechanisms, LSTMs overcome the long-term dependency problem inherent in traditional RNNs, enabling them to retain information across long sequences. Due to this capability, LSTMs are widely employed in emotion recognition tasks using time-series physiological data such as EEG [9,40].\n\n\n### 3.3. Differentiable Architecture Search\nDifferentiable Architecture Search (DARTS) is an efficient Neural Architecture Search (NAS) framework that formulates architecture optimization as a differentiable problem by relaxing the discrete search space into a continuous domain [16]. Unlike conventional NAS approaches that rely on reinforcement learning or evolutionary algorithms—both of which require repeated training and evaluation of candidate architectures—DARTS significantly reduces computational cost by enabling gradient-based optimization. The core idea of DARTS is to represent each layer’s output as a weighted sum of candidate operations. Let O denote the set of candidate operations (e.g., convolution, pooling, skip connection), and αo be the architecture parameter associated with operation o∈O. The mixed operation at layer l is defined as follows:(2)o¯(x)=∑o∈Oexp(αo)∑o′∈Oexp(αo′)o(x;wo)\nwhere x∈Rd is the input feature vector (or tensor), and wo denotes the learnable weight vector associated with operation o. The softmax over α ensures differentiability and allows gradient-based optimization of architecture parameters. During the search phase, both the architecture parameters α and the network weights w are optimized jointly using gradient descent: (3)minw,αLtrain(w,α)+Lval(w,α).\nwhere Ltrain and Lval denote the training and validation losses, respectively. After optimization, the operation with the highest weight for each layer is selected to construct the final discrete architecture. By leveraging this approach, DARTS enables the automatic discovery of task-specific architectures with substantially lower computational overhead compared to traditional NAS methods. This capability is particularly advantageous for EEG-based emotion recognition, where inter-individual variability demands personalized architectures that would be impractical to design manually.\n\n\n### 4. Proposed Method\nWe address the challenges of modeling electrode connectivity, capturing temporal dynamics, and reducing manual design effort by introducing three key components: a channel attention mechanism that adaptively emphasizes subject-specific important electrodes, a dual-pipeline model that integrates frequency-domain and time-domain features, and a framework for low-cost, high-speed automatic architecture optimization using Differentiable Architecture Search (DARTS).\nThe proposed model is illustrated in Figure 1. It is designed to enhance emotion recognition accuracy by jointly leveraging features with distinct properties: spatial structural information and temporal dynamics. Specifically, Graph Convolutional Networks (GCNs) are applied to frequency-domain Differential Entropy (DE) features to capture topological brain structures, while Long Short-Term Memory (LSTM) networks process raw EEG signals to model temporal dependencies. By fusing these two streams, the model infers from both structural relationships and temporal fluctuations. To implement this design, we adopt a dual-pipeline architecture that processes these features in parallel. The model comprises five key components: (1) a GCN-Pipeline for extracting spatial connectivity from frequency-domain features; (2) a Channel Attention mechanism for dynamically estimating electrode importance; (3) an LSTM-Pipeline for modeling temporal dynamics from time-domain signals; (4) a Fusion module to integrate outputs from both pipelines; and (5) automatic architecture optimization using Differentiable Architecture Search (DARTS).\nIn this study, two complementary types of features—frequency-domain and time-domain—are extracted as inputs to the proposed model. Previous research has widely adopted Differential Entropy (DE) as a prominent frequency-domain feature due to its robustness to noise and computational efficiency [30,45,46,47]. However, DE suffers from a notable limitation: the loss of fine-grained temporal information during the extraction process, as it typically involves averaging signals over fixed time windows. To mitigate this issue, the proposed method combines DE with time-domain features derived directly from raw EEG signals. This integration enables the model to capture emotional states comprehensively from both spectral and temporal perspectives.\nTo construct the input representation for the proposed model, EEG signals undergo preprocessing followed by the extraction of both time-domain and frequency-domain features. First, continuous EEG data from each trial are segmented into non-overlapping windows of 3 s. Baseline correction is then applied using signals recorded immediately prior to each trial to mitigate inter-subject variability and suppress noise artifacts, following the methodology established by Yang et al. [47,48]. These baseline segments were not included in the training, validation, or testing datasets. For time-domain features, amplitude variations relative to the baseline are computed. Specifically, the median value of the baseline signal is subtracted from the raw EEG data within each segment to capture dynamic changes. The resulting signals are standardized using statistics (mean and standard deviation) computed from the training dataset only to ensure consistent scaling across inputs. For frequency-domain features, Differential Entropy (DE) is employed due to its robustness against noise and computational efficiency [30,45,46,47]. DE is calculated for each segment and its corresponding baseline across five standard frequency bands: δ (1–4 Hz), θ (4–8 Hz), α (8–14 Hz), β (14–30 Hz), and γ (30–45 Hz). Baseline correction is performed by subtracting the average DE of the baseline from that of each segment, followed by standardization.\nIn this model, we employ a Graph Attention Network (GAT) incorporating a Transformer-style attention mechanism within the GCN framework. Since GAT can dynamically learn edge importance directly from the data, it enables adaptive feature aggregation tailored to individual differences and emotional states. Furthermore, the GAT employed in this study utilizes a Multi-Head Attention structure. By learning independent attention weights for each head, the model captures diverse connectivity patterns among electrodes.\nTo incorporate structural information derived from the physical electrode configuration, we introduce a bias term βij based on inter-electrode distances. Prior research has demonstrated the effectiveness of networks retaining approximately 20% of all possible edges [49]. Therefore, in this study, we select only the top 20% of edges based on βij as learnable edges. The update rule for each node is defined as follows:(4)eij=(Wqhi(l))⊤(Wkhj(l))d+βij,(5)αij=exp(eij)∑j′∈N(i)exp(eij′),(6)hi(l+1)=σ∑j∈N(i)αijWvhj(l).\nwhere hi(l) denotes the feature vector of node i at layer l; d represents the dimensionality; and N(i) is the set of neighboring nodes connected to node i via learnable edges. The term βij is a bias added to the attention score, calculated based on the physical distance between electrodes, and αij represents the edge importance from node i to node j.\nFollowing prior work, the bias term βij is defined using a Gaussian kernel based on the physical distance between electrodes as follows [50]:(7)βij=exp−dij2τ2.\nwhere pi∈R3 denotes the 3D coordinates of electrode i; dij=∥pi−pj∥2 represents the Euclidean distance; and τ is the scaling factor of the Gaussian kernel.\nThe Channel Attention (CA) mechanism is introduced to automatically identify subject-specific salient electrodes and emphasize their contribution. By incorporating the computed electrode importance into the input features of the LSTM-Pipeline, the model can adaptively focus on the most informative brain regions for each individual, thereby addressing inter-subject variability and improving model robustness. While the GAT module learns the importance of the connections (edges) between electrodes, the CA mechanism explicitly learns the importance of the electrodes themselves (nodes). In this mechanism, an importance score si for electrode i is computed from the output of the second GAT layer, hi(2). These scores are then normalized using the Softmax function to obtain attention weights atti, as defined by the following equation:(8)atti=Softmax(si),si=w⊤hi(2).Here, w∈Rd is a learnable weight vector used to project the node feature hi(2) into a scalar score si. This parameter determines how strongly each feature dimension contributes to the attention score. Since the sum of Softmax outputs across channels equals 1, the signals may be excessively attenuated. To prevent this, the attention weights are scaled in the implementation such that their mean value becomes 1.\nThese attention weights are then used to gate the time-domain features that serve as input to the LSTM-Pipeline. The gating operation is formulated as follows:(9)xgated(t,i)=xraw(t,i)·[(1−β)+β·atti].\nwhere t represents the time step, and β∈(0,1) is a learnable mixing coefficient that controls the extent to which the attention weights are applied. Here, xraw(t,i) denotes the original EEG amplitude for electrode i at time step t, and xgated(t,i) represents the attention-modulated signal after applying the gating mechanism. Through this mechanism, information about salient electrodes learned by the GCN-Pipeline is effectively reflected in time-domain processing.\nThe LSTM-Pipeline is designed to learn time-domain features of EEG signals effectively. In constructing this pipeline, we adopted the approach proposed by Oka et al. [40]. They proposed an emotion estimation model that incorporates a temporal attention mechanism into an LSTM, dynamically emphasizing critical time steps relevant to emotional states. Their experiments demonstrated the effectiveness of this approach. In this study, we determined that this LSTM architecture with temporal attention is highly effective for learning time-domain features and, therefore, employed it as the foundation of our LSTM-Pipeline.\nThe Fusion mechanism is designed to integrate features extracted by the GCN-Pipeline and the LSTM-Pipeline, thereby enabling the effective utilization of both structural and temporal information. Specifically, a learnable gating mechanism is employed to dynamically weight and merge the outputs of each pipeline. Let zGCN be the output of the GCN-Pipeline and zLSTM be the output of the LSTM-Pipeline. The fused output zfused is calculated as follows:(10)g=σ(w⊤[zGCN;zLSTM]+b),(11)zfused=(1−g)zLSTM+gzGCN.\nwhere σ denotes the sigmoid function, and w and b are learnable parameters. The gate g is computed dynamically for each sample, adaptively adjusting the contribution of each pipeline’s output.\nTo maximize model performance and adapt to inter-individual variability, we employ the DARTS framework described in Section 3.3 to optimize key architectural hyperparameters. Unlike manual tuning, which is computationally expensive and prone to suboptimal configurations, DARTS enables automatic discovery of architectures tailored to subject-specific characteristics through gradient-based optimization.\nThe search space was carefully designed based on preliminary experiments to strike a balance between search flexibility and computational feasibility. Specifically, the candidate value ranges were set to sufficiently cover the parameter spaces typically used in existing EEG emotion recognition studies, extending from minimal to sufficiently large capacities. For the LSTM pipeline, the number of recurrent units and dense layer units is varied to capture temporal complexity across different scales. In the GCN pipeline, the search space includes the number of graph convolutional units and the number of attention heads, allowing the model to adjust its capacity to learn spatial connectivity patterns. The complete search space is summarized in Table 2. Furthermore, because the output dimensions of the two pipelines are optimized independently, a Dense layer is introduced prior to the fusion mechanism. This layer projects the GCN pipeline’s output to match the dimensionality of the LSTM pipeline, ensuring effective integration of structural and temporal features without introducing bias toward either modality.\n\n\n### 4.1. Overview of the Proposed Model\nThe proposed model is illustrated in Figure 1. It is designed to enhance emotion recognition accuracy by jointly leveraging features with distinct properties: spatial structural information and temporal dynamics. Specifically, Graph Convolutional Networks (GCNs) are applied to frequency-domain Differential Entropy (DE) features to capture topological brain structures, while Long Short-Term Memory (LSTM) networks process raw EEG signals to model temporal dependencies. By fusing these two streams, the model infers from both structural relationships and temporal fluctuations. To implement this design, we adopt a dual-pipeline architecture that processes these features in parallel. The model comprises five key components: (1) a GCN-Pipeline for extracting spatial connectivity from frequency-domain features; (2) a Channel Attention mechanism for dynamically estimating electrode importance; (3) an LSTM-Pipeline for modeling temporal dynamics from time-domain signals; (4) a Fusion module to integrate outputs from both pipelines; and (5) automatic architecture optimization using Differentiable Architecture Search (DARTS).\n\n\n### 4.2. Input Feature Extraction\nIn this study, two complementary types of features—frequency-domain and time-domain—are extracted as inputs to the proposed model. Previous research has widely adopted Differential Entropy (DE) as a prominent frequency-domain feature due to its robustness to noise and computational efficiency [30,45,46,47]. However, DE suffers from a notable limitation: the loss of fine-grained temporal information during the extraction process, as it typically involves averaging signals over fixed time windows. To mitigate this issue, the proposed method combines DE with time-domain features derived directly from raw EEG signals. This integration enables the model to capture emotional states comprehensively from both spectral and temporal perspectives.\nTo construct the input representation for the proposed model, EEG signals undergo preprocessing followed by the extraction of both time-domain and frequency-domain features. First, continuous EEG data from each trial are segmented into non-overlapping windows of 3 s. Baseline correction is then applied using signals recorded immediately prior to each trial to mitigate inter-subject variability and suppress noise artifacts, following the methodology established by Yang et al. [47,48]. These baseline segments were not included in the training, validation, or testing datasets. For time-domain features, amplitude variations relative to the baseline are computed. Specifically, the median value of the baseline signal is subtracted from the raw EEG data within each segment to capture dynamic changes. The resulting signals are standardized using statistics (mean and standard deviation) computed from the training dataset only to ensure consistent scaling across inputs. For frequency-domain features, Differential Entropy (DE) is employed due to its robustness against noise and computational efficiency [30,45,46,47]. DE is calculated for each segment and its corresponding baseline across five standard frequency bands: δ (1–4 Hz), θ (4–8 Hz), α (8–14 Hz), β (14–30 Hz), and γ (30–45 Hz). Baseline correction is performed by subtracting the average DE of the baseline from that of each segment, followed by standardization.\n\n\n### 4.3. GCN-Pipeline\nIn this model, we employ a Graph Attention Network (GAT) incorporating a Transformer-style attention mechanism within the GCN framework. Since GAT can dynamically learn edge importance directly from the data, it enables adaptive feature aggregation tailored to individual differences and emotional states. Furthermore, the GAT employed in this study utilizes a Multi-Head Attention structure. By learning independent attention weights for each head, the model captures diverse connectivity patterns among electrodes.\nTo incorporate structural information derived from the physical electrode configuration, we introduce a bias term βij based on inter-electrode distances. Prior research has demonstrated the effectiveness of networks retaining approximately 20% of all possible edges [49]. Therefore, in this study, we select only the top 20% of edges based on βij as learnable edges. The update rule for each node is defined as follows:(4)eij=(Wqhi(l))⊤(Wkhj(l))d+βij,(5)αij=exp(eij)∑j′∈N(i)exp(eij′),(6)hi(l+1)=σ∑j∈N(i)αijWvhj(l).\nwhere hi(l) denotes the feature vector of node i at layer l; d represents the dimensionality; and N(i) is the set of neighboring nodes connected to node i via learnable edges. The term βij is a bias added to the attention score, calculated based on the physical distance between electrodes, and αij represents the edge importance from node i to node j.\nFollowing prior work, the bias term βij is defined using a Gaussian kernel based on the physical distance between electrodes as follows [50]:(7)βij=exp−dij2τ2.\nwhere pi∈R3 denotes the 3D coordinates of electrode i; dij=∥pi−pj∥2 represents the Euclidean distance; and τ is the scaling factor of the Gaussian kernel.\n\n\n### 4.4. Channel Attention Mechanism\nThe Channel Attention (CA) mechanism is introduced to automatically identify subject-specific salient electrodes and emphasize their contribution. By incorporating the computed electrode importance into the input features of the LSTM-Pipeline, the model can adaptively focus on the most informative brain regions for each individual, thereby addressing inter-subject variability and improving model robustness. While the GAT module learns the importance of the connections (edges) between electrodes, the CA mechanism explicitly learns the importance of the electrodes themselves (nodes). In this mechanism, an importance score si for electrode i is computed from the output of the second GAT layer, hi(2). These scores are then normalized using the Softmax function to obtain attention weights atti, as defined by the following equation:(8)atti=Softmax(si),si=w⊤hi(2).Here, w∈Rd is a learnable weight vector used to project the node feature hi(2) into a scalar score si. This parameter determines how strongly each feature dimension contributes to the attention score. Since the sum of Softmax outputs across channels equals 1, the signals may be excessively attenuated. To prevent this, the attention weights are scaled in the implementation such that their mean value becomes 1.\nThese attention weights are then used to gate the time-domain features that serve as input to the LSTM-Pipeline. The gating operation is formulated as follows:(9)xgated(t,i)=xraw(t,i)·[(1−β)+β·atti].\nwhere t represents the time step, and β∈(0,1) is a learnable mixing coefficient that controls the extent to which the attention weights are applied. Here, xraw(t,i) denotes the original EEG amplitude for electrode i at time step t, and xgated(t,i) represents the attention-modulated signal after applying the gating mechanism. Through this mechanism, information about salient electrodes learned by the GCN-Pipeline is effectively reflected in time-domain processing.\n\n\n### 4.5. LSTM-Pipeline\nThe LSTM-Pipeline is designed to learn time-domain features of EEG signals effectively. In constructing this pipeline, we adopted the approach proposed by Oka et al. [40]. They proposed an emotion estimation model that incorporates a temporal attention mechanism into an LSTM, dynamically emphasizing critical time steps relevant to emotional states. Their experiments demonstrated the effectiveness of this approach. In this study, we determined that this LSTM architecture with temporal attention is highly effective for learning time-domain features and, therefore, employed it as the foundation of our LSTM-Pipeline.\n\n\n### 4.6. Fusion Mechanism\nThe Fusion mechanism is designed to integrate features extracted by the GCN-Pipeline and the LSTM-Pipeline, thereby enabling the effective utilization of both structural and temporal information. Specifically, a learnable gating mechanism is employed to dynamically weight and merge the outputs of each pipeline. Let zGCN be the output of the GCN-Pipeline and zLSTM be the output of the LSTM-Pipeline. The fused output zfused is calculated as follows:(10)g=σ(w⊤[zGCN;zLSTM]+b),(11)zfused=(1−g)zLSTM+gzGCN.\nwhere σ denotes the sigmoid function, and w and b are learnable parameters. The gate g is computed dynamically for each sample, adaptively adjusting the contribution of each pipeline’s output.\n\n\n### 4.7. Hyperparameter Optimization via DARTS\nTo maximize model performance and adapt to inter-individual variability, we employ the DARTS framework described in Section 3.3 to optimize key architectural hyperparameters. Unlike manual tuning, which is computationally expensive and prone to suboptimal configurations, DARTS enables automatic discovery of architectures tailored to subject-specific characteristics through gradient-based optimization.\nThe search space was carefully designed based on preliminary experiments to strike a balance between search flexibility and computational feasibility. Specifically, the candidate value ranges were set to sufficiently cover the parameter spaces typically used in existing EEG emotion recognition studies, extending from minimal to sufficiently large capacities. For the LSTM pipeline, the number of recurrent units and dense layer units is varied to capture temporal complexity across different scales. In the GCN pipeline, the search space includes the number of graph convolutional units and the number of attention heads, allowing the model to adjust its capacity to learn spatial connectivity patterns. The complete search space is summarized in Table 2. Furthermore, because the output dimensions of the two pipelines are optimized independently, a Dense layer is introduced prior to the fusion mechanism. This layer projects the GCN pipeline’s output to match the dimensionality of the LSTM pipeline, ensuring effective integration of structural and temporal features without introducing bias toward either modality.\n\n\n### 5. Performance Evaluation\nIn this section, we conduct experiments to verify the effectiveness of the proposed model. First, Section 5.1 describes the experimental settings common to all experiments in this section. Subsequently, Section 5.2 and onwards present the details and results of each specific verification experiment.\nIn this study, we utilize the DEAP dataset [42], a widely used benchmark for emotion recognition. The dataset comprises physiological signals recorded from 32 participants while they viewed 40 one-minute music videos. EEG signals were collected from 32 electrodes positioned according to the international 10–20 system. Each trial includes a 3-s baseline recorded prior to video presentation and a 60-s EEG segment captured during viewing. After each video, participants rated their emotional state on a 9-point Likert scale for four dimensions, including Valence and Arousal, based on Russell’s circumplex model (Figure 2). In this work, we focus on Valence, which represents the degree of pleasantness, and Arousal, which represents emotional intensity. We employed a window-level splitting strategy consistent with standard methodologies in EEG emotion recognition research [19,24,33,40]. Specifically, continuous EEG signals were segmented into non-overlapping windows. These segments were then randomly shuffled and split into training, validation, and testing sets at a 6:2:2 ratio, a configuration designed to rigorously evaluate model performance.\nThe DEAP dataset provides self-assessment ratings ranging from 1 to 9 for the Valence and Arousal axes. In this study, we treat emotion recognition as a four-class classification task. Specifically, using a threshold of 5 for both axes, Valence and Arousal are each classified into two classes: High (≥5) and Low (<5). By combining these classes, the emotional states are categorized into four distinct classes: High Valence–High Arousal (HVHA), Low Valence–High Arousal (LVHA), Low Valence–Low Arousal (LVLA), and High Valence–Low Arousal (HVLA). We adopted a subject-dependent approach, training individual models for each participant. Accuracy was employed as the performance metric. The final evaluation metric was determined as the average accuracy calculated across all 32 subjects.\nThe model was trained using the frequency-domain and time-domain features defined in Section 4.2. We employed the Adam optimizer with a learning rate of 0.001, a batch size of 32, and the number of training epochs set to 150. All experiments were conducted on a single NVIDIA A100 GPU. The architecture search via DARTS was executed for 40 epochs. Thanks to gradient-based optimization and a high-performance computing environment, the search process completes in approximately 170 s per trial, which is significantly more efficient than evolutionary computation methods that typically require hours. To ensure the robustness of the search results, we executed this process five times independently with different random seeds. During this search phase, the training and validation datasets were temporarily combined and equally divided into two subsets: one for updating the network weights and the other for updating the architecture parameters. After determining the optimal architecture from the search, we retrained the model. For this retraining phase, we reverted to the standard data split, utilizing 60% for training and 20% for validation, to identify the architecture that achieved the highest validation accuracy.\nIn this study, we addressed multiple challenges in EEG-based emotion recognition by proposing a model composed of five key components, as described in Section 4. To evaluate the individual contribution and effectiveness of each component, we conducted an ablation study. To validate the proposed model, we defined several variants by incrementally adding components and compared their performance. The detailed configuration of each variant is presented in Table 3. It is important to note that the Fusion mechanism was applied only to configurations that incorporated both the LSTM pipeline and the GCN pipeline. For configurations using a single pipeline, the output of that pipeline was fed directly into the classifier, bypassing the Fusion mechanism. Consequently, Models 1 and 2 did not employ Fusion, whereas Models 3 through 5 did. For Models 1 through 4, which do not include DARTS, the fixed hyperparameters were configured as follows: In the LSTM-Pipeline, the first and second LSTM layers were set to 32 and 64 units, respectively, with an output Dense layer of 32 units. In the GCN-Pipeline, the first and second GAT layers were set to 32 and 64 units, respectively; both layers utilized two attention heads, and the output Dense layer consisted of 32 units. The Fusion mechanism was employed in models that combine the two pipelines to integrate their respective features.\nTable 3 presents the results of the ablation study. Consistent with the task definition in Section 5.1.2, these results are based on the four-class classification task (HVHA, HVLA, LVHA, LVLA) derived from the Valence and Arousal dimensions of the DEAP dataset. First, Model 3 achieved significantly higher accuracy compared to both Model 1 and Model 2. If the information captured by the two pipelines were redundant, such a substantial performance improvement would not be expected. Therefore, this result strongly indicates that the structural information captured by the GCN and the temporal information captured by the LSTM function complementarily. This demonstrates that the proposed dual-pipeline architecture effectively learns EEG characteristics by modeling spatial connectivity in the frequency domain and temporal dynamics in the time domain.\nNext, Model 4, which incorporates the Channel Attention mechanism, showed a slight improvement in accuracy over Model 3. Although the margin of improvement was limited—likely because the Fusion mechanism in Model 3 was already highly effective—the introduction of the Channel Attention mechanism provides a significant advantage in terms of interpretability. By visualizing and interpreting subject-specific important electrodes, the mechanism enhances the practical utility of deep learning models, which often suffer from being black boxes. The validity of the importance scores derived from the Channel Attention mechanism and their practical utility are verified in Section 6.1 and Section 6.2.\nFinally, we compare Model 5, optimized via DARTS, with Model 4, which used fixed hyperparameters. Model 5 achieved the highest performance in terms of both mean and maximum accuracy. This indicates that DARTS successfully explored hyperparameters tailored to the data characteristics of individual subjects, unlocking potential performance that fixed parameters could not reach.\nRegarding the comparison with state-of-the-art methods presented in Table 1, our model achieves competitive performance (0.9317) compared to recent baselines such as CSGNN [33] (0.9100). Although PSO-LSTM [40] reports slightly higher accuracy (0.9404), it relies on Particle Swarm Optimization, an evolutionary algorithm that typically requires extensive computational time and many iterations to converge. In contrast, our DARTS-based approach utilizes gradient-based optimization, allowing the architecture search to be completed in approximately 170 s on a standard GPU. We argue that this trade-off—achieving competitive accuracy while significantly improving search efficiency—offers a substantial practical advantage, particularly for real-world applications that require frequent retraining or rapid personalization.\nFigure 3 shows box-and-whisker plots of optimized hyperparameters across 32 subjects. Most subjects (31/32) converged to unique architectures, confirming subject-specific optimization. However, the lower minimum accuracy and higher standard deviation observed in Table 3 indicate that the optimization was insufficient for a subset of subjects. Figure 4 illustrates Loss and Accuracy during retraining for Subject 17, revealing overfitting: training metrics improve continuously, while validation metrics plateau around Epochs 20–30, creating a large gap.\nSimilar optimization difficulties for this subject were reported by Oka et al. [40], who used PSO and attributed them to local optima, suggesting enhanced search strategies. The fact that both PSO and DARTS struggled implies that non-stationarity or distribution shifts in this subject’s EEG data are more critical than the choice of optimization method. This ablation study confirms the contribution of each component in the proposed model.\nTable 4 presents the comparison results. The model achieved a mean accuracy of 0.9034 on the SEED dataset. While this performance is lower than PSO-LSTM (0.9732) [40], which employs computationally intensive evolutionary optimization, it remains competitive with many recent approaches while maintaining the efficiency of gradient-based architecture search.\nNotably, the accuracy on SEED (0.9034) is lower than that achieved on DEAP (0.9317), despite SEED having nearly double the number of electrodes (62 vs. 32). We attribute this discrepancy to the over-smoothing problem inherent in GCNs applied to dense montages.\nWhile DEAP’s 32-node graph maintains sufficient feature diversity through moderate connectivity, SEED’s 62-node graph—even after thresholding—results in a higher node degree, causing node representations to converge to indistinguishable values after multiple message-passing steps. This excessive mixing reduces the discriminative power of the learned features. Additionally, the larger number of electrodes may introduce redundant or noisy channels unrelated to emotional processing, hindering the Channel Attention mechanism’s ability to effectively isolate critical brain regions.\nThese findings indicate that for high-density EEG datasets like SEED, sparse graph construction strategies, hierarchical graph pooling, or additional regularization may be necessary to fully leverage spatial information while mitigating over-smoothing effects.\n\n\n### 5.1. Experimental Settings\nIn this study, we utilize the DEAP dataset [42], a widely used benchmark for emotion recognition. The dataset comprises physiological signals recorded from 32 participants while they viewed 40 one-minute music videos. EEG signals were collected from 32 electrodes positioned according to the international 10–20 system. Each trial includes a 3-s baseline recorded prior to video presentation and a 60-s EEG segment captured during viewing. After each video, participants rated their emotional state on a 9-point Likert scale for four dimensions, including Valence and Arousal, based on Russell’s circumplex model (Figure 2). In this work, we focus on Valence, which represents the degree of pleasantness, and Arousal, which represents emotional intensity. We employed a window-level splitting strategy consistent with standard methodologies in EEG emotion recognition research [19,24,33,40]. Specifically, continuous EEG signals were segmented into non-overlapping windows. These segments were then randomly shuffled and split into training, validation, and testing sets at a 6:2:2 ratio, a configuration designed to rigorously evaluate model performance.\nThe DEAP dataset provides self-assessment ratings ranging from 1 to 9 for the Valence and Arousal axes. In this study, we treat emotion recognition as a four-class classification task. Specifically, using a threshold of 5 for both axes, Valence and Arousal are each classified into two classes: High (≥5) and Low (<5). By combining these classes, the emotional states are categorized into four distinct classes: High Valence–High Arousal (HVHA), Low Valence–High Arousal (LVHA), Low Valence–Low Arousal (LVLA), and High Valence–Low Arousal (HVLA). We adopted a subject-dependent approach, training individual models for each participant. Accuracy was employed as the performance metric. The final evaluation metric was determined as the average accuracy calculated across all 32 subjects.\nThe model was trained using the frequency-domain and time-domain features defined in Section 4.2. We employed the Adam optimizer with a learning rate of 0.001, a batch size of 32, and the number of training epochs set to 150. All experiments were conducted on a single NVIDIA A100 GPU. The architecture search via DARTS was executed for 40 epochs. Thanks to gradient-based optimization and a high-performance computing environment, the search process completes in approximately 170 s per trial, which is significantly more efficient than evolutionary computation methods that typically require hours. To ensure the robustness of the search results, we executed this process five times independently with different random seeds. During this search phase, the training and validation datasets were temporarily combined and equally divided into two subsets: one for updating the network weights and the other for updating the architecture parameters. After determining the optimal architecture from the search, we retrained the model. For this retraining phase, we reverted to the standard data split, utilizing 60% for training and 20% for validation, to identify the architecture that achieved the highest validation accuracy.\n\n\n### 5.1.1. DEAP Dataset\nIn this study, we utilize the DEAP dataset [42], a widely used benchmark for emotion recognition. The dataset comprises physiological signals recorded from 32 participants while they viewed 40 one-minute music videos. EEG signals were collected from 32 electrodes positioned according to the international 10–20 system. Each trial includes a 3-s baseline recorded prior to video presentation and a 60-s EEG segment captured during viewing. After each video, participants rated their emotional state on a 9-point Likert scale for four dimensions, including Valence and Arousal, based on Russell’s circumplex model (Figure 2). In this work, we focus on Valence, which represents the degree of pleasantness, and Arousal, which represents emotional intensity. We employed a window-level splitting strategy consistent with standard methodologies in EEG emotion recognition research [19,24,33,40]. Specifically, continuous EEG signals were segmented into non-overlapping windows. These segments were then randomly shuffled and split into training, validation, and testing sets at a 6:2:2 ratio, a configuration designed to rigorously evaluate model performance.\n\n\n### 5.1.2. Task Definition and Evaluation Metrics\nThe DEAP dataset provides self-assessment ratings ranging from 1 to 9 for the Valence and Arousal axes. In this study, we treat emotion recognition as a four-class classification task. Specifically, using a threshold of 5 for both axes, Valence and Arousal are each classified into two classes: High (≥5) and Low (<5). By combining these classes, the emotional states are categorized into four distinct classes: High Valence–High Arousal (HVHA), Low Valence–High Arousal (LVHA), Low Valence–Low Arousal (LVLA), and High Valence–Low Arousal (HVLA). We adopted a subject-dependent approach, training individual models for each participant. Accuracy was employed as the performance metric. The final evaluation metric was determined as the average accuracy calculated across all 32 subjects.\n\n\n### 5.1.3. Parameter Settings\nThe model was trained using the frequency-domain and time-domain features defined in Section 4.2. We employed the Adam optimizer with a learning rate of 0.001, a batch size of 32, and the number of training epochs set to 150. All experiments were conducted on a single NVIDIA A100 GPU. The architecture search via DARTS was executed for 40 epochs. Thanks to gradient-based optimization and a high-performance computing environment, the search process completes in approximately 170 s per trial, which is significantly more efficient than evolutionary computation methods that typically require hours. To ensure the robustness of the search results, we executed this process five times independently with different random seeds. During this search phase, the training and validation datasets were temporarily combined and equally divided into two subsets: one for updating the network weights and the other for updating the architecture parameters. After determining the optimal architecture from the search, we retrained the model. For this retraining phase, we reverted to the standard data split, utilizing 60% for training and 20% for validation, to identify the architecture that achieved the highest validation accuracy.\n\n\n### 5.2. Experimental Results\nIn this study, we addressed multiple challenges in EEG-based emotion recognition by proposing a model composed of five key components, as described in Section 4. To evaluate the individual contribution and effectiveness of each component, we conducted an ablation study. To validate the proposed model, we defined several variants by incrementally adding components and compared their performance. The detailed configuration of each variant is presented in Table 3. It is important to note that the Fusion mechanism was applied only to configurations that incorporated both the LSTM pipeline and the GCN pipeline. For configurations using a single pipeline, the output of that pipeline was fed directly into the classifier, bypassing the Fusion mechanism. Consequently, Models 1 and 2 did not employ Fusion, whereas Models 3 through 5 did. For Models 1 through 4, which do not include DARTS, the fixed hyperparameters were configured as follows: In the LSTM-Pipeline, the first and second LSTM layers were set to 32 and 64 units, respectively, with an output Dense layer of 32 units. In the GCN-Pipeline, the first and second GAT layers were set to 32 and 64 units, respectively; both layers utilized two attention heads, and the output Dense layer consisted of 32 units. The Fusion mechanism was employed in models that combine the two pipelines to integrate their respective features.\nTable 3 presents the results of the ablation study. Consistent with the task definition in Section 5.1.2, these results are based on the four-class classification task (HVHA, HVLA, LVHA, LVLA) derived from the Valence and Arousal dimensions of the DEAP dataset. First, Model 3 achieved significantly higher accuracy compared to both Model 1 and Model 2. If the information captured by the two pipelines were redundant, such a substantial performance improvement would not be expected. Therefore, this result strongly indicates that the structural information captured by the GCN and the temporal information captured by the LSTM function complementarily. This demonstrates that the proposed dual-pipeline architecture effectively learns EEG characteristics by modeling spatial connectivity in the frequency domain and temporal dynamics in the time domain.\nNext, Model 4, which incorporates the Channel Attention mechanism, showed a slight improvement in accuracy over Model 3. Although the margin of improvement was limited—likely because the Fusion mechanism in Model 3 was already highly effective—the introduction of the Channel Attention mechanism provides a significant advantage in terms of interpretability. By visualizing and interpreting subject-specific important electrodes, the mechanism enhances the practical utility of deep learning models, which often suffer from being black boxes. The validity of the importance scores derived from the Channel Attention mechanism and their practical utility are verified in Section 6.1 and Section 6.2.\nFinally, we compare Model 5, optimized via DARTS, with Model 4, which used fixed hyperparameters. Model 5 achieved the highest performance in terms of both mean and maximum accuracy. This indicates that DARTS successfully explored hyperparameters tailored to the data characteristics of individual subjects, unlocking potential performance that fixed parameters could not reach.\nRegarding the comparison with state-of-the-art methods presented in Table 1, our model achieves competitive performance (0.9317) compared to recent baselines such as CSGNN [33] (0.9100). Although PSO-LSTM [40] reports slightly higher accuracy (0.9404), it relies on Particle Swarm Optimization, an evolutionary algorithm that typically requires extensive computational time and many iterations to converge. In contrast, our DARTS-based approach utilizes gradient-based optimization, allowing the architecture search to be completed in approximately 170 s on a standard GPU. We argue that this trade-off—achieving competitive accuracy while significantly improving search efficiency—offers a substantial practical advantage, particularly for real-world applications that require frequent retraining or rapid personalization.\nFigure 3 shows box-and-whisker plots of optimized hyperparameters across 32 subjects. Most subjects (31/32) converged to unique architectures, confirming subject-specific optimization. However, the lower minimum accuracy and higher standard deviation observed in Table 3 indicate that the optimization was insufficient for a subset of subjects. Figure 4 illustrates Loss and Accuracy during retraining for Subject 17, revealing overfitting: training metrics improve continuously, while validation metrics plateau around Epochs 20–30, creating a large gap.\nSimilar optimization difficulties for this subject were reported by Oka et al. [40], who used PSO and attributed them to local optima, suggesting enhanced search strategies. The fact that both PSO and DARTS struggled implies that non-stationarity or distribution shifts in this subject’s EEG data are more critical than the choice of optimization method. This ablation study confirms the contribution of each component in the proposed model.\n\n\n### 5.3. Cross-Dataset Validation on SEED\nTable 4 presents the comparison results. The model achieved a mean accuracy of 0.9034 on the SEED dataset. While this performance is lower than PSO-LSTM (0.9732) [40], which employs computationally intensive evolutionary optimization, it remains competitive with many recent approaches while maintaining the efficiency of gradient-based architecture search.\nNotably, the accuracy on SEED (0.9034) is lower than that achieved on DEAP (0.9317), despite SEED having nearly double the number of electrodes (62 vs. 32). We attribute this discrepancy to the over-smoothing problem inherent in GCNs applied to dense montages.\nWhile DEAP’s 32-node graph maintains sufficient feature diversity through moderate connectivity, SEED’s 62-node graph—even after thresholding—results in a higher node degree, causing node representations to converge to indistinguishable values after multiple message-passing steps. This excessive mixing reduces the discriminative power of the learned features. Additionally, the larger number of electrodes may introduce redundant or noisy channels unrelated to emotional processing, hindering the Channel Attention mechanism’s ability to effectively isolate critical brain regions.\nThese findings indicate that for high-density EEG datasets like SEED, sparse graph construction strategies, hierarchical graph pooling, or additional regularization may be necessary to fully leverage spatial information while mitigating over-smoothing effects.\n\n\n### 6. Discussion\nThis section aims to validate the plausibility of importance scores derived from the Channel Attention mechanism and assess the utility of electrode selection based on these scores. Although the accuracy gain from introducing Channel Attention was modest, the mechanism provides practical value by identifying subject-specific salient electrodes, enabling adaptive electrode reduction. In both experiments, the number of retained electrodes was set as K∈{1,2,…,32}. The model was trained using all 32 electrodes, and electrode importance was computed from the validation data. Specifically, we compared performance when reducing the test data to K electrodes using three methods: retaining the top K most important electrodes (Top-K), the bottom K least important electrodes (Bottom-K), and K randomly selected electrodes (Random-K).\nFigure 5 shows the relationship between the number of retained electrodes K and Accuracy. As shown in the figure, with the exception of K=4, the performance followed the order of Top-K > Random-K > Bottom-K. This result implies that the important electrodes identified by the Channel Attention mechanism are indispensable for maintaining accuracy. In particular, at K=31, the accuracy of the Bottom-K condition dropped sharply, whereas the accuracy decrease in the Top-K condition was gradual. This indicates that removing the most important electrode causes a significant drop in performance, while removing the least important electrode has a minimal impact. Specifically, the sharp performance drop at K=31 in the Bottom-K condition confirms that the top-ranked electrode plays a decisive role. Importance scores were averaged across validation samples to mitigate transient artifacts, such as eye blinks. Furthermore, when analyzing the top-1 electrode for each of the 32 subjects, we observed that the most frequently selected electrodes spanned not only frontal regions (e.g., AF4, F7) associated with critical frequency bands and channels for emotion processing [13], but also parietal areas (e.g., P4). Notably, we also observed high importance scores in occipital electrodes in specific cases, reflecting inter-individual variability in neural responses. This spatial diversity suggests the model captures meaningful neural patterns rather than localized artifacts.\nFigure 6 presents the spatial distribution of important electrodes averaged across all subjects. Here, importance scores were averaged across subjects to identify regions with consistently high quantitative scores. The channels with high importance across all subjects were T8, F7, CP6, P4, and FC5. In neuroscience, the frontal lobes (e.g., F7) are known to be involved in the regulation and judgment of emotional valence, while the temporal lobes (e.g., T8) play a crucial role in processing emotional facial information and social cognition [13,51,52]. Furthermore, the right parietal-temporal regions (CP6, P4) have been reported to be strongly associated with the processing of emotional arousal [53]. The fact that the proposed model autonomously identified these emotion-related regions as “important” suggests that the model is learning physiologically meaningful brain activity patterns rather than noise.\nAdditionally, Figure 7 illustrates the distribution of importance scores across all 32 subjects to assess potential biases. The substantial variance (wide whiskers) indicates that the model does not rely on a fixed subset of electrodes but adaptively identifies informative regions specific to each individual’s neural patterns.\nMoreover, we investigated individual differences in attention distribution. We selected Subject 1 and Subject 19, who exhibited the lowest correlation in attention distribution (r=−0.87). Note that the emotion recognition accuracy using all electrodes was extremely high for both subjects (Subject 1: 90.37%, Subject 19: 98.34%), indicating that the model successfully learned emotional features for both.\nFigure 8 shows the topographical maps for both subjects. Despite achieving high accuracy in both cases, the focused regions are contrasting. Subject 1 places importance on the visual cortex (O2) and temporal regions (T7, T8), suggesting a strong reliance on visual and auditory information processing in response to emotion-eliciting stimuli. In contrast, Subject 19 prioritizes regions near the sensorimotor cortex (Cz, C4) and the central parietal area, suggesting that interoceptive sensations accompanying emotional arousal may be used as cues rather than visual input itself.\nThus, even when high-precision estimation is possible, the brain regions used as primary cues can differ significantly between subjects. This fact highlights the risk that fixed electrode selection may discard critical information for specific subjects, strongly supporting the necessity of subject-adaptive electrode selection, as demonstrated in Section 6.2. Therefore, the validity of the electrode importance scores was demonstrated, confirming the utility of the Channel Attention mechanism in deriving these scores.\nIn this section, we evaluate the impact of adaptive electrode reduction based on importance scores derived from the Channel Attention mechanism. Specifically, we retrained the proposed model using only the top K important electrodes and tested it on data containing the same K electrodes. To ensure fairness, the architecture was fixed to the one optimized for 32 electrodes. The results are shown in Figure 9 and Table 5. The horizontal axis represents the number of retained electrodes K, and the vertical axis represents accuracy. As illustrated, high-precision emotion recognition is achievable even with a small number of electrodes through importance-based selection. Notably, at K = 10 (31% of total), accuracy reached 80.35%, and at K = 25 (78% of total), accuracy reached 93.08%. This demonstrates that over 80% accuracy can be achieved with only about 30% of the electrodes, and performance nearly equivalent to using all electrodes (93.17%) can be realized with about 80%. These results confirm the utility of adaptive electrode selection tailored to each subject.\n\n\n### 6.1. Channel Attention\nThis section aims to validate the plausibility of importance scores derived from the Channel Attention mechanism and assess the utility of electrode selection based on these scores. Although the accuracy gain from introducing Channel Attention was modest, the mechanism provides practical value by identifying subject-specific salient electrodes, enabling adaptive electrode reduction. In both experiments, the number of retained electrodes was set as K∈{1,2,…,32}. The model was trained using all 32 electrodes, and electrode importance was computed from the validation data. Specifically, we compared performance when reducing the test data to K electrodes using three methods: retaining the top K most important electrodes (Top-K), the bottom K least important electrodes (Bottom-K), and K randomly selected electrodes (Random-K).\nFigure 5 shows the relationship between the number of retained electrodes K and Accuracy. As shown in the figure, with the exception of K=4, the performance followed the order of Top-K > Random-K > Bottom-K. This result implies that the important electrodes identified by the Channel Attention mechanism are indispensable for maintaining accuracy. In particular, at K=31, the accuracy of the Bottom-K condition dropped sharply, whereas the accuracy decrease in the Top-K condition was gradual. This indicates that removing the most important electrode causes a significant drop in performance, while removing the least important electrode has a minimal impact. Specifically, the sharp performance drop at K=31 in the Bottom-K condition confirms that the top-ranked electrode plays a decisive role. Importance scores were averaged across validation samples to mitigate transient artifacts, such as eye blinks. Furthermore, when analyzing the top-1 electrode for each of the 32 subjects, we observed that the most frequently selected electrodes spanned not only frontal regions (e.g., AF4, F7) associated with critical frequency bands and channels for emotion processing [13], but also parietal areas (e.g., P4). Notably, we also observed high importance scores in occipital electrodes in specific cases, reflecting inter-individual variability in neural responses. This spatial diversity suggests the model captures meaningful neural patterns rather than localized artifacts.\nFigure 6 presents the spatial distribution of important electrodes averaged across all subjects. Here, importance scores were averaged across subjects to identify regions with consistently high quantitative scores. The channels with high importance across all subjects were T8, F7, CP6, P4, and FC5. In neuroscience, the frontal lobes (e.g., F7) are known to be involved in the regulation and judgment of emotional valence, while the temporal lobes (e.g., T8) play a crucial role in processing emotional facial information and social cognition [13,51,52]. Furthermore, the right parietal-temporal regions (CP6, P4) have been reported to be strongly associated with the processing of emotional arousal [53]. The fact that the proposed model autonomously identified these emotion-related regions as “important” suggests that the model is learning physiologically meaningful brain activity patterns rather than noise.\nAdditionally, Figure 7 illustrates the distribution of importance scores across all 32 subjects to assess potential biases. The substantial variance (wide whiskers) indicates that the model does not rely on a fixed subset of electrodes but adaptively identifies informative regions specific to each individual’s neural patterns.\nMoreover, we investigated individual differences in attention distribution. We selected Subject 1 and Subject 19, who exhibited the lowest correlation in attention distribution (r=−0.87). Note that the emotion recognition accuracy using all electrodes was extremely high for both subjects (Subject 1: 90.37%, Subject 19: 98.34%), indicating that the model successfully learned emotional features for both.\nFigure 8 shows the topographical maps for both subjects. Despite achieving high accuracy in both cases, the focused regions are contrasting. Subject 1 places importance on the visual cortex (O2) and temporal regions (T7, T8), suggesting a strong reliance on visual and auditory information processing in response to emotion-eliciting stimuli. In contrast, Subject 19 prioritizes regions near the sensorimotor cortex (Cz, C4) and the central parietal area, suggesting that interoceptive sensations accompanying emotional arousal may be used as cues rather than visual input itself.\nThus, even when high-precision estimation is possible, the brain regions used as primary cues can differ significantly between subjects. This fact highlights the risk that fixed electrode selection may discard critical information for specific subjects, strongly supporting the necessity of subject-adaptive electrode selection, as demonstrated in Section 6.2. Therefore, the validity of the electrode importance scores was demonstrated, confirming the utility of the Channel Attention mechanism in deriving these scores.\n\n\n### 6.2. Adaptive Electrode Selection\nIn this section, we evaluate the impact of adaptive electrode reduction based on importance scores derived from the Channel Attention mechanism. Specifically, we retrained the proposed model using only the top K important electrodes and tested it on data containing the same K electrodes. To ensure fairness, the architecture was fixed to the one optimized for 32 electrodes. The results are shown in Figure 9 and Table 5. The horizontal axis represents the number of retained electrodes K, and the vertical axis represents accuracy. As illustrated, high-precision emotion recognition is achievable even with a small number of electrodes through importance-based selection. Notably, at K = 10 (31% of total), accuracy reached 80.35%, and at K = 25 (78% of total), accuracy reached 93.08%. This demonstrates that over 80% accuracy can be achieved with only about 30% of the electrodes, and performance nearly equivalent to using all electrodes (93.17%) can be realized with about 80%. These results confirm the utility of adaptive electrode selection tailored to each subject.\n\n\n### 7. Conclusions and Future Work\nWe introduced a dual-pipeline architecture that integrates frequency-domain and time-domain EEG features through GCN and LSTM, complemented by a Channel Attention mechanism for subject-specific adaptation. Additionally, we employed Differentiable Architecture Search (DARTS) to automatically discover optimal architectures tailored to individual EEG characteristics. Experimental results demonstrated that the proposed framework achieves competitive accuracy compared to state-of-the-art methods, underscoring its potential for robust and personalized emotion recognition. While PSO-LSTM can achieve higher accuracy, its days-long evolutionary search limits practicality; our minutes-level DARTS search attains competitive accuracy with a fraction of the cost, making it the preferable choice for time- and compute-constrained deployment.\nFuture research should focus on addressing two critical challenges revealed by our findings. First, although DARTS improved mean accuracy, it also reduced the minimum accuracy and increased the standard deviation across subjects. This variability suggests that the search process may occasionally select unstable architectures for individuals with complex EEG patterns. Developing more robust optimization strategies, such as incorporating regularization or uncertainty-aware mechanisms, will be essential to ensure consistent performance across diverse populations.\nSecond, robustness under extremely low-electrode conditions remains a significant limitation. Our experiments showed that performance deteriorates sharply when fewer than thirteen electrodes are available, in contrast to the relatively stable results reported by Lin et al. [33]. While Lin et al.’s simpler model structure exhibits resilience under limited information, our expressive architecture requires a minimum threshold of input richness to fully realize its potential. To overcome this, future work could integrate constraints such as computational cost, parameter count, or connectivity sparsity into the DARTS search process. Such constraints would not only enable the discovery of lightweight architectures for low-electrode scenarios but also mitigate over-smoothing effects in high-density settings like SEED. Such improvements are crucial for practical applications where portability and user comfort are paramount. Additionally, investigating the model’s performance in subject-independent (cross-subject) settings is another essential direction. While the present study adopted a subject-dependent approach to maximize personalized accuracy, cross-subject validation would provide valuable insights into the generalizability of learned features and the model’s ability to capture emotion-related patterns that transfer across individuals. Beyond these challenges, expanding the proposed framework to multimodal emotion recognition represents a promising direction. Combining EEG with complementary physiological signals such as ECG, EDA, or EMG could enhance robustness and ecological validity, particularly in real-world environments. Furthermore, personalization remains an open problem: incorporating meta-learning or continual learning strategies could allow the system to adapt dynamically as more subject-specific data becomes available, facilitating deployment in clinical and consumer-facing contexts.", "domain": "affective_neuroscience"}
{"source": "PMC13021436", "title": "Granularity paradox: how emotion taxonomies shape GPT-5’s affective cognition and human-AI alignment", "text": "# Granularity paradox: how emotion taxonomies shape GPT-5’s affective cognition and human-AI alignment\n\n## Abstract\nLarge Language Models (LLMs) have demonstrated exceptional capability in textual emotion detection. However, LLM evaluations often treat the emotion taxonomy—the “cognitive ruler” defining the emotional space—as a neutral background variable. The extent to which taxonomic complexity moderates LLM performance remains underexplored. This study systematically evaluates the impact of emotion taxonomy on GPT-5’s annotation behavior. We constructed a dataset of 2,848 Chinese Weibo posts. Five human annotators and GPT-5 (zero-shot) labeled the data across five distinct taxonomies, each with varying levels of granularity: SemEval (4 classes), Ekman (6 classes), Chinese SevenEmotions (7 classes), Plutchik (8 classes), and GoEmotions (27 classes). A rigorous experimental design, including randomized ordering and washout periods, was implemented to minimize sequence effects. By comparing the results of GPT-5 and manual annotation, the analysis is conducted across three dimensions: performance, consistency, and bias patterns. Results reveal a significant “granularity paradox”: GPT-5’s performance is strongly negatively correlated with taxonomic complexity, with performance collapsing in fine-grained settings (GoEmotions). Crucially, we identified systematic misalignment mechanisms: (1) Consistency decay: Human-AI agreement significantly deteriorates as semantic boundaries blur in complex taxonomies; (2) Hyper-sensitivity bias: GPT-5 exhibits a tendency to over-interpret neutral texts as emotional, with false-positive rates increasing with taxonomy size; and (3) Arousal shift: The model consistently misclassifies low-arousal negative emotions (e.g., sadness) as high-arousal prototypes (e.g., fear/anger), reflecting a valence-based rather than nuance-based inference logic. Notably, the indigenous SevenEmotions did not yield superior cultural alignment compared to Western taxonomies. Our findings suggest that emotion taxonomies function as a critical hyperparameter that shapes the cognitive boundaries of GPT. While GPT shows promise, its reliability is compromised by complex taxonomies. Researchers must balance granular detail against model robustness when deploying LLMs for psychological analysis.\n\n## Full Text\n\n\n### Introduction\nTextual emotion detection is a key method for understanding people’s psychological states and social trends. By identifying emotions within massive social media data, researchers can gain valuable insights (Chakraborty et al., 2020). Emotion analysis is now widely used in various fields. For example, it helps in assessing mental health (Kumar et al., 2022), monitoring psychological problems (Aragón et al., 2023), and managing online public opinion (Chu et al., 2024; Field et al., 2022; Li et al., 2024; Zhang et al., 2023).\nIn recent years, large language models (LLMs) have advanced rapidly (Thapa et al., 2025), demonstrating significant advantages in emotion analysis (Altun and Dörterler, 2025) and becoming mainstream tools for automated annotation. However, emotion annotation is not a singular, objective conversion process; it heavily relies on a predefined emotion taxonomy. Emotion taxonomy is the classification framework that maps affective expressions into discrete categories. Whether emotions can be categorized has long been debated. The discrete approach posits that emotions can be divided into several mutually exclusive categories. Applying the discrete emotion approach for annotation requires selecting an emotion taxonomy. Yet many taxonomies exist, differing significantly in the number of emotion categories, semantic boundaries, and cultural contexts. For human annotators, the complexity of taxonomy directly impacts cognitive load and annotation consistency. The influence of emotion taxonomy on LLMs cannot be overlooked.\nDespite LLMs’ outstanding performance in affective computing, systematic research remains scarce on how emotion taxonomy—as cognitive frameworks—influences LLMs’ behavior. For example, does the choice of emotion taxonomy affect LLMs’ emotion analysis performance? Furthermore, does it impact human-AI alignment, or could it induce specific biases? When processing non-English texts, a related question arises: do localized emotion taxonomies hold advantages over mainstream Western taxonomies? Resolving these interconnected questions is crucial for enhancing alignment between LLMs and humans in emotion analysis tasks.\nThis study evaluates GPT-5 using Chinese Weibo posts, constructed with a benchmark dataset through manual annotation by five annotators. We systematically compare five emotion taxonomies—SemEval, Ekman, Chinese Seven Emotions, Plutchik, and GoEmotions—varying in granularity and cultural characteristics, assessing GPT-5’s behavior across classification performance, consistency, and bias patterns.\nThe primary contributions of this paper are as follows:\nRevealing the “Granularity Paradox”: It was discovered that the complexity of emotion taxonomies inversely correlates with GPT-5’s classification performance, demonstrating that expanding the semantic space significantly increases the model’s classification difficulty.\nQuantifies the boundaries of human-machine consistency: Through multiple consistency metrics and statistical tests, it confirms that complex taxonomies exacerbate cognitive divergence between human and machine annotations, revealing model limitations in handling ambiguous semantics.\nIdentified systemic biases: Discovered two robust classification errors—\"Neutral misclassification” and “Sadness shift” and analyzed their underlying logic using psychological archetype theory.\nThis research not only provides empirical evidence for selecting appropriate emotion taxonomy in emotion analysis but also offers insights for further optimizing LLMs’ performance in complex, cross-cultural psychological tasks.\nThe remainder of this paper is organized as follows. Section 2 reviews related work. Section 3 describes the dataset and annotation process. Section 4 presents the performance evaluation results, explores the consistency between GPT and the annotators, and reveals the main bias patterns of GPT-5. Section 5 provides discussion, and Section 6 concludes the paper, and Section 7 outlines the limitations of this study and future research directions.\n\n\n### Related work\nEmotion is a complex psychological phenomenon, and there remains disagreement about emotion (Lerner et al., 2015). Two opposing approaches exist concerning whether emotions can be classified. The dimensional approach posits that emotions are distributed across a continuous spectrum and cannot be simply divided into independent basic emotions. The discrete approach maintains that emotions can be categorized into distinct, finite basic emotions (Brady, 2021; Harmon-Jones et al., 2017). Discrete emotion models provide a clear taxonomy for emotion classification and are widely applied in the field of natural language processing (NLP).\nEmotion taxonomy is not merely a collection of labels but a cognitive framework that defines emotional boundaries and organizes psychological experiences. Researchers have proposed various emotion taxonomies. Ekman established six basic emotions—happiness, sadness, anger, fear, disgust, and surprise (Ekman, 1992)—based on physiological foundations and cross-cultural consistency, which gained widespread adoption. Some scholars have refined Ekman’s taxonomy. SemEval-2018 Task 1 streamlined this to four core emotions: anger, fear, joy, and sadness (Mohammad et al., 2018), providing a highly distinguishable engineering standard for NLP tasks. Other taxonomies incorporate additional emotions; for instance, the OCC model expands Ekman’s six basic emotions by adding 16 more, totaling 22 emotion categories (Ortony et al., 1990).\nSome scholars posit a hierarchical structure for emotions. Plutchik’s wheel of emotions model features eight (four pairs) fundamental bipolar emotions: joy-sadness, anger-fear, trust-disgust, and surprise-anticipation (Plutchik, 2001). Emotions are categorized into three intensity levels, with two adjacent primary emotions combining to form composite emotions. Parrott proposed a more refined three-tiered model with six primary emotions: love, joy, anger, fear, sadness, and surprise. These primary emotions are further subdivided into secondary and tertiary emotions (Parrott, 2001).\nWith the rise of social media, traditional emotion taxonomies have shown limitations in capturing nuanced emotions. Demszky et al. (2020) introduced GoEmotions, encompassing 27 emotions that can delicately depict human psychological states during social interactions. GoEmotions stands as the largest and most granular discrete emotion annotation framework. Additionally, datasets like ISEAR incorporate social emotions such as shame and guilt for specific research purposes (Scherer and Wallbott, 1994).\nEmotions are not only biologically universal but also culturally constructed. Emotion annotation is also a culturally influenced cognitive activity. As a cornerstone of traditional Chinese psychological thought, the “Seven Emotions Theory” (SevenEmotions) defines seven emotions: 喜 (joy), 怒 (anger), 哀 (sadness), 惧 (fear), 爱 (love), 恶 (disgust), and 欲 (desire) (Sheng, 2013; Wang, 2020). Compared to Western systems, it incorporates emotions like “爱 (love)” and “欲 (desire)” with distinct interpersonal and ethical connotations, aligning more closely with emotional expression in the Chinese context.\nIn the emotion analysis task, researchers often implicitly adopt a specific taxonomy without systematically comparing how differing taxonomies shape model cognition. As the “ruler” for measuring emotions, does the inherent complexity and classification logic of emotion taxonomy impact model performance? This question remains unanswered.\nTextual emotion analysis has undergone a paradigm shift from rule-based to data-driven approaches. Early methods primarily relied on lexicon-based techniques, using manually defined rules to classify emotions. With the rise of machine learning and deep learning, machine learning/deep learning-based methods gained prominence. In recent years, LLMs have rapidly evolved, demonstrating outstanding performance across multiple NLP tasks. Leveraging massive parameters and pre-training on large-scale corpora, LLMs demonstrate exceptional semantic understanding and zero-shot learning capabilities, enabling them to capture subtle emotions within text (Kaddour et al., 2023; Zhang W. et al., 2024). GPT has demonstrated the potential to surpass traditional deep learning models in multiple affective computing tasks (Amin et al., 2024).\nResearchers have evaluated LLMs’ emotion analysis performance, yielding two contrasting perspectives. Some studies suggest that LLMs’ emotion recognition capabilities are approaching those of human annotators. GPT-4 demonstrates high classification performance across multiple datasets (Liu et al., 2024). Niu et al. (2024) found that GPT-4 achieved recall and macro-F1 scores comparable to human annotations and even outperformed them in certain scenarios. In emotion intensity annotation tasks, GPT’s performance nearly matches models trained on human-annotated data (Bagdon et al., 2024). However, some scholars contend that LLMs lag behind humans when processing complex and nuanced emotional expressions (Koptyra et al., 2023; Qi et al., 2023), and human expertise remains crucial for emotion interpretation (Bojic et al., 2025).\nSome studies indicate a “cultural alignment gap” in LLMs’ performance. Despite LLMs’ multilingual capabilities, their performance often significantly declines when processing non-English corpora (Belay et al., 2025). Evaluations on Indonesian tweets (Nasution et al., 2025), German corpora (Greschner and Klinger, 2025), and Persian social media (Tohidi et al., 2025) reveal that, despite strong cross-lingual generalization capabilities, LLM consistency with human annotators remains low when handling metaphors, sarcasm, and culturally specific expressions. This suggests that pre-trained knowledge in LLMs may harbor Western-centric biases, limiting their effectiveness in localized sentiment analysis.\nAs the “ruler” of measurement, the attributes of an emotion taxonomy significantly modulate labeling behavior. In psychological research, cognitive load theory indicates that judgment accuracy declines markedly when the number of categories processed exceeds working memory capacity (Sweller, 1988; Baddeley, 2003). This effect has been validated in human emotion annotation tasks: finer granularity and fuzzier semantic boundaries lead to lower inter-annotator agreement (Bostan and Klinger, 2018; Williams et al., 2019). Zhang F. et al. (2024) evaluated different emotion taxonomies, and found that they performed differently in several ways.\nHowever, whether an effect of emotion taxonomy exists for LLMs remains untested. On one hand, LLMs possess vastly superior memory capacity to humans, theoretically enabling them to process large-scale label sets. On the other hand, some studies on machine learning models suggest that fine-grained taxonomy may induce statistical biases toward high-frequency labels (Demszky et al., 2020; Troiano et al., 2023). The choice of emotion taxonomy during dataset annotation impacts the performance and generalization capabilities of machine learning predictors (De León Languré and Zareei, 2024). The semantic density in prompt labels can disrupt LLMs’ zero-shot reasoning (Nasution et al., 2025). Currently, empirical research on how the emotion taxonomy systematically affects LLMs remains scarce. Resolving these questions is crucial for understanding the boundaries of AI’s emotional cognition.\n\n\n### Emotion taxonomies as cognitive frameworks\nEmotion is a complex psychological phenomenon, and there remains disagreement about emotion (Lerner et al., 2015). Two opposing approaches exist concerning whether emotions can be classified. The dimensional approach posits that emotions are distributed across a continuous spectrum and cannot be simply divided into independent basic emotions. The discrete approach maintains that emotions can be categorized into distinct, finite basic emotions (Brady, 2021; Harmon-Jones et al., 2017). Discrete emotion models provide a clear taxonomy for emotion classification and are widely applied in the field of natural language processing (NLP).\nEmotion taxonomy is not merely a collection of labels but a cognitive framework that defines emotional boundaries and organizes psychological experiences. Researchers have proposed various emotion taxonomies. Ekman established six basic emotions—happiness, sadness, anger, fear, disgust, and surprise (Ekman, 1992)—based on physiological foundations and cross-cultural consistency, which gained widespread adoption. Some scholars have refined Ekman’s taxonomy. SemEval-2018 Task 1 streamlined this to four core emotions: anger, fear, joy, and sadness (Mohammad et al., 2018), providing a highly distinguishable engineering standard for NLP tasks. Other taxonomies incorporate additional emotions; for instance, the OCC model expands Ekman’s six basic emotions by adding 16 more, totaling 22 emotion categories (Ortony et al., 1990).\nSome scholars posit a hierarchical structure for emotions. Plutchik’s wheel of emotions model features eight (four pairs) fundamental bipolar emotions: joy-sadness, anger-fear, trust-disgust, and surprise-anticipation (Plutchik, 2001). Emotions are categorized into three intensity levels, with two adjacent primary emotions combining to form composite emotions. Parrott proposed a more refined three-tiered model with six primary emotions: love, joy, anger, fear, sadness, and surprise. These primary emotions are further subdivided into secondary and tertiary emotions (Parrott, 2001).\nWith the rise of social media, traditional emotion taxonomies have shown limitations in capturing nuanced emotions. Demszky et al. (2020) introduced GoEmotions, encompassing 27 emotions that can delicately depict human psychological states during social interactions. GoEmotions stands as the largest and most granular discrete emotion annotation framework. Additionally, datasets like ISEAR incorporate social emotions such as shame and guilt for specific research purposes (Scherer and Wallbott, 1994).\nEmotions are not only biologically universal but also culturally constructed. Emotion annotation is also a culturally influenced cognitive activity. As a cornerstone of traditional Chinese psychological thought, the “Seven Emotions Theory” (SevenEmotions) defines seven emotions: 喜 (joy), 怒 (anger), 哀 (sadness), 惧 (fear), 爱 (love), 恶 (disgust), and 欲 (desire) (Sheng, 2013; Wang, 2020). Compared to Western systems, it incorporates emotions like “爱 (love)” and “欲 (desire)” with distinct interpersonal and ethical connotations, aligning more closely with emotional expression in the Chinese context.\nIn the emotion analysis task, researchers often implicitly adopt a specific taxonomy without systematically comparing how differing taxonomies shape model cognition. As the “ruler” for measuring emotions, does the inherent complexity and classification logic of emotion taxonomy impact model performance? This question remains unanswered.\n\n\n### The capabilities and limitations of LLM emotion analysis\nTextual emotion analysis has undergone a paradigm shift from rule-based to data-driven approaches. Early methods primarily relied on lexicon-based techniques, using manually defined rules to classify emotions. With the rise of machine learning and deep learning, machine learning/deep learning-based methods gained prominence. In recent years, LLMs have rapidly evolved, demonstrating outstanding performance across multiple NLP tasks. Leveraging massive parameters and pre-training on large-scale corpora, LLMs demonstrate exceptional semantic understanding and zero-shot learning capabilities, enabling them to capture subtle emotions within text (Kaddour et al., 2023; Zhang W. et al., 2024). GPT has demonstrated the potential to surpass traditional deep learning models in multiple affective computing tasks (Amin et al., 2024).\nResearchers have evaluated LLMs’ emotion analysis performance, yielding two contrasting perspectives. Some studies suggest that LLMs’ emotion recognition capabilities are approaching those of human annotators. GPT-4 demonstrates high classification performance across multiple datasets (Liu et al., 2024). Niu et al. (2024) found that GPT-4 achieved recall and macro-F1 scores comparable to human annotations and even outperformed them in certain scenarios. In emotion intensity annotation tasks, GPT’s performance nearly matches models trained on human-annotated data (Bagdon et al., 2024). However, some scholars contend that LLMs lag behind humans when processing complex and nuanced emotional expressions (Koptyra et al., 2023; Qi et al., 2023), and human expertise remains crucial for emotion interpretation (Bojic et al., 2025).\nSome studies indicate a “cultural alignment gap” in LLMs’ performance. Despite LLMs’ multilingual capabilities, their performance often significantly declines when processing non-English corpora (Belay et al., 2025). Evaluations on Indonesian tweets (Nasution et al., 2025), German corpora (Greschner and Klinger, 2025), and Persian social media (Tohidi et al., 2025) reveal that, despite strong cross-lingual generalization capabilities, LLM consistency with human annotators remains low when handling metaphors, sarcasm, and culturally specific expressions. This suggests that pre-trained knowledge in LLMs may harbor Western-centric biases, limiting their effectiveness in localized sentiment analysis.\n\n\n### Impact of emotion taxonomy\nAs the “ruler” of measurement, the attributes of an emotion taxonomy significantly modulate labeling behavior. In psychological research, cognitive load theory indicates that judgment accuracy declines markedly when the number of categories processed exceeds working memory capacity (Sweller, 1988; Baddeley, 2003). This effect has been validated in human emotion annotation tasks: finer granularity and fuzzier semantic boundaries lead to lower inter-annotator agreement (Bostan and Klinger, 2018; Williams et al., 2019). Zhang F. et al. (2024) evaluated different emotion taxonomies, and found that they performed differently in several ways.\nHowever, whether an effect of emotion taxonomy exists for LLMs remains untested. On one hand, LLMs possess vastly superior memory capacity to humans, theoretically enabling them to process large-scale label sets. On the other hand, some studies on machine learning models suggest that fine-grained taxonomy may induce statistical biases toward high-frequency labels (Demszky et al., 2020; Troiano et al., 2023). The choice of emotion taxonomy during dataset annotation impacts the performance and generalization capabilities of machine learning predictors (De León Languré and Zareei, 2024). The semantic density in prompt labels can disrupt LLMs’ zero-shot reasoning (Nasution et al., 2025). Currently, empirical research on how the emotion taxonomy systematically affects LLMs remains scarce. Resolving these questions is crucial for understanding the boundaries of AI’s emotional cognition.\n\n\n### Materials and methods\nTo ensure the ecological validity of the experimental corpus, this study selected Sina Weibo, China’s mainstream social media platform, as the data source. Focusing on hot topics in the socioeconomic domain, a keyword set was constructed for targeted retrieval, initially yielding 3,000 raw posts. Subsequently, rigorous data preprocessing was implemented: commercial advertisements, fragmented texts (<10 characters), and semantically ambiguous noise data were excluded. Ultimately, 2,848 high-quality posts were retained to construct the experimental corpus.\nAnnotation was performed independently by five systematically trained annotators. To ensure cognitive alignment across different emotion taxonomies, all annotators passed a pre-annotation test. This experiment employed a within-subjects design, where each annotator applied five distinct emotion taxonomies (SemEval, Ekman, SevenEmotions, Plutchik, and GoEmotions) to the same batch of data. All systems included a “Neutral” label to cover samples without distinct emotions.\nTo control sequence effects and practice effects, we implemented strict randomization and washout strategies:\nRandom ordering: The sequence of the five taxonomies for each annotator was randomly generated by the computer.\nWashout period: A minimum 3-day interval was enforced between annotation tasks for adjacent taxonomies.\nThis design aims to eliminate annotators’ short-term emotional memory of specific corpora, ensuring each annotation is based on independent judgment within the current taxonomy.\nIn August 2025, OpenAI released GPT-5, which demonstrated outstanding capabilities across numerous tasks (Singh et al., 2025). To evaluate its emotion understanding capabilities, we developed a Python program that calls the OpenAI API to execute automated annotation tasks. The model identifier is gpt-5-2025-08-07. The experiment employs a zero-shot reasoning paradigm, aiming to simulate baseline model performance in the absence of domain-specific fine-tuning or few-shot examples.\nSystem Role: You are a textual emotion labeling expert.\nTask: Annotate Weibo post with emotion by selecting the most appropriate label from the provided label set.\nConstrains:\n   (1)Label set: {label_set}   (2)Must select exactly one label\n   (3)Provide a brief justification (<100 characters)\nInput: Weibo post: {text}Output Format: Emotion:[Label];  Justification: [Reasoning]\nPrompt design adheres to the minimal instruction principle, strictly aligning with human-annotated guidance. We require the model to output only the single best-matching label based on the provided label set, accompanied by a brief justification. The prompt template is as follows:\nRegarding parameter configuration, the model version is specified as gpt-5. The temperature was set to 0 to ensure reproducibility of results. The max_tokens was set to 1,000; it was a deliberate setting based on iterative pilot testing to prevent truncation errors. This buffer allows the model to generate a brief justification (typically 50–100 Chinese characters) alongside the emotion label. We used these justifications to ensure the model’s emotional annotations were based on correct semantic understanding.\nEach post was queried once under each emotion taxonomy. Our implementation included a three-time retry logic for each post. A small number of posts failed to return annotation results. In each taxonomy, less than 1% of posts (e.g., due to content filter error) failed to return a valid label (Ke and Watanabe, 2025); these were recorded as ‘null’ and excluded from the analysis.\nEmotions embedded in social media posts often exhibit subjectivity, with different annotators potentially interpreting the emotion of the same text differently. This study proposes a decision strategy to determine the ground truth based on Consensus Level (CL). CL is the maximum number of annotators who assign the same label to a given post. For the five annotators, CL has five levels.\nCL 5 (Unanimous): All five annotators agree on the same label (vote pattern: 5-0-0-0-0).\nCL 4 (Near perfect): Four annotators agree on the same label (vote pattern: 4-1-0-0-0).\nCL 3 (Majority): Three annotators agree on the same label (vote patterns: 3-2-0-0-0 or 3-1-1-0-0).\nCL 2 (Weak majority): The highest vote count for a single label is two. This includes two vote patterns: a single dominant pair (2-1-1-1-0) or a tie between two pairs (2-2-1-0-0).\nCL 1 (Complete dispersion): All five annotators provide different labels (vote pattern: 1-1-1-1-1).\nTo ensure the reliability of the ground truth, samples categorized as No Consensus (NC) are invalid and excluded from the evaluation. NC includes two scenarios where a unique dominant label cannot be identified: (1) the tied case in CL 2 (vote pattern: 2-2-1-0-0), and (2) the completely dispersed case in CL 1. This filtering mechanism ensures that the evaluation assesses the model’s ability to identify recognizable emotions rather than ambiguous noise. These consensus levels are utilized in Section 4.2.2 to assess the model’s robustness across varying emotional clarity.\nWe employed a multidimensional metric system to quantify GPT-5’s behavior across three dimensions: classification performance, human-machine consistency, and statistical significance.\n(1) Classification performance\nUsing human ground truth as the benchmark, GPT-5’s annotations are treated as predictions to calculate classification performance metrics. To address the significant class imbalance inherent in social media, we employ two complementary averaging methods—macro-averaging and weighted-averaging—to precision, recall, and F1 scores.\nAccuracy: The proportion of correctly predicted samples relative to the total, reflecting overall classification capability.\nMacro-Precision/Recall/F1: These metrics calculate the precision, recall, or F1 score independently for each class and then take their arithmetic average. By treating each category as equally important regardless of its frequency, macro-averaged metrics effectively highlight the model’s performance on rare categories.\nWeighted-Precision/Recall/F1: These metrics calculate the performance for each category but weigh their contribution based on the percentage of samples. Compared to macro-averaging, weighted metrics provide a more representative measure of the model’s overall performance across the actual ecological distribution of the dataset.\n(2) Human-AI consistency\nTo investigate whether GPT-5 exhibits human-like annotation behavior, two kappa coefficients are computed:\nGroup Consistency (Fleiss’ kappa): First, calculate Fleiss’ kappa among 5 human annotators (baseline); then, treat GPT-5 as the sixth annotator and recalculate the metric. A significant decrease in kappa after adding GPT-5 indicates the model disrupts the original human consensus structure.\nIndividual Consistency (Cohen’s kappa): Calculate one-on-one Cohen’s kappa between GPT-5 and each of the five annotators to reflect the model’s alignment with individual human annotators.\n(3) Significance of differences\nThe McNemar test is used to assess whether systematic differences exist between GPT-5’s classification error distribution and human annotations. This test focuses on the off-diagonal elements (i.e., inconsistent samples) in the contingency table. If p<0.05, the null hypothesis is rejected, indicating a statistically significant difference in classification decisions between the model and human annotators.\n\n\n### Dataset construction and manual annotation\nTo ensure the ecological validity of the experimental corpus, this study selected Sina Weibo, China’s mainstream social media platform, as the data source. Focusing on hot topics in the socioeconomic domain, a keyword set was constructed for targeted retrieval, initially yielding 3,000 raw posts. Subsequently, rigorous data preprocessing was implemented: commercial advertisements, fragmented texts (<10 characters), and semantically ambiguous noise data were excluded. Ultimately, 2,848 high-quality posts were retained to construct the experimental corpus.\nAnnotation was performed independently by five systematically trained annotators. To ensure cognitive alignment across different emotion taxonomies, all annotators passed a pre-annotation test. This experiment employed a within-subjects design, where each annotator applied five distinct emotion taxonomies (SemEval, Ekman, SevenEmotions, Plutchik, and GoEmotions) to the same batch of data. All systems included a “Neutral” label to cover samples without distinct emotions.\nTo control sequence effects and practice effects, we implemented strict randomization and washout strategies:\nRandom ordering: The sequence of the five taxonomies for each annotator was randomly generated by the computer.\nWashout period: A minimum 3-day interval was enforced between annotation tasks for adjacent taxonomies.\nThis design aims to eliminate annotators’ short-term emotional memory of specific corpora, ensuring each annotation is based on independent judgment within the current taxonomy.\n\n\n### GPT-5 annotation\nIn August 2025, OpenAI released GPT-5, which demonstrated outstanding capabilities across numerous tasks (Singh et al., 2025). To evaluate its emotion understanding capabilities, we developed a Python program that calls the OpenAI API to execute automated annotation tasks. The model identifier is gpt-5-2025-08-07. The experiment employs a zero-shot reasoning paradigm, aiming to simulate baseline model performance in the absence of domain-specific fine-tuning or few-shot examples.\nSystem Role: You are a textual emotion labeling expert.\nTask: Annotate Weibo post with emotion by selecting the most appropriate label from the provided label set.\nConstrains:\n   (1)Label set: {label_set}   (2)Must select exactly one label\n   (3)Provide a brief justification (<100 characters)\nInput: Weibo post: {text}Output Format: Emotion:[Label];  Justification: [Reasoning]\nPrompt design adheres to the minimal instruction principle, strictly aligning with human-annotated guidance. We require the model to output only the single best-matching label based on the provided label set, accompanied by a brief justification. The prompt template is as follows:\nRegarding parameter configuration, the model version is specified as gpt-5. The temperature was set to 0 to ensure reproducibility of results. The max_tokens was set to 1,000; it was a deliberate setting based on iterative pilot testing to prevent truncation errors. This buffer allows the model to generate a brief justification (typically 50–100 Chinese characters) alongside the emotion label. We used these justifications to ensure the model’s emotional annotations were based on correct semantic understanding.\nEach post was queried once under each emotion taxonomy. Our implementation included a three-time retry logic for each post. A small number of posts failed to return annotation results. In each taxonomy, less than 1% of posts (e.g., due to content filter error) failed to return a valid label (Ke and Watanabe, 2025); these were recorded as ‘null’ and excluded from the analysis.\n\n\n### Ground truth synthesis\nEmotions embedded in social media posts often exhibit subjectivity, with different annotators potentially interpreting the emotion of the same text differently. This study proposes a decision strategy to determine the ground truth based on Consensus Level (CL). CL is the maximum number of annotators who assign the same label to a given post. For the five annotators, CL has five levels.\nCL 5 (Unanimous): All five annotators agree on the same label (vote pattern: 5-0-0-0-0).\nCL 4 (Near perfect): Four annotators agree on the same label (vote pattern: 4-1-0-0-0).\nCL 3 (Majority): Three annotators agree on the same label (vote patterns: 3-2-0-0-0 or 3-1-1-0-0).\nCL 2 (Weak majority): The highest vote count for a single label is two. This includes two vote patterns: a single dominant pair (2-1-1-1-0) or a tie between two pairs (2-2-1-0-0).\nCL 1 (Complete dispersion): All five annotators provide different labels (vote pattern: 1-1-1-1-1).\nTo ensure the reliability of the ground truth, samples categorized as No Consensus (NC) are invalid and excluded from the evaluation. NC includes two scenarios where a unique dominant label cannot be identified: (1) the tied case in CL 2 (vote pattern: 2-2-1-0-0), and (2) the completely dispersed case in CL 1. This filtering mechanism ensures that the evaluation assesses the model’s ability to identify recognizable emotions rather than ambiguous noise. These consensus levels are utilized in Section 4.2.2 to assess the model’s robustness across varying emotional clarity.\n\n\n### Evaluation metrics and statistical tests\nWe employed a multidimensional metric system to quantify GPT-5’s behavior across three dimensions: classification performance, human-machine consistency, and statistical significance.\n(1) Classification performance\nUsing human ground truth as the benchmark, GPT-5’s annotations are treated as predictions to calculate classification performance metrics. To address the significant class imbalance inherent in social media, we employ two complementary averaging methods—macro-averaging and weighted-averaging—to precision, recall, and F1 scores.\nAccuracy: The proportion of correctly predicted samples relative to the total, reflecting overall classification capability.\nMacro-Precision/Recall/F1: These metrics calculate the precision, recall, or F1 score independently for each class and then take their arithmetic average. By treating each category as equally important regardless of its frequency, macro-averaged metrics effectively highlight the model’s performance on rare categories.\nWeighted-Precision/Recall/F1: These metrics calculate the performance for each category but weigh their contribution based on the percentage of samples. Compared to macro-averaging, weighted metrics provide a more representative measure of the model’s overall performance across the actual ecological distribution of the dataset.\n(2) Human-AI consistency\nTo investigate whether GPT-5 exhibits human-like annotation behavior, two kappa coefficients are computed:\nGroup Consistency (Fleiss’ kappa): First, calculate Fleiss’ kappa among 5 human annotators (baseline); then, treat GPT-5 as the sixth annotator and recalculate the metric. A significant decrease in kappa after adding GPT-5 indicates the model disrupts the original human consensus structure.\nIndividual Consistency (Cohen’s kappa): Calculate one-on-one Cohen’s kappa between GPT-5 and each of the five annotators to reflect the model’s alignment with individual human annotators.\n(3) Significance of differences\nThe McNemar test is used to assess whether systematic differences exist between GPT-5’s classification error distribution and human annotations. This test focuses on the off-diagonal elements (i.e., inconsistent samples) in the contingency table. If p<0.05, the null hypothesis is rejected, indicating a statistically significant difference in classification decisions between the model and human annotators.\n\n\n### Results\nWe first analyzed the human annotation results for the 2,848 Weibo posts across the five emotion taxonomies. Each post was independently labeled by five annotators. The labeling options included (1) emotion categories defined within the taxonomy, (2) neutral, and (3) no suitable emotions. Following the ground truth synthesis method, samples that failed to reach consensus were categorized as “NC” (No Consensus). In constructing the evaluation datasets, both “NC” samples and “no suitable emotions” were excluded. The distribution of annotation results across the five taxonomies is presented in Table 1.\nStatistics of human ground truth across five emotion taxonomies.\nThe data filtration results reveal that the volume of valid samples increased progressively with taxonomic granularity, rising from 2,281 in SemEval to 2,536 in GoEmotions. This trend is primarily driven by the coverage of emotion taxonomies. In the coarse-grained SemEval, 217 samples were categorized as “no suitable emotions” due to a lack of matching emotion. In contrast, this number dropped to 1 in the fine-grained GoEmotions. This indicates that finer-granularity taxonomies enhance the coverage of affective states in social media posts. The number of NC samples remained relatively stable across taxonomies (ranging from 311 to 377), suggesting that human annotators can maintain a consistent level even when faced with an expanded set of options.\nFor each taxonomy, we calculated the sample size and proportion of each emotional and neutral label (detailed in Appendix Tables S1–S5). Across all taxonomies, the data exhibits a pronounced class imbalance, which is characteristic of naturalistic social media posts:\nDominance of neutrality: The “neutral” category consistently represents the majority class, ranging from 49.4% (GoEmotions) to 59.8% (SevenEmotions). This distribution establishes a critical Majority Class Baseline (MCB) for evaluating model performance.\nLong-tail distribution: Conversely, many specific emotion categories reside in the “long tail.” For example, in SevenEmotions, indigenous categories such as love” (0.7%), “disgust” (1.0%), and “desire” (0.5%) constitute only a tiny fraction of the dataset. In GoEmotions, this fragmentation is even more extreme, with 13 categories representing less than 1% of the total samples.\nUnder the five emotion taxonomies, using human ground truth as the actual values and GPT-5 annotations as the predicted values, we calculated the classification performance metrics: accuracy, precision, recall, and F1 score. The results are shown in Table 2.\nPerformance of GPT-5 across five emotion taxonomies.\nTable 2 indicates that the complexity of the taxonomy is a key moderating variable determining model performance. As the emotion granularity expands from SemEval (4 categories) to GoEmotions (27 categories), accuracy drops from 0.6569 to 0.4216, the macro F1 falls from 0.4568 to 0.2134, and the weighted F1 falls from 0.7172 to 0.4680, indicating significant performance degradation.\nThe number of emotion categories, serving as a measure of taxonomy complexity, exhibits a strong negative correlation with model performance. The Pearson correlation coefficient between the number of emotion categories and accuracy is −0.9651 (p<0.05), while the correlation with macro F1 score is −0.9605 (p<0.05), with the weighted F1 score is −0.9797 (p<0.05).\nTo provide a robust inferential basis for the relationship between taxonomic granularity and model performance, we employed Generalized Estimating Equations (GEE) regression. This approach was chosen to move beyond simple descriptive trends and to address the statistical requirements of independence and sample-level variance. We transformed the samples in the five taxonomies into a long table consisting of 11,981 observations. Each observation was defined by three variables: (1) Post_id; (2) Taxonomic granularity (4, 6, 7, 8, or 27); and (3) Is_Correct, a binary dependent variable (1 = Correct, 0 = Incorrect). We then applied GEE with a binomial distribution and a logit link function. By grouping observations by Post_id, the GEE model explicitly accounts for the intra-subject correlations inherent in repeated-measures design, thereby providing robust standard errors and unbiased estimates of the effect of granularity on model performance. The result is shown in Table 3.\nGEE regression results.\nThe GEE analysis reveals a significant negative effect of taxonomic granularity on accuracy (β=−0.0474,p<0.001). This confirms that the “Granularity Paradox” is not merely a descriptive observation but a statistically robust phenomenon: for every additional category introduced into the taxonomy, the log-odds of the model producing a correct annotation significantly decrease.\nComparing SevenEmotions (7 categories, localized) with Ekman (6 categories, Western universal), their category counts are similar. The accuracy was 0.60620 in SevenEmotion and 0.6257 in Ekman, indicating that SevenEmotion did not outperform Ekman. In SevenEmotion, despite the inclusion of labels like “love” and “desire” that align with Chinese linguistic contexts, the model failed to demonstrate the anticipated cultural advantage. This suggests that GPT-5’s emotional reasoning logic remains primarily driven by Western-dominant schemas embedded in its pre-training, failing to effectively activate the deep semantics of indigenous cultural concepts.\nSocial media posts may have varying degrees of emotional clarity. Emotional clarity represents the extent to which a post conveys a singular, recognizable emotion that can be consistently decoded by human observers. To isolate the impact of emotional clarity on model performance, samples were divided into four groups based on consensus levels (5, 4, 3, and 2). The accuracy across different consensus levels for the five taxonomies is shown in Table 4.\nAccuracy of GPT-5 across five emotion taxonomies at different consensus levels.\nThe relationship between consensus levels and accuracy is depicted in Figure 1. The accuracy is significantly positively correlated with the consensus level across the coarse-grained taxonomies (SemEval, Ekman, SevenEmotions, and Plutchik), with Pearson coefficientsr>0.98 (p<0.05). However, for the fine-grained GoEmotions, the correlation did not reach statistical significance (r=0.89,p=0.11). This lack of significance is primarily attributed to a non-linear performance collapse; the accuracy in GoEmotions drops abruptly by 53.7% when shifting from CL 5 to CL 4 and then plateaus at a low baseline (approx. 20–32%) for all lower consensus levels. This suggests that for fine-grained taxonomies, even a minor reduction in emotional clarity (from CL 5 to CL 4) is sufficient to exhaust the model’s discriminative capacity. The performance varies at different CL levels as follows:\nPerformance Ceiling (CL 5): For samples with unanimous agreement, coarse-grained taxonomies (SemEval, Ekman, SevenEmotions) achieve accuracy exceeding 85%; the average accuracy is 86.79%, demonstrating that GPT-5 possesses near-human discrimination capabilities for unambiguous emotions. In contrast, the fine-grained GoEmotions lagged significantly, reaching only 68.84%, highlighting the inherent difficulty of fine-grained classification.\nSensitivity to Clarity (CL 5 to 4): A critical divergence occurs when the consensus level drops from 5 to 4. GoEmotions exhibited a 53.7% relative decrease in accuracy (68.84% → 31.88%), which is significantly steeper than the 25.1% decline observed for SemEval (88.36% → 66.21%).\nThe “Floor” Effect (CL 2): For low-clarity samples, SemEval maintained the highest accuracy at 37.96%. Conversely, accuracy for Ekman, SevenEmotions, and Plutchik clustered between 27.49 and 31.77%. GoEmotions recorded the lowest accuracy at 20.16%, representing a 46.9% relative deficit compared to SemEval.\nRelationship between accuracy and consensus levels across five emotion taxonomies.\nMoving beyond descriptive observations, we employed a mixed-effects logistic regression on the instance-level dataset to quantify the decline rates and test for statistical significance. The model specified Is_Correct as the outcome, with Taxonomic Granularity, Consensus Level, and their interaction as fixed effects, and Post_id as a random effect to account for repeated-measures variance. The result of regression analysis is shown in Table 5.\nMixed-effects logistic regression results.\nThe regression analysis confirms that consensus level is a robust positive predictor of model performance (β=0.7587,p<0.001). This indicates that regardless of the taxonomy used, GPT-5 is highly sensitive to the emotional clarity; higher human consensus significantly increases the log-odds of a correct prediction.\nControlling for emotional clarity, taxonomic granularity exerts a significant negative impact on accuracy (β=−0.0402,p<0.001). However, the performance degradation follows a non-linear threshold pattern rather than a uniform linear decline.\nCrucially, the mixed-effects model tested whether taxonomic granularity is disproportionately more sensitive to clarity. The interaction term between granularity and consensus level was not statistically significant (β=−0.0025,p=0.301).\nThis result suggests a phenomenon of “parallel decay.” While GoEmotions exhibits the lowest absolute accuracy, the rate at which performance decays as CL decreases is statistically comparable to that of simpler taxonomies. This implies that the “Granularity Paradox” acts as a systemic penalty: it depresses the probability of correct classification uniformly across all levels of CL.\nIn summary, taxonomic granularity impacts both the upper limit and the lower bound of GPT-5. While the model exhibits a threshold-like drop in performance when scaling to 27 categories, the statistical evidence confirms that the detrimental effect of granularity is omnipresent and independent of the post’s inherent clarity (non-significant interaction).\nFollowing the macro-level performance analysis, to deeply explore the internal mechanisms of LLM decision-making, we further analyzed the performance of various emotions at the micro-level. Since the sets of emotion labels across the five taxonomies are not entirely the same, we categorized the emotion labels into three distinct types for separate analysis.\nA Core emotion recognition capability\nJoy, anger, sadness, and fear are present across the five taxonomies, representing universally applicable core emotions. The F1 score, the harmonic mean of precision and recall, comprehensively reflects a model’s ability to recognize specific emotions. Under the five taxonomies, the macro F1 scores for the four core emotions are shown in Table 6.\nMacro F1 score for four core emotions across five emotion taxonomies.\nAs taxonomic granularity increases, the F1 score evolution trajectory for the four core emotions is shown in Figure 2.\nF1 score of the four core emotions under five emotion taxonomies.\nOverall, as taxonomy becomes more complex, GPT’s ability to recognize the four core emotions declines. However, the specific manifestations of each emotion vary, revealing two different dynamics.\n(1) Semantic dilution effect\nFor sadness, GPT-5 maintains the highest recognition level under simpler taxonomies. In SemEval, it achieves an F1 score of 0.707 while also sustaining high performance in Ekman, SevenEmotions, and Plutchik (0.610 ~ 0.683). This indicates that sadness, as a core emotion, possesses high linguistic salience, enabling the model to accurately capture sadness in post. However, a precipitous collapse occurs in GoEmotions. The F1 score drops to 0.129, representing an 81.8% relative decrease compared to the SemEval baseline. This primarily stems from GoEmotions subdividing sadness into multiple similar emotions like sadness, grief, and remorse. Under zero-shot learning, GPT-5 struggles to delineate the subtle boundaries between these synonyms, leading to excessive dilution of core semantics and triggering classification failure.\nJoy exhibits a pattern like sadness. In simpler taxonomies, its F1 score generally maintains a high level, ranging from 0.5091 to 0.6193. However, in GoEmotions, the F1 score falls to 0.347, a 44.0% relative decline from its peak in SemEval. This decline stems from emotions like amusement and excitement, which are similar to joy, causing the core semantic meaning to become overly diluted and triggering classification failure.\nFear demonstrated high stability across the four simpler taxonomies, with F1 scores fluctuating within a narrow margin (0.463 to 0.492). However, in GoEmotions, the F1 score plummets by 47.4% relative to Plutchik, reaching a low of 0.259. When the number of emotions increases, the model struggles to distinguish between fear and similar emotions like nervousness. This excessive dilution of core semantic meaning triggers classification failure.\n(2) Semantic purification effect\nAnger exhibits counterintuitive trends. From SemEval to Plutchik, the F1 score shows a gradual decrease of 5.7 percentage points (0.511 → 0.454). However, in GoEmotions, the F1 score unexpectedly rises to 0.567, representing a 24.9% relative improvement over Plutchik and even surpassing the SemEval by 5.6 percentage points. This anomalous phenomenon reveals the semantic purification effect. In coarse-grained taxonomy, anger serves as a broad container encompassing both “annoyance” and “disapproval.” Within GoEmotions, however, the separation of annoyance and disapproval into distinct categories purifies the remaining anger label, refining it into a dedicated term for high-intensity rage. GPT-5 exhibits higher classification confidence toward such sharply defined, narrowly characterized extreme emotions. This finding suggests that for distinctively extreme emotions, fine-grained taxonomies aid models in pinpointing prototypical instances.\nB Identification of neutral\nIn emotion analysis, “neutral” indicates the absence of discernible emotion. The recognition level of neutral serves as a benchmark for measuring whether LLMs produce emotional hallucinations or overinterpret non-emotional text. The macro precision, recall, and F1 score for the neutral across the five taxonomies are shown in Table 7.\nPerformance of GPT-5 for “neutral” across five emotion taxonomies.\nFigure 3 depicts the trends in macro precision, recall, and F1 score as emotion granularity increases.\nPrecision, recall, and F1 score of “neutral” across five emotion taxonomies.\nAcross the five taxonomies, the precision for the neutral remained high, ranging from 0.8978 to 0.9623. This indicates that, regardless of the taxonomies employed, GPT-5 achieves exceptional accuracy when labeling posts as neutral. This reflects the model’s significant conservatism in identifying text lacking distinct emotion—it avoids mislabeling clearly emotional statements as neutral. Precision increases with greater granularity, demonstrating that the model applies stricter criteria for defining emotionless text within complex taxonomies.\nRecall for neutral is notably lower than precision and decreases with increasing granularity. In SemEval, recall stands at 0.6917, but it decreases by 15.07 percentage points to 0.5410 in GoEmotions. This 21.8% relative decline in recall confirms the presence of “emotional hallucination.” When confronted with an extensive set of labels, the model tends to overinterpret subtle signals in neutral text, forcing samples that should be neutral into specific emotion categories. The more complex the taxonomies, the stronger the incentive for this overinterpretation.\nRegarding the F1 score, GPT-5 demonstrates a high level of performance on neutral labels. In SemEval and Ekman, the F1 remains stable at approximately 0.78. However, starting from SevenEmotions, the F1 drops to 0.7373 and ultimately stabilizes near 0.691 (a total decline of 11.5% from the SemEval baseline) in Plutchik and GoEmotions.\nAnalysis of “neutral” further demonstrates that emotion taxonomy modulates GPT-5’s annotation decisions. Simple taxonomy helps maintain the model’s ability to capture neutral text, while complex taxonomy induces a tendency to assign emotion to neutral text more frequently. These findings alert researchers that while pursuing higher emotion recognition levels, they must be mindful that complex labeling systems can impact a model’s ability to identify neutral text.\nC Recognition of social emotions\nEmotion taxonomies (excluding SemEval) often include complex emotion categories besides core emotions, such as trust, appreciation, and admiration. Expressions of these emotions frequently lack direct lexical representation and heavily rely on inferences about contextual intent, social interaction, and future states. GPT-5 performs poorly on these emotions, reflecting higher-order cognition and sociality. In Ekman, disgust shows the worst performance with an F1 score of 0.0546. In SevenEmotions, love performs worst with an F1 score of 0.1481. In Plutchik, trust performed worst with an F1 score near zero. In GoEmotions, emotions like admiration and disapproval performed worst, with F1 scores near zero.\nThis stems from core emotions having strong statistical co-occurrence with specific lexical cues in the pre-training corpus, enabling the model to recognize them well. Emotions like trust and admiration, however, are often implicit within the text’s pragmatic logic. For example, the sentence “I will always support your decision” conveys trust yet contains no explicit emotional vocabulary. This low performance on such emotions reveals a deep limitation in LLMs’ emotional alignment: models currently rely primarily on surface-level semantic matching, lacking the capacity for deep reasoning about social norms, interpersonal intent, and underlying psychological states.\nLLMs differ from human emotional understanding mechanisms (Huang et al., 2024). Whether employing different emotion taxonomies impacts the alignment between LLMs and human annotators is a critical issue in LLM evaluation. We assess GPT-5’s alignment with human emotional cognition across three dimensions: group consistency, individual consistency, and statistical significance.\nFleiss’ kappa is a classic metric for evaluating multi-annotator consistency, used to measure relative agreement among multiple annotators. Under the five taxonomies, Fleiss’ kappa was first calculated for five human annotators. Then, GPT-5 was added as the sixth annotator to the group, and Fleiss’ kappa was recalculated. Comparing the two yields the change in Fleiss’ kappa after incorporating GPT. Fleiss’ kappa across the five taxonomies is presented in Table 8.\nFleiss’ kappa across five emotion taxonomies.\nBased on Fleiss’ kappa for human annotators, the consistency level across the five taxonomies ranges from 0.3770 to 0.4622, falling within the “fair” to “moderate” range (Landis and Koch, 1977). After incorporating GPT, Fleiss’ kappa decreased across four taxonomies (Δkappa < 0), indicating that GPT-5’s emotion judgment logic diverges from human annotators. GoEmotions exhibited the most substantial divergence, with Fleiss’ kappa dropping from 0.4381 to 0.3755—a relative decline of 14.3%, suggesting greater divergence between the model’s emotion judgments and human annotators in fine-grained taxonomy.\nNotably, under the Ekman taxonomy, incorporating GPT-5 resulted in a consistency increase of 0.0057 (from 0.3770 to 0.3826). This may suggest that Ekman’s six basic emotions possess high semantic purity within the pre-training corpus, with their classification criteria aligning precisely with the center of human consensus. This implies that the Ekman may represent the lowest-cost approach for human-machine alignment in collaborative emotion annotation tasks.\nTo evaluate the validity of the human ground truth and the model predictions, we conducted a dual-layer reliability analysis: assessing both within-annotator self-consistency and inter-annotator agreement. We got the within-annotator self-consistency by measuring how often they assign identical labels to the same post across different taxonomies. Results are detailed in Appendix Table S6. To assess inter-annotator agreement, we calculated pairwise Cohen’s kappa among the five annotators across all five taxonomies. We then computed the average kappa relative to the other four peers to quantify their alignment with the collective consensus; these results are presented in Appendix Table S7.\nThese results reveal significant heterogeneity in reliability among the human annotators.\nAnnotators 2 and 5 exhibited exceptional reliability, with self-consistency rates exceeding 93% and maintaining the highest average pairwise kappa across all taxonomies (e.g., > 0.37 in Ekman).\nAnnotator 4 showed the lowest self-consistency (59.61%) and lower agreement with other human peers (e.g., a mean kappa of only 0.238 in the Ekman taxonomy). This multi-dimensional evidence suggests that Annotator 4’s judgments are characterized by high internal entropy and a divergence from the collective consensus.\nCohen’s kappa was further employed to assess the agreement between GPT-5 and human annotators. Under the five taxonomies, Cohen’s kappa between GPT-5 and each annotator is presented in Table 9.\nCohen’s kappa between GPT-5 and each annotator across five emotion taxonomies.\nThis table indicates that GPT-5’s alignment with human annotation is moderated by the reliability of the annotator and the taxonomic granularity.\nGPT-5 achieved its peak alignment with high-stability annotators. For instance, the average Cohen’s kappa with Annotator 3 (0.4420) and Annotator 2 (0.4124) across all taxonomies significantly outperformed the alignment with others. In the simplest taxonomy, SemEval, the kappa with Annotator 3 reached a maximum of 0.5018, suggesting the model’s decision logic effectively simulates the judgment patterns of stable human annotators.\nConversely, the model exhibited consistently lower alignment with Annotator 4, with an average kappa of only 0.2605. Notably, in Ekman, the kappa for Annotator 4 dropped to 0.2172, while the other four annotators maintained a mean of 0.4400. Since Annotator 4’s labels deviate significantly from the human consensus, these lower values reflect annotator-specific noise rather than a deficit in the model’s emotional understanding.\nAcross all five annotators, alignment levels exhibit a negative trajectory as emotion granularity increases. The average kappa declines from 0.4513 in SemEval to 0.2696 in GoEmotions, representing a 40.3% relative reduction. This confirms that fine-grained taxonomies inherently lower the ceiling for alignment by increasing the complexity of the decision space.\nTo determine whether statistically significant differences exist between GPT-5 and human annotations, a McNemar test was conducted comparing GPT annotations across the five taxonomies with human ground truth. This test aims to assess marginal homogeneity in classification decisions—specifically, whether differences stem from random variation or systematic deviation. Test results are presented in Table 10.\nGPT-5 vs. human annotation McNemar test.\nResults indicate that across all taxonomies, McNemar’s test yielded p-values consistently below 0.001. GPT-5 exhibits a significant, non-random systematic shift relative to human annotations. This signifies a substantial misalignment between the model’s decision logic and human annotators.\nThe magnitude of this human-machine discrepancy, as quantified by the χ2statistic, demonstrates an intensification as emotion granularity evolves from coarse to fine-grained. The χ2 values increased from 854.00 in SemEval to 1494.00 in GoEmotions. This indicates that the finer the emotion, the more pronounced the divergence between models and humans. The human-machine discrepancy reaches its maximum under GoEmotions, validating that fine-grained taxonomy leads to greater deviation between models and humans.\nGiven the significant discrepancies between GPT-5 and human annotations, what are the main classification biases? Do these biases vary across different taxonomies? We chose samples with a consensus level ≥3 for analysis. These samples can be assigned a ground truth label through majority voting and serve as reliable true values. By using the human-annotated ground truth as rows and the GPT-5 annotation results as columns, we constructed a confusion matrix. The confusion matrices for the five emotion taxonomies are shown in Figure 4.\nHeatmap of the five confusion matrices.\nThe confusion matrices across the five emotion taxonomies reveal two common classification biases, with misclassified samples predominantly concentrated in the “neutral” and “sadness” ground truth labels.\n(1) Hypersensitivity to neutrality\nGPT-5 labels numerous samples deemed “neutral” by humans with some emotion, representing the most obvious bias with a high misclassification rate. For posts considered objective statements by humans, the model captures extremely subtle lexical cues and amplifies them into explicit emotions. This bias may cause the model to generate emotional “false positives” in practical applications.\nAs the number of emotional labels increases, GPT-5’s misclassification rate of neutral samples as emotional rises significantly. In SemEval, the misclassification rate is 28.4% (358/1260). In Ekman, it reaches 29.7% (376/1265). In SevenEmotions, the misclassification rate rose to 37.0% (491/1327). In Plutchik, it climbed to 43.7% (581/1330). In GoEmotions, the misclassification rate reached 45.4% (551/1214).\nAs emotional granularity increases, the model gains access to more emotion-inducing items, shifting its underlying prediction logic from conservative to aggressive. This amplifies the model’s sensitivity overload, causing it to prioritize capturing subtle lexical features and force-fit emotional labels when processing ambiguous contexts.\n(2) Arousal shift in sadness\nGPT-5 can accurately discern emotional polarity (positive or negative), but it exhibits significant cognitive ambiguity when distinguishing negative emotions with identical valence but differing arousal levels. The most common bias involves misclassifying sadness as other negative emotions such as anger, fear, or disgust. The misclassifications for “sadness” across five emotion taxonomies are shown in Table 11.\nThe misclassification for sadness across five emotion taxonomies.\nThis bias reflects the model’s valency-first strategy. While the model correctly identifies negative polarity in post, it exhibits bias when distinguishing between psychological motivations such as inward-directed distress (sadness) versus outward-directed aggression (anger) or future threat (fear). It often displays emotional polarization, misclassifying low-arousal sadness as higher-arousal negative emotions.\nThe misclassification rate for sadness increases significantly with higher emotion granularity. In SemEval, the error rate is 36.01%, with misclassifications primarily directed toward fear and anger. In Ekman, SevenEmotions, and Plutchik, the error rate rises, peaking at 56.57% in SevenEmotions. In GoEmotions, the error rate reaches a maximum of 87.32%; beyond misclassifying as high-arousal fear, the model attempts to distinguish among several semantically overlapping emotions but becomes severely misaligned due to the lack of clear definitions for each label.\n\n\n### Analysis of human annotation results\nWe first analyzed the human annotation results for the 2,848 Weibo posts across the five emotion taxonomies. Each post was independently labeled by five annotators. The labeling options included (1) emotion categories defined within the taxonomy, (2) neutral, and (3) no suitable emotions. Following the ground truth synthesis method, samples that failed to reach consensus were categorized as “NC” (No Consensus). In constructing the evaluation datasets, both “NC” samples and “no suitable emotions” were excluded. The distribution of annotation results across the five taxonomies is presented in Table 1.\nStatistics of human ground truth across five emotion taxonomies.\nThe data filtration results reveal that the volume of valid samples increased progressively with taxonomic granularity, rising from 2,281 in SemEval to 2,536 in GoEmotions. This trend is primarily driven by the coverage of emotion taxonomies. In the coarse-grained SemEval, 217 samples were categorized as “no suitable emotions” due to a lack of matching emotion. In contrast, this number dropped to 1 in the fine-grained GoEmotions. This indicates that finer-granularity taxonomies enhance the coverage of affective states in social media posts. The number of NC samples remained relatively stable across taxonomies (ranging from 311 to 377), suggesting that human annotators can maintain a consistent level even when faced with an expanded set of options.\nFor each taxonomy, we calculated the sample size and proportion of each emotional and neutral label (detailed in Appendix Tables S1–S5). Across all taxonomies, the data exhibits a pronounced class imbalance, which is characteristic of naturalistic social media posts:\nDominance of neutrality: The “neutral” category consistently represents the majority class, ranging from 49.4% (GoEmotions) to 59.8% (SevenEmotions). This distribution establishes a critical Majority Class Baseline (MCB) for evaluating model performance.\nLong-tail distribution: Conversely, many specific emotion categories reside in the “long tail.” For example, in SevenEmotions, indigenous categories such as love” (0.7%), “disgust” (1.0%), and “desire” (0.5%) constitute only a tiny fraction of the dataset. In GoEmotions, this fragmentation is even more extreme, with 13 categories representing less than 1% of the total samples.\n\n\n### Impact of taxonomy on model performance\nUnder the five emotion taxonomies, using human ground truth as the actual values and GPT-5 annotations as the predicted values, we calculated the classification performance metrics: accuracy, precision, recall, and F1 score. The results are shown in Table 2.\nPerformance of GPT-5 across five emotion taxonomies.\nTable 2 indicates that the complexity of the taxonomy is a key moderating variable determining model performance. As the emotion granularity expands from SemEval (4 categories) to GoEmotions (27 categories), accuracy drops from 0.6569 to 0.4216, the macro F1 falls from 0.4568 to 0.2134, and the weighted F1 falls from 0.7172 to 0.4680, indicating significant performance degradation.\nThe number of emotion categories, serving as a measure of taxonomy complexity, exhibits a strong negative correlation with model performance. The Pearson correlation coefficient between the number of emotion categories and accuracy is −0.9651 (p<0.05), while the correlation with macro F1 score is −0.9605 (p<0.05), with the weighted F1 score is −0.9797 (p<0.05).\nTo provide a robust inferential basis for the relationship between taxonomic granularity and model performance, we employed Generalized Estimating Equations (GEE) regression. This approach was chosen to move beyond simple descriptive trends and to address the statistical requirements of independence and sample-level variance. We transformed the samples in the five taxonomies into a long table consisting of 11,981 observations. Each observation was defined by three variables: (1) Post_id; (2) Taxonomic granularity (4, 6, 7, 8, or 27); and (3) Is_Correct, a binary dependent variable (1 = Correct, 0 = Incorrect). We then applied GEE with a binomial distribution and a logit link function. By grouping observations by Post_id, the GEE model explicitly accounts for the intra-subject correlations inherent in repeated-measures design, thereby providing robust standard errors and unbiased estimates of the effect of granularity on model performance. The result is shown in Table 3.\nGEE regression results.\nThe GEE analysis reveals a significant negative effect of taxonomic granularity on accuracy (β=−0.0474,p<0.001). This confirms that the “Granularity Paradox” is not merely a descriptive observation but a statistically robust phenomenon: for every additional category introduced into the taxonomy, the log-odds of the model producing a correct annotation significantly decrease.\nComparing SevenEmotions (7 categories, localized) with Ekman (6 categories, Western universal), their category counts are similar. The accuracy was 0.60620 in SevenEmotion and 0.6257 in Ekman, indicating that SevenEmotion did not outperform Ekman. In SevenEmotion, despite the inclusion of labels like “love” and “desire” that align with Chinese linguistic contexts, the model failed to demonstrate the anticipated cultural advantage. This suggests that GPT-5’s emotional reasoning logic remains primarily driven by Western-dominant schemas embedded in its pre-training, failing to effectively activate the deep semantics of indigenous cultural concepts.\nSocial media posts may have varying degrees of emotional clarity. Emotional clarity represents the extent to which a post conveys a singular, recognizable emotion that can be consistently decoded by human observers. To isolate the impact of emotional clarity on model performance, samples were divided into four groups based on consensus levels (5, 4, 3, and 2). The accuracy across different consensus levels for the five taxonomies is shown in Table 4.\nAccuracy of GPT-5 across five emotion taxonomies at different consensus levels.\nThe relationship between consensus levels and accuracy is depicted in Figure 1. The accuracy is significantly positively correlated with the consensus level across the coarse-grained taxonomies (SemEval, Ekman, SevenEmotions, and Plutchik), with Pearson coefficientsr>0.98 (p<0.05). However, for the fine-grained GoEmotions, the correlation did not reach statistical significance (r=0.89,p=0.11). This lack of significance is primarily attributed to a non-linear performance collapse; the accuracy in GoEmotions drops abruptly by 53.7% when shifting from CL 5 to CL 4 and then plateaus at a low baseline (approx. 20–32%) for all lower consensus levels. This suggests that for fine-grained taxonomies, even a minor reduction in emotional clarity (from CL 5 to CL 4) is sufficient to exhaust the model’s discriminative capacity. The performance varies at different CL levels as follows:\nPerformance Ceiling (CL 5): For samples with unanimous agreement, coarse-grained taxonomies (SemEval, Ekman, SevenEmotions) achieve accuracy exceeding 85%; the average accuracy is 86.79%, demonstrating that GPT-5 possesses near-human discrimination capabilities for unambiguous emotions. In contrast, the fine-grained GoEmotions lagged significantly, reaching only 68.84%, highlighting the inherent difficulty of fine-grained classification.\nSensitivity to Clarity (CL 5 to 4): A critical divergence occurs when the consensus level drops from 5 to 4. GoEmotions exhibited a 53.7% relative decrease in accuracy (68.84% → 31.88%), which is significantly steeper than the 25.1% decline observed for SemEval (88.36% → 66.21%).\nThe “Floor” Effect (CL 2): For low-clarity samples, SemEval maintained the highest accuracy at 37.96%. Conversely, accuracy for Ekman, SevenEmotions, and Plutchik clustered between 27.49 and 31.77%. GoEmotions recorded the lowest accuracy at 20.16%, representing a 46.9% relative deficit compared to SemEval.\nRelationship between accuracy and consensus levels across five emotion taxonomies.\nMoving beyond descriptive observations, we employed a mixed-effects logistic regression on the instance-level dataset to quantify the decline rates and test for statistical significance. The model specified Is_Correct as the outcome, with Taxonomic Granularity, Consensus Level, and their interaction as fixed effects, and Post_id as a random effect to account for repeated-measures variance. The result of regression analysis is shown in Table 5.\nMixed-effects logistic regression results.\nThe regression analysis confirms that consensus level is a robust positive predictor of model performance (β=0.7587,p<0.001). This indicates that regardless of the taxonomy used, GPT-5 is highly sensitive to the emotional clarity; higher human consensus significantly increases the log-odds of a correct prediction.\nControlling for emotional clarity, taxonomic granularity exerts a significant negative impact on accuracy (β=−0.0402,p<0.001). However, the performance degradation follows a non-linear threshold pattern rather than a uniform linear decline.\nCrucially, the mixed-effects model tested whether taxonomic granularity is disproportionately more sensitive to clarity. The interaction term between granularity and consensus level was not statistically significant (β=−0.0025,p=0.301).\nThis result suggests a phenomenon of “parallel decay.” While GoEmotions exhibits the lowest absolute accuracy, the rate at which performance decays as CL decreases is statistically comparable to that of simpler taxonomies. This implies that the “Granularity Paradox” acts as a systemic penalty: it depresses the probability of correct classification uniformly across all levels of CL.\nIn summary, taxonomic granularity impacts both the upper limit and the lower bound of GPT-5. While the model exhibits a threshold-like drop in performance when scaling to 27 categories, the statistical evidence confirms that the detrimental effect of granularity is omnipresent and independent of the post’s inherent clarity (non-significant interaction).\nFollowing the macro-level performance analysis, to deeply explore the internal mechanisms of LLM decision-making, we further analyzed the performance of various emotions at the micro-level. Since the sets of emotion labels across the five taxonomies are not entirely the same, we categorized the emotion labels into three distinct types for separate analysis.\nA Core emotion recognition capability\nJoy, anger, sadness, and fear are present across the five taxonomies, representing universally applicable core emotions. The F1 score, the harmonic mean of precision and recall, comprehensively reflects a model’s ability to recognize specific emotions. Under the five taxonomies, the macro F1 scores for the four core emotions are shown in Table 6.\nMacro F1 score for four core emotions across five emotion taxonomies.\nAs taxonomic granularity increases, the F1 score evolution trajectory for the four core emotions is shown in Figure 2.\nF1 score of the four core emotions under five emotion taxonomies.\nOverall, as taxonomy becomes more complex, GPT’s ability to recognize the four core emotions declines. However, the specific manifestations of each emotion vary, revealing two different dynamics.\n(1) Semantic dilution effect\nFor sadness, GPT-5 maintains the highest recognition level under simpler taxonomies. In SemEval, it achieves an F1 score of 0.707 while also sustaining high performance in Ekman, SevenEmotions, and Plutchik (0.610 ~ 0.683). This indicates that sadness, as a core emotion, possesses high linguistic salience, enabling the model to accurately capture sadness in post. However, a precipitous collapse occurs in GoEmotions. The F1 score drops to 0.129, representing an 81.8% relative decrease compared to the SemEval baseline. This primarily stems from GoEmotions subdividing sadness into multiple similar emotions like sadness, grief, and remorse. Under zero-shot learning, GPT-5 struggles to delineate the subtle boundaries between these synonyms, leading to excessive dilution of core semantics and triggering classification failure.\nJoy exhibits a pattern like sadness. In simpler taxonomies, its F1 score generally maintains a high level, ranging from 0.5091 to 0.6193. However, in GoEmotions, the F1 score falls to 0.347, a 44.0% relative decline from its peak in SemEval. This decline stems from emotions like amusement and excitement, which are similar to joy, causing the core semantic meaning to become overly diluted and triggering classification failure.\nFear demonstrated high stability across the four simpler taxonomies, with F1 scores fluctuating within a narrow margin (0.463 to 0.492). However, in GoEmotions, the F1 score plummets by 47.4% relative to Plutchik, reaching a low of 0.259. When the number of emotions increases, the model struggles to distinguish between fear and similar emotions like nervousness. This excessive dilution of core semantic meaning triggers classification failure.\n(2) Semantic purification effect\nAnger exhibits counterintuitive trends. From SemEval to Plutchik, the F1 score shows a gradual decrease of 5.7 percentage points (0.511 → 0.454). However, in GoEmotions, the F1 score unexpectedly rises to 0.567, representing a 24.9% relative improvement over Plutchik and even surpassing the SemEval by 5.6 percentage points. This anomalous phenomenon reveals the semantic purification effect. In coarse-grained taxonomy, anger serves as a broad container encompassing both “annoyance” and “disapproval.” Within GoEmotions, however, the separation of annoyance and disapproval into distinct categories purifies the remaining anger label, refining it into a dedicated term for high-intensity rage. GPT-5 exhibits higher classification confidence toward such sharply defined, narrowly characterized extreme emotions. This finding suggests that for distinctively extreme emotions, fine-grained taxonomies aid models in pinpointing prototypical instances.\nB Identification of neutral\nIn emotion analysis, “neutral” indicates the absence of discernible emotion. The recognition level of neutral serves as a benchmark for measuring whether LLMs produce emotional hallucinations or overinterpret non-emotional text. The macro precision, recall, and F1 score for the neutral across the five taxonomies are shown in Table 7.\nPerformance of GPT-5 for “neutral” across five emotion taxonomies.\nFigure 3 depicts the trends in macro precision, recall, and F1 score as emotion granularity increases.\nPrecision, recall, and F1 score of “neutral” across five emotion taxonomies.\nAcross the five taxonomies, the precision for the neutral remained high, ranging from 0.8978 to 0.9623. This indicates that, regardless of the taxonomies employed, GPT-5 achieves exceptional accuracy when labeling posts as neutral. This reflects the model’s significant conservatism in identifying text lacking distinct emotion—it avoids mislabeling clearly emotional statements as neutral. Precision increases with greater granularity, demonstrating that the model applies stricter criteria for defining emotionless text within complex taxonomies.\nRecall for neutral is notably lower than precision and decreases with increasing granularity. In SemEval, recall stands at 0.6917, but it decreases by 15.07 percentage points to 0.5410 in GoEmotions. This 21.8% relative decline in recall confirms the presence of “emotional hallucination.” When confronted with an extensive set of labels, the model tends to overinterpret subtle signals in neutral text, forcing samples that should be neutral into specific emotion categories. The more complex the taxonomies, the stronger the incentive for this overinterpretation.\nRegarding the F1 score, GPT-5 demonstrates a high level of performance on neutral labels. In SemEval and Ekman, the F1 remains stable at approximately 0.78. However, starting from SevenEmotions, the F1 drops to 0.7373 and ultimately stabilizes near 0.691 (a total decline of 11.5% from the SemEval baseline) in Plutchik and GoEmotions.\nAnalysis of “neutral” further demonstrates that emotion taxonomy modulates GPT-5’s annotation decisions. Simple taxonomy helps maintain the model’s ability to capture neutral text, while complex taxonomy induces a tendency to assign emotion to neutral text more frequently. These findings alert researchers that while pursuing higher emotion recognition levels, they must be mindful that complex labeling systems can impact a model’s ability to identify neutral text.\nC Recognition of social emotions\nEmotion taxonomies (excluding SemEval) often include complex emotion categories besides core emotions, such as trust, appreciation, and admiration. Expressions of these emotions frequently lack direct lexical representation and heavily rely on inferences about contextual intent, social interaction, and future states. GPT-5 performs poorly on these emotions, reflecting higher-order cognition and sociality. In Ekman, disgust shows the worst performance with an F1 score of 0.0546. In SevenEmotions, love performs worst with an F1 score of 0.1481. In Plutchik, trust performed worst with an F1 score near zero. In GoEmotions, emotions like admiration and disapproval performed worst, with F1 scores near zero.\nThis stems from core emotions having strong statistical co-occurrence with specific lexical cues in the pre-training corpus, enabling the model to recognize them well. Emotions like trust and admiration, however, are often implicit within the text’s pragmatic logic. For example, the sentence “I will always support your decision” conveys trust yet contains no explicit emotional vocabulary. This low performance on such emotions reveals a deep limitation in LLMs’ emotional alignment: models currently rely primarily on surface-level semantic matching, lacking the capacity for deep reasoning about social norms, interpersonal intent, and underlying psychological states.\n\n\n### Overall classification performance\nUnder the five emotion taxonomies, using human ground truth as the actual values and GPT-5 annotations as the predicted values, we calculated the classification performance metrics: accuracy, precision, recall, and F1 score. The results are shown in Table 2.\nPerformance of GPT-5 across five emotion taxonomies.\nTable 2 indicates that the complexity of the taxonomy is a key moderating variable determining model performance. As the emotion granularity expands from SemEval (4 categories) to GoEmotions (27 categories), accuracy drops from 0.6569 to 0.4216, the macro F1 falls from 0.4568 to 0.2134, and the weighted F1 falls from 0.7172 to 0.4680, indicating significant performance degradation.\nThe number of emotion categories, serving as a measure of taxonomy complexity, exhibits a strong negative correlation with model performance. The Pearson correlation coefficient between the number of emotion categories and accuracy is −0.9651 (p<0.05), while the correlation with macro F1 score is −0.9605 (p<0.05), with the weighted F1 score is −0.9797 (p<0.05).\nTo provide a robust inferential basis for the relationship between taxonomic granularity and model performance, we employed Generalized Estimating Equations (GEE) regression. This approach was chosen to move beyond simple descriptive trends and to address the statistical requirements of independence and sample-level variance. We transformed the samples in the five taxonomies into a long table consisting of 11,981 observations. Each observation was defined by three variables: (1) Post_id; (2) Taxonomic granularity (4, 6, 7, 8, or 27); and (3) Is_Correct, a binary dependent variable (1 = Correct, 0 = Incorrect). We then applied GEE with a binomial distribution and a logit link function. By grouping observations by Post_id, the GEE model explicitly accounts for the intra-subject correlations inherent in repeated-measures design, thereby providing robust standard errors and unbiased estimates of the effect of granularity on model performance. The result is shown in Table 3.\nGEE regression results.\nThe GEE analysis reveals a significant negative effect of taxonomic granularity on accuracy (β=−0.0474,p<0.001). This confirms that the “Granularity Paradox” is not merely a descriptive observation but a statistically robust phenomenon: for every additional category introduced into the taxonomy, the log-odds of the model producing a correct annotation significantly decrease.\nComparing SevenEmotions (7 categories, localized) with Ekman (6 categories, Western universal), their category counts are similar. The accuracy was 0.60620 in SevenEmotion and 0.6257 in Ekman, indicating that SevenEmotion did not outperform Ekman. In SevenEmotion, despite the inclusion of labels like “love” and “desire” that align with Chinese linguistic contexts, the model failed to demonstrate the anticipated cultural advantage. This suggests that GPT-5’s emotional reasoning logic remains primarily driven by Western-dominant schemas embedded in its pre-training, failing to effectively activate the deep semantics of indigenous cultural concepts.\n\n\n### Robustness analysis across consensus levels\nSocial media posts may have varying degrees of emotional clarity. Emotional clarity represents the extent to which a post conveys a singular, recognizable emotion that can be consistently decoded by human observers. To isolate the impact of emotional clarity on model performance, samples were divided into four groups based on consensus levels (5, 4, 3, and 2). The accuracy across different consensus levels for the five taxonomies is shown in Table 4.\nAccuracy of GPT-5 across five emotion taxonomies at different consensus levels.\nThe relationship between consensus levels and accuracy is depicted in Figure 1. The accuracy is significantly positively correlated with the consensus level across the coarse-grained taxonomies (SemEval, Ekman, SevenEmotions, and Plutchik), with Pearson coefficientsr>0.98 (p<0.05). However, for the fine-grained GoEmotions, the correlation did not reach statistical significance (r=0.89,p=0.11). This lack of significance is primarily attributed to a non-linear performance collapse; the accuracy in GoEmotions drops abruptly by 53.7% when shifting from CL 5 to CL 4 and then plateaus at a low baseline (approx. 20–32%) for all lower consensus levels. This suggests that for fine-grained taxonomies, even a minor reduction in emotional clarity (from CL 5 to CL 4) is sufficient to exhaust the model’s discriminative capacity. The performance varies at different CL levels as follows:\nPerformance Ceiling (CL 5): For samples with unanimous agreement, coarse-grained taxonomies (SemEval, Ekman, SevenEmotions) achieve accuracy exceeding 85%; the average accuracy is 86.79%, demonstrating that GPT-5 possesses near-human discrimination capabilities for unambiguous emotions. In contrast, the fine-grained GoEmotions lagged significantly, reaching only 68.84%, highlighting the inherent difficulty of fine-grained classification.\nSensitivity to Clarity (CL 5 to 4): A critical divergence occurs when the consensus level drops from 5 to 4. GoEmotions exhibited a 53.7% relative decrease in accuracy (68.84% → 31.88%), which is significantly steeper than the 25.1% decline observed for SemEval (88.36% → 66.21%).\nThe “Floor” Effect (CL 2): For low-clarity samples, SemEval maintained the highest accuracy at 37.96%. Conversely, accuracy for Ekman, SevenEmotions, and Plutchik clustered between 27.49 and 31.77%. GoEmotions recorded the lowest accuracy at 20.16%, representing a 46.9% relative deficit compared to SemEval.\nRelationship between accuracy and consensus levels across five emotion taxonomies.\nMoving beyond descriptive observations, we employed a mixed-effects logistic regression on the instance-level dataset to quantify the decline rates and test for statistical significance. The model specified Is_Correct as the outcome, with Taxonomic Granularity, Consensus Level, and their interaction as fixed effects, and Post_id as a random effect to account for repeated-measures variance. The result of regression analysis is shown in Table 5.\nMixed-effects logistic regression results.\nThe regression analysis confirms that consensus level is a robust positive predictor of model performance (β=0.7587,p<0.001). This indicates that regardless of the taxonomy used, GPT-5 is highly sensitive to the emotional clarity; higher human consensus significantly increases the log-odds of a correct prediction.\nControlling for emotional clarity, taxonomic granularity exerts a significant negative impact on accuracy (β=−0.0402,p<0.001). However, the performance degradation follows a non-linear threshold pattern rather than a uniform linear decline.\nCrucially, the mixed-effects model tested whether taxonomic granularity is disproportionately more sensitive to clarity. The interaction term between granularity and consensus level was not statistically significant (β=−0.0025,p=0.301).\nThis result suggests a phenomenon of “parallel decay.” While GoEmotions exhibits the lowest absolute accuracy, the rate at which performance decays as CL decreases is statistically comparable to that of simpler taxonomies. This implies that the “Granularity Paradox” acts as a systemic penalty: it depresses the probability of correct classification uniformly across all levels of CL.\nIn summary, taxonomic granularity impacts both the upper limit and the lower bound of GPT-5. While the model exhibits a threshold-like drop in performance when scaling to 27 categories, the statistical evidence confirms that the detrimental effect of granularity is omnipresent and independent of the post’s inherent clarity (non-significant interaction).\n\n\n### Micro-analysis of emotion categories\nFollowing the macro-level performance analysis, to deeply explore the internal mechanisms of LLM decision-making, we further analyzed the performance of various emotions at the micro-level. Since the sets of emotion labels across the five taxonomies are not entirely the same, we categorized the emotion labels into three distinct types for separate analysis.\nA Core emotion recognition capability\nJoy, anger, sadness, and fear are present across the five taxonomies, representing universally applicable core emotions. The F1 score, the harmonic mean of precision and recall, comprehensively reflects a model’s ability to recognize specific emotions. Under the five taxonomies, the macro F1 scores for the four core emotions are shown in Table 6.\nMacro F1 score for four core emotions across five emotion taxonomies.\nAs taxonomic granularity increases, the F1 score evolution trajectory for the four core emotions is shown in Figure 2.\nF1 score of the four core emotions under five emotion taxonomies.\nOverall, as taxonomy becomes more complex, GPT’s ability to recognize the four core emotions declines. However, the specific manifestations of each emotion vary, revealing two different dynamics.\n(1) Semantic dilution effect\nFor sadness, GPT-5 maintains the highest recognition level under simpler taxonomies. In SemEval, it achieves an F1 score of 0.707 while also sustaining high performance in Ekman, SevenEmotions, and Plutchik (0.610 ~ 0.683). This indicates that sadness, as a core emotion, possesses high linguistic salience, enabling the model to accurately capture sadness in post. However, a precipitous collapse occurs in GoEmotions. The F1 score drops to 0.129, representing an 81.8% relative decrease compared to the SemEval baseline. This primarily stems from GoEmotions subdividing sadness into multiple similar emotions like sadness, grief, and remorse. Under zero-shot learning, GPT-5 struggles to delineate the subtle boundaries between these synonyms, leading to excessive dilution of core semantics and triggering classification failure.\nJoy exhibits a pattern like sadness. In simpler taxonomies, its F1 score generally maintains a high level, ranging from 0.5091 to 0.6193. However, in GoEmotions, the F1 score falls to 0.347, a 44.0% relative decline from its peak in SemEval. This decline stems from emotions like amusement and excitement, which are similar to joy, causing the core semantic meaning to become overly diluted and triggering classification failure.\nFear demonstrated high stability across the four simpler taxonomies, with F1 scores fluctuating within a narrow margin (0.463 to 0.492). However, in GoEmotions, the F1 score plummets by 47.4% relative to Plutchik, reaching a low of 0.259. When the number of emotions increases, the model struggles to distinguish between fear and similar emotions like nervousness. This excessive dilution of core semantic meaning triggers classification failure.\n(2) Semantic purification effect\nAnger exhibits counterintuitive trends. From SemEval to Plutchik, the F1 score shows a gradual decrease of 5.7 percentage points (0.511 → 0.454). However, in GoEmotions, the F1 score unexpectedly rises to 0.567, representing a 24.9% relative improvement over Plutchik and even surpassing the SemEval by 5.6 percentage points. This anomalous phenomenon reveals the semantic purification effect. In coarse-grained taxonomy, anger serves as a broad container encompassing both “annoyance” and “disapproval.” Within GoEmotions, however, the separation of annoyance and disapproval into distinct categories purifies the remaining anger label, refining it into a dedicated term for high-intensity rage. GPT-5 exhibits higher classification confidence toward such sharply defined, narrowly characterized extreme emotions. This finding suggests that for distinctively extreme emotions, fine-grained taxonomies aid models in pinpointing prototypical instances.\nB Identification of neutral\nIn emotion analysis, “neutral” indicates the absence of discernible emotion. The recognition level of neutral serves as a benchmark for measuring whether LLMs produce emotional hallucinations or overinterpret non-emotional text. The macro precision, recall, and F1 score for the neutral across the five taxonomies are shown in Table 7.\nPerformance of GPT-5 for “neutral” across five emotion taxonomies.\nFigure 3 depicts the trends in macro precision, recall, and F1 score as emotion granularity increases.\nPrecision, recall, and F1 score of “neutral” across five emotion taxonomies.\nAcross the five taxonomies, the precision for the neutral remained high, ranging from 0.8978 to 0.9623. This indicates that, regardless of the taxonomies employed, GPT-5 achieves exceptional accuracy when labeling posts as neutral. This reflects the model’s significant conservatism in identifying text lacking distinct emotion—it avoids mislabeling clearly emotional statements as neutral. Precision increases with greater granularity, demonstrating that the model applies stricter criteria for defining emotionless text within complex taxonomies.\nRecall for neutral is notably lower than precision and decreases with increasing granularity. In SemEval, recall stands at 0.6917, but it decreases by 15.07 percentage points to 0.5410 in GoEmotions. This 21.8% relative decline in recall confirms the presence of “emotional hallucination.” When confronted with an extensive set of labels, the model tends to overinterpret subtle signals in neutral text, forcing samples that should be neutral into specific emotion categories. The more complex the taxonomies, the stronger the incentive for this overinterpretation.\nRegarding the F1 score, GPT-5 demonstrates a high level of performance on neutral labels. In SemEval and Ekman, the F1 remains stable at approximately 0.78. However, starting from SevenEmotions, the F1 drops to 0.7373 and ultimately stabilizes near 0.691 (a total decline of 11.5% from the SemEval baseline) in Plutchik and GoEmotions.\nAnalysis of “neutral” further demonstrates that emotion taxonomy modulates GPT-5’s annotation decisions. Simple taxonomy helps maintain the model’s ability to capture neutral text, while complex taxonomy induces a tendency to assign emotion to neutral text more frequently. These findings alert researchers that while pursuing higher emotion recognition levels, they must be mindful that complex labeling systems can impact a model’s ability to identify neutral text.\nC Recognition of social emotions\nEmotion taxonomies (excluding SemEval) often include complex emotion categories besides core emotions, such as trust, appreciation, and admiration. Expressions of these emotions frequently lack direct lexical representation and heavily rely on inferences about contextual intent, social interaction, and future states. GPT-5 performs poorly on these emotions, reflecting higher-order cognition and sociality. In Ekman, disgust shows the worst performance with an F1 score of 0.0546. In SevenEmotions, love performs worst with an F1 score of 0.1481. In Plutchik, trust performed worst with an F1 score near zero. In GoEmotions, emotions like admiration and disapproval performed worst, with F1 scores near zero.\nThis stems from core emotions having strong statistical co-occurrence with specific lexical cues in the pre-training corpus, enabling the model to recognize them well. Emotions like trust and admiration, however, are often implicit within the text’s pragmatic logic. For example, the sentence “I will always support your decision” conveys trust yet contains no explicit emotional vocabulary. This low performance on such emotions reveals a deep limitation in LLMs’ emotional alignment: models currently rely primarily on surface-level semantic matching, lacking the capacity for deep reasoning about social norms, interpersonal intent, and underlying psychological states.\n\n\n### Human-AI alignment\nLLMs differ from human emotional understanding mechanisms (Huang et al., 2024). Whether employing different emotion taxonomies impacts the alignment between LLMs and human annotators is a critical issue in LLM evaluation. We assess GPT-5’s alignment with human emotional cognition across three dimensions: group consistency, individual consistency, and statistical significance.\nFleiss’ kappa is a classic metric for evaluating multi-annotator consistency, used to measure relative agreement among multiple annotators. Under the five taxonomies, Fleiss’ kappa was first calculated for five human annotators. Then, GPT-5 was added as the sixth annotator to the group, and Fleiss’ kappa was recalculated. Comparing the two yields the change in Fleiss’ kappa after incorporating GPT. Fleiss’ kappa across the five taxonomies is presented in Table 8.\nFleiss’ kappa across five emotion taxonomies.\nBased on Fleiss’ kappa for human annotators, the consistency level across the five taxonomies ranges from 0.3770 to 0.4622, falling within the “fair” to “moderate” range (Landis and Koch, 1977). After incorporating GPT, Fleiss’ kappa decreased across four taxonomies (Δkappa < 0), indicating that GPT-5’s emotion judgment logic diverges from human annotators. GoEmotions exhibited the most substantial divergence, with Fleiss’ kappa dropping from 0.4381 to 0.3755—a relative decline of 14.3%, suggesting greater divergence between the model’s emotion judgments and human annotators in fine-grained taxonomy.\nNotably, under the Ekman taxonomy, incorporating GPT-5 resulted in a consistency increase of 0.0057 (from 0.3770 to 0.3826). This may suggest that Ekman’s six basic emotions possess high semantic purity within the pre-training corpus, with their classification criteria aligning precisely with the center of human consensus. This implies that the Ekman may represent the lowest-cost approach for human-machine alignment in collaborative emotion annotation tasks.\nTo evaluate the validity of the human ground truth and the model predictions, we conducted a dual-layer reliability analysis: assessing both within-annotator self-consistency and inter-annotator agreement. We got the within-annotator self-consistency by measuring how often they assign identical labels to the same post across different taxonomies. Results are detailed in Appendix Table S6. To assess inter-annotator agreement, we calculated pairwise Cohen’s kappa among the five annotators across all five taxonomies. We then computed the average kappa relative to the other four peers to quantify their alignment with the collective consensus; these results are presented in Appendix Table S7.\nThese results reveal significant heterogeneity in reliability among the human annotators.\nAnnotators 2 and 5 exhibited exceptional reliability, with self-consistency rates exceeding 93% and maintaining the highest average pairwise kappa across all taxonomies (e.g., > 0.37 in Ekman).\nAnnotator 4 showed the lowest self-consistency (59.61%) and lower agreement with other human peers (e.g., a mean kappa of only 0.238 in the Ekman taxonomy). This multi-dimensional evidence suggests that Annotator 4’s judgments are characterized by high internal entropy and a divergence from the collective consensus.\nCohen’s kappa was further employed to assess the agreement between GPT-5 and human annotators. Under the five taxonomies, Cohen’s kappa between GPT-5 and each annotator is presented in Table 9.\nCohen’s kappa between GPT-5 and each annotator across five emotion taxonomies.\nThis table indicates that GPT-5’s alignment with human annotation is moderated by the reliability of the annotator and the taxonomic granularity.\nGPT-5 achieved its peak alignment with high-stability annotators. For instance, the average Cohen’s kappa with Annotator 3 (0.4420) and Annotator 2 (0.4124) across all taxonomies significantly outperformed the alignment with others. In the simplest taxonomy, SemEval, the kappa with Annotator 3 reached a maximum of 0.5018, suggesting the model’s decision logic effectively simulates the judgment patterns of stable human annotators.\nConversely, the model exhibited consistently lower alignment with Annotator 4, with an average kappa of only 0.2605. Notably, in Ekman, the kappa for Annotator 4 dropped to 0.2172, while the other four annotators maintained a mean of 0.4400. Since Annotator 4’s labels deviate significantly from the human consensus, these lower values reflect annotator-specific noise rather than a deficit in the model’s emotional understanding.\nAcross all five annotators, alignment levels exhibit a negative trajectory as emotion granularity increases. The average kappa declines from 0.4513 in SemEval to 0.2696 in GoEmotions, representing a 40.3% relative reduction. This confirms that fine-grained taxonomies inherently lower the ceiling for alignment by increasing the complexity of the decision space.\nTo determine whether statistically significant differences exist between GPT-5 and human annotations, a McNemar test was conducted comparing GPT annotations across the five taxonomies with human ground truth. This test aims to assess marginal homogeneity in classification decisions—specifically, whether differences stem from random variation or systematic deviation. Test results are presented in Table 10.\nGPT-5 vs. human annotation McNemar test.\nResults indicate that across all taxonomies, McNemar’s test yielded p-values consistently below 0.001. GPT-5 exhibits a significant, non-random systematic shift relative to human annotations. This signifies a substantial misalignment between the model’s decision logic and human annotators.\nThe magnitude of this human-machine discrepancy, as quantified by the χ2statistic, demonstrates an intensification as emotion granularity evolves from coarse to fine-grained. The χ2 values increased from 854.00 in SemEval to 1494.00 in GoEmotions. This indicates that the finer the emotion, the more pronounced the divergence between models and humans. The human-machine discrepancy reaches its maximum under GoEmotions, validating that fine-grained taxonomy leads to greater deviation between models and humans.\n\n\n### Group consistency\nFleiss’ kappa is a classic metric for evaluating multi-annotator consistency, used to measure relative agreement among multiple annotators. Under the five taxonomies, Fleiss’ kappa was first calculated for five human annotators. Then, GPT-5 was added as the sixth annotator to the group, and Fleiss’ kappa was recalculated. Comparing the two yields the change in Fleiss’ kappa after incorporating GPT. Fleiss’ kappa across the five taxonomies is presented in Table 8.\nFleiss’ kappa across five emotion taxonomies.\nBased on Fleiss’ kappa for human annotators, the consistency level across the five taxonomies ranges from 0.3770 to 0.4622, falling within the “fair” to “moderate” range (Landis and Koch, 1977). After incorporating GPT, Fleiss’ kappa decreased across four taxonomies (Δkappa < 0), indicating that GPT-5’s emotion judgment logic diverges from human annotators. GoEmotions exhibited the most substantial divergence, with Fleiss’ kappa dropping from 0.4381 to 0.3755—a relative decline of 14.3%, suggesting greater divergence between the model’s emotion judgments and human annotators in fine-grained taxonomy.\nNotably, under the Ekman taxonomy, incorporating GPT-5 resulted in a consistency increase of 0.0057 (from 0.3770 to 0.3826). This may suggest that Ekman’s six basic emotions possess high semantic purity within the pre-training corpus, with their classification criteria aligning precisely with the center of human consensus. This implies that the Ekman may represent the lowest-cost approach for human-machine alignment in collaborative emotion annotation tasks.\n\n\n### Individual consistency\nTo evaluate the validity of the human ground truth and the model predictions, we conducted a dual-layer reliability analysis: assessing both within-annotator self-consistency and inter-annotator agreement. We got the within-annotator self-consistency by measuring how often they assign identical labels to the same post across different taxonomies. Results are detailed in Appendix Table S6. To assess inter-annotator agreement, we calculated pairwise Cohen’s kappa among the five annotators across all five taxonomies. We then computed the average kappa relative to the other four peers to quantify their alignment with the collective consensus; these results are presented in Appendix Table S7.\nThese results reveal significant heterogeneity in reliability among the human annotators.\nAnnotators 2 and 5 exhibited exceptional reliability, with self-consistency rates exceeding 93% and maintaining the highest average pairwise kappa across all taxonomies (e.g., > 0.37 in Ekman).\nAnnotator 4 showed the lowest self-consistency (59.61%) and lower agreement with other human peers (e.g., a mean kappa of only 0.238 in the Ekman taxonomy). This multi-dimensional evidence suggests that Annotator 4’s judgments are characterized by high internal entropy and a divergence from the collective consensus.\nCohen’s kappa was further employed to assess the agreement between GPT-5 and human annotators. Under the five taxonomies, Cohen’s kappa between GPT-5 and each annotator is presented in Table 9.\nCohen’s kappa between GPT-5 and each annotator across five emotion taxonomies.\nThis table indicates that GPT-5’s alignment with human annotation is moderated by the reliability of the annotator and the taxonomic granularity.\nGPT-5 achieved its peak alignment with high-stability annotators. For instance, the average Cohen’s kappa with Annotator 3 (0.4420) and Annotator 2 (0.4124) across all taxonomies significantly outperformed the alignment with others. In the simplest taxonomy, SemEval, the kappa with Annotator 3 reached a maximum of 0.5018, suggesting the model’s decision logic effectively simulates the judgment patterns of stable human annotators.\nConversely, the model exhibited consistently lower alignment with Annotator 4, with an average kappa of only 0.2605. Notably, in Ekman, the kappa for Annotator 4 dropped to 0.2172, while the other four annotators maintained a mean of 0.4400. Since Annotator 4’s labels deviate significantly from the human consensus, these lower values reflect annotator-specific noise rather than a deficit in the model’s emotional understanding.\nAcross all five annotators, alignment levels exhibit a negative trajectory as emotion granularity increases. The average kappa declines from 0.4513 in SemEval to 0.2696 in GoEmotions, representing a 40.3% relative reduction. This confirms that fine-grained taxonomies inherently lower the ceiling for alignment by increasing the complexity of the decision space.\n\n\n### Systemic deviation\nTo determine whether statistically significant differences exist between GPT-5 and human annotations, a McNemar test was conducted comparing GPT annotations across the five taxonomies with human ground truth. This test aims to assess marginal homogeneity in classification decisions—specifically, whether differences stem from random variation or systematic deviation. Test results are presented in Table 10.\nGPT-5 vs. human annotation McNemar test.\nResults indicate that across all taxonomies, McNemar’s test yielded p-values consistently below 0.001. GPT-5 exhibits a significant, non-random systematic shift relative to human annotations. This signifies a substantial misalignment between the model’s decision logic and human annotators.\nThe magnitude of this human-machine discrepancy, as quantified by the χ2statistic, demonstrates an intensification as emotion granularity evolves from coarse to fine-grained. The χ2 values increased from 854.00 in SemEval to 1494.00 in GoEmotions. This indicates that the finer the emotion, the more pronounced the divergence between models and humans. The human-machine discrepancy reaches its maximum under GoEmotions, validating that fine-grained taxonomy leads to greater deviation between models and humans.\n\n\n### Classification bias of GPT-5\nGiven the significant discrepancies between GPT-5 and human annotations, what are the main classification biases? Do these biases vary across different taxonomies? We chose samples with a consensus level ≥3 for analysis. These samples can be assigned a ground truth label through majority voting and serve as reliable true values. By using the human-annotated ground truth as rows and the GPT-5 annotation results as columns, we constructed a confusion matrix. The confusion matrices for the five emotion taxonomies are shown in Figure 4.\nHeatmap of the five confusion matrices.\nThe confusion matrices across the five emotion taxonomies reveal two common classification biases, with misclassified samples predominantly concentrated in the “neutral” and “sadness” ground truth labels.\n(1) Hypersensitivity to neutrality\nGPT-5 labels numerous samples deemed “neutral” by humans with some emotion, representing the most obvious bias with a high misclassification rate. For posts considered objective statements by humans, the model captures extremely subtle lexical cues and amplifies them into explicit emotions. This bias may cause the model to generate emotional “false positives” in practical applications.\nAs the number of emotional labels increases, GPT-5’s misclassification rate of neutral samples as emotional rises significantly. In SemEval, the misclassification rate is 28.4% (358/1260). In Ekman, it reaches 29.7% (376/1265). In SevenEmotions, the misclassification rate rose to 37.0% (491/1327). In Plutchik, it climbed to 43.7% (581/1330). In GoEmotions, the misclassification rate reached 45.4% (551/1214).\nAs emotional granularity increases, the model gains access to more emotion-inducing items, shifting its underlying prediction logic from conservative to aggressive. This amplifies the model’s sensitivity overload, causing it to prioritize capturing subtle lexical features and force-fit emotional labels when processing ambiguous contexts.\n(2) Arousal shift in sadness\nGPT-5 can accurately discern emotional polarity (positive or negative), but it exhibits significant cognitive ambiguity when distinguishing negative emotions with identical valence but differing arousal levels. The most common bias involves misclassifying sadness as other negative emotions such as anger, fear, or disgust. The misclassifications for “sadness” across five emotion taxonomies are shown in Table 11.\nThe misclassification for sadness across five emotion taxonomies.\nThis bias reflects the model’s valency-first strategy. While the model correctly identifies negative polarity in post, it exhibits bias when distinguishing between psychological motivations such as inward-directed distress (sadness) versus outward-directed aggression (anger) or future threat (fear). It often displays emotional polarization, misclassifying low-arousal sadness as higher-arousal negative emotions.\nThe misclassification rate for sadness increases significantly with higher emotion granularity. In SemEval, the error rate is 36.01%, with misclassifications primarily directed toward fear and anger. In Ekman, SevenEmotions, and Plutchik, the error rate rises, peaking at 56.57% in SevenEmotions. In GoEmotions, the error rate reaches a maximum of 87.32%; beyond misclassifying as high-arousal fear, the model attempts to distinguish among several semantically overlapping emotions but becomes severely misaligned due to the lack of clear definitions for each label.\n\n\n### Discussion\nThis paper aims to address a critical gap in LLM emotion analysis: how emotion taxonomy, as a cognitive framework, shapes models’ labeling behavior. By comparing GPT-5’s behavior across five taxonomies—SemEval, Ekman, SevenEmotions, Plutchik, and GoEmotions—in Chinese Weibo emotional classification tasks, we find that emotion taxonomy is not neutral to LLM’s emotion analysis. Instead, it serves as a moderating variable that determines model performance, human-machine alignment, and bias patterns.\nThe most significant finding of this study is that the emotion granularity exhibits a strong negative correlation with GPT-5’s classification performance. As the number of emotion categories expanded from 4 to 27, the model’s performance declined significantly. This reflects the model’s distributional sensitivity to label overlaps within the zero-shot prompt.\nAs the taxonomy becomes highly granular (e.g., GoEmotions), the semantic distance between adjacent emotion labels in the high-dimensional embedding space decreases substantially. This creates boundary interference, where the model struggles to delineate fine-grained distinctions (e.g., sadness vs. remorse) solely through pre-trained knowledge.\nCrucially, we must address whether this decline is driven by taxonomic complexity or by the scarcity of rare categories (e.g., the long-tail distribution in GoEmotions). Two lines of evidence from our study support taxonomic complexity as the primary driver:\n(1) Even for samples with unanimous human agreement (CL 5), the accuracy still drops by 17.95 percentage points from SemEval to GoEmotions. This indicates that the failure stems from label space competition rather than the inherent ambiguity or rarity of the samples.\n(2) The error pattern for “sadness” reveals that performance drops not because the “sadness” sample becomes rare, but because the introduction of overlapping synonyms acts as distractors. Therefore, the granularity paradox acts as a systemic penalty imposed by the crowded decision space.\nThis finding provides crucial boundary conditions for current optimistic expectations regarding LLM emotion analysis capabilities. Although Niu et al. (2024) and Liu et al. (2024) report GPT-4 achieving human-level performance in emotion recognition, our research indicates this human-level capability is conditional, primarily manifesting in coarse-grained frameworks (e.g., SemEval). These findings challenge overly optimistic expectations of LLM zero-shot omnipotence. This performance degradation is not solely driven by increased category numbers but stems from deeper causes like semantic overlap. This aligns with findings from human annotation studies (Demszky et al., 2020; Bostan and Klinger, 2018): fine-grained classification forces models to make binary splits between highly similar concepts, leading to increased entropy in the model’s internal probability distribution.\nInterestingly, we observed an anomalous increase in recognition rates for anger in GoEmotions. This suggests that when a fine-grained taxonomy successfully isolates variants of an emotion (e.g., annoyance), the semantic purity of the core label can enhance the model’s focus. This offers new insights for future prompt engineering: mitigating the granularity paradox through hierarchical classification rather than flattened classification.\nThis study reveals significant discrepancies between GPT-5 and human annotators (McNemar test p<0.001). Regarding group consistency, incorporating GPT-5 slightly reduced consistency. While the Granularity Paradox—where performance degrades as the decision space expands—remains robust for GPT-5, our analysis uncovers a divergent trend for human annotators. Specifically, as emotion taxonomies grow more complex, human inter-annotator agreement does not decline as predicted but remains stable.\nOur investigation into this phenomenon indicates that the high human consensus level in fine-grained contexts is not a result of sample selection bias, as the NC exclusion rates remained consistent across all taxonomies. Instead, it highlights a fundamental difference in cognitive strategies:\nIn broad taxonomies, humans often grapple with “boundary ambiguity” (e.g., whether a subtle emotion fits into the wide “joy” category). However, fine-grained taxonomies provide semantic specificity (e.g., gratitude, remorse). These precise labels act as clearer cognitive anchors, allowing human annotators to reach consensus through intuitive cue matching grounded in life experience.\nIn contrast, GPT-5 increasingly struggles to replicate human consensus as granularity increases, evidenced by the decline in Fleiss’ kappa when the model is incorporated. This suggests that while humans benefit from the clarity of specific definitions, LLMs become more susceptible to the noise of probabilistic co-occurrence within expanding label space.\nConsequently, the significant divergence in cognitive pathways is most pronounced in fine-grained contexts: humans leverage semantic precision to maintain collective agreement, whereas the model’s predictive stability is challenged by the high-dimensional complexity of nuanced emotions.\nRegarding cultural adaptability, this study observed a counterintuitive phenomenon: despite the Seven Emotions theory originating from Chinese culture and theoretically aligning better with Chinese Weibo, GPT-5’s performance under this taxonomy was not superior to—and even slightly inferior to—the Ekman taxonomy. This finding challenges the simplistic assumption that “native labels equate to native understanding,” revealing cultural schema bias within LLMs. Although GPT-5 ingested Chinese data during pre-training and can grasp the literal meanings of terms like love (爱) and desire (欲), its underlying emotional cognitive schema remains dominated by mainstream Western psychological frameworks (e.g., the Ekman/Plutchik model). When processing uniquely Chinese emotional concepts, the model may need to internally map them to proximate Western concepts (e.g., mapping “欲” to “desire”). Semantic loss during this mapping process negates the potential advantages of localized labels. This aligns with Nasution et al. (2025) that found LLMs struggle in non-English contexts, suggesting that simple label replacement is insufficient to bridge cultural divides. Future localization research must focus on deep semantic alignment.\nThis study identifies robust classification biases in GPT through confusion matrices, revealing underlying flaws in LLM emotional recognition. It validates and extends (Troiano et al., 2023) on annotation tool-induced bias.\nFirst, over-interpretation of “neutral” post. Findings indicate that as emotion taxonomy grows more complex, models increasingly misclassify neutral text as emotional (rising from 28.4% in SemEval to 45.4% in GoEmotions). This “emotional hallucination” likely stems from LLMs’ instruction-following bias: when prompts provide extensive emotion lists, models tend to over-capture weak lexical cues in text and force emotional labels onto them.\nSecond, the “arousal shift” of low-arousal negative emotions. Models frequently misclassify sadness as fear or anger. Anger and fear typically exhibit more pronounced biological markers and linguistic intensity (e.g., exclamation marks, aggressive vocabulary). GPT-5 appears to have learned a heuristic strategy prioritizing valence over intensity: after determining text is negative, it tends to classify it as a higher-arousal emotion that is more common and more distinctively featured in the training data. This bias is amplified in complex taxonomies, as fine-grained labels dilute the defining boundaries of original categories, causing the model to regress toward stronger prototypical emotions.\nBased on these findings, the following recommendations are proposed for affective computing using LLMs:\nOccam’s Razor Principle: Prioritize coarse-grained taxonomies like SemEval or Ekman. A simple ruler yields more robust performance and higher human-machine alignment.\nCalibrating Neutral Thresholds: Given LLMs’ tendency to emotionalize neutral text, deployments should implement dedicated neutral filters or explicitly weight emotionless judgments in prompts.\nCultural Awareness Enhancement: For non-English contexts, directly applying localized taxonomies (e.g., SevenEmotions) may not directly improve LLM performance. Future research should explore injecting specific cultural cognitive schemas into models through few-shot learning or Chain-of-Thought (CoT) techniques to mitigate pretraining biases.\n\n\n### The granularity paradox\nThe most significant finding of this study is that the emotion granularity exhibits a strong negative correlation with GPT-5’s classification performance. As the number of emotion categories expanded from 4 to 27, the model’s performance declined significantly. This reflects the model’s distributional sensitivity to label overlaps within the zero-shot prompt.\nAs the taxonomy becomes highly granular (e.g., GoEmotions), the semantic distance between adjacent emotion labels in the high-dimensional embedding space decreases substantially. This creates boundary interference, where the model struggles to delineate fine-grained distinctions (e.g., sadness vs. remorse) solely through pre-trained knowledge.\nCrucially, we must address whether this decline is driven by taxonomic complexity or by the scarcity of rare categories (e.g., the long-tail distribution in GoEmotions). Two lines of evidence from our study support taxonomic complexity as the primary driver:\n(1) Even for samples with unanimous human agreement (CL 5), the accuracy still drops by 17.95 percentage points from SemEval to GoEmotions. This indicates that the failure stems from label space competition rather than the inherent ambiguity or rarity of the samples.\n(2) The error pattern for “sadness” reveals that performance drops not because the “sadness” sample becomes rare, but because the introduction of overlapping synonyms acts as distractors. Therefore, the granularity paradox acts as a systemic penalty imposed by the crowded decision space.\nThis finding provides crucial boundary conditions for current optimistic expectations regarding LLM emotion analysis capabilities. Although Niu et al. (2024) and Liu et al. (2024) report GPT-4 achieving human-level performance in emotion recognition, our research indicates this human-level capability is conditional, primarily manifesting in coarse-grained frameworks (e.g., SemEval). These findings challenge overly optimistic expectations of LLM zero-shot omnipotence. This performance degradation is not solely driven by increased category numbers but stems from deeper causes like semantic overlap. This aligns with findings from human annotation studies (Demszky et al., 2020; Bostan and Klinger, 2018): fine-grained classification forces models to make binary splits between highly similar concepts, leading to increased entropy in the model’s internal probability distribution.\nInterestingly, we observed an anomalous increase in recognition rates for anger in GoEmotions. This suggests that when a fine-grained taxonomy successfully isolates variants of an emotion (e.g., annoyance), the semantic purity of the core label can enhance the model’s focus. This offers new insights for future prompt engineering: mitigating the granularity paradox through hierarchical classification rather than flattened classification.\n\n\n### Human-AI alignment gap\nThis study reveals significant discrepancies between GPT-5 and human annotators (McNemar test p<0.001). Regarding group consistency, incorporating GPT-5 slightly reduced consistency. While the Granularity Paradox—where performance degrades as the decision space expands—remains robust for GPT-5, our analysis uncovers a divergent trend for human annotators. Specifically, as emotion taxonomies grow more complex, human inter-annotator agreement does not decline as predicted but remains stable.\nOur investigation into this phenomenon indicates that the high human consensus level in fine-grained contexts is not a result of sample selection bias, as the NC exclusion rates remained consistent across all taxonomies. Instead, it highlights a fundamental difference in cognitive strategies:\nIn broad taxonomies, humans often grapple with “boundary ambiguity” (e.g., whether a subtle emotion fits into the wide “joy” category). However, fine-grained taxonomies provide semantic specificity (e.g., gratitude, remorse). These precise labels act as clearer cognitive anchors, allowing human annotators to reach consensus through intuitive cue matching grounded in life experience.\nIn contrast, GPT-5 increasingly struggles to replicate human consensus as granularity increases, evidenced by the decline in Fleiss’ kappa when the model is incorporated. This suggests that while humans benefit from the clarity of specific definitions, LLMs become more susceptible to the noise of probabilistic co-occurrence within expanding label space.\nConsequently, the significant divergence in cognitive pathways is most pronounced in fine-grained contexts: humans leverage semantic precision to maintain collective agreement, whereas the model’s predictive stability is challenged by the high-dimensional complexity of nuanced emotions.\nRegarding cultural adaptability, this study observed a counterintuitive phenomenon: despite the Seven Emotions theory originating from Chinese culture and theoretically aligning better with Chinese Weibo, GPT-5’s performance under this taxonomy was not superior to—and even slightly inferior to—the Ekman taxonomy. This finding challenges the simplistic assumption that “native labels equate to native understanding,” revealing cultural schema bias within LLMs. Although GPT-5 ingested Chinese data during pre-training and can grasp the literal meanings of terms like love (爱) and desire (欲), its underlying emotional cognitive schema remains dominated by mainstream Western psychological frameworks (e.g., the Ekman/Plutchik model). When processing uniquely Chinese emotional concepts, the model may need to internally map them to proximate Western concepts (e.g., mapping “欲” to “desire”). Semantic loss during this mapping process negates the potential advantages of localized labels. This aligns with Nasution et al. (2025) that found LLMs struggle in non-English contexts, suggesting that simple label replacement is insufficient to bridge cultural divides. Future localization research must focus on deep semantic alignment.\n\n\n### Classification bias\nThis study identifies robust classification biases in GPT through confusion matrices, revealing underlying flaws in LLM emotional recognition. It validates and extends (Troiano et al., 2023) on annotation tool-induced bias.\nFirst, over-interpretation of “neutral” post. Findings indicate that as emotion taxonomy grows more complex, models increasingly misclassify neutral text as emotional (rising from 28.4% in SemEval to 45.4% in GoEmotions). This “emotional hallucination” likely stems from LLMs’ instruction-following bias: when prompts provide extensive emotion lists, models tend to over-capture weak lexical cues in text and force emotional labels onto them.\nSecond, the “arousal shift” of low-arousal negative emotions. Models frequently misclassify sadness as fear or anger. Anger and fear typically exhibit more pronounced biological markers and linguistic intensity (e.g., exclamation marks, aggressive vocabulary). GPT-5 appears to have learned a heuristic strategy prioritizing valence over intensity: after determining text is negative, it tends to classify it as a higher-arousal emotion that is more common and more distinctively featured in the training data. This bias is amplified in complex taxonomies, as fine-grained labels dilute the defining boundaries of original categories, causing the model to regress toward stronger prototypical emotions.\nBased on these findings, the following recommendations are proposed for affective computing using LLMs:\nOccam’s Razor Principle: Prioritize coarse-grained taxonomies like SemEval or Ekman. A simple ruler yields more robust performance and higher human-machine alignment.\nCalibrating Neutral Thresholds: Given LLMs’ tendency to emotionalize neutral text, deployments should implement dedicated neutral filters or explicitly weight emotionless judgments in prompts.\nCultural Awareness Enhancement: For non-English contexts, directly applying localized taxonomies (e.g., SevenEmotions) may not directly improve LLM performance. Future research should explore injecting specific cultural cognitive schemas into models through few-shot learning or Chain-of-Thought (CoT) techniques to mitigate pretraining biases.\n\n\n### Conclusion\nThis study empirically compared GPT’s emotion annotation behavior across five emotion taxonomies (SemEval, Ekman, SevenEmotions, Plutchik, and GoEmotions) to deeply explore the impact of emotion taxonomy on GPT-5. Findings confirm that emotion taxonomies are not neutral task contexts but core variables that modulate LLM annotation performance, human-machine consistency, and bias characteristics.\nFirst, a significant negative correlation exists between emotion granularity and model performance. As taxonomy transition from coarse to fine granularity, GPT-5’s recognition efficacy demonstrably declines. This “granularity paradox” indicates that LLM affective computing heavily relies on task space definition, where semantic space overcrowding significantly increases the model’s discriminative load. Furthermore, the localized SevenEmotions failed to demonstrate expected cultural adaptability advantages, revealing underlying Western-centric biases in the model’s deep cognitive schemas.\nSecond, emotion taxonomy is a key factor influencing human-machine alignment. Experiments show statistically significant differences between GPT-5 and human annotators across all emotion taxonomies, with this cognitive dissonance intensifying as taxonomy complexity increases. This reveals deep-seated deviations between the model’s judgment of complex semantic boundaries and human logic.\nThird, this study identifies two robust cross-taxonomy biases: first, a tendency toward emotional overinterpretation, where models erroneously emotionalize neutral text by capturing extremely subtle lexical cues; second, the negative emotion collapse phenomenon, manifested as low-arousal emotions like sadness logically shifting toward high-arousal prototypes such as fear and anger.\n\n\n### Limitation\nThis study delineates the boundaries of LLM emotional cognition across diverse emotion taxonomies, providing empirical support for constructing robust automated emotion annotation paradigms. However, several limitations must be acknowledged.\nFirst, our evaluation is primarily based on GPT-5. It remains to be determined whether the observed performance degradation in fine-grained taxonomies is universally shared by LLMs. Future research should extend this evaluation across a broader spectrum of open-source and proprietary LLMs to validate these findings.\nSecond, this study focuses on zero-shot capabilities of GPT-5 without employing few-shot learning, Chain-of-Thought (CoT) reasoning, or advanced prompt optimization. As taxonomic complexity increases, these techniques might help mitigate semantic entropy and systemic biases, though exploring such interventions was beyond our current scope.\nThird, our findings are based on Sina Weibo posts. The linguistic idiosyncrasies of Weibo—such as informal syntax and culture-specific internet slang—differ significantly from formal texts or Western social media (e.g., Twitter/X). Consequently, the observed effects may not be directly transferable to other linguistic contexts or cross-cultural emotion recognition tasks.\nFourth, although the dataset contains 2,848 posts, the sample distribution becomes increasingly fragmented as taxonomic granularity increases. In fine-grained taxonomies, the data exhibits a pronounced long-tail distribution, where certain categories contain limited samples. Future studies should aim for more balanced datasets to disentangle the effects of taxonomic complexity from data scarcity.\nFifth, this study adopted a single-query approach for each post. As noted in Komatsu et al. (2022), single-pass annotation may fail to capture the model’s inherent stochastic variability. Future research should employ multi-sampling techniques to provide a more robust assessment of LLM in affective tasks.", "domain": "affective_neuroscience"}
{"source": "PMC12829023", "title": "Workplace loneliness and the communication climate of healthcare workers: the moderating role of perceived social competence", "text": "# Workplace loneliness and the communication climate of healthcare workers: the moderating role of perceived social competence\n\n## Abstract\nWorkplace loneliness has emerged as a significant challenge for healthcare systems, with consequences extending beyond employee wellbeing to organizational communication and patient safety. This study investigates how two dimensions of workplace loneliness –emotional deprivation (ED) and lack of social companionship (LSC)– relate to organizational communication climate (OCC), and whether perceived social competence (PSC) and demographic characteristics moderate these associations. Data were collected from 391 healthcare professionals working in two university hospitals in Türkiye using validated scales. Moderation analyses were conducted with Hayes’ PROCESS Macro (Models 1 and 2) and bootstrapping (5,000 resamples) to examine hypothesized effects. Emotional deprivation was negatively associated with the organizational communication climate, b=-1.450, SE = 0.223, 95% CI [-1.888, -1.012], p < .001. Perceived social competence was positive, b = 0.739, SE = 0.189, 95% CI [0.368, 1.110], p < .001, and their interaction was significant, b = 0.070, SE = 0.027, 95% CI [0.016, 0.123], p = .012. Model R²=0.321, F(3,387) = 60.948, p < .001. In a parallel model, lack of social companionship was negatively associated with the communication climate, b=-2.761, SE = 0.155, 95% CI [-3.066, -2.456], p < .001, and perceived social competence was positive, b = 0.809, SE = 0.145, 95% CI [0.523, 1.094], p < .001, while their interaction was not significant, b=-0.003, SE = 0.023, 95% CI [-0.048, 0.043], p = .910. Model R²=0.543, F(3,387) = 153.476, p < .001. Demographic moderation analyses indicated small effects. For emotional deprivation, individual interactions with gender and marital status were not significant, ΔR²=0.001, p = .709, and ΔR²=0.010, p = .126, and the ED×PSC increment was modest, ΔR²=0.011, p = .083, the combined interaction block in the marital status model was significant, Both ΔR²=0.022, p = .030, with overall model R² between 0.331 and 0.344. For lack of social companionship, two demographic interactions reached significance with small variance gains, LSC×Gender ΔR²=0.002, p = .045, and LSC×Marital status ΔR²=0.003, p = .030, others were not significant, all ΔR²≤0.010 and p ≥ .057, with overall model R² between 0.556 and 0.565. Findings highlight that workplace loneliness – particularly LSC – is linked to unfavorable communication climates in healthcare settings. PSC functions as an individual resource that mitigates ED-related risks but is insufficient when structural companionship deficits exist. These results emphasize the need for dual-track interventions that build individual social capacities while fostering inclusive communication networks. Enhancing OCC may ultimately support staff wellbeing, institutional resilience, and patient safety. The online version contains supplementary material available at 10.1186/s12913-025-13911-2.\n\n## Full Text\n\n\n### Background\nHealthcare relies on multidimensional communication among diverse employees. Although social interaction is inherent to care delivery, some healthcare workers experience workplace loneliness due to personal factors, job demands, unit constraints, and organizational structures [1–3]. This study is theory driven. Workplace loneliness is expected to erode trust, information exchange, and voice behavior, which are foundational elements of the organizational communication climate, OCC. OCC is therefore the proximal lens through which loneliness manifests in clinical teams, and it represents a unit level lever that managers can diagnose and change through everyday communication routines [4, 5]. Based on this logic, we posit that higher loneliness will relate to a less supportive OCC.\nIn healthcare, heavy workload, stress, and time pressure heighten loneliness and strain communication, which elevates safety risks and emotional costs for staff [4, 6–9]. Based on this evidence, the model predicts that higher workplace loneliness relates to a less supportive OCC. Focusing on OCC is consequential, because OCC captures openness, timeliness, accuracy, and psychological safety in information flow, which are directly linked to patient centered care and operational performance in hospitals [10, 11].\nWorkplace loneliness is modeled with two validated facets, emotional deprivation, ED, and lack of social companionship, LSC. ED is the felt absence of close, trusting bonds at work. LSC is the scarcity of everyday affiliative contact, for example missing a colleague to talk with during breaks or quick handoffs. This two factor structure has distinct nomological patterns, ED maps onto the quality of relational bonds, LSC maps onto the availability of weak ties and casual interaction [12]. In communication dependent clinical work, ED is expected to reduce warmth, trust, and speaking up. LSC is expected to thin informal channels that carry quick clarifications and coordination cues. Both processes predict a colder OCC. Recent reviews underline the practical value of the dual structure in contemporary workplaces, including healthcare [13, 14].\nPerceived social competence, PSC, is introduced as a boundary condition. PSC reflects beliefs that one can initiate, sustain, and repair interpersonal exchanges and communicate effectively under demand. Social Cognitive Theory holds that people integrate observed interactions with efficacy beliefs, then adapt behavior to context, which supports clarity seeking and early help requests in time pressured teams [15, 16]. Employees with higher PSC are more likely to articulate needs, invite feedback, and participate in briefings and huddles, behaviors that preserve trust, information sharing, and voice under strain [17, 18]. The model therefore predicts that PSC buffers the negative links from ED and LSC to OCC.\nOCC is not only theoretically central, it is also actionable. Short multidisciplinary huddles, escalation standards, and feedback loops are associated with improvements in information flow, psychological safety, and safety outcomes. This supports positioning OCC as the outcome of interest for unit level intervention design [19–21].\nDemographic characteristics are treated as covariates to preserve parsimony and avoid abrupt model expansion. Gender, marital status, education, profession, and clinical unit shape opportunities for interaction and workload, and can shift perceived climate. They are included to adjust for background heterogeneity. Any demographic by loneliness probes are examined only as exploratory checks outside the core model (see Supplementary File S1).\nThis study examines how ED and LSC relate to OCC and tests whether PSC attenuates these links. The focus on OCC specifies a mechanism from psychosocial experience to unit level communication conditions that underpin coordination and patient care. The model aligns with recent evidence connecting stronger communication climates to measurable improvements in safety, retention, and service quality in hospitals [19, 21, 22]. Accordingly, the following hypotheses are advanced within the main text, with extended rationale provided in the literature review and hypothesis development (see Supplementary File S1).\nLoneliness at work due to emotional deprivation is negatively associated with organizational communication climate.\nLoneliness at work due to lack of social companionship is negatively associated with organizational communication climate.\nPerceived social competence moderates the association between emotional deprivation and the organizational communication climate, such that the negative association is weaker at higher levels of perceived social competence.\nPerceived social competence moderates the association between lack of social companionship and organizational communication climate.\nExploratory probes reported outside the core model.\nDemographic characteristics (gender, marital status, educational attainment, profession, and work unit), in conjunction with perceived social competence, may moderate the association between emotional deprivation and organizational communication climate.\nDemographic characteristics (gender, marital status, educational attainment, profession, and work unit), in conjunction with perceived social competence, may moderate the association between lack of social companionship and organizational communication climate.\nThese hypotheses aim to explore how the perception of social competence relates to feelings of loneliness and their associations with the communication climate in the workplace. The model illustrating these hypotheses is presented below, Fig. 1.\nFig. 1Basic model\nBasic model\n\n\n### Purpose and hypotheses\nThis study examines how ED and LSC relate to OCC and tests whether PSC attenuates these links. The focus on OCC specifies a mechanism from psychosocial experience to unit level communication conditions that underpin coordination and patient care. The model aligns with recent evidence connecting stronger communication climates to measurable improvements in safety, retention, and service quality in hospitals [19, 21, 22]. Accordingly, the following hypotheses are advanced within the main text, with extended rationale provided in the literature review and hypothesis development (see Supplementary File S1).\nLoneliness at work due to emotional deprivation is negatively associated with organizational communication climate.\nLoneliness at work due to lack of social companionship is negatively associated with organizational communication climate.\nPerceived social competence moderates the association between emotional deprivation and the organizational communication climate, such that the negative association is weaker at higher levels of perceived social competence.\nPerceived social competence moderates the association between lack of social companionship and organizational communication climate.\nExploratory probes reported outside the core model.\nDemographic characteristics (gender, marital status, educational attainment, profession, and work unit), in conjunction with perceived social competence, may moderate the association between emotional deprivation and organizational communication climate.\nDemographic characteristics (gender, marital status, educational attainment, profession, and work unit), in conjunction with perceived social competence, may moderate the association between lack of social companionship and organizational communication climate.\nThese hypotheses aim to explore how the perception of social competence relates to feelings of loneliness and their associations with the communication climate in the workplace. The model illustrating these hypotheses is presented below, Fig. 1.\nFig. 1Basic model\nBasic model\n\n\n### H1\nLoneliness at work due to emotional deprivation is negatively associated with organizational communication climate.\n\n\n### H2\nLoneliness at work due to lack of social companionship is negatively associated with organizational communication climate.\n\n\n### H3\nPerceived social competence moderates the association between emotional deprivation and the organizational communication climate, such that the negative association is weaker at higher levels of perceived social competence.\n\n\n### H4\nPerceived social competence moderates the association between lack of social companionship and organizational communication climate.\nExploratory probes reported outside the core model.\n\n\n### H5\nDemographic characteristics (gender, marital status, educational attainment, profession, and work unit), in conjunction with perceived social competence, may moderate the association between emotional deprivation and organizational communication climate.\n\n\n### H6\nDemographic characteristics (gender, marital status, educational attainment, profession, and work unit), in conjunction with perceived social competence, may moderate the association between lack of social companionship and organizational communication climate.\nThese hypotheses aim to explore how the perception of social competence relates to feelings of loneliness and their associations with the communication climate in the workplace. The model illustrating these hypotheses is presented below, Fig. 1.\nFig. 1Basic model\nBasic model\n\n\n### Methods\nThe population of this study consists of healthcare workers employed in two university hospitals located in Izmir province. Izmir is the third most populous city in Türkiye, which provides a significant metropolitan context for the study. According to the information obtained from the relevant units of the hospitals, there are a total of 983 people working in the human health hospital services class. Certain inclusion criteria were defined for the study: (a) Having at least one year of experience in the institution where they work, (b) Having a permanent position in the hospital, (c) Being included in the class “86.1-Hospital Services” under the code “86-Human Health Services” according to the NACE coding system, which is used as a reference in the production of statistics on economic activities in Europe, in order to be accepted as a health worker, (d) Providing informed consent to participate in the study. Exclusion criteria are: (a) Less than one year with the current hospital, (b) Working in a contract or temporary position at the hospital. According to the inclusion and exclusion criteria, the population was defined as 632 people. No sampling method was used in the study; the goal was to reach the entire population (N = 632).\nAt the end of the data collection process, valid data were obtained from 391 out of 632 healthcare professionals working in two hospitals in Izmir province. This corresponds to a participation rate of 62%, which is considered acceptable in organizational research and sufficient for generalizability [23]. It is believed that factors such as employees’ workload, the voluntary nature of the study, and occasional reluctance to participate individually played a role in this decrease in participation rate. Nevertheless, the final sample size adequately represents the defined population.\nThe data were collected between January and February 2025 through an online survey administered via a secure institutional platform. Prior to distribution, the study protocol was reviewed and formally approved by the hospitals’ ethics committee. Hospital administrations appointed liaison officers to coordinate communication with employees. To maximize participation, invitation e-mails were sent to institutional addresses, posters were placed on staff noticeboards, and short announcements were made during departmental meetings. Each invitation contained a unique survey link, an explanation of the study’s purpose, and a statement on voluntary participation and confidentiality.\nBefore accessing the survey items, participants were required to read and electronically approve the informed consent form. The survey system was configured to prevent duplicate entries by restricting multiple submissions from the same IP address. Respondents could complete the questionnaire using personal or institutional devices (computers, tablets, smartphones) at times convenient to them, minimizing work disruption. To address non-response, reminder emails were sent twice at one-week intervals during the data collection window.\nTo ensure confidentiality, no identifying information (such as names, staff IDs, or IP logs) was stored. All responses were anonymized and stored on a secure server accessible only to the research team. Participants were explicitly informed that data would be analyzed in aggregate form and would not affect their employment status.\nDemographic data were collected through a self-administered questionnaire. The questionnaire asked about gender, age, marital status, education level, profession, unit worked in, who do you live with, years in the profession, and years with current organization.\nThe scale developed by Wright, Burt, and Strongman [12] consists of a total of 16 items, including two sub-dimensions: “emotional deprivation” and “social companionship”. The scale was adapted into Turkish and its validity and reliability study was conducted by Doğan, Çetin, and Sungur [24]. The “Emotional Deprivation” sub-dimension of the scale consists of items 1–9 and the “Social Companionship” sub-dimension consists of items 10–16. An example item for the Emotional Deprivation dimension is: “I am satisfied with my relationships at work. An example item for the Social Companionship dimension is: “There is someone at work with whom I can discuss my daily work-related problems if necessary. The Loneliness at Work scale is a 5-point Likert-type scale ranging from “strongly disagree” to “strongly agree”. Some items on the scale are reverse coded; these reverse coded items are items 5, 6, 10, 11, 12, 14, 15, and 16. Scores that can be obtained from the scale range from 16 to 80, with high scores indicating high levels of loneliness at work and low scores indicating low levels of loneliness.\nThis scale, developed by Ballı and Ateş [25], consists of 30 items and is applied with a 5-point Likert-type rating system. It has two subdimensions: manager-based organizational communication (16 items: 1, 2, 4, 5, 7, 8, 11, 13, 17, 19, 20, 21, 22, 23, 28, 29) and employee-based organizational communication (14 items: 3, 6, 9, 10, 12, 14, 15, 16, 18, 24, 25, 26, 27, 30). For example, the statement “Management trusts the organization’s employees in business-related matters” represents the manager-based subdimension, while the statement “Employees in the organization are honest with each other about business” represents the employee-based subdimension. High scores on the scale indicate a positive and open communication climate, while low scores indicate a negative and closed communication climate.\nIn this study, the total score of the scale was used instead of its subdimensions in order to address the communication climate in a holistic manner. Conceptually, organizational communication climate reflects a shared, unit-level perception of how openly, accurately, and safely information flows within the organization, which aligns with climate theory that treats climates as collective appraisals of specific domains [10, 26, 27]. The decision to use the total score of the Organizational Communication Climate Scale was guided by both theoretical and practical considerations. First, organizational communication climate is conceptually understood as a shared, overarching perception that emerges from various interpersonal exchanges within the organization, including those with supervisors and peers. Treating the construct holistically allows us to capture this integrated perception rather than examining fragmented components. Second, focusing on the overall climate avoids unnecessary model complexity and maintains statistical power, which is particularly important when testing moderated effects with multiple predictors. Third, preliminary analyses showed that the two subdimensions were strongly correlated (r = .895, p < .001), supporting the validity of a higher-order factor structure that justifies the use of a composite score. Finally, from an applied perspective, healthcare organizations are typically more interested in the overall communication environment than in its specific facets when designing interventions and policies. For these reasons, the total scale score was used to examine the global dynamics of organizational communication climate in this study. The scale’s internal consistency coefficient was determined to be 0.96.\nThe Perceived Social Competence Scale, which was developed by Anderson-Butcher, Iachini, and Amorose [28] and adapted to Turkish and analyzed for validity and reliability by Sarıçam, Akın, Akın, and Çardak [29], is a measurement tool that assesses the concept of social competence based on how individuals perceive themselves in social relationships and provide information about themselves. The scale consists of 6 items and has a 5-point Likert-type rating (ranging from “1 - Strongly Disagree” to “5 - Strongly Agree”). Sample scale item: “I get al.ong well with other people.” The range of scores that can be obtained from the scale is from 6 to 30, and there are no reverse-scored items. High scores on the scale indicate a high level of perceived social competence [29]. The internal consistency reliability coefficient of this scale was calculated to be 0.80.\nSPSS 26.0 and AMOS 23 software were used for statistical analyses. The construct validity of the scales was evaluated using confirmatory factor analysis. Fit indices were within recommended ranges, full results are provided in “Supplementary File S2” [30, 31]. Frequency analysis was used for descriptive statistics. Prior to conducting the main analyses, the assumptions of normality were tested. Skewness and kurtosis values for all continuous variables were examined and found to fall within the acceptable range of ± 1.5, as suggested in the literature [32]. Additionally, visual inspections of histograms and Q-Q plots supported the assumption of normal distribution. These results indicated that the data met the criteria for normality, justifying the use of parametric statistical analyses. Subsequently, the “Model 1 and 2” option of the PROCESS macro (version 4.0) in the SPSS program was used to test the hypotheses [33]. The bootstrapping method with a 95% confidence interval (based on 5000 bootstrap samples) was used to determine the significance of the conditional effects. The significance level for all analyses was set at p < .05.\nTo ensure the statistical validity of our model, it was important to assess whether the two sub-dimensions of workplace loneliness, emotional deprivation and lack of social companionship, exhibit problematic multicollinearity. These two constructs, although conceptually related, are theoretically distinct and capture different aspects of workplace loneliness. Emotional deprivation reflects the absence of deep, meaningful emotional connections at work, while lack of social companionship pertains to the lack of informal social interactions [12, 34].\nTo examine whether these dimensions could be treated as independent predictors in the model, multicollinearity diagnostics were conducted through linear regression analysis. The results indicated that the Variance Inflation Factor (VIF) values for both emotional deprivation and lack of social companionship were 1.063, well below the critical threshold of 5.0, and the Tolerance values were 0.941, which is well above the recommended minimum of 0.20 [35]. These results suggest that multicollinearity is not a concern for our model. Furthermore, the Pearson correlation coefficient between the two sub-dimensions was found to be r = .243 (p < .01), indicating a weak positive relationship between emotional deprivation and lack of social companionship. While these two dimensions are related, they remain empirically distinct, allowing for their separate inclusion as predictors in the model. Thus, based on both theoretical reasoning and statistical evidence, emotional deprivation and lack of social companionship were treated as independent predictors, with no significant multicollinearity issues present.\nIn order to ascertain whether common method bias represented a potential issue in the study, we employed Harman’s single factor test, a widely utilised assessment tool in situations where self-report measures are involved. A factor analysis was conducted using SPSS to calculate the first eigenvalue from the data matrix. The presence of common method bias is indicated when a single factor or the first component accounts for the majority of the variance. The analysis revealed that the first eigenvalue explained 32.03% of the total variance, which is below the critical threshold of 50% for concern.\nTo strengthen this assessment, the study applied additional techniques recommended in recent methodological literature [36]. First, a marker variable, theoretically unrelated to the focal constructs, was included to test whether variance attributable to method bias would be absorbed. Estimates of the focal relationships remained stable after inclusion of the marker. Taken together, these checks indicate that common method bias is unlikely to threaten the validity of the findings.\n\n\n### Participants\nThe population of this study consists of healthcare workers employed in two university hospitals located in Izmir province. Izmir is the third most populous city in Türkiye, which provides a significant metropolitan context for the study. According to the information obtained from the relevant units of the hospitals, there are a total of 983 people working in the human health hospital services class. Certain inclusion criteria were defined for the study: (a) Having at least one year of experience in the institution where they work, (b) Having a permanent position in the hospital, (c) Being included in the class “86.1-Hospital Services” under the code “86-Human Health Services” according to the NACE coding system, which is used as a reference in the production of statistics on economic activities in Europe, in order to be accepted as a health worker, (d) Providing informed consent to participate in the study. Exclusion criteria are: (a) Less than one year with the current hospital, (b) Working in a contract or temporary position at the hospital. According to the inclusion and exclusion criteria, the population was defined as 632 people. No sampling method was used in the study; the goal was to reach the entire population (N = 632).\nAt the end of the data collection process, valid data were obtained from 391 out of 632 healthcare professionals working in two hospitals in Izmir province. This corresponds to a participation rate of 62%, which is considered acceptable in organizational research and sufficient for generalizability [23]. It is believed that factors such as employees’ workload, the voluntary nature of the study, and occasional reluctance to participate individually played a role in this decrease in participation rate. Nevertheless, the final sample size adequately represents the defined population.\n\n\n### Data collection procedure\nThe data were collected between January and February 2025 through an online survey administered via a secure institutional platform. Prior to distribution, the study protocol was reviewed and formally approved by the hospitals’ ethics committee. Hospital administrations appointed liaison officers to coordinate communication with employees. To maximize participation, invitation e-mails were sent to institutional addresses, posters were placed on staff noticeboards, and short announcements were made during departmental meetings. Each invitation contained a unique survey link, an explanation of the study’s purpose, and a statement on voluntary participation and confidentiality.\nBefore accessing the survey items, participants were required to read and electronically approve the informed consent form. The survey system was configured to prevent duplicate entries by restricting multiple submissions from the same IP address. Respondents could complete the questionnaire using personal or institutional devices (computers, tablets, smartphones) at times convenient to them, minimizing work disruption. To address non-response, reminder emails were sent twice at one-week intervals during the data collection window.\nTo ensure confidentiality, no identifying information (such as names, staff IDs, or IP logs) was stored. All responses were anonymized and stored on a secure server accessible only to the research team. Participants were explicitly informed that data would be analyzed in aggregate form and would not affect their employment status.\n\n\n### Instruments\nDemographic data were collected through a self-administered questionnaire. The questionnaire asked about gender, age, marital status, education level, profession, unit worked in, who do you live with, years in the profession, and years with current organization.\n\n\n### Loneliness in work life scale\nThe scale developed by Wright, Burt, and Strongman [12] consists of a total of 16 items, including two sub-dimensions: “emotional deprivation” and “social companionship”. The scale was adapted into Turkish and its validity and reliability study was conducted by Doğan, Çetin, and Sungur [24]. The “Emotional Deprivation” sub-dimension of the scale consists of items 1–9 and the “Social Companionship” sub-dimension consists of items 10–16. An example item for the Emotional Deprivation dimension is: “I am satisfied with my relationships at work. An example item for the Social Companionship dimension is: “There is someone at work with whom I can discuss my daily work-related problems if necessary. The Loneliness at Work scale is a 5-point Likert-type scale ranging from “strongly disagree” to “strongly agree”. Some items on the scale are reverse coded; these reverse coded items are items 5, 6, 10, 11, 12, 14, 15, and 16. Scores that can be obtained from the scale range from 16 to 80, with high scores indicating high levels of loneliness at work and low scores indicating low levels of loneliness.\n\n\n### Organizational communication climate scale\nThis scale, developed by Ballı and Ateş [25], consists of 30 items and is applied with a 5-point Likert-type rating system. It has two subdimensions: manager-based organizational communication (16 items: 1, 2, 4, 5, 7, 8, 11, 13, 17, 19, 20, 21, 22, 23, 28, 29) and employee-based organizational communication (14 items: 3, 6, 9, 10, 12, 14, 15, 16, 18, 24, 25, 26, 27, 30). For example, the statement “Management trusts the organization’s employees in business-related matters” represents the manager-based subdimension, while the statement “Employees in the organization are honest with each other about business” represents the employee-based subdimension. High scores on the scale indicate a positive and open communication climate, while low scores indicate a negative and closed communication climate.\nIn this study, the total score of the scale was used instead of its subdimensions in order to address the communication climate in a holistic manner. Conceptually, organizational communication climate reflects a shared, unit-level perception of how openly, accurately, and safely information flows within the organization, which aligns with climate theory that treats climates as collective appraisals of specific domains [10, 26, 27]. The decision to use the total score of the Organizational Communication Climate Scale was guided by both theoretical and practical considerations. First, organizational communication climate is conceptually understood as a shared, overarching perception that emerges from various interpersonal exchanges within the organization, including those with supervisors and peers. Treating the construct holistically allows us to capture this integrated perception rather than examining fragmented components. Second, focusing on the overall climate avoids unnecessary model complexity and maintains statistical power, which is particularly important when testing moderated effects with multiple predictors. Third, preliminary analyses showed that the two subdimensions were strongly correlated (r = .895, p < .001), supporting the validity of a higher-order factor structure that justifies the use of a composite score. Finally, from an applied perspective, healthcare organizations are typically more interested in the overall communication environment than in its specific facets when designing interventions and policies. For these reasons, the total scale score was used to examine the global dynamics of organizational communication climate in this study. The scale’s internal consistency coefficient was determined to be 0.96.\n\n\n### Perceived social competence scale\nThe Perceived Social Competence Scale, which was developed by Anderson-Butcher, Iachini, and Amorose [28] and adapted to Turkish and analyzed for validity and reliability by Sarıçam, Akın, Akın, and Çardak [29], is a measurement tool that assesses the concept of social competence based on how individuals perceive themselves in social relationships and provide information about themselves. The scale consists of 6 items and has a 5-point Likert-type rating (ranging from “1 - Strongly Disagree” to “5 - Strongly Agree”). Sample scale item: “I get al.ong well with other people.” The range of scores that can be obtained from the scale is from 6 to 30, and there are no reverse-scored items. High scores on the scale indicate a high level of perceived social competence [29]. The internal consistency reliability coefficient of this scale was calculated to be 0.80.\n\n\n### Data analysis\nSPSS 26.0 and AMOS 23 software were used for statistical analyses. The construct validity of the scales was evaluated using confirmatory factor analysis. Fit indices were within recommended ranges, full results are provided in “Supplementary File S2” [30, 31]. Frequency analysis was used for descriptive statistics. Prior to conducting the main analyses, the assumptions of normality were tested. Skewness and kurtosis values for all continuous variables were examined and found to fall within the acceptable range of ± 1.5, as suggested in the literature [32]. Additionally, visual inspections of histograms and Q-Q plots supported the assumption of normal distribution. These results indicated that the data met the criteria for normality, justifying the use of parametric statistical analyses. Subsequently, the “Model 1 and 2” option of the PROCESS macro (version 4.0) in the SPSS program was used to test the hypotheses [33]. The bootstrapping method with a 95% confidence interval (based on 5000 bootstrap samples) was used to determine the significance of the conditional effects. The significance level for all analyses was set at p < .05.\n\n\n### Multicollinearity control\nTo ensure the statistical validity of our model, it was important to assess whether the two sub-dimensions of workplace loneliness, emotional deprivation and lack of social companionship, exhibit problematic multicollinearity. These two constructs, although conceptually related, are theoretically distinct and capture different aspects of workplace loneliness. Emotional deprivation reflects the absence of deep, meaningful emotional connections at work, while lack of social companionship pertains to the lack of informal social interactions [12, 34].\nTo examine whether these dimensions could be treated as independent predictors in the model, multicollinearity diagnostics were conducted through linear regression analysis. The results indicated that the Variance Inflation Factor (VIF) values for both emotional deprivation and lack of social companionship were 1.063, well below the critical threshold of 5.0, and the Tolerance values were 0.941, which is well above the recommended minimum of 0.20 [35]. These results suggest that multicollinearity is not a concern for our model. Furthermore, the Pearson correlation coefficient between the two sub-dimensions was found to be r = .243 (p < .01), indicating a weak positive relationship between emotional deprivation and lack of social companionship. While these two dimensions are related, they remain empirically distinct, allowing for their separate inclusion as predictors in the model. Thus, based on both theoretical reasoning and statistical evidence, emotional deprivation and lack of social companionship were treated as independent predictors, with no significant multicollinearity issues present.\n\n\n### Common method bias\nIn order to ascertain whether common method bias represented a potential issue in the study, we employed Harman’s single factor test, a widely utilised assessment tool in situations where self-report measures are involved. A factor analysis was conducted using SPSS to calculate the first eigenvalue from the data matrix. The presence of common method bias is indicated when a single factor or the first component accounts for the majority of the variance. The analysis revealed that the first eigenvalue explained 32.03% of the total variance, which is below the critical threshold of 50% for concern.\nTo strengthen this assessment, the study applied additional techniques recommended in recent methodological literature [36]. First, a marker variable, theoretically unrelated to the focal constructs, was included to test whether variance attributable to method bias would be absorbed. Estimates of the focal relationships remained stable after inclusion of the marker. Taken together, these checks indicate that common method bias is unlikely to threaten the validity of the findings.\n\n\n### Results\nThe results of the socio-demographic characteristics of the study participants are shown in Table 1. The number of participants in the study was 391. 29.2% of the participants were male, 70.8% were female, and the mean age was calculated to be 31.3 years (SD = 7.638). Regarding marital status, 75.4% of the participants were married and 24.6% were single. In terms of educational level, the majority of participants were bachelor’s degree holders (54.7%), followed by associate’s degree holders (32.5%). While the rate of high school graduates is 2.6%, the rate of postgraduate graduates is 10.2%. The analysis of the living conditions of the participants showed that 74.9% lived with their families, 22.3% lived alone and 2.8% lived with friends. The average number of years in the profession was found to be 9.55 years (SD = 7.276), and the average number of years in the current institution was found to be 7.66 years (SD = 6.037).\nTable 1Socio-demographic characteristics of participantsSocio-demographics\nn\n%MeanSDGender Male11429.2 Female27770.8Age39131.37.638Marital Status Married29575.4 Single9624.6Education Level High School102.6 Associate’s degree12732.5 Bachelor’s degree21454.7 Postgraduate degree4010.2Profession* Independent clinical decision makers (physician, dentist, pharmacist)184.6 Licensed allied care professionals (nurse, physiotherapist, dietician)13033.2 Technical health personnel (technician, technologist)24362.1Unit worked in** Emergency Department225.6 Intensive Care Units348.7 Pediatrics Wards164.1 Internal Medicine Wards4311.0 Surgical Wards4912.5 Outpatient Clinics (Polyclinics)6215.9 Support Services (Laboratory, Radiology, Pharmacy, etc.)7519.2 Other Units (Administration, Counseling, etc.)9023.0Who do you live with? Alone8722.3 With family29374.9 With friends112.8Years in the profession3919.557.276Years with current organization3917.666.037Note. * Profession was coded a priori using international classifications and scope of practiceGroup 1 independent clinical decision makers (physicians, dentists, pharmacists)Group 2 licensed allied care professionals (nurses, physiotherapists, dieticians)Group 3 technical health personnel (technician, technologist)This threefold scheme aligns with ISCO-08 major groups 22 Health Professionals and 32 Health Associate Professionals, the WHO Classifying Health Workers framework, and Eurostat methodology for health occupations [37–39]Note.** “Unit worked in” was coded a priori by clinical acuity and workflow characteristics that shape communication. Emergency Department and Intensive Care Units, high acuity, time-critical care. Inpatient wards, Internal Medicine, Surgical, Pediatrics, distinct diagnostic and procedural flows. Outpatient Clinics, scheduled ambulatory care. Support Services, laboratory, radiology, pharmacy, and similar ancillary functions. This scheme is consistent with NHS descriptions of urgent and emergency care and ICU service standards, AHRQ settings of care, and OECD definitions of inpatient versus ambulatory services [40–42]\nSocio-demographic characteristics of participants\nNote. * Profession was coded a priori using international classifications and scope of practice\nGroup 1 independent clinical decision makers (physicians, dentists, pharmacists)\nGroup 2 licensed allied care professionals (nurses, physiotherapists, dieticians)\nGroup 3 technical health personnel (technician, technologist)\nThis threefold scheme aligns with ISCO-08 major groups 22 Health Professionals and 32 Health Associate Professionals, the WHO Classifying Health Workers framework, and Eurostat methodology for health occupations [37–39]\nNote.** “Unit worked in” was coded a priori by clinical acuity and workflow characteristics that shape communication. Emergency Department and Intensive Care Units, high acuity, time-critical care. Inpatient wards, Internal Medicine, Surgical, Pediatrics, distinct diagnostic and procedural flows. Outpatient Clinics, scheduled ambulatory care. Support Services, laboratory, radiology, pharmacy, and similar ancillary functions. This scheme is consistent with NHS descriptions of urgent and emergency care and ICU service standards, AHRQ settings of care, and OECD definitions of inpatient versus ambulatory services [40–42]\nThe analysis was conducted using Hayes’ PROCESS macro (Model 1) to examine the moderating role of perceived social competence in the associations between emotional deprivation, lack of social companionship, and organizational communication climate (Table 2). In the first model, emotional deprivation was found to be significantly and negatively associated with organizational communication climate (B = -1.450, p < .001), supporting Hypothesis 1. Perceived social competence showed a significant positive association with organizational communication climate (B = 0.739, p < .001). In addition, the interaction term (emotional deprivation × perceived social competence) was significant (B = 0.070, p = .012), indicating that perceived social competence moderates the association between emotional deprivation and organizational communication climate, thus providing support for Hypothesis 3. The model explains 32.1% of the variance in the dependent variable (R2 = 0.321).\nIn the second model, lack of social companionship was significantly and negatively associated with organizational communication climate (B = -2.761, p < .001), supporting Hypothesis 2. Similarly, perceived social competence was positively and significantly associated with organizational communication climate (B = 0.809, p < .001). However, the interaction term (lack of social companionship × perceived social competence) was not significant (B = -0.003, p = .910). This indicates that perceived social competence did not moderate the association between lack of social companionship and organizational communication climate, and therefore Hypothesis 4 was not supported. The second model explained 54.3% of the variance in the dependent variable (R² = 0.543).\nTable 2The moderating role of perceived social competence in the relationship between workplace loneliness and organizational communication climateEffectSEt\np\nLLCIULCI\nModel 1\nConstant104.8231.15890.5460.000102.547107.100Emotional Deprivation-1.4500.223-6.5080.000-1.888-1.012Perceived Social Competence0.7390.1893.9120.0000.3681.110ED × PSC0.0700.0272.5390.0120.0160.123R2 = 0.321; F (3, 387) = 60.948; p < .000\nModel 2\nConstant103.5790.897115.4980.000101.816105.342Lack of Social Companionship-2.7610.155-17.8140.000-3.066-2.456Perceived Social Competence0.8090.1455.5660.0000.5231.094LSC × PSC-0.0030.023-0.1130.910-0.0480.043Abbreviations. SE, Standard Error; t, t-value; p, significance; LLCI, Lower Level Confidence Interval; ULCI, Upper Level Confidence Interval\nThe moderating role of perceived social competence in the relationship between workplace loneliness and organizational communication climate\nAbbreviations. SE, Standard Error; t, t-value; p, significance; LLCI, Lower Level Confidence Interval; ULCI, Upper Level Confidence Interval\nThe results suggest that perceived social competence has a moderating role in the association between emotional deprivation and organizational communication climate, but this moderating effect does not emerge in the association between lack of social companionship and organizational communication climate. These findings highlight the differential role of perceived social competence on the effects of social deficits.\nFigure 2 shows the interaction of emotional deprivation and perceived social competence on organizational communication climate. The results show that organizational communication climate is lower as emotional deprivation is higher. However, this association varies depending on the individual’s level of perceived social competence.\nFor individuals with high social competence, the negative association between emotional deprivation and organizational communication climate remains at a more limited level. These individuals are able to maintain communication climate to a great extent despite experiencing emotional deprivation. For individuals with moderate social competence, a more notable decrease in communication climate is observed as emotional deprivation increases. For individuals with low social competence, this negative association is most pronounced, and the relationship between emotional deprivation and organizational communication climate shows a stronger negative trend.\nFig. 2Interaction emotional deprivation and social competence as predictors on organizational communication climate\nInteraction emotional deprivation and social competence as predictors on organizational communication climate\nThese results indicate that perceived social competence is an important moderator variable that significantly moderates the association between emotional deprivation and organizational communication climate. Individuals with high social competence appear more resilient in the face of emotional deprivation and are able to limit its negative associations with communication climate. On the other hand, individuals with low social competence are more vulnerable in this context, and their experiences of emotional deprivation are more strongly associated with a less favorable organizational communication climate.\nThe extended moderation analyses incorporating demographic variables (gender, marital status, education level, profession, and unit worked in) together with perceived social competence (PSC) were conducted to test Hypotheses 5 and 6 (Table 3).\nFor H5, which examined whether demographic characteristics, in conjunction with perceived social competence, are associated with variations in the link between emotional deprivation and organizational communication climate, the findings provided only limited evidence. emotional deprivation showed a consistent negative association with organizational communication climate across models (e.g., b=-1.96, SE = 0.67, p = .004), yet most interaction terms with demographic variables were not significant. The marital status model was the only case in which the combined interaction block (ED × PSC × Marital Status) accounted for a small but statistically significant increment in variance (ΔR²=0.022, p = .030). This pattern indicates that marital status, together with perceived social competence, may be related to differences in how emotional deprivation corresponds with organizational communication climate, while gender, education level, profession, and unit worked in did not demonstrate significant associations at the interaction level.\nFor H6, which tested whether demographic characteristics and perceived social competence jointly moderate the association between lack of social companionship and organizational communication climate, more consistent evidence was observed. lack of social companionship demonstrated a strong and robust negative association with organizational communication climate across all models (e.g., b=-3.09, SE = 0.17, p < .001). Regarding moderation, two demographic variables displayed significant interaction blocks: gender (ΔR²=0.002, p = .045) and marital status (ΔR²=0.003, p = .030). Education level also showed a trend-level effect (ΔR²=0.010, p = .057), whereas profession and unit worked in did not yield significant interaction effects.\nTable 3Moderating roles of perceived social competence and demographics in the associations between workplace loneliness and organizational communication climateModelR² /F(df1,df2)Predictorβ (SE)t\np\n95% CIΔR² (Interaction Block)ED + PSC + Gender0.331 /40.12 (10,380)*ED-1.36 (0.47)-2.900.004[-2.28, -0.44]ED×PSC: 0.011 (p = .083) ns;ED×Gender: 0.001 (p = .709) nsPSC0.73 (0.26)2.760.006[0.21, 1.25]ED + PSC + Marital Status0.341 /51.95 (10,380)*ED-2.88 (0.94)-3.060.002[-4.73, -1.03]ED×PSC: 0.010 (p = .081) ns;ED×Marital: 0.010 (p = .126) ns;Both: 0.022 (p = .030)PSC0.75 (0.26)2.900.004[0.24, 1.26]ED + PSC + Education Level0.336 /39.37 (14,376)*ED-1.96 (0.67)-2.900.004[-3.28, -0.63]ED×PSC: 0.011 (p = .086) ns; ED×Education: 0.004 (p = .38) nsPSC0.73 (0.26)2.770.006[0.21, 1.25]ED + PSC + Profession0.332 /34.23 (12,378)*ED-1.55 (0.81)-1.920.056[-3.15, 0.04]ED×PSC: 0.011 (p = .080) ns; ED×Profession: 0.001 (p = .748) nsPSC0.74 (0.27)2.750.006[0.21, 1.27]ED + PSC + Work Unit0.344 /20.94 (22,368)*ED-0.96 (1.09)-0.880.378[-3.11, 1.18]ED×PSC: 0.009 (p = .129) ns;ED×Unit: 0.011 (p = .965) nsPSC0.77 (0.27)2.890.004[0.25, 1.29]LSC + PSC + Gender0.556 /106.96 (10,380)*LSC-3.09 (0.17)-18.23< 0.001[-3.43, -2.76]LSC×PSC: 0.000 (p = .891) ns; LSC×Gender: 0.002 (p = .045)PSC0.77 (0.22)3.490.001[0.34, 1.20]LSC + PSC + Marital Status0.556 /115.09 (10,380)*LSC-2.19 (0.34)-6.35< 0.001[-2.87, -1.51]LSC×PSC: 0.001 (p = .832) ns; LSC×Marital: 0.003 (p = .030)PSC0.77 (0.22)3.490.001[0.34, 1.20]LSC + PSC + Education Level0.565 /95.04 (14,376)*LSC-1.43 (4.71)-0.300.762[-10.69, 7.83]LSC×PSC: 0.001 (p = .814) ns; LSC×Education: 0.010 (p = .057)PSC0.74 (0.22)3.410.001[0.31, 1.17]LSC + PSC + Profession0.557 /88.23 (12,378)*LSC-3.08 (0.67)-4.57< 0.001[-4.40, -1.75]LSC×PSC: 0.000 (p = .97) ns; LSC×Profession: 0.004 (p = .12) nsPSC0.79 (0.22)3.540.001[0.35, 1.23]LSC + PSC + Work Unit0.565 /54.32 (22,368)*LSC-2.88 (0.27)-10.48< 0.001[-3.41, -2.34]LSC×PSC: 0.001 (p = .565) ns;LSC×Unit: 0.004 (p = .758) nsPSC0.77 (0.22)3.450.001[0.33, 1.21]\nModerating roles of perceived social competence and demographics in the associations between workplace loneliness and organizational communication climate\n0.331 /\n40.12 (10,380)*\nED×PSC: 0.011 (p = .083) ns;\nED×Gender: 0.001 (p = .709) ns\n0.341 /\n51.95 (10,380)*\nED×PSC: 0.010 (p = .081) ns;\nED×Marital: 0.010 (p = .126) ns;\nBoth: 0.022 (p = .030)\n0.336 /\n39.37 (14,376)*\n0.332 /\n34.23 (12,378)*\n0.344 /\n20.94 (22,368)*\nED×PSC: 0.009 (p = .129) ns;\nED×Unit: 0.011 (p = .965) ns\n0.556 /\n106.96 (10,380)*\n0.556 /\n115.09 (10,380)*\n0.565 /\n95.04 (14,376)*\n0.557 /\n88.23 (12,378)*\n0.565 /\n54.32 (22,368)*\nLSC×PSC: 0.001 (p = .565) ns;\nLSC×Unit: 0.004 (p = .758) ns\nOverall, these results offer limited support for Hypothesis 5 and partial support for Hypothesis 6. perceived social competence consistently appeared as a positive predictor of organizational communication climate, while demographic variables showed modest and selective roles. Thus, workplace loneliness ‒whether conceptualized as emotional deprivation or lack of social companionship‒ appears to be linked to organizational communication climate in ways that may vary slightly depending on certain demographic characteristics, although these effects are generally small and context-specific.\n\n\n### Discussion\nThis study examined the relationship between employees’ perceptions of the organizational communication climate, OCC, in healthcare settings and two dimensions of workplace loneliness, emotional deprivation, ED, and lack of social companionship, LSC. The study also examined whether perceived social competence, PSC, and selected demographic characteristics influenced these relationships. In all models, ED and LSC were negatively related to OCC, with LSC showing a stronger connection. These findings are consistent with the interpretation that OCC reflects shared patterns, norms, and ties in clinical teams [43, 44]. Deficits in day to day companionship, for example fewer informal interactions and sparser networks, are therefore more likely to register in OCC than purely affective deprivation [45, 46]. This view is also coherent with the dual structure of workplace loneliness, which distinguishes emotional deprivation from a lack of social companionship and links these facets to different communication channels at work [47].\nThe most important strength of the results is that they distinguish between ED and LSC. Although both dimensions were negatively correlated with OCC, the LSC–OCC association was stronger and more consistent across different models. This is consistent with the idea that, by design, OCC is a property of shared communication patterns, norms and ties. Thus, deficits in companionship (e.g. fewer informal interactions and sparser networks) may map more directly onto perceptions of climate than purely affective deprivation. This interpretation is consistent with healthcare dynamics where cross-disciplinary coordination is critical. Recent organisational and communication literature supports this logic, demonstrating that climates of open, supportive exchange strengthen identification and coordination, whereas relational frictions erode collective sensemaking and performance [11]. In healthcare, where cross-disciplinary handoffs, coordination under time pressure and team trust are vital, missing social ties plausibly reverberate through both communication quality and climate. Furthermore, healthcare research continues to demonstrate that social support mitigates strain and burnout ‒related constructs associated with climate‒ suggesting that deficits in companionship can exacerbate communication difficulties [48].\nThe moderating role of PSC clarifies these patterns further. While PSC consistently buffered the adverse influence of ED on OCC, its role in the LSC–OCC link was negligible, underscoring structural rather than individual pathways. One possible interpretation is that PSC, an individual resource associated with social efficacy, emotion regulation, and adaptive interaction strategies, helps employees reframe or compensate for unmet emotional needs. This allows them to sustain constructive communication behaviors with colleagues and supervisors. By contrast, when the core issue is a scarcity of LSC – an inherently structural or network problem – individual skill may be insufficient in the absence of relational density and supportive routines. Contemporary overviews of work loneliness emphasize this multilevel logic: personal resources matter, but network access and situational affordances are decisive for embeddedness [14, 49].\nBeyond examining the direct associations among ED, LSC, OCC, and PSC, it is critical to consider OCC’s potential function as a mediating mechanism in linking loneliness to broader organizational outcomes such as job performance, work engagement, and organizational commitment. Recent meta-analytic evidence underscores the significant negative effects of work loneliness on these outcomes [14]. For instance, research indicates that social companionship mediates the relationship between organizational support and job performance, while workplace loneliness has been shown to undermine employee engagement and commitment, particularly when coworker exchange is weak [50, 51]. Additionally, studies reveal that isolation erodes communication quality, which in turn reduces trust – a core facet of OCC [52]. Integrating these insights emphasizes that a weakened communication climate is not merely an outcome of loneliness but may serve as a mechanism driving adverse organizational behaviors and experiences.\nTo investigate whether ED/LSC–OCC connections differ according to social positions frequently discussed in loneliness literature, a model was designed that incorporated demographic variables (gender, marital status, education level, profession, and work unit) alongside PSC. The results were selective. For ED, interaction blocks involving demographic variables were largely insignificant, with only a small joint effect emerging for marital status (ΔR² ≈ 0.022). This indicates limited heterogeneity when PSC is considered. For LSC, two interaction blocks (gender and marital status) reached significant levels, and education showed a trend-level effect. These modest changes are consistent with new evidence suggesting that the distribution and impact of loneliness may vary depending on gender and marital status. However, these findings vary across settings and life stages [53–55]. Occupational and unit effects were negligible in our data, consistent with recent cross-contextual studies emphasizing the importance of work conditions and broader social environments over occupational labels themselves [56, 57].\nTaken together, these findings support a multilevel account of workplace loneliness and communication climate. At the individual level, personal competencies (e.g., PSC) are related to better communication experiences, especially when addressing emotional unmet needs. At the relational/structural level, the density and quality of social ties (the absence of LSC) seem to correspond more directly to OCC. Recent syntheses echo this multilevel view, stating that loneliness in organizational contexts is not merely an affective state, but rather a dynamic phenomenon situated within team structures, digital communication arrangements, and job design [14, 49]. In healthcare organizations, such sparse networks or restrictive norms can be especially detrimental, given the reliance on fast, reliable communication for patient safety. From a systems perspective, small individual differences rarely offset sparse networks or norms that limit casual interaction.\nThe demographic moderation results suggest tailoring interventions to specific groups rather than segmenting the population broadly. Although female employees may report stronger links between loneliness and negative work attitudes in certain cultural or organizational contexts and unmarried employees may have fewer emotional support resources outside of work, the mostly null or minimal moderation effects observed and the robust direct effects of LSC indicate that interventions should be universally available yet flexibly delivered (e.g., peer support channels accessible across units and shifts) with ongoing monitoring to ensure equitable access regardless of gender or marital status. This is consistent with evidence indicating that family status influences loneliness, though its effects often interact with broader social and relational factors (e.g., recent findings on widowhood and loneliness trajectories) [58]. Furthermore, contemporary demographic research cautions against attributing loneliness solely to education, revealing that transitions and socioeconomic contexts play a more significant explanatory role [59, 60].\nFirst, interdisciplinary team-building initiatives should be prioritized. Structured “huddles” at the beginning and end of shifts, interdisciplinary case reviews, and cross-unit problem-solving workshops can strengthen relational ties, enhance clarity, and reduce the isolation that often arises in fragmented care processes. Such practices align with evidence showing that regular, structured opportunities for peer exchange improve team identification and communication quality in healthcare [61]. Similarly, initiatives that increase interaction opportunities, such as peer mentoring and protected debriefs at shift changes, are likely to improve the climate where LSC is important. Research on communication climate shows that establishing predictable, psychologically safe channels for exchange strengthens identification and team coordination [11]. Specifically in healthcare, bolstering social support has been shown to lead to lower burnout and improved staff wellbeing, indicating a healthier communication environment [48].\nSecond, mentorship programs tailored to junior staff, residents, or newly hired nurses may buffer the effects of loneliness by embedding them into established communication networks. By pairing less experienced professionals with senior staff, healthcare organizations can provide both emotional support and role-specific guidance, reducing the risk of emotional deprivation. This is particularly relevant in high-stress units such as emergency and intensive care, where the combination of workload and emotional demand heightens vulnerability [62, 63].\nThird, communication training customized to healthcare contexts should be developed. For example, simulation-based training for emergency departments can incorporate scripts for high-pressure interactions, while programs for medical secretaries may focus on managing hierarchical communication and patient-facing stressors. Tailoring content to unit-specific stressors ensures that employees acquire skills that are directly transferable to their daily routines. Such targeted training resonates with frameworks like the TeamSTEPPS program, which emphasizes communication, leadership, and mutual support as core competencies for patient safety [64].\nBeyond these unit-specific initiatives, developing social and emotional competencies more broadly (e.g., perspective-taking, navigating conflict, and assertively and empathetically speaking up) may mitigate the association between ED and OCC. Micro-interventions that provide clinicians with language and scripts for difficult conversations can be incorporated into simulation-based training. Additionally, organization-wide efforts that recognize loneliness as both a public health and productivity concern can shift norms. Recent national advisories recommend strengthening social infrastructure in workplaces through inclusive meeting practices, mentorship, and community building [22, 65].\nFinally, findings from this study can be linked to broader health workforce resilience frameworks. For instance, the World Health Organization’s framework highlights both individual-level capacity building and system-level reforms to improve working conditions [66]. Embedding loneliness reduction strategies within these frameworks could strengthen their impact and ensure alignment with institutional priorities such as patient safety, staff retention, and service quality.\nFor future research, adopting network-aware and multilevel designs would be highly informative. Sociometric mapping of advice and friendship ties, combined with repeated OCC measurements, could reveal how shifts in network structure relate to evolving communication climates. Multilevel designs could also determine whether interventions like structured huddles buffer the loneliness–communication link at individual and unit levels. Evaluating whether PSC training is most effective when coupled with structural – supports such as cross-disciplinary reviews or social connection initiatives – would address whether skills and opportunities operate complementarily [67, 68].\nIn summary, ED, and particularly LSC, were consistently linked with less favorable organizational communication climates among healthcare workers in our sample. PSC appeared to mitigate ED–OCC associations but had limited impact on LSC–OCC links. Demographic moderation was modest and selective, primarily involving gender and marital status. These findings support a dual-track intervention model: (1) institutional efforts to strengthen everyday social networks and normalize supportive communication practices, and (2) individual-level capacity building to help staff navigate emotionally laden situations. Combining both approaches promises to foster climates where information flows effectively, psychological safety is maintained, and cross-disciplinary collaboration thrives [47, 69].\nAlthough the findings of this study provide meaningful insights into the associations between workplace loneliness and organizational communication climate, several limitations warrant careful consideration. First, the cross-sectional design restricts causal inference. While emotional deprivation and lack of social companionship were associated with less favorable communication climates, reverse pathways are equally plausible – for instance, a deficient or closed communication climate may foster employees’ feelings of isolation. Unmeasured common causes, such as leadership style or organizational culture, could also explain both loneliness and communication outcomes. As recent methodological reviews emphasize, future research should employ longitudinal, experimental, or mixed-method approaches to disentangle temporal ordering and underlying mechanisms, thereby strengthening causal interpretations.\nSecond, although demographic moderators (gender, marital status, education level, profession, and work unit) were systematically examined, most interaction effects were weak or non-significant. This pattern reduces concerns about strong confounding by demographic factors once perceived social competence and core loneliness dimensions were included. However, the possibility of subgroup-specific suppressor effects remains, and future research using larger, stratified samples may help clarify whether nuanced differences exist across demographic strata.\nThird, all variables were measured through self-report questionnaires, which may introduce response biases such as social desirability and common method variance. While statistical checks indicated no problematic multicollinearity, reliance on subjective reporting may limit the precision of estimates, particularly in socially sensitive domains such as loneliness. Future research could integrate objective or behavioral measures, such as sociometric network analyses, communication audits, or digital trace data, to triangulate findings.\nAnother limitation concerns the scope of outcome variables included in the study. While our primary focus was to investigate the role of workplace loneliness and perceived social competence in shaping organizational communication climate, we did not examine broader organizational outcomes such as job performance, engagement, or job satisfaction. These constructs are theoretically relevant and could provide additional insights into the consequences of workplace loneliness if included in future research. Furthermore, the potential mediating role of OCC in linking loneliness to such outcomes should be empirically tested to strengthen the explanatory power of this line of research.\nFourth, the study context was geographically limited to two university hospitals in İzmir, Türkiye’s third-largest city. Although this setting provides a valuable lens on healthcare professionals, the generalizability of findings to other sectors, cultural contexts, or organizational forms remains uncertain. Loneliness and social competence are socially embedded phenomena, and their meanings may vary across societies, organizational structures, and job designs. Cross-cultural comparative research and replication across industries would therefore enhance the robustness of conclusions.\nFinally, measurement decisions impose additional constraints. The Organizational Communication Climate Scale was operationalized as a composite score in this study, as extremely high correlations between its subdimensions indicated substantial overlap. While this choice was both conceptually and statistically defensible, it limited the ability to differentiate between managerial–employee versus peer communication processes. Future studies should examine these dimensions separately to illuminate whether workplace loneliness differentially affects top-down communication channels versus peer-level exchanges.\n\n\n### Practical implications\nThe demographic moderation results suggest tailoring interventions to specific groups rather than segmenting the population broadly. Although female employees may report stronger links between loneliness and negative work attitudes in certain cultural or organizational contexts and unmarried employees may have fewer emotional support resources outside of work, the mostly null or minimal moderation effects observed and the robust direct effects of LSC indicate that interventions should be universally available yet flexibly delivered (e.g., peer support channels accessible across units and shifts) with ongoing monitoring to ensure equitable access regardless of gender or marital status. This is consistent with evidence indicating that family status influences loneliness, though its effects often interact with broader social and relational factors (e.g., recent findings on widowhood and loneliness trajectories) [58]. Furthermore, contemporary demographic research cautions against attributing loneliness solely to education, revealing that transitions and socioeconomic contexts play a more significant explanatory role [59, 60].\nFirst, interdisciplinary team-building initiatives should be prioritized. Structured “huddles” at the beginning and end of shifts, interdisciplinary case reviews, and cross-unit problem-solving workshops can strengthen relational ties, enhance clarity, and reduce the isolation that often arises in fragmented care processes. Such practices align with evidence showing that regular, structured opportunities for peer exchange improve team identification and communication quality in healthcare [61]. Similarly, initiatives that increase interaction opportunities, such as peer mentoring and protected debriefs at shift changes, are likely to improve the climate where LSC is important. Research on communication climate shows that establishing predictable, psychologically safe channels for exchange strengthens identification and team coordination [11]. Specifically in healthcare, bolstering social support has been shown to lead to lower burnout and improved staff wellbeing, indicating a healthier communication environment [48].\nSecond, mentorship programs tailored to junior staff, residents, or newly hired nurses may buffer the effects of loneliness by embedding them into established communication networks. By pairing less experienced professionals with senior staff, healthcare organizations can provide both emotional support and role-specific guidance, reducing the risk of emotional deprivation. This is particularly relevant in high-stress units such as emergency and intensive care, where the combination of workload and emotional demand heightens vulnerability [62, 63].\nThird, communication training customized to healthcare contexts should be developed. For example, simulation-based training for emergency departments can incorporate scripts for high-pressure interactions, while programs for medical secretaries may focus on managing hierarchical communication and patient-facing stressors. Tailoring content to unit-specific stressors ensures that employees acquire skills that are directly transferable to their daily routines. Such targeted training resonates with frameworks like the TeamSTEPPS program, which emphasizes communication, leadership, and mutual support as core competencies for patient safety [64].\nBeyond these unit-specific initiatives, developing social and emotional competencies more broadly (e.g., perspective-taking, navigating conflict, and assertively and empathetically speaking up) may mitigate the association between ED and OCC. Micro-interventions that provide clinicians with language and scripts for difficult conversations can be incorporated into simulation-based training. Additionally, organization-wide efforts that recognize loneliness as both a public health and productivity concern can shift norms. Recent national advisories recommend strengthening social infrastructure in workplaces through inclusive meeting practices, mentorship, and community building [22, 65].\nFinally, findings from this study can be linked to broader health workforce resilience frameworks. For instance, the World Health Organization’s framework highlights both individual-level capacity building and system-level reforms to improve working conditions [66]. Embedding loneliness reduction strategies within these frameworks could strengthen their impact and ensure alignment with institutional priorities such as patient safety, staff retention, and service quality.\nFor future research, adopting network-aware and multilevel designs would be highly informative. Sociometric mapping of advice and friendship ties, combined with repeated OCC measurements, could reveal how shifts in network structure relate to evolving communication climates. Multilevel designs could also determine whether interventions like structured huddles buffer the loneliness–communication link at individual and unit levels. Evaluating whether PSC training is most effective when coupled with structural – supports such as cross-disciplinary reviews or social connection initiatives – would address whether skills and opportunities operate complementarily [67, 68].\nIn summary, ED, and particularly LSC, were consistently linked with less favorable organizational communication climates among healthcare workers in our sample. PSC appeared to mitigate ED–OCC associations but had limited impact on LSC–OCC links. Demographic moderation was modest and selective, primarily involving gender and marital status. These findings support a dual-track intervention model: (1) institutional efforts to strengthen everyday social networks and normalize supportive communication practices, and (2) individual-level capacity building to help staff navigate emotionally laden situations. Combining both approaches promises to foster climates where information flows effectively, psychological safety is maintained, and cross-disciplinary collaboration thrives [47, 69].\n\n\n### Limitations\nAlthough the findings of this study provide meaningful insights into the associations between workplace loneliness and organizational communication climate, several limitations warrant careful consideration. First, the cross-sectional design restricts causal inference. While emotional deprivation and lack of social companionship were associated with less favorable communication climates, reverse pathways are equally plausible – for instance, a deficient or closed communication climate may foster employees’ feelings of isolation. Unmeasured common causes, such as leadership style or organizational culture, could also explain both loneliness and communication outcomes. As recent methodological reviews emphasize, future research should employ longitudinal, experimental, or mixed-method approaches to disentangle temporal ordering and underlying mechanisms, thereby strengthening causal interpretations.\nSecond, although demographic moderators (gender, marital status, education level, profession, and work unit) were systematically examined, most interaction effects were weak or non-significant. This pattern reduces concerns about strong confounding by demographic factors once perceived social competence and core loneliness dimensions were included. However, the possibility of subgroup-specific suppressor effects remains, and future research using larger, stratified samples may help clarify whether nuanced differences exist across demographic strata.\nThird, all variables were measured through self-report questionnaires, which may introduce response biases such as social desirability and common method variance. While statistical checks indicated no problematic multicollinearity, reliance on subjective reporting may limit the precision of estimates, particularly in socially sensitive domains such as loneliness. Future research could integrate objective or behavioral measures, such as sociometric network analyses, communication audits, or digital trace data, to triangulate findings.\nAnother limitation concerns the scope of outcome variables included in the study. While our primary focus was to investigate the role of workplace loneliness and perceived social competence in shaping organizational communication climate, we did not examine broader organizational outcomes such as job performance, engagement, or job satisfaction. These constructs are theoretically relevant and could provide additional insights into the consequences of workplace loneliness if included in future research. Furthermore, the potential mediating role of OCC in linking loneliness to such outcomes should be empirically tested to strengthen the explanatory power of this line of research.\nFourth, the study context was geographically limited to two university hospitals in İzmir, Türkiye’s third-largest city. Although this setting provides a valuable lens on healthcare professionals, the generalizability of findings to other sectors, cultural contexts, or organizational forms remains uncertain. Loneliness and social competence are socially embedded phenomena, and their meanings may vary across societies, organizational structures, and job designs. Cross-cultural comparative research and replication across industries would therefore enhance the robustness of conclusions.\nFinally, measurement decisions impose additional constraints. The Organizational Communication Climate Scale was operationalized as a composite score in this study, as extremely high correlations between its subdimensions indicated substantial overlap. While this choice was both conceptually and statistically defensible, it limited the ability to differentiate between managerial–employee versus peer communication processes. Future studies should examine these dimensions separately to illuminate whether workplace loneliness differentially affects top-down communication channels versus peer-level exchanges.\n\n\n### Conclusion\nThis study demonstrates that workplace loneliness – conceptualized as emotional deprivation and lack of social companionship – is consistently linked to less favorable organizational communication climates among healthcare professionals. Both dimensions exerted negative associations, though lack of social companionship emerged as the stronger and more stable predictor. Perceived social competence buffered the emotional deprivation–climate link, while demographic variables had only modest and selective moderating effects, primarily for gender and marital status.\nTheoretically, these findings advance the understanding of workplace loneliness by distinguishing between emotional and relational dimensions and clarifying their differential pathways into organizational communication climate. They highlight that while personal competencies such as social competence can mitigate emotional deprivation, relational deficits such as companionship loss are more directly tied to communication structures and norms.\nPractically, the results emphasize a dual-track approach. At the institutional level, strategies that strengthen everyday social ties ‒such as structured interdisciplinary huddles, peer mentoring, and inclusive debriefing practices – can enhance communication climates. At the individual level, building social and emotional competencies may help employees manage emotionally demanding interactions. By addressing both structural and personal aspects of workplace loneliness, organizations can sustain climates that foster open information exchange, psychological safety, and effective collaboration.\nIn sum, the study underscores that workplace loneliness is not only an individual challenge but also a systemic issue. Addressing it requires simultaneous investment in organizational practices and individual capacities to support resilient and communicative healthcare environments.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.\nSupplementary Material 1\nSupplementary Material 1\nSupplementary Material 2\nSupplementary Material 2", "domain": "affective_neuroscience"}
{"source": "PMC12729641", "title": "Knowledge Sharing in AI-Enabled Workplaces: A Social Cognitive Perspective on Usefulness Perceptions and Competition", "text": "# Knowledge Sharing in AI-Enabled Workplaces: A Social Cognitive Perspective on Usefulness Perceptions and Competition\n\n## Abstract\nThe integration of artificial intelligence (AI) into organizational processes brings both opportunities and challenges for knowledge sharing. Knowledge sharing remains a cornerstone of organizational learning and innovation, yet the emergence of AI introduces new complexities to this behavior. In particular, AI-related knowledge is both a valuable tool and a controversial technology, whose dual nature generates uncertainty in employees’ evaluations and decisions about sharing it. Drawing on social cognitive theory (SCT), this study develops a moderated mediation model to explain how personal cognitions and environmental cues jointly shape AI-related knowledge sharing. Within the SCT framework, perceived AI usefulness represents a personal cognitive evaluation, whereas anticipated positive response reflects a social outcome expectation. When employees perceive AI as highly useful, they are more likely to expect positive social feedback, which in turn motivates AI-related knowledge sharing behavior. Moreover, organizational competitive climate weakens this effect by acting as a social discount factor that reduces the perceived significance of social rewards. A three-wave survey of 519 Chinese employees supports these hypotheses, extending SCT by revealing how the dual nature of AI shapes employee outcome expectations and by identifying a socially grounded cognitive pathway that links perceived AI usefulness to knowledge sharing behaviors in organizational contexts.\n\n## Full Text\n\n\n### 1. Introduction\nAI technology, with its capabilities in automating tasks, improving decision-making, and facilitating other progress, has shown significant potential in enhancing the performance of certain jobs (Morandini et al., 2023; X. Yu et al., 2023; Olan et al., 2022; Hassani et al., 2020). However, mastering AI technology requires specific resources and expertise, such as effective system scaffolding and feedback (Wisniewski et al., 2020), computational resources and background knowledge (Cetindamar et al., 2022), and hands-on experience with AI (Li & Kim, 2024). These requirements serve as barriers to developing AI skills, leading to disparities in AI proficiency among employees within an organization (Cetindamar et al., 2022). In this context, encouraging employees with AI expertise to share their knowledge is critical for improving their colleagues’ AI skills and enhancing organizational effectiveness in the AI era (Chowdhury et al., 2022; Binsaeed et al., 2023).\nPrior research has identified various antecedents of knowledge sharing, including individual perceptions and organizational contextual factors (S. Wang & Noe, 2010). However, because of the distinctive nature of AI technology, the determinants of employees’ AI-related knowledge sharing may be more complex. Unlike traditional tools designed for specific tasks, AI is a transformative and fast-evolving technology that reshapes workflows and generates new insights across industries (Hassani et al., 2020), heightening employees’ perceptions of its usefulness. At the same time, AI’s rapid evolution raises concerns about accuracy, applicability, and usage specification, making it a source of professional and social controversy (Cortiñas-Lorenzo et al., 2024; Osasona et al., 2024; Zhou et al., 2024). On one hand, AI-related knowledge represents a valuable resource that allows employees to demonstrate expertise and contribute to collective performance, motivating them to share it. On the other hand, the same knowledge can be seen as a scarce source of competitive advantage or as a potentially risky and controversial tool, prompting employees to withhold it to protect personal interests or avoid accountability for negative outcomes. These opposing forces introduce uncertainty about the social and professional outcomes of sharing AI-related knowledge. Yet, existing research has offered limited explanation of how employees navigate this uncertainty when deciding whether to share AI knowledge.\nTo explain how employees make knowledge sharing decisions under such uncertainty, this study draws on social cognitive theory (SCT), which posits that individual behavior results from the reciprocal interaction among personal, behavioral, and environmental factors (Bandura, 1986). Within this framework, personal perceptions and expectations are key determinants of motivation (Schunk & DiBenedetto, 2020). For instance, employees’ perceptions of the usefulness of skill learning (such as improving job performance) have been shown to shape their expectations of desirable outcomes (such as career advancement or higher pay), which in turn encourages participation in developmental activities (Colquitt et al., 2000). Extending this logic to AI-enabled workplaces, two cognitive mechanisms become particularly salient: perceived AI usefulness, reflecting employees’ evaluation of how effectively AI enhances their work performance, and anticipated positive response, denoting their expectation of being recognized or appreciated by colleagues for sharing AI-related knowledge. When employees perceive AI as highly useful, they are more likely to expect that sharing their AI expertise will generate favorable social responses—such as acknowledgment, gratitude, or respect from peers—thus strengthening their motivation to engage in AI-related knowledge sharing.\nSocial cognitive theory further emphasizes that cognitive processes do not operate in isolation but are shaped by environmental influences that guide how individuals interpret and respond to social information (Bandura, 1986). Building on this premise, the organizational competitive climate represents a critical contextual cue that affects how employees evaluate the potential costs and benefits of sharing knowledge. In highly competitive environments, strong social comparison and status pressure increase the perceived personal costs of disclosure, while diminished trust and reciprocity reduce the credibility and possibility of positive feedback. Under such conditions, employees may discount or even doubt the significance of social rewards, weakening the motivational link between perceived AI usefulness and anticipated positive response. Conversely, in less competitive and more collaborative climates, reduced status pressure and stronger interpersonal trust create a psychologically safe environment for sharing. Employees in such contexts are more confident that their efforts to share AI knowledge will be understood and valued, reinforcing their expectations of favorable social outcomes.\nTo test these hypotheses, our study constructed a moderated mediation model and collected multi-wave survey data from 519 employees in China. The conceptual model and hypothesized relationships are illustrated in Figure 1. Through empirical analysis, we aim to contribute to both theoretical and practical discussions on AI knowledge sharing behavior by examining how perceived AI usefulness, anticipated positive response and organizational competitive climate interact to shape it. We hope our findings can provide new insights into promoting knowledge sharing in AI-integrated workplaces and offer strategic guidance for organizations navigating AI-driven transformations.\nThe remainder of this paper is structured as follows. Section 2 reviews the theoretical background and develops our hypotheses. Section 3 outlines the research design, including the sample, measures, and analytical strategy. Section 4 presents the empirical results. Section 5 discusses the theoretical and practical contributions, addresses the study’s limitations, and outlines directions for future research.\n\n\n### 2. Theory and Hypothesis Development\nSocial cognitive theory is a widely accepted model for explaining individual behavior (Compeau & Higgins, 1995). In the SCT model, personal factors and environmental factors jointly influence individuals’ behavior. Specifically, individuals cognitively evaluate both the environment and themselves, form outcome expectations of their actions based on this assessment, and then adopt behaviors accordingly (Bandura, 1999). In the field of management, SCT provides a key framework for explaining and predicting individual work behavior, with recent studies applying it to career self-management (S. D. Brown & Lent, 2019), knowledge sharing within project teams (Ren & Sun, 2024), and proactive service behavior (Zhan et al., 2025). By integrating cognitive and situational factors, SCT offers a comprehensive approach to understanding workplace behavior.\nFrom the perspective of SCT, knowledge sharing is a cognitively driven behavior shaped by personal cognition and environmental cues (Hsu et al., 2007). In this study, perceived AI usefulness and anticipated positive response are both conceptualized as personal factors: the former reflects employees’ cognitive appraisal of AI’s value in improving work performance, while the latter captures their anticipated social outcomes from engaging in knowledge sharing. Organizational competitive climate represents the environmental factor, indicating the extent to which interpersonal interactions and recognition are influenced by internal competition. Finally, AI-related knowledge sharing behavior constitutes the behavioral factor, reflecting employees’ actual engagement in knowledge exchange. Together, these components illustrate how personal cognition, environmental context, and behavior interact within the SCT framework to shape knowledge sharing decisions in AI-integrated workplaces.\nKnowledge sharing behavior refers to the provision of task information and know-how to help others and to collaborate with others to solve problems, develop new ideas, or implement policies or procedures (S. Wang & Noe, 2010). In the work context, knowledge is defined as the information processed by individuals including ideas, facts, expertise and judgments relevant for individual, team, and organizational performance (S. Wang & Noe, 2010; Akram et al., 2020). In today’s workplace, where knowledge workers play an increasingly critical role, the knowledge they proactively share helps organizations accumulate intellectual capital, supports employee growth, and enhances overall performance (O’Neill & Adya, 2007). Such knowledge sharing fosters problem-solving, drives innovation, and supports the dissemination of best practices, all of which are important for organizations to adapt to rapidly changing environments and maintain a sustainable competitive advantage (Nonaka et al., 1996; Z. Wang & Wang, 2012; Castaneda & Cuellar, 2020).\nUnder what circumstances are employees more willing to share their knowledge proactively? According to the SCT, when individuals believe they are capable of performing a task and achieving positive outcomes, they are more likely to engage in that behavior; conversely, if they doubt their ability, they may be less inclined to take action (Bandura, 1982, 1986; Igbaria & Iivari, 1995; Schunk & DiBenedetto, 2021). For example, Kankanhalli et al. (2005) have shown that employees who are confident in their knowledge and abilities are more willing to share insights with others and contribute to the organization. Thus, from the perspective of SCT, if employees perceive their shared knowledge as useful, such as solving job-related problems (Constant et al., 1996), helping their colleagues (Kankanhalli et al., 2005), or make a difference in their organization (Kollock, 1999; Wasko & Faraj, 2000), they are more likely to engage in knowledge sharing behavior.\nAI broadly refers to intelligent support systems built on algorithms, natural language processing, machine learning methods, and human intelligence, capable of learning, interacting, problem-solving and so on (Akkiraju et al., 2006). In recent years, AI has been increasingly applied in modern organizations, including but not limited to supporting decision-making, automating repetitive tasks, and enhancing information analysis (Raisch & Krakowski, 2021). Therefore, AI-related technologies, experiences, and information have become highly valuable knowledge resources in today’s work context, attracting increasing attention for their practical usefulness (Olan et al., 2022).\nDrawing on Davis’s (1989) definition of perceived usefulness in the context of technology, we define perceived AI usefulness as employees’ perception of AI technologies’ ability to enhance various aspects of their work. We propose that when employees perceive AI as useful, they are more likely to expect AI knowledge sharing to lead to positive outcomes. For example, they may anticipate that the AI knowledge they share will help colleagues solve complex work challenges (Memmert & Bittner, 2022; Johnson et al., 2022). Alternatively, they may expect that their contributions of AI knowledge will lead to innovation and breakthroughs for the organization (Mariani et al., 2023; Haefner et al., 2021). These beliefs increase their confidence in their knowledge sharing behavior—that is, they believe the knowledge they share can make a difference at work, thereby strengthening their motivation to share AI-related knowledge with others.\nFollowing this theoretical framework, we propose the following hypothesis:\nPerceived AI usefulness positively influences employees’ AI-related knowledge sharing behavior.\nBeyond the belief that useful AI-related knowledge can enhance work performance, employees’ perceptions of AI usefulness also foster proactive knowledge sharing behavior by strengthening their anticipation of positive response. SCT suggests that an individual’s behavioral motivation can be regulated by outcome expectations regarding social effects (Bandura, 1997). Anticipated positive response represents a specific form of social outcome expectation—that is, individuals’ cognitive anticipation of favorable emotional or relational reactions from others following their behavior. Unlike general intrinsic motivation or extrinsic motivation, anticipated positive response reflects the affective and interpersonal dimension of motivation, emphasizing the social approval employees expect from their peers (Exline et al., 2004).\nThe perception of AI usefulness significantly influences employees’ expectations of receiving positive feedback from knowledge sharing behaviors. As AI increasingly becomes a strategic asset (Olan et al., 2022), employees who perceive AI as useful tend to believe that sharing AI-related knowledge not only helps improve colleagues’ job performance but is also likely to be regarded as a valuable contribution to organizational success. This, in turn, leads them to expect that their efforts will be emotionally appreciated by peers—eliciting expressions of gratitude, recognition, and appreciation (Imran et al., 2025). Moreover, by providing useful knowledge, employees may position themselves as competent and resourceful individuals within the organization (Nguyen et al., 2021), which in turn fosters the expectation that others will respond with greater trust, respect, and acknowledgment. At the same time, such behaviors may also reinforce expectations of reciprocity, as employees anticipate that their knowledge-sharing efforts will be returned in future interactions with colleagues (Cropanzano & Mitchell, 2005). Collectively, these cognitive appraisals jointly shape employees’ anticipation of positive social feedback.\nThe anticipation of positive feedback, in turn, serves as a powerful motivator for employees to actively engage in AI-related knowledge-sharing behaviors. Within organizational settings, the pursuit of a strong professional reputation, favorable peer evaluations, and positive workplace relationships are key drivers of employee motivation (Carrillo et al., 2004; Perumal & Sreekumaran Nair, 2022). Given the inherent complexity and uncertainty of AI, the anticipation of positive feedback is important to employees because it provides psychological reassurance that their efforts will be recognized and valued. Moreover, this expectation reduces the perceived risks associated with AI-related knowledge-sharing, such as being judged, ignored, or losing face (Hao et al., 2022). When employees foresee appreciation or constructive responses from peers, they are more likely to interpret knowledge sharing as a high-reward, low-risk behavior. This positive anticipation not only boosts confidence but also strengthens their motivation to contribute, making engagement in AI-related knowledge-sharing more appealing and sustainable.\nGiven these relationships, it is reasonable to propose that anticipated positive response serves as a mediating mechanism between perceived AI usefulness and employees’ AI-related knowledge sharing behavior. When employees perceive AI as useful, they anticipate that sharing knowledge about AI will elicit positive responses from colleagues. Then, this expectation fosters their willingness to engage in knowledge sharing activities. Consequently, we hypothesize the following:\nAnticipated positive response mediates the relationship between perceived AI usefulness and employees’ AI-related knowledge sharing behavior.\nThe effect of perceived AI usefulness on anticipated positive response does not occur in isolation—it is shaped by the social environment in which employees work. According to Social Cognitive Theory (Bandura, 1986), individuals’ expectations of social outcomes are also influenced by environmental cues that shape how they interpret and respond to social information. Extending the psychological process proposed in Hypothesis 2, we consider how contextual conditions influence employees’ expectations of social feedback. One particularly important factor is the organizational competitive climate, which reflects the extent to which rewards and recognition depend on comparisons with peers (S. P. Brown et al., 1998), thereby shaping how employees evaluate the potential costs and social value of sharing their AI-related knowledge.\nIn highly competitive environments, employees operate under conditions of rivalry, social comparison, and uneven reward distribution (David et al., 2021). In such contexts, AI-related expertise is often viewed as a strategic power asset that enhances one’s distinctiveness and professional influence (Jia et al., 2025). Sharing this type of knowledge may thus feel like surrendering a personal advantage or inviting evaluation and imitation by peers, heightening both psychological and strategic risks. At the same time, intense competition undermines the trust and openness that normally facilitate reciprocity and cooperation (J. Yu et al., 2024; Ferrin et al., 2007). Expressions of gratitude or recognition become less frequent and may appear insincere, reducing the perceived possibility and credibility of social rewards. The complexity of AI further amplifies these concerns (Osasona et al., 2024), as employees may fear being misunderstood or criticized for their insights (Rezaei et al., 2024). Consequently, even when employees recognize AI’s usefulness, they may discount the potential benefits of positive social feedback, perceiving it as uncertain or insufficient to offset the tangible risks of knowledge disclosure. Together, these heightened personal costs and diminished social rewards lower the motivational salience of anticipated positive response, thereby weakening the positive relationship between perceived AI usefulness and expected social outcomes.\nConversely, in less competitive and more collaborative climates, interpersonal conflicts and status-driven comparisons are less prevalent, creating an environment of mutual trust and psychological safety (Wu et al., 2021). Employees in such settings tend to view AI-related knowledge as a shared resource that benefits both individuals and the collective (Edmondson, 1999). The reduced pressure of comparison lowers the perceived personal risks of disclosure, allowing employees to focus on the developmental and cooperative value of knowledge sharing. Acts of sharing are interpreted as collaborative and socially valued rather than self-threatening. Peers respond with genuine appreciation, recognition, and constructive feedback, making social rewards more predictable and emotionally meaningful (McEvily et al., 2003). This stability in interpersonal exchange reinforces employees’ confidence that their contributions will be understood and valued rather than misinterpreted or exploited. Consequently, employees perceive social feedback as a credible and rewarding outcome of sharing useful AI knowledge, strengthening the motivational link between perceived AI usefulness and anticipated positive response.\nBased on the above analysis, we hypothesize:\nOrganizational competitive climate negatively moderates the relationship between perceived AI usefulness and anticipated positive response, such that the relationship is weaker in high-competitive climates and stronger in low-competitive climates.\nBuilding on these insights, we propose a moderated mediation model in which organizational competitive climate not only moderates the direct relationship between perceived AI usefulness and anticipated positive response but also influences the mediating role of anticipated positive response in promoting AI-related knowledge sharing behavior.\nWhen employees perceive AI tools as useful, they tend to expect positive social feedback—such as recognition, enhanced reputation, and future rewards—which holds significant value for them. In turn, this motivates them to share AI-related knowledge. Thus, anticipated positive response serves as a crucial psychological mechanism linking perceived AI usefulness to knowledge sharing behavior.\nHowever, this mediating mechanism depends on the organizational competitive climate. In highly competitive environments, intensified interpersonal comparison and status concerns elevate the perceived risks and personal costs of knowledge sharing, while reduced trust and reciprocity make social rewards more uncertain and less meaningful. Consequently, they perceive limited social benefit and heightened personal risk, which together weaken the motivational influence of anticipated positive feedback. Conversely, in less competitive climates characterized by trust, collaboration, and psychological safety, the perceived costs of sharing are lower and social rewards more salient. Employees are more confident that their contributions will be understood, valued, and reciprocated, thereby strengthening the mediating role of anticipated positive response in linking perceived AI usefulness to AI knowledge sharing. Accordingly, we propose the following hypothesis:\nOrganizational competitive climate weakens the mediating effect of perceived AI usefulness through anticipated positive response in promoting AI-related knowledge sharing behavior.\n\n\n### 2.1. Social Cognitive Theory\nSocial cognitive theory is a widely accepted model for explaining individual behavior (Compeau & Higgins, 1995). In the SCT model, personal factors and environmental factors jointly influence individuals’ behavior. Specifically, individuals cognitively evaluate both the environment and themselves, form outcome expectations of their actions based on this assessment, and then adopt behaviors accordingly (Bandura, 1999). In the field of management, SCT provides a key framework for explaining and predicting individual work behavior, with recent studies applying it to career self-management (S. D. Brown & Lent, 2019), knowledge sharing within project teams (Ren & Sun, 2024), and proactive service behavior (Zhan et al., 2025). By integrating cognitive and situational factors, SCT offers a comprehensive approach to understanding workplace behavior.\nFrom the perspective of SCT, knowledge sharing is a cognitively driven behavior shaped by personal cognition and environmental cues (Hsu et al., 2007). In this study, perceived AI usefulness and anticipated positive response are both conceptualized as personal factors: the former reflects employees’ cognitive appraisal of AI’s value in improving work performance, while the latter captures their anticipated social outcomes from engaging in knowledge sharing. Organizational competitive climate represents the environmental factor, indicating the extent to which interpersonal interactions and recognition are influenced by internal competition. Finally, AI-related knowledge sharing behavior constitutes the behavioral factor, reflecting employees’ actual engagement in knowledge exchange. Together, these components illustrate how personal cognition, environmental context, and behavior interact within the SCT framework to shape knowledge sharing decisions in AI-integrated workplaces.\n\n\n### 2.2. Perceived AI Usefulness and Knowledge Sharing Behavior\nKnowledge sharing behavior refers to the provision of task information and know-how to help others and to collaborate with others to solve problems, develop new ideas, or implement policies or procedures (S. Wang & Noe, 2010). In the work context, knowledge is defined as the information processed by individuals including ideas, facts, expertise and judgments relevant for individual, team, and organizational performance (S. Wang & Noe, 2010; Akram et al., 2020). In today’s workplace, where knowledge workers play an increasingly critical role, the knowledge they proactively share helps organizations accumulate intellectual capital, supports employee growth, and enhances overall performance (O’Neill & Adya, 2007). Such knowledge sharing fosters problem-solving, drives innovation, and supports the dissemination of best practices, all of which are important for organizations to adapt to rapidly changing environments and maintain a sustainable competitive advantage (Nonaka et al., 1996; Z. Wang & Wang, 2012; Castaneda & Cuellar, 2020).\nUnder what circumstances are employees more willing to share their knowledge proactively? According to the SCT, when individuals believe they are capable of performing a task and achieving positive outcomes, they are more likely to engage in that behavior; conversely, if they doubt their ability, they may be less inclined to take action (Bandura, 1982, 1986; Igbaria & Iivari, 1995; Schunk & DiBenedetto, 2021). For example, Kankanhalli et al. (2005) have shown that employees who are confident in their knowledge and abilities are more willing to share insights with others and contribute to the organization. Thus, from the perspective of SCT, if employees perceive their shared knowledge as useful, such as solving job-related problems (Constant et al., 1996), helping their colleagues (Kankanhalli et al., 2005), or make a difference in their organization (Kollock, 1999; Wasko & Faraj, 2000), they are more likely to engage in knowledge sharing behavior.\nAI broadly refers to intelligent support systems built on algorithms, natural language processing, machine learning methods, and human intelligence, capable of learning, interacting, problem-solving and so on (Akkiraju et al., 2006). In recent years, AI has been increasingly applied in modern organizations, including but not limited to supporting decision-making, automating repetitive tasks, and enhancing information analysis (Raisch & Krakowski, 2021). Therefore, AI-related technologies, experiences, and information have become highly valuable knowledge resources in today’s work context, attracting increasing attention for their practical usefulness (Olan et al., 2022).\nDrawing on Davis’s (1989) definition of perceived usefulness in the context of technology, we define perceived AI usefulness as employees’ perception of AI technologies’ ability to enhance various aspects of their work. We propose that when employees perceive AI as useful, they are more likely to expect AI knowledge sharing to lead to positive outcomes. For example, they may anticipate that the AI knowledge they share will help colleagues solve complex work challenges (Memmert & Bittner, 2022; Johnson et al., 2022). Alternatively, they may expect that their contributions of AI knowledge will lead to innovation and breakthroughs for the organization (Mariani et al., 2023; Haefner et al., 2021). These beliefs increase their confidence in their knowledge sharing behavior—that is, they believe the knowledge they share can make a difference at work, thereby strengthening their motivation to share AI-related knowledge with others.\nFollowing this theoretical framework, we propose the following hypothesis:\nPerceived AI usefulness positively influences employees’ AI-related knowledge sharing behavior.\n\n\n### 2.3. Anticipated Positive Response as a Mediator\nBeyond the belief that useful AI-related knowledge can enhance work performance, employees’ perceptions of AI usefulness also foster proactive knowledge sharing behavior by strengthening their anticipation of positive response. SCT suggests that an individual’s behavioral motivation can be regulated by outcome expectations regarding social effects (Bandura, 1997). Anticipated positive response represents a specific form of social outcome expectation—that is, individuals’ cognitive anticipation of favorable emotional or relational reactions from others following their behavior. Unlike general intrinsic motivation or extrinsic motivation, anticipated positive response reflects the affective and interpersonal dimension of motivation, emphasizing the social approval employees expect from their peers (Exline et al., 2004).\nThe perception of AI usefulness significantly influences employees’ expectations of receiving positive feedback from knowledge sharing behaviors. As AI increasingly becomes a strategic asset (Olan et al., 2022), employees who perceive AI as useful tend to believe that sharing AI-related knowledge not only helps improve colleagues’ job performance but is also likely to be regarded as a valuable contribution to organizational success. This, in turn, leads them to expect that their efforts will be emotionally appreciated by peers—eliciting expressions of gratitude, recognition, and appreciation (Imran et al., 2025). Moreover, by providing useful knowledge, employees may position themselves as competent and resourceful individuals within the organization (Nguyen et al., 2021), which in turn fosters the expectation that others will respond with greater trust, respect, and acknowledgment. At the same time, such behaviors may also reinforce expectations of reciprocity, as employees anticipate that their knowledge-sharing efforts will be returned in future interactions with colleagues (Cropanzano & Mitchell, 2005). Collectively, these cognitive appraisals jointly shape employees’ anticipation of positive social feedback.\nThe anticipation of positive feedback, in turn, serves as a powerful motivator for employees to actively engage in AI-related knowledge-sharing behaviors. Within organizational settings, the pursuit of a strong professional reputation, favorable peer evaluations, and positive workplace relationships are key drivers of employee motivation (Carrillo et al., 2004; Perumal & Sreekumaran Nair, 2022). Given the inherent complexity and uncertainty of AI, the anticipation of positive feedback is important to employees because it provides psychological reassurance that their efforts will be recognized and valued. Moreover, this expectation reduces the perceived risks associated with AI-related knowledge-sharing, such as being judged, ignored, or losing face (Hao et al., 2022). When employees foresee appreciation or constructive responses from peers, they are more likely to interpret knowledge sharing as a high-reward, low-risk behavior. This positive anticipation not only boosts confidence but also strengthens their motivation to contribute, making engagement in AI-related knowledge-sharing more appealing and sustainable.\nGiven these relationships, it is reasonable to propose that anticipated positive response serves as a mediating mechanism between perceived AI usefulness and employees’ AI-related knowledge sharing behavior. When employees perceive AI as useful, they anticipate that sharing knowledge about AI will elicit positive responses from colleagues. Then, this expectation fosters their willingness to engage in knowledge sharing activities. Consequently, we hypothesize the following:\nAnticipated positive response mediates the relationship between perceived AI usefulness and employees’ AI-related knowledge sharing behavior.\n\n\n### 2.4. The Moderating Role of Organizational Competitive Climate\nThe effect of perceived AI usefulness on anticipated positive response does not occur in isolation—it is shaped by the social environment in which employees work. According to Social Cognitive Theory (Bandura, 1986), individuals’ expectations of social outcomes are also influenced by environmental cues that shape how they interpret and respond to social information. Extending the psychological process proposed in Hypothesis 2, we consider how contextual conditions influence employees’ expectations of social feedback. One particularly important factor is the organizational competitive climate, which reflects the extent to which rewards and recognition depend on comparisons with peers (S. P. Brown et al., 1998), thereby shaping how employees evaluate the potential costs and social value of sharing their AI-related knowledge.\nIn highly competitive environments, employees operate under conditions of rivalry, social comparison, and uneven reward distribution (David et al., 2021). In such contexts, AI-related expertise is often viewed as a strategic power asset that enhances one’s distinctiveness and professional influence (Jia et al., 2025). Sharing this type of knowledge may thus feel like surrendering a personal advantage or inviting evaluation and imitation by peers, heightening both psychological and strategic risks. At the same time, intense competition undermines the trust and openness that normally facilitate reciprocity and cooperation (J. Yu et al., 2024; Ferrin et al., 2007). Expressions of gratitude or recognition become less frequent and may appear insincere, reducing the perceived possibility and credibility of social rewards. The complexity of AI further amplifies these concerns (Osasona et al., 2024), as employees may fear being misunderstood or criticized for their insights (Rezaei et al., 2024). Consequently, even when employees recognize AI’s usefulness, they may discount the potential benefits of positive social feedback, perceiving it as uncertain or insufficient to offset the tangible risks of knowledge disclosure. Together, these heightened personal costs and diminished social rewards lower the motivational salience of anticipated positive response, thereby weakening the positive relationship between perceived AI usefulness and expected social outcomes.\nConversely, in less competitive and more collaborative climates, interpersonal conflicts and status-driven comparisons are less prevalent, creating an environment of mutual trust and psychological safety (Wu et al., 2021). Employees in such settings tend to view AI-related knowledge as a shared resource that benefits both individuals and the collective (Edmondson, 1999). The reduced pressure of comparison lowers the perceived personal risks of disclosure, allowing employees to focus on the developmental and cooperative value of knowledge sharing. Acts of sharing are interpreted as collaborative and socially valued rather than self-threatening. Peers respond with genuine appreciation, recognition, and constructive feedback, making social rewards more predictable and emotionally meaningful (McEvily et al., 2003). This stability in interpersonal exchange reinforces employees’ confidence that their contributions will be understood and valued rather than misinterpreted or exploited. Consequently, employees perceive social feedback as a credible and rewarding outcome of sharing useful AI knowledge, strengthening the motivational link between perceived AI usefulness and anticipated positive response.\nBased on the above analysis, we hypothesize:\nOrganizational competitive climate negatively moderates the relationship between perceived AI usefulness and anticipated positive response, such that the relationship is weaker in high-competitive climates and stronger in low-competitive climates.\nBuilding on these insights, we propose a moderated mediation model in which organizational competitive climate not only moderates the direct relationship between perceived AI usefulness and anticipated positive response but also influences the mediating role of anticipated positive response in promoting AI-related knowledge sharing behavior.\nWhen employees perceive AI tools as useful, they tend to expect positive social feedback—such as recognition, enhanced reputation, and future rewards—which holds significant value for them. In turn, this motivates them to share AI-related knowledge. Thus, anticipated positive response serves as a crucial psychological mechanism linking perceived AI usefulness to knowledge sharing behavior.\nHowever, this mediating mechanism depends on the organizational competitive climate. In highly competitive environments, intensified interpersonal comparison and status concerns elevate the perceived risks and personal costs of knowledge sharing, while reduced trust and reciprocity make social rewards more uncertain and less meaningful. Consequently, they perceive limited social benefit and heightened personal risk, which together weaken the motivational influence of anticipated positive feedback. Conversely, in less competitive climates characterized by trust, collaboration, and psychological safety, the perceived costs of sharing are lower and social rewards more salient. Employees are more confident that their contributions will be understood, valued, and reciprocated, thereby strengthening the mediating role of anticipated positive response in linking perceived AI usefulness to AI knowledge sharing. Accordingly, we propose the following hypothesis:\nOrganizational competitive climate weakens the mediating effect of perceived AI usefulness through anticipated positive response in promoting AI-related knowledge sharing behavior.\n\n\n### 3. Methods\nThe data were collected by the research team through the Credamo online survey platform, which provides access to diverse panels of employees in China. Participants were drawn from Credamo’s registered panel of working professionals, and screening criteria were applied to ensure that they were full-time employees with exposure to AI technologies in their work. The platform’s screening information indicated that all participants came from the information transmission, software and information technology services industry and the scientific research and technical services industry. These sectors represent the core domains of AI application in China, where employees are more likely to interact with AI tools in daily operations, problem-solving, and innovation processes. As such, they provide an appropriate context for examining employees’ perceptions of AI usefulness and their knowledge sharing behaviors related to AI. The sample covered a broad range of departments and job functions within these industries, providing a diverse and theoretically appropriate basis for examining the social–cognitive mechanisms underlying AI-related knowledge sharing.\nRespondents received small monetary incentives provided by the platform, consistent with common practice. The use of online surveys allowed for efficiency, broad coverage, and anonymity, which helped reduce social desirability bias, although it may also have introduced self-selection bias. We implemented a three-wave survey design conducted over the course of one month, from May to June 2024, with approximately two weeks between each wave. On average, participants spent 5–7 min completing the questionnaire, indicating that the survey imposed only a minimal burden.\nTo ensure data quality, multiple validation and screening procedures were implemented across all three waves. Each questionnaire included at least one attention-check item (e.g., “Please select ‘Very Satisfied’ for this question”) to identify inattentive responses. Cases that failed any attention check, completed the survey in less than one-third of the median completion time, or exhibited missing or patterned responses were removed prior to analysis. These data-screening procedures helped enhance the validity and reliability of the final dataset.\nAt Time 1 (T1), participants reported their perceived AI usefulness and provided demographic information. The initial sample was drawn from the Credamo platform after applying screening criteria, resulting in 795 valid questionnaires. All valid respondents were retained as a panel for subsequent follow-ups. At Time 2 (T2), the survey was sent to this panel, yielding 624 valid responses. Participants at T2 provided measures of organizational competitive climate and anticipated positive response. Following T2, the panel was further refined to include only valid respondents, who were then invited to complete the Time 3 (T3) survey. At T3, 519 valid questionnaires were collected, in which participants reported their AI-related knowledge sharing behavior. The full sample retention process across the three waves is illustrated in the Sample Flow Diagram (Figure 2).\nIn total, 519 employees (268 women, 51.6%) participated in all three surveys. Among them, 272 (52.4%) were under 30 years old, 490 (94.4%) were under 41, and 29 (5.6%) were between 41 and 60 years old. Before data collection, all participants were fully informed about the purpose and procedures of the study. They were explicitly told that their participation was voluntary and that they could withdraw at any time without any negative consequences. Participants were assured that all data would be collected and stored anonymously, with no personally identifiable information linked to their responses. The confidentiality of the data was strictly maintained, and responses were used solely for research purposes.\nAll measurement instruments in this study were adapted from well-established scales in prior research to suit the context of AI-related knowledge sharing. To ensure both linguistic and conceptual equivalence, we followed a standard translation–back translation procedure. The original English items were translated into Chinese by bilingual researchers and then independently back-translated into English by another translator. Any discrepancies were discussed and resolved through consensus to achieve semantic consistency and conceptual clarity.\nMinor contextual adjustments were made to ensure relevance to AI-enabled work settings (e.g., adapting terms such as “technology” to “AI”). The preliminary Chinese version was reviewed by subject-matter experts to assess content validity and cultural appropriateness. Based on their feedback, minor revisions were made to enhance clarity and readability.\nBefore formal data collection, a small-scale pilot test was conducted with working professionals familiar with AI applications. Participants were asked to complete the questionnaire and provide feedback on item clarity, comprehensibility, and response difficulty. No major issues were reported. The final Chinese versions of the measures and their English sources are provided below.\nWe used 5-point Likert scales (1 = strongly disagree to 5 = strongly agree) for all key variables in this study. The original English scales were translated into Chinese using standard translation/back translation procedures (Brislin, 1986).\nPerceived AI usefulness\nWe measured perceived AI usefulness using an adapted version of the five-item scale introduced by Choung et al. (2023). A sample item is “Using [AI virtual assistants/AI smart technologies] would enable me to accomplish tasks more quickly”. Higher scores correspond to higher levels of perceived AI usefulness. The Cronbach’s alpha coefficient for this scale was 0.80.\nAnticipated positive response\nWe adapted the subscale of the anticipated negative and positive peer responses scale developed by Exline et al. (2004) to measure anticipated positive response in the workplace. Participants were asked, “If your colleagues knew you were using AI to complete your work, how would they feel?” They then rated their responses to a series of items on a scale that included six positive reactions. A sample item is “admiring of you”. Higher scores indicate higher levels of anticipated positive response. The Cronbach’s alpha coefficient for this scale was 0.81.\nAI-related knowledge sharing behavior\nWe adapted a five-item scale of Connelly et al. (2012). Bavik et al. (2018) and Connelly et al. (2014) also adopted Connelly et al.’s (2012) scale to measure knowledge sharing in their studies. To fit the context of this study, the items were adapted to the AI-related domain, so that they specifically captured employees’ willingness to share knowledge concerning AI technologies. Participants were asked, “When your colleagues ask you for knowledge or information related to AI, how would you respond?” They then responded to five items used to assess the AI-related knowledge sharing behavior. Sample items include “looked into the request to make sure my answers were accurate.” Higher scores correspond to higher levels of knowledge sharing behavior. Cronbach’s alpha coefficient for this scale was 0.86.\nOrganizational competitive climate\nWe used a four-item scale, which was adapted from Fletcher et al. (2008), to assess the organizational competitive climate. A sample item is “The amount of recognition you get in this company depends on how you perform compared to others.” Higher scores indicate higher levels of organizational competitive climate. Cronbach’s alpha coefficient for this scale was 0.83.\nControl variables\nBecause previous research has suggested that age and gender can influence knowledge sharing behavior (Lazazzara & Za, 2020; Dietz et al., 2022; Chai et al., 2011; Farooq, 2024), we controlled for age and gender statistically to reduce potential confounding effects.\nAll data analyses were conducted using SPSS 26 and AMOS 24. First, we conducted preliminary analyses using SPSS and AMOS to examine reliability, convergent and discriminant validity, common method bias, and correlations among the variables. Then, we tested the hypotheses with SPSS PROCESS macro (version 4.1) created by Hayes (2013). Using the SPSS PROCESS macro (Model 4), we tested the direct effect of perceived AI usefulness on AI-related knowledge sharing behavior and its indirect effect through anticipated positive response, using 5000 bias-corrected bootstrap samples. After that, we further examined whether the mediation process was moderated by organizational competitive climate. The analysis of moderated mediation model was conducted using SPSS PROCESS macro (Model 7). Finally, we performed 5000-iteration bias-corrected bootstrap analysis to further examine the conditional indirect effects.\n\n\n### 3.1. Participants and Procedure\nThe data were collected by the research team through the Credamo online survey platform, which provides access to diverse panels of employees in China. Participants were drawn from Credamo’s registered panel of working professionals, and screening criteria were applied to ensure that they were full-time employees with exposure to AI technologies in their work. The platform’s screening information indicated that all participants came from the information transmission, software and information technology services industry and the scientific research and technical services industry. These sectors represent the core domains of AI application in China, where employees are more likely to interact with AI tools in daily operations, problem-solving, and innovation processes. As such, they provide an appropriate context for examining employees’ perceptions of AI usefulness and their knowledge sharing behaviors related to AI. The sample covered a broad range of departments and job functions within these industries, providing a diverse and theoretically appropriate basis for examining the social–cognitive mechanisms underlying AI-related knowledge sharing.\nRespondents received small monetary incentives provided by the platform, consistent with common practice. The use of online surveys allowed for efficiency, broad coverage, and anonymity, which helped reduce social desirability bias, although it may also have introduced self-selection bias. We implemented a three-wave survey design conducted over the course of one month, from May to June 2024, with approximately two weeks between each wave. On average, participants spent 5–7 min completing the questionnaire, indicating that the survey imposed only a minimal burden.\nTo ensure data quality, multiple validation and screening procedures were implemented across all three waves. Each questionnaire included at least one attention-check item (e.g., “Please select ‘Very Satisfied’ for this question”) to identify inattentive responses. Cases that failed any attention check, completed the survey in less than one-third of the median completion time, or exhibited missing or patterned responses were removed prior to analysis. These data-screening procedures helped enhance the validity and reliability of the final dataset.\nAt Time 1 (T1), participants reported their perceived AI usefulness and provided demographic information. The initial sample was drawn from the Credamo platform after applying screening criteria, resulting in 795 valid questionnaires. All valid respondents were retained as a panel for subsequent follow-ups. At Time 2 (T2), the survey was sent to this panel, yielding 624 valid responses. Participants at T2 provided measures of organizational competitive climate and anticipated positive response. Following T2, the panel was further refined to include only valid respondents, who were then invited to complete the Time 3 (T3) survey. At T3, 519 valid questionnaires were collected, in which participants reported their AI-related knowledge sharing behavior. The full sample retention process across the three waves is illustrated in the Sample Flow Diagram (Figure 2).\nIn total, 519 employees (268 women, 51.6%) participated in all three surveys. Among them, 272 (52.4%) were under 30 years old, 490 (94.4%) were under 41, and 29 (5.6%) were between 41 and 60 years old. Before data collection, all participants were fully informed about the purpose and procedures of the study. They were explicitly told that their participation was voluntary and that they could withdraw at any time without any negative consequences. Participants were assured that all data would be collected and stored anonymously, with no personally identifiable information linked to their responses. The confidentiality of the data was strictly maintained, and responses were used solely for research purposes.\n\n\n### 3.2. Measurement Adaptation and Translation\nAll measurement instruments in this study were adapted from well-established scales in prior research to suit the context of AI-related knowledge sharing. To ensure both linguistic and conceptual equivalence, we followed a standard translation–back translation procedure. The original English items were translated into Chinese by bilingual researchers and then independently back-translated into English by another translator. Any discrepancies were discussed and resolved through consensus to achieve semantic consistency and conceptual clarity.\nMinor contextual adjustments were made to ensure relevance to AI-enabled work settings (e.g., adapting terms such as “technology” to “AI”). The preliminary Chinese version was reviewed by subject-matter experts to assess content validity and cultural appropriateness. Based on their feedback, minor revisions were made to enhance clarity and readability.\nBefore formal data collection, a small-scale pilot test was conducted with working professionals familiar with AI applications. Participants were asked to complete the questionnaire and provide feedback on item clarity, comprehensibility, and response difficulty. No major issues were reported. The final Chinese versions of the measures and their English sources are provided below.\n\n\n### 3.3. Measures\nWe used 5-point Likert scales (1 = strongly disagree to 5 = strongly agree) for all key variables in this study. The original English scales were translated into Chinese using standard translation/back translation procedures (Brislin, 1986).\nPerceived AI usefulness\nWe measured perceived AI usefulness using an adapted version of the five-item scale introduced by Choung et al. (2023). A sample item is “Using [AI virtual assistants/AI smart technologies] would enable me to accomplish tasks more quickly”. Higher scores correspond to higher levels of perceived AI usefulness. The Cronbach’s alpha coefficient for this scale was 0.80.\nAnticipated positive response\nWe adapted the subscale of the anticipated negative and positive peer responses scale developed by Exline et al. (2004) to measure anticipated positive response in the workplace. Participants were asked, “If your colleagues knew you were using AI to complete your work, how would they feel?” They then rated their responses to a series of items on a scale that included six positive reactions. A sample item is “admiring of you”. Higher scores indicate higher levels of anticipated positive response. The Cronbach’s alpha coefficient for this scale was 0.81.\nAI-related knowledge sharing behavior\nWe adapted a five-item scale of Connelly et al. (2012). Bavik et al. (2018) and Connelly et al. (2014) also adopted Connelly et al.’s (2012) scale to measure knowledge sharing in their studies. To fit the context of this study, the items were adapted to the AI-related domain, so that they specifically captured employees’ willingness to share knowledge concerning AI technologies. Participants were asked, “When your colleagues ask you for knowledge or information related to AI, how would you respond?” They then responded to five items used to assess the AI-related knowledge sharing behavior. Sample items include “looked into the request to make sure my answers were accurate.” Higher scores correspond to higher levels of knowledge sharing behavior. Cronbach’s alpha coefficient for this scale was 0.86.\nOrganizational competitive climate\nWe used a four-item scale, which was adapted from Fletcher et al. (2008), to assess the organizational competitive climate. A sample item is “The amount of recognition you get in this company depends on how you perform compared to others.” Higher scores indicate higher levels of organizational competitive climate. Cronbach’s alpha coefficient for this scale was 0.83.\nControl variables\nBecause previous research has suggested that age and gender can influence knowledge sharing behavior (Lazazzara & Za, 2020; Dietz et al., 2022; Chai et al., 2011; Farooq, 2024), we controlled for age and gender statistically to reduce potential confounding effects.\n\n\n### 3.4. Analytical Strategy\nAll data analyses were conducted using SPSS 26 and AMOS 24. First, we conducted preliminary analyses using SPSS and AMOS to examine reliability, convergent and discriminant validity, common method bias, and correlations among the variables. Then, we tested the hypotheses with SPSS PROCESS macro (version 4.1) created by Hayes (2013). Using the SPSS PROCESS macro (Model 4), we tested the direct effect of perceived AI usefulness on AI-related knowledge sharing behavior and its indirect effect through anticipated positive response, using 5000 bias-corrected bootstrap samples. After that, we further examined whether the mediation process was moderated by organizational competitive climate. The analysis of moderated mediation model was conducted using SPSS PROCESS macro (Model 7). Finally, we performed 5000-iteration bias-corrected bootstrap analysis to further examine the conditional indirect effects.\n\n\n### 4. Results\nWe obtained valid responses from 519 participants across three survey waves. The results are presented in two stages. First, we report the preliminary analyses, including tests of reliability and validity, assessments of common method bias, and descriptive statistics. Next, we present the hypothesis testing outcomes to evaluate the proposed model and examine the robustness of the findings.\nBefore testing the hypotheses, we first assessed the convergent validity of the constructs. As shown in Table 1, the composite reliability (CR) values of all constructs exceeded the recommended threshold of 0.70, indicating satisfactory internal consistency. Although some average variance extracted (AVE) values were slightly below the cutoff of 0.50, their corresponding CR values were sufficiently high, suggesting that the convergent validity of the constructs remained acceptable (Fornell & Larcker, 1981).\nTo further examine discriminant validity, we calculated the heterotrait–monotrait (HTMT) ratios. The results in Table 2 show that all HTMT values were below the threshold of 0.85, thereby supporting adequate discriminant validity among the constructs.\nIn addition, a series of confirmatory factor analyses (CFAs) were conducted to compare the proposed four-factor model with several competing models (i.e., three-factor, two-factor, and single-factor models). As presented in Table 3, the four-factor model exhibited superior fit (χ2 = 401.775, df = 156, χ2/df = 2.575, TLI = 0.900, CFI = 0.918, RMSEA = 0.055, SRMR = 0.055) compared to the alternative models, confirming that the measurement model captures the distinct constructs as theorized. To further examine the robustness of the measurement structure across subgroups, a multi-group CFA was conducted by gender. The results supported configural, metric, and scalar invariance (ΔCFI ≤ 0.01, ΔRMSEA ≤ 0.015), indicating that the factor structure, loadings, and intercepts were consistent across groups (Cheung & Rensvold, 2002; Chen, 2007). These findings suggest that the measurement model operates equivalently among different respondent categories, allowing for valid comparison of structural relationships. Since age was included as a continuous control variable and its distribution was uneven across categories, additional invariance tests by age were not performed. Overall, the CFA and invariance test results confirm the adequacy, distinctiveness, and cross-group stability of the measurement model, providing a solid foundation for subsequent hypothesis testing.\nGiven the use of self-reported data, we also tested for common method bias (CMB) using Harman’s single-factor test on all measurement items. The test produced five factors with eigenvalues greater than 1, which reflects the number of items rather than the number of constructs. More importantly, the first unrotated factor explained only 24.5% of the total variance, well below the common 40% cutoff, suggesting that a single factor does not dominate the data. We also tested an unmeasured latent method factor model (Podsakoff et al., 2003), in which all items were loaded on both their theoretical constructs and a common latent factor. Adding this factor slightly improved the model fit (ΔCFI = 0.011, ΔTLI = 0.013, ΔRMSEA = 0.004), suggesting that the influence of common method variance was minimal. Together, these results indicate that common method bias was not a serious concern in this study.\nFinally, the descriptive statistics and correlations among the study variables are reported in Table 4. Perceived AI usefulness is positively correlated with both AI-related knowledge sharing behavior (r = 0.41, p < 0.01) and anticipated positive response (r = 0.45, p < 0.01); anticipated positive response is positively correlated with AI-related knowledge sharing behavior (r = 0.56, p < 0.01).\nFirst, using Model 4 of SPSS PROCESS macro, we tested the effect of perceived AI usefulness on AI-related knowledge sharing behavior and the mediation effect of anticipated positive response. As shown in Table 5, perceived AI usefulness is positively associated with AI-related knowledge sharing behavior (b = 0.50, p < 0.001), supporting H1. Furthermore, perceived AI usefulness is positively associated with anticipated positive response (b = 0.67, p < 0.001), and anticipated positive response is positively associated with AI-related knowledge sharing behavior (b = 0.38, p < 0.001). Then, we conducted a 5,000-iteration bias-corrected bootstrapping test, and the results showed that the indirect effect of perceived AI usefulness on AI-related knowledge sharing behavior via anticipated positive response is statistically significant (b = 0.25, 95% CI = [0.19, 0.33]). The mediation proportion (50.40%) was computed as the ratio of the indirect effect (0.25) to the total effect (0.50), indicating that approximately half of the total effect of perceived AI usefulness on knowledge sharing is transmitted through anticipated positive response. Therefore, H2 was supported.\nNext, we included organizational competitive climate in the proposed model as the moderator. To test this moderated mediation model, we estimated the parameters using Model 7 of SPSS PROCESS macro. As Table 6 shows, the interaction term of perceived AI usefulness and organizational competitive climate was statistically significant (b = −0.19, p = 0.02), suggesting that the correlation between perceived AI usefulness and anticipated positive response was moderated by organizational competitive climate. For descriptive purposes, we plotted predicted anticipated positive response against perceived AI usefulness, separately for low and high levels of organizational competitive climate (1 SD below the mean and 1 SD above the mean, respectively), as shown in Figure 3. Simple slope tests showed that while perceived AI usefulness had a strong significant positive correlation with anticipated positive response under low organizational competitive climate (b = 0.82, SE = 0.09, t = 9.36, p < 0.001), such correlation weakened when organizational competitive climate was high (b = 0.47, SE = 0.11, t = 4.33, p < 0.001). Thus, H3 was supported.\nIn addition, as shown in Table 6, the control variables of gender and age had significant effects on anticipated positive response. Specifically, gender was positively associated with anticipated positive response (b = 0.14, p < 0.01), indicating that female employees tended to anticipate higher levels of positive feedback from colleagues. Age also showed a significant positive effect (b = 0.09, p < 0.05), suggesting that older employees were more likely to expect favorable social reactions. This is consistent with prior research showing that sensitivity to interpersonal relationships and social rewards varies across different demographic groups (Williams & Polman, 2015; Ng & Feldman, 2010; Kooij et al., 2011). However, neither gender nor age had a significant effect on AI-related knowledge sharing behavior.\nFinally, we conducted a 5000-iteration bias-corrected bootstrap test to examine the mediation effect of anticipated positive response depending on different levels of organizational competitive climate. The results, which are shown in Table 7, indicated that the indirect effect of perceived AI usefulness on AI-related knowledge sharing behavior through anticipated positive response weakened at a high level of organizational competitive climate (b = 0.18, 95% CI = [0.10, 0.28]) but grew stronger at a low level of organizational competitive climate (b = 0.31, 95% CI = [0.22, 0.41]). The moderated mediation effect was negative and the index of moderated mediation was significant (b = −0.07, 95% CI = [−0.14, −0.01]). Thus, H4 was also supported.\n\n\n### 4.1. Preliminary Analyses\nBefore testing the hypotheses, we first assessed the convergent validity of the constructs. As shown in Table 1, the composite reliability (CR) values of all constructs exceeded the recommended threshold of 0.70, indicating satisfactory internal consistency. Although some average variance extracted (AVE) values were slightly below the cutoff of 0.50, their corresponding CR values were sufficiently high, suggesting that the convergent validity of the constructs remained acceptable (Fornell & Larcker, 1981).\nTo further examine discriminant validity, we calculated the heterotrait–monotrait (HTMT) ratios. The results in Table 2 show that all HTMT values were below the threshold of 0.85, thereby supporting adequate discriminant validity among the constructs.\nIn addition, a series of confirmatory factor analyses (CFAs) were conducted to compare the proposed four-factor model with several competing models (i.e., three-factor, two-factor, and single-factor models). As presented in Table 3, the four-factor model exhibited superior fit (χ2 = 401.775, df = 156, χ2/df = 2.575, TLI = 0.900, CFI = 0.918, RMSEA = 0.055, SRMR = 0.055) compared to the alternative models, confirming that the measurement model captures the distinct constructs as theorized. To further examine the robustness of the measurement structure across subgroups, a multi-group CFA was conducted by gender. The results supported configural, metric, and scalar invariance (ΔCFI ≤ 0.01, ΔRMSEA ≤ 0.015), indicating that the factor structure, loadings, and intercepts were consistent across groups (Cheung & Rensvold, 2002; Chen, 2007). These findings suggest that the measurement model operates equivalently among different respondent categories, allowing for valid comparison of structural relationships. Since age was included as a continuous control variable and its distribution was uneven across categories, additional invariance tests by age were not performed. Overall, the CFA and invariance test results confirm the adequacy, distinctiveness, and cross-group stability of the measurement model, providing a solid foundation for subsequent hypothesis testing.\nGiven the use of self-reported data, we also tested for common method bias (CMB) using Harman’s single-factor test on all measurement items. The test produced five factors with eigenvalues greater than 1, which reflects the number of items rather than the number of constructs. More importantly, the first unrotated factor explained only 24.5% of the total variance, well below the common 40% cutoff, suggesting that a single factor does not dominate the data. We also tested an unmeasured latent method factor model (Podsakoff et al., 2003), in which all items were loaded on both their theoretical constructs and a common latent factor. Adding this factor slightly improved the model fit (ΔCFI = 0.011, ΔTLI = 0.013, ΔRMSEA = 0.004), suggesting that the influence of common method variance was minimal. Together, these results indicate that common method bias was not a serious concern in this study.\nFinally, the descriptive statistics and correlations among the study variables are reported in Table 4. Perceived AI usefulness is positively correlated with both AI-related knowledge sharing behavior (r = 0.41, p < 0.01) and anticipated positive response (r = 0.45, p < 0.01); anticipated positive response is positively correlated with AI-related knowledge sharing behavior (r = 0.56, p < 0.01).\n\n\n### 4.2. Hypothesis Testing\nFirst, using Model 4 of SPSS PROCESS macro, we tested the effect of perceived AI usefulness on AI-related knowledge sharing behavior and the mediation effect of anticipated positive response. As shown in Table 5, perceived AI usefulness is positively associated with AI-related knowledge sharing behavior (b = 0.50, p < 0.001), supporting H1. Furthermore, perceived AI usefulness is positively associated with anticipated positive response (b = 0.67, p < 0.001), and anticipated positive response is positively associated with AI-related knowledge sharing behavior (b = 0.38, p < 0.001). Then, we conducted a 5,000-iteration bias-corrected bootstrapping test, and the results showed that the indirect effect of perceived AI usefulness on AI-related knowledge sharing behavior via anticipated positive response is statistically significant (b = 0.25, 95% CI = [0.19, 0.33]). The mediation proportion (50.40%) was computed as the ratio of the indirect effect (0.25) to the total effect (0.50), indicating that approximately half of the total effect of perceived AI usefulness on knowledge sharing is transmitted through anticipated positive response. Therefore, H2 was supported.\nNext, we included organizational competitive climate in the proposed model as the moderator. To test this moderated mediation model, we estimated the parameters using Model 7 of SPSS PROCESS macro. As Table 6 shows, the interaction term of perceived AI usefulness and organizational competitive climate was statistically significant (b = −0.19, p = 0.02), suggesting that the correlation between perceived AI usefulness and anticipated positive response was moderated by organizational competitive climate. For descriptive purposes, we plotted predicted anticipated positive response against perceived AI usefulness, separately for low and high levels of organizational competitive climate (1 SD below the mean and 1 SD above the mean, respectively), as shown in Figure 3. Simple slope tests showed that while perceived AI usefulness had a strong significant positive correlation with anticipated positive response under low organizational competitive climate (b = 0.82, SE = 0.09, t = 9.36, p < 0.001), such correlation weakened when organizational competitive climate was high (b = 0.47, SE = 0.11, t = 4.33, p < 0.001). Thus, H3 was supported.\nIn addition, as shown in Table 6, the control variables of gender and age had significant effects on anticipated positive response. Specifically, gender was positively associated with anticipated positive response (b = 0.14, p < 0.01), indicating that female employees tended to anticipate higher levels of positive feedback from colleagues. Age also showed a significant positive effect (b = 0.09, p < 0.05), suggesting that older employees were more likely to expect favorable social reactions. This is consistent with prior research showing that sensitivity to interpersonal relationships and social rewards varies across different demographic groups (Williams & Polman, 2015; Ng & Feldman, 2010; Kooij et al., 2011). However, neither gender nor age had a significant effect on AI-related knowledge sharing behavior.\nFinally, we conducted a 5000-iteration bias-corrected bootstrap test to examine the mediation effect of anticipated positive response depending on different levels of organizational competitive climate. The results, which are shown in Table 7, indicated that the indirect effect of perceived AI usefulness on AI-related knowledge sharing behavior through anticipated positive response weakened at a high level of organizational competitive climate (b = 0.18, 95% CI = [0.10, 0.28]) but grew stronger at a low level of organizational competitive climate (b = 0.31, 95% CI = [0.22, 0.41]). The moderated mediation effect was negative and the index of moderated mediation was significant (b = −0.07, 95% CI = [−0.14, −0.01]). Thus, H4 was also supported.\n\n\n### 5. Discussion\nThis study integrates the social cognitive perspective to explore how perceived AI usefulness affects AI-related knowledge sharing behavior, focusing on the mediating role of anticipated positive response and the moderating effect of organizational competitive climate. The findings indicate that perceived AI usefulness fosters knowledge sharing through its dual influence: directly by highlighting AI’s workplace relevance and indirectly by motivating employees via anticipated positive response. Additionally, the competitive climate within an organization significantly alters the strength of these relationships.\nOur study enriches the research on the antecedents of AI-related knowledge sharing behavior. Prior research has identified various psychological and organizational drivers of knowledge sharing, including individual characteristics, interpersonal and team characteristics and organizational contexts (S. Wang & Noe, 2010). However, AI-driven environments have their own unique characteristics. As a rapidly evolving and transformative force, AI brings with it potential, uncertainty and complexity (Cortiñas-Lorenzo et al., 2024; Osasona et al., 2024), introducing new dynamics into knowledge sharing behaviors. By focusing on the perceived usefulness of AI technology, an extension of the TAM (Davis, 1989), our study demonstrates the significant positive effect of perceived AI usefulness on knowledge sharing behaviors. This suggests that when AI technologies are seen as genuinely helpful for enhancing work performance, they stimulate broader voluntary knowledge contributions, enriching the existing understanding of how the perceived characteristics of knowledge itself can trigger collaborative behavior.\nSecond, our study clarifies the unique theoretical contribution of anticipated positive response as a distinct social–cognitive mechanism within the SCT framework. Anticipated positive response captures employees’ forward-looking expectations of social recognition, appreciation, and reciprocity following knowledge sharing—expectations that differ from general intrinsic motives or material rewards. In AI-related domains, where knowledge is often both complex and controversial, employees engage in a cognitive process of weighing potential social recognition and risks that may arise from disclosure. When employees perceive AI as useful for improving their work, they are more likely to expect constructive and appreciative feedback from colleagues, which in turn enhances their motivation to share. This perspective extends prior research on general outcome expectations (e.g., Hsu et al., 2007) by specifying the social dimension of expected rewards in technology-driven settings. Moreover, our findings show that demographic characteristics subtly shape anticipated positive response: older employees and women report stronger expectations of positive feedback, suggesting that sensitivity to social rewards varies across subgroups. Within the SCT framework, these findings suggest that demographic variables influence how individuals cognitively weigh social feedback and outcome expectations, enriching the theory’s account of personal factors in behavior regulation.\nAdditionally, our study explores the boundary conditions of the relationship of perceived AI usefulness between knowledge sharing by introducing organizational competitive climate as a moderating factor. While earlier research has taken into account contextual elements like organizational culture and leadership (e.g., Lam et al., 2021; Abbasi et al., 2020), limited attention has been paid to the moderating impact of internal competition (J. Yu et al., 2024). The results reveal that competition functions as a social discount factor: in highly competitive climates, intensified interpersonal comparison and status anxiety elevate the perceived personal costs of knowledge sharing, while trust and reciprocity decline, making potential social rewards both less likely and less credible. Consequently, the psychological value of anticipated positive feedback is reduced, weakening its ability to motivate behavior. This insight extends SCT by clarifying how environmental cues regulate the translation of cognitive appraisals into behavior, emphasizing that social expectations are contingent on perceived relational climates.\nFinally, study refines the application of social cognitive theory by identifying how cultural factors may influence the strength of its proposed mechanisms. Conducted in the Chinese organizational context, the findings suggest that collectivist cultural values—particularly the emphasis on interpersonal harmony and mianzi (Lin, 2011)—can heighten employees’ sensitivity to social evaluation, thereby strengthening the effect of anticipated positive response on knowledge-sharing behavior. This evidence indicates that the social–cognitive pathway proposed by SCT may operate differently across cultural settings, offering a more contextually grounded understanding of employee behavior in AI-integrated workplaces.\nIn addition to its theoretical insights, this study makes several methodological contributions that strengthen the rigor and transparency of research on AI-related behavior in organizational settings.\nFirst, by employing a three-wave time-lagged design, this study reduces potential common method bias and captures the temporal ordering among perceived AI usefulness, anticipated positive response, and knowledge sharing behavior. Although the two-week interval between survey waves cannot ensure full causal inference, it provides a reasonable temporal separation that balances internal validity with participant retention.\nIn addition, the study contributes to measurement transparency and validation in the AI–knowledge sharing domain. Using confirmatory factor analysis and multi-group invariance testing, we verified the discriminant validity of key constructs and reported the reliability indices in detail. This provides a clearer methodological reference for future studies developing or adapting similar constructs.\nFirst, our study indicates that perceived usefulness is a critical psychological trigger for voluntary knowledge exchange in digitally transforming workplaces. To foster this effect, when introducing and promoting new technologies in the workplace, organizations should focus less on top-down promotion and more on supporting employees in connecting technologies to their real work needs. This can involve offering practical, role-specific training, creating space for peer learning, and sharing grounded examples of how tools have helped colleagues solve problems or improve outcomes. Such efforts can encourage employees to see technology’s potential in their own terms, thereby fostering both the adoption and sharing of it.\nSecond, the mediating role of anticipated positive response suggests that organizations should focus on how employees expect the social feedback of sharing AI-related knowledge. Managers should integrate knowledge sharing into routine team interactions, such as project reviews, knowledge huddles, or learning sessions, and encourage open and friendly discussions. Leaders and supervisors should also demonstrate sharing behavior themselves, openly discussing their own practices and learnings to create psychological safety. In addition, organizations can build peer-driven recognition mechanisms, where employees naturally acknowledge those whose knowledge helped solve problems or improve workflows. Through these practices, organizations can foster a culture of openness and sharing, while encouraging the development of collaborative norms. In addition to fostering employees’ perception of AI usefulness, organizations should recognize that social and demographic diversity affects how employees respond to feedback. Designing inclusive communication and recognition systems that account for gender- and age-related differences in sensitivity to social evaluation can make knowledge-sharing initiatives more effective and equitable.\nThird, our study shows that organizational competitive climate weakens the relationship between perceived AI usefulness and anticipated positive response. Specifically, this implies that an overly competitive internal environment may discourage knowledge sharing by fostering distrust and self-protection. To address this, organizations should take deliberate steps to reduce unhealthy competition and foster trust-based cultures. This may involve redesigning incentive systems and de-emphasizing individual rankings or performance metrics, shifting the focus from “winning” to “learning together.” Additionally, creating spaces for collective experimentation, such as shared AI sandboxes, cross-functional learning labs, or collaborative problem-solving sessions, can further promote a cooperative mindset. These approaches reduce the social risk of sharing and help employees feel safer contributing their knowledge in AI-driven workplaces.\nFinally, as this study was conducted among employees in Chinese organizations, the findings provide context-specific insights into how cultural factors shape technology-related knowledge sharing. In collectivist workplaces, employees appear to be more responsive to peer recognition and relational feedback. For organizations operating in technology-intensive sectors, fostering open communication and mutual respect can help strengthen employees’ positive social expectations and willingness to share knowledge. Such practices not only facilitate more effective knowledge exchange but may also support the more appropriate use of emerging technologies in organizational contexts.\nDespite its valuable findings, this study has certain limitations.\nFirst, the present study was conducted in China, a cultural context characterized by collectivist norms, strong emphasis on interpersonal harmony, and concern for mianzi (‘face’) (Lin, 2011). These cultural features plausibly increase the salience of social feedback and make anticipated positive response a particularly potent motivator for discretionary behaviors such as knowledge sharing. At the same time, this cultural specificity means the observed strength of the anticipated positive response pathway may not generalize unchanged to more individualistic contexts, where material incentives or personal achievement motives may carry relatively greater weight. Thus, we present the Chinese setting as both a theoretical asset—because it highlights how SCT’s triadic interaction operates under strong relational norms—and a boundary condition that calls for cross-cultural replication. Future studies should test the model across national and organizational cultures and include direct measures of cultural values (e.g., collectivism–individualism, face concerns) to clarify how cultural context shapes the relative importance of social versus instrumental motivators.\nSecond, although gender and age were statistically controlled and theoretically integrated into the framework, other potentially relevant demographic and occupational variables—such as tenure, education, or job type—were not captured due to practical constraints related to survey length and respondent burden. Future studies could employ more comprehensive datasets or multi-source designs to examine how individual and occupational characteristics influence employees’ cognitive appraisals and social expectations in technology-enabled workplaces.\nThird, while the three-wave design helped mitigate common method bias and introduced temporal separation, the reliance on self-reported measures and a relatively short observation interval may constrain causal inference. This design choice reflected a balance between methodological rigor and participant retention, consistent with prior multi-wave organizational research (e.g., He et al., 2024). Nonetheless, future work could adopt longer-term longitudinal or experimental approaches to strengthen causal identification and validate the temporal dynamics proposed here.\nFourth, one limitation of our study is the convergent validity of two constructs: perceived AI usefulness and AI-related knowledge sharing behavior. The AVE values for these constructs were slightly below the conventional threshold of 0.50, although their composite reliability remained adequate. This may be due to restricted response variation for perceived AI usefulness, as most respondents rated AI usefulness consistently high, and behavioral heterogeneity for AI-related knowledge sharing behavior, since AI-related knowledge sharing involves diverse actions that do not always co-occur. We chose to retain all scale items to preserve the theoretical scope and comparability with prior research. Future studies could refine these scales, expand item sets, or apply techniques such as item parceling and multi-source data collection to further enhance convergent validity and overall measurement robustness.\nFinally, as this study focused on industries with high exposure to AI technologies, the generalizability of the findings may be limited to similar technology-intensive sectors. Future research could examine organizations with varying levels of digital maturity or technological exposure to assess the robustness of the observed social–cognitive mechanisms across different industrial contexts.\nBy incorporating a social cognitive framework, our study shows the multifaceted ways in which perceived AI usefulness influences knowledge sharing behavior, particularly through the mediating role of anticipated positive response and the moderating effect of competitive climate. These findings enrich our understanding of the psychological and contextual factors that shape knowledge sharing behaviors in AI-enabled workplaces. They also offer actionable insights for organizations aiming to foster collaboration and innovation in the face of AI-driven transformations.\n\n\n### 5.1. Theoretical Contributions\nOur study enriches the research on the antecedents of AI-related knowledge sharing behavior. Prior research has identified various psychological and organizational drivers of knowledge sharing, including individual characteristics, interpersonal and team characteristics and organizational contexts (S. Wang & Noe, 2010). However, AI-driven environments have their own unique characteristics. As a rapidly evolving and transformative force, AI brings with it potential, uncertainty and complexity (Cortiñas-Lorenzo et al., 2024; Osasona et al., 2024), introducing new dynamics into knowledge sharing behaviors. By focusing on the perceived usefulness of AI technology, an extension of the TAM (Davis, 1989), our study demonstrates the significant positive effect of perceived AI usefulness on knowledge sharing behaviors. This suggests that when AI technologies are seen as genuinely helpful for enhancing work performance, they stimulate broader voluntary knowledge contributions, enriching the existing understanding of how the perceived characteristics of knowledge itself can trigger collaborative behavior.\nSecond, our study clarifies the unique theoretical contribution of anticipated positive response as a distinct social–cognitive mechanism within the SCT framework. Anticipated positive response captures employees’ forward-looking expectations of social recognition, appreciation, and reciprocity following knowledge sharing—expectations that differ from general intrinsic motives or material rewards. In AI-related domains, where knowledge is often both complex and controversial, employees engage in a cognitive process of weighing potential social recognition and risks that may arise from disclosure. When employees perceive AI as useful for improving their work, they are more likely to expect constructive and appreciative feedback from colleagues, which in turn enhances their motivation to share. This perspective extends prior research on general outcome expectations (e.g., Hsu et al., 2007) by specifying the social dimension of expected rewards in technology-driven settings. Moreover, our findings show that demographic characteristics subtly shape anticipated positive response: older employees and women report stronger expectations of positive feedback, suggesting that sensitivity to social rewards varies across subgroups. Within the SCT framework, these findings suggest that demographic variables influence how individuals cognitively weigh social feedback and outcome expectations, enriching the theory’s account of personal factors in behavior regulation.\nAdditionally, our study explores the boundary conditions of the relationship of perceived AI usefulness between knowledge sharing by introducing organizational competitive climate as a moderating factor. While earlier research has taken into account contextual elements like organizational culture and leadership (e.g., Lam et al., 2021; Abbasi et al., 2020), limited attention has been paid to the moderating impact of internal competition (J. Yu et al., 2024). The results reveal that competition functions as a social discount factor: in highly competitive climates, intensified interpersonal comparison and status anxiety elevate the perceived personal costs of knowledge sharing, while trust and reciprocity decline, making potential social rewards both less likely and less credible. Consequently, the psychological value of anticipated positive feedback is reduced, weakening its ability to motivate behavior. This insight extends SCT by clarifying how environmental cues regulate the translation of cognitive appraisals into behavior, emphasizing that social expectations are contingent on perceived relational climates.\nFinally, study refines the application of social cognitive theory by identifying how cultural factors may influence the strength of its proposed mechanisms. Conducted in the Chinese organizational context, the findings suggest that collectivist cultural values—particularly the emphasis on interpersonal harmony and mianzi (Lin, 2011)—can heighten employees’ sensitivity to social evaluation, thereby strengthening the effect of anticipated positive response on knowledge-sharing behavior. This evidence indicates that the social–cognitive pathway proposed by SCT may operate differently across cultural settings, offering a more contextually grounded understanding of employee behavior in AI-integrated workplaces.\n\n\n### 5.2. Methodological Contributions\nIn addition to its theoretical insights, this study makes several methodological contributions that strengthen the rigor and transparency of research on AI-related behavior in organizational settings.\nFirst, by employing a three-wave time-lagged design, this study reduces potential common method bias and captures the temporal ordering among perceived AI usefulness, anticipated positive response, and knowledge sharing behavior. Although the two-week interval between survey waves cannot ensure full causal inference, it provides a reasonable temporal separation that balances internal validity with participant retention.\nIn addition, the study contributes to measurement transparency and validation in the AI–knowledge sharing domain. Using confirmatory factor analysis and multi-group invariance testing, we verified the discriminant validity of key constructs and reported the reliability indices in detail. This provides a clearer methodological reference for future studies developing or adapting similar constructs.\n\n\n### 5.3. Practical Implications\nFirst, our study indicates that perceived usefulness is a critical psychological trigger for voluntary knowledge exchange in digitally transforming workplaces. To foster this effect, when introducing and promoting new technologies in the workplace, organizations should focus less on top-down promotion and more on supporting employees in connecting technologies to their real work needs. This can involve offering practical, role-specific training, creating space for peer learning, and sharing grounded examples of how tools have helped colleagues solve problems or improve outcomes. Such efforts can encourage employees to see technology’s potential in their own terms, thereby fostering both the adoption and sharing of it.\nSecond, the mediating role of anticipated positive response suggests that organizations should focus on how employees expect the social feedback of sharing AI-related knowledge. Managers should integrate knowledge sharing into routine team interactions, such as project reviews, knowledge huddles, or learning sessions, and encourage open and friendly discussions. Leaders and supervisors should also demonstrate sharing behavior themselves, openly discussing their own practices and learnings to create psychological safety. In addition, organizations can build peer-driven recognition mechanisms, where employees naturally acknowledge those whose knowledge helped solve problems or improve workflows. Through these practices, organizations can foster a culture of openness and sharing, while encouraging the development of collaborative norms. In addition to fostering employees’ perception of AI usefulness, organizations should recognize that social and demographic diversity affects how employees respond to feedback. Designing inclusive communication and recognition systems that account for gender- and age-related differences in sensitivity to social evaluation can make knowledge-sharing initiatives more effective and equitable.\nThird, our study shows that organizational competitive climate weakens the relationship between perceived AI usefulness and anticipated positive response. Specifically, this implies that an overly competitive internal environment may discourage knowledge sharing by fostering distrust and self-protection. To address this, organizations should take deliberate steps to reduce unhealthy competition and foster trust-based cultures. This may involve redesigning incentive systems and de-emphasizing individual rankings or performance metrics, shifting the focus from “winning” to “learning together.” Additionally, creating spaces for collective experimentation, such as shared AI sandboxes, cross-functional learning labs, or collaborative problem-solving sessions, can further promote a cooperative mindset. These approaches reduce the social risk of sharing and help employees feel safer contributing their knowledge in AI-driven workplaces.\nFinally, as this study was conducted among employees in Chinese organizations, the findings provide context-specific insights into how cultural factors shape technology-related knowledge sharing. In collectivist workplaces, employees appear to be more responsive to peer recognition and relational feedback. For organizations operating in technology-intensive sectors, fostering open communication and mutual respect can help strengthen employees’ positive social expectations and willingness to share knowledge. Such practices not only facilitate more effective knowledge exchange but may also support the more appropriate use of emerging technologies in organizational contexts.\n\n\n### 5.4. Limitations and Future Directions\nDespite its valuable findings, this study has certain limitations.\nFirst, the present study was conducted in China, a cultural context characterized by collectivist norms, strong emphasis on interpersonal harmony, and concern for mianzi (‘face’) (Lin, 2011). These cultural features plausibly increase the salience of social feedback and make anticipated positive response a particularly potent motivator for discretionary behaviors such as knowledge sharing. At the same time, this cultural specificity means the observed strength of the anticipated positive response pathway may not generalize unchanged to more individualistic contexts, where material incentives or personal achievement motives may carry relatively greater weight. Thus, we present the Chinese setting as both a theoretical asset—because it highlights how SCT’s triadic interaction operates under strong relational norms—and a boundary condition that calls for cross-cultural replication. Future studies should test the model across national and organizational cultures and include direct measures of cultural values (e.g., collectivism–individualism, face concerns) to clarify how cultural context shapes the relative importance of social versus instrumental motivators.\nSecond, although gender and age were statistically controlled and theoretically integrated into the framework, other potentially relevant demographic and occupational variables—such as tenure, education, or job type—were not captured due to practical constraints related to survey length and respondent burden. Future studies could employ more comprehensive datasets or multi-source designs to examine how individual and occupational characteristics influence employees’ cognitive appraisals and social expectations in technology-enabled workplaces.\nThird, while the three-wave design helped mitigate common method bias and introduced temporal separation, the reliance on self-reported measures and a relatively short observation interval may constrain causal inference. This design choice reflected a balance between methodological rigor and participant retention, consistent with prior multi-wave organizational research (e.g., He et al., 2024). Nonetheless, future work could adopt longer-term longitudinal or experimental approaches to strengthen causal identification and validate the temporal dynamics proposed here.\nFourth, one limitation of our study is the convergent validity of two constructs: perceived AI usefulness and AI-related knowledge sharing behavior. The AVE values for these constructs were slightly below the conventional threshold of 0.50, although their composite reliability remained adequate. This may be due to restricted response variation for perceived AI usefulness, as most respondents rated AI usefulness consistently high, and behavioral heterogeneity for AI-related knowledge sharing behavior, since AI-related knowledge sharing involves diverse actions that do not always co-occur. We chose to retain all scale items to preserve the theoretical scope and comparability with prior research. Future studies could refine these scales, expand item sets, or apply techniques such as item parceling and multi-source data collection to further enhance convergent validity and overall measurement robustness.\nFinally, as this study focused on industries with high exposure to AI technologies, the generalizability of the findings may be limited to similar technology-intensive sectors. Future research could examine organizations with varying levels of digital maturity or technological exposure to assess the robustness of the observed social–cognitive mechanisms across different industrial contexts.\n\n\n### 5.5. Conclusions\nBy incorporating a social cognitive framework, our study shows the multifaceted ways in which perceived AI usefulness influences knowledge sharing behavior, particularly through the mediating role of anticipated positive response and the moderating effect of competitive climate. These findings enrich our understanding of the psychological and contextual factors that shape knowledge sharing behaviors in AI-enabled workplaces. They also offer actionable insights for organizations aiming to foster collaboration and innovation in the face of AI-driven transformations.", "domain": "affective_neuroscience"}
{"source": "PMC12730951", "title": "The Challenge of “Defining” Emotions", "text": "# The Challenge of “Defining” Emotions\n\n## Abstract\nTaking a cognitive perspective on emotions as generally exemplified by appraisal theories, I suggest that attempts to “define” emotions is a theoretical exercise whose goal should be to specify necessary and jointly sufficient conditions for something to be an emotion. To this end, I advance arguments in support of the proposal that genuine emotions have the five necessary characteristics of being (i) intentional (i.e., about something), (ii) personally significant, (iii) valenced, (iv) consciously experienced, and (v) insuppressible. Collectively, these properties distinguish emotions from other kinds of mental states. I also argue that attempts to define emotions should resist the temptation to incorporate into definitions characteristics of emotions that are not always present, even though, when they are present, those characteristics may be typical and highly salient. It is suggested that two characteristics that are routinely taken to be constitutive of emotions—bodily changes and facial expression—are just such characteristics; they are typical and salient but not in fact necessary as evidenced by the fact that many (especially low intensity) emotions occur without them.\n\n## Full Text\n\n\n### 1. Introduction\nThat emotions are ill-defined and poorly understood has been acknowledged for decades, especially by psychologically-oriented emotion theorists (e.g., [1,2,3,4,5,6,7,8]), a fact that was the impetus behind this special edition of Brain Sciences. But what would it mean to “define” emotions? It certainly would not mean to define the word “emotion” as used in everyday discourse. That is the task of lexicographers, not of emotion theorists. Indeed, it is largely because the everyday use of the word “emotion” is too vague for scientific purposes that emotion theorists seem not to agree about what emotions are. In fact, lack of clarity about the referents of psychological constructs is quite a general problem in psychology [9]. Addressing important questions about what emotions do and how they do it presupposes that we agree about what emotions are, which we don’t. What is needed is an acceptable characterization of emotions which, while reasonably compatible with the everyday understanding of the emotion concept, is precise, scientifically sound, and clinically useful. The task of providing such a characterization is an exercise in theoretical psychology rather than an empirical enterprise. In what follows, I shall address this task by undertaking a conceptual analysis of the emotion construct. Primarily on the basis of a priori reasoning, I shall propose what I consider to be plausible necessary and jointly sufficient conditions for something to count as an emotion, thereby offering, for future use by affect scientists, a consistent criterion for determining whether something is or is not an emotion.\nInterestingly, professional societies often take on the task of specifying precisely what it is that key terms in their domains refer to. For example, the everyday use of the word “planet” includes the idea that a planet is a large body that revolves around the sun or around some other star. While surely a reasonable account of the everyday use of the word, for astronomers it was problematic in that it allowed various kinds of objects to implausibly count as planets. Accordingly, in 2006 the International Astronomical Union (IAU) defined the term for scientific purposes specifying three necessary conditions for an object to count as a planet, conditions which famously led to the demotion of Pluto from planet to “dwarf” planet. A second example pertains to the nature of pain, a common English dictionary definition of which is something like “a distressing sensation in a particular part of the body” but this was too vague for scientific and medical purposes. Although the International Association for the Study of Pain (IASP) already had a formal definition that it had approved in 1979, even that was found lacking, so 40 years later it approved (and justified) a modified definition of pain as “an unpleasant sensory and emotional experience associated with, or resembling that associated with, actual or potential tissue damage” [10]. Perhaps the International Society for Research on Emotion, should follow the examples of the IAU and IASP.\nIt is important to understand that attempting to specify characteristics that are necessary and sufficient for something to be an emotion means offering reasons for why it makes sense to stipulate that anything that is an emotion should have all of those characteristics. It is a proposal for how to constrain and make precise the emotion concept. This means, to take one of the characteristics that I shall propose as an example, that when I suggest that for something to be an emotion it must be intrinsically valenced, I am not saying that being intrinsically valenced is a fact about emotions, but rather that a formal characterization of the emotion construct should acknowledge valence as an inclusion criterion for the category of emotions. Furthermore, to the extent that it is not possible to specify sufficiency requirements for something to plausibly count as an emotion, it should, at a minimum, be possible to specify necessary characteristics which allow near-miss non-exemplars to be distinguished from legitimate exemplars (as astronomers were able to distinguish Pluto from Earth, Mars, Saturn, etc.).\nI approach the task of specifying plausible candidates for necessary characteristics for something to count as an emotion from a cognitive science perspective. Specifically, my orientation is that of an account of emotion sometimes referred to as the OCC model, so-called after its three authors, Ortony, Clore and Collins [11], a model which is an instance of a class of widely held emotion theories known as (cognitive) appraisal theories (e.g., [8,12,13,14,15,16,17]). To set the stage, a brief digression into the basic ideas behind appraisal theories will be helpful. The central tenet of such theories is that as we go about our daily lives we are always evaluating and forming mental representations of the things that we perceive as going on in and around us in terms of their relevance to our past, present, and future concerns [18]. These appraisals of our worlds—these cognitive construals—underlie our emotions, with different emotion types being grounded in different kinds of appraisals. The same situation often can be construed in more than one way (even by the same individual). So, for example, construing a situation as (something like) the successful avoidance of a prospective harm, is a condition for the emergence of one type of emotion (which in English we might call “relief”) whereas the same situation construed as the confirmation of a prediction could underlie the emergence of a different emotion type (e.g., gratification). The plausibility of this general approach is particularly obvious when one considers the different emotions experienced by the participants in competitive sporting events. Take, for instance, the 2022 World Cup final in Qatar between Argentina and France (a game which, incidentally, had a world-wide viewing audience of close to 1.5 billion people). With the outcome still undecided after 120 min of grueling football, Argentina finally defeated France in a very suspenseful penalty shootout. Because the players of the opposing teams were focusing on [and therefore evaluating (i.e., appraising)] the outcome in terms of their different wants and want-nots, likes and dislikes, and so on, their emotions in response to the same event were very, very different. At a minimum, the Argentinians likely appraised the event of their winning the match as something along the lines of the attainment of a highly desirable outcome, while their defeated French opponents construed it as the failure to attain the same. The different ways of appraising—the different construals of—the same event were the foundation of the different emotions (e.g., joy versus disappointment) experienced by the players (and to a great extent also the supporters) of the two teams. They felt the way they did because they construed the event the way they did.\nBefore turning to the main concern of this article—the postulation of necessary conditions for something to be an emotion—I need to raise three important points. First, I take emotions to be similar to thoughts, perceptions, intentions, and wants, in that whatever their differences, they are all members of the category of mental states. Organisms without minds (and brains) might have reflexes or at least exhibit reflex-like behaviors, but they cannot have (i.e., experience) what we would consider to be emotions. Second, it is helpful to make a clear distinction between emotions and affect. I take affect to be a general construct pertaining to evaluation, so while all emotions are affective states, not all affective states are emotions. For example, the state that my colleagues and I have characterized as undifferentiated affect is not an emotion [11]. It is just a general, nonspecific, positive or negative state, often inaccessible to consciousness (see also [19] and Russell [20] on Core Affect). In viewing, affect as a superordinate construct pertaining to evaluation, I am in general agreement with the position of Peter Walla and colleagues in their article in this special issue of this journal [21].\nFinally, in any discussion of emotions, it is important to distinguish between particular instances of emotions and what I call emotion types. To understand the difference, notice that although the English language has many words that refer in one way or another to anger (e.g., “aggravated”, “annoyed”, “enraged”, “irritated”, “livid”, “peeved”), there is only one word that refers to relief. So, while we might refer to a particular instance of anger using one of the many anger words, they all refer to (different aspects or intensities of) the one general emotion type, whereas “relief” is the only word available in English to refer to the myriad subtly different kinds of instances of the emotion type that in OCC we characterize as (a positive feeling about) the disconfirmation of an envisaged undesirable event [11] (p. 103). A key implication of the lack of a reliable mapping from emotion types to natural language terms is that emotion types need to be characterized in terms of different kinds of underlying cognitions rather than in terms of the emotion words found in any particular language.\n\n\n### 2. Five Essential Characteristics of Emotions\nAs already indicated, along with most psychologically-oriented emotion theorists, I take the view that evaluative appraisals are the cognitive underpinnings of emotions. Consider, for example, a young man who is proud of having saved a child from drowning. The man construes the situation in terms of his belief that he saved a child from drowning, which he evaluates as a good, probably praiseworthy, act. The point to be emphasized here is that the man’s appraisal of what he did is a cognition (in this case, a conscious belief) that has specific content, and in general, regardless of their fidelity to the facts and regardless of whether or not we are aware of them, such cognitions always have content, or objects—they are about something. The objects of appraisals are representable linguistically as the complements of cognitive verbs such as “anticipate”, “believe”, “contemplate”, “envision”, “imagine”, and so on, verbs that express propositional attitudes [22]. The technical (philosophical) term for this feature of cognitions—having objects, or being about something—is intentionality, and because the cognitions that subserve emotions are intentional, emotions themselves are intentional. If one is relieved, or sad, or angry, one is relieved that something specific did (or didn’t) happen, sad about something specific, or angry about something (or with someone, etc.). On this view, a person who reports being sad about things in general (i.e., about nothing in particular) is better considered to be reporting a mood rather than a specific emotion. Furthermore, although a detailed justification is not possible here, I believe that a case can be made for the general statement that the object of an emotion is always the same as the object of the construal that is its cognitive basis. So, if the man’s belief about his aquatic heroics is the basis of his pride, the object of that emotion will be the same as the object of the underlying cognition, namely, saving the child from drowning.\nImportantly, not every construal results in an emotion. Although the existence of an emotion necessitates the existence of a corresponding cognition, the converse is not true. The existence of a cognition does not guarantee that an emotion will emerge (hence the caveat towards the end of the previous paragraph indicting the possible conditionality of the man experiencing pride). As will be discussed in the next section, for an emotion to arise other necessary conditions have to be satisfied, including the fact that whatever it is that the emotion is about has to somehow matter to the person experiencing the emotion.\nOne advantage of taking intentionality to be a necessary characteristic of emotions is that it helps us to distinguish emotions from moods (e.g., irritable, joyful). Even though one may know the cause of a mood, moods are not about their causes, and in cases where moods appear to be about something (e.g., as in clinical depression), they aren’t about anything in particular. Thus, whereas you might be depressed (or sad, or dejected) about the fact that the government failed to pass a piece of legislation you really hoped would pass (emotion), it seems odd to say that your depressed mood is about the failed legislation, even though the failure to pass the legislation may well have been a contributing cause of your depressed mood (because you view things in general as being a mess). Interestingly, most emotion types do not allow corresponding moods. We do not think that a person can be in a proud mood, or a relieved mood, or a resentment mood. In view of the above, it seems reasonable to restrict the emotion construct to mental states whose objects are distinct and specifiable, and to treat cases in which there is no distinct and specifiable object, or no object at all, as moods. Moods are perhaps best viewed as diffuse affective states which give affective coloration to most of what is being experienced, while also lowering the threshold for getting into mood-compatible emotional states.\nThe idea that moods are not necessarily intentional is a more principled way of distinguishing moods from emotions than, for example, duration which, although frequently cited as the key difference between moods and emotions, is not a reliable distinguishing characteristic because not all moods last longer than all emotions (some moods pass in a few minutes, and some emotions can last for hours). Intentionality also provides a ready way of distinguishing emotions from (emotional) traits (e.g., aggressive, greedy), which, in spite of their emotional associations, are not emotions. Just as being in a bad mood does not necessitate that one is irritable about anything in particular, so too does being aggressive not necessitate that one is aggressive towards anyone in particular. Even more obviously, traits are not states. Traits are merely tendencies, proclivities, summaries of behaviors; they pertain to particular domains, to be sure, but they aren’t about anything specific.\nI take it as self-evident that for an emotion to arise, one has to care about whatever it is that the emotion is about, meaning that it makes no sense to say that one has an emotion about something about which one harbors an attitude of indifference [23,24]. This is what I mean by saying that for a mental state to count as an emotion its object must have (some degree of) personal significance for the experiencing individual. Thus, I am taking personal significance to be a measure of something like subjective importance—the degree to which someone cares about something. Consider as a simple illustration, the case of a person of modest means who comes to realize that they are bound to lose a trivially small bet, say a dollar, made on the outcome of some event, and compare this with the same individual having made a recklessly large bet, say five hundred dollars, on the same event. Focusing only on the anticipated monetary loss (and ignoring complexities such as possible issues of pride or embarrassment relating to the making, or failure to make, a correct prediction, and so on), we can suppose that in the first case, the person really wouldn’t care much about the prospect of losing a dollar, whereas in the second case, the person would care a great deal about losing five hundred dollars. In other words, losing a trivial amount would have no personal significance for the person, but losing the large amount would have a great deal of significance. From this, we can surmise that unlike the prospect of the large loss, which we would expect to result in some degree of an emotion (e.g., anxiety), the prospect of the trivial loss would evince no emotion at all (notwithstanding Ludwig van Beethoven’s Opus 129!). In general, it seems plausible to suppose that the magnitude of the personal significance of a construal is highly determinative of the intensity of any associated emotion.\nThe example above brings to light an important issue: as the size of the bet increases from a negligible amount towards a recklessly large amount there must come a point at which the prospect of losing the wager acquires some degree of personal significance for the individual (who, recall, is a person of modest means). In our OCC model we addressed this issue by proposing the idea of an emotion threshold—the point at which (for a particular individual, at a particular time, with respect to a particular emotion type) the magnitude of what we called the emotion potential of a cognition would be sufficient to allow an emotion to emerge [11] (pp. 215–281). This transition we viewed as a phase transition wherein at a certain point a quantitative change leads to a qualitative change as when, for example, a change in the temperature of H2O results in its transition from a liquid, qualitative, state (water) to a different, solid, qualitative state (ice). We proposed that when the quantitative dimension of emotion potential crosses the emotion threshold there is a transition from the qualitative state of an affect-free cognition to a different, affect-laden, qualitative state (an emotion). Furthermore, we realized that whereas conceiving of the quantitative dimension of the content of a cognition as emotion potential makes sense, conceiving of the quantitative dimension of the content of an emotion does not (because the potential has been realized). Accordingly, we proposed that when applied to the post-transition state, the quantitative dimension should be viewed as the intensity of the emotion. But, this surely is not right! A quantitative dimension cannot change as a function of whether a transition point has been reached—temperature remains temperature, regardless of the state that H2O is in. For this reason alone, in the case of emotions, the quantitative dimension is better conceived of as something like personal significance, which is just as applicable to the content of an emotion as to the content of the cognition that underlies it, while also not implying any pre- to post-transition identity change of the dimension itself. Reconceptualizing the quantitative dimension as personal significance has another important consequence: it allows for the fact that the intensity of an emotion is almost never determined by only the personal significance of its content. A discussion of the variables that determine the intensity of an emotion and how they differ as a function of emotion type is beyond the scope of this article, however it is noteworthy that an analysis of what it is for something to be an emotion can collide with issues relating to the intensity of emotions, a topic which although sometimes addressed [11,25,26] tends, curiously, to be largely ignored by emotion theorists.\nIn line with the idea that it is not possible to have an emotion about something while maintaining an attitude of indifference with respect to it is the fact that emotions are hedonic states. They are particular ways of feeling good or bad, necessarily positive or negative, but never neither [27]. Being valenced is a characteristic that differentiates emotions from another large and important class of mental states, namely, wants. Although in the emotion literature wants are sometimes discussed under the rubric of desires [28,29], most cognitively-oriented emotion theories tend to restrict their focus to goals, so that wants such as aspirations, wishes, hopes and the like are usually ignored. As Oatley and Jenkins put it [30] “a central tenet of most cognitive emotional theories is that emotions are elicited … by events in relation to important goals” (p. 65, italics added), a position that was quite explicit in the highly influential work of Richard Lazarus [31] who asserted that “there is no emotion without a goal at stake” (p. 51). Furthermore, specific proposals for checks on the congruence or incongruence of outcomes with one’s goals are a basic element of many appraisal theories (e.g., [32,33]). This limited focus on goals warrants a brief digression because although it is true that many emotions do indeed depend on the fate of goals, there are all kinds of wants that play an important role in emotions which have little or nothing to do with goals, meaning that a more nuanced analysis is needed. Goals are just a particular kind of want; they are future states over whose realization people can, at least in principle, have some material causal influence and that they therefore strive to attain by executing an action or series of actions—plans. Absent such conditions, one may want (or want not) something, but it cannot be a goal: having nice weather for your party cannot be a goal; nice weather is simply something that you want (hope for). Nor can you have the goal of it not raining, and it’s odd to say that you have the desire that it not rain. Again, raining is simply something that you want not to happen. We have many dormant wants in the form of principles, standards, and norms that we want upheld—we want people to tell the truth, and we want people not to suffer. An emotion like embarrassment need have nothing to do with goals. When sports fans report that they are embarrassed by their team’s performance, the problem is often less about their team losing and more about the quality of their team’s performance—the team ought to have made a better showing. Such judgments are prescriptive not descriptive and are justified by reference to standards—normative ideals, and moral or quasi-moral principles, not goals. Compared to goal-related wants, which are relatively impermanent and go away once realized, goal-independent wants are relatively stable; they are wants of a qualitatively different nature.\nIt might be tempting to think that wants must be valenced, but this temptation is diminished if one takes care to not confuse wants themselves with their objects and with their realization (or failure thereof). Suppose that you want the Green Party to win the election, or you want to take the subway to get to your place of work. The only locus of valence here lies in the object of the wants, not in the wants themselves. People generally want things that they deem to be positive and want-not things that they deem to be negative. Nor is there any question but that the realization or frustration of wants can give rise to emotions, but that is a different story. Wants themselves are neither positive nor negative. This even though wants, like emotions, have objects, and can vary in their strength, with such variations, incidentally, often contributing to the intensity of any emotions in which they play a role. And, to be sure, wants do play a major role in the intensity of a host of emotion types. The OCC model provides detailed specifications of some 20 emotion types that depend in one way or another on fulfilled or thwarted wants [11]. Some assuredly have to do with successes or failures with respect to (one’s own or others’) goals, but many have to do with approving (or disapproving) of the upholding (or not upholding) of standards and values that we want to be upheld and want not to be violated [11], all of which is testament to the importance of wants in giving rise to emotions, not to the valence of the wants themselves.\nThe requirement that emotions be valenced separates emotions from purely cognitive states, and in particular, it leads to the conclusion that surprise is not an emotion, a conclusion that many emotion theorists find troubling, not least because surprise is often assumed to be one of a small subset of alleged “basic emotions” that Keltner and colleagues dubbed the “basic six”—anger, fear, enjoyment, sadness, disgust, and surprise [1,34]. Whereas a detailed argument as to why surprise should not be considered to be an emotion is beyond the scope of this article, the gist of the argument is that pleasant surprises and unpleasant surprises are better conceived of as cases of surprise accompanied by positive or negative emotions [24] (pp. 53–57), and the fact that there are many cases of people being surprised by some fact but not caring one iota about that fact indicates that surprise cannot be intrinsically, necessarily, valenced (but see [35] for a dissenting opinion).\nFinally, one might think that valence is essentially equivalent to personal significance in that the greater the absolute value of the valence the greater the personal significance. However, although the two are surely highly correlated, they are different variables as can be seen by considering the fact that there are many mental states that are not necessarily valenced but whose objects have high personal significance (e.g., beliefs, thoughts, wants, intentions).\nThe next condition that I suggest is necessary for something to be an emotion some might consider contentious. It is the idea that, like pains and thoughts, emotions are a kind of conscious experience—they are states of which we are phenomenally aware—an idea that is a central tenet of the increasingly influential Constructionist theories of emotion [36]. This was also the view of Freud, who wrote: “It is surely of the essence of an emotion that we should feel it, i.e., that it should enter consciousness” [37] (p. 126). Along with Constructionists and Freud, I reject the possibility of unconscious emotions, just as I reject the notion of an “unfelt pain” proposed by some (e.g., [38]). I believe that some of the arguments in favor of unconscious emotions mistakenly equate behavioral concomitants of emotions with emotions themselves (e.g., [39]), while others fail to distinguish emotions from affective processing. For example, a famous study by Winkielman and Berridge [40] claiming to demonstrate the existence of unconscious emotions certainly provides convincing evidence of affective priming, but it provides no evidence that subjects actually experienced any specific emotions. As I have argued elsewhere [24] (pp. 52–53), such findings, interesting as they are, are more parsimoniously explained in terms of the effects of undifferentiated affect (which often is inaccessible to consciousness) rather than by postulating never evidenced discrete emotions. While affective processing is indisputably involved in the emergence of emotions and in the attachment of valence to previously unvalenced material, it is not the same thing as emotion.\nAnother way of saying that emotions are states of which we are necessarily aware is to say that an emotion is a (certain kind of) feeling. Admittedly, this raises the question of what feelings are, but whatever the answer to that question, I assume that it is true (indeed tautological) to say that feelings are necessarily felt, so one cannot have an unfelt feeling. From my perspective, with respect to the category of emotions, feelings are a superordinate category, so that all emotions are feelings, but not all feelings are emotions. For example, the feeling that we label “hunger” is not an emotion (it’s a drive—a kind of want), nor is the feeling of confusion, or the feeling of familiarity that characterizes recognition memory. I choose confusion and familiarity as examples of feelings not only because I do not consider them to be emotions, but because they have no obvious bodily components, making it difficult to conceive of them as forms of perception, which Peter Walla and colleagues believe to be important [21] (p. 9).\nThe requirement that we are necessarily aware of our emotions helps us distinguish emotions from wants (and want-nots) and beliefs. At any moment in time, we are completely unaware of the vast majority of our beliefs and of the things that we want. To be sure, some wants, notably drives such as hunger and thirst, are, it could be argued, necessarily in conscious awareness, but even if one accepts this, drives would fail to satisfy other requirements for being an emotion, such as the valence requirement and, arguably, intentionality, not to mention the fact that one could question whether they are even mental (as opposed to physical/bodily) states [23].\nFinally, with respect to their being consciously experienced, we always have to be ready to address the question of what is going on when we say things like “I didn’t realize that I was angry until I sat down and thought about it” or “John is obviously jealous, but he just won’t admit it.” From my perspective, the answer here is quite simple. If I didn’t realize that I was angry until I sat down and thought about it, then I wasn’t angry until I sat down and thought about it! Some but not all of the elements of an anger emotion might have already been present—perhaps my feeling of anger had to await the right construal, which in turn might have depended on my thinking more deeply about the situation. Similarly for John’s alleged jealousy. Some but not all of the elements of jealousy might have been present—John maybe exhibited behaviors and was in a situation that would lead an observer to expect him to experience jealousy, but clearly, that hadn’t yet happened. John wasn’t (yet) jealous.\nIn an important article [1] laying out key characteristics of his five “basic” emotions, Paul Ekman opined about what he called the “unbidden occurrence” of emotions, writing “one can not simply elect when to have which emotion” (p. 189). He then went on to point out that whereas it is quite normal to choose to put oneself in situations that one believes will evince certain emotions (e.g., deciding to go to a fun party), emotions themselves arise “unbidden.” I am in partial agreement with Ekman’s position, but I believe that there is a further constraint on the generality of what can be claimed in this regard because there is another way in which one can elect to have a particular emotion. At least to some extent, one can choose to have a cognition that one knows is likely to reinstate a past emotion or to generate a certain kind of emotion anew. For example, a person can choose to think again about the prestigious prize that they won in the past and consequently feel some pride again, or they can choose to recall how a colleague insulted them and thus become angry (again). In other words, intentionally recalling a past emotion-evoking situation can sometimes serve as a heuristic for generating a specific emotion, and sometimes merely imagining certain kinds of situations can have a similar effect. So, in general, the constraint on Ekman’s unbidden occurrence claim could be summed up by a generalization of what one might call a “How to be happy” principle—if you want to feel happy, think happy thoughts! In principle, this heuristic can be applied to negative emotions as well, although (except perhaps for method actors) people rarely choose to experience negative emotions on demand.\nFor reasons such as those just discussed, I prefer a cautious version of the unbidden occurrence characteristic, making the relatively weak claim that emotions are insuppressible in the sense that under normal conditions one cannot elect to spontaneously have any emotion one chooses. The intention of the normal conditions caveat is to exclude situations in which a person is somehow able to generate or reinstate an active cognition that is capable of subserving the chosen emotion. Furthermore, even if it is possible for people under such special conditions to sometimes choose to get themselves into a particular emotional state, other things being equal, it is not possible to get out of an emotional state by simply willing it to instantaneously terminate. This is not to deny that people can sometimes modulate the felt intensity and to some extent control the outward expression of (many of) their emotions, aspects of emotion control central to the area of emotion regulation [41]. My purpose here is not to elaborate on these issues but simply to make clear that in proposing that being insuppressible is a necessary characteristic of emotions my intention is to highlight the difficulty of exercising voluntary control over the initiation, termination, time course, and identity of emotions.\nIt is perhaps worth noting that from the perspective of appraisal theories, an emotion can end abruptly, even voluntarily, if the experiencer comes to believe that the underlying cognition is based on a misconstrual and therefore decides to abandon that cognition. Typically, this happens when one encounters new information as might happen, for example, when one learns that a person with whom one is angry for having neglected to fulfil a promise was in fact prevented from doing so because of being involved in a horrible accident, or when the young man whose pride was grounded in the belief that he had saved the child from drowning learns that in fact the child was never really in danger, thus leaving him nothing to be proud of. Importantly, realizing that the underlying cognition is based on a misconstrual is not sufficient. The person must also (be able to) abandon the cognition, something that sometimes one can choose to do, but not always. A person suffering from fear of flying may, as the plane prepares to take off, come to believe that nothing bad will happen, but is nevertheless incapable of abandoning the thought and thus remains fearful.\nBeing insuppressible is a characteristic that emotions share with moods and pains, but not with wants. For emotions, moods, and pains, unless one can interfere with the cause (abandoning the underlying cognition or taking a painkiller), the experience has to run its course, whereas for many wants one can choose to ignore them—people give up on aspirations all the time.\n\n\n### 2.1. Intentionality\nAs already indicated, along with most psychologically-oriented emotion theorists, I take the view that evaluative appraisals are the cognitive underpinnings of emotions. Consider, for example, a young man who is proud of having saved a child from drowning. The man construes the situation in terms of his belief that he saved a child from drowning, which he evaluates as a good, probably praiseworthy, act. The point to be emphasized here is that the man’s appraisal of what he did is a cognition (in this case, a conscious belief) that has specific content, and in general, regardless of their fidelity to the facts and regardless of whether or not we are aware of them, such cognitions always have content, or objects—they are about something. The objects of appraisals are representable linguistically as the complements of cognitive verbs such as “anticipate”, “believe”, “contemplate”, “envision”, “imagine”, and so on, verbs that express propositional attitudes [22]. The technical (philosophical) term for this feature of cognitions—having objects, or being about something—is intentionality, and because the cognitions that subserve emotions are intentional, emotions themselves are intentional. If one is relieved, or sad, or angry, one is relieved that something specific did (or didn’t) happen, sad about something specific, or angry about something (or with someone, etc.). On this view, a person who reports being sad about things in general (i.e., about nothing in particular) is better considered to be reporting a mood rather than a specific emotion. Furthermore, although a detailed justification is not possible here, I believe that a case can be made for the general statement that the object of an emotion is always the same as the object of the construal that is its cognitive basis. So, if the man’s belief about his aquatic heroics is the basis of his pride, the object of that emotion will be the same as the object of the underlying cognition, namely, saving the child from drowning.\nImportantly, not every construal results in an emotion. Although the existence of an emotion necessitates the existence of a corresponding cognition, the converse is not true. The existence of a cognition does not guarantee that an emotion will emerge (hence the caveat towards the end of the previous paragraph indicting the possible conditionality of the man experiencing pride). As will be discussed in the next section, for an emotion to arise other necessary conditions have to be satisfied, including the fact that whatever it is that the emotion is about has to somehow matter to the person experiencing the emotion.\nOne advantage of taking intentionality to be a necessary characteristic of emotions is that it helps us to distinguish emotions from moods (e.g., irritable, joyful). Even though one may know the cause of a mood, moods are not about their causes, and in cases where moods appear to be about something (e.g., as in clinical depression), they aren’t about anything in particular. Thus, whereas you might be depressed (or sad, or dejected) about the fact that the government failed to pass a piece of legislation you really hoped would pass (emotion), it seems odd to say that your depressed mood is about the failed legislation, even though the failure to pass the legislation may well have been a contributing cause of your depressed mood (because you view things in general as being a mess). Interestingly, most emotion types do not allow corresponding moods. We do not think that a person can be in a proud mood, or a relieved mood, or a resentment mood. In view of the above, it seems reasonable to restrict the emotion construct to mental states whose objects are distinct and specifiable, and to treat cases in which there is no distinct and specifiable object, or no object at all, as moods. Moods are perhaps best viewed as diffuse affective states which give affective coloration to most of what is being experienced, while also lowering the threshold for getting into mood-compatible emotional states.\nThe idea that moods are not necessarily intentional is a more principled way of distinguishing moods from emotions than, for example, duration which, although frequently cited as the key difference between moods and emotions, is not a reliable distinguishing characteristic because not all moods last longer than all emotions (some moods pass in a few minutes, and some emotions can last for hours). Intentionality also provides a ready way of distinguishing emotions from (emotional) traits (e.g., aggressive, greedy), which, in spite of their emotional associations, are not emotions. Just as being in a bad mood does not necessitate that one is irritable about anything in particular, so too does being aggressive not necessitate that one is aggressive towards anyone in particular. Even more obviously, traits are not states. Traits are merely tendencies, proclivities, summaries of behaviors; they pertain to particular domains, to be sure, but they aren’t about anything specific.\n\n\n### 2.2. Personal Significance\nI take it as self-evident that for an emotion to arise, one has to care about whatever it is that the emotion is about, meaning that it makes no sense to say that one has an emotion about something about which one harbors an attitude of indifference [23,24]. This is what I mean by saying that for a mental state to count as an emotion its object must have (some degree of) personal significance for the experiencing individual. Thus, I am taking personal significance to be a measure of something like subjective importance—the degree to which someone cares about something. Consider as a simple illustration, the case of a person of modest means who comes to realize that they are bound to lose a trivially small bet, say a dollar, made on the outcome of some event, and compare this with the same individual having made a recklessly large bet, say five hundred dollars, on the same event. Focusing only on the anticipated monetary loss (and ignoring complexities such as possible issues of pride or embarrassment relating to the making, or failure to make, a correct prediction, and so on), we can suppose that in the first case, the person really wouldn’t care much about the prospect of losing a dollar, whereas in the second case, the person would care a great deal about losing five hundred dollars. In other words, losing a trivial amount would have no personal significance for the person, but losing the large amount would have a great deal of significance. From this, we can surmise that unlike the prospect of the large loss, which we would expect to result in some degree of an emotion (e.g., anxiety), the prospect of the trivial loss would evince no emotion at all (notwithstanding Ludwig van Beethoven’s Opus 129!). In general, it seems plausible to suppose that the magnitude of the personal significance of a construal is highly determinative of the intensity of any associated emotion.\nThe example above brings to light an important issue: as the size of the bet increases from a negligible amount towards a recklessly large amount there must come a point at which the prospect of losing the wager acquires some degree of personal significance for the individual (who, recall, is a person of modest means). In our OCC model we addressed this issue by proposing the idea of an emotion threshold—the point at which (for a particular individual, at a particular time, with respect to a particular emotion type) the magnitude of what we called the emotion potential of a cognition would be sufficient to allow an emotion to emerge [11] (pp. 215–281). This transition we viewed as a phase transition wherein at a certain point a quantitative change leads to a qualitative change as when, for example, a change in the temperature of H2O results in its transition from a liquid, qualitative, state (water) to a different, solid, qualitative state (ice). We proposed that when the quantitative dimension of emotion potential crosses the emotion threshold there is a transition from the qualitative state of an affect-free cognition to a different, affect-laden, qualitative state (an emotion). Furthermore, we realized that whereas conceiving of the quantitative dimension of the content of a cognition as emotion potential makes sense, conceiving of the quantitative dimension of the content of an emotion does not (because the potential has been realized). Accordingly, we proposed that when applied to the post-transition state, the quantitative dimension should be viewed as the intensity of the emotion. But, this surely is not right! A quantitative dimension cannot change as a function of whether a transition point has been reached—temperature remains temperature, regardless of the state that H2O is in. For this reason alone, in the case of emotions, the quantitative dimension is better conceived of as something like personal significance, which is just as applicable to the content of an emotion as to the content of the cognition that underlies it, while also not implying any pre- to post-transition identity change of the dimension itself. Reconceptualizing the quantitative dimension as personal significance has another important consequence: it allows for the fact that the intensity of an emotion is almost never determined by only the personal significance of its content. A discussion of the variables that determine the intensity of an emotion and how they differ as a function of emotion type is beyond the scope of this article, however it is noteworthy that an analysis of what it is for something to be an emotion can collide with issues relating to the intensity of emotions, a topic which although sometimes addressed [11,25,26] tends, curiously, to be largely ignored by emotion theorists.\n\n\n### 2.3. Valence\nIn line with the idea that it is not possible to have an emotion about something while maintaining an attitude of indifference with respect to it is the fact that emotions are hedonic states. They are particular ways of feeling good or bad, necessarily positive or negative, but never neither [27]. Being valenced is a characteristic that differentiates emotions from another large and important class of mental states, namely, wants. Although in the emotion literature wants are sometimes discussed under the rubric of desires [28,29], most cognitively-oriented emotion theories tend to restrict their focus to goals, so that wants such as aspirations, wishes, hopes and the like are usually ignored. As Oatley and Jenkins put it [30] “a central tenet of most cognitive emotional theories is that emotions are elicited … by events in relation to important goals” (p. 65, italics added), a position that was quite explicit in the highly influential work of Richard Lazarus [31] who asserted that “there is no emotion without a goal at stake” (p. 51). Furthermore, specific proposals for checks on the congruence or incongruence of outcomes with one’s goals are a basic element of many appraisal theories (e.g., [32,33]). This limited focus on goals warrants a brief digression because although it is true that many emotions do indeed depend on the fate of goals, there are all kinds of wants that play an important role in emotions which have little or nothing to do with goals, meaning that a more nuanced analysis is needed. Goals are just a particular kind of want; they are future states over whose realization people can, at least in principle, have some material causal influence and that they therefore strive to attain by executing an action or series of actions—plans. Absent such conditions, one may want (or want not) something, but it cannot be a goal: having nice weather for your party cannot be a goal; nice weather is simply something that you want (hope for). Nor can you have the goal of it not raining, and it’s odd to say that you have the desire that it not rain. Again, raining is simply something that you want not to happen. We have many dormant wants in the form of principles, standards, and norms that we want upheld—we want people to tell the truth, and we want people not to suffer. An emotion like embarrassment need have nothing to do with goals. When sports fans report that they are embarrassed by their team’s performance, the problem is often less about their team losing and more about the quality of their team’s performance—the team ought to have made a better showing. Such judgments are prescriptive not descriptive and are justified by reference to standards—normative ideals, and moral or quasi-moral principles, not goals. Compared to goal-related wants, which are relatively impermanent and go away once realized, goal-independent wants are relatively stable; they are wants of a qualitatively different nature.\nIt might be tempting to think that wants must be valenced, but this temptation is diminished if one takes care to not confuse wants themselves with their objects and with their realization (or failure thereof). Suppose that you want the Green Party to win the election, or you want to take the subway to get to your place of work. The only locus of valence here lies in the object of the wants, not in the wants themselves. People generally want things that they deem to be positive and want-not things that they deem to be negative. Nor is there any question but that the realization or frustration of wants can give rise to emotions, but that is a different story. Wants themselves are neither positive nor negative. This even though wants, like emotions, have objects, and can vary in their strength, with such variations, incidentally, often contributing to the intensity of any emotions in which they play a role. And, to be sure, wants do play a major role in the intensity of a host of emotion types. The OCC model provides detailed specifications of some 20 emotion types that depend in one way or another on fulfilled or thwarted wants [11]. Some assuredly have to do with successes or failures with respect to (one’s own or others’) goals, but many have to do with approving (or disapproving) of the upholding (or not upholding) of standards and values that we want to be upheld and want not to be violated [11], all of which is testament to the importance of wants in giving rise to emotions, not to the valence of the wants themselves.\nThe requirement that emotions be valenced separates emotions from purely cognitive states, and in particular, it leads to the conclusion that surprise is not an emotion, a conclusion that many emotion theorists find troubling, not least because surprise is often assumed to be one of a small subset of alleged “basic emotions” that Keltner and colleagues dubbed the “basic six”—anger, fear, enjoyment, sadness, disgust, and surprise [1,34]. Whereas a detailed argument as to why surprise should not be considered to be an emotion is beyond the scope of this article, the gist of the argument is that pleasant surprises and unpleasant surprises are better conceived of as cases of surprise accompanied by positive or negative emotions [24] (pp. 53–57), and the fact that there are many cases of people being surprised by some fact but not caring one iota about that fact indicates that surprise cannot be intrinsically, necessarily, valenced (but see [35] for a dissenting opinion).\nFinally, one might think that valence is essentially equivalent to personal significance in that the greater the absolute value of the valence the greater the personal significance. However, although the two are surely highly correlated, they are different variables as can be seen by considering the fact that there are many mental states that are not necessarily valenced but whose objects have high personal significance (e.g., beliefs, thoughts, wants, intentions).\n\n\n### 2.4. Consciously Experienced\nThe next condition that I suggest is necessary for something to be an emotion some might consider contentious. It is the idea that, like pains and thoughts, emotions are a kind of conscious experience—they are states of which we are phenomenally aware—an idea that is a central tenet of the increasingly influential Constructionist theories of emotion [36]. This was also the view of Freud, who wrote: “It is surely of the essence of an emotion that we should feel it, i.e., that it should enter consciousness” [37] (p. 126). Along with Constructionists and Freud, I reject the possibility of unconscious emotions, just as I reject the notion of an “unfelt pain” proposed by some (e.g., [38]). I believe that some of the arguments in favor of unconscious emotions mistakenly equate behavioral concomitants of emotions with emotions themselves (e.g., [39]), while others fail to distinguish emotions from affective processing. For example, a famous study by Winkielman and Berridge [40] claiming to demonstrate the existence of unconscious emotions certainly provides convincing evidence of affective priming, but it provides no evidence that subjects actually experienced any specific emotions. As I have argued elsewhere [24] (pp. 52–53), such findings, interesting as they are, are more parsimoniously explained in terms of the effects of undifferentiated affect (which often is inaccessible to consciousness) rather than by postulating never evidenced discrete emotions. While affective processing is indisputably involved in the emergence of emotions and in the attachment of valence to previously unvalenced material, it is not the same thing as emotion.\nAnother way of saying that emotions are states of which we are necessarily aware is to say that an emotion is a (certain kind of) feeling. Admittedly, this raises the question of what feelings are, but whatever the answer to that question, I assume that it is true (indeed tautological) to say that feelings are necessarily felt, so one cannot have an unfelt feeling. From my perspective, with respect to the category of emotions, feelings are a superordinate category, so that all emotions are feelings, but not all feelings are emotions. For example, the feeling that we label “hunger” is not an emotion (it’s a drive—a kind of want), nor is the feeling of confusion, or the feeling of familiarity that characterizes recognition memory. I choose confusion and familiarity as examples of feelings not only because I do not consider them to be emotions, but because they have no obvious bodily components, making it difficult to conceive of them as forms of perception, which Peter Walla and colleagues believe to be important [21] (p. 9).\nThe requirement that we are necessarily aware of our emotions helps us distinguish emotions from wants (and want-nots) and beliefs. At any moment in time, we are completely unaware of the vast majority of our beliefs and of the things that we want. To be sure, some wants, notably drives such as hunger and thirst, are, it could be argued, necessarily in conscious awareness, but even if one accepts this, drives would fail to satisfy other requirements for being an emotion, such as the valence requirement and, arguably, intentionality, not to mention the fact that one could question whether they are even mental (as opposed to physical/bodily) states [23].\nFinally, with respect to their being consciously experienced, we always have to be ready to address the question of what is going on when we say things like “I didn’t realize that I was angry until I sat down and thought about it” or “John is obviously jealous, but he just won’t admit it.” From my perspective, the answer here is quite simple. If I didn’t realize that I was angry until I sat down and thought about it, then I wasn’t angry until I sat down and thought about it! Some but not all of the elements of an anger emotion might have already been present—perhaps my feeling of anger had to await the right construal, which in turn might have depended on my thinking more deeply about the situation. Similarly for John’s alleged jealousy. Some but not all of the elements of jealousy might have been present—John maybe exhibited behaviors and was in a situation that would lead an observer to expect him to experience jealousy, but clearly, that hadn’t yet happened. John wasn’t (yet) jealous.\n\n\n### 2.5. Insuppressible\nIn an important article [1] laying out key characteristics of his five “basic” emotions, Paul Ekman opined about what he called the “unbidden occurrence” of emotions, writing “one can not simply elect when to have which emotion” (p. 189). He then went on to point out that whereas it is quite normal to choose to put oneself in situations that one believes will evince certain emotions (e.g., deciding to go to a fun party), emotions themselves arise “unbidden.” I am in partial agreement with Ekman’s position, but I believe that there is a further constraint on the generality of what can be claimed in this regard because there is another way in which one can elect to have a particular emotion. At least to some extent, one can choose to have a cognition that one knows is likely to reinstate a past emotion or to generate a certain kind of emotion anew. For example, a person can choose to think again about the prestigious prize that they won in the past and consequently feel some pride again, or they can choose to recall how a colleague insulted them and thus become angry (again). In other words, intentionally recalling a past emotion-evoking situation can sometimes serve as a heuristic for generating a specific emotion, and sometimes merely imagining certain kinds of situations can have a similar effect. So, in general, the constraint on Ekman’s unbidden occurrence claim could be summed up by a generalization of what one might call a “How to be happy” principle—if you want to feel happy, think happy thoughts! In principle, this heuristic can be applied to negative emotions as well, although (except perhaps for method actors) people rarely choose to experience negative emotions on demand.\nFor reasons such as those just discussed, I prefer a cautious version of the unbidden occurrence characteristic, making the relatively weak claim that emotions are insuppressible in the sense that under normal conditions one cannot elect to spontaneously have any emotion one chooses. The intention of the normal conditions caveat is to exclude situations in which a person is somehow able to generate or reinstate an active cognition that is capable of subserving the chosen emotion. Furthermore, even if it is possible for people under such special conditions to sometimes choose to get themselves into a particular emotional state, other things being equal, it is not possible to get out of an emotional state by simply willing it to instantaneously terminate. This is not to deny that people can sometimes modulate the felt intensity and to some extent control the outward expression of (many of) their emotions, aspects of emotion control central to the area of emotion regulation [41]. My purpose here is not to elaborate on these issues but simply to make clear that in proposing that being insuppressible is a necessary characteristic of emotions my intention is to highlight the difficulty of exercising voluntary control over the initiation, termination, time course, and identity of emotions.\nIt is perhaps worth noting that from the perspective of appraisal theories, an emotion can end abruptly, even voluntarily, if the experiencer comes to believe that the underlying cognition is based on a misconstrual and therefore decides to abandon that cognition. Typically, this happens when one encounters new information as might happen, for example, when one learns that a person with whom one is angry for having neglected to fulfil a promise was in fact prevented from doing so because of being involved in a horrible accident, or when the young man whose pride was grounded in the belief that he had saved the child from drowning learns that in fact the child was never really in danger, thus leaving him nothing to be proud of. Importantly, realizing that the underlying cognition is based on a misconstrual is not sufficient. The person must also (be able to) abandon the cognition, something that sometimes one can choose to do, but not always. A person suffering from fear of flying may, as the plane prepares to take off, come to believe that nothing bad will happen, but is nevertheless incapable of abandoning the thought and thus remains fearful.\nBeing insuppressible is a characteristic that emotions share with moods and pains, but not with wants. For emotions, moods, and pains, unless one can interfere with the cause (abandoning the underlying cognition or taking a painkiller), the experience has to run its course, whereas for many wants one can choose to ignore them—people give up on aspirations all the time.\n\n\n### 3. Two Inessential Characteristics of Emotions\nAt this point, a reader might be surprised that I have made no mention of two of the most frequently discussed aspects of emotions, namely, the role of bodily changes and the presence of facial expressions. But this is no accident. I believe that these two aspects of emotions are generally, but mistakenly, assumed to be necessary because of the biasing effects of frequency and salience—they occur frequently, and when they occur, because the emotions with which they are associated are usually quite intense, they are very noticeable. Consider first the idea that emotions always have a physiological component (variously referred to as emotions involving ANS activity, having a somatic component, or involving bodily changes or feelings thereof), an aspect of emotion orthodoxy for which we might have William James to thank. In 1884, James’ famous article “What is an emotion?” [42] appeared in the leading philosophy journal, Mind. It was to become one of the most influential articles in the history of emotion research, not because the core idea of the theory would become the standard theory (although for several decades after its publication, it was), but because the underlying assumption upon which the theory was based was taken as a given. The core idea proposed by James, and soon after by the Danish physician, Carl Lange (hence, the James-Lange Theory), was that an emotion is the feeling of bodily changes (the “bodily expression”) that results from “the perception of the exciting fact,” not, as common sense would have it, the other way around. The underlying assumption on which the core idea was based, and which, to this day, appears to be accepted without question by the majority of emotion theorists, is that (the feeling of?) bodily change is an essential component of emotions—that a distinguishing feature of emotions is that they necessarily have a somatic aspect.\nWhat warrants this assumption? Although modern day scholars rarely point this out, early in James’ article, he wrote: “I should say first of all that the only emotions I propose expressly to consider here are those that have a distinct bodily expression.” He then went on, seemingly begrudgingly, to reveal some unease with his self-imposed restriction: “That there are feelings of pleasure and displeasure, of interest and excitement, bound up with mental operations, but having no obvious bodily expression for their consequence, would, I suppose, be held true by most readers” ([42] p. 189, italics added). Decades later, Walter Cannon, while acknowledging with obvious skepticism that the James-Lange theory was almost settled science, nevertheless, took it on, with a direct challenge to the core idea [43]. But also, as a final observation, he commented on the underlying assumption, noting that “James had to assume indefinite and hypothetical bodily reverberations in order to account for mild feelings of pleasure and satisfaction” ([43] p. 124).\nBy his own admission, James was only concerned with what he called the “standard” emotions—“strong” emotions which are accompanied by “a wave of bodily disturbance of some kind” [42] (p. 189). Never mind that his examples of such emotions (“surprise, curiosity, rapture, fear, anger, lust, greed, and the like”) included several states (surprise, curiosity, lust, greed) whose status as emotions one might reasonably question. What is important is that by constraining the theory to a category of states that have some particular property (strong emotions having “a wave of bodily disturbance”), the role of that property as constitutive to those states is guaranteed. It is, of course, often the case that a salient feature of strong emotions is that they are accompanied by bodily changes, but frequent and salient is not the same as necessary. It may well be that bodily changes are always present in members of a category that one might call “highly aroused states,” but that is not the same category as the category of emotions. It seems more reasonable to suppose that whereas some emotion experiences (e.g., fury over a vicious affront) can have a conspicuous bodily component, others (e.g., the quiet satisfaction of having finally solved a difficult puzzle) do not. Ergo, for something to be an emotion, it is not necessary that it involves some sort of felt bodily component, unless, of course, one excludes from the category of emotions, as James did, any states that are experienced without any (felt) bodily component.\nThe lesson to be learned here is that care has to be taken to avoid mistaking what is merely typically true or a very salient feature of emotions with what is necessary for something to be an emotion. It is my contention that this is exactly what happens when emotions are assumed to necessarily have a bodily component, and that Cannon was spot on when he raised concerns about the validity of this assumption in the case of mild emotions.\nMuch the same argument can be made with respect to facial expressions of emotions. For more than 50 years, the study of facial expressions, considered to be the most prototypical exemplars of “distinctive universal signals” [44], has been a central focus of human emotion research. Perhaps initially inspired by Darwin’s seminal book The expression of the emotions in man and animals [45], a focus on the “expressive” aspect of emotions as a means of communication to conspecifics has gained an inordinate amount of attention, with facial expressions often being taken to be a sine qua non of emotions. But again, while a recognizable facial expression is often a very conspicuous aspect of an emotion, frequent and salient is not the same as necessary. It seems to me that “no facial expression, no emotion” is just too radical! Furthermore, it is easy to demonstrate a double disassociation between facial expressions and emotions, and indeed between bodily changes and emotions for that matter. The fact that a facial expressions such as a grimace or a smile, or a bodily change such as an increase in heart rate or facial flushing can occur in the absence of emotions, and that emotions can occur without any such occurrences is clear indication that they are not necessary components of emotions.\n\n\n### 4. Conclusions\nI have proposed five characteristics which I believe are good candidates for necessary (and hopefully jointly sufficient) conditions for something to be an emotion. The determination of these characteristics has inevitably been a predominantly theoretical enterprise because we are trying to make more precise a concept whose use both in lay and scientific circles is extraordinarily vague—vague because the subjective nature of mental states in general and of emotions in particular precludes the possibility of identifying publicly observable membership criteria for the different categories that comprise them. The result of this enterprise is that for formal, scientific, purposes, we can consider an emotion to be an insuppressible valenced mental state of which an individual is consciously aware and that is about something specific which is appraised as being of personal significance.\nAt the outset of this article, I suggested that the goal of “defining” emotions should be to articulate a scientifically sound and clinically useful characterization of the emotion concept without doing serious violation to the vernacular use of the term emotion. I believe that to be useful, such a characterization should be succinct, and free of caveats and constraints on its generalizations. This means that it is unlikely that such a characterization can be achieved by taking bits and pieces from different proposals and integrating them into a unified representation that makes everybody happy. One such attempt was made some 45 years ago and resulted in the most prolix of definitions. After a review of close to 100 different accounts/definitions of emotions, many proposed and published by eminent scholars, P.R. Kleinginna and A.M. Kleinginna defined an emotion as “a complex set of interactions among subjective and objective factors, mediated by neural/hormonal systems, which can (a) give rise to affective experiences such as feelings of arousal, pleasure/displeasure; (b) generate cognitive processes such as emotionally relevant perceptual effects, appraisals, labeling processes; (c) activate widespread physiological adjustments to the arousing conditions; and (d) lead to behavior that is often, but not always, expressive, goal-directed, and adaptive” ( [46] p. 355). The contrast between my proposal and that of Kleinginna and Kleinginna couldn’t be more stark. Mine attempts to specify what must be the case for something to be an emotion. Theirs focuses on what can be or is often the case. Mine commits to emotions being valenced experiences, theirs does not. Mine considers as definitive only characteristics deemed to be necessary, eschewing those which are merely frequent or possible (e.g., behavioral consequences), theirs includes characteristics that are merely frequent or possible. In short, mine attempts to say what is (always) true of emotions, theirs says what can be or sometimes is true. Mine attempts to say what emotions are, theirs is about how emotions arise, what they generally do, and how they do it, finessing the prior and legitimate question of what it takes for something to be an emotion in the first place. But they are not unique in this respect. Few people stop to ask the question I have been asking about the criteria for membership of the category of emotions.\nIt is also interesting to compare my proposal with that of Peter Walla and colleagues in this Special Edition of this journal. They define an emotion as an observable behavioral response that communicates an individual’s inner (feeling) state. Admirable in its simplicity, this account views the presumed communicative function of emotions as a defining feature, while wanting to distinguish emotions from non-conscious processing (affection) and from subjective feeling, as well as from cognitive information processing. From my perspective, apart from my unwillingness to reject the idea that emotions are subjective experiences, both the idea that emotions are (necessarily) “observable” and that they are “behavioral responses” are very much at odds with our everyday conception of emotions. The requirement that emotions are observable implies that to claim that one cannot discern whether, on some particular occasion, an individual is angry or\nenvious or disappointed and so on, is self-contradictory, which I think it is not. Meanwhile, the suggestion that emotions are behavioral responses obliterates the distinction between emotions and emotional expressions, rendering at least one of them superfluous. It is of course true that emotions often are communicated to others, but it is also true that they often are not, a fact which I believe is sufficient to establish the non-necessity of a communicative function. Furthermore, defining emotions in terms of their function of communicating inner feelings does not clearly distinguish emotions from language or from music, both of which really are observable behaviors that can be said to communicate an individual’s inner feelings (and other) states. As far as the role of emotions in transmitting information is concerned, it is perhaps worth noting that it has also been argued quite convincingly that emotions provide internal signals to an organism’s information processing mechanisms, redirecting attention and resources for the management of plans and goals in light of a constantly changing world [14,47].\nFinally, the five characteristics I have proposed are of two kinds: those that must be present as an emotion emerges, and those that must be present after an emotion emerges. For an emotion to emerge there has to be an underlying cognition whose object has personal significance. Meanwhile, an emotion having emerged is always valenced, accessible to consciousness, and insuppressible. In the final analysis, if any one of these is not present, there is no emotion.", "domain": "affective_neuroscience"}
{"source": "PMC12668672", "title": "Cross-species standardised cortico-subcortical tractography", "text": "# Cross-species standardised cortico-subcortical tractography\n\n## Abstract\nDespite their importance for brain function, cortico-subcortical white matter tracts are under-represented in diffusion magnetic resonance imaging tractography studies. Their non-invasive mapping is more challenging and less explored compared to other major cortico-cortical bundles. We introduce a set of standardised tractography protocols for delineating tracts between the cortex and various deep subcortical structures, including the caudate, putamen, amygdala, thalamus, and hippocampus. To enable comparative studies, our protocols are designed for both human and macaque brains. We demonstrate how tractography reconstructions follow topographical principles obtained from tracers in the macaque and how these translate to humans. We show that the proposed protocols are robust against data quality and preserve aspects of individual variability stemming from family structure in humans. Lastly, we demonstrate the value of these species-matched protocols in mapping homologous grey matter regions in humans and macaques, both in cortex and subcortex.\n\n## Full Text\n\n\n### Introduction\nFunction-specific brain activity involves the integration of information from multiple remote brain regions. This integration is enabled by white matter (WM) bundles interconnecting different brain regions (Passingham et al., 2002; Mars et al., 2018a; Thiebaut de Schotten and Forkel, 2022; Pessoa, 2023). Of particular interest and importance are bundles connecting cortical areas with deep brain structures. Subcortical structures have important roles in affective, cognitive, motor, and social functions (Utter and Basso, 2008; Bickart et al., 2011; Berridge and Kringelbach, 2015), which emerge through interactions with cortical areas that such connections enable (Haber, 2016; Chumin et al., 2022; Bullock et al., 2022). Hence, the variability of these connections between individuals has been linked to differences in behavioural traits (Cohen et al., 2009; Forstmann et al., 2010; Forkel et al., 2022). Furthermore, their disruption has been associated with abnormal function and pathology in neurodegenerative and mental health disorders (Haber and Behrens, 2014; Heller, 2016; Haber et al., 2023; Weerasekera et al., 2024). In the clinic, individual variability in cortico-subcortical connectivity has been used to assist presurgical planning and predict personalised targets for efficacious interventions (Akram et al., 2017).\nChemical tracer studies in the non-human primate (NHP) brain have provided, and continue to provide, invaluable insights into cortico-subcortical connections and neuroanatomy in general (Heilbronner and Chafee, 2019). Examples include tracing of cortico-striatal connections (Lehman et al., 2011; Heilbronner and Haber, 2014; Haber, 2016; Safadi et al., 2018), amygdalofugal (AMF) connections (Oler et al., 2017), and thalamo-cortical connections (Yoshida and Benevento, 1981; Lehman et al., 2011). Comparative neuroanatomy studies can subsequently explore and translate principles of WM organisation learnt from NHPs to humans (Jbabdi et al., 2013; Safadi et al., 2018; Folloni et al., 2019). Brain imaging and, in particular, diffusion magnetic resonance imaging (dMRI) tractography (Jbabdi et al., 2015) is a crucial component in these comparative studies and beyond (Sotiropoulos et al., 2013; Assimopoulos et al., 2024; Sotiropoulos et al., 2025), allowing non-invasive mapping of these connections in the living human.\nTowards this direction, recent dMRI-based frameworks have been developed to map respective WM bundles (tracts) across NHPs and humans (Warrington et al., 2020; Roumazeilles et al., 2020; Bryant et al., 2020; Bryant et al., 2021; Assimopoulos et al., 2024). These rely on standardised dMRI tractography protocols, comprising functionally driven, rather than geometric, definitions, enabling automated and generalisable mapping of homologous major WM tracts across species (Warrington et al., 2020). These developments have allowed cross-species neuroanatomy studies (Mars et al., 2018b; Mars et al., 2021) and mapping of connections across humans to study links with brain development, function, and dysfunction (Thiebaut de Schotten et al., 2020; Warrington et al., 2022). A current limitation of these imaging-based approaches is that they have mainly focused so far on cortico-cortical bundles (with the exception of cortico-thalamic connections).\nTractography protocols for WM bundles that reach deeper subcortical regions, for instance the striatum or the amygdala, are more difficult to standardise. The relative size and proximity of these bundles, and the WM complexities and bottlenecks they go through, can make their mapping through dMRI particularly challenging. As a consequence, considerably fewer studies have proposed solutions for their reproducible reconstruction, both within and across primate species, compared to more major cortico-cortical bundles (Wassermann et al., 2016; Wasserthal et al., 2018; Warrington et al., 2020; Maffei et al., 2021). Some existing studies have focused on cortico-striatal bundles (Forkel et al., 2014; Schilling et al., 2020), uncinate and AMF fasciculi (Folloni et al., 2019), parts of the extreme capsule (Mars et al., 2016), and the anterior limb of the internal capsule (Jbabdi et al., 2013; Safadi et al., 2018). However, these either utilise labour-intensive single-subject protocols (Safadi et al., 2018; Folloni et al., 2019), are not designed to be generalisable across species (Forkel et al., 2014; Schilling et al., 2020), or are based mostly on geometrically driven parcellations that do not necessarily preserve topographical principles of connections (Wasserthal et al., 2018). We propose an approach that addresses these challenges and is automated, standardised, generalisable across two species and includes a larger set of cortico-subcortical bundles than considered before, yielding tractography reconstructions that are driven by neuroanatomical constraints.\nSpecifically, we build upon our previous work on FSL-XTRACT (Mars et al., 2018b; Warrington et al., 2020; Assimopoulos et al., 2024) to propose standardised protocols and an end-to-end framework for automated cortico-subcortical tractography in the macaque and human brain, considering connections between the cortex and the caudate, putamen, and amygdala. To this end, we use prior anatomical knowledge from NHP tracers to define new generalisable protocols, including the AMF tract, the Muratoff bundle (MB) and the striatal bundle (external capsule) with its frontal, sensorimotor, temporal, and parietal parts, augmenting our previous protocols for hippocampal and thalamic tracts (Warrington et al., 2020). Due to their close proximity, we also develop new protocols for the respective extreme capsule parts (frontal, temporal, and parietal) and revise previously released protocols (Warrington et al., 2020) for the uncinate fasciculus (UF), anterior commissure (AC), and fornix (FX).\nWe demonstrate the mapping of the respective bundles in the human and macaque brain and show that tractography reconstructions follow topographical principles obtained from tracers. We show that the proposed definitions are robust against dMRI data quality and preserve aspects of individual variability stemming from family structure in humans, as reflected by higher similarity of reconstructed tracts in the brains of monozygotic twins compared to non-twin siblings and unrelated subjects. We subsequently demonstrate how these tractography reconstructions can improve the identification of homologous grey matter (GM) regions across species, both in cortex and subcortex, on the basis of similarity of GM areal connection patterns to the set of proposed WM bundles (Passingham et al., 2002; Mars et al., 2018b).\n\n\n### Results\nUsing prior anatomical knowledge from tracer studies in the macaque, we developed new tractography protocols for the macaque brain and subsequently translated them to the human brain. We considered 23 tracts in total (11 bilateral, 1 commissural), which included tracts connecting the cortex to the amygdala, caudate, and putamen. Specifically, we developed protocols for the AMF\\begin{document}$AMF$\\end{document} pathway, the sensorimotor, frontal, temporal, and parietal parts of the striatal bundle/external capsule (StBm,StBf,StBt,StBp\\begin{document}$StB_m, StB_f,StB_t,StB_p$\\end{document}), and the MB\\begin{document}$MB$\\end{document}. Due to their proximity, we also developed protocols for the frontal, temporal, and parietal parts of the extreme capsule (EmCf\\begin{document}$EmC_f$\\end{document}, EmCt\\begin{document}$EmC_t$\\end{document}, EmCp\\begin{document}$EmC_p$\\end{document}) (neighbouring to the corresponding external capsule parts), and revised previous protocols for the UF\\begin{document}$UF$\\end{document} (neighbouring to the AMF\\begin{document}$AMF$\\end{document}), the FX\\begin{document}$FX$\\end{document} (output tract of the hippocampus next to the amygdala), as well as the AC\\begin{document}$AC$\\end{document} (Table 1, Appendix 1—table 1).\nThe developed subcortical tractography protocols for the macaque and human brain. Protocols for anterior commissure, fornix, and uncinate fasciculus were revised from Warrington et al., 2020.\nWe used the XTRACT approach (Warrington et al., 2020) to define tractography protocols, governed by two principles: (1) protocols are comprised of seed/stop/target/exclusion regions of interest (ROIs) defined in template space, so that they are standardised and generalisable (compared to subject-specific protocols), and (2) ROIs are coarse enough and defined equivalently between macaques and humans to enable the tracking of corresponding bundles across species. Full tractography protocols, and modifications to existing protocols, are described in detail in Methods. Protocols were defined in MNI152 template space for human tractography and F99 space (Van Essen, 2002; Glasser and Van Essen, 2011) for macaque tractography. Additionally, we generalised the macaque protocols to the NIMH Macaque Template (NMT v2) (Seidlitz et al., 2018). For clarity, results shown in the main text use the F99 space protocols. Comparison between results in NMT and F99 space can be seen in Appendix 1—figure 3.\nUsing dMRI data from the macaque (N=6\\begin{document}$N=6$\\end{document}) and human brain (N=50\\begin{document}$N=50$\\end{document}) and the defined protocols, we performed tractography reconstructions for all the tracts of interest. Maximum intensity projections of the resultant group-averaged tract reconstructions for the macaque and human are shown colour-coded in Figure 1 (individual tracts can be seen in Appendix 1—figure 1). These reveal overall correspondence in the main bodies of tracts across species, while capturing differences in (sub)cortical projections.\nMaximum intensity projections (MIPs) in sagittal, coronal, and axial views of group-averaged probabilistic path distributions, for all proposed tractography protocols in the macaque (6 animal average) and human (average of 50 subjects from the Human Connectome Project). All MIPs are within a window of 20% of the field of view centred at the displayed slices. (A) Frontal, temporal, and parietal parts of the extreme capsule (EmCf,EmCt,EmCP\\begin{document}$EmC_f,EmC_t,EmC_P$\\end{document}); frontal, temporal, and parietal parts of the striatal bundle (StBf,StBt,StBp\\begin{document}$StB_f, StB_t, StB_p$\\end{document}); and the Muratoff bundle (MB). (B) Amygdalofugal tract (AMF); anterior commissure (AC); uncinate fasciculus (UF\\begin{document}$UF$\\end{document}); sensorimotor part of the striatal bundle (StBm\\begin{document}$StB_m$\\end{document}). Path distributions were thresholded at 0.1% before averaging.\nWe explored whether WM organisation principles known from the tracer literature are captured in these tractography reconstructions (Bullock et al., 2022; Lehman et al., 2011; Schmahmann and Pandya, 2006; Makris and Pandya, 2009; Choi et al., 2017a; Liu et al., 2020). For instance, the striatal bundle (StB\\begin{document}$StB$\\end{document})/external capsule is always medial to the extreme capsule and the MB runs along the head of the caudate nucleus. Figure 2A shows the relative positioning for StBf\\begin{document}$StB_f$\\end{document}, EmCf\\begin{document}$EmC_f$\\end{document}, and MB\\begin{document}$MB$\\end{document} bundles. Correspondence between tractography results and tract tracing reconstruction in the macaque can be observed, with their relative positions being preserved. This relative position was preserved in the human tractography results as well. Furthermore, the medio-lateral separation is also observed in the other parts of StB\\begin{document}$StB$\\end{document} and EmC\\begin{document}$EmC$\\end{document} (i.e. parietal and temporal), as shown in Appendix 1—figure 2. Similarly, for the AMF\\begin{document}$AMF$\\end{document} bundle (Figure 2B), this runs through the AC and ventral pallidum, as well as, in its lateral part, over the UF\\begin{document}$UF$\\end{document}. We see agreement with respect to these relative positions in both the macaque and human.\nThe proposed protocols were first developed in the macaque guided by tracer literature, and then transferred over to the human. Relative positioning of diffusion magnetic resonance imaging (dMRI)-reconstructed tracts was subsequently explored against the ones suggested by tracers, with good agreement in both species. (A) The dorsal–medial/ventral–lateral separation between the extreme an external capsule (here the frontal parts (EmCf\\begin{document}$EmC_f$\\end{document}) and StBf\\begin{document}$StB_f$\\end{document} shown) is present in macaque tractography, as suggested in the tracer literature. The Muratoff bundle runs along the head of the caudate nucleus. These relative positions are also preserved in the human tractography results. Tracer image modified from Petrides and Pandya, 2006 with permission (under a CC BY 4.0 licence). (B) Similarly for the amygdalofugal (AMF) bundle, which runs under the anterior commissure (AC) and over the uncinate fasciculus (UF), we see agreement with tracer studies with respect to its location in both the macaque and human tractography (Oler et al., 2017; Folloni et al., 2019; Oler and Fudge, 2019). Tracer image adapted from Oler et al., 2017 with permission (under a CC BY 4.0 licence). In all examples group-average tractography results are shown.\nIn addition to the main WM core of the reconstructed bundles, we also explored agreement of the relative connectivity patterns within the striatum between tracers and tractography. Cortical injections of anterograde tracers from different parts of the macaque brain reveal a dorsolateral to ventromedial organisation in the putamen, from parietal to temporal projections (Figure 3). Using the path distribution of the tractography reconstructed StB\\begin{document}$StB$\\end{document} parts within the putamen, we could obtain a similar pattern in the macaque brain. This also resembled the pattern found in the human brain, as shown in both coronal and axial views.\nLeft: Using macaque tracer data from 78 injections in various parts of the cortex, tracer termination sites in the putamen suggested a pattern based on the distinct cortical origin of the tracer injection sites; moving from the dorsolateral to the ventromedial putamen. Right: The path distributions of the different parts of the striatal bundle (StBf,StBm,StBp,StBt\\begin{document}$StB_f,StBm,StB_p,StB_t$\\end{document}) within the putamen reveal a similar pattern of connectivity to different parts of the cortex, both for macaque (top) and the human (bottom). Coronal and axial views of group-average results are shown for tractography. Cortical areas (Front: frontal cortex, Par: parietal cortex, Temp: temporal cortex, SensMot: Sensorimotor cortex) were obtained from the CHARM1 parcellation (Jung et al., 2021) in the macaque brain (for both tracers and tractography) and from the Harvard parcellation in the human (Frazier et al., 2005; Desikan et al., 2006; Makris and Pandya, 2009).\nWe subsequently explored generalisability and robustness of the tractography protocols against NHP template spaces and dMRI data quality. Appendix 1—figure 3 shows tract reconstructions in the macaque brain when using the F99 (Van Essen, 2002) vs the NMT (Seidlitz et al., 2018) templates, similar tractography reconstructions for protocols defined in either of the two templates.\nTo explore performance against data quality, we compared tractography reconstruction in very high-quality high-resolution data from the Human Connectome Project (HCP) (Van Essen et al., 2013; Sotiropoulos et al., 2013), to tractography in more standard quality data from the UK Biobank dataset (Miller et al., 2016). Appendix 1—figure 4 demonstrates the ability to reconstruct all tracts across a range of data qualities, with good correspondence of the main bodies of the tracts in both datasets. We quantified this agreement by calculating the mean Pearson’s correlation across the set of new and revised tracts for each unique pair of subjects across and within each of the HCP and UK Biobank (UKB) datasets (Figure 4A). For reference, we performed similar correlations for the original set of XTRACT tracts (Warrington et al., 2020) (see Appendix 1—table 1 for a list of Original vs New + Revised tracts). Higher correlation was observed within each dataset, but also a sufficiently high correlation between the two datasets. We found similar patterns across datasets both for the original and the new tracts, showcasing that the new protocols behave similarly to the widely used original XTRACT protocols, across data qualities.\nResults for the new subcortical tracts (right column) are shown against reference corresponding results for the original set of XTRACT tracts (left column), which have been widely used (Warrington et al., 2020). (A) Tract similarity within and between two in vivo human cohorts, spanning a wide range of diffusion magnetic resonance imaging (dMRI) data quality (HCP: high resolution, long scan time, bespoke setup, UK Biobank (UKB): standard resolution, short scan time, clinical scanner). Violin plots of the average across tracts pairwise Pearson’s correlations, between 1225 unique subject pairs within and across the two cohorts, are shown. Correlations are performed on normalised tract density maps with a threshold of 0.5%. Reported μ is the mean of the correlations across tracts and subject pairs and σ is the standard deviation. (B) Tract similarity in twins, non-twin siblings, and unrelated subjects. Violin plots of the average across tracts pairwise Pearson’s correlations between 72 monozygotic (MZ) twin pairs, 72 dizygotic (DZ) twin pairs, 72 non-twin sibling pairs, and 72 unrelated subject pairs from the Human Connectome Project. Heritable traits are more similar in MZ twins, equally similar in DZ twins and non-twin siblings and more than in unrelated subjects. Asterisk indicates significant pairwise comparisons between groups, as indicated by the brackets.\nThe mean agreement between HCP and UKB reconstructions was lower compared to within-dataset agreements. The two cohorts correspond to different age ranges, with HCP having younger adults than the UKB, which could be contributing to these differences. In addition, this was due to occasionally reconstructing a sparser path distribution in the low-resolution data, particularly for some of the new tracts, as both their relative size and their proximity make them more challenging. This highlights the potential importance of having high-resolution data in tracking WM bundles in densely packed areas of higher complexity. It is interesting to note, however, that similar tracts were less/more reproducible between subjects across data qualities. For the lower quality data from the UKB, the tracts with lowest agreement across subjects (Pessoa, 2023) were the AC\\begin{document}$AC$\\end{document} and the temporal part of the extreme capsule (EmCt\\begin{document}$EmC_t$\\end{document}), while the highest correlations were for the MB\\begin{document}$MB$\\end{document} and the temporal part of the striatal bundle (StBt\\begin{document}$StB_t$\\end{document}). For the higher quality HCP data, the temporal part of the extreme capsule (EmCt\\begin{document}$EmC_t$\\end{document}) and the MB\\begin{document}$MB$\\end{document} were also the tracts with the lowest/highest correlations across subjects, respectively. Hence, certain tract reconstructions were consistently more variable than others across subjects, which may hint at also being more challenging to reconstruct. Taken together, despite differences, our results suggest all tracts could be reconstructed across both data qualities in a generalisable manner (Appendix 1—figure 4).\nWe subsequently explored whether the proposed protocols preserve aspects of individual variability. We used the family structure in the HCP data to explore whether tract reconstructions from monozygotic twin pairs are more similar compared to tracts obtained from other pairs of siblings or unrelated subjects. As shown in Figure 4B, we found a decrease in pairwise tract similarity going from monozygotic twins to dizygotic twins and non-twin siblings, and to pairs of unrelated subjects. For reference, we performed the same analysis for the original XTRACT tracts and the same pattern persisted for the new (and revised) tracts, in agreement with previous work (Bohlken et al., 2014; Shen et al., 2014; Warrington et al., 2020). In each analysis, all pairwise differences were significant (Bonferroni corrected p<0.05\\begin{document}$p< 0.05$\\end{document}; following a Mann–Whitney U-test), with the exception of dizygotic twins compared to non-twin siblings.\nExamples of tract reconstructions on individual subjects are shown in Appendix 1—figure 6, Appendix 1—figure 7. The figures demonstrate tractography results for subjects corresponding to 10th, 50th, and 90th percentiles of the distribution of tract correlations to the HCP group average. This ranking was also representative of high, medium, and low subject motion across the cohort, respectively. Results demonstrate that the expected patterns are preserved for all tracts (MB\\begin{document}$MB$\\end{document}, AMF\\begin{document}$AMF$\\end{document}, UF\\begin{document}$UF$\\end{document}, EmC\\begin{document}$EmC$\\end{document}, StB\\begin{document}$StB$\\end{document} (frontal and parietal parts)). Appendix 1—figure 6 shows that even the relative medial–lateral organisation of the StB\\begin{document}$StB$\\end{document} with respect to the EmC\\begin{document}$EmC$\\end{document} is also maintained across the three individual examples, in agreement with the group-average pattern.\nBased on our previous work (Mars et al., 2018b), we used the similarity of areal connectivity patterns with respect to equivalently defined WM tracts across the two species to identify homologous GM regions between humans and macaques. With the addition of the new subcortical tracts, we could perform this task for deep brain structures (subcortical nuclei and hippocampus) with considerably greater granularity than before. Figure 5 demonstrates such identification task for five structures in the left hemisphere (caudate, putamen, thalamus, amygdala, hippocampus) using cortico-cortical and cortico-subcortical tracts (sets of tracts defined in Appendix 1—table 1). On the left, the regions in the macaque brain with the lowest divergence (highest similarity) in their connectivity patterns to the connectivity patterns of the corresponding human regions are shown in blue. Using only connectivity pattern similarity, these five structures can be matched almost perfectly across the two species. For instance, human putamen (left hemisphere) has more similar connectivity (lower divergence) to macaque putamen (left hemisphere), human thalamus (left hemisphere) to macaque thalamus (left hemisphere), etc. Since we are mapping structures in the left hemisphere using left hemisphere tracts, we observe a low similarity in the contralateral (right) hemisphere, as expected. On the right of Figure 5, this identification is quantified even further, highlighting the value of considering the new tracts. For every human left-hemisphere region (specified on the vertical axis), the boxplot of divergence of connectivity patterns to each of the five macaque deep brain regions (left hemisphere) is plotted. The best match corresponds to the boxplot with the lowest values (green) and the dashed blue lines show the medians of these boxplots for each case. For reference, the medians of the divergence values when not considering the new subcortical tracts are shown with the red dashed lines, which are overall more flat (with the exception of the hippocampus which has a connectivity pattern strongly driven by the dorsal subsection of the cingulum bundle (CBD\\begin{document}$CBD$\\end{document}), a cortico-cortical tract). It is evident that considering the new tracts provides enhanced contrast between the subcortical structures’ connectivity patterns, enabling their correct identification. The improvement is thus not in the best match, but in the specificity of the match.\nUsing the corresponding tracts in humans and macaques, connectivity blueprints can be calculated. These are GMxTracts\\begin{document}$GMxTracts$\\end{document} matrices, with each row providing the pattern of how a grey matter (GM) location is connected to the predefined set of Tracts (Mars et al., 2018b). Left: Starting from the average connectivity blueprints (across the 50 human subjects) of reference human regions of interest (ROIs) (Caud: caudate, Put: putamen, Thal: thalamus, Hipp: hippocampus, Amyg: amygdala), Kullback–Leibler (KL) divergence (or inverse similarity) maps can be computed against the connectivity blueprints of deeper subcortical regions in the macaque (average shown in the middle). The highest connection pattern similarity corresponds to the homologue macaque region of the corresponding human one. Right: Boxplots of KL divergence values between the reference human regions (across the 50 subjects) and the five macaque ones (across the six macaques). Each box shows the quartiles of the data while the whiskers extend to show the rest of the distribution, except for points that are determined to be “outliers”. Blue dashed line corresponds to median KL divergence values when all white matter tracts are considered (both cortico-cortical and the new subcortical ones). Red dashed line corresponds to median KL divergence when using only cortico-cortical tracts. When cortico-subcortical tracts are included vs not, there is increased specificity/contrast in the cross-species mapping of these deeper structures. The boxplot with the lowest median divergence is shown in green in each case, indicating the best-matching regions in the macaque to the human reference (i.e. caudate human reference best matches macaque caudate, putamen human reference best matches macaque putamen, etc).\nHaving shown increased contrast and specificity in the mapping of deep brain structures, we investigated whether we see a similar effect in the cortex. We selected a set of nearby frontal region pairs to map across the human and the macaque (Figure 6), since a number of the new tracts connect frontal regions to the subcortex. Specifically, we considered the dorsomedial prefrontal cortex (dmPFC\\begin{document}$dmPFC$\\end{document}), the ventromedial prefrontal cortex (vmPFC\\begin{document}$vmPFC$\\end{document}), the rostral orbitofrontal cortex (OFCr\\begin{document}$OFC_r$\\end{document}), and the frontal operculum (FOp\\begin{document}$FOp$\\end{document}). These regions were also chosen as they are part of different functional networks (default mode, limbic, and frontoparietal networks), equivalently defined between the macaque and human (Thomas Yeo et al., 2011).\nTwo pairs of neighbouring frontal regions were chosen (dmPFC\\begin{document}$dmPFC$\\end{document}: dorsomedial prefrontal cortex and vmPFC\\begin{document}$vmPFC$\\end{document}: ventromedial prefrontal cortex, OFCr\\begin{document}$OFC_r$\\end{document}: rostral orbitofrontal cortex and FOP\\begin{document}$FO_P$\\end{document}: frontal operculum) and their mapping from human to macaque (A) and from macaque to human (B) was explored. For comparison, we overlay in cyan the corresponding homologue regions in each species, as defined in Folloni et al., 2019. (A) Kullback–Leibler (KL) divergence maps in the macaque for a given human cortical reference region (one region per row), representing the similarity in connectivity patterns across the macaque cortex to the average pattern of the human reference region. KL divergence maps are calculated using cortico-cortical (first column), cortico-subcortical (second column), and all tracts (third column) to highlight the effect of the cortico-subcortical tractography reconstructions in the prediction. Subcortical tracts provide larger benefits for the prediction of vmPFC\\begin{document}$vmPFC$\\end{document} and OFCr\\begin{document}$OFC_r$\\end{document}, increasing specificity with respect to the expected borders. (B) Same as in A, but using macaque regions as reference and making predictions on the human cortex. KL divergence maps in the human for a given macaque cortical region, representing the similarity of connectivity pattern across the human cortex to the average pattern of the reference macaque region. Overall, in both species, an increased similarity to the reference regions in the homologue areas and decreased similarity across the rest of the cortex is observed, when cortico-subcortical tracts are considered (second or third column). Using the average human (across 50 subjects) and average macaque (across 6 animals) blueprints for this analysis.\nThe prediction from human to macaque is shown in Figure 6A, while the converse prediction from macaque to human is shown in Figure 6B. In each case, we compare the prediction using only cortico-cortical tracts (column 1), using only cortico-subcortical tracts (column 2), and using the full set (column 3) (sets of tracts defined in Appendix 1—table 1 – the middle cerebellar peduncle (MCP\\begin{document}$MCP$\\end{document}) was not used in these comparisons). The predicted areas with the highest similarity in connectivity patterns are depicted in blue, while the a priori expected homologue region borders have been outlined in cyan. These results demonstrate benefits when using the subcortical tracts, with mapping of some regions (for instance vmPFC\\begin{document}$vmPFC$\\end{document} and OFCr\\begin{document}$OFC_r$\\end{document}) being improved more than others. However, in general, we observed an increase in cross-species similarity in the corresponding areas of interest, combined with a decrease in similarity everywhere else in the cortex, when we considered cortico-subcortical tracts (columns 2 and 3) compared to when we considered cortico-cortical tracts alone (column 1).\nFigure 7 provides a further insight into these mappings, by plotting the connectivity patterns of the human regions against the pattern of its identified best match in the macaque brain. As can be observed, despite the relative proximity of these frontal regions, we have distinct patterns across them. With the exception of dmPFC\\begin{document}$dmPFC$\\end{document}, the connectivity patterns of all other regions have major contributions from the frontal striatal bundle, the extreme capsule and the AMF tract and connection patterns to these cortico-subcortical bundles enable better separation of these nearby regions. For instance, vmPFC\\begin{document}$vmPFC$\\end{document} and dmPFC\\begin{document}$dmPFC$\\end{document} have both connections through the cingulum bundle, the corpus callosum and the inferior fronto-occipital fasciculus. However, they connect differently to the striatal bundle, the AMF tract and the anterior thalamic radiation, and the addition of these tracts in the connectivity patterns allows the two regions to be better distinguished. The FOp\\begin{document}$FOp$\\end{document} and OFCr\\begin{document}$OFC_r$\\end{document} have both relatively strong connection patterns to the uncinate and the inferior fronto-occipital fasciculi, but it is their different pattern of connections to extreme and external capsules and the AMF tract that enable their better separation.\nConsidered regions are the same as in Figure 6A, that is, FOP\\begin{document}$FO_P$\\end{document}: frontal operculum, OFCr\\begin{document}$OFC_r$\\end{document}: rostral orbitofrontal cortex, dmPFC\\begin{document}$dmPFC$\\end{document}: dorsomedial prefrontal cortex, vmPFC\\begin{document}$vmPFC$\\end{document}: ventromedial prefrontal cortex. Reference regions were chosen in the human cortex, shown in orange, and obtained from Folloni et al., 2019. The best matching region across the whole macaque cortex was identified by the minimum Kullback–Leibler (KL) divergence in connectivity patterns (thresholded at the 7th percentile in each case) and is shown in blue. Average connectivity patterns for the reference and best-matching regions are depicted using the polar plots. For each region, similarities in the connectivity patterns between the macaque and human can be observed, with the new cortico-subcortical bundles contributing to these patterns. For instance, FOP\\begin{document}$FO_P$\\end{document} has a strong connection pattern involving EMCf\\begin{document}$EMC_f$\\end{document} and uncinate fasciculus (UF) and moderately StBf\\begin{document}$StB_f$\\end{document} and AF, while its neighbouring OFCr\\begin{document}$OFC_r$\\end{document} has a stronger pattern involving StBf\\begin{document}$StB_f$\\end{document} and UF, compared to EMCf\\begin{document}$EMC_f$\\end{document}. These differences are preserved across both species. Using the average human (across 50 subjects) and average macaque (across 6 animals) blueprints for this analysis.\n\n\n### Subcortical tract reconstruction across species and comparisons with tracers\nUsing dMRI data from the macaque (N=6\\begin{document}$N=6$\\end{document}) and human brain (N=50\\begin{document}$N=50$\\end{document}) and the defined protocols, we performed tractography reconstructions for all the tracts of interest. Maximum intensity projections of the resultant group-averaged tract reconstructions for the macaque and human are shown colour-coded in Figure 1 (individual tracts can be seen in Appendix 1—figure 1). These reveal overall correspondence in the main bodies of tracts across species, while capturing differences in (sub)cortical projections.\nMaximum intensity projections (MIPs) in sagittal, coronal, and axial views of group-averaged probabilistic path distributions, for all proposed tractography protocols in the macaque (6 animal average) and human (average of 50 subjects from the Human Connectome Project). All MIPs are within a window of 20% of the field of view centred at the displayed slices. (A) Frontal, temporal, and parietal parts of the extreme capsule (EmCf,EmCt,EmCP\\begin{document}$EmC_f,EmC_t,EmC_P$\\end{document}); frontal, temporal, and parietal parts of the striatal bundle (StBf,StBt,StBp\\begin{document}$StB_f, StB_t, StB_p$\\end{document}); and the Muratoff bundle (MB). (B) Amygdalofugal tract (AMF); anterior commissure (AC); uncinate fasciculus (UF\\begin{document}$UF$\\end{document}); sensorimotor part of the striatal bundle (StBm\\begin{document}$StB_m$\\end{document}). Path distributions were thresholded at 0.1% before averaging.\nWe explored whether WM organisation principles known from the tracer literature are captured in these tractography reconstructions (Bullock et al., 2022; Lehman et al., 2011; Schmahmann and Pandya, 2006; Makris and Pandya, 2009; Choi et al., 2017a; Liu et al., 2020). For instance, the striatal bundle (StB\\begin{document}$StB$\\end{document})/external capsule is always medial to the extreme capsule and the MB runs along the head of the caudate nucleus. Figure 2A shows the relative positioning for StBf\\begin{document}$StB_f$\\end{document}, EmCf\\begin{document}$EmC_f$\\end{document}, and MB\\begin{document}$MB$\\end{document} bundles. Correspondence between tractography results and tract tracing reconstruction in the macaque can be observed, with their relative positions being preserved. This relative position was preserved in the human tractography results as well. Furthermore, the medio-lateral separation is also observed in the other parts of StB\\begin{document}$StB$\\end{document} and EmC\\begin{document}$EmC$\\end{document} (i.e. parietal and temporal), as shown in Appendix 1—figure 2. Similarly, for the AMF\\begin{document}$AMF$\\end{document} bundle (Figure 2B), this runs through the AC and ventral pallidum, as well as, in its lateral part, over the UF\\begin{document}$UF$\\end{document}. We see agreement with respect to these relative positions in both the macaque and human.\nThe proposed protocols were first developed in the macaque guided by tracer literature, and then transferred over to the human. Relative positioning of diffusion magnetic resonance imaging (dMRI)-reconstructed tracts was subsequently explored against the ones suggested by tracers, with good agreement in both species. (A) The dorsal–medial/ventral–lateral separation between the extreme an external capsule (here the frontal parts (EmCf\\begin{document}$EmC_f$\\end{document}) and StBf\\begin{document}$StB_f$\\end{document} shown) is present in macaque tractography, as suggested in the tracer literature. The Muratoff bundle runs along the head of the caudate nucleus. These relative positions are also preserved in the human tractography results. Tracer image modified from Petrides and Pandya, 2006 with permission (under a CC BY 4.0 licence). (B) Similarly for the amygdalofugal (AMF) bundle, which runs under the anterior commissure (AC) and over the uncinate fasciculus (UF), we see agreement with tracer studies with respect to its location in both the macaque and human tractography (Oler et al., 2017; Folloni et al., 2019; Oler and Fudge, 2019). Tracer image adapted from Oler et al., 2017 with permission (under a CC BY 4.0 licence). In all examples group-average tractography results are shown.\nIn addition to the main WM core of the reconstructed bundles, we also explored agreement of the relative connectivity patterns within the striatum between tracers and tractography. Cortical injections of anterograde tracers from different parts of the macaque brain reveal a dorsolateral to ventromedial organisation in the putamen, from parietal to temporal projections (Figure 3). Using the path distribution of the tractography reconstructed StB\\begin{document}$StB$\\end{document} parts within the putamen, we could obtain a similar pattern in the macaque brain. This also resembled the pattern found in the human brain, as shown in both coronal and axial views.\nLeft: Using macaque tracer data from 78 injections in various parts of the cortex, tracer termination sites in the putamen suggested a pattern based on the distinct cortical origin of the tracer injection sites; moving from the dorsolateral to the ventromedial putamen. Right: The path distributions of the different parts of the striatal bundle (StBf,StBm,StBp,StBt\\begin{document}$StB_f,StBm,StB_p,StB_t$\\end{document}) within the putamen reveal a similar pattern of connectivity to different parts of the cortex, both for macaque (top) and the human (bottom). Coronal and axial views of group-average results are shown for tractography. Cortical areas (Front: frontal cortex, Par: parietal cortex, Temp: temporal cortex, SensMot: Sensorimotor cortex) were obtained from the CHARM1 parcellation (Jung et al., 2021) in the macaque brain (for both tracers and tractography) and from the Harvard parcellation in the human (Frazier et al., 2005; Desikan et al., 2006; Makris and Pandya, 2009).\n\n\n### Generalisability across data and individuals\nWe subsequently explored generalisability and robustness of the tractography protocols against NHP template spaces and dMRI data quality. Appendix 1—figure 3 shows tract reconstructions in the macaque brain when using the F99 (Van Essen, 2002) vs the NMT (Seidlitz et al., 2018) templates, similar tractography reconstructions for protocols defined in either of the two templates.\nTo explore performance against data quality, we compared tractography reconstruction in very high-quality high-resolution data from the Human Connectome Project (HCP) (Van Essen et al., 2013; Sotiropoulos et al., 2013), to tractography in more standard quality data from the UK Biobank dataset (Miller et al., 2016). Appendix 1—figure 4 demonstrates the ability to reconstruct all tracts across a range of data qualities, with good correspondence of the main bodies of the tracts in both datasets. We quantified this agreement by calculating the mean Pearson’s correlation across the set of new and revised tracts for each unique pair of subjects across and within each of the HCP and UK Biobank (UKB) datasets (Figure 4A). For reference, we performed similar correlations for the original set of XTRACT tracts (Warrington et al., 2020) (see Appendix 1—table 1 for a list of Original vs New + Revised tracts). Higher correlation was observed within each dataset, but also a sufficiently high correlation between the two datasets. We found similar patterns across datasets both for the original and the new tracts, showcasing that the new protocols behave similarly to the widely used original XTRACT protocols, across data qualities.\nResults for the new subcortical tracts (right column) are shown against reference corresponding results for the original set of XTRACT tracts (left column), which have been widely used (Warrington et al., 2020). (A) Tract similarity within and between two in vivo human cohorts, spanning a wide range of diffusion magnetic resonance imaging (dMRI) data quality (HCP: high resolution, long scan time, bespoke setup, UK Biobank (UKB): standard resolution, short scan time, clinical scanner). Violin plots of the average across tracts pairwise Pearson’s correlations, between 1225 unique subject pairs within and across the two cohorts, are shown. Correlations are performed on normalised tract density maps with a threshold of 0.5%. Reported μ is the mean of the correlations across tracts and subject pairs and σ is the standard deviation. (B) Tract similarity in twins, non-twin siblings, and unrelated subjects. Violin plots of the average across tracts pairwise Pearson’s correlations between 72 monozygotic (MZ) twin pairs, 72 dizygotic (DZ) twin pairs, 72 non-twin sibling pairs, and 72 unrelated subject pairs from the Human Connectome Project. Heritable traits are more similar in MZ twins, equally similar in DZ twins and non-twin siblings and more than in unrelated subjects. Asterisk indicates significant pairwise comparisons between groups, as indicated by the brackets.\nThe mean agreement between HCP and UKB reconstructions was lower compared to within-dataset agreements. The two cohorts correspond to different age ranges, with HCP having younger adults than the UKB, which could be contributing to these differences. In addition, this was due to occasionally reconstructing a sparser path distribution in the low-resolution data, particularly for some of the new tracts, as both their relative size and their proximity make them more challenging. This highlights the potential importance of having high-resolution data in tracking WM bundles in densely packed areas of higher complexity. It is interesting to note, however, that similar tracts were less/more reproducible between subjects across data qualities. For the lower quality data from the UKB, the tracts with lowest agreement across subjects (Pessoa, 2023) were the AC\\begin{document}$AC$\\end{document} and the temporal part of the extreme capsule (EmCt\\begin{document}$EmC_t$\\end{document}), while the highest correlations were for the MB\\begin{document}$MB$\\end{document} and the temporal part of the striatal bundle (StBt\\begin{document}$StB_t$\\end{document}). For the higher quality HCP data, the temporal part of the extreme capsule (EmCt\\begin{document}$EmC_t$\\end{document}) and the MB\\begin{document}$MB$\\end{document} were also the tracts with the lowest/highest correlations across subjects, respectively. Hence, certain tract reconstructions were consistently more variable than others across subjects, which may hint at also being more challenging to reconstruct. Taken together, despite differences, our results suggest all tracts could be reconstructed across both data qualities in a generalisable manner (Appendix 1—figure 4).\nWe subsequently explored whether the proposed protocols preserve aspects of individual variability. We used the family structure in the HCP data to explore whether tract reconstructions from monozygotic twin pairs are more similar compared to tracts obtained from other pairs of siblings or unrelated subjects. As shown in Figure 4B, we found a decrease in pairwise tract similarity going from monozygotic twins to dizygotic twins and non-twin siblings, and to pairs of unrelated subjects. For reference, we performed the same analysis for the original XTRACT tracts and the same pattern persisted for the new (and revised) tracts, in agreement with previous work (Bohlken et al., 2014; Shen et al., 2014; Warrington et al., 2020). In each analysis, all pairwise differences were significant (Bonferroni corrected p<0.05\\begin{document}$p< 0.05$\\end{document}; following a Mann–Whitney U-test), with the exception of dizygotic twins compared to non-twin siblings.\nExamples of tract reconstructions on individual subjects are shown in Appendix 1—figure 6, Appendix 1—figure 7. The figures demonstrate tractography results for subjects corresponding to 10th, 50th, and 90th percentiles of the distribution of tract correlations to the HCP group average. This ranking was also representative of high, medium, and low subject motion across the cohort, respectively. Results demonstrate that the expected patterns are preserved for all tracts (MB\\begin{document}$MB$\\end{document}, AMF\\begin{document}$AMF$\\end{document}, UF\\begin{document}$UF$\\end{document}, EmC\\begin{document}$EmC$\\end{document}, StB\\begin{document}$StB$\\end{document} (frontal and parietal parts)). Appendix 1—figure 6 shows that even the relative medial–lateral organisation of the StB\\begin{document}$StB$\\end{document} with respect to the EmC\\begin{document}$EmC$\\end{document} is also maintained across the three individual examples, in agreement with the group-average pattern.\n\n\n### Identifying homologues in cortex and subcortex using tractography patterns\nBased on our previous work (Mars et al., 2018b), we used the similarity of areal connectivity patterns with respect to equivalently defined WM tracts across the two species to identify homologous GM regions between humans and macaques. With the addition of the new subcortical tracts, we could perform this task for deep brain structures (subcortical nuclei and hippocampus) with considerably greater granularity than before. Figure 5 demonstrates such identification task for five structures in the left hemisphere (caudate, putamen, thalamus, amygdala, hippocampus) using cortico-cortical and cortico-subcortical tracts (sets of tracts defined in Appendix 1—table 1). On the left, the regions in the macaque brain with the lowest divergence (highest similarity) in their connectivity patterns to the connectivity patterns of the corresponding human regions are shown in blue. Using only connectivity pattern similarity, these five structures can be matched almost perfectly across the two species. For instance, human putamen (left hemisphere) has more similar connectivity (lower divergence) to macaque putamen (left hemisphere), human thalamus (left hemisphere) to macaque thalamus (left hemisphere), etc. Since we are mapping structures in the left hemisphere using left hemisphere tracts, we observe a low similarity in the contralateral (right) hemisphere, as expected. On the right of Figure 5, this identification is quantified even further, highlighting the value of considering the new tracts. For every human left-hemisphere region (specified on the vertical axis), the boxplot of divergence of connectivity patterns to each of the five macaque deep brain regions (left hemisphere) is plotted. The best match corresponds to the boxplot with the lowest values (green) and the dashed blue lines show the medians of these boxplots for each case. For reference, the medians of the divergence values when not considering the new subcortical tracts are shown with the red dashed lines, which are overall more flat (with the exception of the hippocampus which has a connectivity pattern strongly driven by the dorsal subsection of the cingulum bundle (CBD\\begin{document}$CBD$\\end{document}), a cortico-cortical tract). It is evident that considering the new tracts provides enhanced contrast between the subcortical structures’ connectivity patterns, enabling their correct identification. The improvement is thus not in the best match, but in the specificity of the match.\nUsing the corresponding tracts in humans and macaques, connectivity blueprints can be calculated. These are GMxTracts\\begin{document}$GMxTracts$\\end{document} matrices, with each row providing the pattern of how a grey matter (GM) location is connected to the predefined set of Tracts (Mars et al., 2018b). Left: Starting from the average connectivity blueprints (across the 50 human subjects) of reference human regions of interest (ROIs) (Caud: caudate, Put: putamen, Thal: thalamus, Hipp: hippocampus, Amyg: amygdala), Kullback–Leibler (KL) divergence (or inverse similarity) maps can be computed against the connectivity blueprints of deeper subcortical regions in the macaque (average shown in the middle). The highest connection pattern similarity corresponds to the homologue macaque region of the corresponding human one. Right: Boxplots of KL divergence values between the reference human regions (across the 50 subjects) and the five macaque ones (across the six macaques). Each box shows the quartiles of the data while the whiskers extend to show the rest of the distribution, except for points that are determined to be “outliers”. Blue dashed line corresponds to median KL divergence values when all white matter tracts are considered (both cortico-cortical and the new subcortical ones). Red dashed line corresponds to median KL divergence when using only cortico-cortical tracts. When cortico-subcortical tracts are included vs not, there is increased specificity/contrast in the cross-species mapping of these deeper structures. The boxplot with the lowest median divergence is shown in green in each case, indicating the best-matching regions in the macaque to the human reference (i.e. caudate human reference best matches macaque caudate, putamen human reference best matches macaque putamen, etc).\nHaving shown increased contrast and specificity in the mapping of deep brain structures, we investigated whether we see a similar effect in the cortex. We selected a set of nearby frontal region pairs to map across the human and the macaque (Figure 6), since a number of the new tracts connect frontal regions to the subcortex. Specifically, we considered the dorsomedial prefrontal cortex (dmPFC\\begin{document}$dmPFC$\\end{document}), the ventromedial prefrontal cortex (vmPFC\\begin{document}$vmPFC$\\end{document}), the rostral orbitofrontal cortex (OFCr\\begin{document}$OFC_r$\\end{document}), and the frontal operculum (FOp\\begin{document}$FOp$\\end{document}). These regions were also chosen as they are part of different functional networks (default mode, limbic, and frontoparietal networks), equivalently defined between the macaque and human (Thomas Yeo et al., 2011).\nTwo pairs of neighbouring frontal regions were chosen (dmPFC\\begin{document}$dmPFC$\\end{document}: dorsomedial prefrontal cortex and vmPFC\\begin{document}$vmPFC$\\end{document}: ventromedial prefrontal cortex, OFCr\\begin{document}$OFC_r$\\end{document}: rostral orbitofrontal cortex and FOP\\begin{document}$FO_P$\\end{document}: frontal operculum) and their mapping from human to macaque (A) and from macaque to human (B) was explored. For comparison, we overlay in cyan the corresponding homologue regions in each species, as defined in Folloni et al., 2019. (A) Kullback–Leibler (KL) divergence maps in the macaque for a given human cortical reference region (one region per row), representing the similarity in connectivity patterns across the macaque cortex to the average pattern of the human reference region. KL divergence maps are calculated using cortico-cortical (first column), cortico-subcortical (second column), and all tracts (third column) to highlight the effect of the cortico-subcortical tractography reconstructions in the prediction. Subcortical tracts provide larger benefits for the prediction of vmPFC\\begin{document}$vmPFC$\\end{document} and OFCr\\begin{document}$OFC_r$\\end{document}, increasing specificity with respect to the expected borders. (B) Same as in A, but using macaque regions as reference and making predictions on the human cortex. KL divergence maps in the human for a given macaque cortical region, representing the similarity of connectivity pattern across the human cortex to the average pattern of the reference macaque region. Overall, in both species, an increased similarity to the reference regions in the homologue areas and decreased similarity across the rest of the cortex is observed, when cortico-subcortical tracts are considered (second or third column). Using the average human (across 50 subjects) and average macaque (across 6 animals) blueprints for this analysis.\nThe prediction from human to macaque is shown in Figure 6A, while the converse prediction from macaque to human is shown in Figure 6B. In each case, we compare the prediction using only cortico-cortical tracts (column 1), using only cortico-subcortical tracts (column 2), and using the full set (column 3) (sets of tracts defined in Appendix 1—table 1 – the middle cerebellar peduncle (MCP\\begin{document}$MCP$\\end{document}) was not used in these comparisons). The predicted areas with the highest similarity in connectivity patterns are depicted in blue, while the a priori expected homologue region borders have been outlined in cyan. These results demonstrate benefits when using the subcortical tracts, with mapping of some regions (for instance vmPFC\\begin{document}$vmPFC$\\end{document} and OFCr\\begin{document}$OFC_r$\\end{document}) being improved more than others. However, in general, we observed an increase in cross-species similarity in the corresponding areas of interest, combined with a decrease in similarity everywhere else in the cortex, when we considered cortico-subcortical tracts (columns 2 and 3) compared to when we considered cortico-cortical tracts alone (column 1).\nFigure 7 provides a further insight into these mappings, by plotting the connectivity patterns of the human regions against the pattern of its identified best match in the macaque brain. As can be observed, despite the relative proximity of these frontal regions, we have distinct patterns across them. With the exception of dmPFC\\begin{document}$dmPFC$\\end{document}, the connectivity patterns of all other regions have major contributions from the frontal striatal bundle, the extreme capsule and the AMF tract and connection patterns to these cortico-subcortical bundles enable better separation of these nearby regions. For instance, vmPFC\\begin{document}$vmPFC$\\end{document} and dmPFC\\begin{document}$dmPFC$\\end{document} have both connections through the cingulum bundle, the corpus callosum and the inferior fronto-occipital fasciculus. However, they connect differently to the striatal bundle, the AMF tract and the anterior thalamic radiation, and the addition of these tracts in the connectivity patterns allows the two regions to be better distinguished. The FOp\\begin{document}$FOp$\\end{document} and OFCr\\begin{document}$OFC_r$\\end{document} have both relatively strong connection patterns to the uncinate and the inferior fronto-occipital fasciculi, but it is their different pattern of connections to extreme and external capsules and the AMF tract that enable their better separation.\nConsidered regions are the same as in Figure 6A, that is, FOP\\begin{document}$FO_P$\\end{document}: frontal operculum, OFCr\\begin{document}$OFC_r$\\end{document}: rostral orbitofrontal cortex, dmPFC\\begin{document}$dmPFC$\\end{document}: dorsomedial prefrontal cortex, vmPFC\\begin{document}$vmPFC$\\end{document}: ventromedial prefrontal cortex. Reference regions were chosen in the human cortex, shown in orange, and obtained from Folloni et al., 2019. The best matching region across the whole macaque cortex was identified by the minimum Kullback–Leibler (KL) divergence in connectivity patterns (thresholded at the 7th percentile in each case) and is shown in blue. Average connectivity patterns for the reference and best-matching regions are depicted using the polar plots. For each region, similarities in the connectivity patterns between the macaque and human can be observed, with the new cortico-subcortical bundles contributing to these patterns. For instance, FOP\\begin{document}$FO_P$\\end{document} has a strong connection pattern involving EMCf\\begin{document}$EMC_f$\\end{document} and uncinate fasciculus (UF) and moderately StBf\\begin{document}$StB_f$\\end{document} and AF, while its neighbouring OFCr\\begin{document}$OFC_r$\\end{document} has a stronger pattern involving StBf\\begin{document}$StB_f$\\end{document} and UF, compared to EMCf\\begin{document}$EMC_f$\\end{document}. These differences are preserved across both species. Using the average human (across 50 subjects) and average macaque (across 6 animals) blueprints for this analysis.\n\n\n### Discussion\nWe introduced standardised dMRI tractography protocols for delineating cortico-subcortical connections between cortex and the amygdala, caudate, putamen, and the hippocampus, across humans and macaques. Building upon our previous work (Mars et al., 2018b; Warrington et al., 2020), which already provided protocols for cortico-thalamic radiations, and guided by the chemical tracer literature in the macaque, we devised the new protocols first for the macaque and then extended to humans. We demonstrated that our reconstructed tracts preserve topographical organisation principles, as suggested by tracers (Haber et al., 2006; Haber, 2016; Oldham and Ball, 2023).\nAs outlined in Schilling et al., 2020, tractography reconstructions can be highly accurate if information about where pathways go, and where they do not go is available. This is the philosophy behind the proposed protocols, which provide this type of constraints across different bundles. At the same time, these constraints are relatively coarse so that they are species-generalisable. We found that the proposed approaches yield tractography reconstruction across a range of datasets and respect individual similarities stemming from twinship. We further assessed the efficacy of these protocols in performing connectivity-based identification of homologous cortical and subcortical areas across the two species (Mars et al., 2018b; Mars et al., 2021; Warrington et al., 2022).\nMapping WM tracts that link cortical areas with deep brain structures (subcortical nuclei and hippocampus), as done here, enhances capabilities for studying neuroanatomy in many contexts, from evolution and development to mental health and neuropathology. As one of the (evolutionarily) older brain structures, the subcortex modulates brain functions including basic emotions, motivation, and movement control, providing a foundation upon which the more complex cognitive abilities of the cortex could develop and evolve (Haber et al., 2006; Pennartz et al., 2009; Haber, 2016; Sherman, 2016; Cruz et al., 2023). This modulatory function is mediated via WM bundles (Haber, 2016; Chumin et al., 2022). Consequently, their disruption is linked to abnormal function and pathology, in mental health, neurodegenerative, and neurodevelopmental disorders (Heller, 2016; Peters et al., 2016; Weerasekera et al., 2024). For example, in depression, fronto-thalamic (Bhatia et al., 2018), cortico-amygdalar (Arnsten and Rubia, 2012; Jalbrzikowski et al., 2017), and cortico-striatal (van Velzen et al., 2020) connectivity changes have been reported, while in schizophrenia there are associated fronto-striatal (Levitt et al., 2017) and hippocampal connectivity (Ikeda et al., 2023) changes. In Parkinson’s, there is impairment in fronto-striatal connectivity (Theilmann et al., 2013; Von Der Heide et al., 2013; Khan et al., 2019; Marecek et al., 2024), while fronto-thalamic and cingulate connectivity are impaired in Alzheimer’s disease (Von Der Heide et al., 2013; Bubb et al., 2018). Connectivity between the frontal lobe and the amygdala, thalamus, and striatum, as well as cingulum connectivity, is impaired in obsessive compulsive disorder, autism spectrum disorder, and attention deficit hyperactivity disorder (Langen et al., 2012; Arnsten and Rubia, 2012; Haber and Behrens, 2014; Kilroy et al., 2022). Therefore, reconstructing connectivity of these deep brain structures (striatum, thalamus, amygdala, and hippocampus) in a standardised manner, as enabled by our proposed tools, allows for further investigation into a wide range of disorders.\nIn addition, tractography of connections linking to/from deep brain structures has been used or proposed for guiding neuromodulation interventions, for example, deep brain stimulation (DBS) (Haber et al., 2021; Alagapan et al., 2023) or repetitive transcranial magnetic stimulation (rTMS) (Peters et al., 2016). DBS can inherently target subcortical structures and connectivity of subcortical circuits can be used to identify efficacious stimulation targets (Pouratian et al., 2011; Akram et al., 2017). rTMS, on the other hand, modulates subcortical function indirectly by targeting the structurally connected cortical areas. For example, dmPFC has been targeted to modulate the reward circuitry, in cases of anhedonia, negative symptoms in schizophrenia and major depression disorder (Dunlop et al., 2020; Gan et al., 2021; Bodén et al., 2021), while the vmPFC has been used as a target to modulate the prefrontal–striatal network (part of the limbic system) and regulate emotional arousal/anxiety (Chen et al., 2020; Kroker et al., 2022; Moses et al., 2025). Our results show a good mapping across species of both these cortical regions with specificity in their connectional patterns. Additionally, the motor cortex has been used as a target to modulate cortico-striatal connectivity in general anxiety disorder (Balderston et al., 2020; Fitzsimmons et al., 2024). We thus anticipate that having a standardised set of tracts linking the striatum, the hippocampus, the amygdala and the thalamus (all potential sites for stimulation) to specific cortical areas can assist the planning of interventions.\nOur cross-species approach naturally lends itself to the study of evolutionary diversity. A number of comparative studies have revealed differences and similarities when comparing brain connectivity between humans and non-human primates (Barrett et al., 2020), including macaques (Mars et al., 2018b; Warrington et al., 2022) and chimpanzees (Bryant et al., 2025). Our work naturally extends these efforts and provides new tools for studying this diversity in deeper structures and subcortical nuclei. The ever-increasing availability of comparative MRI data (Bryant et al., 2021; Tendler et al., 2022) allows the definition of similar protocols in more species, such as the gibbon (Bryant et al., 2020; Bryant et al., 2024) or the marmoset monkey, and even across geometrically diverse brains depicting different stages of neurodevelopment (e.g. neonates vs adults) enabling concurrent studies of phylogeny and ontogeny (Warrington et al., 2022).\nOur protocols have been developed and tested using FSL-XTRACT, but, in principle, are not specific to FSL. We have not evaluated performance with other tools, but these standard-space protocols could be translated into other tractography approaches. As described before, the protocols are recipes with anatomical constraints, including regions to which the corresponding WM pathways connect and regions they do not, constructed with cross-species generalisability in mind. Caution may be needed, however, if applying such protocols for segmenting whole-brain tractograms, as these can induce more false positives than tractography reconstructions from smaller seed regions and may require stricter exclusions.\nDespite the potential demonstrated in this work, our study has limitations. As this is the first endeavour of this scale to map cortico-subcortical connections in a standardised manner and across two species, it is not exhaustive. Tracts linking the cortex to the striatum were prioritised as they are of increased relevance in human development and disease. However, expanding to include more tracts targeting other structures would provide a more holistic view. Our protocols were developed in the adult human brain. Future work will translate them to the infant brain (expanding on previous work Warrington et al., 2022) to interrogate cortico-subcortical connectivity across development. Tractography validation is a challenge, as is validation for any indirect and non-invasive imaging approach. We explored and demonstrated the generalisability of the proposed protocols, both within and across species. We also showed how the imaging-based reconstructions follow topographical organisation principles suggested by tracers.\n\n\n### Materials and methods\nGuided by tract tracing and neuroanatomy literature, we devised tractography protocols for 18 subcortical bundles (nine bilateral – Table 1) using the XTRACT approach (Warrington et al., 2020). We also revised protocols for three more bundles (two bilateral, one commissural), compared to their original version (Warrington et al., 2020). All protocols followed two principles: (1) comprised of seed/stop/target/exclusion ROIs defined in template space, so that they are standardised and generalisable, and (2) ROIs defined equivalently between macaques and humans to enable tracking of corresponding bundles across species. The human protocols were defined in MNI152 space. The macaque protocols were defined in F99 and also in NMT space.\nThe tracts included the AMF tract, the UF\\begin{document}$UF$\\end{document}, AC\\begin{document}$AC$\\end{document}, sensorimotor, temporal, parietal, and frontal parts of the striatal bundle (StB\\begin{document}$StB$\\end{document})/external capsule (EC\\begin{document}$EC$\\end{document}), MB\\begin{document}$MB$\\end{document}/subcallosal fasciculus, as well as the extreme capsule (EmC\\begin{document}$EmC$\\end{document}) parts that run close to the putamen connecting the insula to the frontal, temporal, and parietal cortices. All XTRACT tracts (Original, Revised, and New) are summarised in Appendix 1—table 1 .\nDetailed protocol definitions are presented below and summarised in Figure 8 (for completeness, the previously published thalamic radiations from Warrington et al., 2020 are presented in Appendix 1 Materials). Briefly, the AMF\\begin{document}$AMF$\\end{document} and UF\\begin{document}$UF$\\end{document} protocols are a standard-space generalisation of the individual subject-level protocols presented in Folloni et al., 2019. For the remaining protocols, we first devised them in the macaque guided by tract tracer literature. Specifically, the approach we took was to first identify anatomical constraints from neuroanatomy literature for each tract of interest independently, derive and test these protocols in the macaque. Thus, each devised protocol included a unique combination of anatomically defined masks (based on literature descriptions of the tracts), delineated in standard macaque space (F99). We then developed corresponding protocols in the human using correspondingly defined landmarks (delineated in standard MNI space). We optimised in an iterative fashion based on two criteria: (1) the protocols generalise well to humans, and (2) when considering groups of bundles, the generated reconstructions follow topographical principles known from tract tracing literature.\nProtocol definitions for all new (and revised) tracts in the human and macaque. Protocols were first designed in the macaque brain guided by macaque tracer literature, and then transferred over to the human. Colour-coded regions depict the seed, target, and stop masks. Exclusion masks are not shown for ease of visualisation.\nWe modified existing XTRACT protocols to improve their specificity in the subcortex. Specifically, we developed a new UF\\begin{document}$UF$\\end{document} protocol based on the protocol presented in Folloni et al., 2019. We also modified the AC\\begin{document}$AC$\\end{document} protocol to improve temporal lobe projections and slightly enhance projections to the amygdala, and modified the FX\\begin{document}$FX$\\end{document} one to reduce amygdala projections by placing an exclusion in the amygdala.\nGiven the proximity of the newly defined tracts, we evaluated the new protocols against their ability to capture patterns known from the tracer literature. These included relative positioning of each tract with respect to neighbouring tracts (Figure 2) and topographical organisation of certain bundle terminals within subcortical nuclei (Figure 3).\nWe derived generalisable template-space protocols to reconstruct the limbic-cortical ventral AMF pathway, following the subject-specific protocols in Folloni et al., 2019. The AMF pathway courses between the amygdala and the prefrontal cortex (PFC), running alongside the UF\\begin{document}$UF$\\end{document} medially and finally merging with the UF\\begin{document}$UF$\\end{document} in the posterior orbitofrontal cortex (OFC). As in Folloni et al., 2019, the seed included voxels with high fractional anisotropy in an anterior–posterior direction in the sub-commissural WM. We used a target covering all brain at the level of caudal genu of the corpus callosum (same target as in the revised UF\\begin{document}$UF$\\end{document} protocol, described further below). Exclusions include an axial plane through the UF\\begin{document}$UF$\\end{document}, the internal and external capsules, the corpus callosum, the cingulate, the Sylvian fissure, the AC, the FX, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus.\nThe striatal bundle (StB\\begin{document}$StB$\\end{document}) is a bundle system that connects the cortex to the striatum and joins the external capsule (EC\\begin{document}$EC$\\end{document}). Although terminations reach both the caudate and the putamen, they primarily terminate in the putamen (Schmahmann and Pandya, 2006; Makris and Pandya, 2009; Bullock et al., 2022). Here, we defined protocols for bundles that connect the putamen with frontal (including anterior cingulate) lobe, sensorimotor cortex, parietal, and temporal lobes. For all parts, we used the putamen as the target. For StBf\\begin{document}$StB_f$\\end{document}, the OFC, PFC, ACC, and frontal pole made up the seed. For StBm\\begin{document}$StB_m$\\end{document}, the primary sensorimotor cortex (M1–S1) was used as seeds. For StBt\\begin{document}$StB_t$\\end{document} and StBp\\begin{document}$StB_p$\\end{document}, the temporal and parietal lobes were, respectively, used as a seed. The exclusion masks shared many commonalities but also had differences. For all parts, exclusions included a midsagittal plane, the subcortex, except for the putamen, as well as the occipital lobe. For each of the parts, we additionally excluded the seeds for every other StB\\begin{document}$StB$\\end{document} bundle.\nThe subcallosal fasciculus tract (as called in human neuroanatomy) or MB (as called in non-human animal neuroanatomy) (Schmahmann and Pandya, 2006; Liu et al., 2020) is a complex system of projection fibres which runs beneath the corpus callosum, above the caudate nucleus at the corner formed by the internal capsule and the corpus callosum (Forkel et al., 2014). Although terminations reach both the caudate and the putamen, they primarily terminate in the caudate head (Schmahmann and Pandya, 2006; Forkel et al., 2014; Liu et al., 2020). As its cortical projections are challenging to capture and isolate using tractography, we defined a protocol for the major core of the bundle. We used a seed in the WM adjacent to the caudate head and a target in the WM adjacent to the caudate tail. A stop mask was used beyond the target in the WM above the target. Exclusions included the contralateral hemisphere, the subcortex (except for the caudate head), the brainstem, the parietal, occipital, frontal, and temporal cortices.\nThe extreme capsule is a major association fascicle that carries association fibres between frontal–temporal and frontal–parietal, as well as these areas and the insula (Makris and Pandya, 2009). It lies between the claustrum and the insula, with the claustrum being considered the boundary between the EmC\\begin{document}$EmC$\\end{document} and the EC\\begin{document}$EC$\\end{document} (Bullock et al., 2022). We defined protocols connecting the insula to frontal, parietal, and temporal cortices. For all parts, we used the insula as the target, while for seeds, we used the same seeds as for the corresponding StB\\begin{document}$StB$\\end{document} parts. Hence, for the EmCf\\begin{document}$EmC_f$\\end{document} protocol, the frontal pole was used as the seed. For EmCp\\begin{document}$EmC_p$\\end{document}, the parietal lobe was a seed, and for EmCt\\begin{document}$EmC_t$\\end{document} the temporal lobe was a seed. Exclusions for all EmC\\begin{document}$EmC$\\end{document} parts included the contralateral part of the brain, the subcortex, as well as the occipital lobe, and lateral parts of the somatosensory and motor cortices. In addition, for each subdivision, the exclusion mask also included the seed mask for every other subdivision.\nThe UF\\begin{document}$UF$\\end{document} lies at the bottom part of the extreme capsule, curving from the inferior frontal cortex to the anterior temporal cortex. Given the neighbouring bundles that were newly defined, we took a new approach to the UF\\begin{document}$UF$\\end{document} compared to the original XTRACT implementation (Warrington et al., 2020), now following the principles of Folloni et al., 2019. Briefly, we used an axial seed in the WM rostro-laterally to the amygdala in the anterior temporal lobe. A target covered all brain at the level of the caudal genu of the corpus callosum. Exclusions included the basal ganglia, a coronal plane posterior to the seed, the corpus callosum, the cingulate, the Sylvian fissure, the AC, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus. This implementation provided improved connectivity to the dorsal frontal cortex and aided separability with respect to neighbouring WM bundles.\nCompared to original XTRACT protocol, we entirely re-worked the AC\\begin{document}$AC$\\end{document} protocol. Previously, the mid-line main body of the AC\\begin{document}$AC$\\end{document} was the seed with targets either side and stops at the amygdala. Now, we use a temporal pole as the seed, the main body of the AC\\begin{document}$AC$\\end{document} as a waypoint and the contralateral temporal pole as the final target. For the human, we use the Harvard-Oxford temporal pole ROI (Desikan et al., 2006). For the macaque, we use the CHARM temporal pole ROI (Jung et al., 2021). The temporal pole seed/target pair is flipped and tractography is repeated, taking the average of runs. Compared to the previous version, this protocol provides greater symmetry in resultant reconstructions and greater connectivity to the poles of the temporal cortex, as suggested in the literature (Jouandet and Gazzaniga, 1979; Catani and Thiebaut de Schotten, 2013; Fenlon et al., 2021; Bullock et al., 2022), and slightly enhanced connectivity to the amygdala.\nFor the FX\\begin{document}$FX$\\end{document}, a main output tract of the hippocampus, we have added an exclusion mask to the amygdala to prevent FX\\begin{document}$FX$\\end{document} leakage to the amygdala, thus providing a cleaner FX\\begin{document}$FX$\\end{document} compared to the original XTRACT implementation (Warrington et al., 2020). For the human protocol, we used the Harvard-Oxford amygdala ROI (Frazier et al., 2005). For the macaque, we used the SARM amygdala ROI (Hartig et al., 2021).\nWe used six high-quality ex vivo rhesus macaque dMRI datasets, available from PRIME-DE (Milham et al., 2018). As described in Mars et al., 2018b; Warrington et al., 2020, these were acquired using a 7T Agilent DirectDrive console, with a 2D diffusion-weighted spin-echo protocol with single-line readout protocol with 16 volumes acquired at b = 0 s/mm2, 128 volumes acquired at b = 4000 s/mm2, and a 0.6-mm isotropic spatial resolution.\nWe used high quality minimally preprocessed (Glasser et al., 2013) in vivo dMRI data from the young adult HCP (Van Essen et al., 2013; Sotiropoulos et al., 2013). The HCP data were acquired using a bespoke 3T Connectom Skyra (Siemens, Erlangen) with a monopolar diffusion-weighted (Stejskal–Tanner) spin-echo echo planar imaging sequence with an isotropic spatial resolution of 1.25 mm, three shells (b values = 1000, 2000, and 3000 s/mm2), and 90 unique diffusion directions per shell plus 6 b = 0 s/mm2 volumes, acquired twice with opposing phase encoding polarities. Data correspond to total scan time per subject of approximately 55 min. For this study, we randomly drew 50 HCP subjects (age range, 22–36 years of age, 24/26 females/males).\nTo assess robustness against data quality, we also used data from the UK Biobank (3T Prisma, 32 channel coil, 2 mm isotropic resolution, b values = 1000 and 2000 s/mm2, 50 directions per shell). The UK Biobank data are acquired with approximately 6.5 min scan time per subject and therefore represent more standard quality datasets, achievable in a clinical scanner (Miller et al., 2016). Fifty subjects were randomly drawn from the UK Biobank (UKB) (age range 42–65 years of age, 31/19 females/males). For both HCP and UKB cohorts, we ensured that the distribution of QC metrics (such as subject motion and image SNR/CNR) was representative of the full HCP and UKB cohorts that we had available.\nTracer data were used to test aspects of the striatal bundle protocols (Figure 3). These were made available by SRH and were obtained from an existing collection of injections in 19 macaque brains, from Weber and Yin, 1984; Baizer et al., 1993; Yeterian and Pandya, 1995; Yeterian and Pandya, 1998; Ferry et al., 2000; Haber et al., 2006; Parvizi et al., 2006; Schmahmann and Pandya, 2006; Calzavara et al., 2007; Choi et al., 2017a; Choi et al., 2017b and cases from the laboratory of SRH. Specifically, anterograde tracers were injected across 78 cortical locations, and their terminations within the putamen were recorded in coronal slices of the NMT template space at 0.5 mm resolution. Specifically, the injection sites were first assigned to one of four cortical ROIs (frontal, parietal, temporal, and sensorimotor cortices), obtained from the NMT CHARM v1 parcellation (Jung et al., 2021). For each of these four injection ROIs, we counted all the corresponding terminations within the putamen, and then divided by the total number of termination sites. This resulted in a termination probability map for each cortical region across the putamen, and these termination maps were smoothed using spline interpolation. The putamen mask was obtained from the NMT SARM v1 parcellation (Hartig et al., 2021). To compare against tractography in F99 space, these maps were nonlinearly registered from NMT to F99 space using RheMAP (Klink and Sirmpilatze, 2020).\nFor both the human and macaque data, we modelled fibre orientations for up to three orientations per voxel using FSL’s BEDPOSTX (Jbabdi et al., 2012; Hernández et al., 2013) (Key resources table). These orientations were used in tractography. Probabilistic tractography was performed using FSL’s XTRACT (Warrington et al., 2020), which uses FSL’s PROBTRACKX (Behrens et al., 2007; Hernandez-Fernandez et al., 2019) (Key resources table). The standard-space protocol masks were used to seed and guide tractography, which occurred in diffusion space for each dataset. 60 major WM fibre bundles were reconstructed 30 cortico-cortical, 29 cortico-subcortical, 1 cerebellar, Appendix 1—table 1 . A curvature threshold of 80° was used, the maximum number of streamline steps was 2000, and subsidiary fibres were considered above a volume fraction threshold of 1%. A step size of 0.5 mm was used for the human brain, and a step size of 0.2 mm was used for the macaque brain. Resultant spatial path distributions were normalised by the total number of valid streamlines.\nFor the human data, nonlinear transformations of T1-weighted (T1w) to MNI152 standard space were obtained. The distortion-corrected dMRI data were separately linearly aligned to the T1w space, and the concatenation of the diffusion-to-T1w and T1w-to-MNI transforms allowed diffusion-to-MNI warp fields to be obtained. For the macaque, nonlinear transformations to the macaque F99 standard space were estimated using FSL’s FNIRT (Andersson et al., 2007) based on the corresponding FA maps (Key resources table). For cases where NMT-space tractography protocols were used, nonlinear transformations to NMT space were obtained using RheMAP (Klink and Sirmpilatze, 2020) (Key resources table).\nTo explore robustness against varying data quality, we compared tractography reconstructions for in vivo human dMRI data of considerably different data resolutions, diffusion contrast, and scan time. Specifically, we explored whether tract reconstructions in state-of-the-art HCP data (approximately 55 min of scan time) were similar to reconstructions in bog standard data from the UK Biobank (UKB) (approximately 6.5 min of scan time), both on group-average maps, as well as individual reconstructions.\nInter-subject variability for each tract reconstruction was assessed within and across the HCP and UKB cohorts. Inter-subject Pearson’s correlations were obtained by cross-correlating random subject pairs tract-wise. Specifically, for each subject pair, we correlated the normalised path distributions in MNI space for each tract, after thresholding the path distribution at 0.5% (Warrington et al., 2020), and then averaged the correlation across tracts for each subject pair. This was repeated for all possible unique subject pairs within and across cohorts.\nA pairwise Mann–Whitney U-test was performed to determine differences in variability across analyses. For example, we compared the HCP vs UKB correlation between original and the new (+revised) tracts. We corrected for multiple comparisons using Bonferroni correction.\nWe also explored tract reconstructions on individual subjects. To demonstrate representative results, we ranked subjects based on their tractography results against the cohort average and picked the 10th, 50th (median), and 90th percentiles of the subjects. Specifically, for each subject, we calculated the average Pearson’s correlation value, to the group average, across all tracts. We then ranked the subjects based on this value.\nAs an indirect way to explore whether the proposed standardised protocols respected individual variability, we tested whether tractography reconstructions reflected similarities stemming from twinship. We used the family structure in the HCP cohort to explore whether tracts of monozygotic twin pairs were more similar compared to tract similarity in dizygotic twins and non-twin sibling pairs, and to tract similarity in unrelated subject pairs, as would be expected by heritability of structural connections (Bohlken et al., 2014; Jansen et al., 2015; Shen et al., 2014). We used the 72 pairs of monozygotic twins (MZ) available in the HCP cohort, and randomly selected 72 pairs of dizygotic twins (DZ), 72 pairs of non-twin siblings, and 72 pairs of unrelated subjects, to have a balanced comparison. We compared tracts across pairs to assess whether our automated protocols respect the underlying tract variability across individuals. Specifically, for a given subject pair and a given tract, we calculated the Pearson’s correlation between the normalised path distributions (in MNI space and following thresholding at 0.5%). We repeated this for all tracts and then calculated the mean correlation and standard deviation across tracts for that subject pair. This was then repeated for each group of subject pairs, giving a distribution of average correlations for each group. We subsequently compared these distributions between the different groups. We repeated this process separately for the Original XTRACT tracts (Warrington et al., 2020) and the new cortico-subcortical tracts to ensure that patterns were similar. For each analysis, a pairwise Mann–Whitney U-test was performed for all cohort pairs to determine the significant differences between them. We corrected for multiple comparisons using Bonferroni.\nConnectivity blueprints are GM×Tracts\\begin{document}$GM\\times{Tracts}$\\end{document} matrices that have been proposed to represent the pattern of connections of GM areas to a predefined set of WM tracts (Mars et al., 2018b; Mars et al., 2021). To do so, the intersection of the core of WM tracts with the WM–GM boundary needs to be identified. For cortical GM, simply obtaining the intersection from the spatial path distribution maps of each tract would be dominated by the gyral bias in tractography near the cortex (Van Essen, 2014). Instead, whole-brain tractography matrices can be used as intermediaries. Specifically a GM×WM\\begin{document}$GM\\times{WM}$\\end{document} connectivity matrix can be generated by seeding from each location of the WM–GM boundary and targeting to a whole WM mask and this can then be multiplied by a WM×Tracts\\begin{document}$WM\\times{Tracts}$\\end{document} obtained by collating the path distributions of all tracts of interest.\nThe cortical blueprints GMctx×Tracts\\begin{document}$GM_{ctx}\\times{Tracts}$\\end{document} were generated using our previously developed tool xtract_blueprint (Mars et al., 2018b; Warrington et al., 2022). We used the GM–WM boundary surface, extracted using the HCP pipelines (Glasser et al., 2013) for the human data and the approach in Mars et al., 2018b for the macaque. Briefly, a single set of macaque surfaces was derived using a set of high-quality structural data from one of the macaque subjects. The remaining macaque data were then nonlinearly transformed to this space, and the surfaces were nonlinearly transformed to the F99 standard space. All surface data were downsampled to 10,000 vertices prior to tractography. Volume space WM targets were downsampled to 3 mm isotropic for the human and 2 mm isotropic for the macaque.\nWe extended the blueprint generation to include the subcortex. For subcortical nuclei, we found that using an intermediary GM×WM\\begin{document}$GM\\times{WM}$\\end{document} matrix did not help (as gyral bias is not relevant in subcortex – in fact, it made patterns less specific). Hence, subcortical GMsub×Tracts\\begin{document}$GM_{sub}\\times{Tracts}$\\end{document} blueprints were built using the intersection of the path distribution of each tract with the subcortical structures of interest (i.e. through multiplication of WM tracts and binary subcortical masks, including putamen, caudate, thalamus, hippocampus, and amygdala). Figure 9 shows a comparison of the two approaches for various tracts in the human and macaque: (1) using an intermediary GM×WM\\begin{document}$GM\\times{WM}$\\end{document} matrix to obtain subcortical connection patterns, as done in Mars et al., 2018b for cortical regions and (2) using directly the tractography path distributions. The latter approach gave more focal and specific patterns and was used here for the subcortical regions. Tracts were downsampled (at 2 mm for human and 1 mm for macaque), thresholded at 0.1%, and multiplied by the subcortical nuclei masks, and then vectorised and stacked to create a GMsub×Tracts\\begin{document}$GM_{sub}\\times{Tracts}$\\end{document} matrix. These were then row-wise concatenated (i.e vertically) with the cortical blueprints to generate CIFTI-style blueprints with approximately 10,000 cortical vertices and approximately 5000 subcortical voxels (per left/right hemisphere). Finally, connectivity blueprints were row-wise sum-normalised. Following subject-wise construction of connectivity blueprints, we derived group-averaged blueprints for macaques and humans.\nSubcortical GMsub×Tracts\\begin{document}$GM_{sub}\\times{Tracts}$\\end{document} blueprints were built using: (1) an intermediary whole-brain tractography GM×WM\\begin{document}$GM\\times{WM}$\\end{document} matrix, multiplied by WM×Tracts\\begin{document}$WM\\times Tracts$\\end{document} as done in Mars et al., 2018b for cortical regions, and (2) the intersection of the path distribution of each tract with the subcortical structures of interest. The two approaches are shown on the left and right columns for each of the macaque and human examples and for representative example tracts (rows). The latter approach resulted in improved specificity in both the macaque and human, with the tract of interest connecting more focally to the relevant subcortical nucleus. For instance StB\\begin{document}$StB$\\end{document} tracts end up more specifically in the putamen, MB in the caudate, AC in the amygdala, and ATR in the thalamus. All examples are shown as axial views, apart from StBm,StBt\\begin{document}$StB_m,StB_t$\\end{document}\n, MB in the macaque that are shown in coronal views.\nWe compared GM connectivity patterns between humans and macaques (i.e. rows of the corresponding connectivity blueprint matrices), both in cortex and subcortex. As connectivity patterns are anchored by sets of homologously defined WM landmarks, connectivity patterns may be compared statistically using Kullback–Leibler (KL) divergence (Equation 1; Kullback and Leibler, 1951), as previously used (Mars et al., 2018b).\nLet M be the macaque connectivity blueprint matrix, with Mik\\begin{document}$M_{ik}$\\end{document} linking GM (cortex or subcortex) location i to tract k=1:T\\begin{document}$k=1:T$\\end{document}, with the set of tracts with length T. Let matrix H be the equivalent matrix for the human brain. Vertices i and j in the macaque and human brains can then be compared in terms of their connectivity patterns Mik\\begin{document}$M_{ik}$\\end{document}, Hjk\\begin{document}$H_{jk}$\\end{document}, k=1:T\\begin{document}$k=1:T$\\end{document} using the symmetric KL divergence Dij\\begin{document}$D_{ij}$\\end{document} as a dissimilarity measure. To avoid degeneracies in KL divergence calculations induced by the presence of zeros, we shifted all blueprint values by δ=10−6\\begin{document}$\\delta=10^{-6}$\\end{document}. We used the tool xtract_divergence to perform all relevant calculations.(1)Dij=∑kMiklog2⁡MikHjk+∑kHjklog2⁡HjkMik\\begin{document}$$\\displaystyle  D_{ij} = \\sum_{k} M_{ik} \\log_2 \\frac{M_{ik}}{H_{jk}} + \\sum_{k} H_{jk} \\log_2 \\frac{H_{jk}}{M_{ik}} $$\\end{document}\n\n\n### Tractography protocols\nGuided by tract tracing and neuroanatomy literature, we devised tractography protocols for 18 subcortical bundles (nine bilateral – Table 1) using the XTRACT approach (Warrington et al., 2020). We also revised protocols for three more bundles (two bilateral, one commissural), compared to their original version (Warrington et al., 2020). All protocols followed two principles: (1) comprised of seed/stop/target/exclusion ROIs defined in template space, so that they are standardised and generalisable, and (2) ROIs defined equivalently between macaques and humans to enable tracking of corresponding bundles across species. The human protocols were defined in MNI152 space. The macaque protocols were defined in F99 and also in NMT space.\nThe tracts included the AMF tract, the UF\\begin{document}$UF$\\end{document}, AC\\begin{document}$AC$\\end{document}, sensorimotor, temporal, parietal, and frontal parts of the striatal bundle (StB\\begin{document}$StB$\\end{document})/external capsule (EC\\begin{document}$EC$\\end{document}), MB\\begin{document}$MB$\\end{document}/subcallosal fasciculus, as well as the extreme capsule (EmC\\begin{document}$EmC$\\end{document}) parts that run close to the putamen connecting the insula to the frontal, temporal, and parietal cortices. All XTRACT tracts (Original, Revised, and New) are summarised in Appendix 1—table 1 .\nDetailed protocol definitions are presented below and summarised in Figure 8 (for completeness, the previously published thalamic radiations from Warrington et al., 2020 are presented in Appendix 1 Materials). Briefly, the AMF\\begin{document}$AMF$\\end{document} and UF\\begin{document}$UF$\\end{document} protocols are a standard-space generalisation of the individual subject-level protocols presented in Folloni et al., 2019. For the remaining protocols, we first devised them in the macaque guided by tract tracer literature. Specifically, the approach we took was to first identify anatomical constraints from neuroanatomy literature for each tract of interest independently, derive and test these protocols in the macaque. Thus, each devised protocol included a unique combination of anatomically defined masks (based on literature descriptions of the tracts), delineated in standard macaque space (F99). We then developed corresponding protocols in the human using correspondingly defined landmarks (delineated in standard MNI space). We optimised in an iterative fashion based on two criteria: (1) the protocols generalise well to humans, and (2) when considering groups of bundles, the generated reconstructions follow topographical principles known from tract tracing literature.\nProtocol definitions for all new (and revised) tracts in the human and macaque. Protocols were first designed in the macaque brain guided by macaque tracer literature, and then transferred over to the human. Colour-coded regions depict the seed, target, and stop masks. Exclusion masks are not shown for ease of visualisation.\nWe modified existing XTRACT protocols to improve their specificity in the subcortex. Specifically, we developed a new UF\\begin{document}$UF$\\end{document} protocol based on the protocol presented in Folloni et al., 2019. We also modified the AC\\begin{document}$AC$\\end{document} protocol to improve temporal lobe projections and slightly enhance projections to the amygdala, and modified the FX\\begin{document}$FX$\\end{document} one to reduce amygdala projections by placing an exclusion in the amygdala.\nGiven the proximity of the newly defined tracts, we evaluated the new protocols against their ability to capture patterns known from the tracer literature. These included relative positioning of each tract with respect to neighbouring tracts (Figure 2) and topographical organisation of certain bundle terminals within subcortical nuclei (Figure 3).\nWe derived generalisable template-space protocols to reconstruct the limbic-cortical ventral AMF pathway, following the subject-specific protocols in Folloni et al., 2019. The AMF pathway courses between the amygdala and the prefrontal cortex (PFC), running alongside the UF\\begin{document}$UF$\\end{document} medially and finally merging with the UF\\begin{document}$UF$\\end{document} in the posterior orbitofrontal cortex (OFC). As in Folloni et al., 2019, the seed included voxels with high fractional anisotropy in an anterior–posterior direction in the sub-commissural WM. We used a target covering all brain at the level of caudal genu of the corpus callosum (same target as in the revised UF\\begin{document}$UF$\\end{document} protocol, described further below). Exclusions include an axial plane through the UF\\begin{document}$UF$\\end{document}, the internal and external capsules, the corpus callosum, the cingulate, the Sylvian fissure, the AC, the FX, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus.\nThe striatal bundle (StB\\begin{document}$StB$\\end{document}) is a bundle system that connects the cortex to the striatum and joins the external capsule (EC\\begin{document}$EC$\\end{document}). Although terminations reach both the caudate and the putamen, they primarily terminate in the putamen (Schmahmann and Pandya, 2006; Makris and Pandya, 2009; Bullock et al., 2022). Here, we defined protocols for bundles that connect the putamen with frontal (including anterior cingulate) lobe, sensorimotor cortex, parietal, and temporal lobes. For all parts, we used the putamen as the target. For StBf\\begin{document}$StB_f$\\end{document}, the OFC, PFC, ACC, and frontal pole made up the seed. For StBm\\begin{document}$StB_m$\\end{document}, the primary sensorimotor cortex (M1–S1) was used as seeds. For StBt\\begin{document}$StB_t$\\end{document} and StBp\\begin{document}$StB_p$\\end{document}, the temporal and parietal lobes were, respectively, used as a seed. The exclusion masks shared many commonalities but also had differences. For all parts, exclusions included a midsagittal plane, the subcortex, except for the putamen, as well as the occipital lobe. For each of the parts, we additionally excluded the seeds for every other StB\\begin{document}$StB$\\end{document} bundle.\nThe subcallosal fasciculus tract (as called in human neuroanatomy) or MB (as called in non-human animal neuroanatomy) (Schmahmann and Pandya, 2006; Liu et al., 2020) is a complex system of projection fibres which runs beneath the corpus callosum, above the caudate nucleus at the corner formed by the internal capsule and the corpus callosum (Forkel et al., 2014). Although terminations reach both the caudate and the putamen, they primarily terminate in the caudate head (Schmahmann and Pandya, 2006; Forkel et al., 2014; Liu et al., 2020). As its cortical projections are challenging to capture and isolate using tractography, we defined a protocol for the major core of the bundle. We used a seed in the WM adjacent to the caudate head and a target in the WM adjacent to the caudate tail. A stop mask was used beyond the target in the WM above the target. Exclusions included the contralateral hemisphere, the subcortex (except for the caudate head), the brainstem, the parietal, occipital, frontal, and temporal cortices.\nThe extreme capsule is a major association fascicle that carries association fibres between frontal–temporal and frontal–parietal, as well as these areas and the insula (Makris and Pandya, 2009). It lies between the claustrum and the insula, with the claustrum being considered the boundary between the EmC\\begin{document}$EmC$\\end{document} and the EC\\begin{document}$EC$\\end{document} (Bullock et al., 2022). We defined protocols connecting the insula to frontal, parietal, and temporal cortices. For all parts, we used the insula as the target, while for seeds, we used the same seeds as for the corresponding StB\\begin{document}$StB$\\end{document} parts. Hence, for the EmCf\\begin{document}$EmC_f$\\end{document} protocol, the frontal pole was used as the seed. For EmCp\\begin{document}$EmC_p$\\end{document}, the parietal lobe was a seed, and for EmCt\\begin{document}$EmC_t$\\end{document} the temporal lobe was a seed. Exclusions for all EmC\\begin{document}$EmC$\\end{document} parts included the contralateral part of the brain, the subcortex, as well as the occipital lobe, and lateral parts of the somatosensory and motor cortices. In addition, for each subdivision, the exclusion mask also included the seed mask for every other subdivision.\n\n\n### New protocol definitions\nWe derived generalisable template-space protocols to reconstruct the limbic-cortical ventral AMF pathway, following the subject-specific protocols in Folloni et al., 2019. The AMF pathway courses between the amygdala and the prefrontal cortex (PFC), running alongside the UF\\begin{document}$UF$\\end{document} medially and finally merging with the UF\\begin{document}$UF$\\end{document} in the posterior orbitofrontal cortex (OFC). As in Folloni et al., 2019, the seed included voxels with high fractional anisotropy in an anterior–posterior direction in the sub-commissural WM. We used a target covering all brain at the level of caudal genu of the corpus callosum (same target as in the revised UF\\begin{document}$UF$\\end{document} protocol, described further below). Exclusions include an axial plane through the UF\\begin{document}$UF$\\end{document}, the internal and external capsules, the corpus callosum, the cingulate, the Sylvian fissure, the AC, the FX, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus.\nThe striatal bundle (StB\\begin{document}$StB$\\end{document}) is a bundle system that connects the cortex to the striatum and joins the external capsule (EC\\begin{document}$EC$\\end{document}). Although terminations reach both the caudate and the putamen, they primarily terminate in the putamen (Schmahmann and Pandya, 2006; Makris and Pandya, 2009; Bullock et al., 2022). Here, we defined protocols for bundles that connect the putamen with frontal (including anterior cingulate) lobe, sensorimotor cortex, parietal, and temporal lobes. For all parts, we used the putamen as the target. For StBf\\begin{document}$StB_f$\\end{document}, the OFC, PFC, ACC, and frontal pole made up the seed. For StBm\\begin{document}$StB_m$\\end{document}, the primary sensorimotor cortex (M1–S1) was used as seeds. For StBt\\begin{document}$StB_t$\\end{document} and StBp\\begin{document}$StB_p$\\end{document}, the temporal and parietal lobes were, respectively, used as a seed. The exclusion masks shared many commonalities but also had differences. For all parts, exclusions included a midsagittal plane, the subcortex, except for the putamen, as well as the occipital lobe. For each of the parts, we additionally excluded the seeds for every other StB\\begin{document}$StB$\\end{document} bundle.\nThe subcallosal fasciculus tract (as called in human neuroanatomy) or MB (as called in non-human animal neuroanatomy) (Schmahmann and Pandya, 2006; Liu et al., 2020) is a complex system of projection fibres which runs beneath the corpus callosum, above the caudate nucleus at the corner formed by the internal capsule and the corpus callosum (Forkel et al., 2014). Although terminations reach both the caudate and the putamen, they primarily terminate in the caudate head (Schmahmann and Pandya, 2006; Forkel et al., 2014; Liu et al., 2020). As its cortical projections are challenging to capture and isolate using tractography, we defined a protocol for the major core of the bundle. We used a seed in the WM adjacent to the caudate head and a target in the WM adjacent to the caudate tail. A stop mask was used beyond the target in the WM above the target. Exclusions included the contralateral hemisphere, the subcortex (except for the caudate head), the brainstem, the parietal, occipital, frontal, and temporal cortices.\nThe extreme capsule is a major association fascicle that carries association fibres between frontal–temporal and frontal–parietal, as well as these areas and the insula (Makris and Pandya, 2009). It lies between the claustrum and the insula, with the claustrum being considered the boundary between the EmC\\begin{document}$EmC$\\end{document} and the EC\\begin{document}$EC$\\end{document} (Bullock et al., 2022). We defined protocols connecting the insula to frontal, parietal, and temporal cortices. For all parts, we used the insula as the target, while for seeds, we used the same seeds as for the corresponding StB\\begin{document}$StB$\\end{document} parts. Hence, for the EmCf\\begin{document}$EmC_f$\\end{document} protocol, the frontal pole was used as the seed. For EmCp\\begin{document}$EmC_p$\\end{document}, the parietal lobe was a seed, and for EmCt\\begin{document}$EmC_t$\\end{document} the temporal lobe was a seed. Exclusions for all EmC\\begin{document}$EmC$\\end{document} parts included the contralateral part of the brain, the subcortex, as well as the occipital lobe, and lateral parts of the somatosensory and motor cortices. In addition, for each subdivision, the exclusion mask also included the seed mask for every other subdivision.\n\n\n### AMF pathway\nWe derived generalisable template-space protocols to reconstruct the limbic-cortical ventral AMF pathway, following the subject-specific protocols in Folloni et al., 2019. The AMF pathway courses between the amygdala and the prefrontal cortex (PFC), running alongside the UF\\begin{document}$UF$\\end{document} medially and finally merging with the UF\\begin{document}$UF$\\end{document} in the posterior orbitofrontal cortex (OFC). As in Folloni et al., 2019, the seed included voxels with high fractional anisotropy in an anterior–posterior direction in the sub-commissural WM. We used a target covering all brain at the level of caudal genu of the corpus callosum (same target as in the revised UF\\begin{document}$UF$\\end{document} protocol, described further below). Exclusions include an axial plane through the UF\\begin{document}$UF$\\end{document}, the internal and external capsules, the corpus callosum, the cingulate, the Sylvian fissure, the AC, the FX, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus.\n\n\n### Striatal bundle (StBf\\begin{document}$StB_f$\\end{document}, StBm\\begin{document}$StB_m$\\end{document}, StBp\\begin{document}$StB_p$\\end{document}, and StBt\\begin{document}$StB_t$\\end{document})\nThe striatal bundle (StB\\begin{document}$StB$\\end{document}) is a bundle system that connects the cortex to the striatum and joins the external capsule (EC\\begin{document}$EC$\\end{document}). Although terminations reach both the caudate and the putamen, they primarily terminate in the putamen (Schmahmann and Pandya, 2006; Makris and Pandya, 2009; Bullock et al., 2022). Here, we defined protocols for bundles that connect the putamen with frontal (including anterior cingulate) lobe, sensorimotor cortex, parietal, and temporal lobes. For all parts, we used the putamen as the target. For StBf\\begin{document}$StB_f$\\end{document}, the OFC, PFC, ACC, and frontal pole made up the seed. For StBm\\begin{document}$StB_m$\\end{document}, the primary sensorimotor cortex (M1–S1) was used as seeds. For StBt\\begin{document}$StB_t$\\end{document} and StBp\\begin{document}$StB_p$\\end{document}, the temporal and parietal lobes were, respectively, used as a seed. The exclusion masks shared many commonalities but also had differences. For all parts, exclusions included a midsagittal plane, the subcortex, except for the putamen, as well as the occipital lobe. For each of the parts, we additionally excluded the seeds for every other StB\\begin{document}$StB$\\end{document} bundle.\n\n\n### Muratoff bundle\nThe subcallosal fasciculus tract (as called in human neuroanatomy) or MB (as called in non-human animal neuroanatomy) (Schmahmann and Pandya, 2006; Liu et al., 2020) is a complex system of projection fibres which runs beneath the corpus callosum, above the caudate nucleus at the corner formed by the internal capsule and the corpus callosum (Forkel et al., 2014). Although terminations reach both the caudate and the putamen, they primarily terminate in the caudate head (Schmahmann and Pandya, 2006; Forkel et al., 2014; Liu et al., 2020). As its cortical projections are challenging to capture and isolate using tractography, we defined a protocol for the major core of the bundle. We used a seed in the WM adjacent to the caudate head and a target in the WM adjacent to the caudate tail. A stop mask was used beyond the target in the WM above the target. Exclusions included the contralateral hemisphere, the subcortex (except for the caudate head), the brainstem, the parietal, occipital, frontal, and temporal cortices.\n\n\n### Extreme capsule (EmCf\\begin{document}$EmC_f$\\end{document}, EmCp\\begin{document}$EmC_p$\\end{document}, EmCt\\begin{document}$EmC_t$\\end{document})\nThe extreme capsule is a major association fascicle that carries association fibres between frontal–temporal and frontal–parietal, as well as these areas and the insula (Makris and Pandya, 2009). It lies between the claustrum and the insula, with the claustrum being considered the boundary between the EmC\\begin{document}$EmC$\\end{document} and the EC\\begin{document}$EC$\\end{document} (Bullock et al., 2022). We defined protocols connecting the insula to frontal, parietal, and temporal cortices. For all parts, we used the insula as the target, while for seeds, we used the same seeds as for the corresponding StB\\begin{document}$StB$\\end{document} parts. Hence, for the EmCf\\begin{document}$EmC_f$\\end{document} protocol, the frontal pole was used as the seed. For EmCp\\begin{document}$EmC_p$\\end{document}, the parietal lobe was a seed, and for EmCt\\begin{document}$EmC_t$\\end{document} the temporal lobe was a seed. Exclusions for all EmC\\begin{document}$EmC$\\end{document} parts included the contralateral part of the brain, the subcortex, as well as the occipital lobe, and lateral parts of the somatosensory and motor cortices. In addition, for each subdivision, the exclusion mask also included the seed mask for every other subdivision.\n\n\n### Revisions to previous XTRACT protocols\nThe UF\\begin{document}$UF$\\end{document} lies at the bottom part of the extreme capsule, curving from the inferior frontal cortex to the anterior temporal cortex. Given the neighbouring bundles that were newly defined, we took a new approach to the UF\\begin{document}$UF$\\end{document} compared to the original XTRACT implementation (Warrington et al., 2020), now following the principles of Folloni et al., 2019. Briefly, we used an axial seed in the WM rostro-laterally to the amygdala in the anterior temporal lobe. A target covered all brain at the level of the caudal genu of the corpus callosum. Exclusions included the basal ganglia, a coronal plane posterior to the seed, the corpus callosum, the cingulate, the Sylvian fissure, the AC, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus. This implementation provided improved connectivity to the dorsal frontal cortex and aided separability with respect to neighbouring WM bundles.\nCompared to original XTRACT protocol, we entirely re-worked the AC\\begin{document}$AC$\\end{document} protocol. Previously, the mid-line main body of the AC\\begin{document}$AC$\\end{document} was the seed with targets either side and stops at the amygdala. Now, we use a temporal pole as the seed, the main body of the AC\\begin{document}$AC$\\end{document} as a waypoint and the contralateral temporal pole as the final target. For the human, we use the Harvard-Oxford temporal pole ROI (Desikan et al., 2006). For the macaque, we use the CHARM temporal pole ROI (Jung et al., 2021). The temporal pole seed/target pair is flipped and tractography is repeated, taking the average of runs. Compared to the previous version, this protocol provides greater symmetry in resultant reconstructions and greater connectivity to the poles of the temporal cortex, as suggested in the literature (Jouandet and Gazzaniga, 1979; Catani and Thiebaut de Schotten, 2013; Fenlon et al., 2021; Bullock et al., 2022), and slightly enhanced connectivity to the amygdala.\nFor the FX\\begin{document}$FX$\\end{document}, a main output tract of the hippocampus, we have added an exclusion mask to the amygdala to prevent FX\\begin{document}$FX$\\end{document} leakage to the amygdala, thus providing a cleaner FX\\begin{document}$FX$\\end{document} compared to the original XTRACT implementation (Warrington et al., 2020). For the human protocol, we used the Harvard-Oxford amygdala ROI (Frazier et al., 2005). For the macaque, we used the SARM amygdala ROI (Hartig et al., 2021).\n\n\n### Uncinate fasciculus\nThe UF\\begin{document}$UF$\\end{document} lies at the bottom part of the extreme capsule, curving from the inferior frontal cortex to the anterior temporal cortex. Given the neighbouring bundles that were newly defined, we took a new approach to the UF\\begin{document}$UF$\\end{document} compared to the original XTRACT implementation (Warrington et al., 2020), now following the principles of Folloni et al., 2019. Briefly, we used an axial seed in the WM rostro-laterally to the amygdala in the anterior temporal lobe. A target covered all brain at the level of the caudal genu of the corpus callosum. Exclusions included the basal ganglia, a coronal plane posterior to the seed, the corpus callosum, the cingulate, the Sylvian fissure, the AC, and a large coronal exclusion covering all brain dorsal to the corpus callosum and extending inferiorly to the frontal operculum and insula at the level of the middle frontal gyrus. This implementation provided improved connectivity to the dorsal frontal cortex and aided separability with respect to neighbouring WM bundles.\n\n\n### Anterior commissure\nCompared to original XTRACT protocol, we entirely re-worked the AC\\begin{document}$AC$\\end{document} protocol. Previously, the mid-line main body of the AC\\begin{document}$AC$\\end{document} was the seed with targets either side and stops at the amygdala. Now, we use a temporal pole as the seed, the main body of the AC\\begin{document}$AC$\\end{document} as a waypoint and the contralateral temporal pole as the final target. For the human, we use the Harvard-Oxford temporal pole ROI (Desikan et al., 2006). For the macaque, we use the CHARM temporal pole ROI (Jung et al., 2021). The temporal pole seed/target pair is flipped and tractography is repeated, taking the average of runs. Compared to the previous version, this protocol provides greater symmetry in resultant reconstructions and greater connectivity to the poles of the temporal cortex, as suggested in the literature (Jouandet and Gazzaniga, 1979; Catani and Thiebaut de Schotten, 2013; Fenlon et al., 2021; Bullock et al., 2022), and slightly enhanced connectivity to the amygdala.\n\n\n### Fornix\nFor the FX\\begin{document}$FX$\\end{document}, a main output tract of the hippocampus, we have added an exclusion mask to the amygdala to prevent FX\\begin{document}$FX$\\end{document} leakage to the amygdala, thus providing a cleaner FX\\begin{document}$FX$\\end{document} compared to the original XTRACT implementation (Warrington et al., 2020). For the human protocol, we used the Harvard-Oxford amygdala ROI (Frazier et al., 2005). For the macaque, we used the SARM amygdala ROI (Hartig et al., 2021).\n\n\n### Data\nWe used six high-quality ex vivo rhesus macaque dMRI datasets, available from PRIME-DE (Milham et al., 2018). As described in Mars et al., 2018b; Warrington et al., 2020, these were acquired using a 7T Agilent DirectDrive console, with a 2D diffusion-weighted spin-echo protocol with single-line readout protocol with 16 volumes acquired at b = 0 s/mm2, 128 volumes acquired at b = 4000 s/mm2, and a 0.6-mm isotropic spatial resolution.\nWe used high quality minimally preprocessed (Glasser et al., 2013) in vivo dMRI data from the young adult HCP (Van Essen et al., 2013; Sotiropoulos et al., 2013). The HCP data were acquired using a bespoke 3T Connectom Skyra (Siemens, Erlangen) with a monopolar diffusion-weighted (Stejskal–Tanner) spin-echo echo planar imaging sequence with an isotropic spatial resolution of 1.25 mm, three shells (b values = 1000, 2000, and 3000 s/mm2), and 90 unique diffusion directions per shell plus 6 b = 0 s/mm2 volumes, acquired twice with opposing phase encoding polarities. Data correspond to total scan time per subject of approximately 55 min. For this study, we randomly drew 50 HCP subjects (age range, 22–36 years of age, 24/26 females/males).\nTo assess robustness against data quality, we also used data from the UK Biobank (3T Prisma, 32 channel coil, 2 mm isotropic resolution, b values = 1000 and 2000 s/mm2, 50 directions per shell). The UK Biobank data are acquired with approximately 6.5 min scan time per subject and therefore represent more standard quality datasets, achievable in a clinical scanner (Miller et al., 2016). Fifty subjects were randomly drawn from the UK Biobank (UKB) (age range 42–65 years of age, 31/19 females/males). For both HCP and UKB cohorts, we ensured that the distribution of QC metrics (such as subject motion and image SNR/CNR) was representative of the full HCP and UKB cohorts that we had available.\nTracer data were used to test aspects of the striatal bundle protocols (Figure 3). These were made available by SRH and were obtained from an existing collection of injections in 19 macaque brains, from Weber and Yin, 1984; Baizer et al., 1993; Yeterian and Pandya, 1995; Yeterian and Pandya, 1998; Ferry et al., 2000; Haber et al., 2006; Parvizi et al., 2006; Schmahmann and Pandya, 2006; Calzavara et al., 2007; Choi et al., 2017a; Choi et al., 2017b and cases from the laboratory of SRH. Specifically, anterograde tracers were injected across 78 cortical locations, and their terminations within the putamen were recorded in coronal slices of the NMT template space at 0.5 mm resolution. Specifically, the injection sites were first assigned to one of four cortical ROIs (frontal, parietal, temporal, and sensorimotor cortices), obtained from the NMT CHARM v1 parcellation (Jung et al., 2021). For each of these four injection ROIs, we counted all the corresponding terminations within the putamen, and then divided by the total number of termination sites. This resulted in a termination probability map for each cortical region across the putamen, and these termination maps were smoothed using spline interpolation. The putamen mask was obtained from the NMT SARM v1 parcellation (Hartig et al., 2021). To compare against tractography in F99 space, these maps were nonlinearly registered from NMT to F99 space using RheMAP (Klink and Sirmpilatze, 2020).\n\n\n### Macaque MRI data\nWe used six high-quality ex vivo rhesus macaque dMRI datasets, available from PRIME-DE (Milham et al., 2018). As described in Mars et al., 2018b; Warrington et al., 2020, these were acquired using a 7T Agilent DirectDrive console, with a 2D diffusion-weighted spin-echo protocol with single-line readout protocol with 16 volumes acquired at b = 0 s/mm2, 128 volumes acquired at b = 4000 s/mm2, and a 0.6-mm isotropic spatial resolution.\n\n\n### Human MRI data\nWe used high quality minimally preprocessed (Glasser et al., 2013) in vivo dMRI data from the young adult HCP (Van Essen et al., 2013; Sotiropoulos et al., 2013). The HCP data were acquired using a bespoke 3T Connectom Skyra (Siemens, Erlangen) with a monopolar diffusion-weighted (Stejskal–Tanner) spin-echo echo planar imaging sequence with an isotropic spatial resolution of 1.25 mm, three shells (b values = 1000, 2000, and 3000 s/mm2), and 90 unique diffusion directions per shell plus 6 b = 0 s/mm2 volumes, acquired twice with opposing phase encoding polarities. Data correspond to total scan time per subject of approximately 55 min. For this study, we randomly drew 50 HCP subjects (age range, 22–36 years of age, 24/26 females/males).\nTo assess robustness against data quality, we also used data from the UK Biobank (3T Prisma, 32 channel coil, 2 mm isotropic resolution, b values = 1000 and 2000 s/mm2, 50 directions per shell). The UK Biobank data are acquired with approximately 6.5 min scan time per subject and therefore represent more standard quality datasets, achievable in a clinical scanner (Miller et al., 2016). Fifty subjects were randomly drawn from the UK Biobank (UKB) (age range 42–65 years of age, 31/19 females/males). For both HCP and UKB cohorts, we ensured that the distribution of QC metrics (such as subject motion and image SNR/CNR) was representative of the full HCP and UKB cohorts that we had available.\n\n\n### Macaque tracer data\nTracer data were used to test aspects of the striatal bundle protocols (Figure 3). These were made available by SRH and were obtained from an existing collection of injections in 19 macaque brains, from Weber and Yin, 1984; Baizer et al., 1993; Yeterian and Pandya, 1995; Yeterian and Pandya, 1998; Ferry et al., 2000; Haber et al., 2006; Parvizi et al., 2006; Schmahmann and Pandya, 2006; Calzavara et al., 2007; Choi et al., 2017a; Choi et al., 2017b and cases from the laboratory of SRH. Specifically, anterograde tracers were injected across 78 cortical locations, and their terminations within the putamen were recorded in coronal slices of the NMT template space at 0.5 mm resolution. Specifically, the injection sites were first assigned to one of four cortical ROIs (frontal, parietal, temporal, and sensorimotor cortices), obtained from the NMT CHARM v1 parcellation (Jung et al., 2021). For each of these four injection ROIs, we counted all the corresponding terminations within the putamen, and then divided by the total number of termination sites. This resulted in a termination probability map for each cortical region across the putamen, and these termination maps were smoothed using spline interpolation. The putamen mask was obtained from the NMT SARM v1 parcellation (Hartig et al., 2021). To compare against tractography in F99 space, these maps were nonlinearly registered from NMT to F99 space using RheMAP (Klink and Sirmpilatze, 2020).\n\n\n### MRI data preprocessing\nFor both the human and macaque data, we modelled fibre orientations for up to three orientations per voxel using FSL’s BEDPOSTX (Jbabdi et al., 2012; Hernández et al., 2013) (Key resources table). These orientations were used in tractography. Probabilistic tractography was performed using FSL’s XTRACT (Warrington et al., 2020), which uses FSL’s PROBTRACKX (Behrens et al., 2007; Hernandez-Fernandez et al., 2019) (Key resources table). The standard-space protocol masks were used to seed and guide tractography, which occurred in diffusion space for each dataset. 60 major WM fibre bundles were reconstructed 30 cortico-cortical, 29 cortico-subcortical, 1 cerebellar, Appendix 1—table 1 . A curvature threshold of 80° was used, the maximum number of streamline steps was 2000, and subsidiary fibres were considered above a volume fraction threshold of 1%. A step size of 0.5 mm was used for the human brain, and a step size of 0.2 mm was used for the macaque brain. Resultant spatial path distributions were normalised by the total number of valid streamlines.\nFor the human data, nonlinear transformations of T1-weighted (T1w) to MNI152 standard space were obtained. The distortion-corrected dMRI data were separately linearly aligned to the T1w space, and the concatenation of the diffusion-to-T1w and T1w-to-MNI transforms allowed diffusion-to-MNI warp fields to be obtained. For the macaque, nonlinear transformations to the macaque F99 standard space were estimated using FSL’s FNIRT (Andersson et al., 2007) based on the corresponding FA maps (Key resources table). For cases where NMT-space tractography protocols were used, nonlinear transformations to NMT space were obtained using RheMAP (Klink and Sirmpilatze, 2020) (Key resources table).\n\n\n### Crossing fibre modelling and tractography\nFor both the human and macaque data, we modelled fibre orientations for up to three orientations per voxel using FSL’s BEDPOSTX (Jbabdi et al., 2012; Hernández et al., 2013) (Key resources table). These orientations were used in tractography. Probabilistic tractography was performed using FSL’s XTRACT (Warrington et al., 2020), which uses FSL’s PROBTRACKX (Behrens et al., 2007; Hernandez-Fernandez et al., 2019) (Key resources table). The standard-space protocol masks were used to seed and guide tractography, which occurred in diffusion space for each dataset. 60 major WM fibre bundles were reconstructed 30 cortico-cortical, 29 cortico-subcortical, 1 cerebellar, Appendix 1—table 1 . A curvature threshold of 80° was used, the maximum number of streamline steps was 2000, and subsidiary fibres were considered above a volume fraction threshold of 1%. A step size of 0.5 mm was used for the human brain, and a step size of 0.2 mm was used for the macaque brain. Resultant spatial path distributions were normalised by the total number of valid streamlines.\n\n\n### Registration to standard space\nFor the human data, nonlinear transformations of T1-weighted (T1w) to MNI152 standard space were obtained. The distortion-corrected dMRI data were separately linearly aligned to the T1w space, and the concatenation of the diffusion-to-T1w and T1w-to-MNI transforms allowed diffusion-to-MNI warp fields to be obtained. For the macaque, nonlinear transformations to the macaque F99 standard space were estimated using FSL’s FNIRT (Andersson et al., 2007) based on the corresponding FA maps (Key resources table). For cases where NMT-space tractography protocols were used, nonlinear transformations to NMT space were obtained using RheMAP (Klink and Sirmpilatze, 2020) (Key resources table).\n\n\n### Tractography against data quality and individual variability\nTo explore robustness against varying data quality, we compared tractography reconstructions for in vivo human dMRI data of considerably different data resolutions, diffusion contrast, and scan time. Specifically, we explored whether tract reconstructions in state-of-the-art HCP data (approximately 55 min of scan time) were similar to reconstructions in bog standard data from the UK Biobank (UKB) (approximately 6.5 min of scan time), both on group-average maps, as well as individual reconstructions.\nInter-subject variability for each tract reconstruction was assessed within and across the HCP and UKB cohorts. Inter-subject Pearson’s correlations were obtained by cross-correlating random subject pairs tract-wise. Specifically, for each subject pair, we correlated the normalised path distributions in MNI space for each tract, after thresholding the path distribution at 0.5% (Warrington et al., 2020), and then averaged the correlation across tracts for each subject pair. This was repeated for all possible unique subject pairs within and across cohorts.\nA pairwise Mann–Whitney U-test was performed to determine differences in variability across analyses. For example, we compared the HCP vs UKB correlation between original and the new (+revised) tracts. We corrected for multiple comparisons using Bonferroni correction.\nWe also explored tract reconstructions on individual subjects. To demonstrate representative results, we ranked subjects based on their tractography results against the cohort average and picked the 10th, 50th (median), and 90th percentiles of the subjects. Specifically, for each subject, we calculated the average Pearson’s correlation value, to the group average, across all tracts. We then ranked the subjects based on this value.\nAs an indirect way to explore whether the proposed standardised protocols respected individual variability, we tested whether tractography reconstructions reflected similarities stemming from twinship. We used the family structure in the HCP cohort to explore whether tracts of monozygotic twin pairs were more similar compared to tract similarity in dizygotic twins and non-twin sibling pairs, and to tract similarity in unrelated subject pairs, as would be expected by heritability of structural connections (Bohlken et al., 2014; Jansen et al., 2015; Shen et al., 2014). We used the 72 pairs of monozygotic twins (MZ) available in the HCP cohort, and randomly selected 72 pairs of dizygotic twins (DZ), 72 pairs of non-twin siblings, and 72 pairs of unrelated subjects, to have a balanced comparison. We compared tracts across pairs to assess whether our automated protocols respect the underlying tract variability across individuals. Specifically, for a given subject pair and a given tract, we calculated the Pearson’s correlation between the normalised path distributions (in MNI space and following thresholding at 0.5%). We repeated this for all tracts and then calculated the mean correlation and standard deviation across tracts for that subject pair. This was then repeated for each group of subject pairs, giving a distribution of average correlations for each group. We subsequently compared these distributions between the different groups. We repeated this process separately for the Original XTRACT tracts (Warrington et al., 2020) and the new cortico-subcortical tracts to ensure that patterns were similar. For each analysis, a pairwise Mann–Whitney U-test was performed for all cohort pairs to determine the significant differences between them. We corrected for multiple comparisons using Bonferroni.\n\n\n### Varying data quality\nTo explore robustness against varying data quality, we compared tractography reconstructions for in vivo human dMRI data of considerably different data resolutions, diffusion contrast, and scan time. Specifically, we explored whether tract reconstructions in state-of-the-art HCP data (approximately 55 min of scan time) were similar to reconstructions in bog standard data from the UK Biobank (UKB) (approximately 6.5 min of scan time), both on group-average maps, as well as individual reconstructions.\nInter-subject variability for each tract reconstruction was assessed within and across the HCP and UKB cohorts. Inter-subject Pearson’s correlations were obtained by cross-correlating random subject pairs tract-wise. Specifically, for each subject pair, we correlated the normalised path distributions in MNI space for each tract, after thresholding the path distribution at 0.5% (Warrington et al., 2020), and then averaged the correlation across tracts for each subject pair. This was repeated for all possible unique subject pairs within and across cohorts.\nA pairwise Mann–Whitney U-test was performed to determine differences in variability across analyses. For example, we compared the HCP vs UKB correlation between original and the new (+revised) tracts. We corrected for multiple comparisons using Bonferroni correction.\nWe also explored tract reconstructions on individual subjects. To demonstrate representative results, we ranked subjects based on their tractography results against the cohort average and picked the 10th, 50th (median), and 90th percentiles of the subjects. Specifically, for each subject, we calculated the average Pearson’s correlation value, to the group average, across all tracts. We then ranked the subjects based on this value.\n\n\n### Respecting similarities stemming from twinship\nAs an indirect way to explore whether the proposed standardised protocols respected individual variability, we tested whether tractography reconstructions reflected similarities stemming from twinship. We used the family structure in the HCP cohort to explore whether tracts of monozygotic twin pairs were more similar compared to tract similarity in dizygotic twins and non-twin sibling pairs, and to tract similarity in unrelated subject pairs, as would be expected by heritability of structural connections (Bohlken et al., 2014; Jansen et al., 2015; Shen et al., 2014). We used the 72 pairs of monozygotic twins (MZ) available in the HCP cohort, and randomly selected 72 pairs of dizygotic twins (DZ), 72 pairs of non-twin siblings, and 72 pairs of unrelated subjects, to have a balanced comparison. We compared tracts across pairs to assess whether our automated protocols respect the underlying tract variability across individuals. Specifically, for a given subject pair and a given tract, we calculated the Pearson’s correlation between the normalised path distributions (in MNI space and following thresholding at 0.5%). We repeated this for all tracts and then calculated the mean correlation and standard deviation across tracts for that subject pair. This was then repeated for each group of subject pairs, giving a distribution of average correlations for each group. We subsequently compared these distributions between the different groups. We repeated this process separately for the Original XTRACT tracts (Warrington et al., 2020) and the new cortico-subcortical tracts to ensure that patterns were similar. For each analysis, a pairwise Mann–Whitney U-test was performed for all cohort pairs to determine the significant differences between them. We corrected for multiple comparisons using Bonferroni.\n\n\n### Building connectivity blueprints in cortex and subcortex\nConnectivity blueprints are GM×Tracts\\begin{document}$GM\\times{Tracts}$\\end{document} matrices that have been proposed to represent the pattern of connections of GM areas to a predefined set of WM tracts (Mars et al., 2018b; Mars et al., 2021). To do so, the intersection of the core of WM tracts with the WM–GM boundary needs to be identified. For cortical GM, simply obtaining the intersection from the spatial path distribution maps of each tract would be dominated by the gyral bias in tractography near the cortex (Van Essen, 2014). Instead, whole-brain tractography matrices can be used as intermediaries. Specifically a GM×WM\\begin{document}$GM\\times{WM}$\\end{document} connectivity matrix can be generated by seeding from each location of the WM–GM boundary and targeting to a whole WM mask and this can then be multiplied by a WM×Tracts\\begin{document}$WM\\times{Tracts}$\\end{document} obtained by collating the path distributions of all tracts of interest.\nThe cortical blueprints GMctx×Tracts\\begin{document}$GM_{ctx}\\times{Tracts}$\\end{document} were generated using our previously developed tool xtract_blueprint (Mars et al., 2018b; Warrington et al., 2022). We used the GM–WM boundary surface, extracted using the HCP pipelines (Glasser et al., 2013) for the human data and the approach in Mars et al., 2018b for the macaque. Briefly, a single set of macaque surfaces was derived using a set of high-quality structural data from one of the macaque subjects. The remaining macaque data were then nonlinearly transformed to this space, and the surfaces were nonlinearly transformed to the F99 standard space. All surface data were downsampled to 10,000 vertices prior to tractography. Volume space WM targets were downsampled to 3 mm isotropic for the human and 2 mm isotropic for the macaque.\nWe extended the blueprint generation to include the subcortex. For subcortical nuclei, we found that using an intermediary GM×WM\\begin{document}$GM\\times{WM}$\\end{document} matrix did not help (as gyral bias is not relevant in subcortex – in fact, it made patterns less specific). Hence, subcortical GMsub×Tracts\\begin{document}$GM_{sub}\\times{Tracts}$\\end{document} blueprints were built using the intersection of the path distribution of each tract with the subcortical structures of interest (i.e. through multiplication of WM tracts and binary subcortical masks, including putamen, caudate, thalamus, hippocampus, and amygdala). Figure 9 shows a comparison of the two approaches for various tracts in the human and macaque: (1) using an intermediary GM×WM\\begin{document}$GM\\times{WM}$\\end{document} matrix to obtain subcortical connection patterns, as done in Mars et al., 2018b for cortical regions and (2) using directly the tractography path distributions. The latter approach gave more focal and specific patterns and was used here for the subcortical regions. Tracts were downsampled (at 2 mm for human and 1 mm for macaque), thresholded at 0.1%, and multiplied by the subcortical nuclei masks, and then vectorised and stacked to create a GMsub×Tracts\\begin{document}$GM_{sub}\\times{Tracts}$\\end{document} matrix. These were then row-wise concatenated (i.e vertically) with the cortical blueprints to generate CIFTI-style blueprints with approximately 10,000 cortical vertices and approximately 5000 subcortical voxels (per left/right hemisphere). Finally, connectivity blueprints were row-wise sum-normalised. Following subject-wise construction of connectivity blueprints, we derived group-averaged blueprints for macaques and humans.\nSubcortical GMsub×Tracts\\begin{document}$GM_{sub}\\times{Tracts}$\\end{document} blueprints were built using: (1) an intermediary whole-brain tractography GM×WM\\begin{document}$GM\\times{WM}$\\end{document} matrix, multiplied by WM×Tracts\\begin{document}$WM\\times Tracts$\\end{document} as done in Mars et al., 2018b for cortical regions, and (2) the intersection of the path distribution of each tract with the subcortical structures of interest. The two approaches are shown on the left and right columns for each of the macaque and human examples and for representative example tracts (rows). The latter approach resulted in improved specificity in both the macaque and human, with the tract of interest connecting more focally to the relevant subcortical nucleus. For instance StB\\begin{document}$StB$\\end{document} tracts end up more specifically in the putamen, MB in the caudate, AC in the amygdala, and ATR in the thalamus. All examples are shown as axial views, apart from StBm,StBt\\begin{document}$StB_m,StB_t$\\end{document}\n, MB in the macaque that are shown in coronal views.\n\n\n### Comparing connectivity blueprints across species\nWe compared GM connectivity patterns between humans and macaques (i.e. rows of the corresponding connectivity blueprint matrices), both in cortex and subcortex. As connectivity patterns are anchored by sets of homologously defined WM landmarks, connectivity patterns may be compared statistically using Kullback–Leibler (KL) divergence (Equation 1; Kullback and Leibler, 1951), as previously used (Mars et al., 2018b).\nLet M be the macaque connectivity blueprint matrix, with Mik\\begin{document}$M_{ik}$\\end{document} linking GM (cortex or subcortex) location i to tract k=1:T\\begin{document}$k=1:T$\\end{document}, with the set of tracts with length T. Let matrix H be the equivalent matrix for the human brain. Vertices i and j in the macaque and human brains can then be compared in terms of their connectivity patterns Mik\\begin{document}$M_{ik}$\\end{document}, Hjk\\begin{document}$H_{jk}$\\end{document}, k=1:T\\begin{document}$k=1:T$\\end{document} using the symmetric KL divergence Dij\\begin{document}$D_{ij}$\\end{document} as a dissimilarity measure. To avoid degeneracies in KL divergence calculations induced by the presence of zeros, we shifted all blueprint values by δ=10−6\\begin{document}$\\delta=10^{-6}$\\end{document}. We used the tool xtract_divergence to perform all relevant calculations.(1)Dij=∑kMiklog2⁡MikHjk+∑kHjklog2⁡HjkMik\\begin{document}$$\\displaystyle  D_{ij} = \\sum_{k} M_{ik} \\log_2 \\frac{M_{ik}}{H_{jk}} + \\sum_{k} H_{jk} \\log_2 \\frac{H_{jk}}{M_{ik}} $$\\end{document}", "domain": "affective_neuroscience"}
{"source": "PMC12656141", "title": "IMAGINE Personalities: Augmenting Digital Character Workflows Using Motion Capture, Wearable Sensors, and Live Coding", "text": "# IMAGINE Personalities: Augmenting Digital Character Workflows Using Motion Capture, Wearable Sensors, and Live Coding\n\n## Abstract\nThis study examines how emerging sensor-based technologies can augment the personality expression of digital characters across multiple media. While digital animation and games have traditionally relied on movement to convey traits, the integration of motion capture, wearable biosensors, and live coding introduces new opportunities for dynamic, embodied character design. Drawing on the MONOLOVE saga, we developed four prototypes across animation, games, interactive performance, and interactive networked environments. Central to our approach is the Wheel of Personality model, a structured taxonomy that organizes expressive parameters into four categories: Character Structure, Motion–Action, Interaction, and Environment. Each prototype was designed to explore how these categories, mediated through sensor technologies, contribute to the perception of personality traits. An evaluation with 14 participants from diverse backgrounds employed questionnaires and interviews to assess the alignment between intended and perceived character traits. The results show that movement and interaction were consistently identified as the most influential cues, while the impact of environmental factors varied across media. Additional influences included narration and the personality of the audience, underscoring the interpretive nature of perception. We conclude that personality expression emerges from the interplay of multimodal cues and context, offering methodological insights and frameworks for designing expressive and emotionally resonant digital characters in trans-media productions.\n\n## Full Text\n\n\n### 1. Introduction\nIntegrating sensors into the process of generating expressive digital characters has been applied for decades. Such workflows not only make animation creation more automated and time- and cost-effective, but also enable the design and development of digital characters with rich non-verbal nuanced expression through movement, gestures, and postures of human actors. As analyzed in previous work [1], the integration of both physical and virtual sensors can augment a digital character’s personality and behavior by making movement more fluid and interactions more dynamic. This allows for real-time adaptation, unconventional mappings, and new opportunities for creative experimentation, for example, by visualizing internal thoughts or behaviors as metaphors. These innovative workflows bridge the art of 3D digital animation with other arts and media such as performing arts, interactive media, games, and sound design. Each discipline comes with its own aesthetics, tools, workflows, technical challenges, and expressive codes.\nThe expressive behavior of virtual characters is foundational for believable interactive systems. Personality strongly influences how users perceive, interpret, and engage with narrative media, supporting immersion, social presence, and usability [2]. Research has shown that the effectiveness of digital characters depends not only on technical fidelity but also on their capacity to embody coherent and recognizable personality traits [3,4,5]. Classical animation principles provide strategies for expressive motion, but recent work has integrated frameworks such as Laban Movement Analysis to extend character believability through structured variations in gesture and dynamics [6,7]. Similarly, empirical studies reveal that multimodal cues—including body movement, facial expression, voice, and gesture—are correlated and jointly inform personality perception [8,9]. Recent developments in inertial sensor-based interfaces further enhance expressive character control through gesture recognition and dynamic mapping. Patil et al. [10] demonstrated that six-degrees-of-freedom inertial motion sensors can enable the expressive control of 3D avatars by recognizing gesture variations and synthesizing stylistic motion in real time, providing a low-cost and intuitive alternative to optical motion capture systems.\nWearable sensing technologies—including inertial measurement units (IMUs), biosensors (e.g., heart rate, galvanic skin response), and motion trackers—have matured to provide the continuous capture of both motion and internal physiological state. A recent systematic review of wearable systems in musical contexts highlights how inertial and physiological wearables have been used for gesture recognition, physiological monitoring, performance feedback, and sensory mapping—illustrating both the methodological opportunities and recurrent issues around comfort, calibration, and usability [11]. Frameworks combining low-cost motion capture with physiological or movement metrics have been used to infer stable personality traits or momentary affect in individuals. Delgado-Gomez et al. [2] is one such example, where joint movement patterns captured via Kinect were used to predict traits from the OCEAN personality model.\nAlthough these technologies have been used to measure and even predict human personality, their application to digital characters remains limited. This work addresses that gap by researching the personality traits of digital characters in four different media—interactive media, animation, games, and interactive networked performances—and how they can be augmented through three sensory technologies: motion capture, wearables, and live coding.\nThis study is part of a broader research program on character personality in trans-media productions, conducted under the IMAGINE-MOCAP project. The project brings together a multidisciplinary team including animation directors, choreographers, performers, interactive media designers, game designers, sound artists, and developers. Its aim is to investigate how emerging sensor and live coding technologies can be used to enrich character personality. Specifically, we incorporate real-time motion capture and interactions, embodied reactions through biosensors, and live-coded audio–visual effects to address the research question of how these aspects contribute to the creation of characters with enriched personality behaviors.\nIn this work, we contribute to the field of sensor-based animation and embodied character design by\nProposing a workflow and framework that analyze the different modalities of a digital character’s personality across media.\nDesigning and developing four demos to test the unique opportunities and challenges of each medium in expressing personality traits.\nEvaluating the workflow and framework through the audience perception of the developed characters.\nRather than treating the four media separately, we approach them together through a trans-media project, examining how the same digital character’s personality manifests differently across contexts. This allows us to study character personality through a transdisciplinary lens, deepening our understanding of its nuances and expanding its manifestations through embodied behaviors and abstract audio–visual metaphors, rather than through cartoon-like simplifications.\nOur methodology combines motion capture techniques, live coding, and wearable devices to explore how digital character personality can be augmented across the four media. In interactive performances, motion capture suits and biosensor wristbands measuring heartbeat and skin conductance were used to control the avatar and its environment. For the animation, an actor performed under motion capture following creative direction to express the desired personality traits. In the game experiment, motion capture was used to record the digital character’s movements, focusing on interactions with objects and other characters. Finally, in the interactive networked environment, the creative team applied motion capture and live coding to translate performer movement into sound, reflecting the personality of a non-human character.\nThese methods were implemented in four demo applications, where we examined how a character’s personality traits differentiated across media. The demos were then tested and evaluated by audiences in the creative arts. The evaluation sought to determine whether the audience perceived (a) the intended personality traits, (b) the means used by the creative team to achieve them, as well as how perception differed across media.\nThe following sections present our approach to character personality in the four IMAGINE media. We then describe the methodology used to create the demos, from script development to the tools and methods applied to extract and project character personality. Finally, we discuss the evaluation results and outline directions for future work.\n\n\n### 2. Personality in IMAGINE Media\nThe issue of a character’s personality in IMAGINE media is a recurring subject in research. The following is a selection of works that deal with personality in all of the four different media that were mentioned before, most of the time using sensor modalities of motion captures and wearables, or live coding technology. In interactive media performances, the use of motion capture techniques and wearable technologies have given artists the artistic freedom and the possibility to use the actors’ physical state and project personality characteristics in the digital world. Such an example is Cai et al. [12], who explored augmenting personalized systems with human-like characteristics such as behavior, emotion, and personality using rich personal data from information systems and ubiquitous devices like wearables.\nIn animation films, there is a significant number of studies about the use of stereotypes, specifically in relation to gender or age. In such a case, Gonzalez et al. [13] conducted a content analysis of popular children’s films and highlighted the strong associations between physical appearance, social attributes, and gender underscoring how they affect children’s body image and gender development. Shehatta [14] explored gender representations in the film Brave, showing how linguistics and visual elements combine to break traditional portrayals of female protagonists. Robinson et al. [15] on the other hand focused on the portrayal of older characters in Disney films and Bazzini et al. [16] examined the ‘what-is-beautiful-is-good’ stereotype in Disney movies.\nIn the games industry, the use of mainly motion capture and wearable technologies is usually preferred for personality trait expression. In “Cyberpunk 2077”, optical motion capture systems and inertial suits are used for more dynamic and expansive motion capture needs. In video games, motion capture is crucial for creating life-like characters that players can connect to. Games like “The Last of Us” and “Uncharted” use mocap to deliver emotionally engaging performances that enhance the storytelling and character development. Although wearables are not very commonly used in the games industry, there are some cases, like Nelepa et al. [17], that experiment with the use of wristbands to detect changes in affective states of players during gameplay. Brooks [18] explores the use of sensor-based systems that capture human input and map it to digital content, such as games and virtual reality, to create empowering, creative, and playful experiences. Similarly, Magar et al. [19] demonstrated that immersive virtual reality role-playing with virtual humans can enhance empathy and embodiment, highlighting the potential of VR-based interaction for emotionally responsive and personality-driven gameplay experiences.\nInteractive networked environments are the most common aspect of artistic research where live coding can use its full potential. In combination with motion capture suits and wearable devices, they can enhance the sense of liveness for performance audiences. Kate Sicchio, in the performance “Sound Choreographer <> Body Code” uses code not only to generate music, but also to interact with dancers, creating a dynamic feedback loop, where choreography and coding influence each other in real time.\n\n\n### 3. Materials and Methods\nIn this section we present all materials and methods that were used in this study. We start with presenting the Wheel Model, a custom model for collecting elements that can assist with designing digital characters. Then we proceed with the design requirements extraction for the implementation of the four demos that belong to each media. Afterwards we present each demo in detail in terms of its storyline, the technologies, the characters, and the intended personality assigned.\nFinally, we conclude with our evaluation methodology and the instruments used. An overview of the methodological workflow is illustrated below (Figure 1), highlighting the interrelation of sensor technologies and presentation medium in characters’ personalities, filtered through the Wheel Model.\nThe Wheel Model of Personality (Figure 2) is a proposed taxonomy that systematizes how digital characters convey personality across different modalities. It was developed during the initial stages of problem definition in the IMAGINE MOCAP project. Building on insights from psychology, animation, and game studies, it integrates findings on how shapes, colors, motion, sound, and interaction influence perception [20,21,22].\nAt its core, the Wheel of Personality organizes the diverse parameters that contribute to character personality into a structured taxonomy. The inner layer anchors the character in narrative and cultural context, defined by designer-led determinants such as scenario, genre, animation style, cultural background, role, motives, and backstory. Surrounding this core there are four primary categories of symbolic representations that articulate personality through observable features:Character Structure: encompassing anthropomorphism, proportions, shape, color, attractiveness, and costumes, which establish the character’s visual identity.Motion–Action: including gestures, postures, hand and facial motions, and overall movement dynamics, which reveal traits such as extroversion, confidence, or timidity.Environment: spanning lighting, shading, spatial design, and ambient sound, which situate the character and shape audience perception of personality.Interaction: covering speech, sound design, and behavioral patterns toward others and the environment, which further refine the character’s perceived traits.\nCharacter Structure: encompassing anthropomorphism, proportions, shape, color, attractiveness, and costumes, which establish the character’s visual identity.\nMotion–Action: including gestures, postures, hand and facial motions, and overall movement dynamics, which reveal traits such as extroversion, confidence, or timidity.\nEnvironment: spanning lighting, shading, spatial design, and ambient sound, which situate the character and shape audience perception of personality.\nInteraction: covering speech, sound design, and behavioral patterns toward others and the environment, which further refine the character’s perceived traits.\nThe Wheel Model emphasizes that personality is not expressed through isolated elements but through the interplay of these categories. For example, research shows that personality expression often depends on combinations of cues rather than single elements. A triangular silhouette paired with sharp movements and low lighting typically signals antagonism or menace [23,24,25] A rounded body shape combined with warm colors, fluid gestures, and melodic vocal qualities conveys friendliness and approachability [22,26,27] A character with exaggerated head-to-body proportions, soft fabrics, and bright environments evokes vulnerability and innocence, often associated with childlike figures [28,29,30]. In contrast, rigid postures, metallic costumes, and fragmented or dim lighting create impressions of authority, tension, or emotional distance [31,32].\nThe value of the Wheel Model lies in translating creative and symbolic intentions into structured design decisions. By organizing personality-related features into a coherent model, it provides designers with a generative tool for aligning narrative goals with technical implementations. It aims to bridge semiotics and technology, ensuring characters maintain expressive coherence across diverse media such as animation, games, interactive media, and interactive networked environments.\nIn our methodology, the Wheel Model is operationalized in our methodology in three key ways:(a)Workshops and expert interviews—as a conceptual guide for eliciting insights on how personality traits are communicated in design practice.(b)Demos—to identify which personality-related elements were activated in prototypes and how they influenced audience perception.(c)Evaluation—as a reference framework for systematically analyzing the expressive capacity and coherence of the designed characters.\nWorkshops and expert interviews—as a conceptual guide for eliciting insights on how personality traits are communicated in design practice.\nDemos—to identify which personality-related elements were activated in prototypes and how they influenced audience perception.\nEvaluation—as a reference framework for systematically analyzing the expressive capacity and coherence of the designed characters.\nPersonality expression has been an issue that creators in media, such as animation, games, interactive performances, and interactive networked environments, have been interested in for some time. Beyond technical fidelity, the question is how to design characters that feel authentic, expressive, and capable of evoking engagement through their traits, emotions, and actions. To ground the technological and methodological requirements of the project, the team conducted a combination of user workshops and expert interviews. These activities aimed to capture both practitioners’ perspectives and domain-specific expertise on what makes character personalities believable and expressive.\nTwo workshops were organized to gather input from practitioners. The first (Onassis Summer School, Athens 2024) focused on motion capture as a tool for personality expression, combining storytelling tasks with live performance in Rokoko suits. The second (CEEGS Conference, Nafplio 2024) invited participants to create characters in Unity using predefined avatars and environments, later embodying them via mocap performance. Questionnaire results from 13 respondents showed that participants prioritized body and facial characteristics, movement, and interaction as the most powerful cues for personality, while costumes, speech, or sound were viewed as less central. This highlighted the role of embodiment and non-verbal expressivity in character design.\nIn parallel, four expert interviews were carried out, each reflecting on personality in one of the IMAGINE media, with the following responses:The animation expert emphasized workflows built around Blender, Unity, and motion capture, while also grounding character personalities in cultural and historical archetypes. They noted that animation often treats characters symbolically, whereas games rely more on reusable archetypical movements and libraries.The interactive networked environments expert stressed real-time adaptability using sensors, OSC protocols, and live coding environments. They valued iterative pipelines where characters dynamically respond to performers, with personality seen as an evolving set of time-based traits.The games/networked environments expert discussed design processes involving Unity, RenPy, and Maya, balancing narrative with technical challenges such as VR motion sickness. They emphasized the need for custom animations where library assets could not capture individuality, while also drawing inspiration from titles like “The Last of Us Part II” where environment and pacing enrich personality portrayal.The interactive media expert favored open-source and flexible tools such as Godot for handling live data streams, with design priorities on dynamic responsiveness and interactivity, ensuring characters adapt in real time to performer or player input.\nThe animation expert emphasized workflows built around Blender, Unity, and motion capture, while also grounding character personalities in cultural and historical archetypes. They noted that animation often treats characters symbolically, whereas games rely more on reusable archetypical movements and libraries.\nThe interactive networked environments expert stressed real-time adaptability using sensors, OSC protocols, and live coding environments. They valued iterative pipelines where characters dynamically respond to performers, with personality seen as an evolving set of time-based traits.\nThe games/networked environments expert discussed design processes involving Unity, RenPy, and Maya, balancing narrative with technical challenges such as VR motion sickness. They emphasized the need for custom animations where library assets could not capture individuality, while also drawing inspiration from titles like “The Last of Us Part II” where environment and pacing enrich personality portrayal.\nThe interactive media expert favored open-source and flexible tools such as Godot for handling live data streams, with design priorities on dynamic responsiveness and interactivity, ensuring characters adapt in real time to performer or player input.\nTogether, these insights underline that expressive personality in digital characters requires a convergence of storytelling, cultural grounding, technical workflows, and real-time interactivity. The workshops and expert perspectives shaped the requirements framework of the project, directly informing the design of demo evaluations that test how different technologies can enhance the authenticity and adaptability of character personalities across media\nAs part of the evaluation framework, four prototype demonstrations were developed to investigate how personality traits can be expressed in digital characters across different media. Building on the workshops and expert insights, these demos served as experimental case studies for testing the taxonomy of symbolic elements (Motion–Action, Environment, Interaction, and Structure) in practice. Each prototype was designed to explore how personality and emotion can be conveyed through non-verbal communication, environmental design, and interaction dynamics. Together, they highlight complementary aspects of character expression.\nFor the purpose of the research, we decided to work with the story of MONOLOVE, by Giorgos Nikopoulos. The main characters of the story are two centaurs, representing a couple, but also the different aspects of a single person in the subconscious world. Ego, the male centaur, and Altero, the female centaur, are followed in a series of moments from their life both on the level of reality or in their imagination. In parts of the story, the character of a bird is also present, either as a single bird or as a flock of birds interacting with the two main characters in various ways, altering the relationship between them and acting as a trigger factor for some reactions.\nIn each medium, the characters transform into different versions of their own self, changing part of their appearance, but also projecting different personality aspects. For that reason, different technologies and methods were used to explore these aspects, according to each medium. In the following section, each demo is further analyzed and described in relation to the characters’ personality and the technologies used.\nThe prototype presented in this study is part of a short, animated film that explores the personality traits and emotional expression of digital characters through motion capture. This work demonstrates how the performances of actors/performers can be translated into non-human digital characters, specifically centaurs and birds, whose gestures, postures, and full-body movements embody personality traits and emotions. Rather than focusing solely on kinetic accuracy, the animation emphasizes the ability of motion capture to communicate personality through non-verbal communication, enhancing the narrative. The prototype scene presents a centaur with elongated, surreal legs reminiscent of Dali’s famous elephant struggling to balance on the sand, while a female centaur with the body of a turtle stands opposite. Also featured are some bird characters who act as protectors for the female centaur. Their contrasting forms emphasize fragility and grounded strength, embodied through motion capture to explore personality traits and emotions through non-verbal interaction (Table 1).\nThe creation process followed a structured pre-production and production workflow that combined traditional filmmaking methods with digital animation. Initially, a decoupage was developed to outline the structure and sequence of shots, establishing the pace and rhythm of the narrative. Following this, a storyboard was created to illustrate key scenes, focusing on how body movement and gesture convey the storytelling without words. A mood board was then created, defining the overall aesthetic direction, color palettes, and atmospheric tone of the animated film. The next step was to create an animatic to test timing, editing, and spatial composition. This early visualization allowed for the choice of pace as the emphasis was placed on interpretation. The project then entered the animation analysis stage, where complex movements and expressive sequences were analyzed and segmented for efficient production. An analysis of the assets ensured that the character models, rigging, and prop elements were categorized and optimized for finalization. At the same time, environment design was carried out to place the animated performances within coherent spatial and atmospheric contexts that enhanced the narrative. As a result, we have the final animated image, where the motion data recorded was optimized and integrated into the characters. The project was completed with rendering, where visual enhancement, lighting, and post-processing techniques ensured cinematic quality. An important element of the project was the use of motion capture technology, specifically the RokokoSmartsuit Pro II, which captured full-body movements of the actors/performers. These movements were carefully designed to emphasize not only physical actions but also the embodiment of personality traits, such as self-confidence, insecurity, sensitivity, determination, and more. The captured movements were based on the storyboards and the script, ensuring that the expressiveness of the actors was faithfully translated into the animated centaurs and birds. This integration allowed the characters to transcend their non-human forms and appear emotionally authentic, demonstrating how motion capture can act as a bridge between human interpretation and digital character animation. The film was used as a test case to evaluate the personality traits and emotions of digital characters through audience empathy. Overall, the short, animated film served as an experimental prototype that highlighted the importance of non-verbal communication in storytelling, with a view to highlighting the personality traits of digital characters (Figure 3).\nThe game prototype is focused on one of the levels of the MONOLOVE game. Following the centaurs’ story in the animation film, the game explores the personality aspects of the two main characters—the male Ego and female Altero—in the context of an adventure puzzle game. The player follows the male centaur as it goes through a series of quests in order to connect and reunite with the female character. The demo only features the first level of the game, where the two centaurs are found in a cold unwelcoming cave. The player—with the form of the male centaur avatar—needs to find a way to make the cave a warm and cozy place. In order to do so, he needs to use his strength and brains and go through a quest inside and outside the cave to figure out a way to light a fire inside the room (Table 2 and Figure 4).\nThe design team used game designing methods to decide on the elements of the environment that could project the user’s personality and emotional state in each case. These decisions affected not only the look and feel of the game, but also the interactions of the character with other characters and objects of the environment. For the characters’ personality, the game design team used synthetic motion, based on the keyframe animation method. Also, for expressing different personality aspects, the prototype used various environment design parameters such as different lighting, objects, shades. The interaction of the character with objects and the environment was a strong element of personality expression as well. The design process also included the creation of a storyboard with the different steps of the hero’s journey, as well as an interaction mood board with the alternative story flows, according to the user’s choices. The image below shows a diagram of the game interactive narrative. For the look and feel of the game, the prototype used the style of the well-known 1990’s game of View-Master, with the signature shutter movement when changing camera views. Another aspect that the design process took into consideration was the way non-human characters can interact in the game for the benefit of the narrative, but also the personality expression. The motion of the flock of birds had to be studied and configured in a realistic yet expressive way to give the proper feeling to the users, but also guide them with subtle hints on the path to follow to complete the task. Various game design features were also used, such as physics and lighting effects, to create an environment that stands on the edge of realism but also to make the main characters and their actions and feelings stand out.\nThe game demo, focusing mainly on the personality traits and how they can project the digital characters’ emotional state, works in a supplementary way to the rest of the demos and the use of personality traits in an intermedia production, focusing and bringing to light different aspects of the character that the rest of the productions might miss. In the table below, the aspects of the Wheel personality that were used mainly in the game prototype are highlighted, giving a better view on the different personality factors that the game focuses on.\nAn interactive performance demo is a short experimental intermedia performance which lasts approximately 5 min and brings together live performers, digital environments, and real-time interactive technologies. It features two on-site performers, a live director/camera operator, a prerecorded narrator, and a projected digital environment on a large screen.\nThe performance is accompanied by a recorded narration that guides users through the plot. The two centaurs, the male and female, are sleeping in their cave. The male centaur is having a dream. The narrator explains the plot while the audience is following the live action.\nOne performer wears a Rokoko motion capture suit, directly animating in real time the avatar on screen—Dali’s centaur. The second performer wears a Shimmer wearable device on her wrist; her biometric signals (heartbeat and skin conductance) indirectly shape the digital environment projected on screen, influencing both visual and auditory elements. The prerecorded voice of the narrator (performed by the scriptwriter and actor of MONOLOVE) provides the narrative backbone, guiding the interplay among five distinct agents: the digital avatar (Dali’s centaur), animated in real time; the narrator’s voice, which exists only as sound; the motion capture performer, visible both on stage and through the avatar she controls; the biosignal performer, whose physiological data generate changes in the digital environment, visible on screen as dynamic visual effects and sounds; and the live director, who manages real-time camera control and technical operations within the Unity game engine (Table 3).\nTogether, these elements create a hybrid performance that blurs the boundaries between live action, digital media, and immersive storytelling (Figure 5).\nThe Wheel aspects used in this media are body movement (through Rokoko), environment (objects/lighting and shading; through biosignals), voice (through narrator), and character–environment interaction. Below we present in detail the different parts of the performance:\nPart 1: The performance starts. The motion capture performer is on stage. The recorded narrator begins playing in the background. The live director demonstrates the whole digital world to finally show the digital avatar, Dali’s centaur. The motion capture performer moves, and the digital avatar follows her movements. The narrator talks about “my body… I have half of my body… and I feel half as a creation. Only the space around me is full and complete… What keeps me is the body to come… the other half of the body.”\nPart 2: At this point, the second performer, the biosignal performer, enters the stage. “Two centaurs are sleeping in their cave, hugging each other. The fire in the cave runs low…” At this point, the two performers act together to compose the scenery in the digital world; one defines the movements of the centaur, and the other one defines the sounds and visuals of the digital world.\nPart 3: The biosignal performer leaves the stage, and the motion capture performer stays again alone on the stage. Narrator: “Now again, I have half of my complete body, and I feel half again as a creation. Only the space around me is perfect, united…”\nThe interactive networked environment demo uses the bird characters of the MONOLOVE universe in a remote sound performance experiment using live coding and motion capture methods. The demo was recorded using two remote locations, in Athens and Corfu, where two separate teams were collaborating in real time to create a soundscape according to the characters’ personalities, expressed through the performer’s movements. For the live coding part, the creative team used the software SuperCollider(v.3.14.0), an open-source platform for audio synthesis and algorithmic composition, widely used in electronic music, sound art, and live coding performances. Through its programming language it allows users to design instruments and generate complex soundscapes but also control them interactively. For the motion capture part, the performer was using a Rokoko suit that gave access to the live-coding team to the performer’s movements in real time.\nDuring the demo, the performer, located in a studio in Athens, was moving and animating the bird character from the MONOLOVE script (Figure 6 and Table 4). The team in Corfu was receiving the raw movement data in their studio, and, through their system, translating it to different sounds. The performer listening to the soundscape could modify his moves, the intensity and range of motion, to create the desired sounds. The whole demo was also broadcasted to audience members, through Zoom conference software(v. 6.5), in different locations across the world. The demo consisted of three parts, where in each part the creative team was changing the sound, but also the part of the performer’s body that would control the soundscape, showing part of the potential of the system, and the possibility to create a much more complex soundscape when using all 19 joints that the Rokoko system can transmit.\nThe integration of motion capture and physiological sensing technologies in the demos offers a multidimensional approach to shaping and expressing personality in digital characters. Each sensor modality contributes to different facets of expressivity by translating internal bodily states into perceivable visual, auditory, or behavioral changes. These contributions can be organized around the four interrelated dimensions that define the taxonomy Wheel.\nMotion-related sensors, such as motion capture systems and inertial measurement units (IMUs), provide high-resolution data on body posture, gesture, and dynamics. These parameters influence the Motion–Action and Interaction aspects of character behavior, enabling the representation of traits such as extraversion, confidence, or hesitation through movement amplitude, tempo, and rhythm. For the four demos, motion-related sensors are used in most of the demos, mainly in animation, interactive networked environment, and interactive media performance, through motion capture suits.\nPhysiological sensors, including electrocardiogram (ECG), electrodermal activity (EDA), electromyography (EMG), skin temperature, and respiration sensors, link internal affective states with outward expression. Variations in heart rate, galvanic skin response, or muscle tension can modulate both the Structure (for instance, skin tone or micro-expressions) and the Environment (such as lighting, sound, or color intensity) to externalize emotional states such as calmness, excitement, or anxiety. Physiological sensors in the demos were mainly used in the interactive media performance.\nThermal and respiratory measurements provide additional cues about emotional regulation and arousal. Changes in temperature and breathing rate can serve as subtle indicators of stress, relaxation, or emotional intensity, further enriching the coherence between physical and digital embodiment.\nWearable and networked sensor systems extend these principles into interactive contexts, where the performer’s real-time data directly influence character or environmental behavior. This real-time coupling enhances the Interaction dimension, enabling adaptive expressions of personality that respond dynamically to context and audience. This type of sensor, together with thermal and respiratory sensors, were also used in the interactive media performance.\nFinally, sonification and audio mapping introduce a crossmodal layer of expression by transforming biosignals and motion data into sound parameters. These auditory correlations augment the Environment and Interaction dimensions, reinforcing empathy and emotional resonance between performer, character, and observer. These sensors were used in the interactive networked environment demo.\nOverall, the combined use of motion and physiological sensors enables a holistic translation of embodied data into expressive traits. By synchronizing bodily signals with the audio–visual attributes of a digital character, these systems foster a sense of emotional presence and coherence that supports the perception of personality as a living, responsive construct. In the table below (Table 5), each sensor type is associated with the specific component of the personality taxonomy it most strongly influences within the expressive framework.\nTo sum up, in this work, we explore the concept of expressing digital characters’ personalities, across four different digital media (games, animation, interactive networked environments, and interactive media), inspired by MONOLOVE’s storyline and by utilizing sensory technologies like motion capture, wearables, and live coding. To do so we worked in the following way: Initially we studied the current literature and filmography, identifying how a character’s personality is currently expressed in various digital media. Afterwards, we shaped the Wheel Theoretical Model that is presented in detail in Section 3.1 and was used as a common language along the whole project. Afterwards, we conducted interviews (presented in Section 3.2) with four experts on the four digital media.\nPrior to the development of the four media prototypes by our team, an important step was to determine how personality would be assigned to the digital characters of each, and of course, how that personality would be measured. A creative team behind each demo, consisting of various expertise like game developers, dancers, wearable specialists, live coders, performers, designers, and animators, decided the elements of the Wheel Model that would be utilized for each media and also the storyline and the personality they would like to give to each character. Drawing inspiration on the theoretical frameworks of personality (personality models) presented earlier in this section, the teams used a custom personality trait model which is presented in detail in Section 3.5.3. Afterwards, the four creative teams prototyped the four demos.\nThe next stage included the evaluation of each demo. The purpose of the evaluation was to test whether the intention of the creative teams in terms of the character’s personality was communicated to the audience, or in other words, if the audience perceived the same personality as the one described by the creative team. To proceed with such an evaluation, we invited 14 users that were asked to watch or interact with each of the prototypes, followed by interviews and questionnaires. The results of this study are presented in Section 4.\nThe evaluation followed a mixed-method approach. Questionnaires provided quantitative measures of perceived character personalities while also capturing qualitative insights regarding which design elements influenced participants’ judgments. Semi-structured interviews offered deeper qualitative exploration, allowing participants to articulate how specific expressive elements contributed to personality perception. The primary goal was to assess whether participants perceived the intended personality traits in each prototype and which expressive elements, as outlined in the Wheel Model, were most influential across different media.\nThe evaluation procedure was conducted across three separate sessions, each lasting approximately 60 min and involving a subset of participants, to accommodate participant availability and ensure a comfortable environment for interaction and discussion. This setup also facilitated detailed observation and manageable data collection.\nEach session consisted of the following steps:Step 1: Demonstration Phase\nStep 1: Demonstration Phase\nParticipants experienced all four prototypes in the same fixed order within each session. Each prototype lasted 1–10 min.\nStep 2: Questionnaire Phase\nAfter each prototype, participants completed a short questionnaire (approx. 10 min) that assessed perceived personality traits using a custom trait list, derived from related models of personality, as well as adjectives provided by the narrators and creators of the story, capturing nuanced personality expressions unique to the characters. Participants rated each trait on a 0–5 Likert scale (0 = “not at all”, 5 = “very much”). They also indicated which of the Wheel Model elements contributed most to their perception of personality by importance, and could suggest additional elements to enhance personality expression.\nStep 3: Interview Phase\nAfter all prototypes, participants engaged in a semi-structured interview (approx. 20 min) to discuss their impressions, differences across media, and alignment with the Wheel Model categories. This provided qualitative insights into the reasoning behind personality perception, allowing participants to elaborate on subtle design cues and expressive choices that influenced their judgments.\nThe purpose of developing a custom trait list was to capture a set of qualities that the creators intended to express consistently across the four media prototypes—animation, games, interactive performance with wearables, and interactive performance with live coding. These traits served a dual role: first, as design anchors that guided how personality would be embodied within each medium, and second, as evaluation criteria in the questionnaires, where participants were asked to recognize and assess whether the intended traits were successfully conveyed by the characters.\nA single framework such as the Big Five (OCEAN) [33] was not sufficient for our purposes. First, established frameworks like the Big Five are expressed in abstract psychological terms that do not always map directly to narrative design contexts. For example, “Conscientiousness” or “Openness” may be meaningful to psychologists, but are not readily interpretable by participants evaluating a fictional character’s behavior. Second, traits had to be narratively resonant, adaptable across expressive modalities, and intuitively understandable to non-experts. Thus, instead of applying a single model, we conducted a filtering process that combined the following:Theory-grounding traits in validated psychological and expressive frameworks.Creative insight-aligning traits with the story world of MONOLOVE (themes of vulnerability, identity, and transformation).Practical design relevance-ensuring traits could be embodied through movement, sound, and interaction across diverse media.\nTheory-grounding traits in validated psychological and expressive frameworks.\nCreative insight-aligning traits with the story world of MONOLOVE (themes of vulnerability, identity, and transformation).\nPractical design relevance-ensuring traits could be embodied through movement, sound, and interaction across diverse media.\nThis integrative approach led us to distill theoretical complexity into eight accessible, narratively anchored traits: Independent, Decisive, Self-confident, Strong, Sensitive, Weak, Fearful, and Aggressive.\nTo clarify how this list was derived, we next outline how different models contributed complementary perspectives.\nThe Big Five, or OCEAN model [33], describes personality in terms of five broad dimensions: Openness, Conscientiousness, Extraversion, Agreeableness, and Neuroticism. It is widely considered the most empirically supported trait framework and has been applied in digital character design to modulate behaviors such as speech, gesture, or responsiveness. In relation to our list, several traits map directly onto these dimensions. Independent and Decisive relate to Conscientiousness and Extraversion, representing autonomy, discipline, and assertive decision-making. Self-confident corresponds to low Neuroticism (emotional stability), while Strong reflects high Extraversion combined with emotional stability, embodied in resilience and dominance. On the other hand, Sensitive corresponds to higher Neuroticism and aspects of Agreeableness, reflecting vulnerability and empathy. Fearful links strongly to high Neuroticism, while Weak resonates with low Extraversion and Conscientiousness. Finally, Aggressive aligns with low Agreeableness, characterized by dominance and hostility. Thus, the Big Five provided a scientifically robust foundation for our custom list, though its broad dimensionality required refinement into more specific, narratively usable traits.\nThe MBTI [34] expands Jungian psychological types into 16 personality categories based on four dichotomies: Extraversion–Introversion, Sensing–Intuition, Thinking–Feeling, and Judging–Perceiving. Although criticized for its binary structure and lack of reliability [35], MBTI has proven narratively powerful by offering intuitive archetypes useful for storytelling. This archetypal clarity influenced our trait list. The Commander (ENTJ), characterized by decisiveness, confidence, and assertiveness, directly inspired traits such as Decisive and Strong. In contrast, the Mediator (INFP), defined by empathy, sensitivity, and introspection, informed traits such as Sensitive and Fearful. In this way, MBTI helped us frame oppositional contrasts central to MONOLOVE’s narrative (e.g., decisiveness vs. fear, strength vs. weakness). While MBTI’s scientific shortcomings meant it could not serve as the primary foundation, its role in inspiring archetypal contrasts was crucial in shaping our custom list.\nThe OCC model [36] classifies 22 emotions into categories linked to events (goal relevance), agents (moral/social evaluation), and objects (intrinsic preferences). It has been foundational in affective computing, providing a rule-based framework for generating consistent emotional responses. For our list, OCC informed traits that derive from appraisals of threat, vulnerability, and moral evaluation. Fearful maps directly onto event-based appraisals of threat or anticipated harm, while Sensitive corresponds to appraisals of others’ well-being and intrinsic preferences, emphasizing empathy and moral concern. Aggressive reflects agent-based evaluations of hostility or antagonism. Thus, OCC enriched our list by grounding traits in the “why” of emotions, connecting character behavior to appraisal-driven motivations.\nThe Realact model [37] integrates personality traits with emotion regulation in a hybrid framework that combines a continuous affective state manager with an event-based behavioral scheduler. It shows how traits such as Extraversion and Emotional Stability modulate expressive behaviors like posture, gaze, and gesture. For our list, Realact reinforced distinctions between traits associated with consistent, stable expression (e.g., Self-confident, Strong) and traits tied to emotional instability or over-modulation (e.g., Fearful, Aggressive). Realact’s emphasis on behavioral regulation highlighted how Weak could be expressed through subdued, inhibited behaviors, while Aggressive emerges through over-modulated, dominant actions.\nThe Communication Styles Inventory [38] identifies six communication styles: Expressiveness, Preciseness, Verbal Aggressiveness, Questioningness, Emotionality, and Impression Manipulativeness. It explains how personality and emotion manifest in speech and interaction. In our list, Aggressive links closely with Verbal Aggressiveness, while Sensitive reflects Emotionality, capturing vulnerability and affect-laden interaction. Decisive overlaps with Preciseness, emphasizing clarity and determination in communication. CSI thus provided a bridge between dispositional traits and linguistic/interactional expression in our framework.\nLaban Movement Analysis [39] describes movement through four dimensions: Body, Effort, Shape, and Space. Within Effort, qualities such as bound vs. free flow or strong vs. light weight convey psychological and emotional states. This model was critical for traits expressed through embodiment. Strong corresponds to movements with strong weight and expansive space, while Weak is reflected in light, bound, and constrained movements. Fearful can be expressed through bound, hesitant movement, whereas Self-confident appears in free, expansive gestures. LMA therefore enriched our trait list by ensuring that each quality could be consistently embodied in physical performance, particularly in animation and interactive performance contexts.\nIn Table 6, we summarize the relationship between our custom traits and the theoretical models reviewed. Each row presents one of the eight traits—Independent, Decisive, Self-confident, Strong, Sensitive, Weak, Fearful, and Aggressive—alongside the models that informed it and its core interpretation, which was ultimately defined by the creative team to align with the narrative themes and expressive goals of the project.\n\n\n### 3.1. The Wheel Model for Expressing Character’s Personality\nThe Wheel Model of Personality (Figure 2) is a proposed taxonomy that systematizes how digital characters convey personality across different modalities. It was developed during the initial stages of problem definition in the IMAGINE MOCAP project. Building on insights from psychology, animation, and game studies, it integrates findings on how shapes, colors, motion, sound, and interaction influence perception [20,21,22].\nAt its core, the Wheel of Personality organizes the diverse parameters that contribute to character personality into a structured taxonomy. The inner layer anchors the character in narrative and cultural context, defined by designer-led determinants such as scenario, genre, animation style, cultural background, role, motives, and backstory. Surrounding this core there are four primary categories of symbolic representations that articulate personality through observable features:Character Structure: encompassing anthropomorphism, proportions, shape, color, attractiveness, and costumes, which establish the character’s visual identity.Motion–Action: including gestures, postures, hand and facial motions, and overall movement dynamics, which reveal traits such as extroversion, confidence, or timidity.Environment: spanning lighting, shading, spatial design, and ambient sound, which situate the character and shape audience perception of personality.Interaction: covering speech, sound design, and behavioral patterns toward others and the environment, which further refine the character’s perceived traits.\nCharacter Structure: encompassing anthropomorphism, proportions, shape, color, attractiveness, and costumes, which establish the character’s visual identity.\nMotion–Action: including gestures, postures, hand and facial motions, and overall movement dynamics, which reveal traits such as extroversion, confidence, or timidity.\nEnvironment: spanning lighting, shading, spatial design, and ambient sound, which situate the character and shape audience perception of personality.\nInteraction: covering speech, sound design, and behavioral patterns toward others and the environment, which further refine the character’s perceived traits.\nThe Wheel Model emphasizes that personality is not expressed through isolated elements but through the interplay of these categories. For example, research shows that personality expression often depends on combinations of cues rather than single elements. A triangular silhouette paired with sharp movements and low lighting typically signals antagonism or menace [23,24,25] A rounded body shape combined with warm colors, fluid gestures, and melodic vocal qualities conveys friendliness and approachability [22,26,27] A character with exaggerated head-to-body proportions, soft fabrics, and bright environments evokes vulnerability and innocence, often associated with childlike figures [28,29,30]. In contrast, rigid postures, metallic costumes, and fragmented or dim lighting create impressions of authority, tension, or emotional distance [31,32].\nThe value of the Wheel Model lies in translating creative and symbolic intentions into structured design decisions. By organizing personality-related features into a coherent model, it provides designers with a generative tool for aligning narrative goals with technical implementations. It aims to bridge semiotics and technology, ensuring characters maintain expressive coherence across diverse media such as animation, games, interactive media, and interactive networked environments.\nIn our methodology, the Wheel Model is operationalized in our methodology in three key ways:(a)Workshops and expert interviews—as a conceptual guide for eliciting insights on how personality traits are communicated in design practice.(b)Demos—to identify which personality-related elements were activated in prototypes and how they influenced audience perception.(c)Evaluation—as a reference framework for systematically analyzing the expressive capacity and coherence of the designed characters.\nWorkshops and expert interviews—as a conceptual guide for eliciting insights on how personality traits are communicated in design practice.\nDemos—to identify which personality-related elements were activated in prototypes and how they influenced audience perception.\nEvaluation—as a reference framework for systematically analyzing the expressive capacity and coherence of the designed characters.\n\n\n### 3.2. Design Requirements Extraction\nPersonality expression has been an issue that creators in media, such as animation, games, interactive performances, and interactive networked environments, have been interested in for some time. Beyond technical fidelity, the question is how to design characters that feel authentic, expressive, and capable of evoking engagement through their traits, emotions, and actions. To ground the technological and methodological requirements of the project, the team conducted a combination of user workshops and expert interviews. These activities aimed to capture both practitioners’ perspectives and domain-specific expertise on what makes character personalities believable and expressive.\nTwo workshops were organized to gather input from practitioners. The first (Onassis Summer School, Athens 2024) focused on motion capture as a tool for personality expression, combining storytelling tasks with live performance in Rokoko suits. The second (CEEGS Conference, Nafplio 2024) invited participants to create characters in Unity using predefined avatars and environments, later embodying them via mocap performance. Questionnaire results from 13 respondents showed that participants prioritized body and facial characteristics, movement, and interaction as the most powerful cues for personality, while costumes, speech, or sound were viewed as less central. This highlighted the role of embodiment and non-verbal expressivity in character design.\nIn parallel, four expert interviews were carried out, each reflecting on personality in one of the IMAGINE media, with the following responses:The animation expert emphasized workflows built around Blender, Unity, and motion capture, while also grounding character personalities in cultural and historical archetypes. They noted that animation often treats characters symbolically, whereas games rely more on reusable archetypical movements and libraries.The interactive networked environments expert stressed real-time adaptability using sensors, OSC protocols, and live coding environments. They valued iterative pipelines where characters dynamically respond to performers, with personality seen as an evolving set of time-based traits.The games/networked environments expert discussed design processes involving Unity, RenPy, and Maya, balancing narrative with technical challenges such as VR motion sickness. They emphasized the need for custom animations where library assets could not capture individuality, while also drawing inspiration from titles like “The Last of Us Part II” where environment and pacing enrich personality portrayal.The interactive media expert favored open-source and flexible tools such as Godot for handling live data streams, with design priorities on dynamic responsiveness and interactivity, ensuring characters adapt in real time to performer or player input.\nThe animation expert emphasized workflows built around Blender, Unity, and motion capture, while also grounding character personalities in cultural and historical archetypes. They noted that animation often treats characters symbolically, whereas games rely more on reusable archetypical movements and libraries.\nThe interactive networked environments expert stressed real-time adaptability using sensors, OSC protocols, and live coding environments. They valued iterative pipelines where characters dynamically respond to performers, with personality seen as an evolving set of time-based traits.\nThe games/networked environments expert discussed design processes involving Unity, RenPy, and Maya, balancing narrative with technical challenges such as VR motion sickness. They emphasized the need for custom animations where library assets could not capture individuality, while also drawing inspiration from titles like “The Last of Us Part II” where environment and pacing enrich personality portrayal.\nThe interactive media expert favored open-source and flexible tools such as Godot for handling live data streams, with design priorities on dynamic responsiveness and interactivity, ensuring characters adapt in real time to performer or player input.\nTogether, these insights underline that expressive personality in digital characters requires a convergence of storytelling, cultural grounding, technical workflows, and real-time interactivity. The workshops and expert perspectives shaped the requirements framework of the project, directly informing the design of demo evaluations that test how different technologies can enhance the authenticity and adaptability of character personalities across media\n\n\n### 3.3. Demos Implementation\nAs part of the evaluation framework, four prototype demonstrations were developed to investigate how personality traits can be expressed in digital characters across different media. Building on the workshops and expert insights, these demos served as experimental case studies for testing the taxonomy of symbolic elements (Motion–Action, Environment, Interaction, and Structure) in practice. Each prototype was designed to explore how personality and emotion can be conveyed through non-verbal communication, environmental design, and interaction dynamics. Together, they highlight complementary aspects of character expression.\nFor the purpose of the research, we decided to work with the story of MONOLOVE, by Giorgos Nikopoulos. The main characters of the story are two centaurs, representing a couple, but also the different aspects of a single person in the subconscious world. Ego, the male centaur, and Altero, the female centaur, are followed in a series of moments from their life both on the level of reality or in their imagination. In parts of the story, the character of a bird is also present, either as a single bird or as a flock of birds interacting with the two main characters in various ways, altering the relationship between them and acting as a trigger factor for some reactions.\nIn each medium, the characters transform into different versions of their own self, changing part of their appearance, but also projecting different personality aspects. For that reason, different technologies and methods were used to explore these aspects, according to each medium. In the following section, each demo is further analyzed and described in relation to the characters’ personality and the technologies used.\nThe prototype presented in this study is part of a short, animated film that explores the personality traits and emotional expression of digital characters through motion capture. This work demonstrates how the performances of actors/performers can be translated into non-human digital characters, specifically centaurs and birds, whose gestures, postures, and full-body movements embody personality traits and emotions. Rather than focusing solely on kinetic accuracy, the animation emphasizes the ability of motion capture to communicate personality through non-verbal communication, enhancing the narrative. The prototype scene presents a centaur with elongated, surreal legs reminiscent of Dali’s famous elephant struggling to balance on the sand, while a female centaur with the body of a turtle stands opposite. Also featured are some bird characters who act as protectors for the female centaur. Their contrasting forms emphasize fragility and grounded strength, embodied through motion capture to explore personality traits and emotions through non-verbal interaction (Table 1).\nThe creation process followed a structured pre-production and production workflow that combined traditional filmmaking methods with digital animation. Initially, a decoupage was developed to outline the structure and sequence of shots, establishing the pace and rhythm of the narrative. Following this, a storyboard was created to illustrate key scenes, focusing on how body movement and gesture convey the storytelling without words. A mood board was then created, defining the overall aesthetic direction, color palettes, and atmospheric tone of the animated film. The next step was to create an animatic to test timing, editing, and spatial composition. This early visualization allowed for the choice of pace as the emphasis was placed on interpretation. The project then entered the animation analysis stage, where complex movements and expressive sequences were analyzed and segmented for efficient production. An analysis of the assets ensured that the character models, rigging, and prop elements were categorized and optimized for finalization. At the same time, environment design was carried out to place the animated performances within coherent spatial and atmospheric contexts that enhanced the narrative. As a result, we have the final animated image, where the motion data recorded was optimized and integrated into the characters. The project was completed with rendering, where visual enhancement, lighting, and post-processing techniques ensured cinematic quality. An important element of the project was the use of motion capture technology, specifically the RokokoSmartsuit Pro II, which captured full-body movements of the actors/performers. These movements were carefully designed to emphasize not only physical actions but also the embodiment of personality traits, such as self-confidence, insecurity, sensitivity, determination, and more. The captured movements were based on the storyboards and the script, ensuring that the expressiveness of the actors was faithfully translated into the animated centaurs and birds. This integration allowed the characters to transcend their non-human forms and appear emotionally authentic, demonstrating how motion capture can act as a bridge between human interpretation and digital character animation. The film was used as a test case to evaluate the personality traits and emotions of digital characters through audience empathy. Overall, the short, animated film served as an experimental prototype that highlighted the importance of non-verbal communication in storytelling, with a view to highlighting the personality traits of digital characters (Figure 3).\nThe game prototype is focused on one of the levels of the MONOLOVE game. Following the centaurs’ story in the animation film, the game explores the personality aspects of the two main characters—the male Ego and female Altero—in the context of an adventure puzzle game. The player follows the male centaur as it goes through a series of quests in order to connect and reunite with the female character. The demo only features the first level of the game, where the two centaurs are found in a cold unwelcoming cave. The player—with the form of the male centaur avatar—needs to find a way to make the cave a warm and cozy place. In order to do so, he needs to use his strength and brains and go through a quest inside and outside the cave to figure out a way to light a fire inside the room (Table 2 and Figure 4).\nThe design team used game designing methods to decide on the elements of the environment that could project the user’s personality and emotional state in each case. These decisions affected not only the look and feel of the game, but also the interactions of the character with other characters and objects of the environment. For the characters’ personality, the game design team used synthetic motion, based on the keyframe animation method. Also, for expressing different personality aspects, the prototype used various environment design parameters such as different lighting, objects, shades. The interaction of the character with objects and the environment was a strong element of personality expression as well. The design process also included the creation of a storyboard with the different steps of the hero’s journey, as well as an interaction mood board with the alternative story flows, according to the user’s choices. The image below shows a diagram of the game interactive narrative. For the look and feel of the game, the prototype used the style of the well-known 1990’s game of View-Master, with the signature shutter movement when changing camera views. Another aspect that the design process took into consideration was the way non-human characters can interact in the game for the benefit of the narrative, but also the personality expression. The motion of the flock of birds had to be studied and configured in a realistic yet expressive way to give the proper feeling to the users, but also guide them with subtle hints on the path to follow to complete the task. Various game design features were also used, such as physics and lighting effects, to create an environment that stands on the edge of realism but also to make the main characters and their actions and feelings stand out.\nThe game demo, focusing mainly on the personality traits and how they can project the digital characters’ emotional state, works in a supplementary way to the rest of the demos and the use of personality traits in an intermedia production, focusing and bringing to light different aspects of the character that the rest of the productions might miss. In the table below, the aspects of the Wheel personality that were used mainly in the game prototype are highlighted, giving a better view on the different personality factors that the game focuses on.\nAn interactive performance demo is a short experimental intermedia performance which lasts approximately 5 min and brings together live performers, digital environments, and real-time interactive technologies. It features two on-site performers, a live director/camera operator, a prerecorded narrator, and a projected digital environment on a large screen.\nThe performance is accompanied by a recorded narration that guides users through the plot. The two centaurs, the male and female, are sleeping in their cave. The male centaur is having a dream. The narrator explains the plot while the audience is following the live action.\nOne performer wears a Rokoko motion capture suit, directly animating in real time the avatar on screen—Dali’s centaur. The second performer wears a Shimmer wearable device on her wrist; her biometric signals (heartbeat and skin conductance) indirectly shape the digital environment projected on screen, influencing both visual and auditory elements. The prerecorded voice of the narrator (performed by the scriptwriter and actor of MONOLOVE) provides the narrative backbone, guiding the interplay among five distinct agents: the digital avatar (Dali’s centaur), animated in real time; the narrator’s voice, which exists only as sound; the motion capture performer, visible both on stage and through the avatar she controls; the biosignal performer, whose physiological data generate changes in the digital environment, visible on screen as dynamic visual effects and sounds; and the live director, who manages real-time camera control and technical operations within the Unity game engine (Table 3).\nTogether, these elements create a hybrid performance that blurs the boundaries between live action, digital media, and immersive storytelling (Figure 5).\nThe Wheel aspects used in this media are body movement (through Rokoko), environment (objects/lighting and shading; through biosignals), voice (through narrator), and character–environment interaction. Below we present in detail the different parts of the performance:\nPart 1: The performance starts. The motion capture performer is on stage. The recorded narrator begins playing in the background. The live director demonstrates the whole digital world to finally show the digital avatar, Dali’s centaur. The motion capture performer moves, and the digital avatar follows her movements. The narrator talks about “my body… I have half of my body… and I feel half as a creation. Only the space around me is full and complete… What keeps me is the body to come… the other half of the body.”\nPart 2: At this point, the second performer, the biosignal performer, enters the stage. “Two centaurs are sleeping in their cave, hugging each other. The fire in the cave runs low…” At this point, the two performers act together to compose the scenery in the digital world; one defines the movements of the centaur, and the other one defines the sounds and visuals of the digital world.\nPart 3: The biosignal performer leaves the stage, and the motion capture performer stays again alone on the stage. Narrator: “Now again, I have half of my complete body, and I feel half again as a creation. Only the space around me is perfect, united…”\nThe interactive networked environment demo uses the bird characters of the MONOLOVE universe in a remote sound performance experiment using live coding and motion capture methods. The demo was recorded using two remote locations, in Athens and Corfu, where two separate teams were collaborating in real time to create a soundscape according to the characters’ personalities, expressed through the performer’s movements. For the live coding part, the creative team used the software SuperCollider(v.3.14.0), an open-source platform for audio synthesis and algorithmic composition, widely used in electronic music, sound art, and live coding performances. Through its programming language it allows users to design instruments and generate complex soundscapes but also control them interactively. For the motion capture part, the performer was using a Rokoko suit that gave access to the live-coding team to the performer’s movements in real time.\nDuring the demo, the performer, located in a studio in Athens, was moving and animating the bird character from the MONOLOVE script (Figure 6 and Table 4). The team in Corfu was receiving the raw movement data in their studio, and, through their system, translating it to different sounds. The performer listening to the soundscape could modify his moves, the intensity and range of motion, to create the desired sounds. The whole demo was also broadcasted to audience members, through Zoom conference software(v. 6.5), in different locations across the world. The demo consisted of three parts, where in each part the creative team was changing the sound, but also the part of the performer’s body that would control the soundscape, showing part of the potential of the system, and the possibility to create a much more complex soundscape when using all 19 joints that the Rokoko system can transmit.\n\n\n### 3.3.1. Animation Demo\nThe prototype presented in this study is part of a short, animated film that explores the personality traits and emotional expression of digital characters through motion capture. This work demonstrates how the performances of actors/performers can be translated into non-human digital characters, specifically centaurs and birds, whose gestures, postures, and full-body movements embody personality traits and emotions. Rather than focusing solely on kinetic accuracy, the animation emphasizes the ability of motion capture to communicate personality through non-verbal communication, enhancing the narrative. The prototype scene presents a centaur with elongated, surreal legs reminiscent of Dali’s famous elephant struggling to balance on the sand, while a female centaur with the body of a turtle stands opposite. Also featured are some bird characters who act as protectors for the female centaur. Their contrasting forms emphasize fragility and grounded strength, embodied through motion capture to explore personality traits and emotions through non-verbal interaction (Table 1).\nThe creation process followed a structured pre-production and production workflow that combined traditional filmmaking methods with digital animation. Initially, a decoupage was developed to outline the structure and sequence of shots, establishing the pace and rhythm of the narrative. Following this, a storyboard was created to illustrate key scenes, focusing on how body movement and gesture convey the storytelling without words. A mood board was then created, defining the overall aesthetic direction, color palettes, and atmospheric tone of the animated film. The next step was to create an animatic to test timing, editing, and spatial composition. This early visualization allowed for the choice of pace as the emphasis was placed on interpretation. The project then entered the animation analysis stage, where complex movements and expressive sequences were analyzed and segmented for efficient production. An analysis of the assets ensured that the character models, rigging, and prop elements were categorized and optimized for finalization. At the same time, environment design was carried out to place the animated performances within coherent spatial and atmospheric contexts that enhanced the narrative. As a result, we have the final animated image, where the motion data recorded was optimized and integrated into the characters. The project was completed with rendering, where visual enhancement, lighting, and post-processing techniques ensured cinematic quality. An important element of the project was the use of motion capture technology, specifically the RokokoSmartsuit Pro II, which captured full-body movements of the actors/performers. These movements were carefully designed to emphasize not only physical actions but also the embodiment of personality traits, such as self-confidence, insecurity, sensitivity, determination, and more. The captured movements were based on the storyboards and the script, ensuring that the expressiveness of the actors was faithfully translated into the animated centaurs and birds. This integration allowed the characters to transcend their non-human forms and appear emotionally authentic, demonstrating how motion capture can act as a bridge between human interpretation and digital character animation. The film was used as a test case to evaluate the personality traits and emotions of digital characters through audience empathy. Overall, the short, animated film served as an experimental prototype that highlighted the importance of non-verbal communication in storytelling, with a view to highlighting the personality traits of digital characters (Figure 3).\n\n\n### 3.3.2. Game Demo\nThe game prototype is focused on one of the levels of the MONOLOVE game. Following the centaurs’ story in the animation film, the game explores the personality aspects of the two main characters—the male Ego and female Altero—in the context of an adventure puzzle game. The player follows the male centaur as it goes through a series of quests in order to connect and reunite with the female character. The demo only features the first level of the game, where the two centaurs are found in a cold unwelcoming cave. The player—with the form of the male centaur avatar—needs to find a way to make the cave a warm and cozy place. In order to do so, he needs to use his strength and brains and go through a quest inside and outside the cave to figure out a way to light a fire inside the room (Table 2 and Figure 4).\nThe design team used game designing methods to decide on the elements of the environment that could project the user’s personality and emotional state in each case. These decisions affected not only the look and feel of the game, but also the interactions of the character with other characters and objects of the environment. For the characters’ personality, the game design team used synthetic motion, based on the keyframe animation method. Also, for expressing different personality aspects, the prototype used various environment design parameters such as different lighting, objects, shades. The interaction of the character with objects and the environment was a strong element of personality expression as well. The design process also included the creation of a storyboard with the different steps of the hero’s journey, as well as an interaction mood board with the alternative story flows, according to the user’s choices. The image below shows a diagram of the game interactive narrative. For the look and feel of the game, the prototype used the style of the well-known 1990’s game of View-Master, with the signature shutter movement when changing camera views. Another aspect that the design process took into consideration was the way non-human characters can interact in the game for the benefit of the narrative, but also the personality expression. The motion of the flock of birds had to be studied and configured in a realistic yet expressive way to give the proper feeling to the users, but also guide them with subtle hints on the path to follow to complete the task. Various game design features were also used, such as physics and lighting effects, to create an environment that stands on the edge of realism but also to make the main characters and their actions and feelings stand out.\nThe game demo, focusing mainly on the personality traits and how they can project the digital characters’ emotional state, works in a supplementary way to the rest of the demos and the use of personality traits in an intermedia production, focusing and bringing to light different aspects of the character that the rest of the productions might miss. In the table below, the aspects of the Wheel personality that were used mainly in the game prototype are highlighted, giving a better view on the different personality factors that the game focuses on.\n\n\n### 3.3.3. Interactive Performance Demo\nAn interactive performance demo is a short experimental intermedia performance which lasts approximately 5 min and brings together live performers, digital environments, and real-time interactive technologies. It features two on-site performers, a live director/camera operator, a prerecorded narrator, and a projected digital environment on a large screen.\nThe performance is accompanied by a recorded narration that guides users through the plot. The two centaurs, the male and female, are sleeping in their cave. The male centaur is having a dream. The narrator explains the plot while the audience is following the live action.\nOne performer wears a Rokoko motion capture suit, directly animating in real time the avatar on screen—Dali’s centaur. The second performer wears a Shimmer wearable device on her wrist; her biometric signals (heartbeat and skin conductance) indirectly shape the digital environment projected on screen, influencing both visual and auditory elements. The prerecorded voice of the narrator (performed by the scriptwriter and actor of MONOLOVE) provides the narrative backbone, guiding the interplay among five distinct agents: the digital avatar (Dali’s centaur), animated in real time; the narrator’s voice, which exists only as sound; the motion capture performer, visible both on stage and through the avatar she controls; the biosignal performer, whose physiological data generate changes in the digital environment, visible on screen as dynamic visual effects and sounds; and the live director, who manages real-time camera control and technical operations within the Unity game engine (Table 3).\nTogether, these elements create a hybrid performance that blurs the boundaries between live action, digital media, and immersive storytelling (Figure 5).\nThe Wheel aspects used in this media are body movement (through Rokoko), environment (objects/lighting and shading; through biosignals), voice (through narrator), and character–environment interaction. Below we present in detail the different parts of the performance:\nPart 1: The performance starts. The motion capture performer is on stage. The recorded narrator begins playing in the background. The live director demonstrates the whole digital world to finally show the digital avatar, Dali’s centaur. The motion capture performer moves, and the digital avatar follows her movements. The narrator talks about “my body… I have half of my body… and I feel half as a creation. Only the space around me is full and complete… What keeps me is the body to come… the other half of the body.”\nPart 2: At this point, the second performer, the biosignal performer, enters the stage. “Two centaurs are sleeping in their cave, hugging each other. The fire in the cave runs low…” At this point, the two performers act together to compose the scenery in the digital world; one defines the movements of the centaur, and the other one defines the sounds and visuals of the digital world.\nPart 3: The biosignal performer leaves the stage, and the motion capture performer stays again alone on the stage. Narrator: “Now again, I have half of my complete body, and I feel half again as a creation. Only the space around me is perfect, united…”\n\n\n### 3.3.4. Interactive Networked Environment Demo\nThe interactive networked environment demo uses the bird characters of the MONOLOVE universe in a remote sound performance experiment using live coding and motion capture methods. The demo was recorded using two remote locations, in Athens and Corfu, where two separate teams were collaborating in real time to create a soundscape according to the characters’ personalities, expressed through the performer’s movements. For the live coding part, the creative team used the software SuperCollider(v.3.14.0), an open-source platform for audio synthesis and algorithmic composition, widely used in electronic music, sound art, and live coding performances. Through its programming language it allows users to design instruments and generate complex soundscapes but also control them interactively. For the motion capture part, the performer was using a Rokoko suit that gave access to the live-coding team to the performer’s movements in real time.\nDuring the demo, the performer, located in a studio in Athens, was moving and animating the bird character from the MONOLOVE script (Figure 6 and Table 4). The team in Corfu was receiving the raw movement data in their studio, and, through their system, translating it to different sounds. The performer listening to the soundscape could modify his moves, the intensity and range of motion, to create the desired sounds. The whole demo was also broadcasted to audience members, through Zoom conference software(v. 6.5), in different locations across the world. The demo consisted of three parts, where in each part the creative team was changing the sound, but also the part of the performer’s body that would control the soundscape, showing part of the potential of the system, and the possibility to create a much more complex soundscape when using all 19 joints that the Rokoko system can transmit.\n\n\n### 3.4. Sensors and Taxonomy Wheel Connection\nThe integration of motion capture and physiological sensing technologies in the demos offers a multidimensional approach to shaping and expressing personality in digital characters. Each sensor modality contributes to different facets of expressivity by translating internal bodily states into perceivable visual, auditory, or behavioral changes. These contributions can be organized around the four interrelated dimensions that define the taxonomy Wheel.\nMotion-related sensors, such as motion capture systems and inertial measurement units (IMUs), provide high-resolution data on body posture, gesture, and dynamics. These parameters influence the Motion–Action and Interaction aspects of character behavior, enabling the representation of traits such as extraversion, confidence, or hesitation through movement amplitude, tempo, and rhythm. For the four demos, motion-related sensors are used in most of the demos, mainly in animation, interactive networked environment, and interactive media performance, through motion capture suits.\nPhysiological sensors, including electrocardiogram (ECG), electrodermal activity (EDA), electromyography (EMG), skin temperature, and respiration sensors, link internal affective states with outward expression. Variations in heart rate, galvanic skin response, or muscle tension can modulate both the Structure (for instance, skin tone or micro-expressions) and the Environment (such as lighting, sound, or color intensity) to externalize emotional states such as calmness, excitement, or anxiety. Physiological sensors in the demos were mainly used in the interactive media performance.\nThermal and respiratory measurements provide additional cues about emotional regulation and arousal. Changes in temperature and breathing rate can serve as subtle indicators of stress, relaxation, or emotional intensity, further enriching the coherence between physical and digital embodiment.\nWearable and networked sensor systems extend these principles into interactive contexts, where the performer’s real-time data directly influence character or environmental behavior. This real-time coupling enhances the Interaction dimension, enabling adaptive expressions of personality that respond dynamically to context and audience. This type of sensor, together with thermal and respiratory sensors, were also used in the interactive media performance.\nFinally, sonification and audio mapping introduce a crossmodal layer of expression by transforming biosignals and motion data into sound parameters. These auditory correlations augment the Environment and Interaction dimensions, reinforcing empathy and emotional resonance between performer, character, and observer. These sensors were used in the interactive networked environment demo.\nOverall, the combined use of motion and physiological sensors enables a holistic translation of embodied data into expressive traits. By synchronizing bodily signals with the audio–visual attributes of a digital character, these systems foster a sense of emotional presence and coherence that supports the perception of personality as a living, responsive construct. In the table below (Table 5), each sensor type is associated with the specific component of the personality taxonomy it most strongly influences within the expressive framework.\n\n\n### 3.5. Evaluation Methods\nTo sum up, in this work, we explore the concept of expressing digital characters’ personalities, across four different digital media (games, animation, interactive networked environments, and interactive media), inspired by MONOLOVE’s storyline and by utilizing sensory technologies like motion capture, wearables, and live coding. To do so we worked in the following way: Initially we studied the current literature and filmography, identifying how a character’s personality is currently expressed in various digital media. Afterwards, we shaped the Wheel Theoretical Model that is presented in detail in Section 3.1 and was used as a common language along the whole project. Afterwards, we conducted interviews (presented in Section 3.2) with four experts on the four digital media.\nPrior to the development of the four media prototypes by our team, an important step was to determine how personality would be assigned to the digital characters of each, and of course, how that personality would be measured. A creative team behind each demo, consisting of various expertise like game developers, dancers, wearable specialists, live coders, performers, designers, and animators, decided the elements of the Wheel Model that would be utilized for each media and also the storyline and the personality they would like to give to each character. Drawing inspiration on the theoretical frameworks of personality (personality models) presented earlier in this section, the teams used a custom personality trait model which is presented in detail in Section 3.5.3. Afterwards, the four creative teams prototyped the four demos.\nThe next stage included the evaluation of each demo. The purpose of the evaluation was to test whether the intention of the creative teams in terms of the character’s personality was communicated to the audience, or in other words, if the audience perceived the same personality as the one described by the creative team. To proceed with such an evaluation, we invited 14 users that were asked to watch or interact with each of the prototypes, followed by interviews and questionnaires. The results of this study are presented in Section 4.\nThe evaluation followed a mixed-method approach. Questionnaires provided quantitative measures of perceived character personalities while also capturing qualitative insights regarding which design elements influenced participants’ judgments. Semi-structured interviews offered deeper qualitative exploration, allowing participants to articulate how specific expressive elements contributed to personality perception. The primary goal was to assess whether participants perceived the intended personality traits in each prototype and which expressive elements, as outlined in the Wheel Model, were most influential across different media.\nThe evaluation procedure was conducted across three separate sessions, each lasting approximately 60 min and involving a subset of participants, to accommodate participant availability and ensure a comfortable environment for interaction and discussion. This setup also facilitated detailed observation and manageable data collection.\nEach session consisted of the following steps:Step 1: Demonstration Phase\nStep 1: Demonstration Phase\nParticipants experienced all four prototypes in the same fixed order within each session. Each prototype lasted 1–10 min.\nStep 2: Questionnaire Phase\nAfter each prototype, participants completed a short questionnaire (approx. 10 min) that assessed perceived personality traits using a custom trait list, derived from related models of personality, as well as adjectives provided by the narrators and creators of the story, capturing nuanced personality expressions unique to the characters. Participants rated each trait on a 0–5 Likert scale (0 = “not at all”, 5 = “very much”). They also indicated which of the Wheel Model elements contributed most to their perception of personality by importance, and could suggest additional elements to enhance personality expression.\nStep 3: Interview Phase\nAfter all prototypes, participants engaged in a semi-structured interview (approx. 20 min) to discuss their impressions, differences across media, and alignment with the Wheel Model categories. This provided qualitative insights into the reasoning behind personality perception, allowing participants to elaborate on subtle design cues and expressive choices that influenced their judgments.\nThe purpose of developing a custom trait list was to capture a set of qualities that the creators intended to express consistently across the four media prototypes—animation, games, interactive performance with wearables, and interactive performance with live coding. These traits served a dual role: first, as design anchors that guided how personality would be embodied within each medium, and second, as evaluation criteria in the questionnaires, where participants were asked to recognize and assess whether the intended traits were successfully conveyed by the characters.\nA single framework such as the Big Five (OCEAN) [33] was not sufficient for our purposes. First, established frameworks like the Big Five are expressed in abstract psychological terms that do not always map directly to narrative design contexts. For example, “Conscientiousness” or “Openness” may be meaningful to psychologists, but are not readily interpretable by participants evaluating a fictional character’s behavior. Second, traits had to be narratively resonant, adaptable across expressive modalities, and intuitively understandable to non-experts. Thus, instead of applying a single model, we conducted a filtering process that combined the following:Theory-grounding traits in validated psychological and expressive frameworks.Creative insight-aligning traits with the story world of MONOLOVE (themes of vulnerability, identity, and transformation).Practical design relevance-ensuring traits could be embodied through movement, sound, and interaction across diverse media.\nTheory-grounding traits in validated psychological and expressive frameworks.\nCreative insight-aligning traits with the story world of MONOLOVE (themes of vulnerability, identity, and transformation).\nPractical design relevance-ensuring traits could be embodied through movement, sound, and interaction across diverse media.\nThis integrative approach led us to distill theoretical complexity into eight accessible, narratively anchored traits: Independent, Decisive, Self-confident, Strong, Sensitive, Weak, Fearful, and Aggressive.\nTo clarify how this list was derived, we next outline how different models contributed complementary perspectives.\nThe Big Five, or OCEAN model [33], describes personality in terms of five broad dimensions: Openness, Conscientiousness, Extraversion, Agreeableness, and Neuroticism. It is widely considered the most empirically supported trait framework and has been applied in digital character design to modulate behaviors such as speech, gesture, or responsiveness. In relation to our list, several traits map directly onto these dimensions. Independent and Decisive relate to Conscientiousness and Extraversion, representing autonomy, discipline, and assertive decision-making. Self-confident corresponds to low Neuroticism (emotional stability), while Strong reflects high Extraversion combined with emotional stability, embodied in resilience and dominance. On the other hand, Sensitive corresponds to higher Neuroticism and aspects of Agreeableness, reflecting vulnerability and empathy. Fearful links strongly to high Neuroticism, while Weak resonates with low Extraversion and Conscientiousness. Finally, Aggressive aligns with low Agreeableness, characterized by dominance and hostility. Thus, the Big Five provided a scientifically robust foundation for our custom list, though its broad dimensionality required refinement into more specific, narratively usable traits.\nThe MBTI [34] expands Jungian psychological types into 16 personality categories based on four dichotomies: Extraversion–Introversion, Sensing–Intuition, Thinking–Feeling, and Judging–Perceiving. Although criticized for its binary structure and lack of reliability [35], MBTI has proven narratively powerful by offering intuitive archetypes useful for storytelling. This archetypal clarity influenced our trait list. The Commander (ENTJ), characterized by decisiveness, confidence, and assertiveness, directly inspired traits such as Decisive and Strong. In contrast, the Mediator (INFP), defined by empathy, sensitivity, and introspection, informed traits such as Sensitive and Fearful. In this way, MBTI helped us frame oppositional contrasts central to MONOLOVE’s narrative (e.g., decisiveness vs. fear, strength vs. weakness). While MBTI’s scientific shortcomings meant it could not serve as the primary foundation, its role in inspiring archetypal contrasts was crucial in shaping our custom list.\nThe OCC model [36] classifies 22 emotions into categories linked to events (goal relevance), agents (moral/social evaluation), and objects (intrinsic preferences). It has been foundational in affective computing, providing a rule-based framework for generating consistent emotional responses. For our list, OCC informed traits that derive from appraisals of threat, vulnerability, and moral evaluation. Fearful maps directly onto event-based appraisals of threat or anticipated harm, while Sensitive corresponds to appraisals of others’ well-being and intrinsic preferences, emphasizing empathy and moral concern. Aggressive reflects agent-based evaluations of hostility or antagonism. Thus, OCC enriched our list by grounding traits in the “why” of emotions, connecting character behavior to appraisal-driven motivations.\nThe Realact model [37] integrates personality traits with emotion regulation in a hybrid framework that combines a continuous affective state manager with an event-based behavioral scheduler. It shows how traits such as Extraversion and Emotional Stability modulate expressive behaviors like posture, gaze, and gesture. For our list, Realact reinforced distinctions between traits associated with consistent, stable expression (e.g., Self-confident, Strong) and traits tied to emotional instability or over-modulation (e.g., Fearful, Aggressive). Realact’s emphasis on behavioral regulation highlighted how Weak could be expressed through subdued, inhibited behaviors, while Aggressive emerges through over-modulated, dominant actions.\nThe Communication Styles Inventory [38] identifies six communication styles: Expressiveness, Preciseness, Verbal Aggressiveness, Questioningness, Emotionality, and Impression Manipulativeness. It explains how personality and emotion manifest in speech and interaction. In our list, Aggressive links closely with Verbal Aggressiveness, while Sensitive reflects Emotionality, capturing vulnerability and affect-laden interaction. Decisive overlaps with Preciseness, emphasizing clarity and determination in communication. CSI thus provided a bridge between dispositional traits and linguistic/interactional expression in our framework.\nLaban Movement Analysis [39] describes movement through four dimensions: Body, Effort, Shape, and Space. Within Effort, qualities such as bound vs. free flow or strong vs. light weight convey psychological and emotional states. This model was critical for traits expressed through embodiment. Strong corresponds to movements with strong weight and expansive space, while Weak is reflected in light, bound, and constrained movements. Fearful can be expressed through bound, hesitant movement, whereas Self-confident appears in free, expansive gestures. LMA therefore enriched our trait list by ensuring that each quality could be consistently embodied in physical performance, particularly in animation and interactive performance contexts.\nIn Table 6, we summarize the relationship between our custom traits and the theoretical models reviewed. Each row presents one of the eight traits—Independent, Decisive, Self-confident, Strong, Sensitive, Weak, Fearful, and Aggressive—alongside the models that informed it and its core interpretation, which was ultimately defined by the creative team to align with the narrative themes and expressive goals of the project.\n\n\n### 3.5.1. Evaluation Methodology\nThe next stage included the evaluation of each demo. The purpose of the evaluation was to test whether the intention of the creative teams in terms of the character’s personality was communicated to the audience, or in other words, if the audience perceived the same personality as the one described by the creative team. To proceed with such an evaluation, we invited 14 users that were asked to watch or interact with each of the prototypes, followed by interviews and questionnaires. The results of this study are presented in Section 4.\n\n\n### 3.5.2. Procedure\nThe evaluation followed a mixed-method approach. Questionnaires provided quantitative measures of perceived character personalities while also capturing qualitative insights regarding which design elements influenced participants’ judgments. Semi-structured interviews offered deeper qualitative exploration, allowing participants to articulate how specific expressive elements contributed to personality perception. The primary goal was to assess whether participants perceived the intended personality traits in each prototype and which expressive elements, as outlined in the Wheel Model, were most influential across different media.\nThe evaluation procedure was conducted across three separate sessions, each lasting approximately 60 min and involving a subset of participants, to accommodate participant availability and ensure a comfortable environment for interaction and discussion. This setup also facilitated detailed observation and manageable data collection.\nEach session consisted of the following steps:Step 1: Demonstration Phase\nStep 1: Demonstration Phase\nParticipants experienced all four prototypes in the same fixed order within each session. Each prototype lasted 1–10 min.\nStep 2: Questionnaire Phase\nAfter each prototype, participants completed a short questionnaire (approx. 10 min) that assessed perceived personality traits using a custom trait list, derived from related models of personality, as well as adjectives provided by the narrators and creators of the story, capturing nuanced personality expressions unique to the characters. Participants rated each trait on a 0–5 Likert scale (0 = “not at all”, 5 = “very much”). They also indicated which of the Wheel Model elements contributed most to their perception of personality by importance, and could suggest additional elements to enhance personality expression.\nStep 3: Interview Phase\nAfter all prototypes, participants engaged in a semi-structured interview (approx. 20 min) to discuss their impressions, differences across media, and alignment with the Wheel Model categories. This provided qualitative insights into the reasoning behind personality perception, allowing participants to elaborate on subtle design cues and expressive choices that influenced their judgments.\n\n\n### 3.5.3. Custom Traits List\nThe purpose of developing a custom trait list was to capture a set of qualities that the creators intended to express consistently across the four media prototypes—animation, games, interactive performance with wearables, and interactive performance with live coding. These traits served a dual role: first, as design anchors that guided how personality would be embodied within each medium, and second, as evaluation criteria in the questionnaires, where participants were asked to recognize and assess whether the intended traits were successfully conveyed by the characters.\nA single framework such as the Big Five (OCEAN) [33] was not sufficient for our purposes. First, established frameworks like the Big Five are expressed in abstract psychological terms that do not always map directly to narrative design contexts. For example, “Conscientiousness” or “Openness” may be meaningful to psychologists, but are not readily interpretable by participants evaluating a fictional character’s behavior. Second, traits had to be narratively resonant, adaptable across expressive modalities, and intuitively understandable to non-experts. Thus, instead of applying a single model, we conducted a filtering process that combined the following:Theory-grounding traits in validated psychological and expressive frameworks.Creative insight-aligning traits with the story world of MONOLOVE (themes of vulnerability, identity, and transformation).Practical design relevance-ensuring traits could be embodied through movement, sound, and interaction across diverse media.\nTheory-grounding traits in validated psychological and expressive frameworks.\nCreative insight-aligning traits with the story world of MONOLOVE (themes of vulnerability, identity, and transformation).\nPractical design relevance-ensuring traits could be embodied through movement, sound, and interaction across diverse media.\nThis integrative approach led us to distill theoretical complexity into eight accessible, narratively anchored traits: Independent, Decisive, Self-confident, Strong, Sensitive, Weak, Fearful, and Aggressive.\nTo clarify how this list was derived, we next outline how different models contributed complementary perspectives.\nThe Big Five, or OCEAN model [33], describes personality in terms of five broad dimensions: Openness, Conscientiousness, Extraversion, Agreeableness, and Neuroticism. It is widely considered the most empirically supported trait framework and has been applied in digital character design to modulate behaviors such as speech, gesture, or responsiveness. In relation to our list, several traits map directly onto these dimensions. Independent and Decisive relate to Conscientiousness and Extraversion, representing autonomy, discipline, and assertive decision-making. Self-confident corresponds to low Neuroticism (emotional stability), while Strong reflects high Extraversion combined with emotional stability, embodied in resilience and dominance. On the other hand, Sensitive corresponds to higher Neuroticism and aspects of Agreeableness, reflecting vulnerability and empathy. Fearful links strongly to high Neuroticism, while Weak resonates with low Extraversion and Conscientiousness. Finally, Aggressive aligns with low Agreeableness, characterized by dominance and hostility. Thus, the Big Five provided a scientifically robust foundation for our custom list, though its broad dimensionality required refinement into more specific, narratively usable traits.\nThe MBTI [34] expands Jungian psychological types into 16 personality categories based on four dichotomies: Extraversion–Introversion, Sensing–Intuition, Thinking–Feeling, and Judging–Perceiving. Although criticized for its binary structure and lack of reliability [35], MBTI has proven narratively powerful by offering intuitive archetypes useful for storytelling. This archetypal clarity influenced our trait list. The Commander (ENTJ), characterized by decisiveness, confidence, and assertiveness, directly inspired traits such as Decisive and Strong. In contrast, the Mediator (INFP), defined by empathy, sensitivity, and introspection, informed traits such as Sensitive and Fearful. In this way, MBTI helped us frame oppositional contrasts central to MONOLOVE’s narrative (e.g., decisiveness vs. fear, strength vs. weakness). While MBTI’s scientific shortcomings meant it could not serve as the primary foundation, its role in inspiring archetypal contrasts was crucial in shaping our custom list.\nThe OCC model [36] classifies 22 emotions into categories linked to events (goal relevance), agents (moral/social evaluation), and objects (intrinsic preferences). It has been foundational in affective computing, providing a rule-based framework for generating consistent emotional responses. For our list, OCC informed traits that derive from appraisals of threat, vulnerability, and moral evaluation. Fearful maps directly onto event-based appraisals of threat or anticipated harm, while Sensitive corresponds to appraisals of others’ well-being and intrinsic preferences, emphasizing empathy and moral concern. Aggressive reflects agent-based evaluations of hostility or antagonism. Thus, OCC enriched our list by grounding traits in the “why” of emotions, connecting character behavior to appraisal-driven motivations.\nThe Realact model [37] integrates personality traits with emotion regulation in a hybrid framework that combines a continuous affective state manager with an event-based behavioral scheduler. It shows how traits such as Extraversion and Emotional Stability modulate expressive behaviors like posture, gaze, and gesture. For our list, Realact reinforced distinctions between traits associated with consistent, stable expression (e.g., Self-confident, Strong) and traits tied to emotional instability or over-modulation (e.g., Fearful, Aggressive). Realact’s emphasis on behavioral regulation highlighted how Weak could be expressed through subdued, inhibited behaviors, while Aggressive emerges through over-modulated, dominant actions.\nThe Communication Styles Inventory [38] identifies six communication styles: Expressiveness, Preciseness, Verbal Aggressiveness, Questioningness, Emotionality, and Impression Manipulativeness. It explains how personality and emotion manifest in speech and interaction. In our list, Aggressive links closely with Verbal Aggressiveness, while Sensitive reflects Emotionality, capturing vulnerability and affect-laden interaction. Decisive overlaps with Preciseness, emphasizing clarity and determination in communication. CSI thus provided a bridge between dispositional traits and linguistic/interactional expression in our framework.\nLaban Movement Analysis [39] describes movement through four dimensions: Body, Effort, Shape, and Space. Within Effort, qualities such as bound vs. free flow or strong vs. light weight convey psychological and emotional states. This model was critical for traits expressed through embodiment. Strong corresponds to movements with strong weight and expansive space, while Weak is reflected in light, bound, and constrained movements. Fearful can be expressed through bound, hesitant movement, whereas Self-confident appears in free, expansive gestures. LMA therefore enriched our trait list by ensuring that each quality could be consistently embodied in physical performance, particularly in animation and interactive performance contexts.\nIn Table 6, we summarize the relationship between our custom traits and the theoretical models reviewed. Each row presents one of the eight traits—Independent, Decisive, Self-confident, Strong, Sensitive, Weak, Fearful, and Aggressive—alongside the models that informed it and its core interpretation, which was ultimately defined by the creative team to align with the narrative themes and expressive goals of the project.\n\n\n### 4. Results\nThis section presents the findings of the evaluation of the four demos based on data collected from multiple sources. The results are organized into three parts. First, the demographic data of the participants are described in Section 4.1. This is followed by the analysis and recording of the results of the questionnaires administered in three demonstration sessions, which provide information on the participants’ perception of the digital characters’ personalities (Section 4.2). Finally, the results of the interviews conducted with the participants are reported, offering a more in-depth understanding of their experience and opinion on each of the four demos (Section 4.3).\nThe evaluation involved 14 participants aged between 27 and 42 years, recruited from university communities, research centers, and creative networks, with no prior involvement in the prototypes. All participants reported moderate familiarity with at least one IMAGINE medium, but had not previously encountered the MONOLOVE storyline. The group represented a diverse range of professional backgrounds, including game design and development, industrial design, digital design, music composition, acting, choreography, directing, law, commerce, and digital storytelling.\nThis diversity was intentional, as it provided a broader spectrum of interpretive perspectives, ensuring that the evaluation captured how personality expression is perceived by audiences with different creative, analytical, and narrative sensibilities. Participants with technical or design experience could assess the intentional use of expressive elements, while those from artistic or narrative-oriented fields offered insights into emotional and symbolic interpretations. This interdisciplinary mix aligns with the nature of IMAGINE media, which integrates aesthetics, interaction, and narrative design.\nThe selection criteria included an interest in digital media and interactive experiences and no prior exposure to the prototypes to avoid bias. All participants within each session experienced the four prototypes in the same fixed order for consistency across the group.\nBelow, we present some of the key findings from the questionnaires. To analyze whether the audience identified the Wheel elements and perceived the personality traits, we focused only on responses rated 4 or 5 on a Likert scale from 0 to 5, as these indicate a strong level of agreement or recognition. In addition to these findings, we also present other noteworthy results\nFor Dali’s centaur, who was described as sensitive, fearful and weak by the designer, out of 14 participants only 35.7% described him as Sensitive, 42.9% as Weak, and 57.1% as Fearful.\nMoreover, 35.7% rated the male character as Independent, 28.6% as Decisive, 28.6% as Confident, 14.3% as Strong, and 0% as Aggressive.\nThe female character was described as independent, decisive, confident, and strong. Out of 14 participants, 50.0% rated the female character as Independent, 28.6% as Decisive, 28.6% as Confident, and 50.0% as strong. The other traits were rated as follows: 42.9% as Sensitive, 21.4% as Weak, 7.1% as Fearful, and 0% as Aggressive.\nFor the bird character, 92.9% rated the birds as Independent, 85.7% as Decisive, 28.6% as Confident, 71.4% as Strong, 21.4% as Sensitive, 14.3% as Weak, 14.3% as Fearful, and 42.9% as Aggressive which was the intended trait (Figure 7).\nThe elements of the Wheel Model utilized for the animation demo according to the participants were body movement (100%), character–character interaction (85.7%), body characteristics (71.4%), and face characteristics (71.4%). However, scene objects scored below average, (42.9%), while lightning and shading were not considered to contribute much (35.7%).\nThe above answers were also confirmed by the answers to the question “Which of the four basic categories of the wheel do you think is the most important for Animation media”, where Movement scored 92.9%, followed by Interaction (85.7%), Structure (71.4%), and lastly Environment (21.4%).\nSome interesting responses to the open question “Would you use another element/tool that has not been utilized?” were as follows: “The character’s gaze”, “the focus/direction of the camera”, “some background story about the characters”, “Music”, and “conversation between characters”.\nIn the game media, the male centaur was considered to be independent, decisive, and confident by the designer. Indeed, the audience thought this character to be Independent (64.3%), Decisive (85.7%), Confident (78.6%), Strong (50.0%), Sensitive (35.7%), Weak (7.1%), Fearful (7.1%), and Aggressive 0%, which confirms the designer’s intentions.\nThe female character was designed as sensitive, fearful, and weak. The audience thought of her as Independent (0.0%), Decisive (0.0%), Confident (7.1%), Strong (0.0%), Sensitive (57.1%), Weak (42.9%), Fearful (64.3%), and Aggressive (0.0%) which generally aligns with the designer’s intention if we exclude Weak which scored slightly below average.\nThe birds’ intended confidence was confirmed by the audience with a score of 92.9%. The other characteristics were Independent (57.1%), Decisive (92.9%), Confident (92.9%), Strong (71.4%), Sensitive (0.0%), Weak (0.0%), Fearful (0.0%), and Aggressive (71.4%) (Figure 8).\nThe elements of the Wheel utilized for the Game demo according to the participants were body movement (85.7%), character–character interaction (78.6%), body characteristics (78.6%), and face characteristics (50%). Also, scene objects scored 50%, while lightning and shading scored 64.3% and character–environment interaction scored 64.3%. So, all Wheel Model elements used by the designer were successfully recognized by the audience.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for Game media” yielded the following responses: Interaction (85.7%), Movement (78.6%), Structure (57.1%), and Environment (50%).\nFinally, the responses to the open question “Would you use another element/tool that has not been utilized?” included the following: “the focus/direction of the camera”, “storytelling”, “Music”, and “conversation between characters”.\nAs for the two birds, out of 14 participants, 57.1% described them as Independent, Confident, and Strong, and 50.0% as Decisive.\nOn the other hand, only 21.4% responded with Aggressive, 14.3% considered them Sensitive, and no one rated them as Weak or Fearful (0%) (Figure 9).\nThe elements of the Wheel utilized for the interactive network environment demo according to the participants were associated with the expression of the birds’ personality and were body movement (100%), body characteristics (57.1%), face characteristics (28.6%), and character speech and sounds (42.9%). Also, environmental sounds and music (64.3%) captured a high percentage of audience perception.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for interactive network environment media” were Movement (100%), Environment and Structure (42.9%), and Interaction (7.1%).\nFinally, the responses to the open question “Would you use another element/tool that has not been utilized?” included the following: “360-degree field of view, interaction in a virtual realistic environment, less realistic rendering of facial and body characteristics”.\nAs for the male centaur—Dali character, out of 14 participants, 64.3% described him as Independent and Sensitive, 50.0% as Decisive, and 42.9% as Self-confident. Also, 21.4% of participants rated this character as Strong, Weak, and Fearful, which means that the character confused them, and no one thought he was Aggressive (0%) (Figure 10).\nThe elements that contributed to the expression of the male centaur’s personality according to the participants were body movement (92.9%), character–character interaction (78.6%), environmental sounds and music (71.4%), and scene objects (57.1%).\nAlso, body characteristics (64.3%), face characteristics (42.9%), speech and sounds (42.9%), appearance (42.9%), and lighting and shading (50%) were recognized.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for Interactive Network Environment media” were Movement (92.9%), Environment (64.3), Structure (57.1%), and Interaction (42.9%).\nFor the question “Do you consider the performers’ characters within the performance?”, the participants answered ‘YES’ (78.6%) and ‘NO’ (21.4%).\nThe participants considered the role of the performers in the interactive performance to be important. More specifically one participant said that he really liked the, consciously- and unconsciously made, comparison on how he perceives what the performer is doing and what they see on the screen. Another said that they were very natural in the space, and some others said that they gave life and emotion to the digital character since they created the sound and movement.\nOne participant felt that the digital character was one with the performer, while another said that the character’s body movement was unique and attached to the performers.\nIn addition, one participant considered that there was a direct connection between the characters to the work through movement, heartbeats, and other means of connection and that the movements had an immediate response. Someone else separated the performers and observed that one performer identified two of the elements she assessed as most important, movement and interaction with the environment, while for the second performer he was not sure if she fully understood that she was participating beyond the movement of the river waters.\nAnother agreed that they directed the sounds, so this makes them part of the environment, and someone else added that their movements were part of the final result (through the avatar) and strongly affect the viewer’s experience.\nFinally, one participant considered that although the performers perform in a live-action format, the final character is the union of the avatar with the performer’s movement and interpretation and not themselves on their own.\nWhen asked if they would use any other element (visual, audio, interactive, etc.) to convey the personality of the characters that has not already been used in the performance, half of the participants answered that they did not miss anything while the other half said there would be some things that could enhance the performance.\nOne participant said that he would like to see the triptych “motive–history–personality” while some others said that it would help to show the character’s facial characteristics more.\nOne participant missed the character’s speech while another missed the lighting. On the other hand, one participant would like a less realistic depiction of the body type/face while another would like better connection and communication of selected media, e.g., the interaction of movement–sound–image.\nWhen asked what changes they observed and to which elements of the digital world (e.g., environment, sound, image, movement) they believed they corresponded, most perceived changes in the landscape, weather, and natural elements in the virtual environment. One participant said that he observed the water of the lake overflowing and the flowers waving in the wind and believed that the movement of the flowers came from the performer’s breathing while that of the lake from the bracelet, while some others agreed that there were real changes in the buoyancy of the lake water, the appearance of some graphics (flowers), and a change in the sounds of the environment (wind intensity) and ground movement.\nSomeone else observed changes in the water, the lake, the grass, and plants on the ground in the light, but considered that they did not happen organically, as if someone was giving orders and considered that it was not a natural consequence of what was happening in the performance. Many said that they noticed changes in the sound and image and that these changes contributed significantly to the character’s personality and the story. Finally, one participant noted that there was a change in emotions which enhanced the narrative.\nThe biometrics related to the changes in the digital world, according to the 14 participants, were movement (100%) and cardiac activity (64.3%), which were recognized as the most significant. Additionally, sweating (35.7%), breathing (35.7%), and body temperature (28.6%) were also associated with the changes, though less frequently.\nWhen asked how the changes perceived in the previous question were related to the character’s experience, the participants who perceived the changes considered them to be directly related. More specifically, one participant said that they influenced the psychology of the digital character and how positively or negatively he saw the events during the performance, while another noted that there was a strong interaction. One participant emphasized that the result seemed very alive and there was a connection, while another said that at the point where explosive movement was created (tension in the environment—the water rose, and tension—the sound of the wind) he felt the character’s “pain” more intensely, specifically he said “The performer’s movement in space as the camera turned, emphasized the beautiful environment and the pained character.” A participant observed that the performer’s movement contributed to the change in water level, her heart activity and breathing to the ambient sounds (wind sound), while her sweating contributed to the appearance of the graphics.\nThe elements that provided insights into the character’s personality according to the participants were performer’s movement (performer 1) (92.9%) and voice narration (71.4%), which were recognized as the strongest indicators.\nIn addition, biometric changes were linked to environment–sound (performer 2) (50%), camera movement, and direction (operator) (50%), and biometric changes linked to visual elements (performer 2) (35.7%) were also noted as contributing to the understanding of the character.\nThe evaluation results from the four demos were quantitatively analyzed using two complementary statistical approaches.\nThe first examined the consistency rate, defined as the percentage of personality traits intended by the design team that were correctly identified by at least 50% of the participants (N = 14).\nThe second analysis applied nonparametric statistical tests (Friedman’s and Wilcoxon’s) to determine whether the level of audience recognition differed significantly across the four evaluated demos (animation, game, interactive network environment, and interactive media performance).\nThe consistency rate results are presented in Figure 11: consistency between design team’s intentions and audience perception. Overall, the participants’ recognition of the intended expressive traits varied substantially across the different media. The game demo achieved the highest agreement with designer intentions (M = 85.7%), followed by the interactive network environment (M = 80.0%) and the interactive media performance (M = 75.0%). The animation demo showed a notably lower consistency (M = 37.5%).\nFigure 11 displays the mean consistency rates across the four demos with standard deviation error bars. The game demo stands out as the most consistent, showing minimal variability across participants, while animation demonstrates a clear decline in recognition success.\nWe used the Friedman test to examine whether audience recognition of intended character personality traits differed across the four media conditions.\nA significant main effect was observed, χ2(3) = 36.09, p < 0.001, indicating that the level of recognition varied substantially by medium. Post hoc Wilcoxon’s signed-rank tests revealed that the animation demo yielded a significantly lower consistency than all other conditions (p < 0.001), while the game demo achieved significantly higher scores than both the interactive network environment (p < 0.001) and interactive media performance (p < 0.001). No significant difference was observed between the interactive network environment and interactive media performance (p = 0.81).\nThese results demonstrate that interactivity and embodied engagement strongly enhance the communication and recognition of expressive personality cues in digital characters.\nFigure 12 further illustrates the distribution of participant responses using boxplots. Each box represents the interquartile range (IQR) and median values, while individual dots indicate participant-level scores. The animation condition shows both the lowest median and limited spread, confirming its weaker communicative performance. Conversely, game presents a higher and more stable median consistency, reflecting strong alignment between expressive intent and perception. Interactive network environment and interactive media performance occupy a middle ground, with slightly greater variability due to their open-ended and embodied nature.\nThe interviews were semi-structured. We followed the same questions for the three groups and, according to the answers, the conversation evolved.\nWhen asked if they perceived any differences in the character of the centaur (man with tall legs) in the animation and the performance, one participant noted that the perception of the character was much clearer in the animation because the facial characteristics and expressions of the characters could be easily seen. The participant also added that the performers were surely expressive during the performance; however motion alone was not sufficient and facial characteristics were needed. This was also confirmed by two more participants, who said that when watching the performance, they paid attention to the moves and kinesiology of the performers and not so much on the digital character on the screen. However, there was one participant that paid attention mostly to the digital character and not to the performers. The shape of the character, with the long thin legs gave a sense of fragility, which was in agreement with the creator’s intention. The term “weak” was assigned to the centaur in the performance media by another participant as well, while in the animation they perceived him as “dynamic”, probably due to the use of the camera and the environment (according to the participant).\nOne participant noted that the performance awoke stronger emotions compared with the animation. Moreover, some participants claimed that in the animation, there was a narration and storyline which helped the perception of the character, while in the performance they missed that. Overall, the majority answered that perceiving the centaur’s (man with tall legs) personality was easier in the animation, because of the narration and the visible facial characteristics and expressions.\nFor the question “How was birds’ characters’ personality perceived throughout the three media, animation, performance and games”, the majority of the participants mentioned that it was hard for them to spot the personality in the birds, although they enjoyed their movement and presence. Two participants stated that they could distinguish the bird’s personality more easily in the animation because it was a single entity and because there was a story. However, two other participants said that the personality of the birds was more intense in the game due to the interaction that the flock had with the character and the plot.\nAn interesting topic brought up by one participant was that animals are associated subconsciously with a certain personality, for example, a tiger is fierce, therefore, we might be biased when seeing them and it is harder to identify a different personality\nSounds existed in the live coding and performance formats. As for the live coding, it was clearly hard for the majority of the participants to identify the personality of the birds. Another participant said that the sounds seemed too artificial and that such experimental works need further investigation and the fact that the live coding demo lacked narration or a storyline made things harder. However, sound was appreciated, in general, but as a complementary element to the existing narration. Some participants noticed specifically the differences in sound generation through the wings and through the core, which was also the intention of the creators; each body part would affect the sound in a different manner. However, although most of the participants found the sounds complementary, interesting, and noticed the special connection between movements and sounds, it seems that more elements need to be involved to allow sound to act as a personality indicator.\nTwo participants brought up the very interesting topic of player’s/user’s personality in terms of the perception of the digital character’s personality. “You might be doing everything right in technical terms but the viewer might perceive a different trait than you (the creator) had in mind!” says one participant, while a third participant continues “ The first time I played the game I was very confused and this affected my perception of the centaur, I thought he was weak and afraid, while when I played the game again and felt confident I thought the character was more dynamic”.\nAnother interesting issue mentioned by six participants is the inability to simultaneously follow all elements of the performance. Since the performance included voice narration, physical performers moving, one digital character, changes in the environment, and ambient sounds, it seems that it was overwhelming for the participants to follow all these elements. Most stated that they completely missed the narration because they were absorbed in the performer’s movement or the scene.\n\n\n### 4.1. Participants\nThe evaluation involved 14 participants aged between 27 and 42 years, recruited from university communities, research centers, and creative networks, with no prior involvement in the prototypes. All participants reported moderate familiarity with at least one IMAGINE medium, but had not previously encountered the MONOLOVE storyline. The group represented a diverse range of professional backgrounds, including game design and development, industrial design, digital design, music composition, acting, choreography, directing, law, commerce, and digital storytelling.\nThis diversity was intentional, as it provided a broader spectrum of interpretive perspectives, ensuring that the evaluation captured how personality expression is perceived by audiences with different creative, analytical, and narrative sensibilities. Participants with technical or design experience could assess the intentional use of expressive elements, while those from artistic or narrative-oriented fields offered insights into emotional and symbolic interpretations. This interdisciplinary mix aligns with the nature of IMAGINE media, which integrates aesthetics, interaction, and narrative design.\nThe selection criteria included an interest in digital media and interactive experiences and no prior exposure to the prototypes to avoid bias. All participants within each session experienced the four prototypes in the same fixed order for consistency across the group.\n\n\n### 4.2. Questionnaires\nBelow, we present some of the key findings from the questionnaires. To analyze whether the audience identified the Wheel elements and perceived the personality traits, we focused only on responses rated 4 or 5 on a Likert scale from 0 to 5, as these indicate a strong level of agreement or recognition. In addition to these findings, we also present other noteworthy results\nFor Dali’s centaur, who was described as sensitive, fearful and weak by the designer, out of 14 participants only 35.7% described him as Sensitive, 42.9% as Weak, and 57.1% as Fearful.\nMoreover, 35.7% rated the male character as Independent, 28.6% as Decisive, 28.6% as Confident, 14.3% as Strong, and 0% as Aggressive.\nThe female character was described as independent, decisive, confident, and strong. Out of 14 participants, 50.0% rated the female character as Independent, 28.6% as Decisive, 28.6% as Confident, and 50.0% as strong. The other traits were rated as follows: 42.9% as Sensitive, 21.4% as Weak, 7.1% as Fearful, and 0% as Aggressive.\nFor the bird character, 92.9% rated the birds as Independent, 85.7% as Decisive, 28.6% as Confident, 71.4% as Strong, 21.4% as Sensitive, 14.3% as Weak, 14.3% as Fearful, and 42.9% as Aggressive which was the intended trait (Figure 7).\nThe elements of the Wheel Model utilized for the animation demo according to the participants were body movement (100%), character–character interaction (85.7%), body characteristics (71.4%), and face characteristics (71.4%). However, scene objects scored below average, (42.9%), while lightning and shading were not considered to contribute much (35.7%).\nThe above answers were also confirmed by the answers to the question “Which of the four basic categories of the wheel do you think is the most important for Animation media”, where Movement scored 92.9%, followed by Interaction (85.7%), Structure (71.4%), and lastly Environment (21.4%).\nSome interesting responses to the open question “Would you use another element/tool that has not been utilized?” were as follows: “The character’s gaze”, “the focus/direction of the camera”, “some background story about the characters”, “Music”, and “conversation between characters”.\nIn the game media, the male centaur was considered to be independent, decisive, and confident by the designer. Indeed, the audience thought this character to be Independent (64.3%), Decisive (85.7%), Confident (78.6%), Strong (50.0%), Sensitive (35.7%), Weak (7.1%), Fearful (7.1%), and Aggressive 0%, which confirms the designer’s intentions.\nThe female character was designed as sensitive, fearful, and weak. The audience thought of her as Independent (0.0%), Decisive (0.0%), Confident (7.1%), Strong (0.0%), Sensitive (57.1%), Weak (42.9%), Fearful (64.3%), and Aggressive (0.0%) which generally aligns with the designer’s intention if we exclude Weak which scored slightly below average.\nThe birds’ intended confidence was confirmed by the audience with a score of 92.9%. The other characteristics were Independent (57.1%), Decisive (92.9%), Confident (92.9%), Strong (71.4%), Sensitive (0.0%), Weak (0.0%), Fearful (0.0%), and Aggressive (71.4%) (Figure 8).\nThe elements of the Wheel utilized for the Game demo according to the participants were body movement (85.7%), character–character interaction (78.6%), body characteristics (78.6%), and face characteristics (50%). Also, scene objects scored 50%, while lightning and shading scored 64.3% and character–environment interaction scored 64.3%. So, all Wheel Model elements used by the designer were successfully recognized by the audience.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for Game media” yielded the following responses: Interaction (85.7%), Movement (78.6%), Structure (57.1%), and Environment (50%).\nFinally, the responses to the open question “Would you use another element/tool that has not been utilized?” included the following: “the focus/direction of the camera”, “storytelling”, “Music”, and “conversation between characters”.\nAs for the two birds, out of 14 participants, 57.1% described them as Independent, Confident, and Strong, and 50.0% as Decisive.\nOn the other hand, only 21.4% responded with Aggressive, 14.3% considered them Sensitive, and no one rated them as Weak or Fearful (0%) (Figure 9).\nThe elements of the Wheel utilized for the interactive network environment demo according to the participants were associated with the expression of the birds’ personality and were body movement (100%), body characteristics (57.1%), face characteristics (28.6%), and character speech and sounds (42.9%). Also, environmental sounds and music (64.3%) captured a high percentage of audience perception.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for interactive network environment media” were Movement (100%), Environment and Structure (42.9%), and Interaction (7.1%).\nFinally, the responses to the open question “Would you use another element/tool that has not been utilized?” included the following: “360-degree field of view, interaction in a virtual realistic environment, less realistic rendering of facial and body characteristics”.\nAs for the male centaur—Dali character, out of 14 participants, 64.3% described him as Independent and Sensitive, 50.0% as Decisive, and 42.9% as Self-confident. Also, 21.4% of participants rated this character as Strong, Weak, and Fearful, which means that the character confused them, and no one thought he was Aggressive (0%) (Figure 10).\nThe elements that contributed to the expression of the male centaur’s personality according to the participants were body movement (92.9%), character–character interaction (78.6%), environmental sounds and music (71.4%), and scene objects (57.1%).\nAlso, body characteristics (64.3%), face characteristics (42.9%), speech and sounds (42.9%), appearance (42.9%), and lighting and shading (50%) were recognized.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for Interactive Network Environment media” were Movement (92.9%), Environment (64.3), Structure (57.1%), and Interaction (42.9%).\nFor the question “Do you consider the performers’ characters within the performance?”, the participants answered ‘YES’ (78.6%) and ‘NO’ (21.4%).\nThe participants considered the role of the performers in the interactive performance to be important. More specifically one participant said that he really liked the, consciously- and unconsciously made, comparison on how he perceives what the performer is doing and what they see on the screen. Another said that they were very natural in the space, and some others said that they gave life and emotion to the digital character since they created the sound and movement.\nOne participant felt that the digital character was one with the performer, while another said that the character’s body movement was unique and attached to the performers.\nIn addition, one participant considered that there was a direct connection between the characters to the work through movement, heartbeats, and other means of connection and that the movements had an immediate response. Someone else separated the performers and observed that one performer identified two of the elements she assessed as most important, movement and interaction with the environment, while for the second performer he was not sure if she fully understood that she was participating beyond the movement of the river waters.\nAnother agreed that they directed the sounds, so this makes them part of the environment, and someone else added that their movements were part of the final result (through the avatar) and strongly affect the viewer’s experience.\nFinally, one participant considered that although the performers perform in a live-action format, the final character is the union of the avatar with the performer’s movement and interpretation and not themselves on their own.\nWhen asked if they would use any other element (visual, audio, interactive, etc.) to convey the personality of the characters that has not already been used in the performance, half of the participants answered that they did not miss anything while the other half said there would be some things that could enhance the performance.\nOne participant said that he would like to see the triptych “motive–history–personality” while some others said that it would help to show the character’s facial characteristics more.\nOne participant missed the character’s speech while another missed the lighting. On the other hand, one participant would like a less realistic depiction of the body type/face while another would like better connection and communication of selected media, e.g., the interaction of movement–sound–image.\nWhen asked what changes they observed and to which elements of the digital world (e.g., environment, sound, image, movement) they believed they corresponded, most perceived changes in the landscape, weather, and natural elements in the virtual environment. One participant said that he observed the water of the lake overflowing and the flowers waving in the wind and believed that the movement of the flowers came from the performer’s breathing while that of the lake from the bracelet, while some others agreed that there were real changes in the buoyancy of the lake water, the appearance of some graphics (flowers), and a change in the sounds of the environment (wind intensity) and ground movement.\nSomeone else observed changes in the water, the lake, the grass, and plants on the ground in the light, but considered that they did not happen organically, as if someone was giving orders and considered that it was not a natural consequence of what was happening in the performance. Many said that they noticed changes in the sound and image and that these changes contributed significantly to the character’s personality and the story. Finally, one participant noted that there was a change in emotions which enhanced the narrative.\nThe biometrics related to the changes in the digital world, according to the 14 participants, were movement (100%) and cardiac activity (64.3%), which were recognized as the most significant. Additionally, sweating (35.7%), breathing (35.7%), and body temperature (28.6%) were also associated with the changes, though less frequently.\nWhen asked how the changes perceived in the previous question were related to the character’s experience, the participants who perceived the changes considered them to be directly related. More specifically, one participant said that they influenced the psychology of the digital character and how positively or negatively he saw the events during the performance, while another noted that there was a strong interaction. One participant emphasized that the result seemed very alive and there was a connection, while another said that at the point where explosive movement was created (tension in the environment—the water rose, and tension—the sound of the wind) he felt the character’s “pain” more intensely, specifically he said “The performer’s movement in space as the camera turned, emphasized the beautiful environment and the pained character.” A participant observed that the performer’s movement contributed to the change in water level, her heart activity and breathing to the ambient sounds (wind sound), while her sweating contributed to the appearance of the graphics.\nThe elements that provided insights into the character’s personality according to the participants were performer’s movement (performer 1) (92.9%) and voice narration (71.4%), which were recognized as the strongest indicators.\nIn addition, biometric changes were linked to environment–sound (performer 2) (50%), camera movement, and direction (operator) (50%), and biometric changes linked to visual elements (performer 2) (35.7%) were also noted as contributing to the understanding of the character.\n\n\n### 4.2.1. Animation\nFor Dali’s centaur, who was described as sensitive, fearful and weak by the designer, out of 14 participants only 35.7% described him as Sensitive, 42.9% as Weak, and 57.1% as Fearful.\nMoreover, 35.7% rated the male character as Independent, 28.6% as Decisive, 28.6% as Confident, 14.3% as Strong, and 0% as Aggressive.\nThe female character was described as independent, decisive, confident, and strong. Out of 14 participants, 50.0% rated the female character as Independent, 28.6% as Decisive, 28.6% as Confident, and 50.0% as strong. The other traits were rated as follows: 42.9% as Sensitive, 21.4% as Weak, 7.1% as Fearful, and 0% as Aggressive.\nFor the bird character, 92.9% rated the birds as Independent, 85.7% as Decisive, 28.6% as Confident, 71.4% as Strong, 21.4% as Sensitive, 14.3% as Weak, 14.3% as Fearful, and 42.9% as Aggressive which was the intended trait (Figure 7).\nThe elements of the Wheel Model utilized for the animation demo according to the participants were body movement (100%), character–character interaction (85.7%), body characteristics (71.4%), and face characteristics (71.4%). However, scene objects scored below average, (42.9%), while lightning and shading were not considered to contribute much (35.7%).\nThe above answers were also confirmed by the answers to the question “Which of the four basic categories of the wheel do you think is the most important for Animation media”, where Movement scored 92.9%, followed by Interaction (85.7%), Structure (71.4%), and lastly Environment (21.4%).\nSome interesting responses to the open question “Would you use another element/tool that has not been utilized?” were as follows: “The character’s gaze”, “the focus/direction of the camera”, “some background story about the characters”, “Music”, and “conversation between characters”.\n\n\n### 4.2.2. Game\nIn the game media, the male centaur was considered to be independent, decisive, and confident by the designer. Indeed, the audience thought this character to be Independent (64.3%), Decisive (85.7%), Confident (78.6%), Strong (50.0%), Sensitive (35.7%), Weak (7.1%), Fearful (7.1%), and Aggressive 0%, which confirms the designer’s intentions.\nThe female character was designed as sensitive, fearful, and weak. The audience thought of her as Independent (0.0%), Decisive (0.0%), Confident (7.1%), Strong (0.0%), Sensitive (57.1%), Weak (42.9%), Fearful (64.3%), and Aggressive (0.0%) which generally aligns with the designer’s intention if we exclude Weak which scored slightly below average.\nThe birds’ intended confidence was confirmed by the audience with a score of 92.9%. The other characteristics were Independent (57.1%), Decisive (92.9%), Confident (92.9%), Strong (71.4%), Sensitive (0.0%), Weak (0.0%), Fearful (0.0%), and Aggressive (71.4%) (Figure 8).\nThe elements of the Wheel utilized for the Game demo according to the participants were body movement (85.7%), character–character interaction (78.6%), body characteristics (78.6%), and face characteristics (50%). Also, scene objects scored 50%, while lightning and shading scored 64.3% and character–environment interaction scored 64.3%. So, all Wheel Model elements used by the designer were successfully recognized by the audience.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for Game media” yielded the following responses: Interaction (85.7%), Movement (78.6%), Structure (57.1%), and Environment (50%).\nFinally, the responses to the open question “Would you use another element/tool that has not been utilized?” included the following: “the focus/direction of the camera”, “storytelling”, “Music”, and “conversation between characters”.\n\n\n### 4.2.3. Interactive Network Environment\nAs for the two birds, out of 14 participants, 57.1% described them as Independent, Confident, and Strong, and 50.0% as Decisive.\nOn the other hand, only 21.4% responded with Aggressive, 14.3% considered them Sensitive, and no one rated them as Weak or Fearful (0%) (Figure 9).\nThe elements of the Wheel utilized for the interactive network environment demo according to the participants were associated with the expression of the birds’ personality and were body movement (100%), body characteristics (57.1%), face characteristics (28.6%), and character speech and sounds (42.9%). Also, environmental sounds and music (64.3%) captured a high percentage of audience perception.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for interactive network environment media” were Movement (100%), Environment and Structure (42.9%), and Interaction (7.1%).\nFinally, the responses to the open question “Would you use another element/tool that has not been utilized?” included the following: “360-degree field of view, interaction in a virtual realistic environment, less realistic rendering of facial and body characteristics”.\n\n\n### 4.2.4. Interactive Media Performance\nAs for the male centaur—Dali character, out of 14 participants, 64.3% described him as Independent and Sensitive, 50.0% as Decisive, and 42.9% as Self-confident. Also, 21.4% of participants rated this character as Strong, Weak, and Fearful, which means that the character confused them, and no one thought he was Aggressive (0%) (Figure 10).\nThe elements that contributed to the expression of the male centaur’s personality according to the participants were body movement (92.9%), character–character interaction (78.6%), environmental sounds and music (71.4%), and scene objects (57.1%).\nAlso, body characteristics (64.3%), face characteristics (42.9%), speech and sounds (42.9%), appearance (42.9%), and lighting and shading (50%) were recognized.\nThe answers to the question “Which of the four basic categories of the wheel do you think is the most important for Interactive Network Environment media” were Movement (92.9%), Environment (64.3), Structure (57.1%), and Interaction (42.9%).\nFor the question “Do you consider the performers’ characters within the performance?”, the participants answered ‘YES’ (78.6%) and ‘NO’ (21.4%).\nThe participants considered the role of the performers in the interactive performance to be important. More specifically one participant said that he really liked the, consciously- and unconsciously made, comparison on how he perceives what the performer is doing and what they see on the screen. Another said that they were very natural in the space, and some others said that they gave life and emotion to the digital character since they created the sound and movement.\nOne participant felt that the digital character was one with the performer, while another said that the character’s body movement was unique and attached to the performers.\nIn addition, one participant considered that there was a direct connection between the characters to the work through movement, heartbeats, and other means of connection and that the movements had an immediate response. Someone else separated the performers and observed that one performer identified two of the elements she assessed as most important, movement and interaction with the environment, while for the second performer he was not sure if she fully understood that she was participating beyond the movement of the river waters.\nAnother agreed that they directed the sounds, so this makes them part of the environment, and someone else added that their movements were part of the final result (through the avatar) and strongly affect the viewer’s experience.\nFinally, one participant considered that although the performers perform in a live-action format, the final character is the union of the avatar with the performer’s movement and interpretation and not themselves on their own.\nWhen asked if they would use any other element (visual, audio, interactive, etc.) to convey the personality of the characters that has not already been used in the performance, half of the participants answered that they did not miss anything while the other half said there would be some things that could enhance the performance.\nOne participant said that he would like to see the triptych “motive–history–personality” while some others said that it would help to show the character’s facial characteristics more.\nOne participant missed the character’s speech while another missed the lighting. On the other hand, one participant would like a less realistic depiction of the body type/face while another would like better connection and communication of selected media, e.g., the interaction of movement–sound–image.\nWhen asked what changes they observed and to which elements of the digital world (e.g., environment, sound, image, movement) they believed they corresponded, most perceived changes in the landscape, weather, and natural elements in the virtual environment. One participant said that he observed the water of the lake overflowing and the flowers waving in the wind and believed that the movement of the flowers came from the performer’s breathing while that of the lake from the bracelet, while some others agreed that there were real changes in the buoyancy of the lake water, the appearance of some graphics (flowers), and a change in the sounds of the environment (wind intensity) and ground movement.\nSomeone else observed changes in the water, the lake, the grass, and plants on the ground in the light, but considered that they did not happen organically, as if someone was giving orders and considered that it was not a natural consequence of what was happening in the performance. Many said that they noticed changes in the sound and image and that these changes contributed significantly to the character’s personality and the story. Finally, one participant noted that there was a change in emotions which enhanced the narrative.\nThe biometrics related to the changes in the digital world, according to the 14 participants, were movement (100%) and cardiac activity (64.3%), which were recognized as the most significant. Additionally, sweating (35.7%), breathing (35.7%), and body temperature (28.6%) were also associated with the changes, though less frequently.\nWhen asked how the changes perceived in the previous question were related to the character’s experience, the participants who perceived the changes considered them to be directly related. More specifically, one participant said that they influenced the psychology of the digital character and how positively or negatively he saw the events during the performance, while another noted that there was a strong interaction. One participant emphasized that the result seemed very alive and there was a connection, while another said that at the point where explosive movement was created (tension in the environment—the water rose, and tension—the sound of the wind) he felt the character’s “pain” more intensely, specifically he said “The performer’s movement in space as the camera turned, emphasized the beautiful environment and the pained character.” A participant observed that the performer’s movement contributed to the change in water level, her heart activity and breathing to the ambient sounds (wind sound), while her sweating contributed to the appearance of the graphics.\nThe elements that provided insights into the character’s personality according to the participants were performer’s movement (performer 1) (92.9%) and voice narration (71.4%), which were recognized as the strongest indicators.\nIn addition, biometric changes were linked to environment–sound (performer 2) (50%), camera movement, and direction (operator) (50%), and biometric changes linked to visual elements (performer 2) (35.7%) were also noted as contributing to the understanding of the character.\n\n\n### 4.3. Data Quantitative Analysis\nThe evaluation results from the four demos were quantitatively analyzed using two complementary statistical approaches.\nThe first examined the consistency rate, defined as the percentage of personality traits intended by the design team that were correctly identified by at least 50% of the participants (N = 14).\nThe second analysis applied nonparametric statistical tests (Friedman’s and Wilcoxon’s) to determine whether the level of audience recognition differed significantly across the four evaluated demos (animation, game, interactive network environment, and interactive media performance).\nThe consistency rate results are presented in Figure 11: consistency between design team’s intentions and audience perception. Overall, the participants’ recognition of the intended expressive traits varied substantially across the different media. The game demo achieved the highest agreement with designer intentions (M = 85.7%), followed by the interactive network environment (M = 80.0%) and the interactive media performance (M = 75.0%). The animation demo showed a notably lower consistency (M = 37.5%).\nFigure 11 displays the mean consistency rates across the four demos with standard deviation error bars. The game demo stands out as the most consistent, showing minimal variability across participants, while animation demonstrates a clear decline in recognition success.\nWe used the Friedman test to examine whether audience recognition of intended character personality traits differed across the four media conditions.\nA significant main effect was observed, χ2(3) = 36.09, p < 0.001, indicating that the level of recognition varied substantially by medium. Post hoc Wilcoxon’s signed-rank tests revealed that the animation demo yielded a significantly lower consistency than all other conditions (p < 0.001), while the game demo achieved significantly higher scores than both the interactive network environment (p < 0.001) and interactive media performance (p < 0.001). No significant difference was observed between the interactive network environment and interactive media performance (p = 0.81).\nThese results demonstrate that interactivity and embodied engagement strongly enhance the communication and recognition of expressive personality cues in digital characters.\nFigure 12 further illustrates the distribution of participant responses using boxplots. Each box represents the interquartile range (IQR) and median values, while individual dots indicate participant-level scores. The animation condition shows both the lowest median and limited spread, confirming its weaker communicative performance. Conversely, game presents a higher and more stable median consistency, reflecting strong alignment between expressive intent and perception. Interactive network environment and interactive media performance occupy a middle ground, with slightly greater variability due to their open-ended and embodied nature.\n\n\n### 4.3.1. Consistency Rates Across Demos\nThe consistency rate results are presented in Figure 11: consistency between design team’s intentions and audience perception. Overall, the participants’ recognition of the intended expressive traits varied substantially across the different media. The game demo achieved the highest agreement with designer intentions (M = 85.7%), followed by the interactive network environment (M = 80.0%) and the interactive media performance (M = 75.0%). The animation demo showed a notably lower consistency (M = 37.5%).\nFigure 11 displays the mean consistency rates across the four demos with standard deviation error bars. The game demo stands out as the most consistent, showing minimal variability across participants, while animation demonstrates a clear decline in recognition success.\n\n\n### 4.3.2. Friedman’s Test and Wilcoxon’s Signed-Rank Tests\nWe used the Friedman test to examine whether audience recognition of intended character personality traits differed across the four media conditions.\nA significant main effect was observed, χ2(3) = 36.09, p < 0.001, indicating that the level of recognition varied substantially by medium. Post hoc Wilcoxon’s signed-rank tests revealed that the animation demo yielded a significantly lower consistency than all other conditions (p < 0.001), while the game demo achieved significantly higher scores than both the interactive network environment (p < 0.001) and interactive media performance (p < 0.001). No significant difference was observed between the interactive network environment and interactive media performance (p = 0.81).\nThese results demonstrate that interactivity and embodied engagement strongly enhance the communication and recognition of expressive personality cues in digital characters.\nFigure 12 further illustrates the distribution of participant responses using boxplots. Each box represents the interquartile range (IQR) and median values, while individual dots indicate participant-level scores. The animation condition shows both the lowest median and limited spread, confirming its weaker communicative performance. Conversely, game presents a higher and more stable median consistency, reflecting strong alignment between expressive intent and perception. Interactive network environment and interactive media performance occupy a middle ground, with slightly greater variability due to their open-ended and embodied nature.\n\n\n### 4.4. Interviews\nThe interviews were semi-structured. We followed the same questions for the three groups and, according to the answers, the conversation evolved.\nWhen asked if they perceived any differences in the character of the centaur (man with tall legs) in the animation and the performance, one participant noted that the perception of the character was much clearer in the animation because the facial characteristics and expressions of the characters could be easily seen. The participant also added that the performers were surely expressive during the performance; however motion alone was not sufficient and facial characteristics were needed. This was also confirmed by two more participants, who said that when watching the performance, they paid attention to the moves and kinesiology of the performers and not so much on the digital character on the screen. However, there was one participant that paid attention mostly to the digital character and not to the performers. The shape of the character, with the long thin legs gave a sense of fragility, which was in agreement with the creator’s intention. The term “weak” was assigned to the centaur in the performance media by another participant as well, while in the animation they perceived him as “dynamic”, probably due to the use of the camera and the environment (according to the participant).\nOne participant noted that the performance awoke stronger emotions compared with the animation. Moreover, some participants claimed that in the animation, there was a narration and storyline which helped the perception of the character, while in the performance they missed that. Overall, the majority answered that perceiving the centaur’s (man with tall legs) personality was easier in the animation, because of the narration and the visible facial characteristics and expressions.\nFor the question “How was birds’ characters’ personality perceived throughout the three media, animation, performance and games”, the majority of the participants mentioned that it was hard for them to spot the personality in the birds, although they enjoyed their movement and presence. Two participants stated that they could distinguish the bird’s personality more easily in the animation because it was a single entity and because there was a story. However, two other participants said that the personality of the birds was more intense in the game due to the interaction that the flock had with the character and the plot.\nAn interesting topic brought up by one participant was that animals are associated subconsciously with a certain personality, for example, a tiger is fierce, therefore, we might be biased when seeing them and it is harder to identify a different personality\nSounds existed in the live coding and performance formats. As for the live coding, it was clearly hard for the majority of the participants to identify the personality of the birds. Another participant said that the sounds seemed too artificial and that such experimental works need further investigation and the fact that the live coding demo lacked narration or a storyline made things harder. However, sound was appreciated, in general, but as a complementary element to the existing narration. Some participants noticed specifically the differences in sound generation through the wings and through the core, which was also the intention of the creators; each body part would affect the sound in a different manner. However, although most of the participants found the sounds complementary, interesting, and noticed the special connection between movements and sounds, it seems that more elements need to be involved to allow sound to act as a personality indicator.\nTwo participants brought up the very interesting topic of player’s/user’s personality in terms of the perception of the digital character’s personality. “You might be doing everything right in technical terms but the viewer might perceive a different trait than you (the creator) had in mind!” says one participant, while a third participant continues “ The first time I played the game I was very confused and this affected my perception of the centaur, I thought he was weak and afraid, while when I played the game again and felt confident I thought the character was more dynamic”.\nAnother interesting issue mentioned by six participants is the inability to simultaneously follow all elements of the performance. Since the performance included voice narration, physical performers moving, one digital character, changes in the environment, and ambient sounds, it seems that it was overwhelming for the participants to follow all these elements. Most stated that they completely missed the narration because they were absorbed in the performer’s movement or the scene.\n\n\n### 5. Discussion\nThis discussion section examines how digital character personality was expressed and perceived across four media: animation, games, interactive performance, and interactive networked environments. Each medium afforded different strengths—animation with narrative clarity, games with interactivity, performance with embodied presence, and live coding with experimental dynamics. By comparing these contexts, we highlight how movement, narration, sound, and interaction differently shaped the audience’s interpretation of personality traits. The findings illustrate these differences, showing how participants perceived and evaluated the characters across each demo.\nThe findings highlight distinct patterns in how the characters in the animation demo were perceived. The male character was initially described by the scriptwriter as sensitive, scared, and weak, and was similarly associated with fear by the participants, while the female character was described as independent, decisive, confident, and strong, and was indeed recognized by the audience as independent and strong. The bird character stood out as the strongest, perceived as independent, decisive, and powerful. Across all elements of this demo, the participants emphasized the importance of movement and interaction as central to the effectiveness of the demonstration, while environmental aspects, such as objects, lighting, and shadowing, were considered less important. Open-ended responses further indicated that features such as gaze, camera focus, background story, music, and dialog could enhance narrative depth and emotional connection. Overall, the results suggest that strong character action combined with movement and interaction are key factors for audience engagement, while additional narrative and cinematic tools could further enrich the experience.\nIn the game demo, the male character was successfully perceived as independent, decisive, and confident, which was in full agreement with the associations of the script. The female character, who was intended to be sensitive, fearful, and weak, was also largely accepted, and was associated by the participants with adjectives such as sensitivity and fear. The character of the flock of birds was initially identified as a character with self-confidence; the participants largely agreed but also considered him to be independent, decisive, strong, and aggressive. In terms of design elements, all aspects of the Wheel used in the demo were effectively recognized by the participants, with a particular emphasis on movement, interaction, and character appearance characteristics, while the elements related to the environment were considered somewhat less central. The participants noted that adding elements such as camera direction, narration, music, and character conversations would help and enhance the game experience.\nIn the interactive networked environment demo, the birds were perceived as being mostly independent, confident, determined, and strong. The participants identified body movement most strongly as a defining element of the demonstration, while body and facial features, along with speech and sounds, also contributed to expressing the birds’ personality. Environmental sounds and music were noted as important additions that enriched the overall experience. Movement was rated as the most important category of the Wheel, and participants also reported that the demo’s depiction could be improved by extending immersion through tools such as a 360-degree field of view, more opportunities for interaction in realistic environments, and by using alternative performance styles for the characters.\nOther interesting findings indicate that narration and the visibility of facial expressions are crucial for understanding personality, with animation offering clearer perception compared with other formats. In contrast, performance, due to the absence of facial detail and the simultaneous presence of multiple elements (movement, sound, narration, digital environment), often led to a sense of cognitive overload and reduced the clarity in character interpretation.\nThe birds as characters were mainly evaluated through their movement and interaction with the environment or the player. Their personality was perceived more strongly in the game, due to interactivity, and in animation, due to the narrative framework. In live coding, again, movement was the leading element while sound was less associated. However, stereotypical associations with animal traits (e.g., a tiger as fierce) also influenced participants’ perceptions, shaping how non-human characters were understood. Sound was generally appreciated as a complementary element that enhanced the connection between movement and character, but it was not sufficient on its own to convey personality traits. The experimental nature of live coding, combined with the lack of narration, made it particularly challenging for participants to interpret character identity.\nA particularly interesting finding concerned the influence of the viewer’s/player’s own personality on their perception of the digital character. For example, within the game, participants’ feelings of confidence or confusion directly shaped whether they interpreted the centaur as “dynamic” or “weak.” This points to the reciprocal relationship between creator, medium, and audience.\nFinally, from the comparison between the designer ‘s intention and the audience perception, the high recognition and agreement observed in the game and interactive network environment underscores the importance of feedback loops, user action, and multimodal cues in audience perception. In contrast, the lower consistency in animation demonstrates that non-interactive, purely visual expression alone is not sufficient to effectively convey complex personality traits. These findings validate the theoretical framework underlying the Taxonomy Wheel and highlight the importance of interaction in digital arts.\nOverall, this study demonstrates that the perception of personality does not depend solely on the medium itself but rather on a combination of factors: narration, the visibility of expressions, kinesiology, sound, directorial guidance, and the viewer’s own experience and disposition. Future research could benefit from more controlled comparisons, applying identical narrative and audio–visual conditions across different media to better isolate the effect of the medium. Additionally, greater public familiarization with experimental formats such as live coding will be essential to fully explore their potential for character development.\nWhile this study provides valuable insights into how digital character personality can be conveyed across multiple media, several limitations should be acknowledged. First, the sample size of 14 participants, though diverse in disciplinary backgrounds, limits the generalizability of the findings. A larger and more demographically varied participant pool would allow for stronger statistical conclusions and better capture the cultural or contextual differences in personality perception. Second, the experimental conditions differed slightly between media, making it difficult to fully isolate the influence of each modality (animation, game, performance, and live coding). Factors such as narration, sound design, or the degree of interactivity were not held constant across prototypes, which may have affected the audience’s interpretation of character traits. Finally, subjective interpretation remains a challenge: participants’ personal moods, familiarity with the media, and even their own personality traits influenced perception, as acknowledged in several interview responses. This variability underscores the complexity of assessing personality perception as a cross-media construct.\n\n\n### Limitations\nWhile this study provides valuable insights into how digital character personality can be conveyed across multiple media, several limitations should be acknowledged. First, the sample size of 14 participants, though diverse in disciplinary backgrounds, limits the generalizability of the findings. A larger and more demographically varied participant pool would allow for stronger statistical conclusions and better capture the cultural or contextual differences in personality perception. Second, the experimental conditions differed slightly between media, making it difficult to fully isolate the influence of each modality (animation, game, performance, and live coding). Factors such as narration, sound design, or the degree of interactivity were not held constant across prototypes, which may have affected the audience’s interpretation of character traits. Finally, subjective interpretation remains a challenge: participants’ personal moods, familiarity with the media, and even their own personality traits influenced perception, as acknowledged in several interview responses. This variability underscores the complexity of assessing personality perception as a cross-media construct.\n\n\n### 6. Conclusions and Future Work\nThis study investigated how motion capture and biosignals can be integrated into character workflows across animation, games, installations, and live performance. By developing four prototypes, we proposed and validated a workflow for augmenting the personality expression of digital characters through sensor-based technologies. The findings show that personality perception emerges from the interplay of movement, interaction, narration, sound, and audience disposition, rather than from any single medium or tool. Beyond the specific case studies, this research offers methodological insights and technical tools for designing more expressive and emotionally resonant digital characters in trans-media contexts.\nFuture research will aim to address the identified limitations by developing more controlled cross-media experiments, in which identical narrative and audio–visual elements are implemented across different formats. This approach will enable the clearer identification of observed differences in the characteristics of each medium. In addition, this study could be extended to other emerging media and technologies such as virtual and mixed reality environments, where embodied interaction, sensory immersion, and spatial presence may further influence the perception of character personality. Finally, particular attention should be given to more experimental media, including interactive networked environments and interactive performances, which are not yet as established or standardized as animation and games. Future work should focus on refining the associated workflows, interaction models, and technical functionalities to enhance their expressive potential and accessibility for creators.", "domain": "affective_neuroscience"}
{"source": "PMC12467906", "title": "A Call for Conceptual Clarity: “Emotion” as an Umbrella Term Did Not Work—Let’s Narrow It Down", "text": "# A Call for Conceptual Clarity: “Emotion” as an Umbrella Term Did Not Work—Let’s Narrow It Down\n\n## Abstract\nTo cut a long story short, the term “emotion” is predominantly employed as a comprehensive designation, encompassing phenomena such as feelings, affective processing, experiences, expressions, and, on occasion, cognitive processes. This has given rise to a plethora of schools of thought that diverge in their inclusion of these phenomena, not to mention the discordance regarding what emotions belong to the so-called set of discrete emotions in the first place. This is a problem, because clear and operational definitions are paramount for ensuring the comparability of research findings across studies and also across different disciplines. In response to this disagreement, it is here proposed to simplify the definition of the term “emotion”, instead of using it as an umbrella term overarching an unclear set of multiple phenomena, which is exactly what left all of us uncertain about the question what an emotion actually is. From an etymological perspective, the simplest suggestion is to understand an emotion as behavior (from the Latin verb ‘emovere’, meaning to move out, and thus the noun ‘emotion’ meaning out-movement). This suggests that an emotion should not be understood as something felt, nor as a physiological reaction, or anything including cognition. Instead, emotions should be understood as behavioral outputs (not as information processing), with their connection to feelings being that they convey them. Consider fear, which should not be classified as an emotion, it should be understood as a feeling (fear is felt). The specific body posture, facial expression, and other behavioral manifestations resulting from muscle contractions should be classified as emotions with their purpose being to communicate the felt fear to conspecifics. The underlying causative basis for all that exists is affective processing (i.e., neural activity), and it provides evaluative information to support decision-making. The essence of this model is that if affective processing responds above a certain threshold, chemicals are released, which leads to a feeling (e.g., felt fear) if the respective organism is capable of conscious experience. Finally, the communication of these feelings to conspecifics is happening by emotion-behavior (i.e., emotions). In summary, affective processing guides behavior, and emotions communicate feelings. This perspective significantly simplifies the concept of an emotion and will prevent interchangeable use of emotion-related terms. Last but not least, according to the current model, emotions can also be produced voluntarily in order to feign a certain feeling, which is performed in various social settings. Applications of this model to various fields, including clinical psychology, show how beneficial it is.\n\n## Full Text\n\n\n### 1. Introduction\nThis paper has a theoretical nature; however, it is not primarily a review of existing models; it is, more so, highlighting an evident problem that has existed for a long time and it finally suggests a quite simple solution. Clearly, it is going to be a difficult endeavor, because multiple existing concepts of the meaning of an emotion are hardwired in human brains. However, the fact that the hard wirings differ between different schools of thought should convince at least serious scholars that change is needed and a common understanding is highly desired, if not essential, to further our understanding of the human psyche and the behavior it generates. Emotion research spans various disciplines, including psychology, neuroscience, and philosophy among many others. However, a significant obstacle to progress in this field is the lack of consistent and precise terminology. Various terms are often used interchangeably, or at least not well defined as separate things, leading to confusion and hindering meaningful comparisons across studies [1,2] (Fox, 2018; Adolphs et al., 2019). This paper highlights the need for greater conceptual clarity and proposes a framework (The ESCAPE-Model: EmotionS Convey Affective Processing Effects; or simply the Walla-Emotion-Model) for more rigorous and consistent terminology in emotion research (or better, in affective neuroscience).\nImagine a clinical psychologist proposing emotion regulation [3] (e.g., Renna et al., 2017) as the optimal treatment option for a client. Obviously, in order to design a therapy and further develop it, it would be a beneficial prerequisite to know what it is that is meant to be regulated. At present, different psychologists, and even different key players in emotion research, would explain the workings of the treatment in different ways. In the worst case, this could result in incorrect interpretations of treatment strategies and outcomes, and generate misunderstandings between professionals. This is considered a problem [4] (see Walla, 2018). In their 2013 publication, Walla and Panksepp [5] proposed the so-called car analogy to highlight the problem. The authors emphasized that the term “emotion” is employed in the extant literature as if one would designate the wheels of a car “car”, the engine “car”, the entire car “car”, and even driving would be called “car”. This is an example of an illogical use of language. Unfortunately, this problem applies to more or less all terminology in affective neuroscience (including interchangeable use of terms), and most importantly to the term “emotion”, but to various other related terms as well.\nInterestingly, this problem is not new. In 1981, Kleinginna & Kleinginna [6] published an extensive review and categorization of emotion definitions, which they found by undertaking a comprehensive analysis of the existing literature on emotion. The result was an incredible number of 92 definitions, which they could put into no less than 11 categories, showing the great diversity of opinions on the subject. Their work highlighted the complexity of the concept of emotion, demonstrating that it encompasses a wide range of factors, including subjective experience, physiological responses, behavioral expressions, and even cognitive aspects like those already mentioned in the abstract. Their work provided a valuable overview of the landscape of emotion definitions, highlighting the challenges of defining this term. This dates back to 1981. The question arises, “Does the concept of “emotion” need to be understood as so complex?” This doubt receives meaning, because more than 20 years after Kleinginna & Kleinginna, Scherer (2005) [7] published an article that included the question “What are emotions?” in the title. The article highlights, again, the complex nature of defining and measuring emotions as well as the challenges in achieving a consensus on what constitutes an emotion, differentiating it from related affective phenomena like feelings, moods, attitudes, etc. Surprisingly, nothing has changed. The result of the author’s own view is a model of emotion, which involves synchronized changes in several subsystems in response to significant stimuli, which is, again, a quite complex approach to define the term emotion even including cognitive aspects. The shocking truth is that another 20 years have passed and, to date, in 2025, we still face a lack of a clear definition. It was in 2012 when Dixon [8] published a paper about the history of the term “emotion”. In this work, he mentioned that, given the missing scientific consensus, it might be that the “very category of emotion” is the problem. There definitely is time for change and the change needs to be radical. Key players in emotion research are all contributing a great deal of detail regarding neurophysiological processes, anatomical structures, the release of chemicals, experiences, and, also, treatment strategies. However, there is no common agreement on how to define the term “emotion” [9,10,11,12,13,14,15,16,17,18,19,20,21,22] (Simic et al., 2021; Barrett, 2017; LeDoux, 2012; Scherer, 2009; Izard, 2009; Barrett, 2006; Rolls, 2005; Panksepp, 2005; Damasio, 2004; Cabanac, 2002; Damasio, 1999; Panksepp, 1998; Damasio, 1994; Lazarus, 1991). As already mentioned above, in response to this continuous disagreement, the present paper proposes a novel approach, the Walla-Emotion-Model. The proposed approach is incredibly simple. Some may consider it overly simplistic, but it is important to note that simplicity is not necessarily a disadvantage, provided that all the necessary aspects are still included. Complexity leading to disagreement, miscommunication, and misinterpretation cannot really be any better.\nAt this stage, it seems reasonable to mention the principle of parsimony [23] (Sober, 1981), often associated with “Occam’s razor” [24,25] (Thorburn, 1918; Spade, 2019), which advocates for choosing the simplest explanation when faced with competing hypotheses. It is a fundamental concept that permeates various fields, particularly science and philosophy. Essentially, parsimony dictates that among equally adequate explanations, the one with the fewest assumptions should be preferred. This principle encourages us to avoid unnecessary complexity and largely goes back to William of Ockham (although the concept predates him), a 14th-century English Franciscan friar and philosopher. His principle, often paraphrased as “entities should not be multiplied beyond necessity,” is a cornerstone of parsimony. According to work published in 1984 [26] (Epstein), psychologists often violate this principle, particularly in attributing complex behavior to cognitive processes. The same author goes on to give a practical definition of parsimony, which emphasizes that parsimony is a heuristic, not an absolute law. Simpler explanations are preferable, but they are not always correct. In the end, the goal should be to find the best balance between simplicity and explanatory power. In the context of the current problem, we do not primarily talk about explaining something. Instead, simplicity is here referred to as defining the term emotion in the narrowest possible way, which makes it easier to distinguish it from other terms such as feeling and affective processing. Secondly, this will also support explanations of those terms and thus support any communication within emotion research and affective neuroscience (crucially also in clinical psychology).\nNot surprisingly, this is all based on neurobiological grounds. To better understand where this is all coming from, it is considered beneficial to start with basic neurobiological thinking about the evolutionary trend towards the concentration of nervous tissue and sensory organs at the anterior (front) end of an organism, which is known as cephalization [27,28] (e.g., Ruppert et al., 2004; Exner and Routil, 1958). Cephalization results in a distinct head region with enhanced sensory processing, improved coordination, and more complex information processing. Primarily observed in bilaterally symmetrical animals, cephalization facilitates directed movement and efficient interaction with the environment. Second, it is important to understand the human brain as an organ that processes information in order to produce adapted behavior (in addition to controlling all the vital functions to keep the whole organism alive) [4] (Walla, 2018). The next chapter follows this line of thinking while providing deeper explanations with a final focus on affective information processing in the brain (before cognitive information processing evolved).\n\n\n### 2. From Cephalization to Affective Processing\nIn the primordial milieu, characterized by the emergence of diverse life forms, cephalization (the genesis of a head with a brain in it) occurred as a pivotal evolutionary development. Imagine, among mainly solitary forms of life stuck to a substrate, a diminutive, worm-like creature suddenly capable of simple locomotion, its nervous system comprising a rudimentary network, exhibiting a notable advantage due to the clustering of its neurons at its anterior end, where sensory tendrils interacted with the surrounding environment that varied as the worm moved along. The neurons located posterior to these sensors gathered right behind and were responsible for processing the sensory input, and the formation of a rudimentary “head” began, thereby establishing a centralized nervous system in it that updated the organism on external stimuli. This development led to enhanced directed movement, faster responses to danger, and an improved hunting efficiency. In summary, one can say that the occurrence of locomotion triggered the generation of a head with a simple brain in it [27] (Ruppert et al., 2004).\nThe continuous update on external stimuli formed a neural system behind the sensors that enabled an evaluation of the environment, which proved advantageous. The initial response manifested as a twitch rather than a thought, because neither cognition nor consciousness existed yet. Imagine the above-mentioned worm-like creature encountering a chemical gradient, with one direction representing a sweet, life-sustaining pulse, and the other, a bitter, corrosive sting. The neurons fired not with comprehension, but with a simple, binary “good” or “bad” response, an instinctual sorting process. It is evident that the ability to avoid bitter tastes and seek out sweet ones is advantageous for survival. Over successive generations, the neural knot at the front end underwent a process of growth and branching (simple to more evolved brain), leading to the establishment of more complex responses. These responses, sooner or later, involved the release of neurotransmitters and hormones (messenger chemicals that can modify neural responses) [29,30] (see Loewi, 1921; Jekely, 2021). A surge of dopamine, a primitive “wanting” response, drove the creature to seek out sweet tastes. Conversely, a surge of norepinephrine, a stress hormone, triggered a flight response, prompting the creature to avoid bitter substances.\nThese were not just signals anymore, they were drivers, shaping behavior and dictating survival. And as the brain grew, these drivers became more nuanced. Over the course of millions of years, the neural net underwent a transformation into a structured brain, capable of more than mere sensation and reaction; it began to evaluate in a more advanced way. The creature began to anticipate, which means that a faint echo of past experience began to color the present. The affective processing system was born [31,32,33] (Panksepp, 1991, 1992, 2011) and it was connected to a memory system. A cluster of interconnected structures, still situated deep within the modern brain, has emerged. The amygdala acts as a sentinel, scanning for threats with its neurons firing warnings [34,35,36] (Sergerie et al., 2008; Phelps et al., 2005; Zald, 2003). The hippocampus stores memories of past encounters, shaping future responses [37] (Squire, 1992). The hypothalamus orchestrates the body’s physiological reactions (neurotransmitters and hormones) as a regulator [38] (Purves et al., 2001). A proper affective information processing system has evolved, and it provides the organism carrying the brain, with this system in it, with processing output that helps its decision-making in order to adapt its produced behavior with respect to the question, “how is a stimulus”, and its answer.\nAccording to the currently proposed model, this is all still completely separate to an emotion. In the next chapter though, the processes and constructs explained up until this point are amended by emotions.\n\n\n### 3. From Affective Processing to Emotions\nFurther evolutionary developments resulted in the emergence of a social lifestyle with obvious advantages [39] (Wilson, 1975). In response to that, these internal affective states (chemical compositions) began to manifest externally, and a flick of the tail, a baring of the teeth, a vocalization—these were not conscious expressions of “anger” or “joy”, but rather, automatic, and behavioral responses. Those were observable and communicative. A predator, seeing bared teeth, understood the threat, and a mate, hearing the vocalization, understood the readiness. Over time, this primitive communication of internal states became more sophisticated. The neural structures that generated these states grew more complex, allowing for a wider range of expressions. With this, emotions as behavioral output arose to communicate inner states to conspecifics when language did not exist yet. The chemical composition in a brain representing threat was suddenly coupled with the outward display of trembling and widened eyes, which told others about the inner state. Such inner states were, at this point, not yet feelings, but important signals in the brain providing helpful contributions to survive that could now be shared among other members of the group.\n\n\n### 4. From Affective Processing to Feelings and the Rise of Cognition\nWith the emergence of consciousness, those inner states became felt bodily responses to affective processing evaluations. Feelings were born. While the limbic system, the cradle of affection [40] (Papez, 1937), was not built for conscious thought, but for the visceral, instinctual imperatives of survival, consciousness arose in response to the rise in the most modern neural layer in the human brain, the neocortex. Although the affective processing system already allowed the brain to adapt its produced behavior to support survival, this further system evolved and was able to contribute other aspects of the ever-changing environment to decision-making processes. Those aspects are like answers to “what”-questions and the underlying function is what we know as cognitive information processing [4] (see Walla, 2018).\nCognition and affection are separate systems (as outlined in more detail below). The combination of affection and consciousness creates feelings and the existence of cognition can turn a raw “want” to desire, and raw “fear” can become anxiety. However, according to the current model, affection and cognition are separate systems with their different contributions to the overall function of the brain to produce adapted behavior (see next chapter, “Section 5”).\nFinally, the evolution of language [41] (Pinker & Bloom, 1990), the pinnacle of cephalization, allowed for the most complex form of communicated feelings. Humans, their brains overflowing with neural connections, could not only feel fear and show it through generated emotion-behavior, but describe it, analyze it, and share it verbally. The internal world, once a hidden landscape of chemical signals, was now a shared territory of conscious experience, a testament to the long journey from a simple head to a mind capable of feeling and telling the story of those feelings. However, at this stage it is important to mention that the phenomenon known as “cognitive pollution” [42] (Walla et al., 2011); this is the potential of being led to subjective misinterpretations when asked to verbalize a feeling. This might be important to Clinical Psychology and Psychotherapy.\n\n\n### 5. The Function of the Brain\nThe shortest possible explanation of the brain’s function is that it produces adapted behavior via processing information (as mentioned above, this is in addition to its basic function as a control center to keep the entire organism alive). Thereby, information equals voltage-coded signals that represent affective content (answers to how-questions) and cognitive content (answers to what-questions) [4] (see Walla, 2018). Importantly, those two processing systems are separate neural networks, including their own neural structures (see above). However, there are numerous connections that enable interactions and mutual influence. Figure 1 visualizes the brain’s function.\nThe neurobiological basis explained above finally leads to the proposed emotion-model, which is highlighted in the following chapter.\n\n\n### 6. The ESCAPE-Model (EmotionS Convey Affective Processing Effects) (The Walla-Emotion-Model)\nThis model (Figure 2) contrasts action-behavior with emotion-behavior. It is a further-developed model initially reported by Walla (2018) [4]. Action-behavior is basically initiated by brainstem networks (thick red arrow pointing to the right) and, on the way to producing action-behavior, both affection (orange-colored limbic system) and cognition (blue-colored neocortex) provide their adaptation-related input. This could be compared with the so-called survival circuits reported by LeDoux [11] (2012). If the limbic system (i.e., affective processing) responds to evaluated stimuli with activity above a certain threshold, it causes the release of chemical substances (neurotransmitters and hormones), a phenomenon that can be felt if the respective organism is capable of consciousness. Thus, a feeling as such is a form of perception, which in turn is a construct of the psyche [44,45,46] (see Helmholtz, 1910; Gregory, 1997; Sternberg, 2006). In contrast to Lisa Barrett’s constructed emotion theory [47] (2017), our model defines only a feeling as a construct of the psyche. Anyway, independent from felt released chemicals, emotion-behavior is produced. While in principle emotion-behavior is produced involuntarily, humans can also produce voluntary emotion-behavior, which is often performed in various social settings, where actual feelings are hidden with a certain cognitive purpose.\nBecause of its simplicity, this model is able to provide very short explanations of the most important terms around the topic of emotion. The very basis for an “emotion” is affective processing (Figure 2; orange circle 1), which is understood as neural activity of structures that are part of the limbic system. Affective processing delivers evaluative information to decision-making centers. If those structures become active above a certain threshold, neurotransmitters and hormones are released, which is felt by organisms that are capable of consciousness. This causes feelings (Figure 2; orange circle 2). Finally, emotion-behavior (Figure 2; orange circle 3) is produced in order to communicate feelings.\n\n\n### 7. Discussion\nAs mentioned in the introduction, the motivation for this paper is the problem of a missing consensus regarding a clear definition of the term emotion. Over many decades (even centuries), the term “emotion” has notoriously been defined in various different ways. Across the history of psychology and neuroscience, various prominent researchers contributed valuable and highly appreciated insights into different aspects around affective processing and the entire field of emotion research. However, they have approached this topic from different angles, emphasizing distinct components or functions and creating different definitions, and the resulting missing consensus hinders any progress and makes scientific communication almost impossible.\nTo name just a few existing views, for instance, the core idea of Charles Darwin’s evolutionary perspective on emotions is that they are characterized by their observable expressions and their adaptive value [48] (Darwin, 1872). Darwin did not specifically define the term emotion as such, but one can infer that, despite the emphasized expression-related aspect of emotions, they were seen as instinctive states functioning as universal communicative signals across species and cultures, aiding in survival and social interaction. Interestingly, Darwin put less focus on the subjective feeling aspect, which might result in his perspective being closest to the proposed definition of emotion in the current paper. Most psychology textbooks mention William James [49] (James, 1884) and Carl Lange [50] (Lange, 1912), who are known for their physiological Feedback Theory, which emphasizes that our bodily responses precede and cause the conscious feeling of an emotion. Obviously, their understanding of an emotion is that it is a felt perception of physiological changes in the body. In summary, their view means that one does not cry because of being sad but, rather, one feels sad because of crying. The problem here is that the terms emotion and feeling are not clearly distinguished; instead, both authors speak about “felt emotions”. Equally often in textbooks one finds Walter Cannon [51] (1927) and Philip Bard [52] (1928), who proposed the so-called Thalamic Theory of Emotion, which challenged the theory proposed by James and Lange. Their core idea was that physiological responses and the conscious emotional experience occur simultaneously and independently, triggered by the thalamus, a diencephalic brain structure directly connected to the hypothalamus, which is heavily involved in the release of chemical substances. In fact, it is difficult to extract a clear definition of the term emotion in their case. However, one can summarize their view on emotion as involving parallel processing, where a stimulus leads to both a bodily response and a subjective emotional experience via brain activity. Also, here, an emotion is a felt phenomenon associated with both physiological and subjective aspects. Schachter and Singer [53] (1962), as well as Schachter [54] (1964), are known for their Two-Factor Theory, which integrates elements of James–Lange and Cannon–Bard, positing that emotion is a combination of physiological arousal and cognitive appraisal. Their understanding of an emotion is that it is a cognitive interpretation of a general physiological arousal based on the context of the situation. The same arousal (e.g., racing heart) can be interpreted as fear, excitement, or anger depending on the situation. Thereby, the crucial role of cognitive interpretation is in labeling and shaping the emotional experience. Again, an emotion is understood as something felt. Andrew Ortony, Gerald Clore, and Allan Collins [55] (1988) developed the known OCC Model of emotion, which represents a Cognitive Appraisal Theory. The basic idea of this model is that an emotion is a primarily valenced reaction to an event, an agent, or an object, with their particular nature being determined by the way in which the eliciting situation is construed (appraised). Strikingly, an individual’s interpretation or evaluation of a situation (their appraisals) directly determines the specific emotion experienced. In summary, this model categorizes emotions based on the focus of these appraisals (e.g., events, agents, and objects).\nPaul Ekman [56,57] (1971, 1992) proposed a theory focusing on a set of discrete emotions that he suggested to be universal across human cultures and associated with distinct, innate facial expressions and physiological patterns. Emotions are thus understood as discrete, biologically programmed packages of responses (including facial expressions, physiological changes, and subjective experience) that serve adaptive functions. Edmund Rolls [58] (2025) understands emotions as states elicited by rewards and punishers, with different emotions corresponding to different types of reward/punishment contingencies (e.g., presence of reward, omission of reward, and presence of punisher). He emphasizes that the brain is organized to process these reinforcing stimuli to guide flexible, adaptive behavior linking emotions directly to motivation and goal-directed behavior. James Russell [59] (1980) is a proponent of dimensional models (like his Circumplex Model; core affect and prototypical emotional episodes). He argues that emotions are best understood as varying along continuous dimensions, primarily valence (pleasantness–unpleasantness) and arousal (high–low activation). Any specific emotion (e.g., anger) can be located as a point or region within this 2D space. He suggests that humans construct their emotional experiences based on learned concepts rather than emotions being hard-wired phenomena. His concept of a core affect is attributed to a specific cause and that it can be integrated with other cognitive and behavioral processes leading to labeled identifiable experiences. However, Russell often argues that the everyday concept of “emotion” is fuzzy and heterogeneous instead, and not a scientifically precise term. He suggests that relying too heavily on everyday language for scientific definitions can be misleading. Interestingly, as a matter of fact, there does not seem to be a large difference between everyday language and scientific language, because scientific language concerning the term emotion is equally non-specific as everyday language, which forms the main argument here to narrow-down the definition of the term emotion. A more comprehensive guide on existing emotion theories has recently been published [60] (Scarantino, 2024).\nIn summary, the varying definitions highlight a fundamental debate in emotion research that results in various groups of approaches. Regarding a nature versus nurture approach (i), Darwin, Ekman and Rolls are nature-oriented by emphasizing the innateness of emotions. Schachter and others, on the other hand, are rather nurture-oriented with a focus on learned and culturally influenced emotions. Following a distinction between discrete and dimensional views (ii), Ekman and Plutchik [57,61,62] (1958, 1962) define a few of distinct “basic” emotions, whereas, according to Russell’s opinion, emotions vary along continuous dimensions like valence and arousal. Despite these multi-faceted differences, there is consensus that emotions are multi-component phenomena involving subjective experience, physiological changes, cognitive appraisal, and behavioral/expressive elements. A crucial fact is that all approaches that understand emotion as an umbrella term struggle to find a common and agreed understanding, which results in emotion as a term that is not clearly defined. This shall be clarified, and instead of further hindering any clear scientific communication, and instead of further waiting until the set of components that should in combination represent an emotion is agreed on, it is here proposed to make a clear cut and define emotion simply as behavioral output. It is suggested to strictly narrow-down the meaning of the term emotion and to make a sharp distinction between non-conscious affective processing (i.e., neural activity reflecting evaluations of processed information) that guides behavior and observable emotions (i.e., behavioral responses to affective processing outcome) that communicate feelings. An emotion should be understood as an observable behavioral response that communicates an individual’s inner (feeling) state. Strikingly, the communicative function of emotions is emphasized, and emotions are clearly separated from underlying non-conscious processing (affection) and subjective feeling, and they are, finally, also separated from cognitive information processing.\nFollowing the herewith proposed emotion-model has a great variety of positive consequences, some of which are mentioned below.\nThe proposed, precise distinctions between affective processing (non-conscious neural activity guiding behavior), feelings (consciously felt bodily responses such as released neurotransmitters and hormones), and emotions (observable communicative behaviors) have significant consequences for clinical psychology and other applied fields. The current model emphasizes limitations of self-report and the importance of objective, neuroscientific measures to understand the true drivers of behavior (conscious free will is most likely rather limited regarding the guidance of human behavior).\nThe current model means that emotions are less important to investigate; the focus is more on affective processing and, if at all, on verbal communication of feelings. Because feelings represent conscious perceptions, the current model highlights that explicit self-reports of feelings can be “cognitively polluted” (a theory stated by Walla et al., 2011 [42]) and may not accurately reflect underlying, non-conscious affective processing that might be most directly related to psychological, affective disorders. Relying solely on questionnaires or verbal descriptions in clinical assessment might be misleading. For conditions where affective processing is impaired (e.g., depression, anxiety disorders, alexithymia, PTSD), objective measures like electroencephalography (EEG), magnetencephalography (MEG), skin conductance response (SCR), and startle reflex modulation (SRM) become crucial. These methods can access “raw affective responses” (particularly SRM) that are not directly accessible to language or conscious awareness [63,64,65,66,67,68] (Guo et al., 2022; Grillon & Baas, 2003; Morgan et al., 2003; Grillon &v Morgan, 1999; Patrick et al., 1993; Bradley et al., 1993). Furthermore, understanding discrepancies between what a patient reports about a feeling and what objective physiological or neural measures indicate could be key to understanding their condition. A feeling is a form of perception and perception is just a construct of the human psyche, a construct that can be wrong. For example, a patient might verbally deny feeling anxiety, but their physiological responses might tell a different story, revealing subconscious fear or distress. For individuals with alexithymia (i.e., difficulty identifying and describing what is usually labeled as emotions and here suggested to be called affections), this model provides a framework to understand this disorder as a disconnect between underlying affective processing and the ability to consciously label or communicate these states as adequate feelings. Objective measures of affective processing could be vital for diagnosis and tracking progress.\nIf affective processing primarily guides behavior at a basic level, interventions might need to move beyond purely cognitive–behavioral approaches to also address non-conscious affective learning and conditioning. Techniques like exposure therapy, which can modify non-conscious fear responses, align well with this. Therapists might need to differentiate between helping patients manage their observable “emotions” (e.g., reducing aggressive outbursts) versus helping them understand and regulate their underlying “affective processing”. The therapeutic strategy to regulate emotions could be well explained. Finally, certain neurological conditions might involve specific deficits in affective processing that are distinct from cognitive impairments. This opens avenues for early detection or targeted therapies and, of course, makes respective communication much more detailed and understandable. For example, Borderline Personality Disorder (BPD) is characterized by pervasive instability in mood, interpersonal relationships, self-image, and behavior [69,70] (APA, 2022; WHO, 2019). When one applies this paper’s precise definitions of affective processing, feelings, and emotions to BPD, we can gain a more nuanced understanding of the disorder’s core features, particularly its pervasive “affective” dysregulation. First, at the most fundamental level, individuals with BPD are theorized to have a biological vulnerability that leads to dysregulated or hyper-reactive affective processing. This means their subcortical brain system, including the amygdala among various other structures that are responsible for the initial, automatic evaluation of stimuli as threatening or rewarding, is often affected (see above chapter “Section 5”). Their affective processing can be hyper-sensitive. This means they detect and react to mainly negative stimuli more readily and intensely than neurotypical individuals, already at this completely non-conscious level. A subtle shift in a facial expression, or a slightly raised tone of voice can trigger an immediate, above-average neural response in the limbic system. So, for someone with BPD, their affective processing is like a highly sensitive and easily triggered alarm system, constantly on high alert, and slow to return to baseline. Second, the hyper-reactive affective processing directly translates into a cascade of neurotransmitter and hormone release, which in turn translates into intense, strong feelings. People with diagnosed BPD often struggle with the conscious cognitive process of accurately identifying, labeling, and understanding their feelings. This aligns with this paper’s idea to take out any cognitive aspect in the definition of the term emotion and its related terms. Any attempt to label (name) a feeling, even more so affective processing, is potentially affected by cognitive pollution [42] (see Walla et al., 2011). Third, the hyper-reactive neural responses, driven by dysregulated affective processing, manifest as problematic emotions, which are the observable behavioral outputs that can, as extreme versions, lead to impulsive and self-destructive behaviors or intense and inappropriate outbursts of anger-related behavior, which is an emotion in the sense of this paper. They might show idealizing behavior and then rapidly devaluating behavior, and this black and white splitting is emotional behavior according to the current proposed emotion model. In summary, applying the current model, BPD is a disorder rooted in a biologically vulnerable and hyper-sensitive system of subcortical affective processing. This results in dysregulated, impulsive, and often self-destructive emotions (behavioral outputs), and also leads to overwhelmingly intense, rapidly fluctuating, and often confusing feelings. This perspective emphasizes the bottom-up nature of affective dysregulation in BPD, from the earliest stages of neural processing to the subsequent behavioral responses and respective feelings.\nFor fields relevant to User Experience (UX) and Design, the proposed emotion-model suggests going beyond explicit feedback. In designing user interfaces, software, or digital experiences, traditional methods like surveys and focus groups only capture explicit user feedback. The current model implies that the true affective impact (non-conscious liking/disliking, frustration, and engagement) occurs at a non-conscious level and is only accessible via objective technology. Understanding non-conscious affective processing is deemed more powerful in predicting actual user behavior (e.g., purchase decisions, engagement, and retention) than explicit self-reports.\nConsumer neuroscience, too, can profit from the current model. In the frame of implicit attitudes, the current model directly addresses the disconnect between explicit (self-reported) and implicit (non-conscious) attitudes towards brands or products. Consumers might say they like something, but their brain’s affective processing might indicate otherwise. Since affective processing is argued to guide behavior dominantly on a basic level, measuring these non-conscious responses (e.g., via SRM, EEG, and skin conductance) can provide a more accurate prediction of consumer choices than traditional market research.\nFor effective advertising, understanding how certain stimuli evoke specific non-conscious affective responses allows marketers to create more potent and persuasive advertising campaigns that tap into deeper, non-verbal drivers of behavior. Similarly, brand attitude formations are heavily influenced by affective components, which neuroscientific methods can help us to understand.\nFinally, applying this emotion model to non-human animals might help to provide better insight into the experienced world in organisms we cannot talk to, because the model provides simple definitions clearly separating sharp meanings of terms relevant to affection. Similarly to Occam’s razor, which was mentioned in the introduction, Morgan’s Canon is a principle in comparative psychology stating that you should not interpret an animal’s behavior as being the result of a complex, higher-level mental process (like reasoning or consciousness) if it can be adequately explained by a simpler, lower-level process (like instinct, learned associations, or trial-and-error) [71] (Anvari et al., 2025). In essence, our model offers a bridge for interpreting animal behavior in a way that aligns with Morgan’s Canon. It provides a scientific framework to explain actions via simpler, measurable brain activity or observable behavior, thus supporting the principle that we should avoid anthropomorphizing animals.\n\n\n### 7.1. Key Consequences and Implications\nThe proposed, precise distinctions between affective processing (non-conscious neural activity guiding behavior), feelings (consciously felt bodily responses such as released neurotransmitters and hormones), and emotions (observable communicative behaviors) have significant consequences for clinical psychology and other applied fields. The current model emphasizes limitations of self-report and the importance of objective, neuroscientific measures to understand the true drivers of behavior (conscious free will is most likely rather limited regarding the guidance of human behavior).\nThe current model means that emotions are less important to investigate; the focus is more on affective processing and, if at all, on verbal communication of feelings. Because feelings represent conscious perceptions, the current model highlights that explicit self-reports of feelings can be “cognitively polluted” (a theory stated by Walla et al., 2011 [42]) and may not accurately reflect underlying, non-conscious affective processing that might be most directly related to psychological, affective disorders. Relying solely on questionnaires or verbal descriptions in clinical assessment might be misleading. For conditions where affective processing is impaired (e.g., depression, anxiety disorders, alexithymia, PTSD), objective measures like electroencephalography (EEG), magnetencephalography (MEG), skin conductance response (SCR), and startle reflex modulation (SRM) become crucial. These methods can access “raw affective responses” (particularly SRM) that are not directly accessible to language or conscious awareness [63,64,65,66,67,68] (Guo et al., 2022; Grillon & Baas, 2003; Morgan et al., 2003; Grillon &v Morgan, 1999; Patrick et al., 1993; Bradley et al., 1993). Furthermore, understanding discrepancies between what a patient reports about a feeling and what objective physiological or neural measures indicate could be key to understanding their condition. A feeling is a form of perception and perception is just a construct of the human psyche, a construct that can be wrong. For example, a patient might verbally deny feeling anxiety, but their physiological responses might tell a different story, revealing subconscious fear or distress. For individuals with alexithymia (i.e., difficulty identifying and describing what is usually labeled as emotions and here suggested to be called affections), this model provides a framework to understand this disorder as a disconnect between underlying affective processing and the ability to consciously label or communicate these states as adequate feelings. Objective measures of affective processing could be vital for diagnosis and tracking progress.\nIf affective processing primarily guides behavior at a basic level, interventions might need to move beyond purely cognitive–behavioral approaches to also address non-conscious affective learning and conditioning. Techniques like exposure therapy, which can modify non-conscious fear responses, align well with this. Therapists might need to differentiate between helping patients manage their observable “emotions” (e.g., reducing aggressive outbursts) versus helping them understand and regulate their underlying “affective processing”. The therapeutic strategy to regulate emotions could be well explained. Finally, certain neurological conditions might involve specific deficits in affective processing that are distinct from cognitive impairments. This opens avenues for early detection or targeted therapies and, of course, makes respective communication much more detailed and understandable. For example, Borderline Personality Disorder (BPD) is characterized by pervasive instability in mood, interpersonal relationships, self-image, and behavior [69,70] (APA, 2022; WHO, 2019). When one applies this paper’s precise definitions of affective processing, feelings, and emotions to BPD, we can gain a more nuanced understanding of the disorder’s core features, particularly its pervasive “affective” dysregulation. First, at the most fundamental level, individuals with BPD are theorized to have a biological vulnerability that leads to dysregulated or hyper-reactive affective processing. This means their subcortical brain system, including the amygdala among various other structures that are responsible for the initial, automatic evaluation of stimuli as threatening or rewarding, is often affected (see above chapter “Section 5”). Their affective processing can be hyper-sensitive. This means they detect and react to mainly negative stimuli more readily and intensely than neurotypical individuals, already at this completely non-conscious level. A subtle shift in a facial expression, or a slightly raised tone of voice can trigger an immediate, above-average neural response in the limbic system. So, for someone with BPD, their affective processing is like a highly sensitive and easily triggered alarm system, constantly on high alert, and slow to return to baseline. Second, the hyper-reactive affective processing directly translates into a cascade of neurotransmitter and hormone release, which in turn translates into intense, strong feelings. People with diagnosed BPD often struggle with the conscious cognitive process of accurately identifying, labeling, and understanding their feelings. This aligns with this paper’s idea to take out any cognitive aspect in the definition of the term emotion and its related terms. Any attempt to label (name) a feeling, even more so affective processing, is potentially affected by cognitive pollution [42] (see Walla et al., 2011). Third, the hyper-reactive neural responses, driven by dysregulated affective processing, manifest as problematic emotions, which are the observable behavioral outputs that can, as extreme versions, lead to impulsive and self-destructive behaviors or intense and inappropriate outbursts of anger-related behavior, which is an emotion in the sense of this paper. They might show idealizing behavior and then rapidly devaluating behavior, and this black and white splitting is emotional behavior according to the current proposed emotion model. In summary, applying the current model, BPD is a disorder rooted in a biologically vulnerable and hyper-sensitive system of subcortical affective processing. This results in dysregulated, impulsive, and often self-destructive emotions (behavioral outputs), and also leads to overwhelmingly intense, rapidly fluctuating, and often confusing feelings. This perspective emphasizes the bottom-up nature of affective dysregulation in BPD, from the earliest stages of neural processing to the subsequent behavioral responses and respective feelings.\nFor fields relevant to User Experience (UX) and Design, the proposed emotion-model suggests going beyond explicit feedback. In designing user interfaces, software, or digital experiences, traditional methods like surveys and focus groups only capture explicit user feedback. The current model implies that the true affective impact (non-conscious liking/disliking, frustration, and engagement) occurs at a non-conscious level and is only accessible via objective technology. Understanding non-conscious affective processing is deemed more powerful in predicting actual user behavior (e.g., purchase decisions, engagement, and retention) than explicit self-reports.\nConsumer neuroscience, too, can profit from the current model. In the frame of implicit attitudes, the current model directly addresses the disconnect between explicit (self-reported) and implicit (non-conscious) attitudes towards brands or products. Consumers might say they like something, but their brain’s affective processing might indicate otherwise. Since affective processing is argued to guide behavior dominantly on a basic level, measuring these non-conscious responses (e.g., via SRM, EEG, and skin conductance) can provide a more accurate prediction of consumer choices than traditional market research.\nFor effective advertising, understanding how certain stimuli evoke specific non-conscious affective responses allows marketers to create more potent and persuasive advertising campaigns that tap into deeper, non-verbal drivers of behavior. Similarly, brand attitude formations are heavily influenced by affective components, which neuroscientific methods can help us to understand.\nFinally, applying this emotion model to non-human animals might help to provide better insight into the experienced world in organisms we cannot talk to, because the model provides simple definitions clearly separating sharp meanings of terms relevant to affection. Similarly to Occam’s razor, which was mentioned in the introduction, Morgan’s Canon is a principle in comparative psychology stating that you should not interpret an animal’s behavior as being the result of a complex, higher-level mental process (like reasoning or consciousness) if it can be adequately explained by a simpler, lower-level process (like instinct, learned associations, or trial-and-error) [71] (Anvari et al., 2025). In essence, our model offers a bridge for interpreting animal behavior in a way that aligns with Morgan’s Canon. It provides a scientific framework to explain actions via simpler, measurable brain activity or observable behavior, thus supporting the principle that we should avoid anthropomorphizing animals.\n\n\n### 7.1.1. Clinical Psychology\nThe current model means that emotions are less important to investigate; the focus is more on affective processing and, if at all, on verbal communication of feelings. Because feelings represent conscious perceptions, the current model highlights that explicit self-reports of feelings can be “cognitively polluted” (a theory stated by Walla et al., 2011 [42]) and may not accurately reflect underlying, non-conscious affective processing that might be most directly related to psychological, affective disorders. Relying solely on questionnaires or verbal descriptions in clinical assessment might be misleading. For conditions where affective processing is impaired (e.g., depression, anxiety disorders, alexithymia, PTSD), objective measures like electroencephalography (EEG), magnetencephalography (MEG), skin conductance response (SCR), and startle reflex modulation (SRM) become crucial. These methods can access “raw affective responses” (particularly SRM) that are not directly accessible to language or conscious awareness [63,64,65,66,67,68] (Guo et al., 2022; Grillon & Baas, 2003; Morgan et al., 2003; Grillon &v Morgan, 1999; Patrick et al., 1993; Bradley et al., 1993). Furthermore, understanding discrepancies between what a patient reports about a feeling and what objective physiological or neural measures indicate could be key to understanding their condition. A feeling is a form of perception and perception is just a construct of the human psyche, a construct that can be wrong. For example, a patient might verbally deny feeling anxiety, but their physiological responses might tell a different story, revealing subconscious fear or distress. For individuals with alexithymia (i.e., difficulty identifying and describing what is usually labeled as emotions and here suggested to be called affections), this model provides a framework to understand this disorder as a disconnect between underlying affective processing and the ability to consciously label or communicate these states as adequate feelings. Objective measures of affective processing could be vital for diagnosis and tracking progress.\nIf affective processing primarily guides behavior at a basic level, interventions might need to move beyond purely cognitive–behavioral approaches to also address non-conscious affective learning and conditioning. Techniques like exposure therapy, which can modify non-conscious fear responses, align well with this. Therapists might need to differentiate between helping patients manage their observable “emotions” (e.g., reducing aggressive outbursts) versus helping them understand and regulate their underlying “affective processing”. The therapeutic strategy to regulate emotions could be well explained. Finally, certain neurological conditions might involve specific deficits in affective processing that are distinct from cognitive impairments. This opens avenues for early detection or targeted therapies and, of course, makes respective communication much more detailed and understandable. For example, Borderline Personality Disorder (BPD) is characterized by pervasive instability in mood, interpersonal relationships, self-image, and behavior [69,70] (APA, 2022; WHO, 2019). When one applies this paper’s precise definitions of affective processing, feelings, and emotions to BPD, we can gain a more nuanced understanding of the disorder’s core features, particularly its pervasive “affective” dysregulation. First, at the most fundamental level, individuals with BPD are theorized to have a biological vulnerability that leads to dysregulated or hyper-reactive affective processing. This means their subcortical brain system, including the amygdala among various other structures that are responsible for the initial, automatic evaluation of stimuli as threatening or rewarding, is often affected (see above chapter “Section 5”). Their affective processing can be hyper-sensitive. This means they detect and react to mainly negative stimuli more readily and intensely than neurotypical individuals, already at this completely non-conscious level. A subtle shift in a facial expression, or a slightly raised tone of voice can trigger an immediate, above-average neural response in the limbic system. So, for someone with BPD, their affective processing is like a highly sensitive and easily triggered alarm system, constantly on high alert, and slow to return to baseline. Second, the hyper-reactive affective processing directly translates into a cascade of neurotransmitter and hormone release, which in turn translates into intense, strong feelings. People with diagnosed BPD often struggle with the conscious cognitive process of accurately identifying, labeling, and understanding their feelings. This aligns with this paper’s idea to take out any cognitive aspect in the definition of the term emotion and its related terms. Any attempt to label (name) a feeling, even more so affective processing, is potentially affected by cognitive pollution [42] (see Walla et al., 2011). Third, the hyper-reactive neural responses, driven by dysregulated affective processing, manifest as problematic emotions, which are the observable behavioral outputs that can, as extreme versions, lead to impulsive and self-destructive behaviors or intense and inappropriate outbursts of anger-related behavior, which is an emotion in the sense of this paper. They might show idealizing behavior and then rapidly devaluating behavior, and this black and white splitting is emotional behavior according to the current proposed emotion model. In summary, applying the current model, BPD is a disorder rooted in a biologically vulnerable and hyper-sensitive system of subcortical affective processing. This results in dysregulated, impulsive, and often self-destructive emotions (behavioral outputs), and also leads to overwhelmingly intense, rapidly fluctuating, and often confusing feelings. This perspective emphasizes the bottom-up nature of affective dysregulation in BPD, from the earliest stages of neural processing to the subsequent behavioral responses and respective feelings.\n\n\n### 7.1.2. Other Implications\nFor fields relevant to User Experience (UX) and Design, the proposed emotion-model suggests going beyond explicit feedback. In designing user interfaces, software, or digital experiences, traditional methods like surveys and focus groups only capture explicit user feedback. The current model implies that the true affective impact (non-conscious liking/disliking, frustration, and engagement) occurs at a non-conscious level and is only accessible via objective technology. Understanding non-conscious affective processing is deemed more powerful in predicting actual user behavior (e.g., purchase decisions, engagement, and retention) than explicit self-reports.\nConsumer neuroscience, too, can profit from the current model. In the frame of implicit attitudes, the current model directly addresses the disconnect between explicit (self-reported) and implicit (non-conscious) attitudes towards brands or products. Consumers might say they like something, but their brain’s affective processing might indicate otherwise. Since affective processing is argued to guide behavior dominantly on a basic level, measuring these non-conscious responses (e.g., via SRM, EEG, and skin conductance) can provide a more accurate prediction of consumer choices than traditional market research.\nFor effective advertising, understanding how certain stimuli evoke specific non-conscious affective responses allows marketers to create more potent and persuasive advertising campaigns that tap into deeper, non-verbal drivers of behavior. Similarly, brand attitude formations are heavily influenced by affective components, which neuroscientific methods can help us to understand.\nFinally, applying this emotion model to non-human animals might help to provide better insight into the experienced world in organisms we cannot talk to, because the model provides simple definitions clearly separating sharp meanings of terms relevant to affection. Similarly to Occam’s razor, which was mentioned in the introduction, Morgan’s Canon is a principle in comparative psychology stating that you should not interpret an animal’s behavior as being the result of a complex, higher-level mental process (like reasoning or consciousness) if it can be adequately explained by a simpler, lower-level process (like instinct, learned associations, or trial-and-error) [71] (Anvari et al., 2025). In essence, our model offers a bridge for interpreting animal behavior in a way that aligns with Morgan’s Canon. It provides a scientific framework to explain actions via simpler, measurable brain activity or observable behavior, thus supporting the principle that we should avoid anthropomorphizing animals.\n\n\n### 8. Conclusions\nAddressing the problem of terminology in emotion research is crucial for advancing our understanding of how humans work. By developing a more precise and consistent language, we can improve the quality and replicability of research, facilitate interdisciplinary collaboration and communication, and ultimately gain a deeper understanding of the complex interplay between affection, cognition, and the behavior that those two important brain mechanisms guide.\nIn comparison to all other existing definitions of the term “emotion”, this paper suggests a completely different understanding, which arose in response to a still missing consensus that is seen as hindering further progress in the field of affective neuroscience and anything that is understood as “emotion research”. Dixon (2012) [8] mentioned that historians have long recognized the importance of keywords as both mirrors and motors of social and intellectual change [72,73] (Dixon, 2008; Williams, 1976). In particular, he wrote that “this is especially true in the realms of culture and thought, where new words, or new meanings attached to old ones, can create new concepts, and even new worldviews, which in turn transform people’s ability to imagine, experience, and understand themselves”. The current paper aims at giving the term “emotion” a new and very clear meaning, which is considered highly important.\nIt is herewith proposed to define “emotion” as an observable behavioral response that communicates an individual’s inner state (feeling). This means that an emotion is the outward expression—like a scared face or specific body language—that serves to signal to an observer how someone feels. It is thus further proposed to strictly separate an emotion from a feeling and from affective processing. Feelings are consciously felt bodily responses (fear is a feeling, not an emotion). They are the subjective, internal experiences that arise from affective processing, which is neural activity representing the most basic decision-making quality that guides human behavior. So, in the Walla-Emotion model, affective processing (i.e., neural activity) causes feelings (i.e., conscious bodily responses) and emotions (i.e., observable behaviors that communicate feelings). The most obvious difference to, more or less, all other understandings is that an emotion according to this model is nothing felt or experienced, it simply is understood as behavioral output.\nThe significance of this model is (i) the clarity of terminology (it aims to resolve the widespread ambiguity in how “affection,” “emotion,” and “feeling” are used interchangeably in scientific literature), (ii) the neurobiological basis (it emphasizes the distinct neural substrates, with subcortical areas responsible for affective processing and conscious awareness for feelings), (iii) the emphasis on communication (it highlights the social and communicative function of emotional displays (emotions as behavior)), and (iv) its implications for research by clearly separating these concepts, suggesting that researchers should use objective measures (e.g., physiological responses, brain imaging) for affective processing, and behavioral observation for emotions to complement or differentiate from subjective self-reports (for feelings). Finally, this emotion model will make any discussion about AI-driven emotion recognition very easy.", "domain": "affective_neuroscience"}
{"source": "PMC12463279", "title": "Agent-based persuasion model with concessions dependent on emotion and time beliefs", "text": "# Agent-based persuasion model with concessions dependent on emotion and time beliefs\n\n## Abstract\nAutomated negotiation agents require human-like adaptability in emotionally charged and time-constrained settings. This study introduces an Emotion-Time Dual-Process Framework that integrates the Appraisal Tendency Framework with dynamic temporal modeling. Emotions are decomposed into pleasantness and certainty dimensions and mapped to six emotional persuasion strategies. A variable-rate time function is designed to capture the perceptions of dynamic time pressure. Emotion and time pressure jointly drive a state-dependent concession updating model. The proposed framework was validated through a series of simulation experiments based on different scenarios. The results demonstrate that the proposed framework has significant advantages in improving negotiation success rates, joint utility, and outcome fairness against baseline models. In particular, incorporating emotional factors reduces utility disparity between parties by 28.55%, while the proposed time function improves negotiation efficiency by 12.99% without sacrificing fairness or the success rate. This study provides a theorical basis for developing highly more human-like and adaptive intelligent negotiation systems.\n\n## Full Text\n\n\n### 1. Introduction\nWith the rapid advancement of artificial intelligence (AI), agent-based automated negotiation systems have shown considerable potential across various business sectors [1,2]. AI-powered negotiating agents are designed to emulate human behaviors such as autonomy, initiative, collaboration, and dynamic adjustment, enabling them to autonomously perform predefined negotiation tasks in response to changes in the external environment [3,4]. Despite significant progress in existing research, challenges remain in enhancing the anthropomorphism of agents and the sophistication of their decision-making processes [5,6]. Future optimization efforts should focus on developing intelligent software that exhibits with negotiation capabilities comparable with humans to facilitate effective interactions. Considering that emotions are a critical attribute unique to humans and natural human-machine interactions can benefit from agents exhibiting emotional behavior [7,8], it is essential to incorporate emotional elements into agent-based persuasion [9]. Moreover, most human interactions are time-dependent, and individual attitudes toward time significantly impact the formulation of concessions that address negotiation time pressures [10–12]. Therefore, this research aims to enhance the modeling of the persuasive behavior of an agent in automated negotiation by emphasizing emotion and timing.\nRecent research has focused on modeling agents to reflect fundamental human mental states, by focusing on emotion [13,14]. Introducing emotions into agent-based persuasion is crucial, because emotions play a vital role in human interactions. Similarly, users have anthropomorphic expectations and requirements from agents during human–agent interactions [15]. Incorporating emotional components facilitates natural and effective interactions between agents and humans. Although agents lack emotions, they can be designed for specific roles. Defining role orientations and basic capabilities enables agents to exhibit emotional feedback behavior that enhances their personification as service-oriented entities. However, it is imperative to note that negotiation, similar to multi-round game interaction behavior, is inherently a multi-dimensional cognitive decision-making process. Therefore, negotiating agents should assess the benefits of current offers and engage in complex cognitive processes [16,17], such as risk prediction, attribution of responsibility for the intentions of the adversary, and the ongoing regulation of their sense of control in a dynamic environment. Existing studies [8] have demonstrated that human behavior results from the interplay between cognitive and emotional functions, and agents can generate and analyze emotions and their effects by simulating the human thinking mechanism, thereby accurately modeling human behavioral patterns driven by the interplay of cognition and emotion.\nConsiderable research has yielded valuable insights into the impact of emotions on decision making [18–22], with current studies primarily grounded in the concepts of valence-based [23] and appraisal tendency framework (ATF) theories [24]. Research based on emotional valence generally categorizes emotions as positive or negative [7,9], assuming that emotions with the same valence exert identical effects on decision-making processes. Specifically, positive emotions might lead individuals to make optimistic judgments, while negative emotions might induce pessimistic judgments. In contrast, the ATF emphasizes the relationship between emotions and cognitive processes. Based on this framework, emotional experience shapes the cognitive tendencies of an individual and influences the evaluation of the event through the core dimensions of appraisal associated with emotion, ultimately affecting decision-making behavior [25,26]. The ATF distinguishes between the heterogeneity of emotions within the same valence category by analyzing the cognitive evaluative dimensions, such as pleasantness, certainty, and control. While anxiety and anger are classified as negative emotions, anger is associated with high certainty, whereas anxiety is linked to low certainty [27]. Anger might result in external attributions of blame, potentially resulting in risk-taking behavior, while anxiety tends to evoke internal attributions of self-blame, prompting individuals to seek corrective action.\nIn emotionally charged negotiation scenarios, participants need to constantly balance factors such as pressure, expectations, risk perception, and responsibility attribution. Hence, the interaction between emotions and cognitive processes becomes especially significant [18,28]. While valence-based theories can explain the presence or absence of emotional effects, they fail to address the cognitive mechanisms underlying emotional influence, making it difficult to fully elucidate how emotions contribute to the development of negotiation strategies. In contrast, the ATF offers a dual advantage: it indicates whether emotions affect negotiation and elucidates the underlying mechanisms through which emotions influence negotiation behavior via cognitive dimensions. Consequently, the ATF provides a comprehensive theoretical framework and serves as a foundation for developing emotion-driven, human-like negotiation agents. Consequently, this study adopts the ATF as a theoretical framework to analyze the effect of real-time emotions on the persuasive strategy selection and negotiation behavior of an agent.\nThe modeling of concessions that can adapt to negotiation time constraints is a significant challenge in automated persuasion research [10,29,30]. Human interactions require time. During the negotiation process, both parties typically operate under time limitations; however, their cognition and understanding of negotiation time can differ markedly [11,12]. This perception of negotiation time can be conceptualized as an internal drive that influences the ability of individuals to regulate the pace of negotiations. For instance, a confident or patient negotiator might exhibit greater certainty and motivation to reach an agreement as the negotiation period progresses, whereas a less confident or impatient participant might prefer to finalize an agreement in a short period. In brief, time pressure exerts a universal influence, consistently motivating negotiators to achieve their objectives. Consequently, it is crucial to consider the attitude of the agent toward time as a key dimension of persuasion. Thus, we further extended the modeling of negotiating agents and improved the dynamic concession updating process of an agent by incorporating its time-related attitudes with the effects of fluctuations in the emotional state of the opponent.\nGiven the significant roles emotions and time attitudes play in automated negotiation, this paper addresses the following research questions: How can the cognitive evaluation dimensions of immediate emotions be effectively modeled based on ATF, and how can the impact of emotions on decision-making be analyzed accordingly? Furthermore, how can an agent integrate its emotional state and time beliefs to dynamically adjust its concession behavior across multiple rounds of negotiation, thereby enhancing both negotiation efficiency and outcome quality? To address these questions, we propose an agent-based persuasion model where concessions are influenced by emotional states and time beliefs. In summary, this study makes the following contributions to agent-based automated negotiation:\nThis study proposes a novel Emotion-Time Dual Driven Framework that advances automated negotiation by integrating two critical aspects of human negotiation behavior: emotional dynamics and temporal reasoning. The framework uniquely combines emotional appraisal mechanisms (based on the Appraisal Tendency Framework) with temporal belief modeling to guide negotiation strategies. Unlike existing approaches that consider either emotional factors or time pressure in isolation, our framework enables agents to simultaneously process emotional states and temporal beliefs in each negotiation round, leading to more sophisticated strategy adaptation. This integration provides agents with the capability to balance emotional influences with temporal constraints, more closely approximating human decision-making processes in real-world negotiations. The framework’s dual-input architecture establishes a foundation for developing more advanced negotiation agents that can exhibit both emotional intelligence and temporal awareness.\nThis study advances the state of automated negotiation by introducing a sophisticated emotion modeling approach based on the Appraisal Tendency Framework (ATF). Moving beyond traditional valence-based approaches that simply categorize emotions as positive or negative, this paper decomposes immediate emotions into two core cognitive dimensions—pleasantness and certainty. This dimensional decomposition enables agents to distinguish between emotions that share the same valence but differ in their cognitive implications. By establishing a systematic mapping from emotional states to cognitive appraisal patterns, we provide agents with a more nuanced understanding of emotional influences on negotiation behavior, significantly enhancing their ability to generate psychologically-grounded responses. This approach effectively integrates psychological theory with computational modeling, significantly enhancing the interpretability, adaptability, and human-likeness of negotiation agents in multi-round dynamic interactions.\nThis paper introduces a novel approach to temporal modeling in automated negotiation through a nonlinear variable-rate time function. Unlike traditional linear time models that are highly predictable and susceptible to exploitation, our approach captures the dynamic nature of perceived time pressure during negotiations. The variable-rate function enables agents to adjust their temporal reasoning based on negotiation progress, deadline proximity, and strategic considerations. This advancement addresses a significant limitation in existing negotiation systems, where rigid time models fail to reflect the complex temporal dynamics observed in human negotiations. Our model provides agents with more flexible and realistic temporal adaptation capabilities, contributing to more robust negotiation outcomes.\nThe rest of the paper is organized as follows: Section 2 describes a related theoretical background and gives a summary of the related work. Section 3 presents a description of the proposed model. Section 4 gives a model analysis. Numerical experiments are conducted in Section 5, which also reports the results of sensitive and comparative analyses. Section 6 discusses the theoretical implications, practical implications, and limitations. This paper is concluded in Section 7.\n\n\n### 2. Theoretical background and related literature\nNegotiation refers to a communication process between two or more parties aimed at reaching an agreement on a specific issue. Automated negotiation, on the other hand, involves the use of artificial intelligence agent mechanisms to automate this process [31,32]. The negotiation process is inherently complex, requiring consideration of various factors, such as the negotiation protocols [33] and time constraints [10]. Given the broad range of application scenarios for automated negotiation, the design of corresponding models incorporates a wide array of negotiation theories and technical approaches. Despite the diversity of research content, the primary issues in current studies can be categorized into three main areas [34]: (1) negotiation protocol, which defines the set of rules governing agent interactions; (2) negotiation issue, which encompasses the range of subjects on which the negotiating parties must reach an agreement; and (3) concession decision-making model, which refers to the model employed by agents to make dynamic concessions in accordance with the negotiation protocol and issue.\nThe relative importance of the three primary research questions mentioned above varies depending on the nature of the negotiation and the context in which it occurs. However, the agent’s concession decision-making model remains the central focus of research in this field. In decision modeling studies, the negotiation agreement does not prescribe an optimal strategy for the agent; rather, the agent must independently determine a decision framework and implement it using embedded decision-making methods. Based on the timeline of its development, current automatic negotiation models can be classified into four categories: game theory-based [35], argumentation-based [36], heuristic-based [37], and persuasion-based [38]. In recent years, with advancements in artificial intelligence technology and the increasing depth of related research, agent-based emotional persuasion [16] has emerged as a growing trend in automated negotiation studies.\nAt this stage, researchers are focused on developing more flexible and diverse emotional persuasion agent models to provide users with a more personalized, engaging, and efficient negotiation experience. However, a key challenge in this process is overcoming the limitations of current research to enable agents to more accurately simulate human emotions and emotion-driven behavioral strategies. This capability is essential for advancing the field of intelligent negotiation and is a primary focus of this study.\nAgent-based automated negotiation primarily involves programmed decision-making through the establishment of negotiation rules, strategies, and objectives. As such, decision theory occupies an important role in the study of automated negotiation, offering valuable frameworks for intelligent agents to make optimal decisions in complex, dynamic, and information-limited environments. This research mainly focuses on three key decision theories: utility theory, multi-attribute decision theory, and behavioral decision theory.\nUtility theory forms the foundation of automated negotiation [39]. Its central concept is that an individual’s decision-making preferences can be represented by a utility function, which assigns numerical values to various outcomes, thereby enabling the quantification of the relative value of different options. The utility function is the primary tool within utility theory, used to quantify and analyze the preferences of individuals when confronted with a set of alternatives, thus allowing negotiation agents to make informed decisions.\nMulti-attribute decision theory addresses the challenge of trade-offs in multi-objective conflicts encountered in automated negotiations [40]. The theory asserts that individuals evaluate different attributes when making decisions, assessing the utility of each option based on the relative significance of those attributes. This theory has garnered considerable attention due to its ability to provide a comprehensive framework for understanding human decision-making processes, which can help explain why individuals incorporate multiple factors in their decision-making and offer practical insights for addressing complex decision-making problems in real-world scenarios.\nBehavioral decision theory challenges traditional assumptions of rationality by integrating psychological bias models, such as the anchoring effect and loss aversion, to enhance the adaptability of human-computer interactions in automated negotiation systems. For instance, human negotiators are often influenced by initial offers, referred to as the anchor point, and prospect theory further quantifies the concept of “loss aversion,” explaining why negotiators exhibit reluctance to accept offers that fall below their psychological reference point. Moreover, emotion, as a complex psychological phenomenon, has long been acknowledged for its irreplaceable role in elucidating human behavioral motives and decision-making processes [28]. Consequently, this decision-making framework is particularly significant in contexts like customer service negotiations, where simulating human behavior is essential.\nIn summary, research on automated negotiation typically requires the integration of various decision-making theories. The selection of appropriate theories for practical applications depends on the specific negotiation scenario. For instance, competitive negotiations often emphasize game theory, while collaborative negotiations, such as those explored in this study, usually rely more on theories like utility theory, multi-attribute decision theory, and behavioral decision theory. These theories serve as tactical tools to quantify interests, manage trade-offs, and correct biases.\nEmotional persuasion is a development arising from traditional automated negotiation, integrating theories such as emotion, persuasion psychology, and belief modification into the negotiation process. This research is based on a non-completely competitive negotiation, where buyers and sellers do not have a completely adversarial relationship in the negotiation process. Instead, they demonstrate a certain willingness to cooperate and negotiate with the desire to achieve mutual benefit. The focus of this research is to create a persuasion pattern by equipping the agent with human attributes. This enables the negotiation parties to better understand the implications of the information obtained during the interaction and complements rationality to achieve strategic effects. Related studies have primarily focused on examining the critical role of emotions in negotiation processes or investigating the effects of different emotional states on strategic choices by modeling the emotions of agents [21,22,41].\nThe immediate emotions frequently examined in emotional persuasion research include joy, happiness, gratification, anticipation, anxiety, disappointment, sadness, and anger [7,9,20]. These emotions are recognized as key factors influencing agent behavior during negotiations. For instance, Raghunathan et al. [42] discussed how emotional states of similar valence can have distinct but predictable effects on decision-making. Specifically, sadness tends to drive individuals toward high-risk, high-reward options, whereas anxiety typically leads to the selection of low-risk, low-reward alternatives. In contrast, Van Kleef et al. [43] investigated the interpersonal effects of anger and happiness in negotiations through three experiments. Their findings revealed a significant interaction between emotional experience and emotional expression, which in turn influenced the behavior of opponents. Furthermore, an empirical study by Zeelenberg et al. [25] found that specific emotions, such as disappointment and regret, have a direct impact on individuals’ behavioral responses (e.g., complaints or grievances). While these studies offer valuable empirical support for the role of emotions in automated negotiation, the majority of current research still focuses on theoretical assumptions and experimental analyses, and there are still significant shortcomings in the design of agents and implementation of strategies for emotional influence. In particular, further theoretical advancement and model refinement are urgently needed in terms of how to transform specific emotions effectively into computable mechanisms of agent behavior.\nAs research in emotional persuasion progresses, Wu et al. [7] began exploring the impact of extreme emotions (e.g., happiness vs. anger) in the modeling of emotionally persuasive agents, building on prior empirical studies. They argued that happiness typically encourages agents to adopt positive and cooperative strategies, whereas anger tends to provoke more aggressive or defensive approaches. Building on this foundation, Wang et al. [9] further expanded the emotion categories to include a range of moderate-intensity emotions such as hope, gratitude, and disappointment, and developed models that guide agents’ decision-making based on the intensity of these emotions. However, these studies still predominantly employ a valence-based framework, which classifies emotions by their general positivity or negativity to inform strategy generation. A key limitation of this kind of approach is its failure to account for the fact that the impact of emotions on decision-making behavior is highly contingent on the individual’s cognitive appraisal of the situation. As outlined in the Appraisal Tendency Framework, distinct emotions arise from different cognitive appraisal processes, and these processes shape how emotions influence judgments and behavioral choices in specific contexts. Consequently, further disaggregating emotions into specific cognitive dimensions can construct more adaptive models of emotional persuasion, offering greater explanatory power than traditional valence-based methods.\nIn light of the above analysis, this paper tries to address the limitations of traditional emotion modeling methods, which typically rely on a unidimensional view of emotion valence, by integrating the Appraisal Tendency Framework. Specifically, this study aims to decompose immediate emotions into their key cognitive dimensions and establish a mapping between emotional states and persuasion strategies based on these dimensions. The goal is to facilitate more rational strategy selection and behavioral responses in emotion-driven negotiation contexts.\nThe Appraisal Tendency Framework (ATF), proposed by Lerner and Keltner [24], serves as a foundation for differentiating the effects of specific emotions on judgment and decision-making processes. According to the framework, distinct emotions trigger unique motivational processes, thereby elucidating the impact of each emotion type on decision-making outcomes. In the context of emotional persuasion, this framework suggests that an individual’s emotional response to a proposal influences their decision-making behavior (i.e., emotional persuasion strategy) through distinct cognitive appraisal tendencies, such as perceptions of certainty and pleasantness. Among the various prominent theories of cognitive appraisal, the theory proposed by Smith and Ellsworth [27] is particularly useful for our current concerns. According to the classic experiments of Smith and Ellsworth, all emotions could be described using a basic framework consisting of six cognitive dimensions: certainty, pleasantness, attentional activity, control, anticipated effort, and responsibility. These dimensions help to define and distinguish each discrete emotion, as well as to shape its possible influence on judgment and decision-making based on the ATF. However, the selection of cognitive dimensions when applying the Appraisal Tendency Framework largely depends on the specific research objectives and the context of practical application.\nResearch on emotional persuasion highlights the pivotal role of emotions and their impact in automated negotiation interactions [9,20,41]. In multi-round negotiations, emotional persuasion strategies often depend on the immediacy and intensity of emotional responses, while the certainty of the negotiation environment plays a crucial role in decision-making, particularly under time pressure. Importantly, it should be emphasized that in the context of business negotiation, emotions do not directly determine the choice of persuasion strategies. Instead, consistent with the core proposition of the ATF, emotions influence persuasion behavior by shaping the agent’s cognitive appraisal tendencies. That is, specific emotions trigger corresponding shifts in how individuals perceive certainty, pleasantness, control, and responsibility, which in turn affect their behavioral tendencies.\nFor instance, anger is typically viewed as a highly negative and high-certainty emotion, often linked to external attributions of blame [43]. The appraisals associated with anger—such as perceived certainty or control —promote confrontational tendencies, leading negotiators to adopt threat-based strategies. In such cases, the objective extends beyond reaching an agreement to include “suppressing” or dominating the opposing party through emotionally driven actions. Conversely, joy is generally associated with high pleasantness and certainty. When individuals experience joy, they tend to exhibit greater awareness of the current situation and a higher level of confidence in the negotiation process, which fosters cooperation and a win-win mindset [7]. These differentiated behavioral responses stem not directly from the emotions themselves, but from the distinct cognitive appraisals that each emotion activates.\nIn summary, this paper proposes combining the characteristics of emotional persuasion research with the understanding that emotions can be deconstructed into cognitive dimensions. By activating specific evaluative dimensions, such as pleasantness and certainty, corresponding decision-making modes can be triggered, thereby constructing a mapping from cognition to emotional persuasion strategy selection based on the Appraisal Tendency Framework.\nTime is an essential element of negotiation. Most major reviews of the negotiation literature include time as a key variable [10]. There is evidence that time pressure can exacerbate any existing motivations in negotiations. That is, time pressure may be a double-edged sword, sometimes promoting cooperation and sometimes exacerbating hostility [44]. Pressure from time can have a universal influence on negotiation, for example, affecting the choice of negotiation strategies as well as basic psychological processes such as cognition and emotion [45].\nIn addition to the pressure from the respective deadlines of the negotiating parties, their attitudes toward time can affect the negotiation process in different ways. Firstly, the negotiators’ emotions constantly change according to the update of the other party’s proposal, and the update of the proposal takes time, so it is self-evident that the time factor affects the emotional persuasion process [29,30]. Secondly, negotiators have an objective cognitive bias towards time [46]. For instance, some negotiators may regard personal deadlines as a disadvantage, while others do the opposite, so that people with different cognitive tendencies may also adopt different time strategies in the same negotiation environment. In view of the above, both this disposition towards time and the actual deadline itself strongly influences the negotiation outcome. However, most existing models of an agent’s temporal attitudes are linear functions, and the gradient of the linear function is constant, which makes the agent’s concession strategy vulnerable to the adversary’s perception. Therefore, in this work, we construct a time function with a varying rate of change to describe the time pressure perceived by negotiators as the negotiation stage changes, so as to avoid their time-based concession behavior being detected.\n\n\n### 2.1 Automated negotiation\nNegotiation refers to a communication process between two or more parties aimed at reaching an agreement on a specific issue. Automated negotiation, on the other hand, involves the use of artificial intelligence agent mechanisms to automate this process [31,32]. The negotiation process is inherently complex, requiring consideration of various factors, such as the negotiation protocols [33] and time constraints [10]. Given the broad range of application scenarios for automated negotiation, the design of corresponding models incorporates a wide array of negotiation theories and technical approaches. Despite the diversity of research content, the primary issues in current studies can be categorized into three main areas [34]: (1) negotiation protocol, which defines the set of rules governing agent interactions; (2) negotiation issue, which encompasses the range of subjects on which the negotiating parties must reach an agreement; and (3) concession decision-making model, which refers to the model employed by agents to make dynamic concessions in accordance with the negotiation protocol and issue.\nThe relative importance of the three primary research questions mentioned above varies depending on the nature of the negotiation and the context in which it occurs. However, the agent’s concession decision-making model remains the central focus of research in this field. In decision modeling studies, the negotiation agreement does not prescribe an optimal strategy for the agent; rather, the agent must independently determine a decision framework and implement it using embedded decision-making methods. Based on the timeline of its development, current automatic negotiation models can be classified into four categories: game theory-based [35], argumentation-based [36], heuristic-based [37], and persuasion-based [38]. In recent years, with advancements in artificial intelligence technology and the increasing depth of related research, agent-based emotional persuasion [16] has emerged as a growing trend in automated negotiation studies.\nAt this stage, researchers are focused on developing more flexible and diverse emotional persuasion agent models to provide users with a more personalized, engaging, and efficient negotiation experience. However, a key challenge in this process is overcoming the limitations of current research to enable agents to more accurately simulate human emotions and emotion-driven behavioral strategies. This capability is essential for advancing the field of intelligent negotiation and is a primary focus of this study.\n\n\n### 2.2 Decision theory in automated negotiation\nAgent-based automated negotiation primarily involves programmed decision-making through the establishment of negotiation rules, strategies, and objectives. As such, decision theory occupies an important role in the study of automated negotiation, offering valuable frameworks for intelligent agents to make optimal decisions in complex, dynamic, and information-limited environments. This research mainly focuses on three key decision theories: utility theory, multi-attribute decision theory, and behavioral decision theory.\nUtility theory forms the foundation of automated negotiation [39]. Its central concept is that an individual’s decision-making preferences can be represented by a utility function, which assigns numerical values to various outcomes, thereby enabling the quantification of the relative value of different options. The utility function is the primary tool within utility theory, used to quantify and analyze the preferences of individuals when confronted with a set of alternatives, thus allowing negotiation agents to make informed decisions.\nMulti-attribute decision theory addresses the challenge of trade-offs in multi-objective conflicts encountered in automated negotiations [40]. The theory asserts that individuals evaluate different attributes when making decisions, assessing the utility of each option based on the relative significance of those attributes. This theory has garnered considerable attention due to its ability to provide a comprehensive framework for understanding human decision-making processes, which can help explain why individuals incorporate multiple factors in their decision-making and offer practical insights for addressing complex decision-making problems in real-world scenarios.\nBehavioral decision theory challenges traditional assumptions of rationality by integrating psychological bias models, such as the anchoring effect and loss aversion, to enhance the adaptability of human-computer interactions in automated negotiation systems. For instance, human negotiators are often influenced by initial offers, referred to as the anchor point, and prospect theory further quantifies the concept of “loss aversion,” explaining why negotiators exhibit reluctance to accept offers that fall below their psychological reference point. Moreover, emotion, as a complex psychological phenomenon, has long been acknowledged for its irreplaceable role in elucidating human behavioral motives and decision-making processes [28]. Consequently, this decision-making framework is particularly significant in contexts like customer service negotiations, where simulating human behavior is essential.\nIn summary, research on automated negotiation typically requires the integration of various decision-making theories. The selection of appropriate theories for practical applications depends on the specific negotiation scenario. For instance, competitive negotiations often emphasize game theory, while collaborative negotiations, such as those explored in this study, usually rely more on theories like utility theory, multi-attribute decision theory, and behavioral decision theory. These theories serve as tactical tools to quantify interests, manage trade-offs, and correct biases.\n\n\n### 2.3 Emotional persuasion\nEmotional persuasion is a development arising from traditional automated negotiation, integrating theories such as emotion, persuasion psychology, and belief modification into the negotiation process. This research is based on a non-completely competitive negotiation, where buyers and sellers do not have a completely adversarial relationship in the negotiation process. Instead, they demonstrate a certain willingness to cooperate and negotiate with the desire to achieve mutual benefit. The focus of this research is to create a persuasion pattern by equipping the agent with human attributes. This enables the negotiation parties to better understand the implications of the information obtained during the interaction and complements rationality to achieve strategic effects. Related studies have primarily focused on examining the critical role of emotions in negotiation processes or investigating the effects of different emotional states on strategic choices by modeling the emotions of agents [21,22,41].\nThe immediate emotions frequently examined in emotional persuasion research include joy, happiness, gratification, anticipation, anxiety, disappointment, sadness, and anger [7,9,20]. These emotions are recognized as key factors influencing agent behavior during negotiations. For instance, Raghunathan et al. [42] discussed how emotional states of similar valence can have distinct but predictable effects on decision-making. Specifically, sadness tends to drive individuals toward high-risk, high-reward options, whereas anxiety typically leads to the selection of low-risk, low-reward alternatives. In contrast, Van Kleef et al. [43] investigated the interpersonal effects of anger and happiness in negotiations through three experiments. Their findings revealed a significant interaction between emotional experience and emotional expression, which in turn influenced the behavior of opponents. Furthermore, an empirical study by Zeelenberg et al. [25] found that specific emotions, such as disappointment and regret, have a direct impact on individuals’ behavioral responses (e.g., complaints or grievances). While these studies offer valuable empirical support for the role of emotions in automated negotiation, the majority of current research still focuses on theoretical assumptions and experimental analyses, and there are still significant shortcomings in the design of agents and implementation of strategies for emotional influence. In particular, further theoretical advancement and model refinement are urgently needed in terms of how to transform specific emotions effectively into computable mechanisms of agent behavior.\nAs research in emotional persuasion progresses, Wu et al. [7] began exploring the impact of extreme emotions (e.g., happiness vs. anger) in the modeling of emotionally persuasive agents, building on prior empirical studies. They argued that happiness typically encourages agents to adopt positive and cooperative strategies, whereas anger tends to provoke more aggressive or defensive approaches. Building on this foundation, Wang et al. [9] further expanded the emotion categories to include a range of moderate-intensity emotions such as hope, gratitude, and disappointment, and developed models that guide agents’ decision-making based on the intensity of these emotions. However, these studies still predominantly employ a valence-based framework, which classifies emotions by their general positivity or negativity to inform strategy generation. A key limitation of this kind of approach is its failure to account for the fact that the impact of emotions on decision-making behavior is highly contingent on the individual’s cognitive appraisal of the situation. As outlined in the Appraisal Tendency Framework, distinct emotions arise from different cognitive appraisal processes, and these processes shape how emotions influence judgments and behavioral choices in specific contexts. Consequently, further disaggregating emotions into specific cognitive dimensions can construct more adaptive models of emotional persuasion, offering greater explanatory power than traditional valence-based methods.\nIn light of the above analysis, this paper tries to address the limitations of traditional emotion modeling methods, which typically rely on a unidimensional view of emotion valence, by integrating the Appraisal Tendency Framework. Specifically, this study aims to decompose immediate emotions into their key cognitive dimensions and establish a mapping between emotional states and persuasion strategies based on these dimensions. The goal is to facilitate more rational strategy selection and behavioral responses in emotion-driven negotiation contexts.\n\n\n### 2.4 The ATF in emotional persuasion\nThe Appraisal Tendency Framework (ATF), proposed by Lerner and Keltner [24], serves as a foundation for differentiating the effects of specific emotions on judgment and decision-making processes. According to the framework, distinct emotions trigger unique motivational processes, thereby elucidating the impact of each emotion type on decision-making outcomes. In the context of emotional persuasion, this framework suggests that an individual’s emotional response to a proposal influences their decision-making behavior (i.e., emotional persuasion strategy) through distinct cognitive appraisal tendencies, such as perceptions of certainty and pleasantness. Among the various prominent theories of cognitive appraisal, the theory proposed by Smith and Ellsworth [27] is particularly useful for our current concerns. According to the classic experiments of Smith and Ellsworth, all emotions could be described using a basic framework consisting of six cognitive dimensions: certainty, pleasantness, attentional activity, control, anticipated effort, and responsibility. These dimensions help to define and distinguish each discrete emotion, as well as to shape its possible influence on judgment and decision-making based on the ATF. However, the selection of cognitive dimensions when applying the Appraisal Tendency Framework largely depends on the specific research objectives and the context of practical application.\nResearch on emotional persuasion highlights the pivotal role of emotions and their impact in automated negotiation interactions [9,20,41]. In multi-round negotiations, emotional persuasion strategies often depend on the immediacy and intensity of emotional responses, while the certainty of the negotiation environment plays a crucial role in decision-making, particularly under time pressure. Importantly, it should be emphasized that in the context of business negotiation, emotions do not directly determine the choice of persuasion strategies. Instead, consistent with the core proposition of the ATF, emotions influence persuasion behavior by shaping the agent’s cognitive appraisal tendencies. That is, specific emotions trigger corresponding shifts in how individuals perceive certainty, pleasantness, control, and responsibility, which in turn affect their behavioral tendencies.\nFor instance, anger is typically viewed as a highly negative and high-certainty emotion, often linked to external attributions of blame [43]. The appraisals associated with anger—such as perceived certainty or control —promote confrontational tendencies, leading negotiators to adopt threat-based strategies. In such cases, the objective extends beyond reaching an agreement to include “suppressing” or dominating the opposing party through emotionally driven actions. Conversely, joy is generally associated with high pleasantness and certainty. When individuals experience joy, they tend to exhibit greater awareness of the current situation and a higher level of confidence in the negotiation process, which fosters cooperation and a win-win mindset [7]. These differentiated behavioral responses stem not directly from the emotions themselves, but from the distinct cognitive appraisals that each emotion activates.\nIn summary, this paper proposes combining the characteristics of emotional persuasion research with the understanding that emotions can be deconstructed into cognitive dimensions. By activating specific evaluative dimensions, such as pleasantness and certainty, corresponding decision-making modes can be triggered, thereby constructing a mapping from cognition to emotional persuasion strategy selection based on the Appraisal Tendency Framework.\n\n\n### 2.5 Time in dynamic persuasion\nTime is an essential element of negotiation. Most major reviews of the negotiation literature include time as a key variable [10]. There is evidence that time pressure can exacerbate any existing motivations in negotiations. That is, time pressure may be a double-edged sword, sometimes promoting cooperation and sometimes exacerbating hostility [44]. Pressure from time can have a universal influence on negotiation, for example, affecting the choice of negotiation strategies as well as basic psychological processes such as cognition and emotion [45].\nIn addition to the pressure from the respective deadlines of the negotiating parties, their attitudes toward time can affect the negotiation process in different ways. Firstly, the negotiators’ emotions constantly change according to the update of the other party’s proposal, and the update of the proposal takes time, so it is self-evident that the time factor affects the emotional persuasion process [29,30]. Secondly, negotiators have an objective cognitive bias towards time [46]. For instance, some negotiators may regard personal deadlines as a disadvantage, while others do the opposite, so that people with different cognitive tendencies may also adopt different time strategies in the same negotiation environment. In view of the above, both this disposition towards time and the actual deadline itself strongly influences the negotiation outcome. However, most existing models of an agent’s temporal attitudes are linear functions, and the gradient of the linear function is constant, which makes the agent’s concession strategy vulnerable to the adversary’s perception. Therefore, in this work, we construct a time function with a varying rate of change to describe the time pressure perceived by negotiators as the negotiation stage changes, so as to avoid their time-based concession behavior being detected.\n\n\n### 3. The description of the proposed model\nThis paper addresses the problem of bilateral negotiations in the procurement environment, where both parties can negotiate over a range of product attributes. Each negotiating product attribute belongs to either a benefit type or a cost type, and the product attribute’s type depends on the position of an agent. The negotiation scenario can be a machine-to-machine interaction or a machine-to-human negotiation. In this paper, we concentrate on how to introduce human emotions and time beliefs into agent-based persuasive automated negotiation, i.e., we attempt to design a concession updating algorithm that considers agents’ emotion and time-related persuasion behavior with the goal of achieving better negotiation outcomes, including improved efficiency, fairness, and social welfare.\nIn this study, automated negotiation is modeled as a complete negotiation episode, comprising multiple consecutive negotiation rounds. Each round is considered an independent “sub-phase,” during which the agent generates emotions, evaluates the situation cognitively, and makes strategic decisions based on real-time perceptions of the environment. To address this, we propose a state-dependent concession updating algorithm designed to dynamically adjust the agent’s proposal behavior during each negotiation round. The algorithm operates on a round-by-round basis, with time as the unit of measurement, and integrates two critical state variables: the agent’s emotional state and its temporal attitude.\nFirst, when an agent receives a proposal from the opponent in a negotiation round, it generates an emotional response based on its internal emotion-generation model. This emotion arises from the deviation between the agent’s subjective assessment of the opponent’s current proposal and its expected value. This moment is the specific time emphasized by the ATF theory—namely, the critical cognitive window in which emotions influence judgment and decision-making. The model focuses on the immediate emotional impact on decision-making during each round, rather than modeling the cumulative evolution of emotions throughout the entire negotiation process.\nSecond, the role of time in negotiation behavior is critical. An agent’s subjective attitude toward time (e.g., urgency or patience) can influence the magnitude of its eventual concessions by affecting expectations, risk assessments, and motivational dispositions. Previous studies have also demonstrated that time beliefs in negotiation activate various psychological and motivational mechanisms [10], which significantly influence negotiation behavior [12]. As such, time attitudes are incorporated into our model’s state-dependent update function as a key variable affecting the adjustment of emotional persuasion and concession strategies.\nIn the modeling process, emotional factors and temporal factors are considered independently. This design is consistent with cognitive load theory [47]: when handling complex tasks, humans tend to process different types of information through separate cognitive systems. In negotiation contexts, emotional evaluation primarily reflects the agent’s immediate reaction to the opponent’s proposal, while temporal evaluation captures the agent’s subjective perception of the negotiation pace and its concession adjustments. Based on these differentiated characteristics, this study adopts a relatively independent modeling approach for the two factors. This not only ensures computational efficiency but also enhances theoretical interpretability.\nAs such, a concession in this paper is believed to have three components: the effect of the agent’s emotional state, the effect of the agent’s time perception, and the basic concession magnitude. The former two effects are modeled to adjust the concession magnitude to arrive at a new concession step each round. To more clearly illustrate how these mechanisms impact agent decisions in multiple rounds of emotion-driven negotiation, we present the concessions dependent on the emotion and time beliefs framework (see Fig 1). This framework explicitly demonstrates how the agent dynamically adjusts the concession magnitude and generates the updated proposal in each round by incorporating immediate emotional responses and perceptions of time.\nTo validate the proposed model, this paper adopts a comprehensive research approach that integrates both qualitative and quantitative methods. The qualitative component employs agent-based modeling and logical deduction to examine the underlying mechanisms of concession behavior in automated negotiation. Specifically, it investigates how key cognitive dimensions influence the selection of emotional persuasion strategies within the Appraisal Tendency Framework. The quantitative component systematically evaluates and compares the model’s performance across various multi-dimensional indices, including negotiation success rate, joint utility, utility disparity, and negotiation efficiency. This evaluation is conducted through simulation, statistical analysis, and case studies, aiming to quantitatively assess the model’s validity, applicability, and its comparative advantage in real-world negotiation contexts.\nIn addition, the key variables and notations involved in the modeling process are summarized in Table 1. It should be noted that the methods and experiments in this paper do not involve human participants or animals.\nBased on the theory of the Appraisal Tendency Framework, we establish an emotional persuasion concession strategy selection model that considers an agent’s two core cognitive dimensions, namely, certainty and pleasantness. Specifically, this section first describes the utility function applied in this paper, and then, generate an emotional response within the negotiation process. Next, it models and quantifies the agent’s dimensions of certainty and pleasantness. Finally, the agent’s current emotion is assessed cognitively using the ATF, which informs the selection and adjustment of emotional persuasion strategies based on these core appraisal dimensions.\nThe utility is regarded as the satisfaction level that the focal agent gets from the opponent’s offer in the current round. In this paper, we focus on a bilateral multi-attribute negotiation with different attribute types. In a multi-attribute negotiation, an agent’s total utility is the weighted sum of the utilities of each individual attribute and the agent would like to make the total utility as large as possible. However, due to the agent’s position in negotiation, e.g., the buyer or the seller, the utility of an individual attribute may be positively or negatively related to the attribute value. As such, each attribute can be classified as either a benefit type or a cost type [48,49]. An agent will get more utility from a larger value of a benefit-type attribute. By contrast, an agent will get more utility from a smaller value of a cost-type attribute. For example, a buyer agent views the price as a cost-type attribute, whereas a seller agent views it as a benefit-type attribute.\nAssume that a buyer agent and a seller agent are involved in a negotiation. The focal negotiation agent’s utility considers its initial and reserved offers for the negotiation attributes, as well as the opponent’s offers for the current round. When the focal agent receives a proposal including the opponent agent’s proposed value for each negotiating attribute, the focal agent i (i = “buyer” or “seller”) will get a utility of Uit.\nCombined with the classification of negotiation attributes, the agent i ’s utility Uit can be calculated in terms of (1)and(2):\nwhere wik represents the weight that agent i assigns to attribute k\n(k=1,2,⋯,n), and uik represents agent i ’s utility of the opponent agent’s proposed value xk on attribute k. Besides, x¯k and x―k are the attribute’s corresponding maximum and minimum values.\nIn agent-based automated negotiation, an agent will inevitably face varying degrees of uncertainty generated by the opponent’s behavior, and in order to reduce this uncertainty, i.e., enhance certainty, it is necessary to select the most trustworthy agent from a large pool of potential candidate agents. Therefore, an agent’s certainty dimension in this paper is measured by the level of its trust. Trust is the premise of an agent’s persuasion and measures the degree to which the agent can be relied on to conduct transactions [50]. Ramchurn et al. [17] endowed agents with decision making models that exploit the notion of trust and persuasive techniques during the negotiation process to reduce the level of uncertainty and achieve better deals in the long run. Generally speaking, the certainty of an agent is largely constrained by the limited cognition and future direction of action, whereas trust can motivate an agent to obtain the bond of connection and stable support in the uncertain environment, thus enhancing certainty [51]. For example, if an agent holds a high level of trust in the opponent agent, it will believe that the opponent agent will behave consistently and can handle contingencies well during the negotiation, and accordingly the agent will perceive a high level of certainty in the negotiation.\nThis paper adopts the rating method to model an agent’s trust, i.e., the certainty dimension. Rating is the most commonly used trust level modeling method in intelligent negotiation [52,53]. In specific, we denote an agent’s trustworthiness as Ci∈[0,1]. Divide Ci into 3 levels and the cut-off points are denoted as c1, c2 in an increasing order. They correspond to fuzzy intervals of high, middle, and low trust levels, which can best characterize the agent’s trust level in uncertain environments. The values of c1 and c2 can be determined with reference to [16], which employs the Naive Bayes algorithm to classify trust relationships into high, medium, and low levels, yielding a generalized classification standard. Table 2 displays the division of the ratings.\nAs another kind of agent’s core appraisal dimension for emotion generation, pleasantness can be identified as a feeling caused by external stimuli [54]. Assume that a buyer agent and a seller agent are involved in a negotiation. When receiving a proposal that includes the opponent agent’s proposed value for each negotiating attribute, the focal agent i (i = “buyer” or “seller”) will get a real utility of Uit.Meanwhile, agent i can also get an expected utility of Ui′t because it has an expected deal value for each negotiating attribute. The deviation of Uit from Ui′t can be viewed as the stimuli which leads to agent i ’s generation of pleasantness. The positive deviation implies that the proposal exceeds agent i ’s expectation and positive pleasantness will consequently be generated. Conversely, the negative deviation implies that the proposal cannot meet the agent’s expectation and accordingly negative pleasantness will be generated.\nWe use the intensity of pleasantness to characterize the strength of an agent’s pleasantness. Here, the Weber-Fechner Law is applied to depict an agent’s intensity of pleasantness by the following(3):\nwhere km is a scale coefficient, and the function tanh(·) is used to normalize the value of Eit to be in (−1,1).\nThe Weber-Fechner Law originally describes a relationship between a human’s perception of a stimulus and the stimulus’ physical strength [55]. Under this law, a human’s perception of a stimulus varies with the logarithm of the ratio of the physical strength of the stimulus to a threshold that the stimulus has to overcome to be perceived. An agent’s pleasantness resulting from the comparison between its utility of the opponent agent’s proposal (i.e., the actual utility) and the focal agent’s expected utility follows this law. The more the actual utility deviates from the expected one, the more strength of positive or negative pleasantness an agent will perceive. When the actual utility firstly surpasses or falls behind the expected one, an agent will be most sensitive to the difference and thus perceive the largest change in the strength of pleasantness. As the difference enlarges, an agent will be insensitive to the difference and as a result the perceived change in the strength of pleasantness will tail off.\nIn this paper, we adopt the emotion generation method based on the core affect theory proposed by Wu et al. [16] as the intrinsic emotion generation model for the negotiation agent. This model is used to generate the agent’s real-time emotion during each negotiation round. According to Wu et al. [16], the intrinsic emotion generation model quantifies the emotions of the agent along two dimensions: the value dimension and the arousal dimension. Specifically, these dimensions are assessed through the agent’s subjective evaluation of two factors: the direct stimulus from the opponent’s proposal and the activation level of the agent itself. This model enables the emotional modeling of the agent’s current state, thereby providing the agent with a distinctive emotional experience.\nAccording to Wu et al.‘s study, once the agent is activated, it enters an aroused state in the context of automated negotiation. Therefore, the emotion of the negotiating agent is primarily influenced by its subjective evaluation of the opponent’s offer. This evaluation, denoted as Oi(t), is derived by comparing agent i’s expected offer to the actual offer received from opponent j. The corresponding formula for this calculation is as follows:\nwhere Pi∧(t) represents Agent i’s expected offer in round t, and Pj(t) denotes the actual offer made by opponent j in round t. Based on this, the basic emotion generation function ei(t) of the agent in round t, as proposed by Wu et al. [16], can be derived and is calculated as follows:\nHerein, Oi(t) represents the subjective evaluation generated by the agent based on the negotiation interaction stimuli, and σi denotes the activation level. While emotions are inherently continuous, to facilitate computational modeling in behavior, Wu et al. further mapped the agent’s emotional state to the six basic emotional expressions identified by Ekman [56]. These six basic emotions, spanning from negative to positive, are primarily employed to enhance emotional expressiveness and anthropomorphism during agent interactions.\nHowever, at the level of strategic behavior, some of the basic emotions identified by Ekman et al. do not, on their own, provide significant guidance for adjustments to specific emotional persuasion strategies. Consequently, building on the empirical analysis of emotions in negotiation contexts from existing studies, we adapted the original emotion system to include a set of emotions that are more immediate and strategy-directed in the context of emotional persuasion research. These emotions—anger, disappointment, anxiety, anticipation, gratification, and joy—are characterized by stronger immediate reactivity and greater differentiation in cognitive evaluation dimensions, making them more suitable for analyzing the impact of emotions on agents’ persuasive strategy choices.\nIn the negotiation process, emotional persuasion is widely acknowledged as a crucial strategy that can significantly influence the behavior of the opposing party [43,57]. One party may initiate emotional persuasion by leveraging emotional expressions to encourage the other party to make concessions in its favor. Conversely, the opposing party may respond with counter-proposals through responsive emotional expression. In this interactive process, we introduce the Appraisal Tendency Framework, which focuses on analyzing immediate emotional responses during each round of negotiation and further decomposes these emotions into their core cognitive appraisal dimensions, providing a foundation for the dynamic adjustment of emotional persuasion strategies [58].\nAs outlined in Section 3.2.4, during the negotiation process, the agent’s internal emotion model generates real-time emotional responses based on the discrepancy between the opponent’s proposal and the agent’s expectations. These immediate emotions include anger, disappointment, anxiety, anticipation, gratification, and joy. These emotional reactions not only reflect the agent’s response to the negotiation dynamics but also serve as critical factors that influence strategy selection and concession behavior. According to the ATF, once emotions are activated, a series of cognitive tendencies are triggered, prompting the agent to evaluate the current and future negotiation scenarios based on the appraisal dimensions involved, thereby shaping their strategic decision-making behavior.\nOn this basis, this paper maps the six emotions outlined above to the two key cognitive dimensions of the ATF: pleasantness and certainty. It then analyzes these emotions within a two-dimensional cognitive space. For example, anger typically represents an emotion with highly negative pleasantness and high certainty, often accompanied by strong aggressive tendencies. In contrast, anxiety, characterized by lower negative pleasantness and low certainty, tends to involve internal attributions and is typically non-aggressive. Furthermore, although both joy and gratification are positive emotions, joy is associated with a higher degree of certainty, making it more likely to promote cooperative and trusting behaviors. Variations in the distribution of these emotions across the pleasantness and certainty dimensions help predict differing behavioral tendencies in negotiation decisions.\nTo enhance the mapping between emotions and behavioral strategies, we extend the basic persuasion strategies used in the existing literature [20,59] to a total of six types: reward type, appeal type, analog type, explanatory type, complaint type, and threat type. The definition of each type is given as follows:\nThe threat-type persuasion is defined as that an agent forces the opponent agent to make concessions via valid threats.\nThe complaint-type persuasion refers to that an agent persuades the other party by its own difficulties and sufferings.\nThe explanatory-type persuasion is defined as that an agent explains its proposal and expounds its reasons for the proposal.\nThe appeal-type persuasion means that an agent persuades the opponent agent by calling for both parties to follow historical behavior or current popular practices.\nThe analog-type persuasion refers to that an agent shows the merits of its proposal by comparing its proposal with the opponent’s.\nThe reward-type persuasion refers to that an agent encourages the opponent agent to make concessions by promising to give the latter a certain reward.\nTo theoretically justify the mapping between specific emotions and corresponding persuasion strategies, we draw on findings from psychology and communication research. Anger is considered a highly negative and high-certainty emotion, typically linked to external attribution of blame. It tends to trigger approach-oriented and confrontational behaviors, making it particularly aligned with threat-based persuasion strategies [60,61]. Disappointment is associated with increased sensitivity to loss, a desire for compensation, and the expression of dissatisfaction, which corresponds well to complaint-type strategies that emphasize personal hardship and grievance [62]. Anxiety, rooted in low certainty and internal attribution, induces risk aversion and a strong desire for clarity [63]. Therefore, explanatory strategies that provide justification and reduce ambiguity are most suitable in anxious states. Anticipation, which reflects a forward-looking focus on potential rewards under uncertain conditions [64], is best supported by appeal-type strategies that invoke historical cooperation and social norms to foster trust and stability [65]. Gratification, as a moderately positive and cooperative emotion, encourages consensus-seeking behavior and fits well with analogical strategies that emphasize comparative advantage and rational evaluation [66]. Lastly, joy, often characterized by high pleasantness and high certainty, enhances openness and willingness to compromise, thereby aligning naturally with reward-based persuasion strategies aimed at building mutual trust and benefit [43].\nBuilding on the analysis above and combined with the ATF theory, the paper constructs a three-layer mapping mechanism, progressing from emotions to cognitive dimensions, and subsequently to strategy matching. The proposed model essentially represents a continuous emotion-to-continuous strategy mapping framework, where the intensity of emotional states can lead to nuanced strategy adaptations. For example, anger may range from mild to intense, potentially triggering a spectrum of threat-based strategies from subtle warnings to overt confrontation. However, to enhance interpretability and operational clarity, this study adopts a discrete approximation of this mechanism—mapping identifiable emotional states to representative persuasive strategies. Table 3 summarizes this mapping, outlining the characteristics of six emotions in the cognitive dimension space, their associated decision-making tendencies, and the corresponding emotional persuasion strategies.\nIn summary, based on the ATF, when the agent perceives the current proposal positively and the negotiation environment exhibits a certain degree of certainty, the agent is more likely to adopt a positive and friendly emotional persuasion strategy. In contrast, when the agent’s value perception is negative and the environment is characterized by greater certainty, the agent is more inclined to employ aggressive, pressure-driven strategies, with the aim of enhancing negotiation control or exerting greater influence on the counterpart. Generally, the use of a positive emotional strategy indicates the agent’s greater willingness to cooperate and a propensity to make more concessions. In contrast, the adoption of highly negative emotional strategies signals a lack of genuine willingness to cooperate and a tendency to make fewer concessions [43].\nConsider the case where a buyer agent and a seller agent are engaged in negotiation about attribute k\n(k=1,2,⋯,K). An agent’s offer cannot be accepted by the opponent agent unless the offered value is within the latter agent’s acceptable ranges. Because of the concessions made by both agents, the acceptable ranges are changed round by round. Assume Pi,k(n)max and Pi,k(n)min to be the maximum value and the minimum value of the range acceptable to agent i(i=sorb) in the n−th round, where s and b stand for the seller and the buyer, respectively. A necessary condition for a negotiation to reach consensus is that Pi,k(n)max and Pi,k(n)min are non-increasing and non-decreasing in n, respectively. In fact, the two boundaries can take the values of the seller agent’s and the buyer agent’s proposals. For example, for a benefit-type attribute, Ps,k(n)max is xs,k(n), which is the seller agent’s proposal in the n−th round and Ps,kmin(n) is xb,k(n), which is the buyer agent’s proposal.\nHere, an added value is defined as an increment for each new proposal compared to the boundary value of the proposal. For example, let P(n+1)k* represent the attribute value when the persuasion is successful in the (n+1)−th round, and then, compared to the first proposal, an agent can get an added value ri,k(n+1) from attribute k by equation (6).\nGiven that the negotiation is successful, the worst value that an agent can obtain on attribute k is Pi,k(1)min if this attribute is a cost-type. Since the consensus value is not larger than the worst one, the difference can be viewed as the agent’s reward. Similarly, if attribute k is a benefit-type, the worst value that the agent can obtain is Pi,k(1)max. Since the consensus value is not smaller than the worst one, the agent can obtain this difference as the added value. At the end of the n−th round, an agent has a belief of the consensus value of attribute k which belongs to [Pi,k(n)min,Pi,k(n)max] for the next round. Then, the agent’s expected added value Qi,k(n+1) if the negotiation is successful in the (n+1)−th round is formulated as(7).\nwhere pi,k(x) is the density function of the agent’s belief of the consensus value of attribute k. The agent takes this expected reward as the basic concession magnitude for the next-round offer. As such, the basic concession magnitude can be dynamically changed as persuasion proceeds.\nWhen emotional persuasion is triggered, the buyer (seller) agent will also perceive the other party’s emotional persuasion when receiving the other party’s proposal. Therefore, the buyer (seller) agent’s concessions will be affected by the other party’s emotional persuasion. The degree of this influence denoted as α is called the emotional persuasion factor.\nHere we give an example to illustrate this process. According to the selection rules of emotional persuasion strategies in Table 3, an agent can generate corresponding emotional persuasion strategies based on their two cognitive dimensions (i.e., certainty and pleasantness). But depending on the role (buyer or seller agent), an agent has its own sensitivity to the opponent’s expression of emotions, i.e., the emotional persuasion factor α. Before the negotiation starts, the certainty dimension can be obtained by trust rating, i.e., the certainty level of both parties is public information. When the negotiation is in progress, the agent can calculate the opponent’s pleasantness dimension by taking the opponent’s first round offer as the opponent’s expected value and combining it with its latest offer. Then, the agent will complete the detection of the opponent’s emotional strategy based on its own cognitive system (the Appraisal Tendency Framework). Finally, the focal agent makes a concession based on the detection results. For example, when the focal agent senses a possible threat strategy from the adversary, indicating that the opponent’s sincerity of cooperation is already low, the focal agent may continue to reduce its concessions; but if a possible complaint strategy is detected from the adversary, the focal agent may make more concessions to pacify the opponent (i.e., to avoid making the opponent more frustrated).\nThis paper constructs a time function with a non-constant rate of change by analyzing the negotiator’s time-based concession attitudes. An agent’s time beliefs have previously been mainly modeled in three forms [29,30,67]: a fixed constant, a linear increase, and a linear decrease in the rounds of negotiation. The first form indicates that the degree of compromise in an agent’s concession is a constant. The second form indicates that the degree of compromise in an agent’s concession gradually increases, and the third form indicates that the magnitude of an agent’s concession gradually decreases. It is obvious that the latter two forms of time beliefs are an improvement over the first form. Nevertheless, the linear time function is easily detectable by the adversary during the concession process. The time function with a changing rate proposed by this paper can reduce this limitation to a certain extent. Meanwhile, this proposed time function can capture how a negotiator’s perceived time pressure varies with the stages of the negotiation in a real-world scenario.\nIn making concessions, an agent may adopt a tentative attitude in the initial rounds of negotiation and accordingly may choose a relatively small concession; after a while, in order to reach an agreement as soon as possible, the agent may select a large concession. On the contrary, an agent may select a large concession in the initial rounds; as the persuasion proceeds and the negotiation approaches an agreement, the agent may reduce the concession. Based on the above analysis and existing studies [29,30], we consider the dynamic change of an agent’s attitude toward time pressure at different stages of negotiation and thus construct the time function fi(n) to characterize the above two timing-related persuasion behavior.\nwhere e is the natural constant, Ti represents the maximum number of rounds of negotiation set by the buyer agent or seller agent, and βi and Γi are both individual parameters representing the actual preferences of various agents. The flexibility in adjusting parameter βi empowers agents to customize the rate of change of the time function according to their personal preferences. The parameter Γi can also be flexibly adjusted to allow the agent to adjust the initial concession benchmark according to individual preferences. Assuming βi = 1 and Γi = 0.5, Fig 2 illustrates the tendency of concessions over time for agents with different time attitudes under different negotiation time limits.\nTo present the concession process more clearly, the corresponding pseudocode is provided in Table 4.\n\n\n### 3.1 Model framework\nIn this study, automated negotiation is modeled as a complete negotiation episode, comprising multiple consecutive negotiation rounds. Each round is considered an independent “sub-phase,” during which the agent generates emotions, evaluates the situation cognitively, and makes strategic decisions based on real-time perceptions of the environment. To address this, we propose a state-dependent concession updating algorithm designed to dynamically adjust the agent’s proposal behavior during each negotiation round. The algorithm operates on a round-by-round basis, with time as the unit of measurement, and integrates two critical state variables: the agent’s emotional state and its temporal attitude.\nFirst, when an agent receives a proposal from the opponent in a negotiation round, it generates an emotional response based on its internal emotion-generation model. This emotion arises from the deviation between the agent’s subjective assessment of the opponent’s current proposal and its expected value. This moment is the specific time emphasized by the ATF theory—namely, the critical cognitive window in which emotions influence judgment and decision-making. The model focuses on the immediate emotional impact on decision-making during each round, rather than modeling the cumulative evolution of emotions throughout the entire negotiation process.\nSecond, the role of time in negotiation behavior is critical. An agent’s subjective attitude toward time (e.g., urgency or patience) can influence the magnitude of its eventual concessions by affecting expectations, risk assessments, and motivational dispositions. Previous studies have also demonstrated that time beliefs in negotiation activate various psychological and motivational mechanisms [10], which significantly influence negotiation behavior [12]. As such, time attitudes are incorporated into our model’s state-dependent update function as a key variable affecting the adjustment of emotional persuasion and concession strategies.\nIn the modeling process, emotional factors and temporal factors are considered independently. This design is consistent with cognitive load theory [47]: when handling complex tasks, humans tend to process different types of information through separate cognitive systems. In negotiation contexts, emotional evaluation primarily reflects the agent’s immediate reaction to the opponent’s proposal, while temporal evaluation captures the agent’s subjective perception of the negotiation pace and its concession adjustments. Based on these differentiated characteristics, this study adopts a relatively independent modeling approach for the two factors. This not only ensures computational efficiency but also enhances theoretical interpretability.\nAs such, a concession in this paper is believed to have three components: the effect of the agent’s emotional state, the effect of the agent’s time perception, and the basic concession magnitude. The former two effects are modeled to adjust the concession magnitude to arrive at a new concession step each round. To more clearly illustrate how these mechanisms impact agent decisions in multiple rounds of emotion-driven negotiation, we present the concessions dependent on the emotion and time beliefs framework (see Fig 1). This framework explicitly demonstrates how the agent dynamically adjusts the concession magnitude and generates the updated proposal in each round by incorporating immediate emotional responses and perceptions of time.\nTo validate the proposed model, this paper adopts a comprehensive research approach that integrates both qualitative and quantitative methods. The qualitative component employs agent-based modeling and logical deduction to examine the underlying mechanisms of concession behavior in automated negotiation. Specifically, it investigates how key cognitive dimensions influence the selection of emotional persuasion strategies within the Appraisal Tendency Framework. The quantitative component systematically evaluates and compares the model’s performance across various multi-dimensional indices, including negotiation success rate, joint utility, utility disparity, and negotiation efficiency. This evaluation is conducted through simulation, statistical analysis, and case studies, aiming to quantitatively assess the model’s validity, applicability, and its comparative advantage in real-world negotiation contexts.\nIn addition, the key variables and notations involved in the modeling process are summarized in Table 1. It should be noted that the methods and experiments in this paper do not involve human participants or animals.\n\n\n### 3.2 Emotional persuasion strategy selection modeling\nBased on the theory of the Appraisal Tendency Framework, we establish an emotional persuasion concession strategy selection model that considers an agent’s two core cognitive dimensions, namely, certainty and pleasantness. Specifically, this section first describes the utility function applied in this paper, and then, generate an emotional response within the negotiation process. Next, it models and quantifies the agent’s dimensions of certainty and pleasantness. Finally, the agent’s current emotion is assessed cognitively using the ATF, which informs the selection and adjustment of emotional persuasion strategies based on these core appraisal dimensions.\nThe utility is regarded as the satisfaction level that the focal agent gets from the opponent’s offer in the current round. In this paper, we focus on a bilateral multi-attribute negotiation with different attribute types. In a multi-attribute negotiation, an agent’s total utility is the weighted sum of the utilities of each individual attribute and the agent would like to make the total utility as large as possible. However, due to the agent’s position in negotiation, e.g., the buyer or the seller, the utility of an individual attribute may be positively or negatively related to the attribute value. As such, each attribute can be classified as either a benefit type or a cost type [48,49]. An agent will get more utility from a larger value of a benefit-type attribute. By contrast, an agent will get more utility from a smaller value of a cost-type attribute. For example, a buyer agent views the price as a cost-type attribute, whereas a seller agent views it as a benefit-type attribute.\nAssume that a buyer agent and a seller agent are involved in a negotiation. The focal negotiation agent’s utility considers its initial and reserved offers for the negotiation attributes, as well as the opponent’s offers for the current round. When the focal agent receives a proposal including the opponent agent’s proposed value for each negotiating attribute, the focal agent i (i = “buyer” or “seller”) will get a utility of Uit.\nCombined with the classification of negotiation attributes, the agent i ’s utility Uit can be calculated in terms of (1)and(2):\nwhere wik represents the weight that agent i assigns to attribute k\n(k=1,2,⋯,n), and uik represents agent i ’s utility of the opponent agent’s proposed value xk on attribute k. Besides, x¯k and x―k are the attribute’s corresponding maximum and minimum values.\nIn agent-based automated negotiation, an agent will inevitably face varying degrees of uncertainty generated by the opponent’s behavior, and in order to reduce this uncertainty, i.e., enhance certainty, it is necessary to select the most trustworthy agent from a large pool of potential candidate agents. Therefore, an agent’s certainty dimension in this paper is measured by the level of its trust. Trust is the premise of an agent’s persuasion and measures the degree to which the agent can be relied on to conduct transactions [50]. Ramchurn et al. [17] endowed agents with decision making models that exploit the notion of trust and persuasive techniques during the negotiation process to reduce the level of uncertainty and achieve better deals in the long run. Generally speaking, the certainty of an agent is largely constrained by the limited cognition and future direction of action, whereas trust can motivate an agent to obtain the bond of connection and stable support in the uncertain environment, thus enhancing certainty [51]. For example, if an agent holds a high level of trust in the opponent agent, it will believe that the opponent agent will behave consistently and can handle contingencies well during the negotiation, and accordingly the agent will perceive a high level of certainty in the negotiation.\nThis paper adopts the rating method to model an agent’s trust, i.e., the certainty dimension. Rating is the most commonly used trust level modeling method in intelligent negotiation [52,53]. In specific, we denote an agent’s trustworthiness as Ci∈[0,1]. Divide Ci into 3 levels and the cut-off points are denoted as c1, c2 in an increasing order. They correspond to fuzzy intervals of high, middle, and low trust levels, which can best characterize the agent’s trust level in uncertain environments. The values of c1 and c2 can be determined with reference to [16], which employs the Naive Bayes algorithm to classify trust relationships into high, medium, and low levels, yielding a generalized classification standard. Table 2 displays the division of the ratings.\nAs another kind of agent’s core appraisal dimension for emotion generation, pleasantness can be identified as a feeling caused by external stimuli [54]. Assume that a buyer agent and a seller agent are involved in a negotiation. When receiving a proposal that includes the opponent agent’s proposed value for each negotiating attribute, the focal agent i (i = “buyer” or “seller”) will get a real utility of Uit.Meanwhile, agent i can also get an expected utility of Ui′t because it has an expected deal value for each negotiating attribute. The deviation of Uit from Ui′t can be viewed as the stimuli which leads to agent i ’s generation of pleasantness. The positive deviation implies that the proposal exceeds agent i ’s expectation and positive pleasantness will consequently be generated. Conversely, the negative deviation implies that the proposal cannot meet the agent’s expectation and accordingly negative pleasantness will be generated.\nWe use the intensity of pleasantness to characterize the strength of an agent’s pleasantness. Here, the Weber-Fechner Law is applied to depict an agent’s intensity of pleasantness by the following(3):\nwhere km is a scale coefficient, and the function tanh(·) is used to normalize the value of Eit to be in (−1,1).\nThe Weber-Fechner Law originally describes a relationship between a human’s perception of a stimulus and the stimulus’ physical strength [55]. Under this law, a human’s perception of a stimulus varies with the logarithm of the ratio of the physical strength of the stimulus to a threshold that the stimulus has to overcome to be perceived. An agent’s pleasantness resulting from the comparison between its utility of the opponent agent’s proposal (i.e., the actual utility) and the focal agent’s expected utility follows this law. The more the actual utility deviates from the expected one, the more strength of positive or negative pleasantness an agent will perceive. When the actual utility firstly surpasses or falls behind the expected one, an agent will be most sensitive to the difference and thus perceive the largest change in the strength of pleasantness. As the difference enlarges, an agent will be insensitive to the difference and as a result the perceived change in the strength of pleasantness will tail off.\nIn this paper, we adopt the emotion generation method based on the core affect theory proposed by Wu et al. [16] as the intrinsic emotion generation model for the negotiation agent. This model is used to generate the agent’s real-time emotion during each negotiation round. According to Wu et al. [16], the intrinsic emotion generation model quantifies the emotions of the agent along two dimensions: the value dimension and the arousal dimension. Specifically, these dimensions are assessed through the agent’s subjective evaluation of two factors: the direct stimulus from the opponent’s proposal and the activation level of the agent itself. This model enables the emotional modeling of the agent’s current state, thereby providing the agent with a distinctive emotional experience.\nAccording to Wu et al.‘s study, once the agent is activated, it enters an aroused state in the context of automated negotiation. Therefore, the emotion of the negotiating agent is primarily influenced by its subjective evaluation of the opponent’s offer. This evaluation, denoted as Oi(t), is derived by comparing agent i’s expected offer to the actual offer received from opponent j. The corresponding formula for this calculation is as follows:\nwhere Pi∧(t) represents Agent i’s expected offer in round t, and Pj(t) denotes the actual offer made by opponent j in round t. Based on this, the basic emotion generation function ei(t) of the agent in round t, as proposed by Wu et al. [16], can be derived and is calculated as follows:\nHerein, Oi(t) represents the subjective evaluation generated by the agent based on the negotiation interaction stimuli, and σi denotes the activation level. While emotions are inherently continuous, to facilitate computational modeling in behavior, Wu et al. further mapped the agent’s emotional state to the six basic emotional expressions identified by Ekman [56]. These six basic emotions, spanning from negative to positive, are primarily employed to enhance emotional expressiveness and anthropomorphism during agent interactions.\nHowever, at the level of strategic behavior, some of the basic emotions identified by Ekman et al. do not, on their own, provide significant guidance for adjustments to specific emotional persuasion strategies. Consequently, building on the empirical analysis of emotions in negotiation contexts from existing studies, we adapted the original emotion system to include a set of emotions that are more immediate and strategy-directed in the context of emotional persuasion research. These emotions—anger, disappointment, anxiety, anticipation, gratification, and joy—are characterized by stronger immediate reactivity and greater differentiation in cognitive evaluation dimensions, making them more suitable for analyzing the impact of emotions on agents’ persuasive strategy choices.\nIn the negotiation process, emotional persuasion is widely acknowledged as a crucial strategy that can significantly influence the behavior of the opposing party [43,57]. One party may initiate emotional persuasion by leveraging emotional expressions to encourage the other party to make concessions in its favor. Conversely, the opposing party may respond with counter-proposals through responsive emotional expression. In this interactive process, we introduce the Appraisal Tendency Framework, which focuses on analyzing immediate emotional responses during each round of negotiation and further decomposes these emotions into their core cognitive appraisal dimensions, providing a foundation for the dynamic adjustment of emotional persuasion strategies [58].\nAs outlined in Section 3.2.4, during the negotiation process, the agent’s internal emotion model generates real-time emotional responses based on the discrepancy between the opponent’s proposal and the agent’s expectations. These immediate emotions include anger, disappointment, anxiety, anticipation, gratification, and joy. These emotional reactions not only reflect the agent’s response to the negotiation dynamics but also serve as critical factors that influence strategy selection and concession behavior. According to the ATF, once emotions are activated, a series of cognitive tendencies are triggered, prompting the agent to evaluate the current and future negotiation scenarios based on the appraisal dimensions involved, thereby shaping their strategic decision-making behavior.\nOn this basis, this paper maps the six emotions outlined above to the two key cognitive dimensions of the ATF: pleasantness and certainty. It then analyzes these emotions within a two-dimensional cognitive space. For example, anger typically represents an emotion with highly negative pleasantness and high certainty, often accompanied by strong aggressive tendencies. In contrast, anxiety, characterized by lower negative pleasantness and low certainty, tends to involve internal attributions and is typically non-aggressive. Furthermore, although both joy and gratification are positive emotions, joy is associated with a higher degree of certainty, making it more likely to promote cooperative and trusting behaviors. Variations in the distribution of these emotions across the pleasantness and certainty dimensions help predict differing behavioral tendencies in negotiation decisions.\nTo enhance the mapping between emotions and behavioral strategies, we extend the basic persuasion strategies used in the existing literature [20,59] to a total of six types: reward type, appeal type, analog type, explanatory type, complaint type, and threat type. The definition of each type is given as follows:\nThe threat-type persuasion is defined as that an agent forces the opponent agent to make concessions via valid threats.\nThe complaint-type persuasion refers to that an agent persuades the other party by its own difficulties and sufferings.\nThe explanatory-type persuasion is defined as that an agent explains its proposal and expounds its reasons for the proposal.\nThe appeal-type persuasion means that an agent persuades the opponent agent by calling for both parties to follow historical behavior or current popular practices.\nThe analog-type persuasion refers to that an agent shows the merits of its proposal by comparing its proposal with the opponent’s.\nThe reward-type persuasion refers to that an agent encourages the opponent agent to make concessions by promising to give the latter a certain reward.\nTo theoretically justify the mapping between specific emotions and corresponding persuasion strategies, we draw on findings from psychology and communication research. Anger is considered a highly negative and high-certainty emotion, typically linked to external attribution of blame. It tends to trigger approach-oriented and confrontational behaviors, making it particularly aligned with threat-based persuasion strategies [60,61]. Disappointment is associated with increased sensitivity to loss, a desire for compensation, and the expression of dissatisfaction, which corresponds well to complaint-type strategies that emphasize personal hardship and grievance [62]. Anxiety, rooted in low certainty and internal attribution, induces risk aversion and a strong desire for clarity [63]. Therefore, explanatory strategies that provide justification and reduce ambiguity are most suitable in anxious states. Anticipation, which reflects a forward-looking focus on potential rewards under uncertain conditions [64], is best supported by appeal-type strategies that invoke historical cooperation and social norms to foster trust and stability [65]. Gratification, as a moderately positive and cooperative emotion, encourages consensus-seeking behavior and fits well with analogical strategies that emphasize comparative advantage and rational evaluation [66]. Lastly, joy, often characterized by high pleasantness and high certainty, enhances openness and willingness to compromise, thereby aligning naturally with reward-based persuasion strategies aimed at building mutual trust and benefit [43].\nBuilding on the analysis above and combined with the ATF theory, the paper constructs a three-layer mapping mechanism, progressing from emotions to cognitive dimensions, and subsequently to strategy matching. The proposed model essentially represents a continuous emotion-to-continuous strategy mapping framework, where the intensity of emotional states can lead to nuanced strategy adaptations. For example, anger may range from mild to intense, potentially triggering a spectrum of threat-based strategies from subtle warnings to overt confrontation. However, to enhance interpretability and operational clarity, this study adopts a discrete approximation of this mechanism—mapping identifiable emotional states to representative persuasive strategies. Table 3 summarizes this mapping, outlining the characteristics of six emotions in the cognitive dimension space, their associated decision-making tendencies, and the corresponding emotional persuasion strategies.\nIn summary, based on the ATF, when the agent perceives the current proposal positively and the negotiation environment exhibits a certain degree of certainty, the agent is more likely to adopt a positive and friendly emotional persuasion strategy. In contrast, when the agent’s value perception is negative and the environment is characterized by greater certainty, the agent is more inclined to employ aggressive, pressure-driven strategies, with the aim of enhancing negotiation control or exerting greater influence on the counterpart. Generally, the use of a positive emotional strategy indicates the agent’s greater willingness to cooperate and a propensity to make more concessions. In contrast, the adoption of highly negative emotional strategies signals a lack of genuine willingness to cooperate and a tendency to make fewer concessions [43].\n\n\n### 3.2.1 Agent’s utility function.\nThe utility is regarded as the satisfaction level that the focal agent gets from the opponent’s offer in the current round. In this paper, we focus on a bilateral multi-attribute negotiation with different attribute types. In a multi-attribute negotiation, an agent’s total utility is the weighted sum of the utilities of each individual attribute and the agent would like to make the total utility as large as possible. However, due to the agent’s position in negotiation, e.g., the buyer or the seller, the utility of an individual attribute may be positively or negatively related to the attribute value. As such, each attribute can be classified as either a benefit type or a cost type [48,49]. An agent will get more utility from a larger value of a benefit-type attribute. By contrast, an agent will get more utility from a smaller value of a cost-type attribute. For example, a buyer agent views the price as a cost-type attribute, whereas a seller agent views it as a benefit-type attribute.\nAssume that a buyer agent and a seller agent are involved in a negotiation. The focal negotiation agent’s utility considers its initial and reserved offers for the negotiation attributes, as well as the opponent’s offers for the current round. When the focal agent receives a proposal including the opponent agent’s proposed value for each negotiating attribute, the focal agent i (i = “buyer” or “seller”) will get a utility of Uit.\nCombined with the classification of negotiation attributes, the agent i ’s utility Uit can be calculated in terms of (1)and(2):\nwhere wik represents the weight that agent i assigns to attribute k\n(k=1,2,⋯,n), and uik represents agent i ’s utility of the opponent agent’s proposed value xk on attribute k. Besides, x¯k and x―k are the attribute’s corresponding maximum and minimum values.\n\n\n### 3.2.2 Agent’s certainty dimension.\nIn agent-based automated negotiation, an agent will inevitably face varying degrees of uncertainty generated by the opponent’s behavior, and in order to reduce this uncertainty, i.e., enhance certainty, it is necessary to select the most trustworthy agent from a large pool of potential candidate agents. Therefore, an agent’s certainty dimension in this paper is measured by the level of its trust. Trust is the premise of an agent’s persuasion and measures the degree to which the agent can be relied on to conduct transactions [50]. Ramchurn et al. [17] endowed agents with decision making models that exploit the notion of trust and persuasive techniques during the negotiation process to reduce the level of uncertainty and achieve better deals in the long run. Generally speaking, the certainty of an agent is largely constrained by the limited cognition and future direction of action, whereas trust can motivate an agent to obtain the bond of connection and stable support in the uncertain environment, thus enhancing certainty [51]. For example, if an agent holds a high level of trust in the opponent agent, it will believe that the opponent agent will behave consistently and can handle contingencies well during the negotiation, and accordingly the agent will perceive a high level of certainty in the negotiation.\nThis paper adopts the rating method to model an agent’s trust, i.e., the certainty dimension. Rating is the most commonly used trust level modeling method in intelligent negotiation [52,53]. In specific, we denote an agent’s trustworthiness as Ci∈[0,1]. Divide Ci into 3 levels and the cut-off points are denoted as c1, c2 in an increasing order. They correspond to fuzzy intervals of high, middle, and low trust levels, which can best characterize the agent’s trust level in uncertain environments. The values of c1 and c2 can be determined with reference to [16], which employs the Naive Bayes algorithm to classify trust relationships into high, medium, and low levels, yielding a generalized classification standard. Table 2 displays the division of the ratings.\n\n\n### 3.2.3 Agent’s pleasantness dimension.\nAs another kind of agent’s core appraisal dimension for emotion generation, pleasantness can be identified as a feeling caused by external stimuli [54]. Assume that a buyer agent and a seller agent are involved in a negotiation. When receiving a proposal that includes the opponent agent’s proposed value for each negotiating attribute, the focal agent i (i = “buyer” or “seller”) will get a real utility of Uit.Meanwhile, agent i can also get an expected utility of Ui′t because it has an expected deal value for each negotiating attribute. The deviation of Uit from Ui′t can be viewed as the stimuli which leads to agent i ’s generation of pleasantness. The positive deviation implies that the proposal exceeds agent i ’s expectation and positive pleasantness will consequently be generated. Conversely, the negative deviation implies that the proposal cannot meet the agent’s expectation and accordingly negative pleasantness will be generated.\nWe use the intensity of pleasantness to characterize the strength of an agent’s pleasantness. Here, the Weber-Fechner Law is applied to depict an agent’s intensity of pleasantness by the following(3):\nwhere km is a scale coefficient, and the function tanh(·) is used to normalize the value of Eit to be in (−1,1).\nThe Weber-Fechner Law originally describes a relationship between a human’s perception of a stimulus and the stimulus’ physical strength [55]. Under this law, a human’s perception of a stimulus varies with the logarithm of the ratio of the physical strength of the stimulus to a threshold that the stimulus has to overcome to be perceived. An agent’s pleasantness resulting from the comparison between its utility of the opponent agent’s proposal (i.e., the actual utility) and the focal agent’s expected utility follows this law. The more the actual utility deviates from the expected one, the more strength of positive or negative pleasantness an agent will perceive. When the actual utility firstly surpasses or falls behind the expected one, an agent will be most sensitive to the difference and thus perceive the largest change in the strength of pleasantness. As the difference enlarges, an agent will be insensitive to the difference and as a result the perceived change in the strength of pleasantness will tail off.\n\n\n### 3.2.4 Agent’s emotion generation.\nIn this paper, we adopt the emotion generation method based on the core affect theory proposed by Wu et al. [16] as the intrinsic emotion generation model for the negotiation agent. This model is used to generate the agent’s real-time emotion during each negotiation round. According to Wu et al. [16], the intrinsic emotion generation model quantifies the emotions of the agent along two dimensions: the value dimension and the arousal dimension. Specifically, these dimensions are assessed through the agent’s subjective evaluation of two factors: the direct stimulus from the opponent’s proposal and the activation level of the agent itself. This model enables the emotional modeling of the agent’s current state, thereby providing the agent with a distinctive emotional experience.\nAccording to Wu et al.‘s study, once the agent is activated, it enters an aroused state in the context of automated negotiation. Therefore, the emotion of the negotiating agent is primarily influenced by its subjective evaluation of the opponent’s offer. This evaluation, denoted as Oi(t), is derived by comparing agent i’s expected offer to the actual offer received from opponent j. The corresponding formula for this calculation is as follows:\nwhere Pi∧(t) represents Agent i’s expected offer in round t, and Pj(t) denotes the actual offer made by opponent j in round t. Based on this, the basic emotion generation function ei(t) of the agent in round t, as proposed by Wu et al. [16], can be derived and is calculated as follows:\nHerein, Oi(t) represents the subjective evaluation generated by the agent based on the negotiation interaction stimuli, and σi denotes the activation level. While emotions are inherently continuous, to facilitate computational modeling in behavior, Wu et al. further mapped the agent’s emotional state to the six basic emotional expressions identified by Ekman [56]. These six basic emotions, spanning from negative to positive, are primarily employed to enhance emotional expressiveness and anthropomorphism during agent interactions.\nHowever, at the level of strategic behavior, some of the basic emotions identified by Ekman et al. do not, on their own, provide significant guidance for adjustments to specific emotional persuasion strategies. Consequently, building on the empirical analysis of emotions in negotiation contexts from existing studies, we adapted the original emotion system to include a set of emotions that are more immediate and strategy-directed in the context of emotional persuasion research. These emotions—anger, disappointment, anxiety, anticipation, gratification, and joy—are characterized by stronger immediate reactivity and greater differentiation in cognitive evaluation dimensions, making them more suitable for analyzing the impact of emotions on agents’ persuasive strategy choices.\n\n\n### 3.2.5 Emotional persuasion strategy selection based on the ATF.\nIn the negotiation process, emotional persuasion is widely acknowledged as a crucial strategy that can significantly influence the behavior of the opposing party [43,57]. One party may initiate emotional persuasion by leveraging emotional expressions to encourage the other party to make concessions in its favor. Conversely, the opposing party may respond with counter-proposals through responsive emotional expression. In this interactive process, we introduce the Appraisal Tendency Framework, which focuses on analyzing immediate emotional responses during each round of negotiation and further decomposes these emotions into their core cognitive appraisal dimensions, providing a foundation for the dynamic adjustment of emotional persuasion strategies [58].\nAs outlined in Section 3.2.4, during the negotiation process, the agent’s internal emotion model generates real-time emotional responses based on the discrepancy between the opponent’s proposal and the agent’s expectations. These immediate emotions include anger, disappointment, anxiety, anticipation, gratification, and joy. These emotional reactions not only reflect the agent’s response to the negotiation dynamics but also serve as critical factors that influence strategy selection and concession behavior. According to the ATF, once emotions are activated, a series of cognitive tendencies are triggered, prompting the agent to evaluate the current and future negotiation scenarios based on the appraisal dimensions involved, thereby shaping their strategic decision-making behavior.\nOn this basis, this paper maps the six emotions outlined above to the two key cognitive dimensions of the ATF: pleasantness and certainty. It then analyzes these emotions within a two-dimensional cognitive space. For example, anger typically represents an emotion with highly negative pleasantness and high certainty, often accompanied by strong aggressive tendencies. In contrast, anxiety, characterized by lower negative pleasantness and low certainty, tends to involve internal attributions and is typically non-aggressive. Furthermore, although both joy and gratification are positive emotions, joy is associated with a higher degree of certainty, making it more likely to promote cooperative and trusting behaviors. Variations in the distribution of these emotions across the pleasantness and certainty dimensions help predict differing behavioral tendencies in negotiation decisions.\nTo enhance the mapping between emotions and behavioral strategies, we extend the basic persuasion strategies used in the existing literature [20,59] to a total of six types: reward type, appeal type, analog type, explanatory type, complaint type, and threat type. The definition of each type is given as follows:\nThe threat-type persuasion is defined as that an agent forces the opponent agent to make concessions via valid threats.\nThe complaint-type persuasion refers to that an agent persuades the other party by its own difficulties and sufferings.\nThe explanatory-type persuasion is defined as that an agent explains its proposal and expounds its reasons for the proposal.\nThe appeal-type persuasion means that an agent persuades the opponent agent by calling for both parties to follow historical behavior or current popular practices.\nThe analog-type persuasion refers to that an agent shows the merits of its proposal by comparing its proposal with the opponent’s.\nThe reward-type persuasion refers to that an agent encourages the opponent agent to make concessions by promising to give the latter a certain reward.\nTo theoretically justify the mapping between specific emotions and corresponding persuasion strategies, we draw on findings from psychology and communication research. Anger is considered a highly negative and high-certainty emotion, typically linked to external attribution of blame. It tends to trigger approach-oriented and confrontational behaviors, making it particularly aligned with threat-based persuasion strategies [60,61]. Disappointment is associated with increased sensitivity to loss, a desire for compensation, and the expression of dissatisfaction, which corresponds well to complaint-type strategies that emphasize personal hardship and grievance [62]. Anxiety, rooted in low certainty and internal attribution, induces risk aversion and a strong desire for clarity [63]. Therefore, explanatory strategies that provide justification and reduce ambiguity are most suitable in anxious states. Anticipation, which reflects a forward-looking focus on potential rewards under uncertain conditions [64], is best supported by appeal-type strategies that invoke historical cooperation and social norms to foster trust and stability [65]. Gratification, as a moderately positive and cooperative emotion, encourages consensus-seeking behavior and fits well with analogical strategies that emphasize comparative advantage and rational evaluation [66]. Lastly, joy, often characterized by high pleasantness and high certainty, enhances openness and willingness to compromise, thereby aligning naturally with reward-based persuasion strategies aimed at building mutual trust and benefit [43].\nBuilding on the analysis above and combined with the ATF theory, the paper constructs a three-layer mapping mechanism, progressing from emotions to cognitive dimensions, and subsequently to strategy matching. The proposed model essentially represents a continuous emotion-to-continuous strategy mapping framework, where the intensity of emotional states can lead to nuanced strategy adaptations. For example, anger may range from mild to intense, potentially triggering a spectrum of threat-based strategies from subtle warnings to overt confrontation. However, to enhance interpretability and operational clarity, this study adopts a discrete approximation of this mechanism—mapping identifiable emotional states to representative persuasive strategies. Table 3 summarizes this mapping, outlining the characteristics of six emotions in the cognitive dimension space, their associated decision-making tendencies, and the corresponding emotional persuasion strategies.\nIn summary, based on the ATF, when the agent perceives the current proposal positively and the negotiation environment exhibits a certain degree of certainty, the agent is more likely to adopt a positive and friendly emotional persuasion strategy. In contrast, when the agent’s value perception is negative and the environment is characterized by greater certainty, the agent is more inclined to employ aggressive, pressure-driven strategies, with the aim of enhancing negotiation control or exerting greater influence on the counterpart. Generally, the use of a positive emotional strategy indicates the agent’s greater willingness to cooperate and a propensity to make more concessions. In contrast, the adoption of highly negative emotional strategies signals a lack of genuine willingness to cooperate and a tendency to make fewer concessions [43].\n\n\n### 3.3 The composition of emotional persuasion\nConsider the case where a buyer agent and a seller agent are engaged in negotiation about attribute k\n(k=1,2,⋯,K). An agent’s offer cannot be accepted by the opponent agent unless the offered value is within the latter agent’s acceptable ranges. Because of the concessions made by both agents, the acceptable ranges are changed round by round. Assume Pi,k(n)max and Pi,k(n)min to be the maximum value and the minimum value of the range acceptable to agent i(i=sorb) in the n−th round, where s and b stand for the seller and the buyer, respectively. A necessary condition for a negotiation to reach consensus is that Pi,k(n)max and Pi,k(n)min are non-increasing and non-decreasing in n, respectively. In fact, the two boundaries can take the values of the seller agent’s and the buyer agent’s proposals. For example, for a benefit-type attribute, Ps,k(n)max is xs,k(n), which is the seller agent’s proposal in the n−th round and Ps,kmin(n) is xb,k(n), which is the buyer agent’s proposal.\nHere, an added value is defined as an increment for each new proposal compared to the boundary value of the proposal. For example, let P(n+1)k* represent the attribute value when the persuasion is successful in the (n+1)−th round, and then, compared to the first proposal, an agent can get an added value ri,k(n+1) from attribute k by equation (6).\nGiven that the negotiation is successful, the worst value that an agent can obtain on attribute k is Pi,k(1)min if this attribute is a cost-type. Since the consensus value is not larger than the worst one, the difference can be viewed as the agent’s reward. Similarly, if attribute k is a benefit-type, the worst value that the agent can obtain is Pi,k(1)max. Since the consensus value is not smaller than the worst one, the agent can obtain this difference as the added value. At the end of the n−th round, an agent has a belief of the consensus value of attribute k which belongs to [Pi,k(n)min,Pi,k(n)max] for the next round. Then, the agent’s expected added value Qi,k(n+1) if the negotiation is successful in the (n+1)−th round is formulated as(7).\nwhere pi,k(x) is the density function of the agent’s belief of the consensus value of attribute k. The agent takes this expected reward as the basic concession magnitude for the next-round offer. As such, the basic concession magnitude can be dynamically changed as persuasion proceeds.\nWhen emotional persuasion is triggered, the buyer (seller) agent will also perceive the other party’s emotional persuasion when receiving the other party’s proposal. Therefore, the buyer (seller) agent’s concessions will be affected by the other party’s emotional persuasion. The degree of this influence denoted as α is called the emotional persuasion factor.\nHere we give an example to illustrate this process. According to the selection rules of emotional persuasion strategies in Table 3, an agent can generate corresponding emotional persuasion strategies based on their two cognitive dimensions (i.e., certainty and pleasantness). But depending on the role (buyer or seller agent), an agent has its own sensitivity to the opponent’s expression of emotions, i.e., the emotional persuasion factor α. Before the negotiation starts, the certainty dimension can be obtained by trust rating, i.e., the certainty level of both parties is public information. When the negotiation is in progress, the agent can calculate the opponent’s pleasantness dimension by taking the opponent’s first round offer as the opponent’s expected value and combining it with its latest offer. Then, the agent will complete the detection of the opponent’s emotional strategy based on its own cognitive system (the Appraisal Tendency Framework). Finally, the focal agent makes a concession based on the detection results. For example, when the focal agent senses a possible threat strategy from the adversary, indicating that the opponent’s sincerity of cooperation is already low, the focal agent may continue to reduce its concessions; but if a possible complaint strategy is detected from the adversary, the focal agent may make more concessions to pacify the opponent (i.e., to avoid making the opponent more frustrated).\nThis paper constructs a time function with a non-constant rate of change by analyzing the negotiator’s time-based concession attitudes. An agent’s time beliefs have previously been mainly modeled in three forms [29,30,67]: a fixed constant, a linear increase, and a linear decrease in the rounds of negotiation. The first form indicates that the degree of compromise in an agent’s concession is a constant. The second form indicates that the degree of compromise in an agent’s concession gradually increases, and the third form indicates that the magnitude of an agent’s concession gradually decreases. It is obvious that the latter two forms of time beliefs are an improvement over the first form. Nevertheless, the linear time function is easily detectable by the adversary during the concession process. The time function with a changing rate proposed by this paper can reduce this limitation to a certain extent. Meanwhile, this proposed time function can capture how a negotiator’s perceived time pressure varies with the stages of the negotiation in a real-world scenario.\nIn making concessions, an agent may adopt a tentative attitude in the initial rounds of negotiation and accordingly may choose a relatively small concession; after a while, in order to reach an agreement as soon as possible, the agent may select a large concession. On the contrary, an agent may select a large concession in the initial rounds; as the persuasion proceeds and the negotiation approaches an agreement, the agent may reduce the concession. Based on the above analysis and existing studies [29,30], we consider the dynamic change of an agent’s attitude toward time pressure at different stages of negotiation and thus construct the time function fi(n) to characterize the above two timing-related persuasion behavior.\nwhere e is the natural constant, Ti represents the maximum number of rounds of negotiation set by the buyer agent or seller agent, and βi and Γi are both individual parameters representing the actual preferences of various agents. The flexibility in adjusting parameter βi empowers agents to customize the rate of change of the time function according to their personal preferences. The parameter Γi can also be flexibly adjusted to allow the agent to adjust the initial concession benchmark according to individual preferences. Assuming βi = 1 and Γi = 0.5, Fig 2 illustrates the tendency of concessions over time for agents with different time attitudes under different negotiation time limits.\nTo present the concession process more clearly, the corresponding pseudocode is provided in Table 4.\n\n\n### 3.3.1 Basic concession magnitude.\nConsider the case where a buyer agent and a seller agent are engaged in negotiation about attribute k\n(k=1,2,⋯,K). An agent’s offer cannot be accepted by the opponent agent unless the offered value is within the latter agent’s acceptable ranges. Because of the concessions made by both agents, the acceptable ranges are changed round by round. Assume Pi,k(n)max and Pi,k(n)min to be the maximum value and the minimum value of the range acceptable to agent i(i=sorb) in the n−th round, where s and b stand for the seller and the buyer, respectively. A necessary condition for a negotiation to reach consensus is that Pi,k(n)max and Pi,k(n)min are non-increasing and non-decreasing in n, respectively. In fact, the two boundaries can take the values of the seller agent’s and the buyer agent’s proposals. For example, for a benefit-type attribute, Ps,k(n)max is xs,k(n), which is the seller agent’s proposal in the n−th round and Ps,kmin(n) is xb,k(n), which is the buyer agent’s proposal.\nHere, an added value is defined as an increment for each new proposal compared to the boundary value of the proposal. For example, let P(n+1)k* represent the attribute value when the persuasion is successful in the (n+1)−th round, and then, compared to the first proposal, an agent can get an added value ri,k(n+1) from attribute k by equation (6).\nGiven that the negotiation is successful, the worst value that an agent can obtain on attribute k is Pi,k(1)min if this attribute is a cost-type. Since the consensus value is not larger than the worst one, the difference can be viewed as the agent’s reward. Similarly, if attribute k is a benefit-type, the worst value that the agent can obtain is Pi,k(1)max. Since the consensus value is not smaller than the worst one, the agent can obtain this difference as the added value. At the end of the n−th round, an agent has a belief of the consensus value of attribute k which belongs to [Pi,k(n)min,Pi,k(n)max] for the next round. Then, the agent’s expected added value Qi,k(n+1) if the negotiation is successful in the (n+1)−th round is formulated as(7).\nwhere pi,k(x) is the density function of the agent’s belief of the consensus value of attribute k. The agent takes this expected reward as the basic concession magnitude for the next-round offer. As such, the basic concession magnitude can be dynamically changed as persuasion proceeds.\n\n\n### 3.3.2 Emotion-related concession behavior.\nWhen emotional persuasion is triggered, the buyer (seller) agent will also perceive the other party’s emotional persuasion when receiving the other party’s proposal. Therefore, the buyer (seller) agent’s concessions will be affected by the other party’s emotional persuasion. The degree of this influence denoted as α is called the emotional persuasion factor.\nHere we give an example to illustrate this process. According to the selection rules of emotional persuasion strategies in Table 3, an agent can generate corresponding emotional persuasion strategies based on their two cognitive dimensions (i.e., certainty and pleasantness). But depending on the role (buyer or seller agent), an agent has its own sensitivity to the opponent’s expression of emotions, i.e., the emotional persuasion factor α. Before the negotiation starts, the certainty dimension can be obtained by trust rating, i.e., the certainty level of both parties is public information. When the negotiation is in progress, the agent can calculate the opponent’s pleasantness dimension by taking the opponent’s first round offer as the opponent’s expected value and combining it with its latest offer. Then, the agent will complete the detection of the opponent’s emotional strategy based on its own cognitive system (the Appraisal Tendency Framework). Finally, the focal agent makes a concession based on the detection results. For example, when the focal agent senses a possible threat strategy from the adversary, indicating that the opponent’s sincerity of cooperation is already low, the focal agent may continue to reduce its concessions; but if a possible complaint strategy is detected from the adversary, the focal agent may make more concessions to pacify the opponent (i.e., to avoid making the opponent more frustrated).\n\n\n### 3.3.3 Timing-related concession behavior.\nThis paper constructs a time function with a non-constant rate of change by analyzing the negotiator’s time-based concession attitudes. An agent’s time beliefs have previously been mainly modeled in three forms [29,30,67]: a fixed constant, a linear increase, and a linear decrease in the rounds of negotiation. The first form indicates that the degree of compromise in an agent’s concession is a constant. The second form indicates that the degree of compromise in an agent’s concession gradually increases, and the third form indicates that the magnitude of an agent’s concession gradually decreases. It is obvious that the latter two forms of time beliefs are an improvement over the first form. Nevertheless, the linear time function is easily detectable by the adversary during the concession process. The time function with a changing rate proposed by this paper can reduce this limitation to a certain extent. Meanwhile, this proposed time function can capture how a negotiator’s perceived time pressure varies with the stages of the negotiation in a real-world scenario.\nIn making concessions, an agent may adopt a tentative attitude in the initial rounds of negotiation and accordingly may choose a relatively small concession; after a while, in order to reach an agreement as soon as possible, the agent may select a large concession. On the contrary, an agent may select a large concession in the initial rounds; as the persuasion proceeds and the negotiation approaches an agreement, the agent may reduce the concession. Based on the above analysis and existing studies [29,30], we consider the dynamic change of an agent’s attitude toward time pressure at different stages of negotiation and thus construct the time function fi(n) to characterize the above two timing-related persuasion behavior.\nwhere e is the natural constant, Ti represents the maximum number of rounds of negotiation set by the buyer agent or seller agent, and βi and Γi are both individual parameters representing the actual preferences of various agents. The flexibility in adjusting parameter βi empowers agents to customize the rate of change of the time function according to their personal preferences. The parameter Γi can also be flexibly adjusted to allow the agent to adjust the initial concession benchmark according to individual preferences. Assuming βi = 1 and Γi = 0.5, Fig 2 illustrates the tendency of concessions over time for agents with different time attitudes under different negotiation time limits.\n\n\n### 3.3.4 Concession process pseudocode.\nTo present the concession process more clearly, the corresponding pseudocode is provided in Table 4.\n\n\n### 4. Model analysis\nGiven the above modeling, we can now construct a function for an agent to update the proposal. This offer updating function consists of two parts, namely the proposed value in the previous round and the concessions generated for the current round. Assume that agent i (i=s or b) made an offer Pi,k(n−1) for attribute k in the previous round, and the agent’s offer for this attribute in the n−th round is calculated by equation (9).\nThe corresponding expressions for fi(n) can be obtained from Equation(8). As for Qi,k(n), in the case of incomplete information, negotiating agents generally believe that each value in their last round of proposal intervals has an equal chance of being chosen as the current agreed-upon attribute value. Thus, the choice of the agreed value follows a uniform distribution with a density of pi,k(x)=1Pi,k(n−1)max−Pi,k(n−1)min for the agent. Then, according to the corresponding expressions for Qi,k(n) from Equation (7), we have:\nOn this basis, if the time belief is “slow first and then fast”, the function of offer updating can be further refined by equation (10); otherwise, it can be refined by equation (11):\nTo sum up, it is clear that a new proposal is influenced not only by the basic negotiation process factors such as the proposals of the two negotiating parties in the last round, i.e., Pi,k(n−1)max and Pi,k(n−1)min, and the worst value of the proposal Pi,k(1)min in the first round, but also by the environmental stimuli (the opponent’s emotions) and the time beliefs of the negotiating agent itself. Among them, with the progress of negotiation, Pi,k(n−1)max and Pi,k(n−1)min are constantly updated and derived from the maximum and minimum values in the proposal interval of both parties in the n−1 round of negotiation, respectively; the value of αi(n) is influenced by the opponent’s emotion specifically based on the emotional persuasion strategy selection rule (refer to Table 3); and the negotiators’ attitude towards the time will also change with the progress of negotiation. This can indicate that the proposed model, on the basis of following the objective conditions of negotiation, also considers the environmental factors and the individual needs of negotiators. That is, the proposed model has better autonomy and flexibility.\nFurthermore, considering the actual situation in which both agents’ proposals may be infinitely close but not necessarily equal, an ending rule is needed to reach an agreement. If the differences of the proposed values for all the attributes between the seller agent and the buyer agent are less than 1 in the l−th round, the negotiation is considered as a success and the consensus value of attribute k will be determined as the average of the seller agent’s and the buyer agent’s offers. That is,\n\n\n### 5. Experiments and analysis\nIn this section, we employ a comprehensive methodology, integrating numerical simulation, ablation studies, hypothesis testing, and comparative analysis, to systematically explore the influence of emotional factors and time beliefs on the automated negotiation process. First, the ablation study systematically removes the emotion and time belief components, constructing models with various combinations to assess the independent contributions of each component in improving negotiation efficiency and outcome quality. Second, sensitivity analysis is conducted to evaluate the impact of variations in key cognitive dimensions (e.g., certainty and pleasantness) and temporal parameters on model performance, ensuring the robustness and stability of the model. To further validate the findings, hypothesis testing methods, including the Friedman test and the post-hoc Nemenyi test, are introduced to assess the significance of differences between the proposed model and the baseline model. These comparisons focus on metrics such as negotiation success rate, round count, joint utility, and utility disparity, thereby validating the proposed mechanisms and supporting the research hypotheses.\nIn summary, this section adopts a multi-level, fine-grained experimental design, simulating a wide range of realistic negotiation scenarios within a controlled, repeatable environment. This approach not only facilitates a detailed examination of the mechanisms underlying emotional and time-related variables but also provides robust empirical evidence supporting the generalizability and applicability of the model across various practical contexts.\nSuppose that a buyer agent and a seller agent in a supply chain in the coal industry are engaged in a multi-attribute negotiation over a certain product. In coal negotiations, the price is the most important attribute, followed by the quality of coal. Since the quality of coal has multiple assessing dimensions, e.g., caloric value, ash, volatile, and sulfur content, the coal grade, a synthetic concept, is often used in the industry to comprehensively characterize the quality of coal. The data for the numerical experiments were derived from the historical transaction values of China Power Coal in Port Qinhuangdao (China Power Coal; see https://www.ceicdata.com/en/country/china), spanning from 1 May 2014–1 May 2016. The coal price varied between 300 RMB/Ton and 440 RMB/Ton with a minimum price change of 0.2 RMB/Ton. The coal grade is a categorical variable in practice, and it was converted into a continuous number defined on the interval of [20, 90] to be fed to the proposed model in the experiment.\nThe protocol settings and experimental design pertaining to bilateral negotiation are based on the recent study by Wu et al. [45]. Specifically, the ranges of experimental parameters are shown in Table 5, and the rules for generating initial conditions are defined as follows: (1) for the benefit-type attribute, the uniform distribution defined on the corresponding interval was employed to randomly generate the initial value (between the historical mean and maximum value), the reserved value (between the historical minimum and the mean value), and the expected value (between the reserved value and the initial value), respectively; (2) for the cost-type attribute, the uniform distribution was also employed to randomly generate the initial value (between the historical minimum and mean value), the reserved value (between the historical mean and maximum value), and the expected value (between the initial value and the reserved value), respectively.\nTo ensure that the parameters are within a reasonable range and retain a certain degree of randomness, we randomly generated 1000 sets of data containing the initial value, expected value, and reservation value to simulate the persuasion process. In the real world, there are significant differences in attribute weighting between negotiating parties, which reflect subjective preferences. Here, we assume that both agents hold the same weighting preference to control this subjective term’s disturbance. Since this simulation experiment considers two negotiating attributes, there are two types of weighting relationships, i.e., the price attribute is more weighted than the quality attribute and vice versa. Considering common practice in China’s coal industry, we used the former weighting relationship and the weights of the two attributes were set to be 0.6 and 0.4 without loss of generosity. The proposed negotiation model can be easily extended to arbitrage weighting preferences.\nIn addition, we assume that the level of certainty of the buyer agent and that of seller agent are both high. Following the trust level classification criteria in [16], this paper adopts the same standard to divide the trust into high, middle, and low intervals (refer to Table 6), and they can accept the degree of certainty of each other. The selection rules of emotional persuasion strategies and the emotional persuasion factors are selected according to Table 3. In terms of price and quality, there is a negotiable space between the buyer and the seller, and the maximum number of negotiation rounds is considered a variable. Since this study focuses on investigating the joint effects of emotional persuasion and time belief on negotiation outcomes, we treated the maximum number of negotiation rounds as a control variable and set it to be 20. Furthermore, for the purpose of illustration, we assume that the belief density functions for both the price and quality attributes follow a uniform distribution.\nSuccess Rate, Negotiation Rounds, Joint Utility, and Utility Difference are usually applied to measure the performance of the proposed model comprehensively [5,45,68,69]. The evaluation indicators are summarized as follows:\n(1) Success Rate (SR). The negotiation success rate indicates the rate at which a negotiation eventually leads to a successful agreement. Assuming that a deal is reached n times out of N negotiation tests, the success rate is calculated as follows:\n(2) Negotiation Rounds (NR). No matter how well the negotiations work out in the end, the average number of rounds can reflect the negotiation efficiency from the time dimension. Assuming that in n automated negotiation tests, the negotiation in the i-th test takes place for mi rounds, the average number of rounds can be calculated as follow:\n(3) Joint Utility (JU). The joint utility measures the joint outcome of the negotiation and is the sum of the utilities obtained by both sides once an agreement is achieved:\nwhere PU(b) and PU(s) stand for the buyer’s and seller’s personal utility, respectively. The personal utility can be calculated in terms of equation (1) and equation (2).\n(4) Utility Difference (UD). The utility difference represents the degree of difference between the utilities of two parties, and a better outcome should be as small as possible. The utility difference can be defined as follows:\nIn this subsection, an ablation study was conducted to further verify whether the emotion and time factors considered in the proposed model play a role in improving the performance of emotional persuasion. From Section 4.5, the basic model considers neither emotion nor time, and its proposal updating formula refers to Equation (17). In addition, the proposal updating formula considering only emotion or time can be referred to Equation (18) and Equation (19), respectively. Finally, the proposal updating formula that considers both emotion and time can be referred to Equation (9).\nwhere Pi,k(n) indicates the proposal to be updated, Pi,k(n−1) reflects the proposal in the l−th round, Qi,k(n) reflects the base concession range, αi(n) represents the emotional persuasion factor, and fi(n) characterizes the timing-related persuasion behavior.\nWe conducted ablation experiments on the same dataset and compared the corresponding ablative results. The experimental results are shown in Table 7. To obtain a more reliable analysis, we use the Friedman test and the Post-hoc Nemenyi test to judge whether the difference in performance between the models is significant. The tests are conducted at the 0.05 level of significance. Firstly, we use the Friedman test to evaluate whether the above models perform equally, with the null-hypothesis defined as all methods having the same performance. Then, if the null-hypothesis of the Friedman test is rejected, we further conduct the Post-hoc Nemenyi test to gain insight into the differences between the analyzed methods. The results of the Friedman test are also shown in Table 7. In addition, Figs 3–5 show the distribution and kernel density estimation of the ablation study results.\nFrom the Friedman test in Table 7, the test results indicate that the performance of the above-mentioned experimental results differs significantly. For this reason, we further conducted the Post-hoc Nemenyi test. The results of the Post-hoc Nemenyi test are shown in Table 8, which indicates that only the performance of the basic model and the model considering only the time factor is the same, and there is a significant difference between the performance of the other groups.\nOn the one hand, by comparing the results of the basic model and the model with only emotion added, it is clear that the utility difference between buyers and sellers can be reduced by 28.55% significantly when considering emotion as an influencing factor in this paper. In addition, as we can see, the basic method completes the negotiation almost at the beginning of the negotiation, which is unreasonable [67]. This is because a certain amount of time and communication is required to avoid excessive concessions and ensure that both parties have a clear understanding of each other’s views and intentions. Adding emotion can make the pace of negotiations correspond to the reality of business negotiations [70]. In short, it is of significance to consider emotion as an influencing factor for improving negotiation performance.\nOn the other hand, when we directly compare the basic model with the model that considers only the time factor, we find that the time factor seems to have no effect on the negotiation performance. This is because the basic model compromises too quickly, and adding the time factor directly to the basic model does not work, which indirectly indicates the poor scalability of the basic model. Therefore, in this paper, the time factor is considered after adding the emotion factor to make the negotiation speed reasonable. In addition, the above results show that the time function of “fast first then slow” proposed in this paper can significantly reduce the number of emotional persuasion negotiation rounds and improve the negotiation efficiency by 12.99% on the basis of guaranteeing other negotiation performance. At the same time, the experimental results can also show that considering individuals’ time behavior on the basis of emotional persuasion can further satisfy individuals’ expectations of the length of negotiation while ensuring the success rate of negotiation [10]. For example, individuals with greater time pressure tend to finish the negotiation as early as possible, while individuals with less time pressure are usually willing to spend more time on the negotiation.\nThe experimental results show that both emotional and temporal factors, when acting independently, can significantly improve negotiation performance. The introduction of emotional factors leads to varying degrees of improvement in fairness and success rate, while the introduction of temporal factors enhances negotiation efficiency and keeps other performance metrics stable. This indicates that the main effects of the two factors are prominent and can each make a substantial contribution to negotiation performance without relying on interaction terms. This finding also supports the rationale for our independent modeling approach.\nIn summary, the model proposed in this paper can effectively reduce the utility difference through the emotional persuasion process compared to the basic model. Meanwhile, the problem of increasing negotiation rounds caused by emotional persuasion can be further corrected by adding the time function. In short, emotional persuasion can not only improve the fairness of the negotiation but also make the negotiation speed more reasonable, and further consideration of the time function can be appropriate to speed up the negotiation on a reasonable basis, as well as optimize other performance.\nIn this section, a simulation experiment is conducted to evaluate the specific emotional strategy, with the objective of verifying the validity of the deconstruction of emotions into cognitive dimensions and their subsequent mapping to persuasion strategies. Specifically, six discrete emotions—anger, disappointment, anxiety, anticipation, gratification, and joy—are assigned to the agents of both negotiating parties. The negotiation attributes remain constant, and each emotion is associated with distinct levels of pleasantness, certainty, and mappings to the strategies listed in Table 3. Additionally, a baseline group is established using the base model without emotion as a control, allowing for a comparison with the emotion group to assess the influence of different emotions on negotiation outcomes.\nThe parameters used in this experiment were consistent with those employed in the ablation experiments, with attributes such as attribute intervals and attribute weights held constant. The persuasion strategy for each emotional state was determined according to the mapping relationship presented in Table 3. A total of 1,000 experiments were conducted for each emotional state group to observe changes in negotiation success rate, number of negotiation rounds, joint utility, and utility difference. The mean values for each experimental metric are presented in bar charts, with specific results displayed in Fig 6.\nAs shown in Fig 6, the two cognitive dimensions of emotion—pleasantness and certainty—within the ATF framework developed in this study systematically influence negotiators’ concession strategies. Specifically, negotiators experiencing anger (low pleasantness, high certainty) tend to adopt more aggressive concession strategies. These negotiations are generally prolonged (averaging 15.2 rounds), exhibit a slightly lower success rate (approximately 81.7%), and result in suboptimal agreement quality (joint utility of 0.85, with a utility difference of 0.25). This suggests that negative emotions, when combined with high certainty, reduce negotiators’ willingness to concede, thus hindering cooperation. In contrast, negotiators experiencing anticipation (moderate pleasantness, moderate certainty) reach agreements more quickly, with a success rate approaching 100% in just 5 rounds, yielding the highest joint utility (1.25) and the most equitable distribution of benefits (utility difference of 0.08). This indicates that positive emotional states with moderate certainty facilitate more efficient reciprocal concession strategies and enhance the overall quality of negotiation outcomes. Similarly, the group experiencing joy (high pleasantness, high certainty) achieved a 100% success rate and a significantly higher joint utility (mean rounds: 11.9), outperforming the no-emotion baseline group (which had a success rate of only 41%). Although the negotiation process for the joy group was slightly longer than that of the anticipation group, the marked differences in success rate, negotiation efficiency, and outcome fairness highlight the crucial role of emotional factors in shaping negotiation decisions.\nAs reflected in the experimental results, not all modeled emotions have a significant positive impact on negotiation outcomes. While certain emotions (such as happiness, excitement, and, in specific contexts, anger) can enhance joint utility, fairness, or persuasion success rate, other emotions (such as fear and sadness) show less consistent contributions. In this study, our decision to include the full range of emotions is based on two main considerations: first, we aim to comprehensively validate the theoretical applicability of the ATF in automated negotiation. To examine the effectiveness of this theoretical framework across various emotion types, it is necessary to encompass the performance and mechanisms of different emotions, even if their positive effects are not significant. Second, from the perspective of full-spectrum agent modeling and interpretability, retaining the complete set of emotions enables the negotiation agent to exhibit richer and more realistic emotional response patterns during interactions, thereby enhancing its ability to simulate real negotiation scenarios and providing a solid experimental foundation for applicability in future human–agent settings.\nIn summary, the above findings demonstrate that the emotional persuasion strategy, based on the ATF framework and incorporating the dimensions of pleasantness and certainty, effectively improves negotiation outcomes by guiding concession strategies based on emotional analysis.\nThe trustworthiness levels of buyers and sellers may be different before negotiation, and the trust levels of negotiating parties are the basis for constructing the cognitive dimension of certainty. Therefore, in order to further analyze the effect of the trust level of negotiation parties on the negotiation outcome, this subsection conducted experiments on the given data set with parties at different trust levels. The scenarios are shown in Table 9. The experimental results are shown in Table 10.\nThe success rate of negotiation was 100% in the above nine scenarios. By fixing the trust level of one party and adjusting the trust level of the other party, the results of individual utility, joint utility, and utility difference between the negotiating buyer and seller were obtained as shown in Table 10. The above results show that when the party with a higher trust level negotiates with the party with a lower trust level, the party with a higher trust level can obtain a higher individual utility. Moreover, as the gap between the two parties’ trust levels increases, the higher trust level gains higher individual utility, which directly leads to an increase in the utility difference and indirectly leads to an increase in the joint utility.\nIn addition, we take scenarios 2 and 3 as examples, and Fig 7 shows the utility differences between the negotiating parties in the two scenarios. As shown by Fig 7, the overall utility difference of scenario 2 is significantly smaller than the overall utility difference of scenario 3.\nThis paper considers two core cognitive dimensions of agents based on the theory of ATF, namely certainty and pleasantness. Therefore, we conduct experiments by combining these two cognitive dimensions at different levels. As it is known in Section 3, the certainty dimension is represented by 3 levels (high, mid, and low), while the pleasure dimension is determined by the agent’s perception coefficient km. Here, we make km equal to 0.5, 1, and 1.5, respectively. The results of the combinations are shown in Table 11. The experimental results are shown in Table 12.\nThe negotiation success rate was 100% for all the different combinations above. The above results show that when the pleasantness coefficient is constant, as the certainty level decreases, the individual utility, joint utility, and utility difference between buyers and sellers tend to increase, and the number of negotiation rounds fluctuates. When the certainty level is fixed and the certainty level is medium or high, the negotiation rounds gradually increases as the pleasantness coefficient decreases, and the joint utility and utility difference tend to decrease; when the certainty level is low, the utility difference of the negotiation results is affected by the change of the pleasantness dimension.\nIn summary, we can conclude that both certainty and pleasantness have a significant impact on negotiation results in the Appraisal Tendency Framework, and there is an interaction between these two dimensions.\nThis section compares the proposed concession updating algorithm, which is based on the variable parameter fi(n), with the methods that use a constant time discount factor denoted as λ. The numerical experiment is conducted with the same parameter settings.\nWith the same parameters set in the numerical experiment, this section compares the proposed concession updating algorithm based on variable parameter fi(n) with the method which has a constant discount factor denoted as λ. The experimental results and Friedman test results are shown in Table 13.\nNote: the better value of each indicator is bolded.\nThe results of the Friedman test show that the performance of the experimental results differs significantly among the analyzed methods, so we further conducted the Post-hoc Nemenyi test. The results of the Post-hoc Nemenyi test are shown in Table 14.\nThe above results show that there is no significant difference between the method with parameter fi1(n) and the method with parameter λ4 in the indicator of the negotiation round; meanwhile, there is no significant difference between the method with parameter fi1(n) and the method with parameter λ3 in the utility-related indicators; except for these, the performance difference of other comparison groups is significant. Most obviously, the method with the fixed parameter requires more rounds of emotional persuasion to reach an agreement, which takes more turns and also leads to a lower success rate. Therefore, it is necessary to select an appropriate value of λ to apply the basic method with a fixed parameter.\nWhen λ is small, both buyer agent and seller agent can reduce their concession ranges, but more rounds of persuasion are required to reach an agreement. In such a situation, the emotional persuasion may fail due to the limit of the maximum number of rounds of persuasion. When λ is large, both agents will increase their concession ranges, so that the emotional persuasion will reach an agreement as soon as possible. During this process, however, one agent’s interest may be seriously damaged because of the large concession range resulting from a large λ. The model proposed in this paper can make an agent choose a dynamic concession range according to its own attitude towards time; as such, a reasonable persuasion result can be obtained without considering how to set a suitable discount factor.\nIn the references [29,30], they both proposed a time-belief function to improve the negotiation process. The belief function (hereafter referred to as bfs) in literature [30] takes the form of a monotonic decreasing function (i.e., bfs=1−t/T), and the belief function in literature [29] is a monotonic increasing function (i.e., bfs=t/T).\nTable 15 compares the negotiation results and Friedman test results using the above method based on a time-belief function with the model established by this paper. Table 16 presents the post-hoc Nemenyi test results for different emotional persuasion based on time belief.\nNote: the better value of each indicator is bolded.\nThe Post-hoc Nemenyi test was also conducted after the results of the Friedman test showed that the performance of the analyzed methods differed significantly. The above results and analysis show that the comprehensive performance of the proposed method using the time function in this paper is significantly better than that of the method using the above-mentioned time belief functions, especially in terms of negotiation efficiency. A further analysis demonstrates that the time belief function always reduces concession ranges, but cannot reflect the acceleration effects of time on concession ranges. Therefore, a continuous reduction in concession ranges slows down the convergence rate of emotional persuasion, so that an agreement may not be likely to be reached when the persuasion arrives at the maximum round. The time function established in this paper can speed up or slow down the process of emotional persuasion, which is conducive to the success of emotional persuasion.\nIn order to further prove the validity of the proposed model, we compared it with other existing competing methods, which also aim to improve the intelligence of the agent.\nThe portfolio strategy persuasion model [5] integrates negotiation strategies such as time-dependent and behavior-dependent.\nThe hybrid strategy model [6] takes into account the opponent’s behavioral changes and remaining time as well as the opponent’s emotional state.\nThe emotional persuasion model [7] constructs an emotional agent that integrates emotional rendering and reasoning capabilities to select persuasion strategies and update negotiation proposals.\nWe conducted experiments for the above methods on the same dataset. The results were compared with the model proposed in this paper regarding the indicators of negotiation success rate, joint utility, utility difference, and negotiation rounds. To obtain a more reliable analysis, we use the Friedman test and the Post-hoc Nemenyi test to judge whether the difference in performance between the models is significant. The experimental results with the Friedman test are shown in Table 17. Meanwhile, the results of the Post-hoc Nemenyi test are shown in Table 18, and the test results indicate that the performance of different methods is significantly different.\nNote: the better value of each indicator is bolded.\nThe negotiation success rate and the average number of negotiation rounds are important performance indicators of the quality and efficiency of the interaction. In terms of negotiation success rate, our model achieves 100% with both the literature [6] and the literature [7] for the given dataset, which is significantly better than the literature [5]. As for the negotiation rounds indicator, the average number of negotiation rounds for the fastest method of negotiation [6] is about 2, which indicates that the method completes the negotiation almost at the very beginning of the negotiation and compromises too fast. Obviously, this is unreasonable and does not correspond to the reality of business negotiations [67]. In addition, it has been shown that the average number of negotiation rounds in human-agent negotiations generally does not exceed 20 [70]. Therefore, combining the above results, only our proposed model and the literature [7] are consistent with the reality, and the negotiation efficiency of this paper is better than that of the literature [7]. To sum up, the proposed method in this paper outperforms the other methods compared in terms of negotiation rounds.\nJoint utility and utility difference are important performance indicators for measuring negotiation results. Specifically, the utility difference primarily reflects fairness, which is crucial in impressing both parties and serves as a significant factor in achieving the final deal. In terms of utility, while the proposed method in this paper yields joint utility results that are somewhat inferior to those reported in the literature [5], the latter exhibits a large utility difference, which indicates low fairness between the negotiating parties. By comparison, although our method shows a slightly worse utility difference than the literature [7], it produces better joint utility results. Overall, the results are comparable.\nIn summary, the results of the comparison with other methods can effectively show that the proposed model can effectively improve the quality and efficiency of the interaction. Meanwhile, our proposed model also has good performance in improving the joint utility of negotiation and reducing the utility difference. The above findings can prove the validity and advancement of the proposed model in this paper.\nIn this subsection, we provide a case study to describe an application example of the proposed method. The application example focuses on the negotiations about purchasing thermal coal between Kailuan Group International Logistics Co., Ltd. (the buyer and hereafter referred to as KL) and Qinhuangdao Mingwei Economic and Trade Co., Ltd. (the seller and hereafter referred to as QM). KL is a large enterprise mainly engaged in the road transportation industry, which has a long-term and stable demand for coal energy. QM belongs to the wholesale industry, and the main business scope includes wholesale coal, steel, and building materials product sales. KL ordered thermal coal from QM every few months, with each purchase involving approximately 15000 metric tons. Since the thermal coal market has become more volatile, they have to negotiate with each other to settle the price and the calorific value, an important quality indicator of the thermal coal. In general, a high caloric value implies a high quality of the thermal coal. Previously both companies dispatched negotiating teams to engage in the human-led negotiations and it often took one or two days to arrive at the consensus. We contacted KL and introduced our developed agent-based automated negotiation system. KL showed interests in the negotiation system and agreed to try the system.\nThe negotiation system was developed based on the proposed scheme. Fig 8 shows the operating screen. The left side of the screen contains the initial parameters needed to be provided by the user, including the first-round proposal values of price and quality, the expected transaction value of price and quality, the relationship between the negotiating parties (trust level), and the time attitude towards the negotiation (time belief). There are four buttons in the upper right of the screen, which are respectively for loading parameters, starting negotiation, saving results, and resetting. By clicking the button “Load parameters”, the system can obtain the initial parameter manually entered on the left side of the interface; click “Start negotiation”, and the system starts the automated negotiation program to interact with the opponent. The real-time negotiation results will be synchronously displayed at the lower right. When the negotiation is over, clicking “Save results” can save the negotiation results record in the system, and then clicking the button “Reset” can reset the system.\nKL set the initial price and the quality to be 720 RMB/metric ton and 5900 kcal/kg, respectively, and the expected transaction values of both attributes were set to be 728 RMB/metric ton and 5600 kcal/kg, respectively. These values are set according to the mean values of the latest five historical negotiations of LK and the current spot market of the thermal coal of the same specifications. KL and QM have a long-term cooperation and thus the “trust level” was set to be high. Meanwhile, KL preferred the slow-first-and-then-fast negotiation style and accordingly the “time belief” was set to be “slow first and fast later”. The negotiation results can be obtained by clicking the “Load parameters” and “Start negotiation” buttons successively, as shown in Fig 9.\nAfter seven rounds of negotiation, which took about 32 minutes, the two parties reached an agreement on the negotiating attributes. The counter-offer values for each round of negotiation between KL and QM are shown in Fig 10.\nIn addition, we compare the results of five historical manual negotiations of KL with those generated by this automated negotiation system. The results are shown in Fig 11, where blue represents the results of the last five manual negotiations of KL and red represents the results of using the automated negotiation system.\nBy observing Fig 11, it can be seen that the method proposed in this paper can obtain a result comparable to that of manual negotiation. It’s worth mentioning that the automated negotiation results were both second only to the best record of manual negotiation in terms of price and quality. That is to say, high-quality thermal coal can be bought at a relatively low price with the automated negotiation system. Therefore, KL was satisfied with the automated negotiation results and expressed its willingness to cooperate with us to further revise the system.\n\n\n### 5.1 Experimental settings\nSuppose that a buyer agent and a seller agent in a supply chain in the coal industry are engaged in a multi-attribute negotiation over a certain product. In coal negotiations, the price is the most important attribute, followed by the quality of coal. Since the quality of coal has multiple assessing dimensions, e.g., caloric value, ash, volatile, and sulfur content, the coal grade, a synthetic concept, is often used in the industry to comprehensively characterize the quality of coal. The data for the numerical experiments were derived from the historical transaction values of China Power Coal in Port Qinhuangdao (China Power Coal; see https://www.ceicdata.com/en/country/china), spanning from 1 May 2014–1 May 2016. The coal price varied between 300 RMB/Ton and 440 RMB/Ton with a minimum price change of 0.2 RMB/Ton. The coal grade is a categorical variable in practice, and it was converted into a continuous number defined on the interval of [20, 90] to be fed to the proposed model in the experiment.\nThe protocol settings and experimental design pertaining to bilateral negotiation are based on the recent study by Wu et al. [45]. Specifically, the ranges of experimental parameters are shown in Table 5, and the rules for generating initial conditions are defined as follows: (1) for the benefit-type attribute, the uniform distribution defined on the corresponding interval was employed to randomly generate the initial value (between the historical mean and maximum value), the reserved value (between the historical minimum and the mean value), and the expected value (between the reserved value and the initial value), respectively; (2) for the cost-type attribute, the uniform distribution was also employed to randomly generate the initial value (between the historical minimum and mean value), the reserved value (between the historical mean and maximum value), and the expected value (between the initial value and the reserved value), respectively.\nTo ensure that the parameters are within a reasonable range and retain a certain degree of randomness, we randomly generated 1000 sets of data containing the initial value, expected value, and reservation value to simulate the persuasion process. In the real world, there are significant differences in attribute weighting between negotiating parties, which reflect subjective preferences. Here, we assume that both agents hold the same weighting preference to control this subjective term’s disturbance. Since this simulation experiment considers two negotiating attributes, there are two types of weighting relationships, i.e., the price attribute is more weighted than the quality attribute and vice versa. Considering common practice in China’s coal industry, we used the former weighting relationship and the weights of the two attributes were set to be 0.6 and 0.4 without loss of generosity. The proposed negotiation model can be easily extended to arbitrage weighting preferences.\nIn addition, we assume that the level of certainty of the buyer agent and that of seller agent are both high. Following the trust level classification criteria in [16], this paper adopts the same standard to divide the trust into high, middle, and low intervals (refer to Table 6), and they can accept the degree of certainty of each other. The selection rules of emotional persuasion strategies and the emotional persuasion factors are selected according to Table 3. In terms of price and quality, there is a negotiable space between the buyer and the seller, and the maximum number of negotiation rounds is considered a variable. Since this study focuses on investigating the joint effects of emotional persuasion and time belief on negotiation outcomes, we treated the maximum number of negotiation rounds as a control variable and set it to be 20. Furthermore, for the purpose of illustration, we assume that the belief density functions for both the price and quality attributes follow a uniform distribution.\n\n\n### 5.2 Evaluation metrics\nSuccess Rate, Negotiation Rounds, Joint Utility, and Utility Difference are usually applied to measure the performance of the proposed model comprehensively [5,45,68,69]. The evaluation indicators are summarized as follows:\n(1) Success Rate (SR). The negotiation success rate indicates the rate at which a negotiation eventually leads to a successful agreement. Assuming that a deal is reached n times out of N negotiation tests, the success rate is calculated as follows:\n(2) Negotiation Rounds (NR). No matter how well the negotiations work out in the end, the average number of rounds can reflect the negotiation efficiency from the time dimension. Assuming that in n automated negotiation tests, the negotiation in the i-th test takes place for mi rounds, the average number of rounds can be calculated as follow:\n(3) Joint Utility (JU). The joint utility measures the joint outcome of the negotiation and is the sum of the utilities obtained by both sides once an agreement is achieved:\nwhere PU(b) and PU(s) stand for the buyer’s and seller’s personal utility, respectively. The personal utility can be calculated in terms of equation (1) and equation (2).\n(4) Utility Difference (UD). The utility difference represents the degree of difference between the utilities of two parties, and a better outcome should be as small as possible. The utility difference can be defined as follows:\n\n\n### 5.3 Experimental results and analysis of the ablation study\nIn this subsection, an ablation study was conducted to further verify whether the emotion and time factors considered in the proposed model play a role in improving the performance of emotional persuasion. From Section 4.5, the basic model considers neither emotion nor time, and its proposal updating formula refers to Equation (17). In addition, the proposal updating formula considering only emotion or time can be referred to Equation (18) and Equation (19), respectively. Finally, the proposal updating formula that considers both emotion and time can be referred to Equation (9).\nwhere Pi,k(n) indicates the proposal to be updated, Pi,k(n−1) reflects the proposal in the l−th round, Qi,k(n) reflects the base concession range, αi(n) represents the emotional persuasion factor, and fi(n) characterizes the timing-related persuasion behavior.\nWe conducted ablation experiments on the same dataset and compared the corresponding ablative results. The experimental results are shown in Table 7. To obtain a more reliable analysis, we use the Friedman test and the Post-hoc Nemenyi test to judge whether the difference in performance between the models is significant. The tests are conducted at the 0.05 level of significance. Firstly, we use the Friedman test to evaluate whether the above models perform equally, with the null-hypothesis defined as all methods having the same performance. Then, if the null-hypothesis of the Friedman test is rejected, we further conduct the Post-hoc Nemenyi test to gain insight into the differences between the analyzed methods. The results of the Friedman test are also shown in Table 7. In addition, Figs 3–5 show the distribution and kernel density estimation of the ablation study results.\nFrom the Friedman test in Table 7, the test results indicate that the performance of the above-mentioned experimental results differs significantly. For this reason, we further conducted the Post-hoc Nemenyi test. The results of the Post-hoc Nemenyi test are shown in Table 8, which indicates that only the performance of the basic model and the model considering only the time factor is the same, and there is a significant difference between the performance of the other groups.\nOn the one hand, by comparing the results of the basic model and the model with only emotion added, it is clear that the utility difference between buyers and sellers can be reduced by 28.55% significantly when considering emotion as an influencing factor in this paper. In addition, as we can see, the basic method completes the negotiation almost at the beginning of the negotiation, which is unreasonable [67]. This is because a certain amount of time and communication is required to avoid excessive concessions and ensure that both parties have a clear understanding of each other’s views and intentions. Adding emotion can make the pace of negotiations correspond to the reality of business negotiations [70]. In short, it is of significance to consider emotion as an influencing factor for improving negotiation performance.\nOn the other hand, when we directly compare the basic model with the model that considers only the time factor, we find that the time factor seems to have no effect on the negotiation performance. This is because the basic model compromises too quickly, and adding the time factor directly to the basic model does not work, which indirectly indicates the poor scalability of the basic model. Therefore, in this paper, the time factor is considered after adding the emotion factor to make the negotiation speed reasonable. In addition, the above results show that the time function of “fast first then slow” proposed in this paper can significantly reduce the number of emotional persuasion negotiation rounds and improve the negotiation efficiency by 12.99% on the basis of guaranteeing other negotiation performance. At the same time, the experimental results can also show that considering individuals’ time behavior on the basis of emotional persuasion can further satisfy individuals’ expectations of the length of negotiation while ensuring the success rate of negotiation [10]. For example, individuals with greater time pressure tend to finish the negotiation as early as possible, while individuals with less time pressure are usually willing to spend more time on the negotiation.\nThe experimental results show that both emotional and temporal factors, when acting independently, can significantly improve negotiation performance. The introduction of emotional factors leads to varying degrees of improvement in fairness and success rate, while the introduction of temporal factors enhances negotiation efficiency and keeps other performance metrics stable. This indicates that the main effects of the two factors are prominent and can each make a substantial contribution to negotiation performance without relying on interaction terms. This finding also supports the rationale for our independent modeling approach.\nIn summary, the model proposed in this paper can effectively reduce the utility difference through the emotional persuasion process compared to the basic model. Meanwhile, the problem of increasing negotiation rounds caused by emotional persuasion can be further corrected by adding the time function. In short, emotional persuasion can not only improve the fairness of the negotiation but also make the negotiation speed more reasonable, and further consideration of the time function can be appropriate to speed up the negotiation on a reasonable basis, as well as optimize other performance.\n\n\n### 5.4 Analysis of persuasion results under different emotions\nIn this section, a simulation experiment is conducted to evaluate the specific emotional strategy, with the objective of verifying the validity of the deconstruction of emotions into cognitive dimensions and their subsequent mapping to persuasion strategies. Specifically, six discrete emotions—anger, disappointment, anxiety, anticipation, gratification, and joy—are assigned to the agents of both negotiating parties. The negotiation attributes remain constant, and each emotion is associated with distinct levels of pleasantness, certainty, and mappings to the strategies listed in Table 3. Additionally, a baseline group is established using the base model without emotion as a control, allowing for a comparison with the emotion group to assess the influence of different emotions on negotiation outcomes.\nThe parameters used in this experiment were consistent with those employed in the ablation experiments, with attributes such as attribute intervals and attribute weights held constant. The persuasion strategy for each emotional state was determined according to the mapping relationship presented in Table 3. A total of 1,000 experiments were conducted for each emotional state group to observe changes in negotiation success rate, number of negotiation rounds, joint utility, and utility difference. The mean values for each experimental metric are presented in bar charts, with specific results displayed in Fig 6.\nAs shown in Fig 6, the two cognitive dimensions of emotion—pleasantness and certainty—within the ATF framework developed in this study systematically influence negotiators’ concession strategies. Specifically, negotiators experiencing anger (low pleasantness, high certainty) tend to adopt more aggressive concession strategies. These negotiations are generally prolonged (averaging 15.2 rounds), exhibit a slightly lower success rate (approximately 81.7%), and result in suboptimal agreement quality (joint utility of 0.85, with a utility difference of 0.25). This suggests that negative emotions, when combined with high certainty, reduce negotiators’ willingness to concede, thus hindering cooperation. In contrast, negotiators experiencing anticipation (moderate pleasantness, moderate certainty) reach agreements more quickly, with a success rate approaching 100% in just 5 rounds, yielding the highest joint utility (1.25) and the most equitable distribution of benefits (utility difference of 0.08). This indicates that positive emotional states with moderate certainty facilitate more efficient reciprocal concession strategies and enhance the overall quality of negotiation outcomes. Similarly, the group experiencing joy (high pleasantness, high certainty) achieved a 100% success rate and a significantly higher joint utility (mean rounds: 11.9), outperforming the no-emotion baseline group (which had a success rate of only 41%). Although the negotiation process for the joy group was slightly longer than that of the anticipation group, the marked differences in success rate, negotiation efficiency, and outcome fairness highlight the crucial role of emotional factors in shaping negotiation decisions.\nAs reflected in the experimental results, not all modeled emotions have a significant positive impact on negotiation outcomes. While certain emotions (such as happiness, excitement, and, in specific contexts, anger) can enhance joint utility, fairness, or persuasion success rate, other emotions (such as fear and sadness) show less consistent contributions. In this study, our decision to include the full range of emotions is based on two main considerations: first, we aim to comprehensively validate the theoretical applicability of the ATF in automated negotiation. To examine the effectiveness of this theoretical framework across various emotion types, it is necessary to encompass the performance and mechanisms of different emotions, even if their positive effects are not significant. Second, from the perspective of full-spectrum agent modeling and interpretability, retaining the complete set of emotions enables the negotiation agent to exhibit richer and more realistic emotional response patterns during interactions, thereby enhancing its ability to simulate real negotiation scenarios and providing a solid experimental foundation for applicability in future human–agent settings.\nIn summary, the above findings demonstrate that the emotional persuasion strategy, based on the ATF framework and incorporating the dimensions of pleasantness and certainty, effectively improves negotiation outcomes by guiding concession strategies based on emotional analysis.\n\n\n### 5.5 Sensitivity analysis\nThe trustworthiness levels of buyers and sellers may be different before negotiation, and the trust levels of negotiating parties are the basis for constructing the cognitive dimension of certainty. Therefore, in order to further analyze the effect of the trust level of negotiation parties on the negotiation outcome, this subsection conducted experiments on the given data set with parties at different trust levels. The scenarios are shown in Table 9. The experimental results are shown in Table 10.\nThe success rate of negotiation was 100% in the above nine scenarios. By fixing the trust level of one party and adjusting the trust level of the other party, the results of individual utility, joint utility, and utility difference between the negotiating buyer and seller were obtained as shown in Table 10. The above results show that when the party with a higher trust level negotiates with the party with a lower trust level, the party with a higher trust level can obtain a higher individual utility. Moreover, as the gap between the two parties’ trust levels increases, the higher trust level gains higher individual utility, which directly leads to an increase in the utility difference and indirectly leads to an increase in the joint utility.\nIn addition, we take scenarios 2 and 3 as examples, and Fig 7 shows the utility differences between the negotiating parties in the two scenarios. As shown by Fig 7, the overall utility difference of scenario 2 is significantly smaller than the overall utility difference of scenario 3.\nThis paper considers two core cognitive dimensions of agents based on the theory of ATF, namely certainty and pleasantness. Therefore, we conduct experiments by combining these two cognitive dimensions at different levels. As it is known in Section 3, the certainty dimension is represented by 3 levels (high, mid, and low), while the pleasure dimension is determined by the agent’s perception coefficient km. Here, we make km equal to 0.5, 1, and 1.5, respectively. The results of the combinations are shown in Table 11. The experimental results are shown in Table 12.\nThe negotiation success rate was 100% for all the different combinations above. The above results show that when the pleasantness coefficient is constant, as the certainty level decreases, the individual utility, joint utility, and utility difference between buyers and sellers tend to increase, and the number of negotiation rounds fluctuates. When the certainty level is fixed and the certainty level is medium or high, the negotiation rounds gradually increases as the pleasantness coefficient decreases, and the joint utility and utility difference tend to decrease; when the certainty level is low, the utility difference of the negotiation results is affected by the change of the pleasantness dimension.\nIn summary, we can conclude that both certainty and pleasantness have a significant impact on negotiation results in the Appraisal Tendency Framework, and there is an interaction between these two dimensions.\n\n\n### 5.5.1 Sensitivity analysis of the initial trustworthiness.\nThe trustworthiness levels of buyers and sellers may be different before negotiation, and the trust levels of negotiating parties are the basis for constructing the cognitive dimension of certainty. Therefore, in order to further analyze the effect of the trust level of negotiation parties on the negotiation outcome, this subsection conducted experiments on the given data set with parties at different trust levels. The scenarios are shown in Table 9. The experimental results are shown in Table 10.\nThe success rate of negotiation was 100% in the above nine scenarios. By fixing the trust level of one party and adjusting the trust level of the other party, the results of individual utility, joint utility, and utility difference between the negotiating buyer and seller were obtained as shown in Table 10. The above results show that when the party with a higher trust level negotiates with the party with a lower trust level, the party with a higher trust level can obtain a higher individual utility. Moreover, as the gap between the two parties’ trust levels increases, the higher trust level gains higher individual utility, which directly leads to an increase in the utility difference and indirectly leads to an increase in the joint utility.\nIn addition, we take scenarios 2 and 3 as examples, and Fig 7 shows the utility differences between the negotiating parties in the two scenarios. As shown by Fig 7, the overall utility difference of scenario 2 is significantly smaller than the overall utility difference of scenario 3.\n\n\n### 5.5.2 Sensitivity analysis of the initial cognitive dimensions in the ATF.\nThis paper considers two core cognitive dimensions of agents based on the theory of ATF, namely certainty and pleasantness. Therefore, we conduct experiments by combining these two cognitive dimensions at different levels. As it is known in Section 3, the certainty dimension is represented by 3 levels (high, mid, and low), while the pleasure dimension is determined by the agent’s perception coefficient km. Here, we make km equal to 0.5, 1, and 1.5, respectively. The results of the combinations are shown in Table 11. The experimental results are shown in Table 12.\nThe negotiation success rate was 100% for all the different combinations above. The above results show that when the pleasantness coefficient is constant, as the certainty level decreases, the individual utility, joint utility, and utility difference between buyers and sellers tend to increase, and the number of negotiation rounds fluctuates. When the certainty level is fixed and the certainty level is medium or high, the negotiation rounds gradually increases as the pleasantness coefficient decreases, and the joint utility and utility difference tend to decrease; when the certainty level is low, the utility difference of the negotiation results is affected by the change of the pleasantness dimension.\nIn summary, we can conclude that both certainty and pleasantness have a significant impact on negotiation results in the Appraisal Tendency Framework, and there is an interaction between these two dimensions.\n\n\n### 5.6 Comparisons\nThis section compares the proposed concession updating algorithm, which is based on the variable parameter fi(n), with the methods that use a constant time discount factor denoted as λ. The numerical experiment is conducted with the same parameter settings.\nWith the same parameters set in the numerical experiment, this section compares the proposed concession updating algorithm based on variable parameter fi(n) with the method which has a constant discount factor denoted as λ. The experimental results and Friedman test results are shown in Table 13.\nNote: the better value of each indicator is bolded.\nThe results of the Friedman test show that the performance of the experimental results differs significantly among the analyzed methods, so we further conducted the Post-hoc Nemenyi test. The results of the Post-hoc Nemenyi test are shown in Table 14.\nThe above results show that there is no significant difference between the method with parameter fi1(n) and the method with parameter λ4 in the indicator of the negotiation round; meanwhile, there is no significant difference between the method with parameter fi1(n) and the method with parameter λ3 in the utility-related indicators; except for these, the performance difference of other comparison groups is significant. Most obviously, the method with the fixed parameter requires more rounds of emotional persuasion to reach an agreement, which takes more turns and also leads to a lower success rate. Therefore, it is necessary to select an appropriate value of λ to apply the basic method with a fixed parameter.\nWhen λ is small, both buyer agent and seller agent can reduce their concession ranges, but more rounds of persuasion are required to reach an agreement. In such a situation, the emotional persuasion may fail due to the limit of the maximum number of rounds of persuasion. When λ is large, both agents will increase their concession ranges, so that the emotional persuasion will reach an agreement as soon as possible. During this process, however, one agent’s interest may be seriously damaged because of the large concession range resulting from a large λ. The model proposed in this paper can make an agent choose a dynamic concession range according to its own attitude towards time; as such, a reasonable persuasion result can be obtained without considering how to set a suitable discount factor.\nIn the references [29,30], they both proposed a time-belief function to improve the negotiation process. The belief function (hereafter referred to as bfs) in literature [30] takes the form of a monotonic decreasing function (i.e., bfs=1−t/T), and the belief function in literature [29] is a monotonic increasing function (i.e., bfs=t/T).\nTable 15 compares the negotiation results and Friedman test results using the above method based on a time-belief function with the model established by this paper. Table 16 presents the post-hoc Nemenyi test results for different emotional persuasion based on time belief.\nNote: the better value of each indicator is bolded.\nThe Post-hoc Nemenyi test was also conducted after the results of the Friedman test showed that the performance of the analyzed methods differed significantly. The above results and analysis show that the comprehensive performance of the proposed method using the time function in this paper is significantly better than that of the method using the above-mentioned time belief functions, especially in terms of negotiation efficiency. A further analysis demonstrates that the time belief function always reduces concession ranges, but cannot reflect the acceleration effects of time on concession ranges. Therefore, a continuous reduction in concession ranges slows down the convergence rate of emotional persuasion, so that an agreement may not be likely to be reached when the persuasion arrives at the maximum round. The time function established in this paper can speed up or slow down the process of emotional persuasion, which is conducive to the success of emotional persuasion.\nIn order to further prove the validity of the proposed model, we compared it with other existing competing methods, which also aim to improve the intelligence of the agent.\nThe portfolio strategy persuasion model [5] integrates negotiation strategies such as time-dependent and behavior-dependent.\nThe hybrid strategy model [6] takes into account the opponent’s behavioral changes and remaining time as well as the opponent’s emotional state.\nThe emotional persuasion model [7] constructs an emotional agent that integrates emotional rendering and reasoning capabilities to select persuasion strategies and update negotiation proposals.\nWe conducted experiments for the above methods on the same dataset. The results were compared with the model proposed in this paper regarding the indicators of negotiation success rate, joint utility, utility difference, and negotiation rounds. To obtain a more reliable analysis, we use the Friedman test and the Post-hoc Nemenyi test to judge whether the difference in performance between the models is significant. The experimental results with the Friedman test are shown in Table 17. Meanwhile, the results of the Post-hoc Nemenyi test are shown in Table 18, and the test results indicate that the performance of different methods is significantly different.\nNote: the better value of each indicator is bolded.\nThe negotiation success rate and the average number of negotiation rounds are important performance indicators of the quality and efficiency of the interaction. In terms of negotiation success rate, our model achieves 100% with both the literature [6] and the literature [7] for the given dataset, which is significantly better than the literature [5]. As for the negotiation rounds indicator, the average number of negotiation rounds for the fastest method of negotiation [6] is about 2, which indicates that the method completes the negotiation almost at the very beginning of the negotiation and compromises too fast. Obviously, this is unreasonable and does not correspond to the reality of business negotiations [67]. In addition, it has been shown that the average number of negotiation rounds in human-agent negotiations generally does not exceed 20 [70]. Therefore, combining the above results, only our proposed model and the literature [7] are consistent with the reality, and the negotiation efficiency of this paper is better than that of the literature [7]. To sum up, the proposed method in this paper outperforms the other methods compared in terms of negotiation rounds.\nJoint utility and utility difference are important performance indicators for measuring negotiation results. Specifically, the utility difference primarily reflects fairness, which is crucial in impressing both parties and serves as a significant factor in achieving the final deal. In terms of utility, while the proposed method in this paper yields joint utility results that are somewhat inferior to those reported in the literature [5], the latter exhibits a large utility difference, which indicates low fairness between the negotiating parties. By comparison, although our method shows a slightly worse utility difference than the literature [7], it produces better joint utility results. Overall, the results are comparable.\nIn summary, the results of the comparison with other methods can effectively show that the proposed model can effectively improve the quality and efficiency of the interaction. Meanwhile, our proposed model also has good performance in improving the joint utility of negotiation and reducing the utility difference. The above findings can prove the validity and advancement of the proposed model in this paper.\n\n\n### 5.6.1 Comparison with the fixed discount parameter method.\nThis section compares the proposed concession updating algorithm, which is based on the variable parameter fi(n), with the methods that use a constant time discount factor denoted as λ. The numerical experiment is conducted with the same parameter settings.\nWith the same parameters set in the numerical experiment, this section compares the proposed concession updating algorithm based on variable parameter fi(n) with the method which has a constant discount factor denoted as λ. The experimental results and Friedman test results are shown in Table 13.\nNote: the better value of each indicator is bolded.\nThe results of the Friedman test show that the performance of the experimental results differs significantly among the analyzed methods, so we further conducted the Post-hoc Nemenyi test. The results of the Post-hoc Nemenyi test are shown in Table 14.\nThe above results show that there is no significant difference between the method with parameter fi1(n) and the method with parameter λ4 in the indicator of the negotiation round; meanwhile, there is no significant difference between the method with parameter fi1(n) and the method with parameter λ3 in the utility-related indicators; except for these, the performance difference of other comparison groups is significant. Most obviously, the method with the fixed parameter requires more rounds of emotional persuasion to reach an agreement, which takes more turns and also leads to a lower success rate. Therefore, it is necessary to select an appropriate value of λ to apply the basic method with a fixed parameter.\nWhen λ is small, both buyer agent and seller agent can reduce their concession ranges, but more rounds of persuasion are required to reach an agreement. In such a situation, the emotional persuasion may fail due to the limit of the maximum number of rounds of persuasion. When λ is large, both agents will increase their concession ranges, so that the emotional persuasion will reach an agreement as soon as possible. During this process, however, one agent’s interest may be seriously damaged because of the large concession range resulting from a large λ. The model proposed in this paper can make an agent choose a dynamic concession range according to its own attitude towards time; as such, a reasonable persuasion result can be obtained without considering how to set a suitable discount factor.\n\n\n### 5.6.2 Comparison with on other time-belief functions.\nIn the references [29,30], they both proposed a time-belief function to improve the negotiation process. The belief function (hereafter referred to as bfs) in literature [30] takes the form of a monotonic decreasing function (i.e., bfs=1−t/T), and the belief function in literature [29] is a monotonic increasing function (i.e., bfs=t/T).\nTable 15 compares the negotiation results and Friedman test results using the above method based on a time-belief function with the model established by this paper. Table 16 presents the post-hoc Nemenyi test results for different emotional persuasion based on time belief.\nNote: the better value of each indicator is bolded.\nThe Post-hoc Nemenyi test was also conducted after the results of the Friedman test showed that the performance of the analyzed methods differed significantly. The above results and analysis show that the comprehensive performance of the proposed method using the time function in this paper is significantly better than that of the method using the above-mentioned time belief functions, especially in terms of negotiation efficiency. A further analysis demonstrates that the time belief function always reduces concession ranges, but cannot reflect the acceleration effects of time on concession ranges. Therefore, a continuous reduction in concession ranges slows down the convergence rate of emotional persuasion, so that an agreement may not be likely to be reached when the persuasion arrives at the maximum round. The time function established in this paper can speed up or slow down the process of emotional persuasion, which is conducive to the success of emotional persuasion.\n\n\n### 5.6.3 Comparisons with other existing competing methods.\nIn order to further prove the validity of the proposed model, we compared it with other existing competing methods, which also aim to improve the intelligence of the agent.\nThe portfolio strategy persuasion model [5] integrates negotiation strategies such as time-dependent and behavior-dependent.\nThe hybrid strategy model [6] takes into account the opponent’s behavioral changes and remaining time as well as the opponent’s emotional state.\nThe emotional persuasion model [7] constructs an emotional agent that integrates emotional rendering and reasoning capabilities to select persuasion strategies and update negotiation proposals.\nWe conducted experiments for the above methods on the same dataset. The results were compared with the model proposed in this paper regarding the indicators of negotiation success rate, joint utility, utility difference, and negotiation rounds. To obtain a more reliable analysis, we use the Friedman test and the Post-hoc Nemenyi test to judge whether the difference in performance between the models is significant. The experimental results with the Friedman test are shown in Table 17. Meanwhile, the results of the Post-hoc Nemenyi test are shown in Table 18, and the test results indicate that the performance of different methods is significantly different.\nNote: the better value of each indicator is bolded.\nThe negotiation success rate and the average number of negotiation rounds are important performance indicators of the quality and efficiency of the interaction. In terms of negotiation success rate, our model achieves 100% with both the literature [6] and the literature [7] for the given dataset, which is significantly better than the literature [5]. As for the negotiation rounds indicator, the average number of negotiation rounds for the fastest method of negotiation [6] is about 2, which indicates that the method completes the negotiation almost at the very beginning of the negotiation and compromises too fast. Obviously, this is unreasonable and does not correspond to the reality of business negotiations [67]. In addition, it has been shown that the average number of negotiation rounds in human-agent negotiations generally does not exceed 20 [70]. Therefore, combining the above results, only our proposed model and the literature [7] are consistent with the reality, and the negotiation efficiency of this paper is better than that of the literature [7]. To sum up, the proposed method in this paper outperforms the other methods compared in terms of negotiation rounds.\nJoint utility and utility difference are important performance indicators for measuring negotiation results. Specifically, the utility difference primarily reflects fairness, which is crucial in impressing both parties and serves as a significant factor in achieving the final deal. In terms of utility, while the proposed method in this paper yields joint utility results that are somewhat inferior to those reported in the literature [5], the latter exhibits a large utility difference, which indicates low fairness between the negotiating parties. By comparison, although our method shows a slightly worse utility difference than the literature [7], it produces better joint utility results. Overall, the results are comparable.\nIn summary, the results of the comparison with other methods can effectively show that the proposed model can effectively improve the quality and efficiency of the interaction. Meanwhile, our proposed model also has good performance in improving the joint utility of negotiation and reducing the utility difference. The above findings can prove the validity and advancement of the proposed model in this paper.\n\n\n### 5.7 A practical application of the proposed model\nIn this subsection, we provide a case study to describe an application example of the proposed method. The application example focuses on the negotiations about purchasing thermal coal between Kailuan Group International Logistics Co., Ltd. (the buyer and hereafter referred to as KL) and Qinhuangdao Mingwei Economic and Trade Co., Ltd. (the seller and hereafter referred to as QM). KL is a large enterprise mainly engaged in the road transportation industry, which has a long-term and stable demand for coal energy. QM belongs to the wholesale industry, and the main business scope includes wholesale coal, steel, and building materials product sales. KL ordered thermal coal from QM every few months, with each purchase involving approximately 15000 metric tons. Since the thermal coal market has become more volatile, they have to negotiate with each other to settle the price and the calorific value, an important quality indicator of the thermal coal. In general, a high caloric value implies a high quality of the thermal coal. Previously both companies dispatched negotiating teams to engage in the human-led negotiations and it often took one or two days to arrive at the consensus. We contacted KL and introduced our developed agent-based automated negotiation system. KL showed interests in the negotiation system and agreed to try the system.\nThe negotiation system was developed based on the proposed scheme. Fig 8 shows the operating screen. The left side of the screen contains the initial parameters needed to be provided by the user, including the first-round proposal values of price and quality, the expected transaction value of price and quality, the relationship between the negotiating parties (trust level), and the time attitude towards the negotiation (time belief). There are four buttons in the upper right of the screen, which are respectively for loading parameters, starting negotiation, saving results, and resetting. By clicking the button “Load parameters”, the system can obtain the initial parameter manually entered on the left side of the interface; click “Start negotiation”, and the system starts the automated negotiation program to interact with the opponent. The real-time negotiation results will be synchronously displayed at the lower right. When the negotiation is over, clicking “Save results” can save the negotiation results record in the system, and then clicking the button “Reset” can reset the system.\nKL set the initial price and the quality to be 720 RMB/metric ton and 5900 kcal/kg, respectively, and the expected transaction values of both attributes were set to be 728 RMB/metric ton and 5600 kcal/kg, respectively. These values are set according to the mean values of the latest five historical negotiations of LK and the current spot market of the thermal coal of the same specifications. KL and QM have a long-term cooperation and thus the “trust level” was set to be high. Meanwhile, KL preferred the slow-first-and-then-fast negotiation style and accordingly the “time belief” was set to be “slow first and fast later”. The negotiation results can be obtained by clicking the “Load parameters” and “Start negotiation” buttons successively, as shown in Fig 9.\nAfter seven rounds of negotiation, which took about 32 minutes, the two parties reached an agreement on the negotiating attributes. The counter-offer values for each round of negotiation between KL and QM are shown in Fig 10.\nIn addition, we compare the results of five historical manual negotiations of KL with those generated by this automated negotiation system. The results are shown in Fig 11, where blue represents the results of the last five manual negotiations of KL and red represents the results of using the automated negotiation system.\nBy observing Fig 11, it can be seen that the method proposed in this paper can obtain a result comparable to that of manual negotiation. It’s worth mentioning that the automated negotiation results were both second only to the best record of manual negotiation in terms of price and quality. That is to say, high-quality thermal coal can be bought at a relatively low price with the automated negotiation system. Therefore, KL was satisfied with the automated negotiation results and expressed its willingness to cooperate with us to further revise the system.\n\n\n### 6. Discussion\nHerein, an emotion-driven model for automated negotiation is proposed, which integrates the dimensions of certainty and pleasantness into the selection of emotional persuasion strategies based on the ATF. The concession update algorithm is improved by incorporating a time function, which increases the intelligence of the persuasion process. A series of numerical experiments evaluated the effectiveness of the proposed model with the mentioned theoretical implications.\nThe key innovation of the proposed model lies in dynamically selecting emotional persuasion strategies based on the ATF to enhance agent-based negotiation with opponents. The ATF, a well-established theory concerning the influence of specific emotions on consumer perceptions and decision making, has been widely used in areas such as risk assessment and value evaluation. However, to the best of our knowledge, this is the first study to integrate the ATF in agent-based automated negotiation. This study focused on leveraging the ATF to draw causal inferences, improving the interpretability of the negotiation process, from cognitive evaluation modeling to emotional strategy selection. It is expected to bridge the gap between the theoretical and practical applications of the ATF for diverse applications.\nThis study identifies “realism” as the primary goal of emotion modeling—preserving and leveraging the full spectrum of emotions and their corresponding cognitive appraisal tendencies throughout multi-round negotiations, thereby enabling agents to develop process-oriented regulation mechanisms similar to those of humans. “Effectiveness” refers to the natural performance that emerges under varying opponent types, bargaining intensities, and time pressures. Compared with agents that adopt only a positive attitude, the complete emotional expression, mapped through the cognitive dimensions of the ATF, offers a broader strategic space and greater adaptability.\nHuman emotions possess motivational properties that enable individuals to dynamically adjust their judgments and decisions, independent of past experiences. This paper integrates human emotions to enhance the automation and flexibility of agent-based systems in selecting appropriate emotional persuasion strategies within dynamic environments. While numerous studies have explored modeling agents’ emotions, most existing literature focuses on simulating the generation of emotions and their direct influence on decision-making. In contrast, the current study differentiates itself by deconstructing emotions into cognitive dimensions, which are then mapped automatically onto emotional persuasion strategy selection processes using a flexible yet specific framework: the Appraisal Tendency Framework. The results of the ablation study further validate the effectiveness of this approach. This study validates the effectiveness of emotional persuasion strategies and time-based concession mechanisms in an automated–automated negotiation scenario, demonstrating that their combination can significantly improve negotiation success rate, joint utility, and fairness. It is worth noting that although the experimental setting of this study is limited to automated–automated negotiations, the proposed emotional appraisal mechanism and time-based concession modeling framework are not confined to such scenarios. Theoretically, this framework is equally applicable to human–agent negotiation contexts. In future work, we will conduct human–agent experiments based on the existing model, incorporating interaction log analysis between humans and machines while keeping the core mechanisms unchanged, in order to assess the framework’s applicability and value in human–agent environments.\nThe time-belief function represents a negotiator’s attitude toward time. In this paper, we propose two kinds of time belief functions with a non-constant rate of change, reflecting the dynamic nature of agents’ attitudes toward time pressure. This approach offers more practical options for the agent, depending on the urgency of time. Meanwhile, this study explores how varying time parameters affect negotiation results through extensive comparative experiments. The experimental findings indicate that the time-belief functions introduced in this work significantly enhance the effectiveness of emotional persuasion, outperforming other benchmark methods. Furthermore, we analyze the specific influence of different time-belief parameter configurations on concessions and present corresponding conclusions in Section 5. Overall, this research provides some valuable insights for future studies in selecting or designing appropriate time functions.\nThis study has significant potential for a wide range of practical applications in the fields of automated negotiation and intelligent decision-making within business intelligence. It is well established that the design of an agent’s capability framework fundamentally determines the level of intelligence it can exhibit, which in turn forms the foundation for constructing an intelligent interactive system. From the perspective of negotiation system design, the proposed model can be viewed as an extension of traditional automated negotiation systems, as it incorporates not only human emotions but also responses to time pressure. Specifically, the novel automated negotiation system proposed in this paper addresses user expectations for machines that exhibit anthropomorphic characteristics, while also accommodating the diverse time-related preferences of different users.\nThe system is structured as follows: the core emotion module consists of two sub-modules designed to model (1) the level of trust between negotiating partners, and (2) the degree of pleasantness experienced during the real-time negotiation process. This basic emotion module is flexible and can be expanded to incorporate additional cognitive dimensions as outlined in the Appraisal Tendency Framework theory. For instance, the responsibility dimension could be modeled based on the negotiation partner’s historical performance. The second component of the system is the time module, which features adaptive matching capabilities. This module can generate different time belief functions tailored to the negotiators’ time attitudes. For the purposes of this paper, two temporal attitudes are initially proposed for selection. However, this module can also be further extended based on the time-belief functions discussed herein, allowing for additional customization according to specific system requirements, thereby offering more options to the negotiating parties. In summary, by developing and extending the emotional persuasion model presented in this paper, it is possible to create a more practical and effective artificial intelligence-based automated negotiation system.\nThis positioning also provides a methodological cornerstone for extending to human–machine negotiation. Under interaction conditions where human emotions are more uncertain and volatile, complete emotional expression and process-oriented regulation become particularly critical. In future work, we will explore context-aware emotional adaptive selection to achieve a better balance among realism, effectiveness, and efficiency.\nMoreover, a comprehensive understanding of how to effectively use the negotiation system is essential for its successful implementation. Managers should assess which model offers the greatest practical benefits by accurately evaluating the company’s specific conditions and needs. The proposed model is parameter-rich, providing greater flexibility and enabling companies to adjust parameters according to their unique circumstances. For example, in a profit-driven organization, if the company has a high level of trust, negotiating with a party that has a significantly lower trust level may yield greater benefits. Conversely, if the company’s trust level is low, it may be more advantageous to negotiate with a party whose trust level is closer to its own. Similarly, the choice of time-belief function depends on the company’s strategic priorities. If the company places a high value on negotiation efficiency and the total utility of both parties, the time-belief function F2 should be selected. However, if the primary concern is the utility difference between the parties, the time-belief function F1 or another fixed-speed time-belief function would be more appropriate. In summary, by accurately identifying the company’s needs and strategically utilizing the automated negotiation system, greater value can be created for the organization.\nWhile it is acknowledged that human negotiators often possess superior negotiation skills, which can lead to more favorable outcomes, the human and time costs associated with human-to-human negotiations are significantly higher than those involved in human-to-machine negotiations. This is especially evident in B2C e-commerce environments, where a large number of buyers are involved. Consequently, we are confident that the proposed automated negotiation system can serve as a valuable complement to human-human negotiations in online e-commerce settings. In addition to B2C e-commerce platforms, the potential applications of this negotiation system extend beyond these environments and may include, but are not limited to, enterprise procurement processes and carbon emission trading systems, etc.\nThe limitations of this study are mentioned below.\nWhile the proposed model emphasizes the role of cognitive appraisal and develops a method for selecting emotional persuasion strategies based on the ATF, it considers two primary cognitive dimensions. Future research can expand the model by incorporating additional dimensions, such as attentional engagement and responsibility, to comprehensively capture the personalized characteristics of agents. Regarding emotional strategy selection, it primarily establishes discrete correspondences. Future studies can explore the internalization of these strategies within cognitive dimensions, potentially establishing continuous, linear, or nonlinear relationships.\nOwing to the confidential nature of commercial negotiation data, which is not readily accessible, this model primarily relied on numerical simulations for validation. Future studies can incorporate laboratory experiments by collecting empirical data to further test and refine the validity of the model.\nAlthough the current model considers both emotional and temporal factors, they are modeled independently, without reflecting the dynamic regulatory effect of emotions on time perception. Future work can introduce coupling parameters to map emotional dimensions to the parameters of the time function, allowing time pressure perception to vary with emotional fluctuations. Controlled experiments can then be designed to compare negotiation outcomes under independent and coupled modeling, in order to verify performance differences and applicability.\n\n\n### 6.1 Theoretical implications\nHerein, an emotion-driven model for automated negotiation is proposed, which integrates the dimensions of certainty and pleasantness into the selection of emotional persuasion strategies based on the ATF. The concession update algorithm is improved by incorporating a time function, which increases the intelligence of the persuasion process. A series of numerical experiments evaluated the effectiveness of the proposed model with the mentioned theoretical implications.\nThe key innovation of the proposed model lies in dynamically selecting emotional persuasion strategies based on the ATF to enhance agent-based negotiation with opponents. The ATF, a well-established theory concerning the influence of specific emotions on consumer perceptions and decision making, has been widely used in areas such as risk assessment and value evaluation. However, to the best of our knowledge, this is the first study to integrate the ATF in agent-based automated negotiation. This study focused on leveraging the ATF to draw causal inferences, improving the interpretability of the negotiation process, from cognitive evaluation modeling to emotional strategy selection. It is expected to bridge the gap between the theoretical and practical applications of the ATF for diverse applications.\nThis study identifies “realism” as the primary goal of emotion modeling—preserving and leveraging the full spectrum of emotions and their corresponding cognitive appraisal tendencies throughout multi-round negotiations, thereby enabling agents to develop process-oriented regulation mechanisms similar to those of humans. “Effectiveness” refers to the natural performance that emerges under varying opponent types, bargaining intensities, and time pressures. Compared with agents that adopt only a positive attitude, the complete emotional expression, mapped through the cognitive dimensions of the ATF, offers a broader strategic space and greater adaptability.\nHuman emotions possess motivational properties that enable individuals to dynamically adjust their judgments and decisions, independent of past experiences. This paper integrates human emotions to enhance the automation and flexibility of agent-based systems in selecting appropriate emotional persuasion strategies within dynamic environments. While numerous studies have explored modeling agents’ emotions, most existing literature focuses on simulating the generation of emotions and their direct influence on decision-making. In contrast, the current study differentiates itself by deconstructing emotions into cognitive dimensions, which are then mapped automatically onto emotional persuasion strategy selection processes using a flexible yet specific framework: the Appraisal Tendency Framework. The results of the ablation study further validate the effectiveness of this approach. This study validates the effectiveness of emotional persuasion strategies and time-based concession mechanisms in an automated–automated negotiation scenario, demonstrating that their combination can significantly improve negotiation success rate, joint utility, and fairness. It is worth noting that although the experimental setting of this study is limited to automated–automated negotiations, the proposed emotional appraisal mechanism and time-based concession modeling framework are not confined to such scenarios. Theoretically, this framework is equally applicable to human–agent negotiation contexts. In future work, we will conduct human–agent experiments based on the existing model, incorporating interaction log analysis between humans and machines while keeping the core mechanisms unchanged, in order to assess the framework’s applicability and value in human–agent environments.\nThe time-belief function represents a negotiator’s attitude toward time. In this paper, we propose two kinds of time belief functions with a non-constant rate of change, reflecting the dynamic nature of agents’ attitudes toward time pressure. This approach offers more practical options for the agent, depending on the urgency of time. Meanwhile, this study explores how varying time parameters affect negotiation results through extensive comparative experiments. The experimental findings indicate that the time-belief functions introduced in this work significantly enhance the effectiveness of emotional persuasion, outperforming other benchmark methods. Furthermore, we analyze the specific influence of different time-belief parameter configurations on concessions and present corresponding conclusions in Section 5. Overall, this research provides some valuable insights for future studies in selecting or designing appropriate time functions.\n\n\n### 6.2 Practical implications\nThis study has significant potential for a wide range of practical applications in the fields of automated negotiation and intelligent decision-making within business intelligence. It is well established that the design of an agent’s capability framework fundamentally determines the level of intelligence it can exhibit, which in turn forms the foundation for constructing an intelligent interactive system. From the perspective of negotiation system design, the proposed model can be viewed as an extension of traditional automated negotiation systems, as it incorporates not only human emotions but also responses to time pressure. Specifically, the novel automated negotiation system proposed in this paper addresses user expectations for machines that exhibit anthropomorphic characteristics, while also accommodating the diverse time-related preferences of different users.\nThe system is structured as follows: the core emotion module consists of two sub-modules designed to model (1) the level of trust between negotiating partners, and (2) the degree of pleasantness experienced during the real-time negotiation process. This basic emotion module is flexible and can be expanded to incorporate additional cognitive dimensions as outlined in the Appraisal Tendency Framework theory. For instance, the responsibility dimension could be modeled based on the negotiation partner’s historical performance. The second component of the system is the time module, which features adaptive matching capabilities. This module can generate different time belief functions tailored to the negotiators’ time attitudes. For the purposes of this paper, two temporal attitudes are initially proposed for selection. However, this module can also be further extended based on the time-belief functions discussed herein, allowing for additional customization according to specific system requirements, thereby offering more options to the negotiating parties. In summary, by developing and extending the emotional persuasion model presented in this paper, it is possible to create a more practical and effective artificial intelligence-based automated negotiation system.\nThis positioning also provides a methodological cornerstone for extending to human–machine negotiation. Under interaction conditions where human emotions are more uncertain and volatile, complete emotional expression and process-oriented regulation become particularly critical. In future work, we will explore context-aware emotional adaptive selection to achieve a better balance among realism, effectiveness, and efficiency.\nMoreover, a comprehensive understanding of how to effectively use the negotiation system is essential for its successful implementation. Managers should assess which model offers the greatest practical benefits by accurately evaluating the company’s specific conditions and needs. The proposed model is parameter-rich, providing greater flexibility and enabling companies to adjust parameters according to their unique circumstances. For example, in a profit-driven organization, if the company has a high level of trust, negotiating with a party that has a significantly lower trust level may yield greater benefits. Conversely, if the company’s trust level is low, it may be more advantageous to negotiate with a party whose trust level is closer to its own. Similarly, the choice of time-belief function depends on the company’s strategic priorities. If the company places a high value on negotiation efficiency and the total utility of both parties, the time-belief function F2 should be selected. However, if the primary concern is the utility difference between the parties, the time-belief function F1 or another fixed-speed time-belief function would be more appropriate. In summary, by accurately identifying the company’s needs and strategically utilizing the automated negotiation system, greater value can be created for the organization.\nWhile it is acknowledged that human negotiators often possess superior negotiation skills, which can lead to more favorable outcomes, the human and time costs associated with human-to-human negotiations are significantly higher than those involved in human-to-machine negotiations. This is especially evident in B2C e-commerce environments, where a large number of buyers are involved. Consequently, we are confident that the proposed automated negotiation system can serve as a valuable complement to human-human negotiations in online e-commerce settings. In addition to B2C e-commerce platforms, the potential applications of this negotiation system extend beyond these environments and may include, but are not limited to, enterprise procurement processes and carbon emission trading systems, etc.\n\n\n### 6.3 Limitations\nThe limitations of this study are mentioned below.\nWhile the proposed model emphasizes the role of cognitive appraisal and develops a method for selecting emotional persuasion strategies based on the ATF, it considers two primary cognitive dimensions. Future research can expand the model by incorporating additional dimensions, such as attentional engagement and responsibility, to comprehensively capture the personalized characteristics of agents. Regarding emotional strategy selection, it primarily establishes discrete correspondences. Future studies can explore the internalization of these strategies within cognitive dimensions, potentially establishing continuous, linear, or nonlinear relationships.\nOwing to the confidential nature of commercial negotiation data, which is not readily accessible, this model primarily relied on numerical simulations for validation. Future studies can incorporate laboratory experiments by collecting empirical data to further test and refine the validity of the model.\nAlthough the current model considers both emotional and temporal factors, they are modeled independently, without reflecting the dynamic regulatory effect of emotions on time perception. Future work can introduce coupling parameters to map emotional dimensions to the parameters of the time function, allowing time pressure perception to vary with emotional fluctuations. Controlled experiments can then be designed to compare negotiation outcomes under independent and coupled modeling, in order to verify performance differences and applicability.\n\n\n### 7. Conclusion\nThis study enhanced the modeling of agent-based persuasion behavior in automated negotiation by emphasizing the roles of emotion and timing. The concession process of the model was developed within the framework of emotional persuasion based on the ATF, focusing on two cognitive dimensions: certainty and pleasantness. Additionally, the proposed concession update algorithm was improved by incorporating a time function, enabling the agent to consider the urgency of time and emotional persuasion in making concessions. The results demonstrated that integrating emotion and timing into automated negotiation significantly improved the performance. Our proposed model outperformed existing persuasion models in terms of persuasion SR, negotiation efficiency, and overall social welfare. Consequently, this study provided valuable insights for the design of advanced automated negotiation systems.", "domain": "affective_neuroscience"}
{"source": "PMC12376785", "title": "The effects of happiness and hope on executive functions", "text": "# The effects of happiness and hope on executive functions\n\n## Abstract\nThe notion that positive emotions always yield positive outcomes is compelling, yet prior meta-analytic findings (19 effect sizes) suggest no impact on executive functions. Limitations have been noted regarding the induction of specific positive emotions and assessment quality, especially for cognitive flexibility and working memory. To expand on this, the current studies induced happiness and hope in college students to examine effects on inhibition, cognitive flexibility (study 1, N = 27), and working memory (study 2, N = 30). Results confirmed successful emotion induction and revealed that cognitive flexibility was significantly higher in the happiness condition than in a neutral condition (p = 0.014, d = 0.427). Findings suggest challenges in experimentally differentiating discrete positive emotions and indicate that not all executive functions are equally affected. Overall, these results lend support to Isen’s facilitator theory but should be interpreted with caution.\n\n## Full Text\n\n\n### Introduction\nHow positive emotions (PEs) can impact cognitive processes has been a growing interest over the past few decades; however, there is disagreement. There are theoretical models that depict a facilitating impact of PEs on cognition (e.g., facilitator theory), while others emphasize a negative influence (e.g., cognitive load theory). A recent meta-analysis concluded that PEs do not have a significant impact on executive functions (EFs: inhibition, cognitive flexibility, and working memory; Lautenbach, 2024). However, further investigations appear necessary, especially because the methods used to assess EFs varied between studies, and the assessment of cognitive flexibility and working memory is critical (Lautenbach, 2024). At the same time, most of the recent studies assessed valence as part of affect as the main indication for a successful emotion induction, and only a few studies actually compare PEs within a single study (e.g., Cameron et al., 2018). Thus, the aim of the current studies is to overcome some of the limitations and deepen our understanding of the impact of PEs on cognition, specifically on EFs. Therefore, in a within-subject design, happiness and hope were induced via false feedback, and all core EFs were assessed via well-known and reliable computer-based tasks (i.e., study 1: flanker task, number-letter task; study 2: n-back task).\nPEs are “brief, multisystem responses” to positive appraisals of current circumstances (Fredrickson, 2013, p. 3–4). Different researchers categorize PEs uniquely. For example, Fredrickson lists joy, gratitude, serenity, and hope among the top 10 PEs, while Shiota et al. (2014) identify emotions such as pride, awe, and contentment in the PANACEAS (i.e., Pride, amusement, nurturant love, attachment love, contentment, enthusiasm, awe, and sexual desire) taxonomy. Lazarus (2000) classifies emotions such as compassion, happiness, and pride as PEs but considers hope and relief borderline cases, as they may include both positive and negative elements. A consensus on defining discrete PEs has not been reached, indicating a need for further research (Villanueva et al., 2021).\nHappiness (or joy) and hope are widely recognized as distinct positive emotions (Fredrickson, 2013; Lazarus, 2000). Lazarus uses happiness and joy interchangeably, viewing it as progress toward a goal, while Fredrickson sees it as arising from unexpected good fortune. Lazarus’s definition of happiness emphasizes continuous goal pursuit and fostering sustained motivation, while Fredrickson describes joy as sparking an urge to play, which can be physically, socially, or intellectually, or engage without a specific aim. For this study, aspects of both definitions are incorporated to facilitate experimental manipulation. In detail, happiness will be defined in line with Lazarus’s goal-oriented perspective (i.e., participants are provided with an experimental task) and also in line with Fredrickson’s urge to play physically (i.e., physical activation due to experimental task) and later intellectually (i.e., cognitive task).\nHope is defined as “fearing the worst but yearning for better, and believing improvement is possible” (Lazarus, 2000, p. 234). It often emerges in difficult circumstances, motivating individuals to use their capabilities to change the situation (Fredrickson, 2013). Snyder describes hope as a cognitive orientation involving goal-directed determination (agency) and strategies for achieving goals (pathways; Snyder et al., 1996). Both definitions suggest that hope, similar to happiness, fosters strong motivation, supporting its role as a motivational state (Gustafsson et al., 2010). However, hope’s action tendency includes an individual to plan for the future and thereby, draw upon their own resources (Fredrickson, 2013).\nOperationalizing PEs experimentally is challenging (e.g., Pourtois et al., 2017), and clear distinctions between them remain elusive (Roth and Laireiter, 2021). This may explain why most studies have focused on general positive affect or mood, while only about one in five have experimentally induced specific PEs, that is, happiness or joy (see review by Joseph et al., 2020; Lautenbach, 2024), predominantly using film clips (Lench et al., 2011). However, this approach is not equally relevant for all target groups and does not necessarily capture the context-dependent nature of emotional experiences. In other words, positive emotions such as happiness or joy do not naturally arise solely from passively watching films but are more commonly elicited through social interaction, play (Fredrickson, 1998), or successful task performance (Lazarus, 2000). To enhance the ecological validity of PE inductions, more contextually appropriate methods should be employed. Therefore, the current study aim to incorporate a physical performance-related task for sport students, as previous research has demonstrated positive correlations between PEs and athletic performance (Moen et al., 2018).\nIn addition, when assessing affective or emotional states, only one in five studies employs standardized questionnaires for distinct emotions, while the majority rely on broader affect measurements, such as valence (Lautenbach, 2024). Therefore, the current studies aim to use questionnaires to assess discrete emotions.\nFinally, not only do studies rarely compare positive emotions to neutral conditions (approximately one-third; see Lench et al., 2011, p. 843), but none of the studies analyzed by Lench et al. (2011) directly compared discrete positive emotions with one another. Altogether, only a few studies have done so (e.g., Cameron et al., 2018), which is problematic as different PEs may affect cognitive processes differently (Griskevicius et al., 2010). In detail, based on the provided definitions and theoretical perspectives on the cognitive effects of happiness and hope (see below), one could argue that happiness is more likely to broaden the thought-action repertoire (Fredrickson, 1998). However, this broadening may come at the cost of less detailed processing of incoming information, potentially leading to decreased cognitive performance (Griskevicius et al., 2010). In contrast, hope incorporates an element of fear, which individuals seek to minimize by drawing on their own resources and planning for the future (Fredrickson, 2013). Consequently, hope may promote a more detailed processing of information and enhance cognitive performance. This theoretical distinction highlights that PE is not a single, uniform construct but rather consists of distinct emotional states, each with unique functional effects that warrant individual investigation (Griskevicius et al., 2010). Thus, this study aims to induce happiness and hope as discrete emotions to explore their distinct effects on cognitive processes, particularly executive functions.\nEFs are specific cognitive processes that support attention and goal-directed behavior (Lautenbach et al., 2024). EFs play a key role in mental and physical health, school achievement, career success, and public safety (Diamond, 2013). Core EFs include inhibitory control (overriding internal or external impulses), cognitive flexibility (adapting to new demands or shifting tasks), and working memory (holding and manipulating information; Diamond, 2013). Higher-level EFs, such as reasoning, planning, and problem-solving, depend on these core processes (Diamond, 2013).\nRecently, the assessment of core EFs, especially cognitive flexibility and working memory, has been criticized (Lautenbach, 2024). Whereas inhibition is commonly assessed with standardized tasks, such as the flanker or Stroop tasks, cognitive flexibility was often measured using non-standardized tasks, such as word naming. For working memory, only two of four studies used the standardized n-back task (Au and Tang, 2019; Guo et al., 2020), while the others used memory tasks that did not require mental working with information (Lautenbach, 2024). Furthermore, increasing the number of trials is recommended to reduce variance (Lautenbach, 2024). Therefore, this study will use standardized computer tasks with an adequate number of trials to measure inhibition (flanker task), cognitive flexibility (number-letter task), and working memory (n-back task).\nTheoretical models on the effects of PEs on cognition, particularly EFs, suggest either facilitation or hindrance (Lautenbach et al., 2024; Mitchell and Phillips, 2007). The flexibility hypothesis proposes that PEs broaden focus while maintaining attention to details, enhancing inhibition and cognitive flexibility (Isen, 2009). The dopamine hypothesis (Ashby et al., 1999) links positive affect with increased dopamine levels, facilitating working memory and attention. Fredrickson’s broaden-and-build theory (2001) suggests that PEs expand thought-action repertoires and build personal resources. While specific predictions are challenging (Revord et al., 2021), it is likely that cognitive flexibility increases, while inhibition, requiring close attention, might decrease.\nContrary to theories suggesting positive impacts of PEs on cognition (e.g., Isen, Ashby, and Fredrickson), capacity theories, such as cognitive load theory (Sweller et al., 1998), argue that emotions consume cognitive resources by activating emotion-related networks, impairing cognitive performance through heuristic processing (Mitchell and Phillips, 2007). Similarly, the mood-as-information theory suggests that positive emotions reduce perceived threats, leading to less rigorous problem-solving and more reliance on heuristics. Since EFs require significant attentional control (Miyake and Friedman, 2012), this could result in decreased cognitive performance.\nThere are several previous reviews that have tried to support the theoretical approaches focusing on the impact of PEs on cognition with empirical evidence, and the results are mixed (e.g., the review by Mitchell and Phillips, 2007), with some even reporting no effects (see the review and meta-analysis by Lautenbach, 2024).\nStudies on the impact of PEs on inhibition show mixed results. Some experiments (Rowe et al., 2007; Phillips et al., 2002) found impairment, while others (Wenzel et al., 2013) observed increased inhibitory control. All studies used similar participant structures (age and gender balance) and standardized tasks (flanker and Stroop) with sufficient trials. However, while positive affect was increased, discrete emotions were not assessed. The contradictory findings highlight the need for further empirical evidence to better understand the effect of PEs on inhibition, a key aspect of executive functioning (Miyake and Friedman, 2012).\nNo consistent effect of PEs on cognitive flexibility has been found, despite its importance for creativity (Diamond, 2013). While some studies show a positive impact (e.g., De Dreu et al., 2008), others do not. Future studies should use tasks such as switching paradigms to better assess adaptation to changing rules (Lautenbach, 2024). This study aims to implement more rigorous computer-based measures of cognitive flexibility.\nFinally, results on working memory performance show mixed findings (Lautenbach, 2024). Four meta-analysis experiments revealed no effect in two studies (Martin and Kerns, 2010; Guo et al., 2020), while one study found an increase (Au and Tang, 2019) and another a decrease (Martin and Kerns, 2010). Despite using similar affect inductions (e.g., films), the studies had different designs and insufficient trials (13–18 trials). To address this, the present study will increase the number of trials.\nResearch on the effects of PEs on EFs remains inconclusive, most likely due to methodological differences (i.e., sample and assessment of PEs and EFs; see Mitchell and Phillips, 2007; Lautenbach, 2024; Revord et al., 2021). To address this, the current study will use standardized computer tasks with more trials to reduce variance. Two discrete PEs, happiness and hope, will be induced through false feedback on a performance task, targeting sports students engaged in regular physical activity. Previous studies have shown positive correlations between these emotions and athletic performance (Moen et al., 2018).\nFirst, it is hypothesized that happiness will increase in the happiness condition compared to the neutral condition (hypothesis 1a) and hope will increase in the hope condition compared to the neutral condition (hypothesis 1b, based on Lazarus’ core themes). It is expected that inhibitory performance (flanker effect response times and accuracy) will not differ between the PE and control conditions (hypothesis 2a, based on meta-analysis by Lautenbach, 2024). However, cognitive flexibility (switch cost, response times, and accuracy) will be better in the PE conditions compared to the control condition (hypothesis 2b, based on Isen’s flexibility hypothesis, as well as insufficient data in Lautenbach, 2024). No specific hypothesis is made regarding differences between happiness and hope conditions, even though a theoretical distinction was presented. Finally, working memory performance (response times and accuracy) will be better in the PE conditions compared to the control condition (hypothesis 2c, based on Au and Tang, 2019, as well as insufficient data in Lautenbach, 2024). No specific hypothesis is made about differences between the happiness and hope conditions, even though a theoretical distinction was presented.\n\n\n### Positive emotions\nPEs are “brief, multisystem responses” to positive appraisals of current circumstances (Fredrickson, 2013, p. 3–4). Different researchers categorize PEs uniquely. For example, Fredrickson lists joy, gratitude, serenity, and hope among the top 10 PEs, while Shiota et al. (2014) identify emotions such as pride, awe, and contentment in the PANACEAS (i.e., Pride, amusement, nurturant love, attachment love, contentment, enthusiasm, awe, and sexual desire) taxonomy. Lazarus (2000) classifies emotions such as compassion, happiness, and pride as PEs but considers hope and relief borderline cases, as they may include both positive and negative elements. A consensus on defining discrete PEs has not been reached, indicating a need for further research (Villanueva et al., 2021).\nHappiness (or joy) and hope are widely recognized as distinct positive emotions (Fredrickson, 2013; Lazarus, 2000). Lazarus uses happiness and joy interchangeably, viewing it as progress toward a goal, while Fredrickson sees it as arising from unexpected good fortune. Lazarus’s definition of happiness emphasizes continuous goal pursuit and fostering sustained motivation, while Fredrickson describes joy as sparking an urge to play, which can be physically, socially, or intellectually, or engage without a specific aim. For this study, aspects of both definitions are incorporated to facilitate experimental manipulation. In detail, happiness will be defined in line with Lazarus’s goal-oriented perspective (i.e., participants are provided with an experimental task) and also in line with Fredrickson’s urge to play physically (i.e., physical activation due to experimental task) and later intellectually (i.e., cognitive task).\nHope is defined as “fearing the worst but yearning for better, and believing improvement is possible” (Lazarus, 2000, p. 234). It often emerges in difficult circumstances, motivating individuals to use their capabilities to change the situation (Fredrickson, 2013). Snyder describes hope as a cognitive orientation involving goal-directed determination (agency) and strategies for achieving goals (pathways; Snyder et al., 1996). Both definitions suggest that hope, similar to happiness, fosters strong motivation, supporting its role as a motivational state (Gustafsson et al., 2010). However, hope’s action tendency includes an individual to plan for the future and thereby, draw upon their own resources (Fredrickson, 2013).\nOperationalizing PEs experimentally is challenging (e.g., Pourtois et al., 2017), and clear distinctions between them remain elusive (Roth and Laireiter, 2021). This may explain why most studies have focused on general positive affect or mood, while only about one in five have experimentally induced specific PEs, that is, happiness or joy (see review by Joseph et al., 2020; Lautenbach, 2024), predominantly using film clips (Lench et al., 2011). However, this approach is not equally relevant for all target groups and does not necessarily capture the context-dependent nature of emotional experiences. In other words, positive emotions such as happiness or joy do not naturally arise solely from passively watching films but are more commonly elicited through social interaction, play (Fredrickson, 1998), or successful task performance (Lazarus, 2000). To enhance the ecological validity of PE inductions, more contextually appropriate methods should be employed. Therefore, the current study aim to incorporate a physical performance-related task for sport students, as previous research has demonstrated positive correlations between PEs and athletic performance (Moen et al., 2018).\nIn addition, when assessing affective or emotional states, only one in five studies employs standardized questionnaires for distinct emotions, while the majority rely on broader affect measurements, such as valence (Lautenbach, 2024). Therefore, the current studies aim to use questionnaires to assess discrete emotions.\nFinally, not only do studies rarely compare positive emotions to neutral conditions (approximately one-third; see Lench et al., 2011, p. 843), but none of the studies analyzed by Lench et al. (2011) directly compared discrete positive emotions with one another. Altogether, only a few studies have done so (e.g., Cameron et al., 2018), which is problematic as different PEs may affect cognitive processes differently (Griskevicius et al., 2010). In detail, based on the provided definitions and theoretical perspectives on the cognitive effects of happiness and hope (see below), one could argue that happiness is more likely to broaden the thought-action repertoire (Fredrickson, 1998). However, this broadening may come at the cost of less detailed processing of incoming information, potentially leading to decreased cognitive performance (Griskevicius et al., 2010). In contrast, hope incorporates an element of fear, which individuals seek to minimize by drawing on their own resources and planning for the future (Fredrickson, 2013). Consequently, hope may promote a more detailed processing of information and enhance cognitive performance. This theoretical distinction highlights that PE is not a single, uniform construct but rather consists of distinct emotional states, each with unique functional effects that warrant individual investigation (Griskevicius et al., 2010). Thus, this study aims to induce happiness and hope as discrete emotions to explore their distinct effects on cognitive processes, particularly executive functions.\n\n\n### Executive functions\nEFs are specific cognitive processes that support attention and goal-directed behavior (Lautenbach et al., 2024). EFs play a key role in mental and physical health, school achievement, career success, and public safety (Diamond, 2013). Core EFs include inhibitory control (overriding internal or external impulses), cognitive flexibility (adapting to new demands or shifting tasks), and working memory (holding and manipulating information; Diamond, 2013). Higher-level EFs, such as reasoning, planning, and problem-solving, depend on these core processes (Diamond, 2013).\nRecently, the assessment of core EFs, especially cognitive flexibility and working memory, has been criticized (Lautenbach, 2024). Whereas inhibition is commonly assessed with standardized tasks, such as the flanker or Stroop tasks, cognitive flexibility was often measured using non-standardized tasks, such as word naming. For working memory, only two of four studies used the standardized n-back task (Au and Tang, 2019; Guo et al., 2020), while the others used memory tasks that did not require mental working with information (Lautenbach, 2024). Furthermore, increasing the number of trials is recommended to reduce variance (Lautenbach, 2024). Therefore, this study will use standardized computer tasks with an adequate number of trials to measure inhibition (flanker task), cognitive flexibility (number-letter task), and working memory (n-back task).\n\n\n### Theories on positive emotions impacting cognition\nTheoretical models on the effects of PEs on cognition, particularly EFs, suggest either facilitation or hindrance (Lautenbach et al., 2024; Mitchell and Phillips, 2007). The flexibility hypothesis proposes that PEs broaden focus while maintaining attention to details, enhancing inhibition and cognitive flexibility (Isen, 2009). The dopamine hypothesis (Ashby et al., 1999) links positive affect with increased dopamine levels, facilitating working memory and attention. Fredrickson’s broaden-and-build theory (2001) suggests that PEs expand thought-action repertoires and build personal resources. While specific predictions are challenging (Revord et al., 2021), it is likely that cognitive flexibility increases, while inhibition, requiring close attention, might decrease.\nContrary to theories suggesting positive impacts of PEs on cognition (e.g., Isen, Ashby, and Fredrickson), capacity theories, such as cognitive load theory (Sweller et al., 1998), argue that emotions consume cognitive resources by activating emotion-related networks, impairing cognitive performance through heuristic processing (Mitchell and Phillips, 2007). Similarly, the mood-as-information theory suggests that positive emotions reduce perceived threats, leading to less rigorous problem-solving and more reliance on heuristics. Since EFs require significant attentional control (Miyake and Friedman, 2012), this could result in decreased cognitive performance.\n\n\n### Empirical findings on the effects of positive emotion on cognition\nThere are several previous reviews that have tried to support the theoretical approaches focusing on the impact of PEs on cognition with empirical evidence, and the results are mixed (e.g., the review by Mitchell and Phillips, 2007), with some even reporting no effects (see the review and meta-analysis by Lautenbach, 2024).\nStudies on the impact of PEs on inhibition show mixed results. Some experiments (Rowe et al., 2007; Phillips et al., 2002) found impairment, while others (Wenzel et al., 2013) observed increased inhibitory control. All studies used similar participant structures (age and gender balance) and standardized tasks (flanker and Stroop) with sufficient trials. However, while positive affect was increased, discrete emotions were not assessed. The contradictory findings highlight the need for further empirical evidence to better understand the effect of PEs on inhibition, a key aspect of executive functioning (Miyake and Friedman, 2012).\nNo consistent effect of PEs on cognitive flexibility has been found, despite its importance for creativity (Diamond, 2013). While some studies show a positive impact (e.g., De Dreu et al., 2008), others do not. Future studies should use tasks such as switching paradigms to better assess adaptation to changing rules (Lautenbach, 2024). This study aims to implement more rigorous computer-based measures of cognitive flexibility.\nFinally, results on working memory performance show mixed findings (Lautenbach, 2024). Four meta-analysis experiments revealed no effect in two studies (Martin and Kerns, 2010; Guo et al., 2020), while one study found an increase (Au and Tang, 2019) and another a decrease (Martin and Kerns, 2010). Despite using similar affect inductions (e.g., films), the studies had different designs and insufficient trials (13–18 trials). To address this, the present study will increase the number of trials.\n\n\n### The present study\nResearch on the effects of PEs on EFs remains inconclusive, most likely due to methodological differences (i.e., sample and assessment of PEs and EFs; see Mitchell and Phillips, 2007; Lautenbach, 2024; Revord et al., 2021). To address this, the current study will use standardized computer tasks with more trials to reduce variance. Two discrete PEs, happiness and hope, will be induced through false feedback on a performance task, targeting sports students engaged in regular physical activity. Previous studies have shown positive correlations between these emotions and athletic performance (Moen et al., 2018).\nFirst, it is hypothesized that happiness will increase in the happiness condition compared to the neutral condition (hypothesis 1a) and hope will increase in the hope condition compared to the neutral condition (hypothesis 1b, based on Lazarus’ core themes). It is expected that inhibitory performance (flanker effect response times and accuracy) will not differ between the PE and control conditions (hypothesis 2a, based on meta-analysis by Lautenbach, 2024). However, cognitive flexibility (switch cost, response times, and accuracy) will be better in the PE conditions compared to the control condition (hypothesis 2b, based on Isen’s flexibility hypothesis, as well as insufficient data in Lautenbach, 2024). No specific hypothesis is made regarding differences between happiness and hope conditions, even though a theoretical distinction was presented. Finally, working memory performance (response times and accuracy) will be better in the PE conditions compared to the control condition (hypothesis 2c, based on Au and Tang, 2019, as well as insufficient data in Lautenbach, 2024). No specific hypothesis is made about differences between the happiness and hope conditions, even though a theoretical distinction was presented.\n\n\n### Methods\nA priori power analysis was conducted using G-Power analysis (Faul et al., 2007). A repeated measure, within-subject MANOVA using the effect size of η2 = 0.11 in Woodman et al. (2009) and a corrected alpha error probability (α = 0.025) to account for multiple dependent variables (Tabachnick et al., 2013), resulted in 36 participants (1 − β = 0.95).\nParticipants were sports students who were recruited during the semester in a seminar on sport psychology. They received no financial reward. The study protocol, including an informed consent form and debriefing information, was approved by the ethics committee of the local university (#2019.03.08_eb_7) and was conducted in accordance with the Declaration of Helsinki.\nTwo studies have been conducted: In study 1, assessing inhibition and cognitive flexibility, only data of 27 participants (Mage = 21.07, SD = 1.54; 14 men, 13 women; all Caucasian) could be analyzed due to missing data (n = 2) or suspicion about the cover story (n = 8).\nIn study 2, assessing working memory, only data of 30 participants (Mage = 21.67, SD = 4.60; 14 men, 16 women; all Caucasian) could be analyzed due to missing data (n = 3) or suspicion about the cover story (n = 3).\nParticipants were told that the experiment was about the relationship between playing and cognitive performance. They were told that they are in the “wobble board” group and that testing repetitively (i.e., three times) is necessary to find stable effects. They were also told that they had to step on a laboratory version of the wobble board (i.e., Posturomed) to control that they actually try to perform their best during the game.\nParticipants had three trials each, with four trials in the hope condition on the Posturomed. They received verbal false feedback after each trial that was based on Lazarus’ core relation themes (2000). In addition, after the last trial, they were asked to use the experimenter’s laptop to see their performance visualized. This step was taken to reinforce the emotional induction as well as to maintain the cover story. Please refer to Table 1 for the detailed verbal and visual feedback.\nFalse feedback for the participants in each condition.\nHappiness. The subscale happiness from the Sport Emotion Questionnaire (Jones et al., 2005) was used to assess the discrete emotion happiness. Participants were asked to answer how they feel at the current moment on a 5-point Likert scale, ranging from 0 = not at all to 4 = extremely. The items were pleased, joyful, happy, and cheerful. The reliability of the subscale within our sample can be considered good (study 1 in neutral pre-condition: α = 0.807; study 2 in neutral pre-condition: α = 0.865).\nHope. The State Hope Scale (Snyder et al., 1996) was used to assess the discrete emotion hope. On two subscales (agency: “Right now I see myself as being pretty successful.”; pathways: “I can think of many ways to reach my current goals.”) with three items each, participants were asked to respond on an 8-point Likert scale, ranging from 1 = definitely false to 8 = definitely true. The reliability within our sample can be considered good (study 1 in neutral pre-condition agency: α = 0.872; pathways: α = 0.886, study 2 in neutral pre-condition agency: α = 0.790; pathways: α = 0.753).\nAll tasks were measured on a 15-in. flat-screen monitor (1,280 × 960 pixels at 60 Hz) at a viewing distance of approximately 60 cm, using Inquisit 5 (2018). All responses were provided via button press on a QWERTZ keyboard.\nInhibition. The arrow flanker task was used to assess inhibition (Eriksen and Eriksen, 1974). In total, five black arrows are presented on a white background. Participants are asked to respond as quickly and correctly as possible to which direction the middle arrow is pointing (left: press “E”; right: press “I”). In congruent trials, all arrows (i.e., the target arrow and flanker arrows) are pointing in the same direction, whereas in incongruent trials, the target arrow is pointing in a different direction, making it more difficult to inhibit the flanker arrows and thus leading to the flanker effect. The flanker effect is the difference between the response times for incongruent trials and the response times for congruent trials. A lower flanker effect represents better inhibitory control.\nIn total, participants performed four practice trials in which 75% had to be answered correctly. This was followed by two blocks of 72 trials. We implemented twice as many congruent trials (i.e., per block 48) in comparison to incongruent trials (i.e., per block 24), as it has been argued to warrant higher demands on inhibitory control (e.g., Musculus et al., 2022).\nCognitive Flexibility. The number-letter task was used to assess cognitive flexibility (adapted from Rogers and Monsell, 1995 by Miyake et al., 2000). Participants see a 2 × 2 matrix in which number-letter pairs appear in the quadrants. They are asked to respond as quickly and correctly as possible to either the presented number (bottom two quadrants: press “E” for even numbers; “I” for odd numbers) or the presented letter (top two quadrants: press “E” for a consonant; “I” for a vowel). Response time and accuracy are assessed for so-called non-switch trials (i.e., same task to either focus on number or letter) and switch trials (i.e., task change from focusing on number to focusing on letter and vice versa). The lower the switch cost, which is the difference between the response times for switch trials minus the response times for non-switch trials, the better the cognitive flexibility performance.\nIn total, participants performed 24 practice trials for the letter task, 24 practice trials for the number task, and 28 practice trials for the combined task in which they had to answer 75% correctly. This was followed by four blocks of 32 trials (128 trials in total: 64 switch trials, 64 non-switch trials).\nWorking Memory. The n-back task was used to assess working memory performance (Jaeggi et al., 2010). Participants are presented neutral pictures and have to decide as quickly and correctly as possible whether the same picture was presented n pictures back.\nIn total, participants performed 10 practice trials per level (2-back, 3-back, and 4-back) followed by three times three blocks, including a total of 66 2-back trials, 69 3-back trials, and 72 4-back trials. Each block included 18 target trials and 42 non-target trial, presenting a 30 to 70 ratio for target to non-target trials (e.g., Knöbel and Lautenbach, 2023). After each block, there was a short break.\nThe experimental procedure took place in the same laboratory for both studies, with testing between 10 a.m. and 6 p.m. Each session lasted approximately 30 min, and participants completed three sessions, one per condition (neutral, happy, and hope) in a balanced order (Figure 1 for the procedure). To prevent fatigue due to differing task lengths, especially the working memory task, two separate studies were conducted.\nDetailed experimental procedure.\nParticipants were welcomed and guided through the procedure via pre-recorded audio during the first session. They then signed consent and data protection forms and reported their current happiness and hope levels using questionnaires. After the emotion induction (happy, hope, or neutral), participants completed post-induction happiness and hope assessments. In study 1, inhibitory performance was measured with the flanker task, and cognitive flexibility with the number-letter task, both counterbalanced. In study 2, the n-back task was used for working memory. An additional Posturomed trial was included in the hope condition to maintain the cover story. Afterward, participants were debriefed and asked to sign a consent form for data release.\nIn study 1 (inhibition and cognitive flexibility), two participants had to be excluded from the analyses due to incomplete data (e.g., one condition was missing). Furthermore, eight participants were excluded as they expressed suspicion with regard to the cover story (e.g., “I think the feedback was fake.”). In study 2 (working memory), three participants had to be excluded from the analyses due to incomplete data. Furthermore, three participants were excluded as they expressed suspicion with regard to the cover story.\nData were further checked for normal distribution and outliers. In study 1, as well as in study 2, not all variables were normally distributed. However, based on the central limit theorem (Tavakoli, 2012) and the relative robustness of multivariate analyses of variance against violations of the normal distribution (Wilcox, 2011), parametric testing was performed. In study 1, one outlier (i.e., #20: neutral condition, flanker task, reaction time congruent trials, and incongruent trials) and in study 2, three outliers (i.e., #17: neutral condition, 2-back, reaction time; happy condition, 2-back, accuracy; #29: happy condition, 2-back, accuracy; #33: happy condition, 2-back, accuracy) were detected. However, the patterns of results were similar, and thus the results were reported, including the outlier.\nTo test hypotheses 1a and 1b (manipulation check) for both studies, 2 (time: pre vs. post) x 3 (condition: happy vs. hope vs. neutral) MANOVAs were ran, including the total score of happiness and hope. To test hypotheses 2a to 2c (effects on cognition), 2 (time: pre vs. post) x 3 (condition: happy vs. hope vs. neutral) MANOVAs for inhibition (reaction time and accuracy for congruent trials, incongruent trials, and flanker effect); cognitive flexibility (reaction time for no-switch trials, switch trials, and switch coasts; overall accuracy); and working memory (accuracy and reaction time for 2-back, 3-back, and 4-back) were performed. Significant effects were followed up by univariate testing, post-hoc analyses with Bonferroni corrections, and potential interaction effects with paired t-tests.\nThe determination of the sample size, data exclusion, all manipulations, and all measures in the study are reported. All data, analysis code, and research materials are available upon request. This study’s’ design and its analysis were not pre-registered.\n\n\n### Participants\nA priori power analysis was conducted using G-Power analysis (Faul et al., 2007). A repeated measure, within-subject MANOVA using the effect size of η2 = 0.11 in Woodman et al. (2009) and a corrected alpha error probability (α = 0.025) to account for multiple dependent variables (Tabachnick et al., 2013), resulted in 36 participants (1 − β = 0.95).\nParticipants were sports students who were recruited during the semester in a seminar on sport psychology. They received no financial reward. The study protocol, including an informed consent form and debriefing information, was approved by the ethics committee of the local university (#2019.03.08_eb_7) and was conducted in accordance with the Declaration of Helsinki.\nTwo studies have been conducted: In study 1, assessing inhibition and cognitive flexibility, only data of 27 participants (Mage = 21.07, SD = 1.54; 14 men, 13 women; all Caucasian) could be analyzed due to missing data (n = 2) or suspicion about the cover story (n = 8).\nIn study 2, assessing working memory, only data of 30 participants (Mage = 21.67, SD = 4.60; 14 men, 16 women; all Caucasian) could be analyzed due to missing data (n = 3) or suspicion about the cover story (n = 3).\n\n\n### Material\nParticipants were told that the experiment was about the relationship between playing and cognitive performance. They were told that they are in the “wobble board” group and that testing repetitively (i.e., three times) is necessary to find stable effects. They were also told that they had to step on a laboratory version of the wobble board (i.e., Posturomed) to control that they actually try to perform their best during the game.\nParticipants had three trials each, with four trials in the hope condition on the Posturomed. They received verbal false feedback after each trial that was based on Lazarus’ core relation themes (2000). In addition, after the last trial, they were asked to use the experimenter’s laptop to see their performance visualized. This step was taken to reinforce the emotional induction as well as to maintain the cover story. Please refer to Table 1 for the detailed verbal and visual feedback.\nFalse feedback for the participants in each condition.\nHappiness. The subscale happiness from the Sport Emotion Questionnaire (Jones et al., 2005) was used to assess the discrete emotion happiness. Participants were asked to answer how they feel at the current moment on a 5-point Likert scale, ranging from 0 = not at all to 4 = extremely. The items were pleased, joyful, happy, and cheerful. The reliability of the subscale within our sample can be considered good (study 1 in neutral pre-condition: α = 0.807; study 2 in neutral pre-condition: α = 0.865).\nHope. The State Hope Scale (Snyder et al., 1996) was used to assess the discrete emotion hope. On two subscales (agency: “Right now I see myself as being pretty successful.”; pathways: “I can think of many ways to reach my current goals.”) with three items each, participants were asked to respond on an 8-point Likert scale, ranging from 1 = definitely false to 8 = definitely true. The reliability within our sample can be considered good (study 1 in neutral pre-condition agency: α = 0.872; pathways: α = 0.886, study 2 in neutral pre-condition agency: α = 0.790; pathways: α = 0.753).\n\n\n### Cover story\nParticipants were told that the experiment was about the relationship between playing and cognitive performance. They were told that they are in the “wobble board” group and that testing repetitively (i.e., three times) is necessary to find stable effects. They were also told that they had to step on a laboratory version of the wobble board (i.e., Posturomed) to control that they actually try to perform their best during the game.\n\n\n### Positive emotion inductions\nParticipants had three trials each, with four trials in the hope condition on the Posturomed. They received verbal false feedback after each trial that was based on Lazarus’ core relation themes (2000). In addition, after the last trial, they were asked to use the experimenter’s laptop to see their performance visualized. This step was taken to reinforce the emotional induction as well as to maintain the cover story. Please refer to Table 1 for the detailed verbal and visual feedback.\nFalse feedback for the participants in each condition.\n\n\n### Emotions\nHappiness. The subscale happiness from the Sport Emotion Questionnaire (Jones et al., 2005) was used to assess the discrete emotion happiness. Participants were asked to answer how they feel at the current moment on a 5-point Likert scale, ranging from 0 = not at all to 4 = extremely. The items were pleased, joyful, happy, and cheerful. The reliability of the subscale within our sample can be considered good (study 1 in neutral pre-condition: α = 0.807; study 2 in neutral pre-condition: α = 0.865).\nHope. The State Hope Scale (Snyder et al., 1996) was used to assess the discrete emotion hope. On two subscales (agency: “Right now I see myself as being pretty successful.”; pathways: “I can think of many ways to reach my current goals.”) with three items each, participants were asked to respond on an 8-point Likert scale, ranging from 1 = definitely false to 8 = definitely true. The reliability within our sample can be considered good (study 1 in neutral pre-condition agency: α = 0.872; pathways: α = 0.886, study 2 in neutral pre-condition agency: α = 0.790; pathways: α = 0.753).\n\n\n### Executive functions\nAll tasks were measured on a 15-in. flat-screen monitor (1,280 × 960 pixels at 60 Hz) at a viewing distance of approximately 60 cm, using Inquisit 5 (2018). All responses were provided via button press on a QWERTZ keyboard.\nInhibition. The arrow flanker task was used to assess inhibition (Eriksen and Eriksen, 1974). In total, five black arrows are presented on a white background. Participants are asked to respond as quickly and correctly as possible to which direction the middle arrow is pointing (left: press “E”; right: press “I”). In congruent trials, all arrows (i.e., the target arrow and flanker arrows) are pointing in the same direction, whereas in incongruent trials, the target arrow is pointing in a different direction, making it more difficult to inhibit the flanker arrows and thus leading to the flanker effect. The flanker effect is the difference between the response times for incongruent trials and the response times for congruent trials. A lower flanker effect represents better inhibitory control.\nIn total, participants performed four practice trials in which 75% had to be answered correctly. This was followed by two blocks of 72 trials. We implemented twice as many congruent trials (i.e., per block 48) in comparison to incongruent trials (i.e., per block 24), as it has been argued to warrant higher demands on inhibitory control (e.g., Musculus et al., 2022).\nCognitive Flexibility. The number-letter task was used to assess cognitive flexibility (adapted from Rogers and Monsell, 1995 by Miyake et al., 2000). Participants see a 2 × 2 matrix in which number-letter pairs appear in the quadrants. They are asked to respond as quickly and correctly as possible to either the presented number (bottom two quadrants: press “E” for even numbers; “I” for odd numbers) or the presented letter (top two quadrants: press “E” for a consonant; “I” for a vowel). Response time and accuracy are assessed for so-called non-switch trials (i.e., same task to either focus on number or letter) and switch trials (i.e., task change from focusing on number to focusing on letter and vice versa). The lower the switch cost, which is the difference between the response times for switch trials minus the response times for non-switch trials, the better the cognitive flexibility performance.\nIn total, participants performed 24 practice trials for the letter task, 24 practice trials for the number task, and 28 practice trials for the combined task in which they had to answer 75% correctly. This was followed by four blocks of 32 trials (128 trials in total: 64 switch trials, 64 non-switch trials).\nWorking Memory. The n-back task was used to assess working memory performance (Jaeggi et al., 2010). Participants are presented neutral pictures and have to decide as quickly and correctly as possible whether the same picture was presented n pictures back.\nIn total, participants performed 10 practice trials per level (2-back, 3-back, and 4-back) followed by three times three blocks, including a total of 66 2-back trials, 69 3-back trials, and 72 4-back trials. Each block included 18 target trials and 42 non-target trial, presenting a 30 to 70 ratio for target to non-target trials (e.g., Knöbel and Lautenbach, 2023). After each block, there was a short break.\n\n\n### Procedure\nThe experimental procedure took place in the same laboratory for both studies, with testing between 10 a.m. and 6 p.m. Each session lasted approximately 30 min, and participants completed three sessions, one per condition (neutral, happy, and hope) in a balanced order (Figure 1 for the procedure). To prevent fatigue due to differing task lengths, especially the working memory task, two separate studies were conducted.\nDetailed experimental procedure.\nParticipants were welcomed and guided through the procedure via pre-recorded audio during the first session. They then signed consent and data protection forms and reported their current happiness and hope levels using questionnaires. After the emotion induction (happy, hope, or neutral), participants completed post-induction happiness and hope assessments. In study 1, inhibitory performance was measured with the flanker task, and cognitive flexibility with the number-letter task, both counterbalanced. In study 2, the n-back task was used for working memory. An additional Posturomed trial was included in the hope condition to maintain the cover story. Afterward, participants were debriefed and asked to sign a consent form for data release.\n\n\n### Data reduction and data analyses\nIn study 1 (inhibition and cognitive flexibility), two participants had to be excluded from the analyses due to incomplete data (e.g., one condition was missing). Furthermore, eight participants were excluded as they expressed suspicion with regard to the cover story (e.g., “I think the feedback was fake.”). In study 2 (working memory), three participants had to be excluded from the analyses due to incomplete data. Furthermore, three participants were excluded as they expressed suspicion with regard to the cover story.\nData were further checked for normal distribution and outliers. In study 1, as well as in study 2, not all variables were normally distributed. However, based on the central limit theorem (Tavakoli, 2012) and the relative robustness of multivariate analyses of variance against violations of the normal distribution (Wilcox, 2011), parametric testing was performed. In study 1, one outlier (i.e., #20: neutral condition, flanker task, reaction time congruent trials, and incongruent trials) and in study 2, three outliers (i.e., #17: neutral condition, 2-back, reaction time; happy condition, 2-back, accuracy; #29: happy condition, 2-back, accuracy; #33: happy condition, 2-back, accuracy) were detected. However, the patterns of results were similar, and thus the results were reported, including the outlier.\nTo test hypotheses 1a and 1b (manipulation check) for both studies, 2 (time: pre vs. post) x 3 (condition: happy vs. hope vs. neutral) MANOVAs were ran, including the total score of happiness and hope. To test hypotheses 2a to 2c (effects on cognition), 2 (time: pre vs. post) x 3 (condition: happy vs. hope vs. neutral) MANOVAs for inhibition (reaction time and accuracy for congruent trials, incongruent trials, and flanker effect); cognitive flexibility (reaction time for no-switch trials, switch trials, and switch coasts; overall accuracy); and working memory (accuracy and reaction time for 2-back, 3-back, and 4-back) were performed. Significant effects were followed up by univariate testing, post-hoc analyses with Bonferroni corrections, and potential interaction effects with paired t-tests.\n\n\n### Transparency and openness\nThe determination of the sample size, data exclusion, all manipulations, and all measures in the study are reported. All data, analysis code, and research materials are available upon request. This study’s’ design and its analysis were not pre-registered.\n\n\n### Results\nPlease find the descriptive data for studies 1 and 2 on PEs in Table 2 and on EFs in Table 3.\nDescriptive data of happiness and hope in all conditions of study 1 and study 2.\nNstudy1 = 27; Nstudy2 = 30.\nDescriptive data for inhibition (flanker task), cognitive flexibility (number-letter task), and working memory (n-back task).\nNstudy1 = 27; Nstudy2 = 30.\nFor study 1 (inhibition and cognitive flexibility), the MANOVA showed no main effect for condition (p = 0.810). However, a significant main effect for time, F(2, 25) = 10.68, p < 0.001, ηp2 = 0.461, as well as a significant interaction effect, F(4, 102) = 5.02, p < 0.001, ηp2 = 0.164, was detected, indicating a change of emotions depending on the condition. Univariate testing confirmed this effect for happiness (p < 0.001, ηp2 = 0.267) and hope (p = 0.010, ηp2 = 0.170). Paired t-tests showed that happiness was increased in the happiness, t(26) = 4.06, p < 0.001, d = 0.671, as well as in the hope condition, t(26) = 4.70, p < 0.001, d = 0.501. Similarly, hope was significantly increased in the happiness, t(26) = 3.19, p = 0.002, d = 0.302, and hope condition, t(26) = 3.93, p < 0.001, d = 0.223. No significant emotional changes (happiness: p = 0.141, hope: p = 0.441) were induced in the neutral condition.\nFor study 2 (working memory), the MANOVA showed no main effect for condition (p = 0.405). However, a significant main effect for time, F(2, 28) = 7.55, p = 0.002, ηp2 = 0.350, as well as a significant interaction effect, F(4, 114) = 4.01, p = 0.004, ηp2 = 0.123, was detected, indicating a change of emotions depending on the condition. Univariate testing confirmed this effect for happiness (p = 0.021, ηp2 = 0.137) and hope (p = 0.010, ηp2 = 0.159). Paired t-tests showed that happiness was increased in the happiness, t(29) = 4.43, p < 0.001, d = 0.426, as well as in the hope condition, t(29) = 3.48, p < 0.001, d = 0.346. Similarly, hope was significantly increased in the happiness, t(29) = 3.98, p < 0.001, d = 0.237, and hope condition, t(29) = 2.61, p = 0.007, d = 0.320. No significant emotional changes (happiness: p = 0.313, hope: p = 0.267) were induced in the neutral condition.\nThe MANOVA showed no significant effect for condition, F(10, 96) = 0.34, p = 0.968, ηp2 = 0.034.\nThe MANOVA showed no significant effect for condition, F(6, 21) = 2.44, p = 0.060, ηp2 = 0.411. However, as p is close to the level of significance, and to further scrutinize the results, univariate testing was inspected (e.g., Lautenbach et al., 2016). Only switch costs came close to significance (p = 0.060, ηp2 = 0.096) and were further scrutinized using paired t-tests. No significant differences between the neutral and hope conditions (p = 0.133, d = 0.206), as well as between the hope and happiness conditions, were shown (p = 0.113, d = 0.232). However, in the happiness condition, participants had significantly lower switch costs in comparison to the neutral condition, t(26) = 2.31, p = 0.014, d = 0.427, indicating higher cognitive flexibility.\nThe MANOVA showed no significant effect for condition, F(4, 116) = 0.71, p = 0.587, ηp2 = 0.061. The significant main effect of n-backs, F(4, 114) = 43.96, p < 0.001, ηp2 = 0.61, is also present for accuracy (p < 0.001, ηp2 = 0.83) and reaction time (p < 0.001, ηp2 = 0.36) and simply indicates that accuracy and reaction time are the best in the 2-back condition, followed by the 3-back, and finally the 4-back condition. More importantly, no interaction effect between n-backs and condition was detected, F(8, 230) = 0.72, p = 0.677, ηp2 = 0.024.\n\n\n### Study 1 and 2: Manipulation check (hypothesis 1a and 1b)\nFor study 1 (inhibition and cognitive flexibility), the MANOVA showed no main effect for condition (p = 0.810). However, a significant main effect for time, F(2, 25) = 10.68, p < 0.001, ηp2 = 0.461, as well as a significant interaction effect, F(4, 102) = 5.02, p < 0.001, ηp2 = 0.164, was detected, indicating a change of emotions depending on the condition. Univariate testing confirmed this effect for happiness (p < 0.001, ηp2 = 0.267) and hope (p = 0.010, ηp2 = 0.170). Paired t-tests showed that happiness was increased in the happiness, t(26) = 4.06, p < 0.001, d = 0.671, as well as in the hope condition, t(26) = 4.70, p < 0.001, d = 0.501. Similarly, hope was significantly increased in the happiness, t(26) = 3.19, p = 0.002, d = 0.302, and hope condition, t(26) = 3.93, p < 0.001, d = 0.223. No significant emotional changes (happiness: p = 0.141, hope: p = 0.441) were induced in the neutral condition.\nFor study 2 (working memory), the MANOVA showed no main effect for condition (p = 0.405). However, a significant main effect for time, F(2, 28) = 7.55, p = 0.002, ηp2 = 0.350, as well as a significant interaction effect, F(4, 114) = 4.01, p = 0.004, ηp2 = 0.123, was detected, indicating a change of emotions depending on the condition. Univariate testing confirmed this effect for happiness (p = 0.021, ηp2 = 0.137) and hope (p = 0.010, ηp2 = 0.159). Paired t-tests showed that happiness was increased in the happiness, t(29) = 4.43, p < 0.001, d = 0.426, as well as in the hope condition, t(29) = 3.48, p < 0.001, d = 0.346. Similarly, hope was significantly increased in the happiness, t(29) = 3.98, p < 0.001, d = 0.237, and hope condition, t(29) = 2.61, p = 0.007, d = 0.320. No significant emotional changes (happiness: p = 0.313, hope: p = 0.267) were induced in the neutral condition.\n\n\n### Study 1: Effects of positive emotion on inhibition (Hypothesis 2a)\nThe MANOVA showed no significant effect for condition, F(10, 96) = 0.34, p = 0.968, ηp2 = 0.034.\n\n\n### Study 1: Effects of positive emotion on cognitive flexibility (Hypothesis 2b)\nThe MANOVA showed no significant effect for condition, F(6, 21) = 2.44, p = 0.060, ηp2 = 0.411. However, as p is close to the level of significance, and to further scrutinize the results, univariate testing was inspected (e.g., Lautenbach et al., 2016). Only switch costs came close to significance (p = 0.060, ηp2 = 0.096) and were further scrutinized using paired t-tests. No significant differences between the neutral and hope conditions (p = 0.133, d = 0.206), as well as between the hope and happiness conditions, were shown (p = 0.113, d = 0.232). However, in the happiness condition, participants had significantly lower switch costs in comparison to the neutral condition, t(26) = 2.31, p = 0.014, d = 0.427, indicating higher cognitive flexibility.\n\n\n### Study 2: Effects of positive emotion on working memory (Hypothesis 2c)\nThe MANOVA showed no significant effect for condition, F(4, 116) = 0.71, p = 0.587, ηp2 = 0.061. The significant main effect of n-backs, F(4, 114) = 43.96, p < 0.001, ηp2 = 0.61, is also present for accuracy (p < 0.001, ηp2 = 0.83) and reaction time (p < 0.001, ηp2 = 0.36) and simply indicates that accuracy and reaction time are the best in the 2-back condition, followed by the 3-back, and finally the 4-back condition. More importantly, no interaction effect between n-backs and condition was detected, F(8, 230) = 0.72, p = 0.677, ηp2 = 0.024.\n\n\n### Discussion\nThe studies aimed to examine the impact of happiness and hope, induced by false feedback, on EFs (inhibition, cognitive flexibility, and working memory) using standardized tasks. While the emotions were successfully induced, they were not distinct, with happiness also increasing in the hope condition and vice versa. As a result, the effects on EFs need to be critically interpreted with caution. However, higher cognitive flexibility was observed in the happy condition compared to the neutral condition.\nThe results show that positive emotions were successfully induced in both the happy and hope conditions. However, both emotions increased in each condition, which may stem from a combination of theoretical and methodological factors.\nHappiness and hope are closely linked emotions, as described in the OCC model (Ortony et al., 1988) and its revision (Steunebrink et al., 2009). Both are event-related emotions, with joy representing the pleasure of an actual event and hope arising from the possibility of a future event. Happiness typically results from desirable events, while hope emerges when outcomes are not yet realized. In the current study, the hope condition likely also induced happiness due to improved performance. Additionally, hope can foster emotional orientations, such as happiness, that support goal attainment (Oettingen and Gollwitzer, 2002). This overlap makes it difficult to distinguish between the two emotions, as demonstrated by Cameron et al. (2018), who found no difference between happiness and hope conditions. This highlights the challenge of inducing distinct positive emotions, especially when they share similar valence and arousal levels (Lautenbach, 2024; Lindquist et al., 2013).\nThis theoretical issue is mirrored by methodological challenges. The emotion induction for the hope condition was based on Lazarus’s core relational theme of “fearing for the worst, hoping for the best” (Lazarus, 2000, p. 234). However, it is questionable whether hope, as defined by Lazarus, was accurately captured, as participants did not face significant fears, and this aspect was not emphasized. Additionally, the hope questionnaire used was based on Snyder’s definition, where hope is “a cognitive set based on a reciprocally-derived sense of successful agency (goal-directed determination) and pathways (planning to meet goals)” (Snyder et al., 1996, p. 571). This conceptualization positions hope as a cognitive, goal-setting construct (see Oettingen and Gollwitzer, 2002), aligning more with motivation or self-efficacy theories (Gustafsson et al., 2010) than with Lazarus’s definition. Thus, the theoretical framework and the methodological assessment of hope differ significantly.\nFinally, methodological challenges (e.g., task design and experimenter influence) may have hindered differentiation between the two positive emotion conditions. The active performance task aimed to elevate positive emotions in athletes, as athletic performance correlates with positive emotions (Moen et al., 2018). However, this task can inherently motivate participants (Trecroci et al., 2018; Volery et al., 2017) and in addition elicit emotional responses (Quigley et al., 2014). While positive affect increases with success, it is unclear how to design a task to induce distinct emotional states (Nummenmaa and Niemi, 2004). Since no changes were observed in the neutral condition and affective reactions to performance tasks—especially with feedback—are influenced by social perception, it is likely that the experimenter’s social component played a significant role (Nummenmaa and Niemi, 2004).\nThe involvement of the experimenter could introduce complications. While the experimenter used different wording in each condition, they maintained similar non-verbal behavior, speaking in a friendly tone and showing attentiveness. This method, resembling emotion induction through confederates (Quigley et al., 2014), presents challenges as confederates or experimenters must be convincing and standardize details like tone, intonation, and non-verbal communication (Quigley et al., 2014). Emotional contagion (Hatfield et al., 1993) may have also occurred, unintentionally triggering emotional states. Given that the experimenter conducted up to eight tests daily under varying emotional conditions, their own mood and consistent feedback may have influenced emotional intensity. A second experimenter providing additional feedback or an emotion booster in study 1 between the two EF tasks (e.g., for stress Angelidis et al., 2019) could have heightened and/or maintained emotional intensity (Shteynberg et al., 2014). Overall, the absence of professional actors may have contributed to the difficulty in inducing discrete emotions.\nDespite challenges in inducing discrete emotions, there was a measurable increase in both happiness and hope across the positive emotion conditions. While happiness and hope values in the post-measurement were comparable across all conditions, the observed increases in positive emotions may have influenced cognitive performance. In other words, changing emotional state, even without lasting emotional differences, might have a minimal impact on cognitive performance (Durlak et al., 2011). Although speculative in this study’s context, this argument is supported by prior research that found no correlations between positive emotions in neutral states and cognitive flexibility (Knöbel et al., 2024).\nThe hypothesis that an increase in happiness—or positive emotions more broadly—might facilitate cognitive flexibility received some support, particularly with regard to the main performance indicator, switch cost. Although a recent meta-analysis (Lautenbach, 2024) found inconsistent effects of positive emotions on cognitive flexibility, it included only five studies with highly heterogeneous effect sizes and critically evaluated measurement methods. While the present findings differ from the meta-analysis, they align with the theoretical framework that suggests positive emotions enhance creativity (the flexibility hypothesis, Isen, 2009), where cognitive flexibility plays a key role (Diamond, 2013). Prior research has also demonstrated a positive impact of positive emotions on creativity (Baas et al., 2008), supporting the current findings.\nThe lack of influence on other executive functions aligns with the hypothesis for inhibition (hypothesis 2a) but contradicts expectations for working memory (hypothesis 2c). Inhibitory performance remained unaffected by emotional changes. One possible explanation is that positive emotions reduce the perceived difficulty of the task (Grahek et al., 2020). Since the flanker task is relatively simple, it may be perceived as even easier in the presence of increased positive emotions (see also Lautenbach, 2024). Future studies should measure and control for task difficulty in EF tasks.\nContrary to expectations, no effect on working memory was found. This aligns with Lautenbach (2024) meta-analysis, which was based on a small number of studies (n = 4) with significant variability in effect sizes (d = −0.32 to 0.667), limiting its validity. Only one study (Au and Tang, 2019) used the n-back task with fewer trials than the current study, suggesting their findings may have been coincidental. Future research should further explore the impact of positive emotions on working memory.\nBoth studies have limitations that should be addressed in future research, with the primary challenge being the induction of discrete PEs (Roth and Laireiter, 2021) and its measurements. Few studies have successfully induced different discrete emotions, and many attempts have been unsuccessful (e.g., Cameron et al., 2018). Thus, the current results align with previous research, but the issue of inducing discrete PEs remains unresolved. Thus, further research is needed to better differentiate PEs and develop effective and ecologically valid induction methods (Pourtois et al., 2017). A more feasible approach to identifying effects on desired dependent variables may also be to induce a single positive emotion and compare it with a neutral or negative emotion to clarify its effects on EFs (Lautenbach, 2024).\nHowever, this approach may inadvertently obscure relevant aspects of emotional experience. Experimental manipulations rarely elicit a single, isolated emotion; rather, it is both possible and psychologically normative to experience multiple emotions simultaneously (Carrera and Oceja, 2007). In the present context, it appears entirely plausible that—beyond for example the target emotion happiness—additional positive emotions, such as pride (see definition by Fredrickson, 2013), were elicited, given that individuals received social acknowledgment for their (even minor) achievements (i.e., increase in performance). In addition, the notion that happiness and pride often co-occur—though distinct in their antecedents—has been particularly emphasized in performance contexts, with both emotions serving as clear motivational drivers to performance (Lazarus, 2000).\nThese considerations highlight a broader methodological concern—one that is compellingly exemplified by the present data: the necessity of critically reflecting on how we conceptualize and measure emotions. If, for example, we had employed only one experimental condition and exclusively measured happiness, the resulting data might have appeared clear-cut and compelling. However, such clarity would have come at the cost of ignoring the broader emotional landscape, thereby offering a narrow and potentially misleading representation of the actual affective experience. This concern is echoed in the literature. It has been emphasized that measurements never fully capture the complexity of psychological reality, but rather represent only a selective excerpt shaped by the way constructs are operationalized (e.g., Shadish et al., 2002). In addition, the current study operationalized emotions solely through subjective experience, thereby leaving other relevant components of emotional responding—crucial for a comprehensive understanding of emotional processes—unexamined (see review by Mauss and Robinson, 2009). Moreover, factors such as personality and emotion regulation processes—which have been associated with executive functions (see meta-analysis by Toh et al., 2024)—may also modulate the impact of emotion induction.\nFurther methodological and statistical challenges may have contributed to the indistinct effects of PEs observed. The complex design, including an elaborate cover story, led to participant exclusions due to missing data (n = 5) or doubts about the cover story (n = 11), with 15.07% expressing doubt, consistent with previous findings (Rahwan et al., 2022). This reduced sample size impacted statistical power. Post-hoc power analysis showed power for inducing positive emotions was 0.30 in Study 1 and 0.22 in Study 2, and for detecting effects on EFs, power was 0.09 for inhibition, 0.91 for cognitive flexibility, and 0.15 for working memory. A larger sample would have improved statistical power, and future studies should aim for 10–20% more participants. Due to substantial constraints—particularly limited time resources, and insufficient personnel capacity—oversampling was unfortunately not feasible in the current research context. Despite this, the sample size was sufficient to detect an effect on cognitive flexibility.\nFinally, sample characteristics such as age and gender may play significant roles. For instance, Grossman and Wood (1997) found that women responded more strongly to emotional inductions of happiness, and older adults tend to focus more on positive emotions (Tsai et al., 2000). However, post-hoc analyses controlling for gender and examining age correlations did not yield additional relevant findings. Future studies should continue to control for participant characteristics to better understand their potential influences.\n\n\n### Challenges to successfully induce discrete emotions\nThe results show that positive emotions were successfully induced in both the happy and hope conditions. However, both emotions increased in each condition, which may stem from a combination of theoretical and methodological factors.\nHappiness and hope are closely linked emotions, as described in the OCC model (Ortony et al., 1988) and its revision (Steunebrink et al., 2009). Both are event-related emotions, with joy representing the pleasure of an actual event and hope arising from the possibility of a future event. Happiness typically results from desirable events, while hope emerges when outcomes are not yet realized. In the current study, the hope condition likely also induced happiness due to improved performance. Additionally, hope can foster emotional orientations, such as happiness, that support goal attainment (Oettingen and Gollwitzer, 2002). This overlap makes it difficult to distinguish between the two emotions, as demonstrated by Cameron et al. (2018), who found no difference between happiness and hope conditions. This highlights the challenge of inducing distinct positive emotions, especially when they share similar valence and arousal levels (Lautenbach, 2024; Lindquist et al., 2013).\nThis theoretical issue is mirrored by methodological challenges. The emotion induction for the hope condition was based on Lazarus’s core relational theme of “fearing for the worst, hoping for the best” (Lazarus, 2000, p. 234). However, it is questionable whether hope, as defined by Lazarus, was accurately captured, as participants did not face significant fears, and this aspect was not emphasized. Additionally, the hope questionnaire used was based on Snyder’s definition, where hope is “a cognitive set based on a reciprocally-derived sense of successful agency (goal-directed determination) and pathways (planning to meet goals)” (Snyder et al., 1996, p. 571). This conceptualization positions hope as a cognitive, goal-setting construct (see Oettingen and Gollwitzer, 2002), aligning more with motivation or self-efficacy theories (Gustafsson et al., 2010) than with Lazarus’s definition. Thus, the theoretical framework and the methodological assessment of hope differ significantly.\nFinally, methodological challenges (e.g., task design and experimenter influence) may have hindered differentiation between the two positive emotion conditions. The active performance task aimed to elevate positive emotions in athletes, as athletic performance correlates with positive emotions (Moen et al., 2018). However, this task can inherently motivate participants (Trecroci et al., 2018; Volery et al., 2017) and in addition elicit emotional responses (Quigley et al., 2014). While positive affect increases with success, it is unclear how to design a task to induce distinct emotional states (Nummenmaa and Niemi, 2004). Since no changes were observed in the neutral condition and affective reactions to performance tasks—especially with feedback—are influenced by social perception, it is likely that the experimenter’s social component played a significant role (Nummenmaa and Niemi, 2004).\nThe involvement of the experimenter could introduce complications. While the experimenter used different wording in each condition, they maintained similar non-verbal behavior, speaking in a friendly tone and showing attentiveness. This method, resembling emotion induction through confederates (Quigley et al., 2014), presents challenges as confederates or experimenters must be convincing and standardize details like tone, intonation, and non-verbal communication (Quigley et al., 2014). Emotional contagion (Hatfield et al., 1993) may have also occurred, unintentionally triggering emotional states. Given that the experimenter conducted up to eight tests daily under varying emotional conditions, their own mood and consistent feedback may have influenced emotional intensity. A second experimenter providing additional feedback or an emotion booster in study 1 between the two EF tasks (e.g., for stress Angelidis et al., 2019) could have heightened and/or maintained emotional intensity (Shteynberg et al., 2014). Overall, the absence of professional actors may have contributed to the difficulty in inducing discrete emotions.\n\n\n### Impact of PEs on EFs\nDespite challenges in inducing discrete emotions, there was a measurable increase in both happiness and hope across the positive emotion conditions. While happiness and hope values in the post-measurement were comparable across all conditions, the observed increases in positive emotions may have influenced cognitive performance. In other words, changing emotional state, even without lasting emotional differences, might have a minimal impact on cognitive performance (Durlak et al., 2011). Although speculative in this study’s context, this argument is supported by prior research that found no correlations between positive emotions in neutral states and cognitive flexibility (Knöbel et al., 2024).\nThe hypothesis that an increase in happiness—or positive emotions more broadly—might facilitate cognitive flexibility received some support, particularly with regard to the main performance indicator, switch cost. Although a recent meta-analysis (Lautenbach, 2024) found inconsistent effects of positive emotions on cognitive flexibility, it included only five studies with highly heterogeneous effect sizes and critically evaluated measurement methods. While the present findings differ from the meta-analysis, they align with the theoretical framework that suggests positive emotions enhance creativity (the flexibility hypothesis, Isen, 2009), where cognitive flexibility plays a key role (Diamond, 2013). Prior research has also demonstrated a positive impact of positive emotions on creativity (Baas et al., 2008), supporting the current findings.\nThe lack of influence on other executive functions aligns with the hypothesis for inhibition (hypothesis 2a) but contradicts expectations for working memory (hypothesis 2c). Inhibitory performance remained unaffected by emotional changes. One possible explanation is that positive emotions reduce the perceived difficulty of the task (Grahek et al., 2020). Since the flanker task is relatively simple, it may be perceived as even easier in the presence of increased positive emotions (see also Lautenbach, 2024). Future studies should measure and control for task difficulty in EF tasks.\nContrary to expectations, no effect on working memory was found. This aligns with Lautenbach (2024) meta-analysis, which was based on a small number of studies (n = 4) with significant variability in effect sizes (d = −0.32 to 0.667), limiting its validity. Only one study (Au and Tang, 2019) used the n-back task with fewer trials than the current study, suggesting their findings may have been coincidental. Future research should further explore the impact of positive emotions on working memory.\n\n\n### Limitation\nBoth studies have limitations that should be addressed in future research, with the primary challenge being the induction of discrete PEs (Roth and Laireiter, 2021) and its measurements. Few studies have successfully induced different discrete emotions, and many attempts have been unsuccessful (e.g., Cameron et al., 2018). Thus, the current results align with previous research, but the issue of inducing discrete PEs remains unresolved. Thus, further research is needed to better differentiate PEs and develop effective and ecologically valid induction methods (Pourtois et al., 2017). A more feasible approach to identifying effects on desired dependent variables may also be to induce a single positive emotion and compare it with a neutral or negative emotion to clarify its effects on EFs (Lautenbach, 2024).\nHowever, this approach may inadvertently obscure relevant aspects of emotional experience. Experimental manipulations rarely elicit a single, isolated emotion; rather, it is both possible and psychologically normative to experience multiple emotions simultaneously (Carrera and Oceja, 2007). In the present context, it appears entirely plausible that—beyond for example the target emotion happiness—additional positive emotions, such as pride (see definition by Fredrickson, 2013), were elicited, given that individuals received social acknowledgment for their (even minor) achievements (i.e., increase in performance). In addition, the notion that happiness and pride often co-occur—though distinct in their antecedents—has been particularly emphasized in performance contexts, with both emotions serving as clear motivational drivers to performance (Lazarus, 2000).\nThese considerations highlight a broader methodological concern—one that is compellingly exemplified by the present data: the necessity of critically reflecting on how we conceptualize and measure emotions. If, for example, we had employed only one experimental condition and exclusively measured happiness, the resulting data might have appeared clear-cut and compelling. However, such clarity would have come at the cost of ignoring the broader emotional landscape, thereby offering a narrow and potentially misleading representation of the actual affective experience. This concern is echoed in the literature. It has been emphasized that measurements never fully capture the complexity of psychological reality, but rather represent only a selective excerpt shaped by the way constructs are operationalized (e.g., Shadish et al., 2002). In addition, the current study operationalized emotions solely through subjective experience, thereby leaving other relevant components of emotional responding—crucial for a comprehensive understanding of emotional processes—unexamined (see review by Mauss and Robinson, 2009). Moreover, factors such as personality and emotion regulation processes—which have been associated with executive functions (see meta-analysis by Toh et al., 2024)—may also modulate the impact of emotion induction.\nFurther methodological and statistical challenges may have contributed to the indistinct effects of PEs observed. The complex design, including an elaborate cover story, led to participant exclusions due to missing data (n = 5) or doubts about the cover story (n = 11), with 15.07% expressing doubt, consistent with previous findings (Rahwan et al., 2022). This reduced sample size impacted statistical power. Post-hoc power analysis showed power for inducing positive emotions was 0.30 in Study 1 and 0.22 in Study 2, and for detecting effects on EFs, power was 0.09 for inhibition, 0.91 for cognitive flexibility, and 0.15 for working memory. A larger sample would have improved statistical power, and future studies should aim for 10–20% more participants. Due to substantial constraints—particularly limited time resources, and insufficient personnel capacity—oversampling was unfortunately not feasible in the current research context. Despite this, the sample size was sufficient to detect an effect on cognitive flexibility.\nFinally, sample characteristics such as age and gender may play significant roles. For instance, Grossman and Wood (1997) found that women responded more strongly to emotional inductions of happiness, and older adults tend to focus more on positive emotions (Tsai et al., 2000). However, post-hoc analyses controlling for gender and examining age correlations did not yield additional relevant findings. Future studies should continue to control for participant characteristics to better understand their potential influences.\n\n\n### Conclusion\nPositive emotions are common in daily life (Li et al., 2020) and integral to human experience (Fredrickson, 2013), while executive functions are critical for higher-order cognitive processes and impact various life aspects, including academic success (Diamond, 2013). The influence of positive emotions on executive functions warrants further investigation, as current studies suggest these emotions may have some sort of measurable impact. Future research should prioritize the differentiated induction of discrete positive emotions and focus on higher-order executive functions, which are relevant to real-life situations. If positive emotions are shown to enhance higher-order executive functions, this could inform interventions to improve cognitive functioning, such as in educational contexts to boost student engagement and learning outcomes. Additionally, focusing on higher-order executive functions can refine theoretical models of emotional–cognitive interactions, offering a more nuanced understanding of how emotions influence cognitive processes.", "domain": "affective_neuroscience"}
{"source": "PMC13091984", "title": "The effect of concurrent exercise training (Resistance and Interval Running) and mindful self-compassion therapy on heart rate Variability in type 1 diabetes", "text": "# The effect of concurrent exercise training (Resistance and Interval Running) and mindful self-compassion therapy on heart rate Variability in type 1 diabetes\n\n## Abstract\nDiabetes in adolescents is usually associated with cardiovascular Autonomic Nervous System (ANS) disorders. The aim of this study was to investigate the effect of exercise and Mindful Self-Compassion Therapy (MSCT) on heart rate variability (HRV), aerobic capacity (VO2peak), and glycemic index of adolescent boys with type 1 diabetes (T1D). A total of 60 adolescent boys (Age: 12–18 years, Body Mass Index: 19.75 ± 2.26 kg/m2) were enrolled in this semi-experimental research. The participants were allocated into four groups: Control Diabetes (CD, n = 15), Exercise Diabetes (ED, n = 15), MSCT Diabetes (MD, n = 15), and Exercise + MSC Diabetes (EMD, n = 15). The ED group received 3 sessions per week of combined resistance and interval (running) and training, the MD group received 8 sessions of 60 min of MSCT, and the EMD group received exercise training + MSCT during a 12-week intervention period. A two-way multivariate analysis of covariance (MANCOVA) was used with pre-test values as covariate variables to evaluate changes in a range of HRV variables following the interventions. The ED and EMD groups showed increases in High Frequency (HF), Root Mean Square of Successive RR Interval Differences (RMSSD), Standard Deviation of NN Intervals (SDNN), Very-Low-Frequency (VLF), Low-Frequency (LF), and VO2peak. There was a decrease in resting Heart Rate (HR), LF/HF, and HbA1c levels. The MD group had a substantial increase in HF and RMSSD and a significant decrease in HR and LF/HF (p < 0.05). The results support the application of combined interval/resistance exercise training and stress control method (MSCT) as an effective non-invasive intervention for enhancing the psychophysiological parameters of HRV in adolescent boys with T1D compared to exercise or MSCT alone. The Combined Effect of Exercise Training and Mindful Self-Compassion Therapy in the Management of Heart Rate Variability in Type 1 Diabetes Type 1 Diabetes is commonly associated with damage to the nerves that control the heart and blood vessels which could lead to an increased risk of heart complications. While exercise training and self-compassion have shown positive results in managing type 2 diabetes, further research is needed to explore the benefits of combined interventions in people affected by Type 1 diabetes. The study investigated the combined effect of exercise (running and strength training) and Mindful Self-Compassion Therapy on variations in time between consecutive heartbeats, heart and respiratory health, and blood sugar control in 60 young males aged between 12 and 18 years with diabetes type 1. The results showed that application of concurrent exercise (combined aerobic/resistance training) and mindful self-compassion therapy may provide an effective safe intervention for improving the heart beat variations and mindfulness in young males with type 1 diabetes compared to exercise or mindful self-compassion therapy alone.\n\n## Full Text\n\n\n### Introduction\nNowadays, type 1 diabetes (T1D) is reported as one of the most common chronic health conditions in the world, affecting young people.\n1\n According to the World Health Organization (WHO), there is an increasing trend in the prevalence and occurrence of T1D.\n2\n In people with T1D, abnormal fluctuations in blood sugar level cause microvascular and macrovascular complications, leading to at least a 10-fold increase in cardiovascular complications and reduced quality of life compared to healthy individuals of the same age.\n3\nIn general, the activity of the autonomic nervous system (ANS) in T1D is associated with an increase in sympathetic nervous system (SNS) participation and a decrease in parasympathetic activity because of reduced functional capacity.\n4\n Ultimately, the culmination of these physiological disturbances leads to the manifestation of disease-related cardiovascular or metabolic complications. These complications progress in childhood and adolescence without obvious clinical symptoms.\n5\n Cardiac Autonomic Neuropathy is a consequence of T1D underpinned by disturbances in the cardiovascular ANS.\n3\n This is one of the most neglected long-term complications of T1D that remains subclinical until the final stages of the disease.\n6\n Hence, early identification of risk factors is critical for the timely prevention and management of cardiovascular disease (CVD)\nAn early subclinical marker that can occur in the early stages of T1D with chronic complications is an imbalanced HRV.\n7\n The physiological phenomenon of HRV shows fluctuations between successive heartbeat intervals, enabling the heart to control stress situations according to the ANS.\n8\n Rapid non-invasive acquisition of HRV enables early detection of heart failure in children and adolescents, providing a surrogate for the implementation of appropriate interventions to control and improve cardiovascular health.\n9\n T1D-related age group has the most blood sugar deviations due to hormonal changes and imbalanced nutritional habits, making efficient insulin management and blood sugar control significantly important in reducing the progression and prevalence of complications.\n10\n Furthermore, HRV is affected not only by physical conditions but also by emotional stress (fear of long-term complications, hypoglycemia, feelings of helplessness, and exhaustion) and can therefore be considered an important psychophysiological parameter.\n11\nWhile insulin use is the most common intervention for optimal control of type 1 diabetes, concurrent aerobic and resistance exercise training plays an important role in diabetes management by improving HRV, glycemic control, body composition, lipid profile, CRF, blood pressure, body weight, increasing insulin sensitivity, and improving quality of life through blood sugar control.12\n–14\nDespite the implementation of common control programs (insulin administration, exercise training, and balanced nutrition), blood sugar may remain uncontrolled due to the emergence of psychological disorders such as stress and anxiety.\n15\n Recently, the psychological aspects of T1D have received increasing attention from experts due to behavioral and emotional components strongly associated with the self-managing nature of T1D, supporting that more efficient control of T1D could occur when psychological components are incorporated into the management plan.\n16\n Mindful Self-compassion Therapy (MSCT) is one of the psychological interventions for enhanced control of T1D. There is some evidence that MSCT reduces the amount of stress associated with diabetes self-care, with subsequent effects on metabolic responses such as low blood sugar levels. Previous studies have shown the positive impact of MSCT on reducing blood hemoglobin and improving HRV.17,18 Hence, compassion may act alongside exercise adaptations (metabolic, autonomic, and functional) as a tool for coping with stress in people with diabetes.17,19\nConsidering the limited research on adolescents with T1D, it is important to identify potential non-pharmacological interventions for reducing disease-related complications. The implementation of an exercise program (i.e., to stimulate and use muscle volume for improved metabolic health) combined with MSCT (i.e., to stimulate the parasympathetic aspects of the ANS for controlling unnecessary emotions and stress) could affect HRV as an indicator of cardiovascular health in T1D. The present study aimed to investigate the effect of interval/resistance training and MSCT on resting HRV values, aerobic capacity, and sugar factors in adolescent boys with T1D.\n\n\n### Methods\nThis research project was approved by the Ethics Committee of the Cardiovascular Medical Education and Research Center (ID. IRCT202111031052926N1), and all participants gave written informed consent prior to participation in the study.\nThe participants, including 60 boys with T1D (14.93 ± 1.64 years), were allocated into four groups: Exercise Diabetes (ED, n = 15), MSCT Diabetes (MD, n = 15), Exercise + MSCT Diabetes (EMD, n = 15), and Control Diabetes (CD, n = 15) (Figure 1). The mean and standard deviation in LF/HF in a similar population were 2.03 and 1.56, respectively\n7\n; from this, we calculated that to maintain a power of 80% at a significance level of 0.05, we required 15 participants per group. Inclusion criteria were age of 12–18 years old, inactive (steps/day < 5000), minimum disease duration of 5 years, mean glycemia (FBS > 130 mg/dl) in the previous 3 months, and HbA1c > 7.5. Daily calorie intake was 2458 ± 394 for T1D participants. T1D participants were recruited through regional schools and were reviewed by an endocrinologist before being enrolled into study. A flow diagram of participation according to CONSORT is shown in Figure 1.\nStudy flow chart according to CONSORT guidelines.\nAll participants completed a health screening questionnaire to record state of anxiety (STAI), history of diabetes diagnosis, average minutes of physical activity per day, medication use, and comorbidities (Table 1). Exclusion criteria were diabetic neuropathy (autonomic and peripheral), nephropathy, cardiovascular diseases (history of palpitations, chest pain, and heart failure during exercise), cerebrovascular and respiratory diseases, medications affecting HR, and chronic psychological disorders.\nGeneral characteristics of subjects (mean ± SD).\nCD, Control Diabetes Group; DD, Diabetic Duration; ED, Exercise Diabetes Group; EMD, Exercise + Mindful self-compassion Diabetes Group; FBS, Fasting Blood Sugar; HbA1c, Hemoglobin A1c; MD, Mindful self-compassion training diabetes Group; SD, Standard Deviation; STAI, State-Trait Anxiety Inventory.\nAll the tests were performed in an educational medical center from 9:00 am to 11:00 am and 2 h after eating a light breakfast. Participants with T1D had their insulin dose as prescribed by their doctor and were asked to refrain from consuming caffeinated products, alcohol, and participating in vigorous exercise 48 h before the test. To prevent hypoglycemia or hyperglycemia, glucose levels were taken before, at the peak, and after exercise session. Exercise training was terminated if blood glucose reached to less than 5.56 mmol/l or more than 13.9 mmol/l.\n20\nHeart rate (HR) and HRV were recorded using a 5-lead Holter monitoring device (18630, Medset GmbH, Hamburg, Germany) according to the gold standard method recommended by the Task Force of the European Society of Cardiology for the 24-h recording.\n21\n HRV recording was performed by a cardiologist for each participant from 9 am continuously for 24 h (before and after training) with a sampling frequency of 1000 Hz of the ECG signal, with an accuracy of 1 ms for each interval. Ectopic beats and signal artifacts were eliminated using standard procedures. RR intervals considered non-physiological, specifically those longer than 1.5 s or shorter than 0.33 s were excluded. In addition, RR intervals differing by more than 20% from the preceding RR interval or from the overall mean RR interval were removed. Missing segments in the time series were filled using linear spline interpolation. The resulting RR interval series was then resampled at 3.413 Hz (1024 samples per 5-min segment) to obtain an evenly spaced time series suitable for spectral analysis of HRV. During the 24-h monitoring period, participants maintained their usual insulin dosage and routine daily activities (fewer than 5000 steps per day) and were prohibited from strenuous activity. All participants were fitted with a Beurer (Speedbox) pedometer (Beurer, Ulm, Germany) to monitor their motion activity. The following parameters were extracted and calculated in relation to R-R interval changes in the time domain: mean number of adjacent NN intervals (mRR), standard deviation of R-R intervals (SDNN), standard deviation of the 5-min R-R interval mean (SDANN), root mean square difference of consecutive R-R intervals (RMSSD), and percentage of beats with consecutive R-R interval difference > 50 ms (pNN50). Parameters measured in the frequency domain included high frequency (HF), low frequency (LF), very low frequency (VLF) and the ratio of LF to HF (LH/FH).\nVO2peak evaluation with maximum Graded Exercise Testing (GXT) was performed according to the modified Bruce protocol with a treadmill (XSCRIBE, Italia TM65, Mortara) at a temperature of 19°C–21°C, relative humidity of 39%–41% and height of 1860 m above sea level. HR was monitored during the GXT by Holter monitoring. Participants were asked to refrain from strenuous physical activity 24 h before GXT. VO2peak was calculated as the greatest average of respiratory VO2 during 20 consecutive seconds. A successful exercise test allowing the determination of VO2peak was defined by at least two of the following criteria: R value ⩾1.1; Maximum HR ⩾85% of maximum predicted (i.e., 208 − (0.7 × age in years)), and a plateau in O2 consumption (<150 mL/min) despite increase in the workload.\nThe training program consisted of 3 days/week of supervised interval (running) and resistance training (IRT) for 12 weeks. All participants were prohibited from heavy physical activity 24 h before the tests. IRT was performed in the morning with knowledge of the safe range of blood glucose levels (140–250 mg/dL). Each training session began with 10 min of warm-up and stretching, followed by resistance training performed before running to minimize exercise-induced hypoglycemia. Training loads were determined using an indirect 1RM estimation (Holten method), targeting 6–12 repetitions. Each session included bodyweight exercises (lunges and push-ups) and resistance exercises (leg presses, chest presses, leg extensions, seated shoulder presses, biceps curls, and triceps dips), performed in three sets of 8–12 repetitions with 1.5–2 min of rest, lasting 10–15 min. The session then involved 25–50 min of interval running training, and ended with 5 min of cooling down.\n22\n\nFigure 2 provides an overview of the exercise intervention program.\nSchematic presentation of combined exercise and MSCT training.\n1RM, 1 repetition maximum; AR, active recovery; HRR, heart rate reserve; Interval, interval training; MSC, Mindful self-compassion; RT, resistance training; rep, repetition; RU, running, STT, stretching training.\nInterval training sessions consisted of three to six 5-min running bouts (three bouts in week 1, progressively increased to six bouts by the final week) performed at an intensity of 50%–75% of heart rate reserve (HRR), with 4 min of active recovery at 10%–20% HRR following each bout. HR was continuously monitored during training using a heart rate monitor (Polar H10, Finland) to ensure adherence to the prescribed intensity. Training intensity was adjusted throughout each session to remain within the target heart rate range. Training volume was gradually increased every 3 weeks to prevent physiological adaptation.\n23\nThoroughly heated blood samples were centrifuged at 1500°C for 15 min at 4°C, plasma was then collected, frozen, and stored in a −80°C freezer for subsequent batch analysis. Fasting blood sugar (FBS – mg/dl) and hemoglobin A1c percentage (HbA1c%) were determined by the enzymatic method using quality-controlled commercial kits (LDN, Germany).\nThe structure of the psychological protocol was adapted from Germer and Neff’s method\n24\n (Figure 2). The protocol began with getting to know the MSCT program. It continued with introducing and practicing the theoretical and practical components of mindfulness and training to focus on the present. In the following stage, the subjects tried to discover the core of values that give meaning to life by practicing kindness and cultivating love, practicing self-compassion, and distinguishing self-compassion from the inner critic. In the next step, participants practiced dealing with difficult emotions: regulating emotions, learning to label emotions and a compassionate friend, recognizing and examining two kinds of suffering in relationships, facing unmet needs, and self-compassion. It was then ended with compassion for self and others, mindfulness of positive experiences, and gratitude.\nMean and standard deviation were used for descriptive statistics. The results of the Shapiro–Wilk test showed that the data distribution was normal (p > 0.05); Homogeneity of variances was confirmed using Levene’s test (p > 0.05). The assumption of equal slopes, equality of covariance matrices, and equal residual variances was met (p > 0.05). Two-way multivariate analysis of covariance (MANCOVA) was used with pre-test values as covariate variables for inferential statistics and examining the effect of interventions (exercise and compassion) between the groups. The Bonferroni corrections for multiple comparisons were applied (Tables 3 and 4). Time-domain variables (ASDNN5, SDNN, RMSSD, and PNN50) and frequency-domain variables (VLF, LF, HF, and LF/HF) were incorporated into two different group analyses. The interaction effects were examined (Tables 3 and 4). The relationship between VO2Peak and LF/HF variables was analyzed using inverse and Bland-Altman plots. All analyses were performed at a significance level of less than 0.05 using SPSS version 26 software. GraphPad Prism version 8.0.2 software (GraphPad Software, San Diego, CA, USA) was used to draw the graphs.\n\n\n### Participants\nThe participants, including 60 boys with T1D (14.93 ± 1.64 years), were allocated into four groups: Exercise Diabetes (ED, n = 15), MSCT Diabetes (MD, n = 15), Exercise + MSCT Diabetes (EMD, n = 15), and Control Diabetes (CD, n = 15) (Figure 1). The mean and standard deviation in LF/HF in a similar population were 2.03 and 1.56, respectively\n7\n; from this, we calculated that to maintain a power of 80% at a significance level of 0.05, we required 15 participants per group. Inclusion criteria were age of 12–18 years old, inactive (steps/day < 5000), minimum disease duration of 5 years, mean glycemia (FBS > 130 mg/dl) in the previous 3 months, and HbA1c > 7.5. Daily calorie intake was 2458 ± 394 for T1D participants. T1D participants were recruited through regional schools and were reviewed by an endocrinologist before being enrolled into study. A flow diagram of participation according to CONSORT is shown in Figure 1.\nStudy flow chart according to CONSORT guidelines.\nAll participants completed a health screening questionnaire to record state of anxiety (STAI), history of diabetes diagnosis, average minutes of physical activity per day, medication use, and comorbidities (Table 1). Exclusion criteria were diabetic neuropathy (autonomic and peripheral), nephropathy, cardiovascular diseases (history of palpitations, chest pain, and heart failure during exercise), cerebrovascular and respiratory diseases, medications affecting HR, and chronic psychological disorders.\nGeneral characteristics of subjects (mean ± SD).\nCD, Control Diabetes Group; DD, Diabetic Duration; ED, Exercise Diabetes Group; EMD, Exercise + Mindful self-compassion Diabetes Group; FBS, Fasting Blood Sugar; HbA1c, Hemoglobin A1c; MD, Mindful self-compassion training diabetes Group; SD, Standard Deviation; STAI, State-Trait Anxiety Inventory.\n\n\n### Experimental design\nAll the tests were performed in an educational medical center from 9:00 am to 11:00 am and 2 h after eating a light breakfast. Participants with T1D had their insulin dose as prescribed by their doctor and were asked to refrain from consuming caffeinated products, alcohol, and participating in vigorous exercise 48 h before the test. To prevent hypoglycemia or hyperglycemia, glucose levels were taken before, at the peak, and after exercise session. Exercise training was terminated if blood glucose reached to less than 5.56 mmol/l or more than 13.9 mmol/l.\n20\n\n\n### HRV parameters\nHeart rate (HR) and HRV were recorded using a 5-lead Holter monitoring device (18630, Medset GmbH, Hamburg, Germany) according to the gold standard method recommended by the Task Force of the European Society of Cardiology for the 24-h recording.\n21\n HRV recording was performed by a cardiologist for each participant from 9 am continuously for 24 h (before and after training) with a sampling frequency of 1000 Hz of the ECG signal, with an accuracy of 1 ms for each interval. Ectopic beats and signal artifacts were eliminated using standard procedures. RR intervals considered non-physiological, specifically those longer than 1.5 s or shorter than 0.33 s were excluded. In addition, RR intervals differing by more than 20% from the preceding RR interval or from the overall mean RR interval were removed. Missing segments in the time series were filled using linear spline interpolation. The resulting RR interval series was then resampled at 3.413 Hz (1024 samples per 5-min segment) to obtain an evenly spaced time series suitable for spectral analysis of HRV. During the 24-h monitoring period, participants maintained their usual insulin dosage and routine daily activities (fewer than 5000 steps per day) and were prohibited from strenuous activity. All participants were fitted with a Beurer (Speedbox) pedometer (Beurer, Ulm, Germany) to monitor their motion activity. The following parameters were extracted and calculated in relation to R-R interval changes in the time domain: mean number of adjacent NN intervals (mRR), standard deviation of R-R intervals (SDNN), standard deviation of the 5-min R-R interval mean (SDANN), root mean square difference of consecutive R-R intervals (RMSSD), and percentage of beats with consecutive R-R interval difference > 50 ms (pNN50). Parameters measured in the frequency domain included high frequency (HF), low frequency (LF), very low frequency (VLF) and the ratio of LF to HF (LH/FH).\n\n\n### Maximum exercise capacity (VO2peak)\nVO2peak evaluation with maximum Graded Exercise Testing (GXT) was performed according to the modified Bruce protocol with a treadmill (XSCRIBE, Italia TM65, Mortara) at a temperature of 19°C–21°C, relative humidity of 39%–41% and height of 1860 m above sea level. HR was monitored during the GXT by Holter monitoring. Participants were asked to refrain from strenuous physical activity 24 h before GXT. VO2peak was calculated as the greatest average of respiratory VO2 during 20 consecutive seconds. A successful exercise test allowing the determination of VO2peak was defined by at least two of the following criteria: R value ⩾1.1; Maximum HR ⩾85% of maximum predicted (i.e., 208 − (0.7 × age in years)), and a plateau in O2 consumption (<150 mL/min) despite increase in the workload.\n\n\n### Exercise training\nThe training program consisted of 3 days/week of supervised interval (running) and resistance training (IRT) for 12 weeks. All participants were prohibited from heavy physical activity 24 h before the tests. IRT was performed in the morning with knowledge of the safe range of blood glucose levels (140–250 mg/dL). Each training session began with 10 min of warm-up and stretching, followed by resistance training performed before running to minimize exercise-induced hypoglycemia. Training loads were determined using an indirect 1RM estimation (Holten method), targeting 6–12 repetitions. Each session included bodyweight exercises (lunges and push-ups) and resistance exercises (leg presses, chest presses, leg extensions, seated shoulder presses, biceps curls, and triceps dips), performed in three sets of 8–12 repetitions with 1.5–2 min of rest, lasting 10–15 min. The session then involved 25–50 min of interval running training, and ended with 5 min of cooling down.\n22\n\nFigure 2 provides an overview of the exercise intervention program.\nSchematic presentation of combined exercise and MSCT training.\n1RM, 1 repetition maximum; AR, active recovery; HRR, heart rate reserve; Interval, interval training; MSC, Mindful self-compassion; RT, resistance training; rep, repetition; RU, running, STT, stretching training.\nInterval training sessions consisted of three to six 5-min running bouts (three bouts in week 1, progressively increased to six bouts by the final week) performed at an intensity of 50%–75% of heart rate reserve (HRR), with 4 min of active recovery at 10%–20% HRR following each bout. HR was continuously monitored during training using a heart rate monitor (Polar H10, Finland) to ensure adherence to the prescribed intensity. Training intensity was adjusted throughout each session to remain within the target heart rate range. Training volume was gradually increased every 3 weeks to prevent physiological adaptation.\n23\n\n\n### Laboratory analyses\nThoroughly heated blood samples were centrifuged at 1500°C for 15 min at 4°C, plasma was then collected, frozen, and stored in a −80°C freezer for subsequent batch analysis. Fasting blood sugar (FBS – mg/dl) and hemoglobin A1c percentage (HbA1c%) were determined by the enzymatic method using quality-controlled commercial kits (LDN, Germany).\n\n\n### Psychological intervention\nThe structure of the psychological protocol was adapted from Germer and Neff’s method\n24\n (Figure 2). The protocol began with getting to know the MSCT program. It continued with introducing and practicing the theoretical and practical components of mindfulness and training to focus on the present. In the following stage, the subjects tried to discover the core of values that give meaning to life by practicing kindness and cultivating love, practicing self-compassion, and distinguishing self-compassion from the inner critic. In the next step, participants practiced dealing with difficult emotions: regulating emotions, learning to label emotions and a compassionate friend, recognizing and examining two kinds of suffering in relationships, facing unmet needs, and self-compassion. It was then ended with compassion for self and others, mindfulness of positive experiences, and gratitude.\n\n\n### Data analysis and statistics\nMean and standard deviation were used for descriptive statistics. The results of the Shapiro–Wilk test showed that the data distribution was normal (p > 0.05); Homogeneity of variances was confirmed using Levene’s test (p > 0.05). The assumption of equal slopes, equality of covariance matrices, and equal residual variances was met (p > 0.05). Two-way multivariate analysis of covariance (MANCOVA) was used with pre-test values as covariate variables for inferential statistics and examining the effect of interventions (exercise and compassion) between the groups. The Bonferroni corrections for multiple comparisons were applied (Tables 3 and 4). Time-domain variables (ASDNN5, SDNN, RMSSD, and PNN50) and frequency-domain variables (VLF, LF, HF, and LF/HF) were incorporated into two different group analyses. The interaction effects were examined (Tables 3 and 4). The relationship between VO2Peak and LF/HF variables was analyzed using inverse and Bland-Altman plots. All analyses were performed at a significance level of less than 0.05 using SPSS version 26 software. GraphPad Prism version 8.0.2 software (GraphPad Software, San Diego, CA, USA) was used to draw the graphs.\n\n\n### Results\nParticipants attended approximately 90% of all scheduled training sessions. Throughout the intervention period, no serious adverse events were observed. Absences were attributable solely to non-study-related factors such as routine illness or personal travel; no participant missed a session due to pain, injury, or any condition arising from the training protocol itself. Mild delayed-onset muscle soreness was reported by four participants, predominantly during the initial weeks of training, and these symptoms resolved without treatment. Three participants experienced transient hand discomfort associated with the use of weight-lifting equipment, and in one case, the issue was successfully mitigated by the adoption of protective gloves. Across the duration of the program, participants in the experimental condition demonstrated progressive overload and ultimately increased the resistance used in all prescribed exercises to at least 95% of their baseline training loads.\nThe results of descriptive and inferential statistics are presented in Tables 2–4, respectively. Tables 3 and 4 present the results of the “ANCOVA,” and in this table, the effects of the research factors alone and in interaction with each other are examined, including the effect of exercise alone (ED), compassion alone (MD), and the interactive effect of exercise and compassion with each other (EMD). Results indicated a significant effect of exercise training on SDNN and RMSSD and a significant effect of compassion on RMSSD and PNN50 (Table 3). Exercise also had a significant effect on all variables, including VLF, LF, HF, and LF/HF, while compassion had a significant effect only on HF and LF/HF (Table 4). Inverse and Bland-Altman graphs supported these findings (Figure 3).\nResults of descriptive statistics of participant demographics and variables.\nBMI, Body Mass Index; CD, Control Diabetes Group; EMD, Exercise + Mindful self-compassion Diabetes Group; HF, High Frequency power; LF, Low Frequency power; LF: HF, Ratio of low to high frequency power; MD, Mindful self-compassion training diabetes Group; pNN50, The percentage of beats with consecutive R-R interval difference > 50 ms; RMSSD, root mean square difference of consecutive R-R intervals; RR, mean number of adjacent NN intervals; SD, Standard Deviation; ED, Exercise Diabetes Group; SDANN, standard deviation of the 5-minute R-R interval mean; SDNN, standard deviation of R-R intervals; VLF, Very Low Frequency.\nResults of multivariate analysis of covariance (MANCOVA) for time-domain variables.\nComputed using alpha = .05; bR Squared = 0.721 (Adjusted R Squared = 0.684); cR Squared = 0.744 (Adjusted R Squared = 0.709); dR Squared = 0.546 (Adjusted R Squared = 0.484); eR Squared = 0.583 (Adjusted R Squared = 0.527); Significance level was set at p < 0.05.\nED, Exercise Diabetes Group; EMD, Exercise + Mindful self-compassion Diabetes Group; HF, High Frequency power; LF, Low Frequency power; LF: HF, Ratio of low to high frequency power; MD, Mindful self-compassion training diabetes Group; pNN50, The percentage of beats with consecutive R-R interval difference > 50 ms; RMSSD, root mean square difference of consecutive R-R intervals; SDANN, standard deviation of the 5-minute R-R interval mean; SDNN, standard deviation of R-R intervals; VLF, Very Low Frequency; η, Etta Square (Effect Size).\nResults of multivariate analysis of covariance for Frequency-domain variables.\nComputed using alpha = .05.bR Squared = .813 (Adjusted R Squared = .788); cR Squared = .707 (Adjusted R Squared = .667); dR Squared = .911 (Adjusted R Squared = .899); eR Squared = .648 (Adjusted R Squared = .601); Significance level was set at p < 0.05.\nED: Exercise Diabetes Group; EMD: Exercise + Mindful self-compassion Diabetes Group; HF: High Frequency power; LF: HF: Ratio of low to high frequency power; LF: Low Frequency power; MD: Mindful self-compassion training diabetes Group; pNN50: The percentage of beats with consecutive R-R interval difference > > 50 ms; RMSSD: root mean square difference of consecutive R-R intervals; SDANN: standard deviation of the 5-minute R-R interval mean; SDNN: standard deviation of R-R intervals; VLF: Very Low Frequency; η: Etta Square (Effect Size).\nInverse and Bland-Altman graph representing the relationship between VO2Peak and LF/HF Ratio data.\n\n\n### Discussion\nThe study aimed to compare the effect of exercise and MSCT interventions on HRV variables in boys with T1D. The main findings suggest an improved HRV following the exercise training in terms of improved HRV indices associated with autonomic modulation. The MSCT showed an increase in parasympathetic nervous system (PNS) parameters and combined exercise, and MSCT training led to improvement in HRV indices associated with autonomic modulation. Furthermore, exercise intervention led to an increase in the HF, LF, RMSSD, and SDNN and a decrease in LF/HF. Post exercise VO2peak changes were related to the improvement of LF/HF.\nPrevious studies of male T1D patients have reported increases in the activity of HRV indices associated with autonomic modulation (LF, HF, RMSSD, SDNN) and decreases in LF/HF in exercised groups compared to sedentary counterparts, which are consistent with the results of the present research.25\n–28 In a study on children with T1D, Chen et al. reported an increase in LF and HF in the exercise intervention group compared to the no-intervention group.\n29\n Other studies comparing trained T1D adolescents with the control group reported improvements only in PNS parameters of HRV (HF and RMSSD).30,31 A systematic meta-analysis by Hamasaki reported that exercise training, endurance training in particular, leads to increased PNS and decreased LF/HF activity.\n32\n Meta-analysis by Chiang et al. reported an increased PNS activity in people with diabetes after 2 to 3 months of regular exercise (3 times/week) and a decrease in SNS activity following > 4 months of exercise training.\n33\nRegular exercise has been shown to be effective in reducing serum levels of norepinephrine (the most important predictor of cardiac mortality) and N-terminal pro-brain natriuretic peptide. Conversely, exercise increases nitric oxide levels in the paraventricular nucleus (an important factor in cardiac vagal modulation) and reduces the level of angiotensin II. These changes lead to the inhibition of SNS activity and an increase in the PNS activity in diabetic patients.34\n–36 Furthermore, exercise could lead to a decrease in serum TNF by increasing blood volume and activating baroreflexes, which are modulated by the activity of the subdiaphragmatic vagus nerve.\n37\nIn the present research exercise intervention led to decreases in HbA1c, HR at rest, and increases in VO2peak. This is in agreement with previous studies supporting the effect of regular exercise in controlling the blood glucose in T1D, potentially due to exercise-induced metabolic adaptation and improved glycemic profile.38,39 The findings of the present study are also in line with previous studies showing a marked VO2peak improvement in the T1D group undertaking the exercise intervention.40,41\nReduced compassion, a condition characterized by reduced access to the comfort system (safety), is associated with reduced HRV activity.\n42\n It is known from previous research that compassionate mind training can increase baseline HRV and reduce symptoms of depression, anxiety, stress, and fears of self-compassion.43,44 According to the present study, MSCT intervention led to increases in HF, RMSSD, and PNN50 parameters and a decrease in LF/HF indicating an increase in the PNS factors of the ANS and its greater control over the heart at rest. Consistent with these findings, Svendsen et al. found higher levels of self-compassion in individuals with higher HRV and concluded that the induction of a state of compassion increased HRV proportional to the increased positive affect of the soothing system.\n45\nIt is possible that MSCT facilitates behavioral changes through creating care mindfulness, and other processes of inner kindness, which can be construed as a physio-psychological intervention.\n46\n Alternatively, cultivating compassion could have a soothing effect on the PNS and lead to increased HRV through the safety system.\n47\nFinding of the present study on the positive impact of compassion intervention in reducing blood glucose level aligns with the results of Friis et al. who reported reduced HbA1c following a self-compassion training program as an indicator of ANS improvement in T1D patients.17,48 Poor glycemic control has been suggested as a contributing factor to reduced HRV parameters and development of ANS dysfunction.\n49\n This could be described by the occurrence of neuro-metabolic adaptations in these patients, as such a strong glycemic control facilitates increased HRV parameters and reduced ANS disturbance leading to improved PNS factors and greater control over HRV during rest.\nFindings of the present study also suggest the occurrence of a reinforcement interaction in T1D following a combined exercise and compassion training. Several studies have reported the effect of regular physical activity in reducing the risk of mortality in patients with diabetes due to enhanced blood glucose and lipid control, improved insulin signaling, reduced inflammation, and improved vascular function.50,51 In addition to physiological markers, diabetes distress is a clinically significant psychosocial stressor that may contribute to the cardiovascular health of individuals with T1D. Hence, psychological care is recognized as a standard component of diabetes care.52,53\nOur findings demonstrate a linear relationship between HRV and VO2max, which is significantly influenced by the overall sympathetic-vagal balance, resulting in decreased sympathetic tone, increased PNS tone, and HRV levels. Furthermore, exercise training increases baroreflex sensitivity and HRV, along with improved VO2max, suggesting that physical activity can improve autonomic balance and cardiovascular risk in patients with diabetes.54,55 Concurrent self-compassion training could increase HRV response and potentially strengthen the ability to engage with difficult emotions in psychotherapy.\n56\n In this way, people with diabetes learn to have more compassion for themselves and to be more aware of their life conditions. Therefore, incorporation of a compassion component into the intervention program to increase mindfulness and self-compassion may lead to more efficient promotion of health-related behaviors, and natural physical and mental health, and ultimately improve self-care behaviors and reduce the glycemic index.\nThe generalizability of the results may be limited because of the relatively controlled blood glucose and diet in T1D patients. Considering the sensitivity of the effect of gender on HRV in the adolescent age group, the present study focused only on male participants.\n39\n Future studies of female and mature participants are needed to expand relevant knowledge. Data collection, position, and HRV analysis (time, method) were not identical across studies, which may have affected the comparisons.\n\n\n### Limitations\nThe generalizability of the results may be limited because of the relatively controlled blood glucose and diet in T1D patients. Considering the sensitivity of the effect of gender on HRV in the adolescent age group, the present study focused only on male participants.\n39\n Future studies of female and mature participants are needed to expand relevant knowledge. Data collection, position, and HRV analysis (time, method) were not identical across studies, which may have affected the comparisons.\n\n\n### Conclusion\nThe findings of the present research suggest that a combined exercise training and focused therapy of compassion may be considered an effective modality for more optimal enhancement in the HRV parameters, parasympathetic components in particular, of adolescents with T1D. Adolescents with T1D may benefit from gaining appropriate exercise skills and self-compassion training methods and encouragement to engage in these activities to improve their health. Parents, healthcare providers, and counselors involved in the management of T1D may consider the amalgamation of exercise and self-compassion training for enhanced blood glucose control and self-care behaviors. Further research is needed to further investigate the effectiveness of this strategy in preventing and slowing down the progression of cardiovascular disease in children and adolescents with T1D.", "domain": "affective_neuroscience"}
{"source": "PMC13082934", "title": "Immediate impacts of low-temperature exposure on cardiac autonomic modulation, neuromuscular efficiency, and postural stability in older adults Yangko dancers – a randomized controlled trial", "text": "# Immediate impacts of low-temperature exposure on cardiac autonomic modulation, neuromuscular efficiency, and postural stability in older adults Yangko dancers – a randomized controlled trial\n\n## Abstract\nTo investigate the immediate effects of different cold environments on heart rate variability (HRV), surface electromyography (sEMG), and balance in older adults Yangko dance (a traditional Chinese folk dance) participants, and to elucidate the mechanisms underlying increased injury risks during the early exercise phase (10–20 minutes) in cold conditions. This study aims to provide scientific evidence for targeted protective measures. A randomized controlled trial was conducted with 120 regular Yangko dancers (age>60 years) from Changchun, China. Participants were stratified into four temperature groups (15 °C, -5 °C, -10 °C, -15 °C; 30 cases in each group) using computer-generated randomization. All participants completed Yangko dance sessions under their assigned temperature conditions. HRV time-domain and frequency-domain indices (SDNN, RMSSD, PNN500, LogLF, LogHF, LF/HF), sEMG signals of the biceps femoris, rectus femoris, and medial gastrocnemius (RMS, IEMG), and balance parameters (RT, MVL, EPE) were measured using heart rate monitors, surface EMG devices, and a balance testing system. The impacts of different cold environments on cardiovascular and motor functions were analyzed. Compared to 15 °C, the cold groups (-5 °C, -10 °C, -15 °C) showed significant reductions in SDNN, RMSSD, PNN500, LogLF, and LogHF (P<0.05) after the experiment, while LF/HF increased significantly (P<0.05). Progressive hypothermia induced dose-dependent decreases in SDNN (15 °C: 65.4 ± 1.47 vs. -15 °C: 51.21 ± 13.41, P<0.001) and RMSSD, alongside increased LF/HF ratios (P<0.05). sEMG analysis demonstrated temperature-dependent neuromuscular adaptations, with -15 °C exposure eliciting 23.6% RMS elevation but 29.4% IEMG reduction versus controls (P<0.05), indicating enhanced muscle activation but decreased output efficiency. The conclusion of the balance ability test shows that RT is prolonged and DCL is reduced. Cold environments reduce HRV, increase muscle stiffness, and impair balance in the older adults, significantly raise injury risks during the early exercise phase. Recommendations include adequate warm-up, wearing thermal protective gear, and performing joint mobility exercises to enhance exercise safety in cold conditions.\n\n## Full Text\n\n\n### Introduction\nYangko dance is a traditional folk dance of the Han Chinese in northern China, originating from farming activities. It evolved from farmers’ dances to pray for and celebrate the harvest, gradually developing into a dance form for health promotion of Chinese people (Li et al., 2022). It is assumed to effectively enhance limb coordination, cardiopulmonary function, and overall physical fitness (Lee, 2005, Navari et al., 2024). With the accelerating aging process in Chinese society, the health of the older adults has become a focal point of public concern. Among various approaches to promoting physical and mental health in the older adults, Yangko dance, a traditional fitness activity with profound cultural roots, is favored by older adults due to its moderate intensity and lively format (Li et al., 2022).\nYangko dance is particularly popular in northeastern China, with a large number of participants, especially among the older adults. However, cold winter conditions, pose challenges to Yangko dance participation. Older adults individuals face higher risks of exercise-related injuries in cold environments (Yelkenci et al., 2025). Studies show that muscle elasticity and joint flexibility decrease significantly in cold temperatures, accompanied by reduced reaction time and body coordination (Abaidia et al., 2017). Cold temperatures reduce the fluidity of neuronal cell membranes, impairing the normal opening and closing of ion channels. This slows the conduction speed of nerve impulses, directly compromising the efficiency of signal transmission between the central and peripheral nervous systems (Beker et al., 2018). Studies suggest that in cold environments, the human spleen can contract to release its stored, densely packed red blood cells into the systemic circulation. This process enhances the blood’s oxygen-carrying capacity but also increases its viscosity (Bakovic et al., 2005), which leads to a decrease in cerebral blood flow. These could consequently lead to diminished motor coordination, slower reaction times and a corresponding increase in the risk of falls. Insufficient warm-up and low ambient temperatures often lead to muscle strains, joint sprains, and falls within the first 10–20 minutes of exercise—a high-risk period for injuries during Yangko dance. These injuries not only compromise exercise effectiveness but also pose serious health threats.\nHeart rate variability (HRV) is a critical indicator of heartbeat interval fluctuations, which reflect autonomic nervous system activity. Cold exposure is considered as a highly stressful condition that rapidly activates immediate and short-term regulatory mechanisms (Zalewski et al., 2013). During cold exposure, sympathetic nerve-mediated peripheral vasoconstriction and norepinephrine release occur (Johnson et al., 1977), while baroreceptor stimulation in the carotid sinus and aortic arch triggers parasympathetic activation to restore physiological homeostasis (Douzi et al., 2020). However, elevated circulating norepinephrine levels in the older adults can precipitate arrhythmias in congestive heart failure (Kaye et al., 1994, Hausswirth et al., 2013). Cold temperatures increase the risk of junctional rhythms and atrial reentrant arrhythmias. Normal neurological changes reduce myocardial conduction velocity (Mattu et al., 2002), and previous studies report higher incidences of out-of-hospital cardiac arrests during cold weather (Fukuda et al., 2014).\nIn this study, we focus on investigating the mechanisms underlying cold-induced effects on HRV, muscle function, and balance of older adults Yangko dancers. The study selected four specific temperatures (15 °C, -5 °C, -10 °C, and -15 °C) to reflect typical weather conditions in northeastern China. 15 °C was chosen as a control group, representing the warm conditions that occur during transitional seasons. The other temperatures (-5 °C, -10 °C, and -15 °C) were selected because they are common during sustained outdoor activities in the region’s cold autumn and winter periods. These values allow for observing how various indicators in elderly Yangko dancers change as temperatures gradually drop from mild to moderate cold. These findings will provide scientific evidence for injury prevention and risk reduction in older adults Yangko dancers, enhance exercise safety and offer tailored guidance for cold-weather fitness activities. It will ultimately promote improved physical and mental health in the older adults population. This investigation pioneers the application of multimodal physiological monitoring (HRV, sEMG, posturography) to characterize cold-induced biomechanical adaptations in older adults Yangko dancers.\n\n\n### Materials and methods\nThis study employed a multi-gradient hypothermia exposure experimental design, and this is a randomized controlled trial with four parallel arms. This study used the single-blind method, in which all subjects were blinded to the temperature conditions, and the assessors who participate in the experiment knew the grouping results but did not know the purpose of this study. A total of 120 eligible older adults participants were randomly assigned to four groups (n=30 per group) using a random number table. Each group was exposed to a distinct low-temperature environment (15 °C, -5 °C, -10 °C, -15 °C), simulated using an environmental chamber (CYPRESS Systems, Model ECT-9000) maintained target temperatures (± 0.3 °C) with 45-50% relative humidity, verified by NIST-traceable thermohygrometers (Testo 635-2) at 1-minute intervals. One hour prior to the experiment, pre-cooling was initiated, maintaining relative humidity at 40%–50%. In order to maintain consistency across experimental conditions, participants were uniformly outfitted in thermal undergarments and lightweight outerwear. In a winter environment, the average clothing insulation value for this elderly population was 2.0 clo (He et al., 2024). Strict protocols were implemented requiring abstinence from strenuous exercise, alcohol consumption, and caffeine intake prior to experimental procedures. In addition, subjects should ensure adequate sleep, avoid high-salt and high-fat foods, and maintain a positive emotional state before the experiment. The protocol began with a 5-minute warm-up phase inside the environmental chamber to acclimate participants to the target temperature. This phase included dynamic stretching and gait activation movements, with heart rate maintained below 100 beats/min. At the target temperature, heart rate should be controlled at 60-70% of the maximum value. The music rhythm was fixed at 120–130 beats per minute and perform 15 minutes of Yangko dance (Figure 1).\nFlow chart of the trial.\n120 cases of older adults over 60 years of age who participated in Yangko dance in Changchun were selected as experimental subjects for research and analysis. Prior to the experiment, the participants received relevant training regarding the purpose and procedures of the study. Written informed consent was obtained from all participants prior to their inclusion in the study. This study was conducted in accordance with the ethical principles of the Declaration of Helsinki and was approved by the Academic Ethics Committee of Jilin Sports University (Approval No. 2025010).\n(1) Age≥60 years, long-term participation in Yangko dance (≥3 times/week, continuing for more than 1 year); (2) No serious cardiopulmonary disease, osteoarticular disease, or neurological disease; (3) Blood pressure, blood lipid and other basic physiological indicators are in the normal range.\n(1) Acute cardiovascular event or sports injury within the last 3 months; (2) Presence of cognitive disorder or inability to cooperate with experimental requirements; (3) Long-term use of medications that affect cardiovascular or neurological function (such as β-blockers); (4) Discomfort or willingness to withdraw during the experiment.\nThis study required participants to perform Yangko dance throughout the entire experimental protocol. The data of HRV and sEMG were recorded continuously, covering the complete timeline from the preparatory phase before entering the climate chamber until the end of the experiment upon exiting. Specifically, sEMG indices were extracted during the execution of the key technical movement, i.e. “left-right jumping twists”. Stability limit tests were conducted both before and after the experiment, with a mandatory 1 hour seated rest under room temperature conditions following the pre-test before initiating the cold exposure protocol, and the post-test was conducted immediately after the completion of the cold exposure experiment. To avoid the effects of the diurnal changes in physiology, all experiments were scheduled in the morning. During the data acquisition process, ambient temperature and relative humidity were rigorously controlled to maintain stable conditions, thereby minimizing external disturbances.\nThe R-R interval data were recorded using a Polar H10 heart rate chest strap (manufactured by HUNBEIHAOLE). These data were imported into Kubios Hr-standard 3.4.3 software for the processing of heart rate (HR)-related information. Subsequently, linear analysis (including time domain and frequency domain analysis) was employed to assess the heart rate variability (HRV) indices. The time domain indices encompassed the standard deviation of the mean normal RR intervals (SDNN), the root mean square of the differences between adjacent RR intervals (RMSSD), the percentage of RR intervals with a difference of more than 50 ms (pNN50), as well as low frequency power (LogLF), high frequency power (LogHF), and the LF/HF ratio. In the detection of artifacts (including missed, extra, and misaligned beats) as well as ectopic beats, a medium threshold correction was applied. Artifacts and ectopic beats were identified by comparing each RR interval against a local average interval (0.25 ms). Ectopic beats were corrected by replacing the corresponding RR intervals with interpolated values. Missed beats were addressed by inserting estimated R-wave timings, and extra beats were removed followed by recalculation of the RR interval series. To account for slow linear or more complex trends, non-stationarities in the time series were reduced using a smoothness prior approach (Tarvainen et al., 2014).\nMeasurements were conducted using the Yun Wei 8-wire wireless surface electromyography (WGS-EMG) tester and its associated analysis software. These measurements aimed to detect electromyographic signals in the biceps femoris (BF), rectus femoris (RF), and medial head of the gastrocnemius (MG) muscles of the four groups, both before and after the intervention. Electrode placement adhered to established surface electromyography protocols. For the biceps femoris, electrodes were affixed over the midpoint of the muscle belly, aligned parallel to its fiber orientation. For the rectus femoris, electrodes were positioned at the most prominent portion of the anterior thigh muscle belly, following the longitudinal axis of the muscle fibers. For the medial head of the gastrocnemius, electrodes were placed on the midpoint of the medial muscle belly on the posterior lower leg, oriented perpendicular to the longitudinal axis of the shank. The inter−electrode distance (center−to−center) was consistently set at 20 mm. The reference electrode was placed on a bony surface near the target muscle, such as the midshaft of the anterior tibial crest, ensuring the absence of overlying muscle tissue. Before testing, the skin was meticulously cleaned and sterilized, with the electrode placement area being wiped with medical alcohol to reduce skin resistance. Disposable surface electrodes were utilized to guarantee the precision of signal acquisition. Comprehensive surface electromyography (EMG) signals were recorded and spectrally analyzed using the analysis software to obtain the root mean square (RMS) and integral electromyography (IEMG). The surface EMG data were transmitted in real time to a laptop via Bluetooth and analyzed with Noraxon MR3 software. Raw sEMG signals were initially band−pass filtered (80–250 Hz) using a finite impulse response (FIR) filter within a Lanczos window. The filtered signals were then fully rectified and smoothed using a 50−ms sliding window, and the root mean square (RMS) as well as integrated electromyography (iEMG) values were derived (Konrad, 2006).\nThe NeuroCom Balance System was utilized to conduct the Limit of Stability (LOS) test (Koehler-McNicholas et al., 2018) on the subjects. This test encompassed five indices: (1) Reaction Time (RT): Reaction time refers to the time required for the subject to move from the initial position toward the target direction after the system issues a movement command. (2) End-Point Excursion (EPE): End-Point Excursion refers to the straight-line distance between the actual endpoint position reached by the subject’s center of gravity and the target position during the completion of the extreme posture stability test. This metric assesses the accuracy of the subject’s control over the movement of their center of gravity by quantifying the endpoint error of the movement trajectory. (3) Directional Control (DCL): Directional control is defined as the ratio of the actual distance between the center of pressure’s starting position and its endpoint offset position to the shortest distance (a straight line) between these two points. (4) Movement Velocity (MVL): This refers to the average speed at which the center of pressure moves toward a specific target. (5) Maximum Displacement (MXE): Maximum displacement is the greatest displacement of the pressure center from the test starting position toward each target, recorded and described as a percentage. This test quantifies the maximum distance an individual can freely move their center of gravity in a specific direction while standing without moving their feet, taking steps, or losing balance. During the test, participants observed real−time visual feedback of their center−of−mass (COM) position via a cursor on a computer screen and were instructed to voluntarily move their COM toward system−specified targets. At the beginning of each trial, participants were required to maintain their COM within a central target while awaiting combined visual and auditory cues. Upon cue presentation, participants leaned toward the designated target direction, aiming to position their COM as close as possible to the target. Target locations were normalized to individual height, and participants were allotted 8 s to complete the movement. After each trial, participants returned their COM to the central target and waited for the subsequent visual cue.\nSample size estimation was conducted a priori using G*Power software (version 3.1.9.2, Heinrich Heine University Düsseldorf, Germany) (Faul et al., 2009). Based on preliminary data from 5 participants per group, an effect size of f = 0.379 was derived. For a one-way fixed-effects analysis of variance (ANOVA), with a significance level (α) of 0.05 and a desired power (1 – β) of 0.80, the required total sample size was calculated to be 84 participants (21 per group). This estimation ensures sufficient power to detect the expected group differences at the specified alpha level. Considering the potential dropout rate, a total of 120 cases were included in this study.\nThe data were analyzed using SPSS 23.0 software, with statistical methods including one-way ANOVA and paired t-tests. Between-group comparisons were performed using one-way ANOVA. If the data met the assumption of homogeneity of variance, the LSD test was used to determine significant differences between groups.\n\n\n### Study design\nThis study employed a multi-gradient hypothermia exposure experimental design, and this is a randomized controlled trial with four parallel arms. This study used the single-blind method, in which all subjects were blinded to the temperature conditions, and the assessors who participate in the experiment knew the grouping results but did not know the purpose of this study. A total of 120 eligible older adults participants were randomly assigned to four groups (n=30 per group) using a random number table. Each group was exposed to a distinct low-temperature environment (15 °C, -5 °C, -10 °C, -15 °C), simulated using an environmental chamber (CYPRESS Systems, Model ECT-9000) maintained target temperatures (± 0.3 °C) with 45-50% relative humidity, verified by NIST-traceable thermohygrometers (Testo 635-2) at 1-minute intervals. One hour prior to the experiment, pre-cooling was initiated, maintaining relative humidity at 40%–50%. In order to maintain consistency across experimental conditions, participants were uniformly outfitted in thermal undergarments and lightweight outerwear. In a winter environment, the average clothing insulation value for this elderly population was 2.0 clo (He et al., 2024). Strict protocols were implemented requiring abstinence from strenuous exercise, alcohol consumption, and caffeine intake prior to experimental procedures. In addition, subjects should ensure adequate sleep, avoid high-salt and high-fat foods, and maintain a positive emotional state before the experiment. The protocol began with a 5-minute warm-up phase inside the environmental chamber to acclimate participants to the target temperature. This phase included dynamic stretching and gait activation movements, with heart rate maintained below 100 beats/min. At the target temperature, heart rate should be controlled at 60-70% of the maximum value. The music rhythm was fixed at 120–130 beats per minute and perform 15 minutes of Yangko dance (Figure 1).\nFlow chart of the trial.\n\n\n### Participants\n120 cases of older adults over 60 years of age who participated in Yangko dance in Changchun were selected as experimental subjects for research and analysis. Prior to the experiment, the participants received relevant training regarding the purpose and procedures of the study. Written informed consent was obtained from all participants prior to their inclusion in the study. This study was conducted in accordance with the ethical principles of the Declaration of Helsinki and was approved by the Academic Ethics Committee of Jilin Sports University (Approval No. 2025010).\n\n\n### Inclusion criteria\n(1) Age≥60 years, long-term participation in Yangko dance (≥3 times/week, continuing for more than 1 year); (2) No serious cardiopulmonary disease, osteoarticular disease, or neurological disease; (3) Blood pressure, blood lipid and other basic physiological indicators are in the normal range.\n\n\n### Exclusion criteria\n(1) Acute cardiovascular event or sports injury within the last 3 months; (2) Presence of cognitive disorder or inability to cooperate with experimental requirements; (3) Long-term use of medications that affect cardiovascular or neurological function (such as β-blockers); (4) Discomfort or willingness to withdraw during the experiment.\n\n\n### Methods\nThis study required participants to perform Yangko dance throughout the entire experimental protocol. The data of HRV and sEMG were recorded continuously, covering the complete timeline from the preparatory phase before entering the climate chamber until the end of the experiment upon exiting. Specifically, sEMG indices were extracted during the execution of the key technical movement, i.e. “left-right jumping twists”. Stability limit tests were conducted both before and after the experiment, with a mandatory 1 hour seated rest under room temperature conditions following the pre-test before initiating the cold exposure protocol, and the post-test was conducted immediately after the completion of the cold exposure experiment. To avoid the effects of the diurnal changes in physiology, all experiments were scheduled in the morning. During the data acquisition process, ambient temperature and relative humidity were rigorously controlled to maintain stable conditions, thereby minimizing external disturbances.\nThe R-R interval data were recorded using a Polar H10 heart rate chest strap (manufactured by HUNBEIHAOLE). These data were imported into Kubios Hr-standard 3.4.3 software for the processing of heart rate (HR)-related information. Subsequently, linear analysis (including time domain and frequency domain analysis) was employed to assess the heart rate variability (HRV) indices. The time domain indices encompassed the standard deviation of the mean normal RR intervals (SDNN), the root mean square of the differences between adjacent RR intervals (RMSSD), the percentage of RR intervals with a difference of more than 50 ms (pNN50), as well as low frequency power (LogLF), high frequency power (LogHF), and the LF/HF ratio. In the detection of artifacts (including missed, extra, and misaligned beats) as well as ectopic beats, a medium threshold correction was applied. Artifacts and ectopic beats were identified by comparing each RR interval against a local average interval (0.25 ms). Ectopic beats were corrected by replacing the corresponding RR intervals with interpolated values. Missed beats were addressed by inserting estimated R-wave timings, and extra beats were removed followed by recalculation of the RR interval series. To account for slow linear or more complex trends, non-stationarities in the time series were reduced using a smoothness prior approach (Tarvainen et al., 2014).\nMeasurements were conducted using the Yun Wei 8-wire wireless surface electromyography (WGS-EMG) tester and its associated analysis software. These measurements aimed to detect electromyographic signals in the biceps femoris (BF), rectus femoris (RF), and medial head of the gastrocnemius (MG) muscles of the four groups, both before and after the intervention. Electrode placement adhered to established surface electromyography protocols. For the biceps femoris, electrodes were affixed over the midpoint of the muscle belly, aligned parallel to its fiber orientation. For the rectus femoris, electrodes were positioned at the most prominent portion of the anterior thigh muscle belly, following the longitudinal axis of the muscle fibers. For the medial head of the gastrocnemius, electrodes were placed on the midpoint of the medial muscle belly on the posterior lower leg, oriented perpendicular to the longitudinal axis of the shank. The inter−electrode distance (center−to−center) was consistently set at 20 mm. The reference electrode was placed on a bony surface near the target muscle, such as the midshaft of the anterior tibial crest, ensuring the absence of overlying muscle tissue. Before testing, the skin was meticulously cleaned and sterilized, with the electrode placement area being wiped with medical alcohol to reduce skin resistance. Disposable surface electrodes were utilized to guarantee the precision of signal acquisition. Comprehensive surface electromyography (EMG) signals were recorded and spectrally analyzed using the analysis software to obtain the root mean square (RMS) and integral electromyography (IEMG). The surface EMG data were transmitted in real time to a laptop via Bluetooth and analyzed with Noraxon MR3 software. Raw sEMG signals were initially band−pass filtered (80–250 Hz) using a finite impulse response (FIR) filter within a Lanczos window. The filtered signals were then fully rectified and smoothed using a 50−ms sliding window, and the root mean square (RMS) as well as integrated electromyography (iEMG) values were derived (Konrad, 2006).\nThe NeuroCom Balance System was utilized to conduct the Limit of Stability (LOS) test (Koehler-McNicholas et al., 2018) on the subjects. This test encompassed five indices: (1) Reaction Time (RT): Reaction time refers to the time required for the subject to move from the initial position toward the target direction after the system issues a movement command. (2) End-Point Excursion (EPE): End-Point Excursion refers to the straight-line distance between the actual endpoint position reached by the subject’s center of gravity and the target position during the completion of the extreme posture stability test. This metric assesses the accuracy of the subject’s control over the movement of their center of gravity by quantifying the endpoint error of the movement trajectory. (3) Directional Control (DCL): Directional control is defined as the ratio of the actual distance between the center of pressure’s starting position and its endpoint offset position to the shortest distance (a straight line) between these two points. (4) Movement Velocity (MVL): This refers to the average speed at which the center of pressure moves toward a specific target. (5) Maximum Displacement (MXE): Maximum displacement is the greatest displacement of the pressure center from the test starting position toward each target, recorded and described as a percentage. This test quantifies the maximum distance an individual can freely move their center of gravity in a specific direction while standing without moving their feet, taking steps, or losing balance. During the test, participants observed real−time visual feedback of their center−of−mass (COM) position via a cursor on a computer screen and were instructed to voluntarily move their COM toward system−specified targets. At the beginning of each trial, participants were required to maintain their COM within a central target while awaiting combined visual and auditory cues. Upon cue presentation, participants leaned toward the designated target direction, aiming to position their COM as close as possible to the target. Target locations were normalized to individual height, and participants were allotted 8 s to complete the movement. After each trial, participants returned their COM to the central target and waited for the subsequent visual cue.\n\n\n### Heart rate variability\nThe R-R interval data were recorded using a Polar H10 heart rate chest strap (manufactured by HUNBEIHAOLE). These data were imported into Kubios Hr-standard 3.4.3 software for the processing of heart rate (HR)-related information. Subsequently, linear analysis (including time domain and frequency domain analysis) was employed to assess the heart rate variability (HRV) indices. The time domain indices encompassed the standard deviation of the mean normal RR intervals (SDNN), the root mean square of the differences between adjacent RR intervals (RMSSD), the percentage of RR intervals with a difference of more than 50 ms (pNN50), as well as low frequency power (LogLF), high frequency power (LogHF), and the LF/HF ratio. In the detection of artifacts (including missed, extra, and misaligned beats) as well as ectopic beats, a medium threshold correction was applied. Artifacts and ectopic beats were identified by comparing each RR interval against a local average interval (0.25 ms). Ectopic beats were corrected by replacing the corresponding RR intervals with interpolated values. Missed beats were addressed by inserting estimated R-wave timings, and extra beats were removed followed by recalculation of the RR interval series. To account for slow linear or more complex trends, non-stationarities in the time series were reduced using a smoothness prior approach (Tarvainen et al., 2014).\n\n\n### Surface myoelectric indices\nMeasurements were conducted using the Yun Wei 8-wire wireless surface electromyography (WGS-EMG) tester and its associated analysis software. These measurements aimed to detect electromyographic signals in the biceps femoris (BF), rectus femoris (RF), and medial head of the gastrocnemius (MG) muscles of the four groups, both before and after the intervention. Electrode placement adhered to established surface electromyography protocols. For the biceps femoris, electrodes were affixed over the midpoint of the muscle belly, aligned parallel to its fiber orientation. For the rectus femoris, electrodes were positioned at the most prominent portion of the anterior thigh muscle belly, following the longitudinal axis of the muscle fibers. For the medial head of the gastrocnemius, electrodes were placed on the midpoint of the medial muscle belly on the posterior lower leg, oriented perpendicular to the longitudinal axis of the shank. The inter−electrode distance (center−to−center) was consistently set at 20 mm. The reference electrode was placed on a bony surface near the target muscle, such as the midshaft of the anterior tibial crest, ensuring the absence of overlying muscle tissue. Before testing, the skin was meticulously cleaned and sterilized, with the electrode placement area being wiped with medical alcohol to reduce skin resistance. Disposable surface electrodes were utilized to guarantee the precision of signal acquisition. Comprehensive surface electromyography (EMG) signals were recorded and spectrally analyzed using the analysis software to obtain the root mean square (RMS) and integral electromyography (IEMG). The surface EMG data were transmitted in real time to a laptop via Bluetooth and analyzed with Noraxon MR3 software. Raw sEMG signals were initially band−pass filtered (80–250 Hz) using a finite impulse response (FIR) filter within a Lanczos window. The filtered signals were then fully rectified and smoothed using a 50−ms sliding window, and the root mean square (RMS) as well as integrated electromyography (iEMG) values were derived (Konrad, 2006).\n\n\n### Stability limit test\nThe NeuroCom Balance System was utilized to conduct the Limit of Stability (LOS) test (Koehler-McNicholas et al., 2018) on the subjects. This test encompassed five indices: (1) Reaction Time (RT): Reaction time refers to the time required for the subject to move from the initial position toward the target direction after the system issues a movement command. (2) End-Point Excursion (EPE): End-Point Excursion refers to the straight-line distance between the actual endpoint position reached by the subject’s center of gravity and the target position during the completion of the extreme posture stability test. This metric assesses the accuracy of the subject’s control over the movement of their center of gravity by quantifying the endpoint error of the movement trajectory. (3) Directional Control (DCL): Directional control is defined as the ratio of the actual distance between the center of pressure’s starting position and its endpoint offset position to the shortest distance (a straight line) between these two points. (4) Movement Velocity (MVL): This refers to the average speed at which the center of pressure moves toward a specific target. (5) Maximum Displacement (MXE): Maximum displacement is the greatest displacement of the pressure center from the test starting position toward each target, recorded and described as a percentage. This test quantifies the maximum distance an individual can freely move their center of gravity in a specific direction while standing without moving their feet, taking steps, or losing balance. During the test, participants observed real−time visual feedback of their center−of−mass (COM) position via a cursor on a computer screen and were instructed to voluntarily move their COM toward system−specified targets. At the beginning of each trial, participants were required to maintain their COM within a central target while awaiting combined visual and auditory cues. Upon cue presentation, participants leaned toward the designated target direction, aiming to position their COM as close as possible to the target. Target locations were normalized to individual height, and participants were allotted 8 s to complete the movement. After each trial, participants returned their COM to the central target and waited for the subsequent visual cue.\n\n\n### Sample size estimation\nSample size estimation was conducted a priori using G*Power software (version 3.1.9.2, Heinrich Heine University Düsseldorf, Germany) (Faul et al., 2009). Based on preliminary data from 5 participants per group, an effect size of f = 0.379 was derived. For a one-way fixed-effects analysis of variance (ANOVA), with a significance level (α) of 0.05 and a desired power (1 – β) of 0.80, the required total sample size was calculated to be 84 participants (21 per group). This estimation ensures sufficient power to detect the expected group differences at the specified alpha level. Considering the potential dropout rate, a total of 120 cases were included in this study.\n\n\n### Statistical analysis\nThe data were analyzed using SPSS 23.0 software, with statistical methods including one-way ANOVA and paired t-tests. Between-group comparisons were performed using one-way ANOVA. If the data met the assumption of homogeneity of variance, the LSD test was used to determine significant differences between groups.\n\n\n### Results\nBy using a random number table, the subjects were divided into four groups (30 cases in each group) with different temperatures, i.e. 15°C group, -5°C group, -10°C group, -15°C group. There showed no significant differences in participants’ baseline characteristics (P>0.05). (See Table 1).\nComparison of baseline characteristics of participants in each group (Mean ± SD, n=120).\nAs depicted in Figure 2, prior to the experiment, there were no statistically significant differences (P>0.05) among the four groups in terms of SDNN, RMSSD, PNN50, LogLF, LogHF and LF/HF. Compared to 15 °C, the values of SDNN, RMSSD, PNN50, LogLF, and LogHF significantly decreased at lower temperatures (-5 °C, -10 °C and -15 °C), while the value of LF/HF significantly increased after the experiment. With decreasing temperatures, the values of SDNN, RMSSD, LogLF, and LogHF exhibited significant decreases, which showed statistical significance (P<0.05).\nTemporal dynamics of heart rate variability in four experimental groups. (a) the trend of standard deviation of the mean normal RR interval (SDNN) over time in 15 °C, -5 °C, -10 °C, and -15 °C environments. The white area in the figure represents the preparation phase before the subject enters the environmental chamber, while the gray area indicates the movement phase of the subject entering the environmental chamber. (b) Trend of root mean square deviation (RMSSD) of the period difference between neighboring RRs over time in 15 °C, -5 °C, -10 °C, and -15 °C environments. (c) Trend of the percentage of the total number of RR intervals (PNN500) of the neighboring RR intervals with a difference of more than 50ms in 15 °C, -5 °C, -10 °C, and -15 °C environments over time. (d) Trend of LF/HF over time in 15 °C, -5 °C, -10 °C, and -15 °C environments. (e) Trend of LF power (LogLF) over time in 15 °C, -5 °C, -10 °C, -15 °C environments. (f) Trend of HF power (LogHF) over time in 15 °C, -5 °C, -10 °C, and -15 °C environments.\nAs seen from Table 2, no significant baseline differences were observed in RMS values of the biceps femoris, rectus femoris, and medial gastrocnemius among the four groups (P > 0.05). The RMS values show a successive downward trend as the temperature decreases after the experiment (P < 0.05).\nPre-post test RMS comparison across four experimental groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: BF=Biceps femoris, RF=Rectus Femoris, MG=Medial Gastrocnemius.\nThe data in Table 3 showed that there was no statistically significant difference in the IEMG values of the biceps femoris, rectus femoris and medial head of the gastrocnemius muscle among the four groups of subjects before the experiment (P>0.05). After the experiment, the IEMG values of the three muscles mentioned above in 15°C group were significantly higher than those in -5°C group, -10°C group, and -15°C group. The IEMG values were ranked from high to low as 15°C group > -5°C group > -10°C group > -15°C group, and the difference was statistically significant (P<0.05).\nPre-and post-test IEMG indices across four experimental groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: BF=Biceps femoris, RF=Rectus Femoris, MG=Medial Gastrocnemius.\nTables 4, 5 demonstrated comparable baseline values of RT, MVL, EPE, MXE, and DCL across the four experimental groups (P>0.05). After the intervention, the 15 °C group exhibited significantly less RT but higher MVL, EPE, MXE, and DCL values compared to the other three low temperature groups (-5 °C/-10 °C/-15 °C), which suggesting enhanced equilibrium ability (P<0.05).\nPre-and post-test RT, MVL and EPE indices across four experimental Groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: RT=Reaction Time, MVL=Movement Velocity, EPE=Endpoint Movement.\nPre-and post-test MXE and DCL indices across four experimental groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: MXE= Maximum Excursion, DCL= Directional Control.\nPearson correlation analysis (see Figure 3) revealed significant associations among HRV, sEMG and balance ability indicators. Between HRV and balance parameters, SDNN showed a significant negative correlation with RT (r = −0.61, P<0.01), which could imply that optimization of autonomic nervous function might effectively shorten reaction time and enhance balance control efficiency. Regarding HRV and sEMG indices, SDNN exhibited a very strong positive correlation with BF IEMG (r = 0.86, P<0.01), suggesting that increased HRV may be closely associated with improved neuromuscular recruitment levels in lower limb muscle groups. For sEMG parameters and balance outcomes, MG IEMG was significantly negatively correlated with RT (r = −0.63, P<0.01), indicating a potential link whereby elevated sEMG activity in lower limb muscles could contribute to enhanced balance performance.\nPearson correlation heatmap for dataset variables.\nBased on the results of Pearson correlation analysis, indicators with statistically significant differences were screened, and further regression analysis was conducted on these highly correlated indicators to examine their predictive validity. The results of the linear regression analysis presented in Tables 6, 7 demonstrate that the constructed regression model exhibits good predictive efficacy for reaction time (RT). The model yielded a multiple correlation coefficient of R = 0.677, a coefficient of determination of R² = 0.458, and an adjusted R² = 0.449, indicating that the temperature-group coding explains approximately 44.9% of the variance in RT. The overall model significance test was highly significant (F(1, 58) = 49.082, p < 0.001), confirming a reliable overall fit of the regression equation. The predictive effect of temperature-group coding on RT was significant (B = 0.179, p < 0.001). That is, when controlling for other variables, each one-unit increase in temperature-group coding was associated with an average increase of 0.179 units in the predicted RT.\nLinear regression model predicting post-intervention reaction time.\naDependent variable: RT.\nExcluded variables in the regression model.\nb Predictors: (Constant), temperature.\n\n\n### Characteristics of participants\nBy using a random number table, the subjects were divided into four groups (30 cases in each group) with different temperatures, i.e. 15°C group, -5°C group, -10°C group, -15°C group. There showed no significant differences in participants’ baseline characteristics (P>0.05). (See Table 1).\nComparison of baseline characteristics of participants in each group (Mean ± SD, n=120).\n\n\n### Results synthesis\nAs depicted in Figure 2, prior to the experiment, there were no statistically significant differences (P>0.05) among the four groups in terms of SDNN, RMSSD, PNN50, LogLF, LogHF and LF/HF. Compared to 15 °C, the values of SDNN, RMSSD, PNN50, LogLF, and LogHF significantly decreased at lower temperatures (-5 °C, -10 °C and -15 °C), while the value of LF/HF significantly increased after the experiment. With decreasing temperatures, the values of SDNN, RMSSD, LogLF, and LogHF exhibited significant decreases, which showed statistical significance (P<0.05).\nTemporal dynamics of heart rate variability in four experimental groups. (a) the trend of standard deviation of the mean normal RR interval (SDNN) over time in 15 °C, -5 °C, -10 °C, and -15 °C environments. The white area in the figure represents the preparation phase before the subject enters the environmental chamber, while the gray area indicates the movement phase of the subject entering the environmental chamber. (b) Trend of root mean square deviation (RMSSD) of the period difference between neighboring RRs over time in 15 °C, -5 °C, -10 °C, and -15 °C environments. (c) Trend of the percentage of the total number of RR intervals (PNN500) of the neighboring RR intervals with a difference of more than 50ms in 15 °C, -5 °C, -10 °C, and -15 °C environments over time. (d) Trend of LF/HF over time in 15 °C, -5 °C, -10 °C, and -15 °C environments. (e) Trend of LF power (LogLF) over time in 15 °C, -5 °C, -10 °C, -15 °C environments. (f) Trend of HF power (LogHF) over time in 15 °C, -5 °C, -10 °C, and -15 °C environments.\nAs seen from Table 2, no significant baseline differences were observed in RMS values of the biceps femoris, rectus femoris, and medial gastrocnemius among the four groups (P > 0.05). The RMS values show a successive downward trend as the temperature decreases after the experiment (P < 0.05).\nPre-post test RMS comparison across four experimental groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: BF=Biceps femoris, RF=Rectus Femoris, MG=Medial Gastrocnemius.\nThe data in Table 3 showed that there was no statistically significant difference in the IEMG values of the biceps femoris, rectus femoris and medial head of the gastrocnemius muscle among the four groups of subjects before the experiment (P>0.05). After the experiment, the IEMG values of the three muscles mentioned above in 15°C group were significantly higher than those in -5°C group, -10°C group, and -15°C group. The IEMG values were ranked from high to low as 15°C group > -5°C group > -10°C group > -15°C group, and the difference was statistically significant (P<0.05).\nPre-and post-test IEMG indices across four experimental groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: BF=Biceps femoris, RF=Rectus Femoris, MG=Medial Gastrocnemius.\nTables 4, 5 demonstrated comparable baseline values of RT, MVL, EPE, MXE, and DCL across the four experimental groups (P>0.05). After the intervention, the 15 °C group exhibited significantly less RT but higher MVL, EPE, MXE, and DCL values compared to the other three low temperature groups (-5 °C/-10 °C/-15 °C), which suggesting enhanced equilibrium ability (P<0.05).\nPre-and post-test RT, MVL and EPE indices across four experimental Groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: RT=Reaction Time, MVL=Movement Velocity, EPE=Endpoint Movement.\nPre-and post-test MXE and DCL indices across four experimental groups (Mean ± SD, n=120).\n1) P<0.05 vs. baseline; 2) P<0.05 vs. 15°C group; 3) P<0.05 vs. -5°C group; 4) P<0.05 vs. -10°C group; 5) P<0.05 vs. -15°C group. Abbreviations: MXE= Maximum Excursion, DCL= Directional Control.\nPearson correlation analysis (see Figure 3) revealed significant associations among HRV, sEMG and balance ability indicators. Between HRV and balance parameters, SDNN showed a significant negative correlation with RT (r = −0.61, P<0.01), which could imply that optimization of autonomic nervous function might effectively shorten reaction time and enhance balance control efficiency. Regarding HRV and sEMG indices, SDNN exhibited a very strong positive correlation with BF IEMG (r = 0.86, P<0.01), suggesting that increased HRV may be closely associated with improved neuromuscular recruitment levels in lower limb muscle groups. For sEMG parameters and balance outcomes, MG IEMG was significantly negatively correlated with RT (r = −0.63, P<0.01), indicating a potential link whereby elevated sEMG activity in lower limb muscles could contribute to enhanced balance performance.\nPearson correlation heatmap for dataset variables.\nBased on the results of Pearson correlation analysis, indicators with statistically significant differences were screened, and further regression analysis was conducted on these highly correlated indicators to examine their predictive validity. The results of the linear regression analysis presented in Tables 6, 7 demonstrate that the constructed regression model exhibits good predictive efficacy for reaction time (RT). The model yielded a multiple correlation coefficient of R = 0.677, a coefficient of determination of R² = 0.458, and an adjusted R² = 0.449, indicating that the temperature-group coding explains approximately 44.9% of the variance in RT. The overall model significance test was highly significant (F(1, 58) = 49.082, p < 0.001), confirming a reliable overall fit of the regression equation. The predictive effect of temperature-group coding on RT was significant (B = 0.179, p < 0.001). That is, when controlling for other variables, each one-unit increase in temperature-group coding was associated with an average increase of 0.179 units in the predicted RT.\nLinear regression model predicting post-intervention reaction time.\naDependent variable: RT.\nExcluded variables in the regression model.\nb Predictors: (Constant), temperature.\n\n\n### Discussion\nChanges in HRV indices could effectively reflect this dynamic adjustment of the autonomic nervous system. By extracting and analyzing cardiovascular control information contained in HRV signals, it is possible to quantitatively assess the balance between cardiac sympathetic and vagal nerves.\nThe results indicate that as the temperature decreased, the heart rate variability parameters such as SDNN, RMSSD, LogLF, and LogHF all showed a significant reduction. This may be attributed to the fact that exposure to a cold environment could inhibit the activity of both the sympathetic and parasympathetic nervous systems in the elderly individuals. Zhu et al. (Zhu et al., 2019) found the similar results which were observed in the experiment of transitioning from a normal temperature environment to a -10 °C low-temperature environment. Previous study has shown that HRV indices decreases with age (Nicolini et al., 2012), the skin vasoconstriction response in the elderly is weakened, and the sensitivity of their skin vasomotor response to sympathetic nerve stimulation is reduced. Furthermore, the increase in metabolic rate induced by cold is also attenuated in the elderly. Animal experiments have demonstrated that the basal time-domain HRV in aged mice is significantly lower than that in young mice in a cold environment, with SDNN values approximately 65% lower (Axsom et al., 2020), indicating that aging can lead to a decline in autonomic nerve regulation function.\nThe LF/HF ratio is highly sensitive to changes in environmental temperature and human thermal sensation. Huang et al. found that during cold exposure, the body activates compensatory mechanisms by stimulating the sympathetic nervous system (SNS) to maintain core body temperature and reduce heat loss (Huang et al., 2011). SNS activation enhances thermogenesis through vasoconstriction, shivering thermogenesis, and elevated metabolic rates. This study shows that under low-temperature conditions (-5 °C, -10 °C, and -15 °C), the LF/HF ratio exhibits an increasing trend compared to that at 15 °C. Specifically, the decrease in LF is smaller than that in HF, resulting in a higher ratio. The underlying mechanism may involve the sympathetic nervous system playing a dominant role in the autonomic response to cold environments, which helps maintain body temperature through energy conservation and reduced heat loss.\nIn this study, the sEMG signal characteristics of older adult Yangko dancers in hypothermic environments were consistent with a pattern that could be described as “high activation, low efficiency”, aligning with observations by Chaillou et al. (Chaillou et al., 2022). Specifically, the RMS values of the gastrocnemius, rectus femoris and biceps femoris muscles exhibited a marked increase at lower temperatures, it could be interpreted as an enhanced neural drive required to sustain muscle contraction under cold conditions. Conversely, the decrease in the IEMG value suggests a potential reduction in mechanical output efficiency per unit of muscle activation (Gao et al., 2025). The co-occurrence of elevated RMS and diminished IEMG may reflect an inefficient neuromuscular adaptation, wherein greater neural excitation does not appear to translate proportionally into mechanical work. It is plausible that in short-term tasks, this inefficiency could predispose individuals to rapid exhaustion, while in the long term, it might contribute to muscle atrophy or compensatory postural disorders.\nBased on the above interpretation, the observed “high activation, low efficiency” state could be understood as a compensatory response, where muscles may counteract cold-induced stiffness through heightened neural recruitment, albeit at the cost of excessive energy consumption and diminished mechanical output. If this interpretation stands, such an adaptation might accelerate fatigue accumulation, potentially explaining the increased mobility challenges and injury risk observed in aging populations exposed to cold conditions.\nThe data show that low-temperature environments significantly influence key metrics of postural control, including reaction time (RT), movement velocity (MVL), end-point excursion (EPE), maximum excursion (MXE), and directional control (DCL). Specifically, the observed increase in RT, coupled with reductions in MVL, EPE, MXE, and DCL, is consistent with a measurable decline in dynamic balance performance under cold conditions.\nThe lengthened RT could plausibly be attributed to cold-induced alterations in sensorimotor processing, such as a potential reduction in nerve conduction velocity or diminished sensitivity of muscle spindles, which would contribute to a lag in the postural feedback loop (Chaillou et al., 2022). This delay in initiating corrective movements may elevate the risk of falls, particularly in populations with inherently slower reaction times, such as older adults. The diminished DCL values may suggest an impairment in the precision of voluntary movement. One possible explanation, drawn from the existing physiological literature, is that low temperatures may delay calcium ion release from the sarcoplasmic reticulum and decrease the activation efficiency of fast-twitch muscle fibers (Type II), leading to insufficient muscle contraction speed and higher failure rates in dynamic tasks such as emergency stops and turns (Chaillou et al., 2022). Additionally, previous studies suggest that low temperatures impair the synergy between the vestibular, visual, and proprioceptive systems, resulting in diminished multitasking ability, reduced proprioceptive input accuracy, and compromised central integration (Arkkukangas, 2023). We hypothesize that when the center of gravity shifts beyond physiological compensation limits, dynamic balance control becomes unstable, probably increasing the risk of ankle sprains or compensatory lumbar strain; furthermore, joint stiffness forces muscles to maintain posture through isometric contractions, accelerating ATP depletion and lactic acid accumulation, which induces early fatigue and ultimately compromises dynamic balance capability.\nExposure to low temperatures may elevate the risk of falls by disrupting autonomic nervous system function, neuromuscular regulation, and postural control. Our findings demonstrate that, compared to the 15 °C control group, participants in the -5 °C, -10 °C, and -15 °C groups exhibited significant reductions in SDNN, RMSSD, PNN50, LogLF, and LogHF, alongside a marked increase in the LF/HF ratio. These HRV alterations suggest that low temperatures suppress parasympathetic activity and compromise autonomic balance. Surface electromyography (sEMG) analysis further revealed temperature-induced neuromuscular adaptations: the -15 °C group showed a 23.6% increase in RMS amplitude (p<0.05) and a 29.4% decrease in IEMG (p<0.05) compared to controls, indicating enhanced muscle activation but diminished contraction efficiency. This observation aligns with previous work by Guidi et al., which reported aberrant HRV patterns under muscle fatigue (Guidi et al., 2017). We therefore speculate that the HRV abnormalities observed in the present study may partially reflect underlying neuromuscular regulatory changes, although this mechanism was not directly tested. Balance assessments confirmed that cold exposure prolonged reaction time and reduced the dynamic control limit (DCL), potentially impairing balance regulation.\nAccording to Dorey et al., HRV serves as a key indicator of autonomic nervous function, and abnormal alterations in HRV are directly associated with fall risk. Specifically, as age increases, overall cardiac autonomic regulation declines (Dorey et al., 2021), with resting RMSSD showing a significant negative correlation with the number of falls, and the standing LF/HF ratio showing a significant positive correlation. This suggests a reduction in the inhibitory regulation and flexibility of parasympathetic control over heart rate (Suh, 2023). Tekin et al. further noted that HRV is significantly positively correlated with neuromuscular coordination (Tekin et al., 2025), and a severe decline in proprioceptive function, which can further impair balance regulation, may exacerbate this association. Integrating these findings with our results, we speculate that stressors such as low temperatures may induce additional neuromuscular adaptive changes, potentially driving the increase in fall risk (Germano et al., 2016). The study by Razjoyan et al. also confirms that HRV can serve as an objective monitoring indicator for fall risk (Razjouyan et al., 2017).\nCollectively, our data indicate that low-temperature exposure is significantly associated with HRV abnormalities, diminished neuromuscular efficiency, and compromised balance capacity. These correlated changes suggest a plausible pathophysiological pathway whereby autonomic dysfunction, potentially interacting with impaired neuromuscular control, contributes to an elevated risk of falls. However, the causal relationships within this proposed pathway require further validation through studies that directly intervene on specific autonomic or neuromuscular functions.\n\n\n### Effect of temperature on heart rate variability in older adults performing Yangko dance\nChanges in HRV indices could effectively reflect this dynamic adjustment of the autonomic nervous system. By extracting and analyzing cardiovascular control information contained in HRV signals, it is possible to quantitatively assess the balance between cardiac sympathetic and vagal nerves.\nThe results indicate that as the temperature decreased, the heart rate variability parameters such as SDNN, RMSSD, LogLF, and LogHF all showed a significant reduction. This may be attributed to the fact that exposure to a cold environment could inhibit the activity of both the sympathetic and parasympathetic nervous systems in the elderly individuals. Zhu et al. (Zhu et al., 2019) found the similar results which were observed in the experiment of transitioning from a normal temperature environment to a -10 °C low-temperature environment. Previous study has shown that HRV indices decreases with age (Nicolini et al., 2012), the skin vasoconstriction response in the elderly is weakened, and the sensitivity of their skin vasomotor response to sympathetic nerve stimulation is reduced. Furthermore, the increase in metabolic rate induced by cold is also attenuated in the elderly. Animal experiments have demonstrated that the basal time-domain HRV in aged mice is significantly lower than that in young mice in a cold environment, with SDNN values approximately 65% lower (Axsom et al., 2020), indicating that aging can lead to a decline in autonomic nerve regulation function.\nThe LF/HF ratio is highly sensitive to changes in environmental temperature and human thermal sensation. Huang et al. found that during cold exposure, the body activates compensatory mechanisms by stimulating the sympathetic nervous system (SNS) to maintain core body temperature and reduce heat loss (Huang et al., 2011). SNS activation enhances thermogenesis through vasoconstriction, shivering thermogenesis, and elevated metabolic rates. This study shows that under low-temperature conditions (-5 °C, -10 °C, and -15 °C), the LF/HF ratio exhibits an increasing trend compared to that at 15 °C. Specifically, the decrease in LF is smaller than that in HF, resulting in a higher ratio. The underlying mechanism may involve the sympathetic nervous system playing a dominant role in the autonomic response to cold environments, which helps maintain body temperature through energy conservation and reduced heat loss.\n\n\n### Effect of temperature on RMS and IEMG Indices in older adults performing Yangko dance\nIn this study, the sEMG signal characteristics of older adult Yangko dancers in hypothermic environments were consistent with a pattern that could be described as “high activation, low efficiency”, aligning with observations by Chaillou et al. (Chaillou et al., 2022). Specifically, the RMS values of the gastrocnemius, rectus femoris and biceps femoris muscles exhibited a marked increase at lower temperatures, it could be interpreted as an enhanced neural drive required to sustain muscle contraction under cold conditions. Conversely, the decrease in the IEMG value suggests a potential reduction in mechanical output efficiency per unit of muscle activation (Gao et al., 2025). The co-occurrence of elevated RMS and diminished IEMG may reflect an inefficient neuromuscular adaptation, wherein greater neural excitation does not appear to translate proportionally into mechanical work. It is plausible that in short-term tasks, this inefficiency could predispose individuals to rapid exhaustion, while in the long term, it might contribute to muscle atrophy or compensatory postural disorders.\nBased on the above interpretation, the observed “high activation, low efficiency” state could be understood as a compensatory response, where muscles may counteract cold-induced stiffness through heightened neural recruitment, albeit at the cost of excessive energy consumption and diminished mechanical output. If this interpretation stands, such an adaptation might accelerate fatigue accumulation, potentially explaining the increased mobility challenges and injury risk observed in aging populations exposed to cold conditions.\n\n\n### Effect of temperature on RT, MVL, EPE, MXE and DCL indices in older adults performing Yangko dance\nThe data show that low-temperature environments significantly influence key metrics of postural control, including reaction time (RT), movement velocity (MVL), end-point excursion (EPE), maximum excursion (MXE), and directional control (DCL). Specifically, the observed increase in RT, coupled with reductions in MVL, EPE, MXE, and DCL, is consistent with a measurable decline in dynamic balance performance under cold conditions.\nThe lengthened RT could plausibly be attributed to cold-induced alterations in sensorimotor processing, such as a potential reduction in nerve conduction velocity or diminished sensitivity of muscle spindles, which would contribute to a lag in the postural feedback loop (Chaillou et al., 2022). This delay in initiating corrective movements may elevate the risk of falls, particularly in populations with inherently slower reaction times, such as older adults. The diminished DCL values may suggest an impairment in the precision of voluntary movement. One possible explanation, drawn from the existing physiological literature, is that low temperatures may delay calcium ion release from the sarcoplasmic reticulum and decrease the activation efficiency of fast-twitch muscle fibers (Type II), leading to insufficient muscle contraction speed and higher failure rates in dynamic tasks such as emergency stops and turns (Chaillou et al., 2022). Additionally, previous studies suggest that low temperatures impair the synergy between the vestibular, visual, and proprioceptive systems, resulting in diminished multitasking ability, reduced proprioceptive input accuracy, and compromised central integration (Arkkukangas, 2023). We hypothesize that when the center of gravity shifts beyond physiological compensation limits, dynamic balance control becomes unstable, probably increasing the risk of ankle sprains or compensatory lumbar strain; furthermore, joint stiffness forces muscles to maintain posture through isometric contractions, accelerating ATP depletion and lactic acid accumulation, which induces early fatigue and ultimately compromises dynamic balance capability.\n\n\n### Integrated effects of low temperature on multidimensional physiological indicators and their association with fall risk\nExposure to low temperatures may elevate the risk of falls by disrupting autonomic nervous system function, neuromuscular regulation, and postural control. Our findings demonstrate that, compared to the 15 °C control group, participants in the -5 °C, -10 °C, and -15 °C groups exhibited significant reductions in SDNN, RMSSD, PNN50, LogLF, and LogHF, alongside a marked increase in the LF/HF ratio. These HRV alterations suggest that low temperatures suppress parasympathetic activity and compromise autonomic balance. Surface electromyography (sEMG) analysis further revealed temperature-induced neuromuscular adaptations: the -15 °C group showed a 23.6% increase in RMS amplitude (p<0.05) and a 29.4% decrease in IEMG (p<0.05) compared to controls, indicating enhanced muscle activation but diminished contraction efficiency. This observation aligns with previous work by Guidi et al., which reported aberrant HRV patterns under muscle fatigue (Guidi et al., 2017). We therefore speculate that the HRV abnormalities observed in the present study may partially reflect underlying neuromuscular regulatory changes, although this mechanism was not directly tested. Balance assessments confirmed that cold exposure prolonged reaction time and reduced the dynamic control limit (DCL), potentially impairing balance regulation.\nAccording to Dorey et al., HRV serves as a key indicator of autonomic nervous function, and abnormal alterations in HRV are directly associated with fall risk. Specifically, as age increases, overall cardiac autonomic regulation declines (Dorey et al., 2021), with resting RMSSD showing a significant negative correlation with the number of falls, and the standing LF/HF ratio showing a significant positive correlation. This suggests a reduction in the inhibitory regulation and flexibility of parasympathetic control over heart rate (Suh, 2023). Tekin et al. further noted that HRV is significantly positively correlated with neuromuscular coordination (Tekin et al., 2025), and a severe decline in proprioceptive function, which can further impair balance regulation, may exacerbate this association. Integrating these findings with our results, we speculate that stressors such as low temperatures may induce additional neuromuscular adaptive changes, potentially driving the increase in fall risk (Germano et al., 2016). The study by Razjoyan et al. also confirms that HRV can serve as an objective monitoring indicator for fall risk (Razjouyan et al., 2017).\nCollectively, our data indicate that low-temperature exposure is significantly associated with HRV abnormalities, diminished neuromuscular efficiency, and compromised balance capacity. These correlated changes suggest a plausible pathophysiological pathway whereby autonomic dysfunction, potentially interacting with impaired neuromuscular control, contributes to an elevated risk of falls. However, the causal relationships within this proposed pathway require further validation through studies that directly intervene on specific autonomic or neuromuscular functions.\n\n\n### Limitations\nThe findings of this study provide valuable practical insights for elderly individuals engaging in physical activity in cold climates. However, as the participants are all long-term Yangko dancers, the generalizability of the results to the broader elderly population or to those involved in different forms of physical activity may be limited. Ansdell et al. (Ansdell et al., 2020) suggested that the response of physio-logical systems to exercise differs between males and females, potentially mediating the beneficial effects in healthy and clinical populations. But we didn’t consider the gender differences in this work, customized recovery plans that improve performance and health outcomes for both sexes could be informed by research on the physiological reactions to cold exposure in relation to sex in subsequent research. Furthermore, the literature’s reports of COVID-19’s effects on exercise pathophysiology have raised significant questions regarding the utility of cryogenic therapies in patient rehabilitation plans (Baratto et al., 2021). Examining how cryotherapy affects workout performance and recuperation in this situation may yield insightful information and consent to personalize the treatment (Pastorino et al., 2021) in the future.\nFurthermore, a fundamental limitation lies in the inferential nature of the proposed mechanistic pathways. While our interpretations provide a coherent framework linking the observed data to established physiological principles, they remain hypothetical and were not directly tested within the current study design. This highlights the critical need for future research to experimentally validate these specific causal pathways using targeted interventions.\nNonetheless, the present study is primarily centered on investigating the immediate effects of varying low-temperature conditions on physiological indicators during Yangko dance performance among elderly individuals and elucidating the associated underlying mechanisms, whereas the delineation of a safe exercise range for this specific population was not incorporated into the current study design. As temperatures decrease, the characteristic defect in equilibrium function primarily manifests as an increase in RT. However, our experimental design employed non-linear temperature gradients; subsequent research should therefore adopt a linear temperature design to accurately determine the cutoff value for low-temperature environmental conditions affecting RT.\n\n\n### Conclusion\nA low-temperature environment significantly elevates the risk of sports injuries for the older adults during the early stages of exercise (10 to 20 minutes). Under such conditions, the range of motion in their joints decreases markedly, leading to a corresponding weakening of balance ability and deterioration of body stability. This results in an increased tendency to sway and lose balance during movement. Additionally, gait stability is compromised, and the coordination of lower limb joints becomes abnormal, further increasing the likelihood of falls. Low temperatures also tend to reduce heart rate variability among the older adults, impair autonomic nervous system function, and induce early-onset muscle fatigue, which collectively hinder the body’s ability to provide effective support and protection during physical activity. These factors interact synergistically, rendering the older adults more susceptible to injuries such as muscle strains, joint sprains, and falls in cold environments.", "domain": "affective_neuroscience"}
{"source": "PMC13074277", "title": "Spermidine Suppresses Peripheral Inflammation and Alleviates Non-Motor Symptoms in the 6-OHDA-Induced Rat Model of Parkinson’s Disease", "text": "# Spermidine Suppresses Peripheral Inflammation and Alleviates Non-Motor Symptoms in the 6-OHDA-Induced Rat Model of Parkinson’s Disease\n\n## Abstract\nNon-motor symptoms of PD impair quality of life and remain challenging to treat. Here, we examined the effects of short- (38 days) and long-term (178 days) supplementation with the natural polyamine spermidine on anhedonia and anxiety-like behaviours in a 6-hydroxydopamine-induced rat model of PD and linked them with spermidine’s anti-inflammatory properties. Behavioural assessments (cylinder, sucrose preference, elevated plus-maze tests) were conducted during progressive neurodegeneration and after oral treatment. Under the same conditions, peripheral inflammation was evaluated by the total leukocytes and their subpopulation numbers (hematological analysis) and by CD4+ and CD8+ T lymphocyte percentages (imaging flow cytometry); the plasma levels of interleukins 4 and 10 and corticosterone (enzyme-linked immunosorbent assay) were also evaluated. The safety of long-term supplementation was assessed using standard biochemical markers (chemistry analyser). Both treatment regimens reversed 6-hydroxydopamine-induced lymphopenia. Long-term spermidine treatment increased the number of TCD4+ lymphocytes and monocytes and elevated the plasma concentrations of IL-4 and IL-10, while reducing corticosterone levels. These immunomodulatory effects were associated with reduced anhedonia and anxiety. All of the biochemical safety parameters remained within normal ranges. Spermidine alleviates neuropsychiatric symptoms in a rat model of progressive neurodegeneration in the nigrostriatal system through its regulatory influence on peripheral immune responses. Exploring the systemic mechanisms underlying spermidine’s effects could unveil innovative supplementation strategies and expand treatment options for managing symptoms in PD.\n\n## Full Text\n\n\n### 1. Introduction\nThe non-motor symptoms of Parkinson’s disease (PD) are a significant cause of progressive deterioration in patients’ quality of life [1] and a challenge for clinicians due to the need to choose therapies primarily focused on alleviating axial symptoms [2]. Almost half (47.9%) of patients suffering from advanced PD experience depression, 25.4% have anhedonia, and 54.5% suffer from anxiety disorders and exhibit various autonomic nervous system symptoms (e.g., urinary problems, difficulty swallowing) [3]. Currently, none of the available treatment methods significantly modify the neurodegenerative processes occurring in the central nervous system (CNS), especially in the nigrostriatal system [4]. One of the reasons for therapeutic limitations is the still-unknown mechanism of dopaminergic neurons’ death [5]. The risk of developing PD is determined by environmental factors such as exposure to environmental pollutants, including pesticides [6,7], in a manner dependent on age and gender [8]. Recently, the mechanisms leading to the aggregation of misfolded alpha-synuclein (α-syn) [9] and the interactions between genetic and environmental factors leading to oxidative stress, neuro-inflammation, and altered autophagy processes have been of particular interest [10]. The proportion of the genetic form of PD in all patients is 10% [11]. Therefore, it remains crucial to consider environmental factors in research on new therapeutic strategies. One of the widely spread and well-established neurotoxic models of PD induced in rodents is the model using 6-hydroxydopamine (6-OHDA). This model recapitulates the progression of neurodegeneration in the nigrostriatal system [12] and the behavioural symptoms typical of PD [13]. The 6-OHDA-induced model of PD has an advantage over genetic and pre-fibrillar α-syn injection models, in which the complexity of the observed symptoms depends on the type of protein (human vs. rodent) or mutation [13,14,15].\nOne of the theories emphasizing depression in PD links low mood and anhedonia to chronic inflammation and activation of the hypothalamic–pituitary–adrenal (HPA) axis [16,17]. In advanced PD, a reduced percentage of TCD4+ lymphocytes in the peripheral blood has been demonstrated, which is associated with pro-inflammatory lymphocyte infiltration through the disrupted blood–brain barrier (BBB) into the CNS [18]. In the course of PD, an altered secretion profile of tumour necrosis factor alpha (TNF-α), interleukin (IL)-6, IL-1β, IL-10 and IL-4 [19,20] has been found, which may be a prognostic factor in predicting PD progression [21]. The altered cytokine secretion profile in PD co-occurs with changes in the number of each T cell subpopulation [20,22]. During inflammation, lymphocytes produce signalling substances such as cytokines, which have the ability to penetrate the CNS [23,24] and affect brain regions that control the level of HPA-axis activation and mood, such as the amygdala [25], hypothalamus [26] and prefrontal cortex [27,28].\nImmunotherapies are worth mentioning among the latest therapeutic approaches in PD [29,30,31]. In particular, those that can activate natural repair mechanisms and inhibit over-activated inflammatory cascades seem to play key roles. Studies on animal models show that natural polyamines such as spermidine (SPD) are strong modifiers of ageing processes and have a potential impact on factors relevant to the pathophysiology of neurodegenerative diseases (ND) [32]. Results of animal studies [33,34] and comparative post mortem analyses of human brain material [35,36] indicate changes in SPD concentrations in the brain with age. Particularly sensitive regions are the basal ganglia and the frontal cortex [37], which are the brain regions affected by PD-related neurodegeneration and are associated with mood regulation. The anti-ageing properties of SPD may be due to its effect on histone acetylation [38] and protein acetylation [39] and should also be considered in an aspect not directly related to the translational apparatus, i.e., in the area of its effect on oxidative stress, autophagy and immune mechanisms. The multidirectional effects of SPD, which can occur at epigenetic, enzymatic and physiological levels, make it a substance with significant therapeutic potential. Considering its anti-inflammatory and antioxidant properties, we decided to investigate whether short- (2–38 days) or long-term (2–178 days) SPD supplementation applied during progressive neurodegeneration evoked by intra-striatal injection of 6-OHDA would prevent neurodegeneration-induced activation of the peripheral immune system. The peripheral immune system activation level was assessed based on lymphocyte count, number of the TCD4+ and TCD8+ subpopulations, and IL-4 and IL-10 cytokine concentration. At the same time, we conducted a behavioural screening to determine the severity of motor symptoms (sensorimotor performance in the cylinder test), level of anxiety (in the elevated plus-maze test; EPM) and anhedonia (sucrose preference test). Considering the impact of HPA-axis activation on the immune system and mood, we measured how long-term SPD supplementation affects plasma corticosterone (CORT) concentration. We also traced the safety profile of long-term SPD administration by examining its impact on kidney and liver function at the level of diagnostic biochemical functional indicators.\n\n\n### 2. Results\nIn both 6-OHDA-injected groups, we noted spontaneous contralateral rotations after the rat was placed in the cylinder at the first measurement point. The Kruskal–Wallis (H = 25.19; p < 0.0001; η2 = 0.74) and post hoc Dunn tests confirmed that the number of spontaneous rotations in the 6-OHDA_PL and 6-OHDA_SPD groups differed from that of the control groups (p < 0.01 for all comparisons) (Figure 1A) but was similar in both 6-OHDA-injected groups. As shown in Figure 1A, the contralateral forelimb (left paw) used during exploration in the cylinder test differed between groups at both points of measurement, which was confirmed by the Kruskal–Wallis test (H = 48.78; p < 0.001; η2 = 0.69). We observed sensorimotor deficits in 6-OHDA-injected animals after short-term supplementation with a placebo as compared to the VEH_PL (p < 0.01) and VEH_SPD (p < 0.01) groups. In the 6-OHDA_SPD short-term-supplemented group, the asymmetry ratio was similar to the 6-OHDA_PL group and was higher than the ones noted in the VEH_PL (p < 0.05) and VEH_SPD (p < 0.01) groups (Figure 1B). Due to a compensatory mechanism after 26 weeks of PD-model induction, the asymmetry ratio improved in both of the 6-OHDA-injected groups. However, the Dunn test confirmed that in the 6-OHDA_SPD group the asymmetry ratio was lower than in the 6-OHDA_PL group (p < 0.05) and was similar to that observed in both control groups (Figure 1B). In addition, there were time-dependent differences in asymmetry ratio between groups (6-OHDA_SPD_short vs. 6-OHDA_SPD_long: p < 0.001; 6-OHDA_PL_short vs. 6-OHDA_PL_long: p < 0.001).\nAnhedonic behaviour, a key feature of depressive-like behaviour, was tested with the sucrose preference test. Preference for a sweet solution was significantly affected by 6-OHDA injection in rats at both time points (F(3,30) = 10.83; p < 0.0001; η2 = 0.52 and H = 13.40; p < 0.01; η2 = 0.35, respectively). The sucrose preference ratio was lower in both 6-OHDA-injected groups than in the VEH_PL (p < 0.01; p < 0.001) and VEH_SPD (p < 0.01; p < 0.01) groups at the first measurement point (Figure 1C). A low sucrose preference ratio was also observed in the 6-OHDA-injected rats after long-term placebo treatment compared to VEH_PL (p < 0.01). However, the long-term administration of SPD abolished the effect of nigral damage.\nAfter long-term SPD treatment, the preference for sucrose was higher in 6-OHDA_SPD rats than in the 6-OHDA_PL (p < 0.05) group. Furthermore, comparative analysis (H = 35.01; p < 0.0001; η2 = 0.46) of the sucrose preference ratio between time points showed significant differences between the effects of short- and long-term treatment for the following comparisons: VEH_PL_short vs. 6-OHDA_PL_long (p < 0.001), VEH_SPD_short vs. 6-OHDA_PL_long (p < 0.01) (Figure 1C).\nTo evaluate anxiety-like behaviour, we measured the number of entries and time spent in open arms using the EPM test (Figure 2A). A high level of anxiety, reflected by a decrease in open-arm activity [entries (F(7,60) = 4.75; p < 0.001; η2 = 0.36) and time spent in arms (H = 40.77; p < 0.0001; η2 = 0.56)], was confirmed 21 days (short-term effects) after PD-model induction in the 6-OHDA_PL group compared to VEH_PL (p < 0.01; p < 0.001) and VEH_SPD (p < 0.05; p < 0.001), as shown in Figure 2B,C. Short-term SPD administration in the 6-OHDA-injected rats elevated the number of open-arm explorations, as well as the time spent in those arms (p < 0.05; p < 0.001) compared to the 6-OHDA_PL group. The anxiety level reassessed at 25 weeks (long-term effects) was generally lower than at the first measuring point in all groups. Comparing the results of short- and long-term administration, significant differences in the time spent in open arms were noted between: the VEH_PL_short vs. 6-OHDA_SPD_long (p < 0.05), VEH_PL_long vs. 6-OHDA_PL_short (p < 0.01), and VEH_SPD_long vs. 6-OHDA_PL_short (p < 0.01) groups, and differences in the number of entries were observed between: VEH_PL_short vs. 6-OHDA_PL_long (p < 0.01).\nAnalysis of TH-immunostained sections from the dorsal and ventral caudate–putamen (CPu) and cell bodies in the substantia nigra pars compacta (SNpc) confirmed that 6-OHDA induced a total tyrosine hydroxylase (TH-ir) fibre loss in the CPu and reduced the number of dopaminergic cells in the SNpc (Figure 3A). There were significant differences in the optical density (TH OD) across groups (H = 23.26; p < 0.0001; η2 = 0.67 for dorsal CPu and H = 23.56; p < 0.000; η2 = 0.68 for ventral CPu), but only between the 6-OHDA-injected groups and the controls (6-OHDA_PL vs. VEH_PL: p < 0.01 and p < 0.001; 6-OHDA_PL vs. VEH_SPD: p < 0.01 and p < 0.01; 6-OHDA_SPD vs. VEH_PL: p < 0.01 and p < 0.01; 6-OHDA_SPD vs. VEH_SPD: p < 0.001 and p < 0.5), as shown in Figure 3B,C. Long-term SPD administration did not impact TH-labelled cells in the 6-OHDA rat model of PD.\nThe level of dopaminergic denervation in the dorsal CPu reached 76.8% in the 6-OHDA_PL group and 74.76% in the 6-OHDA_SPD group. Ventral striatum denervation was 79.39% in the 6-OHDA_PL and 78.84% in the 6-OHDA_SPD groups.\nTo link rats’ behavioural changes to the level of peripheral immune response, we examined the numbers and percentages of leukocytes, lymphocytes, monocytes, and granulocytes in peripheral blood. In addition, flow cytometric immunophenotypic analysis was used to evaluate the T lymphocyte population: TCD4+ and TCD8+.\nThe most pronounced effects on changes in the number of each leukocyte population were observed in the LYMs and GRANs (Figure 4 and Figure 5). The number of LYMs after short- and long-term SPD treatment was significantly higher (F(7,128) = 13.94; p < 0.001; η2 = 0.43) in the 6-OHDA-injected rats compared with the placebo group (6-OHDA_PL: p < 0.001 and p < 0.05). Furthermore, 25 weeks after PD-model induction, the LYM number was elevated in the 6-OHDA_SPD group compared to the 6-OHDA_PL group (p < 0.05). We also observed lymphopenia in 6-OHDA-injected animals without SPD supplementation when compared with control groups at the same time point (VEH_PL: p < 0.01 and VEH_SPD: p < 0.01). Time-dependent effects were noted within the 6-OHDA_SPD group (long- vs. short-term treatment, p < 0.001), between the 6-OHDA_PL_long and controls at the first time point (VEH_PL_short: p < 0.05; VEH_SPD_short: p < 0.05) and between the 6-OHDA_SPD_short supplemented group and the 6-OHDA_PL_long supplemented group (p < 0.001). While the number of LYMs increased after SPD supplementation in the rat model of PD, the opposite effect was observed in the number of GRANs, especially after a short-term administration period (Figure 4). We noted that SPD treatment caused a significant reduction in GRAN number (H = 52.07; p < 0.0001; η2 = 0.35) after short-term supplementation. An elevated number of GRANs was observed in the 6-OHDA_PL group as compared with the control (VEH_PL: p < 0.001) and 6-OHDA_SPD groups (p < 0.05).\nThe time-dependent effect was confirmed in the 6-OHDA-injected group without SPD administration (6-OHDA_PL). In this group of rats, the GRAN number decreased over time and was reduced at the end of the procedure (p < 0.001) compared to the 6-OHDA_PL groups at the first time point. In addition, time-dependent changes were also noted when comparing the GRAN number in the 6-OHDA_PL at the first time point after PD-model induction with the numbers observed at the long-term period in both control groups (VEH_PL: p < 0.001; VEH_SPD: p < 0.001). As for the monocytes indices, a statistically significant (H = 35.59; p < 0.0001; η2 = 0.22) increase was noted in both SPD treatment groups when compared with the VEH_PL group, but only after long-term treatment (Figure 4). The MON number did not change significantly during PD-model progression, though we noted differences between the 6-OHDA_PL group at the first point of measuring and the VEH_SPD (p < 0.001) and 6-OHDA_SPD (p < 0.01) groups after long-term treatment (Figure 4).\nThe changes in the numbers of LYMs, GRANs and MONs discussed above were reflected in the significant changes (F(7,128) = 19.50; p < 0.0001; η2 = 0.52) in the total number of WBCs (Figure 4). We observed that WBC number was elevated in the 6-OHDA_SPD group after short-term SPD supplementation in comparison to the VEH_PL (p < 0.01), VEH_SPD (p < 0.05) and 6-OHDA_PL (p < 0.001) groups (Figure 4). Furthermore, the WBC number noted in the 6-OHDA_SPD rats was higher than the values observed in all groups at the end of the procedure (VEH_PL, VEH_SPD, 6-OHDA_PL, 6-OHDA_SPD, p < 0.001). In addition, the WBC number in the 6-OHDA_PL rats at the first point of measurement was higher than in both control groups at the end of the procedure (VEH_PL: p < 0.01, VEH_SPD: p < 0.01, respectively). We noted a significant impact of time of supplementation on WBC number across all groups, since WBC numbers decreased during the time of the procedure. This effect was reflected by observed differences between VEH_PL at the first point of measurement and the VEH_SPD (p < 0.001), 6-OHDA_PL (p < 0.01), and 6-OHDA_SPD (p < 0.01) groups at the end of the procedure. The same pattern of changes was noted when comparing the VEH_SPD group after short-term supplementation with data obtained after long-term treatment in the VEH_SPD (p < 0.001), 6-OHDA_SPD (p < 0.01) and 6-OHDA_PL (p < 0.01) groups.\nThe changes in the number of leukocytes were reflected in the population percentages (%) according to the LYM (H = 33.95, p < 0.0001; η2 = 0.48) and MON (H = 12.80, p < 0.01; η2 = 0.09) values in 6-OHDA-injected rats after short-term SPD treatment, and the LYMs (H = 34.05, p < 0.0001; η2 = 0.48) after long-term SPD treatment, as shown in Table 1. A reduced LYM% was noted in the 6-OHDA_PL group compared with VEH_PL at the first (p < 0.05) and second (p < 0.01) point of measurement. SPD treatment abolishes these changes. The LYM% in the 6-OHDA_SPD group at the first point of measurement was higher than in the VEH_SPD group (p < 0.05) and the 6-OHDA_PL group (p < 0.0001). A similar effect was noted after long-term SPD treatment when comparing the 6-OHDA_SPD with 6-OHDA_PL (p < 0.05). An elevated MON% was observed in the 6-OHDA_SPD group after short-term SPD treatment when compared to VEH_PL (p < 0.05) and 6-OHDA_PL (p < 0.05).\nAs a result of chronic inflammation occurring in PD, activated pro-inflammatory T lymphocytes are redirected to the CNS and hence their number in peripheral blood is reduced [23,24]. We observed that the number of lymphocytes increased due to long-term SPD supplementation. Therefore, we performed lymphocyte immunophenotyping using flow cytometry to investigate which lymphocyte subpopulation is responsible for the observed effect. As shown in Figure 5, the percentage of TCD3+ and TCD4+ lymphocytes significantly (F(3,64) = 23.47, p < 0.001; η2 = 0.52 and F(3,64) = 17.96, p < 0.001; η2 = 0.42) increased in 6-OHDA_SPD rats in comparison with the 6-OHDA_PL (p < 0.001 and p < 0.001) group. The immunostimulant effects of spermidine were also observed in the VEH_SPD group, in which the counts of TCD3+ and TCD4+ were higher than in the VEH_PL (p < 0.01 and p < 0.001) group.\nChanges in the number of TCD4+ lymphocytes and monocytes led to increased secretion of IL-10 and IL-4. As shown in Figure 6, significant statistical differences among the groups were demonstrated in their plasma IL-10 and IL-4 concentrations (H = 46.93, p < 0.0001; η2 = 0.71 and F(7,60) = 7.626, p < 0.0001; η2 = 0.47). Prolonged administration of SPD resulted in elevated concentrations of both cytokines in peripheral blood compared with the 6-OHDA_PL groups at the first (p < 0.001 and p < 0.001) and last time points of the procedure (p < 0.05 and p < 0.05). In addition, the highest IL-10 and IL-4 concentrations were noted in the VEH_SPD groups after long-term treatment when compared with the results observed in the VEH_PL (p < 0.001 and p < 0.001) and VEH_SPD (p < 0.001 and p < 0.05) groups after short-term treatment. The anti-inflammatory effects observed in the PD-model groups were associated with CORT levels in the peripheral blood (F(7,60) = 3.918, p < 0.01; η2 = 0.32). Long-term SPD treatment led to a reduction in CORT level in the 6-OHDA_SPD group compared to the 6-OHDA_PL group at both time points (p < 0.01 and p < 0.01, respectively) (Figure 6). At the first time point of CORT measuring, the results indicated a consistent trend in the direction of change, although the differences between groups were not statistically significant\nDue to the prolonged use of the SPD, we also evaluated its potential effects on organ function, including the kidneys, liver, and pancreas, by analyzing biochemical markers in peripheral blood (Table 2). Although the measured parameters remained within the physiological reference ranges, notable intergroup differences were observed for TB (H = 16.08, p < 0.01; η2 = 0.87), AMY (H = 12.12, p < 0.01; η2 = 0.57) and UREA (H = 8.542, p < 0.05; η2 = 0.35). The long-term SPD treatment in 6-OHDA-injected rats resulted in elevated blood AMY and UREA concentrations compared with the 6-OHDA_PL (p < 0.05) and VEH_SPD (p < 0.05) groups, respectively. A higher TB level was noted in the 6-OHDA-injected rats. Long-term SPD treatment normalized this level.\n\n\n### 2.1. Long-Term SPD Treatment Alleviates Motor Impairment in the 6-OHDA Rat Model of PD\nIn both 6-OHDA-injected groups, we noted spontaneous contralateral rotations after the rat was placed in the cylinder at the first measurement point. The Kruskal–Wallis (H = 25.19; p < 0.0001; η2 = 0.74) and post hoc Dunn tests confirmed that the number of spontaneous rotations in the 6-OHDA_PL and 6-OHDA_SPD groups differed from that of the control groups (p < 0.01 for all comparisons) (Figure 1A) but was similar in both 6-OHDA-injected groups. As shown in Figure 1A, the contralateral forelimb (left paw) used during exploration in the cylinder test differed between groups at both points of measurement, which was confirmed by the Kruskal–Wallis test (H = 48.78; p < 0.001; η2 = 0.69). We observed sensorimotor deficits in 6-OHDA-injected animals after short-term supplementation with a placebo as compared to the VEH_PL (p < 0.01) and VEH_SPD (p < 0.01) groups. In the 6-OHDA_SPD short-term-supplemented group, the asymmetry ratio was similar to the 6-OHDA_PL group and was higher than the ones noted in the VEH_PL (p < 0.05) and VEH_SPD (p < 0.01) groups (Figure 1B). Due to a compensatory mechanism after 26 weeks of PD-model induction, the asymmetry ratio improved in both of the 6-OHDA-injected groups. However, the Dunn test confirmed that in the 6-OHDA_SPD group the asymmetry ratio was lower than in the 6-OHDA_PL group (p < 0.05) and was similar to that observed in both control groups (Figure 1B). In addition, there were time-dependent differences in asymmetry ratio between groups (6-OHDA_SPD_short vs. 6-OHDA_SPD_long: p < 0.001; 6-OHDA_PL_short vs. 6-OHDA_PL_long: p < 0.001).\n\n\n### 2.2. Time-Dependent Effects of SPD Treatment on Depression-like Behaviour and Anxiety Level in the 6-OHDA Rat Model of PD\nAnhedonic behaviour, a key feature of depressive-like behaviour, was tested with the sucrose preference test. Preference for a sweet solution was significantly affected by 6-OHDA injection in rats at both time points (F(3,30) = 10.83; p < 0.0001; η2 = 0.52 and H = 13.40; p < 0.01; η2 = 0.35, respectively). The sucrose preference ratio was lower in both 6-OHDA-injected groups than in the VEH_PL (p < 0.01; p < 0.001) and VEH_SPD (p < 0.01; p < 0.01) groups at the first measurement point (Figure 1C). A low sucrose preference ratio was also observed in the 6-OHDA-injected rats after long-term placebo treatment compared to VEH_PL (p < 0.01). However, the long-term administration of SPD abolished the effect of nigral damage.\nAfter long-term SPD treatment, the preference for sucrose was higher in 6-OHDA_SPD rats than in the 6-OHDA_PL (p < 0.05) group. Furthermore, comparative analysis (H = 35.01; p < 0.0001; η2 = 0.46) of the sucrose preference ratio between time points showed significant differences between the effects of short- and long-term treatment for the following comparisons: VEH_PL_short vs. 6-OHDA_PL_long (p < 0.001), VEH_SPD_short vs. 6-OHDA_PL_long (p < 0.01) (Figure 1C).\nTo evaluate anxiety-like behaviour, we measured the number of entries and time spent in open arms using the EPM test (Figure 2A). A high level of anxiety, reflected by a decrease in open-arm activity [entries (F(7,60) = 4.75; p < 0.001; η2 = 0.36) and time spent in arms (H = 40.77; p < 0.0001; η2 = 0.56)], was confirmed 21 days (short-term effects) after PD-model induction in the 6-OHDA_PL group compared to VEH_PL (p < 0.01; p < 0.001) and VEH_SPD (p < 0.05; p < 0.001), as shown in Figure 2B,C. Short-term SPD administration in the 6-OHDA-injected rats elevated the number of open-arm explorations, as well as the time spent in those arms (p < 0.05; p < 0.001) compared to the 6-OHDA_PL group. The anxiety level reassessed at 25 weeks (long-term effects) was generally lower than at the first measuring point in all groups. Comparing the results of short- and long-term administration, significant differences in the time spent in open arms were noted between: the VEH_PL_short vs. 6-OHDA_SPD_long (p < 0.05), VEH_PL_long vs. 6-OHDA_PL_short (p < 0.01), and VEH_SPD_long vs. 6-OHDA_PL_short (p < 0.01) groups, and differences in the number of entries were observed between: VEH_PL_short vs. 6-OHDA_PL_long (p < 0.01).\n\n\n### 2.3. Long-Term SPD Treatment Did Not Affect Nigral Degeneration in the 6-OHDA Model of PD\nAnalysis of TH-immunostained sections from the dorsal and ventral caudate–putamen (CPu) and cell bodies in the substantia nigra pars compacta (SNpc) confirmed that 6-OHDA induced a total tyrosine hydroxylase (TH-ir) fibre loss in the CPu and reduced the number of dopaminergic cells in the SNpc (Figure 3A). There were significant differences in the optical density (TH OD) across groups (H = 23.26; p < 0.0001; η2 = 0.67 for dorsal CPu and H = 23.56; p < 0.000; η2 = 0.68 for ventral CPu), but only between the 6-OHDA-injected groups and the controls (6-OHDA_PL vs. VEH_PL: p < 0.01 and p < 0.001; 6-OHDA_PL vs. VEH_SPD: p < 0.01 and p < 0.01; 6-OHDA_SPD vs. VEH_PL: p < 0.01 and p < 0.01; 6-OHDA_SPD vs. VEH_SPD: p < 0.001 and p < 0.5), as shown in Figure 3B,C. Long-term SPD administration did not impact TH-labelled cells in the 6-OHDA rat model of PD.\nThe level of dopaminergic denervation in the dorsal CPu reached 76.8% in the 6-OHDA_PL group and 74.76% in the 6-OHDA_SPD group. Ventral striatum denervation was 79.39% in the 6-OHDA_PL and 78.84% in the 6-OHDA_SPD groups.\n\n\n### 2.4. SPD Treatment Attenuates Peripheral Inflammation in the 6-OHDA Model of PD\nTo link rats’ behavioural changes to the level of peripheral immune response, we examined the numbers and percentages of leukocytes, lymphocytes, monocytes, and granulocytes in peripheral blood. In addition, flow cytometric immunophenotypic analysis was used to evaluate the T lymphocyte population: TCD4+ and TCD8+.\nThe most pronounced effects on changes in the number of each leukocyte population were observed in the LYMs and GRANs (Figure 4 and Figure 5). The number of LYMs after short- and long-term SPD treatment was significantly higher (F(7,128) = 13.94; p < 0.001; η2 = 0.43) in the 6-OHDA-injected rats compared with the placebo group (6-OHDA_PL: p < 0.001 and p < 0.05). Furthermore, 25 weeks after PD-model induction, the LYM number was elevated in the 6-OHDA_SPD group compared to the 6-OHDA_PL group (p < 0.05). We also observed lymphopenia in 6-OHDA-injected animals without SPD supplementation when compared with control groups at the same time point (VEH_PL: p < 0.01 and VEH_SPD: p < 0.01). Time-dependent effects were noted within the 6-OHDA_SPD group (long- vs. short-term treatment, p < 0.001), between the 6-OHDA_PL_long and controls at the first time point (VEH_PL_short: p < 0.05; VEH_SPD_short: p < 0.05) and between the 6-OHDA_SPD_short supplemented group and the 6-OHDA_PL_long supplemented group (p < 0.001). While the number of LYMs increased after SPD supplementation in the rat model of PD, the opposite effect was observed in the number of GRANs, especially after a short-term administration period (Figure 4). We noted that SPD treatment caused a significant reduction in GRAN number (H = 52.07; p < 0.0001; η2 = 0.35) after short-term supplementation. An elevated number of GRANs was observed in the 6-OHDA_PL group as compared with the control (VEH_PL: p < 0.001) and 6-OHDA_SPD groups (p < 0.05).\nThe time-dependent effect was confirmed in the 6-OHDA-injected group without SPD administration (6-OHDA_PL). In this group of rats, the GRAN number decreased over time and was reduced at the end of the procedure (p < 0.001) compared to the 6-OHDA_PL groups at the first time point. In addition, time-dependent changes were also noted when comparing the GRAN number in the 6-OHDA_PL at the first time point after PD-model induction with the numbers observed at the long-term period in both control groups (VEH_PL: p < 0.001; VEH_SPD: p < 0.001). As for the monocytes indices, a statistically significant (H = 35.59; p < 0.0001; η2 = 0.22) increase was noted in both SPD treatment groups when compared with the VEH_PL group, but only after long-term treatment (Figure 4). The MON number did not change significantly during PD-model progression, though we noted differences between the 6-OHDA_PL group at the first point of measuring and the VEH_SPD (p < 0.001) and 6-OHDA_SPD (p < 0.01) groups after long-term treatment (Figure 4).\nThe changes in the numbers of LYMs, GRANs and MONs discussed above were reflected in the significant changes (F(7,128) = 19.50; p < 0.0001; η2 = 0.52) in the total number of WBCs (Figure 4). We observed that WBC number was elevated in the 6-OHDA_SPD group after short-term SPD supplementation in comparison to the VEH_PL (p < 0.01), VEH_SPD (p < 0.05) and 6-OHDA_PL (p < 0.001) groups (Figure 4). Furthermore, the WBC number noted in the 6-OHDA_SPD rats was higher than the values observed in all groups at the end of the procedure (VEH_PL, VEH_SPD, 6-OHDA_PL, 6-OHDA_SPD, p < 0.001). In addition, the WBC number in the 6-OHDA_PL rats at the first point of measurement was higher than in both control groups at the end of the procedure (VEH_PL: p < 0.01, VEH_SPD: p < 0.01, respectively). We noted a significant impact of time of supplementation on WBC number across all groups, since WBC numbers decreased during the time of the procedure. This effect was reflected by observed differences between VEH_PL at the first point of measurement and the VEH_SPD (p < 0.001), 6-OHDA_PL (p < 0.01), and 6-OHDA_SPD (p < 0.01) groups at the end of the procedure. The same pattern of changes was noted when comparing the VEH_SPD group after short-term supplementation with data obtained after long-term treatment in the VEH_SPD (p < 0.001), 6-OHDA_SPD (p < 0.01) and 6-OHDA_PL (p < 0.01) groups.\nThe changes in the number of leukocytes were reflected in the population percentages (%) according to the LYM (H = 33.95, p < 0.0001; η2 = 0.48) and MON (H = 12.80, p < 0.01; η2 = 0.09) values in 6-OHDA-injected rats after short-term SPD treatment, and the LYMs (H = 34.05, p < 0.0001; η2 = 0.48) after long-term SPD treatment, as shown in Table 1. A reduced LYM% was noted in the 6-OHDA_PL group compared with VEH_PL at the first (p < 0.05) and second (p < 0.01) point of measurement. SPD treatment abolishes these changes. The LYM% in the 6-OHDA_SPD group at the first point of measurement was higher than in the VEH_SPD group (p < 0.05) and the 6-OHDA_PL group (p < 0.0001). A similar effect was noted after long-term SPD treatment when comparing the 6-OHDA_SPD with 6-OHDA_PL (p < 0.05). An elevated MON% was observed in the 6-OHDA_SPD group after short-term SPD treatment when compared to VEH_PL (p < 0.05) and 6-OHDA_PL (p < 0.05).\n\n\n### 2.5. Long-Term SPD Treatment Influence on Peripheral TCD3+ and TCD4+ Lymphocyte Percentage\nAs a result of chronic inflammation occurring in PD, activated pro-inflammatory T lymphocytes are redirected to the CNS and hence their number in peripheral blood is reduced [23,24]. We observed that the number of lymphocytes increased due to long-term SPD supplementation. Therefore, we performed lymphocyte immunophenotyping using flow cytometry to investigate which lymphocyte subpopulation is responsible for the observed effect. As shown in Figure 5, the percentage of TCD3+ and TCD4+ lymphocytes significantly (F(3,64) = 23.47, p < 0.001; η2 = 0.52 and F(3,64) = 17.96, p < 0.001; η2 = 0.42) increased in 6-OHDA_SPD rats in comparison with the 6-OHDA_PL (p < 0.001 and p < 0.001) group. The immunostimulant effects of spermidine were also observed in the VEH_SPD group, in which the counts of TCD3+ and TCD4+ were higher than in the VEH_PL (p < 0.01 and p < 0.001) group.\n\n\n### 2.6. Long-Term SPD Treatment Activates Anti-Inflammatory IL-10 and IL-4 Secretion and Changes in Peripheral Blood CORT Concentration\nChanges in the number of TCD4+ lymphocytes and monocytes led to increased secretion of IL-10 and IL-4. As shown in Figure 6, significant statistical differences among the groups were demonstrated in their plasma IL-10 and IL-4 concentrations (H = 46.93, p < 0.0001; η2 = 0.71 and F(7,60) = 7.626, p < 0.0001; η2 = 0.47). Prolonged administration of SPD resulted in elevated concentrations of both cytokines in peripheral blood compared with the 6-OHDA_PL groups at the first (p < 0.001 and p < 0.001) and last time points of the procedure (p < 0.05 and p < 0.05). In addition, the highest IL-10 and IL-4 concentrations were noted in the VEH_SPD groups after long-term treatment when compared with the results observed in the VEH_PL (p < 0.001 and p < 0.001) and VEH_SPD (p < 0.001 and p < 0.05) groups after short-term treatment. The anti-inflammatory effects observed in the PD-model groups were associated with CORT levels in the peripheral blood (F(7,60) = 3.918, p < 0.01; η2 = 0.32). Long-term SPD treatment led to a reduction in CORT level in the 6-OHDA_SPD group compared to the 6-OHDA_PL group at both time points (p < 0.01 and p < 0.01, respectively) (Figure 6). At the first time point of CORT measuring, the results indicated a consistent trend in the direction of change, although the differences between groups were not statistically significant\n\n\n### 2.7. Safety of Long-Term SPD Treatment\nDue to the prolonged use of the SPD, we also evaluated its potential effects on organ function, including the kidneys, liver, and pancreas, by analyzing biochemical markers in peripheral blood (Table 2). Although the measured parameters remained within the physiological reference ranges, notable intergroup differences were observed for TB (H = 16.08, p < 0.01; η2 = 0.87), AMY (H = 12.12, p < 0.01; η2 = 0.57) and UREA (H = 8.542, p < 0.05; η2 = 0.35). The long-term SPD treatment in 6-OHDA-injected rats resulted in elevated blood AMY and UREA concentrations compared with the 6-OHDA_PL (p < 0.05) and VEH_SPD (p < 0.05) groups, respectively. A higher TB level was noted in the 6-OHDA-injected rats. Long-term SPD treatment normalized this level.\n\n\n### 3. Discussion\nIn this study, we analyzed the short- and long-term effects of SPD treatment in the 6-OHDA-induced rat model of PD on sensorimotor, depressive-like, and anxiety-like behaviour. We linked behavioural changes with peripheral immune system activation and plasma CORT concentration. We showed that the administration of 6-OHDA into the striatum results in denervation of the CPu. The dopaminergic denervation reached 75–79% of fibres in the CPu and total loss of the cell bodies in the SNpc was noted. Along with the loss of dopaminergic neurons, we confirmed the presence of sensorimotor deficits in the cylinder test in a 6-OHDA-induced model of PD. After the lesion, rats exhibited an increased asymmetry ratio and spontaneous rotations at the first assessment point. The limb motor dysfunction observed in rats with a PD model is an expected effect of damage to the nigrostriatal system, due to 6-OHDA being administered into the striatum [40,41,42]. SPD supplementation, initiated 24 h after 6-OHDA injection, did not prevent or effectively limit the neurotoxin-induced loss of dopaminergic neurons in PD rats. Due to the lack of a neuroprotective effect within a short window of SPD administration, no changes in motor deficits were observed in the SPD-supplemented rats. Motor impairments improved at the second (late) assessment point, which is associated with compensatory mechanisms occurring in cases of unilateral lesions in the nigrostriatal system [43]. Interestingly, the compensatory effect was more pronounced in the group receiving long-term SPD supplementation. This may indicate that prolonged SPD administration in rats with a 6-OHDA-induced PD model protects against age-related motor deficits. Other animal studies highlight the impact of SPD on promoting skeletal muscle regeneration [44] and preventing age-related muscle atrophy in rodents [45]. The most recent study by Zhang and colleagues proved the mechanism of SPD influence on the skeletal muscle functioning [46] and the ability of SPD to promote muscle regeneration and delay muscle ageing [44]. Unfortunately, our research did not establish the assessment of SPD treatment on skeletal muscle physiology, therefore this aspect seems to be an interesting topic for future research.\nInterestingly, we report that long-term SPD supplementation, applied 24 h after the 6-OHDA injection, did not affect the neurotoxin-induced death of dopaminergic neurons in rats. Although the neuroprotective effect of SPD was observed in the study by Sharma and colleagues [47], we did not confirm it in our research. In the rotenone-induced PD model, SPD administered orally for 14 consecutive days at a dosage of 10 mg/kg led to neuroprotection and reduced motor impairment in the rat model of PD [47]. Based on the results of previously published studies, we assume that SPD’s lack of protective effect in the 6-OHDA model is most likely due to the different mechanisms of neuronal death induced by rotenone and 6-OHDA. Rotenone is a highly lipophilic and hydrophobic compound, allowing it to readily cross cell membranes without needing specific transporters [48]. 6-OHDA requires active transport into cells via particular membrane transporters, such as the dopamine and norepinephrine transporters [49]. Furthermore, 6-OHDA is sensitive to oxidation outside the cell and it readily forms semiquinone radicals and participates in redox cycling, contributing to the generation of various reactive oxygen species (ROS), including hydrogen peroxide (H2O2), superoxide (O2•−), and hydroxyl radicals (•OH) [50]. The 6-OHDA and rotenone also differ in how they induce mitochondrial toxicity. Rotenone is a gold-standard mitochondrial complex I (NADH ubiquinone reductase) inhibitor, known for its high affinity and time-dependent and irreversible binding [51]. The 6-OHDA mechanism of action includes inhibition of I and IV (cytochrome-c oxidase) mitochondrial complexes [52]. Additionally, an in vitro study showed that 6-OHDA-induced neurotoxicity leads to mitochondrial dysfunction with a loss of MMP, a critical event in dopaminergic neuron degeneration [53]. It seems that the SPD influence on oxidative stress in the CNS [54,55,56,57] is well documented. However, there is a gap that requires defining the precise mechanism of the antioxidant properties of SPD in brain tissue. The absence of a protective effect from SPD in the 6-OHDA model may be due to the timing and dosage of its administration. In the case of rotenone, neuronal death occurs more gradually after injection, providing a longer window for intervention. In contrast, 6-OHDA acts immediately when administered in the striatum [58,59]; therefore, applying SPD 24 h later may have been too late to counteract the neurodegeneration of dopaminergic cells.\nHere, we report that SPD influences sucrose preference, exploration, and time spent in the open arms of an EPM in the 6-OHDA-induced model of PD in a time-dependent manner by a mechanism involving the suppression of chronic peripheral inflammation. These interesting results emphasize that anhedonia observed in the rat model of PD depends not only on dopaminergic denervation (for review see: [60]), but rather on inflammatory activation. A growing body of evidence suggests that in the rat 6-OHDA-induced model of PD, dopamine is involved in motivational behaviour [61,62], rewarding, and hedonic processes [63,64]. In this study, we showed that anhedonia was elevated in 6-OHDA-injected rats during progressive neurodegeneration, and SPD treatment abolished these depressive symptoms after long-term treatment. Since SPD did not exert a neuroprotective effect on dopaminergic neurons in our treatment model, the mood enhancement was not only dependent on dopamine secretion. Therefore, we propose that this effect was related to SPD’s influence on the chronic peripheral inflammatory response triggered by ongoing neurodegeneration in the nigrostriatal system. Studies have demonstrated that administration of 6-OHDA as a model of PD induces a chronic inflammatory state, characterized by the pro-inflammatory activation of microglial cells [59,65,66,67,68] and peripheral lymphocyte distribution changes due to BBB perturbation [69,70,71]. In this experiment, we observed peripheral leukopenia and lymphopenia in a rat 6-OHDA-injected model of PD at both measuring points. Changes in lymphocyte number and percentage in 6-OHDA-injected rats were associated with T lymphocyte infiltration at the site of neurodegeneration, as was shown by Jiang et al. [71] and Ambrosi et al. [72]. We proved that SPD treatment restores the number of lymphocytes and the percentage of TCD4+ cells in the peripheral blood. We found that the retention of lymphocytes in the systemic circulation is linked to a mechanism that depends on SPD influence on monocytes and TCD4+ lymphocytes to promote the secretion of anti-inflammatory cytokines. Indeed, in our studies, we demonstrated that SPD induced an increase in the number of monocytes in the peripheral blood and elevated concentrations of IL-4 and IL-10, which suppressed the inflammatory response. This anti-inflammatory effect was also associated with a reduced CORT level following SPD administration.\nIncreasing evidence supports peripheral inflammation’s deleterious role in PD neurodegeneration (for review see: [20]). The animal studies underlined the role of peripheral TCD4+ lymphocytes in the pathogenesis and progression of PD [73,74]. In this study, we showed the influence of SPD treatment on the TCD4+ lymphocyte count in the peripheral blood of rats with the 6-OHDA-induced model of PD. Excellent research by Puleston et al. [75] confirms the results we received. In their study, loss of polyamine synthesis leads to profound changes in the ability of CD4+ T cells to differentiate into distinct T helper (Th) subsets. The SPD acts as a substrate for synthesizing the amino acid hypusine and mice with a T cell-specific deletion (Dohh-DT) exhibit T cell dysregulation, peripheral inflammation, and colitis. Carriche et al. [76] showed that SPD modulates CD4+ T cell differentiation in vitro, preferentially committing naive T cells to a regulatory phenotype. After SPD treatment, activated T cells lacking the autophagy gene Atg5 fail to upregulate forkhead box protein 3 (Foxp3) to the same extent as wild-type cells. In addition, dietary supplementation with SPD in mice promotes homeostatic differentiation of regulatory T cells (Tregs) within the gut and reduces pathology in a model of T cell transfer-induced colitis. CD4+CD25+Foxp3+ Tregs are immunoregulatory cells that express the master transcription factor Foxp3 and account for only 3–10% of peripheral CD4+ T cells [77]. Treg cells are crucial for maintaining immune tolerance by suppressing the activation, proliferation, and function of effector immune cells. They secrete anti-inflammatory cytokines such as IL-10, IL-35, and transforming growth factor beta (TGF-β) to inhibit immune cells in a contact-independent manner [78,79]. Indeed, in our study, we observed elevated plasma IL-10 and IL-4 concentrations after short- and long-term SPD treatment in 6-OHDA-injected rats. Another function of Tregs is their ability to regulate monocyte differentiation toward alternatively activated monocytes/macrophages (AAM). AAMs are cells with strong anti-inflammatory potential involved in immune regulation and tissue remodelling [80]. The influence of Tregs on monocytes led to a reduced production of pro-inflammatory cytokines (IL-6 and TNF-α) and activation of the nuclear factor kappa-light-chain-enhancer of the activated B cell (NF-κB) signalling pathway [81]. IL-6 and TNF-α levels are elevated in rats with a 6-OHDA-induced model of PD, as was shown by Gasparotto et al. [82] and Tiefensee Ribeiro et al. [83]. Furthermore, monocytes co-cultured with Tregs downregulated the expression of co-stimulatory and major histocompatibility complex (MHC)-class II molecules with a concomitant upregulation of M2 macrophage-specific markers, CD206, heme oxygenase-1, and increased IL-10 production [84]. There is a growing body of evidence that SPD promotes the anti-inflammatory properties of macrophages in the mouse experimental model of autoimmune encephalomyelitis (EAE) [84] and in dextran sulfate sodium (DSS)-induced inflammatory bowel disease (IBD) in mice [85]. In the last study by Niechcial et al. [86], SPD supplementation in Rag2-/-mice reduces intestinal inflammation by promoting anti-inflammatory macrophages, maintaining a healthy microbiome and preserving epithelial barrier integrity. Li et al. [87] showed that SPD treatment against Staphylococcus aureus (S. aureus—MRSA)-induced bloodstream infection in mice reduced the bacterial load and expression of inflammatory factors by shifting the macrophage phenotype to an anti-inflammatory phenotype, ultimately prolonging the survival of the infected mice. In our study, we observed an elevated ratio of monocytes in the peripheral blood after SPD treatment. Many studies have shown that SPD inhibits the production of pro-inflammatory cytokines such as TNF-α, IL-1β, and IL-6, which are released by activated microglia and astrocytes [88] and by peripheral macrophages [84]. Intraperitoneal injection of SPD (2 and 50 mg/kg) in collagen-induced arthritis mice inhibits macrophage polarization into an M1 pro-inflammatory phenotype in the synovial tissue, suppresses the levels of IL-6 and IL-1β in the serum, and increases the level of anti-inflammatory IL-10 [89]. In ACLT (anterior cruciate ligament transection) surgery, treatment with spermidine (at doses of 0.3, 3, and 6 mM) also reduced elevated levels of pro-inflammatory cytokines (TNF-α, IL-6, and IL-8) in the serum [90]. The changes in monocyte numbers observed in our study are likely associated with a monocyte anti-inflammatory activation triggered by SPD, as evidenced by the elevated secretion levels of IL-4 and IL-10. The impact of SPD on monocyte/macrophage function is worth noting, since Jin et al. [91] showed that exosomes from stimulated macrophages promote pro-inflammatory cytokine expression (IL-1α, IL-1β, IL-2, IL-6, IL-12β, and TNF-α) in the primary microglia and astrocytes and trigger neurodegeneration in the nigrostriatal system in mice.\nHerein, we observed a reduction in anhedonia in rats following SPD supplementation. This may be attributed to the shift in monocyte/macrophage cytokine secretion patterns and the decrease in CORT level noted in our study. This finding aligns with existing research linking peripheral inflammation with mood disturbances, such as the “macrophage theory of depression” [92]. According to this theory, pro-inflammatory cytokines released by peripheral immune cells can exacerbate mood symptoms by influencing the HPA axis and stimulating CORT secretion [93,94,95,96,97]. Although we did not directly assess pro-inflammatory cytokine levels, our results showed a decrease in CORT and an increase in anti-inflammatory cytokine concentration following SPD supplementation. These changes suggest a potential shift in monocyte/macrophage activity towards an anti-inflammatory phenotype, which may underlie the observed improvement in affective behaviour after prolonged SPD supplementation. It has been reported that intranasal administration of IL-4 in mice with depressive-like behaviour ameliorated neuropsychiatric symptoms, reduced the plasma levels of CORT, restored the expression of nuclear factor erythroid 2-related factor 2 (NRF2), NF-κB, IL-1β, IL-4, brain-derived neurotrophic factor (BDNF), and indoleamine 2,3-dioxygenase (IDO) in the prefrontal cortex and hippocampus, and modulated oxidative stress markers in these brain structures in stressed mice [98].\nBesides decreased anhedonia level, we noted anti-anxiety effects of SPD administration in 6-OHDA-injected animals. It is worth noting that long-term SPD treatment of middle-aged rats reduced anxiety, as indicated by an increase in the proportion of time spent in the open arms of the EPM and by an improvement in exploratory performance in the cylinder test [99]. SPD acts as a ligand of N-methyl D-aspartate acid (NMDA) receptors in a dose- [100] and time-dependent manner [101]. In ultra-low doses (0.02–2 nmol), SPD acts as a positive allosteric modulator of NMDA receptors [102], while in high doses (10 mg) it reduces glutaminergic-induced excitotoxicity, acting as an antagonist of NMDA [103,104]. Taken together, the anxiolytic-like effects of SPD treatment may be related to CORT release and influence on glutaminergic transmission in the CNS.\nIn this study, we analyzed the safety profile of long-term SPD treatment on liver, kidney, and pancreas biochemical markers and found that SPD treatment influences hepatic function. We showed that SPD administration in the 6-OHDA-induced model of PD decreased TB levels in the blood. Studies by Jin et al. [105] and Macías-García et al. [106] demonstrated elevated TB levels in patients with PD. In contrast, in the present study, SPD administration reduced TB concentration, suggesting a potential hepatoprotective and therapeutic effect of SPD. The absence of significant alterations in other hepatic metabolic biomarkers (AST, ALP, and ALT) further supports findings by Adhikari et al. [107] and Campreciós et al. [108], who also reported liver-protective properties of SPD. Jin et al. [109] indicated that polyamine catabolism may contribute to the early stages of pancreatic inflammation, which could explain the increase in the AMY observed in the present study. This elevation may reflect similar underlying mechanisms of SPD action. Moreover, research by Li et al. [110] identified a link between urea transporter B (UT-B) overexpression and polyamine metabolism, which is consistent with the increased UREA concentration observed in this study. However, the observed changes in parameter concentrations remained within the upper reference limits, confirming that SPD is well-tolerated and does not exert harmful effects on major organs. This supports the safety profile of SPD in prolonged use applied in the rat model of PD.\nThe main limitation of our study is the lack of results concerning neuro-inflammation and oxidative stress parameters in the brain and peripheral blood. In this study, we did not confirm the presence of lymphocytes in the brain and microglia/macrophage activation. However, the results from previous studies conducted by other research groups, as discussed above, provided a rationale for hypothesizing that administration of 6-OHDA leads to the activation of central inflammatory processes. Another limitation of our study is that the 6-OHDA rat model of PD does not recapitulate the accumulation of α-syn aggregates in the CNS. However, recent work by Cui et al. [111] suggests that our findings may still hold translational relevance. Specifically, their research demonstrated that α-syn deposition occurs in the colon after striatal 6-OHDA injection. Considering the dual-hit hypothesis of PD progression [112] and the well-established impact of SPD on gut microbiota eubiosis [113,114], our results may contribute to a deeper understanding of the mechanisms by which SPD exerts its effects in the rat model of PD. The other limitations included the lack of quantification of SPD or its metabolites in the plasma, brain and other organs before and after treatment. From already existing and conducted experiments in this area, it is known that orally administered SPD is able to cross the BBB, since deuterium-labelled-SPD was detectable in brain regions (hippocampus, cortex, striatum, mid brain, bulbs, and cerebellum) of C57BL/6J mice after a 1-week period of supplementation [115]. SPD can also be absorbed into the bloodstream from the gastrointestinal tract through diffusion, which is a key mechanism for rapid SPD absorption during oral administration [116,117,118]. Blankenship and Marchant [119] examined the metabolism of N1-acetylspermidine and N8-acetylspermidine, two products of spermidine acetylation, in the liver and kidneys of rats. Both SPD and spermine can be detected in, e.g., livers, kidneys, and spleens [119,120], and SPD can also be found in the urine of rats [121], proving its metabolism by mammals.\n\n\n### 4. Materials and Methods\nWistar Han male rats (n = 34) were purchased from the Tri-City Central Animal Laboratory, Research and Service Centre of the Medical University of Gdansk (breeder registration number 041) at an age of 8 weeks and housed in cages of five until PD-model induction. Standard plastic cages with elevated metal wire lids were used, and rats were maintained on a 12:12 h light/dark cycle (lights on at 06.00 AM), with ad libitum access to a standard rat diet (Labofeed B standard, Morawski, Kcynia, Poland) and water. After 2 weeks of acclimatization, the animals were handled daily and adapted for the oral (per os, p.o.) administration procedure to minimize stress caused during experimental procedures. The handling procedure was conducted repeatedly over a two-week period. Then, the rats were randomly allocated to one of 4 groups: (1) a control group for PD-model induction (vehiculum, VEH) and placebo (PL) p.o. treatment (VEH_PL; n = 7), (2) a control group for PD-model induction and SPD p.o. treatment (VEH_SPD; n = 6), (3) a group with a 6-OHDA-induced model of PD and PL p.o treatment (6-OHDA_PL; n = 10), or (4) a group with a 6-OHDA-induced model of PD and SPD p.o. treatment (6-OHDA_SPD; n = 11). A fresh solution of SPD (Sigma-Aldrich, Saint Louis, MO, USA, cat# S0266) in distilled water at a concentration of 10 mg/mL was prepared daily for each rat and administered p.o. at a dosage of 10 mg/kg. Supplementation of SPD or placebo (distilled water) began 24 h after the induction of the PD model and continued for 178 consecutive days. Behavioural tests were conducted 21, 31–33 and 35 days (referred as short-term treatment) and 151, 161–163, and 175 days (referred as long-term treatment) after PD-model induction. Blood was collected from the tail vein (day 38) or heart (day 178), along with brain tissue (day 178), as shown in Figure 7. During the first month after PD-model induction, the rats’ body weights were measured daily and then once a week.\nAll procedures were approved by the Local Ethical Committee for the Care and Use of Laboratory Animals in Bydgoszcz, Poland 45/2022 and were carried out in accordance with the EU Directive 2010/63/EU. According to this decision, the welfare of the animals was monitored during the experiment. The rats were observed for atypical behaviour (e.g., stereotyped movements, lack of rearing, etc.) and pain daily during recovery from stereotaxic implantation and after returning to home cages during SPD supplementation. Body weight, skin, stool consistency, and urinary signs were analyzed once a week. The endpoints of the procedure were planned if body weight loss exceeded 10% or if the animal exhibited behaviours that impaired its ability to perform essential activities, such as free exploration, grooming, or food and water intake. During both the short and long-term supplementation period, no symptoms were observed that would warrant early termination of the procedure. The animals and collected samples were assigned numerical codes, ensuring that investigators conducting the behavioural, cellular, and biochemical analyses remained blinded to group allocation.\nThe rats were anesthetized with 1.5–2.5% isoflurane (Isoflurin, Vetpharma, Barcelona, Spain) (airflow: 0.5 L/min) using an isoflurane vaporizer (Rothacher-Medical, Heitenried, Switzerland) and an oxygen pump (Bitmos OXY 6000, Bitmos GmbH, Düsseldorf, Germany). Analgetic butorphanol at 2.0 mg/kg i.s. (Butomidor, Richter Pharma, Wels, Austria) was administered as described previously [122,123].\nThe rat was placed in a stereotactic apparatus (Kopf Instruments, Tujunga, CA, USA). The skull was exposed by a midline incision of the skin, and a hole was drilled above the lesion site. The neurotoxin 6-OHDA (6-hydroxydopamine HCl, Sigma–Aldrich, Saint Louis, MO, USA, cat# H4381) was injected into the right dorsal and ventral striatum in a volume of 2 μL in each target (6 μg/μL dissolved in 0.9% NaCl containing 0.02% ascorbic acid), according to the previously described method [124]. The following coordinates from the rat brain stereotactic atlas [125] were used (in reference to the bregma): anteroposterior (AP): +1.6, lateral (L): −2.5, dorsoventral (DV): −4.5 for dorsal and AP: −0.2, L: −3.0, DV: −7.0 for ventral striatum relative to the bregma point. The injections were performed using a microsyringe with a 26-gauge needle (Hamilton Company, Reno, NV, USA) that was attached to a microinjection unit (Model 5000, Kopf Instruments, Tujunga, CA, USA). The injection rate was 0.5 μL/min, and the needle was left in place for an additional 5 min after injection to allow for diffusion into the tissue. To protect the noradrenergic neurons from damage, animals received an intraperitoneal injection with the noradrenaline reuptake inhibitor desipramine (25 mg/kg, Sigma-Aldrich, Saint Louis, MO, USA, cat# D3900) 30 min before neurotoxin injection [126]. The control rats underwent the same procedure but received vehicle (VEH; 0.9% NaCl containing 0.02% ascorbic acid) instead of 6-OHDA. After surgery, the animals were transferred to a warm room, where they stayed until their awakening. The SPD or PL oral supplementation procedures started after a 24 h recovery period from the surgery.\nThe cylinder test device consisted of a transparent plexiglass cylinder with a diameter of 30 cm and a height of 40 cm. For limb use during exploratory activity (touching the wall of the cylinder and landing) and spontaneous rotations, each animal was scored over 5 min. The test was video-recorded using a camera (Canon IXUS 145, Canon, Tokyo, Japan) and manually analyzed by an evaluator blind to the study. The animals were evaluated for asymmetry ratio using the following equation: asymmetry ratio % = [unimpaired − impaired]/both × 100%. Impaired refers to the limb contralateral to the lesioned hemisphere. Both refers to the use of both the impaired and unimpaired limbs during exploratory activity [40].\nThe EPM apparatus consisted of two open arms (10 cm in width and 50 cm in length) and two enclosed arms (10 cm in width, 50 cm in length and 40 cm in height), elevated 50 cm above the floor. The EPM was cleaned with 70% ethanol before the start of every trial. The rat was placed in centre square of the maze, always in the same position (heading towards the open end of the maze). Next, the animal was allowed to explore the EPM for 5 min and behaviour was recorded using a video camera (Ikegami, Ikegami Electronics, Neuss, Germany). A video camera was positioned approximately 250 cm over the maze’s centre and connected to a video-tracking digitizing device (EthoVision XT10, Noldus, Wageningen, The Netherlands). The recorded and analyzed reactions included time spent in open/closed arms and the maze’s centre and the number of entries into open/closed arms and the maze’s centre, as previously described [127]. In Section 2 we have presented the number of entries into the open/closed arms of the maze and the time spent in each type of the arms.\nSucrose consumption is frequently used as indicator of anhedonia in rodents. The SPT was conducted according to the method described by Tadaiesky [128]. During the test, animals had free access to food. Each rat was given two water bottles next to each other during the 24 h training phase to adapt the rats to drinking from two bottles. After training, one of the bottles was randomly changed to one containing a 0.8% sucrose solution and 24 h later the bottles were reversed to avoid the potential preference of drinking liquid from just one bottle. The consumption of water and sucrose solution was estimated simultaneously in each group by daily weighing the bottles. The SPT ratio was defined as follows: sucrose preference percentage (%) = sucrose solution consumption (g)/(sucrose solution consumption [g] + water consumption [g]) × 100%.\nBlood samples were collected from the tail vein (day 38) or by heart puncture (day 178) under isoflurane anesthesia (Isoflurin, Vetpharma, Barcelona, Spain) between 08.00 and 10.00 AM. The blood samples were divided into two tubes containing EDTA-K2. One of the tubes was centrifuged (10 min, 3000× g) using a Jouan BR4i multifunction centrifuge (Thermo Electron Corporation, Waltham, MA, USA), to obtain fresh plasma without platelets and cells. The supernatant was transferred to Eppendorf tubes, quickly frozen at −70 °C and stored to analyze the plasma cytokines (IL-4 and IL-10) and CORT concentrations. The second part of the sample was tested immediately for peripheral blood morphology and biochemical analysis (whole-blood), and lymphocyte immunophenotyping was carried out by flow cytometry (TCD3+, TCD3+ CD4+ and TCD3+ CD8+ percentage) in isolated peripheral blood mononuclear cells (PBMCs).\nAn ABX Micros ES 60 (HORIBA Medical, Irvine, CA, USA) hematology analyser was used to determine the count and number of each leukocyte population. The samples were analyzed in duplicate for each rat and at each time point for white blood cell (WBC) number and lymphocyte (LYM), monocyte (MON), and granulocyte (GRAN) count and number determination. The standard markers of liver, kidney, and pancreatic function were measured to evaluate the safety profile of long-term SPD treatment. The whole-blood samples were analyzed using an Exigo C200 (Boule Diagnostics AB, Spånga, Sweden) veterinary clinical chemistry analyser and a comprehensive metabolic panel was carried out, which allows the determination of the following biochemical parameters: ALB—albumin, TP—total protein level, GGT—glutamyltransferase, AST—aspartate aminotransferase, ALT—alanine aminotransferase, ALP—alkaline phosphatase, Crea—creatinine, UA—uric acid, UREA—urea (in the form of urea nitrogen), U/C—urea-to-creatinine ratio, AMY—total amylase, GLU—glucose, TC—total cholesterol, TG—triglycerides, GLOB—globulins, A/G—albumin-to-globulin ratio, TB—total bilirubin.\nA volume of 2 mL of peripheral blood was diluted 1:1 in 0.9% NaCl and applied on the Pancoll Rat (PAN-Biotech, Aidenbach, Germany, cat# P04-65500) surface. The PBMCs were separated from blood by the density centrifugation method. After the centrifugation (800× g, 30 min at RT), the isolated cells were collected with a Pasteur pipette and washed with BD Pharmingen™ Stain Buffer (BD Biosciences, Franklin Lakes, NJ, USA, cat# 554657) once (350 G, 10 min at RT). A volume of 175 µL of PBMC suspension was labelled with the following antibodies: FITC Mouse Anti-Rat CD3 (BD Biosciences, Franklin Lakes, NJ, USA, cat# 557354), APC Mouse Anti-Rat CD4 (BD Biosciences, Franklin Lakes, NJ, USA, cat# 550057), and PerCP Mouse Anti-Rat CD8a (BD Biosciences, Franklin Lakes, NJ, USA, cat# 558824). All of the antibodies were diluted (1:3) in BD Pharmingen™ Stain Buffer (BD Biosciences, Franklin Lakes, NJ, USA, cat # 554657). The cells were stained for 30 min at RT. The cells were analyzed on the Amnis FlowSight Imaging Flow Cytometer (Luminex, Austin, TX, USA) with four lasers (405 nm, 488 nm, 642 nm and 785 nm). The laser power for the four lasers was 150 mW, 60 mW, 150 mW and 90 mW, respectively. A total of 20,000 events (images; magnification 20×) were acquired from each sample. We used the FlowSight Imaging Flow Cytometer (Amnis, Seattle, WA, USA) with real-time visualization and INSPIRE™ software v. 200.0.336.0 (Amnis, Seattle, WA, USA). The instrument operates as a conventional cytometer but also provides images of every cell tested, acting like a fluorescent and inverted microscope (Figure 8A). Analysis of the T lymphocyte populations was performed using Ideas Application v6.3 (Amnis, Seattle, WA, USA). As a first step, the isolated cells were gated on dot plot Channel 1 (BF) Area (X) and compared to Channel 1 (BF) Aspect Ratio Intensity (Y) to exclude aggregated and damaged cells (Figure 8B). The TCD3+CD4+ lymphocytes were evaluated on dot plot Channel 11 Intensity (X) (red fluorescence, emission range 642–745 nm), referred to Channel 2 (Y) (green fluorescence, emission range 505–560 nm) (Figure 8C), and the TCD3+CD8+ lymphocytes were evaluated on dot plot Channel 5 Intensity (X) (red fluorescence, emission range 642–745 nm), referred to Channel 2 (Y) (green fluorescence, emission range 505–560 nm) (Figure 8D). Cells without any staining were used as a negative control and isotype control was applied. Compensation was performed using single-stained samples. The images of the TCD3+CD4+ and TCD3+CD8+ lymphocytes and the gating strategy are provided in Figure 8. For statistical analysis, two replications of each sample were used.\nThe concentrations of cytokines and CORT in the plasma were quantified using an enzyme-linked immunoassay method (ELISA) with a commercially available kit for rat IL-4 and IL-10 (Invitrogen, Thermo Fisher Scientific, Waltham, MA, USA, cat# ERA29RB and ERA23RB) and CORT (Cayman Chemical, Ann Arbor, MI, USA, cat# 501320). Samples were prepared according to the manufacturer’s instructions and were analyzed using a Biotek Synergy H1 (Agilent Technologies, Santa Clara, CA, USA) system set to 450 nm (for cytokines) or 412 nm (for CORT) and Gen5 Software (Agilent Technologies, Santa Clara, CA, USA). The cytokines and CORT concentrations were calculated based on the standard curve. The detection sensitivity was 1.5 pg/mL for IL-4, 10 pg/mL for IL-10, and 30 pg/mL for CORT.\nThe rats were euthanized with Euthasol Vet. (Produlab Pharma B.V., Raamsdonksveer, The Netherlands) at a dose of 120 mg/kg of body weight and perfused transcardially (via the left ventricle) with 200 mL of 0.9% saline, followed by 200 mL of 4% paraformaldehyde in 0.1 M phosphate-buffered saline (PBS Tablets, Merck, Darmstadt, Germany, cat # 524650). The brains were removed quickly, postfixed, cryoprotected in a 30% sucrose solution in PBS, and then frozen and stored at −70 °C until cryostat sectioning (CM 1850, Leica Biosystems, Nussloch, Germany). Coronal 30 µm thick sections containing the SNpc (5.04 mm posterior to the bregma) and CPu (1.20 mm anterior to the bregma) were chosen for TH detection, according to [125].\nTo determine the loss of dopaminergic neurons in the SNpc and their fibre density (TH-ir) in CPu, we used immunohistochemical staining of the THs previously described [122,129]. Briefly, before all the immunohistochemical stages, the sections were rinsed several times in PBS, then incubated in 0.3% hydrogen peroxide in PBS for 10 min at room temperature and blocked for 45 min with a solution of 5% Bovine Serum Albumin (BSA) (Merck, Darmstadt, Germany, cat# A7030) and 0.3% Triton X-100 (Sigma-Aldrich, Saint Louis, MO, USA) in PBS at room temperature for the effective reduction of non-specific binding. Next, the sections were incubated with a polyclonal rabbit anti-TH antibody (Invitrogen, Thermo Fisher Scientific, Waltham, MA, USA, cat# P21962) at a dilution of 1:1000 (diluted in PBS containing 0.3% TritonX-100 and 3% Goat Serum (Merck, Darmstadt, Germany, G9023) at 4 °C for 2 days. After triple rinsing in PBS, sections were incubated with goat anti-rabbit secondary antibody conjugated with horseradish peroxidase (HRP) (Biorad, Hercules, CA, USA, cat# 1706515, 1:500). The sections were rinsed three times with PBS and incubated in 0.075% diaminobenzidine tetrahydrochloride (DAB) (Merck, Darmstadt, Germany, cat# D5637) in PBS for 5 min. Next, 90 μL of 3% H2O2 (Eurochem BGD, Tarnów, Poland) was added to 10 mL of the above-mentioned DAB solution to initiate the colour reaction. The reaction was controlled and stopped in PBS buffer when the TH-immunoreactive cells turned brown. The tissue sections were placed on slides, air-dried, and, after dehydration with ethanol, mounted with DPX (DPX new, mountant for histology, Merck, Darmstadt, Germany, cat# 1.00579).\nThe labelled TH+ cell bodies were analyzed in sections of the SNpc (−5.04 mm from the bregma) and their fibres in the CPu (+1.2 mm relative to the bregma). The photomicrographs of sections were made using a STEMI 508 microscope (Carl Zeiss Microscopy GmbH, Oberkochen, Germany) (magnification 0.5 × 0.65 for CPu and 0.5 × 0.8 for SNpc) with an Axiocam 105 colour camera. The optical densitometry (OD) of TH-ir in the ventral and dorsal striatum was measured using Zeiss Zen 3.5 software (blue edition) in the free version. The grey scale of the TH-positive axonal terminals was performed in the dorsal and ventral striatum every time with the same chosen optical fields of 50.191 μm in both hemispheres. The measured values were corrected for non-specific background staining by subtracting the values obtained from the cortex. The TH OD results are shown as the difference between the signal from the intact side (assumed as 100%) and the signal from the corresponding area in the 6-OHDA- or VEH-treated hemispheres, expressed as a percentage.\nThe quantitative results are presented as mean values ± standard error (SEM). GraphPad Prism 10.4.1 (Dotmatics, Boston, MA, USA) was used for statistical analysis of the results and their visualization. The normality of the distribution of variables was checked with the Kolmogorov–Smirnov test, and the homogeneity of the variances with Levene’s test. Once both assumptions were met, the analysis was conducted using ANOVA and a post hoc Tukey’s test. Otherwise, the Kruskal–Wallis and post hoc Dunn tests were applied. Statistically significant differences were considered when p < 0.05. For both post hoc tests, the p-values were calculated in GraphPad Prism with adjustment for multiple comparisons using the Bonferroni correction. Effect sizes were measured using η2.\n\n\n### 4.1. Animals\nWistar Han male rats (n = 34) were purchased from the Tri-City Central Animal Laboratory, Research and Service Centre of the Medical University of Gdansk (breeder registration number 041) at an age of 8 weeks and housed in cages of five until PD-model induction. Standard plastic cages with elevated metal wire lids were used, and rats were maintained on a 12:12 h light/dark cycle (lights on at 06.00 AM), with ad libitum access to a standard rat diet (Labofeed B standard, Morawski, Kcynia, Poland) and water. After 2 weeks of acclimatization, the animals were handled daily and adapted for the oral (per os, p.o.) administration procedure to minimize stress caused during experimental procedures. The handling procedure was conducted repeatedly over a two-week period. Then, the rats were randomly allocated to one of 4 groups: (1) a control group for PD-model induction (vehiculum, VEH) and placebo (PL) p.o. treatment (VEH_PL; n = 7), (2) a control group for PD-model induction and SPD p.o. treatment (VEH_SPD; n = 6), (3) a group with a 6-OHDA-induced model of PD and PL p.o treatment (6-OHDA_PL; n = 10), or (4) a group with a 6-OHDA-induced model of PD and SPD p.o. treatment (6-OHDA_SPD; n = 11). A fresh solution of SPD (Sigma-Aldrich, Saint Louis, MO, USA, cat# S0266) in distilled water at a concentration of 10 mg/mL was prepared daily for each rat and administered p.o. at a dosage of 10 mg/kg. Supplementation of SPD or placebo (distilled water) began 24 h after the induction of the PD model and continued for 178 consecutive days. Behavioural tests were conducted 21, 31–33 and 35 days (referred as short-term treatment) and 151, 161–163, and 175 days (referred as long-term treatment) after PD-model induction. Blood was collected from the tail vein (day 38) or heart (day 178), along with brain tissue (day 178), as shown in Figure 7. During the first month after PD-model induction, the rats’ body weights were measured daily and then once a week.\nAll procedures were approved by the Local Ethical Committee for the Care and Use of Laboratory Animals in Bydgoszcz, Poland 45/2022 and were carried out in accordance with the EU Directive 2010/63/EU. According to this decision, the welfare of the animals was monitored during the experiment. The rats were observed for atypical behaviour (e.g., stereotyped movements, lack of rearing, etc.) and pain daily during recovery from stereotaxic implantation and after returning to home cages during SPD supplementation. Body weight, skin, stool consistency, and urinary signs were analyzed once a week. The endpoints of the procedure were planned if body weight loss exceeded 10% or if the animal exhibited behaviours that impaired its ability to perform essential activities, such as free exploration, grooming, or food and water intake. During both the short and long-term supplementation period, no symptoms were observed that would warrant early termination of the procedure. The animals and collected samples were assigned numerical codes, ensuring that investigators conducting the behavioural, cellular, and biochemical analyses remained blinded to group allocation.\n\n\n### 4.2. Progressive PD-Model Induction\nThe rats were anesthetized with 1.5–2.5% isoflurane (Isoflurin, Vetpharma, Barcelona, Spain) (airflow: 0.5 L/min) using an isoflurane vaporizer (Rothacher-Medical, Heitenried, Switzerland) and an oxygen pump (Bitmos OXY 6000, Bitmos GmbH, Düsseldorf, Germany). Analgetic butorphanol at 2.0 mg/kg i.s. (Butomidor, Richter Pharma, Wels, Austria) was administered as described previously [122,123].\nThe rat was placed in a stereotactic apparatus (Kopf Instruments, Tujunga, CA, USA). The skull was exposed by a midline incision of the skin, and a hole was drilled above the lesion site. The neurotoxin 6-OHDA (6-hydroxydopamine HCl, Sigma–Aldrich, Saint Louis, MO, USA, cat# H4381) was injected into the right dorsal and ventral striatum in a volume of 2 μL in each target (6 μg/μL dissolved in 0.9% NaCl containing 0.02% ascorbic acid), according to the previously described method [124]. The following coordinates from the rat brain stereotactic atlas [125] were used (in reference to the bregma): anteroposterior (AP): +1.6, lateral (L): −2.5, dorsoventral (DV): −4.5 for dorsal and AP: −0.2, L: −3.0, DV: −7.0 for ventral striatum relative to the bregma point. The injections were performed using a microsyringe with a 26-gauge needle (Hamilton Company, Reno, NV, USA) that was attached to a microinjection unit (Model 5000, Kopf Instruments, Tujunga, CA, USA). The injection rate was 0.5 μL/min, and the needle was left in place for an additional 5 min after injection to allow for diffusion into the tissue. To protect the noradrenergic neurons from damage, animals received an intraperitoneal injection with the noradrenaline reuptake inhibitor desipramine (25 mg/kg, Sigma-Aldrich, Saint Louis, MO, USA, cat# D3900) 30 min before neurotoxin injection [126]. The control rats underwent the same procedure but received vehicle (VEH; 0.9% NaCl containing 0.02% ascorbic acid) instead of 6-OHDA. After surgery, the animals were transferred to a warm room, where they stayed until their awakening. The SPD or PL oral supplementation procedures started after a 24 h recovery period from the surgery.\n\n\n### 4.3. Behavioural Screening for Motor Dysfunction, Anxiety and Anhedonia Level\nThe cylinder test device consisted of a transparent plexiglass cylinder with a diameter of 30 cm and a height of 40 cm. For limb use during exploratory activity (touching the wall of the cylinder and landing) and spontaneous rotations, each animal was scored over 5 min. The test was video-recorded using a camera (Canon IXUS 145, Canon, Tokyo, Japan) and manually analyzed by an evaluator blind to the study. The animals were evaluated for asymmetry ratio using the following equation: asymmetry ratio % = [unimpaired − impaired]/both × 100%. Impaired refers to the limb contralateral to the lesioned hemisphere. Both refers to the use of both the impaired and unimpaired limbs during exploratory activity [40].\nThe EPM apparatus consisted of two open arms (10 cm in width and 50 cm in length) and two enclosed arms (10 cm in width, 50 cm in length and 40 cm in height), elevated 50 cm above the floor. The EPM was cleaned with 70% ethanol before the start of every trial. The rat was placed in centre square of the maze, always in the same position (heading towards the open end of the maze). Next, the animal was allowed to explore the EPM for 5 min and behaviour was recorded using a video camera (Ikegami, Ikegami Electronics, Neuss, Germany). A video camera was positioned approximately 250 cm over the maze’s centre and connected to a video-tracking digitizing device (EthoVision XT10, Noldus, Wageningen, The Netherlands). The recorded and analyzed reactions included time spent in open/closed arms and the maze’s centre and the number of entries into open/closed arms and the maze’s centre, as previously described [127]. In Section 2 we have presented the number of entries into the open/closed arms of the maze and the time spent in each type of the arms.\nSucrose consumption is frequently used as indicator of anhedonia in rodents. The SPT was conducted according to the method described by Tadaiesky [128]. During the test, animals had free access to food. Each rat was given two water bottles next to each other during the 24 h training phase to adapt the rats to drinking from two bottles. After training, one of the bottles was randomly changed to one containing a 0.8% sucrose solution and 24 h later the bottles were reversed to avoid the potential preference of drinking liquid from just one bottle. The consumption of water and sucrose solution was estimated simultaneously in each group by daily weighing the bottles. The SPT ratio was defined as follows: sucrose preference percentage (%) = sucrose solution consumption (g)/(sucrose solution consumption [g] + water consumption [g]) × 100%.\n\n\n### 4.3.1. The Limb-Use Asymmetry Test (Cylinder Test, CT)\nThe cylinder test device consisted of a transparent plexiglass cylinder with a diameter of 30 cm and a height of 40 cm. For limb use during exploratory activity (touching the wall of the cylinder and landing) and spontaneous rotations, each animal was scored over 5 min. The test was video-recorded using a camera (Canon IXUS 145, Canon, Tokyo, Japan) and manually analyzed by an evaluator blind to the study. The animals were evaluated for asymmetry ratio using the following equation: asymmetry ratio % = [unimpaired − impaired]/both × 100%. Impaired refers to the limb contralateral to the lesioned hemisphere. Both refers to the use of both the impaired and unimpaired limbs during exploratory activity [40].\n\n\n### 4.3.2. Elevated Plus Maze (EPM)\nThe EPM apparatus consisted of two open arms (10 cm in width and 50 cm in length) and two enclosed arms (10 cm in width, 50 cm in length and 40 cm in height), elevated 50 cm above the floor. The EPM was cleaned with 70% ethanol before the start of every trial. The rat was placed in centre square of the maze, always in the same position (heading towards the open end of the maze). Next, the animal was allowed to explore the EPM for 5 min and behaviour was recorded using a video camera (Ikegami, Ikegami Electronics, Neuss, Germany). A video camera was positioned approximately 250 cm over the maze’s centre and connected to a video-tracking digitizing device (EthoVision XT10, Noldus, Wageningen, The Netherlands). The recorded and analyzed reactions included time spent in open/closed arms and the maze’s centre and the number of entries into open/closed arms and the maze’s centre, as previously described [127]. In Section 2 we have presented the number of entries into the open/closed arms of the maze and the time spent in each type of the arms.\n\n\n### 4.3.3. Sucrose Preference Test (SPT)\nSucrose consumption is frequently used as indicator of anhedonia in rodents. The SPT was conducted according to the method described by Tadaiesky [128]. During the test, animals had free access to food. Each rat was given two water bottles next to each other during the 24 h training phase to adapt the rats to drinking from two bottles. After training, one of the bottles was randomly changed to one containing a 0.8% sucrose solution and 24 h later the bottles were reversed to avoid the potential preference of drinking liquid from just one bottle. The consumption of water and sucrose solution was estimated simultaneously in each group by daily weighing the bottles. The SPT ratio was defined as follows: sucrose preference percentage (%) = sucrose solution consumption (g)/(sucrose solution consumption [g] + water consumption [g]) × 100%.\n\n\n### 4.4. Blood and Plasma Collection\nBlood samples were collected from the tail vein (day 38) or by heart puncture (day 178) under isoflurane anesthesia (Isoflurin, Vetpharma, Barcelona, Spain) between 08.00 and 10.00 AM. The blood samples were divided into two tubes containing EDTA-K2. One of the tubes was centrifuged (10 min, 3000× g) using a Jouan BR4i multifunction centrifuge (Thermo Electron Corporation, Waltham, MA, USA), to obtain fresh plasma without platelets and cells. The supernatant was transferred to Eppendorf tubes, quickly frozen at −70 °C and stored to analyze the plasma cytokines (IL-4 and IL-10) and CORT concentrations. The second part of the sample was tested immediately for peripheral blood morphology and biochemical analysis (whole-blood), and lymphocyte immunophenotyping was carried out by flow cytometry (TCD3+, TCD3+ CD4+ and TCD3+ CD8+ percentage) in isolated peripheral blood mononuclear cells (PBMCs).\n\n\n### 4.5. Peripheral Blood Morphology and Biochemistry\nAn ABX Micros ES 60 (HORIBA Medical, Irvine, CA, USA) hematology analyser was used to determine the count and number of each leukocyte population. The samples were analyzed in duplicate for each rat and at each time point for white blood cell (WBC) number and lymphocyte (LYM), monocyte (MON), and granulocyte (GRAN) count and number determination. The standard markers of liver, kidney, and pancreatic function were measured to evaluate the safety profile of long-term SPD treatment. The whole-blood samples were analyzed using an Exigo C200 (Boule Diagnostics AB, Spånga, Sweden) veterinary clinical chemistry analyser and a comprehensive metabolic panel was carried out, which allows the determination of the following biochemical parameters: ALB—albumin, TP—total protein level, GGT—glutamyltransferase, AST—aspartate aminotransferase, ALT—alanine aminotransferase, ALP—alkaline phosphatase, Crea—creatinine, UA—uric acid, UREA—urea (in the form of urea nitrogen), U/C—urea-to-creatinine ratio, AMY—total amylase, GLU—glucose, TC—total cholesterol, TG—triglycerides, GLOB—globulins, A/G—albumin-to-globulin ratio, TB—total bilirubin.\n\n\n### 4.6. PBMC Isolation and Flow Cytometry\nA volume of 2 mL of peripheral blood was diluted 1:1 in 0.9% NaCl and applied on the Pancoll Rat (PAN-Biotech, Aidenbach, Germany, cat# P04-65500) surface. The PBMCs were separated from blood by the density centrifugation method. After the centrifugation (800× g, 30 min at RT), the isolated cells were collected with a Pasteur pipette and washed with BD Pharmingen™ Stain Buffer (BD Biosciences, Franklin Lakes, NJ, USA, cat# 554657) once (350 G, 10 min at RT). A volume of 175 µL of PBMC suspension was labelled with the following antibodies: FITC Mouse Anti-Rat CD3 (BD Biosciences, Franklin Lakes, NJ, USA, cat# 557354), APC Mouse Anti-Rat CD4 (BD Biosciences, Franklin Lakes, NJ, USA, cat# 550057), and PerCP Mouse Anti-Rat CD8a (BD Biosciences, Franklin Lakes, NJ, USA, cat# 558824). All of the antibodies were diluted (1:3) in BD Pharmingen™ Stain Buffer (BD Biosciences, Franklin Lakes, NJ, USA, cat # 554657). The cells were stained for 30 min at RT. The cells were analyzed on the Amnis FlowSight Imaging Flow Cytometer (Luminex, Austin, TX, USA) with four lasers (405 nm, 488 nm, 642 nm and 785 nm). The laser power for the four lasers was 150 mW, 60 mW, 150 mW and 90 mW, respectively. A total of 20,000 events (images; magnification 20×) were acquired from each sample. We used the FlowSight Imaging Flow Cytometer (Amnis, Seattle, WA, USA) with real-time visualization and INSPIRE™ software v. 200.0.336.0 (Amnis, Seattle, WA, USA). The instrument operates as a conventional cytometer but also provides images of every cell tested, acting like a fluorescent and inverted microscope (Figure 8A). Analysis of the T lymphocyte populations was performed using Ideas Application v6.3 (Amnis, Seattle, WA, USA). As a first step, the isolated cells were gated on dot plot Channel 1 (BF) Area (X) and compared to Channel 1 (BF) Aspect Ratio Intensity (Y) to exclude aggregated and damaged cells (Figure 8B). The TCD3+CD4+ lymphocytes were evaluated on dot plot Channel 11 Intensity (X) (red fluorescence, emission range 642–745 nm), referred to Channel 2 (Y) (green fluorescence, emission range 505–560 nm) (Figure 8C), and the TCD3+CD8+ lymphocytes were evaluated on dot plot Channel 5 Intensity (X) (red fluorescence, emission range 642–745 nm), referred to Channel 2 (Y) (green fluorescence, emission range 505–560 nm) (Figure 8D). Cells without any staining were used as a negative control and isotype control was applied. Compensation was performed using single-stained samples. The images of the TCD3+CD4+ and TCD3+CD8+ lymphocytes and the gating strategy are provided in Figure 8. For statistical analysis, two replications of each sample were used.\n\n\n### Flow Cytometry Immunophenotyping for TCD3+, TCD3+ CD4+ and TCD3+ CD8+ Determination\nA volume of 2 mL of peripheral blood was diluted 1:1 in 0.9% NaCl and applied on the Pancoll Rat (PAN-Biotech, Aidenbach, Germany, cat# P04-65500) surface. The PBMCs were separated from blood by the density centrifugation method. After the centrifugation (800× g, 30 min at RT), the isolated cells were collected with a Pasteur pipette and washed with BD Pharmingen™ Stain Buffer (BD Biosciences, Franklin Lakes, NJ, USA, cat# 554657) once (350 G, 10 min at RT). A volume of 175 µL of PBMC suspension was labelled with the following antibodies: FITC Mouse Anti-Rat CD3 (BD Biosciences, Franklin Lakes, NJ, USA, cat# 557354), APC Mouse Anti-Rat CD4 (BD Biosciences, Franklin Lakes, NJ, USA, cat# 550057), and PerCP Mouse Anti-Rat CD8a (BD Biosciences, Franklin Lakes, NJ, USA, cat# 558824). All of the antibodies were diluted (1:3) in BD Pharmingen™ Stain Buffer (BD Biosciences, Franklin Lakes, NJ, USA, cat # 554657). The cells were stained for 30 min at RT. The cells were analyzed on the Amnis FlowSight Imaging Flow Cytometer (Luminex, Austin, TX, USA) with four lasers (405 nm, 488 nm, 642 nm and 785 nm). The laser power for the four lasers was 150 mW, 60 mW, 150 mW and 90 mW, respectively. A total of 20,000 events (images; magnification 20×) were acquired from each sample. We used the FlowSight Imaging Flow Cytometer (Amnis, Seattle, WA, USA) with real-time visualization and INSPIRE™ software v. 200.0.336.0 (Amnis, Seattle, WA, USA). The instrument operates as a conventional cytometer but also provides images of every cell tested, acting like a fluorescent and inverted microscope (Figure 8A). Analysis of the T lymphocyte populations was performed using Ideas Application v6.3 (Amnis, Seattle, WA, USA). As a first step, the isolated cells were gated on dot plot Channel 1 (BF) Area (X) and compared to Channel 1 (BF) Aspect Ratio Intensity (Y) to exclude aggregated and damaged cells (Figure 8B). The TCD3+CD4+ lymphocytes were evaluated on dot plot Channel 11 Intensity (X) (red fluorescence, emission range 642–745 nm), referred to Channel 2 (Y) (green fluorescence, emission range 505–560 nm) (Figure 8C), and the TCD3+CD8+ lymphocytes were evaluated on dot plot Channel 5 Intensity (X) (red fluorescence, emission range 642–745 nm), referred to Channel 2 (Y) (green fluorescence, emission range 505–560 nm) (Figure 8D). Cells without any staining were used as a negative control and isotype control was applied. Compensation was performed using single-stained samples. The images of the TCD3+CD4+ and TCD3+CD8+ lymphocytes and the gating strategy are provided in Figure 8. For statistical analysis, two replications of each sample were used.\n\n\n### 4.7. Plasma Cytokines and CORT Determination\nThe concentrations of cytokines and CORT in the plasma were quantified using an enzyme-linked immunoassay method (ELISA) with a commercially available kit for rat IL-4 and IL-10 (Invitrogen, Thermo Fisher Scientific, Waltham, MA, USA, cat# ERA29RB and ERA23RB) and CORT (Cayman Chemical, Ann Arbor, MI, USA, cat# 501320). Samples were prepared according to the manufacturer’s instructions and were analyzed using a Biotek Synergy H1 (Agilent Technologies, Santa Clara, CA, USA) system set to 450 nm (for cytokines) or 412 nm (for CORT) and Gen5 Software (Agilent Technologies, Santa Clara, CA, USA). The cytokines and CORT concentrations were calculated based on the standard curve. The detection sensitivity was 1.5 pg/mL for IL-4, 10 pg/mL for IL-10, and 30 pg/mL for CORT.\n\n\n### 4.8. Brain Tissue Preparation\nThe rats were euthanized with Euthasol Vet. (Produlab Pharma B.V., Raamsdonksveer, The Netherlands) at a dose of 120 mg/kg of body weight and perfused transcardially (via the left ventricle) with 200 mL of 0.9% saline, followed by 200 mL of 4% paraformaldehyde in 0.1 M phosphate-buffered saline (PBS Tablets, Merck, Darmstadt, Germany, cat # 524650). The brains were removed quickly, postfixed, cryoprotected in a 30% sucrose solution in PBS, and then frozen and stored at −70 °C until cryostat sectioning (CM 1850, Leica Biosystems, Nussloch, Germany). Coronal 30 µm thick sections containing the SNpc (5.04 mm posterior to the bregma) and CPu (1.20 mm anterior to the bregma) were chosen for TH detection, according to [125].\n\n\n### 4.9. Immunohistochemistry for TH-Labelled Cells\nTo determine the loss of dopaminergic neurons in the SNpc and their fibre density (TH-ir) in CPu, we used immunohistochemical staining of the THs previously described [122,129]. Briefly, before all the immunohistochemical stages, the sections were rinsed several times in PBS, then incubated in 0.3% hydrogen peroxide in PBS for 10 min at room temperature and blocked for 45 min with a solution of 5% Bovine Serum Albumin (BSA) (Merck, Darmstadt, Germany, cat# A7030) and 0.3% Triton X-100 (Sigma-Aldrich, Saint Louis, MO, USA) in PBS at room temperature for the effective reduction of non-specific binding. Next, the sections were incubated with a polyclonal rabbit anti-TH antibody (Invitrogen, Thermo Fisher Scientific, Waltham, MA, USA, cat# P21962) at a dilution of 1:1000 (diluted in PBS containing 0.3% TritonX-100 and 3% Goat Serum (Merck, Darmstadt, Germany, G9023) at 4 °C for 2 days. After triple rinsing in PBS, sections were incubated with goat anti-rabbit secondary antibody conjugated with horseradish peroxidase (HRP) (Biorad, Hercules, CA, USA, cat# 1706515, 1:500). The sections were rinsed three times with PBS and incubated in 0.075% diaminobenzidine tetrahydrochloride (DAB) (Merck, Darmstadt, Germany, cat# D5637) in PBS for 5 min. Next, 90 μL of 3% H2O2 (Eurochem BGD, Tarnów, Poland) was added to 10 mL of the above-mentioned DAB solution to initiate the colour reaction. The reaction was controlled and stopped in PBS buffer when the TH-immunoreactive cells turned brown. The tissue sections were placed on slides, air-dried, and, after dehydration with ethanol, mounted with DPX (DPX new, mountant for histology, Merck, Darmstadt, Germany, cat# 1.00579).\n\n\n### 4.10. Microscopic Analysis\nThe labelled TH+ cell bodies were analyzed in sections of the SNpc (−5.04 mm from the bregma) and their fibres in the CPu (+1.2 mm relative to the bregma). The photomicrographs of sections were made using a STEMI 508 microscope (Carl Zeiss Microscopy GmbH, Oberkochen, Germany) (magnification 0.5 × 0.65 for CPu and 0.5 × 0.8 for SNpc) with an Axiocam 105 colour camera. The optical densitometry (OD) of TH-ir in the ventral and dorsal striatum was measured using Zeiss Zen 3.5 software (blue edition) in the free version. The grey scale of the TH-positive axonal terminals was performed in the dorsal and ventral striatum every time with the same chosen optical fields of 50.191 μm in both hemispheres. The measured values were corrected for non-specific background staining by subtracting the values obtained from the cortex. The TH OD results are shown as the difference between the signal from the intact side (assumed as 100%) and the signal from the corresponding area in the 6-OHDA- or VEH-treated hemispheres, expressed as a percentage.\n\n\n### 4.11. Statistical Analysis\nThe quantitative results are presented as mean values ± standard error (SEM). GraphPad Prism 10.4.1 (Dotmatics, Boston, MA, USA) was used for statistical analysis of the results and their visualization. The normality of the distribution of variables was checked with the Kolmogorov–Smirnov test, and the homogeneity of the variances with Levene’s test. Once both assumptions were met, the analysis was conducted using ANOVA and a post hoc Tukey’s test. Otherwise, the Kruskal–Wallis and post hoc Dunn tests were applied. Statistically significant differences were considered when p < 0.05. For both post hoc tests, the p-values were calculated in GraphPad Prism with adjustment for multiple comparisons using the Bonferroni correction. Effect sizes were measured using η2.\n\n\n### 5. Conclusions\nThis study highlights the significant impact of SPD treatment on non-motor functions such as anhedonia and anxiety in the 6-OHDA-injected model of PD. Although the neuroprotective effects of SPD treatment on nigral neurons’ survival during progressive neurodegeneration were not observed, we noted reduced levels of anhedonia and anxiety after long-term SPD treatment in rats. Simultaneous with mood improvement, we demonstrate that SPD reduces peripheral inflammation by influencing the anti-inflammatory properties of lymphocytes and monocytes towards IL-4 and IL-10 systemic secretion. In addition, a reduced level of corticosterone in plasma was observed, which may be responsible for more pronounced exploration in the EPM. Although the mechanism of SPD action may appear more complex, it can affect the supportive functions of TCD4+ lymphocytes and monocytes. Pursuing further research to better understand the mechanisms underlying the influence of SPD on various parameters at the systemic level is essential to find a new opportunity for effective supplementation. This could open new therapeutic perspectives for non-motor treatment in PD patients.", "domain": "affective_neuroscience"}
{"source": "PMC13069951", "title": "Association Between Sleep Quality and Cognitive Function in Patients with Hypertension in Rural Areas of Shanxi Province, China: The Chain Mediating Role of Anxiety and Depression", "text": "# Association Between Sleep Quality and Cognitive Function in Patients with Hypertension in Rural Areas of Shanxi Province, China: The Chain Mediating Role of Anxiety and Depression\n\n## Abstract\nMany studies have found that sleep quality is associated with cognitive function, but how sleep quality is related to cognitive function indirectly through anxiety and depression is still unclear. This study aims to investigate the association between sleep quality and cognitive function among patients with hypertension in rural areas of Shanxi Province and to analyze the potential mediating role of anxiety and depression. 325 patients with primary hypertension were selected as the research subjects from Daning County and Yonghe County of Shanxi Province using the multistage cluster random sampling method. The Pittsburgh Sleep Quality Index, Montreal Cognitive Assessment, Generalized Anxiety Disorder-7, and Patient Health Questionnaire-9 were used to assess their sleep quality, cognitive function, anxiety, and depression levels, respectively. Structural equation modeling was employed to analyze the mediating effects of anxiety and depression. The scores of sleep quality and cognitive function of patients with hypertension were 7.0 (4.0, 8.0) and 19.0 (15.0, 25.0), respectively. The results of the structural equation model analysis demonstrated that sleep quality was directly associated with cognitive function in patients with hypertension, with a path coefficient of −0.544, accounting for 59.85% of the total association. Anxiety and depressive symptoms showed a mediating role in the relationship between sleep quality and cognitive function, with indirect effects of −0.190 and −0.069, accounting for 20.90% and 7.59% of the total association, respectively. The chain mediating role of anxiety and depressive symptoms in the relationship between sleep quality and cognitive function among patients with hypertension was −0.105, accounting for 11.55% of the total association. These findings underscore the necessity of improving sleep quality and mitigating anxiety and depression as potential strategies for addressing cognitive deterioration. It is also of great importance for screening and comprehensive management of sleep and mental health in hypertension care.\n\n## Full Text\n\n\n### Introduction\nHypertension is defined as a systolic blood pressure ≥ 140 mmHg and/or a diastolic blood pressure ≥ 90 mmHg in three measurements on different days without the use of antihypertensive drugs.1 The 2023 World Health Organization report, “Global Report on Hypertension: The Race Against a Silent Killer”, indicated that between 1990 and 2019, the number of people with hypertension worldwide doubled, increasing from 650 million in 1990 to 1.3 billion in 2019. By 2019, approximately 49% of men and 59% of women aged 30 to 79 worldwide were suffering from hypertension.2 Hypertension has become a major global public health problem. In recent years, the prevalence of hypertension among adults in China has also been on the rise, from 23.2% in 2012–20153 to 27.5% in 2018.4 The prevalence of hypertension among adults in China had reached 31.6% by 2021–2022, with a higher prevalence in rural areas (33.7%) when compared to urban areas (29.1%).5\nHypertension is a risk factor for cardiovascular disease, chronic kidney disease, stroke, and other diseases and for cognitive impairment (CogI).6,7 CogI is a syndrome characterized by acquired, persistent cognitive dysfunction that leads to diminished ability to perform daily activities and work, as well as behavioral changes. As the disease progresses, patients with CogI may gradually progress from having mild cognitive impairment (MCI) to dementia. About 10%–15% of patients with MCI develop dementia every year.8 One study found that the prevalence of CogI among patients with hypertension in China was 37.6%.9 CogI increases the economic burden of patients with hypertension and also increases the rate of rehospitalization of patients.10,11 Therefore, it is important to detect and identify the risk factors for CogI at an early stage.\nThe Emotion Cascade Model (ECM) was formally proposed by Selby and Joiner (2009)12 to explain the dysregulated behaviors of individuals with borderline personality disorder (BPD) and has since been widely applied in research on non-suicidal self-injury (NSSI), depression, anxiety, and other areas. Rumination is the core cognitive process of the Emotion Cascade Model (ECM), defined as the tendency of individuals to repeatedly think about the causes, situational factors, and consequences of negative emotional experiences; that is, individuals continuously think about and pay attention to emotion-related stimuli. In emotional cascading, people repeatedly and intensely think about events that trigger negative emotions, becoming increasingly uneasy in the process. The end result is a self-amplifying positive feedback loop, containing intense rumination and negative emotions. When rumination interacts with negative emotions, the cycle repeats, leading to intense and unbearable emotional experiences. The individual becomes completely focused on the emotional stimuli, making it difficult to break free. Normal distraction methods fail, creating an extremely aversive, painful, and intolerable emotional state. To “break” this cycle, individuals engage in maladaptive behaviors: disordered behaviors (such as self-harm, binge eating, and substance abuse) are used to divert attention from the emotional cascade through intense physical sensations.13\nThe core mechanism of ECM can be directly mapped to the sleep-emotion-cognition domain: (1) Sleep → Anxiety: Initial cascade trigger. Sleep disorders are often accompanied by pre-sleep rumination, focusing attention on the negative stimulus of “not being able to sleep”. According to ECM, this leads to an increase in the intensity and duration of anxiety. (2) Anxiety → Depression: Cascading amplification process. The positive feedback loop of ECM explains why anxiety develops into depression: anxious rumination → intensification of negative emotions → stronger rumination → further emotional deterioration. When this cycle continues, acute anxiety transforms into persistent depression.14 (3) Depression → Cognition: The ultimate cascading effect. High levels of rumination in a state of depression consume a significant amount of cognitive resources. When emotional cascading reaches its peak, normal cognitive regulation strategies fail, and cognitive functions (attention, memory, and executive functions) are impaired. Cognitive impairment becomes the “final manifestation” of emotional cascading.15 Therefore, it is crucial and valuable to study the complex relationships between sleep quality, anxiety, depression, and cognitive function in patients with hypertension.\nSleep performs multiple fundamental biological functions within the human body, such as maintenance, repair, and reconstruction of the organism.16 Headaches, chest pains, and dizziness caused by hypertension often lead to a decline in patients’ sleep quality.17 In addition, some patients with hypertension have poor blood pressure control at night and may have either high or low blood pressure.18 High blood pressure can lead to excessive brain activity, making it difficult to fall asleep, whereas low blood pressure may lead to an insufficient blood supply to the brain, thereby inducing sleep disorders.19 A meta-analysis indicated that the prevalence of poor sleep quality among patients with hypertension in China was as high as 52.5%, and their risk of experiencing poor sleep quality was 2.7 times higher than that among healthy controls.20\nSleep deprivation acutely impairs fundamental cognitive functions, including concentration, alertness, and reaction speed, while also disrupting critical processes of memory consolidation and retrieval21—a phenomenon exemplified by the diminished recall often experienced by students after intensive last-minute study sessions. Beyond these immediate effects, higher-order executive functions such as planning, problem-solving, and decision-making are similarly compromised, resulting in increased error rates and reduced efficiency during complex tasks.22 In the long term, chronic poor sleep quality significantly elevates the risk of progressive cognitive decline.23 Research indicates that individuals with chronic insomnia face a 40% higher risk of developing mild cognitive impairment or dementia compared with those without insomnia (HR 1.40, 95% CI 1.07–1.85)—an increase equivalent to approximately 3.5 years of brain aging.23 Moreover, persistent sleep disturbances are associated with structural alterations in the brain, including the development of white matter hyperintensities (indicative of small vessel disease) and an increased accumulation of amyloid plaques, a key neuropathological hallmark of Alzheimer’s disease (AD).24\nStudies have established a strong association between poor sleep quality and MCI, with prevalence rates of sleep disturbances estimated between 35% and 48% among MCI patients.25 This association strengthens with disease progression: sleep disorders are reported in approximately 25%26 of patients with mild-to-moderate AD, a prevalence that rises sharply to 50% among those with moderate-to-severe AD.27\nIn addition to direct effects, sleep quality may also indirectly influence cognitive function through mediating factors, with anxiety emerging as a key potential mediator.28 As a disorder of emotional regulation, anxiety may impair cognitive performance by disrupting the allocation of neurocognitive resources and interfering with emotion regulation processes.29\nExisting research highlights a close interrelationship among sleep quality, anxiety, and cognitive function. Studies show that sleep quality is significantly correlated with anxiety levels. Chronically poor sleep increases an individual’s vigilance to environmental threats, thereby inducing or exacerbating anxiety.30,31 In addition, the negative impact of anxiety on cognitive function has been established across multiple domains. Research indicates that elevated anxiety is associated with deficits in executive function, working memory, and attentional control.32 For instance, anxiety may consume limited cognitive resources and reduce the efficiency of task-relevant information processing, ultimately compromising performance on cognitive tasks.33\nAlthough existing evidence supports the two independent paths of “sleep quality-anxiety” and “anxiety-cognitive function”, few studies have systematically explored the mediating mechanism of anxiety in the relationship between sleep quality and cognitive function. It is worth noting that some studies have observed that the deterioration of sleep quality may indirectly affect cognitive performance through the emotional regulation path, suggesting that anxiety may be a psychological bridge between the two.34 An experimental study found that sleep disturbance can induce anxiety, which in turn affects the reaction speed and accuracy of subjects in attention tasks;35 another longitudinal study showed that after sleep quality improved, individuals’ anxiety levels decreased, and their performance in cognitive tests improved.36 Based on the above theoretical and empirical basis, this study proposes the hypothesis that anxiety plays a mediating role between sleep quality and cognitive function.\nAs a fundamental physiological process crucial for maintaining normal cognitive function, sleep quality plays a key regulatory role in attention, memory, and executive function.37 Numerous studies have shown that chronic sleep disorders, such as insomnia and poor sleep efficiency, can lead to depletion of cognitive resources and accelerate cognitive aging.38 Concurrently, depression is highly prevalent among patients with hypertension.39 Its core symptoms—including low mood, lack of motivation, and cognitive slowing—are not only strongly comorbid with sleep disturbances but may also directly impair cognitive processing efficiency, particularly in domains such as working memory, information processing speed, and decision-making ability.40\nLongitudinal evidence indicates that declines in sleep quality significantly elevate the risk of depression, which in turn can further exacerbate cognitive decline, suggesting that depression may serve as a mediator between sleep and cognition.41 Specifically, poor sleep quality may trigger or worsen depressive symptoms by disrupting neuroendocrine regulation (eg, dysfunction of the HPA axis), increasing inflammatory responses, and impairing emotion regulation capacity.42 A depressive state, in turn, may contribute to reduced cognitive performance through mechanisms such as diminished cognitive engagement, heightened negative cognitive bias, and lowered psychological resilience.43 In other words, the effect of sleep on cognition is not entirely direct; part of this relationship may operate through the psychological pathway of depression.44 Based on theoretical frameworks and empirical findings, this study proposes the hypothesis that depression mediates the relationship between sleep quality and cognitive function.\nPolysomnography and actigraphy studies have demonstrated a remarkable association between poor sleep quality and impaired neuropsychological function.45 Poor sleep quality may lead to an imbalance of levels of neurotransmitters related to mood regulation in the brain, such as serotonin and dopamine, thereby increasing the risk of anxiety and depression.46 One study found that people with insomnia were nearly 40 times more likely to develop depression and more than 6 times more likely to develop anxiety than those without insomnia.47 In addition, several prospective studies have shown that anxiety symptoms can predict the onset of depressive symptoms. For example, a study by Pine et al found that anxiety and depressive symptoms in adolescence affect mental health in adolescence and remarkably increase the risk of depression in adulthood, with the risk increasing by about 2 to 3 times.48 Another study based on a New Zealand birth cohort found that in 37% of depression cases, anxiety occurred before or at the same time as depression. The relationship between sleep quality and mental health is thus well-established.49\nAnxiety and depression are often associated with cognitive decline.50 People with depression are more likely to experience cognitive decline compared to healthy people, especially when depression is concurrent with anxiety.51 Neurophysiological studies have also shown that depressive symptoms may reduce the production of serum brain-derived neurotrophic factor, leading to neuronal and hippocampal atrophy, thereby affecting cognitive function.52 Based on these findings, this study proposes the hypothesis that the symptoms of anxiety affect those of depression and that anxiety and depression have a chain mediating effect between sleep quality and cognitive function.\nThe mediating effect refers to the mechanism of action in which the independent variable indirectly affects the dependent variable through the mediating variable. The chain mediating effect refers to the indirect influence mechanism in which there are multiple mediating variables in the study, and a chain of transmission is formed; that is, the process in which the independent variable is transmitted through multiple mediating variables, which ultimately affects the dependent variable. However, most of the existing studies focus on the relationship between anxiety, depression, sleep quality, and cognitive function. Whether anxiety and depression have chain mediating effects between sleep quality and cognitive function has not been fully verified.53,54 In addition, no prior study has examined sleep-cognition relationships in rural hypertensive populations in Shanxi Province, China—an underserved group with high cardiovascular risk and limited healthcare access. We employed structural equation modeling with serial mediation analysis and bootstrap inference to disentangle direct and indirect pathways, an approach rarely applied in this population. The chain mediation model advances understanding by quantifying the relative contributions of anxiety and depression as sequential mediators. Therefore, this study aims to explore the relationship between sleep quality and cognitive function and the mediating role of depression and anxiety in this relationship. We specifically put forward the following hypotheses:\nHypothesis 1: Poor sleep quality in patients with hypertension has a negative impact on cognitive function.\nHypothesis 2: Anxiety has a mediating effect between sleep quality and cognitive function.\nHypothesis 3: Depression has a mediating effect between sleep quality and cognitive function.\nHypothesis 4: Anxiety and depression have a chain mediating effect between sleep quality and cognitive function.\nHypothesis 1: Poor sleep quality in patients with hypertension has a negative impact on cognitive function.\nHypothesis 2: Anxiety has a mediating effect between sleep quality and cognitive function.\nHypothesis 3: Depression has a mediating effect between sleep quality and cognitive function.\nHypothesis 4: Anxiety and depression have a chain mediating effect between sleep quality and cognitive function.\n\n\n### The Relationship Between Sleep Quality and Cognitive Function\nSleep performs multiple fundamental biological functions within the human body, such as maintenance, repair, and reconstruction of the organism.16 Headaches, chest pains, and dizziness caused by hypertension often lead to a decline in patients’ sleep quality.17 In addition, some patients with hypertension have poor blood pressure control at night and may have either high or low blood pressure.18 High blood pressure can lead to excessive brain activity, making it difficult to fall asleep, whereas low blood pressure may lead to an insufficient blood supply to the brain, thereby inducing sleep disorders.19 A meta-analysis indicated that the prevalence of poor sleep quality among patients with hypertension in China was as high as 52.5%, and their risk of experiencing poor sleep quality was 2.7 times higher than that among healthy controls.20\nSleep deprivation acutely impairs fundamental cognitive functions, including concentration, alertness, and reaction speed, while also disrupting critical processes of memory consolidation and retrieval21—a phenomenon exemplified by the diminished recall often experienced by students after intensive last-minute study sessions. Beyond these immediate effects, higher-order executive functions such as planning, problem-solving, and decision-making are similarly compromised, resulting in increased error rates and reduced efficiency during complex tasks.22 In the long term, chronic poor sleep quality significantly elevates the risk of progressive cognitive decline.23 Research indicates that individuals with chronic insomnia face a 40% higher risk of developing mild cognitive impairment or dementia compared with those without insomnia (HR 1.40, 95% CI 1.07–1.85)—an increase equivalent to approximately 3.5 years of brain aging.23 Moreover, persistent sleep disturbances are associated with structural alterations in the brain, including the development of white matter hyperintensities (indicative of small vessel disease) and an increased accumulation of amyloid plaques, a key neuropathological hallmark of Alzheimer’s disease (AD).24\nStudies have established a strong association between poor sleep quality and MCI, with prevalence rates of sleep disturbances estimated between 35% and 48% among MCI patients.25 This association strengthens with disease progression: sleep disorders are reported in approximately 25%26 of patients with mild-to-moderate AD, a prevalence that rises sharply to 50% among those with moderate-to-severe AD.27\n\n\n### The Mediating Role of Anxiety\nIn addition to direct effects, sleep quality may also indirectly influence cognitive function through mediating factors, with anxiety emerging as a key potential mediator.28 As a disorder of emotional regulation, anxiety may impair cognitive performance by disrupting the allocation of neurocognitive resources and interfering with emotion regulation processes.29\nExisting research highlights a close interrelationship among sleep quality, anxiety, and cognitive function. Studies show that sleep quality is significantly correlated with anxiety levels. Chronically poor sleep increases an individual’s vigilance to environmental threats, thereby inducing or exacerbating anxiety.30,31 In addition, the negative impact of anxiety on cognitive function has been established across multiple domains. Research indicates that elevated anxiety is associated with deficits in executive function, working memory, and attentional control.32 For instance, anxiety may consume limited cognitive resources and reduce the efficiency of task-relevant information processing, ultimately compromising performance on cognitive tasks.33\nAlthough existing evidence supports the two independent paths of “sleep quality-anxiety” and “anxiety-cognitive function”, few studies have systematically explored the mediating mechanism of anxiety in the relationship between sleep quality and cognitive function. It is worth noting that some studies have observed that the deterioration of sleep quality may indirectly affect cognitive performance through the emotional regulation path, suggesting that anxiety may be a psychological bridge between the two.34 An experimental study found that sleep disturbance can induce anxiety, which in turn affects the reaction speed and accuracy of subjects in attention tasks;35 another longitudinal study showed that after sleep quality improved, individuals’ anxiety levels decreased, and their performance in cognitive tests improved.36 Based on the above theoretical and empirical basis, this study proposes the hypothesis that anxiety plays a mediating role between sleep quality and cognitive function.\n\n\n### The Mediating Role of Depression\nAs a fundamental physiological process crucial for maintaining normal cognitive function, sleep quality plays a key regulatory role in attention, memory, and executive function.37 Numerous studies have shown that chronic sleep disorders, such as insomnia and poor sleep efficiency, can lead to depletion of cognitive resources and accelerate cognitive aging.38 Concurrently, depression is highly prevalent among patients with hypertension.39 Its core symptoms—including low mood, lack of motivation, and cognitive slowing—are not only strongly comorbid with sleep disturbances but may also directly impair cognitive processing efficiency, particularly in domains such as working memory, information processing speed, and decision-making ability.40\nLongitudinal evidence indicates that declines in sleep quality significantly elevate the risk of depression, which in turn can further exacerbate cognitive decline, suggesting that depression may serve as a mediator between sleep and cognition.41 Specifically, poor sleep quality may trigger or worsen depressive symptoms by disrupting neuroendocrine regulation (eg, dysfunction of the HPA axis), increasing inflammatory responses, and impairing emotion regulation capacity.42 A depressive state, in turn, may contribute to reduced cognitive performance through mechanisms such as diminished cognitive engagement, heightened negative cognitive bias, and lowered psychological resilience.43 In other words, the effect of sleep on cognition is not entirely direct; part of this relationship may operate through the psychological pathway of depression.44 Based on theoretical frameworks and empirical findings, this study proposes the hypothesis that depression mediates the relationship between sleep quality and cognitive function.\n\n\n### The Chain Mediating Role of Anxiety and Depression\nPolysomnography and actigraphy studies have demonstrated a remarkable association between poor sleep quality and impaired neuropsychological function.45 Poor sleep quality may lead to an imbalance of levels of neurotransmitters related to mood regulation in the brain, such as serotonin and dopamine, thereby increasing the risk of anxiety and depression.46 One study found that people with insomnia were nearly 40 times more likely to develop depression and more than 6 times more likely to develop anxiety than those without insomnia.47 In addition, several prospective studies have shown that anxiety symptoms can predict the onset of depressive symptoms. For example, a study by Pine et al found that anxiety and depressive symptoms in adolescence affect mental health in adolescence and remarkably increase the risk of depression in adulthood, with the risk increasing by about 2 to 3 times.48 Another study based on a New Zealand birth cohort found that in 37% of depression cases, anxiety occurred before or at the same time as depression. The relationship between sleep quality and mental health is thus well-established.49\nAnxiety and depression are often associated with cognitive decline.50 People with depression are more likely to experience cognitive decline compared to healthy people, especially when depression is concurrent with anxiety.51 Neurophysiological studies have also shown that depressive symptoms may reduce the production of serum brain-derived neurotrophic factor, leading to neuronal and hippocampal atrophy, thereby affecting cognitive function.52 Based on these findings, this study proposes the hypothesis that the symptoms of anxiety affect those of depression and that anxiety and depression have a chain mediating effect between sleep quality and cognitive function.\n\n\n### Research Questions\nThe mediating effect refers to the mechanism of action in which the independent variable indirectly affects the dependent variable through the mediating variable. The chain mediating effect refers to the indirect influence mechanism in which there are multiple mediating variables in the study, and a chain of transmission is formed; that is, the process in which the independent variable is transmitted through multiple mediating variables, which ultimately affects the dependent variable. However, most of the existing studies focus on the relationship between anxiety, depression, sleep quality, and cognitive function. Whether anxiety and depression have chain mediating effects between sleep quality and cognitive function has not been fully verified.53,54 In addition, no prior study has examined sleep-cognition relationships in rural hypertensive populations in Shanxi Province, China—an underserved group with high cardiovascular risk and limited healthcare access. We employed structural equation modeling with serial mediation analysis and bootstrap inference to disentangle direct and indirect pathways, an approach rarely applied in this population. The chain mediation model advances understanding by quantifying the relative contributions of anxiety and depression as sequential mediators. Therefore, this study aims to explore the relationship between sleep quality and cognitive function and the mediating role of depression and anxiety in this relationship. We specifically put forward the following hypotheses:\nHypothesis 1: Poor sleep quality in patients with hypertension has a negative impact on cognitive function.\nHypothesis 2: Anxiety has a mediating effect between sleep quality and cognitive function.\nHypothesis 3: Depression has a mediating effect between sleep quality and cognitive function.\nHypothesis 4: Anxiety and depression have a chain mediating effect between sleep quality and cognitive function.\nHypothesis 1: Poor sleep quality in patients with hypertension has a negative impact on cognitive function.\nHypothesis 2: Anxiety has a mediating effect between sleep quality and cognitive function.\nHypothesis 3: Depression has a mediating effect between sleep quality and cognitive function.\nHypothesis 4: Anxiety and depression have a chain mediating effect between sleep quality and cognitive function.\n\n\n### Materials and Methods\nIn July 2024, a multistage cluster random sampling method was used to select patients with primary hypertension in Daning County and Yonghe County, Linfen City, Shanxi Province, for investigation. The inclusion criteria were as follows: (1) age ≥ 18 years; (2) patients with essential hypertension among permanent residents in Daning County or Yonghe County, in Linfen City, Shanxi Province (permanent residents refer to those who had resided in Daning County or Yonghe County, Linfen City, Shanxi Province, for 6 months or more within the past 12 months); (3) the diagnostic criteria for hypertension were based on the diagnostic criteria in the “Chinese Guidelines for the Prevention and Treatment of Hypertension (2024 Revised Edition)”.1 In patients not on antihypertensive medication, a diagnosis of hypertension can be made if three separate clinic blood pressure readings on different days exceed 140/90 mmHg, home blood pressure measurements over 5–7 consecutive days exceed 135/85 mmHg, or 24-hour ambulatory blood pressure monitoring shows an average greater than 130/80 mmHg, with daytime readings exceeding 135/85 mmHg and nighttime readings exceeding 120/70 mmHg. Patients with a history of hypertension who are currently taking antihypertensive medication should still be diagnosed with hypertension even if their blood pressure is below the above diagnostic thresholds; (4) The patient can communicate independently. Exclusion criteria: (1) age < 18 years; (2) patients with primary hypertension who are not permanent residents of Daning County or Yonghe County, Linfen City, Shanxi Province; (3) patients with secondary hypertension (such as renal hypertension and endocrine hypertension); (4) those who cannot communicate normally.\nInformed consent was obtained from all the participants in the study. This study has been reviewed by the Ethics Committee of Shanxi Medical University (2020SLL201).\nAccording to the sample size estimation formula of the structural equation modeling, the recommended sample size should ideally be 10 to 15 times the number of scale dimensions. In this study, the sample size was calculated by multiplying 15 by 16 dimensions, so the minimum sample size was 240. Considering a potential 15% rate of invalid questionnaires, a total sample size of 276 participants was deemed necessary. The initial study recruited 350 participants, following which 25 participants were excluded due to the obvious irregularity of their answers. Therefore, this study included a total of 325 participants.\nThe main contents included gender, age, education level, marital status, and living style.\nThe Pittsburgh Sleep Quality Index was compiled by Dr. Buysse and other psychiatrists at the University of Pittsburgh in the United States in 1989.55 Translated and localized by Xianchen Liu et al56 It is suitable for evaluating sleep quality in patients with sleep disorders and psychiatric conditions, as well as for assessing sleep quality in the general population. The scale comprises a total of 19 items, including 7 dimensions of sleep latency, sleep disturbance, subjective sleep quality, sleep duration, sleep efficiency, use of hypnotic drugs, and daytime dysfunction. Each dimension is scored between 0 and 3 points, and the total score is between 0 and 21 points. Among them, a total score between 0 and 5 points indicates very good sleep quality, 6 and 10 points indicate good sleep quality, 11 and 15 points indicate general sleep quality, and 16 and 21 points indicate poor sleep quality. In this study, the Cronbach’s α coefficient of the scale was 0.762.\nThe Montreal Cognitive Assessment (MoCA) was compiled by Nasreddine et al57 and the Beijing version was translated and localized by Wei Wang et al58 MoCA assesses the cognitive function of the subjects across seven aspects, namely, visuospatial and executive function, naming, attention, language ability, abstraction, delayed recall, and orientation. The scores of all the items were added to obtain the total score. A total score of ≥ 26 indicated normal cognitive function, and a score of < 26 indicated cognitive decline. Those with 12 years or less of education were given an additional point to correct for the influence of their education level. In this study, the Cronbach’s α coefficient of the scale was 0.789.\nThe Patient Health Questionnaire-9 was used to assess depressive symptoms. This scale was based on the nine-symptom criteria for depression in the Diagnostic and Statistical Manual of Mental Disorders published by the American Psychiatric Association.59 Translated and localized by Yuan Feng et al60 The scale contains nine items where each item is scored from 0 to 3; 0 means that the symptom never appears and 3 means that the symptom appears almost every day. The total score ranges from 0 to 27, with ≥ 5 indicating mild depression, ≥ 14 indicating moderate depression, and ≥ 20 indicating severe depression. In this study, the Cronbach’s α coefficient of the scale was 0.711.\nThe Generalized Anxiety Disorder-7 was compiled by Spitzer et al61 Translated and localized by Xiaoyan He et al62 The scale contains seven items to assess the anxiety status of individuals in the 2 weeks before the survey. Each item has four options (0, 1, 2, and 3), where 0 represents never and 3 represents almost every day. The total score is 0–21 points, where ≥ 5 points represents mild anxiety, ≥ 10 points represents moderate anxiety, and ≥ 15 points represents severe anxiety. In this study, the Cronbach’s α coefficient of the scale was 0.728.\nThis study employed both electronic and paper-based questionnaires. The electronic questionnaire was used to investigate the general information, sleep quality, and the anxiety and depressive symptoms of patients with hypertension. The paper-based questionnaire was used to investigate the cognitive function of patients. We chose qualified designers to design the questionnaire, who fully understood the purpose and theme of the survey, and strictly implemented the correct design procedures. The questionnaires were distributed and collected by investigators who had received standardized training. The questionnaire items were explained uniformly before filling in the questionnaires to ensure consistency. The purpose of the survey was explained to make the subjects fully understand and voluntarily participate in the survey to reduce the nonresponse bias. The data collection mainly requires filling of the electronic questionnaire and is supplemented by the paper questionnaire. To ensure the integrity of the electronic questionnaire responses, it can only be submitted after all the items have been completed. The paper questionnaires were collected on the spot after completion, and the investigators checked whether there were any omissions or wrong options. If there were any, they were returned to the patients promptly for reconfirmation. The data were then entered after two people verified it.\nSPSS 27.0 software was used for the statistical analysis of the data. Harman’s single-factor test was used to analyze the common method bias of the data. Continuous variables that did not conform to the normal distribution were expressed as quartiles [M (P25, P75)], and categorical variables were expressed as n (%). Spearman correlation analysis was used to analyze the correlation between sleep quality, cognitive function, anxiety, and depression. The structural equation model was constructed by AMOS 26.0 software, and the mediating effect of the model was verified by Bootstrap. Gender, age, and education level were included as control variables. P < 0.05 was considered statistically significant. The models’ goodness of fit was evaluated using the following criteria: minimum discrepancy function based on Chi–squared divided by degrees of freedom (χ2/df) (< 3 good, < 5 acceptable), goodness of fit index (GFI) > 0.80, adjusted goodness of fit index (AGFI) > 0.80, comparative fit index (CFI) > 0.80, incremental fit index (IFI) > 0.80, Tucker–Lewis index (TLI) > 0.80, and root mean square error of approximation (RMSEA) < 0.08.63\n\n\n### Participants\nIn July 2024, a multistage cluster random sampling method was used to select patients with primary hypertension in Daning County and Yonghe County, Linfen City, Shanxi Province, for investigation. The inclusion criteria were as follows: (1) age ≥ 18 years; (2) patients with essential hypertension among permanent residents in Daning County or Yonghe County, in Linfen City, Shanxi Province (permanent residents refer to those who had resided in Daning County or Yonghe County, Linfen City, Shanxi Province, for 6 months or more within the past 12 months); (3) the diagnostic criteria for hypertension were based on the diagnostic criteria in the “Chinese Guidelines for the Prevention and Treatment of Hypertension (2024 Revised Edition)”.1 In patients not on antihypertensive medication, a diagnosis of hypertension can be made if three separate clinic blood pressure readings on different days exceed 140/90 mmHg, home blood pressure measurements over 5–7 consecutive days exceed 135/85 mmHg, or 24-hour ambulatory blood pressure monitoring shows an average greater than 130/80 mmHg, with daytime readings exceeding 135/85 mmHg and nighttime readings exceeding 120/70 mmHg. Patients with a history of hypertension who are currently taking antihypertensive medication should still be diagnosed with hypertension even if their blood pressure is below the above diagnostic thresholds; (4) The patient can communicate independently. Exclusion criteria: (1) age < 18 years; (2) patients with primary hypertension who are not permanent residents of Daning County or Yonghe County, Linfen City, Shanxi Province; (3) patients with secondary hypertension (such as renal hypertension and endocrine hypertension); (4) those who cannot communicate normally.\nInformed consent was obtained from all the participants in the study. This study has been reviewed by the Ethics Committee of Shanxi Medical University (2020SLL201).\n\n\n### Sample Size Estimation\nAccording to the sample size estimation formula of the structural equation modeling, the recommended sample size should ideally be 10 to 15 times the number of scale dimensions. In this study, the sample size was calculated by multiplying 15 by 16 dimensions, so the minimum sample size was 240. Considering a potential 15% rate of invalid questionnaires, a total sample size of 276 participants was deemed necessary. The initial study recruited 350 participants, following which 25 participants were excluded due to the obvious irregularity of their answers. Therefore, this study included a total of 325 participants.\n\n\n### Measures\nThe main contents included gender, age, education level, marital status, and living style.\nThe Pittsburgh Sleep Quality Index was compiled by Dr. Buysse and other psychiatrists at the University of Pittsburgh in the United States in 1989.55 Translated and localized by Xianchen Liu et al56 It is suitable for evaluating sleep quality in patients with sleep disorders and psychiatric conditions, as well as for assessing sleep quality in the general population. The scale comprises a total of 19 items, including 7 dimensions of sleep latency, sleep disturbance, subjective sleep quality, sleep duration, sleep efficiency, use of hypnotic drugs, and daytime dysfunction. Each dimension is scored between 0 and 3 points, and the total score is between 0 and 21 points. Among them, a total score between 0 and 5 points indicates very good sleep quality, 6 and 10 points indicate good sleep quality, 11 and 15 points indicate general sleep quality, and 16 and 21 points indicate poor sleep quality. In this study, the Cronbach’s α coefficient of the scale was 0.762.\nThe Montreal Cognitive Assessment (MoCA) was compiled by Nasreddine et al57 and the Beijing version was translated and localized by Wei Wang et al58 MoCA assesses the cognitive function of the subjects across seven aspects, namely, visuospatial and executive function, naming, attention, language ability, abstraction, delayed recall, and orientation. The scores of all the items were added to obtain the total score. A total score of ≥ 26 indicated normal cognitive function, and a score of < 26 indicated cognitive decline. Those with 12 years or less of education were given an additional point to correct for the influence of their education level. In this study, the Cronbach’s α coefficient of the scale was 0.789.\nThe Patient Health Questionnaire-9 was used to assess depressive symptoms. This scale was based on the nine-symptom criteria for depression in the Diagnostic and Statistical Manual of Mental Disorders published by the American Psychiatric Association.59 Translated and localized by Yuan Feng et al60 The scale contains nine items where each item is scored from 0 to 3; 0 means that the symptom never appears and 3 means that the symptom appears almost every day. The total score ranges from 0 to 27, with ≥ 5 indicating mild depression, ≥ 14 indicating moderate depression, and ≥ 20 indicating severe depression. In this study, the Cronbach’s α coefficient of the scale was 0.711.\nThe Generalized Anxiety Disorder-7 was compiled by Spitzer et al61 Translated and localized by Xiaoyan He et al62 The scale contains seven items to assess the anxiety status of individuals in the 2 weeks before the survey. Each item has four options (0, 1, 2, and 3), where 0 represents never and 3 represents almost every day. The total score is 0–21 points, where ≥ 5 points represents mild anxiety, ≥ 10 points represents moderate anxiety, and ≥ 15 points represents severe anxiety. In this study, the Cronbach’s α coefficient of the scale was 0.728.\n\n\n### General Information Questionnaire\nThe main contents included gender, age, education level, marital status, and living style.\n\n\n### Sleep Quality\nThe Pittsburgh Sleep Quality Index was compiled by Dr. Buysse and other psychiatrists at the University of Pittsburgh in the United States in 1989.55 Translated and localized by Xianchen Liu et al56 It is suitable for evaluating sleep quality in patients with sleep disorders and psychiatric conditions, as well as for assessing sleep quality in the general population. The scale comprises a total of 19 items, including 7 dimensions of sleep latency, sleep disturbance, subjective sleep quality, sleep duration, sleep efficiency, use of hypnotic drugs, and daytime dysfunction. Each dimension is scored between 0 and 3 points, and the total score is between 0 and 21 points. Among them, a total score between 0 and 5 points indicates very good sleep quality, 6 and 10 points indicate good sleep quality, 11 and 15 points indicate general sleep quality, and 16 and 21 points indicate poor sleep quality. In this study, the Cronbach’s α coefficient of the scale was 0.762.\n\n\n### Cognitive Function\nThe Montreal Cognitive Assessment (MoCA) was compiled by Nasreddine et al57 and the Beijing version was translated and localized by Wei Wang et al58 MoCA assesses the cognitive function of the subjects across seven aspects, namely, visuospatial and executive function, naming, attention, language ability, abstraction, delayed recall, and orientation. The scores of all the items were added to obtain the total score. A total score of ≥ 26 indicated normal cognitive function, and a score of < 26 indicated cognitive decline. Those with 12 years or less of education were given an additional point to correct for the influence of their education level. In this study, the Cronbach’s α coefficient of the scale was 0.789.\n\n\n### Depression\nThe Patient Health Questionnaire-9 was used to assess depressive symptoms. This scale was based on the nine-symptom criteria for depression in the Diagnostic and Statistical Manual of Mental Disorders published by the American Psychiatric Association.59 Translated and localized by Yuan Feng et al60 The scale contains nine items where each item is scored from 0 to 3; 0 means that the symptom never appears and 3 means that the symptom appears almost every day. The total score ranges from 0 to 27, with ≥ 5 indicating mild depression, ≥ 14 indicating moderate depression, and ≥ 20 indicating severe depression. In this study, the Cronbach’s α coefficient of the scale was 0.711.\n\n\n### Anxiety\nThe Generalized Anxiety Disorder-7 was compiled by Spitzer et al61 Translated and localized by Xiaoyan He et al62 The scale contains seven items to assess the anxiety status of individuals in the 2 weeks before the survey. Each item has four options (0, 1, 2, and 3), where 0 represents never and 3 represents almost every day. The total score is 0–21 points, where ≥ 5 points represents mild anxiety, ≥ 10 points represents moderate anxiety, and ≥ 15 points represents severe anxiety. In this study, the Cronbach’s α coefficient of the scale was 0.728.\n\n\n### Procedure\nThis study employed both electronic and paper-based questionnaires. The electronic questionnaire was used to investigate the general information, sleep quality, and the anxiety and depressive symptoms of patients with hypertension. The paper-based questionnaire was used to investigate the cognitive function of patients. We chose qualified designers to design the questionnaire, who fully understood the purpose and theme of the survey, and strictly implemented the correct design procedures. The questionnaires were distributed and collected by investigators who had received standardized training. The questionnaire items were explained uniformly before filling in the questionnaires to ensure consistency. The purpose of the survey was explained to make the subjects fully understand and voluntarily participate in the survey to reduce the nonresponse bias. The data collection mainly requires filling of the electronic questionnaire and is supplemented by the paper questionnaire. To ensure the integrity of the electronic questionnaire responses, it can only be submitted after all the items have been completed. The paper questionnaires were collected on the spot after completion, and the investigators checked whether there were any omissions or wrong options. If there were any, they were returned to the patients promptly for reconfirmation. The data were then entered after two people verified it.\n\n\n### Statistical Analysis\nSPSS 27.0 software was used for the statistical analysis of the data. Harman’s single-factor test was used to analyze the common method bias of the data. Continuous variables that did not conform to the normal distribution were expressed as quartiles [M (P25, P75)], and categorical variables were expressed as n (%). Spearman correlation analysis was used to analyze the correlation between sleep quality, cognitive function, anxiety, and depression. The structural equation model was constructed by AMOS 26.0 software, and the mediating effect of the model was verified by Bootstrap. Gender, age, and education level were included as control variables. P < 0.05 was considered statistically significant. The models’ goodness of fit was evaluated using the following criteria: minimum discrepancy function based on Chi–squared divided by degrees of freedom (χ2/df) (< 3 good, < 5 acceptable), goodness of fit index (GFI) > 0.80, adjusted goodness of fit index (AGFI) > 0.80, comparative fit index (CFI) > 0.80, incremental fit index (IFI) > 0.80, Tucker–Lewis index (TLI) > 0.80, and root mean square error of approximation (RMSEA) < 0.08.63\n\n\n### Results\nA total of 325 people were surveyed, including 133 males (40.92%) and 192 females (59.08%), 240 people (73.85%) were aged 60 years or above, 167 people (51.38%) had a primary school education or below, 290 people (89.23%) were married, and 290 people (89.23%) were living with others. The body mass index (BMI) classification showed that 112 people had a normal weight, accounting for 34.46%; 128 people were overweight, accounting for 39.38%; and 79 people were obese, accounting for 24.31%. See Table 1.Table 1Basic Characteristics of Patients with Hypertension in Daning County and Yonghe County, 2024 (N = 325)Characteristicn (%)Gender Male133 (40.92) Female192 (59.08)Age (years) <455 (1.54) 45–6080 (24.62) ≥60240 (73.85)Education Level Primary school or below167 (51.38) Junior high school117 (36.00) High school or above41 (12.62)Marital Status Unmarried2 (0.62) Married290 (89.23) Divorced or widowed33 (10.15)Living Arrangement Living alone35 (10.77) Living with others290 (89.23)BMI (kg/m2) <18.56 (1.85) 18.5–23.9112 (34.46) 24–27.9128 (39.38) ≥2879 (24.31)\nBasic Characteristics of Patients with Hypertension in Daning County and Yonghe County, 2024 (N = 325)\nThe score of sleep quality of patients with hypertension was 7.0 (4.0, 8.0); the cognitive function score was 19.0 (15.0, 25.0); the anxiety score was 2.0 (0.0, 4.0); and the depression score was 3.0 (2.0, 5.0). For details on the dimensions and total scores of each scale, see Table 2.Table 2PSQI and MoCA Scores in Patients with Hypertension [M (P25, P75)]DimensionScore (Points)Total PSQI Score7.0 (4.0, 8.0) Subjective sleep quality1.0 (1.0, 1.0) Sleep latency1.0 (0.0, 2.0) Sleep duration2.0 (1.0, 2.0) Sleep efficiency0.0 (0.0, 1.0) Sleep disturbances1.0 (1.0, 1.0) Use of sleep medication0.0 (0.0, 0.0) Daytime dysfunction1.0 (1.0, 1.0)Total MoCA Score19.0 (15.0, 25.0) Visuospatial and executive abilities2.0 (0.0, 3.0) Naming3.0 (2.0, 3.0) Attention5.0 (4.0, 6.0) Language3.0 (1.0, 3.0) Abstraction1.0 (0.0, 1.0) Delayed recall1.0 (0.0, 2.0) Orientation5.0 (4.0, 6.0)\nPSQI and MoCA Scores in Patients with Hypertension [M (P25, P75)]\nSpearman correlation analysis showed that (1) the total score of sleep quality in patients with hypertension was positively correlated with the total score of anxiety (r = 0.280, P < 0.01), positively correlated with the total score of depression (r = 0.337, P < 0.01), and negatively correlated with the total score of cognitive function (r = −0.219, P < 0.01); (2) the total score of anxiety was positively correlated with the total score of depression (r = 0.711, P < 0.01) and negatively correlated with the total score of cognitive function (r = −0.303, P < 0.01); and (3) the total score of depression was negatively correlated with the total score of cognitive function (r = −0.292, P < 0.01). (Table 3).Table 3Correlations Among Total Scores of Sleep Quality, Cognitive Function, Anxiety, and Depression in Patients with Hypertension (r Values)VariableSleep QualityCognitive FunctionAnxietyDepressionSleep quality1.000Cognitive function−0.219**1.000Anxiety0.280**−0.303**1.000Depression0.337**−0.292**0.711**1.000Note: ** P < 0.01.\nCorrelations Among Total Scores of Sleep Quality, Cognitive Function, Anxiety, and Depression in Patients with Hypertension (r Values)\nNote: ** P < 0.01.\nHarman’s single-factor test was used to verify the common factor deviation. When the factor was not rotated, 11 characteristic root factors were > 1. The first factor could explain 17.46% of the variation. Since this was lower than the critical value standard of 40.00%, it indicates that there was no obvious common method deviation in the variables of this study.\nAMOS 26.0 was used for the analysis of mediation effects, with cognitive function as the dependent variable, sleep quality as the independent variable, and anxiety and depression as the mediating variables. The bootstrap method was used to draw samples 5000 times, and the maximum likelihood method was used to construct the structural equation model. When the 95% CI did not contain 0, the mediation effect was established. The chain mediating effect model of anxiety and depression showed that the fitting indexes met the relevant evaluation criteria: χ2/df = 2.371, GFI = 0.907, AGFI = 0.870, CFI = 0.881, IFI = 0.884, TLI = 0.850, and RMSEA = 0.065. The standardized path coefficients of the final model are shown in Figure 1.Figure 1Direct and indirect relationships across sleep quality, cognitive function, anxiety and depression. The figure underscores the significant mediating effects of anxiety and depression on the relationship between sleep quality and cognitive function.A diagram showing relationships between sleep quality, anxiety, depression and cognitive function.Sleep quality is influenced by factors such as subjective sleep quality, sleep latency, sleep duration, sleep efficiency, sleep disturbances, use of sleep medication and daytime dysfunction, with respective path coefficients of 0.699, 0.792, 0.621, 0.587, 0.532, 0.198 and 0.484. Sleep quality affects anxiety with a coefficient of 0.329 and depression with a coefficient of 0.143. Anxiety impacts cognitive function with a coefficient of -0.185, while depression affects cognitive function with a coefficient of -0.154. Cognitive function is further detailed by visuospatial and executive abilities, naming, attention, language, abstraction, delayed recall and orientation, with coefficients of 0.698, 0.384, 0.594, 0.640, 0.665, 0.636 and 0.487, respectively. Anxiety also has a direct effect on cognitive function with a coefficient of 0.660 and sleep quality directly affects cognitive function with a coefficient of -0.173.Note: All the path coefficients were standardized. *P < 0.05.\nDirect and indirect relationships across sleep quality, cognitive function, anxiety and depression. The figure underscores the significant mediating effects of anxiety and depression on the relationship between sleep quality and cognitive function.\nAfter controlling for gender, age, and education level, the chain mediation path coefficients of anxiety and depression between sleep quality and cognitive function showed (see Table 4) that all path coefficients were statistically significant (P < 0.05) and that the 95% CI did not include 0. Sleep quality in patients with hypertension was associated with cognitive function (path 1), with an association value of −0.544, accounting for 59.85% of the total association. Anxiety symptoms in patients with hypertension showed a mediating role between sleep quality and cognitive function, with an effect value of −0.190, accounting for 20.90% of the total association (path 2). Depressive symptoms in patients with hypertension showed a mediating role between sleep quality and cognitive function, with an effect value of −0.069, accounting for 7.59% of the total association (path 3). The chain mediating effect of anxiety and depression symptoms in patients with hypertension between sleep quality and cognitive function was −0.105, accounting for 11.55% of the total association (path 4). The total indirect association was −0.365, accounting for 40.15% of the total association. Total association = −0.909. The 95% CI of the above mediating effects did not include 0; hence, the mediating roles of anxiety and depression, and the chain mediating effect were all observed. (see Table 5).Table 4Chain Mediation Path Coefficients of Anxiety and Depression in Patients with HypertensionPathStdUnstdSEt-valueP-valueSMCCRAVESleep quality → anxiety0.3292.0460.4324.737<0.05Sleep quality → depression0.1431.0270.3472.955<0.05Anxiety → depression0.6600.7600.04716.028<0.05Sleep quality → cognitive function−0.173−0.5440.211−2.577<0.05Anxiety → cognitive function−0.185−0.0930.038−2.448<0.05Depression → cognitive function−0.154−0.0670.034−2.006<0.05Sleep quality → daytime dysfunction0.4841.0000.2340.7690.343Sleep quality → sleep latency0.7922.3610.2938.056<0.050.627Sleep quality→ sleep duration0.6211.3970.1917.295<0.050.386Sleep quality→ sleep efficiency0.5871.4680.2077.084<0.050.345Sleep quality → sleep disturbances0.5320.7180.1076.700<0.050.283Sleep quality → use of sleep medication0.1980.1890.0613.101<0.050.039Sleep quality → subjective sleep quality0.6991.2040.1567.707<0.050.489Cognitive function → visuospatial and executive abilities0.6981.0000.4870.7880.354Cognitive function → naming0.3840.2300.0376.173<0.050.147Cognitive function → attention0.5940.8150.0889.293<0.050.353Cognitive function → language0.6400.6090.0619.939<0.050.410Cognitive function → abstraction0.6650.4880.04810.264<0.050.442Cognitive function → delayed recall0.6360.8390.0859.882<0.050.404Cognitive function → orientation0.4870.6180.0807.737<0.050.237Gender → anxiety0.0960.4120.2341.759>0.05Age → anxiety0.0330.0100.0160.618>0.05Education level → anxiety−0.040−0.1210.161−0.752>0.05Gender → depression0.0410.2020.1951.035>0.05Age → depression−0.012−0.0040.013−0.321>0.05Education level → depression−0.056−0.1960.134−1.465>0.05Gender → cognitive function0.2000.4330.1193.640<0.05Age → cognitive function−0.225−0.0340.008−4.231<0.05Education level → cognitive function0.3880.5910.0876.809<0.05\nTable 5Chain Mediating Effects of Anxiety and Depression in Patients with HypertensionEffect TypePathEffect SizeSEProportion(%)PBootstrap 95% CIPath 1Sleep quality → cognitive function−0.5440.21459.85<0.05[−1.025, −0.178]Path 2Sleep quality → anxiety → cognitive function−0.1900.08820.90<0.05[−0.406, −0.049]Path 3Sleep quality → depression → cognitive function−0.0690.0417.59<0.05[−0.178, −0.010]Path 4Sleep quality→ anxiety → depression → cognitive function−0.1050.06111.55<0.05[−0.251, −0.010]Total indirect effect—−0.3650.10340.15<0.05[−0.605, −0.200]Total effect—−0.9090.233100.00<0.05[−1.436, −0.529]\nChain Mediation Path Coefficients of Anxiety and Depression in Patients with Hypertension\nChain Mediating Effects of Anxiety and Depression in Patients with Hypertension\n\n\n### Basic Characteristics of the Study Participants\nA total of 325 people were surveyed, including 133 males (40.92%) and 192 females (59.08%), 240 people (73.85%) were aged 60 years or above, 167 people (51.38%) had a primary school education or below, 290 people (89.23%) were married, and 290 people (89.23%) were living with others. The body mass index (BMI) classification showed that 112 people had a normal weight, accounting for 34.46%; 128 people were overweight, accounting for 39.38%; and 79 people were obese, accounting for 24.31%. See Table 1.Table 1Basic Characteristics of Patients with Hypertension in Daning County and Yonghe County, 2024 (N = 325)Characteristicn (%)Gender Male133 (40.92) Female192 (59.08)Age (years) <455 (1.54) 45–6080 (24.62) ≥60240 (73.85)Education Level Primary school or below167 (51.38) Junior high school117 (36.00) High school or above41 (12.62)Marital Status Unmarried2 (0.62) Married290 (89.23) Divorced or widowed33 (10.15)Living Arrangement Living alone35 (10.77) Living with others290 (89.23)BMI (kg/m2) <18.56 (1.85) 18.5–23.9112 (34.46) 24–27.9128 (39.38) ≥2879 (24.31)\nBasic Characteristics of Patients with Hypertension in Daning County and Yonghe County, 2024 (N = 325)\n\n\n### Scores of Sleep Quality, Cognitive Function, Anxiety, and Depression of Patients with Hypertension\nThe score of sleep quality of patients with hypertension was 7.0 (4.0, 8.0); the cognitive function score was 19.0 (15.0, 25.0); the anxiety score was 2.0 (0.0, 4.0); and the depression score was 3.0 (2.0, 5.0). For details on the dimensions and total scores of each scale, see Table 2.Table 2PSQI and MoCA Scores in Patients with Hypertension [M (P25, P75)]DimensionScore (Points)Total PSQI Score7.0 (4.0, 8.0) Subjective sleep quality1.0 (1.0, 1.0) Sleep latency1.0 (0.0, 2.0) Sleep duration2.0 (1.0, 2.0) Sleep efficiency0.0 (0.0, 1.0) Sleep disturbances1.0 (1.0, 1.0) Use of sleep medication0.0 (0.0, 0.0) Daytime dysfunction1.0 (1.0, 1.0)Total MoCA Score19.0 (15.0, 25.0) Visuospatial and executive abilities2.0 (0.0, 3.0) Naming3.0 (2.0, 3.0) Attention5.0 (4.0, 6.0) Language3.0 (1.0, 3.0) Abstraction1.0 (0.0, 1.0) Delayed recall1.0 (0.0, 2.0) Orientation5.0 (4.0, 6.0)\nPSQI and MoCA Scores in Patients with Hypertension [M (P25, P75)]\n\n\n### Correlation Analysis of Sleep Quality, Cognitive Function, Anxiety, and Depression in Patients with Hypertension\nSpearman correlation analysis showed that (1) the total score of sleep quality in patients with hypertension was positively correlated with the total score of anxiety (r = 0.280, P < 0.01), positively correlated with the total score of depression (r = 0.337, P < 0.01), and negatively correlated with the total score of cognitive function (r = −0.219, P < 0.01); (2) the total score of anxiety was positively correlated with the total score of depression (r = 0.711, P < 0.01) and negatively correlated with the total score of cognitive function (r = −0.303, P < 0.01); and (3) the total score of depression was negatively correlated with the total score of cognitive function (r = −0.292, P < 0.01). (Table 3).Table 3Correlations Among Total Scores of Sleep Quality, Cognitive Function, Anxiety, and Depression in Patients with Hypertension (r Values)VariableSleep QualityCognitive FunctionAnxietyDepressionSleep quality1.000Cognitive function−0.219**1.000Anxiety0.280**−0.303**1.000Depression0.337**−0.292**0.711**1.000Note: ** P < 0.01.\nCorrelations Among Total Scores of Sleep Quality, Cognitive Function, Anxiety, and Depression in Patients with Hypertension (r Values)\nNote: ** P < 0.01.\n\n\n### The Mediating Effects of Anxiety and Depression Between Sleep Quality and Cognitive Function in Patients with Hypertension\nHarman’s single-factor test was used to verify the common factor deviation. When the factor was not rotated, 11 characteristic root factors were > 1. The first factor could explain 17.46% of the variation. Since this was lower than the critical value standard of 40.00%, it indicates that there was no obvious common method deviation in the variables of this study.\nAMOS 26.0 was used for the analysis of mediation effects, with cognitive function as the dependent variable, sleep quality as the independent variable, and anxiety and depression as the mediating variables. The bootstrap method was used to draw samples 5000 times, and the maximum likelihood method was used to construct the structural equation model. When the 95% CI did not contain 0, the mediation effect was established. The chain mediating effect model of anxiety and depression showed that the fitting indexes met the relevant evaluation criteria: χ2/df = 2.371, GFI = 0.907, AGFI = 0.870, CFI = 0.881, IFI = 0.884, TLI = 0.850, and RMSEA = 0.065. The standardized path coefficients of the final model are shown in Figure 1.Figure 1Direct and indirect relationships across sleep quality, cognitive function, anxiety and depression. The figure underscores the significant mediating effects of anxiety and depression on the relationship between sleep quality and cognitive function.A diagram showing relationships between sleep quality, anxiety, depression and cognitive function.Sleep quality is influenced by factors such as subjective sleep quality, sleep latency, sleep duration, sleep efficiency, sleep disturbances, use of sleep medication and daytime dysfunction, with respective path coefficients of 0.699, 0.792, 0.621, 0.587, 0.532, 0.198 and 0.484. Sleep quality affects anxiety with a coefficient of 0.329 and depression with a coefficient of 0.143. Anxiety impacts cognitive function with a coefficient of -0.185, while depression affects cognitive function with a coefficient of -0.154. Cognitive function is further detailed by visuospatial and executive abilities, naming, attention, language, abstraction, delayed recall and orientation, with coefficients of 0.698, 0.384, 0.594, 0.640, 0.665, 0.636 and 0.487, respectively. Anxiety also has a direct effect on cognitive function with a coefficient of 0.660 and sleep quality directly affects cognitive function with a coefficient of -0.173.Note: All the path coefficients were standardized. *P < 0.05.\nDirect and indirect relationships across sleep quality, cognitive function, anxiety and depression. The figure underscores the significant mediating effects of anxiety and depression on the relationship between sleep quality and cognitive function.\nAfter controlling for gender, age, and education level, the chain mediation path coefficients of anxiety and depression between sleep quality and cognitive function showed (see Table 4) that all path coefficients were statistically significant (P < 0.05) and that the 95% CI did not include 0. Sleep quality in patients with hypertension was associated with cognitive function (path 1), with an association value of −0.544, accounting for 59.85% of the total association. Anxiety symptoms in patients with hypertension showed a mediating role between sleep quality and cognitive function, with an effect value of −0.190, accounting for 20.90% of the total association (path 2). Depressive symptoms in patients with hypertension showed a mediating role between sleep quality and cognitive function, with an effect value of −0.069, accounting for 7.59% of the total association (path 3). The chain mediating effect of anxiety and depression symptoms in patients with hypertension between sleep quality and cognitive function was −0.105, accounting for 11.55% of the total association (path 4). The total indirect association was −0.365, accounting for 40.15% of the total association. Total association = −0.909. The 95% CI of the above mediating effects did not include 0; hence, the mediating roles of anxiety and depression, and the chain mediating effect were all observed. (see Table 5).Table 4Chain Mediation Path Coefficients of Anxiety and Depression in Patients with HypertensionPathStdUnstdSEt-valueP-valueSMCCRAVESleep quality → anxiety0.3292.0460.4324.737<0.05Sleep quality → depression0.1431.0270.3472.955<0.05Anxiety → depression0.6600.7600.04716.028<0.05Sleep quality → cognitive function−0.173−0.5440.211−2.577<0.05Anxiety → cognitive function−0.185−0.0930.038−2.448<0.05Depression → cognitive function−0.154−0.0670.034−2.006<0.05Sleep quality → daytime dysfunction0.4841.0000.2340.7690.343Sleep quality → sleep latency0.7922.3610.2938.056<0.050.627Sleep quality→ sleep duration0.6211.3970.1917.295<0.050.386Sleep quality→ sleep efficiency0.5871.4680.2077.084<0.050.345Sleep quality → sleep disturbances0.5320.7180.1076.700<0.050.283Sleep quality → use of sleep medication0.1980.1890.0613.101<0.050.039Sleep quality → subjective sleep quality0.6991.2040.1567.707<0.050.489Cognitive function → visuospatial and executive abilities0.6981.0000.4870.7880.354Cognitive function → naming0.3840.2300.0376.173<0.050.147Cognitive function → attention0.5940.8150.0889.293<0.050.353Cognitive function → language0.6400.6090.0619.939<0.050.410Cognitive function → abstraction0.6650.4880.04810.264<0.050.442Cognitive function → delayed recall0.6360.8390.0859.882<0.050.404Cognitive function → orientation0.4870.6180.0807.737<0.050.237Gender → anxiety0.0960.4120.2341.759>0.05Age → anxiety0.0330.0100.0160.618>0.05Education level → anxiety−0.040−0.1210.161−0.752>0.05Gender → depression0.0410.2020.1951.035>0.05Age → depression−0.012−0.0040.013−0.321>0.05Education level → depression−0.056−0.1960.134−1.465>0.05Gender → cognitive function0.2000.4330.1193.640<0.05Age → cognitive function−0.225−0.0340.008−4.231<0.05Education level → cognitive function0.3880.5910.0876.809<0.05\nTable 5Chain Mediating Effects of Anxiety and Depression in Patients with HypertensionEffect TypePathEffect SizeSEProportion(%)PBootstrap 95% CIPath 1Sleep quality → cognitive function−0.5440.21459.85<0.05[−1.025, −0.178]Path 2Sleep quality → anxiety → cognitive function−0.1900.08820.90<0.05[−0.406, −0.049]Path 3Sleep quality → depression → cognitive function−0.0690.0417.59<0.05[−0.178, −0.010]Path 4Sleep quality→ anxiety → depression → cognitive function−0.1050.06111.55<0.05[−0.251, −0.010]Total indirect effect—−0.3650.10340.15<0.05[−0.605, −0.200]Total effect—−0.9090.233100.00<0.05[−1.436, −0.529]\nChain Mediation Path Coefficients of Anxiety and Depression in Patients with Hypertension\nChain Mediating Effects of Anxiety and Depression in Patients with Hypertension\n\n\n### Bias Validation\nHarman’s single-factor test was used to verify the common factor deviation. When the factor was not rotated, 11 characteristic root factors were > 1. The first factor could explain 17.46% of the variation. Since this was lower than the critical value standard of 40.00%, it indicates that there was no obvious common method deviation in the variables of this study.\n\n\n### Chain Mediating Effect of Anxiety and Depression\nAMOS 26.0 was used for the analysis of mediation effects, with cognitive function as the dependent variable, sleep quality as the independent variable, and anxiety and depression as the mediating variables. The bootstrap method was used to draw samples 5000 times, and the maximum likelihood method was used to construct the structural equation model. When the 95% CI did not contain 0, the mediation effect was established. The chain mediating effect model of anxiety and depression showed that the fitting indexes met the relevant evaluation criteria: χ2/df = 2.371, GFI = 0.907, AGFI = 0.870, CFI = 0.881, IFI = 0.884, TLI = 0.850, and RMSEA = 0.065. The standardized path coefficients of the final model are shown in Figure 1.Figure 1Direct and indirect relationships across sleep quality, cognitive function, anxiety and depression. The figure underscores the significant mediating effects of anxiety and depression on the relationship between sleep quality and cognitive function.A diagram showing relationships between sleep quality, anxiety, depression and cognitive function.Sleep quality is influenced by factors such as subjective sleep quality, sleep latency, sleep duration, sleep efficiency, sleep disturbances, use of sleep medication and daytime dysfunction, with respective path coefficients of 0.699, 0.792, 0.621, 0.587, 0.532, 0.198 and 0.484. Sleep quality affects anxiety with a coefficient of 0.329 and depression with a coefficient of 0.143. Anxiety impacts cognitive function with a coefficient of -0.185, while depression affects cognitive function with a coefficient of -0.154. Cognitive function is further detailed by visuospatial and executive abilities, naming, attention, language, abstraction, delayed recall and orientation, with coefficients of 0.698, 0.384, 0.594, 0.640, 0.665, 0.636 and 0.487, respectively. Anxiety also has a direct effect on cognitive function with a coefficient of 0.660 and sleep quality directly affects cognitive function with a coefficient of -0.173.Note: All the path coefficients were standardized. *P < 0.05.\nDirect and indirect relationships across sleep quality, cognitive function, anxiety and depression. The figure underscores the significant mediating effects of anxiety and depression on the relationship between sleep quality and cognitive function.\nAfter controlling for gender, age, and education level, the chain mediation path coefficients of anxiety and depression between sleep quality and cognitive function showed (see Table 4) that all path coefficients were statistically significant (P < 0.05) and that the 95% CI did not include 0. Sleep quality in patients with hypertension was associated with cognitive function (path 1), with an association value of −0.544, accounting for 59.85% of the total association. Anxiety symptoms in patients with hypertension showed a mediating role between sleep quality and cognitive function, with an effect value of −0.190, accounting for 20.90% of the total association (path 2). Depressive symptoms in patients with hypertension showed a mediating role between sleep quality and cognitive function, with an effect value of −0.069, accounting for 7.59% of the total association (path 3). The chain mediating effect of anxiety and depression symptoms in patients with hypertension between sleep quality and cognitive function was −0.105, accounting for 11.55% of the total association (path 4). The total indirect association was −0.365, accounting for 40.15% of the total association. Total association = −0.909. The 95% CI of the above mediating effects did not include 0; hence, the mediating roles of anxiety and depression, and the chain mediating effect were all observed. (see Table 5).Table 4Chain Mediation Path Coefficients of Anxiety and Depression in Patients with HypertensionPathStdUnstdSEt-valueP-valueSMCCRAVESleep quality → anxiety0.3292.0460.4324.737<0.05Sleep quality → depression0.1431.0270.3472.955<0.05Anxiety → depression0.6600.7600.04716.028<0.05Sleep quality → cognitive function−0.173−0.5440.211−2.577<0.05Anxiety → cognitive function−0.185−0.0930.038−2.448<0.05Depression → cognitive function−0.154−0.0670.034−2.006<0.05Sleep quality → daytime dysfunction0.4841.0000.2340.7690.343Sleep quality → sleep latency0.7922.3610.2938.056<0.050.627Sleep quality→ sleep duration0.6211.3970.1917.295<0.050.386Sleep quality→ sleep efficiency0.5871.4680.2077.084<0.050.345Sleep quality → sleep disturbances0.5320.7180.1076.700<0.050.283Sleep quality → use of sleep medication0.1980.1890.0613.101<0.050.039Sleep quality → subjective sleep quality0.6991.2040.1567.707<0.050.489Cognitive function → visuospatial and executive abilities0.6981.0000.4870.7880.354Cognitive function → naming0.3840.2300.0376.173<0.050.147Cognitive function → attention0.5940.8150.0889.293<0.050.353Cognitive function → language0.6400.6090.0619.939<0.050.410Cognitive function → abstraction0.6650.4880.04810.264<0.050.442Cognitive function → delayed recall0.6360.8390.0859.882<0.050.404Cognitive function → orientation0.4870.6180.0807.737<0.050.237Gender → anxiety0.0960.4120.2341.759>0.05Age → anxiety0.0330.0100.0160.618>0.05Education level → anxiety−0.040−0.1210.161−0.752>0.05Gender → depression0.0410.2020.1951.035>0.05Age → depression−0.012−0.0040.013−0.321>0.05Education level → depression−0.056−0.1960.134−1.465>0.05Gender → cognitive function0.2000.4330.1193.640<0.05Age → cognitive function−0.225−0.0340.008−4.231<0.05Education level → cognitive function0.3880.5910.0876.809<0.05\nTable 5Chain Mediating Effects of Anxiety and Depression in Patients with HypertensionEffect TypePathEffect SizeSEProportion(%)PBootstrap 95% CIPath 1Sleep quality → cognitive function−0.5440.21459.85<0.05[−1.025, −0.178]Path 2Sleep quality → anxiety → cognitive function−0.1900.08820.90<0.05[−0.406, −0.049]Path 3Sleep quality → depression → cognitive function−0.0690.0417.59<0.05[−0.178, −0.010]Path 4Sleep quality→ anxiety → depression → cognitive function−0.1050.06111.55<0.05[−0.251, −0.010]Total indirect effect—−0.3650.10340.15<0.05[−0.605, −0.200]Total effect—−0.9090.233100.00<0.05[−1.436, −0.529]\nChain Mediation Path Coefficients of Anxiety and Depression in Patients with Hypertension\nChain Mediating Effects of Anxiety and Depression in Patients with Hypertension\n\n\n### Discussion\nThis study examined the roles of anxiety and depression in the relationship between sleep quality and cognitive function in patients with hypertension in rural areas of Shanxi Province, China. The chain mediation effect analysis showed that anxiety and depression had a mediating effect between sleep quality and cognitive function in patients with hypertension. Consequently, our findings validated the hypotheses we initially proposed.\nHypertension may contribute to cerebral small vessel disease, such as white matter lesions, microbleeds, and brain atrophy, which in turn affect cognitive function. Long-term hypertension is associated with insufficient cerebral blood perfusion, impairing normal brain metabolism and function.64 Hypertension may further trigger inflammatory responses, releasing inflammatory factors that damage neurons and affect cognitive abilities.65 A study indicates that cognitive decline following the onset of hypertension gradually accelerates over subsequent years. This suggests that the cumulative effect of hypertension on brain function is progressive, with prolonged exposure being associated with more severe CogI.66 Compared to the general population, people with hypertension are more susceptible to CogI.67,68\nThe chain mediation effect refers to any indirect influence mechanisms whereby independent variables affect dependent variables through multiple interrelated mediating variables. It reveals sequential transmission pathways among variables, not just the direct action of a single mediator. This study explored the mediating effect of anxiety and depression symptoms in patients with hypertension on sleep quality and cognitive function, thereby uncovering the underlying mechanisms through which sleep quality is associated with cognitive function in this population.\nOur findings confirmed that poor sleep quality is associated with CogI in patients with hypertension, consistent with previous research.69,70 Sleep can replenish the body’s energy, enhance its resistance, and promote the body’s normal growth and development. It plays an extremely important role in maintaining the body’s normal psychological activities and preserving good mental health.71 Poor sleep quality, especially low sleep efficiency and short nighttime sleep duration, was associated with fatigue and excessive daytime sleepiness, which were associated with cognitive decline.72 Biomarker analysis showed that long-term sleep deprivation was associated with increased neuronal activity and excessive production and deposition of soluble β-amyloid protein that were associated with AD.73 Poor sleep quality was associated with elevated cortisol, tissue damage, and neuroinflammation in the brain,74 which in turn affects the hippocampus and impairs learning and memory,75 and was associated with cognitive decline.\nThis study confirmed that anxiety and depression play a mediating role between sleep quality and cognitive function in patients with hypertension. A previous study showed that the level of insomnia in patients with hypertension was higher than that in normotensives, and that the proportion of anxiety and depression in the insomnia group was much higher than that in the normal sleep group, which indicated that patients with hypertension and poor sleep quality were more likely to have anxiety and depression symptoms.76 Several studies have confirmed that there is a close relationship between sleep disorders, anxiety, and depression in patients with hypertension,77,78 which may be related to the abnormal overlap of neurotransmitters and brain structures in the sleep–wake cycle, anxiety, and depression.79 Good sleep quality can promote emotional health and prevent the development of mental disorders.80 On the contrary, sleep deprivation can have a negative impact on people’s emotions, cognition, and daily functions and increase the risk of anxiety and depression.81 Furthermore, anxiety and depression symptoms are markedly associated with CogI. Anxiety is associated with a decline in one’s working memory82 and the ability to recognize one’s emotions, and depression can damage patients’ attention, executive function, memory, and other cognitive fields.83 A study has shown that poor sleep quality may affect cognitive function, especially in people with higher levels of depression.84 A survey of rural elderly people in Guizhou Province, Xiong Yan and others found that depression may be an important mediating factor between sleep quality and cognitive function, and the mediating effect of depression (64.94%) is greater than the direct effect of sleep quality (35.06%).85 Given the mediating effect of anxiety and depression between sleep quality and cognitive function, improving sleep quality in patients with hypertension can help alleviate anxiety and depressive symptoms, thereby slowing the rate of cognitive decline.\nThis study confirmed the chain mediating role of anxiety and depression on sleep quality and cognitive function in patients with hypertension. A previous study has shown that poor sleep quality was associated with fatigue and excessive daytime sleepiness, which can increase anxiety levels. Slow-wave sleep and rapid eye movement sleep disturbances were associated with increased daytime fatigue and a reduced ability to relieve stress.86 In addition, when patients with hypertension are anxious, the sympathetic nervous system in the body is overexcited, leading to an increase in the secretion of catecholamines such as adrenaline and norepinephrine. These substances further increase blood pressure and affect the limbic system of the brain and the hypothalamic–pituitary–adrenal axis, which in turn affects mood regulation and increases the risk of depression.87,88 In addition, individuals with anxiety often exhibit excessive worry about the future and fear of uncertainty. This negative cognitive pattern was associated with pessimistic interpretations of life events, intensifying low mood and triggering depression.89 Depressive symptoms were associated with hippocampal atrophy, which in turn impairs memory function. Depressive symptoms were also associated with a decline in cognitive function and an accelerated rate of cognitive decline.90,91 A study found that depressive symptoms in patients with hypertension were markedly associated with cognitive decline, and the more severe the depressive symptoms, the greater the risk of cognitive decline.92 A growing body of prospective evidence suggests that depression is an important risk factor in the development of dementia in the future.93\nFurthermore, the observed serial pathway from sleep quality through anxiety to depression and ultimately cognitive function may be underpinned by two interconnected biological mechanisms: circadian rhythm dysregulation and glymphatic system dysfunction. First, circadian disruption is intimately linked to both sleep disturbance and affective disorders. Dysregulated circadian rhythms alter cortisol secretion patterns and monoaminergic neurotransmission, precipitating anxiety symptoms that, when chronic, progress to depressive states—consistent with our serial mediation model.94 This circadian perspective suggests that sleep problems in hypertensive patients may indicate broader chronobiological misalignment with treatment implications (eg, timed light exposure, chronotherapeutic interventions). Second, sleep serves as the principal modulator of the glymphatic system, which clears metabolic waste and supports neuronal homeostasis. Emerging evidence indicates that glymphatic dysfunction constitutes a transdiagnostic mechanism connecting sleep disturbance, psychiatric symptoms, and cognitive impairment.95 Specifically, inadequate sleep compromises glymphatic clearance, promoting neuroinflammation and synaptic dysfunction that manifests as anxiety and depressive symptoms, with cumulative effects on cognitive performance. This framework aligns with our finding that anxiety and depression sequentially transmit sleep quality effects to cognition and underscores the need for longitudinal studies to establish causal directions.\nAdequate sleep is essential for improving cognitive function and mental health. Many studies have advocated for greater cooperation between sleep specialists, neurologists, clinicians, nurses, and rehabilitation specialists to expand the understanding of this field and bring peaceful sleep to patients with hypertension. The current research results remind clinicians to pay attention to possible sleep and psychological problems when receiving patients with CogI. Researchers can consider interventions in sleep and psychology when solving for subjective cognitive problems in the future. At the same time, it is suggested that the optimization direction of the management of patients with hypertension in rural areas should shift from linear intervention to system construction, especially the need to build a mental health cultivation mechanism and strengthen the management of psychological problems.\n\n\n### Limitations and Future Directions\nThis study has several limitations that point to directions for future research. First, this study adopted a cross-sectional design, and the mediating effects observed through structural equation modeling cannot confirm the causal relationships between the variables. Future longitudinal studies can be conducted to verify the proposed causal pathways. Second, unmeasured variables (such as the duration of hypertension, medication usage, or other comorbidities) may act as confounding factors that could affect the observed associations. In the future, potential confounding factors can be comprehensively assessed to minimize their impact as much as possible. Third, the sample for this study was drawn from rural areas in two counties of Shanxi Province. Although selected from counties designated as nationally impoverished by China’s National Health Commission, it can to some extent reflect living conditions in similar regions. However, this selection may limit the applicability of our results to urban populations or other geographic regions with different socioeconomic characteristics. Rural residents in Shanxi may have distinct health behaviors, healthcare access, and lifestyle patterns compared to their urban counterparts or populations in other provinces. Future research should therefore validate these results in diverse settings, including urban areas and other provinces, to enhance the generalizability of the conclusions. Fourth, the standard MoCA education correction (one point for ≤ 12 years) may underestimate cognitive function in a rural population with predominantly low education. Caution is needed when generalizing these cognitive scores. Future research can establish cognitive test standards based on rural populations, rather than relying on standard correction methods designed for urban or higher education samples, in order to accommodate the educational level of rural populations. Finally, this study primarily relies on self-report questionnaires, lacking support from objective neuroimaging or biological indicators, which may lead to recall bias. Future studies can reduce recall bias by increasing objective measurement tools such as physiological index measurement and behavior monitoring and by connecting with the electronic medical record system of hospitals or the health record system of village health rooms.\n\n\n### Conclusion\nThese findings suggest that sleep quality in patients with hypertension is associated with cognitive function and that anxiety and depression play a chain mediating role in the relationship between sleep quality and cognitive function, thereby underscoring the necessity of improving sleep quality and mitigating anxiety and depression as potential strategies for addressing cognitive deterioration. It is also of great importance for screening and comprehensive management of sleep and mental health in hypertension care.", "domain": "affective_neuroscience"}
{"source": "PMC13060642", "title": "Does Cardiorespiratory Fitness Predict the Physiological and Psychological Stress Response to a Mathematics Exam in Secondary High School Students?", "text": "# Does Cardiorespiratory Fitness Predict the Physiological and Psychological Stress Response to a Mathematics Exam in Secondary High School Students?\n\n## Abstract\nSchool is widely recognized as one of the primary sources of stress among adolescents. While some studies employing laboratory‐based stressors have suggested that adolescents with better cardiorespiratory fitness (CRF) may exhibit lower stress reactivity to psychosocial stressors, research based on real‐life stressors is lacking. Therefore, we examined whether CRF predicts physiological and psychological reactivity in response to a real‐life stressor (mathematics exam). Students were recruited from Swiss public schools (9th grade). The final sample included 67 students (58% female, Mage = 15.09 years). Heart rate (HR), heart rate variability (HRV), mood states, and state anxiety were used as indicators stress reactivity. CRF was assessed using the 20m shuttle‐run test. Statistical analyses used regression analyses, which were controlled for relevant social and demographic confounders, as well as baseline outcomes during a nonstress condition (normal mathematics lesson). Exposure to the mathematics exam resulted in decreased HRV and mood, alongside increased state anxiety. While better CRF was associated with lower HR, higher HRV, better mood, and lower state anxiety across stress and baseline conditions, CRF did not predict physiological and psychological outcomes after controlling for baseline scores and confounders. Hence, our study suggests that although better CRF is associated with favorable physiological and psychological states, this relationship appears independent of students' current stress exposure. Further research employing other ecologically valid stressors is needed to better understand the impact of CRF on real‐life stress reactivity. From a school health perspective, it is essential to support students in developing the capacity to cope effectively with academic stressors. Exposure to a mathematics exam resulted in increased HR, decreased HRV, poorer mood, alongside increased anxiety.Better CRF was associated with lower heart rate and higher HRV across the baseline and stress condition.Better CRF was associated with better mood and lower state anxiety across the baseline and stress condition.The association between CRF and physiological and psychological states was independent of students' current stress exposure. Exposure to a mathematics exam resulted in increased HR, decreased HRV, poorer mood, alongside increased anxiety. Better CRF was associated with lower heart rate and higher HRV across the baseline and stress condition. Better CRF was associated with better mood and lower state anxiety across the baseline and stress condition. The association between CRF and physiological and psychological states was independent of students' current stress exposure.\n\n## Full Text\n\n\n### Introduction\nA dysregulated stress response can have detrimental effects on adolescents' health. Based on the cognitive–transactional stress model, stress responses can vary considerably between individuals because they depend on multiple appraisal processes that are shaped by protective and vulnerability factors (Lazarus 1999). Persistently high stress levels can negatively affect the immune system (Glaser and Kiecolt‐Glaser 2005), decrease cognitive function (Ludyga 2017), and increase the risk of cardiovascular disease (Kivimaki and Steptoe 2018).\nA survey conducted by the American Psychological Association showed that adolescents aged 15–17 perceive more stress than adults in many domains such as work, money, economy, or health‐related concerns (American Psychological Association 2018). During adolescence, many biological, psychological, and social changes occur, requiring constant adaptation. From a neurobiological perspective, adolescence is a sensitive period due to the maturation of certain brain regions. During adolescence, subcortical regions such as the amygdala and ventral striatum—central to emotion processing and reward sensitivity—undergo heightened reactivity, whereas the prefrontal cortex, which supports impulse control and emotion regulation, is still maturing. This developmental imbalance between affective and regulatory systems may increase emotional volatility and risk‐taking, thereby heightening vulnerability to mental disorders (Andersen and Teicher 2008). This vulnerability is particularly pronounced among adolescent girls, who exhibit a higher prevalence of stress‐related mental disorders, such as depression and anxiety, compared to their same‐aged male peers (Hampel and Petermann 2006).\nGiven that modern societies increasingly emphasize education and that young people's future prospects strongly depend on their academic performance, school is considered one of the most prominent sources of stress among adolescents. Consequently, the pressures of performance‐oriented societies may place excessive demands on young individuals (Högberg 2021). If adolescents do not develop effective strategies to manage stress, it can result in mental health problems (Pascoe et al. 2020). In this context, a prospective study from England with almost 5000 participants showed that academic stress at age 15 is associated with an increased risk of depression and self‐harm in young adulthood (Guo et al. 2026).\nResearchers have proposed that people with good cardiorespiratory fitness (CRF) are better equipped to cope with stress. According to the American College of Sports Medicine, CRF is a component of physical fitness that reflects the capacity of the cardiopulmonary system (heart, lungs, and circulation) to deliver oxygen to working skeletal muscles to support sustained physical activity (ACSM 2025). The existence of such a stress‐buffering effect is well documented in children (Gerber, Endes, et al. 2017a) and adolescents (Haugland et al. 2003), and is commonly explained by the cross‐stressor adaptation (CSA) hypothesis. According to this hypothesis, repeated exposure to physical stimuli (e.g., endurance or strength training) induces both specific and nonspecific physiological adaptations. Thus, when a person repeatedly engages in physical activity, the body becomes more adept at managing physical stress (e.g., as experienced during high‐intensity training), due to a physiological learning effect, resulting in a blunted stress response. This represents a specific adaptation. In contrast, nonspecific adaptation refers to improvements that generalize to other stressors, including psychosocial ones. In line with the CSA hypothesis, Hamer et al. (2006) showed that a single (acute) exercise session was associated with a lower blood pressure response during a subsequent stressor task. Additionally, a meta‐analysis demonstrated that people with better fitness show an attenuated cardiovascular stress reactivity and faster recovery following exposure to psychosocial stressors (Forcier et al. 2006). These studies utilized a variety of stressor tasks. A review focusing specifically on the Trier Social Stress Test (TSST), one of the most widely used psychosocial laboratory stressors, found that seven out of 14 studies supported the notion that increased fitness can attenuate the response to psychosocial stress (e.g., lower cortisol levels, lower heart rate, higher heart rate variability). Two of the 14 studies also showed that participants with better fitness reported less state anxiety and felt calmer after completion of the TSST (Mücke et al. 2018). However, children and adolescents were underrepresented in the studies included in the review, as most samples consisted of young and middle‐aged adults, with only two studies (N = 368 participants, 49% male, age range: 8–13 years) specifically focusing on children and adolescents.\nOne key criticism of this line of research is that the external validity of laboratory‐based studies is limited. In other words, can the findings from the laboratory (where little or nothing is at stake for the participants) be generalized to real life? Although some studies suggest that better fitness may also confer protection against real‐life stress (von Haaren et al. 2016; Wyss et al. 2016), this field remains at its early stages, particularly with respect to adolescent populations. Against this background, the aim of the current study was to examine whether an academic real‐life stressor (exam in mathematics) would result in acute physiological and psychological stress reactions, and whether CRF predicts physiological and psychological reactivity in response to the mathematics exam, after controlling for nonstress baseline scores (assessed during a regular mathematics lesson) and potential confounding factors. Based on the literature presented above, we hypothesized that a real‐life academic stressor would trigger substantial stress reactions (Guo et al. 2026; von Haaren et al. 2016), and that better CRF would be associated with a more beneficial physiological and psychological stress reactivity (Mücke et al. 2018; von Haaren et al. 2016).\n\n\n### Materials and Methods\nAn experimental (noninterventional) within–between interaction design was applied to examine whether better CRF would be associated with a more favorable physiological and psychological stress reactivity during a stress condition (mathematics exam), after controlling for relevant confounders and baseline scores assessed during a nonstress condition (regular mathematics lesson). Importantly, both conditions were not imposed by the researchers, as they were part of the existing curriculum.\nThe procedures of this study were approved by the responsible ethical review board prior to data collection (EKNZ, 2022‐01438). Students were recruited from two public (secondary) schools from so‐called A‐track classes, which are characterized by high academic performance. Both schools were located in the northwestern, German‐speaking part of Switzerland. The Swiss school system is highly selective, with only around 20% of all Swiss students currently attending an academic high school, which provides access to a Swiss university. To gain admission to an academic high school, A‐track students must meet a minimum average grade requirement across multiple school subjects, with mathematics being among the most heavily weighted subjects.\nSchools were contacted via the school principals. Classes were selected randomly from a list of classes provided by the class teachers. Student information sessions and data collection were conducted during regular class time. Overall, the students and the investigator met on five occasions (see Figure 1 for an overview): During the first meeting, the investigator explained the objectives of the study and the procedures, and students had the opportunity to ask questions. The investigator then distributed the informed consent forms, which had to be signed by the adolescents and their parents/legal guardians. During the second meeting (after 1 week), students received a paper‐ and‐pencil questionnaire assessing their socio‐demographic background and psychological factors, which they were instructed to return in a sealed envelope by the next meeting. During the third meeting, students' stress reactivity was measured during the stress condition (mathematics exam). Each student was provided with a HR monitor and chest belt at the beginning of the first lesson of the day, which they were instructed to put on immediately. HR and HRV were recorded continuously until the end of the last morning lesson. At both the beginning and end of the mathematics lesson, the students completed a short questionnaire assessing their current (state) anxiety levels and mood states. The mathematics exam was scheduled during the second, third, or fourth morning lessons to minimize the possibility that preparations for data assessment would disturb students' concentration on the forthcoming exam. During the fourth meeting (exactly 1 week after the exam), baseline stress reactivity was measured during a regular mathematics lesson. Finally, during the fifth meeting, conducted during a physical education lesson, students' CRF was assessed using the 20‐m shuttle run test. To ensure maximal effort from all participants, performance on the 20‐m shuttle run test contributed to their end‐of‐year grade in physical education.\nStudy design and participant flow chart.\nPower calculation was complicated by the fact that research in naturalistic settings is scarce. Existing studies, in which CRF was associated with HR responses to experimentally induced stress in young adults (Rimmele et al. 2007), pointed toward small‐to‐moderate effects (Cohen's f\n2 = 0.12). Our power analysis (using G*Power 3.1 software; regression analysis; two‐tailed; f\n2 = 0.12; α = 0.05; power = 0.80) indicated that a minimum of 68 participants would be required to achieve adequate statistical power. To account for an anticipated dropout rate of 30%, the targeted total sample size was set at 100 students. Assuming a class size of approximately 20 students per class and a participation rate of 60%, 8 to 9 classes were required to achieve the planned sample size.\nTo be eligible, students were required to meet the following criteria: (a) provision of signed informed consent, (b) enrollment in one of the selected classes and aged 13–16 years, (c) absence of illness at the time of the baseline data assessment and the mathematics exam, (d) participation in physical education lessons, and (e) absence of current injury. Exclusion criteria included: (a) current intake of medication with a potential influence on HR and HRV, (b) presence of any acute or chronic medical conditions that would constrain participants' physical activity. Participants who dropped out during the study or had missing HR, HRV, or CRF data, were not included in the final data analyses.\nA chest belt (Polar H10) equipped with a Polar Vantage M device (Polar Electro Europe AG, Steinhausen, Switzerland) was used to record beat‐to‐beat data (RR intervals). Off‐line processing of collected data was conducted using Kubios HRV Analysis Software 3.0.2 (The Biomedical Signal and Medical Imaging Analysis Group, Department of Applied Physics, University of Kuopio, Finland). A 4 Hz cubic spline interpolation was used to convert HRV time series resulting from RR‐intervals to equidistantly sampled series. To remove slow nonstationary trends from the signal, a linear detrend correction based on smoothness priors regularization (0.001 Hz cutoff) was applied to the R‐R series. Fast‐Fourier transformation via Welch's periodogram (300 s with 50% overlap) was used for epochs of identical length. The resulting spectrum estimates were divided into very low frequency (VLF: 0–0.04 Hz), low frequency (LF: 0.04–0.15 Hz), and high frequency (HF: 0.15–0.4 Hz) bands. Various measures of task‐related HRV were used as a dependent variable, including LF, HF, LF/HF ratio, RMSSD (root mean square of successive differences) and SDNN (standard deviation of normal‐to‐normal RR‐intervals). The following segments were generated during the stress conditions: (a) beginning of the first lesson, (b) beginning of the break before the exam, (c) beginning of the exam lesson, (d) beginning of the exam, (e) end of the exam, (f) end of the exam lesson, and (g) end of the assessment after the last morning lesson. The following segments were generated during the baseline condition: (a) beginning of the first lesson, (b) beginning of the break before the mathematics lesson, (c) beginning of the mathematic lesson, (d) end of the mathematics lesson, and (e) end of the assessment after the last morning lesson. For the purpose of this study, segments d‐e (stress condition) and c‐d (baseline condition) were compared. The segment–length for the stress and baseline conditions ranged between 40 and 45 min for all participants.\nThe Multidimensional Mood Questionnaire (MDBF) and the state version of the State–Trait–Anxiety Inventory (STAI) were applied to measure affective responses before and after both the baseline assessment and stress exposure (see Supporting Information S1 for more details including references, evidence of validity and sample items for the MDBF and STAI). The 12‐item MDBF evaluates three dimensions (4 items per scale: good‐bad mood, alertness–tiredness, calmness–restlessness). Items are anchored on a 4‐point Likert‐type scale ranging from 1 (absolutely not) to 4 (very), with higher sum scores representing better mood. Six items of the state‐version of the STAI were administered to assess current anxiety states, with items being anchored on a 4‐point Likert scale ranging from 1 (almost never) to 4 (almost always). Higher sum scores are reflective of higher state anxiety. Given that the anticipation of a maths lesson/exam can influence mood states and state anxiety, we decided not to calculate pre–post difference scores, but to generate mean scores based on the pre‐ and post‐values, separately for the baseline and stress condition.\nTo assess CRF, the 20m shuttle–run test was administered with a starting pace of 8.5 km/h (see Supporting Information S1 for more details including references and evidence of validity of the 20m shuttle–run test). Following auditory signals, the speed was steadily increased by 0.5 km/h. The test was terminated when participants were no longer able to follow the speed of the auditory signal twice in a row. The total number of fully completed 20m laps was used as a performance indicator of CRF.\nA range of potential confounders was assessed—including age, sex, nationality, socioeconomic background, test anxiety, mathematics self‐concept, previous grade in mathematics, perceived preparedness for the mathematics exam, and perceived difficulty of the exam (see Supporting Information S1 for more details including references, evidence of validity, sample items and potential relevance of variables to be considered as covariates).\nA series of repeated measures analyses of covariance (rANOVAs), bivariate correlations and linear (hierarchical) regression analyses were calculated to test the main hypotheses. To examine whether a real‐life stressor leads to a physiological and psychological stress reaction compared to a nonstress baseline condition, a series of rANOVAs were carried out, including a within‐factor condition (regular mathematics lesson vs. mathematics exam). To examine whether CRF is associated with physiological and psychological outcomes, bivariate correlations between CRF and each stress marker were calculated, separately for the baseline and stress condition. Finally, to find out whether CRF predicts reactivity to the mathematics exam, a series of (hierarchical) linear regression analyses were calculated. In the first step, we controlled for potential confounders; confounders were only included if they were statistically significantly associated with CRF or if they were significantly associated with the outcome under the stress condition. In the second step, we controlled for the baseline value of the outcome. In the third step, CRF was introduced in the regression equation. Separate analyses were calculated for mean HR, mean HRV (LF, HF, LF/HF, RMSSD, SDNN), and mean state anxiety and mean current mood states. An alpha‐level of p < 0.05 was considered as statistically significant, and all tests were conducted with SPSS (version 29, IBM Corporation, Armonk, NY, USA). Following the general guidelines of Cohen (1988), effect sizes in rANOVAs were interpreted as follows: η\n2 < 0.06 (small), 0.06 ≤ η\n2 < 0.14 (medium) and η\n2 ≥ 0.14 (large). In correlation and regression analysis, Pearson's r‐coefficients and standardized regression weights (β) were interpreted as follows: 0.10 to 0.29 (small), 0.30 to 0.49 (medium), and ≥ 0.50 (large).\n\n\n### Study Design\nAn experimental (noninterventional) within–between interaction design was applied to examine whether better CRF would be associated with a more favorable physiological and psychological stress reactivity during a stress condition (mathematics exam), after controlling for relevant confounders and baseline scores assessed during a nonstress condition (regular mathematics lesson). Importantly, both conditions were not imposed by the researchers, as they were part of the existing curriculum.\n\n\n### Participants and Procedures\nThe procedures of this study were approved by the responsible ethical review board prior to data collection (EKNZ, 2022‐01438). Students were recruited from two public (secondary) schools from so‐called A‐track classes, which are characterized by high academic performance. Both schools were located in the northwestern, German‐speaking part of Switzerland. The Swiss school system is highly selective, with only around 20% of all Swiss students currently attending an academic high school, which provides access to a Swiss university. To gain admission to an academic high school, A‐track students must meet a minimum average grade requirement across multiple school subjects, with mathematics being among the most heavily weighted subjects.\nSchools were contacted via the school principals. Classes were selected randomly from a list of classes provided by the class teachers. Student information sessions and data collection were conducted during regular class time. Overall, the students and the investigator met on five occasions (see Figure 1 for an overview): During the first meeting, the investigator explained the objectives of the study and the procedures, and students had the opportunity to ask questions. The investigator then distributed the informed consent forms, which had to be signed by the adolescents and their parents/legal guardians. During the second meeting (after 1 week), students received a paper‐ and‐pencil questionnaire assessing their socio‐demographic background and psychological factors, which they were instructed to return in a sealed envelope by the next meeting. During the third meeting, students' stress reactivity was measured during the stress condition (mathematics exam). Each student was provided with a HR monitor and chest belt at the beginning of the first lesson of the day, which they were instructed to put on immediately. HR and HRV were recorded continuously until the end of the last morning lesson. At both the beginning and end of the mathematics lesson, the students completed a short questionnaire assessing their current (state) anxiety levels and mood states. The mathematics exam was scheduled during the second, third, or fourth morning lessons to minimize the possibility that preparations for data assessment would disturb students' concentration on the forthcoming exam. During the fourth meeting (exactly 1 week after the exam), baseline stress reactivity was measured during a regular mathematics lesson. Finally, during the fifth meeting, conducted during a physical education lesson, students' CRF was assessed using the 20‐m shuttle run test. To ensure maximal effort from all participants, performance on the 20‐m shuttle run test contributed to their end‐of‐year grade in physical education.\nStudy design and participant flow chart.\n\n\n### Power Calculation\nPower calculation was complicated by the fact that research in naturalistic settings is scarce. Existing studies, in which CRF was associated with HR responses to experimentally induced stress in young adults (Rimmele et al. 2007), pointed toward small‐to‐moderate effects (Cohen's f\n2 = 0.12). Our power analysis (using G*Power 3.1 software; regression analysis; two‐tailed; f\n2 = 0.12; α = 0.05; power = 0.80) indicated that a minimum of 68 participants would be required to achieve adequate statistical power. To account for an anticipated dropout rate of 30%, the targeted total sample size was set at 100 students. Assuming a class size of approximately 20 students per class and a participation rate of 60%, 8 to 9 classes were required to achieve the planned sample size.\n\n\n### Inclusion and Exclusion Criteria\nTo be eligible, students were required to meet the following criteria: (a) provision of signed informed consent, (b) enrollment in one of the selected classes and aged 13–16 years, (c) absence of illness at the time of the baseline data assessment and the mathematics exam, (d) participation in physical education lessons, and (e) absence of current injury. Exclusion criteria included: (a) current intake of medication with a potential influence on HR and HRV, (b) presence of any acute or chronic medical conditions that would constrain participants' physical activity. Participants who dropped out during the study or had missing HR, HRV, or CRF data, were not included in the final data analyses.\n\n\n### Measures\nA chest belt (Polar H10) equipped with a Polar Vantage M device (Polar Electro Europe AG, Steinhausen, Switzerland) was used to record beat‐to‐beat data (RR intervals). Off‐line processing of collected data was conducted using Kubios HRV Analysis Software 3.0.2 (The Biomedical Signal and Medical Imaging Analysis Group, Department of Applied Physics, University of Kuopio, Finland). A 4 Hz cubic spline interpolation was used to convert HRV time series resulting from RR‐intervals to equidistantly sampled series. To remove slow nonstationary trends from the signal, a linear detrend correction based on smoothness priors regularization (0.001 Hz cutoff) was applied to the R‐R series. Fast‐Fourier transformation via Welch's periodogram (300 s with 50% overlap) was used for epochs of identical length. The resulting spectrum estimates were divided into very low frequency (VLF: 0–0.04 Hz), low frequency (LF: 0.04–0.15 Hz), and high frequency (HF: 0.15–0.4 Hz) bands. Various measures of task‐related HRV were used as a dependent variable, including LF, HF, LF/HF ratio, RMSSD (root mean square of successive differences) and SDNN (standard deviation of normal‐to‐normal RR‐intervals). The following segments were generated during the stress conditions: (a) beginning of the first lesson, (b) beginning of the break before the exam, (c) beginning of the exam lesson, (d) beginning of the exam, (e) end of the exam, (f) end of the exam lesson, and (g) end of the assessment after the last morning lesson. The following segments were generated during the baseline condition: (a) beginning of the first lesson, (b) beginning of the break before the mathematics lesson, (c) beginning of the mathematic lesson, (d) end of the mathematics lesson, and (e) end of the assessment after the last morning lesson. For the purpose of this study, segments d‐e (stress condition) and c‐d (baseline condition) were compared. The segment–length for the stress and baseline conditions ranged between 40 and 45 min for all participants.\nThe Multidimensional Mood Questionnaire (MDBF) and the state version of the State–Trait–Anxiety Inventory (STAI) were applied to measure affective responses before and after both the baseline assessment and stress exposure (see Supporting Information S1 for more details including references, evidence of validity and sample items for the MDBF and STAI). The 12‐item MDBF evaluates three dimensions (4 items per scale: good‐bad mood, alertness–tiredness, calmness–restlessness). Items are anchored on a 4‐point Likert‐type scale ranging from 1 (absolutely not) to 4 (very), with higher sum scores representing better mood. Six items of the state‐version of the STAI were administered to assess current anxiety states, with items being anchored on a 4‐point Likert scale ranging from 1 (almost never) to 4 (almost always). Higher sum scores are reflective of higher state anxiety. Given that the anticipation of a maths lesson/exam can influence mood states and state anxiety, we decided not to calculate pre–post difference scores, but to generate mean scores based on the pre‐ and post‐values, separately for the baseline and stress condition.\nTo assess CRF, the 20m shuttle–run test was administered with a starting pace of 8.5 km/h (see Supporting Information S1 for more details including references and evidence of validity of the 20m shuttle–run test). Following auditory signals, the speed was steadily increased by 0.5 km/h. The test was terminated when participants were no longer able to follow the speed of the auditory signal twice in a row. The total number of fully completed 20m laps was used as a performance indicator of CRF.\nA range of potential confounders was assessed—including age, sex, nationality, socioeconomic background, test anxiety, mathematics self‐concept, previous grade in mathematics, perceived preparedness for the mathematics exam, and perceived difficulty of the exam (see Supporting Information S1 for more details including references, evidence of validity, sample items and potential relevance of variables to be considered as covariates).\n\n\n### Heart Rate Variability\nA chest belt (Polar H10) equipped with a Polar Vantage M device (Polar Electro Europe AG, Steinhausen, Switzerland) was used to record beat‐to‐beat data (RR intervals). Off‐line processing of collected data was conducted using Kubios HRV Analysis Software 3.0.2 (The Biomedical Signal and Medical Imaging Analysis Group, Department of Applied Physics, University of Kuopio, Finland). A 4 Hz cubic spline interpolation was used to convert HRV time series resulting from RR‐intervals to equidistantly sampled series. To remove slow nonstationary trends from the signal, a linear detrend correction based on smoothness priors regularization (0.001 Hz cutoff) was applied to the R‐R series. Fast‐Fourier transformation via Welch's periodogram (300 s with 50% overlap) was used for epochs of identical length. The resulting spectrum estimates were divided into very low frequency (VLF: 0–0.04 Hz), low frequency (LF: 0.04–0.15 Hz), and high frequency (HF: 0.15–0.4 Hz) bands. Various measures of task‐related HRV were used as a dependent variable, including LF, HF, LF/HF ratio, RMSSD (root mean square of successive differences) and SDNN (standard deviation of normal‐to‐normal RR‐intervals). The following segments were generated during the stress conditions: (a) beginning of the first lesson, (b) beginning of the break before the exam, (c) beginning of the exam lesson, (d) beginning of the exam, (e) end of the exam, (f) end of the exam lesson, and (g) end of the assessment after the last morning lesson. The following segments were generated during the baseline condition: (a) beginning of the first lesson, (b) beginning of the break before the mathematics lesson, (c) beginning of the mathematic lesson, (d) end of the mathematics lesson, and (e) end of the assessment after the last morning lesson. For the purpose of this study, segments d‐e (stress condition) and c‐d (baseline condition) were compared. The segment–length for the stress and baseline conditions ranged between 40 and 45 min for all participants.\n\n\n### Psychological Stress Reactivity\nThe Multidimensional Mood Questionnaire (MDBF) and the state version of the State–Trait–Anxiety Inventory (STAI) were applied to measure affective responses before and after both the baseline assessment and stress exposure (see Supporting Information S1 for more details including references, evidence of validity and sample items for the MDBF and STAI). The 12‐item MDBF evaluates three dimensions (4 items per scale: good‐bad mood, alertness–tiredness, calmness–restlessness). Items are anchored on a 4‐point Likert‐type scale ranging from 1 (absolutely not) to 4 (very), with higher sum scores representing better mood. Six items of the state‐version of the STAI were administered to assess current anxiety states, with items being anchored on a 4‐point Likert scale ranging from 1 (almost never) to 4 (almost always). Higher sum scores are reflective of higher state anxiety. Given that the anticipation of a maths lesson/exam can influence mood states and state anxiety, we decided not to calculate pre–post difference scores, but to generate mean scores based on the pre‐ and post‐values, separately for the baseline and stress condition.\n\n\n### Cardiorespiratory Fitness\nTo assess CRF, the 20m shuttle–run test was administered with a starting pace of 8.5 km/h (see Supporting Information S1 for more details including references and evidence of validity of the 20m shuttle–run test). Following auditory signals, the speed was steadily increased by 0.5 km/h. The test was terminated when participants were no longer able to follow the speed of the auditory signal twice in a row. The total number of fully completed 20m laps was used as a performance indicator of CRF.\n\n\n### Potential Confounders\nA range of potential confounders was assessed—including age, sex, nationality, socioeconomic background, test anxiety, mathematics self‐concept, previous grade in mathematics, perceived preparedness for the mathematics exam, and perceived difficulty of the exam (see Supporting Information S1 for more details including references, evidence of validity, sample items and potential relevance of variables to be considered as covariates).\n\n\n### Statistical Analyses\nA series of repeated measures analyses of covariance (rANOVAs), bivariate correlations and linear (hierarchical) regression analyses were calculated to test the main hypotheses. To examine whether a real‐life stressor leads to a physiological and psychological stress reaction compared to a nonstress baseline condition, a series of rANOVAs were carried out, including a within‐factor condition (regular mathematics lesson vs. mathematics exam). To examine whether CRF is associated with physiological and psychological outcomes, bivariate correlations between CRF and each stress marker were calculated, separately for the baseline and stress condition. Finally, to find out whether CRF predicts reactivity to the mathematics exam, a series of (hierarchical) linear regression analyses were calculated. In the first step, we controlled for potential confounders; confounders were only included if they were statistically significantly associated with CRF or if they were significantly associated with the outcome under the stress condition. In the second step, we controlled for the baseline value of the outcome. In the third step, CRF was introduced in the regression equation. Separate analyses were calculated for mean HR, mean HRV (LF, HF, LF/HF, RMSSD, SDNN), and mean state anxiety and mean current mood states. An alpha‐level of p < 0.05 was considered as statistically significant, and all tests were conducted with SPSS (version 29, IBM Corporation, Armonk, NY, USA). Following the general guidelines of Cohen (1988), effect sizes in rANOVAs were interpreted as follows: η\n2 < 0.06 (small), 0.06 ≤ η\n2 < 0.14 (medium) and η\n2 ≥ 0.14 (large). In correlation and regression analysis, Pearson's r‐coefficients and standardized regression weights (β) were interpreted as follows: 0.10 to 0.29 (small), 0.30 to 0.49 (medium), and ≥ 0.50 (large).\n\n\n### Results\nIn total, 120 participants from six classes were invited to take part in the study. Hereof, 81 participants (68%) provided written informed consent. While all participants completed the questionnaire, six students did not complete assessments under the stress conditions, and additional 8 students did not take part in the baseline assessment due to illness. All of the remaining participants took part in the fitness test, resulting in a final sample of 67 students (see Table 1 for sample description).\nSample description.\nMedications reported (including reasons) were: Ibuprofen: n = 3 (pain); Voltaren: n = 1 (pain) Tretinac: n = 1 (acne); Curakne: n = 1 (acne); Premens: n = 1 (premenstrual pain); Similasan: n = 1 (hay fever); Ferro Sanol: n = 1 (iron deficiency); Movicol; n = 1 (constipation).\nFemale students were slightly overrepresented in the sample (58% vs. 42%). Seventy‐three percent hold Swiss nationality, and 15% (n = 10) reported current medication intake. None of the students had to be excluded due to current medication intake as none of the reported medication seemed to have a clear impact on HR or HRV (see Table 1 for more information). Students had a mean age of 15.09 ± 0.62 years, and their mean body mass index (BMI) was 20.66 ± 2.57 kg/m2. Mean meters completed in the 20m shuttle–run test was 1276 ± 500 (corresponding to 63.81 ± 25.00 laps). The median for the 20m shuttle–run test was 1640m for boys (82 laps) and 960m for girls (48 laps).\nDescriptive statistics for all outcome variables are shown in Table 2. With one exception (LF/HF ratio), significant differences between conditions (stress vs. baseline) were observed between all physiological and psychological outcomes, indicating that the mathematics exam triggered substantial reactions in terms of increased HR, decreased HRV, lower mood, and increased state anxiety. The effect sizes (η2) showed that differences were large for most variables, with the condition factor explaining between 7% and 54% of variance.\nDescriptive statistics of outcome variables, separately for stress and baseline condition.\nAbbreviations: α, cronbach's alpha; HF, high frequency; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\np < 0.05.\np < 0.001.\nWith one exception, no statistically significant associations were found between potential confounders and participants' CRF (p > 0.05; see Supporting Information S1: Tables S4.1–S4.2). The exception was that participants with higher CRF reported lower test anxiety (r = −0.24, p = 0.048).\nAssociations between potential confounders and physiological and psychological stress markers are displayed in the Supporting Information S1: Tables S5.1–S5.10). These results indicate that participants with higher maths self‐concept report lower heart rate, higher SDNN, better mood, and lower state anxiety during the stress condition. While higher test anxiety scores were associated with poorer mood and higher state anxiety across the baseline and stress condition, students who perceived the exam as difficult reported poorer mood and higher state anxiety during the stress condition. Moreover, students with better end‐of‐the‐year results in mathematics reported higher scores in one (of three) mood indicator(s), but only during the regular mathematics lesson (baseline). Finally, significant sex differences were observed for two HRV markers during the baseline condition. Thus, male students had higher LF power and SDNN. Nevertheless, these differences were not observed under real‐life stress. Male students also reported better mood and lower state anxiety, with the differences in anxiety being more pronounced under stress conditions.\nTable 3 shows the bivariate correlations between participants' CRF and physiological and psychological outcomes, separately for baseline and stress condition. These results highlight that adolescents with better CRF had lower heart rate, higher LF power, higher HF power (during baseline condition only), higher RMSSD and higher SDNN (Figure 2). Moreover, CRF was positively correlated with almost all markers of current mood states (across baseline and stress condition), whereas a negative correlation emerged between CRF and state anxiety (Figure 3). The significant correlations were in the small‐to‐medium range.\nBivariate correlations (Pearson's r) between cardiorespiratory fitness and stress markers, separately for stress and baseline condition.\nAbbreviations: HF, high frequency; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\np < 0.05.\np < 0.01.\np < 0.001.\nGraphical representation of the (significant) bivariate correlations between CRF and HR/HRV markers across stress and baseline conditions. CRF, cardiorespiratory fitness; HF, high frequency; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\nGraphical representation of the bivariate correlations between CRF and markers of mood and state anxiety across stress and baseline conditions. CRF, Cardiorespiratory fitness.\nTable 4 shows the results of the linear hierarchical regression analysis. After controlling for relevant confounders and baseline scores (nonstress control condition), CRF did not predict any of the physiological and psychological markers of stress reactivity. The total models explained between 35% and 59% of variance. The overall pattern indicated that baseline values showed the strongest predictive power, with significant regression weights (β) ranging from 0.34 to 0.78 (medium‐to‐strong association). This indicates that students who presented with higher HR, HRV, mood, or state anxiety levels during the regular mathematics lesson (baseline) also had higher scores for these measures during the exam situation. Beyond these influences, CRF did not account for additional explained variance in stress reactivity.\nLinear hierarchical regression analyses predicting physiological and psychological markers during the stress condition with cardiorespiratory fitness (step 3), after controlling for potential confounders (step 1), and baseline values assessed during the nonstress control condition (step 2).\nNote: Age, body mass index, socioeconomic background, feeling prepared for the exam, end‐of‐the‐year grade in mathematics, and nationality were not considered as potential confounders as these variables were neither associated with cardiorespiratory fitness nor with any of the physiological and psychological outcomes during the stress condition.\nAbbreviations: HF, high frequency; HR, heart rate; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\nThe average of the pre and post scores during the stress and baseline condition were used as predictors (step 2) and outcomes.\np < 0.001.\n\n\n### Sample Description\nIn total, 120 participants from six classes were invited to take part in the study. Hereof, 81 participants (68%) provided written informed consent. While all participants completed the questionnaire, six students did not complete assessments under the stress conditions, and additional 8 students did not take part in the baseline assessment due to illness. All of the remaining participants took part in the fitness test, resulting in a final sample of 67 students (see Table 1 for sample description).\nSample description.\nMedications reported (including reasons) were: Ibuprofen: n = 3 (pain); Voltaren: n = 1 (pain) Tretinac: n = 1 (acne); Curakne: n = 1 (acne); Premens: n = 1 (premenstrual pain); Similasan: n = 1 (hay fever); Ferro Sanol: n = 1 (iron deficiency); Movicol; n = 1 (constipation).\nFemale students were slightly overrepresented in the sample (58% vs. 42%). Seventy‐three percent hold Swiss nationality, and 15% (n = 10) reported current medication intake. None of the students had to be excluded due to current medication intake as none of the reported medication seemed to have a clear impact on HR or HRV (see Table 1 for more information). Students had a mean age of 15.09 ± 0.62 years, and their mean body mass index (BMI) was 20.66 ± 2.57 kg/m2. Mean meters completed in the 20m shuttle–run test was 1276 ± 500 (corresponding to 63.81 ± 25.00 laps). The median for the 20m shuttle–run test was 1640m for boys (82 laps) and 960m for girls (48 laps).\n\n\n### Descriptive Statistics and Differences Between Conditions\nDescriptive statistics for all outcome variables are shown in Table 2. With one exception (LF/HF ratio), significant differences between conditions (stress vs. baseline) were observed between all physiological and psychological outcomes, indicating that the mathematics exam triggered substantial reactions in terms of increased HR, decreased HRV, lower mood, and increased state anxiety. The effect sizes (η2) showed that differences were large for most variables, with the condition factor explaining between 7% and 54% of variance.\nDescriptive statistics of outcome variables, separately for stress and baseline condition.\nAbbreviations: α, cronbach's alpha; HF, high frequency; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\np < 0.05.\np < 0.001.\n\n\n### Association Between Cardiorespiratory Fitness and Potential Confounders\nWith one exception, no statistically significant associations were found between potential confounders and participants' CRF (p > 0.05; see Supporting Information S1: Tables S4.1–S4.2). The exception was that participants with higher CRF reported lower test anxiety (r = −0.24, p = 0.048).\n\n\n### Association Between Potential Confounders and Stress Markers\nAssociations between potential confounders and physiological and psychological stress markers are displayed in the Supporting Information S1: Tables S5.1–S5.10). These results indicate that participants with higher maths self‐concept report lower heart rate, higher SDNN, better mood, and lower state anxiety during the stress condition. While higher test anxiety scores were associated with poorer mood and higher state anxiety across the baseline and stress condition, students who perceived the exam as difficult reported poorer mood and higher state anxiety during the stress condition. Moreover, students with better end‐of‐the‐year results in mathematics reported higher scores in one (of three) mood indicator(s), but only during the regular mathematics lesson (baseline). Finally, significant sex differences were observed for two HRV markers during the baseline condition. Thus, male students had higher LF power and SDNN. Nevertheless, these differences were not observed under real‐life stress. Male students also reported better mood and lower state anxiety, with the differences in anxiety being more pronounced under stress conditions.\n\n\n### Bivariate Association Between Cardiorespiratory Fitness and Stress Markers\nTable 3 shows the bivariate correlations between participants' CRF and physiological and psychological outcomes, separately for baseline and stress condition. These results highlight that adolescents with better CRF had lower heart rate, higher LF power, higher HF power (during baseline condition only), higher RMSSD and higher SDNN (Figure 2). Moreover, CRF was positively correlated with almost all markers of current mood states (across baseline and stress condition), whereas a negative correlation emerged between CRF and state anxiety (Figure 3). The significant correlations were in the small‐to‐medium range.\nBivariate correlations (Pearson's r) between cardiorespiratory fitness and stress markers, separately for stress and baseline condition.\nAbbreviations: HF, high frequency; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\np < 0.05.\np < 0.01.\np < 0.001.\nGraphical representation of the (significant) bivariate correlations between CRF and HR/HRV markers across stress and baseline conditions. CRF, cardiorespiratory fitness; HF, high frequency; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\nGraphical representation of the bivariate correlations between CRF and markers of mood and state anxiety across stress and baseline conditions. CRF, Cardiorespiratory fitness.\n\n\n### Predication of Stress Reactivity by Cardiorespiratory Fitness\nTable 4 shows the results of the linear hierarchical regression analysis. After controlling for relevant confounders and baseline scores (nonstress control condition), CRF did not predict any of the physiological and psychological markers of stress reactivity. The total models explained between 35% and 59% of variance. The overall pattern indicated that baseline values showed the strongest predictive power, with significant regression weights (β) ranging from 0.34 to 0.78 (medium‐to‐strong association). This indicates that students who presented with higher HR, HRV, mood, or state anxiety levels during the regular mathematics lesson (baseline) also had higher scores for these measures during the exam situation. Beyond these influences, CRF did not account for additional explained variance in stress reactivity.\nLinear hierarchical regression analyses predicting physiological and psychological markers during the stress condition with cardiorespiratory fitness (step 3), after controlling for potential confounders (step 1), and baseline values assessed during the nonstress control condition (step 2).\nNote: Age, body mass index, socioeconomic background, feeling prepared for the exam, end‐of‐the‐year grade in mathematics, and nationality were not considered as potential confounders as these variables were neither associated with cardiorespiratory fitness nor with any of the physiological and psychological outcomes during the stress condition.\nAbbreviations: HF, high frequency; HR, heart rate; LF, low frequency; RMSSD, root mean square of successive differences; SDNN, standard deviation of normal‐to‐normal RR‐intervals.\nThe average of the pre and post scores during the stress and baseline condition were used as predictors (step 2) and outcomes.\np < 0.001.\n\n\n### Discussion\nThe key finding of this study is that a mathematics exam, as a personally meaningful real‐life stressor, elicits pronounced physiological and psychological stress responses among adolescent secondary school students. Better CRF was associated with lower HR, higher HRV, better mood and lower state anxiety across the baseline and stress condition. After controlling for relevant confounders and baseline scores of the outcomes, CRF did not explain additional variance in the reactivity of the physiological and psychological markers.\nOur results support the notion that academic exams induce substantial stress reactions, supporting school‐related performance demands as a source of distress. While activation of the sympathoadrenal system is functionally adaptive, facilitating cellular and systemic function (Chrousos 2009), academic stressors may also contribute to increased allostatic load (McEwen 2013), which could entail long‐term negative consequences for those affected (Juster et al. 2010). HRV is considered a viable indicator of the activity of the parasympathetic and sympathetic nervous system (Shaffer and Ginsberg 2017). Specifically, the sympathetic nervous system is responsible for the initiation of a fight‐or‐flight reaction when people are exposed to stress, which results in an increase in HR and a decrease in HRV (Salmio et al. 2024). Although higher HRV is reflective of adequate autonomic control, positive adaptions of the organism and sufficient energy reserves, lower HRV can reflect increased sympathetic activation, disturbed autonomous nervous system (ANS) regulation, inadequate adaptation of the cardiovascular system, chronic stress, and depleted energy reservoirs (Shaffer and Ginsberg 2017).\nGiven that chronically reduced HRV is detrimental to long‐term health (Arakaki et al. 2023), and that stress has a far‐reaching impact on secondary school students' health, wellbeing, and future success (Pascoe et al. 2020), it is crucial to identify strategies to support students in coping with academic stress. Two possible avenues to achieve this goal include the instruction of coping strategies (Lang et al. 2016) or biofeedback training (Goessl et al. 2017). An alternative strategy might be to promote students' CRF.\nThe findings of our study further reinforce that better CRF is associated with more favorable HRV profiles (i.e., higher parasympathetic activity) in adolescents (Oliveira et al. 2017). This can be attributed to physiological adaptations resulting from regular engagement in physical activity (including endurance, resistance, high‐intensity, and coordinative exercises), which enhance HRV parameters (Grassler et al. 2021). Exercise‐based adaptation in HRV can be ascribed to different physiological mechanisms (Grassler et al. 2021), including a reduction in sympathetic influence on HR via decreased plasma noradrenaline concentration (Kiviniemi et al. 2010), suppression of angiotensin II, which in turn might increase the parasympathetic tone on the HR (Routledge et al. 2010), or improved baroreflex functional capacity as a result of nitric oxide synthesis and induction of greater carotid artery distensibility (Bhati et al. 2019). In light of these mechanisms, the promotion of regular exercise training is an important endeavor, as better CRF during youth is associated with a reduced risk of physical health complications later in life (Garcia‐Hermoso et al. 2020).\nAlthough our results align with previous investigations showing that people with better fitness levels tend to be less anxious (Hallgren et al. 2020), our expectation that better CRF would predict a more favorable reaction to a real‐life stressor (after controlling for relevant confounders and baseline scores) was not supported. This is consistent with some previous studies in children and young people, where CRF did not moderate the autonomous stress reactivity in laboratory settings (Childs and de Wit 2014; Gerber, Ludyga, et al. 2017b). Using the Trier Social Stress Test (TSST), Mücke et al. (2021) found that CRF did not account for variance in psychological stress reactivity, whereas better CRF was associated with lower ANS reactivity, as indicated by alpha‐amylase concentration. With regard to the influence of CRF on stress reactivity during exposure to real‐life stressors, von Haaren et al. (2016) found that a 20‐week exercise–training program had a positive effect on HRV in university students and could cushion physiological stress reactivity during semester exams. Nevertheless, it is important to highlight that the absence of statistically significant regression weights in our regression analyses does not indicate that CRF does not mitigate the harmful effects of stress. Rather, as shown in our study, CRF was associated with lower HR, higher HRV, better mood and lower state anxiety independent of students' stress levels. Thus, from a diathesis–stress model perspective, better CRF might reduce the risk that a certain vulnerability threshold is exceeded, beyond which stress begins to be harmful (Nielsen et al. 2020). At present, however, it is difficult to determine where the negative effects of reduced HRV start to manifest. Although attempts were made to establish norms of decreased HRV (Shaffer and Ginsberg 2017), it is uncertain whether these cut‐points are applicable to secondary school students.\nTo our knowledge, our study is among the first to test the association between CRF and the stress response to a personally meaningful, real‐life stressor among adolescents. Our main analyses were controlled for relevant confounders and baseline scores, and we used both physiological and psychological indicators of stress reactivity. In order to rule out that associations are driven by pharmacological factors, current intake of medication with a potential effect on HR/HRV was used as an exclusion criterion. While it is necessary to compare outcomes with a baseline condition when examining stress reactivity, the fact that we used a regular mathematics lesson as a baseline comparator needs to be considered as regular lessons can already elicit low‐level stress and induce low‐level stress reactivity. In turn, this elevated baseline level can mask interaction effects. Given the voluntary nature of participation, we can also not fully rule out that students with higher test anxiety or poorer math skills were less inclined to participate. We also acknowledge that we did not employ a standardized math test and that both the content and likely also the difficulty of the exams may have varied. Although the 20m shuttle–run test is well‐established in child and adolescent research (see Supporting Information S1), differences in motivation and other potential sources of measurement error may have influenced performance and thus, our findings. Finally, fitness levels were relatively high in the present study compared to international samples (Tomkinson et al. 2017), and based on their absolute HRV scores, our sample appeared to be in good health condition (Shaffer and Ginsberg 2017). Consequently, a ceiling effect cannot be ruled out. The hypothesized association between CRF and stress reactivity may be more readily demonstrated in a sample exhibiting greater variation in fitness levels and/or health status. Finally, we also acknowledge that we did not control for the menstrual cycle of the female participants.\n\n\n### Strengths and Limitations\nTo our knowledge, our study is among the first to test the association between CRF and the stress response to a personally meaningful, real‐life stressor among adolescents. Our main analyses were controlled for relevant confounders and baseline scores, and we used both physiological and psychological indicators of stress reactivity. In order to rule out that associations are driven by pharmacological factors, current intake of medication with a potential effect on HR/HRV was used as an exclusion criterion. While it is necessary to compare outcomes with a baseline condition when examining stress reactivity, the fact that we used a regular mathematics lesson as a baseline comparator needs to be considered as regular lessons can already elicit low‐level stress and induce low‐level stress reactivity. In turn, this elevated baseline level can mask interaction effects. Given the voluntary nature of participation, we can also not fully rule out that students with higher test anxiety or poorer math skills were less inclined to participate. We also acknowledge that we did not employ a standardized math test and that both the content and likely also the difficulty of the exams may have varied. Although the 20m shuttle–run test is well‐established in child and adolescent research (see Supporting Information S1), differences in motivation and other potential sources of measurement error may have influenced performance and thus, our findings. Finally, fitness levels were relatively high in the present study compared to international samples (Tomkinson et al. 2017), and based on their absolute HRV scores, our sample appeared to be in good health condition (Shaffer and Ginsberg 2017). Consequently, a ceiling effect cannot be ruled out. The hypothesized association between CRF and stress reactivity may be more readily demonstrated in a sample exhibiting greater variation in fitness levels and/or health status. Finally, we also acknowledge that we did not control for the menstrual cycle of the female participants.\n\n\n### Conclusion\nIn this study, we studied whether CRF predicts HR, HRV, current mood states, and state anxiety during a real‐life academic stressor (maths exam) after controlling for relevant confounders and baseline values assessed during a regular mathematics lesson. As shown in our study, exposure to a mathematics exam elicited substantial stress responses in adolescent secondary school students. While better CRF was associated with favorable physiological and psychological states, this relationship appeared to be independent of students' current stress exposure. The identification of factors that contribute to an adaptive response to acute stressors is of considerable importance, as prolonged dysregulation of the stress response has been linked to adverse health outcomes, and academic stress has been identified as a risk factor for subsequent mental health problems in adolescents. Further research employing other ecologically valid stressors is warranted to better understand the relationship between CRF and physiological and psychological stress reactivity in real life.\n\n\n### Funding\nThe authors have nothing to report.\n\n\n### Ethics Statement\nThe procedures of this study were approved by the responsible ethical review board prior to data collection (EKNZ, 2022‐01438).\n\n\n### Consent\nAll students and their parents/legal guardians provided written informed consent.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Permission to Reproduce Material From Other Sources\nThe authors have nothing to report.\n\n\n### Supporting information\nSupporting Information S1", "domain": "affective_neuroscience"}
{"source": "PMC13039922", "title": "Pupil-based arousal self-regulation: impact on physiological and affective responses to emotional stimuli", "text": "# Pupil-based arousal self-regulation: impact on physiological and affective responses to emotional stimuli\n\n## Abstract\nPupil-based biofeedback has been shown to enable healthy participants to volitionally control locus coeruleus-mediated arousal. The locus coeruleus is considered a critical player in the central stress circuitry and dysfunctions in the system, causing dysregulated arousal levels, have been tightly linked to neuropsychiatric disorders such as anxiety and stress-related disorders and stress-induced cardiovascular vulnerability. Yet, it remains unclear whether physiological and self-rated affective responses to emotional stimuli are influenced by volitional control of arousal levels. In this study, healthy participants were presented with emotional (negative) or neutral sounds while they self-regulated (i.e., up- and downregulated) pupil size and pupil-linked arousal levels, a skill acquired through prior pupil-based biofeedback training. While no immediate online effect of such self-regulation on self-rated affect experience was observed, greater gains in pupil downregulation training predicted reduced affect experiences, particularly in response to negative sounds. Furthermore, larger pupil dilation responses to sounds were found during both pupil size up- and downregulation compared to a non-regulatory control condition, potentially indicating regulatory effort associated with pupil self-regulation. However, heart rate responses significantly decelerated during sound presentation and concurrent pupil size downregulation, suggesting parasympathetic dominance. These results provide the first evidence that pupil-based biofeedback training may modulate both self-rated and physiological responses to emotional sounds to a certain extent, highlighting its potential as a tool for reducing hyperarousal and hyperresponsivity to emotional sounds, as seen in anxiety and stress-related disorders, through pupil-linked arousal self-regulation.\n\n## Full Text\n\n\n### Introduction\nThe brain arousal levels greatly influence fundamental behaviors and mental well-being [1–5]. Multiple neuromodulatory systems are involved in arousal regulation with the locus coeruleus (LC) considered one of the primary modulators [6–8]. The LC projects to most cortical areas, orchestrating the distribution of noradrenaline (NA) to the central nervous system [6, 9], while receiving top-down input from the anterior cingulate cortex (ACC) and the orbitofrontal cortex (OFC) [10, 11]. Recent evidence implicates the LC-NA system as a key pathway causing dysregulated arousal states tightly linked to neuropsychiatric disorders including anxiety, depression and stress-related disorders [12–16]. Consistent with its role as a key hub in the central stress circuitry [5], the LC-NA system also mediates stress-induced cardiovascular vulnerability through projections to brainstem and spinal cord areas regulating autonomic functions [17, 18].\nModulating the human LC proves challenging due to its small size and location deep in the brainstem. Thus, measuring its activity and evaluating a successful modulation, remains challenging. Recently, we developed a pupil-based biofeedback (pupil-BF) approach that makes the brain’s arousal system accessible to volitional control [19]. This approach leverages the known co-dependence of (LC-driven) changes in arousal and pupil size under constant lighting conditions [1, 20–25]. Pupil-BF allows healthy individuals to volitionally increase [19, 26, 27] and decrease [19] (i.e., up- and downregulate) their pupil size while receiving real-time pupil diameter feedback. Importantly, using brainstem functional magnetic resonance imaging, we found that such self-regulation is associated with activity changes in the LC and, to a lesser extent, other arousal-regulating centers including dopaminergic and cholinergic regions [19]. Furthermore, markers of cortical excitability and cardiovascular arousal changed in tandem with pupil-based self-regulation [28].\nDuring threatening situations, the LC releases NA, globally increasing arousal and reconfiguring large-scale brain networks [18, 24, 29–31]. Excessive or chronically increased LC activity is associated with maladaptive states, such as pathological anxiety [15, 32]. In rodents, stressors promote anxiety-like behaviors through LC-projections to the amygdala, where NA release alters function and consequently behavior [33]. Repeated exposure to such stimuli can increase anxiety-like behaviors [34] and LC sensitivity [35]. Direct evidence associating LC responsivity with psychopathology in humans remains limited. However, one study found that LC responses during an emotional conflict task predict an individual’s resilience to developing anxiety and depression symptoms under prolonged occupational stressors [36]. Furthermore, individuals diagnosed with post-traumatic stress disorder show stronger LC activity to sounds, which may mediate hyperarousal and hyperresponsiveness to sensory stimuli in these individuals [37]. Besides responses to the emotional content of stimuli (i.e., emotional reactivity [38–40]), there is first evidence that LC-NA activity indexed by pupil dilation, may be reflective of regulatory control [40], i.e., the modulation of response intensity, duration, or extent when facing an emotional situation (i.e., emotion regulation [41, 42]). Such regulatory control is crucial, and impairments have been considered a major risk factor for the development and maintenance of psychopathologies, including anxiety and stress-related disorders [43–45]. At the neural level, effortful emotion regulation has been associated with activity increases in cortical regions associated with response inhibition and cognitive control including the ventrolateral and dorsolateral prefrontal cortex, which may coincide with the downregulation of activity in emotion processing regions such as the amygdala or insula (for a review, see [46]). Interestingly, the LC-NA system is not only densely connected to these emotion processing regions [33, 47], but to cognitive control centers in the prefrontal cortex [10, 11], which may underly its potential role in regulatory control processes.\nWe have previously shown that participants can volitionally control LC-mediated arousal through pupil-BF. However, it remains unclear whether such volitional control affects self-rated affective and physiological responses induced by emotional stimuli. To address this, we combined pupil self-regulation, previously acquired through pupil-BF training, with concurrent presentation of emotional (i.e., negative) or neutral sounds. Participants were instructed to self-regulate pupil size prior to sound onset, allowing us to assess whether different pupil-based arousal states affect responses to emotional stimuli. First, we tested (i) whether such pupil self-regulation modulates self-reported affect experiences, especially following negative sounds, and (ii) whether pupil-BF training success predicts these experiences. Second, we examined whether physiological responses elicited by sound presentation were (iii) influenced by concurrent pupil self-regulation and (iv) linked to self-reported affect experiences.\n\n\n### Methods\nWe recruited 25 healthy participants (13 females; age 27±6 years) from a pool of previous participants [19, 28] or via online advertisement. Since this is, to our knowledge, the first study combining pupil-BF with the presentation of emotional stimuli, no statistical methods were used to pre-determine sample sizes. However, our sample size is similar or larger to those in previous studies investigating behavioral and physiological responses to emotion-inducing stimuli [38–40, 48]. All participants received standardized instructions and performed the measurements in a noise-shielded room allowing participants to focus on their task under controlled lighting conditions. Two participants did not complete all experimental sessions, resulting in a final sample size of n = 23 (12 females). All participants reported no neurological or psychiatric disorders, no intake of medication acting on the central nervous system and had normal or corrected-to-normal vision by contact lenses. On testing days, participants were asked to abstain from caffeine and the application of eye make-up. The study was conducted with the approval of the Cantonal Ethics Committee Zurich (KEK-ZH 2018-01078) and in accordance with the Declaration of Helsinki. Prior to participation, participants gave their written informed consent. Study participation was compensated (i.e., CHF 20/h).\nParticipants completed three pupil-BF training sessions as reported previously [19, 28]. Participants used mental strategies to up- or downregulate pupil size while receiving (real-time) pupil-BF (for further details, see Supplementary Material 1.1).\nAfter pupil-BF training, participants underwent a fourth session. If more than 10 days passed since the last pupil-BF session, participants received one re-training session identical to session 3 to ensure continued ability to modulate pupil size.\nDuring the fourth session, participants applied pupil self-regulation strategies (i.e., UP and DOWN) or performed a non-regulatory control (NON-REG) task while listening to 60 negative and 60 neutral sounds from the IADS-2 [49] databank (Fig. 1b). Each condition was presented in blocks of 5 trials. These blocks were presented in pseudorandomized manner. For a detailed description of the sounds and block structure, see Supplementary Material 1.2Emotion-inducing task: Stimuli & block design. Each trial comprised of an instruction, a pupil baseline measurement, a pre-sound modulation phase, a modulation phase during sound presentation, self-ratings, and a break (illustrated in Fig. 1b). During the baseline phase, participants counted backwards from 100 in steps of four to ensure a controlled mental state and to avoid early application of modulation strategies. Participants were then either self-regulating their pupil size (applying strategies acquired during pupil-BF training to induce different LC-mediated arousal states prior to sound onset) or to continue counting backwards (non-regulatory control). This aimed to investigate whether varying pupil-based arousal states result in distinct physiological and subjective responses to emotionally negative stimuli. Then, a negative or neutral sound was played, during which participants continued to up- or downregulate pupil size or listened (NON-REG). Following sound presentation, participants intuitively rated the intensity of their experienced affect (weak-strong) evoked by the sound, arousal (calm-arousing) and valence (unpleasant-pleasant) on a continuous visual analogue scale (VAS) using the right and left keyboard arrow bars. Then, color-coded post-trial feedback appeared: Successful modulation (i.e., larger mean pupil size for UP/smaller for DOWN compared to baseline) was indicated by a green circle, indicating the average change in pupil size relative to the measured baseline shown as dashed circle. Unsuccessful modulation was signaled by a magenta circle. The feedback was calculated as described for training session 3 (Supplementary Material 1.1.). Between blocks of 5 trials, participants could take self-paced breaks. Colors on the screen were isoluminant to the grey background and the same as used during the third day of pupil-BF training (Supplementary Material 1.1.).Fig. 1Pupil-based biofeedback combined with emotional (i.e., negative) and neutral sound presentation.a During pupil-based biofeedback participants apply mental strategies that have been shown to modulate arousal levels associated with the LC-NA system. During pupil-based biofeedback training sessions 1–3, participants (n = 23) were trained on three separate days to learn to upregulate and downregulate their own pupil size (30 UP/30 DOWN trials per session) indexing LC-mediated arousal. The lower panel shows pupil upregulation and downregulation performance, respectively, averaged across the 15 s modulation phase of session 1 and 3 (Pupil-BF training). We found a significant improvement from session 1 to session 3 for downregulation (paired samples t-test: t(22) = 4.91; p < 0.001) but not for upregulation of pupil size (p = 0.14). b Exemplary trial of the emotion session (session 4). Participants regulated pupil or executed a non-regulatory control task while listening to emotion-inducing, negative versus neutral sounds. Each trial started with a 3 s baseline phase, followed by 2 s of modulation (UP, DOWN, NON-REG) with no sounds, followed by 6 s of modulation (UP, DOWN, NON-REG) while negative or neutral sounds were played. An unrestricted rating phase followed during which participants self-reported on experienced affect intensity, arousal and valence levels using a visual analogue scale. Finally, 1.5 s of color-coded post-trial performance feedback was displayed reflecting the pupil self-regulation success (in green if successful and in magenta if unsuccessful). During non-regulatory trials, performance feedback was replaced by a pink fixation dot to keep trial timings similar between conditions. Throughout the trials, heart rate, respiration, and pupil size were continuously recorded. BF = biofeedback; VAS = visual analogue scale. Instruct = Instruction. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares and triangles represent individual participants. Tests were two-tailed and corrected for multiple comparisons.\na During pupil-based biofeedback participants apply mental strategies that have been shown to modulate arousal levels associated with the LC-NA system. During pupil-based biofeedback training sessions 1–3, participants (n = 23) were trained on three separate days to learn to upregulate and downregulate their own pupil size (30 UP/30 DOWN trials per session) indexing LC-mediated arousal. The lower panel shows pupil upregulation and downregulation performance, respectively, averaged across the 15 s modulation phase of session 1 and 3 (Pupil-BF training). We found a significant improvement from session 1 to session 3 for downregulation (paired samples t-test: t(22) = 4.91; p < 0.001) but not for upregulation of pupil size (p = 0.14). b Exemplary trial of the emotion session (session 4). Participants regulated pupil or executed a non-regulatory control task while listening to emotion-inducing, negative versus neutral sounds. Each trial started with a 3 s baseline phase, followed by 2 s of modulation (UP, DOWN, NON-REG) with no sounds, followed by 6 s of modulation (UP, DOWN, NON-REG) while negative or neutral sounds were played. An unrestricted rating phase followed during which participants self-reported on experienced affect intensity, arousal and valence levels using a visual analogue scale. Finally, 1.5 s of color-coded post-trial performance feedback was displayed reflecting the pupil self-regulation success (in green if successful and in magenta if unsuccessful). During non-regulatory trials, performance feedback was replaced by a pink fixation dot to keep trial timings similar between conditions. Throughout the trials, heart rate, respiration, and pupil size were continuously recorded. BF = biofeedback; VAS = visual analogue scale. Instruct = Instruction. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares and triangles represent individual participants. Tests were two-tailed and corrected for multiple comparisons.\nPupil size, electrocardiography (ECG) and respiratory data was recorded throughout all sessions. Respiratory data are not reported here. For details see Supplementary Material 1.3Pupil size and cardiovascular measurements.\nTo assess participants’ emotion regulation strategies, the emotion regulation questionnaire (ERQ) targeting the habitual use of expressive suppression and cognitive reappraisal was used [50, 51]. State and trait anxiety were assessed using the state and trait anxiety inventory (STAI) [52]. While the ERQ and the trait STAI were assessed during pupil-BF training or re-training, state anxiety was assessed on the day of the emotion-inducing session prior to the experimental task (see Supplementary Material 1.8 and 1.9, and Supplementary Fig. 7).\nAs a primary outcome, we investigated the intensity of affect experience for all self-regulation and non-regulatory control conditions (arousal and valence ratings are secondary outcomes and reported in Supplementary Fig. 1). All VAS scores (0–100) were extracted and averaged across negative and neutral sound trials for each condition (UP, DOWN, NON-REG) and each participant.\nIf not reported otherwise throughout the manuscript, statistical analyses were performed using IBM SPSS 28.0.1.1 (IBM Corporation, Armonk, NY, USA) and all analyses were corrected for multiple comparisons using sequential Bonferroni correction [53]. To investigate the effect of self-regulation and sound condition on self-reported affect experiences, we conducted a repeated measures ANOVA with the within-subjects factors self-regulation (UP versus DOWN versus NON-REG) and sound (negative versus neutral). Sphericity was assessed using Mauchly’s sphericity test and violations were accounted for with the Greenhouse-Geisser correction. Since some residuals of the arousal and valence ratings deviated significantly from normal distribution (Shapiro Wilk: p < 0.05), we conducted non-parametric tests for these outcomes. First, we compared neutral versus negative sound ratings for each self-regulation condition using Wilcoxon signed rank tests. Then, we conducted Friedman ANOVAs for arousal and valence ratings, respectively, where we tested the effect of self-regulation in each sound condition separately. To test for potential interaction effects, a Friedman ANOVA was conducted on the difference between negative and neutral sounds with the within-subjects factor self-regulation condition (UP versus DOWN versus NON-REG). In case of significant effects, we derived post-hoc p-values.\nPupil data was pre-processed as described in Meissner et al. [19] (see Supplementary Methods 1.4Offline processing of pupil data for details).\nFor pupil-BF data, we averaged the baseline-corrected pupil diameter time series during modulation phases across the UP and DOWN condition at the beginning (session 1) and end of training (session 3) for each participant.\nTo investigate whether participants significantly improved their pupil self-regulation ability across the course of training, we conducted a repeated measures ANOVA with the within-subjects factors session (1 versus 3) and self-regulation (UP versus DOWN). In case of a significant interaction, we derived post-hoc p-values. Pupil data of session 3 was reported previously in the context of cortical arousal markers during pupil-BF [28].\nBaseline-corrected pupil size time series were computed for the final second of the baseline phase, pre-sound modulation and during sound presentation. Data was averaged for each sound (neutral and negative) and self-regulation condition (UP, DOWN and NON-REG), leading to six different time series. Then, mean pupil size of the last 200 ms before sound onset (averaged across sound conditions) was analyzed via a Friedman ANOVA to assess whether participants successfully modulated pupil size prior to sounds.\nTo examine whether pupil dilation responses varied with self-regulation and sound condition, pupil time series were baseline-corrected to the last 200 ms before sound onset and analyzed using the MATLAB-based SPM1D toolbox for one dimensional data (SPM1D version M.0.4.11; https://spm1d.org/ [19, 54, 55]). Since some residuals violated normality (D’Agostino-Pearson K² test; p < 0.05), the data was subjected to a non-parametric permutation-based two-way repeated-measures ANOVA with the within-subjects factors sound (negative vs. neutral) and self-regulation (UP vs. DOWN vs. NON-REG). SPM1D post-hoc comparisons were performed using non-parametric permutation-based two-sided paired t-tests with Bonferroni correction.\nTo explore differences in pupil dilation velocity depending on self-regulation and sound condition, we computed the first derivative of baseline-corrected pupil time series [46] (for details, see Supplementary Methods 1.5Pupil time series analysis). Derivative-based time series were averaged per participant within each self-regulation and sound condition. Statistical differences were assessed using the same SPM1D approach as described in the previous paragraph. As a secondary analysis, we investigated whether pupil-BF training success was linked to derivative-extracted measures. For each sound and self-regulation condition, peak pupil dilation velocity and latency to peak velocity were extracted from the first derivative of the baseline-corrected pupil time series to sounds. To reduce the number of statistical comparisons, pupil-BF training success was based on the difference in pupil modulation indices (MI, the time series during downregulation subtracted from the time series during upregulation (UP-DOWN), averaged across the 15 s modulation phase) between session 1 and 3 in this secondary analysis. This modulation index was correlated with the extracted peak and latency variables for each sound and self-regulation condition. Since most of the residuals, especially those of the latency variables, were violating normality, we computed Spearman’s Rho correlation coefficients.\nCardiac data pre-processing followed Meissner et al. [19] and is described in Supplementary Methods 1.6. Cardiac data (pre-)processing. Relative heart rate changes were calculated for each time point:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\% -{heart}\\,{rate}\\,{change}=100* \\frac{{heart}\\,{rate}-{mean}\\,{heart}\\,{rate}\\,{Baseline}}{{mean}\\,{heart}\\,{rate}\\,{Baseline}}$$\\end{document}%−heartratechange=100*heartrate−meanheartrateBaselinemeanheartrateBaseline\nThen, we calculated the average change in heart rate for each sound and self-regulation condition during sound presentation as compared to the pre-sound modulation phase.\nTo investigate whether pupil self-regulation systematically modulated heart rate in response to negative and neutral sounds, we subjected average heart rate changes to sounds for each self-regulation (UP versus DOWN versus NON-REG) and sound condition (neutral versus negative) to a repeated-measures ANOVA. Sphericity was assessed using Mauchly’s sphericity test and violations were accounted for with the Greenhouse-Geisser correction. In case of significant effects, we derived post-hoc p-values. For additional control analyses of the baseline phase, refer to Supplementary Methods 1.7. Control analysis of the average baseline values for heart rate and pupil size [53].\nTo further investigate our research question of whether pupil-BF training success is related to self-rated affect experiences evoked by sounds, and especially negative sounds, we conducted three stepwise regression analyses. Affect ratings averaged within the respective self-regulation conditions (UP, DOWN, and NON-REG) for negative sounds were entered as dependent variables. To investigate differential effects of up- and downregulation training on self-ratings, improvements in pupil size upregulation (i.e., UPsession3-UPsession1) and downregulation (i.e., DOWNsession3-DOWNsession1) were entered as predictors, while controlling for participants’ sex [53]. Three additional exploratory stepwise regression analyses were calculated for the ratings of neutral sounds using the same predictors.\nEven though self-reported emotion measures are the outcome of choice in behavioural emotion regulation studies and are considered stable and reliable [46], we implemented in an additional analysis an attenuation correction based on the modified Spearman’s attenuation equation [56] to account for possibly limited retest-reliability in our sample (maximum assumed reliability = 0.9; see Supplementary Methods 1.10Spearman’s attenuation correction).\nFinally, we tested the hypothesis that maximum pupil dilation responses to sounds extracted from the baseline-corrected pupil time series are predictive of self-reported affect experiences induced by negative sounds. Here, we conducted two separate stepwise regression analyses with the differences in affect experiences (i.e., UP – NON-REG and NON-REG – DOWN) as dependent variable and pupil dilation differences (i.e., UP – NON-REG and NON-REG – DOWN) as predictors while controlling for sex. Exploratory control analyses were repeated for neutral sound conditions implementing the same predictors and dependent variables. In case variables were not normally distributed, Spearman’s Rho correlation coefficients were calculated.\nAdditionally, we aimed to investigate whether pupil dilation velocity-related measures extracted from the first derivative of baseline-corrected pupil time series were significantly related to affect experiences. However, since peak velocity-derived measures consistently correlated positively with maximum pupil dilation responses (all correlation coefficients > 0.52), we refrained from additional analyses since the unique contributions of the different variables could not necessarily be disentangled (e.g., multicollinearity issue).\n\n\n### Participants\nWe recruited 25 healthy participants (13 females; age 27±6 years) from a pool of previous participants [19, 28] or via online advertisement. Since this is, to our knowledge, the first study combining pupil-BF with the presentation of emotional stimuli, no statistical methods were used to pre-determine sample sizes. However, our sample size is similar or larger to those in previous studies investigating behavioral and physiological responses to emotion-inducing stimuli [38–40, 48]. All participants received standardized instructions and performed the measurements in a noise-shielded room allowing participants to focus on their task under controlled lighting conditions. Two participants did not complete all experimental sessions, resulting in a final sample size of n = 23 (12 females). All participants reported no neurological or psychiatric disorders, no intake of medication acting on the central nervous system and had normal or corrected-to-normal vision by contact lenses. On testing days, participants were asked to abstain from caffeine and the application of eye make-up. The study was conducted with the approval of the Cantonal Ethics Committee Zurich (KEK-ZH 2018-01078) and in accordance with the Declaration of Helsinki. Prior to participation, participants gave their written informed consent. Study participation was compensated (i.e., CHF 20/h).\n\n\n### Pupil-BF (session 1-3)\nParticipants completed three pupil-BF training sessions as reported previously [19, 28]. Participants used mental strategies to up- or downregulate pupil size while receiving (real-time) pupil-BF (for further details, see Supplementary Material 1.1).\n\n\n### Emotion-inducing session (session 4)\nAfter pupil-BF training, participants underwent a fourth session. If more than 10 days passed since the last pupil-BF session, participants received one re-training session identical to session 3 to ensure continued ability to modulate pupil size.\nDuring the fourth session, participants applied pupil self-regulation strategies (i.e., UP and DOWN) or performed a non-regulatory control (NON-REG) task while listening to 60 negative and 60 neutral sounds from the IADS-2 [49] databank (Fig. 1b). Each condition was presented in blocks of 5 trials. These blocks were presented in pseudorandomized manner. For a detailed description of the sounds and block structure, see Supplementary Material 1.2Emotion-inducing task: Stimuli & block design. Each trial comprised of an instruction, a pupil baseline measurement, a pre-sound modulation phase, a modulation phase during sound presentation, self-ratings, and a break (illustrated in Fig. 1b). During the baseline phase, participants counted backwards from 100 in steps of four to ensure a controlled mental state and to avoid early application of modulation strategies. Participants were then either self-regulating their pupil size (applying strategies acquired during pupil-BF training to induce different LC-mediated arousal states prior to sound onset) or to continue counting backwards (non-regulatory control). This aimed to investigate whether varying pupil-based arousal states result in distinct physiological and subjective responses to emotionally negative stimuli. Then, a negative or neutral sound was played, during which participants continued to up- or downregulate pupil size or listened (NON-REG). Following sound presentation, participants intuitively rated the intensity of their experienced affect (weak-strong) evoked by the sound, arousal (calm-arousing) and valence (unpleasant-pleasant) on a continuous visual analogue scale (VAS) using the right and left keyboard arrow bars. Then, color-coded post-trial feedback appeared: Successful modulation (i.e., larger mean pupil size for UP/smaller for DOWN compared to baseline) was indicated by a green circle, indicating the average change in pupil size relative to the measured baseline shown as dashed circle. Unsuccessful modulation was signaled by a magenta circle. The feedback was calculated as described for training session 3 (Supplementary Material 1.1.). Between blocks of 5 trials, participants could take self-paced breaks. Colors on the screen were isoluminant to the grey background and the same as used during the third day of pupil-BF training (Supplementary Material 1.1.).Fig. 1Pupil-based biofeedback combined with emotional (i.e., negative) and neutral sound presentation.a During pupil-based biofeedback participants apply mental strategies that have been shown to modulate arousal levels associated with the LC-NA system. During pupil-based biofeedback training sessions 1–3, participants (n = 23) were trained on three separate days to learn to upregulate and downregulate their own pupil size (30 UP/30 DOWN trials per session) indexing LC-mediated arousal. The lower panel shows pupil upregulation and downregulation performance, respectively, averaged across the 15 s modulation phase of session 1 and 3 (Pupil-BF training). We found a significant improvement from session 1 to session 3 for downregulation (paired samples t-test: t(22) = 4.91; p < 0.001) but not for upregulation of pupil size (p = 0.14). b Exemplary trial of the emotion session (session 4). Participants regulated pupil or executed a non-regulatory control task while listening to emotion-inducing, negative versus neutral sounds. Each trial started with a 3 s baseline phase, followed by 2 s of modulation (UP, DOWN, NON-REG) with no sounds, followed by 6 s of modulation (UP, DOWN, NON-REG) while negative or neutral sounds were played. An unrestricted rating phase followed during which participants self-reported on experienced affect intensity, arousal and valence levels using a visual analogue scale. Finally, 1.5 s of color-coded post-trial performance feedback was displayed reflecting the pupil self-regulation success (in green if successful and in magenta if unsuccessful). During non-regulatory trials, performance feedback was replaced by a pink fixation dot to keep trial timings similar between conditions. Throughout the trials, heart rate, respiration, and pupil size were continuously recorded. BF = biofeedback; VAS = visual analogue scale. Instruct = Instruction. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares and triangles represent individual participants. Tests were two-tailed and corrected for multiple comparisons.\na During pupil-based biofeedback participants apply mental strategies that have been shown to modulate arousal levels associated with the LC-NA system. During pupil-based biofeedback training sessions 1–3, participants (n = 23) were trained on three separate days to learn to upregulate and downregulate their own pupil size (30 UP/30 DOWN trials per session) indexing LC-mediated arousal. The lower panel shows pupil upregulation and downregulation performance, respectively, averaged across the 15 s modulation phase of session 1 and 3 (Pupil-BF training). We found a significant improvement from session 1 to session 3 for downregulation (paired samples t-test: t(22) = 4.91; p < 0.001) but not for upregulation of pupil size (p = 0.14). b Exemplary trial of the emotion session (session 4). Participants regulated pupil or executed a non-regulatory control task while listening to emotion-inducing, negative versus neutral sounds. Each trial started with a 3 s baseline phase, followed by 2 s of modulation (UP, DOWN, NON-REG) with no sounds, followed by 6 s of modulation (UP, DOWN, NON-REG) while negative or neutral sounds were played. An unrestricted rating phase followed during which participants self-reported on experienced affect intensity, arousal and valence levels using a visual analogue scale. Finally, 1.5 s of color-coded post-trial performance feedback was displayed reflecting the pupil self-regulation success (in green if successful and in magenta if unsuccessful). During non-regulatory trials, performance feedback was replaced by a pink fixation dot to keep trial timings similar between conditions. Throughout the trials, heart rate, respiration, and pupil size were continuously recorded. BF = biofeedback; VAS = visual analogue scale. Instruct = Instruction. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares and triangles represent individual participants. Tests were two-tailed and corrected for multiple comparisons.\n\n\n### Pupil and cardiovascular measurements\nPupil size, electrocardiography (ECG) and respiratory data was recorded throughout all sessions. Respiratory data are not reported here. For details see Supplementary Material 1.3Pupil size and cardiovascular measurements.\n\n\n### Questionnaires\nTo assess participants’ emotion regulation strategies, the emotion regulation questionnaire (ERQ) targeting the habitual use of expressive suppression and cognitive reappraisal was used [50, 51]. State and trait anxiety were assessed using the state and trait anxiety inventory (STAI) [52]. While the ERQ and the trait STAI were assessed during pupil-BF training or re-training, state anxiety was assessed on the day of the emotion-inducing session prior to the experimental task (see Supplementary Material 1.8 and 1.9, and Supplementary Fig. 7).\n\n\n### Self-report data analysis\nAs a primary outcome, we investigated the intensity of affect experience for all self-regulation and non-regulatory control conditions (arousal and valence ratings are secondary outcomes and reported in Supplementary Fig. 1). All VAS scores (0–100) were extracted and averaged across negative and neutral sound trials for each condition (UP, DOWN, NON-REG) and each participant.\nIf not reported otherwise throughout the manuscript, statistical analyses were performed using IBM SPSS 28.0.1.1 (IBM Corporation, Armonk, NY, USA) and all analyses were corrected for multiple comparisons using sequential Bonferroni correction [53]. To investigate the effect of self-regulation and sound condition on self-reported affect experiences, we conducted a repeated measures ANOVA with the within-subjects factors self-regulation (UP versus DOWN versus NON-REG) and sound (negative versus neutral). Sphericity was assessed using Mauchly’s sphericity test and violations were accounted for with the Greenhouse-Geisser correction. Since some residuals of the arousal and valence ratings deviated significantly from normal distribution (Shapiro Wilk: p < 0.05), we conducted non-parametric tests for these outcomes. First, we compared neutral versus negative sound ratings for each self-regulation condition using Wilcoxon signed rank tests. Then, we conducted Friedman ANOVAs for arousal and valence ratings, respectively, where we tested the effect of self-regulation in each sound condition separately. To test for potential interaction effects, a Friedman ANOVA was conducted on the difference between negative and neutral sounds with the within-subjects factor self-regulation condition (UP versus DOWN versus NON-REG). In case of significant effects, we derived post-hoc p-values.\n\n\n### Pupil data offline processing and analysis\nPupil data was pre-processed as described in Meissner et al. [19] (see Supplementary Methods 1.4Offline processing of pupil data for details).\nFor pupil-BF data, we averaged the baseline-corrected pupil diameter time series during modulation phases across the UP and DOWN condition at the beginning (session 1) and end of training (session 3) for each participant.\nTo investigate whether participants significantly improved their pupil self-regulation ability across the course of training, we conducted a repeated measures ANOVA with the within-subjects factors session (1 versus 3) and self-regulation (UP versus DOWN). In case of a significant interaction, we derived post-hoc p-values. Pupil data of session 3 was reported previously in the context of cortical arousal markers during pupil-BF [28].\nBaseline-corrected pupil size time series were computed for the final second of the baseline phase, pre-sound modulation and during sound presentation. Data was averaged for each sound (neutral and negative) and self-regulation condition (UP, DOWN and NON-REG), leading to six different time series. Then, mean pupil size of the last 200 ms before sound onset (averaged across sound conditions) was analyzed via a Friedman ANOVA to assess whether participants successfully modulated pupil size prior to sounds.\nTo examine whether pupil dilation responses varied with self-regulation and sound condition, pupil time series were baseline-corrected to the last 200 ms before sound onset and analyzed using the MATLAB-based SPM1D toolbox for one dimensional data (SPM1D version M.0.4.11; https://spm1d.org/ [19, 54, 55]). Since some residuals violated normality (D’Agostino-Pearson K² test; p < 0.05), the data was subjected to a non-parametric permutation-based two-way repeated-measures ANOVA with the within-subjects factors sound (negative vs. neutral) and self-regulation (UP vs. DOWN vs. NON-REG). SPM1D post-hoc comparisons were performed using non-parametric permutation-based two-sided paired t-tests with Bonferroni correction.\nTo explore differences in pupil dilation velocity depending on self-regulation and sound condition, we computed the first derivative of baseline-corrected pupil time series [46] (for details, see Supplementary Methods 1.5Pupil time series analysis). Derivative-based time series were averaged per participant within each self-regulation and sound condition. Statistical differences were assessed using the same SPM1D approach as described in the previous paragraph. As a secondary analysis, we investigated whether pupil-BF training success was linked to derivative-extracted measures. For each sound and self-regulation condition, peak pupil dilation velocity and latency to peak velocity were extracted from the first derivative of the baseline-corrected pupil time series to sounds. To reduce the number of statistical comparisons, pupil-BF training success was based on the difference in pupil modulation indices (MI, the time series during downregulation subtracted from the time series during upregulation (UP-DOWN), averaged across the 15 s modulation phase) between session 1 and 3 in this secondary analysis. This modulation index was correlated with the extracted peak and latency variables for each sound and self-regulation condition. Since most of the residuals, especially those of the latency variables, were violating normality, we computed Spearman’s Rho correlation coefficients.\n\n\n### Pupil-BF training data\nFor pupil-BF data, we averaged the baseline-corrected pupil diameter time series during modulation phases across the UP and DOWN condition at the beginning (session 1) and end of training (session 3) for each participant.\nTo investigate whether participants significantly improved their pupil self-regulation ability across the course of training, we conducted a repeated measures ANOVA with the within-subjects factors session (1 versus 3) and self-regulation (UP versus DOWN). In case of a significant interaction, we derived post-hoc p-values. Pupil data of session 3 was reported previously in the context of cortical arousal markers during pupil-BF [28].\n\n\n### Pupil size changes during emotion-induction: Pupil self-regulation and pupil dilation responses to sounds\nBaseline-corrected pupil size time series were computed for the final second of the baseline phase, pre-sound modulation and during sound presentation. Data was averaged for each sound (neutral and negative) and self-regulation condition (UP, DOWN and NON-REG), leading to six different time series. Then, mean pupil size of the last 200 ms before sound onset (averaged across sound conditions) was analyzed via a Friedman ANOVA to assess whether participants successfully modulated pupil size prior to sounds.\nTo examine whether pupil dilation responses varied with self-regulation and sound condition, pupil time series were baseline-corrected to the last 200 ms before sound onset and analyzed using the MATLAB-based SPM1D toolbox for one dimensional data (SPM1D version M.0.4.11; https://spm1d.org/ [19, 54, 55]). Since some residuals violated normality (D’Agostino-Pearson K² test; p < 0.05), the data was subjected to a non-parametric permutation-based two-way repeated-measures ANOVA with the within-subjects factors sound (negative vs. neutral) and self-regulation (UP vs. DOWN vs. NON-REG). SPM1D post-hoc comparisons were performed using non-parametric permutation-based two-sided paired t-tests with Bonferroni correction.\nTo explore differences in pupil dilation velocity depending on self-regulation and sound condition, we computed the first derivative of baseline-corrected pupil time series [46] (for details, see Supplementary Methods 1.5Pupil time series analysis). Derivative-based time series were averaged per participant within each self-regulation and sound condition. Statistical differences were assessed using the same SPM1D approach as described in the previous paragraph. As a secondary analysis, we investigated whether pupil-BF training success was linked to derivative-extracted measures. For each sound and self-regulation condition, peak pupil dilation velocity and latency to peak velocity were extracted from the first derivative of the baseline-corrected pupil time series to sounds. To reduce the number of statistical comparisons, pupil-BF training success was based on the difference in pupil modulation indices (MI, the time series during downregulation subtracted from the time series during upregulation (UP-DOWN), averaged across the 15 s modulation phase) between session 1 and 3 in this secondary analysis. This modulation index was correlated with the extracted peak and latency variables for each sound and self-regulation condition. Since most of the residuals, especially those of the latency variables, were violating normality, we computed Spearman’s Rho correlation coefficients.\n\n\n### Cardiac data (pre-)processing and analyses\nCardiac data pre-processing followed Meissner et al. [19] and is described in Supplementary Methods 1.6. Cardiac data (pre-)processing. Relative heart rate changes were calculated for each time point:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\% -{heart}\\,{rate}\\,{change}=100* \\frac{{heart}\\,{rate}-{mean}\\,{heart}\\,{rate}\\,{Baseline}}{{mean}\\,{heart}\\,{rate}\\,{Baseline}}$$\\end{document}%−heartratechange=100*heartrate−meanheartrateBaselinemeanheartrateBaseline\nThen, we calculated the average change in heart rate for each sound and self-regulation condition during sound presentation as compared to the pre-sound modulation phase.\nTo investigate whether pupil self-regulation systematically modulated heart rate in response to negative and neutral sounds, we subjected average heart rate changes to sounds for each self-regulation (UP versus DOWN versus NON-REG) and sound condition (neutral versus negative) to a repeated-measures ANOVA. Sphericity was assessed using Mauchly’s sphericity test and violations were accounted for with the Greenhouse-Geisser correction. In case of significant effects, we derived post-hoc p-values. For additional control analyses of the baseline phase, refer to Supplementary Methods 1.7. Control analysis of the average baseline values for heart rate and pupil size [53].\n\n\n### Self-regulation success and subjective affect experiences\nTo further investigate our research question of whether pupil-BF training success is related to self-rated affect experiences evoked by sounds, and especially negative sounds, we conducted three stepwise regression analyses. Affect ratings averaged within the respective self-regulation conditions (UP, DOWN, and NON-REG) for negative sounds were entered as dependent variables. To investigate differential effects of up- and downregulation training on self-ratings, improvements in pupil size upregulation (i.e., UPsession3-UPsession1) and downregulation (i.e., DOWNsession3-DOWNsession1) were entered as predictors, while controlling for participants’ sex [53]. Three additional exploratory stepwise regression analyses were calculated for the ratings of neutral sounds using the same predictors.\nEven though self-reported emotion measures are the outcome of choice in behavioural emotion regulation studies and are considered stable and reliable [46], we implemented in an additional analysis an attenuation correction based on the modified Spearman’s attenuation equation [56] to account for possibly limited retest-reliability in our sample (maximum assumed reliability = 0.9; see Supplementary Methods 1.10Spearman’s attenuation correction).\n\n\n### Pupil dilation responses and subjective affect experiences\nFinally, we tested the hypothesis that maximum pupil dilation responses to sounds extracted from the baseline-corrected pupil time series are predictive of self-reported affect experiences induced by negative sounds. Here, we conducted two separate stepwise regression analyses with the differences in affect experiences (i.e., UP – NON-REG and NON-REG – DOWN) as dependent variable and pupil dilation differences (i.e., UP – NON-REG and NON-REG – DOWN) as predictors while controlling for sex. Exploratory control analyses were repeated for neutral sound conditions implementing the same predictors and dependent variables. In case variables were not normally distributed, Spearman’s Rho correlation coefficients were calculated.\nAdditionally, we aimed to investigate whether pupil dilation velocity-related measures extracted from the first derivative of baseline-corrected pupil time series were significantly related to affect experiences. However, since peak velocity-derived measures consistently correlated positively with maximum pupil dilation responses (all correlation coefficients > 0.52), we refrained from additional analyses since the unique contributions of the different variables could not necessarily be disentangled (e.g., multicollinearity issue).\n\n\n### Results\nTo determine whether participants were able to improve their self-regulation skills during training, we conducted a repeated-measures ANOVA with the factor self-regulation (UP versus DOWN) and session (D1 versus D3). This analysis revealed significant main effects of session and self-regulation, which can best be interpreted in light of a significant interaction between self-regulation and session (F(1,22) = 9.77; p = 0.005; ηp2 = 0.31; 95%-confidence interval (CI)ηp2 [0.03;0.54]; Fig. 1a). This interaction was driven by significant improvements in downregulation (t(22) = 4.91; p < 0.001; d = 1.02; 95%-CId = [0.51;1.52]) but not upregulation (p = 0.14) across training sessions (for pupil modulation indices of the same training dataset, see [28]).\nThese findings indicate that participants were able to improve their self-regulation skills across pupil-BF training. Here, this was mainly driven by improved downregulation.\nA repeated-measures ANOVA conducted to test our primary hypothesis that affect experiences following negative sounds are influenced by pupil-based arousal self-regulation revealed a main effect of sound (F(1,22) = 206.47; p < 0.001; ηp2 = 0.90; 95%-CIηp2 [0.80;0.94]) with significantly higher ratings for negative as compared to neutral sounds (Fig. 2). In contrast to our assumptions, no other main effect or interaction reached significance (all p > 0.35), indicating that online pupil self-regulation had no significant influence on affect experiences following neutral or negative sounds at group level. Similar results were obtained when adding sex as a covariate to the model (main effect sound: (F(1,21) = 11.62; p = 0.003; ηp2 = 0.36; 95%-CIηp2 [0.06;0.58]).Fig. 2Behavioral self-ratings.Intensity of affect experience indicated on a visual analogue scale following negative (left panel) and neutral sound presentation (middle panel) during upregulation (red), downregulation (blue), and non-regulatory control trials (grey). Whereas we found a significant effect of sound (i.e., stronger affect experiences for negative as compared to neutral sounds), we did not find a significant effect of self-regulation condition or interaction effect. The right panel indicates the difference in self-ratings between negative and neutral sound conditions, thus reactivity. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares indicate individual participants.\nIntensity of affect experience indicated on a visual analogue scale following negative (left panel) and neutral sound presentation (middle panel) during upregulation (red), downregulation (blue), and non-regulatory control trials (grey). Whereas we found a significant effect of sound (i.e., stronger affect experiences for negative as compared to neutral sounds), we did not find a significant effect of self-regulation condition or interaction effect. The right panel indicates the difference in self-ratings between negative and neutral sound conditions, thus reactivity. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares indicate individual participants.\nWhilst our findings validated that negative sounds were more arousing and unpleasant (Supplementary Fig. 1) and elicited stronger affect experiences (Fig. 2), we did not find consistent effects of online pupil self-regulation on subjective affect experiences on a group level.\nThe lack of significant effects of concurrent pupil self-regulation on affect experiences may be due to the variability in these ratings and self-regulation success. We therefore tested the hypothesis that pupil-BF training success predicts interindividual differences in these ratings. Stepwise regression analyses revealed that downregulation training gain (i.e., session3-session1; more improvement reflected in more negative values) was predictive of reduced subjective affect ratings towards negative sounds during downregulation (R = 0.46; adjusted R2 = 0.17; p = 0.05; Fig. 3a, middle panel) and non-regulatory control trials (R = 0.59; adjusted R2 = 0.32; p = 0.009; Fig. 3a, right panel), however, not during upregulation trials (p ≥ 0.35; Fig. 3a, left panel). Upregulation gain did not significantly add to the explained variance of self-ratings (all p ≥ 0.68). To account for possible limitations in test-retest reliability of the variables, we used the modified Spearman’s attenuation equation [56] leading to a maximum R2adj = 0.26 for negative sounds during downregulation and a maximum R2adj = 0.50 for control trials in the current cohort.Fig. 3Self-regulation training is associated with experienced affect, especially when negative sounds are presented.a Linear regression analyses revealed that improvement of pupil size downregulation (i.e., the more negative the better) from session 1 to session 3 but not pupil size upregulation significantly predicted the intensity of affect experiences evoked by negative sounds during downregulation (middle panel) and non-regulatory control trials (right panel) but not during upregulation (left panel). b Additional exploratory analyses on neutral sounds revealed a similar trend-level effect of downregulation (but not upregulation) training gain only in non-regulatory control trials but not during down- or upregulation. Shaded areas indicate the 95%-Confidence Interval. All p-values were corrected for multiple comparisons using sequential Bonferroni correction.\na Linear regression analyses revealed that improvement of pupil size downregulation (i.e., the more negative the better) from session 1 to session 3 but not pupil size upregulation significantly predicted the intensity of affect experiences evoked by negative sounds during downregulation (middle panel) and non-regulatory control trials (right panel) but not during upregulation (left panel). b Additional exploratory analyses on neutral sounds revealed a similar trend-level effect of downregulation (but not upregulation) training gain only in non-regulatory control trials but not during down- or upregulation. Shaded areas indicate the 95%-Confidence Interval. All p-values were corrected for multiple comparisons using sequential Bonferroni correction.\nExploratory analyses on neutral sounds revealed that self-regulation training gain did not significantly predict subjective affect experiences during up- or downregulation (all p ≥ 0.10; Fig. 3b left and middle panel). For non-regulatory control trials, we found a trend-level effect where better downregulation training gain predicted reduced subjective affect experiences (adjusted R2 = 0.19; p = 0.07; Fig. 3b, right panel).\nTaken together, larger downregulation training improvements were related to reduced intensity of affect experiences, especially when induced by negative sounds.\nWe observed that both negative and neutral sounds elicit pupil dilation responses (Fig. 4a). The SPM1D repeated-measures ANOVA of pupil dilation responses (baseline-corrected to the last 200 ms before sound onset) revealed a significant main effect of sound, with significantly larger pupil dilation responses to negative as compared to neutral sounds between 0.9–6 s (F* = 8.712; one significant cluster, p = 0.001; Fig. 4b and Supplementary Fig. 3a). Furthermore, a significant main effect of self-regulation was detected between 0–5.4 s and 5.9-6 (F* = 5.51; two significant clusters with p = 0.001; Fig. 4c and Supplementary Fig. 3a). Importantly, no significant interaction was observed (p > 0.05; Supplementary Fig. 3a), suggesting that the effect of self-regulation on pupil dilation did not depend on the sound condition. Therefore, post-hoc comparisons were conducted collapsed across sound conditions, revealing that pupil dilation responses were significantly larger during upregulation compared to non-regulatory control trials from 0–5.4 s (t* = 3.07, one sig. cluster with p = 0.001; Bonferroni-corrected α = 0.0167: Fig. 4c). Additionally, three clusters between 0–1.3 s showed significantly larger pupil dilation during upregulation than downregulation (t* = 2.98, all clusters p = 0.002), and two clusters between 1–2.6 s indicated larger pupil dilation during downregulation compared to non-regulatory control trials (t* = 3.16, both clusters p = 0.001). For detailed outputs of the SPM1D ANOVA including post-hoc tests, see Supplementary Fig. 3.Fig. 4Pupil self-regulation and dilation responses to sounds.a Average changes in pupil size (i.e., baseline-corrected) to negative and neutral sounds during upregulation (left panel), downregulation (middle panel) and non-regulatory control trials (right panel) are shown. Whereas self-regulation starts at t = 0 s (dashed vertical line), sound presentation starts at t = 2 s (indicated by the sound icon and grey box). b Time series of pupil dilation responses evoked by negative (dark grey) and neutral (light grey) sounds averaged across all self-regulation conditions. Significantly larger dilation response for negative as compared to neutral sounds (SPM1D repeated-measures ANOVA main effect of sound category: F* = 8.71; one sig. cluster, p < 0.001). c Time series of pupil dilation responses to sounds during self-regulation (upregulation in red, downregulation in blue, and non-regulatory control trials in grey). Upregulation trials evoked significantly larger pupil dilation than non-regulatory control trials (t* = 3.07; one cluster, p = 0.001; Bonferroni-corrected α = 0.0167). Additionally, upregulation evoked greater pupil dilation than downregulation (t* = 2.98; p = 0.002), and downregulation evoked greater pupil dilation than non-regulatory control (t* = 3.167; p = 0.001). Shaded areas indicate s.e.m. Black and colored horizontal lines in panel (b) and (c) denote time clusters with significant differences between self-regulation conditions.\na Average changes in pupil size (i.e., baseline-corrected) to negative and neutral sounds during upregulation (left panel), downregulation (middle panel) and non-regulatory control trials (right panel) are shown. Whereas self-regulation starts at t = 0 s (dashed vertical line), sound presentation starts at t = 2 s (indicated by the sound icon and grey box). b Time series of pupil dilation responses evoked by negative (dark grey) and neutral (light grey) sounds averaged across all self-regulation conditions. Significantly larger dilation response for negative as compared to neutral sounds (SPM1D repeated-measures ANOVA main effect of sound category: F* = 8.71; one sig. cluster, p < 0.001). c Time series of pupil dilation responses to sounds during self-regulation (upregulation in red, downregulation in blue, and non-regulatory control trials in grey). Upregulation trials evoked significantly larger pupil dilation than non-regulatory control trials (t* = 3.07; one cluster, p = 0.001; Bonferroni-corrected α = 0.0167). Additionally, upregulation evoked greater pupil dilation than downregulation (t* = 2.98; p = 0.002), and downregulation evoked greater pupil dilation than non-regulatory control (t* = 3.167; p = 0.001). Shaded areas indicate s.e.m. Black and colored horizontal lines in panel (b) and (c) denote time clusters with significant differences between self-regulation conditions.\nNext, we tested whether pupil dilation velocity differs during sound presentation depending on self-regulation and sound condition. The analysis revealed a significant main effect of self-regulation (F* = 8.39; two significant clusters with p = 0.001; Supplementary Fig. 4) with significantly faster pupil dilation changes during upregulation than non-regulatory control trials for two brief clusters close to sound onset (t* = 4.22; two clusters 0–0.008 s and 0.5–0.6 s with p = 0.008 and p = 0.006 respectively; Bonferroni-corrected α = 0.0167). No other significant effects were found (all p > 0.05; Supplementary Fig. 4). Our secondary analysis further revealed that peak pupil dilation velocity to negative sounds during non-regulatory control trials was positively related to pupil-BF training gain (i.e., MIsession3-MIsession1; Rho = 0.55, p = 0.036), indicating that the larger the training gain, the faster the pupil dilation to sounds. For self-regulation trials, these variables were largely unrelated (all p > 0.15 corrected; Supplementary Fig. 5ab). However, this was mainly driven by one outlier with a very low training success. Removing this outlier, we found significant positive relationships between pupil-BF training gain and peak pupil velocity for all self-regulation and sound conditions (UPneg: Rho = 0.43; p = 0.045; UPneu: Rho = 0.65; p < 0.001; DOWNneg: Rho = 0.51; p = 0.03; DOWNneu: Rho = 0.54; p = 0.03; NON-REGneg: Rho = 0.78; p < 0.001; NON-REGneu: Rho = 0.64; p = 0.004; Supplementary Fig. 5cd; there were no significant relationships with latency to peak velocities; all p > 0.08 uncorrected).\nAs participants began to self-regulate pupil size prior to sound onset, we additionally examined whether pupil size baseline-corrected to pre-modulation differed between upregulation, downregulation, and non-regulatory trials prior to sound onset (i.e., averaged across 200 ms before sound onset). Analyses revealed a significant main effect of self-regulation (χ2 = 12.09; p = 0.002), mainly driven by a stronger decrease during downregulation as compared to upregulation and (z = −3.13; p = 0.006; r = −0.65) non-regulatory control trials (z = −2.89; p = 0.008; r = −0.60). Upregulation was not significantly different to non-regulatory control trials 200 ms before tone onset (z = 1.64; p = 0.10; r = 0.34; Supplementary Fig. 6).\nIn summary, our findings indicate that, despite the significant effect of self-regulation on pupil dilation responses to sounds, this response modulation was not specific to emotional sounds.\nPreviously, we found that pupil self-regulation is associated with concurrent heart rate changes: pupil size upregulation led to an increase in heart rate as compared to downregulation [19, 28]. Here, we tested whether pupil self-regulation leads to a modulation of heart rate during sound presentation. We found a significant main effect of pupil self-regulation on heart rate responses (F(2,42) = 14.53; p < 0.001; ηp2 = 0.41; 95%-CIηp2 [0.16;0.56]; Fig. 5; adding sex as a covariate, a similar effect was observed; F(2,40) = 3.76; p = 0.03; ηp2 = 0.16; 95%-CIηp2 [0;0.33]). This was mainly driven by a significant decrease in heart rate during downregulation as compared to non-regulatory control (t(21) = −2.67; p = 0.014; d = −0.57; 95%-CId [−1.02;−0.11]) and upregulation trials (t(21) = 5.55; p < 0.001; d = 1.18; 95%-CId [0.63;1.72]; difference UP vs. NON-REG: t(21) = 2.67; p = 0.028; d = 0.57; 95%-CId [0.11;1.02]). Surprisingly, there was no significant effect of sound condition on heart rate (p = 0.09).Fig. 5Effects of pupil self-regulation on heart rate responses.Changes in heart rate evoked by negative and neutral sounds during upregulation (red), downregulation (blue) and non-regulatory control trials (grey) across all participants (n = 22). Heart rate deceleration significantly increased from upregulation to non-regulatory control to downregulation trials, independent of sound category. Boxplots indicate median (centre), 25th and 75th percentiles (box), maximum and minimum values (whiskers). Squares and triangles represent individual data.\nChanges in heart rate evoked by negative and neutral sounds during upregulation (red), downregulation (blue) and non-regulatory control trials (grey) across all participants (n = 22). Heart rate deceleration significantly increased from upregulation to non-regulatory control to downregulation trials, independent of sound category. Boxplots indicate median (centre), 25th and 75th percentiles (box), maximum and minimum values (whiskers). Squares and triangles represent individual data.\nFinally, we investigated whether pupil dilation responses to sounds were related to affect experiences. Linear regression analyses did not reveal significant effects. There was only a trend-level prediction of stronger affect experiences to negative sounds during upregulation as compared to non-regulatory control trials by pupil dilation responses after correcting for multiple comparisons (R = 0.44; adjusted R2 = 0.16; p = 0.07; Fig. 6a left panel).Fig. 6Pupil dilation responses and experienced affect.Maximum pupil dilation responses during upregulation (as compared to non-regulatory control trials) was linked to (i.e., trend-level effect after correcting for multiple comparisons) subjective experiences of affect induced by negative (a, left panel) but not neutral sounds (b, left panel) during upregulation. There was no significant link between pupil dilation responses during downregulation (as compared to non-regulatory control trials) and subjective experiences of affect, neither for negative (a, right panel) nor for neutral sounds (b, right panel). Shaded areas indicate the 95%-CI.\nMaximum pupil dilation responses during upregulation (as compared to non-regulatory control trials) was linked to (i.e., trend-level effect after correcting for multiple comparisons) subjective experiences of affect induced by negative (a, left panel) but not neutral sounds (b, left panel) during upregulation. There was no significant link between pupil dilation responses during downregulation (as compared to non-regulatory control trials) and subjective experiences of affect, neither for negative (a, right panel) nor for neutral sounds (b, right panel). Shaded areas indicate the 95%-CI.\nNo other analyses (i.e., Fig 6ab) revealed a significant association between physiological responses and affect experiences (all p ≥ 0.26).\n\n\n### Pupil-BF training effects\nTo determine whether participants were able to improve their self-regulation skills during training, we conducted a repeated-measures ANOVA with the factor self-regulation (UP versus DOWN) and session (D1 versus D3). This analysis revealed significant main effects of session and self-regulation, which can best be interpreted in light of a significant interaction between self-regulation and session (F(1,22) = 9.77; p = 0.005; ηp2 = 0.31; 95%-confidence interval (CI)ηp2 [0.03;0.54]; Fig. 1a). This interaction was driven by significant improvements in downregulation (t(22) = 4.91; p < 0.001; d = 1.02; 95%-CId = [0.51;1.52]) but not upregulation (p = 0.14) across training sessions (for pupil modulation indices of the same training dataset, see [28]).\nThese findings indicate that participants were able to improve their self-regulation skills across pupil-BF training. Here, this was mainly driven by improved downregulation.\n\n\n### Pupil self-regulation and affect experiences\nA repeated-measures ANOVA conducted to test our primary hypothesis that affect experiences following negative sounds are influenced by pupil-based arousal self-regulation revealed a main effect of sound (F(1,22) = 206.47; p < 0.001; ηp2 = 0.90; 95%-CIηp2 [0.80;0.94]) with significantly higher ratings for negative as compared to neutral sounds (Fig. 2). In contrast to our assumptions, no other main effect or interaction reached significance (all p > 0.35), indicating that online pupil self-regulation had no significant influence on affect experiences following neutral or negative sounds at group level. Similar results were obtained when adding sex as a covariate to the model (main effect sound: (F(1,21) = 11.62; p = 0.003; ηp2 = 0.36; 95%-CIηp2 [0.06;0.58]).Fig. 2Behavioral self-ratings.Intensity of affect experience indicated on a visual analogue scale following negative (left panel) and neutral sound presentation (middle panel) during upregulation (red), downregulation (blue), and non-regulatory control trials (grey). Whereas we found a significant effect of sound (i.e., stronger affect experiences for negative as compared to neutral sounds), we did not find a significant effect of self-regulation condition or interaction effect. The right panel indicates the difference in self-ratings between negative and neutral sound conditions, thus reactivity. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares indicate individual participants.\nIntensity of affect experience indicated on a visual analogue scale following negative (left panel) and neutral sound presentation (middle panel) during upregulation (red), downregulation (blue), and non-regulatory control trials (grey). Whereas we found a significant effect of sound (i.e., stronger affect experiences for negative as compared to neutral sounds), we did not find a significant effect of self-regulation condition or interaction effect. The right panel indicates the difference in self-ratings between negative and neutral sound conditions, thus reactivity. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares indicate individual participants.\nWhilst our findings validated that negative sounds were more arousing and unpleasant (Supplementary Fig. 1) and elicited stronger affect experiences (Fig. 2), we did not find consistent effects of online pupil self-regulation on subjective affect experiences on a group level.\nThe lack of significant effects of concurrent pupil self-regulation on affect experiences may be due to the variability in these ratings and self-regulation success. We therefore tested the hypothesis that pupil-BF training success predicts interindividual differences in these ratings. Stepwise regression analyses revealed that downregulation training gain (i.e., session3-session1; more improvement reflected in more negative values) was predictive of reduced subjective affect ratings towards negative sounds during downregulation (R = 0.46; adjusted R2 = 0.17; p = 0.05; Fig. 3a, middle panel) and non-regulatory control trials (R = 0.59; adjusted R2 = 0.32; p = 0.009; Fig. 3a, right panel), however, not during upregulation trials (p ≥ 0.35; Fig. 3a, left panel). Upregulation gain did not significantly add to the explained variance of self-ratings (all p ≥ 0.68). To account for possible limitations in test-retest reliability of the variables, we used the modified Spearman’s attenuation equation [56] leading to a maximum R2adj = 0.26 for negative sounds during downregulation and a maximum R2adj = 0.50 for control trials in the current cohort.Fig. 3Self-regulation training is associated with experienced affect, especially when negative sounds are presented.a Linear regression analyses revealed that improvement of pupil size downregulation (i.e., the more negative the better) from session 1 to session 3 but not pupil size upregulation significantly predicted the intensity of affect experiences evoked by negative sounds during downregulation (middle panel) and non-regulatory control trials (right panel) but not during upregulation (left panel). b Additional exploratory analyses on neutral sounds revealed a similar trend-level effect of downregulation (but not upregulation) training gain only in non-regulatory control trials but not during down- or upregulation. Shaded areas indicate the 95%-Confidence Interval. All p-values were corrected for multiple comparisons using sequential Bonferroni correction.\na Linear regression analyses revealed that improvement of pupil size downregulation (i.e., the more negative the better) from session 1 to session 3 but not pupil size upregulation significantly predicted the intensity of affect experiences evoked by negative sounds during downregulation (middle panel) and non-regulatory control trials (right panel) but not during upregulation (left panel). b Additional exploratory analyses on neutral sounds revealed a similar trend-level effect of downregulation (but not upregulation) training gain only in non-regulatory control trials but not during down- or upregulation. Shaded areas indicate the 95%-Confidence Interval. All p-values were corrected for multiple comparisons using sequential Bonferroni correction.\nExploratory analyses on neutral sounds revealed that self-regulation training gain did not significantly predict subjective affect experiences during up- or downregulation (all p ≥ 0.10; Fig. 3b left and middle panel). For non-regulatory control trials, we found a trend-level effect where better downregulation training gain predicted reduced subjective affect experiences (adjusted R2 = 0.19; p = 0.07; Fig. 3b, right panel).\nTaken together, larger downregulation training improvements were related to reduced intensity of affect experiences, especially when induced by negative sounds.\n\n\n### Online pupil self-regulation does not influence affect experiences\nA repeated-measures ANOVA conducted to test our primary hypothesis that affect experiences following negative sounds are influenced by pupil-based arousal self-regulation revealed a main effect of sound (F(1,22) = 206.47; p < 0.001; ηp2 = 0.90; 95%-CIηp2 [0.80;0.94]) with significantly higher ratings for negative as compared to neutral sounds (Fig. 2). In contrast to our assumptions, no other main effect or interaction reached significance (all p > 0.35), indicating that online pupil self-regulation had no significant influence on affect experiences following neutral or negative sounds at group level. Similar results were obtained when adding sex as a covariate to the model (main effect sound: (F(1,21) = 11.62; p = 0.003; ηp2 = 0.36; 95%-CIηp2 [0.06;0.58]).Fig. 2Behavioral self-ratings.Intensity of affect experience indicated on a visual analogue scale following negative (left panel) and neutral sound presentation (middle panel) during upregulation (red), downregulation (blue), and non-regulatory control trials (grey). Whereas we found a significant effect of sound (i.e., stronger affect experiences for negative as compared to neutral sounds), we did not find a significant effect of self-regulation condition or interaction effect. The right panel indicates the difference in self-ratings between negative and neutral sound conditions, thus reactivity. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares indicate individual participants.\nIntensity of affect experience indicated on a visual analogue scale following negative (left panel) and neutral sound presentation (middle panel) during upregulation (red), downregulation (blue), and non-regulatory control trials (grey). Whereas we found a significant effect of sound (i.e., stronger affect experiences for negative as compared to neutral sounds), we did not find a significant effect of self-regulation condition or interaction effect. The right panel indicates the difference in self-ratings between negative and neutral sound conditions, thus reactivity. Boxplots indicate median (centre line), 25th and 75th percentiles (box), and maximum and minimum values (whiskers). Squares indicate individual participants.\nWhilst our findings validated that negative sounds were more arousing and unpleasant (Supplementary Fig. 1) and elicited stronger affect experiences (Fig. 2), we did not find consistent effects of online pupil self-regulation on subjective affect experiences on a group level.\n\n\n### Pupil self-regulation training success predicts affect experiences induced by negative sounds\nThe lack of significant effects of concurrent pupil self-regulation on affect experiences may be due to the variability in these ratings and self-regulation success. We therefore tested the hypothesis that pupil-BF training success predicts interindividual differences in these ratings. Stepwise regression analyses revealed that downregulation training gain (i.e., session3-session1; more improvement reflected in more negative values) was predictive of reduced subjective affect ratings towards negative sounds during downregulation (R = 0.46; adjusted R2 = 0.17; p = 0.05; Fig. 3a, middle panel) and non-regulatory control trials (R = 0.59; adjusted R2 = 0.32; p = 0.009; Fig. 3a, right panel), however, not during upregulation trials (p ≥ 0.35; Fig. 3a, left panel). Upregulation gain did not significantly add to the explained variance of self-ratings (all p ≥ 0.68). To account for possible limitations in test-retest reliability of the variables, we used the modified Spearman’s attenuation equation [56] leading to a maximum R2adj = 0.26 for negative sounds during downregulation and a maximum R2adj = 0.50 for control trials in the current cohort.Fig. 3Self-regulation training is associated with experienced affect, especially when negative sounds are presented.a Linear regression analyses revealed that improvement of pupil size downregulation (i.e., the more negative the better) from session 1 to session 3 but not pupil size upregulation significantly predicted the intensity of affect experiences evoked by negative sounds during downregulation (middle panel) and non-regulatory control trials (right panel) but not during upregulation (left panel). b Additional exploratory analyses on neutral sounds revealed a similar trend-level effect of downregulation (but not upregulation) training gain only in non-regulatory control trials but not during down- or upregulation. Shaded areas indicate the 95%-Confidence Interval. All p-values were corrected for multiple comparisons using sequential Bonferroni correction.\na Linear regression analyses revealed that improvement of pupil size downregulation (i.e., the more negative the better) from session 1 to session 3 but not pupil size upregulation significantly predicted the intensity of affect experiences evoked by negative sounds during downregulation (middle panel) and non-regulatory control trials (right panel) but not during upregulation (left panel). b Additional exploratory analyses on neutral sounds revealed a similar trend-level effect of downregulation (but not upregulation) training gain only in non-regulatory control trials but not during down- or upregulation. Shaded areas indicate the 95%-Confidence Interval. All p-values were corrected for multiple comparisons using sequential Bonferroni correction.\nExploratory analyses on neutral sounds revealed that self-regulation training gain did not significantly predict subjective affect experiences during up- or downregulation (all p ≥ 0.10; Fig. 3b left and middle panel). For non-regulatory control trials, we found a trend-level effect where better downregulation training gain predicted reduced subjective affect experiences (adjusted R2 = 0.19; p = 0.07; Fig. 3b, right panel).\nTaken together, larger downregulation training improvements were related to reduced intensity of affect experiences, especially when induced by negative sounds.\n\n\n### Pupil self-regulation influences pupil dilation responses independently of sound condition\nWe observed that both negative and neutral sounds elicit pupil dilation responses (Fig. 4a). The SPM1D repeated-measures ANOVA of pupil dilation responses (baseline-corrected to the last 200 ms before sound onset) revealed a significant main effect of sound, with significantly larger pupil dilation responses to negative as compared to neutral sounds between 0.9–6 s (F* = 8.712; one significant cluster, p = 0.001; Fig. 4b and Supplementary Fig. 3a). Furthermore, a significant main effect of self-regulation was detected between 0–5.4 s and 5.9-6 (F* = 5.51; two significant clusters with p = 0.001; Fig. 4c and Supplementary Fig. 3a). Importantly, no significant interaction was observed (p > 0.05; Supplementary Fig. 3a), suggesting that the effect of self-regulation on pupil dilation did not depend on the sound condition. Therefore, post-hoc comparisons were conducted collapsed across sound conditions, revealing that pupil dilation responses were significantly larger during upregulation compared to non-regulatory control trials from 0–5.4 s (t* = 3.07, one sig. cluster with p = 0.001; Bonferroni-corrected α = 0.0167: Fig. 4c). Additionally, three clusters between 0–1.3 s showed significantly larger pupil dilation during upregulation than downregulation (t* = 2.98, all clusters p = 0.002), and two clusters between 1–2.6 s indicated larger pupil dilation during downregulation compared to non-regulatory control trials (t* = 3.16, both clusters p = 0.001). For detailed outputs of the SPM1D ANOVA including post-hoc tests, see Supplementary Fig. 3.Fig. 4Pupil self-regulation and dilation responses to sounds.a Average changes in pupil size (i.e., baseline-corrected) to negative and neutral sounds during upregulation (left panel), downregulation (middle panel) and non-regulatory control trials (right panel) are shown. Whereas self-regulation starts at t = 0 s (dashed vertical line), sound presentation starts at t = 2 s (indicated by the sound icon and grey box). b Time series of pupil dilation responses evoked by negative (dark grey) and neutral (light grey) sounds averaged across all self-regulation conditions. Significantly larger dilation response for negative as compared to neutral sounds (SPM1D repeated-measures ANOVA main effect of sound category: F* = 8.71; one sig. cluster, p < 0.001). c Time series of pupil dilation responses to sounds during self-regulation (upregulation in red, downregulation in blue, and non-regulatory control trials in grey). Upregulation trials evoked significantly larger pupil dilation than non-regulatory control trials (t* = 3.07; one cluster, p = 0.001; Bonferroni-corrected α = 0.0167). Additionally, upregulation evoked greater pupil dilation than downregulation (t* = 2.98; p = 0.002), and downregulation evoked greater pupil dilation than non-regulatory control (t* = 3.167; p = 0.001). Shaded areas indicate s.e.m. Black and colored horizontal lines in panel (b) and (c) denote time clusters with significant differences between self-regulation conditions.\na Average changes in pupil size (i.e., baseline-corrected) to negative and neutral sounds during upregulation (left panel), downregulation (middle panel) and non-regulatory control trials (right panel) are shown. Whereas self-regulation starts at t = 0 s (dashed vertical line), sound presentation starts at t = 2 s (indicated by the sound icon and grey box). b Time series of pupil dilation responses evoked by negative (dark grey) and neutral (light grey) sounds averaged across all self-regulation conditions. Significantly larger dilation response for negative as compared to neutral sounds (SPM1D repeated-measures ANOVA main effect of sound category: F* = 8.71; one sig. cluster, p < 0.001). c Time series of pupil dilation responses to sounds during self-regulation (upregulation in red, downregulation in blue, and non-regulatory control trials in grey). Upregulation trials evoked significantly larger pupil dilation than non-regulatory control trials (t* = 3.07; one cluster, p = 0.001; Bonferroni-corrected α = 0.0167). Additionally, upregulation evoked greater pupil dilation than downregulation (t* = 2.98; p = 0.002), and downregulation evoked greater pupil dilation than non-regulatory control (t* = 3.167; p = 0.001). Shaded areas indicate s.e.m. Black and colored horizontal lines in panel (b) and (c) denote time clusters with significant differences between self-regulation conditions.\nNext, we tested whether pupil dilation velocity differs during sound presentation depending on self-regulation and sound condition. The analysis revealed a significant main effect of self-regulation (F* = 8.39; two significant clusters with p = 0.001; Supplementary Fig. 4) with significantly faster pupil dilation changes during upregulation than non-regulatory control trials for two brief clusters close to sound onset (t* = 4.22; two clusters 0–0.008 s and 0.5–0.6 s with p = 0.008 and p = 0.006 respectively; Bonferroni-corrected α = 0.0167). No other significant effects were found (all p > 0.05; Supplementary Fig. 4). Our secondary analysis further revealed that peak pupil dilation velocity to negative sounds during non-regulatory control trials was positively related to pupil-BF training gain (i.e., MIsession3-MIsession1; Rho = 0.55, p = 0.036), indicating that the larger the training gain, the faster the pupil dilation to sounds. For self-regulation trials, these variables were largely unrelated (all p > 0.15 corrected; Supplementary Fig. 5ab). However, this was mainly driven by one outlier with a very low training success. Removing this outlier, we found significant positive relationships between pupil-BF training gain and peak pupil velocity for all self-regulation and sound conditions (UPneg: Rho = 0.43; p = 0.045; UPneu: Rho = 0.65; p < 0.001; DOWNneg: Rho = 0.51; p = 0.03; DOWNneu: Rho = 0.54; p = 0.03; NON-REGneg: Rho = 0.78; p < 0.001; NON-REGneu: Rho = 0.64; p = 0.004; Supplementary Fig. 5cd; there were no significant relationships with latency to peak velocities; all p > 0.08 uncorrected).\nAs participants began to self-regulate pupil size prior to sound onset, we additionally examined whether pupil size baseline-corrected to pre-modulation differed between upregulation, downregulation, and non-regulatory trials prior to sound onset (i.e., averaged across 200 ms before sound onset). Analyses revealed a significant main effect of self-regulation (χ2 = 12.09; p = 0.002), mainly driven by a stronger decrease during downregulation as compared to upregulation and (z = −3.13; p = 0.006; r = −0.65) non-regulatory control trials (z = −2.89; p = 0.008; r = −0.60). Upregulation was not significantly different to non-regulatory control trials 200 ms before tone onset (z = 1.64; p = 0.10; r = 0.34; Supplementary Fig. 6).\nIn summary, our findings indicate that, despite the significant effect of self-regulation on pupil dilation responses to sounds, this response modulation was not specific to emotional sounds.\n\n\n### Pupil self-regulation modulates heart rate responses to sounds\nPreviously, we found that pupil self-regulation is associated with concurrent heart rate changes: pupil size upregulation led to an increase in heart rate as compared to downregulation [19, 28]. Here, we tested whether pupil self-regulation leads to a modulation of heart rate during sound presentation. We found a significant main effect of pupil self-regulation on heart rate responses (F(2,42) = 14.53; p < 0.001; ηp2 = 0.41; 95%-CIηp2 [0.16;0.56]; Fig. 5; adding sex as a covariate, a similar effect was observed; F(2,40) = 3.76; p = 0.03; ηp2 = 0.16; 95%-CIηp2 [0;0.33]). This was mainly driven by a significant decrease in heart rate during downregulation as compared to non-regulatory control (t(21) = −2.67; p = 0.014; d = −0.57; 95%-CId [−1.02;−0.11]) and upregulation trials (t(21) = 5.55; p < 0.001; d = 1.18; 95%-CId [0.63;1.72]; difference UP vs. NON-REG: t(21) = 2.67; p = 0.028; d = 0.57; 95%-CId [0.11;1.02]). Surprisingly, there was no significant effect of sound condition on heart rate (p = 0.09).Fig. 5Effects of pupil self-regulation on heart rate responses.Changes in heart rate evoked by negative and neutral sounds during upregulation (red), downregulation (blue) and non-regulatory control trials (grey) across all participants (n = 22). Heart rate deceleration significantly increased from upregulation to non-regulatory control to downregulation trials, independent of sound category. Boxplots indicate median (centre), 25th and 75th percentiles (box), maximum and minimum values (whiskers). Squares and triangles represent individual data.\nChanges in heart rate evoked by negative and neutral sounds during upregulation (red), downregulation (blue) and non-regulatory control trials (grey) across all participants (n = 22). Heart rate deceleration significantly increased from upregulation to non-regulatory control to downregulation trials, independent of sound category. Boxplots indicate median (centre), 25th and 75th percentiles (box), maximum and minimum values (whiskers). Squares and triangles represent individual data.\n\n\n### Pupil dilation responses and affect experiences\nFinally, we investigated whether pupil dilation responses to sounds were related to affect experiences. Linear regression analyses did not reveal significant effects. There was only a trend-level prediction of stronger affect experiences to negative sounds during upregulation as compared to non-regulatory control trials by pupil dilation responses after correcting for multiple comparisons (R = 0.44; adjusted R2 = 0.16; p = 0.07; Fig. 6a left panel).Fig. 6Pupil dilation responses and experienced affect.Maximum pupil dilation responses during upregulation (as compared to non-regulatory control trials) was linked to (i.e., trend-level effect after correcting for multiple comparisons) subjective experiences of affect induced by negative (a, left panel) but not neutral sounds (b, left panel) during upregulation. There was no significant link between pupil dilation responses during downregulation (as compared to non-regulatory control trials) and subjective experiences of affect, neither for negative (a, right panel) nor for neutral sounds (b, right panel). Shaded areas indicate the 95%-CI.\nMaximum pupil dilation responses during upregulation (as compared to non-regulatory control trials) was linked to (i.e., trend-level effect after correcting for multiple comparisons) subjective experiences of affect induced by negative (a, left panel) but not neutral sounds (b, left panel) during upregulation. There was no significant link between pupil dilation responses during downregulation (as compared to non-regulatory control trials) and subjective experiences of affect, neither for negative (a, right panel) nor for neutral sounds (b, right panel). Shaded areas indicate the 95%-CI.\nNo other analyses (i.e., Fig 6ab) revealed a significant association between physiological responses and affect experiences (all p ≥ 0.26).\n\n\n### Discussion\nWe previously demonstrated that participants can learn to volitionally control LC-mediated arousal through pupil-BF [19]. Here, we investigated whether engaging the arousal system through self-regulation affects responses to negative stimuli, previously linked to LC-NA system activity. Our three main results provide partial support for a link between arousal self-regulation and self-rated and physiological responses to sounds: First, even though concurrent pupil self-regulation did not influence affect experiences, pupil-BF training success predicted affect experiences induced by negative sounds (Fig. 3). Second, pupil self-regulation influenced pupil dilation responses to sounds. While these responses were larger for negative as compared to neutral sounds, they were further enhanced by pupil self-regulation as compared to non-regulatory control trials (Fig. 4) and may reflect regulatory effort during sound presentation. Interestingly, heart rate responses to sounds deviated from pupil dilation responses such that we found increased heart rate deceleration during downregulation as compared to non-regulatory control and upregulation (Fig. 5). This may suggest stronger parasympathetic dominance during pupil downregulation. Third, pupil dilation responses to sounds were only partially related to affect experiences induced by these sounds (Fig. 6).\nIn the present study, we observed a significant pupil-BF training effect (i.e., larger pupil self-regulation in session 3 than session 1), mainly driven by improved downregulation. The absence of an upregulation training effect was unexpected but may reflect the longer self-regulation period in session 3 (30 s vs 15 s) due to additional blood pressure measurements not reported here. Although only the first 15 s of each modulation phase were analysed, prolonged modulation times can influence pupil size upregulation, also affecting earlier time windows [57].\nOur primary hypothesis that pupil self-regulation modulates concurrent affect experiences induced by negative sounds was not confirmed: Affect experiences did not significantly differ between self-regulation and non-regulatory control conditions (Fig. 2). This contrasts classical behavioral emotion regulation paradigms, where such ratings are usually lower during explicit behavioral downregulation (e.g., cognitive reappraisal) than during upregulation or control [40, 48, 58]. However, pupil downregulation training success predicted individuals’ affect experiences induced by negative sounds. Participants who showed larger downregulation improvements were less affected by negative sounds when they downregulated pupil size (Fig. 3). In general, the interpretation of these results warrants caution to the relatively limited sample size and needs replication in larger studies. One speculation is that the ability to downregulate pupil-linked arousal influences how negative sounds are perceived and showcases individual differences in acquisition ease and benefit of pupil-BF training. Interestingly, pupil-downregulation training success not only predicted negative affect experiences during downregulation but also during non-regulatory control trials. Whether this link indicates an inherent self-regulation ability which is reflected in physiological (i.e., pupil-BF training success) and affective responses, or rather implicit activation of acquired strategies during control trials remains to be determined. In contrast, upregulation training success was not related to (e.g., enhanced) affect experiences. The interpretation is limited by the lack of significant improvements in upregulation across pupil-BF training. Nevertheless, the overall findings, specifically the link between successful downregulation of (pupil-based) arousal and reduced intensity of affect experiences following negative stimuli, are promising. As irregular responses to emotional situations are a major risk factor for the development and maintenance of anxiety- and stress-related disorders [43–45], future work should test whether training-induced downregulation of these responses could help mitigate such conditions.\nLooking at pupil dilation corrected to pre-modulation baseline phases (Fig. 4a), pupil size was generally larger during upregulation as compared to downregulation and non-regulatory control trials, suggesting higher pupil-linked arousal during upregulation. Furthermore, even though participants successfully downregulated pupil size pre-sound onset (Supplementary Fig. 6), pupil-linked arousal reached a relatively similar level as during non-regulatory control trials (Fig. 4a). Statistical comparisons of pupil dilation responses after sound onset revealed larger responses during the presentation of negative than neutral sounds (Fig. 4b), replicating previous findings of pupil dilation responses reflecting emotional reactivity [38–40]. These responses were further influenced by pupil self-regulation, independent of neutral or negative sounds: pupil dilation was larger during pupil size up- and downregulation as compared to non-regulatory control trials (Fig. 4c). Especially for upregulation trials, significant differences were present over almost the entire sound presentation. Enhanced pupil dilation responses during self-regulation compared to non-regulatory control trials are in line with a study by Maier and Grueschow [40], reporting larger pupil responses to emotional stimuli during the application of behavioral emotion regulation strategies as compared to pure perception trials. It may thus be hypothesized that regulatory effort involves the pupil-linked arousal system leading to increased dilation responses [40]. In our data, this proposed regulatory effort effect was reflected early in the pupil dilation response (Supplementary Fig. 3a), which may not be surprising given that participants started self-regulation 2 s before sound onset. In contrast, the effect of sound reached significance around 0.9 s after sound onset and evolved over time. Whether this may differ if sound and self-regulation onset would be temporally aligned, as for behavioral emotion regulation paradigms, can only speculated on. To get a deeper understanding of the contribution of different central autonomic pathways to such pupil responses, a previous study used pharmacological manipulation at the pupillary muscles and different lighting conditions during sustained processing. Interestingly, they found evidence that especially parasympathetic inhibition may mediate effort-linked pupil dilation responses [59]. This is consistent with earlier work highlighting the role of parasympathetic pathways in pupil responses to sensory stimulation [60].\nWhile pupil dilation responses were significantly affected by self-regulation and sound condition, pupil dilation velocity was only influenced by self-regulation with significantly faster dilation during upregulation compared to non-regulatory control trials (Supplementary Fig. 4). In a secondary analysis, we investigated whether interindividual differences in pupil-BF training gain may be linked to differences in pupil velocity, i.e., whether participants learning to self-regulate better show faster dilation responses. We found pupil-BF training success indeed to be linked to peak dilation velocity independent of sound and self-regulation condition (Supplementary Fig. 5). It remains to be determined whether such a link indicates a general physiological flexibility which is reflected both in pupil-BF training success and pupil responses to sensory signals or rather indicates that acquired internal self-regulation changes such responses to external stimuli.\nConsistent with the role of the LC-NA system in controlling autonomic activity through projections to cardiovascular regulatory structures [61], pupil self-regulation influenced heart rate responses to sounds (Fig. 5). Previously, heart rate was significantly reduced during pupil size down- compared to upregulation [19, 28]. Here, we found stronger heart rate deceleration during downregulation as compared to upregulation and non-regulatory control trials, even when participants simultaneously attended to arousing, unpleasant sounds. This finding may be indicative of a parasympathetic dominance during downregulation, making it tempting to speculate that such downregulation may buffer cardiovascular responses to aversive stimuli. This is especially interesting in the light of increased pupil dilation responses to sounds during pupil self-regulation that likely reflect regulatory effort. A previous study comparing meditators to non-meditators found reduced heart rates in meditators during neutral and negative stimuli presentation [62], which is consistent with the current results and the notion that parasympathetic activity increases during meditation practice [63]. A similar heart rate deceleration has been further linked to enhanced performance in response to threats possibly mediated by increased attention and response preparation processes [64–67], indicating that the function of deceleration may lie in actively facilitating accurate decision making to optimize coping under threat [65].\nIn contrast to a previous study linking larger pupil dilation responses to lower affect experiences during behavioral downregulation [40], we only found a trend-level effect (after correcting for multiple comparisons) of pupil size changes during upregulation compared to non-regulatory control trials to be predictive of increased affect experiences induced by negative sounds (Fig. 6a). This may suggest that deliberate upregulation of the brain’s arousal system leads to stronger affect experiences of negative situations. Such an increase may be influenced by negative emotional imagery used by some participants to upregulate pupil size. Pupil dilation responses during downregulation compared to non-regulatory control trials were not significantly related to affect experiences induced by negative sounds. The difference to previous results [40] might be driven by the fact that, here, participants were deliberately self-regulating pupil size as compared to the naturally occurring pupil responses linked to the explicit use of cognitive control strategies during affective sound presentation [40].\nThere are several study limitations. First, participants were instructed to self-regulate pupil size prior to sound onset, thus, the emotional state was induced when participants were already applying self-regulation. This differs from classical emotion regulation studies [40, 58, 68] and was implemented to be able to test whether different pupil-based arousal states when encountering emotional stimuli would lead to different responses. However, future studies inducing emotional states followed by self-regulation could help elucidating the utility of pupil self-regulation to influence responses to negative stimuli. Finally, even though we have previously shown that pupil self-regulation targets LC activity, we did not investigate LC activity directly here. To draw direct conclusions on the interaction between emotion regulation systems with the LC-NA system, future neuroimaging studies are required.\nIn summary, our study demonstrates that pupil-BF, linked to activity changes in arousal-regulating centers and particularly the LC, modulates subjective and physiological responses to negative and neutral sounds. While greater pupil downregulation training improvements predicted reduced affect experiences, especially for negative sounds, both pupil up- and downregulation increased pupil dilations responses to sounds, potentially reflecting increased regulatory effort. However, heart rate significantly decelarated during downregulation, which may be indicative of parasympathetic dominance. Although this study provides an initial proof-of-concept, future research is needed to explore the clinical potential of pupil-BF. Of specific relevance is its effectiveness in modulating increased arousal and responsiveness to emotional stimuli and threats, as seen in anxiety and stress-related disorders.\n\n\n### Supplementary information\nSupplementary Material\nSupplementary Material", "domain": "affective_neuroscience"}
{"source": "PMC13010347", "title": "Evaluation of the effectiveness of exercise therapy for irritable bowel syndrome: a systematic review and meta-analysis", "text": "# Evaluation of the effectiveness of exercise therapy for irritable bowel syndrome: a systematic review and meta-analysis\n\n## Abstract\nIrritable bowel syndrome (IBS) is a functional gastrointestinal disorder characterized by abdominal pain, distension, and altered bowel habits that significantly impacts patients’ quality of life and imposes a substantial socioeconomic burden. Traditional treatment options, including antispasmodics and probiotics, are often limited by modest efficacy, variable evidence quality, and challenges with long-term adherence, highlighting the need for alternative non-pharmacological strategies. Exercise has gained attention as a non-pharmacological intervention because of its ability to regulate autonomic function and modulate inflammatory pathways. In this review, we define exercise therapy as a planned, structured, and repetitive physical activity program with specified type, frequency, intensity, and duration. The PubMed, Embase, Web of Science, and Ovid databases were searched up to February 17, 2025 for studies that compared exercise therapy with no exercise therapy in IBS. A meta-analysis was conducted, and when heterogeneity was excessive, a sensitivity analysis was performed. Of 2,142 citations screened, 10 studies that included 437 patients with IBS were selected. The meta-analysis indicated that improvement in the IBS-SSS score was greater in the exercise group IBS than in the control group. However, the effects of exercise intervention on the IBS-QOL measure and anxiety were not statistically significant. Exercise interventions could alleviate symptoms in patients with IBS, although their impact on quality of life scores and remission of anxiety is unclear. There is no evidence-based consensus on a standardized exercise prescription for IBS. The absence of such a framework may introduce potential confounders, affecting the accuracy of efficacy assessments of quality of life and psychological outcomes. Multicenter randomized controlled trials with a standardized exercise framework are needed to explore the role and mechanisms of exercise therapy in management of IBS. https://www.crd.york.ac.uk/PROSPERO/view/CRD420250478248, identifier PROSPERO (CRD420250478248).\n\n## Full Text\n\n\n### Highlights\nStrengthsRigorous methodology following PRISMA guidelines with dual independent review.Comprehensive analysis of both symptom severity and quality of life outcomes and performed sensitivity analyses to validate findings.\nRigorous methodology following PRISMA guidelines with dual independent review.\nComprehensive analysis of both symptom severity and quality of life outcomes and performed sensitivity analyses to validate findings.\nLimitationsSignificant heterogeneity observed across studies (I2 = 84–92%).Limited by small sample size (10 studies, 437 participants).Unable to assess long-term effects due to short follow-up periods.\nSignificant heterogeneity observed across studies (I2 = 84–92%).\nLimited by small sample size (10 studies, 437 participants).\nUnable to assess long-term effects due to short follow-up periods.\n\n\n### Introduction\nIrritable bowel syndrome (IBS) is a functional gastrointestinal disorder with a reported worldwide prevalence of up to 5–10% (1). It is characterized primarily by abdominal pain, distension, and altered bowel habits, which lead to a significant decrease in patients’ quality of life and a substantial socioeconomic burden (2–4). Notably, psychiatric comorbidities such as anxiety and depression are significantly more prevalent in patients with IBS than in healthy individuals, underscoring the role of neurogastrointestinal interaction disorders in its pathophysiology (5). While the Rome IV criteria have optimized the diagnostic framework through symptom cluster classification, current pathophysiological models highlight the interaction of multiple mechanisms, including dysregulation of the brain–gut axis, an imbalance of the gut microbiome, and visceral hypersensitivity (6, 7). As a result, the use of traditional treatment approaches, such as antispasmodics, microecological modulators, and cognitive behavioral interventions, is often limited in clinical practice owing to inadequate evidence to support their use and poor long-term adherence (8).\nAlthough pharmacological interventions such as anticholinergics and neuromodulators can partially relieve the symptoms of IBS, their overall clinical efficacy remains modest and is further complicated by a placebo effect of up to 37.5%, posing methodological challenges in accurate assessment of effectiveness (9, 10). Notably, neuromodulators like tricyclic antidepressants and serotonin–norepinephrine reuptake inhibitors are often associated with adverse effects, including nausea, vertigo, and sleep disturbances, which significantly impact adherence with treatment (9). Furthermore, most neuromodulators, including selective serotonin reuptake inhibitors and antiepileptic agents, are used off-label for IBS (11). Clinical survey data from the USA show that fewer than 25% of patients with IBS achieve complete remission of symptoms (12).\nHowever, a Cochrane review (13) has highlighted significant limitations and heterogeneity in existing trials. Our review extends this work by focusing specifically on the comparative effects of structured exercise programs versus non-exercise controls on three key patient-centered outcomes: IBS symptom severity, disease-specific quality of life, and anxiety symptoms.\nTherefore, this systematic review and meta-analysis primarily aim to assess the clinical effects of structured exercise therapy by:Synthesizing evidence on IBS symptom severity and health-related quality of life.Evaluating its impact on anxiety symptoms in patients with IBS.\nSynthesizing evidence on IBS symptom severity and health-related quality of life.\nEvaluating its impact on anxiety symptoms in patients with IBS.\nBy integrating evidence up to February 2025, this study builds on existing reviews while further focusing on the simultaneous assessment of multiple clinical outcomes (symptoms, quality of life, anxiety) and aims to explore the sources of heterogeneity in exercise programs and population characteristics. We hope that through this analysis, we can not only validate the overall effects of exercise interventions but also provide direct evidence for developing personalized exercise prescriptions and promoting precision management of IBS.\n\n\n### Methods\nThis systematic review and meta-analysis was registered on PROSPERO under the registration number CRD420250478248. The study was conducted in strict accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) statement and the Cochrane Handbook for Systematic Reviews and Meta-Analyses.\nWe systematically searched the PubMed, Embase, Web of Science, and Ovid electronic databases up to February 17, 2025. The complete, reproducible search strategies for all databases are provided in Table 1.\nComplete and reproducible electronic search strategies (aligned with PROSPERO protocol CRD420250478248).\nThe literature screening process is shown in Figure 1. Duplicates were automatically identified and removed using EndNote X9 literature management software. Cross-library duplicates, multilingual versions, and staged research reports were manually identified by two researchers (Jiali Wu, Shaojie Du) working independently. Double-blind screening was performed initially based on title and abstract, focusing on type of study (e.g., randomized controlled trial [RCT]), intervention (exercise therapy/usual care), and correlation of outcome indicators.\nPreferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) diagram analysis showing search results for meta-analysis.\nThe following inclusion criteria were applied: RCTs published in English (a restriction imposed for feasibility of accurate data extraction and assessment) with no patient age or sex limitations; diagnosis of IBS clearly meeting the Rome I–IV criteria (14–17) and inclusion of an intervention group that received a structured exercise program (with definition of type, frequency, and course of treatment) and a control group that received conventional drugs or basic lifestyle guidance. The exclusion criteria were as follows: RCT of exercise therapy including both an intervention group and a control group; original data missing, and the author could not be contacted; duplicate reports for the same data set; and a non-randomized controlled experimental design.\nThe data were collected in a double-blind manner by two independent researchers (Jiali Wu, Yanting Sun) using a pre-validated data extraction table. The extraction table included study characteristics (first author, publication year, country, study design), baseline information, including demographic characteristics (age, sex), movement parameters (type, cycle), and outcome measures (IBS Symptom Severity Scoring System [IBS-SSS], Irritable Bowel Syndrome Quality of Life measure [IBS-QOL], and anxiety score).\nSubgroup data pooling was used whereby multi-exercise subgroups (e.g., aerobic exercise, core training) were combined using an inverse variance weighted method. Subgroup A (sample size, N; mean, M; standard deviation, SD) and subgroup B (N, M, SD) were combined using the following equation:\nN=N1+N2M=N1M1+N2M2NSD=(N1−1)SD12+(N2−1)SD22+N1N2N(M1−M2)2N−1\nIf data from multiple subgroups needed to be combined, the data from the two subgroups could be combined first, and then the obtained data could be combined with the third subgroup using the above formula. Disagreements between reviewers were resolved by consensus or consultation with a third reviewer (Shaojie Du).\nTwo reviewers used Review Manager 5.3 to independently assess the risk of bias of the included studies, based on the following: random sequence generation (selection bias), assignment hiding (selection bias), subject and person blindness (implementation bias), outcome assessment blindness (detection bias), incomplete outcomes data (loss of follow-up bias), selective reporting (reporting bias), and other potential sources of bias. Disagreements were resolved by discussion. The included trials were classified as low quality, high quality, or medium quality according to the following criteria: considered low quality if randomization or assignment concealment was assessed as having a high risk of bias, regardless of the risk of other items; considered high quality when randomization and assignment concealment were assessed as having a low risk of bias and all other items as having a low or unclear risk of bias; and did not meet the high or low risk criteria and considered to be of moderate quality.\nThe statistical analysis was performed using Review Manager 5.3 software. The effect of exercise intervention on the outcome variables was estimated by comparing the pooled mean difference (MD) and SD of changes before and after treatment between the exercise group and the control group. Continuous data are presented as the MD with the 95% confidence interval (CI). We assessed heterogeneity by visual inspection of forest plots and by the I2 statistic. The I2 test determines whether there is significant heterogeneity. According to the Cochrane manual (18), the I2 statistic is interpreted as follows: 0–25%, low heterogeneity; 25–50%, moderate heterogeneity; and >50%, significant heterogeneity.\nA random effects model was used because of the heterogeneity of the exercise therapy interventions. In the literature included in this study, some trials may have incorporated multiple exercise intervention groups or multiple control groups. Since the objective of this study was to compare the efficacy of exercise versus non-exercise therapies for IBS, we employed the subgroup combination formula to merge multiple exercise arms into a single exercise group, or multiple control arms into a single control group, ensuring each study contributed only one independent comparison to the meta-analysis. To ensure that participants in each independent study contributed only once to the pooled effect size, we adopted the following strategy to avoid double counting: If a study compared two (or more) different types of exercise interventions or different non-exercise intervention control groups, we merged the sample sizes, means, and standard deviations of these groups using the subgroup combination formula into a single group for meta-analysis. The merging method followed the formulas provided in the “Data Extraction and Integration” section above. To ensure the principle of independence, all merging or selection operations were completed during the data extraction phase, guaranteeing that each comparison included in the final meta-analysis was statistically independent.\nFor studies with large heterogeneity, we used Stata14 software for sensitivity analysis to evaluate the stability of the results.\n\n\n### Protocol registration\nThis systematic review and meta-analysis was registered on PROSPERO under the registration number CRD420250478248. The study was conducted in strict accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) statement and the Cochrane Handbook for Systematic Reviews and Meta-Analyses.\n\n\n### Literature retrieval\nWe systematically searched the PubMed, Embase, Web of Science, and Ovid electronic databases up to February 17, 2025. The complete, reproducible search strategies for all databases are provided in Table 1.\nComplete and reproducible electronic search strategies (aligned with PROSPERO protocol CRD420250478248).\n\n\n### Research screening criteria\nThe literature screening process is shown in Figure 1. Duplicates were automatically identified and removed using EndNote X9 literature management software. Cross-library duplicates, multilingual versions, and staged research reports were manually identified by two researchers (Jiali Wu, Shaojie Du) working independently. Double-blind screening was performed initially based on title and abstract, focusing on type of study (e.g., randomized controlled trial [RCT]), intervention (exercise therapy/usual care), and correlation of outcome indicators.\nPreferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) diagram analysis showing search results for meta-analysis.\nThe following inclusion criteria were applied: RCTs published in English (a restriction imposed for feasibility of accurate data extraction and assessment) with no patient age or sex limitations; diagnosis of IBS clearly meeting the Rome I–IV criteria (14–17) and inclusion of an intervention group that received a structured exercise program (with definition of type, frequency, and course of treatment) and a control group that received conventional drugs or basic lifestyle guidance. The exclusion criteria were as follows: RCT of exercise therapy including both an intervention group and a control group; original data missing, and the author could not be contacted; duplicate reports for the same data set; and a non-randomized controlled experimental design.\n\n\n### Data extraction and integration\nThe data were collected in a double-blind manner by two independent researchers (Jiali Wu, Yanting Sun) using a pre-validated data extraction table. The extraction table included study characteristics (first author, publication year, country, study design), baseline information, including demographic characteristics (age, sex), movement parameters (type, cycle), and outcome measures (IBS Symptom Severity Scoring System [IBS-SSS], Irritable Bowel Syndrome Quality of Life measure [IBS-QOL], and anxiety score).\nSubgroup data pooling was used whereby multi-exercise subgroups (e.g., aerobic exercise, core training) were combined using an inverse variance weighted method. Subgroup A (sample size, N; mean, M; standard deviation, SD) and subgroup B (N, M, SD) were combined using the following equation:\nN=N1+N2M=N1M1+N2M2NSD=(N1−1)SD12+(N2−1)SD22+N1N2N(M1−M2)2N−1\nIf data from multiple subgroups needed to be combined, the data from the two subgroups could be combined first, and then the obtained data could be combined with the third subgroup using the above formula. Disagreements between reviewers were resolved by consensus or consultation with a third reviewer (Shaojie Du).\n\n\n### Deviation risk and quality assessment\nTwo reviewers used Review Manager 5.3 to independently assess the risk of bias of the included studies, based on the following: random sequence generation (selection bias), assignment hiding (selection bias), subject and person blindness (implementation bias), outcome assessment blindness (detection bias), incomplete outcomes data (loss of follow-up bias), selective reporting (reporting bias), and other potential sources of bias. Disagreements were resolved by discussion. The included trials were classified as low quality, high quality, or medium quality according to the following criteria: considered low quality if randomization or assignment concealment was assessed as having a high risk of bias, regardless of the risk of other items; considered high quality when randomization and assignment concealment were assessed as having a low risk of bias and all other items as having a low or unclear risk of bias; and did not meet the high or low risk criteria and considered to be of moderate quality.\n\n\n### Statistical analysis\nThe statistical analysis was performed using Review Manager 5.3 software. The effect of exercise intervention on the outcome variables was estimated by comparing the pooled mean difference (MD) and SD of changes before and after treatment between the exercise group and the control group. Continuous data are presented as the MD with the 95% confidence interval (CI). We assessed heterogeneity by visual inspection of forest plots and by the I2 statistic. The I2 test determines whether there is significant heterogeneity. According to the Cochrane manual (18), the I2 statistic is interpreted as follows: 0–25%, low heterogeneity; 25–50%, moderate heterogeneity; and >50%, significant heterogeneity.\nA random effects model was used because of the heterogeneity of the exercise therapy interventions. In the literature included in this study, some trials may have incorporated multiple exercise intervention groups or multiple control groups. Since the objective of this study was to compare the efficacy of exercise versus non-exercise therapies for IBS, we employed the subgroup combination formula to merge multiple exercise arms into a single exercise group, or multiple control arms into a single control group, ensuring each study contributed only one independent comparison to the meta-analysis. To ensure that participants in each independent study contributed only once to the pooled effect size, we adopted the following strategy to avoid double counting: If a study compared two (or more) different types of exercise interventions or different non-exercise intervention control groups, we merged the sample sizes, means, and standard deviations of these groups using the subgroup combination formula into a single group for meta-analysis. The merging method followed the formulas provided in the “Data Extraction and Integration” section above. To ensure the principle of independence, all merging or selection operations were completed during the data extraction phase, guaranteeing that each comparison included in the final meta-analysis was statistically independent.\nFor studies with large heterogeneity, we used Stata14 software for sensitivity analysis to evaluate the stability of the results.\n\n\n### Results\nUsing a systematic cross-database search strategy, 2,487 initial study records were obtained from the four major databases. After automatic identification by EndNote X9 software and independent review by two researchers, 345 duplicate publications were systematically eliminated, and the remaining 2,142 articles entered the primary screening stage for titles and abstracts. Based on the preset inclusion/exclusion criteria, 2,113 ineligible studies were excluded after double-blind screening, and 29 articles were finally retained for full-text assessment.\nIn this full-text review stage, further studies that did not meet the requirements were excluded, including one study for which the manuscript was withdrawn, eight studies that had missing raw data and could not be traced, and 10 studies that did not meet the inclusion or exclusion criteria. Finally, 10 RCTs that met the methodological criteria were included in this systematic review and meta-analysis (Figure 1). The basic characteristics of the included studies and reference coding are detailed in the literature (19–28).\nWe selected 10 RCTs (19–28) that included 437 participants (exercise group, n = 215; control group, n = 222; Table 2). All studies reported the age of the participants, which ranged from 19 years to 43.5 years. The duration of treatment varied from 4 to 24 weeks. All studies compared an exercise group (including yoga, pilates, treadmill exercise, and walking) and a non-exercising control group (including usual care, medication interventions, and dietary recommendations). There was a large deviation in the intensity of self-reported pain between the exercise and control baseline values included in one RCT (23). No studies reported cost-effectiveness, number of recurrent episodes, or adverse events.\nFeatures of included studies.\nAnalysis of the quality of the included studies based on the Cochrane Risk of Bias Assessment Tool (RoB 2.0) showed that all trials used random number tables or statistical software for random sequence generation and were assessed as having a low risk of bias. However, one study (28) was judged to be at moderate risk of allocation concealment because the allocation process using opaque envelopes was not described in detail. Another study (24) used the rolling dice odd and even grouping method for allocation concealment and had a high risk of bias. All trials were at high risk at the level of subject blinding and outcome assessment because of the physical limitations of exercise interventions, but none of the 10 trials had subject dropouts and fully reported pre-specified outcomes. Therefore, the risk of loss to follow-up bias and selective reporting bias were low (Figure 2).\nDiagram showing the results of analysis of risk of bias.\nWe performed a meta-analysis of five RCTs (21, 22, 24, 26, 27) that compared the effects of exercise and non-exercise interventions on symptom severity in IBS (Figure 3). The IBS-SSS was used as the core evaluation tool and assessed the gastrointestinal symptom load by quantifying the comprehensive score (0–500 points) of four dimensions, including intensity of abdominal pain, degree of abdominal distension, frequency of bowel movements and abnormalities, and impairment of daily function during the 10-day observation period (29). The forest plot showed that the test group had a statistically significant advantage in terms of being able to reduce the IBS-SSS score in comparison with the control group (Z = 8.77, p < 0.00001). This finding suggested that exercise intervention was effective in relieving the clinical severity of the core symptoms of IBS. However, high heterogeneity was observed (p < 0.00001, Cochrane Q test; I2 = 90%). Sensitivity analysis confirmed the robustness of this finding, with the effect direction and significance remaining stable after sequential study removal (Figure 4).\nDirect pairwise random-effects meta-analysis of IBS Symptom Severity Scoring System scores.\nSensitivity analysis of IBS Symptom Severity Scoring System scores.\nMeta-analysis of four RCTs (19, 20, 24, 28) was performed to investigate the effect of exercise intervention on quality of life in patients with IBS (Figure 5). The IBS-QOL was used as an assessment measure. This tool covers 34 items in eight dimensions, including emotional distress, limitation of daily function, somatic imagery, health anxiety, dietary avoidance, social adaptation, sexual function, and interpersonal relationships. The scores were standardized and converted to a 0–100-point scale, with increased scores indicating improved quality of life (30). Combined analysis showed no statistically significant difference between the exercise and control groups (p = 0.52). However, the results of each study showed significant heterogeneity (I2 = 92%, p < 0.001). Fani et al. (24) reported that exercise intervention significantly improved IBS-QOL scores (weighted mean difference [WMD] 32.14, 95% CI 20.87–43.41), while Daley et al. (19) observed a negative effect (WMD –4.40, 95% CI –6.13, −2.67). Improvement in IBS-QOL scores did not reach statistical significance in the studies reported by Chao et al. (28) (WMD –5.10, 95% CI –14.11, 3.91) and D’Silva et al. (20) (WMD –2.40, 95% CI –13.48, 8.68). For quality of life (IBS-QOL), the pooled analysis showed no statistically significant difference between groups (p = 0.52), despite high heterogeneity (I2 = 92%, p < 0.001). Sensitivity analysis indicated this non-significant result was not driven by any single study (Figure 6). In summary, the current evidence neither confirms definitive benefits of exercise for IBS-QOL nor rules out its potential efficacy in specific populations or with particular protocols. Therefore, based on the current heterogeneous evidence, no significant benefit of exercise on IBS-specific quality of life can be concluded.\nDirect pairwise random-effects meta-analyses of IBS-QOL.\nSensitivity analysis of IBS-QOL.\nWe performed a meta-analysis of the efficacy of exercise intervention in improving anxiety in patients with IBS based on standardized transformed anxiety score data (Figure 7). Given that there is heterogeneity in the anxiety assessment tools described in the original literature (e.g., the Hamilton Anxiety Rating Scale and Hospital Anxiety and Depression Scale), we consistently standardized each scale score to a range of 1–100 by isometric scaling (with a decrease in score suggesting relief of anxiety) and included five studies that met the criteria (20–23, 26). Analysis using a random effects model showed that the overall WMD between the exercise intervention group and the control group was −4.49 points (95% CI –13.73, 4.74); the difference did not reach statistical significance (p = 0.34). Allam et al. (21) and Taneja et al. (22) showed that exercise significantly reduced anxiety scores; in contrast, the results reported by Kuttner et al. (23), D’Silva et al. (20), and Tavakoli et al. (26) were not statistically significant. High heterogeneity was observed (I2 = 84%, p < 0.001). Sensitivity analyses, including one restricted to common anxiety scales, confirmed the non-significant result (Figure 8). Thus, no statistically significant effect of exercise on anxiety was demonstrated. Future studies employing standardized assessment tools and intervention protocols are needed to clarify this issue.\nDirect pairwise random-effects meta-analyses of anxiety.\nSensitive analysis of anxiety.\n\n\n### Search results and research options\nUsing a systematic cross-database search strategy, 2,487 initial study records were obtained from the four major databases. After automatic identification by EndNote X9 software and independent review by two researchers, 345 duplicate publications were systematically eliminated, and the remaining 2,142 articles entered the primary screening stage for titles and abstracts. Based on the preset inclusion/exclusion criteria, 2,113 ineligible studies were excluded after double-blind screening, and 29 articles were finally retained for full-text assessment.\nIn this full-text review stage, further studies that did not meet the requirements were excluded, including one study for which the manuscript was withdrawn, eight studies that had missing raw data and could not be traced, and 10 studies that did not meet the inclusion or exclusion criteria. Finally, 10 RCTs that met the methodological criteria were included in this systematic review and meta-analysis (Figure 1). The basic characteristics of the included studies and reference coding are detailed in the literature (19–28).\n\n\n### Features included in the study\nWe selected 10 RCTs (19–28) that included 437 participants (exercise group, n = 215; control group, n = 222; Table 2). All studies reported the age of the participants, which ranged from 19 years to 43.5 years. The duration of treatment varied from 4 to 24 weeks. All studies compared an exercise group (including yoga, pilates, treadmill exercise, and walking) and a non-exercising control group (including usual care, medication interventions, and dietary recommendations). There was a large deviation in the intensity of self-reported pain between the exercise and control baseline values included in one RCT (23). No studies reported cost-effectiveness, number of recurrent episodes, or adverse events.\nFeatures of included studies.\n\n\n### Risk of bias and quality of evidence\nAnalysis of the quality of the included studies based on the Cochrane Risk of Bias Assessment Tool (RoB 2.0) showed that all trials used random number tables or statistical software for random sequence generation and were assessed as having a low risk of bias. However, one study (28) was judged to be at moderate risk of allocation concealment because the allocation process using opaque envelopes was not described in detail. Another study (24) used the rolling dice odd and even grouping method for allocation concealment and had a high risk of bias. All trials were at high risk at the level of subject blinding and outcome assessment because of the physical limitations of exercise interventions, but none of the 10 trials had subject dropouts and fully reported pre-specified outcomes. Therefore, the risk of loss to follow-up bias and selective reporting bias were low (Figure 2).\nDiagram showing the results of analysis of risk of bias.\n\n\n### Irritable bowel syndrome-symptom severity score\nWe performed a meta-analysis of five RCTs (21, 22, 24, 26, 27) that compared the effects of exercise and non-exercise interventions on symptom severity in IBS (Figure 3). The IBS-SSS was used as the core evaluation tool and assessed the gastrointestinal symptom load by quantifying the comprehensive score (0–500 points) of four dimensions, including intensity of abdominal pain, degree of abdominal distension, frequency of bowel movements and abnormalities, and impairment of daily function during the 10-day observation period (29). The forest plot showed that the test group had a statistically significant advantage in terms of being able to reduce the IBS-SSS score in comparison with the control group (Z = 8.77, p < 0.00001). This finding suggested that exercise intervention was effective in relieving the clinical severity of the core symptoms of IBS. However, high heterogeneity was observed (p < 0.00001, Cochrane Q test; I2 = 90%). Sensitivity analysis confirmed the robustness of this finding, with the effect direction and significance remaining stable after sequential study removal (Figure 4).\nDirect pairwise random-effects meta-analysis of IBS Symptom Severity Scoring System scores.\nSensitivity analysis of IBS Symptom Severity Scoring System scores.\n\n\n### Irritable bowel syndrome quality of life scores\nMeta-analysis of four RCTs (19, 20, 24, 28) was performed to investigate the effect of exercise intervention on quality of life in patients with IBS (Figure 5). The IBS-QOL was used as an assessment measure. This tool covers 34 items in eight dimensions, including emotional distress, limitation of daily function, somatic imagery, health anxiety, dietary avoidance, social adaptation, sexual function, and interpersonal relationships. The scores were standardized and converted to a 0–100-point scale, with increased scores indicating improved quality of life (30). Combined analysis showed no statistically significant difference between the exercise and control groups (p = 0.52). However, the results of each study showed significant heterogeneity (I2 = 92%, p < 0.001). Fani et al. (24) reported that exercise intervention significantly improved IBS-QOL scores (weighted mean difference [WMD] 32.14, 95% CI 20.87–43.41), while Daley et al. (19) observed a negative effect (WMD –4.40, 95% CI –6.13, −2.67). Improvement in IBS-QOL scores did not reach statistical significance in the studies reported by Chao et al. (28) (WMD –5.10, 95% CI –14.11, 3.91) and D’Silva et al. (20) (WMD –2.40, 95% CI –13.48, 8.68). For quality of life (IBS-QOL), the pooled analysis showed no statistically significant difference between groups (p = 0.52), despite high heterogeneity (I2 = 92%, p < 0.001). Sensitivity analysis indicated this non-significant result was not driven by any single study (Figure 6). In summary, the current evidence neither confirms definitive benefits of exercise for IBS-QOL nor rules out its potential efficacy in specific populations or with particular protocols. Therefore, based on the current heterogeneous evidence, no significant benefit of exercise on IBS-specific quality of life can be concluded.\nDirect pairwise random-effects meta-analyses of IBS-QOL.\nSensitivity analysis of IBS-QOL.\n\n\n### Anxiety\nWe performed a meta-analysis of the efficacy of exercise intervention in improving anxiety in patients with IBS based on standardized transformed anxiety score data (Figure 7). Given that there is heterogeneity in the anxiety assessment tools described in the original literature (e.g., the Hamilton Anxiety Rating Scale and Hospital Anxiety and Depression Scale), we consistently standardized each scale score to a range of 1–100 by isometric scaling (with a decrease in score suggesting relief of anxiety) and included five studies that met the criteria (20–23, 26). Analysis using a random effects model showed that the overall WMD between the exercise intervention group and the control group was −4.49 points (95% CI –13.73, 4.74); the difference did not reach statistical significance (p = 0.34). Allam et al. (21) and Taneja et al. (22) showed that exercise significantly reduced anxiety scores; in contrast, the results reported by Kuttner et al. (23), D’Silva et al. (20), and Tavakoli et al. (26) were not statistically significant. High heterogeneity was observed (I2 = 84%, p < 0.001). Sensitivity analyses, including one restricted to common anxiety scales, confirmed the non-significant result (Figure 8). Thus, no statistically significant effect of exercise on anxiety was demonstrated. Future studies employing standardized assessment tools and intervention protocols are needed to clarify this issue.\nDirect pairwise random-effects meta-analyses of anxiety.\nSensitive analysis of anxiety.\n\n\n### Discussion\nThe following sections discuss potential biological mechanisms through which exercise might benefit IBS, as suggested by preclinical and translational studies. These mechanisms are not directly evaluated by the clinical data in this review but provide context for interpreting the findings and designing future research.\nThe brain–gut axis is a bidirectional communication pathway that connects the gut microbiome, gastrointestinal tract, and peripheral and central nervous systems through the vagus-mediated autonomic nervous system (ANS) (31), and dysfunction in this system is considered to be one of the main causes of IBS (32). This regulatory network achieves signal integration through multiple pathways, including vagally mediated bidirectional signaling in the ANS (afferent versus efferent) and neuroendocrine regulation of the hypothalamic–pituitary–adrenal axis (HPA) axis and serotonin system (33–37).\nIBS is considered a biopsychosocial model and is a product of a stressful environment (38). Pressure usually induces sympathetic activation and suppresses the vagus nerve while activating the sacral parasympathetic nervous system (39). Chronic stress can lead to disruption of the balance of the ANS, such as low vagal tone or high sympathetic tone, which favors pro-inflammatory conditions (9). Imbalances in complex interactions between events occurring in the intestinal lumen (including the gut microbiota), gut mucosa, enteric nervous system, and central nervous system can lead to abnormal gut motility and visceral hypersensitivity (40). Exercise may restore autonomic balance by the following mechanisms.\nAs part of the parasympathetic nervous system, the vagus nerve has multiple physiological functions, including regulation of immune responses, digestive processes, and the heart rate, and, more recently, control of emotions (41). In a basic study, carbon fiber microelectrodes were used to record the vagal preganglionic neuron population and the vagal dorsal motor nucleus of the brainstem in rats. It was found that the preganglionic neurons of the nucleus ambiguus and the vagal dorsal motor nucleus were strongly activated during exercise. Exercise training significantly increased the resting activity of vagal preganglionic neurons and enhanced the excitatory response of neurons in the nucleus ambiguus during exercise. The investigators concluded that exercise increased the activity of vagal preganglionic neurons, thereby increasing vagal tone (42). The vagus nerve is a key component of the neuroendocrine immune axis and has anti-inflammatory properties; its afferent signals activate the HPA axis and release corticosteroids through the adrenal gland, and its output signals inhibit the release of pro-inflammatory cytokines such as tumor necrosis factor alpha through cholinergic anti-inflammatory pathways and interaction of acetylcholine with α7 nicotinic receptors in the spleen and intestinal macrophages (9, 43). Disruption of the intestinal barrier leads to an increase in lipopolysaccharide and proinflammatory cytokines, which are important pathomechanisms contributing to abdominal pain in patients with IBS (44, 45).\nA basic study used a novel method to assess autonomic function by measuring fingertip blood flow with continuous wave Doppler ultrasound and found increased sympathetic activity in patients with IBS, suggesting that these abnormalities may be involved in the pathogenesis of IBS (46). Exercise training has been shown to attenuate sympathetic activity in experimental animals (47, 48). It has also been clinically demonstrated in two RCTs (49, 50) that exercise is able to reduce sympathetic overactivation. A systematic review and meta-analysis of 40 intervention studies (1,253 patients) (51) investigated the effects of exercise on muscle sympathetic nerve activity in humans and found that exercise training reduced this activity. That study also performed a meta-regression analysis to confirm a dose–response relationship whereby individuals with higher pre-intervention sympathetic activity showed greater reductions in post-intervention sympathetic activity. Therefore, there is evidence demonstrating that exercise can improve the symptoms of IBS by inhibiting sympathetic activity.\nSignals are transmitted in the gut and central nervous system by a variety of neurotransmitters, among which abnormal metabolism of serotonin and dopamine is closely associated with symptoms of IBS.\nAlterations in signaling of serotonin secreted by enterochromaffin cells have been associated with IBS (52). However, changes in enterochromaffin cells may be a pathophysiological mechanism leading to symptoms of diarrhea in IBS (53). Intestinal chromaffin cells secrete 90% of the serotonin in the body (54). The released serotonin activates multiple receptors expressed in nociceptive afferents and provokes afferent nerves in submucosal terminals, thereby initiating peristaltic reflexes and promoting intestinal secretion and reducing gastrointestinal terminal sensitivity (55–57). One study also reported that the 5-HIAA/serotonin ratio was within the normal range in patients with symptoms of constipation, but decreased in patients with IBS and diarrhea, suggesting that reuptake of serotonin may be reduced in patients with IBS and diarrhea, whereas those who have IBS with constipation may have impaired serotonin release (58). There is a lack of studies directly demonstrating that exercise therapy improves symptoms of IBS by regulating intestinal serotonin levels. However, a basic study has shown that exercise significantly reduces expression of the serotonin transporter in specific regions of the brain (e.g., the rostral ventromedial medulla) and reduces reuptake of serotonin, thereby increasing serotonin levels in the synaptic cleft (59).\nChronic stress causes elevated cortisol levels by activating the HPA axis, inducing intestinal inflammation and increased permeability. Exercise intervention inhibits overactivation of the HPA axis through several mechanisms.\nMany studies have confirmed that dysfunction of the HPA axis is one of the causes of IBS, and that reducing activity in the HPA axis is an effective way to improve IBS (60–67). Dysfunction of the HPA axis results in enhancement of the intestinal stress response (64, 68, 69). Studies have reported that elevated basal cortisol levels are a common pathophysiological feature in patients with IBS (63, 70, 71), which may explain the dysregulation of activity in the HPA axis. Exercise of varying intensity has been shown to have different effects on the response of the HPA axis to acute stress, and repeated low-intensity exercise has been shown to reduce cortisol levels, thereby regulating activity in the HPA axis and improving symptoms of IBS (72, 73), while high-intensity exercise causes a proportional increase in cortisol, which may worsen the symptoms of IBS (74). The critical intensity level leading to release of cortisol is about 60% of VO2max, and the greater the intensity of exercise, the greater its release (74) and the greater the activation of the HPA axis (37). Perhaps this explains why yoga, as well as activities that involve slow and usually non-sustained activity, can improve symptoms of IBS (75), whereas strenuous exercise leads to increased intestinal permeability, gastrointestinal damage, and mild endotoxemia (76–78).\nThe brain–gut microbial axis is a bidirectional communication network formed by the gut microbiota, gut, and brain through neurological, endocrine, and metabolic pathways. Its core mechanisms include transmission of vagal signals, regulation of the HPA axis, and the action of microbial metabolites (e.g., short-chain fatty acids [SCFAs]). Key microbiota such as Firmicutes and Akkermansia muciniphila enhance intestinal barrier function, inhibit inflammation, and regulate neurotransmitters (e.g., serotonin) and brain-derived neurotrophic factor by producing SCFAs, thereby affecting cognition, mood, and metabolism (33–37). Dysregulation of the gut microbiota is an important mechanism in the pathogenesis of IBS, and its diversity is significantly reduced in patients with IBS (79–81). One study showed that dysbacteriosis of the intestinal flora occurred in 73% of patients with IBS and in only 16% of healthy individuals (82).\nClinical interventions have shown that supplementation with probiotics such as Bifidobacterium longum significantly improves intestinal symptoms and mood in patients with IBS by modulating the structure of the microbiota and restoring levels of SCFAs (83–85). However, exercise interventions (especially aerobic exercise) indirectly alleviate inflammation and intestinal dysfunction by increasing the abundance of beneficial bacteria, such as Akkermansia (37). Studies have shown that different types of exercise have significantly different regulatory effects: long-term aerobic exercise (e.g., running or riding) improves intestinal barrier and brain function by increasing the abundance of Firmicutes and SCFA levels (86), while high-intensity exercise (e.g., running a marathon) increases the abundance of Actinobacteria and improves lipid metabolism (87). It is important to note that involuntary exercise (e.g., autonomous running wheels) may not achieve the desired effect by increasing the genera Lactobacillus and Blautia coccoides and Eubacterium rectale from the phylum Firmicutes, as well as Bifidobacterium from the phylum Actinobacteria (88), as well as voluntary exercise (37). In summary, the reviewed evidence suggests exercise could represent a new strategy for intervening in IBS by optimizing the structure of the microbiota and its functional metabolism in multiple dimensions.\nIn this meta-analysis, exercise therapy significantly improved IBS symptom severity (IBS-SSS; p < 0.00001) but did not show statistically significant effects on disease-specific quality of life (IBS-QOL) or anxiety symptoms. However, this result must be interpreted with caution due to high heterogeneity (I2 = 84–92%), the small number of trials (n = 10), and their limited sample sizes. The source of heterogeneity can be attributed to multiple dimensions. High heterogeneity primarily stems from differences in intervention protocols and study populations, as well as methodological design inconsistencies across studies. The first is the heterogeneity of intervention regimens. The types of exercises used in the various studies (e.g., yoga, Pilates, aerobic exercise) differ significantly in terms of intensity parameters, with high-intensity exercise partially counteracting the improvement of anxiety by activating the HPA axis, leading to increased cortisol levels, while low-intensity intervention has limited efficacy because it does not reach the neurotransmitter release threshold. The second source is population baseline heterogeneity, where too high a proportion of women were included in the study, sex-related hormonal fluctuations (e.g., estrogen modulation of gut sensitivity) were not adjusted for, and patients were not stratified by Rome IV subtype (e.g., IBS patients with diarrhea had a higher baseline sympathetic tone and may be more sensitive to exercise intervention). The third source was measurement tool and assessment bias. In quality of life assessment, complex dimensional improvements such as “social functioning” (e.g., the study by D’Silva et al.) and “sexual health” lagged behind somatic symptoms, while sensitivity differences on anxiety scales (e.g., the study by Taneja et al. detected significant improvements using STAI, while Kuttner et al. found no differences using the Revised Children’s Manifest Anxiety Scale) and exercise interventions could not be implemented blindly to further weaken the significance of differences between groups. IBS-QOL did not improve or was associated with a “time window effect” of brain-gut axis signal integration, while bidirectional regulation of anxiety states (low intensity inhibition vs. high intensity activation of the HPA axis) and individual differences in the brain–gut–microbiota axis suggest the need for individualized intervention strategies. Most importantly, the high heterogeneity across outcomes means that the pooled estimates should be interpreted with caution, as they derive from studies differing substantially in interventions, populations, and measures, which limits the reliability and generalizability of the conclusions.\nThe current evidence system has four levels of limitations. The first is methodological shortcomings: the average sample size of the included studies is too low, the statistical power is insufficient, and most of the studies do not use objective quantitative indicators, resulting in difficulty in modeling the exercise dose–response relationship; at the same time, the heterogeneity of anxiety assessment tools triggers effect dilution and scale focus differences, and threshold criteria are different, further interfering with the integration of results. The second limitation is blank mechanism analysis, whereby some studies lack multiple groups of student markers (plasma brain-derived neurotrophic factor, fecal 5-HIAA, intestinal microbiota, SCFAs) and cannot elucidate the mechanism of motor–microbiota–brain axis interaction; in particular, the temporal association between vagally mediated cholinergic anti-inflammatory pathways and serotonin reuptake regulation has not been quantified. The third limitation is the barrier to clinical translation, in that the longest follow-up period is only 6 months, and cost-effectiveness analysis and safety data are missing, limiting health decision-making support. Another important limitation of this review is the potential introduction of publication language bias. To ensure the accuracy of data extraction and risk of bias assessment, we only included studies published in English. Although English is the predominant language of international medical research, this restriction may still have led us to overlook high-quality evidence in other languages (such as Chinese), potentially affecting the generalizability and effect estimates of the summary results. In future studies, we will expand the scope of languages to ensure the inclusion of high-quality literature from other languages, thereby providing higher-level clinical evidence for exercise therapy interventions in IBS.\nFuture research could explore several promising directions. The first is to investigate precision prescriptions: for example, future trials could test whether a targeting regimen based on Rome IV subtype was developed, namely, IBS-C used core muscle training (3 times a week, 60% 1RM load) combined with abdominal breathing (6 times/min) to enhance colon propulsive force, IBS-D implemented low-impact aerobic exercise (40–55% heart rate reserve) combined with vagal activation (expiratory/inspiratory ratio 2:1). The second strategy is to develop multi- modal evaluation systems, which might integrate resting brain functional MRI, metagenomic sequencing, and dynamic HRV monitoring with the aim of building a machine learning-driven efficacy prediction model (area under the curve ≥0.85). The third strategy is to optimize mixed interventions, potentially using a 2 × 2 factorial design to explore the synergistic effect of exercise with probiotics and neural regulation, and a closed-loop adaptation system was developed. Finally, a long-term goal would be the deep integration of evidence- based medicine and precision medicine, potentially promoting exercise therapy from an “auxiliary intervention” toward a core module of stepped care for IBS, with the aim of achieving a triple optimization of symptom control, functional recovery, and health economic benefit.\n\n\n### Potential mechanisms and context for future research\nThe following sections discuss potential biological mechanisms through which exercise might benefit IBS, as suggested by preclinical and translational studies. These mechanisms are not directly evaluated by the clinical data in this review but provide context for interpreting the findings and designing future research.\n\n\n### Brain–gut axis regulatory pathway\nThe brain–gut axis is a bidirectional communication pathway that connects the gut microbiome, gastrointestinal tract, and peripheral and central nervous systems through the vagus-mediated autonomic nervous system (ANS) (31), and dysfunction in this system is considered to be one of the main causes of IBS (32). This regulatory network achieves signal integration through multiple pathways, including vagally mediated bidirectional signaling in the ANS (afferent versus efferent) and neuroendocrine regulation of the hypothalamic–pituitary–adrenal axis (HPA) axis and serotonin system (33–37).\n\n\n### Remodeling of autonomic balance\nIBS is considered a biopsychosocial model and is a product of a stressful environment (38). Pressure usually induces sympathetic activation and suppresses the vagus nerve while activating the sacral parasympathetic nervous system (39). Chronic stress can lead to disruption of the balance of the ANS, such as low vagal tone or high sympathetic tone, which favors pro-inflammatory conditions (9). Imbalances in complex interactions between events occurring in the intestinal lumen (including the gut microbiota), gut mucosa, enteric nervous system, and central nervous system can lead to abnormal gut motility and visceral hypersensitivity (40). Exercise may restore autonomic balance by the following mechanisms.\nAs part of the parasympathetic nervous system, the vagus nerve has multiple physiological functions, including regulation of immune responses, digestive processes, and the heart rate, and, more recently, control of emotions (41). In a basic study, carbon fiber microelectrodes were used to record the vagal preganglionic neuron population and the vagal dorsal motor nucleus of the brainstem in rats. It was found that the preganglionic neurons of the nucleus ambiguus and the vagal dorsal motor nucleus were strongly activated during exercise. Exercise training significantly increased the resting activity of vagal preganglionic neurons and enhanced the excitatory response of neurons in the nucleus ambiguus during exercise. The investigators concluded that exercise increased the activity of vagal preganglionic neurons, thereby increasing vagal tone (42). The vagus nerve is a key component of the neuroendocrine immune axis and has anti-inflammatory properties; its afferent signals activate the HPA axis and release corticosteroids through the adrenal gland, and its output signals inhibit the release of pro-inflammatory cytokines such as tumor necrosis factor alpha through cholinergic anti-inflammatory pathways and interaction of acetylcholine with α7 nicotinic receptors in the spleen and intestinal macrophages (9, 43). Disruption of the intestinal barrier leads to an increase in lipopolysaccharide and proinflammatory cytokines, which are important pathomechanisms contributing to abdominal pain in patients with IBS (44, 45).\nA basic study used a novel method to assess autonomic function by measuring fingertip blood flow with continuous wave Doppler ultrasound and found increased sympathetic activity in patients with IBS, suggesting that these abnormalities may be involved in the pathogenesis of IBS (46). Exercise training has been shown to attenuate sympathetic activity in experimental animals (47, 48). It has also been clinically demonstrated in two RCTs (49, 50) that exercise is able to reduce sympathetic overactivation. A systematic review and meta-analysis of 40 intervention studies (1,253 patients) (51) investigated the effects of exercise on muscle sympathetic nerve activity in humans and found that exercise training reduced this activity. That study also performed a meta-regression analysis to confirm a dose–response relationship whereby individuals with higher pre-intervention sympathetic activity showed greater reductions in post-intervention sympathetic activity. Therefore, there is evidence demonstrating that exercise can improve the symptoms of IBS by inhibiting sympathetic activity.\n\n\n### Vagus activation\nAs part of the parasympathetic nervous system, the vagus nerve has multiple physiological functions, including regulation of immune responses, digestive processes, and the heart rate, and, more recently, control of emotions (41). In a basic study, carbon fiber microelectrodes were used to record the vagal preganglionic neuron population and the vagal dorsal motor nucleus of the brainstem in rats. It was found that the preganglionic neurons of the nucleus ambiguus and the vagal dorsal motor nucleus were strongly activated during exercise. Exercise training significantly increased the resting activity of vagal preganglionic neurons and enhanced the excitatory response of neurons in the nucleus ambiguus during exercise. The investigators concluded that exercise increased the activity of vagal preganglionic neurons, thereby increasing vagal tone (42). The vagus nerve is a key component of the neuroendocrine immune axis and has anti-inflammatory properties; its afferent signals activate the HPA axis and release corticosteroids through the adrenal gland, and its output signals inhibit the release of pro-inflammatory cytokines such as tumor necrosis factor alpha through cholinergic anti-inflammatory pathways and interaction of acetylcholine with α7 nicotinic receptors in the spleen and intestinal macrophages (9, 43). Disruption of the intestinal barrier leads to an increase in lipopolysaccharide and proinflammatory cytokines, which are important pathomechanisms contributing to abdominal pain in patients with IBS (44, 45).\n\n\n### Sympathetic inhibition\nA basic study used a novel method to assess autonomic function by measuring fingertip blood flow with continuous wave Doppler ultrasound and found increased sympathetic activity in patients with IBS, suggesting that these abnormalities may be involved in the pathogenesis of IBS (46). Exercise training has been shown to attenuate sympathetic activity in experimental animals (47, 48). It has also been clinically demonstrated in two RCTs (49, 50) that exercise is able to reduce sympathetic overactivation. A systematic review and meta-analysis of 40 intervention studies (1,253 patients) (51) investigated the effects of exercise on muscle sympathetic nerve activity in humans and found that exercise training reduced this activity. That study also performed a meta-regression analysis to confirm a dose–response relationship whereby individuals with higher pre-intervention sympathetic activity showed greater reductions in post-intervention sympathetic activity. Therefore, there is evidence demonstrating that exercise can improve the symptoms of IBS by inhibiting sympathetic activity.\n\n\n### Regulation of the neurotransmitter system\nSignals are transmitted in the gut and central nervous system by a variety of neurotransmitters, among which abnormal metabolism of serotonin and dopamine is closely associated with symptoms of IBS.\nAlterations in signaling of serotonin secreted by enterochromaffin cells have been associated with IBS (52). However, changes in enterochromaffin cells may be a pathophysiological mechanism leading to symptoms of diarrhea in IBS (53). Intestinal chromaffin cells secrete 90% of the serotonin in the body (54). The released serotonin activates multiple receptors expressed in nociceptive afferents and provokes afferent nerves in submucosal terminals, thereby initiating peristaltic reflexes and promoting intestinal secretion and reducing gastrointestinal terminal sensitivity (55–57). One study also reported that the 5-HIAA/serotonin ratio was within the normal range in patients with symptoms of constipation, but decreased in patients with IBS and diarrhea, suggesting that reuptake of serotonin may be reduced in patients with IBS and diarrhea, whereas those who have IBS with constipation may have impaired serotonin release (58). There is a lack of studies directly demonstrating that exercise therapy improves symptoms of IBS by regulating intestinal serotonin levels. However, a basic study has shown that exercise significantly reduces expression of the serotonin transporter in specific regions of the brain (e.g., the rostral ventromedial medulla) and reduces reuptake of serotonin, thereby increasing serotonin levels in the synaptic cleft (59).\n\n\n### Serotonin signaling pathway\nAlterations in signaling of serotonin secreted by enterochromaffin cells have been associated with IBS (52). However, changes in enterochromaffin cells may be a pathophysiological mechanism leading to symptoms of diarrhea in IBS (53). Intestinal chromaffin cells secrete 90% of the serotonin in the body (54). The released serotonin activates multiple receptors expressed in nociceptive afferents and provokes afferent nerves in submucosal terminals, thereby initiating peristaltic reflexes and promoting intestinal secretion and reducing gastrointestinal terminal sensitivity (55–57). One study also reported that the 5-HIAA/serotonin ratio was within the normal range in patients with symptoms of constipation, but decreased in patients with IBS and diarrhea, suggesting that reuptake of serotonin may be reduced in patients with IBS and diarrhea, whereas those who have IBS with constipation may have impaired serotonin release (58). There is a lack of studies directly demonstrating that exercise therapy improves symptoms of IBS by regulating intestinal serotonin levels. However, a basic study has shown that exercise significantly reduces expression of the serotonin transporter in specific regions of the brain (e.g., the rostral ventromedial medulla) and reduces reuptake of serotonin, thereby increasing serotonin levels in the synaptic cleft (59).\n\n\n### Downregulation of HPA axis activity\nChronic stress causes elevated cortisol levels by activating the HPA axis, inducing intestinal inflammation and increased permeability. Exercise intervention inhibits overactivation of the HPA axis through several mechanisms.\nMany studies have confirmed that dysfunction of the HPA axis is one of the causes of IBS, and that reducing activity in the HPA axis is an effective way to improve IBS (60–67). Dysfunction of the HPA axis results in enhancement of the intestinal stress response (64, 68, 69). Studies have reported that elevated basal cortisol levels are a common pathophysiological feature in patients with IBS (63, 70, 71), which may explain the dysregulation of activity in the HPA axis. Exercise of varying intensity has been shown to have different effects on the response of the HPA axis to acute stress, and repeated low-intensity exercise has been shown to reduce cortisol levels, thereby regulating activity in the HPA axis and improving symptoms of IBS (72, 73), while high-intensity exercise causes a proportional increase in cortisol, which may worsen the symptoms of IBS (74). The critical intensity level leading to release of cortisol is about 60% of VO2max, and the greater the intensity of exercise, the greater its release (74) and the greater the activation of the HPA axis (37). Perhaps this explains why yoga, as well as activities that involve slow and usually non-sustained activity, can improve symptoms of IBS (75), whereas strenuous exercise leads to increased intestinal permeability, gastrointestinal damage, and mild endotoxemia (76–78).\n\n\n### Microbiome–gut–brain axis\nThe brain–gut microbial axis is a bidirectional communication network formed by the gut microbiota, gut, and brain through neurological, endocrine, and metabolic pathways. Its core mechanisms include transmission of vagal signals, regulation of the HPA axis, and the action of microbial metabolites (e.g., short-chain fatty acids [SCFAs]). Key microbiota such as Firmicutes and Akkermansia muciniphila enhance intestinal barrier function, inhibit inflammation, and regulate neurotransmitters (e.g., serotonin) and brain-derived neurotrophic factor by producing SCFAs, thereby affecting cognition, mood, and metabolism (33–37). Dysregulation of the gut microbiota is an important mechanism in the pathogenesis of IBS, and its diversity is significantly reduced in patients with IBS (79–81). One study showed that dysbacteriosis of the intestinal flora occurred in 73% of patients with IBS and in only 16% of healthy individuals (82).\nClinical interventions have shown that supplementation with probiotics such as Bifidobacterium longum significantly improves intestinal symptoms and mood in patients with IBS by modulating the structure of the microbiota and restoring levels of SCFAs (83–85). However, exercise interventions (especially aerobic exercise) indirectly alleviate inflammation and intestinal dysfunction by increasing the abundance of beneficial bacteria, such as Akkermansia (37). Studies have shown that different types of exercise have significantly different regulatory effects: long-term aerobic exercise (e.g., running or riding) improves intestinal barrier and brain function by increasing the abundance of Firmicutes and SCFA levels (86), while high-intensity exercise (e.g., running a marathon) increases the abundance of Actinobacteria and improves lipid metabolism (87). It is important to note that involuntary exercise (e.g., autonomous running wheels) may not achieve the desired effect by increasing the genera Lactobacillus and Blautia coccoides and Eubacterium rectale from the phylum Firmicutes, as well as Bifidobacterium from the phylum Actinobacteria (88), as well as voluntary exercise (37). In summary, the reviewed evidence suggests exercise could represent a new strategy for intervening in IBS by optimizing the structure of the microbiota and its functional metabolism in multiple dimensions.\n\n\n### Analysis of results\nIn this meta-analysis, exercise therapy significantly improved IBS symptom severity (IBS-SSS; p < 0.00001) but did not show statistically significant effects on disease-specific quality of life (IBS-QOL) or anxiety symptoms. However, this result must be interpreted with caution due to high heterogeneity (I2 = 84–92%), the small number of trials (n = 10), and their limited sample sizes. The source of heterogeneity can be attributed to multiple dimensions. High heterogeneity primarily stems from differences in intervention protocols and study populations, as well as methodological design inconsistencies across studies. The first is the heterogeneity of intervention regimens. The types of exercises used in the various studies (e.g., yoga, Pilates, aerobic exercise) differ significantly in terms of intensity parameters, with high-intensity exercise partially counteracting the improvement of anxiety by activating the HPA axis, leading to increased cortisol levels, while low-intensity intervention has limited efficacy because it does not reach the neurotransmitter release threshold. The second source is population baseline heterogeneity, where too high a proportion of women were included in the study, sex-related hormonal fluctuations (e.g., estrogen modulation of gut sensitivity) were not adjusted for, and patients were not stratified by Rome IV subtype (e.g., IBS patients with diarrhea had a higher baseline sympathetic tone and may be more sensitive to exercise intervention). The third source was measurement tool and assessment bias. In quality of life assessment, complex dimensional improvements such as “social functioning” (e.g., the study by D’Silva et al.) and “sexual health” lagged behind somatic symptoms, while sensitivity differences on anxiety scales (e.g., the study by Taneja et al. detected significant improvements using STAI, while Kuttner et al. found no differences using the Revised Children’s Manifest Anxiety Scale) and exercise interventions could not be implemented blindly to further weaken the significance of differences between groups. IBS-QOL did not improve or was associated with a “time window effect” of brain-gut axis signal integration, while bidirectional regulation of anxiety states (low intensity inhibition vs. high intensity activation of the HPA axis) and individual differences in the brain–gut–microbiota axis suggest the need for individualized intervention strategies. Most importantly, the high heterogeneity across outcomes means that the pooled estimates should be interpreted with caution, as they derive from studies differing substantially in interventions, populations, and measures, which limits the reliability and generalizability of the conclusions.\n\n\n### Shortcomings and prospects\nThe current evidence system has four levels of limitations. The first is methodological shortcomings: the average sample size of the included studies is too low, the statistical power is insufficient, and most of the studies do not use objective quantitative indicators, resulting in difficulty in modeling the exercise dose–response relationship; at the same time, the heterogeneity of anxiety assessment tools triggers effect dilution and scale focus differences, and threshold criteria are different, further interfering with the integration of results. The second limitation is blank mechanism analysis, whereby some studies lack multiple groups of student markers (plasma brain-derived neurotrophic factor, fecal 5-HIAA, intestinal microbiota, SCFAs) and cannot elucidate the mechanism of motor–microbiota–brain axis interaction; in particular, the temporal association between vagally mediated cholinergic anti-inflammatory pathways and serotonin reuptake regulation has not been quantified. The third limitation is the barrier to clinical translation, in that the longest follow-up period is only 6 months, and cost-effectiveness analysis and safety data are missing, limiting health decision-making support. Another important limitation of this review is the potential introduction of publication language bias. To ensure the accuracy of data extraction and risk of bias assessment, we only included studies published in English. Although English is the predominant language of international medical research, this restriction may still have led us to overlook high-quality evidence in other languages (such as Chinese), potentially affecting the generalizability and effect estimates of the summary results. In future studies, we will expand the scope of languages to ensure the inclusion of high-quality literature from other languages, thereby providing higher-level clinical evidence for exercise therapy interventions in IBS.\nFuture research could explore several promising directions. The first is to investigate precision prescriptions: for example, future trials could test whether a targeting regimen based on Rome IV subtype was developed, namely, IBS-C used core muscle training (3 times a week, 60% 1RM load) combined with abdominal breathing (6 times/min) to enhance colon propulsive force, IBS-D implemented low-impact aerobic exercise (40–55% heart rate reserve) combined with vagal activation (expiratory/inspiratory ratio 2:1). The second strategy is to develop multi- modal evaluation systems, which might integrate resting brain functional MRI, metagenomic sequencing, and dynamic HRV monitoring with the aim of building a machine learning-driven efficacy prediction model (area under the curve ≥0.85). The third strategy is to optimize mixed interventions, potentially using a 2 × 2 factorial design to explore the synergistic effect of exercise with probiotics and neural regulation, and a closed-loop adaptation system was developed. Finally, a long-term goal would be the deep integration of evidence- based medicine and precision medicine, potentially promoting exercise therapy from an “auxiliary intervention” toward a core module of stepped care for IBS, with the aim of achieving a triple optimization of symptom control, functional recovery, and health economic benefit.\n\n\n### Conclusion\nThis systematic review and meta-analysis of 10 RCTs provides low-certainty evidence that exercise therapy may reduce symptom severity in IBS, primarily due to high heterogeneity and imprecision. Meta-analysis based on a random-effects model showed statistically significant differences between exercise interventions in improving IBS core symptoms, suggesting that it may exert therapeutic effects by modulating gut motility, visceral sensitivity, or neuroendocrine pathways. However, combined analysis of health-related quality of life (using the IBS-QOL scale) and anxiety failed to obtain statistically significant evidence, suggesting that there may be intervention type-specific or threshold effects of exercise therapy on multidimensional health outcomes.\nOur safety analysis showed that no serious adverse events directly related to exercise intervention were reported in the included studies, confirming their safety in short-term application. However, it is important to point out that the current evidence has significant methodological limitations: (1) high between-study heterogeneity (I2 = 84–92%), mainly owing to the heterogeneity of intervention regimens (yoga, aerobic exercise, and other pattern differences), treatment span (4–24 weeks), and baseline characteristics of the population (sex, age, symptom subtypes); (2) multiplicity of measurement tools for subjective outcome measures (e.g., quality of life, anxiety) and lack of blinding may lead to amplification of bias; and (3) long-term effects and dose–response relationships have not been clearly established.\nIn summary, exercise therapy as an adjunct intervention for IBS has potential clinical value for symptom relief and the advantages of non-invasiveness and low cost, but its ability to improve multidimensional health outcomes needs to be further verified by high-quality RCTs. Future large-scale, well-designed RCTs with standardized interventions are needed to confirm these clinical effects. If benefits are confirmed, such trials could incorporate mechanistic evaluations (e.g., of autonomic function, microbiota, or neuroendocrine markers) to elucidate the pathways involved.", "domain": "affective_neuroscience"}
{"source": "PMC12982090", "title": "Multimodal therapeutic efficacy assessment of vagus nerve stimulation in stroke: integrated application of imaging, electrophysiological, and behavioral indicators", "text": "# Multimodal therapeutic efficacy assessment of vagus nerve stimulation in stroke: integrated application of imaging, electrophysiological, and behavioral indicators\n\n## Abstract\nStroke remains a leading cause of mortality and long-term disability worldwide, and conventional rehabilitation alone frequently results in incomplete functional recovery. This review aims to establish a mechanism-informed, clinically actionable framework for quantifying the therapeutic effects of vagus nerve stimulation after stroke across complementary modalities. We synthesize evidence spanning neuroanatomical principles, mechanistic pathways, and technological development, and organize outcome measures into an integrated triad of imaging, electrophysiological, and behavioral indicators. Across studies, imaging outcomes consistently associate stimulation with reduced infarct burden, improved blood–brain barrier integrity, and enhanced circuit remodeling, whereas electrophysiological measures capture autonomic rebalancing and neural stabilization, exemplified by increased high-frequency heart rate variability and lower low−/high-frequency ratios. Behavioral outcomes indicate clinically meaningful gains, including improvements on upper-limb motor scales (with invasive stimulation frequently associated with ≥8-point increases on the Fugl–Meyer Assessment–Upper Extremity) and reductions in post-stroke spasticity (with reported 30–40% decreases in the incidence of increased tone). Safety profiles are modality dependent: implanted systems may entail procedure- and stimulation-related adverse events that are generally manageable with parameter adjustment, whereas noninvasive approaches predominantly cause transient local discomfort with no reported fatal events. Collectively, multimodal assessment provides a rigorous “structure–electrophysiology–function–behavior” evidence chain to support precise parameter optimization, standardized implementation, and scalable translation of vagus nerve stimulation for stroke rehabilitation.\n\n## Full Text\n\n\n### Introduction\nStroke exhibits extremely high global incidence and disability rates, ranking as the world’s second leading cause of death among non-communicable diseases (1). Post-stroke functional impairments, including motor, cognitive, swallowing, and sleep disorders, severely impact patients’ quality of life and impose substantial burdens on society and families. Traditional rehabilitation training, such as physical and occupational therapy, shows limited efficacy in certain patients. However, emerging neuromodulation techniques like VNS offer novel approaches for stroke rehabilitation. VNS, initially developed for epilepsy treatment, has expanded into stroke rehabilitation, with its therapeutic efficacy demonstrating steady growth from 2004 to 2024 (2). Non-invasive approaches, particularly transcutaneous auricular VNS (taVNS), facilitate clinical implementation due to their advantages. Given the complexity of post-stroke motor, cognitive, and swallowing function recovery, multidimensional assessment is essential, as single indicators inadequately reflect VNS efficacy. Therefore, multimodal therapeutic assessment is crucial. By integrating information from imaging (structural/functional changes), electrophysiology (neural activity), and behavioral assessments (clinical applications), VNS therapeutic effects can be comprehensively analyzed from mechanism to phenotype, demonstrating significant clinical value and future potential.\nIn response to these needs, this review summarizes recent advances in multimodal assessment of VNS efficacy in stroke and integrates the available evidence across three domains: imaging measures characterize structural and network-level changes, including lesion repair, blood–brain barrier preservation, and circuit reorganization; electrophysiological measures capture dynamic functional states, encompassing modulation of neural activity, autonomic balance, and motor-cortical plasticity; and behavioral measures directly quantify improvements in motor, cognitive, swallowing, sleep, and affective outcomes. By integrating modalities, we propose a continuous validation pathway linking molecular mechanisms to functional recovery and an overarching “structure–electrophysiology–function–behavior” evidence framework to support precise, standardized, and long-term evaluation of post-stroke VNS. We also highlight priorities for future work, including harmonizing assessment standards, advancing intelligent implementations, and optimizing intervention timing and stimulation parameters.\n\n\n### Principles, mechanisms, and technological development of vagus nerve stimulation (VNS)\nThis section outlines the conceptual and technological foundations for multimodal evaluation of vagus nerve stimulation in stroke rehabilitation by summarizing its bidirectional neuroanatomy and contrasting implanted with transcutaneous approaches to show how target selection, fiber recruitment, and stimulation intensity govern downstream central–peripheral modulation. Within this framework, it integrates mechanistic evidence across complementary pathways, including cholinergic anti-inflammatory signaling that attenuates pro-inflammatory cytokine activity, neuromodulator release that supports network reorganization, and plasticity-related trophic cascades that drive circuit remodeling; it also summarizes molecular programs implicated in restraining apoptosis and autophagy, maintaining blood–brain barrier integrity, and promoting angiogenesis. The technological trajectory is traced from open-loop devices to closed-loop systems that link stimulation timing to physiological biofeedback (e.g., movement- or respiration-gated paradigms), enabling more precise control of inter-individual variability and dose optimization. Finally, it critically appraises translational feasibility by comparing the strengths and limitations of different modalities and synthesizing safety profiles: implanted systems may entail procedure- and stimulation-related adverse events that are typically manageable with parameter adjustment, whereas noninvasive systems primarily cause transient local discomfort with no reported fatal events. Collectively, this section provides a mechanism-informed, technology-aware rationale for precision optimization and scalable clinical deployment of vagus nerve stimulation.\nThe vagus nerve, the tenth cranial nerve (CN X), is a mixed nerve composed of motor, sensory, and parasympathetic fibers. It has an extensive distribution, extending from the brain to the thoracic and abdominal cavities, serving as the only long-distance neural pathway connecting the brain to peripheral organs in these regions. It includes both afferent and efferent fibers. Through its bidirectional conduction function, it regulates central neurotransmitters, balances the autonomic nervous system, and modulates immune inflammation, ultimately restoring damaged functions or correcting pathological conditions (3).\nVagus nerve stimulation (VNS) is a therapeutic technique that uses an implanted device to deliver electrical signals to the vagus nerve, thereby modulating neural function. It is classified into invasive VNS (iVNS) and noninvasive VNS (tVNS) (4). Invasive VNS involves surgically wrapping electrodes around the vagus nerve trunk in the neck, with the pulse generator implanted subcutaneously in the chest. The principle involves directly stimulating the vagus nerve trunk, delivering high-intensity, stable electrical signals that can precisely regulate both central and peripheral systems. Noninvasive VNS involves placing electrodes on the auricular cavity (vagus nerve auricular branch) or on the skin of the neck, without the need for surgery. The principle is to indirectly stimulate the vagus nerve branches, delivering lower-intensity electrical signals with higher safety, primarily through the auricular branch to the central nervous system.\nVNS primarily exerts its anti-inflammatory effects through the cholinergic anti-inflammatory pathway (CAP). It releases acetylcholine (ACh) from efferent nerves, activates α7nAChR on immune cell surfaces, and initiates the Jak2-STAT3 signaling pathway, downregulating pro-inflammatory cytokines (TNF-α, IL-6, IL-1β) while upregulating anti-inflammatory factors. It also enhances the expression of peroxisome proliferator-activated receptor γ (PPAR-γ), inhibiting pro-inflammatory factors and immune cell activation. Additionally, it may regulate inflammation by affecting the hypothalamic–pituitary–adrenal (HPA) axis (5).\nVNS regulates the release of neurotransmitters such as acetylcholine (ACh), norepinephrine (NE), and serotonin (5-HT). Experimental studies by Cheng K et al. demonstrated that VNS stimulation promotes NE release, enhancing neuroregeneration and axonal plasticity in the peri-infarct region. VNS may also indirectly influence serotonergic and dopaminergic systems, thereby modulating mood and cognitive function (6).\nTranscutaneous auricular VNS (taVNS) improves ischemic damage by increasing brain-derived neurotrophic factor (BDNF) expression in the hippocampus, activating TrkB receptor phosphorylation, enhancing neuronal excitability, and promoting axonal plasticity and neurogenesis. TaVNS can also activate this pathway via α7nAChR, improving long-term neural recovery. The cholinergic basal ganglia are critical for VNS-induced cortical motor plasticity. VNS effects rely on the integrity of norepinephrine, serotonin, and cholinergic neurotransmission. It must be combined with specific rehabilitation training (e.g., task-oriented training, tone-pairing training) to maximize synaptic plasticity, promoting neural circuit reorganization and functional recovery (7).\nVNS can regulate molecules related to apoptosis and autophagy, reducing neuronal cell death caused by ischemic damage. The anti-apoptotic effect is reflected by a reduction in Caspase-3 (pro-apoptotic protein) levels in the ischemic penumbra, through upregulation of miR-210 (via the hypoxia-inducible factor/Akt pathway) (8) and activation of lipocalin prostaglandin D2 synthase (L-PGDS), inhibiting apoptosis. Silencing miR-210 or inhibiting L-PGDS would weaken the anti-apoptotic effects of VNS. VNS can also downregulate autophagy-related proteins Beclin-1 and LC3-II, while upregulating anti-apoptotic protein Bcl-2 and downregulating pro-apoptotic protein Bax, reducing neuronal damage by inhibiting abnormal autophagic pathways (8).\nVNS exerts neuroprotective effects by preserving BBB integrity and reducing the infiltration of harmful substances into brain tissue. Specifically, VNS reduces blood–brain barrier permeability, protects tight junction proteins in microvessels, and decreases the expression of matrix metalloproteinase-2/9 (MMP-2/9) in activated perivascular astrocytes. It may also regulate ACh and NE levels around the BBB, alleviating neuroinflammation and indirectly maintaining BBB function.\nVNS promotes angiogenesis during the recovery phase of ischemic brain injury by regulating angiogenic factors, thereby improving blood supply to the ischemic area. Transcutaneous auricular VNS (taVNS) can increase microvascular density and endothelial cell proliferation in the peri-infarct area (3).\nVagus nerve stimulation (VNS) technology is currently at a stage of both diversification and clinical exploration. Its types have expanded from invasive to noninvasive approaches, demonstrating potential in the treatment of various diseases, but also facing challenges in technological optimization (9) (Table 1).\nComparison of VNS technologies.\nConventional taVNS: Electrodes placed on auricular concha stimulating ABVN;\nClosed-loop CL-taVNS: Automatically controlled by biofeedback signals (EMG, respiration, EEG), e.g., MAAVNS (EMG-gated, movement-paired), RAVANS (respiration-gated)\nConventional taVNS: Activates auricular afferent fibers, indirectly affecting brainstem nuclei (NTS, LC), regulating autonomic nervous and inflammatory pathways\nCL-taVNS: Synchronizes with physiological signals (movement, respiration) for precise timing stimulation\nConventional taVNS: Post-stroke rehabilitation, anxiety, sleep disorders; preliminary animal studies\nCL-taVNS: Explores linkage with movement, respiration signals; future AI integration for precision therapy\nConventional taVNS: Non-invasive, safe, simple operation, suitable for surgical non-candidates\nCL-taVNS: Achieves “automated convergence to ‘neural pivot’ via real-time heart rate feedback without manual intervention,” addressing traditional open-loop system side effects and healthcare dependence (11)\nRelatively weaker stimulation effects, high individual variability\nControversial mechanisms, methodological deficiencies in clinical trials (small samples, lack of double-blind controls, inconsistent parameters, absence of VN activation biomarker assessments)\nAdverse effects are typically mild to moderate, self-limiting, and can be classified as surgery-related or stimulation-related. Common surgery-related events include vocal cord paresis, hoarseness, and surgical-site infection; less frequent events include lead fractures and transient intraoperative bradycardia. Stimulation-related adverse effects include dysgeusia, nausea, and dysphagia. Management includes voice therapy and reduced stimulation intensity for vocal cord paresis, antibiotics and wound care for infections, revision surgery for device replacement in the event of hardware failure, and adjustment of stimulation parameters (e.g., intensity and frequency) with dietary modifications for dysgeusia, nausea, or dysphagia. Transient intraoperative bradycardia is managed by temporarily suspending stimulation and administering symptomatic treatment as necessary (2).\nBecause nVNS is noninvasive, adverse effects are primarily local and transient. Common events include skin erythema, pruritus, and pain; less frequent events include dizziness, headache, fatigue, and asthenia. Management includes changing electrode placement, applying conductive gel, and reducing intensity to alleviate skin discomfort. For dizziness or headache, stimulation can be started at a low intensity with the patient in a seated position. For fatigue or asthenia, treatment timing can be adjusted (e.g., avoiding periods of exertion), and long-term discontinuation is usually unnecessary. No fatal adverse events have been reported. Most symptoms resolve with parameter adjustments and supportive care, and long-term irreversible injury has not been documented (12).\n\n\n### Core principles of vagus nerve stimulation (VNS)\nThe vagus nerve, the tenth cranial nerve (CN X), is a mixed nerve composed of motor, sensory, and parasympathetic fibers. It has an extensive distribution, extending from the brain to the thoracic and abdominal cavities, serving as the only long-distance neural pathway connecting the brain to peripheral organs in these regions. It includes both afferent and efferent fibers. Through its bidirectional conduction function, it regulates central neurotransmitters, balances the autonomic nervous system, and modulates immune inflammation, ultimately restoring damaged functions or correcting pathological conditions (3).\nVagus nerve stimulation (VNS) is a therapeutic technique that uses an implanted device to deliver electrical signals to the vagus nerve, thereby modulating neural function. It is classified into invasive VNS (iVNS) and noninvasive VNS (tVNS) (4). Invasive VNS involves surgically wrapping electrodes around the vagus nerve trunk in the neck, with the pulse generator implanted subcutaneously in the chest. The principle involves directly stimulating the vagus nerve trunk, delivering high-intensity, stable electrical signals that can precisely regulate both central and peripheral systems. Noninvasive VNS involves placing electrodes on the auricular cavity (vagus nerve auricular branch) or on the skin of the neck, without the need for surgery. The principle is to indirectly stimulate the vagus nerve branches, delivering lower-intensity electrical signals with higher safety, primarily through the auricular branch to the central nervous system.\n\n\n### Main mechanisms of vagus nerve stimulation (VNS)\nVNS primarily exerts its anti-inflammatory effects through the cholinergic anti-inflammatory pathway (CAP). It releases acetylcholine (ACh) from efferent nerves, activates α7nAChR on immune cell surfaces, and initiates the Jak2-STAT3 signaling pathway, downregulating pro-inflammatory cytokines (TNF-α, IL-6, IL-1β) while upregulating anti-inflammatory factors. It also enhances the expression of peroxisome proliferator-activated receptor γ (PPAR-γ), inhibiting pro-inflammatory factors and immune cell activation. Additionally, it may regulate inflammation by affecting the hypothalamic–pituitary–adrenal (HPA) axis (5).\nVNS regulates the release of neurotransmitters such as acetylcholine (ACh), norepinephrine (NE), and serotonin (5-HT). Experimental studies by Cheng K et al. demonstrated that VNS stimulation promotes NE release, enhancing neuroregeneration and axonal plasticity in the peri-infarct region. VNS may also indirectly influence serotonergic and dopaminergic systems, thereby modulating mood and cognitive function (6).\nTranscutaneous auricular VNS (taVNS) improves ischemic damage by increasing brain-derived neurotrophic factor (BDNF) expression in the hippocampus, activating TrkB receptor phosphorylation, enhancing neuronal excitability, and promoting axonal plasticity and neurogenesis. TaVNS can also activate this pathway via α7nAChR, improving long-term neural recovery. The cholinergic basal ganglia are critical for VNS-induced cortical motor plasticity. VNS effects rely on the integrity of norepinephrine, serotonin, and cholinergic neurotransmission. It must be combined with specific rehabilitation training (e.g., task-oriented training, tone-pairing training) to maximize synaptic plasticity, promoting neural circuit reorganization and functional recovery (7).\nVNS can regulate molecules related to apoptosis and autophagy, reducing neuronal cell death caused by ischemic damage. The anti-apoptotic effect is reflected by a reduction in Caspase-3 (pro-apoptotic protein) levels in the ischemic penumbra, through upregulation of miR-210 (via the hypoxia-inducible factor/Akt pathway) (8) and activation of lipocalin prostaglandin D2 synthase (L-PGDS), inhibiting apoptosis. Silencing miR-210 or inhibiting L-PGDS would weaken the anti-apoptotic effects of VNS. VNS can also downregulate autophagy-related proteins Beclin-1 and LC3-II, while upregulating anti-apoptotic protein Bcl-2 and downregulating pro-apoptotic protein Bax, reducing neuronal damage by inhibiting abnormal autophagic pathways (8).\nVNS exerts neuroprotective effects by preserving BBB integrity and reducing the infiltration of harmful substances into brain tissue. Specifically, VNS reduces blood–brain barrier permeability, protects tight junction proteins in microvessels, and decreases the expression of matrix metalloproteinase-2/9 (MMP-2/9) in activated perivascular astrocytes. It may also regulate ACh and NE levels around the BBB, alleviating neuroinflammation and indirectly maintaining BBB function.\nVNS promotes angiogenesis during the recovery phase of ischemic brain injury by regulating angiogenic factors, thereby improving blood supply to the ischemic area. Transcutaneous auricular VNS (taVNS) can increase microvascular density and endothelial cell proliferation in the peri-infarct area (3).\n\n\n### Anti-inflammatory mechanism\nVNS primarily exerts its anti-inflammatory effects through the cholinergic anti-inflammatory pathway (CAP). It releases acetylcholine (ACh) from efferent nerves, activates α7nAChR on immune cell surfaces, and initiates the Jak2-STAT3 signaling pathway, downregulating pro-inflammatory cytokines (TNF-α, IL-6, IL-1β) while upregulating anti-inflammatory factors. It also enhances the expression of peroxisome proliferator-activated receptor γ (PPAR-γ), inhibiting pro-inflammatory factors and immune cell activation. Additionally, it may regulate inflammation by affecting the hypothalamic–pituitary–adrenal (HPA) axis (5).\n\n\n### Neurotransmitter regulation mechanism\nVNS regulates the release of neurotransmitters such as acetylcholine (ACh), norepinephrine (NE), and serotonin (5-HT). Experimental studies by Cheng K et al. demonstrated that VNS stimulation promotes NE release, enhancing neuroregeneration and axonal plasticity in the peri-infarct region. VNS may also indirectly influence serotonergic and dopaminergic systems, thereby modulating mood and cognitive function (6).\n\n\n### Mechanism of synaptic plasticity enhancement\nTranscutaneous auricular VNS (taVNS) improves ischemic damage by increasing brain-derived neurotrophic factor (BDNF) expression in the hippocampus, activating TrkB receptor phosphorylation, enhancing neuronal excitability, and promoting axonal plasticity and neurogenesis. TaVNS can also activate this pathway via α7nAChR, improving long-term neural recovery. The cholinergic basal ganglia are critical for VNS-induced cortical motor plasticity. VNS effects rely on the integrity of norepinephrine, serotonin, and cholinergic neurotransmission. It must be combined with specific rehabilitation training (e.g., task-oriented training, tone-pairing training) to maximize synaptic plasticity, promoting neural circuit reorganization and functional recovery (7).\n\n\n### Mechanism of inhibition of apoptosis and autophagy\nVNS can regulate molecules related to apoptosis and autophagy, reducing neuronal cell death caused by ischemic damage. The anti-apoptotic effect is reflected by a reduction in Caspase-3 (pro-apoptotic protein) levels in the ischemic penumbra, through upregulation of miR-210 (via the hypoxia-inducible factor/Akt pathway) (8) and activation of lipocalin prostaglandin D2 synthase (L-PGDS), inhibiting apoptosis. Silencing miR-210 or inhibiting L-PGDS would weaken the anti-apoptotic effects of VNS. VNS can also downregulate autophagy-related proteins Beclin-1 and LC3-II, while upregulating anti-apoptotic protein Bcl-2 and downregulating pro-apoptotic protein Bax, reducing neuronal damage by inhibiting abnormal autophagic pathways (8).\n\n\n### Mechanism of blood–brain barrier (BBB) protection\nVNS exerts neuroprotective effects by preserving BBB integrity and reducing the infiltration of harmful substances into brain tissue. Specifically, VNS reduces blood–brain barrier permeability, protects tight junction proteins in microvessels, and decreases the expression of matrix metalloproteinase-2/9 (MMP-2/9) in activated perivascular astrocytes. It may also regulate ACh and NE levels around the BBB, alleviating neuroinflammation and indirectly maintaining BBB function.\n\n\n### Mechanism of angiogenesis promotion\nVNS promotes angiogenesis during the recovery phase of ischemic brain injury by regulating angiogenic factors, thereby improving blood supply to the ischemic area. Transcutaneous auricular VNS (taVNS) can increase microvascular density and endothelial cell proliferation in the peri-infarct area (3).\n\n\n### Types and characteristics of vagus nerve stimulation (VNS) technologies\nVagus nerve stimulation (VNS) technology is currently at a stage of both diversification and clinical exploration. Its types have expanded from invasive to noninvasive approaches, demonstrating potential in the treatment of various diseases, but also facing challenges in technological optimization (9) (Table 1).\nComparison of VNS technologies.\nConventional taVNS: Electrodes placed on auricular concha stimulating ABVN;\nClosed-loop CL-taVNS: Automatically controlled by biofeedback signals (EMG, respiration, EEG), e.g., MAAVNS (EMG-gated, movement-paired), RAVANS (respiration-gated)\nConventional taVNS: Activates auricular afferent fibers, indirectly affecting brainstem nuclei (NTS, LC), regulating autonomic nervous and inflammatory pathways\nCL-taVNS: Synchronizes with physiological signals (movement, respiration) for precise timing stimulation\nConventional taVNS: Post-stroke rehabilitation, anxiety, sleep disorders; preliminary animal studies\nCL-taVNS: Explores linkage with movement, respiration signals; future AI integration for precision therapy\nConventional taVNS: Non-invasive, safe, simple operation, suitable for surgical non-candidates\nCL-taVNS: Achieves “automated convergence to ‘neural pivot’ via real-time heart rate feedback without manual intervention,” addressing traditional open-loop system side effects and healthcare dependence (11)\nRelatively weaker stimulation effects, high individual variability\nControversial mechanisms, methodological deficiencies in clinical trials (small samples, lack of double-blind controls, inconsistent parameters, absence of VN activation biomarker assessments)\n\n\n### Safety and feasibility of vagus nerve stimulation (VNS)\nAdverse effects are typically mild to moderate, self-limiting, and can be classified as surgery-related or stimulation-related. Common surgery-related events include vocal cord paresis, hoarseness, and surgical-site infection; less frequent events include lead fractures and transient intraoperative bradycardia. Stimulation-related adverse effects include dysgeusia, nausea, and dysphagia. Management includes voice therapy and reduced stimulation intensity for vocal cord paresis, antibiotics and wound care for infections, revision surgery for device replacement in the event of hardware failure, and adjustment of stimulation parameters (e.g., intensity and frequency) with dietary modifications for dysgeusia, nausea, or dysphagia. Transient intraoperative bradycardia is managed by temporarily suspending stimulation and administering symptomatic treatment as necessary (2).\nBecause nVNS is noninvasive, adverse effects are primarily local and transient. Common events include skin erythema, pruritus, and pain; less frequent events include dizziness, headache, fatigue, and asthenia. Management includes changing electrode placement, applying conductive gel, and reducing intensity to alleviate skin discomfort. For dizziness or headache, stimulation can be started at a low intensity with the patient in a seated position. For fatigue or asthenia, treatment timing can be adjusted (e.g., avoiding periods of exertion), and long-term discontinuation is usually unnecessary. No fatal adverse events have been reported. Most symptoms resolve with parameter adjustments and supportive care, and long-term irreversible injury has not been documented (12).\n\n\n### Adverse effects of implanted VNS (iVNS) and management strategies\nAdverse effects are typically mild to moderate, self-limiting, and can be classified as surgery-related or stimulation-related. Common surgery-related events include vocal cord paresis, hoarseness, and surgical-site infection; less frequent events include lead fractures and transient intraoperative bradycardia. Stimulation-related adverse effects include dysgeusia, nausea, and dysphagia. Management includes voice therapy and reduced stimulation intensity for vocal cord paresis, antibiotics and wound care for infections, revision surgery for device replacement in the event of hardware failure, and adjustment of stimulation parameters (e.g., intensity and frequency) with dietary modifications for dysgeusia, nausea, or dysphagia. Transient intraoperative bradycardia is managed by temporarily suspending stimulation and administering symptomatic treatment as necessary (2).\n\n\n### Adverse effects of noninvasive VNS (nVNS) and management strategies\nBecause nVNS is noninvasive, adverse effects are primarily local and transient. Common events include skin erythema, pruritus, and pain; less frequent events include dizziness, headache, fatigue, and asthenia. Management includes changing electrode placement, applying conductive gel, and reducing intensity to alleviate skin discomfort. For dizziness or headache, stimulation can be started at a low intensity with the patient in a seated position. For fatigue or asthenia, treatment timing can be adjusted (e.g., avoiding periods of exertion), and long-term discontinuation is usually unnecessary. No fatal adverse events have been reported. Most symptoms resolve with parameter adjustments and supportive care, and long-term irreversible injury has not been documented (12).\n\n\n### Application and value analysis of multimodal imaging indicators in VNS treatment for stroke\nVNS multimodal imaging assessment for stroke should center on “injury-repair-functional recovery,” classified into four dimensions: “brain injury and vascular protection,” “metabolism and neuromodulation,” “neural circuits and microscopic remodeling,” and “clinical anatomical localization,” forming a system from fundamental mechanism verification to clinical efficacy assessment.\nThis dimension represents the “primary verification” of VNS efficacy, accurately quantifying cerebral infarction extent, blood–brain barrier (BBB), and associated organ damage, clarifying VNS “brain-heart protection” dual effects, primarily used for animal experimental mechanism research and clinical acute phase assessment (Table 2).\nImaging modalities and outcome measures for brain Injury and vascular protection.\nThis dimension represents “function-related verification” of VNS efficacy, monitoring brain metabolic activity and network activation, connecting “structural repair” with “functional improvement,” primarily used for clinical efficacy mechanism and treatment protocol optimization (Table 3).\nImaging modalities and outcome measures for neural function and metabolic modulation.\nThis dimension represents “mechanism-related verification” of VNS efficacy, observing synaptic, axonal, and neural circuit connections, demonstrating microscopic mechanisms of VNS-promoted neuroplasticity, primarily used for animal experimental mechanism research (Table 4).\nImaging modalities and outcome measures for neural circuit remodeling and microstructural plasticity.\nThis dimension provides “fundamental assurance” for VNS clinical application, clarifying lesion location and fiber tract damage, guiding VNS surgical safety and efficacy prediction, primarily used for preoperative clinical assessment and patient selection (Table 5).\nClinical imaging for anatomical localization and preoperative assessment.\nFirst, in terms of comprehensive chain evaluation, VNS supports mechanistic validation and clinical evaluation through a “micro–macro” linkage, spanning molecular mechanisms, cellular function, organ function, and clinical levels. Secondly, in advancing precision treatment, VNS not only validates efficacy but also elucidates mechanisms and guides treatment optimization, allowing the transition from “standardized” to “personalized” therapy. Additionally, imaging indicators have, for the first time, confirmed the “brain protection - heart protection” linked effect of VNS, offering new directions for preventing and treating “brain-heart syndrome” after stroke.\nFirst, clinical data is scarce, with related indicators largely based on animal studies and limited human clinical trial data. Secondly, the application threshold is high due to the cost of the equipment and the need for skilled operators, which limits its implementation at the grassroots level. Furthermore, there is a lack of unified standards, with no consensus on technical parameters, making cross-study comparisons difficult. The absence of long-term follow-up data also impedes determining the duration and patterns of treatment efficacy.\nFirst, enhance technological integration by conducting collaborative research on multimodal imaging indicators, developing multidimensional models, and improving the precision of evaluation results. Secondly, promote standardization by developing the “VNS Stroke Imaging Assessment Guidelines,” standardizing treatment parameters, and reducing costs and technical barriers. Additionally, expand brain-heart linkage monitoring by developing new dynamic monitoring methods to address gaps in brain-heart linkage assessment.\n\n\n### Four key evaluation dimensions of imaging indicators: from injury repair to clinical localization\nVNS multimodal imaging assessment for stroke should center on “injury-repair-functional recovery,” classified into four dimensions: “brain injury and vascular protection,” “metabolism and neuromodulation,” “neural circuits and microscopic remodeling,” and “clinical anatomical localization,” forming a system from fundamental mechanism verification to clinical efficacy assessment.\nThis dimension represents the “primary verification” of VNS efficacy, accurately quantifying cerebral infarction extent, blood–brain barrier (BBB), and associated organ damage, clarifying VNS “brain-heart protection” dual effects, primarily used for animal experimental mechanism research and clinical acute phase assessment (Table 2).\nImaging modalities and outcome measures for brain Injury and vascular protection.\nThis dimension represents “function-related verification” of VNS efficacy, monitoring brain metabolic activity and network activation, connecting “structural repair” with “functional improvement,” primarily used for clinical efficacy mechanism and treatment protocol optimization (Table 3).\nImaging modalities and outcome measures for neural function and metabolic modulation.\nThis dimension represents “mechanism-related verification” of VNS efficacy, observing synaptic, axonal, and neural circuit connections, demonstrating microscopic mechanisms of VNS-promoted neuroplasticity, primarily used for animal experimental mechanism research (Table 4).\nImaging modalities and outcome measures for neural circuit remodeling and microstructural plasticity.\nThis dimension provides “fundamental assurance” for VNS clinical application, clarifying lesion location and fiber tract damage, guiding VNS surgical safety and efficacy prediction, primarily used for preoperative clinical assessment and patient selection (Table 5).\nClinical imaging for anatomical localization and preoperative assessment.\n\n\n### Brain injury and vascular protection dimension: primary validation of injury control\nThis dimension represents the “primary verification” of VNS efficacy, accurately quantifying cerebral infarction extent, blood–brain barrier (BBB), and associated organ damage, clarifying VNS “brain-heart protection” dual effects, primarily used for animal experimental mechanism research and clinical acute phase assessment (Table 2).\nImaging modalities and outcome measures for brain Injury and vascular protection.\n\n\n### Neural function and metabolic regulation dimension: metabolic basis of functional recovery\nThis dimension represents “function-related verification” of VNS efficacy, monitoring brain metabolic activity and network activation, connecting “structural repair” with “functional improvement,” primarily used for clinical efficacy mechanism and treatment protocol optimization (Table 3).\nImaging modalities and outcome measures for neural function and metabolic modulation.\n\n\n### Neural circuits and microscopic remodeling dimension: structural basis of functional recovery\nThis dimension represents “mechanism-related verification” of VNS efficacy, observing synaptic, axonal, and neural circuit connections, demonstrating microscopic mechanisms of VNS-promoted neuroplasticity, primarily used for animal experimental mechanism research (Table 4).\nImaging modalities and outcome measures for neural circuit remodeling and microstructural plasticity.\n\n\n### Clinical anatomical localization dimension: foundational support for clinical application\nThis dimension provides “fundamental assurance” for VNS clinical application, clarifying lesion location and fiber tract damage, guiding VNS surgical safety and efficacy prediction, primarily used for preoperative clinical assessment and patient selection (Table 5).\nClinical imaging for anatomical localization and preoperative assessment.\n\n\n### Advantages, disadvantages, and development prospects of imaging indicators\nFirst, in terms of comprehensive chain evaluation, VNS supports mechanistic validation and clinical evaluation through a “micro–macro” linkage, spanning molecular mechanisms, cellular function, organ function, and clinical levels. Secondly, in advancing precision treatment, VNS not only validates efficacy but also elucidates mechanisms and guides treatment optimization, allowing the transition from “standardized” to “personalized” therapy. Additionally, imaging indicators have, for the first time, confirmed the “brain protection - heart protection” linked effect of VNS, offering new directions for preventing and treating “brain-heart syndrome” after stroke.\nFirst, clinical data is scarce, with related indicators largely based on animal studies and limited human clinical trial data. Secondly, the application threshold is high due to the cost of the equipment and the need for skilled operators, which limits its implementation at the grassroots level. Furthermore, there is a lack of unified standards, with no consensus on technical parameters, making cross-study comparisons difficult. The absence of long-term follow-up data also impedes determining the duration and patterns of treatment efficacy.\nFirst, enhance technological integration by conducting collaborative research on multimodal imaging indicators, developing multidimensional models, and improving the precision of evaluation results. Secondly, promote standardization by developing the “VNS Stroke Imaging Assessment Guidelines,” standardizing treatment parameters, and reducing costs and technical barriers. Additionally, expand brain-heart linkage monitoring by developing new dynamic monitoring methods to address gaps in brain-heart linkage assessment.\n\n\n### Core advantages\nFirst, in terms of comprehensive chain evaluation, VNS supports mechanistic validation and clinical evaluation through a “micro–macro” linkage, spanning molecular mechanisms, cellular function, organ function, and clinical levels. Secondly, in advancing precision treatment, VNS not only validates efficacy but also elucidates mechanisms and guides treatment optimization, allowing the transition from “standardized” to “personalized” therapy. Additionally, imaging indicators have, for the first time, confirmed the “brain protection - heart protection” linked effect of VNS, offering new directions for preventing and treating “brain-heart syndrome” after stroke.\n\n\n### Major limitations\nFirst, clinical data is scarce, with related indicators largely based on animal studies and limited human clinical trial data. Secondly, the application threshold is high due to the cost of the equipment and the need for skilled operators, which limits its implementation at the grassroots level. Furthermore, there is a lack of unified standards, with no consensus on technical parameters, making cross-study comparisons difficult. The absence of long-term follow-up data also impedes determining the duration and patterns of treatment efficacy.\n\n\n### Development prospects and optimization directions\nFirst, enhance technological integration by conducting collaborative research on multimodal imaging indicators, developing multidimensional models, and improving the precision of evaluation results. Secondly, promote standardization by developing the “VNS Stroke Imaging Assessment Guidelines,” standardizing treatment parameters, and reducing costs and technical barriers. Additionally, expand brain-heart linkage monitoring by developing new dynamic monitoring methods to address gaps in brain-heart linkage assessment.\n\n\n### Application and value analysis of multimodal electrophysiological indicators in VNS treatment for stroke\nVNS multimodal electrophysiological assessment for stroke should center on “target-electrophysiology-clinical,” classified into four dimensions: “neural electrical activity modulation,” “autonomic nervous electrophysiological balance,” “motor function electrophysiological verification,” and “molecular detection indirect electrophysiological correlation,” forming a complete chain from mechanism to clinic. Unlike imaging indicators, electrophysiological indicators focus more on real-time neural signal transmission and dynamic functional status feedback, with electrical signal changes as the core nexus.\nThis dimension addresses VNS suppression of abnormal brain electrical activity and secondary injury reduction mechanisms, directly recording cortical electrical activity, confirming VNS neuroprotective effects, primarily used for animal experimental mechanism verification and clinical critical patient assessment (Table 6).\nElectrophysiological measures of direct modulation of neural electrical activity.\nThis dimension addresses post-stroke “autonomic nervous dysfunction” (e.g., sympathetic overactivation), monitoring cardiac electrical activity and autonomic nervous tone, evaluating VNS brain-heart combined protection, providing key evidence for reducing cardiovascular complications (Table 7).\nElectrophysiological measures of autonomic nervous system balance.\nThis dimension directly relates to post-VNS motor function recovery, recording muscle electrical activity and mapping motor cortex functional topography, evaluating VNS modulation of post-stroke muscle spasticity and motor cortex plasticity, directly reflecting rehabilitation efficacy (Table 8).\nElectrophysiological measures for validation of motor function and cortical plasticity.\nReal-time Monitoring: It allows continuous recording of neural activity changes before and after VNS stimulation, offering a more intuitive reflection of therapeutic effects. Secondly, Clear Mechanistic Pathways: It clearly reveals the complete pathway of VNS action, from target activation to functional regulation. Additionally, Comprehensive Coverage: It is highly applicable to conditions such as post-stroke motor dysfunction and epilepsy, creating a closed-loop evaluation of “Target - Electrophysiology - Clinical Function.”\nFirst, Challenges in Clinical Use: Some techniques require cortical invasion, are difficult to operate, and have limited applicability. Secondly, Indirect Association Interference: Some measurements are indirect indicators, vulnerable to interference from other variables, which affects result accuracy. Furthermore, Lack of Unified Standards and Long-term Monitoring: The absence of unified evaluation standards makes cross-study comparisons difficult, and long-term dynamic monitoring data is scarce.\nFirst, Promote Synchronous Multi-indicator Monitoring: Conduct synchronized analysis of VNS’s synergistic effects on the “brain, muscles, and heart” to avoid the limitations of using a single indicator. Secondly, Develop Portable Devices: Create easy-to-operate portable devices, reduce costs, and promote their adoption in community hospitals. Additionally, Establish Unified Evaluation Standards: Develop the “VNS Stroke Electrophysiological Evaluation Guidelines,” standardizing parameter settings and result interpretation criteria.\n\n\n### Three key evaluation dimensions of electrophysiological indicators: from neural activity to motor function\nVNS multimodal electrophysiological assessment for stroke should center on “target-electrophysiology-clinical,” classified into four dimensions: “neural electrical activity modulation,” “autonomic nervous electrophysiological balance,” “motor function electrophysiological verification,” and “molecular detection indirect electrophysiological correlation,” forming a complete chain from mechanism to clinic. Unlike imaging indicators, electrophysiological indicators focus more on real-time neural signal transmission and dynamic functional status feedback, with electrical signal changes as the core nexus.\nThis dimension addresses VNS suppression of abnormal brain electrical activity and secondary injury reduction mechanisms, directly recording cortical electrical activity, confirming VNS neuroprotective effects, primarily used for animal experimental mechanism verification and clinical critical patient assessment (Table 6).\nElectrophysiological measures of direct modulation of neural electrical activity.\nThis dimension addresses post-stroke “autonomic nervous dysfunction” (e.g., sympathetic overactivation), monitoring cardiac electrical activity and autonomic nervous tone, evaluating VNS brain-heart combined protection, providing key evidence for reducing cardiovascular complications (Table 7).\nElectrophysiological measures of autonomic nervous system balance.\nThis dimension directly relates to post-VNS motor function recovery, recording muscle electrical activity and mapping motor cortex functional topography, evaluating VNS modulation of post-stroke muscle spasticity and motor cortex plasticity, directly reflecting rehabilitation efficacy (Table 8).\nElectrophysiological measures for validation of motor function and cortical plasticity.\n\n\n### Direct regulation of neural activity: neuroprotective validation in ischemic brain injury\nThis dimension addresses VNS suppression of abnormal brain electrical activity and secondary injury reduction mechanisms, directly recording cortical electrical activity, confirming VNS neuroprotective effects, primarily used for animal experimental mechanism verification and clinical critical patient assessment (Table 6).\nElectrophysiological measures of direct modulation of neural electrical activity.\n\n\n### Autonomic nervous system balance dimension: validation of brain-heart axis regulation\nThis dimension addresses post-stroke “autonomic nervous dysfunction” (e.g., sympathetic overactivation), monitoring cardiac electrical activity and autonomic nervous tone, evaluating VNS brain-heart combined protection, providing key evidence for reducing cardiovascular complications (Table 7).\nElectrophysiological measures of autonomic nervous system balance.\n\n\n### Electrophysiological validation of motor function: direct evidence of motor remodeling\nThis dimension directly relates to post-VNS motor function recovery, recording muscle electrical activity and mapping motor cortex functional topography, evaluating VNS modulation of post-stroke muscle spasticity and motor cortex plasticity, directly reflecting rehabilitation efficacy (Table 8).\nElectrophysiological measures for validation of motor function and cortical plasticity.\n\n\n### Advantages, limitations, and development prospects of electrophysiological indicators\nReal-time Monitoring: It allows continuous recording of neural activity changes before and after VNS stimulation, offering a more intuitive reflection of therapeutic effects. Secondly, Clear Mechanistic Pathways: It clearly reveals the complete pathway of VNS action, from target activation to functional regulation. Additionally, Comprehensive Coverage: It is highly applicable to conditions such as post-stroke motor dysfunction and epilepsy, creating a closed-loop evaluation of “Target - Electrophysiology - Clinical Function.”\nFirst, Challenges in Clinical Use: Some techniques require cortical invasion, are difficult to operate, and have limited applicability. Secondly, Indirect Association Interference: Some measurements are indirect indicators, vulnerable to interference from other variables, which affects result accuracy. Furthermore, Lack of Unified Standards and Long-term Monitoring: The absence of unified evaluation standards makes cross-study comparisons difficult, and long-term dynamic monitoring data is scarce.\nFirst, Promote Synchronous Multi-indicator Monitoring: Conduct synchronized analysis of VNS’s synergistic effects on the “brain, muscles, and heart” to avoid the limitations of using a single indicator. Secondly, Develop Portable Devices: Create easy-to-operate portable devices, reduce costs, and promote their adoption in community hospitals. Additionally, Establish Unified Evaluation Standards: Develop the “VNS Stroke Electrophysiological Evaluation Guidelines,” standardizing parameter settings and result interpretation criteria.\n\n\n### Core advantages\nReal-time Monitoring: It allows continuous recording of neural activity changes before and after VNS stimulation, offering a more intuitive reflection of therapeutic effects. Secondly, Clear Mechanistic Pathways: It clearly reveals the complete pathway of VNS action, from target activation to functional regulation. Additionally, Comprehensive Coverage: It is highly applicable to conditions such as post-stroke motor dysfunction and epilepsy, creating a closed-loop evaluation of “Target - Electrophysiology - Clinical Function.”\n\n\n### Major limitations\nFirst, Challenges in Clinical Use: Some techniques require cortical invasion, are difficult to operate, and have limited applicability. Secondly, Indirect Association Interference: Some measurements are indirect indicators, vulnerable to interference from other variables, which affects result accuracy. Furthermore, Lack of Unified Standards and Long-term Monitoring: The absence of unified evaluation standards makes cross-study comparisons difficult, and long-term dynamic monitoring data is scarce.\n\n\n### Development prospects and optimization directions\nFirst, Promote Synchronous Multi-indicator Monitoring: Conduct synchronized analysis of VNS’s synergistic effects on the “brain, muscles, and heart” to avoid the limitations of using a single indicator. Secondly, Develop Portable Devices: Create easy-to-operate portable devices, reduce costs, and promote their adoption in community hospitals. Additionally, Establish Unified Evaluation Standards: Develop the “VNS Stroke Electrophysiological Evaluation Guidelines,” standardizing parameter settings and result interpretation criteria.\n\n\n### Application and value analysis of multimodal behavioral indicators in VNS treatment for stroke\nVNS behavioral indicators for stroke should encompass motor function, cognitive function, swallowing function, sleep function, activities of daily living, and quality of life assessments. Unlike electrophysiological indicators focusing on real-time neural signal transmission and dynamic functional status, behavioral indicators directly center on patients’ actual performance and living conditions, comprehensively reflecting treatment impacts on daily life. Compared to imaging indicators presenting structural-functional characteristics through “micro–macro” linkage, behavioral indicators emphasize clinical practicality with high universality and simple operation, reflecting actual effects on core disability improvement and quality of life enhancement, though lacking mechanistic depth of imaging and electrophysiological indicators (Table 9).\nMotor function assessment: measuring limb function remodeling\nCognitive function assessment: indicating neurocognitive protective effects\nSwallowing function assessment: enhancing post-stroke dysphagia\nSleep function assessment: modulating sleep-related brain activity\nEmotional function assessment: reducing post-stroke depression and anxiety\nOverall function assessment: comprehensive evaluation of treatment benefits\nBehavioral outcome measures for motor function.\nFirst, Practical and Intuitive Efficacy: Focused on clinical symptom improvements, directly reflecting the therapeutic effect on quality of life. Secondly, High Universality: Simple to operate and suitable for use in primary healthcare settings without requiring expensive equipment. Additionally, Comprehensive Coverage: It covers both physiological functions, such as motor and cognitive, and psychological functions, such as emotions and sleep, comprehensively addressing core post-stroke impairments (Table 10).\nBehavioral outcome measures for cognitive function.\nFirst, Subjective Bias: Some indicators depend on patients’ subjective assessments, which can lead to biased results. Secondly, Lack of Long-term Monitoring: It is challenging to capture the long-term patterns of treatment efficacy. Furthermore, Lack of Unified Standards: The existence of multiple scales for the same functional dimensions complicates cross-study comparisons. Additionally, Weak Mechanistic Association: It cannot directly reveal the treatment mechanism, relying on imaging and electrophysiological indicators to provide additional evidence (Table 11).\nBehavioral outcome measures for swallowing function.\nFirst, Promote Standardization: Develop the “VNS Stroke Behavioral Indicator Assessment Guidelines” to establish unified evaluation pathways and criteria. Secondly, Develop Home Monitoring Tools: Create mobile apps and other dynamic monitoring tools for home use, enabling patients to operate them independently and facilitating long-term monitoring. Additionally, Strengthen Multi-modal Integration: Combine with imaging and electrophysiological indicators to improve the accuracy and reliability of results (Table 12).\nBehavioral outcome measures for sleep and mood.\n\n\n### Multidimensional functional evaluation of behavioral indicators: targeting core post-stroke impairments\nVNS behavioral indicators for stroke should encompass motor function, cognitive function, swallowing function, sleep function, activities of daily living, and quality of life assessments. Unlike electrophysiological indicators focusing on real-time neural signal transmission and dynamic functional status, behavioral indicators directly center on patients’ actual performance and living conditions, comprehensively reflecting treatment impacts on daily life. Compared to imaging indicators presenting structural-functional characteristics through “micro–macro” linkage, behavioral indicators emphasize clinical practicality with high universality and simple operation, reflecting actual effects on core disability improvement and quality of life enhancement, though lacking mechanistic depth of imaging and electrophysiological indicators (Table 9).\nMotor function assessment: measuring limb function remodeling\nCognitive function assessment: indicating neurocognitive protective effects\nSwallowing function assessment: enhancing post-stroke dysphagia\nSleep function assessment: modulating sleep-related brain activity\nEmotional function assessment: reducing post-stroke depression and anxiety\nOverall function assessment: comprehensive evaluation of treatment benefits\nBehavioral outcome measures for motor function.\n\n\n### Advantages, limitations, and development prospects of behavioral indicators\nFirst, Practical and Intuitive Efficacy: Focused on clinical symptom improvements, directly reflecting the therapeutic effect on quality of life. Secondly, High Universality: Simple to operate and suitable for use in primary healthcare settings without requiring expensive equipment. Additionally, Comprehensive Coverage: It covers both physiological functions, such as motor and cognitive, and psychological functions, such as emotions and sleep, comprehensively addressing core post-stroke impairments (Table 10).\nBehavioral outcome measures for cognitive function.\nFirst, Subjective Bias: Some indicators depend on patients’ subjective assessments, which can lead to biased results. Secondly, Lack of Long-term Monitoring: It is challenging to capture the long-term patterns of treatment efficacy. Furthermore, Lack of Unified Standards: The existence of multiple scales for the same functional dimensions complicates cross-study comparisons. Additionally, Weak Mechanistic Association: It cannot directly reveal the treatment mechanism, relying on imaging and electrophysiological indicators to provide additional evidence (Table 11).\nBehavioral outcome measures for swallowing function.\nFirst, Promote Standardization: Develop the “VNS Stroke Behavioral Indicator Assessment Guidelines” to establish unified evaluation pathways and criteria. Secondly, Develop Home Monitoring Tools: Create mobile apps and other dynamic monitoring tools for home use, enabling patients to operate them independently and facilitating long-term monitoring. Additionally, Strengthen Multi-modal Integration: Combine with imaging and electrophysiological indicators to improve the accuracy and reliability of results (Table 12).\nBehavioral outcome measures for sleep and mood.\n\n\n### Core advantages\nFirst, Practical and Intuitive Efficacy: Focused on clinical symptom improvements, directly reflecting the therapeutic effect on quality of life. Secondly, High Universality: Simple to operate and suitable for use in primary healthcare settings without requiring expensive equipment. Additionally, Comprehensive Coverage: It covers both physiological functions, such as motor and cognitive, and psychological functions, such as emotions and sleep, comprehensively addressing core post-stroke impairments (Table 10).\nBehavioral outcome measures for cognitive function.\n\n\n### Major limitations\nFirst, Subjective Bias: Some indicators depend on patients’ subjective assessments, which can lead to biased results. Secondly, Lack of Long-term Monitoring: It is challenging to capture the long-term patterns of treatment efficacy. Furthermore, Lack of Unified Standards: The existence of multiple scales for the same functional dimensions complicates cross-study comparisons. Additionally, Weak Mechanistic Association: It cannot directly reveal the treatment mechanism, relying on imaging and electrophysiological indicators to provide additional evidence (Table 11).\nBehavioral outcome measures for swallowing function.\n\n\n### Development prospects and optimization directions\nFirst, Promote Standardization: Develop the “VNS Stroke Behavioral Indicator Assessment Guidelines” to establish unified evaluation pathways and criteria. Secondly, Develop Home Monitoring Tools: Create mobile apps and other dynamic monitoring tools for home use, enabling patients to operate them independently and facilitating long-term monitoring. Additionally, Strengthen Multi-modal Integration: Combine with imaging and electrophysiological indicators to improve the accuracy and reliability of results (Table 12).\nBehavioral outcome measures for sleep and mood.\n\n\n### Differences in clinical usability and operational convenience across evaluation modalities and translational solutions\nThe three evaluation modalities differ significantly in clinical adaptability, operational thresholds, and dissemination potential. These differences directly affect the efficiency of translating multimodal assessment into clinical practice. Identifying and addressing these key differences is essential for advancing the precision rehabilitation of VNS in stroke treatment (Table 13).\nBehavioral outcome measures for global function.\nThe “Primary Modality” in Clinical Practice: In terms of clinical usability, it is highly versatile, applicable in settings from tertiary hospitals to primary healthcare institutions. It can be used for acute-phase screening, chronic-phase follow-up, and home monitoring without the need for complex equipment. In terms of operational convenience, it is simple to use, requiring only the evaluator to master standardized scales (e.g., FMA score, Wakita water swallowing test). Some scales (e.g., PSQI, MoCA) can be completed by the patient independently or with family assistance, and the assessment takes only 5–15 min per scale. Additionally, key limitations include: subjective bias, as some scales (e.g., HAMD) depend on evaluator experience; lack of real-time monitoring, hindering the capture of functional fluctuations during treatment; and the existence of multiple scale versions for the same functional dimension, complicating cross-study comparisons (Table 14).\nKey differences in clinical use across the three assessment modalities.\nThe “Precision Modality” Driven by Research: In terms of clinical usability, it is moderate, mainly available in tertiary hospitals or research institutions. Primary healthcare facilities cannot afford the high costs of equipment (e.g., MRI machines costing millions) and maintenance, limiting their ability to provide these resources. It is only suitable for key evaluations (e.g., preoperative lesion localization, 3–6 month postoperative structural remodeling validation) and cannot be used frequently. In terms of operational convenience, it is low; specialized technicians (e.g., radiologists, technicians) are required to operate the equipment and interpret results. Patients must cooperate during the scan (e.g., fMRI requires stillness), and some critically ill or conscious-impaired patients may not tolerate the procedure. The examination is time-consuming (15–30 min per scan) and involves a complex process. Core limitations include: high equipment and technical thresholds, hindering widespread use; lack of unified evaluation parameters (e.g., fMRI BOLD signal analysis thresholds); and radiation exposure (e.g., CT), which limits repeated use in the acute phase.\nThe “Supplementary Modality” with Limited Application Scenarios: In terms of clinical usability, it is relatively low. Invasive techniques (e.g., ICMS, cortical electrode implantation) are restricted to research or intensive care settings. Non-invasive techniques (e.g., EEG, sEMG) are clinically applicable but require additional equipment (e.g., multi-channel electromyography devices), which are available in fewer than 30% of primary healthcare facilities. In terms of operational convenience, it is moderate. Non-invasive techniques are relatively simple to operate (e.g., sEMG electrode attachment), but data interpretation (e.g., HRV LF/HF ratio analysis) requires expert analysis. Some techniques (e.g., CSD monitoring) demand high patient cooperation, and movement or agitation may affect signal quality. Additionally, core limitations include: high risks associated with invasive techniques (e.g., infection, nerve damage), limiting clinical applications; non-invasive techniques are vulnerable to environmental interference (e.g., EEG affected by electromyographic artifacts); and the lack of standardized data collection and analysis processes, causing significant variability in results across institutions.\nFirst, strengthen training for primary healthcare personnel, focusing on core scale usage, simple electrophysiological equipment operation, and data interpretation. This can be accomplished through online courses and hands-on practice, lowering the learning threshold. Secondly, promote healthcare insurance policy support by incorporating essential evaluation equipment (e.g., portable sEMG devices, digital scale tools) for primary healthcare into the insurance procurement list, thus reducing healthcare facility configuration costs. Additionally, establish a multi-center data-sharing platform to standardize evaluation data formats for the three modalities, and optimize result interpretation using AI algorithms (e.g., automatic recognition of fMRI neural circuit activation patterns), reducing dependence on specialists.\nThrough these differentiated optimization and integration strategies, multimodal assessment can transition from “research-specific scenarios” to “routine clinical applications,” preserving the precision advantages of imaging and electrophysiology while leveraging the widespread applicability of behavioral assessments, thereby truly serving the individualized rehabilitation needs of VNS for stroke treatment.\n\n\n### Core comparison of differences (based on clinical practice scenarios)\nThe “Primary Modality” in Clinical Practice: In terms of clinical usability, it is highly versatile, applicable in settings from tertiary hospitals to primary healthcare institutions. It can be used for acute-phase screening, chronic-phase follow-up, and home monitoring without the need for complex equipment. In terms of operational convenience, it is simple to use, requiring only the evaluator to master standardized scales (e.g., FMA score, Wakita water swallowing test). Some scales (e.g., PSQI, MoCA) can be completed by the patient independently or with family assistance, and the assessment takes only 5–15 min per scale. Additionally, key limitations include: subjective bias, as some scales (e.g., HAMD) depend on evaluator experience; lack of real-time monitoring, hindering the capture of functional fluctuations during treatment; and the existence of multiple scale versions for the same functional dimension, complicating cross-study comparisons (Table 14).\nKey differences in clinical use across the three assessment modalities.\nThe “Precision Modality” Driven by Research: In terms of clinical usability, it is moderate, mainly available in tertiary hospitals or research institutions. Primary healthcare facilities cannot afford the high costs of equipment (e.g., MRI machines costing millions) and maintenance, limiting their ability to provide these resources. It is only suitable for key evaluations (e.g., preoperative lesion localization, 3–6 month postoperative structural remodeling validation) and cannot be used frequently. In terms of operational convenience, it is low; specialized technicians (e.g., radiologists, technicians) are required to operate the equipment and interpret results. Patients must cooperate during the scan (e.g., fMRI requires stillness), and some critically ill or conscious-impaired patients may not tolerate the procedure. The examination is time-consuming (15–30 min per scan) and involves a complex process. Core limitations include: high equipment and technical thresholds, hindering widespread use; lack of unified evaluation parameters (e.g., fMRI BOLD signal analysis thresholds); and radiation exposure (e.g., CT), which limits repeated use in the acute phase.\nThe “Supplementary Modality” with Limited Application Scenarios: In terms of clinical usability, it is relatively low. Invasive techniques (e.g., ICMS, cortical electrode implantation) are restricted to research or intensive care settings. Non-invasive techniques (e.g., EEG, sEMG) are clinically applicable but require additional equipment (e.g., multi-channel electromyography devices), which are available in fewer than 30% of primary healthcare facilities. In terms of operational convenience, it is moderate. Non-invasive techniques are relatively simple to operate (e.g., sEMG electrode attachment), but data interpretation (e.g., HRV LF/HF ratio analysis) requires expert analysis. Some techniques (e.g., CSD monitoring) demand high patient cooperation, and movement or agitation may affect signal quality. Additionally, core limitations include: high risks associated with invasive techniques (e.g., infection, nerve damage), limiting clinical applications; non-invasive techniques are vulnerable to environmental interference (e.g., EEG affected by electromyographic artifacts); and the lack of standardized data collection and analysis processes, causing significant variability in results across institutions.\n\n\n### Behavioral assessment\nThe “Primary Modality” in Clinical Practice: In terms of clinical usability, it is highly versatile, applicable in settings from tertiary hospitals to primary healthcare institutions. It can be used for acute-phase screening, chronic-phase follow-up, and home monitoring without the need for complex equipment. In terms of operational convenience, it is simple to use, requiring only the evaluator to master standardized scales (e.g., FMA score, Wakita water swallowing test). Some scales (e.g., PSQI, MoCA) can be completed by the patient independently or with family assistance, and the assessment takes only 5–15 min per scale. Additionally, key limitations include: subjective bias, as some scales (e.g., HAMD) depend on evaluator experience; lack of real-time monitoring, hindering the capture of functional fluctuations during treatment; and the existence of multiple scale versions for the same functional dimension, complicating cross-study comparisons (Table 14).\nKey differences in clinical use across the three assessment modalities.\n\n\n### Imaging assessment\nThe “Precision Modality” Driven by Research: In terms of clinical usability, it is moderate, mainly available in tertiary hospitals or research institutions. Primary healthcare facilities cannot afford the high costs of equipment (e.g., MRI machines costing millions) and maintenance, limiting their ability to provide these resources. It is only suitable for key evaluations (e.g., preoperative lesion localization, 3–6 month postoperative structural remodeling validation) and cannot be used frequently. In terms of operational convenience, it is low; specialized technicians (e.g., radiologists, technicians) are required to operate the equipment and interpret results. Patients must cooperate during the scan (e.g., fMRI requires stillness), and some critically ill or conscious-impaired patients may not tolerate the procedure. The examination is time-consuming (15–30 min per scan) and involves a complex process. Core limitations include: high equipment and technical thresholds, hindering widespread use; lack of unified evaluation parameters (e.g., fMRI BOLD signal analysis thresholds); and radiation exposure (e.g., CT), which limits repeated use in the acute phase.\n\n\n### Electrophysiological assessment\nThe “Supplementary Modality” with Limited Application Scenarios: In terms of clinical usability, it is relatively low. Invasive techniques (e.g., ICMS, cortical electrode implantation) are restricted to research or intensive care settings. Non-invasive techniques (e.g., EEG, sEMG) are clinically applicable but require additional equipment (e.g., multi-channel electromyography devices), which are available in fewer than 30% of primary healthcare facilities. In terms of operational convenience, it is moderate. Non-invasive techniques are relatively simple to operate (e.g., sEMG electrode attachment), but data interpretation (e.g., HRV LF/HF ratio analysis) requires expert analysis. Some techniques (e.g., CSD monitoring) demand high patient cooperation, and movement or agitation may affect signal quality. Additionally, core limitations include: high risks associated with invasive techniques (e.g., infection, nerve damage), limiting clinical applications; non-invasive techniques are vulnerable to environmental interference (e.g., EEG affected by electromyographic artifacts); and the lack of standardized data collection and analysis processes, causing significant variability in results across institutions.\n\n\n### Key implementation strategies\nFirst, strengthen training for primary healthcare personnel, focusing on core scale usage, simple electrophysiological equipment operation, and data interpretation. This can be accomplished through online courses and hands-on practice, lowering the learning threshold. Secondly, promote healthcare insurance policy support by incorporating essential evaluation equipment (e.g., portable sEMG devices, digital scale tools) for primary healthcare into the insurance procurement list, thus reducing healthcare facility configuration costs. Additionally, establish a multi-center data-sharing platform to standardize evaluation data formats for the three modalities, and optimize result interpretation using AI algorithms (e.g., automatic recognition of fMRI neural circuit activation patterns), reducing dependence on specialists.\nThrough these differentiated optimization and integration strategies, multimodal assessment can transition from “research-specific scenarios” to “routine clinical applications,” preserving the precision advantages of imaging and electrophysiology while leveraging the widespread applicability of behavioral assessments, thereby truly serving the individualized rehabilitation needs of VNS for stroke treatment.\n\n\n### Integrated application and advantages of multimodal assessment\nMultimodal assessment integration represents the core support for VNS stroke treatment progression from “empirical therapy” to “precision therapy,” integrating imaging, electrophysiology, and behavioral indicators to form a complete “microstructure-neural activity-clinical functional manifestation” assessment system rather than independent single-directional judgment. Its core value lies in overcoming single indicator limitations, achieving “1 + 1 + 1 > 3” synergistic effects, completely and accurately reflecting VNS stroke treatment efficacy, verifying mechanisms, and guiding clinical individualized therapy. Multimodal assessment integration spans the “mechanism research → clinical translation → postoperative rehabilitation” complete chain, with different indicator combinations for various scenarios but consistently targeting precise efficacy verification, fundamental mechanism clarification, and clinical individualized guidance.\nImaging indicators intuitively present structural changes, physiological indicators reveal molecular mechanisms, and behavioral indicators reflect clinical functional changes. Different modalities complement each other, retaining respective advantages while synergistically addressing problems. In Wang Y et al.’s experiment, imaging (TTC staining) indicated VNS reduced cerebral infarction volume, physiology (ELISA) confirmed VNS decreased brain IL-1β and chymase expression, and behavior (open field test) demonstrated motor ability enhancement, collectively confirming VNS achieves neuroprotection and motor function improvement through mast cell degranulation inhibition and neuroinflammation reduction (19), providing comprehensive mechanism analysis from microscopic molecules to macroscopic functions. Imaging and electrophysiological indicators stratify and exclude anatomical variable interference, enhancing behavioral indicator reliability (32).\nPost-stroke involves diverse disabilities across physiological and psychological functions at different disease stages; single indicators inadequately provide comprehensive coverage. Integrated multimodal assessment evaluates VNS effectiveness not only through imaging-indicated structural repair but also electrophysiology-indicated electrical activity stabilization and behavior-indicated independent living capacity translation, covering complete disease progression and meeting different stroke stage treatment efficacy needs. In Cai X et al.’s experiment, acute stroke phase imaging (TTC staining, DCE-MRI) assessed cerebral infarction and BBB damage, physiological indicators (SD monitoring, inflammatory factors) monitored disease progression; chronic phase behavioral indicators (FMA-UE, mRS) evaluated long-term functional recovery, imaging (viral tracing, immunofluorescence) verified neural functional remodeling, satisfying different treatment stage assessment requirements (23).\nIn the acute phase (within 1–2 weeks of onset), VNS has been investigated primarily for neuroprotection, aiming to reduce infarct size and mitigate secondary injury. However, human evidence remains limited, and key challenges include defining the optimal treatment window, optimizing stimulation parameters, and elucidating interactions with standard-of-care therapies. In the chronic phase (≥3 months after onset), research has focused on functional rehabilitation, with VNS proposed to improve motor and cognitive outcomes by promoting neural circuit remodeling. This focus currently predominates in the clinical literature. This imbalance has hindered the translation of VNS across the full stroke care continuum. Targeted acute-phase studies are needed to address the current paucity of human data (22, 23, 33).\nSimultaneous “safety-efficacy” assessment occurs. In Cheng K’s experiment, physiological indicators (heart rate assessment) confirmed VNS presents no severe cardiovascular risks, imaging indicators (MRI) detected no new brain damage, behavioral indicators (FMA-UE, MAL) showed sustained functional enhancement, strengthening VNS progression from basic research to clinical application (6). In clinical individualized guidance, multimodal assessment achieves accurate preoperative patient screening, intraoperative safety monitoring, and postoperative recovery follow-up, avoiding single indicator errors. Preoperative screening excludes ineffective patients predicting efficacy; intraoperative monitoring prevents other nerve damage enabling timely parameter adjustment; postoperative assessment evaluates functional recovery and long-term effectiveness. Wang Y et al.’s experiment demonstrated that post-treatment and 4-week follow-up imaging (SVF) showed sustained swallowing residue and aspiration improvement, with behavioral scales (MASA, FCM, RAS) maintaining superior levels versus sham stimulation, consistently confirming VNS long-term efficacy through dual-modality indicators (34). Francisco GE et al. initiated three-year efficacy follow-up evaluation, with basic motor impairment (FMA-UE) continuously improving, actual activity capacity (WMFT) synchronously enhancing, and patient quality of life (SIS-Hand) significantly increasing, confirming VNS not only repairs motor function but enhances quality of life beyond short-term compensatory effects (33).\nDifferent stroke patients exhibit varying lesion locations and stroke types; integrated multimodal assessment enables precise treatment protocol development for individualized therapy. In Abdullahi A et al.’s experiment, multimodal indicator analysis revealed stimulation parameter (frequency, intensity) and stroke stage (acute, chronic) influences on efficacy. For instance, chronic stroke patients showed more pronounced invasive VNS efficacy, while acute patients demonstrated superior non-invasive VNS efficacy and safety, providing evidence for individualized protocol selection. Different disability types require different indicator selections (35). In Li L et al.’s experiment, upper limb motor disability selected behavioral indicators (FMA-UE, WMFT) verifying functional improvement, imaging indicators (fMRI) observing motor cortex activation, and physiological indicators (BDNF, VEGF) analyzing neurovascular repair mechanisms. Post-stroke sleep disorders selected behavioral indicators (PSQI) evaluating sleep improvement, imaging indicators (BOLD-fMRI) showing enhanced connectivity, and physiological indicators (heart rate variability) confirming autonomic nervous balance; cognitive disorders selected behavioral indicators (UFM sensory subitems) evaluating sensory recovery, imaging indicators (fMRI) observing hippocampal activation, and physiological indicators (norepinephrine) explaining cognitive modulation mechanisms (36).\nPromoting VNS translation from animal experiments to human clinical application provides strong assurance. In Cai X et al.’s animal experiments, imaging (TEM, viral tracing) and physiology (SD monitoring) provided mechanistic research foundations; human clinical studies employed behavior (FMA-UE, mRS) and imaging (DCE-MRI) verifying efficacy, enhancing VNS clinical application credibility (23).\n\n\n### Conclusion and prospects\nAs a multi-target, multi-effect neuromodulation technique, VNS demonstrates significant potential in stroke functional rehabilitation, with current clinical applications covering motor, cognitive, swallowing, and other functional disabilities. Imaging, electrophysiological, and behavioral indicators reflect VNS stroke treatment efficacy from different perspectives: imaging reveals brain structural and functional remodeling, electrophysiology manifests neural activity changes, and behavioral assessment evaluates clinical functional improvement. Their integrated application deeply analyzes VNS action mechanisms, provides evidence for individualized treatment protocol development, offers strong support for VNS clinical promotion, and suits different ages and lesions.\nInvasive vagus nerve stimulation (iVNS) and transcutaneous vagus nerve stimulation (tVNS), including taVNS and tcVNS, differ in their mechanisms of action, efficacy profiles, and clinical indications;distinguishing between them is crucial for informed clinical decision-making. iVNS delivers stimulation to the vagal trunk through surgically implanted electrodes, activating both afferent and efferent fibers, providing higher-intensity and more stable stimulation. As a result, it may exert stronger anti-inflammatory and neuroprotective effects, making it better suited for patients in the chronic phase (≥3 months after onset) and those with severe impairments. In multimodal assessments, iVNS is frequently associated with more pronounced structural remodeling on neuroimaging, more consistent improvements in electrophysiological indices (e.g., LFP and HRV), and greater gains on behavioral scales (e.g., ≥8 points on the FMA-UE) (1). In contrast, tVNS stimulates auricular or cervical vagal branches via cutaneous electrodes and is noninvasive, convenient, and generally safe, with high patient acceptability. It may be more appropriate for the acute phase (within 1–2 weeks after onset), patients with mild-to-moderate impairment, and use in primary care settings. Since tVNS targets only a subset of vagal fibers, it may require higher stimulation intensity and longer treatment to achieve comparable efficacy. Multimodal assessments typically reveal gradual improvements in behavioral outcomes, modest modulation of electrophysiological signals, and slower emergence of vascular protection and neural remodeling on imaging. These approaches are not interchangeable; rather, they are complementary options chosen based on disease stage, impairment severity, and healthcare resource availability (15, 33).\nTo date, all positive findings have been reported for VNS combined with rehabilitation (e.g., task-oriented training, robot-assisted rehabilitation, or conventional physiotherapy), indicating that rehabilitation is a critical prerequisite for VNS efficacy. In contrast, implanted VNS (iVNS) delivers electrical stimulation to the vagal trunk through surgically implanted electrodes, activating both afferent and efferent fibers. Compared with noninvasive approaches, iVNS provides higher-intensity, more stable stimulation and may yield stronger anti-inflammatory and neuroprotective effects, making it better suited for the chronic phase (≥3 months after onset) (22, 29, 34).\nAlthough VNS shows promise in stroke rehabilitation, it should not be regarded as an effective stand-alone therapy. To date, positive findings have primarily been reported for VNS combined with rehabilitation (e.g., task-oriented training, robot-assisted rehabilitation, or conventional physiotherapy), indicating that concomitant rehabilitation is a critical prerequisite for clinical benefit. VNS administered without rehabilitation may produce transient neuromodulatory effects but is unlikely to induce durable neural circuit remodeling or sustained functional recovery.\nCurrently, imaging and physiological indicators predominantly involve animal experiments with limited human research data, necessitating strengthened translation to human studies while addressing standardization, correlation, parameter optimization, and intervention timing issues, expanding sample sizes and research dimensions, enhancing precision, and promoting standardized clinical multimodal assessment application. Comparative research between invasive and non-invasive VNS should fill direct comparison data gaps, clarifying optimal protocols for different strokes through multimodal indicators and strengthening long-term follow-up evaluating safety through physiological and imaging indicators, developing adverse event prevention strategies. Li JN’s article mentioned superior immediate post-taVNS rehabilitation efficacy without clarifying optimal intervention timing; future research should strengthen studies combining behavioral-physiological-imaging indicators determining accurate acute stroke VNS treatment windows (37).\nLarge-scale, multicenter randomized controlled trials are needed to confirm the robustness of vagus nerve stimulation efficacy across diverse stroke populations and functional domains. These studies should also identify the subgroups most likely to benefit, thereby generating high-level evidence to inform stratified clinical care (2, 6, 8).\nCurrent evidence is limited, and several key controversies persist. Limited validation of mechanistic hypotheses: many proposed mechanisms rely primarily on animal studies and lack direct confirmation in large-scale human trials, leaving their translational relevance unclear. Methodological limitations: most randomized controlled trials (RCTs) are small, and some provide insufficient details on randomization and face challenges in blinding. Unresolved questions: consensus is lacking on whether VNS exhibits a “ceiling effect” (i.e., diminishing incremental benefit after prolonged treatment), whether responses differ between stroke subtypes (ischemic vs. hemorrhagic) due to underlying pathophysiology, and how stimulation parameters interact with age and comorbidities (6). Moreover, the lack of validated biomarkers to predict response remains a significant barrier to the clinical translation of VNS (8). Candidate electrophysiological markers include heart rate variability (HRV) as an indicator of vagal activation, vagus-nerve evoked potentials (VEP) to assess pathway integrity, and band-specific local field potential (LFP) power as a correlate of neural circuit plasticity (23). Candidate imaging markers include diffusion tensor imaging (DTI) metrics such as fractional anisotropy (FA), which may predict white-matter tract recovery potential, and fMRI BOLD activation patterns that reflect regional functional responses. These markers could support three applications: (i) pre-treatment stratification to identify patients most likely to benefit; (ii) parameter optimization during therapy by adjusting stimulation frequency and intensity using real-time VEP and HRV feedback to balance efficacy and adverse effects; and (iii) post-treatment monitoring to assess response durability early by tracking changes in imaging-derived and electrophysiological measures, thereby minimizing ineffective treatment. Advancing this line of research could enhance the precision of VNS therapy and accelerate the transition from standardized interventions to personalized treatments (19, 33).\nIn addition, based on the above content, we have identified the relevant key unresolved issues (Research Priorities).\nOptimizing stimulation parameters: standardized settings for VNS frequency, intensity, pulse width, session duration, and treatment schedules are currently unavailable. Optimal parameter sets should be defined based on stroke type (ischemic vs. hemorrhagic), disease stage (acute vs. chronic), and impairment domain (motor, cognitive, and swallowing), considering interactions with age, lesion location, and comorbidities (7).\nIdentifying biomarkers for VNS response: biomarkers that predict treatment benefits and monitor therapeutic response are still lacking. Future studies should evaluate blood-based markers (e.g., inflammatory and neurotrophic factors), cerebrospinal fluid markers (e.g., neurotransmitter metabolites), and imaging-derived features (e.g., DTI indices of tract integrity) to facilitate pre-treatment stratification and real-time monitoring during therapy.\nComparing VNS modalities and defining target populations: comparative evidence on the efficacy and safety of implanted VNS (iVNS) versus noninvasive approaches (taVNS/tcVNS) remains limited. Key questions include whether chronic stroke patients benefit more from iVNS, whether taVNS is preferable in the acute phase, and in which scenarios closed-loop CL-taVNS outperforms conventional taVNS (23).\nStandardizing integrative analyses for multimodal assessment: multimodal datasets are still often reported descriptively rather than analyzed quantitatively. Quantitative integration frameworks (e.g., structural equation modeling or AI-based fusion) are required to estimate the relative contributions of imaging, electrophysiological, and behavioral measures, and to establish a scalable “mechanism–structure–function” assessment workflow (5, 35).\nWith societal development, future research may develop portable wearable devices and smartphone apps integrating multimodal data, synchronously monitoring physiological indicators and behavioral data, combining remote imaging equipment for real-time multimodal VNS treatment monitoring with timely parameter adjustment, enhancing treatment precision. Multimodal assessment will become more convenient and intelligent; based on existing multimodal data, AI prediction models can be constructed, further promoting VNS popularization and optimization in stroke treatment. Existing studies evaluating multimodal assessment of vagus nerve stimulation (VNS) in stroke provide a foundation for clinical translation (6, 31). However, limitations in study design, sample size, and evidence quality warrant cautious interpretation of these findings in terms of reliability and generalizability.", "domain": "affective_neuroscience"}
{"source": "PMC13099401", "title": "Associative memory neurons are recruited in PFC-centered circuits to encode schizophrenia-like behavior by dopaminergic receptor-II", "text": "# Associative memory neurons are recruited in PFC-centered circuits to encode schizophrenia-like behavior by dopaminergic receptor-II\n\n## Abstract\nThe severe stresses induce fear memory and mental disorders including anxiety, depression and schizophrenia. Their molecular and cellular mechanisms are expectedly revealed to develop therapeutic strategies. We aim to identify the stress-induced cellular units and neural circuits that are essential for fear memory and schizophrenia in cerebral cortices by behavior tasks, molecular biology, neural tracing and electrophysiology. The social stress by the resident/intruder paradigm leads to the fear memory specific to a resident CD1 mouse and schizophrenia-like behaviors as well as the synapse interconnections among medial prefrontal, auditory and S1Tr cortical neurons in intruder mice. This stress-induced synapse interconnection enables these cortical neurons be recruited as associative memory neurons that are featured by receiving the convergent synapse innervations from the interconnected areas and encoding the stressful signals including the battle sound and the pain signal from trunk-injury area generated in the social stress. The knockdown of dopaminergic receptor-II in the medial prefrontal cortex precludes the recruitment of associative memory neurons and the formation of fear memory and schizophrenia-like behaviors. Eticlopride as a dopaminergic receptor-II antagonist in the medial prefrontal cortex weakens the activities of associative memory neurons and relieves schizophrenia-like behavior. These associative memory neurons recruited by the social stress in the medial prefrontal, auditory and S1Tr cortices through dopaminergic receptors-II are essential for fear memory and schizophrenia.\n\n## Full Text\n\n\n### Introduction\nSchizophrenia as the most severe psychological disorder is featured by the mania including hallucination, delusion, misbelief and weird thought as well as the negative mood including social withdrawal, anhedonia and anxiety [1–6]. Schizophrenia’s etiology is thought of as the interactions between genetic predisposition and environment factors [7–10]. Genetic-correlated development abnormality in the brain elevates individual’s vulnerability to psychological traumas [11–14], such as social violence, abuse, neglect, stressful family relations and deviant communications [12, 15–20]. These psychological traumas in the genetic vulnerable individuals may induce the neuronal deterioration, cognitive impairment and emotion instability during the postnatal development, e.g., schizophrenia [21–28]. In terms of molecular pathogenesis, the dopaminergic synapse transmission in the mesolimbic projection and the mesocortical projection is thought to be imbalanced in schizophrenia patients [29–36]. In clinical practices, the antagonists of dopamine receptors-II have been applied to treat mania-dominant signs for decades [4, 10, 37–42]. However, the role of dopaminergic receptor-II in the formation of schizophrenia-correlated neural circuits is largely unclear. The comprehensive view of cellular infrastructures for schizophrenic pathogenesis remains elusive [43–47].\nPhysical and psychological stress in social activities may induce fear memories and psychotic deficits in the schizophrenia variety [15, 18, 20, 48–65]. Stress-induced social defeats are thought to be one of critical reasons for schizophrenia [61, 66]. The stress-induced schizophrenia is often associated with the weird memories [67–69] and the waning cognitions including the disorganizations of associative thinking, logical reasoning and working memory that are presumably encoded by prefrontal cortical neurons [70–73]. These data indicate the ongoing link from stress-induced fear memory and anxiety to bipolar disorder and schizophrenia [74, 75]. How those cortical neurons are recruited to encode fear memory and schizophrenia remains unknown. In terms of the locations for the fear memory and schizophrenia, the prefrontal cortex has been found to be correlated [76–78]. Schizophrenia subjects are associated with the abnormality of the prefrontal cortex [72, 79–89]. The prefrontal cortex is considered to be the target of antipsychotics for schizophrenia patients [90]. Based on these data, those memory neurons to encode the stress-induced fear memory and schizophrenia are hypothetically recruited in the prefrontal cortex. The downregulation of prefrontal cortical memory neurons may improve the symptoms and signs of stress-induced schizophrenia.\nIn addition to the amygdala and the limbic system, schizophrenia-correlated neural circuits include the interactions between the prefrontal cortex and the thalamus which relays exogenous signals to the sensory cortices [36, 91, 92]. Associative memory neurons have been found in the sensory cortices that receive the sensory signals from olfactory, somatic tactile and gustatory systems [93–99] as well as in the prefrontal cortices whose synapse inputs derive from the sensory cortices [100, 101]. The associative memory neurons that encode those signals from the stressful social activity have been recruited in auditory and somatosensory cortices [99, 102, 103]. How the prefrontal cortex and sensory cortices interact each other in social stresses to constitute the interconnected neural circuits and to recruit associative memory neurons for encoding schizophrenia is a primal goal in the present study, especially the role of dopamine receptor-II in the recruitment of schizophrenia -correlated neural circuits and associative memory cells in these cortices. Our study is expected to provide crucial data for drawing a comprehensive diagram of fear memory and schizophrenia.\nOur strategies to study these questions are listed below. Intruder C57 mice experienced the social stress by attacks from a resident CD1 mouse in a resident/intruder paradigm [53, 104–109]. The fear memory specific for this resident mouse in the intruder mice was identified by the social interaction test (SIT). Their anxious state was examined by the elevated-plus maze (EPM). Their depressive mood including anhedonia and loss of interest was examined by the sucrose preference test (SPT) and the Y-maze test (YMT). Their schizophrenia-like behaviors were identified by the modified pre-pulse inhibition test (mPPI) and the persecutory delusion test (PDT). In cellular level, the mutual axon projection and synapse formation were examined by neural tracing, and the neuronal responses to the stressful signals including the battle sound and the pain signal in somatic injury regions were recorded by in vivo electrophysiology in the prefrontal cortex and sensory cortices. The synapse interconnections of associative memory neurons among cross-modal cortices were studied by microinjecting adeno- associated viruses (AAV) that carried genes of encoding fluorescent proteins in the source areas of cortices and by detecting the expression of gene-coded fluorescent proteins in their targeted cortices, or the other way around. The recruitment of associative memory neurons was ensured when the cortical neurons morphologically received new synapse contacts between fluorescent- labelled presynaptic axon boutons and postsynaptic spines along with innate synapse contacts on neuronal dendrites in the convergent manner [93, 95, 96] and when the cortical neurons expressed the strengthened spike-encoding in response to stress signals [93, 98]. The roles of dopaminergic receptor-II in the formation of fear memory and schizophrenia signs as well as in the recruitment of associative memory neurons were examined by short-hairpin RNA (shRNA) that was specific to silence those dopaminergic receptor-II mRNAs.\n\n\n### Materials and Methods\nExperiments were accorded with the guidelines and regulations by the Administration Office of Laboratory Animal in Beijing, China. All of the experiment protocols were approved by Institutional Animal Care and Use Committee in Administration Office of Laboratory Animal at Beijing, China (B10831).\nC57BL/6J-Thy1-YFP mice (Jackson Laboratory, USA) were used in our studies. Glutamatergic neurons in their cerebral brain were genetically labeled by yellow fluorescent protein (YFP) [110, 111]. These mice were accommodated in the sterile barrier facility under the circadian of twelve hours for daytime and night, respectively, with the sufficient food and water. The ambient temperature at 22 ± 2°C and the relative humidity at 55 ± 5% were set for a live condition of the specific pathogen free (SPF). The C57 male mice with well-developed body in their postnatal weeks three were chosen for our experiments in the groups of control and social stress by the resident/intruder paradigm. The reason to use male mice was due to the fact that CD1 resident mice appeared less to attack female intruder C57 mice. The qualified control and intruder mice were also based upon their higher activity and lower anxious state. These mice were taken into the laboratory for them to be familiar with the experimental operators and the training apparatus for one week. During the adaptation period, these C57 mice were allowed to be familiar with the cages for the social interactions without the resident CD1 mouse, such that the appearance of CD1 resident mouse, the attacks from a resident CD1 mouse and the battle sound were new stressful signals for C57 mice in this resident/intruder paradigm. These intruder and control C57 mice had the healthy capability of social interactions, which was measured by placing them in a social interaction cage to collect their self-control data about the stay time in the interaction zone [53, 62]. The anxious state of the C57 mice was examined by using the elevated-plus maze. Those C57 mice, which had the ratio of the stay time in the interaction zone above 0.5, the stay time in the open arms of the elevated-plus maze above 10% and these values consistently within mean±2 SD, were chosen to be qualified mice for our experiments. The criteria are based on the rule of the consistency in the physical measures and psychological state of animals used among experiment groups. These C57 mice were also examined by the Y-maze test, the sucrose preference test, the pre-pulse inhibition test and the persecutory delusion test in the adaptation period to have their self-control data. As illustrated in Figure SM1-2 (figure one and two for supplementary methods), C57 mice in the control group and the intruder subgroups appear well-homogeneity in these tests.\nAfter an adaptation period, these qualified C57 mice were randomly divided into the control group and the social stress group. Either of these groups experienced experiment manipulations in the control for three weeks or in the social stress (a resident/intruder paradigm) once a day for three weeks. Subsequently, the mice were examined in the formation of their fear memories and schizophrenia-like behaviours as well as the recruitment of associative memory cells by multiple disciplinary approaches. The timeline for our experiments in Fig. 1A was the adaptation period for the self-control data, the resident/intruder paradigm and the studies including behavior tasks, neural tracing, electrophysiology in vivo as well as molecular and pharmacological manipulations.Fig. 1Social stress elicits fear memory and schizophrenia-like behaviors.A Schematic overview of the experimental design. B Heatmaps illustrate the activity trace of mice in the open field in response to CD1+ and CD-. No target, the absence of CD1; Target, the presence of CD1. C A barplot of the stay time of mice in the interaction zone (t(34) = 12.91, P < 0.001. n = 18 for Ctrl and Intruder groups mice). D Comparison of the time spent in the open arms (t(38) = 12.57, P < 0.001. Each group n = 20 mice). E Time spent in the interaction-arm with a companion in the EPM (t(34) = 8.084, P < 0.001. Each group n = 18 mice). F Percentage of sucrose preference (t(36) = 7.997, P < 0.001. Each group n = 19 mice). G Modified pre-pulse inhibition test of different decibels. H Plots of the pre-pulse response intensity ratio at 120 dB (t(28) = 2.795, P = 0.0093. Each group n = 15 mice). I Jumping times under 70 dB and 80 dB conditions, with each decibel level involving 15 mice. Each mouse was stimulated 5 times, resulting in a total of 75 responses per group. (Chi-square test, 80 dB, χ² = 3.972, P = 0.046. 70 dB, χ² = 1.349, P = 0.246). J Changes in response strengths (Two-way ANOVA with Fisher’s LSD for multiple comparisons. dB × Group F(1, 35) = 0.3934, P = 0.5346. 90 dB, Ctrl, n = 10. Intruder, n = 13. 80 dB, Ctrl, n = 6. Intruder, n = 10). K, L Representative traces and statistics of behavioral tests for tremor frequency (t(21) = 5.281, P < 0.0001. n = 12 and 11 for Ctrl and Intruder groups mice). M, N Representative traces and statistics of fluctuations of included angles in body arch (t(21) = 4.983, P < 0.0001. n = 12 and 11 mice). O, P Representative traces and statistics of motion distance (t(21) = 4.119, P = 0.0005. n = 12 and 11 mice). Q Diagram of social stress induces fear memory and schizophrenia-like behaviors. The darkness of color represents the severity. The mouse images were produced based on the platform from BioRender.com. Data are represented as mean ± s.e.m.\nA Schematic overview of the experimental design. B Heatmaps illustrate the activity trace of mice in the open field in response to CD1+ and CD-. No target, the absence of CD1; Target, the presence of CD1. C A barplot of the stay time of mice in the interaction zone (t(34) = 12.91, P < 0.001. n = 18 for Ctrl and Intruder groups mice). D Comparison of the time spent in the open arms (t(38) = 12.57, P < 0.001. Each group n = 20 mice). E Time spent in the interaction-arm with a companion in the EPM (t(34) = 8.084, P < 0.001. Each group n = 18 mice). F Percentage of sucrose preference (t(36) = 7.997, P < 0.001. Each group n = 19 mice). G Modified pre-pulse inhibition test of different decibels. H Plots of the pre-pulse response intensity ratio at 120 dB (t(28) = 2.795, P = 0.0093. Each group n = 15 mice). I Jumping times under 70 dB and 80 dB conditions, with each decibel level involving 15 mice. Each mouse was stimulated 5 times, resulting in a total of 75 responses per group. (Chi-square test, 80 dB, χ² = 3.972, P = 0.046. 70 dB, χ² = 1.349, P = 0.246). J Changes in response strengths (Two-way ANOVA with Fisher’s LSD for multiple comparisons. dB × Group F(1, 35) = 0.3934, P = 0.5346. 90 dB, Ctrl, n = 10. Intruder, n = 13. 80 dB, Ctrl, n = 6. Intruder, n = 10). K, L Representative traces and statistics of behavioral tests for tremor frequency (t(21) = 5.281, P < 0.0001. n = 12 and 11 for Ctrl and Intruder groups mice). M, N Representative traces and statistics of fluctuations of included angles in body arch (t(21) = 4.983, P < 0.0001. n = 12 and 11 mice). O, P Representative traces and statistics of motion distance (t(21) = 4.119, P = 0.0005. n = 12 and 11 mice). Q Diagram of social stress induces fear memory and schizophrenia-like behaviors. The darkness of color represents the severity. The mouse images were produced based on the platform from BioRender.com. Data are represented as mean ± s.e.m.\nThe CD1 male mice selected to be aggressive residents (aggressors) in the resident/intruder paradigm were based on the criterion that the latency of their attacks to the unfamiliar C57 mice was within two minutes when they were placed together. In order to have the resident CD1 male mice more aggressive in this resident/intruder paradigm, we placed a pair of male and female CD1 mice to live in a normal cage (29 × 17.5 × 12.5 cm) more than four days, or one sexual cycle, for their “marriage” relationships [53, 62, 107–109].\nIn the resident/intruder paradigm [104–108], the attacks of a resident CD1 male mouse to intruder C57 mice were more realistic to mimic the social stress in lifespan than the electrical shocks to mouse feet as the stress used in other studies [107–109]. After the adaptation period, the qualified C57 mice at postnatal weeks three were divided into four groups, i.e., control, intruder, intruder plus scramble control and intruder plus dopaminergic receptor-II knockdown (Drd2-KD). A knockdown of dopaminergic receptor-II mRNA in the medial prefrontal cortex (mPFC) was done by the injection of AAV2-CMV-U6-mDR2-GFP in the mPFC (Figure SM3), which produced short-hairpin RNAs specifically to silence dopaminergic receptor-II mRNA. shRNA-scramble control was done by the injection of AAV2-CMV-U6-GFP into the mPFC.\nDuring the attacks by the resident CD1 male mouse, intruder C57 mice received the stressful signals, such as the battle sound from the auditory system, the pain signal of somatic injury areas from the somatosensory system as well as the image of CD1 mouse plus the battle field from the visual system. These signals were inputted to those cross-modal sensory cortices of intruder C57 mice that encoded relevant sensory signals, such as the battle sound to the auditory cortex, the images including resident CD1 mouse and battle scenes to the visual cortex and the painful signal from body injury areas to the S1Tr cortex, leading to the associative learning. These physical and psychological stress signals were thought to associatively evoke the fear memory of intruder C57 mice to a resident CD1 mouse [53, 62, 112, 113]. It is noteworthy that the battle sounds from the attacks of the resident CD1 mouse to intruder C57 mouse were collected by an audio recorder with high fidelity for the future uses of auditory stimulations in behavioral tasks and electrophysiology in vivo.\nThe C57 mice in the intruder subgroups, intruder, intruder plus shRNA scramble control and intruder plus dopaminergic receptors-II knockdown, experienced the resident/intruder paradigm for their social stress. In the first two weeks, each of these intruder C57 mice was placed into the living cage of resident CD1 mice in every afternoon, in which the aggressive CD1 male mouse was present and the female CD1 mouse was taken out. The duration for each intruder mouse to stay in the CD1-living cage was based on the attacks when the resident mouse had bitten this intruder mouse five times on the back of its body. In weeks three, each of these intruder mice was placed into this CD1-living cage once two days. Through this procedure, the intruder mice were thought of as experiencing the social stress from the attack of the resident mouse. The stressful signals in resident CD1 attacks were dissected to be the sound signal during their battle, the images of this aggressive CD1 resident and the pain stimulus from the body injury regions bitten by the resident mice. These intruder C57 mice have associatively learnt the stress signals inputted from auditory, somatosensory and visual systems. The stimulations based on these stress signals were used to detect the behavior responses of intruder mice to these associated stress signals in order to test the onset of associative fear memory and schizophrenia as well as used to analyze the responses of neurons in auditory, S1Tr and medial prefrontal cortices to these associated signals in order to confirm the recruitment of associative memory neurons.\nThis test within the social interaction cage was used to examine whether the intruder C57 mice were able to memorize the resident CD1 mouse that had attacked them in the resident/intruder paradigm. The avoidance to the resident CD1 mouse with less interaction indicated the formation of fear memory in intruder C57 mice to this resident CD1 mouse. After the period for C57 mice in control group and the resident/intruder paradigm period for C57 mice in the intruder subgroups, the formation of fear memory to the resident CD1 mouse was tested. The object used to test their fear memory was a resident CD1 male mouse that had attacked the intruder mice. The emergence of fear memory was examined in an interaction cage that included one small box of holding this resident CD1 mouse and the interaction zone around this small box in an open field cage (Fig. 1A). The identification of fear memory formation in the intruder mice was based upon the fact that the intruder C57 mice avoided the box of holding this resident CD1 mouse as well as less accessed toward the interaction zone, but not avoided to the box of holding a familiar C57 mouse. The stay time for intruder mice in the interaction zone with the presence of a resident mouse and the stay time for intruder mice in the interaction zone with the absence of this resident were measured for the comparisons between the self-control before the treatment and the data after the treatment, between the control and the intruder, as well as between intruders plus dopaminergic receptor-II knockdown and intruders plus scramble control. The significant reductions of the stay time in the interaction zone with the presence of a resident mouse before and after the social stress as well as the significant reductions of the stay time in the interaction zone with the presence of the resident mouse among these groups indicate the formation of fear memory in intruder mice specifically to the resident mouse.\nIt is noteworthy that intruder and control mice were separately housed in their own cages in the adaptation period, the intervals of the resident/intruder paradigm and the intervals of the tests of behavior tasks. That is, there were no chances for those mice among inter-groups to the direct interactions for establishing their social communications, empathy and mind infection. In addition, intruder C57 mice had no loss of the social interaction capability as they did not avoid the empty box and other C57 mice [53, 112], except for the resident CD1 mouse. Furthermore, C57 intruder mice had no loss of auditory ability since they responded to the battle sound as well as the sound pulses (Figure SM4).\nSchizophrenia as one severe psychiatric disorder is featured by psychological mania and negative moods. The symptoms and signs of psychological mania mainly include hallucination, delusion and misbelief. The symptoms and signs of negative mood include anhedonia, social withdrawal and anxiety [1–6, 10]. The hallucination refers to the status in that persons believe to sense some signals and messages, especially auditory signals, from their environments, but not realistically present [114, 115]. The hallucination state in the animals has been examined by the pre-pulse inhibition test to measure their hypersensitivity in response to their environmental clues [116, 117], which is also one feature in schizophrenic patients [118]. This hypersensitivity mainly results from the decrease of the sensory threshold to detect the signals from their environments. The decrease of the sensory threshold in the auditory sensation may cause the weak sounds in the environments to be amplified to an alert sound or the scare signal, and even create new types of sensation, e.g., the pain from the internal ears. The decrease of the sensory threshold in the tactile sensation may cause the normal touch to be felt as the pain stimulus. In this regard, the stimulus threshold in the pre-pulse inhibition test may also be changed. Thus, the measurements of the pre-pulse inhibition and the response threshold to sound pulses can be used to test the hypersensitivity of the hallucination status.\nThe delusion refers to the state that manic persons believe the presence of certain situations around themselves, which are not realistically present, or called as misbelief [119–122]. The typical delusion in schizophrenic patients is characterized as the persecutory delusion. The persecutory delusion is presumably developed when their behaviors in response to the scared environments emerge under the condition of the absence of the scared signals [123, 124]. Based on this definition of the persecutory delusion for schizophrenic patients, we have designed and developed a persecutory delusion test for the rodents including mice, rats and so on. The persecutory delusion is expressed when the scare behaviors including the body arches, limbs’ tremor and interrupted steps in response to the scare signals (Figure SM5-6) emerge under the normal condition or without the presence of the stress signals (Fig. 1K-P). In other words, the result in that intruder mice show the scare behaviors under the normal condition or without receiving any of scared signals is judged to be the emergence of the persecutory delusion (please compare Figure S6 and Fig. 1K-P). Through examining the emergence of the body arches, limb tremor and interrupted steps in intruder mice in the absence of the stress signals, or the absence of a CD1 resident mouse, we are able to conclude whether the persecutory delusion emerges or not.\nWhen the intruder C57 mice showed the hallucination-like behavior, delusion-like behavior, depression-like behavior and anxious state, they were thought of as emerging schizophrenia-like behaviors induced by the social stress.\nThe hypersensitivity of schizophrenic mania was examined by the pre-pulse inhibition test and the responsive threshold test to sound pulses. The standard approach of the pre-pulse inhibition test [116, 117, 125–127] was utilized in our experiments to examine the emergence of the hypersensitivity in schizophrenia-like behaviors from those intruder mice in comparison with the control mice. Each of those mice from controls and various intruder subgroups in the pre-pulse inhibition test was conducted in a small open-field cage that was attached on a pressure sensor to sensitively detect the pulse weight due to mouse jumps. A timeline for the pre-pulse inhibition test included an adaptation period, pulse one, irregular pulses’ intervals and pulse two. The mice in this adaption period received 65 dB background sound about 2 min in this open-field cage. Pulse one was set at 120 dB for the sound strength and 40 milliseconds (ms) by 5 times in total 30 seconds for the sound duration. Irregular sound pulses in the intervals consisted of 65-120 dB and 40 milliseconds with 40-100 millisecond intervals about 20 min. The features of pulse two were identical to pulse one. That is, the protocol of the pre-pulse inhibition test consisted of two sound pulses with 120 dB in the strength and 30 seconds in the duration plus the intervals of 20 min for irregular sound pulses (please see one Table in Figure SM5A). The digital traces of mouse responses to sound pulses are presented in Figure SM4B-C.\nIn the judgement of the hypersensitivity of experimental mice, the following theories have been taken into account. Normally, the mice appeared frequent jumps on an open-field cage in response to the strong sound signals, and their response strengths were larger in pulse one than pulse two. The difference of response strengths between pulse two and pulse one was negative under the normal condition or in the control mice. The ratio of response strength in pulse two to that in pulse one was less than one under the normal condition or in control mice. The decreased response to sound pulses after the first sound pulse and the irregular sound pulses was thought of as the role of inhibitory neural circuits in the sensation and behaviors [116, 117, 128]. As GABAergic neuronal circuit dysfunction has been detected in the schizophrenia patients [129–131], those intruder mice with schizophrenia-like behavior might show the decreased ratio of response two to response one in the pre-pulse inhibition test. The measurements in our studies included the difference of the response strength in pulse two and the response strength in pulse one (R2-R1) or the ratio of this difference to the response strength in pulse one (R2-R1)/R1.\nIn addition to a decreased response in the pre-pulse inhibition test, the hypersensitivity due to the decreased sensory threshold might cause weak environment stimulations to be amplified to the alert sound and scared signal. The stimulus threshold of the pre-pulse inhibition test might be reduced, such that we have modified the pre-pulse inhibition test. In this modified test, the strengths of sound pulses after the pre-pulse inhibition test were reduced sequentially from 120 dB to 70 dB to merit the threshold of mouse responses (the times and strengths of mouse jumps on the open-field cage) to these sound pulses. The measurements of the response thresholds to sound pulses included the minimal stimulus for mice to jump in response to these sound pulses (stimulus threshold) as well as the mouse response strength that was the ratio of the dynamic weight due to jumps to the static weight. The significant reductions of the stimulation threshold after the pre-pulse inhibition test as well as the increase of their response strength indicated the possibility that these sound stimulations had been converted into the scared signal or the painful signal in the auditory system in those mice with schizophrenia-like behaviors. This shifting of the sensation to sound pulses toward the sensation to the pain in the ears by these sound pulses or toward some scared signals in the emotion might cause the situation similar to the hallucination based on the hypersensitivity in the sensations to various stimulations and in the emotion to the scared signals, which were not present realistically.\nBased on the definition of the delusion, i.e., the false belief about the presence of unrealistic situations, the persecutory delusion was presumably expressed in the mice when their behaviors in response to the scared environments emerged under the non-scared condition. In terms of the mechanisms underlying the persecutory delusion, the decrease of the sensory threshold in the schizophrenic patients or mice might be associated with the expansion of these super sensitivity and activity in the sensory cortices to the prefrontal cortices and other brain areas, so that they expressed weird memories and disorganized thoughts. In other words, the decreased sensory thresholds in the pre-pulse inhibition test might be changed further to cause false beliefs and disorganized thoughts, or the delusion in mind. What mouse behaviors in response to the scared environments emerged under non-scared conditions was thought of as the expression of the persecutory delusion.\nBy using the self-programmed artificial intelligence (AI) to recognize behaviors in C57 mice under the condition of facing to a resident CD1 mouse, we measured the following parameters of behaviors from C57 mice and defined their fear responses to this resident CD1 mouse, including the angles of their back arch, the frequencies of their body shaking and the traces of their motion in the cage. The measurements and statistical analyses of these parameters are shown in Figure SM6. The behaviors of C57 mice in their back arch to be the smaller included-angle, the frequent body shaking and the less motion due to the higher tension of limbs’ muscles were thought of as their fear response to the resident CD1 mouse. In the measurement of the back arch of C57 mice based on images from a video recorder that were annotated by using DeepLabCut (DLC) to label their bodies, three points were set for AI’s recognitions in those C57 mice, including the nose tip, the middle top in spinal back and the tail root. These data about the labels of the mouse bodies were used for training the AI’s neural network to learn and to estimate these points accurately, and to read out these points precisely in subsequent analyses. With the connection of such three points, the included angle based on the middle top of the spinal back were measured. As those C57 mice fearing to a resident CD1 mouse appeared to be frequent bend in their back and body shaking, the included angles based on the middle top of their spinal back might become smaller and quickly fluctuated. In the measurement of the body shaking of C57 mice, the frequencies in their quick motions in these three points of their bodies were recognized and measured by this AI’s neural network. The C57 mice fearing to a resident CD1 mouse appeared the high frequency of body shaking. In addition, this self-programmed software utilized for AI’s recognition was also used to monitor the total traces of mouse motions in the cages.\nThe measurements of fear responses in C57 mice have been conducted in the cages with the presence of the resident CD1 mouse (the scared environment) and without the presence of this resident (none scare environment). It is noteworthy that the interval of the persecutory delusion test between with the scared environment and the none scared environment was above three hours to prevent the interactive influence from these two conditions, and that the cages for this test were not for the living houses for resident mice and intruder mice. What the fear behaviors in the scared environment emerged in the absence of this resident mouse were thought of the persecutory delusion. The comparison of those C57 mice among the groups of control, intruder, intruder plus dopaminergic receptor-II knockdown and intruder plus scramble control in face to the resident CD1 mouse and with no resident CD1 mouse would indicate whether those C57 mice expressed persecutory delusion-like behavior. If the intruder C57 mice demonstrated significantly fear behaviors without the presence of the resident mouse, including the smaller included angles, the frequent body shaking and shorter motion traces, they were presumably in the status of the persecutory delusion-like behaviors.\nAnhedonia, interest loss and social withdrawal as depression-like behaviors were assessed after C57 mice experienced resident/intruder paradigm or were treated as the control for three weeks. Anhedonia was evaluated by the sucrose preference test (SPT). Loss of interest to their partners and social withdrawal were assessed by using the Y-maze test (YMT) [57, 132–136]. The SPT was performed by measuring mouse ingestions of 1% sucrose water versus pure water in two hours. The SPT values were the ratio of ingested sucrose water to total water including the sucrose water plus pure water. The YMT was operated by monitoring the mouse stay time in a special arm and other arms. The end of this special arm included a female mouse (i.e., M-arm). In five min of measurements in the YMT, the ratios of the stay time in the M-arm to the stay time in three arms were calculated. The SPT and YMT were given before and after the resident/ intruder paradigm. All of these measurements and carefulness in the detailed protocols were given in our previous publications [135–137]. With the sufficiency of these two tests above for assessing depressive mood, we did not used the tail suspension test and the forced swimming test in that the stressful condition may influence the judgement of mood state.\nDepression-like behaviors were accounted when intruder mice showed the decreases in the sucrose preference and M-arm stay time, in comparison with the values during their self-control period (week one for an adaption) and in control mice. The significant changes in these tests for each mouse were accepted if the SPT and YMT values attenuated over 20% of their self-controls. These criteria were based on the averaged values in our previous studies [58, 59, 135, 136, 138, 139]. The mice with significant changes in these two tests were thought of as depression-like mice induced by a resident/intruder paradigm [58, 59, 138]. The control mice and intruder mice with depression-like behaviors and other symptoms were further studied in neuronal functions, synapse innervations and mRNA/protein analyses in the medial prefrontal cortex, the auditory cortex and the S1Tr cortex.\nThe anxious state in C57 mice induced by the resident/intruder paradigm was evaluated by an elevated-plus maze (EPM), which was thought to be a validated and classic method to assess the level of anxiety in rodents [140, 141]. In the typical EPM, two open with 30 cm in the length, 5 cm in the width and 0 cm in the wall height were opposite to two closed arms with 30 cm in the length, 5 cm in the width and 15.25 cm in the wall height. Such crossed arms were extended from a central platform (5 cm × 5 cm). The height of the EPM’s arms and central plate was 40 cm above the floor. All of these experiments were performed between 8:00 to 14:00. In general, those mice avoided the open field, however, they were going to explore new environments for the food and social partners. The avoidance of the mice to the open field was measured by the duration when these mice stayed in the closed arms, or the duration in the closed arms versus total experiment time. The exploration of the mice to the new environment was measured by the entry times into open arms. Thus, the exploration times and the stay duration in the closed arms were utilized to evaluate the level of anxious state, which were recorded by an automatic video-tracking system for five min. The C57 mice were placed at the central platform of the EPM in face to one of the closed arms at the beginning of experiments. The behavior that the mice spent more time in the closed arms and had low exploration times to the open arms was presumably the higher level of anxious state [142, 143].\nAssociative memory neurons were defined as the neurons that received convergent synapse innervations including newly formed synapses and previously formed synapses as well as encoded multiple signals brought by these synapse inputs [65, 93, 95, 96, 144]. The associative memory neurons were recruited based on the principle of coactivity together and interconnections together among the neurons by a chain reaction including the intensive action potentials, epigenetic events as well as gene and protein expressions in relevance to new axonal projection and synapse formation. The associative memory neurons among cross-modal cortices and within intramodal cortex were featured by their synapse interconnections, such that each of them received new synapse innervations from active neurons alongside innate synapse inputs as well as encoded the signals inputted by these axons and synapses [65, 93, 95, 96, 99, 144]. The stressful signals in the resident/intruder paradigm were dissected into distinct modal signals that could be sensed by their correspondent sensory systems of intruder mice. The battle sound generated in the attack of the resident CD1 mouse to intruder C57 mice was detected and transmitted to the auditory cortex by the auditory system. The painful signal from body-injury regions bitten by the resident CD1 mouse was detected and transmitted into the S1Tr cortex by the somatosensory system. The images of resident CD1 mouse and their fighting were detected and transmitted into the visual cortex by the visual system. This resident/intruder paradigm drove intruder C57 mice to associatively learn these auditory, somatosensory and visual signals. In other words, the stress signals in the joint storage and the reciprocal retrieval of this associative fear memory included the auditory signal (the battle sound generated during their fighting), the somatosensory signal (the pain signal from body-injury regions) and the visual signal from the resident CD1 image and fight scene. The retrievals of fear memory to the resident CD1 mouse in intruder C57 mice might be induced by seeing this resident CD1 mouse, hearing the battle sound or receiving the painful stimulus in body-injury areas. New synapse interconnections might be detected by neural tracing morphologically among S1Tr, auditory and visual cortices. Convergent synapse innervation might be detected on prefrontal cortical neurons by neural tracing. Associative memory neurons that encoded somatic stimuli, battle sound and CD1 images might be recorded by electrophysiological approach in these cortical regions [99].\nThe morphological identification of interconnections among medial prefrontal cortex, S1Tr cortex and auditory cortex was traced by gene-coded fluorescent proteins carried by adeno-associated viruses (AAV) [93–96, 98, 99]. A few subtypes of AAV2s with CMV-promoter were used in our experiments, e.g., AAV2-CMV-GFP, AAV2-CMV-BFP, and AAV2-CMV-tdTomato (OBiO Inc., Shanghai China). In the study of synapse interconnections among these cortices, AAV2-CMV-GFP was injected in the S1Tr cortex (-1.5 mm posterior to the bregma, 1.5 mm lateral to the middle line and 0.5 mm depth away from the bregma; from the brain map [145]), AAV2-CMV-tdTomato was injected in the auditory cortex (-2.0 mm posterior to the bregma, 4.0 mm lateral to the middle line and 1.6 mm depth away from the bregma) as well as AAV2-CMV-EBFP was injected in the medial prefrontal cortex (1.8 mm anterior to the bregma, 0.4 mm lateral to the middle line and 1.7 mm depth away from the bregma) three days before the resident/intruder paradigm. These microinjections were done by using glass pipettes controlled from the microsyringe held with three-dimensional stereotaxic apparatus (RWD Life Science, Shenzhen, China). The AAV microinjections were about 0.2 μl in the volume and 30 min for the duration. AAV-CMV-GFP was uptaken and expressed in S1Tr cortical neurons, where the green fluorescent protein (GFP) was produced. The GFP was transported to entire axons at the target areas in an anterograde manner, so that axon boutons and terminals were labelled by the GFP. AAV-CMV-tdTomato was uptaken and expressed in the auditory cortical neurons, where the red fluorescent protein (RFP) was produced. The RFP was transported to entire axons at the target areas in an anterograde manner, so that axon boutons and terminals were labelled by the RFP. AAV-CMV-EBFP was uptaken and then expressed in the prefrontal cortical neurons, where the blue fluorescent protein (BFP) was produced. The BFP was transported to entire axons at the target areas in an anterograde manner, so that axon boutons and terminals were labelled by the BFP [93–96, 98, 146].\nIn the study of the interconnections among medial prefrontal, auditory and S1Tr cortices, our strategies and approaches were the detection of fluorescent-labelled axonal boutons in the target areas, as fluorescent proteins had been injected in the source areas [98, 99]. As the RPF was injected and expressed in the auditory cortex, the detection of RFP -labelled axons in the S1Tr cortex implied the projection of axons of auditory cortical neurons to the S1Tr cortex. As the GPF was injected and expressed in the S1Tr cortex, the detection of GFP -labelled axons in the auditory cortex implied the projection of axons of S1Tr cortical neurons to the auditory cortex. These two results together endorsed the formation of the interconnections between the S1Tr cortex and the auditory cortex in the intruder mice after the resident/intruder paradigm. Similar strategies were used to examine synapse interconnections between the medial prefrontal cortex and the auditory cortex as well as between the medial prefrontal cortex and S1Tr cortex, based on the approach that the BFP expressed in the medial prefrontal cortex, the RFP expressed in the auditory cortex and the GFP expressed in the S1Tr cortex.\nIn the study of convergent synapse innervations on medial prefrontal cortical neurons from the auditory cortex and the S1Tr cortex, or associative memory neurons in the medial prefrontal cortex, AAV2-CMV-tdTomato was microinjected in the auditory cortex and AAV2-CMV-GFP was injected into the S1Tr cortex. These AAVs were uptaken and expressed at those neurons in the injected areas, where fluorescent proteins were produced. The RFP in the auditory cortex and the GFP in the S1Tr cortex were transported toward the entire axons at the target areas, where these RFP- and GFP-labelled axon boutons and terminals could be detected. When the RFP- and GFP-labelled axon boutons were detected in the medial prefrontal cortex, especially on those spines from individual dendrites of medial prefrontal cortical neurons, these prefrontal cortical neurons were recruited as the associative memory neurons by receiving the convergent synapse innervations, or the morphological identification of the associative memory neurons [93–96, 98]. This strategy was also used to identify the recruitment of associative memory neurons in the auditory cortex and the S1Tr cortex. AAV injections three days before a resident/intruder paradigm allowed the mice to be recovered from this injection operation for experiencing the subsequent experimental manipulations [99].\nAfter those AAV-carried genes were microinjected in intruder and control mice about three weeks when the resident/intruder paradigm was administered, these mice were anesthetized by 2% pentobarbital sodium through the intraperitoneal injections, as well as perfused by 50 ml of 0.9% saline and then 50 ml of 4% paraformaldehyde through the left ventricle until their bodies were rigid. The brains were rapidly isolated and post-fixed in 4% paraformaldehyde for additional one day. The cerebral brains were sliced by the vibratome in a series of coronal sections with the thickness of 100 μm. In order to clearly show three-dimensional images about new synapses in cortices, brain slices were placed in a Sca/eA2 solution for 10 min to make them transparent [95, 147]. These brain slices were rinsed by the phosphate buffer solution for three times, air-dried and cover-slipped. The images of cortical neurons, dendrites, dendritic spines, axon boutons and synapse contacts were taken and collected under a confocal microscope with a 60X lens for high magnification (Nikon A1R plus). The anatomic images of the cerebral brains were taken by this confocal microscope with a 4X lens for low magnification. In C57BL/6 J Thy1-YFP mice, postsynaptic neuron dendrites and spines were genetically labelled by the YFP. Presynaptic axon boutons were labelled by the GFP, BFP and/or RFP produced from the AAV-CMV-FPs being microinjected, respectively. Those contacts between yellow dendritic spines and green, blue or red presynaptic axon boutons with less than 0.1 μm space cleft were chemical synapses presumably [95, 98, 99]. The wavelength of excitation laser beam 488 nm was used to activate the GFP and the YFP. The wavelength of the excitation laser beam 561 nm was utilized to activate the RFP. The wavelength of the excitation laser beam 405 nm was used to activate the BFP. The wavelengths of the emission spectra of the BFP, GFP, YFP and RFP were 412-482 nm, 492-512 nm, 522-552 nm and 572-652 nm, respectively. The images of dendritic spines, axon boutons and synapse contacts were analysed by ImageJ and Imaris quantitatively [95, 99]. Associative memory neurons were accepted when axonal buttons from two sources convergently innervated to dendritic spines on one of YFP-labelled cortical neurons [65, 93, 99].\nBefore the electrophysiological recording of the neurons in the prefrontal cortex, the auditory cortex and the S1Tr cortex, those mice in the intruder group with fear memory and schizophrenia like-behaviors or control group were anesthetized by intraperitoneal injections of urethane (1.5 g/kg) for surgical operations. The body temperature was kept at 37°C by computer-controlled heating blanket. The craniotomy (2 mm in diameter) was made on the mouse skull above the left side of the prefrontal, auditory or S1Tr cortices [98]. The in vivo electrophysiological recordings at these cortical neurons was conducted in the mice under light anesthetic condition with the withdrawal reflex by pinching fingers, the eyelid blinking reflex by air-puff and the muscle relax. The unitary discharges of these cortical neurons in the category of local field potential (LFP) were recorded in layers II-III of these cortical areas by using glass pipettes filled with a standard solution (150 mM NaCl, 3.5 mM KCl and 5 mM HEPES). The resistance of those recording pipettes was 30 MΩ. The electrical signals of these cortical neurons in their spontaneous spikes and evoked-spikes by the battle sound replayed by an audio recorder or the somatic stimulus to injury areas were recorded and acquired by the AxoClamp-2B amplifier and the Digidata 1322 A and as well as analyzed by a pClamp 10 system (Axon Instrument Inc. CA, USA). These spiking signals were digitized at 20 kHz and filtered by low-pass at 5 kHz. The 100-3000 Hz band-pass filter and the second-order Savitzky -Golay filter were used to isolate spike signals. The normalized spike frequencies in response to the battle sound and the somatic stimulus were the ratios that the spike frequencies in response to the stimulations were divided by spontaneous spike frequencies 30 seconds before the stimuli. If the ratio of the evoked-spike frequencies to spontaneous spike frequencies was 1.5 and above, cortical neurons were deemed as the response to the stimulations [93–98, 148]. Associative memory neurons were accepted by the situations that those neurons in the medial prefrontal cortex, auditory cortex and S1Tr cortex responded to two sources of the stress signals [65, 93, 99].\nIn terms of associative memory neurons in primary versus secondary in nature, we assumed that the associative memory neurons in the prefrontal cortex were secondary and the associative memory neurons in auditory and S1Tr cortices were primary. This assumption was based on the fact that the prefrontal cortex was allocated at the downstream of sensory cortices, such as the auditory cortex and the S1Tr cortex anatomically, in the signal flow from sensory systems to the cognition system and the motion system [65]. In this regard, we accepted those associative memory neurons in the prefrontal cortex as the secondary identity if their responses to sensory inputs disappeared, when the activities of the neurons in its upstream areas including the auditory cortex and the S1Tr cortex were blocked. Experiments were conducted by recording the activities of prefrontal cortical neurons in response to the battle sound and somatic stimulus as well as by blocking the activities of auditory and S1Tr cortical neurons with 100 μM CNQX and 50 μM D-AP5 that were the antagonists of inotropic glutamatergic receptor-channels. When the responses of associative memory neurons in the medial prefrontal cortex to the battle sound and the somatic stimulus disappeared by using the antagonists of inotropic glutamate receptors, the associative memory neurons in the medial prefrontal cortex were secondary in nature, i.e., the second-order of associative memory neurons.\nIn the study of roles of dopaminergic receptor-II in the formation of new synapse innervation and in the recruitment of associative memory cells in the medial prefrontal cortex and its connecters, dopaminergic receptor-II mRNA was downregulated by its specific shRNA that was carried with AAVs and microinjected in the medial prefrontal cortex in intruder plus dopaminergic receptor-II knockdown mice [149–153]. In the meantime, the control was done by the shRNA scramble microinjection in the medial prefrontal cortex in the intruder plus scramble control mice. By the microinjections of AAV2-CMV-U6-DR2-GFP (pAAV[shRNA]-GFP-U6-DR2) in the medial prefrontal cortex (1.8 mm anterior the bregma, 0.4 mm lateral to the middle line and 1.7 mm depth away from the bregma) three days before the resident/intruder paradigm for associative learning, this approach was expected to reduce dopaminergic receptor-II expression in the prefrontal cortices (Figure SM3) as well as to prevent the formation of new synapse innervations from auditory and S1Tr cortices and the recruitment of associative memory cells in the medial prefrontal cortex. Experiments in dopaminergic receptor-II knockdown were jointly conducted with AAV-mediated neural tracing and electrophysiological recordings to examine the effectiveness of this molecular manipulation on the morphology and the function of associative memory neurons’ recruitment. After an associative learning by the resident/intruder paradigm, those mice from the subgroups in the intruder group including intruder plus dopaminergic receptor-II knockdown and intruder plus scramble controls were examined in their behavioral tasks in relevance to fear memory and schizophrenia-like signs (Figures SM7-9), the morphological convergent synapse innervations on medial prefrontal cortical neurons and the electrophysiological recording of prefrontal cortical neurons in response to the battle sound and the somatic stimulus. The quantities of the medial prefrontal cortical neurons in response to the two stress signals were analyzed in two subgroups. The effectiveness of shRNA specific for dopaminergic receptors-II on new synapse formations and associative memory neuron recruitment would be confirmed if the numbers of the new synapse contacts and associative memory neurons in the group of intruder plus dopaminergic receptor-II knockdown mice were significantly lowered compared with the scramble control group.\nIn terms of the production of DR2 shRNA, we commissioned Obio Technology Corp., Ltd. in Shanghai, China to design shRNA that targeted DR2 based on the transcripts of mouse DR2 gene, to pack the precursor of shRNA into multiple cloning site of AAV2 as well as to synthesize primers for quantitative RT-PCR. Three sequences were selected based on the homology to mouse DR2 mRNA (NM_010077.3). To prevent nonspecific binding, we assessed these sequences by using a NCBI Basic Local Alignment Search Tool. These sequences included CCGTTATCATGAAGTCTAATG (DR2RNAi01), CCCAGGATTGCCAAGTTCTTT (DR2RNAi02) and CATTGTTCTTGGTGTGTTCAT (DR2RNAi03). The sequence for the scramble control of DR2 shRNA (CCTAAGGTTAAGTCGCCCTCG) did not correspond to any one of known sequences for mouse species. Furthermore, we verified the efficacy of these sequences to knockdown DR2 mRNA by using quantitative PCR (qPCR) and DR2 protein by using western-blot analysis. For the experiments in this study, we have selected sequence 3, as it showed more effectiveness in the pilot experiment (experimental data in Figure SM3). That is, the shRNA designed to knock down dopaminergic receptor-II has been proved to be their effectiveness on the expression levels of dopaminergic receptor-II.\nThe role of dopaminergic receptor-II in supporting the function of associative memory cells in the medial prefrontal cortex was tested by injecting the antagonist of dopaminergic receptor-II, eticlopride [154–156], into the medial prefrontal cortex. The concentration of eticlopride being injected in the medial prefrontal cortex was 1.325 nM in the optimal effectiveness with a lower dosage as possible, based on our study in the dose-response (Figure SM10A-F). The role of dopaminergic receptor-II in fear memories and schizophrenia-like behaviors was examined by the intraperitoneal injections of eticlopride. Its dosage for intraperitoneal injection was 0.075 mg/kg nM in an optimal effectiveness with a lower dosage as possible, based on our study in the dose-response (Figure SM10G-L). The behaviors in response to the presence of the resident CD1 mouse are represented in Figure SM11 as the index for examining the behaviors of those mice in the absence of resident CD1 mouse and for finding out the changes of their schizophrenia-like behaviors.\nThe ANOVA was used for the comparisons of experiment data including behavioral tasks, axon boutons, synapse contacts and neuronal responses to the battle sound and the pain stimulus in those mice from control and resident/intruder paradigm groups. The ANOVA was also used for the statistical comparison of the changes in neuronal activities and morphology from two groups of intruder plus shRNA scramble control mice and intruder plus dopaminergic receptor-II knockdown (DR2-KD) mice. The X2-test was used for the statistical comparisons of the alternations in the percentages of associative memory neurons identified by electrophysiological study in vivo. The variation of the behavioral tasks was calculated as covariances (please refer to supplement tables one and two, Table S1 and Table S2). The sample size was set by no less than nine samples for behavioral tasks and no less than twenty neurons from five mice in cellular morphological and functional studies.\n\n\n### The use of animals\nExperiments were accorded with the guidelines and regulations by the Administration Office of Laboratory Animal in Beijing, China. All of the experiment protocols were approved by Institutional Animal Care and Use Committee in Administration Office of Laboratory Animal at Beijing, China (B10831).\nC57BL/6J-Thy1-YFP mice (Jackson Laboratory, USA) were used in our studies. Glutamatergic neurons in their cerebral brain were genetically labeled by yellow fluorescent protein (YFP) [110, 111]. These mice were accommodated in the sterile barrier facility under the circadian of twelve hours for daytime and night, respectively, with the sufficient food and water. The ambient temperature at 22 ± 2°C and the relative humidity at 55 ± 5% were set for a live condition of the specific pathogen free (SPF). The C57 male mice with well-developed body in their postnatal weeks three were chosen for our experiments in the groups of control and social stress by the resident/intruder paradigm. The reason to use male mice was due to the fact that CD1 resident mice appeared less to attack female intruder C57 mice. The qualified control and intruder mice were also based upon their higher activity and lower anxious state. These mice were taken into the laboratory for them to be familiar with the experimental operators and the training apparatus for one week. During the adaptation period, these C57 mice were allowed to be familiar with the cages for the social interactions without the resident CD1 mouse, such that the appearance of CD1 resident mouse, the attacks from a resident CD1 mouse and the battle sound were new stressful signals for C57 mice in this resident/intruder paradigm. These intruder and control C57 mice had the healthy capability of social interactions, which was measured by placing them in a social interaction cage to collect their self-control data about the stay time in the interaction zone [53, 62]. The anxious state of the C57 mice was examined by using the elevated-plus maze. Those C57 mice, which had the ratio of the stay time in the interaction zone above 0.5, the stay time in the open arms of the elevated-plus maze above 10% and these values consistently within mean±2 SD, were chosen to be qualified mice for our experiments. The criteria are based on the rule of the consistency in the physical measures and psychological state of animals used among experiment groups. These C57 mice were also examined by the Y-maze test, the sucrose preference test, the pre-pulse inhibition test and the persecutory delusion test in the adaptation period to have their self-control data. As illustrated in Figure SM1-2 (figure one and two for supplementary methods), C57 mice in the control group and the intruder subgroups appear well-homogeneity in these tests.\nAfter an adaptation period, these qualified C57 mice were randomly divided into the control group and the social stress group. Either of these groups experienced experiment manipulations in the control for three weeks or in the social stress (a resident/intruder paradigm) once a day for three weeks. Subsequently, the mice were examined in the formation of their fear memories and schizophrenia-like behaviours as well as the recruitment of associative memory cells by multiple disciplinary approaches. The timeline for our experiments in Fig. 1A was the adaptation period for the self-control data, the resident/intruder paradigm and the studies including behavior tasks, neural tracing, electrophysiology in vivo as well as molecular and pharmacological manipulations.Fig. 1Social stress elicits fear memory and schizophrenia-like behaviors.A Schematic overview of the experimental design. B Heatmaps illustrate the activity trace of mice in the open field in response to CD1+ and CD-. No target, the absence of CD1; Target, the presence of CD1. C A barplot of the stay time of mice in the interaction zone (t(34) = 12.91, P < 0.001. n = 18 for Ctrl and Intruder groups mice). D Comparison of the time spent in the open arms (t(38) = 12.57, P < 0.001. Each group n = 20 mice). E Time spent in the interaction-arm with a companion in the EPM (t(34) = 8.084, P < 0.001. Each group n = 18 mice). F Percentage of sucrose preference (t(36) = 7.997, P < 0.001. Each group n = 19 mice). G Modified pre-pulse inhibition test of different decibels. H Plots of the pre-pulse response intensity ratio at 120 dB (t(28) = 2.795, P = 0.0093. Each group n = 15 mice). I Jumping times under 70 dB and 80 dB conditions, with each decibel level involving 15 mice. Each mouse was stimulated 5 times, resulting in a total of 75 responses per group. (Chi-square test, 80 dB, χ² = 3.972, P = 0.046. 70 dB, χ² = 1.349, P = 0.246). J Changes in response strengths (Two-way ANOVA with Fisher’s LSD for multiple comparisons. dB × Group F(1, 35) = 0.3934, P = 0.5346. 90 dB, Ctrl, n = 10. Intruder, n = 13. 80 dB, Ctrl, n = 6. Intruder, n = 10). K, L Representative traces and statistics of behavioral tests for tremor frequency (t(21) = 5.281, P < 0.0001. n = 12 and 11 for Ctrl and Intruder groups mice). M, N Representative traces and statistics of fluctuations of included angles in body arch (t(21) = 4.983, P < 0.0001. n = 12 and 11 mice). O, P Representative traces and statistics of motion distance (t(21) = 4.119, P = 0.0005. n = 12 and 11 mice). Q Diagram of social stress induces fear memory and schizophrenia-like behaviors. The darkness of color represents the severity. The mouse images were produced based on the platform from BioRender.com. Data are represented as mean ± s.e.m.\nA Schematic overview of the experimental design. B Heatmaps illustrate the activity trace of mice in the open field in response to CD1+ and CD-. No target, the absence of CD1; Target, the presence of CD1. C A barplot of the stay time of mice in the interaction zone (t(34) = 12.91, P < 0.001. n = 18 for Ctrl and Intruder groups mice). D Comparison of the time spent in the open arms (t(38) = 12.57, P < 0.001. Each group n = 20 mice). E Time spent in the interaction-arm with a companion in the EPM (t(34) = 8.084, P < 0.001. Each group n = 18 mice). F Percentage of sucrose preference (t(36) = 7.997, P < 0.001. Each group n = 19 mice). G Modified pre-pulse inhibition test of different decibels. H Plots of the pre-pulse response intensity ratio at 120 dB (t(28) = 2.795, P = 0.0093. Each group n = 15 mice). I Jumping times under 70 dB and 80 dB conditions, with each decibel level involving 15 mice. Each mouse was stimulated 5 times, resulting in a total of 75 responses per group. (Chi-square test, 80 dB, χ² = 3.972, P = 0.046. 70 dB, χ² = 1.349, P = 0.246). J Changes in response strengths (Two-way ANOVA with Fisher’s LSD for multiple comparisons. dB × Group F(1, 35) = 0.3934, P = 0.5346. 90 dB, Ctrl, n = 10. Intruder, n = 13. 80 dB, Ctrl, n = 6. Intruder, n = 10). K, L Representative traces and statistics of behavioral tests for tremor frequency (t(21) = 5.281, P < 0.0001. n = 12 and 11 for Ctrl and Intruder groups mice). M, N Representative traces and statistics of fluctuations of included angles in body arch (t(21) = 4.983, P < 0.0001. n = 12 and 11 mice). O, P Representative traces and statistics of motion distance (t(21) = 4.119, P = 0.0005. n = 12 and 11 mice). Q Diagram of social stress induces fear memory and schizophrenia-like behaviors. The darkness of color represents the severity. The mouse images were produced based on the platform from BioRender.com. Data are represented as mean ± s.e.m.\nThe CD1 male mice selected to be aggressive residents (aggressors) in the resident/intruder paradigm were based on the criterion that the latency of their attacks to the unfamiliar C57 mice was within two minutes when they were placed together. In order to have the resident CD1 male mice more aggressive in this resident/intruder paradigm, we placed a pair of male and female CD1 mice to live in a normal cage (29 × 17.5 × 12.5 cm) more than four days, or one sexual cycle, for their “marriage” relationships [53, 62, 107–109].\n\n\n### The social stress was induced by the resident/intruder paradigm\nIn the resident/intruder paradigm [104–108], the attacks of a resident CD1 male mouse to intruder C57 mice were more realistic to mimic the social stress in lifespan than the electrical shocks to mouse feet as the stress used in other studies [107–109]. After the adaptation period, the qualified C57 mice at postnatal weeks three were divided into four groups, i.e., control, intruder, intruder plus scramble control and intruder plus dopaminergic receptor-II knockdown (Drd2-KD). A knockdown of dopaminergic receptor-II mRNA in the medial prefrontal cortex (mPFC) was done by the injection of AAV2-CMV-U6-mDR2-GFP in the mPFC (Figure SM3), which produced short-hairpin RNAs specifically to silence dopaminergic receptor-II mRNA. shRNA-scramble control was done by the injection of AAV2-CMV-U6-GFP into the mPFC.\nDuring the attacks by the resident CD1 male mouse, intruder C57 mice received the stressful signals, such as the battle sound from the auditory system, the pain signal of somatic injury areas from the somatosensory system as well as the image of CD1 mouse plus the battle field from the visual system. These signals were inputted to those cross-modal sensory cortices of intruder C57 mice that encoded relevant sensory signals, such as the battle sound to the auditory cortex, the images including resident CD1 mouse and battle scenes to the visual cortex and the painful signal from body injury areas to the S1Tr cortex, leading to the associative learning. These physical and psychological stress signals were thought to associatively evoke the fear memory of intruder C57 mice to a resident CD1 mouse [53, 62, 112, 113]. It is noteworthy that the battle sounds from the attacks of the resident CD1 mouse to intruder C57 mouse were collected by an audio recorder with high fidelity for the future uses of auditory stimulations in behavioral tasks and electrophysiology in vivo.\nThe C57 mice in the intruder subgroups, intruder, intruder plus shRNA scramble control and intruder plus dopaminergic receptors-II knockdown, experienced the resident/intruder paradigm for their social stress. In the first two weeks, each of these intruder C57 mice was placed into the living cage of resident CD1 mice in every afternoon, in which the aggressive CD1 male mouse was present and the female CD1 mouse was taken out. The duration for each intruder mouse to stay in the CD1-living cage was based on the attacks when the resident mouse had bitten this intruder mouse five times on the back of its body. In weeks three, each of these intruder mice was placed into this CD1-living cage once two days. Through this procedure, the intruder mice were thought of as experiencing the social stress from the attack of the resident mouse. The stressful signals in resident CD1 attacks were dissected to be the sound signal during their battle, the images of this aggressive CD1 resident and the pain stimulus from the body injury regions bitten by the resident mice. These intruder C57 mice have associatively learnt the stress signals inputted from auditory, somatosensory and visual systems. The stimulations based on these stress signals were used to detect the behavior responses of intruder mice to these associated stress signals in order to test the onset of associative fear memory and schizophrenia as well as used to analyze the responses of neurons in auditory, S1Tr and medial prefrontal cortices to these associated signals in order to confirm the recruitment of associative memory neurons.\n\n\n### The test of fear memory formation\nThis test within the social interaction cage was used to examine whether the intruder C57 mice were able to memorize the resident CD1 mouse that had attacked them in the resident/intruder paradigm. The avoidance to the resident CD1 mouse with less interaction indicated the formation of fear memory in intruder C57 mice to this resident CD1 mouse. After the period for C57 mice in control group and the resident/intruder paradigm period for C57 mice in the intruder subgroups, the formation of fear memory to the resident CD1 mouse was tested. The object used to test their fear memory was a resident CD1 male mouse that had attacked the intruder mice. The emergence of fear memory was examined in an interaction cage that included one small box of holding this resident CD1 mouse and the interaction zone around this small box in an open field cage (Fig. 1A). The identification of fear memory formation in the intruder mice was based upon the fact that the intruder C57 mice avoided the box of holding this resident CD1 mouse as well as less accessed toward the interaction zone, but not avoided to the box of holding a familiar C57 mouse. The stay time for intruder mice in the interaction zone with the presence of a resident mouse and the stay time for intruder mice in the interaction zone with the absence of this resident were measured for the comparisons between the self-control before the treatment and the data after the treatment, between the control and the intruder, as well as between intruders plus dopaminergic receptor-II knockdown and intruders plus scramble control. The significant reductions of the stay time in the interaction zone with the presence of a resident mouse before and after the social stress as well as the significant reductions of the stay time in the interaction zone with the presence of the resident mouse among these groups indicate the formation of fear memory in intruder mice specifically to the resident mouse.\nIt is noteworthy that intruder and control mice were separately housed in their own cages in the adaptation period, the intervals of the resident/intruder paradigm and the intervals of the tests of behavior tasks. That is, there were no chances for those mice among inter-groups to the direct interactions for establishing their social communications, empathy and mind infection. In addition, intruder C57 mice had no loss of the social interaction capability as they did not avoid the empty box and other C57 mice [53, 112], except for the resident CD1 mouse. Furthermore, C57 intruder mice had no loss of auditory ability since they responded to the battle sound as well as the sound pulses (Figure SM4).\n\n\n### The test of schizophrenia-like behaviors\nSchizophrenia as one severe psychiatric disorder is featured by psychological mania and negative moods. The symptoms and signs of psychological mania mainly include hallucination, delusion and misbelief. The symptoms and signs of negative mood include anhedonia, social withdrawal and anxiety [1–6, 10]. The hallucination refers to the status in that persons believe to sense some signals and messages, especially auditory signals, from their environments, but not realistically present [114, 115]. The hallucination state in the animals has been examined by the pre-pulse inhibition test to measure their hypersensitivity in response to their environmental clues [116, 117], which is also one feature in schizophrenic patients [118]. This hypersensitivity mainly results from the decrease of the sensory threshold to detect the signals from their environments. The decrease of the sensory threshold in the auditory sensation may cause the weak sounds in the environments to be amplified to an alert sound or the scare signal, and even create new types of sensation, e.g., the pain from the internal ears. The decrease of the sensory threshold in the tactile sensation may cause the normal touch to be felt as the pain stimulus. In this regard, the stimulus threshold in the pre-pulse inhibition test may also be changed. Thus, the measurements of the pre-pulse inhibition and the response threshold to sound pulses can be used to test the hypersensitivity of the hallucination status.\nThe delusion refers to the state that manic persons believe the presence of certain situations around themselves, which are not realistically present, or called as misbelief [119–122]. The typical delusion in schizophrenic patients is characterized as the persecutory delusion. The persecutory delusion is presumably developed when their behaviors in response to the scared environments emerge under the condition of the absence of the scared signals [123, 124]. Based on this definition of the persecutory delusion for schizophrenic patients, we have designed and developed a persecutory delusion test for the rodents including mice, rats and so on. The persecutory delusion is expressed when the scare behaviors including the body arches, limbs’ tremor and interrupted steps in response to the scare signals (Figure SM5-6) emerge under the normal condition or without the presence of the stress signals (Fig. 1K-P). In other words, the result in that intruder mice show the scare behaviors under the normal condition or without receiving any of scared signals is judged to be the emergence of the persecutory delusion (please compare Figure S6 and Fig. 1K-P). Through examining the emergence of the body arches, limb tremor and interrupted steps in intruder mice in the absence of the stress signals, or the absence of a CD1 resident mouse, we are able to conclude whether the persecutory delusion emerges or not.\nWhen the intruder C57 mice showed the hallucination-like behavior, delusion-like behavior, depression-like behavior and anxious state, they were thought of as emerging schizophrenia-like behaviors induced by the social stress.\n\n\n### Hallucination-like behaviors are identified by the tests of pre-pulse inhibition and sensory threshold\nThe hypersensitivity of schizophrenic mania was examined by the pre-pulse inhibition test and the responsive threshold test to sound pulses. The standard approach of the pre-pulse inhibition test [116, 117, 125–127] was utilized in our experiments to examine the emergence of the hypersensitivity in schizophrenia-like behaviors from those intruder mice in comparison with the control mice. Each of those mice from controls and various intruder subgroups in the pre-pulse inhibition test was conducted in a small open-field cage that was attached on a pressure sensor to sensitively detect the pulse weight due to mouse jumps. A timeline for the pre-pulse inhibition test included an adaptation period, pulse one, irregular pulses’ intervals and pulse two. The mice in this adaption period received 65 dB background sound about 2 min in this open-field cage. Pulse one was set at 120 dB for the sound strength and 40 milliseconds (ms) by 5 times in total 30 seconds for the sound duration. Irregular sound pulses in the intervals consisted of 65-120 dB and 40 milliseconds with 40-100 millisecond intervals about 20 min. The features of pulse two were identical to pulse one. That is, the protocol of the pre-pulse inhibition test consisted of two sound pulses with 120 dB in the strength and 30 seconds in the duration plus the intervals of 20 min for irregular sound pulses (please see one Table in Figure SM5A). The digital traces of mouse responses to sound pulses are presented in Figure SM4B-C.\nIn the judgement of the hypersensitivity of experimental mice, the following theories have been taken into account. Normally, the mice appeared frequent jumps on an open-field cage in response to the strong sound signals, and their response strengths were larger in pulse one than pulse two. The difference of response strengths between pulse two and pulse one was negative under the normal condition or in the control mice. The ratio of response strength in pulse two to that in pulse one was less than one under the normal condition or in control mice. The decreased response to sound pulses after the first sound pulse and the irregular sound pulses was thought of as the role of inhibitory neural circuits in the sensation and behaviors [116, 117, 128]. As GABAergic neuronal circuit dysfunction has been detected in the schizophrenia patients [129–131], those intruder mice with schizophrenia-like behavior might show the decreased ratio of response two to response one in the pre-pulse inhibition test. The measurements in our studies included the difference of the response strength in pulse two and the response strength in pulse one (R2-R1) or the ratio of this difference to the response strength in pulse one (R2-R1)/R1.\nIn addition to a decreased response in the pre-pulse inhibition test, the hypersensitivity due to the decreased sensory threshold might cause weak environment stimulations to be amplified to the alert sound and scared signal. The stimulus threshold of the pre-pulse inhibition test might be reduced, such that we have modified the pre-pulse inhibition test. In this modified test, the strengths of sound pulses after the pre-pulse inhibition test were reduced sequentially from 120 dB to 70 dB to merit the threshold of mouse responses (the times and strengths of mouse jumps on the open-field cage) to these sound pulses. The measurements of the response thresholds to sound pulses included the minimal stimulus for mice to jump in response to these sound pulses (stimulus threshold) as well as the mouse response strength that was the ratio of the dynamic weight due to jumps to the static weight. The significant reductions of the stimulation threshold after the pre-pulse inhibition test as well as the increase of their response strength indicated the possibility that these sound stimulations had been converted into the scared signal or the painful signal in the auditory system in those mice with schizophrenia-like behaviors. This shifting of the sensation to sound pulses toward the sensation to the pain in the ears by these sound pulses or toward some scared signals in the emotion might cause the situation similar to the hallucination based on the hypersensitivity in the sensations to various stimulations and in the emotion to the scared signals, which were not present realistically.\n\n\n### Delusion-like behaviors are identified by persecutory delusion test\nBased on the definition of the delusion, i.e., the false belief about the presence of unrealistic situations, the persecutory delusion was presumably expressed in the mice when their behaviors in response to the scared environments emerged under the non-scared condition. In terms of the mechanisms underlying the persecutory delusion, the decrease of the sensory threshold in the schizophrenic patients or mice might be associated with the expansion of these super sensitivity and activity in the sensory cortices to the prefrontal cortices and other brain areas, so that they expressed weird memories and disorganized thoughts. In other words, the decreased sensory thresholds in the pre-pulse inhibition test might be changed further to cause false beliefs and disorganized thoughts, or the delusion in mind. What mouse behaviors in response to the scared environments emerged under non-scared conditions was thought of as the expression of the persecutory delusion.\nBy using the self-programmed artificial intelligence (AI) to recognize behaviors in C57 mice under the condition of facing to a resident CD1 mouse, we measured the following parameters of behaviors from C57 mice and defined their fear responses to this resident CD1 mouse, including the angles of their back arch, the frequencies of their body shaking and the traces of their motion in the cage. The measurements and statistical analyses of these parameters are shown in Figure SM6. The behaviors of C57 mice in their back arch to be the smaller included-angle, the frequent body shaking and the less motion due to the higher tension of limbs’ muscles were thought of as their fear response to the resident CD1 mouse. In the measurement of the back arch of C57 mice based on images from a video recorder that were annotated by using DeepLabCut (DLC) to label their bodies, three points were set for AI’s recognitions in those C57 mice, including the nose tip, the middle top in spinal back and the tail root. These data about the labels of the mouse bodies were used for training the AI’s neural network to learn and to estimate these points accurately, and to read out these points precisely in subsequent analyses. With the connection of such three points, the included angle based on the middle top of the spinal back were measured. As those C57 mice fearing to a resident CD1 mouse appeared to be frequent bend in their back and body shaking, the included angles based on the middle top of their spinal back might become smaller and quickly fluctuated. In the measurement of the body shaking of C57 mice, the frequencies in their quick motions in these three points of their bodies were recognized and measured by this AI’s neural network. The C57 mice fearing to a resident CD1 mouse appeared the high frequency of body shaking. In addition, this self-programmed software utilized for AI’s recognition was also used to monitor the total traces of mouse motions in the cages.\nThe measurements of fear responses in C57 mice have been conducted in the cages with the presence of the resident CD1 mouse (the scared environment) and without the presence of this resident (none scare environment). It is noteworthy that the interval of the persecutory delusion test between with the scared environment and the none scared environment was above three hours to prevent the interactive influence from these two conditions, and that the cages for this test were not for the living houses for resident mice and intruder mice. What the fear behaviors in the scared environment emerged in the absence of this resident mouse were thought of the persecutory delusion. The comparison of those C57 mice among the groups of control, intruder, intruder plus dopaminergic receptor-II knockdown and intruder plus scramble control in face to the resident CD1 mouse and with no resident CD1 mouse would indicate whether those C57 mice expressed persecutory delusion-like behavior. If the intruder C57 mice demonstrated significantly fear behaviors without the presence of the resident mouse, including the smaller included angles, the frequent body shaking and shorter motion traces, they were presumably in the status of the persecutory delusion-like behaviors.\n\n\n### Depression-like behaviors are identified by the sucrose preference test and the Y-maze test\nAnhedonia, interest loss and social withdrawal as depression-like behaviors were assessed after C57 mice experienced resident/intruder paradigm or were treated as the control for three weeks. Anhedonia was evaluated by the sucrose preference test (SPT). Loss of interest to their partners and social withdrawal were assessed by using the Y-maze test (YMT) [57, 132–136]. The SPT was performed by measuring mouse ingestions of 1% sucrose water versus pure water in two hours. The SPT values were the ratio of ingested sucrose water to total water including the sucrose water plus pure water. The YMT was operated by monitoring the mouse stay time in a special arm and other arms. The end of this special arm included a female mouse (i.e., M-arm). In five min of measurements in the YMT, the ratios of the stay time in the M-arm to the stay time in three arms were calculated. The SPT and YMT were given before and after the resident/ intruder paradigm. All of these measurements and carefulness in the detailed protocols were given in our previous publications [135–137]. With the sufficiency of these two tests above for assessing depressive mood, we did not used the tail suspension test and the forced swimming test in that the stressful condition may influence the judgement of mood state.\nDepression-like behaviors were accounted when intruder mice showed the decreases in the sucrose preference and M-arm stay time, in comparison with the values during their self-control period (week one for an adaption) and in control mice. The significant changes in these tests for each mouse were accepted if the SPT and YMT values attenuated over 20% of their self-controls. These criteria were based on the averaged values in our previous studies [58, 59, 135, 136, 138, 139]. The mice with significant changes in these two tests were thought of as depression-like mice induced by a resident/intruder paradigm [58, 59, 138]. The control mice and intruder mice with depression-like behaviors and other symptoms were further studied in neuronal functions, synapse innervations and mRNA/protein analyses in the medial prefrontal cortex, the auditory cortex and the S1Tr cortex.\n\n\n### Anxiety-like behaviors were identified by an elevated-plus maze\nThe anxious state in C57 mice induced by the resident/intruder paradigm was evaluated by an elevated-plus maze (EPM), which was thought to be a validated and classic method to assess the level of anxiety in rodents [140, 141]. In the typical EPM, two open with 30 cm in the length, 5 cm in the width and 0 cm in the wall height were opposite to two closed arms with 30 cm in the length, 5 cm in the width and 15.25 cm in the wall height. Such crossed arms were extended from a central platform (5 cm × 5 cm). The height of the EPM’s arms and central plate was 40 cm above the floor. All of these experiments were performed between 8:00 to 14:00. In general, those mice avoided the open field, however, they were going to explore new environments for the food and social partners. The avoidance of the mice to the open field was measured by the duration when these mice stayed in the closed arms, or the duration in the closed arms versus total experiment time. The exploration of the mice to the new environment was measured by the entry times into open arms. Thus, the exploration times and the stay duration in the closed arms were utilized to evaluate the level of anxious state, which were recorded by an automatic video-tracking system for five min. The C57 mice were placed at the central platform of the EPM in face to one of the closed arms at the beginning of experiments. The behavior that the mice spent more time in the closed arms and had low exploration times to the open arms was presumably the higher level of anxious state [142, 143].\n\n\n### The identification of associative memory cell\nAssociative memory neurons were defined as the neurons that received convergent synapse innervations including newly formed synapses and previously formed synapses as well as encoded multiple signals brought by these synapse inputs [65, 93, 95, 96, 144]. The associative memory neurons were recruited based on the principle of coactivity together and interconnections together among the neurons by a chain reaction including the intensive action potentials, epigenetic events as well as gene and protein expressions in relevance to new axonal projection and synapse formation. The associative memory neurons among cross-modal cortices and within intramodal cortex were featured by their synapse interconnections, such that each of them received new synapse innervations from active neurons alongside innate synapse inputs as well as encoded the signals inputted by these axons and synapses [65, 93, 95, 96, 99, 144]. The stressful signals in the resident/intruder paradigm were dissected into distinct modal signals that could be sensed by their correspondent sensory systems of intruder mice. The battle sound generated in the attack of the resident CD1 mouse to intruder C57 mice was detected and transmitted to the auditory cortex by the auditory system. The painful signal from body-injury regions bitten by the resident CD1 mouse was detected and transmitted into the S1Tr cortex by the somatosensory system. The images of resident CD1 mouse and their fighting were detected and transmitted into the visual cortex by the visual system. This resident/intruder paradigm drove intruder C57 mice to associatively learn these auditory, somatosensory and visual signals. In other words, the stress signals in the joint storage and the reciprocal retrieval of this associative fear memory included the auditory signal (the battle sound generated during their fighting), the somatosensory signal (the pain signal from body-injury regions) and the visual signal from the resident CD1 image and fight scene. The retrievals of fear memory to the resident CD1 mouse in intruder C57 mice might be induced by seeing this resident CD1 mouse, hearing the battle sound or receiving the painful stimulus in body-injury areas. New synapse interconnections might be detected by neural tracing morphologically among S1Tr, auditory and visual cortices. Convergent synapse innervation might be detected on prefrontal cortical neurons by neural tracing. Associative memory neurons that encoded somatic stimuli, battle sound and CD1 images might be recorded by electrophysiological approach in these cortical regions [99].\n\n\n### Neural tracing to localize associative memory neurons\nThe morphological identification of interconnections among medial prefrontal cortex, S1Tr cortex and auditory cortex was traced by gene-coded fluorescent proteins carried by adeno-associated viruses (AAV) [93–96, 98, 99]. A few subtypes of AAV2s with CMV-promoter were used in our experiments, e.g., AAV2-CMV-GFP, AAV2-CMV-BFP, and AAV2-CMV-tdTomato (OBiO Inc., Shanghai China). In the study of synapse interconnections among these cortices, AAV2-CMV-GFP was injected in the S1Tr cortex (-1.5 mm posterior to the bregma, 1.5 mm lateral to the middle line and 0.5 mm depth away from the bregma; from the brain map [145]), AAV2-CMV-tdTomato was injected in the auditory cortex (-2.0 mm posterior to the bregma, 4.0 mm lateral to the middle line and 1.6 mm depth away from the bregma) as well as AAV2-CMV-EBFP was injected in the medial prefrontal cortex (1.8 mm anterior to the bregma, 0.4 mm lateral to the middle line and 1.7 mm depth away from the bregma) three days before the resident/intruder paradigm. These microinjections were done by using glass pipettes controlled from the microsyringe held with three-dimensional stereotaxic apparatus (RWD Life Science, Shenzhen, China). The AAV microinjections were about 0.2 μl in the volume and 30 min for the duration. AAV-CMV-GFP was uptaken and expressed in S1Tr cortical neurons, where the green fluorescent protein (GFP) was produced. The GFP was transported to entire axons at the target areas in an anterograde manner, so that axon boutons and terminals were labelled by the GFP. AAV-CMV-tdTomato was uptaken and expressed in the auditory cortical neurons, where the red fluorescent protein (RFP) was produced. The RFP was transported to entire axons at the target areas in an anterograde manner, so that axon boutons and terminals were labelled by the RFP. AAV-CMV-EBFP was uptaken and then expressed in the prefrontal cortical neurons, where the blue fluorescent protein (BFP) was produced. The BFP was transported to entire axons at the target areas in an anterograde manner, so that axon boutons and terminals were labelled by the BFP [93–96, 98, 146].\nIn the study of the interconnections among medial prefrontal, auditory and S1Tr cortices, our strategies and approaches were the detection of fluorescent-labelled axonal boutons in the target areas, as fluorescent proteins had been injected in the source areas [98, 99]. As the RPF was injected and expressed in the auditory cortex, the detection of RFP -labelled axons in the S1Tr cortex implied the projection of axons of auditory cortical neurons to the S1Tr cortex. As the GPF was injected and expressed in the S1Tr cortex, the detection of GFP -labelled axons in the auditory cortex implied the projection of axons of S1Tr cortical neurons to the auditory cortex. These two results together endorsed the formation of the interconnections between the S1Tr cortex and the auditory cortex in the intruder mice after the resident/intruder paradigm. Similar strategies were used to examine synapse interconnections between the medial prefrontal cortex and the auditory cortex as well as between the medial prefrontal cortex and S1Tr cortex, based on the approach that the BFP expressed in the medial prefrontal cortex, the RFP expressed in the auditory cortex and the GFP expressed in the S1Tr cortex.\nIn the study of convergent synapse innervations on medial prefrontal cortical neurons from the auditory cortex and the S1Tr cortex, or associative memory neurons in the medial prefrontal cortex, AAV2-CMV-tdTomato was microinjected in the auditory cortex and AAV2-CMV-GFP was injected into the S1Tr cortex. These AAVs were uptaken and expressed at those neurons in the injected areas, where fluorescent proteins were produced. The RFP in the auditory cortex and the GFP in the S1Tr cortex were transported toward the entire axons at the target areas, where these RFP- and GFP-labelled axon boutons and terminals could be detected. When the RFP- and GFP-labelled axon boutons were detected in the medial prefrontal cortex, especially on those spines from individual dendrites of medial prefrontal cortical neurons, these prefrontal cortical neurons were recruited as the associative memory neurons by receiving the convergent synapse innervations, or the morphological identification of the associative memory neurons [93–96, 98]. This strategy was also used to identify the recruitment of associative memory neurons in the auditory cortex and the S1Tr cortex. AAV injections three days before a resident/intruder paradigm allowed the mice to be recovered from this injection operation for experiencing the subsequent experimental manipulations [99].\nAfter those AAV-carried genes were microinjected in intruder and control mice about three weeks when the resident/intruder paradigm was administered, these mice were anesthetized by 2% pentobarbital sodium through the intraperitoneal injections, as well as perfused by 50 ml of 0.9% saline and then 50 ml of 4% paraformaldehyde through the left ventricle until their bodies were rigid. The brains were rapidly isolated and post-fixed in 4% paraformaldehyde for additional one day. The cerebral brains were sliced by the vibratome in a series of coronal sections with the thickness of 100 μm. In order to clearly show three-dimensional images about new synapses in cortices, brain slices were placed in a Sca/eA2 solution for 10 min to make them transparent [95, 147]. These brain slices were rinsed by the phosphate buffer solution for three times, air-dried and cover-slipped. The images of cortical neurons, dendrites, dendritic spines, axon boutons and synapse contacts were taken and collected under a confocal microscope with a 60X lens for high magnification (Nikon A1R plus). The anatomic images of the cerebral brains were taken by this confocal microscope with a 4X lens for low magnification. In C57BL/6 J Thy1-YFP mice, postsynaptic neuron dendrites and spines were genetically labelled by the YFP. Presynaptic axon boutons were labelled by the GFP, BFP and/or RFP produced from the AAV-CMV-FPs being microinjected, respectively. Those contacts between yellow dendritic spines and green, blue or red presynaptic axon boutons with less than 0.1 μm space cleft were chemical synapses presumably [95, 98, 99]. The wavelength of excitation laser beam 488 nm was used to activate the GFP and the YFP. The wavelength of the excitation laser beam 561 nm was utilized to activate the RFP. The wavelength of the excitation laser beam 405 nm was used to activate the BFP. The wavelengths of the emission spectra of the BFP, GFP, YFP and RFP were 412-482 nm, 492-512 nm, 522-552 nm and 572-652 nm, respectively. The images of dendritic spines, axon boutons and synapse contacts were analysed by ImageJ and Imaris quantitatively [95, 99]. Associative memory neurons were accepted when axonal buttons from two sources convergently innervated to dendritic spines on one of YFP-labelled cortical neurons [65, 93, 99].\n\n\n### Electrophysiological neuron recordings to identify associative memory neurons\nBefore the electrophysiological recording of the neurons in the prefrontal cortex, the auditory cortex and the S1Tr cortex, those mice in the intruder group with fear memory and schizophrenia like-behaviors or control group were anesthetized by intraperitoneal injections of urethane (1.5 g/kg) for surgical operations. The body temperature was kept at 37°C by computer-controlled heating blanket. The craniotomy (2 mm in diameter) was made on the mouse skull above the left side of the prefrontal, auditory or S1Tr cortices [98]. The in vivo electrophysiological recordings at these cortical neurons was conducted in the mice under light anesthetic condition with the withdrawal reflex by pinching fingers, the eyelid blinking reflex by air-puff and the muscle relax. The unitary discharges of these cortical neurons in the category of local field potential (LFP) were recorded in layers II-III of these cortical areas by using glass pipettes filled with a standard solution (150 mM NaCl, 3.5 mM KCl and 5 mM HEPES). The resistance of those recording pipettes was 30 MΩ. The electrical signals of these cortical neurons in their spontaneous spikes and evoked-spikes by the battle sound replayed by an audio recorder or the somatic stimulus to injury areas were recorded and acquired by the AxoClamp-2B amplifier and the Digidata 1322 A and as well as analyzed by a pClamp 10 system (Axon Instrument Inc. CA, USA). These spiking signals were digitized at 20 kHz and filtered by low-pass at 5 kHz. The 100-3000 Hz band-pass filter and the second-order Savitzky -Golay filter were used to isolate spike signals. The normalized spike frequencies in response to the battle sound and the somatic stimulus were the ratios that the spike frequencies in response to the stimulations were divided by spontaneous spike frequencies 30 seconds before the stimuli. If the ratio of the evoked-spike frequencies to spontaneous spike frequencies was 1.5 and above, cortical neurons were deemed as the response to the stimulations [93–98, 148]. Associative memory neurons were accepted by the situations that those neurons in the medial prefrontal cortex, auditory cortex and S1Tr cortex responded to two sources of the stress signals [65, 93, 99].\nIn terms of associative memory neurons in primary versus secondary in nature, we assumed that the associative memory neurons in the prefrontal cortex were secondary and the associative memory neurons in auditory and S1Tr cortices were primary. This assumption was based on the fact that the prefrontal cortex was allocated at the downstream of sensory cortices, such as the auditory cortex and the S1Tr cortex anatomically, in the signal flow from sensory systems to the cognition system and the motion system [65]. In this regard, we accepted those associative memory neurons in the prefrontal cortex as the secondary identity if their responses to sensory inputs disappeared, when the activities of the neurons in its upstream areas including the auditory cortex and the S1Tr cortex were blocked. Experiments were conducted by recording the activities of prefrontal cortical neurons in response to the battle sound and somatic stimulus as well as by blocking the activities of auditory and S1Tr cortical neurons with 100 μM CNQX and 50 μM D-AP5 that were the antagonists of inotropic glutamatergic receptor-channels. When the responses of associative memory neurons in the medial prefrontal cortex to the battle sound and the somatic stimulus disappeared by using the antagonists of inotropic glutamate receptors, the associative memory neurons in the medial prefrontal cortex were secondary in nature, i.e., the second-order of associative memory neurons.\n\n\n### The study of molecular mechanisms for the recruitment of associative memory neurons\nIn the study of roles of dopaminergic receptor-II in the formation of new synapse innervation and in the recruitment of associative memory cells in the medial prefrontal cortex and its connecters, dopaminergic receptor-II mRNA was downregulated by its specific shRNA that was carried with AAVs and microinjected in the medial prefrontal cortex in intruder plus dopaminergic receptor-II knockdown mice [149–153]. In the meantime, the control was done by the shRNA scramble microinjection in the medial prefrontal cortex in the intruder plus scramble control mice. By the microinjections of AAV2-CMV-U6-DR2-GFP (pAAV[shRNA]-GFP-U6-DR2) in the medial prefrontal cortex (1.8 mm anterior the bregma, 0.4 mm lateral to the middle line and 1.7 mm depth away from the bregma) three days before the resident/intruder paradigm for associative learning, this approach was expected to reduce dopaminergic receptor-II expression in the prefrontal cortices (Figure SM3) as well as to prevent the formation of new synapse innervations from auditory and S1Tr cortices and the recruitment of associative memory cells in the medial prefrontal cortex. Experiments in dopaminergic receptor-II knockdown were jointly conducted with AAV-mediated neural tracing and electrophysiological recordings to examine the effectiveness of this molecular manipulation on the morphology and the function of associative memory neurons’ recruitment. After an associative learning by the resident/intruder paradigm, those mice from the subgroups in the intruder group including intruder plus dopaminergic receptor-II knockdown and intruder plus scramble controls were examined in their behavioral tasks in relevance to fear memory and schizophrenia-like signs (Figures SM7-9), the morphological convergent synapse innervations on medial prefrontal cortical neurons and the electrophysiological recording of prefrontal cortical neurons in response to the battle sound and the somatic stimulus. The quantities of the medial prefrontal cortical neurons in response to the two stress signals were analyzed in two subgroups. The effectiveness of shRNA specific for dopaminergic receptors-II on new synapse formations and associative memory neuron recruitment would be confirmed if the numbers of the new synapse contacts and associative memory neurons in the group of intruder plus dopaminergic receptor-II knockdown mice were significantly lowered compared with the scramble control group.\nIn terms of the production of DR2 shRNA, we commissioned Obio Technology Corp., Ltd. in Shanghai, China to design shRNA that targeted DR2 based on the transcripts of mouse DR2 gene, to pack the precursor of shRNA into multiple cloning site of AAV2 as well as to synthesize primers for quantitative RT-PCR. Three sequences were selected based on the homology to mouse DR2 mRNA (NM_010077.3). To prevent nonspecific binding, we assessed these sequences by using a NCBI Basic Local Alignment Search Tool. These sequences included CCGTTATCATGAAGTCTAATG (DR2RNAi01), CCCAGGATTGCCAAGTTCTTT (DR2RNAi02) and CATTGTTCTTGGTGTGTTCAT (DR2RNAi03). The sequence for the scramble control of DR2 shRNA (CCTAAGGTTAAGTCGCCCTCG) did not correspond to any one of known sequences for mouse species. Furthermore, we verified the efficacy of these sequences to knockdown DR2 mRNA by using quantitative PCR (qPCR) and DR2 protein by using western-blot analysis. For the experiments in this study, we have selected sequence 3, as it showed more effectiveness in the pilot experiment (experimental data in Figure SM3). That is, the shRNA designed to knock down dopaminergic receptor-II has been proved to be their effectiveness on the expression levels of dopaminergic receptor-II.\nThe role of dopaminergic receptor-II in supporting the function of associative memory cells in the medial prefrontal cortex was tested by injecting the antagonist of dopaminergic receptor-II, eticlopride [154–156], into the medial prefrontal cortex. The concentration of eticlopride being injected in the medial prefrontal cortex was 1.325 nM in the optimal effectiveness with a lower dosage as possible, based on our study in the dose-response (Figure SM10A-F). The role of dopaminergic receptor-II in fear memories and schizophrenia-like behaviors was examined by the intraperitoneal injections of eticlopride. Its dosage for intraperitoneal injection was 0.075 mg/kg nM in an optimal effectiveness with a lower dosage as possible, based on our study in the dose-response (Figure SM10G-L). The behaviors in response to the presence of the resident CD1 mouse are represented in Figure SM11 as the index for examining the behaviors of those mice in the absence of resident CD1 mouse and for finding out the changes of their schizophrenia-like behaviors.\n\n\n### Statistical analyses\nThe ANOVA was used for the comparisons of experiment data including behavioral tasks, axon boutons, synapse contacts and neuronal responses to the battle sound and the pain stimulus in those mice from control and resident/intruder paradigm groups. The ANOVA was also used for the statistical comparison of the changes in neuronal activities and morphology from two groups of intruder plus shRNA scramble control mice and intruder plus dopaminergic receptor-II knockdown (DR2-KD) mice. The X2-test was used for the statistical comparisons of the alternations in the percentages of associative memory neurons identified by electrophysiological study in vivo. The variation of the behavioral tasks was calculated as covariances (please refer to supplement tables one and two, Table S1 and Table S2). The sample size was set by no less than nine samples for behavioral tasks and no less than twenty neurons from five mice in cellular morphological and functional studies.\n\n\n### Results\nIn this section, we present experimental evidences about the stress-induced recruitment of associative memory neurons in mPFC-centered neural circuits that encode the fear memory and schizophrenia by dopaminergic receptors-II. After intruder mice experienced the social stress in a resident/intruder paradigm, a social interaction test was used to examine the formation of their fear memory to resident mouse. The pre-pulse inhibition test, the persecutory delusion test and other mental tests were used to examine the formation of schizophrenia-like behavior. The neural tracing by AAV-carried genes of fluorescent proteins and electrophysiological recordings in vivo were used to examine the recruitment of associative memory neurons among medial prefrontal, auditory and S1Tr cortices. The knockdown of mRNA that encoded dopaminergic receptor-II by its specific short-hairpin RNA was used to test the roles of dopaminergic receptor-II in the formation of new synapses and the recruitment of associative memory cells for schizophrenia-like behaviors induced by the social stress.\nThe formation of fear memory specific to the resident CD1 mouse in intruder C57 mice was examined by the social interaction test [53, 62, 112, 113, 157]. The avoidance of intruder mice to this resident mouse as the index of fear memory onset was merited by seeing the longer differences of the stay time in the interaction zone between the presence of the resident mouse and the absence of this resident. Heat-maps in Fig. 1B show that one of intruder mice appears to stay away from an interaction zone in the presence of the resident mouse (target), compared to stay near this interaction zone in the absence of the resident (no target), similar to control mice that stay nearby the interaction zone. The differences of the stay time in the interaction zone between the presence of a resident mouse and the absence of this resident mouse are 33.3 ± 8.4 seconds in control mice (n = 18) and -91.5 ± 4.8 seconds in intruder mice (n = 18, p < 0.0001, ANOVA, Fig. 1C). The avoidance of those intruder mice to the resident mouse indicates the emergence of the fear memory specific to this resident mouse in these intruder mice.\nIn schizophrenia patients, the psychological mania is featured by hallucination and delusion, and the negative mood includes the anhedonia, social withdrawal and anxiety [1–6, 10]. We assessed schizophrenia-like behaviors by the modified pre-pulse inhibition test for hypersensitivity and hallucination, the persecutory delusion test for delusion, the elevated-plus maze test for anxiety, the sucrose preference test for anhedonia and the Y-maze test for social withdraw. When intruder mice showed hallucination-like, delusion-like, anxiety-like and depression-like behaviors, they were thought of as schizophrenic mice.\nAnxiety-like behaviors were examined by an elevated-plus maze, as presented in heat-maps of figure for supplementary result (Figure SR1A). Less access to open arms in mice indicated their avoidance to open arms. The reduced percentage of stay time in open arms over total time on an elevated-plus maze after resident/intruder paradigms in intruder mice indicated their avoidance to open arms, or anxiety-like state. In this Figure SR1A, one of intruder mice stays in closed arms and away from open arms, and one of control mice seems to access open arms. The percentages of the stay time in open arms over the total time are 23.4 ± 1.1% in control mice (n = 20) and 4.2 ± 0.8% in intruder mice (n = 20; p < 0.001, ANOVA; Fig. 1D). Thus, the social stress by the resident/ intruder paradigm induces anxiety in intruder mice with fear memory, which endorses the data in the social interaction test (Fig. 1B, C).\nDepression-like behaviors were examined by the sucrose preference test for anhedonia and the Y-maze test for interest loss and social withdrawal [135–137, 158]. In heat-maps of Figure SR1B, one intruder mouse prefers to stay away from the interaction arm including its confidante, in comparison with one of control mice. The percentages of the stay time in the interaction arm over the total time within the Y-maze are 22.0 ± 3.3 seconds in intruder mice (n = 18) and 55.4 ± 2.5 seconds in control mice (n = 18, p < 0.0001, ANOVA; Fig. 1E). This result implies that intruder mice are loss of interest to their confidantes in the social activity. In the sucrose preference test, the percentages of sucrose water ingestion in total water ingestion are 48.0 ± 2.4% in intruder mice (n = 19) and 72.1 ± 1.9% in control mice (n = 19, p < 0.0001, ANOVA; Fig. 1F). Intruder mice express anhedonia to sugar. The social stress by the resident/intruder paradigm induces depression-like behaviors in intruder mice with fear memory.\nThe hypersensitivity of schizophrenic mania in intruder mice was examined by the pre-pulse inhibition test and the response capability to sound pulses. In the pre-pulse inhibition test (Fig. 1G), the response strength was calculated by the ratio of response differences between pulse two and pulse one to response one, (R2-R1)/R1. The values of this ratio are -0.18 ± 0.03 in control mice (n = 15) and−0.08 ± 0.02 in intruder mice with fear memory (n = 15; p = 0.0093, ANOVA; Fig. 1H). Moreover, the response capability to sound pulses was measured by the response threshold and the response strength. The response threshold to sound pulses was the response to the minimal sound pulse for mice to jump, which was calculated by jump times over 75 sound pulses. The response strengths were the levels of responses at the given sound pulses, which were calculated by the ratio of the dynamic weight due to the jumps to the static weight. The times of mouse jumps in 75 sound pulses at 80 dB are 21 in intruder mice with fear memory (n = 15) and 11 in controls (n = 15, p < 0.05, X2-test; the left panel in Fig. 1I). The times of mouse jumps in 75 sound pulses at 70 dB are 2 in intruder mice with fear memory and 4 in control mice (the right panel of Fig. 1I), which is less than mean±2 SD in total pulses. That is, the mouse jumps at 70 dB did not reach to the response threshold. In addition, the response strengths to sound pulses at 80 dB are 1.14 ± 0.02 in intruder mice (n = 10) and 1.06 ± 0.01 in control mice (n = 6, p < 0.05, ANOVA; the left panel of Fig. 1J). The response strengths to sound pulses at 90 dB are 1.15 ± 0.02 in intruder mice (n = 13) and 1.1 ± 0.01 in control mice (n = 10, p < 0.05, ANOVA; the right panel of Fig. 1J). The decreased response threshold and the increased response strength in the intruder mice with fear memory indicate the stress-induced hypersensitivity to sound signals in these intruder mice, i.e., schizophrenia-like mania.\nThe delusion of schizophrenic mania in the intruder mice was examined by the persecutory delusion test. The delusion of persecution refers to the situation that the scare-induced behaviors express in the absence of the scared signals, or spontaneously. In face to the resident mouse, the intruder mice appeared their back arches to small included-angles, the frequent tremors of their bodies and the less motion in open fields, or scare-induced fear responses to the resident mouse. If intruder mice showed such behaviors in the absence of the resident mouse, they were thought to be the state of persecutory delusion. In Fig. 1K, intruder mice appear frequent body tremors (red trace), compared to control mice (blue trace). The shaking frequencies are 0.27 ± 0.07 Hz in control mice (n = 12) and 2.39 ± 0.41 Hz in intruders (n = 11; p < 0.001, ANOVA; Fig. 1L). Moreover, the body arch in intruder mice appears smaller included-angle (red trace in Fig. 1M), compared with control mice (blue trace). The included angles of mouse back arch (degrees) are 104.0 ± 3.2 in control mice (n = 12) and 76.2 ± 4.7 in intruders (n = 11; p < 0.001, ANOVA; Fig. 1N). Additionally, an intruder mouse with fear memory appears less motion in an open field (red trace in Fig. 1O), compared with a control mouse (blue trace). The motion distances (cm/10 min) in this open field are 1.30 ± 0.2 ×105 in control mice (n = 12) and 0.5 ± 0.1 ×105 in intruders (red bar, n = 11; p < 0.001, ANOVA; Fig. 1P). The frequent body tremors, the dominant body arches and the less motion in the absence of the resident mouse imply that the intruder mice suffer from persecutory delusion.\nIntruder mice show the fear memory specific to resident mouse as well as the schizophrenic mania with the hyperactivities for hallucination and delusion plus the negative moods including depression-like and anxiety-like behaviors (Fig. 1Q). We further examined the stress-induced formation of neural circuits in relevance to fear memory and schizophrenia in prefrontal, auditory and somatosensory cortices. Our focus on these cortices to reveal cellular mechanisms, especially memory cells, was based on the following thoughts. Associative memory neurons as basic units of memory trace have been found in the sensory cortices and the prefrontal cortex in associative learning and memory under physiological conditions [65, 93–101]. Fear signals in a resident/intruder paradigm to those intruder mice included the pain signal from body-injury areas to somatosensory cortices and the battle sound to the auditory cortex in associative learning under pathological conditions [53, 62, 112, 113, 157]. The recruitment of associative memory neurons to encode such fear signals for fear memory and schizophrenia in intruder mice was examined by morphological and functional approaches.\nMorphological interconnections among mouse cortices were examined by the neural tracing. AAV-carried genes of green or red fluorescent proteins (GFP or RFP) were injected in their source areas. GFP-labelled or RFP-labelled axon boutons were searched in their target areas [93, 95, 96, 99, 144]. Because cortical neurons in C57BL/6JThy1-YFP mice were genetically labelled by yellow fluorescent proteins (YFP), the contacts between GFP- or RFP-labelled axon boutons and YFP-labelled dendritic spines were presumably synapses [95, 98, 99, 144]. The rationale to study the interconnections and interactions among the medial prefrontal cortex, the auditory cortex and the S1Tr cortex is based upon the common view that the stressful signals including the battle sound and the painful signal from body-injury areas during resident/intruder paradigms are inputted to the auditory cortex and the S1-Tr cortex, respectively, and secondarily transmitted to the prefrontal cortex [65].\nIn the study of target areas of S1Tr cortical neurons and auditory cortical neurons, AAV-CMV -Oregon Green and AAV-CMV-tdTomato were injected in the S1Tr cortex and the auditory cortex, respectively (Fig. 2A). In comparison with control mice, the S1Tr cortical areas in intruder mice receives RFP-labeled axons from the auditory cortex (left panel in Fig. 2B), the auditory cortex areas in intruder mice receive GFP-labelled axons from the S1Tr cortex (middle panel in Fig. 2B), and the medial prefrontal cortices in intruder mice receive convergent synapse innervations from RFP-labelled axons of auditory cortical neurons and GFP-labelled axons of S1Tr cortical neurons (right panel in Fig. 2B). The densities of RFP-labelled axon boutons per mm3 in S1Tr cortices are 0.33 ± 0.01 ×105 in control group (n = 29 cubes from 9 mice) and 0.57 ± 0.05 ×105 in intruders (n = 30 cubes from 9 mice, p = 0.0003, ANOVA; Fig. 2C). The densities of GFP-labelled axon boutons per mm3 in auditory cortices are 0.04 ± 0.01 ×105 in controls (n = 28 cubes from 9 mice) and 0.57 ± 0.06 ×105 in intruder group (n = 30 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 2C). The social stress induces axon interconnections between S1Tr and auditory cortices. Furthermore, the densities of GFP-labelled axon boutons from S1Tr cortical neurons per mm3 in the medial prefrontal cortices are 0.20 ± 0.06×105 in controls (n = 38 cubes from 9 mice) and 1.21 ± 0.21×105 in intruders (n = 41 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 2D). The densities of RFP-labelled axon boutons from auditory cortical neurons per mm3 in the medial prefrontal cortices are 0.5 ± 0.08 ×105 in controls (n = 39 cubes from 9 mice) and 1.09 ± 0.20 ×105 in intruders (n = 40 cubes from 9 mice, p = 0.012, ANOVA; Fig. 2D). These data indicate stress-induced axon projections to the medial prefrontal cortex from S1Tr and auditory cortices.Fig. 2The social stress induces interconnections among auditory, S1Tr and mPFC.A Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Confocal microscopy images illustrate YFP-labeled postsynaptic dendrites and axonal innervations labeled with GFP and RFP in the S1Tr, AC, and mPFC. Red arrows denote axon boutons originating from the AC, green arrows indicate from the S1Tr. Scale bar, 20 μm. C Statistical analyses of the densities of fluorescently labeled axon boutons in the S1Tr and AC. (Area ×Group F(1, 113) = 9.446, P = 0.0027). D Same as C, but for the mPFC area. (Area ×Group F(1, 154) = 1.658, P = 0.1998). E Illustrating synapse contacts in S1Tr, AC, and mPFC. White boxes represent the newly formed synapse contacts. Axonal boutons from the S1Tr are labeled with GFP, axonal boutons from the AC are labeled with RFP. Scale bar = 10 μm; inset scale bar = 2 μm. F Statistical analyses synapse contacts in S1Tr and AC per 100 μm dendrite. (Area ×Group F(1, 129) = 0.0884, P = 0.7668) G Same as F, but for the mPFC area. (Area ×Group F (1, 250) = 52.05, P < 0.0001). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Top, virus schematics. Bottom,coronal section confocal images of the injection site. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Red arrows indicate boutons, white boxes represent the newly contacts. Scale bar = 20 μm, scale bar = 10 μm, inset scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. (J t(63) = 12.03. K t(70) = 5.702). L Same as I, but for the AC area. M, N Same as J, K but for the AC area. (M t(63) = 5.231. N t(62) = 5.739). Independent-samples t-test. S1Tr: primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m.\nA Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Confocal microscopy images illustrate YFP-labeled postsynaptic dendrites and axonal innervations labeled with GFP and RFP in the S1Tr, AC, and mPFC. Red arrows denote axon boutons originating from the AC, green arrows indicate from the S1Tr. Scale bar, 20 μm. C Statistical analyses of the densities of fluorescently labeled axon boutons in the S1Tr and AC. (Area ×Group F(1, 113) = 9.446, P = 0.0027). D Same as C, but for the mPFC area. (Area ×Group F(1, 154) = 1.658, P = 0.1998). E Illustrating synapse contacts in S1Tr, AC, and mPFC. White boxes represent the newly formed synapse contacts. Axonal boutons from the S1Tr are labeled with GFP, axonal boutons from the AC are labeled with RFP. Scale bar = 10 μm; inset scale bar = 2 μm. F Statistical analyses synapse contacts in S1Tr and AC per 100 μm dendrite. (Area ×Group F(1, 129) = 0.0884, P = 0.7668) G Same as F, but for the mPFC area. (Area ×Group F (1, 250) = 52.05, P < 0.0001). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Top, virus schematics. Bottom,coronal section confocal images of the injection site. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Red arrows indicate boutons, white boxes represent the newly contacts. Scale bar = 20 μm, scale bar = 10 μm, inset scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. (J t(63) = 12.03. K t(70) = 5.702). L Same as I, but for the AC area. M, N Same as J, K but for the AC area. (M t(63) = 5.231. N t(62) = 5.739). Independent-samples t-test. S1Tr: primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m.\nThe axon innervations on target neurons to make new synapses were examined by screening those attachments between the GFP- or RFP-labeled axon boutons from presynaptic neurons and the YFP-labeled dendritic spines on postsynaptic neurons, or synapse contacts [95, 98, 99, 144]. In comparison with controls, the left panel in Fig. 2E shows the reception of new synapse contacts on S1Tr cortical neurons from auditory cortical area in intruder mice, the middle panel in Fig. 2E shows the reception of new synapse contacts on auditory cortical neurons from S1Tr cortical area, as well as the right panel in Fig. 2E shows the reception of new synapse contacts on prefrontal cortical neurons from auditory and S1Tr cortical areas. Synapse contacts per 100 μm dendrite in S1Tr cortices are 1.6 ± 0.3 in control group (n = 37 dendrites from 9 mice) and 3.7 ± 0.3 in intruder group (n = 35 dendrites from 9 mice, p = 0.0001, ANOVA; Fig. 2F). Synapse contacts per 100 μm dendrite in auditory cortices are 3.1 ± 0.5 in controls (n = 26 dendrites from 7 mice) and 5.4 ± 0.5 in intruders (n = 35 dendrites from 7 mice, p = 0.001, ANOVA; Fig. 2F). These data indicate stress-induced synapse interconnections between S1Tr and auditory cortices. Moreover, the synapse contacts from S1Tr cortical neurons per 100 μm dendrite in prefrontal cortices are 0.7 ± 0.2 in controls (n = 71 dendrites from 12 mice) and 4.6 ± 0.4 in intruder group (n = 56 dendrites from 10 mice, p < 0.001, ANOVA; Fig. 2G). The synapse contacts from auditory cortical neurons per 100 μm dendrite in prefrontal cortices are 0.7 ± 0.1 in controls (n = 71 dendrites from 12 mice) and 1.40 ± 0.2 in intruders (n = 56 dendrites from 10 mice, p < 0.01, ANOVA; Fig. 2G). These data indicate the stress-induced convergent synapse innervations onto medial prefrontal cortical neurons from the S1Tr and auditory cortices.\nIn the study of axon targets of medial prefrontal cortical neurons, AAV2-CMV-tdTomato was injected in medial prefrontal cortices (Fig. 2H) and RFP-labelled axon boutons were screened in S1Tr and auditory cortices. In comparison with control mice, S1Tr cortical neurons in the intruder mice appear to receive more axon projections from the prefrontal cortex (left panel in Fig. 2I) and more synapse contacts from these axon boutons (right panel). Axon boutons per mm3 in S1Tr cortices are 0.19 ± 0.02 ×105 in control group (n = 35 cubes from 9 mice) and 0.67 ± 0.04 ×105 in intruder group (n = 30 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 2J). Synapse contacts per 100 μm dendrite on S1Tr cortical neurons are 0.0 ± 0.0 in controls (n = 34 dendrites from 6 mice) and 1.0 ± 0.20 in intruders (n = 38 dendrites from 8 mice, p < 0.0001, ANOVA; Fig. 2K). In addition, auditory cortical neurons in intruder mice appear to receive more axon projections from the prefrontal cortex (left panel in Fig. 2L) and more synapse contacts from these axon boutons (right panel), in comparison to control mice. Axon boutons per mm3 in auditory cortices are 0.08 ± 0.01 ×105 in control group (n = 30 cubes from 9 mice) and 0.29 ± 0.03 ×105 in intruder group (n = 35 cubes from 9 mice, p < 0.001, ANOVA; Fig. 2M). Synapse contacts per 100 μm dendrite on auditory cortical neurons are 0.0 ± 0.0 in controls (n = 29 dendrites from 8 mice) and 1.4 ± 0.20 in intruders (n = 26 dendrites from 8 mice, p < 0.001, ANOVA; Fig. 2N). Thus, the S1Tr and auditory cortical neurons in intruder mice with fear memory and schizophrenia-like behaviors receive new synapse innervations from the medial prefrontal cortex.\nFrom these morphological data, the social stress by the resident/intruder paradigm induces the synapse interconnections among auditory, somatosensory and medial prefrontal cortices, so that the cortical neurons in any one of these regions receive the synapse innervations from other two areas. Their synapse interconnections endorse the cortical neurons to encode and memorize associative fear signals in the social stress including the battle sound and the somatic signal for the formation of fear memories and schizophrenia-like behaviors. The recruitment of associative memory cells [65] in these cortices was examined by in vivo electrophysiological recordings.\nStress-induced synapse interconnections among the neurons in these cortices recruit them as associative memory neurons to encode the stress signals for fear memories and schizophrenia, similarly to the recruitment of associative memory neurons in associative learning [65]. For instance, auditory cortical neurons by receiving synapse innervations innately from the internal geniculate body and newly from the S1Tr cortex are recruited to encode battle sound and pain signal in the resident/intruder paradigm, or the other way around.\nElectrophysiological recordings in vivo were conducted in S1Tr cortices in the meantime to give battle sound and somatic signal. In comparison with one sample neuron in response to the somatic stimulation to back regions in control mice (blue trace in Fig. 3A), one of S1Tr cortical neurons in intruder mice appears to encode battle sound and somatic stimulus, i.e., associative memory neuron (red trace in Fig. 3A). The percentages of S1Tr cortical neurons in response to both sound and somatic signals are 3.91% in control group (n = 128 neurons in totally recorded from 9 mice) and 10.75% in intruder group (n = 120 neurons from 9 mice; p < 0.05, X2-test in Fig. 3B). The proportions of associative memory neurons and non-associative memory neurons are presented in Figure SR2A for control and intruder mice. Moreover, the activity strengths of S1Tr cortical neurons in response to battle sound and somatic stimulus were analyzed. Normalized spike frequencies at S1Tr cortical neurons in response to the battle sound are 1.2 ± 0.1 in control mice (n = 128 neurons) and 1.80 ± 0.3 in intruders (n = 120 neurons; p < 0.05, ANOVA; the left panel of Fig. 3C). Normalized spike frequencies at S1Tr cortical neurons in response to the somatic stimulus are 1.3 ± 0.1 in controls (n = 128 neurons) and 1.70 ± 0.2 in intruders (red bar, n = 120 neurons; p < 0.05, ANOVA; the right panel of Fig. 3C). More S1Tr cortical neurons to encode new battle sound and innate somatic signal as well as their high response strengths in intruder mice indicate the recruitment of these neurons to be the associative memory neurons and their functional upregulation induced by the social stress.Fig. 3Social stress recruits associative memory neurons.A Representative traces of spontaneous and evoked spikes in S1Tr neurons. Gray boxes represent the application of two stimuli, AS, battle sound. SS, somatic stimulus, which last for 30 s. B Percentage diagram illustrates the response of S1Tr neurons to both auditory and somatosensory signals (Ctrl, n = 128 neurons. Intruder, n = 120 neurons. Chi-square test, χ² = 4.265, P = 0.0389). C Statistical comparison of normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 466) = 0.1715, P = 0.6790. AS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons. SS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons). D Examples of spike recordings in the AC neurons. E Compared to other neuronal ensembles, the neurons ensemble in the Intruder group contained a higher proportion of AMC (Ctrl, n = 120 neurons. Intruder, n = 128 neurons. Chi-square test, χ² = 4.864, P = 0.0286). F Normalized spike frequencies in AC (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 492) = 0.1316, P = 0.9711). G Same as A, but for the mPFC area. H Same as B, but for the mPFC area. (Ctrl, n = 122 neurons. Intruder, n = 115 neurons. Chi-square test, χ² = 6.574, P = 0.0103). I Same as C, but for the mPFC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 524) = 0.2040, P = 0.6517). J Strategy for the application of antagonists to ionotropic glutamatergic receptors, coupled with the recording of neuronal activity via electrodes in the mPFC. K Example traces depict the recording of both spontaneous and evoked spikes before and after the application of antagonists. Blue triangles point to the application of antagonists, gray boxes indicate the reapplication of two stimuli (AS and SS). L, M Discharge frequency statistics standardized for antagonists and saline group (AS, t(8) = 5.880, P = 0.0004. SS, t(8) = 5.353, P = 0.0007. n = 9 mice for CNQX/D-AP5 and saline groups). CNQX 6-Cyano-7-nitroquinoxaline-2,3-dione, D-AP5 D-2-Amino-5-phosphonovaleric acid. Data are represented as mean ± s.e.m.\nA Representative traces of spontaneous and evoked spikes in S1Tr neurons. Gray boxes represent the application of two stimuli, AS, battle sound. SS, somatic stimulus, which last for 30 s. B Percentage diagram illustrates the response of S1Tr neurons to both auditory and somatosensory signals (Ctrl, n = 128 neurons. Intruder, n = 120 neurons. Chi-square test, χ² = 4.265, P = 0.0389). C Statistical comparison of normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 466) = 0.1715, P = 0.6790. AS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons. SS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons). D Examples of spike recordings in the AC neurons. E Compared to other neuronal ensembles, the neurons ensemble in the Intruder group contained a higher proportion of AMC (Ctrl, n = 120 neurons. Intruder, n = 128 neurons. Chi-square test, χ² = 4.864, P = 0.0286). F Normalized spike frequencies in AC (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 492) = 0.1316, P = 0.9711). G Same as A, but for the mPFC area. H Same as B, but for the mPFC area. (Ctrl, n = 122 neurons. Intruder, n = 115 neurons. Chi-square test, χ² = 6.574, P = 0.0103). I Same as C, but for the mPFC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 524) = 0.2040, P = 0.6517). J Strategy for the application of antagonists to ionotropic glutamatergic receptors, coupled with the recording of neuronal activity via electrodes in the mPFC. K Example traces depict the recording of both spontaneous and evoked spikes before and after the application of antagonists. Blue triangles point to the application of antagonists, gray boxes indicate the reapplication of two stimuli (AS and SS). L, M Discharge frequency statistics standardized for antagonists and saline group (AS, t(8) = 5.880, P = 0.0004. SS, t(8) = 5.353, P = 0.0007. n = 9 mice for CNQX/D-AP5 and saline groups). CNQX 6-Cyano-7-nitroquinoxaline-2,3-dione, D-AP5 D-2-Amino-5-phosphonovaleric acid. Data are represented as mean ± s.e.m.\nElectrophysiological recordings in vivo were also done in auditory cortices in the meantime to give battle sound and somatic signal. In comparison with one sample neuron in control mice in response to battle sound (blue trace in Fig. 3D), one of auditory cortical neurons in intruder mice appears to encode the battle sound and somatic stimulus (red trace in Fig. 3D). The percentages of auditory cortical neurons in response to somatic and sound signals are 5.83% in controls (n = 120 neurons from 9 mice) and 16.41% in intruders (n = 128 neurons from 9 mice; p < 0.05, X2-test in Fig. 3E). The proportions of associative memory neurons and non-associative memory neurons are shown in Figure SR2B for control and intruder mice. Moreover, normalized spike frequencies at auditory cortical neurons in response to battle sound are 1.2 ± 0.1 in controls (n = 120 neurons) and 1.7 ± 0.2 in intruder (n = 128 neurons; p < 0.01, ANOVA; the left panel of Fig. 3F,). Normalized spike frequencies at these auditory cortical neurons in response to the somatic stimulus are 1.3 ± 0.1 in controls (n = 120 neurons) and 1.90 ± 0.2 in intruders (n = 128 neurons; p < 0.05, ANOVA; the right panel in Fig. 3F). More auditory cortical neurons in intruder mice to encode innate battle sound and new somatic signal as well as their higher responsive strength indicate the recruitment of these neurons to associative memory neurons and their functional upregulation induced by the social stress.\nElectrophysiological recordings in vivo have also been done in medial prefrontal cortices in the meantime to give battle sound and somatic stimulus. In comparison with a sample neuron from control mouse in response to the somatic stimulus (blue trace in Fig. 3G), one of medial prefrontal cortical neurons in intruder mice appears to encode both somatic stimulus and battle sound (red trace in Fig. 3G). The percentages of medial prefrontal cortical neurons in response to somatic and sound signals are 4.92% in controls (n = 122 neurons in total recorded from 9 mice) and 14.78% in intruders (n = 115 neurons from 9 mice; p < 0.05, X2-test in Fig. 3H). The portions of associative memory neurons and non-associative memory neurons are shown in Figure SR2C for control mice and intruder mice. Moreover, normalized spike frequencies at medial prefrontal cortical neurons in response to the battle sound are 1.30 ± 0.1 in controls (n = 122 neurons) and 1.90 ± 0.1 in intruders (n = 115 neurons; p < 0.01, ANOVA; the left panel of Fig. 3I). Normalized spike frequencies at these medial prefrontal cortical neurons in response to the somatic stimulus are 1.3 ± 0.1 in control mice (n = 122 neurons) and 2.0 ± 0.2 in intruders (n = 115 neurons; p < 0.001, ANOVA; the right panel in Fig. 3I). More medial prefrontal cortical neurons to encode battle sound and somatic signal as well as their high responsive strengths in intruder mice indicate the recruitment of these neurons to associative memory neurons and their functional upregulation induced by the social stress.\nTherefore, the social stress recruits medial prefrontal, auditory and S1Tr cortical neurons to be associative memory neurons. As the signal flows in the cerebral cortex originate from sensory cortices to their downstream cortices in the frontal lobe, these associative memory neurons may fall into different grades, such as the first order in sensory cortices and the second order in the prefrontal cortex [65]. We have tested this hypothesis by the pharmacological blocking of sensory cortices to see whether the activity of associative memory neurons in medial prefrontal cortices disappeared.\nElectrophysiological recordings in vivo were conducted in the medial prefrontal cortices of the intruder mice to examine their responses to the battle sound and the somatic stimulus, while the antagonists of ionotropic glutamatergic receptors were used in S1Tr and auditory cortices to block their neuronal activity (Fig. 3J). A timeline to identify the secondary associative memory neurons in the medial prefrontal cortex was to record their responsiveness to battle sound and somatic stimulus, to perfuse CNQX and D-AP5 to S1Tr and auditory cortices in an interval period, and to record the activity of these associative memory neurons again (Fig. 3K). In comparison with the injection of saline in S1Tr and auditory cortices, the injections of CNQX/D-AP5 to these areas significantly suppress the spike-encoding of associative memory neurons to battle sound and somatic stimulus (Fig. 3L, M). These data support the hypothesis that associative memory neurons in the medial prefrontal cortex are the second-order in nature.\nIn the investigation of the role of secondary associative memory neurons within the medial prefrontal cortex in fear memories and schizophrenia-like behaviors of intruder mice, dopamine receptor-II was knocked down to examine whether this manipulation blocked the stress-induced recruitment of associative memory neurons and the stress-induced emergence of fear memories and schizophrenia-like behaviors.\nThe knockdown of dopaminergic receptors-II mRNA (D2R-KD) in the medial prefrontal cortex was conducted by microinjecting AAV2-CMV-U6-DR2-EGFP (pAAV[shRNA]-EGFP-U6-DR2) in this area before the C57 mice experienced the resident/intruder paradigm, or intruder plus D2R-KD. In the meantime, shRNA-scramble control was microinjected into the medial prefrontal cortex in intruder plus scramble control mice. In the morphological identification of associative memory neurons, AAV2-CMV-BFP, AAV2-CMV-tdTomato and AAV2-CMV-GFP were respectively injected in S1Tr, auditory and medial prefrontal cortices, while the pAAV[shRNA]-GFP-U6-DR2 was injected into the medial prefrontal cortex. After the mice experienced the resident/intruder paradigm, the electrophysiological recordings in vivo were conducted in medial prefrontal cortical neurons, and neural tracings were conducted in the S1Tr, auditory and medial prefrontal cortices in those mice from the groups of intruder plus DR2-KD and intruder plus scramble.\nIn the study of the influence of dopaminergic receptor-II knockdown on the interconnections between S1Tr cortical neurons and auditory cortical neurons, AAV-CMV-tdTomato was injected in the auditory cortex and AAV-CMV-BFP was injected in the S1Tr cortex (Fig. 4A). In comparison with intruder plus scramble control, the knockdown of dopaminergic receptor-II in intruder mice (intruder plus DR2-KD) appears to dilute the RFP-labeled axons from auditory cortical neurons to the S1Tr cortex (left panel in Fig. 4B), the BFP-labelled axons from S1Tr cortical neurons to the auditory cortex (middle panel) and their convergent synapse innervations onto medial prefrontal cortical neurons (right panel). RFP-labelled axon boutons per mm3 in S1Tr cortices are 0.60 ± 0.06 ×105 in intruder plus scrambles (n = 27 cubes from 9 mice) and 0.3 ± 0.04 ×105 in intruder plus DR2- KD (n = 34 cubes from 9 mice, p < 0.001, ANOVA, left bars in Fig. 4C). BFP-labelled axon boutons per mm3 in auditory cortex are 0.20 ± 0.05×105 in intruder plus scramble (n = 29 cubes from 9 mice) and 0.06 ± 0.01 ×105 in intruder plus DR2-KD (n = 37 cubes from 9 mice, p = 0.008, ANOVA; right bars in Fig. 4C). These data indicate that the dopaminergic receptor-II knockdown prevents the stress-induced interconnections between the S1Tr cortex and the auditory cortex. In addition, BFP-labelled axon boutons per mm3 from S1Tr cortical neurons to medial prefrontal cortices are 1.08 ± 0.22 ×105 in intruder plus scramble (n = 29 cubes from 8 mice) and 0.13 ± 0.04 ×105 in intruder plus DR2-KD (n = 30 cubes from 8 mice, p < 0.001, ANOVA; left bars in Fig. 4D). RFP-labelled axon boutons per mm3 from auditory cortical neurons to medial prefrontal cortices are 0.99 ± 0.18 ×105 in intruder plus scrambles (n = 39 cubes from 9 mice) and 0.5 ± 0.08 ×105 in intruder plus DR2-KD (n = 40 cubes from 9 mice, p < 0.001, ANOVA; right bars in Fig. 4D). These data indicate that the dopamine receptor-II knockdown prevents stress-induced axon innervations to medial prefrontal cortical neurons from auditory and S1Tr cortices.Fig. 4Drd2 knockdown reduces interconnections among AC, S1Tr and mPFC.A Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Representative confocal images depict axonal innervations from fluorescently labeled axons in the scramble and Drd2-KD groups. Red triangles point to boutons inputted from the AC, green triangles point to boutons inputted from the S1Tr. Scale bar, 20 μm. C Bar graph depicts the densities of axon boutons labeled with fluorescent markers in the S1Tr and AC (Area ×Group F(1, 123) = 2.461, P = 0.1193). D Same as C, but for the mPFC area (Area ×Group F(1, 134) = 2.362, P = 0.1267). E Illustrating synapse contacts in S1Tr, AC and mPFC. White boxes represent the newly formed synapse contacts. EBFP-labeled axonal bouton from S1Tr, RFP-labeled axonal boutons from the AC. Scale bar = 10 μm; inset scale bar = 2 μm. F Bar graph depicts Drd2-KD reduced the synapse contacts in the S1Tr and AC regions (Area ×Group F(1, 155) = 23.87, P < 0.0001). G Same as F, but for the mPFC area (Area ×Group F(1, 222) = 1.64, P = 0.2016). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Intersectional viral strategy for Drd2 knockdown of mPFC. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Green arrows indicate boutons, white boxes represent the newly contacts. Scale bar, 20 μm, scale bar = 10 μm, scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. J t(99) = 11.18. Each group, n = 9. K t(100) = 7.481. Each group, n = 9. L Same as I, but for the AC area. M, N Same as J, K, but for the AC area. M t(57) = 8.937. Scramble, n = 8. Drd2-KD, n = 9. N t(63) = 5.838. Each group, n = 9. Independent-samples t-test. Data are represented as mean ± s.e.m.\nA Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Representative confocal images depict axonal innervations from fluorescently labeled axons in the scramble and Drd2-KD groups. Red triangles point to boutons inputted from the AC, green triangles point to boutons inputted from the S1Tr. Scale bar, 20 μm. C Bar graph depicts the densities of axon boutons labeled with fluorescent markers in the S1Tr and AC (Area ×Group F(1, 123) = 2.461, P = 0.1193). D Same as C, but for the mPFC area (Area ×Group F(1, 134) = 2.362, P = 0.1267). E Illustrating synapse contacts in S1Tr, AC and mPFC. White boxes represent the newly formed synapse contacts. EBFP-labeled axonal bouton from S1Tr, RFP-labeled axonal boutons from the AC. Scale bar = 10 μm; inset scale bar = 2 μm. F Bar graph depicts Drd2-KD reduced the synapse contacts in the S1Tr and AC regions (Area ×Group F(1, 155) = 23.87, P < 0.0001). G Same as F, but for the mPFC area (Area ×Group F(1, 222) = 1.64, P = 0.2016). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Intersectional viral strategy for Drd2 knockdown of mPFC. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Green arrows indicate boutons, white boxes represent the newly contacts. Scale bar, 20 μm, scale bar = 10 μm, scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. J t(99) = 11.18. Each group, n = 9. K t(100) = 7.481. Each group, n = 9. L Same as I, but for the AC area. M, N Same as J, K, but for the AC area. M t(57) = 8.937. Scramble, n = 8. Drd2-KD, n = 9. N t(63) = 5.838. Each group, n = 9. Independent-samples t-test. Data are represented as mean ± s.e.m.\nThe influence of dopaminergic receptor-II knockdown on the synapse innervations to target neurons was analyzed by detecting the synapse contacts between FP-labeled axon boutons from presynaptic neuron and YFP-labeled dendritic spines on postsynaptic neuron. In comparison with intruder plus scramble control (bottom panels in Fig. 4E), dopaminergic receptor-II knockdown in intruder mice appears to attenuate new synapse contacts made by auditory cortical neuronal axons to S1Tr cortical neurons (left panel), new synapse contacts made by S1Tr cortical neuronal axons to auditory cortical neurons (middle panel) as well as convergent synapse contacts made by the axons from auditory and S1Tr cortices onto medial prefrontal cortical neurons (right panel). The synapse contacts per 100 μm dendrite on S1Tr cortical neurons are 1.60 ± 0.20 in intruder plus scrambles (n = 39 dendrites from 9 mice) and 0.60 ± 0.20 in intruder plus D2R-KD (n = 42 dendrites from 9 mice, p = 0.005, ANOVA; left bars in Fig. 4F). The synapse contacts per 100μm dendrite on auditory cortical neurons are 3.60 ± 0.40 in intruder plus scrambles (n = 37 dendrites from 10 mice) and 0.20 ± 0.10 in intruder plus DR2-KD (n = 41 dendrites from 10 mice, p < 0.001, ANOVA; right bars in Fig. 4F). These data indicate that dopaminergic receptors-II knockdown prevents the stress- induced synapse interconnections between S1Tr and auditory cortices. In addition, the synapse contacts per 100 μm dendrite onto medial prefrontal cortical neurons from S1Tr cortical neurons are 1.2 ± 0.2 in intruder plus scramble (n = 48 dendrites from 9 mice) and 0.40 ± 0.10 in intruder plus DR2-KD (n = 65 dendrites from 12 mice, p < 0.01, ANOVA; left bars in Fig. 4G). Synapse contacts per 100 μm dendrite onto medial prefrontal cortical neurons from auditory cortical neurons are 0.70 ± 0.1 in intruder plus scrambles (n = 48 dendrites from 9 mice) and 0.20 ± 0.09 in intruder plus DR2-KD (n = 65 dendrites from 12 mice, p < 0.01, ANOVA; right bars in Fig. 4G). These data indicate that the dopaminergic receptors-II knockdown prevents stress- induced convergent synapse innervations onto medial prefrontal cortical neurons from S1Tr and auditory cortices.\nIn the study of the influence of dopaminergic receptor-II knockdown on synapse innervation at target areas of prefrontal cortical neurons, AAV-CMV-GFP was injected in the medial prefrontal cortex (Fig. 4H) and GFP-labelled axon boutons of prefrontal cortical neurons were screened in S1Tr and auditory cortices. In comparison with intruder plus scramble control, the dopaminergic receptor-II knockdown in intruder mice appears to lower axon projections from medial prefrontal cortical neurons to the S1Tr cortex (left panel in Fig. 4I) and the synapse contacts of the axons onto S1Tr cortical neurons (right panel). Axon boutons per mm3 in the S1Tr cortices are 1.7 ± 0.01 ×104 in intruder plus scramble (n = 54 cubes from 9 mice) and 0.1 ± 0.01 ×104 in intruder plus DR2- KD (n = 47 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 4J). Synapse contacts per 100 μm dendrite on S1Tr cortical neurons are 2.6 ± 0.32 in intruder plus scrambles (n = 39 dendrites from 9 mice) and 0.52 ± 0.09 in intruder plus DR2-KD (n = 63 dendrites from 9 mice, p < 0.0001, ANOVA; Fig. 4K). In addition, the knockdown of dopaminergic receptor-II in intruder mice appears to reduce the axon projection from medial prefrontal cortical neurons to the auditory cortex (left panel in Fig. 4L) and the synapse contacts of these axonal boutons on auditory cortical neurons (right panel), in comparison with intruder plus scramble control. Axonal boutons per mm3 in auditory cortices are 1.4 ± 0.01 ×104 in intruder plus scramble (n = 24 cubes from 8 mice) and 0.0 ± 0 in intruder plus DR2-KD (n = 35 cubes from 9 mice, p < 0.001, ANOVA; Fig. 4M). Synapse contacts per 100 μm dendrite on auditory cortical neurons are 1.1 ± 0.2 in intruder plus scramble (n = 29 dendrites from 9 mice) and 0 ± 0 in intruder plus DR2-KD (n = 36 dendrites from 9 mice, p < 0.001, ANOVA; Fig. 4N). The knockdown of dopaminergic receptors-II in the medial prefrontal cortex prevents the stress-induced reception of axon projections and the innervations of new synapses on S1Tr and auditory cortical neurons from the prefrontal cortex.\nThe influence of the dopaminergic receptor-II knockdown in the medial prefrontal cortex on the recruitment of associative memory neurons was also examined by in vivo electrophysiological recordings in S1Tr, auditory and medial prefrontal cortical neurons, in the meantime to apply the battle sound and the somatic stimulus (Fig. 5). In comparison with one of medial prefrontal cortical neurons from a scramble control mouse that encodes battle sound and somatic stimulus (blue trace in Fig. 5A), one of medial prefrontal cortical neurons from an intruder plus D2R-KD mouse appears not to encode battle sounds and somatic stimuli (red trace). The percentages of medial prefrontal cortical neurons in response to both sound and somatic signals are 18.26% in intruder plus scrambles (n = 115 neurons from 9 mice) and 4.43% in intruder plus DR2-KD (n = 113 neurons from 9 mice; p < 0.01, X2-test in Fig. 5B). Normalized spike frequencies at medial prefrontal cortical neurons in response to battle sounds are 1.7 ± 0.2 in intruder plus scrambles (n = 115 neurons) and 1.30 ± 0.1 in intruder plus DR2-KD (n = 113 neurons; p < 0.05, ANOVA; left bars in Fig. 5C). Normalized spike frequencies at medial prefrontal cortical neurons in response to the somatic stimulus are 1.80 ± 0.20 in intruder plus scramble (n = 115 neurons) and 1.20 ± 0.1 in intruder plus DR2-KD (n = 113 neurons; p < 0.05, ANOVA; right bars in Fig. 5C). Less recruitment of associative memory neurons in the medial prefrontal cortex by the dopaminergic receptor-II knockdown indicates that dopaminergic receptor-II is required for the social stress- induced recruitment of associative memory neurons.Fig. 5Drd2 knockdown weakens the recruitment of associative memory neurons.A Representative spontaneous and evoked spikes traces. B Proportion of mPFC neurons responsive to AS and SS compared to those showing no response to these signals (Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons. Chi-square test, χ² = 10.80, P = 0.0010). C Normalized spike frequencies in mPFC cortical neurons (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 438) = 0.0006, P = 0.9806. Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons). D Example of bandpass continuous data for spike recordings in the S1Tr. E Lower proportion of response to both sound and somatic signals cells in the Drd2-KD group than the Scramble group (Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons. Chi-square test, χ² = 5.943, P = 0.0147). F Statistical graph shows normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 467) = 0.0046, P = 0.9458. Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons). G Same as A, but for the AC area. H Same as B, but for the AC area. (Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons. Chi-square test, χ² = 12.41, P = 0.0162). I Same as C, but for the AC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 468) = 0.4116, P = 0.5215. Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons). S1Tr primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m. **P < 0.01, *P < 0.05.\nA Representative spontaneous and evoked spikes traces. B Proportion of mPFC neurons responsive to AS and SS compared to those showing no response to these signals (Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons. Chi-square test, χ² = 10.80, P = 0.0010). C Normalized spike frequencies in mPFC cortical neurons (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 438) = 0.0006, P = 0.9806. Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons). D Example of bandpass continuous data for spike recordings in the S1Tr. E Lower proportion of response to both sound and somatic signals cells in the Drd2-KD group than the Scramble group (Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons. Chi-square test, χ² = 5.943, P = 0.0147). F Statistical graph shows normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 467) = 0.0046, P = 0.9458. Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons). G Same as A, but for the AC area. H Same as B, but for the AC area. (Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons. Chi-square test, χ² = 12.41, P = 0.0162). I Same as C, but for the AC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 468) = 0.4116, P = 0.5215. Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons). S1Tr primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m. **P < 0.01, *P < 0.05.\nThe influence of dopaminergic receptor-II knockdown in the media prefrontal cortex on the recruitment of associative memory neurons was also examined in S1Tr and auditory cortices. In comparison with one of S1Tr cortical neurons from a scramble control mouse that encodes both battle sound and somatic stimulus (blue trace in Fig. 5D), one of S1Tr cortical neurons from an intruder plus DR2-KD mouse appears not to encode such two signals (red trace in Fig. 5D). The percentages of S1Tr cortical neurons in response to battle sound and somatic signals are 20.80% in intruder plus scrambles (n = 118 neurons from 9 mice) and 5.26% in intruder plus DR2-KD group (n = 119 neurons from 9 mice; p < 0.05, X2-test in Fig. 5E). Normalized spike frequencies at S1Tr cortical neurons in response to battle sound are 1.9 ± 0.2 in intruder plus scramble (n = 118 neurons) and 1.3 ± 0.1 in intruder plus DR2-KD (n = 119 neurons, p < 0.05, ANOVA; left bars in Fig. 5F). Normalized spike frequencies at S1Tr cortical neurons in response to the somatic stimulus are 2.0 ± 0.20 in intruder plus scrambles (n = 118 neurons) and 1.5 ± 0.1 in intruder plus D2R-KD (n = 119 neurons; p < 0.05, ANOVA; right bars in Fig. 5F). Thus, the reductions in the recruitment of S1Tr cortical neurons to encode two signals and in their activities by the dopamine receptor-II knockdown in the medial prefrontal cortex strongly indicate that the dopaminergic receptor-II is required for the stress-induced recruitment of associative memory neurons in the S1Tr cortex and interactions between these two cortices.\nMoreover, compared with one of auditory cortical neurons from a scramble control mouse that encodes somatic stimulus and battle sound (blue trace in Fig. 5G), one of auditory cortical neurons from an intruder plus D2R-KD mouse appears not to encode these two signals (red trace in Fig. 5G). The percentages of auditory cortical neurons in response to sound and somatic signals are 16.59% in intruder plus scramble control (n = 126 neurons from 9 mice) and 6.72% in intruder plus D2R-KD (n = 114 neurons from 9 mice; p < 0.05, X2-test in Fig. 5H). Normalized spike frequencies at auditory cortical neurons in response to battle sound are 1.90 ± 0.2 in intruder plus scrambles (n = 126 neurons) and 1.2 ± 0.1 in intruder plus DR2-KD (n = 114 neurons, p < 0.01, ANOVA; left bars in Fig. 5I). Normalized spike frequencies at auditory cortical neurons in response to somatic stimulus are 1.7 ± 0.1 in intruder plus scrambles (n = 126 neurons) and 1.2 ± 0.1 in intruder plus DR2-KD (n = 114 neurons, p < 0.05, ANOVA; right bars in Fig. 5I). Thus, the reductions in the recruitment of auditory cortical neurons to encode these two signals and in their activities by dopaminergic receptor-II knockdown in the medial prefrontal cortex indicate that dopamine receptor-II is required for the stress-induced recruitment of associative memory neurons in the auditory cortex and interactions between these two cortices.\nIt is noteworthy that the roles of dopaminergic receptor-II in the recruitment of associative memory neurons by the electrophysiological study is also granted by the effects of dopaminergic receptor-II knockdown on the proportions of associative memory neurons versus non-associative memory neurons in medial prefrontal, S1Tr and auditory cortices (Figure SR3). As the type two of dopaminergic receptors as metabotropic receptor act onto G-protein coupled intracellular signal pathways [159], the formation of synapse interconnections among auditory, S1Tr and mPFC as well as the recruitment of associative memory neurons in these cortical areas induced by the social stress may be initiated by G-protein coupled intracellular signal pathways.\nMorphological and functional studies above suggest that the dopaminergic receptor-II in the medial prefrontal cortex plays the important role in the stress-induced recruitment of associative memory cells and strengthening of their activities in the prefrontal, somatic and auditory cortices based on their interconnections and interactions. If such associative memory neurons are critical for stress-induced fear memory and schizophrenia-like behaviors, the dopaminergic receptors-II knockdown in the prefrontal cortex is expected to prevent fear memories and schizophrenia-like behaviors.\nAfter the mice in groups of intruder plus DR2-KD and intruder plus scramble experienced the resident/intruder paradigm, the emergence of their fear memory specific to resident CD1 mouse was examined by the social interaction test. Heat-maps in Fig. 6A show that one C57 mouse in intruder plus DR2-KD group appears not to stay away from the interaction zone in the presence of the resident mouse, in comparison with its performance in the absence of this resident mouse as well as the stay in the interaction zone from one mouse in intruder plus scramble group. The differences of the stay time in the interaction zone between the presence of the resident mouse and the absence of this resident mouse are -59.5 ± 9 seconds in intruder plus scramble mice (n = 17) and -15.8 ± 3.9 seconds in intruder plus DR2-KD mice (n = 17, p < 0.001, ANOVA; Fig. 6B). Less avoidance to the resident mouse in intruder plus DR2-KD mice indicates that the dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the stress-induced fear memory specific to the resident mouse.Fig. 6Drd2 knockdown alleviates fear memory and schizophrenia-like behaviors.A Heatmaps demonstrate the impact of Drd2 knockdown in the open field in response to CD1+ and CD-. B A barplot of the staying time in the interaction zone comparing Scramble and Drd2-KD mice (t(32) = 4.411, P = 0.001. n = 17 for Scramble and Drd2-KD groups mice). C Percentage statistics of the stay time in open arms (t(24) = 6.331, P < 0.0001. Each group, n = 13 mice). D Depicts alterations during the Y-maze test in the arm containing a conspecific companion (t(22) = 5.445, P < 0.001. n = 10 and 14 for Scramble and Drd2-KD groups mice). E Sucrose preference percentage of Scramble and Drd2-KD groups (t(28) = 3.677, P = 0.0001. Each group, n = 15 mice). F Modified pre-pulse inhibition test of different decibels following Drd2 knockdown. G Lower pre-pulse response intensity ratio at 120 dB in the Drd2-KD group than the Scramble group (t(28) = 2.086, P = 0.0462. Each group, n = 15 mice). H Depicts the impact of Drd2 knockdown on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 4.167, P = 0.041. 70 dB: χ² = 0.667, P = 0.414). I Changes in response strengths under 90 dB and 80 dB conditions (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 30) = 0.076, P = 0.7842. 90 dB, Scramble, n = 11. Drd2-KD, n = 5. 80 dB, Scramble, n = 11. Drd2-KD, n = 7). J, K The effect of Drd2 knockdown on changes tremor levels. Drd2-KD mice appear less frequent body tremor (t(20) = 4.072, P = 0.006. n = 10 and 12 for Scramble and Drd2-KD groups mice). L, M The impact of Drd2 knockdown on alterations in the angular levels. Drd2-KD mice displayed lower fluctuations of included angles in body arch (t(20) = 3.219, P = 0.0043. n = 10 and 12 mice). N, O Representative traces and statistics of motion distance (t(21) = 3.219, P < 0.0001. n = 11 and 12 mice). P A diagram elucidates the role of Drd2 knockdown in the formation of fear memory and the manifestation of schizophrenia-like behaviors. The darkness of color represents the severity. Data are represented as mean ± s.e.m. Details of the statistical information are provided in Supplementary Data 1.\nA Heatmaps demonstrate the impact of Drd2 knockdown in the open field in response to CD1+ and CD-. B A barplot of the staying time in the interaction zone comparing Scramble and Drd2-KD mice (t(32) = 4.411, P = 0.001. n = 17 for Scramble and Drd2-KD groups mice). C Percentage statistics of the stay time in open arms (t(24) = 6.331, P < 0.0001. Each group, n = 13 mice). D Depicts alterations during the Y-maze test in the arm containing a conspecific companion (t(22) = 5.445, P < 0.001. n = 10 and 14 for Scramble and Drd2-KD groups mice). E Sucrose preference percentage of Scramble and Drd2-KD groups (t(28) = 3.677, P = 0.0001. Each group, n = 15 mice). F Modified pre-pulse inhibition test of different decibels following Drd2 knockdown. G Lower pre-pulse response intensity ratio at 120 dB in the Drd2-KD group than the Scramble group (t(28) = 2.086, P = 0.0462. Each group, n = 15 mice). H Depicts the impact of Drd2 knockdown on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 4.167, P = 0.041. 70 dB: χ² = 0.667, P = 0.414). I Changes in response strengths under 90 dB and 80 dB conditions (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 30) = 0.076, P = 0.7842. 90 dB, Scramble, n = 11. Drd2-KD, n = 5. 80 dB, Scramble, n = 11. Drd2-KD, n = 7). J, K The effect of Drd2 knockdown on changes tremor levels. Drd2-KD mice appear less frequent body tremor (t(20) = 4.072, P = 0.006. n = 10 and 12 for Scramble and Drd2-KD groups mice). L, M The impact of Drd2 knockdown on alterations in the angular levels. Drd2-KD mice displayed lower fluctuations of included angles in body arch (t(20) = 3.219, P = 0.0043. n = 10 and 12 mice). N, O Representative traces and statistics of motion distance (t(21) = 3.219, P < 0.0001. n = 11 and 12 mice). P A diagram elucidates the role of Drd2 knockdown in the formation of fear memory and the manifestation of schizophrenia-like behaviors. The darkness of color represents the severity. Data are represented as mean ± s.e.m. Details of the statistical information are provided in Supplementary Data 1.\nAs described previously, the schizophrenia-like behaviors were measured by the pre-pulse inhibition test for their hypersensitivity and hallucination, the persecutory delusion test for their persecutory delusion, the elevated-plus maze test for their anxious state as well as the sucrose preference and Y-maze tests for their depressive mood.\nThe anxiety-like behaviors were examined by an elevated-plus maze. One mouse in intruder plus DR2-KD group appears to stay in open arms, while a mouse in intruder plus scramble group appears not to access these open arms (Figure SR4A). The percentages of the stay time in open arms to the total time on the elevated-plus maze are 4.80 ± 0.7% in intrude plus scramble control mice (n = 13) and 12.9 ± 1.1% in intruder plus DR2-KD mice (n = 13; p < 0.001, ANOVA; Fig. 6C). The dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the stress-induced anxiety in those intruder mice with fear memory.\nThe depression-like behaviors were examined by the sucrose preference test for anhedonia and the Y-maze test for loss of interest and social withdrawal. Heat-maps from the Y-maze test in Figure SR4B show that one mouse in intruder plus D2R-KD group appears not to stay away from the interaction arm including its confidante, compared with one mouse in intruder plus scramble group. The values of the stay time in the interaction arm are 42.5 ± 2.1 seconds in intruder plus DR2-KD mice (n = 10) and 23.7 ± 2.8 seconds in intruder plus scramble mice (n = 14, p < 0.001, ANOVA; Fig. 6D). These data indicate that the mice in an intruder plus D2R-KD group remain interested in their confidantes during the social activity. In the sucrose preference test, the percentages of sucrose water ingestion in total water ingestion are 57.1 ± 2.2% in intruder plus DR2-KD mice (n = 15) and 46.8 ± 1.8% in intruder plus scramble mice (n = 15, p < 0.001, ANOVA; Fig. 6E). These data indicate that the mice in intruder plus DR2-KD express a sugar preference. The dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the stress-induced depression-like behaviors in intruder mice with fear memory.\nThe hypersensitivity of schizophrenic mania was examined by the pre-pulse inhibition test and the response threshold to stimulus pulses (Fig. 6F). The relative response strength of the mice in the pre-pulse inhibition test was calculated by the ratio of the differences of responses between pulse two and pulse one over responses to pulse one. The values about this ratio are -0.07 ± 0.02 in intruder plus scramble mice (blue symbols in Fig. 6G; n = 15) and -0.14 ± 0.02 in intruder plus DR2-KD (red symbols; n = 15; p < 0.05, ANOVA). In addition, the response threshold to sound pulses was minimal sound pulses for mice to jump, and the response strength was a ratio of the dynamic weight due to their jumps to the static weight. In Fig. 6H, response thresholds are 80 dB for intruder plus DR2-KD mice (red bar, n = 10/75) and 70 dB for intruder plus scramble mice (blue bar, n = 6/75). Response strengths to sound pulses at 80 dB are 1.11 ± 0.02 in intruder plus DR2-KD mice (n = 7) and 1.19 ± 0.03 in intruder plus scramble (n = 11, p < 0.05, ANOVA; right bars in Fig. 6I). Response strengths to sound pulses at 90 dB are 1.11 ± 0.02 in intruder plus DR2-KD mice (n = 5) and 1.21 ± 0.03 in intruder plus scramble mice (n = 11, p < 0.05, ANOVA; left bars in Fig. 6I). These data indicate that the knockdown of dopaminergic receptor-II in the medial prefrontal cortex prevents stress-induced hypersensitivity to sound signals, i.e., schizophrenia-like mania.\nThe delusion of schizophrenic mania in mice was examined by the persecutory delusion test. Fear responses to the resident mouse were featured by the mouse back arch to small included- angles, the frequent shaking of their bodies and the less movements in the open field. If intruder mice expressed these behaviors without the presence of the resident mouse, they were thought to be the emergence of the persecutory delusion. As shown in Fig. 6J, one mouse in intruder plus DR2-KD group appears less frequent tremor in the body (red trace) than a mouse in intruder plus scramble control group (blue trace). The shaking frequencies are 2.6 ± 0.6 Hz in intrude plus scramble mice (n = 10) and 0.4 ± 0.1 Hz in intruder plus DR2-KD mice (n = 12; p < 0.001, ANOVA; Fig. 6K). Moreover, the included angles of back arch appear larger in a mouse in intruder plus DR2-KD group (red trace in Fig. 6L) than a mouse in intruder plus scramble control group (blue trace). The included angles of back arch (degrees) are 76.7 ± 6.5 in intruder plus scramble mice (n = 10) and 98.9 ± 3.3 in intruder plus DR2- KD mice (n = 12; p < 0.01, ANOVA; Fig. 6M). In addition, the motions in an open field appear more active in a mouse in intruder plus DR2-KD group (red trace in Fig. 6N) than a mouse in intruder plus scramble control (blue trace). Motion distances in this open field (cm/10 min) are 0.17 ± 0.01 ×105 in intruder plus scramble mice (n = 11) and 1.02 ± 0.01 ×105 in intruder plus DR2-KD mice (n = 12; p < 0.001, ANOVA; Fig. 6O). Therefore, the dopamine receptor-II knockdown may prevent the stress-induced persecutory delusion including frequent body tremors, dominant body arch and less movement in the absence of scared signals. Figure 6P illustrates the diagram about the role of dopaminergic receptor-II in schizophrenia-like behaviors.\nIn addition to the prevention of the recruitment of associative memory neurons for the fear memory and schizophrenia-like behaviors, we studied whether the blockade of the dopaminergic receptor-II suppressed the function of the stress-recruited associative memory neurons and their encoded schizophrenia-like behaviors. In intruder mice with fear memory and schizophrenia, we injected dopaminergic receptor-II antagonist eticlopride [154–156] in bilateral medial prefrontal cortices (Fig. 7A). Compared with the saline injection (bottom trace in Fig. 7B), the eticlopride (1.325 nM) injection appears to block the responses of associative memory neurons in the medial prefrontal cortex to the battle sound and the somatic stimulus (top trace). The normalized spike frequencies of associative memory neurons in response to the battle sound are 2.80 ± 0.5 in self-controls and 0.90 ± 0.2 after an eticlopride uses (left symbols in Fig. 7C; n = 10 neurons from 10 mice, p < 0.01, ANOVA). Their normalized spike frequencies in response to somatic stimulus are 4.2 ± 0.9 in self-controls and 1.7 ± 0.4 after an eticlopride uses (right symbols in Fig. 7C, n = 10 neurons from 10 mice, p < 0.05, ANOVA). Furthermore, the normalized spike frequencies of these associative memory neurons in response to the battle sound are 3.0 ± 0.5 in self-controls and 3.0 ± 0.7 after the saline uses (left symbols in Fig. 7D; n = 9 neurons from 9 mice, p = 0.943, ANOVA). Their spikes in response to the somatic stimulus are 4.1 ± 0.6 in self-controls and 3.0 ± 0.3 after the saline uses (right symbols in Fig. 7D, n = 9 neurons from 9 mice, p = 0.123, ANOVA). The inhibition of dopaminergic receptor-II suppresses the function of associative memory cells in the medial prefrontal cortex.Fig. 7DR2 antagonist suppresses fear memory and schizophrenia-like behaviors.A Schematic of DR2 antagonist (Eticlopride, Eti) injection into mPFC. B Example traces of spontaneous and evoked spikes recording before and after Eti application. Blue triangles point to the application of antagonist, blue dashed-line boxes indicate the reapplication of two stimuli (AS and SS). C Discharge frequency statistics standardized for Eti (AS, t(9) = 3.392, P = 0.0080. SS, t(9) = 2.731, P = 0.0232. n = 10 mice). D Same as C, but for the Saline group (AS, t(8) = 0.0742, P = 0.9428. SS, t(8) = 1.723, P = 0.1232. n = 9 mice). E Effect of Eti on the duration of staying in the interaction zone (t(16) = 2.933, P = 0.0098. Each group, n = 9 mice). F The Eti group displayed a higher percentage of staying in the open arm during the EPM (t(16) = 5.026, P = 0.0001. Each group, n = 9 mice). G Interaction time of mice in the Y-maze (t(16) = 3.280, P = 0.0047. Each group, n = 9 mice). H Sucrose preference percentage of Eti and saline groups (t(16) = 2.414, P = 0.0281. Each group, n = 9 mice). I Lower pre-pulse response intensity ratio at 120 dB in the Eti group than the saline group (t(18) = 2.713, P = 0.0143. Each group, n = 10 mice). J Impact of Eti on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 10.169, P = 0.001. 70 dB: χ² = 0.207, P = 0.649). K The Eti group displayed a lower response intensity index after resident/intruder paradigm (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 24) = 0.0008, P = 0.9778. 90 dB, Eti, n = 4. Saline, n = 8. 80 dB, Eti, n = 6. Saline, n = 10). L, M The effect of Eti on changes in mice tremor levels. Eti mice appear less frequent body shaking (t(18) = 5.221, P < 0.0001. Each group, n = 10 mice). N, O Included angles curve and statistical graph (t(18) = 2.540, P = 0.0205. Each group, n = 10 mice). P, Q Representative traces and statistics of motion distance (t(18) = 2.192, P = 0.0418. Each group, n = 10 mice). AS auditory stimulus, SS somatic stimulus, Data are represented as mean ± s.e.m.\nA Schematic of DR2 antagonist (Eticlopride, Eti) injection into mPFC. B Example traces of spontaneous and evoked spikes recording before and after Eti application. Blue triangles point to the application of antagonist, blue dashed-line boxes indicate the reapplication of two stimuli (AS and SS). C Discharge frequency statistics standardized for Eti (AS, t(9) = 3.392, P = 0.0080. SS, t(9) = 2.731, P = 0.0232. n = 10 mice). D Same as C, but for the Saline group (AS, t(8) = 0.0742, P = 0.9428. SS, t(8) = 1.723, P = 0.1232. n = 9 mice). E Effect of Eti on the duration of staying in the interaction zone (t(16) = 2.933, P = 0.0098. Each group, n = 9 mice). F The Eti group displayed a higher percentage of staying in the open arm during the EPM (t(16) = 5.026, P = 0.0001. Each group, n = 9 mice). G Interaction time of mice in the Y-maze (t(16) = 3.280, P = 0.0047. Each group, n = 9 mice). H Sucrose preference percentage of Eti and saline groups (t(16) = 2.414, P = 0.0281. Each group, n = 9 mice). I Lower pre-pulse response intensity ratio at 120 dB in the Eti group than the saline group (t(18) = 2.713, P = 0.0143. Each group, n = 10 mice). J Impact of Eti on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 10.169, P = 0.001. 70 dB: χ² = 0.207, P = 0.649). K The Eti group displayed a lower response intensity index after resident/intruder paradigm (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 24) = 0.0008, P = 0.9778. 90 dB, Eti, n = 4. Saline, n = 8. 80 dB, Eti, n = 6. Saline, n = 10). L, M The effect of Eti on changes in mice tremor levels. Eti mice appear less frequent body shaking (t(18) = 5.221, P < 0.0001. Each group, n = 10 mice). N, O Included angles curve and statistical graph (t(18) = 2.540, P = 0.0205. Each group, n = 10 mice). P, Q Representative traces and statistics of motion distance (t(18) = 2.192, P = 0.0418. Each group, n = 10 mice). AS auditory stimulus, SS somatic stimulus, Data are represented as mean ± s.e.m.\nWe also examined the effectiveness of eticlopride-suppressed associative memory neurons in the medial prefrontal cortex on fear memory and schizophrenia-like behaviors in intruder mice. In the social interaction test, the differences of the stay time in the interaction zone between the presence of the resident mouse and the absence of this resident mouse are -83.0 ± 11.5 seconds in the saline use (n = 9 mice) and -30.4 ± 13.8 seconds in the eticlopride use (n = 9 mice, p < 0.01, ANOVA; Fig. 7E). Less avoidance to the resident mouse by eticlopride uses indicates that the dopaminergic receptor-II blockade in the medial prefrontal cortex relieves the stress-induced fear memory. In the anxiety test, the percentages of the stay time in open arms to the total time on the elevated-plus maze are 1.0 ± 0.6% in the saline use (n = 9) and 9.20 ± 1.5% in the eticlopride use (n = 9 mice; p < 0.001, ANOVA; Fig. 7F). Thus, the dopaminergic receptor-II blockade relieves stress-induced anxiety-like behaviors. In the Y-arm test, the values of the stay time in interaction arm are 22.80 ± 5.20 seconds in the saline use (n = 9 mice) and 45.6 ± 4.6 seconds in the eticlopride use (n = 9 mice, p < 0.01, ANOVA; Fig. 7G). In the sucrose preference test, the percentages of sucrose water ingestion in total water ingestion are 43.2 ± 4.7% in the saline use (n = 9 mice) and 55.4 ± 1.9% in the eticlopride use (n = 9 mice, p < 0.05, ANOVA; Fig. 7H). Thus, the dopaminergic receptor-II blockade in the medial prefrontal cortex relieves the stress-induced depression-like behaviors.\nIn the pre-pulse inhibition test for the hypersensitivity of schizophrenic mania, the ratios of the differences between responses to pulse two and pulse one over responses to pulse one are 0.04 ± 0.03 in a saline use (n = 10 mice) and -0.08 ± 0.03 in an eticlopride use (n = 10; p < 0.05, ANOVA; Fig. 7I). In the measurement of the response threshold to those sound pulses, the thresholds in response to minimal sound pulses for the mice to jump are 80 dB for eticlopride use (n = 8/75) and for the saline use (n = 24/75; left bars in Fig. 7J). Eticlopride raises the response threshold. The strengths in response to sound pulses at 80 dB are 1.12 ± 0.02 in a saline use (n = 10 mice) and 1.08 ± 0.01 in an eticlopride use (n = 6 mice, p < 0.05, one-way ANOVA; right bars in Fig. 7K). The strengths in response to sound pulses at 90 dB are 1.13 ± 0.01 in the saline use (n = 8 mice) and 1.09 ± 0.01 in the eticlopride use (n = 4 mice, p < 0.05, ANOVA; left bars in Fig. 7K,). Therefore, dopaminergic receptor-II blockade in the medial prefrontal cortex relieves the stress-induced hypersensitivity in schizophrenic mania.\nThe delusion of schizophrenic mania in the intruder mice was examined by the persecutory delusion test. In Fig. 7L, one DR2-blockade mouse appears less frequent shaking in the body (red trace) than a saline-use mouse (blue trace). Their body-shaking frequencies are 1.6 ± 0.1 Hz in a saline use (n = 10 mice) and 1.0 ± 0.1 Hz in an eticlopride use (n = 10 mice; p < 0.001, ANOVA; Fig. 7M). Moreover, the included angles of mouse back arch appear larger in a DR2- blockade mouse (red trace in Fig. 7N) than one saline-use mouse (blue trace). The included angles of mouse back arch (degrees) are 75.20 ± 3.7 in a saline use (n = 10 mice) and 85.20 ± 1.3 in an eticlopride use (n = 10 mice; p < 0.05, ANOVA; Fig. 7O). In addition, a mouse with DR2-blocake in the prefrontal cortex appears more motions in the open field (red trace in Fig. 7P), in comparison with one saline use mouse (blue trace). The motion distances (cm/10 min) in this open field are 0.5 ± 0.01 ×105 in a saline use (n = 10 mice) and 1.0 ± 0.1×105 in an eticlopride use (n = 10 mice; p < 0.05, ANOVA; Fig. 7Q). Therefore, the blockade of dopaminergic receptor-II in the medial prefrontal cortex relieves the stress-induced persecutory delusion.\n\n\n### The social stress by resident/intruder paradigm induces fear memory and schizophrenia\nThe formation of fear memory specific to the resident CD1 mouse in intruder C57 mice was examined by the social interaction test [53, 62, 112, 113, 157]. The avoidance of intruder mice to this resident mouse as the index of fear memory onset was merited by seeing the longer differences of the stay time in the interaction zone between the presence of the resident mouse and the absence of this resident. Heat-maps in Fig. 1B show that one of intruder mice appears to stay away from an interaction zone in the presence of the resident mouse (target), compared to stay near this interaction zone in the absence of the resident (no target), similar to control mice that stay nearby the interaction zone. The differences of the stay time in the interaction zone between the presence of a resident mouse and the absence of this resident mouse are 33.3 ± 8.4 seconds in control mice (n = 18) and -91.5 ± 4.8 seconds in intruder mice (n = 18, p < 0.0001, ANOVA, Fig. 1C). The avoidance of those intruder mice to the resident mouse indicates the emergence of the fear memory specific to this resident mouse in these intruder mice.\nIn schizophrenia patients, the psychological mania is featured by hallucination and delusion, and the negative mood includes the anhedonia, social withdrawal and anxiety [1–6, 10]. We assessed schizophrenia-like behaviors by the modified pre-pulse inhibition test for hypersensitivity and hallucination, the persecutory delusion test for delusion, the elevated-plus maze test for anxiety, the sucrose preference test for anhedonia and the Y-maze test for social withdraw. When intruder mice showed hallucination-like, delusion-like, anxiety-like and depression-like behaviors, they were thought of as schizophrenic mice.\nAnxiety-like behaviors were examined by an elevated-plus maze, as presented in heat-maps of figure for supplementary result (Figure SR1A). Less access to open arms in mice indicated their avoidance to open arms. The reduced percentage of stay time in open arms over total time on an elevated-plus maze after resident/intruder paradigms in intruder mice indicated their avoidance to open arms, or anxiety-like state. In this Figure SR1A, one of intruder mice stays in closed arms and away from open arms, and one of control mice seems to access open arms. The percentages of the stay time in open arms over the total time are 23.4 ± 1.1% in control mice (n = 20) and 4.2 ± 0.8% in intruder mice (n = 20; p < 0.001, ANOVA; Fig. 1D). Thus, the social stress by the resident/ intruder paradigm induces anxiety in intruder mice with fear memory, which endorses the data in the social interaction test (Fig. 1B, C).\nDepression-like behaviors were examined by the sucrose preference test for anhedonia and the Y-maze test for interest loss and social withdrawal [135–137, 158]. In heat-maps of Figure SR1B, one intruder mouse prefers to stay away from the interaction arm including its confidante, in comparison with one of control mice. The percentages of the stay time in the interaction arm over the total time within the Y-maze are 22.0 ± 3.3 seconds in intruder mice (n = 18) and 55.4 ± 2.5 seconds in control mice (n = 18, p < 0.0001, ANOVA; Fig. 1E). This result implies that intruder mice are loss of interest to their confidantes in the social activity. In the sucrose preference test, the percentages of sucrose water ingestion in total water ingestion are 48.0 ± 2.4% in intruder mice (n = 19) and 72.1 ± 1.9% in control mice (n = 19, p < 0.0001, ANOVA; Fig. 1F). Intruder mice express anhedonia to sugar. The social stress by the resident/intruder paradigm induces depression-like behaviors in intruder mice with fear memory.\nThe hypersensitivity of schizophrenic mania in intruder mice was examined by the pre-pulse inhibition test and the response capability to sound pulses. In the pre-pulse inhibition test (Fig. 1G), the response strength was calculated by the ratio of response differences between pulse two and pulse one to response one, (R2-R1)/R1. The values of this ratio are -0.18 ± 0.03 in control mice (n = 15) and−0.08 ± 0.02 in intruder mice with fear memory (n = 15; p = 0.0093, ANOVA; Fig. 1H). Moreover, the response capability to sound pulses was measured by the response threshold and the response strength. The response threshold to sound pulses was the response to the minimal sound pulse for mice to jump, which was calculated by jump times over 75 sound pulses. The response strengths were the levels of responses at the given sound pulses, which were calculated by the ratio of the dynamic weight due to the jumps to the static weight. The times of mouse jumps in 75 sound pulses at 80 dB are 21 in intruder mice with fear memory (n = 15) and 11 in controls (n = 15, p < 0.05, X2-test; the left panel in Fig. 1I). The times of mouse jumps in 75 sound pulses at 70 dB are 2 in intruder mice with fear memory and 4 in control mice (the right panel of Fig. 1I), which is less than mean±2 SD in total pulses. That is, the mouse jumps at 70 dB did not reach to the response threshold. In addition, the response strengths to sound pulses at 80 dB are 1.14 ± 0.02 in intruder mice (n = 10) and 1.06 ± 0.01 in control mice (n = 6, p < 0.05, ANOVA; the left panel of Fig. 1J). The response strengths to sound pulses at 90 dB are 1.15 ± 0.02 in intruder mice (n = 13) and 1.1 ± 0.01 in control mice (n = 10, p < 0.05, ANOVA; the right panel of Fig. 1J). The decreased response threshold and the increased response strength in the intruder mice with fear memory indicate the stress-induced hypersensitivity to sound signals in these intruder mice, i.e., schizophrenia-like mania.\nThe delusion of schizophrenic mania in the intruder mice was examined by the persecutory delusion test. The delusion of persecution refers to the situation that the scare-induced behaviors express in the absence of the scared signals, or spontaneously. In face to the resident mouse, the intruder mice appeared their back arches to small included-angles, the frequent tremors of their bodies and the less motion in open fields, or scare-induced fear responses to the resident mouse. If intruder mice showed such behaviors in the absence of the resident mouse, they were thought to be the state of persecutory delusion. In Fig. 1K, intruder mice appear frequent body tremors (red trace), compared to control mice (blue trace). The shaking frequencies are 0.27 ± 0.07 Hz in control mice (n = 12) and 2.39 ± 0.41 Hz in intruders (n = 11; p < 0.001, ANOVA; Fig. 1L). Moreover, the body arch in intruder mice appears smaller included-angle (red trace in Fig. 1M), compared with control mice (blue trace). The included angles of mouse back arch (degrees) are 104.0 ± 3.2 in control mice (n = 12) and 76.2 ± 4.7 in intruders (n = 11; p < 0.001, ANOVA; Fig. 1N). Additionally, an intruder mouse with fear memory appears less motion in an open field (red trace in Fig. 1O), compared with a control mouse (blue trace). The motion distances (cm/10 min) in this open field are 1.30 ± 0.2 ×105 in control mice (n = 12) and 0.5 ± 0.1 ×105 in intruders (red bar, n = 11; p < 0.001, ANOVA; Fig. 1P). The frequent body tremors, the dominant body arches and the less motion in the absence of the resident mouse imply that the intruder mice suffer from persecutory delusion.\nIntruder mice show the fear memory specific to resident mouse as well as the schizophrenic mania with the hyperactivities for hallucination and delusion plus the negative moods including depression-like and anxiety-like behaviors (Fig. 1Q). We further examined the stress-induced formation of neural circuits in relevance to fear memory and schizophrenia in prefrontal, auditory and somatosensory cortices. Our focus on these cortices to reveal cellular mechanisms, especially memory cells, was based on the following thoughts. Associative memory neurons as basic units of memory trace have been found in the sensory cortices and the prefrontal cortex in associative learning and memory under physiological conditions [65, 93–101]. Fear signals in a resident/intruder paradigm to those intruder mice included the pain signal from body-injury areas to somatosensory cortices and the battle sound to the auditory cortex in associative learning under pathological conditions [53, 62, 112, 113, 157]. The recruitment of associative memory neurons to encode such fear signals for fear memory and schizophrenia in intruder mice was examined by morphological and functional approaches.\n\n\n### The social stress induces interconnections among auditory, S1Tr and medial prefrontal cortices\nMorphological interconnections among mouse cortices were examined by the neural tracing. AAV-carried genes of green or red fluorescent proteins (GFP or RFP) were injected in their source areas. GFP-labelled or RFP-labelled axon boutons were searched in their target areas [93, 95, 96, 99, 144]. Because cortical neurons in C57BL/6JThy1-YFP mice were genetically labelled by yellow fluorescent proteins (YFP), the contacts between GFP- or RFP-labelled axon boutons and YFP-labelled dendritic spines were presumably synapses [95, 98, 99, 144]. The rationale to study the interconnections and interactions among the medial prefrontal cortex, the auditory cortex and the S1Tr cortex is based upon the common view that the stressful signals including the battle sound and the painful signal from body-injury areas during resident/intruder paradigms are inputted to the auditory cortex and the S1-Tr cortex, respectively, and secondarily transmitted to the prefrontal cortex [65].\nIn the study of target areas of S1Tr cortical neurons and auditory cortical neurons, AAV-CMV -Oregon Green and AAV-CMV-tdTomato were injected in the S1Tr cortex and the auditory cortex, respectively (Fig. 2A). In comparison with control mice, the S1Tr cortical areas in intruder mice receives RFP-labeled axons from the auditory cortex (left panel in Fig. 2B), the auditory cortex areas in intruder mice receive GFP-labelled axons from the S1Tr cortex (middle panel in Fig. 2B), and the medial prefrontal cortices in intruder mice receive convergent synapse innervations from RFP-labelled axons of auditory cortical neurons and GFP-labelled axons of S1Tr cortical neurons (right panel in Fig. 2B). The densities of RFP-labelled axon boutons per mm3 in S1Tr cortices are 0.33 ± 0.01 ×105 in control group (n = 29 cubes from 9 mice) and 0.57 ± 0.05 ×105 in intruders (n = 30 cubes from 9 mice, p = 0.0003, ANOVA; Fig. 2C). The densities of GFP-labelled axon boutons per mm3 in auditory cortices are 0.04 ± 0.01 ×105 in controls (n = 28 cubes from 9 mice) and 0.57 ± 0.06 ×105 in intruder group (n = 30 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 2C). The social stress induces axon interconnections between S1Tr and auditory cortices. Furthermore, the densities of GFP-labelled axon boutons from S1Tr cortical neurons per mm3 in the medial prefrontal cortices are 0.20 ± 0.06×105 in controls (n = 38 cubes from 9 mice) and 1.21 ± 0.21×105 in intruders (n = 41 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 2D). The densities of RFP-labelled axon boutons from auditory cortical neurons per mm3 in the medial prefrontal cortices are 0.5 ± 0.08 ×105 in controls (n = 39 cubes from 9 mice) and 1.09 ± 0.20 ×105 in intruders (n = 40 cubes from 9 mice, p = 0.012, ANOVA; Fig. 2D). These data indicate stress-induced axon projections to the medial prefrontal cortex from S1Tr and auditory cortices.Fig. 2The social stress induces interconnections among auditory, S1Tr and mPFC.A Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Confocal microscopy images illustrate YFP-labeled postsynaptic dendrites and axonal innervations labeled with GFP and RFP in the S1Tr, AC, and mPFC. Red arrows denote axon boutons originating from the AC, green arrows indicate from the S1Tr. Scale bar, 20 μm. C Statistical analyses of the densities of fluorescently labeled axon boutons in the S1Tr and AC. (Area ×Group F(1, 113) = 9.446, P = 0.0027). D Same as C, but for the mPFC area. (Area ×Group F(1, 154) = 1.658, P = 0.1998). E Illustrating synapse contacts in S1Tr, AC, and mPFC. White boxes represent the newly formed synapse contacts. Axonal boutons from the S1Tr are labeled with GFP, axonal boutons from the AC are labeled with RFP. Scale bar = 10 μm; inset scale bar = 2 μm. F Statistical analyses synapse contacts in S1Tr and AC per 100 μm dendrite. (Area ×Group F(1, 129) = 0.0884, P = 0.7668) G Same as F, but for the mPFC area. (Area ×Group F (1, 250) = 52.05, P < 0.0001). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Top, virus schematics. Bottom,coronal section confocal images of the injection site. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Red arrows indicate boutons, white boxes represent the newly contacts. Scale bar = 20 μm, scale bar = 10 μm, inset scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. (J t(63) = 12.03. K t(70) = 5.702). L Same as I, but for the AC area. M, N Same as J, K but for the AC area. (M t(63) = 5.231. N t(62) = 5.739). Independent-samples t-test. S1Tr: primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m.\nA Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Confocal microscopy images illustrate YFP-labeled postsynaptic dendrites and axonal innervations labeled with GFP and RFP in the S1Tr, AC, and mPFC. Red arrows denote axon boutons originating from the AC, green arrows indicate from the S1Tr. Scale bar, 20 μm. C Statistical analyses of the densities of fluorescently labeled axon boutons in the S1Tr and AC. (Area ×Group F(1, 113) = 9.446, P = 0.0027). D Same as C, but for the mPFC area. (Area ×Group F(1, 154) = 1.658, P = 0.1998). E Illustrating synapse contacts in S1Tr, AC, and mPFC. White boxes represent the newly formed synapse contacts. Axonal boutons from the S1Tr are labeled with GFP, axonal boutons from the AC are labeled with RFP. Scale bar = 10 μm; inset scale bar = 2 μm. F Statistical analyses synapse contacts in S1Tr and AC per 100 μm dendrite. (Area ×Group F(1, 129) = 0.0884, P = 0.7668) G Same as F, but for the mPFC area. (Area ×Group F (1, 250) = 52.05, P < 0.0001). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Top, virus schematics. Bottom,coronal section confocal images of the injection site. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Red arrows indicate boutons, white boxes represent the newly contacts. Scale bar = 20 μm, scale bar = 10 μm, inset scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. (J t(63) = 12.03. K t(70) = 5.702). L Same as I, but for the AC area. M, N Same as J, K but for the AC area. (M t(63) = 5.231. N t(62) = 5.739). Independent-samples t-test. S1Tr: primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m.\nThe axon innervations on target neurons to make new synapses were examined by screening those attachments between the GFP- or RFP-labeled axon boutons from presynaptic neurons and the YFP-labeled dendritic spines on postsynaptic neurons, or synapse contacts [95, 98, 99, 144]. In comparison with controls, the left panel in Fig. 2E shows the reception of new synapse contacts on S1Tr cortical neurons from auditory cortical area in intruder mice, the middle panel in Fig. 2E shows the reception of new synapse contacts on auditory cortical neurons from S1Tr cortical area, as well as the right panel in Fig. 2E shows the reception of new synapse contacts on prefrontal cortical neurons from auditory and S1Tr cortical areas. Synapse contacts per 100 μm dendrite in S1Tr cortices are 1.6 ± 0.3 in control group (n = 37 dendrites from 9 mice) and 3.7 ± 0.3 in intruder group (n = 35 dendrites from 9 mice, p = 0.0001, ANOVA; Fig. 2F). Synapse contacts per 100 μm dendrite in auditory cortices are 3.1 ± 0.5 in controls (n = 26 dendrites from 7 mice) and 5.4 ± 0.5 in intruders (n = 35 dendrites from 7 mice, p = 0.001, ANOVA; Fig. 2F). These data indicate stress-induced synapse interconnections between S1Tr and auditory cortices. Moreover, the synapse contacts from S1Tr cortical neurons per 100 μm dendrite in prefrontal cortices are 0.7 ± 0.2 in controls (n = 71 dendrites from 12 mice) and 4.6 ± 0.4 in intruder group (n = 56 dendrites from 10 mice, p < 0.001, ANOVA; Fig. 2G). The synapse contacts from auditory cortical neurons per 100 μm dendrite in prefrontal cortices are 0.7 ± 0.1 in controls (n = 71 dendrites from 12 mice) and 1.40 ± 0.2 in intruders (n = 56 dendrites from 10 mice, p < 0.01, ANOVA; Fig. 2G). These data indicate the stress-induced convergent synapse innervations onto medial prefrontal cortical neurons from the S1Tr and auditory cortices.\nIn the study of axon targets of medial prefrontal cortical neurons, AAV2-CMV-tdTomato was injected in medial prefrontal cortices (Fig. 2H) and RFP-labelled axon boutons were screened in S1Tr and auditory cortices. In comparison with control mice, S1Tr cortical neurons in the intruder mice appear to receive more axon projections from the prefrontal cortex (left panel in Fig. 2I) and more synapse contacts from these axon boutons (right panel). Axon boutons per mm3 in S1Tr cortices are 0.19 ± 0.02 ×105 in control group (n = 35 cubes from 9 mice) and 0.67 ± 0.04 ×105 in intruder group (n = 30 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 2J). Synapse contacts per 100 μm dendrite on S1Tr cortical neurons are 0.0 ± 0.0 in controls (n = 34 dendrites from 6 mice) and 1.0 ± 0.20 in intruders (n = 38 dendrites from 8 mice, p < 0.0001, ANOVA; Fig. 2K). In addition, auditory cortical neurons in intruder mice appear to receive more axon projections from the prefrontal cortex (left panel in Fig. 2L) and more synapse contacts from these axon boutons (right panel), in comparison to control mice. Axon boutons per mm3 in auditory cortices are 0.08 ± 0.01 ×105 in control group (n = 30 cubes from 9 mice) and 0.29 ± 0.03 ×105 in intruder group (n = 35 cubes from 9 mice, p < 0.001, ANOVA; Fig. 2M). Synapse contacts per 100 μm dendrite on auditory cortical neurons are 0.0 ± 0.0 in controls (n = 29 dendrites from 8 mice) and 1.4 ± 0.20 in intruders (n = 26 dendrites from 8 mice, p < 0.001, ANOVA; Fig. 2N). Thus, the S1Tr and auditory cortical neurons in intruder mice with fear memory and schizophrenia-like behaviors receive new synapse innervations from the medial prefrontal cortex.\nFrom these morphological data, the social stress by the resident/intruder paradigm induces the synapse interconnections among auditory, somatosensory and medial prefrontal cortices, so that the cortical neurons in any one of these regions receive the synapse innervations from other two areas. Their synapse interconnections endorse the cortical neurons to encode and memorize associative fear signals in the social stress including the battle sound and the somatic signal for the formation of fear memories and schizophrenia-like behaviors. The recruitment of associative memory cells [65] in these cortices was examined by in vivo electrophysiological recordings.\n\n\n### The social stress recruits associative memory neurons in prefrontal, S1Tr and auditory cortices\nStress-induced synapse interconnections among the neurons in these cortices recruit them as associative memory neurons to encode the stress signals for fear memories and schizophrenia, similarly to the recruitment of associative memory neurons in associative learning [65]. For instance, auditory cortical neurons by receiving synapse innervations innately from the internal geniculate body and newly from the S1Tr cortex are recruited to encode battle sound and pain signal in the resident/intruder paradigm, or the other way around.\nElectrophysiological recordings in vivo were conducted in S1Tr cortices in the meantime to give battle sound and somatic signal. In comparison with one sample neuron in response to the somatic stimulation to back regions in control mice (blue trace in Fig. 3A), one of S1Tr cortical neurons in intruder mice appears to encode battle sound and somatic stimulus, i.e., associative memory neuron (red trace in Fig. 3A). The percentages of S1Tr cortical neurons in response to both sound and somatic signals are 3.91% in control group (n = 128 neurons in totally recorded from 9 mice) and 10.75% in intruder group (n = 120 neurons from 9 mice; p < 0.05, X2-test in Fig. 3B). The proportions of associative memory neurons and non-associative memory neurons are presented in Figure SR2A for control and intruder mice. Moreover, the activity strengths of S1Tr cortical neurons in response to battle sound and somatic stimulus were analyzed. Normalized spike frequencies at S1Tr cortical neurons in response to the battle sound are 1.2 ± 0.1 in control mice (n = 128 neurons) and 1.80 ± 0.3 in intruders (n = 120 neurons; p < 0.05, ANOVA; the left panel of Fig. 3C). Normalized spike frequencies at S1Tr cortical neurons in response to the somatic stimulus are 1.3 ± 0.1 in controls (n = 128 neurons) and 1.70 ± 0.2 in intruders (red bar, n = 120 neurons; p < 0.05, ANOVA; the right panel of Fig. 3C). More S1Tr cortical neurons to encode new battle sound and innate somatic signal as well as their high response strengths in intruder mice indicate the recruitment of these neurons to be the associative memory neurons and their functional upregulation induced by the social stress.Fig. 3Social stress recruits associative memory neurons.A Representative traces of spontaneous and evoked spikes in S1Tr neurons. Gray boxes represent the application of two stimuli, AS, battle sound. SS, somatic stimulus, which last for 30 s. B Percentage diagram illustrates the response of S1Tr neurons to both auditory and somatosensory signals (Ctrl, n = 128 neurons. Intruder, n = 120 neurons. Chi-square test, χ² = 4.265, P = 0.0389). C Statistical comparison of normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 466) = 0.1715, P = 0.6790. AS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons. SS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons). D Examples of spike recordings in the AC neurons. E Compared to other neuronal ensembles, the neurons ensemble in the Intruder group contained a higher proportion of AMC (Ctrl, n = 120 neurons. Intruder, n = 128 neurons. Chi-square test, χ² = 4.864, P = 0.0286). F Normalized spike frequencies in AC (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 492) = 0.1316, P = 0.9711). G Same as A, but for the mPFC area. H Same as B, but for the mPFC area. (Ctrl, n = 122 neurons. Intruder, n = 115 neurons. Chi-square test, χ² = 6.574, P = 0.0103). I Same as C, but for the mPFC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 524) = 0.2040, P = 0.6517). J Strategy for the application of antagonists to ionotropic glutamatergic receptors, coupled with the recording of neuronal activity via electrodes in the mPFC. K Example traces depict the recording of both spontaneous and evoked spikes before and after the application of antagonists. Blue triangles point to the application of antagonists, gray boxes indicate the reapplication of two stimuli (AS and SS). L, M Discharge frequency statistics standardized for antagonists and saline group (AS, t(8) = 5.880, P = 0.0004. SS, t(8) = 5.353, P = 0.0007. n = 9 mice for CNQX/D-AP5 and saline groups). CNQX 6-Cyano-7-nitroquinoxaline-2,3-dione, D-AP5 D-2-Amino-5-phosphonovaleric acid. Data are represented as mean ± s.e.m.\nA Representative traces of spontaneous and evoked spikes in S1Tr neurons. Gray boxes represent the application of two stimuli, AS, battle sound. SS, somatic stimulus, which last for 30 s. B Percentage diagram illustrates the response of S1Tr neurons to both auditory and somatosensory signals (Ctrl, n = 128 neurons. Intruder, n = 120 neurons. Chi-square test, χ² = 4.265, P = 0.0389). C Statistical comparison of normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 466) = 0.1715, P = 0.6790. AS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons. SS: Ctrl, n = 128 neurons. Intruder, n = 120 neurons). D Examples of spike recordings in the AC neurons. E Compared to other neuronal ensembles, the neurons ensemble in the Intruder group contained a higher proportion of AMC (Ctrl, n = 120 neurons. Intruder, n = 128 neurons. Chi-square test, χ² = 4.864, P = 0.0286). F Normalized spike frequencies in AC (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 492) = 0.1316, P = 0.9711). G Same as A, but for the mPFC area. H Same as B, but for the mPFC area. (Ctrl, n = 122 neurons. Intruder, n = 115 neurons. Chi-square test, χ² = 6.574, P = 0.0103). I Same as C, but for the mPFC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 524) = 0.2040, P = 0.6517). J Strategy for the application of antagonists to ionotropic glutamatergic receptors, coupled with the recording of neuronal activity via electrodes in the mPFC. K Example traces depict the recording of both spontaneous and evoked spikes before and after the application of antagonists. Blue triangles point to the application of antagonists, gray boxes indicate the reapplication of two stimuli (AS and SS). L, M Discharge frequency statistics standardized for antagonists and saline group (AS, t(8) = 5.880, P = 0.0004. SS, t(8) = 5.353, P = 0.0007. n = 9 mice for CNQX/D-AP5 and saline groups). CNQX 6-Cyano-7-nitroquinoxaline-2,3-dione, D-AP5 D-2-Amino-5-phosphonovaleric acid. Data are represented as mean ± s.e.m.\nElectrophysiological recordings in vivo were also done in auditory cortices in the meantime to give battle sound and somatic signal. In comparison with one sample neuron in control mice in response to battle sound (blue trace in Fig. 3D), one of auditory cortical neurons in intruder mice appears to encode the battle sound and somatic stimulus (red trace in Fig. 3D). The percentages of auditory cortical neurons in response to somatic and sound signals are 5.83% in controls (n = 120 neurons from 9 mice) and 16.41% in intruders (n = 128 neurons from 9 mice; p < 0.05, X2-test in Fig. 3E). The proportions of associative memory neurons and non-associative memory neurons are shown in Figure SR2B for control and intruder mice. Moreover, normalized spike frequencies at auditory cortical neurons in response to battle sound are 1.2 ± 0.1 in controls (n = 120 neurons) and 1.7 ± 0.2 in intruder (n = 128 neurons; p < 0.01, ANOVA; the left panel of Fig. 3F,). Normalized spike frequencies at these auditory cortical neurons in response to the somatic stimulus are 1.3 ± 0.1 in controls (n = 120 neurons) and 1.90 ± 0.2 in intruders (n = 128 neurons; p < 0.05, ANOVA; the right panel in Fig. 3F). More auditory cortical neurons in intruder mice to encode innate battle sound and new somatic signal as well as their higher responsive strength indicate the recruitment of these neurons to associative memory neurons and their functional upregulation induced by the social stress.\nElectrophysiological recordings in vivo have also been done in medial prefrontal cortices in the meantime to give battle sound and somatic stimulus. In comparison with a sample neuron from control mouse in response to the somatic stimulus (blue trace in Fig. 3G), one of medial prefrontal cortical neurons in intruder mice appears to encode both somatic stimulus and battle sound (red trace in Fig. 3G). The percentages of medial prefrontal cortical neurons in response to somatic and sound signals are 4.92% in controls (n = 122 neurons in total recorded from 9 mice) and 14.78% in intruders (n = 115 neurons from 9 mice; p < 0.05, X2-test in Fig. 3H). The portions of associative memory neurons and non-associative memory neurons are shown in Figure SR2C for control mice and intruder mice. Moreover, normalized spike frequencies at medial prefrontal cortical neurons in response to the battle sound are 1.30 ± 0.1 in controls (n = 122 neurons) and 1.90 ± 0.1 in intruders (n = 115 neurons; p < 0.01, ANOVA; the left panel of Fig. 3I). Normalized spike frequencies at these medial prefrontal cortical neurons in response to the somatic stimulus are 1.3 ± 0.1 in control mice (n = 122 neurons) and 2.0 ± 0.2 in intruders (n = 115 neurons; p < 0.001, ANOVA; the right panel in Fig. 3I). More medial prefrontal cortical neurons to encode battle sound and somatic signal as well as their high responsive strengths in intruder mice indicate the recruitment of these neurons to associative memory neurons and their functional upregulation induced by the social stress.\nTherefore, the social stress recruits medial prefrontal, auditory and S1Tr cortical neurons to be associative memory neurons. As the signal flows in the cerebral cortex originate from sensory cortices to their downstream cortices in the frontal lobe, these associative memory neurons may fall into different grades, such as the first order in sensory cortices and the second order in the prefrontal cortex [65]. We have tested this hypothesis by the pharmacological blocking of sensory cortices to see whether the activity of associative memory neurons in medial prefrontal cortices disappeared.\nElectrophysiological recordings in vivo were conducted in the medial prefrontal cortices of the intruder mice to examine their responses to the battle sound and the somatic stimulus, while the antagonists of ionotropic glutamatergic receptors were used in S1Tr and auditory cortices to block their neuronal activity (Fig. 3J). A timeline to identify the secondary associative memory neurons in the medial prefrontal cortex was to record their responsiveness to battle sound and somatic stimulus, to perfuse CNQX and D-AP5 to S1Tr and auditory cortices in an interval period, and to record the activity of these associative memory neurons again (Fig. 3K). In comparison with the injection of saline in S1Tr and auditory cortices, the injections of CNQX/D-AP5 to these areas significantly suppress the spike-encoding of associative memory neurons to battle sound and somatic stimulus (Fig. 3L, M). These data support the hypothesis that associative memory neurons in the medial prefrontal cortex are the second-order in nature.\nIn the investigation of the role of secondary associative memory neurons within the medial prefrontal cortex in fear memories and schizophrenia-like behaviors of intruder mice, dopamine receptor-II was knocked down to examine whether this manipulation blocked the stress-induced recruitment of associative memory neurons and the stress-induced emergence of fear memories and schizophrenia-like behaviors.\n\n\n### Dopaminergic receptors-II is needed for stress-induced recruitment of associative memory cells\nThe knockdown of dopaminergic receptors-II mRNA (D2R-KD) in the medial prefrontal cortex was conducted by microinjecting AAV2-CMV-U6-DR2-EGFP (pAAV[shRNA]-EGFP-U6-DR2) in this area before the C57 mice experienced the resident/intruder paradigm, or intruder plus D2R-KD. In the meantime, shRNA-scramble control was microinjected into the medial prefrontal cortex in intruder plus scramble control mice. In the morphological identification of associative memory neurons, AAV2-CMV-BFP, AAV2-CMV-tdTomato and AAV2-CMV-GFP were respectively injected in S1Tr, auditory and medial prefrontal cortices, while the pAAV[shRNA]-GFP-U6-DR2 was injected into the medial prefrontal cortex. After the mice experienced the resident/intruder paradigm, the electrophysiological recordings in vivo were conducted in medial prefrontal cortical neurons, and neural tracings were conducted in the S1Tr, auditory and medial prefrontal cortices in those mice from the groups of intruder plus DR2-KD and intruder plus scramble.\nIn the study of the influence of dopaminergic receptor-II knockdown on the interconnections between S1Tr cortical neurons and auditory cortical neurons, AAV-CMV-tdTomato was injected in the auditory cortex and AAV-CMV-BFP was injected in the S1Tr cortex (Fig. 4A). In comparison with intruder plus scramble control, the knockdown of dopaminergic receptor-II in intruder mice (intruder plus DR2-KD) appears to dilute the RFP-labeled axons from auditory cortical neurons to the S1Tr cortex (left panel in Fig. 4B), the BFP-labelled axons from S1Tr cortical neurons to the auditory cortex (middle panel) and their convergent synapse innervations onto medial prefrontal cortical neurons (right panel). RFP-labelled axon boutons per mm3 in S1Tr cortices are 0.60 ± 0.06 ×105 in intruder plus scrambles (n = 27 cubes from 9 mice) and 0.3 ± 0.04 ×105 in intruder plus DR2- KD (n = 34 cubes from 9 mice, p < 0.001, ANOVA, left bars in Fig. 4C). BFP-labelled axon boutons per mm3 in auditory cortex are 0.20 ± 0.05×105 in intruder plus scramble (n = 29 cubes from 9 mice) and 0.06 ± 0.01 ×105 in intruder plus DR2-KD (n = 37 cubes from 9 mice, p = 0.008, ANOVA; right bars in Fig. 4C). These data indicate that the dopaminergic receptor-II knockdown prevents the stress-induced interconnections between the S1Tr cortex and the auditory cortex. In addition, BFP-labelled axon boutons per mm3 from S1Tr cortical neurons to medial prefrontal cortices are 1.08 ± 0.22 ×105 in intruder plus scramble (n = 29 cubes from 8 mice) and 0.13 ± 0.04 ×105 in intruder plus DR2-KD (n = 30 cubes from 8 mice, p < 0.001, ANOVA; left bars in Fig. 4D). RFP-labelled axon boutons per mm3 from auditory cortical neurons to medial prefrontal cortices are 0.99 ± 0.18 ×105 in intruder plus scrambles (n = 39 cubes from 9 mice) and 0.5 ± 0.08 ×105 in intruder plus DR2-KD (n = 40 cubes from 9 mice, p < 0.001, ANOVA; right bars in Fig. 4D). These data indicate that the dopamine receptor-II knockdown prevents stress-induced axon innervations to medial prefrontal cortical neurons from auditory and S1Tr cortices.Fig. 4Drd2 knockdown reduces interconnections among AC, S1Tr and mPFC.A Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Representative confocal images depict axonal innervations from fluorescently labeled axons in the scramble and Drd2-KD groups. Red triangles point to boutons inputted from the AC, green triangles point to boutons inputted from the S1Tr. Scale bar, 20 μm. C Bar graph depicts the densities of axon boutons labeled with fluorescent markers in the S1Tr and AC (Area ×Group F(1, 123) = 2.461, P = 0.1193). D Same as C, but for the mPFC area (Area ×Group F(1, 134) = 2.362, P = 0.1267). E Illustrating synapse contacts in S1Tr, AC and mPFC. White boxes represent the newly formed synapse contacts. EBFP-labeled axonal bouton from S1Tr, RFP-labeled axonal boutons from the AC. Scale bar = 10 μm; inset scale bar = 2 μm. F Bar graph depicts Drd2-KD reduced the synapse contacts in the S1Tr and AC regions (Area ×Group F(1, 155) = 23.87, P < 0.0001). G Same as F, but for the mPFC area (Area ×Group F(1, 222) = 1.64, P = 0.2016). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Intersectional viral strategy for Drd2 knockdown of mPFC. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Green arrows indicate boutons, white boxes represent the newly contacts. Scale bar, 20 μm, scale bar = 10 μm, scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. J t(99) = 11.18. Each group, n = 9. K t(100) = 7.481. Each group, n = 9. L Same as I, but for the AC area. M, N Same as J, K, but for the AC area. M t(57) = 8.937. Scramble, n = 8. Drd2-KD, n = 9. N t(63) = 5.838. Each group, n = 9. Independent-samples t-test. Data are represented as mean ± s.e.m.\nA Virus schematics (top) and representative a coronal section confocal image of the injection site (bottom). Scale bar, 1 mm. B Representative confocal images depict axonal innervations from fluorescently labeled axons in the scramble and Drd2-KD groups. Red triangles point to boutons inputted from the AC, green triangles point to boutons inputted from the S1Tr. Scale bar, 20 μm. C Bar graph depicts the densities of axon boutons labeled with fluorescent markers in the S1Tr and AC (Area ×Group F(1, 123) = 2.461, P = 0.1193). D Same as C, but for the mPFC area (Area ×Group F(1, 134) = 2.362, P = 0.1267). E Illustrating synapse contacts in S1Tr, AC and mPFC. White boxes represent the newly formed synapse contacts. EBFP-labeled axonal bouton from S1Tr, RFP-labeled axonal boutons from the AC. Scale bar = 10 μm; inset scale bar = 2 μm. F Bar graph depicts Drd2-KD reduced the synapse contacts in the S1Tr and AC regions (Area ×Group F(1, 155) = 23.87, P < 0.0001). G Same as F, but for the mPFC area (Area ×Group F(1, 222) = 1.64, P = 0.2016). Two-way ANOVA with Fisher’s LSD for multiple comparisons. H Intersectional viral strategy for Drd2 knockdown of mPFC. Scale bar, 1 mm. I Axonal innervations (left panel) and newly formed synapse contacts (right panel) in S1Tr. Green arrows indicate boutons, white boxes represent the newly contacts. Scale bar, 20 μm, scale bar = 10 μm, scale bar = 2 μm. J, K A barplot of axonal innervations and synapse contacts in the S1Tr, respectively. J t(99) = 11.18. Each group, n = 9. K t(100) = 7.481. Each group, n = 9. L Same as I, but for the AC area. M, N Same as J, K, but for the AC area. M t(57) = 8.937. Scramble, n = 8. Drd2-KD, n = 9. N t(63) = 5.838. Each group, n = 9. Independent-samples t-test. Data are represented as mean ± s.e.m.\nThe influence of dopaminergic receptor-II knockdown on the synapse innervations to target neurons was analyzed by detecting the synapse contacts between FP-labeled axon boutons from presynaptic neuron and YFP-labeled dendritic spines on postsynaptic neuron. In comparison with intruder plus scramble control (bottom panels in Fig. 4E), dopaminergic receptor-II knockdown in intruder mice appears to attenuate new synapse contacts made by auditory cortical neuronal axons to S1Tr cortical neurons (left panel), new synapse contacts made by S1Tr cortical neuronal axons to auditory cortical neurons (middle panel) as well as convergent synapse contacts made by the axons from auditory and S1Tr cortices onto medial prefrontal cortical neurons (right panel). The synapse contacts per 100 μm dendrite on S1Tr cortical neurons are 1.60 ± 0.20 in intruder plus scrambles (n = 39 dendrites from 9 mice) and 0.60 ± 0.20 in intruder plus D2R-KD (n = 42 dendrites from 9 mice, p = 0.005, ANOVA; left bars in Fig. 4F). The synapse contacts per 100μm dendrite on auditory cortical neurons are 3.60 ± 0.40 in intruder plus scrambles (n = 37 dendrites from 10 mice) and 0.20 ± 0.10 in intruder plus DR2-KD (n = 41 dendrites from 10 mice, p < 0.001, ANOVA; right bars in Fig. 4F). These data indicate that dopaminergic receptors-II knockdown prevents the stress- induced synapse interconnections between S1Tr and auditory cortices. In addition, the synapse contacts per 100 μm dendrite onto medial prefrontal cortical neurons from S1Tr cortical neurons are 1.2 ± 0.2 in intruder plus scramble (n = 48 dendrites from 9 mice) and 0.40 ± 0.10 in intruder plus DR2-KD (n = 65 dendrites from 12 mice, p < 0.01, ANOVA; left bars in Fig. 4G). Synapse contacts per 100 μm dendrite onto medial prefrontal cortical neurons from auditory cortical neurons are 0.70 ± 0.1 in intruder plus scrambles (n = 48 dendrites from 9 mice) and 0.20 ± 0.09 in intruder plus DR2-KD (n = 65 dendrites from 12 mice, p < 0.01, ANOVA; right bars in Fig. 4G). These data indicate that the dopaminergic receptors-II knockdown prevents stress- induced convergent synapse innervations onto medial prefrontal cortical neurons from S1Tr and auditory cortices.\nIn the study of the influence of dopaminergic receptor-II knockdown on synapse innervation at target areas of prefrontal cortical neurons, AAV-CMV-GFP was injected in the medial prefrontal cortex (Fig. 4H) and GFP-labelled axon boutons of prefrontal cortical neurons were screened in S1Tr and auditory cortices. In comparison with intruder plus scramble control, the dopaminergic receptor-II knockdown in intruder mice appears to lower axon projections from medial prefrontal cortical neurons to the S1Tr cortex (left panel in Fig. 4I) and the synapse contacts of the axons onto S1Tr cortical neurons (right panel). Axon boutons per mm3 in the S1Tr cortices are 1.7 ± 0.01 ×104 in intruder plus scramble (n = 54 cubes from 9 mice) and 0.1 ± 0.01 ×104 in intruder plus DR2- KD (n = 47 cubes from 9 mice, p < 0.0001, ANOVA; Fig. 4J). Synapse contacts per 100 μm dendrite on S1Tr cortical neurons are 2.6 ± 0.32 in intruder plus scrambles (n = 39 dendrites from 9 mice) and 0.52 ± 0.09 in intruder plus DR2-KD (n = 63 dendrites from 9 mice, p < 0.0001, ANOVA; Fig. 4K). In addition, the knockdown of dopaminergic receptor-II in intruder mice appears to reduce the axon projection from medial prefrontal cortical neurons to the auditory cortex (left panel in Fig. 4L) and the synapse contacts of these axonal boutons on auditory cortical neurons (right panel), in comparison with intruder plus scramble control. Axonal boutons per mm3 in auditory cortices are 1.4 ± 0.01 ×104 in intruder plus scramble (n = 24 cubes from 8 mice) and 0.0 ± 0 in intruder plus DR2-KD (n = 35 cubes from 9 mice, p < 0.001, ANOVA; Fig. 4M). Synapse contacts per 100 μm dendrite on auditory cortical neurons are 1.1 ± 0.2 in intruder plus scramble (n = 29 dendrites from 9 mice) and 0 ± 0 in intruder plus DR2-KD (n = 36 dendrites from 9 mice, p < 0.001, ANOVA; Fig. 4N). The knockdown of dopaminergic receptors-II in the medial prefrontal cortex prevents the stress-induced reception of axon projections and the innervations of new synapses on S1Tr and auditory cortical neurons from the prefrontal cortex.\nThe influence of the dopaminergic receptor-II knockdown in the medial prefrontal cortex on the recruitment of associative memory neurons was also examined by in vivo electrophysiological recordings in S1Tr, auditory and medial prefrontal cortical neurons, in the meantime to apply the battle sound and the somatic stimulus (Fig. 5). In comparison with one of medial prefrontal cortical neurons from a scramble control mouse that encodes battle sound and somatic stimulus (blue trace in Fig. 5A), one of medial prefrontal cortical neurons from an intruder plus D2R-KD mouse appears not to encode battle sounds and somatic stimuli (red trace). The percentages of medial prefrontal cortical neurons in response to both sound and somatic signals are 18.26% in intruder plus scrambles (n = 115 neurons from 9 mice) and 4.43% in intruder plus DR2-KD (n = 113 neurons from 9 mice; p < 0.01, X2-test in Fig. 5B). Normalized spike frequencies at medial prefrontal cortical neurons in response to battle sounds are 1.7 ± 0.2 in intruder plus scrambles (n = 115 neurons) and 1.30 ± 0.1 in intruder plus DR2-KD (n = 113 neurons; p < 0.05, ANOVA; left bars in Fig. 5C). Normalized spike frequencies at medial prefrontal cortical neurons in response to the somatic stimulus are 1.80 ± 0.20 in intruder plus scramble (n = 115 neurons) and 1.20 ± 0.1 in intruder plus DR2-KD (n = 113 neurons; p < 0.05, ANOVA; right bars in Fig. 5C). Less recruitment of associative memory neurons in the medial prefrontal cortex by the dopaminergic receptor-II knockdown indicates that dopaminergic receptor-II is required for the social stress- induced recruitment of associative memory neurons.Fig. 5Drd2 knockdown weakens the recruitment of associative memory neurons.A Representative spontaneous and evoked spikes traces. B Proportion of mPFC neurons responsive to AS and SS compared to those showing no response to these signals (Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons. Chi-square test, χ² = 10.80, P = 0.0010). C Normalized spike frequencies in mPFC cortical neurons (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 438) = 0.0006, P = 0.9806. Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons). D Example of bandpass continuous data for spike recordings in the S1Tr. E Lower proportion of response to both sound and somatic signals cells in the Drd2-KD group than the Scramble group (Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons. Chi-square test, χ² = 5.943, P = 0.0147). F Statistical graph shows normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 467) = 0.0046, P = 0.9458. Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons). G Same as A, but for the AC area. H Same as B, but for the AC area. (Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons. Chi-square test, χ² = 12.41, P = 0.0162). I Same as C, but for the AC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 468) = 0.4116, P = 0.5215. Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons). S1Tr primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m. **P < 0.01, *P < 0.05.\nA Representative spontaneous and evoked spikes traces. B Proportion of mPFC neurons responsive to AS and SS compared to those showing no response to these signals (Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons. Chi-square test, χ² = 10.80, P = 0.0010). C Normalized spike frequencies in mPFC cortical neurons (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 438) = 0.0006, P = 0.9806. Scramble, n = 115 neurons. Drd2-KD, n = 113 neurons). D Example of bandpass continuous data for spike recordings in the S1Tr. E Lower proportion of response to both sound and somatic signals cells in the Drd2-KD group than the Scramble group (Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons. Chi-square test, χ² = 5.943, P = 0.0147). F Statistical graph shows normalized spike frequencies in S1Tr (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 467) = 0.0046, P = 0.9458. Scramble, n = 118 neurons. Drd2-KD, n = 119 neurons). G Same as A, but for the AC area. H Same as B, but for the AC area. (Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons. Chi-square test, χ² = 12.41, P = 0.0162). I Same as C, but for the AC area (Two-way ANOVA with Tukey’s Multiple Comparisons. Stimulus × Group F(1, 468) = 0.4116, P = 0.5215. Scramble, n = 126 neurons. Drd2-KD, n = 114 neurons). S1Tr primary somatosensory cortex, AC auditory cortex, mPFC medial prefrontal cortex. Data are represented as mean ± s.e.m. **P < 0.01, *P < 0.05.\nThe influence of dopaminergic receptor-II knockdown in the media prefrontal cortex on the recruitment of associative memory neurons was also examined in S1Tr and auditory cortices. In comparison with one of S1Tr cortical neurons from a scramble control mouse that encodes both battle sound and somatic stimulus (blue trace in Fig. 5D), one of S1Tr cortical neurons from an intruder plus DR2-KD mouse appears not to encode such two signals (red trace in Fig. 5D). The percentages of S1Tr cortical neurons in response to battle sound and somatic signals are 20.80% in intruder plus scrambles (n = 118 neurons from 9 mice) and 5.26% in intruder plus DR2-KD group (n = 119 neurons from 9 mice; p < 0.05, X2-test in Fig. 5E). Normalized spike frequencies at S1Tr cortical neurons in response to battle sound are 1.9 ± 0.2 in intruder plus scramble (n = 118 neurons) and 1.3 ± 0.1 in intruder plus DR2-KD (n = 119 neurons, p < 0.05, ANOVA; left bars in Fig. 5F). Normalized spike frequencies at S1Tr cortical neurons in response to the somatic stimulus are 2.0 ± 0.20 in intruder plus scrambles (n = 118 neurons) and 1.5 ± 0.1 in intruder plus D2R-KD (n = 119 neurons; p < 0.05, ANOVA; right bars in Fig. 5F). Thus, the reductions in the recruitment of S1Tr cortical neurons to encode two signals and in their activities by the dopamine receptor-II knockdown in the medial prefrontal cortex strongly indicate that the dopaminergic receptor-II is required for the stress-induced recruitment of associative memory neurons in the S1Tr cortex and interactions between these two cortices.\nMoreover, compared with one of auditory cortical neurons from a scramble control mouse that encodes somatic stimulus and battle sound (blue trace in Fig. 5G), one of auditory cortical neurons from an intruder plus D2R-KD mouse appears not to encode these two signals (red trace in Fig. 5G). The percentages of auditory cortical neurons in response to sound and somatic signals are 16.59% in intruder plus scramble control (n = 126 neurons from 9 mice) and 6.72% in intruder plus D2R-KD (n = 114 neurons from 9 mice; p < 0.05, X2-test in Fig. 5H). Normalized spike frequencies at auditory cortical neurons in response to battle sound are 1.90 ± 0.2 in intruder plus scrambles (n = 126 neurons) and 1.2 ± 0.1 in intruder plus DR2-KD (n = 114 neurons, p < 0.01, ANOVA; left bars in Fig. 5I). Normalized spike frequencies at auditory cortical neurons in response to somatic stimulus are 1.7 ± 0.1 in intruder plus scrambles (n = 126 neurons) and 1.2 ± 0.1 in intruder plus DR2-KD (n = 114 neurons, p < 0.05, ANOVA; right bars in Fig. 5I). Thus, the reductions in the recruitment of auditory cortical neurons to encode these two signals and in their activities by dopaminergic receptor-II knockdown in the medial prefrontal cortex indicate that dopamine receptor-II is required for the stress-induced recruitment of associative memory neurons in the auditory cortex and interactions between these two cortices.\nIt is noteworthy that the roles of dopaminergic receptor-II in the recruitment of associative memory neurons by the electrophysiological study is also granted by the effects of dopaminergic receptor-II knockdown on the proportions of associative memory neurons versus non-associative memory neurons in medial prefrontal, S1Tr and auditory cortices (Figure SR3). As the type two of dopaminergic receptors as metabotropic receptor act onto G-protein coupled intracellular signal pathways [159], the formation of synapse interconnections among auditory, S1Tr and mPFC as well as the recruitment of associative memory neurons in these cortical areas induced by the social stress may be initiated by G-protein coupled intracellular signal pathways.\nMorphological and functional studies above suggest that the dopaminergic receptor-II in the medial prefrontal cortex plays the important role in the stress-induced recruitment of associative memory cells and strengthening of their activities in the prefrontal, somatic and auditory cortices based on their interconnections and interactions. If such associative memory neurons are critical for stress-induced fear memory and schizophrenia-like behaviors, the dopaminergic receptors-II knockdown in the prefrontal cortex is expected to prevent fear memories and schizophrenia-like behaviors.\n\n\n### Dopaminergic receptors-II knockdown prevents fear memory and schizophrenia\nAfter the mice in groups of intruder plus DR2-KD and intruder plus scramble experienced the resident/intruder paradigm, the emergence of their fear memory specific to resident CD1 mouse was examined by the social interaction test. Heat-maps in Fig. 6A show that one C57 mouse in intruder plus DR2-KD group appears not to stay away from the interaction zone in the presence of the resident mouse, in comparison with its performance in the absence of this resident mouse as well as the stay in the interaction zone from one mouse in intruder plus scramble group. The differences of the stay time in the interaction zone between the presence of the resident mouse and the absence of this resident mouse are -59.5 ± 9 seconds in intruder plus scramble mice (n = 17) and -15.8 ± 3.9 seconds in intruder plus DR2-KD mice (n = 17, p < 0.001, ANOVA; Fig. 6B). Less avoidance to the resident mouse in intruder plus DR2-KD mice indicates that the dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the stress-induced fear memory specific to the resident mouse.Fig. 6Drd2 knockdown alleviates fear memory and schizophrenia-like behaviors.A Heatmaps demonstrate the impact of Drd2 knockdown in the open field in response to CD1+ and CD-. B A barplot of the staying time in the interaction zone comparing Scramble and Drd2-KD mice (t(32) = 4.411, P = 0.001. n = 17 for Scramble and Drd2-KD groups mice). C Percentage statistics of the stay time in open arms (t(24) = 6.331, P < 0.0001. Each group, n = 13 mice). D Depicts alterations during the Y-maze test in the arm containing a conspecific companion (t(22) = 5.445, P < 0.001. n = 10 and 14 for Scramble and Drd2-KD groups mice). E Sucrose preference percentage of Scramble and Drd2-KD groups (t(28) = 3.677, P = 0.0001. Each group, n = 15 mice). F Modified pre-pulse inhibition test of different decibels following Drd2 knockdown. G Lower pre-pulse response intensity ratio at 120 dB in the Drd2-KD group than the Scramble group (t(28) = 2.086, P = 0.0462. Each group, n = 15 mice). H Depicts the impact of Drd2 knockdown on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 4.167, P = 0.041. 70 dB: χ² = 0.667, P = 0.414). I Changes in response strengths under 90 dB and 80 dB conditions (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 30) = 0.076, P = 0.7842. 90 dB, Scramble, n = 11. Drd2-KD, n = 5. 80 dB, Scramble, n = 11. Drd2-KD, n = 7). J, K The effect of Drd2 knockdown on changes tremor levels. Drd2-KD mice appear less frequent body tremor (t(20) = 4.072, P = 0.006. n = 10 and 12 for Scramble and Drd2-KD groups mice). L, M The impact of Drd2 knockdown on alterations in the angular levels. Drd2-KD mice displayed lower fluctuations of included angles in body arch (t(20) = 3.219, P = 0.0043. n = 10 and 12 mice). N, O Representative traces and statistics of motion distance (t(21) = 3.219, P < 0.0001. n = 11 and 12 mice). P A diagram elucidates the role of Drd2 knockdown in the formation of fear memory and the manifestation of schizophrenia-like behaviors. The darkness of color represents the severity. Data are represented as mean ± s.e.m. Details of the statistical information are provided in Supplementary Data 1.\nA Heatmaps demonstrate the impact of Drd2 knockdown in the open field in response to CD1+ and CD-. B A barplot of the staying time in the interaction zone comparing Scramble and Drd2-KD mice (t(32) = 4.411, P = 0.001. n = 17 for Scramble and Drd2-KD groups mice). C Percentage statistics of the stay time in open arms (t(24) = 6.331, P < 0.0001. Each group, n = 13 mice). D Depicts alterations during the Y-maze test in the arm containing a conspecific companion (t(22) = 5.445, P < 0.001. n = 10 and 14 for Scramble and Drd2-KD groups mice). E Sucrose preference percentage of Scramble and Drd2-KD groups (t(28) = 3.677, P = 0.0001. Each group, n = 15 mice). F Modified pre-pulse inhibition test of different decibels following Drd2 knockdown. G Lower pre-pulse response intensity ratio at 120 dB in the Drd2-KD group than the Scramble group (t(28) = 2.086, P = 0.0462. Each group, n = 15 mice). H Depicts the impact of Drd2 knockdown on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 4.167, P = 0.041. 70 dB: χ² = 0.667, P = 0.414). I Changes in response strengths under 90 dB and 80 dB conditions (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 30) = 0.076, P = 0.7842. 90 dB, Scramble, n = 11. Drd2-KD, n = 5. 80 dB, Scramble, n = 11. Drd2-KD, n = 7). J, K The effect of Drd2 knockdown on changes tremor levels. Drd2-KD mice appear less frequent body tremor (t(20) = 4.072, P = 0.006. n = 10 and 12 for Scramble and Drd2-KD groups mice). L, M The impact of Drd2 knockdown on alterations in the angular levels. Drd2-KD mice displayed lower fluctuations of included angles in body arch (t(20) = 3.219, P = 0.0043. n = 10 and 12 mice). N, O Representative traces and statistics of motion distance (t(21) = 3.219, P < 0.0001. n = 11 and 12 mice). P A diagram elucidates the role of Drd2 knockdown in the formation of fear memory and the manifestation of schizophrenia-like behaviors. The darkness of color represents the severity. Data are represented as mean ± s.e.m. Details of the statistical information are provided in Supplementary Data 1.\nAs described previously, the schizophrenia-like behaviors were measured by the pre-pulse inhibition test for their hypersensitivity and hallucination, the persecutory delusion test for their persecutory delusion, the elevated-plus maze test for their anxious state as well as the sucrose preference and Y-maze tests for their depressive mood.\nThe anxiety-like behaviors were examined by an elevated-plus maze. One mouse in intruder plus DR2-KD group appears to stay in open arms, while a mouse in intruder plus scramble group appears not to access these open arms (Figure SR4A). The percentages of the stay time in open arms to the total time on the elevated-plus maze are 4.80 ± 0.7% in intrude plus scramble control mice (n = 13) and 12.9 ± 1.1% in intruder plus DR2-KD mice (n = 13; p < 0.001, ANOVA; Fig. 6C). The dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the stress-induced anxiety in those intruder mice with fear memory.\nThe depression-like behaviors were examined by the sucrose preference test for anhedonia and the Y-maze test for loss of interest and social withdrawal. Heat-maps from the Y-maze test in Figure SR4B show that one mouse in intruder plus D2R-KD group appears not to stay away from the interaction arm including its confidante, compared with one mouse in intruder plus scramble group. The values of the stay time in the interaction arm are 42.5 ± 2.1 seconds in intruder plus DR2-KD mice (n = 10) and 23.7 ± 2.8 seconds in intruder plus scramble mice (n = 14, p < 0.001, ANOVA; Fig. 6D). These data indicate that the mice in an intruder plus D2R-KD group remain interested in their confidantes during the social activity. In the sucrose preference test, the percentages of sucrose water ingestion in total water ingestion are 57.1 ± 2.2% in intruder plus DR2-KD mice (n = 15) and 46.8 ± 1.8% in intruder plus scramble mice (n = 15, p < 0.001, ANOVA; Fig. 6E). These data indicate that the mice in intruder plus DR2-KD express a sugar preference. The dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the stress-induced depression-like behaviors in intruder mice with fear memory.\nThe hypersensitivity of schizophrenic mania was examined by the pre-pulse inhibition test and the response threshold to stimulus pulses (Fig. 6F). The relative response strength of the mice in the pre-pulse inhibition test was calculated by the ratio of the differences of responses between pulse two and pulse one over responses to pulse one. The values about this ratio are -0.07 ± 0.02 in intruder plus scramble mice (blue symbols in Fig. 6G; n = 15) and -0.14 ± 0.02 in intruder plus DR2-KD (red symbols; n = 15; p < 0.05, ANOVA). In addition, the response threshold to sound pulses was minimal sound pulses for mice to jump, and the response strength was a ratio of the dynamic weight due to their jumps to the static weight. In Fig. 6H, response thresholds are 80 dB for intruder plus DR2-KD mice (red bar, n = 10/75) and 70 dB for intruder plus scramble mice (blue bar, n = 6/75). Response strengths to sound pulses at 80 dB are 1.11 ± 0.02 in intruder plus DR2-KD mice (n = 7) and 1.19 ± 0.03 in intruder plus scramble (n = 11, p < 0.05, ANOVA; right bars in Fig. 6I). Response strengths to sound pulses at 90 dB are 1.11 ± 0.02 in intruder plus DR2-KD mice (n = 5) and 1.21 ± 0.03 in intruder plus scramble mice (n = 11, p < 0.05, ANOVA; left bars in Fig. 6I). These data indicate that the knockdown of dopaminergic receptor-II in the medial prefrontal cortex prevents stress-induced hypersensitivity to sound signals, i.e., schizophrenia-like mania.\nThe delusion of schizophrenic mania in mice was examined by the persecutory delusion test. Fear responses to the resident mouse were featured by the mouse back arch to small included- angles, the frequent shaking of their bodies and the less movements in the open field. If intruder mice expressed these behaviors without the presence of the resident mouse, they were thought to be the emergence of the persecutory delusion. As shown in Fig. 6J, one mouse in intruder plus DR2-KD group appears less frequent tremor in the body (red trace) than a mouse in intruder plus scramble control group (blue trace). The shaking frequencies are 2.6 ± 0.6 Hz in intrude plus scramble mice (n = 10) and 0.4 ± 0.1 Hz in intruder plus DR2-KD mice (n = 12; p < 0.001, ANOVA; Fig. 6K). Moreover, the included angles of back arch appear larger in a mouse in intruder plus DR2-KD group (red trace in Fig. 6L) than a mouse in intruder plus scramble control group (blue trace). The included angles of back arch (degrees) are 76.7 ± 6.5 in intruder plus scramble mice (n = 10) and 98.9 ± 3.3 in intruder plus DR2- KD mice (n = 12; p < 0.01, ANOVA; Fig. 6M). In addition, the motions in an open field appear more active in a mouse in intruder plus DR2-KD group (red trace in Fig. 6N) than a mouse in intruder plus scramble control (blue trace). Motion distances in this open field (cm/10 min) are 0.17 ± 0.01 ×105 in intruder plus scramble mice (n = 11) and 1.02 ± 0.01 ×105 in intruder plus DR2-KD mice (n = 12; p < 0.001, ANOVA; Fig. 6O). Therefore, the dopamine receptor-II knockdown may prevent the stress-induced persecutory delusion including frequent body tremors, dominant body arch and less movement in the absence of scared signals. Figure 6P illustrates the diagram about the role of dopaminergic receptor-II in schizophrenia-like behaviors.\n\n\n### Dopaminergic receptors-II antagonist suppresses fear memory and schizophrenia\nIn addition to the prevention of the recruitment of associative memory neurons for the fear memory and schizophrenia-like behaviors, we studied whether the blockade of the dopaminergic receptor-II suppressed the function of the stress-recruited associative memory neurons and their encoded schizophrenia-like behaviors. In intruder mice with fear memory and schizophrenia, we injected dopaminergic receptor-II antagonist eticlopride [154–156] in bilateral medial prefrontal cortices (Fig. 7A). Compared with the saline injection (bottom trace in Fig. 7B), the eticlopride (1.325 nM) injection appears to block the responses of associative memory neurons in the medial prefrontal cortex to the battle sound and the somatic stimulus (top trace). The normalized spike frequencies of associative memory neurons in response to the battle sound are 2.80 ± 0.5 in self-controls and 0.90 ± 0.2 after an eticlopride uses (left symbols in Fig. 7C; n = 10 neurons from 10 mice, p < 0.01, ANOVA). Their normalized spike frequencies in response to somatic stimulus are 4.2 ± 0.9 in self-controls and 1.7 ± 0.4 after an eticlopride uses (right symbols in Fig. 7C, n = 10 neurons from 10 mice, p < 0.05, ANOVA). Furthermore, the normalized spike frequencies of these associative memory neurons in response to the battle sound are 3.0 ± 0.5 in self-controls and 3.0 ± 0.7 after the saline uses (left symbols in Fig. 7D; n = 9 neurons from 9 mice, p = 0.943, ANOVA). Their spikes in response to the somatic stimulus are 4.1 ± 0.6 in self-controls and 3.0 ± 0.3 after the saline uses (right symbols in Fig. 7D, n = 9 neurons from 9 mice, p = 0.123, ANOVA). The inhibition of dopaminergic receptor-II suppresses the function of associative memory cells in the medial prefrontal cortex.Fig. 7DR2 antagonist suppresses fear memory and schizophrenia-like behaviors.A Schematic of DR2 antagonist (Eticlopride, Eti) injection into mPFC. B Example traces of spontaneous and evoked spikes recording before and after Eti application. Blue triangles point to the application of antagonist, blue dashed-line boxes indicate the reapplication of two stimuli (AS and SS). C Discharge frequency statistics standardized for Eti (AS, t(9) = 3.392, P = 0.0080. SS, t(9) = 2.731, P = 0.0232. n = 10 mice). D Same as C, but for the Saline group (AS, t(8) = 0.0742, P = 0.9428. SS, t(8) = 1.723, P = 0.1232. n = 9 mice). E Effect of Eti on the duration of staying in the interaction zone (t(16) = 2.933, P = 0.0098. Each group, n = 9 mice). F The Eti group displayed a higher percentage of staying in the open arm during the EPM (t(16) = 5.026, P = 0.0001. Each group, n = 9 mice). G Interaction time of mice in the Y-maze (t(16) = 3.280, P = 0.0047. Each group, n = 9 mice). H Sucrose preference percentage of Eti and saline groups (t(16) = 2.414, P = 0.0281. Each group, n = 9 mice). I Lower pre-pulse response intensity ratio at 120 dB in the Eti group than the saline group (t(18) = 2.713, P = 0.0143. Each group, n = 10 mice). J Impact of Eti on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 10.169, P = 0.001. 70 dB: χ² = 0.207, P = 0.649). K The Eti group displayed a lower response intensity index after resident/intruder paradigm (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 24) = 0.0008, P = 0.9778. 90 dB, Eti, n = 4. Saline, n = 8. 80 dB, Eti, n = 6. Saline, n = 10). L, M The effect of Eti on changes in mice tremor levels. Eti mice appear less frequent body shaking (t(18) = 5.221, P < 0.0001. Each group, n = 10 mice). N, O Included angles curve and statistical graph (t(18) = 2.540, P = 0.0205. Each group, n = 10 mice). P, Q Representative traces and statistics of motion distance (t(18) = 2.192, P = 0.0418. Each group, n = 10 mice). AS auditory stimulus, SS somatic stimulus, Data are represented as mean ± s.e.m.\nA Schematic of DR2 antagonist (Eticlopride, Eti) injection into mPFC. B Example traces of spontaneous and evoked spikes recording before and after Eti application. Blue triangles point to the application of antagonist, blue dashed-line boxes indicate the reapplication of two stimuli (AS and SS). C Discharge frequency statistics standardized for Eti (AS, t(9) = 3.392, P = 0.0080. SS, t(9) = 2.731, P = 0.0232. n = 10 mice). D Same as C, but for the Saline group (AS, t(8) = 0.0742, P = 0.9428. SS, t(8) = 1.723, P = 0.1232. n = 9 mice). E Effect of Eti on the duration of staying in the interaction zone (t(16) = 2.933, P = 0.0098. Each group, n = 9 mice). F The Eti group displayed a higher percentage of staying in the open arm during the EPM (t(16) = 5.026, P = 0.0001. Each group, n = 9 mice). G Interaction time of mice in the Y-maze (t(16) = 3.280, P = 0.0047. Each group, n = 9 mice). H Sucrose preference percentage of Eti and saline groups (t(16) = 2.414, P = 0.0281. Each group, n = 9 mice). I Lower pre-pulse response intensity ratio at 120 dB in the Eti group than the saline group (t(18) = 2.713, P = 0.0143. Each group, n = 10 mice). J Impact of Eti on mouse jumping times at 70 dB and 80 dB (Chi-square test, 80 dB, χ² = 10.169, P = 0.001. 70 dB: χ² = 0.207, P = 0.649). K The Eti group displayed a lower response intensity index after resident/intruder paradigm (Two-way ANOVA with Tukey’s Multiple Comparisons. dB × Group F(1, 24) = 0.0008, P = 0.9778. 90 dB, Eti, n = 4. Saline, n = 8. 80 dB, Eti, n = 6. Saline, n = 10). L, M The effect of Eti on changes in mice tremor levels. Eti mice appear less frequent body shaking (t(18) = 5.221, P < 0.0001. Each group, n = 10 mice). N, O Included angles curve and statistical graph (t(18) = 2.540, P = 0.0205. Each group, n = 10 mice). P, Q Representative traces and statistics of motion distance (t(18) = 2.192, P = 0.0418. Each group, n = 10 mice). AS auditory stimulus, SS somatic stimulus, Data are represented as mean ± s.e.m.\nWe also examined the effectiveness of eticlopride-suppressed associative memory neurons in the medial prefrontal cortex on fear memory and schizophrenia-like behaviors in intruder mice. In the social interaction test, the differences of the stay time in the interaction zone between the presence of the resident mouse and the absence of this resident mouse are -83.0 ± 11.5 seconds in the saline use (n = 9 mice) and -30.4 ± 13.8 seconds in the eticlopride use (n = 9 mice, p < 0.01, ANOVA; Fig. 7E). Less avoidance to the resident mouse by eticlopride uses indicates that the dopaminergic receptor-II blockade in the medial prefrontal cortex relieves the stress-induced fear memory. In the anxiety test, the percentages of the stay time in open arms to the total time on the elevated-plus maze are 1.0 ± 0.6% in the saline use (n = 9) and 9.20 ± 1.5% in the eticlopride use (n = 9 mice; p < 0.001, ANOVA; Fig. 7F). Thus, the dopaminergic receptor-II blockade relieves stress-induced anxiety-like behaviors. In the Y-arm test, the values of the stay time in interaction arm are 22.80 ± 5.20 seconds in the saline use (n = 9 mice) and 45.6 ± 4.6 seconds in the eticlopride use (n = 9 mice, p < 0.01, ANOVA; Fig. 7G). In the sucrose preference test, the percentages of sucrose water ingestion in total water ingestion are 43.2 ± 4.7% in the saline use (n = 9 mice) and 55.4 ± 1.9% in the eticlopride use (n = 9 mice, p < 0.05, ANOVA; Fig. 7H). Thus, the dopaminergic receptor-II blockade in the medial prefrontal cortex relieves the stress-induced depression-like behaviors.\nIn the pre-pulse inhibition test for the hypersensitivity of schizophrenic mania, the ratios of the differences between responses to pulse two and pulse one over responses to pulse one are 0.04 ± 0.03 in a saline use (n = 10 mice) and -0.08 ± 0.03 in an eticlopride use (n = 10; p < 0.05, ANOVA; Fig. 7I). In the measurement of the response threshold to those sound pulses, the thresholds in response to minimal sound pulses for the mice to jump are 80 dB for eticlopride use (n = 8/75) and for the saline use (n = 24/75; left bars in Fig. 7J). Eticlopride raises the response threshold. The strengths in response to sound pulses at 80 dB are 1.12 ± 0.02 in a saline use (n = 10 mice) and 1.08 ± 0.01 in an eticlopride use (n = 6 mice, p < 0.05, one-way ANOVA; right bars in Fig. 7K). The strengths in response to sound pulses at 90 dB are 1.13 ± 0.01 in the saline use (n = 8 mice) and 1.09 ± 0.01 in the eticlopride use (n = 4 mice, p < 0.05, ANOVA; left bars in Fig. 7K,). Therefore, dopaminergic receptor-II blockade in the medial prefrontal cortex relieves the stress-induced hypersensitivity in schizophrenic mania.\nThe delusion of schizophrenic mania in the intruder mice was examined by the persecutory delusion test. In Fig. 7L, one DR2-blockade mouse appears less frequent shaking in the body (red trace) than a saline-use mouse (blue trace). Their body-shaking frequencies are 1.6 ± 0.1 Hz in a saline use (n = 10 mice) and 1.0 ± 0.1 Hz in an eticlopride use (n = 10 mice; p < 0.001, ANOVA; Fig. 7M). Moreover, the included angles of mouse back arch appear larger in a DR2- blockade mouse (red trace in Fig. 7N) than one saline-use mouse (blue trace). The included angles of mouse back arch (degrees) are 75.20 ± 3.7 in a saline use (n = 10 mice) and 85.20 ± 1.3 in an eticlopride use (n = 10 mice; p < 0.05, ANOVA; Fig. 7O). In addition, a mouse with DR2-blocake in the prefrontal cortex appears more motions in the open field (red trace in Fig. 7P), in comparison with one saline use mouse (blue trace). The motion distances (cm/10 min) in this open field are 0.5 ± 0.01 ×105 in a saline use (n = 10 mice) and 1.0 ± 0.1×105 in an eticlopride use (n = 10 mice; p < 0.05, ANOVA; Fig. 7Q). Therefore, the blockade of dopaminergic receptor-II in the medial prefrontal cortex relieves the stress-induced persecutory delusion.\n\n\n### Discussion\nThe social stress by a resident/intruder paradigm induces mice to express fear memory and schizophrenia-like behaviors, in which the stress signals include the battle sound and the painful signal from somatic injury areas (Fig. 1). The social stress evokes new synapse interconnections among the neurons in medial prefrontal, auditory and S1Tr cortices in the intruder mice with fear memories and schizophrenia-like behaviors (Fig. 2). Certain neurons in these cerebral cortices from intruder mice received the convergent synapse innervations and became able to encode the battle sound and the somatic stimulus, i.e., associative memory neurons (Fig. 3), in which such associative memory neurons in the medial prefrontal cortex are the second order, compared with primary associative memory neurons in auditory and S1Tr cortices. The recruitment of associative memory neurons as well as the emergence of fear memory and schizophrenia-like behaviors are downregulated by dopamine receptor-II knockdown in the medial prefrontal cortex (Figs. 4–6). The function of associative memory neurons and the expression of schizophrenia-like behaviors are precluded by the antagonist of dopaminergic receptors-II (Fig. 7). These data indicate that dopaminergic receptor-II plays the crucial roles in the recruitment and the function of associative memory neurons in mPFC-centered neural circuits correlated to fear memory and schizophrenia.\nThe social stress leads to the fear memory for posttraumatic stress disorders and the weird memory for schizophrenia [15, 18, 20, 48–57, 60, 61, 63–69]. These types of stress-correlated memories and waning cognition are presumably encoded by the neurons in the prefrontal cortex [70–73, 76–78]. Schizophrenic patients are associated with by the abnormality of the prefrontal cortex [72, 79–81, 83–89]. The prefrontal cortex has been thought of as the main target for the antipsychotics in schizophrenia [90]. To questions how the prefrontal cortex becomes the center of neural circuits and how these cortical neurons are recruited to encode the stress signals for fear memory and schizophrenia, our data indicate that the synapse interconnections among medial prefrontal, auditory and S1Tr cortices emerge in stress-induced fear memory and schizophrenia- like behaviors. Certain neurons in any one of these three cortices become to receive convergent synapse innervations from other two cortices and to encode the fear signals including the battle sound and the somatic stimulus, i.e., the recruitment of associative memory neurons, in the mice with fear memory and schizophrenia-like behavior (Figs. 2, 3). Importantly, the downregulation of the formation and the function of associative memory neurons in the medial prefrontal cortex precludes fear memory and schizophrenia-like behaviors (Figs. 4–7). Thus, associative memory neurons are recruited in mPFC-centered neural circuit essential for stress-induced fear memory and schizophrenia. A fact that the downregulation in the activity of the medial prefrontal cortex blocks the synapse innervations from sensory cortices to the mPFC by reducing its attraction to axons and from the mPFC to sensory cortices by its active projection strengthens a hypothetical principle about coactivity together and interconnection together among the neurons [65]. In addition, our current study also indicates that mPFC-centered neural circuits also include the synapse interconnections of the mPFC with the visual cortex, entorhinal cortex, ventral tegmental area, amygdala, ventral hippocampus and substantial nigra for fear memories and schizophrenia-like behaviors.\nIn terms of the order of associative memory neurons in medial prefrontal, auditory and S1Tr cortices, associative memory neurons in sensory cortices are presumably primary, and those in the medial prefrontal cortex are likely secondary [65]. This viewpoint is based on the following facts. Neural signals in the brain flow from sensory cortices to their downstream regions, such as the prefrontal cortex [160, 161]. In physiology, associative memory neurons have been found in sensory cortices that bring various sensory signals from the olfactory, gustatory and tactile systems [93–99] and in the prefrontal cortex whose synapse inputs come from sensory cortices [100, 101, 162]. In pathology, the schizophrenia-correlated neural circuits include the interactions between the prefrontal cortex and the thalamus-sensory cortices [36, 91]. The associative memory neurons that encode stressful signals have been detected in auditory and somatosensory cortices [99, 102, 103]. Particularly, the function of associative memory neurons in the medial prefrontal cortex is attenuated by blocking neuronal activities in auditory and S1Tr cortices (Fig. 3). Therefore, the associative memory neurons in the medial prefrontal cortex are secondary and the associative memory neurons in sensory cortices are primary. Taken all of these data with stress-induced synapse interconnections among medial prefrontal, auditory and S1Tr cortices (Fig. 2), we suggest that the neural circuit including the associative memory neurons in the medial prefrontal, auditory and S1Tr cortices is formed during the social stress for the formation of fear memory and the occurrence of schizophrenia (Fig. 8). It is noteworthy that the downregulation of mPFC activities by Drd2 knockdown attenuates the recruitment and function of associative memory cells in S1Tr and auditory cortices (Figs. 4, 5), strengthening a viewpoint about the interaction of associative memory cells between sensory cortices and mPFC [65]Fig. 8The diagram of the changes of neural circuits and psychological behaviors.The left half of the figure shows that social stress induced by the resident/intruder paradigm leads to fear memory specific to a CD1 resident mouse and schizophrenia-like behaviors. It induces synapse interconnections among medial prefrontal, auditory, and S1Tr cortical neurons. These cortical neurons are recruited as associative memory neurons, which are characterized by receiving new synaptic innervations and encoding stressful signals, including battle sounds and somatic stimuli. The right half of the figure shows that dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the recruitment of associative memory neurons and the onset of fear memory and schizophrenia-like behaviors.\nThe left half of the figure shows that social stress induced by the resident/intruder paradigm leads to fear memory specific to a CD1 resident mouse and schizophrenia-like behaviors. It induces synapse interconnections among medial prefrontal, auditory, and S1Tr cortical neurons. These cortical neurons are recruited as associative memory neurons, which are characterized by receiving new synaptic innervations and encoding stressful signals, including battle sounds and somatic stimuli. The right half of the figure shows that dopaminergic receptor-II knockdown in the medial prefrontal cortex prevents the recruitment of associative memory neurons and the onset of fear memory and schizophrenia-like behaviors.\nDopaminergic synapse transmissions in mesolimbic and mesocortical pathways are thought to be imbalance in schizophrenia patients [6, 29, 30, 32–36]. The antagonists of dopaminergic receptors-II have been applied to treat the mania-dominant signs of schizophrenia patients for decades [4, 10, 37, 38, 40–42]. Cellular targets for the actions of dopaminergic receptors-II antagonists, particularly in the formation and function of schizophrenia-correlated neural circuits, are largely unknown [43, 45–47]. Our data demonstrate that an application of eticlopride (dopaminergic receptor-II antagonist) in the medial prefrontal cortex relieves fear memory and schizophrenia-like behavior (Fig. 7), indicating the consistency of schizophrenia relief in our animal model with clinical data. This application of eticlopride is able to block the response of associative memory neurons in the medial prefrontal cortex to fear signals (Fig. 7A), indicating the cellular targets of dopamine receptor-II antagonists. Furthermore, the knockdown of dopaminergic receptors-II in the medial prefrontal cortex prevents the new synapse interconnections among medial prefrontal, auditory and S1Tr cortices (Fig. 2) as well as the recruitment of associative memory neurons in these cortical areas, which are correlated to fear memory and schizophrenia (Figs. 2, 3). Our studies reveal that the downregulation of dopaminergic receptors-II can be used to treat schizophrenia and to prevent the formation of schizophrenia-correlated neural circuits as well, which provides new insights for designing the therapeutic strategies of stress-induced schizophrenia, especially individuals with high vulnerability and minor symptoms/signs. It should keep in mind about the effective period in the uses of DR2 knockdown and antagonists. The DR2 knockdown in the mPFC can prevent the emergence of stress-induced schizophrenia-like behaviors and the recruitment of the synapse interconnections and associative memory cells permanently. The DR2 blockade by its antagonist in the mPFC attenuates the expression of stress-induced schizophrenia-like behaviors and cellular alternations that have been formed, in which the effective period depends upon its removal by the local circulations of the blood and brain-spinal fluid.\nThe symptoms and signs of schizophrenia are featured by the mania including hallucination and delusion as well as the negative mood including social withdrawal, anhedonia and anxiety [1–6, 10]. The identification of schizophrenia onsets in animal models has been based on a pre-pulse inhibition test [116, 117]. In addition to identifying stress-induced schizophrenic mania, we have developed approaches to merit response threshold and response strength to sound pulses in the pre-pulse inhibition, a modified pre-pulse inhibition, for the assessment of mania-relevant hypersensitivity. We have also developed approaches to merit body tremors, back arches and motion state in the absence of the scared signals, which normally express in the presence of the scared signals (e.g., resident CD1 mice), for the assessment of persecutory delusion. As those data from the modified pre-pulse inhibition test and the persecutory delusion test are linearly correlated (Figure SR5), the two tests for the indices of the hallucination and the persecutory delusion can be jointly used to assess schizophrenic mania and misbelief. Our studies provide new approaches for assessing schizophrenia-correlated behaviors. Taken these measurements with the assessment of negative moods by the elevated-plus maze test for anxiety, the sucrose preference test for anhedonia and the Y-maze test for loss of interest, our studies to estimate the schizophrenia-like behaviors are more convincing, compared with previous studies by using one of the merits.\nThe cortical neurons after their coactivity are synaptically interconnected and become able to encode the associative signals inputted from multiple sources of the synapses. These recruited associative memory neurons work for the joint storage and reciprocal retrieval of the associated signals under physiological conditions [93–101, 162]. In the social stress, learning the associated stressful signals induces the onset of fear memories and the recruitment of associative memory cells that encode these stress signals in the animals that express stress-induced schizophrenia-like behaviors. This pathological memory and associative memory neurons are associated with anxiety-, depression- and schizophrenia-like behavior (Figs. 1–3). Our data endorse the findings that the acute stress induces fear memory for anxiety, the chronic stress induces memories to negative outcome and defeat for depression, and the severe stress induces weird memory in relevance to schizophrenia [15, 18, 20, 48–61, 63–69]. Our data also indicate a progressive chain from stress-induced fear memory and posttraumatic stress disorder toward bipolar disorder and schizophrenia [74, 75]. It seems to be possible that the associative memory neurons can be recruited specifically to associate physiological signals or pathological signals and to be involved in the relevant processes [65]. Our data strengthen a concept of associative memory cells as basic units in memory traces or engrams for associative learning and memory [65]. This strengthened conclusion is encouraging future investigations in memory-relevant events to examine whether the associative memory neurons and their assemblies by the synapse interconnections are recruited, in addition to the molecular markers, such as immediate early genes that are nonspecific for showing the activity strength of various cellular events.\nIn addition to revealing the recruitments of associative memory neurons in mPFC-centered neural circuits essential for stress-induced fear memories and psychological disorders, we have extended our study to the prevention of these pathological changes and the transmission of fear memories among the involved rodents. The psychological stress by observing a resident/intruder paradigm induces the recruitment of associative memory neurons in the medial prefrontal cortex and sensory cortices for encoding the fear memories by the dynamical axon transportation. This stress-induced fear memories can be prevented and weakened by the social interactions among those mice that experience the psychological stress, i.e., their social interactions raise the chance for them to be resilience of suffering from psychosis. The social interactions among the mice with the psychological stress attenuate the recruitment of associative memory neurons for encoding fear memory in sensory cortices by intracellular signaling cascades. Moreover, this stress-induced fear memory can be transmitted from the mice with stress-induced fear memories to their living partners that have never experienced this psychological stress. The associative memory neurons of encoding stress signals are recruited in the auditory cortex of those living partners. These data grant the hypotheses that the social interaction can reduce the likelihood of suffering from the psychosis in stress-experienced subjects, and endorses the confidantes without experiencing the stress to be the alertness about the harmfulness of the stresses, all of which are based upon the recruitment of associative memory cells of encoding these stressful signals [65].\nIn terms of molecular cascades from dopaminergic receptors-II to the formation of synapse interconnection and the recruitment of associative memory neurons correlated to fear memory and schizophrenia, our thoughts are given below. The dopaminergic receptors-II are coupled with G-proteins that link to some intracellular signal cascades, such as PIP2-turnover, protein kinases, genes’ expression and DNA methylation [163–167]. These molecules in turn trigger the activity of brain cells including the morphological extension of neuronal processes, the formation of synapses and the excitability of neurons. Based on our previous analysis in molecular profiles by high throughput sequencing of miRNA and mRNA, dopaminergic receptors-II are upregulated, and numerous signals, such as cAMP pathway, Wnt pathway, cell adhesion molecules and other kinds of synapse pathways, are involved in this stress-induced fear memory by resident/intruder paradigm. KEGG analysis indicates the links of dopaminergic receptor-II with many of these signal molecules [112], indicating the interactions among dopaminergic receptor-II and many of such signal pathways. Although our current study is focused on the role of dopaminergic receptor-II in the recruitment of associative memory neurons correlated to fear memory and schizophrenia, the involvement of these molecules is worthy to be examined in the future studies, especially to find out the primary molecules.\nIn summary, the formation of new synapse interconnection among cross-modal cortices and the recruitment of associative memory neurons to encode the stress signals for fear memory and schizophrenia-like behaviors are functionally and morphologically identified in a mouse model of the social stress by a resident/intruder paradigm. The stress-induced psychological behaviors and associative memory neurons in mPFC-centered neural circuit are based on dopamine receptors-II. The diagram in Fig. 8 illustrates the alternations of neural circuits and psychological behaviors. In addition to revealing the cellular target (associative memory cells) for dopaminergic receptor-II antagonists to treat schizophrenic mania, our data present the viewpoint that the formation of schizophrenia-correlated neural circuits is based on dopaminergic receptors-II, i.e., dopaminergic receptor-II antagonists may be used to prevent a progress of minor schizophrenia. Moreover, the recruitment of the associative memory neurons that encode the stress-induced fear memory and schizophrenia strengthens the concept of associative memory neurons recruited in other types of associative learning [65]. These indications from our data have not been stated by other studies in the field of memorioscience [102, 103].\n\n\n### Supplementary information\nSupplementary Tables\nSupplementary Figures and Figure Legends\nSupplementary Tables\nSupplementary Figures and Figure Legends", "domain": "affective_neuroscience"}
{"source": "PMC13095691", "title": "Trazodone effectiveness in depression (TED): a comparative evaluation of effect sizes trazodone extended release and SSRIs in the treatment of major depressive disorder", "text": "# Trazodone effectiveness in depression (TED): a comparative evaluation of effect sizes trazodone extended release and SSRIs in the treatment of major depressive disorder\n\n## Abstract\nMajor depressive disorder (MDD) constitutes a significant global mental health concern. Although selective serotonin reuptake inhibitors (SSRIs) are first-line treatment, their effectiveness may be limited by adverse effects including anhedonia, emotional blunting, sleep disturbances, and sexual dysfunction. Trazodone, a serotonin antagonist and reuptake inhibitor, offers a more favorable tolerability profile, particularly in its extended-release (XR) formulation. Previous studies within the trazodone effectiveness in depression (TED) project demonstrated more pronounced improvements with trazodone XR compared to SSRIs in reducing depressive, anxiety, and insomnia symptoms. The present analysis extends these findings by comparing trazodone XR with SSRIs and quantifying the extent and clinical importance of treatment outcomes through effect size estimates. This single-center, non-randomized, open-label, 12-week naturalistic study—conducted as part of the TED project—included adults aged 18–65 diagnosed with MDD. Symptom severity and outcomes were assessed at baseline and weeks 2, 4, 8, and 12 using validated clinician- and self-rated scales. Cohen’s d quantified the magnitude and clinical relevance of differences between trazodone XR and SSRIs. Effect-size analyses demonstrated consistently greater and earlier improvements with trazodone XR versus SSRIs across all measures. In both self-rated (QIDS-SR) and clinician-rated (QIDS-CR; MADRS) scales assessing depressive symptoms, trazodone XR showed larger effect sizes from week 4, with further increases through week 12. Similar patterns were observed for anhedonia (SHAPS), anxiety (HAM-A) and insomnia (AIS), where trazodone XR produced greater and progressively increasing effect sizes, while SSRIs reached a plateau. These findings indicate a more robust and sustained therapeutic impact of trazodone XR, reflected by consistently higher effect-size magnitudes across domains. Trazodone XR demonstrated greater and progressively increasing effect sizes compared with SSRIs, indicating a more sustained antidepressant response over 12 weeks. This trajectory, marked by continued symptom reduction without a linear response pattern, suggests a cumulative therapeutic effect potentially attributable to trazodone’s multimodal serotonergic mechanism and favorable pharmacokinetics. By concurrently addressing mood, anxiety, and sleep-related domains, trazodone XR appears to facilitate both symptomatic improvement and broader functional stabilization. These findings highlight the need for randomized, controlled investigations to further elucidate its comparative efficacy and real-world relevance.\n\n## Full Text\n\n\n### Introduction\nMajor depressive disorder (MDD) is recognized as a significant global mental health concern affecting roughly 4% of the global population; the discrepancy between the efficacy of pharmacotherapy demonstrated in tightly controlled clinical trials and its insufficient performance observed in patients highlights the necessity of evaluating its effectiveness under real-world practice conditions (Ormel et al., 2022; McIntyre and Jain, 2024; World Health Organization, 2025).\nPharmacological interventions remain the primary treatment modality for this insidious disorder, with selective serotonin reuptake inhibitors (SSRIs) representing the most frequently prescribed class of antidepressants internationally, alleviating depressive symptoms by modulating serotonin (5-hydroxytryptamine, 5-HT) transmission (Elmarasi and Fuehrlein, 2024; Peano et al., 2025). Despite their favorable safety profile, the use of SSRIs may be associated with an increased risk of nausea, insomnia, emotional blunting, sexual dysfunction, sweating, dry mouth, diarrhea, dizziness, and asthenia (Walker, 2013; Goodwin et al., 2017; Gosmann et al., 2023). It is worth emphasizing that specific SSRIs-associated adverse effects exert a disproportionately negative impact on treatment adherence. These include, in particular, residual anhedonia, emotional blunting, sleep disturbances, and sexual dysfunction, and are frequently cited by patients as key reasons for poor compliance and premature discontinuation of pharmacotherapy (Rothmore, 2020; Ma et al., 2021; Zhou et al., 2023; Wu et al., 2025). Anhedonia (which exhibits phenotypical overlap with emotional blunting) constitutes a core dimension of MDD, often associated with more severe symptoms, elevated suicide risk, and limited response to standard antidepressant treatments (Ma et al., 2021; Wu et al., 2025). It has been delineated as a distinct depressive endotype characterized by impaired reward processing; however, an increasing number of studies demonstrate that SSRIs exhibit only limited efficacy in ameliorating this symptom (Serretti, 2025; Wu et al., 2025). Sleep disturbances are common consequences of antidepressant treatment and may substantially impair both therapeutic efficacy and overall treatment tolerability. Most SSRIs have been associated with a significantly increased incidence of treatment-emergent somnolence and insomnia compared to placebo (Zhou et al., 2023). Sexual dysfunction is consistently observed during SSRIs treatment, affecting a substantial proportion of patients—up to 80%—and are frequently implicated in non-adherence and treatment dropout (Rothmore, 2020).\nTaken together SSRIs are effective in diminishing the overall severity of depressive symptoms; however, it is critical to emphasize that the aforementioned adverse effects, although often under-recognized in routine clinical assessments, are consistently reported by patients as particularly burdensome and have been strongly associated with reduced treatment satisfaction, poor adherence, and premature treatment discontinuation (Cipriani et al., 2018).\nIn this context, trazodone has garnered attention due to a more favorable profile with respect to anxiety, sleep, and sexual adverse effects, with recent findings suggesting a comparatively reduced risk of these complications relative to SSRIs (Fagiolini et al., 2023). Trazodone, another pharmacological agent that modulates the serotonergic system is a multifunctional psychotropic drug with dose-dependent actions. At lower doses (25–150 mg), it primarily exerts sleep promoting effects, mediated through high-affinity antagonism at 5-HT2A, H1 (histaminergic), and α1 (adrenergic) receptors. These properties underlie its sedative action and are commonly exploited in the treatment of insomnia (Fagiolini et al., 2023). In contrast, higher doses (150–600 mg) are required to meaningfully inhibit the serotonin transporter (SERT), a pharmacological threshold necessary to achieve clinically relevant antidepressant effects. At these levels, trazodone acts as a multimodal serotonergic agent, combining SERT inhibition with continued antagonism at 5-HT2A and 5-HT2C receptors, which classifies it within the serotonin antagonist and reuptake inhibitors: SARIs category (Stahl, 2009; Fagiolini et al., 2023). This pharmacological profile, combined with partial 5-HT1A receptor agonism, may underlie an enhanced anxiolytic mechanism of action, operating not only through complex serotonergic modulation but also via the engagement of additional neurotransmitter systems and downstream intracellular signaling pathways (Celada et al., 2004; Odagaki et al., 2005; Stahl, 2009; Fagiolini et al., 2023; Lin et al., 2023). Beyond the aforementioned effects, trazodone acts as an antagonist at 5-HT7 and α2 receptors, exhibits negligible activity at muscarinic, dopaminergic, and GABAergic receptors, and, although it binds to histaminergic targets, the functional significance of this binding has yet to be fully elucidated (Albert et al., 2021; Oggianu et al., 2022). Treatment with trazodone may be associated with somnolence, headache, and dry mouth, whereas orthostatic hypotension occurs less frequently, likely attributable to peripheral α1-adrenergic receptor antagonism (Fagiolini et al., 2023). It should be noted that the potential severity of these effects depends on the formulation and the pharmacokinetic profile of the drug. The immediate-release (IR) formulation is associated with a rapid onset and high peak plasma levels, which in turn increase the likelihood of undesirable effects. In contrast, the extended-release (XR; termed OAD: Once-A-Day) reformulation of trazodone produces a slower rise in plasma concentrations, with a delayed peak and a gradual reduction, which may contribute to improved tolerability (Fagiolini et al., 2020).\nAs part of the TED project, the effectiveness of trazodone XR and SSRIs was compared over a 12-week naturalistic, experiment in patients with MDD (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). Using the mixed model for repeated measures, the pilot study demonstrated the superior efficacy of trazodone XR over SSRIs, primarily in reducing depressive symptoms, as assessed by the Quick Inventory of Depressive Symptomatology–clinician rated (QIDS-CR), and in alleviating insomnia severity, as measured by the Athens Insomnia Scale (AIS) (Siwek et al., 2023). In a subsequent study, using the same statistical model, trazodone XR demonstrated greater efficacy in reducing depressive symptoms, as measured by the Montgomery–Åsberg Depression Rating Scale (MADRS) and the self-rated version of the QIDS (QIDS-SR), as well as anxiety symptoms assessed with the Hamilton Anxiety Rating scale (HAM-A) and insomnia measured by the AIS, compared to SSRIs (Dudek et al., 2023). Furthermore, in another study it showed greater improvements than SSRIs in certain domains of health-related quality of life (HRQoL) (Siwek et al., 2024). Finally, a study included patients treated with trazodone XR as a first choice and those who received it after unsuccessful treatment with SSRIs, and it demonstrated that in the latter group treatment efficacy was comparable to that observed in patients for whom trazodone XR was used as the first-line therapy (Siwek et al., 2025).\nThe present study builds upon previous analyses conducted within this project and assesses the effects of the antidepressant drugs under investigation using effect sizes as the primary measure. This metric indicates how substantial a difference or effect is, offering insight into its real-world relevance—not just whether it exists. In contrast, p-values only indicate the probability that results are due to chance, without reflecting their magnitude. Especially in large-scale trials, negligible effects may reach statistical significance while lacking clinical importance (Ranganathan et al., 2015). Effect size provides a more precise basis for interpretation and facilitates comparisons across studies, thereby enabling the detection of beneficial treatments even in trials with a small number of patients (McGough and Faraone, 2009). Therefore, reporting both p-values and effect sizes is recommended to achieve a thorough understanding of research outcomes (McGough and Faraone, 2009; Sullivan and Feinn, 2012; Ranganathan et al., 2015; Schober et al., 2018).\nThis study investigates the magnitude and trajectory of clinical improvement, expressed as effect sizes, associated with trazodone and SSRIs across multiple time points. Within-group changes in depressive symptomatology from baseline to subsequent weeks were analyzed separately for each treatment, followed by between-group comparisons to assess differences in the rate and extent of symptom reduction over time. To capture a comprehensive picture of treatment effects, multiple validated clinical scales were used, each targeting distinct symptom domains. These instruments assessed various dimensions of MDD and related symptoms, including depressed mood, anhedonia, anxiety, sleep disturbances in real-world settings, enabling a nuanced evaluation of treatment efficacy.\n\n\n### Aim of the study\nThis study investigates the magnitude and trajectory of clinical improvement, expressed as effect sizes, associated with trazodone and SSRIs across multiple time points. Within-group changes in depressive symptomatology from baseline to subsequent weeks were analyzed separately for each treatment, followed by between-group comparisons to assess differences in the rate and extent of symptom reduction over time. To capture a comprehensive picture of treatment effects, multiple validated clinical scales were used, each targeting distinct symptom domains. These instruments assessed various dimensions of MDD and related symptoms, including depressed mood, anhedonia, anxiety, sleep disturbances in real-world settings, enabling a nuanced evaluation of treatment efficacy.\n\n\n### Materials and methods\nThe present study employed the same methodological design as previously used in the pilot and follow-up studies within this research series, allowing for consistent analysis throughout the successive stages of the project (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). A brief overview of the methodology is provided below; for full details, see: (Dudek et al., 2023).\nA single-center, non-randomized, open-label study employing a non-inferiority design within a naturalistic observational framework was carried out to evaluate and compare the therapeutic efficacy and tolerability profiles of trazodone XR and SSRIs (used as single-agent treatments: citalopram, escitalopram, paroxetine or sertraline), administered over a period of 12 weeks (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). In this study, SSRIs and trazodone XR were dose-adjusted in accordance with label-approved therapeutic dosing, reflecting real-world clinical practice, with dose selection and titration performed at the treating clinician’s discretion within standard ranges. Individuals aged 18–65 years with a first-onset episode of MDD or a current relapse in the course of recurrent depression, diagnosed in accordance with the criteria of the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5), were eligible for inclusion (Dudek et al., 2023). This study was performed following the principles of the Declaration of Helsinki, with authorization from the Bioethics Committee of the Jagiellonian University in Krakow, Poland (approval no. 1072.6120.113.2021). Written informed consent was obtained from all participants prior to study enrollment.\nEvaluations were performed at five predefined time points—baseline (week 0), week 2, week 4, week 8, and week 12 of the treatment period—following the procedures outlined in previous publications (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). To assess the severity of core psychopathological symptoms, a set of validated clinician- and self-rated instruments was utilized. The study’s primary outcome measure, depressive symptomatology, was evaluated using multiple instruments, with the QIDS (16-item) demonstrating particular utility owing to its dual-format design, which includes both self-rated and clinician-rated assessments. This enabled a more comprehensive assessment of symptom severity by incorporating patient perspectives (Rush et al., 2003). The QIDS also captures the frequency and intensity of core depressive features, facilitating standardized evaluation of treatment-related changes over time (Dudek et al., 2023; Siwek et al., 2025). Furthermore, the MADRS was utilized to assess the severity of depressive symptoms (Montgomery and Asberg, 1979; Iannuzzo et al., 2006). This clinician-administered instrument comprises 10 items covering core dimensions of depression and is widely used in clinical trials to monitor treatment efficacy and symptom progression (Montgomery and Asberg, 1979).\nSecondary endpoints included anhedonia, evaluated using the Snaith–Hamilton Pleasure Scale (SHAPS), a self-report instrument assessing the ability to experience pleasure in daily life; anxiety, measured with the clinician-administered HAM-A, which captures both psychic and somatic symptoms of anxiety; and sleep disturbances, assessed via the AIS, a self-report tool evaluating sleep quality and insomnia symptoms (Hamilton, 1959; Maier et al., 1988; Snaith et al., 1995; Soldatos et al., 2003; Mateen et al., 2017; Trøstheim et al., 2020).\nStatistical analysis followed the approach adopted in our earlier research, where an extensive description of the methodology can be found (Dudek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). Briefly, all statistical calculations were carried out using data from 79 patients treated with trazodone and 81 patients treated with SSRIs. Baseline group differences in demographic and clinical characteristics were examined using independent-samples t-tests for continuous variables (reported as mean ± SD) and chi-square (χ2) tests for categorical data (presented as proportions). The Shapiro–Wilk test was used to assess the normality of continuous variables (Dudek et al., 2023).\nEffect sizes (Cohen’s d) were determined to quantify changes in depressive symptomatology, as assessed by the QIDS-SR, QIDS-CR, MADRS, SHAPS, HAM-A, and AIS scales, from baseline (week 0) through follow-up evaluations conducted at weeks 2, 4, 8, and 12. Interpretation of effect sizes followed conventional thresholds, with values of 0.2, 0.5, and 0.8 considered indicative of small, moderate, and large effects, respectively (Cohen, 1988; Lakens, 2013; Maher et al., 2013). Paired-sample t-tests were conducted to evaluate within-group changes across time points for each treatment arm. Statistical significance was set at p < 0.05 (two-tailed), and results were reported to indicate the magnitude and consistency of symptom change over the course of treatment. All statistical analyses were performed using R statistical software: version 4.5.1 (R Core Team, 2025) R: A Language and Environment for Statistical Computing. R Foundation for Statistical Computing).\n\n\n### Study design\nThe present study employed the same methodological design as previously used in the pilot and follow-up studies within this research series, allowing for consistent analysis throughout the successive stages of the project (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). A brief overview of the methodology is provided below; for full details, see: (Dudek et al., 2023).\nA single-center, non-randomized, open-label study employing a non-inferiority design within a naturalistic observational framework was carried out to evaluate and compare the therapeutic efficacy and tolerability profiles of trazodone XR and SSRIs (used as single-agent treatments: citalopram, escitalopram, paroxetine or sertraline), administered over a period of 12 weeks (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). In this study, SSRIs and trazodone XR were dose-adjusted in accordance with label-approved therapeutic dosing, reflecting real-world clinical practice, with dose selection and titration performed at the treating clinician’s discretion within standard ranges. Individuals aged 18–65 years with a first-onset episode of MDD or a current relapse in the course of recurrent depression, diagnosed in accordance with the criteria of the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5), were eligible for inclusion (Dudek et al., 2023). This study was performed following the principles of the Declaration of Helsinki, with authorization from the Bioethics Committee of the Jagiellonian University in Krakow, Poland (approval no. 1072.6120.113.2021). Written informed consent was obtained from all participants prior to study enrollment.\n\n\n### Clinical assessment\nEvaluations were performed at five predefined time points—baseline (week 0), week 2, week 4, week 8, and week 12 of the treatment period—following the procedures outlined in previous publications (Dudek et al., 2023; Siwek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). To assess the severity of core psychopathological symptoms, a set of validated clinician- and self-rated instruments was utilized. The study’s primary outcome measure, depressive symptomatology, was evaluated using multiple instruments, with the QIDS (16-item) demonstrating particular utility owing to its dual-format design, which includes both self-rated and clinician-rated assessments. This enabled a more comprehensive assessment of symptom severity by incorporating patient perspectives (Rush et al., 2003). The QIDS also captures the frequency and intensity of core depressive features, facilitating standardized evaluation of treatment-related changes over time (Dudek et al., 2023; Siwek et al., 2025). Furthermore, the MADRS was utilized to assess the severity of depressive symptoms (Montgomery and Asberg, 1979; Iannuzzo et al., 2006). This clinician-administered instrument comprises 10 items covering core dimensions of depression and is widely used in clinical trials to monitor treatment efficacy and symptom progression (Montgomery and Asberg, 1979).\nSecondary endpoints included anhedonia, evaluated using the Snaith–Hamilton Pleasure Scale (SHAPS), a self-report instrument assessing the ability to experience pleasure in daily life; anxiety, measured with the clinician-administered HAM-A, which captures both psychic and somatic symptoms of anxiety; and sleep disturbances, assessed via the AIS, a self-report tool evaluating sleep quality and insomnia symptoms (Hamilton, 1959; Maier et al., 1988; Snaith et al., 1995; Soldatos et al., 2003; Mateen et al., 2017; Trøstheim et al., 2020).\n\n\n### Statistical assessment\nStatistical analysis followed the approach adopted in our earlier research, where an extensive description of the methodology can be found (Dudek et al., 2023; Siwek et al., 2024; Siwek et al., 2025). Briefly, all statistical calculations were carried out using data from 79 patients treated with trazodone and 81 patients treated with SSRIs. Baseline group differences in demographic and clinical characteristics were examined using independent-samples t-tests for continuous variables (reported as mean ± SD) and chi-square (χ2) tests for categorical data (presented as proportions). The Shapiro–Wilk test was used to assess the normality of continuous variables (Dudek et al., 2023).\nEffect sizes (Cohen’s d) were determined to quantify changes in depressive symptomatology, as assessed by the QIDS-SR, QIDS-CR, MADRS, SHAPS, HAM-A, and AIS scales, from baseline (week 0) through follow-up evaluations conducted at weeks 2, 4, 8, and 12. Interpretation of effect sizes followed conventional thresholds, with values of 0.2, 0.5, and 0.8 considered indicative of small, moderate, and large effects, respectively (Cohen, 1988; Lakens, 2013; Maher et al., 2013). Paired-sample t-tests were conducted to evaluate within-group changes across time points for each treatment arm. Statistical significance was set at p < 0.05 (two-tailed), and results were reported to indicate the magnitude and consistency of symptom change over the course of treatment. All statistical analyses were performed using R statistical software: version 4.5.1 (R Core Team, 2025) R: A Language and Environment for Statistical Computing. R Foundation for Statistical Computing).\n\n\n### Results\nComprehensive baseline characteristics have been reported in detail in a previous publication; in the present analysis, only the most salient between-group differences are briefly discussed (Dudek et al., 2023). At baseline, both treatment groups were broadly similar across most demographic and clinical variables. However, the trazodone XR group showed significantly higher rates of smoking (p < 0.02) and a longer history of psychiatric treatment (p < 0.05) compared to patients receiving SSRIs (Dudek et al., 2023).\nEffect sizes for QIDS-SR indicated a consistently greater reduction in depressive symptoms in the trazodone XR group compared to SSRIs across all assessed time points (Figure 1). Following 2 weeks of therapy, trazodone XR showed a moderate effect size of d = 0.72 (95% CI [0.36–1.08]), which was comparable to the SSRI group at d = 0.71 (95% CI [0.38–1.04]). The effect size, observed at week 4 for trazodone XR increased markedly to d = 1.49 (95% CI [1.13–1.86]), exceeding that of SSRIs at d = 1.11 (95% CI [0.78–1.44]). This trend continued at week 8, where trazodone XR reached d = 1.89 (95% CI [1.51–2.26]), compared to d = 1.36 (95% CI [1.03–1.70]) for SSRIs. At week 12, trazodone XR demonstrated the largest effect size observed in the study (d = 2.13, 95% CI [1.75–2.51]), while the SSRI group plateaued at d = 1.30 (95% CI [0.96–1.64]).\nQIDS-CR effect sizes over time for trazodone XR and SSRIs.\nThe results point to a potentially earlier and progressively greater therapeutic effect of trazodone XR from the patient’s perspective.\nFurthermore paired-sample t-tests showed that both trazodone XR and SSRIs were associated with significant reductions in symptom severity from baseline to weeks 2, 4, 8, and 12, as well as from week 2 to subsequent time points (Table 1). For trazodone XR, a significant contrast was also observed between weeks 4 and 12, whereas for SSRIs, comparisons between later time points (weeks 4 vs. 8, 4 vs. 12, and 8 vs. 12) were non-significant, suggesting a plateau effect after the initial improvements.\nResults of t-tests for changes in QIDS-SR scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nEffect sizes for QIDS-CR showed greater symptom improvement in the trazodone XR group compared to SSRIs across all time points (Figure 2). By week 2 of treatment, both groups showed similar effects: trazodone XR demonstrated an effect size of d = 0.79 (95% CI [0.46–1.12]), while SSRIs achieved d = 0.73 (95% CI [0.40–1.05]). Within 4 weeks, both treatments achieved large effect sizes; however, trazodone XR showed a stronger effect (d = 1.59, 95% CI [1.25–1.93]) compared with SSRIs (d = 1.26, 95% CI [0.94–1.59]). This pattern continued at week 8, where trazodone XR showed a large and increasing effect of d = 2.03 (95% CI [1.67–2.38]), compared to d = 1.45 (95% CI [1.12–1.79]) for SSRIs. At week 12, trazodone XR maintained the strongest treatment effect observed in the study, with d = 2.16 (95% CI [1.80–2.52]), while the SSRI group plateaued at d = 1.39 (95% CI [1.06–1.73]). Between-group differences consistently favored trazodone XR across all time points, becoming especially marked from week 4 onward.\nQIDS-CR effect sizes over time for trazodone XR and SSRIs.\nAccording to standard thresholds, these findings suggest a consistently stronger clinician-assessed therapeutic effect of trazodone XR over time. This effect appears to be not only more pronounced but also earlier in onset compared to SSRIs, with between-group differences emerging from week 4 and gradually increasing throughout the follow-up period.\nIn the paired-sample t-tests indicated both trazodone XR and SSRIs were associated with significant reductions in QIDS-CR scores from baseline to weeks 2, 4, 8, and 12 (Table 2). For trazodone XR, additional improvements were also observed when comparing week 2 with weeks 4, 8, and 12, and between weeks 4 with 8 and 12. In the SSRI group, significant decreases were seen also from week 2 to later time points; however, contrasts between later assessments (weeks 4 vs. 8, 4 vs. 12, 8 vs. 12) were not significant, suggesting that symptom reduction plateaued after the initial treatment phase.\nResults of t-tests for changes in QIDS-CR scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nThe therapeutic effect of trazodone XR exceeded that observed in the SSRIs group across all time points (Figure 3). However, at the initial 2-week assessment, trazodone XR achieved an effect size of d = 0.96 (95% CI [0.62–1.29]), while SSRIs showed a similar improvement of d = 0.92 (95% CI [0.60–1.25]). Likewise, at week 4, effect sizes were comparable for both treatments: trazodone XR increased to d = 1.70 (95% CI [1.35–2.05]), whereas SSRIs reached d = 1.61 (95% CI [1.28–1.94]). At week 8, trazodone XR demonstrated a substantially greater effect of d = 2.28 (95% CI [1.92–2.64]) compared to d = 1.78 (95% CI [1.43–2.12]) for SSRIs, and by week 12, trazodone XR maintained the highest treatment effect observed in the study, with d = 2.54 (95% CI [2.17–2.91]), while the SSRI group plateaued at d = 1.81 (95% CI [1.47–2.15]). Between-group differences favored trazodone XR from week 8 onward, becoming more pronounced thereafter and indicating a stronger and earlier therapeutic effect compared to SSRIs.\nMADRS effect sizes over time for trazodone XR and SSRIs.\nIn line with the scales described above, paired-sample t-tests demonstrated significant reductions in MADRS scores for both trazodone XR and SSRIs from baseline to weeks 2, 4, 8, and 12, as well as from week 2 to later time points (Table 3). For trazodone XR, additional improvements were also observed between week 4 and weeks 8 and 12, whereas in the SSRI group, all later contrasts (weeks 4 vs. 8, 4 vs. 12, and 8 vs. 12) were not statistically significant.\nResults of t-tests for changes in MADRS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nGreater improvement in anhedonia symptoms was observed in the trazodone XR group compared to SSRIs at most time points, as reflected by effect sizes on the SHAPS scale (Figure 4). At week 2 of therapy, both treatments showed small effects, with trazodone XR yielding d = 0.24 (95% CI [–0.08–0.57]) and SSRIs d = 0.30 (95% CI [–0.01–0.62]). At week 4, the effect size for trazodone XR increased to d = 0.77 (95% CI [0.43–1.11]), representing a moderate effect, whereas SSRIs showed a smaller improvement with d = 0.49 (95% CI [0.17–0.84]), indicating a small-to-moderate effect. At week 8, trazodone XR demonstrated a large effect size of d = 0.96 (95% CI [0.62–1.30]), while SSRIs remained within the moderate range with d = 0.67 (95% CI [0.35–1.01]). By week 12, the difference between treatments became more pronounced, with trazodone XR reaching a large effect size of d = 1.01 (95% CI [0.66–1.35]), in contrast to SSRIs, which maintained a small-to-moderate effect size of d = 0.47 (95% CI [0.14–0.79]).\nSHAPS effect sizes over time for trazodone XR and SSRIs.\nThese findings suggest a stronger and steadily increasing impact of trazodone XR on improving anhedonia compared to SSRIs, with clearer between-group differences emerging from week 4 and becoming more evident over time.\nSignificant reductions in SHAPS scores from baseline to weeks 4, 8 and 12 were observed for trazodone XR, but not from baseline to week 2 (Table 4). Additional reductions were also significant from week 2 to weeks 4, 8 and 12, but not between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12). For SSRIs, significant reductions were observed from baseline to weeks 2, 4, 8 and 12, whereas comparisons from week 2 to weeks 4, 8 and 12 and between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12) were not statistically significant.\nResults of t-tests for changes in SHAPS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nEffect sizes for HAM-A indicated greater anxiety symptom improvement in the trazodone XR group compared to SSRIs across all measured time points (Figure 5). At week 2, both treatment groups demonstrated large effects: trazodone XR (d = 1.12, 95% CI [0.78–1.46]) and SSRIs (d = 1.09, 95% CI [0.77–1.41]). At week 4, the effect sizes remained large for both groups, with a slight advantage for trazodone XR (d = 1.82, 95% CI [1.48–2.18]) over SSRIs (d = 1.75, 95% CI [1.42–2.08]). Trazodone XR demonstrated a notably stronger effect (d = 2.30, 95% CI [1.94–2.67]) compared to SSRIs (d = 1.79, 95% CI [1.46–2.13]), at week 8 of treatment. At week 12, trazodone XR showed the highest effect size observed across the entire study period (d = 2.42, 95% CI [2.05–2.79]), exceeding the effect for SSRIs (d = 1.72, 95% CI [1.38–2.06]).\nHAM-A effect sizes over time for trazodone XR and SSRIs.\nThese results suggest a consistently greater and progressively increasing anxiolytic effect of trazodone XR over time compared to SSRIs. While both treatments produced large effects early in the course of therapy, the difference between groups became more pronounced from week 8 onward, favoring trazodone XR as a more effective intervention for anxiety symptoms.\nSignificant reductions in HAM-A scores from baseline and from weeks 2 and 4 to subsequent time points up to week 12 were observed for trazodone XR as determined by paired-sample t-tests (Table 5). However, comparisons between weeks 8 and 12 were not statistically significant. For SSRIs, reductions were significant from baseline to week 2, 4, 8 and 12 and from week 2 to week 4, 8 and 12, but not between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12).\nResults of t-tests for changes in HAM-A scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nAt week 2, trazodone XR showed a large effect size in the AIS (d = 1.00, 95% CI [0.67–1.32]), while SSRIs demonstrated a small (d = 0.27, 95% CI [–0.05–0.58]) (Figure 6). Trazodone XR achieved a substantially greater effect size (d = 1.65, 95% CI [1.30–1.99]) than SSRIs (d = 0.54, 95% CI [0.22–0.86]) by week 4 of the experiment. This advantage persisted at week 8, with trazodone XR reaching d = 1.96 (95% CI [1.61–2.31]) compared to d = 0.87 (95% CI [0.55–1.19]) for SSRIs. By week 12, trazodone XR maintained the highest effect observed in the study (d = 2.08, 95% CI [1.72–2.44]), while the SSRI group demonstrated only a moderate improvement (d = 0.66, 95% CI [0.33–0.99]).\nAIS effect sizes over time for trazodone XR and SSRIs.\nThese findings indicate a consistently stronger impact of trazodone XR on insomnia symptoms over time, with clear superiority over SSRIs evident from the earliest measurement point and becoming increasingly pronounced through week 12.\nTrazodone XR and SSRIs were associated with significant reductions in AIS scores from baseline, as well as from week 2 to subsequent weeks of treatment, as determined by paired-sample t-tests (Table 6). For trazodone XR, comparisons between week 4 and later time points (weeks 8 and 12) were not statistically significant. For SSRIs, a significant reduction was observed between week 4 vs. 8, but not between week 4 vs. 12. Furthermore, comparisons between weeks 8 and 12 were not statistically significant for either treatment.\nResults of t-tests for changes in AIS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### Primary endpoints\nEffect sizes for QIDS-SR indicated a consistently greater reduction in depressive symptoms in the trazodone XR group compared to SSRIs across all assessed time points (Figure 1). Following 2 weeks of therapy, trazodone XR showed a moderate effect size of d = 0.72 (95% CI [0.36–1.08]), which was comparable to the SSRI group at d = 0.71 (95% CI [0.38–1.04]). The effect size, observed at week 4 for trazodone XR increased markedly to d = 1.49 (95% CI [1.13–1.86]), exceeding that of SSRIs at d = 1.11 (95% CI [0.78–1.44]). This trend continued at week 8, where trazodone XR reached d = 1.89 (95% CI [1.51–2.26]), compared to d = 1.36 (95% CI [1.03–1.70]) for SSRIs. At week 12, trazodone XR demonstrated the largest effect size observed in the study (d = 2.13, 95% CI [1.75–2.51]), while the SSRI group plateaued at d = 1.30 (95% CI [0.96–1.64]).\nQIDS-CR effect sizes over time for trazodone XR and SSRIs.\nThe results point to a potentially earlier and progressively greater therapeutic effect of trazodone XR from the patient’s perspective.\nFurthermore paired-sample t-tests showed that both trazodone XR and SSRIs were associated with significant reductions in symptom severity from baseline to weeks 2, 4, 8, and 12, as well as from week 2 to subsequent time points (Table 1). For trazodone XR, a significant contrast was also observed between weeks 4 and 12, whereas for SSRIs, comparisons between later time points (weeks 4 vs. 8, 4 vs. 12, and 8 vs. 12) were non-significant, suggesting a plateau effect after the initial improvements.\nResults of t-tests for changes in QIDS-SR scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nEffect sizes for QIDS-CR showed greater symptom improvement in the trazodone XR group compared to SSRIs across all time points (Figure 2). By week 2 of treatment, both groups showed similar effects: trazodone XR demonstrated an effect size of d = 0.79 (95% CI [0.46–1.12]), while SSRIs achieved d = 0.73 (95% CI [0.40–1.05]). Within 4 weeks, both treatments achieved large effect sizes; however, trazodone XR showed a stronger effect (d = 1.59, 95% CI [1.25–1.93]) compared with SSRIs (d = 1.26, 95% CI [0.94–1.59]). This pattern continued at week 8, where trazodone XR showed a large and increasing effect of d = 2.03 (95% CI [1.67–2.38]), compared to d = 1.45 (95% CI [1.12–1.79]) for SSRIs. At week 12, trazodone XR maintained the strongest treatment effect observed in the study, with d = 2.16 (95% CI [1.80–2.52]), while the SSRI group plateaued at d = 1.39 (95% CI [1.06–1.73]). Between-group differences consistently favored trazodone XR across all time points, becoming especially marked from week 4 onward.\nQIDS-CR effect sizes over time for trazodone XR and SSRIs.\nAccording to standard thresholds, these findings suggest a consistently stronger clinician-assessed therapeutic effect of trazodone XR over time. This effect appears to be not only more pronounced but also earlier in onset compared to SSRIs, with between-group differences emerging from week 4 and gradually increasing throughout the follow-up period.\nIn the paired-sample t-tests indicated both trazodone XR and SSRIs were associated with significant reductions in QIDS-CR scores from baseline to weeks 2, 4, 8, and 12 (Table 2). For trazodone XR, additional improvements were also observed when comparing week 2 with weeks 4, 8, and 12, and between weeks 4 with 8 and 12. In the SSRI group, significant decreases were seen also from week 2 to later time points; however, contrasts between later assessments (weeks 4 vs. 8, 4 vs. 12, 8 vs. 12) were not significant, suggesting that symptom reduction plateaued after the initial treatment phase.\nResults of t-tests for changes in QIDS-CR scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nThe therapeutic effect of trazodone XR exceeded that observed in the SSRIs group across all time points (Figure 3). However, at the initial 2-week assessment, trazodone XR achieved an effect size of d = 0.96 (95% CI [0.62–1.29]), while SSRIs showed a similar improvement of d = 0.92 (95% CI [0.60–1.25]). Likewise, at week 4, effect sizes were comparable for both treatments: trazodone XR increased to d = 1.70 (95% CI [1.35–2.05]), whereas SSRIs reached d = 1.61 (95% CI [1.28–1.94]). At week 8, trazodone XR demonstrated a substantially greater effect of d = 2.28 (95% CI [1.92–2.64]) compared to d = 1.78 (95% CI [1.43–2.12]) for SSRIs, and by week 12, trazodone XR maintained the highest treatment effect observed in the study, with d = 2.54 (95% CI [2.17–2.91]), while the SSRI group plateaued at d = 1.81 (95% CI [1.47–2.15]). Between-group differences favored trazodone XR from week 8 onward, becoming more pronounced thereafter and indicating a stronger and earlier therapeutic effect compared to SSRIs.\nMADRS effect sizes over time for trazodone XR and SSRIs.\nIn line with the scales described above, paired-sample t-tests demonstrated significant reductions in MADRS scores for both trazodone XR and SSRIs from baseline to weeks 2, 4, 8, and 12, as well as from week 2 to later time points (Table 3). For trazodone XR, additional improvements were also observed between week 4 and weeks 8 and 12, whereas in the SSRI group, all later contrasts (weeks 4 vs. 8, 4 vs. 12, and 8 vs. 12) were not statistically significant.\nResults of t-tests for changes in MADRS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### QIDS-SR patient-rated outcome\nEffect sizes for QIDS-SR indicated a consistently greater reduction in depressive symptoms in the trazodone XR group compared to SSRIs across all assessed time points (Figure 1). Following 2 weeks of therapy, trazodone XR showed a moderate effect size of d = 0.72 (95% CI [0.36–1.08]), which was comparable to the SSRI group at d = 0.71 (95% CI [0.38–1.04]). The effect size, observed at week 4 for trazodone XR increased markedly to d = 1.49 (95% CI [1.13–1.86]), exceeding that of SSRIs at d = 1.11 (95% CI [0.78–1.44]). This trend continued at week 8, where trazodone XR reached d = 1.89 (95% CI [1.51–2.26]), compared to d = 1.36 (95% CI [1.03–1.70]) for SSRIs. At week 12, trazodone XR demonstrated the largest effect size observed in the study (d = 2.13, 95% CI [1.75–2.51]), while the SSRI group plateaued at d = 1.30 (95% CI [0.96–1.64]).\nQIDS-CR effect sizes over time for trazodone XR and SSRIs.\nThe results point to a potentially earlier and progressively greater therapeutic effect of trazodone XR from the patient’s perspective.\nFurthermore paired-sample t-tests showed that both trazodone XR and SSRIs were associated with significant reductions in symptom severity from baseline to weeks 2, 4, 8, and 12, as well as from week 2 to subsequent time points (Table 1). For trazodone XR, a significant contrast was also observed between weeks 4 and 12, whereas for SSRIs, comparisons between later time points (weeks 4 vs. 8, 4 vs. 12, and 8 vs. 12) were non-significant, suggesting a plateau effect after the initial improvements.\nResults of t-tests for changes in QIDS-SR scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### QIDS-CR clinician-rated outcome\nEffect sizes for QIDS-CR showed greater symptom improvement in the trazodone XR group compared to SSRIs across all time points (Figure 2). By week 2 of treatment, both groups showed similar effects: trazodone XR demonstrated an effect size of d = 0.79 (95% CI [0.46–1.12]), while SSRIs achieved d = 0.73 (95% CI [0.40–1.05]). Within 4 weeks, both treatments achieved large effect sizes; however, trazodone XR showed a stronger effect (d = 1.59, 95% CI [1.25–1.93]) compared with SSRIs (d = 1.26, 95% CI [0.94–1.59]). This pattern continued at week 8, where trazodone XR showed a large and increasing effect of d = 2.03 (95% CI [1.67–2.38]), compared to d = 1.45 (95% CI [1.12–1.79]) for SSRIs. At week 12, trazodone XR maintained the strongest treatment effect observed in the study, with d = 2.16 (95% CI [1.80–2.52]), while the SSRI group plateaued at d = 1.39 (95% CI [1.06–1.73]). Between-group differences consistently favored trazodone XR across all time points, becoming especially marked from week 4 onward.\nQIDS-CR effect sizes over time for trazodone XR and SSRIs.\nAccording to standard thresholds, these findings suggest a consistently stronger clinician-assessed therapeutic effect of trazodone XR over time. This effect appears to be not only more pronounced but also earlier in onset compared to SSRIs, with between-group differences emerging from week 4 and gradually increasing throughout the follow-up period.\nIn the paired-sample t-tests indicated both trazodone XR and SSRIs were associated with significant reductions in QIDS-CR scores from baseline to weeks 2, 4, 8, and 12 (Table 2). For trazodone XR, additional improvements were also observed when comparing week 2 with weeks 4, 8, and 12, and between weeks 4 with 8 and 12. In the SSRI group, significant decreases were seen also from week 2 to later time points; however, contrasts between later assessments (weeks 4 vs. 8, 4 vs. 12, 8 vs. 12) were not significant, suggesting that symptom reduction plateaued after the initial treatment phase.\nResults of t-tests for changes in QIDS-CR scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### MADRS clinician-rated depression severity\nThe therapeutic effect of trazodone XR exceeded that observed in the SSRIs group across all time points (Figure 3). However, at the initial 2-week assessment, trazodone XR achieved an effect size of d = 0.96 (95% CI [0.62–1.29]), while SSRIs showed a similar improvement of d = 0.92 (95% CI [0.60–1.25]). Likewise, at week 4, effect sizes were comparable for both treatments: trazodone XR increased to d = 1.70 (95% CI [1.35–2.05]), whereas SSRIs reached d = 1.61 (95% CI [1.28–1.94]). At week 8, trazodone XR demonstrated a substantially greater effect of d = 2.28 (95% CI [1.92–2.64]) compared to d = 1.78 (95% CI [1.43–2.12]) for SSRIs, and by week 12, trazodone XR maintained the highest treatment effect observed in the study, with d = 2.54 (95% CI [2.17–2.91]), while the SSRI group plateaued at d = 1.81 (95% CI [1.47–2.15]). Between-group differences favored trazodone XR from week 8 onward, becoming more pronounced thereafter and indicating a stronger and earlier therapeutic effect compared to SSRIs.\nMADRS effect sizes over time for trazodone XR and SSRIs.\nIn line with the scales described above, paired-sample t-tests demonstrated significant reductions in MADRS scores for both trazodone XR and SSRIs from baseline to weeks 2, 4, 8, and 12, as well as from week 2 to later time points (Table 3). For trazodone XR, additional improvements were also observed between week 4 and weeks 8 and 12, whereas in the SSRI group, all later contrasts (weeks 4 vs. 8, 4 vs. 12, and 8 vs. 12) were not statistically significant.\nResults of t-tests for changes in MADRS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### Secondary endpoints\nGreater improvement in anhedonia symptoms was observed in the trazodone XR group compared to SSRIs at most time points, as reflected by effect sizes on the SHAPS scale (Figure 4). At week 2 of therapy, both treatments showed small effects, with trazodone XR yielding d = 0.24 (95% CI [–0.08–0.57]) and SSRIs d = 0.30 (95% CI [–0.01–0.62]). At week 4, the effect size for trazodone XR increased to d = 0.77 (95% CI [0.43–1.11]), representing a moderate effect, whereas SSRIs showed a smaller improvement with d = 0.49 (95% CI [0.17–0.84]), indicating a small-to-moderate effect. At week 8, trazodone XR demonstrated a large effect size of d = 0.96 (95% CI [0.62–1.30]), while SSRIs remained within the moderate range with d = 0.67 (95% CI [0.35–1.01]). By week 12, the difference between treatments became more pronounced, with trazodone XR reaching a large effect size of d = 1.01 (95% CI [0.66–1.35]), in contrast to SSRIs, which maintained a small-to-moderate effect size of d = 0.47 (95% CI [0.14–0.79]).\nSHAPS effect sizes over time for trazodone XR and SSRIs.\nThese findings suggest a stronger and steadily increasing impact of trazodone XR on improving anhedonia compared to SSRIs, with clearer between-group differences emerging from week 4 and becoming more evident over time.\nSignificant reductions in SHAPS scores from baseline to weeks 4, 8 and 12 were observed for trazodone XR, but not from baseline to week 2 (Table 4). Additional reductions were also significant from week 2 to weeks 4, 8 and 12, but not between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12). For SSRIs, significant reductions were observed from baseline to weeks 2, 4, 8 and 12, whereas comparisons from week 2 to weeks 4, 8 and 12 and between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12) were not statistically significant.\nResults of t-tests for changes in SHAPS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nEffect sizes for HAM-A indicated greater anxiety symptom improvement in the trazodone XR group compared to SSRIs across all measured time points (Figure 5). At week 2, both treatment groups demonstrated large effects: trazodone XR (d = 1.12, 95% CI [0.78–1.46]) and SSRIs (d = 1.09, 95% CI [0.77–1.41]). At week 4, the effect sizes remained large for both groups, with a slight advantage for trazodone XR (d = 1.82, 95% CI [1.48–2.18]) over SSRIs (d = 1.75, 95% CI [1.42–2.08]). Trazodone XR demonstrated a notably stronger effect (d = 2.30, 95% CI [1.94–2.67]) compared to SSRIs (d = 1.79, 95% CI [1.46–2.13]), at week 8 of treatment. At week 12, trazodone XR showed the highest effect size observed across the entire study period (d = 2.42, 95% CI [2.05–2.79]), exceeding the effect for SSRIs (d = 1.72, 95% CI [1.38–2.06]).\nHAM-A effect sizes over time for trazodone XR and SSRIs.\nThese results suggest a consistently greater and progressively increasing anxiolytic effect of trazodone XR over time compared to SSRIs. While both treatments produced large effects early in the course of therapy, the difference between groups became more pronounced from week 8 onward, favoring trazodone XR as a more effective intervention for anxiety symptoms.\nSignificant reductions in HAM-A scores from baseline and from weeks 2 and 4 to subsequent time points up to week 12 were observed for trazodone XR as determined by paired-sample t-tests (Table 5). However, comparisons between weeks 8 and 12 were not statistically significant. For SSRIs, reductions were significant from baseline to week 2, 4, 8 and 12 and from week 2 to week 4, 8 and 12, but not between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12).\nResults of t-tests for changes in HAM-A scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\nAt week 2, trazodone XR showed a large effect size in the AIS (d = 1.00, 95% CI [0.67–1.32]), while SSRIs demonstrated a small (d = 0.27, 95% CI [–0.05–0.58]) (Figure 6). Trazodone XR achieved a substantially greater effect size (d = 1.65, 95% CI [1.30–1.99]) than SSRIs (d = 0.54, 95% CI [0.22–0.86]) by week 4 of the experiment. This advantage persisted at week 8, with trazodone XR reaching d = 1.96 (95% CI [1.61–2.31]) compared to d = 0.87 (95% CI [0.55–1.19]) for SSRIs. By week 12, trazodone XR maintained the highest effect observed in the study (d = 2.08, 95% CI [1.72–2.44]), while the SSRI group demonstrated only a moderate improvement (d = 0.66, 95% CI [0.33–0.99]).\nAIS effect sizes over time for trazodone XR and SSRIs.\nThese findings indicate a consistently stronger impact of trazodone XR on insomnia symptoms over time, with clear superiority over SSRIs evident from the earliest measurement point and becoming increasingly pronounced through week 12.\nTrazodone XR and SSRIs were associated with significant reductions in AIS scores from baseline, as well as from week 2 to subsequent weeks of treatment, as determined by paired-sample t-tests (Table 6). For trazodone XR, comparisons between week 4 and later time points (weeks 8 and 12) were not statistically significant. For SSRIs, a significant reduction was observed between week 4 vs. 8, but not between week 4 vs. 12. Furthermore, comparisons between weeks 8 and 12 were not statistically significant for either treatment.\nResults of t-tests for changes in AIS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### SHAPS anhedonia–patient-reported outcome\nGreater improvement in anhedonia symptoms was observed in the trazodone XR group compared to SSRIs at most time points, as reflected by effect sizes on the SHAPS scale (Figure 4). At week 2 of therapy, both treatments showed small effects, with trazodone XR yielding d = 0.24 (95% CI [–0.08–0.57]) and SSRIs d = 0.30 (95% CI [–0.01–0.62]). At week 4, the effect size for trazodone XR increased to d = 0.77 (95% CI [0.43–1.11]), representing a moderate effect, whereas SSRIs showed a smaller improvement with d = 0.49 (95% CI [0.17–0.84]), indicating a small-to-moderate effect. At week 8, trazodone XR demonstrated a large effect size of d = 0.96 (95% CI [0.62–1.30]), while SSRIs remained within the moderate range with d = 0.67 (95% CI [0.35–1.01]). By week 12, the difference between treatments became more pronounced, with trazodone XR reaching a large effect size of d = 1.01 (95% CI [0.66–1.35]), in contrast to SSRIs, which maintained a small-to-moderate effect size of d = 0.47 (95% CI [0.14–0.79]).\nSHAPS effect sizes over time for trazodone XR and SSRIs.\nThese findings suggest a stronger and steadily increasing impact of trazodone XR on improving anhedonia compared to SSRIs, with clearer between-group differences emerging from week 4 and becoming more evident over time.\nSignificant reductions in SHAPS scores from baseline to weeks 4, 8 and 12 were observed for trazodone XR, but not from baseline to week 2 (Table 4). Additional reductions were also significant from week 2 to weeks 4, 8 and 12, but not between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12). For SSRIs, significant reductions were observed from baseline to weeks 2, 4, 8 and 12, whereas comparisons from week 2 to weeks 4, 8 and 12 and between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12) were not statistically significant.\nResults of t-tests for changes in SHAPS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### HAM-A clinician-rated anxiety severity\nEffect sizes for HAM-A indicated greater anxiety symptom improvement in the trazodone XR group compared to SSRIs across all measured time points (Figure 5). At week 2, both treatment groups demonstrated large effects: trazodone XR (d = 1.12, 95% CI [0.78–1.46]) and SSRIs (d = 1.09, 95% CI [0.77–1.41]). At week 4, the effect sizes remained large for both groups, with a slight advantage for trazodone XR (d = 1.82, 95% CI [1.48–2.18]) over SSRIs (d = 1.75, 95% CI [1.42–2.08]). Trazodone XR demonstrated a notably stronger effect (d = 2.30, 95% CI [1.94–2.67]) compared to SSRIs (d = 1.79, 95% CI [1.46–2.13]), at week 8 of treatment. At week 12, trazodone XR showed the highest effect size observed across the entire study period (d = 2.42, 95% CI [2.05–2.79]), exceeding the effect for SSRIs (d = 1.72, 95% CI [1.38–2.06]).\nHAM-A effect sizes over time for trazodone XR and SSRIs.\nThese results suggest a consistently greater and progressively increasing anxiolytic effect of trazodone XR over time compared to SSRIs. While both treatments produced large effects early in the course of therapy, the difference between groups became more pronounced from week 8 onward, favoring trazodone XR as a more effective intervention for anxiety symptoms.\nSignificant reductions in HAM-A scores from baseline and from weeks 2 and 4 to subsequent time points up to week 12 were observed for trazodone XR as determined by paired-sample t-tests (Table 5). However, comparisons between weeks 8 and 12 were not statistically significant. For SSRIs, reductions were significant from baseline to week 2, 4, 8 and 12 and from week 2 to week 4, 8 and 12, but not between later time points (weeks 4 vs. 8, 4 vs. 12 and 8 vs. 12).\nResults of t-tests for changes in HAM-A scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### AIS patient-reported insomnia severity\nAt week 2, trazodone XR showed a large effect size in the AIS (d = 1.00, 95% CI [0.67–1.32]), while SSRIs demonstrated a small (d = 0.27, 95% CI [–0.05–0.58]) (Figure 6). Trazodone XR achieved a substantially greater effect size (d = 1.65, 95% CI [1.30–1.99]) than SSRIs (d = 0.54, 95% CI [0.22–0.86]) by week 4 of the experiment. This advantage persisted at week 8, with trazodone XR reaching d = 1.96 (95% CI [1.61–2.31]) compared to d = 0.87 (95% CI [0.55–1.19]) for SSRIs. By week 12, trazodone XR maintained the highest effect observed in the study (d = 2.08, 95% CI [1.72–2.44]), while the SSRI group demonstrated only a moderate improvement (d = 0.66, 95% CI [0.33–0.99]).\nAIS effect sizes over time for trazodone XR and SSRIs.\nThese findings indicate a consistently stronger impact of trazodone XR on insomnia symptoms over time, with clear superiority over SSRIs evident from the earliest measurement point and becoming increasingly pronounced through week 12.\nTrazodone XR and SSRIs were associated with significant reductions in AIS scores from baseline, as well as from week 2 to subsequent weeks of treatment, as determined by paired-sample t-tests (Table 6). For trazodone XR, comparisons between week 4 and later time points (weeks 8 and 12) were not statistically significant. For SSRIs, a significant reduction was observed between week 4 vs. 8, but not between week 4 vs. 12. Furthermore, comparisons between weeks 8 and 12 were not statistically significant for either treatment.\nResults of t-tests for changes in AIS scores during treatment with trazodone XR (T-XR) and SSRIs across time points.\n\n\n### Discussion\nThis comprehensive multi-faceted comparative analysis of effect sizes between trazodone XR and SSRIs, conducted across multiple scales including patient-reported measures, demonstrated previously unreported pronounced progressive increase in trazodone XR’s activity across successive time points.\nIn the depression severity scales QIDS-SR and QIDS-CR, a systematic improvement was observed at successive time points in the trazodone XR and SSRIs. Therapeutic effects were already evident at week 2, with greater improvement in the trazodone XR group compared to SSRIs. Over time, the magnitude of the effect increased, reaching its peak at week 8 for SSRIs and by week 12 for trazodone XR. Notably, SSRIs appeared to reach a plateau in clinical efficacy, while trazodone XR did not exhibit such a limitation. It consistently demonstrated greater efficacy than SSRIs in all assessments and at all time points, with differences becoming especially marked at the last two measurement points. It is worth emphasizing that a similar pattern was observed in both assessment methods, indicating that trazodone XR produced a more pronounced and sustained reduction in depressive symptoms over the 12-week period, regardless of whether severity was assessed subjectively or objectively, with the most marked differences emerging in the later stages of treatment. The progressive increase in the effect of trazodone XR observed until the end of treatment may reflect a cumulative benefit, encompassing both improvements in patients’ subjective perceptions and increasingly pronounced changes in clinician-rated assessments due to the drug’s sustained impact on mood. Notably, QIDS scales are often highly sensitive to improvements in somatic symptoms of depression, as patients perceive these changes as a meaningful enhancement of daily functioning (Brown et al., 2008). In our experiment, the favorable changes observed with trazodone XR may be attributable to its unique pharmacological and pharmacokinetic properties. As previously noted, trazodone is a multimodal antidepressant, and its effects arise not only from inhibition of the serotonin transporter but also from actions at serotonergic, histaminergic, and adrenergic receptors, which contribute to improving sleep quality, alleviating insomnia, and reducing the frequency of nocturnal awakenings (Stahl, 2009; Fagiolini et al., 2023).\nAmelioration of sleep disturbances may potentiate the overall antidepressant effect and accelerate functional restoration, as reflected in these scales (Brown et al., 2008). In addition, the XR formulation of trazodone ensures more stable plasma concentrations, reducing fluctuations in drug activity, improving tolerability, and sustaining antidepressant effects, which may have contributed to the favorable progressive effect observed in these scales (Sheehan et al., 2009). Also in the MADRS scale, trazodone XR demonstrated a therapeutic advantage over SSRIs across all assessment points. While improvements were comparable between groups in the early phase of treatment, a marked increase in effect size for trazodone XR was observed from week 8 onward and sustained through the end of the study. In the QIDS-SR and QIDS-CR assessments, however, this superiority emerged earlier, around week 4, suggesting a more rapid onset of benefit in these measures. This initial separation is likely attributable to differences in the constructs and measurement sensitivity of these scales compared to the MADRS (Bernstein et al., 2010). The earlier superiority of trazodone XR in QIDS-SR and QIDS-CR may reflect, as previously noted, the scales’ greater sensitivity to early improvements in symptoms such as sleep and energy, which are rapidly influenced by trazodone’s multimodal mechanism (Rush et al., 2006).\nBoth trazodone XR and SSRIs demonstrated systematic improvement on the SHAPS scale, which assesses hedonic capacity across four domains: interests and leisure activities, social interaction, sensory experience, and food and drink, across successive assessment points (Snaith et al., 1995). Some effects were already apparent at week 2 of therapy, with SSRIs showing slightly higher effect size values at this early stage. However, from week 4 onward, trazodone XR consistently demonstrated greater clinical efficacy than SSRIs, with the difference between the groups becoming progressively more pronounced over time. In the trazodone XR group, the effect size increased steadily, reaching its maximum at week 12. In contrast, the SSRIs reached a lower peak at week 8, with values by week 12 falling back to levels similar to those observed by week 4. Presumably, this effect is mediated by trazodone’s antagonism of 5-HT2A and 5-HT2C receptors. The ventral tegmental area (VTA) contains dopaminergic neurons that play a central role in regulating reward and motivation, projecting to the nucleus accumbens (NAc) and prefrontal cortex (PFC), which together constitute core components of the brain’s reward circuitry (Haber and Knutson, 2010). Multiple preclinical and some clinical investigations have identified 5-HT2A and 5-HT2C receptors within the VTA, NAc, and in the PFC, where 5-HT2A receptors are present at a substantially higher density than 5-HT2C receptors (Ikemoto et al., 2000; Zhang and Stackman, 2015; Borsini et al., 2020). Therefore, trazodone’s therapeutic effect may be mediated through antagonism of receptors located within these regions, which may, in turn, modulate dopaminergic signaling within mesolimbic pathways. In the context of anhedonia, these projection targets particularly the amygdala, PFC, are considered key sites where dysregulation of dopamine transmission contributes to depressive-like behaviors (Gold et al., 2018). On the other hand, it should be noted that the majority of available preclinical data indicate that activation, rather than antagonism, of 5-HT2A receptors facilitates dopamine release, whereas antagonism of 5-HT2C receptors similarly promotes dopaminergic neurotransmission (Di Matteo et al., 2001; Pytka et al., 2016). In support of this mechanism, Balsara et al. demonstrated in rats that trazodone, administered at doses of 5–20 mg/kg, exerts antagonistic activity at both 5-HT2A and 5-HT2C receptors; however, within this dose range, the facilitation of dopaminergic neurotransmission appears to be primarily mediated by 5-HT2C receptor blockade, which mitigates tonic serotonergic inhibition of nigrostriatal dopaminergic neurons (Balsara et al., 2005). Thus, the neurobiological underpinnings of this phenomenon remain complex; nevertheless, further investigations employing methodologically rigorous, well-controlled experimental and clinical designs are warranted to validate these preliminary observations and to delineate, with greater precision, the molecular mechanisms by which antagonism of 5-HT2A and 5-HT2C receptors within reward-related brain regions modulates dopaminergic signaling and ultimately translates into measurable clinical improvement in anhedonia. Conversely, for SSRIs, the anticipated effect size may be attenuated due to their limited efficacy in alleviating anhedonia (Serretti, 2025). In some cases, these agents may even exacerbate hedonic deficits, potentially intensifying symptoms (Serretti, 2023). In the study by McCabe et al., which employed functional magnetic resonance imaging to assess neural responses to various stimuli, citalopram was found to decrease activation within reward-related neural circuits, including the ventral striatum, in response to a chocolate rewarding signal (McCabe et al., 2010). These findings suggest that SSRIs may suppress reward processing, which could partly account for their limited therapeutic efficacy in depressive disorders characterized by anhedonia in certain patients (McCabe et al., 2010).\nEvaluation of HAM-A scores over the 12-week observation period showed that both trazodone XR and SSRIs produced comparable clinical improvements during the early phase of treatment (at weeks 2 and 4). However, by week 8, trazodone XR exhibited a gradual yet consistent advantage, with a more sustained trajectory of symptom reduction compared with SSRIs. By week 12, trazodone XR maintained this upward trend, achieving the highest effect sizes observed during the study, while the SSRIs response remained relatively stable, indicating a plateau in therapeutic gains.\nIn the AIS assessment, trazodone XR demonstrated a consistently stronger impact on insomnia symptoms compared to SSRIs. Superiority was already evident at 2 weeks of the experiment and became more pronounced over time, with trazodone XR showing large effect sizes at each subsequent measurement, while SSRIs produced predominantly small-to-moderate improvements. The effects of trazodone XR observed in the reduction of anxiety and improvement of sleep quality are most likely associated with its high affinity for serotonin receptors and its antagonistic activity at 5-HT2A and 5-HT2C receptors (Fagiolini et al., 2025). In the context of sleep regulation, trazodone’s effects may also be substantially mediated through its interactions with histaminergic and adrenergic pathways (Fagiolini et al., 2023). It has been demonstrated that acute SSRIs administration may induce anxiety, at least in part, via activation of 5-HT2C receptors, highlighting the role of these receptors in the pathophysiology of anxiety (Lin et al., 2023). Regarding SSRIs, it appears that only prolonged administration is likely to result in a clinically meaningful reduction in anxiety symptoms, an effect that may be mediated by the gradual desensitization of 5-HT2A and 5-HT2C receptors over time (Stahl, 2009).\nTherefore, given that our study spanned only 12 weeks, it is likely that SSRIs had insufficient time to fully manifest their anxiolytic potential, while trazodone XR exhibited a comparatively faster onset of therapeutic efficacy. Moreover, insomnia, which can persist with continued SSRIs use, may further underscore the potential advantage of trazodone in this context. Consistent with this, a recent meta-analysis found that trazodone increases total sleep time and enhances sleep quality and continuity, while exerting only slight effects on measures like sleep latency and daytime functioning (Kokkali et al., 2024).\nThis study, as previously noted, was conducted at a single center and employed a naturalistic, open-label design without random allocation. A pooled analysis of different SSRIs may have introduced therapeutic heterogeneity (differences in pharmacodynamics, dosing, and time to onset of action), which could have diluted the true differences compared with trazodone XR and limited the generalizability of the findings to individual compounds. Moreover, fluoxetine—the prototypical SSRI—was not included among the analyzed SSRIs. This was primarily attributable to the naturalistic, observational design of the study: during the recruitment period, none of the patients presented a clinical symptom profile warranting initiation of fluoxetine therapy. Furthermore, pharmacoepidemiological data from Poland indicate that in 2018 sertraline accounted for 38.5% and escitalopram for 21.8% of all SSRI prescriptions, whereas fluoxetine represented only 13.0%, corroborating its comparatively lower current use (Bliźniewska-Kowalska et al., 2020). Similar prescribing trends have been reported in the United Kingdom, where sertraline became the most frequently prescribed antidepressant in the same year (Bogowicz et al., 2021). While our observational study enhances the external validity of the findings by increasing their applicability to real-world clinical settings, it is, conversely, limited by the absence of randomization and blinding—design elements widely regarded as essential for minimizing confounding factors and reducing the risk of bias (Higgins et al., 2024). Furthermore, it should be taken into account that the absence of a control arm, the presence of certain baseline differences, and additional factors primarily dependent on the patient, such as treatment adherence, concomitant therapies, and clinician-specific decision-making within the context of our study, may have additionally affected the internal validity and interpretation of the findings described above.\nOn the other hand, contemporary research paradigms are shifting, with increasing recognition of the value of incorporating non-randomized interventional studies alongside randomized controlled trials (RCTs) to enhance the strength and applicability of clinical evidence (Yao et al., 2025). This development is driven by the growing recognition that, particularly in psychiatry, evaluating treatment effects in patients is inherently challenging due to the subjective nature of symptoms and the limited availability of objective efficacy markers (Kane, 2002).\nThis evolving research landscape is increasingly shaped by the complexity of modern therapies, the restrictive eligibility criteria applied in many clinical trials, and the resulting limited target populations. Consequently, the integration of various types of clinical data is gaining increasing recognition across the entire drug development and evaluation continuum, including post-marketing phases (Kennedy-Martin et al., 2015). This perspective supports our findings and underscores their relevance; nonetheless, it should be emphasized that further in-depth analyses, particularly RCTs, are needed to allow for a comprehensive and conclusive interpretation of the aggregated results.\n\n\n### Conclusion\nTrazodone XR demonstrated greater and progressively increasing effect sizes compared to SSRIs, indicating a more robust and sustained antidepressant response. The observed trajectory suggests that trazodone XR may confer benefits extending beyond the reduction of depressive symptoms, encompassing broader affective and behavioral dimensions. Further randomized controlled studies are warranted to confirm these findings and clarify their broader clinical implications.", "domain": "affective_neuroscience"}
{"source": "PMC13092888", "title": "The Effect of Caffeine Consumption and Acute Withdrawal on Resting‐State fMRI Brain Connectivity, Mood and Cognition", "text": "# The Effect of Caffeine Consumption and Acute Withdrawal on Resting‐State fMRI Brain Connectivity, Mood and Cognition\n\n## Abstract\nCaffeine is the most widely consumed psychoactive substance, yet few studies have investigated how habitual and acute consumption and withdrawal impacts resting‐state brain connectivity. Notably, prior research lacks adequate control for deprivation state, despite evidence that caffeine reinforcement occurs primarily by alleviating withdrawal. This study used a between‐participant design to assess resting‐state fMRI brain connectivity, mood and cognition in three groups: (1) moderate consumers (200–500 mg/day) tested after overnight abstinence (caffeine withdrawn, CW); (2) moderate consumers tested after overnight abstinence followed by 100 mg of caffeine (caffeine not withdrawn [CNW]); and (3) non‐consumers of caffeine (< 50 mg/day, NC). Sixty healthy volunteers, aged 18–45 (n = 20/group) completed the Bond–Lader mood battery, a rapid visual information processing task and a resting‐state fMRI scan. For resting‐state brain connectivity, the CW group showed altered nucleus accumbens connectivity with primary visual cortex compared to CNW and NC groups. The CNW group showed stronger anterior insula connectivity with precuneus cortex compared to CW and NC groups. For network‐level analyses, the CNW group exhibited reduced limbic within‐network connectivity and altered connectivity between limbic and occipital cortex compared to CW and NC groups. The anterior salience network showed group differences in connectivity with the putamen, pallidum and thalamus. The supplementary somatomotor network showed greater connectivity with the bilateral putamen in both caffeine groups, but reduced connectivity with the right middle temporal gyrus for the CW group. No significant main group effect emerged for mood and cognition. These findings demonstrate that caffeine consumption and withdrawal produce distinct alterations in resting‐state brain connectivity. Habitual and acute caffeine consumption and acute caffeine withdrawal produce distinct alterations in resting‐state fMRI brain connectivity, in regions primarily associated with reward, interoception, emotion regulation, motor function and visual processing. These findings contribute towards the understanding of the caffeinated brain and the caffeine withdrawal state.\n\n## Full Text\n\n\n### Introduction\nCaffeine is the most widely consumed psychoactive substance globally (Nehlig et al. 1992), and a principal constituent of coffee and many types of tea, both of which are amongst the top choices of drinks people choose to consume apart from water (Reddy et al. 2024). Additionally, caffeine is added to many other foods and beverages, including many popular soft drinks and, more recently, energy drinks (Verster and Koenig 2018). Caffeine is well known and consumed for its stimulant properties, and generally, habitual consumers report enhanced alertness, mental performance, mood and energy (McLellan et al. 2016). Caffeine's primary mechanism of action is through non‐selective antagonism of adenosine A1 and A2 receptors in the brain (Fredholm et al. 1999). Adenosine is a neuromodulator that inhibits arousal and promotes sleep when bound predominantly to A1 receptors in the basal forebrain, limbic system, hypothalamus, brainstem and subarachnoid space (Porkka‐Heiskanen et al. 1997). By blocking adenosine binding to receptors, caffeine increases wakefulness and arousal (Ribeiro and Sebastião 2010). Habitual caffeine consumption has also been found to alter the adenosine system, increasing plasma adenosine concentration and upregulating adenosine receptors, resulting in tolerance towards the effects of caffeine (McLellan et al. 2016; Varani et al. 2000).\nAlthough not typically considered a drug of abuse, regular caffeine use leads to dependence (Schuh and Griffiths 1997; Strain et al. 1994). Acute caffeine withdrawal in those dependent on caffeine can result in withdrawal symptoms, most commonly headache, fatigue and poor concentration; this is evident with just 100 mg/day—equivalent to roughly one cup of coffee (Schuh and Griffiths 1997). To date, research has demonstrated the characteristics of caffeine in terms of its withdrawal effects on mood, cognition and even preference for novel flavours (Chambers et al. 2007; Rogers et al. 2003; Tinley et al. 2003; Yeomans, Ripley, et al. 2002). Although heavily debated in the literature, much evidence suggests that the effects of caffeine are largely due to the alleviation of withdrawal symptoms, commonly referred to as the withdrawal reversal hypothesis (James and Rogers 2005). For instance, caffeine has been shown to increase cognitive performance in working memory tasks and mental alertness in habitual consumers given caffeine when deprived, but these effects were no longer found when consumers were given caffeine not deprived (Yeomans, Ripley, et al. 2002). Additionally, no net benefit of caffeine was found when given to habitual non‐consumers of caffeine, supporting the withdrawal reversal hypothesis (Rogers et al. 2003). Caffeine has also been shown to be a powerful reinforcer of liking for certain novel flavours associated with caffeine (Yeomans et al. 1998; Yeomans, Jackson, Lee, Nesic, and Durlach 2000). However, liking for novel flavoured drinks paired with caffeine is only acquired in a caffeine deprived state (Chambers et al. 2007; Tinley et al. 2003; Yeomans, Jackson, Lee, Steer, et al. 2000; Yeomans, Pryke, and Durlach 2002).\nWhilst several studies have investigated habitual caffeine consumption and acute withdrawal on mood and cognition, fewer studies have investigated caffeine's impact on brain connectivity. This is a key knowledge gap to fill, given that the adenosine mechanism of caffeine underpins its mood and cognitive effects, as well as the effect of withdrawal, via the brain. Thus far, most studies have investigated caffeine's effects on brain function using task‐based fMRI. Studies employing working memory tasks have reported increased activation in the prefrontal cortex, the right anterior cingulate cortex and the striatum and reduced activation in the thalamus and hippocampus in habitual caffeine consumers following caffeine administration (Haller et al. 2014; Klaassen et al. 2013; Koppelstaetter et al. 2008; Lin et al. 2023). Notably, a study contrasting acute caffeine consumption and withdrawal found higher activity in the right middle frontal gyrus in the caffeine condition following caffeine consumption (Lin et al. 2023). However, Koppelstaetter et al. (2008) found no differences in brain activation between habitual consumers given caffeine and those acutely withdrawn. Additionally, increased blood‐oxygenation‐level‐dependent (BOLD) activation in habitual caffeine consumers given caffeine has been found in the left cerebellum, putamen, insula, thalamus and right primary motor cortex, alongside decreased BOLD deactivation in medial and lateral posterior cortical areas during a visuomotor task inducing attention (Park et al. 2014). High consumers of caffeine also showed increased BOLD signal change in the visual cortex compared to low consumers of caffeine during passive sensory stimulation (Laurienti et al. 2002).\nTo a lesser extent, habitual caffeine consumption and acute caffeine administration have also been shown to alter resting‐state brain connectivity (Magalhães et al. 2021; Picó‐Pérez et al. 2023; Rack‐Gomer and Liu 2012; Wong et al. 2012; Wu et al. 2014). Reduced inter‐hemispheric BOLD connectivity in the motor cortex was found after acute administration of caffeine (Rack‐Gomer et al. 2009; Rack‐Gomer and Liu 2012). Interestingly, Wu et al. (2014) also found decreased activation in the motor and visual cortex following caffeine administration in non‐habitual caffeine consumers who had not consumed caffeine for a 6‐month period. Caffeine also significantly enhances the anti‐correlations between the default mode network (DMN) and the task positive network at rest (Wong et al. 2012). More recently, Magalhães et al. (2021) found decreased connectivity in a network of cortical and subcortical regions, as well as the somatosensory and limbic networks, for caffeine consumers compared to non‐consumers of caffeine. Furthermore, decreased connectivity of the posterior DMN and increased connectivity of the visual and right executive control networks were found following acute caffeine administration in habitual consumers (Picó‐Pérez et al. 2023). Notably, however, none of these studies adequately controlled for acute caffeine withdrawal or included a sufficiently powered sample to robustly detect differences between non‐consumers of caffeine and habitual caffeine consumers in both acutely withdrawn and not‐withdrawn states.\nThis study aimed to address this gap by investigating habitual caffeine consumption and acute withdrawal on resting‐state fMRI brain connectivity, mood and cognition in the following three groups: (a) habitual moderate caffeine consumers (200–500 mg/day of caffeine) tested after overnight caffeine abstinence to establish acute withdrawal (caffeine withdrawn [CW] group); (b) habitual moderate caffeine consumers (200–500 mg/day of caffeine) tested after overnight caffeine abstinence followed by consumption of 100 mg of caffeine to establish acute caffeine consumption (caffeine not withdrawn [CNW] group); and (c) non consumers of caffeine, defined as never consuming coffee and whose total daily caffeine intake is less than 50 mg/day (non‐consumer [NC] group).\nBased on previous evidence we hypothesised that (1) changes in mood, cognition and brain connectivity would be observed in habitual caffeine consumers (CW and CNW groups) versus non‐consumers of caffeine (NC) indicative of a long‐term chronic adaptation as a result of habitual caffeine consumption rather than an acute effect; (2) that acute administration of 100 mg of caffeine to habitual moderate caffeine consumers would alter mood, cognition and brain connectivity, with differences observed between the CNW group and the CW and NC groups, as well as an effect of acute withdrawal with differences observed between the CW and the CNW and NC groups; and (3) that both habitual caffeine use, acute administration and acute withdrawal will alter mood, cognition and brain connectivity, with differences observed between all three groups. Specifically for mood and cognition, we predicted that the CNW group would have a significantly faster reaction time and number of correct responses in the rapid visual information processing (RVIP) task as well as increased alertness compared to the CW and NC groups after breakfast. In contrast, we predicted that both caffeine consumer groups would have a significantly slower reaction time and number of correct responses as well as reduced alertness compared to the NC group before breakfast. For brain connectivity we sought to assess group differences in regions of interest (ROIs) most likely involved in caffeine reward and withdrawal (nucleus accumbens, hypothalamus and anterior insula) (Magalhães et al. 2021; Nehlig et al. 2010; Picó‐Pérez et al. 2023). Additionally, we aimed to explore whole‐brain connectivity differences between groups, with a specific interest in networks theoretically and previously implicated in habitual caffeine consumption and withdrawal: the anterior salience, executive control and somatomotor and limbic networks (Magalhães et al. 2021; Picó‐Pérez et al. 2023; Rack‐Gomer et al. 2009; Wu et al. 2014). Overall, this gives a more complete picture on the neural changes associated with long‐term and acute caffeine use while also crucially controlling for acute caffeine withdrawal.\n\n\n### Methods\nSixty healthy volunteers aged 18–45 (n = 41 female and n = 19 male) were recruited, 20 into each of three groups: CNW, CW and NC. The sample size included in this study was based on effect sizes reported in previous studies using similar fMRI paradigms and is consistent with normative sample sizes in the field. Notably, the most recent study of resting state differences between coffee consumers and non‐consumers reported effects with n = 54 (Magalhães et al. 2021).\nThe study included minor deception and was advertised to potential participants as exploring the effects of breakfast on mood, cognition and brain connectivity to avoid any bias related to the knowledge of caffeine. All other details of the study procedure were described to participants accurately in advance of participation. Eligibility criteria included those aged 18–45 (there is an upper age limit as this study includes a measure of cognition that is age sensitive), not on any prescription medication other than oral contraceptives, who regularly (at least 4 days/week) consume breakfast, who do not smoke more than five cigarettes per week or have an aversion to any of the products served for breakfast in this study: wheat, dairy products or fruit conserves. Potential participants were screened for habitual caffeine consumption (see Table S1) and eligibility criteria via an online survey prior to being invited to participate (approved by the Sciences and Technology Cross‐Schools Research and Ethics Committee: ER/MARTIN/24). Participants recruited into groups CW and CNW habitually consumed at least one cup of coffee per day and had an estimated total daily caffeine consumption of 200–500 mg/day. Those consuming 100 mg of caffeine a day have been shown to be dependent on caffeine, and we therefore concluded that those moderately dependent on caffeine would consume between 200 and 500 mg/day; this is in alignment with previous studies (Laurienti et al. 2002). Those recruited into the NC group were non‐coffee drinkers and had an estimated total daily caffeine consumption of < 50 mg/day. Notably, we chose to recruit moderate caffeine consumers for the CNW and CW groups to maximise differences observed between the NC groups. This study used a between‐participant experimental design to contrast differences in brain connectivity, mood and cognition between the three groups: CNW, CW and NC. Double blinding of participants and the researcher was implemented for habitual moderate caffeine consumers, who were randomised into either the CW or CNW group. This study protocol was approved by the Brighton and Sussex Medical School Research and Ethics Committee (ER/MARTIN/22) and conformed to the British Psychological Society guidelines for ethical human research. All participants provided informed consent prior to beginning the study.\nParticipants were tested in the morning between the hours of 08:00–10:30, and the duration of the testing session lasted no longer than 2 h. Upon arrival, participants completed the Bond–Lader mood task and the RVIP task. They then consumed a standard breakfast of two slices of toast (Hovis wholemeal bread), spread (sunflower spread or Lakeland butter) and a choice of two Ratton Pantry jams (apricot, strawberry, raspberry or blackberry) as well as a hot drink. To manipulate acute caffeine withdrawal state, participants were asked to abstain from eating and to drink only water from 22:00 pm on the evening before testing. For CNW participants, the hot beverage provided to them with their breakfast was a cup of caffeinated coffee. CW participants were provided with a cup of decaffeinated coffee as their hot beverage. Both caffeinated (Buenos Aires lungo—104 mg of caffeine) and decaffeinated coffee (Volluto decaffeinato—residual caffeine of 2 mg) was prepared using Nespresso original coffee pods dispensed into a Nespresso coffee machine, and participants had the option to add milk and sugar to their drink. The amount of milk and sugar added to the hot beverage was recorded by weighing the jug containing milk and the sugar bowl before and after breakfast. The amount of milk and sugar added was measured to assess any differences between caffeine consumer groups as some research suggests that there may be synergistic effects of sugar, in particular, with caffeine (Bernard et al. 2018; Reis et al. 2018). The NC group was given the choice of an herbal tea containing no caffeine to have with their breakfast. Participants were then transferred to the MRI centre, where they repeated the mood and cognitive tasks in a quiet room. After completing the mood and cognitive tasks, participants completed the resting‐state fMRI scan, which lasted 25 min (this was at least 45 min following caffeine or placebo consumption, to account for optimal caffeine absorption [Fredholm et al. 1999]). During the scan, participants were instructed to stay awake and maintain fixation on a cross back‐projected onto a screen. After the scanning session, participants were debriefed on the purpose of the study, where they were asked whether they believed the drink they consumed contained caffeine. Finally, participants were rewarded with either University of Sussex course credits or cash for their participation.\nMood was assessed using an adapted computerised version of the validated Bond–Lader Visual Analogue Scales (Bond and Lader 1974), programmed using Qualtrics software. The mood battery consists of 16 scales representing different moods with opposite extremes. Participants were requested to position their bar on the rating line at the point that most accurately represents their current mood. Individual mood scales were scored from 0 to 100 and were subsequently combined into three mood factors: alertness, calmness and contentedness.\nCognitive performance was measured using the validated RVIP task (Bakan 1959), programmed using Inquisit software. Sustained attention and working memory are measured through the sequential presentation of numbers centrally on a screen at a rate of 80 numbers per minute. Participants were required to accurately detect and respond as quickly as possible to the target of three consecutive odd or even numbers, with eight target sequences occurring in each minute. The task included two 10‐minute tests divided into two 5‐minute blocks, separated by a brief rest. The number of correct responses and the mean reaction time for correct responses were recorded automatically.\nImaging was performed using a Siemens Prisma 3‐T MRI scanner. The scan session included a T1‐weighted magnetization prepared gradient‐echo (MPRAGE) structural scan (TE = 1.8/3.6/5.4/7.2 ms; 0.8 mm resolution, voxel size = 2 mm3), lasting 8 min 22 s and a resting‐state fMRI scan consisting of two spin echo field maps (2 mm resolution, anterior–posterior (AP) and posterior–anterior (PA)) lasting 18 s, as well as BOLD fMRI (2 runs: AP and PA; TR = 800 ms, TE = 37 ms, voxel size = 2 mm3) lasting 7 min 53 s per run, 15 min 46 s total. The two scan sequences were taken from the Human Connectome Project Development and Aging protocol (Harms et al. 2018). The total duration of the scanning session was approximately 25 minutes.\nResting‐state fMRI data were analysed using CONN (Whitfield‐Gabrieli and Nieto‐Castanon 2012) (RRID:SCR_009550) release 22.v2407 (Nieto‐Castanon and Whitfield‐Gabrieli 2022), and SPM (RRID:SCR_007037) release 12.7487 (Friston et al. 2006) in MATLAB.\nFirst, field maps were applied to unwarp functional data using custom in‐house MATLAB scripts. The unwarped files were imported into CONN, with each run (AP, PA phase encoding) of the resting‐state functional data set‐up as two sessions. Functional and anatomical data were preprocessed using a modular preprocessing pipeline (Nieto‐Castanon 2020) including realignment, outlier detection, direct segmentation and MNI‐space normalisation and smoothing. Functional data were co‐registered to a reference image (first scan of the first session) using a least squares approach and a six‐parameter (rigid‐body) transformation (Friston et al. 2006) and resampled using b‐spline interpolation. Potential outlier scans were identified using ART (Whitefield‐Gabrieli et al. 2011) as acquisitions with framewise displacement above 0.9 mm or global BOLD signal changes above 5 standard deviations (Nieto‐Castanon 2022; Power et al. 2014), and a reference BOLD image was computed for each subject by averaging all scans excluding outliers. Functional and anatomical data were normalised into standard MNI space, segmented into grey matter, white matter and cerebrospinal fluid (CSF) tissue classes and resampled to 2 mm isotropic voxels following a direct normalisation procedure (Calhoun et al. 2017; Nieto‐Castanon 2022) using SPM unified segmentation and normalisation algorithm (Ashburner 2007; Ashburner and Friston 2005) with the default IXI‐549 tissue probability map template. Last, functional data were smoothed using spatial convolution with a Gaussian kernel of 5 mm full width at half maximum.\n1\nIn addition, functional data were denoised using a standard denoising pipeline (Nieto‐Castanon 2020) including the regression of potential confounding effects characterised by white matter time series (5 CompCor noise components), CSF time series (5 CompCor noise components), motion parameters and their first‐order derivatives (12 factors) (Friston et al. 1996), outlier scans (below 59 factors) (Power et al. 2014), session (run) effects and their first‐order derivatives (2 factors) and linear trends (2 factors) within each functional run, followed by bandpass frequency filtering of the BOLD time series (Hallquist et al. 2013) between 0.008 and 0.09 Hz. CompCor (Behzadi et al. 2007; Chai et al. 2012) noise components within white matter and CSF were estimated by computing the average BOLD signal as well as the largest principal components orthogonal to the BOLD average, motion parameters and outlier scans within each subject's eroded segmentation masks. From the number of noise terms included in this denoising strategy, the effective degrees of freedom of the BOLD signal after denoising were estimated to range from 107.2 to 145.1 (average 143.3) across all subjects (Nieto‐Castanon 2022).\nThis section details pre‐registered data analysis as described in the OSF project (osf.io/tqe7f). Initial analysis compared key demographic data (age and biological sex) between the three groups as well as habitual caffeine consumption between groups CW and CNW.\nPrior to statistical analysis, RVIP reaction time data were checked, and reaction times of less than 250 ms were recorded as false hits considering that this reaction time would be highly unlikely. The remaining reaction times were then averaged for each participant at each test time (before and after breakfast). Data were checked for outliers using visual inspection of boxplots, as well as calculating z‐scores, with a cut off score of ±3. Differences between groups were investigated by fitting a general linear model (GLM) and contrasted using ANOVA. GLM assumptions of normality, homoscedasticity and linearity were assessed; in cases where the model did not meet assumptions, a robust GLM was fitted. First, we investigated differences between non‐consumers and caffeine consumers for all measures at the pre‐breakfast baseline. We then assessed group differences for the post‐breakfast score for all measures controlling for baseline scores. RVIP data for one subject in the NC group was missing, and therefore, this participant was excluded from the RVIP analysis. Data analyses were conducted in R using RStudio Version 2024.12.1 + 653. GLMs were conducted in base R and interpreted using the Broom and Parameters packages (Lüdecke et al. 2020; Robinson et al. 2025); the standard p < 0.05 criteria were used for determining significance.\nFor first‐level analysis, seed‐based connectivity maps and ROI‐to‐ROI connectivity matrices were estimated, characterising the patterns of functional connectivity with five ROIs: the hypothalamus (taken from the atlas by Neudorfer et al. 2020), left and right nucleus accumbens (taken from the Harvard–Oxford subcortical structural atlas\n2\n) and left and right anterior insula (taken from the atlas by Faillenot et al. 2017). All ROI masks were first binarised, and then the masks for the hypothalamus and anterior insula were transformed into 2 mm space using advanced normalisation tools (ANTs) (Tustison et al. 2021). Functional connectivity strength was represented by Fisher‐transformed bivariate correlation coefficients from a weighted‐GLM (Nieto‐Castanon 2020), defined separately for each possible pair of the three ROIs, modelling the association between their BOLD signal time series. To compensate for possible transient magnetisation effects at the beginning of each run, individual scans were weighted by a step function convolved with an SPM canonical haemodynamic response function and rectified.\nGroup‐level analyses were performed using a GLM (Nieto‐Castanon 2020). For each individual voxel, a separate GLM was estimated, with first‐level connectivity measures at this voxel as dependent variables (one independent sample per subject) and the caffeine groups as independent variables. Voxel‐level hypotheses were evaluated using multivariate parametric statistics with random effects across subjects and sample covariance estimation across multiple measurements. Inferences were performed at the level of individual clusters (groups of contiguous voxels). Cluster‐level inferences were based on parametric statistics from Gaussian random field theory (Nieto‐Castanon 2020; Worsley et al. 1996). Results were thresholded using a cluster‐forming p < 0.001 voxel‐level threshold and then a familywise‐corrected p‐FDR < 0.05 cluster‐size threshold (Chumbley et al. 2010).\nGroup‐level independent component analyses (group‐ICA) (Calhoun et al. 2001) were performed to estimate 20 temporally coherent networks from the fMRI data combined across all subjects. For first‐level analysis, the BOLD signal from every timepoint and voxel in the brain was concatenated across subjects and resting‐state runs along the temporal dimension. A singular value decomposition of the z‐score normalised BOLD signal (subject‐level SVD) with 64 components separately for each subject was used as a subject‐specific dimensionality reduction step. The dimensionality of the concatenated data was further reduced using a singular value decomposition with 20 components and a fast‐ICA fixed‐point algorithm (Hyvarinen 1999) with hyperbolic tangent (G1) contrast function to identify spatially independent group‐level networks from the resulting components. Finally, GICA3 back‐projection (Erhardt et al. 2011) was used to compute ICA maps associated with these same networks separately for each individual subject.\nWithin‐network connectivity differences between groups were investigated by creating and exporting an ICA parcellation ROI file for each component that best represented the networks of interest (pre‐registered): limbic, executive control, anterior salience and somatomotor (primary and supplementary), as well as remaining primary resting‐state networks: default mode, dorsal attention and visual networks (not pre‐registered). Components were spatially matched according to the Yeo 7 Networks and Yeo 17 Networks (Thomas Yeo et al. 2011), and exported from CONN. Each component file was then split into separate files of clusters over 10 voxels that constitute different regions of the network based on the Schaefer parcellation (7‐network 100 parcels) (Schaefer et al. 2018). Files of the different regions of each network were imported back into CONN as separate ROIs; connectivity matrices were then estimated to investigate within‐network connectivity using each possible node‐to‐node connection within a given network, and differences were investigated between groups. In addition, group differences for component networks to whole brain were investigated. Group‐level analyses were once again performed using a GLM (Nieto‐Castanon 2020), with the same approach as described for seed‐based connectivity analysis.\nAdditional exploratory analysis (not pre‐registered) also investigated group differences for other key variables measured within this study. Specifically, the amount of milk and sugar added to the hot drink provided to participants was assessed between caffeine consumer groups (CW and CNW) as some research suggests that there may be synergistic effects of sugar with coffee. Additionally, we assessed differences between caffeine consumer groups regarding whether they believed that the drink they consumed contained caffeine. This was to assess whether there were any group differences in caffeine associated expectation effects. Lastly, for the ICA, we also assessed within‐network and network to whole‐brain connectivity for the remaining main resting state networks: visual network, dorsal attention network (DAN) and the DMN.\n\n\n### Participants and Study Design\nSixty healthy volunteers aged 18–45 (n = 41 female and n = 19 male) were recruited, 20 into each of three groups: CNW, CW and NC. The sample size included in this study was based on effect sizes reported in previous studies using similar fMRI paradigms and is consistent with normative sample sizes in the field. Notably, the most recent study of resting state differences between coffee consumers and non‐consumers reported effects with n = 54 (Magalhães et al. 2021).\nThe study included minor deception and was advertised to potential participants as exploring the effects of breakfast on mood, cognition and brain connectivity to avoid any bias related to the knowledge of caffeine. All other details of the study procedure were described to participants accurately in advance of participation. Eligibility criteria included those aged 18–45 (there is an upper age limit as this study includes a measure of cognition that is age sensitive), not on any prescription medication other than oral contraceptives, who regularly (at least 4 days/week) consume breakfast, who do not smoke more than five cigarettes per week or have an aversion to any of the products served for breakfast in this study: wheat, dairy products or fruit conserves. Potential participants were screened for habitual caffeine consumption (see Table S1) and eligibility criteria via an online survey prior to being invited to participate (approved by the Sciences and Technology Cross‐Schools Research and Ethics Committee: ER/MARTIN/24). Participants recruited into groups CW and CNW habitually consumed at least one cup of coffee per day and had an estimated total daily caffeine consumption of 200–500 mg/day. Those consuming 100 mg of caffeine a day have been shown to be dependent on caffeine, and we therefore concluded that those moderately dependent on caffeine would consume between 200 and 500 mg/day; this is in alignment with previous studies (Laurienti et al. 2002). Those recruited into the NC group were non‐coffee drinkers and had an estimated total daily caffeine consumption of < 50 mg/day. Notably, we chose to recruit moderate caffeine consumers for the CNW and CW groups to maximise differences observed between the NC groups. This study used a between‐participant experimental design to contrast differences in brain connectivity, mood and cognition between the three groups: CNW, CW and NC. Double blinding of participants and the researcher was implemented for habitual moderate caffeine consumers, who were randomised into either the CW or CNW group. This study protocol was approved by the Brighton and Sussex Medical School Research and Ethics Committee (ER/MARTIN/22) and conformed to the British Psychological Society guidelines for ethical human research. All participants provided informed consent prior to beginning the study.\n\n\n### Procedure\nParticipants were tested in the morning between the hours of 08:00–10:30, and the duration of the testing session lasted no longer than 2 h. Upon arrival, participants completed the Bond–Lader mood task and the RVIP task. They then consumed a standard breakfast of two slices of toast (Hovis wholemeal bread), spread (sunflower spread or Lakeland butter) and a choice of two Ratton Pantry jams (apricot, strawberry, raspberry or blackberry) as well as a hot drink. To manipulate acute caffeine withdrawal state, participants were asked to abstain from eating and to drink only water from 22:00 pm on the evening before testing. For CNW participants, the hot beverage provided to them with their breakfast was a cup of caffeinated coffee. CW participants were provided with a cup of decaffeinated coffee as their hot beverage. Both caffeinated (Buenos Aires lungo—104 mg of caffeine) and decaffeinated coffee (Volluto decaffeinato—residual caffeine of 2 mg) was prepared using Nespresso original coffee pods dispensed into a Nespresso coffee machine, and participants had the option to add milk and sugar to their drink. The amount of milk and sugar added to the hot beverage was recorded by weighing the jug containing milk and the sugar bowl before and after breakfast. The amount of milk and sugar added was measured to assess any differences between caffeine consumer groups as some research suggests that there may be synergistic effects of sugar, in particular, with caffeine (Bernard et al. 2018; Reis et al. 2018). The NC group was given the choice of an herbal tea containing no caffeine to have with their breakfast. Participants were then transferred to the MRI centre, where they repeated the mood and cognitive tasks in a quiet room. After completing the mood and cognitive tasks, participants completed the resting‐state fMRI scan, which lasted 25 min (this was at least 45 min following caffeine or placebo consumption, to account for optimal caffeine absorption [Fredholm et al. 1999]). During the scan, participants were instructed to stay awake and maintain fixation on a cross back‐projected onto a screen. After the scanning session, participants were debriefed on the purpose of the study, where they were asked whether they believed the drink they consumed contained caffeine. Finally, participants were rewarded with either University of Sussex course credits or cash for their participation.\n\n\n### Study Measures\nMood was assessed using an adapted computerised version of the validated Bond–Lader Visual Analogue Scales (Bond and Lader 1974), programmed using Qualtrics software. The mood battery consists of 16 scales representing different moods with opposite extremes. Participants were requested to position their bar on the rating line at the point that most accurately represents their current mood. Individual mood scales were scored from 0 to 100 and were subsequently combined into three mood factors: alertness, calmness and contentedness.\nCognitive performance was measured using the validated RVIP task (Bakan 1959), programmed using Inquisit software. Sustained attention and working memory are measured through the sequential presentation of numbers centrally on a screen at a rate of 80 numbers per minute. Participants were required to accurately detect and respond as quickly as possible to the target of three consecutive odd or even numbers, with eight target sequences occurring in each minute. The task included two 10‐minute tests divided into two 5‐minute blocks, separated by a brief rest. The number of correct responses and the mean reaction time for correct responses were recorded automatically.\nImaging was performed using a Siemens Prisma 3‐T MRI scanner. The scan session included a T1‐weighted magnetization prepared gradient‐echo (MPRAGE) structural scan (TE = 1.8/3.6/5.4/7.2 ms; 0.8 mm resolution, voxel size = 2 mm3), lasting 8 min 22 s and a resting‐state fMRI scan consisting of two spin echo field maps (2 mm resolution, anterior–posterior (AP) and posterior–anterior (PA)) lasting 18 s, as well as BOLD fMRI (2 runs: AP and PA; TR = 800 ms, TE = 37 ms, voxel size = 2 mm3) lasting 7 min 53 s per run, 15 min 46 s total. The two scan sequences were taken from the Human Connectome Project Development and Aging protocol (Harms et al. 2018). The total duration of the scanning session was approximately 25 minutes.\nResting‐state fMRI data were analysed using CONN (Whitfield‐Gabrieli and Nieto‐Castanon 2012) (RRID:SCR_009550) release 22.v2407 (Nieto‐Castanon and Whitfield‐Gabrieli 2022), and SPM (RRID:SCR_007037) release 12.7487 (Friston et al. 2006) in MATLAB.\nFirst, field maps were applied to unwarp functional data using custom in‐house MATLAB scripts. The unwarped files were imported into CONN, with each run (AP, PA phase encoding) of the resting‐state functional data set‐up as two sessions. Functional and anatomical data were preprocessed using a modular preprocessing pipeline (Nieto‐Castanon 2020) including realignment, outlier detection, direct segmentation and MNI‐space normalisation and smoothing. Functional data were co‐registered to a reference image (first scan of the first session) using a least squares approach and a six‐parameter (rigid‐body) transformation (Friston et al. 2006) and resampled using b‐spline interpolation. Potential outlier scans were identified using ART (Whitefield‐Gabrieli et al. 2011) as acquisitions with framewise displacement above 0.9 mm or global BOLD signal changes above 5 standard deviations (Nieto‐Castanon 2022; Power et al. 2014), and a reference BOLD image was computed for each subject by averaging all scans excluding outliers. Functional and anatomical data were normalised into standard MNI space, segmented into grey matter, white matter and cerebrospinal fluid (CSF) tissue classes and resampled to 2 mm isotropic voxels following a direct normalisation procedure (Calhoun et al. 2017; Nieto‐Castanon 2022) using SPM unified segmentation and normalisation algorithm (Ashburner 2007; Ashburner and Friston 2005) with the default IXI‐549 tissue probability map template. Last, functional data were smoothed using spatial convolution with a Gaussian kernel of 5 mm full width at half maximum.\n1\nIn addition, functional data were denoised using a standard denoising pipeline (Nieto‐Castanon 2020) including the regression of potential confounding effects characterised by white matter time series (5 CompCor noise components), CSF time series (5 CompCor noise components), motion parameters and their first‐order derivatives (12 factors) (Friston et al. 1996), outlier scans (below 59 factors) (Power et al. 2014), session (run) effects and their first‐order derivatives (2 factors) and linear trends (2 factors) within each functional run, followed by bandpass frequency filtering of the BOLD time series (Hallquist et al. 2013) between 0.008 and 0.09 Hz. CompCor (Behzadi et al. 2007; Chai et al. 2012) noise components within white matter and CSF were estimated by computing the average BOLD signal as well as the largest principal components orthogonal to the BOLD average, motion parameters and outlier scans within each subject's eroded segmentation masks. From the number of noise terms included in this denoising strategy, the effective degrees of freedom of the BOLD signal after denoising were estimated to range from 107.2 to 145.1 (average 143.3) across all subjects (Nieto‐Castanon 2022).\n\n\n### Bond–Lader Mood Battery\nMood was assessed using an adapted computerised version of the validated Bond–Lader Visual Analogue Scales (Bond and Lader 1974), programmed using Qualtrics software. The mood battery consists of 16 scales representing different moods with opposite extremes. Participants were requested to position their bar on the rating line at the point that most accurately represents their current mood. Individual mood scales were scored from 0 to 100 and were subsequently combined into three mood factors: alertness, calmness and contentedness.\n\n\n### RVIP Task\nCognitive performance was measured using the validated RVIP task (Bakan 1959), programmed using Inquisit software. Sustained attention and working memory are measured through the sequential presentation of numbers centrally on a screen at a rate of 80 numbers per minute. Participants were required to accurately detect and respond as quickly as possible to the target of three consecutive odd or even numbers, with eight target sequences occurring in each minute. The task included two 10‐minute tests divided into two 5‐minute blocks, separated by a brief rest. The number of correct responses and the mean reaction time for correct responses were recorded automatically.\n\n\n### Resting‐State fMRI\nImaging was performed using a Siemens Prisma 3‐T MRI scanner. The scan session included a T1‐weighted magnetization prepared gradient‐echo (MPRAGE) structural scan (TE = 1.8/3.6/5.4/7.2 ms; 0.8 mm resolution, voxel size = 2 mm3), lasting 8 min 22 s and a resting‐state fMRI scan consisting of two spin echo field maps (2 mm resolution, anterior–posterior (AP) and posterior–anterior (PA)) lasting 18 s, as well as BOLD fMRI (2 runs: AP and PA; TR = 800 ms, TE = 37 ms, voxel size = 2 mm3) lasting 7 min 53 s per run, 15 min 46 s total. The two scan sequences were taken from the Human Connectome Project Development and Aging protocol (Harms et al. 2018). The total duration of the scanning session was approximately 25 minutes.\nResting‐state fMRI data were analysed using CONN (Whitfield‐Gabrieli and Nieto‐Castanon 2012) (RRID:SCR_009550) release 22.v2407 (Nieto‐Castanon and Whitfield‐Gabrieli 2022), and SPM (RRID:SCR_007037) release 12.7487 (Friston et al. 2006) in MATLAB.\nFirst, field maps were applied to unwarp functional data using custom in‐house MATLAB scripts. The unwarped files were imported into CONN, with each run (AP, PA phase encoding) of the resting‐state functional data set‐up as two sessions. Functional and anatomical data were preprocessed using a modular preprocessing pipeline (Nieto‐Castanon 2020) including realignment, outlier detection, direct segmentation and MNI‐space normalisation and smoothing. Functional data were co‐registered to a reference image (first scan of the first session) using a least squares approach and a six‐parameter (rigid‐body) transformation (Friston et al. 2006) and resampled using b‐spline interpolation. Potential outlier scans were identified using ART (Whitefield‐Gabrieli et al. 2011) as acquisitions with framewise displacement above 0.9 mm or global BOLD signal changes above 5 standard deviations (Nieto‐Castanon 2022; Power et al. 2014), and a reference BOLD image was computed for each subject by averaging all scans excluding outliers. Functional and anatomical data were normalised into standard MNI space, segmented into grey matter, white matter and cerebrospinal fluid (CSF) tissue classes and resampled to 2 mm isotropic voxels following a direct normalisation procedure (Calhoun et al. 2017; Nieto‐Castanon 2022) using SPM unified segmentation and normalisation algorithm (Ashburner 2007; Ashburner and Friston 2005) with the default IXI‐549 tissue probability map template. Last, functional data were smoothed using spatial convolution with a Gaussian kernel of 5 mm full width at half maximum.\n1\nIn addition, functional data were denoised using a standard denoising pipeline (Nieto‐Castanon 2020) including the regression of potential confounding effects characterised by white matter time series (5 CompCor noise components), CSF time series (5 CompCor noise components), motion parameters and their first‐order derivatives (12 factors) (Friston et al. 1996), outlier scans (below 59 factors) (Power et al. 2014), session (run) effects and their first‐order derivatives (2 factors) and linear trends (2 factors) within each functional run, followed by bandpass frequency filtering of the BOLD time series (Hallquist et al. 2013) between 0.008 and 0.09 Hz. CompCor (Behzadi et al. 2007; Chai et al. 2012) noise components within white matter and CSF were estimated by computing the average BOLD signal as well as the largest principal components orthogonal to the BOLD average, motion parameters and outlier scans within each subject's eroded segmentation masks. From the number of noise terms included in this denoising strategy, the effective degrees of freedom of the BOLD signal after denoising were estimated to range from 107.2 to 145.1 (average 143.3) across all subjects (Nieto‐Castanon 2022).\n\n\n### Resting‐State fMRI Parameters\nImaging was performed using a Siemens Prisma 3‐T MRI scanner. The scan session included a T1‐weighted magnetization prepared gradient‐echo (MPRAGE) structural scan (TE = 1.8/3.6/5.4/7.2 ms; 0.8 mm resolution, voxel size = 2 mm3), lasting 8 min 22 s and a resting‐state fMRI scan consisting of two spin echo field maps (2 mm resolution, anterior–posterior (AP) and posterior–anterior (PA)) lasting 18 s, as well as BOLD fMRI (2 runs: AP and PA; TR = 800 ms, TE = 37 ms, voxel size = 2 mm3) lasting 7 min 53 s per run, 15 min 46 s total. The two scan sequences were taken from the Human Connectome Project Development and Aging protocol (Harms et al. 2018). The total duration of the scanning session was approximately 25 minutes.\n\n\n### Resting‐State fMRI Preprocessing and Denoising\nResting‐state fMRI data were analysed using CONN (Whitfield‐Gabrieli and Nieto‐Castanon 2012) (RRID:SCR_009550) release 22.v2407 (Nieto‐Castanon and Whitfield‐Gabrieli 2022), and SPM (RRID:SCR_007037) release 12.7487 (Friston et al. 2006) in MATLAB.\nFirst, field maps were applied to unwarp functional data using custom in‐house MATLAB scripts. The unwarped files were imported into CONN, with each run (AP, PA phase encoding) of the resting‐state functional data set‐up as two sessions. Functional and anatomical data were preprocessed using a modular preprocessing pipeline (Nieto‐Castanon 2020) including realignment, outlier detection, direct segmentation and MNI‐space normalisation and smoothing. Functional data were co‐registered to a reference image (first scan of the first session) using a least squares approach and a six‐parameter (rigid‐body) transformation (Friston et al. 2006) and resampled using b‐spline interpolation. Potential outlier scans were identified using ART (Whitefield‐Gabrieli et al. 2011) as acquisitions with framewise displacement above 0.9 mm or global BOLD signal changes above 5 standard deviations (Nieto‐Castanon 2022; Power et al. 2014), and a reference BOLD image was computed for each subject by averaging all scans excluding outliers. Functional and anatomical data were normalised into standard MNI space, segmented into grey matter, white matter and cerebrospinal fluid (CSF) tissue classes and resampled to 2 mm isotropic voxels following a direct normalisation procedure (Calhoun et al. 2017; Nieto‐Castanon 2022) using SPM unified segmentation and normalisation algorithm (Ashburner 2007; Ashburner and Friston 2005) with the default IXI‐549 tissue probability map template. Last, functional data were smoothed using spatial convolution with a Gaussian kernel of 5 mm full width at half maximum.\n1\nIn addition, functional data were denoised using a standard denoising pipeline (Nieto‐Castanon 2020) including the regression of potential confounding effects characterised by white matter time series (5 CompCor noise components), CSF time series (5 CompCor noise components), motion parameters and their first‐order derivatives (12 factors) (Friston et al. 1996), outlier scans (below 59 factors) (Power et al. 2014), session (run) effects and their first‐order derivatives (2 factors) and linear trends (2 factors) within each functional run, followed by bandpass frequency filtering of the BOLD time series (Hallquist et al. 2013) between 0.008 and 0.09 Hz. CompCor (Behzadi et al. 2007; Chai et al. 2012) noise components within white matter and CSF were estimated by computing the average BOLD signal as well as the largest principal components orthogonal to the BOLD average, motion parameters and outlier scans within each subject's eroded segmentation masks. From the number of noise terms included in this denoising strategy, the effective degrees of freedom of the BOLD signal after denoising were estimated to range from 107.2 to 145.1 (average 143.3) across all subjects (Nieto‐Castanon 2022).\n\n\n### Data Analysis\nThis section details pre‐registered data analysis as described in the OSF project (osf.io/tqe7f). Initial analysis compared key demographic data (age and biological sex) between the three groups as well as habitual caffeine consumption between groups CW and CNW.\nPrior to statistical analysis, RVIP reaction time data were checked, and reaction times of less than 250 ms were recorded as false hits considering that this reaction time would be highly unlikely. The remaining reaction times were then averaged for each participant at each test time (before and after breakfast). Data were checked for outliers using visual inspection of boxplots, as well as calculating z‐scores, with a cut off score of ±3. Differences between groups were investigated by fitting a general linear model (GLM) and contrasted using ANOVA. GLM assumptions of normality, homoscedasticity and linearity were assessed; in cases where the model did not meet assumptions, a robust GLM was fitted. First, we investigated differences between non‐consumers and caffeine consumers for all measures at the pre‐breakfast baseline. We then assessed group differences for the post‐breakfast score for all measures controlling for baseline scores. RVIP data for one subject in the NC group was missing, and therefore, this participant was excluded from the RVIP analysis. Data analyses were conducted in R using RStudio Version 2024.12.1 + 653. GLMs were conducted in base R and interpreted using the Broom and Parameters packages (Lüdecke et al. 2020; Robinson et al. 2025); the standard p < 0.05 criteria were used for determining significance.\nFor first‐level analysis, seed‐based connectivity maps and ROI‐to‐ROI connectivity matrices were estimated, characterising the patterns of functional connectivity with five ROIs: the hypothalamus (taken from the atlas by Neudorfer et al. 2020), left and right nucleus accumbens (taken from the Harvard–Oxford subcortical structural atlas\n2\n) and left and right anterior insula (taken from the atlas by Faillenot et al. 2017). All ROI masks were first binarised, and then the masks for the hypothalamus and anterior insula were transformed into 2 mm space using advanced normalisation tools (ANTs) (Tustison et al. 2021). Functional connectivity strength was represented by Fisher‐transformed bivariate correlation coefficients from a weighted‐GLM (Nieto‐Castanon 2020), defined separately for each possible pair of the three ROIs, modelling the association between their BOLD signal time series. To compensate for possible transient magnetisation effects at the beginning of each run, individual scans were weighted by a step function convolved with an SPM canonical haemodynamic response function and rectified.\nGroup‐level analyses were performed using a GLM (Nieto‐Castanon 2020). For each individual voxel, a separate GLM was estimated, with first‐level connectivity measures at this voxel as dependent variables (one independent sample per subject) and the caffeine groups as independent variables. Voxel‐level hypotheses were evaluated using multivariate parametric statistics with random effects across subjects and sample covariance estimation across multiple measurements. Inferences were performed at the level of individual clusters (groups of contiguous voxels). Cluster‐level inferences were based on parametric statistics from Gaussian random field theory (Nieto‐Castanon 2020; Worsley et al. 1996). Results were thresholded using a cluster‐forming p < 0.001 voxel‐level threshold and then a familywise‐corrected p‐FDR < 0.05 cluster‐size threshold (Chumbley et al. 2010).\nGroup‐level independent component analyses (group‐ICA) (Calhoun et al. 2001) were performed to estimate 20 temporally coherent networks from the fMRI data combined across all subjects. For first‐level analysis, the BOLD signal from every timepoint and voxel in the brain was concatenated across subjects and resting‐state runs along the temporal dimension. A singular value decomposition of the z‐score normalised BOLD signal (subject‐level SVD) with 64 components separately for each subject was used as a subject‐specific dimensionality reduction step. The dimensionality of the concatenated data was further reduced using a singular value decomposition with 20 components and a fast‐ICA fixed‐point algorithm (Hyvarinen 1999) with hyperbolic tangent (G1) contrast function to identify spatially independent group‐level networks from the resulting components. Finally, GICA3 back‐projection (Erhardt et al. 2011) was used to compute ICA maps associated with these same networks separately for each individual subject.\nWithin‐network connectivity differences between groups were investigated by creating and exporting an ICA parcellation ROI file for each component that best represented the networks of interest (pre‐registered): limbic, executive control, anterior salience and somatomotor (primary and supplementary), as well as remaining primary resting‐state networks: default mode, dorsal attention and visual networks (not pre‐registered). Components were spatially matched according to the Yeo 7 Networks and Yeo 17 Networks (Thomas Yeo et al. 2011), and exported from CONN. Each component file was then split into separate files of clusters over 10 voxels that constitute different regions of the network based on the Schaefer parcellation (7‐network 100 parcels) (Schaefer et al. 2018). Files of the different regions of each network were imported back into CONN as separate ROIs; connectivity matrices were then estimated to investigate within‐network connectivity using each possible node‐to‐node connection within a given network, and differences were investigated between groups. In addition, group differences for component networks to whole brain were investigated. Group‐level analyses were once again performed using a GLM (Nieto‐Castanon 2020), with the same approach as described for seed‐based connectivity analysis.\n\n\n### Mood and Cognition\nPrior to statistical analysis, RVIP reaction time data were checked, and reaction times of less than 250 ms were recorded as false hits considering that this reaction time would be highly unlikely. The remaining reaction times were then averaged for each participant at each test time (before and after breakfast). Data were checked for outliers using visual inspection of boxplots, as well as calculating z‐scores, with a cut off score of ±3. Differences between groups were investigated by fitting a general linear model (GLM) and contrasted using ANOVA. GLM assumptions of normality, homoscedasticity and linearity were assessed; in cases where the model did not meet assumptions, a robust GLM was fitted. First, we investigated differences between non‐consumers and caffeine consumers for all measures at the pre‐breakfast baseline. We then assessed group differences for the post‐breakfast score for all measures controlling for baseline scores. RVIP data for one subject in the NC group was missing, and therefore, this participant was excluded from the RVIP analysis. Data analyses were conducted in R using RStudio Version 2024.12.1 + 653. GLMs were conducted in base R and interpreted using the Broom and Parameters packages (Lüdecke et al. 2020; Robinson et al. 2025); the standard p < 0.05 criteria were used for determining significance.\n\n\n### Resting‐State fMRI\nFor first‐level analysis, seed‐based connectivity maps and ROI‐to‐ROI connectivity matrices were estimated, characterising the patterns of functional connectivity with five ROIs: the hypothalamus (taken from the atlas by Neudorfer et al. 2020), left and right nucleus accumbens (taken from the Harvard–Oxford subcortical structural atlas\n2\n) and left and right anterior insula (taken from the atlas by Faillenot et al. 2017). All ROI masks were first binarised, and then the masks for the hypothalamus and anterior insula were transformed into 2 mm space using advanced normalisation tools (ANTs) (Tustison et al. 2021). Functional connectivity strength was represented by Fisher‐transformed bivariate correlation coefficients from a weighted‐GLM (Nieto‐Castanon 2020), defined separately for each possible pair of the three ROIs, modelling the association between their BOLD signal time series. To compensate for possible transient magnetisation effects at the beginning of each run, individual scans were weighted by a step function convolved with an SPM canonical haemodynamic response function and rectified.\nGroup‐level analyses were performed using a GLM (Nieto‐Castanon 2020). For each individual voxel, a separate GLM was estimated, with first‐level connectivity measures at this voxel as dependent variables (one independent sample per subject) and the caffeine groups as independent variables. Voxel‐level hypotheses were evaluated using multivariate parametric statistics with random effects across subjects and sample covariance estimation across multiple measurements. Inferences were performed at the level of individual clusters (groups of contiguous voxels). Cluster‐level inferences were based on parametric statistics from Gaussian random field theory (Nieto‐Castanon 2020; Worsley et al. 1996). Results were thresholded using a cluster‐forming p < 0.001 voxel‐level threshold and then a familywise‐corrected p‐FDR < 0.05 cluster‐size threshold (Chumbley et al. 2010).\nGroup‐level independent component analyses (group‐ICA) (Calhoun et al. 2001) were performed to estimate 20 temporally coherent networks from the fMRI data combined across all subjects. For first‐level analysis, the BOLD signal from every timepoint and voxel in the brain was concatenated across subjects and resting‐state runs along the temporal dimension. A singular value decomposition of the z‐score normalised BOLD signal (subject‐level SVD) with 64 components separately for each subject was used as a subject‐specific dimensionality reduction step. The dimensionality of the concatenated data was further reduced using a singular value decomposition with 20 components and a fast‐ICA fixed‐point algorithm (Hyvarinen 1999) with hyperbolic tangent (G1) contrast function to identify spatially independent group‐level networks from the resulting components. Finally, GICA3 back‐projection (Erhardt et al. 2011) was used to compute ICA maps associated with these same networks separately for each individual subject.\nWithin‐network connectivity differences between groups were investigated by creating and exporting an ICA parcellation ROI file for each component that best represented the networks of interest (pre‐registered): limbic, executive control, anterior salience and somatomotor (primary and supplementary), as well as remaining primary resting‐state networks: default mode, dorsal attention and visual networks (not pre‐registered). Components were spatially matched according to the Yeo 7 Networks and Yeo 17 Networks (Thomas Yeo et al. 2011), and exported from CONN. Each component file was then split into separate files of clusters over 10 voxels that constitute different regions of the network based on the Schaefer parcellation (7‐network 100 parcels) (Schaefer et al. 2018). Files of the different regions of each network were imported back into CONN as separate ROIs; connectivity matrices were then estimated to investigate within‐network connectivity using each possible node‐to‐node connection within a given network, and differences were investigated between groups. In addition, group differences for component networks to whole brain were investigated. Group‐level analyses were once again performed using a GLM (Nieto‐Castanon 2020), with the same approach as described for seed‐based connectivity analysis.\n\n\n### Seed‐Based Connectivity Analysis\nFor first‐level analysis, seed‐based connectivity maps and ROI‐to‐ROI connectivity matrices were estimated, characterising the patterns of functional connectivity with five ROIs: the hypothalamus (taken from the atlas by Neudorfer et al. 2020), left and right nucleus accumbens (taken from the Harvard–Oxford subcortical structural atlas\n2\n) and left and right anterior insula (taken from the atlas by Faillenot et al. 2017). All ROI masks were first binarised, and then the masks for the hypothalamus and anterior insula were transformed into 2 mm space using advanced normalisation tools (ANTs) (Tustison et al. 2021). Functional connectivity strength was represented by Fisher‐transformed bivariate correlation coefficients from a weighted‐GLM (Nieto‐Castanon 2020), defined separately for each possible pair of the three ROIs, modelling the association between their BOLD signal time series. To compensate for possible transient magnetisation effects at the beginning of each run, individual scans were weighted by a step function convolved with an SPM canonical haemodynamic response function and rectified.\nGroup‐level analyses were performed using a GLM (Nieto‐Castanon 2020). For each individual voxel, a separate GLM was estimated, with first‐level connectivity measures at this voxel as dependent variables (one independent sample per subject) and the caffeine groups as independent variables. Voxel‐level hypotheses were evaluated using multivariate parametric statistics with random effects across subjects and sample covariance estimation across multiple measurements. Inferences were performed at the level of individual clusters (groups of contiguous voxels). Cluster‐level inferences were based on parametric statistics from Gaussian random field theory (Nieto‐Castanon 2020; Worsley et al. 1996). Results were thresholded using a cluster‐forming p < 0.001 voxel‐level threshold and then a familywise‐corrected p‐FDR < 0.05 cluster‐size threshold (Chumbley et al. 2010).\n\n\n### Independent Component Analysis\nGroup‐level independent component analyses (group‐ICA) (Calhoun et al. 2001) were performed to estimate 20 temporally coherent networks from the fMRI data combined across all subjects. For first‐level analysis, the BOLD signal from every timepoint and voxel in the brain was concatenated across subjects and resting‐state runs along the temporal dimension. A singular value decomposition of the z‐score normalised BOLD signal (subject‐level SVD) with 64 components separately for each subject was used as a subject‐specific dimensionality reduction step. The dimensionality of the concatenated data was further reduced using a singular value decomposition with 20 components and a fast‐ICA fixed‐point algorithm (Hyvarinen 1999) with hyperbolic tangent (G1) contrast function to identify spatially independent group‐level networks from the resulting components. Finally, GICA3 back‐projection (Erhardt et al. 2011) was used to compute ICA maps associated with these same networks separately for each individual subject.\nWithin‐network connectivity differences between groups were investigated by creating and exporting an ICA parcellation ROI file for each component that best represented the networks of interest (pre‐registered): limbic, executive control, anterior salience and somatomotor (primary and supplementary), as well as remaining primary resting‐state networks: default mode, dorsal attention and visual networks (not pre‐registered). Components were spatially matched according to the Yeo 7 Networks and Yeo 17 Networks (Thomas Yeo et al. 2011), and exported from CONN. Each component file was then split into separate files of clusters over 10 voxels that constitute different regions of the network based on the Schaefer parcellation (7‐network 100 parcels) (Schaefer et al. 2018). Files of the different regions of each network were imported back into CONN as separate ROIs; connectivity matrices were then estimated to investigate within‐network connectivity using each possible node‐to‐node connection within a given network, and differences were investigated between groups. In addition, group differences for component networks to whole brain were investigated. Group‐level analyses were once again performed using a GLM (Nieto‐Castanon 2020), with the same approach as described for seed‐based connectivity analysis.\n\n\n### Exploratory Analysis\nAdditional exploratory analysis (not pre‐registered) also investigated group differences for other key variables measured within this study. Specifically, the amount of milk and sugar added to the hot drink provided to participants was assessed between caffeine consumer groups (CW and CNW) as some research suggests that there may be synergistic effects of sugar with coffee. Additionally, we assessed differences between caffeine consumer groups regarding whether they believed that the drink they consumed contained caffeine. This was to assess whether there were any group differences in caffeine associated expectation effects. Lastly, for the ICA, we also assessed within‐network and network to whole‐brain connectivity for the remaining main resting state networks: visual network, dorsal attention network (DAN) and the DMN.\n\n\n### Results\nParticipant characteristics are summarised in Table 1. All three groups did not differ significantly in terms of age (F\n2,57 = 2.376, p = 0.102) and caffeine consumption (mg/day) did not differ significantly between CNW and CW (F\n1,36 = 1.584, p = 0.216). As expected, habitual caffeine consumption did differ significantly between caffeine consumers (CNW and CW) and the NC group (F\n1,58 = 340.9, p < 0.001). Sex distribution was not significantly different between groups (X2 = 1.08, p = 0.583).\nParticipant characteristics.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, NC = no caffeine.\nNo significant differences between caffeine consumers (CW and CNW groups combined) and non‐consumers (NC) were observed for baseline performance for any measure (Table 2). In addition, there were no significant differences for the main effect of group on any of the mood and cognitive measures post‐breakfast whilst controlling for baseline scores. However, post hoc tests contrasting the CNW and NC groups revealed a significant difference in mean reaction time (T(50) = 2.273 [−68.533, −4.230], p = 0.027) (Figure S1) and approached significance when contrasting the CW and CNW groups (T(50) = 1.970 [−0.639, 66.535], p = 0.054). Notably, the number of incorrect responses at baseline (F\n2,551 = 0.384, p = 0.683) and post‐breakfast (F\n2,50 = 1.545, p = 0.223) did not differ significantly between groups. There were five participants who were considered outliers based on the number of false hits and mean reaction time scores and were therefore not included in the RVIP analysis. Considering none of the mood and cognitive measures showed significant differences for the main effect of group, we did not include these measures as covariates in the subsequent resting‐state fMRI analyses.\nBaseline scores for all mood and cognitive measures between caffeine consumers and non‐consumers.\nFor seed‐voxel analysis (Table 3), an overall significant difference was found between groups for left hemisphere nucleus accumbens connectivity with the right occipital pole (F\n2,57 = 14.53, p < 0.001) and left lingual and occipital fusiform gyrus (F\n2,57 = 12.27, p = 0.019). Specifically, the CW group had lower connectivity between the left nucleus accumbens and the right occipital pole compared to the NC group (T(57) = 5.07, p < 0.001) and NC and CNW groups combined (T(57) = 5.19, p < 0.001) and higher connectivity with the left lingual gyrus and occipital fusiform gyrus compared to the NC group (T(57) = 5.10, p < 0.001) and NC and CNW groups combined (T(57) = 5.18, p < 0.001) (Figure 1a). In addition, the CNW group had significantly higher connectivity between the left anterior insula and the precuneus cortex compared to the NC group (T(57) = 5.28, p = 0.001), as well as the NC and CW groups combined (T(57) = 4.96, p = 0.011) (Figure 1b), although the group‐level F‐test was not significant. There were no significant group differences in seed‐voxel hypothalamus connectivity. Additionally, there were no significant group differences from the ROI‐to‐ROI analysis (hypothalamus, nucleus accumbens and anterior insula).\nSignificant group differences for seed‐voxel connectivity analysis.\nLeft lingual gyrus (75%), left occipital fusiform gyrus (19%),\nleft cerebellum 6 (2%), not labelled (4%)\nNote: Each cluster is made up of a percentage of different regions within that cluster as reflected by the percentage values included.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, LH = left hemisphere, NC = no caffeine.\nSeed‐voxel analysis indicating significant group differences for (a) LH nucleus accumbens with reduced connectivity between the right occipital pole and increased connectivity between the left lingual and occipital fusiform gyrus contrasting the CW group with both NC and CNW groups and (b) LH anterior insula with increased connectivity between the precuneus cortex contrasting the CNW group with both CW and NC groups. CNW = caffeine not withdrawn, CW = caffeine withdrawn, LH = left hemisphere, NC = no caffeine.\nFor the independent component analysis (ICA), five components most representative of the networks of interest were identified: limbic, executive control, anterior salience and somatomotor (primary and supplementary). We investigated group differences for both within‐network connectivity and network to whole‐brain connectivity.\nWithin‐network connectivity analysis revealed group differences for the ICA component that best represented the limbic network only (Figure 2). Specifically, the CNW group had one significant cluster comprising of three node‐to‐node connections with lower within‐network connectivity compared to the NC group (F\n2,56 = 6.33, p = 0.049). The CW group also had two significant clusters of node‐to‐node connections with higher within‐network connectivity compared to the CNW group (F\n2,56 = 6.31, p = 0.045; F\n2,56 = 5.60, p = 0.045). Additionally, the CNW group had four significant clusters of node‐to‐node connections with lower within‐network connectivity than both the CW and NC groups combined (F\n2,56 = 8.41, p = 0.009; F\n2,56, p = 0.013; F\n2,56 = 5.61, p = 0.029; F\n2,56 = 4.77, p = 0.046) (Table 4). No significant within‐network group differences were found for any of the other networks of interest.\nThe ICA component that best represented the limbic network that differed significantly when contrasting CNW vs CW and NC displayed as (a) a connectome ring and (b) nodes of the network on a MNI template brain presented from the superior view. DorsAttn = dorsal attention, LH = left hemisphere, Post = posterior, RH = right hemisphere, Temp = temporal, TempPole = temporal pole, Vis = visual.\nSignificant within‐network group differences for the ICA component best representative of the limbic network showing clusters of node‐to‐node connections for each significant group contrast.\nRH_Vis_1–LH_Vis_1\nRH_Vis_1–LH_Default_Temp_1\nLH_DorsAttn_Post_2–LH_Vis_1\nRH_Vis_1–LH_Vis_1\nLH_DorsAttn_Post_2–LH_Default_Temp_1\nRH_Vis_3–LH_Limbic_TempPole_1\nRH_Vis_2–LH_Limbic_TempPole_1\nRH_Vis_2–RH_Limbic_TempPole_1\nRH_Vis_3–RH_Limbic_TempPole_1\nRH_Vis_1–LH_Vis_1\nLH_DorsAttn_Post_2–LH_Vis_1\nRH_Vis_1–LH_Default_Temp_1\nRH_Vis_3–LH_Limbic_TempPole_1\nRH_Vis_2–LH_Limbic_TempPole_1\nRH_Vis_2–RH_Limbic_TempPole_1\nRH_Vis_3–RH_Limbic_TempPole_1\nRH_Vis_3–LH_Default_Temp_1\nRH_Vis_2–LH_Limbic_TempPole_2\nRH_Vis_2–LH_Vis_1\nRH_Vis_3–RH_Default_Temp_1\nRH_Vis_3–LH_Vis_1\nLH_Limbic_TempPole_1–LH_Vis_1\nRH_Limbic_TempPole_1–LH_Vis_1\nNote: Clusters of node‐to‐node connections depict the number of connections between different regions of the ICA component that best represents the limbic network that differs significantly between groups. Centroid coordinates of regions included in this table are available at https://github.com/ThomasYeoLab/CBIG/blob/master/stable_projects/brain_parcellation/Schaefer2018_LocalGlobal/Parcellations/MNI/Centroid_coordinates/Schaefer2018_100Parcels_7Networks_order_FSLMNI152_2mm.Centroid_RAS.csv.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, DorsAttn = dorsal attention, LH = left hemisphere, NC = no caffeine, Post = posterior, RH = right hemisphere, Temp = temporal, TempPole = temporal pole, Vis = visual.\nIn addition, when investigating component networks of interest to whole‐brain connectivity (Figure 3 and Table 5), connectivity between the anterior salience network and the left putamen and pallidum (F\n2,57 = 20.98, p < 0.001), right putamen (F\n2,57 = 15.34, p < 0.001) and left thalamus (F\n2,57 = 25.56, p = 0.04) differed overall between groups. Specifically, the CNW group had higher connectivity between the anterior salience network and the left putamen and pallidum compared to the NC group (T(57) = 6.20, p < 0.001), the CW group (T(57) = 5.08, p = 0.004) and both NC and CW groups combined (T(57) = 6.00, p < 0.001). Higher connectivity between the anterior salience network and the right putamen was also shown for the CNW group compared to the NC group (T(57) = 5.38, p < 0.001) and both NC and CW groups combined (T(57) = 5.43, p < 0.001). Additionally, connectivity between the anterior salience network and the left thalamus was higher for the CNW group compared to the NC group (T(57) = 7.07, p < 0.001). Lastly, both CW and CNW groups had significantly higher connectivity between the anterior salience network and the left putamen and pallidum (T(57) = 7.00, p = 0.004) and left thalamus (T(57) = 5.23, p = 0.037) compared to the NC group.\nConnectivity between the limbic network and the right occipital fusiform gyrus differed overall between groups (F\n2,57 = 13.66, p = 0.037). The CW group had higher connectivity between the limbic network and the right occipital fusiform gyrus compared to the CNW group (T(57) = 5.19, p = 0.003). Additionally, both the CW and NC groups combined had higher connectivity between the limbic network and right occipital fusiform gyrus compared to the CNW group (T(57) = 5.00, p = 0.001).\nLastly, significant group differences were found for the supplementary somatomotor network; lower connectivity with the right middle temporal gyrus was found for the CW group compared to the NC group (T(57) = 5.39, p = 0.014) and NC and CNW groups combined (T(57) = 5.77, p = 0.008). Additionally, higher connectivity with the left putamen was shown for the CNW group compared to the NC group (T(57) = 5.10, p = 0.003), and higher connectivity with the left (T(57) = 4.84, p = 0.019) and right putamen (T(57) = 5.16, p = 0.019) was shown for both CW and NCW groups compared to the NC group.\nNo significant differences were found between groups for the executive control and primary somatomotor networks and the rest of the brain.\nSignificant clusters depicted in yellow associated with ICA components that best represent the networks of interest showing differences between groups contrasting (a) all groups (F‐test) for the anterior salience network, (b) all groups (F‐test) for the limbic network, (c) CW < CNW and NC for the supplementary somatomotor network and (d) CW and CNW > NC for the supplementary somatomotor network. CNW = caffeine not withdrawn, CW = caffeine withdrawn, NC = no caffeine.\nSignificant between group connectivity differences for ICA components that best represent the networks of interest to whole brain.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, NC = no caffeine.\nExploratory analysis investigating other key study variables found no significant differences between caffeine consumer groups CNW and CW for milk (F\n1,38 = 0.007, p = 0.932) or sugar added (F\n1,38 = 0.185, p = 0.669). Furthermore, no differences between caffeine consumer groups were observed regarding whether they believed the drink they consumed contained caffeine (X2 < 0.001, p = 1).\nIn addition, exploratory analysis investigated the remaining main resting‐state networks: visual network, DAN and the DMN (Figure 4 and Table 6). No within‐network group differences were observed for these networks. However, when investigating network to whole‐brain connectivity, the CNW group had significantly higher connectivity between the DMN and the right cerebellum compared to the NC group (T(57) = 5.56, p = 0.035). In addition, for the DAN, the CW group had significantly higher connectivity with the bilateral frontal pole compared to the NC group (T(57) = 4.64, p = 0.015), and both CW and CNW groups had significantly higher connectivity with the bilateral frontal pole and left paracingulate gyrus compared to the NC group (T(57) = 4.81, p = 0.006). Lastly, the CW group had significantly higher connectivity than the NC group between the primary visual network and the right middle frontal gyrus (T(57) = 4.92, p = 0.037).\nSignificant clusters associated with ICA components that best represent remaining resting‐state networks showing differences between groups contrasting (a) CNW > NC for the default mode network (DMN), (b) CW and CNW > NC for the dorsal attention network (DAN) and (c) CW > NC for the visual network. CNW = caffeine not withdrawn, CW = caffeine withdrawn, DAN = dorsal attention network, DMN = default mode network, NC = no caffeine.\nExploratory ICA investigating significant between group connectivity differences from components that best represent the remaining resting‐state networks to whole brain.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, DAN = dorsal attention network, DMN = default mode network, NC = no caffeine.\n\n\n### Participant Summary\nParticipant characteristics are summarised in Table 1. All three groups did not differ significantly in terms of age (F\n2,57 = 2.376, p = 0.102) and caffeine consumption (mg/day) did not differ significantly between CNW and CW (F\n1,36 = 1.584, p = 0.216). As expected, habitual caffeine consumption did differ significantly between caffeine consumers (CNW and CW) and the NC group (F\n1,58 = 340.9, p < 0.001). Sex distribution was not significantly different between groups (X2 = 1.08, p = 0.583).\nParticipant characteristics.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, NC = no caffeine.\n\n\n### Mood and Cognition\nNo significant differences between caffeine consumers (CW and CNW groups combined) and non‐consumers (NC) were observed for baseline performance for any measure (Table 2). In addition, there were no significant differences for the main effect of group on any of the mood and cognitive measures post‐breakfast whilst controlling for baseline scores. However, post hoc tests contrasting the CNW and NC groups revealed a significant difference in mean reaction time (T(50) = 2.273 [−68.533, −4.230], p = 0.027) (Figure S1) and approached significance when contrasting the CW and CNW groups (T(50) = 1.970 [−0.639, 66.535], p = 0.054). Notably, the number of incorrect responses at baseline (F\n2,551 = 0.384, p = 0.683) and post‐breakfast (F\n2,50 = 1.545, p = 0.223) did not differ significantly between groups. There were five participants who were considered outliers based on the number of false hits and mean reaction time scores and were therefore not included in the RVIP analysis. Considering none of the mood and cognitive measures showed significant differences for the main effect of group, we did not include these measures as covariates in the subsequent resting‐state fMRI analyses.\nBaseline scores for all mood and cognitive measures between caffeine consumers and non‐consumers.\n\n\n### Resting‐State fMRI Seed‐Based Analysis\nFor seed‐voxel analysis (Table 3), an overall significant difference was found between groups for left hemisphere nucleus accumbens connectivity with the right occipital pole (F\n2,57 = 14.53, p < 0.001) and left lingual and occipital fusiform gyrus (F\n2,57 = 12.27, p = 0.019). Specifically, the CW group had lower connectivity between the left nucleus accumbens and the right occipital pole compared to the NC group (T(57) = 5.07, p < 0.001) and NC and CNW groups combined (T(57) = 5.19, p < 0.001) and higher connectivity with the left lingual gyrus and occipital fusiform gyrus compared to the NC group (T(57) = 5.10, p < 0.001) and NC and CNW groups combined (T(57) = 5.18, p < 0.001) (Figure 1a). In addition, the CNW group had significantly higher connectivity between the left anterior insula and the precuneus cortex compared to the NC group (T(57) = 5.28, p = 0.001), as well as the NC and CW groups combined (T(57) = 4.96, p = 0.011) (Figure 1b), although the group‐level F‐test was not significant. There were no significant group differences in seed‐voxel hypothalamus connectivity. Additionally, there were no significant group differences from the ROI‐to‐ROI analysis (hypothalamus, nucleus accumbens and anterior insula).\nSignificant group differences for seed‐voxel connectivity analysis.\nLeft lingual gyrus (75%), left occipital fusiform gyrus (19%),\nleft cerebellum 6 (2%), not labelled (4%)\nNote: Each cluster is made up of a percentage of different regions within that cluster as reflected by the percentage values included.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, LH = left hemisphere, NC = no caffeine.\nSeed‐voxel analysis indicating significant group differences for (a) LH nucleus accumbens with reduced connectivity between the right occipital pole and increased connectivity between the left lingual and occipital fusiform gyrus contrasting the CW group with both NC and CNW groups and (b) LH anterior insula with increased connectivity between the precuneus cortex contrasting the CNW group with both CW and NC groups. CNW = caffeine not withdrawn, CW = caffeine withdrawn, LH = left hemisphere, NC = no caffeine.\n\n\n### Independent Component Analysis\nFor the independent component analysis (ICA), five components most representative of the networks of interest were identified: limbic, executive control, anterior salience and somatomotor (primary and supplementary). We investigated group differences for both within‐network connectivity and network to whole‐brain connectivity.\nWithin‐network connectivity analysis revealed group differences for the ICA component that best represented the limbic network only (Figure 2). Specifically, the CNW group had one significant cluster comprising of three node‐to‐node connections with lower within‐network connectivity compared to the NC group (F\n2,56 = 6.33, p = 0.049). The CW group also had two significant clusters of node‐to‐node connections with higher within‐network connectivity compared to the CNW group (F\n2,56 = 6.31, p = 0.045; F\n2,56 = 5.60, p = 0.045). Additionally, the CNW group had four significant clusters of node‐to‐node connections with lower within‐network connectivity than both the CW and NC groups combined (F\n2,56 = 8.41, p = 0.009; F\n2,56, p = 0.013; F\n2,56 = 5.61, p = 0.029; F\n2,56 = 4.77, p = 0.046) (Table 4). No significant within‐network group differences were found for any of the other networks of interest.\nThe ICA component that best represented the limbic network that differed significantly when contrasting CNW vs CW and NC displayed as (a) a connectome ring and (b) nodes of the network on a MNI template brain presented from the superior view. DorsAttn = dorsal attention, LH = left hemisphere, Post = posterior, RH = right hemisphere, Temp = temporal, TempPole = temporal pole, Vis = visual.\nSignificant within‐network group differences for the ICA component best representative of the limbic network showing clusters of node‐to‐node connections for each significant group contrast.\nRH_Vis_1–LH_Vis_1\nRH_Vis_1–LH_Default_Temp_1\nLH_DorsAttn_Post_2–LH_Vis_1\nRH_Vis_1–LH_Vis_1\nLH_DorsAttn_Post_2–LH_Default_Temp_1\nRH_Vis_3–LH_Limbic_TempPole_1\nRH_Vis_2–LH_Limbic_TempPole_1\nRH_Vis_2–RH_Limbic_TempPole_1\nRH_Vis_3–RH_Limbic_TempPole_1\nRH_Vis_1–LH_Vis_1\nLH_DorsAttn_Post_2–LH_Vis_1\nRH_Vis_1–LH_Default_Temp_1\nRH_Vis_3–LH_Limbic_TempPole_1\nRH_Vis_2–LH_Limbic_TempPole_1\nRH_Vis_2–RH_Limbic_TempPole_1\nRH_Vis_3–RH_Limbic_TempPole_1\nRH_Vis_3–LH_Default_Temp_1\nRH_Vis_2–LH_Limbic_TempPole_2\nRH_Vis_2–LH_Vis_1\nRH_Vis_3–RH_Default_Temp_1\nRH_Vis_3–LH_Vis_1\nLH_Limbic_TempPole_1–LH_Vis_1\nRH_Limbic_TempPole_1–LH_Vis_1\nNote: Clusters of node‐to‐node connections depict the number of connections between different regions of the ICA component that best represents the limbic network that differs significantly between groups. Centroid coordinates of regions included in this table are available at https://github.com/ThomasYeoLab/CBIG/blob/master/stable_projects/brain_parcellation/Schaefer2018_LocalGlobal/Parcellations/MNI/Centroid_coordinates/Schaefer2018_100Parcels_7Networks_order_FSLMNI152_2mm.Centroid_RAS.csv.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, DorsAttn = dorsal attention, LH = left hemisphere, NC = no caffeine, Post = posterior, RH = right hemisphere, Temp = temporal, TempPole = temporal pole, Vis = visual.\nIn addition, when investigating component networks of interest to whole‐brain connectivity (Figure 3 and Table 5), connectivity between the anterior salience network and the left putamen and pallidum (F\n2,57 = 20.98, p < 0.001), right putamen (F\n2,57 = 15.34, p < 0.001) and left thalamus (F\n2,57 = 25.56, p = 0.04) differed overall between groups. Specifically, the CNW group had higher connectivity between the anterior salience network and the left putamen and pallidum compared to the NC group (T(57) = 6.20, p < 0.001), the CW group (T(57) = 5.08, p = 0.004) and both NC and CW groups combined (T(57) = 6.00, p < 0.001). Higher connectivity between the anterior salience network and the right putamen was also shown for the CNW group compared to the NC group (T(57) = 5.38, p < 0.001) and both NC and CW groups combined (T(57) = 5.43, p < 0.001). Additionally, connectivity between the anterior salience network and the left thalamus was higher for the CNW group compared to the NC group (T(57) = 7.07, p < 0.001). Lastly, both CW and CNW groups had significantly higher connectivity between the anterior salience network and the left putamen and pallidum (T(57) = 7.00, p = 0.004) and left thalamus (T(57) = 5.23, p = 0.037) compared to the NC group.\nConnectivity between the limbic network and the right occipital fusiform gyrus differed overall between groups (F\n2,57 = 13.66, p = 0.037). The CW group had higher connectivity between the limbic network and the right occipital fusiform gyrus compared to the CNW group (T(57) = 5.19, p = 0.003). Additionally, both the CW and NC groups combined had higher connectivity between the limbic network and right occipital fusiform gyrus compared to the CNW group (T(57) = 5.00, p = 0.001).\nLastly, significant group differences were found for the supplementary somatomotor network; lower connectivity with the right middle temporal gyrus was found for the CW group compared to the NC group (T(57) = 5.39, p = 0.014) and NC and CNW groups combined (T(57) = 5.77, p = 0.008). Additionally, higher connectivity with the left putamen was shown for the CNW group compared to the NC group (T(57) = 5.10, p = 0.003), and higher connectivity with the left (T(57) = 4.84, p = 0.019) and right putamen (T(57) = 5.16, p = 0.019) was shown for both CW and NCW groups compared to the NC group.\nNo significant differences were found between groups for the executive control and primary somatomotor networks and the rest of the brain.\nSignificant clusters depicted in yellow associated with ICA components that best represent the networks of interest showing differences between groups contrasting (a) all groups (F‐test) for the anterior salience network, (b) all groups (F‐test) for the limbic network, (c) CW < CNW and NC for the supplementary somatomotor network and (d) CW and CNW > NC for the supplementary somatomotor network. CNW = caffeine not withdrawn, CW = caffeine withdrawn, NC = no caffeine.\nSignificant between group connectivity differences for ICA components that best represent the networks of interest to whole brain.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, NC = no caffeine.\n\n\n### Exploratory Analysis\nExploratory analysis investigating other key study variables found no significant differences between caffeine consumer groups CNW and CW for milk (F\n1,38 = 0.007, p = 0.932) or sugar added (F\n1,38 = 0.185, p = 0.669). Furthermore, no differences between caffeine consumer groups were observed regarding whether they believed the drink they consumed contained caffeine (X2 < 0.001, p = 1).\nIn addition, exploratory analysis investigated the remaining main resting‐state networks: visual network, DAN and the DMN (Figure 4 and Table 6). No within‐network group differences were observed for these networks. However, when investigating network to whole‐brain connectivity, the CNW group had significantly higher connectivity between the DMN and the right cerebellum compared to the NC group (T(57) = 5.56, p = 0.035). In addition, for the DAN, the CW group had significantly higher connectivity with the bilateral frontal pole compared to the NC group (T(57) = 4.64, p = 0.015), and both CW and CNW groups had significantly higher connectivity with the bilateral frontal pole and left paracingulate gyrus compared to the NC group (T(57) = 4.81, p = 0.006). Lastly, the CW group had significantly higher connectivity than the NC group between the primary visual network and the right middle frontal gyrus (T(57) = 4.92, p = 0.037).\nSignificant clusters associated with ICA components that best represent remaining resting‐state networks showing differences between groups contrasting (a) CNW > NC for the default mode network (DMN), (b) CW and CNW > NC for the dorsal attention network (DAN) and (c) CW > NC for the visual network. CNW = caffeine not withdrawn, CW = caffeine withdrawn, DAN = dorsal attention network, DMN = default mode network, NC = no caffeine.\nExploratory ICA investigating significant between group connectivity differences from components that best represent the remaining resting‐state networks to whole brain.\nAbbreviations: CNW = caffeine not withdrawn, CW = caffeine withdrawn, DAN = dorsal attention network, DMN = default mode network, NC = no caffeine.\n\n\n### Discussion\nCaffeine has consistently been shown to impact mood and cognitive performance, with more recent evidence describing the effects of caffeine on brain connectivity (Magalhães et al. 2021; Picó‐Pérez et al. 2023; Rack‐Gomer and Liu 2012; Wong et al. 2012; Wu et al. 2014). Findings in this study build upon these previous studies by demonstrating for the first time robust characterisation of resting‐state functional connectivity alterations associated with acute caffeine withdrawal. We identified distinct connectivity patterns amongst habitual caffeine consumers, both acutely withdrawn and not withdrawn, as well as non‐consumers of caffeine.\nOur seed‐based analysis revealed that caffeine consumers during acute withdrawal (CW) displayed altered connectivity from the nucleus accumbens to the primary visual cortex relative to both non‐consumers of caffeine (NC) and habitual caffeine consumers not withdrawn (CNW), demonstrating a neural mechanism unique to withdrawal. Prior research has implicated a similar network including the striatal nodes and thalamus, which notably have a very high density of A2A and A1 adenosine receptors, respectively, along with cerebellar and motor regions following caffeine administration (Magalhães et al. 2021; Svenningsson et al. 1999). Our finding suggests that during caffeine withdrawal, habitual consumers exhibit a shift in how the reward system interacts with the visual system. The reduced connectivity to higher‐order visual regions (left lingual and fusiform gyrus) in withdrawn caffeine consumers may reflect a blunted motivational influence of visual information, whereas increased connectivity to early visual cortex regions (right occipital pole) may indicate compensatory sensory responsiveness. This pattern of brain connectivity may correspond to withdrawal symptoms including reduced pleasure in engaging stimuli, modulated by a reduction in dopamine transmission, as well as heightened sensory sensitivity or distractibility, which is more commonly seen in caffeine withdrawal (Juliano and Griffiths 2004). Studies investigating caffeine's effects on the visual system have reported both enhanced activity in response to a visual stimulus in caffeine consumers given caffeine or placebo (Laurienti et al. 2002) and decreased connectivity in visual cortices in non‐habitual consumers given caffeine withdrawn (Wu et al. 2014). In contrast to our study, these findings demonstrate a long‐term and an acute effect of caffeine on the visual system, respectively. Our findings add to this existing literature demonstrating a nuanced effect in how caffeine withdrawal adapts visual processing.\nIn addition, we observed increased connectivity from the anterior insula to the precuneus cortex, a central hub of the DMN (Utevsky et al. 2014), in the CNW group compared to both the CW and NC groups. Considering the role of the anterior insula in interoception, salience detection and switching between the DMN and executive control network (Menon and Uddin 2010; Molnar‐Szakacs and Uddin 2022), this finding may support the hypothesis that caffeine plays a role in modulating DMN‐related activity, shifting the brain towards an externally focused or task‐related state (Childs and de Wit 2006; Picó‐Pérez et al. 2023). Notably, cognitive functions commonly altered with caffeine intake including episodic memory and visuospatial processing have been reported to involve the precuneus (Cavanna and Trimble 2006). Given that this difference does not occur in the CW group, the increased coupling of these two regions is likely due to caffeine's acute effects rather than long‐term chronic changes as a result of habitual consumption. This aligns with prior research reporting greater activation in the precuneus in non‐consumers given caffeine in comparison to habitual consumers given caffeine (Gramling et al. 2018). However, this pattern of connectivity is inconsistent with much of the literature reporting a reduction in insula, DMN and precuneus activity following acute caffeine consumption (Haller et al. 2013, 2014; Kahathuduwa et al. 2018; Picó‐Pérez et al. 2023; Wu et al. 2014), as well as caffeine enhancing anti‐correlations between the DMN and the task positive network during eyes closed (Wong et al. 2012).\nConsidering the role of the hypothalamus in homeostasis, endocrine and autonomic nervous system regulation (Lechan and Toni 2000), we hypothesised to see group differences in this region. However, no significant group differences were found. This might simply be due to the very small size of the hypothalamus, and even though we combined both hemispheres into one seed region for this analysis, the voxel size and sequence parameters used in this study may not have been sensitive enough to pick up signal in this region. Notably, one study has shown activation in the bilateral hypothalamus in high daily coffee consumers (Nehlig et al. 2010). Additionally, there were no significant group differences for the ROI‐to‐ROI analysis. Although we hypothesised that there would likely be connectivity differences for these regions, we refrained from providing specific predictions given the variability in the literature as to how these regions might connect with each other in addition to the rest of the brain. Nevertheless, this finding suggests that instead of a combined mechanism integrating these three regions, parallel changes in connectivity between these regions and the rest of the brain better explain differences seen between groups. However, it may be possible that the relationship between these regions was not strong enough to be observed given our sample size.\nICA identified further connectivity alterations in networks previously implicated in habitual caffeine use. When investigating between‐group connectivity differences for (pre‐registered) networks of interest to whole brain, we found connectivity differences between the anterior salience network and regions associated with motor or reward relay systems, primarily the putamen and thalamus (Haber 2016; Marcuse et al. 2025). Greater connectivity was found for the CNW group compared to both CW and NC groups, consistent with previous research in turn supporting caffeine's role in enhancing alertness and reorienting attention towards novel stimuli, particularly motor and cognitive information (Park et al. 2014). However, some studies have reported decreased thalamic activation following caffeine administration, interpreted as increased arousal requiring less input from the thalamus (Klaassen et al. 2013; Portas et al. 1998). Notably, the elevated connectivity in the CW group relative to the NC group may reflect a residual upregulation of salience‐motor circuits that has not yet returned to baseline after acute withdrawal. Even the expectation of caffeine has been shown to induce dopaminergic responses in the thalamus measured using positron emission tomography (PET) (Kaasinen et al. 2004), supporting the observed increase in activity in these regions for those withdrawn compared to non‐consumers. However, no significant group differences were observed for anterior salience within‐network connectivity.\nWe also identified increased connectivity between the supplementary somatomotor network and the bilateral putamen for both CW and CNW groups, but with a greater extent for the CNW group. In addition to once again supporting caffeine's acute role in priming the motor system and increasing reward sensitivity (Ferré 2008), this finding also reflects long‐term changes due to chronic caffeine consumption. Conversely, the CW group showed decreased connectivity between the supplementary somatomotor network and the middle temporal gyrus, an area associated with integrating sensory input with stored knowledge and perception of motion (Xu et al. 2015). A disruption in this connectivity may explain withdrawal symptoms like difficulty concentrating or processing information as well as altered sensory perception (Juliano and Griffiths 2004). Although most prior studies report reduced motor and somatosensory connectivity following caffeine administration (Magalhães et al. 2021; Picó‐Pérez et al. 2023; Rack‐Gomer et al. 2009; Wu et al. 2014), these did not account for acute withdrawal, implying that effects are likely representative of chronic adaptation. For example, decreased somatomotor–prefrontal cortex connectivity reported after caffeine administration (Picó‐Pérez et al. 2023) may instead represent long‐term changes. A decrease in connectivity in the somatosensory network following caffeine consumption has been suggested to represent a more efficient pattern of connection with respect to motor control and alertness (Magalhães et al. 2021). However, in contrast to our findings, Wu et al. (2014) reported decreased motor cortex connectivity in caffeine consumers given caffeine compared to those withdrawn. Notably, we did not find significant group differences for the primary somatomotor network to whole brain. Additionally, we did not find significant within‐network connectivity group differences for either the primary or supplementary somatomotor networks.\nAs found by Magalhães et al. (2021), a reduction in limbic network connectivity was observed in the CNW group. Specifically, a decrease in connectivity to the right occipital fusiform gyrus was most evident between CNW and CW groups. This finding may imply that during withdrawal, systems involved in determining emotional responses re‐engage with visual sensory processing, potentially to process stimuli relevant to internal states like craving, as has been demonstrated with other addictive substances (Artiges et al. 2009; Sinha and Li 2007). In addition, a significant reduction in within‐network connectivity was also found for the CNW group, once again highlighting caffeine's acute impact on the limbic system. Notably, significant clusters within this network also included regions mostly within the visual network, reflecting the results from network to whole‐brain connectivity differences, but also regions in the DAN, DMN, and control networks. Given that the networks used were derived from sample‐specific ICA, it follows that they do not entirely align with respective networks as defined in other pre‐existing parcellations, although the analysis benefits from ensuring the network regions investigated derive most clearly from the participants' own regional fMRI signal.\nContrary to our hypothesis, no significant within‐network or network to whole‐brain group differences were found for the executive control network. Although there is limited evidence investigating caffeine's effect on the executive control network at rest, a study by Picó‐Pérez et al. (2023) found increased connectivity of the right dorsolateral prefrontal cortex within the right executive control network following coffee consumption. Additionally, studies have found increased activation of the frontoparietal network during working memory tasks (Haller et al. 2013; Koppelstaetter et al. 2008). Notably, a study investigating the effects of methylphenidate, modafinil and caffeine on resting‐state fMRI did, however, find that connectivity between the frontoparietal network and the DMN was modulated by the stimulant condition compared to placebo (Becker et al. 2022).\nExploratory ICA of other key resting‐state networks revealed additional group differences. Increased connectivity was found between the DMN and cerebellar regions in the CNW group compared to the NC group, a pattern inconsistent with previous findings of reduced DMN connectivity following caffeine administration (Picó‐Pérez et al. 2023; Wong et al. 2012; Wu et al. 2014). Additionally, increased connectivity between the DAN and the bilateral frontal pole regions in both the CW and CNW groups was observed compared to the NC group, which may be indicative of impaired executive control of attention in habitual caffeine consumers; however, further investigation is needed to validate this. Additionally, the NC group showed decreased connectivity between the primary visual network and the right middle frontal gyrus compared to the CW group but not compared to the CNW group. This aligns with our findings of increased connectivity between the nucleus accumbens and early visual cortex regions for the CW group described previously. No significant group differences were observed for within‐network connectivity for any of these networks.\nNo significant differences were observed between groups for any of the mood and cognitive measures in this study. Contrary to our hypotheses, we did not see any effect of caffeine withdrawal, which has been shown previously to impair attention (Lin et al. 2023; Yeomans, Ripley, et al. 2002). However, the CNW group had significantly faster reaction times in the RVIP task compared to the NC group, and the differences in scores approached significance when comparing the CNW to the CW group. This aligns with previous research indicating caffeine's acute effect in improving sustained attention and reaction time both in studies using the RVIP task (Haskell et al. 2005; Smit and Rogers 2000; Warburton 1995) as well as studies using other reaction time tasks (Lieberman et al. 1987; Smith et al. 1994, 1999). However, some studies have reported no effect of caffeine on reaction time (Loke et al. 1985), and even an impaired effect (Childs 1978). Contrary to our findings, most studies report altered mood, particularly alertness, following caffeine consumption in both a deprived and not deprived state (Stafford et al. 2006). However, research investigating the effect of caffeine on mood is complex, with several factors accounting for its effect (Hachenberger et al. 2025). Notably, unlike previous studies conducted in our lab, the RVIP task was programmed using Inquisit software, and reaction times were noticeably slower across all participants in this study compared to previous studies (Yeomans, Ripley, et al. 2002); therefore, the presentation of the task may have influenced the performance of the participants. In addition, it may not have been possible to detect caffeine effects for mood and cognitive outcomes considering that the sample size used in this study is small in comparison to other studies detecting effects for these measures. It is also important to note that any potential expectation effects as a result of receiving decaffeinated coffee may have further contributed towards no differences being observed between the CNW and CW groups.\nAlthough an important strength of this study is the inclusion of both caffeine consumers withdrawn and not withdrawn compared to non‐consumers, several limitations should be noted. First, due to ethical implications, we could not include a group of non‐consumers who were administered caffeine, a manipulation that would have allowed us to isolate the effect of acute consumption in the absence of chronic consumption. Second, caffeine is known to reduce cerebral blood flow (CBF) and increase baseline cerebral metabolic rate of oxygen consumption (Griffeth and Buxton 2011), causing neurovascular uncoupling (Chen and Parrish 2009a; Perthen et al. 2008). However, neurovascular uncoupling effecting the BOLD response is not likely to occur with only 100 mg of caffeine (the amount provided in this study), as these effects are seen more robustly with higher doses of caffeine (Chen and Parrish 2009a, 2009b; Shepley et al. 2025). Furthermore, it is particularly unlikely to see such effects in moderate habitual caffeine consumers who have likely developed a physical tolerance to these effects (Kennedy and Haskell 2011). Nevertheless, future research would benefit from the simultaneous acquisition of CBF and BOLD signal. Third, by using coffee as a means to control for acute caffeine intake and withdrawal, we are unable to account for possible effects of other active coffee constituents as well as the placebo effect of expecting to receive caffeinated coffee (Flaten et al. 2003). Fourth, although we did obtain verbal confirmation from all participants that they had not eaten or drank anything other than water from 22:00 pm the night before the testing session to assess compliance with abstinence, the funding for this study did not afford the collection of biological samples to confirm caffeine exposure. Furthermore, to fully assess withdrawal symptoms, additional questions regarding other common withdrawal symptoms such as headache would have been beneficial to include within the Bond–Lader mood assessment. Fifth, interindividual differences in caffeine metabolism and absorption regarding known genetic variances in adenosine receptors may have impacted behavioural and neural responses (Nehlig 2018) and therefore should be taken into consideration for future research. Notably, the sample included in this study is a narrow young cohort, and therefore, caution should be taken when generalising to other age groups. Lastly, although the interpretations of these results have been carefully considered in the context of the literature, we acknowledge that such inferences may not be deductively valid, and future research should consider Bayesian analysis to validate these findings (Poldrack 2006).\nThe present findings demonstrate that both acute and chronic caffeine consumption and acute withdrawal impact resting‐state brain connectivity. Future research would benefit from a more comprehensive look at the effects of caffeine following extended withdrawal periods, thereby clarifying long‐term adaptations associated with habitual consumption and withdrawal. Additionally, future research using task‐based fMRI would be beneficial to fully understand any associations between behavioural responses and brain connectivity. Lastly, to further understand the nature of reward and withdrawal in habitual caffeine consumers, future work should investigate brain connectivity in response to caffeine‐related cues.\n\n\n### Conclusion\nIn conclusion, the data presented in this study has highlighted caffeine's multifaceted impact across various neural systems. Acute withdrawal was uniquely associated with altered reward to visual connectivity. Additionally, distinct patterns of connectivity were observed for acute caffeine consumption versus long‐term changes in regions primarily involved with interoception, emotion regulation and motor function. Importantly, the current findings provide additional evidence for alternative theories regarding the motivation to consume caffeine. One theory has emphasised withdrawal reversal as a form of negative reinforcement, proposing that caffeine consumption is primarily driven by alleviating withdrawal symptoms (James and Rogers 2005). In contrast, positive reinforcement models propose that caffeine produces a net beneficial effect and is consumed independent of withdrawal reversal (Addicott and Laurienti 2009). Considering that we have demonstrated a distinct pattern of connectivity for withdrawal as well as acute and long‐term caffeine consumption, it is likely that instead of a dichotomy of two opposing theories, the motivation to consume caffeine may involve neural mechanisms reflecting both negative and positive reinforcement. In summary, by controlling for acute caffeine withdrawal, we were able to draw stronger conclusions about not only the mechanisms underlying habitual and acute caffeine consumption but also the differences between the caffeinated brain and the caffeine withdrawal state.\n\n\n### Author Contributions\nTatum Sevenoaks: conceptualization, project administration, methodology, data curation, formal analysis, writing – original draft, writing – review and editing. Fiona Lancelotte: data curation, writing – review and editing. Nicholas Souter: methodology, writing – review and editing. Lorenzo Stafford: writing – review and editing. Charlotte Rae: methodology, writing – review and editing. Martin Yeomans: conceptualization, supervision, writing – review and editing.\n\n\n### Funding\nThis work was supported by the Biotechnology and Biological Sciences Research Council (BB/T008768/1).\n\n\n### Ethics Statement\nThis study was conducted according to the guidelines of the Declaration of Helsinki, approved by the Brighton and Sussex Medical School research and ethics committee (ER/MARTIN/22) and conformed to the British Psychological Society guidelines for ethical human research. Informed consent was provided by all participants.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nFigure S1: The CNW group showed significantly faster mean reaction time at post breakfast compared to groups NC and CW.\nTable S1: Caffeine consumption questionnaire.", "domain": "affective_neuroscience"}
{"source": "PMC13093268", "title": "Engaging Gut‐to‐Brain Signalling to Treat Alcohol Use Disorder", "text": "# Engaging Gut‐to‐Brain Signalling to Treat Alcohol Use Disorder\n\n## Abstract\nAccording to the 2023 National Survey on Drug Use and Health (NSDUH), 28.9 million people ages 12 and older in the United States had alcohol use disorder (AUD) in the past year. Although chronic alcohol use contributes to numerous health disorders as well as being an economic burden, there are few medications approved for treatment of AUD, and these medications are not uniformly effective and are not widely used. We now describe studies of a small molecule, novel chemical entity called Nezavist, which shows promise as a medication to treat AUD and possibly other addictive disorders. Nezavist acts as a positive allosteric modulator at a novel site on the GABAA receptor, but pharmacokinetic analysis demonstrates that Nezavist does not enter the CNS. However, Nezavist effectively reduces relapse to chronic alcohol consumption in alcohol‐dependent animals in two widely used models. An important goal of the current studies is to provide evidence for the hypothesis that Nezavist acts in the intestine to stimulate vagus nerve afferents that project to the brainstem (nucleus tractus solitarius), leading to reduced inflammation in the brain that may alleviate alcohol ‘craving’ during abstinence from alcohol. It is hoped that the presentation of the current results will stimulate interest in further confirmation of the mechanism of action of Nezavist, with the intent of developing a new and effective medication for treatment for AUD.\n\n## Full Text\n\n\n### Introduction\nWe have previously reported on the synthesis [1] and molecular pharmacology of a new chemical entity (2‐ethylcarboxylate‐5,7‐dichloro‐4‐([{diphenylamino}carbonyl]amino)quinoline) which we refer to as Nezavist (acronym = DCUK‐OEt). Nezavist was found to have selective actions as a positive allosteric modulator (PAM) at the GABAA receptor [2]. The actions of Nezavist were traced to a site on the receptor involving the interface of the α and β subunits, which was differentiated from the benzodiazepine binding site [2]. Nezavist selectively potentiated effects of GABA on GABAA receptors containing particular subunit combinations and functioned in the presence of either γ or δ subunits [2]. This profile of Nezavist's in vitro actions generated a hypothesis that Nezavist may be efficacious in treating certain sequelae of alcohol use disorder (AUD). Benzodiazepines are routinely used to treat the hyperexcitability and anxiety associated with the alcohol withdrawal syndrome [3, 4, 5] and our early studies with alcohol‐dependent mice showed that a Nezavist analogue, at high dose levels, was also efficacious in allaying withdrawal hyperexcitability [1].\nRecent work has posited that the negative affective state of alcohol withdrawal, also termed hyperkatifeia [6] can drive alcohol relapse/escalation of alcohol consumption by humans and other animals [7]. We now report on the effect of Nezavist in two well‐established models of abstinence‐induced escalation of alcohol intake by alcohol‐dependent rats. We also performed a series of additional behavioural assessments of Nezavist in mice and rats, as well as studies on Nezavist pharmacokinetics, metabolism and tissue distribution. The latter work provided a surprising result, i.e., that Nezavist and its major metabolite are excluded from brain and, in fact, little Nezavist is found in the circulation of animals treated with Nezavist by the oral or intraperitoneal routes at doses producing behavioural effects. We therefore considered systems functioning outside the CNS that can affect an animal's behaviour.\nThere has been a plethora of research regarding communication between gut and brain which can impact alcohol consumption [8, 9, 10]. Communication pathways have been ascribed to mediators of inflammation and neuroimmune signalling [11, 12], hormones that influence appetite (e.g., CCK [13, 14], GLP‐1 [15, 16, 17, 18, 19], ghrelin [18, 20, 21], leptin [22, 23]) and afferent vagal communication between gut and brain [24, 25]. Our attention became focused on the vagal link between gut and brain since GABAA receptors are part of the enteric nervous system that controls gut motility, sensation and secretion, as well as the microbiota–gut–brain axis [26, 27], and the enteric nervous system acts in concert with vagal sensory and motor function to link the brain and the gut [27, 28]. In addition, GABAA receptors control hormone (CCK) release from enteroendocrine cells [29] that then activates sensory neurons of the enteric nervous system and vagal afferents [30]. Finally, there is some evidence that vagal afferent neurons transcribe GABAA receptor subunit RNA and may themselves express GABAA receptors [31]. In the present work, we present data on gut motility, electrophysiological responses of certain vagal afferent fibres to Nezavist, brainstem c‐Fos responses to Nezavist in anatomical areas receiving afferent vagal input and responses to Nezavist by the CNS and peripheral immune systems, to draw attention to a possible peripheral mechanism of hyperkatifeia in driving relapse to alcohol drinking and high levels of alcohol consumption.\n\n\n### Materials and Methods\nSynthesis of Nezavist is described in US Patent # 6962930.\nMethods for the measurement of the alcohol (ethanol) deprivation effect are described in detail in Holter et al. [32] and Spanagel and Holter [33]. In brief, 2‐month‐old male Wistar rats (from the breeding colony at the Central Institute of Mental Health, Mannheim, Germany) were used for the ADE experiments. All animals were housed individually in standard rat cages (Ehret, Emmendingen, Germany) under a 12‐h artificial light–dark cycle (lights on at 7:00 AM). Room temperature was kept constant (temperature: 22°C ± 1°C, humidity: 55% ± 5%). Standard laboratory rat food and water were provided ad libitum throughout the experimental period. Body weights were measured weekly. All experimental procedures were approved by the Committee on Animal Care and Use and carried out in accordance with the local Animal Welfare Act and the European Communities Council Directive of 24 November 1986 (86/609/EEC).\nAlcohol drinking solutions were prepared from 96% ethanol (Merck, Darmstadt, Germany) and then diluted with tap water. Nezavist was suspended by sonicating in vehicle solution of 0.5% methylcellulose/5% Tween‐80 in 0.9% sterile sodium chloride and then diluted with 0.9% sterile sodium chloride to produce the injection volume of 3 mL/kg. The solution was administered intraperitoneally (ip). Control animals received administration of the vehicle solution.\nAfter 2 weeks of habituation to the animal room, rats were given ad libitum access to water and to 5%, 10% and 20% alcohol (ethanol) solutions (v/v). Spillage and evaporation were minimized by the use of special bottle caps (TSE, Bad Homburg, Germany). With this procedure, the alcohol concentration remains constant for at least 1 week [32]. The positions of bottles were changed weekly to avoid location preferences.\nThe first 2‐week deprivation period was introduced after 8 weeks of continuous alcohol availability. After the deprivation period, rats were given free access to water and to alcohol solutions for 5 weeks. Then a second 2‐week deprivation period was introduced. This 5‐week alcohol drinking and 2‐week deprivation cycle was performed repeatedly. The long‐term voluntary alcohol drinking procedure including all deprivation phases lasted in total 41 weeks. Prior data [3, 31] demonstrated that this procedure generated animals showing signs of physical dependence upon the initial stages of each deprivation period.\nThe pharmacological studies were introduced at the end of the fifth or sixth alcohol deprivation period. In order to study the effects of Nezavist, in the first study (20‐mg/kg Nezavist), a group of 14 rats was treated with vehicle, and a group of 12 rats was treated with Nezavist. The mean baseline total alcohol intake, measured over the last 3 days of the free‐choice alcohol consumption period, was approximately the same in both groups (i.e., ~2.5 g/kg/day). In the second study (75‐mg/kg Nezavist), rats were divided into two groups of eight animals each, with mean baseline total alcohol intake of ~2.8 g/kg. After the last day of baseline measurement, the alcohol bottles were removed from the cages leaving the animals with free access to food and water for 20 days in the first experiment and for 14 days in the second experiment. Thereafter, each animal was subjected to a total of 5 intraperitoneal (ip) injections (starting at 7 PM with 12 h intervals) of either vehicle or Nezavist (20 or 75 mg/kg). The alcohol bottles were reintroduced after the second injection (at ~9 AM on the 21st [first experiment] or 15th [second experiment] day of alcohol deprivation) and the occurrence of an ADE was determined. Total alcohol intake (g/kg of body weight/day) and water intake (mL/kg of body weight/day) were measured daily at ~9 AM for three or seven subsequent days for the first and second experiment, respectively. Each rat's body weight was recorded 24 h before the first injection and 12 h after the last injection.\nA comparator experiment was performed in which rats were treated with Acamprosate. Rats were divided into two groups of nine animals each, such that the mean baseline alcohol intake was similar for both groups (i.e.,~2.3 g/kg/day). After the last day of baseline measurement, the alcohol bottles were removed from the cages, leaving the animals with free access to food and water for 14 days. Thereafter, each animal received a total of 5 ip injections of Acamprosate (200 mg/kg) or vehicle as described above and in Meinhardt and Sommer [34]. The alcohol bottles were reintroduced after the second injection (at ~9 AM on the first day of re‐exposure). The injections were administered at 12‐h intervals. Alcohol intake (g/kg of body weight/day) and water intake (ml/kg of body weight/day) were measured daily at ~9 AM for a subsequent week.\nThe effect of treatments on locomotor activity was monitored in vehicle‐ and Nezavist‐treated groups. Locomotor activity was monitored from 7 PM to 7 AM starting 3 days before drug treatment, during treatment and for several days posttreatment. Home cage locomotor activity was monitored using an infrared sensor connected to a recording and data storing system (Mouse‐E‐Motion instrument from Infra‐e‐motion, Henstedt‐Ulzburg, Germany). A Mouse‐E‐Motion device was placed above each cage (30 cm from the bottom) so that the rat could be detected at any position inside the cage. The device sampled every second whether the rat was moving or not. The sensor could detect body movement of the rat of at least 1.5 cm from one sample point to the successive one. The data measured by each Mouse‐E‐Motion device were downloaded into a personal computer and processed with Microsoft Excel.\nTwo‐way ANOVA was performed to assess the effect of treatment on total alcohol intake, water intake and alcohol preference between groups and the effect of day within each group, with post hoc pairwise t‐tests. Type III testing was performed to account for unbalanced groups with a Mauchly's sphericity correction. All statistical analyses were performed in R (version 4.4.1) using the ‘rstatix’ package. Significance level was set at p < 0.05.\nTo further analyse the ADE results, the amount of each concentration of alcohol (5%, 10% or 20%) consumed by the animals treated with vehicle or 20‐mg/kg (×5) or 75‐mg/kg (×5) Nezavist or Acamprosate was compared. Individual alcohol consumption values that were more than 2 standard deviations from the mean of that treatment group/day/alcohol concentration combination were treated as missing data. A linear mixed model was used to initially examine the three‐way ANOVA (treatment group, day and alcohol concentration) for alcohol consumption when including baseline consumption (mean of last three measures prior to deprivation), Days 1–3 (20‐mg/kg Nezavist) or Days 1–7 (75‐mg/kg Nezavist or Acamprosate) of the alcohol deprivation period. Based on the statistical significance of the three‐ and/or two‐way interactions in this model, the data were stratified by day, and a linear mixed model was used at each day to examine the effects of treatment group, alcohol concentration and their interaction. Means and standard errors for each treatment group/day/alcohol concentration combination were estimated as marginal means from the stratified mixed linear models and post hoc pairwise comparisons between treatment groups at each alcohol concentration were executed. The R package lme4 (version 1.1‐35.5) [35] was used for the linear mixed models, and the R package emmeans (version 1.10.5) [36] was used for estimating marginal means and post hoc comparisons (R version 4.4.3).\nMethods for operant alcohol (ethanol) self‐administration and alcohol vapour exposure have been described in detail [37, 38, 39]. Adult male Wistar rats (Charles River, Raleigh, NC), weighing 225–275 g at the beginning of the experiments, were housed in groups of 2–3 per cage in a temperature‐controlled (22°C) vivarium on a 12‐h/12‐h light/dark cycle (lights on at 8:00 PM) with ad libitum access to food and water. All behavioural tests were conducted during the dark phase of the light/dark cycle. All procedures adhered to the National Institutes of Health Guide for the Care and Use of Laboratory Animals and were approved by the Institutional Animal Care and Use Committee of The Scripps Research Institute.\nAlcohol drinking solution 10% (w/v) was prepared by dilution of ethanol 95% (w/v) in water.\nNezavist was dissolved in a vehicle composed of 5% DMSO, 5% Emulphor (Solvay Novecare) and 90% distilled water and injected intraperitoneally (ip) at the doses of 0, 20, 35 and 50 mg/kg/4 mL 30 min before each test session. For oral treatment, Nezavist was dissolved in a vehicle composed of 10% DMSO, 10% Emulphor and 80% distilled water and administered by oral gavage 1 h before the test session, or at longer intervals prior to the test session in order to assess the duration of action of Nezavist.\nSelf‐administration sessions were conducted in standard operant conditioning chambers (Med Associates, St. Albans, VT). Animals were first trained to self‐administer 10% (w/v) alcohol and water solutions until a stable response was maintained. The rats were subjected to an overnight session in the operant chambers with access to one lever (right lever) that delivered water (FR1). Food was available ad libitum during this training. After 1 day off, the rats were subjected to a 2‐h session (FR1) for 1 day and a 1‐h session (FR1) the next day, with one lever delivering alcohol (right lever). All of the subsequent sessions lasted 30 min, and two levers were available (left lever: water; right lever: alcohol) until stable levels of intake were reached. Upon completion of this procedure, the animals were allowed to self‐administer a 10% (w/v) alcohol solution and water on an FR1 schedule of reinforcement (i.e., each operant response was reinforced with 0.1 mL of the solution).\nOnce a stable baseline of alcohol self‐administration was reached, the rats were made dependent by chronic, intermittent exposure to alcohol vapour for 3 weeks. They underwent cycles of 14 h on (blood alcohol levels during vapour exposure ranged between 150 and 250 mg%) and 10 h off, during which time behavioural testing for acute withdrawal occurred (i.e., 6–8 h after vapour was turned off when brain and blood alcohol levels are negligible). In this model, rats exhibit somatic withdrawal signs and negative emotional symptoms reflected by anxiety‐like responses and elevated brain reward thresholds.\nBehavioural testing occurred three times per week during the 3‐week alcohol vapour exposure period. The rats were tested for alcohol (and water) self‐administration on an FR1 schedule of reinforcement for 30‐min sessions during acute withdrawal (i.e., 6–8 h after termination of vapour exposure). Once escalation of responding for alcohol occurred, animals were treated with drug or vehicle, and alcohol and water self‐administration were measured. Results are reported as number of responses on either the alcohol or water‐associated lever during this session and the responding during the stable baseline prior to alcohol vapour administration. Another group of animals (controls) was treated similarly but was exposed to normal room air containing no alcohol during the 3‐week period in the inhalation chamber. Operant testing was performed with these animals on the same schedule as the alcohol‐treated rats. Operant self‐administration on an FR1 schedule requires minimal effort by the animal to obtain the reinforcement and was considered a measure of voluntary intake.\nData were analysed with one‐ or two‐way ANOVA or t‐test. ANOVAs were followed by the Neuman–Keuls test when appropriate. Statistical significance was set at p < 0.05.\nAll animal work was conducted in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and was approved by the Institutional Animal Care and Use Committee of The Scripps Research Institute (TSRI) or the University of Colorado. In all studies, mice were housed 4/cage and rats were housed 2/cage with ad libitum access to standard laboratory chow and water.\nForty male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this test (10 mice per dose group). The light cycle was 8:00 AM off, 8:00 PM on, with testing done during the dark cycle.\nMice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline) or with 50‐, 200‐ or 500‐mg/kg Nezavist. One hour later, locomotor activity was measured for 30 min. Locomotor activity was measured in polycarbonate cages (42 × 22 × 20 cm) placed into frames (25.5 × 47 cm) mounted with two levels of photocell beams at 2 and 7 cm above the bottom of the cage (San Diego Instruments, San Diego, CA). These two sets of beams allowed for the recording of both horizontal (locomotion) and vertical (rearing) behaviour. A thin layer of bedding material was applied to the bottom of the cage. Data were collected in 1‐min intervals.\nSixty male C57BL/6 J mice (Jackson Labs, ME), 12 weeks old on arrival, were used in this experiment. The mice were housed under reverse light conditions (off 8:00 AM, on 8:00 PM). All testing occurred between 9:00 AM and 1:00 PM.\nMice were randomly assigned to receive vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐ or 150‐mg/kg Nezavist ip 30 min prior to the initiation of testing in two different elevated plus mazes such that there were 10 mice per group (i.e.,10 mice per dose per maze). Both plus‐maze apparatuses have four arms (5 × 30 cm) at right angles to each other, elevated 30 cm from the floor. In both mazes, two opposite arms have no walls (i.e., they are open). The other two arms are either clear (Clear Enclosed Sides) or are opaque black (Dark Enclosed Arms). Controls tested in the Clear Enclosed Sides apparatus spend 35%–40% of their time on the open arms, allowing changes to be detected bidirectionally, whereas mice tested in the original style plus‐maze (Dark Enclosed Arms) typically spend 10%–15% of their time on the open arms, the small percentages making it difficult to detect anxiogenic‐like effects. Both mazes were used in this experiment to optimize the ability to detect both anxiolytic as well as anxiogenic compound effects. Mice were placed on the center of the maze, and behaviour was videorecorded for 5 min. Decreases in % open arm time, calculated as: 100*open arm time/(open arm time + closed arm time), indicate increased anxiety‐like behaviour, while increases indicate anxiolytic‐like behaviour [40]. Total arm entries are a measure of locomotor activity effects [40].\nThis study used 40 male C57BL/6 mice (Jackson Labs), 10 weeks old at arrival, with 10 mice per Nezavist dose group. The study was performed during the dark cycle (8:00 AM to 8:00 PM). Rotarod balancing requires a variety of proprioceptive, vestibular and fine‐tuned motor abilities as well as motor learning capabilities [41]. A Roto‐rod Series 8 apparatus (IITC Life Sciences, Woodland Hills, CA) was used. For training and testing, an accelerating test strategy was used whereby the rod started at 0 rpm and then accelerated by 10 rpm for each additional minute. When an animal dropped onto the individual sensing platforms below the rotating rod, the time from placement on the rotarod (‘latency to fall’) was used to calculate the speed (rpm) at which the mouse could no longer stay on the rotarod. The mice were trained 6 times per day in two sets of three trials, with 1 min between each trial within a set and approximately an hour between each set. For testing, mice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐, 200‐ or 500‐mg/kg Nezavist. The speed at which the animals fell was recorded at 0 min (baseline, predose), 30 min after injection and 120 min after injection (three sessions at each time point).\nSixteen (eight male and eight female) adult Sprague–Dawley rats were used for these experiments. The characteristic behaviour of the test, termed immobility, develops when a rodent is placed in a tank of water for a period of time in which it cannot escape, stops attempting to escape and begins to make only the movements required to balance the body and float with its head above the water [42].\nThe development of immobility is facilitated by a 15‐min pretest administered 24 h before the 5‐min actual test. The latency to become immobile and the duration of immobility decrease when antidepressants are administered between the pretest and the test. Nezavist (50 mg/kg) or vehicle (5% DMSO, 5% Cremophor and 90% physiological saline) was administered by ip injection 90 min prior to the 5‐min test.\nForced swim sessions were conducted by placing the animal individually in a large plastic cylindrical chamber (45 × 20 cm) containing 23°C–25°C water that is approximately 30 cm deep. The water is at a height such that the animal cannot escape or touch the bottom of the chamber. On Day 1, the animal is placed in the cylinder for 15 min. On Day 2, ~24 h later, a 5‐min test is administered. The latency to start floating and the amount of time spent trying to escape are measured. The 5‐min test on Day 2 is video recorded and scored using Noldus Ethovision and/or by an observer that is blind to the animal group or treatment. At the end of the swim session, the animals are towel dried and placed in a clean cage warmed with either a heat lamp or heating pad. The water in the test arena is changed between each subject.\nEighteen male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this study, with six mice in each Nezavist dose group. The light cycle was 8:00 AM on, 8:00 PM off, with testing during the dark cycle. Mice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐ or 200‐mg/kg Nezavist. Thirty minutes later, mice were injected ip with 3.5 g/kg 95% ethanol (20% v/v). At 1 min after ethanol treatment, and every 3 min until recovery, mice were assessed for the righting reflex: the mouse was turned on its back in a v‐shaped apparatus and watched for turning over. If this occurred within 5 s and also occurred in a second immediate test, the mouse was determined to have regained its righting reflex. At this point, retro‐orbital blood sampling took place for determination of blood alcohol level.\nEighteen male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this study, with six mice in each Nezavist dose group. The light cycle was 8:00 AM off, 8:00 PM on, with testing taking place during the dark cycle. For these studies, an accelerating Rotarod test strategy was used, starting at 0 rpm and then accelerating by 10 rpm each minute. The mice were trained six times per day in two sets of three sessions, with 1 min between each trial within a set and 1 h between each set. All mice were capable of staying on the Rotarod for 30 s at 7 rpm, which was chosen for the test. On the test day, mice were tested to confirm that they could remain on the Rotarod for 30 s at 7 rpm and were then injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), or 50‐ or 200‐mg/kg Nezavist. Twenty minutes after Nezavist treatment, mice were tested on the rotarod to confirm that they could stay on the Rotarod for 30 s at 7 rpm. Ten minutes later, mice were injected ip with 1.5 g/kg of 95% ethanol (20% v/v) and were tested again after 1 min and every 3 min until they could again maintain balance for 30 s at 7 rpm. At this point, retro‐orbital blood was obtained for blood alcohol level determination.\nBlood (retro‐orbital) was collected in capillary tubes and emptied into Eppendorf tubes containing evaporated heparin and kept on ice. Samples were centrifuged, and plasma decanted into fresh Eppendorf tubes. The plasma was then injected into an oxygen‐rate alcohol analyser (Analox Instruments, Lunenburg, MA) for blood alcohol determination. Five pairs of ethanol standards (50–300 mg%) were run before the samples.\nForty male C75BL/6 J mice (Jackson Labs; ~10 weeks old at arrival) were used in the (Experiment 1) study of Nezavist and 30 CF‐1 mice were used in the (Experiment 2) study of the Nezavist metabolite, DCUKA, in comparison to morphine (positive control). Animals were housed with a light cycle of 8:00 AM off and 8:00 PM on, and testing occurred during the dark cycle.\nThe place conditioning apparatuses consisted of two connected compartments of equal size (dimensions of entire apparatuses: 44 × 22 × 22 cm) separated by doorways (4 × 4 cm) or closed off from each other completely. Two floor textures that have been generally shown to be equally preferred by C57BL/6 J mice were used such that each chamber had one compartment with each floor type. For the 30‐min baseline pretest (Day 1), mice were allowed to explore both compartments freely. For place conditioning (Days 2–7), mice showing no bias for one compartment in the pretest received drug or vehicle and immediately were confined to one randomly determined chamber for 30 min. On alternate days the treatment was reversed, as was the compartment in which the mouse was placed. This 2‐day sequence was repeated three times for a total of 6 days of injections, three each of drug and saline. Treatment order and the compartment used for drug pairing were counterbalanced. For the test, mice were again allowed to explore both compartments freely with no injections given. The time spent in each compartment (all four paws in) was determined on Days 1 and 8. These tests were videotaped and scored by a technician blinded to treatment conditions.\nIn Experiment 1, at 0 min on each of these days, animals were injected (ip) with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐, 100‐ or 200‐mg/kg Nezavist (n = 10 animals/group). In Experiment 2, at 0 min on each of these days, animals were injected (ip) with morphine (10 mg/kg) or DCUKA (50 or 150 mg/kg). Fifteen minutes after dosing, animals were placed in the appropriate side of the place conditioning box for 30 min. On Day 8, animals underwent 30‐min place conditioning testing with no injection.\nData were analysed by ANOVA and Fishers PLSD post hoc tests.\nAll studies were performed in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and were approved by the Institutional Animal Care and Use Committee of Preclinical Research Services. Several experiments were performed to evaluate concentrations of Nezavist in the blood and brain. In the first experiment, adult male Sprague–Dawley rats (six per group) were injected ip with Nezavist in a vehicle of 5% DMSO, 5% Kolliphor EL and 90% physiological saline. One group received a single dose of 50 mg/kg of Nezavist; a second group received three doses of 50 mg/kg at 2‐h intervals; a third group received a single dose of 400 mg/kg of Nezavist. Blood samples were obtained predose and at 15, 30, 60, 90, 120, 150, 180, 210, 240 and 300 min after dosing (after the last dose when multiple doses were given). Animals were euthanized and brains were collected at the last time point for blood collection as described below. In a second experiment, groups of male Sprague–Dawley rats (nine per group) were treated with a 50‐mg/kg single dose of Nezavist or 3 × 50 mg/kg dose of Nezavist ip as above. Brains were collected as described below (three animals per group per time point) at 1, 2 or 3 h after dosing. Blood and brains were collected 1, 2.5 and 5 h (four animals per time point) after Nezavist administration, as described below. In all experiments, whole blood was collected from animals via the jugular vein and stored in microtainer blood collection tubes containing lithium heparin as the anticoagulant at −70°C. For brain collection, animals were euthanized by CO2 inhalation and whole brains were removed, snap frozen and stored at −70°C. Prior to quantification, brain samples were homogenized with water to achieve a final protein concentration of 100 mg/mL.\nNezavist and DCUKA (the initial and primary metabolite of Nezavist) concentrations in whole blood and brain were quantified by liquid chromatography‐tandem mass spectrometry (LC–MS/MS) using DCUK‐OMe as internal standard. For whole blood samples, the lower limit of quantitation was 1 ng/mL for Nezavist and 5 ng/mL for DCUKA. For rat brain, the lower limit of quantitation was 5 and 10 ng/g for Nezavist and DCUKA, respectively.\nAll studies were performed in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and were approved by the CRL Institutional Animal Care and Use Committee. Male Cesarian Derived (Sprague–Dawley) rats fitted with indwelling jugular vein catheters (JVC), 226–250 g upon arrival were orally administered 50‐ or 150‐mg/kg Nezavist prepared in a vehicle of 5% DMSO, 5% Emulphor and 90% sterile water.\nFollowing Nezavist administration, whole blood was collected at 30‐, 60‐, 90‐ and 120‐min postdose and stored in NaF (anticoagulant) collection tubes. After whole blood collection, animals were humanely euthanized and liver, and brain tissues were collected at 30, 60 and 120‐min (n = 3 animals per time point), mixed with NaF and homogenized. Nezavist and DCUKA concentrations in whole blood and tissue (liver and brain) were quantified by LC–MS/MS using deuterated internal standard. The lower limit of quantitation (LLOQ) for Nezavist in whole blood, liver and brain was 1.00 ng/mL, 3.00 ng/g and 7.50 ng/g, respectively. DCUKA concentrations were determined through back calculation against the Nezavist curve.\nStatistical analyses including regression analysis and descriptive statistics including arithmetic means and standard deviations, accuracy and precision were performed using Analyst v1.6.2 from MDS Sciex and Microsoft Excel.\nAnimal usage was reviewed and approved by the PCRS Institutional Animal Care and Use Committee for compliance with regulations prior to study start. Animal welfare for this study was in compliance with The USDA Animal Welfare Act and The Guide for the Care and Use of Laboratory Animals and the American Veterinary Medical Association (AVMA) Guidelines for Euthanasia. Male Wistar rats, age‐matched with a body weight of 268.23–305.85 g at the time of dosing, were used for this study. Rats were orally administered 250 mg/kg of Nezavist in a 20% loading Nezavist: HPMCAS‐MG spray‐dried dispersion in HPMC suspension.\nPK blood samples were collected t predose and at 0.25‐, 0.5‐,1‐, 1.5‐, 2‐, 4‐, 8‐ and 12‐h postdose. Blood (200 μL) was collected into NaF lined microtubes (RAM Scientific, 200‐μL Sodium Fluoride Capillary Collection Tubes, Item 07 7340) via the capillary tube attached to the cap. The filled microtubes were inverted several times to allow the mixing of the NaF with the whole blood. The blood samples were centrifuged at 2°C–8°C for 10 min at approximately 3000 rpm. Plasma was then harvested and stored in labelled cryovials. The samples were stored at −70°C until shipment to Sekisui XenoTech LLC, where Nezavist and DCUKA concentrations in plasma were quantified by LC–MS/MS using deuterated internal standard.\nAll animal procedures were approved by the Animal Welfare and Ethics Board of the University of Portsmouth and were performed in accordance with the Animal (Scientific Procedures) Act,1966 (UK).\nNezavist was dissolved in dimethyl sulfoxide (DMSO). The final concentration of DMSO in the bath had no effect on the amplitude or frequency of spontaneous muscle contraction. Concentrations of Nezavist ranged from 300 nM to 100 μM.\nThe effect of Nezavist on the mouse ileum and colon was examined by previously described methods [43, 44]. Male C57BL/6 mice were obtained from the University of Portsmouth Bioresource Center and had ad libitum access to standard chow and water. Mice were euthanized by cervical dislocation and segments of the intestine (ileum and distal colon) were collected from mice, placed in physiological solution containing (in mM) NaCl 140, NaHCO3 11.9, D + glucose 5.6, KCl 2.7, MgCl2.6H2O 1.05, NaH2PO4.2H2O 0.5, CaCl2 1.8 and warmed to 32°C. Intraluminal contents were removed by gentle flushing with physiological solution. Approximately 2‐cm‐long segments were mounted in a Harvard organ bath (10‐mL chamber) filled with the physiological solution bubbled with 95% O2/5% CO2 gas. Contractile activity for each intestinal tissue strip was recorded using an isometric force transducer. The tissue was placed under 1 g of resting tension and allowed to equilibrate for 30 min. Baseline measurements were used to quantify the force of basal tone. After a stable baseline was established, Nezavist was added to the bath, and the tissue was allowed to reach maximum response. Ten‐minute epochs before and after the drug additions were used for quantification of the drug‐induced changes in the force and frequency of spontaneous contractions. One piece of tissue was used per animal (n = 5 animals/condition). The frequency and amplitude (force) of individual spontaneous contractions were determined before and after the drug exposure.\nData were analysed by ANOVA and Tukey post hoc testing.\nThe experiments on the effects of Nezavist on vagal nerve activity were performed using methods described in detail in West et al. [45]. All experiments were carried out in accordance with the guidelines of the Canadian Council on Animal Care and ARRIVE Guidelines and were approved by the McMaster University Animal Research Ethics Board.\nNezavist was dissolved in DMSO to make a stock solution. The stock solution was diluted in Krebs buffer (118‐mM NaCl, 4.8‐mM KCl, 25‐mM NaHCO3, 1.0 NaH2PO4, 1.2‐mM MgSO4, 11.1‐mM glucose and 2.5‐mM CaCl2 bubbled with 95% O2–5% CO2 (‘carbogen’)) to concentrations of either 10‐ or 100‐μM Nezavist. The final concentration of DMSO was ≤ 1%, which had no effect on vagal nerve firing.\nAdult male C57BL/6 mice were obtained from Charles River (Montreal) and had ad libitum access to standard chow and water. Mice were euthanized by cervical dislocation. Segments of the jejunum were collected with an attached mesenteric arcade containing a neuromuscular bundle and placed in Krebs buffer. An ex vivo mouse intestinal segment perfusion preparation was used to record afferent single unit vagal activity [46, 47, 48] (Figure 10A) before and after exposure of the gut lumen to Nezavist or Krebs buffer. The gut segment was placed onto the stage of an inverted microscope and the lumen gravity perfused at 1 mL/min with room temperature (22°C) carbogenated Krebs or Krebs plus one of the luminal additives using several Mariotte bottles. The serosal compartment was separately perfused at 5 mL/min with Krebs solution to which 3‐μM nicardipine had been added to isolate vagal chemosensory responses by preventing active muscle contractions but not vagal responses to gut distension.\nTo record afferent vagal nerve activity, the cleaned nerve from the tissue segment was sucked into a glass recording pipette that was attached to a patch‐clamp electrode holder and extracellular nerve recordings were made by running pClamp software using a Multi‐Clamp 700B amplifier and Digidata 1440A signal converter (Molecular Devices, LLC. 3860 N First Street San Jose, CA 95134). Baseline recordings in the gut lumen were performed for 15 min with Krebs buffer. Following this, the luminal perfusate was switched for 40 min to one containing Krebs buffer with Nezavist added (either 1, 10 or 100 μM). The effects of GABAA receptor antagonists (50‐μM picrotoxin or bicuculline) or the nicotinic cholinergic antagonist, mecamylamine (50 μM) on the response to 100‐μM Nezavist were also determined. Then the perfusate was again switched to Krebs buffer and recording continued for 30 min. Single units (belonging to an individual vagal fibre) were discriminated by their action potential shape, amplitude and width in response to cholecystokinin, using a dedicated programme for extracellular single unit action potential analysis (Dataview written by Dr. W. J. Heitler, School of Psychology and Neuroscience, University of St Andrews Scotland, UK). Single unit events were subdivided into vehicle (Krebs) and treatment periods, and for each event, mean interspike intervals (MII) were recorded. In some experiments, comparing the effects of diazepam, cholecystokinin (CCK) or ethanol to Nezavist, other parameters (gap duration [GD], burst duration [BD] and intraburst interval [IBI]) were also recorded [45].\nMII in the presence of Krebs (vehicle) or drugs were compared by paired t‐test. MII paired differences (drug MII response—Krebs MII response) were compared by effect size as given by the partial eta squared statistic (η2p) between concentrations of Nezavist. For interpreting η2p, 0.01 indicates a small, 0.06 a medium and 0.14 a large effect size. Fractional differences ((Treatment‐Krebs)/Krebs) were compared by unpaired t‐test.\nAll animal procedures were approved and facilities inspected by the Medical University of South Carolina (MUSC) Institutional Animal Care and Use Committee (IACUC) in accordance with the guidelines established by the US National Research Council.\nAdult male C57BL/6 J mice (N = 80, 9 weeks old) were purchased from Jackson Laboratories (JAX Stock #000664, Bar Habor, ME). Mice were singly housed with ad libitum access to food and water under a 12‐h light/dark cycle (light on at 02:00, off at 14:00). All experimentation occurred during the light part of the light/dark cycle. Mice were first treated with an intraperitoneal (ip) injection of lipopolysaccharide (LPS; 1 mg/kg) or vehicle followed 30 min later by an ip injection of Nezavist (100 mg/kg) or placebo. Mice were sacrificed at two time points, 90‐ and 150‐min post‐Nezavist/placebo administration. Thus, this study produced eight groups, based on a 2 (Drug or Placebo) × 2 (LPS or Vehicle) × 2 (90 or 150 min) factorial design, with 10 mice per group. Mice were run in four cohorts spread across 4 days (within 2 weeks), with groups divided equally across days. Of the 80 brains collected, 21 were lost due to technical issues with tissue processing or imaging. The final data, therefore, were from N = 59 mice (4–10 per group).\nLipopolysaccharide (LPS) was obtained from Sigma‐Aldrich (L3024, \nEscherichia coli\n serotype O111:B4), dissolved in 0.9% sterile saline to a 5‐mg/mL concentration and stored as 1‐mL aliquots at −80°C until use. One day prior to experimentation, frozen LPS aliquots were thawed, diluted 1:10 with saline to a working 0.1‐mg/mL solution and stored at 4°C overnight. The working LPS solution was allowed to come to room temperature for ip injection (10 mL/kg) of a 1‐mg/kg dose. Sterile saline ip injections (10 mL/kg) were given to vehicle control groups. Nezavist powder was supplied by Lohocla Research Corporation (Aurora, CO, USA). Immediately before experimentation, 150 mg of Nezavist was dissolved in 1.5 mL 100% DMSO (Sigma‐Aldrich). Then 1.5 mL of Cremophor EL (Calbiochem, USA) was added and the solution was diluted to 30 mL with double‐distilled water for a final 5‐mg/mL Nezavist suspension in 5% DMSO and 5% Cremophor. The working Nezavist suspension was vortexed just before drawing up each syringe for ip injection in a 20‐mL/kg volume. The final dose of Nezavist administered was therefore 100 mg/kg. Placebo groups received ip injections (20 mL/kg) of 5% DMSO and 5% Cremophor in double‐distilled water.\nAt either 90 or 150 min after Nezavist/placebo treatment, mice were deeply anaesthetized with urethane (1.5 mg/kg, ip) and then transcardially perfused for 2‐min with 1X phosphate‐buffered saline (PBS; pH 7.4) and then for 3 min with 4% formaldehyde (paraformaldehyde dissolved in 1X PBS) at a 25‐mL/min flow rate. Brains were removed, postfixed in 4% formaldehyde overnight at 4°C and then placed into 30% (w/v) sucrose until fully saturated (sunk to the bottom of tube) prior to flash freezing in a 2‐methylbutane dry ice bath. Frozen brains were stored at −80°C in aluminium foil until sectioned. Coronal sections (40 μm) were cut on a cryostat (Microm/Thermo Fisher Scientific, HM525, Waltham, MA USA) and collected into cryopreserve solution (1% (w/v) polyvinylpyrrolidone (PVP, MilliporeSigma, Burlington, MA, USA) and 50% (v/v) ethylene glycol (ThermoFisher Scientific) in 1X PBS) for −20°C storage prior to staining. c‐Fos immunohistochemistry was carried out on free‐floating sections in staining nets (Brain Research Laboratories) balanced across all independent variables. All incubations and rinses took place at room temperature on an orbital shaker. After rinsing stored tissue, sections were first placed into 0.3% H2O2 for 15 min to quench endogenous peroxidases, followed by blocking in 5% normal goat serum in 1X PBS with 0.3% TritonX‐100 (PBST) for 1 h. Sections were washed in 1X PBST between all steps, with the exception of the final washes which were in PBS. Primary antibody (1:4000 guinea pig anti‐c‐Fos, Synaptic Systems, 266 308) diluted in blocking solution was incubated with tissue overnight. Sections were then incubated in goat antiguinea pig biotin‐conjugated secondary antibody (1:1000, Jackson Immuno Research, 106‐065‐003) for 1 h and ABC‐HRP (Vector Elite Kit, Vector Laboratories Inc., Newark, CA, USA) as directed for 45 min. The reaction was visualized via incubation for 5 min in 0.05% 3,3′‐diaminobenzidine (DAB), 0.05% nickel ammonium sulphate and 0.0015% H2O2. The tissue was then mounted onto Superfrost Plus slides (Thermo Fisher Scientific), dried and counterstained with Gill's haematoxylin No. 1 (MilliporeSigma, GHS132). Slides were coverslipped using Permount mounting medium (Thermo Fisher Scientific).\nBrightfield images were captured at 20X magnification using a ZEISS epifluorescence microscope (Axioscope 5, ZEISS AG, Oberkochen, Germany). c‐Fos‐positive neurons were counted bilaterally from sections taken across the anterior–posterior axis of the NTS from AP coordinates −6.48 to −7.72 mm relative to bregma [49]. Fos‐positive nuclei were manually labelled across the entire image using the multi‐point tool and counted using the measure feature in ImageJ software [50]. Labelling, counting and image quality control were conducted blind to treatment groups. Images were classified as either anterior or posterior based on the appearance of the area postrema (approximately AP −7.32 mm). NTS rostral to the level of the area postrema was classified as anterior NTS, while posterior NTS coincided with the area postrema. One image was removed from the final dataset due to being a statistically significant upper outlier (Grubbs Test, p < 0.0001) whose count was more than 100 cells away from the nearest data point. The final dataset consisted of 526 images, 1–18 images per subject.\nSince there were different amounts of images from each subject, the c‐Fos‐positive cell counts were analysed using a linear mixed model with LPS/Vehicle (Drug 1), Nezavist/Placebo (Drug 2) and rostral/caudal (Position) as fixed factors and mouse as a random intercept. Linear mixed models are designed to account for repeated measures even with missing data or unbalanced designs [51] and, thus, were the optimal statistical approach with these data. Helmert contrasts were used for modelling, so while all factors only had two levels, this ensured the contrasts were centred. All tests were performed using Restricted Maximum Likelihood (REML) estimation in R [52] with custom scripts (available upon request), the ‘lme4’ package [35] and guidance from West et al. [51]. Significant interactions were probed with multiple‐comparison adjusted post hoc tests using ‘emmeans’ and ‘stats’ R packages [36, 52]. Final models were evaluated for multicollinearity using generalized variance‐inflation factors (GVIFs) from the ‘car’ R package [53] where GVIFs < 5 were considered to have no issues (all GVIFs were < 2). Degrees of freedom for t‐statistics were estimated with the R package ‘lmerTest’ [54] using Satterthwaite approximations, which produce acceptable Type I error rates [55]. Data were visualized using R package ‘ggplot2’ [56] with numerous add‐on packages.\nForty male C57BL/6JRj mice (8–9 weeks old) were obtained from Janvier Labs (Le Genest‐Saint‐Isle, France) and transferred to the Scantox Neuro animal facility. After a general health check and registration, the animals were habituated at standard housing conditions for at least 1 week before treatment. Animals were housed in ventilated cages on standardized rodent bedding. Each cage contained a maximum of five mice. The temperature in the animal room was maintained between 20°C and 24°C, and the relative humidity was maintained between 45% and 65%. Animals were housed under a constant light‐cycle (12 h light/dark). Dried, pelleted standard rodent chow (Altromin) and normal tap water were available to the animals ad libitum.\nThe study was performed according to Scantox Neuro's Global Quality Policies as implemented in Scantox Neuro's current internal SOPs considering GxP requirements. The Scantox Neuro animal facility was fully accredited by the Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC). All procedures in this study were approved by the Animal Care and Welfare Committee.\nAustrian Animal Experiments Regulation: Verordnung des Bundesministers für Wissenschaft und Forschung zur Durchführung des Tierversuchsgesetzes 2012 (Tierversuchs‐Verordnung—TVV 2012), BGBl. II Nr. 542/2020Austrian Animal Experiments Law: Bundesgesetz über Versuche an lebenden Tieren (Tierversuchsgesetz 2012—TVG 2012) BGBl. I Nr. 76/2020Austrian Animal Welfare Law: Bundesgesetz über den Schutz der Tiere (Tierschutzgesetz—TSchG) BGBl. I Nr. 130/2022Directive 2010/63/EU of the European Parliament and of the Council of 22. September 2010 on the protection of animals used for scientific purposes; Consolidated version 26.06.2019\nAustrian Animal Experiments Regulation: Verordnung des Bundesministers für Wissenschaft und Forschung zur Durchführung des Tierversuchsgesetzes 2012 (Tierversuchs‐Verordnung—TVV 2012), BGBl. II Nr. 542/2020\nAustrian Animal Experiments Law: Bundesgesetz über Versuche an lebenden Tieren (Tierversuchsgesetz 2012—TVG 2012) BGBl. I Nr. 76/2020\nAustrian Animal Welfare Law: Bundesgesetz über den Schutz der Tiere (Tierschutzgesetz—TSchG) BGBl. I Nr. 130/2022\nDirective 2010/63/EU of the European Parliament and of the Council of 22. September 2010 on the protection of animals used for scientific purposes; Consolidated version 26.06.2019\nFurthermore, the study was performed according to the regulations of the Austrian Genetic Engineering Law (BGBl. I Nr. 8/2022). Safety precautions operating within the test facility were applied to the study.\nThe solid compound was formulated in vehicle (5% DMSO/5% Cremophor EL in distilled water) to produce a suspension with a final dosing concentration of 5 (low dose) or 10 mg/mL (high dose) for intraperitoneal injection at 10 mL/kg.\nSolid compound was dissolved in pure DMSO.Cremophor EL was added and mixed thoroughly.Sufficient distilled water was added slowly with mixing to produce a final suspension containing 5‐mg/mL (low dose) or 10‐mg/mL (high dose) Nezavist, with a final DMSO concentration of 5% and a final Cremophor EL concentration of 5%.\nSolid compound was dissolved in pure DMSO.\nCremophor EL was added and mixed thoroughly.\nSufficient distilled water was added slowly with mixing to produce a final suspension containing 5‐mg/mL (low dose) or 10‐mg/mL (high dose) Nezavist, with a final DMSO concentration of 5% and a final Cremophor EL concentration of 5%.\nDosing formulations for the high and low dose were freshly prepared separately (NOT by dilution of the higher dose) and used for a maximum duration of 36 h. During treatments, the dosing formulations were kept at room temperature and were constantly stirred to ensure that a homogenous suspension was drawn up into the syringe. For storage, dosing formulations were kept refrigerated at 2°C–8°C and protected from light and were warmed to room temperature with vigorous mixing.\nLyophilized LPS was reconstituted in endotoxin‐free water to obtain a 5‐mg/mL stock solution (vortexed until completely solubilized). The 5‐mg/mL stock solution was aliquoted and stored at 4°C for short term storage or at −20°C for long term storage. On treatment days, the 5‐mg/mL stock solution was diluted 1:50 in endotoxin‐free water to a final dosing concentration of 0.1 mg/mL for ip injection at 5 mL/kg.\nAfter habituation, animals were randomly allocated into four groups (A‐D) with n = 10 animals/group as shown below:\nGroup\nn=GenotypeSexAge at start (weeks)Vehicle or LPS treatmentTest itemA10C57BL/6JRjM11Vehicle (H2O) daily ip for 4 dNezavist vehicle daily ip for 4 daysB10C57BL/6JRjM11LPS (0.5 mg/kg) dai LPS (0.5 mg/kg) daily ip for 4 dNezavist vehicle daily ip for 4 daysC10C57BL/6JRjM11LPS (0.5 mg/kg) daily ip for 4 dNezavist (50 mg/kg) daily ip for 4 daysD10C57BL/6JRjM11LPS (0.5 mg/kg) daily ip for 4 dNezavist (100 mg/kg) daily ip for 4 days\nThe mice received a daily intraperitoneal (ip) injection with vehicle (endotoxin‐free H2O) or LPS (0.5 mg/kg; application volume:5 mL/kg), followed by an additional ip treatment with either Nezavist vehicle (5% DMSO/5% Cremophor EL in distilled water) or Nezavist at two different concentrations (50 or 100 mg/kg; application volume: 10 mL/kg) for four consecutive days.\nThe injection with Nezavist vehicle or Nezavist (50 or 100 mg/kg) was performed 30 ± 5 min after LPS administration on each day. Body weights were determined once prior to the first treatment, and all treatments were applied based on the animals' actual body weight on the first treatment day.\nAfter each LPS treatment, the mice were placed under an infrared‐light heat lamp to counteract the hypothermic effects of LPS. For all treatment groups, clinical signs (including daily recording of body weight) and termination criteria were monitored daily for a total of 4 days, starting on treatment Day 1 until Day 4, and special care measures (e.g., provision of wet food) were applied if necessary.\nOn Day 4, all mice were tested for general locomotion in the Open‐Field test (5‐min testing). Behavioural testing was performed in the afternoon, 1 h ± 5 min after receiving the last injection with Nezavist vehicle or Nezavist. On Day 5, all animals were sacrificed in the morning, 18 h ± 10 min after the last LPS treatment, and terminal blood and brain samples were collected.\nThe Open‐Field test was performed on Day 4 in the afternoon, 1 h ± 5 min after receiving the last injection with Nezavist vehicle or Nezavist. Spontaneous activity was assessed in the Open Field by evaluating the following parameters: activity [s], distance [m], rearings [s], rearings [n] and thigmotaxis [s]. For that purpose, an opaque Open‐Field Box (45 × 45 × 23.5 cm) in combination with a computerized video tracking system (Noldus EthoVision XT 14) was used.\nThe mice were brought to the room at least 45 min before the start of the testing. Each test session lasted for 5 min to check the mice's behaviour in the new surroundings, as the first minutes of the Open‐Field test were the most suitable to display the exploratory behaviour of the animals. After the testing session, the number of faecal boli was counted, as a measure of emotionality. The Open Field was cleaned with 70% isopropanol after each mouse to eliminate odour traces. Testing was performed under standard room lighting conditions during the light phase of the circadian cycle.\nMice were euthanized by injection of Pentobarbital (600 mg/kg, dosing 10‐μL/g body weight). The thorax was opened and blood was collected by heart puncture with a 23‐gauge needle. The needle was removed and the blood was transferred to the MiniCollect K2EDTA (potassium ethylenediaminetetraacetic acid) sample tube. The tube contents were mixed thoroughly to facilitate homogeneous distribution of the EDTA to prevent clotting. The blood samples were centrifuged at 3000 ×g for 10 min at room temperature (22°C). Plasma was transferred to pre‐labelled 1.5‐mL LoBind Eppendorf tubes (total of 2 aliquots per animal, 1 × 60 μL + rest), frozen on dry ice and stored at −80°C.\nAnimals were transcardially perfused with 0.9% saline. A 23‐gauge needle connected to a bottle with 0.9% saline was inserted into the left ventricle. The thoracic aorta—between the lungs and the liver—was clamped with hemostatic forceps to block the flow from the heart to the abdomen but allowing the flow to the brain. The right atrium was opened with scissors. A constant pressure of 100 to 120 mmHg was maintained on the perfusion solution by connecting the solution bottle to a manometer‐controlled air compressor. Perfusion was continued until the skull surface turned pale, and only perfusion solution instead of blood was exiting from the right atrium.\nAfter perfusion, the skull was opened and the brain was removed carefully and hemisected on a cooled surface. The left hemibrain was further dissected on a cooled surface into hippocampus and the rest of the brain. All collected parts were weighed, snap frozen on dry ice and stored at −80°C. In total, n = 40 hippocampal samples and n = 40 rest brain samples were collected. The right hemibrain was fixed by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH = 7.4) for 2 h at RT.\nFollowing fixation by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH 7.4) for 2 h at RT, right hemibrains of all animals (total n = 40) were then transferred to 15% sucrose/PBS and stored at 4°C until the sample sank to the bottom of the tube to ensure cryoprotection (usually overnight). Tissue blocks were then trimmed as needed, transferred to cryomolds, embedded in OCT medium, frozen in dry ice‐cooled isopentane and stored at −80°C.\nAll frozen brain samples (total n = 40) were sectioned sagittally at 10 μm thickness on a Leica CM1950 or a Thermo Scientific NX70 cryotome, using the following section scheme:\nFive consecutive cryosections were collected and the next 25 sections per level were discarded. This collection scheme was repeated for 12 levels. In total 12 × 5 = 60 sections were collected (total of 2400 sections from 40 mice). Sectioning levels were chosen according to the brain atlas [49]. Collection of sections started at a level ~0.2‐mm lateral from midline and extended through the hemisphere, in order to ensure systematic random sampling through the target region (hippocampus). Sections were stored at −20°C.\nFor each incubation a uniform systematic random set of five sections per mouse was selected (one section each from Levels 2, 4, 6, 8 and 10); for information on systematic random sampling follow this link: http://www.stereology.info/sampling/.\nHistological labelling experiments were executed on these sets of sections: Microgliosis (Iba1) and astrocytosis (GFAP) as well as CD68‐positive cells were evaluated on sections of all processed brains (n = 40 brains; 200 sections total) using triple immunofluorescent labelling with primary antibodies:\nGuinea pig anti‐Iba1 monoclonal antibody ([Gp311H9], Synaptic Systems GmbH, 234 308; Scantox #847)\nRabbit anti‐GFAP polyclonal antibody (DAKO, Z0334; Scantox #29)\nRat anti‐CD68 monoclonal antibody [FA‐11] (BioRad, MCA1957; Scantox #136)\nAll sections were counterstained with the nuclear dye DAPI. Binding of primary antibodies was visualized using the following highly cross‐absorbed secondary antibodies:\nDonkey antiguinea pig IgG H + L Cy3‐conjugated (Jackson Immunoresearch)\nDonkey antirabbit IgG H + L AlexaFluor 750‐conjugated (Abcam)\nDonkey antirat IgG AlexaFluor 647‐conjugated (Abcam)\nWhole slide scans of the stained sections were recorded on a Zeiss automatic microscope AxioScan Z1 with high aperture lenses, equipped with a Zeiss Axiocam 506 mono and a Hitachi 3CCD HV‐F202SCL camera and Zeiss ZEN 3.7 software.\nImage analysis was done with Image Pro 10 (Media Cybernetics). At the beginning, the target area (hippocampus) was identified by drawing regions of interest (ROI) on the images. Additional ROIs exclude wrinkles, air bubbles or any other artefacts interfering with the measurement. Afterwards, signals of Iba1, GFAP and CD68 were quantitatively evaluated within the identified areas. For quantification, background correction was used if necessary, and immunoreactive objects were detected by adequate thresholding and morphological filtering (size and shape). Different object features were then quantified, among them the percentage of cumulative object area based on ROI size (immunoreactive area; this is the most comprehensive parameter indicating whether there are differences in immunoreactivity), the number of objects normalized to ROI size (object density), the mean signal intensity of identified objects (mean intensity; this indicates if there are differences in the cellular expression level of target proteins) and the size of above‐threshold objects. Once the parameters of the targeted objects were defined in a test run, the quantitative image analysis was generated automatically so that the results are operator‐independent and fully reproducible.\nHippocampus of all animals (n = 40 samples) was homogenized 1:20 (w/v) in homogenization buffer [PBS, 1% Triton X‐100, Phosphatase Inhibitor Cocktail III (Sigma) and Protease Inhibitor Cocktail I (Calbiochem)]. Homogenates were cleared from cell debris by centrifugation at 20800 x g at 4 °C for 10 min in a tabletop centrifuge and the supernatants were collected and split into three aliquots, one of which was used for the measurement of cytokines. Protein concentrations were determined using the BCA protein assay kit from Thermo Scientific, according to the manufacturer's protocol.\nBrain (hippocampus) extracts from all animals (n = 40 samples) as well as terminal plasma samples (n = 40 samples) were diluted 1:2 and analysed for cytokines included in an inflammation panel (IL‐1β, IL‐6, IL‐12p70, IL‐10 and TNFα) with a U‐PLEX custom Cytokine Assay (K15069L‐1) from Mesoscale Discovery (MSD) and for IL‐18 with the Mouse IL‐18 DuoSet ELISA from R&D Systems (DY7625‐05). The assay was performed according to the manufacturer's instructions. Data were evaluated in comparison to the calibration curve provided in the kit and were expressed as pg/g protein for hippocampus samples or pg/mL plasma. For statistical evaluation, values below the detection limit of the assay were excluded.\nAll the plasma samples were analysed together, and each sample was analysed once using the U‐PLEX custom Cytokine Assay. The hippocampal protein extracts were analysed in two separate assays; during the first assay, aliquots were measured as singlets, while in the second assay, aliquots from the same samples were measured as technical duplicates. For reporting, the cytokine data of hippocampal samples from both experiments were combined and averaged.\nThe levels of CRF and corticosterone were measured in terminal plasma samples from all mice (n = 40 samples), using commercially available ELISA kits according to the instructions of the manufacturer (i.e., Yanaihara Institute Inc. via BIOZOL Diagnostica cat. no. SCE‐YK131‐96 for CRF and Enzo Life Sciences cat. no. ADI‐900‐097 for corticosterone).\nPrior to analysing the study samples, plasma samples from one group A (vehicle) animal and one group B (LPS, vehicle) animal were analysed in a dilution series (i.e., 1:1, 1:2, 1:4, 1:8, 1:16, 1:32, 1:64 and 1:128 for CRF and 1:10, 1:20, 1:40, 1:60 and 1:80 for corticosterone) to assess the range and dilution linearity of the assays. All study samples were analysed within the linear range of dilution (1:1 for CRF and 1:40 for corticosterone). Samples were measured as singlets. Data were evaluated in comparison to the calibration curves provided in the kit and were expressed as pg/mL plasma.\nAll raw data were analysed in GraphPad Prism 10.2.3 (GraphPad Software Inc., USA). For statistical evaluation of MSD assay data, values below the detection limit of the assay were excluded. No outlier test was performed. Normality distribution of two groups was analysed by Kolmogorov–Smirnov tests. If more than 2 groups were compared with each other, significance was calculated by one‐way or two‐way analysis of variance (ANOVA) followed by the Bonferroni post hoc test for normally distributed data. In case of non‐normally distributed data, significance was calculated by Kruskal–Wallis test followed by Dunn's multiple comparisons test. Group B (C57BL/6, LPS, vehicle) served as reference group for pairwise comparisons. Significance was defined as *p < 0.05, **p < 0.01 and ***p < 0.001.\nFor studies described in Section 2, detailed results of statistical analyses are provided in the figure legends.\n\n\n### Nezavist (DCUK‐OEt) Synthesis\nSynthesis of Nezavist is described in US Patent # 6962930.\n\n\n### Abstinence‐Induced Escalation of Alcohol Intake: Rat Studies\nMethods for the measurement of the alcohol (ethanol) deprivation effect are described in detail in Holter et al. [32] and Spanagel and Holter [33]. In brief, 2‐month‐old male Wistar rats (from the breeding colony at the Central Institute of Mental Health, Mannheim, Germany) were used for the ADE experiments. All animals were housed individually in standard rat cages (Ehret, Emmendingen, Germany) under a 12‐h artificial light–dark cycle (lights on at 7:00 AM). Room temperature was kept constant (temperature: 22°C ± 1°C, humidity: 55% ± 5%). Standard laboratory rat food and water were provided ad libitum throughout the experimental period. Body weights were measured weekly. All experimental procedures were approved by the Committee on Animal Care and Use and carried out in accordance with the local Animal Welfare Act and the European Communities Council Directive of 24 November 1986 (86/609/EEC).\nAlcohol drinking solutions were prepared from 96% ethanol (Merck, Darmstadt, Germany) and then diluted with tap water. Nezavist was suspended by sonicating in vehicle solution of 0.5% methylcellulose/5% Tween‐80 in 0.9% sterile sodium chloride and then diluted with 0.9% sterile sodium chloride to produce the injection volume of 3 mL/kg. The solution was administered intraperitoneally (ip). Control animals received administration of the vehicle solution.\nAfter 2 weeks of habituation to the animal room, rats were given ad libitum access to water and to 5%, 10% and 20% alcohol (ethanol) solutions (v/v). Spillage and evaporation were minimized by the use of special bottle caps (TSE, Bad Homburg, Germany). With this procedure, the alcohol concentration remains constant for at least 1 week [32]. The positions of bottles were changed weekly to avoid location preferences.\nThe first 2‐week deprivation period was introduced after 8 weeks of continuous alcohol availability. After the deprivation period, rats were given free access to water and to alcohol solutions for 5 weeks. Then a second 2‐week deprivation period was introduced. This 5‐week alcohol drinking and 2‐week deprivation cycle was performed repeatedly. The long‐term voluntary alcohol drinking procedure including all deprivation phases lasted in total 41 weeks. Prior data [3, 31] demonstrated that this procedure generated animals showing signs of physical dependence upon the initial stages of each deprivation period.\nThe pharmacological studies were introduced at the end of the fifth or sixth alcohol deprivation period. In order to study the effects of Nezavist, in the first study (20‐mg/kg Nezavist), a group of 14 rats was treated with vehicle, and a group of 12 rats was treated with Nezavist. The mean baseline total alcohol intake, measured over the last 3 days of the free‐choice alcohol consumption period, was approximately the same in both groups (i.e., ~2.5 g/kg/day). In the second study (75‐mg/kg Nezavist), rats were divided into two groups of eight animals each, with mean baseline total alcohol intake of ~2.8 g/kg. After the last day of baseline measurement, the alcohol bottles were removed from the cages leaving the animals with free access to food and water for 20 days in the first experiment and for 14 days in the second experiment. Thereafter, each animal was subjected to a total of 5 intraperitoneal (ip) injections (starting at 7 PM with 12 h intervals) of either vehicle or Nezavist (20 or 75 mg/kg). The alcohol bottles were reintroduced after the second injection (at ~9 AM on the 21st [first experiment] or 15th [second experiment] day of alcohol deprivation) and the occurrence of an ADE was determined. Total alcohol intake (g/kg of body weight/day) and water intake (mL/kg of body weight/day) were measured daily at ~9 AM for three or seven subsequent days for the first and second experiment, respectively. Each rat's body weight was recorded 24 h before the first injection and 12 h after the last injection.\nA comparator experiment was performed in which rats were treated with Acamprosate. Rats were divided into two groups of nine animals each, such that the mean baseline alcohol intake was similar for both groups (i.e.,~2.3 g/kg/day). After the last day of baseline measurement, the alcohol bottles were removed from the cages, leaving the animals with free access to food and water for 14 days. Thereafter, each animal received a total of 5 ip injections of Acamprosate (200 mg/kg) or vehicle as described above and in Meinhardt and Sommer [34]. The alcohol bottles were reintroduced after the second injection (at ~9 AM on the first day of re‐exposure). The injections were administered at 12‐h intervals. Alcohol intake (g/kg of body weight/day) and water intake (ml/kg of body weight/day) were measured daily at ~9 AM for a subsequent week.\nThe effect of treatments on locomotor activity was monitored in vehicle‐ and Nezavist‐treated groups. Locomotor activity was monitored from 7 PM to 7 AM starting 3 days before drug treatment, during treatment and for several days posttreatment. Home cage locomotor activity was monitored using an infrared sensor connected to a recording and data storing system (Mouse‐E‐Motion instrument from Infra‐e‐motion, Henstedt‐Ulzburg, Germany). A Mouse‐E‐Motion device was placed above each cage (30 cm from the bottom) so that the rat could be detected at any position inside the cage. The device sampled every second whether the rat was moving or not. The sensor could detect body movement of the rat of at least 1.5 cm from one sample point to the successive one. The data measured by each Mouse‐E‐Motion device were downloaded into a personal computer and processed with Microsoft Excel.\nTwo‐way ANOVA was performed to assess the effect of treatment on total alcohol intake, water intake and alcohol preference between groups and the effect of day within each group, with post hoc pairwise t‐tests. Type III testing was performed to account for unbalanced groups with a Mauchly's sphericity correction. All statistical analyses were performed in R (version 4.4.1) using the ‘rstatix’ package. Significance level was set at p < 0.05.\nTo further analyse the ADE results, the amount of each concentration of alcohol (5%, 10% or 20%) consumed by the animals treated with vehicle or 20‐mg/kg (×5) or 75‐mg/kg (×5) Nezavist or Acamprosate was compared. Individual alcohol consumption values that were more than 2 standard deviations from the mean of that treatment group/day/alcohol concentration combination were treated as missing data. A linear mixed model was used to initially examine the three‐way ANOVA (treatment group, day and alcohol concentration) for alcohol consumption when including baseline consumption (mean of last three measures prior to deprivation), Days 1–3 (20‐mg/kg Nezavist) or Days 1–7 (75‐mg/kg Nezavist or Acamprosate) of the alcohol deprivation period. Based on the statistical significance of the three‐ and/or two‐way interactions in this model, the data were stratified by day, and a linear mixed model was used at each day to examine the effects of treatment group, alcohol concentration and their interaction. Means and standard errors for each treatment group/day/alcohol concentration combination were estimated as marginal means from the stratified mixed linear models and post hoc pairwise comparisons between treatment groups at each alcohol concentration were executed. The R package lme4 (version 1.1‐35.5) [35] was used for the linear mixed models, and the R package emmeans (version 1.10.5) [36] was used for estimating marginal means and post hoc comparisons (R version 4.4.3).\nMethods for operant alcohol (ethanol) self‐administration and alcohol vapour exposure have been described in detail [37, 38, 39]. Adult male Wistar rats (Charles River, Raleigh, NC), weighing 225–275 g at the beginning of the experiments, were housed in groups of 2–3 per cage in a temperature‐controlled (22°C) vivarium on a 12‐h/12‐h light/dark cycle (lights on at 8:00 PM) with ad libitum access to food and water. All behavioural tests were conducted during the dark phase of the light/dark cycle. All procedures adhered to the National Institutes of Health Guide for the Care and Use of Laboratory Animals and were approved by the Institutional Animal Care and Use Committee of The Scripps Research Institute.\nAlcohol drinking solution 10% (w/v) was prepared by dilution of ethanol 95% (w/v) in water.\nNezavist was dissolved in a vehicle composed of 5% DMSO, 5% Emulphor (Solvay Novecare) and 90% distilled water and injected intraperitoneally (ip) at the doses of 0, 20, 35 and 50 mg/kg/4 mL 30 min before each test session. For oral treatment, Nezavist was dissolved in a vehicle composed of 10% DMSO, 10% Emulphor and 80% distilled water and administered by oral gavage 1 h before the test session, or at longer intervals prior to the test session in order to assess the duration of action of Nezavist.\nSelf‐administration sessions were conducted in standard operant conditioning chambers (Med Associates, St. Albans, VT). Animals were first trained to self‐administer 10% (w/v) alcohol and water solutions until a stable response was maintained. The rats were subjected to an overnight session in the operant chambers with access to one lever (right lever) that delivered water (FR1). Food was available ad libitum during this training. After 1 day off, the rats were subjected to a 2‐h session (FR1) for 1 day and a 1‐h session (FR1) the next day, with one lever delivering alcohol (right lever). All of the subsequent sessions lasted 30 min, and two levers were available (left lever: water; right lever: alcohol) until stable levels of intake were reached. Upon completion of this procedure, the animals were allowed to self‐administer a 10% (w/v) alcohol solution and water on an FR1 schedule of reinforcement (i.e., each operant response was reinforced with 0.1 mL of the solution).\nOnce a stable baseline of alcohol self‐administration was reached, the rats were made dependent by chronic, intermittent exposure to alcohol vapour for 3 weeks. They underwent cycles of 14 h on (blood alcohol levels during vapour exposure ranged between 150 and 250 mg%) and 10 h off, during which time behavioural testing for acute withdrawal occurred (i.e., 6–8 h after vapour was turned off when brain and blood alcohol levels are negligible). In this model, rats exhibit somatic withdrawal signs and negative emotional symptoms reflected by anxiety‐like responses and elevated brain reward thresholds.\nBehavioural testing occurred three times per week during the 3‐week alcohol vapour exposure period. The rats were tested for alcohol (and water) self‐administration on an FR1 schedule of reinforcement for 30‐min sessions during acute withdrawal (i.e., 6–8 h after termination of vapour exposure). Once escalation of responding for alcohol occurred, animals were treated with drug or vehicle, and alcohol and water self‐administration were measured. Results are reported as number of responses on either the alcohol or water‐associated lever during this session and the responding during the stable baseline prior to alcohol vapour administration. Another group of animals (controls) was treated similarly but was exposed to normal room air containing no alcohol during the 3‐week period in the inhalation chamber. Operant testing was performed with these animals on the same schedule as the alcohol‐treated rats. Operant self‐administration on an FR1 schedule requires minimal effort by the animal to obtain the reinforcement and was considered a measure of voluntary intake.\nData were analysed with one‐ or two‐way ANOVA or t‐test. ANOVAs were followed by the Neuman–Keuls test when appropriate. Statistical significance was set at p < 0.05.\n\n\n### Alcohol Deprivation Effect (ADE) (Laboratory of Prof. Dr. Rainer Spanagel, Central Institute of Mental Health, Mannheim, Germany)\nMethods for the measurement of the alcohol (ethanol) deprivation effect are described in detail in Holter et al. [32] and Spanagel and Holter [33]. In brief, 2‐month‐old male Wistar rats (from the breeding colony at the Central Institute of Mental Health, Mannheim, Germany) were used for the ADE experiments. All animals were housed individually in standard rat cages (Ehret, Emmendingen, Germany) under a 12‐h artificial light–dark cycle (lights on at 7:00 AM). Room temperature was kept constant (temperature: 22°C ± 1°C, humidity: 55% ± 5%). Standard laboratory rat food and water were provided ad libitum throughout the experimental period. Body weights were measured weekly. All experimental procedures were approved by the Committee on Animal Care and Use and carried out in accordance with the local Animal Welfare Act and the European Communities Council Directive of 24 November 1986 (86/609/EEC).\nAlcohol drinking solutions were prepared from 96% ethanol (Merck, Darmstadt, Germany) and then diluted with tap water. Nezavist was suspended by sonicating in vehicle solution of 0.5% methylcellulose/5% Tween‐80 in 0.9% sterile sodium chloride and then diluted with 0.9% sterile sodium chloride to produce the injection volume of 3 mL/kg. The solution was administered intraperitoneally (ip). Control animals received administration of the vehicle solution.\nAfter 2 weeks of habituation to the animal room, rats were given ad libitum access to water and to 5%, 10% and 20% alcohol (ethanol) solutions (v/v). Spillage and evaporation were minimized by the use of special bottle caps (TSE, Bad Homburg, Germany). With this procedure, the alcohol concentration remains constant for at least 1 week [32]. The positions of bottles were changed weekly to avoid location preferences.\nThe first 2‐week deprivation period was introduced after 8 weeks of continuous alcohol availability. After the deprivation period, rats were given free access to water and to alcohol solutions for 5 weeks. Then a second 2‐week deprivation period was introduced. This 5‐week alcohol drinking and 2‐week deprivation cycle was performed repeatedly. The long‐term voluntary alcohol drinking procedure including all deprivation phases lasted in total 41 weeks. Prior data [3, 31] demonstrated that this procedure generated animals showing signs of physical dependence upon the initial stages of each deprivation period.\nThe pharmacological studies were introduced at the end of the fifth or sixth alcohol deprivation period. In order to study the effects of Nezavist, in the first study (20‐mg/kg Nezavist), a group of 14 rats was treated with vehicle, and a group of 12 rats was treated with Nezavist. The mean baseline total alcohol intake, measured over the last 3 days of the free‐choice alcohol consumption period, was approximately the same in both groups (i.e., ~2.5 g/kg/day). In the second study (75‐mg/kg Nezavist), rats were divided into two groups of eight animals each, with mean baseline total alcohol intake of ~2.8 g/kg. After the last day of baseline measurement, the alcohol bottles were removed from the cages leaving the animals with free access to food and water for 20 days in the first experiment and for 14 days in the second experiment. Thereafter, each animal was subjected to a total of 5 intraperitoneal (ip) injections (starting at 7 PM with 12 h intervals) of either vehicle or Nezavist (20 or 75 mg/kg). The alcohol bottles were reintroduced after the second injection (at ~9 AM on the 21st [first experiment] or 15th [second experiment] day of alcohol deprivation) and the occurrence of an ADE was determined. Total alcohol intake (g/kg of body weight/day) and water intake (mL/kg of body weight/day) were measured daily at ~9 AM for three or seven subsequent days for the first and second experiment, respectively. Each rat's body weight was recorded 24 h before the first injection and 12 h after the last injection.\nA comparator experiment was performed in which rats were treated with Acamprosate. Rats were divided into two groups of nine animals each, such that the mean baseline alcohol intake was similar for both groups (i.e.,~2.3 g/kg/day). After the last day of baseline measurement, the alcohol bottles were removed from the cages, leaving the animals with free access to food and water for 14 days. Thereafter, each animal received a total of 5 ip injections of Acamprosate (200 mg/kg) or vehicle as described above and in Meinhardt and Sommer [34]. The alcohol bottles were reintroduced after the second injection (at ~9 AM on the first day of re‐exposure). The injections were administered at 12‐h intervals. Alcohol intake (g/kg of body weight/day) and water intake (ml/kg of body weight/day) were measured daily at ~9 AM for a subsequent week.\nThe effect of treatments on locomotor activity was monitored in vehicle‐ and Nezavist‐treated groups. Locomotor activity was monitored from 7 PM to 7 AM starting 3 days before drug treatment, during treatment and for several days posttreatment. Home cage locomotor activity was monitored using an infrared sensor connected to a recording and data storing system (Mouse‐E‐Motion instrument from Infra‐e‐motion, Henstedt‐Ulzburg, Germany). A Mouse‐E‐Motion device was placed above each cage (30 cm from the bottom) so that the rat could be detected at any position inside the cage. The device sampled every second whether the rat was moving or not. The sensor could detect body movement of the rat of at least 1.5 cm from one sample point to the successive one. The data measured by each Mouse‐E‐Motion device were downloaded into a personal computer and processed with Microsoft Excel.\nTwo‐way ANOVA was performed to assess the effect of treatment on total alcohol intake, water intake and alcohol preference between groups and the effect of day within each group, with post hoc pairwise t‐tests. Type III testing was performed to account for unbalanced groups with a Mauchly's sphericity correction. All statistical analyses were performed in R (version 4.4.1) using the ‘rstatix’ package. Significance level was set at p < 0.05.\nTo further analyse the ADE results, the amount of each concentration of alcohol (5%, 10% or 20%) consumed by the animals treated with vehicle or 20‐mg/kg (×5) or 75‐mg/kg (×5) Nezavist or Acamprosate was compared. Individual alcohol consumption values that were more than 2 standard deviations from the mean of that treatment group/day/alcohol concentration combination were treated as missing data. A linear mixed model was used to initially examine the three‐way ANOVA (treatment group, day and alcohol concentration) for alcohol consumption when including baseline consumption (mean of last three measures prior to deprivation), Days 1–3 (20‐mg/kg Nezavist) or Days 1–7 (75‐mg/kg Nezavist or Acamprosate) of the alcohol deprivation period. Based on the statistical significance of the three‐ and/or two‐way interactions in this model, the data were stratified by day, and a linear mixed model was used at each day to examine the effects of treatment group, alcohol concentration and their interaction. Means and standard errors for each treatment group/day/alcohol concentration combination were estimated as marginal means from the stratified mixed linear models and post hoc pairwise comparisons between treatment groups at each alcohol concentration were executed. The R package lme4 (version 1.1‐35.5) [35] was used for the linear mixed models, and the R package emmeans (version 1.10.5) [36] was used for estimating marginal means and post hoc comparisons (R version 4.4.3).\n\n\n### Animals\nMethods for the measurement of the alcohol (ethanol) deprivation effect are described in detail in Holter et al. [32] and Spanagel and Holter [33]. In brief, 2‐month‐old male Wistar rats (from the breeding colony at the Central Institute of Mental Health, Mannheim, Germany) were used for the ADE experiments. All animals were housed individually in standard rat cages (Ehret, Emmendingen, Germany) under a 12‐h artificial light–dark cycle (lights on at 7:00 AM). Room temperature was kept constant (temperature: 22°C ± 1°C, humidity: 55% ± 5%). Standard laboratory rat food and water were provided ad libitum throughout the experimental period. Body weights were measured weekly. All experimental procedures were approved by the Committee on Animal Care and Use and carried out in accordance with the local Animal Welfare Act and the European Communities Council Directive of 24 November 1986 (86/609/EEC).\n\n\n### Drugs\nAlcohol drinking solutions were prepared from 96% ethanol (Merck, Darmstadt, Germany) and then diluted with tap water. Nezavist was suspended by sonicating in vehicle solution of 0.5% methylcellulose/5% Tween‐80 in 0.9% sterile sodium chloride and then diluted with 0.9% sterile sodium chloride to produce the injection volume of 3 mL/kg. The solution was administered intraperitoneally (ip). Control animals received administration of the vehicle solution.\n\n\n### Long‐Term Alcohol Self‐Administration With Repeated Deprivation Phases\nAfter 2 weeks of habituation to the animal room, rats were given ad libitum access to water and to 5%, 10% and 20% alcohol (ethanol) solutions (v/v). Spillage and evaporation were minimized by the use of special bottle caps (TSE, Bad Homburg, Germany). With this procedure, the alcohol concentration remains constant for at least 1 week [32]. The positions of bottles were changed weekly to avoid location preferences.\nThe first 2‐week deprivation period was introduced after 8 weeks of continuous alcohol availability. After the deprivation period, rats were given free access to water and to alcohol solutions for 5 weeks. Then a second 2‐week deprivation period was introduced. This 5‐week alcohol drinking and 2‐week deprivation cycle was performed repeatedly. The long‐term voluntary alcohol drinking procedure including all deprivation phases lasted in total 41 weeks. Prior data [3, 31] demonstrated that this procedure generated animals showing signs of physical dependence upon the initial stages of each deprivation period.\n\n\n### Pharmacological Studies\nThe pharmacological studies were introduced at the end of the fifth or sixth alcohol deprivation period. In order to study the effects of Nezavist, in the first study (20‐mg/kg Nezavist), a group of 14 rats was treated with vehicle, and a group of 12 rats was treated with Nezavist. The mean baseline total alcohol intake, measured over the last 3 days of the free‐choice alcohol consumption period, was approximately the same in both groups (i.e., ~2.5 g/kg/day). In the second study (75‐mg/kg Nezavist), rats were divided into two groups of eight animals each, with mean baseline total alcohol intake of ~2.8 g/kg. After the last day of baseline measurement, the alcohol bottles were removed from the cages leaving the animals with free access to food and water for 20 days in the first experiment and for 14 days in the second experiment. Thereafter, each animal was subjected to a total of 5 intraperitoneal (ip) injections (starting at 7 PM with 12 h intervals) of either vehicle or Nezavist (20 or 75 mg/kg). The alcohol bottles were reintroduced after the second injection (at ~9 AM on the 21st [first experiment] or 15th [second experiment] day of alcohol deprivation) and the occurrence of an ADE was determined. Total alcohol intake (g/kg of body weight/day) and water intake (mL/kg of body weight/day) were measured daily at ~9 AM for three or seven subsequent days for the first and second experiment, respectively. Each rat's body weight was recorded 24 h before the first injection and 12 h after the last injection.\nA comparator experiment was performed in which rats were treated with Acamprosate. Rats were divided into two groups of nine animals each, such that the mean baseline alcohol intake was similar for both groups (i.e.,~2.3 g/kg/day). After the last day of baseline measurement, the alcohol bottles were removed from the cages, leaving the animals with free access to food and water for 14 days. Thereafter, each animal received a total of 5 ip injections of Acamprosate (200 mg/kg) or vehicle as described above and in Meinhardt and Sommer [34]. The alcohol bottles were reintroduced after the second injection (at ~9 AM on the first day of re‐exposure). The injections were administered at 12‐h intervals. Alcohol intake (g/kg of body weight/day) and water intake (ml/kg of body weight/day) were measured daily at ~9 AM for a subsequent week.\n\n\n### Home Cage Locomotor Activity Measurements by the E‐Motion System\nThe effect of treatments on locomotor activity was monitored in vehicle‐ and Nezavist‐treated groups. Locomotor activity was monitored from 7 PM to 7 AM starting 3 days before drug treatment, during treatment and for several days posttreatment. Home cage locomotor activity was monitored using an infrared sensor connected to a recording and data storing system (Mouse‐E‐Motion instrument from Infra‐e‐motion, Henstedt‐Ulzburg, Germany). A Mouse‐E‐Motion device was placed above each cage (30 cm from the bottom) so that the rat could be detected at any position inside the cage. The device sampled every second whether the rat was moving or not. The sensor could detect body movement of the rat of at least 1.5 cm from one sample point to the successive one. The data measured by each Mouse‐E‐Motion device were downloaded into a personal computer and processed with Microsoft Excel.\n\n\n### Statistical Analysis\nTwo‐way ANOVA was performed to assess the effect of treatment on total alcohol intake, water intake and alcohol preference between groups and the effect of day within each group, with post hoc pairwise t‐tests. Type III testing was performed to account for unbalanced groups with a Mauchly's sphericity correction. All statistical analyses were performed in R (version 4.4.1) using the ‘rstatix’ package. Significance level was set at p < 0.05.\nTo further analyse the ADE results, the amount of each concentration of alcohol (5%, 10% or 20%) consumed by the animals treated with vehicle or 20‐mg/kg (×5) or 75‐mg/kg (×5) Nezavist or Acamprosate was compared. Individual alcohol consumption values that were more than 2 standard deviations from the mean of that treatment group/day/alcohol concentration combination were treated as missing data. A linear mixed model was used to initially examine the three‐way ANOVA (treatment group, day and alcohol concentration) for alcohol consumption when including baseline consumption (mean of last three measures prior to deprivation), Days 1–3 (20‐mg/kg Nezavist) or Days 1–7 (75‐mg/kg Nezavist or Acamprosate) of the alcohol deprivation period. Based on the statistical significance of the three‐ and/or two‐way interactions in this model, the data were stratified by day, and a linear mixed model was used at each day to examine the effects of treatment group, alcohol concentration and their interaction. Means and standard errors for each treatment group/day/alcohol concentration combination were estimated as marginal means from the stratified mixed linear models and post hoc pairwise comparisons between treatment groups at each alcohol concentration were executed. The R package lme4 (version 1.1‐35.5) [35] was used for the linear mixed models, and the R package emmeans (version 1.10.5) [36] was used for estimating marginal means and post hoc comparisons (R version 4.4.3).\n\n\n### Alcohol (Ethanol) Vapour Exposure and Operant Self‐Administration by Rats (Laboratory of Drs. Olivier George and Giordano de Guglielmo, University of California San Diego, La Jolla, CA)\nMethods for operant alcohol (ethanol) self‐administration and alcohol vapour exposure have been described in detail [37, 38, 39]. Adult male Wistar rats (Charles River, Raleigh, NC), weighing 225–275 g at the beginning of the experiments, were housed in groups of 2–3 per cage in a temperature‐controlled (22°C) vivarium on a 12‐h/12‐h light/dark cycle (lights on at 8:00 PM) with ad libitum access to food and water. All behavioural tests were conducted during the dark phase of the light/dark cycle. All procedures adhered to the National Institutes of Health Guide for the Care and Use of Laboratory Animals and were approved by the Institutional Animal Care and Use Committee of The Scripps Research Institute.\nAlcohol drinking solution 10% (w/v) was prepared by dilution of ethanol 95% (w/v) in water.\nNezavist was dissolved in a vehicle composed of 5% DMSO, 5% Emulphor (Solvay Novecare) and 90% distilled water and injected intraperitoneally (ip) at the doses of 0, 20, 35 and 50 mg/kg/4 mL 30 min before each test session. For oral treatment, Nezavist was dissolved in a vehicle composed of 10% DMSO, 10% Emulphor and 80% distilled water and administered by oral gavage 1 h before the test session, or at longer intervals prior to the test session in order to assess the duration of action of Nezavist.\nSelf‐administration sessions were conducted in standard operant conditioning chambers (Med Associates, St. Albans, VT). Animals were first trained to self‐administer 10% (w/v) alcohol and water solutions until a stable response was maintained. The rats were subjected to an overnight session in the operant chambers with access to one lever (right lever) that delivered water (FR1). Food was available ad libitum during this training. After 1 day off, the rats were subjected to a 2‐h session (FR1) for 1 day and a 1‐h session (FR1) the next day, with one lever delivering alcohol (right lever). All of the subsequent sessions lasted 30 min, and two levers were available (left lever: water; right lever: alcohol) until stable levels of intake were reached. Upon completion of this procedure, the animals were allowed to self‐administer a 10% (w/v) alcohol solution and water on an FR1 schedule of reinforcement (i.e., each operant response was reinforced with 0.1 mL of the solution).\nOnce a stable baseline of alcohol self‐administration was reached, the rats were made dependent by chronic, intermittent exposure to alcohol vapour for 3 weeks. They underwent cycles of 14 h on (blood alcohol levels during vapour exposure ranged between 150 and 250 mg%) and 10 h off, during which time behavioural testing for acute withdrawal occurred (i.e., 6–8 h after vapour was turned off when brain and blood alcohol levels are negligible). In this model, rats exhibit somatic withdrawal signs and negative emotional symptoms reflected by anxiety‐like responses and elevated brain reward thresholds.\nBehavioural testing occurred three times per week during the 3‐week alcohol vapour exposure period. The rats were tested for alcohol (and water) self‐administration on an FR1 schedule of reinforcement for 30‐min sessions during acute withdrawal (i.e., 6–8 h after termination of vapour exposure). Once escalation of responding for alcohol occurred, animals were treated with drug or vehicle, and alcohol and water self‐administration were measured. Results are reported as number of responses on either the alcohol or water‐associated lever during this session and the responding during the stable baseline prior to alcohol vapour administration. Another group of animals (controls) was treated similarly but was exposed to normal room air containing no alcohol during the 3‐week period in the inhalation chamber. Operant testing was performed with these animals on the same schedule as the alcohol‐treated rats. Operant self‐administration on an FR1 schedule requires minimal effort by the animal to obtain the reinforcement and was considered a measure of voluntary intake.\nData were analysed with one‐ or two‐way ANOVA or t‐test. ANOVAs were followed by the Neuman–Keuls test when appropriate. Statistical significance was set at p < 0.05.\n\n\n### Animals\nMethods for operant alcohol (ethanol) self‐administration and alcohol vapour exposure have been described in detail [37, 38, 39]. Adult male Wistar rats (Charles River, Raleigh, NC), weighing 225–275 g at the beginning of the experiments, were housed in groups of 2–3 per cage in a temperature‐controlled (22°C) vivarium on a 12‐h/12‐h light/dark cycle (lights on at 8:00 PM) with ad libitum access to food and water. All behavioural tests were conducted during the dark phase of the light/dark cycle. All procedures adhered to the National Institutes of Health Guide for the Care and Use of Laboratory Animals and were approved by the Institutional Animal Care and Use Committee of The Scripps Research Institute.\n\n\n### Drugs\nAlcohol drinking solution 10% (w/v) was prepared by dilution of ethanol 95% (w/v) in water.\nNezavist was dissolved in a vehicle composed of 5% DMSO, 5% Emulphor (Solvay Novecare) and 90% distilled water and injected intraperitoneally (ip) at the doses of 0, 20, 35 and 50 mg/kg/4 mL 30 min before each test session. For oral treatment, Nezavist was dissolved in a vehicle composed of 10% DMSO, 10% Emulphor and 80% distilled water and administered by oral gavage 1 h before the test session, or at longer intervals prior to the test session in order to assess the duration of action of Nezavist.\n\n\n### Operant Alcohol Self‐Administration\nSelf‐administration sessions were conducted in standard operant conditioning chambers (Med Associates, St. Albans, VT). Animals were first trained to self‐administer 10% (w/v) alcohol and water solutions until a stable response was maintained. The rats were subjected to an overnight session in the operant chambers with access to one lever (right lever) that delivered water (FR1). Food was available ad libitum during this training. After 1 day off, the rats were subjected to a 2‐h session (FR1) for 1 day and a 1‐h session (FR1) the next day, with one lever delivering alcohol (right lever). All of the subsequent sessions lasted 30 min, and two levers were available (left lever: water; right lever: alcohol) until stable levels of intake were reached. Upon completion of this procedure, the animals were allowed to self‐administer a 10% (w/v) alcohol solution and water on an FR1 schedule of reinforcement (i.e., each operant response was reinforced with 0.1 mL of the solution).\n\n\n### Alcohol Vapour Exposure\nOnce a stable baseline of alcohol self‐administration was reached, the rats were made dependent by chronic, intermittent exposure to alcohol vapour for 3 weeks. They underwent cycles of 14 h on (blood alcohol levels during vapour exposure ranged between 150 and 250 mg%) and 10 h off, during which time behavioural testing for acute withdrawal occurred (i.e., 6–8 h after vapour was turned off when brain and blood alcohol levels are negligible). In this model, rats exhibit somatic withdrawal signs and negative emotional symptoms reflected by anxiety‐like responses and elevated brain reward thresholds.\n\n\n### Operant Self‐Administration During Alcohol Vapour Exposure\nBehavioural testing occurred three times per week during the 3‐week alcohol vapour exposure period. The rats were tested for alcohol (and water) self‐administration on an FR1 schedule of reinforcement for 30‐min sessions during acute withdrawal (i.e., 6–8 h after termination of vapour exposure). Once escalation of responding for alcohol occurred, animals were treated with drug or vehicle, and alcohol and water self‐administration were measured. Results are reported as number of responses on either the alcohol or water‐associated lever during this session and the responding during the stable baseline prior to alcohol vapour administration. Another group of animals (controls) was treated similarly but was exposed to normal room air containing no alcohol during the 3‐week period in the inhalation chamber. Operant testing was performed with these animals on the same schedule as the alcohol‐treated rats. Operant self‐administration on an FR1 schedule requires minimal effort by the animal to obtain the reinforcement and was considered a measure of voluntary intake.\n\n\n### Statistical Analysis\nData were analysed with one‐ or two‐way ANOVA or t‐test. ANOVAs were followed by the Neuman–Keuls test when appropriate. Statistical significance was set at p < 0.05.\n\n\n### General Phenotyping and Other Alcohol‐Related Behaviours (Animal Models Core Facility, Scripps Research, Dr. Amanda Roberts, Director) and Lohocla Research Corporation/University of Colorado Anschutz Medical Campus\nAll animal work was conducted in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and was approved by the Institutional Animal Care and Use Committee of The Scripps Research Institute (TSRI) or the University of Colorado. In all studies, mice were housed 4/cage and rats were housed 2/cage with ad libitum access to standard laboratory chow and water.\nForty male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this test (10 mice per dose group). The light cycle was 8:00 AM off, 8:00 PM on, with testing done during the dark cycle.\nMice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline) or with 50‐, 200‐ or 500‐mg/kg Nezavist. One hour later, locomotor activity was measured for 30 min. Locomotor activity was measured in polycarbonate cages (42 × 22 × 20 cm) placed into frames (25.5 × 47 cm) mounted with two levels of photocell beams at 2 and 7 cm above the bottom of the cage (San Diego Instruments, San Diego, CA). These two sets of beams allowed for the recording of both horizontal (locomotion) and vertical (rearing) behaviour. A thin layer of bedding material was applied to the bottom of the cage. Data were collected in 1‐min intervals.\nSixty male C57BL/6 J mice (Jackson Labs, ME), 12 weeks old on arrival, were used in this experiment. The mice were housed under reverse light conditions (off 8:00 AM, on 8:00 PM). All testing occurred between 9:00 AM and 1:00 PM.\nMice were randomly assigned to receive vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐ or 150‐mg/kg Nezavist ip 30 min prior to the initiation of testing in two different elevated plus mazes such that there were 10 mice per group (i.e.,10 mice per dose per maze). Both plus‐maze apparatuses have four arms (5 × 30 cm) at right angles to each other, elevated 30 cm from the floor. In both mazes, two opposite arms have no walls (i.e., they are open). The other two arms are either clear (Clear Enclosed Sides) or are opaque black (Dark Enclosed Arms). Controls tested in the Clear Enclosed Sides apparatus spend 35%–40% of their time on the open arms, allowing changes to be detected bidirectionally, whereas mice tested in the original style plus‐maze (Dark Enclosed Arms) typically spend 10%–15% of their time on the open arms, the small percentages making it difficult to detect anxiogenic‐like effects. Both mazes were used in this experiment to optimize the ability to detect both anxiolytic as well as anxiogenic compound effects. Mice were placed on the center of the maze, and behaviour was videorecorded for 5 min. Decreases in % open arm time, calculated as: 100*open arm time/(open arm time + closed arm time), indicate increased anxiety‐like behaviour, while increases indicate anxiolytic‐like behaviour [40]. Total arm entries are a measure of locomotor activity effects [40].\nThis study used 40 male C57BL/6 mice (Jackson Labs), 10 weeks old at arrival, with 10 mice per Nezavist dose group. The study was performed during the dark cycle (8:00 AM to 8:00 PM). Rotarod balancing requires a variety of proprioceptive, vestibular and fine‐tuned motor abilities as well as motor learning capabilities [41]. A Roto‐rod Series 8 apparatus (IITC Life Sciences, Woodland Hills, CA) was used. For training and testing, an accelerating test strategy was used whereby the rod started at 0 rpm and then accelerated by 10 rpm for each additional minute. When an animal dropped onto the individual sensing platforms below the rotating rod, the time from placement on the rotarod (‘latency to fall’) was used to calculate the speed (rpm) at which the mouse could no longer stay on the rotarod. The mice were trained 6 times per day in two sets of three trials, with 1 min between each trial within a set and approximately an hour between each set. For testing, mice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐, 200‐ or 500‐mg/kg Nezavist. The speed at which the animals fell was recorded at 0 min (baseline, predose), 30 min after injection and 120 min after injection (three sessions at each time point).\nSixteen (eight male and eight female) adult Sprague–Dawley rats were used for these experiments. The characteristic behaviour of the test, termed immobility, develops when a rodent is placed in a tank of water for a period of time in which it cannot escape, stops attempting to escape and begins to make only the movements required to balance the body and float with its head above the water [42].\nThe development of immobility is facilitated by a 15‐min pretest administered 24 h before the 5‐min actual test. The latency to become immobile and the duration of immobility decrease when antidepressants are administered between the pretest and the test. Nezavist (50 mg/kg) or vehicle (5% DMSO, 5% Cremophor and 90% physiological saline) was administered by ip injection 90 min prior to the 5‐min test.\nForced swim sessions were conducted by placing the animal individually in a large plastic cylindrical chamber (45 × 20 cm) containing 23°C–25°C water that is approximately 30 cm deep. The water is at a height such that the animal cannot escape or touch the bottom of the chamber. On Day 1, the animal is placed in the cylinder for 15 min. On Day 2, ~24 h later, a 5‐min test is administered. The latency to start floating and the amount of time spent trying to escape are measured. The 5‐min test on Day 2 is video recorded and scored using Noldus Ethovision and/or by an observer that is blind to the animal group or treatment. At the end of the swim session, the animals are towel dried and placed in a clean cage warmed with either a heat lamp or heating pad. The water in the test arena is changed between each subject.\nEighteen male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this study, with six mice in each Nezavist dose group. The light cycle was 8:00 AM on, 8:00 PM off, with testing during the dark cycle. Mice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐ or 200‐mg/kg Nezavist. Thirty minutes later, mice were injected ip with 3.5 g/kg 95% ethanol (20% v/v). At 1 min after ethanol treatment, and every 3 min until recovery, mice were assessed for the righting reflex: the mouse was turned on its back in a v‐shaped apparatus and watched for turning over. If this occurred within 5 s and also occurred in a second immediate test, the mouse was determined to have regained its righting reflex. At this point, retro‐orbital blood sampling took place for determination of blood alcohol level.\nEighteen male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this study, with six mice in each Nezavist dose group. The light cycle was 8:00 AM off, 8:00 PM on, with testing taking place during the dark cycle. For these studies, an accelerating Rotarod test strategy was used, starting at 0 rpm and then accelerating by 10 rpm each minute. The mice were trained six times per day in two sets of three sessions, with 1 min between each trial within a set and 1 h between each set. All mice were capable of staying on the Rotarod for 30 s at 7 rpm, which was chosen for the test. On the test day, mice were tested to confirm that they could remain on the Rotarod for 30 s at 7 rpm and were then injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), or 50‐ or 200‐mg/kg Nezavist. Twenty minutes after Nezavist treatment, mice were tested on the rotarod to confirm that they could stay on the Rotarod for 30 s at 7 rpm. Ten minutes later, mice were injected ip with 1.5 g/kg of 95% ethanol (20% v/v) and were tested again after 1 min and every 3 min until they could again maintain balance for 30 s at 7 rpm. At this point, retro‐orbital blood was obtained for blood alcohol level determination.\nBlood (retro‐orbital) was collected in capillary tubes and emptied into Eppendorf tubes containing evaporated heparin and kept on ice. Samples were centrifuged, and plasma decanted into fresh Eppendorf tubes. The plasma was then injected into an oxygen‐rate alcohol analyser (Analox Instruments, Lunenburg, MA) for blood alcohol determination. Five pairs of ethanol standards (50–300 mg%) were run before the samples.\nForty male C75BL/6 J mice (Jackson Labs; ~10 weeks old at arrival) were used in the (Experiment 1) study of Nezavist and 30 CF‐1 mice were used in the (Experiment 2) study of the Nezavist metabolite, DCUKA, in comparison to morphine (positive control). Animals were housed with a light cycle of 8:00 AM off and 8:00 PM on, and testing occurred during the dark cycle.\nThe place conditioning apparatuses consisted of two connected compartments of equal size (dimensions of entire apparatuses: 44 × 22 × 22 cm) separated by doorways (4 × 4 cm) or closed off from each other completely. Two floor textures that have been generally shown to be equally preferred by C57BL/6 J mice were used such that each chamber had one compartment with each floor type. For the 30‐min baseline pretest (Day 1), mice were allowed to explore both compartments freely. For place conditioning (Days 2–7), mice showing no bias for one compartment in the pretest received drug or vehicle and immediately were confined to one randomly determined chamber for 30 min. On alternate days the treatment was reversed, as was the compartment in which the mouse was placed. This 2‐day sequence was repeated three times for a total of 6 days of injections, three each of drug and saline. Treatment order and the compartment used for drug pairing were counterbalanced. For the test, mice were again allowed to explore both compartments freely with no injections given. The time spent in each compartment (all four paws in) was determined on Days 1 and 8. These tests were videotaped and scored by a technician blinded to treatment conditions.\nIn Experiment 1, at 0 min on each of these days, animals were injected (ip) with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐, 100‐ or 200‐mg/kg Nezavist (n = 10 animals/group). In Experiment 2, at 0 min on each of these days, animals were injected (ip) with morphine (10 mg/kg) or DCUKA (50 or 150 mg/kg). Fifteen minutes after dosing, animals were placed in the appropriate side of the place conditioning box for 30 min. On Day 8, animals underwent 30‐min place conditioning testing with no injection.\nData were analysed by ANOVA and Fishers PLSD post hoc tests.\n\n\n### Locomotor Activity (Mice) (TSRI)\nForty male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this test (10 mice per dose group). The light cycle was 8:00 AM off, 8:00 PM on, with testing done during the dark cycle.\nMice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline) or with 50‐, 200‐ or 500‐mg/kg Nezavist. One hour later, locomotor activity was measured for 30 min. Locomotor activity was measured in polycarbonate cages (42 × 22 × 20 cm) placed into frames (25.5 × 47 cm) mounted with two levels of photocell beams at 2 and 7 cm above the bottom of the cage (San Diego Instruments, San Diego, CA). These two sets of beams allowed for the recording of both horizontal (locomotion) and vertical (rearing) behaviour. A thin layer of bedding material was applied to the bottom of the cage. Data were collected in 1‐min intervals.\n\n\n### Elevated plus Maze (Anxiety) (Mice) (TSRI)\nSixty male C57BL/6 J mice (Jackson Labs, ME), 12 weeks old on arrival, were used in this experiment. The mice were housed under reverse light conditions (off 8:00 AM, on 8:00 PM). All testing occurred between 9:00 AM and 1:00 PM.\nMice were randomly assigned to receive vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐ or 150‐mg/kg Nezavist ip 30 min prior to the initiation of testing in two different elevated plus mazes such that there were 10 mice per group (i.e.,10 mice per dose per maze). Both plus‐maze apparatuses have four arms (5 × 30 cm) at right angles to each other, elevated 30 cm from the floor. In both mazes, two opposite arms have no walls (i.e., they are open). The other two arms are either clear (Clear Enclosed Sides) or are opaque black (Dark Enclosed Arms). Controls tested in the Clear Enclosed Sides apparatus spend 35%–40% of their time on the open arms, allowing changes to be detected bidirectionally, whereas mice tested in the original style plus‐maze (Dark Enclosed Arms) typically spend 10%–15% of their time on the open arms, the small percentages making it difficult to detect anxiogenic‐like effects. Both mazes were used in this experiment to optimize the ability to detect both anxiolytic as well as anxiogenic compound effects. Mice were placed on the center of the maze, and behaviour was videorecorded for 5 min. Decreases in % open arm time, calculated as: 100*open arm time/(open arm time + closed arm time), indicate increased anxiety‐like behaviour, while increases indicate anxiolytic‐like behaviour [40]. Total arm entries are a measure of locomotor activity effects [40].\n\n\n### Incoordination (Rotarod) (Mice) (TSRI)\nThis study used 40 male C57BL/6 mice (Jackson Labs), 10 weeks old at arrival, with 10 mice per Nezavist dose group. The study was performed during the dark cycle (8:00 AM to 8:00 PM). Rotarod balancing requires a variety of proprioceptive, vestibular and fine‐tuned motor abilities as well as motor learning capabilities [41]. A Roto‐rod Series 8 apparatus (IITC Life Sciences, Woodland Hills, CA) was used. For training and testing, an accelerating test strategy was used whereby the rod started at 0 rpm and then accelerated by 10 rpm for each additional minute. When an animal dropped onto the individual sensing platforms below the rotating rod, the time from placement on the rotarod (‘latency to fall’) was used to calculate the speed (rpm) at which the mouse could no longer stay on the rotarod. The mice were trained 6 times per day in two sets of three trials, with 1 min between each trial within a set and approximately an hour between each set. For testing, mice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐, 200‐ or 500‐mg/kg Nezavist. The speed at which the animals fell was recorded at 0 min (baseline, predose), 30 min after injection and 120 min after injection (three sessions at each time point).\n\n\n### Forced Swim Test (Rats) (Lohocla Research Corporation; University of Colorado)\nSixteen (eight male and eight female) adult Sprague–Dawley rats were used for these experiments. The characteristic behaviour of the test, termed immobility, develops when a rodent is placed in a tank of water for a period of time in which it cannot escape, stops attempting to escape and begins to make only the movements required to balance the body and float with its head above the water [42].\nThe development of immobility is facilitated by a 15‐min pretest administered 24 h before the 5‐min actual test. The latency to become immobile and the duration of immobility decrease when antidepressants are administered between the pretest and the test. Nezavist (50 mg/kg) or vehicle (5% DMSO, 5% Cremophor and 90% physiological saline) was administered by ip injection 90 min prior to the 5‐min test.\nForced swim sessions were conducted by placing the animal individually in a large plastic cylindrical chamber (45 × 20 cm) containing 23°C–25°C water that is approximately 30 cm deep. The water is at a height such that the animal cannot escape or touch the bottom of the chamber. On Day 1, the animal is placed in the cylinder for 15 min. On Day 2, ~24 h later, a 5‐min test is administered. The latency to start floating and the amount of time spent trying to escape are measured. The 5‐min test on Day 2 is video recorded and scored using Noldus Ethovision and/or by an observer that is blind to the animal group or treatment. At the end of the swim session, the animals are towel dried and placed in a clean cage warmed with either a heat lamp or heating pad. The water in the test arena is changed between each subject.\n\n\n### Interaction With Ethanol (Alcohol) (Loss of Righting Reflex) (Mice) (TSRI)\nEighteen male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this study, with six mice in each Nezavist dose group. The light cycle was 8:00 AM on, 8:00 PM off, with testing during the dark cycle. Mice were injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐ or 200‐mg/kg Nezavist. Thirty minutes later, mice were injected ip with 3.5 g/kg 95% ethanol (20% v/v). At 1 min after ethanol treatment, and every 3 min until recovery, mice were assessed for the righting reflex: the mouse was turned on its back in a v‐shaped apparatus and watched for turning over. If this occurred within 5 s and also occurred in a second immediate test, the mouse was determined to have regained its righting reflex. At this point, retro‐orbital blood sampling took place for determination of blood alcohol level.\n\n\n### Interaction With Ethanol (Alcohol) (Incoordination) (Mice) (TSRI)\nEighteen male C57BL/6 J mice (Jackson Labs), 10 weeks old at arrival, were used for this study, with six mice in each Nezavist dose group. The light cycle was 8:00 AM off, 8:00 PM on, with testing taking place during the dark cycle. For these studies, an accelerating Rotarod test strategy was used, starting at 0 rpm and then accelerating by 10 rpm each minute. The mice were trained six times per day in two sets of three sessions, with 1 min between each trial within a set and 1 h between each set. All mice were capable of staying on the Rotarod for 30 s at 7 rpm, which was chosen for the test. On the test day, mice were tested to confirm that they could remain on the Rotarod for 30 s at 7 rpm and were then injected ip with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), or 50‐ or 200‐mg/kg Nezavist. Twenty minutes after Nezavist treatment, mice were tested on the rotarod to confirm that they could stay on the Rotarod for 30 s at 7 rpm. Ten minutes later, mice were injected ip with 1.5 g/kg of 95% ethanol (20% v/v) and were tested again after 1 min and every 3 min until they could again maintain balance for 30 s at 7 rpm. At this point, retro‐orbital blood was obtained for blood alcohol level determination.\n\n\n### Measurement of Blood Alcohol (Ethanol) Levels (Mice) (TSRI)\nBlood (retro‐orbital) was collected in capillary tubes and emptied into Eppendorf tubes containing evaporated heparin and kept on ice. Samples were centrifuged, and plasma decanted into fresh Eppendorf tubes. The plasma was then injected into an oxygen‐rate alcohol analyser (Analox Instruments, Lunenburg, MA) for blood alcohol determination. Five pairs of ethanol standards (50–300 mg%) were run before the samples.\n\n\n### Conditioned Place Preference (Mice) (TSRI)\nForty male C75BL/6 J mice (Jackson Labs; ~10 weeks old at arrival) were used in the (Experiment 1) study of Nezavist and 30 CF‐1 mice were used in the (Experiment 2) study of the Nezavist metabolite, DCUKA, in comparison to morphine (positive control). Animals were housed with a light cycle of 8:00 AM off and 8:00 PM on, and testing occurred during the dark cycle.\nThe place conditioning apparatuses consisted of two connected compartments of equal size (dimensions of entire apparatuses: 44 × 22 × 22 cm) separated by doorways (4 × 4 cm) or closed off from each other completely. Two floor textures that have been generally shown to be equally preferred by C57BL/6 J mice were used such that each chamber had one compartment with each floor type. For the 30‐min baseline pretest (Day 1), mice were allowed to explore both compartments freely. For place conditioning (Days 2–7), mice showing no bias for one compartment in the pretest received drug or vehicle and immediately were confined to one randomly determined chamber for 30 min. On alternate days the treatment was reversed, as was the compartment in which the mouse was placed. This 2‐day sequence was repeated three times for a total of 6 days of injections, three each of drug and saline. Treatment order and the compartment used for drug pairing were counterbalanced. For the test, mice were again allowed to explore both compartments freely with no injections given. The time spent in each compartment (all four paws in) was determined on Days 1 and 8. These tests were videotaped and scored by a technician blinded to treatment conditions.\nIn Experiment 1, at 0 min on each of these days, animals were injected (ip) with vehicle (5% DMSO, 5% Cremophor, 90% physiological saline), 50‐, 100‐ or 200‐mg/kg Nezavist (n = 10 animals/group). In Experiment 2, at 0 min on each of these days, animals were injected (ip) with morphine (10 mg/kg) or DCUKA (50 or 150 mg/kg). Fifteen minutes after dosing, animals were placed in the appropriate side of the place conditioning box for 30 min. On Day 8, animals underwent 30‐min place conditioning testing with no injection.\n\n\n### Statistical Analysis\nData were analysed by ANOVA and Fishers PLSD post hoc tests.\n\n\n### Pharmacokinetic Studies of Nezavist and Its Initial and Primary Metabolite DCUKA in Rats\nAll studies were performed in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and were approved by the Institutional Animal Care and Use Committee of Preclinical Research Services. Several experiments were performed to evaluate concentrations of Nezavist in the blood and brain. In the first experiment, adult male Sprague–Dawley rats (six per group) were injected ip with Nezavist in a vehicle of 5% DMSO, 5% Kolliphor EL and 90% physiological saline. One group received a single dose of 50 mg/kg of Nezavist; a second group received three doses of 50 mg/kg at 2‐h intervals; a third group received a single dose of 400 mg/kg of Nezavist. Blood samples were obtained predose and at 15, 30, 60, 90, 120, 150, 180, 210, 240 and 300 min after dosing (after the last dose when multiple doses were given). Animals were euthanized and brains were collected at the last time point for blood collection as described below. In a second experiment, groups of male Sprague–Dawley rats (nine per group) were treated with a 50‐mg/kg single dose of Nezavist or 3 × 50 mg/kg dose of Nezavist ip as above. Brains were collected as described below (three animals per group per time point) at 1, 2 or 3 h after dosing. Blood and brains were collected 1, 2.5 and 5 h (four animals per time point) after Nezavist administration, as described below. In all experiments, whole blood was collected from animals via the jugular vein and stored in microtainer blood collection tubes containing lithium heparin as the anticoagulant at −70°C. For brain collection, animals were euthanized by CO2 inhalation and whole brains were removed, snap frozen and stored at −70°C. Prior to quantification, brain samples were homogenized with water to achieve a final protein concentration of 100 mg/mL.\nNezavist and DCUKA (the initial and primary metabolite of Nezavist) concentrations in whole blood and brain were quantified by liquid chromatography‐tandem mass spectrometry (LC–MS/MS) using DCUK‐OMe as internal standard. For whole blood samples, the lower limit of quantitation was 1 ng/mL for Nezavist and 5 ng/mL for DCUKA. For rat brain, the lower limit of quantitation was 5 and 10 ng/g for Nezavist and DCUKA, respectively.\nAll studies were performed in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and were approved by the CRL Institutional Animal Care and Use Committee. Male Cesarian Derived (Sprague–Dawley) rats fitted with indwelling jugular vein catheters (JVC), 226–250 g upon arrival were orally administered 50‐ or 150‐mg/kg Nezavist prepared in a vehicle of 5% DMSO, 5% Emulphor and 90% sterile water.\nFollowing Nezavist administration, whole blood was collected at 30‐, 60‐, 90‐ and 120‐min postdose and stored in NaF (anticoagulant) collection tubes. After whole blood collection, animals were humanely euthanized and liver, and brain tissues were collected at 30, 60 and 120‐min (n = 3 animals per time point), mixed with NaF and homogenized. Nezavist and DCUKA concentrations in whole blood and tissue (liver and brain) were quantified by LC–MS/MS using deuterated internal standard. The lower limit of quantitation (LLOQ) for Nezavist in whole blood, liver and brain was 1.00 ng/mL, 3.00 ng/g and 7.50 ng/g, respectively. DCUKA concentrations were determined through back calculation against the Nezavist curve.\nStatistical analyses including regression analysis and descriptive statistics including arithmetic means and standard deviations, accuracy and precision were performed using Analyst v1.6.2 from MDS Sciex and Microsoft Excel.\nAnimal usage was reviewed and approved by the PCRS Institutional Animal Care and Use Committee for compliance with regulations prior to study start. Animal welfare for this study was in compliance with The USDA Animal Welfare Act and The Guide for the Care and Use of Laboratory Animals and the American Veterinary Medical Association (AVMA) Guidelines for Euthanasia. Male Wistar rats, age‐matched with a body weight of 268.23–305.85 g at the time of dosing, were used for this study. Rats were orally administered 250 mg/kg of Nezavist in a 20% loading Nezavist: HPMCAS‐MG spray‐dried dispersion in HPMC suspension.\nPK blood samples were collected t predose and at 0.25‐, 0.5‐,1‐, 1.5‐, 2‐, 4‐, 8‐ and 12‐h postdose. Blood (200 μL) was collected into NaF lined microtubes (RAM Scientific, 200‐μL Sodium Fluoride Capillary Collection Tubes, Item 07 7340) via the capillary tube attached to the cap. The filled microtubes were inverted several times to allow the mixing of the NaF with the whole blood. The blood samples were centrifuged at 2°C–8°C for 10 min at approximately 3000 rpm. Plasma was then harvested and stored in labelled cryovials. The samples were stored at −70°C until shipment to Sekisui XenoTech LLC, where Nezavist and DCUKA concentrations in plasma were quantified by LC–MS/MS using deuterated internal standard.\n\n\n### Measurement of Blood and Brain Nezavist and DCUKA Levels (Lohocla Research Corporation Contract with Preclinical Research Services, Fort Collins CO and University of Colorado Cancer Center Pharmacology Shared Resource, Colorado State University, Fort Collins, CO)\nAll studies were performed in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and were approved by the Institutional Animal Care and Use Committee of Preclinical Research Services. Several experiments were performed to evaluate concentrations of Nezavist in the blood and brain. In the first experiment, adult male Sprague–Dawley rats (six per group) were injected ip with Nezavist in a vehicle of 5% DMSO, 5% Kolliphor EL and 90% physiological saline. One group received a single dose of 50 mg/kg of Nezavist; a second group received three doses of 50 mg/kg at 2‐h intervals; a third group received a single dose of 400 mg/kg of Nezavist. Blood samples were obtained predose and at 15, 30, 60, 90, 120, 150, 180, 210, 240 and 300 min after dosing (after the last dose when multiple doses were given). Animals were euthanized and brains were collected at the last time point for blood collection as described below. In a second experiment, groups of male Sprague–Dawley rats (nine per group) were treated with a 50‐mg/kg single dose of Nezavist or 3 × 50 mg/kg dose of Nezavist ip as above. Brains were collected as described below (three animals per group per time point) at 1, 2 or 3 h after dosing. Blood and brains were collected 1, 2.5 and 5 h (four animals per time point) after Nezavist administration, as described below. In all experiments, whole blood was collected from animals via the jugular vein and stored in microtainer blood collection tubes containing lithium heparin as the anticoagulant at −70°C. For brain collection, animals were euthanized by CO2 inhalation and whole brains were removed, snap frozen and stored at −70°C. Prior to quantification, brain samples were homogenized with water to achieve a final protein concentration of 100 mg/mL.\nNezavist and DCUKA (the initial and primary metabolite of Nezavist) concentrations in whole blood and brain were quantified by liquid chromatography‐tandem mass spectrometry (LC–MS/MS) using DCUK‐OMe as internal standard. For whole blood samples, the lower limit of quantitation was 1 ng/mL for Nezavist and 5 ng/mL for DCUKA. For rat brain, the lower limit of quantitation was 5 and 10 ng/g for Nezavist and DCUKA, respectively.\n\n\n### Additional Measures of Blood and Tissue Nezavist and DCUKA Levels in Rats (Lohocla Research Corporation Contract With Charles River Laboratories (CRL))\nAll studies were performed in accordance with the guidelines of the American Association for the Accreditation of Laboratory Animal Care and were approved by the CRL Institutional Animal Care and Use Committee. Male Cesarian Derived (Sprague–Dawley) rats fitted with indwelling jugular vein catheters (JVC), 226–250 g upon arrival were orally administered 50‐ or 150‐mg/kg Nezavist prepared in a vehicle of 5% DMSO, 5% Emulphor and 90% sterile water.\nFollowing Nezavist administration, whole blood was collected at 30‐, 60‐, 90‐ and 120‐min postdose and stored in NaF (anticoagulant) collection tubes. After whole blood collection, animals were humanely euthanized and liver, and brain tissues were collected at 30, 60 and 120‐min (n = 3 animals per time point), mixed with NaF and homogenized. Nezavist and DCUKA concentrations in whole blood and tissue (liver and brain) were quantified by LC–MS/MS using deuterated internal standard. The lower limit of quantitation (LLOQ) for Nezavist in whole blood, liver and brain was 1.00 ng/mL, 3.00 ng/g and 7.50 ng/g, respectively. DCUKA concentrations were determined through back calculation against the Nezavist curve.\nStatistical analyses including regression analysis and descriptive statistics including arithmetic means and standard deviations, accuracy and precision were performed using Analyst v1.6.2 from MDS Sciex and Microsoft Excel.\n\n\n### Measures of Plasma Nezavist and DCUKA Levels After Administration of Nezavist Spray‐Dried Dispersion (SDD) in Rats (Lohocla Research Corporation Contracts With PreClinical Research Services Inc. (PCRS) and Sekisui XenoTech LLC)\nAnimal usage was reviewed and approved by the PCRS Institutional Animal Care and Use Committee for compliance with regulations prior to study start. Animal welfare for this study was in compliance with The USDA Animal Welfare Act and The Guide for the Care and Use of Laboratory Animals and the American Veterinary Medical Association (AVMA) Guidelines for Euthanasia. Male Wistar rats, age‐matched with a body weight of 268.23–305.85 g at the time of dosing, were used for this study. Rats were orally administered 250 mg/kg of Nezavist in a 20% loading Nezavist: HPMCAS‐MG spray‐dried dispersion in HPMC suspension.\nPK blood samples were collected t predose and at 0.25‐, 0.5‐,1‐, 1.5‐, 2‐, 4‐, 8‐ and 12‐h postdose. Blood (200 μL) was collected into NaF lined microtubes (RAM Scientific, 200‐μL Sodium Fluoride Capillary Collection Tubes, Item 07 7340) via the capillary tube attached to the cap. The filled microtubes were inverted several times to allow the mixing of the NaF with the whole blood. The blood samples were centrifuged at 2°C–8°C for 10 min at approximately 3000 rpm. Plasma was then harvested and stored in labelled cryovials. The samples were stored at −70°C until shipment to Sekisui XenoTech LLC, where Nezavist and DCUKA concentrations in plasma were quantified by LC–MS/MS using deuterated internal standard.\n\n\n### Effect of Nezavist on Intestinal Motility (Laboratory of Dr. Jerome Swinny, University of Portsmouth, UK)\nAll animal procedures were approved by the Animal Welfare and Ethics Board of the University of Portsmouth and were performed in accordance with the Animal (Scientific Procedures) Act,1966 (UK).\nNezavist was dissolved in dimethyl sulfoxide (DMSO). The final concentration of DMSO in the bath had no effect on the amplitude or frequency of spontaneous muscle contraction. Concentrations of Nezavist ranged from 300 nM to 100 μM.\nThe effect of Nezavist on the mouse ileum and colon was examined by previously described methods [43, 44]. Male C57BL/6 mice were obtained from the University of Portsmouth Bioresource Center and had ad libitum access to standard chow and water. Mice were euthanized by cervical dislocation and segments of the intestine (ileum and distal colon) were collected from mice, placed in physiological solution containing (in mM) NaCl 140, NaHCO3 11.9, D + glucose 5.6, KCl 2.7, MgCl2.6H2O 1.05, NaH2PO4.2H2O 0.5, CaCl2 1.8 and warmed to 32°C. Intraluminal contents were removed by gentle flushing with physiological solution. Approximately 2‐cm‐long segments were mounted in a Harvard organ bath (10‐mL chamber) filled with the physiological solution bubbled with 95% O2/5% CO2 gas. Contractile activity for each intestinal tissue strip was recorded using an isometric force transducer. The tissue was placed under 1 g of resting tension and allowed to equilibrate for 30 min. Baseline measurements were used to quantify the force of basal tone. After a stable baseline was established, Nezavist was added to the bath, and the tissue was allowed to reach maximum response. Ten‐minute epochs before and after the drug additions were used for quantification of the drug‐induced changes in the force and frequency of spontaneous contractions. One piece of tissue was used per animal (n = 5 animals/condition). The frequency and amplitude (force) of individual spontaneous contractions were determined before and after the drug exposure.\nData were analysed by ANOVA and Tukey post hoc testing.\n\n\n### Statistical Analysis\nData were analysed by ANOVA and Tukey post hoc testing.\n\n\n### Effect of Nezavist on Vagal Firing (Laboratory of Dr. Wolfgang Kunze, McMaster University, Ontario, Canada)\nThe experiments on the effects of Nezavist on vagal nerve activity were performed using methods described in detail in West et al. [45]. All experiments were carried out in accordance with the guidelines of the Canadian Council on Animal Care and ARRIVE Guidelines and were approved by the McMaster University Animal Research Ethics Board.\nNezavist was dissolved in DMSO to make a stock solution. The stock solution was diluted in Krebs buffer (118‐mM NaCl, 4.8‐mM KCl, 25‐mM NaHCO3, 1.0 NaH2PO4, 1.2‐mM MgSO4, 11.1‐mM glucose and 2.5‐mM CaCl2 bubbled with 95% O2–5% CO2 (‘carbogen’)) to concentrations of either 10‐ or 100‐μM Nezavist. The final concentration of DMSO was ≤ 1%, which had no effect on vagal nerve firing.\nAdult male C57BL/6 mice were obtained from Charles River (Montreal) and had ad libitum access to standard chow and water. Mice were euthanized by cervical dislocation. Segments of the jejunum were collected with an attached mesenteric arcade containing a neuromuscular bundle and placed in Krebs buffer. An ex vivo mouse intestinal segment perfusion preparation was used to record afferent single unit vagal activity [46, 47, 48] (Figure 10A) before and after exposure of the gut lumen to Nezavist or Krebs buffer. The gut segment was placed onto the stage of an inverted microscope and the lumen gravity perfused at 1 mL/min with room temperature (22°C) carbogenated Krebs or Krebs plus one of the luminal additives using several Mariotte bottles. The serosal compartment was separately perfused at 5 mL/min with Krebs solution to which 3‐μM nicardipine had been added to isolate vagal chemosensory responses by preventing active muscle contractions but not vagal responses to gut distension.\nTo record afferent vagal nerve activity, the cleaned nerve from the tissue segment was sucked into a glass recording pipette that was attached to a patch‐clamp electrode holder and extracellular nerve recordings were made by running pClamp software using a Multi‐Clamp 700B amplifier and Digidata 1440A signal converter (Molecular Devices, LLC. 3860 N First Street San Jose, CA 95134). Baseline recordings in the gut lumen were performed for 15 min with Krebs buffer. Following this, the luminal perfusate was switched for 40 min to one containing Krebs buffer with Nezavist added (either 1, 10 or 100 μM). The effects of GABAA receptor antagonists (50‐μM picrotoxin or bicuculline) or the nicotinic cholinergic antagonist, mecamylamine (50 μM) on the response to 100‐μM Nezavist were also determined. Then the perfusate was again switched to Krebs buffer and recording continued for 30 min. Single units (belonging to an individual vagal fibre) were discriminated by their action potential shape, amplitude and width in response to cholecystokinin, using a dedicated programme for extracellular single unit action potential analysis (Dataview written by Dr. W. J. Heitler, School of Psychology and Neuroscience, University of St Andrews Scotland, UK). Single unit events were subdivided into vehicle (Krebs) and treatment periods, and for each event, mean interspike intervals (MII) were recorded. In some experiments, comparing the effects of diazepam, cholecystokinin (CCK) or ethanol to Nezavist, other parameters (gap duration [GD], burst duration [BD] and intraburst interval [IBI]) were also recorded [45].\nMII in the presence of Krebs (vehicle) or drugs were compared by paired t‐test. MII paired differences (drug MII response—Krebs MII response) were compared by effect size as given by the partial eta squared statistic (η2p) between concentrations of Nezavist. For interpreting η2p, 0.01 indicates a small, 0.06 a medium and 0.14 a large effect size. Fractional differences ((Treatment‐Krebs)/Krebs) were compared by unpaired t‐test.\n\n\n### Statistical Analysis\nMII in the presence of Krebs (vehicle) or drugs were compared by paired t‐test. MII paired differences (drug MII response—Krebs MII response) were compared by effect size as given by the partial eta squared statistic (η2p) between concentrations of Nezavist. For interpreting η2p, 0.01 indicates a small, 0.06 a medium and 0.14 a large effect size. Fractional differences ((Treatment‐Krebs)/Krebs) were compared by unpaired t‐test.\n\n\n### Effect of Nezavist on c‐Fos Levels in Rat Nucleus Tractus Solitarius (NTS) (Laboratory of Drs. Howard Becker and Christina LeBonville, Medical University of South Carolina, Charleston, South Carolina)\nAll animal procedures were approved and facilities inspected by the Medical University of South Carolina (MUSC) Institutional Animal Care and Use Committee (IACUC) in accordance with the guidelines established by the US National Research Council.\nAdult male C57BL/6 J mice (N = 80, 9 weeks old) were purchased from Jackson Laboratories (JAX Stock #000664, Bar Habor, ME). Mice were singly housed with ad libitum access to food and water under a 12‐h light/dark cycle (light on at 02:00, off at 14:00). All experimentation occurred during the light part of the light/dark cycle. Mice were first treated with an intraperitoneal (ip) injection of lipopolysaccharide (LPS; 1 mg/kg) or vehicle followed 30 min later by an ip injection of Nezavist (100 mg/kg) or placebo. Mice were sacrificed at two time points, 90‐ and 150‐min post‐Nezavist/placebo administration. Thus, this study produced eight groups, based on a 2 (Drug or Placebo) × 2 (LPS or Vehicle) × 2 (90 or 150 min) factorial design, with 10 mice per group. Mice were run in four cohorts spread across 4 days (within 2 weeks), with groups divided equally across days. Of the 80 brains collected, 21 were lost due to technical issues with tissue processing or imaging. The final data, therefore, were from N = 59 mice (4–10 per group).\nLipopolysaccharide (LPS) was obtained from Sigma‐Aldrich (L3024, \nEscherichia coli\n serotype O111:B4), dissolved in 0.9% sterile saline to a 5‐mg/mL concentration and stored as 1‐mL aliquots at −80°C until use. One day prior to experimentation, frozen LPS aliquots were thawed, diluted 1:10 with saline to a working 0.1‐mg/mL solution and stored at 4°C overnight. The working LPS solution was allowed to come to room temperature for ip injection (10 mL/kg) of a 1‐mg/kg dose. Sterile saline ip injections (10 mL/kg) were given to vehicle control groups. Nezavist powder was supplied by Lohocla Research Corporation (Aurora, CO, USA). Immediately before experimentation, 150 mg of Nezavist was dissolved in 1.5 mL 100% DMSO (Sigma‐Aldrich). Then 1.5 mL of Cremophor EL (Calbiochem, USA) was added and the solution was diluted to 30 mL with double‐distilled water for a final 5‐mg/mL Nezavist suspension in 5% DMSO and 5% Cremophor. The working Nezavist suspension was vortexed just before drawing up each syringe for ip injection in a 20‐mL/kg volume. The final dose of Nezavist administered was therefore 100 mg/kg. Placebo groups received ip injections (20 mL/kg) of 5% DMSO and 5% Cremophor in double‐distilled water.\nAt either 90 or 150 min after Nezavist/placebo treatment, mice were deeply anaesthetized with urethane (1.5 mg/kg, ip) and then transcardially perfused for 2‐min with 1X phosphate‐buffered saline (PBS; pH 7.4) and then for 3 min with 4% formaldehyde (paraformaldehyde dissolved in 1X PBS) at a 25‐mL/min flow rate. Brains were removed, postfixed in 4% formaldehyde overnight at 4°C and then placed into 30% (w/v) sucrose until fully saturated (sunk to the bottom of tube) prior to flash freezing in a 2‐methylbutane dry ice bath. Frozen brains were stored at −80°C in aluminium foil until sectioned. Coronal sections (40 μm) were cut on a cryostat (Microm/Thermo Fisher Scientific, HM525, Waltham, MA USA) and collected into cryopreserve solution (1% (w/v) polyvinylpyrrolidone (PVP, MilliporeSigma, Burlington, MA, USA) and 50% (v/v) ethylene glycol (ThermoFisher Scientific) in 1X PBS) for −20°C storage prior to staining. c‐Fos immunohistochemistry was carried out on free‐floating sections in staining nets (Brain Research Laboratories) balanced across all independent variables. All incubations and rinses took place at room temperature on an orbital shaker. After rinsing stored tissue, sections were first placed into 0.3% H2O2 for 15 min to quench endogenous peroxidases, followed by blocking in 5% normal goat serum in 1X PBS with 0.3% TritonX‐100 (PBST) for 1 h. Sections were washed in 1X PBST between all steps, with the exception of the final washes which were in PBS. Primary antibody (1:4000 guinea pig anti‐c‐Fos, Synaptic Systems, 266 308) diluted in blocking solution was incubated with tissue overnight. Sections were then incubated in goat antiguinea pig biotin‐conjugated secondary antibody (1:1000, Jackson Immuno Research, 106‐065‐003) for 1 h and ABC‐HRP (Vector Elite Kit, Vector Laboratories Inc., Newark, CA, USA) as directed for 45 min. The reaction was visualized via incubation for 5 min in 0.05% 3,3′‐diaminobenzidine (DAB), 0.05% nickel ammonium sulphate and 0.0015% H2O2. The tissue was then mounted onto Superfrost Plus slides (Thermo Fisher Scientific), dried and counterstained with Gill's haematoxylin No. 1 (MilliporeSigma, GHS132). Slides were coverslipped using Permount mounting medium (Thermo Fisher Scientific).\nBrightfield images were captured at 20X magnification using a ZEISS epifluorescence microscope (Axioscope 5, ZEISS AG, Oberkochen, Germany). c‐Fos‐positive neurons were counted bilaterally from sections taken across the anterior–posterior axis of the NTS from AP coordinates −6.48 to −7.72 mm relative to bregma [49]. Fos‐positive nuclei were manually labelled across the entire image using the multi‐point tool and counted using the measure feature in ImageJ software [50]. Labelling, counting and image quality control were conducted blind to treatment groups. Images were classified as either anterior or posterior based on the appearance of the area postrema (approximately AP −7.32 mm). NTS rostral to the level of the area postrema was classified as anterior NTS, while posterior NTS coincided with the area postrema. One image was removed from the final dataset due to being a statistically significant upper outlier (Grubbs Test, p < 0.0001) whose count was more than 100 cells away from the nearest data point. The final dataset consisted of 526 images, 1–18 images per subject.\nSince there were different amounts of images from each subject, the c‐Fos‐positive cell counts were analysed using a linear mixed model with LPS/Vehicle (Drug 1), Nezavist/Placebo (Drug 2) and rostral/caudal (Position) as fixed factors and mouse as a random intercept. Linear mixed models are designed to account for repeated measures even with missing data or unbalanced designs [51] and, thus, were the optimal statistical approach with these data. Helmert contrasts were used for modelling, so while all factors only had two levels, this ensured the contrasts were centred. All tests were performed using Restricted Maximum Likelihood (REML) estimation in R [52] with custom scripts (available upon request), the ‘lme4’ package [35] and guidance from West et al. [51]. Significant interactions were probed with multiple‐comparison adjusted post hoc tests using ‘emmeans’ and ‘stats’ R packages [36, 52]. Final models were evaluated for multicollinearity using generalized variance‐inflation factors (GVIFs) from the ‘car’ R package [53] where GVIFs < 5 were considered to have no issues (all GVIFs were < 2). Degrees of freedom for t‐statistics were estimated with the R package ‘lmerTest’ [54] using Satterthwaite approximations, which produce acceptable Type I error rates [55]. Data were visualized using R package ‘ggplot2’ [56] with numerous add‐on packages.\n\n\n### Animals and Final Group Sizes\nAll animal procedures were approved and facilities inspected by the Medical University of South Carolina (MUSC) Institutional Animal Care and Use Committee (IACUC) in accordance with the guidelines established by the US National Research Council.\nAdult male C57BL/6 J mice (N = 80, 9 weeks old) were purchased from Jackson Laboratories (JAX Stock #000664, Bar Habor, ME). Mice were singly housed with ad libitum access to food and water under a 12‐h light/dark cycle (light on at 02:00, off at 14:00). All experimentation occurred during the light part of the light/dark cycle. Mice were first treated with an intraperitoneal (ip) injection of lipopolysaccharide (LPS; 1 mg/kg) or vehicle followed 30 min later by an ip injection of Nezavist (100 mg/kg) or placebo. Mice were sacrificed at two time points, 90‐ and 150‐min post‐Nezavist/placebo administration. Thus, this study produced eight groups, based on a 2 (Drug or Placebo) × 2 (LPS or Vehicle) × 2 (90 or 150 min) factorial design, with 10 mice per group. Mice were run in four cohorts spread across 4 days (within 2 weeks), with groups divided equally across days. Of the 80 brains collected, 21 were lost due to technical issues with tissue processing or imaging. The final data, therefore, were from N = 59 mice (4–10 per group).\n\n\n### Drugs\nLipopolysaccharide (LPS) was obtained from Sigma‐Aldrich (L3024, \nEscherichia coli\n serotype O111:B4), dissolved in 0.9% sterile saline to a 5‐mg/mL concentration and stored as 1‐mL aliquots at −80°C until use. One day prior to experimentation, frozen LPS aliquots were thawed, diluted 1:10 with saline to a working 0.1‐mg/mL solution and stored at 4°C overnight. The working LPS solution was allowed to come to room temperature for ip injection (10 mL/kg) of a 1‐mg/kg dose. Sterile saline ip injections (10 mL/kg) were given to vehicle control groups. Nezavist powder was supplied by Lohocla Research Corporation (Aurora, CO, USA). Immediately before experimentation, 150 mg of Nezavist was dissolved in 1.5 mL 100% DMSO (Sigma‐Aldrich). Then 1.5 mL of Cremophor EL (Calbiochem, USA) was added and the solution was diluted to 30 mL with double‐distilled water for a final 5‐mg/mL Nezavist suspension in 5% DMSO and 5% Cremophor. The working Nezavist suspension was vortexed just before drawing up each syringe for ip injection in a 20‐mL/kg volume. The final dose of Nezavist administered was therefore 100 mg/kg. Placebo groups received ip injections (20 mL/kg) of 5% DMSO and 5% Cremophor in double‐distilled water.\n\n\n### c‐Fos Immunohistochemistry\nAt either 90 or 150 min after Nezavist/placebo treatment, mice were deeply anaesthetized with urethane (1.5 mg/kg, ip) and then transcardially perfused for 2‐min with 1X phosphate‐buffered saline (PBS; pH 7.4) and then for 3 min with 4% formaldehyde (paraformaldehyde dissolved in 1X PBS) at a 25‐mL/min flow rate. Brains were removed, postfixed in 4% formaldehyde overnight at 4°C and then placed into 30% (w/v) sucrose until fully saturated (sunk to the bottom of tube) prior to flash freezing in a 2‐methylbutane dry ice bath. Frozen brains were stored at −80°C in aluminium foil until sectioned. Coronal sections (40 μm) were cut on a cryostat (Microm/Thermo Fisher Scientific, HM525, Waltham, MA USA) and collected into cryopreserve solution (1% (w/v) polyvinylpyrrolidone (PVP, MilliporeSigma, Burlington, MA, USA) and 50% (v/v) ethylene glycol (ThermoFisher Scientific) in 1X PBS) for −20°C storage prior to staining. c‐Fos immunohistochemistry was carried out on free‐floating sections in staining nets (Brain Research Laboratories) balanced across all independent variables. All incubations and rinses took place at room temperature on an orbital shaker. After rinsing stored tissue, sections were first placed into 0.3% H2O2 for 15 min to quench endogenous peroxidases, followed by blocking in 5% normal goat serum in 1X PBS with 0.3% TritonX‐100 (PBST) for 1 h. Sections were washed in 1X PBST between all steps, with the exception of the final washes which were in PBS. Primary antibody (1:4000 guinea pig anti‐c‐Fos, Synaptic Systems, 266 308) diluted in blocking solution was incubated with tissue overnight. Sections were then incubated in goat antiguinea pig biotin‐conjugated secondary antibody (1:1000, Jackson Immuno Research, 106‐065‐003) for 1 h and ABC‐HRP (Vector Elite Kit, Vector Laboratories Inc., Newark, CA, USA) as directed for 45 min. The reaction was visualized via incubation for 5 min in 0.05% 3,3′‐diaminobenzidine (DAB), 0.05% nickel ammonium sulphate and 0.0015% H2O2. The tissue was then mounted onto Superfrost Plus slides (Thermo Fisher Scientific), dried and counterstained with Gill's haematoxylin No. 1 (MilliporeSigma, GHS132). Slides were coverslipped using Permount mounting medium (Thermo Fisher Scientific).\n\n\n### Image Analysis\nBrightfield images were captured at 20X magnification using a ZEISS epifluorescence microscope (Axioscope 5, ZEISS AG, Oberkochen, Germany). c‐Fos‐positive neurons were counted bilaterally from sections taken across the anterior–posterior axis of the NTS from AP coordinates −6.48 to −7.72 mm relative to bregma [49]. Fos‐positive nuclei were manually labelled across the entire image using the multi‐point tool and counted using the measure feature in ImageJ software [50]. Labelling, counting and image quality control were conducted blind to treatment groups. Images were classified as either anterior or posterior based on the appearance of the area postrema (approximately AP −7.32 mm). NTS rostral to the level of the area postrema was classified as anterior NTS, while posterior NTS coincided with the area postrema. One image was removed from the final dataset due to being a statistically significant upper outlier (Grubbs Test, p < 0.0001) whose count was more than 100 cells away from the nearest data point. The final dataset consisted of 526 images, 1–18 images per subject.\n\n\n### Statistical Analysis\nSince there were different amounts of images from each subject, the c‐Fos‐positive cell counts were analysed using a linear mixed model with LPS/Vehicle (Drug 1), Nezavist/Placebo (Drug 2) and rostral/caudal (Position) as fixed factors and mouse as a random intercept. Linear mixed models are designed to account for repeated measures even with missing data or unbalanced designs [51] and, thus, were the optimal statistical approach with these data. Helmert contrasts were used for modelling, so while all factors only had two levels, this ensured the contrasts were centred. All tests were performed using Restricted Maximum Likelihood (REML) estimation in R [52] with custom scripts (available upon request), the ‘lme4’ package [35] and guidance from West et al. [51]. Significant interactions were probed with multiple‐comparison adjusted post hoc tests using ‘emmeans’ and ‘stats’ R packages [36, 52]. Final models were evaluated for multicollinearity using generalized variance‐inflation factors (GVIFs) from the ‘car’ R package [53] where GVIFs < 5 were considered to have no issues (all GVIFs were < 2). Degrees of freedom for t‐statistics were estimated with the R package ‘lmerTest’ [54] using Satterthwaite approximations, which produce acceptable Type I error rates [55]. Data were visualized using R package ‘ggplot2’ [56] with numerous add‐on packages.\n\n\n### Effect of Nezavist on Peripheral and Hippocampal Cytokine Levels, corticotropin releasing factor (CRF) Levels and Microgliosis (Lohocla Contract with ScanTox Neuro GmbH, Vienna, Austria)\nForty male C57BL/6JRj mice (8–9 weeks old) were obtained from Janvier Labs (Le Genest‐Saint‐Isle, France) and transferred to the Scantox Neuro animal facility. After a general health check and registration, the animals were habituated at standard housing conditions for at least 1 week before treatment. Animals were housed in ventilated cages on standardized rodent bedding. Each cage contained a maximum of five mice. The temperature in the animal room was maintained between 20°C and 24°C, and the relative humidity was maintained between 45% and 65%. Animals were housed under a constant light‐cycle (12 h light/dark). Dried, pelleted standard rodent chow (Altromin) and normal tap water were available to the animals ad libitum.\nThe study was performed according to Scantox Neuro's Global Quality Policies as implemented in Scantox Neuro's current internal SOPs considering GxP requirements. The Scantox Neuro animal facility was fully accredited by the Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC). All procedures in this study were approved by the Animal Care and Welfare Committee.\nAustrian Animal Experiments Regulation: Verordnung des Bundesministers für Wissenschaft und Forschung zur Durchführung des Tierversuchsgesetzes 2012 (Tierversuchs‐Verordnung—TVV 2012), BGBl. II Nr. 542/2020Austrian Animal Experiments Law: Bundesgesetz über Versuche an lebenden Tieren (Tierversuchsgesetz 2012—TVG 2012) BGBl. I Nr. 76/2020Austrian Animal Welfare Law: Bundesgesetz über den Schutz der Tiere (Tierschutzgesetz—TSchG) BGBl. I Nr. 130/2022Directive 2010/63/EU of the European Parliament and of the Council of 22. September 2010 on the protection of animals used for scientific purposes; Consolidated version 26.06.2019\nAustrian Animal Experiments Regulation: Verordnung des Bundesministers für Wissenschaft und Forschung zur Durchführung des Tierversuchsgesetzes 2012 (Tierversuchs‐Verordnung—TVV 2012), BGBl. II Nr. 542/2020\nAustrian Animal Experiments Law: Bundesgesetz über Versuche an lebenden Tieren (Tierversuchsgesetz 2012—TVG 2012) BGBl. I Nr. 76/2020\nAustrian Animal Welfare Law: Bundesgesetz über den Schutz der Tiere (Tierschutzgesetz—TSchG) BGBl. I Nr. 130/2022\nDirective 2010/63/EU of the European Parliament and of the Council of 22. September 2010 on the protection of animals used for scientific purposes; Consolidated version 26.06.2019\nFurthermore, the study was performed according to the regulations of the Austrian Genetic Engineering Law (BGBl. I Nr. 8/2022). Safety precautions operating within the test facility were applied to the study.\nThe solid compound was formulated in vehicle (5% DMSO/5% Cremophor EL in distilled water) to produce a suspension with a final dosing concentration of 5 (low dose) or 10 mg/mL (high dose) for intraperitoneal injection at 10 mL/kg.\nSolid compound was dissolved in pure DMSO.Cremophor EL was added and mixed thoroughly.Sufficient distilled water was added slowly with mixing to produce a final suspension containing 5‐mg/mL (low dose) or 10‐mg/mL (high dose) Nezavist, with a final DMSO concentration of 5% and a final Cremophor EL concentration of 5%.\nSolid compound was dissolved in pure DMSO.\nCremophor EL was added and mixed thoroughly.\nSufficient distilled water was added slowly with mixing to produce a final suspension containing 5‐mg/mL (low dose) or 10‐mg/mL (high dose) Nezavist, with a final DMSO concentration of 5% and a final Cremophor EL concentration of 5%.\nDosing formulations for the high and low dose were freshly prepared separately (NOT by dilution of the higher dose) and used for a maximum duration of 36 h. During treatments, the dosing formulations were kept at room temperature and were constantly stirred to ensure that a homogenous suspension was drawn up into the syringe. For storage, dosing formulations were kept refrigerated at 2°C–8°C and protected from light and were warmed to room temperature with vigorous mixing.\nLyophilized LPS was reconstituted in endotoxin‐free water to obtain a 5‐mg/mL stock solution (vortexed until completely solubilized). The 5‐mg/mL stock solution was aliquoted and stored at 4°C for short term storage or at −20°C for long term storage. On treatment days, the 5‐mg/mL stock solution was diluted 1:50 in endotoxin‐free water to a final dosing concentration of 0.1 mg/mL for ip injection at 5 mL/kg.\nAfter habituation, animals were randomly allocated into four groups (A‐D) with n = 10 animals/group as shown below:\nGroup\nn=GenotypeSexAge at start (weeks)Vehicle or LPS treatmentTest itemA10C57BL/6JRjM11Vehicle (H2O) daily ip for 4 dNezavist vehicle daily ip for 4 daysB10C57BL/6JRjM11LPS (0.5 mg/kg) dai LPS (0.5 mg/kg) daily ip for 4 dNezavist vehicle daily ip for 4 daysC10C57BL/6JRjM11LPS (0.5 mg/kg) daily ip for 4 dNezavist (50 mg/kg) daily ip for 4 daysD10C57BL/6JRjM11LPS (0.5 mg/kg) daily ip for 4 dNezavist (100 mg/kg) daily ip for 4 days\nThe mice received a daily intraperitoneal (ip) injection with vehicle (endotoxin‐free H2O) or LPS (0.5 mg/kg; application volume:5 mL/kg), followed by an additional ip treatment with either Nezavist vehicle (5% DMSO/5% Cremophor EL in distilled water) or Nezavist at two different concentrations (50 or 100 mg/kg; application volume: 10 mL/kg) for four consecutive days.\nThe injection with Nezavist vehicle or Nezavist (50 or 100 mg/kg) was performed 30 ± 5 min after LPS administration on each day. Body weights were determined once prior to the first treatment, and all treatments were applied based on the animals' actual body weight on the first treatment day.\nAfter each LPS treatment, the mice were placed under an infrared‐light heat lamp to counteract the hypothermic effects of LPS. For all treatment groups, clinical signs (including daily recording of body weight) and termination criteria were monitored daily for a total of 4 days, starting on treatment Day 1 until Day 4, and special care measures (e.g., provision of wet food) were applied if necessary.\nOn Day 4, all mice were tested for general locomotion in the Open‐Field test (5‐min testing). Behavioural testing was performed in the afternoon, 1 h ± 5 min after receiving the last injection with Nezavist vehicle or Nezavist. On Day 5, all animals were sacrificed in the morning, 18 h ± 10 min after the last LPS treatment, and terminal blood and brain samples were collected.\nThe Open‐Field test was performed on Day 4 in the afternoon, 1 h ± 5 min after receiving the last injection with Nezavist vehicle or Nezavist. Spontaneous activity was assessed in the Open Field by evaluating the following parameters: activity [s], distance [m], rearings [s], rearings [n] and thigmotaxis [s]. For that purpose, an opaque Open‐Field Box (45 × 45 × 23.5 cm) in combination with a computerized video tracking system (Noldus EthoVision XT 14) was used.\nThe mice were brought to the room at least 45 min before the start of the testing. Each test session lasted for 5 min to check the mice's behaviour in the new surroundings, as the first minutes of the Open‐Field test were the most suitable to display the exploratory behaviour of the animals. After the testing session, the number of faecal boli was counted, as a measure of emotionality. The Open Field was cleaned with 70% isopropanol after each mouse to eliminate odour traces. Testing was performed under standard room lighting conditions during the light phase of the circadian cycle.\nMice were euthanized by injection of Pentobarbital (600 mg/kg, dosing 10‐μL/g body weight). The thorax was opened and blood was collected by heart puncture with a 23‐gauge needle. The needle was removed and the blood was transferred to the MiniCollect K2EDTA (potassium ethylenediaminetetraacetic acid) sample tube. The tube contents were mixed thoroughly to facilitate homogeneous distribution of the EDTA to prevent clotting. The blood samples were centrifuged at 3000 ×g for 10 min at room temperature (22°C). Plasma was transferred to pre‐labelled 1.5‐mL LoBind Eppendorf tubes (total of 2 aliquots per animal, 1 × 60 μL + rest), frozen on dry ice and stored at −80°C.\nAnimals were transcardially perfused with 0.9% saline. A 23‐gauge needle connected to a bottle with 0.9% saline was inserted into the left ventricle. The thoracic aorta—between the lungs and the liver—was clamped with hemostatic forceps to block the flow from the heart to the abdomen but allowing the flow to the brain. The right atrium was opened with scissors. A constant pressure of 100 to 120 mmHg was maintained on the perfusion solution by connecting the solution bottle to a manometer‐controlled air compressor. Perfusion was continued until the skull surface turned pale, and only perfusion solution instead of blood was exiting from the right atrium.\nAfter perfusion, the skull was opened and the brain was removed carefully and hemisected on a cooled surface. The left hemibrain was further dissected on a cooled surface into hippocampus and the rest of the brain. All collected parts were weighed, snap frozen on dry ice and stored at −80°C. In total, n = 40 hippocampal samples and n = 40 rest brain samples were collected. The right hemibrain was fixed by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH = 7.4) for 2 h at RT.\nFollowing fixation by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH 7.4) for 2 h at RT, right hemibrains of all animals (total n = 40) were then transferred to 15% sucrose/PBS and stored at 4°C until the sample sank to the bottom of the tube to ensure cryoprotection (usually overnight). Tissue blocks were then trimmed as needed, transferred to cryomolds, embedded in OCT medium, frozen in dry ice‐cooled isopentane and stored at −80°C.\nAll frozen brain samples (total n = 40) were sectioned sagittally at 10 μm thickness on a Leica CM1950 or a Thermo Scientific NX70 cryotome, using the following section scheme:\nFive consecutive cryosections were collected and the next 25 sections per level were discarded. This collection scheme was repeated for 12 levels. In total 12 × 5 = 60 sections were collected (total of 2400 sections from 40 mice). Sectioning levels were chosen according to the brain atlas [49]. Collection of sections started at a level ~0.2‐mm lateral from midline and extended through the hemisphere, in order to ensure systematic random sampling through the target region (hippocampus). Sections were stored at −20°C.\nFor each incubation a uniform systematic random set of five sections per mouse was selected (one section each from Levels 2, 4, 6, 8 and 10); for information on systematic random sampling follow this link: http://www.stereology.info/sampling/.\nHistological labelling experiments were executed on these sets of sections: Microgliosis (Iba1) and astrocytosis (GFAP) as well as CD68‐positive cells were evaluated on sections of all processed brains (n = 40 brains; 200 sections total) using triple immunofluorescent labelling with primary antibodies:\nGuinea pig anti‐Iba1 monoclonal antibody ([Gp311H9], Synaptic Systems GmbH, 234 308; Scantox #847)\nRabbit anti‐GFAP polyclonal antibody (DAKO, Z0334; Scantox #29)\nRat anti‐CD68 monoclonal antibody [FA‐11] (BioRad, MCA1957; Scantox #136)\nAll sections were counterstained with the nuclear dye DAPI. Binding of primary antibodies was visualized using the following highly cross‐absorbed secondary antibodies:\nDonkey antiguinea pig IgG H + L Cy3‐conjugated (Jackson Immunoresearch)\nDonkey antirabbit IgG H + L AlexaFluor 750‐conjugated (Abcam)\nDonkey antirat IgG AlexaFluor 647‐conjugated (Abcam)\nWhole slide scans of the stained sections were recorded on a Zeiss automatic microscope AxioScan Z1 with high aperture lenses, equipped with a Zeiss Axiocam 506 mono and a Hitachi 3CCD HV‐F202SCL camera and Zeiss ZEN 3.7 software.\nImage analysis was done with Image Pro 10 (Media Cybernetics). At the beginning, the target area (hippocampus) was identified by drawing regions of interest (ROI) on the images. Additional ROIs exclude wrinkles, air bubbles or any other artefacts interfering with the measurement. Afterwards, signals of Iba1, GFAP and CD68 were quantitatively evaluated within the identified areas. For quantification, background correction was used if necessary, and immunoreactive objects were detected by adequate thresholding and morphological filtering (size and shape). Different object features were then quantified, among them the percentage of cumulative object area based on ROI size (immunoreactive area; this is the most comprehensive parameter indicating whether there are differences in immunoreactivity), the number of objects normalized to ROI size (object density), the mean signal intensity of identified objects (mean intensity; this indicates if there are differences in the cellular expression level of target proteins) and the size of above‐threshold objects. Once the parameters of the targeted objects were defined in a test run, the quantitative image analysis was generated automatically so that the results are operator‐independent and fully reproducible.\nHippocampus of all animals (n = 40 samples) was homogenized 1:20 (w/v) in homogenization buffer [PBS, 1% Triton X‐100, Phosphatase Inhibitor Cocktail III (Sigma) and Protease Inhibitor Cocktail I (Calbiochem)]. Homogenates were cleared from cell debris by centrifugation at 20800 x g at 4 °C for 10 min in a tabletop centrifuge and the supernatants were collected and split into three aliquots, one of which was used for the measurement of cytokines. Protein concentrations were determined using the BCA protein assay kit from Thermo Scientific, according to the manufacturer's protocol.\nBrain (hippocampus) extracts from all animals (n = 40 samples) as well as terminal plasma samples (n = 40 samples) were diluted 1:2 and analysed for cytokines included in an inflammation panel (IL‐1β, IL‐6, IL‐12p70, IL‐10 and TNFα) with a U‐PLEX custom Cytokine Assay (K15069L‐1) from Mesoscale Discovery (MSD) and for IL‐18 with the Mouse IL‐18 DuoSet ELISA from R&D Systems (DY7625‐05). The assay was performed according to the manufacturer's instructions. Data were evaluated in comparison to the calibration curve provided in the kit and were expressed as pg/g protein for hippocampus samples or pg/mL plasma. For statistical evaluation, values below the detection limit of the assay were excluded.\nAll the plasma samples were analysed together, and each sample was analysed once using the U‐PLEX custom Cytokine Assay. The hippocampal protein extracts were analysed in two separate assays; during the first assay, aliquots were measured as singlets, while in the second assay, aliquots from the same samples were measured as technical duplicates. For reporting, the cytokine data of hippocampal samples from both experiments were combined and averaged.\nThe levels of CRF and corticosterone were measured in terminal plasma samples from all mice (n = 40 samples), using commercially available ELISA kits according to the instructions of the manufacturer (i.e., Yanaihara Institute Inc. via BIOZOL Diagnostica cat. no. SCE‐YK131‐96 for CRF and Enzo Life Sciences cat. no. ADI‐900‐097 for corticosterone).\nPrior to analysing the study samples, plasma samples from one group A (vehicle) animal and one group B (LPS, vehicle) animal were analysed in a dilution series (i.e., 1:1, 1:2, 1:4, 1:8, 1:16, 1:32, 1:64 and 1:128 for CRF and 1:10, 1:20, 1:40, 1:60 and 1:80 for corticosterone) to assess the range and dilution linearity of the assays. All study samples were analysed within the linear range of dilution (1:1 for CRF and 1:40 for corticosterone). Samples were measured as singlets. Data were evaluated in comparison to the calibration curves provided in the kit and were expressed as pg/mL plasma.\nAll raw data were analysed in GraphPad Prism 10.2.3 (GraphPad Software Inc., USA). For statistical evaluation of MSD assay data, values below the detection limit of the assay were excluded. No outlier test was performed. Normality distribution of two groups was analysed by Kolmogorov–Smirnov tests. If more than 2 groups were compared with each other, significance was calculated by one‐way or two‐way analysis of variance (ANOVA) followed by the Bonferroni post hoc test for normally distributed data. In case of non‐normally distributed data, significance was calculated by Kruskal–Wallis test followed by Dunn's multiple comparisons test. Group B (C57BL/6, LPS, vehicle) served as reference group for pairwise comparisons. Significance was defined as *p < 0.05, **p < 0.01 and ***p < 0.001.\nFor studies described in Section 2, detailed results of statistical analyses are provided in the figure legends.\n\n\n### Animals and Regulations\nForty male C57BL/6JRj mice (8–9 weeks old) were obtained from Janvier Labs (Le Genest‐Saint‐Isle, France) and transferred to the Scantox Neuro animal facility. After a general health check and registration, the animals were habituated at standard housing conditions for at least 1 week before treatment. Animals were housed in ventilated cages on standardized rodent bedding. Each cage contained a maximum of five mice. The temperature in the animal room was maintained between 20°C and 24°C, and the relative humidity was maintained between 45% and 65%. Animals were housed under a constant light‐cycle (12 h light/dark). Dried, pelleted standard rodent chow (Altromin) and normal tap water were available to the animals ad libitum.\nThe study was performed according to Scantox Neuro's Global Quality Policies as implemented in Scantox Neuro's current internal SOPs considering GxP requirements. The Scantox Neuro animal facility was fully accredited by the Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC). All procedures in this study were approved by the Animal Care and Welfare Committee.\n\n\n### Additional Regulations and Laws That Applied for Animal Welfare\nAustrian Animal Experiments Regulation: Verordnung des Bundesministers für Wissenschaft und Forschung zur Durchführung des Tierversuchsgesetzes 2012 (Tierversuchs‐Verordnung—TVV 2012), BGBl. II Nr. 542/2020Austrian Animal Experiments Law: Bundesgesetz über Versuche an lebenden Tieren (Tierversuchsgesetz 2012—TVG 2012) BGBl. I Nr. 76/2020Austrian Animal Welfare Law: Bundesgesetz über den Schutz der Tiere (Tierschutzgesetz—TSchG) BGBl. I Nr. 130/2022Directive 2010/63/EU of the European Parliament and of the Council of 22. September 2010 on the protection of animals used for scientific purposes; Consolidated version 26.06.2019\nAustrian Animal Experiments Regulation: Verordnung des Bundesministers für Wissenschaft und Forschung zur Durchführung des Tierversuchsgesetzes 2012 (Tierversuchs‐Verordnung—TVV 2012), BGBl. II Nr. 542/2020\nAustrian Animal Experiments Law: Bundesgesetz über Versuche an lebenden Tieren (Tierversuchsgesetz 2012—TVG 2012) BGBl. I Nr. 76/2020\nAustrian Animal Welfare Law: Bundesgesetz über den Schutz der Tiere (Tierschutzgesetz—TSchG) BGBl. I Nr. 130/2022\nDirective 2010/63/EU of the European Parliament and of the Council of 22. September 2010 on the protection of animals used for scientific purposes; Consolidated version 26.06.2019\nFurthermore, the study was performed according to the regulations of the Austrian Genetic Engineering Law (BGBl. I Nr. 8/2022). Safety precautions operating within the test facility were applied to the study.\n\n\n### Nezavist Preparation\nThe solid compound was formulated in vehicle (5% DMSO/5% Cremophor EL in distilled water) to produce a suspension with a final dosing concentration of 5 (low dose) or 10 mg/mL (high dose) for intraperitoneal injection at 10 mL/kg.\nSolid compound was dissolved in pure DMSO.Cremophor EL was added and mixed thoroughly.Sufficient distilled water was added slowly with mixing to produce a final suspension containing 5‐mg/mL (low dose) or 10‐mg/mL (high dose) Nezavist, with a final DMSO concentration of 5% and a final Cremophor EL concentration of 5%.\nSolid compound was dissolved in pure DMSO.\nCremophor EL was added and mixed thoroughly.\nSufficient distilled water was added slowly with mixing to produce a final suspension containing 5‐mg/mL (low dose) or 10‐mg/mL (high dose) Nezavist, with a final DMSO concentration of 5% and a final Cremophor EL concentration of 5%.\nDosing formulations for the high and low dose were freshly prepared separately (NOT by dilution of the higher dose) and used for a maximum duration of 36 h. During treatments, the dosing formulations were kept at room temperature and were constantly stirred to ensure that a homogenous suspension was drawn up into the syringe. For storage, dosing formulations were kept refrigerated at 2°C–8°C and protected from light and were warmed to room temperature with vigorous mixing.\n\n\n### LPS Preparation\nLyophilized LPS was reconstituted in endotoxin‐free water to obtain a 5‐mg/mL stock solution (vortexed until completely solubilized). The 5‐mg/mL stock solution was aliquoted and stored at 4°C for short term storage or at −20°C for long term storage. On treatment days, the 5‐mg/mL stock solution was diluted 1:50 in endotoxin‐free water to a final dosing concentration of 0.1 mg/mL for ip injection at 5 mL/kg.\n\n\n### Experimental Overview and Treatment\nAfter habituation, animals were randomly allocated into four groups (A‐D) with n = 10 animals/group as shown below:\n\n\n### Group allocation\nGroup\nn=GenotypeSexAge at start (weeks)Vehicle or LPS treatmentTest itemA10C57BL/6JRjM11Vehicle (H2O) daily ip for 4 dNezavist vehicle daily ip for 4 daysB10C57BL/6JRjM11LPS (0.5 mg/kg) dai LPS (0.5 mg/kg) daily ip for 4 dNezavist vehicle daily ip for 4 daysC10C57BL/6JRjM11LPS (0.5 mg/kg) daily ip for 4 dNezavist (50 mg/kg) daily ip for 4 daysD10C57BL/6JRjM11LPS (0.5 mg/kg) daily ip for 4 dNezavist (100 mg/kg) daily ip for 4 days\nThe mice received a daily intraperitoneal (ip) injection with vehicle (endotoxin‐free H2O) or LPS (0.5 mg/kg; application volume:5 mL/kg), followed by an additional ip treatment with either Nezavist vehicle (5% DMSO/5% Cremophor EL in distilled water) or Nezavist at two different concentrations (50 or 100 mg/kg; application volume: 10 mL/kg) for four consecutive days.\nThe injection with Nezavist vehicle or Nezavist (50 or 100 mg/kg) was performed 30 ± 5 min after LPS administration on each day. Body weights were determined once prior to the first treatment, and all treatments were applied based on the animals' actual body weight on the first treatment day.\nAfter each LPS treatment, the mice were placed under an infrared‐light heat lamp to counteract the hypothermic effects of LPS. For all treatment groups, clinical signs (including daily recording of body weight) and termination criteria were monitored daily for a total of 4 days, starting on treatment Day 1 until Day 4, and special care measures (e.g., provision of wet food) were applied if necessary.\nOn Day 4, all mice were tested for general locomotion in the Open‐Field test (5‐min testing). Behavioural testing was performed in the afternoon, 1 h ± 5 min after receiving the last injection with Nezavist vehicle or Nezavist. On Day 5, all animals were sacrificed in the morning, 18 h ± 10 min after the last LPS treatment, and terminal blood and brain samples were collected.\n\n\n### Behavioural Analysis: Open‐Field Test\nThe Open‐Field test was performed on Day 4 in the afternoon, 1 h ± 5 min after receiving the last injection with Nezavist vehicle or Nezavist. Spontaneous activity was assessed in the Open Field by evaluating the following parameters: activity [s], distance [m], rearings [s], rearings [n] and thigmotaxis [s]. For that purpose, an opaque Open‐Field Box (45 × 45 × 23.5 cm) in combination with a computerized video tracking system (Noldus EthoVision XT 14) was used.\nThe mice were brought to the room at least 45 min before the start of the testing. Each test session lasted for 5 min to check the mice's behaviour in the new surroundings, as the first minutes of the Open‐Field test were the most suitable to display the exploratory behaviour of the animals. After the testing session, the number of faecal boli was counted, as a measure of emotionality. The Open Field was cleaned with 70% isopropanol after each mouse to eliminate odour traces. Testing was performed under standard room lighting conditions during the light phase of the circadian cycle.\n\n\n### Terminal Blood Sampling and Plasma Preparation\nMice were euthanized by injection of Pentobarbital (600 mg/kg, dosing 10‐μL/g body weight). The thorax was opened and blood was collected by heart puncture with a 23‐gauge needle. The needle was removed and the blood was transferred to the MiniCollect K2EDTA (potassium ethylenediaminetetraacetic acid) sample tube. The tube contents were mixed thoroughly to facilitate homogeneous distribution of the EDTA to prevent clotting. The blood samples were centrifuged at 3000 ×g for 10 min at room temperature (22°C). Plasma was transferred to pre‐labelled 1.5‐mL LoBind Eppendorf tubes (total of 2 aliquots per animal, 1 × 60 μL + rest), frozen on dry ice and stored at −80°C.\n\n\n### Perfusion\nAnimals were transcardially perfused with 0.9% saline. A 23‐gauge needle connected to a bottle with 0.9% saline was inserted into the left ventricle. The thoracic aorta—between the lungs and the liver—was clamped with hemostatic forceps to block the flow from the heart to the abdomen but allowing the flow to the brain. The right atrium was opened with scissors. A constant pressure of 100 to 120 mmHg was maintained on the perfusion solution by connecting the solution bottle to a manometer‐controlled air compressor. Perfusion was continued until the skull surface turned pale, and only perfusion solution instead of blood was exiting from the right atrium.\n\n\n### Brain Sampling\nAfter perfusion, the skull was opened and the brain was removed carefully and hemisected on a cooled surface. The left hemibrain was further dissected on a cooled surface into hippocampus and the rest of the brain. All collected parts were weighed, snap frozen on dry ice and stored at −80°C. In total, n = 40 hippocampal samples and n = 40 rest brain samples were collected. The right hemibrain was fixed by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH = 7.4) for 2 h at RT.\n\n\n### Histology\nFollowing fixation by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH 7.4) for 2 h at RT, right hemibrains of all animals (total n = 40) were then transferred to 15% sucrose/PBS and stored at 4°C until the sample sank to the bottom of the tube to ensure cryoprotection (usually overnight). Tissue blocks were then trimmed as needed, transferred to cryomolds, embedded in OCT medium, frozen in dry ice‐cooled isopentane and stored at −80°C.\nAll frozen brain samples (total n = 40) were sectioned sagittally at 10 μm thickness on a Leica CM1950 or a Thermo Scientific NX70 cryotome, using the following section scheme:\nFive consecutive cryosections were collected and the next 25 sections per level were discarded. This collection scheme was repeated for 12 levels. In total 12 × 5 = 60 sections were collected (total of 2400 sections from 40 mice). Sectioning levels were chosen according to the brain atlas [49]. Collection of sections started at a level ~0.2‐mm lateral from midline and extended through the hemisphere, in order to ensure systematic random sampling through the target region (hippocampus). Sections were stored at −20°C.\nFor each incubation a uniform systematic random set of five sections per mouse was selected (one section each from Levels 2, 4, 6, 8 and 10); for information on systematic random sampling follow this link: http://www.stereology.info/sampling/.\nHistological labelling experiments were executed on these sets of sections: Microgliosis (Iba1) and astrocytosis (GFAP) as well as CD68‐positive cells were evaluated on sections of all processed brains (n = 40 brains; 200 sections total) using triple immunofluorescent labelling with primary antibodies:\nGuinea pig anti‐Iba1 monoclonal antibody ([Gp311H9], Synaptic Systems GmbH, 234 308; Scantox #847)\nRabbit anti‐GFAP polyclonal antibody (DAKO, Z0334; Scantox #29)\nRat anti‐CD68 monoclonal antibody [FA‐11] (BioRad, MCA1957; Scantox #136)\nAll sections were counterstained with the nuclear dye DAPI. Binding of primary antibodies was visualized using the following highly cross‐absorbed secondary antibodies:\nDonkey antiguinea pig IgG H + L Cy3‐conjugated (Jackson Immunoresearch)\nDonkey antirabbit IgG H + L AlexaFluor 750‐conjugated (Abcam)\nDonkey antirat IgG AlexaFluor 647‐conjugated (Abcam)\nWhole slide scans of the stained sections were recorded on a Zeiss automatic microscope AxioScan Z1 with high aperture lenses, equipped with a Zeiss Axiocam 506 mono and a Hitachi 3CCD HV‐F202SCL camera and Zeiss ZEN 3.7 software.\nImage analysis was done with Image Pro 10 (Media Cybernetics). At the beginning, the target area (hippocampus) was identified by drawing regions of interest (ROI) on the images. Additional ROIs exclude wrinkles, air bubbles or any other artefacts interfering with the measurement. Afterwards, signals of Iba1, GFAP and CD68 were quantitatively evaluated within the identified areas. For quantification, background correction was used if necessary, and immunoreactive objects were detected by adequate thresholding and morphological filtering (size and shape). Different object features were then quantified, among them the percentage of cumulative object area based on ROI size (immunoreactive area; this is the most comprehensive parameter indicating whether there are differences in immunoreactivity), the number of objects normalized to ROI size (object density), the mean signal intensity of identified objects (mean intensity; this indicates if there are differences in the cellular expression level of target proteins) and the size of above‐threshold objects. Once the parameters of the targeted objects were defined in a test run, the quantitative image analysis was generated automatically so that the results are operator‐independent and fully reproducible.\n\n\n### Tissue Preparation\nFollowing fixation by immersion in freshly prepared 4% paraformaldehyde in phosphate buffer (PB; pH 7.4) for 2 h at RT, right hemibrains of all animals (total n = 40) were then transferred to 15% sucrose/PBS and stored at 4°C until the sample sank to the bottom of the tube to ensure cryoprotection (usually overnight). Tissue blocks were then trimmed as needed, transferred to cryomolds, embedded in OCT medium, frozen in dry ice‐cooled isopentane and stored at −80°C.\n\n\n### Sectioning\nAll frozen brain samples (total n = 40) were sectioned sagittally at 10 μm thickness on a Leica CM1950 or a Thermo Scientific NX70 cryotome, using the following section scheme:\nFive consecutive cryosections were collected and the next 25 sections per level were discarded. This collection scheme was repeated for 12 levels. In total 12 × 5 = 60 sections were collected (total of 2400 sections from 40 mice). Sectioning levels were chosen according to the brain atlas [49]. Collection of sections started at a level ~0.2‐mm lateral from midline and extended through the hemisphere, in order to ensure systematic random sampling through the target region (hippocampus). Sections were stored at −20°C.\n\n\n### Immunofluorescence\nFor each incubation a uniform systematic random set of five sections per mouse was selected (one section each from Levels 2, 4, 6, 8 and 10); for information on systematic random sampling follow this link: http://www.stereology.info/sampling/.\nHistological labelling experiments were executed on these sets of sections: Microgliosis (Iba1) and astrocytosis (GFAP) as well as CD68‐positive cells were evaluated on sections of all processed brains (n = 40 brains; 200 sections total) using triple immunofluorescent labelling with primary antibodies:\nGuinea pig anti‐Iba1 monoclonal antibody ([Gp311H9], Synaptic Systems GmbH, 234 308; Scantox #847)\nRabbit anti‐GFAP polyclonal antibody (DAKO, Z0334; Scantox #29)\nRat anti‐CD68 monoclonal antibody [FA‐11] (BioRad, MCA1957; Scantox #136)\nAll sections were counterstained with the nuclear dye DAPI. Binding of primary antibodies was visualized using the following highly cross‐absorbed secondary antibodies:\nDonkey antiguinea pig IgG H + L Cy3‐conjugated (Jackson Immunoresearch)\nDonkey antirabbit IgG H + L AlexaFluor 750‐conjugated (Abcam)\nDonkey antirat IgG AlexaFluor 647‐conjugated (Abcam)\n\n\n### Imaging\nWhole slide scans of the stained sections were recorded on a Zeiss automatic microscope AxioScan Z1 with high aperture lenses, equipped with a Zeiss Axiocam 506 mono and a Hitachi 3CCD HV‐F202SCL camera and Zeiss ZEN 3.7 software.\n\n\n### Quantification\nImage analysis was done with Image Pro 10 (Media Cybernetics). At the beginning, the target area (hippocampus) was identified by drawing regions of interest (ROI) on the images. Additional ROIs exclude wrinkles, air bubbles or any other artefacts interfering with the measurement. Afterwards, signals of Iba1, GFAP and CD68 were quantitatively evaluated within the identified areas. For quantification, background correction was used if necessary, and immunoreactive objects were detected by adequate thresholding and morphological filtering (size and shape). Different object features were then quantified, among them the percentage of cumulative object area based on ROI size (immunoreactive area; this is the most comprehensive parameter indicating whether there are differences in immunoreactivity), the number of objects normalized to ROI size (object density), the mean signal intensity of identified objects (mean intensity; this indicates if there are differences in the cellular expression level of target proteins) and the size of above‐threshold objects. Once the parameters of the targeted objects were defined in a test run, the quantitative image analysis was generated automatically so that the results are operator‐independent and fully reproducible.\n\n\n### Biochemistry\nHippocampus of all animals (n = 40 samples) was homogenized 1:20 (w/v) in homogenization buffer [PBS, 1% Triton X‐100, Phosphatase Inhibitor Cocktail III (Sigma) and Protease Inhibitor Cocktail I (Calbiochem)]. Homogenates were cleared from cell debris by centrifugation at 20800 x g at 4 °C for 10 min in a tabletop centrifuge and the supernatants were collected and split into three aliquots, one of which was used for the measurement of cytokines. Protein concentrations were determined using the BCA protein assay kit from Thermo Scientific, according to the manufacturer's protocol.\nBrain (hippocampus) extracts from all animals (n = 40 samples) as well as terminal plasma samples (n = 40 samples) were diluted 1:2 and analysed for cytokines included in an inflammation panel (IL‐1β, IL‐6, IL‐12p70, IL‐10 and TNFα) with a U‐PLEX custom Cytokine Assay (K15069L‐1) from Mesoscale Discovery (MSD) and for IL‐18 with the Mouse IL‐18 DuoSet ELISA from R&D Systems (DY7625‐05). The assay was performed according to the manufacturer's instructions. Data were evaluated in comparison to the calibration curve provided in the kit and were expressed as pg/g protein for hippocampus samples or pg/mL plasma. For statistical evaluation, values below the detection limit of the assay were excluded.\nAll the plasma samples were analysed together, and each sample was analysed once using the U‐PLEX custom Cytokine Assay. The hippocampal protein extracts were analysed in two separate assays; during the first assay, aliquots were measured as singlets, while in the second assay, aliquots from the same samples were measured as technical duplicates. For reporting, the cytokine data of hippocampal samples from both experiments were combined and averaged.\nThe levels of CRF and corticosterone were measured in terminal plasma samples from all mice (n = 40 samples), using commercially available ELISA kits according to the instructions of the manufacturer (i.e., Yanaihara Institute Inc. via BIOZOL Diagnostica cat. no. SCE‐YK131‐96 for CRF and Enzo Life Sciences cat. no. ADI‐900‐097 for corticosterone).\nPrior to analysing the study samples, plasma samples from one group A (vehicle) animal and one group B (LPS, vehicle) animal were analysed in a dilution series (i.e., 1:1, 1:2, 1:4, 1:8, 1:16, 1:32, 1:64 and 1:128 for CRF and 1:10, 1:20, 1:40, 1:60 and 1:80 for corticosterone) to assess the range and dilution linearity of the assays. All study samples were analysed within the linear range of dilution (1:1 for CRF and 1:40 for corticosterone). Samples were measured as singlets. Data were evaluated in comparison to the calibration curves provided in the kit and were expressed as pg/mL plasma.\n\n\n### Sample Preparation—Brain (Hippocampal Tissues)\nHippocampus of all animals (n = 40 samples) was homogenized 1:20 (w/v) in homogenization buffer [PBS, 1% Triton X‐100, Phosphatase Inhibitor Cocktail III (Sigma) and Protease Inhibitor Cocktail I (Calbiochem)]. Homogenates were cleared from cell debris by centrifugation at 20800 x g at 4 °C for 10 min in a tabletop centrifuge and the supernatants were collected and split into three aliquots, one of which was used for the measurement of cytokines. Protein concentrations were determined using the BCA protein assay kit from Thermo Scientific, according to the manufacturer's protocol.\n\n\n### Measurement of Cytokine Levels\nBrain (hippocampus) extracts from all animals (n = 40 samples) as well as terminal plasma samples (n = 40 samples) were diluted 1:2 and analysed for cytokines included in an inflammation panel (IL‐1β, IL‐6, IL‐12p70, IL‐10 and TNFα) with a U‐PLEX custom Cytokine Assay (K15069L‐1) from Mesoscale Discovery (MSD) and for IL‐18 with the Mouse IL‐18 DuoSet ELISA from R&D Systems (DY7625‐05). The assay was performed according to the manufacturer's instructions. Data were evaluated in comparison to the calibration curve provided in the kit and were expressed as pg/g protein for hippocampus samples or pg/mL plasma. For statistical evaluation, values below the detection limit of the assay were excluded.\nAll the plasma samples were analysed together, and each sample was analysed once using the U‐PLEX custom Cytokine Assay. The hippocampal protein extracts were analysed in two separate assays; during the first assay, aliquots were measured as singlets, while in the second assay, aliquots from the same samples were measured as technical duplicates. For reporting, the cytokine data of hippocampal samples from both experiments were combined and averaged.\n\n\n### Measurement of CRF and Corticosterone\nThe levels of CRF and corticosterone were measured in terminal plasma samples from all mice (n = 40 samples), using commercially available ELISA kits according to the instructions of the manufacturer (i.e., Yanaihara Institute Inc. via BIOZOL Diagnostica cat. no. SCE‐YK131‐96 for CRF and Enzo Life Sciences cat. no. ADI‐900‐097 for corticosterone).\nPrior to analysing the study samples, plasma samples from one group A (vehicle) animal and one group B (LPS, vehicle) animal were analysed in a dilution series (i.e., 1:1, 1:2, 1:4, 1:8, 1:16, 1:32, 1:64 and 1:128 for CRF and 1:10, 1:20, 1:40, 1:60 and 1:80 for corticosterone) to assess the range and dilution linearity of the assays. All study samples were analysed within the linear range of dilution (1:1 for CRF and 1:40 for corticosterone). Samples were measured as singlets. Data were evaluated in comparison to the calibration curves provided in the kit and were expressed as pg/mL plasma.\n\n\n### Statistics\nAll raw data were analysed in GraphPad Prism 10.2.3 (GraphPad Software Inc., USA). For statistical evaluation of MSD assay data, values below the detection limit of the assay were excluded. No outlier test was performed. Normality distribution of two groups was analysed by Kolmogorov–Smirnov tests. If more than 2 groups were compared with each other, significance was calculated by one‐way or two‐way analysis of variance (ANOVA) followed by the Bonferroni post hoc test for normally distributed data. In case of non‐normally distributed data, significance was calculated by Kruskal–Wallis test followed by Dunn's multiple comparisons test. Group B (C57BL/6, LPS, vehicle) served as reference group for pairwise comparisons. Significance was defined as *p < 0.05, **p < 0.01 and ***p < 0.001.\nFor studies described in Section 2, detailed results of statistical analyses are provided in the figure legends.\n\n\n### Results\nThe ‘alcohol deprivation effect’ model with repeated deprivation phases as described by Spanagel et al. [57, 58] involves long term (10 months) consumption of alcohol (ethanol) by rats with intermittent periods of abstinence. When animals regain access to alcohol following the deprivation period, there is a statistically significant increase in alcohol consumption for several days after alcohol reintroduction. Figure 1B–D from our studies shows results of treatment with repeated [5] doses of 20‐mg/kg Nezavist. Total alcohol intake was significantly increased over basal levels on the first day and for the two succeeding days after alcohol re‐exposure in both the vehicle and Nezavist‐treated groups (ANOVA, p = 6.5 × 10−17), but the escalation of total alcohol consumption by the vehicle‐treated group during the first day after reintroduction of alcohol was modestly blunted in the group that received the Nezavist treatment (two‐sample t‐test, p = 0.12, Figure 1B). In both Nezavist and vehicle‐treated animals, the consumption of water was significantly decreased on the first and subsequent days, in conjunction with the increased consumption of the alcohol solution after reintroduction of alcohol availability (ANOVA, p = 4.8 × 10−7, Figure 1C). Nezavist administration significantly reduced this decrease in water consumption on Day 1 (p < 0.05). Thus, when alcohol preference was calculated (amount of alcohol consumed/quantity of water consumed per day) for each animal, there was a significant increase in preference over the 3‐day period in both groups (ANOVA, p = 0.01), but the administration of Nezavist (20 mg/kg × 5) produced a significant diminution of alcohol preference on the first day of post‐abstinence alcohol consumption, compared to vehicle‐treated rats (Figure 1D, p < 0.05). There was no significant effect of the Nezavist treatment on locomotor activity or body weight (data not shown).\nAlcohol deprivation effect model: Effect of Nezavist. (A) Experimental design of the alcohol deprivation effect model. (B–D) Alcohol Intake, water intake and alcohol preference following repeated ip dosing of 20‐mg/kg Nezavist in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Nezavist‐treated rats, and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 12–14/group) were administered vehicle or repeat doses of 20‐mg/kg Nezavist (ip). (B) Alcohol intake (g/kg/day), (C) water intake (mL/kg/day) and (D) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (baseline), and on Day 1, Day 2 and Day 3 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Nezavist‐treated animals. Outliers (> 2 SDs from the mean) were removed from the analysis. Two‐way ANOVA showed a significant effect of day on alcohol intake [F(3, 69) = 48.197, p = 6.5 × 10−17], water intake [F(3, 60) = 28.28, p = 4.8 × 10−7] and alcohol preference [F(3, 45) = 6.573, p = 0.01]. *p < 0.05, +\np = 0.12 effect of Nezavist compared to vehicle (two‐sample t‐test comparisons). (E–G) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 20‐mg/kg Nezavist in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 12–14 per group) were administered vehicle or repeat doses of 20‐mg/kg Nezavist (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle or Nezavist‐treated rats at was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (E), Day 2 (F) and Day 3 (G) of the alcohol deprivation effect. Outliers (> 2SDs from the mean) were treated as missing data (six of 312 observations were outliers). Three‐way ANOVA (drug treatment, day, alcohol concentration) showed a non‐significant interaction (F = 1.62, p = 0.142). Two‐way interactions between treatment group and alcohol concentration and between day and alcohol concentration were significant (F = 6.71, p = 0.0014 and F = 5.00, p = < 0.0001, respectively). On Day 1 (E), there was a suggestive interaction between drug treatment and alcohol concentration (p = 0.0507) with marginal significance between Nezavist and vehicle‐treated animals for consumption of 10% alcohol (p = 0.1514) and 20% alcohol (p = 0.0640). On Day 2 (F), there was a significant interaction between drug treatment and alcohol concentration (p = 0.0107), with a significant difference in consumption of 10% alcohol (p = 0.0184) and a marginal difference in consumption of 20% alcohol (p = 0.065) between Nezavist and alcohol‐treated animals. See Table S1 for more detail. (H–J) Alcohol intake, water intake and alcohol preference following repeated ip dosing of 75‐mg/kg Nezavist in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Nezavist‐treated rats, and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 8/group) were administered vehicle or repeat doses of 75‐mg/kg Nezavist (ip). (E) Alcohol Intake (g/kg), (F) water intake (mL/kg) and (G) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (Basline) and on Day 1, Day 2, Day 3, Day 4, Day 5, Day 6 and Day 7 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Nezavist‐treated animals. Outliers (> 2 SDs from the mean) were removed from the data. Two‐way ANOVA showed a significant effect of treatment [F(1, 14) = 29.658, p = 8.62 × 10−5], a significant effect of day [F(7, 98) = 5.789, p = 0.001] and a significant treatment × day interaction [F(7, 98) = 20.809, p = 3.04 × 10−8] for alcohol intake. For water intake, two‐way ANOVA showed a significant effect of treatment [F(1, 11) = 13.081, p = 0.004, and a significant treatment × day interaction [F(7, 77) = 3.753, p = 0.02]. For alcohol preference, two‐way ANOVA showed a trend for the effect of treatment [F(1, 7) = 5.340, p = 0.054]. Post hoc pairwise t‐tests showed significant differences in alcohol intake between Nezavist and vehicle for Days 1–6 (*p = 1.15 × 10−7, 5.93 × 10−6, 4.65 × 10−4, 0.0029, 0.0192 and 0.0336) and for water intake on Days 1, 2 and 4 (*p = 1.5 × 10−3, 1.22 × 10−8, 0.028). For alcohol preference, two‐sample t‐tests showed differences between Nezavist and vehicle on Days 1, 2, 4 (*p < 0.05) and 5 (+p = 0.14). (K–M) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 75‐mg/kg Nezavist in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 8 per group) were administered vehicle or repeat doses of 75‐mg/kg Nezavist (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle‐ or Nezavist‐treated rats was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (K), Day 2 (L) and Day 3 (M) of the alcohol deprivation effect. Outliers (15 values > 2SDs from the mean) were treated as missing data. Three‐way ANOVA (drug treatment, day and alcohol concentration) showed a non‐significant interaction (F = 0.73, p = 0.744), while two‐way interaction between treatment group and alcohol concentration was significant (F = 3.15, p = 0.044). On Day 1, Nezavist‐treated animals reduced consumption of 5%, 10% and 20% alcohol compared to vehicle‐treated animals (p = 6.08e‐02, 1.16e‐06 and 6.64e‐05, respectively). On Day 2, Nezavist‐treated animals reduced consumption of all three concentrations of alcohol, compared to vehicle‐treated animals, with a significant effect on 10% and 20% alcohol (p = 0.008 and 0.01, respectively). On Day 3, Nezavist‐treated animals again reduced consumption of all three concentrations of alcohol, with significant effects on 10% and 20% alcohol (p = 0.014 and 0.022, respectively). (N–P) Alcohol intake, water intake and alcohol preference following repeated ip dosing of 200‐mg/kg Acamprosate in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Acamprosate‐treated rats and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 9/group) were administered vehicle or repeat doses of 200‐mg/kg Acamprosate. (H) Alcohol intake (g/kg), (I) water intake (mL/kg) and (J) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (basline) and on Day 1, Day 2, Day 3, Day 4, Day 5, Day 6 and Day 7 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Acamprosate‐treated animals. Outliers (> 2 SDs from the mean) were removed from the data. For alcohol intake, two‐way ANOVA showed a significant effect of day [F(7, 98) = 21.254, p = 3.58 × 10−17] and a significant treatment × day interaction [F(7, 98) = 3.08, p = 0.006]. For water intake, two‐way ANOVA showed a significant treatment effect [F(1, 16) = 5.663, p = 0.03], a significant day effect [F(7, 112) = 9.502, p = 6.28 × 10−5 and a significant treatment × day interaction [F(7, 112) = 5.437, p = 0.003]. Post hoc pairwise t‐tests showed differences between Acamprosate and vehicle for alcohol intake and water intake on Days 1 and 2 (*p < 0.02, +p < 0.06). Two‐sample t‐test showed differences (*p < 0.05) between Acamprosate and vehicle for alcohol preference on Days 1 and 2. (Q–S) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 200‐mg/kg Acamprosate in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 9 per group) were administered vehicle or repeat doses of 200‐mg/kg Acamprosate (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle‐ or Nezavist‐treated rats was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (Q), Day 2 (R) and Day 3 (S) of the alcohol deprivation effect. Outliers (18 values > 2SDs from the mean) were treated as missing data. Three‐way ANOVA (drug treatment, day, alcohol concentration) showed a significant interaction (F = 2.14, p = 0.0096), while the two‐way interaction between treatment group and alcohol concentration was suggestive (F = 2.97, p = 0.053). Because of the three‐way interaction, the data were stratified by day, and the interaction between treatment group and alcohol concentration was examined. On Day1, Acamprosate‐treated animals reduced consumption of 10% and 20% alcohol, compared to vehicle‐treated animals, with a significant effect on 20% alcohol (p = 0.0076). On Day 2, Acamprosate‐treated animals reduced consumption of 5% and 20% alcohol, compared to vehicle‐treated animals, with a significant effect on 20% alcohol (p = 0.005). On Day 3, Acamprosate‐treated animals reduced consumption of 10% alcohol, compared to vehicle‐treated animals, but this effect was not significant.\nWhen the quantity of each of the concentrations of alcohol (5%, 10% and 20%) consumed by the Nezavist (20 mg/kg × 5)‐treated and vehicle‐treated rats at baseline and during the initial 3 days after the deprivation period was examined individually (Figure 1E–G), a three‐way ANOVA (drug treatment, day and alcohol concentration) indicated that the three‐way interaction among these factors was not significant (p = 0.142). However, both the two‐way interaction between drug treatment and alcohol concentration (p = 0.001) and the two‐way interaction between day and alcohol concentration (p < 0.0001) were significant. Therefore, for further analyses, the data were stratified by day to help with interpretation of these interactions. As expected, at baseline, prior to alcohol deprivation and administration of Nezavist, there was no main effect of drug (Nezavist) treatment (p = 0.99) and no interaction of drug treatment and alcohol concentration (p = 0.31). Interestingly, there was no main effect of alcohol concentration at baseline (p = 0.74) (Figure 1E–G). Among the 3 days after administration of Nezavist, there was a significant interaction effect between Nezavist treatment and alcohol concentration on Day 2 (p = 0.012) and a suggestive interaction on Day 1 (p = 0.051) (Table S1), indicating that the effect of Nezavist on alcohol consumption differed from vehicle based on alcohol concentration. On Day 1, vehicle‐treated animals consumed the highest amount of alcohol by consumption of the 20% solution (3.41 g of alcohol/kg body weight for the 20% solution, 1.43 g/kg body weight for the 10% solution and less for the 5% solution). Treatment with Nezavist (20 mg/kg/dose) reduced the amount of alcohol ingested by drinking the 20% solution (2.16‐g/kg body weight, marginal significance, p = 0.064), and there was an increase in the quantity of alcohol consumed by drinking the 10% solution (also 2.16‐g/kg body weight for the 10% solution, p = 0.151 compared with vehicle‐treated animals) (Figure 1E). On Day 2, although the increase in consumption of the 10% solution by the Nezavist‐treated animals remained relatively constant, due to reduced variance, there was a significant difference between vehicle and Nezavist‐treated animals (p = 0.018, Figure 1F). Furthermore, as on Day 1, the increase in consumption of the 10% alcohol solution was compensated by a trend toward a decrease in the consumption of the 20% alcohol concentration (Day 2, p = 0.065). It should be noted that the full treatment with Nezavist was not completed until Day 2. On Day 3, the values for consumption of the 10% and 20% alcohol solutions by Nezavist‐treated animals were similar to the levels noted on Day 2, but with no significant differences compared to vehicle‐treated animals. Overall, on Day 1, the changes in consumption of the 10% and 20% solutions resulted in a diminution of the total alcohol consumed (Figure 1B).\nIncreasing the dose of Nezavist to 75‐mg/kg body weight ip, given five times over the 2.5‐day period, substantially increased the effects on alcohol and water consumption over a 7‐day period subsequent to the reintroduction of alcohol availability after forced abstinence (Figure 1H–J). The effect of alcohol deprivation to increase alcohol intake was again readily evident in the vehicle group. However, a dose of 75‐mg/kg body weight of Nezavist, with the first dose being given on the day prior to alcohol availability after the 14‐day deprivation period, and on two subsequent days, generated a significant decrease in the total amount of alcohol consumed on the first day of alcohol reintroduction compared to baseline alcohol consumption prior to the 14‐day deprivation period (ANOVA, p = 3.04 × 10−9). A significant difference (p < 0.05) in total alcohol intake persisted between the vehicle‐treated and the Nezavist‐treated groups for 6 days after reintroduction of alcohol following the deprivation period. In the vehicle‐treated group, alcohol consumption was increased and water consumption was decreased in conjunction with the increased alcohol intake. In contrast, alcohol intake was decreased by administration of Nezavist, and water intake was significantly increased over baseline in the group of animals treated with Nezavist, compared to the vehicle‐treated group (ANOVA, p = 0.02). The presentation of results as a preference ratio demonstrates that alcohol preference was close to zero in the Nezavist‐treated group for the 7 days following reintroduction of alcohol, while the alcohol preference ratio remained above 1 for 5 days after the reintroduction of alcohol in the vehicle‐treated group. Overall, there was a significant effect of Nezavist (75‐mg/kg body weight) on alcohol preference during the days (Days 1 and 2) when Nezavist was being administered (lower alcohol intake/higher water intake, p < 0.05), and this effect remained evident for at least 2 days after terminating Nezavist administration (p < 0.05). The Nezavist‐treated animals displayed a decrease in total fluid intake over the course of the experiment, but the animals consumed ~35 mL/kg/day of water on days when the effect of Nezavist was evident, suggesting that the animals were not dehydrated (https://policies.unc.edu/TDClient/2833/Portal/KB/ArticleDet?ID=132199) but are mainly reducing alcohol‐containing fluid consumption.\nWhen the quantity of each of the concentrations of alcohol consumed by the Nezavist (75 mg/kg × 5)‐treated and vehicle‐treated rats at baseline and during the initial 3 days after the deprivation period was examined individually (Figure 1K,L), the three‐way ANOVA was not significant (p = 0.142), but both the two‐way interaction between drug treatment and alcohol concentration (p = 0.044) and the two‐way interaction between day and treatment (p = 0.0002) were significant. Therefore, for further analyses, the data were stratified by day to simplify interpretation of these interactions. On Day 1 of the alcohol deprivation period, Nezavist treatment produced a significant diminution of all of the concentrations of alcohol, compared to vehicle‐treated animals (5%, p = 6.08e‐02; 10%, p = 1.16e‐06; 20%, p = 6.64e‐05;Figure 1K). During Day 2, there was a significant diminution of consumption of the 10% (p = 0.008) and 20% (p = 0.01) alcohol solutions by the Nezavist‐treated animals, but the consumption of the 5% solution was no longer significantly different from that of the vehicle‐treated animals (Figure 1L). The same pattern was noted on Day 3 (10% solution, p = 0.014; 20% solution p = 0.023; Figure 1M). On Day 4, only the consumption of the 10% solution was reduced in the Nezavist‐treated animals compared to vehicle‐treated animals (p = 0.005). From Day 5 onward, alcohol consumption by the Nezavist‐treated animals was reduced at all concentrations, but there were no statistically significant effects. However, the total overall consumption of alcohol was significantly lower on Days 5 and 6, and marginally lower on Day 7 in the Nezavist‐treated rats compared to vehicle‐treated rats (Figure 1H).\nThere was a minimal loss of body weight in the Nezavist‐treated animals (vehicle‐treated rats gained 0.9% of their starting body weight, while Nezavist‐treated rats lost 1.3% of their starting body weight over the course of the experiment). Locomotor activity was decreased in the Nezavist‐treated animals for the first 2 days of re‐exposure to alcohol (ANOVA, p < 0.05) (Figure S1) but returned to the level of the vehicle‐treated animals by the third day of re‐exposure, while alcohol intake and preference remained significantly decreased. This finding suggests that the decrease in locomotor activity did not cause the decrease in alcohol intake and could not account for the increased water intake. However, the decrease in locomotor activity may have contributed to decreased food intake, reflected in the small decrease in body weight of the Nezavist‐treated animals.\nAcamprosate (200‐mg/kg body weight × 5 ip) (used here as a comparator drug to Nezavist) produced a significant decrease in total alcohol consumption (p < 0.05) during the second day after the reintroduction of the alcohol solutions, compared to the vehicle‐treated rats (Figure 1N). This was primarily due to a diminution of consumption of the 20% alcohol solution (p = 0.0047; Figure 1R). The overall alcohol consumption was no longer significantly reduced by the third day of re‐exposure, when there were no significant differences in the consumption of any of the individual concentrations of alcohol (Figure 1S). In addition, the alcohol consumption of the Acamprosate‐treated rats did not fall below the alcohol consumption levels demonstrated by rats during the baseline consumption period prior to deprivation. Water consumption levels were higher in the Acamprosate‐treated animals compared to vehicle‐treated animals on the first 2 days of alcohol re‐exposure (p < 0.05), resulting in reduced alcohol preference on those days (p < 0.05) (Figure 1O,P). Alcohol intake and preference in the Acamprosate‐treated rats returned to the baseline level by Day 3 of alcohol re‐exposure. There were no significant differences in body weight or locomotor activity between the vehicle‐ and Acamprosate‐treated animals (data not shown).\nThe method described in [37, 38, 39] was used to evaluate the effect of Nezavist on the increase in alcohol intake that occurs in alcohol‐dependent animals during withdrawal from chronic alcohol exposure. The escalation of alcohol intake (operant responding) after alcohol withdrawal in dependent rats is considered to be a model of negative reinforcement alcohol seeking [6]. In the first experiment (Figure 2B), Nezavist was administered ip to dependent rats 30 min prior to the testing session. Nezavist significantly reduced responding for alcohol in a dose‐dependent manner, with no change in responding for water (ANOVA, p < 0.001). The effect of Nezavist in rats trained to respond for alcohol but not made dependent on alcohol (no exposure to alcohol vapour) was also determined. Nezavist, administered ip, was less potent in the nondependent rats (Figure 2C), with a significant effect only at a dose of 50 mg/kg (ANOVA, p < 0.05). Since Nezavist pharmacokinetic experiments, described below, showed very low or undetectable levels of Nezavist in the circulation after ip administration but higher levels of the major metabolite, DCUKA, the effect of DCUKA on the escalation of alcohol responding, was also assessed (Figure 2D). DCUKA (50 mg/kg), administered ip at a dose equivalent to the highest dose of Nezavist tested, did not affect responding for alcohol or water in the alcohol‐dependent rats (t‐test, p > 0.05).\nOperant responding for alcohol and water. (A) Experimental design of operant responding model. (B) Effect of ip Nezavist on alcohol and water operant self‐administration by alcohol‐dependent rats; 14 rats were used for this experiment. Drug treatment used a within‐subject Latin square design. Values represent the mean ± SEM of the number of rewards at the alcohol and the water lever. BSL = baseline pre‐vapour. ESC = baseline post escalation. After chronic vapour exposure and withdrawal, animals showed escalation of responding for alcohol (t = 3.384, df = 14, ##\np < 0.01 vs. BSL); One‐way ANOVA showed a significant effect of treatment: F(3, 13) = 16.98, p < 0.001. Newman–Keuls post hoc tests showed that all doses of Nezavist reduced operant responding (**p < 0.01 and ***p < 0.001 vs. Dose 0). Nezavist treatment did not modify water self‐administration [F(3, 13) = 0.50; p = NS]. (C) Effect of ip Nezavist on alcohol and water operant self‐administration by nondependent rats. Values represent the mean ± SEM of the number of rewards (lever presses) at the alcohol and the water lever. A total of 30 rats were used in this experiment. After training, rats were divided into four treatment groups (7–8/group). One‐way ANOVA showed a significant effect of treatment [F(3, 26) = 4.747, p < 0.05]. Neuman–Keuls post hoc test showed that 50 mg/kg of Nezavist reduced alcohol intake, *p < 0.05 vs. Dose 0. BSL = baseline pre‐treatment. (D) Effect of ip DCUKA on alcohol and water operant self‐administration by alcohol‐dependent rats. Values represent the mean ± SEM of the number of rewards (lever presses) for the alcohol and the water levers. A total of 10 rats were used in this experiment and were treated according to a Latin square design. BSL = baseline pre‐vapour. ESC = baseline post escalation. t = 3.626, df = 9, ## p < 0.01 vs. BSL. (E) Effect of orally administered Nezavist on alcohol and water operant self‐administration by alcohol‐dependent rats. Values represent mean ± SEM number of rewards, n = 9 rats/group. BSL = baseline pre‐vapour; ESC = baseline post escalation. Alcohol rewards: one‐way ANOVA including BSL and ESC groups showed a significant effect of treatment: [F(5, 102) = 3.299; p < 0.01]. Newman–Keuls post hoc test showed a significant escalation of intake in the ESC and dose 0 groups (*p < 0.01 and *p < 0.05, respectively) when compared to the BSL group. When the four Nezavist doses were analysed with four separate one‐way ANOVAs, the results showed that only the treatment with the 200‐mg/kg dose of Nezavist significantly reduced alcohol intake [F(2, 8) = 6.02; p < 0.05]. The Newman–Keuls post hoc test showed significantly reduced operant responding for alcohol by these animals (**\np < 0.05). Water rewards: Water intake was affected by the treatment with Nezavist [F(3, 32) = 3.142; p < 0.05]. Newman–Keuls post hoc test showed a significant increase in water consumption in animals treated with 200‐mg/kg Nezavist, compared with Dose 0 (*p < 0.05). (F) Time course of effect of orally administered Nezavist (200 mg/kg) on operant alcohol self‐administration by alcohol‐dependent rats. Values represent the mean ± SEM number of rewards at the alcohol lever (n = 12/group). One‐way ANOVA showed a significant effect of treatment [F (4, 55) = 2.593, p < 0.05]. Nezavist was effective when administered 1 h prior to testing (*p < 0.05, Neuman–Keuls test).\nThe effect of orally administered Nezavist on operant responding by the alcohol‐dependent rats was also evaluated (Figure 2E). Nezavist was delivered by oral gavage 1 h prior to testing and was effective in reducing alcohol intake by the alcohol‐dependent rats. However, compared to Nezavist administration by the ip route, a higher oral dose (200 mg/kg) was needed to produce a significant effect (ANOVA, p < 0.05). With the oral administration, there was a significant increase in water consumption in conjunction with the diminished lever pressing for alcohol (ANOVA, p < 0.05). A follow‐up experiment with orally administered Nezavist demonstrated a peak suppressive effect of Nezavist on alcohol responding at 1 h after administration (ANOVA, p < 0.05), and the effect was no longer evident by 4 h after administration (Figure 2F).\nOverall, the results in the operant responding model, using alcohol‐dependent rats, provide a similar picture as those seen with the alcohol deprivation effect, i.e., Nezavist demonstrates a dose‐dependent effect in reducing alcohol intake in dependent animals (‘negative reinforcement‐induced alcohol relapse’). It is also interesting that the threshold effective dose of Nezavist in either model was similar when Nezavist was administered ip. These results also show that Nezavist is less potent in nondependent animals, which may be an important feature for the use of Nezavist in humans.\nResults for locomotor activity in mice are shown in Figure 3A. The effect of Nezavist on ambulation, center activity, rearing activity and total activity was assessed in mice given 50‐, 200‐ or 500‐mg/kg Nezavist ip. There were no apparent effects of Nezavist on total ambulation or total rearing activity, although total center activity was significantly (p < 0.05) reduced in mice treated with 500‐mg/kg Nezavist, compared to vehicle‐treated mice. Total activity, i.e., a combination of ambulation and rearing activity, was not affected by any dose of Nezavist (ANOVA, p = 0.21).\nEffect of ip nezavist on mouse locomotor activity and rotarod performance. (A) Total activity: Values are mean ± SEM (n = 10/group) of activities measured, including ambulation and rearing, over time, for each dose group. ANOVA showed no significant effect of dose [F(3, 36) = 1.326, p = 0.28]. There was an effect of time: [F(3, 29) = 45.204, p < 0.0001] but no significant time × dose interaction [F(3, 87) = 0.987, p = 0.515]. (B) Rotarod performance. Values are mean ± SEM (n = 10/group) of speed (rpm) at which mice fell off the rotarod. ANOVA showed no significant effect of dose: [F(3, 36) = 0.711, p = 0.552]. There was a significant effect of time: [F(2, 3) = 13.95, p < 0.0001) and a trend toward a dose × time interaction: [F(3, 6) = 2.192, p = 0.0535]. However, the animals given doses of 50 or 200 mg/kg of Nezavist improved their performance by falling off at a higher speed at 30 and 20‐min posttreatment, compared to speed after vehicle treatment.\nResults for incoordination in mice are shown in Figure 3B. The speed of the rotarod was recorded when the animal fell at 0 min (baseline, predose), 30 min postinjection and 120 min postinjection. Three doses of Nezavist were administered via ip injection to mice: 50, 200 or 500 mg/kg. Nezavist did not produce impairment in the rotarod test at any dose.\nIn the elevated plus maze test to assess anxiety‐like behaviour, Nezavist did not affect the percent open arm time for either of the two mazes (Figure 4, ANOVA, p = 0.458 for clear enclosed sides; p = 0.751 for dark enclosed sides). More time on open arms would be indicative of decreased anxiety‐like behaviour. There was an effect of Nezavist on total arm entries (a measure of activity) for the Clear Enclosed Sides maze (ANOVA, p < 0.001), with the 150‐mg/kg dose significantly decreasing this measure (p < 0.05). However, Nezavist did not affect total arm entries in the other (Dark Enclosed Sides) maze. Overall, the results suggest that Nezavist has no significant effect on anxiety‐like behaviour measured in this test in mice. While Nezavist produced a small decrease in activity levels at the higher dose, this was not consistent across the two mazes.\nEffect of ip Nezavist on anxiety‐like behaviour in the elevated plus maze in mice. Values are mean ± SEM percent of time spent in open arms of two different plus mazes (n = 10/group). Nezavist had no significant effect on time in the open arms either in the clear enclosed sides maze (A), ANOVA: [F(2, 27) = 0.803, p = 0.458], or in the dark enclosed sides maze (B), ANOVA: [F(2, 27) = 0.29, p = 0.751]. Nezavist did reduce total arm entries, a measure of activity, in the clear enclosed sides maze only, ANOVA: [F(2, 27) = 8.86, p = 0.001], Fishers PLSD for arm entries, p < 0.05 vehicle and 50‐mg/kg dose vs. 150‐mg/kg dose.\nNezavist was also tested for anxiolytic and anxiogenic effects in seven other tests: startle response, prepulse inhibition, light/dark transfer test, sociability test, marble burying test, shock‐induced freezing and stress‐induced hyperthermia. There were no significant effects of up to 150‐mg/kg Nezavist, administered ip, in these tests (data not shown).\nIn our study, ‘floating time’ was measured, as it captures limb movements, even when the center point of the animal is considered to be immobile. Figure 5 shows that female rats treated with 50‐mg/kg Nezavist ip, 90 min before testing, showed significantly decreased floating time (immobility) compared to vehicle‐treated female animals (t‐test, p = 0.04). There was no significant difference between vehicle‐treated and Nezavist‐treated male rats in this test.\nEffect of Nezavist in the Porsolt (Forced Swim) test as a measure of stress coping activity. Effect of Nezavist (50 mg/kg, ip) on immobility in the Porsolt forced swim test. Male or female rats (n = 8) were treated with Nezavist or vehicle 90 min prior to the swim test. Values are mean ± SEM of time (sec) spent floating (immobility) during the 5‐min test. In females, immobility was significantly decreased by Nezavist (*p = 0.04, t‐test). Nezavist did not affect immobility in the male rats.\nTo assess the interaction of Nezavist and alcohol on sedation (loss of righting reflex), mice were injected ip with vehicle or Nezavist (50 or 200 mg/kg) 30 min prior to ip injection with 3.5 g/kg of alcohol. Figure 6A,B shows that neither dose of Nezavist affected the time for the mice to regain the righting reflex (A) or the blood alcohol level at which the righting reflex was regained (B).\nInteraction of ip Nezavist with alcohol on rotarod performance and sedation in male C57BL/6 mice. Interaction of Nezavist (50 or 200 mg/kg ip) with alcohol (1.5 g/kg or 3.5 g/kg ip) on sedation, as measured by loss of righting reflex (LORR), and rotarod performance in male C57BL/6 mice (n = 6/group). Values are mean ± SEM time to regain righting reflex (A) or time to regain balance on the rotarod (C); and corresponding blood alcohol levels (BAL) at regain of function (B and D). Nezavist did not affect the responses to alcohol. ANOVAS: LORR recovery [F(2, 15) = 0.560, p = 0.579]; LORR BAL, [F(2, 15) = 0.036, p = 0.965]; Rotarod recovery, [F(2, 14) = 1.246, p = 0.318]; Rotarod BAL, [F(2, 14) = 0.614, p = 0.56].\nTo assess the interaction of Nezavist and a lower dose of alcohol on incoordination, mice were injected ip with vehicle, 50‐ or 200‐mg/kg Nezavist and 30 min later were injected ip with 1.5‐g/kg alcohol. Mice were then tested for ability to maintain balance on the rotarod for 30 s at 7 rpm. Figure 6C,D shows that Nezavist did not affect the time for the mice to regain performance on the rotarod after alcohol treatment (C) and did not affect the blood alcohol level at the time when balance was regained (D). These results indicated that Nezavist did not affect alcohol metabolism.\nFigure 7A shows that mice treated with Nezavist (200 mg/kg ip) showed a small but significant increase in conditioned place preference (20% increased time spent in the drug‐paired environment, ANOVA, p = 0.0059), while mice treated with the lower doses of Nezavist (50 or 100 mg/kg) did not. Figure 7B shows that morphine, the positive control, displayed a significant place preference (t‐test, p < 0.001 vs. vehicle‐paired compartment), and the Nezavist metabolite, DCUKA (50 or 150 mg/kg), did not. The results indicate that Nezavist and DCUKA have little to no addictive potential, consistent with low to no detectable brain levels of drug after ip or oral administration (see below).\nAddictive potential of Nezavist: Conditioned place preference. Values are mean ± SEM. (A) Time spent in the compartment paired with Nezavist on the test day (‘postconditioning’; n = 10 C57BL/6 male mice/group). Nezavist (200 mg/kg) given ip significantly increased time spent in the paired compartment [ANOVA for 200 mg/kg pre vs. post, F(1, 9) = 12.87, p = 0.0059]. (B) Time spent in the drug‐paired or vehicle‐paired compartment on the test day (n = 10 CF‐1 male mice/group). Morphine (10 mg/kg) significantly increased time spent in the drug‐paired compartment (t‐test, *p < 0.001 compared to vehicle‐paired compartment). DCUKA‐treated mice (50 or 150 mg/kg) did not display significant place preference (t‐test, p > 0.05, compared to vehicle‐paired compartment).\nLevels of Nezavist and the major metabolite, DCUKA, in whole blood were quantified following administration (ip) of Nezavist at doses of 50 mg/kg, 3 × 50 mg/kg (one dose every 2 h), or 400 mg/kg to male Sprague Dawley rats. The rationale for administering multiple and high doses of Nezavist was to determine if blood and brain levels of Nezavist could be increased by accumulation after multiple doses of Nezavist were administered. For all doses of Nezavist that were administered, blood levels of Nezavist were low to undetectable. Blood levels of DCUKA were variable, but measurable (nM‐μM) after all Nezavist doses. DCUKA levels were lowest in the animals receiving a single 50‐mg/kg dose of Nezavist (Figure 8A) and increased in those receiving 3 × 50 mg/kg over a 4‐h period (Figure 8B). Blood levels of DCUKA were no higher after a single dose of 400 mg/kg than after 3 × 50 mg/kg doses (data not shown).\nPharmacokinetics of Nezavist. (A) Blood levels were measured in Sprague–Dawley rats following a single ip dose of 50 mg/kg of Nezavist. Values represent mean ± SD (n = 3 animals/time point). (B) Blood levels of Nezavist and DCUKA after the last of three consecutive ip injections of 50‐mg/kg Nezavist (total 150 mg/kg) spaced 2 h apart. Values represent mean ± SD (n = 3 animals/time point).\nIn Sprague Dawley rats treated with 50 mg/kg or 3 × 50 mg/kg Nezavist (ip), brain levels of Nezavist, if detectable, were in the nM range, were variable and most often were below the level of quantification (BQL) (Table 1). Brain levels of DCUKA were low (in the nM range) but increased with increasing doses of Nezavist.\nBrain levels of Nezavist and DCUKA after ip Nezavist administration.\nNote: Values represent mean ± SEM (n = 3). In some instances, values were < LLOQ (2.5 ng/g).\nConcentrations of Nezavist and DCUKA were measured in whole blood, liver and brain after oral administration of 50‐ or 150‐mg/kg Nezavist to male Sprague Dawley rats (Table 2). The levels of Nezavist in blood after either dose, and at all time points tested up to 120 min, were below the limit of quantification (BQL, < 1 ng/mL = < 2 nM). Nezavist and DCUKA were also measured in liver and brain tissue. Nezavist was detected in rat liver, reaching 41 and 57 nM at 30 min after administration of 50 or 150 mg/kg, respectively (Table 3). DCUKA levels were much higher than Nezavist levels in liver, reaching approximately 7 μM at 1 h after either dose of Nezavist. When brain levels of Nezavist were measured, Nezavist was BQL (< 7.5 ng/g = 16 nM) at all time points tested. DCUKA levels in the brain were low, compared to those seen in blood or liver; 33 nM DCUKA was measured in rat brain at 60 min after administration of 50 mg/kg of Nezavist, and about 40 nM at 60 min after administration of 150 mg/kg of Nezavist, but in several samples at other time points, levels were BQL (Table 4).\nBlood Levels of Nezavist and DCUKA after oral administration of Nezavist.\n250 mg/kg\nSDD\n250 mg/kg\n(SDD)\nNote: 50 and 150 mg/kg: Values represent mean ± SEM (30 min, n = 9; 60 min, n = 6; 90 and 120 min, n = 3). Nezavist BQL < 1 ng/mL = 2 nM. 250 mg/kg: 20% loading spray‐dried dispersion (SDD). Values represent mean ± SEM (n = 7).\n2.1 nM in one rat; BQL in six rats.\nLevels in two rats: 1.4 and 2.6 nM; BQL in five rats.\nLiver levels of Nezavist and DCUKA after oral administration of Nezavist.\nNote: Values represent mean ± SEM (n = 3).\nBrain levels of Nezavist and DCUKA after oral administration of Nezavist.\nNote: Values represent mean ± SEM (n = 3 unless otherwise noted, in some instances, DCUKA values were BQL. BQL < 7.5 ng/g [15‐nM Nezavist; 16‐nM DCUKA]).\nIn the final set of pharmacokinetic studies, yet another formulation of Nezavist (a spray‐dried dispersion, SDD) was used. In these studies, a dose of 250 mg/kg of Nezavist was administered orally to male Wistar rats. Only two out of seven animals showed measurable levels of Nezavist in plasma at one or two time points (maximum, 1.4 and 2.6 nM), while the level of Nezavist in the other five rats was below the limit of quantification at all time points measured (Table 2).\nWhen considering which organs outside of the CNS contain substantial quantities of GABAA receptors, the intestine, including cells of the enteric nervous system and the enteroendocrine cells, becomes notable [29, 59]. One of the known functions of GABA in the intestine is to mediate the contraction of the intestinal musculature via GABAA receptors [60], and information about the contractility of the intestine and hormonal, nutrient and immune mediator signals are conveyed to the brain from the intestine via the vagus nerve. Thus, it became of interest to examine the effect of Nezavist on intestinal function. As already mentioned, Nezavist is an effective PAM at the GABAA receptor [2].\nThe effects of Nezavist and DCUKA on the mouse ileum and colon were examined in order to infer their potential impact on overall GI motility, as described in Seifi et al. [43, 44]. The effect of Nezavist and DCUKA on longitudinal smooth muscle contractility in the ileum was investigated by examining spontaneous contractility and basal tone. Nezavist increased the force of spontaneous contraction in a dose‐dependent manner from 3− 100 μM (Figure 9A), with a statistically significant increase from baseline at 100 μM (ANOVA and Tukey test, p < 0.05). The frequency of the contractions, however, was not significantly affected by the application of Nezavist (300 nM–100 μM) (Figure 9B). Interestingly, DCUKA (1–30 μM) significantly decreased the force of spontaneous contraction (p < 0.0001) and significantly decreased the frequency of spontaneous contraction at 30 μM (p < 0.01) (Figure 9C,D). The effect of Nezavist and DCUKA on ileal tone was also investigated (Figure 9E,F). The basal tone of the ileal tissue increased in a dose‐dependent manner following the application of 3–100‐μM Nezavist, with a statistically significant increase from baseline at 100 μM (p < 0.05). DCUKA had no significant effect on basal tone. The difference in effects of Nezavist and DCUKA on ileal spontaneous contraction and basal tone may reflect differences in receptor selectivity between the two compounds. For instance, Nezavist is 10 times more potent as a PAM at the GABAA receptor compared to DCUKA, and DCUKA has a spectrum of activity that includes effects on other receptors [61].\nEffect of Nezavist or DCUKA on spontaneous contractility and basal tone in the ileum. Values represent mean ± SEM. (A–D) Spontaneous contraction: Force of spontaneous contraction produced by Nezavist (A) or DCUKA (C). Frequency of spontaneous contraction produced by nezavist (B) or DCUKA (D). Blue lines in subplots A and C illustrate a dose response relationship. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001 (one‐way repeat measures ANOVA followed by Tukey post hoc testing). (E,F) Basal tone: Basal tone compared to baseline ((application force—baseline tone)/(baseline tone)). Effect of Nezavist (E) or DCUKA (F) on basal tone. Blue line illustrates a dose response relationship. *p < 0.05 (one‐way repeat measures ANOVA followed by Tukey post hoc testing).\nIn contrast to the ileum, Nezavist and DCUKA had no significant effects on spontaneous contractility or tone of the colon (data not shown, but see Section 4).\nThe effects of Nezavist on vagal nerve activity were examined by the methods described in detail in West et al. [45]. Segments of the jejunum were collected from adult male C57BL/6 mice with attached mesenteric arcade containing a neuromuscular bundle and placed in Krebs buffer. An ex vivo mouse intestinal segment perfusion preparation was used to record afferent single unit vagal activity [46, 47, 48] after luminal exposure to Nezavist (Figure 10A). Nicardipine was present in the perfusion buffer during measures of electrophysiological responses. Recorded single unit events were subdivided into vehicle (Krebs) and treatment periods, and for each event, mean interspike intervals (MII) were recorded. Figure 10B illustrates the firing intensity for single vagal fibres recorded under control condition (Krebs buffer‐perfused jejunum) versus recording when 1‐, 10‐ or 100‐μM Nezavist was perfused through the jejunum. For Nezavist concentrations greater than 1 μM, MII was reduced, that is, vagal firing rates increased (paired t‐test, p = 0.0036 [10 μM], p = 0.0066 [100 μM]). The Pearson correlation coefficient of 0.3 for a plot of fractional change in MII versus MII values indicates a moderate strength of a linear relationship between the two variables (Figure 10C). What is notable in these data are that Nezavist dominantly stimulated the rate of discharge of a subset of neurons (Figure 10D,E) which, under the control (‘Krebs buffer’) condition, have a particularly slow rate of firing (high MII). This is particularly evident when a sufficient number of neurons are assessed, as can be seen in the experiments using 10 μM (paired t‐test, p = 0.0049) or 100 μM (paired t‐test, p = 0.0084) Nezavist. All of the recorded neurons are assumed to be afferent (travelling from gut to brain). Efferent neuron axons (fibres) would be quiescent, since they have been severed from the components that can generate an action potential in response to a neurotransmitter stimulus (which reside in the CNS).\nEffects of Nezavist on vagal afferent firing. (A) Gut‐to‐brain vagal afferent recording setup with mouse jejunum tissue segments. Vagal afferent signals were recorded where the mesenteric nerve bundle emerges from the small intestine. Afferent multiunit extracellular action potentials were recorded via a suction electrode from a mesenteric nerve bundle attached to a segment of the jejunum. Parameters measured from stylized single unit (action potential) firing patterns (burst duration, gap duration, intraburst interval and mean interspike interval) are illustrated in the upper diagram. (B,C) Nezavist effect on vagus mean interspike intervals (MIIs) for all MIIs obtained in the presence of vehicle (Krebs). Jejunum tissue segments were collected from male C57BL/6 mice with attached mesenteric arcade (containing a neuromuscular bundle) from which vagal nerve firing was recorded. (B) The effects of 1‐, 10‐ or 100‐μM Nezavist on MII were compared to MII in the presence of vehicle (Krebs buffer). Nezavist (10 and 100 μM) reduced MIIs (p‐values (displayed on each plot) were calculated by paired t‐test). (C) MII fractional change calculated as ((treatment—Krebs control)/Krebs control). Fractional change for 10‐ and 100‐μM Nezavist plotted against MII with a Pearson correlation coefficient of 0.3 for a best fit straight line. (D,E) Nezavist effect on vagus MIIs for vehicle MIIs > 10 s. D. Frequency distribution of MII in the presence of vehicle. In this figure, the effect of Nezavist on MIIs > 10 s, circled in red, is shown. (E) These represent slow‐firing vagal fibres, which are particularly affected by Nezavist (10 and 100 μM). p‐values are calculated by paired t‐test. (F,G) Effect of GABAA receptor antagonists on the vagal firing response to Nezavist. The effect of Nezavist on MII of vagal afferent firing is illustrated. Values represent mean ± SEM p‐values are displayed on the plots. Neither picrotoxin (F) nor bicuculline (G) alone affected vagal firing rates, compared to vehicle (Krebs buffer). Nezavist (100 μM) significantly reduced MII (increased vagal firing), compared to vehicle (Krebs) (paired t‐tests with Šidák's corrections for multiple comparisons). This effect was blocked in the presence of picrotoxin or bicuculline. (H) Distinguishing vagal firing pattern codes evoked by different luminal agents. The patterns of vagal nerve firing in segments of mouse jejunum tissue were compared in the presence of Nezavist, diazepam, ethanol or cholecystokinin (CCK). Effects of these agents on mean interspike interval (MII), burst duration (BD), gap duration (GD) and intraburst intervals (IBI), as noted in the top panel, were recorded. Values represent mean ± SEM for the number of vagal fibres recorded (number above bars = n). Results are shown as fractional changes compared to vehicle (Krebs buffer). The GABAA receptor modulator diazepam had no significant effect on any parameter, in contrast to Nezavist. The firing pattern in response to ethanol differs from that in response to Nezavist. Similar firing patterns were observed in response to Nezavist and CCK. (I) The effect of Nezavist on vagal firing rate in the presence of a nicotinic cholinergic antagonist. Mecamylamine is a broad spectrum, noncompetitive, voltage‐dependent antagonist of nicotinic acetylcholine receptors. The effect of Nezavist on MII of vagal afferent firing is illustrated. Mecamylamine alone did not significantly affect vagal firing rates, compared to vehicle (Krebs buffer). Nezavist (100 μM) significantly reduced MII (increased vagal firing), compared to vehicle (N = 12, Holm–Šidák's multiple comparison tests; p‐values on plot). This effect was blocked in the presence of a concentration of mecamylamine that produces complete inhibition of nicotinic cholinergic signalling. These data (mean ± SEM, n = numbers within bars) suggest a potential role for a functional vagal nicotinic sensory synapse that involves the activation of enteric nervous system intrinsic primary afferent neurons (IPANs) in the action of Nezavist.\nNezavist is a PAM at GABAA receptors and, if GABAA receptors are involved in the response noted in the firing patterns of the afferent vagal neurons, then a known GABAA receptor channel blocker, such as picrotoxin [62], or a GABAA receptor binding site antagonist, for example, bicuculline, would be expected to dampen or eliminate the response to Nezavist. Figure 10F,G illustrates that both picrotoxin (paired‐test, p = 0.01) and bicuculline (p = 0.01) completely blocked the effect of Nezavist, supporting the inference that Nezavist actions on vagal firing involved the GABAA receptor system.\nTo determine if Nezavist action is unique, or whether any GABAA receptor PAM would produce the same effect on vagal firing pattern codes, we compared the effect of diazepam, the classic high affinity ligand for the benzodiazepine binding site on the GABAA receptor, which acts as a GABAA receptor PAM [63]. Figure 10H shows that application of diazepam (at what can be considered a saturating concentration for GABAA receptors) produced no significant effect on vagal afferent neuron firing patterns. One plausible explanation for this difference from Nezavist is that the GABAA receptors in the gut that mediate the effect of Nezavist may contain either an α6 or a δ subunit instead of a γ subunit and other α subunits. Diazepam cannot function in the presence of an α6 or a δ subunit, while Nezavist can produce its PAM effect in the presence of either α6 or the δ or γ subunits [2, 63] and unpublished observation with α6‐containing GABAA receptors. Ethanol (1%; a concentration expected in the upper intestine of humans after consuming alcohol [64, 65]) produced a different pattern of vagal afferent fibre firing than Nezavist (Figure 10H).\nThere is a report of GABAA receptors containing a δ subunit being present on the enteroendocrine cells, which secrete cholecystokinin (CCK) in the intestine [29], and activation of GABAA receptors on these CCK‐releasing enteroendocrine cells leads to membrane depolarization and potentiation of CCK release [29]. Vagal neurons contain receptors for CCK [66, 67] and thus the effects of Nezavist on vagal neuron firing may be secondary to Nezavist‐mediated release of CCK and CCK action on the vagus within the jejunal preparation. Figure 10H illustrates that exogenous application of CCK to the jejunum produced an identical vagal neuronal firing pattern code as seen with Nezavist. The similarity in the actions of CCK and Nezavist provides a plausible path by which Nezavist can activate the firing of a subset of vagal afferent neurons. Furthermore, Figure 10I shows that the effect of Nezavist on vagal firing rate can be reduced by the nicotinic cholinergic antagonist, mecamylamine (Holm–Šidák multiple comparison test, p = 0.05). This result suggests that Nezavist may also activate a functional vagal nicotinic cholinergic ‘sensory synapse’ that involves activity of intrinsic afferent primary afferent neurons (IPANs) in the enteric nervous system [68].\nTo investigate whether Nezavist's effect on vagal firing results in a change in vagal input into the brain, the effect of Nezavist on the expression of an immediate‐early gene, c‐Fos, in the NTS, the initial CNS target of vagal afferents, was examined. Lipopolysaccharide (LPS) is a major component of the outer membrane of Gram‐negative bacteria, which initiates a strong immune response, including an increase in inflammatory cytokines in the brain and periphery [69]. The administration of LPS and the concomitant increase in peripheral cytokines activates the vagus nerve [70]. Our experiments were designed to assess not only the effect of Nezavist on vagal signalling to brain, but also to investigate Nezavist's effect on a well‐studied c‐Fos response in the NTS produced by LPS via the vagus [71]. The experimental design is illustrated in Figure 11A. The number of c‐Fos‐positive cells was counted in mice that received pretreatment with LPS (or vehicle) and then were treated with Nezavist (or placebo). Due to the metabolism of Nezavist and timing of its behavioural effects, tissue was sampled at 90‐ and 150‐min posttreatment. Representative c‐Fos levels across an entire NTS section, and specifically within the anterior and posterior regions of interest, are shown in Figure 11B,C. The data were analysed using a linear mixed model to overcome sampling differences between mice. There was no statistically significant effect of time point (90 vs. 150 min) alone (t\n(57.69) = 0.033, p = 0.9735) or in interaction with other factors on c‐Fos‐positive cell counts (ps = 0.1080–0.8653), so results are shown collapsed across time points for the anterior (rostral) and posterior (caudal) NTS. There was a significant three‐way interaction between LPS treatment, Nezavist treatment and position within the NTS on the number of c‐Fos‐positive cells (t\n\n(508.42)\n = −4.679, p < 0.0001). As shown in Figure 11D–F, Nezavist alone did not alter the number of c‐Fos‐positive cells in either NTS subregion, although there was a small trend for suppression of c‐Fos‐positive cells in the anterior NTS (post hoc tests; anterior vehicle‐treated, Nezavist—placebo: p = 0.0612; posterior, vehicle‐treated, Nezavist—placebo: p = 0.45). LPS treatment, by itself, significantly increased the number of c‐Fos‐positive cells only in the posterior NTS (post hoc tests; anterior placebo‐treated LPS—vehicle: t\n\n(52.51)\n = 0.798, p = 0.4284; posterior placebo‐treated LPS—vehicle: t\n\n(141.95)\n = 8.106, p < 0.0001). Nezavist did not affect the number c‐Fos‐positive cells in anterior NTS when administered with LPS (post hoc tests; t\n\n(59.32)\n = 1.562, p = 0.1235) but suppressed the LPS‐induced increase in c‐Fos‐positive cells in the posterior NTS (t\n\n(111.98)\n = −4.785, p < 0.0001). Together, these results indicate that Nezavist significantly diminished NTS neuron activation (c‐Fos labelling increases) by LPS, specifically in the posterior (caudal) NTS.\nEffects of ip LPS and Nezavist on c‐Fos expression in NTS of C57BL/6 mice. (A) Experimental design of the study. (B,C) c‐Fos staining. Collected brain tissue was stained for c‐Fos and c‐Fos‐positive cells were counted as a proxy for neuronal activation. 20X magnification images were collected and analysed from both anterior (B) and posterior (C) aspects of the nucleus tractus solitarius (NTS). (D–F) Quantification of c‐Fos staining. representative images from each of the groups at the 90‐min time point are shown from anterior (D, top row) and posterior (D, bottom row) NTS. Linear mixed model analyses showed that LPS had no effect on c‐Fos‐positive cell counts in the anterior NTS (E) but significantly increased c‐Fos‐positive cells in the posterior NTS (anterior: p = 0.4284; posterior: p < 0.0001) (F). Nezavist with LPS treatment had no effect on the number c‐Fos‐positive cells in anterior NTS (p = 0.1235) but Nezavist significantly, but not fully, reduced LPS‐induced activation of the posterior NTS (p < 0.0001). There was no effect of Nezavist alone on NTS activation in either subregion (ps = 0.0612, anterior; 0.4555, posterior). Individual data points displayed here represent c‐Fos‐positive cell counts in individual images taken across mice. The bars and error bars represent the means ± SEMs of these images; ***, p < 0.001.\nThese experiments were designed to assess the possible downstream effects of LPS administration and the impact of Nezavist on these effects. We measured cytokine responses in blood and brain (hippocampus), and microglial activation in the hippocampus produced by LPS in the absence and presence of Nezavist treatment. In these experiments, LPS was administered ip once daily for 4 days, followed by one of two doses (50 or 100 mg/kg) of Nezavist (administered ip). None of the animals died prematurely or had to be euthanized during the course of the study.\nBehavioural signs scores of the vehicle‐only treated control group remained low throughout the monitoring period. In contrast, all mice of the LPS treatment groups showed significantly (ANOVA, p < 0.001) increased behavioural symptoms (e.g., reduced general health condition and activity) following LPS treatment, reaching peak scores on Day 2. From Day 2 to Day 4, the behavioural symptoms of the LPS treatment groups steadily declined. However, both Nezavist treatment groups showed a slower rate of decline of symptoms compared to control animals (LPS, vehicle), irrespective of the administered dose. The Nezavist/LPS‐treated animals exhibited significantly higher behavioural scores on Day 4 (ANOVA and multiple comparisons, 50‐mg/kg Nezavist, p < 0.005; 100‐mg/kg Nezavist, p < 0.002) compared to the LPS/vehicle‐treated mice.\nAll animals from the LPS treatment groups showed significant (p ≤ 0.008) body weight loss from Day 2 until tissue collection on Day 5, whereas the vehicle‐only treated animals maintained stable body weights throughout the entire observation period. From Days 3 to 5, the body weights of the control LPS group (LPS/vehicle) stabilized and remained constant until tissue collection, whereas the LPS/Nezavist treatment groups showed further decreasing body weights until study end. The mice that were treated with LPS and 100‐mg/kg Nezavist displayed significantly (ANOVA p < 0.01) lower body weights on Day 5 in comparison to the LPS/vehicle‐treated mice.\nCompared to vehicle‐only treated controls, all LPS treatment groups showed reduced exploratory behaviour. This effect was indicated by significantly (ANOVA) reduced ‘hyperactivity’ (p < 0.02), total distance traversed (p < 0.02) and number and duration of rearings (p < 0.04). Compared to LPS/vehicle‐treated animals, the mice receiving 100 mg/kg of Nezavist and LPS showed significantly decreased ‘hyperactivity’ (p < 0.02) but no effects on the other measures of exploratory behaviour. No statistically significant group differences in overall activity and thigmotaxis behaviour were detected.\nDefecation was assessed as a measure of emotionality and was significantly (ANOVA and multiple comparisons, p < 0.001) reduced in both Nezavist/LPS treatment groups in comparison to the LPS/vehicle group.\nCytokine levels in the hippocampus were measured at 18 h after the last LPS or LPS/Nezavist treatment. Compared to vehicle‐only treated control mice, the LPS/saline‐treated mice showed significantly (ANOVA) increased levels of hippocampal IL‐1β (p < 0.001), IL‐6 (p < 0.05) and TNF‐α (p < 0.001) (Figure 12B–D).\nEffect of LPS and Nezavist on hippocampal cytokine levels and plasma CRF and corticosterone in mice. (A) Experimental design of the study. (B–G) Hippocampal cytokine levels. Levels of IL‐1β (B), IL‐6 (C), TNF‐α (D), IL‐10 (E), IL‐12p70 (F) and IL‐18 (G) in hippocampus collected from all treatment groups on Day 5, as determined by MSD assay, are shown (mean ± SEM). Averaged data from two separate experiments with the same samples are shown. Values are given as pg/g protein. No outlier test was performed. Statistics (n = 10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (TNF‐α and IL‐10) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (all other measures). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05, ***p < 0.001. (H–K) Quantification of Iba1 Immunofluorescence in the C57BL/6 Mouse Hippocampus (HC) after ip Nezavist and LPS. Immunofluorescence of Iba1 was detected with guinea pig monoclonal [Gp311H9] antibody. Iba1 immunosignal was significantly increased in LPS‐only treated animals in all four measured read‐outs when compared to vehicle‐only treated controls. Treatment with Nezavist at both doses led to significantly reduced immunoreactive area (H), density (I) and size (K) values of Iba1‐positive objects. In the case of the high dose animals (100‐mg/kg Nezavist) object intensity values were also significantly reduced (J). Graphs show the means of immunofluorescent signal on five brain sections per mouse [n = 10]. Data were analysed by one‐way ANOVA and Bonferroni's post hoc test. The C57BL/6, LPS, vehicle group was defined as reference group for pairwise comparisons. Bar graphs represent group means + SEM. *p < 0.05, ***p < 0.001. (L–O) Quantification of CD68 Immunofluorescence in the C57BL/6 mouse hippocampus (HC) after ip Nezavist and LPS. Immunofluorescence of CD68 was detected with rat monoclonal [FA‐11] antibody. The immunosignal was significantly increased in the LPS‐only treated animals when compared to vehicle‐only treated controls. Slightly lower mean values of immunoreactive area (L) and object density (M) were found in mice that were treated with Nezavist; however, treatment effects were only significant in the case of the object intensity (N) in the lower dose (50 mg/kg) Nezavist‐treated animals. Graphs show the means of immunofluorescent signal on five brain sections per mouse [n = 10]. Data were analysed by one‐way ANOVA and Bonferroni's post hoc test (object intensity and object size) or by Kruskal–Wallis test and Dunn's post hoc test (immunoreactive area and object density). The C57BL/6, LPS, vehicle group was defined as reference group for pairwise comparisons. Bar graphs represent group means ± SEM. *p < 0.05, ***p < 0.001. (P–T) Effects of LPS and Nezavist on plasma cytokine levels in C57BL/6 mice. Levels of IL‐1β (P), IL‐6 (Q), TNF‐α (R), IL‐10 (S) and IL‐12p70 (T) in terminal plasma samples collected from all treatment groups on Day 5, as determined by MSD assay, (mean ± SEM). Data are given as pg/mL plasma. No outlier test was performed. Statistics (n = 9–10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (IL‐1β or IL‐12p70) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (all other measures). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05, **p < 0.01, ***p < 0.001. LLOQ, lower limit of quantification. (U,V) Effects of ip LPS and Nezavist on plasma CRF and corticosterone in C57BL/6 mice. Levels of CRF (U) and corticosterone (V) in terminal plasma samples collected from all treatment groups on Day 5, as determined by ELISA, are shown (mean ± SEM, pg/mL plasma). No outlier test was performed. Statistics (n = 10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (CRF) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (corticosterone). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05 and ***p < 0.001.\nIn the hippocampus, the treatment with Nezavist at both of the tested doses given after LPS had no significant effect on IL‐6 increases produced by LPS but significantly reduced the LPS‐generated hippocampal IL‐1β levels (by approximately 45%, p < 0.05), compared to LPS/vehicle‐treated mice. Nezavist (100 mg/kg) produced a very small but significant (p < 0.05) increase in TNF‐α levels, compared to LPS/vehicle‐treated mice. Neither LPS nor Nezavist plus LPS altered the levels of IL‐10, IL‐12p70 or IL‐18 in hippocampus (Figure 12E–G).\nBrains were obtained at 18 h after the last LPS or LPS/Nezavist treatment for histological analysis. Brains were stained for Iba1 (Ionized calcium‐binding adaptor molecule) (1), a marker that is particularly useful for identifying activated microglia and macrophages [72], GFAP (glial fibrillary acidic protein), a marker for astrocytes [73], and CD68, which identifies infiltrating monocytes and macrophages, and is also used to identify activated microglia [74]. For quantification, the region of interest (hippocampus) was identified, and the three proteins were quantified based on (1) immunoreactive area, to determine overall differences in immunoreactivity across treatment groups; (2) the number of objects, normalized to the region of interest (object density); (3) mean signal intensity of identified objects, which indicates whether there are differences in cellular expression of the various proteins across treatment groups; and (4) object size. Figure S2 shows the immunofluorescence of the measured proteins. The effects of LPS and Nezavist on Iba1 and CD68 staining in hippocampus are illustrated in Figure 12H–K and L–O, respectively. LPS increased the hippocampal immunoreactivity, object density, object intensity and object size of Iba1 (ANOVA p < 0.001). Nezavist at both doses reduced the LPS‐induced increases in immunoreactivity, density and size of objects (p < 0.001), and at the higher dose also significantly reduced object intensity (p < 0.05, Figure 12H–K). LPS treatment increased hippocampal immunoreactivity and object density of CD68 (p < 0.001) and produced a very small but statistically significant reduction in object intensity (p < 0.05), with no significant effect on object size (Figure 12L–O). Although treatment with both doses of Nezavist reduced the effect of LPS on immunoreactive area and object density of CD68, these changes did not reach statistical significance. 50‐mg/kg Nezavist produced a small but statistically significant increase in CD68 object intensity (p < 0.05) (Figure 12N). LPS had little effect on staining for GFAP, and Nezavist did not affect the response to LPS (data not shown). Overall, these results indicate a substantial and significant effect of Nezavist to reduce the LPS‐induced increase in Iba1 microglial staining. While CD68 staining is less selective for identifying activated microglia and also identifies monocytes and macrophages infiltrating from the periphery, the trend is similar for the effect of Nezavist to reduce the hippocampal CD68 response to LPS.\nIn contrast to the effects in hippocampus, treatment with Nezavist and LPS led to a significant (ANOVA) and dose‐dependent increase in the plasma levels of IL‐1β, IL‐6, TNF‐α and IL‐10 (p < 0.05 to 0.001), compared to mice that received the LPS/saline treatment. Furthermore, a significant (p < 0.05) increase in the plasma IL‐12p70 levels was detected in mice that were treated with 50‐mg/kg Nezavist and LPS, while LPS/saline had no effect (Figure 12P–T).\nCompared to vehicle‐only treated animals, plasma CRF levels of the LPS/saline‐treated mice were significantly reduced by approximately 50% when measured 18 h after the last dose of LPS (p < 0.001). Treatment with Nezavist plus LPS at either of the tested doses of Nezavist led to an even further reduction of the plasma CRF levels (50 mg/kg, p < 0.001; 100 mg/kg, p < 0.05, Figure 12U). In contrast, there were no statistically significant changes in plasma corticosterone levels produced by LPS/saline or LPS plus Nezavist treatment (Figure 12V).\n\n\n### Effect of Nezavist on Abstinence‐Induced Escalation of Alcohol (Ethanol) Intake\nThe ‘alcohol deprivation effect’ model with repeated deprivation phases as described by Spanagel et al. [57, 58] involves long term (10 months) consumption of alcohol (ethanol) by rats with intermittent periods of abstinence. When animals regain access to alcohol following the deprivation period, there is a statistically significant increase in alcohol consumption for several days after alcohol reintroduction. Figure 1B–D from our studies shows results of treatment with repeated [5] doses of 20‐mg/kg Nezavist. Total alcohol intake was significantly increased over basal levels on the first day and for the two succeeding days after alcohol re‐exposure in both the vehicle and Nezavist‐treated groups (ANOVA, p = 6.5 × 10−17), but the escalation of total alcohol consumption by the vehicle‐treated group during the first day after reintroduction of alcohol was modestly blunted in the group that received the Nezavist treatment (two‐sample t‐test, p = 0.12, Figure 1B). In both Nezavist and vehicle‐treated animals, the consumption of water was significantly decreased on the first and subsequent days, in conjunction with the increased consumption of the alcohol solution after reintroduction of alcohol availability (ANOVA, p = 4.8 × 10−7, Figure 1C). Nezavist administration significantly reduced this decrease in water consumption on Day 1 (p < 0.05). Thus, when alcohol preference was calculated (amount of alcohol consumed/quantity of water consumed per day) for each animal, there was a significant increase in preference over the 3‐day period in both groups (ANOVA, p = 0.01), but the administration of Nezavist (20 mg/kg × 5) produced a significant diminution of alcohol preference on the first day of post‐abstinence alcohol consumption, compared to vehicle‐treated rats (Figure 1D, p < 0.05). There was no significant effect of the Nezavist treatment on locomotor activity or body weight (data not shown).\nAlcohol deprivation effect model: Effect of Nezavist. (A) Experimental design of the alcohol deprivation effect model. (B–D) Alcohol Intake, water intake and alcohol preference following repeated ip dosing of 20‐mg/kg Nezavist in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Nezavist‐treated rats, and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 12–14/group) were administered vehicle or repeat doses of 20‐mg/kg Nezavist (ip). (B) Alcohol intake (g/kg/day), (C) water intake (mL/kg/day) and (D) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (baseline), and on Day 1, Day 2 and Day 3 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Nezavist‐treated animals. Outliers (> 2 SDs from the mean) were removed from the analysis. Two‐way ANOVA showed a significant effect of day on alcohol intake [F(3, 69) = 48.197, p = 6.5 × 10−17], water intake [F(3, 60) = 28.28, p = 4.8 × 10−7] and alcohol preference [F(3, 45) = 6.573, p = 0.01]. *p < 0.05, +\np = 0.12 effect of Nezavist compared to vehicle (two‐sample t‐test comparisons). (E–G) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 20‐mg/kg Nezavist in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 12–14 per group) were administered vehicle or repeat doses of 20‐mg/kg Nezavist (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle or Nezavist‐treated rats at was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (E), Day 2 (F) and Day 3 (G) of the alcohol deprivation effect. Outliers (> 2SDs from the mean) were treated as missing data (six of 312 observations were outliers). Three‐way ANOVA (drug treatment, day, alcohol concentration) showed a non‐significant interaction (F = 1.62, p = 0.142). Two‐way interactions between treatment group and alcohol concentration and between day and alcohol concentration were significant (F = 6.71, p = 0.0014 and F = 5.00, p = < 0.0001, respectively). On Day 1 (E), there was a suggestive interaction between drug treatment and alcohol concentration (p = 0.0507) with marginal significance between Nezavist and vehicle‐treated animals for consumption of 10% alcohol (p = 0.1514) and 20% alcohol (p = 0.0640). On Day 2 (F), there was a significant interaction between drug treatment and alcohol concentration (p = 0.0107), with a significant difference in consumption of 10% alcohol (p = 0.0184) and a marginal difference in consumption of 20% alcohol (p = 0.065) between Nezavist and alcohol‐treated animals. See Table S1 for more detail. (H–J) Alcohol intake, water intake and alcohol preference following repeated ip dosing of 75‐mg/kg Nezavist in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Nezavist‐treated rats, and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 8/group) were administered vehicle or repeat doses of 75‐mg/kg Nezavist (ip). (E) Alcohol Intake (g/kg), (F) water intake (mL/kg) and (G) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (Basline) and on Day 1, Day 2, Day 3, Day 4, Day 5, Day 6 and Day 7 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Nezavist‐treated animals. Outliers (> 2 SDs from the mean) were removed from the data. Two‐way ANOVA showed a significant effect of treatment [F(1, 14) = 29.658, p = 8.62 × 10−5], a significant effect of day [F(7, 98) = 5.789, p = 0.001] and a significant treatment × day interaction [F(7, 98) = 20.809, p = 3.04 × 10−8] for alcohol intake. For water intake, two‐way ANOVA showed a significant effect of treatment [F(1, 11) = 13.081, p = 0.004, and a significant treatment × day interaction [F(7, 77) = 3.753, p = 0.02]. For alcohol preference, two‐way ANOVA showed a trend for the effect of treatment [F(1, 7) = 5.340, p = 0.054]. Post hoc pairwise t‐tests showed significant differences in alcohol intake between Nezavist and vehicle for Days 1–6 (*p = 1.15 × 10−7, 5.93 × 10−6, 4.65 × 10−4, 0.0029, 0.0192 and 0.0336) and for water intake on Days 1, 2 and 4 (*p = 1.5 × 10−3, 1.22 × 10−8, 0.028). For alcohol preference, two‐sample t‐tests showed differences between Nezavist and vehicle on Days 1, 2, 4 (*p < 0.05) and 5 (+p = 0.14). (K–M) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 75‐mg/kg Nezavist in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 8 per group) were administered vehicle or repeat doses of 75‐mg/kg Nezavist (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle‐ or Nezavist‐treated rats was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (K), Day 2 (L) and Day 3 (M) of the alcohol deprivation effect. Outliers (15 values > 2SDs from the mean) were treated as missing data. Three‐way ANOVA (drug treatment, day and alcohol concentration) showed a non‐significant interaction (F = 0.73, p = 0.744), while two‐way interaction between treatment group and alcohol concentration was significant (F = 3.15, p = 0.044). On Day 1, Nezavist‐treated animals reduced consumption of 5%, 10% and 20% alcohol compared to vehicle‐treated animals (p = 6.08e‐02, 1.16e‐06 and 6.64e‐05, respectively). On Day 2, Nezavist‐treated animals reduced consumption of all three concentrations of alcohol, compared to vehicle‐treated animals, with a significant effect on 10% and 20% alcohol (p = 0.008 and 0.01, respectively). On Day 3, Nezavist‐treated animals again reduced consumption of all three concentrations of alcohol, with significant effects on 10% and 20% alcohol (p = 0.014 and 0.022, respectively). (N–P) Alcohol intake, water intake and alcohol preference following repeated ip dosing of 200‐mg/kg Acamprosate in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Acamprosate‐treated rats and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 9/group) were administered vehicle or repeat doses of 200‐mg/kg Acamprosate. (H) Alcohol intake (g/kg), (I) water intake (mL/kg) and (J) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (basline) and on Day 1, Day 2, Day 3, Day 4, Day 5, Day 6 and Day 7 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Acamprosate‐treated animals. Outliers (> 2 SDs from the mean) were removed from the data. For alcohol intake, two‐way ANOVA showed a significant effect of day [F(7, 98) = 21.254, p = 3.58 × 10−17] and a significant treatment × day interaction [F(7, 98) = 3.08, p = 0.006]. For water intake, two‐way ANOVA showed a significant treatment effect [F(1, 16) = 5.663, p = 0.03], a significant day effect [F(7, 112) = 9.502, p = 6.28 × 10−5 and a significant treatment × day interaction [F(7, 112) = 5.437, p = 0.003]. Post hoc pairwise t‐tests showed differences between Acamprosate and vehicle for alcohol intake and water intake on Days 1 and 2 (*p < 0.02, +p < 0.06). Two‐sample t‐test showed differences (*p < 0.05) between Acamprosate and vehicle for alcohol preference on Days 1 and 2. (Q–S) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 200‐mg/kg Acamprosate in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 9 per group) were administered vehicle or repeat doses of 200‐mg/kg Acamprosate (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle‐ or Nezavist‐treated rats was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (Q), Day 2 (R) and Day 3 (S) of the alcohol deprivation effect. Outliers (18 values > 2SDs from the mean) were treated as missing data. Three‐way ANOVA (drug treatment, day, alcohol concentration) showed a significant interaction (F = 2.14, p = 0.0096), while the two‐way interaction between treatment group and alcohol concentration was suggestive (F = 2.97, p = 0.053). Because of the three‐way interaction, the data were stratified by day, and the interaction between treatment group and alcohol concentration was examined. On Day1, Acamprosate‐treated animals reduced consumption of 10% and 20% alcohol, compared to vehicle‐treated animals, with a significant effect on 20% alcohol (p = 0.0076). On Day 2, Acamprosate‐treated animals reduced consumption of 5% and 20% alcohol, compared to vehicle‐treated animals, with a significant effect on 20% alcohol (p = 0.005). On Day 3, Acamprosate‐treated animals reduced consumption of 10% alcohol, compared to vehicle‐treated animals, but this effect was not significant.\nWhen the quantity of each of the concentrations of alcohol (5%, 10% and 20%) consumed by the Nezavist (20 mg/kg × 5)‐treated and vehicle‐treated rats at baseline and during the initial 3 days after the deprivation period was examined individually (Figure 1E–G), a three‐way ANOVA (drug treatment, day and alcohol concentration) indicated that the three‐way interaction among these factors was not significant (p = 0.142). However, both the two‐way interaction between drug treatment and alcohol concentration (p = 0.001) and the two‐way interaction between day and alcohol concentration (p < 0.0001) were significant. Therefore, for further analyses, the data were stratified by day to help with interpretation of these interactions. As expected, at baseline, prior to alcohol deprivation and administration of Nezavist, there was no main effect of drug (Nezavist) treatment (p = 0.99) and no interaction of drug treatment and alcohol concentration (p = 0.31). Interestingly, there was no main effect of alcohol concentration at baseline (p = 0.74) (Figure 1E–G). Among the 3 days after administration of Nezavist, there was a significant interaction effect between Nezavist treatment and alcohol concentration on Day 2 (p = 0.012) and a suggestive interaction on Day 1 (p = 0.051) (Table S1), indicating that the effect of Nezavist on alcohol consumption differed from vehicle based on alcohol concentration. On Day 1, vehicle‐treated animals consumed the highest amount of alcohol by consumption of the 20% solution (3.41 g of alcohol/kg body weight for the 20% solution, 1.43 g/kg body weight for the 10% solution and less for the 5% solution). Treatment with Nezavist (20 mg/kg/dose) reduced the amount of alcohol ingested by drinking the 20% solution (2.16‐g/kg body weight, marginal significance, p = 0.064), and there was an increase in the quantity of alcohol consumed by drinking the 10% solution (also 2.16‐g/kg body weight for the 10% solution, p = 0.151 compared with vehicle‐treated animals) (Figure 1E). On Day 2, although the increase in consumption of the 10% solution by the Nezavist‐treated animals remained relatively constant, due to reduced variance, there was a significant difference between vehicle and Nezavist‐treated animals (p = 0.018, Figure 1F). Furthermore, as on Day 1, the increase in consumption of the 10% alcohol solution was compensated by a trend toward a decrease in the consumption of the 20% alcohol concentration (Day 2, p = 0.065). It should be noted that the full treatment with Nezavist was not completed until Day 2. On Day 3, the values for consumption of the 10% and 20% alcohol solutions by Nezavist‐treated animals were similar to the levels noted on Day 2, but with no significant differences compared to vehicle‐treated animals. Overall, on Day 1, the changes in consumption of the 10% and 20% solutions resulted in a diminution of the total alcohol consumed (Figure 1B).\nIncreasing the dose of Nezavist to 75‐mg/kg body weight ip, given five times over the 2.5‐day period, substantially increased the effects on alcohol and water consumption over a 7‐day period subsequent to the reintroduction of alcohol availability after forced abstinence (Figure 1H–J). The effect of alcohol deprivation to increase alcohol intake was again readily evident in the vehicle group. However, a dose of 75‐mg/kg body weight of Nezavist, with the first dose being given on the day prior to alcohol availability after the 14‐day deprivation period, and on two subsequent days, generated a significant decrease in the total amount of alcohol consumed on the first day of alcohol reintroduction compared to baseline alcohol consumption prior to the 14‐day deprivation period (ANOVA, p = 3.04 × 10−9). A significant difference (p < 0.05) in total alcohol intake persisted between the vehicle‐treated and the Nezavist‐treated groups for 6 days after reintroduction of alcohol following the deprivation period. In the vehicle‐treated group, alcohol consumption was increased and water consumption was decreased in conjunction with the increased alcohol intake. In contrast, alcohol intake was decreased by administration of Nezavist, and water intake was significantly increased over baseline in the group of animals treated with Nezavist, compared to the vehicle‐treated group (ANOVA, p = 0.02). The presentation of results as a preference ratio demonstrates that alcohol preference was close to zero in the Nezavist‐treated group for the 7 days following reintroduction of alcohol, while the alcohol preference ratio remained above 1 for 5 days after the reintroduction of alcohol in the vehicle‐treated group. Overall, there was a significant effect of Nezavist (75‐mg/kg body weight) on alcohol preference during the days (Days 1 and 2) when Nezavist was being administered (lower alcohol intake/higher water intake, p < 0.05), and this effect remained evident for at least 2 days after terminating Nezavist administration (p < 0.05). The Nezavist‐treated animals displayed a decrease in total fluid intake over the course of the experiment, but the animals consumed ~35 mL/kg/day of water on days when the effect of Nezavist was evident, suggesting that the animals were not dehydrated (https://policies.unc.edu/TDClient/2833/Portal/KB/ArticleDet?ID=132199) but are mainly reducing alcohol‐containing fluid consumption.\nWhen the quantity of each of the concentrations of alcohol consumed by the Nezavist (75 mg/kg × 5)‐treated and vehicle‐treated rats at baseline and during the initial 3 days after the deprivation period was examined individually (Figure 1K,L), the three‐way ANOVA was not significant (p = 0.142), but both the two‐way interaction between drug treatment and alcohol concentration (p = 0.044) and the two‐way interaction between day and treatment (p = 0.0002) were significant. Therefore, for further analyses, the data were stratified by day to simplify interpretation of these interactions. On Day 1 of the alcohol deprivation period, Nezavist treatment produced a significant diminution of all of the concentrations of alcohol, compared to vehicle‐treated animals (5%, p = 6.08e‐02; 10%, p = 1.16e‐06; 20%, p = 6.64e‐05;Figure 1K). During Day 2, there was a significant diminution of consumption of the 10% (p = 0.008) and 20% (p = 0.01) alcohol solutions by the Nezavist‐treated animals, but the consumption of the 5% solution was no longer significantly different from that of the vehicle‐treated animals (Figure 1L). The same pattern was noted on Day 3 (10% solution, p = 0.014; 20% solution p = 0.023; Figure 1M). On Day 4, only the consumption of the 10% solution was reduced in the Nezavist‐treated animals compared to vehicle‐treated animals (p = 0.005). From Day 5 onward, alcohol consumption by the Nezavist‐treated animals was reduced at all concentrations, but there were no statistically significant effects. However, the total overall consumption of alcohol was significantly lower on Days 5 and 6, and marginally lower on Day 7 in the Nezavist‐treated rats compared to vehicle‐treated rats (Figure 1H).\nThere was a minimal loss of body weight in the Nezavist‐treated animals (vehicle‐treated rats gained 0.9% of their starting body weight, while Nezavist‐treated rats lost 1.3% of their starting body weight over the course of the experiment). Locomotor activity was decreased in the Nezavist‐treated animals for the first 2 days of re‐exposure to alcohol (ANOVA, p < 0.05) (Figure S1) but returned to the level of the vehicle‐treated animals by the third day of re‐exposure, while alcohol intake and preference remained significantly decreased. This finding suggests that the decrease in locomotor activity did not cause the decrease in alcohol intake and could not account for the increased water intake. However, the decrease in locomotor activity may have contributed to decreased food intake, reflected in the small decrease in body weight of the Nezavist‐treated animals.\nAcamprosate (200‐mg/kg body weight × 5 ip) (used here as a comparator drug to Nezavist) produced a significant decrease in total alcohol consumption (p < 0.05) during the second day after the reintroduction of the alcohol solutions, compared to the vehicle‐treated rats (Figure 1N). This was primarily due to a diminution of consumption of the 20% alcohol solution (p = 0.0047; Figure 1R). The overall alcohol consumption was no longer significantly reduced by the third day of re‐exposure, when there were no significant differences in the consumption of any of the individual concentrations of alcohol (Figure 1S). In addition, the alcohol consumption of the Acamprosate‐treated rats did not fall below the alcohol consumption levels demonstrated by rats during the baseline consumption period prior to deprivation. Water consumption levels were higher in the Acamprosate‐treated animals compared to vehicle‐treated animals on the first 2 days of alcohol re‐exposure (p < 0.05), resulting in reduced alcohol preference on those days (p < 0.05) (Figure 1O,P). Alcohol intake and preference in the Acamprosate‐treated rats returned to the baseline level by Day 3 of alcohol re‐exposure. There were no significant differences in body weight or locomotor activity between the vehicle‐ and Acamprosate‐treated animals (data not shown).\nThe method described in [37, 38, 39] was used to evaluate the effect of Nezavist on the increase in alcohol intake that occurs in alcohol‐dependent animals during withdrawal from chronic alcohol exposure. The escalation of alcohol intake (operant responding) after alcohol withdrawal in dependent rats is considered to be a model of negative reinforcement alcohol seeking [6]. In the first experiment (Figure 2B), Nezavist was administered ip to dependent rats 30 min prior to the testing session. Nezavist significantly reduced responding for alcohol in a dose‐dependent manner, with no change in responding for water (ANOVA, p < 0.001). The effect of Nezavist in rats trained to respond for alcohol but not made dependent on alcohol (no exposure to alcohol vapour) was also determined. Nezavist, administered ip, was less potent in the nondependent rats (Figure 2C), with a significant effect only at a dose of 50 mg/kg (ANOVA, p < 0.05). Since Nezavist pharmacokinetic experiments, described below, showed very low or undetectable levels of Nezavist in the circulation after ip administration but higher levels of the major metabolite, DCUKA, the effect of DCUKA on the escalation of alcohol responding, was also assessed (Figure 2D). DCUKA (50 mg/kg), administered ip at a dose equivalent to the highest dose of Nezavist tested, did not affect responding for alcohol or water in the alcohol‐dependent rats (t‐test, p > 0.05).\nOperant responding for alcohol and water. (A) Experimental design of operant responding model. (B) Effect of ip Nezavist on alcohol and water operant self‐administration by alcohol‐dependent rats; 14 rats were used for this experiment. Drug treatment used a within‐subject Latin square design. Values represent the mean ± SEM of the number of rewards at the alcohol and the water lever. BSL = baseline pre‐vapour. ESC = baseline post escalation. After chronic vapour exposure and withdrawal, animals showed escalation of responding for alcohol (t = 3.384, df = 14, ##\np < 0.01 vs. BSL); One‐way ANOVA showed a significant effect of treatment: F(3, 13) = 16.98, p < 0.001. Newman–Keuls post hoc tests showed that all doses of Nezavist reduced operant responding (**p < 0.01 and ***p < 0.001 vs. Dose 0). Nezavist treatment did not modify water self‐administration [F(3, 13) = 0.50; p = NS]. (C) Effect of ip Nezavist on alcohol and water operant self‐administration by nondependent rats. Values represent the mean ± SEM of the number of rewards (lever presses) at the alcohol and the water lever. A total of 30 rats were used in this experiment. After training, rats were divided into four treatment groups (7–8/group). One‐way ANOVA showed a significant effect of treatment [F(3, 26) = 4.747, p < 0.05]. Neuman–Keuls post hoc test showed that 50 mg/kg of Nezavist reduced alcohol intake, *p < 0.05 vs. Dose 0. BSL = baseline pre‐treatment. (D) Effect of ip DCUKA on alcohol and water operant self‐administration by alcohol‐dependent rats. Values represent the mean ± SEM of the number of rewards (lever presses) for the alcohol and the water levers. A total of 10 rats were used in this experiment and were treated according to a Latin square design. BSL = baseline pre‐vapour. ESC = baseline post escalation. t = 3.626, df = 9, ## p < 0.01 vs. BSL. (E) Effect of orally administered Nezavist on alcohol and water operant self‐administration by alcohol‐dependent rats. Values represent mean ± SEM number of rewards, n = 9 rats/group. BSL = baseline pre‐vapour; ESC = baseline post escalation. Alcohol rewards: one‐way ANOVA including BSL and ESC groups showed a significant effect of treatment: [F(5, 102) = 3.299; p < 0.01]. Newman–Keuls post hoc test showed a significant escalation of intake in the ESC and dose 0 groups (*p < 0.01 and *p < 0.05, respectively) when compared to the BSL group. When the four Nezavist doses were analysed with four separate one‐way ANOVAs, the results showed that only the treatment with the 200‐mg/kg dose of Nezavist significantly reduced alcohol intake [F(2, 8) = 6.02; p < 0.05]. The Newman–Keuls post hoc test showed significantly reduced operant responding for alcohol by these animals (**\np < 0.05). Water rewards: Water intake was affected by the treatment with Nezavist [F(3, 32) = 3.142; p < 0.05]. Newman–Keuls post hoc test showed a significant increase in water consumption in animals treated with 200‐mg/kg Nezavist, compared with Dose 0 (*p < 0.05). (F) Time course of effect of orally administered Nezavist (200 mg/kg) on operant alcohol self‐administration by alcohol‐dependent rats. Values represent the mean ± SEM number of rewards at the alcohol lever (n = 12/group). One‐way ANOVA showed a significant effect of treatment [F (4, 55) = 2.593, p < 0.05]. Nezavist was effective when administered 1 h prior to testing (*p < 0.05, Neuman–Keuls test).\nThe effect of orally administered Nezavist on operant responding by the alcohol‐dependent rats was also evaluated (Figure 2E). Nezavist was delivered by oral gavage 1 h prior to testing and was effective in reducing alcohol intake by the alcohol‐dependent rats. However, compared to Nezavist administration by the ip route, a higher oral dose (200 mg/kg) was needed to produce a significant effect (ANOVA, p < 0.05). With the oral administration, there was a significant increase in water consumption in conjunction with the diminished lever pressing for alcohol (ANOVA, p < 0.05). A follow‐up experiment with orally administered Nezavist demonstrated a peak suppressive effect of Nezavist on alcohol responding at 1 h after administration (ANOVA, p < 0.05), and the effect was no longer evident by 4 h after administration (Figure 2F).\nOverall, the results in the operant responding model, using alcohol‐dependent rats, provide a similar picture as those seen with the alcohol deprivation effect, i.e., Nezavist demonstrates a dose‐dependent effect in reducing alcohol intake in dependent animals (‘negative reinforcement‐induced alcohol relapse’). It is also interesting that the threshold effective dose of Nezavist in either model was similar when Nezavist was administered ip. These results also show that Nezavist is less potent in nondependent animals, which may be an important feature for the use of Nezavist in humans.\n\n\n### Alcohol Deprivation Effect\nThe ‘alcohol deprivation effect’ model with repeated deprivation phases as described by Spanagel et al. [57, 58] involves long term (10 months) consumption of alcohol (ethanol) by rats with intermittent periods of abstinence. When animals regain access to alcohol following the deprivation period, there is a statistically significant increase in alcohol consumption for several days after alcohol reintroduction. Figure 1B–D from our studies shows results of treatment with repeated [5] doses of 20‐mg/kg Nezavist. Total alcohol intake was significantly increased over basal levels on the first day and for the two succeeding days after alcohol re‐exposure in both the vehicle and Nezavist‐treated groups (ANOVA, p = 6.5 × 10−17), but the escalation of total alcohol consumption by the vehicle‐treated group during the first day after reintroduction of alcohol was modestly blunted in the group that received the Nezavist treatment (two‐sample t‐test, p = 0.12, Figure 1B). In both Nezavist and vehicle‐treated animals, the consumption of water was significantly decreased on the first and subsequent days, in conjunction with the increased consumption of the alcohol solution after reintroduction of alcohol availability (ANOVA, p = 4.8 × 10−7, Figure 1C). Nezavist administration significantly reduced this decrease in water consumption on Day 1 (p < 0.05). Thus, when alcohol preference was calculated (amount of alcohol consumed/quantity of water consumed per day) for each animal, there was a significant increase in preference over the 3‐day period in both groups (ANOVA, p = 0.01), but the administration of Nezavist (20 mg/kg × 5) produced a significant diminution of alcohol preference on the first day of post‐abstinence alcohol consumption, compared to vehicle‐treated rats (Figure 1D, p < 0.05). There was no significant effect of the Nezavist treatment on locomotor activity or body weight (data not shown).\nAlcohol deprivation effect model: Effect of Nezavist. (A) Experimental design of the alcohol deprivation effect model. (B–D) Alcohol Intake, water intake and alcohol preference following repeated ip dosing of 20‐mg/kg Nezavist in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Nezavist‐treated rats, and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 12–14/group) were administered vehicle or repeat doses of 20‐mg/kg Nezavist (ip). (B) Alcohol intake (g/kg/day), (C) water intake (mL/kg/day) and (D) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (baseline), and on Day 1, Day 2 and Day 3 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Nezavist‐treated animals. Outliers (> 2 SDs from the mean) were removed from the analysis. Two‐way ANOVA showed a significant effect of day on alcohol intake [F(3, 69) = 48.197, p = 6.5 × 10−17], water intake [F(3, 60) = 28.28, p = 4.8 × 10−7] and alcohol preference [F(3, 45) = 6.573, p = 0.01]. *p < 0.05, +\np = 0.12 effect of Nezavist compared to vehicle (two‐sample t‐test comparisons). (E–G) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 20‐mg/kg Nezavist in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 12–14 per group) were administered vehicle or repeat doses of 20‐mg/kg Nezavist (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle or Nezavist‐treated rats at was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (E), Day 2 (F) and Day 3 (G) of the alcohol deprivation effect. Outliers (> 2SDs from the mean) were treated as missing data (six of 312 observations were outliers). Three‐way ANOVA (drug treatment, day, alcohol concentration) showed a non‐significant interaction (F = 1.62, p = 0.142). Two‐way interactions between treatment group and alcohol concentration and between day and alcohol concentration were significant (F = 6.71, p = 0.0014 and F = 5.00, p = < 0.0001, respectively). On Day 1 (E), there was a suggestive interaction between drug treatment and alcohol concentration (p = 0.0507) with marginal significance between Nezavist and vehicle‐treated animals for consumption of 10% alcohol (p = 0.1514) and 20% alcohol (p = 0.0640). On Day 2 (F), there was a significant interaction between drug treatment and alcohol concentration (p = 0.0107), with a significant difference in consumption of 10% alcohol (p = 0.0184) and a marginal difference in consumption of 20% alcohol (p = 0.065) between Nezavist and alcohol‐treated animals. See Table S1 for more detail. (H–J) Alcohol intake, water intake and alcohol preference following repeated ip dosing of 75‐mg/kg Nezavist in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Nezavist‐treated rats, and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 8/group) were administered vehicle or repeat doses of 75‐mg/kg Nezavist (ip). (E) Alcohol Intake (g/kg), (F) water intake (mL/kg) and (G) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (Basline) and on Day 1, Day 2, Day 3, Day 4, Day 5, Day 6 and Day 7 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Nezavist‐treated animals. Outliers (> 2 SDs from the mean) were removed from the data. Two‐way ANOVA showed a significant effect of treatment [F(1, 14) = 29.658, p = 8.62 × 10−5], a significant effect of day [F(7, 98) = 5.789, p = 0.001] and a significant treatment × day interaction [F(7, 98) = 20.809, p = 3.04 × 10−8] for alcohol intake. For water intake, two‐way ANOVA showed a significant effect of treatment [F(1, 11) = 13.081, p = 0.004, and a significant treatment × day interaction [F(7, 77) = 3.753, p = 0.02]. For alcohol preference, two‐way ANOVA showed a trend for the effect of treatment [F(1, 7) = 5.340, p = 0.054]. Post hoc pairwise t‐tests showed significant differences in alcohol intake between Nezavist and vehicle for Days 1–6 (*p = 1.15 × 10−7, 5.93 × 10−6, 4.65 × 10−4, 0.0029, 0.0192 and 0.0336) and for water intake on Days 1, 2 and 4 (*p = 1.5 × 10−3, 1.22 × 10−8, 0.028). For alcohol preference, two‐sample t‐tests showed differences between Nezavist and vehicle on Days 1, 2, 4 (*p < 0.05) and 5 (+p = 0.14). (K–M) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 75‐mg/kg Nezavist in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 8 per group) were administered vehicle or repeat doses of 75‐mg/kg Nezavist (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle‐ or Nezavist‐treated rats was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (K), Day 2 (L) and Day 3 (M) of the alcohol deprivation effect. Outliers (15 values > 2SDs from the mean) were treated as missing data. Three‐way ANOVA (drug treatment, day and alcohol concentration) showed a non‐significant interaction (F = 0.73, p = 0.744), while two‐way interaction between treatment group and alcohol concentration was significant (F = 3.15, p = 0.044). On Day 1, Nezavist‐treated animals reduced consumption of 5%, 10% and 20% alcohol compared to vehicle‐treated animals (p = 6.08e‐02, 1.16e‐06 and 6.64e‐05, respectively). On Day 2, Nezavist‐treated animals reduced consumption of all three concentrations of alcohol, compared to vehicle‐treated animals, with a significant effect on 10% and 20% alcohol (p = 0.008 and 0.01, respectively). On Day 3, Nezavist‐treated animals again reduced consumption of all three concentrations of alcohol, with significant effects on 10% and 20% alcohol (p = 0.014 and 0.022, respectively). (N–P) Alcohol intake, water intake and alcohol preference following repeated ip dosing of 200‐mg/kg Acamprosate in rat alcohol deprivation effect model. Data are presented as mean ± SEM, with solid dots indicating data from individual Acamprosate‐treated rats and clear dots indicating data from individual vehicle‐treated rats. Rats (n = 9/group) were administered vehicle or repeat doses of 200‐mg/kg Acamprosate. (H) Alcohol intake (g/kg), (I) water intake (mL/kg) and (J) alcohol preference (alcohol intake (g/kg)/water intake (mL/kg)) were determined prior to alcohol re‐exposure (basline) and on Day 1, Day 2, Day 3, Day 4, Day 5, Day 6 and Day 7 after alcohol re‐exposure. Solid lines represent vehicle‐treated animals, and dashed lines represent Acamprosate‐treated animals. Outliers (> 2 SDs from the mean) were removed from the data. For alcohol intake, two‐way ANOVA showed a significant effect of day [F(7, 98) = 21.254, p = 3.58 × 10−17] and a significant treatment × day interaction [F(7, 98) = 3.08, p = 0.006]. For water intake, two‐way ANOVA showed a significant treatment effect [F(1, 16) = 5.663, p = 0.03], a significant day effect [F(7, 112) = 9.502, p = 6.28 × 10−5 and a significant treatment × day interaction [F(7, 112) = 5.437, p = 0.003]. Post hoc pairwise t‐tests showed differences between Acamprosate and vehicle for alcohol intake and water intake on Days 1 and 2 (*p < 0.02, +p < 0.06). Two‐sample t‐test showed differences (*p < 0.05) between Acamprosate and vehicle for alcohol preference on Days 1 and 2. (Q–S) Consumption of different concentrations of alcohol solutions following repeated ip dosing of 200‐mg/kg Acamprosate in rat alcohol deprivation model. Data are presented as mean ± SEM, with numbers in squares representing data from individual rats. Rats (n = 9 per group) were administered vehicle or repeat doses of 200‐mg/kg Acamprosate (ip). The amount of each available concentration of alcohol (5%, 10% or 20%) that was consumed by vehicle‐ or Nezavist‐treated rats was determined at baseline (prior to alcohol re‐exposure) and on Day 1 (Q), Day 2 (R) and Day 3 (S) of the alcohol deprivation effect. Outliers (18 values > 2SDs from the mean) were treated as missing data. Three‐way ANOVA (drug treatment, day, alcohol concentration) showed a significant interaction (F = 2.14, p = 0.0096), while the two‐way interaction between treatment group and alcohol concentration was suggestive (F = 2.97, p = 0.053). Because of the three‐way interaction, the data were stratified by day, and the interaction between treatment group and alcohol concentration was examined. On Day1, Acamprosate‐treated animals reduced consumption of 10% and 20% alcohol, compared to vehicle‐treated animals, with a significant effect on 20% alcohol (p = 0.0076). On Day 2, Acamprosate‐treated animals reduced consumption of 5% and 20% alcohol, compared to vehicle‐treated animals, with a significant effect on 20% alcohol (p = 0.005). On Day 3, Acamprosate‐treated animals reduced consumption of 10% alcohol, compared to vehicle‐treated animals, but this effect was not significant.\nWhen the quantity of each of the concentrations of alcohol (5%, 10% and 20%) consumed by the Nezavist (20 mg/kg × 5)‐treated and vehicle‐treated rats at baseline and during the initial 3 days after the deprivation period was examined individually (Figure 1E–G), a three‐way ANOVA (drug treatment, day and alcohol concentration) indicated that the three‐way interaction among these factors was not significant (p = 0.142). However, both the two‐way interaction between drug treatment and alcohol concentration (p = 0.001) and the two‐way interaction between day and alcohol concentration (p < 0.0001) were significant. Therefore, for further analyses, the data were stratified by day to help with interpretation of these interactions. As expected, at baseline, prior to alcohol deprivation and administration of Nezavist, there was no main effect of drug (Nezavist) treatment (p = 0.99) and no interaction of drug treatment and alcohol concentration (p = 0.31). Interestingly, there was no main effect of alcohol concentration at baseline (p = 0.74) (Figure 1E–G). Among the 3 days after administration of Nezavist, there was a significant interaction effect between Nezavist treatment and alcohol concentration on Day 2 (p = 0.012) and a suggestive interaction on Day 1 (p = 0.051) (Table S1), indicating that the effect of Nezavist on alcohol consumption differed from vehicle based on alcohol concentration. On Day 1, vehicle‐treated animals consumed the highest amount of alcohol by consumption of the 20% solution (3.41 g of alcohol/kg body weight for the 20% solution, 1.43 g/kg body weight for the 10% solution and less for the 5% solution). Treatment with Nezavist (20 mg/kg/dose) reduced the amount of alcohol ingested by drinking the 20% solution (2.16‐g/kg body weight, marginal significance, p = 0.064), and there was an increase in the quantity of alcohol consumed by drinking the 10% solution (also 2.16‐g/kg body weight for the 10% solution, p = 0.151 compared with vehicle‐treated animals) (Figure 1E). On Day 2, although the increase in consumption of the 10% solution by the Nezavist‐treated animals remained relatively constant, due to reduced variance, there was a significant difference between vehicle and Nezavist‐treated animals (p = 0.018, Figure 1F). Furthermore, as on Day 1, the increase in consumption of the 10% alcohol solution was compensated by a trend toward a decrease in the consumption of the 20% alcohol concentration (Day 2, p = 0.065). It should be noted that the full treatment with Nezavist was not completed until Day 2. On Day 3, the values for consumption of the 10% and 20% alcohol solutions by Nezavist‐treated animals were similar to the levels noted on Day 2, but with no significant differences compared to vehicle‐treated animals. Overall, on Day 1, the changes in consumption of the 10% and 20% solutions resulted in a diminution of the total alcohol consumed (Figure 1B).\nIncreasing the dose of Nezavist to 75‐mg/kg body weight ip, given five times over the 2.5‐day period, substantially increased the effects on alcohol and water consumption over a 7‐day period subsequent to the reintroduction of alcohol availability after forced abstinence (Figure 1H–J). The effect of alcohol deprivation to increase alcohol intake was again readily evident in the vehicle group. However, a dose of 75‐mg/kg body weight of Nezavist, with the first dose being given on the day prior to alcohol availability after the 14‐day deprivation period, and on two subsequent days, generated a significant decrease in the total amount of alcohol consumed on the first day of alcohol reintroduction compared to baseline alcohol consumption prior to the 14‐day deprivation period (ANOVA, p = 3.04 × 10−9). A significant difference (p < 0.05) in total alcohol intake persisted between the vehicle‐treated and the Nezavist‐treated groups for 6 days after reintroduction of alcohol following the deprivation period. In the vehicle‐treated group, alcohol consumption was increased and water consumption was decreased in conjunction with the increased alcohol intake. In contrast, alcohol intake was decreased by administration of Nezavist, and water intake was significantly increased over baseline in the group of animals treated with Nezavist, compared to the vehicle‐treated group (ANOVA, p = 0.02). The presentation of results as a preference ratio demonstrates that alcohol preference was close to zero in the Nezavist‐treated group for the 7 days following reintroduction of alcohol, while the alcohol preference ratio remained above 1 for 5 days after the reintroduction of alcohol in the vehicle‐treated group. Overall, there was a significant effect of Nezavist (75‐mg/kg body weight) on alcohol preference during the days (Days 1 and 2) when Nezavist was being administered (lower alcohol intake/higher water intake, p < 0.05), and this effect remained evident for at least 2 days after terminating Nezavist administration (p < 0.05). The Nezavist‐treated animals displayed a decrease in total fluid intake over the course of the experiment, but the animals consumed ~35 mL/kg/day of water on days when the effect of Nezavist was evident, suggesting that the animals were not dehydrated (https://policies.unc.edu/TDClient/2833/Portal/KB/ArticleDet?ID=132199) but are mainly reducing alcohol‐containing fluid consumption.\nWhen the quantity of each of the concentrations of alcohol consumed by the Nezavist (75 mg/kg × 5)‐treated and vehicle‐treated rats at baseline and during the initial 3 days after the deprivation period was examined individually (Figure 1K,L), the three‐way ANOVA was not significant (p = 0.142), but both the two‐way interaction between drug treatment and alcohol concentration (p = 0.044) and the two‐way interaction between day and treatment (p = 0.0002) were significant. Therefore, for further analyses, the data were stratified by day to simplify interpretation of these interactions. On Day 1 of the alcohol deprivation period, Nezavist treatment produced a significant diminution of all of the concentrations of alcohol, compared to vehicle‐treated animals (5%, p = 6.08e‐02; 10%, p = 1.16e‐06; 20%, p = 6.64e‐05;Figure 1K). During Day 2, there was a significant diminution of consumption of the 10% (p = 0.008) and 20% (p = 0.01) alcohol solutions by the Nezavist‐treated animals, but the consumption of the 5% solution was no longer significantly different from that of the vehicle‐treated animals (Figure 1L). The same pattern was noted on Day 3 (10% solution, p = 0.014; 20% solution p = 0.023; Figure 1M). On Day 4, only the consumption of the 10% solution was reduced in the Nezavist‐treated animals compared to vehicle‐treated animals (p = 0.005). From Day 5 onward, alcohol consumption by the Nezavist‐treated animals was reduced at all concentrations, but there were no statistically significant effects. However, the total overall consumption of alcohol was significantly lower on Days 5 and 6, and marginally lower on Day 7 in the Nezavist‐treated rats compared to vehicle‐treated rats (Figure 1H).\nThere was a minimal loss of body weight in the Nezavist‐treated animals (vehicle‐treated rats gained 0.9% of their starting body weight, while Nezavist‐treated rats lost 1.3% of their starting body weight over the course of the experiment). Locomotor activity was decreased in the Nezavist‐treated animals for the first 2 days of re‐exposure to alcohol (ANOVA, p < 0.05) (Figure S1) but returned to the level of the vehicle‐treated animals by the third day of re‐exposure, while alcohol intake and preference remained significantly decreased. This finding suggests that the decrease in locomotor activity did not cause the decrease in alcohol intake and could not account for the increased water intake. However, the decrease in locomotor activity may have contributed to decreased food intake, reflected in the small decrease in body weight of the Nezavist‐treated animals.\nAcamprosate (200‐mg/kg body weight × 5 ip) (used here as a comparator drug to Nezavist) produced a significant decrease in total alcohol consumption (p < 0.05) during the second day after the reintroduction of the alcohol solutions, compared to the vehicle‐treated rats (Figure 1N). This was primarily due to a diminution of consumption of the 20% alcohol solution (p = 0.0047; Figure 1R). The overall alcohol consumption was no longer significantly reduced by the third day of re‐exposure, when there were no significant differences in the consumption of any of the individual concentrations of alcohol (Figure 1S). In addition, the alcohol consumption of the Acamprosate‐treated rats did not fall below the alcohol consumption levels demonstrated by rats during the baseline consumption period prior to deprivation. Water consumption levels were higher in the Acamprosate‐treated animals compared to vehicle‐treated animals on the first 2 days of alcohol re‐exposure (p < 0.05), resulting in reduced alcohol preference on those days (p < 0.05) (Figure 1O,P). Alcohol intake and preference in the Acamprosate‐treated rats returned to the baseline level by Day 3 of alcohol re‐exposure. There were no significant differences in body weight or locomotor activity between the vehicle‐ and Acamprosate‐treated animals (data not shown).\n\n\n### Operant Responding for Alcohol (Ethanol)\nThe method described in [37, 38, 39] was used to evaluate the effect of Nezavist on the increase in alcohol intake that occurs in alcohol‐dependent animals during withdrawal from chronic alcohol exposure. The escalation of alcohol intake (operant responding) after alcohol withdrawal in dependent rats is considered to be a model of negative reinforcement alcohol seeking [6]. In the first experiment (Figure 2B), Nezavist was administered ip to dependent rats 30 min prior to the testing session. Nezavist significantly reduced responding for alcohol in a dose‐dependent manner, with no change in responding for water (ANOVA, p < 0.001). The effect of Nezavist in rats trained to respond for alcohol but not made dependent on alcohol (no exposure to alcohol vapour) was also determined. Nezavist, administered ip, was less potent in the nondependent rats (Figure 2C), with a significant effect only at a dose of 50 mg/kg (ANOVA, p < 0.05). Since Nezavist pharmacokinetic experiments, described below, showed very low or undetectable levels of Nezavist in the circulation after ip administration but higher levels of the major metabolite, DCUKA, the effect of DCUKA on the escalation of alcohol responding, was also assessed (Figure 2D). DCUKA (50 mg/kg), administered ip at a dose equivalent to the highest dose of Nezavist tested, did not affect responding for alcohol or water in the alcohol‐dependent rats (t‐test, p > 0.05).\nOperant responding for alcohol and water. (A) Experimental design of operant responding model. (B) Effect of ip Nezavist on alcohol and water operant self‐administration by alcohol‐dependent rats; 14 rats were used for this experiment. Drug treatment used a within‐subject Latin square design. Values represent the mean ± SEM of the number of rewards at the alcohol and the water lever. BSL = baseline pre‐vapour. ESC = baseline post escalation. After chronic vapour exposure and withdrawal, animals showed escalation of responding for alcohol (t = 3.384, df = 14, ##\np < 0.01 vs. BSL); One‐way ANOVA showed a significant effect of treatment: F(3, 13) = 16.98, p < 0.001. Newman–Keuls post hoc tests showed that all doses of Nezavist reduced operant responding (**p < 0.01 and ***p < 0.001 vs. Dose 0). Nezavist treatment did not modify water self‐administration [F(3, 13) = 0.50; p = NS]. (C) Effect of ip Nezavist on alcohol and water operant self‐administration by nondependent rats. Values represent the mean ± SEM of the number of rewards (lever presses) at the alcohol and the water lever. A total of 30 rats were used in this experiment. After training, rats were divided into four treatment groups (7–8/group). One‐way ANOVA showed a significant effect of treatment [F(3, 26) = 4.747, p < 0.05]. Neuman–Keuls post hoc test showed that 50 mg/kg of Nezavist reduced alcohol intake, *p < 0.05 vs. Dose 0. BSL = baseline pre‐treatment. (D) Effect of ip DCUKA on alcohol and water operant self‐administration by alcohol‐dependent rats. Values represent the mean ± SEM of the number of rewards (lever presses) for the alcohol and the water levers. A total of 10 rats were used in this experiment and were treated according to a Latin square design. BSL = baseline pre‐vapour. ESC = baseline post escalation. t = 3.626, df = 9, ## p < 0.01 vs. BSL. (E) Effect of orally administered Nezavist on alcohol and water operant self‐administration by alcohol‐dependent rats. Values represent mean ± SEM number of rewards, n = 9 rats/group. BSL = baseline pre‐vapour; ESC = baseline post escalation. Alcohol rewards: one‐way ANOVA including BSL and ESC groups showed a significant effect of treatment: [F(5, 102) = 3.299; p < 0.01]. Newman–Keuls post hoc test showed a significant escalation of intake in the ESC and dose 0 groups (*p < 0.01 and *p < 0.05, respectively) when compared to the BSL group. When the four Nezavist doses were analysed with four separate one‐way ANOVAs, the results showed that only the treatment with the 200‐mg/kg dose of Nezavist significantly reduced alcohol intake [F(2, 8) = 6.02; p < 0.05]. The Newman–Keuls post hoc test showed significantly reduced operant responding for alcohol by these animals (**\np < 0.05). Water rewards: Water intake was affected by the treatment with Nezavist [F(3, 32) = 3.142; p < 0.05]. Newman–Keuls post hoc test showed a significant increase in water consumption in animals treated with 200‐mg/kg Nezavist, compared with Dose 0 (*p < 0.05). (F) Time course of effect of orally administered Nezavist (200 mg/kg) on operant alcohol self‐administration by alcohol‐dependent rats. Values represent the mean ± SEM number of rewards at the alcohol lever (n = 12/group). One‐way ANOVA showed a significant effect of treatment [F (4, 55) = 2.593, p < 0.05]. Nezavist was effective when administered 1 h prior to testing (*p < 0.05, Neuman–Keuls test).\nThe effect of orally administered Nezavist on operant responding by the alcohol‐dependent rats was also evaluated (Figure 2E). Nezavist was delivered by oral gavage 1 h prior to testing and was effective in reducing alcohol intake by the alcohol‐dependent rats. However, compared to Nezavist administration by the ip route, a higher oral dose (200 mg/kg) was needed to produce a significant effect (ANOVA, p < 0.05). With the oral administration, there was a significant increase in water consumption in conjunction with the diminished lever pressing for alcohol (ANOVA, p < 0.05). A follow‐up experiment with orally administered Nezavist demonstrated a peak suppressive effect of Nezavist on alcohol responding at 1 h after administration (ANOVA, p < 0.05), and the effect was no longer evident by 4 h after administration (Figure 2F).\nOverall, the results in the operant responding model, using alcohol‐dependent rats, provide a similar picture as those seen with the alcohol deprivation effect, i.e., Nezavist demonstrates a dose‐dependent effect in reducing alcohol intake in dependent animals (‘negative reinforcement‐induced alcohol relapse’). It is also interesting that the threshold effective dose of Nezavist in either model was similar when Nezavist was administered ip. These results also show that Nezavist is less potent in nondependent animals, which may be an important feature for the use of Nezavist in humans.\n\n\n### General Phenotyping and Other Alcohol‐Related Behaviours\nResults for locomotor activity in mice are shown in Figure 3A. The effect of Nezavist on ambulation, center activity, rearing activity and total activity was assessed in mice given 50‐, 200‐ or 500‐mg/kg Nezavist ip. There were no apparent effects of Nezavist on total ambulation or total rearing activity, although total center activity was significantly (p < 0.05) reduced in mice treated with 500‐mg/kg Nezavist, compared to vehicle‐treated mice. Total activity, i.e., a combination of ambulation and rearing activity, was not affected by any dose of Nezavist (ANOVA, p = 0.21).\nEffect of ip nezavist on mouse locomotor activity and rotarod performance. (A) Total activity: Values are mean ± SEM (n = 10/group) of activities measured, including ambulation and rearing, over time, for each dose group. ANOVA showed no significant effect of dose [F(3, 36) = 1.326, p = 0.28]. There was an effect of time: [F(3, 29) = 45.204, p < 0.0001] but no significant time × dose interaction [F(3, 87) = 0.987, p = 0.515]. (B) Rotarod performance. Values are mean ± SEM (n = 10/group) of speed (rpm) at which mice fell off the rotarod. ANOVA showed no significant effect of dose: [F(3, 36) = 0.711, p = 0.552]. There was a significant effect of time: [F(2, 3) = 13.95, p < 0.0001) and a trend toward a dose × time interaction: [F(3, 6) = 2.192, p = 0.0535]. However, the animals given doses of 50 or 200 mg/kg of Nezavist improved their performance by falling off at a higher speed at 30 and 20‐min posttreatment, compared to speed after vehicle treatment.\nResults for incoordination in mice are shown in Figure 3B. The speed of the rotarod was recorded when the animal fell at 0 min (baseline, predose), 30 min postinjection and 120 min postinjection. Three doses of Nezavist were administered via ip injection to mice: 50, 200 or 500 mg/kg. Nezavist did not produce impairment in the rotarod test at any dose.\nIn the elevated plus maze test to assess anxiety‐like behaviour, Nezavist did not affect the percent open arm time for either of the two mazes (Figure 4, ANOVA, p = 0.458 for clear enclosed sides; p = 0.751 for dark enclosed sides). More time on open arms would be indicative of decreased anxiety‐like behaviour. There was an effect of Nezavist on total arm entries (a measure of activity) for the Clear Enclosed Sides maze (ANOVA, p < 0.001), with the 150‐mg/kg dose significantly decreasing this measure (p < 0.05). However, Nezavist did not affect total arm entries in the other (Dark Enclosed Sides) maze. Overall, the results suggest that Nezavist has no significant effect on anxiety‐like behaviour measured in this test in mice. While Nezavist produced a small decrease in activity levels at the higher dose, this was not consistent across the two mazes.\nEffect of ip Nezavist on anxiety‐like behaviour in the elevated plus maze in mice. Values are mean ± SEM percent of time spent in open arms of two different plus mazes (n = 10/group). Nezavist had no significant effect on time in the open arms either in the clear enclosed sides maze (A), ANOVA: [F(2, 27) = 0.803, p = 0.458], or in the dark enclosed sides maze (B), ANOVA: [F(2, 27) = 0.29, p = 0.751]. Nezavist did reduce total arm entries, a measure of activity, in the clear enclosed sides maze only, ANOVA: [F(2, 27) = 8.86, p = 0.001], Fishers PLSD for arm entries, p < 0.05 vehicle and 50‐mg/kg dose vs. 150‐mg/kg dose.\nNezavist was also tested for anxiolytic and anxiogenic effects in seven other tests: startle response, prepulse inhibition, light/dark transfer test, sociability test, marble burying test, shock‐induced freezing and stress‐induced hyperthermia. There were no significant effects of up to 150‐mg/kg Nezavist, administered ip, in these tests (data not shown).\nIn our study, ‘floating time’ was measured, as it captures limb movements, even when the center point of the animal is considered to be immobile. Figure 5 shows that female rats treated with 50‐mg/kg Nezavist ip, 90 min before testing, showed significantly decreased floating time (immobility) compared to vehicle‐treated female animals (t‐test, p = 0.04). There was no significant difference between vehicle‐treated and Nezavist‐treated male rats in this test.\nEffect of Nezavist in the Porsolt (Forced Swim) test as a measure of stress coping activity. Effect of Nezavist (50 mg/kg, ip) on immobility in the Porsolt forced swim test. Male or female rats (n = 8) were treated with Nezavist or vehicle 90 min prior to the swim test. Values are mean ± SEM of time (sec) spent floating (immobility) during the 5‐min test. In females, immobility was significantly decreased by Nezavist (*p = 0.04, t‐test). Nezavist did not affect immobility in the male rats.\nTo assess the interaction of Nezavist and alcohol on sedation (loss of righting reflex), mice were injected ip with vehicle or Nezavist (50 or 200 mg/kg) 30 min prior to ip injection with 3.5 g/kg of alcohol. Figure 6A,B shows that neither dose of Nezavist affected the time for the mice to regain the righting reflex (A) or the blood alcohol level at which the righting reflex was regained (B).\nInteraction of ip Nezavist with alcohol on rotarod performance and sedation in male C57BL/6 mice. Interaction of Nezavist (50 or 200 mg/kg ip) with alcohol (1.5 g/kg or 3.5 g/kg ip) on sedation, as measured by loss of righting reflex (LORR), and rotarod performance in male C57BL/6 mice (n = 6/group). Values are mean ± SEM time to regain righting reflex (A) or time to regain balance on the rotarod (C); and corresponding blood alcohol levels (BAL) at regain of function (B and D). Nezavist did not affect the responses to alcohol. ANOVAS: LORR recovery [F(2, 15) = 0.560, p = 0.579]; LORR BAL, [F(2, 15) = 0.036, p = 0.965]; Rotarod recovery, [F(2, 14) = 1.246, p = 0.318]; Rotarod BAL, [F(2, 14) = 0.614, p = 0.56].\nTo assess the interaction of Nezavist and a lower dose of alcohol on incoordination, mice were injected ip with vehicle, 50‐ or 200‐mg/kg Nezavist and 30 min later were injected ip with 1.5‐g/kg alcohol. Mice were then tested for ability to maintain balance on the rotarod for 30 s at 7 rpm. Figure 6C,D shows that Nezavist did not affect the time for the mice to regain performance on the rotarod after alcohol treatment (C) and did not affect the blood alcohol level at the time when balance was regained (D). These results indicated that Nezavist did not affect alcohol metabolism.\nFigure 7A shows that mice treated with Nezavist (200 mg/kg ip) showed a small but significant increase in conditioned place preference (20% increased time spent in the drug‐paired environment, ANOVA, p = 0.0059), while mice treated with the lower doses of Nezavist (50 or 100 mg/kg) did not. Figure 7B shows that morphine, the positive control, displayed a significant place preference (t‐test, p < 0.001 vs. vehicle‐paired compartment), and the Nezavist metabolite, DCUKA (50 or 150 mg/kg), did not. The results indicate that Nezavist and DCUKA have little to no addictive potential, consistent with low to no detectable brain levels of drug after ip or oral administration (see below).\nAddictive potential of Nezavist: Conditioned place preference. Values are mean ± SEM. (A) Time spent in the compartment paired with Nezavist on the test day (‘postconditioning’; n = 10 C57BL/6 male mice/group). Nezavist (200 mg/kg) given ip significantly increased time spent in the paired compartment [ANOVA for 200 mg/kg pre vs. post, F(1, 9) = 12.87, p = 0.0059]. (B) Time spent in the drug‐paired or vehicle‐paired compartment on the test day (n = 10 CF‐1 male mice/group). Morphine (10 mg/kg) significantly increased time spent in the drug‐paired compartment (t‐test, *p < 0.001 compared to vehicle‐paired compartment). DCUKA‐treated mice (50 or 150 mg/kg) did not display significant place preference (t‐test, p > 0.05, compared to vehicle‐paired compartment).\n\n\n### Locomotor Activity and Incoordination (Rotarod)\nResults for locomotor activity in mice are shown in Figure 3A. The effect of Nezavist on ambulation, center activity, rearing activity and total activity was assessed in mice given 50‐, 200‐ or 500‐mg/kg Nezavist ip. There were no apparent effects of Nezavist on total ambulation or total rearing activity, although total center activity was significantly (p < 0.05) reduced in mice treated with 500‐mg/kg Nezavist, compared to vehicle‐treated mice. Total activity, i.e., a combination of ambulation and rearing activity, was not affected by any dose of Nezavist (ANOVA, p = 0.21).\nEffect of ip nezavist on mouse locomotor activity and rotarod performance. (A) Total activity: Values are mean ± SEM (n = 10/group) of activities measured, including ambulation and rearing, over time, for each dose group. ANOVA showed no significant effect of dose [F(3, 36) = 1.326, p = 0.28]. There was an effect of time: [F(3, 29) = 45.204, p < 0.0001] but no significant time × dose interaction [F(3, 87) = 0.987, p = 0.515]. (B) Rotarod performance. Values are mean ± SEM (n = 10/group) of speed (rpm) at which mice fell off the rotarod. ANOVA showed no significant effect of dose: [F(3, 36) = 0.711, p = 0.552]. There was a significant effect of time: [F(2, 3) = 13.95, p < 0.0001) and a trend toward a dose × time interaction: [F(3, 6) = 2.192, p = 0.0535]. However, the animals given doses of 50 or 200 mg/kg of Nezavist improved their performance by falling off at a higher speed at 30 and 20‐min posttreatment, compared to speed after vehicle treatment.\nResults for incoordination in mice are shown in Figure 3B. The speed of the rotarod was recorded when the animal fell at 0 min (baseline, predose), 30 min postinjection and 120 min postinjection. Three doses of Nezavist were administered via ip injection to mice: 50, 200 or 500 mg/kg. Nezavist did not produce impairment in the rotarod test at any dose.\n\n\n### Elevated Plus Maze (Anxiety)\nIn the elevated plus maze test to assess anxiety‐like behaviour, Nezavist did not affect the percent open arm time for either of the two mazes (Figure 4, ANOVA, p = 0.458 for clear enclosed sides; p = 0.751 for dark enclosed sides). More time on open arms would be indicative of decreased anxiety‐like behaviour. There was an effect of Nezavist on total arm entries (a measure of activity) for the Clear Enclosed Sides maze (ANOVA, p < 0.001), with the 150‐mg/kg dose significantly decreasing this measure (p < 0.05). However, Nezavist did not affect total arm entries in the other (Dark Enclosed Sides) maze. Overall, the results suggest that Nezavist has no significant effect on anxiety‐like behaviour measured in this test in mice. While Nezavist produced a small decrease in activity levels at the higher dose, this was not consistent across the two mazes.\nEffect of ip Nezavist on anxiety‐like behaviour in the elevated plus maze in mice. Values are mean ± SEM percent of time spent in open arms of two different plus mazes (n = 10/group). Nezavist had no significant effect on time in the open arms either in the clear enclosed sides maze (A), ANOVA: [F(2, 27) = 0.803, p = 0.458], or in the dark enclosed sides maze (B), ANOVA: [F(2, 27) = 0.29, p = 0.751]. Nezavist did reduce total arm entries, a measure of activity, in the clear enclosed sides maze only, ANOVA: [F(2, 27) = 8.86, p = 0.001], Fishers PLSD for arm entries, p < 0.05 vehicle and 50‐mg/kg dose vs. 150‐mg/kg dose.\nNezavist was also tested for anxiolytic and anxiogenic effects in seven other tests: startle response, prepulse inhibition, light/dark transfer test, sociability test, marble burying test, shock‐induced freezing and stress‐induced hyperthermia. There were no significant effects of up to 150‐mg/kg Nezavist, administered ip, in these tests (data not shown).\n\n\n### Forced Swim Test (An Acute Stress Coping Strategy)\nIn our study, ‘floating time’ was measured, as it captures limb movements, even when the center point of the animal is considered to be immobile. Figure 5 shows that female rats treated with 50‐mg/kg Nezavist ip, 90 min before testing, showed significantly decreased floating time (immobility) compared to vehicle‐treated female animals (t‐test, p = 0.04). There was no significant difference between vehicle‐treated and Nezavist‐treated male rats in this test.\nEffect of Nezavist in the Porsolt (Forced Swim) test as a measure of stress coping activity. Effect of Nezavist (50 mg/kg, ip) on immobility in the Porsolt forced swim test. Male or female rats (n = 8) were treated with Nezavist or vehicle 90 min prior to the swim test. Values are mean ± SEM of time (sec) spent floating (immobility) during the 5‐min test. In females, immobility was significantly decreased by Nezavist (*p = 0.04, t‐test). Nezavist did not affect immobility in the male rats.\n\n\n### Interaction with Ethanol (Alcohol): Sedation (Loss of Righting Reflex) and Incoordination (Rotarod)\nTo assess the interaction of Nezavist and alcohol on sedation (loss of righting reflex), mice were injected ip with vehicle or Nezavist (50 or 200 mg/kg) 30 min prior to ip injection with 3.5 g/kg of alcohol. Figure 6A,B shows that neither dose of Nezavist affected the time for the mice to regain the righting reflex (A) or the blood alcohol level at which the righting reflex was regained (B).\nInteraction of ip Nezavist with alcohol on rotarod performance and sedation in male C57BL/6 mice. Interaction of Nezavist (50 or 200 mg/kg ip) with alcohol (1.5 g/kg or 3.5 g/kg ip) on sedation, as measured by loss of righting reflex (LORR), and rotarod performance in male C57BL/6 mice (n = 6/group). Values are mean ± SEM time to regain righting reflex (A) or time to regain balance on the rotarod (C); and corresponding blood alcohol levels (BAL) at regain of function (B and D). Nezavist did not affect the responses to alcohol. ANOVAS: LORR recovery [F(2, 15) = 0.560, p = 0.579]; LORR BAL, [F(2, 15) = 0.036, p = 0.965]; Rotarod recovery, [F(2, 14) = 1.246, p = 0.318]; Rotarod BAL, [F(2, 14) = 0.614, p = 0.56].\nTo assess the interaction of Nezavist and a lower dose of alcohol on incoordination, mice were injected ip with vehicle, 50‐ or 200‐mg/kg Nezavist and 30 min later were injected ip with 1.5‐g/kg alcohol. Mice were then tested for ability to maintain balance on the rotarod for 30 s at 7 rpm. Figure 6C,D shows that Nezavist did not affect the time for the mice to regain performance on the rotarod after alcohol treatment (C) and did not affect the blood alcohol level at the time when balance was regained (D). These results indicated that Nezavist did not affect alcohol metabolism.\n\n\n### Conditioned Place Preference (Abuse Potential)\nFigure 7A shows that mice treated with Nezavist (200 mg/kg ip) showed a small but significant increase in conditioned place preference (20% increased time spent in the drug‐paired environment, ANOVA, p = 0.0059), while mice treated with the lower doses of Nezavist (50 or 100 mg/kg) did not. Figure 7B shows that morphine, the positive control, displayed a significant place preference (t‐test, p < 0.001 vs. vehicle‐paired compartment), and the Nezavist metabolite, DCUKA (50 or 150 mg/kg), did not. The results indicate that Nezavist and DCUKA have little to no addictive potential, consistent with low to no detectable brain levels of drug after ip or oral administration (see below).\nAddictive potential of Nezavist: Conditioned place preference. Values are mean ± SEM. (A) Time spent in the compartment paired with Nezavist on the test day (‘postconditioning’; n = 10 C57BL/6 male mice/group). Nezavist (200 mg/kg) given ip significantly increased time spent in the paired compartment [ANOVA for 200 mg/kg pre vs. post, F(1, 9) = 12.87, p = 0.0059]. (B) Time spent in the drug‐paired or vehicle‐paired compartment on the test day (n = 10 CF‐1 male mice/group). Morphine (10 mg/kg) significantly increased time spent in the drug‐paired compartment (t‐test, *p < 0.001 compared to vehicle‐paired compartment). DCUKA‐treated mice (50 or 150 mg/kg) did not display significant place preference (t‐test, p > 0.05, compared to vehicle‐paired compartment).\n\n\n### Pharmacokinetic Studies of Nezavist and the Major Metabolite (DCUKA) in Rats\nLevels of Nezavist and the major metabolite, DCUKA, in whole blood were quantified following administration (ip) of Nezavist at doses of 50 mg/kg, 3 × 50 mg/kg (one dose every 2 h), or 400 mg/kg to male Sprague Dawley rats. The rationale for administering multiple and high doses of Nezavist was to determine if blood and brain levels of Nezavist could be increased by accumulation after multiple doses of Nezavist were administered. For all doses of Nezavist that were administered, blood levels of Nezavist were low to undetectable. Blood levels of DCUKA were variable, but measurable (nM‐μM) after all Nezavist doses. DCUKA levels were lowest in the animals receiving a single 50‐mg/kg dose of Nezavist (Figure 8A) and increased in those receiving 3 × 50 mg/kg over a 4‐h period (Figure 8B). Blood levels of DCUKA were no higher after a single dose of 400 mg/kg than after 3 × 50 mg/kg doses (data not shown).\nPharmacokinetics of Nezavist. (A) Blood levels were measured in Sprague–Dawley rats following a single ip dose of 50 mg/kg of Nezavist. Values represent mean ± SD (n = 3 animals/time point). (B) Blood levels of Nezavist and DCUKA after the last of three consecutive ip injections of 50‐mg/kg Nezavist (total 150 mg/kg) spaced 2 h apart. Values represent mean ± SD (n = 3 animals/time point).\nIn Sprague Dawley rats treated with 50 mg/kg or 3 × 50 mg/kg Nezavist (ip), brain levels of Nezavist, if detectable, were in the nM range, were variable and most often were below the level of quantification (BQL) (Table 1). Brain levels of DCUKA were low (in the nM range) but increased with increasing doses of Nezavist.\nBrain levels of Nezavist and DCUKA after ip Nezavist administration.\nNote: Values represent mean ± SEM (n = 3). In some instances, values were < LLOQ (2.5 ng/g).\nConcentrations of Nezavist and DCUKA were measured in whole blood, liver and brain after oral administration of 50‐ or 150‐mg/kg Nezavist to male Sprague Dawley rats (Table 2). The levels of Nezavist in blood after either dose, and at all time points tested up to 120 min, were below the limit of quantification (BQL, < 1 ng/mL = < 2 nM). Nezavist and DCUKA were also measured in liver and brain tissue. Nezavist was detected in rat liver, reaching 41 and 57 nM at 30 min after administration of 50 or 150 mg/kg, respectively (Table 3). DCUKA levels were much higher than Nezavist levels in liver, reaching approximately 7 μM at 1 h after either dose of Nezavist. When brain levels of Nezavist were measured, Nezavist was BQL (< 7.5 ng/g = 16 nM) at all time points tested. DCUKA levels in the brain were low, compared to those seen in blood or liver; 33 nM DCUKA was measured in rat brain at 60 min after administration of 50 mg/kg of Nezavist, and about 40 nM at 60 min after administration of 150 mg/kg of Nezavist, but in several samples at other time points, levels were BQL (Table 4).\nBlood Levels of Nezavist and DCUKA after oral administration of Nezavist.\n250 mg/kg\nSDD\n250 mg/kg\n(SDD)\nNote: 50 and 150 mg/kg: Values represent mean ± SEM (30 min, n = 9; 60 min, n = 6; 90 and 120 min, n = 3). Nezavist BQL < 1 ng/mL = 2 nM. 250 mg/kg: 20% loading spray‐dried dispersion (SDD). Values represent mean ± SEM (n = 7).\n2.1 nM in one rat; BQL in six rats.\nLevels in two rats: 1.4 and 2.6 nM; BQL in five rats.\nLiver levels of Nezavist and DCUKA after oral administration of Nezavist.\nNote: Values represent mean ± SEM (n = 3).\nBrain levels of Nezavist and DCUKA after oral administration of Nezavist.\nNote: Values represent mean ± SEM (n = 3 unless otherwise noted, in some instances, DCUKA values were BQL. BQL < 7.5 ng/g [15‐nM Nezavist; 16‐nM DCUKA]).\nIn the final set of pharmacokinetic studies, yet another formulation of Nezavist (a spray‐dried dispersion, SDD) was used. In these studies, a dose of 250 mg/kg of Nezavist was administered orally to male Wistar rats. Only two out of seven animals showed measurable levels of Nezavist in plasma at one or two time points (maximum, 1.4 and 2.6 nM), while the level of Nezavist in the other five rats was below the limit of quantification at all time points measured (Table 2).\n\n\n### Blood and Brain Levels of Nezavist and DCUKA after ip Administration\nLevels of Nezavist and the major metabolite, DCUKA, in whole blood were quantified following administration (ip) of Nezavist at doses of 50 mg/kg, 3 × 50 mg/kg (one dose every 2 h), or 400 mg/kg to male Sprague Dawley rats. The rationale for administering multiple and high doses of Nezavist was to determine if blood and brain levels of Nezavist could be increased by accumulation after multiple doses of Nezavist were administered. For all doses of Nezavist that were administered, blood levels of Nezavist were low to undetectable. Blood levels of DCUKA were variable, but measurable (nM‐μM) after all Nezavist doses. DCUKA levels were lowest in the animals receiving a single 50‐mg/kg dose of Nezavist (Figure 8A) and increased in those receiving 3 × 50 mg/kg over a 4‐h period (Figure 8B). Blood levels of DCUKA were no higher after a single dose of 400 mg/kg than after 3 × 50 mg/kg doses (data not shown).\nPharmacokinetics of Nezavist. (A) Blood levels were measured in Sprague–Dawley rats following a single ip dose of 50 mg/kg of Nezavist. Values represent mean ± SD (n = 3 animals/time point). (B) Blood levels of Nezavist and DCUKA after the last of three consecutive ip injections of 50‐mg/kg Nezavist (total 150 mg/kg) spaced 2 h apart. Values represent mean ± SD (n = 3 animals/time point).\nIn Sprague Dawley rats treated with 50 mg/kg or 3 × 50 mg/kg Nezavist (ip), brain levels of Nezavist, if detectable, were in the nM range, were variable and most often were below the level of quantification (BQL) (Table 1). Brain levels of DCUKA were low (in the nM range) but increased with increasing doses of Nezavist.\nBrain levels of Nezavist and DCUKA after ip Nezavist administration.\nNote: Values represent mean ± SEM (n = 3). In some instances, values were < LLOQ (2.5 ng/g).\n\n\n### Blood, Brain and Liver Levels of Nezavist and DCUKA After Oral Administration of Nezavist.\nConcentrations of Nezavist and DCUKA were measured in whole blood, liver and brain after oral administration of 50‐ or 150‐mg/kg Nezavist to male Sprague Dawley rats (Table 2). The levels of Nezavist in blood after either dose, and at all time points tested up to 120 min, were below the limit of quantification (BQL, < 1 ng/mL = < 2 nM). Nezavist and DCUKA were also measured in liver and brain tissue. Nezavist was detected in rat liver, reaching 41 and 57 nM at 30 min after administration of 50 or 150 mg/kg, respectively (Table 3). DCUKA levels were much higher than Nezavist levels in liver, reaching approximately 7 μM at 1 h after either dose of Nezavist. When brain levels of Nezavist were measured, Nezavist was BQL (< 7.5 ng/g = 16 nM) at all time points tested. DCUKA levels in the brain were low, compared to those seen in blood or liver; 33 nM DCUKA was measured in rat brain at 60 min after administration of 50 mg/kg of Nezavist, and about 40 nM at 60 min after administration of 150 mg/kg of Nezavist, but in several samples at other time points, levels were BQL (Table 4).\nBlood Levels of Nezavist and DCUKA after oral administration of Nezavist.\n250 mg/kg\nSDD\n250 mg/kg\n(SDD)\nNote: 50 and 150 mg/kg: Values represent mean ± SEM (30 min, n = 9; 60 min, n = 6; 90 and 120 min, n = 3). Nezavist BQL < 1 ng/mL = 2 nM. 250 mg/kg: 20% loading spray‐dried dispersion (SDD). Values represent mean ± SEM (n = 7).\n2.1 nM in one rat; BQL in six rats.\nLevels in two rats: 1.4 and 2.6 nM; BQL in five rats.\nLiver levels of Nezavist and DCUKA after oral administration of Nezavist.\nNote: Values represent mean ± SEM (n = 3).\nBrain levels of Nezavist and DCUKA after oral administration of Nezavist.\nNote: Values represent mean ± SEM (n = 3 unless otherwise noted, in some instances, DCUKA values were BQL. BQL < 7.5 ng/g [15‐nM Nezavist; 16‐nM DCUKA]).\nIn the final set of pharmacokinetic studies, yet another formulation of Nezavist (a spray‐dried dispersion, SDD) was used. In these studies, a dose of 250 mg/kg of Nezavist was administered orally to male Wistar rats. Only two out of seven animals showed measurable levels of Nezavist in plasma at one or two time points (maximum, 1.4 and 2.6 nM), while the level of Nezavist in the other five rats was below the limit of quantification at all time points measured (Table 2).\n\n\n### Effects of Nezavist on Intestinal Contractility and Vagal Activity\nWhen considering which organs outside of the CNS contain substantial quantities of GABAA receptors, the intestine, including cells of the enteric nervous system and the enteroendocrine cells, becomes notable [29, 59]. One of the known functions of GABA in the intestine is to mediate the contraction of the intestinal musculature via GABAA receptors [60], and information about the contractility of the intestine and hormonal, nutrient and immune mediator signals are conveyed to the brain from the intestine via the vagus nerve. Thus, it became of interest to examine the effect of Nezavist on intestinal function. As already mentioned, Nezavist is an effective PAM at the GABAA receptor [2].\nThe effects of Nezavist and DCUKA on the mouse ileum and colon were examined in order to infer their potential impact on overall GI motility, as described in Seifi et al. [43, 44]. The effect of Nezavist and DCUKA on longitudinal smooth muscle contractility in the ileum was investigated by examining spontaneous contractility and basal tone. Nezavist increased the force of spontaneous contraction in a dose‐dependent manner from 3− 100 μM (Figure 9A), with a statistically significant increase from baseline at 100 μM (ANOVA and Tukey test, p < 0.05). The frequency of the contractions, however, was not significantly affected by the application of Nezavist (300 nM–100 μM) (Figure 9B). Interestingly, DCUKA (1–30 μM) significantly decreased the force of spontaneous contraction (p < 0.0001) and significantly decreased the frequency of spontaneous contraction at 30 μM (p < 0.01) (Figure 9C,D). The effect of Nezavist and DCUKA on ileal tone was also investigated (Figure 9E,F). The basal tone of the ileal tissue increased in a dose‐dependent manner following the application of 3–100‐μM Nezavist, with a statistically significant increase from baseline at 100 μM (p < 0.05). DCUKA had no significant effect on basal tone. The difference in effects of Nezavist and DCUKA on ileal spontaneous contraction and basal tone may reflect differences in receptor selectivity between the two compounds. For instance, Nezavist is 10 times more potent as a PAM at the GABAA receptor compared to DCUKA, and DCUKA has a spectrum of activity that includes effects on other receptors [61].\nEffect of Nezavist or DCUKA on spontaneous contractility and basal tone in the ileum. Values represent mean ± SEM. (A–D) Spontaneous contraction: Force of spontaneous contraction produced by Nezavist (A) or DCUKA (C). Frequency of spontaneous contraction produced by nezavist (B) or DCUKA (D). Blue lines in subplots A and C illustrate a dose response relationship. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001 (one‐way repeat measures ANOVA followed by Tukey post hoc testing). (E,F) Basal tone: Basal tone compared to baseline ((application force—baseline tone)/(baseline tone)). Effect of Nezavist (E) or DCUKA (F) on basal tone. Blue line illustrates a dose response relationship. *p < 0.05 (one‐way repeat measures ANOVA followed by Tukey post hoc testing).\nIn contrast to the ileum, Nezavist and DCUKA had no significant effects on spontaneous contractility or tone of the colon (data not shown, but see Section 4).\nThe effects of Nezavist on vagal nerve activity were examined by the methods described in detail in West et al. [45]. Segments of the jejunum were collected from adult male C57BL/6 mice with attached mesenteric arcade containing a neuromuscular bundle and placed in Krebs buffer. An ex vivo mouse intestinal segment perfusion preparation was used to record afferent single unit vagal activity [46, 47, 48] after luminal exposure to Nezavist (Figure 10A). Nicardipine was present in the perfusion buffer during measures of electrophysiological responses. Recorded single unit events were subdivided into vehicle (Krebs) and treatment periods, and for each event, mean interspike intervals (MII) were recorded. Figure 10B illustrates the firing intensity for single vagal fibres recorded under control condition (Krebs buffer‐perfused jejunum) versus recording when 1‐, 10‐ or 100‐μM Nezavist was perfused through the jejunum. For Nezavist concentrations greater than 1 μM, MII was reduced, that is, vagal firing rates increased (paired t‐test, p = 0.0036 [10 μM], p = 0.0066 [100 μM]). The Pearson correlation coefficient of 0.3 for a plot of fractional change in MII versus MII values indicates a moderate strength of a linear relationship between the two variables (Figure 10C). What is notable in these data are that Nezavist dominantly stimulated the rate of discharge of a subset of neurons (Figure 10D,E) which, under the control (‘Krebs buffer’) condition, have a particularly slow rate of firing (high MII). This is particularly evident when a sufficient number of neurons are assessed, as can be seen in the experiments using 10 μM (paired t‐test, p = 0.0049) or 100 μM (paired t‐test, p = 0.0084) Nezavist. All of the recorded neurons are assumed to be afferent (travelling from gut to brain). Efferent neuron axons (fibres) would be quiescent, since they have been severed from the components that can generate an action potential in response to a neurotransmitter stimulus (which reside in the CNS).\nEffects of Nezavist on vagal afferent firing. (A) Gut‐to‐brain vagal afferent recording setup with mouse jejunum tissue segments. Vagal afferent signals were recorded where the mesenteric nerve bundle emerges from the small intestine. Afferent multiunit extracellular action potentials were recorded via a suction electrode from a mesenteric nerve bundle attached to a segment of the jejunum. Parameters measured from stylized single unit (action potential) firing patterns (burst duration, gap duration, intraburst interval and mean interspike interval) are illustrated in the upper diagram. (B,C) Nezavist effect on vagus mean interspike intervals (MIIs) for all MIIs obtained in the presence of vehicle (Krebs). Jejunum tissue segments were collected from male C57BL/6 mice with attached mesenteric arcade (containing a neuromuscular bundle) from which vagal nerve firing was recorded. (B) The effects of 1‐, 10‐ or 100‐μM Nezavist on MII were compared to MII in the presence of vehicle (Krebs buffer). Nezavist (10 and 100 μM) reduced MIIs (p‐values (displayed on each plot) were calculated by paired t‐test). (C) MII fractional change calculated as ((treatment—Krebs control)/Krebs control). Fractional change for 10‐ and 100‐μM Nezavist plotted against MII with a Pearson correlation coefficient of 0.3 for a best fit straight line. (D,E) Nezavist effect on vagus MIIs for vehicle MIIs > 10 s. D. Frequency distribution of MII in the presence of vehicle. In this figure, the effect of Nezavist on MIIs > 10 s, circled in red, is shown. (E) These represent slow‐firing vagal fibres, which are particularly affected by Nezavist (10 and 100 μM). p‐values are calculated by paired t‐test. (F,G) Effect of GABAA receptor antagonists on the vagal firing response to Nezavist. The effect of Nezavist on MII of vagal afferent firing is illustrated. Values represent mean ± SEM p‐values are displayed on the plots. Neither picrotoxin (F) nor bicuculline (G) alone affected vagal firing rates, compared to vehicle (Krebs buffer). Nezavist (100 μM) significantly reduced MII (increased vagal firing), compared to vehicle (Krebs) (paired t‐tests with Šidák's corrections for multiple comparisons). This effect was blocked in the presence of picrotoxin or bicuculline. (H) Distinguishing vagal firing pattern codes evoked by different luminal agents. The patterns of vagal nerve firing in segments of mouse jejunum tissue were compared in the presence of Nezavist, diazepam, ethanol or cholecystokinin (CCK). Effects of these agents on mean interspike interval (MII), burst duration (BD), gap duration (GD) and intraburst intervals (IBI), as noted in the top panel, were recorded. Values represent mean ± SEM for the number of vagal fibres recorded (number above bars = n). Results are shown as fractional changes compared to vehicle (Krebs buffer). The GABAA receptor modulator diazepam had no significant effect on any parameter, in contrast to Nezavist. The firing pattern in response to ethanol differs from that in response to Nezavist. Similar firing patterns were observed in response to Nezavist and CCK. (I) The effect of Nezavist on vagal firing rate in the presence of a nicotinic cholinergic antagonist. Mecamylamine is a broad spectrum, noncompetitive, voltage‐dependent antagonist of nicotinic acetylcholine receptors. The effect of Nezavist on MII of vagal afferent firing is illustrated. Mecamylamine alone did not significantly affect vagal firing rates, compared to vehicle (Krebs buffer). Nezavist (100 μM) significantly reduced MII (increased vagal firing), compared to vehicle (N = 12, Holm–Šidák's multiple comparison tests; p‐values on plot). This effect was blocked in the presence of a concentration of mecamylamine that produces complete inhibition of nicotinic cholinergic signalling. These data (mean ± SEM, n = numbers within bars) suggest a potential role for a functional vagal nicotinic sensory synapse that involves the activation of enteric nervous system intrinsic primary afferent neurons (IPANs) in the action of Nezavist.\nNezavist is a PAM at GABAA receptors and, if GABAA receptors are involved in the response noted in the firing patterns of the afferent vagal neurons, then a known GABAA receptor channel blocker, such as picrotoxin [62], or a GABAA receptor binding site antagonist, for example, bicuculline, would be expected to dampen or eliminate the response to Nezavist. Figure 10F,G illustrates that both picrotoxin (paired‐test, p = 0.01) and bicuculline (p = 0.01) completely blocked the effect of Nezavist, supporting the inference that Nezavist actions on vagal firing involved the GABAA receptor system.\nTo determine if Nezavist action is unique, or whether any GABAA receptor PAM would produce the same effect on vagal firing pattern codes, we compared the effect of diazepam, the classic high affinity ligand for the benzodiazepine binding site on the GABAA receptor, which acts as a GABAA receptor PAM [63]. Figure 10H shows that application of diazepam (at what can be considered a saturating concentration for GABAA receptors) produced no significant effect on vagal afferent neuron firing patterns. One plausible explanation for this difference from Nezavist is that the GABAA receptors in the gut that mediate the effect of Nezavist may contain either an α6 or a δ subunit instead of a γ subunit and other α subunits. Diazepam cannot function in the presence of an α6 or a δ subunit, while Nezavist can produce its PAM effect in the presence of either α6 or the δ or γ subunits [2, 63] and unpublished observation with α6‐containing GABAA receptors. Ethanol (1%; a concentration expected in the upper intestine of humans after consuming alcohol [64, 65]) produced a different pattern of vagal afferent fibre firing than Nezavist (Figure 10H).\nThere is a report of GABAA receptors containing a δ subunit being present on the enteroendocrine cells, which secrete cholecystokinin (CCK) in the intestine [29], and activation of GABAA receptors on these CCK‐releasing enteroendocrine cells leads to membrane depolarization and potentiation of CCK release [29]. Vagal neurons contain receptors for CCK [66, 67] and thus the effects of Nezavist on vagal neuron firing may be secondary to Nezavist‐mediated release of CCK and CCK action on the vagus within the jejunal preparation. Figure 10H illustrates that exogenous application of CCK to the jejunum produced an identical vagal neuronal firing pattern code as seen with Nezavist. The similarity in the actions of CCK and Nezavist provides a plausible path by which Nezavist can activate the firing of a subset of vagal afferent neurons. Furthermore, Figure 10I shows that the effect of Nezavist on vagal firing rate can be reduced by the nicotinic cholinergic antagonist, mecamylamine (Holm–Šidák multiple comparison test, p = 0.05). This result suggests that Nezavist may also activate a functional vagal nicotinic cholinergic ‘sensory synapse’ that involves activity of intrinsic afferent primary afferent neurons (IPANs) in the enteric nervous system [68].\n\n\n### Nezavist Effects on Intestinal Contractility\nThe effects of Nezavist and DCUKA on the mouse ileum and colon were examined in order to infer their potential impact on overall GI motility, as described in Seifi et al. [43, 44]. The effect of Nezavist and DCUKA on longitudinal smooth muscle contractility in the ileum was investigated by examining spontaneous contractility and basal tone. Nezavist increased the force of spontaneous contraction in a dose‐dependent manner from 3− 100 μM (Figure 9A), with a statistically significant increase from baseline at 100 μM (ANOVA and Tukey test, p < 0.05). The frequency of the contractions, however, was not significantly affected by the application of Nezavist (300 nM–100 μM) (Figure 9B). Interestingly, DCUKA (1–30 μM) significantly decreased the force of spontaneous contraction (p < 0.0001) and significantly decreased the frequency of spontaneous contraction at 30 μM (p < 0.01) (Figure 9C,D). The effect of Nezavist and DCUKA on ileal tone was also investigated (Figure 9E,F). The basal tone of the ileal tissue increased in a dose‐dependent manner following the application of 3–100‐μM Nezavist, with a statistically significant increase from baseline at 100 μM (p < 0.05). DCUKA had no significant effect on basal tone. The difference in effects of Nezavist and DCUKA on ileal spontaneous contraction and basal tone may reflect differences in receptor selectivity between the two compounds. For instance, Nezavist is 10 times more potent as a PAM at the GABAA receptor compared to DCUKA, and DCUKA has a spectrum of activity that includes effects on other receptors [61].\nEffect of Nezavist or DCUKA on spontaneous contractility and basal tone in the ileum. Values represent mean ± SEM. (A–D) Spontaneous contraction: Force of spontaneous contraction produced by Nezavist (A) or DCUKA (C). Frequency of spontaneous contraction produced by nezavist (B) or DCUKA (D). Blue lines in subplots A and C illustrate a dose response relationship. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001 (one‐way repeat measures ANOVA followed by Tukey post hoc testing). (E,F) Basal tone: Basal tone compared to baseline ((application force—baseline tone)/(baseline tone)). Effect of Nezavist (E) or DCUKA (F) on basal tone. Blue line illustrates a dose response relationship. *p < 0.05 (one‐way repeat measures ANOVA followed by Tukey post hoc testing).\nIn contrast to the ileum, Nezavist and DCUKA had no significant effects on spontaneous contractility or tone of the colon (data not shown, but see Section 4).\n\n\n### Effect of Nezavist on Spontaneous Vagal Activity in the Intestine\nThe effects of Nezavist on vagal nerve activity were examined by the methods described in detail in West et al. [45]. Segments of the jejunum were collected from adult male C57BL/6 mice with attached mesenteric arcade containing a neuromuscular bundle and placed in Krebs buffer. An ex vivo mouse intestinal segment perfusion preparation was used to record afferent single unit vagal activity [46, 47, 48] after luminal exposure to Nezavist (Figure 10A). Nicardipine was present in the perfusion buffer during measures of electrophysiological responses. Recorded single unit events were subdivided into vehicle (Krebs) and treatment periods, and for each event, mean interspike intervals (MII) were recorded. Figure 10B illustrates the firing intensity for single vagal fibres recorded under control condition (Krebs buffer‐perfused jejunum) versus recording when 1‐, 10‐ or 100‐μM Nezavist was perfused through the jejunum. For Nezavist concentrations greater than 1 μM, MII was reduced, that is, vagal firing rates increased (paired t‐test, p = 0.0036 [10 μM], p = 0.0066 [100 μM]). The Pearson correlation coefficient of 0.3 for a plot of fractional change in MII versus MII values indicates a moderate strength of a linear relationship between the two variables (Figure 10C). What is notable in these data are that Nezavist dominantly stimulated the rate of discharge of a subset of neurons (Figure 10D,E) which, under the control (‘Krebs buffer’) condition, have a particularly slow rate of firing (high MII). This is particularly evident when a sufficient number of neurons are assessed, as can be seen in the experiments using 10 μM (paired t‐test, p = 0.0049) or 100 μM (paired t‐test, p = 0.0084) Nezavist. All of the recorded neurons are assumed to be afferent (travelling from gut to brain). Efferent neuron axons (fibres) would be quiescent, since they have been severed from the components that can generate an action potential in response to a neurotransmitter stimulus (which reside in the CNS).\nEffects of Nezavist on vagal afferent firing. (A) Gut‐to‐brain vagal afferent recording setup with mouse jejunum tissue segments. Vagal afferent signals were recorded where the mesenteric nerve bundle emerges from the small intestine. Afferent multiunit extracellular action potentials were recorded via a suction electrode from a mesenteric nerve bundle attached to a segment of the jejunum. Parameters measured from stylized single unit (action potential) firing patterns (burst duration, gap duration, intraburst interval and mean interspike interval) are illustrated in the upper diagram. (B,C) Nezavist effect on vagus mean interspike intervals (MIIs) for all MIIs obtained in the presence of vehicle (Krebs). Jejunum tissue segments were collected from male C57BL/6 mice with attached mesenteric arcade (containing a neuromuscular bundle) from which vagal nerve firing was recorded. (B) The effects of 1‐, 10‐ or 100‐μM Nezavist on MII were compared to MII in the presence of vehicle (Krebs buffer). Nezavist (10 and 100 μM) reduced MIIs (p‐values (displayed on each plot) were calculated by paired t‐test). (C) MII fractional change calculated as ((treatment—Krebs control)/Krebs control). Fractional change for 10‐ and 100‐μM Nezavist plotted against MII with a Pearson correlation coefficient of 0.3 for a best fit straight line. (D,E) Nezavist effect on vagus MIIs for vehicle MIIs > 10 s. D. Frequency distribution of MII in the presence of vehicle. In this figure, the effect of Nezavist on MIIs > 10 s, circled in red, is shown. (E) These represent slow‐firing vagal fibres, which are particularly affected by Nezavist (10 and 100 μM). p‐values are calculated by paired t‐test. (F,G) Effect of GABAA receptor antagonists on the vagal firing response to Nezavist. The effect of Nezavist on MII of vagal afferent firing is illustrated. Values represent mean ± SEM p‐values are displayed on the plots. Neither picrotoxin (F) nor bicuculline (G) alone affected vagal firing rates, compared to vehicle (Krebs buffer). Nezavist (100 μM) significantly reduced MII (increased vagal firing), compared to vehicle (Krebs) (paired t‐tests with Šidák's corrections for multiple comparisons). This effect was blocked in the presence of picrotoxin or bicuculline. (H) Distinguishing vagal firing pattern codes evoked by different luminal agents. The patterns of vagal nerve firing in segments of mouse jejunum tissue were compared in the presence of Nezavist, diazepam, ethanol or cholecystokinin (CCK). Effects of these agents on mean interspike interval (MII), burst duration (BD), gap duration (GD) and intraburst intervals (IBI), as noted in the top panel, were recorded. Values represent mean ± SEM for the number of vagal fibres recorded (number above bars = n). Results are shown as fractional changes compared to vehicle (Krebs buffer). The GABAA receptor modulator diazepam had no significant effect on any parameter, in contrast to Nezavist. The firing pattern in response to ethanol differs from that in response to Nezavist. Similar firing patterns were observed in response to Nezavist and CCK. (I) The effect of Nezavist on vagal firing rate in the presence of a nicotinic cholinergic antagonist. Mecamylamine is a broad spectrum, noncompetitive, voltage‐dependent antagonist of nicotinic acetylcholine receptors. The effect of Nezavist on MII of vagal afferent firing is illustrated. Mecamylamine alone did not significantly affect vagal firing rates, compared to vehicle (Krebs buffer). Nezavist (100 μM) significantly reduced MII (increased vagal firing), compared to vehicle (N = 12, Holm–Šidák's multiple comparison tests; p‐values on plot). This effect was blocked in the presence of a concentration of mecamylamine that produces complete inhibition of nicotinic cholinergic signalling. These data (mean ± SEM, n = numbers within bars) suggest a potential role for a functional vagal nicotinic sensory synapse that involves the activation of enteric nervous system intrinsic primary afferent neurons (IPANs) in the action of Nezavist.\nNezavist is a PAM at GABAA receptors and, if GABAA receptors are involved in the response noted in the firing patterns of the afferent vagal neurons, then a known GABAA receptor channel blocker, such as picrotoxin [62], or a GABAA receptor binding site antagonist, for example, bicuculline, would be expected to dampen or eliminate the response to Nezavist. Figure 10F,G illustrates that both picrotoxin (paired‐test, p = 0.01) and bicuculline (p = 0.01) completely blocked the effect of Nezavist, supporting the inference that Nezavist actions on vagal firing involved the GABAA receptor system.\nTo determine if Nezavist action is unique, or whether any GABAA receptor PAM would produce the same effect on vagal firing pattern codes, we compared the effect of diazepam, the classic high affinity ligand for the benzodiazepine binding site on the GABAA receptor, which acts as a GABAA receptor PAM [63]. Figure 10H shows that application of diazepam (at what can be considered a saturating concentration for GABAA receptors) produced no significant effect on vagal afferent neuron firing patterns. One plausible explanation for this difference from Nezavist is that the GABAA receptors in the gut that mediate the effect of Nezavist may contain either an α6 or a δ subunit instead of a γ subunit and other α subunits. Diazepam cannot function in the presence of an α6 or a δ subunit, while Nezavist can produce its PAM effect in the presence of either α6 or the δ or γ subunits [2, 63] and unpublished observation with α6‐containing GABAA receptors. Ethanol (1%; a concentration expected in the upper intestine of humans after consuming alcohol [64, 65]) produced a different pattern of vagal afferent fibre firing than Nezavist (Figure 10H).\nThere is a report of GABAA receptors containing a δ subunit being present on the enteroendocrine cells, which secrete cholecystokinin (CCK) in the intestine [29], and activation of GABAA receptors on these CCK‐releasing enteroendocrine cells leads to membrane depolarization and potentiation of CCK release [29]. Vagal neurons contain receptors for CCK [66, 67] and thus the effects of Nezavist on vagal neuron firing may be secondary to Nezavist‐mediated release of CCK and CCK action on the vagus within the jejunal preparation. Figure 10H illustrates that exogenous application of CCK to the jejunum produced an identical vagal neuronal firing pattern code as seen with Nezavist. The similarity in the actions of CCK and Nezavist provides a plausible path by which Nezavist can activate the firing of a subset of vagal afferent neurons. Furthermore, Figure 10I shows that the effect of Nezavist on vagal firing rate can be reduced by the nicotinic cholinergic antagonist, mecamylamine (Holm–Šidák multiple comparison test, p = 0.05). This result suggests that Nezavist may also activate a functional vagal nicotinic cholinergic ‘sensory synapse’ that involves activity of intrinsic afferent primary afferent neurons (IPANs) in the enteric nervous system [68].\n\n\n### Effect of Nezavist on c‐Fos Levels in Mouse NTS\nTo investigate whether Nezavist's effect on vagal firing results in a change in vagal input into the brain, the effect of Nezavist on the expression of an immediate‐early gene, c‐Fos, in the NTS, the initial CNS target of vagal afferents, was examined. Lipopolysaccharide (LPS) is a major component of the outer membrane of Gram‐negative bacteria, which initiates a strong immune response, including an increase in inflammatory cytokines in the brain and periphery [69]. The administration of LPS and the concomitant increase in peripheral cytokines activates the vagus nerve [70]. Our experiments were designed to assess not only the effect of Nezavist on vagal signalling to brain, but also to investigate Nezavist's effect on a well‐studied c‐Fos response in the NTS produced by LPS via the vagus [71]. The experimental design is illustrated in Figure 11A. The number of c‐Fos‐positive cells was counted in mice that received pretreatment with LPS (or vehicle) and then were treated with Nezavist (or placebo). Due to the metabolism of Nezavist and timing of its behavioural effects, tissue was sampled at 90‐ and 150‐min posttreatment. Representative c‐Fos levels across an entire NTS section, and specifically within the anterior and posterior regions of interest, are shown in Figure 11B,C. The data were analysed using a linear mixed model to overcome sampling differences between mice. There was no statistically significant effect of time point (90 vs. 150 min) alone (t\n(57.69) = 0.033, p = 0.9735) or in interaction with other factors on c‐Fos‐positive cell counts (ps = 0.1080–0.8653), so results are shown collapsed across time points for the anterior (rostral) and posterior (caudal) NTS. There was a significant three‐way interaction between LPS treatment, Nezavist treatment and position within the NTS on the number of c‐Fos‐positive cells (t\n\n(508.42)\n = −4.679, p < 0.0001). As shown in Figure 11D–F, Nezavist alone did not alter the number of c‐Fos‐positive cells in either NTS subregion, although there was a small trend for suppression of c‐Fos‐positive cells in the anterior NTS (post hoc tests; anterior vehicle‐treated, Nezavist—placebo: p = 0.0612; posterior, vehicle‐treated, Nezavist—placebo: p = 0.45). LPS treatment, by itself, significantly increased the number of c‐Fos‐positive cells only in the posterior NTS (post hoc tests; anterior placebo‐treated LPS—vehicle: t\n\n(52.51)\n = 0.798, p = 0.4284; posterior placebo‐treated LPS—vehicle: t\n\n(141.95)\n = 8.106, p < 0.0001). Nezavist did not affect the number c‐Fos‐positive cells in anterior NTS when administered with LPS (post hoc tests; t\n\n(59.32)\n = 1.562, p = 0.1235) but suppressed the LPS‐induced increase in c‐Fos‐positive cells in the posterior NTS (t\n\n(111.98)\n = −4.785, p < 0.0001). Together, these results indicate that Nezavist significantly diminished NTS neuron activation (c‐Fos labelling increases) by LPS, specifically in the posterior (caudal) NTS.\nEffects of ip LPS and Nezavist on c‐Fos expression in NTS of C57BL/6 mice. (A) Experimental design of the study. (B,C) c‐Fos staining. Collected brain tissue was stained for c‐Fos and c‐Fos‐positive cells were counted as a proxy for neuronal activation. 20X magnification images were collected and analysed from both anterior (B) and posterior (C) aspects of the nucleus tractus solitarius (NTS). (D–F) Quantification of c‐Fos staining. representative images from each of the groups at the 90‐min time point are shown from anterior (D, top row) and posterior (D, bottom row) NTS. Linear mixed model analyses showed that LPS had no effect on c‐Fos‐positive cell counts in the anterior NTS (E) but significantly increased c‐Fos‐positive cells in the posterior NTS (anterior: p = 0.4284; posterior: p < 0.0001) (F). Nezavist with LPS treatment had no effect on the number c‐Fos‐positive cells in anterior NTS (p = 0.1235) but Nezavist significantly, but not fully, reduced LPS‐induced activation of the posterior NTS (p < 0.0001). There was no effect of Nezavist alone on NTS activation in either subregion (ps = 0.0612, anterior; 0.4555, posterior). Individual data points displayed here represent c‐Fos‐positive cell counts in individual images taken across mice. The bars and error bars represent the means ± SEMs of these images; ***, p < 0.001.\n\n\n### Effect of Nezavist on Peripheral and Hippocampal Cytokine Levels\nThese experiments were designed to assess the possible downstream effects of LPS administration and the impact of Nezavist on these effects. We measured cytokine responses in blood and brain (hippocampus), and microglial activation in the hippocampus produced by LPS in the absence and presence of Nezavist treatment. In these experiments, LPS was administered ip once daily for 4 days, followed by one of two doses (50 or 100 mg/kg) of Nezavist (administered ip). None of the animals died prematurely or had to be euthanized during the course of the study.\nBehavioural signs scores of the vehicle‐only treated control group remained low throughout the monitoring period. In contrast, all mice of the LPS treatment groups showed significantly (ANOVA, p < 0.001) increased behavioural symptoms (e.g., reduced general health condition and activity) following LPS treatment, reaching peak scores on Day 2. From Day 2 to Day 4, the behavioural symptoms of the LPS treatment groups steadily declined. However, both Nezavist treatment groups showed a slower rate of decline of symptoms compared to control animals (LPS, vehicle), irrespective of the administered dose. The Nezavist/LPS‐treated animals exhibited significantly higher behavioural scores on Day 4 (ANOVA and multiple comparisons, 50‐mg/kg Nezavist, p < 0.005; 100‐mg/kg Nezavist, p < 0.002) compared to the LPS/vehicle‐treated mice.\nAll animals from the LPS treatment groups showed significant (p ≤ 0.008) body weight loss from Day 2 until tissue collection on Day 5, whereas the vehicle‐only treated animals maintained stable body weights throughout the entire observation period. From Days 3 to 5, the body weights of the control LPS group (LPS/vehicle) stabilized and remained constant until tissue collection, whereas the LPS/Nezavist treatment groups showed further decreasing body weights until study end. The mice that were treated with LPS and 100‐mg/kg Nezavist displayed significantly (ANOVA p < 0.01) lower body weights on Day 5 in comparison to the LPS/vehicle‐treated mice.\nCompared to vehicle‐only treated controls, all LPS treatment groups showed reduced exploratory behaviour. This effect was indicated by significantly (ANOVA) reduced ‘hyperactivity’ (p < 0.02), total distance traversed (p < 0.02) and number and duration of rearings (p < 0.04). Compared to LPS/vehicle‐treated animals, the mice receiving 100 mg/kg of Nezavist and LPS showed significantly decreased ‘hyperactivity’ (p < 0.02) but no effects on the other measures of exploratory behaviour. No statistically significant group differences in overall activity and thigmotaxis behaviour were detected.\nDefecation was assessed as a measure of emotionality and was significantly (ANOVA and multiple comparisons, p < 0.001) reduced in both Nezavist/LPS treatment groups in comparison to the LPS/vehicle group.\nCytokine levels in the hippocampus were measured at 18 h after the last LPS or LPS/Nezavist treatment. Compared to vehicle‐only treated control mice, the LPS/saline‐treated mice showed significantly (ANOVA) increased levels of hippocampal IL‐1β (p < 0.001), IL‐6 (p < 0.05) and TNF‐α (p < 0.001) (Figure 12B–D).\nEffect of LPS and Nezavist on hippocampal cytokine levels and plasma CRF and corticosterone in mice. (A) Experimental design of the study. (B–G) Hippocampal cytokine levels. Levels of IL‐1β (B), IL‐6 (C), TNF‐α (D), IL‐10 (E), IL‐12p70 (F) and IL‐18 (G) in hippocampus collected from all treatment groups on Day 5, as determined by MSD assay, are shown (mean ± SEM). Averaged data from two separate experiments with the same samples are shown. Values are given as pg/g protein. No outlier test was performed. Statistics (n = 10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (TNF‐α and IL‐10) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (all other measures). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05, ***p < 0.001. (H–K) Quantification of Iba1 Immunofluorescence in the C57BL/6 Mouse Hippocampus (HC) after ip Nezavist and LPS. Immunofluorescence of Iba1 was detected with guinea pig monoclonal [Gp311H9] antibody. Iba1 immunosignal was significantly increased in LPS‐only treated animals in all four measured read‐outs when compared to vehicle‐only treated controls. Treatment with Nezavist at both doses led to significantly reduced immunoreactive area (H), density (I) and size (K) values of Iba1‐positive objects. In the case of the high dose animals (100‐mg/kg Nezavist) object intensity values were also significantly reduced (J). Graphs show the means of immunofluorescent signal on five brain sections per mouse [n = 10]. Data were analysed by one‐way ANOVA and Bonferroni's post hoc test. The C57BL/6, LPS, vehicle group was defined as reference group for pairwise comparisons. Bar graphs represent group means + SEM. *p < 0.05, ***p < 0.001. (L–O) Quantification of CD68 Immunofluorescence in the C57BL/6 mouse hippocampus (HC) after ip Nezavist and LPS. Immunofluorescence of CD68 was detected with rat monoclonal [FA‐11] antibody. The immunosignal was significantly increased in the LPS‐only treated animals when compared to vehicle‐only treated controls. Slightly lower mean values of immunoreactive area (L) and object density (M) were found in mice that were treated with Nezavist; however, treatment effects were only significant in the case of the object intensity (N) in the lower dose (50 mg/kg) Nezavist‐treated animals. Graphs show the means of immunofluorescent signal on five brain sections per mouse [n = 10]. Data were analysed by one‐way ANOVA and Bonferroni's post hoc test (object intensity and object size) or by Kruskal–Wallis test and Dunn's post hoc test (immunoreactive area and object density). The C57BL/6, LPS, vehicle group was defined as reference group for pairwise comparisons. Bar graphs represent group means ± SEM. *p < 0.05, ***p < 0.001. (P–T) Effects of LPS and Nezavist on plasma cytokine levels in C57BL/6 mice. Levels of IL‐1β (P), IL‐6 (Q), TNF‐α (R), IL‐10 (S) and IL‐12p70 (T) in terminal plasma samples collected from all treatment groups on Day 5, as determined by MSD assay, (mean ± SEM). Data are given as pg/mL plasma. No outlier test was performed. Statistics (n = 9–10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (IL‐1β or IL‐12p70) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (all other measures). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05, **p < 0.01, ***p < 0.001. LLOQ, lower limit of quantification. (U,V) Effects of ip LPS and Nezavist on plasma CRF and corticosterone in C57BL/6 mice. Levels of CRF (U) and corticosterone (V) in terminal plasma samples collected from all treatment groups on Day 5, as determined by ELISA, are shown (mean ± SEM, pg/mL plasma). No outlier test was performed. Statistics (n = 10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (CRF) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (corticosterone). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05 and ***p < 0.001.\nIn the hippocampus, the treatment with Nezavist at both of the tested doses given after LPS had no significant effect on IL‐6 increases produced by LPS but significantly reduced the LPS‐generated hippocampal IL‐1β levels (by approximately 45%, p < 0.05), compared to LPS/vehicle‐treated mice. Nezavist (100 mg/kg) produced a very small but significant (p < 0.05) increase in TNF‐α levels, compared to LPS/vehicle‐treated mice. Neither LPS nor Nezavist plus LPS altered the levels of IL‐10, IL‐12p70 or IL‐18 in hippocampus (Figure 12E–G).\nBrains were obtained at 18 h after the last LPS or LPS/Nezavist treatment for histological analysis. Brains were stained for Iba1 (Ionized calcium‐binding adaptor molecule) (1), a marker that is particularly useful for identifying activated microglia and macrophages [72], GFAP (glial fibrillary acidic protein), a marker for astrocytes [73], and CD68, which identifies infiltrating monocytes and macrophages, and is also used to identify activated microglia [74]. For quantification, the region of interest (hippocampus) was identified, and the three proteins were quantified based on (1) immunoreactive area, to determine overall differences in immunoreactivity across treatment groups; (2) the number of objects, normalized to the region of interest (object density); (3) mean signal intensity of identified objects, which indicates whether there are differences in cellular expression of the various proteins across treatment groups; and (4) object size. Figure S2 shows the immunofluorescence of the measured proteins. The effects of LPS and Nezavist on Iba1 and CD68 staining in hippocampus are illustrated in Figure 12H–K and L–O, respectively. LPS increased the hippocampal immunoreactivity, object density, object intensity and object size of Iba1 (ANOVA p < 0.001). Nezavist at both doses reduced the LPS‐induced increases in immunoreactivity, density and size of objects (p < 0.001), and at the higher dose also significantly reduced object intensity (p < 0.05, Figure 12H–K). LPS treatment increased hippocampal immunoreactivity and object density of CD68 (p < 0.001) and produced a very small but statistically significant reduction in object intensity (p < 0.05), with no significant effect on object size (Figure 12L–O). Although treatment with both doses of Nezavist reduced the effect of LPS on immunoreactive area and object density of CD68, these changes did not reach statistical significance. 50‐mg/kg Nezavist produced a small but statistically significant increase in CD68 object intensity (p < 0.05) (Figure 12N). LPS had little effect on staining for GFAP, and Nezavist did not affect the response to LPS (data not shown). Overall, these results indicate a substantial and significant effect of Nezavist to reduce the LPS‐induced increase in Iba1 microglial staining. While CD68 staining is less selective for identifying activated microglia and also identifies monocytes and macrophages infiltrating from the periphery, the trend is similar for the effect of Nezavist to reduce the hippocampal CD68 response to LPS.\nIn contrast to the effects in hippocampus, treatment with Nezavist and LPS led to a significant (ANOVA) and dose‐dependent increase in the plasma levels of IL‐1β, IL‐6, TNF‐α and IL‐10 (p < 0.05 to 0.001), compared to mice that received the LPS/saline treatment. Furthermore, a significant (p < 0.05) increase in the plasma IL‐12p70 levels was detected in mice that were treated with 50‐mg/kg Nezavist and LPS, while LPS/saline had no effect (Figure 12P–T).\nCompared to vehicle‐only treated animals, plasma CRF levels of the LPS/saline‐treated mice were significantly reduced by approximately 50% when measured 18 h after the last dose of LPS (p < 0.001). Treatment with Nezavist plus LPS at either of the tested doses of Nezavist led to an even further reduction of the plasma CRF levels (50 mg/kg, p < 0.001; 100 mg/kg, p < 0.05, Figure 12U). In contrast, there were no statistically significant changes in plasma corticosterone levels produced by LPS/saline or LPS plus Nezavist treatment (Figure 12V).\n\n\n### Behavioural Signs\nBehavioural signs scores of the vehicle‐only treated control group remained low throughout the monitoring period. In contrast, all mice of the LPS treatment groups showed significantly (ANOVA, p < 0.001) increased behavioural symptoms (e.g., reduced general health condition and activity) following LPS treatment, reaching peak scores on Day 2. From Day 2 to Day 4, the behavioural symptoms of the LPS treatment groups steadily declined. However, both Nezavist treatment groups showed a slower rate of decline of symptoms compared to control animals (LPS, vehicle), irrespective of the administered dose. The Nezavist/LPS‐treated animals exhibited significantly higher behavioural scores on Day 4 (ANOVA and multiple comparisons, 50‐mg/kg Nezavist, p < 0.005; 100‐mg/kg Nezavist, p < 0.002) compared to the LPS/vehicle‐treated mice.\n\n\n### Body Weight\nAll animals from the LPS treatment groups showed significant (p ≤ 0.008) body weight loss from Day 2 until tissue collection on Day 5, whereas the vehicle‐only treated animals maintained stable body weights throughout the entire observation period. From Days 3 to 5, the body weights of the control LPS group (LPS/vehicle) stabilized and remained constant until tissue collection, whereas the LPS/Nezavist treatment groups showed further decreasing body weights until study end. The mice that were treated with LPS and 100‐mg/kg Nezavist displayed significantly (ANOVA p < 0.01) lower body weights on Day 5 in comparison to the LPS/vehicle‐treated mice.\n\n\n### Open‐Field Test\nCompared to vehicle‐only treated controls, all LPS treatment groups showed reduced exploratory behaviour. This effect was indicated by significantly (ANOVA) reduced ‘hyperactivity’ (p < 0.02), total distance traversed (p < 0.02) and number and duration of rearings (p < 0.04). Compared to LPS/vehicle‐treated animals, the mice receiving 100 mg/kg of Nezavist and LPS showed significantly decreased ‘hyperactivity’ (p < 0.02) but no effects on the other measures of exploratory behaviour. No statistically significant group differences in overall activity and thigmotaxis behaviour were detected.\nDefecation was assessed as a measure of emotionality and was significantly (ANOVA and multiple comparisons, p < 0.001) reduced in both Nezavist/LPS treatment groups in comparison to the LPS/vehicle group.\n\n\n### Cytokine Levels: Hippocampus\nCytokine levels in the hippocampus were measured at 18 h after the last LPS or LPS/Nezavist treatment. Compared to vehicle‐only treated control mice, the LPS/saline‐treated mice showed significantly (ANOVA) increased levels of hippocampal IL‐1β (p < 0.001), IL‐6 (p < 0.05) and TNF‐α (p < 0.001) (Figure 12B–D).\nEffect of LPS and Nezavist on hippocampal cytokine levels and plasma CRF and corticosterone in mice. (A) Experimental design of the study. (B–G) Hippocampal cytokine levels. Levels of IL‐1β (B), IL‐6 (C), TNF‐α (D), IL‐10 (E), IL‐12p70 (F) and IL‐18 (G) in hippocampus collected from all treatment groups on Day 5, as determined by MSD assay, are shown (mean ± SEM). Averaged data from two separate experiments with the same samples are shown. Values are given as pg/g protein. No outlier test was performed. Statistics (n = 10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (TNF‐α and IL‐10) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (all other measures). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05, ***p < 0.001. (H–K) Quantification of Iba1 Immunofluorescence in the C57BL/6 Mouse Hippocampus (HC) after ip Nezavist and LPS. Immunofluorescence of Iba1 was detected with guinea pig monoclonal [Gp311H9] antibody. Iba1 immunosignal was significantly increased in LPS‐only treated animals in all four measured read‐outs when compared to vehicle‐only treated controls. Treatment with Nezavist at both doses led to significantly reduced immunoreactive area (H), density (I) and size (K) values of Iba1‐positive objects. In the case of the high dose animals (100‐mg/kg Nezavist) object intensity values were also significantly reduced (J). Graphs show the means of immunofluorescent signal on five brain sections per mouse [n = 10]. Data were analysed by one‐way ANOVA and Bonferroni's post hoc test. The C57BL/6, LPS, vehicle group was defined as reference group for pairwise comparisons. Bar graphs represent group means + SEM. *p < 0.05, ***p < 0.001. (L–O) Quantification of CD68 Immunofluorescence in the C57BL/6 mouse hippocampus (HC) after ip Nezavist and LPS. Immunofluorescence of CD68 was detected with rat monoclonal [FA‐11] antibody. The immunosignal was significantly increased in the LPS‐only treated animals when compared to vehicle‐only treated controls. Slightly lower mean values of immunoreactive area (L) and object density (M) were found in mice that were treated with Nezavist; however, treatment effects were only significant in the case of the object intensity (N) in the lower dose (50 mg/kg) Nezavist‐treated animals. Graphs show the means of immunofluorescent signal on five brain sections per mouse [n = 10]. Data were analysed by one‐way ANOVA and Bonferroni's post hoc test (object intensity and object size) or by Kruskal–Wallis test and Dunn's post hoc test (immunoreactive area and object density). The C57BL/6, LPS, vehicle group was defined as reference group for pairwise comparisons. Bar graphs represent group means ± SEM. *p < 0.05, ***p < 0.001. (P–T) Effects of LPS and Nezavist on plasma cytokine levels in C57BL/6 mice. Levels of IL‐1β (P), IL‐6 (Q), TNF‐α (R), IL‐10 (S) and IL‐12p70 (T) in terminal plasma samples collected from all treatment groups on Day 5, as determined by MSD assay, (mean ± SEM). Data are given as pg/mL plasma. No outlier test was performed. Statistics (n = 9–10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (IL‐1β or IL‐12p70) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (all other measures). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05, **p < 0.01, ***p < 0.001. LLOQ, lower limit of quantification. (U,V) Effects of ip LPS and Nezavist on plasma CRF and corticosterone in C57BL/6 mice. Levels of CRF (U) and corticosterone (V) in terminal plasma samples collected from all treatment groups on Day 5, as determined by ELISA, are shown (mean ± SEM, pg/mL plasma). No outlier test was performed. Statistics (n = 10 per group): One‐way ANOVA followed by Bonferroni's multiple comparisons test (CRF) or Kruskal–Wallis test followed by Dunn's multiple comparisons test (corticosterone). The C57BL/6, LPS, vehicle group served as reference group for pairwise comparisons. *p < 0.05 and ***p < 0.001.\nIn the hippocampus, the treatment with Nezavist at both of the tested doses given after LPS had no significant effect on IL‐6 increases produced by LPS but significantly reduced the LPS‐generated hippocampal IL‐1β levels (by approximately 45%, p < 0.05), compared to LPS/vehicle‐treated mice. Nezavist (100 mg/kg) produced a very small but significant (p < 0.05) increase in TNF‐α levels, compared to LPS/vehicle‐treated mice. Neither LPS nor Nezavist plus LPS altered the levels of IL‐10, IL‐12p70 or IL‐18 in hippocampus (Figure 12E–G).\n\n\n### Hippocampal Histology\nBrains were obtained at 18 h after the last LPS or LPS/Nezavist treatment for histological analysis. Brains were stained for Iba1 (Ionized calcium‐binding adaptor molecule) (1), a marker that is particularly useful for identifying activated microglia and macrophages [72], GFAP (glial fibrillary acidic protein), a marker for astrocytes [73], and CD68, which identifies infiltrating monocytes and macrophages, and is also used to identify activated microglia [74]. For quantification, the region of interest (hippocampus) was identified, and the three proteins were quantified based on (1) immunoreactive area, to determine overall differences in immunoreactivity across treatment groups; (2) the number of objects, normalized to the region of interest (object density); (3) mean signal intensity of identified objects, which indicates whether there are differences in cellular expression of the various proteins across treatment groups; and (4) object size. Figure S2 shows the immunofluorescence of the measured proteins. The effects of LPS and Nezavist on Iba1 and CD68 staining in hippocampus are illustrated in Figure 12H–K and L–O, respectively. LPS increased the hippocampal immunoreactivity, object density, object intensity and object size of Iba1 (ANOVA p < 0.001). Nezavist at both doses reduced the LPS‐induced increases in immunoreactivity, density and size of objects (p < 0.001), and at the higher dose also significantly reduced object intensity (p < 0.05, Figure 12H–K). LPS treatment increased hippocampal immunoreactivity and object density of CD68 (p < 0.001) and produced a very small but statistically significant reduction in object intensity (p < 0.05), with no significant effect on object size (Figure 12L–O). Although treatment with both doses of Nezavist reduced the effect of LPS on immunoreactive area and object density of CD68, these changes did not reach statistical significance. 50‐mg/kg Nezavist produced a small but statistically significant increase in CD68 object intensity (p < 0.05) (Figure 12N). LPS had little effect on staining for GFAP, and Nezavist did not affect the response to LPS (data not shown). Overall, these results indicate a substantial and significant effect of Nezavist to reduce the LPS‐induced increase in Iba1 microglial staining. While CD68 staining is less selective for identifying activated microglia and also identifies monocytes and macrophages infiltrating from the periphery, the trend is similar for the effect of Nezavist to reduce the hippocampal CD68 response to LPS.\n\n\n### Cytokine Levels in Plasma\nIn contrast to the effects in hippocampus, treatment with Nezavist and LPS led to a significant (ANOVA) and dose‐dependent increase in the plasma levels of IL‐1β, IL‐6, TNF‐α and IL‐10 (p < 0.05 to 0.001), compared to mice that received the LPS/saline treatment. Furthermore, a significant (p < 0.05) increase in the plasma IL‐12p70 levels was detected in mice that were treated with 50‐mg/kg Nezavist and LPS, while LPS/saline had no effect (Figure 12P–T).\n\n\n### Plasma CRF and Corticosterone Levels\nCompared to vehicle‐only treated animals, plasma CRF levels of the LPS/saline‐treated mice were significantly reduced by approximately 50% when measured 18 h after the last dose of LPS (p < 0.001). Treatment with Nezavist plus LPS at either of the tested doses of Nezavist led to an even further reduction of the plasma CRF levels (50 mg/kg, p < 0.001; 100 mg/kg, p < 0.05, Figure 12U). In contrast, there were no statistically significant changes in plasma corticosterone levels produced by LPS/saline or LPS plus Nezavist treatment (Figure 12V).\n\n\n### Discussion\nAUD is a medical condition characterized by an ‘impaired ability to stop or control alcohol use despite adverse social, occupational or health consequences’ (http://NIAAA.NIH.gov/publications/brochures‐and‐fact‐sheets/understanding‐alcohol‐use‐disorder). The inability to stop alcohol use has led to the definition of AUD as a chronically relapsing condition wherein attempts at sobriety are curtailed by return to chronic consumption of large amounts of alcohol (‘relapse behaviour’). Given this characterization and definition of AUD, we have focused our medication development efforts on therapeutics that would prevent or diminish relapse in individuals who attempt to reduce their ‘dependence’ on alcohol by embarking on periods of abstinence or diminished consumption.\nThere is a rich literature on animal models for studying alcohol relapse [75, 76]. The described models provide both face validity and predictive validity for discovery of medications that can decrease drug relapse in humans. We have exploited two highly utilized animal (rat) models of relapse behaviour in AUD to assess our candidate drug, Nezavist. The first model is one described by Spanagel et al. [58] in which animals consuming alcohol for several months are deprived of their source of alcohol and after a period of days or weeks are again allowed to consume alcohol. In this model, with the reintroduction of alcohol, the animals exhibit ‘relapse‐like’ drinking (significantly increased consumption of alcohol), and the animals demonstrate an ‘incentive demand’ to consume alcohol [32, 33].\nThe second model of alcohol dependence and relapse in our studies utilized a procedure in which (1) animals are trained to respond for alcohol in an operant paradigm; (2) animals are then exposed intermittently to alcohol vapour to the point of showing dependence, i.e., alcohol withdrawal signs when alcohol exposure is terminated; and (3) after 10 h of withdrawal, animals are returned to the operant chamber to assess their responding for alcohol solution versus water [38, 39].\nIn the current studies, both models performed as expected. There was an escalated consumption of alcohol solution when the dependent rats were offered a choice between drinking alcohol or water after a prolonged period (months) of voluntarily consuming alcohol in a free‐choice paradigm followed by alcohol deprivation [32] (see Figure 1). Similarly, there was significantly greater responding on the alcohol delivery‐associated lever in the operant responding paradigm after withdrawal from dependence‐inducing chronic alcohol exposure [37, 38, 39] (see Figure 2). Each of these models has previously been extensively used to test medications already known to reduce craving in abstinent humans recovering from AUD (e.g., Acamprosate or naltrexone/nalmefene), providing evidence for predictive validity [57, 77, 78, 79]. When we administered Nezavist (20 mg/kg × 5, ip, over a 3‐day period) to ethanol‐deprived rats in the model described by Spanagel and colleagues [32, 33], we noted diminished total alcohol consumption and an increase in water consumption, which resulted in a significant decrease in ‘alcohol preference’ during the period of Nezavist administration.\nThe further conclusion that can be generated from results of the analysis of Nezavist effects on consumption of particular concentrations of alcohol is that Nezavist in low doses (20 mg/kg/dose) changed the preference of the alcohol‐dependent animals from a higher to a lower concentration of alcohol. Wistar‐derived rats, as those used in these studies, have been reported to have a preference for 10% solutions of alcohol (ethanol) when offered solutions of various concentrations [80]. The alcohol deprivation effect in the alcohol‐dependent rats demonstrates that, without drug treatment, the rats will consume the most alcohol by drinking the solution with the highest alcohol concentration (20%). The administration of the low dose of Nezavist appears to selectively lower the amount of alcohol ingested by drinking the high concentration of alcohol, but there appears to be a partial compensation by an increased consumption of the preferred 10% alcohol solution. The result is a modest reduction in overall (total) consumption of alcohol on the first day of abstinence and an overall increase in water consumption, but not total fluid consumption.\nOne can consider the dose of 20‐mg/kg Nezavist, given ip five times over a 3‐day period, as a minimum effective dose in this multi‐dose paradigm, and 75 mg/kg (also given ip five times over 3 days) as a maximum (possibly supramaximal) dose for reducing relapse‐like alcohol consumption. Although the animals receiving the 75‐mg/kg dose significantly decreased consumption of all concentrations of alcohol and increased water consumption, there was a decrease in locomotor activity measured during the first 3 days of the high dose Nezavist administration. On the other hand, the locomotor activity was similar on Days 4–7 between the Nezavist and vehicle‐treated rats, but the Nezavist‐treated rats consumed minimal or no alcohol and still maintained high levels of water consumption. No evidence of Nezavist accumulation in the circulation of rats treated with multiple doses of Nezavist was evident in our pharmacokinetic assessments. One conclusion that can be drawn from the effects of Nezavist on the abstinence‐induced alcohol consumption is that a low dose of Nezavist produces an aversion for higher concentrations of alcohol, while the high dose generates an aversion to alcohol across all the tested concentrations, and this aversion is long‐lasting and maintained beyond the presence of Nezavist or its major metabolite within the body.\nAcamprosate (calcium‐bis(N‐acetylhomotaurinate)) is one of the few pharmacotherapies approved for treating AUD (reducing propensity for relapse) in humans [81]. Although there is controversy regarding which component of acamprosate, the calcium or homotaurine, or the combination of both, is required for reducing relapse [82, 83], the calcium‐containing product, i.e., calcium‐bis(N‐acetylhomotaurinate), was used in our studies. Acamprosate was also previously tested in both of the models used in our work and produced a diminution in the relapse‐like alcohol consumption and operant responding for alcohol [57, 77]. We considered that acamprosate would be an appropriate comparator for Nezavist. The prior studies indicated that multiple doses of Acamprosate were more effective than a single dose [77] and thus we used multiple doses (5 × 200 mg/kg doses over a 3‐day period) of Acamprosate for comparison with multiple (5× 20 mg/kg) doses of Nezavist. The effects of Nezavist and Acamprosate were similar, with Nezavist (20 mg/kg/dose) reducing alcohol consumption by 16% during the first day of alcohol consumption after the deprivation period, and acamprosate (200 mg/kg/dose) producing a 21% reduction. Although more work is required, Nezavist may be superior, on a dose basis, to acamprosate.\nThe operant responding model, a negative reinforcement model of relapse [6, 7] allowed for a further characterization of Nezavist actions. In this paradigm, we established that a single dose of Nezavist, given ip, a short time (60 min) prior to testing for operant responding for alcohol by an alcohol‐dependent animal, after a period of alcohol withdrawal, could reduce alcohol dependence‐induced drinking (i.e., the significant increase in responding for alcohol). Nezavist produced a dose‐dependent reduction in responses for the alcohol solution. The 50‐mg/kg dose returned responding to baseline levels recorded prior to instituting the ‘deprivation’ period. In this model, we also ascertained that the initial and primary metabolite of Nezavist, DCUKA, when given ip at the same dose as Nezavist, produced no effect on the ‘relapse’ phase of responding for alcohol or water. When Nezavist was given orally a higher dose was necessary to significantly reduce the dependence‐induced increase in alcohol responding. In this case, there was a significant increase in responding for water that accompanied the decrease in responding for alcohol. The effect of a single dose of Nezavist (administered orally) abated within 4 h after administration of Nezavist to rats. The efficacy of Nezavist on responding for alcohol by animals not made dependent on alcohol was significantly lower than the effect in the alcohol‐dependent rats, suggesting that a neurobiological difference is present in the dependent/withdrawn versus non‐alcohol‐dependent rats.\nAlcohol relapse in humans is driven by a number of factors. Stress is a major factor that drives relapse [84] and withdrawal or deprivation from alcohol in alcohol‐dependent humans or other animals elicit stress‐like states [85, 86]. Exaggerated responses to stress during abstinence can be exhibited as hyperkatifeia, such as mood disturbances, anxiety and irritability, that combine with learned expectations of subjective actions of a drug like alcohol to drive compulsive alcohol seeking [7].\nWe tested Nezavist effects in animal models of anxiety, sedation/incoordination and stress coping strategies to ascertain the possible role of effects on these activities that could be related to the actions of Nezavist on alcohol relapse behaviour. Nezavist showed no effect in models of anxiety‐like behaviours, and there was little or no effect on locomotion or incoordination caused by single doses of Nezavist well above those producing effects on relapse. However, a significant effect (reduced immobility) was noted on female rat behaviour in the forced swim test (Porsolt test). The Porsolt test [42] has been used extensively for ascertaining an animal's coping strategy to an acute stress [87]. It may seem that a drug that generates a signal in a test of an animal's coping strategy to an acute stress [87] would also produce some signal in tests of anxiolytic properties. However, it has been well demonstrated that particular agents can be distinguished in their actions by tests for anxiolytic effects (elevated plus maze, open‐field activity, etc.) or effects in the forced swim test [88, 89]. A recent review by Molendijk and deKloet [90] provided a summary of mechanistic and anatomical data relevant to the determinant of immobility time in the forced swim test. They emphasized the relationship of the behavioural response to glucocorticoid actions on ‘circuits processing salient information … and memory consolidation’, and activity of the medial prefrontal cortex and the periaqueductal grey (PAG) with modulation by the NTS. Given that the NTS is the relay station between the cholinergic input to the brain via the vagus nerve and the noradrenergic output to other brain areas such as the PAG and hippocampus (see below), the forced swim test may reflect Nezavist actions that involve the aforementioned brain areas and the immune system influence of the glucocorticoids.\nWe also tested the effects of Nezavist on the metabolism of alcohol (ethanol) in mice and the effect of Nezavist on the sedation and incoordination produced by alcohol. Circulating levels of alcohol in mice after a dose of 3.5 or 1.5 g/kg of alcohol were not affected by prior treatment with Nezavist (50 or 200 mg/kg ip), and there was no difference in the sedative/hypnotic (sleep time) or incoordinating effect of alcohol between animals pretreated with Nezavist or vehicle. These results indicate that the effects of Nezavist on alcohol consumption/relapse‐like behaviour are not due to alterations in alcohol metabolism or a change in alcohol's sedative or incoordinating effects.\nGiven the time course of the effect of a single dose of Nezavist on operant responding for alcohol in the alcohol‐dependent animals, we pursued pharmacokinetic studies to ascertain the relationship of blood and tissue (including brain) levels of Nezavist and the behavioural effects. Surprisingly, we found little or no Nezavist in peripheral blood or brain at any time after oral or ip administration of Nezavist at doses commensurate with those producing behavioural effects. Of the three biological entities that were tested, the one organ with notable Nezavist levels was the liver. These results indicate that Nezavist, absorbed through the intestine, is subject to extensive first‐pass metabolism by the liver, leaving little or no Nezavist to reach other organs. This interpretation is supported by the fact that the Nezavist metabolite, DCUKA, was evident in the circulation and was increased in a dose‐dependent manner with increasing doses of Nezavist. It should be noted that the absorption of drugs, such as Nezavist, after ip injection occurs by way of mesenteric arteries in the peritoneum and follows a path through the blood supply to the small intestine to the portal vein entering the liver [91]. Drugs injected ip are subject to first‐pass metabolism by the liver after they pass through the blood vessels of the intestine. Thus, both oral administration and ip injection of Nezavist would access the blood supply of the intestine prior to reaching the liver, albeit concentrations within the intestine may be different given the two routes of administration, due to absorption characteristics and metabolism in the intestine. Nezavist is metabolized to DCUKA by carboxylesterase (it is a preferred substrate for Carboxylesterase 1; data not shown). In the rat, Carboxylesterase 1 is expressed at high levels in blood and liver (the human differs from the rat by the fact that little Carboxylesterase 1 is found in blood). However, initial pharmacokinetic studies with humans indicate that little or no Nezavist is found in the peripheral circulation, but DCUKA is present, similar to what is found in the rat (data not shown). Thus, first‐pass metabolism in the liver may play an important part in determining the circulating levels of Nezavist in humans and rats. Given that little or no Nezavist is present in the circulation, it is not surprising that Nezavist is not found in the brain of rats given doses of Nezavist that are active in behavioural studies. Measurable levels of DCUKA are found in rat brain after administration of Nezavist, but the administration of DCUKA (50 mg/kg) per se produced no effect on dependence‐induced escalation of alcohol intake. The data on the essentially null circulating and brain levels of Nezavist led us to seek a location where Nezavist could be present outside the CNS and yet generate a behavioural response.\nThe stomach and intestines are highly innervated by the vagus nerve [92], which carries sensory information to the CNS (primarily to the NTS). Ample evidence has been presented that vagal input to the CNS can communicate information to the brain about the intestinal microbiome, nutritional factors (glucose, fatty acids and amino acids), distention of the intestine, hormones controlling hunger and satiety, inflammatory mediators, and so forth. Electrical stimulation of the vagus (ESV) has been shown to be effective in controlling epileptic seizures and improving drug‐resistant major depressive disorder and is approved in the USA by the FDA for treating these disorders [93]. More recently, ESV has been shown to have efficacy in treating addictive disorders [94, 95, 96]. The most effective application of ESV for long‐term treatment is through implanted electrodes and this surgery, and accompanying discomfort of the implant has limited the application of this therapy [97, 98]. A pharmacological approach to vagal stimulation could be beneficial.\nWe decided to test Nezavist actions on the activity of afferent vagal neurons in an in vitro preparation utilizing the small intestine of the mouse. However, given the fact that Nezavist has been characterized as a PAM at the GABAA receptor [2], we first tested Nezavist actions on physiological functions of the gut known to involve GABA. The enteric nervous system controls peristaltic activity of the small intestine [60]. Cholinergic activation of GABA interneurons generates the release of GABA onto GABAA receptor‐expressing cholinergic motor neurons that control intestinal tone and contraction. If Nezavist acts in the intestine, one would, thus, expect some effect of Nezavist on gut tone or contractility. Using in vitro preparations of mouse ileum and colon, we assessed the effects of Nezavist on gut contractile properties [43, 44]. Since isolated intestinal segments display spontaneous contractions, we expected that there would be endogenous release of GABA, and therefore, we did not add exogenous GABAA receptor agonists to perfusion fluids in our studies. It should be noted that GABA acts as an excitatory neurotransmitter in the gut [59], and Nezavist produced effects in the ileum preparation that would be expected from potentiation of GABA actions at the GABAA receptor in this preparation. There was little effect of Nezavist in the preparation of the colon. This can be explained by the distribution of GABAA receptors along the digestive tract, with a high concentration of these receptors in the upper GI tract and sparse expression in the colon [99].\nThe question remained as to whether Nezavist could generate afferent signalling in neurons of the vagus nerve not directly related to the GABA‐mediated effects on tone and force of contraction in segments of the upper GI tract. To examine this possibility, we used a preparation of the mouse jejunum but paralysed muscle contraction with nicardipine. Electrical activity of vagal neurons emanating from the segment of jejunum was measured by the well‐described methods of West et al. [45]. The results presented in Figure 10 clearly indicate that the addition of Nezavist to the perfusion fluid changes the firing properties of vagal neurons and particularly enhances the firing of a set of slowly discharging neurons. These particular neurons have long periods between action potentials under control conditions, and these neurons increased discharge rates in the presence of Nezavist. In our study, this pattern was also mimicked by cholecystokinin (CCK), but the Nezavist pattern was quite different from that produced by alcohol (ethanol) at concentrations expected in the intestine of humans after consumption of various forms of alcohol (beer, wine and distilled beverage) [64, 65] or by the Gram‐negative bacterial antigen LPS [45].\nIf Nezavist is acting as a PAM at GABAA receptors, then aside from the GABA involvement in gut muscle contraction, one wonders about the source of GABA and location of GABAA receptors instigating the changes in discharge properties of vagal afferent neurons. There is a modicum of evidence that afferent vagal neurons may express GABAA receptors (in nodose ganglion cell bodies [31, 100, 101]), and these receptor subunits may be transported to sensory terminals, but indirect mechanisms may also contribute to Nezavist actions. For instance, there is good evidence that GABAA receptors are located on enteroendocrine cells that synthesize and release CCK [29]. Activation of these GABAA receptors promotes the release of CCK, and CCK can interact with the CCK‐1 receptor on vagal sensory endings to change vagal neuron firing properties [66, 67]. As demonstrated (Figure 10), CCK produces a similar pattern of changes as Nezavist on vagal neuron firing. The other possibility is that Nezavist is acting within the enteric nervous system to generate signals that are then transmitted to vagal neurons [68]. As already mentioned, the enteric nervous system does express GABAA receptors and utilizes GABA as a transmitter. If there are GABA‐initiated signals that can be transmitted from the enteric nervous system to the vagus neurons [68], Nezavist can be potentiating this pathway. For example, a pathway involving sensory function of IPANs within the enteric nervous system has been identified using the GABA‐synthesizing \nLactobacillus rhamnosus\n [68, 102]. Also, IPANs express GABAA receptors whose activation by GABA evoked excitatory inward currents in IPANs due to the high intracellular Cl− ion concentration present within primary sensory neurons leading to a positive Cl− reversal potential [103]. Transmission of this sensory information to the vagus via a nicotinic (α7 subunit‐containing) cholinergic synapse has been described [68]. This pathway may well explain the observation that the effects of Nezavist on vagal neuron discharge can be blocked by the nicotinic cholinergic antagonist, mecamylamine (Figure 10).\nThe expectation then exists that the activation of a subset of afferent vagal neurons can be reflected by changes in the c‐Fos responses in target neurons in the NTS. During the last decade, it has become popular to invoke a link between inflammation, the intestine and the brain in the aetiology of AUD [12, 104, 105]. Chronic consumption of large quantities of alcohol produces dysbiosis in the intestine and increased permeability of the intestinal lumen [9, 106]. These events allow for the entry of bacterial products (e.g., LPS) that can activate the peripheral innate inflammatory system [9, 11], and cytokines released peripherally can alter brain function, contributing to the development of AUD. A rapid route for cytokine signalling to the brain is via the vagus nerve input into the NTS. We considered that the ip administration of the LPS could mimic the effect of chronic alcohol exposure on immune signalling to the brain, and that we could gain insights from assessing Nezavist actions on the effects of LPS.\nThe administration of Nezavist alone, to mice, did not produce any significant changes in c‐Fos expression in the NTS, but the administration of Nezavist with LPS significantly reduced the c‐Fos response to LPS, particularly in the caudal region of the NTS (Figure 11). This result suggested that the effect of Nezavist‐induced changes in vagal neuron firing rates in the isolated jejunum segments may be only visible in the brainstem nuclei under conditions when another stimulus (LPS or chronic alcohol?) is producing a significant enhancement of c‐Fos expression in the NTS. It is important to note that acute administration of alcohol to rats does produce an increase in c‐Fos expression in several brainstem regions including the NTS, and this increased c‐Fos expression is to a large extent localized to the catecholamine and NPY‐producing NTS neurons [107]. However, as we determined, the acute alcohol‐generated signals from the vagal afferents did not resemble the signal produced by Nezavist. This would lead one to believe that Nezavist is not a substitute for acute alcohol consumption. However, given the effect of chronic alcohol consumption on the intestinal microbiome [11, 104, 105], the vagal response to chronic alcohol exposure may be expected to differ from the acute response to alcohol\nJin et al. [71] examined the targets of the vagal pathways responding to LPS in the NTS of mice and identified several clusters of cell bodies in the caudal regions of the NTS (cNTS) that respond to peripherally administered LPS. The responding neurons were identified as belonging to glutamatergic and GABAergic neuron types. The chemogenetic activation of the glutamatergic neurons produced a significant diminution in the LPS‐induced peripheral cytokine response (an NTS‐mediated cholinergic anti‐inflammatory reflex) [108, 109], while the chemogenetic activation of the GABA neurons in the cNTS produced no significant effect on the peripheral levels of cytokines measured after LPS administration. The identified glutamatergic clusters of the cNTS were also found to contain noradrenergic cell bodies expressing dopamine‐β‐hydroxylase (DBH), and selective activation of the DBH‐expressing neurons also resulted in suppression of the LPS‐induced increase in proinflammatory cytokines in blood and an increase in IL‐10 (anti‐inflammatory cytokine) levels. Correspondingly, the ablation of the cNTS noradrenergic neurons resulted in an enhancement of the LPS‐generated increase in proinflammatory cytokines in the periphery and diminution of IL‐10 levels [71]. Chen et al. [110] also clearly identified noradrenergic neurons with cell bodies in the cNTS, and in their studies, chemogenetic activation of DBH‐containing neurons in the cNTS showed inhibition of feeding behaviour in fasted mice (another facet of NTS noradrenergic neuron function). On the other hand, chemogenetic inhibition of the noradrenergic neurons in the cNTS resulted in a block of the noradrenergic neuron action on feeding behaviour. The studies of Chen et al. [110] and Jin et al. [71] demonstrate that the noradrenergic neurons of the cNTS are not singular in their function and various subsets of these neurons may relate to different measured outcomes. Projections of the cNTS noradrenergic neurons reach the hypothalamus, the central nucleus of the amygdala (CeA), the bed nucleus of the stria terminalis, the locus coeruleus and so forth [111]. Thus, the noradrenergic neurons of the NTS may not only differ in their anatomical targets but also the effect of their input to the targeted areas may well depend on whether these noradrenergic neurons are activated or inhibited within the NTS.\nThe work of Jin et al. [71] further discerned that the vagal response to LPS was not a result of direct stimulation of the vagal neurons by LPS but was dependent on LPS‐mediated release of cytokines from the immune cells of the small intestine. It was also found that proinflammatory and anti‐inflammatory (IL‐10) cytokines each activated a different, small, subset of non‐overlapping vagal neurons. The cytokine‐activated vagal neurons made monosynaptic connections with DBH‐expressing neurons in the cNTS. The cytokine‐specific responses of particular vagal neurons have also been examined by others [112] and their findings indicate that the vagal neurons responding to a particular cytokine can be distinguished not only by their biochemical characteristics (e.g., the type of expressed receptors, enzymes and transporters [71]) but also by their firing patterns. In this regard, our results do indicate that the Nezavist‐sensitive vagal fibres display a distinguishable firing pattern [45].\nAs noted, GABAergic neurons are also present in clusters throughout the NTS and a significant number of the GABA neurons receive monosynaptic input from vagal afferents [113, 114]. The major vagal input to the GABA neurons in the NTS is from the intestines, and GABA neurons in the NTS are primarily interneurons [114], with a small number projecting to other brain areas [115, 116]. Acting as interneurons in the NTS, the GABA neurons have been shown to synapse with noradrenergic neurons of the cNTS (A2 noradrenergic cell‐containing nucleus) [117] and inhibit cNTS neuron function after their activation by vagal input.\nOne of the key observations resulting from our studies with Nezavist was that Nezavist activated a subset of afferent vagal neurons in the intestine, and the c‐Fos expression elicited by LPS in the NTS was diminished—not potentiated—by Nezavist. The afferent vagal input to the NTS can synapse with a particular set of GABAergic interneurons, which in turn inhibit a larger population of non‐GABAergic neurons in the NTS [114]. In our analysis, it was neurons in the caudal NTS that showed the diminished c‐Fos response to LPS when Nezavist was administered. The work of Thek et al. [114] provides evidence that the GABAergic interneurons generating inhibitory effects in the NTS may also contain somatostatin and they suggest that there may be a small number of such neurons, but they affect a large number of downstream cells. The visualization of Nezavist's effect on c‐Fos may be contingent on activation of these particular GABA interneurons by Nezavist treatment. Given the work of Jin et al. [71], a logical candidate neuron in the pool of NTS neurons activated by LPS, and susceptible to the inhibitory effect of Nezavist via a GABA interneuron, is the DBH‐containing neuron. A reason for the lack of effect of chemogenetic activation of GABA neurons in the NTS on immune responses in the work of Jin et al. [71] may have been the location of the GABA neuron clusters activated in their studies. Their work concentrated on the anatomically defined caudal NTS, and the GABA neuron clusters of interest could occur more anterior to the region that they examined [114]. It is evident from the work of Jin et al. [71] and others [118, 119] that lesioning or chemogenetically inhibiting the DBH‐containing neurons in the caudal NTS exacerbates the peripheral immunological response to LPS and modifies other responses (e.g., CCK‐induced anorexia). It has already been mentioned that NE neurons emanating from the cNTS are widely distributed throughout the CNS and participate in or affect not only the cholinergic anti‐inflammatory circuit [71] and response to peripheral hormones controlling appetite [110, 120] but also modulate the responses to stressful stimuli and participate in control of emotional and cognitive processing [118]. Therefore, Nezavist effects on ‘relapse‐like’ alcohol consumption that we have demonstrated can originate in the gut, be transmitted to the CNS by the afferent vagal system, activate inhibitory GABA neurons in the NTS and diminish the function of noradrenergic neurons emanating from the NTS region in the brainstem. Which particular noradrenergic projection is most important for the effect of Nezavist on alcohol consumption is yet to be determined, but our studies of the Nezavist effect on immune signalling within the brain and in the periphery do provide some evidence related to the sites of action of Nezavist.\nOur results with measures of peripheral cytokine levels after LPS administration, and the effects of LPS in conjunction with Nezavist administration, demonstrate a phenomenon that mirrors the findings of Jin et al. [71]. In their study, LPS was administered to mice after lesioning the DBH‐containing (noradrenergic) neurons in the cNTS. The lesioned animals responded more avidly to LPS, with further increases in peripheral inflammatory cytokines and a reduction in the anti‐inflammatory cytokine IL‐10. Our results with Nezavist were similar, except for an increase not only in inflammatory cytokines but also an increase in IL‐10 in mice treated with LPS and Nezavist, compared to LPS alone. This difference may be due to the experimental paradigm, since in our studies, LPS was administered for 4 days, while the studies of Jin et al. [90] used a single LPS injection. We chose to examine the effects of Nezavist on LPS‐generated immune responses (cytokine levels) in a paradigm in which LPS was given daily over several days to somewhat mimic daily intake of high amounts of alcohol which would, in a repetitive manner, disrupt the integrity of the intestinal barrier to the products of the microbiome [9, 121]. The literature indicates that, compared to a single injection of LPS, three injections produce a more profound response of serum IL‐1β, IL‐6, TNFα and IL‐10 [122].\nThe profile of changes in cytokine levels produced by LPS and Nezavist was quite different in the CNS (hippocampus), compared to circulating levels of cytokines. In our study, the levels of IL‐6 and TNFα in the hippocampus were significantly increased by LPS, but no substantial additional changes occurred with Nezavist. On the other hand, administering Nezavist with LPS significantly diminished the LPS‐induced increase in IL‐1β levels in the hippocampus. In the hippocampus, as in certain other brain areas [123, 124], there are two sources of IL‐1β. One source is the immune cells (infiltrating macrophages/monocytes and microglia), and the other source is neurons that synthesize and release IL‐1β [125]. A pathway has been defined from the NTS to the hippocampus that consists of glutamatergic projections from the NTS to the Nucleus Paragigantocelluaris, followed by glutamatergic projections to the locus coeruleus, followed by noradrenergic projections to the hippocampus [126, 127]. In addition to inhibiting the activity of NE neurons in the NTS, the inhibitory GABA/somatostatin interneurons in the NTS may also affect the glutamatergic output from the NTS [114]. The downstream noradrenergic input to the hippocampus is essential for facilitating attention, cognition and behavioural changes in response to the environment [128, 129]. A significant amount of literature has linked neuronal IL‐1β actions in the hippocampus to both neuroprotective and neurodegenerative processes. Low levels of IL‐1β provide for neuronal recovery from injury and have a role resembling that of a neuromodulator [130], while high levels have been implicated in pathological processes including epilepsy, depression, memory dysfunction (Alzheimer's Disease) and Parkinsonism [131]. Although it is difficult to find reference to a direct relationship between noradrenergic neuron function in the hippocampus and IL‐1β synthesis or release from hippocampal neurons, such evidence has been gathered from other brain areas. Noradrenergic neurons from the A2 region of the NTS project to the paraventricular nucleus (PVN) of the hypothalamus and activate both oxytocin and CRF‐containing neurons. Such activation leads to the release of these hormones [120]. The noradrenergic input to the paraventricular hypothalamus also increases IL‐1β synthesis and release from the hypothalamic neurons [132]. It is notable that circulating CRF levels which we measured were diminished by treatment with LPS and further decreased by the combination of LPS and Nezavist, indicating a possible inhibition of NTS noradrenergic input to the PVN.\nA noradrenergic pathway also projects from the NTS to the ‘extended amygdala’ (bed nucleus of the stria terminalis, shell of the nucleus accumbens and central nucleus of the amygdala [CeA]). The noradrenergic input to the amygdala mediates local CRF signalling in the amygdala [133] and mediates behavioural responses to environmental and internal stressors [133]. The noradrenergic pathway from NTS to amygdala, together with increased CRF release in the amygdala, has been shown to be a critical component of CeA changes occurring during induction of alcohol dependence, the increased anxiety that occurs on withdrawal from alcohol, opiates and cocaine in drug‐dependent animals, and the enhanced preference for the drug on which the animal is dependent [134, 135]. Work with control and alcohol‐dependent macaques has assessed neuroadaptation, related to IL‐1β, in the CeA [121]. These studies found that animals who had been treated, long‐term, with alcohol, and were currently abstinent, were less sensitive to IL‐1β effects than control (non‐drinking) macaques when GABA release in the CeA was measured [121]. Studies on the interactions of IL‐1β with alcohol's effects on CeA GABAergic transmission in mice further showed that IL‐1β is involved in basal CeA GABAergic transmission [136]. In all, the IL‐1β signalling system in the brain has taken on a role as an important modulator of alcohol drinking, development of alcohol dependence and alcohol‐induced neuroimmune responses [137, 138, 139]. In addition, genetic studies in humans have identified an association between a functional polymorphism in the IL‐1β protein‐generating gene, and the IL‐1β receptor gene, with risk for AUD [140]. Particularly, the presence of a SNP (rs16944) in the sequence of the human IL‐1β gene increases the synthesis and release of the mature IL‐1β protein [141].\nThe literature referenced above links afferent vagal activity to modulation of noradrenergic neurons of the NTS and/or pathways from the NTS that activate noradrenergic neurons of the locus coeruleus and describes the results of inhibiting or ablating these noradrenergic projections from the brainstem to areas of the hypothalamus, amygdala and hippocampus. This information provides a mechanistic and contextual framework for explaining the effects of Nezavist to reduce alcohol dependence‐induced increases in alcohol consumption, as well as the stress coping [90, 142] actions of Nezavist as evidenced with female rats using the Porsolt test (Figure 5). Particularly important for consideration may be the participation of NTS noradrenergic activity in the cholinergic anti‐inflammatory reflex for suppressing peripheral inflammatory cytokine responses and noradrenergic (direct or indirect) projections that modulate (enhance) the production and release of IL‐1β in a number of brain areas [143]. The crux of our explanation of Nezavist pharmacology rests on Nezavist action in the upper intestinal tract leading to the activation of a subset of afferent vagal fibres that project to the NTS to engage local GABAergic networks and produce inhibition of the c‐Fos response to LPS, or the response to other inflammatory mediators acting on the afferent vagal projections to the cNTS. From the work of Jin et al. [71] and others [110], we hypothesize that the neurons whose c‐Fos response is diminished by Nezavist are the noradrenergic neurons (A2) of the caudal NTS regions and/or glutamatergic neurons projecting to the Nucleus Paragigantocellularis (PGi). In fact, the local injection of muscimol into the NTS was demonstrated to inhibit the activity of this NTS‐to‐PGi connection [127].\nTo reiterate the possible similarities of LPS action with alcohol action, one can emphasize that peripheral LPS administration to mice has been shown to produce a prolonged increase in voluntary alcohol intake and alter the electrophysiological characteristics related to alcohol reward versus aversion [138]. Gorky and Schwaber [9] have presented a summary on how gut dysbiosis generated by high levels of alcohol intake and withdrawal from alcohol consumption could engage vagal signalling. They have surmised that inflammatory events in the amygdala contribute directly to withdrawal behaviour and other signs of alcohol dependence. Although Nezavist, on its own, can activate a subset of vagal neurons, ostensibly by acting as a PAM of GABAA receptors in the intestine, this stimulus does not translate into any evident c‐Fos response in the NTS. It is only in conjunction with an inflammatory signal (LPS in our studies) that the dampening effect of Nezavist occurs. If the sequelae to abstinence from alcohol, in alcohol‐dependent individuals, resemble LPS‐induced events in the NTS, then Nezavist would counter these events. The countering of inflammatory events in the CNS (i.e., suppression of IL‐1β production) can have a beneficial effect in both reducing withdrawal‐induced relapse to high levels of alcohol consumption, and in reducing neuronal damage caused by extended exposure to high levels of cytokines. As noted, high levels of IL‐1β in the CNS have been shown to negatively affect memory, responses to stressful stimuli, feeding behaviour, ‘sickness behaviour’ and so forth [130, 131]. Although there are some obvious beneficial effects of Nezavist in instances needing control of alcohol relapse behaviour, and certain aspects of neuroinflammation, there is also an obvious caveat to Nezavist use in the presence of peripheral inflammation. Although Nezavist does not produce any effect on circulating cytokine levels in non‐inflammatory conditions, it can potentiate the peripheral immune response arising from the presence of an antigenic molecule such as LPS. This phenomenon can be explained by Nezavist's interference with the function of the vagally mediated anti‐inflammatory reflex [144, 145]. It is, however, evident from our data that interference with the anti‐inflammatory reflex may be abrogated by lowering the dose of Nezavist, while the CNS anti‐inflammatory action of Nezavist may be maintained at a lower dose. Such dose–response studies, and a number of other studies substantiating relationships proposed herein to explain Nezavist actions are clearly needed. By presenting some of the results on the actions of Nezavist in this manuscript, we hope to raise the interest of other investigators (beyond ourselves) for investigating the pharmacology of Nezavist.\n\n\n### Nezavist Effect in Animal Models of Abstinence‐Induced Escalation of Alcohol Consumption\nThere is a rich literature on animal models for studying alcohol relapse [75, 76]. The described models provide both face validity and predictive validity for discovery of medications that can decrease drug relapse in humans. We have exploited two highly utilized animal (rat) models of relapse behaviour in AUD to assess our candidate drug, Nezavist. The first model is one described by Spanagel et al. [58] in which animals consuming alcohol for several months are deprived of their source of alcohol and after a period of days or weeks are again allowed to consume alcohol. In this model, with the reintroduction of alcohol, the animals exhibit ‘relapse‐like’ drinking (significantly increased consumption of alcohol), and the animals demonstrate an ‘incentive demand’ to consume alcohol [32, 33].\nThe second model of alcohol dependence and relapse in our studies utilized a procedure in which (1) animals are trained to respond for alcohol in an operant paradigm; (2) animals are then exposed intermittently to alcohol vapour to the point of showing dependence, i.e., alcohol withdrawal signs when alcohol exposure is terminated; and (3) after 10 h of withdrawal, animals are returned to the operant chamber to assess their responding for alcohol solution versus water [38, 39].\nIn the current studies, both models performed as expected. There was an escalated consumption of alcohol solution when the dependent rats were offered a choice between drinking alcohol or water after a prolonged period (months) of voluntarily consuming alcohol in a free‐choice paradigm followed by alcohol deprivation [32] (see Figure 1). Similarly, there was significantly greater responding on the alcohol delivery‐associated lever in the operant responding paradigm after withdrawal from dependence‐inducing chronic alcohol exposure [37, 38, 39] (see Figure 2). Each of these models has previously been extensively used to test medications already known to reduce craving in abstinent humans recovering from AUD (e.g., Acamprosate or naltrexone/nalmefene), providing evidence for predictive validity [57, 77, 78, 79]. When we administered Nezavist (20 mg/kg × 5, ip, over a 3‐day period) to ethanol‐deprived rats in the model described by Spanagel and colleagues [32, 33], we noted diminished total alcohol consumption and an increase in water consumption, which resulted in a significant decrease in ‘alcohol preference’ during the period of Nezavist administration.\nThe further conclusion that can be generated from results of the analysis of Nezavist effects on consumption of particular concentrations of alcohol is that Nezavist in low doses (20 mg/kg/dose) changed the preference of the alcohol‐dependent animals from a higher to a lower concentration of alcohol. Wistar‐derived rats, as those used in these studies, have been reported to have a preference for 10% solutions of alcohol (ethanol) when offered solutions of various concentrations [80]. The alcohol deprivation effect in the alcohol‐dependent rats demonstrates that, without drug treatment, the rats will consume the most alcohol by drinking the solution with the highest alcohol concentration (20%). The administration of the low dose of Nezavist appears to selectively lower the amount of alcohol ingested by drinking the high concentration of alcohol, but there appears to be a partial compensation by an increased consumption of the preferred 10% alcohol solution. The result is a modest reduction in overall (total) consumption of alcohol on the first day of abstinence and an overall increase in water consumption, but not total fluid consumption.\nOne can consider the dose of 20‐mg/kg Nezavist, given ip five times over a 3‐day period, as a minimum effective dose in this multi‐dose paradigm, and 75 mg/kg (also given ip five times over 3 days) as a maximum (possibly supramaximal) dose for reducing relapse‐like alcohol consumption. Although the animals receiving the 75‐mg/kg dose significantly decreased consumption of all concentrations of alcohol and increased water consumption, there was a decrease in locomotor activity measured during the first 3 days of the high dose Nezavist administration. On the other hand, the locomotor activity was similar on Days 4–7 between the Nezavist and vehicle‐treated rats, but the Nezavist‐treated rats consumed minimal or no alcohol and still maintained high levels of water consumption. No evidence of Nezavist accumulation in the circulation of rats treated with multiple doses of Nezavist was evident in our pharmacokinetic assessments. One conclusion that can be drawn from the effects of Nezavist on the abstinence‐induced alcohol consumption is that a low dose of Nezavist produces an aversion for higher concentrations of alcohol, while the high dose generates an aversion to alcohol across all the tested concentrations, and this aversion is long‐lasting and maintained beyond the presence of Nezavist or its major metabolite within the body.\nAcamprosate (calcium‐bis(N‐acetylhomotaurinate)) is one of the few pharmacotherapies approved for treating AUD (reducing propensity for relapse) in humans [81]. Although there is controversy regarding which component of acamprosate, the calcium or homotaurine, or the combination of both, is required for reducing relapse [82, 83], the calcium‐containing product, i.e., calcium‐bis(N‐acetylhomotaurinate), was used in our studies. Acamprosate was also previously tested in both of the models used in our work and produced a diminution in the relapse‐like alcohol consumption and operant responding for alcohol [57, 77]. We considered that acamprosate would be an appropriate comparator for Nezavist. The prior studies indicated that multiple doses of Acamprosate were more effective than a single dose [77] and thus we used multiple doses (5 × 200 mg/kg doses over a 3‐day period) of Acamprosate for comparison with multiple (5× 20 mg/kg) doses of Nezavist. The effects of Nezavist and Acamprosate were similar, with Nezavist (20 mg/kg/dose) reducing alcohol consumption by 16% during the first day of alcohol consumption after the deprivation period, and acamprosate (200 mg/kg/dose) producing a 21% reduction. Although more work is required, Nezavist may be superior, on a dose basis, to acamprosate.\nThe operant responding model, a negative reinforcement model of relapse [6, 7] allowed for a further characterization of Nezavist actions. In this paradigm, we established that a single dose of Nezavist, given ip, a short time (60 min) prior to testing for operant responding for alcohol by an alcohol‐dependent animal, after a period of alcohol withdrawal, could reduce alcohol dependence‐induced drinking (i.e., the significant increase in responding for alcohol). Nezavist produced a dose‐dependent reduction in responses for the alcohol solution. The 50‐mg/kg dose returned responding to baseline levels recorded prior to instituting the ‘deprivation’ period. In this model, we also ascertained that the initial and primary metabolite of Nezavist, DCUKA, when given ip at the same dose as Nezavist, produced no effect on the ‘relapse’ phase of responding for alcohol or water. When Nezavist was given orally a higher dose was necessary to significantly reduce the dependence‐induced increase in alcohol responding. In this case, there was a significant increase in responding for water that accompanied the decrease in responding for alcohol. The effect of a single dose of Nezavist (administered orally) abated within 4 h after administration of Nezavist to rats. The efficacy of Nezavist on responding for alcohol by animals not made dependent on alcohol was significantly lower than the effect in the alcohol‐dependent rats, suggesting that a neurobiological difference is present in the dependent/withdrawn versus non‐alcohol‐dependent rats.\n\n\n### Effect of Nezavist on Other Alcohol‐Related Behaviours\nAlcohol relapse in humans is driven by a number of factors. Stress is a major factor that drives relapse [84] and withdrawal or deprivation from alcohol in alcohol‐dependent humans or other animals elicit stress‐like states [85, 86]. Exaggerated responses to stress during abstinence can be exhibited as hyperkatifeia, such as mood disturbances, anxiety and irritability, that combine with learned expectations of subjective actions of a drug like alcohol to drive compulsive alcohol seeking [7].\nWe tested Nezavist effects in animal models of anxiety, sedation/incoordination and stress coping strategies to ascertain the possible role of effects on these activities that could be related to the actions of Nezavist on alcohol relapse behaviour. Nezavist showed no effect in models of anxiety‐like behaviours, and there was little or no effect on locomotion or incoordination caused by single doses of Nezavist well above those producing effects on relapse. However, a significant effect (reduced immobility) was noted on female rat behaviour in the forced swim test (Porsolt test). The Porsolt test [42] has been used extensively for ascertaining an animal's coping strategy to an acute stress [87]. It may seem that a drug that generates a signal in a test of an animal's coping strategy to an acute stress [87] would also produce some signal in tests of anxiolytic properties. However, it has been well demonstrated that particular agents can be distinguished in their actions by tests for anxiolytic effects (elevated plus maze, open‐field activity, etc.) or effects in the forced swim test [88, 89]. A recent review by Molendijk and deKloet [90] provided a summary of mechanistic and anatomical data relevant to the determinant of immobility time in the forced swim test. They emphasized the relationship of the behavioural response to glucocorticoid actions on ‘circuits processing salient information … and memory consolidation’, and activity of the medial prefrontal cortex and the periaqueductal grey (PAG) with modulation by the NTS. Given that the NTS is the relay station between the cholinergic input to the brain via the vagus nerve and the noradrenergic output to other brain areas such as the PAG and hippocampus (see below), the forced swim test may reflect Nezavist actions that involve the aforementioned brain areas and the immune system influence of the glucocorticoids.\nWe also tested the effects of Nezavist on the metabolism of alcohol (ethanol) in mice and the effect of Nezavist on the sedation and incoordination produced by alcohol. Circulating levels of alcohol in mice after a dose of 3.5 or 1.5 g/kg of alcohol were not affected by prior treatment with Nezavist (50 or 200 mg/kg ip), and there was no difference in the sedative/hypnotic (sleep time) or incoordinating effect of alcohol between animals pretreated with Nezavist or vehicle. These results indicate that the effects of Nezavist on alcohol consumption/relapse‐like behaviour are not due to alterations in alcohol metabolism or a change in alcohol's sedative or incoordinating effects.\n\n\n### Pharmacokinetic Studies of Nezavist and its Metabolite, DCUKA\nGiven the time course of the effect of a single dose of Nezavist on operant responding for alcohol in the alcohol‐dependent animals, we pursued pharmacokinetic studies to ascertain the relationship of blood and tissue (including brain) levels of Nezavist and the behavioural effects. Surprisingly, we found little or no Nezavist in peripheral blood or brain at any time after oral or ip administration of Nezavist at doses commensurate with those producing behavioural effects. Of the three biological entities that were tested, the one organ with notable Nezavist levels was the liver. These results indicate that Nezavist, absorbed through the intestine, is subject to extensive first‐pass metabolism by the liver, leaving little or no Nezavist to reach other organs. This interpretation is supported by the fact that the Nezavist metabolite, DCUKA, was evident in the circulation and was increased in a dose‐dependent manner with increasing doses of Nezavist. It should be noted that the absorption of drugs, such as Nezavist, after ip injection occurs by way of mesenteric arteries in the peritoneum and follows a path through the blood supply to the small intestine to the portal vein entering the liver [91]. Drugs injected ip are subject to first‐pass metabolism by the liver after they pass through the blood vessels of the intestine. Thus, both oral administration and ip injection of Nezavist would access the blood supply of the intestine prior to reaching the liver, albeit concentrations within the intestine may be different given the two routes of administration, due to absorption characteristics and metabolism in the intestine. Nezavist is metabolized to DCUKA by carboxylesterase (it is a preferred substrate for Carboxylesterase 1; data not shown). In the rat, Carboxylesterase 1 is expressed at high levels in blood and liver (the human differs from the rat by the fact that little Carboxylesterase 1 is found in blood). However, initial pharmacokinetic studies with humans indicate that little or no Nezavist is found in the peripheral circulation, but DCUKA is present, similar to what is found in the rat (data not shown). Thus, first‐pass metabolism in the liver may play an important part in determining the circulating levels of Nezavist in humans and rats. Given that little or no Nezavist is present in the circulation, it is not surprising that Nezavist is not found in the brain of rats given doses of Nezavist that are active in behavioural studies. Measurable levels of DCUKA are found in rat brain after administration of Nezavist, but the administration of DCUKA (50 mg/kg) per se produced no effect on dependence‐induced escalation of alcohol intake. The data on the essentially null circulating and brain levels of Nezavist led us to seek a location where Nezavist could be present outside the CNS and yet generate a behavioural response.\n\n\n### Nezavist Effects on Intestinal Motility and Vagal Nerve Firing\nThe stomach and intestines are highly innervated by the vagus nerve [92], which carries sensory information to the CNS (primarily to the NTS). Ample evidence has been presented that vagal input to the CNS can communicate information to the brain about the intestinal microbiome, nutritional factors (glucose, fatty acids and amino acids), distention of the intestine, hormones controlling hunger and satiety, inflammatory mediators, and so forth. Electrical stimulation of the vagus (ESV) has been shown to be effective in controlling epileptic seizures and improving drug‐resistant major depressive disorder and is approved in the USA by the FDA for treating these disorders [93]. More recently, ESV has been shown to have efficacy in treating addictive disorders [94, 95, 96]. The most effective application of ESV for long‐term treatment is through implanted electrodes and this surgery, and accompanying discomfort of the implant has limited the application of this therapy [97, 98]. A pharmacological approach to vagal stimulation could be beneficial.\nWe decided to test Nezavist actions on the activity of afferent vagal neurons in an in vitro preparation utilizing the small intestine of the mouse. However, given the fact that Nezavist has been characterized as a PAM at the GABAA receptor [2], we first tested Nezavist actions on physiological functions of the gut known to involve GABA. The enteric nervous system controls peristaltic activity of the small intestine [60]. Cholinergic activation of GABA interneurons generates the release of GABA onto GABAA receptor‐expressing cholinergic motor neurons that control intestinal tone and contraction. If Nezavist acts in the intestine, one would, thus, expect some effect of Nezavist on gut tone or contractility. Using in vitro preparations of mouse ileum and colon, we assessed the effects of Nezavist on gut contractile properties [43, 44]. Since isolated intestinal segments display spontaneous contractions, we expected that there would be endogenous release of GABA, and therefore, we did not add exogenous GABAA receptor agonists to perfusion fluids in our studies. It should be noted that GABA acts as an excitatory neurotransmitter in the gut [59], and Nezavist produced effects in the ileum preparation that would be expected from potentiation of GABA actions at the GABAA receptor in this preparation. There was little effect of Nezavist in the preparation of the colon. This can be explained by the distribution of GABAA receptors along the digestive tract, with a high concentration of these receptors in the upper GI tract and sparse expression in the colon [99].\nThe question remained as to whether Nezavist could generate afferent signalling in neurons of the vagus nerve not directly related to the GABA‐mediated effects on tone and force of contraction in segments of the upper GI tract. To examine this possibility, we used a preparation of the mouse jejunum but paralysed muscle contraction with nicardipine. Electrical activity of vagal neurons emanating from the segment of jejunum was measured by the well‐described methods of West et al. [45]. The results presented in Figure 10 clearly indicate that the addition of Nezavist to the perfusion fluid changes the firing properties of vagal neurons and particularly enhances the firing of a set of slowly discharging neurons. These particular neurons have long periods between action potentials under control conditions, and these neurons increased discharge rates in the presence of Nezavist. In our study, this pattern was also mimicked by cholecystokinin (CCK), but the Nezavist pattern was quite different from that produced by alcohol (ethanol) at concentrations expected in the intestine of humans after consumption of various forms of alcohol (beer, wine and distilled beverage) [64, 65] or by the Gram‐negative bacterial antigen LPS [45].\nIf Nezavist is acting as a PAM at GABAA receptors, then aside from the GABA involvement in gut muscle contraction, one wonders about the source of GABA and location of GABAA receptors instigating the changes in discharge properties of vagal afferent neurons. There is a modicum of evidence that afferent vagal neurons may express GABAA receptors (in nodose ganglion cell bodies [31, 100, 101]), and these receptor subunits may be transported to sensory terminals, but indirect mechanisms may also contribute to Nezavist actions. For instance, there is good evidence that GABAA receptors are located on enteroendocrine cells that synthesize and release CCK [29]. Activation of these GABAA receptors promotes the release of CCK, and CCK can interact with the CCK‐1 receptor on vagal sensory endings to change vagal neuron firing properties [66, 67]. As demonstrated (Figure 10), CCK produces a similar pattern of changes as Nezavist on vagal neuron firing. The other possibility is that Nezavist is acting within the enteric nervous system to generate signals that are then transmitted to vagal neurons [68]. As already mentioned, the enteric nervous system does express GABAA receptors and utilizes GABA as a transmitter. If there are GABA‐initiated signals that can be transmitted from the enteric nervous system to the vagus neurons [68], Nezavist can be potentiating this pathway. For example, a pathway involving sensory function of IPANs within the enteric nervous system has been identified using the GABA‐synthesizing \nLactobacillus rhamnosus\n [68, 102]. Also, IPANs express GABAA receptors whose activation by GABA evoked excitatory inward currents in IPANs due to the high intracellular Cl− ion concentration present within primary sensory neurons leading to a positive Cl− reversal potential [103]. Transmission of this sensory information to the vagus via a nicotinic (α7 subunit‐containing) cholinergic synapse has been described [68]. This pathway may well explain the observation that the effects of Nezavist on vagal neuron discharge can be blocked by the nicotinic cholinergic antagonist, mecamylamine (Figure 10).\n\n\n### Nezavist Effects on Neuronal Activity in Mouse NTS\nThe expectation then exists that the activation of a subset of afferent vagal neurons can be reflected by changes in the c‐Fos responses in target neurons in the NTS. During the last decade, it has become popular to invoke a link between inflammation, the intestine and the brain in the aetiology of AUD [12, 104, 105]. Chronic consumption of large quantities of alcohol produces dysbiosis in the intestine and increased permeability of the intestinal lumen [9, 106]. These events allow for the entry of bacterial products (e.g., LPS) that can activate the peripheral innate inflammatory system [9, 11], and cytokines released peripherally can alter brain function, contributing to the development of AUD. A rapid route for cytokine signalling to the brain is via the vagus nerve input into the NTS. We considered that the ip administration of the LPS could mimic the effect of chronic alcohol exposure on immune signalling to the brain, and that we could gain insights from assessing Nezavist actions on the effects of LPS.\nThe administration of Nezavist alone, to mice, did not produce any significant changes in c‐Fos expression in the NTS, but the administration of Nezavist with LPS significantly reduced the c‐Fos response to LPS, particularly in the caudal region of the NTS (Figure 11). This result suggested that the effect of Nezavist‐induced changes in vagal neuron firing rates in the isolated jejunum segments may be only visible in the brainstem nuclei under conditions when another stimulus (LPS or chronic alcohol?) is producing a significant enhancement of c‐Fos expression in the NTS. It is important to note that acute administration of alcohol to rats does produce an increase in c‐Fos expression in several brainstem regions including the NTS, and this increased c‐Fos expression is to a large extent localized to the catecholamine and NPY‐producing NTS neurons [107]. However, as we determined, the acute alcohol‐generated signals from the vagal afferents did not resemble the signal produced by Nezavist. This would lead one to believe that Nezavist is not a substitute for acute alcohol consumption. However, given the effect of chronic alcohol consumption on the intestinal microbiome [11, 104, 105], the vagal response to chronic alcohol exposure may be expected to differ from the acute response to alcohol\n\n\n### How Does Vagal Activation by Nezavist Reduce the Effect of LPS on NTS Neuron Activity?\nJin et al. [71] examined the targets of the vagal pathways responding to LPS in the NTS of mice and identified several clusters of cell bodies in the caudal regions of the NTS (cNTS) that respond to peripherally administered LPS. The responding neurons were identified as belonging to glutamatergic and GABAergic neuron types. The chemogenetic activation of the glutamatergic neurons produced a significant diminution in the LPS‐induced peripheral cytokine response (an NTS‐mediated cholinergic anti‐inflammatory reflex) [108, 109], while the chemogenetic activation of the GABA neurons in the cNTS produced no significant effect on the peripheral levels of cytokines measured after LPS administration. The identified glutamatergic clusters of the cNTS were also found to contain noradrenergic cell bodies expressing dopamine‐β‐hydroxylase (DBH), and selective activation of the DBH‐expressing neurons also resulted in suppression of the LPS‐induced increase in proinflammatory cytokines in blood and an increase in IL‐10 (anti‐inflammatory cytokine) levels. Correspondingly, the ablation of the cNTS noradrenergic neurons resulted in an enhancement of the LPS‐generated increase in proinflammatory cytokines in the periphery and diminution of IL‐10 levels [71]. Chen et al. [110] also clearly identified noradrenergic neurons with cell bodies in the cNTS, and in their studies, chemogenetic activation of DBH‐containing neurons in the cNTS showed inhibition of feeding behaviour in fasted mice (another facet of NTS noradrenergic neuron function). On the other hand, chemogenetic inhibition of the noradrenergic neurons in the cNTS resulted in a block of the noradrenergic neuron action on feeding behaviour. The studies of Chen et al. [110] and Jin et al. [71] demonstrate that the noradrenergic neurons of the cNTS are not singular in their function and various subsets of these neurons may relate to different measured outcomes. Projections of the cNTS noradrenergic neurons reach the hypothalamus, the central nucleus of the amygdala (CeA), the bed nucleus of the stria terminalis, the locus coeruleus and so forth [111]. Thus, the noradrenergic neurons of the NTS may not only differ in their anatomical targets but also the effect of their input to the targeted areas may well depend on whether these noradrenergic neurons are activated or inhibited within the NTS.\nThe work of Jin et al. [71] further discerned that the vagal response to LPS was not a result of direct stimulation of the vagal neurons by LPS but was dependent on LPS‐mediated release of cytokines from the immune cells of the small intestine. It was also found that proinflammatory and anti‐inflammatory (IL‐10) cytokines each activated a different, small, subset of non‐overlapping vagal neurons. The cytokine‐activated vagal neurons made monosynaptic connections with DBH‐expressing neurons in the cNTS. The cytokine‐specific responses of particular vagal neurons have also been examined by others [112] and their findings indicate that the vagal neurons responding to a particular cytokine can be distinguished not only by their biochemical characteristics (e.g., the type of expressed receptors, enzymes and transporters [71]) but also by their firing patterns. In this regard, our results do indicate that the Nezavist‐sensitive vagal fibres display a distinguishable firing pattern [45].\nAs noted, GABAergic neurons are also present in clusters throughout the NTS and a significant number of the GABA neurons receive monosynaptic input from vagal afferents [113, 114]. The major vagal input to the GABA neurons in the NTS is from the intestines, and GABA neurons in the NTS are primarily interneurons [114], with a small number projecting to other brain areas [115, 116]. Acting as interneurons in the NTS, the GABA neurons have been shown to synapse with noradrenergic neurons of the cNTS (A2 noradrenergic cell‐containing nucleus) [117] and inhibit cNTS neuron function after their activation by vagal input.\nOne of the key observations resulting from our studies with Nezavist was that Nezavist activated a subset of afferent vagal neurons in the intestine, and the c‐Fos expression elicited by LPS in the NTS was diminished—not potentiated—by Nezavist. The afferent vagal input to the NTS can synapse with a particular set of GABAergic interneurons, which in turn inhibit a larger population of non‐GABAergic neurons in the NTS [114]. In our analysis, it was neurons in the caudal NTS that showed the diminished c‐Fos response to LPS when Nezavist was administered. The work of Thek et al. [114] provides evidence that the GABAergic interneurons generating inhibitory effects in the NTS may also contain somatostatin and they suggest that there may be a small number of such neurons, but they affect a large number of downstream cells. The visualization of Nezavist's effect on c‐Fos may be contingent on activation of these particular GABA interneurons by Nezavist treatment. Given the work of Jin et al. [71], a logical candidate neuron in the pool of NTS neurons activated by LPS, and susceptible to the inhibitory effect of Nezavist via a GABA interneuron, is the DBH‐containing neuron. A reason for the lack of effect of chemogenetic activation of GABA neurons in the NTS on immune responses in the work of Jin et al. [71] may have been the location of the GABA neuron clusters activated in their studies. Their work concentrated on the anatomically defined caudal NTS, and the GABA neuron clusters of interest could occur more anterior to the region that they examined [114]. It is evident from the work of Jin et al. [71] and others [118, 119] that lesioning or chemogenetically inhibiting the DBH‐containing neurons in the caudal NTS exacerbates the peripheral immunological response to LPS and modifies other responses (e.g., CCK‐induced anorexia). It has already been mentioned that NE neurons emanating from the cNTS are widely distributed throughout the CNS and participate in or affect not only the cholinergic anti‐inflammatory circuit [71] and response to peripheral hormones controlling appetite [110, 120] but also modulate the responses to stressful stimuli and participate in control of emotional and cognitive processing [118]. Therefore, Nezavist effects on ‘relapse‐like’ alcohol consumption that we have demonstrated can originate in the gut, be transmitted to the CNS by the afferent vagal system, activate inhibitory GABA neurons in the NTS and diminish the function of noradrenergic neurons emanating from the NTS region in the brainstem. Which particular noradrenergic projection is most important for the effect of Nezavist on alcohol consumption is yet to be determined, but our studies of the Nezavist effect on immune signalling within the brain and in the periphery do provide some evidence related to the sites of action of Nezavist.\n\n\n### How Does Vagal Activation by Nezavist Affect the Peripheral and Central Cytokine Response?\nOur results with measures of peripheral cytokine levels after LPS administration, and the effects of LPS in conjunction with Nezavist administration, demonstrate a phenomenon that mirrors the findings of Jin et al. [71]. In their study, LPS was administered to mice after lesioning the DBH‐containing (noradrenergic) neurons in the cNTS. The lesioned animals responded more avidly to LPS, with further increases in peripheral inflammatory cytokines and a reduction in the anti‐inflammatory cytokine IL‐10. Our results with Nezavist were similar, except for an increase not only in inflammatory cytokines but also an increase in IL‐10 in mice treated with LPS and Nezavist, compared to LPS alone. This difference may be due to the experimental paradigm, since in our studies, LPS was administered for 4 days, while the studies of Jin et al. [90] used a single LPS injection. We chose to examine the effects of Nezavist on LPS‐generated immune responses (cytokine levels) in a paradigm in which LPS was given daily over several days to somewhat mimic daily intake of high amounts of alcohol which would, in a repetitive manner, disrupt the integrity of the intestinal barrier to the products of the microbiome [9, 121]. The literature indicates that, compared to a single injection of LPS, three injections produce a more profound response of serum IL‐1β, IL‐6, TNFα and IL‐10 [122].\nThe profile of changes in cytokine levels produced by LPS and Nezavist was quite different in the CNS (hippocampus), compared to circulating levels of cytokines. In our study, the levels of IL‐6 and TNFα in the hippocampus were significantly increased by LPS, but no substantial additional changes occurred with Nezavist. On the other hand, administering Nezavist with LPS significantly diminished the LPS‐induced increase in IL‐1β levels in the hippocampus. In the hippocampus, as in certain other brain areas [123, 124], there are two sources of IL‐1β. One source is the immune cells (infiltrating macrophages/monocytes and microglia), and the other source is neurons that synthesize and release IL‐1β [125]. A pathway has been defined from the NTS to the hippocampus that consists of glutamatergic projections from the NTS to the Nucleus Paragigantocelluaris, followed by glutamatergic projections to the locus coeruleus, followed by noradrenergic projections to the hippocampus [126, 127]. In addition to inhibiting the activity of NE neurons in the NTS, the inhibitory GABA/somatostatin interneurons in the NTS may also affect the glutamatergic output from the NTS [114]. The downstream noradrenergic input to the hippocampus is essential for facilitating attention, cognition and behavioural changes in response to the environment [128, 129]. A significant amount of literature has linked neuronal IL‐1β actions in the hippocampus to both neuroprotective and neurodegenerative processes. Low levels of IL‐1β provide for neuronal recovery from injury and have a role resembling that of a neuromodulator [130], while high levels have been implicated in pathological processes including epilepsy, depression, memory dysfunction (Alzheimer's Disease) and Parkinsonism [131]. Although it is difficult to find reference to a direct relationship between noradrenergic neuron function in the hippocampus and IL‐1β synthesis or release from hippocampal neurons, such evidence has been gathered from other brain areas. Noradrenergic neurons from the A2 region of the NTS project to the paraventricular nucleus (PVN) of the hypothalamus and activate both oxytocin and CRF‐containing neurons. Such activation leads to the release of these hormones [120]. The noradrenergic input to the paraventricular hypothalamus also increases IL‐1β synthesis and release from the hypothalamic neurons [132]. It is notable that circulating CRF levels which we measured were diminished by treatment with LPS and further decreased by the combination of LPS and Nezavist, indicating a possible inhibition of NTS noradrenergic input to the PVN.\n\n\n### Nezavist and the Role of Vagal Activity, the NTS Noradrenergic System and Cytokines in AUD\nA noradrenergic pathway also projects from the NTS to the ‘extended amygdala’ (bed nucleus of the stria terminalis, shell of the nucleus accumbens and central nucleus of the amygdala [CeA]). The noradrenergic input to the amygdala mediates local CRF signalling in the amygdala [133] and mediates behavioural responses to environmental and internal stressors [133]. The noradrenergic pathway from NTS to amygdala, together with increased CRF release in the amygdala, has been shown to be a critical component of CeA changes occurring during induction of alcohol dependence, the increased anxiety that occurs on withdrawal from alcohol, opiates and cocaine in drug‐dependent animals, and the enhanced preference for the drug on which the animal is dependent [134, 135]. Work with control and alcohol‐dependent macaques has assessed neuroadaptation, related to IL‐1β, in the CeA [121]. These studies found that animals who had been treated, long‐term, with alcohol, and were currently abstinent, were less sensitive to IL‐1β effects than control (non‐drinking) macaques when GABA release in the CeA was measured [121]. Studies on the interactions of IL‐1β with alcohol's effects on CeA GABAergic transmission in mice further showed that IL‐1β is involved in basal CeA GABAergic transmission [136]. In all, the IL‐1β signalling system in the brain has taken on a role as an important modulator of alcohol drinking, development of alcohol dependence and alcohol‐induced neuroimmune responses [137, 138, 139]. In addition, genetic studies in humans have identified an association between a functional polymorphism in the IL‐1β protein‐generating gene, and the IL‐1β receptor gene, with risk for AUD [140]. Particularly, the presence of a SNP (rs16944) in the sequence of the human IL‐1β gene increases the synthesis and release of the mature IL‐1β protein [141].\nThe literature referenced above links afferent vagal activity to modulation of noradrenergic neurons of the NTS and/or pathways from the NTS that activate noradrenergic neurons of the locus coeruleus and describes the results of inhibiting or ablating these noradrenergic projections from the brainstem to areas of the hypothalamus, amygdala and hippocampus. This information provides a mechanistic and contextual framework for explaining the effects of Nezavist to reduce alcohol dependence‐induced increases in alcohol consumption, as well as the stress coping [90, 142] actions of Nezavist as evidenced with female rats using the Porsolt test (Figure 5). Particularly important for consideration may be the participation of NTS noradrenergic activity in the cholinergic anti‐inflammatory reflex for suppressing peripheral inflammatory cytokine responses and noradrenergic (direct or indirect) projections that modulate (enhance) the production and release of IL‐1β in a number of brain areas [143]. The crux of our explanation of Nezavist pharmacology rests on Nezavist action in the upper intestinal tract leading to the activation of a subset of afferent vagal fibres that project to the NTS to engage local GABAergic networks and produce inhibition of the c‐Fos response to LPS, or the response to other inflammatory mediators acting on the afferent vagal projections to the cNTS. From the work of Jin et al. [71] and others [110], we hypothesize that the neurons whose c‐Fos response is diminished by Nezavist are the noradrenergic neurons (A2) of the caudal NTS regions and/or glutamatergic neurons projecting to the Nucleus Paragigantocellularis (PGi). In fact, the local injection of muscimol into the NTS was demonstrated to inhibit the activity of this NTS‐to‐PGi connection [127].\nTo reiterate the possible similarities of LPS action with alcohol action, one can emphasize that peripheral LPS administration to mice has been shown to produce a prolonged increase in voluntary alcohol intake and alter the electrophysiological characteristics related to alcohol reward versus aversion [138]. Gorky and Schwaber [9] have presented a summary on how gut dysbiosis generated by high levels of alcohol intake and withdrawal from alcohol consumption could engage vagal signalling. They have surmised that inflammatory events in the amygdala contribute directly to withdrawal behaviour and other signs of alcohol dependence. Although Nezavist, on its own, can activate a subset of vagal neurons, ostensibly by acting as a PAM of GABAA receptors in the intestine, this stimulus does not translate into any evident c‐Fos response in the NTS. It is only in conjunction with an inflammatory signal (LPS in our studies) that the dampening effect of Nezavist occurs. If the sequelae to abstinence from alcohol, in alcohol‐dependent individuals, resemble LPS‐induced events in the NTS, then Nezavist would counter these events. The countering of inflammatory events in the CNS (i.e., suppression of IL‐1β production) can have a beneficial effect in both reducing withdrawal‐induced relapse to high levels of alcohol consumption, and in reducing neuronal damage caused by extended exposure to high levels of cytokines. As noted, high levels of IL‐1β in the CNS have been shown to negatively affect memory, responses to stressful stimuli, feeding behaviour, ‘sickness behaviour’ and so forth [130, 131]. Although there are some obvious beneficial effects of Nezavist in instances needing control of alcohol relapse behaviour, and certain aspects of neuroinflammation, there is also an obvious caveat to Nezavist use in the presence of peripheral inflammation. Although Nezavist does not produce any effect on circulating cytokine levels in non‐inflammatory conditions, it can potentiate the peripheral immune response arising from the presence of an antigenic molecule such as LPS. This phenomenon can be explained by Nezavist's interference with the function of the vagally mediated anti‐inflammatory reflex [144, 145]. It is, however, evident from our data that interference with the anti‐inflammatory reflex may be abrogated by lowering the dose of Nezavist, while the CNS anti‐inflammatory action of Nezavist may be maintained at a lower dose. Such dose–response studies, and a number of other studies substantiating relationships proposed herein to explain Nezavist actions are clearly needed. By presenting some of the results on the actions of Nezavist in this manuscript, we hope to raise the interest of other investigators (beyond ourselves) for investigating the pharmacology of Nezavist.\n\n\n### Summary and Speculation\nIn summary, we have designed and synthesized a new chemical entity (NCE), which has been characterized as a PAM at a novel site of the GABAA receptors [2]. We refer to this NCE as Nezavist. Nezavist was demonstrated, in the current work, to reduce/eliminate relapse‐like increases in alcohol consumption/responding in animals made physically dependent on alcohol and tested during withdrawal. Nezavist was also shown to display actions indicative of effects on the phenomenon described as a ‘stress coping strategy’ [87, 90, 142] in female rats in the Porsolt test.\nWhat was surprising was that the behavioural actions of Nezavist were evident in the absence of meaningful levels of Nezavist in the circulation or brain. This conundrum was resolved by demonstrating that Nezavist could activate a subset of afferent (sensory) vagal neurons innervating the upper intestinal tract. In live animals, Nezavist per se did not produce a measurable c‐Fos response in the brainstem NTS, which would indicate a vagal gut/brain signal initiated by administration of Nezavist. However, when the animal was challenged with LPS to activate a strong immune response, which involves a significant increase in vagal signalling to the NTS and increases in NTS c‐Fos expression, Nezavist was shown to significantly dampen this response. Following the burgeoning literature on the involvement of the immune system in AUD we assessed cytokine levels in the brain and in the peripheral circulation of animals treated with LPS or LPS plus Nezavist. The levels of the five cytokines measured in the brain (hippocampus) were significantly (except for IL‐18) elevated by LPS. The administration of Nezavist had a selective effect on the cytokines increased by LPS, i.e., Nezavist selectively lowered the LPS‐induced increase in hippocampal IL‐1β. On the other hand, in the periphery, Nezavist potentiated the stimulatory effect of LPS on circulating cytokines.\nIn Section 4, we propose how all of the measured actions of Nezavist on immune system signalling can be reconciled by postulating that Nezavist activates particular vagal afferent neurons, which then activate a sparse number of GABAergic neurons in the NTS (possibly those that also express somatostatin). These interneurons inhibit a large number of noradrenergic and/or glutamatergic neurons that are second order, output neurons from the NTS. Such a mechanism can account for both the CNS and peripheral effects of Nezavist on LPS‐generated increases in cytokine levels. In the CNS (hippocampus), the effects of Nezavist were confined to IL‐1β. Overexpression of IL‐1β in a number of brain areas has been linked to neurodegenerative disorders [131] and more recently to the effects of chronic intermittent alcohol administration in mice [146]. The alcohol administration paradigm in the studies of Patel et al. [146] resembles the paradigms used in our current work on ‘relapse’ with rats. The effect of LPS that we witnessed in the hippocampus also resembles the increases in IL‐1β produced by chronic alcohol administration, which were found in studies of the central amygdala and the medial prefrontal cortex of alcohol‐treated mice [146, 147]. The changes in levels of IL‐1β expression in the alcohol‐treated mice in those studies were noted in both microglia and neurons [136], and data were presented that the chronic alcohol treatment generated a ‘switch’ in the function of IL‐1β enhancing a proinflammatory phenotype [147]. Zou and Crews [148] had earlier demonstrated that alcohol induces IL‐1β overexpression in the hippocampus, which was linked to the suppression of neurogenesis in this brain area. The amalgam of the studies described above indicates that the induction of IL‐1β by alcohol may be a more general phenomenon throughout the brain, and a reduction in IL‐1β levels by Nezavist may be neuroprotective and ameliorative in the treatment of AUD.\nAre the neuroinflammatory changes and particularly the increases in IL‐1β in various areas of the brain that are produced by chronic administration of alcohol, or by LPS administration, associated with alcohol craving and relapse, including the observation of increased alcohol consumption during withdrawal in an alcohol‐dependent subject? In addition to evidence presented in Section 4 [137, 138], Marshall et al. [149], in an attempt to clarify the LPS effect on alcohol drinking by mice, focused on IL‐1β as a possible mediator of the LPS effects. Their studies showed that chronic alcohol consumption induced an increase in IL‐1β levels in the amygdala, commensurate with increases in alcohol intake over successive sessions of alcohol exposure. They further showed a decrease in alcohol consumption upon bilateral amygdala injection of the IL‐1β receptor antagonist, IL‐1βRa.\nIn all, there are a number of parallels that can be drawn between the actions of LPS and particular cytokines in the CNS during chronic alcohol consumption and on escalation of alcohol intake and relapse after a period of abstinence. Thus, our results showing Nezavist reduction of LPS‐induced elevation of IL‐1β levels in the brain may have a mechanistic relevance to Nezavist‐induced decreases in alcohol consumption in the models of ‘relapse’ in alcohol‐dependent rats.\nThe major caveat in terms of the use of Nezavist in AUD treatment emanating from our work is the finding of the potentiation, by Nezavist, of the peripheral response to administration of LPS. The increases in the levels of cytokines in the periphery over those produced by LPS alone could be expected to contribute to peripheral organ damage even though it is hard to predict whether potentiation of a lower immune challenge in the periphery (e.g., by ethanol, compared to the ip injection of LPS) would be damaging or beneficial [150]. Nezavist, in our studies, showed no effect on cytokine levels in the absence of the LPS administration. The critical question that remains is: do the Nezavist effects translate to the treatment of AUD in humans?\n\n\n### Author Contributions\nBoris Tabakoff and Paula L. Hoffman: conception and experimental design. Boris Tabakoff: manuscript writing. Boris Tabakoff and Paula L. Hoffman: manuscript editing. Rainer Spanagel and Valentina Vengeliene: studies and reports: alcohol deprivation effect. Leandro F. Vendruscolo, Giordano de Guglielmo and Olivier George: operant alcohol responding. Amanda J. Roberts: other behaviours. Jerome D. Swinny and Ruolin Ma: intestinal contractility. Wolfgang Kunze and Karen‐Anne McVey Neufeld: vagal activity. Christina L. Lebonville and Howard C. Becker: NTS activation. Laura M. Saba: supplemental statistical analysis. Alexandra Dunbar:\n report and figure editing.\n\n\n### Funding\nThese studies were supported by the NIH (U44AA024905 [BT,PLH]; R44AA024905 [BT,PLH]; P50AA010761[HCB]; U54DA016511 [CLL]; U01AA014095 [HCB]; R01AA026536 [HCB]; P60AA006420 [OG, AJR]; R01AA022977[OG]; NIH Intramural Research Funding Z1A‐DA000644 [LFV]; Discovery Grant from Natural Sciences and Engineering Research Council of Canada (NSERC) [WK]).\n\n\n### Ethics Statement\nAnimal Welfare: These studies followed national, international and/or institutional guidelines for humane animal treatment and complied with relevant legislation as indicated in Section 2 for the various studies.\n\n\n### Conflicts of Interest\nB.T. is the Founder and ceO of Lohocla Research Corporation; P.L.H. is the Vice President for Research of Lohocla Research Corporation. R.S. is Editor in Chief of Addiction Biology. Other authors declare no conflicts of interest.\n\n\n### Supporting information\nTable S1: Differences in alcohol consumption between animals treated with Nezavist (20 mg/kg doses) and vehicle at different alcohol concentrations.\nFigure S1: Locomotor activity following 75‐mg/kg Nezavist in alcohol deprivation model.\nFigure S2: Examples of immunofluorescent labelling of Iba1, CD68 and GFAP in animals of Groups A, B, C and D. Images show representative labelling with Iba1 in white, CD68 in red and GFAP in orange on sagittal sections; nuclei are labelled with DAPI and are shown in blue. Single‐channel magnifications show labelling in the hippocampus; images were taken at the position indicated by the rectangle. Note the arrows in the Iba1 channel pointing at the activated microglia.", "domain": "affective_neuroscience"}
{"source": "PMC13090403", "title": "The serotonin transporter and the serotonin 1B receptor in relation to social cognition in healthy adults", "text": "# The serotonin transporter and the serotonin 1B receptor in relation to social cognition in healthy adults\n\n## Abstract\nSocial cognition is impaired across multiple psychiatric disorders and varies dimensionally in the general population. Studying healthy adults can therefore inform mechanisms relevant for social cognition. This study aimed to extend prior findings of associations between social cognition and serotonin transporter (5-HTT) within autistic and non-autistic controls to healthy adults, and to examine serotonin 1B (5-HT1B) receptor binding. Thirty-one healthy adults (15 males, 16 females) underwent PET imaging with [¹¹C]MADAM to quantify 5-HTT binding. In the replication cohort (n = 17), MASC performance correlated positively with putaminal 5-HTT binding (ρ = 0.61, p = 0.011, BFR = 15.2) and negatively with brainstem binding (ρ = −0.64, p = 0.008, BFR = 6.1). A similar positive association with putaminal 5-HTT binding was observed in the pooled sample (n = 31, ρ = 0.53, p = 0.003). However, no correlations survived correction for multiple comparisons. In a separate sample of 32 healthy adults (13 males, 20 females) examined with [¹¹C]AZ10419369 to assess 5-HT1B receptor binding, no significant associations with measures of social cognition or central coherence were found. Results conceptually replicate an association between putaminal 5-HTT binding and social cognition in healthy adults, supporting a role of 5-HTT—but not 5-HT1B—in social cognitive processes.\n\n## Full Text\n\n\n### Background\nAs human beings, social cognition has played a pivotal role in the evolution of our species [1, 2]. Social cognition refers to a complex set of mental abilities underlying social stimulus perception, processing, interpretation, and response [3], and is an important determinant of mental health [4, 5] and emotional problems [6, 7]. Given the involvement of social cognition across multiple psychiatric conditions [8–16] and its normal distribution in the general population [17, 18], employing a dimensional approach promises a deeper understanding of social cognition’s role in psychiatric conditions. Being one of the constructs within The Research Domain Criteria (R-DoC) framework [19], studying social cognition might facilitate the identification of biomarkers associated with this trait and thereby enhancing the development of more precise diagnostic tools and treatments.\nA central aspect of social cognition is Theory of Mind (ToM): the cognitive capacity to attribute mental states—such as beliefs, intentions, desires, emotions, and knowledge—to oneself and others, and to understand that these mental states may differ between individuals. While deficits in ToM long has been established as core feature in individuals with autism and their relatives [20, 21], poorer performance in ToM tests has also been observed in persons with schizophrenia and their siblings [9, 11], in those with bipolar disorder and their first-degree relatives [22, 23], and in subjects with depression - even during remission [24, 25]. Consequently, variations in social cognition are evident not only within specific psychiatric conditions, but also within healthy relatives and the general population, underscoring the relevance to study biomarkers for social cognition within a sample of healthy subjects.\nIn a study published by our group, we employed the molecular imaging technique positron emission tomography (PET) with the radioligand [11C]MADAM to quantify serotonin transporter (5-HTT) binding in vivo. This investigation revealed significantly lower 5-HTT binding in 15 participants with autism diagnosis compared to 15 controls, with reductions of 14.6% in total gray matter and similar decreases observed across cortical regions, subcortical areas, and in the brain stem [12]. Beyond these group differences, we identified meaningful correlations between 5-HTT binding and social cognition performance across the combined sample of individuals with and without autism. Specifically, 5-HTT availability correlated positively to performance on the Reading the Mind in the Eyes Test (RMET) in total gray matter, brain stem and 7 of 18 subregions, including nucleus accumbens. In addition, performance on Movie for Assessment of Social Cognition (MASC) and Faux Pas also correlated to 5-HTT availability in nucleus accumbens and putamen, whereas Faux Pas performance also correlated positively with anterior cingulate cortex 5-HTT binding. However, only the correlation between RMET and 5-HTT availability in anterior cingulate cortex survived correction for multiple comparisons. Importantly, these correlation patterns were also observed when analysing the non-autistic control participants independently.\nThese findings align with another PET study that reported positive correlations between Faux Pas performance and 5-HTT availability within several parts of the cingulate cortex in autistic participants [26], suggesting consistent involvement of the serotonin system in social cognitive processes across different populations.\nIn addition, previous research has demonstrated that healthy participants demonstrated enhanced facial expression recognition and faster response times following acute administration of selective serotonin reuptake inhibitors (SSRIs, which block 5-HTT) [27], while tryptophan depletion—which reduces serotonin levels—led participants to perceive social relationships as less intimate [28]. Moreover, involvement of the central serotonin system has been implicated in several of the above-mentioned psychiatric disorders, including autism [12, 29], schizophrenia [30], depression [31–33], ADHD [34], but also in borderline personality disorder [35], anorexia nervosa [36], and OCD [37]. Altogether, these findings indicate that serotonin is relevant for social cognition, even beyond the traditional diagnostic boundaries.\nSimilar to the observed correlations between 5-HTT availability and social cognition in our mixed sample of autistic and non-autistic participants, we identified correlations with central coherence - both an autistic trait and a transdiagnostic endophenotype characterized by detail-focused processing, rather than the whole picture (weak central coherence). In our previous study, we observed two correlations [12], which did not survive correction for multiple comparisons: performance on the Embedded Figures Test correlated with 5-HTT availability in nucleus accumbens and insula, while no correlations were found for the Fragmented Pictures Test.\nWeak central coherence, like social cognition impairments, are well-documented in individuals with autism and their relatives [38, 39]. However, altered central coherence extends beyond the autism spectrum, manifesting in obsessive compulsive disorder (OCD) [40], in individuals with borderline traits [14], and eating disorders, including among their unaffected family members [41]. Importantly, central coherence varies continuously within the general population [17, 42], supporting its conceptualization as a dimensional trait, rather than a categorical deficit within the autistic population. Given our exploratory finding suggesting a possible relationship between central coherence and 5-HTT in a mixed clinical sample, confirmation of this association within a sample of solely healthy subjects represents a critical next step in establishing the generalizability of this neurobiological mechanism within the general population.\nAims.\nBuilding upon our previous explorative finding, where higher 5-HTT binding correlated with enhanced performance on tests for social cognition and central coherence across both autistic and healthy adults [12], the first aim was to replicate this within a sample of solely healthy volunteers. Given that both social cognition and central coherence exhibit a normal distribution in the general population [17], we hypothesize that higher 5-HTT binding would predict superior performance in tests for both social cognition and central coherence.\nTo further investigate the serotonergic bases of these endophenotypes, we extended our research to examine a specific serotonin receptor subtype. 5-HT exerts its diverse effects through 14 receptor subtypes [43], with extracellular 5-HT being transported back into neurons by the 5-HTT. 5-HTT serves as a global marker of serotonergic function, and selective serotonin reuptake inhibitors (SSRI), targeting 5-HTT, do not significantly affect social cognition or central coherence [44], suggesting that specific receptor subtypes may be more directly involved in these processes. Given the limited availability of radioligands for human neuroimaging of the serotonin system, we focussed our investigation on the 5-HT1B receptor. This receptor subtype represents a particularly relevant target for several reasons. First, both 5-HTT and 5-HT1B serve as regulators of serotonin concentrations in the synapse [45], positioning them as key candidates for testing whether the serotonin hypothesis of autism can be extended to social cognitive processes. Second, 5-HT1B receptors are highly expressed in cortical regions implicated in social cognition and central coherence, making them mechanistically plausible mediators for these functions. To our knowledge, this represents the first study investigating a potential relationship between 5-HT1B and social cognition or central coherence in humans. Based on previous findings demonstrating correlations between 5- HT1B and 5-HTT availability within the cortical regions [46], we hypothesized that higher 5-HT1B binding would correlate to superior performance on measures of social cognition and central coherence, particularly in cortical regions.\n\n\n### Methods\nAll participants were enrolled as control subjects in four independent PET studies between 2013 and 2017 [12, 46–48]. A total of 47 control subjects were pooled, of which 17 participants were investigated with both radioligands. For analysis of 5-HTT binding, 31 participants were included, comprising 15 control participants from study [12] and 17 from study [46]. For analysis of 5-HT1B receptor binding, 33 participants were included, comprising the same 17 controls from study [46], 4 controls from study [47] and 12 controls from study [48]. Given the resource-intensive nature of PET studies, it is standard practice to compile such a database and administer a consistent test battery. All studies were approved by the Regional Ethical Review Board in Stockholm and by the Radiation safety committee of the Karolinska University Hospital. All participants provided written informed consent.\nAll participants underwent a comprehensive assessment to ensure their eligibility. This included a clinical interview using the Mini International Neuropsychiatric Interview (M.I.N.I.), a physical examination conducted by a medical doctor, and negative results in urine toxicology screenings before the PET examinations. Exclusion criteria encompassed a medical history of substance abuse, chronic psychiatric disorders, previous head trauma, brain pathology detected via magnetic resonance imaging (MRI), significant medical conditions, and pregnancy. The recruitment and examination of participants were conducted by members of the PET research group at Karolinska Institutet, Stockholm, Sweden.\nThe study assessed the dimensional aspect of social cognition through various social-cognitive tests. Behavioural testing was scheduled to coincide with the PET examination on the same day; however, in a small number of participants from diffferent studies, assessments were conducted a few days after PET due to logistical constraints. These assessments included the Movie for Assessment of Social Cognition (MASC [49]), Reading the Mind in the Eyes Test (RMET [50]) and Faux Pas [51]. The MASC test involves a 15 min video portraying four characters at a dinner party. It aims to assess ToM by posing questions related to the thoughts, beliefs and intentions of the characters. The RMET task requires participants to discern the appropriate emotion expressed by each eye pair from four alternatives. Faux Pas assesses ToM through inquiries about social situations and unintentional social rule violations. For the assessment of central coherence, two visual tasks, one focusing on global perception and the other on local details, were employed. The Fragmented Pictures Test (PFT [52], , required participants to identify progressively revealed drawings of common objects with as little information as possible. The Embedded Figures Test (EFT [53], , tasks participants with detecting simpler shapes embedded within larger and more complex pictures.\nMagnetic resonance imaging (MRI; 3T, GE Healthcare) was conducted for exclusion of brain anomalies and for delineation of brain regions. For each participant, the MR image was co-registered to a summated PET image as previously described using Statistical parametric mapping (SPM12; Wellcome Department of Cognitive Neurology, University College, London, U.K).\nDuring PET examinations, subjects were positioned recumbent with their heads inside the PET system and wore a plastic helmet to minimize head movement. Radioligands [11C]MADAM and [11C]AZ10419369 were synthesized as previously reported [54, 55].\n14 control subjects from the original study underwent examination of 5-HTT binding using [11C]MADAM and the High Resolution (HR) ECAT PET system (Siemens, Knoxville, TN), while the additional 17 subjects were examined with the High Resolution Research Tomograph (HRRT) ECAT PET system (Siemens Molecular Imaging). The acquisition time for all examinations was 93 min. The PET data from the 14 subjects investigated with the HR system were divided into 31 time frames (4 × 15 s, 4 × 30 s, 6 × 60 s, 6 × 180 s, and 11 × 360 s), reconstructed using filtered back projection, and corrected for head motion using a frame-to-first-frame approach. For the 17 subjects investigated with the HRRT PET system, the PET data was divided into 38 frames (9 × 10 s, 2 × 15 s, 3 × 20 s, 4 × 30 s, 4 × 60 s, 4 × 180 s, and 12 × 360 s). Dynamic PET images were corrected for head motion using a between frame-correction algorithm implemented in SPM12 (Wellcome Department of Cognitive Neurology, University College, London, UK). Injected radioactivity and molar (specific) activity were within previously reported ranges for these datasets. Injected activity was typically ~ 370–410 MBq, with molar activity in the range of approximately 230–240 GBq/µmol at the time of injection [12, 46].\nFor delineation of brain regions in the 5-HTT sample, Freesurfer (versions 5.0 and 6.0 [56]) was employed, and brain region anatomy was defined using the cortical atlas of Desikan-Killany [57]. 5-HTT binding potential (BPND) was quantified using the simplified reference tissue model (SRTM [58]), with the cerebellar gray matter serving as the reference region [59, 60]. For the replication sample, this differs from the quantification methods previously reported [46]. Regions of interest (ROIs) were selected based on where correlations between social cognition and 5-HTT were found in our original study, and included gray matter, putamen, brain stem, frontal cortex, anterior cingulate cortex, posterior cingulate cortex, insula, amygdala, and nucleus accumbens.\n33 subjects underwent examination of 5-HT1B receptor binding using the radioligand [11C]AZ10419369 and the HRRT PET system. Data from the first 63 min were used for quantification to enable data pooling, to ensure consistent frame definitions across all data. Injected radioactivity and molar (specific) activity were consistent with previously published values. Injected activity was typically ~ 380–414 MBq, with molar activity in the range of approximately 265–330 GBq/µmol at the time of injection [46–48]. Brain regions were automatically defined using Freesurfer (version 6.0 [56]), except for the dorsal brainstem (DBS), which was defined based on [11C]AZ10419369 PET template data [61, 62], and gray matter defined by SPM segmentation. The cerebellum, with negligible 5-HT1B receptor density [63], served as the reference region for both BPND quantification using SRTM and an algorithm for wavelet-aided parametric imaging (WAPI) to reduce noise [64] for smaller ROIs, including the amygdala, and hippocampus. ROIs were selected based on existing literature related to social cognition and 5-HTT, and included gray matter, putamen, brain stem, striatum, frontal cortex, temporal cortex, anterior cingulate cortex, posterior cingulate cortex, insula, orbitofrontal cortex, caudatus, thalamus, nucleus accumbens, hippocampus, occipital cortex, amygdala, and pallidum.\nDescriptive statistics for both samples are presented in Table 1.\nTable 1Descriptive statistics for the samples examined with [11C]MADAM (5-HTT sample) and [11C]AZ10419369 (5-HT1B sample)5-HTT sample5-HT1B receptor sample\nn\nRangeMean (SD)\nn\nRangeMean (SD)Age3121–7540.7 (13.8)3320–7538.3 (14.91)Sex assigned at birth Female1620 Male1513MASC3127–4235.2 (4.1)3325–4234 (4.34)RMET3120–3328.2 (3.3)3220–3228 (3.24)Faux Pas3141–6054 (4.9)1746–6055 (4.55)EFT3131-1509473 (322)3331-1509514 (330.44)FPT3180–460185 (79.8)3387–538197 (87.59)5-HTT serotonin transporter, 5-HT1B serotonin 1B receptor, MASC movie for assessment of social cognition, RMET reading mind in the eyes test, EFT embedded figure test (seconds), FPT fragmented picture test (seconds), n number of participants, SD standard deviation\nDescriptive statistics for the samples examined with [11C]MADAM (5-HTT sample) and [11C]AZ10419369 (5-HT1B sample)\n5-HTT serotonin transporter, 5-HT1B serotonin 1B receptor, MASC movie for assessment of social cognition, RMET reading mind in the eyes test, EFT embedded figure test (seconds), FPT fragmented picture test (seconds), n number of participants, SD standard deviation\nDue to the non-normally distributed test data, Spearman’s correlations were employed to explore inter-regional relationships, associations between behavioural tasks and demographic variables (age and education), as well as associations between radioligand binding and demographic variables within each sample, corrected for age. Given the partially exploratory nature of the study, and for ease of interpretation, findings are presented without correction for multiple comparisons. In addition, the false discovery rate [65] was applied. All statistical tests were two-tailed, and the significance level was set at p ≤ 0.05 and were corrected for multiple comparisons using Benjamini-Hochberg method [65]. Statistical analyses were conducted using R Studio [66]. Raw data and code are available at https://osf.io/z6mbn/?view_only=d4028579be2143d3b077f408f65e78ce.\nGiven the inclusion of the 14 controls from our original study [12], where correlations between social cognition or central coherence and 5-HTT binding were identified, and the potential confounding factors related to disparities in PET systems, several methodological steps were taken.\nFirst, an analysis by excluding the 14 subjects from the original study was conducted, resulting in a distinct replication sample comprising 17 new subjects examined using the same PET system. Spearman’s correlations were employed for this replication sample, as well as for the healthy controls from of the original study (where autistic subjects also were included in the analysis).\nSubsequently, to provide a robust assessment of the correlation’s replicability, we employed Bayesian analysis, which yielded a Bayes Replication Factor. This test compares the predictive adequacy of the null hypothesis (H0 (i.e., no correlation) versus the alternative hypothesis (Hr, representing the original correlation). The Bayes Replication Factor quantifies the likelihood of observing the original correlation versus no correlation, given the additional data [67, 68]. Importantly, this approach allows for the integration of additional data, providing a comprehensive evaluation of the correlation’s replicability.\nLastly, BPND values were standardized (with mean = 0 and standard deviation = 1) within both groups to address potential variations arising from the utilization of the different PET systems. Then, the Spearman’s correlation test was conducted for the whole sample.\nThese methodological steps were taken to ensure the reliability and validity of our findings, considering the potential impact of varying PET systems and the specific composition of the study population.\nPartial Spearman´s correlations, corrected for age, were used to investigate associations between cognitive performance and 5-HT1B BPND values. For non-significant correlations, a Bayes Factor for correlation was calculated, to quantify evidence in favor of the null hypothesis (i.e. no correlation) [68, 69] .\nDuring the preparation of this work, the author(s) used ChatGPT-3.5 (OpenAI, 2024) to improve coding guidance, readability, and language, as well as Claude.ai (Anthropic, 2024) to improve readability and language. After using this tool/service, the author(s) reviewed and edited the content as needed and take(s) full responsibility for the content of the published article.\n\n\n### Participants\nAll participants were enrolled as control subjects in four independent PET studies between 2013 and 2017 [12, 46–48]. A total of 47 control subjects were pooled, of which 17 participants were investigated with both radioligands. For analysis of 5-HTT binding, 31 participants were included, comprising 15 control participants from study [12] and 17 from study [46]. For analysis of 5-HT1B receptor binding, 33 participants were included, comprising the same 17 controls from study [46], 4 controls from study [47] and 12 controls from study [48]. Given the resource-intensive nature of PET studies, it is standard practice to compile such a database and administer a consistent test battery. All studies were approved by the Regional Ethical Review Board in Stockholm and by the Radiation safety committee of the Karolinska University Hospital. All participants provided written informed consent.\n\n\n### Inclusion criteria\nAll participants underwent a comprehensive assessment to ensure their eligibility. This included a clinical interview using the Mini International Neuropsychiatric Interview (M.I.N.I.), a physical examination conducted by a medical doctor, and negative results in urine toxicology screenings before the PET examinations. Exclusion criteria encompassed a medical history of substance abuse, chronic psychiatric disorders, previous head trauma, brain pathology detected via magnetic resonance imaging (MRI), significant medical conditions, and pregnancy. The recruitment and examination of participants were conducted by members of the PET research group at Karolinska Institutet, Stockholm, Sweden.\n\n\n### Assessment of social cognition and central coherence\nThe study assessed the dimensional aspect of social cognition through various social-cognitive tests. Behavioural testing was scheduled to coincide with the PET examination on the same day; however, in a small number of participants from diffferent studies, assessments were conducted a few days after PET due to logistical constraints. These assessments included the Movie for Assessment of Social Cognition (MASC [49]), Reading the Mind in the Eyes Test (RMET [50]) and Faux Pas [51]. The MASC test involves a 15 min video portraying four characters at a dinner party. It aims to assess ToM by posing questions related to the thoughts, beliefs and intentions of the characters. The RMET task requires participants to discern the appropriate emotion expressed by each eye pair from four alternatives. Faux Pas assesses ToM through inquiries about social situations and unintentional social rule violations. For the assessment of central coherence, two visual tasks, one focusing on global perception and the other on local details, were employed. The Fragmented Pictures Test (PFT [52], , required participants to identify progressively revealed drawings of common objects with as little information as possible. The Embedded Figures Test (EFT [53], , tasks participants with detecting simpler shapes embedded within larger and more complex pictures.\n\n\n### Image acquisition and analysis\nMagnetic resonance imaging (MRI; 3T, GE Healthcare) was conducted for exclusion of brain anomalies and for delineation of brain regions. For each participant, the MR image was co-registered to a summated PET image as previously described using Statistical parametric mapping (SPM12; Wellcome Department of Cognitive Neurology, University College, London, U.K).\nDuring PET examinations, subjects were positioned recumbent with their heads inside the PET system and wore a plastic helmet to minimize head movement. Radioligands [11C]MADAM and [11C]AZ10419369 were synthesized as previously reported [54, 55].\n14 control subjects from the original study underwent examination of 5-HTT binding using [11C]MADAM and the High Resolution (HR) ECAT PET system (Siemens, Knoxville, TN), while the additional 17 subjects were examined with the High Resolution Research Tomograph (HRRT) ECAT PET system (Siemens Molecular Imaging). The acquisition time for all examinations was 93 min. The PET data from the 14 subjects investigated with the HR system were divided into 31 time frames (4 × 15 s, 4 × 30 s, 6 × 60 s, 6 × 180 s, and 11 × 360 s), reconstructed using filtered back projection, and corrected for head motion using a frame-to-first-frame approach. For the 17 subjects investigated with the HRRT PET system, the PET data was divided into 38 frames (9 × 10 s, 2 × 15 s, 3 × 20 s, 4 × 30 s, 4 × 60 s, 4 × 180 s, and 12 × 360 s). Dynamic PET images were corrected for head motion using a between frame-correction algorithm implemented in SPM12 (Wellcome Department of Cognitive Neurology, University College, London, UK). Injected radioactivity and molar (specific) activity were within previously reported ranges for these datasets. Injected activity was typically ~ 370–410 MBq, with molar activity in the range of approximately 230–240 GBq/µmol at the time of injection [12, 46].\nFor delineation of brain regions in the 5-HTT sample, Freesurfer (versions 5.0 and 6.0 [56]) was employed, and brain region anatomy was defined using the cortical atlas of Desikan-Killany [57]. 5-HTT binding potential (BPND) was quantified using the simplified reference tissue model (SRTM [58]), with the cerebellar gray matter serving as the reference region [59, 60]. For the replication sample, this differs from the quantification methods previously reported [46]. Regions of interest (ROIs) were selected based on where correlations between social cognition and 5-HTT were found in our original study, and included gray matter, putamen, brain stem, frontal cortex, anterior cingulate cortex, posterior cingulate cortex, insula, amygdala, and nucleus accumbens.\n33 subjects underwent examination of 5-HT1B receptor binding using the radioligand [11C]AZ10419369 and the HRRT PET system. Data from the first 63 min were used for quantification to enable data pooling, to ensure consistent frame definitions across all data. Injected radioactivity and molar (specific) activity were consistent with previously published values. Injected activity was typically ~ 380–414 MBq, with molar activity in the range of approximately 265–330 GBq/µmol at the time of injection [46–48]. Brain regions were automatically defined using Freesurfer (version 6.0 [56]), except for the dorsal brainstem (DBS), which was defined based on [11C]AZ10419369 PET template data [61, 62], and gray matter defined by SPM segmentation. The cerebellum, with negligible 5-HT1B receptor density [63], served as the reference region for both BPND quantification using SRTM and an algorithm for wavelet-aided parametric imaging (WAPI) to reduce noise [64] for smaller ROIs, including the amygdala, and hippocampus. ROIs were selected based on existing literature related to social cognition and 5-HTT, and included gray matter, putamen, brain stem, striatum, frontal cortex, temporal cortex, anterior cingulate cortex, posterior cingulate cortex, insula, orbitofrontal cortex, caudatus, thalamus, nucleus accumbens, hippocampus, occipital cortex, amygdala, and pallidum.\n\n\n### 5-HTT sample\n14 control subjects from the original study underwent examination of 5-HTT binding using [11C]MADAM and the High Resolution (HR) ECAT PET system (Siemens, Knoxville, TN), while the additional 17 subjects were examined with the High Resolution Research Tomograph (HRRT) ECAT PET system (Siemens Molecular Imaging). The acquisition time for all examinations was 93 min. The PET data from the 14 subjects investigated with the HR system were divided into 31 time frames (4 × 15 s, 4 × 30 s, 6 × 60 s, 6 × 180 s, and 11 × 360 s), reconstructed using filtered back projection, and corrected for head motion using a frame-to-first-frame approach. For the 17 subjects investigated with the HRRT PET system, the PET data was divided into 38 frames (9 × 10 s, 2 × 15 s, 3 × 20 s, 4 × 30 s, 4 × 60 s, 4 × 180 s, and 12 × 360 s). Dynamic PET images were corrected for head motion using a between frame-correction algorithm implemented in SPM12 (Wellcome Department of Cognitive Neurology, University College, London, UK). Injected radioactivity and molar (specific) activity were within previously reported ranges for these datasets. Injected activity was typically ~ 370–410 MBq, with molar activity in the range of approximately 230–240 GBq/µmol at the time of injection [12, 46].\nFor delineation of brain regions in the 5-HTT sample, Freesurfer (versions 5.0 and 6.0 [56]) was employed, and brain region anatomy was defined using the cortical atlas of Desikan-Killany [57]. 5-HTT binding potential (BPND) was quantified using the simplified reference tissue model (SRTM [58]), with the cerebellar gray matter serving as the reference region [59, 60]. For the replication sample, this differs from the quantification methods previously reported [46]. Regions of interest (ROIs) were selected based on where correlations between social cognition and 5-HTT were found in our original study, and included gray matter, putamen, brain stem, frontal cortex, anterior cingulate cortex, posterior cingulate cortex, insula, amygdala, and nucleus accumbens.\n\n\n### 5-HT1B receptor sample\n33 subjects underwent examination of 5-HT1B receptor binding using the radioligand [11C]AZ10419369 and the HRRT PET system. Data from the first 63 min were used for quantification to enable data pooling, to ensure consistent frame definitions across all data. Injected radioactivity and molar (specific) activity were consistent with previously published values. Injected activity was typically ~ 380–414 MBq, with molar activity in the range of approximately 265–330 GBq/µmol at the time of injection [46–48]. Brain regions were automatically defined using Freesurfer (version 6.0 [56]), except for the dorsal brainstem (DBS), which was defined based on [11C]AZ10419369 PET template data [61, 62], and gray matter defined by SPM segmentation. The cerebellum, with negligible 5-HT1B receptor density [63], served as the reference region for both BPND quantification using SRTM and an algorithm for wavelet-aided parametric imaging (WAPI) to reduce noise [64] for smaller ROIs, including the amygdala, and hippocampus. ROIs were selected based on existing literature related to social cognition and 5-HTT, and included gray matter, putamen, brain stem, striatum, frontal cortex, temporal cortex, anterior cingulate cortex, posterior cingulate cortex, insula, orbitofrontal cortex, caudatus, thalamus, nucleus accumbens, hippocampus, occipital cortex, amygdala, and pallidum.\n\n\n### Statistical analysis\nDescriptive statistics for both samples are presented in Table 1.\nTable 1Descriptive statistics for the samples examined with [11C]MADAM (5-HTT sample) and [11C]AZ10419369 (5-HT1B sample)5-HTT sample5-HT1B receptor sample\nn\nRangeMean (SD)\nn\nRangeMean (SD)Age3121–7540.7 (13.8)3320–7538.3 (14.91)Sex assigned at birth Female1620 Male1513MASC3127–4235.2 (4.1)3325–4234 (4.34)RMET3120–3328.2 (3.3)3220–3228 (3.24)Faux Pas3141–6054 (4.9)1746–6055 (4.55)EFT3131-1509473 (322)3331-1509514 (330.44)FPT3180–460185 (79.8)3387–538197 (87.59)5-HTT serotonin transporter, 5-HT1B serotonin 1B receptor, MASC movie for assessment of social cognition, RMET reading mind in the eyes test, EFT embedded figure test (seconds), FPT fragmented picture test (seconds), n number of participants, SD standard deviation\nDescriptive statistics for the samples examined with [11C]MADAM (5-HTT sample) and [11C]AZ10419369 (5-HT1B sample)\n5-HTT serotonin transporter, 5-HT1B serotonin 1B receptor, MASC movie for assessment of social cognition, RMET reading mind in the eyes test, EFT embedded figure test (seconds), FPT fragmented picture test (seconds), n number of participants, SD standard deviation\nDue to the non-normally distributed test data, Spearman’s correlations were employed to explore inter-regional relationships, associations between behavioural tasks and demographic variables (age and education), as well as associations between radioligand binding and demographic variables within each sample, corrected for age. Given the partially exploratory nature of the study, and for ease of interpretation, findings are presented without correction for multiple comparisons. In addition, the false discovery rate [65] was applied. All statistical tests were two-tailed, and the significance level was set at p ≤ 0.05 and were corrected for multiple comparisons using Benjamini-Hochberg method [65]. Statistical analyses were conducted using R Studio [66]. Raw data and code are available at https://osf.io/z6mbn/?view_only=d4028579be2143d3b077f408f65e78ce.\nGiven the inclusion of the 14 controls from our original study [12], where correlations between social cognition or central coherence and 5-HTT binding were identified, and the potential confounding factors related to disparities in PET systems, several methodological steps were taken.\nFirst, an analysis by excluding the 14 subjects from the original study was conducted, resulting in a distinct replication sample comprising 17 new subjects examined using the same PET system. Spearman’s correlations were employed for this replication sample, as well as for the healthy controls from of the original study (where autistic subjects also were included in the analysis).\nSubsequently, to provide a robust assessment of the correlation’s replicability, we employed Bayesian analysis, which yielded a Bayes Replication Factor. This test compares the predictive adequacy of the null hypothesis (H0 (i.e., no correlation) versus the alternative hypothesis (Hr, representing the original correlation). The Bayes Replication Factor quantifies the likelihood of observing the original correlation versus no correlation, given the additional data [67, 68]. Importantly, this approach allows for the integration of additional data, providing a comprehensive evaluation of the correlation’s replicability.\nLastly, BPND values were standardized (with mean = 0 and standard deviation = 1) within both groups to address potential variations arising from the utilization of the different PET systems. Then, the Spearman’s correlation test was conducted for the whole sample.\nThese methodological steps were taken to ensure the reliability and validity of our findings, considering the potential impact of varying PET systems and the specific composition of the study population.\nPartial Spearman´s correlations, corrected for age, were used to investigate associations between cognitive performance and 5-HT1B BPND values. For non-significant correlations, a Bayes Factor for correlation was calculated, to quantify evidence in favor of the null hypothesis (i.e. no correlation) [68, 69] .\nDuring the preparation of this work, the author(s) used ChatGPT-3.5 (OpenAI, 2024) to improve coding guidance, readability, and language, as well as Claude.ai (Anthropic, 2024) to improve readability and language. After using this tool/service, the author(s) reviewed and edited the content as needed and take(s) full responsibility for the content of the published article.\n\n\n### 5-HTT sample\nGiven the inclusion of the 14 controls from our original study [12], where correlations between social cognition or central coherence and 5-HTT binding were identified, and the potential confounding factors related to disparities in PET systems, several methodological steps were taken.\nFirst, an analysis by excluding the 14 subjects from the original study was conducted, resulting in a distinct replication sample comprising 17 new subjects examined using the same PET system. Spearman’s correlations were employed for this replication sample, as well as for the healthy controls from of the original study (where autistic subjects also were included in the analysis).\nSubsequently, to provide a robust assessment of the correlation’s replicability, we employed Bayesian analysis, which yielded a Bayes Replication Factor. This test compares the predictive adequacy of the null hypothesis (H0 (i.e., no correlation) versus the alternative hypothesis (Hr, representing the original correlation). The Bayes Replication Factor quantifies the likelihood of observing the original correlation versus no correlation, given the additional data [67, 68]. Importantly, this approach allows for the integration of additional data, providing a comprehensive evaluation of the correlation’s replicability.\nLastly, BPND values were standardized (with mean = 0 and standard deviation = 1) within both groups to address potential variations arising from the utilization of the different PET systems. Then, the Spearman’s correlation test was conducted for the whole sample.\nThese methodological steps were taken to ensure the reliability and validity of our findings, considering the potential impact of varying PET systems and the specific composition of the study population.\n\n\n### 5-HT1B receptor sample\nPartial Spearman´s correlations, corrected for age, were used to investigate associations between cognitive performance and 5-HT1B BPND values. For non-significant correlations, a Bayes Factor for correlation was calculated, to quantify evidence in favor of the null hypothesis (i.e. no correlation) [68, 69] .\nDuring the preparation of this work, the author(s) used ChatGPT-3.5 (OpenAI, 2024) to improve coding guidance, readability, and language, as well as Claude.ai (Anthropic, 2024) to improve readability and language. After using this tool/service, the author(s) reviewed and edited the content as needed and take(s) full responsibility for the content of the published article.\n\n\n### Results\nIn the control participants from the original sample (n = 14), significant positive correlations were observed between RMET test scores and 5-HTT binding across several limbic and cortical regions: anterior cingulate cortex (Spearman’s rho = 0.72, p = 0.012), insula (Spearman’s rho = 0.64, p = 0.033), and posterior cingulate cortex (Spearman’s rho = 0.73, p = 0.010). However, none of these correlations remained statistically significant following correction for multiple comparisons, using the Benjamini-Hochberg procedure.\nIn the replication sample consisting of 17 participants, significant correlations were identified between MASC performance and 5-HTT availability in two brain regions. Specifically, positive correlations were observed in the putamen (Spearman’s rho = 0.61, p = 0.011), while a negative correlation was found in the brain stem (Spearman’s rho = -0.64, p = 0.008, Fig. 1). Similar to the results from the original sample, these correlations did not remain significant after correction for multiple comparisons, using the Benjamini-Hochberg procedure. No significant correlations were detected between 5-HTT binding on other social cognitive tests in the replication sample.\nFigure 1 displays the correlations between 5-HTT BPND and MASC scores for both the original and replication sample, with separate panels illustrating findings in the brain stem, nucleus accumbens and putamen – regions where significant uncorrected correlations were identified in at least one sample. Note that the correlation in nucleus accumbens was previously observed in the original study when analysing the complete sample including participants with autism.\nFig. 1correlations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\ncorrelations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\nReplication Bayes Factors were computed for the correlations between test scores and 5-HTT BPND for regions where significant effects were observed in either study. For MASC performance, the probability that the data represent a replication of the correlation obtained in the original study is 15.2 times more likely than that of a correlation of 0 (BF0r = 15.2) in the putamen, and 6.1 times more likely in the brain stem.\nFor the significant correlations observed in the original study (between performance on RMET and 5-HTT binding in anterior cingulate cortex, posterior cingulate cortex and insula, the Bayes Factors ranged from 0.02 to 0.16, indicating moderate to strong evidence in favour of the null-hypothesis (i.e. no correlation).\nFigure 2 illustrates the correlations between 5-HTT binding and performance on social cognition tasks for the pooled sample, containing control participants from the original study (n = 14) and the replication sample (n = 17). A positive correlation between 5-HTT BPND and MASC was observed in the putamen (Spearman’s rho = 0.53, p = 0.003), while a negative correlation was observed in brain stem (Spearman’s rho = -0.40, p = 0.028); For RMET and 5-HTT BPND in anterior cingulate cortex a positive correlation was observed (Spearman’s rho = 0.37, p = 0.04). None of these correlations remained significant after correction for multiple comparisons.\nFig. 2Correlations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\nCorrelations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\nNo significant correlations between 5-HTT binding and performance on EFT or FPT were observed in the controls from the original sample (n = 14), the replication sample (n = 17), or in the pooled sample (Fig. 2). The original study, including autistic participants, found significant correlations between performance on EFT and 5-HTT binding in insula and nucleus accumbens. The Bayes Replication Factors were 0.17 and 0.19 for these regions, respectively, indicating that the absence of a correlation was (1/0.17 =) 5.9 and (1/0.19 =) 5.3 times more likely than the correlations observed in the controls from the original study.\n5-HT1B receptor binding in thalamus correlated positively to EFT performance (Spearman´s rho = 0.41; p = 0.02) and negatively to performance on RMET (Spearmans rho = -0.45, p = 0.02). However, these correlations were no longer statistically significant after multiple comparison correction.\nBayesian analysis revealed mostly evidence in favor of the null hypothesis (i.e. no correlation). The Bayes Factors for correlation ranged from 0.015 to 4.5, with the majority falling below 1/3 indicating moderate evidence in favor of the null-hypothesis [70]. Only the correlations between thalamic 5-HTT binding and both EFT and RMET performance provided anecdotal and moderate evidence in favor of the alternative hypothesis (i.e. the presence of a correlation).\n\n\n### 5-HTT sample\nIn the control participants from the original sample (n = 14), significant positive correlations were observed between RMET test scores and 5-HTT binding across several limbic and cortical regions: anterior cingulate cortex (Spearman’s rho = 0.72, p = 0.012), insula (Spearman’s rho = 0.64, p = 0.033), and posterior cingulate cortex (Spearman’s rho = 0.73, p = 0.010). However, none of these correlations remained statistically significant following correction for multiple comparisons, using the Benjamini-Hochberg procedure.\nIn the replication sample consisting of 17 participants, significant correlations were identified between MASC performance and 5-HTT availability in two brain regions. Specifically, positive correlations were observed in the putamen (Spearman’s rho = 0.61, p = 0.011), while a negative correlation was found in the brain stem (Spearman’s rho = -0.64, p = 0.008, Fig. 1). Similar to the results from the original sample, these correlations did not remain significant after correction for multiple comparisons, using the Benjamini-Hochberg procedure. No significant correlations were detected between 5-HTT binding on other social cognitive tests in the replication sample.\nFigure 1 displays the correlations between 5-HTT BPND and MASC scores for both the original and replication sample, with separate panels illustrating findings in the brain stem, nucleus accumbens and putamen – regions where significant uncorrected correlations were identified in at least one sample. Note that the correlation in nucleus accumbens was previously observed in the original study when analysing the complete sample including participants with autism.\nFig. 1correlations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\ncorrelations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\nReplication Bayes Factors were computed for the correlations between test scores and 5-HTT BPND for regions where significant effects were observed in either study. For MASC performance, the probability that the data represent a replication of the correlation obtained in the original study is 15.2 times more likely than that of a correlation of 0 (BF0r = 15.2) in the putamen, and 6.1 times more likely in the brain stem.\nFor the significant correlations observed in the original study (between performance on RMET and 5-HTT binding in anterior cingulate cortex, posterior cingulate cortex and insula, the Bayes Factors ranged from 0.02 to 0.16, indicating moderate to strong evidence in favour of the null-hypothesis (i.e. no correlation).\nFigure 2 illustrates the correlations between 5-HTT binding and performance on social cognition tasks for the pooled sample, containing control participants from the original study (n = 14) and the replication sample (n = 17). A positive correlation between 5-HTT BPND and MASC was observed in the putamen (Spearman’s rho = 0.53, p = 0.003), while a negative correlation was observed in brain stem (Spearman’s rho = -0.40, p = 0.028); For RMET and 5-HTT BPND in anterior cingulate cortex a positive correlation was observed (Spearman’s rho = 0.37, p = 0.04). None of these correlations remained significant after correction for multiple comparisons.\nFig. 2Correlations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\nCorrelations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\n\n\n### Correlations between 5-HTT binding and performance on social cognition tests\nIn the control participants from the original sample (n = 14), significant positive correlations were observed between RMET test scores and 5-HTT binding across several limbic and cortical regions: anterior cingulate cortex (Spearman’s rho = 0.72, p = 0.012), insula (Spearman’s rho = 0.64, p = 0.033), and posterior cingulate cortex (Spearman’s rho = 0.73, p = 0.010). However, none of these correlations remained statistically significant following correction for multiple comparisons, using the Benjamini-Hochberg procedure.\nIn the replication sample consisting of 17 participants, significant correlations were identified between MASC performance and 5-HTT availability in two brain regions. Specifically, positive correlations were observed in the putamen (Spearman’s rho = 0.61, p = 0.011), while a negative correlation was found in the brain stem (Spearman’s rho = -0.64, p = 0.008, Fig. 1). Similar to the results from the original sample, these correlations did not remain significant after correction for multiple comparisons, using the Benjamini-Hochberg procedure. No significant correlations were detected between 5-HTT binding on other social cognitive tests in the replication sample.\nFigure 1 displays the correlations between 5-HTT BPND and MASC scores for both the original and replication sample, with separate panels illustrating findings in the brain stem, nucleus accumbens and putamen – regions where significant uncorrected correlations were identified in at least one sample. Note that the correlation in nucleus accumbens was previously observed in the original study when analysing the complete sample including participants with autism.\nFig. 1correlations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\ncorrelations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\nReplication Bayes Factors were computed for the correlations between test scores and 5-HTT BPND for regions where significant effects were observed in either study. For MASC performance, the probability that the data represent a replication of the correlation obtained in the original study is 15.2 times more likely than that of a correlation of 0 (BF0r = 15.2) in the putamen, and 6.1 times more likely in the brain stem.\nFor the significant correlations observed in the original study (between performance on RMET and 5-HTT binding in anterior cingulate cortex, posterior cingulate cortex and insula, the Bayes Factors ranged from 0.02 to 0.16, indicating moderate to strong evidence in favour of the null-hypothesis (i.e. no correlation).\nFigure 2 illustrates the correlations between 5-HTT binding and performance on social cognition tasks for the pooled sample, containing control participants from the original study (n = 14) and the replication sample (n = 17). A positive correlation between 5-HTT BPND and MASC was observed in the putamen (Spearman’s rho = 0.53, p = 0.003), while a negative correlation was observed in brain stem (Spearman’s rho = -0.40, p = 0.028); For RMET and 5-HTT BPND in anterior cingulate cortex a positive correlation was observed (Spearman’s rho = 0.37, p = 0.04). None of these correlations remained significant after correction for multiple comparisons.\nFig. 2Correlations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\nCorrelations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\n\n\n### Controls from the original sample\nIn the control participants from the original sample (n = 14), significant positive correlations were observed between RMET test scores and 5-HTT binding across several limbic and cortical regions: anterior cingulate cortex (Spearman’s rho = 0.72, p = 0.012), insula (Spearman’s rho = 0.64, p = 0.033), and posterior cingulate cortex (Spearman’s rho = 0.73, p = 0.010). However, none of these correlations remained statistically significant following correction for multiple comparisons, using the Benjamini-Hochberg procedure.\n\n\n### Replication sample\nIn the replication sample consisting of 17 participants, significant correlations were identified between MASC performance and 5-HTT availability in two brain regions. Specifically, positive correlations were observed in the putamen (Spearman’s rho = 0.61, p = 0.011), while a negative correlation was found in the brain stem (Spearman’s rho = -0.64, p = 0.008, Fig. 1). Similar to the results from the original sample, these correlations did not remain significant after correction for multiple comparisons, using the Benjamini-Hochberg procedure. No significant correlations were detected between 5-HTT binding on other social cognitive tests in the replication sample.\nFigure 1 displays the correlations between 5-HTT BPND and MASC scores for both the original and replication sample, with separate panels illustrating findings in the brain stem, nucleus accumbens and putamen – regions where significant uncorrected correlations were identified in at least one sample. Note that the correlation in nucleus accumbens was previously observed in the original study when analysing the complete sample including participants with autism.\nFig. 1correlations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\ncorrelations between 5-HTT binding and MASC scores in control participants from original and replication sample. Partial pearsons correlations between 5-HTT binding potential (BPND) and MASC scores in the control participants from the original sample and the replication sample, corrected for age. Abbrevations: MASC Movie for Assessment of Social Cognition, BPND binding potential\n\n\n### Bayes replication analysis\nReplication Bayes Factors were computed for the correlations between test scores and 5-HTT BPND for regions where significant effects were observed in either study. For MASC performance, the probability that the data represent a replication of the correlation obtained in the original study is 15.2 times more likely than that of a correlation of 0 (BF0r = 15.2) in the putamen, and 6.1 times more likely in the brain stem.\nFor the significant correlations observed in the original study (between performance on RMET and 5-HTT binding in anterior cingulate cortex, posterior cingulate cortex and insula, the Bayes Factors ranged from 0.02 to 0.16, indicating moderate to strong evidence in favour of the null-hypothesis (i.e. no correlation).\n\n\n### Pooled sample analysis\nFigure 2 illustrates the correlations between 5-HTT binding and performance on social cognition tasks for the pooled sample, containing control participants from the original study (n = 14) and the replication sample (n = 17). A positive correlation between 5-HTT BPND and MASC was observed in the putamen (Spearman’s rho = 0.53, p = 0.003), while a negative correlation was observed in brain stem (Spearman’s rho = -0.40, p = 0.028); For RMET and 5-HTT BPND in anterior cingulate cortex a positive correlation was observed (Spearman’s rho = 0.37, p = 0.04). None of these correlations remained significant after correction for multiple comparisons.\nFig. 2Correlations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\nCorrelations between 5-HTT binding and social cognitions and central coherence tests in the pooled sample. Spearman’s correlation between the standardized 5-HTT binding potential (BPND) and performance on tests for social cognition and central coherence in the pooled sample of 14 controls from original study, plus 17 additional healthy subjects. Abbreviations: GM gray matter, PUT putamen, BS brain stem, FC frontal cortex, ACC anterior cingulate cortex, INS insula, AMG amygdala, PCC posterior cingulate cortex, NAC nucleus accumbens, MASC Movie for Assessment of Social Cognition, RMET Reading the Mind in the Eyes Test, EFT Embedded Figures Test, FPT Fragmented Pictures Test. * significant result (p < 0.05), before correction for multiple comparisons. None of the correlations remained significant after multiple comparison correction\n\n\n### Correlations between 5-HTT binding and performance on central coherence tests\nNo significant correlations between 5-HTT binding and performance on EFT or FPT were observed in the controls from the original sample (n = 14), the replication sample (n = 17), or in the pooled sample (Fig. 2). The original study, including autistic participants, found significant correlations between performance on EFT and 5-HTT binding in insula and nucleus accumbens. The Bayes Replication Factors were 0.17 and 0.19 for these regions, respectively, indicating that the absence of a correlation was (1/0.17 =) 5.9 and (1/0.19 =) 5.3 times more likely than the correlations observed in the controls from the original study.\n\n\n### 5-HT1B sample\n5-HT1B receptor binding in thalamus correlated positively to EFT performance (Spearman´s rho = 0.41; p = 0.02) and negatively to performance on RMET (Spearmans rho = -0.45, p = 0.02). However, these correlations were no longer statistically significant after multiple comparison correction.\nBayesian analysis revealed mostly evidence in favor of the null hypothesis (i.e. no correlation). The Bayes Factors for correlation ranged from 0.015 to 4.5, with the majority falling below 1/3 indicating moderate evidence in favor of the null-hypothesis [70]. Only the correlations between thalamic 5-HTT binding and both EFT and RMET performance provided anecdotal and moderate evidence in favor of the alternative hypothesis (i.e. the presence of a correlation).\n\n\n### Correlations between 5-HT1B receptor binding and performance on tests for social cognition and central coherence\n5-HT1B receptor binding in thalamus correlated positively to EFT performance (Spearman´s rho = 0.41; p = 0.02) and negatively to performance on RMET (Spearmans rho = -0.45, p = 0.02). However, these correlations were no longer statistically significant after multiple comparison correction.\nBayesian analysis revealed mostly evidence in favor of the null hypothesis (i.e. no correlation). The Bayes Factors for correlation ranged from 0.015 to 4.5, with the majority falling below 1/3 indicating moderate evidence in favor of the null-hypothesis [70]. Only the correlations between thalamic 5-HTT binding and both EFT and RMET performance provided anecdotal and moderate evidence in favor of the alternative hypothesis (i.e. the presence of a correlation).\n\n\n### Discussion\nIn the present study, we examined the relationship between social cognition and serotonergic markers in healthy adults using PET imaging of the 5-HTT and 5-HT1B receptor. Building on our previous work in a mixed sample of autistic and neurotypical participants [12], we sought to evaluate the robustness and generalizability of previously reported associations within a non-clinical population. We replicated the positive correlation between performance on MASC and 5-HTT binding in the putamen in a sample of healthy adults, extending findings from our prior study that included both autistic and healthy participants [12]. Despite the correlation not retaining significance after correction for multiple comparisons, the Bayes Replication Factor of 15.2 indicates that the correlation found in the original study is 15.2 times more likely than the null hypothesis (no correlation), providing evidence for a genuine association [70].\nHowever, our replication efforts were not uniformly successful. We were unable to replicate correlations between 5-HTT binding and social cognition in other brain regions, nor for the other tests for social cognition or central coherence. Notably, despite stronger and more numerous correlations for the RMET test in our original study, we could not replicate these findings in the current sample of healthy controls. This selective replication pattern may reflect differences in test sensitivity and score distributions within non-clinical populations, but alternative explanations, including limited statistical power, cannot be excluded.\nIn our original study, correlations between RMET performance and regional 5-HTT binding were primarily driven by autistic participants, whereas the MASC-5-HTT correlation was evident across both autistic and neurotypical participants. Examination of score distributions reveals that MASC performance shows greater variability among healthy controls compared to RMET performance (MASC: range 27–42, median 36; RMET: range 20–33, median 29). This superior score distribution for MASC may indicate that it is more sensitive to individual differences in social cognitive abilities within the general population, whereas RMET may show ceiling effects or restricted range in neurotypical samples. These findings suggest that different social cognition measures may have varying utility for detecting neurobiological correlates in clinical versus non-clinical populations. While RMET may be particularly sensitive to the more pronounced social cognitive differences observed in autism spectrum conditions, MASC appears better suited for capturing the subtler variations in social cognition present within neurotypical populations.\nFurthermore, though we observed a correlation between tests for central coherence and 5-HTT binding in our previous study, we were unable to replicate this within the current sample of healthy controls. In contrast, we found evidence in favour of the null hypothesis (i.e. no correlation was about 5 times more likely than the correlation of the original study). These findings imply that 5-HTT is not involved in central coherence in healthy adults.\nIn contrast to our original findings, we observed a negative correlation for MASC scores and 5-HTT binding in brain stem, whereas the original study showed a positive correlation in this region. The Bayes Replication Factor of 6.1 indicates that the positive correlation observed in the original study is 6.1 times more likely than the null hypothesis of no correlation. Bayes Factors below 3 are typically considered to provide ambiguous support, whereas Bayes Factors above 10 are considered to offer strong support in favor of a hypothesis [70]. Notably, we failed to replicate the findings from Nakamura et al. [26] regarding the correlation between performance on Faux Pas within autistic participants and 5-HTT availability in several parts of the cingulate cortex, within a sample of healthy subjects. Altogether, these findings provide conceptual replication evidence for a possible role of putaminal 5-HTT in social cognition, within the general population, while the role of other brain regions remains less certain and warrants further investigation.\nAlthough the literature on this topic is limited, several studies suggest a potential involvement of the putamen in social cognition. Lesion, neurodegenerative, and functional imaging studies have linked putaminal involvement to TOM performance, primarily through dopaminergic mechanisms [71–74]. While these findings primarily implicate dopaminergic mechanisms, serotonin may also play a crucial role in putaminal modulation of social cognition. The putamen represents one of three brain regions with the highest 5-HTT binding potential values, which may have provided sufficient statistical power to detect serotonergically-mediated correlations that were obscured in cortical regions where [11C]MADAM binding is substantially lower. However, this power-based explanation is challenged by by the absence of comparable findings in other high-binding regions, including the thalamus and pallidum. The putamen’s role in social cognition may involve complex interactions between dopaminergic and serotonergic systems within cortico-striatal circuits. Given the well-established co-regulation and functional interactions between these neurotransmitter systems [75], serotonergic modulation through 5-HTT could complement or modulate dopaminergic influences on social cognitive performance. In conclusion, while dopaminergic involvement in putaminal social cognition is better established, our findings suggest that serotonergic mechanisms may represent an important but underexplored pathway warranting further investigation.\nIn our exploratory part, we found that 5-HT1B receptor binding in the thalamus showed opposing relationships with two measures: it correlated positively with performance on EFT, reflecting greater accuracy and detail-focussed processing, but negatively with RMET performance, which indexes the ability to infer mental states from eye-region photographs (i.e. superior social cognition). However, none of the observed correlations remained statistically significant after correcting for multiple comparisons. Bayesian analysis further indicated that the data provided mostly moderate evidence in favour of no correlation. The only exceptions were thalamic 5-HTT1B binding with EFT and RMET performance, where the presence of a correlation was 2.8 and 4.5 times more likely, respectively, then the null hypothesis. While these results suggest a potential role for thalamic 5-HT1B in both social cognition and central coherence, replication in larger, independent samples is required.\n5-HTT and 5-HT1B receptors are both expressed in serotonergic neurons, regulating presynaptic 5-HT release. However, 5-HT1B receptors are also expressed in non-serotonergic neurons as heteroreceptors, regulating neurotransmitter release [45]. While 5-HTT binding and 5-HT1B binding are highly correlated in most cortical regions, this was not observed for subcortical regions (including putamen), which are lacking 5-HT1B heteroreceptors [46]. In addition, in contrast to 5-HTT, the 5-HT1B receptor is more dynamic: it changes following cognitive behavior therapy, tryptophan depletion or acute SSRI administration for example [76]. Although the 5-HT1B receptor has been associated with social behaviors, these primarily involve states such as anxiety, reward or dependence-driven behaviors [76], rather than a stable trait such as social cognition. While no human studies have been published examining social cognition in relation to the 5-HT1B receptor, autistic mouse model studies demonstrate that administration of a 5-HT1B receptor antagonist can rescue sociability deficits [77]. However, it is questionable whether these social deficits observed in mice accurately reflect human social cognition abilities. Therefore, with no previously reported link to 5-HT1B in human behavior, the dynamic nature of it and our null-finding, we pose that the 5-HT1B receptor is probably not involved in social cognition.\nSeveral limitations warrant consideration. First, the inclusion of 14 controls from the original study violates assumptions for frequentist statistical analysis, raising concerns about the validity of the combined results. However, in the separate replication sample we obtained a correlation between MASC and 5-HTT binding in putamen, although this did not survive multiple comparison correction. The subsequent implementation of Bayes Replication Factors supported a replication of the correlation between MASC and 5-HTT binding in putamen, in contrast to the other brain regions or cognitive tests.\nSecond, combining datasets from two distinct PET systems can pose several challenges due to variations in system-specific characteristics, such as scanner sensitivity, spatial resolution and reconstruction algorithms. These differences can lead to inconsistencies in the data, affecting the accuracy and reliability of the pooled results. We tried to overcome these PET system differences by a separate analysis and standardization of the datasets. Also, the Bayesian approach is resilient to differences in PET systems, as it utilizes correlation coefficients from each study independently. This ensures that potential variations stemming from PET system disparities do not unduly influence the assessment of the correlation’s reproducibility.\nFinally, limited statistical power is an inherent challenge in PET research. The emphasis on the inherent challenges in this research is crucial. The complexity of studying the brain and behaviour, compounded by the inherent limitations in the reliability of PET measures and cognitive testing, underscores the difficulty of drawing definitive conclusions. The potential for false positives (false discovery rate) is commonly estimated as 5% in frequentist statistics. With the examination of 17 brain regions and 5 cognitive tests, the likelihood of obtaining 4–5 significant results is anticipated, as observed in our study. Employing the Bayesian analysis, we were able to identify some possible false positive findings from our original study.\n\n\n### Limitations\nSeveral limitations warrant consideration. First, the inclusion of 14 controls from the original study violates assumptions for frequentist statistical analysis, raising concerns about the validity of the combined results. However, in the separate replication sample we obtained a correlation between MASC and 5-HTT binding in putamen, although this did not survive multiple comparison correction. The subsequent implementation of Bayes Replication Factors supported a replication of the correlation between MASC and 5-HTT binding in putamen, in contrast to the other brain regions or cognitive tests.\nSecond, combining datasets from two distinct PET systems can pose several challenges due to variations in system-specific characteristics, such as scanner sensitivity, spatial resolution and reconstruction algorithms. These differences can lead to inconsistencies in the data, affecting the accuracy and reliability of the pooled results. We tried to overcome these PET system differences by a separate analysis and standardization of the datasets. Also, the Bayesian approach is resilient to differences in PET systems, as it utilizes correlation coefficients from each study independently. This ensures that potential variations stemming from PET system disparities do not unduly influence the assessment of the correlation’s reproducibility.\nFinally, limited statistical power is an inherent challenge in PET research. The emphasis on the inherent challenges in this research is crucial. The complexity of studying the brain and behaviour, compounded by the inherent limitations in the reliability of PET measures and cognitive testing, underscores the difficulty of drawing definitive conclusions. The potential for false positives (false discovery rate) is commonly estimated as 5% in frequentist statistics. With the examination of 17 brain regions and 5 cognitive tests, the likelihood of obtaining 4–5 significant results is anticipated, as observed in our study. Employing the Bayesian analysis, we were able to identify some possible false positive findings from our original study.\n\n\n### Conclusions\nOur hypothesis, asserting a connection between social cognition and 5-HTT binding, finds partial confirmation. Replication in a sample of healthy controls substantiates our previous findings, with the strongest evidence emerging for putaminal 5-HTT involvement in social cognition within the general population. However, the role of other brain regions remains less certain and warrants further investigation. In contrast, our exploratory analysis revealed no evidence for of 5-HT1B receptor involvement in social cognition. In addition, we found no convincing evidence for 5-HTT or for 5-HT1B involvement in central coherence.\nThe divergent findings between 5-HTT and 5-HT1B receptor binding are particularly noteworthy and highlight the complexity of serotonergic modulation of social cognition. The observation that a global marker of serotonergic function (5-HTT) correlates with social cognitive performance while a specific receptor subtype (5-HT1B) does not suggests several possible mechanisms. First, putaminal involvement in social cognition may be mediated through broad serotonergic tone rather than through specific receptor-mediated pathways. This could indicate that social cognitive performance is more sensitive to overall serotonin availability and reuptake efficiency than to the activation of particular receptor subtypes.\nAlternatively, 5-HTT binding may reflect upstream regulatory processes or compensatory mechanisms that influence multiple downstream serotonergic pathways simultaneously, effects that would not be captured by measuring individual receptor subtypes. The global nature of 5-HTT function—regulating synaptic serotonin availability across multiple receptor systems—may be more relevant for complex cognitive processes like social cognition that likely depend on coordinated activity across various serotonergic circuits.\nIn conclusion, these findings suggest that global serotonergic function, as indexed by 5-HTT binding, may be more relevant than specific receptor mechanisms for social cognitive processes, providing partial support for serotonergic involvement in social cognition even within healthy populations.", "domain": "affective_neuroscience"}
{"source": "PMC13091067", "title": "Can the incentive-sensitization theory of addiction incorporate addiction to opioid drugs?", "text": "# Can the incentive-sensitization theory of addiction incorporate addiction to opioid drugs?\n\n## Abstract\nThe Incentive Sensitization Theory (IST) of addiction posits that repeated intermittent exposure to potentially addictive drugs can sensitize brain mesolimbic dopamine systems. Those systems normally attribute incentive salience to rewards and their cues, but when sensitized may produce compulsive cue-triggered ‘wanting’ for drugs that can persist long after the discontinuation of drug use and the cessation of withdrawal symptoms, thus contributing to an enduring propensity to relapse. Much of the original evidence for IST came from studies on psychostimulant drugs, such as amphetamine and cocaine. But can IST account for addiction to opioid drugs as well? Several serious objections have been raised as to whether pathological ‘wanting’ for opioids involves dopamine sensitization, as posited by IST, thus suggesting IST does not apply to opioid addiction. Here we assess those objections and provide a review of evidence from the opioid literature on both human and non-human animals relevant to IST. We first summarize the main tenets of IST and the major objections to IST regarding opioid use disorder and addiction. We then address the following specific questions. (1) Do opioid drugs engage mesolimbic systems, including dopamine? (2) Do opioid drugs sensitize those dopamine systems? (3) Do opioid drugs also sensitize the incentive motivational effects of drugs and their cues, to produce incentive-sensitization and excessive ‘wanting’? (4) Is dopamine necessary for opioid self-administration. We conclude that the answer to the question posed in the title of this paper is ‘yes’, even though there remain significant gaps in this literature that need to be filled by future studies.\n\n## Full Text\n\n\n### Introduction\nWe believe that the answer to the question posed in the title of this paper is, yes. But we recognize that answer is not without controversy. Some researchers have argued that opioid use disorder (addiction) is outside the scope of the Incentive-Sensitization Theory of Addiction (IST). For example, it has been argued that opioid drug use does not require mesolimbic dopamine-related systems that attribute incentive salience to stimuli, as posited by IST, although mesolimbic dopamine systems are implicated in addiction to psychostimulant drugs (Badiani et al. 2011; Nutt et al. 2015). Some researchers have further argued that psychostimulant drugs and opioids are preferred in such different situations that they cannot be explained by “a unitary account of addiction across drug classes”, such as IST (Badiani et al. 2011, 2019). Admittedly, the bulk of the original evidence for IST came from studies of psychostimulant drugs, such as amphetamine and cocaine. However, we believe that IST also applies to opioids and ethanol, drugs with major depressant effects (Robinson and Berridge 1993, 2025). (See Cofresi et al. 2019, 2025, for a discussion of IST in the context of alcohol use disorder). The purpose of this paper is to provide a more comprehensive examination of the evidence underlying these and other criticisms of IST than we have in the past, and to evaluate whether IST can be applied to opioid addiction.\nThe key tenets of IST are: (a) In vulnerable individuals, repeated intermittent exposure to addictive drugs produces mesocorticolimbic sensitization. This is manifest as an increase in drug-induced mesolimbic dopamine release, amongst other neural changes that contribute to mesocorticolimbic sensitization, such as increases in impact of cortico-striatal glutamate signaling, as well as mesocorticolimbic hyper-reactivity to drug cues. (b) Once induced in a vulnerable individual, mesolimbic sensitization is very persistent, lasting long after drug use is discontinued. (c) The role of mesolimbic dopamine-related systems in reward is to mediate incentive salience, a form of motivational ‘wanting’, which is especially triggered by reward cues. But dopamine-related systems do not mediate the hedonic pleasure or ‘liking’ produced by the consumption of drugs or other rewards, which is mediated by different brain circuitry. Therefore, when repeated drug exposure promotes mesolimbic sensitization, an individual undergoes a progressive and persistent increase in cue-triggered ‘wanting’ for drugs, regardless of whether drug liking remains constant or even declines. d) Finally, once incentive sensitization is induced excessive cue-triggered or imagery-triggered ‘wanting’ urges can persist for years in an addicted individual, even after drug-taking has stopped (Robinson and Berridge 1993, 2025). In the following we ask whether these tenets of IST apply to opioid addiction, similarly to addiction to psychomotor stimulant drugs, and other drugs.\nBut first we emphasize that IST does not aim to address all aspects of drug abuse and addiction, a point that will be repeated a number of times in this paper. People take opioids and other addictive drugs for many different reasons, including to alleviate the symptoms of withdrawal, reduce other distress, to fit in socially, etc. Many drug users may never develop mesolimbic sensitization (Robinson and Berridge 1993; 2025), and never become addicted in the sense that their desire for drugs takes on persistent and compulsive qualities (see Robinson and Berridge 2025 for a discussion about the sense addiction can be compulsive). Such individuals may not find it unduly difficult to give up drug use later in life after withdrawal ends and other distress is ameliorated. IST focusses specifically on those users who develop compulsive patterns of use and who remain liable to relapse despite a sincere resolution to abstain, even after a period of drug abstinence, when no longer in withdrawal, not distressed, and not expecting to gain much enjoyment from the drug. It is this transition to persistent and arguably compulsive addiction that IST aims to explain (Robinson and Berridge 2025).\nAs mentioned above, several serious objections have been raised as to whether IST applies to opioid addiction. First, it has been disputed whether mesolimbic dopamine release contributes to opioid drug use (self-administration) as it does for cocaine or amphetamine (Badiani et al. 2011, 2019; Caprioli et al. 2009). If true, this would be a problem for IST, because IST posits incentive sensitization of those mesolimbic dopamine-related systems is what produces excessive ‘wanting’ to take drugs in individuals that develop opioid addiction. For example, Badiani et al. (2011) assert, “the most fundamental difference [between psychostimulants and opioids] is that mesocorticolimbic dopamine transmission seems to be crucial for psychostimulant self-administration but not opiate self-administration”. Further, regarding mesolimbic dopamine involvement, Nutt et al. (2015) noted that, “several (PET) studies found that opiate administration was not associated with striatal dopamine release in opiate dependence. For example, a study in people addicted to heroin revealed that an intravenous dose of 50 mg of heroin had no effect on striatal dopamine levels, despite producing a euphoric high (Daglish et al. 2008). This finding was subsequently replicated in a study that additionally showed that expectation of a heroin reward (in the absence of actual heroin administration) was not associated with dopamine release (Watson et al. 2014)”. Nutt and colleagues further noted, “The induction of craving is associated with cue-induced striatal dopamine release in cocaine users, although this is not the case in individuals addicted to heroin (Watson et al. 2014)”. Thus, Nutt and colleagues concluded, “that dopamine has a central role in addiction to stimulant drugs, which act directly via the dopamine system, but that it has a less important role, if any, in mediating addiction to other drugs, particularly opiates and cannabis” (Nutt et al. 2015). Similarly, Milella et al. (2023) wrote that, “there is no evidence that heroin increases dopamine transmission in humans”. They did note that a “PET imaging study conducted in a small sample of non-opioid dependent people found that morphine produces a very small increase in dopamine receptor occupancy (about 8%), which, however, is inversely correlated with subjective ratings of ‘high’ and other measures of reward (Spagnolo et al. 2019)”. Further, although Milella et al. (2023) allow that recent rodent studies using optogenetics do implicate mesolimbic dopamine in the motivation to self-administer heroin (Corre et al. 2018; Galaj et al. 2020a), they still cautioned, “the interpretation of these findings is complicated by the difficulty of extricating the pharmacological effects of drugs from the response to conditioned stimuli paired with drug administration or self-administration”.\nIn other critiques of a shared mechanism for opioid and psychostimulant addiction, Badiani and colleagues (2019) have shown there are marked differences in how and where human drug users and rats choose to use opioids, such as heroin, versus psychostimulants, such as cocaine. They report that both human drug users and rats prefer to take opioids in a home environment but prefer to take cocaine in more stimulating settings outside the home environment (Badiani et al. 2019; Caprioli et al. 2009). Badiani and colleagues conclude that these differences in the preferred settings for opioids vs. cocaine use indicate, “fundamental differences between psychostimulant and opioid reward, as well as between psychostimulant and opiate addiction”(Montanari et al. 2015). Consequently, they suggest, “that unitary constructs of drug reward and drug addiction should be revised in the light of mounting evidence indicating distinct neurobiological underpinnings for the response to different classes of drugs” (De Luca et al. 2019). A perhaps related difference between opioids and stimulants is that trait impulsivity predicts the propensity to self-administer the latter but not the former (Cornelissen et al. 2025).\nThese critiques certainly raise questions as to whether IST can accommodate addiction to opioid drugs. We agree with certain limited points made by these critiques, but here we will suggest that the available evidence indicates that mesolimbic dopamine systems do participate in opioid use, and that IST does apply to opioid addiction. First, we fully accept Badiani and colleagues’ compelling evidence that opioids and psychomotor stimulants are preferred in very different settings. But such differences do not address the psychological or neurobiological reasons why only some vulnerable individuals develop urges to take opioids so intense as to become arguably compulsive, and why those urges may persist even in the absence of any withdrawal or other distress feelings, and often despite a sincere cognitive resolution to quit. The influence of contextual setting on drug use may very well apply to opioid users whether they have undergone mesolimbic sensitization or not, and whether or not they have become strongly addicted in the sense of still having excessive cue-triggered ‘wanting’ to take opioids even long after withdrawal is over. That is, such environmental influences on drug preferences do not address the question of what causes compulsive seeking in individuals who do become addicted in that sense, and who therefore remain liable to relapse even long after discontinuing drug use and escaping withdrawal symptoms (see Robinson and Berridge 2025 for discussion of the sense in which incentive sensitization may make addiction become compulsive). The focus of IST is not on drug use per se, but the transition to patterns of compulsive use that characterize addiction. The observation that opioids and psychomotor stimulants are preferred in different settings does not rule out the possibility that the mechanism underlying compulsive addiction may be shared by those addicted to either type of drug.\nSecond, Milella et al. (2023) suggest that that mesolimbic dopamine is not required for rodent self-administration of heroin because reported increases in dopamine (see below) may reflect the impact of drug cues (e.g., Pavlovian conditioned stimuli), rather than the pharmacological effects of the drug itself. However, it is important to note that IST actually posits drug cues to play a major role in triggering excessive ‘wanting’ and relapse in sensitized individuals (Robinson and Berridge 1993, 2025; and below). That is, as reviewed below, IST hypothesizes drug cues to trigger sensitized incentive salience, via activation of mesolimbic dopamine-related systems, and this underlies excessive motivational urges. If one wishes to understand compulsive addiction and relapse in individuals showing those features, we suggest it is a mistake to decouple the effects of drug cues on mesolimbic dopamine systems from other neurobiological effects of a drug.\nAside from the issues above, remaining criticisms of IST as it pertains to opioid drugs include that, (a) opioid drugs don’t activate dopamine systems in most studies; (b) mesolimbic sensitization is not induced by opioid drugs; (c) consequently, opioid cues are not attributed with excessive incentive salience (unlike psychostimulant cues), as measured by excessive opioid cue-triggered neurobiological activation of mesolimbic circuitry, or by excessive cue-triggered psychological attraction and craving in opioid users. Below we review evidence from studies specifically on opioid drugs, in both human and non-human animals, that are especially relevant to these issues, and thus IST. (See the Supplementary Material, Appendix 1 for a review of the literature on psychomotor sensitization produced by opioid drugs, and Appendix 2 for a discussion of whether cues associated with opioid drugs acquire the properties of incentive stimuli, that is, are attributed with incentive salience, as studied in non-human animals).\nAs an aside, it should be noted that in some papers the word “opiate” is used rather than the broader term “opioid” making it unclear whether the intention is to confine comments to extracts of the opium poppy (such as morphine or the semi-synthetic, heroin), or more generally to both naturally-occurring and synthetic opioids. Unless explicitly noted otherwise we will assume the words opiates and opioids are usually used interchangeably. Nevertheless, the distinction may still be important because as Milella et al. (2023) cautioned, “major differences in the ability to engage dopaminergic transmission are not limited to heroin and its metabolites. Even more dramatic differences are evident when opiates like morphine are compared to synthetic opioids, such as oxycodone [263]. Therefore, the pharmacological mechanisms responsible for the rewarding effects might differ greatly from one opioid agonist to another, particularly in terms of the involvement of the dopaminergic system. Lumping all opioid agonists under a single label might hinder a better understanding of opioid use disorders”. But we stress our goal is to understand the mechanisms underlying the transition to addiction, as defined above. These mechanisms may be shared across many drug classes, including naturally-occurring and synthetic opioids, as hypothesized by IST, even if the drugs differ in their immediate pharmacological effects.\n\n\n### Tenets of the incentive sensitization theory of addiction\nThe key tenets of IST are: (a) In vulnerable individuals, repeated intermittent exposure to addictive drugs produces mesocorticolimbic sensitization. This is manifest as an increase in drug-induced mesolimbic dopamine release, amongst other neural changes that contribute to mesocorticolimbic sensitization, such as increases in impact of cortico-striatal glutamate signaling, as well as mesocorticolimbic hyper-reactivity to drug cues. (b) Once induced in a vulnerable individual, mesolimbic sensitization is very persistent, lasting long after drug use is discontinued. (c) The role of mesolimbic dopamine-related systems in reward is to mediate incentive salience, a form of motivational ‘wanting’, which is especially triggered by reward cues. But dopamine-related systems do not mediate the hedonic pleasure or ‘liking’ produced by the consumption of drugs or other rewards, which is mediated by different brain circuitry. Therefore, when repeated drug exposure promotes mesolimbic sensitization, an individual undergoes a progressive and persistent increase in cue-triggered ‘wanting’ for drugs, regardless of whether drug liking remains constant or even declines. d) Finally, once incentive sensitization is induced excessive cue-triggered or imagery-triggered ‘wanting’ urges can persist for years in an addicted individual, even after drug-taking has stopped (Robinson and Berridge 1993, 2025). In the following we ask whether these tenets of IST apply to opioid addiction, similarly to addiction to psychomotor stimulant drugs, and other drugs.\nBut first we emphasize that IST does not aim to address all aspects of drug abuse and addiction, a point that will be repeated a number of times in this paper. People take opioids and other addictive drugs for many different reasons, including to alleviate the symptoms of withdrawal, reduce other distress, to fit in socially, etc. Many drug users may never develop mesolimbic sensitization (Robinson and Berridge 1993; 2025), and never become addicted in the sense that their desire for drugs takes on persistent and compulsive qualities (see Robinson and Berridge 2025 for a discussion about the sense addiction can be compulsive). Such individuals may not find it unduly difficult to give up drug use later in life after withdrawal ends and other distress is ameliorated. IST focusses specifically on those users who develop compulsive patterns of use and who remain liable to relapse despite a sincere resolution to abstain, even after a period of drug abstinence, when no longer in withdrawal, not distressed, and not expecting to gain much enjoyment from the drug. It is this transition to persistent and arguably compulsive addiction that IST aims to explain (Robinson and Berridge 2025).\n\n\n### Critiques of dopamine and IST involvement in opioid addiction\nAs mentioned above, several serious objections have been raised as to whether IST applies to opioid addiction. First, it has been disputed whether mesolimbic dopamine release contributes to opioid drug use (self-administration) as it does for cocaine or amphetamine (Badiani et al. 2011, 2019; Caprioli et al. 2009). If true, this would be a problem for IST, because IST posits incentive sensitization of those mesolimbic dopamine-related systems is what produces excessive ‘wanting’ to take drugs in individuals that develop opioid addiction. For example, Badiani et al. (2011) assert, “the most fundamental difference [between psychostimulants and opioids] is that mesocorticolimbic dopamine transmission seems to be crucial for psychostimulant self-administration but not opiate self-administration”. Further, regarding mesolimbic dopamine involvement, Nutt et al. (2015) noted that, “several (PET) studies found that opiate administration was not associated with striatal dopamine release in opiate dependence. For example, a study in people addicted to heroin revealed that an intravenous dose of 50 mg of heroin had no effect on striatal dopamine levels, despite producing a euphoric high (Daglish et al. 2008). This finding was subsequently replicated in a study that additionally showed that expectation of a heroin reward (in the absence of actual heroin administration) was not associated with dopamine release (Watson et al. 2014)”. Nutt and colleagues further noted, “The induction of craving is associated with cue-induced striatal dopamine release in cocaine users, although this is not the case in individuals addicted to heroin (Watson et al. 2014)”. Thus, Nutt and colleagues concluded, “that dopamine has a central role in addiction to stimulant drugs, which act directly via the dopamine system, but that it has a less important role, if any, in mediating addiction to other drugs, particularly opiates and cannabis” (Nutt et al. 2015). Similarly, Milella et al. (2023) wrote that, “there is no evidence that heroin increases dopamine transmission in humans”. They did note that a “PET imaging study conducted in a small sample of non-opioid dependent people found that morphine produces a very small increase in dopamine receptor occupancy (about 8%), which, however, is inversely correlated with subjective ratings of ‘high’ and other measures of reward (Spagnolo et al. 2019)”. Further, although Milella et al. (2023) allow that recent rodent studies using optogenetics do implicate mesolimbic dopamine in the motivation to self-administer heroin (Corre et al. 2018; Galaj et al. 2020a), they still cautioned, “the interpretation of these findings is complicated by the difficulty of extricating the pharmacological effects of drugs from the response to conditioned stimuli paired with drug administration or self-administration”.\nIn other critiques of a shared mechanism for opioid and psychostimulant addiction, Badiani and colleagues (2019) have shown there are marked differences in how and where human drug users and rats choose to use opioids, such as heroin, versus psychostimulants, such as cocaine. They report that both human drug users and rats prefer to take opioids in a home environment but prefer to take cocaine in more stimulating settings outside the home environment (Badiani et al. 2019; Caprioli et al. 2009). Badiani and colleagues conclude that these differences in the preferred settings for opioids vs. cocaine use indicate, “fundamental differences between psychostimulant and opioid reward, as well as between psychostimulant and opiate addiction”(Montanari et al. 2015). Consequently, they suggest, “that unitary constructs of drug reward and drug addiction should be revised in the light of mounting evidence indicating distinct neurobiological underpinnings for the response to different classes of drugs” (De Luca et al. 2019). A perhaps related difference between opioids and stimulants is that trait impulsivity predicts the propensity to self-administer the latter but not the former (Cornelissen et al. 2025).\nThese critiques certainly raise questions as to whether IST can accommodate addiction to opioid drugs. We agree with certain limited points made by these critiques, but here we will suggest that the available evidence indicates that mesolimbic dopamine systems do participate in opioid use, and that IST does apply to opioid addiction. First, we fully accept Badiani and colleagues’ compelling evidence that opioids and psychomotor stimulants are preferred in very different settings. But such differences do not address the psychological or neurobiological reasons why only some vulnerable individuals develop urges to take opioids so intense as to become arguably compulsive, and why those urges may persist even in the absence of any withdrawal or other distress feelings, and often despite a sincere cognitive resolution to quit. The influence of contextual setting on drug use may very well apply to opioid users whether they have undergone mesolimbic sensitization or not, and whether or not they have become strongly addicted in the sense of still having excessive cue-triggered ‘wanting’ to take opioids even long after withdrawal is over. That is, such environmental influences on drug preferences do not address the question of what causes compulsive seeking in individuals who do become addicted in that sense, and who therefore remain liable to relapse even long after discontinuing drug use and escaping withdrawal symptoms (see Robinson and Berridge 2025 for discussion of the sense in which incentive sensitization may make addiction become compulsive). The focus of IST is not on drug use per se, but the transition to patterns of compulsive use that characterize addiction. The observation that opioids and psychomotor stimulants are preferred in different settings does not rule out the possibility that the mechanism underlying compulsive addiction may be shared by those addicted to either type of drug.\nSecond, Milella et al. (2023) suggest that that mesolimbic dopamine is not required for rodent self-administration of heroin because reported increases in dopamine (see below) may reflect the impact of drug cues (e.g., Pavlovian conditioned stimuli), rather than the pharmacological effects of the drug itself. However, it is important to note that IST actually posits drug cues to play a major role in triggering excessive ‘wanting’ and relapse in sensitized individuals (Robinson and Berridge 1993, 2025; and below). That is, as reviewed below, IST hypothesizes drug cues to trigger sensitized incentive salience, via activation of mesolimbic dopamine-related systems, and this underlies excessive motivational urges. If one wishes to understand compulsive addiction and relapse in individuals showing those features, we suggest it is a mistake to decouple the effects of drug cues on mesolimbic dopamine systems from other neurobiological effects of a drug.\nAside from the issues above, remaining criticisms of IST as it pertains to opioid drugs include that, (a) opioid drugs don’t activate dopamine systems in most studies; (b) mesolimbic sensitization is not induced by opioid drugs; (c) consequently, opioid cues are not attributed with excessive incentive salience (unlike psychostimulant cues), as measured by excessive opioid cue-triggered neurobiological activation of mesolimbic circuitry, or by excessive cue-triggered psychological attraction and craving in opioid users. Below we review evidence from studies specifically on opioid drugs, in both human and non-human animals, that are especially relevant to these issues, and thus IST. (See the Supplementary Material, Appendix 1 for a review of the literature on psychomotor sensitization produced by opioid drugs, and Appendix 2 for a discussion of whether cues associated with opioid drugs acquire the properties of incentive stimuli, that is, are attributed with incentive salience, as studied in non-human animals).\nAs an aside, it should be noted that in some papers the word “opiate” is used rather than the broader term “opioid” making it unclear whether the intention is to confine comments to extracts of the opium poppy (such as morphine or the semi-synthetic, heroin), or more generally to both naturally-occurring and synthetic opioids. Unless explicitly noted otherwise we will assume the words opiates and opioids are usually used interchangeably. Nevertheless, the distinction may still be important because as Milella et al. (2023) cautioned, “major differences in the ability to engage dopaminergic transmission are not limited to heroin and its metabolites. Even more dramatic differences are evident when opiates like morphine are compared to synthetic opioids, such as oxycodone [263]. Therefore, the pharmacological mechanisms responsible for the rewarding effects might differ greatly from one opioid agonist to another, particularly in terms of the involvement of the dopaminergic system. Lumping all opioid agonists under a single label might hinder a better understanding of opioid use disorders”. But we stress our goal is to understand the mechanisms underlying the transition to addiction, as defined above. These mechanisms may be shared across many drug classes, including naturally-occurring and synthetic opioids, as hypothesized by IST, even if the drugs differ in their immediate pharmacological effects.\n\n\n### Do opioid drugs engage mesolimbic systems, including dopamine?\nIt has been claimed that opioid drugs fail to increase mesolimbic or mesostriatal dopamine release in humans (Nutt et al. 2015). Admittedly, there are very few PET studies on opioid-induced dopamine release in humans, compared to studies on psychostimulant drugs, and there are apparently conflicting reports. The two studies cited by Nutt et al. (2015) were from the same group, and reported that heroin or hydromorphone administration did not increase dopamine release (as assessed by a decrease in [11 C] raclopride binding) in opioid-dependent subjects who had used heroin for approximately a decade and were being maintained on methadone (Daglish et al. 2008; Watson et al. 2014). The scans were conducted 24 h after their last dose of methadone. Hagelberg et al. (2002) reported that in non-drug using subjects a steady-state infusion of an analgesic dose of alfentanil actually increased [11 C] raclopride binding in the dorsal striatum, possibly reflecting reduced dopamine release. On the other hand, Spreckelmeyer et al. (2011) reported that remifentanil did increase dopamine release in the ventral striatum of healthy control subjects, as well as in people dependent on alcohol. More recently Spagnolo et al. (2019) reported that morphine similarly increased dopamine release (that is, displaced [11 C] raclopride binding) by 8–9% in the ventral striatum and globus pallidus of healthy human subjects who previously used opioids but were not dependent (see Wai and Martinez 2019 for discussion).\nAn 8–9% change in [11 C] raclopride binding has been characterized by some as “very small” (Milella et al. 2023). But as Spagnolo et al. (2019) pointed out, citing Breier et al. (1997), “a fivefold increase in extracellular DA in the striatum was required to produce a 10% decrease in [11C] raclopride binding”. Indeed, Breier et al. (1997) reported, “the ratio of percent mean dopamine increase to percent mean striatal binding reduction for amphetamine (0.2 mg kg) was 44:1, demonstrating that relatively small binding changes reflect large changes in dopamine outflow”. Similarly, in a review of this method to estimate dopamine release in humans Laruelle (2000) pointed out that, “a large increase in extracellular DA release (range, 400% to 1,500%) is associated with a relatively small effect on radiotracer BP (decrease range, 10% to 38%), but that these effects were correlated, supporting the usefulness of the imaging paradigm in providing noninvasive measurement of DA release”. Thus, an 8–9% decrease in striatal [11 C] raclopride binding produced by morphine may reflect an increase approaching at least 5-fold in dopamine release – an increase that is quite large in our view. The relative insensitivity of PET binding measures suggests that the negative PET results should be interpreted with caution.\nWe further note a major difference between the two positive studies and the two negative ones: the negative ones were conducted in people maintained on oral methadone after being dependent on heroin for many years. We know from many preclinical studies that testing soon after the discontinuation of drug use minimizes the probability of seeing behavioral or dopamine sensitization and maximizes the probability of seeing tolerance-related effects, including reduced dopamine release. There are many preclinical studies, on both psychomotor stimulant drugs and opioids (reviewed below) that report sensitization is often not expressed when testing takes place soon after abstinence (such as 24 h). Early in abstinence, withdrawal and tolerance-related neuroadaptations can dominate and mask the expression of sensitization-related adaptations (Dalia et al. 1998), a point we have emphasized many times (e.g., Robinson and Berridge 1993; 2025; Samaha et al. 2021). We have consistently suggested that the effects of dopamine sensitization are often seen only after days to weeks of abstinence, when tolerance and withdrawal-related neuroadaptations have subsided, and when sensitization plays a major role in pathological drug ‘wanting’ that can lead to relapse.\nIn conclusion, we agree the literature on opioid-induced dopamine release in humans is scant, and somewhat contradictory, but there is at least some PET evidence that opioids can induce dopamine release at significant levels. The statement that “there is no evidence that heroin increases dopamine transmission in humans” (Milella et al. 2023) is strictly true because the two positive studies cited above were with fentanyl or morphine, not heroin. However, in our view that statement tends to overstate the situation when one considers opioids more broadly, rather than just heroin. Given the issues discussed above regarding the relative insensitivity of PET studies to detect changes in dopamine release in humans, it is also important to consider animal studies that use other, more sensitive, measures of opioid-induced changes in dopamine neurotransmission. This is discussed in the section below where we review studies in non-human animals.\nA major tenet of IST is that drug cues and contexts become attributed with excessive incentive salience by sensitized mesolimbic circuitry and consequently become attractive and potentially able to trigger increases in ‘wanting’ for drugs (also see Appendix 2 in the Supplementary Material). The intensity of cue-triggered ‘wanting’ can become disproportionately higher than ‘liking’ for the same drug in individuals who have undergone mesolimbic incentive sensitization. Thus, if IST applies to opioid addiction, opioid cues and contexts should evoke limbic hyper-reactivity in sensitized opioid users. Cue triggered hyper-reactivity in mesocorticolimbic circuitry underlying incentive salience could cause excessive ‘wanting’ urges to take opioid drugs, even in the absence of aversive withdrawal symptoms or other distress and could persist even after months or years of drug abstinence, extending the vulnerability to relapse.\nThere are many fMRI studies that have examined whether opioid cues evoke increases in the BOLD signal in the brain of addicted individuals. Opioid cues have been reported to preferentially activate many brain regions in opioid users, such as the insula, hippocampus and prefrontal, parietal, orbitofrontal and cingulate cortices (Ekhtiari et al. 2021; Kronberg et al. 2025; Langleben et al. 2008, 2014; Li et al. 2012; Liu et al. 2021; Lou et al. 2012; Sell et al. 2000; Walter et al. 2015; Yang et al. 2009), as well as mesolimbic brain regions specifically implicated in incentive motivation and reward, such as the nucleus accumbens (NAc; ventral striatum), caudate (dorsal striatum), subthalamic nucleus, amygdala and ventral tegmental area (Ekhtiari et al. 2021; Huang et al. 2024; Langleben et al. 2008, 2014; Li et al. 2013; Liu et al. 2021; Lou et al. 2012; Murphy et al. 2018; Sell et al. 1999; Shi et al. 2018; Wang et al. 2014; Wei et al. 2020; Yang et al. 2009; Zijlstra et al. 2008, 2009). Although there are similarities in the brain regions activated by drug cues in heroin and cocaine users, it has been reported there are also marked differences (also see preclinical studies below), and that there is “greater activation in dopaminergic targets for users of heroin compared to users of cocaine” (Dejoie et al. 2024). These imaging studies in humans are consistent with the effects of opioid drugs, and their cues, on immediate early gene expression in limbic structures in non-human animals (see below).\nThere is also a large literature showing that opioid cues can evoke craving in human opioid users, supporting the idea that sensitization of cue-triggered incentive salience contributes to opioid addiction (e.g., Back et al. 2014; Childress et al. 1986a, b; Daglish et al. 2001; McHugh et al. 2014; Yu et al. 2007; Zhao et al. 2012; for reviews see Hochheimer et al. 2023; Kleykamp et al. 2019; Lueptow et al. 2020; Vafaie and Kober 2022; Zilverstand et al. 2018), although there are exceptions (e.g., Wang et al. 2011). Perhaps most important, “Changes in craving … correlated positively with brain activation in the bilateral NAc, caudate, right putamen, and left ACC” (Li et al. 2012). Regarding negative results in some studies, it is important to consider that cue-triggered drug craving may be especially evident when assessed in drug-familiar contexts (i.e., not in an intimidating hospital or laboratory context), and especially as addicts, “go about their normal activities” (Preston et al. 2018), but be relatively suppressed in nondrug contexts such as an intimidating hospital setting. Contextual control of craving may reflect the ability of drug-related contexts to modulate cue-triggered incentive salience, whereby contexts that have not been associated with drug use may sometimes inhibit the expression of mesolimbic sensitization (e.g., Guillory et al. 2022; Leyton and Vezina 2013; for review). It is also worth noting that sensitized incentive salience can in some situations motivate drug seeking implicitly even in the absence of conscious craving feelings (Robinson and Berridge 2025). Interestingly, “implicit incentive effects [of opioids] can still be measured even after at least one year of abstinence” (Preller et al. 2013), although habituation to cues has been reported as well (e.g., Li et al. 2013). (See Appendix 3 for discussion of role of conscious vs. unconscious craving in relapse).\nA related question is whether subjective craving precedes relapse after a period of drug abstinence versus whether relapse can occur without subjective feelings of craving. Although this has been the topic of considerable debate over the years (e.g., Shmulewitz et al. 2023; Sripada 2022; Tiffany and Wray 2012; Vafaie and Kober 2022), several studies do suggest a significant role for craving (Li et al. 2015; Marhe et al. 2013; Saraiya et al. 2021; Vafaie and Kober 2022). For example, Marhe et al. (2013) used ecological momentary assessment procedures in heroin-dependent inpatients and found that, “relapsers reported higher levels of craving” during “temptation assessments” than non-relapsers. Saraiya et al. (2021) studied people with prescription opioid use disorder and reported “elevated cue-induced craving, either in the context of a stressor or not, is associated with shortened time to opioid use”. Biernacki et al. (2022) suggested that “craving narrows and focuses economic motivation toward the object of craving”, which could lead to renewed drug-seeking due to a particular increase in the incentive value placed on drugs, relative to alternative rewards. Consistent with this, higher craving and limbic activation evoked by opioid cues predicted eventual relapse: “compared with non-relapsers, relapsers demonstrated significantly greater cue-induced craving and the brain response mainly in the bilateral nucleus accumbens/subcallosal cortex and cerebellum” (Li et al. 2015).\nIntensified incentive salience can become very narrowly focused, so that an addictive target becomes ‘wanted’ more highly than alternative rewards (Warlow et al. 2020). In opioid users cue-triggered ‘wanting’ is typically greater to drug cues than to cues for other types of reward, consistent with the idea that sensitized incentive salience becomes narrowly focused on the opioid target. In an important fMRI study Huang et al. (2024) compared opioid drug cues to palatable food cues in heroin users and in nonuser control participants and reported that in opioid users opioid cues triggered higher activations in the nucleus accumbens, ventromedial prefrontal cortex, and other limbic structures, than did palatable food cues, whereas in healthy control participants food cues evoked greater activations than drug cues. Cue-triggered limbic hyperreactivity was confirmed on both a within-subject basis (i.e., heroin users showed higher neural activation to drug cues than to food cues) and a between-subject basis (i.e., heroin users showed higher neural activations to drug cues than healthy control participants did), consistent with incentive sensitization. Higher opioid cue-triggered activation in orbitofrontal cortex in heroin users was also positively correlated with the intensity of their subjective drug craving ratings, supporting the IST postulate that that limbic hyperreactivity to drug cues underlies more intense subjective feelings of craving in addiction. Huang et al. (2024) noted that “These results are also consistent with … the incentive-sensitization theory, which invokes the upregulation of the dopaminergic system as the underlying mechanism of drug-biased salience attribution in drug addiction” (also see Huang et al. 2025 for variation dependent on sex and hormonal state). See the section on preclinical studies below for a discussion of potential mechanisms that can narrow the focus of excessive incentive salience onto a particular target.\nIn summary, as is the case with psychomotor stimulant drugs (e.g., Koban et al. 2022; Zilverstand et al. 2018), mesocorticolimbic brain regions implicated in incentive motivation for reward, together with stronger psychological experiences of craving, are recruited by opioid cues in individuals who are most at risk of relapse (for reviews see Lueptow et al. 2020; Martucci 2024; Moningka et al. 2019; Zilverstand et al. 2018).\nReward cues attributed with incentive salience also become more able to capture attention – this is the salience component of incentive salience (e.g., Zilverstand et al. 2018). In humans, attentional capture by reward cues is often measured in eye-tracking studies, which report that reward-associated cues unduly capture attention and draw eye movements towards them even when the person is deliberately looking for something else, a phenomenon sometimes called “value-modulated attentional capture” (Le Pelley et al. 2024; see also Anderson et al. 2011a, b, 2021; Hickey and Peelen 2015; Le Pelley et al. 2015; Theeuwes 2019). As Anderson and colleagues put it, “arbitrary and otherwise neutral stimuli imbued with value via associative learning capture attention powerfully and persistently” (Anderson et al. 2011b) and once established an attentional bias to reward cues can persist for very long periods of time with no further training (Anderson and Yantis 2013). In addition, as other researchers note, “attentional prioritization of motivationally relevant information can be involuntary and inflexible” (Watson et al. 2019).\nLe Pelley et al. (2024) suggest that attentional capture by reward cues “provide a human analog of sign-tracking behavior”, which is “consistent with the concept of incentive salience: the idea that signals of desirable outcomes become salient (and hence attention-grabbing) in their own right: ‘motivational magnets’ that can come to elicit approach behavior”. Similarly, Anselme and Robinson (2020) suggest, “attentional biases in humans [are] an effect akin to sign-tracking in animals” (also see Heck et al. 2025) and recent research indicates overlapping neural mechanisms (e.g., Colaizzi et al. 2023; Duckworth et al. 2022; Schad et al. 2020; Schettino et al. 2024). (See Appendix 2 for a discussion of the properties of incentive stimuli, including sign-tracking in animals). Thus, the literature on whether there is an attentional bias towards opioid cues in opioid users can provide additional information about the extent to which such cues acquire motivational value (Wiers et al. 2020), as posited by IST. Indeed, cues associated with opioid drug use do preferentially capture attention in human opioid users, consistent with elevated incentive salience (for reviews, see Franken 2003; Wiers et al. 2020; Zhang et al. 2018).\nAttentional capture is seen even to “supraliminally presented heroin cues” (Franken et al. 2000). Thus, in a meta-analysis MacLean et al. (2018) concluded that, “individuals with OUD [opioid use disorder] exhibit robust attentional bias to opioid cues”. Further, the strength of attentional capture by opioid cues has been positively related to (a) the severity of dependence (Bearre et al. 2007), (b) the degree of craving (Franken et al. 2000; Garland et al. 2013; Waters et al. 2012), and (c) future propensity to relapse (Garland and Howard 2014; Marhe et al. 2013; Marissen et al. 2006). In some cases, successful treatment may reduce attentional biases (Constantinou et al. 2010; Marissen et al. 2006). In a related ‘motivational magnet’ phenomenon heroin users more readily “pull” heroin-related stimuli towards themselves than control participants (Zhou et al. 2012) and preferentially choose to view opioid-related images over alternatives (McClain et al. 2025; Moeller et al. 2020; Parikh et al. 2022). Of course, studies cited above showing a positive relationship between the degree of an attentional bias to opioid cues and the propensity to relapse also suggest such biases can promote actions to seek and take drugs.\nThere is very little research on the neural basis of the attentional bias specifically to opioid cues in humans, with only provisional evidence that dopamine may be required (Franken et al. 2004; for review Luijten et al. 2014). However, in rats sign-tracking (but not goal-tracking) to an opioid cue, as for a cocaine cue, is dopamine-dependent (Yager et al. 2015; see Appendix 2), and cues associated with an opioid drug produce a greater increase in the firing of VTA dopamine neurons in rats previously exposed to remifentanil than controls (Lehmann et al. 2025). In summary, the literature on attentional biases to opioid cues provide additional evidence that cues associated with opioid use acquire incentive motivational value in humans, as in non-human animals (discussed below and in Appendix 2), although to determine its relevance to IST in addicted humans requires more research on the neural basis of this phenomenon.\nRegarding potential future evidence, we might predict that opioid cues would trigger more intense fMRI mesolimbic brain activations in addicted users who are persistently vulnerable to relapse than in recreational users who are better able to give up the drug when they wish. Opioid cues might also trigger greater neostriatal or accumbens dopamine release, as measured by PET or related techniques, in persistently addicted individuals than in more casual users. If so, such observations would provide stronger empirical evidence that IST explains the transition to persistent opioid addiction in individuals who are vulnerable to mesocorticolimbic sensitization.\nGiven the limited PET evidence on the ability of opioid drugs to activate mesolimbic dopamine systems in humans, and the relative insensitivity of this method for quantifying dopamine release, it is important to evaluate animal studies that have used additional and more sensitive measures to examine this question.\nDirect evidence for opioid enhancement of dopamine activity comes from electrophysiological or fiber photometry recordings of dopamine neurons in non-human animals. Morphine (Gysling and Wang 1983; Hu et al. 2023; Jalabert et al. 2011; Matthews and German 1984; Nowycky et al. 1978) or heroin (Corre et al. 2018; Wei et al. 2018) administration increases the firing rate/activity of dopamine neurons in the VTA of rats, where mesolimbic dopamine projections originate. Furthermore, local microinjections of morphine into VTA influences the activity of neurons in the NAc by dopamine-dependent as well as by dopamine-independent mechanisms (Hakan and Henriksen 1989). Both heroin and cocaine self-administration alters the firing of neurons in the NAc, although the two drugs may engage, “distinct, but overlapping, subpopulations of neurons” in the NAc (Broomer et al. 2025; Chang et al. 1988 for review). Increased dopamine neuronal firing is traditionally thought to be due, at least in part, to opioid suppression of inhibitory GABA interneurons in the VTA that normally inhibit dopamine neurons, thus disinhibiting them (Corre et al. 2018; Johnson and North 1992; also see Juarez and Han 2016; Pearson et al. 2025; Wittenberg et al. 2025). However, several additional potential mechanisms have been proposed by which opioids might activate mesolimbic dopamine neurons (Chen et al. 2015; Galaj and Ranaldi 2021; Jalabert et al. 2011; MacLean et al. 2018; Margolis et al. 2014; Matsui and Williams 2011; McGovern et al. 2023; Reeves et al. 2021; Wu et al. 2025; for reviews see Cucinello-Ragland et al. 2026; Fields and Margolis 2015; Mathis et al. 2025).\nAs would be expected by increased firing of VTA dopamine neurons, opioid drugs, including morphine, heroin, methadone, tramadol, oxycodone and fentanyl, also increase dopamine ‘release’ in the NAc and neostriatum of animals as measured by a number of methods, including microdialysis (Acquas and Di Chiara 1992; Bassareo et al. 1996; Chefer et al. 2003; Crippens and Robinson 1994; Cui et al. 2014; Danielsson et al. 2021; Darcq et al. 2023; Di Chiara and Imperato 1988; Di Giannuario and Pieretti 2000; Fadda et al. 2003; Fu et al. 2012; George et al. 2022; Hipolito et al. 2015; Maisonneuve et al. 2001; Marinelli et al. 1998a; Mascia et al. 1999; Murphy et al. 2001; Ojanen et al. 2003; Pothos et al. 1991; Rada et al. 1991; Rouge-Pont et al. 2002; Shoaib et al. 1995; Sorge and Stewart 2006b; Sprague et al. 2002; Velasquez et al. 2019; Zocchi et al. 2003), electrochemistry (Isaacs et al. 2020; Kiyatkin et al. 1993; Spielewoy et al. 2000; Vander Weele et al. 2014; Yuen et al. 2023) or fiber photometry (Chaudun et al. 2024; Cimen and Kutlu 2025; Corre et al. 2018; Gooding et al. 2024; Hu et al. 2023; McClain et al. 2023). Very early studies also reported morphine increases dopamine metabolism (‘turnover’) measured in postmortem striatal tissue (e.g., Alper et al. 1980; Nowycky et al. 1978; Wood and Rao 1991).\nUsing microdialysis to measure the extracellular concentration of dopamine Pontieri et al. (1995) reported that morphine selectively increased dopamine levels in the shell of the NAc, and Lecca et al. (2007) found that self-administered heroin increased dopamine in the NAc shell to a greater extent than in the NAc core. Using fiber photometry Gooding et al. (2024) recently reported that morphine induces a fast and sharp increase in dopamine in the medial shell (but not lateral shell) of the NAc (also see Corre et al. 2018). The medial shell region of NAc has been especially linked to the generation of intense motivational states (Reynolds and Berridge 2002). However, using an electrochemical fast scan cyclic voltammetry (FSCV) measure, Vander Weele et al. (2014) reported morphine and oxycodone increased dopamine to a similar extent in the shell and core of the NAc. In summary, opioid drugs clearly increase dopamine in the NAc, as indicated by several measures, although there are still some questions concerning the neuroanatomical specificity of the effect (e.g., see Di Chiara 2002; Zocchi et al. 2003).\nThe temporal profile and magnitude of NAc dopamine release varies greatly as a function of which opioid drug is administered, and as mentioned above, perhaps which NAc region is sampled (Milella et al. 2023). Gooding et al. (2024) reported morphine produced a fast sharp rise in dopamine in the medial shell, but in the lateral shell the dopamine rise was relatively small, delayed and long-lasting (e.g., Acquas and Di Chiara 1992; Gottas et al. 2014; Pontieri et al. 1995). Heroin produces a faster and larger effect on striatal and NAc dopamine than typically seen with morphine (Gottas et al. 2014; Marinelli et al. 1998b), which appears to be primarily due to the action of heroin’s metabolite, 6-monoacetylmorphine (Gottas et al. 2014; Milella et al. 2023 for review) that is not shared by morphine. Importantly, widely abused synthetic opioids, including fentanyl (Chaudun et al. 2024; Yoshida et al. 1999), oxycodone (Vander Weele et al. 2014; Yuen et al. 2023), and remifentanil (Lovic et al. 2012) all produce a rapid and large increase in NAc extracellular dopamine levels (Kibaly et al. 2021 for review).\nLocal microinjections of morphine (Leone et al. 1991) or the mu-opioid receptor agonist, DAMGO (Chefer et al. 2009; Devine et al. 1993; Noel and Gratton 1995; Spanagel et al. 1992; Yoshida et al. 1993) into VTA are sufficient to increase dopamine in the NAc. This was demonstrated in a recent elegant study by McClain et al. (2023) who developed a photoactivatable form of oxymorphone, a potent mu opioid receptor agonist, and measured dopamine in the NAc using the dopamine sensor, dLight1.3b. They reported that photoactivation of oxymorphone locally in the VTA for 200 msec, “produced a large, rapid increase in extracellular dopamine that was abolished by NLX [naloxone]”. “Dopamine release began within 3 s of the flash, reached 90% of the maximum value within 10 s, and decayed over the course of several minutes” (McClain et al. 2023). These studies are important because local microinjections of morphine into the VTA are also self-administered by rats (Bozarth and Wise 1981; David et al. 2002; Devine and Wise 1994; Welzl et al. 1989), as are VTA fentanyl microinjections (van Ree and de Wied 1980), and both effects are blocked by naloxone. Furthermore, the antagonism of opioid receptors locally in the VTA increases heroin self-administration in rats, which was interpreted as indicating the “the rewarding impact of heroin was reduced” (Britt and Wise 1983). VTA self-administration implicates mesolimbic dopamine systems in the incentive motivational actions of opioids. Mice are reported to also self-administer morphine into the shell of the NAc (David et al. 2002; Goeders et al. 1984; Olds 1982), where an opioid hedonic hotspot in rostrodorsal medial shell could cause hedonic ‘liking’ as well as motivational ‘wanting’ (Castro and Berridge 2014), but not into the dorsal striatum (David and Cazala 2000; also see Vaccarino et al. 1985). Indeed, it has been reported that the injection of morphine directly into the dorsal striatum decreases dopamine (Piepponen et al. 1999). Thus, opioids may act in both the source (VTA) and chief target (NAc) of mesolimbic dopamine systems to generate reward effects.\nAnother line of evidence that indirectly supports the ability of opioid drugs to engage mesolimbic regions in a dopamine-dependent manner comes from studies of opioid induction of immediate early genes (IEGs), such as c-fos, in the ventral and dorsal striatum. The induction of IEGs is often used as an index of neuronal activation (Harlan and Garcia 1998). Systemic morphine (Chang et al. 1988; Garcia et al. 1995; Tan et al. 2024), fentanyl (Chaudun et al. 2024) or heroin (Paolone et al. 2007) all induce IEGs in the dorsal and ventral striatum, and morphine and fentanyl also induce IEGs in the VTA (Morison et al. 2025). Further, these effects are blocked by pretreatment with either a dopamine D1 antagonist or a NMDA antagonist, thus implicating both dopamine and glutamate neurotransmission in opioid induction of IEGs (Liu et al. 1994; Sharp et al. 1995). Local microinjections of morphine into the substantia nigra or VTA are similarly sufficient to induce Fos protein in the dorsal and ventral striatum, respectively (Bontempi and Sharp 1997). The ability of opioids to induce IEGs in striatal regions is also influenced by environmental context similarly to contextual control of psychomotor stimulant drug-induced IEG activation (Ferguson et al. 2004; Paolone et al. 2007). Not only can opioid drugs themselves engage striatal regions, as indicated by the induction of IEGs, but so can cues that have been associated with opioid administration (Kelley et al. 2005; Yager et al. 2015; Zhang et al. 2005). However, it is important to note that although cocaine and heroin induce IEGs in similar striatal regions there are significant differences in the exact neuronal populations that are engaged, suggesting the acute effects of cocaine and heroin are mediated by dissociable striatal circuitry (Vassilev et al. 2020; also see Browne et al. 2025; Tan et al. 2024).\nIn most of the animal studies reviewed thus far opioid drugs were administered by an experimenter and passively received by the animal, rather than actively self-administered. So, it is important to ask whether self-administered opioids also increase mesolimbic dopamine neurotransmission. There are very few studies that address this question, and the results are somewhat complicated. On one hand, heroin self-administration has been reported to increase extracellular dopamine levels in the NAc, as assessed with microdialysis (Caille et al. 2003; Sorge and Stewart 2006a; Wise et al. 1995), especially in the shell of the NAc (Lecca et al. 2007). However, others have not seen this effect using microdialysis (e.g., Gratton 1996; Hemby et al. 1995). An increase in dopamine release in the NAc during heroin self-administration has also been reported using FSCV (Xi et al. 1998; Xi and Stein 1999), although there was some individual variation in the pattern of response. Xi et al. (1998) reported, “three major electrochemical signal response patterns were seen: a monophasic response increase (8 of 14 rats), a biphasic initial signal increase followed by a decrease (3 of 14) and an initial signal decrease followed by an increase (3 of 14)”. However, after the highest dose used (0.2 mg/kg/injection), “only monophasic response increases were seen” in the dopamine signal. More recently, Higginbotham et al. (2025) used wireless in vivo fiber photometry to measure calcium transients in VTA dopamine neurons during fentanyl self-administration in rats. Although their study focused on much more, they did report that responding for fentanyl (and cue presentation), “gave rise to a sharp increase in calcium transient activity from VTA dopamine neurons”. Similarly, using fiber photometry Yang et al. (2025) reported that morphine self-administration (along with a cue) produced a fast but short (20 s) increase in “calcium-dependent GCaMP signaling in VTA DA neurons”, as did presentation of the morphine cue.\nKiyatkin and colleagues used chronoamperometry to study dopamine in rats self-administering heroin and reported that each day’s first self-administered IV injection of heroin monotonically increased the dopamine signal in the NAc (Kiyatkin et al. 1993; also see Kiyatkin 1994; and Kiyatkin 1995 for review). Further, this first-of-the-day dopamine response may have sensitized, as it increased across repeated days of heroin self-administration. Phasic increases in the dopamine signal were also seen just prior to each lever press, which it was suggested may have been due to “motivational arousal”, and in our view may have reflected incentive salience attributed to the act of drug taking. However, as Kiyatkin et al. (1993) described, “the second and subsequent injections in each session caused biphasic effects: the initial effect was a decrease in signal - a minor one when compared to the increase caused by the first injection - and this was followed by an increase that brought the signal back to or somewhat higher than the level at the time of the injection. Over the course of each 4-h session, the electrochemical signal reached and fluctuated around an elevated plateau”. So, heroin self-administration initially elevated the dopamine signal, and dopamine levels remained high with minor fluctuations throughout the session, consistent with the microdialysis studies by Wise et al. (1995) and Lecca et al. (2007). Fluctuations were seen as an initial small, brief decrease in dopamine from the initial elevation after second and subsequent injections, while the animals were akinetic, followed by a slower and larger increase that returned dopamine to the elevated plateau produced by the first infusion, or even exceeded it. A similar pattern was found using electrophysiological recordings of VTA unit activity (Kiyatkin and Rebec 1997, 2001). Thus, Kiyatkin et al. (1993) concluded, “that DA responses to rewarding heroin are modified by sensitization and conditioning” … and … “DA plays a more complex role in motivational processes than merely the ‘stamping in’ (Thorndike 1898) of stimulus-response associations”. Kiyatkin et al. (1993) further wrote, “These data also seem inconsistent with the notion that DA release is a simple correlate of the hedonic response to reinforcers (Wise 1982). Rather, they are consistent with more recent notions (e.g., Beninger and Hahn, ; Ljungberg et al. 1992; Pfaus and Phillips 1991; Stewart and de Wit 1987; Wise and Bozarth 1987), suggesting that DA release is a more complex correlate of the motivational arousal” (see Kiyatkin et al. 1993 for the references within this quotation). That is, in our terms, heroin-evoked dopamine release may increase ‘wanting’, but not ‘liking’ for heroin.\nIn summary, there are many studies in non-human animals using methods that are presumably more sensitive than PET measures in humans (e.g., Breier et al. 1997) showing that opioid drugs do increase dopamine neuronal activity and ‘release’ in the NAc. Opioid drugs and their associated cues also engage mesolimbic regions as assessed by the induction of IEGs. Nevertheless, there are marked differences in the magnitude and temporal pattern of effects of different opioids (e.g., Milella et al. 2023), and there are relatively few studies in which animals self-administer opioid drugs. It has been recently reported that different self-administration schedules result in marked differences in patterns of heroin self-administration and so it would be highly desirable to assess the effects on dopamine when self-administration procedures that mimic human patterns of use are utilized, as described by D’Ottavio et al. (2025a; discussed below). Although not impossible, it seems unlikely that opioids would increase dopamine activity in rodents but not humans. We conclude that the available evidence does not support the claim that opioid drugs fail to activate mesolimbic dopamine systems. Although there are significant gaps in the literature, there is a reasonable amount of evidence suggesting that opioid drugs do increase mesolimbic dopamine neurotransmission.\n\n\n### Studies in humans\nIt has been claimed that opioid drugs fail to increase mesolimbic or mesostriatal dopamine release in humans (Nutt et al. 2015). Admittedly, there are very few PET studies on opioid-induced dopamine release in humans, compared to studies on psychostimulant drugs, and there are apparently conflicting reports. The two studies cited by Nutt et al. (2015) were from the same group, and reported that heroin or hydromorphone administration did not increase dopamine release (as assessed by a decrease in [11 C] raclopride binding) in opioid-dependent subjects who had used heroin for approximately a decade and were being maintained on methadone (Daglish et al. 2008; Watson et al. 2014). The scans were conducted 24 h after their last dose of methadone. Hagelberg et al. (2002) reported that in non-drug using subjects a steady-state infusion of an analgesic dose of alfentanil actually increased [11 C] raclopride binding in the dorsal striatum, possibly reflecting reduced dopamine release. On the other hand, Spreckelmeyer et al. (2011) reported that remifentanil did increase dopamine release in the ventral striatum of healthy control subjects, as well as in people dependent on alcohol. More recently Spagnolo et al. (2019) reported that morphine similarly increased dopamine release (that is, displaced [11 C] raclopride binding) by 8–9% in the ventral striatum and globus pallidus of healthy human subjects who previously used opioids but were not dependent (see Wai and Martinez 2019 for discussion).\nAn 8–9% change in [11 C] raclopride binding has been characterized by some as “very small” (Milella et al. 2023). But as Spagnolo et al. (2019) pointed out, citing Breier et al. (1997), “a fivefold increase in extracellular DA in the striatum was required to produce a 10% decrease in [11C] raclopride binding”. Indeed, Breier et al. (1997) reported, “the ratio of percent mean dopamine increase to percent mean striatal binding reduction for amphetamine (0.2 mg kg) was 44:1, demonstrating that relatively small binding changes reflect large changes in dopamine outflow”. Similarly, in a review of this method to estimate dopamine release in humans Laruelle (2000) pointed out that, “a large increase in extracellular DA release (range, 400% to 1,500%) is associated with a relatively small effect on radiotracer BP (decrease range, 10% to 38%), but that these effects were correlated, supporting the usefulness of the imaging paradigm in providing noninvasive measurement of DA release”. Thus, an 8–9% decrease in striatal [11 C] raclopride binding produced by morphine may reflect an increase approaching at least 5-fold in dopamine release – an increase that is quite large in our view. The relative insensitivity of PET binding measures suggests that the negative PET results should be interpreted with caution.\nWe further note a major difference between the two positive studies and the two negative ones: the negative ones were conducted in people maintained on oral methadone after being dependent on heroin for many years. We know from many preclinical studies that testing soon after the discontinuation of drug use minimizes the probability of seeing behavioral or dopamine sensitization and maximizes the probability of seeing tolerance-related effects, including reduced dopamine release. There are many preclinical studies, on both psychomotor stimulant drugs and opioids (reviewed below) that report sensitization is often not expressed when testing takes place soon after abstinence (such as 24 h). Early in abstinence, withdrawal and tolerance-related neuroadaptations can dominate and mask the expression of sensitization-related adaptations (Dalia et al. 1998), a point we have emphasized many times (e.g., Robinson and Berridge 1993; 2025; Samaha et al. 2021). We have consistently suggested that the effects of dopamine sensitization are often seen only after days to weeks of abstinence, when tolerance and withdrawal-related neuroadaptations have subsided, and when sensitization plays a major role in pathological drug ‘wanting’ that can lead to relapse.\nIn conclusion, we agree the literature on opioid-induced dopamine release in humans is scant, and somewhat contradictory, but there is at least some PET evidence that opioids can induce dopamine release at significant levels. The statement that “there is no evidence that heroin increases dopamine transmission in humans” (Milella et al. 2023) is strictly true because the two positive studies cited above were with fentanyl or morphine, not heroin. However, in our view that statement tends to overstate the situation when one considers opioids more broadly, rather than just heroin. Given the issues discussed above regarding the relative insensitivity of PET studies to detect changes in dopamine release in humans, it is also important to consider animal studies that use other, more sensitive, measures of opioid-induced changes in dopamine neurotransmission. This is discussed in the section below where we review studies in non-human animals.\nA major tenet of IST is that drug cues and contexts become attributed with excessive incentive salience by sensitized mesolimbic circuitry and consequently become attractive and potentially able to trigger increases in ‘wanting’ for drugs (also see Appendix 2 in the Supplementary Material). The intensity of cue-triggered ‘wanting’ can become disproportionately higher than ‘liking’ for the same drug in individuals who have undergone mesolimbic incentive sensitization. Thus, if IST applies to opioid addiction, opioid cues and contexts should evoke limbic hyper-reactivity in sensitized opioid users. Cue triggered hyper-reactivity in mesocorticolimbic circuitry underlying incentive salience could cause excessive ‘wanting’ urges to take opioid drugs, even in the absence of aversive withdrawal symptoms or other distress and could persist even after months or years of drug abstinence, extending the vulnerability to relapse.\nThere are many fMRI studies that have examined whether opioid cues evoke increases in the BOLD signal in the brain of addicted individuals. Opioid cues have been reported to preferentially activate many brain regions in opioid users, such as the insula, hippocampus and prefrontal, parietal, orbitofrontal and cingulate cortices (Ekhtiari et al. 2021; Kronberg et al. 2025; Langleben et al. 2008, 2014; Li et al. 2012; Liu et al. 2021; Lou et al. 2012; Sell et al. 2000; Walter et al. 2015; Yang et al. 2009), as well as mesolimbic brain regions specifically implicated in incentive motivation and reward, such as the nucleus accumbens (NAc; ventral striatum), caudate (dorsal striatum), subthalamic nucleus, amygdala and ventral tegmental area (Ekhtiari et al. 2021; Huang et al. 2024; Langleben et al. 2008, 2014; Li et al. 2013; Liu et al. 2021; Lou et al. 2012; Murphy et al. 2018; Sell et al. 1999; Shi et al. 2018; Wang et al. 2014; Wei et al. 2020; Yang et al. 2009; Zijlstra et al. 2008, 2009). Although there are similarities in the brain regions activated by drug cues in heroin and cocaine users, it has been reported there are also marked differences (also see preclinical studies below), and that there is “greater activation in dopaminergic targets for users of heroin compared to users of cocaine” (Dejoie et al. 2024). These imaging studies in humans are consistent with the effects of opioid drugs, and their cues, on immediate early gene expression in limbic structures in non-human animals (see below).\nThere is also a large literature showing that opioid cues can evoke craving in human opioid users, supporting the idea that sensitization of cue-triggered incentive salience contributes to opioid addiction (e.g., Back et al. 2014; Childress et al. 1986a, b; Daglish et al. 2001; McHugh et al. 2014; Yu et al. 2007; Zhao et al. 2012; for reviews see Hochheimer et al. 2023; Kleykamp et al. 2019; Lueptow et al. 2020; Vafaie and Kober 2022; Zilverstand et al. 2018), although there are exceptions (e.g., Wang et al. 2011). Perhaps most important, “Changes in craving … correlated positively with brain activation in the bilateral NAc, caudate, right putamen, and left ACC” (Li et al. 2012). Regarding negative results in some studies, it is important to consider that cue-triggered drug craving may be especially evident when assessed in drug-familiar contexts (i.e., not in an intimidating hospital or laboratory context), and especially as addicts, “go about their normal activities” (Preston et al. 2018), but be relatively suppressed in nondrug contexts such as an intimidating hospital setting. Contextual control of craving may reflect the ability of drug-related contexts to modulate cue-triggered incentive salience, whereby contexts that have not been associated with drug use may sometimes inhibit the expression of mesolimbic sensitization (e.g., Guillory et al. 2022; Leyton and Vezina 2013; for review). It is also worth noting that sensitized incentive salience can in some situations motivate drug seeking implicitly even in the absence of conscious craving feelings (Robinson and Berridge 2025). Interestingly, “implicit incentive effects [of opioids] can still be measured even after at least one year of abstinence” (Preller et al. 2013), although habituation to cues has been reported as well (e.g., Li et al. 2013). (See Appendix 3 for discussion of role of conscious vs. unconscious craving in relapse).\nA related question is whether subjective craving precedes relapse after a period of drug abstinence versus whether relapse can occur without subjective feelings of craving. Although this has been the topic of considerable debate over the years (e.g., Shmulewitz et al. 2023; Sripada 2022; Tiffany and Wray 2012; Vafaie and Kober 2022), several studies do suggest a significant role for craving (Li et al. 2015; Marhe et al. 2013; Saraiya et al. 2021; Vafaie and Kober 2022). For example, Marhe et al. (2013) used ecological momentary assessment procedures in heroin-dependent inpatients and found that, “relapsers reported higher levels of craving” during “temptation assessments” than non-relapsers. Saraiya et al. (2021) studied people with prescription opioid use disorder and reported “elevated cue-induced craving, either in the context of a stressor or not, is associated with shortened time to opioid use”. Biernacki et al. (2022) suggested that “craving narrows and focuses economic motivation toward the object of craving”, which could lead to renewed drug-seeking due to a particular increase in the incentive value placed on drugs, relative to alternative rewards. Consistent with this, higher craving and limbic activation evoked by opioid cues predicted eventual relapse: “compared with non-relapsers, relapsers demonstrated significantly greater cue-induced craving and the brain response mainly in the bilateral nucleus accumbens/subcallosal cortex and cerebellum” (Li et al. 2015).\nIntensified incentive salience can become very narrowly focused, so that an addictive target becomes ‘wanted’ more highly than alternative rewards (Warlow et al. 2020). In opioid users cue-triggered ‘wanting’ is typically greater to drug cues than to cues for other types of reward, consistent with the idea that sensitized incentive salience becomes narrowly focused on the opioid target. In an important fMRI study Huang et al. (2024) compared opioid drug cues to palatable food cues in heroin users and in nonuser control participants and reported that in opioid users opioid cues triggered higher activations in the nucleus accumbens, ventromedial prefrontal cortex, and other limbic structures, than did palatable food cues, whereas in healthy control participants food cues evoked greater activations than drug cues. Cue-triggered limbic hyperreactivity was confirmed on both a within-subject basis (i.e., heroin users showed higher neural activation to drug cues than to food cues) and a between-subject basis (i.e., heroin users showed higher neural activations to drug cues than healthy control participants did), consistent with incentive sensitization. Higher opioid cue-triggered activation in orbitofrontal cortex in heroin users was also positively correlated with the intensity of their subjective drug craving ratings, supporting the IST postulate that that limbic hyperreactivity to drug cues underlies more intense subjective feelings of craving in addiction. Huang et al. (2024) noted that “These results are also consistent with … the incentive-sensitization theory, which invokes the upregulation of the dopaminergic system as the underlying mechanism of drug-biased salience attribution in drug addiction” (also see Huang et al. 2025 for variation dependent on sex and hormonal state). See the section on preclinical studies below for a discussion of potential mechanisms that can narrow the focus of excessive incentive salience onto a particular target.\nIn summary, as is the case with psychomotor stimulant drugs (e.g., Koban et al. 2022; Zilverstand et al. 2018), mesocorticolimbic brain regions implicated in incentive motivation for reward, together with stronger psychological experiences of craving, are recruited by opioid cues in individuals who are most at risk of relapse (for reviews see Lueptow et al. 2020; Martucci 2024; Moningka et al. 2019; Zilverstand et al. 2018).\nReward cues attributed with incentive salience also become more able to capture attention – this is the salience component of incentive salience (e.g., Zilverstand et al. 2018). In humans, attentional capture by reward cues is often measured in eye-tracking studies, which report that reward-associated cues unduly capture attention and draw eye movements towards them even when the person is deliberately looking for something else, a phenomenon sometimes called “value-modulated attentional capture” (Le Pelley et al. 2024; see also Anderson et al. 2011a, b, 2021; Hickey and Peelen 2015; Le Pelley et al. 2015; Theeuwes 2019). As Anderson and colleagues put it, “arbitrary and otherwise neutral stimuli imbued with value via associative learning capture attention powerfully and persistently” (Anderson et al. 2011b) and once established an attentional bias to reward cues can persist for very long periods of time with no further training (Anderson and Yantis 2013). In addition, as other researchers note, “attentional prioritization of motivationally relevant information can be involuntary and inflexible” (Watson et al. 2019).\nLe Pelley et al. (2024) suggest that attentional capture by reward cues “provide a human analog of sign-tracking behavior”, which is “consistent with the concept of incentive salience: the idea that signals of desirable outcomes become salient (and hence attention-grabbing) in their own right: ‘motivational magnets’ that can come to elicit approach behavior”. Similarly, Anselme and Robinson (2020) suggest, “attentional biases in humans [are] an effect akin to sign-tracking in animals” (also see Heck et al. 2025) and recent research indicates overlapping neural mechanisms (e.g., Colaizzi et al. 2023; Duckworth et al. 2022; Schad et al. 2020; Schettino et al. 2024). (See Appendix 2 for a discussion of the properties of incentive stimuli, including sign-tracking in animals). Thus, the literature on whether there is an attentional bias towards opioid cues in opioid users can provide additional information about the extent to which such cues acquire motivational value (Wiers et al. 2020), as posited by IST. Indeed, cues associated with opioid drug use do preferentially capture attention in human opioid users, consistent with elevated incentive salience (for reviews, see Franken 2003; Wiers et al. 2020; Zhang et al. 2018).\nAttentional capture is seen even to “supraliminally presented heroin cues” (Franken et al. 2000). Thus, in a meta-analysis MacLean et al. (2018) concluded that, “individuals with OUD [opioid use disorder] exhibit robust attentional bias to opioid cues”. Further, the strength of attentional capture by opioid cues has been positively related to (a) the severity of dependence (Bearre et al. 2007), (b) the degree of craving (Franken et al. 2000; Garland et al. 2013; Waters et al. 2012), and (c) future propensity to relapse (Garland and Howard 2014; Marhe et al. 2013; Marissen et al. 2006). In some cases, successful treatment may reduce attentional biases (Constantinou et al. 2010; Marissen et al. 2006). In a related ‘motivational magnet’ phenomenon heroin users more readily “pull” heroin-related stimuli towards themselves than control participants (Zhou et al. 2012) and preferentially choose to view opioid-related images over alternatives (McClain et al. 2025; Moeller et al. 2020; Parikh et al. 2022). Of course, studies cited above showing a positive relationship between the degree of an attentional bias to opioid cues and the propensity to relapse also suggest such biases can promote actions to seek and take drugs.\nThere is very little research on the neural basis of the attentional bias specifically to opioid cues in humans, with only provisional evidence that dopamine may be required (Franken et al. 2004; for review Luijten et al. 2014). However, in rats sign-tracking (but not goal-tracking) to an opioid cue, as for a cocaine cue, is dopamine-dependent (Yager et al. 2015; see Appendix 2), and cues associated with an opioid drug produce a greater increase in the firing of VTA dopamine neurons in rats previously exposed to remifentanil than controls (Lehmann et al. 2025). In summary, the literature on attentional biases to opioid cues provide additional evidence that cues associated with opioid use acquire incentive motivational value in humans, as in non-human animals (discussed below and in Appendix 2), although to determine its relevance to IST in addicted humans requires more research on the neural basis of this phenomenon.\nRegarding potential future evidence, we might predict that opioid cues would trigger more intense fMRI mesolimbic brain activations in addicted users who are persistently vulnerable to relapse than in recreational users who are better able to give up the drug when they wish. Opioid cues might also trigger greater neostriatal or accumbens dopamine release, as measured by PET or related techniques, in persistently addicted individuals than in more casual users. If so, such observations would provide stronger empirical evidence that IST explains the transition to persistent opioid addiction in individuals who are vulnerable to mesocorticolimbic sensitization.\n\n\n### Dopamine\nIt has been claimed that opioid drugs fail to increase mesolimbic or mesostriatal dopamine release in humans (Nutt et al. 2015). Admittedly, there are very few PET studies on opioid-induced dopamine release in humans, compared to studies on psychostimulant drugs, and there are apparently conflicting reports. The two studies cited by Nutt et al. (2015) were from the same group, and reported that heroin or hydromorphone administration did not increase dopamine release (as assessed by a decrease in [11 C] raclopride binding) in opioid-dependent subjects who had used heroin for approximately a decade and were being maintained on methadone (Daglish et al. 2008; Watson et al. 2014). The scans were conducted 24 h after their last dose of methadone. Hagelberg et al. (2002) reported that in non-drug using subjects a steady-state infusion of an analgesic dose of alfentanil actually increased [11 C] raclopride binding in the dorsal striatum, possibly reflecting reduced dopamine release. On the other hand, Spreckelmeyer et al. (2011) reported that remifentanil did increase dopamine release in the ventral striatum of healthy control subjects, as well as in people dependent on alcohol. More recently Spagnolo et al. (2019) reported that morphine similarly increased dopamine release (that is, displaced [11 C] raclopride binding) by 8–9% in the ventral striatum and globus pallidus of healthy human subjects who previously used opioids but were not dependent (see Wai and Martinez 2019 for discussion).\nAn 8–9% change in [11 C] raclopride binding has been characterized by some as “very small” (Milella et al. 2023). But as Spagnolo et al. (2019) pointed out, citing Breier et al. (1997), “a fivefold increase in extracellular DA in the striatum was required to produce a 10% decrease in [11C] raclopride binding”. Indeed, Breier et al. (1997) reported, “the ratio of percent mean dopamine increase to percent mean striatal binding reduction for amphetamine (0.2 mg kg) was 44:1, demonstrating that relatively small binding changes reflect large changes in dopamine outflow”. Similarly, in a review of this method to estimate dopamine release in humans Laruelle (2000) pointed out that, “a large increase in extracellular DA release (range, 400% to 1,500%) is associated with a relatively small effect on radiotracer BP (decrease range, 10% to 38%), but that these effects were correlated, supporting the usefulness of the imaging paradigm in providing noninvasive measurement of DA release”. Thus, an 8–9% decrease in striatal [11 C] raclopride binding produced by morphine may reflect an increase approaching at least 5-fold in dopamine release – an increase that is quite large in our view. The relative insensitivity of PET binding measures suggests that the negative PET results should be interpreted with caution.\nWe further note a major difference between the two positive studies and the two negative ones: the negative ones were conducted in people maintained on oral methadone after being dependent on heroin for many years. We know from many preclinical studies that testing soon after the discontinuation of drug use minimizes the probability of seeing behavioral or dopamine sensitization and maximizes the probability of seeing tolerance-related effects, including reduced dopamine release. There are many preclinical studies, on both psychomotor stimulant drugs and opioids (reviewed below) that report sensitization is often not expressed when testing takes place soon after abstinence (such as 24 h). Early in abstinence, withdrawal and tolerance-related neuroadaptations can dominate and mask the expression of sensitization-related adaptations (Dalia et al. 1998), a point we have emphasized many times (e.g., Robinson and Berridge 1993; 2025; Samaha et al. 2021). We have consistently suggested that the effects of dopamine sensitization are often seen only after days to weeks of abstinence, when tolerance and withdrawal-related neuroadaptations have subsided, and when sensitization plays a major role in pathological drug ‘wanting’ that can lead to relapse.\nIn conclusion, we agree the literature on opioid-induced dopamine release in humans is scant, and somewhat contradictory, but there is at least some PET evidence that opioids can induce dopamine release at significant levels. The statement that “there is no evidence that heroin increases dopamine transmission in humans” (Milella et al. 2023) is strictly true because the two positive studies cited above were with fentanyl or morphine, not heroin. However, in our view that statement tends to overstate the situation when one considers opioids more broadly, rather than just heroin. Given the issues discussed above regarding the relative insensitivity of PET studies to detect changes in dopamine release in humans, it is also important to consider animal studies that use other, more sensitive, measures of opioid-induced changes in dopamine neurotransmission. This is discussed in the section below where we review studies in non-human animals.\n\n\n### Sensitized opioid cue-evoked craving and neural correlates in humans\nA major tenet of IST is that drug cues and contexts become attributed with excessive incentive salience by sensitized mesolimbic circuitry and consequently become attractive and potentially able to trigger increases in ‘wanting’ for drugs (also see Appendix 2 in the Supplementary Material). The intensity of cue-triggered ‘wanting’ can become disproportionately higher than ‘liking’ for the same drug in individuals who have undergone mesolimbic incentive sensitization. Thus, if IST applies to opioid addiction, opioid cues and contexts should evoke limbic hyper-reactivity in sensitized opioid users. Cue triggered hyper-reactivity in mesocorticolimbic circuitry underlying incentive salience could cause excessive ‘wanting’ urges to take opioid drugs, even in the absence of aversive withdrawal symptoms or other distress and could persist even after months or years of drug abstinence, extending the vulnerability to relapse.\nThere are many fMRI studies that have examined whether opioid cues evoke increases in the BOLD signal in the brain of addicted individuals. Opioid cues have been reported to preferentially activate many brain regions in opioid users, such as the insula, hippocampus and prefrontal, parietal, orbitofrontal and cingulate cortices (Ekhtiari et al. 2021; Kronberg et al. 2025; Langleben et al. 2008, 2014; Li et al. 2012; Liu et al. 2021; Lou et al. 2012; Sell et al. 2000; Walter et al. 2015; Yang et al. 2009), as well as mesolimbic brain regions specifically implicated in incentive motivation and reward, such as the nucleus accumbens (NAc; ventral striatum), caudate (dorsal striatum), subthalamic nucleus, amygdala and ventral tegmental area (Ekhtiari et al. 2021; Huang et al. 2024; Langleben et al. 2008, 2014; Li et al. 2013; Liu et al. 2021; Lou et al. 2012; Murphy et al. 2018; Sell et al. 1999; Shi et al. 2018; Wang et al. 2014; Wei et al. 2020; Yang et al. 2009; Zijlstra et al. 2008, 2009). Although there are similarities in the brain regions activated by drug cues in heroin and cocaine users, it has been reported there are also marked differences (also see preclinical studies below), and that there is “greater activation in dopaminergic targets for users of heroin compared to users of cocaine” (Dejoie et al. 2024). These imaging studies in humans are consistent with the effects of opioid drugs, and their cues, on immediate early gene expression in limbic structures in non-human animals (see below).\nThere is also a large literature showing that opioid cues can evoke craving in human opioid users, supporting the idea that sensitization of cue-triggered incentive salience contributes to opioid addiction (e.g., Back et al. 2014; Childress et al. 1986a, b; Daglish et al. 2001; McHugh et al. 2014; Yu et al. 2007; Zhao et al. 2012; for reviews see Hochheimer et al. 2023; Kleykamp et al. 2019; Lueptow et al. 2020; Vafaie and Kober 2022; Zilverstand et al. 2018), although there are exceptions (e.g., Wang et al. 2011). Perhaps most important, “Changes in craving … correlated positively with brain activation in the bilateral NAc, caudate, right putamen, and left ACC” (Li et al. 2012). Regarding negative results in some studies, it is important to consider that cue-triggered drug craving may be especially evident when assessed in drug-familiar contexts (i.e., not in an intimidating hospital or laboratory context), and especially as addicts, “go about their normal activities” (Preston et al. 2018), but be relatively suppressed in nondrug contexts such as an intimidating hospital setting. Contextual control of craving may reflect the ability of drug-related contexts to modulate cue-triggered incentive salience, whereby contexts that have not been associated with drug use may sometimes inhibit the expression of mesolimbic sensitization (e.g., Guillory et al. 2022; Leyton and Vezina 2013; for review). It is also worth noting that sensitized incentive salience can in some situations motivate drug seeking implicitly even in the absence of conscious craving feelings (Robinson and Berridge 2025). Interestingly, “implicit incentive effects [of opioids] can still be measured even after at least one year of abstinence” (Preller et al. 2013), although habituation to cues has been reported as well (e.g., Li et al. 2013). (See Appendix 3 for discussion of role of conscious vs. unconscious craving in relapse).\nA related question is whether subjective craving precedes relapse after a period of drug abstinence versus whether relapse can occur without subjective feelings of craving. Although this has been the topic of considerable debate over the years (e.g., Shmulewitz et al. 2023; Sripada 2022; Tiffany and Wray 2012; Vafaie and Kober 2022), several studies do suggest a significant role for craving (Li et al. 2015; Marhe et al. 2013; Saraiya et al. 2021; Vafaie and Kober 2022). For example, Marhe et al. (2013) used ecological momentary assessment procedures in heroin-dependent inpatients and found that, “relapsers reported higher levels of craving” during “temptation assessments” than non-relapsers. Saraiya et al. (2021) studied people with prescription opioid use disorder and reported “elevated cue-induced craving, either in the context of a stressor or not, is associated with shortened time to opioid use”. Biernacki et al. (2022) suggested that “craving narrows and focuses economic motivation toward the object of craving”, which could lead to renewed drug-seeking due to a particular increase in the incentive value placed on drugs, relative to alternative rewards. Consistent with this, higher craving and limbic activation evoked by opioid cues predicted eventual relapse: “compared with non-relapsers, relapsers demonstrated significantly greater cue-induced craving and the brain response mainly in the bilateral nucleus accumbens/subcallosal cortex and cerebellum” (Li et al. 2015).\nIntensified incentive salience can become very narrowly focused, so that an addictive target becomes ‘wanted’ more highly than alternative rewards (Warlow et al. 2020). In opioid users cue-triggered ‘wanting’ is typically greater to drug cues than to cues for other types of reward, consistent with the idea that sensitized incentive salience becomes narrowly focused on the opioid target. In an important fMRI study Huang et al. (2024) compared opioid drug cues to palatable food cues in heroin users and in nonuser control participants and reported that in opioid users opioid cues triggered higher activations in the nucleus accumbens, ventromedial prefrontal cortex, and other limbic structures, than did palatable food cues, whereas in healthy control participants food cues evoked greater activations than drug cues. Cue-triggered limbic hyperreactivity was confirmed on both a within-subject basis (i.e., heroin users showed higher neural activation to drug cues than to food cues) and a between-subject basis (i.e., heroin users showed higher neural activations to drug cues than healthy control participants did), consistent with incentive sensitization. Higher opioid cue-triggered activation in orbitofrontal cortex in heroin users was also positively correlated with the intensity of their subjective drug craving ratings, supporting the IST postulate that that limbic hyperreactivity to drug cues underlies more intense subjective feelings of craving in addiction. Huang et al. (2024) noted that “These results are also consistent with … the incentive-sensitization theory, which invokes the upregulation of the dopaminergic system as the underlying mechanism of drug-biased salience attribution in drug addiction” (also see Huang et al. 2025 for variation dependent on sex and hormonal state). See the section on preclinical studies below for a discussion of potential mechanisms that can narrow the focus of excessive incentive salience onto a particular target.\nIn summary, as is the case with psychomotor stimulant drugs (e.g., Koban et al. 2022; Zilverstand et al. 2018), mesocorticolimbic brain regions implicated in incentive motivation for reward, together with stronger psychological experiences of craving, are recruited by opioid cues in individuals who are most at risk of relapse (for reviews see Lueptow et al. 2020; Martucci 2024; Moningka et al. 2019; Zilverstand et al. 2018).\n\n\n### Opioid cue-evoked attentional capture in humans\nReward cues attributed with incentive salience also become more able to capture attention – this is the salience component of incentive salience (e.g., Zilverstand et al. 2018). In humans, attentional capture by reward cues is often measured in eye-tracking studies, which report that reward-associated cues unduly capture attention and draw eye movements towards them even when the person is deliberately looking for something else, a phenomenon sometimes called “value-modulated attentional capture” (Le Pelley et al. 2024; see also Anderson et al. 2011a, b, 2021; Hickey and Peelen 2015; Le Pelley et al. 2015; Theeuwes 2019). As Anderson and colleagues put it, “arbitrary and otherwise neutral stimuli imbued with value via associative learning capture attention powerfully and persistently” (Anderson et al. 2011b) and once established an attentional bias to reward cues can persist for very long periods of time with no further training (Anderson and Yantis 2013). In addition, as other researchers note, “attentional prioritization of motivationally relevant information can be involuntary and inflexible” (Watson et al. 2019).\nLe Pelley et al. (2024) suggest that attentional capture by reward cues “provide a human analog of sign-tracking behavior”, which is “consistent with the concept of incentive salience: the idea that signals of desirable outcomes become salient (and hence attention-grabbing) in their own right: ‘motivational magnets’ that can come to elicit approach behavior”. Similarly, Anselme and Robinson (2020) suggest, “attentional biases in humans [are] an effect akin to sign-tracking in animals” (also see Heck et al. 2025) and recent research indicates overlapping neural mechanisms (e.g., Colaizzi et al. 2023; Duckworth et al. 2022; Schad et al. 2020; Schettino et al. 2024). (See Appendix 2 for a discussion of the properties of incentive stimuli, including sign-tracking in animals). Thus, the literature on whether there is an attentional bias towards opioid cues in opioid users can provide additional information about the extent to which such cues acquire motivational value (Wiers et al. 2020), as posited by IST. Indeed, cues associated with opioid drug use do preferentially capture attention in human opioid users, consistent with elevated incentive salience (for reviews, see Franken 2003; Wiers et al. 2020; Zhang et al. 2018).\nAttentional capture is seen even to “supraliminally presented heroin cues” (Franken et al. 2000). Thus, in a meta-analysis MacLean et al. (2018) concluded that, “individuals with OUD [opioid use disorder] exhibit robust attentional bias to opioid cues”. Further, the strength of attentional capture by opioid cues has been positively related to (a) the severity of dependence (Bearre et al. 2007), (b) the degree of craving (Franken et al. 2000; Garland et al. 2013; Waters et al. 2012), and (c) future propensity to relapse (Garland and Howard 2014; Marhe et al. 2013; Marissen et al. 2006). In some cases, successful treatment may reduce attentional biases (Constantinou et al. 2010; Marissen et al. 2006). In a related ‘motivational magnet’ phenomenon heroin users more readily “pull” heroin-related stimuli towards themselves than control participants (Zhou et al. 2012) and preferentially choose to view opioid-related images over alternatives (McClain et al. 2025; Moeller et al. 2020; Parikh et al. 2022). Of course, studies cited above showing a positive relationship between the degree of an attentional bias to opioid cues and the propensity to relapse also suggest such biases can promote actions to seek and take drugs.\nThere is very little research on the neural basis of the attentional bias specifically to opioid cues in humans, with only provisional evidence that dopamine may be required (Franken et al. 2004; for review Luijten et al. 2014). However, in rats sign-tracking (but not goal-tracking) to an opioid cue, as for a cocaine cue, is dopamine-dependent (Yager et al. 2015; see Appendix 2), and cues associated with an opioid drug produce a greater increase in the firing of VTA dopamine neurons in rats previously exposed to remifentanil than controls (Lehmann et al. 2025). In summary, the literature on attentional biases to opioid cues provide additional evidence that cues associated with opioid use acquire incentive motivational value in humans, as in non-human animals (discussed below and in Appendix 2), although to determine its relevance to IST in addicted humans requires more research on the neural basis of this phenomenon.\nRegarding potential future evidence, we might predict that opioid cues would trigger more intense fMRI mesolimbic brain activations in addicted users who are persistently vulnerable to relapse than in recreational users who are better able to give up the drug when they wish. Opioid cues might also trigger greater neostriatal or accumbens dopamine release, as measured by PET or related techniques, in persistently addicted individuals than in more casual users. If so, such observations would provide stronger empirical evidence that IST explains the transition to persistent opioid addiction in individuals who are vulnerable to mesocorticolimbic sensitization.\n\n\n### Studies in non-human animals\nGiven the limited PET evidence on the ability of opioid drugs to activate mesolimbic dopamine systems in humans, and the relative insensitivity of this method for quantifying dopamine release, it is important to evaluate animal studies that have used additional and more sensitive measures to examine this question.\nDirect evidence for opioid enhancement of dopamine activity comes from electrophysiological or fiber photometry recordings of dopamine neurons in non-human animals. Morphine (Gysling and Wang 1983; Hu et al. 2023; Jalabert et al. 2011; Matthews and German 1984; Nowycky et al. 1978) or heroin (Corre et al. 2018; Wei et al. 2018) administration increases the firing rate/activity of dopamine neurons in the VTA of rats, where mesolimbic dopamine projections originate. Furthermore, local microinjections of morphine into VTA influences the activity of neurons in the NAc by dopamine-dependent as well as by dopamine-independent mechanisms (Hakan and Henriksen 1989). Both heroin and cocaine self-administration alters the firing of neurons in the NAc, although the two drugs may engage, “distinct, but overlapping, subpopulations of neurons” in the NAc (Broomer et al. 2025; Chang et al. 1988 for review). Increased dopamine neuronal firing is traditionally thought to be due, at least in part, to opioid suppression of inhibitory GABA interneurons in the VTA that normally inhibit dopamine neurons, thus disinhibiting them (Corre et al. 2018; Johnson and North 1992; also see Juarez and Han 2016; Pearson et al. 2025; Wittenberg et al. 2025). However, several additional potential mechanisms have been proposed by which opioids might activate mesolimbic dopamine neurons (Chen et al. 2015; Galaj and Ranaldi 2021; Jalabert et al. 2011; MacLean et al. 2018; Margolis et al. 2014; Matsui and Williams 2011; McGovern et al. 2023; Reeves et al. 2021; Wu et al. 2025; for reviews see Cucinello-Ragland et al. 2026; Fields and Margolis 2015; Mathis et al. 2025).\nAs would be expected by increased firing of VTA dopamine neurons, opioid drugs, including morphine, heroin, methadone, tramadol, oxycodone and fentanyl, also increase dopamine ‘release’ in the NAc and neostriatum of animals as measured by a number of methods, including microdialysis (Acquas and Di Chiara 1992; Bassareo et al. 1996; Chefer et al. 2003; Crippens and Robinson 1994; Cui et al. 2014; Danielsson et al. 2021; Darcq et al. 2023; Di Chiara and Imperato 1988; Di Giannuario and Pieretti 2000; Fadda et al. 2003; Fu et al. 2012; George et al. 2022; Hipolito et al. 2015; Maisonneuve et al. 2001; Marinelli et al. 1998a; Mascia et al. 1999; Murphy et al. 2001; Ojanen et al. 2003; Pothos et al. 1991; Rada et al. 1991; Rouge-Pont et al. 2002; Shoaib et al. 1995; Sorge and Stewart 2006b; Sprague et al. 2002; Velasquez et al. 2019; Zocchi et al. 2003), electrochemistry (Isaacs et al. 2020; Kiyatkin et al. 1993; Spielewoy et al. 2000; Vander Weele et al. 2014; Yuen et al. 2023) or fiber photometry (Chaudun et al. 2024; Cimen and Kutlu 2025; Corre et al. 2018; Gooding et al. 2024; Hu et al. 2023; McClain et al. 2023). Very early studies also reported morphine increases dopamine metabolism (‘turnover’) measured in postmortem striatal tissue (e.g., Alper et al. 1980; Nowycky et al. 1978; Wood and Rao 1991).\nUsing microdialysis to measure the extracellular concentration of dopamine Pontieri et al. (1995) reported that morphine selectively increased dopamine levels in the shell of the NAc, and Lecca et al. (2007) found that self-administered heroin increased dopamine in the NAc shell to a greater extent than in the NAc core. Using fiber photometry Gooding et al. (2024) recently reported that morphine induces a fast and sharp increase in dopamine in the medial shell (but not lateral shell) of the NAc (also see Corre et al. 2018). The medial shell region of NAc has been especially linked to the generation of intense motivational states (Reynolds and Berridge 2002). However, using an electrochemical fast scan cyclic voltammetry (FSCV) measure, Vander Weele et al. (2014) reported morphine and oxycodone increased dopamine to a similar extent in the shell and core of the NAc. In summary, opioid drugs clearly increase dopamine in the NAc, as indicated by several measures, although there are still some questions concerning the neuroanatomical specificity of the effect (e.g., see Di Chiara 2002; Zocchi et al. 2003).\nThe temporal profile and magnitude of NAc dopamine release varies greatly as a function of which opioid drug is administered, and as mentioned above, perhaps which NAc region is sampled (Milella et al. 2023). Gooding et al. (2024) reported morphine produced a fast sharp rise in dopamine in the medial shell, but in the lateral shell the dopamine rise was relatively small, delayed and long-lasting (e.g., Acquas and Di Chiara 1992; Gottas et al. 2014; Pontieri et al. 1995). Heroin produces a faster and larger effect on striatal and NAc dopamine than typically seen with morphine (Gottas et al. 2014; Marinelli et al. 1998b), which appears to be primarily due to the action of heroin’s metabolite, 6-monoacetylmorphine (Gottas et al. 2014; Milella et al. 2023 for review) that is not shared by morphine. Importantly, widely abused synthetic opioids, including fentanyl (Chaudun et al. 2024; Yoshida et al. 1999), oxycodone (Vander Weele et al. 2014; Yuen et al. 2023), and remifentanil (Lovic et al. 2012) all produce a rapid and large increase in NAc extracellular dopamine levels (Kibaly et al. 2021 for review).\nLocal microinjections of morphine (Leone et al. 1991) or the mu-opioid receptor agonist, DAMGO (Chefer et al. 2009; Devine et al. 1993; Noel and Gratton 1995; Spanagel et al. 1992; Yoshida et al. 1993) into VTA are sufficient to increase dopamine in the NAc. This was demonstrated in a recent elegant study by McClain et al. (2023) who developed a photoactivatable form of oxymorphone, a potent mu opioid receptor agonist, and measured dopamine in the NAc using the dopamine sensor, dLight1.3b. They reported that photoactivation of oxymorphone locally in the VTA for 200 msec, “produced a large, rapid increase in extracellular dopamine that was abolished by NLX [naloxone]”. “Dopamine release began within 3 s of the flash, reached 90% of the maximum value within 10 s, and decayed over the course of several minutes” (McClain et al. 2023). These studies are important because local microinjections of morphine into the VTA are also self-administered by rats (Bozarth and Wise 1981; David et al. 2002; Devine and Wise 1994; Welzl et al. 1989), as are VTA fentanyl microinjections (van Ree and de Wied 1980), and both effects are blocked by naloxone. Furthermore, the antagonism of opioid receptors locally in the VTA increases heroin self-administration in rats, which was interpreted as indicating the “the rewarding impact of heroin was reduced” (Britt and Wise 1983). VTA self-administration implicates mesolimbic dopamine systems in the incentive motivational actions of opioids. Mice are reported to also self-administer morphine into the shell of the NAc (David et al. 2002; Goeders et al. 1984; Olds 1982), where an opioid hedonic hotspot in rostrodorsal medial shell could cause hedonic ‘liking’ as well as motivational ‘wanting’ (Castro and Berridge 2014), but not into the dorsal striatum (David and Cazala 2000; also see Vaccarino et al. 1985). Indeed, it has been reported that the injection of morphine directly into the dorsal striatum decreases dopamine (Piepponen et al. 1999). Thus, opioids may act in both the source (VTA) and chief target (NAc) of mesolimbic dopamine systems to generate reward effects.\nAnother line of evidence that indirectly supports the ability of opioid drugs to engage mesolimbic regions in a dopamine-dependent manner comes from studies of opioid induction of immediate early genes (IEGs), such as c-fos, in the ventral and dorsal striatum. The induction of IEGs is often used as an index of neuronal activation (Harlan and Garcia 1998). Systemic morphine (Chang et al. 1988; Garcia et al. 1995; Tan et al. 2024), fentanyl (Chaudun et al. 2024) or heroin (Paolone et al. 2007) all induce IEGs in the dorsal and ventral striatum, and morphine and fentanyl also induce IEGs in the VTA (Morison et al. 2025). Further, these effects are blocked by pretreatment with either a dopamine D1 antagonist or a NMDA antagonist, thus implicating both dopamine and glutamate neurotransmission in opioid induction of IEGs (Liu et al. 1994; Sharp et al. 1995). Local microinjections of morphine into the substantia nigra or VTA are similarly sufficient to induce Fos protein in the dorsal and ventral striatum, respectively (Bontempi and Sharp 1997). The ability of opioids to induce IEGs in striatal regions is also influenced by environmental context similarly to contextual control of psychomotor stimulant drug-induced IEG activation (Ferguson et al. 2004; Paolone et al. 2007). Not only can opioid drugs themselves engage striatal regions, as indicated by the induction of IEGs, but so can cues that have been associated with opioid administration (Kelley et al. 2005; Yager et al. 2015; Zhang et al. 2005). However, it is important to note that although cocaine and heroin induce IEGs in similar striatal regions there are significant differences in the exact neuronal populations that are engaged, suggesting the acute effects of cocaine and heroin are mediated by dissociable striatal circuitry (Vassilev et al. 2020; also see Browne et al. 2025; Tan et al. 2024).\nIn most of the animal studies reviewed thus far opioid drugs were administered by an experimenter and passively received by the animal, rather than actively self-administered. So, it is important to ask whether self-administered opioids also increase mesolimbic dopamine neurotransmission. There are very few studies that address this question, and the results are somewhat complicated. On one hand, heroin self-administration has been reported to increase extracellular dopamine levels in the NAc, as assessed with microdialysis (Caille et al. 2003; Sorge and Stewart 2006a; Wise et al. 1995), especially in the shell of the NAc (Lecca et al. 2007). However, others have not seen this effect using microdialysis (e.g., Gratton 1996; Hemby et al. 1995). An increase in dopamine release in the NAc during heroin self-administration has also been reported using FSCV (Xi et al. 1998; Xi and Stein 1999), although there was some individual variation in the pattern of response. Xi et al. (1998) reported, “three major electrochemical signal response patterns were seen: a monophasic response increase (8 of 14 rats), a biphasic initial signal increase followed by a decrease (3 of 14) and an initial signal decrease followed by an increase (3 of 14)”. However, after the highest dose used (0.2 mg/kg/injection), “only monophasic response increases were seen” in the dopamine signal. More recently, Higginbotham et al. (2025) used wireless in vivo fiber photometry to measure calcium transients in VTA dopamine neurons during fentanyl self-administration in rats. Although their study focused on much more, they did report that responding for fentanyl (and cue presentation), “gave rise to a sharp increase in calcium transient activity from VTA dopamine neurons”. Similarly, using fiber photometry Yang et al. (2025) reported that morphine self-administration (along with a cue) produced a fast but short (20 s) increase in “calcium-dependent GCaMP signaling in VTA DA neurons”, as did presentation of the morphine cue.\nKiyatkin and colleagues used chronoamperometry to study dopamine in rats self-administering heroin and reported that each day’s first self-administered IV injection of heroin monotonically increased the dopamine signal in the NAc (Kiyatkin et al. 1993; also see Kiyatkin 1994; and Kiyatkin 1995 for review). Further, this first-of-the-day dopamine response may have sensitized, as it increased across repeated days of heroin self-administration. Phasic increases in the dopamine signal were also seen just prior to each lever press, which it was suggested may have been due to “motivational arousal”, and in our view may have reflected incentive salience attributed to the act of drug taking. However, as Kiyatkin et al. (1993) described, “the second and subsequent injections in each session caused biphasic effects: the initial effect was a decrease in signal - a minor one when compared to the increase caused by the first injection - and this was followed by an increase that brought the signal back to or somewhat higher than the level at the time of the injection. Over the course of each 4-h session, the electrochemical signal reached and fluctuated around an elevated plateau”. So, heroin self-administration initially elevated the dopamine signal, and dopamine levels remained high with minor fluctuations throughout the session, consistent with the microdialysis studies by Wise et al. (1995) and Lecca et al. (2007). Fluctuations were seen as an initial small, brief decrease in dopamine from the initial elevation after second and subsequent injections, while the animals were akinetic, followed by a slower and larger increase that returned dopamine to the elevated plateau produced by the first infusion, or even exceeded it. A similar pattern was found using electrophysiological recordings of VTA unit activity (Kiyatkin and Rebec 1997, 2001). Thus, Kiyatkin et al. (1993) concluded, “that DA responses to rewarding heroin are modified by sensitization and conditioning” … and … “DA plays a more complex role in motivational processes than merely the ‘stamping in’ (Thorndike 1898) of stimulus-response associations”. Kiyatkin et al. (1993) further wrote, “These data also seem inconsistent with the notion that DA release is a simple correlate of the hedonic response to reinforcers (Wise 1982). Rather, they are consistent with more recent notions (e.g., Beninger and Hahn, ; Ljungberg et al. 1992; Pfaus and Phillips 1991; Stewart and de Wit 1987; Wise and Bozarth 1987), suggesting that DA release is a more complex correlate of the motivational arousal” (see Kiyatkin et al. 1993 for the references within this quotation). That is, in our terms, heroin-evoked dopamine release may increase ‘wanting’, but not ‘liking’ for heroin.\nIn summary, there are many studies in non-human animals using methods that are presumably more sensitive than PET measures in humans (e.g., Breier et al. 1997) showing that opioid drugs do increase dopamine neuronal activity and ‘release’ in the NAc. Opioid drugs and their associated cues also engage mesolimbic regions as assessed by the induction of IEGs. Nevertheless, there are marked differences in the magnitude and temporal pattern of effects of different opioids (e.g., Milella et al. 2023), and there are relatively few studies in which animals self-administer opioid drugs. It has been recently reported that different self-administration schedules result in marked differences in patterns of heroin self-administration and so it would be highly desirable to assess the effects on dopamine when self-administration procedures that mimic human patterns of use are utilized, as described by D’Ottavio et al. (2025a; discussed below). Although not impossible, it seems unlikely that opioids would increase dopamine activity in rodents but not humans. We conclude that the available evidence does not support the claim that opioid drugs fail to activate mesolimbic dopamine systems. Although there are significant gaps in the literature, there is a reasonable amount of evidence suggesting that opioid drugs do increase mesolimbic dopamine neurotransmission.\n\n\n### Dopamine - recording studies\nDirect evidence for opioid enhancement of dopamine activity comes from electrophysiological or fiber photometry recordings of dopamine neurons in non-human animals. Morphine (Gysling and Wang 1983; Hu et al. 2023; Jalabert et al. 2011; Matthews and German 1984; Nowycky et al. 1978) or heroin (Corre et al. 2018; Wei et al. 2018) administration increases the firing rate/activity of dopamine neurons in the VTA of rats, where mesolimbic dopamine projections originate. Furthermore, local microinjections of morphine into VTA influences the activity of neurons in the NAc by dopamine-dependent as well as by dopamine-independent mechanisms (Hakan and Henriksen 1989). Both heroin and cocaine self-administration alters the firing of neurons in the NAc, although the two drugs may engage, “distinct, but overlapping, subpopulations of neurons” in the NAc (Broomer et al. 2025; Chang et al. 1988 for review). Increased dopamine neuronal firing is traditionally thought to be due, at least in part, to opioid suppression of inhibitory GABA interneurons in the VTA that normally inhibit dopamine neurons, thus disinhibiting them (Corre et al. 2018; Johnson and North 1992; also see Juarez and Han 2016; Pearson et al. 2025; Wittenberg et al. 2025). However, several additional potential mechanisms have been proposed by which opioids might activate mesolimbic dopamine neurons (Chen et al. 2015; Galaj and Ranaldi 2021; Jalabert et al. 2011; MacLean et al. 2018; Margolis et al. 2014; Matsui and Williams 2011; McGovern et al. 2023; Reeves et al. 2021; Wu et al. 2025; for reviews see Cucinello-Ragland et al. 2026; Fields and Margolis 2015; Mathis et al. 2025).\n\n\n### Dopamine - neurochemical studies\nAs would be expected by increased firing of VTA dopamine neurons, opioid drugs, including morphine, heroin, methadone, tramadol, oxycodone and fentanyl, also increase dopamine ‘release’ in the NAc and neostriatum of animals as measured by a number of methods, including microdialysis (Acquas and Di Chiara 1992; Bassareo et al. 1996; Chefer et al. 2003; Crippens and Robinson 1994; Cui et al. 2014; Danielsson et al. 2021; Darcq et al. 2023; Di Chiara and Imperato 1988; Di Giannuario and Pieretti 2000; Fadda et al. 2003; Fu et al. 2012; George et al. 2022; Hipolito et al. 2015; Maisonneuve et al. 2001; Marinelli et al. 1998a; Mascia et al. 1999; Murphy et al. 2001; Ojanen et al. 2003; Pothos et al. 1991; Rada et al. 1991; Rouge-Pont et al. 2002; Shoaib et al. 1995; Sorge and Stewart 2006b; Sprague et al. 2002; Velasquez et al. 2019; Zocchi et al. 2003), electrochemistry (Isaacs et al. 2020; Kiyatkin et al. 1993; Spielewoy et al. 2000; Vander Weele et al. 2014; Yuen et al. 2023) or fiber photometry (Chaudun et al. 2024; Cimen and Kutlu 2025; Corre et al. 2018; Gooding et al. 2024; Hu et al. 2023; McClain et al. 2023). Very early studies also reported morphine increases dopamine metabolism (‘turnover’) measured in postmortem striatal tissue (e.g., Alper et al. 1980; Nowycky et al. 1978; Wood and Rao 1991).\nUsing microdialysis to measure the extracellular concentration of dopamine Pontieri et al. (1995) reported that morphine selectively increased dopamine levels in the shell of the NAc, and Lecca et al. (2007) found that self-administered heroin increased dopamine in the NAc shell to a greater extent than in the NAc core. Using fiber photometry Gooding et al. (2024) recently reported that morphine induces a fast and sharp increase in dopamine in the medial shell (but not lateral shell) of the NAc (also see Corre et al. 2018). The medial shell region of NAc has been especially linked to the generation of intense motivational states (Reynolds and Berridge 2002). However, using an electrochemical fast scan cyclic voltammetry (FSCV) measure, Vander Weele et al. (2014) reported morphine and oxycodone increased dopamine to a similar extent in the shell and core of the NAc. In summary, opioid drugs clearly increase dopamine in the NAc, as indicated by several measures, although there are still some questions concerning the neuroanatomical specificity of the effect (e.g., see Di Chiara 2002; Zocchi et al. 2003).\nThe temporal profile and magnitude of NAc dopamine release varies greatly as a function of which opioid drug is administered, and as mentioned above, perhaps which NAc region is sampled (Milella et al. 2023). Gooding et al. (2024) reported morphine produced a fast sharp rise in dopamine in the medial shell, but in the lateral shell the dopamine rise was relatively small, delayed and long-lasting (e.g., Acquas and Di Chiara 1992; Gottas et al. 2014; Pontieri et al. 1995). Heroin produces a faster and larger effect on striatal and NAc dopamine than typically seen with morphine (Gottas et al. 2014; Marinelli et al. 1998b), which appears to be primarily due to the action of heroin’s metabolite, 6-monoacetylmorphine (Gottas et al. 2014; Milella et al. 2023 for review) that is not shared by morphine. Importantly, widely abused synthetic opioids, including fentanyl (Chaudun et al. 2024; Yoshida et al. 1999), oxycodone (Vander Weele et al. 2014; Yuen et al. 2023), and remifentanil (Lovic et al. 2012) all produce a rapid and large increase in NAc extracellular dopamine levels (Kibaly et al. 2021 for review).\nLocal microinjections of morphine (Leone et al. 1991) or the mu-opioid receptor agonist, DAMGO (Chefer et al. 2009; Devine et al. 1993; Noel and Gratton 1995; Spanagel et al. 1992; Yoshida et al. 1993) into VTA are sufficient to increase dopamine in the NAc. This was demonstrated in a recent elegant study by McClain et al. (2023) who developed a photoactivatable form of oxymorphone, a potent mu opioid receptor agonist, and measured dopamine in the NAc using the dopamine sensor, dLight1.3b. They reported that photoactivation of oxymorphone locally in the VTA for 200 msec, “produced a large, rapid increase in extracellular dopamine that was abolished by NLX [naloxone]”. “Dopamine release began within 3 s of the flash, reached 90% of the maximum value within 10 s, and decayed over the course of several minutes” (McClain et al. 2023). These studies are important because local microinjections of morphine into the VTA are also self-administered by rats (Bozarth and Wise 1981; David et al. 2002; Devine and Wise 1994; Welzl et al. 1989), as are VTA fentanyl microinjections (van Ree and de Wied 1980), and both effects are blocked by naloxone. Furthermore, the antagonism of opioid receptors locally in the VTA increases heroin self-administration in rats, which was interpreted as indicating the “the rewarding impact of heroin was reduced” (Britt and Wise 1983). VTA self-administration implicates mesolimbic dopamine systems in the incentive motivational actions of opioids. Mice are reported to also self-administer morphine into the shell of the NAc (David et al. 2002; Goeders et al. 1984; Olds 1982), where an opioid hedonic hotspot in rostrodorsal medial shell could cause hedonic ‘liking’ as well as motivational ‘wanting’ (Castro and Berridge 2014), but not into the dorsal striatum (David and Cazala 2000; also see Vaccarino et al. 1985). Indeed, it has been reported that the injection of morphine directly into the dorsal striatum decreases dopamine (Piepponen et al. 1999). Thus, opioids may act in both the source (VTA) and chief target (NAc) of mesolimbic dopamine systems to generate reward effects.\n\n\n### Dopamine - gene transcription/translation studies\nAnother line of evidence that indirectly supports the ability of opioid drugs to engage mesolimbic regions in a dopamine-dependent manner comes from studies of opioid induction of immediate early genes (IEGs), such as c-fos, in the ventral and dorsal striatum. The induction of IEGs is often used as an index of neuronal activation (Harlan and Garcia 1998). Systemic morphine (Chang et al. 1988; Garcia et al. 1995; Tan et al. 2024), fentanyl (Chaudun et al. 2024) or heroin (Paolone et al. 2007) all induce IEGs in the dorsal and ventral striatum, and morphine and fentanyl also induce IEGs in the VTA (Morison et al. 2025). Further, these effects are blocked by pretreatment with either a dopamine D1 antagonist or a NMDA antagonist, thus implicating both dopamine and glutamate neurotransmission in opioid induction of IEGs (Liu et al. 1994; Sharp et al. 1995). Local microinjections of morphine into the substantia nigra or VTA are similarly sufficient to induce Fos protein in the dorsal and ventral striatum, respectively (Bontempi and Sharp 1997). The ability of opioids to induce IEGs in striatal regions is also influenced by environmental context similarly to contextual control of psychomotor stimulant drug-induced IEG activation (Ferguson et al. 2004; Paolone et al. 2007). Not only can opioid drugs themselves engage striatal regions, as indicated by the induction of IEGs, but so can cues that have been associated with opioid administration (Kelley et al. 2005; Yager et al. 2015; Zhang et al. 2005). However, it is important to note that although cocaine and heroin induce IEGs in similar striatal regions there are significant differences in the exact neuronal populations that are engaged, suggesting the acute effects of cocaine and heroin are mediated by dissociable striatal circuitry (Vassilev et al. 2020; also see Browne et al. 2025; Tan et al. 2024).\n\n\n### Dopamine - opioid self-administration\nIn most of the animal studies reviewed thus far opioid drugs were administered by an experimenter and passively received by the animal, rather than actively self-administered. So, it is important to ask whether self-administered opioids also increase mesolimbic dopamine neurotransmission. There are very few studies that address this question, and the results are somewhat complicated. On one hand, heroin self-administration has been reported to increase extracellular dopamine levels in the NAc, as assessed with microdialysis (Caille et al. 2003; Sorge and Stewart 2006a; Wise et al. 1995), especially in the shell of the NAc (Lecca et al. 2007). However, others have not seen this effect using microdialysis (e.g., Gratton 1996; Hemby et al. 1995). An increase in dopamine release in the NAc during heroin self-administration has also been reported using FSCV (Xi et al. 1998; Xi and Stein 1999), although there was some individual variation in the pattern of response. Xi et al. (1998) reported, “three major electrochemical signal response patterns were seen: a monophasic response increase (8 of 14 rats), a biphasic initial signal increase followed by a decrease (3 of 14) and an initial signal decrease followed by an increase (3 of 14)”. However, after the highest dose used (0.2 mg/kg/injection), “only monophasic response increases were seen” in the dopamine signal. More recently, Higginbotham et al. (2025) used wireless in vivo fiber photometry to measure calcium transients in VTA dopamine neurons during fentanyl self-administration in rats. Although their study focused on much more, they did report that responding for fentanyl (and cue presentation), “gave rise to a sharp increase in calcium transient activity from VTA dopamine neurons”. Similarly, using fiber photometry Yang et al. (2025) reported that morphine self-administration (along with a cue) produced a fast but short (20 s) increase in “calcium-dependent GCaMP signaling in VTA DA neurons”, as did presentation of the morphine cue.\nKiyatkin and colleagues used chronoamperometry to study dopamine in rats self-administering heroin and reported that each day’s first self-administered IV injection of heroin monotonically increased the dopamine signal in the NAc (Kiyatkin et al. 1993; also see Kiyatkin 1994; and Kiyatkin 1995 for review). Further, this first-of-the-day dopamine response may have sensitized, as it increased across repeated days of heroin self-administration. Phasic increases in the dopamine signal were also seen just prior to each lever press, which it was suggested may have been due to “motivational arousal”, and in our view may have reflected incentive salience attributed to the act of drug taking. However, as Kiyatkin et al. (1993) described, “the second and subsequent injections in each session caused biphasic effects: the initial effect was a decrease in signal - a minor one when compared to the increase caused by the first injection - and this was followed by an increase that brought the signal back to or somewhat higher than the level at the time of the injection. Over the course of each 4-h session, the electrochemical signal reached and fluctuated around an elevated plateau”. So, heroin self-administration initially elevated the dopamine signal, and dopamine levels remained high with minor fluctuations throughout the session, consistent with the microdialysis studies by Wise et al. (1995) and Lecca et al. (2007). Fluctuations were seen as an initial small, brief decrease in dopamine from the initial elevation after second and subsequent injections, while the animals were akinetic, followed by a slower and larger increase that returned dopamine to the elevated plateau produced by the first infusion, or even exceeded it. A similar pattern was found using electrophysiological recordings of VTA unit activity (Kiyatkin and Rebec 1997, 2001). Thus, Kiyatkin et al. (1993) concluded, “that DA responses to rewarding heroin are modified by sensitization and conditioning” … and … “DA plays a more complex role in motivational processes than merely the ‘stamping in’ (Thorndike 1898) of stimulus-response associations”. Kiyatkin et al. (1993) further wrote, “These data also seem inconsistent with the notion that DA release is a simple correlate of the hedonic response to reinforcers (Wise 1982). Rather, they are consistent with more recent notions (e.g., Beninger and Hahn, ; Ljungberg et al. 1992; Pfaus and Phillips 1991; Stewart and de Wit 1987; Wise and Bozarth 1987), suggesting that DA release is a more complex correlate of the motivational arousal” (see Kiyatkin et al. 1993 for the references within this quotation). That is, in our terms, heroin-evoked dopamine release may increase ‘wanting’, but not ‘liking’ for heroin.\nIn summary, there are many studies in non-human animals using methods that are presumably more sensitive than PET measures in humans (e.g., Breier et al. 1997) showing that opioid drugs do increase dopamine neuronal activity and ‘release’ in the NAc. Opioid drugs and their associated cues also engage mesolimbic regions as assessed by the induction of IEGs. Nevertheless, there are marked differences in the magnitude and temporal pattern of effects of different opioids (e.g., Milella et al. 2023), and there are relatively few studies in which animals self-administer opioid drugs. It has been recently reported that different self-administration schedules result in marked differences in patterns of heroin self-administration and so it would be highly desirable to assess the effects on dopamine when self-administration procedures that mimic human patterns of use are utilized, as described by D’Ottavio et al. (2025a; discussed below). Although not impossible, it seems unlikely that opioids would increase dopamine activity in rodents but not humans. We conclude that the available evidence does not support the claim that opioid drugs fail to activate mesolimbic dopamine systems. Although there are significant gaps in the literature, there is a reasonable amount of evidence suggesting that opioid drugs do increase mesolimbic dopamine neurotransmission.\n\n\n### Do opioid drugs sensitize dopamine neurotransmission?\nAside from the question of whether opioid drugs activate dopamine systems, an even more relevant question is whether opioid drugs induce long-term sensitization of mesolimbic dopamine-related systems to increase incentive salience, as posited by IST (Robinson and Berridge 1993, 2025). We are not aware of any experimental studies on whether pre-treatment with opioids induces dopamine sensitization in humans, unlike the case with psychostimulants, where prior drug exposure has been reported to increase subsequent drug-induced dopamine release in humans (Leyton 2022). However, fMRI studies in humans described above report that prior drug use does render opioid users hyperreactive to opioid-related cues in terms of both limbic activations and subjective craving, which is consistent with mesolimbic incentive sensitization. Although it would be valuable to also have direct measures of sensitized dopamine release in humans, in its absence we can turn to studies in non-human animals to address this question.\nSeveral studies have used in vitro measures of dopamine release from NAc tissue slices and these report that repeated morphine exposure produces mesolimbic sensitization, characterized by increases in electrically-stimulated dopamine release (Nestby et al. 1997; Vanderschuren et al. 2001). As is the case with behavioral sensitization, sensitized dopamine release is especially evident when testing takes place after an intervening period of abstinence, an effect that may be related to the incubation of craving phenomenon (Tjon et al. 1994). George et al. (2021) assessed electrically-stimulated dopamine release in the medial shell of NAc slices and reported that past experience with long access heroin self-administration enhanced dopamine release in female, but not male rats, when evoked by phasic ‘burst’ stimulation. On the other hand, Kalivas and Duffy (1988) saw little effect of past exposure to either cocaine or morphine on potassium-stimulated release from NAc tissue slices, and no effect on amphetamine-stimulated dopamine release. It is not clear what accounts for these negative results because although there are relatively few studies with opioids, there are several studies showing that in vivo stimulated dopamine release is enhanced in rats sensitized to cocaine (Robinson and Berridge 1993 for review), and amphetamine-, potassium-, and electrically-evoked dopamine release from striatal tissue slices in vitro has been reported in rats sensitized to amphetamine (Castaneda et al. 1988).\nAn interesting in vitro approach to this question was taken by Nakagawa et al. (2011), who created a reconstructed mesocorticolimbic system consisting of a co-culture with tissue from the VTA, NAc and medial frontal cortex. Acute treatment with morphine, amphetamine or cocaine all dose-dependently increased extracellular dopamine in the co-culture. Sensitization was indicated by the observation that repeated daily morphine treatment (for 30 min each day) further increased the amplitude of dopamine release elicited by an unchanging challenge dose of morphine. Nakagawa et al. (2011) concluded, “repeated psychostimulant- or morphine-induced augmentation of dopamine release, i.e. dopaminergic sensitization, was reproduced in a rat triple organotypic slice co-cultures”.\nTurning to in vivo studies, there are several reports that past exposure to morphine increases dopamine release in the NAc or neostriatum in response to a drug challenge, as assessed with in vivo microdialysis (Acquas and Di Chiara 1992; Ahn et al. 2024; Bassareo et al. 2013; Cadoni and Di Chiara 1999; Fu et al. 2012; Spanagel et al. 1993; Spanagel and Shippenberg 1993; Szumlinski et al. 2000), similarly to that produced by psychomotor stimulant drugs (Ichikawa 1988; Robinson et al. 1988). For example, Spanagel et al. (1993) pretreated rats with morphine for 10 days using a treatment regimen that had been shown to produce psychomotor sensitization and then measured the dopamine response in the NAc to a challenge injection of a relatively low dose of morphine after both 3 and 30 days of withdrawal. They reported that dopamine release produced by the morphine challenge was significantly enhanced in morphine pretreated animals, relative to controls, at both timepoints. Cadoni and Di Chiara (1999) pretreated rats with increasing doses of morphine for only 3 days, a treatment regimen also shown to produce behavioral sensitization, and then after 15 days of withdrawal assessed the ability of two different doses of morphine to increase dopamine release in the core and shell of the NAc as well as in the dorsal striatum, using in vivo microdialysis. They reported that prior exposure to morphine sensitized dopamine release in the core of the NAc and dorsal striatum, but not the shell of the NAc. Recent studies using fiber photometry to measure dopamine neuron activation reported that morphine exposures also induce subsequent dopamine sensitization in the NAc of mice (Gooding et al. 2024; Lefevre et al. 2020). Unfortunately, we are not aware of any studies like these using heroin.\nMost studies on dopamine sensitization examined the effects of a morphine challenge, but De Luca et al. (2011) additionally reported that “morphine sensitization was associated to potentiation of the stimulatory DA response to appetitive and aversive taste stimuli in the NAc core”, despite no change in taste reactivity (De Luca et al. 2011; also see Grappi et al. 2011). Bassareo et al. (2013) also assessed the effect of presentation of a morphine paired cue on dopamine release in the NAc, using microdialysis. They reported that the dopamine response to a morphine paired cue (CS) was enhanced in sensitized rats, in both the core and shell of the NAc. They concluded, “the present observations are consistent with the [IST] theory since morphine sensitization potentiated the stimulatory DA response in the NAc shell and core and the incentive reactions to drug-CS over and above the increase induced by conditioning alone.” Consistent with microdialysis studies, Lehmann et al. (2025) recently reported that pretreatment with the synthetic opioid, remifentanil, increases subsequent dopamine neuronal excitation (firing of VTA dopamine neurons) elicited by drug reward cues, as well as natural reward (sucrose) cues.\nHowever, we also recognize that many researchers have reported that prolonged continuous treatment with high doses of morphine or heroin can temporarily reduce basal levels of dopamine in the dorsal and ventral striatum while rats are experiencing spontaneous withdrawal symptoms (Ahn et al. 2024; Crippens and Robinson 1994; George et al. 2022; for reviews see Branco et al. 2025; Melis et al. 2005; Williams et al. 2001), although Crippens and Robinson (1994) reported there is no relationship between the severity of withdrawal symptoms and the level of dopamine in the ventral striatum measured with microdialysis. Further, heroin-dependent people are reported to show a decrease in methylphenidate-induced striatal dopamine release (Martinez et al. 2012). After high dose treatment regimens that induce dependence and withdrawal, a sensitized response may only emerge after the immediate withdrawal symptoms subside (Acquas and Di Chiara 1992; also see Ahn et al. 2024; Leri et al. 2003; Leyton and Nikolic 2024). A similar time-dependent emergence of sensitization is seen with repeated high dose amphetamine treatment (Paulson and Robinson 1995). Such progressive increases in the expression of sensitization during a period of drug abstinence that follows heavy use may contribute to what has been called the ‘incubation of craving’: an increase over time in the motivation to take drugs again, even as withdrawal symptoms fade and disappear (Pickens et al. 2011 for review). In summary, although the opioid literature on dopamine sensitization is not as large as that for psychomotor stimulant drugs, the available evidence indicates that intermittent exposure to opioid drugs does indeed sensitize mesolimbic dopamine systems.\nFurther evidence for opioid-induced sensitization of mesolimbic systems comes from studies that do not measure dopamine directly but rather use an indirect measure of neural activation, such as IEG expression in neurons located in dopamine target structures, including the neostriatum and NAc. Several studies show that past exposure to opioid drugs can amplify their subsequent ability to induce IEGs in striatal regions (Curran et al. 1996; Pontieri et al. 1997; Taracha et al. 2009). This neural sensitization is expressed not only as an increase in intensity of IEG activation in these regions, but also by neuroanatomical expansion of the extent of striatal IEG activation from nucleus accumbens shell into dorsal neostriatal regions (D’Este et al. 2002; Erdtmann-Vourliotis et al. 1999). In addition, the locomotor sensitization produced by repeated intermittent treatment with morphine (see Appendix 1) is associated with increased “FosB/delta FosB immunoreactivity” in several brain regions, including the NAc and neostriatum (Kaplan et al. 2011). A possibly related finding is that in rats past exposure to the opioid, oxycodone, increases the BOLD response to subsequent exposure to oxycodone, assessed with magnetic resonance imaging, in “many of the efferent connections from the mesencephalic dopaminergic neurons” (Iriah et al. 2019). These effects are consistent with opioid-induced neural sensitization of mesostriatal dopamine systems.\nAnother indirect measure of dopamine ‘release’ used in many early studies involved assessing changes in dopamine metabolism (‘turnover’) in striatal tissue. The logic was that increased dopamine release should be accompanied by a decrease in the tissue content of dopamine and a concomitant increase in the content of its metabolites, so this was often assessed, for example, by calculating DOPAC/DA ratios. Using such measures several researchers reported that dopamine metabolism in the striatum or NAc is increased in rats sensitized to morphine (Airio et al. 1994; Mitchell and Stewart 1990; Ramos-Miguel et al. 2010). Similarly, Kalivas and Duffy (1987) found that the increase in dopamine metabolism in the NAc produced by a morphine challenge injection was sensitized in rats that previously received repeated morphine, compared to drug-naïve rats (also see Ahtee et al. 1989; Kalivas and Duffy 1987). Further, morphine pretreatment also sensitized the increase in dopamine metabolism produced by stress, providing evidence for cross-sensitization (for review see Kalivas et al. 1988).\n\n\n### Direct measures of dopamine release in animals\nSeveral studies have used in vitro measures of dopamine release from NAc tissue slices and these report that repeated morphine exposure produces mesolimbic sensitization, characterized by increases in electrically-stimulated dopamine release (Nestby et al. 1997; Vanderschuren et al. 2001). As is the case with behavioral sensitization, sensitized dopamine release is especially evident when testing takes place after an intervening period of abstinence, an effect that may be related to the incubation of craving phenomenon (Tjon et al. 1994). George et al. (2021) assessed electrically-stimulated dopamine release in the medial shell of NAc slices and reported that past experience with long access heroin self-administration enhanced dopamine release in female, but not male rats, when evoked by phasic ‘burst’ stimulation. On the other hand, Kalivas and Duffy (1988) saw little effect of past exposure to either cocaine or morphine on potassium-stimulated release from NAc tissue slices, and no effect on amphetamine-stimulated dopamine release. It is not clear what accounts for these negative results because although there are relatively few studies with opioids, there are several studies showing that in vivo stimulated dopamine release is enhanced in rats sensitized to cocaine (Robinson and Berridge 1993 for review), and amphetamine-, potassium-, and electrically-evoked dopamine release from striatal tissue slices in vitro has been reported in rats sensitized to amphetamine (Castaneda et al. 1988).\nAn interesting in vitro approach to this question was taken by Nakagawa et al. (2011), who created a reconstructed mesocorticolimbic system consisting of a co-culture with tissue from the VTA, NAc and medial frontal cortex. Acute treatment with morphine, amphetamine or cocaine all dose-dependently increased extracellular dopamine in the co-culture. Sensitization was indicated by the observation that repeated daily morphine treatment (for 30 min each day) further increased the amplitude of dopamine release elicited by an unchanging challenge dose of morphine. Nakagawa et al. (2011) concluded, “repeated psychostimulant- or morphine-induced augmentation of dopamine release, i.e. dopaminergic sensitization, was reproduced in a rat triple organotypic slice co-cultures”.\nTurning to in vivo studies, there are several reports that past exposure to morphine increases dopamine release in the NAc or neostriatum in response to a drug challenge, as assessed with in vivo microdialysis (Acquas and Di Chiara 1992; Ahn et al. 2024; Bassareo et al. 2013; Cadoni and Di Chiara 1999; Fu et al. 2012; Spanagel et al. 1993; Spanagel and Shippenberg 1993; Szumlinski et al. 2000), similarly to that produced by psychomotor stimulant drugs (Ichikawa 1988; Robinson et al. 1988). For example, Spanagel et al. (1993) pretreated rats with morphine for 10 days using a treatment regimen that had been shown to produce psychomotor sensitization and then measured the dopamine response in the NAc to a challenge injection of a relatively low dose of morphine after both 3 and 30 days of withdrawal. They reported that dopamine release produced by the morphine challenge was significantly enhanced in morphine pretreated animals, relative to controls, at both timepoints. Cadoni and Di Chiara (1999) pretreated rats with increasing doses of morphine for only 3 days, a treatment regimen also shown to produce behavioral sensitization, and then after 15 days of withdrawal assessed the ability of two different doses of morphine to increase dopamine release in the core and shell of the NAc as well as in the dorsal striatum, using in vivo microdialysis. They reported that prior exposure to morphine sensitized dopamine release in the core of the NAc and dorsal striatum, but not the shell of the NAc. Recent studies using fiber photometry to measure dopamine neuron activation reported that morphine exposures also induce subsequent dopamine sensitization in the NAc of mice (Gooding et al. 2024; Lefevre et al. 2020). Unfortunately, we are not aware of any studies like these using heroin.\nMost studies on dopamine sensitization examined the effects of a morphine challenge, but De Luca et al. (2011) additionally reported that “morphine sensitization was associated to potentiation of the stimulatory DA response to appetitive and aversive taste stimuli in the NAc core”, despite no change in taste reactivity (De Luca et al. 2011; also see Grappi et al. 2011). Bassareo et al. (2013) also assessed the effect of presentation of a morphine paired cue on dopamine release in the NAc, using microdialysis. They reported that the dopamine response to a morphine paired cue (CS) was enhanced in sensitized rats, in both the core and shell of the NAc. They concluded, “the present observations are consistent with the [IST] theory since morphine sensitization potentiated the stimulatory DA response in the NAc shell and core and the incentive reactions to drug-CS over and above the increase induced by conditioning alone.” Consistent with microdialysis studies, Lehmann et al. (2025) recently reported that pretreatment with the synthetic opioid, remifentanil, increases subsequent dopamine neuronal excitation (firing of VTA dopamine neurons) elicited by drug reward cues, as well as natural reward (sucrose) cues.\nHowever, we also recognize that many researchers have reported that prolonged continuous treatment with high doses of morphine or heroin can temporarily reduce basal levels of dopamine in the dorsal and ventral striatum while rats are experiencing spontaneous withdrawal symptoms (Ahn et al. 2024; Crippens and Robinson 1994; George et al. 2022; for reviews see Branco et al. 2025; Melis et al. 2005; Williams et al. 2001), although Crippens and Robinson (1994) reported there is no relationship between the severity of withdrawal symptoms and the level of dopamine in the ventral striatum measured with microdialysis. Further, heroin-dependent people are reported to show a decrease in methylphenidate-induced striatal dopamine release (Martinez et al. 2012). After high dose treatment regimens that induce dependence and withdrawal, a sensitized response may only emerge after the immediate withdrawal symptoms subside (Acquas and Di Chiara 1992; also see Ahn et al. 2024; Leri et al. 2003; Leyton and Nikolic 2024). A similar time-dependent emergence of sensitization is seen with repeated high dose amphetamine treatment (Paulson and Robinson 1995). Such progressive increases in the expression of sensitization during a period of drug abstinence that follows heavy use may contribute to what has been called the ‘incubation of craving’: an increase over time in the motivation to take drugs again, even as withdrawal symptoms fade and disappear (Pickens et al. 2011 for review). In summary, although the opioid literature on dopamine sensitization is not as large as that for psychomotor stimulant drugs, the available evidence indicates that intermittent exposure to opioid drugs does indeed sensitize mesolimbic dopamine systems.\n\n\n### Indirect measures of mesolimbic activation in animals\nFurther evidence for opioid-induced sensitization of mesolimbic systems comes from studies that do not measure dopamine directly but rather use an indirect measure of neural activation, such as IEG expression in neurons located in dopamine target structures, including the neostriatum and NAc. Several studies show that past exposure to opioid drugs can amplify their subsequent ability to induce IEGs in striatal regions (Curran et al. 1996; Pontieri et al. 1997; Taracha et al. 2009). This neural sensitization is expressed not only as an increase in intensity of IEG activation in these regions, but also by neuroanatomical expansion of the extent of striatal IEG activation from nucleus accumbens shell into dorsal neostriatal regions (D’Este et al. 2002; Erdtmann-Vourliotis et al. 1999). In addition, the locomotor sensitization produced by repeated intermittent treatment with morphine (see Appendix 1) is associated with increased “FosB/delta FosB immunoreactivity” in several brain regions, including the NAc and neostriatum (Kaplan et al. 2011). A possibly related finding is that in rats past exposure to the opioid, oxycodone, increases the BOLD response to subsequent exposure to oxycodone, assessed with magnetic resonance imaging, in “many of the efferent connections from the mesencephalic dopaminergic neurons” (Iriah et al. 2019). These effects are consistent with opioid-induced neural sensitization of mesostriatal dopamine systems.\nAnother indirect measure of dopamine ‘release’ used in many early studies involved assessing changes in dopamine metabolism (‘turnover’) in striatal tissue. The logic was that increased dopamine release should be accompanied by a decrease in the tissue content of dopamine and a concomitant increase in the content of its metabolites, so this was often assessed, for example, by calculating DOPAC/DA ratios. Using such measures several researchers reported that dopamine metabolism in the striatum or NAc is increased in rats sensitized to morphine (Airio et al. 1994; Mitchell and Stewart 1990; Ramos-Miguel et al. 2010). Similarly, Kalivas and Duffy (1987) found that the increase in dopamine metabolism in the NAc produced by a morphine challenge injection was sensitized in rats that previously received repeated morphine, compared to drug-naïve rats (also see Ahtee et al. 1989; Kalivas and Duffy 1987). Further, morphine pretreatment also sensitized the increase in dopamine metabolism produced by stress, providing evidence for cross-sensitization (for review see Kalivas et al. 1988).\n\n\n### Do opioids sensitize the incentive motivational effects of drugs and their cues?\nAs mentioned above, a key tenet of IST is that drugs and their associated cues become attributed with excessive incentive salience because of mesolimbic sensitization (i.e., undergo incentive sensitization) leading to pathological ‘wanting’ to take drugs but not more ‘liking’ for those drugs. However, we need to ask whether there is preclinical evidence that cues associated with opioid drugs are actually attributed with incentive salience and thus acquire the ability to act as incentive stimuli. Incentive stimuli have three fundamental properties (Berridge and Robinson 2003; Milton and Everitt 2010): (1) they are ‘wanted’ and sought after in their own right, i.e., they act as conditioned reinforcers; (2) when encountered, incentive cues attract attention and elicit approach into close proximity to them, i.e., they evoke sign-tracking; (3) they evoke a conditioned motivational state (‘wanting’) that can energize drug-seeking behavior and/or reinstate drug-seeking and taking, i.e., they evoke surges of cue-triggered ‘wanting’ to take their associated drugs. There is considerable preclinical evidence that in some individuals cues associated with opioid drugs are attributed with incentive salience and can acquire all three features of an incentive stimulus and can thus contribute to what Milton and Everitt (2010) describe as “three routes to relapse”. The literature supporting this claim is reviewed in Appendix 2 of the Supplementary Material.\nHere we will focus on whether there is behavioral or psychological evidence of sensitization to the incentive motivational effects of opioid drugs and their cues. We are aware of some studies reporting that sensitization produced by amphetamine enhances sign-tracking behavior (e.g., Doremus-Fitzwater and Spear 2011; Robinson et al. 2015), suggestive of incentive-sensitization. However, we are not aware of any such studies using opioid drugs. Therefore, we next discuss studies using conditioned place preference procedures, which establish that opioid drug cues/contexts are attributed with incentive salience and provide evidence for opioid-induced incentive-sensitization.\nIn animal studies, the Conditioned Place Preference (CPP) procedure was probably the most used early method to assess whether drug cues or contexts acquire incentive motivational properties (incentive salience), and whether this increases (sensitizes) or decreases (shows tolerance) following repeated drug treatment. With CPP, the administration of a drug reward is associatively paired with a specific place (e.g., a distinctive chamber in a 2-chamber or 3-chamber apparatus). Then on a test day, in the absence of drug reward, it is determined whether animals prefer to spend more time in the previously drug-paired chamber than in other chambers, or whether they show an avoidance of that chamber. If animals show a CPP it is usually assumed that the context/stimulus developed conditioned rewarding/incentive motivational properties via Pavlovian learning (see Cunningham et al. 2006; Huston et al. 2013 for discussions regarding the complexity of interpreting CPP studies, depending on the exact design).\nHumans develop a preference for a place paired with psychostimulant drugs (Krishnan et al. 2023; Linhardt et al. 2022 for reviews) but we are not aware of any CPP studies using an opioid drug in humans. However, there is overwhelming evidence from studies in other animals that the systemic administration of opioid drugs, including morphine, heroin, oxycodone and fentanyl (as well as their metabolites; Milella et al. 2023), does produce a CPP (Ma et al. 2009; Mucha et al. 1982; for reviews Bardo and Bevins 2000; Bardo et al. 1995; Le Merrer et al. 2009; McKendrick and Graziane 2020; Milella et al. 2023; Rutten et al. 2011; Steidl et al. 2017; Tzschentke 1998). Furthermore, intracerebral microinjection studies (e.g., morphine, DAMGO, endomorphin-1) have established that pairing opioid microinjections locally into the VTA with a place is sufficient to produce a CPP (e.g., Bals-Kubik et al. 1993; Bozarth 1987; Mamoon et al. 1995; Olmstead and Franklin 1997; Phillips and LePiane 1980; Zangen et al. 2002). The role of other brain structures is less clear: for example, van der Kooy et al. (1982) reported that the injection of morphine into the NAc also produced a CPP, but not all studies find this (Bals-Kubik et al. 1993; Schildein et al. 1998; Zangen et al. 2002). Thus, an action of opioids in the VTA is thought to be especially important for opioid-associated places and other cues to acquire incentive motivational properties (Moaddab et al. 2009; Shippenberg et al. 1992; cf., Hnasko et al. 2005).\nThere are many reports that induction of an opioid-induced CPP requires dopamine neurotransmission, as indicated, for example, by pretreatment with dopamine receptor antagonists or 6-OHDA lesions (Bozarth and Wise 1981; Cui et al. 2014; Fenu et al. 2006; Maldonado et al. 1997; Martinez-Rivera et al. 2024; Narita et al. 2010; Nickols et al. 2023; O’Neal et al. 2022; Schwartz and Marchok 1974; Shippenberg et al. 1993; Sprague et al. 2002; Spyraki et al. 1983), or deletion of the D2 (long form) receptor in mice (Smith et al. 2002). Even selective blockade of dopamine D3 receptors is reported to attenuate the development and/ or expression of an opioid-induced CPP (Ashby et al. 2003; Galaj et al. 2015; Hu et al. 2023). Of course, non-dopaminergic mechanisms also contribute (for reviews see Bardo and Bevins 2000; Bardo et al. 1995; Fujita et al. 2019; McKendrick and Graziane 2020; Milella et al. 2023; Raymond et al. 2025; Steidl et al. 2017; Tzschentke 1998). Transient inhibition of the NAc with lidocaine is also reported to prevent the acquisition and expression of a morphine CPP, adding further support for a role of mesolimbic systems (Esmaeili et al. 2012). Although most of the CPP literature supports a role for dopamine in mediating opioid CPP it should be noted that there are exceptions (e.g., Darcq et al. 2023; Hnasko et al. 2005; Mackey and van der Kooy 1985). For example, Mackey & van der Kooy (1985), found that two neuroleptic drugs (flupenthixol and haloperidol) failed to block a morphine CPP and Hnasko et al. (2005) reported that dopamine-deficient mice still develop a CPP for morphine.\nThe weight of the CPP literature supports the idea that opioid-associated cues can be attributed with incentive salience and so acquire incentive motivational properties, such as becoming attractive and ‘wanted’. But the main question relevant to opioids and IST is whether there is evidence for incentive sensitization, namely, an increase in the incentive salience attributed to opioid cues, as a function of past experience with opioids? The earliest study we are aware of to report that pretreatment with systemic morphine outside of a CPP apparatus facilitates the later development of a morphine CPP when morphine was subsequently paired with a particular place, was published by Lett in 1989, who also reported cross-sensitization between morphine and amphetamine and cocaine (Lett 1989). Relating sensitization effects to addiction, and anticipating one aspect of IST, Lett (1989) hypothesized, “drugs of abuse are addictive because repeated exposures sensitize the central reward mechanism”. Our chief contribution was to later refine this notion to specify that the only psychological component of reward that sensitizes is motivational incentive salience (‘wanting’), and not the hedonic impact or pleasure produced by consumption of a reward (‘liking’) (Robinson and Berridge 1993). Since Lett’s 1989 study there have been numerous studies confirming that morphine pretreatment can produce incentive sensitization, measured as a facilitated CPP, presumably reflecting magnified ‘wanting’ to be in the drug-paired place (Gaiardi et al. 1991; Sahraei et al. 2007; Shippenberg et al. 1996; Simpson and Riley 2005). Adding to the specific neuroanatomical substrates mediating CPP enhancement Zarrindast et al. (2007) reported that prior microinjections of morphine into the ventral pallidum was sufficient to facilitate the later development of a CPP produced by pairing systemic morphine with a particular place. However, the nature of sensitized CPP effects is influenced by several other factors, such as whether opioid delivery is chronic or intermittent (also see Appendix 1), whether animals are opioid-dependent or not (e.g., Bechara et al. 1998; Nader and van der Kooy 1997; Ting-A-Kee and van der Kooy 2012), and whether animals are still in withdrawal or not after the cessation of opioid treatment. For example, Shippenberg et al. (1988) initially reported that when drug-place pairings took place beginning a mere 12 h after the last morphine pretreatment injection the ability of morphine or fentanyl to produce a CPP was decreased, that is, tolerance and cross-tolerance, not sensitization, was seen (also see Martin et al. 1988). However, in a later study Shippenburg et al. (1996) tested animals at 1, 3, 10 or 21 days after the cessation of pretreatment and found evidence for CPP sensitization: “The augmented response to morphine was apparent when conditioning commenced 3, 10 or 21 days after the cessation of morphine pretreatment” but was, “not apparent when conditioning commenced 1 day after treatment cessation”. Cross-sensitization between fentanyl and morphine was also found. This time-dependent emergence of incentive sensitization following the cessation of opioid treatment is very similar to what is often seen with psychostimulant drugs (e.g., Paulson et al. 1991; Paulson and Robinson 1995; Robinson and Berridge 1993 for review).\nPerhaps most important for showing an opioid contribution to mesolimbic incentive sensitization are examples of cross-sensitization. Not surprisingly, opioid cross-sensitization has been reported between fentanyl and morphine; that is, pretreatment with fentanyl facilitated the later development of a CPP for morphine (Shippenburg et al. 1996). More interestingly, morphine pretreatment also facilitates the later development of a CPP produced by amphetamine, and vice versa (Lett 1989) or by cocaine (Lett 1989; Shippenberg et al. 1998). Kim et al. (2004) reported that a single injection of cocaine is sufficient to enhance the CPP produced by subsequent morphine administration, and this enhancement is prevented by microinjection of the NMDA antagonist, MK-801, into the VTA. Given it is well established that psychostimulant-induced effects are accompanied by mesolimbic sensitization, such cross-sensitization between an opioid and psychomotor stimulants implies a common mesolimbic sensitization mechanism. Similarly, stress has long been known to cross-sensitize to psychomotor stimulant drug-induced behavioral effects (e.g., Antelman et al. 1980), possibly mediated by stress-induced mesolimbic activation and CRF systems. Importantly, acute (but not chronic) stress has also been reported to cross-sensitize to opioids, for example, facilitating the subsequent development of a morphine CPP (Capriles and Cancela 2002; Rozeske et al. 2011; Will et al. 1998). Interestingly, Carlyle et al. (2021) reported that in adults who experienced past childhood trauma morphine was both liked and wanted to a greater degree than in control subjects.\nIn related studies, opioids also can cross-sensitize to enhance the incentive salience of non-drug rewards. Pretreatment with morphine or heroin has been reported to sometimes decrease motivation for a food reward when animals are tested soon after abstinence, while still in withdrawal, but to increase motivation for food rewards when tested after a longer period of drug abstinence (Halbout et al. 2024; Li et al. 2017; Ranaldi et al. 2009; Scheggi et al. 2020), especially for a highly palatable food reward (Bai et al. 2014), although there are exceptions (Harris and Aston-Jones 2007; Zhang et al. 2007). Similar findings have been reported for opioid cross-sensitization to social and sexual rewards (Bai et al. 2014; Nocjar and Panksepp 2007). As summarized by Li et al. (2017), “No anhedonia-like behavior but sensitized behaviors for natural rewards were found after long-term morphine withdrawal”. Referring to studies showing increased motivation for a food reward Halbout et al. (2024) commented, “Such findings seem to align with the incentive-sensitization theory of addiction, which posits that repeated drug exposure can lead to a persistent increase in reward ‘wanting’ due to sensitizing adaptations in mesolimbic dopamine system”. Consistent with this, Scheggi et al. (2020) reported that morphine sensitization was accompanied by an “an enhanced dopaminergic response to sucrose consumption that did not show development of habituation. These sensitization-induced modifications in appetitive motivation and dopaminergic transmission in the NAcS could represent the substrate that increases the incentive properties of a natural reward”. It is important to note that such broad enhancement of incentive motivation from drugs to food, sexual or social reward is typical of the initial effects of acute elevations in mesolimbic reactivity, but in addiction the sensitized increase in ‘wanting’ usually becomes more narrowly focused upon a particular target, such as taking drugs, due to repeated experience.\nImplicating opioid, dopamine and glutamate receptors as contributing mechanisms to opioid sensitization, sensitization of the conditioned incentive effects of morphine is prevented or attenuated by concomitant administration of naloxone (Shippenberg et al. 1996), delta opioid receptor antagonists (Shippenberg et al. 2009), dopamine D1 or D2 antagonists (Manzanedo et al. 2005; Zarrindast et al. 2007; also see O’Neal et al. 2022) or a glutamate NMDA receptor antagonist (Aguilar et al. 2009; also see Cui et al. 2014). Similarly, stress-induced sensitization of a morphine CPP is prevented by dopamine D1 or D2 antagonists (Capriles and Cancela 2002).\nIn summary, CPP studies in rodents establish that prior exposure to opioid drugs can enhance the degree to which stimuli later associated with drug treatments are attributed with incentive salience and implicate dopamine in this incentive-sensitization process.\nAs mentioned above, mesolimbic stimulation can induce intense incentive salience which initially may be broadly attributed to many stimuli and thus manifest, for example, as cross-sensitization to even non-drug rewards. But with more experience ‘wanting’ can gradually become narrowly focused onto a few specific and persistent targets, such as drug cues, presumably due to the close reliance of incentive salience mechanisms on Pavlovian associations between cues and rewards. Thus, for example, NAc dopamine stimulation in naïve rats caused by amphetamine microinjections in medial shell can facilitate cue-triggered ‘wanting’ for unrelated food rewards in rats (Wyvell and Berridge 2000). Similarly, a woman with Parkinson’s disease who received electrical stimulation of the subthalamic nucleus for the first time was initially reported to experience mood elevation and “was excessively talkative” (Herzog et al. 2003). In her first few weeks of brain stimulation plus L-dopa therapy, according to the authors “the patient’s mood was euphoric and … She lost normal social inhibitions, was in love with two neurologists, and tried to embrace and kiss people” (Herzog et al. 2003). However, over time the motivational effects of her limbic stimulation became more narrowly focused into a persistent shopping addiction (Herzog et al. 2003). In the 1960 s, electrical stimulation-bound motivated behaviors were famously induced in rats by lateral hypothalamic (LH) electrodes that could indirectly stimulate the mesolimbic system. LH stimulation most commonly produced stimulation-bound eating, but in other individuals drinking, sexual behaviors, or parental behaviors, etc. were seen (Valenstein et al. 1970). However, these phenomena required the rat to receive extensive stimulations in the presence of a target reward and required experimenter skill and patience. As James Olds described it, “I came to speak in favor of Valenstein’s study…when he explained that with all hypothalamic stimulated drives you often get nothing when you first put the probes in. In all studies of hypothalamically stimulated drive behaviors there is commonly a lag period after the probes are planted and stimulation tests begun before positive effects are observed. The lag has been an enigma and caused many young investigators to abandon the problem early. Persistence often yielded success … Valenstein’s study clarified the fact that stimulating the animal in the presence of goals is a form of training and that the stimulus gradually brings goal-directed behaviors under control by an almost “developmental” chain of events. Valenstein thus put us onto the idea that there is a great deal of training in any hypothalamic drive behavior” (Olds 1976). In recent decades, a substantial minority of Parkinson’s patients who are treated with direct agonist medications develop behavioral addictions, typically focused specifically on gambling, sex, shopping, eating, etc. Why different stimuli become the target of incentive salience in different individuals is not known but is likely to involve the individual’s past history as well as encounters with specific rewards while under medication (e.g., Robinson and Berridge 2025 for review).\nThere is very little work on the brain mechanisms that underlie the narrow focusing of incentive salience, and the associatively guided attribution of excessive ‘wanting’ to a particular specific target. Nevertheless, recent preclinical studies by Berridge and his colleagues illustrate how intense this focus can become and identify a potential neural basis in amygdala-guided interactions with mesolimbic circuitry (Nguyen and Berridge 2025; Warlow et al. 2017, 2020; Warlow and Berridge 2021 for review). In those studies, a narrow and intense focus of incentive salience ‘wanting’ can be assigned at the experimenter’s whim to whatever specific target is associatively paired with brief optogenetic stimulations of central amygdala neurons (e.g., sugar pellets vs. i.v. cocaine vs. a shock rod). This focus can be so intense it produces ‘wanting what hurts’, as in the case of the shock rod. Such studies provide a start into exploring possible neural mechanisms of focusing, and this is an area ripe for future investigation.\nAnother line of evidence that opioids may produce incentive sensitization comes from self-administration studies showing cross-sensitization between opioids and cocaine. Prior treatment with morphine or heroin increases the subsequent incentive motivational effects of intravenous cocaine assessed by self-administration. For example, He and Grasing (2004) found that pretreatments with morphine (experimenter-administered) increased the willingness of rats to later self-administer for cocaine on a progressive ratio (PR schedule), when they were tested at least 5 days after the discontinuation of morphine treatment. Leri et al. (2003) similarly found that 14 days after the discontinuation of continuous heroin treatment, cocaine self-administration was enhanced in rats. Further, Ward et al. (2006) allowed rats to self-administer heroin on a 24-hr discrete trials procedure and then subsequently tested the same rats for cocaine self-administration on a PR schedule. They found that 10 days of heroin experience “resulted in an upward shift in the cocaine dose–effect curve on a PR schedule, indicating an increase in the reinforcing efficacy of cocaine.” Reciprocally, Mierzejewski et al. (2007) reported that a “prior history of cocaine self-administration sensitizes rats to the positive reinforcing properties of morphine”. But Seaman et al. (2026) reported that when rats were experiencing the symptoms of morphine withdrawal demand for fentanyl, but not cocaine or methamphetamine, was increased.\nHowever, the studies above primarily used short access sessions, and is widely accepted that rats are less prone to develop addiction-like behavior if they are given only limited access to drugs, such as cocaine, during short access daily sessions (ShA; 1 to 2-hour sessions each day), compared to when they are allowed to consume much more drug during what are called long access sessions (LgA; 6 + hour sessions each day) (e.g., Edwards and Koob 2013; Koob and Kreek 2007). The use of LgA procedures was popularized by Ahmed and Koob (1998), who reported that cocaine intake escalated in rats given LgA but not ShA sessions. Escalation of intake is often interpreted as reflecting increasing motivation for drug and thus represents one symptom of addiction (Ahmed and Koob 1998; Bardo et al. 2025 for review). For those who believe drug taking is motivated primarily by withdrawal feelings and the need to diminish distress, this increased motivation for drug sometimes has been interpreted as due to the development of a ‘dopamine deficiency’ resulting in anhedonia (on the once-common assumption that dopamine mediated pleasure), or an increase in “hedonic set-point” (Ahmed and Koob 1998). As put by Volkow et al. (2016), it is “the down-regulation of dopamine signaling that dulls the reward circuits’ sensitivity to pleasure” and therefore, “the person with addiction transitions from taking drugs simply to feel pleasure, or to “get high,” to taking them to obtain transient relief from dysphoria”. Many further thought large amounts of drug consumption during LgA sessions were necessary to produce escalation of intake (e.g., Ahmed and Koob 1998; Edwards and Koob 2013; but see Kawa et al. 2019 and Samaha et al. 2021 for critiques of this view).\nAlthough there have been many studies on the effects of LgA cocaine as an animal model of addiction, more recently there has been increasing interest in what are referred to as intermittent access (IntA) self-administration schedules. On IntA schedules drug is continuously available (no time out) for a short period of time (often 5 min), and these drug-available periods are alternated with longer ‘no drug available’ periods (often 25 min for cocaine). This results in repeated intermittent burst-like spikes in brain cocaine concentrations throughout the self-administration session (Zimmer et al. 2012), in contrast to the sustained high brain levels of cocaine seen throughout a LgA session. This intermittency is thought to better reflect human patterns of use, especially during the development of addiction. It turns out that although IntA cocaine schedules produce much lower total cocaine consumption than LgA schedules, and so presumably less tolerance and withdrawal, IntA also produces escalation of intake similarly to LgA, and is even more effective than LgA in producing a number of other addiction-like behaviors, such as increased motivation for cocaine on a progressive ratio schedule and a high propensity for reinstatement or relapse after days or weeks without drugs (for reviews see Allain et al. 2015; Kawa et al. 2019; Samaha et al. 2021). In addition, when LgA rats are tested during withdrawal soon after the discontinuation of cocaine self-administration they show decreased dopamine neurotransmission (tolerance), whereas IntA rats show mesolimbic sensitization manifest as an increase in dopamine neurotransmission. Given that IntA results in much less drug consumption than LgA but more marked mesolimbic sensitization and more addiction-like behavior, it has been suggested that the escalation in cocaine consumption and other addiction-like behavior seen during IntA is chiefly due to an increase in drug ‘wanting’ due to incentive-sensitization, not withdrawal avoidance (see Allain et al. 2015; Kawa et al. 2019 and Samaha et al. 2021 for reviews).\nBut what about opioids? Since the original Ahmed and Koob (1998) study with cocaine there have been a number of studies asking whether long access (LgA) to opioid drugs also produces escalation of intake (and other addiction-like behaviors). The answer is yes, it does. LgA results in the escalation of intake of heroin (Ahmed et al. 2000; Barbier et al. 2013; D’Ottavio et al. 2023, 2025a; George et al. 2021, 2022; Lenoir and Ahmed 2007, 2008; Lenoir et al. 2012; Rakowski et al. 2025; Towers et al. 2019; Vendruscolo et al. 2018; Wade et al. 2015; Walker et al. 2003), fentanyl (Barattini et al. 2024; Coffey et al. 2023; Magnard et al. 2025; Wade et al. 2015), fentanyl vapor (Moussawi et al. 2020), sufentanil (Vendruscolo et al. 2018), and oxycodone (Blackwood et al. 2019; de Guglielmo et al. 2020; Sharp and Chen 2025; Wabreha et al. 2025; Wade et al. 2015; Zhang et al. 2014; although see Giunta et al. 2025). However, even ShA (2 h sessions) with remifentanil (Lacy et al. 2020) or fentanyl (Chen et al. 2025) have been reported to be sufficient to produce escalation of intake in rats and mice, respectively, and 3 h sessions sufficient to produce escalation of heroin intake in rats (Adamatzky et al. 2025). Also, in a study using many strains of rats Duffy et al. (2024) found that over ten 12 h sessions the intake of oxycodone escalated but the magnitude of the effect varied as a function of strain and sex. They reported, “The heritability of oxycodone intake phenotypes ranged between 0.26 to 0.54, indicating that genetic background plays a major role in the variability of oxycodone consumption”. Sex differences have also been reported. Barattini et al. (2024) reported that males showed greater escalation of fentanyl intake than females, whereas females show greater escalation of heroin intake than males (George et al. 2021; Towers et al. 2019). On the other hand, Fragale et al. (2021) did not find that the first hour intake of fentanyl increased under either ShA or LgA conditions, but an IntA condition did produce escalation (see below).\nStudies on the effects of IntA to opioids have allowed access to drug for periods ranging from 6 h to 24 h, and under these conditions escalation of intake has been reported for heroin (D’Ottavio et al. 2023, 2025a; Rakowski et al. 2025), fentanyl (Fragale et al. 2021; Towers et al. 2022, 2023) and oxycodone (Samson et al. 2022), although one other study by Bakhti-Suroosh et al. (2021) failed to see escalation in rats given 24 h access to IntA fentanyl (Raymond et al. 2025 for review). Therefore, the emerging consensus is that both LgA and IntA self-administration schedules result in increasing motivation for opioids, as indicated by escalation of intake, as well as by other measures of motivation for drug (e.g., increased breakpoint on a progressive ratio schedule, behavioral economic indicators of drug demand, etc.; not reviewed here). However, opioid effects on total intake are much more complicated than with cocaine, perhaps due to the complexity, for example, of heroin pharmacokinetics (D’Ottavio et al. 2023, 2025a; see below). Under some conditions the total intake of heroin is greater under IntA than LgA conditions, making it more difficult to determine whether the increasing motivation for drug is due to incentive-sensitization or to tolerance/withdrawal, or both.\nWe are aware of only four studies to directly compare the extent to which LgA vs. IntA opioid self-administration produces addiction-like behavior and assess drug consumption. In the first study to do this Fragale et al. (2021) compared the effects of ShA (1 h access), LgA (6 h) or IntA (6 h) self-administration of fentanyl on subsequent motivation for drug. The ShA and LgA groups were on a FR-1 schedule of reinforcement with a 20 s time out following each injection. By comparison, rats in the IntA group were allowed access to drug for 5 min, with no time out, followed by a 25 min period when drug was not available, repeatedly cycling during a 6 h session (thus drug was available for a total of 1 h each day). Behavioral economic measures were used to assess motivation for drug first before ShA, LgA or IntA experience (baseline), again after 1 day of withdrawal and then again for at least the next 6 days. The first hour intake of fentanyl escalated during IntA self-administration, but not under either ShA or LgA conditions, suggesting a progressive increase in motivation for drug only during IntA self-administration. Relative to baseline, there was no effect of ShA experience on subsequent motivation for drug. With LgA experience there was a transient increase in motivation for drug at Day 1 of withdrawal, but this quickly returned to baseline at later time points. In contrast, IntA experience resulted in a persistent increase in motivation for fentanyl, evident both at Day 1 and over subsequent days of testing, such that the increase in motivation for drug was greater in the IntA than LgA group at all time points. IntA experience also resulted in greater resistance to extinction and greater cue-induced reinstatement of drug-seeking than ShA or LgA experience. Despite greater motivation for drug following IntA experience, total drug intake during IntA was significantly less than during LgA, and during IntA there was no “no relationship between the degree of escalation during IntA access to fentanyl and the magnitude of change in motivation (α) for fentanyl” (Fragale et al. 2021). Given that the IntA group took less total drug than LgA group and thus would be less likely to undergo tolerance-related neuroadaptations, we suggest that the escalation of intake and persisting increase in motivation for fentanyl produced by IntA most likely reflected the development of incentive-sensitization.\nD’Ottavio et al. (2023) compared the effects of either LgA (their “continuous” group) or IntA experience on motivation for heroin in both male and female rats, using procedures similar to Fragale et al. (2021). Both the LgA and IntA groups (and both males and females) escalated their drug intake over the 10 days of self-administration. In the LgA group cue-induced drug-seeking was greater after 21 days of abstinence than after only 1 day of abstinence whereas the IntA group showed higher drug-seeking than LgA on Day 1, and this remained high on Day 21. Thus, IntA experience resulted in greater motivation for heroin on Day 1 of abstinence, but the groups did not differ by Day 21. However, perhaps surprisingly, total intake was greater in the IntA than the LgA group.\nD’Ottavio et al. (2023) suggested that their unexpected finding that the total consumption of heroin was greater in the IntA group than the LgA group, even though the latter had access to drug continuously for 6 h per session while the former only had access for a cumulative total of 1 h per session, may have been related to differences in the pattern of self-administration in the two groups and the unique pharmacokinetics of heroin metabolism. In the IntA condition “higher intake was accompanied by a self-administration pattern characterized by closely spaced infusions (bursts) mainly concentrated in the first minute of access. In contrast, the continuous-access condition was featured by a more regular pattern of intake, single infusions spaced apart”. Modelling the pharmacokinetics suggested that IntA resulted in high intermittent spikes in brain heroin concentrations, and especially in brain concentrations of its immediate metabolite, 6-MAM, throughout the session. D’Ottavio et al. (2023) speculated “that the repeated bursts of high heroin concentrations produced by the intermittent access could induce an extremely rapid sensitization of relevant neural substrates, resulting in an intense cue-induced craving since the very early phases of abstinence”. If so, this may be an example of incentive-sensitization. However, D’Ottavio et al. (2023) also pointed out their study does not allow them to rule out “an alternative mechanistic explanation … the reward allostatic hypothesis of substance use disorder”.\nIn a related study, D’Ottavio et al. (2025a; also see D’Ottavio et al. 2025b) compared 3 groups self-administering heroin (or cocaine) on a FR-1 schedule during 6 h sessions. One LgA group had the usual 20 s time out [TO] after each injection (LgA [TO]), but the other had no TO (LgA [No TO]). The third group was tested under IntA conditions (5 min of drug availability every 25 min, no TO). All groups escalated their intake of heroin, consistent with D’Ottavio et al. (2023). However, there was a marked effect of the [TO] in the LgA groups. First, relative to the LgA [TO] group, total intake was much higher when rats were tested under LgA [No TO] conditions, comparable to that seen with IntA. Also, in the absence of a [TO] rats tested under LgA conditions showed increased motivation for heroin based on a seeking test conducted under extinction conditions and higher breakpoint on a progressive ratio schedule, comparable to the increased motivation observed in the IntA group. In choice tests rats preferred the [No TO] condition. In summary, the absence of a [TO], whether testing was conducted under IntA or LgA conditions, increased motivation for heroin to a greater extent than seen under LgA [TO] conditions, and the total intake of heroin was greater.\nAs in their 2023 paper, D’Ottavio et al. (2025a) suggested a reason for the influence of the [TO] on subsequent motivated behavior may have been because the presence or absence of the [TO] resulted in “qualitative differences in the pattern of drug-taking”. They reported that “rats trained under continuous-access timeout conditions displayed a pattern of drug-taking characterized by few infusions (typically maximum two consecutive unit-doses) spaced by inter-infusion intervals of more than 10 min. While without timeout (both intermittent and continuous-access), rats consumed heroin in rapid, consecutive ‘bursts’: several infusions in a row”. Furthermore, “as in our previous study (D’Ottavio et al. 2023), ‘burst’ episodes were accompanied by fast-rising high brain peak concentrations of heroin and 6-MAM that were significantly higher in intermittent- and continuous-access no-timeout, relative to timeout conditions”. Thus, as with cocaine, intermittent spikes in brain drug concentrations promotes the development of addiction-like behavior characterized by high motivation for drug.\nD’Ottavio et al. (2025a) noted that different patterns of drug exposure likely produce quite different forms of brain plasticity, as has been observed with psychostimulant drugs (Samaha et al. 2021) as well as opioids (Lefevre et al. 2023). It is not clear at this point whether the increased motivation for heroin seen under IntA and LgA [No TO] conditions are due to forms of brain plasticity that result in incentive-sensitization, although there are many studies with psychostimulant drugs and opioids reporting that intermittency does promote the development of sensitization, as do ‘burst’ patterns of self-administered cocaine (Allain et al. 2015; Belin et al. 2009).\nLastly, Rakowski et al. (2025) compared male and female rats allowed continuous access (ContA) to heroin in 15 four-hour daily sessions with those allowed IntA, as above. When drug was available heroin was delivered on a FR-1 schedule of reinforcement with an 8 s time out between injections, while drug was being delivered. All groups escalated their intake, and in females there was no group difference in total intake, but in males ContA access resulted in much greater intake than IntA. Like D’Ottavio et al. (2023), female rats tested under IntA conditions took heroin in a more ‘burst’-like pattern, with shorter inter-infusion intervals, although this was not seen in males. Motivation for heroin increased to a similar extent following ContA or LgA experience, as indicated by an increase in breakpoint during progressive ratio testing, but behavioral economic testing revealed greater demand for heroin after IntA experience, in females but not males, and all groups showed similar levels of responding for a heroin-paired cue.\nRakowski et al. (2025) concluded that, “the effects of total drug exposure were partially dissociated from increases in motivation (i.e., incentive sensitization)”. “Despite higher intake in ContA males, IntA males showed comparable levels of motivation as seen by similar increases in responding during progressive-ratio, similar maximum price scores calculated from the behavioral economics threshold test, and responding for cues during conditioned reinforcement.” “In females, there was similar intake between IntA and ContA groups, but IntA led to lower demand elasticity during the behavioral economics threshold test”. Thus, consistent with D’Ottavio et al. (2023, 2025a) they concluded, “these data support that the pattern of heroin intake is a contributing factor to the sensitization of heroin motivation”. “IntA led to similar responding during motivational testing despite less intake during self-administration for males while IntA resulted in less demand elasticity during behavioral economics with similar intake for females.”\nIn summary, there is considerable animal evidence from operant studies of opioid self-administration that experience with opioids, especially when they are taken in an intermittent ‘burst’ pattern, increases subsequent motivation for drug, based on a number of measures. However, it is less clear from these studies why motivation increases – is it due to incentive sensitization (Robinson and Berridge 1993, 2025) or is it maintained by an aversive opponent b-process (negative reinforcement) as suggested by hedonic allostasis and similar views (Ahmed and Koob 1998; Koob 2022; also see Coffey et al. 2023). This is in part because there are few examples where there are clear differences in total intake, and in some cases IntA heroin results in greater drug consumption than LgA (D’Ottavio et al. 2023, 2025a), unlike with cocaine where IntA results in much less cocaine consumption than LgA, and where the case for incentive sensitization is stronger (e.g., Allain et al. 2015; Kawa et al. 2019; Samaha et al. 2021). However, in the case of fentanyl self-administration IntA results in less drug consumption than LgA but a greater increase in motivation (Fragale et al. 2021) and Rakowski et al. (2025) provide an example where IntA heroin results in lower drug consumption but greater motivation than LgA (in males). These latter studies provide examples that seem more consistent with incentive sensitization. In the case of cocaine there is also evidence that IntA, but not LgA experience, produces dopamine sensitization (Kawa et al. 2019), but we are not aware of any such studies with opioids. Such studies are needed, especially using procedures that are most effective in enhancing motivation for drug and drug cues (D’Ottavio et al. 2023, 2025a). However, Fragale et al. (2021) did report that IntA fentanyl altered orexin neurons in ways that they suggest is also associated with the production of an “addiction-like” state for cocaine. Nevertheless, it seems fair to say that, at this point in time, studies using CPP procedures (above) provide more clear and compelling evidence of opioid-induced incentive (and dopamine) sensitization than studies using operant procedures.\n\n\n### Conditioned place preference (CPP) studies\nIn animal studies, the Conditioned Place Preference (CPP) procedure was probably the most used early method to assess whether drug cues or contexts acquire incentive motivational properties (incentive salience), and whether this increases (sensitizes) or decreases (shows tolerance) following repeated drug treatment. With CPP, the administration of a drug reward is associatively paired with a specific place (e.g., a distinctive chamber in a 2-chamber or 3-chamber apparatus). Then on a test day, in the absence of drug reward, it is determined whether animals prefer to spend more time in the previously drug-paired chamber than in other chambers, or whether they show an avoidance of that chamber. If animals show a CPP it is usually assumed that the context/stimulus developed conditioned rewarding/incentive motivational properties via Pavlovian learning (see Cunningham et al. 2006; Huston et al. 2013 for discussions regarding the complexity of interpreting CPP studies, depending on the exact design).\nHumans develop a preference for a place paired with psychostimulant drugs (Krishnan et al. 2023; Linhardt et al. 2022 for reviews) but we are not aware of any CPP studies using an opioid drug in humans. However, there is overwhelming evidence from studies in other animals that the systemic administration of opioid drugs, including morphine, heroin, oxycodone and fentanyl (as well as their metabolites; Milella et al. 2023), does produce a CPP (Ma et al. 2009; Mucha et al. 1982; for reviews Bardo and Bevins 2000; Bardo et al. 1995; Le Merrer et al. 2009; McKendrick and Graziane 2020; Milella et al. 2023; Rutten et al. 2011; Steidl et al. 2017; Tzschentke 1998). Furthermore, intracerebral microinjection studies (e.g., morphine, DAMGO, endomorphin-1) have established that pairing opioid microinjections locally into the VTA with a place is sufficient to produce a CPP (e.g., Bals-Kubik et al. 1993; Bozarth 1987; Mamoon et al. 1995; Olmstead and Franklin 1997; Phillips and LePiane 1980; Zangen et al. 2002). The role of other brain structures is less clear: for example, van der Kooy et al. (1982) reported that the injection of morphine into the NAc also produced a CPP, but not all studies find this (Bals-Kubik et al. 1993; Schildein et al. 1998; Zangen et al. 2002). Thus, an action of opioids in the VTA is thought to be especially important for opioid-associated places and other cues to acquire incentive motivational properties (Moaddab et al. 2009; Shippenberg et al. 1992; cf., Hnasko et al. 2005).\nThere are many reports that induction of an opioid-induced CPP requires dopamine neurotransmission, as indicated, for example, by pretreatment with dopamine receptor antagonists or 6-OHDA lesions (Bozarth and Wise 1981; Cui et al. 2014; Fenu et al. 2006; Maldonado et al. 1997; Martinez-Rivera et al. 2024; Narita et al. 2010; Nickols et al. 2023; O’Neal et al. 2022; Schwartz and Marchok 1974; Shippenberg et al. 1993; Sprague et al. 2002; Spyraki et al. 1983), or deletion of the D2 (long form) receptor in mice (Smith et al. 2002). Even selective blockade of dopamine D3 receptors is reported to attenuate the development and/ or expression of an opioid-induced CPP (Ashby et al. 2003; Galaj et al. 2015; Hu et al. 2023). Of course, non-dopaminergic mechanisms also contribute (for reviews see Bardo and Bevins 2000; Bardo et al. 1995; Fujita et al. 2019; McKendrick and Graziane 2020; Milella et al. 2023; Raymond et al. 2025; Steidl et al. 2017; Tzschentke 1998). Transient inhibition of the NAc with lidocaine is also reported to prevent the acquisition and expression of a morphine CPP, adding further support for a role of mesolimbic systems (Esmaeili et al. 2012). Although most of the CPP literature supports a role for dopamine in mediating opioid CPP it should be noted that there are exceptions (e.g., Darcq et al. 2023; Hnasko et al. 2005; Mackey and van der Kooy 1985). For example, Mackey & van der Kooy (1985), found that two neuroleptic drugs (flupenthixol and haloperidol) failed to block a morphine CPP and Hnasko et al. (2005) reported that dopamine-deficient mice still develop a CPP for morphine.\nThe weight of the CPP literature supports the idea that opioid-associated cues can be attributed with incentive salience and so acquire incentive motivational properties, such as becoming attractive and ‘wanted’. But the main question relevant to opioids and IST is whether there is evidence for incentive sensitization, namely, an increase in the incentive salience attributed to opioid cues, as a function of past experience with opioids? The earliest study we are aware of to report that pretreatment with systemic morphine outside of a CPP apparatus facilitates the later development of a morphine CPP when morphine was subsequently paired with a particular place, was published by Lett in 1989, who also reported cross-sensitization between morphine and amphetamine and cocaine (Lett 1989). Relating sensitization effects to addiction, and anticipating one aspect of IST, Lett (1989) hypothesized, “drugs of abuse are addictive because repeated exposures sensitize the central reward mechanism”. Our chief contribution was to later refine this notion to specify that the only psychological component of reward that sensitizes is motivational incentive salience (‘wanting’), and not the hedonic impact or pleasure produced by consumption of a reward (‘liking’) (Robinson and Berridge 1993). Since Lett’s 1989 study there have been numerous studies confirming that morphine pretreatment can produce incentive sensitization, measured as a facilitated CPP, presumably reflecting magnified ‘wanting’ to be in the drug-paired place (Gaiardi et al. 1991; Sahraei et al. 2007; Shippenberg et al. 1996; Simpson and Riley 2005). Adding to the specific neuroanatomical substrates mediating CPP enhancement Zarrindast et al. (2007) reported that prior microinjections of morphine into the ventral pallidum was sufficient to facilitate the later development of a CPP produced by pairing systemic morphine with a particular place. However, the nature of sensitized CPP effects is influenced by several other factors, such as whether opioid delivery is chronic or intermittent (also see Appendix 1), whether animals are opioid-dependent or not (e.g., Bechara et al. 1998; Nader and van der Kooy 1997; Ting-A-Kee and van der Kooy 2012), and whether animals are still in withdrawal or not after the cessation of opioid treatment. For example, Shippenberg et al. (1988) initially reported that when drug-place pairings took place beginning a mere 12 h after the last morphine pretreatment injection the ability of morphine or fentanyl to produce a CPP was decreased, that is, tolerance and cross-tolerance, not sensitization, was seen (also see Martin et al. 1988). However, in a later study Shippenburg et al. (1996) tested animals at 1, 3, 10 or 21 days after the cessation of pretreatment and found evidence for CPP sensitization: “The augmented response to morphine was apparent when conditioning commenced 3, 10 or 21 days after the cessation of morphine pretreatment” but was, “not apparent when conditioning commenced 1 day after treatment cessation”. Cross-sensitization between fentanyl and morphine was also found. This time-dependent emergence of incentive sensitization following the cessation of opioid treatment is very similar to what is often seen with psychostimulant drugs (e.g., Paulson et al. 1991; Paulson and Robinson 1995; Robinson and Berridge 1993 for review).\nPerhaps most important for showing an opioid contribution to mesolimbic incentive sensitization are examples of cross-sensitization. Not surprisingly, opioid cross-sensitization has been reported between fentanyl and morphine; that is, pretreatment with fentanyl facilitated the later development of a CPP for morphine (Shippenburg et al. 1996). More interestingly, morphine pretreatment also facilitates the later development of a CPP produced by amphetamine, and vice versa (Lett 1989) or by cocaine (Lett 1989; Shippenberg et al. 1998). Kim et al. (2004) reported that a single injection of cocaine is sufficient to enhance the CPP produced by subsequent morphine administration, and this enhancement is prevented by microinjection of the NMDA antagonist, MK-801, into the VTA. Given it is well established that psychostimulant-induced effects are accompanied by mesolimbic sensitization, such cross-sensitization between an opioid and psychomotor stimulants implies a common mesolimbic sensitization mechanism. Similarly, stress has long been known to cross-sensitize to psychomotor stimulant drug-induced behavioral effects (e.g., Antelman et al. 1980), possibly mediated by stress-induced mesolimbic activation and CRF systems. Importantly, acute (but not chronic) stress has also been reported to cross-sensitize to opioids, for example, facilitating the subsequent development of a morphine CPP (Capriles and Cancela 2002; Rozeske et al. 2011; Will et al. 1998). Interestingly, Carlyle et al. (2021) reported that in adults who experienced past childhood trauma morphine was both liked and wanted to a greater degree than in control subjects.\nIn related studies, opioids also can cross-sensitize to enhance the incentive salience of non-drug rewards. Pretreatment with morphine or heroin has been reported to sometimes decrease motivation for a food reward when animals are tested soon after abstinence, while still in withdrawal, but to increase motivation for food rewards when tested after a longer period of drug abstinence (Halbout et al. 2024; Li et al. 2017; Ranaldi et al. 2009; Scheggi et al. 2020), especially for a highly palatable food reward (Bai et al. 2014), although there are exceptions (Harris and Aston-Jones 2007; Zhang et al. 2007). Similar findings have been reported for opioid cross-sensitization to social and sexual rewards (Bai et al. 2014; Nocjar and Panksepp 2007). As summarized by Li et al. (2017), “No anhedonia-like behavior but sensitized behaviors for natural rewards were found after long-term morphine withdrawal”. Referring to studies showing increased motivation for a food reward Halbout et al. (2024) commented, “Such findings seem to align with the incentive-sensitization theory of addiction, which posits that repeated drug exposure can lead to a persistent increase in reward ‘wanting’ due to sensitizing adaptations in mesolimbic dopamine system”. Consistent with this, Scheggi et al. (2020) reported that morphine sensitization was accompanied by an “an enhanced dopaminergic response to sucrose consumption that did not show development of habituation. These sensitization-induced modifications in appetitive motivation and dopaminergic transmission in the NAcS could represent the substrate that increases the incentive properties of a natural reward”. It is important to note that such broad enhancement of incentive motivation from drugs to food, sexual or social reward is typical of the initial effects of acute elevations in mesolimbic reactivity, but in addiction the sensitized increase in ‘wanting’ usually becomes more narrowly focused upon a particular target, such as taking drugs, due to repeated experience.\nImplicating opioid, dopamine and glutamate receptors as contributing mechanisms to opioid sensitization, sensitization of the conditioned incentive effects of morphine is prevented or attenuated by concomitant administration of naloxone (Shippenberg et al. 1996), delta opioid receptor antagonists (Shippenberg et al. 2009), dopamine D1 or D2 antagonists (Manzanedo et al. 2005; Zarrindast et al. 2007; also see O’Neal et al. 2022) or a glutamate NMDA receptor antagonist (Aguilar et al. 2009; also see Cui et al. 2014). Similarly, stress-induced sensitization of a morphine CPP is prevented by dopamine D1 or D2 antagonists (Capriles and Cancela 2002).\nIn summary, CPP studies in rodents establish that prior exposure to opioid drugs can enhance the degree to which stimuli later associated with drug treatments are attributed with incentive salience and implicate dopamine in this incentive-sensitization process.\n\n\n### Mechanisms that narrow the focus of mesolimbically stimulated incentive salience\nAs mentioned above, mesolimbic stimulation can induce intense incentive salience which initially may be broadly attributed to many stimuli and thus manifest, for example, as cross-sensitization to even non-drug rewards. But with more experience ‘wanting’ can gradually become narrowly focused onto a few specific and persistent targets, such as drug cues, presumably due to the close reliance of incentive salience mechanisms on Pavlovian associations between cues and rewards. Thus, for example, NAc dopamine stimulation in naïve rats caused by amphetamine microinjections in medial shell can facilitate cue-triggered ‘wanting’ for unrelated food rewards in rats (Wyvell and Berridge 2000). Similarly, a woman with Parkinson’s disease who received electrical stimulation of the subthalamic nucleus for the first time was initially reported to experience mood elevation and “was excessively talkative” (Herzog et al. 2003). In her first few weeks of brain stimulation plus L-dopa therapy, according to the authors “the patient’s mood was euphoric and … She lost normal social inhibitions, was in love with two neurologists, and tried to embrace and kiss people” (Herzog et al. 2003). However, over time the motivational effects of her limbic stimulation became more narrowly focused into a persistent shopping addiction (Herzog et al. 2003). In the 1960 s, electrical stimulation-bound motivated behaviors were famously induced in rats by lateral hypothalamic (LH) electrodes that could indirectly stimulate the mesolimbic system. LH stimulation most commonly produced stimulation-bound eating, but in other individuals drinking, sexual behaviors, or parental behaviors, etc. were seen (Valenstein et al. 1970). However, these phenomena required the rat to receive extensive stimulations in the presence of a target reward and required experimenter skill and patience. As James Olds described it, “I came to speak in favor of Valenstein’s study…when he explained that with all hypothalamic stimulated drives you often get nothing when you first put the probes in. In all studies of hypothalamically stimulated drive behaviors there is commonly a lag period after the probes are planted and stimulation tests begun before positive effects are observed. The lag has been an enigma and caused many young investigators to abandon the problem early. Persistence often yielded success … Valenstein’s study clarified the fact that stimulating the animal in the presence of goals is a form of training and that the stimulus gradually brings goal-directed behaviors under control by an almost “developmental” chain of events. Valenstein thus put us onto the idea that there is a great deal of training in any hypothalamic drive behavior” (Olds 1976). In recent decades, a substantial minority of Parkinson’s patients who are treated with direct agonist medications develop behavioral addictions, typically focused specifically on gambling, sex, shopping, eating, etc. Why different stimuli become the target of incentive salience in different individuals is not known but is likely to involve the individual’s past history as well as encounters with specific rewards while under medication (e.g., Robinson and Berridge 2025 for review).\nThere is very little work on the brain mechanisms that underlie the narrow focusing of incentive salience, and the associatively guided attribution of excessive ‘wanting’ to a particular specific target. Nevertheless, recent preclinical studies by Berridge and his colleagues illustrate how intense this focus can become and identify a potential neural basis in amygdala-guided interactions with mesolimbic circuitry (Nguyen and Berridge 2025; Warlow et al. 2017, 2020; Warlow and Berridge 2021 for review). In those studies, a narrow and intense focus of incentive salience ‘wanting’ can be assigned at the experimenter’s whim to whatever specific target is associatively paired with brief optogenetic stimulations of central amygdala neurons (e.g., sugar pellets vs. i.v. cocaine vs. a shock rod). This focus can be so intense it produces ‘wanting what hurts’, as in the case of the shock rod. Such studies provide a start into exploring possible neural mechanisms of focusing, and this is an area ripe for future investigation.\n\n\n### Self-administration studies using operant procedures\nAnother line of evidence that opioids may produce incentive sensitization comes from self-administration studies showing cross-sensitization between opioids and cocaine. Prior treatment with morphine or heroin increases the subsequent incentive motivational effects of intravenous cocaine assessed by self-administration. For example, He and Grasing (2004) found that pretreatments with morphine (experimenter-administered) increased the willingness of rats to later self-administer for cocaine on a progressive ratio (PR schedule), when they were tested at least 5 days after the discontinuation of morphine treatment. Leri et al. (2003) similarly found that 14 days after the discontinuation of continuous heroin treatment, cocaine self-administration was enhanced in rats. Further, Ward et al. (2006) allowed rats to self-administer heroin on a 24-hr discrete trials procedure and then subsequently tested the same rats for cocaine self-administration on a PR schedule. They found that 10 days of heroin experience “resulted in an upward shift in the cocaine dose–effect curve on a PR schedule, indicating an increase in the reinforcing efficacy of cocaine.” Reciprocally, Mierzejewski et al. (2007) reported that a “prior history of cocaine self-administration sensitizes rats to the positive reinforcing properties of morphine”. But Seaman et al. (2026) reported that when rats were experiencing the symptoms of morphine withdrawal demand for fentanyl, but not cocaine or methamphetamine, was increased.\nHowever, the studies above primarily used short access sessions, and is widely accepted that rats are less prone to develop addiction-like behavior if they are given only limited access to drugs, such as cocaine, during short access daily sessions (ShA; 1 to 2-hour sessions each day), compared to when they are allowed to consume much more drug during what are called long access sessions (LgA; 6 + hour sessions each day) (e.g., Edwards and Koob 2013; Koob and Kreek 2007). The use of LgA procedures was popularized by Ahmed and Koob (1998), who reported that cocaine intake escalated in rats given LgA but not ShA sessions. Escalation of intake is often interpreted as reflecting increasing motivation for drug and thus represents one symptom of addiction (Ahmed and Koob 1998; Bardo et al. 2025 for review). For those who believe drug taking is motivated primarily by withdrawal feelings and the need to diminish distress, this increased motivation for drug sometimes has been interpreted as due to the development of a ‘dopamine deficiency’ resulting in anhedonia (on the once-common assumption that dopamine mediated pleasure), or an increase in “hedonic set-point” (Ahmed and Koob 1998). As put by Volkow et al. (2016), it is “the down-regulation of dopamine signaling that dulls the reward circuits’ sensitivity to pleasure” and therefore, “the person with addiction transitions from taking drugs simply to feel pleasure, or to “get high,” to taking them to obtain transient relief from dysphoria”. Many further thought large amounts of drug consumption during LgA sessions were necessary to produce escalation of intake (e.g., Ahmed and Koob 1998; Edwards and Koob 2013; but see Kawa et al. 2019 and Samaha et al. 2021 for critiques of this view).\nAlthough there have been many studies on the effects of LgA cocaine as an animal model of addiction, more recently there has been increasing interest in what are referred to as intermittent access (IntA) self-administration schedules. On IntA schedules drug is continuously available (no time out) for a short period of time (often 5 min), and these drug-available periods are alternated with longer ‘no drug available’ periods (often 25 min for cocaine). This results in repeated intermittent burst-like spikes in brain cocaine concentrations throughout the self-administration session (Zimmer et al. 2012), in contrast to the sustained high brain levels of cocaine seen throughout a LgA session. This intermittency is thought to better reflect human patterns of use, especially during the development of addiction. It turns out that although IntA cocaine schedules produce much lower total cocaine consumption than LgA schedules, and so presumably less tolerance and withdrawal, IntA also produces escalation of intake similarly to LgA, and is even more effective than LgA in producing a number of other addiction-like behaviors, such as increased motivation for cocaine on a progressive ratio schedule and a high propensity for reinstatement or relapse after days or weeks without drugs (for reviews see Allain et al. 2015; Kawa et al. 2019; Samaha et al. 2021). In addition, when LgA rats are tested during withdrawal soon after the discontinuation of cocaine self-administration they show decreased dopamine neurotransmission (tolerance), whereas IntA rats show mesolimbic sensitization manifest as an increase in dopamine neurotransmission. Given that IntA results in much less drug consumption than LgA but more marked mesolimbic sensitization and more addiction-like behavior, it has been suggested that the escalation in cocaine consumption and other addiction-like behavior seen during IntA is chiefly due to an increase in drug ‘wanting’ due to incentive-sensitization, not withdrawal avoidance (see Allain et al. 2015; Kawa et al. 2019 and Samaha et al. 2021 for reviews).\nBut what about opioids? Since the original Ahmed and Koob (1998) study with cocaine there have been a number of studies asking whether long access (LgA) to opioid drugs also produces escalation of intake (and other addiction-like behaviors). The answer is yes, it does. LgA results in the escalation of intake of heroin (Ahmed et al. 2000; Barbier et al. 2013; D’Ottavio et al. 2023, 2025a; George et al. 2021, 2022; Lenoir and Ahmed 2007, 2008; Lenoir et al. 2012; Rakowski et al. 2025; Towers et al. 2019; Vendruscolo et al. 2018; Wade et al. 2015; Walker et al. 2003), fentanyl (Barattini et al. 2024; Coffey et al. 2023; Magnard et al. 2025; Wade et al. 2015), fentanyl vapor (Moussawi et al. 2020), sufentanil (Vendruscolo et al. 2018), and oxycodone (Blackwood et al. 2019; de Guglielmo et al. 2020; Sharp and Chen 2025; Wabreha et al. 2025; Wade et al. 2015; Zhang et al. 2014; although see Giunta et al. 2025). However, even ShA (2 h sessions) with remifentanil (Lacy et al. 2020) or fentanyl (Chen et al. 2025) have been reported to be sufficient to produce escalation of intake in rats and mice, respectively, and 3 h sessions sufficient to produce escalation of heroin intake in rats (Adamatzky et al. 2025). Also, in a study using many strains of rats Duffy et al. (2024) found that over ten 12 h sessions the intake of oxycodone escalated but the magnitude of the effect varied as a function of strain and sex. They reported, “The heritability of oxycodone intake phenotypes ranged between 0.26 to 0.54, indicating that genetic background plays a major role in the variability of oxycodone consumption”. Sex differences have also been reported. Barattini et al. (2024) reported that males showed greater escalation of fentanyl intake than females, whereas females show greater escalation of heroin intake than males (George et al. 2021; Towers et al. 2019). On the other hand, Fragale et al. (2021) did not find that the first hour intake of fentanyl increased under either ShA or LgA conditions, but an IntA condition did produce escalation (see below).\nStudies on the effects of IntA to opioids have allowed access to drug for periods ranging from 6 h to 24 h, and under these conditions escalation of intake has been reported for heroin (D’Ottavio et al. 2023, 2025a; Rakowski et al. 2025), fentanyl (Fragale et al. 2021; Towers et al. 2022, 2023) and oxycodone (Samson et al. 2022), although one other study by Bakhti-Suroosh et al. (2021) failed to see escalation in rats given 24 h access to IntA fentanyl (Raymond et al. 2025 for review). Therefore, the emerging consensus is that both LgA and IntA self-administration schedules result in increasing motivation for opioids, as indicated by escalation of intake, as well as by other measures of motivation for drug (e.g., increased breakpoint on a progressive ratio schedule, behavioral economic indicators of drug demand, etc.; not reviewed here). However, opioid effects on total intake are much more complicated than with cocaine, perhaps due to the complexity, for example, of heroin pharmacokinetics (D’Ottavio et al. 2023, 2025a; see below). Under some conditions the total intake of heroin is greater under IntA than LgA conditions, making it more difficult to determine whether the increasing motivation for drug is due to incentive-sensitization or to tolerance/withdrawal, or both.\nWe are aware of only four studies to directly compare the extent to which LgA vs. IntA opioid self-administration produces addiction-like behavior and assess drug consumption. In the first study to do this Fragale et al. (2021) compared the effects of ShA (1 h access), LgA (6 h) or IntA (6 h) self-administration of fentanyl on subsequent motivation for drug. The ShA and LgA groups were on a FR-1 schedule of reinforcement with a 20 s time out following each injection. By comparison, rats in the IntA group were allowed access to drug for 5 min, with no time out, followed by a 25 min period when drug was not available, repeatedly cycling during a 6 h session (thus drug was available for a total of 1 h each day). Behavioral economic measures were used to assess motivation for drug first before ShA, LgA or IntA experience (baseline), again after 1 day of withdrawal and then again for at least the next 6 days. The first hour intake of fentanyl escalated during IntA self-administration, but not under either ShA or LgA conditions, suggesting a progressive increase in motivation for drug only during IntA self-administration. Relative to baseline, there was no effect of ShA experience on subsequent motivation for drug. With LgA experience there was a transient increase in motivation for drug at Day 1 of withdrawal, but this quickly returned to baseline at later time points. In contrast, IntA experience resulted in a persistent increase in motivation for fentanyl, evident both at Day 1 and over subsequent days of testing, such that the increase in motivation for drug was greater in the IntA than LgA group at all time points. IntA experience also resulted in greater resistance to extinction and greater cue-induced reinstatement of drug-seeking than ShA or LgA experience. Despite greater motivation for drug following IntA experience, total drug intake during IntA was significantly less than during LgA, and during IntA there was no “no relationship between the degree of escalation during IntA access to fentanyl and the magnitude of change in motivation (α) for fentanyl” (Fragale et al. 2021). Given that the IntA group took less total drug than LgA group and thus would be less likely to undergo tolerance-related neuroadaptations, we suggest that the escalation of intake and persisting increase in motivation for fentanyl produced by IntA most likely reflected the development of incentive-sensitization.\nD’Ottavio et al. (2023) compared the effects of either LgA (their “continuous” group) or IntA experience on motivation for heroin in both male and female rats, using procedures similar to Fragale et al. (2021). Both the LgA and IntA groups (and both males and females) escalated their drug intake over the 10 days of self-administration. In the LgA group cue-induced drug-seeking was greater after 21 days of abstinence than after only 1 day of abstinence whereas the IntA group showed higher drug-seeking than LgA on Day 1, and this remained high on Day 21. Thus, IntA experience resulted in greater motivation for heroin on Day 1 of abstinence, but the groups did not differ by Day 21. However, perhaps surprisingly, total intake was greater in the IntA than the LgA group.\nD’Ottavio et al. (2023) suggested that their unexpected finding that the total consumption of heroin was greater in the IntA group than the LgA group, even though the latter had access to drug continuously for 6 h per session while the former only had access for a cumulative total of 1 h per session, may have been related to differences in the pattern of self-administration in the two groups and the unique pharmacokinetics of heroin metabolism. In the IntA condition “higher intake was accompanied by a self-administration pattern characterized by closely spaced infusions (bursts) mainly concentrated in the first minute of access. In contrast, the continuous-access condition was featured by a more regular pattern of intake, single infusions spaced apart”. Modelling the pharmacokinetics suggested that IntA resulted in high intermittent spikes in brain heroin concentrations, and especially in brain concentrations of its immediate metabolite, 6-MAM, throughout the session. D’Ottavio et al. (2023) speculated “that the repeated bursts of high heroin concentrations produced by the intermittent access could induce an extremely rapid sensitization of relevant neural substrates, resulting in an intense cue-induced craving since the very early phases of abstinence”. If so, this may be an example of incentive-sensitization. However, D’Ottavio et al. (2023) also pointed out their study does not allow them to rule out “an alternative mechanistic explanation … the reward allostatic hypothesis of substance use disorder”.\nIn a related study, D’Ottavio et al. (2025a; also see D’Ottavio et al. 2025b) compared 3 groups self-administering heroin (or cocaine) on a FR-1 schedule during 6 h sessions. One LgA group had the usual 20 s time out [TO] after each injection (LgA [TO]), but the other had no TO (LgA [No TO]). The third group was tested under IntA conditions (5 min of drug availability every 25 min, no TO). All groups escalated their intake of heroin, consistent with D’Ottavio et al. (2023). However, there was a marked effect of the [TO] in the LgA groups. First, relative to the LgA [TO] group, total intake was much higher when rats were tested under LgA [No TO] conditions, comparable to that seen with IntA. Also, in the absence of a [TO] rats tested under LgA conditions showed increased motivation for heroin based on a seeking test conducted under extinction conditions and higher breakpoint on a progressive ratio schedule, comparable to the increased motivation observed in the IntA group. In choice tests rats preferred the [No TO] condition. In summary, the absence of a [TO], whether testing was conducted under IntA or LgA conditions, increased motivation for heroin to a greater extent than seen under LgA [TO] conditions, and the total intake of heroin was greater.\nAs in their 2023 paper, D’Ottavio et al. (2025a) suggested a reason for the influence of the [TO] on subsequent motivated behavior may have been because the presence or absence of the [TO] resulted in “qualitative differences in the pattern of drug-taking”. They reported that “rats trained under continuous-access timeout conditions displayed a pattern of drug-taking characterized by few infusions (typically maximum two consecutive unit-doses) spaced by inter-infusion intervals of more than 10 min. While without timeout (both intermittent and continuous-access), rats consumed heroin in rapid, consecutive ‘bursts’: several infusions in a row”. Furthermore, “as in our previous study (D’Ottavio et al. 2023), ‘burst’ episodes were accompanied by fast-rising high brain peak concentrations of heroin and 6-MAM that were significantly higher in intermittent- and continuous-access no-timeout, relative to timeout conditions”. Thus, as with cocaine, intermittent spikes in brain drug concentrations promotes the development of addiction-like behavior characterized by high motivation for drug.\nD’Ottavio et al. (2025a) noted that different patterns of drug exposure likely produce quite different forms of brain plasticity, as has been observed with psychostimulant drugs (Samaha et al. 2021) as well as opioids (Lefevre et al. 2023). It is not clear at this point whether the increased motivation for heroin seen under IntA and LgA [No TO] conditions are due to forms of brain plasticity that result in incentive-sensitization, although there are many studies with psychostimulant drugs and opioids reporting that intermittency does promote the development of sensitization, as do ‘burst’ patterns of self-administered cocaine (Allain et al. 2015; Belin et al. 2009).\nLastly, Rakowski et al. (2025) compared male and female rats allowed continuous access (ContA) to heroin in 15 four-hour daily sessions with those allowed IntA, as above. When drug was available heroin was delivered on a FR-1 schedule of reinforcement with an 8 s time out between injections, while drug was being delivered. All groups escalated their intake, and in females there was no group difference in total intake, but in males ContA access resulted in much greater intake than IntA. Like D’Ottavio et al. (2023), female rats tested under IntA conditions took heroin in a more ‘burst’-like pattern, with shorter inter-infusion intervals, although this was not seen in males. Motivation for heroin increased to a similar extent following ContA or LgA experience, as indicated by an increase in breakpoint during progressive ratio testing, but behavioral economic testing revealed greater demand for heroin after IntA experience, in females but not males, and all groups showed similar levels of responding for a heroin-paired cue.\nRakowski et al. (2025) concluded that, “the effects of total drug exposure were partially dissociated from increases in motivation (i.e., incentive sensitization)”. “Despite higher intake in ContA males, IntA males showed comparable levels of motivation as seen by similar increases in responding during progressive-ratio, similar maximum price scores calculated from the behavioral economics threshold test, and responding for cues during conditioned reinforcement.” “In females, there was similar intake between IntA and ContA groups, but IntA led to lower demand elasticity during the behavioral economics threshold test”. Thus, consistent with D’Ottavio et al. (2023, 2025a) they concluded, “these data support that the pattern of heroin intake is a contributing factor to the sensitization of heroin motivation”. “IntA led to similar responding during motivational testing despite less intake during self-administration for males while IntA resulted in less demand elasticity during behavioral economics with similar intake for females.”\nIn summary, there is considerable animal evidence from operant studies of opioid self-administration that experience with opioids, especially when they are taken in an intermittent ‘burst’ pattern, increases subsequent motivation for drug, based on a number of measures. However, it is less clear from these studies why motivation increases – is it due to incentive sensitization (Robinson and Berridge 1993, 2025) or is it maintained by an aversive opponent b-process (negative reinforcement) as suggested by hedonic allostasis and similar views (Ahmed and Koob 1998; Koob 2022; also see Coffey et al. 2023). This is in part because there are few examples where there are clear differences in total intake, and in some cases IntA heroin results in greater drug consumption than LgA (D’Ottavio et al. 2023, 2025a), unlike with cocaine where IntA results in much less cocaine consumption than LgA, and where the case for incentive sensitization is stronger (e.g., Allain et al. 2015; Kawa et al. 2019; Samaha et al. 2021). However, in the case of fentanyl self-administration IntA results in less drug consumption than LgA but a greater increase in motivation (Fragale et al. 2021) and Rakowski et al. (2025) provide an example where IntA heroin results in lower drug consumption but greater motivation than LgA (in males). These latter studies provide examples that seem more consistent with incentive sensitization. In the case of cocaine there is also evidence that IntA, but not LgA experience, produces dopamine sensitization (Kawa et al. 2019), but we are not aware of any such studies with opioids. Such studies are needed, especially using procedures that are most effective in enhancing motivation for drug and drug cues (D’Ottavio et al. 2023, 2025a). However, Fragale et al. (2021) did report that IntA fentanyl altered orexin neurons in ways that they suggest is also associated with the production of an “addiction-like” state for cocaine. Nevertheless, it seems fair to say that, at this point in time, studies using CPP procedures (above) provide more clear and compelling evidence of opioid-induced incentive (and dopamine) sensitization than studies using operant procedures.\n\n\n### Is dopamine necessary for opioid self-administration?\nAnother issue raised by critics who deny that motivation for opioid drugs depends on mesolimbic dopamine systems is the claim that dopamine neurotransmission is not essential for opioid self-administration in non-human animals (Badiani et al. 2019; Nutt et al. 2015). For example, as put by Badiani et al. (2011), “the most fundamental difference [between psychostimulants and opioids] is that mesocorticolimbic dopamine transmission seems to be crucial for psychostimulant self-administration but not opiate self-administration”. This is an important issue for IST because we have argued that dopamine plays a role in mediating the motivation to consume opioids, and particularly in the development of persisting escalation of opioid consumption and other symptoms of addiction. We agree with Badiani et al. (2019) in their assertion that for IST it is, “difficult to separate dopamine from the incentive salience attributor”, and for us too dopamine remains a major component of the incentive salience attributor. Thus, it is an important question whether dopamine plays a role in mediating opioid self-administration and the motivation to consume.\nPsychomotor stimulant drugs and opioids certainly differ in their specific neurobiological actions, including actions on dopamine, but their ultimate effects on incentive motivation and reward could still be consistent with the fundamental tenets of IST. As reviewed next, we believe that over the years evidence has continued to support the idea that mesolimbic dopamine is an important link in the chain that generates ‘wanting’ and becomes sensitized in addiction, for opioids as well as psychostimulants.\nOpioid drugs (especially mu opioid receptor agonists) are readily self-administered by rodents, as well as by humans and nonhuman primates (for reviews see Balster and Lukas 1985; Moussawi et al. 2020; Stewart et al. 1984; Wise and Bozarth 1987), in ways that can be influenced by genetic background and sex (Duffy et al. 2024). As mentioned above, microinjections of morphine (Bozarth and Wise 1981; David et al. 2002; Devine and Wise 1994) or fentanyl (van Ree and de Wied 1980) are self-administered directly into the VTA, at least indirectly implicating mesolimbic dopamine systems which arise from that structure. However, a role for dopamine in opioid self-administration has been questioned (e.g., Badiani et al. 2011; Nutt et al. 2015).\nEarly studies involving excitotoxic or electrolytic lesions in dopamine projection targets, such as NAc, did implicate mesolimbic systems in the motivation to take opioids. Lesions in the NAc decrease both morphine and heroin self-administration (Dworkin et al. 1988b; Zito et al. 1985) and decrease motivation to work for opioid drugs assessed by breakpoint on a progressive ratio schedule (Suto et al. 2011). Alderson et al. (2001) reported that a lesion of NAc core, but not NAc shell, reduced the acquisition of heroin self-administration. Lesions in the NAc had the largest disruptive effect (Suto et al. 2011), though lesions in the dorsal striatum also are reported to reduce opioid self-administration (Glick et al. 1975; Suto et al. 2011). But of course, opioids have direct effects on neurons in NAc and neostriatum, so lesion studies of those structures do not specifically implicate dopamine. To address this question there have been many studies on the effects of interfering with dopamine neurotransmission on opioid self-administration.\nIn early studies selective lesions of dopamine neurons with 6-OHDA, or pharmacological studies on the effects of interfering with dopamine neurotransmission, provided a more direct way of investigating the role of dopamine in opioid self-administration. In these early studies it was reported that partial 6-OHDA lesions (Dworkin et al. 1988a; Gerrits and Van Ree 1996; Pettit et al. 1984) or treatment with dopamine antagonists to partially block dopamine receptors (Ettenberg et al. 1982; Gerber and Wise 1989; Gerrits et al. 1994; Higgins et al. 1994; Pisanu et al. 2015; Van Ree and Ramsey 1987), had little to no effect on opioid self-administration, even when these same manipulations decreased cocaine self-administration. Hemby et al. (1996) found that the dopamine D2 antagonist, eticlopride, did decrease heroin self-administration, but cautioned that the effect may have been due to non-specific “rate-decreasing” effects. Furthermore, some studies suggested that the action of opioids on opioid receptors in the NAc are more important than opioid receptors in the VTA in mediating incentive motivation for opioids (e.g., Bossert et al. 2023; Stinus et al. 1992; Vaccarino et al. 1985; also see Charbogne et al. 2017). Not surprisingly, these studies have been interpreted to suggest that mesolimbic dopamine is not critically involved in mediating opioid self-administration (for review see Box 3 in Badiani et al. 2011; also see Fujita et al. 2019; Mello and Negus 1996; Nutt et al. 2015).\nHowever, interpreting the effects of partial 6-OHDA lesions can be complicated because relatively normal behavioral and dopamine function can be maintained in both rodents and human Parkinson’s patients until dopamine depletions reach 80–90%, leaving only < 10–20% of dopamine neurons remaining (e.g., Robinson et al. 1994; Robinson and Whishaw 1988). In most studies of opioid self-administration, the 6-OHDA lesions were not this large (e.g., Dworkin et al. 1988a – 17% depletion; Gerrits and Van Ree 1996–50–70% depletion). One early study reported that a 6-OHDA lesion of the VTA did prevent the acquisition of heroin self-administration, but this was only seen in rats with a large dopamine depletion (Bozarth and Wise 1986). Furthermore, Gao et al. (2013) reported that a 6-OHDA lesion that depleted dopamine terminals in the shell of the NAc (but not in dorsolateral striatum) did inhibit the acquisition of morphine self-administration. Similarly, David et al. (2002) reported that in mice microinjections of the dopamine D2/D3 antagonist sulpiride into the VTA reduced the self-administration of morphine. Using a different approach, Elmer et al. (2002) studied morphine self-administration in dopamine D2 receptor knockout mice and reported, “the knock-out mice did not respond more for morphine than for saline and did not respond more when increased ratios were required by the PR [progressive ratio] schedule”. Finally, Yue et al. (2012) reported that tetrahydropalmatine, thought to act as a dopamine D1 receptor antagonist, and possibly a D3 antagonist, “decreased heroin self-administration” and “inhibited heroin-induced reinstatement of heroin-seeking behavior” in rats. Tetrahydropalmatine also has been reported to decrease craving and increase abstinence in heroin-dependent people (Yang et al. 2008). Thus, although the literature is certainly mixed, there are some studies reporting that suppression of mesolimbic dopamine can reduce opioid self-administration.\nIn addition, Hodebourg et al. (2019) studied heroin-seeking behavior, “under the control of drug-paired cues, as measured under a second-order schedule of reinforcement”. After prolonged (15 days) training on the second-order schedule, when seeking behavior is well controlled by the cues, “drug seeking was dose-dependently decreased by bilateral dopamine receptor blockade in the aDLS [anterior dorsolateral striatum] using flupenthixol microinjections”. Hodebourg et al. (2019) cited the literature reviewed above suggesting that there are differences “in the neural and cellular mechanisms mediating the direct reinforcing properties of cocaine and heroin (for review, see Badiani et al. 2011)”, but further concluded that for both cocaine and heroin, “cue-controlled drug seeking seem eventually to converge on control over behaviour by the aDLS”, and that dopamine is required for both cocaine and heroin cue-controlled drug seeking behavior.\nMost early pharmacological studies that used dopamine antagonist drugs to suppress dopamine neurotransmission used dopamine D1, D2 or D1/D2 antagonists. However, there have been a series of more recent studies on the effects of specific dopamine D3 receptor antagonists on opioid self-administration (Galaj et al. 2020b; Newman et al. 2023 for reviews). A number of these studies report significant suppression of heroin or morphine self-administration and/or a reduction in breakpoint on a progressive ratio task that measures the intensity of incentive motivation to obtain drug (Boateng et al. 2015; Hu et al. 2023; although see Narita et al. 2003; Yang et al. 2025; Zhan et al. 2018), as well as a decrease in cue-induced reinstatement of heroin-seeking (Galaj et al. 2015). For example, in a series of studies Yang et al. (2025) characterized the effects of a selective D3 antagonist, YQA14, on morphine self-administration and VTA dopamine neuron activity (using fiber photometry). They summarized their findings as follows: (1) “systemic administration of YQA14 inhibited morphine self-administration and cue-induced reinstatement of drug-seeking behavior in a dose-dependent manner”, (2) “intra-NAc YQA14 or down-regulation of Drd3 expression in the NAc significantly inhibited both morphine self-administration and cue-induced reinstatement”, as well as motivation for morphine as assessed by breakpoint on a progressive ratio schedule (in contrast, the intra-VTA injection of YQA14 decreased self-administration but not cue reinstatement or progressive ratio performance), and (3) “acute or chronic administration of YQA14 into the NAc attenuated morphine- or cue-induced increases in calcium signaling in VTA dopamine neurons”.\nD3 antagonist drugs also suppress the self-administration of synthetic opioids, such as oxycodone (de Guglielmo et al. 2020; Jordan et al. 2019; You et al. 2019) and fentanyl (Wager et al. 2017) although Woodlief et al. (2023) reported a dopamine D3 antagonist failed to suppress oxycodone self-administration in primates, but a dopamine D3 partial agonist did. Anatomically, dopamine D3 receptors are particularly dense in the ventral striatum, and not in the dorsal neostriatum, unlike D1 and D2 receptors which are present in both structures. This suggests that D3 antagonism may specifically disrupt NAc dopamine function via D3 receptors that are crucial for opioid self-administration. A role for dopamine D3 receptors specifically in the motivation to self-administer opioids is highlighted by a recent paper which compared opioid (oxycodone) and psychostimulant (cocaine) self-administration in mice after dopamine D3 receptors were deleted either from, “from presynaptic dopamine neurons or postsynaptic dopamine D1 receptor (D1R)–expressing neurons” (Xi et al. 2024). Results showed that D3 receptor deletion from either cell type decreased oxycodone self-administration under a FR1 schedule of reinforcement, and reduced breakpoint for oxycodone on a progressive ratio schedule but interestingly, had no effect on cocaine self-administration (also see Herborg 2024).\nFinally, more recent studies using optogenetic and chemogenetic techniques to manipulate dopamine neurotransmission have addressed the role of dopamine systems in opioid self-administration. Corre et al. (2018) used chemogenetics to silence VTA dopamine neurons and reported this retarded the acquisition of heroin self-administration, as well as reducing the amount of heroin consumed even after the self-administration was acquired. In additional experiments they found support for the traditional hypothesis that heroin increases dopamine neuronal activity by inhibiting VTA GABA neurons that normally inhibit dopamine neurons, thus disinhibiting dopamine neurons (Corre et al. 2018; Johnson and North 1992). In a related study using optogenetics to manipulate dopamine activity, Galaj et al. (2020a) reported that heroin self-administration was reduced by optogenetic inhibition of VTA dopamine neurons, producing a gradual extinction-like reduction in self-administration behavior. However, they also found that a mu opioid receptor antagonist was more effective in reducing heroin self-administration when injected into the substantia nigra pars reticulata (SNr) than into the VTA and because of additional experiments concluded that, “MORs [mu opioid receptors] on GABA neurons in the SNr play more important roles in opioid reward and relapse than MORs on VTA GABA neurons”. Despite this challenge to the traditional VTA-specific disinhibition hypothesis (Johnson and North 1992) these studies nevertheless support a role for mesotelencephalic dopamine systems in the motivation to self-administer opioids.\nOverall, in agreement with critics and early studies, it seems reasonable to conclude that cocaine self-administration is more readily impaired by partial 6-OHDA lesions and D1/D2 receptor antagonists than is opioid self-administration, for reasons that are not well understood (see Corre et al. 2018). Although highly speculative, one wonders whether under some circumstances opioid self-administration may be maintained without engaging mesolimbic-dependent incentive motivational processes. That this can occur was demonstrated eloquently by Fraser et al. (2023) who reported that optogenetic stimulation of dopamine neurons in the VTA and SNc both support comparable laser self-stimulation behavior. However, using a variety of tests they report that “only VTA dopamine neurons imbue actions and their associated cues with motivational value that spur continued pursuit of reward”. Stimulation of the SNc, “while capable of reinforcing an instrumental action, fails to confer incentive properties to the cues/states associated with that stimulation”. Studies such as this suggest that to fully interpret changes in self-administration behavior may require examination of more psychological features than just changes in rate of self-administration. Clearly more needs to be done to elucidate the exact neural circuitry mediating the rewarding effects of opioids (e.g., Severino et al. 2020; Smith et al. 2024) versus psychomotor stimulants, and the psychological processes involved (e.g., Fraser et al. 2023; Poisson et al. 2021). Such studies may reveal differences in the mechanisms of reward between these drug classes that eventually explain the apparently discordant studies reviewed above. Nevertheless, we conclude that the evidence available at the present time does not support rejecting a role for mesolimbic/mesostriatal dopamine in mediating opioid reward as there are now number of studies that do implicate dopamine in opioid self-administration behavior.\nWe started this paper by noting that one critique of IST in opioid addiction asserted, “that dopamine has a central role in addiction to stimulant drugs, which act directly via the dopamine system, but that it has a less important role, if any, in mediating addiction to other drugs, particularly opiates and cannabis” (Nutt et al. 2015). Contrary to that assertion, IST argues that drug-induced sensitization of dopamine-related systems underlying incentive salience in vulnerable individuals is what is responsible for causing excessive urges to take drugs, and producing persistent and arguably compulsive addictions that outlast withdrawal or distress. Incentive-sensitization, once induced, persists after drug-taking stops, and can engender cue-triggered relapse even after long periods of drug abstinence and in the absence of withdrawal feelings or other distress. So, the crucial question here is: can opioid drugs be included among the drugs that increase activity in mesolimbic dopamine systems and target structures, and are able to induce incentive sensitization? We think the review of the evidence provided above justifies the following answers to specific questions.\nWe believe claiming evidence that opioid administration increases dopamine in humans is “non-existent” is not warranted. Although the human PET literature on opioids is no doubt scant, there are two positive reports in addition to the two negative ones cited by Nutt et al. (2015), albeit with different opioids.\nMany fMRI studies in humans show that opioid drugs and opioid drug cues increase activity in dopamine target structures, including both the dorsal and ventral striatum. Many complementary studies in non-human animals show opioid-induced increases in immediate early gene expression in similar mesolimbic structures. Further, the ability of opioids to induce IEGs in those dopamine-rich brain regions in animals requires dopamine. We do acknowledge, however, that even though cocaine and heroin engage similar striatal regions there may be, “a significant separation between neuronal populations activated by heroin and cocaine in the striatal complex” (Vassilev et al. 2020), indicating a degree of divergence in the specific neurobiological circuitry activated by different drugs.\nStudies in non-human animals show that opioid drugs increase the firing/activity of dopamine neurons in the VTA, although the exact mechanism is still debated.\nConsistent with recording studies of dopamine neurons, opioid drugs also increase levels of dopamine ‘release’ in the NAc and striatum, as measured by microdialysis, electrochemistry or fiber photometry in rodents. The magnitude and temporal profile of these effects on dopamine vary considerably as a function of which opioid drug is used, but increasing dopamine neurotransmission appears to be an effect they all have in common. Furthermore, even the local microinjection of opioids into the VTA is sufficient to increase dopamine release in the NAc. It is true that in most of these studies an opioid drug was administered by an experimenter, but although there are relatively few studies of dopamine release in self-administering animals, the limited evidence available indicates that opioid self-administration also increases dopamine release in the NAc.\nWe conclude that the weight of the evidence indicates that opioid drugs do increase mesolimbic dopamine neurotransmission, among their many other effects, consistent with IST.\nDo opioids produce mesolimbic sensitization similarly to psychomotor stimulant drugs, which could contribute to pathological levels of drug ‘wanting’? We think the review above warrents the following conclusions.\nThere are no PET studies in humans on whether repeated treatment with opioid drugs induces dopamine sensitization.\nHowever, studies in non-human animals support the conclusion that morphine induces mesolimbic dopamine sensitization, especially when given (or taken) intermittently. Opioid-induced sensitization is especially evident if animals are tested after a period of drug abstinence, allowing immediate withdrawal effects to fade, which is also the case with psychomotor stimulant drugs.\nThus, at least based on animal studies, we conclude that opioid drugs produce dopamine sensitization, consistent with IST. It would be helpful to also have PET or related studies that measure striatal dopamine release in humans given opioids, or in abstinent opioid users, to confirm that conclusion.\nIST proposes that dopamine-related mesolimbic sensitization in vulnerable individuals causes excessive incentive salience to be attributed to drug cues and contexts, triggering limbic hyperreactivity and pathologically intense ‘wanting’ to take drugs (incentive sensitization). Although the evidence for cue-triggered hyperreactivity for opioid drugs is less than that for psychostimulant drugs, we believe the available evidence supports the following conclusions.\nCues and contexts associated with opioid drug administration do acquire incentive motivational value, as indicated by their ability to elicit urges to take opioid drugs and contribute to relapse in human users, and to act as conditioned reinforcers, elicit approach towards them (sign-tracking), promote dopamine-dependent conditioned place preferences, and reinstate drug-seeking behavior in animals (see Appendix 2 in the Supplementary Material for review). Some animal studies directly implicate dopamine in opioid cue-triggered incentive motivation, although more work is needed in both humans and animals to delineate the specific neural basis of incentive motivation effects triggered by opioid cues (and other reward cues for that matter).\nOpioid cues can elicit hyper-reactivity in limbic brain systems as measured by fMRI in human users and trigger strong subjective craving urges, consistent with incentive-sensitization. Further, the degree of limbic hyperreactivity may predict a person’s vulnerability to eventual relapse.\nAs discussed above, critics have suggested that “the most fundamental difference [between psychostimulants and opioids] is that mesocorticolimbic dopamine transmission seems to be crucial for psychostimulant self-administration but not opiate self-administration” (Badiani et al. 2011). If true, it would suggest that the desire (‘wanting’) for opioids does not involve mesolimbic dopamine systems, unlike the desire for psychomotor stimulant drugs, and so the sensitization of dopamine neurotransmission could be irrelevant to opioid addiction. Although it is fair to say there is not complete consensus on this point, our interpretation of this literature based on the review above is as follows.\nThe administration of opioids into the VTA is sufficient to maintain self-administration behavior in animals, consistent with recruitment of mesolimbic dopamine systems.\nLesions of the NAc decrease opioid self-administration.\nSome early studies found that doses of D1/D2 antagonists or partial 6-OHDA lesions that did not suppress opioid self-administration of rats, did decrease cocaine self-administration. However, studies using larger 6-OHDA lesions, or lesions specifically in the shell of the NAc, do report decreases in opioid self-administration in rats. Similarly, studies involving the deletion of D2 receptors in mice, or optogenetic or chemogenetic suppression of mesencephalic dopamine systems, do report decreases in opioid self-administration. Finally, dopamine D3 receptor antagonism/deletion decreases opioid self-administration, potentially implicating D3 dopamine neurotransmission especially in the NAc.\nWe conclude, therefore, that dismissing a role for dopamine in opioid self-administration is not warranted based on the existing evidence, even though there are clearly differences in the role of dopamine for cocaine vs. opioid reward. Thus, consistent with IST, we believe there is sufficient evidence to suggest that dopamine does play a role in mediating incentive motivation (‘wanting’) to take opioids. However, much more work is needed to delineate the exact neural systems and circuits that mediate the hedonic rewarding (liking) and/or incentive motivational effects (‘wanting’) of all drugs – as this is not fully understood for any class of drugs.\nIn summarizing their elegant studies showing that both rats and humans prefer to take opioid drugs at home but to take psychomotor stimulant drugs in more stimulating environments outside the home (see Badiani et al. 2019 for why this might be), Montanari et al. (2015) concluded, that there are, “fundamental differences between psychostimulant and opioid reward, as well as between psychostimulant and opiate addiction”. We agree that opioid vs. psychostimulant reward differ in their hedonic effects, and in withdrawal effects and some underlying neurobiological and psychological mechanisms; for example, they engage different striatal neuron populations (Chang et al. 1998; Remmers et al. 2025; Tan et al. 2024; Vassilev et al. 2020), and opioid drugs can induce more intense withdrawal feelings. Badiani and colleagues, and others, have provided excellent reviews of both the similarities and differences in the behavioral, psychological and neurobiological effects of opioid vs. psychostimulant drugs (Badiani 2013; Badiani et al. 2011, 2019; De Pirro et al. 2018; Nutt et al. 2015). Clearly opioid and psychostimulant drugs have many different effects, and the differences influence where and how individuals prefer to take these drugs. We fully agree on this point. We also agree that individuals often take opioid drugs to relieve withdrawal or other distress (Pantazis et al. 2021).\nHowever, we believe most of the differences between opioids and psychostimulants that contribute to differences in where they prefer to be used, which is presumably due to differences in their subjective effects (Badiani et al. 2019), are not germane to IST. IST is largely silent on this issue, as well as several others. As we wrote in 1993 (Robinson and Berridge 1993), “the Incentive-Sensitization Theory does not address a number of features of drug use, including why people experiment with drugs in the first place (experimental drug use), casual (not addictive) patterns of drug use or why people often use drugs that do not lead to compulsive patterns of use (e.g., LSD)”, and we now add, why they prefer to take psychostimulants and opioids in such different settings.\nHowever, consistent with IST, the available evidence supports the claim that when they are taken both classes of drugs can activate and sensitize mesocorticolimbic dopamine-related systems that mediate incentive salience. Therefore, both opioids and psychostimulants can induce arguably compulsive motivation in individuals vulnerable to mesolimbic sensitization. Consequently, both opioids and psychostimulants can lead to excessively intense cue-triggered ‘wanting’, which can persist and contribute to relapse even after long periods of drug abstinence. Consistent with this conclusion, we note that Badiani et al. (2019) did grant that, “with some tweaking the architecture of the Michigan model (Berridge 2012; Robinson and Berridge 1993) and its computational version (Dayan and Berridge 2014; Zhang et al. 2009) can accommodate most of our findings, except for the critical role that this model attributes to dopamine”. However, for the reasons discussed above we believe there is sufficient evidence to conclude that dopamine mediates motivational ‘wanting’ to take opioid drugs, and that mesolimbic dopamine systems can undergo opioid-induced sensitization, as posited by IST. Thus, although we can agree that there are, “fundamental differences between psychostimulant and opioid reward”, we disagree with the assertion that there are “fundamental differences … between psychostimulant and opiate addiction” (Montanari et al. 2015; italics added).\nIST specifically aims to explain the development and persistence of arguably compulsive addiction (see Robinson and Berridge 2025 for a discussion on what we mean by ‘compulsive’) that persists after withdrawal in individuals who are vulnerable to drug-induced mesolimbic sensitization. Incentive sensitization can produce in those individuals, as we recently stated, “intense urges to take drugs even in the face of dire negative consequences and often despite a sincere desire to quit. These urges to take drugs can persist even if the person has stopped taking drugs for months or years, in the absence of distress or withdrawal, and even if the person does not expect to like the drugs much anymore” (Robinson and Berridge 2025). To the extent that opioid users find themselves in that situation, IST provides a potential explanation of the intensity of ‘wanting’ opioids, even after withdrawal symptoms have subsided, and why such individuals remain susceptible to relapse for long periods of drug abstinence (Robinson and Berridge 1993, 2025). We conclude that IST can accommodate addiction to many drug classes, including opioids. Incentive sensitization of dopamine-related mesolimbic systems generates the pathological ‘wanting’ for drugs that is arguably the defining characteristic of any addiction. It is very likely that future research will show that the exact molecular and cellular mechanisms by which opioids and psychomotor stimulants produce incentive-sensitization will differ, although at present this not well understood for either class of drugs (see Badiani et al. 2019). Nevertheless, we conclude that the evidence presently available supports our claim that opioid drugs can produce mesolimbic dopamine sensitization, resulting in excessive cue-triggered ‘wanting’ and addiction, as posited by IST. Therefore, at the present time the answer to the question posed in the title of this paper is, yes.\n\n\n### Summary of answers to crucial questions\nWe started this paper by noting that one critique of IST in opioid addiction asserted, “that dopamine has a central role in addiction to stimulant drugs, which act directly via the dopamine system, but that it has a less important role, if any, in mediating addiction to other drugs, particularly opiates and cannabis” (Nutt et al. 2015). Contrary to that assertion, IST argues that drug-induced sensitization of dopamine-related systems underlying incentive salience in vulnerable individuals is what is responsible for causing excessive urges to take drugs, and producing persistent and arguably compulsive addictions that outlast withdrawal or distress. Incentive-sensitization, once induced, persists after drug-taking stops, and can engender cue-triggered relapse even after long periods of drug abstinence and in the absence of withdrawal feelings or other distress. So, the crucial question here is: can opioid drugs be included among the drugs that increase activity in mesolimbic dopamine systems and target structures, and are able to induce incentive sensitization? We think the review of the evidence provided above justifies the following answers to specific questions.\n\n\n### Do opioid drugs activate mesolimbic dopamine systems and target structures?\nWe believe claiming evidence that opioid administration increases dopamine in humans is “non-existent” is not warranted. Although the human PET literature on opioids is no doubt scant, there are two positive reports in addition to the two negative ones cited by Nutt et al. (2015), albeit with different opioids.\nMany fMRI studies in humans show that opioid drugs and opioid drug cues increase activity in dopamine target structures, including both the dorsal and ventral striatum. Many complementary studies in non-human animals show opioid-induced increases in immediate early gene expression in similar mesolimbic structures. Further, the ability of opioids to induce IEGs in those dopamine-rich brain regions in animals requires dopamine. We do acknowledge, however, that even though cocaine and heroin engage similar striatal regions there may be, “a significant separation between neuronal populations activated by heroin and cocaine in the striatal complex” (Vassilev et al. 2020), indicating a degree of divergence in the specific neurobiological circuitry activated by different drugs.\nStudies in non-human animals show that opioid drugs increase the firing/activity of dopamine neurons in the VTA, although the exact mechanism is still debated.\nConsistent with recording studies of dopamine neurons, opioid drugs also increase levels of dopamine ‘release’ in the NAc and striatum, as measured by microdialysis, electrochemistry or fiber photometry in rodents. The magnitude and temporal profile of these effects on dopamine vary considerably as a function of which opioid drug is used, but increasing dopamine neurotransmission appears to be an effect they all have in common. Furthermore, even the local microinjection of opioids into the VTA is sufficient to increase dopamine release in the NAc. It is true that in most of these studies an opioid drug was administered by an experimenter, but although there are relatively few studies of dopamine release in self-administering animals, the limited evidence available indicates that opioid self-administration also increases dopamine release in the NAc.\nWe conclude that the weight of the evidence indicates that opioid drugs do increase mesolimbic dopamine neurotransmission, among their many other effects, consistent with IST.\n\n\n### Do opioid drugs sensitize mesolimbic dopamine systems?\nDo opioids produce mesolimbic sensitization similarly to psychomotor stimulant drugs, which could contribute to pathological levels of drug ‘wanting’? We think the review above warrents the following conclusions.\nThere are no PET studies in humans on whether repeated treatment with opioid drugs induces dopamine sensitization.\nHowever, studies in non-human animals support the conclusion that morphine induces mesolimbic dopamine sensitization, especially when given (or taken) intermittently. Opioid-induced sensitization is especially evident if animals are tested after a period of drug abstinence, allowing immediate withdrawal effects to fade, which is also the case with psychomotor stimulant drugs.\nThus, at least based on animal studies, we conclude that opioid drugs produce dopamine sensitization, consistent with IST. It would be helpful to also have PET or related studies that measure striatal dopamine release in humans given opioids, or in abstinent opioid users, to confirm that conclusion.\n\n\n### Do cues and contexts associated with opioid drugs elicit sensitized incentive salience?\nIST proposes that dopamine-related mesolimbic sensitization in vulnerable individuals causes excessive incentive salience to be attributed to drug cues and contexts, triggering limbic hyperreactivity and pathologically intense ‘wanting’ to take drugs (incentive sensitization). Although the evidence for cue-triggered hyperreactivity for opioid drugs is less than that for psychostimulant drugs, we believe the available evidence supports the following conclusions.\nCues and contexts associated with opioid drug administration do acquire incentive motivational value, as indicated by their ability to elicit urges to take opioid drugs and contribute to relapse in human users, and to act as conditioned reinforcers, elicit approach towards them (sign-tracking), promote dopamine-dependent conditioned place preferences, and reinstate drug-seeking behavior in animals (see Appendix 2 in the Supplementary Material for review). Some animal studies directly implicate dopamine in opioid cue-triggered incentive motivation, although more work is needed in both humans and animals to delineate the specific neural basis of incentive motivation effects triggered by opioid cues (and other reward cues for that matter).\nOpioid cues can elicit hyper-reactivity in limbic brain systems as measured by fMRI in human users and trigger strong subjective craving urges, consistent with incentive-sensitization. Further, the degree of limbic hyperreactivity may predict a person’s vulnerability to eventual relapse.\n\n\n### Does dopamine contribute to the motivation to take opioids?\nAs discussed above, critics have suggested that “the most fundamental difference [between psychostimulants and opioids] is that mesocorticolimbic dopamine transmission seems to be crucial for psychostimulant self-administration but not opiate self-administration” (Badiani et al. 2011). If true, it would suggest that the desire (‘wanting’) for opioids does not involve mesolimbic dopamine systems, unlike the desire for psychomotor stimulant drugs, and so the sensitization of dopamine neurotransmission could be irrelevant to opioid addiction. Although it is fair to say there is not complete consensus on this point, our interpretation of this literature based on the review above is as follows.\nThe administration of opioids into the VTA is sufficient to maintain self-administration behavior in animals, consistent with recruitment of mesolimbic dopamine systems.\nLesions of the NAc decrease opioid self-administration.\nSome early studies found that doses of D1/D2 antagonists or partial 6-OHDA lesions that did not suppress opioid self-administration of rats, did decrease cocaine self-administration. However, studies using larger 6-OHDA lesions, or lesions specifically in the shell of the NAc, do report decreases in opioid self-administration in rats. Similarly, studies involving the deletion of D2 receptors in mice, or optogenetic or chemogenetic suppression of mesencephalic dopamine systems, do report decreases in opioid self-administration. Finally, dopamine D3 receptor antagonism/deletion decreases opioid self-administration, potentially implicating D3 dopamine neurotransmission especially in the NAc.\nWe conclude, therefore, that dismissing a role for dopamine in opioid self-administration is not warranted based on the existing evidence, even though there are clearly differences in the role of dopamine for cocaine vs. opioid reward. Thus, consistent with IST, we believe there is sufficient evidence to suggest that dopamine does play a role in mediating incentive motivation (‘wanting’) to take opioids. However, much more work is needed to delineate the exact neural systems and circuits that mediate the hedonic rewarding (liking) and/or incentive motivational effects (‘wanting’) of all drugs – as this is not fully understood for any class of drugs.\n\n\n### Can IST accommodate opioid addiction?\nIn summarizing their elegant studies showing that both rats and humans prefer to take opioid drugs at home but to take psychomotor stimulant drugs in more stimulating environments outside the home (see Badiani et al. 2019 for why this might be), Montanari et al. (2015) concluded, that there are, “fundamental differences between psychostimulant and opioid reward, as well as between psychostimulant and opiate addiction”. We agree that opioid vs. psychostimulant reward differ in their hedonic effects, and in withdrawal effects and some underlying neurobiological and psychological mechanisms; for example, they engage different striatal neuron populations (Chang et al. 1998; Remmers et al. 2025; Tan et al. 2024; Vassilev et al. 2020), and opioid drugs can induce more intense withdrawal feelings. Badiani and colleagues, and others, have provided excellent reviews of both the similarities and differences in the behavioral, psychological and neurobiological effects of opioid vs. psychostimulant drugs (Badiani 2013; Badiani et al. 2011, 2019; De Pirro et al. 2018; Nutt et al. 2015). Clearly opioid and psychostimulant drugs have many different effects, and the differences influence where and how individuals prefer to take these drugs. We fully agree on this point. We also agree that individuals often take opioid drugs to relieve withdrawal or other distress (Pantazis et al. 2021).\nHowever, we believe most of the differences between opioids and psychostimulants that contribute to differences in where they prefer to be used, which is presumably due to differences in their subjective effects (Badiani et al. 2019), are not germane to IST. IST is largely silent on this issue, as well as several others. As we wrote in 1993 (Robinson and Berridge 1993), “the Incentive-Sensitization Theory does not address a number of features of drug use, including why people experiment with drugs in the first place (experimental drug use), casual (not addictive) patterns of drug use or why people often use drugs that do not lead to compulsive patterns of use (e.g., LSD)”, and we now add, why they prefer to take psychostimulants and opioids in such different settings.\nHowever, consistent with IST, the available evidence supports the claim that when they are taken both classes of drugs can activate and sensitize mesocorticolimbic dopamine-related systems that mediate incentive salience. Therefore, both opioids and psychostimulants can induce arguably compulsive motivation in individuals vulnerable to mesolimbic sensitization. Consequently, both opioids and psychostimulants can lead to excessively intense cue-triggered ‘wanting’, which can persist and contribute to relapse even after long periods of drug abstinence. Consistent with this conclusion, we note that Badiani et al. (2019) did grant that, “with some tweaking the architecture of the Michigan model (Berridge 2012; Robinson and Berridge 1993) and its computational version (Dayan and Berridge 2014; Zhang et al. 2009) can accommodate most of our findings, except for the critical role that this model attributes to dopamine”. However, for the reasons discussed above we believe there is sufficient evidence to conclude that dopamine mediates motivational ‘wanting’ to take opioid drugs, and that mesolimbic dopamine systems can undergo opioid-induced sensitization, as posited by IST. Thus, although we can agree that there are, “fundamental differences between psychostimulant and opioid reward”, we disagree with the assertion that there are “fundamental differences … between psychostimulant and opiate addiction” (Montanari et al. 2015; italics added).\nIST specifically aims to explain the development and persistence of arguably compulsive addiction (see Robinson and Berridge 2025 for a discussion on what we mean by ‘compulsive’) that persists after withdrawal in individuals who are vulnerable to drug-induced mesolimbic sensitization. Incentive sensitization can produce in those individuals, as we recently stated, “intense urges to take drugs even in the face of dire negative consequences and often despite a sincere desire to quit. These urges to take drugs can persist even if the person has stopped taking drugs for months or years, in the absence of distress or withdrawal, and even if the person does not expect to like the drugs much anymore” (Robinson and Berridge 2025). To the extent that opioid users find themselves in that situation, IST provides a potential explanation of the intensity of ‘wanting’ opioids, even after withdrawal symptoms have subsided, and why such individuals remain susceptible to relapse for long periods of drug abstinence (Robinson and Berridge 1993, 2025). We conclude that IST can accommodate addiction to many drug classes, including opioids. Incentive sensitization of dopamine-related mesolimbic systems generates the pathological ‘wanting’ for drugs that is arguably the defining characteristic of any addiction. It is very likely that future research will show that the exact molecular and cellular mechanisms by which opioids and psychomotor stimulants produce incentive-sensitization will differ, although at present this not well understood for either class of drugs (see Badiani et al. 2019). Nevertheless, we conclude that the evidence presently available supports our claim that opioid drugs can produce mesolimbic dopamine sensitization, resulting in excessive cue-triggered ‘wanting’ and addiction, as posited by IST. Therefore, at the present time the answer to the question posed in the title of this paper is, yes.\n\n\n### Supplementary Material\nSupplementary Information The online version contains supplementary material available at https://doi.org/10.1007/s00213-025-07001-8.", "domain": "affective_neuroscience"}
{"source": "PMC13084390", "title": "Narcolepsy as an immune-associated hypothalamic encephalopathy: orexin dysfunction and implications for precision sleep medicine", "text": "# Narcolepsy as an immune-associated hypothalamic encephalopathy: orexin dysfunction and implications for precision sleep medicine\n\n## Abstract\nNarcolepsy can no longer be adequately conceptualized by excessive sleepiness and cataplexy. It is increasingly recognized as a multisystem hypothalamic encephalopathy, rooted in the selective loss or dysfunction of orexin neurons, yet extending across motor, psychiatric, metabolic, and autonomic domains. Over the past two decades, convergent genetic, neuropathological, and immunological evidence has positioned narcolepsy type 1 as increasingly consistent with the spectrum of immune-mediated neurological diseases while challenging the validity of current classifications that hinge on cataplexy or multiple sleep latency testing. Borderland phenotypes, variable orexin biology, and post-infectious or secondary forms underscore the limitations of rigid categorical nosologies and support a spectrum-based framework. Advances in immunology, imaging, and systems biology highlight the limitations of purely symptomatic treatment and support the exploration of mechanism-based interventions, including orexin receptor agonism, immune-targeted strategies in early disease, and regenerative or circuit-repair approaches. In this narrative review, based on literature identified through searches of PubMed, Web of Science, and Scopus through December 2025, we synthesize evidence across epidemiology, pathophysiology, diagnosis, and therapy, and propose an integrative clinical algorithm that moves beyond categorical diagnoses toward a phenotype–biomarker–mechanism stratification model. We suggest that narcolepsy should no longer be considered a rare curiosity of sleep medicine but rather a model disorder illuminating the vulnerability of hypothalamic circuits and the complex interplay between sleep, emotion and immunity.\n\n## Full Text\n\n\n### Introduction\nNarcolepsy should no longer be described as a disorder of excessive sleepiness punctuated by cataplexy. It is emerging as a model disease at the intersection of neuroimmunology, hypothalamic biology, and systems neuroscience (1). Its study has forced a shift away from reductionist views of sleep disorders toward broader questions: How do discrete hypothalamic circuits sustain wakefulness? How do immune processes selectively target a population of ~70,000 neurons while sparing neighboring cell groups?, and how does destabilization of REM sleep control reshape emotion, cognition, metabolism, and autonomic physiology?\nHistorically dismissed as a curiosity of sleep medicine, narcolepsy is now recognized as a brain disorder whose roots extend from genetics and immune regulation to epigenetic and environmental factors (1, 2). The selective loss—or functional silencing—of orexin-producing neurons represents a well-recognized example of circuit-specific vulnerability in the human brain (1). Although anatomically circumscribed, this lesion produces a multisystem syndrome that encompasses motor collapse, hallucinations, disrupted vigilance, psychiatric comorbidities, metabolic dysregulation, and autonomic dysfunction, reflecting both the broad projections of orexin neurons and the fragility of interconnected hypothalamic–limbic–brainstem networks (2).\nConvergent immunogenetic and mechanistic evidence support an immune-mediated pathophysiology. Autoreactive CD4+ and CD8+ T cells recognize antigens from orexin neurons (3, 4), and molecular mimicry between influenza antigens and orexin peptides provides a plausible trigger for immune tolerance breakdown (5). Epidemiological observations further underscore this link: incidence varies across populations and has shown abrupt, geographically specific surges associated with H1N1 infection and vaccination campaigns (6).\nAt the same time, narcolepsy unsettles classical diagnostic categories. Cataplexy, long considered its defining hallmark, is not always present. Cerebrospinal fluid orexin deficiency—once thought pathognomonic—may be absent in borderline or secondary phenotypes, in part because conventional immunoassays may incompletely capture orexin-related fragments rather than intact peptide (7). Contemporary nosology reflects this heterogeneity: the International Classification of Sleep Disorders, Third Edition, Text Revision (ICSD-3-TR, 2023) refines and clarifies the 2014 ICSD-3 criteria by updating diagnostic terminology, consolidating guidance on biomarker use (including cerebrospinal fluid orexin thresholds), and reinforcing distinctions among central disorders of hypersomnolence. It further emphasizes phenotype- and biomarker-informed diagnosis, highlighting the limitations of rigid categorical frameworks (Table 1) (8, 9).\nClinical phenotypes of narcolepsy.\nNT1, narcolepsy type 1; NT2, narcolepsy type 2; CSF, cerebrospinal fluid; HLA, human leukocyte antigen; EDS, excessive daytime sleepiness; REM, rapid eye movement; SOREMPs, sleep-onset REM periods.\nThis reconceptualization carries therapeutic implications. If narcolepsy is an immune-mediated hypothalamic encephalopathy, then purely symptomatic approaches are insufficient. Mechanism-directed strategies now include orexin-2 receptor agonists that directly address the neurotransmitter deficit—first demonstrated with TAK-994 (efficacious but halted due to hepatotoxicity) and then with oveporexton (TAK-861), which improved wakefulness and cataplexy without liver toxicity in phase 2 trials (10, 11). Parallel experimental work suggests the feasibility of circuit repair via orexin-cell transplantation to restore motor–arousal coupling and reduce cataplexy in animal models (12, 13).\nIn this narrative review, we synthesize evidence on epidemiology, clinical spectrum, pathological and genetic underpinnings, and emerging immunological mechanisms. We discuss advances in diagnostic frameworks and therapeutics and propose a revised clinical framework that moves beyond categorical diagnoses toward precision sleep medicine based on phenotype–biomarker–mechanism integration. We argue that narcolepsy should be viewed not merely as a rare sleep disorder, but as a model disease illuminating fundamental principles of hypothalamic circuit fragility and neuroimmune interaction.\n\n\n### Methodology\nThis article was conceived as a narrative review, given the breadth of the topic, the large and rapidly evolving body of literature, and the aim of providing an integrative conceptual framework rather than systematically aggregating quantitative outcomes. The primary objective was to synthesize current knowledge across immunology, genetics, pathology, systems neuroscience, diagnosis, and therapeutics, and to outline future translational directions.\nFor foundational and conceptual sections, literature was selected based on relevance, impact, recency, and methodological robustness, with emphasis on high-quality reviews, consensus statements, large cohort studies, and pivotal mechanistic investigations.\nFor the therapeutic section and the evidence summary, a structured literature search was conducted in PubMed/MEDLINE, Web of Science, and Scopus for preclinical and clinical studies published in English up to December 2025. The population of interest included pediatric and adult individuals diagnosed with narcolepsy type 1 or type 2, as well as studies referring to cataplexy, excessive daytime sleepiness, or orexin deficiency. The intervention component focused on pharmacological and mechanism-targeted therapies, including sodium oxybate, low-sodium oxybate, once-nightly sodium oxybate, pitolisant, solriamfetol, modafinil, armodafinil, methylphenidate, amphetamines, and selective orexin receptor agonists such as TAK-861 (oveporexton), TAK-925 (danavorexton), and TAK-994. The comparison framework included placebo-controlled designs, active comparators, standard-of-care treatments, and baseline pretreatment conditions, with emphasis on randomized controlled trials and phase 2 or phase 3 clinical studies. Outcomes of interest comprised validated efficacy and safety endpoints, including Epworth Sleepiness Scale scores, Maintenance of Wakefulness Test latency, weekly cataplexy frequency, sleep-onset REM periods, quality-of-life measures, and adverse event profiles.\nEligible studies included randomized controlled trials, prospective clinical trials, major observational studies, and high-quality systematic reviews relevant to therapeutic efficacy and safety. Preclinical studies were included when they directly informed mechanism-based treatment strategies. Case reports, studies with insufficient methodological detail, duplicate reports, or publications lacking primary outcome data were excluded at the authors’ discretion.\nAs this was not designed as a systematic review, formal risk-of-bias assessment tools were not applied. Certainty assessments were derived from expert consensus using a GRADE-informed conceptual approach. Given the breadth and heterogeneity of the available literature, judgments were based on study design hierarchy, consistency and reproducibility of findings across trials, magnitude and clinical relevance of effects, and the presence of regulatory-level evidence (e.g., pivotal phase 3 trials and approvals), rather than on formal upgrading or downgrading algorithms.\n\n\n### Epidemiology\nThe prevalence of narcolepsy varies considerably across populations. In Europe and North America, estimates range from 200 to 500 cases per million individuals (14, 15). More recent claims- and survey-based studies suggest that diagnosed prevalence in high-income countries most commonly clusters between 30 and 50 per 100,000 individuals (300–500 per million), although substantial methodological heterogeneity persists (16–18). In a recent U.S. general population study using structured interviews, the estimated prevalence of narcolepsy was 37.7 per 100,000, with an incidence of 2.6 per 100,000 person-years (17). Similarly, a large Japanese claims-based study (JMDC database; >6 million individuals) reported an age–sex standardized prevalence of 37.5 per 100,000 and an incidence of 5.1 per 100,000 person-years (18). A recent global meta-analysis confirmed marked between-study heterogeneity, largely driven by differences in case definitions (ICD vs ICSD), ascertainment strategies (claims vs community surveys), age structure, and post-2009 pandemic effects (16, 19). The epidemiology remains imprecise, in part because of diagnostic uncertainty, especially within the so-called narcoleptic borderland, most notably narcolepsy type 2 (NT2), and because administrative databases rarely distinguish NT1 from NT2 or capture undiagnosed cases (16, 18).\nThe prevalence is reported to be highest in Japan, reaching 1,600 per million, although methodological limitations challenge the reliability of this estimate. These very high figures derive primarily from older questionnaire- and interview-based surveys that rely on self-reported symptoms and limited diagnostic verification and are likely to reflect overestimation (18, 20). In contrast, contemporary Japanese claims-based analyses report substantially lower, internationally comparable estimates (approximately 35–45 per 100,000), depending on the case definition (18). In contrast, Jewish and Arabic populations show the lowest prevalence (2–40 per million) (21). Marked geographic variation has also been described within Asia and Europe, partly paralleling the distribution of HLA-DQB1*06:02 and possibly reflecting gene–environment interactions (16, 20). Some series suggest a modest male predominance (21). Recent large administrative datasets also report a slight male predominance in both prevalence and incidence, although this may be influenced by database composition and “healthy worker” effects (18). Such heterogeneity underscores the likely interplay of genetic and environmental influences. Reports of increased mortality remain inconclusive (22, 23).\nNarcolepsy typically presents during adolescence, with a secondary peak of onset in the third decade of life (24). Contemporary incidence data confirm that rates are highest in the 10–19 and 20–29 year age groups, with a subsequent decline in later adulthood (16, 18). In 10–15% of cases, onset occurs before the age of 10 (25). Until recently, pediatric narcolepsy has been under-recognized and under-studied (26, 27). Population-based pediatric studies report pre-2009 incidence rates generally below 1 per 100,000 person-years in Europe and North America, but marked transient increases were observed after the 2009 H1N1 pandemic in several countries, particularly in vaccinated children in Northern Europe (16, 20). In Finland and Sweden, pediatric incidence increased more than tenfold in the immediate post-pandemic period, highlighting the impact of environmental triggers on genetically susceptible individuals (20). Clinical trajectories are diverse: symptoms may appear abruptly following a trigger such as infection, vaccination, stress, or head trauma; evolve insidiously with an indistinct onset; or progress stepwise, with years separating the emergence of individual features (28). Such variability suggests distinct pathophysiological mechanisms (28).\nCataplexy most often coincides with the onset of excessive daytime sleepiness (EDS). In a cohort of 1,099 patients, cataplexy developed simultaneously with EDS in 49%, followed EDS in 43%, and preceded it in only 8% (29). The typical interval between EDS and cataplexy is fewer than three years, but in extreme cases, it spans several decades (29, 30).\nNarcolepsy without cataplexy may remit spontaneously (31, 32), whereas narcolepsy with cataplexy rarely does; to date, remission has been reported only once, following immunotherapy initiated soon after onset (33). Over time, symptoms such as EDS and cataplexy often become less disabling, possibly owing to compensatory coping strategies and pharmacological treatment. Nevertheless, substantial diagnostic delay—often approaching one to two decades in some series—continues to distort epidemiologic estimates and likely contributes to under-recognition in older adults and minority populations (19).\n\n\n### Etiology\nEarly case reports from the beginning of the 20th century noted that narcolepsy sometimes followed infectious or traumatic events, suggesting perturbations of immune or neural stability (34). By the 1980s, the strong and reproducible association with HLA alleles, particularly DQB1*06:02, had firmly established an immune-mediated contribution to disease susceptibility (35), a concept reinforced by more recent genome-wide and immunogenetic studies (1, 36).\nThe subsequent demonstration of reduced cerebrospinal fluid (CSF) orexin-A levels in many patients, coupled with findings of selective loss of orexin-producing neurons in the lateral hypothalamus, redirected etiological models toward targeted immune-mediated disruption of these neurons (3, 4). Orexin-A and B, acting via OX1R and OX2R, sustain excitatory drive across cortical, limbic, diencephalic and brainstem circuits (37, 38). Their deficiency destabilizes sleep-wake boundaries, producing prominent REM intrusion into wakefulness, cataplexy and vivid dream phenomena at transitional states (39).\nNevertheless, several discrepancies challenge a unidimensional model. Patients without cataplexy or at early disease stages may retain normal CSF orexin (hypocretin-1) levels, while individuals with structural hypothalamic lesions and reduced orexin may not develop narcoleptic symptoms (40). Intermediate CSF orexin levels further complicate interpretation (41, 42). These observations demonstrate that orexin deficiency, although central, is neither universally necessary nor sufficient to explain the full clinical spectrum, supporting the existence of multiple etiological forms of narcolepsy (Table 2).\nEtiological forms of narcolepsy.\n*Proportions are approximate and may vary by cohort, geography, and ascertainment method; categories are not mutually exclusive and may overlap. NT1, narcolepsy type 1; HLA, human leukocyte antigen.\nAn increasingly persuasive multi-hit model proposes that genetic predisposition, environmental exposures and immune activation converge to disrupt orexin neurons (36, 43). HLA alleles remain the strongest risk markers, with DQB1*06:02 present in the overwhelming majority of individuals with narcolepsy type 1 (NT1), but this background alone rarely produces disease. Additional loci—including TCRα, P2RY11, and CTSC—and emerging epigenetic modifiers likely influence immune tolerance and neuronal vulnerability (44). Residual orexin neurons may persist in some patients but remain functionally silent through epigenetic repression, although robust validation in human tissue is still pending.\nEvidence accumulated during the past five years sharply intensifies the immune narrative. Autoreactive CD4+ and CD8+ T cells that recognize orexin peptides have been identified in both NT1 and NT2 types of narcolepsy (3–5). Recent postmortem studies reveal a striking accumulation of CD4+ T cells within the orexin neuronal field compared with neighboring hypothalamic regions or control brains, demonstrating selective immune infiltration (45, 46). In parallel, experimental models show that loss of orexin function enhances microglial activation and inflammatory signaling, suggesting that orexin neurons play an active role in neuroimmune homeostasis and become selectively vulnerable when tolerance fails (46).\nExplaining clinical heterogeneity requires integrating neuronal and network dimensions (47). In patients with preserved orexin concentrations, functional suppression—mediated by receptor downregulation, synaptic dysfunction or cytokine-induced inhibition—may precede frank cell loss. Conversely, rare cases of orexin depletion without narcoleptic manifestations imply that intact downstream circuits or compensatory plasticity can buffer partial hypothalamic dysfunction (48). Symptom emergence, therefore, appears to reflect both orexin cell survival and the resilience of distributed arousal networks that maintain stability under stress.\nTogether, these findings support a model in which genetic and epigenetic vulnerabilities lead to immune system dysfunction; environmental triggers, such as infections, initiate inflammatory responses; and T cell–mediated damage or silencing of orexin neurons trigger sleep-wake control to fail (Figure 1). This framework explains the differences across narcolepsy types, accounts for mismatches between orexin levels and clinical features, and positions NT1 as a typical autoimmune encephalopathy (46, 47). This reconceptualization increasingly motivates investigations of early immunomodulatory therapies. In parallel, proof-of-concept studies exploring orexin receptor–targeted pharmacology and cell replacement are gaining traction as restorative strategies (12, 49).\nConverging genetic, immune, epigenetic, and cellular mechanisms in the pathogenesis of narcolepsy. Genetic susceptibility (top) is dominated by the HLA-DQB1*06:02 allele within the major histocompatibility complex on chromosome 6, which is present in the vast majority of individuals with narcolepsy type 1 and confers a strong, but not deterministic, predisposition. Additional HLA and non-HLA loci contribute modestly, supporting a polygenic model of immune vulnerability. Autoimmune mechanisms (upper middle) are postulated to arise from antigenic mimicry following infections such as influenza or streptococcal illness, leading to activation of autoreactive CD4+ and CD8+ T cells that selectively target orexin-expressing neurons in the lateral hypothalamus. H1N1 hemagglutinin has been implicated as a molecular trigger in this process. Cell silencing and neuronal vulnerability (lower middle) suggest that surviving orexin neurons may remain anatomically present but transcriptionally inactive, potentially through epigenetic suppression of the orexin gene. Experimental observations indicate that certain neuromodulators (e.g., morphine) can upregulate orexin expression, raising the possibility of latent neuronal rescue. Epigenetic and additional factors (bottom), including altered DNA methylation and related regulatory mechanisms, may toggle orexin expression between functional and silent states, thereby shaping phenotypic variability. Although autoantibodies against orexin neurons have been proposed, consistent detection in humans remains lacking. Together, this multi-hit model integrates genetic risk, immune activation, and epigenetic modulation as convergent drivers of orexin neuron dysfunction or loss.\nHowever, significant gaps remain: definitive human evidence of antigen-specific cytotoxicity remains elusive, early biomarkers of immune activation have not yet been validated, and in vivo imaging capable of detecting hypothalamic inflammation is still unavailable. Nonetheless, recent mechanistic advances have refined a biologically coherent model of disease pathogenesis. The key challenge now is to translate these insights into interventions that can modify the disease’s trajectory and, ultimately, prevent or reverse orexin neuronal failure.\n\n\n### Pathological findings\nNeuropathological investigations consistently demonstrate that NT1 is characterized by a striking, highly selective loss of orexin-producing neurons in the lateral hypothalamus. Quantitative stereological studies estimate that approximately 75–95% of the ~50,000–70,000 orexin neurons are absent in most NT1 brains, while neighboring neuronal populations remain remarkably preserved (46, 47). Adjacent melanin-concentrating hormone neurons are spared, and inflammatory hallmarks are minimal—typically limited to subtle gliosis rather than frank lymphocytic infiltration or degenerative pathology (46, 50).\nA central unresolved question is whether the missing neurons are irreversibly destroyed or survive in a transcriptionally silent state, masked by suppression of orexin gene expression (51).\nExperimental models have long demonstrated a dose–response relationship between the extent of orexin neuron loss and clinical disease severity: partial depletion produces REM intrusion and sleep-wake fragmentation but may spare cataplexy, often with preserved CSF orexin levels (46). Human postmortem studies reinforce this continuum. In NT2, orexin neuron counts may be normal or modestly reduced (approximately 30–35%) with relative sparing of the posterior hypothalamic regions, supporting a continuum of selective vulnerability rather than a binary presence or absence of neuronal loss (47, 52).\nAlongside orexin depletion, recent studies report an apparent increase in histaminergic neurons in the tuberomammillary nucleus (TMN) of NT1 brains. Postmortem studies using histidine decarboxylase (HDC) immunohistochemistry have reported a higher number of HDC-immunoreactive TMN neurons than controls; however, reported magnitudes vary and reflect differences in methodology, including whether unbiased stereological counting or marker-based cell identification was used (47, 52). Neuroimaging studies have echoed these findings, suggesting regionally altered hypothalamic structure or signal characteristics in vivo, although current imaging modalities do not directly quantify histaminergic neuron number and should be interpreted cautiously (50). These findings are commonly interpreted as compensatory plasticity within a wake-promoting system—emphasizing the reciprocal connectivity between TMN histamine neurons and orexin circuits.\nHowever, substantial methodological uncertainty persists. Differences in immunolabeling protocols, fixation artifacts, altered expression of histidine decarboxylase, or recruitment of neurons previously below the threshold for histaminergic markers could inflate apparent neuron counts (47, 52). Importantly, an increase in HDC-immunoreactive profiles does not necessarily equate to neurogenesis, as enhanced enzyme expression or phenotypic plasticity may render previously low-expressing cells detectable. Whether NT1 brains truly gain new histaminergic neurons, reprogram existing cells to adopt histaminergic identity, or merely upregulate marker expression remains unresolved. The paradox of profound orexin neuron depletion in the absence of overt neurodegeneration supports a mechanism of selective immune-mediated vulnerability rather than global hypothalamic injury (46, 51).\nTaken together, the neuropathological evidence supports a coherent model: NT1 is characterized by near-complete, spatially restricted loss of orexin neurons, with preservation of surrounding hypothalamic architecture. The proposed amplification of histaminergic neurons represents a provocative yet incompletely validated adaptive response—one that demands deeper, multimodal evaluation integrating modern stereology, molecular markers, and functional imaging.\n\n\n### Genetic and epigenetic factors\nNarcolepsy presents a paradoxical genetic architecture: it is predominantly sporadic in clinical practice, yet it carries some of the strongest immunogenetic associations in sleep medicine. Familial aggregation is uncommon. Twin studies estimate concordance of roughly 20–30% among monozygotic pairs, reinforcing the notion that genetic predisposition is necessary but insufficient to produce the phenotype (36, 43). Large pedigrees with multiple affected individuals remain exceptional, and familial forms constitute only a small minority of cases worldwide (53). These observations highlight the primacy of non-genetic triggers, particularly immune and environmental events, in shaping disease onset.\nThe most robust genetic association continues to arise from the HLA complex. HLA-DQB1*06:02 is present in approximately 85–98% of individuals with NT1 and in a substantial subset of those with NT2 (46, 47). Nevertheless, its low penetrance—estimated at roughly 1 in 1,000 carriers—underscores its permissive rather than deterministic role. Intriguingly, the allele is common in healthy individuals, and its presence correlates with shorter REM latency even in asymptomatic carriers, suggesting a subclinical signature of altered arousal regulation (36).\nPopulation-level variation in allele frequency appears to influence disease incidence: for example, reductions in DQB1*06:02 prevalence in certain Middle Eastern and Jewish populations parallel their lower rates of narcolepsy (36). Other HLA class II alleles show more modest, context-specific associations, whereas emerging evidence suggests that class I loci influence susceptibility through CD8+ T-cell-mediated mechanisms (46).\nGenetic studies beyond the HLA region continue to converge on T-cell signaling and antigen-recognition pathways. Polymorphisms in the T-cell receptor α locus replicate across independent cohorts and reinforce the importance of antigen-specific immune response presentation in disease susceptibility (36). Additional loci, including P2RY11, CTSH, TNFSF4, IFNAR1, ZNF365, DENND1B, IKZF4–ERBB3, SIRPG, CD207 and PRF1—have been identified in genome-wide association studies, with effect sizes characteristic of a polygenic autoimmune phenotype (46, 53). Although rare mutations in HCRT, MOG, or P2RY11 occasionally occur in familial cases, none reliably reproduce the full-spectrum clinical phenotype in large series (53).\nEpigenetic modulation has emerged over the past decade as a compelling additional layer of vulnerability. Epigenome-wide association studies suggested global alterations in DNA methylation patterns, with enrichment in pathways related to hormonal regulation and cellular metabolism (36). More provocative findings arise from postmortem analyses showing promoter hypermethylation of the HCRT gene, decreased chromatin accessibility, and preserved expression of adjacent neuropeptides in orexin-lineage neurons—raising the possibility that some orexin neurons may remain anatomically present but epigenetically silenced rather than destroyed (54).\nReviews published between 2023 and 2025 increasingly emphasize the potential role of DNA methylation, histone modification, and noncoding RNA dynamics in shaping immune tolerance and neuronal vulnerability (44, 46).\nRecent multi-omics integration studies further refine our understanding of risk. Different studies link specific single-nucleotide polymorphism clusters to sleep efficiency, microarousal dynamics, and REM instability, suggesting that genetic background not only shapes disease susceptibility but also modulates clinical phenotype expression and disease course (36, 55, 56). These observations support a future in which polygenic and epigenetic risk profiles may guide risk stratification, enable identification of preclinical individuals, predict trajectories of symptom evolution, and guide precision-oriented interventions.\nIn synthesis, the genetic and epigenetic architecture of narcolepsy reflects a highly penetrant immunogenetic core centered on HLA and TCR pathways, which is modulated by numerous secondary immune-regulatory loci. Epigenetic regulation provides a flexible, potentially reversible layer that can amplify or reduce vulnerability. There is growing evidence suggesting that environmental triggers interact with these molecular frameworks to precipitate the disease. To advance the field, there is an urgent need for deep profiling of methylomic and transcriptomic signatures in at-risk populations, single-cell epigenetic analysis of orexin-lineage neurons and immune cells, and the development of integrative multi-omics risk models based on prospective cohorts.\n\n\n### Environmental factors\nThe modest concordance observed in monozygotic twins—typically around 20–30%—strongly suggests that environmental modifiers exert substantial influence over narcolepsy pathogenesis (1, 36). Epidemiological studies suggest that both prenatal and early-life exposures shape susceptibility. Season-of-birth effects, although inconsistent across cohorts, suggest that early encounters with viral infections, immune-priming events, or inflammatory stressors may influence the developing immune system and modulate the long-term risk of autoimmunity (53, 57).\nHistorical accounts from the early 20th century documented temporal clustering of narcolepsy onset around outbreaks of influenza and post-encephalitic syndromes, raising the possibility that strong immune activation can precipitate disease in genetically primed individuals (1). More recent serological studies provide convergent evidence: individuals with new-onset narcolepsy exhibit elevated anti–streptococcal antibody titers relative to matched controls, supporting the hypothesis that group A β-hemolytic streptococcal infection may trigger narcolepsy in susceptible hosts (58).\nAmong infectious exposures, influenza A/H1N1 stands out as the most consistent environmental risk factor. During the 2009–2010 pandemic, incidence of narcolepsy in China increased approximately threefold shortly after peak infection periods; in northern European countries, a dramatic six- to ninefold rise occurred following administration of the AS03-adjuvanted Pandemrix vaccine, an effect not observed with other influenza vaccines (57, 59). These observations underscore that both natural infection and, in rare circumstances, vaccine-associated immune activation may breach immune tolerance mechanisms.\nMechanistic hypotheses center on molecular mimicry. Experimental work demonstrates sequence homology between influenza hemagglutinin epitopes and orexin-related peptides, suggesting that cross-reactive T cells could inadvertently target orexin neurons during antiviral immune responses (3, 5). Sporadic case reports also describe narcolepsy onset following other immunogenic events—including routine vaccinations or traumatic brain injury—further supporting a multi-hit architecture in which strong inflammatory stimuli act as proximal triggers (53).\nMore recently, isolated but well-documented cases have linked SARS-CoV-2 infection with de novo narcolepsy in genetically predisposed individuals. A 2023 case report described a patient with HLA-DQB1*06:02 who developed abrupt-onset hypersomnolence and cataplexy following COVID-19, accompanied by low CSF orexin levels, reinforcing the plausibility of virus-induced immune dysregulation (60).\nTaken together, environmental modifiers appear to act across distinct temporal stages. Early-life exposures may shape immune setpoints, influence synaptic pruning and regulate T-cell tolerance. In contrast, later exposures—such as respiratory infections, streptococcal immune activation or pandemic viral pathogens—may serve as decisive triggers that push a primed immune system toward autoreactivity. These patterns align with a modern multi-hit framework in which genetic predisposition, epigenetic tuning and immune stressors converge to breach tolerance and initiate selective loss or silencing of orexin neurons.\n\n\n### Immunological mechanisms\nDespite decades of investigation, narcolepsy has not been associated with a disease-specific autoantibody. Unlike classical antibody-mediated autoimmune encephalitides, narcolepsy shows no reproducible humoral biomarkers. However, epidemiological patterns, immune associations and therapeutic observations collectively point toward an immune-mediated pathophysiology predominantly involving adaptive cellular immunity.\nNarcolepsy has been described in association with systemic autoimmune disorders—including multiple sclerosis, coeliac disease and systemic lupus erythematosus—as well as in rare paraneoplastic contexts. These associations suggest that global immune dysregulation may create a biological milieu permissive to selective hypothalamic vulnerability rather than reflecting shared antigenic targets (46, 53). Reports of early benefit from immunomodulatory therapy in selected patients, although inconsistent, further reinforce the potential reversibility of early immune-driven processes (51). Notably, the absence of a consistent autoantibody distinguishes narcolepsy from antibody-driven limbic or diffuse autoimmune encephalitides and aligns it more closely with T-cell-mediated neurological disorders.\nAncillary CSF findings offer partial but suggestive support for immune activation. Some patients exhibit mild pleocytosis, oligoclonal bands, or elevated cytokine levels, such as TNF-α and IFN-γ, though these abnormalities lack sensitivity and are inconsistently observed across cohorts (46). Flow-cytometric and functional immune studies demonstrate enhanced activation of both CD4+ and CD8+ T cells in peripheral blood, with parallel activation patterns observed in CSF in subsets of patients (45).\nA pivotal advance occurred in 2018, when investigators first identified autoreactive CD4+ and CD8+ T cells that recognize orexin-related epitopes in individuals with NT1 and NT2 (3). These findings were independently validated in subsequent studies that confirmed T-cell receptor specificity for orexin and structurally related peptides (4, 5). Together, these studies provide strong mechanistic support for the involvement of antigen-directed T cells in the selective targeting of orexin-producing neurons in narcolepsy, rather than indicating a nonspecific neuroinflammatory process.\nRecent work has expanded this immunological framework. Transcriptomic profiling of circulating T cells in narcolepsy reveals altered expression signatures enriched for T-cell receptor signaling, immune activation pathways, and effector differentiation, suggesting sustained systemic dysregulation (45). Mendelian randomization studies implicate traits of both CD4+ and CD8+ T-cell activation as causally related to NT1, thereby linking immunogenetic susceptibility directly to functional immune phenotypes (61).\nAt the tissue level, a 2025 postmortem study reported an approximately eleven-fold increase in CD4+ T-cell density within the orexin neuronal field, far exceeding levels observed in adjacent hypothalamic regions and control brains, supporting anatomically restricted immune infiltration rather than diffuse hypothalamic inflammation (46, 51).\nDespite these advances, the precise effector mechanisms underlying orexin neuron dysfunction remain incompletely defined; however, accumulating evidence is increasingly consistent with narcolepsy—particularly NT1—falling within the spectrum of T cell–mediated autoimmune neurological disorders. The absence of a consistent humoral biomarker reinforces the view that narcolepsy aligns more closely with cellular autoimmune diseases than with antibody-mediated encephalitides. Recognizing narcolepsy as an immune-mediated encephalopathy has important clinical implications: it highlights the urgent need for reliable biomarkers of early immune activation, motivates trials of immunomodulatory interventions in the earliest phases of illness, and challenges the long-standing assumption that orexin neuronal loss is irreversible.\nMicroglial activation has emerged as a potential amplifier of immune-mediated vulnerability. Experimental models demonstrate that orexin deficiency itself enhances microglial reactivity and inflammatory signaling, suggesting a bidirectional relationship in which loss of orexin function both results from and contributes to neuroimmune dysregulation (46). Whether microglia act as primary effectors or secondary responders in human narcolepsy remains unresolved.\nIn summary, available evidence positions narcolepsy, particularly NT1, within the spectrum of T cell–mediated autoimmune neurological disorders, albeit with distinctive features: profound cellular selectivity, minimal structural inflammation, and absence of humoral biomarkers. This profile contrasts sharply with classical autoimmune encephalitides and supports the conceptualization of narcolepsy as an immune-mediated hypothalamic encephalopathy rather than an antibody-driven inflammatory brain disease.\nFuture research must therefore prioritize precise immunophenotyping, longitudinal immune monitoring from prodromal stages, and mechanistic studies capable of disentangling immune-driven neuronal silencing from irreversible cell loss. Such efforts will be essential to determine whether narcolepsy represents a preventable or partially reversible immune-mediated disorder—and to translate immunological insight into effective disease-modifying therapies.\n\n\n### Clinical features\nNarcolepsy type 1—and to a lesser extent narcolepsy type 2—should be understood not merely as a disorder of sleep-wake instability, but as a multisystem syndrome rooted in hypothalamic dysfunction, with manifestations spanning motor, psychiatric, cognitive, metabolic and autonomic domains (Figure 2).\nOrexin neuron dysfunction and state instability in narcolepsy. In physiological conditions (upper panel), orexin-A and orexin-B—encoded on chromosome 6—are released by approximately 70,000 neurons in the lateral hypothalamus. These peptides activate orexin receptors OX1R and OX2R across histaminergic, monoaminergic, and cholinergic arousal networks to maintain consolidated wakefulness. OX1R primarily couples to Gq/11-mediated intracellular Ca²+ signaling, whereas OX2R engages Gq, Gi/o, and Gs pathways and β-arrestin signaling. Orexin neurons co-release excitatory neuromodulators, including dynorphin, neuronal pentraxin, galanin, and GABA, providing tonic excitation that prevents inappropriate REM sleep intrusions. In narcolepsy (lower panel), immune-mediated loss or silencing of orexin neurons abolishes this stabilizing drive, leading to excessive daytime sleepiness, sudden emotion-triggered loss of muscle tone (cataplexy), and transitions into REM-associated paralysis while awake (sleep paralysis). Dysregulated neurotransmitter signaling leads to rapid, uncontrolled shifts between behavioral states. During normal wakefulness, orexin neuron activity is high; during sleep, activity falls. In orexin deficiency, these boundaries become unstable. REM sleep features—including atonia and dream-related hallucinations—intrude into wakefulness, while nighttime sleep becomes fragmented with frequent arousals, contributing to hypnagogic hallucinations, poor nocturnal sleep quality, and persistent daytime impairment. Overall, disrupted orexin signaling produces pathological state instability that defines the narcolepsy phenotype.\nExcessive daytime sleepiness remains the hallmark and most disabling symptom. Patients describe an overwhelming sleep drive or persistent drowsiness, impaired vigilance, difficulty sustaining wakefulness, and episodes of irresistible sleep attacks (11, 34, 39). In a large European cohort of over 1,000 patients, approximately 80% reported involuntary napping—typically abrupt, often occurring in the morning—and occasionally in unsafe contexts (62). These naps are often brief (~15–20 minutes), restorative in some cases, and may include dreamlike features; yet their duration and restorative quality vary widely. “Automatic behaviors”—the unconscious continuation of task performance during microsleeps (for example, typing, driving, misplacing objects)—are common, often accompanied by amnesia and experienced by patients as “black-outs” (34, 39, 62). Notably, EDS must be distinguished from fatigue: up to 60% of patients report persistent fatigue, which tends to resist conventional therapy and adds an independent layer of functional impairment (34, 39, 62).\nCataplexy is the only pathognomonic feature of narcolepsy: brief, transient, emotion-triggered muscular atonia with preserved consciousness. Partial attacks lasting 2–10 seconds frequently involve facial droop, eyelid closure, jaw sagging, tongue protrusion, or extremity weakness; the so-called “facies cataplectica” (especially in pediatric-onset cases) is characterized by mouth opening, facial hypotonia, and tongue protrusion (39, 63). Deep-tendon reflexes typically attenuate or disappear during full cataplexy, although milder attacks may preserve residual reflexes. Rare phenomena, such as a transient Babinski sign or the persistence of a Parkinsonian tremor, have been described, though these remain exceptional (39, 63). Cataplectic episodes generally last less than 2 minutes; durations of more than 5 minutes are uncommon and often reflect withdrawal from anticataplectic therapy (39, 63). Some attacks manifest mixed motor signs: positive motor phenomena (twitching, grimacing, neck extension) may accompany underlying atonia, particularly in children, and occasionally mimic focal convulsive or movement disorders (39, 63). Predominant triggers are positive emotions (laughter being the classic example), with up to half of patients reporting attacks triggered by tickling. Unexpected or triumphant emotions (sports, games, erotic stimuli) may trigger generalized atonia (“orgasmolepsy”). Negative emotions (anger, fear, sorrow) trigger attacks less commonly. During cataplexy, ocular motility and respiration are typically preserved, but some patients report blurred vision, dyspnea or autonomic signs, including fluctuations in blood pressure, sweating, penile erection or urinary incontinence (39, 63). Prolonged cataplexy may be accompanied by concurrent hypnagogic hallucinations, sleep paralysis, vivid dreaming or REM behavior elements (39, 63).\nSleep paralysis and hallucinations occur in approximately 50–60% of patients (34, 39, 63). Sleep paralysis is characterized by a transient inability to move or speak during transitions into or out of sleep, often accompanied by respiratory discomfort. Hallucinations are vivid, multimodal (visual, auditory, olfactory, gustatory, vestibular), and frequently blend seamlessly into the patient’s immediate surroundings. Purely isolated visual hallucinations are less common (~15%) (64). Patients sometimes report a sensed presence, intrusive agents or assault scenarios, which can provoke fear of sleep and anxiety; most maintain insight upon awakening, but the experience may confound psychiatric diagnoses. Rarely, dream enactment (“dream delusions”) occurs beyond the typical hypnagogic spectrum (34, 39, 63).\nAlthough EDS dominates the daytime picture, nocturnal sleep in narcolepsy is often fragmented, with recurrent awakenings and micro-arousals; total sleep time does not necessarily exceed that of the general population (34, 39, 63). In early disease or pediatric cases, prolonged sleep inertia (“sleep drunkenness”), long sleep periods, or paradoxical hypersomnia may be observed (26). Parasomnias are common: periodic limb movements occur in 25–50% of cases, spanning non-REM, REM and wake states, and correlate with both EDS severity and orexin deficiency. REM sleep behavior disorder (RBD) appears in 25–70% of patients, typically manifesting simple behaviors, often paralleling cataplexy burden and orexin loss (34, 39, 63). Other parasomnias—including sleepwalking, nocturnal eating and restless-legs syndrome—are more frequent in narcolepsy than in the general population. Sleep-disordered breathing (e.g., obstructive sleep apnea) is also prevalent and contributes to diagnostic delay (65). Dream content in narcolepsy is often vivid, archaic or bizarre; nightmares, lucid dreaming and dream fragmentation occur more frequently than in the general population (65).\nHistorically misclassified as psychiatric, narcolepsy nonetheless retains substantive intersections with mood and affective pathology. Stressful life events may precede disease onset, and depression or anxiety affects approximately 20–30% of patients (64). Narcoleptic-like symptoms have also been described in schizophrenia and other psychiatric disorders, and functional mimicry (pseudocataplexy, conversion phenomena) further complicates clinical assessment (34). Neurobiological and animal-model studies implicate dysfunction of reward, limbic and emotional circuits in the genesis of psychiatric symptoms in narcolepsy (66). Psychiatric morbidity is more pronounced in pediatric onset, contributing to learning impairment, social difficulties, low self-esteem and quality-of-life losses comparable to epilepsy (67).\nCognitive impairment is frequently documented in narcolepsy, including deficits in attention, executive control, processing speed, decision-making and memory (67). Historically, these deficits were primarily attributed to sleepiness, but emerging data suggest that orexin deficiency may directly contribute to impaired protein clearance, neurotoxic accumulation, or synaptic vulnerability (48).\nElevated body mass index (BMI) and obesity have long been associated with narcolepsy. Contemporary reviews and empirical studies confirm that BMI is 10–20% higher in patients than in matched controls (34). Although insulin sensitivity is often preserved, rates of type 2 diabetes appear increased—likely as a consequence of obesity and metabolic dysregulation (64). Patients exhibit a reduced resting metabolic rate or altered substrate utilization: in one case–control study, narcolepsy patients showed lower respiratory quotients—indicating increased reliance on fat metabolism during fasting—although the resting metabolic rate itself was not significantly different from BMI-matched controls (68). A 2022 narrative review emphasized that orexin deficiency may impair basal metabolic rate, motor activity and energy expenditure, contributing to weight gain over time (68). More recently, a metabolic profiling study in NT1 identified inhibited carbohydrate metabolism and early indicators of diabetic progression (69).\nAlthough less studied, autonomic disturbances are increasingly documented. Patients may report syncope or presyncope, erectile dysfunction, night sweats, gastrointestinal dysmotility, orthostatic hypotension, palpitations, dry mouth, thermoregulatory instability or pupillary irregularities (34). Olfactory dysfunction, chronic headache and back pain have also emerged as associated features, though their mechanistic linkage to narcolepsy remains uncertain (65).\nIn children, early clues often include rapid weight gain and onset of EDS; paradoxically, despite pronounced daytime sleepiness, children may maintain long nocturnal sleep durations. This combination of excessive daytime sleepiness with preserved or prolonged nocturnal sleep has been consistently described in pediatric cohorts and may delay recognition when interpreted as “normal sleep need” (27, 70). Attempts to resist EDS may manifest as restlessness or hyperactivity. Such paradoxical hyperactivity and attentional dysregulation are frequently misattributed to primary ADHD rather than hypersomnolence (27).\nCataplexy typically emerges early and frequently presents with combined negative motor signs (facial atonia, ptosis, mouth opening, tongue protrusion) and positive motor phenomena (dystonia, dyskinesia, stereotypies)—particularly in the first year of disease onset—and tends to diminish over time (67). Primary pediatric studies further describe “cataplectic facies,” complex motor instability and frequent non–emotion-triggered hypotonic episodes in early-onset cases, especially in preschool-aged children (67, 70). Longitudinal cohort data suggest that this complex motor phenotype often evolves toward more classic emotion-triggered cataplexy over time (71).\nChildren also frequently manifest fragmented sleep, hallucinations, sleep paralysis or RBD, and comorbid cognitive, behavioral and psychiatric symptoms (e.g., depression, attention-deficit/hyperactivity disorder, aggression, psychotic features) are common (67). Multiple pediatric reviews confirm high rates of mood disorders, anxiety, attentional dysfunction and school impairment, although prevalence estimates vary across cohorts and are largely based on cross-sectional data (27, 67). Moreover, metabolic and neuroendocrine features—such as obesity and early puberty—are more prominent in pediatric onset, underscoring early hypothalamic involvement (67). Rapid weight gain at disease onset is well documented in pediatric NT1 cohorts and is considered an evidence-based clinical marker of early disease, whereas mechanistic attribution to hypothalamic neuroendocrine disruption remains inferential (70, 71).\nOver the past five years, the clinical landscape of narcolepsy has been refined through patient-centric surveys, metabolic phenotyping and advances in neuroimaging (e.g., advanced MRI biomarkers of hypothalamic integrity) (65). Nevertheless, key challenges remain: disentangling the direct contributions of orexin deficiency from secondary sleep loss, identifying early prodromal biomarkers and capturing the full spectrum of systemic effects in longitudinal studies.\n\n\n### Excessive daytime sleepiness\nExcessive daytime sleepiness remains the hallmark and most disabling symptom. Patients describe an overwhelming sleep drive or persistent drowsiness, impaired vigilance, difficulty sustaining wakefulness, and episodes of irresistible sleep attacks (11, 34, 39). In a large European cohort of over 1,000 patients, approximately 80% reported involuntary napping—typically abrupt, often occurring in the morning—and occasionally in unsafe contexts (62). These naps are often brief (~15–20 minutes), restorative in some cases, and may include dreamlike features; yet their duration and restorative quality vary widely. “Automatic behaviors”—the unconscious continuation of task performance during microsleeps (for example, typing, driving, misplacing objects)—are common, often accompanied by amnesia and experienced by patients as “black-outs” (34, 39, 62). Notably, EDS must be distinguished from fatigue: up to 60% of patients report persistent fatigue, which tends to resist conventional therapy and adds an independent layer of functional impairment (34, 39, 62).\n\n\n### Cataplexy\nCataplexy is the only pathognomonic feature of narcolepsy: brief, transient, emotion-triggered muscular atonia with preserved consciousness. Partial attacks lasting 2–10 seconds frequently involve facial droop, eyelid closure, jaw sagging, tongue protrusion, or extremity weakness; the so-called “facies cataplectica” (especially in pediatric-onset cases) is characterized by mouth opening, facial hypotonia, and tongue protrusion (39, 63). Deep-tendon reflexes typically attenuate or disappear during full cataplexy, although milder attacks may preserve residual reflexes. Rare phenomena, such as a transient Babinski sign or the persistence of a Parkinsonian tremor, have been described, though these remain exceptional (39, 63). Cataplectic episodes generally last less than 2 minutes; durations of more than 5 minutes are uncommon and often reflect withdrawal from anticataplectic therapy (39, 63). Some attacks manifest mixed motor signs: positive motor phenomena (twitching, grimacing, neck extension) may accompany underlying atonia, particularly in children, and occasionally mimic focal convulsive or movement disorders (39, 63). Predominant triggers are positive emotions (laughter being the classic example), with up to half of patients reporting attacks triggered by tickling. Unexpected or triumphant emotions (sports, games, erotic stimuli) may trigger generalized atonia (“orgasmolepsy”). Negative emotions (anger, fear, sorrow) trigger attacks less commonly. During cataplexy, ocular motility and respiration are typically preserved, but some patients report blurred vision, dyspnea or autonomic signs, including fluctuations in blood pressure, sweating, penile erection or urinary incontinence (39, 63). Prolonged cataplexy may be accompanied by concurrent hypnagogic hallucinations, sleep paralysis, vivid dreaming or REM behavior elements (39, 63).\n\n\n### Sleep paralysis and hallucinations\nSleep paralysis and hallucinations occur in approximately 50–60% of patients (34, 39, 63). Sleep paralysis is characterized by a transient inability to move or speak during transitions into or out of sleep, often accompanied by respiratory discomfort. Hallucinations are vivid, multimodal (visual, auditory, olfactory, gustatory, vestibular), and frequently blend seamlessly into the patient’s immediate surroundings. Purely isolated visual hallucinations are less common (~15%) (64). Patients sometimes report a sensed presence, intrusive agents or assault scenarios, which can provoke fear of sleep and anxiety; most maintain insight upon awakening, but the experience may confound psychiatric diagnoses. Rarely, dream enactment (“dream delusions”) occurs beyond the typical hypnagogic spectrum (34, 39, 63).\n\n\n### Sleep disturbances and parasomnias\nAlthough EDS dominates the daytime picture, nocturnal sleep in narcolepsy is often fragmented, with recurrent awakenings and micro-arousals; total sleep time does not necessarily exceed that of the general population (34, 39, 63). In early disease or pediatric cases, prolonged sleep inertia (“sleep drunkenness”), long sleep periods, or paradoxical hypersomnia may be observed (26). Parasomnias are common: periodic limb movements occur in 25–50% of cases, spanning non-REM, REM and wake states, and correlate with both EDS severity and orexin deficiency. REM sleep behavior disorder (RBD) appears in 25–70% of patients, typically manifesting simple behaviors, often paralleling cataplexy burden and orexin loss (34, 39, 63). Other parasomnias—including sleepwalking, nocturnal eating and restless-legs syndrome—are more frequent in narcolepsy than in the general population. Sleep-disordered breathing (e.g., obstructive sleep apnea) is also prevalent and contributes to diagnostic delay (65). Dream content in narcolepsy is often vivid, archaic or bizarre; nightmares, lucid dreaming and dream fragmentation occur more frequently than in the general population (65).\n\n\n### Psychiatric and emotional disturbances\nHistorically misclassified as psychiatric, narcolepsy nonetheless retains substantive intersections with mood and affective pathology. Stressful life events may precede disease onset, and depression or anxiety affects approximately 20–30% of patients (64). Narcoleptic-like symptoms have also been described in schizophrenia and other psychiatric disorders, and functional mimicry (pseudocataplexy, conversion phenomena) further complicates clinical assessment (34). Neurobiological and animal-model studies implicate dysfunction of reward, limbic and emotional circuits in the genesis of psychiatric symptoms in narcolepsy (66). Psychiatric morbidity is more pronounced in pediatric onset, contributing to learning impairment, social difficulties, low self-esteem and quality-of-life losses comparable to epilepsy (67).\n\n\n### Cognitive disturbances\nCognitive impairment is frequently documented in narcolepsy, including deficits in attention, executive control, processing speed, decision-making and memory (67). Historically, these deficits were primarily attributed to sleepiness, but emerging data suggest that orexin deficiency may directly contribute to impaired protein clearance, neurotoxic accumulation, or synaptic vulnerability (48).\n\n\n### Metabolic disturbances\nElevated body mass index (BMI) and obesity have long been associated with narcolepsy. Contemporary reviews and empirical studies confirm that BMI is 10–20% higher in patients than in matched controls (34). Although insulin sensitivity is often preserved, rates of type 2 diabetes appear increased—likely as a consequence of obesity and metabolic dysregulation (64). Patients exhibit a reduced resting metabolic rate or altered substrate utilization: in one case–control study, narcolepsy patients showed lower respiratory quotients—indicating increased reliance on fat metabolism during fasting—although the resting metabolic rate itself was not significantly different from BMI-matched controls (68). A 2022 narrative review emphasized that orexin deficiency may impair basal metabolic rate, motor activity and energy expenditure, contributing to weight gain over time (68). More recently, a metabolic profiling study in NT1 identified inhibited carbohydrate metabolism and early indicators of diabetic progression (69).\n\n\n### Autonomic dysfunction\nAlthough less studied, autonomic disturbances are increasingly documented. Patients may report syncope or presyncope, erectile dysfunction, night sweats, gastrointestinal dysmotility, orthostatic hypotension, palpitations, dry mouth, thermoregulatory instability or pupillary irregularities (34). Olfactory dysfunction, chronic headache and back pain have also emerged as associated features, though their mechanistic linkage to narcolepsy remains uncertain (65).\n\n\n### Pediatric presentation\nIn children, early clues often include rapid weight gain and onset of EDS; paradoxically, despite pronounced daytime sleepiness, children may maintain long nocturnal sleep durations. This combination of excessive daytime sleepiness with preserved or prolonged nocturnal sleep has been consistently described in pediatric cohorts and may delay recognition when interpreted as “normal sleep need” (27, 70). Attempts to resist EDS may manifest as restlessness or hyperactivity. Such paradoxical hyperactivity and attentional dysregulation are frequently misattributed to primary ADHD rather than hypersomnolence (27).\nCataplexy typically emerges early and frequently presents with combined negative motor signs (facial atonia, ptosis, mouth opening, tongue protrusion) and positive motor phenomena (dystonia, dyskinesia, stereotypies)—particularly in the first year of disease onset—and tends to diminish over time (67). Primary pediatric studies further describe “cataplectic facies,” complex motor instability and frequent non–emotion-triggered hypotonic episodes in early-onset cases, especially in preschool-aged children (67, 70). Longitudinal cohort data suggest that this complex motor phenotype often evolves toward more classic emotion-triggered cataplexy over time (71).\nChildren also frequently manifest fragmented sleep, hallucinations, sleep paralysis or RBD, and comorbid cognitive, behavioral and psychiatric symptoms (e.g., depression, attention-deficit/hyperactivity disorder, aggression, psychotic features) are common (67). Multiple pediatric reviews confirm high rates of mood disorders, anxiety, attentional dysfunction and school impairment, although prevalence estimates vary across cohorts and are largely based on cross-sectional data (27, 67). Moreover, metabolic and neuroendocrine features—such as obesity and early puberty—are more prominent in pediatric onset, underscoring early hypothalamic involvement (67). Rapid weight gain at disease onset is well documented in pediatric NT1 cohorts and is considered an evidence-based clinical marker of early disease, whereas mechanistic attribution to hypothalamic neuroendocrine disruption remains inferential (70, 71).\nOver the past five years, the clinical landscape of narcolepsy has been refined through patient-centric surveys, metabolic phenotyping and advances in neuroimaging (e.g., advanced MRI biomarkers of hypothalamic integrity) (65). Nevertheless, key challenges remain: disentangling the direct contributions of orexin deficiency from secondary sleep loss, identifying early prodromal biomarkers and capturing the full spectrum of systemic effects in longitudinal studies.\n\n\n### Diagnosis\nNarcolepsy remains substantially underdiagnosed, with diagnostic delays that continue to impede timely management. In the largest contemporary European cohort, the average interval between symptom onset and correct diagnosis approached 14 years, reflecting persistent gaps in clinical recognition and structural barriers within sleep-medicine pathways (29, 62). These delays are particularly pronounced in children, whose early manifestations of excessive daytime sleepiness and cataplexy may be subtle, atypical or misinterpreted. Normative data for the multiple sleep latency test (MSLT) remain limited in younger children, and CSF orexin measurement—especially in those under age six—remains infrequently performed due to procedural and ethical constraints (34). Figure 3 outlines the diagnostic approach for narcolepsy according to current ICSD-3-TR criteria (9).\nDiagnostic approach for narcolepsy according to current ICSD-3-TR criteria. Diagnosis begins with clinical suspicion based on the cardinal symptoms of narcolepsy—EDS, cataplexy, sleep paralysis, and hallucinations—followed by systematic exclusion of alternative conditions that better explain these manifestations. Differential diagnoses include other sleep disorders, neurological and psychiatric diseases, substance-related causes, and physiological or pathological mimics, particularly for cataplexy and REM-related phenomena. Clinical and screening tools (detailed sleep-wake history, Epworth Sleepiness Scale, sleep diaries, and actigraphy) may support phenotyping and exclusion of confounders. Objective sleep testing with overnight PSG followed by MSLT is mandatory, whereas CSF orexin-A (hypocretin-1) measurement and genetic testing (HLA-DQB1*06:02) are optional ancillary investigations. Final classification as narcolepsy type 1 or type 2 is based on application of ICSD-3-TR diagnostic criteria, integrating clinical features, exclusion of alternative explanations, and objective findings. EDS, excessive daytime sleepiness; PSG, polysomnography; CSF, cerebrospinal fluid; MSLT, multiple sleep latency testing; SOREMP, sleep-onset REM periods.\nCurrent classifications define narcolepsy type 1 by persistent EDS for at least three months, together with either unequivocal CSF orexin deficiency (≤ 110 pg/mL using non-standardized assays) or the presence of cataplexy plus characteristic polysomnographic criteria—mean sleep latency < 8 minutes and ≥ 2 sleep-onset REM periods (SOREMPs) on the MSLT (8). In practice, many diagnoses rely primarily on clinical history, as cataplexy remains pathognomonic and can be recognized with careful, structured interviewing. Nevertheless, reliable documentation of cataplexy remains challenging: validated trigger tests are limited and attempts to capture episodes via video or electrophysiological recordings have yielded only modest gains in diagnostic confidence (72).\nEven in seemingly straightforward NT1 cases, diagnostic uncertainty persists. Immunoassays for CSF orexin show considerable methodological variability; cross-reactivity, peptide degradation and lack of interlaboratory standardization continue to undermine reliability (73). A stability study demonstrated notable variability in stored CSF samples, underscoring the need for caution when interpreting orexin concentrations near diagnostic thresholds (73). Moreover, intermediate orexin levels—neither clearly low nor convincingly normal—pose a diagnostic challenge, often requiring longitudinal reassessment or probabilistic modelling to contextualize risk (42).\nPersistent EDS defines narcolepsy type 2 in the absence of cataplexy, a mean MSLT latency < 8 minutes, ≤ 2 SOREMPs, and normal (or unmeasured) CSF orexin. NT2 remains a diagnosis of exclusion and therefore demands rigorous evaluation for contributory conditions such as insufficient sleep, obstructive sleep apnea, circadian misalignment, sedative medications and psychiatric disorders. Although NT2 patients typically exhibit milder EDS and fewer REM-intrusion symptoms than NT1 patients, the entity remains controversial. Evidence that some NT2 patients progress to NT1, that a subset demonstrates partial orexin neuron loss on postmortem examination, and that partial orexin depletion in animal models faithfully reproduces EDS without cataplexy all support the concept of a disease continuum rather than a categorical distinction (47, 74).\nThe limitations of existing diagnostic frameworks have become increasingly apparent. First, polysomnographic metrics such as SOREMPs and MSLT latency are vulnerable to confounding by insufficient sleep, comorbid sleep disorders, medication effects and suboptimal testing conditions, reducing their specificity (75).\nSecond, although orexin deficiency is a powerful biomarker, current immunoassays lack standardization; cross-reactive metabolites and peptide breakdown products may contribute to false-low or ambiguous results (42, 73). CSF orexin-A quantification has historically relied on radioimmunoassay (RIA), from which the widely adopted diagnostic threshold of <110 pg/mL (or <1/3 of mean control values) was originally derived. However, newer analytical platforms yield systematically different absolute concentrations. ELISA-based methods have reported values approximately fourfold lower than RIA in identical samples (76), and liquid chromatography–tandem mass spectrometry (LC–MS/MS), which selectively quantifies intact mature orexin-A, has demonstrated concentrations three- to fivefold lower than RIA (73). These discrepancies likely reflect differences in antibody specificity, epitope recognition and calibration strategies, underscoring that absolute cut-offs are assay-dependent and not directly interchangeable across laboratories. Moreover, pre-analytical factors—including sample handling, storage temperature, duration of storage and repeated freeze–thaw cycles—affect peptide stability and may further influence measured concentrations (73), emphasizing the need for standardized protocols.\nThird, operational criteria for cataplexy remain imprecise. The absence of quantitative thresholds, reproducible elicitation protocols and validated rating tools hampers inter-center diagnostic consistency. Recent data indicate that individuals with intermediate CSF orexin-A concentrations (above 110 pg/mL but below conventional laboratory reference ranges) may still exhibit typical cataplexy and fulfill PSG/MSLT criteria for narcolepsy type 1, suggesting that strict dichotomous thresholds may fail to capture clinically meaningful partial deficiency (77). Interpretation of intermediate values, therefore, requires careful clinical correlation rather than reliance on a single numerical cut-off.\nFourth, existing criteria insufficiently capture the clinical heterogeneity of narcolepsy. Intermediate phenotypes—such as individuals with partial orexin deficiency, sporadic SOREMPs or fluctuating symptom clusters—are poorly served by rigid dichotomous classifications. HLA-DQB1*06:02 positivity, SOREMPs and reduced orexin levels have all been reported in individuals without overt narcolepsy, suggesting a broader latent phenotype spanning susceptibility to subclinical REM dysregulation (36, 47).\nGiven these limitations, a revision of diagnostic nosology is warranted. A more contemporary, spectrum-based model would integrate multidimensional axes: clinical phenotype (symptom clusters, severity, progression), biomarker stratification (CSF, high-resolution imaging, genetic and immunologic markers), and etiological subtype (autoimmune, secondary, latent). Such a framework would better accommodate evolving phenotypes—such as patients transitioning from isolated EDS to NT1—and identify opportunities for earlier intervention (see Tables 1, 2).\nRecent post-pandemic analyses confirm that narcolepsy remains substantially under-recognized globally (75). This under-recognition is particularly pronounced in pediatric populations, where diagnostic delays of up to a decade have been repeatedly documented, and early-onset cases may present with atypical or evolving phenotypes (27, 67, 70). Advances in molecular and neuroimaging tools offer promising avenues for diagnostic refinement. High-sensitivity liquid chromatography–mass spectrometry (LC–MS) orexin assays may overcome the limitations of current immunoassays, improving accuracy and enabling simultaneous quantification of multiple orexin-related peptides (75). Orexin receptor imaging, CSF proteomics and immune-signature profiling represent emerging approaches that may help define early disease stages and reduce reliance on MSLT-dependent metrics. In pediatric NT1, where rapid weight gain, endocrine dysregulation, and complex motor phenomena may precede classical cataplexy, such biomarker-driven approaches could facilitate earlier pathophysiological stratification (71). However, these techniques remain investigational and are not yet supported by pediatric validation cohorts.\nManagement of intermediate orexin values increasingly incorporates Bayesian and longitudinal models that integrate repeated sampling, symptom evolution and risk characteristics (42). In children, this longitudinal approach is particularly relevant, as symptom expression may evolve from complex hypotonic facial or generalized motor phenomena to more typical emotion-triggered cataplexy over time (70, 71).\nIn pediatric populations, investigators are developing age-appropriate MSLT standards, exploring the use of daytime polysomnography, and evaluating actigraphy-supported diagnostic pathways to mitigate confounding effects of sedation and developmental variability (78). Current pediatric diagnostic thresholds (mean sleep latency ≤8 minutes with ≥2 SOREMPs) are extrapolated from adult-based ICSD criteria but are vulnerable to false positives and developmental confounders in children (27, 67). Evidence supporting pediatric-specific MSLT modifications remains limited, largely based on observational and expert consensus data rather than randomized controlled trials. Expert guidelines recommend actigraphy-supported pre-MSLT sleep stabilization protocols and extended sleep logs to exclude insufficient sleep and circadian misalignment, but these recommendations are primarily consensus-based rather than supported by high-level pediatric evidence (27). Similarly, proposals for daytime PSG adaptations or repeat MSLT testing in young children are grounded in clinical experience and cohort data rather than formal pediatric normative trials (70).\nEarly childhood cases further illustrate diagnostic complexity. Preschool-aged patients may present with facial hypotonia, tongue protrusion, head drop, or frequent non–emotion-triggered cataplectic-like episodes, which are frequently misdiagnosed as epilepsy or movement disorders (67).\nIn summary, contemporary diagnosis of narcolepsy remains a delicate synthesis of clinical expertise, polysomnography and imperfect biomarkers. In pediatric populations, this synthesis must additionally incorporate developmental context, longitudinal symptom evolution and careful exclusion of behavioral, neurological and sleep-related mimics. To meaningfully reduce diagnostic latency and misclassification, future criteria must integrate biomolecular precision, flexible phenotypic stratification and longitudinal interpretation.\n\n\n### Narcolepsy type 1\nCurrent classifications define narcolepsy type 1 by persistent EDS for at least three months, together with either unequivocal CSF orexin deficiency (≤ 110 pg/mL using non-standardized assays) or the presence of cataplexy plus characteristic polysomnographic criteria—mean sleep latency < 8 minutes and ≥ 2 sleep-onset REM periods (SOREMPs) on the MSLT (8). In practice, many diagnoses rely primarily on clinical history, as cataplexy remains pathognomonic and can be recognized with careful, structured interviewing. Nevertheless, reliable documentation of cataplexy remains challenging: validated trigger tests are limited and attempts to capture episodes via video or electrophysiological recordings have yielded only modest gains in diagnostic confidence (72).\nEven in seemingly straightforward NT1 cases, diagnostic uncertainty persists. Immunoassays for CSF orexin show considerable methodological variability; cross-reactivity, peptide degradation and lack of interlaboratory standardization continue to undermine reliability (73). A stability study demonstrated notable variability in stored CSF samples, underscoring the need for caution when interpreting orexin concentrations near diagnostic thresholds (73). Moreover, intermediate orexin levels—neither clearly low nor convincingly normal—pose a diagnostic challenge, often requiring longitudinal reassessment or probabilistic modelling to contextualize risk (42).\n\n\n### Narcolepsy type 2\nPersistent EDS defines narcolepsy type 2 in the absence of cataplexy, a mean MSLT latency < 8 minutes, ≤ 2 SOREMPs, and normal (or unmeasured) CSF orexin. NT2 remains a diagnosis of exclusion and therefore demands rigorous evaluation for contributory conditions such as insufficient sleep, obstructive sleep apnea, circadian misalignment, sedative medications and psychiatric disorders. Although NT2 patients typically exhibit milder EDS and fewer REM-intrusion symptoms than NT1 patients, the entity remains controversial. Evidence that some NT2 patients progress to NT1, that a subset demonstrates partial orexin neuron loss on postmortem examination, and that partial orexin depletion in animal models faithfully reproduces EDS without cataplexy all support the concept of a disease continuum rather than a categorical distinction (47, 74).\n\n\n### Limitations of current diagnostic criteria\nThe limitations of existing diagnostic frameworks have become increasingly apparent. First, polysomnographic metrics such as SOREMPs and MSLT latency are vulnerable to confounding by insufficient sleep, comorbid sleep disorders, medication effects and suboptimal testing conditions, reducing their specificity (75).\nSecond, although orexin deficiency is a powerful biomarker, current immunoassays lack standardization; cross-reactive metabolites and peptide breakdown products may contribute to false-low or ambiguous results (42, 73). CSF orexin-A quantification has historically relied on radioimmunoassay (RIA), from which the widely adopted diagnostic threshold of <110 pg/mL (or <1/3 of mean control values) was originally derived. However, newer analytical platforms yield systematically different absolute concentrations. ELISA-based methods have reported values approximately fourfold lower than RIA in identical samples (76), and liquid chromatography–tandem mass spectrometry (LC–MS/MS), which selectively quantifies intact mature orexin-A, has demonstrated concentrations three- to fivefold lower than RIA (73). These discrepancies likely reflect differences in antibody specificity, epitope recognition and calibration strategies, underscoring that absolute cut-offs are assay-dependent and not directly interchangeable across laboratories. Moreover, pre-analytical factors—including sample handling, storage temperature, duration of storage and repeated freeze–thaw cycles—affect peptide stability and may further influence measured concentrations (73), emphasizing the need for standardized protocols.\nThird, operational criteria for cataplexy remain imprecise. The absence of quantitative thresholds, reproducible elicitation protocols and validated rating tools hampers inter-center diagnostic consistency. Recent data indicate that individuals with intermediate CSF orexin-A concentrations (above 110 pg/mL but below conventional laboratory reference ranges) may still exhibit typical cataplexy and fulfill PSG/MSLT criteria for narcolepsy type 1, suggesting that strict dichotomous thresholds may fail to capture clinically meaningful partial deficiency (77). Interpretation of intermediate values, therefore, requires careful clinical correlation rather than reliance on a single numerical cut-off.\nFourth, existing criteria insufficiently capture the clinical heterogeneity of narcolepsy. Intermediate phenotypes—such as individuals with partial orexin deficiency, sporadic SOREMPs or fluctuating symptom clusters—are poorly served by rigid dichotomous classifications. HLA-DQB1*06:02 positivity, SOREMPs and reduced orexin levels have all been reported in individuals without overt narcolepsy, suggesting a broader latent phenotype spanning susceptibility to subclinical REM dysregulation (36, 47).\nGiven these limitations, a revision of diagnostic nosology is warranted. A more contemporary, spectrum-based model would integrate multidimensional axes: clinical phenotype (symptom clusters, severity, progression), biomarker stratification (CSF, high-resolution imaging, genetic and immunologic markers), and etiological subtype (autoimmune, secondary, latent). Such a framework would better accommodate evolving phenotypes—such as patients transitioning from isolated EDS to NT1—and identify opportunities for earlier intervention (see Tables 1, 2).\n\n\n### Emerging and prospective directions\nRecent post-pandemic analyses confirm that narcolepsy remains substantially under-recognized globally (75). This under-recognition is particularly pronounced in pediatric populations, where diagnostic delays of up to a decade have been repeatedly documented, and early-onset cases may present with atypical or evolving phenotypes (27, 67, 70). Advances in molecular and neuroimaging tools offer promising avenues for diagnostic refinement. High-sensitivity liquid chromatography–mass spectrometry (LC–MS) orexin assays may overcome the limitations of current immunoassays, improving accuracy and enabling simultaneous quantification of multiple orexin-related peptides (75). Orexin receptor imaging, CSF proteomics and immune-signature profiling represent emerging approaches that may help define early disease stages and reduce reliance on MSLT-dependent metrics. In pediatric NT1, where rapid weight gain, endocrine dysregulation, and complex motor phenomena may precede classical cataplexy, such biomarker-driven approaches could facilitate earlier pathophysiological stratification (71). However, these techniques remain investigational and are not yet supported by pediatric validation cohorts.\nManagement of intermediate orexin values increasingly incorporates Bayesian and longitudinal models that integrate repeated sampling, symptom evolution and risk characteristics (42). In children, this longitudinal approach is particularly relevant, as symptom expression may evolve from complex hypotonic facial or generalized motor phenomena to more typical emotion-triggered cataplexy over time (70, 71).\nIn pediatric populations, investigators are developing age-appropriate MSLT standards, exploring the use of daytime polysomnography, and evaluating actigraphy-supported diagnostic pathways to mitigate confounding effects of sedation and developmental variability (78). Current pediatric diagnostic thresholds (mean sleep latency ≤8 minutes with ≥2 SOREMPs) are extrapolated from adult-based ICSD criteria but are vulnerable to false positives and developmental confounders in children (27, 67). Evidence supporting pediatric-specific MSLT modifications remains limited, largely based on observational and expert consensus data rather than randomized controlled trials. Expert guidelines recommend actigraphy-supported pre-MSLT sleep stabilization protocols and extended sleep logs to exclude insufficient sleep and circadian misalignment, but these recommendations are primarily consensus-based rather than supported by high-level pediatric evidence (27). Similarly, proposals for daytime PSG adaptations or repeat MSLT testing in young children are grounded in clinical experience and cohort data rather than formal pediatric normative trials (70).\nEarly childhood cases further illustrate diagnostic complexity. Preschool-aged patients may present with facial hypotonia, tongue protrusion, head drop, or frequent non–emotion-triggered cataplectic-like episodes, which are frequently misdiagnosed as epilepsy or movement disorders (67).\nIn summary, contemporary diagnosis of narcolepsy remains a delicate synthesis of clinical expertise, polysomnography and imperfect biomarkers. In pediatric populations, this synthesis must additionally incorporate developmental context, longitudinal symptom evolution and careful exclusion of behavioral, neurological and sleep-related mimics. To meaningfully reduce diagnostic latency and misclassification, future criteria must integrate biomolecular precision, flexible phenotypic stratification and longitudinal interpretation.\n\n\n### Pathophysiology\nThe conceptual roots of narcolepsy lie in early clinicopathological observations from the encephalitis lethargica era, which implicated diencephalic regulatory circuits in the control of sleep and motor tone. Contemporary work reframes those historical insights through the lens of orexin (hypocretin) deficiency, integrating neurochemical, circuit, and immunological data into a coherent systems-level model (47, 79). Over the past two decades, the orexin system has emerged as the central hub, and more recent studies have refined our understanding of how loss of orexin signaling destabilizes arousal networks, disrupts REM gating, and perturbs emotion–motor integration (Figure 4).\nLimbic–Brainstem circuit dysfunction linking emotional triggers to cataplexy and REM-related atonia. Positive emotional stimuli activate GABAergic neurons in the central nucleus of the amygdala (CeA), a key node for reward and affective processing. Under normal conditions, orexin input buffers downstream circuits against inappropriate REM intrusions during wakefulness. In narcolepsy, reduced orexin signaling diminishes excitation of REM-inhibiting structures in the ventrolateral periaqueductal gray (vlPAG), dorsal raphe (DR), and lateral pontine tegmentum (LPT). This imbalance enables amygdala efferents to override the normal gating of REM-sleep circuitry, precipitating sudden and emotionally triggered reductions in muscle tone. When this inhibition fails, the sublaterodorsal nucleus (SLD) becomes aberrantly active, engaging ventromedial medullary (VMM) GABA/glycine neurons that hyperpolarize spinal motoneurons, producing REM-like paralysis during wakefulness. This mechanism explains how cataplexy represents a pathological intrusion of REM-atonia into conscious states and underscores the pivotal role of orexin neurons in stabilizing the dynamic interface between emotion, REM sleep regulation, and motor control.\nOrexin neurons in the lateral hypothalamus function as high-order coordinators of arousal, sleep-wake transitions, reward processing, autonomic regulation, and energy balance. They innervate and excite histaminergic, monoaminergic (noradrenergic, dopaminergic, serotonergic) and cholinergic nuclei, thereby stabilizing wakefulness and suppressing inappropriate intrusion of REM-related phenomena (47, 80). Orexin neurons fire most robustly during active wake with high motor tone and goal-directed behavior, providing a “persistence” signal to cortical and subcortical arousal systems (81).\nThe link between orexin loss and narcolepsy is strongly supported. Postmortem human studies show loss of up to 90–95% of orexin-producing neurons in most NT1 brains, accompanied by markedly reduced CSF orexin-A levels in more than 90% of patients (46, 48). Animal models replicate this relationship: mice lacking orexin peptides or harboring targeted inactivation of orexin receptor-2 signaling develop EDS, cataplexy-like events, and REM instability (12). Human data indicate that the severity of EDS and frequency of cataplexy correlate with the degree of CSF orexin depletion, whereas partial deficiencies are more often associated with NT2 phenotypes and may forecast later emergence of cataplexy (41, 42, 47).\nDownstream monoaminergic relays are critical effectors of orexin action. Orexinergic input to locus coeruleus noradrenergic neurons helps sustain cortical activation and attention; disruption of this axis contributes to sleep-wake fragmentation and impaired vigilance (81). Similarly, orexin modulation of dorsal raphe serotonergic neurons influences both REM suppression and cataplexy: manipulating serotonergic tone in orexin-deficient mice suppresses cataplexy at the cost of increasing REM sleep, underscoring a delicate balance between anti-cataplectic and REM-promoting forces (54). Recent receptor-mapping work in mouse and human tissues shows dense expression of orexin receptors in brainstem arousal centers, limbic nodes, and the basal forebrain, supporting a broad neuromodulatory reach that extends beyond simple wake promotion (82).\nEpigenetic studies now suggest that not all orexin neurons in NT1 are necessarily anatomically destroyed. Human postmortem data indicate promoter hypermethylation of the HCRT gene, reduced chromatin accessibility, and preserved expression of neighboring peptides within orexin-lineage neurons—consistent with epigenetic silencing of functionally “dormant” orexin cells in at least a subset of patients (44, 54). This distinction between neuronal loss and silencing has major implications for reversibility and regenerative strategies.\nHistaminergic neurons in TMN are among the principal downstream targets of orexin. Their firing and histamine release peak during wake, and experimental suppression reduces arousal (80). In NT1, CSF histamine and tele-methylhistamine levels show heterogeneous changes, likely reflecting a blend of compensatory upregulation, altered metabolism, and immune influences (47). Postmortem analyses of the human TMN have described a higher number of HDC–immunoreactive neurons in NT1 compared with controls; however, the magnitude of this difference varies across studies and depends on methodological factors, including tissue processing, immunolabeling protocols, and whether unbiased stereological counting or marker-based cell identification was used (47, 74). These findings are consistent with compensatory histaminergic plasticity, but they should be interpreted cautiously, as increased HDC immunoreactivity may reflect increased enzyme expression or phenotypic shifts rather than a true increase in neuron number.\nClinically, the efficacy of the H3 receptor inverse agonist pitolisant in improving wakefulness and reducing cataplexy validates the functional significance of histaminergic modulation in human narcolepsy (75). Orexin neurons also co-release glutamate, dynorphin, and proteins such as the neuronal activity–regulated pentraxin, and they intersect with other sleep-regulatory systems, including melanin-concentrating hormone neurons and the prostaglandin D pathways, although the precise contribution of these cotransmitters in human narcolepsy remains incompletely defined (80).\nOrexin neurons send dense projections to canonical arousal nodes, including the locus coeruleus, dorsal raphe, ventral tegmental area, TMN and basal forebrain, providing a tonic excitatory “gain control” that stabilizes wakefulness and supports sustained behavioral engagement (79). In animal models, intracerebroventricular orexin or selective OX2 receptor agonists prolong wake episodes and suppress cataplexy, while genetic or pharmacologic disruption of orexin signaling produces abrupt transitions into sleep and REM (83, 84).\nDeficiency of orexin signaling during sleep has specific consequences for REM architecture. A 2023 PNAS study showed that mice lacking orexin receptor signaling selectively during sleep exhibit fragmented, unstable REM sleep and abnormal REM transitions, providing direct evidence that orexin’s role extends into the sleeping brain and is essential for maintaining consolidated REM structure (83, 84). In humans, NT1 patients display marked sleep-wake fragmentation, shortened REM latency, multiple SOREMPs and increased state transitions, which correlate with the degree of orexin depletion (47, 75).\nA balance between REM-promoting and REM-inhibiting circuits orchestrates REM sleep. In the intact brain, glutamatergic neurons in the sublaterodorsal nucleus (SLD) drive GABAergic and glycinergic interneurons in the medulla and spinal cord that suppress motoneuron activity, producing the physiological atonia of REM sleep. REM-on SLD activity is restrained in wake and non-REM sleep by inhibitory inputs from ventrolateral periaqueductal gray and lateral pontine tegmentum, supplemented by serotonergic dorsal raphe and noradrenergic locus coeruleus tone (54, 79).\nIn narcolepsy, cataplexy is best conceptualized as pathological activation of REM-atonia circuitry during wake, often triggered by positive emotions. However, cataplexy is not simply REM atonia intruding into wakefulness: its pharmacology, EEG signatures, and clinical phenomenology overlap only partially with those of REM sleep (54, 79). Sleep paralysis, hypnagogic hallucinations and RBD similarly reflect disordered gating of individual REM components across sleep-wake transitions.\nWhy do strong positive emotions so reliably trigger cataplexy? Functional MRI and EEG–fMRI studies in NT1 demonstrate altered activation and connectivity among the hypothalamus, amygdala, medial prefrontal cortex (mPFC) and brainstem during emotional stimuli, with abnormal coupling within limbic–motor networks (85, 86). In orexin-deficient mice, central amygdala (CeA) GABAergic neurons have emerged as key drivers of emotion-induced cataplexy: selective activation of CeA GABAergic neurons markedly increases cataplexy, while optogenetic inhibition reduces reward-promoted attacks (54, 79).\nThese CeA neurons project densely to the ventrolateral periaqueductal gray and the lateral pontine tegmentum, where they suppress REM-inhibiting circuits, and to the dorsal raphe and other monoaminergic structures, thereby facilitating activation of atonia pathways during wake (54, 79). Lesions or functional disruption of the amygdala reduce cataplexy in animal models, underscoring its causal role (54, 87). In healthy conditions, orexin provides excitatory drive to REM-inhibiting structures and modulates amygdala-prefrontal interactions, buffering the impact of emotional stimuli. In NT1, loss of orexin removes this stabilizing influence, allowing emotional inputs to disinhibit REM-atonia circuits and precipitate cataplexy.\nUpstream cortical control is also implicated. The mPFC regulates emotional responses and exerts top-down control over the amygdala. In orexin-deficient mice, mPFC neurons show hypersynchronous theta activity during cataplexy, and optogenetic suppression of mPFC activity reduces attack frequency, suggesting that aberrant prefrontal–limbic synchronization contributes to attack generation (54). In humans, scalp EEG and source-imaging studies reveal increased theta and altered default-mode and salience network dynamics during cataplexy-like episodes, consistent with dysfunction in cortico-limbic control of motor tone (86).\nBeyond discrete attacks, orexin deficiency promotes broader REM instability. Loss of orexin modulation during sleep disinhibits REM generators at inappropriate times, producing short, fragmented REM episodes and increased REM transitions (84). NT1 neuroimaging studies demonstrate structural and functional alterations in the hypothalamus, thalamus, amygdala, hippocampus and frontal cortex, together with disrupted resting-state connectivity in networks involved in salience, emotion and executive control (50, 86). Advanced MRI and PET approaches also point to reorganization of dopaminergic and limbic circuits, potentially contributing to reward, psychiatric and cognitive manifestations (48).\nA recent study showed that NT1 patients exhibit abnormal physiological brain pulsations and CSF dynamics compared with healthy controls, suggesting that orexin may influence glymphatic function and metabolic waste clearance—raising provocative questions about long-term neurodegenerative risk (88).\nTaken together, the pathophysiology of narcolepsy can be conceptualized as a multi-level cascade:\na. Genetic and immune-mediated disruption or epigenetic silencing of orexin neurons, driven by HLA- and T-cell–restricted autoimmunity and modulatory epigenetic mechanisms (44, 46, 54);\nb. Destabilization of arousal networks, with failure of orexin-dependent excitatory drive leading to fragmented wakefulness, impaired vigilance and REM intrusions (48, 79, 84);\nc. Pathological gating of REM-atonia circuits under emotional drive, centered on aberrant CeA–periaqueductal–brainstem–mPFC interactions, producing cataplexy, sleep paralysis and related phenomena (54, 79, 87);\nd. Network reorganization and compensation, including histaminergic and monoaminergic plasticity, large-scale connectivity changes and potential alterations in brain fluid dynamics (50, 74, 88).\nTranslational work increasingly targets these mechanisms. Orexin receptor agonists—particularly highly selective OX2R agonists—have shown efficacy in improving wakefulness and reducing cataplexy in both animal models and early human trials, offering a mechanistically grounded replacement strategy (49, 83, 88). In parallel, regenerative approaches, including orexin cell transplantation and gene transfer into defined hypothalamic or limbic targets, have demonstrated proof-of-concept for restoring motor–arousal synchrony and reducing cataplexy in rodents (12).\nKey unanswered questions remain. We do not yet know the proportion of orexin neurons that are epigenetically silenced rather than destroyed, nor the extent to which they can be reactivated. The interplay between ongoing immune attack, epigenetic repression and structural plasticity is poorly understood. Finally, it is unclear whether circuit-level interventions—such as targeted neuromodulation of limbic or brainstem nodes—can durably restore network stability in humans. As molecular, circuit and imaging tools converge, narcolepsy is gradually shifting from a purely symptomatic sleep disorder toward a candidate for truly disease-modifying, mechanism-based therapies.\n\n\n### Neurochemical foundations\nOrexin neurons in the lateral hypothalamus function as high-order coordinators of arousal, sleep-wake transitions, reward processing, autonomic regulation, and energy balance. They innervate and excite histaminergic, monoaminergic (noradrenergic, dopaminergic, serotonergic) and cholinergic nuclei, thereby stabilizing wakefulness and suppressing inappropriate intrusion of REM-related phenomena (47, 80). Orexin neurons fire most robustly during active wake with high motor tone and goal-directed behavior, providing a “persistence” signal to cortical and subcortical arousal systems (81).\nThe link between orexin loss and narcolepsy is strongly supported. Postmortem human studies show loss of up to 90–95% of orexin-producing neurons in most NT1 brains, accompanied by markedly reduced CSF orexin-A levels in more than 90% of patients (46, 48). Animal models replicate this relationship: mice lacking orexin peptides or harboring targeted inactivation of orexin receptor-2 signaling develop EDS, cataplexy-like events, and REM instability (12). Human data indicate that the severity of EDS and frequency of cataplexy correlate with the degree of CSF orexin depletion, whereas partial deficiencies are more often associated with NT2 phenotypes and may forecast later emergence of cataplexy (41, 42, 47).\nDownstream monoaminergic relays are critical effectors of orexin action. Orexinergic input to locus coeruleus noradrenergic neurons helps sustain cortical activation and attention; disruption of this axis contributes to sleep-wake fragmentation and impaired vigilance (81). Similarly, orexin modulation of dorsal raphe serotonergic neurons influences both REM suppression and cataplexy: manipulating serotonergic tone in orexin-deficient mice suppresses cataplexy at the cost of increasing REM sleep, underscoring a delicate balance between anti-cataplectic and REM-promoting forces (54). Recent receptor-mapping work in mouse and human tissues shows dense expression of orexin receptors in brainstem arousal centers, limbic nodes, and the basal forebrain, supporting a broad neuromodulatory reach that extends beyond simple wake promotion (82).\nEpigenetic studies now suggest that not all orexin neurons in NT1 are necessarily anatomically destroyed. Human postmortem data indicate promoter hypermethylation of the HCRT gene, reduced chromatin accessibility, and preserved expression of neighboring peptides within orexin-lineage neurons—consistent with epigenetic silencing of functionally “dormant” orexin cells in at least a subset of patients (44, 54). This distinction between neuronal loss and silencing has major implications for reversibility and regenerative strategies.\nHistaminergic neurons in TMN are among the principal downstream targets of orexin. Their firing and histamine release peak during wake, and experimental suppression reduces arousal (80). In NT1, CSF histamine and tele-methylhistamine levels show heterogeneous changes, likely reflecting a blend of compensatory upregulation, altered metabolism, and immune influences (47). Postmortem analyses of the human TMN have described a higher number of HDC–immunoreactive neurons in NT1 compared with controls; however, the magnitude of this difference varies across studies and depends on methodological factors, including tissue processing, immunolabeling protocols, and whether unbiased stereological counting or marker-based cell identification was used (47, 74). These findings are consistent with compensatory histaminergic plasticity, but they should be interpreted cautiously, as increased HDC immunoreactivity may reflect increased enzyme expression or phenotypic shifts rather than a true increase in neuron number.\nClinically, the efficacy of the H3 receptor inverse agonist pitolisant in improving wakefulness and reducing cataplexy validates the functional significance of histaminergic modulation in human narcolepsy (75). Orexin neurons also co-release glutamate, dynorphin, and proteins such as the neuronal activity–regulated pentraxin, and they intersect with other sleep-regulatory systems, including melanin-concentrating hormone neurons and the prostaglandin D pathways, although the precise contribution of these cotransmitters in human narcolepsy remains incompletely defined (80).\n\n\n### Orexin (hypocretin)\nOrexin neurons in the lateral hypothalamus function as high-order coordinators of arousal, sleep-wake transitions, reward processing, autonomic regulation, and energy balance. They innervate and excite histaminergic, monoaminergic (noradrenergic, dopaminergic, serotonergic) and cholinergic nuclei, thereby stabilizing wakefulness and suppressing inappropriate intrusion of REM-related phenomena (47, 80). Orexin neurons fire most robustly during active wake with high motor tone and goal-directed behavior, providing a “persistence” signal to cortical and subcortical arousal systems (81).\nThe link between orexin loss and narcolepsy is strongly supported. Postmortem human studies show loss of up to 90–95% of orexin-producing neurons in most NT1 brains, accompanied by markedly reduced CSF orexin-A levels in more than 90% of patients (46, 48). Animal models replicate this relationship: mice lacking orexin peptides or harboring targeted inactivation of orexin receptor-2 signaling develop EDS, cataplexy-like events, and REM instability (12). Human data indicate that the severity of EDS and frequency of cataplexy correlate with the degree of CSF orexin depletion, whereas partial deficiencies are more often associated with NT2 phenotypes and may forecast later emergence of cataplexy (41, 42, 47).\nDownstream monoaminergic relays are critical effectors of orexin action. Orexinergic input to locus coeruleus noradrenergic neurons helps sustain cortical activation and attention; disruption of this axis contributes to sleep-wake fragmentation and impaired vigilance (81). Similarly, orexin modulation of dorsal raphe serotonergic neurons influences both REM suppression and cataplexy: manipulating serotonergic tone in orexin-deficient mice suppresses cataplexy at the cost of increasing REM sleep, underscoring a delicate balance between anti-cataplectic and REM-promoting forces (54). Recent receptor-mapping work in mouse and human tissues shows dense expression of orexin receptors in brainstem arousal centers, limbic nodes, and the basal forebrain, supporting a broad neuromodulatory reach that extends beyond simple wake promotion (82).\nEpigenetic studies now suggest that not all orexin neurons in NT1 are necessarily anatomically destroyed. Human postmortem data indicate promoter hypermethylation of the HCRT gene, reduced chromatin accessibility, and preserved expression of neighboring peptides within orexin-lineage neurons—consistent with epigenetic silencing of functionally “dormant” orexin cells in at least a subset of patients (44, 54). This distinction between neuronal loss and silencing has major implications for reversibility and regenerative strategies.\n\n\n### Histaminergic and other systems\nHistaminergic neurons in TMN are among the principal downstream targets of orexin. Their firing and histamine release peak during wake, and experimental suppression reduces arousal (80). In NT1, CSF histamine and tele-methylhistamine levels show heterogeneous changes, likely reflecting a blend of compensatory upregulation, altered metabolism, and immune influences (47). Postmortem analyses of the human TMN have described a higher number of HDC–immunoreactive neurons in NT1 compared with controls; however, the magnitude of this difference varies across studies and depends on methodological factors, including tissue processing, immunolabeling protocols, and whether unbiased stereological counting or marker-based cell identification was used (47, 74). These findings are consistent with compensatory histaminergic plasticity, but they should be interpreted cautiously, as increased HDC immunoreactivity may reflect increased enzyme expression or phenotypic shifts rather than a true increase in neuron number.\nClinically, the efficacy of the H3 receptor inverse agonist pitolisant in improving wakefulness and reducing cataplexy validates the functional significance of histaminergic modulation in human narcolepsy (75). Orexin neurons also co-release glutamate, dynorphin, and proteins such as the neuronal activity–regulated pentraxin, and they intersect with other sleep-regulatory systems, including melanin-concentrating hormone neurons and the prostaglandin D pathways, although the precise contribution of these cotransmitters in human narcolepsy remains incompletely defined (80).\n\n\n### Circuit and neurophysiological mechanisms\nOrexin neurons send dense projections to canonical arousal nodes, including the locus coeruleus, dorsal raphe, ventral tegmental area, TMN and basal forebrain, providing a tonic excitatory “gain control” that stabilizes wakefulness and supports sustained behavioral engagement (79). In animal models, intracerebroventricular orexin or selective OX2 receptor agonists prolong wake episodes and suppress cataplexy, while genetic or pharmacologic disruption of orexin signaling produces abrupt transitions into sleep and REM (83, 84).\nDeficiency of orexin signaling during sleep has specific consequences for REM architecture. A 2023 PNAS study showed that mice lacking orexin receptor signaling selectively during sleep exhibit fragmented, unstable REM sleep and abnormal REM transitions, providing direct evidence that orexin’s role extends into the sleeping brain and is essential for maintaining consolidated REM structure (83, 84). In humans, NT1 patients display marked sleep-wake fragmentation, shortened REM latency, multiple SOREMPs and increased state transitions, which correlate with the degree of orexin depletion (47, 75).\nA balance between REM-promoting and REM-inhibiting circuits orchestrates REM sleep. In the intact brain, glutamatergic neurons in the sublaterodorsal nucleus (SLD) drive GABAergic and glycinergic interneurons in the medulla and spinal cord that suppress motoneuron activity, producing the physiological atonia of REM sleep. REM-on SLD activity is restrained in wake and non-REM sleep by inhibitory inputs from ventrolateral periaqueductal gray and lateral pontine tegmentum, supplemented by serotonergic dorsal raphe and noradrenergic locus coeruleus tone (54, 79).\nIn narcolepsy, cataplexy is best conceptualized as pathological activation of REM-atonia circuitry during wake, often triggered by positive emotions. However, cataplexy is not simply REM atonia intruding into wakefulness: its pharmacology, EEG signatures, and clinical phenomenology overlap only partially with those of REM sleep (54, 79). Sleep paralysis, hypnagogic hallucinations and RBD similarly reflect disordered gating of individual REM components across sleep-wake transitions.\nWhy do strong positive emotions so reliably trigger cataplexy? Functional MRI and EEG–fMRI studies in NT1 demonstrate altered activation and connectivity among the hypothalamus, amygdala, medial prefrontal cortex (mPFC) and brainstem during emotional stimuli, with abnormal coupling within limbic–motor networks (85, 86). In orexin-deficient mice, central amygdala (CeA) GABAergic neurons have emerged as key drivers of emotion-induced cataplexy: selective activation of CeA GABAergic neurons markedly increases cataplexy, while optogenetic inhibition reduces reward-promoted attacks (54, 79).\nThese CeA neurons project densely to the ventrolateral periaqueductal gray and the lateral pontine tegmentum, where they suppress REM-inhibiting circuits, and to the dorsal raphe and other monoaminergic structures, thereby facilitating activation of atonia pathways during wake (54, 79). Lesions or functional disruption of the amygdala reduce cataplexy in animal models, underscoring its causal role (54, 87). In healthy conditions, orexin provides excitatory drive to REM-inhibiting structures and modulates amygdala-prefrontal interactions, buffering the impact of emotional stimuli. In NT1, loss of orexin removes this stabilizing influence, allowing emotional inputs to disinhibit REM-atonia circuits and precipitate cataplexy.\nUpstream cortical control is also implicated. The mPFC regulates emotional responses and exerts top-down control over the amygdala. In orexin-deficient mice, mPFC neurons show hypersynchronous theta activity during cataplexy, and optogenetic suppression of mPFC activity reduces attack frequency, suggesting that aberrant prefrontal–limbic synchronization contributes to attack generation (54). In humans, scalp EEG and source-imaging studies reveal increased theta and altered default-mode and salience network dynamics during cataplexy-like episodes, consistent with dysfunction in cortico-limbic control of motor tone (86).\nBeyond discrete attacks, orexin deficiency promotes broader REM instability. Loss of orexin modulation during sleep disinhibits REM generators at inappropriate times, producing short, fragmented REM episodes and increased REM transitions (84). NT1 neuroimaging studies demonstrate structural and functional alterations in the hypothalamus, thalamus, amygdala, hippocampus and frontal cortex, together with disrupted resting-state connectivity in networks involved in salience, emotion and executive control (50, 86). Advanced MRI and PET approaches also point to reorganization of dopaminergic and limbic circuits, potentially contributing to reward, psychiatric and cognitive manifestations (48).\nA recent study showed that NT1 patients exhibit abnormal physiological brain pulsations and CSF dynamics compared with healthy controls, suggesting that orexin may influence glymphatic function and metabolic waste clearance—raising provocative questions about long-term neurodegenerative risk (88).\nTaken together, the pathophysiology of narcolepsy can be conceptualized as a multi-level cascade:\na. Genetic and immune-mediated disruption or epigenetic silencing of orexin neurons, driven by HLA- and T-cell–restricted autoimmunity and modulatory epigenetic mechanisms (44, 46, 54);\nb. Destabilization of arousal networks, with failure of orexin-dependent excitatory drive leading to fragmented wakefulness, impaired vigilance and REM intrusions (48, 79, 84);\nc. Pathological gating of REM-atonia circuits under emotional drive, centered on aberrant CeA–periaqueductal–brainstem–mPFC interactions, producing cataplexy, sleep paralysis and related phenomena (54, 79, 87);\nd. Network reorganization and compensation, including histaminergic and monoaminergic plasticity, large-scale connectivity changes and potential alterations in brain fluid dynamics (50, 74, 88).\nTranslational work increasingly targets these mechanisms. Orexin receptor agonists—particularly highly selective OX2R agonists—have shown efficacy in improving wakefulness and reducing cataplexy in both animal models and early human trials, offering a mechanistically grounded replacement strategy (49, 83, 88). In parallel, regenerative approaches, including orexin cell transplantation and gene transfer into defined hypothalamic or limbic targets, have demonstrated proof-of-concept for restoring motor–arousal synchrony and reducing cataplexy in rodents (12).\nKey unanswered questions remain. We do not yet know the proportion of orexin neurons that are epigenetically silenced rather than destroyed, nor the extent to which they can be reactivated. The interplay between ongoing immune attack, epigenetic repression and structural plasticity is poorly understood. Finally, it is unclear whether circuit-level interventions—such as targeted neuromodulation of limbic or brainstem nodes—can durably restore network stability in humans. As molecular, circuit and imaging tools converge, narcolepsy is gradually shifting from a purely symptomatic sleep disorder toward a candidate for truly disease-modifying, mechanism-based therapies.\n\n\n### Network destabilization and sleep-wake instability\nOrexin neurons send dense projections to canonical arousal nodes, including the locus coeruleus, dorsal raphe, ventral tegmental area, TMN and basal forebrain, providing a tonic excitatory “gain control” that stabilizes wakefulness and supports sustained behavioral engagement (79). In animal models, intracerebroventricular orexin or selective OX2 receptor agonists prolong wake episodes and suppress cataplexy, while genetic or pharmacologic disruption of orexin signaling produces abrupt transitions into sleep and REM (83, 84).\nDeficiency of orexin signaling during sleep has specific consequences for REM architecture. A 2023 PNAS study showed that mice lacking orexin receptor signaling selectively during sleep exhibit fragmented, unstable REM sleep and abnormal REM transitions, providing direct evidence that orexin’s role extends into the sleeping brain and is essential for maintaining consolidated REM structure (83, 84). In humans, NT1 patients display marked sleep-wake fragmentation, shortened REM latency, multiple SOREMPs and increased state transitions, which correlate with the degree of orexin depletion (47, 75).\n\n\n### REM atonia dysregulation, cataplexy, and REM intrusion\nA balance between REM-promoting and REM-inhibiting circuits orchestrates REM sleep. In the intact brain, glutamatergic neurons in the sublaterodorsal nucleus (SLD) drive GABAergic and glycinergic interneurons in the medulla and spinal cord that suppress motoneuron activity, producing the physiological atonia of REM sleep. REM-on SLD activity is restrained in wake and non-REM sleep by inhibitory inputs from ventrolateral periaqueductal gray and lateral pontine tegmentum, supplemented by serotonergic dorsal raphe and noradrenergic locus coeruleus tone (54, 79).\nIn narcolepsy, cataplexy is best conceptualized as pathological activation of REM-atonia circuitry during wake, often triggered by positive emotions. However, cataplexy is not simply REM atonia intruding into wakefulness: its pharmacology, EEG signatures, and clinical phenomenology overlap only partially with those of REM sleep (54, 79). Sleep paralysis, hypnagogic hallucinations and RBD similarly reflect disordered gating of individual REM components across sleep-wake transitions.\n\n\n### Emotion–motor coupling and the amygdala–hypothalamus axis\nWhy do strong positive emotions so reliably trigger cataplexy? Functional MRI and EEG–fMRI studies in NT1 demonstrate altered activation and connectivity among the hypothalamus, amygdala, medial prefrontal cortex (mPFC) and brainstem during emotional stimuli, with abnormal coupling within limbic–motor networks (85, 86). In orexin-deficient mice, central amygdala (CeA) GABAergic neurons have emerged as key drivers of emotion-induced cataplexy: selective activation of CeA GABAergic neurons markedly increases cataplexy, while optogenetic inhibition reduces reward-promoted attacks (54, 79).\nThese CeA neurons project densely to the ventrolateral periaqueductal gray and the lateral pontine tegmentum, where they suppress REM-inhibiting circuits, and to the dorsal raphe and other monoaminergic structures, thereby facilitating activation of atonia pathways during wake (54, 79). Lesions or functional disruption of the amygdala reduce cataplexy in animal models, underscoring its causal role (54, 87). In healthy conditions, orexin provides excitatory drive to REM-inhibiting structures and modulates amygdala-prefrontal interactions, buffering the impact of emotional stimuli. In NT1, loss of orexin removes this stabilizing influence, allowing emotional inputs to disinhibit REM-atonia circuits and precipitate cataplexy.\nUpstream cortical control is also implicated. The mPFC regulates emotional responses and exerts top-down control over the amygdala. In orexin-deficient mice, mPFC neurons show hypersynchronous theta activity during cataplexy, and optogenetic suppression of mPFC activity reduces attack frequency, suggesting that aberrant prefrontal–limbic synchronization contributes to attack generation (54). In humans, scalp EEG and source-imaging studies reveal increased theta and altered default-mode and salience network dynamics during cataplexy-like episodes, consistent with dysfunction in cortico-limbic control of motor tone (86).\n\n\n### REM instability and large-scale network reorganization\nBeyond discrete attacks, orexin deficiency promotes broader REM instability. Loss of orexin modulation during sleep disinhibits REM generators at inappropriate times, producing short, fragmented REM episodes and increased REM transitions (84). NT1 neuroimaging studies demonstrate structural and functional alterations in the hypothalamus, thalamus, amygdala, hippocampus and frontal cortex, together with disrupted resting-state connectivity in networks involved in salience, emotion and executive control (50, 86). Advanced MRI and PET approaches also point to reorganization of dopaminergic and limbic circuits, potentially contributing to reward, psychiatric and cognitive manifestations (48).\nA recent study showed that NT1 patients exhibit abnormal physiological brain pulsations and CSF dynamics compared with healthy controls, suggesting that orexin may influence glymphatic function and metabolic waste clearance—raising provocative questions about long-term neurodegenerative risk (88).\n\n\n### Integrative view and translational implications\nTaken together, the pathophysiology of narcolepsy can be conceptualized as a multi-level cascade:\na. Genetic and immune-mediated disruption or epigenetic silencing of orexin neurons, driven by HLA- and T-cell–restricted autoimmunity and modulatory epigenetic mechanisms (44, 46, 54);\nb. Destabilization of arousal networks, with failure of orexin-dependent excitatory drive leading to fragmented wakefulness, impaired vigilance and REM intrusions (48, 79, 84);\nc. Pathological gating of REM-atonia circuits under emotional drive, centered on aberrant CeA–periaqueductal–brainstem–mPFC interactions, producing cataplexy, sleep paralysis and related phenomena (54, 79, 87);\nd. Network reorganization and compensation, including histaminergic and monoaminergic plasticity, large-scale connectivity changes and potential alterations in brain fluid dynamics (50, 74, 88).\nTranslational work increasingly targets these mechanisms. Orexin receptor agonists—particularly highly selective OX2R agonists—have shown efficacy in improving wakefulness and reducing cataplexy in both animal models and early human trials, offering a mechanistically grounded replacement strategy (49, 83, 88). In parallel, regenerative approaches, including orexin cell transplantation and gene transfer into defined hypothalamic or limbic targets, have demonstrated proof-of-concept for restoring motor–arousal synchrony and reducing cataplexy in rodents (12).\nKey unanswered questions remain. We do not yet know the proportion of orexin neurons that are epigenetically silenced rather than destroyed, nor the extent to which they can be reactivated. The interplay between ongoing immune attack, epigenetic repression and structural plasticity is poorly understood. Finally, it is unclear whether circuit-level interventions—such as targeted neuromodulation of limbic or brainstem nodes—can durably restore network stability in humans. As molecular, circuit and imaging tools converge, narcolepsy is gradually shifting from a purely symptomatic sleep disorder toward a candidate for truly disease-modifying, mechanism-based therapies.\n\n\n### Treatment\nManagement of narcolepsy is inherently multidimensional. Optimal care combines patient education, behavioral strategies, psychosocial support, and long-term medical follow-up rather than relying on a single pharmacological agent (75, 89). Treatment decisions must account for age, occupational demands, pregnancy and lactation, and comorbidities such as depression, obesity, cardiovascular disease, restless legs syndrome, periodic limb movements, RBD and sleep-disordered breathing (75); available interventions and key considerations are outlined in Table 3. Clinicians typically monitor sleepiness using the Epworth Sleepiness Scale, the Maintenance of Wakefulness Test (MWT), and increasingly patient-reported outcome measures that quantify quality of wakefulness and health-related quality of life (90, 91).\nCurrent treatment of narcolepsy.\n*Approval status refers to narcolepsy indications at the time of writing; dosing ranges may require individual titration. CBT, cognitive behavioral therapy; EDS, excessive daytime sleepiness; ESS, Epworth Sleepiness Scale; MWT, Maintenance of Wakefulness Test; RBD, REM sleep behavior disorder; OSA, obstructive sleep apnea; NT1/NT2, narcolepsy type 1/type 2; IR, immediate release; QoL, quality of life; RCT, randomized controlled trial; FDA, U.S. Food and Drug Administration; EMA, European Medicines Agency; ON-SXB, once-nightly sodium oxybate; LXB, low-sodium oxybate; IVIG, intravenous immunoglobulin.\nNon-pharmacological strategies form the foundation of care. Clinicians should work with patients to implement regular nocturnal sleep schedules, optimize sleep hygiene and schedule one or two brief, strategic daytime naps to offset irresistible sleep attacks (75). Psychoeducation—directed at patients, families, employers and schools—reduces stigma and facilitates reasonable accommodations (e.g. protected nap times, avoidance of night shifts, safe-driving plans) (92). Exercise programs, judicious caffeine use and weight-control strategies are particularly relevant given the elevated cardiometabolic risk profile in narcolepsy (90, 92). Cognitive-behavioural therapy and participation in patient support groups may improve coping, mood and treatment adherence (75).\nPharmacotherapy complements but does not replace lifestyle measures. Drug therapy complements, but does not substitute for, behavioral measures. Historically, clinicians relied on classical stimulants and antidepressants; contemporary practice now draws on modafinil/armodafinil, solriamfetol, oxybate formulations, pitolisant and, increasingly, orexin receptor agonists (75, 93).\nModafinil remains a first-line wake-promoting agent in many guidelines, typically prescribed at 100–400 mg/day in divided morning and early-afternoon doses; armodafinil is used at 150–250 mg once daily (89). Randomized trials and meta-analyses show that both agents improve Epworth scores and MWT latencies with a generally acceptable tolerability profile, though they can increase headache, nausea and anxiety (94). Their relatively low abuse potential compared with amphetamines supports long-term use, provided cardiovascular and psychiatric status are monitored (95).\nMethylphenidate (often 10–60 mg/day in divided doses) and mixed amphetamine salts are typically reserved as second- or third-line wake-promoting therapies when modafinil or solriamfetol are insufficient or contraindicated (75). Network meta-analyses suggest robust wake-promoting effects but at the cost of higher rates of sympathomimetic adverse events and abuse potential (93).\nSolriamfetol, a dopamine–noradrenaline reuptake inhibitor, represents a more recent addition. The pivotal phase 3 trial (NCT02348593) randomized 236 adults with narcolepsy to solriamfetol 75, 150 or 300 mg once daily versus placebo for 12 weeks and demonstrated dose-dependent improvements in MWT latency and Epworth scores, with significant benefits at 150 and 300 mg (96). A 52-week extension showed sustained functional and quality-of-life gains with a safety profile dominated by dose-related insomnia, headache and nausea (91). A systematic review of four clinical trials confirmed robust improvements in EDS with acceptable tolerability (97). These data underpin regulatory approvals in North America and Europe for EDS in narcolepsy, typically at 75–150 mg/day, titrated up to 300 mg as tolerated (91).\nOxybate formulations remain the cornerstone of cataplexy treatment. Traditional sodium oxybate, given in two nightly doses totaling 6–9 g/night, reduces both EDS and cataplexy frequency, with maximal benefits often emerging after 3–6 months (98). The phase 3 REST-ON trial evaluated once-nightly sodium oxybate (FT218; ON-SXB) at 6, 7.5 and 9 g given as a single bedtime dose. In adults with NT1 or NT2, ON-SXB significantly improved MWT, Epworth scores, and weekly cataplexy rates compared with placebo, with effect sizes comparable to or greater than those of twice-nightly formulations (99, 100). Post-hoc analyses support meaningful improvements in both NT1 and NT2 populations and show early efficacy as soon as week 1 at 4.5–6 g (99).\nLow-sodium oxybate (LXB; calcium–magnesium–potassium oxybates) reduces sodium load by ≈92% while maintaining clinical efficacy. In phase 3 and extension studies in narcolepsy with cataplexy, LXB preserved reductions in cataplexy frequency and EDS while contributing to modest weight loss—a relevant advantage in a population at risk for obesity (92). LXB is now approved in the United States for EDS or cataplexy in patients ≥7 years with narcolepsy and for idiopathic hypersomnia in adults (92, 101). Real-world data suggest that many patients prefer switching from high-sodium to low-sodium formulations to mitigate cardiovascular risk, provided titration and expectations are carefully managed (98). However, the high cost of sodium oxybate and its restricted regulatory availability in many regions remain significant barriers to equitable global access (102).\nTricyclic antidepressants (e.g., clomipramine, imipramine) and serotonin–noradrenaline reuptake inhibitors (e.g., venlafaxine, duloxetine) suppress cataplexy by enhancing monoaminergic tone, particularly during REM transitions (103). These drugs remain widely used, especially when oxybate is unavailable or contraindicated, although no contemporary randomized trials have secured formal regulatory indications (75). Clinicians must weigh anticholinergic burden, QT interval prolongation and propensity to exacerbate RBD or restless legs syndrome (75, 104).\nPitolisant, a histamine H3 receptor antagonist/inverse agonist, reduces both EDS and cataplexy by enhancing histaminergic activity and downstream arousal circuits. The pivotal HARMONY-CTP trial demonstrated that pitolisant (up to 40 mg/day) significantly reduced weekly cataplexy rates and improved EDS versus placebo in adults with severe NT1 (105). Network meta-analyses and long-term extension studies confirm that pitolisant demonstrates efficacy comparable to modafinil or oxybate for EDS, with a favorable abuse-liability profile similar to placebo (93, 106). In 2023, a phase 3 trial in 110 children aged 6–17 years showed that pitolisant improved narcolepsy symptoms, with a safety profile similar to that in adults, supporting EMA approval for use in pediatric NT1 and NT2 from age 6 years (107).\nSodium and low-sodium oxybate improve nocturnal sleep continuity, reduce awakenings and may attenuate hypnagogic hallucinations and sleep paralysis, though they can worsen sleep-disordered breathing in susceptible individuals and require cautious use in patients with untreated obstructive sleep apnea (82, 88). Antidepressants can aggravate RBD and restless legs syndrome, necessitating careful polysomnographic monitoring when parasomnias emerge or worsen (75). There is growing interest in whether solriamfetol and pitolisant can improve cognitive performance and daytime functioning beyond their effects on sleepiness, with initial data in populations with hypersomnolence and obstructive sleep apnea demonstrating improvements in attention, processing speed, and work productivity (91, 97, 108).\nBeyond established symptomatic therapies, novel and future interventions are being developed to restore orexin signaling and modify the disease trajectory in narcolepsy (Figure 5).\nTherapeutic strategies to restore orexin signaling and advance mechanism-based care in narcolepsy. Orexin restoration (top left): Therapeutic strategies include exogenous orexin peptide administration, selective orexin receptor agonists, and gene therapy designed to reinstate orexin expression and downstream signaling across arousal networks. The goal is stepwise restoration of physiological orexin pathways, enabling sustained wakefulness and improved REM sleep regulation. Physiological conditions (bottom left): Mechanism-targeted interventions aim to approximate endogenous orexin dynamics rather than relying solely on symptomatic stimulation. Conceptual comparisons illustrate how therapeutics engineered to normalize orexin tone may stabilize arousal thresholds and reduce state intrusions. Biocompatibility and dosage (top right): Current medications can be limited by cardiovascular side effects, tolerance, dependence, or overstimulation. Next-generation therapies must optimize dosing, receptor selectivity, and long-term safety to ensure durable benefit without excessive sympathetic activation. Non-invasive treatments (bottom right): Future strategies emphasize minimally invasive delivery, including orally bioavailable orexin receptor agonists, controlled-release platforms, and potentially orexin cell replacement using neurosurgical approaches refined to reduce operative risk. Collectively, these interventions represent a transition from symptomatic management to mechanism-based therapy, with the potential to alter the disease trajectory by restoring the orexin system.\nThe therapeutic landscape for oxybate has diversified. ON-SXB offers once-nightly dosing with sustained efficacy for both EDS and cataplexy, addressing the practical challenge of nocturnal redosing and potentially improving adherence (99). LXB provides comparable symptomatic control with dramatically reduced sodium exposure and favorable longer-term cardiometabolic implications (92, 98). Phase 4 data from the DUET study program and real-world cohorts continue to refine titration strategies and document weight loss and improved quality of life in both narcolepsy and idiopathic hypersomnia (109, 110).\nBeyond adult NT1/NT2 indications, the 2023–2024 pediatric trial expanded pitolisant’s regulatory footprint to children ≥6 years, providing a non-sodium, non-controlled alternative to stimulants and oxybate (107). Long-term observational studies indicate sustained benefits for EDS and cataplexy, with a neutral or favorable profile regarding weight gain and abuse potential (111, 112).\nLongitudinal extension studies up to 52 weeks show that solriamfetol maintains wake-promoting efficacy with stable dosing (75–300 mg/day) and consistent improvements in work productivity and quality-of-life indices (91). Contemporary systematic reviews position solriamfetol as a first-line or early second-line agent for EDS in narcolepsy, particularly when modafinil is ineffective or poorly tolerated (97).\na. Mechanism-based therapy targeting the primary orexin deficit represents a major advance of the past five years. Oral and injectable orexin receptor 2 (OX2R) agonists now provide proof of concept and early clinical efficacy.\nb. TAK-994. In a phase 2 NEJM trial, the first oral OX2R agonist, TAK-994, produced substantial improvements in MWT, Epworth scores and weekly cataplexy frequency over 8 weeks in adults with NT1, with many participants approaching normative wakefulness ranges (10). However, clinically significant hepatotoxicity led to early termination of the program, underscoring the need for safer agents (113).\nc. Danavorexton (TAK-925). Danavorexton is an injectable OX2R-selective agonist with rapid wake-promoting effects. Studies in orexin/ataxin-3 narcoleptic mice and in human NT1/NT2 patients show dose-dependent increases in MWT latency to ceiling values, reductions in sleep-wake fragmentation, and suppression of cataplexy-like episodes (49, 114). Phase 1 and translational studies also demonstrate that danavorexton can reverse opioid-induced respiratory depression and anesthetic sedation without compromising analgesia, highlighting potential perioperative applications (115).\nd. Oveporexton (TAK-861). A key advance is the development of oveporexton, a next-generation oral OX2R agonist. In the 2025 phase 2 NEJM trial (NCT05687903), oveporexton, administered once or twice daily for 8 weeks in adults with NT1, produced large, dose-dependent improvements in MWT latency, Epworth scores, and weekly cataplexy rates, with many participants achieving near-normal wakefulness and substantial cataplexy suppression (11). Importantly, no hepatotoxicity or major visual adverse events were observed, and safety profiles were favorable across doses (11). Ongoing phase 3 trials report similarly robust efficacy, supporting OX2R agonism as a therapy designed to address the core orexin deficit in narcolepsy directly.\nCollectively, these agents validate the concept that direct restoration of orexin signaling can normalize core narcoleptic symptoms more effectively than downstream symptomatic agents, and they open the door to mechanism-based disease modification.\nPediatric treatment has historically extrapolated from adult data. Sodium oxybate received FDA approval for EDS and cataplexy in patients 7–17 years, and LXB now extends that indication while reducing sodium exposure (92). The recent pitolisant phase 3 trial in children 6–17 years, with or without cataplexy, demonstrated clinically meaningful improvements in narcolepsy symptom scores and acceptable tolerability, leading to EMA approval and offering an oral, non-controlled alternative (107). Stimulants and modafinil remain widely used off-label, but only oxybate formulations and pitolisant currently carry pediatric indications (75). Pediatric management must also address rapid weight gain, early puberty and neurobehavioral issues, often requiring close collaboration with endocrinology and psychiatry.\nCombination regimens—such as oxybate plus modafinil, or oxybate plus pitolisant—are common in practice to balance nocturnal consolidation, daytime wakefulness and cataplexy control, although controlled data on specific combinations remain sparse (75, 98). LXB may reduce weight yet occasionally exacerbate mood symptoms; antidepressants may improve mood but worsen RBD or restless legs (92, 104).\nDuring pregnancy and lactation, clinicians generally aim to minimize or discontinue narcolepsy medications where feasible. Registry and observational data suggest that modafinil, oxybate, and certain antidepressants may pose teratogenic or neonatal risks; individualized risk–benefit assessment, pre-conception counselling, and close obstetric collaboration are essential (75). For patients in high-risk occupations (e.g., professional drivers, pilots, healthcare workers), fitness-for-duty evaluations and structured return-to-work plans are critical.\nGiven the strong autoimmune signature of NT1, immunomodulatory strategies have attracted interest, particularly in very early disease. Case reports and small series have described partial benefit from intravenous immunoglobulin, high-dose corticosteroids, plasmapheresis, or B- and T-cell–directed monoclonal antibodies, including natalizumab and alemtuzumab, when administered within weeks to months of onset (46). However, no randomized controlled trial since 2015 has demonstrated durable efficacy, and immunotherapy remains an experimental, off-label approach reserved for select patients with hyperacute presentation, concurrent systemic autoimmunity or overlapping inflammatory CNS disease (46). The absence of validated biomarkers of early immune activation and the difficulty of identifying a narrow therapeutic window continue to limit progress.\nTreatment of narcolepsy has entered a qualitatively new era, marked by an increasingly stratified evidence base that now supports both symptomatic control and mechanism-targeted intervention (Table 4). Once, low-sodium oxybate formulations have refined symptomatic management and reduced sodium burden; pitolisant and solriamfetol offer mechanistically distinct wake-promoting options with favorable long-term profiles; and, critically, orexin receptor agonists now deliver the first targeted therapy that addresses the core molecular deficit rather than downstream consequences (10, 11, 24, 33, 75, 101, 107, 112). The next decade will determine whether combination strategies—integrating orexin agonists, oxybate, wake-promoting agents and, potentially, early immunomodulation—can not only control symptoms but also modify disease trajectory, preserve residual orexin neurons and reshape the long-term prognosis of narcolepsy.\nExpert consensus summary of evidence and recommendations for current narcolepsy treatments.\n*Certainty of evidence and strength of recommendation were derived from expert consensus using a GRADE-informed framework, based on study design hierarchy, consistency of findings, effect magnitude, and regulatory-level evidence. This table does not represent a formal GRADE assessment. CBT, cognitive behavioral therapy; EDS, excessive daytime sleepiness; QoL, quality of life; RCT, randomized controlled trial; ESS, Epworth Sleepiness Scale; MWT, Maintenance of Wakefulness Test; ON-SXB, once-nightly sodium oxybate; LXB, low-sodium oxybate; TCAs, tricyclic antidepressants; SNRIs, serotonin–noradrenaline reuptake inhibitors; SSRIs, selective serotonin reuptake inhibitors; RBD, REM sleep behavior disorder; IVIG, intravenous immunoglobulin.\n\n\n### Non-pharmacological approaches\nNon-pharmacological strategies form the foundation of care. Clinicians should work with patients to implement regular nocturnal sleep schedules, optimize sleep hygiene and schedule one or two brief, strategic daytime naps to offset irresistible sleep attacks (75). Psychoeducation—directed at patients, families, employers and schools—reduces stigma and facilitates reasonable accommodations (e.g. protected nap times, avoidance of night shifts, safe-driving plans) (92). Exercise programs, judicious caffeine use and weight-control strategies are particularly relevant given the elevated cardiometabolic risk profile in narcolepsy (90, 92). Cognitive-behavioural therapy and participation in patient support groups may improve coping, mood and treatment adherence (75).\n\n\n### Symptomatic pharmacological approaches\nPharmacotherapy complements but does not replace lifestyle measures. Drug therapy complements, but does not substitute for, behavioral measures. Historically, clinicians relied on classical stimulants and antidepressants; contemporary practice now draws on modafinil/armodafinil, solriamfetol, oxybate formulations, pitolisant and, increasingly, orexin receptor agonists (75, 93).\n\n\n### Excessive daytime sleepiness\nModafinil remains a first-line wake-promoting agent in many guidelines, typically prescribed at 100–400 mg/day in divided morning and early-afternoon doses; armodafinil is used at 150–250 mg once daily (89). Randomized trials and meta-analyses show that both agents improve Epworth scores and MWT latencies with a generally acceptable tolerability profile, though they can increase headache, nausea and anxiety (94). Their relatively low abuse potential compared with amphetamines supports long-term use, provided cardiovascular and psychiatric status are monitored (95).\nMethylphenidate (often 10–60 mg/day in divided doses) and mixed amphetamine salts are typically reserved as second- or third-line wake-promoting therapies when modafinil or solriamfetol are insufficient or contraindicated (75). Network meta-analyses suggest robust wake-promoting effects but at the cost of higher rates of sympathomimetic adverse events and abuse potential (93).\nSolriamfetol, a dopamine–noradrenaline reuptake inhibitor, represents a more recent addition. The pivotal phase 3 trial (NCT02348593) randomized 236 adults with narcolepsy to solriamfetol 75, 150 or 300 mg once daily versus placebo for 12 weeks and demonstrated dose-dependent improvements in MWT latency and Epworth scores, with significant benefits at 150 and 300 mg (96). A 52-week extension showed sustained functional and quality-of-life gains with a safety profile dominated by dose-related insomnia, headache and nausea (91). A systematic review of four clinical trials confirmed robust improvements in EDS with acceptable tolerability (97). These data underpin regulatory approvals in North America and Europe for EDS in narcolepsy, typically at 75–150 mg/day, titrated up to 300 mg as tolerated (91).\n\n\n### Modafinil and armodafinil\nModafinil remains a first-line wake-promoting agent in many guidelines, typically prescribed at 100–400 mg/day in divided morning and early-afternoon doses; armodafinil is used at 150–250 mg once daily (89). Randomized trials and meta-analyses show that both agents improve Epworth scores and MWT latencies with a generally acceptable tolerability profile, though they can increase headache, nausea and anxiety (94). Their relatively low abuse potential compared with amphetamines supports long-term use, provided cardiovascular and psychiatric status are monitored (95).\n\n\n### Traditional stimulants\nMethylphenidate (often 10–60 mg/day in divided doses) and mixed amphetamine salts are typically reserved as second- or third-line wake-promoting therapies when modafinil or solriamfetol are insufficient or contraindicated (75). Network meta-analyses suggest robust wake-promoting effects but at the cost of higher rates of sympathomimetic adverse events and abuse potential (93).\n\n\n### Solriamfetol\nSolriamfetol, a dopamine–noradrenaline reuptake inhibitor, represents a more recent addition. The pivotal phase 3 trial (NCT02348593) randomized 236 adults with narcolepsy to solriamfetol 75, 150 or 300 mg once daily versus placebo for 12 weeks and demonstrated dose-dependent improvements in MWT latency and Epworth scores, with significant benefits at 150 and 300 mg (96). A 52-week extension showed sustained functional and quality-of-life gains with a safety profile dominated by dose-related insomnia, headache and nausea (91). A systematic review of four clinical trials confirmed robust improvements in EDS with acceptable tolerability (97). These data underpin regulatory approvals in North America and Europe for EDS in narcolepsy, typically at 75–150 mg/day, titrated up to 300 mg as tolerated (91).\n\n\n### Cataplexy\nOxybate formulations remain the cornerstone of cataplexy treatment. Traditional sodium oxybate, given in two nightly doses totaling 6–9 g/night, reduces both EDS and cataplexy frequency, with maximal benefits often emerging after 3–6 months (98). The phase 3 REST-ON trial evaluated once-nightly sodium oxybate (FT218; ON-SXB) at 6, 7.5 and 9 g given as a single bedtime dose. In adults with NT1 or NT2, ON-SXB significantly improved MWT, Epworth scores, and weekly cataplexy rates compared with placebo, with effect sizes comparable to or greater than those of twice-nightly formulations (99, 100). Post-hoc analyses support meaningful improvements in both NT1 and NT2 populations and show early efficacy as soon as week 1 at 4.5–6 g (99).\nLow-sodium oxybate (LXB; calcium–magnesium–potassium oxybates) reduces sodium load by ≈92% while maintaining clinical efficacy. In phase 3 and extension studies in narcolepsy with cataplexy, LXB preserved reductions in cataplexy frequency and EDS while contributing to modest weight loss—a relevant advantage in a population at risk for obesity (92). LXB is now approved in the United States for EDS or cataplexy in patients ≥7 years with narcolepsy and for idiopathic hypersomnia in adults (92, 101). Real-world data suggest that many patients prefer switching from high-sodium to low-sodium formulations to mitigate cardiovascular risk, provided titration and expectations are carefully managed (98). However, the high cost of sodium oxybate and its restricted regulatory availability in many regions remain significant barriers to equitable global access (102).\nTricyclic antidepressants (e.g., clomipramine, imipramine) and serotonin–noradrenaline reuptake inhibitors (e.g., venlafaxine, duloxetine) suppress cataplexy by enhancing monoaminergic tone, particularly during REM transitions (103). These drugs remain widely used, especially when oxybate is unavailable or contraindicated, although no contemporary randomized trials have secured formal regulatory indications (75). Clinicians must weigh anticholinergic burden, QT interval prolongation and propensity to exacerbate RBD or restless legs syndrome (75, 104).\nPitolisant, a histamine H3 receptor antagonist/inverse agonist, reduces both EDS and cataplexy by enhancing histaminergic activity and downstream arousal circuits. The pivotal HARMONY-CTP trial demonstrated that pitolisant (up to 40 mg/day) significantly reduced weekly cataplexy rates and improved EDS versus placebo in adults with severe NT1 (105). Network meta-analyses and long-term extension studies confirm that pitolisant demonstrates efficacy comparable to modafinil or oxybate for EDS, with a favorable abuse-liability profile similar to placebo (93, 106). In 2023, a phase 3 trial in 110 children aged 6–17 years showed that pitolisant improved narcolepsy symptoms, with a safety profile similar to that in adults, supporting EMA approval for use in pediatric NT1 and NT2 from age 6 years (107).\n\n\n### Sodium and low-sodium oxybate\nOxybate formulations remain the cornerstone of cataplexy treatment. Traditional sodium oxybate, given in two nightly doses totaling 6–9 g/night, reduces both EDS and cataplexy frequency, with maximal benefits often emerging after 3–6 months (98). The phase 3 REST-ON trial evaluated once-nightly sodium oxybate (FT218; ON-SXB) at 6, 7.5 and 9 g given as a single bedtime dose. In adults with NT1 or NT2, ON-SXB significantly improved MWT, Epworth scores, and weekly cataplexy rates compared with placebo, with effect sizes comparable to or greater than those of twice-nightly formulations (99, 100). Post-hoc analyses support meaningful improvements in both NT1 and NT2 populations and show early efficacy as soon as week 1 at 4.5–6 g (99).\nLow-sodium oxybate (LXB; calcium–magnesium–potassium oxybates) reduces sodium load by ≈92% while maintaining clinical efficacy. In phase 3 and extension studies in narcolepsy with cataplexy, LXB preserved reductions in cataplexy frequency and EDS while contributing to modest weight loss—a relevant advantage in a population at risk for obesity (92). LXB is now approved in the United States for EDS or cataplexy in patients ≥7 years with narcolepsy and for idiopathic hypersomnia in adults (92, 101). Real-world data suggest that many patients prefer switching from high-sodium to low-sodium formulations to mitigate cardiovascular risk, provided titration and expectations are carefully managed (98). However, the high cost of sodium oxybate and its restricted regulatory availability in many regions remain significant barriers to equitable global access (102).\n\n\n### Antidepressants\nTricyclic antidepressants (e.g., clomipramine, imipramine) and serotonin–noradrenaline reuptake inhibitors (e.g., venlafaxine, duloxetine) suppress cataplexy by enhancing monoaminergic tone, particularly during REM transitions (103). These drugs remain widely used, especially when oxybate is unavailable or contraindicated, although no contemporary randomized trials have secured formal regulatory indications (75). Clinicians must weigh anticholinergic burden, QT interval prolongation and propensity to exacerbate RBD or restless legs syndrome (75, 104).\n\n\n### Pitolisant\nPitolisant, a histamine H3 receptor antagonist/inverse agonist, reduces both EDS and cataplexy by enhancing histaminergic activity and downstream arousal circuits. The pivotal HARMONY-CTP trial demonstrated that pitolisant (up to 40 mg/day) significantly reduced weekly cataplexy rates and improved EDS versus placebo in adults with severe NT1 (105). Network meta-analyses and long-term extension studies confirm that pitolisant demonstrates efficacy comparable to modafinil or oxybate for EDS, with a favorable abuse-liability profile similar to placebo (93, 106). In 2023, a phase 3 trial in 110 children aged 6–17 years showed that pitolisant improved narcolepsy symptoms, with a safety profile similar to that in adults, supporting EMA approval for use in pediatric NT1 and NT2 from age 6 years (107).\n\n\n### Other symptoms and nocturnal sleep\nSodium and low-sodium oxybate improve nocturnal sleep continuity, reduce awakenings and may attenuate hypnagogic hallucinations and sleep paralysis, though they can worsen sleep-disordered breathing in susceptible individuals and require cautious use in patients with untreated obstructive sleep apnea (82, 88). Antidepressants can aggravate RBD and restless legs syndrome, necessitating careful polysomnographic monitoring when parasomnias emerge or worsen (75). There is growing interest in whether solriamfetol and pitolisant can improve cognitive performance and daytime functioning beyond their effects on sleepiness, with initial data in populations with hypersomnolence and obstructive sleep apnea demonstrating improvements in attention, processing speed, and work productivity (91, 97, 108).\n\n\n### New therapeutic advances\nBeyond established symptomatic therapies, novel and future interventions are being developed to restore orexin signaling and modify the disease trajectory in narcolepsy (Figure 5).\nTherapeutic strategies to restore orexin signaling and advance mechanism-based care in narcolepsy. Orexin restoration (top left): Therapeutic strategies include exogenous orexin peptide administration, selective orexin receptor agonists, and gene therapy designed to reinstate orexin expression and downstream signaling across arousal networks. The goal is stepwise restoration of physiological orexin pathways, enabling sustained wakefulness and improved REM sleep regulation. Physiological conditions (bottom left): Mechanism-targeted interventions aim to approximate endogenous orexin dynamics rather than relying solely on symptomatic stimulation. Conceptual comparisons illustrate how therapeutics engineered to normalize orexin tone may stabilize arousal thresholds and reduce state intrusions. Biocompatibility and dosage (top right): Current medications can be limited by cardiovascular side effects, tolerance, dependence, or overstimulation. Next-generation therapies must optimize dosing, receptor selectivity, and long-term safety to ensure durable benefit without excessive sympathetic activation. Non-invasive treatments (bottom right): Future strategies emphasize minimally invasive delivery, including orally bioavailable orexin receptor agonists, controlled-release platforms, and potentially orexin cell replacement using neurosurgical approaches refined to reduce operative risk. Collectively, these interventions represent a transition from symptomatic management to mechanism-based therapy, with the potential to alter the disease trajectory by restoring the orexin system.\nThe therapeutic landscape for oxybate has diversified. ON-SXB offers once-nightly dosing with sustained efficacy for both EDS and cataplexy, addressing the practical challenge of nocturnal redosing and potentially improving adherence (99). LXB provides comparable symptomatic control with dramatically reduced sodium exposure and favorable longer-term cardiometabolic implications (92, 98). Phase 4 data from the DUET study program and real-world cohorts continue to refine titration strategies and document weight loss and improved quality of life in both narcolepsy and idiopathic hypersomnia (109, 110).\nBeyond adult NT1/NT2 indications, the 2023–2024 pediatric trial expanded pitolisant’s regulatory footprint to children ≥6 years, providing a non-sodium, non-controlled alternative to stimulants and oxybate (107). Long-term observational studies indicate sustained benefits for EDS and cataplexy, with a neutral or favorable profile regarding weight gain and abuse potential (111, 112).\nLongitudinal extension studies up to 52 weeks show that solriamfetol maintains wake-promoting efficacy with stable dosing (75–300 mg/day) and consistent improvements in work productivity and quality-of-life indices (91). Contemporary systematic reviews position solriamfetol as a first-line or early second-line agent for EDS in narcolepsy, particularly when modafinil is ineffective or poorly tolerated (97).\na. Mechanism-based therapy targeting the primary orexin deficit represents a major advance of the past five years. Oral and injectable orexin receptor 2 (OX2R) agonists now provide proof of concept and early clinical efficacy.\nb. TAK-994. In a phase 2 NEJM trial, the first oral OX2R agonist, TAK-994, produced substantial improvements in MWT, Epworth scores and weekly cataplexy frequency over 8 weeks in adults with NT1, with many participants approaching normative wakefulness ranges (10). However, clinically significant hepatotoxicity led to early termination of the program, underscoring the need for safer agents (113).\nc. Danavorexton (TAK-925). Danavorexton is an injectable OX2R-selective agonist with rapid wake-promoting effects. Studies in orexin/ataxin-3 narcoleptic mice and in human NT1/NT2 patients show dose-dependent increases in MWT latency to ceiling values, reductions in sleep-wake fragmentation, and suppression of cataplexy-like episodes (49, 114). Phase 1 and translational studies also demonstrate that danavorexton can reverse opioid-induced respiratory depression and anesthetic sedation without compromising analgesia, highlighting potential perioperative applications (115).\nd. Oveporexton (TAK-861). A key advance is the development of oveporexton, a next-generation oral OX2R agonist. In the 2025 phase 2 NEJM trial (NCT05687903), oveporexton, administered once or twice daily for 8 weeks in adults with NT1, produced large, dose-dependent improvements in MWT latency, Epworth scores, and weekly cataplexy rates, with many participants achieving near-normal wakefulness and substantial cataplexy suppression (11). Importantly, no hepatotoxicity or major visual adverse events were observed, and safety profiles were favorable across doses (11). Ongoing phase 3 trials report similarly robust efficacy, supporting OX2R agonism as a therapy designed to address the core orexin deficit in narcolepsy directly.\nCollectively, these agents validate the concept that direct restoration of orexin signaling can normalize core narcoleptic symptoms more effectively than downstream symptomatic agents, and they open the door to mechanism-based disease modification.\n\n\n### Oxybate formulations\nThe therapeutic landscape for oxybate has diversified. ON-SXB offers once-nightly dosing with sustained efficacy for both EDS and cataplexy, addressing the practical challenge of nocturnal redosing and potentially improving adherence (99). LXB provides comparable symptomatic control with dramatically reduced sodium exposure and favorable longer-term cardiometabolic implications (92, 98). Phase 4 data from the DUET study program and real-world cohorts continue to refine titration strategies and document weight loss and improved quality of life in both narcolepsy and idiopathic hypersomnia (109, 110).\n\n\n### Pitolisant\nBeyond adult NT1/NT2 indications, the 2023–2024 pediatric trial expanded pitolisant’s regulatory footprint to children ≥6 years, providing a non-sodium, non-controlled alternative to stimulants and oxybate (107). Long-term observational studies indicate sustained benefits for EDS and cataplexy, with a neutral or favorable profile regarding weight gain and abuse potential (111, 112).\n\n\n### Solriamfetol\nLongitudinal extension studies up to 52 weeks show that solriamfetol maintains wake-promoting efficacy with stable dosing (75–300 mg/day) and consistent improvements in work productivity and quality-of-life indices (91). Contemporary systematic reviews position solriamfetol as a first-line or early second-line agent for EDS in narcolepsy, particularly when modafinil is ineffective or poorly tolerated (97).\n\n\n### Orexin receptor agonists\na. Mechanism-based therapy targeting the primary orexin deficit represents a major advance of the past five years. Oral and injectable orexin receptor 2 (OX2R) agonists now provide proof of concept and early clinical efficacy.\nb. TAK-994. In a phase 2 NEJM trial, the first oral OX2R agonist, TAK-994, produced substantial improvements in MWT, Epworth scores and weekly cataplexy frequency over 8 weeks in adults with NT1, with many participants approaching normative wakefulness ranges (10). However, clinically significant hepatotoxicity led to early termination of the program, underscoring the need for safer agents (113).\nc. Danavorexton (TAK-925). Danavorexton is an injectable OX2R-selective agonist with rapid wake-promoting effects. Studies in orexin/ataxin-3 narcoleptic mice and in human NT1/NT2 patients show dose-dependent increases in MWT latency to ceiling values, reductions in sleep-wake fragmentation, and suppression of cataplexy-like episodes (49, 114). Phase 1 and translational studies also demonstrate that danavorexton can reverse opioid-induced respiratory depression and anesthetic sedation without compromising analgesia, highlighting potential perioperative applications (115).\nd. Oveporexton (TAK-861). A key advance is the development of oveporexton, a next-generation oral OX2R agonist. In the 2025 phase 2 NEJM trial (NCT05687903), oveporexton, administered once or twice daily for 8 weeks in adults with NT1, produced large, dose-dependent improvements in MWT latency, Epworth scores, and weekly cataplexy rates, with many participants achieving near-normal wakefulness and substantial cataplexy suppression (11). Importantly, no hepatotoxicity or major visual adverse events were observed, and safety profiles were favorable across doses (11). Ongoing phase 3 trials report similarly robust efficacy, supporting OX2R agonism as a therapy designed to address the core orexin deficit in narcolepsy directly.\nCollectively, these agents validate the concept that direct restoration of orexin signaling can normalize core narcoleptic symptoms more effectively than downstream symptomatic agents, and they open the door to mechanism-based disease modification.\n\n\n### Pediatric treatment\nPediatric treatment has historically extrapolated from adult data. Sodium oxybate received FDA approval for EDS and cataplexy in patients 7–17 years, and LXB now extends that indication while reducing sodium exposure (92). The recent pitolisant phase 3 trial in children 6–17 years, with or without cataplexy, demonstrated clinically meaningful improvements in narcolepsy symptom scores and acceptable tolerability, leading to EMA approval and offering an oral, non-controlled alternative (107). Stimulants and modafinil remain widely used off-label, but only oxybate formulations and pitolisant currently carry pediatric indications (75). Pediatric management must also address rapid weight gain, early puberty and neurobehavioral issues, often requiring close collaboration with endocrinology and psychiatry.\n\n\n### Special considerations\nCombination regimens—such as oxybate plus modafinil, or oxybate plus pitolisant—are common in practice to balance nocturnal consolidation, daytime wakefulness and cataplexy control, although controlled data on specific combinations remain sparse (75, 98). LXB may reduce weight yet occasionally exacerbate mood symptoms; antidepressants may improve mood but worsen RBD or restless legs (92, 104).\nDuring pregnancy and lactation, clinicians generally aim to minimize or discontinue narcolepsy medications where feasible. Registry and observational data suggest that modafinil, oxybate, and certain antidepressants may pose teratogenic or neonatal risks; individualized risk–benefit assessment, pre-conception counselling, and close obstetric collaboration are essential (75). For patients in high-risk occupations (e.g., professional drivers, pilots, healthcare workers), fitness-for-duty evaluations and structured return-to-work plans are critical.\n\n\n### Immunotherapy\nGiven the strong autoimmune signature of NT1, immunomodulatory strategies have attracted interest, particularly in very early disease. Case reports and small series have described partial benefit from intravenous immunoglobulin, high-dose corticosteroids, plasmapheresis, or B- and T-cell–directed monoclonal antibodies, including natalizumab and alemtuzumab, when administered within weeks to months of onset (46). However, no randomized controlled trial since 2015 has demonstrated durable efficacy, and immunotherapy remains an experimental, off-label approach reserved for select patients with hyperacute presentation, concurrent systemic autoimmunity or overlapping inflammatory CNS disease (46). The absence of validated biomarkers of early immune activation and the difficulty of identifying a narrow therapeutic window continue to limit progress.\n\n\n### Outlook\nTreatment of narcolepsy has entered a qualitatively new era, marked by an increasingly stratified evidence base that now supports both symptomatic control and mechanism-targeted intervention (Table 4). Once, low-sodium oxybate formulations have refined symptomatic management and reduced sodium burden; pitolisant and solriamfetol offer mechanistically distinct wake-promoting options with favorable long-term profiles; and, critically, orexin receptor agonists now deliver the first targeted therapy that addresses the core molecular deficit rather than downstream consequences (10, 11, 24, 33, 75, 101, 107, 112). The next decade will determine whether combination strategies—integrating orexin agonists, oxybate, wake-promoting agents and, potentially, early immunomodulation—can not only control symptoms but also modify disease trajectory, preserve residual orexin neurons and reshape the long-term prognosis of narcolepsy.\nExpert consensus summary of evidence and recommendations for current narcolepsy treatments.\n*Certainty of evidence and strength of recommendation were derived from expert consensus using a GRADE-informed framework, based on study design hierarchy, consistency of findings, effect magnitude, and regulatory-level evidence. This table does not represent a formal GRADE assessment. CBT, cognitive behavioral therapy; EDS, excessive daytime sleepiness; QoL, quality of life; RCT, randomized controlled trial; ESS, Epworth Sleepiness Scale; MWT, Maintenance of Wakefulness Test; ON-SXB, once-nightly sodium oxybate; LXB, low-sodium oxybate; TCAs, tricyclic antidepressants; SNRIs, serotonin–noradrenaline reuptake inhibitors; SSRIs, selective serotonin reuptake inhibitors; RBD, REM sleep behavior disorder; IVIG, intravenous immunoglobulin.\n\n\n### Discussion\nThe discovery of the orexin system transformed the conceptual landscape of narcolepsy, yet contemporary understanding continues to outpace clinical practice. Current evidence positions narcolepsy, particularly narcolepsy type 1, as an immune-mediated hypothalamic encephalopathy in which selective or functional loss of orexin neurons destabilizes arousal networks and alters emotional–motor integration (46, 51, 75). Despite this shift in mechanistic clarity, diagnostic criteria remain anchored in a narrow symptom framework defined by cataplexy and sleep-onset REM episodes. The resulting misalignment between biological insight and clinical implementation has perpetuated diagnostic delay, hindered early recognition, limited therapeutic innovation and allowed substantial underdiagnosis across populations.\nImportant gaps in the evidence base impede progress. Epidemiological estimates remain uncertain, with prevalence varying dramatically across global populations, likely reflecting differences in genetic susceptibility, infectious exposures and environmental triggers (36). Methodological inconsistencies further complicate interpretation. Diagnostic reliance on the multiple sleep latency test and overnight polysomnography fails to capture the heterogeneity of narcolepsy and performs poorly in children, secondary cases and atypical phenotypes (75). Although cerebrospinal fluid orexin-A measurement remains the strongest biomarker, immunoassays lack standardization and exhibit substantial inter-laboratory variability, limiting their application outside specialized centers (73). Meanwhile, the identification of autoreactive CD4+ and CD8+ T cells reactive to orexin-related peptides provides strong evidence of an autoimmune pathogenesis (3–5), yet definitive causal pathways have not been mapped longitudinally in humans.\nTherapeutic progress has been similarly constrained. Contemporary treatment remains dominated by symptomatic strategies that provide partial relief but do not modify the underlying disease process. Modafinil, amphetamines, pitolisant, solriamfetol and oxybate formulations improve excessive daytime sleepiness and cataplexy but often fail to address the broader hypothalamic dysfunction that contributes to psychiatric, metabolic and autonomic comorbidities (75). Treatment adherence is variable, and therapeutic decisions rarely incorporate immune signatures, neuroimaging findings or genetic risk profiles. Immunomodulatory treatments have shown encouraging results in isolated reports but have not been tested rigorously in controlled trials (46). Comorbidities such as depression, obesity, metabolic dysregulation, autonomic instability and chronic pain remain under-recognized in routine care, despite robust evidence of their contribution to disability and reduced quality of life.\nThe field now stands at an inflection point. A modern clinical framework must transcend rigid NT1–NT2 dichotomies and instead adopt an integrated phenotype–biomarker–mechanism model. Early clinical suspicion should prioritize pathological sleepiness, vigilance disruption, and atypical emotional–motor phenomena, particularly in children, in whom rapid weight gain, behavioral dysregulation, and facies cataplectica often precede classic symptoms (116). Biomarker integration should extend beyond CSF orexin quantification to include high-sensitivity LC–MS peptide assays, immunological profiling, HLA genotype, hypothalamic and limbic neuroimaging signatures and emerging peripheral markers of T-cell activation (42, 50). Diagnostic classification should reflect mechanistic diversity, distinguishing autoimmune orexin neuron loss from partial orexin dysfunction, secondary hypothalamic injury and hereditary narcolepsy syndromes. This stratification would allow symptomatic therapy in established orexin-deficient disease, immunomodulatory therapy in early or evolving phenotypes and regenerative or receptor-targeted therapy in chronic states.\nIntegrated management must reflect the full systemic footprint of narcolepsy. Psychiatric, metabolic and autonomic dysfunction are intrinsic components of hypothalamic pathology and require systematic evaluation rather than peripheral attention. This approach reframes narcolepsy as a multisystem disorder of hypothalamic networks rather than a primary sleep disorder.\nScientific advances now enable realistic consideration of disease-modifying strategies. Small-molecule orexin receptor 2 (OX2R) agonists represent a pivotal development. Recent phase 2 data for oveporexton (TAK-861) demonstrate robust improvements in excessive daytime sleepiness, cataplexy and patient-reported quality of life, without the hepatotoxicity that halted the development of earlier agents (11). Intravenous danavorexton (TAK-925) provides further validation of receptor agonism as a therapeutic class, producing rapid wake-promoting effects in early-phase trials (49). In parallel, immunological studies identifying autoreactive T cells, T-cell receptor specificity, and systemic immune signatures raise the possibility that early immune-modulating interventions may prevent, attenuate or delay orexin neuron loss (45, 61). Longitudinal, pre-symptomatic cohorts will be essential to determining when autoimmunity begins, how rapidly orexin neurons are lost or silenced and which patients might benefit from targeted early intervention.\nThe field also moves closer to pre-symptomatic diagnosis. The convergence of HLA-associated risk, autoimmune signatures, prodromal symptoms such as early weight gain and REM instability, and machine-learning models trained on large datasets suggests that identification of at-risk individuals may soon be feasible (36, 42). A shift from late recognition to early detection, and ultimately to prevention, is within conceptual reach.\nThe future agenda spans several domains. Epidemiology requires an updated, harmonized methodology to delineate true prevalence and clarify the distribution of narcolepsy spectrum disorders. Disease framing must recognize narcolepsy as a global hypothalamic disorder encompassing motor, cognitive, psychiatric, emotional, metabolic and autonomic systems. Etiological studies should integrate genetic, environmental and epigenetic layers, with attention to immune markers, infection-related triggers and comorbidity patterns. Mechanistic research must extend beyond orexin to dissect compensatory or maladaptive changes in histaminergic, monoaminergic and limbic–brainstem networks. Diagnostic development must advance beyond the MSLT toward high-resolution orexin assays, neurophysiological REM-instability markers, quantitative video-cataplexy analysis, neuromelanin and hypothalamic MRI, and multi-omics biomarker discovery supported by machine-learning approaches. Therapeutics require patient-centered endpoints, validated disease severity scales, and rigorous trials in children, pregnant individuals, and those with atypical phenotypes. Non-pharmacological interventions, including structured napping and dietary optimization, merit systematic evaluation. Finally, disease-modifying pathways—including orexin replacement, gene therapy, stem-cell approaches and early immune-targeted strategies—should be prioritized, particularly for individuals with evolving phenotypes or partial orexin dysfunction.\nIn sum, narcolepsy should be reconceptualized as a family of hypothalamic encephalopathies unified by orexin dysfunction and immune targeting but heterogeneous in phenotype, etiology and prognosis. A modern framework grounded in biomarkers, mechanistic stratification and multisystem care can close the gap between scientific knowledge and clinical practice. Such an approach positions narcolepsy as a model for neuroimmune disease and opens the possibility that, with continued mechanistic insight and early detection, progression—and perhaps even onset—may one day be preventable.", "domain": "affective_neuroscience"}
{"source": "PMC13086250", "title": "Listening to a Consonant Chord Progression during Live Face-to-Face Gaze Enhances Neural Activity in Social Systems", "text": "# Listening to a Consonant Chord Progression during Live Face-to-Face Gaze Enhances Neural Activity in Social Systems\n\n## Abstract\nAlthough music has been associated with increased prosocial behavior, the underlying mechanisms for music-facilitated social benefits are not known. We test the hypothesis that chord progressions promote social bonding between dyads by shared temporal alignment of frequency spectra. Two musical conditions were presented to 20 pairs of participants (equal numbers of males and females), one with either a structured chord or predictable progression and the other with an unstructured and unpredictable composition of the same notes. Functional near-infrared spectroscopy signals were recorded simultaneously from both partners during the music conditions with and without gazing at a live partner's face. The right angular gyrus, right somatosensory association cortex, and bilateral dorsal lateral prefrontal cortex increased activation during live face gaze combined with the structured chord progression condition. Further, subjective ratings of subjective connectedness were associated with both activity in the right superior and middle temporal gyri during face gaze and the right angular gyrus during chord progressions. These findings link live face-to-face gaze while listening to structured chord progressions to neural systems that are responsive to predictive alignment of co-occurring acoustic spectra and perceptions of social connectedness.\n\n## Full Text\n\n\n### Significance Statement\nMusic is universally appreciated as a promoter of social bonding and a candidate for therapeutics for social disconnection syndromes. However, a theoretical framework and the necessary link between neural correlates of social behavior and specific features of music are not established. We test the hypothesis that listening to consonant chord progressions during live face gaze relative to corresponding scrambled notes promotes social bonding and activates social neural systems. Subjective ratings of social connectedness, neural activity observed in social systems, and cross-brain neural synchrony support the hypothesis that musical chord progressions are a salient musical feature that upregulates social neural systems. These findings advance an evidence-based framework for use of musical chord progressions to treat symptoms of social disconnection and isolation.\n\n\n### Introduction\nSocial connections are critical for human health, survival, and solutions to loneliness. Nonetheless, social isolation and the related mental health conditions are understudied (Eisenberger and Cole, 2012; Kennedy and Adolphs, 2012; Allen et al., 2014). Here, we investigate the effects of music as a promoter of socialization. Music is widely considered a universal mediator of prosocial human-to-human interaction (Zatorre, 2005; Frith and Frith, 2012; Greenberg et al., 2021; Bigand and Tillmann, 2022) and has been associated with synchronization of emotions and actions that facilitate and reinforce prosocial relationships. For example, the prosocial effects of music on children have been associated with increased spontaneous cooperative play, helping behavior, and enhanced synchrony in contrast to non-music activities (Kirschner and Tomasello, 2010; Feldman et al., 2011; Kokal et al., 2011; Cirelli et al., 2014; Good and Russo, 2016; Kniffin et al., 2017). Group singing in adults increases perceived social closeness and bonding and lowers the pain threshold (Weinstein et al., 2016; Camlin et al., 2020). Further, synchronized musical activities, such as group drumming, enhance social cohesion (Gordon et al., 2020), while collaborative songwriting has been shown to enhance peer and social connectedness (Bourdaghs and Silverman, 2023; Perkins et al., 2023).\nKnowledge of and familiarity with the music, shared goals and strategies, and various social factors have been associated with facilitation of interpersonal processes (Abalde et al., 2024). Importantly, familiarity of the music modulates large-scale cortical and subcortical networks that are activated during music listening (Vuong et al., 2023). Yet, despite the abundance of evidence for the impact of music on social behavior and the potential beneficial effects for reduction of anxiety, depression, and loneliness (Nilsson, 2008; Aalbers et al., 2017; Bradt et al., 2021; Chen et al., 2024), there remains little understanding of how specific features of music modulate social neural networks in the brain. Thus, the potential application of music as a therapeutic tool has been underdeveloped partially due to this paucity of evidence-based models for treatment applications.\nThe nature of music includes statistical universals that are present across cultures including isochronous beat and discrete pitches with nonequidistant scales (Savage et al., 2015; Mehr et al., 2019; McPherson et al., 2020; Yurdum et al., 2023). Using EEG and fMRI, characteristic signatures of auditory perception have been mapped for chord sequences to areas such as the auditory cortex and prefrontal cortex (Blood and Zatorre, 2001; Garza Villarreal et al., 2011). For example, when a chord is played that does not fulfill the expected harmonic progression, an event-related potential is evident in both non-musicians and musicians (Koelsch et al., 2007; Zhang et al., 2018; Pagès-Portabella and Toro, 2020), and unexpected chords in a sequence have been shown to modulate amygdala activity (Koelsch et al., 2008). It has been posited that chord progressions promote social bonding by reducing uncertainty through predictable temporal alignments of specific co-occurring acoustic spectra (Savage et al., 2021). Although it has been shown that music activates many brain regions involved in social networks such as the prefrontal cortex, anterior cingulate cortex, and amygdala (Blood et al., 1999; Janata et al., 2002; Gosselin et al., 2007; Koelsch et al., 2008; Bianco et al., 2022), there is little theoretical framework for a link between neural systems that underlie social behavior and specific features of music.\nHere we test the hypothesis that musical chord progressions experienced during a dyadic social context (live face gaze) activate neural mechanisms known to be associated with social processes. We focus on the ii-V-I-vi progression, a common consonant chord progression encountered ubiquitously in jazz and other popular genres of Western music (Rosenberg, 2014; Miles et al., 2017; White and Quinn, 2018; Jimenez et al., 2020; Brown et al., 2021). Specifically, we hypothesize that the harmonic structure of predictable chord progressions upregulate prosocial systems in the brain relative to the effects of the same tones without chord progression.\n\n\n### Materials and Methods\nIn the current study, we employed contrast comparisons of functional neural imaging data, cross-brain synchrony, and subjective reports of perceived social connectedness to isolate the effects of exposure to chord progressions common in Western popular music (Rosenberg, 2014; Miles et al., 2017; White and Quinn, 2018; Jimenez et al., 2020; Brown et al., 2021) relative to the control condition without chord progressions. Functional near-infrared spectroscopy (fNIRS) was employed to measure neural responses during live dyadic interactions. This neuroimaging technology uses optical methods that measure the absorption of wavelengths of light specific to oxyhemoglobin (OxyHb) and deoxyhemoglobin (deOxyHb) to identify the locations of active brain areas (Jöbsis, 1977; Villringer and Chance, 1997; Buxton, 2009; Ferrari and Quaresima, 2012; Scholkmann et al., 2014). The primary advantage of this imaging technology is that live interacting individuals can be imaged simultaneously in upright and more natural conditions while wearing head-mounted caps populated with small detectors and light emitters. This technology has been widely applied to investigations of social interactions and cognition (Cutini and Brigadoi, 2014; Ferreri et al., 2014; Hirsch et al., 2017, 2018, 2022, 2023; Yücel et al., 2017; Zhao and Cooper, 2017; Pinti et al., 2018; Wass et al., 2020; Czeszumski et al., 2022; Gugnowska et al., 2022). It has also been applied to live face-to-face communication during drumming using the dyadic fNIRS imaging system to activate social systems in the brain (Rojiani et al., 2018).\nThe terms “chord progression” and “no-chord progression” are used to describe our musical stimuli. Predictable and consonant musical motifs constructed with the ii-V-I-vi chord progression are the key features that are maintained across all stimuli in the “chord progression” condition. This progression follows a consonant and predictable tension and release that is typical in Western popular music. Importantly, in these experiments, the chord progression condition has a consonant, organized chord progression (ii-V-I-vi) played by instruments with a pleasing timbre, constant rhythm, and concordant temporal alignment with the drum beat. In contrast, the “no-chord progression” condition has the same number and range of different notes, timbre, and constant rhythm; however, the organization of the harmonic progression and the temporal structure of the piano and bass is disrupted while the temporal relation to the underlying drum structure remains unchanged. Both conditions were matched using the same notes, volume, and musical instruments. The presence of a rhythmic structure of a kick drum playing half notes and a ride cymbal playing quarter notes establishes a constant, discernible, and predictable rhythm across conditions. Varying degrees of syncopation can affect the perceived rhythmic stability in music and is dependent on degree of polyphony, instrumentation, and musical training (Weaver, 1939; Witek et al., 2014). Thus, while the drumbeat is the same across both conditions, the degree of perceived rhythmic concordance and complexity is different due to the highly syncopated and unpredictable nature of the piano and bass notes. Evidence in favor of the hypothesis that predictable chord progressions enhance social interaction would include an increase in chord progression-related neural activity relative to the no-chord progression condition during live face-to-face gaze which is employed as a form of social interaction.\nThe effect of chord progressions on subjective ratings of social bonding, i.e., connectedness to their partner, was evaluated by comparison of the ratings for each of the conditions. These measures of social connectedness were employed to test the hypothesis that social bonding is highest for the face-to-face with chord progression condition. This hypothesis is related to the proposed neural coupling hypothesis (Hasson et al., 2012; Hasson and Frith, 2016) suggesting that cross-brain neural synchrony reflects dynamically shared information between the interacting dyads including mutual face gaze and mutual predictability of the chord progressions. Together, live dyadic neuroimaging, neural coupling, and self-report measures of social connections were employed to compare neural representations of musical chord progression versus no-chord progression as well as face-to-face gaze versus no-face gaze.\nParticipants were adults (20 men, 18 women, 2 nonbinary; 37 right-handed, 3 left-handed) who were at least 18 years (mean age: 27.2 ± 9.6 years) and self-reported as typically healthy with no known neurological disorders. See Table 1. Participants were assigned to dyads based on their schedule and availability. Demographics information, baseline familiarity with their dyadic partner, and musical experience were also provided. Our target sample size of 20 dyads is based on power analyses detailed in previous dyadic and interactive investigations (Hirsch et al., 2022; Zhao et al., 2023) where it was determined that a sample of 15 dyads (n = 30) was sufficient to achieve a power of 0.80 in their investigation (Hirsch et al., 2023). In the current work, we targeted a sample size of 20 dyads to increase certainty in our analysis. All participants provided written informed consent in accordance with approved guidelines established by the Yale University Human Investigation Committee (HIC #1501015178) and were compensated for participation.\nParticipant demographics and music engagement\nMeasurements were unavailable for two participants.\nEthical approval was obtained from the Yale University Human Research Protection Program [HIC # 1501015178, “Neural mechanisms of the social brain” (J.H.)]. Informed consent was obtained from each participant in accordance with established guidelines.\nDyadic participants were positioned 140 cm across a table from each other with a custom-made and controllable “smart glass” window that toggled between transparency and opacity according to the experimental time series. Each participant wore a cap with an array of “optodes” (small detectors and emitters for the acquisition of hemodynamic signals) that provided coverage over both hemispheres of both participants, specifically targeting bilateral temporoparietal junction and inferior frontal and middle gyri (Fig. 1A,B). This arrangement allowed for simultaneous recording of two individuals while acquiring fNIRS signals.\nThe experimental design consisted of two factors: live face gaze and chord progression with two levels on each: face and no-face, and chord progression and no-chord progression. The timing of the four conditions was controlled by the smart glass that alternated between clear and opaque and paradigm controls that presented the musical conditions. The four conditions were (1) live face-chord progression, (2) no-face-chord progression, (3) live face-no-chord progression, and (4) no-face-no-chord progression. Each run consisted of four 15 s task periods separated by rest blocks (15 s). Each run was administered twice, totaling eight runs (duration: 16 min). Each consisted of four 15 s stimuli separated by rest blocks (15 s; Fig. 1C). During each live face condition, the smart glass became transparent so that participants had a full view of their partner's face and could view each other freely. During no-face conditions and rest blocks between stimuli, the smart glass was opaque, and participants could not see their partner's face. Participants were instructed to view the transparent or opaque glass during each stimulus and rest period.\nParticipants were instructed to gaze naturally at the face of their partner during the time periods when the smart glass was clear. Natural facial expressions and eye contact were encouraged. However, talking was not permitted, and participants were advised to avoid excessive head movement, deep breathing, yawning, and face touching.\nAfter each run, participants were asked to indicate “How connected do you feel to your partner?” using a computer monitor located above of the smart glass and a dial to display integers ranging from 0 to 5 indicating neutral to very connected, respectively. A response of “0” was considered to be a nonanswer. As a baseline recording, participants were also asked to rate subjective connectedness after meeting during the consent process but before entering the experimental room. Participants were instructed to rate connectedness based on their own understanding of connection. If participants had further questions about how they should rate the connection they felt with their partner, we emphasized that there was no right or wrong answer and that their ratings would not be disclosed to their partner. Some of the participants (60%) were asked to retroactively rate connectedness felt before the start of the experiment.\nResponses were averaged by condition across participants and differences were assessed using a Kruskal–Wallis test and Games–Howell post hoc t tests because the assumption of homogeneity of variance required in parametric tests could not be validated. Results were confirmed by pairwise t test with Bonferroni’s correction (Kassambara, 2023) in R.\nChord progressions are a feature of most Western popular music and are a mathematically defined set of frequencies with a specific temporal relationship that provides structure and context to a musical composition (Zatorre and Salimpoor, 2013; McPherson et al., 2020; Weiss et al., 2020; Nguyen et al., 2023). Perception and preferences for consonant chord progressions, a sequence of chords that are primarily composed of intervals considered harmonious and pleasing, emerges within infants, suggesting its fundamental importance in music perception (Schellenberg and Trainor, 1996; Zentner, 1996; Trainor, 1997). Chord progressions for this experiment were prerecorded by the experimentalists. They were created in Logic Pro X with a Yamaha MODX6 61-key synthesizer. Two stimulus sets were created, a “chord progression” and a “no chord progression” set. Examples of each type of stimulus set can be heard at the following link: https://on.soundcloud.com/Q7EJ7B7XtRrbbhxW6. Images of Musical Information Digital Interface (MIDI) information and musical scores of example stimuli in the key of E major can be found in Figure S1.\nEach chord progression stimulus set was designed to have a predictable, consonant chord progression played by instruments with a pleasing timbre with constant rhythm and dynamics throughout the stimulus (Dvorak and Hernandez-Ruiz, 2021). We used the ii-V-I-vi chord progression as it is a common harmonic progression in Western music encountered with high prevalence in popular music across genres (Rosenberg, 2014; Miles et al., 2017; Brown et al., 2021). Each chord progression stimulus had a set tempo of 140 beats per minute, lasted 15 s, and consisted of four tracks:Track 1: a piano playing a simple nonsyncopated melody with half notes derived from the pentatonic scale of the key outlined by tracks 2 and 3.Track 2: a piano playing a ii-V-I-vi harmonic progression with half note chords ending on the tonic (I) of the key. For example, in the key of C major the chords were D minor 7 (ii), G dominant 7 (V), C major 7 (I), and A minor 7 (vi). This progression was repeated three times and then resolved on the C major 7 (I) on the fourth cycle.Track 3: a bass playing quarter notes that outlined a ii-V-I-vi chord progression that accompanied track 2. For example, in the key of C the bass would play a D (ii), then G (V), then C (I), followed by A (vi).Track 4: a drum pattern with a ride cymbal playing quarter notes and a kick drum playing half notes.\nTrack 1: a piano playing a simple nonsyncopated melody with half notes derived from the pentatonic scale of the key outlined by tracks 2 and 3.\nTrack 2: a piano playing a ii-V-I-vi harmonic progression with half note chords ending on the tonic (I) of the key. For example, in the key of C major the chords were D minor 7 (ii), G dominant 7 (V), C major 7 (I), and A minor 7 (vi). This progression was repeated three times and then resolved on the C major 7 (I) on the fourth cycle.\nTrack 3: a bass playing quarter notes that outlined a ii-V-I-vi chord progression that accompanied track 2. For example, in the key of C the bass would play a D (ii), then G (V), then C (I), followed by A (vi).\nTrack 4: a drum pattern with a ride cymbal playing quarter notes and a kick drum playing half notes.\nEach exemplar in the chord progression set used the same chord progression (ii-V-I-vi) and chord voicings; however, each was created in 1 of the 12 different keys. One of four possible consonant melodies derived from the pentatonic scale were randomly assigned to each stimulus across the 12 keys. This resulted in 12 novel stimuli with a shared consonant harmonic and rhythmic structure that served as the chord progression stimuli. The control set of musical stimuli was generated by temporally (250 ms–2 s) shuffling the notes of the tonal instruments in tracks 1–3 (piano and bass) while leaving track 4 (drums) unaltered. This resulted in disruption of the harmonic and rhythmic context for the tonal component of the nonharmonic stimuli while leaving the rhythmic pattern and tempo information of the drums intact. All tracks were mixed, and sound levels adjusted in Logic Pro X. Participants listened to the stimuli through JBL Control 1 Pro Two-Way Professional Compact Loudspeakers. Each participant had a set of two speakers angled toward them so that the stimuli converged at ear level. Acoustic features were extracted from all 24 soundtracks (12 chord progression, CP, and 12 no-chord progression, NCP, using MIRToolbox; Lartillot and Toiviainen, 2007) and averaged to compare physical characteristics within and between conditions (Lartillot et al., 2008; Lee et al., 2023; Cheung et al., 2025) See Table 2.\nAcoustic features\nSpectral flux, centroid, and RMS were computed on mono-summed audio using short-time Fourier analysis (46 ms windows, 10 ms hop). Fluctuation-spectrum measures were derived from modulation spectra computed using MIRtoolbox (Lartillot and Toiviainen, 2007). a.u., arbitrary units; dBFS, decibels relative to full scale.\nThe comparison of acoustic characteristics related to rhythm and timbre for each of the two musical conditions is included in Table 2. Rhythm is compared on features including tempo, peak magnitude, peak-to-median ratio, pulse clarity, and fluctuation-spectrum entropy; and timbre is compared on spectral flux, root-mean-square, and spectral centroid/brightness. Each is defined in column 2 of Table 2. Mean and standard deviation for each condition (chord progression and no-chord progression) based on the 12 unique exemplars of each are shown in the middle columns. The right-hand column indicates the results of the statistical comparison of [chord progression (CP) >no-chord progression (NCP)]. In summary, for the rhythm features where tempo was constant between the two conditions, both peak magnitude (p < 10−11) and peak-to-median ratio (p < 10−13) were greater for the chord progression conditions, whereas the pulse clarity (p < 10−2) and fluctuation-spectrum entropy (p < 10−16) were greater for the no-chord progression condition. For the timbre features, spectral flux was greater for the chord progression condition (p < 10−4), whereas root-mean-square, dBFS, (p < 10−5) and centroid/brightness, Hz, (p < 0.01) were both greater for the no-chord progression condition. Overall, the conditions containing a structured chord progression exhibited stronger low-frequency modulation dominance, whereas the condition lacking harmonic structure exhibited greater rhythmic salience and spectral irregularity.\nThe observed differences in Music Information Retrieval, MIR, features between harmonic and nonharmonic conditions are consistent with established models of hierarchical musical organization (Koelsch et al., 2013; Mehr, 2025). The conditions containing structured chord progressions exhibited higher peak magnitude and peak-to-median ratios in the fluctuation spectrum, indicating the presence of dominant low-frequency modulation components and greater hierarchical coherence. These features have been associated with perceptual grouping, tonal expectation, and the integration of musical events over longer temporal windows. In contrast, stimuli in which tonal notes were shuffled while rhythmic elements were preserved showed higher pulse clarity and fluctuation spectrum entropy, reflecting increased salience of surface-level rhythmic periodicity and a more distributed modulation energy profile.\nSurveys (Text S1) assessing familiarity of participants with their partner were administered following the experimental session. If participants responded affirmatively to knowing their partner prior to the day of the study, data on the duration and nature of their relationship was obtained. A 1–5 Likert scale similar to that which was used during the experiment was used by participants to indicate subjective connectedness. Participants were also asked to answer survey questions about any previous and current engagement with music (Fig. S2). Music engagement was any involvement including, but not limited to, playing or studying music theory, instrumental, or vocal techniques.\nFunctional NIRS signal acquisition, optode localization, and signal processing, including global mean removal, were similar to methods described previously (Kirilina et al., 2013; Zhang et al., 2016) and are briefly summarized below. Hemodynamic signals were acquired using three wavelengths of light (780, 805, and 830 nm), and an 80-fiber multichannel, continuous-wave fNIRS system (LABNIRS, Shimadzu). Differential absorption of each wavelength of light was converted to concentration changes for deOxyHb, OxyHb, and total combined deOxyHb and OxyHb using standard methods previously described (Matcher et al., 1995).\nEach participant was fit with an optode cap with predefined channel distances. Three sizes of caps were used based on the circumference of the participants’ heads (60, 56.5, or 54.5 cm). Optode distances of 3 cm were designed for the 60 cm cap but were scaled equally to smaller caps. A lighted fiber-optic probe (Daiso) was used to displace all hair from the optode holder before optode placement. Optodes consisting of 20 emitters and 20 detectors were arranged in a custom matrix providing a total of 29 acquisition channels per participant. For consistency, the placement of the most anterior midline optode holder on the cap was centered 1 cm above nasion. To ensure acceptable signal-to-noise ratios, intensity was measured for each channel before recording, and adjustments were made for each channel until the optodes were calibrated and able to sense known quantities of light from each laser wavelength (Noah et al., 2015). Anatomical locations of optodes in relation to standard head landmarks were determined for each participant using a structure.io 3D scanner (Occipital) and portions of code from the FieldTrip toolbox implemented in Matlab 2022a (Eggebrecht et al., 2012; Homölle and Oostenveld, 2019). Optode locations were used to calculate positions of recording channels (Fig. 1B), and Montreal Neurological Institute (MNI) coordinates (Mazziotta et al., 2001) for each channel were obtained with NIRS-SPM software (Ye et al., 2009) and WFU PickAtlas (Maldjian et al., 2003, 2004).\nA, Illustrations of the two-person experimental setup and configuration for simultaneous fNIRS recording and face gaze conditions. A “smart-glass” bisects person-to-person distance. Face and NoFace conditions are represented by transparent and opaque dark gray “smart-glass” bars, respectively. B, Right and left hemispheres of a single rendered brain to illustrate median channel locations (red dots) for 29 channels per participant. C, Time series for a single run.\nRaw optical density variations in the fNIRS signals were acquired at three wavelengths of light (780, 805, and 830 nm), which were translated into relative chromophore concentrations using a Beer–Lambert equation (Matcher et al., 1995). Signals were recorded at 30 Hz. Baseline drift was removed using wavelet detrending provided in NIRS-SPM (Ye et al., 2009). In accordance with recommendations for best practices using fNIRS data (Yücel et al., 2021), global components attributable to blood pressure and other systemic effects (Tachtsidis and Scholkmann, 2016) were removed using a principal component analysis (PCA) spatial global mean filter (Zhang et al., 2016, 2017; Hirsch et al., 2018; Noah et al., 2021) before general linear model (GLM) analysis. The HbDiff signal which is derived from the sum of the OxyHb and deOxyHb signals for all statistical analyses was utilized to optimize signal reliability (Kaynezhad et al., 2023). Following best practices (Yücel et al., 2021), baseline activity measures of both OxyHb and deOxyHb signals were processed as a confirmatory measure. The HbDiff signal averages are taken as the input to the second level (group) analysis (Tachtsidis et al., 2009). Comparisons between conditions were based on GLM procedures using NIRS-SPM (Ye et al., 2009). Event epochs within the time series were convolved with the hemodynamic response function provided from SPM8 (Penny et al., 2011) and fit to the signals, providing individual “beta values” for each participant across conditions. Group results based on these beta values were rendered on a standard MNI brain template (TD-ICBM152 T1 MRI template; Mazziotta et al., 2001) in SPM8 using NIRS-SPM software with WFU PickAtlas (Maldjian et al., 2003, 2004).\nThe primary GLM analysis employed a standard block design. For each 2 min run, there were four blocks of 15 s of task each separated by four 15 s periods of rest and was implemented in NIRS-SPM (Ye et al., 2009), which uses SPM8 (Penny et al., 2011) inside MATLAB 2022.\nCross-brain synchrony (neural coherence) was evaluated using wavelet analysis (Torrence and Compo, 1998; Zhang et al., 2020), as previously described (Hirsch et al., 2018). The wavelet kernel was a complex Gaussian provided by MATLAB. The number of octaves was 4 and the range of frequencies was 0.4–0.025 Hz, which is sensitive to the hemodynamic response function. The number of voices per octave was also 4, and therefore 16 scales were used for which the wavelength difference was 2.5 s. Methodological details and validation of this technique have been previously described (Zhang et al., 2017). The analysis was conducted by using concatenated segments collected during the experiment. This approach provided a measurement of nonsymmetric coupled dynamics (Hasson and Frith, 2016), where one participant's neural signals were synchronized with their partner's neural signals representing predictable transformations between the two brains. Signals acquired from predefined anatomical regions from visual cortex and parietal and temporal lobes were decomposed into temporal frequencies that were correlated across the two brains for each dyad following removal of the task regressor as is conventional for psychophysiological interaction analysis (Friston et al., 1997). Here we apply the residual signal to investigate effects other than the main task-induced effect. For example, cross-brain coherence of multiple signal components (wavelets) is thought to provide an indication of dynamic coupling processes rather than task-specific processes. Coherence during social music listening was compared for the four conditions: face-chord progression, face-no-chord progression, no-face-chord progression, and no-face-no-chord progression. This analysis was also applied to a comparison of “scrambled” (shuffled) pairs of participants. In this analysis, the neural data from participants who were not actually paired during the experiment was aligned to the music conditions for analysis. This control analysis was to confirm that the reported coherence was specific to the live dyadic interaction and not the possible effect of common processes across all the conditions.\n\n\n### Ethics statement\nEthical approval was obtained from the Yale University Human Research Protection Program [HIC # 1501015178, “Neural mechanisms of the social brain” (J.H.)]. Informed consent was obtained from each participant in accordance with established guidelines.\n\n\n### Experimental setup and paradigm\nDyadic participants were positioned 140 cm across a table from each other with a custom-made and controllable “smart glass” window that toggled between transparency and opacity according to the experimental time series. Each participant wore a cap with an array of “optodes” (small detectors and emitters for the acquisition of hemodynamic signals) that provided coverage over both hemispheres of both participants, specifically targeting bilateral temporoparietal junction and inferior frontal and middle gyri (Fig. 1A,B). This arrangement allowed for simultaneous recording of two individuals while acquiring fNIRS signals.\nThe experimental design consisted of two factors: live face gaze and chord progression with two levels on each: face and no-face, and chord progression and no-chord progression. The timing of the four conditions was controlled by the smart glass that alternated between clear and opaque and paradigm controls that presented the musical conditions. The four conditions were (1) live face-chord progression, (2) no-face-chord progression, (3) live face-no-chord progression, and (4) no-face-no-chord progression. Each run consisted of four 15 s task periods separated by rest blocks (15 s). Each run was administered twice, totaling eight runs (duration: 16 min). Each consisted of four 15 s stimuli separated by rest blocks (15 s; Fig. 1C). During each live face condition, the smart glass became transparent so that participants had a full view of their partner's face and could view each other freely. During no-face conditions and rest blocks between stimuli, the smart glass was opaque, and participants could not see their partner's face. Participants were instructed to view the transparent or opaque glass during each stimulus and rest period.\n\n\n### Instructions to participants\nParticipants were instructed to gaze naturally at the face of their partner during the time periods when the smart glass was clear. Natural facial expressions and eye contact were encouraged. However, talking was not permitted, and participants were advised to avoid excessive head movement, deep breathing, yawning, and face touching.\n\n\n### Connectedness ratings\nAfter each run, participants were asked to indicate “How connected do you feel to your partner?” using a computer monitor located above of the smart glass and a dial to display integers ranging from 0 to 5 indicating neutral to very connected, respectively. A response of “0” was considered to be a nonanswer. As a baseline recording, participants were also asked to rate subjective connectedness after meeting during the consent process but before entering the experimental room. Participants were instructed to rate connectedness based on their own understanding of connection. If participants had further questions about how they should rate the connection they felt with their partner, we emphasized that there was no right or wrong answer and that their ratings would not be disclosed to their partner. Some of the participants (60%) were asked to retroactively rate connectedness felt before the start of the experiment.\nResponses were averaged by condition across participants and differences were assessed using a Kruskal–Wallis test and Games–Howell post hoc t tests because the assumption of homogeneity of variance required in parametric tests could not be validated. Results were confirmed by pairwise t test with Bonferroni’s correction (Kassambara, 2023) in R.\n\n\n### Creation of stimuli and listening equipment\nChord progressions are a feature of most Western popular music and are a mathematically defined set of frequencies with a specific temporal relationship that provides structure and context to a musical composition (Zatorre and Salimpoor, 2013; McPherson et al., 2020; Weiss et al., 2020; Nguyen et al., 2023). Perception and preferences for consonant chord progressions, a sequence of chords that are primarily composed of intervals considered harmonious and pleasing, emerges within infants, suggesting its fundamental importance in music perception (Schellenberg and Trainor, 1996; Zentner, 1996; Trainor, 1997). Chord progressions for this experiment were prerecorded by the experimentalists. They were created in Logic Pro X with a Yamaha MODX6 61-key synthesizer. Two stimulus sets were created, a “chord progression” and a “no chord progression” set. Examples of each type of stimulus set can be heard at the following link: https://on.soundcloud.com/Q7EJ7B7XtRrbbhxW6. Images of Musical Information Digital Interface (MIDI) information and musical scores of example stimuli in the key of E major can be found in Figure S1.\nEach chord progression stimulus set was designed to have a predictable, consonant chord progression played by instruments with a pleasing timbre with constant rhythm and dynamics throughout the stimulus (Dvorak and Hernandez-Ruiz, 2021). We used the ii-V-I-vi chord progression as it is a common harmonic progression in Western music encountered with high prevalence in popular music across genres (Rosenberg, 2014; Miles et al., 2017; Brown et al., 2021). Each chord progression stimulus had a set tempo of 140 beats per minute, lasted 15 s, and consisted of four tracks:Track 1: a piano playing a simple nonsyncopated melody with half notes derived from the pentatonic scale of the key outlined by tracks 2 and 3.Track 2: a piano playing a ii-V-I-vi harmonic progression with half note chords ending on the tonic (I) of the key. For example, in the key of C major the chords were D minor 7 (ii), G dominant 7 (V), C major 7 (I), and A minor 7 (vi). This progression was repeated three times and then resolved on the C major 7 (I) on the fourth cycle.Track 3: a bass playing quarter notes that outlined a ii-V-I-vi chord progression that accompanied track 2. For example, in the key of C the bass would play a D (ii), then G (V), then C (I), followed by A (vi).Track 4: a drum pattern with a ride cymbal playing quarter notes and a kick drum playing half notes.\nTrack 1: a piano playing a simple nonsyncopated melody with half notes derived from the pentatonic scale of the key outlined by tracks 2 and 3.\nTrack 2: a piano playing a ii-V-I-vi harmonic progression with half note chords ending on the tonic (I) of the key. For example, in the key of C major the chords were D minor 7 (ii), G dominant 7 (V), C major 7 (I), and A minor 7 (vi). This progression was repeated three times and then resolved on the C major 7 (I) on the fourth cycle.\nTrack 3: a bass playing quarter notes that outlined a ii-V-I-vi chord progression that accompanied track 2. For example, in the key of C the bass would play a D (ii), then G (V), then C (I), followed by A (vi).\nTrack 4: a drum pattern with a ride cymbal playing quarter notes and a kick drum playing half notes.\nEach exemplar in the chord progression set used the same chord progression (ii-V-I-vi) and chord voicings; however, each was created in 1 of the 12 different keys. One of four possible consonant melodies derived from the pentatonic scale were randomly assigned to each stimulus across the 12 keys. This resulted in 12 novel stimuli with a shared consonant harmonic and rhythmic structure that served as the chord progression stimuli. The control set of musical stimuli was generated by temporally (250 ms–2 s) shuffling the notes of the tonal instruments in tracks 1–3 (piano and bass) while leaving track 4 (drums) unaltered. This resulted in disruption of the harmonic and rhythmic context for the tonal component of the nonharmonic stimuli while leaving the rhythmic pattern and tempo information of the drums intact. All tracks were mixed, and sound levels adjusted in Logic Pro X. Participants listened to the stimuli through JBL Control 1 Pro Two-Way Professional Compact Loudspeakers. Each participant had a set of two speakers angled toward them so that the stimuli converged at ear level. Acoustic features were extracted from all 24 soundtracks (12 chord progression, CP, and 12 no-chord progression, NCP, using MIRToolbox; Lartillot and Toiviainen, 2007) and averaged to compare physical characteristics within and between conditions (Lartillot et al., 2008; Lee et al., 2023; Cheung et al., 2025) See Table 2.\nAcoustic features\nSpectral flux, centroid, and RMS were computed on mono-summed audio using short-time Fourier analysis (46 ms windows, 10 ms hop). Fluctuation-spectrum measures were derived from modulation spectra computed using MIRtoolbox (Lartillot and Toiviainen, 2007). a.u., arbitrary units; dBFS, decibels relative to full scale.\n\n\n### Acoustic characteristics\nThe comparison of acoustic characteristics related to rhythm and timbre for each of the two musical conditions is included in Table 2. Rhythm is compared on features including tempo, peak magnitude, peak-to-median ratio, pulse clarity, and fluctuation-spectrum entropy; and timbre is compared on spectral flux, root-mean-square, and spectral centroid/brightness. Each is defined in column 2 of Table 2. Mean and standard deviation for each condition (chord progression and no-chord progression) based on the 12 unique exemplars of each are shown in the middle columns. The right-hand column indicates the results of the statistical comparison of [chord progression (CP) >no-chord progression (NCP)]. In summary, for the rhythm features where tempo was constant between the two conditions, both peak magnitude (p < 10−11) and peak-to-median ratio (p < 10−13) were greater for the chord progression conditions, whereas the pulse clarity (p < 10−2) and fluctuation-spectrum entropy (p < 10−16) were greater for the no-chord progression condition. For the timbre features, spectral flux was greater for the chord progression condition (p < 10−4), whereas root-mean-square, dBFS, (p < 10−5) and centroid/brightness, Hz, (p < 0.01) were both greater for the no-chord progression condition. Overall, the conditions containing a structured chord progression exhibited stronger low-frequency modulation dominance, whereas the condition lacking harmonic structure exhibited greater rhythmic salience and spectral irregularity.\nThe observed differences in Music Information Retrieval, MIR, features between harmonic and nonharmonic conditions are consistent with established models of hierarchical musical organization (Koelsch et al., 2013; Mehr, 2025). The conditions containing structured chord progressions exhibited higher peak magnitude and peak-to-median ratios in the fluctuation spectrum, indicating the presence of dominant low-frequency modulation components and greater hierarchical coherence. These features have been associated with perceptual grouping, tonal expectation, and the integration of musical events over longer temporal windows. In contrast, stimuli in which tonal notes were shuffled while rhythmic elements were preserved showed higher pulse clarity and fluctuation spectrum entropy, reflecting increased salience of surface-level rhythmic periodicity and a more distributed modulation energy profile.\n\n\n### Music experience and dyadic partner familiarity questionnaires\nSurveys (Text S1) assessing familiarity of participants with their partner were administered following the experimental session. If participants responded affirmatively to knowing their partner prior to the day of the study, data on the duration and nature of their relationship was obtained. A 1–5 Likert scale similar to that which was used during the experiment was used by participants to indicate subjective connectedness. Participants were also asked to answer survey questions about any previous and current engagement with music (Fig. S2). Music engagement was any involvement including, but not limited to, playing or studying music theory, instrumental, or vocal techniques.\n\n\n### Functional NIRS signal acquisition and channel localization\nFunctional NIRS signal acquisition, optode localization, and signal processing, including global mean removal, were similar to methods described previously (Kirilina et al., 2013; Zhang et al., 2016) and are briefly summarized below. Hemodynamic signals were acquired using three wavelengths of light (780, 805, and 830 nm), and an 80-fiber multichannel, continuous-wave fNIRS system (LABNIRS, Shimadzu). Differential absorption of each wavelength of light was converted to concentration changes for deOxyHb, OxyHb, and total combined deOxyHb and OxyHb using standard methods previously described (Matcher et al., 1995).\nEach participant was fit with an optode cap with predefined channel distances. Three sizes of caps were used based on the circumference of the participants’ heads (60, 56.5, or 54.5 cm). Optode distances of 3 cm were designed for the 60 cm cap but were scaled equally to smaller caps. A lighted fiber-optic probe (Daiso) was used to displace all hair from the optode holder before optode placement. Optodes consisting of 20 emitters and 20 detectors were arranged in a custom matrix providing a total of 29 acquisition channels per participant. For consistency, the placement of the most anterior midline optode holder on the cap was centered 1 cm above nasion. To ensure acceptable signal-to-noise ratios, intensity was measured for each channel before recording, and adjustments were made for each channel until the optodes were calibrated and able to sense known quantities of light from each laser wavelength (Noah et al., 2015). Anatomical locations of optodes in relation to standard head landmarks were determined for each participant using a structure.io 3D scanner (Occipital) and portions of code from the FieldTrip toolbox implemented in Matlab 2022a (Eggebrecht et al., 2012; Homölle and Oostenveld, 2019). Optode locations were used to calculate positions of recording channels (Fig. 1B), and Montreal Neurological Institute (MNI) coordinates (Mazziotta et al., 2001) for each channel were obtained with NIRS-SPM software (Ye et al., 2009) and WFU PickAtlas (Maldjian et al., 2003, 2004).\nA, Illustrations of the two-person experimental setup and configuration for simultaneous fNIRS recording and face gaze conditions. A “smart-glass” bisects person-to-person distance. Face and NoFace conditions are represented by transparent and opaque dark gray “smart-glass” bars, respectively. B, Right and left hemispheres of a single rendered brain to illustrate median channel locations (red dots) for 29 channels per participant. C, Time series for a single run.\n\n\n### Signal processing\nRaw optical density variations in the fNIRS signals were acquired at three wavelengths of light (780, 805, and 830 nm), which were translated into relative chromophore concentrations using a Beer–Lambert equation (Matcher et al., 1995). Signals were recorded at 30 Hz. Baseline drift was removed using wavelet detrending provided in NIRS-SPM (Ye et al., 2009). In accordance with recommendations for best practices using fNIRS data (Yücel et al., 2021), global components attributable to blood pressure and other systemic effects (Tachtsidis and Scholkmann, 2016) were removed using a principal component analysis (PCA) spatial global mean filter (Zhang et al., 2016, 2017; Hirsch et al., 2018; Noah et al., 2021) before general linear model (GLM) analysis. The HbDiff signal which is derived from the sum of the OxyHb and deOxyHb signals for all statistical analyses was utilized to optimize signal reliability (Kaynezhad et al., 2023). Following best practices (Yücel et al., 2021), baseline activity measures of both OxyHb and deOxyHb signals were processed as a confirmatory measure. The HbDiff signal averages are taken as the input to the second level (group) analysis (Tachtsidis et al., 2009). Comparisons between conditions were based on GLM procedures using NIRS-SPM (Ye et al., 2009). Event epochs within the time series were convolved with the hemodynamic response function provided from SPM8 (Penny et al., 2011) and fit to the signals, providing individual “beta values” for each participant across conditions. Group results based on these beta values were rendered on a standard MNI brain template (TD-ICBM152 T1 MRI template; Mazziotta et al., 2001) in SPM8 using NIRS-SPM software with WFU PickAtlas (Maldjian et al., 2003, 2004).\n\n\n### General linear model analysis\nThe primary GLM analysis employed a standard block design. For each 2 min run, there were four blocks of 15 s of task each separated by four 15 s periods of rest and was implemented in NIRS-SPM (Ye et al., 2009), which uses SPM8 (Penny et al., 2011) inside MATLAB 2022.\n\n\n### Neural coupling (coherence)\nCross-brain synchrony (neural coherence) was evaluated using wavelet analysis (Torrence and Compo, 1998; Zhang et al., 2020), as previously described (Hirsch et al., 2018). The wavelet kernel was a complex Gaussian provided by MATLAB. The number of octaves was 4 and the range of frequencies was 0.4–0.025 Hz, which is sensitive to the hemodynamic response function. The number of voices per octave was also 4, and therefore 16 scales were used for which the wavelength difference was 2.5 s. Methodological details and validation of this technique have been previously described (Zhang et al., 2017). The analysis was conducted by using concatenated segments collected during the experiment. This approach provided a measurement of nonsymmetric coupled dynamics (Hasson and Frith, 2016), where one participant's neural signals were synchronized with their partner's neural signals representing predictable transformations between the two brains. Signals acquired from predefined anatomical regions from visual cortex and parietal and temporal lobes were decomposed into temporal frequencies that were correlated across the two brains for each dyad following removal of the task regressor as is conventional for psychophysiological interaction analysis (Friston et al., 1997). Here we apply the residual signal to investigate effects other than the main task-induced effect. For example, cross-brain coherence of multiple signal components (wavelets) is thought to provide an indication of dynamic coupling processes rather than task-specific processes. Coherence during social music listening was compared for the four conditions: face-chord progression, face-no-chord progression, no-face-chord progression, and no-face-no-chord progression. This analysis was also applied to a comparison of “scrambled” (shuffled) pairs of participants. In this analysis, the neural data from participants who were not actually paired during the experiment was aligned to the music conditions for analysis. This control analysis was to confirm that the reported coherence was specific to the live dyadic interaction and not the possible effect of common processes across all the conditions.\n\n\n### Results\nAverage ratings of connectedness are shown on the y-axis of Figure 2 for each of the four conditions and the baseline acquired prior to the experiment. Participants reported the highest levels of connectedness during the face-chord progression condition when compared with all other conditions. No change in subjective connectedness was observed between baseline measurements and the no-face-chord progression or no-face-no-chord progression conditions. The findings are consistent with the hypothesis that musical chord progression is associated with perceptions of increased social connectedness during live social interactions such as live face-to-face gaze.\nAverage subjective ratings of connectedness are shown for each condition. The average rating of subjective connectedness was dependent upon the experimental condition [χ2 (4, N = 40) = 79.97, p < 0.001; F(4,190) = 16.35, p < 0.001]. The highest average rating of connectedness was observed during the face-to-face gaze paired with the intact chord progression and the lowest average rating of connectedness was observed during the NoFace condition paired with the music without chord progression (NoChord progression). Baseline measures were acquired prior to the experiment. Twenty-four (60%) participants retroactively rated their baseline connectedness.\nMain effects for each of the four conditions are shown on Figure 3A–D. Consistent with the hypothesis that chord progressions upregulate neural systems sensitive to social functions, the face-chord progression condition (A) shows an increase in the right hemisphere angular gyrus. The right angular gyrus has previously been associated with live face processing (Noah et al., 2021; Hirsch et al., 2023) consistent with the hypothesis that live face processes are amplified under conditions of shared listening to music with chord progression relative to shared listening to the same auditory stimuli without chord progression. Interestingly, the activity clusters observed during the no-chord progression conditions [either with a live face interaction (B) or without (D)] are larger than clusters with chord progression suggesting an increased sensory response to the “more complex” and uncommon auditory condition. The comparison of the two face conditions, face paired with chord progression and face paired with the no-chord progression (face-chord progression > face-no-chord progression; E), showed increased engagement of right angular gyrus as well as right somatosensory cortex and bilateral DLPFC (p < 0.05). These observations are consistent with the hypothesis that live face-to-face interaction and musical chord progression cooperate to amplify neural activity in these specific regions.\nAverage neural activation elicited by the following conditions: A, Face-chord progression; B, face-no-chord progression; C, no-face-chord progression; D, no-face-no-chord progression; and E, face-chord progression > face no-chord progression. Panels A–D show the main effects for face (rows) and chord progression (columns). Panel E compares the two face conditions (with and without chord progression) and shows increased activity for the face-chord progression condition in right angular gyrus and primary somatosensory cortex in addition to frontal dLPFC activity (p < 0.05). Panels F and G show the neural activity that is correlated with the subjective ratings of connectedness to the partner. The right superior and middle temporal gyri are correlated with the face contrast (F) and the angular gyrus is correlated with the chord progression contrast (G; p < 0.05). See Table 3, A–G.\nNeural correlates of perceived social connectedness are shown in Figure 3F,G. The relationship between the ratings of connectedness and neural activity was determined for the two experimental factors: face and chord. Individual ratings following each run were applied as covariates on the neural responses prior to the contrast comparisons (p < 0.05). Consistent with well-known face processing specializations, the face-no-face contrast (F) shows an activity cluster in the right superior and middle temporal gyri consistent with a “neural correlate” coassociated with social connectedness and live face gaze. Consistent with the main effects of this study that compare chord progression and no-chord progression conditions (G), the right angular gyrus cluster (including the superior temporal gyrus and the DLPFC) is active and suggests a coassociation with the ratings of connectedness and the chord progression condition (p < 0.05). Table 3 identifies cluster locations, anatomical labels, Brodmann's area (BA), and probabilities for regions observed for the conditions and analyses shown in Figure 3A–G.\nFunctional and anatomical results corresponding to Figure 3\nMTG\nSTG\naX,Y,Z, coordinates of centroid clusters are based on the MNI system (Mazziotta et al., 2001). − indicates left hemisphere; p, probability; t statistic and, df, degrees of freedom; BA, probability refers to the likelihood that the named region is correct. BA, Brodmann’s area; MTG, middle temporal gyrus, STG, superior temporal gyrus; dlPFC, dorsolateral prefrontal cortex.\nAccording to the neural coupling hypothesis (Hasson et al., 2012), we expect to observe cross-brain neural coupling between regions that are most active during the live social interaction where information is shared between interacting participants. This subset of hypothesized regions includes angular gyrus, somatosensory association cortex, DLPFC, superior and middle temporal gyri, supramarginal gyrus, and premotor cortex (Hirsch et al., 2017; Noah et al., 2020). Neural coupling is considered for each and for the two experimental factors: face (Fig. 4) and chord (Fig. 5). For both figures, the cross-brain neural coherence (y-axis) shows the correlation of corresponding frequency components (wavelets; x-axis) of the neural responses across interacting partners. The x-axis represents the continuum of the frequency components in wavelets. The range of wavelengths shorter than 30 s was included since the experimental cycle including task and rest periods was 30 s (Fig. 1C).\nDyadic cross-brain neural coherence for the face conditions. Cross-brain coherence of the neural signals was observed between the somatosensory association cortices and the visual cortex, A, B; the DLPFC and the supramarginal gyrus, C, D; and the middle temporal gyrus and the somatosensory association cortex, E, F. Signal coherence between participants (y-axis) is plotted against the period of the frequency components (x-axis) for the face condition paired with chord progression (red) and the face condition paired with the no-chord progression (blue) conditions. Solid lines represent mean data and shading represents standard error: the left panel shows that the coherence between the partners is increased (A, t(28) = 2.96, p < 0.006; C, t(37) = 2.72, p < 0.01; E, t(21) = 2.99, p < 0.001) during the chord progression condition between wavelets between 10 and 20 s. The right panels (B, D, F) show the coherence between the scrambled (shuffled) partners and serve as a control for the effects of partner specific interaction. There is no evidence in favor of the coherence effect when the partners are scrambled in support of the interpretation that the effects represent partner-specific and social interactive reactions.\nDyadic cross-brain neural coherence for the chord conditions. Cross-brain coherence of the neural signals was observed between the DLPFC and the somatosensory association cortices, A, B; the DLPFC and the premotor cortex, C, D; the supramarginal gyrus and premotor cortex, E, F; and the DLPFC and the superior temporal gyrus, G, H. Signal coherence between participants (y-axis) is plotted against the period of the frequency components (x-axis) for the chord progression paired with the live face (red) and the chord progression paired with the NoFace (blue) conditions. Solid lines represent mean data and shading represents standard error: the left panel shows that the coherence between the partners is increased (A, t(37) = 3.14, p < 0.003; C, t(37) = 3.44, p < 0.001; E, t(39) = 3.87, p < 0.001; G, t(37) = 3.14, p < 0.003) during the chord progression condition between wavelets between 10 and 20 s. The right panels (B, D, F, H) show the coherence between the scrambled (shuffled) partners and serve as a control for the effects of partner specific interaction. There is no evidence in favor of the coherence effect when the partners are scrambled in support of the interpretation that the effects represent partner-specific and social interactive reactions.\nA comparison of “scrambled” (shuffled) pairs of participants was also conducted as a control analysis to confirm that the reported coherence was specific to the live dyadic interaction and not due to engagement in a similar task (Figs. 4, 5, right column). In this comparison the two participants were not real interacting partners. There was no evidence for a difference in coherence between the two nonreal partner conditions suggesting that the increase in cross-brain coherence for the face-chord progression condition (left panel) is related to the live and reciprocal sharing of subtle social and visual cues such as facial expression and eye contact between the dyads.\nIn Figure 5, the chord progression-face condition (red line) is associated with greater neural coupling than the chord progression-no-face condition (blue line) for the DLPFC and somatosensory association cortex (Fig. 5A); the DLPFC and the premotor cortex (Fig. 5C); the supramarginal gyrus and the premotor cortex (Fig. 5E); and the DLPFC and the superior temporal gyrus (Fig. 5G). The neural coherence between these regions was increased for wavelets with periods between 10 and 20 s during the chord progressions that were paired with the live face-to-face gaze (red lines) relative to the chord progressions that were paired with the no-face condition (blue lines). The 10–20 s period range is consistent with the hemodynamic time constant and suggests a physiological difference in the signal. A comparison of “scrambled” (shuffled) pairs of participants was also conducted to confirm that the reported coherence was specific to the live dyadic interaction (Figs. 4, 5, right column). In this comparison the two participants were not the real interacting partners, and there was no evidence for a difference in coherence between the two conditions. This finding suggests that the increase in cross-brain coherence is related to the live and reciprocal sharing of subtle social cues.\n\n\n### Behavioral measures of social connectedness\nAverage ratings of connectedness are shown on the y-axis of Figure 2 for each of the four conditions and the baseline acquired prior to the experiment. Participants reported the highest levels of connectedness during the face-chord progression condition when compared with all other conditions. No change in subjective connectedness was observed between baseline measurements and the no-face-chord progression or no-face-no-chord progression conditions. The findings are consistent with the hypothesis that musical chord progression is associated with perceptions of increased social connectedness during live social interactions such as live face-to-face gaze.\nAverage subjective ratings of connectedness are shown for each condition. The average rating of subjective connectedness was dependent upon the experimental condition [χ2 (4, N = 40) = 79.97, p < 0.001; F(4,190) = 16.35, p < 0.001]. The highest average rating of connectedness was observed during the face-to-face gaze paired with the intact chord progression and the lowest average rating of connectedness was observed during the NoFace condition paired with the music without chord progression (NoChord progression). Baseline measures were acquired prior to the experiment. Twenty-four (60%) participants retroactively rated their baseline connectedness.\n\n\n### Neural measures of face and chord progression conditions\nMain effects for each of the four conditions are shown on Figure 3A–D. Consistent with the hypothesis that chord progressions upregulate neural systems sensitive to social functions, the face-chord progression condition (A) shows an increase in the right hemisphere angular gyrus. The right angular gyrus has previously been associated with live face processing (Noah et al., 2021; Hirsch et al., 2023) consistent with the hypothesis that live face processes are amplified under conditions of shared listening to music with chord progression relative to shared listening to the same auditory stimuli without chord progression. Interestingly, the activity clusters observed during the no-chord progression conditions [either with a live face interaction (B) or without (D)] are larger than clusters with chord progression suggesting an increased sensory response to the “more complex” and uncommon auditory condition. The comparison of the two face conditions, face paired with chord progression and face paired with the no-chord progression (face-chord progression > face-no-chord progression; E), showed increased engagement of right angular gyrus as well as right somatosensory cortex and bilateral DLPFC (p < 0.05). These observations are consistent with the hypothesis that live face-to-face interaction and musical chord progression cooperate to amplify neural activity in these specific regions.\nAverage neural activation elicited by the following conditions: A, Face-chord progression; B, face-no-chord progression; C, no-face-chord progression; D, no-face-no-chord progression; and E, face-chord progression > face no-chord progression. Panels A–D show the main effects for face (rows) and chord progression (columns). Panel E compares the two face conditions (with and without chord progression) and shows increased activity for the face-chord progression condition in right angular gyrus and primary somatosensory cortex in addition to frontal dLPFC activity (p < 0.05). Panels F and G show the neural activity that is correlated with the subjective ratings of connectedness to the partner. The right superior and middle temporal gyri are correlated with the face contrast (F) and the angular gyrus is correlated with the chord progression contrast (G; p < 0.05). See Table 3, A–G.\n\n\n### Neural correlates of connectedness\nNeural correlates of perceived social connectedness are shown in Figure 3F,G. The relationship between the ratings of connectedness and neural activity was determined for the two experimental factors: face and chord. Individual ratings following each run were applied as covariates on the neural responses prior to the contrast comparisons (p < 0.05). Consistent with well-known face processing specializations, the face-no-face contrast (F) shows an activity cluster in the right superior and middle temporal gyri consistent with a “neural correlate” coassociated with social connectedness and live face gaze. Consistent with the main effects of this study that compare chord progression and no-chord progression conditions (G), the right angular gyrus cluster (including the superior temporal gyrus and the DLPFC) is active and suggests a coassociation with the ratings of connectedness and the chord progression condition (p < 0.05). Table 3 identifies cluster locations, anatomical labels, Brodmann's area (BA), and probabilities for regions observed for the conditions and analyses shown in Figure 3A–G.\nFunctional and anatomical results corresponding to Figure 3\nMTG\nSTG\naX,Y,Z, coordinates of centroid clusters are based on the MNI system (Mazziotta et al., 2001). − indicates left hemisphere; p, probability; t statistic and, df, degrees of freedom; BA, probability refers to the likelihood that the named region is correct. BA, Brodmann’s area; MTG, middle temporal gyrus, STG, superior temporal gyrus; dlPFC, dorsolateral prefrontal cortex.\n\n\n### Neural coupling\nAccording to the neural coupling hypothesis (Hasson et al., 2012), we expect to observe cross-brain neural coupling between regions that are most active during the live social interaction where information is shared between interacting participants. This subset of hypothesized regions includes angular gyrus, somatosensory association cortex, DLPFC, superior and middle temporal gyri, supramarginal gyrus, and premotor cortex (Hirsch et al., 2017; Noah et al., 2020). Neural coupling is considered for each and for the two experimental factors: face (Fig. 4) and chord (Fig. 5). For both figures, the cross-brain neural coherence (y-axis) shows the correlation of corresponding frequency components (wavelets; x-axis) of the neural responses across interacting partners. The x-axis represents the continuum of the frequency components in wavelets. The range of wavelengths shorter than 30 s was included since the experimental cycle including task and rest periods was 30 s (Fig. 1C).\nDyadic cross-brain neural coherence for the face conditions. Cross-brain coherence of the neural signals was observed between the somatosensory association cortices and the visual cortex, A, B; the DLPFC and the supramarginal gyrus, C, D; and the middle temporal gyrus and the somatosensory association cortex, E, F. Signal coherence between participants (y-axis) is plotted against the period of the frequency components (x-axis) for the face condition paired with chord progression (red) and the face condition paired with the no-chord progression (blue) conditions. Solid lines represent mean data and shading represents standard error: the left panel shows that the coherence between the partners is increased (A, t(28) = 2.96, p < 0.006; C, t(37) = 2.72, p < 0.01; E, t(21) = 2.99, p < 0.001) during the chord progression condition between wavelets between 10 and 20 s. The right panels (B, D, F) show the coherence between the scrambled (shuffled) partners and serve as a control for the effects of partner specific interaction. There is no evidence in favor of the coherence effect when the partners are scrambled in support of the interpretation that the effects represent partner-specific and social interactive reactions.\nDyadic cross-brain neural coherence for the chord conditions. Cross-brain coherence of the neural signals was observed between the DLPFC and the somatosensory association cortices, A, B; the DLPFC and the premotor cortex, C, D; the supramarginal gyrus and premotor cortex, E, F; and the DLPFC and the superior temporal gyrus, G, H. Signal coherence between participants (y-axis) is plotted against the period of the frequency components (x-axis) for the chord progression paired with the live face (red) and the chord progression paired with the NoFace (blue) conditions. Solid lines represent mean data and shading represents standard error: the left panel shows that the coherence between the partners is increased (A, t(37) = 3.14, p < 0.003; C, t(37) = 3.44, p < 0.001; E, t(39) = 3.87, p < 0.001; G, t(37) = 3.14, p < 0.003) during the chord progression condition between wavelets between 10 and 20 s. The right panels (B, D, F, H) show the coherence between the scrambled (shuffled) partners and serve as a control for the effects of partner specific interaction. There is no evidence in favor of the coherence effect when the partners are scrambled in support of the interpretation that the effects represent partner-specific and social interactive reactions.\nA comparison of “scrambled” (shuffled) pairs of participants was also conducted as a control analysis to confirm that the reported coherence was specific to the live dyadic interaction and not due to engagement in a similar task (Figs. 4, 5, right column). In this comparison the two participants were not real interacting partners. There was no evidence for a difference in coherence between the two nonreal partner conditions suggesting that the increase in cross-brain coherence for the face-chord progression condition (left panel) is related to the live and reciprocal sharing of subtle social and visual cues such as facial expression and eye contact between the dyads.\nIn Figure 5, the chord progression-face condition (red line) is associated with greater neural coupling than the chord progression-no-face condition (blue line) for the DLPFC and somatosensory association cortex (Fig. 5A); the DLPFC and the premotor cortex (Fig. 5C); the supramarginal gyrus and the premotor cortex (Fig. 5E); and the DLPFC and the superior temporal gyrus (Fig. 5G). The neural coherence between these regions was increased for wavelets with periods between 10 and 20 s during the chord progressions that were paired with the live face-to-face gaze (red lines) relative to the chord progressions that were paired with the no-face condition (blue lines). The 10–20 s period range is consistent with the hemodynamic time constant and suggests a physiological difference in the signal. A comparison of “scrambled” (shuffled) pairs of participants was also conducted to confirm that the reported coherence was specific to the live dyadic interaction (Figs. 4, 5, right column). In this comparison the two participants were not the real interacting partners, and there was no evidence for a difference in coherence between the two conditions. This finding suggests that the increase in cross-brain coherence is related to the live and reciprocal sharing of subtle social cues.\n\n\n### Discussion\nThe beneficial effects of shared music are generally considered to be universal. However, the underlying neural mechanisms for the social benefits remain understudied without an organizing theoretical framework. We address this knowledge gap by testing the hypothesis that structured and predictable musical chord progressions facilitate neural mechanisms associated with both social and perceptions of social connectedness. Live face-to-face gaze was applied as the social interaction. Neural effects were compared using fNIRS hyperscanning while partners listened to musical clips composed with and without chord progressions. Consistent with our hypothesis, the right angular gyrus, supramarginal gyrus, superior/middle temporal gyri, and the auditory cortices, i.e., components of the social system, were most activated during live face gaze and chord progression conditions.\nGiven the role of the auditory cortex in processing music regardless of chord structure, we expect and see activation in the auditory cortex in all conditions whether there is a chord progression or live face. The auditory cortex has a primary role in processing higher-order auditory information and has been implicated in processing the consonance of chord progressions (Daikoku et al., 2012; Cheung et al., 2019). Of the regions associated with social processing, the angular gyrus (AG) was observed only during live-face and chord progression. The AG is a hub for multimodal processing that integrates semantic information for comprehension, regulates attention, and links perception to action (Seghier, 2013; Tanaka and Kirino, 2019; Song et al., 2023). The AG has been associated with thematic relations and predictions based on its wide connections and structural heterogeneity (Davis and Yee, 2019; Farahibozorg et al., 2022). Interestingly, AG has also been implicated in schizophrenia, depression, bipolar, and social anxiety (Yüksel et al., 2018; Zeng et al., 2021; Picó-Pérez et al., 2022) and has been correlated to music-based analgesia (Garza-Villarreal et al., 2017). In this study, the AG was activated only during social interaction paired with the common consonant chord progression. Thus, these findings suggest that the angular gyrus may be a unique hub for the intersection of social systems and musical features with predictable progressions (Bravo et al., 2017).\nIn addition to neural systems supporting social and perceptual systems within brains, we consider the cross-brain systems. Neural activity within a constellation of regions associated with live face gaze and chord progressions was found to be synchronous across brains consistent with cooperative sharing of social information (Hasson et al., 2012; Hamilton, 2021). These specific regions include somatosensory association cortices, visual cortex, dorsal lateral prefrontal cortex, supramarginal gyrus, middle and superior temporal gyri, and premotor cortex and have all been implicated in social systems (Carter and Heuttel, 2013). Although our neural coupling findings are exploratory and descriptive, we expect that cooperative processes between brains may have a “yet to be discovered” role in modulating spontaneous interactive social behaviors (Luft et al., 2022; Koul et al., 2023). We note that the neural pairings are distinguished from control computations where the partners are randomly “scrambled” and suggest that the coherence observed is due to some feature of the live interactive experience.\nA theoretical framework for the development of evidence-based therapeutic approaches for the potential benefits of music emerges from these findings. Subjective ratings of connectedness were highest during face-to-face gaze while listening to the chord progressions. It has been previously proposed that the somatosensory association cortex encodes subjective feelings accompanying emotional percepts (Iwamura, 2003; Kragel and LaBar, 2016; Koelsch et al., 2021), and it has also been shown to encode pain from social exclusion as well as empathy for social pain (Kross et al., 2011; Novembre et al., 2015). The role of chord progressions in social connection may be facilitated by its role in enhancing synchrony between individuals, an important mediator of social connection (Stupacher et al., 2017). Additionally, chord progressions may drive or modulate reward processing systems that impact social behavior such as the prefrontal cortex and nucleus accumbens (Salimpoor et al., 2011; Ferreri et al., 2019). Prediction error, a key component of reward, may be an important mechanism by which chord progressions serve as a scaffold to drive synchrony between individuals. Previous findings have shown prediction error signals such as the early right anterior negativity (ERAN) are observed when an unsuspected chord is played as part of a chord progression (Loui and Wessel, 2007; Koelsch et al., 2008; Loui et al., 2009; Kim et al., 2011).\nUnderstanding the biological properties that are elicited by music and how these impact the social brain contributes to the development of clinical applications across a variety of medical specialties where music already has demonstrated efficacy (Altenmüller and Schlaug, 2013). Results from the current social music paradigm support the use of tools like music to facilitate social connections. Importantly, the results of this investigation are the first to provide evidence that the right angular gyrus and measures of cross-brain coherence related to live face gaze paired with or without chord progressions and chord progressions paired with or without live faces are associated with social processes and subjective feelings of social connection.\nInterpersonal synchrony has previously been studied largely through the lens of joint music making in which both musicians are actively involved in cocreating or engaging in leader-follower dynamics. This research has spanned simple paradigms such as finger tapping to more complex improvisations between multiple musicians (Müller et al., 2013). While hyperscanning using EEG has traditionally been used in these paradigms, fNIRS has recently emerged as a powerful tool for measurement of synchrony or coherence between multiple individuals (Redcay and Leonhard, 2019; Astolfi et al., 2020). In our paradigm, we see enhanced coherence during face-to-face gaze and chord progression conditions compared with the other conditions. While our participants were not actively engaged in making music, we see increased partner-specific coherence during joint music listening. We used a chord progression that has a high prevalence in Western music and creates a mutually shared knowledge framework hypothesized to promote interpersonal synchronization (Hamilton, 2021; Abalde et al., 2024). While participants did not have a shared musical goal, they did have share goal the task of rating connection. This may have also contributed to the frame for increased synchrony. Future research utilizing similar paradigms in which musicians and non-musicians share musical goals in a joint music-making task will further elucidate how active music making may enhance these interpersonal synchrony processes.\nThe current loneliness epidemic (Murthy, 2021) highlights the critical need for solutions and motivates rigorous investigations aimed at understanding the relationships between features of music and dyadic interactions that might be applied in therapeutic settings (Groarke and Hogan, 2016; Holt-Lunstad, 2021). As group therapy becomes a mainstay in treatment, music that drives synchrony and facilitates group connections could be utilized as an evidence-based intervention to enhance group treatment efficacy. Understanding the features of music necessary to drive neural synchrony and subjective social connection enhance these potential options for music-based interventions (Savage et al., 2021; Chen et al., 2022). Future work will aim to disentangle how specific features of chord progressions such as frequency and rhythm drive neural synchrony and shape social connection.\nMeasurements of perceived social connection are inherently subjective, span a range of possible personal interpretations, and can be conceptualized as multidimensional (Verhagen et al., 2025). The typical measurement strategies range from global measurements of connection to partner-specific or interaction-specific measurements (Okabe-Miyamoto et al., 2024). In our experiments, our rating of connection includes both a partner and interaction-specific measurement of connection. This is based on a person's subjective judgment of their social relatedness to their partner during each condition (Plackett et al., 2024). In our experiments, participants rate subjective connectedness on a Likert scale. This measurement of social connection has variable individual assumptions, priorities, and implications (Baek et al., 2025). In addition, factors such as emotional valence or perceived congruence mediate one's subjective sense of connection. For example, it is unclear to what extent participants perceived the various conditions as pleasant or unpleasant. Future studies will employ a multivariate approach to measuring social connectedness using multiple approaches.\nMusic is universally appreciated as a promoter of social bonding and a potential therapeutic for conditions of social isolation. Development of an evidence-based theoretical framework for a link between neural systems that underlie social behavior and specific features of music such as consonant chord progressions advance potential applications. Dyadic imaging techniques, a live social interaction paradigm, and music conditions with and without a prevalent chord progression were applied to test the hypothesis that listening to chord progressions promotes social bonding and upregulates social neural circuitry. Subjective ratings of social connectedness, neural measures of cross-brain synchrony, and increased activity in the right angular gyrus, dorsal somatosensory association cortex, and DLPFC (components of the social system) support the hypothesis that predictable musical chord progressions are a salient musical feature that upregulates social neural systems and social behaviors such as gaze at live in-person faces. These findings create an evidence-based framework for future use of musical chord progressions to possibly treat symptoms of social disconnection and isolation.\n\n\n### Limitations and future directions\nMeasurements of perceived social connection are inherently subjective, span a range of possible personal interpretations, and can be conceptualized as multidimensional (Verhagen et al., 2025). The typical measurement strategies range from global measurements of connection to partner-specific or interaction-specific measurements (Okabe-Miyamoto et al., 2024). In our experiments, our rating of connection includes both a partner and interaction-specific measurement of connection. This is based on a person's subjective judgment of their social relatedness to their partner during each condition (Plackett et al., 2024). In our experiments, participants rate subjective connectedness on a Likert scale. This measurement of social connection has variable individual assumptions, priorities, and implications (Baek et al., 2025). In addition, factors such as emotional valence or perceived congruence mediate one's subjective sense of connection. For example, it is unclear to what extent participants perceived the various conditions as pleasant or unpleasant. Future studies will employ a multivariate approach to measuring social connectedness using multiple approaches.\n\n\n### Conclusion\nMusic is universally appreciated as a promoter of social bonding and a potential therapeutic for conditions of social isolation. Development of an evidence-based theoretical framework for a link between neural systems that underlie social behavior and specific features of music such as consonant chord progressions advance potential applications. Dyadic imaging techniques, a live social interaction paradigm, and music conditions with and without a prevalent chord progression were applied to test the hypothesis that listening to chord progressions promotes social bonding and upregulates social neural circuitry. Subjective ratings of social connectedness, neural measures of cross-brain synchrony, and increased activity in the right angular gyrus, dorsal somatosensory association cortex, and DLPFC (components of the social system) support the hypothesis that predictable musical chord progressions are a salient musical feature that upregulates social neural systems and social behaviors such as gaze at live in-person faces. These findings create an evidence-based framework for future use of musical chord progressions to possibly treat symptoms of social disconnection and isolation.\n\n\n### Data Availability\nThe datasets for this study are available from the Yale Dataverse Repository: https://doi.org/10.60600/YU/YD0KXW.", "domain": "affective_neuroscience"}
{"source": "PMC13082789", "title": "A stress-activated neuronal ensemble in the supramammillary nucleus produces anxiety-like behavior in male mice", "text": "# A stress-activated neuronal ensemble in the supramammillary nucleus produces anxiety-like behavior in male mice\n\n## Abstract\nAnxiety is a prevalent negative emotional state induced by stress; however, the neural mechanism underlying anxiety is still largely unknown. We used acute and chronic stress to induce anxiety and test anxiety-like behavior; immunostaining, multichannel extracellular electrophysiological recording, and Ca2+ imaging to evaluate neuronal activity; and virus-based neuronal tracing to label circuits and manipulate circuitry activity. Here, we identified a hypothalamic region, the supramammillary nucleus (SuM), that plays an important role in anxiety-like behavior. We then characterized a small ensemble of stress-activated neurons (SANs) that are recruited by stress. These SANs respond specifically to stress, and their activation robustly increases anxiety-like behavior in male mice. We also found that ventral subiculum (vSub)-SuM projections, but not dorsal subiculum (dSub)-SuM projections, encode anxiety-like behavior and that inhibition of these vSub-SuM projections has an antianxiety effect. These results indicate that the reactivation of stress-activated supramammillary cells and relevant neural circuits is an important neural process underlying anxiety-like behavior.\n\n## Full Text\n\n\n### Introduction\nAnxiety is a fundamental negative emotion observed in almost all mammal species. Long-lasting and uncontrollable anxiety often leads to several mental disorders, anxiety disorders, and even depression (Kesner et al., 2021). Recent studies have shown that the supramammillary nucleus (SuM), a part of the hypothalamus, regulates sleep (Qin et al., 2022), memory (Li et al., 2022b; Li et al., 2022a), novelty exploration (Li et al., 2022b; Pedersen et al., 2017), social memory (Farrell et al., 2021; Pan and McNaughton, 2002), neurogenesis (López-Ferreras et al., 2020), consciousness (López-Ferreras et al., 2019; Liang et al., 2023), locomotor activity (Tonegawa et al., 2015), and theta oscillations in the hippocampus (Josselyn and Tonegawa, 2020). Projections from the SuM to the hippocampus have been largely studied and were found to modulate either episodic memory (Li et al., 2022b) or social memory (Farrell et al., 2021; Pan and McNaughton, 2002) depending on the subregion of the hippocampus targeted (Chen et al., 2020). Although the SuM is located near the mammillary nucleus, a key region implicated in emotion regulation via the Papez circuit, its role in regulating emotion has been explored only superficially, without in-depth investigation. Despite some discussions of this role of the SuM, no consistent conclusion has been reached thus far (López-Ferreras et al., 2020; Liu et al., 2012; Guenthner et al., 2013).\nActivity-dependent activation of cells has been studied in many brain areas (Sun et al., 2023; Azevedo et al., 2019). Tagged cells react to specific stimuli, such as conditional stimuli (Koren et al., 2021; Ryan et al., 2015), pain (Yan et al., 2022), food (Jimenez et al., 2018), and even peripheral inflammation (Forro et al., 2022), and mediate the storage and retrieval of relevant memories. The manipulation of those believed memory-associated cells can alleviate neurodegenerative diseases (Strange et al., 2014) or inflammation (Forro et al., 2022). Naturally, this has led us to consider whether there is a special neuronal ensemble that plays roles in regulating anxiety or anxiety-like behaviors. Recent studies have focused on the role of the hippocampus and related neuronal afferents and efferents (Kesner et al., 2023; Cumbers et al., 2007; Silveira et al., 1993). The dorsal part of the hippocampus mainly contributes to cognition, whereas the ventral hippocampus is often associated with emotion (Escobedo et al., 2023; LeDuke et al., 2023). Although the ventral hippocampus-hypothalamus circuit was reported to modulate anxiety (Kesner et al., 2023; Cumbers et al., 2007), it is still unknown whether the SuM is part of this regulatory circuit. Although the SuM sends and receives dense neuronal projections, few studies have focused on its afferents or its ability to modulate behavior and emotion (Aranda et al., 2006).\nIn this study, we hypothesize that stress can recruit a special neuronal ensemble that exclusively encodes anxiety. To test this hypothesis, we first used multiple methods to assess whether the SuM responds to acute or chronic stress. The activity of the SuM was chemogenetically manipulated, and anxiety-like behavior in rodents was tested. We subsequently employed the targeted recombination in active populations (TRAP) strategy to label and manipulate stress-activated neurons (SANs) in SuM in terms of anxiety-like behavior. After demonstrating how the SuM modulates anxiety, we sought to identify upstream brain areas that may contribute to supramammillary function. We also examined the functions of neuronal projections from the ventral subiculum (vSub) to the SuM using fiber photometry to measure calcium dynamics, as well as chemogenetic manipulation. These results allowed us to characterize a previously unreported role of SuM in regulating anxiety-like behavior. In addition, we showed that projections from the vSub, but not the dorsal subiculum (dSub), to the SuM govern chronic stress-induced anxiety-like behaviors.\n\n\n### Results\nc-Fos protein expression was assessed after acute stress exposure to test whether the SuM was activated (Figure 1A). The number of c-Fos+ cells was significantly increased by foot shock exposure (Figure 1B and C). To investigate if SuM would be responsive to diverse stressors, we next examined whether chronic stress, which has different mechanisms underlying, affects neuronal activity in the SuM (Figure 1D and E). We chose in vivo electrophysiological extracellular recordings to reveal the neuronal activity before and after chronic social defeat stress. The data shows that the firing rate of regular-spiking neurons (RNs) (Figure 1F) but not fast-spiking neurons (FNs) (Figure 1—figure supplement 1A and B) increased after CSDS. Regarding local field potentials, there were no noticeable differences between the naïve and CSDS groups according to power spectrum analysis (Figure 1—figure supplement 1C and D). These results indicate that acute and chronic stress can strongly activate the SuM.\n(A) Workflow of the c-Fos staining. (B) Representative images of c-Fos staining (DAPI: blue; c-Fos: white; scale bar: 100 µm). (C) Statistical analysis of the number of c-Fos-positive cells displayed in panel B. n=10–13 per group; unpaired t test. (D) Workflow of CSDS exposure and in vivo recording. (E) Representative spikes acquired by multichannel recording. (F) Statistical analysis of the firing rates of regular-spiking neurons (RNs) at baseline and after CSDS exposure. n=16‒23 per group; two-way ANOVA followed by Sidak’s post hoc test. The bars in C and F indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘**’, p<0.01; ‘***’, p<0.001. CSDS: chronic social stress; FS: foot shock.\nFigure 1—source data 1.The number of c-Fos+ cells in panel C and normalized firing rate in panel F, and corresponding statistical results.\nFigure 1—figure supplement 1.The effect of CSDS on the local field potential (LFP) in the supramammillary nucleus (SuM).(A) Representative images of the location of electrodes. (B) Statistical comparison of the firing rate of fast-spiking neurons (FNs) between baseline and after CSDS. n=4–12 neurons from 2 to 4 mice per group, two-way ANOVA, Sidak’s post hoc test. (C–D) Power spectrum of LFPs. Data in B is presented as mean ± SEM. ‘ns’, p>0.05. CSDS: chronic social stress.\n(A) Representative images of the location of electrodes. (B) Statistical comparison of the firing rate of fast-spiking neurons (FNs) between baseline and after CSDS. n=4–12 neurons from 2 to 4 mice per group, two-way ANOVA, Sidak’s post hoc test. (C–D) Power spectrum of LFPs. Data in B is presented as mean ± SEM. ‘ns’, p>0.05. CSDS: chronic social stress.\nAfter confirming the activation of SuM caused different types of stress, we then further investigate whether the SuM regulates anxiety behavior in mice. Chemogenetic manipulations were conducted to activate SuM neurons. The experiments were performed as shown in the workflow (Figure 2A and B). The mice were subjected to the open field (OF) and elevated zero maze (EZM) tests at least 2 weeks after virus injection, followed by a reward-seeking test (Figure 2E–H, Figure 2—figure supplement 1A). Clozapine N-oxide (CNO) was administered intraperitoneally 30 min before the test. Chemogenetic activation of the SuM did not affect the performance of mice in the OF test (Figure 2E and F, Figure 2—figure supplement 1B). Compared with control mice, mice in which the SuM was activated explored the open arms of the EZM less (Figure 2G), despite no change in distance traveled (Figure 2—figure supplement 1C). Moreover, mice in which the SuM was activated consumed less food than control mice did (Figure 2F). These data suggest that there are neuronal ensembles that control the expression of anxiety behavior.\n(A–B) Virus injection information (A) and workflow for chemogenetic manipulation (B). (C) Representative c-Fos images. (D) Statistical analysis of the number of c-Fos-positive cells displayed in panel C. n=4 per group; unpaired t test. (E–F) Statistical analysis of the distance traveled in the central area (E) and the time that the mice spent in the central area (F) in the OF test. n=10 per group; unpaired t test for the data in (E) and the Mann-Whitney test for the data in (F). (G) Statistical analysis of the time that the mice spent in the open arms of the elevated zero maze (EZM). n=8 per group; unpaired t test. (H) Statistical analysis of sucrose pellets consumed. n=8–10 per group; Mann-Whitney test. The bars in D–H indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘ns’, p>0.05; ‘**’, p<0.01.\nFigure 2—source data 1.The number of c-Fos+ cells in panel D, and behavioral test data in panel E-H, and corresponding statistical results.\nFigure 2—figure supplement 1.The chemogenetic manipulation of supramammillary nucleus (SuM) and stress-activated neurons (SANs) has effects on the performance of mice in the open field (OF) and the elevated zero maze (EZM).(A) Representative images of virus expression. (B) Statistical comparison of the total distance that wild-type (WT) mice traveled in OF. (C) Statistical comparison of the total distance that WT mice traveled in EZM. (D) Statistical comparison of the total distance that TRAP2 mice traveled in OF. (E) Statistical comparison of the total distance that TRAP2 mice traveled in EZM. Data in B–I are presented as mean ± SEM. ‘ns’, p>0.05, ‘**’, p<0.01, ‘***’, p<0.001.\n(A) Representative images of virus expression. (B) Statistical comparison of the total distance that wild-type (WT) mice traveled in OF. (C) Statistical comparison of the total distance that WT mice traveled in EZM. (D) Statistical comparison of the total distance that TRAP2 mice traveled in OF. (E) Statistical comparison of the total distance that TRAP2 mice traveled in EZM. Data in B–I are presented as mean ± SEM. ‘ns’, p>0.05, ‘**’, p<0.01, ‘***’, p<0.001.\nWe next investigated whether an ensemble that encodes stress and controls the expression of anxiety exists. By crossbreeding Fos 2A-iCreERT2(TRAP2) and Rosa26-LSL-tdTomato (Ai14) mice, we generated TRAP2;Ai14 mice in which activated cells were genetically tagged for visualization (Figure 3A). Foot shock exposure strongly activated neurons in the SuM but not adjacent areas (Figure 3B and C). We hypothesized that these SANs respond exclusively to stress, but not to other stimuli such as reward. To validate the activity-dependent labeling in TRAP2;Ai14 mice, we labeled SANs in two cohorts of mice exposed either to the home cage condition or to foot shock. Several days after labeling, the mice were exposed to either sucrose pellets or social stress to induce reward-related or stress-related c-Fos expression, respectively. The reactivation of SANs under reward stimulation and stress was then compared (Figure 3D–H). Foot shocks dramatically activated and labeled neurons in the SuM (Figure 3F). Social stress but not reward (presentation of sucrose pellets) induced neuronal activation (Figure 3G) and led to a much greater chance of reactivation of SANs (Figure 3H). These data suggest the specific regulatory effect of the SuM on the effects of stress but not reward.\n(A) Workflow of neuronal tagging. (B) Representative image of SANs in the SuM (DAPI: blue, tagged cells: red). (C) Quantitative statistics of stress-tagged cells in several brain areas. n=3 per area; one-way ANOVA followed by Tukey’s post hoc test. (D) Workflow of neuronal tagging and c-Fos staining. (E) Representative images of stress-tagged cells and c-Fos expression induced by sucrose and social stress (DAPI: blue, tdTomato: red, c-Fos: green). (F) Statistical analysis of the number of stress-tagged cells in the SuM. n=3 per group; one-way ANOVA followed by Tukey’s post hoc test. (G) Statistical analysis of the number of c-Fos+ cells after sucrose or social stress exposure. n=3 per group; one-way ANOVA followed by Tukey’s post hoc test. (H) Statistical analysis of the reactivation of stress-tagged cells. n=3 per group; one-way ANOVA followed by Tukey’s post hoc test. The data in C and F–H are presented as the means ± SEMs. ‘ns’, p>0.05; ‘*’, p<0.05; ‘**’, p<0.01; ‘***’, p<0.001.\nFigure 3—source data 1.The number of TRAPed cells in panel C and panel F, c-Fos+ cells in panel G and the reactivation ratio in panel H, and corresponding statistical results.\nTo make sure mice are on similar basal conditions while applying chemogenetic manipulation, we subjected mice to an acute stress protocol involving foot shocks and then performed the elevated plus maze (EPM) and EZM tests to evaluate anxiety on days 2 and 7 (Figure 4A). The mice that experienced foot shocks showed decreases in the exploration time in the open arms on day 2. However, acute stress-induced anxiety was not detected on day 7 (Figure 4B), which allowed us to compare the reactivation of SANs produced anxiety-like behavior between groups at the same baseline. Seven days after SANs tagging, specific activation of SANs significantly increased the concentration of corticosterone (a peripheral indicator of stress) in the mouse serum (Figure 4C and D). Experiments involving chemogenetic manipulation also revealed the sound-selective activation of SANs in the SuM (Figure 4E and F). We then tested whether manipulating SANs in the SuM influences the anxiety-like behavior of the mice. The mice were subjected to the OF and EZM tests at least 1 week after SANs were tagged, followed by reward-seeking tests (Figure 4G and H). CNO was administered intraperitoneally 30 min before the test. Chemogenetic activation of SANs decreased the total distance traveled by the mice in the OF and EZM tests (Figure 2—figure supplement 1D and E). The mice also presented decreases in the distance traveled in the central area (Figure 4I) and time spent in the central area in the OF test (Figure 4J), time spent in the open arms in the EZM test (Figure 4K) and food consumption (Figure 4L). These data suggest that SANs in the SuM encode anxiety-like behavior.\n(A) Workflow of the acute stress and anxiety tests. (B) Statistical analysis of the time that the mice spent in the open arms of the elevated zero maze (EZM). n=10‒11 per group; two-way ANOVA followed by Sidak’s post hoc test. (C) Workflow of the CORT assay and c-Fos staining. (D) Statistical analysis of the serum concentration of corticosterone after the application of clozapine N-oxide (CNO). n=4–5 per group; unpaired t test. (E) Representative images of stress-tagged cells and c-Fos expression induced by chemogenetic manipulation (DAPI: blue, EGFP: green, c-Fos: violet). (F) Statistical analysis of the percentage of costained cells relative to EGPF+ cells in the supramammillary nucleus (SuM). n=4–5 per group; unpaired t test. (G–H) Virus injection information and workflow of chemogenetic manipulation. (I–J) Statistical analysis of the distance traveled in the central area (I) and the time that the mice spent in the central area (J) in the open field (OF) test. n=14–15 per group; unpaired t test. (K) Statistical analysis of the time that the mice spent in the open arms of the EZM. n=14–15 per group; Mann-Whitney test. (L) Statistical analysis of sucrose pellets consumed. n=13–15 per group; unpaired t test. The data in D and F are presented as the means ± SEMs. The bars in B and I–L indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘*’, p<0.05; ‘**’, p<0.01; ‘***’, p<0.001.\nFigure 4—source data 1.The behavioral test data in panel B and I-L, corticosterone level in panel D, co-stain ratio in panel F and corresponding statistical results.\nThe SuM receives afferents from various brain areas, and we identified projections to the SuM by using a nonvirus- and virus-based retrograde tracing strategy (Figure 5A, Figure 5—figure supplement 1A–C). Afferents from the dSub and vSub were identified using CTB-647 and adeno-associated virus (AAV) (Figure 5—figure supplement 2A and B). These projection neurons expressed Vglut1 RNA but not Vgat RNA (Figure 5B), suggesting that Sub-SuM projections are excitatory neuronal projections, as Vglut1 is a crucial marker of glutamatergic neurons. We then performed an electrophysiological experiment. Optogenetics-evoked postsynaptic currents (PSCs) in SuM neurons were blocked by perfusion with DNQX, which indicates the existence of glutamatergic projections from the Sub to the SuM (Figure 5C–E). To investigate how Sub-SuM projections modulate stress and anxiety-like behavior, we then used fiber photometry to measure the calcium concentration to assess the activity patterns of the projection neurons (Figure 5F–H). The projection neurons in the vSub, but not those in the dSub, were more strongly activated when the mice moved into the open arms from the closed arms of the EZM (Figure 5I–M). On the other hand, vSub, but not dSub, projection neurons show lower calcium activity while mice back to the closed arms (Figure 5—figure supplement 3A–D). Following exposure to acute stress, both dSub-SuM and vSub-SuM projection neurons presented increased calcium activity (Figure 5N–R). These data suggest that vSub-SuM projections, but not dSub-SuM projections, may participate in regulating anxiety-like behavior.\n(A) Workflow of virus-based retrograde neuronal tracing. (B) Representative images of in situ RNA staining (DAPI: blue, Slc32a1: green, Slc17a7: red, EGFP: white). (C) Workflow of ex vivo electrophysiological recording. (D) Schematic of optically induced postsynaptic currents (oPSCs) in the SuM. (E) Representative traces of oPSCs. (F) Workflow of Ca2+ imaging. (G) Schematic of Ca2+ imaging of dorsal subiculum (dSub) and vSub projection neurons. (H) Representative images of GCaMP7b expression in the dSub, vSub, and SuM (DAPI: blue, GCaMP7b: green). (I) Heatmap of the Ca2+ fluorescence intensity during the transition from the closed to the open arms. (J) Representative Ca2+ activity during the transition from the closed arms to the open arms. (K) Average ∆F/F of Ca2+ recorded in the dSub and vSub. (L) Statistical analysis of the peak Ca2+ activity. n=5 per group; unpaired t test. (M) Statistical analysis of the area under the curve of Ca2+ activity. n=5 per group; unpaired t test. (N) Heatmap of the Ca2+ fluorescence intensity during exposure to foot shocks. (O) Representative Ca2+ activity during exposure to foot shocks. (P) Average ∆F/F of Ca2+ recorded in the dSub and vSub. (Q) Statistical analysis of the peak Ca2+ activity. n=5‒6 per group; unpaired t test. (R) Statistical analysis of the area under the curve of Ca2+ activity. n=5‒6 per group; unpaired t test. The bars in L–M and Q–R indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘ns’, p>0.05; ‘*’, p<0.05.\nFigure 5—source data 1.The Ca2+ peak of ΔF/F in panel L and Q, the area under curve of the Ca2+ trace in panel M and R, and corresponding statistical results.\nFigure 5—figure supplement 1.Specific retrograde neuronal tracing of the upstream of the stress-activated neuron (SAN) in the supramammillary nucleus (SuM).(A) Workflow of rabies virus (RV)-based retrograde neuronal tracing. (B) Representative image of virus expression in SuM. (C) Representative images of traced upstreaming brain area of SuM.\n(A) Workflow of rabies virus (RV)-based retrograde neuronal tracing. (B) Representative image of virus expression in SuM. (C) Representative images of traced upstreaming brain area of SuM.\nFigure 5—figure supplement 2.Non-virus and virus-based retrograde neuronal tracing of the upstream of the supramammillary nucleus (SuM).(A) Representative images of retrograde neuronal tracing using CTB-647, injection site, dorsal subiculum (dSub), and ventral subiculum (vSub). (B) Representative images of retrograde neuronal tracing using AAV2/Retro, injection site, dSub, and vSub.\n(A) Representative images of retrograde neuronal tracing using CTB-647, injection site, dorsal subiculum (dSub), and ventral subiculum (vSub). (B) Representative images of retrograde neuronal tracing using AAV2/Retro, injection site, dSub, and vSub.\nFigure 5—figure supplement 3.Calcium fiber photometry during elevated plus maze (EPM) test.(A) Heatmap of the Ca2+ fluorescence intensity during the transition from the open arms to the closed arms. (B) Representative Ca2+ activity during the transition from the open to the closed arms. (C) Average ∆F/F of Ca2+ recorded in the dorsal subiculum (dSub) and ventral subiculum (vSub). (D) Statistical analysis of the peak Ca2+ activity. n=5 per group; unpaired t test.\n(A) Heatmap of the Ca2+ fluorescence intensity during the transition from the open arms to the closed arms. (B) Representative Ca2+ activity during the transition from the open to the closed arms. (C) Average ∆F/F of Ca2+ recorded in the dorsal subiculum (dSub) and ventral subiculum (vSub). (D) Statistical analysis of the peak Ca2+ activity. n=5 per group; unpaired t test.\nAfter confirming the regulatory role of vSub-SuM projections in anxiety, we hypothesized that inhibition of this projection would alleviate chronic stress-induced anxiety. In the following experiments, the activity of these projections was chronically inhibited via a chemogenetic strategy. The mice were exposed to CSDS after the expression of the Gi protein was induced specifically on vSub-SuM projection neurons and their axons (Figure 6A, B, and D). The body weights of the mice were monitored throughout the entire procedure to assess their health (Figure 6C). The mice showed no change in social interaction test scores after CSDS exposure (Figure 6E). In the EZM test, the mice in which vSub-SuM projections were inhibited presented less anxiety-like behavior, as indicated by a longer time spent in the open arms of the EZM but no significant change in the distance traveled (Figure 6F and G). Taken together, these data suggest that vSub-SuM projections are the essential neuronal projections for regulating chronic stress-induced anxiety-like behavior.\n(A) Workflow of CSDS and chemogenetic manipulation. (B) Schematic of chemogenetic manipulation of specific projections. (C) Body weight during CSDS exposure. (D) Representative images of virus expression. (E) Statistical analysis of the social interaction ratio after CSDS exposure. n=6–10 per group; two-way ANOVA followed by Sidak’s post hoc test. (F) Statistical analysis of the distance that the mice traveled in the elevated zero maze (EZM). n=6–10 per group; two-way ANOVA followed by Sidak’s post hoc test. (G) Statistical analysis of the time that the mice spent in the open arms of the EZM; two-way ANOVA followed by Sidak post hoc test. The bars in E–G indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘ns’, p>0.05; ‘*’, p<0.05; ‘**’, p<0.01; ‘***’, p<0.001. CSDS: chronic social stress.\nFigure 6—source data 1.The body weight in panel C, and behavioral test data in panel E-G, and corresponding statistical results.\n\n\n### Stress increases neuronal activity in the SuM\nc-Fos protein expression was assessed after acute stress exposure to test whether the SuM was activated (Figure 1A). The number of c-Fos+ cells was significantly increased by foot shock exposure (Figure 1B and C). To investigate if SuM would be responsive to diverse stressors, we next examined whether chronic stress, which has different mechanisms underlying, affects neuronal activity in the SuM (Figure 1D and E). We chose in vivo electrophysiological extracellular recordings to reveal the neuronal activity before and after chronic social defeat stress. The data shows that the firing rate of regular-spiking neurons (RNs) (Figure 1F) but not fast-spiking neurons (FNs) (Figure 1—figure supplement 1A and B) increased after CSDS. Regarding local field potentials, there were no noticeable differences between the naïve and CSDS groups according to power spectrum analysis (Figure 1—figure supplement 1C and D). These results indicate that acute and chronic stress can strongly activate the SuM.\n(A) Workflow of the c-Fos staining. (B) Representative images of c-Fos staining (DAPI: blue; c-Fos: white; scale bar: 100 µm). (C) Statistical analysis of the number of c-Fos-positive cells displayed in panel B. n=10–13 per group; unpaired t test. (D) Workflow of CSDS exposure and in vivo recording. (E) Representative spikes acquired by multichannel recording. (F) Statistical analysis of the firing rates of regular-spiking neurons (RNs) at baseline and after CSDS exposure. n=16‒23 per group; two-way ANOVA followed by Sidak’s post hoc test. The bars in C and F indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘**’, p<0.01; ‘***’, p<0.001. CSDS: chronic social stress; FS: foot shock.\nFigure 1—source data 1.The number of c-Fos+ cells in panel C and normalized firing rate in panel F, and corresponding statistical results.\nFigure 1—figure supplement 1.The effect of CSDS on the local field potential (LFP) in the supramammillary nucleus (SuM).(A) Representative images of the location of electrodes. (B) Statistical comparison of the firing rate of fast-spiking neurons (FNs) between baseline and after CSDS. n=4–12 neurons from 2 to 4 mice per group, two-way ANOVA, Sidak’s post hoc test. (C–D) Power spectrum of LFPs. Data in B is presented as mean ± SEM. ‘ns’, p>0.05. CSDS: chronic social stress.\n(A) Representative images of the location of electrodes. (B) Statistical comparison of the firing rate of fast-spiking neurons (FNs) between baseline and after CSDS. n=4–12 neurons from 2 to 4 mice per group, two-way ANOVA, Sidak’s post hoc test. (C–D) Power spectrum of LFPs. Data in B is presented as mean ± SEM. ‘ns’, p>0.05. CSDS: chronic social stress.\n\n\n### Activation of SuM produces anxiety-like behavior\nAfter confirming the activation of SuM caused different types of stress, we then further investigate whether the SuM regulates anxiety behavior in mice. Chemogenetic manipulations were conducted to activate SuM neurons. The experiments were performed as shown in the workflow (Figure 2A and B). The mice were subjected to the open field (OF) and elevated zero maze (EZM) tests at least 2 weeks after virus injection, followed by a reward-seeking test (Figure 2E–H, Figure 2—figure supplement 1A). Clozapine N-oxide (CNO) was administered intraperitoneally 30 min before the test. Chemogenetic activation of the SuM did not affect the performance of mice in the OF test (Figure 2E and F, Figure 2—figure supplement 1B). Compared with control mice, mice in which the SuM was activated explored the open arms of the EZM less (Figure 2G), despite no change in distance traveled (Figure 2—figure supplement 1C). Moreover, mice in which the SuM was activated consumed less food than control mice did (Figure 2F). These data suggest that there are neuronal ensembles that control the expression of anxiety behavior.\n(A–B) Virus injection information (A) and workflow for chemogenetic manipulation (B). (C) Representative c-Fos images. (D) Statistical analysis of the number of c-Fos-positive cells displayed in panel C. n=4 per group; unpaired t test. (E–F) Statistical analysis of the distance traveled in the central area (E) and the time that the mice spent in the central area (F) in the OF test. n=10 per group; unpaired t test for the data in (E) and the Mann-Whitney test for the data in (F). (G) Statistical analysis of the time that the mice spent in the open arms of the elevated zero maze (EZM). n=8 per group; unpaired t test. (H) Statistical analysis of sucrose pellets consumed. n=8–10 per group; Mann-Whitney test. The bars in D–H indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘ns’, p>0.05; ‘**’, p<0.01.\nFigure 2—source data 1.The number of c-Fos+ cells in panel D, and behavioral test data in panel E-H, and corresponding statistical results.\nFigure 2—figure supplement 1.The chemogenetic manipulation of supramammillary nucleus (SuM) and stress-activated neurons (SANs) has effects on the performance of mice in the open field (OF) and the elevated zero maze (EZM).(A) Representative images of virus expression. (B) Statistical comparison of the total distance that wild-type (WT) mice traveled in OF. (C) Statistical comparison of the total distance that WT mice traveled in EZM. (D) Statistical comparison of the total distance that TRAP2 mice traveled in OF. (E) Statistical comparison of the total distance that TRAP2 mice traveled in EZM. Data in B–I are presented as mean ± SEM. ‘ns’, p>0.05, ‘**’, p<0.01, ‘***’, p<0.001.\n(A) Representative images of virus expression. (B) Statistical comparison of the total distance that wild-type (WT) mice traveled in OF. (C) Statistical comparison of the total distance that WT mice traveled in EZM. (D) Statistical comparison of the total distance that TRAP2 mice traveled in OF. (E) Statistical comparison of the total distance that TRAP2 mice traveled in EZM. Data in B–I are presented as mean ± SEM. ‘ns’, p>0.05, ‘**’, p<0.01, ‘***’, p<0.001.\n\n\n### Identification of SANs in the SuM\nWe next investigated whether an ensemble that encodes stress and controls the expression of anxiety exists. By crossbreeding Fos 2A-iCreERT2(TRAP2) and Rosa26-LSL-tdTomato (Ai14) mice, we generated TRAP2;Ai14 mice in which activated cells were genetically tagged for visualization (Figure 3A). Foot shock exposure strongly activated neurons in the SuM but not adjacent areas (Figure 3B and C). We hypothesized that these SANs respond exclusively to stress, but not to other stimuli such as reward. To validate the activity-dependent labeling in TRAP2;Ai14 mice, we labeled SANs in two cohorts of mice exposed either to the home cage condition or to foot shock. Several days after labeling, the mice were exposed to either sucrose pellets or social stress to induce reward-related or stress-related c-Fos expression, respectively. The reactivation of SANs under reward stimulation and stress was then compared (Figure 3D–H). Foot shocks dramatically activated and labeled neurons in the SuM (Figure 3F). Social stress but not reward (presentation of sucrose pellets) induced neuronal activation (Figure 3G) and led to a much greater chance of reactivation of SANs (Figure 3H). These data suggest the specific regulatory effect of the SuM on the effects of stress but not reward.\n(A) Workflow of neuronal tagging. (B) Representative image of SANs in the SuM (DAPI: blue, tagged cells: red). (C) Quantitative statistics of stress-tagged cells in several brain areas. n=3 per area; one-way ANOVA followed by Tukey’s post hoc test. (D) Workflow of neuronal tagging and c-Fos staining. (E) Representative images of stress-tagged cells and c-Fos expression induced by sucrose and social stress (DAPI: blue, tdTomato: red, c-Fos: green). (F) Statistical analysis of the number of stress-tagged cells in the SuM. n=3 per group; one-way ANOVA followed by Tukey’s post hoc test. (G) Statistical analysis of the number of c-Fos+ cells after sucrose or social stress exposure. n=3 per group; one-way ANOVA followed by Tukey’s post hoc test. (H) Statistical analysis of the reactivation of stress-tagged cells. n=3 per group; one-way ANOVA followed by Tukey’s post hoc test. The data in C and F–H are presented as the means ± SEMs. ‘ns’, p>0.05; ‘*’, p<0.05; ‘**’, p<0.01; ‘***’, p<0.001.\nFigure 3—source data 1.The number of TRAPed cells in panel C and panel F, c-Fos+ cells in panel G and the reactivation ratio in panel H, and corresponding statistical results.\n\n\n### Reactivation of SuMSANs promotes anxiety-like behavior\nTo make sure mice are on similar basal conditions while applying chemogenetic manipulation, we subjected mice to an acute stress protocol involving foot shocks and then performed the elevated plus maze (EPM) and EZM tests to evaluate anxiety on days 2 and 7 (Figure 4A). The mice that experienced foot shocks showed decreases in the exploration time in the open arms on day 2. However, acute stress-induced anxiety was not detected on day 7 (Figure 4B), which allowed us to compare the reactivation of SANs produced anxiety-like behavior between groups at the same baseline. Seven days after SANs tagging, specific activation of SANs significantly increased the concentration of corticosterone (a peripheral indicator of stress) in the mouse serum (Figure 4C and D). Experiments involving chemogenetic manipulation also revealed the sound-selective activation of SANs in the SuM (Figure 4E and F). We then tested whether manipulating SANs in the SuM influences the anxiety-like behavior of the mice. The mice were subjected to the OF and EZM tests at least 1 week after SANs were tagged, followed by reward-seeking tests (Figure 4G and H). CNO was administered intraperitoneally 30 min before the test. Chemogenetic activation of SANs decreased the total distance traveled by the mice in the OF and EZM tests (Figure 2—figure supplement 1D and E). The mice also presented decreases in the distance traveled in the central area (Figure 4I) and time spent in the central area in the OF test (Figure 4J), time spent in the open arms in the EZM test (Figure 4K) and food consumption (Figure 4L). These data suggest that SANs in the SuM encode anxiety-like behavior.\n(A) Workflow of the acute stress and anxiety tests. (B) Statistical analysis of the time that the mice spent in the open arms of the elevated zero maze (EZM). n=10‒11 per group; two-way ANOVA followed by Sidak’s post hoc test. (C) Workflow of the CORT assay and c-Fos staining. (D) Statistical analysis of the serum concentration of corticosterone after the application of clozapine N-oxide (CNO). n=4–5 per group; unpaired t test. (E) Representative images of stress-tagged cells and c-Fos expression induced by chemogenetic manipulation (DAPI: blue, EGFP: green, c-Fos: violet). (F) Statistical analysis of the percentage of costained cells relative to EGPF+ cells in the supramammillary nucleus (SuM). n=4–5 per group; unpaired t test. (G–H) Virus injection information and workflow of chemogenetic manipulation. (I–J) Statistical analysis of the distance traveled in the central area (I) and the time that the mice spent in the central area (J) in the open field (OF) test. n=14–15 per group; unpaired t test. (K) Statistical analysis of the time that the mice spent in the open arms of the EZM. n=14–15 per group; Mann-Whitney test. (L) Statistical analysis of sucrose pellets consumed. n=13–15 per group; unpaired t test. The data in D and F are presented as the means ± SEMs. The bars in B and I–L indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘*’, p<0.05; ‘**’, p<0.01; ‘***’, p<0.001.\nFigure 4—source data 1.The behavioral test data in panel B and I-L, corticosterone level in panel D, co-stain ratio in panel F and corresponding statistical results.\n\n\n### vSub-SuM projections encode anxiety-like behavior\nThe SuM receives afferents from various brain areas, and we identified projections to the SuM by using a nonvirus- and virus-based retrograde tracing strategy (Figure 5A, Figure 5—figure supplement 1A–C). Afferents from the dSub and vSub were identified using CTB-647 and adeno-associated virus (AAV) (Figure 5—figure supplement 2A and B). These projection neurons expressed Vglut1 RNA but not Vgat RNA (Figure 5B), suggesting that Sub-SuM projections are excitatory neuronal projections, as Vglut1 is a crucial marker of glutamatergic neurons. We then performed an electrophysiological experiment. Optogenetics-evoked postsynaptic currents (PSCs) in SuM neurons were blocked by perfusion with DNQX, which indicates the existence of glutamatergic projections from the Sub to the SuM (Figure 5C–E). To investigate how Sub-SuM projections modulate stress and anxiety-like behavior, we then used fiber photometry to measure the calcium concentration to assess the activity patterns of the projection neurons (Figure 5F–H). The projection neurons in the vSub, but not those in the dSub, were more strongly activated when the mice moved into the open arms from the closed arms of the EZM (Figure 5I–M). On the other hand, vSub, but not dSub, projection neurons show lower calcium activity while mice back to the closed arms (Figure 5—figure supplement 3A–D). Following exposure to acute stress, both dSub-SuM and vSub-SuM projection neurons presented increased calcium activity (Figure 5N–R). These data suggest that vSub-SuM projections, but not dSub-SuM projections, may participate in regulating anxiety-like behavior.\n(A) Workflow of virus-based retrograde neuronal tracing. (B) Representative images of in situ RNA staining (DAPI: blue, Slc32a1: green, Slc17a7: red, EGFP: white). (C) Workflow of ex vivo electrophysiological recording. (D) Schematic of optically induced postsynaptic currents (oPSCs) in the SuM. (E) Representative traces of oPSCs. (F) Workflow of Ca2+ imaging. (G) Schematic of Ca2+ imaging of dorsal subiculum (dSub) and vSub projection neurons. (H) Representative images of GCaMP7b expression in the dSub, vSub, and SuM (DAPI: blue, GCaMP7b: green). (I) Heatmap of the Ca2+ fluorescence intensity during the transition from the closed to the open arms. (J) Representative Ca2+ activity during the transition from the closed arms to the open arms. (K) Average ∆F/F of Ca2+ recorded in the dSub and vSub. (L) Statistical analysis of the peak Ca2+ activity. n=5 per group; unpaired t test. (M) Statistical analysis of the area under the curve of Ca2+ activity. n=5 per group; unpaired t test. (N) Heatmap of the Ca2+ fluorescence intensity during exposure to foot shocks. (O) Representative Ca2+ activity during exposure to foot shocks. (P) Average ∆F/F of Ca2+ recorded in the dSub and vSub. (Q) Statistical analysis of the peak Ca2+ activity. n=5‒6 per group; unpaired t test. (R) Statistical analysis of the area under the curve of Ca2+ activity. n=5‒6 per group; unpaired t test. The bars in L–M and Q–R indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘ns’, p>0.05; ‘*’, p<0.05.\nFigure 5—source data 1.The Ca2+ peak of ΔF/F in panel L and Q, the area under curve of the Ca2+ trace in panel M and R, and corresponding statistical results.\nFigure 5—figure supplement 1.Specific retrograde neuronal tracing of the upstream of the stress-activated neuron (SAN) in the supramammillary nucleus (SuM).(A) Workflow of rabies virus (RV)-based retrograde neuronal tracing. (B) Representative image of virus expression in SuM. (C) Representative images of traced upstreaming brain area of SuM.\n(A) Workflow of rabies virus (RV)-based retrograde neuronal tracing. (B) Representative image of virus expression in SuM. (C) Representative images of traced upstreaming brain area of SuM.\nFigure 5—figure supplement 2.Non-virus and virus-based retrograde neuronal tracing of the upstream of the supramammillary nucleus (SuM).(A) Representative images of retrograde neuronal tracing using CTB-647, injection site, dorsal subiculum (dSub), and ventral subiculum (vSub). (B) Representative images of retrograde neuronal tracing using AAV2/Retro, injection site, dSub, and vSub.\n(A) Representative images of retrograde neuronal tracing using CTB-647, injection site, dorsal subiculum (dSub), and ventral subiculum (vSub). (B) Representative images of retrograde neuronal tracing using AAV2/Retro, injection site, dSub, and vSub.\nFigure 5—figure supplement 3.Calcium fiber photometry during elevated plus maze (EPM) test.(A) Heatmap of the Ca2+ fluorescence intensity during the transition from the open arms to the closed arms. (B) Representative Ca2+ activity during the transition from the open to the closed arms. (C) Average ∆F/F of Ca2+ recorded in the dorsal subiculum (dSub) and ventral subiculum (vSub). (D) Statistical analysis of the peak Ca2+ activity. n=5 per group; unpaired t test.\n(A) Heatmap of the Ca2+ fluorescence intensity during the transition from the open arms to the closed arms. (B) Representative Ca2+ activity during the transition from the open to the closed arms. (C) Average ∆F/F of Ca2+ recorded in the dorsal subiculum (dSub) and ventral subiculum (vSub). (D) Statistical analysis of the peak Ca2+ activity. n=5 per group; unpaired t test.\n\n\n### Chronic inhibition of vSub-SuM projections alleviates anxiety-like behavior\nAfter confirming the regulatory role of vSub-SuM projections in anxiety, we hypothesized that inhibition of this projection would alleviate chronic stress-induced anxiety. In the following experiments, the activity of these projections was chronically inhibited via a chemogenetic strategy. The mice were exposed to CSDS after the expression of the Gi protein was induced specifically on vSub-SuM projection neurons and their axons (Figure 6A, B, and D). The body weights of the mice were monitored throughout the entire procedure to assess their health (Figure 6C). The mice showed no change in social interaction test scores after CSDS exposure (Figure 6E). In the EZM test, the mice in which vSub-SuM projections were inhibited presented less anxiety-like behavior, as indicated by a longer time spent in the open arms of the EZM but no significant change in the distance traveled (Figure 6F and G). Taken together, these data suggest that vSub-SuM projections are the essential neuronal projections for regulating chronic stress-induced anxiety-like behavior.\n(A) Workflow of CSDS and chemogenetic manipulation. (B) Schematic of chemogenetic manipulation of specific projections. (C) Body weight during CSDS exposure. (D) Representative images of virus expression. (E) Statistical analysis of the social interaction ratio after CSDS exposure. n=6–10 per group; two-way ANOVA followed by Sidak’s post hoc test. (F) Statistical analysis of the distance that the mice traveled in the elevated zero maze (EZM). n=6–10 per group; two-way ANOVA followed by Sidak’s post hoc test. (G) Statistical analysis of the time that the mice spent in the open arms of the EZM; two-way ANOVA followed by Sidak post hoc test. The bars in E–G indicate the Min to Max of all data points, and the ‘+’ indicates mean value of all data points. ‘ns’, p>0.05; ‘*’, p<0.05; ‘**’, p<0.01; ‘***’, p<0.001. CSDS: chronic social stress.\nFigure 6—source data 1.The body weight in panel C, and behavioral test data in panel E-G, and corresponding statistical results.\n\n\n### Discussion\nIn this study, we combined multiple methods to determine whether SuM is a brain region that is involved in modulating anxiety. SuM neurons strongly respond to acute and chronic stress, and their activation results in robust increases in anxiety-like behavior in mice. We then defined a small ensemble of neurons that are activated by stress, called SANs. These SANs specifically respond to stressful stimuli but not reward. Selective activation of SANs in the SuM increases the serum concentration of corticosterone and anxiety-like behavior in mice. The neuronal circuits that may underlie the regulation of anxiety were also determined in this study. The subiculum sends glutamatergic projections to the SuM and can be activated by stress, whereas only the vSub has a potential effect on the transition to anxiety. We finally determined that inhibition of SANs in the vSub project to the SuM is sufficient to alleviate anxiety in mice after CSDS exposure.\nThe SuM has been demonstrated to respond to novel environments, social stimulation (Li et al., 2022b; Beck and Fibiger, 1995), and stress (Tonegawa et al., 2018; Sun et al., 2020). Given these findings, we assume that the SuM may be activated by foot shocks, a quantifiable acute stressor used in animal studies. Consistent with this hypothesis, we found that the SuM robustly positively responds to both acute and chronic stress through observable increases in c-Fos expression and increases in the neuronal firing rate. The activation of the SuM was also demonstrated to be essential for maintaining arousal (Qin et al., 2022; López-Ferreras et al., 2019). Sensitization to stressful events and high arousal are often associated with anxiety (Lacagnina et al., 2019). Thus, our data strongly suggests that the SuM potentially modulates anxiety. To further confirm whether the SuM participates in anxiety regulation, we recorded neuronal action potentials via multichannel extracellular recording while the mice were moving in the EPM, a traditional type of maze used to test anxiety in rodents. The change in the neuronal firing frequency when mice transitioned from the open arms to the closed arms supports the idea that the SuM may somewhat modulate anxiety. We then manipulated neuronal activity in the SuM via a chemogenetic method and subjected the mice to the EZM test, an improved test for assessing anxiety in rodents. The decrease in exploration time in the open arms by mice in which the SuM was activated by hM3Dq indicated increased anxiety. We noted that these results are inconsistent with those of some previous reports. Some studies have reported that lesions in the SuM and adjacent areas decrease anxiogenic behavior in rats (Josselyn and Tonegawa, 2020; Zheng et al., 2024; Zhang et al., 2019). López-Ferreras et al. performed the OF test, a complicated test, and reported that the chemogenetic activation of neurons in the SuM results in increased anxiety-like behaviors in rats (Liu et al., 2012; Guenthner et al., 2013). However, further experiments involving specific tests (e.g. the EZM test) are needed to confirm whether there is a potential difference across species.\nRecent studies have highlighted the importance of activity-tagged neuronal ensembles in regulating various behaviors, particularly memory (Koren et al., 2021; Báez et al., 1996; Chen et al., 2024; Handa et al., 1994), food consumption (Yan et al., 2022), the inflammatory response (Forro et al., 2022), and emotion (Fanselow and Dong, 2010; Dos Santos Corrêa et al., 2019). A negative experience-related neuronal ensemble in the hippocampus was found to increase susceptibility to chronic stress (Fanselow and Dong, 2010). A recent study reported that the lateral habenula contains a small population of neurons that are recruited in response to stress and mediate the development of depression in mice (Dos Santos Corrêa et al., 2019). These studies suggest that SANs may be important for emotional regulation. In this study, we found that the SuM was more strongly activated by acute stress than were adjacent areas. SANs were more likely to be reactivated by social stress than by sucrose reward, indicating their potential to specifically encode anxiety. The serum corticosterone concentration can be used as a marker of stress-induced change in the peripheral blood. Previous studies showed serum corticosterone can be increased by various stress stimulation (Báez et al., 1996; Chen et al., 2024; Handa et al., 1994; Dos Santos Corrêa et al., 2019); meanwhile, intentionally supplementing the diet with corticosterone can induce anxiety-like behaviors in rodents (Peng et al., 2021). Our data showed that the chemogenetic activation of SANs in the SuM increased the serum corticosterone concentration, whereas the inactivation of SANs had no effect, suggesting the chemogenetic manipulation of SANs may cause similar anxiety effects like real stressors. These findings, in combination with the results of the OF and EZM, suggest that SANs in the SuM are more likely involved in modulating anxiety-like avoidance. However, the reactivation rate of SANs caused by different stressors was relatively lower than the initial activation rate caused by foot shock (Figure 3). This suggests that stress-activated neuronal clusters may have more flexible recruitment principles, with only a small number of neurons potentially encoding emotional information, while most other neurons remain involved in encoding other neural activities. Studies in other fields, particularly studies of memory engram, have shown that the sets of neurons activated during learning are dynamic and exhibit high flexibility (Zaki and Cai, 2024; Sweis et al., 2021). While the activation of SANs produced anxiety-like behavior, the future study will examine whether silencing SuM SANs, either during stress exposure or during anxiety testing, can prevent or reduce stress-induced anxiety. We also found that both the nonselective activation of SuM neurons and the selective activation of SANs in the SuM significantly suppressed the consumption of sucrose pellets. This result may be attributed to the anxiety-induced suppression of reward seeking (Peng et al., 2021). However, further experiments are still needed to confirm whether this effect is anxiety dependent and whether basal food consumption is affected.\nThe SuM recruits and is targeted by neuronal projections in the hippocampus, medial septum, and cortex (Aranda et al., 2006). To further understand the circuitry through which the SuM regulates anxiety, we identified projections from the dSub and the vSub to the SuM (Tang et al., 2016). Fiber photometry was used to measure the Ca2+ concentration in projection neurons in the dSub and vSub, and the results revealed increased Ca2+ activity in vSub-SuM projection neurons but not dSub-SuM projection neurons when the mice transited from the closed arms to the open arms, indicating that vSub-SuM projections encode anxiety. To confirm the regulation of anxiety by vSub-SuM projections, we exposed mice to CSDS and found that constant inhibition of vSub-SuM activity significantly abolished CSDS-induced anxiety in mice. Unlike the dorsal hippocampus, which is involved in the regulation of cognition, the ventral hippocampus is often involved in regulating emotion (Shi et al., 2023). The ventral CA1 area and its projections to the lateral hypothalamic area were found to mediate innate anxiety, and its activation increases anxiety-like behavior in mice (Cumbers et al., 2007). Although very close spatially, neurons in the subiculum are somewhat different from those in the CA1 region (Aggleton and Christiansen, 2015; Ding et al., 2020). The vSub and its downstream brain areas were found to regulate anxiety (Mueller et al., 2004; Ghasemi et al., 2022). Jing-Jing et al. reported that the vSub and its projections to the anterior hypothalamic nucleus are essential for anxiety because the inhibition of these projections decreases anxiety-like behavior (Kesner et al., 2023). Our data is consistent with these findings and suggests the mediating role of the vSub and its projections to different subareas in the hypothalamus.\nIn summary, the activation of SuM increases anxiety-like behavior. A stressful event recruits a neuronal ensemble in SuM. The activation of SANs also significantly increases anxiety-like behavior and suppresses reward seeking. SuM receives glutamatergic projections from the vSub, and inhibition of these projections can diminish CSDS-induced anxiety-like behavior. These results suggest that SuM plays an important role in regulating anxiety-like behavior, and furthermore, studies are worth performing.\n\n\n### Regulation of anxiety avoidance by the SuM\nThe SuM has been demonstrated to respond to novel environments, social stimulation (Li et al., 2022b; Beck and Fibiger, 1995), and stress (Tonegawa et al., 2018; Sun et al., 2020). Given these findings, we assume that the SuM may be activated by foot shocks, a quantifiable acute stressor used in animal studies. Consistent with this hypothesis, we found that the SuM robustly positively responds to both acute and chronic stress through observable increases in c-Fos expression and increases in the neuronal firing rate. The activation of the SuM was also demonstrated to be essential for maintaining arousal (Qin et al., 2022; López-Ferreras et al., 2019). Sensitization to stressful events and high arousal are often associated with anxiety (Lacagnina et al., 2019). Thus, our data strongly suggests that the SuM potentially modulates anxiety. To further confirm whether the SuM participates in anxiety regulation, we recorded neuronal action potentials via multichannel extracellular recording while the mice were moving in the EPM, a traditional type of maze used to test anxiety in rodents. The change in the neuronal firing frequency when mice transitioned from the open arms to the closed arms supports the idea that the SuM may somewhat modulate anxiety. We then manipulated neuronal activity in the SuM via a chemogenetic method and subjected the mice to the EZM test, an improved test for assessing anxiety in rodents. The decrease in exploration time in the open arms by mice in which the SuM was activated by hM3Dq indicated increased anxiety. We noted that these results are inconsistent with those of some previous reports. Some studies have reported that lesions in the SuM and adjacent areas decrease anxiogenic behavior in rats (Josselyn and Tonegawa, 2020; Zheng et al., 2024; Zhang et al., 2019). López-Ferreras et al. performed the OF test, a complicated test, and reported that the chemogenetic activation of neurons in the SuM results in increased anxiety-like behaviors in rats (Liu et al., 2012; Guenthner et al., 2013). However, further experiments involving specific tests (e.g. the EZM test) are needed to confirm whether there is a potential difference across species.\n\n\n### The role of SANs in regulating anxiety avoidance\nRecent studies have highlighted the importance of activity-tagged neuronal ensembles in regulating various behaviors, particularly memory (Koren et al., 2021; Báez et al., 1996; Chen et al., 2024; Handa et al., 1994), food consumption (Yan et al., 2022), the inflammatory response (Forro et al., 2022), and emotion (Fanselow and Dong, 2010; Dos Santos Corrêa et al., 2019). A negative experience-related neuronal ensemble in the hippocampus was found to increase susceptibility to chronic stress (Fanselow and Dong, 2010). A recent study reported that the lateral habenula contains a small population of neurons that are recruited in response to stress and mediate the development of depression in mice (Dos Santos Corrêa et al., 2019). These studies suggest that SANs may be important for emotional regulation. In this study, we found that the SuM was more strongly activated by acute stress than were adjacent areas. SANs were more likely to be reactivated by social stress than by sucrose reward, indicating their potential to specifically encode anxiety. The serum corticosterone concentration can be used as a marker of stress-induced change in the peripheral blood. Previous studies showed serum corticosterone can be increased by various stress stimulation (Báez et al., 1996; Chen et al., 2024; Handa et al., 1994; Dos Santos Corrêa et al., 2019); meanwhile, intentionally supplementing the diet with corticosterone can induce anxiety-like behaviors in rodents (Peng et al., 2021). Our data showed that the chemogenetic activation of SANs in the SuM increased the serum corticosterone concentration, whereas the inactivation of SANs had no effect, suggesting the chemogenetic manipulation of SANs may cause similar anxiety effects like real stressors. These findings, in combination with the results of the OF and EZM, suggest that SANs in the SuM are more likely involved in modulating anxiety-like avoidance. However, the reactivation rate of SANs caused by different stressors was relatively lower than the initial activation rate caused by foot shock (Figure 3). This suggests that stress-activated neuronal clusters may have more flexible recruitment principles, with only a small number of neurons potentially encoding emotional information, while most other neurons remain involved in encoding other neural activities. Studies in other fields, particularly studies of memory engram, have shown that the sets of neurons activated during learning are dynamic and exhibit high flexibility (Zaki and Cai, 2024; Sweis et al., 2021). While the activation of SANs produced anxiety-like behavior, the future study will examine whether silencing SuM SANs, either during stress exposure or during anxiety testing, can prevent or reduce stress-induced anxiety. We also found that both the nonselective activation of SuM neurons and the selective activation of SANs in the SuM significantly suppressed the consumption of sucrose pellets. This result may be attributed to the anxiety-induced suppression of reward seeking (Peng et al., 2021). However, further experiments are still needed to confirm whether this effect is anxiety dependent and whether basal food consumption is affected.\n\n\n### A relevant neural circuit that regulates anxiety avoidance\nThe SuM recruits and is targeted by neuronal projections in the hippocampus, medial septum, and cortex (Aranda et al., 2006). To further understand the circuitry through which the SuM regulates anxiety, we identified projections from the dSub and the vSub to the SuM (Tang et al., 2016). Fiber photometry was used to measure the Ca2+ concentration in projection neurons in the dSub and vSub, and the results revealed increased Ca2+ activity in vSub-SuM projection neurons but not dSub-SuM projection neurons when the mice transited from the closed arms to the open arms, indicating that vSub-SuM projections encode anxiety. To confirm the regulation of anxiety by vSub-SuM projections, we exposed mice to CSDS and found that constant inhibition of vSub-SuM activity significantly abolished CSDS-induced anxiety in mice. Unlike the dorsal hippocampus, which is involved in the regulation of cognition, the ventral hippocampus is often involved in regulating emotion (Shi et al., 2023). The ventral CA1 area and its projections to the lateral hypothalamic area were found to mediate innate anxiety, and its activation increases anxiety-like behavior in mice (Cumbers et al., 2007). Although very close spatially, neurons in the subiculum are somewhat different from those in the CA1 region (Aggleton and Christiansen, 2015; Ding et al., 2020). The vSub and its downstream brain areas were found to regulate anxiety (Mueller et al., 2004; Ghasemi et al., 2022). Jing-Jing et al. reported that the vSub and its projections to the anterior hypothalamic nucleus are essential for anxiety because the inhibition of these projections decreases anxiety-like behavior (Kesner et al., 2023). Our data is consistent with these findings and suggests the mediating role of the vSub and its projections to different subareas in the hypothalamus.\nIn summary, the activation of SuM increases anxiety-like behavior. A stressful event recruits a neuronal ensemble in SuM. The activation of SANs also significantly increases anxiety-like behavior and suppresses reward seeking. SuM receives glutamatergic projections from the vSub, and inhibition of these projections can diminish CSDS-induced anxiety-like behavior. These results suggest that SuM plays an important role in regulating anxiety-like behavior, and furthermore, studies are worth performing.\n\n\n### Materials and methods\nMale C57BL/6J mice aged 12–20 weeks were used. Fos2A-iCreERT2 (TRAP2) mice were a gift from Wenting Wang (JAX, Cat. No. 030323). Rosa26-CAG-LSL-tdTomato (Ai14) mice were purchased from the Shanghai Model Organisms Center (Cat. No. NM-KI-225042). Male CD-1 mice aged 8–10 months were purchased from Charles River (Cat. No. 201). To construct TRAP2;Ai14 mice, homozygous male TRAP2 mice and homozygous female Ai14 mice were bred. Homozygous TRAP2;Ai14 mice were maintained and used in the experiments. We performed genotyping for TRAP2 and Ai14 via PCR with the following primers: TRAP2 (wild-type: 357 bp, mutant: 232 bp): wild-type forward: GTCCGGTTCCTTCTATGCAG, mutant forward: CCTTGCAAAAGTATTACATCACG, common: GAACCTTCGAGGGAAGACG; Ai14 (wild-type: 297 bp, mutant: 196 bp): wild-type forward: AAGGGAGCTGCAGTGGAGTA, wild-type reverse: CCGAAAATCTGTGGGAAGTC, mutant forward: GGCATTAAAGCAGCGTATCC, mutant reverse: CTGTTCCTGTACGGCATGG.\nThe mice were housed 4–5 per cage at a constant temperature and humidity (22 ± 1°C, 30–40% RH) on a day-night cycle (lights on from 08:00-20:00) with a fixed-intensity light source. Each mouse was acclimated to the testing environment for 1–2 min. Acclimation was performed for 3 days before the behavioral experiments. The mice were fed ad libitum and euthanized with CO2 after all the tests were finished. Sample size was determined according to our previous experience. All experiments and analysis described in this study were conducted double-blindly. All laboratory procedures were conducted in accordance with the Guidelines for the Care and Use of Laboratory Animals in China and the regulations of the Animal Care and Use Committee of Shaanxi Normal University. This study protocol was reviewed and approved by the Academic Committee of the Key Laboratory of Modern Teaching Technology, Ministry of Education, Shaanxi Normal University (Approval No. L20230102-01).\nThe mice were exposed to acute stress according to a previously reported procedure (Marcus et al., 2020); specifically, they were exposed to 20 foot shocks with an intensity of 0.5 mA that were randomly delivered across 10 min. The foot shocks were delivered in a fear conditioning box (Med Associates).\nWe used a CSDS protocol to induce anxiety and depression in the mice (Kim et al., 2017). Each C57BL6/J mouse was housed with one CD-1 mouse, and the mice were separated by a transparent plexiglass board with several small holes. The mice were allowed to contact each other directly for 10 min every day for 10 days. Body weight was measured and recorded every day before contact.\nThe OF test was carried out in a 50×50×35 cm3 arena made of white plexiglass. The mice were allowed to move freely in the arena for 10 min, and the distance the mice traveled and the time the mice spent in the central area were recorded and analyzed.\nThe EPM consisted of two open arms (30×7 cm2), two closed arms (30×7×14 cm3), and a central area (7×7 cm2). The mice were allowed to move freely in the arena for 10 min, and the time the mice spent in the open arms was recorded and analyzed.\nThe EZM was used to test whether the mice were anxious. The EZM used in this study was made of organic glass (height of 60 cm), with an inner diameter of 51.8 cm and an outer diameter of 65 cm. The closed arms of the EZM were separated by two 15-cm-high pieces of organic glass, the outer one of which was opaque. After a 15 min habituation period, the mice were placed into the EZM and allowed to move freely for 10 min. Videos were recorded and analyzed using EthoVisionXT software. The time that the mice spent in the open arms was compared between the groups to evaluate anxiety-like behavior.\nOn the first day, sucrose pellets were provided for habituation. The mice were then deprived of food on the second day. On the third day, the mice were placed in a new home cage without bedding and allowed to eat freely for 2 hr. The pellets were weighed to evaluate whether the experimental manipulation influenced reward seeking by the mice.\nThe SIT was conducted as previously described (Kim et al., 2017). The SIT involved two 2.5 min phases. In the first phase (no-target phase), we placed each C57BL6/J mouse in the periphery of the arena opposite the social interaction area (SIA). We allowed the animal to explore the arena freely. In the second phase (with-target phase), each C57BL6/J mouse was placed in the arena again, with a new CD-1 mouse in the SIA. The social interaction ratio (SIR) was calculated using the following formula:Socialinteractionratio(SIR)=TimeinSIAWith−target−TimeinSIANo-targetTimeinSIAWith−target+TimeinSIANo−target\\begin{document}$$\\displaystyle \\rm {Social \\> interaction\\\\gtratio\\\\gt\\left (SIR\\right)\\\\gt{=}\\frac{Time\\> in \\\\gtSIA^{With{-}target}{-}Time\\> in\\\\gtSIA^{No\\mathrm{-}target}}{Time\\> in \\\\gtSIA^{With{-}target}{+}Time\\> in \\> SIA^{No{-}target}}}$$\\end{document}\nTo specifically label SANs, TRAP2 or TRAP2;Ai14 mice were intraperitoneally (i.p.) injected with 4-hydroxytamoxifen (4-OHT, 50 mg/kg) immediately after acute stress exposure or the learning phase of the CFC test. The mice were subjected to the next experiment or test after 7 days to allow Cre-dependent recombination.\n4-OHT (CAS No. 68392-35-8. Sigma, Cat. No. H6278 or Bidepharm, Cat. No. BD00958757) was dissolved in DMSO at a concentration of 62.5 mg/mL and diluted with vehicle (containing 10% Tween 80 and 80% saline) on the day of neuronal tagging. The final concentration of DMSO was kept below 10% to avoid toxicity.\nOne week after neuronal tagging, whether previously tagged SANs were reactivated in TRAP2;Ai14 mice when they were subjected to social stress was assessed. The mice in the first group underwent neuronal tagging in their home cages, and c-Fos expression was induced by sucrose pellets. The mice in the second group were subjected to neuronal tagging in response to foot shock exposure, and c-Fos expression was induced by sucrose pellets. The mice in the third group were subjected to neuronal tagging in response to foot shock exposure, and c-Fos expression was induced by social stress (one CD-1 mouse was placed in the home cage). The mice were then sacrificed 90 min after sucrose pellet feeding or social stress exposure, and c-Fos immunofluorescence staining was performed. The number of c-Fos-positive neurons was counted to determine whether reward and cross-strain social stress could activate neurons in the SuM.\nAn AAV vector was used to label and manipulate specific neurons or determine the calcium concentration. To manipulate the neuronal activity in the SuM, AAV2/9-hSyn-hM3Dq-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0891) or its control vector AAV2/9-hSyn-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-1990) was injected into the SuM of mice.\nTo manipulate the activity of SANs in the SuM, AAV2/9-hSyn-DIO-hM3Dq-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0891) or its control vector AAV2/9-hSyn-DIO-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-1103) was injected into the SuM of TRAP2 mice.\nTo chronically inhibit vSub-SuM circuitry activity, AAV2/Retro-hSyn-Cre (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0278) was injected into the SuM, and AAV2/9-hSyn-DIO-hM4Di-mCherry (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0193) or its control vector AAV2/9-hSyn-DIO-mCherry (titer: 2.00E+12 GC/mL, Braincase, Cat. No. BC-0025) was injected into the vSub of wild-type mice.\nTo determine the calcium concentration in dSub/vSub-SuM projection neurons, AAV2/Retro-hSyn-Cre (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0278) was injected into the SuM, and AAV2/9-hSyn-DIO-GCaMP7b (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-2892) was injected into the dSub/vSub of wild-type mice.\nFor the ex vivo electrophysiological experiment, AAV2/9-hSyn-ChR2-mCherry (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0150) was injected into the vSub of wild-type mice.\nRetrograde neuronal tracing was initially performed via injection of a serotype-2 AAV vector (AAV2/Retro-hSyn-EGFP, titer: 5.00E+12 GC/mL, Taitool, Cat. No. S0237) and CTB-647 (1 µg/µL, Thermo Fisher, Cat. No. C34778) into the SuM of wild-type mice. The mice were then sacrificed after 2 weeks, and the brains were cut into coronal slices for imaging.\nTo precisely trace neuronal afferents projecting to SuMSANs, AAV2/9-Ef1α-DIO-RVG (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0061) and AAV2/9-Ef1α-DIO-mCherry-F2A-TVA (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0207) were injected into the SuM of TRAP2 mice simultaneously. The rabies virus (RV) vector RV-ENVA-ΔG-EGFP (titer: 2.00E+08 IFU/mL, BrainVTA, Cat. No. R01001) was injected into the SuM 2 weeks after neuronal tagging. The mice were then sacrificed after 2 weeks, and the brains were cut into coronal slices for imaging.\nThe mice were anesthetized using isoflurane at a concentration of 1.5–2.0%. A virus was injected into the SuM (AP: –2.8, ML: 0, DV: –4.5 mm), dSub (AP: –2.8, ML: ±0.7, DV: –1.7 mm) or vSub (AP: –3.5, ML: ±3.0, DV: –4.6 mm) according to the experimental design. If only one type of virus needed to be injected into a single brain area, the final volume was typically 150 nL. Otherwise, the final volume of the virus mixture was 200 nL. The viruses were injected at a rate of 50 nL/min. The syringe was held in place for at least 5 min and carefully removed from the brain. The mice were then returned to their home cages, and their health was monitored on the following days. All the mice that underwent surgery were subjected to the subsequent experiment after 2 weeks or more to allow virus expression.\nFor fiber photometry, ceramic ferrules (outer diameter: 2.5 mm, core diameter: 0.2 mm, NA: 0.50) were inserted into the dSub (AP: –2.8, ML: ±0.7, DV: –1.5 mm) or vSub (AP: –3.5, ML: ±3.0, DV: –4.4 mm) 2 weeks after virus injection under the guidance of a laser (wavelength: 470 nm). Calcium imaging was conducted at least 1 week after ferrule implementation.\nCommercially available equipment (Thinker Tech) was used to determine the calcium concentration. The fluorescence signal was activated by a laser at 470 nm, and the signal was transmitted through a low-autofluorescence fiber-optic patch cord and rotary (doric lenses) and collected. The final activation intensity was set to ~40 µW. The sampling rate was 50 Hz for all the recordings. The mice were habituated to the fiber-optic patch cord for 3 consecutive days before recording. A TTL lasting 0.1 s was delivered by the software to mark the timepoint when the mouse moved from a closed arm to an open arm in the EPM (USB-IO box, Noldus). Continuous data were stored as *.tdms files and analyzed using custom-made software in MATLAB.\nTo manipulate neuronal activity in the SuM in wild-type and TRAP2 mice, CNO (5 mg/kg; Cayman, Cat. No. 25780) was injected i.p. 30 min before behavioral tests were performed. For chronic inhibition of circuit activity, CNO was administered orally (25 mg/L).\nFor acute and chronic experiments, CNO was dissolved in DMSO at a concentration of 10 mg/mL and stored at –20°C or in saline at a concentration of 1 mg/mL and stored at –80°C. The storage solution was diluted with saline to a concentration of 0.75 mg/mL to prepare a working solution for acute manipulation or to a concentration of 25 mg/L to prepare a working solution for chronic inhibition on the day of the experiment.\nThe mice were anesthetized with 20% urethane and perfused with PBS or saline. The mouse brain was dissected and immersed in 4% paraformaldehyde (PFA) at 4°C overnight. The PFA solution was then replaced with a 30% sucrose solution. After the brain sank to the bottom, it was embedded in optimal cutting temperature (OCT) compound and frozen in a cryostat (CM1950, Leica). Coronal slices (40 µm) were cut and collected in a 24-well plate. After the residual OCT was removed with PBS, the slices were blocked with 0.3% Triton X-100 and 10% normal donkey serum at room temperature (RT) for 2 hr. The slices were then incubated with diluted primary antibody (rabbit anti-c-Fos, 1:500, Cell Signaling Technology, Cat. No. 2250, RRID:AB_2247211) at 4°C overnight. The next day, the slices were washed and incubated with secondary antibody dilutions (donkey anti-rabbit conjugated to AF647, 1:500, Jackson ImmunoResearch, Cat. No. 706-605-148, RRID:AB_2340476) at RT for 2 hr. After washing, the slices were transferred to slides and mounted with an antifade reagent (Thermo Fisher, Cat. No. P36981). Images of the slices were collected using a Zeiss M2 microscope and then analyzed.\nThe samples were processed as described in the Immunofluorescence section. Slices (10 µm thick) were cut and dried at RT for ~15 min and then heated at 37°C for 30 min in a hybridization oven. The baked slides were then moved to precooled 4% PFA solution for fixation (~15 min). The slices were dehydrated in 100% ethanol at RT for 5 min. The dehydration step was then repeated. The following steps were performed as recommended by the manufacturer (ACDbio, Cat. No. 323100). To label vglut1, vglut2, and vgat RNA, the slices were hybridized with Mm-Slc17a7 (ACDbio, Cat. No. 416631-C1), Mm-Slc17a6 (ACDbio, Cat. No. 319171-C1) and Mm-Slc32a1 (ACDbio, Cat. No. 319191-C3), respectively. The samples were then stained with Opal dye.\nAfter confirming RNA staining, the slices were blocked in 10% normal goat serum for 1 hr. The blocking solution was removed, and the slices were incubated with diluted primary antibody (mouse anti-GFP, 1:500, Thermo Fisher, Cat. No. MA5-16256; rabbit anti-tdTomato, 1:500, Oasis BioFarm, Cat. No. OB-PRB013) at 4°C overnight. The slides were washed with PBS and incubated with secondary antibody solution (goat anti-rabbit/mouse conjugated to HRP, Proteintech, Cat. No. PR30009) at RT for 1 hr (in the dark). After washing, the slices were stained with Opal dye at RT for 30 min. The slides were then mounted and imaged.\nMouse whole blood was collected 90 min after CNO injection (5 mg/kg, i.p.). The samples were subsequently centrifuged at 2000×g for 10 min at 4°C after being left to stand at RT for 30–60 min. The supernatant was then carefully collected as the serum. Corticosterone levels were then measured using a commercial ELISA kit (Beyotime, Cat. No. PC100) according to the manufacturer’s instructions.\nThe mice were anesthetized with urethane and then decapitated. The brain was quickly removed from the skull and immersed in precooled sucrose-based cutting solution (in mM, 225 sucrose, 2.5 KCl, 1.25 NaH2PO4, 26 NaHCO3, 11 D-glucose, 5 L-ascorbic acid, 3 sodium pyruvate, 7 MgSO4·7H2O, 0.5 CaCl2). After being fixed on a metal plate, the brain was cut into 300 µm slices. The slices were then collected and incubated in artificial cerebrospinal fluid (ACSF) containing (in mM): 122 NaCl, 2.5 KCl, 1.25 NaH2PO4, 26 NaHCO3, 11 D-glucose, 2 MgSO4·7H2O, and 2 CaCl2 equilibrated with 95% O2-5% CO2 at 28°C for at least 1 hr before recording.\nTo evoke PSCs using light, whole-cell recording of global SuM neurons near axons illuminated by ChR2-mCherry injected into the vSub was performed. The final light intensity at the end of the optical fiber was set to ~5 mW/mm2. Then, blue light (470 nm, width: 10 ms, frequency: 0.05 Hz) was used to evoke optically induced PSCs (oPSCs). DNQX (20 µM) was perfused into the ACSF to isolate AMPA-dependent currents from the oPSCs after establishing a 5 min baseline.\nThe mice were anesthetized with 2% isoflurane and fixed to a stereotaxic device. A 16-channel microwire electrode array (KD-MWA, KedouBC), a 4×4 array of 25 µm NiTi wires spaced 200 µm apart, was slowly inserted into the mouse brain. Four small nails were first inserted into the skull, with a ground wire presoldered onto one of them. The electrode array was left in the SuM (AP: –2.8, ML: 0, DV: –4.55 mm), and then dental cement was used to fix it onto the skull.\nThe mice were introduced to the recording area at least 1 week after surgery. During the day, the electrode array attached to the mouse skull was connected to the OpenEphys acquisition board through an Intan head stage. An OpenEphys GUI was used to visualize and save electrical signals. The mice were allowed to move freely inside a home cage-like arena for at least 20 min. Only data acquired during the last 5 min were saved and then analyzed via Python-based software.\nSpikes were detected and divided into single units using SpikeInterface (Buccino et al., 2020; https://github.com/SpikeInterface/spikeinterface; Buccino et al., 2026). Continuous binary raw data (sampling rate: 30 kHz) were imported and filtered using a bandpass butter filter at a cutoff value of 300 Hz. Movement artifacts were removed by subtracting medians across all channels. The templates were then extracted and fitted using SpyKING CIRCUS 2 inside the SpikeInterface frame. Neurons meeting the following criteria were excluded from the subsequent analysis: (1) spikes with refracting period violations smaller than 1 ms, accounting for more than 2% of total spikes, and (2) a total frequency lower than 0.2 Hz. Neurons with spike frequencies ≥10 Hz were considered RNs, whereas those with spike frequencies <10 Hz were considered FNs, as reported in a previous study (Li et al., 2022b). The local field potential was extracted and analyzed using the power spectrum analysis tool in MATLAB.\nThe data are presented as the means ± SEMs in all the figures in this manuscript. For normally distributed data with equal standard deviations, independent t tests for unpaired data and dependent t tests for paired data were performed in GraphPad software to compare mean values between two groups. Otherwise, the Mann-Whitney test for unpaired data and the Wilcoxon test for paired data were performed instead. One-way ANOVA followed by Tukey’s post hoc test and two-way ANOVA followed by Sidak’s post hoc test were performed to compare mean values among more than three groups. A p value less than 0.05 was considered to indicate a statistically significant difference between groups. ‘*’ represents p<0.05, ‘**’ represents p<0.01, and ‘***’ represents p<0.001.\n\n\n### Animals\nMale C57BL/6J mice aged 12–20 weeks were used. Fos2A-iCreERT2 (TRAP2) mice were a gift from Wenting Wang (JAX, Cat. No. 030323). Rosa26-CAG-LSL-tdTomato (Ai14) mice were purchased from the Shanghai Model Organisms Center (Cat. No. NM-KI-225042). Male CD-1 mice aged 8–10 months were purchased from Charles River (Cat. No. 201). To construct TRAP2;Ai14 mice, homozygous male TRAP2 mice and homozygous female Ai14 mice were bred. Homozygous TRAP2;Ai14 mice were maintained and used in the experiments. We performed genotyping for TRAP2 and Ai14 via PCR with the following primers: TRAP2 (wild-type: 357 bp, mutant: 232 bp): wild-type forward: GTCCGGTTCCTTCTATGCAG, mutant forward: CCTTGCAAAAGTATTACATCACG, common: GAACCTTCGAGGGAAGACG; Ai14 (wild-type: 297 bp, mutant: 196 bp): wild-type forward: AAGGGAGCTGCAGTGGAGTA, wild-type reverse: CCGAAAATCTGTGGGAAGTC, mutant forward: GGCATTAAAGCAGCGTATCC, mutant reverse: CTGTTCCTGTACGGCATGG.\nThe mice were housed 4–5 per cage at a constant temperature and humidity (22 ± 1°C, 30–40% RH) on a day-night cycle (lights on from 08:00-20:00) with a fixed-intensity light source. Each mouse was acclimated to the testing environment for 1–2 min. Acclimation was performed for 3 days before the behavioral experiments. The mice were fed ad libitum and euthanized with CO2 after all the tests were finished. Sample size was determined according to our previous experience. All experiments and analysis described in this study were conducted double-blindly. All laboratory procedures were conducted in accordance with the Guidelines for the Care and Use of Laboratory Animals in China and the regulations of the Animal Care and Use Committee of Shaanxi Normal University. This study protocol was reviewed and approved by the Academic Committee of the Key Laboratory of Modern Teaching Technology, Ministry of Education, Shaanxi Normal University (Approval No. L20230102-01).\n\n\n### Behavioral procedure\nThe mice were exposed to acute stress according to a previously reported procedure (Marcus et al., 2020); specifically, they were exposed to 20 foot shocks with an intensity of 0.5 mA that were randomly delivered across 10 min. The foot shocks were delivered in a fear conditioning box (Med Associates).\nWe used a CSDS protocol to induce anxiety and depression in the mice (Kim et al., 2017). Each C57BL6/J mouse was housed with one CD-1 mouse, and the mice were separated by a transparent plexiglass board with several small holes. The mice were allowed to contact each other directly for 10 min every day for 10 days. Body weight was measured and recorded every day before contact.\nThe OF test was carried out in a 50×50×35 cm3 arena made of white plexiglass. The mice were allowed to move freely in the arena for 10 min, and the distance the mice traveled and the time the mice spent in the central area were recorded and analyzed.\nThe EPM consisted of two open arms (30×7 cm2), two closed arms (30×7×14 cm3), and a central area (7×7 cm2). The mice were allowed to move freely in the arena for 10 min, and the time the mice spent in the open arms was recorded and analyzed.\nThe EZM was used to test whether the mice were anxious. The EZM used in this study was made of organic glass (height of 60 cm), with an inner diameter of 51.8 cm and an outer diameter of 65 cm. The closed arms of the EZM were separated by two 15-cm-high pieces of organic glass, the outer one of which was opaque. After a 15 min habituation period, the mice were placed into the EZM and allowed to move freely for 10 min. Videos were recorded and analyzed using EthoVisionXT software. The time that the mice spent in the open arms was compared between the groups to evaluate anxiety-like behavior.\nOn the first day, sucrose pellets were provided for habituation. The mice were then deprived of food on the second day. On the third day, the mice were placed in a new home cage without bedding and allowed to eat freely for 2 hr. The pellets were weighed to evaluate whether the experimental manipulation influenced reward seeking by the mice.\nThe SIT was conducted as previously described (Kim et al., 2017). The SIT involved two 2.5 min phases. In the first phase (no-target phase), we placed each C57BL6/J mouse in the periphery of the arena opposite the social interaction area (SIA). We allowed the animal to explore the arena freely. In the second phase (with-target phase), each C57BL6/J mouse was placed in the arena again, with a new CD-1 mouse in the SIA. The social interaction ratio (SIR) was calculated using the following formula:Socialinteractionratio(SIR)=TimeinSIAWith−target−TimeinSIANo-targetTimeinSIAWith−target+TimeinSIANo−target\\begin{document}$$\\displaystyle \\rm {Social \\> interaction\\\\gtratio\\\\gt\\left (SIR\\right)\\\\gt{=}\\frac{Time\\> in \\\\gtSIA^{With{-}target}{-}Time\\> in\\\\gtSIA^{No\\mathrm{-}target}}{Time\\> in \\\\gtSIA^{With{-}target}{+}Time\\> in \\> SIA^{No{-}target}}}$$\\end{document}\nTo specifically label SANs, TRAP2 or TRAP2;Ai14 mice were intraperitoneally (i.p.) injected with 4-hydroxytamoxifen (4-OHT, 50 mg/kg) immediately after acute stress exposure or the learning phase of the CFC test. The mice were subjected to the next experiment or test after 7 days to allow Cre-dependent recombination.\n4-OHT (CAS No. 68392-35-8. Sigma, Cat. No. H6278 or Bidepharm, Cat. No. BD00958757) was dissolved in DMSO at a concentration of 62.5 mg/mL and diluted with vehicle (containing 10% Tween 80 and 80% saline) on the day of neuronal tagging. The final concentration of DMSO was kept below 10% to avoid toxicity.\nOne week after neuronal tagging, whether previously tagged SANs were reactivated in TRAP2;Ai14 mice when they were subjected to social stress was assessed. The mice in the first group underwent neuronal tagging in their home cages, and c-Fos expression was induced by sucrose pellets. The mice in the second group were subjected to neuronal tagging in response to foot shock exposure, and c-Fos expression was induced by sucrose pellets. The mice in the third group were subjected to neuronal tagging in response to foot shock exposure, and c-Fos expression was induced by social stress (one CD-1 mouse was placed in the home cage). The mice were then sacrificed 90 min after sucrose pellet feeding or social stress exposure, and c-Fos immunofluorescence staining was performed. The number of c-Fos-positive neurons was counted to determine whether reward and cross-strain social stress could activate neurons in the SuM.\nAn AAV vector was used to label and manipulate specific neurons or determine the calcium concentration. To manipulate the neuronal activity in the SuM, AAV2/9-hSyn-hM3Dq-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0891) or its control vector AAV2/9-hSyn-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-1990) was injected into the SuM of mice.\nTo manipulate the activity of SANs in the SuM, AAV2/9-hSyn-DIO-hM3Dq-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0891) or its control vector AAV2/9-hSyn-DIO-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-1103) was injected into the SuM of TRAP2 mice.\nTo chronically inhibit vSub-SuM circuitry activity, AAV2/Retro-hSyn-Cre (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0278) was injected into the SuM, and AAV2/9-hSyn-DIO-hM4Di-mCherry (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0193) or its control vector AAV2/9-hSyn-DIO-mCherry (titer: 2.00E+12 GC/mL, Braincase, Cat. No. BC-0025) was injected into the vSub of wild-type mice.\nTo determine the calcium concentration in dSub/vSub-SuM projection neurons, AAV2/Retro-hSyn-Cre (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0278) was injected into the SuM, and AAV2/9-hSyn-DIO-GCaMP7b (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-2892) was injected into the dSub/vSub of wild-type mice.\nFor the ex vivo electrophysiological experiment, AAV2/9-hSyn-ChR2-mCherry (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0150) was injected into the vSub of wild-type mice.\nRetrograde neuronal tracing was initially performed via injection of a serotype-2 AAV vector (AAV2/Retro-hSyn-EGFP, titer: 5.00E+12 GC/mL, Taitool, Cat. No. S0237) and CTB-647 (1 µg/µL, Thermo Fisher, Cat. No. C34778) into the SuM of wild-type mice. The mice were then sacrificed after 2 weeks, and the brains were cut into coronal slices for imaging.\nTo precisely trace neuronal afferents projecting to SuMSANs, AAV2/9-Ef1α-DIO-RVG (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0061) and AAV2/9-Ef1α-DIO-mCherry-F2A-TVA (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0207) were injected into the SuM of TRAP2 mice simultaneously. The rabies virus (RV) vector RV-ENVA-ΔG-EGFP (titer: 2.00E+08 IFU/mL, BrainVTA, Cat. No. R01001) was injected into the SuM 2 weeks after neuronal tagging. The mice were then sacrificed after 2 weeks, and the brains were cut into coronal slices for imaging.\nThe mice were anesthetized using isoflurane at a concentration of 1.5–2.0%. A virus was injected into the SuM (AP: –2.8, ML: 0, DV: –4.5 mm), dSub (AP: –2.8, ML: ±0.7, DV: –1.7 mm) or vSub (AP: –3.5, ML: ±3.0, DV: –4.6 mm) according to the experimental design. If only one type of virus needed to be injected into a single brain area, the final volume was typically 150 nL. Otherwise, the final volume of the virus mixture was 200 nL. The viruses were injected at a rate of 50 nL/min. The syringe was held in place for at least 5 min and carefully removed from the brain. The mice were then returned to their home cages, and their health was monitored on the following days. All the mice that underwent surgery were subjected to the subsequent experiment after 2 weeks or more to allow virus expression.\nFor fiber photometry, ceramic ferrules (outer diameter: 2.5 mm, core diameter: 0.2 mm, NA: 0.50) were inserted into the dSub (AP: –2.8, ML: ±0.7, DV: –1.5 mm) or vSub (AP: –3.5, ML: ±3.0, DV: –4.4 mm) 2 weeks after virus injection under the guidance of a laser (wavelength: 470 nm). Calcium imaging was conducted at least 1 week after ferrule implementation.\nCommercially available equipment (Thinker Tech) was used to determine the calcium concentration. The fluorescence signal was activated by a laser at 470 nm, and the signal was transmitted through a low-autofluorescence fiber-optic patch cord and rotary (doric lenses) and collected. The final activation intensity was set to ~40 µW. The sampling rate was 50 Hz for all the recordings. The mice were habituated to the fiber-optic patch cord for 3 consecutive days before recording. A TTL lasting 0.1 s was delivered by the software to mark the timepoint when the mouse moved from a closed arm to an open arm in the EPM (USB-IO box, Noldus). Continuous data were stored as *.tdms files and analyzed using custom-made software in MATLAB.\nTo manipulate neuronal activity in the SuM in wild-type and TRAP2 mice, CNO (5 mg/kg; Cayman, Cat. No. 25780) was injected i.p. 30 min before behavioral tests were performed. For chronic inhibition of circuit activity, CNO was administered orally (25 mg/L).\nFor acute and chronic experiments, CNO was dissolved in DMSO at a concentration of 10 mg/mL and stored at –20°C or in saline at a concentration of 1 mg/mL and stored at –80°C. The storage solution was diluted with saline to a concentration of 0.75 mg/mL to prepare a working solution for acute manipulation or to a concentration of 25 mg/L to prepare a working solution for chronic inhibition on the day of the experiment.\nThe mice were anesthetized with 20% urethane and perfused with PBS or saline. The mouse brain was dissected and immersed in 4% paraformaldehyde (PFA) at 4°C overnight. The PFA solution was then replaced with a 30% sucrose solution. After the brain sank to the bottom, it was embedded in optimal cutting temperature (OCT) compound and frozen in a cryostat (CM1950, Leica). Coronal slices (40 µm) were cut and collected in a 24-well plate. After the residual OCT was removed with PBS, the slices were blocked with 0.3% Triton X-100 and 10% normal donkey serum at room temperature (RT) for 2 hr. The slices were then incubated with diluted primary antibody (rabbit anti-c-Fos, 1:500, Cell Signaling Technology, Cat. No. 2250, RRID:AB_2247211) at 4°C overnight. The next day, the slices were washed and incubated with secondary antibody dilutions (donkey anti-rabbit conjugated to AF647, 1:500, Jackson ImmunoResearch, Cat. No. 706-605-148, RRID:AB_2340476) at RT for 2 hr. After washing, the slices were transferred to slides and mounted with an antifade reagent (Thermo Fisher, Cat. No. P36981). Images of the slices were collected using a Zeiss M2 microscope and then analyzed.\nThe samples were processed as described in the Immunofluorescence section. Slices (10 µm thick) were cut and dried at RT for ~15 min and then heated at 37°C for 30 min in a hybridization oven. The baked slides were then moved to precooled 4% PFA solution for fixation (~15 min). The slices were dehydrated in 100% ethanol at RT for 5 min. The dehydration step was then repeated. The following steps were performed as recommended by the manufacturer (ACDbio, Cat. No. 323100). To label vglut1, vglut2, and vgat RNA, the slices were hybridized with Mm-Slc17a7 (ACDbio, Cat. No. 416631-C1), Mm-Slc17a6 (ACDbio, Cat. No. 319171-C1) and Mm-Slc32a1 (ACDbio, Cat. No. 319191-C3), respectively. The samples were then stained with Opal dye.\nAfter confirming RNA staining, the slices were blocked in 10% normal goat serum for 1 hr. The blocking solution was removed, and the slices were incubated with diluted primary antibody (mouse anti-GFP, 1:500, Thermo Fisher, Cat. No. MA5-16256; rabbit anti-tdTomato, 1:500, Oasis BioFarm, Cat. No. OB-PRB013) at 4°C overnight. The slides were washed with PBS and incubated with secondary antibody solution (goat anti-rabbit/mouse conjugated to HRP, Proteintech, Cat. No. PR30009) at RT for 1 hr (in the dark). After washing, the slices were stained with Opal dye at RT for 30 min. The slides were then mounted and imaged.\nMouse whole blood was collected 90 min after CNO injection (5 mg/kg, i.p.). The samples were subsequently centrifuged at 2000×g for 10 min at 4°C after being left to stand at RT for 30–60 min. The supernatant was then carefully collected as the serum. Corticosterone levels were then measured using a commercial ELISA kit (Beyotime, Cat. No. PC100) according to the manufacturer’s instructions.\nThe mice were anesthetized with urethane and then decapitated. The brain was quickly removed from the skull and immersed in precooled sucrose-based cutting solution (in mM, 225 sucrose, 2.5 KCl, 1.25 NaH2PO4, 26 NaHCO3, 11 D-glucose, 5 L-ascorbic acid, 3 sodium pyruvate, 7 MgSO4·7H2O, 0.5 CaCl2). After being fixed on a metal plate, the brain was cut into 300 µm slices. The slices were then collected and incubated in artificial cerebrospinal fluid (ACSF) containing (in mM): 122 NaCl, 2.5 KCl, 1.25 NaH2PO4, 26 NaHCO3, 11 D-glucose, 2 MgSO4·7H2O, and 2 CaCl2 equilibrated with 95% O2-5% CO2 at 28°C for at least 1 hr before recording.\nTo evoke PSCs using light, whole-cell recording of global SuM neurons near axons illuminated by ChR2-mCherry injected into the vSub was performed. The final light intensity at the end of the optical fiber was set to ~5 mW/mm2. Then, blue light (470 nm, width: 10 ms, frequency: 0.05 Hz) was used to evoke optically induced PSCs (oPSCs). DNQX (20 µM) was perfused into the ACSF to isolate AMPA-dependent currents from the oPSCs after establishing a 5 min baseline.\nThe mice were anesthetized with 2% isoflurane and fixed to a stereotaxic device. A 16-channel microwire electrode array (KD-MWA, KedouBC), a 4×4 array of 25 µm NiTi wires spaced 200 µm apart, was slowly inserted into the mouse brain. Four small nails were first inserted into the skull, with a ground wire presoldered onto one of them. The electrode array was left in the SuM (AP: –2.8, ML: 0, DV: –4.55 mm), and then dental cement was used to fix it onto the skull.\nThe mice were introduced to the recording area at least 1 week after surgery. During the day, the electrode array attached to the mouse skull was connected to the OpenEphys acquisition board through an Intan head stage. An OpenEphys GUI was used to visualize and save electrical signals. The mice were allowed to move freely inside a home cage-like arena for at least 20 min. Only data acquired during the last 5 min were saved and then analyzed via Python-based software.\nSpikes were detected and divided into single units using SpikeInterface (Buccino et al., 2020; https://github.com/SpikeInterface/spikeinterface; Buccino et al., 2026). Continuous binary raw data (sampling rate: 30 kHz) were imported and filtered using a bandpass butter filter at a cutoff value of 300 Hz. Movement artifacts were removed by subtracting medians across all channels. The templates were then extracted and fitted using SpyKING CIRCUS 2 inside the SpikeInterface frame. Neurons meeting the following criteria were excluded from the subsequent analysis: (1) spikes with refracting period violations smaller than 1 ms, accounting for more than 2% of total spikes, and (2) a total frequency lower than 0.2 Hz. Neurons with spike frequencies ≥10 Hz were considered RNs, whereas those with spike frequencies <10 Hz were considered FNs, as reported in a previous study (Li et al., 2022b). The local field potential was extracted and analyzed using the power spectrum analysis tool in MATLAB.\nThe data are presented as the means ± SEMs in all the figures in this manuscript. For normally distributed data with equal standard deviations, independent t tests for unpaired data and dependent t tests for paired data were performed in GraphPad software to compare mean values between two groups. Otherwise, the Mann-Whitney test for unpaired data and the Wilcoxon test for paired data were performed instead. One-way ANOVA followed by Tukey’s post hoc test and two-way ANOVA followed by Sidak’s post hoc test were performed to compare mean values among more than three groups. A p value less than 0.05 was considered to indicate a statistically significant difference between groups. ‘*’ represents p<0.05, ‘**’ represents p<0.01, and ‘***’ represents p<0.001.\n\n\n### Acute stress exposure\nThe mice were exposed to acute stress according to a previously reported procedure (Marcus et al., 2020); specifically, they were exposed to 20 foot shocks with an intensity of 0.5 mA that were randomly delivered across 10 min. The foot shocks were delivered in a fear conditioning box (Med Associates).\n\n\n### Chronic stress exposure\nWe used a CSDS protocol to induce anxiety and depression in the mice (Kim et al., 2017). Each C57BL6/J mouse was housed with one CD-1 mouse, and the mice were separated by a transparent plexiglass board with several small holes. The mice were allowed to contact each other directly for 10 min every day for 10 days. Body weight was measured and recorded every day before contact.\n\n\n### OF test\nThe OF test was carried out in a 50×50×35 cm3 arena made of white plexiglass. The mice were allowed to move freely in the arena for 10 min, and the distance the mice traveled and the time the mice spent in the central area were recorded and analyzed.\n\n\n### EPM test\nThe EPM consisted of two open arms (30×7 cm2), two closed arms (30×7×14 cm3), and a central area (7×7 cm2). The mice were allowed to move freely in the arena for 10 min, and the time the mice spent in the open arms was recorded and analyzed.\n\n\n### EZM test\nThe EZM was used to test whether the mice were anxious. The EZM used in this study was made of organic glass (height of 60 cm), with an inner diameter of 51.8 cm and an outer diameter of 65 cm. The closed arms of the EZM were separated by two 15-cm-high pieces of organic glass, the outer one of which was opaque. After a 15 min habituation period, the mice were placed into the EZM and allowed to move freely for 10 min. Videos were recorded and analyzed using EthoVisionXT software. The time that the mice spent in the open arms was compared between the groups to evaluate anxiety-like behavior.\n\n\n### Reward seeking\nOn the first day, sucrose pellets were provided for habituation. The mice were then deprived of food on the second day. On the third day, the mice were placed in a new home cage without bedding and allowed to eat freely for 2 hr. The pellets were weighed to evaluate whether the experimental manipulation influenced reward seeking by the mice.\n\n\n### Social interaction test\nThe SIT was conducted as previously described (Kim et al., 2017). The SIT involved two 2.5 min phases. In the first phase (no-target phase), we placed each C57BL6/J mouse in the periphery of the arena opposite the social interaction area (SIA). We allowed the animal to explore the arena freely. In the second phase (with-target phase), each C57BL6/J mouse was placed in the arena again, with a new CD-1 mouse in the SIA. The social interaction ratio (SIR) was calculated using the following formula:Socialinteractionratio(SIR)=TimeinSIAWith−target−TimeinSIANo-targetTimeinSIAWith−target+TimeinSIANo−target\\begin{document}$$\\displaystyle \\rm {Social \\> interaction\\\\gtratio\\\\gt\\left (SIR\\right)\\\\gt{=}\\frac{Time\\> in \\\\gtSIA^{With{-}target}{-}Time\\> in\\\\gtSIA^{No\\mathrm{-}target}}{Time\\> in \\\\gtSIA^{With{-}target}{+}Time\\> in \\> SIA^{No{-}target}}}$$\\end{document}\n\n\n### Neuronal tagging of SANs\nTo specifically label SANs, TRAP2 or TRAP2;Ai14 mice were intraperitoneally (i.p.) injected with 4-hydroxytamoxifen (4-OHT, 50 mg/kg) immediately after acute stress exposure or the learning phase of the CFC test. The mice were subjected to the next experiment or test after 7 days to allow Cre-dependent recombination.\n4-OHT (CAS No. 68392-35-8. Sigma, Cat. No. H6278 or Bidepharm, Cat. No. BD00958757) was dissolved in DMSO at a concentration of 62.5 mg/mL and diluted with vehicle (containing 10% Tween 80 and 80% saline) on the day of neuronal tagging. The final concentration of DMSO was kept below 10% to avoid toxicity.\n\n\n### Observation of the reactivation of SANs\nOne week after neuronal tagging, whether previously tagged SANs were reactivated in TRAP2;Ai14 mice when they were subjected to social stress was assessed. The mice in the first group underwent neuronal tagging in their home cages, and c-Fos expression was induced by sucrose pellets. The mice in the second group were subjected to neuronal tagging in response to foot shock exposure, and c-Fos expression was induced by sucrose pellets. The mice in the third group were subjected to neuronal tagging in response to foot shock exposure, and c-Fos expression was induced by social stress (one CD-1 mouse was placed in the home cage). The mice were then sacrificed 90 min after sucrose pellet feeding or social stress exposure, and c-Fos immunofluorescence staining was performed. The number of c-Fos-positive neurons was counted to determine whether reward and cross-strain social stress could activate neurons in the SuM.\n\n\n### Viral vectors\nAn AAV vector was used to label and manipulate specific neurons or determine the calcium concentration. To manipulate the neuronal activity in the SuM, AAV2/9-hSyn-hM3Dq-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0891) or its control vector AAV2/9-hSyn-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-1990) was injected into the SuM of mice.\nTo manipulate the activity of SANs in the SuM, AAV2/9-hSyn-DIO-hM3Dq-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0891) or its control vector AAV2/9-hSyn-DIO-EGFP (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-1103) was injected into the SuM of TRAP2 mice.\nTo chronically inhibit vSub-SuM circuitry activity, AAV2/Retro-hSyn-Cre (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0278) was injected into the SuM, and AAV2/9-hSyn-DIO-hM4Di-mCherry (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0193) or its control vector AAV2/9-hSyn-DIO-mCherry (titer: 2.00E+12 GC/mL, Braincase, Cat. No. BC-0025) was injected into the vSub of wild-type mice.\nTo determine the calcium concentration in dSub/vSub-SuM projection neurons, AAV2/Retro-hSyn-Cre (titer: 2.00E+12 GC/mL, Taitool, Cat. No. S0278) was injected into the SuM, and AAV2/9-hSyn-DIO-GCaMP7b (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-2892) was injected into the dSub/vSub of wild-type mice.\nFor the ex vivo electrophysiological experiment, AAV2/9-hSyn-ChR2-mCherry (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0150) was injected into the vSub of wild-type mice.\n\n\n### Neuronal tracing\nRetrograde neuronal tracing was initially performed via injection of a serotype-2 AAV vector (AAV2/Retro-hSyn-EGFP, titer: 5.00E+12 GC/mL, Taitool, Cat. No. S0237) and CTB-647 (1 µg/µL, Thermo Fisher, Cat. No. C34778) into the SuM of wild-type mice. The mice were then sacrificed after 2 weeks, and the brains were cut into coronal slices for imaging.\nTo precisely trace neuronal afferents projecting to SuMSANs, AAV2/9-Ef1α-DIO-RVG (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0061) and AAV2/9-Ef1α-DIO-mCherry-F2A-TVA (titer: 5.00E+12 GC/mL, BrainVTA, Cat. No. PT-0207) were injected into the SuM of TRAP2 mice simultaneously. The rabies virus (RV) vector RV-ENVA-ΔG-EGFP (titer: 2.00E+08 IFU/mL, BrainVTA, Cat. No. R01001) was injected into the SuM 2 weeks after neuronal tagging. The mice were then sacrificed after 2 weeks, and the brains were cut into coronal slices for imaging.\n\n\n### Stereotaxic surgery\nThe mice were anesthetized using isoflurane at a concentration of 1.5–2.0%. A virus was injected into the SuM (AP: –2.8, ML: 0, DV: –4.5 mm), dSub (AP: –2.8, ML: ±0.7, DV: –1.7 mm) or vSub (AP: –3.5, ML: ±3.0, DV: –4.6 mm) according to the experimental design. If only one type of virus needed to be injected into a single brain area, the final volume was typically 150 nL. Otherwise, the final volume of the virus mixture was 200 nL. The viruses were injected at a rate of 50 nL/min. The syringe was held in place for at least 5 min and carefully removed from the brain. The mice were then returned to their home cages, and their health was monitored on the following days. All the mice that underwent surgery were subjected to the subsequent experiment after 2 weeks or more to allow virus expression.\nFor fiber photometry, ceramic ferrules (outer diameter: 2.5 mm, core diameter: 0.2 mm, NA: 0.50) were inserted into the dSub (AP: –2.8, ML: ±0.7, DV: –1.5 mm) or vSub (AP: –3.5, ML: ±3.0, DV: –4.4 mm) 2 weeks after virus injection under the guidance of a laser (wavelength: 470 nm). Calcium imaging was conducted at least 1 week after ferrule implementation.\n\n\n### Fiber photometry\nCommercially available equipment (Thinker Tech) was used to determine the calcium concentration. The fluorescence signal was activated by a laser at 470 nm, and the signal was transmitted through a low-autofluorescence fiber-optic patch cord and rotary (doric lenses) and collected. The final activation intensity was set to ~40 µW. The sampling rate was 50 Hz for all the recordings. The mice were habituated to the fiber-optic patch cord for 3 consecutive days before recording. A TTL lasting 0.1 s was delivered by the software to mark the timepoint when the mouse moved from a closed arm to an open arm in the EPM (USB-IO box, Noldus). Continuous data were stored as *.tdms files and analyzed using custom-made software in MATLAB.\n\n\n### Chemogenetic manipulation\nTo manipulate neuronal activity in the SuM in wild-type and TRAP2 mice, CNO (5 mg/kg; Cayman, Cat. No. 25780) was injected i.p. 30 min before behavioral tests were performed. For chronic inhibition of circuit activity, CNO was administered orally (25 mg/L).\nFor acute and chronic experiments, CNO was dissolved in DMSO at a concentration of 10 mg/mL and stored at –20°C or in saline at a concentration of 1 mg/mL and stored at –80°C. The storage solution was diluted with saline to a concentration of 0.75 mg/mL to prepare a working solution for acute manipulation or to a concentration of 25 mg/L to prepare a working solution for chronic inhibition on the day of the experiment.\n\n\n### Immunofluorescence\nThe mice were anesthetized with 20% urethane and perfused with PBS or saline. The mouse brain was dissected and immersed in 4% paraformaldehyde (PFA) at 4°C overnight. The PFA solution was then replaced with a 30% sucrose solution. After the brain sank to the bottom, it was embedded in optimal cutting temperature (OCT) compound and frozen in a cryostat (CM1950, Leica). Coronal slices (40 µm) were cut and collected in a 24-well plate. After the residual OCT was removed with PBS, the slices were blocked with 0.3% Triton X-100 and 10% normal donkey serum at room temperature (RT) for 2 hr. The slices were then incubated with diluted primary antibody (rabbit anti-c-Fos, 1:500, Cell Signaling Technology, Cat. No. 2250, RRID:AB_2247211) at 4°C overnight. The next day, the slices were washed and incubated with secondary antibody dilutions (donkey anti-rabbit conjugated to AF647, 1:500, Jackson ImmunoResearch, Cat. No. 706-605-148, RRID:AB_2340476) at RT for 2 hr. After washing, the slices were transferred to slides and mounted with an antifade reagent (Thermo Fisher, Cat. No. P36981). Images of the slices were collected using a Zeiss M2 microscope and then analyzed.\n\n\n### RNA fluorescence in situ hybridization\nThe samples were processed as described in the Immunofluorescence section. Slices (10 µm thick) were cut and dried at RT for ~15 min and then heated at 37°C for 30 min in a hybridization oven. The baked slides were then moved to precooled 4% PFA solution for fixation (~15 min). The slices were dehydrated in 100% ethanol at RT for 5 min. The dehydration step was then repeated. The following steps were performed as recommended by the manufacturer (ACDbio, Cat. No. 323100). To label vglut1, vglut2, and vgat RNA, the slices were hybridized with Mm-Slc17a7 (ACDbio, Cat. No. 416631-C1), Mm-Slc17a6 (ACDbio, Cat. No. 319171-C1) and Mm-Slc32a1 (ACDbio, Cat. No. 319191-C3), respectively. The samples were then stained with Opal dye.\n\n\n### Costaining of protein and RNA\nAfter confirming RNA staining, the slices were blocked in 10% normal goat serum for 1 hr. The blocking solution was removed, and the slices were incubated with diluted primary antibody (mouse anti-GFP, 1:500, Thermo Fisher, Cat. No. MA5-16256; rabbit anti-tdTomato, 1:500, Oasis BioFarm, Cat. No. OB-PRB013) at 4°C overnight. The slides were washed with PBS and incubated with secondary antibody solution (goat anti-rabbit/mouse conjugated to HRP, Proteintech, Cat. No. PR30009) at RT for 1 hr (in the dark). After washing, the slices were stained with Opal dye at RT for 30 min. The slides were then mounted and imaged.\n\n\n### Corticosterone assay\nMouse whole blood was collected 90 min after CNO injection (5 mg/kg, i.p.). The samples were subsequently centrifuged at 2000×g for 10 min at 4°C after being left to stand at RT for 30–60 min. The supernatant was then carefully collected as the serum. Corticosterone levels were then measured using a commercial ELISA kit (Beyotime, Cat. No. PC100) according to the manufacturer’s instructions.\n\n\n### Ex vivo electrophysiology\nThe mice were anesthetized with urethane and then decapitated. The brain was quickly removed from the skull and immersed in precooled sucrose-based cutting solution (in mM, 225 sucrose, 2.5 KCl, 1.25 NaH2PO4, 26 NaHCO3, 11 D-glucose, 5 L-ascorbic acid, 3 sodium pyruvate, 7 MgSO4·7H2O, 0.5 CaCl2). After being fixed on a metal plate, the brain was cut into 300 µm slices. The slices were then collected and incubated in artificial cerebrospinal fluid (ACSF) containing (in mM): 122 NaCl, 2.5 KCl, 1.25 NaH2PO4, 26 NaHCO3, 11 D-glucose, 2 MgSO4·7H2O, and 2 CaCl2 equilibrated with 95% O2-5% CO2 at 28°C for at least 1 hr before recording.\nTo evoke PSCs using light, whole-cell recording of global SuM neurons near axons illuminated by ChR2-mCherry injected into the vSub was performed. The final light intensity at the end of the optical fiber was set to ~5 mW/mm2. Then, blue light (470 nm, width: 10 ms, frequency: 0.05 Hz) was used to evoke optically induced PSCs (oPSCs). DNQX (20 µM) was perfused into the ACSF to isolate AMPA-dependent currents from the oPSCs after establishing a 5 min baseline.\n\n\n### In vivo electrophysiology\nThe mice were anesthetized with 2% isoflurane and fixed to a stereotaxic device. A 16-channel microwire electrode array (KD-MWA, KedouBC), a 4×4 array of 25 µm NiTi wires spaced 200 µm apart, was slowly inserted into the mouse brain. Four small nails were first inserted into the skull, with a ground wire presoldered onto one of them. The electrode array was left in the SuM (AP: –2.8, ML: 0, DV: –4.55 mm), and then dental cement was used to fix it onto the skull.\nThe mice were introduced to the recording area at least 1 week after surgery. During the day, the electrode array attached to the mouse skull was connected to the OpenEphys acquisition board through an Intan head stage. An OpenEphys GUI was used to visualize and save electrical signals. The mice were allowed to move freely inside a home cage-like arena for at least 20 min. Only data acquired during the last 5 min were saved and then analyzed via Python-based software.\nSpikes were detected and divided into single units using SpikeInterface (Buccino et al., 2020; https://github.com/SpikeInterface/spikeinterface; Buccino et al., 2026). Continuous binary raw data (sampling rate: 30 kHz) were imported and filtered using a bandpass butter filter at a cutoff value of 300 Hz. Movement artifacts were removed by subtracting medians across all channels. The templates were then extracted and fitted using SpyKING CIRCUS 2 inside the SpikeInterface frame. Neurons meeting the following criteria were excluded from the subsequent analysis: (1) spikes with refracting period violations smaller than 1 ms, accounting for more than 2% of total spikes, and (2) a total frequency lower than 0.2 Hz. Neurons with spike frequencies ≥10 Hz were considered RNs, whereas those with spike frequencies <10 Hz were considered FNs, as reported in a previous study (Li et al., 2022b). The local field potential was extracted and analyzed using the power spectrum analysis tool in MATLAB.\n\n\n### Statistical analysis\nThe data are presented as the means ± SEMs in all the figures in this manuscript. For normally distributed data with equal standard deviations, independent t tests for unpaired data and dependent t tests for paired data were performed in GraphPad software to compare mean values between two groups. Otherwise, the Mann-Whitney test for unpaired data and the Wilcoxon test for paired data were performed instead. One-way ANOVA followed by Tukey’s post hoc test and two-way ANOVA followed by Sidak’s post hoc test were performed to compare mean values among more than three groups. A p value less than 0.05 was considered to indicate a statistically significant difference between groups. ‘*’ represents p<0.05, ‘**’ represents p<0.01, and ‘***’ represents p<0.001.", "domain": "affective_neuroscience"}
{"source": "PMC13100072", "title": "Impaired regional structure-function coupling as novel neurophenotype: mechanistic insights and diagnostic exploration in treatment-resistant depression", "text": "# Impaired regional structure-function coupling as novel neurophenotype: mechanistic insights and diagnostic exploration in treatment-resistant depression\n\n## Abstract\nTreatment‑resistant depression (TRD) is one of the toughest clinical challenges in psychiatry, characterized by high recurrence, heavy disease burden, and elevated suicide risk. Neuroimaging studies have mainly focused on single‑modality data, overlooking interactions between brain structure and function. This cross‑sectional study integrated multimodal MRI to examine alterations of structure–function coupling (SFC) and their associations with symptoms and diagnostic potential in TRD and non‑treatment‑resistant depression (nTRD). A total of 72 TRD patients, 152 nTRD patients, and 84 healthy controls were recruited. SFC was computed for each brain region from whole‑brain structural and functional data, and group differences, symptom correlations, and diagnostic classification were analyzed. TRD patients showed marked SFC decoupling in the right middle frontal gyrus, left inferior parietal lobule, left precentral gyrus, and right superior temporal gyrus. In nTRD, higher hippocampal SFC correlated with suicidal ideation and despair. Machine‑learning models based on SFC achieved high accuracy in distinguishing TRD from nTRD, outperforming previous unimodal approaches. These findings indicate that altered structure–function coordination represents a specific neural phenotype of TRD, linking network‑level decoupling with clinical symptoms and supporting its potential as an imaging‑based biomarker for individualized treatment. Trial Registration: ChiCTR2200055320, https://www.chictr.org.cn/showproj.aspx?proj=132558. Registration date: January 1, 2022.\n\n## Full Text\n\n\n### Introduction\nTreatment-resistant depression (TRD) is commonly defined with patients who do not respond well to two or more antidepressants of sufficient dosage and duration1–3, which makes TRD one of the most challenging clinical issues. The latest epidemiological surveys have estimated that existing antidepressants are ineffective for one-third to even one-half of Major Depressive Disorder (MDD) patients4, and nearly one-third of adults with medication-treated MDD have TRD5. Thus, TRD is now characterized by high prevalence rate, high relapse rate, heavy disease burden, and high suicide risk5–7. What’s worse, The COVID-19 pandemic has exacerbated this threat and brought new challenges to the diagnosis and treatment of depression, especially TRD8.\nThe existing diagnosis of TRD relies on clinical symptoms and continuous trials of antidepressant treatment plans and observation of efficacy, while lacks early identification. Prolonged diagnosis and treatment time increases psychological distress and risk of suicide, and leads to inefficient use of medical resources and increased socioeconomic burden9–11. This underscores the need for reliable biological markers to enable early identification and timely intervention. Given that TRD involves both structural and functional brain alterations, neuroimaging provides a suitable modality for detecting such markers, which may improve prognosis. Research indicates that TRD and non-treatment-resistant depression (nTRD) differ in both structural and functional brain characteristics, which are best assessed with neuroimaging modalities such as magnetic resonance imaging (MRI) that provide high spatial resolution12–20. This makes MRI particularly suitable for identifying neural markers of TRD compared with modalities focusing solely on electrophysiological activity.\nPrevious studies have primarily examined structural or functional neuroimaging modalities separately, with limited attention to the interactions between brain structure and function. With advances in network science and MRI techniques, numerous models, from statistical to biophysical, have explored the interplay between structural and functional connectivity21. Recent evidence suggests that functional coupling arises from high‑order collective interactions among neural assemblies, transcending a simple one‑to‑one mapping between structural and functional links22,23. Impairments in structure–function coordination have been linked to altered network efficiency, disrupted emotional regulation, and disease progression in neural-psychiatric disorders24. Yet, this correspondence remains moderate, as structural connectivity typically explains less than half of the variance in measured functional connectivity25. This heterogeneity, together with the limited sensitivity of traditional methods, has contributed to the unclear neural alterations of TRD and the lack of reliable neuroimaging biomarkers18,26,27.\nIn order to explore the brain alteration and its association with clinical characteristics of mental disorders more accurately, emerging studies have turned attention to the coupling relationship between structure and function. Evidence has revealed that brain structure and function are closely related and inherently coupled24,28. This heterogeneous structure-function correspondence is called structure-function coupling (SFC), calculated by varying models using measures reflecting the degree of structural and functional connectivity21. SFC reflects the correspondence between functional connectivity patterns and their underlying structural architecture, indicating the degree to which functional dynamics are constrained by anatomical pathways24,29. Previous studies have yielded positive progress in SFC impairment and its relationship with symptoms in MDD, bipolar disorder and schizophrenia28,30–33, while the SFC changes in TRD need further exploration.\nMachine learning (ML) has become an effective approach for identifying neurobiological biomarkers of depression. By employing models such as decision‑tree, random‑forest, and support‑vector regression, ML handles complex high‑dimensional relationships among variables and is relatively insensitive to multicollinearity34, making it well suited for multimodal neuroimaging data. Effectiveness of the method has been validated when using multiple types of neural features, including amplitude of low frequency fluctuation (ALFF), gray matter morphology and SFC35. Recent studies have demonstrated its potential in predicting risk, differentiating diagnosis, and forecasting treatment outcomes in MDD and TRD36–38.\nTherefore, we designed this cross-sectional study using neuroimaging data of 166 patients with nTRD, 74 patients with TRD and 91 healthy controls (HC), aimed to verify 3 hypotheses: 1) there is significant abnormality of regional SFC values in TRD and nTRD compared with HC; 2) the regional SFC values have correlation with clinical symptoms of TRD and nTRD; and 3) by constructing machine learning classification models, SFC values can effectively differentiate between TRD and nTRD, revealing potential biomarkers for differential diagnosis of the disease.\n\n\n### Methods\nThe Medical Ethics Committee of the First Affiliated Hospital, Zhejiang University School of Medicine, has approved this cross-sectional study, ethics approval number IIT20240088C-R1. All the procedures in this study were designed and carried out in accordance with the Declaration of Helsinki, and we followed the Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guideline.\nParticipants aged between 18 to 60 were recruited from January 1, 2023, to June 30, 2024, consisting of 74 TRD patients, 166 nTRD patients and 91 HC. After excluding participants with excessive head motion, incomplete imaging data, or missing clinical records, the final analyses included 72 TRD patients, 152 nTRD patients, and 84 healthy controls. Patients were recruited from outpatient psychiatry clinics at The First Affiliated Hospital of Zhejiang University in Hangzhou, China, and the HC were recruited from the general population through local social media.\nAll participants were required to be right-handed, Han Chinese, sign the informed consent form and cooperate to complete all the assessments. All patients met the diagnostic criteria for MDD as outlined in the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5). The severity of depression and anxiety symptoms in all patients was assessed using the 24-item Hamilton Depression Rating Scale (HAMD-24) and Hamilton Anxiety Rating Scale (HAMA), respectively. Suicide ideation was assessed using Beck Scale for Suicide Ideation Scale (BSI). Anhedonia severity was measured using the Snaith-Hamilton Pleasure Scale (SHAPS). Based on these assessments, the patients were divided into two groups: nTRD group and TRD group. Inclusion criteria for nTRD group were considered to be responding after treatment with oral antidepressants or other therapies in remission, with a decrease of more than 50% in the HAMD-24 score, without psychotic symptoms and relapsed before enrollment. Inclusion criteria for TRD group were: (1) HAMD-24 total score higher than 20; (2) inadequate response to a minimum of two antidepressants despite adequacy of the treatment trial and adherence to treatment; (3) without psychotic symptoms13. Exclusion criteria for all participants were: (1) the presence or history of severe medical, neurological, or psychiatric disorders; (2) any condition that was not suitable for MRI scanning; and (3) currently pregnant or breastfeeding.\nAll MRI scans were performed on a GE Signa HDXT 3.0 T MRI System with a 32-channel head coil. A high-resolution (1 mm × 1 mm × 1 mm) 3D T1-weighted image wasacquired for each participant using a Sagital 3D Brain Volume (BRAVO) sequence with the following parameters: repetition time (TR) = minimum (7.8 ms), echo time (TE) = minimum (2.99 ms), inversion time (TI) = 1100 ms, flip angle = 7 degrees, field of view (FOV) = 256 mm × 256 mm, Matrix = 256 mm × 256 mm, slice thickness = 1 mm, bandwidth = 62.50 kHz, number of excitations (NEX) = 1, slices=192, acquisition time = 5 min and 33 s.\nFunctional images were acquired for each participant using a 2D Gradient Recalled Echo (GRE) Echo Planar Imaging (EPI) sequence with the following parameters: flip angle = 90°, TE = 30 ms, TR = 2000 ms, FOV = 220 mm × 220 mm, Matrix = 64 mm × 64 mm, slice thickness = 4 mm, spacing = 0.6 mm, slice order = interleaved and bottom-up, slices = 33, measurements = 180, acquisition time = 6 min.\nFor structural MRI (sMRI) data, preprocessing was performed using the Computational Anatomy Toolbox (CAT12, Christian Gaser, Department of Psychiatry, University of Jena), based on Statistical Parametric Mapping 12 (SPM12, https://www.fil.ion.ucl.ac.uk/spm/software/spm12). First, we inspected the original images of all participants and excluded those with image quality lower than a B-. Next, individual sMRI images were segmented into gray matter (GM), white matter (WM), and cerebrospinal fluid (CSF) using the unified segmentation model. Total intracranial volume (TIV), calculated as the sum of GM, WM, and CSF volumes, was included as a covariate in subsequent statistical analyses. Then, the GM images were normalized to Montreal Neurological Institute (MNI) space using the high-dimensional “Diffeomorphic Anatomical Registration Through Exponential Lie Algebra” (DARTEL) approach and nonlinearly modulated to compensate for the effects of spatial normalization. Finally, the resulting GM images were resampled to 1.5 mm³ voxels and spatially smoothed with a Gaussian kernel of 6 mm full width at half maximum (FWHM) to enhance the signal-to-noise ratio (SNR) and improve anatomical correspondence between sulci and gyri, resulting in a grey matter volume (GMV) map for each participant.\nFunctional MRI (fMRI) data were preprocessed using SPM12 and DPARSF software39. The first five time points were discarded to minimize the effects of magnetic field instability40. The remaining images underwent slice-time correction, followed by realignment for head motion correction. A total of 13 participants (including 2 TRD patients, 9 nTRD patients, and 2 healthy controls) were excluded due to excessive head motion, defined as translational movement >2.0 mm, rotational movement >2.0 degrees, or mean framewise displacement (mFD) > 0.5 mm. Additionally, 5 nTRD patients and 5 health controls were excluded due to incomplete MRI data. Subsequently, all realigned images were segmented into gray matter (GM), white matter (WM), and cerebrospinal fluid (CSF), then spatially normalized to the MNI template and resampled to a voxel size of 1.5 mm³. The normalized images were spatially smoothed using an isotropic 6 mm full width at half maximum (FWHM) kernel. Finally, the linear trend was removed and the nuisance signals were regressed out, including WM signal, CSF signal, global signal41 and Friston-24 motion parameters.\nALFF and GMV were selected as the functional and structural components for SFC estimation based on their established validity in resting‑state fMRI and structural MRI research. ALFF reflects the amplitude of spontaneous low‑frequency BOLD oscillations and has been associated with local neuronal activity intensity42,43, whereas GMV measures regional gray‑matter architecture. Prior studies have demonstrated that voxel‑wise coupling between ALFF and GMV provides a sensitive index of structure–function integration across a range of neurological and psychiatric conditions44,45. The preprocessed fMRI data were used to calculated an ALFF map for each participant. Briefly, the time course of each voxel was converted to the frequency domain with fast Fourier transform (FFT) to obtain the power spectrum. The square root of the power was calculated and averaged across 0.01–0.08 Hz. This averaged square root was regarded as the ALFF value for each voxel46, thus to obtain the individual ALFF map.\nA regional SFC map was generated for each participant using the Brainnetome Atlas (BNA) and applied through a structural brain atlas (Harvard-Oxford atlas, HOA) for validation analysis after replacement of brain maps47. The BNA divides the brain into 210 cortical and 36 subcortical regions, while the HOA includes 96 cortical and 14 subcortical regions. For each participant, GMV and ALFF values were extracted for all voxels within each brain region. The probability density functions (PDFs) for GMV and ALFF in each region were computed separately using a normal kernel function (ksdensity in MATLAB). Subsequently, the PDFs were derived from the corresponding probability density functions. Finally, the Kullback-Leibler (KL) divergence between the PDFs of GMV and ALFF within each region was calculated. The KL divergence is a statistical measure of the difference between two probability distributions48. Theoretically, the KL divergence of the distribution Q to P is defined as follows:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{D}}}_{\\mathrm{KL}}\\left(\\mathrm{P||Q}\\right)=\\mathop{\\sum }\\limits_{{\\rm{i}}=1}^{{\\rm{n}}}\\left({\\rm{P}}\\left({\\rm{i}}\\right)\\,\\log \\frac{{\\rm{P}}\\left({\\rm{i}}\\right)}{{\\rm{Q}}\\left({\\rm{i}}\\right)}\\right)$$\\end{document}DKLP||Q=∑i=1nPilogPiQiwith P and Q are two PDFs and n is the number of sample points. In the present study, 27 sampling points was chosen conservatively as in previous studies49. Since DKL\n(P | | Q) is not equal to DKL\n(Q | | P), a symmetric measure was derived as follows:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{D}}}_{\\mathrm{KL}}\\left({\\rm{P}},{\\rm{Q}}\\right)=\\mathop{\\sum }\\limits_{{\\rm{i}}=1}^{{\\rm{n}}}\\left({\\rm{P}}\\left({\\rm{i}}\\right)\\,\\log \\frac{{\\rm{P}}\\left({\\rm{i}}\\right)}{{\\rm{Q}}\\left({\\rm{i}}\\right)}+{\\rm{Q}}\\left({\\rm{i}}\\right)\\,\\log \\frac{{\\rm{Q}}\\left({\\rm{i}}\\right)}{{\\rm{P}}\\left({\\rm{i}}\\right)}\\right)$$\\end{document}DKLP,Q=∑i=1nPilogPiQi+QilogQiPi\nFinally, the KL divergence was transformed into a similarity measure as follows:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\rm{KLS}}\\left({\\rm{P}},{\\rm{Q}}\\right)={{\\rm{e}}}^{{-{\\rm{D}}}_{{\\rm{KL}}}\\left({\\rm{P}},{\\rm{Q}}\\right)}$$\\end{document}KLSP,Q=e−DKLP,Qwith e is natural exponential. KL divergence-based similarity (KLS) ranges from 0 to 1, with higher values representing more similar distributions of GMV and ALFF. Moreover, the similarity of GMV and ALFF distributions in the whole brain was calculated for each participant and included as a covariate for further statistical analyses.\nThe SPSS version 26.0 was used for demographic and clinical data statistical analyses. Normality of data distribution was assessed using Shapiro-Wilk test (S-W test). Frequency was used to describe statistics for categorical data, and mean and standard deviation were used to describe statistics for continuous data. Pearson’s correlation test was used to analyze the correlation between continuous variables. One-way analysis of variance (ANOVA), Pearson’s chi-squared test and Bonferroni post-hoc multiple tests were performed on the demographic and clinical data between the three groups.\nTo investigate the altered regional SFC in nTRD and TRD patients, the analysis of covariance was performed between nTRD, TRD, and HC groups. Meanwhile, age, gender, education level, mFD, TIV and brain-wide coupling coefficient were added as covariates in the model, and Bonferroni post-hoc multiple tests were applied for comparing differences in three groups. FDR correction was performed for multiple comparisons with P < 0.05.\nTo further investigate the relationship between the regional SFC and patients’ symptoms, partial correlation analyses were performed separately for certain symptom factors (depression, cognitive impairment, diurnal variation, retardation, sleep disturbance, feelings of despair; anxiety; suicidal ideation; childhood trauma, emotional, physical and sexual abuse; emotional and physical neglect; and anhedonia). Similarly, age, gender, education level, mFD, eTIV and brain-wide coupling coefficient were added as covariates in the model. FDR correction was performed for multiple comparisons with P < 0.05.\nIn order to investigate the reproducibility and repeatability of regional SFC differences, the study first used HOA atlas to corroborate the results based on BNA atlas. Subsequently, half of the participants were randomly selected twice in this study for the split-half validation analysis and their individual regional SFC maps were based on BNA atlas. Analysis of covariance was conducted same as in the previous steps.\nWe utilized the regional SFC values with statistically significant differences in BNA and HOA atlas to train and validate machine learning models. To eliminate differences in scale among features, the StandardScaler method was applied to standardize the feature values, ensuring the stability of the data distribution. Labels were mapped to binary values (0 for TRD and 1 for nTRD) to satisfy the requirements of binary classification tasks.\nTo enhance the robustness of the model evaluation, 10 different random seeds were generated to randomly split the dataset into training and testing sets (80%/20% split).\nFor the XGBoost model, a tree-based boosting algorithm, the hyperparameters were set as follows: the learning rate was set to 0.05, the number of trees (n_estimators) was set to 400, the maximum depth of each tree (max_depth) was set to 10, the subsample ratio was 0.8, and the column sampling ratio (colsample_bytree) was 0.8.\nFor the Support Vector Machine (SVM) model, the Radial Basis Function (RBF) kernel was employed, with the regularization parameter C set to 3 and the gamma parameter set to ‘scale’. Additionally, the probability parameter was enabled to compute probabilistic predictions and plot the ROC curve.\nTo ensure fairness in evaluation, the models were trained and tested on 10 randomly split datasets. The predicted probabilities on the test sets were used to calculate the ROC curve and derive the AUC (Area Under the Curve) for each model. The mean AUC and standard deviation were reported to quantify the variability introduced by the random splits of the data.\nFinally, the ROC curves were plotted to visually compare the performance of the models. The mean AUC values, along with their confidence intervals (mean ± standard deviation), were presented in the plot to clearly demonstrate the performance of the XGBoost and SVM models in the SFC coupling value classification task.\nThe main analytic process is shown in the flowchart of Fig. 1.Fig. 1The flowchart of the main analytic process.a Individual sMRI were preprocessed to obtain a GMV map and an ALFF map. b Individual fMRI data were preprocessed to obtain an ALFF map. c The GMV values and ALFF values of all voxels in each brain region (defined based on the BNA and HOA atlas) were extracted to calculate the probability distribution function. d The similarity of GMV and ALFF probability distribution functions in each region was calculated based on Kullback–Leibler divergence, resulting in a regional SFC map. e Intergroup and validation analyses of SFC values in the three groups and symptom correlation analyses in the diseased group were performed. f Machine learning binary classification recognition model training using SVM and XGBoost.\na Individual sMRI were preprocessed to obtain a GMV map and an ALFF map. b Individual fMRI data were preprocessed to obtain an ALFF map. c The GMV values and ALFF values of all voxels in each brain region (defined based on the BNA and HOA atlas) were extracted to calculate the probability distribution function. d The similarity of GMV and ALFF probability distribution functions in each region was calculated based on Kullback–Leibler divergence, resulting in a regional SFC map. e Intergroup and validation analyses of SFC values in the three groups and symptom correlation analyses in the diseased group were performed. f Machine learning binary classification recognition model training using SVM and XGBoost.\n\n\n### Participants\nParticipants aged between 18 to 60 were recruited from January 1, 2023, to June 30, 2024, consisting of 74 TRD patients, 166 nTRD patients and 91 HC. After excluding participants with excessive head motion, incomplete imaging data, or missing clinical records, the final analyses included 72 TRD patients, 152 nTRD patients, and 84 healthy controls. Patients were recruited from outpatient psychiatry clinics at The First Affiliated Hospital of Zhejiang University in Hangzhou, China, and the HC were recruited from the general population through local social media.\nAll participants were required to be right-handed, Han Chinese, sign the informed consent form and cooperate to complete all the assessments. All patients met the diagnostic criteria for MDD as outlined in the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (DSM-5). The severity of depression and anxiety symptoms in all patients was assessed using the 24-item Hamilton Depression Rating Scale (HAMD-24) and Hamilton Anxiety Rating Scale (HAMA), respectively. Suicide ideation was assessed using Beck Scale for Suicide Ideation Scale (BSI). Anhedonia severity was measured using the Snaith-Hamilton Pleasure Scale (SHAPS). Based on these assessments, the patients were divided into two groups: nTRD group and TRD group. Inclusion criteria for nTRD group were considered to be responding after treatment with oral antidepressants or other therapies in remission, with a decrease of more than 50% in the HAMD-24 score, without psychotic symptoms and relapsed before enrollment. Inclusion criteria for TRD group were: (1) HAMD-24 total score higher than 20; (2) inadequate response to a minimum of two antidepressants despite adequacy of the treatment trial and adherence to treatment; (3) without psychotic symptoms13. Exclusion criteria for all participants were: (1) the presence or history of severe medical, neurological, or psychiatric disorders; (2) any condition that was not suitable for MRI scanning; and (3) currently pregnant or breastfeeding.\n\n\n### MRI data acquisition\nAll MRI scans were performed on a GE Signa HDXT 3.0 T MRI System with a 32-channel head coil. A high-resolution (1 mm × 1 mm × 1 mm) 3D T1-weighted image wasacquired for each participant using a Sagital 3D Brain Volume (BRAVO) sequence with the following parameters: repetition time (TR) = minimum (7.8 ms), echo time (TE) = minimum (2.99 ms), inversion time (TI) = 1100 ms, flip angle = 7 degrees, field of view (FOV) = 256 mm × 256 mm, Matrix = 256 mm × 256 mm, slice thickness = 1 mm, bandwidth = 62.50 kHz, number of excitations (NEX) = 1, slices=192, acquisition time = 5 min and 33 s.\nFunctional images were acquired for each participant using a 2D Gradient Recalled Echo (GRE) Echo Planar Imaging (EPI) sequence with the following parameters: flip angle = 90°, TE = 30 ms, TR = 2000 ms, FOV = 220 mm × 220 mm, Matrix = 64 mm × 64 mm, slice thickness = 4 mm, spacing = 0.6 mm, slice order = interleaved and bottom-up, slices = 33, measurements = 180, acquisition time = 6 min.\n\n\n### MRI data preprocessing\nFor structural MRI (sMRI) data, preprocessing was performed using the Computational Anatomy Toolbox (CAT12, Christian Gaser, Department of Psychiatry, University of Jena), based on Statistical Parametric Mapping 12 (SPM12, https://www.fil.ion.ucl.ac.uk/spm/software/spm12). First, we inspected the original images of all participants and excluded those with image quality lower than a B-. Next, individual sMRI images were segmented into gray matter (GM), white matter (WM), and cerebrospinal fluid (CSF) using the unified segmentation model. Total intracranial volume (TIV), calculated as the sum of GM, WM, and CSF volumes, was included as a covariate in subsequent statistical analyses. Then, the GM images were normalized to Montreal Neurological Institute (MNI) space using the high-dimensional “Diffeomorphic Anatomical Registration Through Exponential Lie Algebra” (DARTEL) approach and nonlinearly modulated to compensate for the effects of spatial normalization. Finally, the resulting GM images were resampled to 1.5 mm³ voxels and spatially smoothed with a Gaussian kernel of 6 mm full width at half maximum (FWHM) to enhance the signal-to-noise ratio (SNR) and improve anatomical correspondence between sulci and gyri, resulting in a grey matter volume (GMV) map for each participant.\nFunctional MRI (fMRI) data were preprocessed using SPM12 and DPARSF software39. The first five time points were discarded to minimize the effects of magnetic field instability40. The remaining images underwent slice-time correction, followed by realignment for head motion correction. A total of 13 participants (including 2 TRD patients, 9 nTRD patients, and 2 healthy controls) were excluded due to excessive head motion, defined as translational movement >2.0 mm, rotational movement >2.0 degrees, or mean framewise displacement (mFD) > 0.5 mm. Additionally, 5 nTRD patients and 5 health controls were excluded due to incomplete MRI data. Subsequently, all realigned images were segmented into gray matter (GM), white matter (WM), and cerebrospinal fluid (CSF), then spatially normalized to the MNI template and resampled to a voxel size of 1.5 mm³. The normalized images were spatially smoothed using an isotropic 6 mm full width at half maximum (FWHM) kernel. Finally, the linear trend was removed and the nuisance signals were regressed out, including WM signal, CSF signal, global signal41 and Friston-24 motion parameters.\n\n\n### Calculation of ALFF\nALFF and GMV were selected as the functional and structural components for SFC estimation based on their established validity in resting‑state fMRI and structural MRI research. ALFF reflects the amplitude of spontaneous low‑frequency BOLD oscillations and has been associated with local neuronal activity intensity42,43, whereas GMV measures regional gray‑matter architecture. Prior studies have demonstrated that voxel‑wise coupling between ALFF and GMV provides a sensitive index of structure–function integration across a range of neurological and psychiatric conditions44,45. The preprocessed fMRI data were used to calculated an ALFF map for each participant. Briefly, the time course of each voxel was converted to the frequency domain with fast Fourier transform (FFT) to obtain the power spectrum. The square root of the power was calculated and averaged across 0.01–0.08 Hz. This averaged square root was regarded as the ALFF value for each voxel46, thus to obtain the individual ALFF map.\n\n\n### Calculation of SFC\nA regional SFC map was generated for each participant using the Brainnetome Atlas (BNA) and applied through a structural brain atlas (Harvard-Oxford atlas, HOA) for validation analysis after replacement of brain maps47. The BNA divides the brain into 210 cortical and 36 subcortical regions, while the HOA includes 96 cortical and 14 subcortical regions. For each participant, GMV and ALFF values were extracted for all voxels within each brain region. The probability density functions (PDFs) for GMV and ALFF in each region were computed separately using a normal kernel function (ksdensity in MATLAB). Subsequently, the PDFs were derived from the corresponding probability density functions. Finally, the Kullback-Leibler (KL) divergence between the PDFs of GMV and ALFF within each region was calculated. The KL divergence is a statistical measure of the difference between two probability distributions48. Theoretically, the KL divergence of the distribution Q to P is defined as follows:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{D}}}_{\\mathrm{KL}}\\left(\\mathrm{P||Q}\\right)=\\mathop{\\sum }\\limits_{{\\rm{i}}=1}^{{\\rm{n}}}\\left({\\rm{P}}\\left({\\rm{i}}\\right)\\,\\log \\frac{{\\rm{P}}\\left({\\rm{i}}\\right)}{{\\rm{Q}}\\left({\\rm{i}}\\right)}\\right)$$\\end{document}DKLP||Q=∑i=1nPilogPiQiwith P and Q are two PDFs and n is the number of sample points. In the present study, 27 sampling points was chosen conservatively as in previous studies49. Since DKL\n(P | | Q) is not equal to DKL\n(Q | | P), a symmetric measure was derived as follows:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{D}}}_{\\mathrm{KL}}\\left({\\rm{P}},{\\rm{Q}}\\right)=\\mathop{\\sum }\\limits_{{\\rm{i}}=1}^{{\\rm{n}}}\\left({\\rm{P}}\\left({\\rm{i}}\\right)\\,\\log \\frac{{\\rm{P}}\\left({\\rm{i}}\\right)}{{\\rm{Q}}\\left({\\rm{i}}\\right)}+{\\rm{Q}}\\left({\\rm{i}}\\right)\\,\\log \\frac{{\\rm{Q}}\\left({\\rm{i}}\\right)}{{\\rm{P}}\\left({\\rm{i}}\\right)}\\right)$$\\end{document}DKLP,Q=∑i=1nPilogPiQi+QilogQiPi\nFinally, the KL divergence was transformed into a similarity measure as follows:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\rm{KLS}}\\left({\\rm{P}},{\\rm{Q}}\\right)={{\\rm{e}}}^{{-{\\rm{D}}}_{{\\rm{KL}}}\\left({\\rm{P}},{\\rm{Q}}\\right)}$$\\end{document}KLSP,Q=e−DKLP,Qwith e is natural exponential. KL divergence-based similarity (KLS) ranges from 0 to 1, with higher values representing more similar distributions of GMV and ALFF. Moreover, the similarity of GMV and ALFF distributions in the whole brain was calculated for each participant and included as a covariate for further statistical analyses.\n\n\n### Statistical analysis\nThe SPSS version 26.0 was used for demographic and clinical data statistical analyses. Normality of data distribution was assessed using Shapiro-Wilk test (S-W test). Frequency was used to describe statistics for categorical data, and mean and standard deviation were used to describe statistics for continuous data. Pearson’s correlation test was used to analyze the correlation between continuous variables. One-way analysis of variance (ANOVA), Pearson’s chi-squared test and Bonferroni post-hoc multiple tests were performed on the demographic and clinical data between the three groups.\nTo investigate the altered regional SFC in nTRD and TRD patients, the analysis of covariance was performed between nTRD, TRD, and HC groups. Meanwhile, age, gender, education level, mFD, TIV and brain-wide coupling coefficient were added as covariates in the model, and Bonferroni post-hoc multiple tests were applied for comparing differences in three groups. FDR correction was performed for multiple comparisons with P < 0.05.\nTo further investigate the relationship between the regional SFC and patients’ symptoms, partial correlation analyses were performed separately for certain symptom factors (depression, cognitive impairment, diurnal variation, retardation, sleep disturbance, feelings of despair; anxiety; suicidal ideation; childhood trauma, emotional, physical and sexual abuse; emotional and physical neglect; and anhedonia). Similarly, age, gender, education level, mFD, eTIV and brain-wide coupling coefficient were added as covariates in the model. FDR correction was performed for multiple comparisons with P < 0.05.\nIn order to investigate the reproducibility and repeatability of regional SFC differences, the study first used HOA atlas to corroborate the results based on BNA atlas. Subsequently, half of the participants were randomly selected twice in this study for the split-half validation analysis and their individual regional SFC maps were based on BNA atlas. Analysis of covariance was conducted same as in the previous steps.\nWe utilized the regional SFC values with statistically significant differences in BNA and HOA atlas to train and validate machine learning models. To eliminate differences in scale among features, the StandardScaler method was applied to standardize the feature values, ensuring the stability of the data distribution. Labels were mapped to binary values (0 for TRD and 1 for nTRD) to satisfy the requirements of binary classification tasks.\nTo enhance the robustness of the model evaluation, 10 different random seeds were generated to randomly split the dataset into training and testing sets (80%/20% split).\nFor the XGBoost model, a tree-based boosting algorithm, the hyperparameters were set as follows: the learning rate was set to 0.05, the number of trees (n_estimators) was set to 400, the maximum depth of each tree (max_depth) was set to 10, the subsample ratio was 0.8, and the column sampling ratio (colsample_bytree) was 0.8.\nFor the Support Vector Machine (SVM) model, the Radial Basis Function (RBF) kernel was employed, with the regularization parameter C set to 3 and the gamma parameter set to ‘scale’. Additionally, the probability parameter was enabled to compute probabilistic predictions and plot the ROC curve.\nTo ensure fairness in evaluation, the models were trained and tested on 10 randomly split datasets. The predicted probabilities on the test sets were used to calculate the ROC curve and derive the AUC (Area Under the Curve) for each model. The mean AUC and standard deviation were reported to quantify the variability introduced by the random splits of the data.\nFinally, the ROC curves were plotted to visually compare the performance of the models. The mean AUC values, along with their confidence intervals (mean ± standard deviation), were presented in the plot to clearly demonstrate the performance of the XGBoost and SVM models in the SFC coupling value classification task.\nThe main analytic process is shown in the flowchart of Fig. 1.Fig. 1The flowchart of the main analytic process.a Individual sMRI were preprocessed to obtain a GMV map and an ALFF map. b Individual fMRI data were preprocessed to obtain an ALFF map. c The GMV values and ALFF values of all voxels in each brain region (defined based on the BNA and HOA atlas) were extracted to calculate the probability distribution function. d The similarity of GMV and ALFF probability distribution functions in each region was calculated based on Kullback–Leibler divergence, resulting in a regional SFC map. e Intergroup and validation analyses of SFC values in the three groups and symptom correlation analyses in the diseased group were performed. f Machine learning binary classification recognition model training using SVM and XGBoost.\na Individual sMRI were preprocessed to obtain a GMV map and an ALFF map. b Individual fMRI data were preprocessed to obtain an ALFF map. c The GMV values and ALFF values of all voxels in each brain region (defined based on the BNA and HOA atlas) were extracted to calculate the probability distribution function. d The similarity of GMV and ALFF probability distribution functions in each region was calculated based on Kullback–Leibler divergence, resulting in a regional SFC map. e Intergroup and validation analyses of SFC values in the three groups and symptom correlation analyses in the diseased group were performed. f Machine learning binary classification recognition model training using SVM and XGBoost.\n\n\n### Results\nAfter the image data quality and other aspects of screening, a total of 154 nTRD patients (34 males and 120 females), 72 TRD patients (19 males and 53 females) and 84 HC participants (32 males and 52 females) were involved in the final study. As shown in Table 1, there were no significant differences between the three groups in age (F = 2.062, P = 0.130), or BMI (F = 0.459, P = 0.696). However, there is a significant gender difference where patients with nTRD and TRD have a higher proportion of women than HC (χ2 = 7.057, P = 0.029). Patients with nTRD and TRD also had fewer years of education than HC (F = 12.422, P < 0.001). Patients with TRD had similar duration of current episode compared to patients with nTRD (t = 1.639, P = 0.105), but had a longer duration of depression (t = 6.769, P < 0.001) and an earlier age at onset (t = −5.187, P < 0.001). Sociodemographic and clinical characteristics of all participants were summarized in the Table 1.Table 1Demographic and Clinical Assessment of ParticipantsMeasureGroupF/t/χ^2P valueTRD Group (n = 72)nTRD Group (n = 154)HC Group (n = 84)Gender, Male/Female19/5334/120b32/527.0570.029Age, Years ± SD26.33 ± 7.1328.19 ± 6.2628.08 ± 6.982.0620.130Education, Years ± SD14.04 ± 2.5514.66 ± 2.59b16.02 ± 2.67c12.422<0.001BMI, kg/m^2 ± SD20.98 ± 3.5221.52 ± 4.6121.44 ± 3.300.4590.696Duration of Current Depressive Episode, Months ± SD9.35 ± 17.805.76 ± 7.82/1.6390.105Duration of Depression, Months ± SD51.06 ± 47.97a11.63 ± 17.35/6.769<0.001Age of Onset, Years ± SD22.25 ± 6.96a27.16 ± 6.47/-5.187<0.001Pre‑treatment HAMD-24 Score ± SD31.28 ± 7.0630.96 ± 6.25b1.50 ± 2.20c851.873<0.001Anxiety/Somatization Score ± SD6.14 ± 1.9816.08 ± 2.005b0.35 ± 0.591c337.119<0.001Weight Score ± SD0.25 ± 0.5990.46 ± 0.777b0.02 ± 0.15313.551<0.001Cognitive Impairment Score ± SD6.83 ± 2.2896.32 ± 2.769b0.18 ± 0.443c240.459<0.001Diurnal Variation Score ± SD0.88 ± 0.8550.69 ± 0.803b0.04 ± 0.187c33.048<0.001Retardation Score ± SD7.28 ± 1.6556.95 ± 1.811b0.32 ± 0.838c565.771<0.001Sleep Disturbance Score ± SD3.00 ± 1.6783.34 ± 1.639b0.23 ± 0.717c131.551<0.001Feelings of Despair Score ± SD5.61 ± 2.3535.66 ± 2.238b0.05 ± 0.265c252.831<0.001Post‑treatment HAMD-24 Score ± SD25.68 ± 4.826.11 ± 6.04/24.090<0.001Pre‑treatment HAMA Score ± SD22.81 ± 8.1521.25 ± 6.48b1.07 ± 1.99c352.071<0.001Pre‑treatment BSI Score ± SD15.01 ± 9.1011.69 ± 12.83b0.24 ± 0.98c49.692<0.001Pre‑treatment SHAPS Score ± SD34.00 ± 5.6832.33 ± 7.19b20.12 ± 5.04c125.668<0.001TRD Treatment-Resistant Depression, nTRD non Treatment-Resistant Depression, HC Healthy Control, BMI Body Mass Index, HAMD-24 24-item Hamilton Depression Rating Scale, BSI Beck Scale for Suicidal Ideation, HAMA Hamilton Anxiety Rating Scale, SHAPS Snaith-Hamilton Pleasure Scale.aP < 0.05 (TRD Group vs. nTRD Group).bP < 0.05 (nTRD Group vs. HC Group).cP < 0.05 (HC Group vs. TRD Group).\nDemographic and Clinical Assessment of Participants\nTRD Treatment-Resistant Depression, nTRD non Treatment-Resistant Depression, HC Healthy Control, BMI Body Mass Index, HAMD-24 24-item Hamilton Depression Rating Scale, BSI Beck Scale for Suicidal Ideation, HAMA Hamilton Anxiety Rating Scale, SHAPS Snaith-Hamilton Pleasure Scale.\naP < 0.05 (TRD Group vs. nTRD Group).\nbP < 0.05 (nTRD Group vs. HC Group).\ncP < 0.05 (HC Group vs. TRD Group).\nUpon analysis of covariance using the BNA atlas, a total of 102 regions showed significant group differences in SFC (Tables S1–4 in Supplement). Among these, TRD exhibited marked decoupling relative to nTRD and HC in several areas, consistent with the validation analyses conducted using the HOA atlas (Fig. 2, Tables S5–10 in Supplement). The right middle frontal gyrus (A8vl-R: F = 14.781; FDR-corrected P < 0.001) were in the frontoparietal network (FPN). Besides, the left inferior parietal lobule (A40rv-L: F = 10.393; FDR-corrected P < 0.001), the left precentral gyrus (A4hf-L: F = 14.387; FDR- corrected P < 0.001) and right superior temporal gyrus (TE1.0/TE1.2-R: F = 12.223; FDR-corrected P < 0.001) were in sensorimotor network (SMN). It was also noteworthy that A8vl-R also exhibited a significant decrease between the nTRD and HC groups (A8vl-R: F = 4.978; P = 0.026, Table.S3 in Supplement).Fig. 2Intergroup Analysis.The four brain regions that remained significantly different between the three groups after undergoing replacement of the brain mapping template and validation by twice split-half validation analysis, including A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. a Correlation analysis based on BNA and HOA atlas with the split-half validation analysis for twice. Brain regions with significant differences are highlighted in blue. b Intergroup violin plots and significance of SFC values for the three groups in A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. c Specific locations of A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L in the brain were highlighted in blue. *, P < 0.05; **, P < 0.01; ***, P < 0.001. The study adopted analysis of covariance to statistically analyze the results, and for visual representation of the results, violin plots were produced directly using the raw SFC values of each group.\nThe four brain regions that remained significantly different between the three groups after undergoing replacement of the brain mapping template and validation by twice split-half validation analysis, including A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. a Correlation analysis based on BNA and HOA atlas with the split-half validation analysis for twice. Brain regions with significant differences are highlighted in blue. b Intergroup violin plots and significance of SFC values for the three groups in A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. c Specific locations of A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L in the brain were highlighted in blue. *, P < 0.05; **, P < 0.01; ***, P < 0.001. The study adopted analysis of covariance to statistically analyze the results, and for visual representation of the results, violin plots were produced directly using the raw SFC values of each group.\nIn the overall diseased group (TRD & nTRD Groups), there was no significant correlation between SFC values and symptoms in each brain region (Table. S11 in Supplement). However, after correlation analyses separating the two disease groups, as demonstrated in Fig. 3, the SFC of rHipp-L in the nTRD group was proportional to the BSI score, indicating that the higher the SFC of rHipp-L, the more severe the suicidal ideation (r = 0.329, FDR-corrected P = 0.026, Table. S13 in Supplement). Also, the SFC of rHipp-L in the nTRD group was proportional to feelings of despair, indicating that the higher the SFC of rHipp-L, the more severe the feelings of despair (r = 0.305, FDR-corrected P = 0.049, Table. S13 in Supplement). In contrast, the SFC of rHipp-L in the TRD group was not significantly correlated with BSI (r = 0.124, FDR-corrected P = 0.298, Table. S12 in Supplement) and feelings of despair (r = 0.017, FDR-corrected P = 0.885, Table. S12 in Supplement). No significant correlation was demonstrated between the remaining brain regions and clinical symptoms either.Fig. 3Correlation Analysis.Considering age, gender, education level, mFD, eTIV and brain-wide coupling as covariates in the model and producing bias correlation scatter plots. a The SFC of rHipp-L in the nTRD group was proportional to the BSI, indicating that the higher the SFC of rHipp-L, the more severe the suicidal ideation (r = 0.329, P = 0.026). Yellow dots correspond to patients with nTRD. b nTRD group SFC of rHipp-L was proportional to feelings of despair, indicating that the higher the SFC of rHipp-L, the more severe the feelings of despair (r = 0.305, P = 0.049). c The SFC of rHipp-L in the TRD group was not significantly correlated with BSI (r = 0.124, P = 0.298). Red dots correspond to patients with TRD. d The SFC of rHipp-L in the TRD group was not significantly correlated with feelings of despair (r = 0.017, P = 0.885). e The SFC of rHipp-L was significantly different in the three groups. **, P < 0.01. f Specific locations of rHipp-L in the brain were highlighted in blue.\nConsidering age, gender, education level, mFD, eTIV and brain-wide coupling as covariates in the model and producing bias correlation scatter plots. a The SFC of rHipp-L in the nTRD group was proportional to the BSI, indicating that the higher the SFC of rHipp-L, the more severe the suicidal ideation (r = 0.329, P = 0.026). Yellow dots correspond to patients with nTRD. b nTRD group SFC of rHipp-L was proportional to feelings of despair, indicating that the higher the SFC of rHipp-L, the more severe the feelings of despair (r = 0.305, P = 0.049). c The SFC of rHipp-L in the TRD group was not significantly correlated with BSI (r = 0.124, P = 0.298). Red dots correspond to patients with TRD. d The SFC of rHipp-L in the TRD group was not significantly correlated with feelings of despair (r = 0.017, P = 0.885). e The SFC of rHipp-L was significantly different in the three groups. **, P < 0.01. f Specific locations of rHipp-L in the brain were highlighted in blue.\nXGBoost and Support Vector Machine (SVM) exhibited good classification performance using altered regional SFC both in BNA (AUC = 0.886, AUC = 0.950 in Fig. 4a) and HOA (AUC = 0.923, AUC = 0.929 in Fig. 4b). Among them, SVM was the best model for TRD and nTRD binary classification identification using BNA map results. XGBoost achieved a differential diagnosis prediction rate over 80%. When embedding HOA map results for classification, both models could reach a differential diagnosis prediction rate over 90%. The accuracy, specificity and sensitivity of SVM and XGBoost in BNA and HOA atlases were reported in Supplement (Table. S14 in Supplement).Fig. 4Performance in TRD and nTRD recognition.a ROC curves of altered regional SFC in BNA atlas obtained using XGBoost (AUC = 0.886) and SVM (AUC = 0.950) classifiers. b ROC curves of altered regional SFC in HOA atlas obtained using XGBoost (AUC = 0.923) and SVM (AUC = 0.929) classifiers.\na ROC curves of altered regional SFC in BNA atlas obtained using XGBoost (AUC = 0.886) and SVM (AUC = 0.950) classifiers. b ROC curves of altered regional SFC in HOA atlas obtained using XGBoost (AUC = 0.923) and SVM (AUC = 0.929) classifiers.\n\n\n### Sociodemographic and clinical characteristics\nAfter the image data quality and other aspects of screening, a total of 154 nTRD patients (34 males and 120 females), 72 TRD patients (19 males and 53 females) and 84 HC participants (32 males and 52 females) were involved in the final study. As shown in Table 1, there were no significant differences between the three groups in age (F = 2.062, P = 0.130), or BMI (F = 0.459, P = 0.696). However, there is a significant gender difference where patients with nTRD and TRD have a higher proportion of women than HC (χ2 = 7.057, P = 0.029). Patients with nTRD and TRD also had fewer years of education than HC (F = 12.422, P < 0.001). Patients with TRD had similar duration of current episode compared to patients with nTRD (t = 1.639, P = 0.105), but had a longer duration of depression (t = 6.769, P < 0.001) and an earlier age at onset (t = −5.187, P < 0.001). Sociodemographic and clinical characteristics of all participants were summarized in the Table 1.Table 1Demographic and Clinical Assessment of ParticipantsMeasureGroupF/t/χ^2P valueTRD Group (n = 72)nTRD Group (n = 154)HC Group (n = 84)Gender, Male/Female19/5334/120b32/527.0570.029Age, Years ± SD26.33 ± 7.1328.19 ± 6.2628.08 ± 6.982.0620.130Education, Years ± SD14.04 ± 2.5514.66 ± 2.59b16.02 ± 2.67c12.422<0.001BMI, kg/m^2 ± SD20.98 ± 3.5221.52 ± 4.6121.44 ± 3.300.4590.696Duration of Current Depressive Episode, Months ± SD9.35 ± 17.805.76 ± 7.82/1.6390.105Duration of Depression, Months ± SD51.06 ± 47.97a11.63 ± 17.35/6.769<0.001Age of Onset, Years ± SD22.25 ± 6.96a27.16 ± 6.47/-5.187<0.001Pre‑treatment HAMD-24 Score ± SD31.28 ± 7.0630.96 ± 6.25b1.50 ± 2.20c851.873<0.001Anxiety/Somatization Score ± SD6.14 ± 1.9816.08 ± 2.005b0.35 ± 0.591c337.119<0.001Weight Score ± SD0.25 ± 0.5990.46 ± 0.777b0.02 ± 0.15313.551<0.001Cognitive Impairment Score ± SD6.83 ± 2.2896.32 ± 2.769b0.18 ± 0.443c240.459<0.001Diurnal Variation Score ± SD0.88 ± 0.8550.69 ± 0.803b0.04 ± 0.187c33.048<0.001Retardation Score ± SD7.28 ± 1.6556.95 ± 1.811b0.32 ± 0.838c565.771<0.001Sleep Disturbance Score ± SD3.00 ± 1.6783.34 ± 1.639b0.23 ± 0.717c131.551<0.001Feelings of Despair Score ± SD5.61 ± 2.3535.66 ± 2.238b0.05 ± 0.265c252.831<0.001Post‑treatment HAMD-24 Score ± SD25.68 ± 4.826.11 ± 6.04/24.090<0.001Pre‑treatment HAMA Score ± SD22.81 ± 8.1521.25 ± 6.48b1.07 ± 1.99c352.071<0.001Pre‑treatment BSI Score ± SD15.01 ± 9.1011.69 ± 12.83b0.24 ± 0.98c49.692<0.001Pre‑treatment SHAPS Score ± SD34.00 ± 5.6832.33 ± 7.19b20.12 ± 5.04c125.668<0.001TRD Treatment-Resistant Depression, nTRD non Treatment-Resistant Depression, HC Healthy Control, BMI Body Mass Index, HAMD-24 24-item Hamilton Depression Rating Scale, BSI Beck Scale for Suicidal Ideation, HAMA Hamilton Anxiety Rating Scale, SHAPS Snaith-Hamilton Pleasure Scale.aP < 0.05 (TRD Group vs. nTRD Group).bP < 0.05 (nTRD Group vs. HC Group).cP < 0.05 (HC Group vs. TRD Group).\nDemographic and Clinical Assessment of Participants\nTRD Treatment-Resistant Depression, nTRD non Treatment-Resistant Depression, HC Healthy Control, BMI Body Mass Index, HAMD-24 24-item Hamilton Depression Rating Scale, BSI Beck Scale for Suicidal Ideation, HAMA Hamilton Anxiety Rating Scale, SHAPS Snaith-Hamilton Pleasure Scale.\naP < 0.05 (TRD Group vs. nTRD Group).\nbP < 0.05 (nTRD Group vs. HC Group).\ncP < 0.05 (HC Group vs. TRD Group).\n\n\n### SFC differences between nTRD, TRD and HC groups\nUpon analysis of covariance using the BNA atlas, a total of 102 regions showed significant group differences in SFC (Tables S1–4 in Supplement). Among these, TRD exhibited marked decoupling relative to nTRD and HC in several areas, consistent with the validation analyses conducted using the HOA atlas (Fig. 2, Tables S5–10 in Supplement). The right middle frontal gyrus (A8vl-R: F = 14.781; FDR-corrected P < 0.001) were in the frontoparietal network (FPN). Besides, the left inferior parietal lobule (A40rv-L: F = 10.393; FDR-corrected P < 0.001), the left precentral gyrus (A4hf-L: F = 14.387; FDR- corrected P < 0.001) and right superior temporal gyrus (TE1.0/TE1.2-R: F = 12.223; FDR-corrected P < 0.001) were in sensorimotor network (SMN). It was also noteworthy that A8vl-R also exhibited a significant decrease between the nTRD and HC groups (A8vl-R: F = 4.978; P = 0.026, Table.S3 in Supplement).Fig. 2Intergroup Analysis.The four brain regions that remained significantly different between the three groups after undergoing replacement of the brain mapping template and validation by twice split-half validation analysis, including A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. a Correlation analysis based on BNA and HOA atlas with the split-half validation analysis for twice. Brain regions with significant differences are highlighted in blue. b Intergroup violin plots and significance of SFC values for the three groups in A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. c Specific locations of A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L in the brain were highlighted in blue. *, P < 0.05; **, P < 0.01; ***, P < 0.001. The study adopted analysis of covariance to statistically analyze the results, and for visual representation of the results, violin plots were produced directly using the raw SFC values of each group.\nThe four brain regions that remained significantly different between the three groups after undergoing replacement of the brain mapping template and validation by twice split-half validation analysis, including A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. a Correlation analysis based on BNA and HOA atlas with the split-half validation analysis for twice. Brain regions with significant differences are highlighted in blue. b Intergroup violin plots and significance of SFC values for the three groups in A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L. c Specific locations of A8vl-R, A4hf-L, TE1.0/TE1.2-R and A40rv-L in the brain were highlighted in blue. *, P < 0.05; **, P < 0.01; ***, P < 0.001. The study adopted analysis of covariance to statistically analyze the results, and for visual representation of the results, violin plots were produced directly using the raw SFC values of each group.\n\n\n### Relationship between depression symptoms and SFC values\nIn the overall diseased group (TRD & nTRD Groups), there was no significant correlation between SFC values and symptoms in each brain region (Table. S11 in Supplement). However, after correlation analyses separating the two disease groups, as demonstrated in Fig. 3, the SFC of rHipp-L in the nTRD group was proportional to the BSI score, indicating that the higher the SFC of rHipp-L, the more severe the suicidal ideation (r = 0.329, FDR-corrected P = 0.026, Table. S13 in Supplement). Also, the SFC of rHipp-L in the nTRD group was proportional to feelings of despair, indicating that the higher the SFC of rHipp-L, the more severe the feelings of despair (r = 0.305, FDR-corrected P = 0.049, Table. S13 in Supplement). In contrast, the SFC of rHipp-L in the TRD group was not significantly correlated with BSI (r = 0.124, FDR-corrected P = 0.298, Table. S12 in Supplement) and feelings of despair (r = 0.017, FDR-corrected P = 0.885, Table. S12 in Supplement). No significant correlation was demonstrated between the remaining brain regions and clinical symptoms either.Fig. 3Correlation Analysis.Considering age, gender, education level, mFD, eTIV and brain-wide coupling as covariates in the model and producing bias correlation scatter plots. a The SFC of rHipp-L in the nTRD group was proportional to the BSI, indicating that the higher the SFC of rHipp-L, the more severe the suicidal ideation (r = 0.329, P = 0.026). Yellow dots correspond to patients with nTRD. b nTRD group SFC of rHipp-L was proportional to feelings of despair, indicating that the higher the SFC of rHipp-L, the more severe the feelings of despair (r = 0.305, P = 0.049). c The SFC of rHipp-L in the TRD group was not significantly correlated with BSI (r = 0.124, P = 0.298). Red dots correspond to patients with TRD. d The SFC of rHipp-L in the TRD group was not significantly correlated with feelings of despair (r = 0.017, P = 0.885). e The SFC of rHipp-L was significantly different in the three groups. **, P < 0.01. f Specific locations of rHipp-L in the brain were highlighted in blue.\nConsidering age, gender, education level, mFD, eTIV and brain-wide coupling as covariates in the model and producing bias correlation scatter plots. a The SFC of rHipp-L in the nTRD group was proportional to the BSI, indicating that the higher the SFC of rHipp-L, the more severe the suicidal ideation (r = 0.329, P = 0.026). Yellow dots correspond to patients with nTRD. b nTRD group SFC of rHipp-L was proportional to feelings of despair, indicating that the higher the SFC of rHipp-L, the more severe the feelings of despair (r = 0.305, P = 0.049). c The SFC of rHipp-L in the TRD group was not significantly correlated with BSI (r = 0.124, P = 0.298). Red dots correspond to patients with TRD. d The SFC of rHipp-L in the TRD group was not significantly correlated with feelings of despair (r = 0.017, P = 0.885). e The SFC of rHipp-L was significantly different in the three groups. **, P < 0.01. f Specific locations of rHipp-L in the brain were highlighted in blue.\n\n\n### Diagnosis based on machine learning\nXGBoost and Support Vector Machine (SVM) exhibited good classification performance using altered regional SFC both in BNA (AUC = 0.886, AUC = 0.950 in Fig. 4a) and HOA (AUC = 0.923, AUC = 0.929 in Fig. 4b). Among them, SVM was the best model for TRD and nTRD binary classification identification using BNA map results. XGBoost achieved a differential diagnosis prediction rate over 80%. When embedding HOA map results for classification, both models could reach a differential diagnosis prediction rate over 90%. The accuracy, specificity and sensitivity of SVM and XGBoost in BNA and HOA atlases were reported in Supplement (Table. S14 in Supplement).Fig. 4Performance in TRD and nTRD recognition.a ROC curves of altered regional SFC in BNA atlas obtained using XGBoost (AUC = 0.886) and SVM (AUC = 0.950) classifiers. b ROC curves of altered regional SFC in HOA atlas obtained using XGBoost (AUC = 0.923) and SVM (AUC = 0.929) classifiers.\na ROC curves of altered regional SFC in BNA atlas obtained using XGBoost (AUC = 0.886) and SVM (AUC = 0.950) classifiers. b ROC curves of altered regional SFC in HOA atlas obtained using XGBoost (AUC = 0.923) and SVM (AUC = 0.929) classifiers.\n\n\n### Discussion\nIn this study, we applied a SFC approach to examine multimodal alterations in TRD, aiming to identify neural regions where the coordination between brain structure and function is disrupted. To ensure methodological reliability, structural (GMV) and functional (ALFF) data were analyzed using the BNA atlas specific to the Han Chinese population, fitting our sample characteristics. Separate between‑group comparisons were performed for ALFF and GMV, as well as ReHo for completeness. Neither ALFF nor GMV differences alone reproduced the spatial pattern of group differences observed in SFC (reported in Tables S19–21 in Supplementary Data ALFF-GMV-ReHo), indicating that the coupling alterations are not driven by a unimodal change but rather reflect altered coordination between structure and function24. Validation with an alternative template and a half‑sample replication yielded consistent results, confirming robustness.\nPatients with TRD showed significant decoupling in the right middle frontal gyrus (frontoparietal network), left inferior parietal lobule, left precentral gyrus, and right superior temporal gyrus (sensorimotor network). These alterations indicate impaired structure–function integration in regions critical for cognitive control and somatic processing. Substantial neuroimaging evidence has established frontoparietal network hypoconnectivity as a robust neural signature of major depressive disorder50–55, accompanied by structural abnormalities such as reduced cortical thickness56–58. The frontoparietal network is crucial for coordinating behavior in a goal‑directed and adaptive manner, and reduced connectivity aligns with theoretical models linking depression to deficits in executive control and internal attention55,59–61. The left precentral gyrus and right superior temporal gyrus, both involved in somatomotor integration, showed greater SFC decline in TRD than in nTRD. The severity of some symptoms was significantly higher in TRD than in nTRD, and this persistence and greater intensity in TRD is potentially linked to its longer illness duration62,63. Notably, the TRD group had an earlier age of onset compared with nTRD (22 vs 27years), which aligns with evidence that earlier onset is associated with greater illness burden and resistance to treatment64. This demographic difference may partly contribute to the observed pattern of neural decoupling in TRD.\nThe remaining significant findings involved the limbic, visual, dorsal and ventral attention, and subcortical networks, though results were not completely homogeneous across validation analyses. Previous studies have reported GMV reductions in the anterior cingulate, caudate, medial prefrontal cortex, insula, and hippocampus18,65; decreased functional coupling between default mode network (DMN)–visual network (VIS) and hippocampal–limbic regions, along with increased intra‑DMN connectivity17,65,66. This study both replicates and extends these findings, demonstrating that imbalance between structural and functional networks manifests through altered SFC strength. Recent work has also associated network‑level SFC changes with neurotransmitter and genetic profiles in depression67, suggesting complex multi‑level interactions that warrant further investigation. These alterations may represent the primary neural signature of TRD identified in this study, and their relevance to symptom expression is discussed below.\nAcross all patients, correlations between SFC and clinical symptoms were weak. Subgroup analyses revealed that suicidal ideation and feelings of despair were positively associated with regional SFC values in the nTRD group but absent in TRD. These group‑specific patterns indicate distinct stages of network adaptation in depression: in nTRD, enhanced SFC reflects residual capacity for network synchronization supporting partial emotional regulation, whereas in TRD, pronounced decoupling suggests system failure and loss of this compensatory link. The marked decoupling observed in TRD may underlie persistent affective and cognitive symptoms and contribute to reduced treatment responsiveness. Consistent with prior literature30,68–72, greater structural–functional dissociation has been associated with hindered network efficiency and impaired flexibility, providing a neural basis for the heightened emotional vulnerability and cognitive deficits commonly reported in TRD73–76. This may account for the fact that patients with TRD fail to achieve a therapeutic response despite undergoing diverse and evidence-based treatment modalities, because the complete loss of coordination between brain structure and function occurs, and the efficacy of conventional therapeutic approaches may depend more on a relatively intact structural-functional integration. Future studies could investigate whether the efficacy of conventional interventions depends, at least in part, on preserved structure–function coordination. Clarifying this relationship may inform strategies to enhance treatment responsiveness in TRD.\nThis study offers valuable insights into the development mechanisms of TRD and its early recognition. A review of neuroimaging findings in a Chinese population with depression accompanied by suicidal ideation or behavior found that disruption of the frontal limbic system, particularly the left dorsolateral prefrontal cortex, the anterior cingulate gyrus, and the hippocampus of the limbic system, as well as the associated network interconnections, may be the core pathologic changes that lead to suicidal ideation in depression disorder63. SFC in the left rostral hippocampus was positively associated with suicidal ideation and feelings of despair in the nTRD group, underscoring the role of limbic network coordination in affective regulation and self‑harm risk70,71. These findings highlight the potential utility of SFC as a sensitive marker of clinical characteristics in depression. Longer illness duration in TRD may obscure detection of SFC changes, as values can vary with disease progression70,71,77,78, making early identification challenging on the basis of these results alone. Nevertheless, the implicated regions and networks warrant prioritization for investigation and intervention in the nTRD population. Incorporating symptom dimensions into analytic models could improve data reduction and facilitate earlier detection, while future work may benefit from subtyping TRD to support precision medicine approaches.\nIn recent years, ML has been increasingly applied to psychiatric neuroimaging for developing predictive models of diagnosis, prognosis, and treatment response. Integrating multimodal MRI features allows ML to capture complex brain patterns that traditional univariate analyses may overlook. In this study, we constructed an ML classification model using SFC features to distinguish TRD from nTRD, which demonstrated good accuracy, specificity, and sensitivity. Compared with models based on clinical, genetic, or unimodal imaging data79–84, our SFC‑based approach provides complementary evidence for the potential of structure–function metrics in TRD characterization. Our study is among the first to provide neurobiological diagnostic markers for TRD derived from machine‑learning analysis. Compared with models based on sociodemographic and clinical variables76,85, the SFC‑based classification achieved markedly higher diagnostic accuracy, highlighting the added value of integrating multimodal neuroimaging features into TRD identification. Further validation in independent samples is warranted.\nThis multimodal study integrated structural and functional MRI to delineate SFC alterations across TRD, nTRD, and healthy controls. TRD patients showed markedly reduced SFC integrity compared with the other groups, suggesting neural decoupling as a feature of treatment resistance. In nTRD, enhanced SFC in the right hippocampus correlated with anhedonia and despair, whereas TRD showed a loss of coupling–symptom associations, which may underlie poor treatment responsiveness. Machine‑learning models achieved high accuracy in classifying TRD and nTRD, highlighting the potential of SFC as a neuroimaging biomarker. Altered SFC may offer valuable clues for developing more precise therapeutic strategies in TRD. Identifying patients with early signs of structural–functional imbalance could support timely intervention through multimodal approaches, including pharmacological optimization and non‑invasive neuromodulation such as transcranial magnetic stimulation (TMS). Regions exhibiting pronounced coupling abnormalities may further inform individualized TMS target selection or integration of MRI‑guided neuromodulation, bridging neuroimaging findings with clinical application.\nThere are still several limitations in this study. First, as a cross-sectional study, the lack of longitudinal follow-up data should be noted. It is widely acknowledged that the pathophysiology of TRD is complex and dynamic. Therefore, the relatively short duration of follow-up period might not fully reflect the long-term alteration and abruption of TRD, which could be further evaluated in prospective trials with a prolonged period. Second, using BNA only may affect the universal applicability and promotion value of our results. We performed several half-tests using HOA, and the brain regions and networks with positive results in BNA were still significant in the HOA half-test, but further exploration is still needed to verify the universality and generalizability of the findings. Third, SFC is affected by age, biological sex, health status and other factors24. Among them, age and health status would affect cognition, but the cognitive data in this study were incomplete, and the gender of participants became mismatched after data quality control, which may affect the homogeneity of the study. Although we have noted the years of education mismatch and used it as a covariate to reduce interference, it is possible that it could have had an impact on the results. The causal relationship between neuroimaging and clinical symptoms needs to be further replicated in different data sets in the future. Besides, the machine learning models used in this study are rather conventional due to the limitation of the sample size. A meta-analysis indicated that prediction models integrating multiple data types outperformed those with single data types86. In the future, the model can be optimized in a larger sample size and more multidimensional data, with further exploration of the correlation between SFC changes and clinical symptoms.\n\n\n### Supplementary information\nSupplementary Information\nSupplementary Information\nSupplementary Information\nSupplementary Information", "domain": "affective_neuroscience"}
{"source": "PMC13100464", "title": "Exploring the Neural Substrates of Number Sense: A Perspective on Genetics, Behaviour and Neural Circuity", "text": "# Exploring the Neural Substrates of Number Sense: A Perspective on Genetics, Behaviour and Neural Circuity\n\n## Abstract\nNumber sense is the intuitive, non‐verbal ability to perceive and process numerical quantities without formal counting. This evolutionarily conserved trait, shared by different animal species, is supported by two mechanisms: the object tracking system (OTS) for small sets and the approximate number system (ANS) for larger quantities. Although historically viewed as distinct, these systems interact dynamically; their disruption is implicated in developmental dyscalculia and disorders such as Williams–Beuren syndrome (WBS), a chromosome microdeletion characterised by marked numerical and visuospatial deficits. Here, we synthesise neurobiological advances to provide an integrative perspective on the neural substrates of number sense. Field studies provide ecological validity, while laboratory procedures offer tighter precision; together, they illuminate the biological foundations of numerical cognition. Although number sense is conserved, human studies indicate only moderate heritability likely reflecting directional selection. Nonetheless, genetic findings converge on neurodevelopmental and synaptic mechanisms. Zebrafish (\nDanio rerio\n) offer a powerful platform to bridge genes, circuits and behaviour. For instance, manipulating zebrafish genes linked to WBS reveals gene‐specific effects on quantity processing. At the neural level, numerical cognition is largely supported by specialised number‐selective neurons. Whole‐brain calcium imaging in larval zebrafish demonstrates that these neurons emerge by 3 days postfertilisation and follow a trajectory where representations of small numerosities precede larger ones. Altogether, integrating genetic, behavioural and circuit‐level approaches provides a powerful framework for uncovering conserved mechanisms of numerosity supporting higher‐level cognitive functions, including mathematics. Numerical cognition arises from conserved mechanisms linking genes, neural circuits and behaviour. Using zebrafish as a tractable model, behavioural assays, whole‐brain imaging and genetic analyses can be integrated to identify neural and molecular bases of quantity discrimination. This framework provides a platform for studying numerical cognition and its disruption in neurodevelopmental disorders.\n\n## Full Text\n\n\n### Introduction\nNumbers play a fundamental role in our everyday activities, such as scheduling appointments, managing money, using passwords and measuring ingredients while cooking. Behavioural and neuroimaging studies show that humans have two systems for processing numerical information: symbolic and nonsymbolic (Ansari 2008; Verguts and Fias 2008).\nThe symbolic system refers to our ability to use abstract numerical symbols (e.g., Arabic numerals) to perform exact calculations. This system is uniquely human, as it is related to language and culture (Merkley and Ansari 2016; O'Shaughnessy et al. 2021). However, few studies showed that chimpanzees can be trained to associate Arabic numerals with corresponding quantities and to arrange them in ascending order, suggesting that they possess a basic understanding of both cardinality (quantity) and ordinality (numerical order) (Matsuzawa 2009). Moreover, extensive research has demonstrated that Grey parrots could quantify sets of items using vocal English labels and comprehend their meaning (Pepperberg 2006), while crows have been shown to recognise Arabic numerals and produce a matching number of actions (e.g., pecks or vocalisations) (Kirschhock and Nieder 2023; Liao et al. 2024). Despite these findings, the ability of non‐human species to understand and use Arabic numerals appears to depend on extensive and specialised training.\nIn addition to the symbolic system, people are also equipped with a nonsymbolic numerical system for representing and manipulating numerical quantities (i.e., the number of items in a set, here referred to as ‘numerosity’) without true counting or numerical symbols (Dehaene 2011). This intuitive sense of number is not unique to humans but is found in a wide range of species, from bees to primates. The shared ability to discriminate between numerosities underscores the critical role that number sense has played in survival and adaptation throughout evolution (Boysen and Capaldi 2014; Nieder 2020; Butterworth 2022).\nTwo distinct but interrelated representational systems underlie nonsymbolic numerical cognition: the object tracking system (OTS) and the approximate number system (ANS) (Feigenson et al. 2002, 2004; Hyde 2011; Piffer et al. 2012; Szabo et al. 2021). The OTS functions as an attention‐based mechanism that creates specific memory entries for each perceived item in the environment. This system allows for rapid and precise representation of small numbers of objects, typically up to 4. The ANS, on the other hand, enables imprecise estimation of large numerosities (larger than 4) in a ratio‐dependent manner, consistent with Weber's law, according to which the just‐noticeable difference between two stimuli is proportional to the magnitude of the stimuli. Although the OTS and ANS are traditionally distinguished by numerical range, evidence of ratio‐dependent effects in small‐number discriminations suggests that ANS‐like mechanisms can also operate below large numerosities (Starr et al. 2013; Potrich et al. 2015; Ditz and Nieder 2016; Bengochea et al. 2023).\nEvidence linking performance in nonsymbolic numerical tasks (e.g., judging which of two dot arrays is numerically larger) to mathematical achievement (Halberda et al. 2008; Schneider et al. 2017; Fyfe et al. 2019), together with findings showing that training in nonsymbolic numerical processing enhances symbolic arithmetic abilities (Hyde et al. 2014; Park and Brannon 2014), suggests that symbolic mathematics is grounded in nonsymbolic representations of numbers. Beyond the theoretical importance, this relationship has significant translational implications for understanding disorders characterised by atypical numerical processing, such as developmental dyscalculia, a specific learning disorder affecting mathematical skills (Butterworth 2018) characterised by deficits in both symbolic and nonsymbolic numerical abilities (Decarli et al. 2023; Dolfi et al. 2024). Research has also revealed intriguing links between numerosity skills and neurodevelopmental disorders such as Williams–Beuren syndrome (WBS) (Van Herwegen et al. 2008; O'Hearn et al. 2011) and Fragile X syndrome (Murphy et al. 2006; Murphy and Mazzocco 2008), both of which have well‐defined genetic origins.\nResearch on atypical developmental trajectories and genetic disorders linked to numerical impairments provides valuable insights into the processes that might be involved. However, studies in humans offer only a partial view of the mechanisms underlying numerical cognition. In this context, animal models could serve as a powerful tool to investigate the biological and neural bases of numerical abilities, allowing controlled manipulations of genes, brain circuits and early environmental factors that are not feasible in human studies. Additionally, they enable the study of numerical cognition development under highly controlled conditions, minimising the influence of cultural factors such as language and education. Together, cross‐species evidence from behaviour, neural activity and genetics can significantly deepen our understanding of the origins of numerical competence.\nBuilding on this perspective, we adopt an integrative approach to numerical cognition, bringing together evidence from behavioural, genetic and neural levels. We first outline behavioural findings across species, showing how animals perceive and respond to numerosity in natural contexts and how these abilities can be studied under controlled laboratory conditions. Next, we explore the genetic basis of number sense, drawing on both human studies and research in zebrafish, a well‐established model in translational cognitive neuroscience. Finally, we highlight recent discoveries about the neural mechanisms that support numerical processing in non‐human animals. Overall, we offer a cohesive framework for understanding both the biological roots and the evolutionary development of numerical abilities.\nThis manuscript synthesises key themes and recent advances discussed at the 20th meeting of the Spanish Society for Neuroscience (SENC) celebrated in Las Palmas de Gran Canaria, September 2025, on the neural substrates of number sense. Where relevant, we highlight illustrative examples from our own recent work alongside established findings from the broader literature. By integrating behavioural, genetic and neurobiological perspectives across species, we aim to outline a framework for understanding how numerical cognition emerges from conserved biological mechanisms. This integrative perspective may also help identify biologically grounded markers of importance to address mathematical learning difficulties.\n\n\n### Developmental Perspectives on Numerical Cognition\nThe widespread occurrence of numerical abilities in both vertebrates and invertebrates indicates that numerical competence is adaptive, conferring advantages in several ecological contexts such as social interactions, foraging, hunting, predation avoidance and mate choice (Nieder 2020). For instance, in chimpanzees, hyenas and lionesses, decisions to attack rival groups are largely driven by numerical advantage, which reduces the risk of costly defeats (Benson‐Amram et al. 2018). Optimal group size is also fundamental for predatory animals, increasing hunting success in species as different as wolves and spider‐eating spiders (\nPortia africana\n) (MacNulty et al. 2014; Barber‐Meyer et al. 2016). Similarly, male frogs of different species match or exceed the number of calls produced by competitors to attract females (Rose 2018).\nField studies are crucial for shedding light on the role of numerical abilities in natural environments but are limited by difficulties in accessing species and controlling continuous non‐numerical variables that covary with numerosity (e.g., volume, brightness and density), which animals may use instead of number per se to discriminate between quantities (Leibovich et al. 2017). These problems can be by‐passed in laboratory studies using two main methodological approaches: spontaneous choice tests and training procedures (Agrillo and Bisazza 2014).\nIn the former, untrained animals spontaneously discriminate between biologically relevant stimuli (e.g., food items and number of conspecifics) differing in numerosity under semi‐naturalistic conditions, supporting the ecological validity of numerical competence. For instance, several studies have exploited the spontaneous tendency of different fish species to join the larger between two shoals when exploring a novel environment, thereby reducing predation risk, to assess the limits of their numerical abilities (e.g., Agrillo et al. 2008; Gómez‐Laplaza and Gerlai 2011; Mehlis et al. 2015; Lucon‐Xiccato et al. 2017). In addition, vertebrates and invertebrates maximise their energy intake by selecting the larger amount of food (Bogale et al. 2014; Miletto Petrazzini and Wynne 2016; Yang and Chiao 2016; Gazzola et al. 2018; Schaffer et al. 2025) or the optimal quantity of dangerous prey (Panteleeva et al. 2013). Despite this ecological relevance, controlling continuous variables remains challenging when dealing with biologically salient stimuli. For instance, animals may prefer a larger food item that is easier to handle rather than a more numerous food option.\nTo overcome this issue, researchers have widely adopted training procedures where animals are trained to learn a numerical rule using neutral stimuli (e.g., two‐dimensional geometric figures), allowing strict control of continuous variables (see, for example, Zanon et al. 2022). Using this approach, animals can be trained to select specific numerosities (crows, rhesus macaques [Nieder 2018], guppies [Miletto Petrazzini et al. 2015], archerfish [Potrich et al. 2022] and honeybees [Howard et al. 2018]), process ordinal information (brown capuchin monkeys [Judge et al. 2005], honeybees [Dacke and Srinivasan 2008], pigeons [Scarf et al. 2011] and guppies [Miletto Petrazzini et al. 2015]) and to perform simple arithmetic operations (rhesus macaques [Cantlon and Brannon 2007] and honeybees [Howard et al. 2019]). Although training procedures are fundamental for demonstrating that animals can use numerical information, they are time‐consuming and lack ecological validity.\nNonetheless, it is worth noting that most studies are laboratory‐based and rely on captive‐bred individuals, which can limit how broadly the results apply to wild populations and may affect our understanding of true numerical competence. Captivity can alter cognitive performance (Baldoni et al. 2025), while the rearing environment can influence neural development and brain plasticity (Salvanes et al. 2013). For these reasons, it is necessary to integrate ecological context into cognitive research to understand the evolution and function of numerical abilities. In this light, spontaneous choice tests and training procedures should not be seen as alternatives, but rather as complementary approaches that together offer a more complete understanding of numerical competence in animals (Agrillo and Bisazza 2014; Nieder 2020). Although this concern has been highlighted mainly in fish, it clearly extends to other non‐human animals as well (Salena et al. 2021).\nNumerical competence is a phylogenetically ancient ability that humans share with animals, yet its evolutionary origin remains debated. Two main hypotheses have been proposed. One possibility is that rudimentary numerical abilities are homologous traits inherited from a common ancestor dating back hundreds of millions of years (Nieder 2021). Alternatively, such abilities may have evolved independently through convergent evolution due to similar selective pressures. Despite broad continuity in numerical abilities across species, important anatomical and physiological differences in the telencephalic pallium, the brain area involved in numerical representations in birds, mammals and fish, support the hypothesis of an independent origin of numerical competence across taxa (Nieder 2021).\nFinally, from a developmental perspective, numerical abilities emerge early in life, as newborns can discriminate between sets of objects with a 1:3 ratio (Izard et al. 2009), and then continue to develop until adulthood (Halberda and Feigenson 2008; Halberda et al. 2012). This developmental trajectory is mirrored across species, as comparable abilities have been documented in juvenile animals such as guppies, tadpoles, dogs, zebrafish and chicks (Balestrieri et al. 2019; Miletto Petrazzini et al. 2020; Sheardown et al. 2022; Adam et al. 2024; Lorenzi et al. 2025), indicating that numerical competence does not require extensive learning or experience and highlighting its crucial role for individual survival across species and developmental stages.\n\n\n### Balancing Ecological Relevance and Experimental Control in Numerical Cognition\nField studies are crucial for shedding light on the role of numerical abilities in natural environments but are limited by difficulties in accessing species and controlling continuous non‐numerical variables that covary with numerosity (e.g., volume, brightness and density), which animals may use instead of number per se to discriminate between quantities (Leibovich et al. 2017). These problems can be by‐passed in laboratory studies using two main methodological approaches: spontaneous choice tests and training procedures (Agrillo and Bisazza 2014).\nIn the former, untrained animals spontaneously discriminate between biologically relevant stimuli (e.g., food items and number of conspecifics) differing in numerosity under semi‐naturalistic conditions, supporting the ecological validity of numerical competence. For instance, several studies have exploited the spontaneous tendency of different fish species to join the larger between two shoals when exploring a novel environment, thereby reducing predation risk, to assess the limits of their numerical abilities (e.g., Agrillo et al. 2008; Gómez‐Laplaza and Gerlai 2011; Mehlis et al. 2015; Lucon‐Xiccato et al. 2017). In addition, vertebrates and invertebrates maximise their energy intake by selecting the larger amount of food (Bogale et al. 2014; Miletto Petrazzini and Wynne 2016; Yang and Chiao 2016; Gazzola et al. 2018; Schaffer et al. 2025) or the optimal quantity of dangerous prey (Panteleeva et al. 2013). Despite this ecological relevance, controlling continuous variables remains challenging when dealing with biologically salient stimuli. For instance, animals may prefer a larger food item that is easier to handle rather than a more numerous food option.\nTo overcome this issue, researchers have widely adopted training procedures where animals are trained to learn a numerical rule using neutral stimuli (e.g., two‐dimensional geometric figures), allowing strict control of continuous variables (see, for example, Zanon et al. 2022). Using this approach, animals can be trained to select specific numerosities (crows, rhesus macaques [Nieder 2018], guppies [Miletto Petrazzini et al. 2015], archerfish [Potrich et al. 2022] and honeybees [Howard et al. 2018]), process ordinal information (brown capuchin monkeys [Judge et al. 2005], honeybees [Dacke and Srinivasan 2008], pigeons [Scarf et al. 2011] and guppies [Miletto Petrazzini et al. 2015]) and to perform simple arithmetic operations (rhesus macaques [Cantlon and Brannon 2007] and honeybees [Howard et al. 2019]). Although training procedures are fundamental for demonstrating that animals can use numerical information, they are time‐consuming and lack ecological validity.\nNonetheless, it is worth noting that most studies are laboratory‐based and rely on captive‐bred individuals, which can limit how broadly the results apply to wild populations and may affect our understanding of true numerical competence. Captivity can alter cognitive performance (Baldoni et al. 2025), while the rearing environment can influence neural development and brain plasticity (Salvanes et al. 2013). For these reasons, it is necessary to integrate ecological context into cognitive research to understand the evolution and function of numerical abilities. In this light, spontaneous choice tests and training procedures should not be seen as alternatives, but rather as complementary approaches that together offer a more complete understanding of numerical competence in animals (Agrillo and Bisazza 2014; Nieder 2020). Although this concern has been highlighted mainly in fish, it clearly extends to other non‐human animals as well (Salena et al. 2021).\n\n\n### Evolutionary Origins of Numerical Competence: Homology or Convergence?\nNumerical competence is a phylogenetically ancient ability that humans share with animals, yet its evolutionary origin remains debated. Two main hypotheses have been proposed. One possibility is that rudimentary numerical abilities are homologous traits inherited from a common ancestor dating back hundreds of millions of years (Nieder 2021). Alternatively, such abilities may have evolved independently through convergent evolution due to similar selective pressures. Despite broad continuity in numerical abilities across species, important anatomical and physiological differences in the telencephalic pallium, the brain area involved in numerical representations in birds, mammals and fish, support the hypothesis of an independent origin of numerical competence across taxa (Nieder 2021).\nFinally, from a developmental perspective, numerical abilities emerge early in life, as newborns can discriminate between sets of objects with a 1:3 ratio (Izard et al. 2009), and then continue to develop until adulthood (Halberda and Feigenson 2008; Halberda et al. 2012). This developmental trajectory is mirrored across species, as comparable abilities have been documented in juvenile animals such as guppies, tadpoles, dogs, zebrafish and chicks (Balestrieri et al. 2019; Miletto Petrazzini et al. 2020; Sheardown et al. 2022; Adam et al. 2024; Lorenzi et al. 2025), indicating that numerical competence does not require extensive learning or experience and highlighting its crucial role for individual survival across species and developmental stages.\n\n\n### The Heritability of Numerosity: Findings in Human Studies\nAlthough behavioural conservation suggests there is a genetic basis of number sense that may be conserved across species, analyses from human studies indicate that number sense shows only moderate heritability of around 30% (Tosto et al. 2014). Thus, accordingly, around 30% of the variance in number sense ability is predicted to be explained by genetic factors. This is consistent with findings for individual differences in almost all other human behaviours and cognition (Docherty et al. 2010; Briley and Tucker‐Drob 2017). Moreover, phenotypic variation in number sense may also reflect genotype‐environment interactions and experience‐dependent plasticity, suggesting that environmental factors can modulate the expression of genetically influenced numerical abilities.\nBuilding on population genetic studies in animals and humans, Tosto et al. (2014) argued that the reduced heritability is the result of number sense being crucial for survival and thus subject to directional selection pressure over evolution (see Box 1): Directional selection reduces additive negative genetic variance, thus traits subjected to selection pressure would be expected to show lower heritability (Tosto et al. 2014). As a result of such selection pressure, genetic variants in existing healthy populations would be expected to have small effect to explain individual differences in ability. However, number sense may also be subject to indirect selection (see Box 1) that can lead to genetic variation associated with a specific trait being of small effect (Lande and Arnold 1983). In either case, identifying candidate genes from human GWAS (see Box 1) would be problematic, as each individual variant is likely to have a small effect resulting in GWAS having low power to detect the loci involved. This may explain why relatively few GWAS studies have focused on number sense. Nonetheless, the observation that number sense predicts mathematical ability suggests that genetic variants associated with mathematical ability may also influence number sense ability.\nDirectional selection: A form of natural selection in which individuals with trait values at one extreme of a distribution have higher fitness than others.\nIndirect selection: A form of selection whereby changes in the frequency of an allele occur not because of its own effect on fitness (direct selection), but because it is genetically linked to another allele that is under direct selection. Mechanisms by which indirect selection may lead to variants of small effect include:\n\nLinkage disequilibrium: A genetic variant shows an association with a trait because it is close on the chromosome to a different variant that affects the trait.\nPleiotropy: If a gene affects multiple traits, selection may act on it primarily through a different trait. Its effect on the trait of interest therefore appears weak as its population frequency reflects selection elsewhere.\nStabilising selection: It removes large‐effect variants over time, as large effects risk pushing individuals away from the optimal trait value. This leaves a landscape dominated by many small‐effect variants.\nCorrelated trait selection: A variant's apparent effect on a trait may simply be a statistical shadow of selection acting on a different correlated trait.\nLinkage disequilibrium: A genetic variant shows an association with a trait because it is close on the chromosome to a different variant that affects the trait.\nPleiotropy: If a gene affects multiple traits, selection may act on it primarily through a different trait. Its effect on the trait of interest therefore appears weak as its population frequency reflects selection elsewhere.\nStabilising selection: It removes large‐effect variants over time, as large effects risk pushing individuals away from the optimal trait value. This leaves a landscape dominated by many small‐effect variants.\nCorrelated trait selection: A variant's apparent effect on a trait may simply be a statistical shadow of selection acting on a different correlated trait.\nAdditive genetic variance: The component of genetic variance attributable to the cumulative effects of individual alleles across loci. This component determines the extent to which genetic differences between individuals contribute to the heritable variation of a trait within a population.\nHeritability: The proportion of phenotypic variation in a population that can be attributed to genetic differences among individuals. Heritability depends on both genetic variance and environmental influences and does not indicate the extent to which a trait is genetically determined in an individual.\nPolygenic architecture: A genetic architecture in which a trait is influenced by many genetic variants, each typically contributing a small effect.\nGenome‐wide association study (GWAS): A statistical approach used to identify associations between genetic variants across the genome and variation in a trait within a population.\nCopy number variation (CNV): A type of structural genetic variation in which a segment of DNA is present in different numbers of copies across individuals.\nHuman GWAS for mathematical ability have reported significant association of variants in several genes (see Table 1 for list of genes and relevant references). In addition, a CNV (see Box 1) in chromosome 15q11.2 that disrupts CYFIP1, NIPA2 and NIPA1 is associated with dyscalculia (Table 1). Finally, genes involved in syndromes with a dyscalculia component, such as Fragile X, Prader–Willi, WBS and Turner's syndromes (Table 1), may also be candidate genes for the development and/or function of neuronal circuits underlying number sense.\nCandidate genes implicated in numerical cognition and mathematical learning difficulties.\nRegulation of neural cell fate and maturation.\nStructural remodelling needed for neural circuit formation.\nNeural activity levels.\nNeural activity levels.\nActivity‐dependent strengthening and refinement of synapses.\nStructural remodelling needed for neural circuit formation.\nNeural activity levels.\nActivity‐dependent strengthening and refinement of synapses.\nStructural remodelling needed for neural circuit formation.\nNeural activity levels.\nActivity‐dependent strengthening and refinement of synapses.\nNeural activity levels (balance between excitatory and inhibitory signals).\nActivity‐dependent strengthening and refinement of synapses.\nCell adhesion and extracellular matrix.\nStructural remodelling needed for neural circuit formation.\nStructural remodelling needed for neural circuit formation.\nActivity‐dependent strengthening and refinement of synapses.\nNeural activity levels.\nActivity‐dependent strengthening and refinement of synapses.\nStructural remodelling needed for neural circuit formation.\nCell adhesion and ECM interactions.\nRegulation of neural cell fate and maturation.\nStructural remodelling needed for neural circuit formation.\nActivity‐dependent strengthening and refinement of synapses.\nCell adhesion and ECM composition.\nStructural remodelling needed for neural circuit formation.\nWhile these analyses suggest the presence of identifiable genetic underpinnings of numerical cognition, to date, there is no clear genetic or molecular understanding of how genetic risk factors might contribute to defects in number processing. However, the abovementioned genes are all predicted to regulate neuronal connectivity either directly or indirectly during development (see Table 1 for potential mechanisms). Although empirical evidence for a role in number sense is missing for all but one of the listed genes, interestingly, several of the gene products regulate the balance between inhibitory and excitatory signalling in the brain and/or directly affect glutamatergic signalling and synapse formation. This may be of relevance as computational models of how we extract spatial information from a visual scene, which are necessary to identify the number of items in the scene, are often based on the concept of a ‘saliency map’, the generation of which relies on a balance between excitatory and inhibitory signals (Roggeman et al. 2010; Sengupta et al. 2014; see below).\nThus, the concept of a saliency map provides a framework linking neural circuit dynamics to numerosity perception. As several candidate genes discussed above influence excitatory/inhibitory balance and synaptic organisation, these models provide a useful conceptual bridge between genetic variation and numerical cognition.\n\n\n### The Role of Saliency Maps in Number Cognition\nIn computational models of numerosity perception, number extraction is thought to operate on the principle of a ‘saliency map’, where individual objects generate discrete activity peaks or nodes that compete with their neighbours for neural representation.\nThese nodes follow two crucial rules. First, self‐excitation means that when a node detects something, it boosts its own signal. This self‐reinforcement helps the brain lock onto and maintain focus on detected objects. Second, lateral inhibition means each active node tries to suppress the activity of neighbouring nodes around it. When one location is being actively processed, nearby locations get temporarily suppressed so they do not interfere. Together, these rules create a competitive interaction map. Only the most salient items ‘win’ this competition and become the focus of conscious awareness. This competition is hypothesised to be crucial for counting and assessing numerosity because it allows significant items to be extracted from background information, preventing the brain from being overwhelmed by processing everything simultaneously.\nThis model suggests that variations in excitatory and inhibitory signalling will significantly influence the ability to discriminate number. The strength of excitatory signalling would determine how strongly nodes respond, with objects that create stronger signals being easier to detect. The strength of inhibitory signalling would determine how much neighbouring nodes get quieted, that is, stronger inhibition creates sharper competition, making it easier to focus on individual objects but potentially harder to detect closely spaced items.\nThe practical implications are significant: If the balance between excitation and inhibition is disrupted, perhaps due to genetic differences, neurological conditions or temporary states like fatigue, this could explain why some individuals struggle with tasks like quickly estimating quantities or counting objects in cluttered scenes. The brain's counting ability thus depends on a delicate competitive balance between excitatory and inhibitory signalling where different parts of the visual system vie for attention. These hypotheses can be tested in animal models, especially those amenable to genetic manipulation. Although this framework provides a plausible mechanistic link between neural circuit properties and numerosity perception, the extent to which these processes directly mediate numerical cognition remains to be tested experimentally.\n\n\n### Zebrafish (\nDanio rerio\n) as an Animal Model for Numerosity\nRelatively few studies have used animal models to investigate the role of specific genes in numerical cognition. One major limitation has been that, until recently, neural correlates of number sense had not been identified in genetically tractable species such as mice, zebrafish or Drosophila. However, the recent identification of a specific population of neurons required for behavioural responses to number in Drosophila (Bengochea et al. 2023), together with preliminary data from our group identifying number‐responsive neurons in zebrafish (discussed later), indicates that these species provide experimentally tractable systems in which to address genetic mechanisms underlying number sense.\nTo capitalise on these advantages, we developed a confined‐stimulus group size preference (GSP) assay to assess quantity discrimination in juvenile zebrafish (Sheardown et al. 2022). This zebrafish assay, based on an approach previously developed by Gómez‐Laplaza and Gerlai (2012) using angelfish, exploits the spontaneous tendency of fish to associate with the larger of two shoals when placed in a novel environment, a behaviour linked to reduced predation risk. Individual fish explore a central arena while viewing two groups of conspecifics presented behind transparent barriers that differ in group size, with preference measured as time spent near the larger group. The task requires no training and relies on spontaneous behaviour, combining experimental control with ecological relevance (see section above).\nIn our previous work using juvenile zebrafish (Sheardown et al. 2022), we demonstrated that individuals reliably discriminate large‐quantity differences (e.g., 2 vs. 5) but fail at intermediate contrasts (e.g., 2 vs. 4) despite identical ratios. This pattern leads us to propose that quantity discrimination may be constrained by cognitive processes involved in tracking and comparing multiple items. Particularly, the OTS relies on attentional resources to monitor discrete objects, while working memory is required to temporarily maintain the information related to those items during the comparison paradigm. Therefore, when the number of individuals being tracked exceeds these attentional or working‐memory capacities, the discrimination performance of the fish deteriorates, even when numerical ratios remain favourable. Based on these findings, we proposed that this paradigm provides a useful behavioural framework for probing how genetic manipulations affect numerosity‐based decision making.\nA key advantage of these animal models is the ability to perform whole‐brain imaging in vivo while animals engage in numerical stimuli observation, enabling direct links to be drawn between gene function, neural circuit activity and behaviour. In this context, our recent work (see below) further supports the translational relevance of zebrafish for studying the genetic and neural bases of numerical cognition.\nWBS (also known as Williams syndrome; OMIM: 194050) is a rare neurodevelopmental disorder caused by a hemizygous microdeletion on chromosome 7q11.23, typically spanning 1.55–1.8 Mb and encompassing around 25–28 genes. In humans, this deletion is the only known cause of the syndrome and directly affects how the cognitive, behavioural and neurobiological traits are observed in the affected individuals of both sexes.\nWBS is associated with congenital heart malformations as well as hypertension, endocrine abnormalities, short stature and hyperacusis (Pires et al. 2021). Interestingly, from a neuropsychological standpoint, WBS is highly heterogeneous. People with WBS have often been described as showing mild intellectual disability (Kozel et al. 2021), yet some studies report that up to half of individuals can score within the typical IQ range (Pitts and Mervis 2016; Hsu and Jiang 2025). Regardless of IQ range, individuals with WBS tend to share a recognisable profile: hypersociability, anxiety proneness, strong interest in music and impairments in motor, executive and visuospatial abilities, as well as difficulties with grammar and using language appropriately in conversation (syntactic and pragmatic‐discursive abilities), while vocabulary knowledge is relatively well preserved (Carvalho and Haase 2019; Kozel et al. 2021). This combination of cognitive domains, with some affected and others spared, has led WBS to be considered a prototypical cause of non‐verbal learning disability, where problems with visuospatial and executive skills stand out against relatively strong verbal skills (Bellugi et al. 2000; Martens et al. 2008).\nConsequently, WBS has been widely recognised as a model for studying how genetics affects mathematical learning. Individuals with WBS show impaired subitising, reduced nonsymbolic numerosity accuracy for small and medium sets and difficulties with number‐line and magnitude comparison tasks, although symbolic processing may be relatively spared (Van Herwegen et al. 2008; O'Hearn and Luna 2009; O'Hearn et al. 2011; Ranzato et al. 2020; Simms et al. 2020). These patterns are consistent with previous evidence of reduced ANS precision, a narrower subitising range and atypical developmental trajectories for numerical and spatial processing, while time processing appears comparatively less affected (Libertus et al. 2014; Van Herwegen et al. 2020). Taken together, they support the view that WBS is characterised by a selective, early disruption of core numerical and visuospatial systems, which in turn contributes to persistent mathematical learning difficulties.\nWe have taken advantage of the capabilities discussed above of zebrafish and our GSP assay to probe how individual WBS‐associated genes contribute to early quantity processing. In that study, we tested juvenile zebrafish (30–35 days postfertilisation, dpf) carrying loss‐of‐function (LoF, generated using the CRISPR/Cas9 system) mutations in baz1b or fzd9b, two of the genes with strong links to WBS neurodevelopmental phenotypes (Torres‐Pérez et al. 2026).\nBAZ1B encodes a chromatin remodeller involved in neural crest development, craniofacial morphology and social behaviour, as demonstrated in both mice and humans (Sun et al. 2016; Zanella et al. 2019; Pai et al. 2024). In our zebrafish LoF line, reduced baz1b expression leads to mild neurocristopathy, distinctive craniofacial changes and a combination of reduced stress reactivity and altered social ontogeny, mirroring domestication‐like phenotypes (Torres‐Pérez et al. 2023). Together, these findings support a central role for BAZ1B in coordinating neural crest‐derived morphology and prosocial behaviours, in line with its proposed contribution to WBS.\nSimilarly, fzd9b encodes Frizzled 9b, a Wnt receptor involved in neurodevelopment, dendritic spine formation and axonal growth, with loss of FZD9 previously linked to aberrant neuronal morphology and learning and memory deficits in mammalian models (Ramírez et al. 2016; Pascual‐Vargas and Salinas 2021). In our zebrafish LoF lines, disrupting fzd9b altered stress‐ and anxiety‐related behaviours at both larval and adult stages (Torres‐Perez et al., n.d.). Thus, our fzd9b findings support a key role for Fzd9b in regulating stress reactivity and anxiety phenotypes relevant to WBS.\nOnce they were characterised, we assessed both LoF lines in our confined‐stimulus GSP assay across three quantitative contrasts (2 vs. 5, 2 vs. 4 and 2 vs. 3). Importantly, on this occasion, we framed the assay in terms of ‘quantity’ rather than ‘number’, because we did not control for overall area or other continuous variables that we had manipulated in previous work (Sheardown et al. 2022). Therefore, fish could base their choices on both discrete numerosity (count of conspecifics) and continuous variables (e.g., overall area and movement). Treating these as expressions of a common magnitude system allowed us to assess the contribution of WBS genes to quantity discrimination in a way that more closely reflects the mixed discrete/continuous cues also present in human studies of numerical cognition.\nIn the baz1b LoF, wild‐type (WT) and heterozygous fish showed a significant preference for the larger shoal in the easiest contrast (2 vs. 5), whereas homozygous mutants did not, while no genotype showed a clear preference in the more difficult contrasts (2 vs. 4 and 2 vs. 3). In the fzd9b line, WT fish preferred the larger shoal in both 2 vs. 5 and 2 vs. 4, but not 2 vs. 3. Strikingly, heterozygous fzd9b fish showed the opposite pattern, succeeding only in the most difficult contrast (2 vs. 3), while homozygous mutants failed to show a reliable preference in any condition. Consistent with our previous work, where performance drops when the total number of items exceeds about five (a putative working‐memory limit; see above), these patterns suggest that LoF in baz1b and fzd9b selectively impairs large‐quantity processing, which is more likely to recruit ANS‐like mechanisms, while small‐quantity processing through an OTS‐like system seems mostly spared.\nThese data provide preliminary but convergent evidence that BAZ1B and FZD9 contribute to the nonsymbolic quantity‐processing deficits observed in WBS, particularly for larger sets where approximate representations and ratio sensitivity are critical. The selective impairment in large‐quantity discrimination is consistent with findings in individuals with WBS (Van Herwegen et al. 2008; Rousselle et al. 2013; Libertus et al. 2014). Therefore, our study strengthens the case for zebrafish as a translational model to dissect the genetic and neural bases of dyscalculia in WBS and related conditions. Overall, these data begin to clarify how these genes shape behavioural quantity discrimination, highlighting the need to resolve the underlying molecular and circuit mechanisms.\n\n\n### WBS: Insights From Zebrafish Models\nWBS (also known as Williams syndrome; OMIM: 194050) is a rare neurodevelopmental disorder caused by a hemizygous microdeletion on chromosome 7q11.23, typically spanning 1.55–1.8 Mb and encompassing around 25–28 genes. In humans, this deletion is the only known cause of the syndrome and directly affects how the cognitive, behavioural and neurobiological traits are observed in the affected individuals of both sexes.\nWBS is associated with congenital heart malformations as well as hypertension, endocrine abnormalities, short stature and hyperacusis (Pires et al. 2021). Interestingly, from a neuropsychological standpoint, WBS is highly heterogeneous. People with WBS have often been described as showing mild intellectual disability (Kozel et al. 2021), yet some studies report that up to half of individuals can score within the typical IQ range (Pitts and Mervis 2016; Hsu and Jiang 2025). Regardless of IQ range, individuals with WBS tend to share a recognisable profile: hypersociability, anxiety proneness, strong interest in music and impairments in motor, executive and visuospatial abilities, as well as difficulties with grammar and using language appropriately in conversation (syntactic and pragmatic‐discursive abilities), while vocabulary knowledge is relatively well preserved (Carvalho and Haase 2019; Kozel et al. 2021). This combination of cognitive domains, with some affected and others spared, has led WBS to be considered a prototypical cause of non‐verbal learning disability, where problems with visuospatial and executive skills stand out against relatively strong verbal skills (Bellugi et al. 2000; Martens et al. 2008).\nConsequently, WBS has been widely recognised as a model for studying how genetics affects mathematical learning. Individuals with WBS show impaired subitising, reduced nonsymbolic numerosity accuracy for small and medium sets and difficulties with number‐line and magnitude comparison tasks, although symbolic processing may be relatively spared (Van Herwegen et al. 2008; O'Hearn and Luna 2009; O'Hearn et al. 2011; Ranzato et al. 2020; Simms et al. 2020). These patterns are consistent with previous evidence of reduced ANS precision, a narrower subitising range and atypical developmental trajectories for numerical and spatial processing, while time processing appears comparatively less affected (Libertus et al. 2014; Van Herwegen et al. 2020). Taken together, they support the view that WBS is characterised by a selective, early disruption of core numerical and visuospatial systems, which in turn contributes to persistent mathematical learning difficulties.\nWe have taken advantage of the capabilities discussed above of zebrafish and our GSP assay to probe how individual WBS‐associated genes contribute to early quantity processing. In that study, we tested juvenile zebrafish (30–35 days postfertilisation, dpf) carrying loss‐of‐function (LoF, generated using the CRISPR/Cas9 system) mutations in baz1b or fzd9b, two of the genes with strong links to WBS neurodevelopmental phenotypes (Torres‐Pérez et al. 2026).\nBAZ1B encodes a chromatin remodeller involved in neural crest development, craniofacial morphology and social behaviour, as demonstrated in both mice and humans (Sun et al. 2016; Zanella et al. 2019; Pai et al. 2024). In our zebrafish LoF line, reduced baz1b expression leads to mild neurocristopathy, distinctive craniofacial changes and a combination of reduced stress reactivity and altered social ontogeny, mirroring domestication‐like phenotypes (Torres‐Pérez et al. 2023). Together, these findings support a central role for BAZ1B in coordinating neural crest‐derived morphology and prosocial behaviours, in line with its proposed contribution to WBS.\nSimilarly, fzd9b encodes Frizzled 9b, a Wnt receptor involved in neurodevelopment, dendritic spine formation and axonal growth, with loss of FZD9 previously linked to aberrant neuronal morphology and learning and memory deficits in mammalian models (Ramírez et al. 2016; Pascual‐Vargas and Salinas 2021). In our zebrafish LoF lines, disrupting fzd9b altered stress‐ and anxiety‐related behaviours at both larval and adult stages (Torres‐Perez et al., n.d.). Thus, our fzd9b findings support a key role for Fzd9b in regulating stress reactivity and anxiety phenotypes relevant to WBS.\nOnce they were characterised, we assessed both LoF lines in our confined‐stimulus GSP assay across three quantitative contrasts (2 vs. 5, 2 vs. 4 and 2 vs. 3). Importantly, on this occasion, we framed the assay in terms of ‘quantity’ rather than ‘number’, because we did not control for overall area or other continuous variables that we had manipulated in previous work (Sheardown et al. 2022). Therefore, fish could base their choices on both discrete numerosity (count of conspecifics) and continuous variables (e.g., overall area and movement). Treating these as expressions of a common magnitude system allowed us to assess the contribution of WBS genes to quantity discrimination in a way that more closely reflects the mixed discrete/continuous cues also present in human studies of numerical cognition.\nIn the baz1b LoF, wild‐type (WT) and heterozygous fish showed a significant preference for the larger shoal in the easiest contrast (2 vs. 5), whereas homozygous mutants did not, while no genotype showed a clear preference in the more difficult contrasts (2 vs. 4 and 2 vs. 3). In the fzd9b line, WT fish preferred the larger shoal in both 2 vs. 5 and 2 vs. 4, but not 2 vs. 3. Strikingly, heterozygous fzd9b fish showed the opposite pattern, succeeding only in the most difficult contrast (2 vs. 3), while homozygous mutants failed to show a reliable preference in any condition. Consistent with our previous work, where performance drops when the total number of items exceeds about five (a putative working‐memory limit; see above), these patterns suggest that LoF in baz1b and fzd9b selectively impairs large‐quantity processing, which is more likely to recruit ANS‐like mechanisms, while small‐quantity processing through an OTS‐like system seems mostly spared.\nThese data provide preliminary but convergent evidence that BAZ1B and FZD9 contribute to the nonsymbolic quantity‐processing deficits observed in WBS, particularly for larger sets where approximate representations and ratio sensitivity are critical. The selective impairment in large‐quantity discrimination is consistent with findings in individuals with WBS (Van Herwegen et al. 2008; Rousselle et al. 2013; Libertus et al. 2014). Therefore, our study strengthens the case for zebrafish as a translational model to dissect the genetic and neural bases of dyscalculia in WBS and related conditions. Overall, these data begin to clarify how these genes shape behavioural quantity discrimination, highlighting the need to resolve the underlying molecular and circuit mechanisms.\n\n\n### Neural Correlates of Numerosity Across Development\nAs discussed above, behavioural evidence across species indicates that the ability to perceive and estimate numerical quantity is a core cognitive faculty (e.g., Hersh and Dehaene 1998; Lipton and Spelke 2003; Piffer et al. 2013; Howard et al. 2019; Bortot et al. 2021; Messina, Potrich, Perrino, et al. 2022; Sheardown et al. 2022; Zanon et al. 2025). We have also reviewed the initial efforts to determine the genetic characterisation of this number sense in zebrafish. Here, we will focus on the neuronal and circuit mechanisms underpinning it.\nPreliminary studies identified specific brain areas maximally involved during numerical cognition tasks, in particular pallial regions in the zebrafish brain (Messina et al. 2020; Messina, Potrich, Schiona, et al. 2022). Interestingly, these findings seem conserved across species, with analogous evidence in different animal models (see, e.g., Piazza et al. 2004; Nieder 2018; Lorenzi et al. 2021, 2024; Kobylkov et al. 2023).\nAt the level of single neuronal units, there is also large evidence for specialised cells encoding numerical information. While some studies emphasise the existence of ‘monotonic neurons’, whose responses increase or decrease monotonically with perceived numerosity (Roitman et al. 2007), accumulating evidence indicates that numerical perception signatures are well described by specialised populations of ‘number neurons’, cells that respond preferentially to specific number of elements (i.e., numerosities) and whose activity decreases as the numerical distance from the preferred value increases (tuned responses consistent with Weber's law; Nieder 2016; see, Box 2).\nTuning curve: The relationship between neuronal activity and a stimulus feature. In numerosity‐selective neurons, it describes how firing rate varies as a function of numerosity, typically showing a peak (preferred numerosity) and graded responses to nearby values. This specific behaviour usually emerges more clearly as a population coding more than at single neuron level.\nPopulation coding: A form of neural representation in which information about a stimulus is encoded by the combined activity of a population of neurons, rather than by single cells carrying the full information.\nNeural decoding: A computational approach used to determine whether patterns of neural activity contain information about a stimulus or behavioural variable. Typically, this is achieved by training a model (e.g., an SVM) to predict those variables from the recorded neuronal activity.\nSupport vector machine (SVM): A supervised machine learning classifier. It can be trained to associate patterns of neuronal activity with stimulus categories and then tested on new data to evaluate whether the neural population reliably encodes those categories.\nIn mammals, number neurons have been identified in parietal and prefrontal cortices (Nieder et al. 2002; Roitman et al. 2012), and similar cells have been detected in the Nidopallium Caudolaterale (NCL), an integrative area analogous to the mammalian prefrontal cortex, in crows and chicks (Wagener et al. 2018; Kobylkov et al. 2022). These neurons collectively form a distributed code capable of supporting the discrimination, comparison and manipulation of numerical quantities, providing a framework for understanding how numerical cognition emerges from neural circuits.\nDespite these advances, how these neural correlates emerge during development remains poorly understood, particularly in genetically tractable vertebrates such as zebrafish.\nWhile numerosity‐selective neurons have previously been reported in mammals and birds, our recent study using functional calcium imaging revealed such neurons in larval zebrafish (3–7 dpf), providing one of the earliest cellular correlates of approximate numerosity coding in this vertebrate model (Luu et al. 2026). In this study, neurons whose activity varied systematically with the number of items presented (1–5 black dots on a red background) were identified across the whole larval brain. We can describe these responses as consistent with ANS, because the paradigm used nonsymbolic dot displays, revealing Weber‐consistent tuning curves and ratio dependence across numerosities. Nonetheless, we acknowledge that small‐number processing can recruit additional mechanisms (including OTS attention‐based tracking), and future work will be needed to formally dissociate these contributions.\nMoreover, the informational content of these neurons was quantified by applying machine learning decoding analyses using a support vector machine (SVM) classifier (see Box 2). This is a decoding algorithm that assigns neuronal activity patterns to stimulus categories, predicting the numerosity viewed by the animal from the recorded ‘number neurons’ population activity. This demonstrates that the neuronal ensemble contains sufficient discriminative information to encode the number of elements with high fidelity. Notably, decoding remained robust even with relatively small subsets of neurons and could be generalised across fish, indicating that numerical information is distributed across multiple neurons while retaining a structured, decodable population code which is shared across individuals. Together, these findings support the idea that the fundamental principles of numerical representation are conserved across vertebrates and are represented at the level of individual, identifiable neurons early in development, with zebrafish larvae exhibiting these properties already at 3 dpf.\nNotably, this work provides initial evidence for a developmental trajectory of numerical representations, with early stages biased toward smaller numerosities and a later emergence of responses to higher quantities. As such, these findings open the possibility of directly investigating how numerical coding develops at the level of identified neurons, offering a tractable model to study the ontogeny and mechanisms of nonsymbolic number processing in vertebrates.\nOverall, these results have broad implications for our understanding of the evolution and ontogeny of numerical cognition. They demonstrate that core aspects of the ANS are instantiated at the cellular level early in development and highlight zebrafish as a powerful system for linking neural circuit dynamics to cognitive functions. The identification of number‐selective neurons in a genetically tractable vertebrate model provides a platform for mechanistic interrogation of how numerical representations are formed and maintained. Future studies should aim to manipulate these circuits in vivo, for example, using targeted optogenetic or pharmacological perturbations (or, as discussed above, systematically testing genetically modified lines), to directly assess the causal role of number‐selective neurons in behaviour and to probe the neural bases of numerical deficits such as dyscalculia.\n\n\n### Conclusions and Future Directions\nNumber sense represents a core cognitive faculty that supports the ability to estimate and compare quantities without symbolic representations. The ubiquity of this ability across species highlights the adaptive value of numerical cognition. However, as we have argued throughout this review, understanding the biological basis of number sense requires integrating evidence across multiple levels of analysis. Therefore, progress depends on the convergence of cross‐species behavioural studies, developmental investigations, human and animal genetic analyses and circuit‐level approaches in experimentally tractable models.\nThis integrative perspective provides a framework for linking candidate genes, neural circuit dynamics and numerical behaviour, and for identifying conserved mechanisms that may underlie numerical cognition and its disruption. To bridge the gap between descriptive associations and mechanistic understanding, we identify in Box 3 some of the most relevant near‐ and long‐term objectives for the field.\nTimelineResearch objectives and open questions\nNear‐term (empirical)\n\nGene‐to‐circuit mapping: Systematic testing of candidate genes (e.g., from WBS and Fragile X) in tractable models (e.g., zebrafish and Drosophila) to identify specific effects on number‐selective neuron development.\nDevelopmental windows: Using whole‐brain imaging to pinpoint the exact developmental onset of the ANS vs. OTS and determine if early disruptions predict later cognitive deficits. Carefully map the developmental emergence of number‐selective neurons.\nCausal manipulations: Utilising optogenetics to activate/silence number‐selective neurons in zebrafish to dissect their role in numerical tasks.\nLong‐term (theoretical)\n\nThe symbolic bridge: How are evolutionarily conserved, nonsymbolic circuits ontogenetically recycled or integrated with language‐based cortical networks to support the acquisition of abstract mathematical symbolism in humans?\nDiagnostic biomarkers: Can early neural signatures of numerosity or genetic risk scores in infancy serve as reliable predictive biomarkers for the later emergence of developmental dyscalculia?\nSynthesising numerical systems: Future research must move toward a unified model of numerical cognition that accounts for the interplay between the OTS, ANS and symbolic systems. This requires understanding the neural mechanisms that allow amodal representations of quantity to be mapped onto cultural symbols and how this synthesis matures from infancy through adulthood.\n\n\n### Author Contributions\nMirko Zanon: visualization, writing – original draft, writing – review and editing. Caroline H. Brennan: visualization, writing – original draft, writing – review and editing. Maria Elena Miletto Petrazzini: visualization, writing – original draft, writing – review and editing. Jose V. Torres‐Pérez: conceptualization, visualization, writing – original draft, writing – review and editing.\n\n\n### Funding\nJ.V.T‐P. is funded by the Spanish Ministry of Science, Innovation and Universities (MCIN/AEI/10.13039/501100011033) and the European Union ‘NextGenerationEU’/PRTR with a Ramón y Cajal contract (grant RYC2021‐034012‐I). J.V.T‐P. is also supported by the Conselleria de Educación, Cultura, Universidades y Empleo from the Generalitat Valenciana with a Subvencion a grupos de investigación emergentes (grant CIGE/2024/73).\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC13096507", "title": "A spiking neural network inspired by neuroscience and psychology for Western mode- and key-conditioned music learning and composition", "text": "# A spiking neural network inspired by neuroscience and psychology for Western mode- and key-conditioned music learning and composition\n\n## Abstract\nMusical mode is a fundamental element of tonal music, structuring pitch organization and shaping tonal relationships. Existing artificial intelligence approaches to symbolic music generation often rely on rigid alignment strategies and simplified tonal representations, limiting their ability to capture the diversity of musical modes, in contrast to the complex perceptual and learning mechanisms observed in human listeners. In this paper, we propose a brain-inspired spiking neural network that integrates biologically grounded mechanisms with symbolic music theory to represent and learn musical modes and keys. The model comprises multiple interacting subsystems inspired by the functional organization of relevant brain regions, and incorporates neural circuit evolution and spike-timing-dependent plasticity to support mode- and key-conditioned music learning and generation. Experimental results show that the synaptic connectivity patterns emerging in the proposed network exhibit strong alignment with the Krumhansl-Schmuckler key profiles, a well-established model of tonal perception in music psychology. Additionally, quantitative evaluations show that the generated musical pieces preserve tonal characteristics while maintaining melodic diversity. By integrating insights from neuroscience, music psychology, and music theory within a spiking neural network framework, this work provides an interpretable and biologically inspired approach to symbolic music learning and generation.\n\n## Full Text\n\n\n### Introduction\nMusic is intrinsic to human nature, engaging emotions, cognition, and cultural identity, and has long attracted researchers across disciplines, including neuroscience, psychology, and artificial intelligence (AI). In recent years, AI models have demonstrated impressive performance in symbolic music learning and generation through deep learning architectures, such as recurrent neural networks (RNN) 1–8, variational autoencoders (VAE) 9–11, generative adversarial networks (GAN) 12–14, and Transformers 7,8,15,16, even large language models (LLMs) 17–19. Despite these advances, existing models often treat tonal frameworks such as modes and keys through rigid alignment strategies, for example by transposing all pieces into a canonical key (C major or C minor)6,13, and through simplified tonal representations8, typically encoding key information as flat categorical labels. Such treatments limit their ability to capture the diversity of musical modes. In addition, their black-box nature is widely argued to lack biological plausibility and offer limited interpretability20–22, which further constrains their capacity to form structured, interpretable representations of musical knowledge.\nAs fundamental elements of tonal music, tonal frameworks such as modes and keys provide structured organizations of pitch relations and support stable tonal perception across musical contexts. This organization is captured by the Krumhansl–Schmuckler (KS) psychological model 23,24, which characterizes tonal hierarchies within a given key based on listeners’ ratings of pitch stability, and has become a foundational reference for tonal perception research in psychology and cognitive science. Such tonal frameworks have been widely described as internalized and abstract organizational structures 23. From a cognitive perspective, this type of internalized and structured knowledge can be understood as schematic knowledge, namely abstract representations that organize prior knowledge and guide perception by constraining how incoming musical events are interpreted 25, while also supporting memory by structuring how sequential information is encoded and later retrieved 26. At the neural level, schematic processing is strongly associated with the medial prefrontal cortex (mPFC) and its dynamic interaction with hippocampal memory systems 27, supporting rapid learning, robust memory formation, and the retrieval of structured knowledge 28,29. In addition, music cognition relies on memory systems for maintaining and retrieving musical information over time, with the hippocampus, medial temporal lobe (MTL), and prefrontal cortex (PFC) implicated in temporal context memory and sequence processing 30–33. In parallel, music perception depends critically on the auditory system, with the auditory cortex supporting pitch and frequency encoding 34–37 and additional neural populations contributing to temporal and rhythmic processing 38–40.\nDespite progress in understanding the neural and psychological basis of tonal perception, most mainstream deep learning approaches to symbolic music generation do not explicitly incorporate biologically motivated mechanisms or temporally grounded learning rules that could support such structured representations. In this context, spiking neural networks (SNNs) offer a closer match to brain computation. Specifically, SNNs employ biologically realistic neuron models with temporal spiking behavior, and their spike-based coding and spike-timing-dependent plasticity (STDP) naturally support learning from the timing and order of musical events, which is essential for sequential music processing. Moreover, their adaptive synaptic plasticity allows tonal schemas to be flexibly updated with new experiences, providing a computational basis for learning structured tonal regularities. Taken together, these properties make SNNs a suitable candidate for linking biologically motivated learning mechanisms with psychological-level tonal organization in symbolic music generation. In our previous studies, we proposed spiking neural network models inspired by cortical structures for music memorization 41, as well as stylistic 42 and emotional 43 melody generation. However, these works did not incorporate explicit tonal-theoretical structures or evaluate learned representations against established psychological models.\nIn this paper, we take Western tonal theory as a foundational research point and propose a brain-inspired spiking neural network model that learns and generates multi-track music by integrating brain mechanisms with psychological models of music cognition. The main contributions are as follows:We developed a multi-area collaborative model1 based on a Spiking Neural Network (SNN) within the open platform BrainCog 43 to perceive, learn, and generate four-part symbolic music. The model incorporates a hierarchical tonal subsystem and a sequential memory subsystem, inspired respectively by the medial prefrontal cortex (mPFC) and auditory cortex, to encode and learn musical features, including Western modes, keys, pitch, and duration, along with their interrelationships. To ensure biological plausibility and adaptability, we adopt the Izhikevich neuron model and apply synaptic creation together with spike-timing-dependent plasticity (STDP), enabling dynamic circuit evolution.Experimental results demonstrate that our approach, guided by biologically inspired plasticity mechanisms, enables the model to evolve internal representations that exhibit a strong similarity to human tonal perception patterns, specifically aligning with the tonal hierarchies formalized by the Krumhansl-Schmuckler model. For clarity, the musical terms used in this paper are provided in Supplementary Table S1 online.We introduce a novel symbolic dataset, SHTE, which is suitable for tonal structure research, and establish a comprehensive framework for the quantitative evaluation of music generation. The results reveal that the generated samples effectively capture the tonal characteristics of different modes and keys, further supporting the efficacy of our approach in generating music with tonal structures that align with the Krumhansl-Schmuckler psychological model.\nWe developed a multi-area collaborative model1 based on a Spiking Neural Network (SNN) within the open platform BrainCog 43 to perceive, learn, and generate four-part symbolic music. The model incorporates a hierarchical tonal subsystem and a sequential memory subsystem, inspired respectively by the medial prefrontal cortex (mPFC) and auditory cortex, to encode and learn musical features, including Western modes, keys, pitch, and duration, along with their interrelationships. To ensure biological plausibility and adaptability, we adopt the Izhikevich neuron model and apply synaptic creation together with spike-timing-dependent plasticity (STDP), enabling dynamic circuit evolution.\nExperimental results demonstrate that our approach, guided by biologically inspired plasticity mechanisms, enables the model to evolve internal representations that exhibit a strong similarity to human tonal perception patterns, specifically aligning with the tonal hierarchies formalized by the Krumhansl-Schmuckler model. For clarity, the musical terms used in this paper are provided in Supplementary Table S1 online.\nWe introduce a novel symbolic dataset, SHTE, which is suitable for tonal structure research, and establish a comprehensive framework for the quantitative evaluation of music generation. The results reveal that the generated samples effectively capture the tonal characteristics of different modes and keys, further supporting the efficacy of our approach in generating music with tonal structures that align with the Krumhansl-Schmuckler psychological model.\n\n\n### Methods\nIn this study, we utilize symbolic representations of musical pieces as the dataset and introduce a brain-inspired model based on a spiking neural network, drawing inspiration from recent advancements in neuroscience and psychology within the music domain. As illustrated in Fig. 1, the music information is prepared in a symbolic manner and divided into two parts: (1) treating the mode and key of a musical piece as theoretical musical knowledge, and (2) describing ordered notes, along with their respective pitches and durations with MIDI standard (Musical Instrument Digital Interface, a widely adopted protocol that encodes musical events as numerical values for digital processing). Then, the model centers around two key components: a tonal subsystem that embeds modes and keys as foundational prior knowledge directing the subsequent learning task, and a sequential memory subsystem designed to learn and store the ordered notes of music pieces.Fig. 1The overall architecture of the proposed model. (a) The model integrates the tonal subsystem (TS) and the sequential memory subsystem (SMS). The tonal subsystem includes the mode cluster and key clusters, which are responsible for encoding the related music knowledge. The SMS receives the symbolic representation of the pitches and the durations, encoding and memorizing the relationships of the ordered notes. (b) The pitch subnetwork comprises 128 minicolumns covering the full MIDI range (0–127). (c) The duration subnetwork comprises 64 minicolumns, each representing a discrete time bin from a demisemiquaver (0.125) to two semibreves (8), capturing typical time intervals in common musical contexts.\nThe overall architecture of the proposed model. (a) The model integrates the tonal subsystem (TS) and the sequential memory subsystem (SMS). The tonal subsystem includes the mode cluster and key clusters, which are responsible for encoding the related music knowledge. The SMS receives the symbolic representation of the pitches and the durations, encoding and memorizing the relationships of the ordered notes. (b) The pitch subnetwork comprises 128 minicolumns covering the full MIDI range (0–127). (c) The duration subnetwork comprises 64 minicolumns, each representing a discrete time bin from a demisemiquaver (0.125) to two semibreves (8), capturing typical time intervals in common musical contexts.\nAs discussed in the Introduction Section, tonal frameworks such as modes and keys have been widely characterized as internalized, abstract organizational structures in music cognition, and can be viewed as forms of schematic knowledge from a functional perspective 23. Schema representations are commonly associated with medial prefrontal cortex (mPFC) function and its interaction with the hippocampus, supporting the integration, learning, and retrieval of structured prior knowledge across experiences 25,27–29. Inspired by the functional role of the mPFC, the tonal subsystem is designed as a hierarchical structure that encodes modes and keys to guide subsequent learning and generation processes. As shown in Fig. 2C, the first layer, the mode cluster, contains two neural groups dedicated to encoding the Western major and the minor modes. Each group in this layer consists of twelve neurons corresponding to the tones in 12-Tone Equal Temperament (12-TET), with seven of them representing the tones (I to VII) within the pattern and the rest ones encoding those outside of the pattern, Fig. 2A illustrates the details of the major mode representation. The second layer, called the key cluster, consists of 24 neural groups, each encoding 12 major and 12 minor keys. Similarly, each group comprises twelve notes with a specific tonic, Fig. 2B shows how the neural group encodes the G major. Synaptic connections(shown in Fig. 2C) are projected from neurons in each group in the first layer that represent the tone scale degree of the mode to those in the second layer encoding the corresponding note scale degree.Fig. 2The tonal subsystem, (A) describes how a neuron group in the first layer in the mode cluster represents the major mode. Seven neurons drawn by orange parallelograms encodes the diatonic tones and the gray ones encodes the chromatic tones; (B) employs the key of G major to illustrate the principle, neurons drawn by green parallelograms encodes diatonic tones, G, A, B, C, D, E, #F, the gray parallelograms also encodes the rest tones; (C) draws the hierarchical connection architecture of the mode cluster.\nThe tonal subsystem, (A) describes how a neuron group in the first layer in the mode cluster represents the major mode. Seven neurons drawn by orange parallelograms encodes the diatonic tones and the gray ones encodes the chromatic tones; (B) employs the key of G major to illustrate the principle, neurons drawn by green parallelograms encodes diatonic tones, G, A, B, C, D, E, #F, the gray parallelograms also encodes the rest tones; (C) draws the hierarchical connection architecture of the mode cluster.\nA musical piece is composed of an ordered sequence of notes distributed across multiple instrumental parts or tracks, each playing a distinct harmonic role and collectively contributing to the overarching musical texture. To preserve the unique characteristics of each voice, the sequential memory subsystem (SMS) is organized into four parts, corresponding to the four typical voices in polyphonic music: Soprano, Alto, Tenor, and Bass. This architectural design was originally proposed in our previous work 42 and is adopted here to ensure structural consistency. As illustrated in Fig. 1, each part comprises a dual-network configuration: a pitch subnetwork that encodes the tonal information of notes, and a duration subnetwork that encodes the temporal intervals specifying how long each note is sustained.\nThe pitch subnetwork Inspired by the neural populations in the primary auditory cortex that respond distinctively to different frequencies34–37, the pitch subnetwork is proposed to consist of 128 functional minicolumns as its building blocks. As depicted in Fig. 1, each minicolumn is configured as a vertical column, representing one of the 128 pitches in accordance with the MIDI standard. Each minicolumn comprises numerous neurons, all of which share a common preference for a specific MIDI pitch index. For instance, all neurons within the minicolumn indexed at 60 will respond preferentially to the pitch C4. The synaptic connections within and between the minicolumns are detailed below.\nThe duration subnetwork Inspired by neuroscientific studies showing that certain populations of cortical neurons respond selectively to specific temporal intervals in the millisecond range 38, the duration subnetwork is designed to represent note durations in a biologically plausible and musically meaningful way, which was originally developed in our previous work 41. Its internal architecture is identical to that of the pitch subnetwork, but each minicolumn encodes a different temporal interval. The duration subnetwork consists of 64 functional minicolumns that span a range of note durations from a demisemiquaver (1/32 note) to two semibreves, which empirically covers the majority of note lengths encountered in common musical contexts. Each minicolumn corresponds to a discrete duration bin, with durations encoded on a fixed relative scale—for example, a crotchet is assigned a value of 1.0, a quaver 0.5 and a semibreve 4.0. This representation enables the model to capture rhythmic structures as a sequence of categorical temporal intervals. While duration is inherently continuous, this discretized encoding strikes a balance between biological plausibility and computational tractability.\nIntra-connection As illustrated in Fig. 1, the pitch and duration subnetworks share the same internal connection structure. Inspired by the excitatory and inhibitory synapses in the brain, the connections between adjacent layers and across layers in our model are excitatory and fully connected, primarily serving to strengthen links between neurons and facilitate the flow of activity. Synaptic plasticity and transmission delay are also incorporated as crucial mechanisms in the learning process. Synaptic plasticity enables the adjustment of connection weights based on experience, mirroring the adaptive capabilities of biological neural networks, while transmission delay accounts for the time required for signals to travel between neurons, ensuring accurate representation of neural firing dynamics. By contrast, connections within the same layer are inhibitory (lateral inhibition), emphasizing neuronal competition and contributing to stable network dynamics. For further details about the sequential memory system, see previous works 41,42.\nThe encoding process aims to transform external stimuli into neural spikes, which are discrete electrical events triggered when a neuron’s membrane potential surpasses a firing threshold, and serve as fundamental units for encoding and transmitting information in neural systems. Suppose a music piece consisting of multiple parts is defined as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$NS=\\{N_{i,j}|i=1,2,...n_{j},j=1,2,3,4\\}$$\\end{document}, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{i,j}$$\\end{document} denotes the note at i-th position in the j-th part, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$n_{j}$$\\end{document} refers to the number of notes in the j-th part. The mode can be written as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$M_{r}$$\\end{document}, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r=0$$\\end{document} or \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r=1$$\\end{document} refers to the major or minor mode. The key is marked as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K_{s}$$\\end{document}, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s\\in [1,12]$$\\end{document} denotes one of the 12 possible tonal centers. Then, the encoding process can be divided into two steps:\nStep1:Transformation of external stimuli The external stimuli (such as keys, pitches, etc.) are transformed into the input current I that is suitable for the computational neuron model to receive. For example, a G major musical piece activates the neurons in the major cluster in the first layer and G major in the second layer. Equations (1)–(2) describes the transformation for the mode and key clusters, respectively.1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{M_{r}}_{E\\_i}(t)&= \\alpha ^{M_{r}}\\delta (x_{ij}(t)-sd_{i}^{M_{r}})\\end{aligned}$$\\end{document}2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{K_{s}}_{E\\_i}(t)&= \\alpha ^{K_{s}}\\delta (x_{ij}(t)-ts_{i}^{K_{s}}) \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I_{E\\_i}^{M_{r}}(t)$$\\end{document} is the input current for neuron i in the r-th group of the mode cluster at time step t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x_{ij}(t)$$\\end{document} represents the external stimuli, which refers to the pitch of the input note \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{i,j}$$\\end{document} at time t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$sd_{i}^{M_{r}}$$\\end{document} denotes the scale degree of the tone which the neuron i represents in the mode cluster. The Dirac delta function \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta (\\cdot )$$\\end{document} serves as a binary indicator. Similarly, the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I^{K_{s}}_{E\\_i}(t)$$\\end{document} refers to the input current of neuron i in the s-th group of the key cluster, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ts_{i}^{K_{s}}$$\\end{document} denotes the tone scale in G major cluster which neuron i represents.\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{M_{r}}$$\\end{document}= \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{K_{s}}$$\\end{document}= 50 are the scale factors to control the input values.\nThe sequential memory subsystem is responsible for transforming the pitch and duration of ordered notes by the pitch and duration subnetworks in the j-th part, the current are as follows:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{P}_{E\\_ij}(t)&= \\alpha ^{P}\\delta (x_{ij}(t)-p_{hj})\\end{aligned}$$\\end{document}4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{D}_{E\\_ij}(t)&= \\alpha ^{D}\\delta (y_{ij}(t)-d_{kj}) \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x_{ij}(t)$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$y_{ij}(t)$$\\end{document} are the pitch and duration of the note \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{i,j}$$\\end{document} at time step t, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p_{hj}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d_{kj}$$\\end{document} denotes the preferences of the neurons in the h-th and k-th minicolumns in the pitch and duration subnetworks of part j, respectively. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{P}$$\\end{document}= \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{D}$$\\end{document} = 30 controls the scale of the current. Step2: Neural spiking In this study, we use the Izhikevich neural model 44 to simulate the behaviors of neurons within both the tonal subsystem and the sequential memory system. The model is described by the following equations:5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\begin{aligned} v(t+1)&= {\\left\\{ \\begin{array}{ll} 0.04v(t)^{2} + 5v(t) + 140-u(t) + I(t), v(t)< V_{th}\\\\ c, v(t) \\ge V_{th} \\end{array}\\right. }\\\\ u(t+1)&= {\\left\\{ \\begin{array}{ll} a(bv(t)-u(t)), v(t)< V_{th}\\\\ u(t)+d, v(t) \\ge V_{th} \\end{array}\\right. }\\\\ S(t)&= {\\left\\{ \\begin{array}{ll} 0, v(t) < V_{th} \\\\ 1, v(t) \\ge V_{th} \\end{array}\\right. } \\end{aligned} \\end{aligned}$$\\end{document}where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$v(t+1)$$\\end{document} and v(t) represent the membrane potential at time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t+1$$\\end{document} and t, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$u(t+1)$$\\end{document} and u(t) denote the recovery variable at time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t+1$$\\end{document} and t, respectively. I(t) is the synaptic current input to the neuron at t. a, b, c, and d are parameters that control the model to fire with different spiking patterns. When the membrane potential reaches the threshold \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V_{th}$$\\end{document}, it is reset to c and the recovery variable u(t) is incremented by d. S(t) represents whether the neuron exhibits a spike at time t. Neurons in the tonal and sequential memory subsystems are simulated by the Izhikevich neural model in response to the input current I and deliver the spikes. In this study, we set the parameters \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$a=0.1$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$b=0.2$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c=-65$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d=30$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V_{th} = 30$$\\end{document}.\nThe brain utilizes multiple regions to work together, with dynamic synaptic formation and elimination creating diverse neural circuits to accomplish various cognitive tasks. Inspired by these mechanisms, we consider the learning process as a collaborative effort among interconnected subnetworks, with a focus on the dynamic neural circuit evolution over time.\nSince the music theory system stores prior knowledge, the interconnected architecture is preset. However, there are no synaptic projections between the tonal subsystem and the sequential memory system at the initial state.\nNeuroscientific research has demonstrated that neural electrical activities and the dynamics of axonal growth cone movements are interdependent and coordinated. Electrical activities serve as feedback signals for the navigation of growth cones, while the movement of growth cones and the formation of new synapses subsequently influence the electrical activities within the neural network 45–47. In this study, we simplify this complex process by establishing rules for the formation of new synaptic connections and neural circuits in response to the input of musical information. The rule of synaptic creation is described as Eqs. (6) and (7).6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} o = \\sum _{f}^{N}\\sum _{n}^{N}\\delta (t_{i}^{f}-t_{j}^{n}) \\end{aligned}$$\\end{document}7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} c_{ij} = {\\left\\{ \\begin{array}{ll} 1, o \\ge 5\\\\ 0,else \\end{array}\\right. } \\end{aligned}$$\\end{document}where, the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t_{i}^{f}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t_{j}^{n}$$\\end{document} represent the spike time f and n of postsynaptic neuron i and presynaptic neuron j, respectively. When the oscillatory times \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$o \\ge 5$$\\end{document} of these neurons i and j, a new synaptic connection is formed, and is represented as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{ij}$$\\end{document}. This simple rule is defined to describe that neurons that oscillate together are more likely to form a synaptic connection between them.Fig. 3The learning process of music guided by the mode theory.\nThe learning process of music guided by the mode theory.\nThe establishment of novel neural pathways mainly occurs between the tonal subsystem and the sequential memory subsystem, which indicates the collaborative learning and interaction of these two subsystems. Figure 3 illustrates a simple example of how the model learns a four-part music piece in A minor. The model starts by receiving a set of notes \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}={\\{N_{1,1},N_{1,2},N_{1,3},N_{1,4}\\}}$$\\end{document} from four parts, accompanied by their respective symbolic pitches \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{1}= \\{{76,69,60,45\\}}$$\\end{document}. These notes fire the corresponding neurons in the mode and key clusters (highlighted by red parallelograms and circles) according to Eqs. (1)–(2) and Eq. (5). Simultaneously, the notes \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}$$\\end{document} also prompt the activation of neurons (represented by red circles) situated across various minicolumns within the pitch subnetworks of the sequential memory subsystem. These neural oscillations facilitate the formation of both feedforward and feedback connections (marked as red double arrows) between neurons in the tonal subsystem and those in the sequential memory system by the rule (6). The synaptic weights are initially set at random values, reflecting the stochastic nature of early learning stages. These weights will be subsequently updated by the STDP learning rule as the learning process unfolds. The transmission delay del for these new connections is set to zero in this phase, implying instantaneous signaling for simplicity. It is worth noting that the prior knowledge relationships, embodied as synaptic connections, are already established and depicted by blue arrows. Upon receiving the subsequent note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}, a similar pattern ensues, triggering the activation of corresponding neurons across both subsystems. When no connections link two oscillating neurons, novel connections are established spontaneously. This intricate process is characterized by the creation of neural circuits spanning the two subsystems.\nThis paper utilizes the modified STDP (Spike-Timing Dependence Plasticity)48 learning rule to account for the spiking transmission delay when updating synaptic weights during the learning process. STDP is a biologically inspired mechanism in which the strength of a synapse is adjusted based on the relative timing of spikes from pre- and post-synaptic neurons, enabling the network to capture temporal correlations in neural activity, as shown in Eq. (8).8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\begin{aligned}&\\Delta w_{j}=\\sum \\limits _{f=1}^{N} \\sum \\limits _{n=1}^{N} W(t^{f}_{i}-t^{n}_{j}-t^{del}_{i,j})\\\\&W(\\Delta t)= \\left\\{ \\begin{aligned} A^{+}e^{\\frac{-\\Delta t}{\\tau _{+}}}\\quad if\\; \\Delta t>0&\\\\ -A^{-}e^{\\frac{\\Delta t}{\\tau _{-}}}\\quad if\\;\\Delta t<0&\\\\ \\end{aligned} \\right. \\end{aligned} \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta w_{j}$$\\end{document} is modulate weight of the synapse j. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{f}_{i}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{n}_{j}$$\\end{document} denotes the spike time of post-synaptic neuron i and pre-synaptic neuron j, respectively. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{del}_{i,j}$$\\end{document} represents the axonal transmission delay between this neuron pair. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$A_{+}$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$A_{-}$$\\end{document} are scale factors, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\tau _{+}$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\tau _{-}$$\\end{document} are time constants.\nAs depicted in Fig. 3, following the emission of spikes by neurons within the pitch and duration subnetworks triggered by the input of the initial note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}$$\\end{document}, which comprises a pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{1} = {\\{76, 69, 60, 45\\}}$$\\end{document} and a duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{1} = {\\{1, 1, 1, 1\\}}$$\\end{document}, the model proceeds to process the subsequent note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}. Upon arrival of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}, characterized by its pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{2} = {\\{77, 69, 62, 50\\}}$$\\end{document} and identical duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{2} = {\\{1, 1, 1, 1\\}}$$\\end{document}, the corresponding neurons generate spikes in distinct minicolumns, each with its own preference for different parts of the input (highlighted by red circles). It becomes evident that neurons in the sequential memory system receive inputs not just from the external stimuli, but also from other layers within the same subnetworks and from the tonal subsystem, integrating this information for further processing. Then, the inputs of the i-th neuron in the j-th minicolumn in the pitch subnetwork can be described as Eq. (9).9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I_{ij}^{P}(t+1) = I^{P}_{E\\_ij}(t)+\\sum _{s}w^{TS}_{si}(t)+\\sum _{r}w^{P}_{ri}(t) \\end{aligned}$$\\end{document}\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I_{ij}^{P}(t)$$\\end{document} denotes the total input of the i-th neuron in j-th minicolumn located in the pitch subnetwork at time step t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I^{P}_{E\\_ij(t)}$$\\end{document} is the current caused by the external stimuli (pitch value), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w^{TS}_{s}$$\\end{document} means the s-th synaptic weight from the tonal subsystem, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w^{P}_{ri}$$\\end{document} represents the r-th synaptic weight from the neurons in pitch subnetwork. The detailed discussion regarding this component can be found in our earlier work41. Similarly, the input of neurons in the duration subnetwork can be expressed by Eq. (10). A notable difference, however, is that neurons in the duration subnetwork do not receive the signals from the tonal subsystems.10\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I_{ij}^{D}(t+1) = I^{D}_{E\\_ij}(t) +\\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document}\nSpecifying the mode and key is a fundamental step in the process of composing a piece of music. The model described in this paper requires not only the mode and key but also a set of seed notes to initiate the creative process. As illustrated in Fig. 4, the model is tasked with generating a four-part musical piece in G minor, starting with the tonic chord (G2-Bb3-D4-G4) as the seed. The figure omits the neurons and synaptic connections that are not involved in this example. The tonic chord is defined by the notation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{0}$$\\end{document}, which includes the pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{0}={\\{67,62,58,43\\}}$$\\end{document}, and duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{0}={\\{1,1,1,1\\}}$$\\end{document}, sending to the corresponding parts of the pitch and duration subnetworks.Fig. 4The generating processes of a musical piece in G minor begin with a tonic chord as the seed. The model receives this seed input and activates the neurons representing pitches that are distributed in four parts, guided by the active neurons that represent G minor, step by step. Neurons and synaptic connections not involved in the generation are omitted for clarity. Green circles represent neurons within the G minor group of the key cluster, blue and orange circles denote the pitch and duration neurons in the sequential memory subsystem, and red circles mark neurons activated at different time steps.Step1: Upon the input of the initial seed notes, the corresponding neurons in the G-minor group of the key cluster are ready to receive the stimuli and emit the spikes (red circle). The pitch and duration values of the seed notes trigger the activation of specific neurons in the sequential memory system (blue and orange circles), which then propagate through the network to generate the next set of notes. At this step, the neurons are updated by Eqs. (2)–(5). Neurons representing G2, Bb3, D4, and G4 in parts one to four fire (marked by red circles) and propagate their spikes to other neurons.Step2: Then, the subsequent neurons of the pitch and duration subnetworks receive and integrate inputs through trained synaptic connections by Eqs. (11) and (12), respectively. 11\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I^{P}_{ij}(t+1) = \\sum _{s}w^{TS}_{s}(t) + \\sum _{r}w^{P}_{r}(t) \\end{aligned}$$\\end{document}12\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I_{ij}^{D}(t+1) = \\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document} Therefore, neurons in the same layer compete with each other, and we employ the Winner-Takes-All principle to select the most strongly activated neuron as the generated results. As illustrated in Fig. 4, neurons in part two representing E4 and Eb4 are both activated as candidates at this step. However, due to the connection architecture of our trained model between the key cluster and pitch subnetworks, which is similar to KS model, and because the tone E is a chromatic tone in G minor, the synaptic weight between the neuron representing E4 and the neuron representing tone E in G minor group is significantly lower (light pink arrow) compared to that between neuron Eb4 and the corresponding neuron Eb in the G minor group of the key cluster (red arrow). Consequently, the neuron Eb4 emits more spikes and becomes the winner, representing the next generated note in part two. The generating processes are similar in other parts; synapses with high weights are marked by red arrows. C4 and C3 are the final winners in parts three and four. In summary, the neuron with the highest firing rate as the winner in each layer of each part is described by Eq. (13). 13\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} z = \\mathop {arg\\max }_{j}(\\sum ^{T}_{t}S_{j}(t)) \\end{aligned}$$\\end{document} Here, z represents the index of the winning neuron, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$S_{j}(t)$$\\end{document} denotes the spike train of neuron j at time t, and T is the total duration over which spikes are counted. Overall, in this step, the generated notes are G4, Eb4, C4, and C3 in the respective parts.Step3: The model generates consequent notes by a similar computation process to step two. The difference at this step is that connections across different layers are involved in pitch and duration subnetworks, which are marked by the purple arrows. The final results in this step from part one to part four are F#4, D4, A3, and D3, respectively.\nThe generating processes of a musical piece in G minor begin with a tonic chord as the seed. The model receives this seed input and activates the neurons representing pitches that are distributed in four parts, guided by the active neurons that represent G minor, step by step. Neurons and synaptic connections not involved in the generation are omitted for clarity. Green circles represent neurons within the G minor group of the key cluster, blue and orange circles denote the pitch and duration neurons in the sequential memory subsystem, and red circles mark neurons activated at different time steps.\nStep1: Upon the input of the initial seed notes, the corresponding neurons in the G-minor group of the key cluster are ready to receive the stimuli and emit the spikes (red circle). The pitch and duration values of the seed notes trigger the activation of specific neurons in the sequential memory system (blue and orange circles), which then propagate through the network to generate the next set of notes. At this step, the neurons are updated by Eqs. (2)–(5). Neurons representing G2, Bb3, D4, and G4 in parts one to four fire (marked by red circles) and propagate their spikes to other neurons.\nStep2: Then, the subsequent neurons of the pitch and duration subnetworks receive and integrate inputs through trained synaptic connections by Eqs. (11) and (12), respectively. 11\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I^{P}_{ij}(t+1) = \\sum _{s}w^{TS}_{s}(t) + \\sum _{r}w^{P}_{r}(t) \\end{aligned}$$\\end{document}12\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I_{ij}^{D}(t+1) = \\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document} Therefore, neurons in the same layer compete with each other, and we employ the Winner-Takes-All principle to select the most strongly activated neuron as the generated results. As illustrated in Fig. 4, neurons in part two representing E4 and Eb4 are both activated as candidates at this step. However, due to the connection architecture of our trained model between the key cluster and pitch subnetworks, which is similar to KS model, and because the tone E is a chromatic tone in G minor, the synaptic weight between the neuron representing E4 and the neuron representing tone E in G minor group is significantly lower (light pink arrow) compared to that between neuron Eb4 and the corresponding neuron Eb in the G minor group of the key cluster (red arrow). Consequently, the neuron Eb4 emits more spikes and becomes the winner, representing the next generated note in part two. The generating processes are similar in other parts; synapses with high weights are marked by red arrows. C4 and C3 are the final winners in parts three and four. In summary, the neuron with the highest firing rate as the winner in each layer of each part is described by Eq. (13). 13\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} z = \\mathop {arg\\max }_{j}(\\sum ^{T}_{t}S_{j}(t)) \\end{aligned}$$\\end{document} Here, z represents the index of the winning neuron, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$S_{j}(t)$$\\end{document} denotes the spike train of neuron j at time t, and T is the total duration over which spikes are counted. Overall, in this step, the generated notes are G4, Eb4, C4, and C3 in the respective parts.\nStep3: The model generates consequent notes by a similar computation process to step two. The difference at this step is that connections across different layers are involved in pitch and duration subnetworks, which are marked by the purple arrows. The final results in this step from part one to part four are F#4, D4, A3, and D3, respectively.\n\n\n### Model architecture\nIn this study, we utilize symbolic representations of musical pieces as the dataset and introduce a brain-inspired model based on a spiking neural network, drawing inspiration from recent advancements in neuroscience and psychology within the music domain. As illustrated in Fig. 1, the music information is prepared in a symbolic manner and divided into two parts: (1) treating the mode and key of a musical piece as theoretical musical knowledge, and (2) describing ordered notes, along with their respective pitches and durations with MIDI standard (Musical Instrument Digital Interface, a widely adopted protocol that encodes musical events as numerical values for digital processing). Then, the model centers around two key components: a tonal subsystem that embeds modes and keys as foundational prior knowledge directing the subsequent learning task, and a sequential memory subsystem designed to learn and store the ordered notes of music pieces.Fig. 1The overall architecture of the proposed model. (a) The model integrates the tonal subsystem (TS) and the sequential memory subsystem (SMS). The tonal subsystem includes the mode cluster and key clusters, which are responsible for encoding the related music knowledge. The SMS receives the symbolic representation of the pitches and the durations, encoding and memorizing the relationships of the ordered notes. (b) The pitch subnetwork comprises 128 minicolumns covering the full MIDI range (0–127). (c) The duration subnetwork comprises 64 minicolumns, each representing a discrete time bin from a demisemiquaver (0.125) to two semibreves (8), capturing typical time intervals in common musical contexts.\nThe overall architecture of the proposed model. (a) The model integrates the tonal subsystem (TS) and the sequential memory subsystem (SMS). The tonal subsystem includes the mode cluster and key clusters, which are responsible for encoding the related music knowledge. The SMS receives the symbolic representation of the pitches and the durations, encoding and memorizing the relationships of the ordered notes. (b) The pitch subnetwork comprises 128 minicolumns covering the full MIDI range (0–127). (c) The duration subnetwork comprises 64 minicolumns, each representing a discrete time bin from a demisemiquaver (0.125) to two semibreves (8), capturing typical time intervals in common musical contexts.\nAs discussed in the Introduction Section, tonal frameworks such as modes and keys have been widely characterized as internalized, abstract organizational structures in music cognition, and can be viewed as forms of schematic knowledge from a functional perspective 23. Schema representations are commonly associated with medial prefrontal cortex (mPFC) function and its interaction with the hippocampus, supporting the integration, learning, and retrieval of structured prior knowledge across experiences 25,27–29. Inspired by the functional role of the mPFC, the tonal subsystem is designed as a hierarchical structure that encodes modes and keys to guide subsequent learning and generation processes. As shown in Fig. 2C, the first layer, the mode cluster, contains two neural groups dedicated to encoding the Western major and the minor modes. Each group in this layer consists of twelve neurons corresponding to the tones in 12-Tone Equal Temperament (12-TET), with seven of them representing the tones (I to VII) within the pattern and the rest ones encoding those outside of the pattern, Fig. 2A illustrates the details of the major mode representation. The second layer, called the key cluster, consists of 24 neural groups, each encoding 12 major and 12 minor keys. Similarly, each group comprises twelve notes with a specific tonic, Fig. 2B shows how the neural group encodes the G major. Synaptic connections(shown in Fig. 2C) are projected from neurons in each group in the first layer that represent the tone scale degree of the mode to those in the second layer encoding the corresponding note scale degree.Fig. 2The tonal subsystem, (A) describes how a neuron group in the first layer in the mode cluster represents the major mode. Seven neurons drawn by orange parallelograms encodes the diatonic tones and the gray ones encodes the chromatic tones; (B) employs the key of G major to illustrate the principle, neurons drawn by green parallelograms encodes diatonic tones, G, A, B, C, D, E, #F, the gray parallelograms also encodes the rest tones; (C) draws the hierarchical connection architecture of the mode cluster.\nThe tonal subsystem, (A) describes how a neuron group in the first layer in the mode cluster represents the major mode. Seven neurons drawn by orange parallelograms encodes the diatonic tones and the gray ones encodes the chromatic tones; (B) employs the key of G major to illustrate the principle, neurons drawn by green parallelograms encodes diatonic tones, G, A, B, C, D, E, #F, the gray parallelograms also encodes the rest tones; (C) draws the hierarchical connection architecture of the mode cluster.\nA musical piece is composed of an ordered sequence of notes distributed across multiple instrumental parts or tracks, each playing a distinct harmonic role and collectively contributing to the overarching musical texture. To preserve the unique characteristics of each voice, the sequential memory subsystem (SMS) is organized into four parts, corresponding to the four typical voices in polyphonic music: Soprano, Alto, Tenor, and Bass. This architectural design was originally proposed in our previous work 42 and is adopted here to ensure structural consistency. As illustrated in Fig. 1, each part comprises a dual-network configuration: a pitch subnetwork that encodes the tonal information of notes, and a duration subnetwork that encodes the temporal intervals specifying how long each note is sustained.\nThe pitch subnetwork Inspired by the neural populations in the primary auditory cortex that respond distinctively to different frequencies34–37, the pitch subnetwork is proposed to consist of 128 functional minicolumns as its building blocks. As depicted in Fig. 1, each minicolumn is configured as a vertical column, representing one of the 128 pitches in accordance with the MIDI standard. Each minicolumn comprises numerous neurons, all of which share a common preference for a specific MIDI pitch index. For instance, all neurons within the minicolumn indexed at 60 will respond preferentially to the pitch C4. The synaptic connections within and between the minicolumns are detailed below.\nThe duration subnetwork Inspired by neuroscientific studies showing that certain populations of cortical neurons respond selectively to specific temporal intervals in the millisecond range 38, the duration subnetwork is designed to represent note durations in a biologically plausible and musically meaningful way, which was originally developed in our previous work 41. Its internal architecture is identical to that of the pitch subnetwork, but each minicolumn encodes a different temporal interval. The duration subnetwork consists of 64 functional minicolumns that span a range of note durations from a demisemiquaver (1/32 note) to two semibreves, which empirically covers the majority of note lengths encountered in common musical contexts. Each minicolumn corresponds to a discrete duration bin, with durations encoded on a fixed relative scale—for example, a crotchet is assigned a value of 1.0, a quaver 0.5 and a semibreve 4.0. This representation enables the model to capture rhythmic structures as a sequence of categorical temporal intervals. While duration is inherently continuous, this discretized encoding strikes a balance between biological plausibility and computational tractability.\nIntra-connection As illustrated in Fig. 1, the pitch and duration subnetworks share the same internal connection structure. Inspired by the excitatory and inhibitory synapses in the brain, the connections between adjacent layers and across layers in our model are excitatory and fully connected, primarily serving to strengthen links between neurons and facilitate the flow of activity. Synaptic plasticity and transmission delay are also incorporated as crucial mechanisms in the learning process. Synaptic plasticity enables the adjustment of connection weights based on experience, mirroring the adaptive capabilities of biological neural networks, while transmission delay accounts for the time required for signals to travel between neurons, ensuring accurate representation of neural firing dynamics. By contrast, connections within the same layer are inhibitory (lateral inhibition), emphasizing neuronal competition and contributing to stable network dynamics. For further details about the sequential memory system, see previous works 41,42.\n\n\n### Tonal subsystem\nAs discussed in the Introduction Section, tonal frameworks such as modes and keys have been widely characterized as internalized, abstract organizational structures in music cognition, and can be viewed as forms of schematic knowledge from a functional perspective 23. Schema representations are commonly associated with medial prefrontal cortex (mPFC) function and its interaction with the hippocampus, supporting the integration, learning, and retrieval of structured prior knowledge across experiences 25,27–29. Inspired by the functional role of the mPFC, the tonal subsystem is designed as a hierarchical structure that encodes modes and keys to guide subsequent learning and generation processes. As shown in Fig. 2C, the first layer, the mode cluster, contains two neural groups dedicated to encoding the Western major and the minor modes. Each group in this layer consists of twelve neurons corresponding to the tones in 12-Tone Equal Temperament (12-TET), with seven of them representing the tones (I to VII) within the pattern and the rest ones encoding those outside of the pattern, Fig. 2A illustrates the details of the major mode representation. The second layer, called the key cluster, consists of 24 neural groups, each encoding 12 major and 12 minor keys. Similarly, each group comprises twelve notes with a specific tonic, Fig. 2B shows how the neural group encodes the G major. Synaptic connections(shown in Fig. 2C) are projected from neurons in each group in the first layer that represent the tone scale degree of the mode to those in the second layer encoding the corresponding note scale degree.Fig. 2The tonal subsystem, (A) describes how a neuron group in the first layer in the mode cluster represents the major mode. Seven neurons drawn by orange parallelograms encodes the diatonic tones and the gray ones encodes the chromatic tones; (B) employs the key of G major to illustrate the principle, neurons drawn by green parallelograms encodes diatonic tones, G, A, B, C, D, E, #F, the gray parallelograms also encodes the rest tones; (C) draws the hierarchical connection architecture of the mode cluster.\nThe tonal subsystem, (A) describes how a neuron group in the first layer in the mode cluster represents the major mode. Seven neurons drawn by orange parallelograms encodes the diatonic tones and the gray ones encodes the chromatic tones; (B) employs the key of G major to illustrate the principle, neurons drawn by green parallelograms encodes diatonic tones, G, A, B, C, D, E, #F, the gray parallelograms also encodes the rest tones; (C) draws the hierarchical connection architecture of the mode cluster.\n\n\n### Sequential memory subsystem\nA musical piece is composed of an ordered sequence of notes distributed across multiple instrumental parts or tracks, each playing a distinct harmonic role and collectively contributing to the overarching musical texture. To preserve the unique characteristics of each voice, the sequential memory subsystem (SMS) is organized into four parts, corresponding to the four typical voices in polyphonic music: Soprano, Alto, Tenor, and Bass. This architectural design was originally proposed in our previous work 42 and is adopted here to ensure structural consistency. As illustrated in Fig. 1, each part comprises a dual-network configuration: a pitch subnetwork that encodes the tonal information of notes, and a duration subnetwork that encodes the temporal intervals specifying how long each note is sustained.\nThe pitch subnetwork Inspired by the neural populations in the primary auditory cortex that respond distinctively to different frequencies34–37, the pitch subnetwork is proposed to consist of 128 functional minicolumns as its building blocks. As depicted in Fig. 1, each minicolumn is configured as a vertical column, representing one of the 128 pitches in accordance with the MIDI standard. Each minicolumn comprises numerous neurons, all of which share a common preference for a specific MIDI pitch index. For instance, all neurons within the minicolumn indexed at 60 will respond preferentially to the pitch C4. The synaptic connections within and between the minicolumns are detailed below.\nThe duration subnetwork Inspired by neuroscientific studies showing that certain populations of cortical neurons respond selectively to specific temporal intervals in the millisecond range 38, the duration subnetwork is designed to represent note durations in a biologically plausible and musically meaningful way, which was originally developed in our previous work 41. Its internal architecture is identical to that of the pitch subnetwork, but each minicolumn encodes a different temporal interval. The duration subnetwork consists of 64 functional minicolumns that span a range of note durations from a demisemiquaver (1/32 note) to two semibreves, which empirically covers the majority of note lengths encountered in common musical contexts. Each minicolumn corresponds to a discrete duration bin, with durations encoded on a fixed relative scale—for example, a crotchet is assigned a value of 1.0, a quaver 0.5 and a semibreve 4.0. This representation enables the model to capture rhythmic structures as a sequence of categorical temporal intervals. While duration is inherently continuous, this discretized encoding strikes a balance between biological plausibility and computational tractability.\nIntra-connection As illustrated in Fig. 1, the pitch and duration subnetworks share the same internal connection structure. Inspired by the excitatory and inhibitory synapses in the brain, the connections between adjacent layers and across layers in our model are excitatory and fully connected, primarily serving to strengthen links between neurons and facilitate the flow of activity. Synaptic plasticity and transmission delay are also incorporated as crucial mechanisms in the learning process. Synaptic plasticity enables the adjustment of connection weights based on experience, mirroring the adaptive capabilities of biological neural networks, while transmission delay accounts for the time required for signals to travel between neurons, ensuring accurate representation of neural firing dynamics. By contrast, connections within the same layer are inhibitory (lateral inhibition), emphasizing neuronal competition and contributing to stable network dynamics. For further details about the sequential memory system, see previous works 41,42.\n\n\n### Music data encoding\nThe encoding process aims to transform external stimuli into neural spikes, which are discrete electrical events triggered when a neuron’s membrane potential surpasses a firing threshold, and serve as fundamental units for encoding and transmitting information in neural systems. Suppose a music piece consisting of multiple parts is defined as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$NS=\\{N_{i,j}|i=1,2,...n_{j},j=1,2,3,4\\}$$\\end{document}, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{i,j}$$\\end{document} denotes the note at i-th position in the j-th part, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$n_{j}$$\\end{document} refers to the number of notes in the j-th part. The mode can be written as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$M_{r}$$\\end{document}, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r=0$$\\end{document} or \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r=1$$\\end{document} refers to the major or minor mode. The key is marked as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K_{s}$$\\end{document}, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s\\in [1,12]$$\\end{document} denotes one of the 12 possible tonal centers. Then, the encoding process can be divided into two steps:\nStep1:Transformation of external stimuli The external stimuli (such as keys, pitches, etc.) are transformed into the input current I that is suitable for the computational neuron model to receive. For example, a G major musical piece activates the neurons in the major cluster in the first layer and G major in the second layer. Equations (1)–(2) describes the transformation for the mode and key clusters, respectively.1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{M_{r}}_{E\\_i}(t)&= \\alpha ^{M_{r}}\\delta (x_{ij}(t)-sd_{i}^{M_{r}})\\end{aligned}$$\\end{document}2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{K_{s}}_{E\\_i}(t)&= \\alpha ^{K_{s}}\\delta (x_{ij}(t)-ts_{i}^{K_{s}}) \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I_{E\\_i}^{M_{r}}(t)$$\\end{document} is the input current for neuron i in the r-th group of the mode cluster at time step t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x_{ij}(t)$$\\end{document} represents the external stimuli, which refers to the pitch of the input note \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{i,j}$$\\end{document} at time t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$sd_{i}^{M_{r}}$$\\end{document} denotes the scale degree of the tone which the neuron i represents in the mode cluster. The Dirac delta function \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\delta (\\cdot )$$\\end{document} serves as a binary indicator. Similarly, the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I^{K_{s}}_{E\\_i}(t)$$\\end{document} refers to the input current of neuron i in the s-th group of the key cluster, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ts_{i}^{K_{s}}$$\\end{document} denotes the tone scale in G major cluster which neuron i represents.\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{M_{r}}$$\\end{document}= \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{K_{s}}$$\\end{document}= 50 are the scale factors to control the input values.\nThe sequential memory subsystem is responsible for transforming the pitch and duration of ordered notes by the pitch and duration subnetworks in the j-th part, the current are as follows:3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{P}_{E\\_ij}(t)&= \\alpha ^{P}\\delta (x_{ij}(t)-p_{hj})\\end{aligned}$$\\end{document}4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I^{D}_{E\\_ij}(t)&= \\alpha ^{D}\\delta (y_{ij}(t)-d_{kj}) \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$x_{ij}(t)$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$y_{ij}(t)$$\\end{document} are the pitch and duration of the note \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{i,j}$$\\end{document} at time step t, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p_{hj}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d_{kj}$$\\end{document} denotes the preferences of the neurons in the h-th and k-th minicolumns in the pitch and duration subnetworks of part j, respectively. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{P}$$\\end{document}= \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha ^{D}$$\\end{document} = 30 controls the scale of the current. Step2: Neural spiking In this study, we use the Izhikevich neural model 44 to simulate the behaviors of neurons within both the tonal subsystem and the sequential memory system. The model is described by the following equations:5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\begin{aligned} v(t+1)&= {\\left\\{ \\begin{array}{ll} 0.04v(t)^{2} + 5v(t) + 140-u(t) + I(t), v(t)< V_{th}\\\\ c, v(t) \\ge V_{th} \\end{array}\\right. }\\\\ u(t+1)&= {\\left\\{ \\begin{array}{ll} a(bv(t)-u(t)), v(t)< V_{th}\\\\ u(t)+d, v(t) \\ge V_{th} \\end{array}\\right. }\\\\ S(t)&= {\\left\\{ \\begin{array}{ll} 0, v(t) < V_{th} \\\\ 1, v(t) \\ge V_{th} \\end{array}\\right. } \\end{aligned} \\end{aligned}$$\\end{document}where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$v(t+1)$$\\end{document} and v(t) represent the membrane potential at time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t+1$$\\end{document} and t, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$u(t+1)$$\\end{document} and u(t) denote the recovery variable at time \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t+1$$\\end{document} and t, respectively. I(t) is the synaptic current input to the neuron at t. a, b, c, and d are parameters that control the model to fire with different spiking patterns. When the membrane potential reaches the threshold \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V_{th}$$\\end{document}, it is reset to c and the recovery variable u(t) is incremented by d. S(t) represents whether the neuron exhibits a spike at time t. Neurons in the tonal and sequential memory subsystems are simulated by the Izhikevich neural model in response to the input current I and deliver the spikes. In this study, we set the parameters \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$a=0.1$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$b=0.2$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c=-65$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$d=30$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V_{th} = 30$$\\end{document}.\n\n\n### Learning based on neural circuits evolution\nThe brain utilizes multiple regions to work together, with dynamic synaptic formation and elimination creating diverse neural circuits to accomplish various cognitive tasks. Inspired by these mechanisms, we consider the learning process as a collaborative effort among interconnected subnetworks, with a focus on the dynamic neural circuit evolution over time.\nSince the music theory system stores prior knowledge, the interconnected architecture is preset. However, there are no synaptic projections between the tonal subsystem and the sequential memory system at the initial state.\nNeuroscientific research has demonstrated that neural electrical activities and the dynamics of axonal growth cone movements are interdependent and coordinated. Electrical activities serve as feedback signals for the navigation of growth cones, while the movement of growth cones and the formation of new synapses subsequently influence the electrical activities within the neural network 45–47. In this study, we simplify this complex process by establishing rules for the formation of new synaptic connections and neural circuits in response to the input of musical information. The rule of synaptic creation is described as Eqs. (6) and (7).6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} o = \\sum _{f}^{N}\\sum _{n}^{N}\\delta (t_{i}^{f}-t_{j}^{n}) \\end{aligned}$$\\end{document}7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} c_{ij} = {\\left\\{ \\begin{array}{ll} 1, o \\ge 5\\\\ 0,else \\end{array}\\right. } \\end{aligned}$$\\end{document}where, the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t_{i}^{f}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t_{j}^{n}$$\\end{document} represent the spike time f and n of postsynaptic neuron i and presynaptic neuron j, respectively. When the oscillatory times \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$o \\ge 5$$\\end{document} of these neurons i and j, a new synaptic connection is formed, and is represented as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{ij}$$\\end{document}. This simple rule is defined to describe that neurons that oscillate together are more likely to form a synaptic connection between them.Fig. 3The learning process of music guided by the mode theory.\nThe learning process of music guided by the mode theory.\nThe establishment of novel neural pathways mainly occurs between the tonal subsystem and the sequential memory subsystem, which indicates the collaborative learning and interaction of these two subsystems. Figure 3 illustrates a simple example of how the model learns a four-part music piece in A minor. The model starts by receiving a set of notes \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}={\\{N_{1,1},N_{1,2},N_{1,3},N_{1,4}\\}}$$\\end{document} from four parts, accompanied by their respective symbolic pitches \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{1}= \\{{76,69,60,45\\}}$$\\end{document}. These notes fire the corresponding neurons in the mode and key clusters (highlighted by red parallelograms and circles) according to Eqs. (1)–(2) and Eq. (5). Simultaneously, the notes \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}$$\\end{document} also prompt the activation of neurons (represented by red circles) situated across various minicolumns within the pitch subnetworks of the sequential memory subsystem. These neural oscillations facilitate the formation of both feedforward and feedback connections (marked as red double arrows) between neurons in the tonal subsystem and those in the sequential memory system by the rule (6). The synaptic weights are initially set at random values, reflecting the stochastic nature of early learning stages. These weights will be subsequently updated by the STDP learning rule as the learning process unfolds. The transmission delay del for these new connections is set to zero in this phase, implying instantaneous signaling for simplicity. It is worth noting that the prior knowledge relationships, embodied as synaptic connections, are already established and depicted by blue arrows. Upon receiving the subsequent note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}, a similar pattern ensues, triggering the activation of corresponding neurons across both subsystems. When no connections link two oscillating neurons, novel connections are established spontaneously. This intricate process is characterized by the creation of neural circuits spanning the two subsystems.\nThis paper utilizes the modified STDP (Spike-Timing Dependence Plasticity)48 learning rule to account for the spiking transmission delay when updating synaptic weights during the learning process. STDP is a biologically inspired mechanism in which the strength of a synapse is adjusted based on the relative timing of spikes from pre- and post-synaptic neurons, enabling the network to capture temporal correlations in neural activity, as shown in Eq. (8).8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\begin{aligned}&\\Delta w_{j}=\\sum \\limits _{f=1}^{N} \\sum \\limits _{n=1}^{N} W(t^{f}_{i}-t^{n}_{j}-t^{del}_{i,j})\\\\&W(\\Delta t)= \\left\\{ \\begin{aligned} A^{+}e^{\\frac{-\\Delta t}{\\tau _{+}}}\\quad if\\; \\Delta t>0&\\\\ -A^{-}e^{\\frac{\\Delta t}{\\tau _{-}}}\\quad if\\;\\Delta t<0&\\\\ \\end{aligned} \\right. \\end{aligned} \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta w_{j}$$\\end{document} is modulate weight of the synapse j. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{f}_{i}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{n}_{j}$$\\end{document} denotes the spike time of post-synaptic neuron i and pre-synaptic neuron j, respectively. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{del}_{i,j}$$\\end{document} represents the axonal transmission delay between this neuron pair. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$A_{+}$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$A_{-}$$\\end{document} are scale factors, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\tau _{+}$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\tau _{-}$$\\end{document} are time constants.\nAs depicted in Fig. 3, following the emission of spikes by neurons within the pitch and duration subnetworks triggered by the input of the initial note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}$$\\end{document}, which comprises a pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{1} = {\\{76, 69, 60, 45\\}}$$\\end{document} and a duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{1} = {\\{1, 1, 1, 1\\}}$$\\end{document}, the model proceeds to process the subsequent note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}. Upon arrival of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}, characterized by its pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{2} = {\\{77, 69, 62, 50\\}}$$\\end{document} and identical duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{2} = {\\{1, 1, 1, 1\\}}$$\\end{document}, the corresponding neurons generate spikes in distinct minicolumns, each with its own preference for different parts of the input (highlighted by red circles). It becomes evident that neurons in the sequential memory system receive inputs not just from the external stimuli, but also from other layers within the same subnetworks and from the tonal subsystem, integrating this information for further processing. Then, the inputs of the i-th neuron in the j-th minicolumn in the pitch subnetwork can be described as Eq. (9).9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I_{ij}^{P}(t+1) = I^{P}_{E\\_ij}(t)+\\sum _{s}w^{TS}_{si}(t)+\\sum _{r}w^{P}_{ri}(t) \\end{aligned}$$\\end{document}\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I_{ij}^{P}(t)$$\\end{document} denotes the total input of the i-th neuron in j-th minicolumn located in the pitch subnetwork at time step t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I^{P}_{E\\_ij(t)}$$\\end{document} is the current caused by the external stimuli (pitch value), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w^{TS}_{s}$$\\end{document} means the s-th synaptic weight from the tonal subsystem, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w^{P}_{ri}$$\\end{document} represents the r-th synaptic weight from the neurons in pitch subnetwork. The detailed discussion regarding this component can be found in our earlier work41. Similarly, the input of neurons in the duration subnetwork can be expressed by Eq. (10). A notable difference, however, is that neurons in the duration subnetwork do not receive the signals from the tonal subsystems.10\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I_{ij}^{D}(t+1) = I^{D}_{E\\_ij}(t) +\\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document}\n\n\n### Synaptic creation\nSince the music theory system stores prior knowledge, the interconnected architecture is preset. However, there are no synaptic projections between the tonal subsystem and the sequential memory system at the initial state.\nNeuroscientific research has demonstrated that neural electrical activities and the dynamics of axonal growth cone movements are interdependent and coordinated. Electrical activities serve as feedback signals for the navigation of growth cones, while the movement of growth cones and the formation of new synapses subsequently influence the electrical activities within the neural network 45–47. In this study, we simplify this complex process by establishing rules for the formation of new synaptic connections and neural circuits in response to the input of musical information. The rule of synaptic creation is described as Eqs. (6) and (7).6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} o = \\sum _{f}^{N}\\sum _{n}^{N}\\delta (t_{i}^{f}-t_{j}^{n}) \\end{aligned}$$\\end{document}7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} c_{ij} = {\\left\\{ \\begin{array}{ll} 1, o \\ge 5\\\\ 0,else \\end{array}\\right. } \\end{aligned}$$\\end{document}where, the \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t_{i}^{f}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t_{j}^{n}$$\\end{document} represent the spike time f and n of postsynaptic neuron i and presynaptic neuron j, respectively. When the oscillatory times \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$o \\ge 5$$\\end{document} of these neurons i and j, a new synaptic connection is formed, and is represented as \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{ij}$$\\end{document}. This simple rule is defined to describe that neurons that oscillate together are more likely to form a synaptic connection between them.Fig. 3The learning process of music guided by the mode theory.\nThe learning process of music guided by the mode theory.\nThe establishment of novel neural pathways mainly occurs between the tonal subsystem and the sequential memory subsystem, which indicates the collaborative learning and interaction of these two subsystems. Figure 3 illustrates a simple example of how the model learns a four-part music piece in A minor. The model starts by receiving a set of notes \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}={\\{N_{1,1},N_{1,2},N_{1,3},N_{1,4}\\}}$$\\end{document} from four parts, accompanied by their respective symbolic pitches \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{1}= \\{{76,69,60,45\\}}$$\\end{document}. These notes fire the corresponding neurons in the mode and key clusters (highlighted by red parallelograms and circles) according to Eqs. (1)–(2) and Eq. (5). Simultaneously, the notes \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}$$\\end{document} also prompt the activation of neurons (represented by red circles) situated across various minicolumns within the pitch subnetworks of the sequential memory subsystem. These neural oscillations facilitate the formation of both feedforward and feedback connections (marked as red double arrows) between neurons in the tonal subsystem and those in the sequential memory system by the rule (6). The synaptic weights are initially set at random values, reflecting the stochastic nature of early learning stages. These weights will be subsequently updated by the STDP learning rule as the learning process unfolds. The transmission delay del for these new connections is set to zero in this phase, implying instantaneous signaling for simplicity. It is worth noting that the prior knowledge relationships, embodied as synaptic connections, are already established and depicted by blue arrows. Upon receiving the subsequent note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}, a similar pattern ensues, triggering the activation of corresponding neurons across both subsystems. When no connections link two oscillating neurons, novel connections are established spontaneously. This intricate process is characterized by the creation of neural circuits spanning the two subsystems.\n\n\n### Synaptic plasticity\nThis paper utilizes the modified STDP (Spike-Timing Dependence Plasticity)48 learning rule to account for the spiking transmission delay when updating synaptic weights during the learning process. STDP is a biologically inspired mechanism in which the strength of a synapse is adjusted based on the relative timing of spikes from pre- and post-synaptic neurons, enabling the network to capture temporal correlations in neural activity, as shown in Eq. (8).8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\begin{aligned}&\\Delta w_{j}=\\sum \\limits _{f=1}^{N} \\sum \\limits _{n=1}^{N} W(t^{f}_{i}-t^{n}_{j}-t^{del}_{i,j})\\\\&W(\\Delta t)= \\left\\{ \\begin{aligned} A^{+}e^{\\frac{-\\Delta t}{\\tau _{+}}}\\quad if\\; \\Delta t>0&\\\\ -A^{-}e^{\\frac{\\Delta t}{\\tau _{-}}}\\quad if\\;\\Delta t<0&\\\\ \\end{aligned} \\right. \\end{aligned} \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta w_{j}$$\\end{document} is modulate weight of the synapse j. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{f}_{i}$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{n}_{j}$$\\end{document} denotes the spike time of post-synaptic neuron i and pre-synaptic neuron j, respectively. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t^{del}_{i,j}$$\\end{document} represents the axonal transmission delay between this neuron pair. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$A_{+}$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$A_{-}$$\\end{document} are scale factors, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\tau _{+}$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\tau _{-}$$\\end{document} are time constants.\nAs depicted in Fig. 3, following the emission of spikes by neurons within the pitch and duration subnetworks triggered by the input of the initial note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{1}$$\\end{document}, which comprises a pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{1} = {\\{76, 69, 60, 45\\}}$$\\end{document} and a duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{1} = {\\{1, 1, 1, 1\\}}$$\\end{document}, the model proceeds to process the subsequent note set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}. Upon arrival of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{2}$$\\end{document}, characterized by its pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{2} = {\\{77, 69, 62, 50\\}}$$\\end{document} and identical duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{2} = {\\{1, 1, 1, 1\\}}$$\\end{document}, the corresponding neurons generate spikes in distinct minicolumns, each with its own preference for different parts of the input (highlighted by red circles). It becomes evident that neurons in the sequential memory system receive inputs not just from the external stimuli, but also from other layers within the same subnetworks and from the tonal subsystem, integrating this information for further processing. Then, the inputs of the i-th neuron in the j-th minicolumn in the pitch subnetwork can be described as Eq. (9).9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I_{ij}^{P}(t+1) = I^{P}_{E\\_ij}(t)+\\sum _{s}w^{TS}_{si}(t)+\\sum _{r}w^{P}_{ri}(t) \\end{aligned}$$\\end{document}\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I_{ij}^{P}(t)$$\\end{document} denotes the total input of the i-th neuron in j-th minicolumn located in the pitch subnetwork at time step t. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$I^{P}_{E\\_ij(t)}$$\\end{document} is the current caused by the external stimuli (pitch value), \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w^{TS}_{s}$$\\end{document} means the s-th synaptic weight from the tonal subsystem, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w^{P}_{ri}$$\\end{document} represents the r-th synaptic weight from the neurons in pitch subnetwork. The detailed discussion regarding this component can be found in our earlier work41. Similarly, the input of neurons in the duration subnetwork can be expressed by Eq. (10). A notable difference, however, is that neurons in the duration subnetwork do not receive the signals from the tonal subsystems.10\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} I_{ij}^{D}(t+1) = I^{D}_{E\\_ij}(t) +\\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document}\n\n\n### Mode-conditioned music generation\nSpecifying the mode and key is a fundamental step in the process of composing a piece of music. The model described in this paper requires not only the mode and key but also a set of seed notes to initiate the creative process. As illustrated in Fig. 4, the model is tasked with generating a four-part musical piece in G minor, starting with the tonic chord (G2-Bb3-D4-G4) as the seed. The figure omits the neurons and synaptic connections that are not involved in this example. The tonic chord is defined by the notation \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N_{0}$$\\end{document}, which includes the pitch set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X_{0}={\\{67,62,58,43\\}}$$\\end{document}, and duration set \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Y_{0}={\\{1,1,1,1\\}}$$\\end{document}, sending to the corresponding parts of the pitch and duration subnetworks.Fig. 4The generating processes of a musical piece in G minor begin with a tonic chord as the seed. The model receives this seed input and activates the neurons representing pitches that are distributed in four parts, guided by the active neurons that represent G minor, step by step. Neurons and synaptic connections not involved in the generation are omitted for clarity. Green circles represent neurons within the G minor group of the key cluster, blue and orange circles denote the pitch and duration neurons in the sequential memory subsystem, and red circles mark neurons activated at different time steps.Step1: Upon the input of the initial seed notes, the corresponding neurons in the G-minor group of the key cluster are ready to receive the stimuli and emit the spikes (red circle). The pitch and duration values of the seed notes trigger the activation of specific neurons in the sequential memory system (blue and orange circles), which then propagate through the network to generate the next set of notes. At this step, the neurons are updated by Eqs. (2)–(5). Neurons representing G2, Bb3, D4, and G4 in parts one to four fire (marked by red circles) and propagate their spikes to other neurons.Step2: Then, the subsequent neurons of the pitch and duration subnetworks receive and integrate inputs through trained synaptic connections by Eqs. (11) and (12), respectively. 11\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I^{P}_{ij}(t+1) = \\sum _{s}w^{TS}_{s}(t) + \\sum _{r}w^{P}_{r}(t) \\end{aligned}$$\\end{document}12\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I_{ij}^{D}(t+1) = \\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document} Therefore, neurons in the same layer compete with each other, and we employ the Winner-Takes-All principle to select the most strongly activated neuron as the generated results. As illustrated in Fig. 4, neurons in part two representing E4 and Eb4 are both activated as candidates at this step. However, due to the connection architecture of our trained model between the key cluster and pitch subnetworks, which is similar to KS model, and because the tone E is a chromatic tone in G minor, the synaptic weight between the neuron representing E4 and the neuron representing tone E in G minor group is significantly lower (light pink arrow) compared to that between neuron Eb4 and the corresponding neuron Eb in the G minor group of the key cluster (red arrow). Consequently, the neuron Eb4 emits more spikes and becomes the winner, representing the next generated note in part two. The generating processes are similar in other parts; synapses with high weights are marked by red arrows. C4 and C3 are the final winners in parts three and four. In summary, the neuron with the highest firing rate as the winner in each layer of each part is described by Eq. (13). 13\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} z = \\mathop {arg\\max }_{j}(\\sum ^{T}_{t}S_{j}(t)) \\end{aligned}$$\\end{document} Here, z represents the index of the winning neuron, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$S_{j}(t)$$\\end{document} denotes the spike train of neuron j at time t, and T is the total duration over which spikes are counted. Overall, in this step, the generated notes are G4, Eb4, C4, and C3 in the respective parts.Step3: The model generates consequent notes by a similar computation process to step two. The difference at this step is that connections across different layers are involved in pitch and duration subnetworks, which are marked by the purple arrows. The final results in this step from part one to part four are F#4, D4, A3, and D3, respectively.\nThe generating processes of a musical piece in G minor begin with a tonic chord as the seed. The model receives this seed input and activates the neurons representing pitches that are distributed in four parts, guided by the active neurons that represent G minor, step by step. Neurons and synaptic connections not involved in the generation are omitted for clarity. Green circles represent neurons within the G minor group of the key cluster, blue and orange circles denote the pitch and duration neurons in the sequential memory subsystem, and red circles mark neurons activated at different time steps.\nStep1: Upon the input of the initial seed notes, the corresponding neurons in the G-minor group of the key cluster are ready to receive the stimuli and emit the spikes (red circle). The pitch and duration values of the seed notes trigger the activation of specific neurons in the sequential memory system (blue and orange circles), which then propagate through the network to generate the next set of notes. At this step, the neurons are updated by Eqs. (2)–(5). Neurons representing G2, Bb3, D4, and G4 in parts one to four fire (marked by red circles) and propagate their spikes to other neurons.\nStep2: Then, the subsequent neurons of the pitch and duration subnetworks receive and integrate inputs through trained synaptic connections by Eqs. (11) and (12), respectively. 11\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I^{P}_{ij}(t+1) = \\sum _{s}w^{TS}_{s}(t) + \\sum _{r}w^{P}_{r}(t) \\end{aligned}$$\\end{document}12\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} & I_{ij}^{D}(t+1) = \\sum _{r}w^{D}_{ri}(t) \\end{aligned}$$\\end{document} Therefore, neurons in the same layer compete with each other, and we employ the Winner-Takes-All principle to select the most strongly activated neuron as the generated results. As illustrated in Fig. 4, neurons in part two representing E4 and Eb4 are both activated as candidates at this step. However, due to the connection architecture of our trained model between the key cluster and pitch subnetworks, which is similar to KS model, and because the tone E is a chromatic tone in G minor, the synaptic weight between the neuron representing E4 and the neuron representing tone E in G minor group is significantly lower (light pink arrow) compared to that between neuron Eb4 and the corresponding neuron Eb in the G minor group of the key cluster (red arrow). Consequently, the neuron Eb4 emits more spikes and becomes the winner, representing the next generated note in part two. The generating processes are similar in other parts; synapses with high weights are marked by red arrows. C4 and C3 are the final winners in parts three and four. In summary, the neuron with the highest firing rate as the winner in each layer of each part is described by Eq. (13). 13\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} z = \\mathop {arg\\max }_{j}(\\sum ^{T}_{t}S_{j}(t)) \\end{aligned}$$\\end{document} Here, z represents the index of the winning neuron, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$S_{j}(t)$$\\end{document} denotes the spike train of neuron j at time t, and T is the total duration over which spikes are counted. Overall, in this step, the generated notes are G4, Eb4, C4, and C3 in the respective parts.\nStep3: The model generates consequent notes by a similar computation process to step two. The difference at this step is that connections across different layers are involved in pitch and duration subnetworks, which are marked by the purple arrows. The final results in this step from part one to part four are F#4, D4, A3, and D3, respectively.\n\n\n### Results and discussion\nTonal knowledge can be acquired both implicitly through passive exposure and explicitly through formal instruction. While long-term exposure to music supports the development of intuitive sensitivity to tonal regularities 49, structured learning, such as through textbooks and targeted exercises, supports the development of abstract, rule-based representations. Neuroimaging studies have shown that explicit musical training enhances cortical encoding of pitch and tonal structure 50. Inspired by this structured, theory-driven learning pathway, our model is designed to support the symbolic acquisition of modes and keys, in which tonal relationships are explicitly represented, retained, and applied during music generation. To support this framework, we train the model using two datasets:\nSposobin’s harmony textbook exercises (SHTE): To facilitate an in-depth and systematic study of modal and tonal features, this paper introduces a new dataset (https://github.com/lqnankai/Music-Dataset) comprising 193 four-part harmony excerpts, carefully selected and annotated from the end-of-chapter exercises in Chapters 4 to 23 of Sposobin’s Harmony Textbook 51. Each excerpt corresponds to a model solution provided by the textbook 52, originally crafted by music professionals to illustrate specific theoretical principles. The solutions were manually transcribed using the software MuseScore and exported in MusicXML format to support efficient computational processing. Mode and key information were embedded directly into the filenames during transcription to ensure consistent and unambiguous label access. The strength of this dataset lies in its conciseness and theoretical clarity, with each excerpt purposefully designed to highlight a distinct harmonic or modal concept. It includes 96 music pieces in major keys and 97 in minor keys, with the absence of Eb and Ab minor. The number of music pieces in each key of this dataset is detailed in the Table 1\nJ.S. Bach’s four-part chorales (Bach): To make the model learn more music works, we employ J.S. Bach’s four-part chorales dataset, which is available through the Music21 python package 53. It includes 408 famous chorales in musicxml format, with 219 in major keys and 189 in minor keys, excluding Db and Gb major, as well as Db, Eb, and Ab minor. A summary of the key distributions is provided in Table 1\nBoth datasets provide a valuable resource of material for training and evaluating our music generation model, particularly focused on generating four-part harmony in various modes and keys.Table 1The number of keys in SHTE and Bach datasets.KeysCC#/DbDD#/EbEFF#/GbGG#/AbAA#/BbBMajorSHTE64118101318811133Bach22–3291028–59132251MinorSHTE9610–1171717–929Bach10–27–202744–49228\nThe number of keys in SHTE and Bach datasets.\nAs described in Section 1, the Krumhansl–Schmuckler model (KS model) highlights the significance of pitch classes within each major and minor key. In our model, the synaptic architecture between the mode cluster and the sequential memory system, particularly the pitch subnetwork, mirrors the importance of neural relationships, indicating the critical role of each pitch class within a key. To observe the internal structure of our model, this paper proposes two features, which are listed below:Pitch synaptic count (PSC) quantifies the total number of synaptic connections between each neuron representing different pitch classes in the mode clusters and the corresponding neurons in the pitch subnetwork of the sequential memory system. To compute the synaptic count for each pitch class, the 128 minicolumns in the pitch subnetwork, each corresponding to one of the MIDI pitch values (i.e., absolute pitches), are mapped onto the 12 pitch classes (C, C#, ..., B) using the modulo operator. We denote that the k-th neuron represents the k-th pitch class in the mode clusters, the PSC for the k-th pitch class can be computed as Eq. (14). 14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PSC(k) = \\sum ^{4}_{j=1}\\sum ^{128}_{r\\%12=k}\\sum ^{N}_{s}c_{k,jrs} \\end{aligned}$$\\end{document}PSC(k) denotes the total number of synaptic connections between the k-th neuron in the mode cluster, which represents the k-th pitch class in either the major or minor mode, and all neurons corresponding to the same pitch class in the pitch subnetwork, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k \\in [0, 11]$$\\end{document}. The variable \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{k,jrs}$$\\end{document} indicates whether a synapse exists between the k-th neuron in the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part of the pitch subnetwork (see Eq. 7). Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$j \\in [1, 4]$$\\end{document} indexes the four voice parts, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r \\in [0, 127]$$\\end{document} represents the MIDI pitch index, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s \\in [0, N)$$\\end{document} denotes the index of neurons within a minicolumn. N is the total number of neurons in each minicolumn.Pitch Average Synaptic Weights (PASW) calculates the average weights of synapses between each pitch neuron in the mode/key clusters and the pitch subnetwork. The computation is as Eq. (15). 15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PASW(k)= \\frac{\\sum ^{4}_{j=1}\\sum ^{128}_{r\\% 12=k}\\sum ^{N}_{s}w_{j,r,s}(k)}{PSC(k)} \\end{aligned}$$\\end{document} where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w_{j,r,s}$$\\end{document} is the synaptic weight between the k-th neuron in each neural group of the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part in the pitch subnetwork, PASW(k) denotes the average synaptic weight between the k-th pitch class for each mode and related neurons in the pitch subnetwork, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{k}$$\\end{document} is computed as the Eq. (14).To better compare with the KS model profile, we trained our model on both the proposed SHTE dataset and the Bach dataset. After training, we normalized the scores of Pitch Synaptic Counts (PSC), Pitch Average Synaptic Weights (PASW), and the KS pitch profiles. Figure 5 panels (a) and (b) show the results for major and minor modes based on the SHTE dataset, while panels (c) and (d) show the results from the Bach dataset. In each figure, the purple and green lines represent the average synaptic weights and total synaptic counts across the 12 pitch classes. The pink dashed line shows the reference pitch profile from the KS model. The Panel (e) exhibits the consistent similarities between the structural metrics of our model and the KS psychological model.Fig. 5Comparative analysis of our model and the Krumhansl–Schmuckler (KS) profiles. Panels (a–b) show the average synaptic weight (PASW) and synaptic count (PSC) of neurons in major/minor clusters and pitch subnetworks trained on the SHTE dataset, while panels (c–d) present the same metrics for the Bach corpus. For illustration, pitch-class distributions are aligned to C as the tonic. Panel (e) reports the cosine similarities between these structural metrics and the KS profiles, showing consistently high alignment across datasets.\nPitch synaptic count (PSC) quantifies the total number of synaptic connections between each neuron representing different pitch classes in the mode clusters and the corresponding neurons in the pitch subnetwork of the sequential memory system. To compute the synaptic count for each pitch class, the 128 minicolumns in the pitch subnetwork, each corresponding to one of the MIDI pitch values (i.e., absolute pitches), are mapped onto the 12 pitch classes (C, C#, ..., B) using the modulo operator. We denote that the k-th neuron represents the k-th pitch class in the mode clusters, the PSC for the k-th pitch class can be computed as Eq. (14). 14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PSC(k) = \\sum ^{4}_{j=1}\\sum ^{128}_{r\\%12=k}\\sum ^{N}_{s}c_{k,jrs} \\end{aligned}$$\\end{document}PSC(k) denotes the total number of synaptic connections between the k-th neuron in the mode cluster, which represents the k-th pitch class in either the major or minor mode, and all neurons corresponding to the same pitch class in the pitch subnetwork, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k \\in [0, 11]$$\\end{document}. The variable \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{k,jrs}$$\\end{document} indicates whether a synapse exists between the k-th neuron in the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part of the pitch subnetwork (see Eq. 7). Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$j \\in [1, 4]$$\\end{document} indexes the four voice parts, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r \\in [0, 127]$$\\end{document} represents the MIDI pitch index, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s \\in [0, N)$$\\end{document} denotes the index of neurons within a minicolumn. N is the total number of neurons in each minicolumn.\nPitch Average Synaptic Weights (PASW) calculates the average weights of synapses between each pitch neuron in the mode/key clusters and the pitch subnetwork. The computation is as Eq. (15). 15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PASW(k)= \\frac{\\sum ^{4}_{j=1}\\sum ^{128}_{r\\% 12=k}\\sum ^{N}_{s}w_{j,r,s}(k)}{PSC(k)} \\end{aligned}$$\\end{document} where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w_{j,r,s}$$\\end{document} is the synaptic weight between the k-th neuron in each neural group of the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part in the pitch subnetwork, PASW(k) denotes the average synaptic weight between the k-th pitch class for each mode and related neurons in the pitch subnetwork, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{k}$$\\end{document} is computed as the Eq. (14).\nComparative analysis of our model and the Krumhansl–Schmuckler (KS) profiles. Panels (a–b) show the average synaptic weight (PASW) and synaptic count (PSC) of neurons in major/minor clusters and pitch subnetworks trained on the SHTE dataset, while panels (c–d) present the same metrics for the Bach corpus. For illustration, pitch-class distributions are aligned to C as the tonic. Panel (e) reports the cosine similarities between these structural metrics and the KS profiles, showing consistently high alignment across datasets.\nFor the major mode in both dataset (Fig. 5a,c), the Pitch Synaptic Counts (PSCs) and Pitch Average Synaptic Weights (PASWs) are consistent with the KS model, with the tonic (C) always reaching 1.0 and the dominant (G) scoring nearly as high (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{SHTE}(G)=0.98$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PASW_{SHTE}(G)=0.95$$\\end{document}; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{Bach}(G)=0.98$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PASW_{Bach}(G)=0.90$$\\end{document}). The mediant (E) values also align with the KS profile, while the SHTE dataset shows slightly elevated values for the subdominant (F), reflecting the frequent use of subdominant chords in teaching material. Other pitch classes follow the same general trend as the KS model.\nFor the minor mode (Fig. 5b,d), the Pitch Synaptic Counts (PSCs) and Pitch Average Synaptic Weights (PASWs) also play the most important role at tonic (C). A key difference, however, is that while the KS model rates the mediant (Eb) higher than the dominant (G), both datasets assign greater weight to the dominant, consistent with its functional role in cadences. Additionally, the SHTE dataset shows an ascending trend for the leading tone (B), attributable to its emphasis on chord-learning exercises.\nTo quantify the alignment between our proposed metrics and the KS model, we calculate the cosine similarities between each of our proposed metrics (PSC and PASW) and the corresponding KS profiles across the two datasets. Cosine similarity is a widely used metric in mathematics and machine learning for evaluating the similarity between two non-zero vectors. It measures the cosine of the angle between two vectors in an inner product space, capturing their directional alignment irrespective of magnitude. In our context, this metric serves to evaluate how closely the statistical representations of mode features (PSC and PASW) resemble the established pitch-class distributions defined by the KS model. A higher value (1) indicates a stronger alignment with the tonal characteristics captured by the KS profiles, thereby validating the interpretability of our proposed features. As shown in Fig. 5e, the cosine similarities between our model metrics and the KS model are consistently high (>0.9) for both the SHTE and Bach datasets. The results indicate a strong alignment between our model’s connection architecture and the Krumhansl-Schmuckler psychological key perception model. The presence of subtle differences indicates that the model captures dataset-specific harmonic characteristics, suggesting that it not only aligns with KS-defined roles for tonic and dominant pitches but also adapts to dataset-specific harmonic nuances, such as the influence of subdominant or leading tones.\nWe also calculate the cosine similarities between these two metrics of the connection architecture and the KS model for the twelve major and minor keys. The result is provided in Fig. 6.Fig. 6The results of cosine similarities for 24 keys between the two features (PSC and PASW) and the KS model under the SHTE and Bach Datasets.\nThe results of cosine similarities for 24 keys between the two features (PSC and PASW) and the KS model under the SHTE and Bach Datasets.\nThis figure shows the cosine similarities between two features (PSC and PASW) derived from two datasets (SHTE and Bach) compared with the Krumhansl–Schmuckler (KS) model across 24 musical keys (12 major and 12 minor). The key points of analysis are: The majority of values are above 0.7, indicating a strong alignment between the model’s features (PSC and PASW) and the KS model. Specific keys, such as C major, G major, A minor, and C minor, exhibit particularly high cosine similarities across all datasets and features, affirming the model’s robustness for these keys; For F# major and F# minor, the cosine similarities are consistently lower (below 0.7), suggesting greater variability in the pitch content of musical pieces in these keys within the datasets. This phenomenon suggests a diversity in pitch usage or less structured tonality in the available pieces for these keys; Zero values are observed for C# major, F# major, C# minor, Ab minor, A# minor, and D# minor. These results indicate that no musical pieces in these keys are present in the corresponding datasets (SHTE and Bach). This absence limits the evaluation of the model’s performance for these keys. For the SHTE dataset, the PASW feature tends to have slightly higher similarities compared to PSC for most keys. While for the Bach dataset, both PSC and PASW demonstrate comparable trends, with slightly lower values for some keys compared to SHTE.\nOverall, the figure confirms that the developed model’s features effectively capture key-related properties similar to human key perception (as modeled by the KS framework). Approximately \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$91.5\\%$$\\end{document} of the values are above 0.7, showcasing the alignment’s reliability.\nIn this section, we further assess and analyze the quality of the generated music pieces. We adopt a comprehensive set of objective metrics, including pitch-related, polyphony-related, and rhythm-related features, which are widely used in symbolic music generation evaluation 54–56. The pitch-related metrics include: Pitch Count (PC) 54,56, the number of distinct pitches used in a piece; Pitch Range (PR) 54,56, the span in semitones between the lowest and highest pitch; Pitch Interval (PI) 54,56, the average interval size between successive notes; and Pitch Entropy (PE) 55, the Shannon entropy of the normalized pitch histogram. In addition, we introduce the Diatonic Pitch Rate (DPR), defined as the proportion of notes belonging to the diatonic scale of the target key, to specifically evaluate tonal consistency, which is a central aspect of our model design. The polyphony-related metrics include Polyphony (Pp) 55, the average number of pitches played simultaneously, and Polyphony Rate (PpR) 55, the ratio of time steps containing multiple concurrent pitches to the total number of time steps. The rhythm-related metrics include Empty Beat Rate (EBR) 55, the ratio of empty beats to the total number of beats, and Groove Consistency (GC) 55, which measures the mean Hamming distance between neighboring measures, reflecting rhythmic regularity.\nFor baseline comparisons, we adopt several representative ANN architectures, including CNN, RNN, LSTM, GAN, Transformer, and diffusion models, covering the major paradigms in deep generative modeling. The parameters are shown in our supplementary information (see Table S2). From the two original datasets (SHTE and Bach), we randomly selected 10 samples and generated the same number of pieces from each baseline model.\nAbsolute measurement We first compute absolute measures, including the mean and standard deviation of each metric, to directly characterize the properties of the generated results.Fig. 7Comparison of all models on absolute measures: (A) results on the SHTE dataset; (B) results on the Bach dataset.\nComparison of all models on absolute measures: (A) results on the SHTE dataset; (B) results on the Bach dataset.\nFigure 7a,b report the absolute measure (mean value) of all the models on the SHTE and Bach datasets, respectively. Across both panels, ANN-based models exhibit markedly inflated pitch ranges relative to their respective training data. In contrast, brain-inspired SNNs are close to the data distributions; in particular, our model maintains a realistic pitch range (9.4) and pitch count (7.7; SHTE 9.0, Bach 4.5), indicating stronger alignment with the training material. For the Diatonic Pitch Rate (DPR), both training datasets exhibit high DPR values (SHTE 0.96, Bach 0.94), reflecting their strong tonal regularities. Our model achieves a similarly high DPR (0.96), indicating that it effectively captures tonal frameworks, while ANN-based baselines deviate more due to excessive chromatic usage. This finding highlights the model’s ability to internalize modal structures in a cognitively meaningful manner. For polyphony- and rhythm-related features, the generated sequences also reach competitive values, further supporting a balance between structural plausibility and variability.\nRelative measurement To further assess the similarity between the generated music and the reference datasets, we adopt two complementary metrics: Standardized Euclidean Distance (SED) and Overlap Area (OA). SED quantifies the total distance between two distributions by providing a scale-invariant measure of dissimilarity; lower SED values indicate greater similarity. OA, on the other hand, provides a normalized measure of distributional similarity by calculating the shared area under the probability density functions for one feature, with values ranging from 0 (no overlap) to 1 (perfect overlap). The SED is defined in Eq. (16).16\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} d(\\mu ^{gen}, \\mu ^{ref}) = \\sqrt{\\sum _{i=1}^{n} \\frac{(\\mu ^{gen}_i - \\mu ^{ref}_i)^2}{(\\sigma _i + \\epsilon )^2}} \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mu ^{gen}_i$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$mu^{ref}_i$$\\end{document} denote the metric means (e.g., PC, PR, and others) of the generated and reference datasets, respectively, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma _i$$\\end{document} is the standard deviation of the i-th feature in the reference dataset, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\epsilon =0.001$$\\end{document} is a small constant added to avoid division by zero when \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma _i=0$$\\end{document}. Since all feature values are rounded to two decimal places, introducing this parameter ensures numerical stability without affecting the overall scale of the distance.Fig. 8The results of Standardized Euclidean Distance and Overlap Area across the models, (a) shows the total Standardized Euclidean Distance values across all the models compared with the reference datasets, (b,c) show the key metrics of overlap area values on both datasets.\nThe results of Standardized Euclidean Distance and Overlap Area across the models, (a) shows the total Standardized Euclidean Distance values across all the models compared with the reference datasets, (b,c) show the key metrics of overlap area values on both datasets.\nTo further evaluate the similarity of each metric, the Overlap Area (OA) offers a normalized measure of distributional agreement by quantifying the shared probability mass between the generated and reference datasets. Its formulation is given in Eq. 17.17\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\textrm{OA}_i \\;=\\; \\int \\min \\!\\bigl \\{\\, p^{gen}_i(x), \\, p^{ref}_i(x) \\,\\bigr \\}\\, dx \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p^{gen}_i(x)$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p^{ref}_i(x)$$\\end{document} denote the probability density functions of the i-th feature (e.g., pitch count, pitch range, etc) for the generated and reference datasets, respectively. The value of OA ranges from 0 (no overlap) to 1 (perfect overlap), with higher values indicating greater similarity between the two distributions.\nFigure 8a reports the SED results for all models on the SHTE and Bach datasets. Our model achieves the smallest SED values, 30.11 on SHTE and 9.24 on Bach, clearly outperforming all other ANN baselines. On SHTE, the next closest model is RNN (130.94), while Diffusion reaches as high as 780.10, showing a large discrepancy. On Bach, Diffusion performs relatively better (40.66) but still remains far from our model, whereas LSTM yields the largest distance (204.77). These results confirm that our model consistently aligns more closely with the reference distributions, capturing the statistical properties of the training datasets more faithfully than competing architectures.Table 2Overlap Area (OA) results on SHTE and Bach datasets (Larger is better).DatasetModelPCPRPIDPRPEPpPpREBRGCSHTECNN0.440.000.000.450.000.000.000.000.09Diffusion0.480.410.300.680.740.300.011.000.20GAN0.000.000.000.060.210.440.000.200.71LSTM0.190.080.030.160.660.160.030.000.06RNN0.400.120.100.190.280.200.020.000.11Transformer0.400.090.120.180.180.190.010.000.03Our Model0.670.780.740.780.530.790.101.000.04BachCNN0.370.000.030.300.000.000.000.000.01Diffusion0.100.150.000.630.670.020.010.990.00GAN0.240.000.000.030.230.000.010.000.00LSTM0.450.490.470.270.570.000.000.000.00RNN0.220.020.440.210.390.010.000.000.00Transformer0.370.000.370.300.640.010.000.000.00Our Model0.710.820.710.830.900.480.001.000.20\nOverlap Area (OA) results on SHTE and Bach datasets (Larger is better).\nTable 2 summarizes the overall OA values of all metrics across different models on both datasets. While this comprehensive table provides a global view of distributional similarity, we highlight several representative metrics (e.g., Diatonic Pitch Rate, Pitch Count, Pitch Range, Pitch Interval, Pitch Entropy, Polyphony, and Empty Beat Rate) in Fig. 8b,c, which are more closely related to pitch-level learning with modes and keys. On the SHTE dataset, our model achieves the highest OA values on key metrics such as Pitch Count (0.67), Pitch Range (0.78), and Pitch Interval (0.74), significantly outperforming CNN (0.44/0.00/0.00) and RNN (0.40/0.12/0.10). A similar trend is observed on the Bach dataset, where our model again shows superior alignment on Pitch Range (0.82) and Diatonic Pitch Rate (0.83), while baselines such as CNN and GAN remain close to zero on most pitch-related metrics. These results indicate that our model consistently learns pitch- and mode-related structures more effectively than baseline models, leading to better preservation of musical properties.\nOverall, by combining the comprehensive SED evaluation with the OA analysis, the findings indicate that the model effectively captures tonal characteristics and melodic adaptability. This ability to blend established principles with novel expressions underscores its potential for generating diverse, tonally coherent compositions across styles and datasets.\n\n\n### Datasets\nTonal knowledge can be acquired both implicitly through passive exposure and explicitly through formal instruction. While long-term exposure to music supports the development of intuitive sensitivity to tonal regularities 49, structured learning, such as through textbooks and targeted exercises, supports the development of abstract, rule-based representations. Neuroimaging studies have shown that explicit musical training enhances cortical encoding of pitch and tonal structure 50. Inspired by this structured, theory-driven learning pathway, our model is designed to support the symbolic acquisition of modes and keys, in which tonal relationships are explicitly represented, retained, and applied during music generation. To support this framework, we train the model using two datasets:\nSposobin’s harmony textbook exercises (SHTE): To facilitate an in-depth and systematic study of modal and tonal features, this paper introduces a new dataset (https://github.com/lqnankai/Music-Dataset) comprising 193 four-part harmony excerpts, carefully selected and annotated from the end-of-chapter exercises in Chapters 4 to 23 of Sposobin’s Harmony Textbook 51. Each excerpt corresponds to a model solution provided by the textbook 52, originally crafted by music professionals to illustrate specific theoretical principles. The solutions were manually transcribed using the software MuseScore and exported in MusicXML format to support efficient computational processing. Mode and key information were embedded directly into the filenames during transcription to ensure consistent and unambiguous label access. The strength of this dataset lies in its conciseness and theoretical clarity, with each excerpt purposefully designed to highlight a distinct harmonic or modal concept. It includes 96 music pieces in major keys and 97 in minor keys, with the absence of Eb and Ab minor. The number of music pieces in each key of this dataset is detailed in the Table 1\nJ.S. Bach’s four-part chorales (Bach): To make the model learn more music works, we employ J.S. Bach’s four-part chorales dataset, which is available through the Music21 python package 53. It includes 408 famous chorales in musicxml format, with 219 in major keys and 189 in minor keys, excluding Db and Gb major, as well as Db, Eb, and Ab minor. A summary of the key distributions is provided in Table 1\nBoth datasets provide a valuable resource of material for training and evaluating our music generation model, particularly focused on generating four-part harmony in various modes and keys.Table 1The number of keys in SHTE and Bach datasets.KeysCC#/DbDD#/EbEFF#/GbGG#/AbAA#/BbBMajorSHTE64118101318811133Bach22–3291028–59132251MinorSHTE9610–1171717–929Bach10–27–202744–49228\nThe number of keys in SHTE and Bach datasets.\n\n\n### Experiments\nAs described in Section 1, the Krumhansl–Schmuckler model (KS model) highlights the significance of pitch classes within each major and minor key. In our model, the synaptic architecture between the mode cluster and the sequential memory system, particularly the pitch subnetwork, mirrors the importance of neural relationships, indicating the critical role of each pitch class within a key. To observe the internal structure of our model, this paper proposes two features, which are listed below:Pitch synaptic count (PSC) quantifies the total number of synaptic connections between each neuron representing different pitch classes in the mode clusters and the corresponding neurons in the pitch subnetwork of the sequential memory system. To compute the synaptic count for each pitch class, the 128 minicolumns in the pitch subnetwork, each corresponding to one of the MIDI pitch values (i.e., absolute pitches), are mapped onto the 12 pitch classes (C, C#, ..., B) using the modulo operator. We denote that the k-th neuron represents the k-th pitch class in the mode clusters, the PSC for the k-th pitch class can be computed as Eq. (14). 14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PSC(k) = \\sum ^{4}_{j=1}\\sum ^{128}_{r\\%12=k}\\sum ^{N}_{s}c_{k,jrs} \\end{aligned}$$\\end{document}PSC(k) denotes the total number of synaptic connections between the k-th neuron in the mode cluster, which represents the k-th pitch class in either the major or minor mode, and all neurons corresponding to the same pitch class in the pitch subnetwork, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k \\in [0, 11]$$\\end{document}. The variable \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{k,jrs}$$\\end{document} indicates whether a synapse exists between the k-th neuron in the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part of the pitch subnetwork (see Eq. 7). Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$j \\in [1, 4]$$\\end{document} indexes the four voice parts, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r \\in [0, 127]$$\\end{document} represents the MIDI pitch index, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s \\in [0, N)$$\\end{document} denotes the index of neurons within a minicolumn. N is the total number of neurons in each minicolumn.Pitch Average Synaptic Weights (PASW) calculates the average weights of synapses between each pitch neuron in the mode/key clusters and the pitch subnetwork. The computation is as Eq. (15). 15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PASW(k)= \\frac{\\sum ^{4}_{j=1}\\sum ^{128}_{r\\% 12=k}\\sum ^{N}_{s}w_{j,r,s}(k)}{PSC(k)} \\end{aligned}$$\\end{document} where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w_{j,r,s}$$\\end{document} is the synaptic weight between the k-th neuron in each neural group of the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part in the pitch subnetwork, PASW(k) denotes the average synaptic weight between the k-th pitch class for each mode and related neurons in the pitch subnetwork, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{k}$$\\end{document} is computed as the Eq. (14).To better compare with the KS model profile, we trained our model on both the proposed SHTE dataset and the Bach dataset. After training, we normalized the scores of Pitch Synaptic Counts (PSC), Pitch Average Synaptic Weights (PASW), and the KS pitch profiles. Figure 5 panels (a) and (b) show the results for major and minor modes based on the SHTE dataset, while panels (c) and (d) show the results from the Bach dataset. In each figure, the purple and green lines represent the average synaptic weights and total synaptic counts across the 12 pitch classes. The pink dashed line shows the reference pitch profile from the KS model. The Panel (e) exhibits the consistent similarities between the structural metrics of our model and the KS psychological model.Fig. 5Comparative analysis of our model and the Krumhansl–Schmuckler (KS) profiles. Panels (a–b) show the average synaptic weight (PASW) and synaptic count (PSC) of neurons in major/minor clusters and pitch subnetworks trained on the SHTE dataset, while panels (c–d) present the same metrics for the Bach corpus. For illustration, pitch-class distributions are aligned to C as the tonic. Panel (e) reports the cosine similarities between these structural metrics and the KS profiles, showing consistently high alignment across datasets.\nPitch synaptic count (PSC) quantifies the total number of synaptic connections between each neuron representing different pitch classes in the mode clusters and the corresponding neurons in the pitch subnetwork of the sequential memory system. To compute the synaptic count for each pitch class, the 128 minicolumns in the pitch subnetwork, each corresponding to one of the MIDI pitch values (i.e., absolute pitches), are mapped onto the 12 pitch classes (C, C#, ..., B) using the modulo operator. We denote that the k-th neuron represents the k-th pitch class in the mode clusters, the PSC for the k-th pitch class can be computed as Eq. (14). 14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PSC(k) = \\sum ^{4}_{j=1}\\sum ^{128}_{r\\%12=k}\\sum ^{N}_{s}c_{k,jrs} \\end{aligned}$$\\end{document}PSC(k) denotes the total number of synaptic connections between the k-th neuron in the mode cluster, which represents the k-th pitch class in either the major or minor mode, and all neurons corresponding to the same pitch class in the pitch subnetwork, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k \\in [0, 11]$$\\end{document}. The variable \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{k,jrs}$$\\end{document} indicates whether a synapse exists between the k-th neuron in the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part of the pitch subnetwork (see Eq. 7). Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$j \\in [1, 4]$$\\end{document} indexes the four voice parts, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r \\in [0, 127]$$\\end{document} represents the MIDI pitch index, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s \\in [0, N)$$\\end{document} denotes the index of neurons within a minicolumn. N is the total number of neurons in each minicolumn.\nPitch Average Synaptic Weights (PASW) calculates the average weights of synapses between each pitch neuron in the mode/key clusters and the pitch subnetwork. The computation is as Eq. (15). 15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PASW(k)= \\frac{\\sum ^{4}_{j=1}\\sum ^{128}_{r\\% 12=k}\\sum ^{N}_{s}w_{j,r,s}(k)}{PSC(k)} \\end{aligned}$$\\end{document} where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w_{j,r,s}$$\\end{document} is the synaptic weight between the k-th neuron in each neural group of the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part in the pitch subnetwork, PASW(k) denotes the average synaptic weight between the k-th pitch class for each mode and related neurons in the pitch subnetwork, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{k}$$\\end{document} is computed as the Eq. (14).\nComparative analysis of our model and the Krumhansl–Schmuckler (KS) profiles. Panels (a–b) show the average synaptic weight (PASW) and synaptic count (PSC) of neurons in major/minor clusters and pitch subnetworks trained on the SHTE dataset, while panels (c–d) present the same metrics for the Bach corpus. For illustration, pitch-class distributions are aligned to C as the tonic. Panel (e) reports the cosine similarities between these structural metrics and the KS profiles, showing consistently high alignment across datasets.\nFor the major mode in both dataset (Fig. 5a,c), the Pitch Synaptic Counts (PSCs) and Pitch Average Synaptic Weights (PASWs) are consistent with the KS model, with the tonic (C) always reaching 1.0 and the dominant (G) scoring nearly as high (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{SHTE}(G)=0.98$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PASW_{SHTE}(G)=0.95$$\\end{document}; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{Bach}(G)=0.98$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PASW_{Bach}(G)=0.90$$\\end{document}). The mediant (E) values also align with the KS profile, while the SHTE dataset shows slightly elevated values for the subdominant (F), reflecting the frequent use of subdominant chords in teaching material. Other pitch classes follow the same general trend as the KS model.\nFor the minor mode (Fig. 5b,d), the Pitch Synaptic Counts (PSCs) and Pitch Average Synaptic Weights (PASWs) also play the most important role at tonic (C). A key difference, however, is that while the KS model rates the mediant (Eb) higher than the dominant (G), both datasets assign greater weight to the dominant, consistent with its functional role in cadences. Additionally, the SHTE dataset shows an ascending trend for the leading tone (B), attributable to its emphasis on chord-learning exercises.\nTo quantify the alignment between our proposed metrics and the KS model, we calculate the cosine similarities between each of our proposed metrics (PSC and PASW) and the corresponding KS profiles across the two datasets. Cosine similarity is a widely used metric in mathematics and machine learning for evaluating the similarity between two non-zero vectors. It measures the cosine of the angle between two vectors in an inner product space, capturing their directional alignment irrespective of magnitude. In our context, this metric serves to evaluate how closely the statistical representations of mode features (PSC and PASW) resemble the established pitch-class distributions defined by the KS model. A higher value (1) indicates a stronger alignment with the tonal characteristics captured by the KS profiles, thereby validating the interpretability of our proposed features. As shown in Fig. 5e, the cosine similarities between our model metrics and the KS model are consistently high (>0.9) for both the SHTE and Bach datasets. The results indicate a strong alignment between our model’s connection architecture and the Krumhansl-Schmuckler psychological key perception model. The presence of subtle differences indicates that the model captures dataset-specific harmonic characteristics, suggesting that it not only aligns with KS-defined roles for tonic and dominant pitches but also adapts to dataset-specific harmonic nuances, such as the influence of subdominant or leading tones.\nWe also calculate the cosine similarities between these two metrics of the connection architecture and the KS model for the twelve major and minor keys. The result is provided in Fig. 6.Fig. 6The results of cosine similarities for 24 keys between the two features (PSC and PASW) and the KS model under the SHTE and Bach Datasets.\nThe results of cosine similarities for 24 keys between the two features (PSC and PASW) and the KS model under the SHTE and Bach Datasets.\nThis figure shows the cosine similarities between two features (PSC and PASW) derived from two datasets (SHTE and Bach) compared with the Krumhansl–Schmuckler (KS) model across 24 musical keys (12 major and 12 minor). The key points of analysis are: The majority of values are above 0.7, indicating a strong alignment between the model’s features (PSC and PASW) and the KS model. Specific keys, such as C major, G major, A minor, and C minor, exhibit particularly high cosine similarities across all datasets and features, affirming the model’s robustness for these keys; For F# major and F# minor, the cosine similarities are consistently lower (below 0.7), suggesting greater variability in the pitch content of musical pieces in these keys within the datasets. This phenomenon suggests a diversity in pitch usage or less structured tonality in the available pieces for these keys; Zero values are observed for C# major, F# major, C# minor, Ab minor, A# minor, and D# minor. These results indicate that no musical pieces in these keys are present in the corresponding datasets (SHTE and Bach). This absence limits the evaluation of the model’s performance for these keys. For the SHTE dataset, the PASW feature tends to have slightly higher similarities compared to PSC for most keys. While for the Bach dataset, both PSC and PASW demonstrate comparable trends, with slightly lower values for some keys compared to SHTE.\nOverall, the figure confirms that the developed model’s features effectively capture key-related properties similar to human key perception (as modeled by the KS framework). Approximately \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$91.5\\%$$\\end{document} of the values are above 0.7, showcasing the alignment’s reliability.\nIn this section, we further assess and analyze the quality of the generated music pieces. We adopt a comprehensive set of objective metrics, including pitch-related, polyphony-related, and rhythm-related features, which are widely used in symbolic music generation evaluation 54–56. The pitch-related metrics include: Pitch Count (PC) 54,56, the number of distinct pitches used in a piece; Pitch Range (PR) 54,56, the span in semitones between the lowest and highest pitch; Pitch Interval (PI) 54,56, the average interval size between successive notes; and Pitch Entropy (PE) 55, the Shannon entropy of the normalized pitch histogram. In addition, we introduce the Diatonic Pitch Rate (DPR), defined as the proportion of notes belonging to the diatonic scale of the target key, to specifically evaluate tonal consistency, which is a central aspect of our model design. The polyphony-related metrics include Polyphony (Pp) 55, the average number of pitches played simultaneously, and Polyphony Rate (PpR) 55, the ratio of time steps containing multiple concurrent pitches to the total number of time steps. The rhythm-related metrics include Empty Beat Rate (EBR) 55, the ratio of empty beats to the total number of beats, and Groove Consistency (GC) 55, which measures the mean Hamming distance between neighboring measures, reflecting rhythmic regularity.\nFor baseline comparisons, we adopt several representative ANN architectures, including CNN, RNN, LSTM, GAN, Transformer, and diffusion models, covering the major paradigms in deep generative modeling. The parameters are shown in our supplementary information (see Table S2). From the two original datasets (SHTE and Bach), we randomly selected 10 samples and generated the same number of pieces from each baseline model.\nAbsolute measurement We first compute absolute measures, including the mean and standard deviation of each metric, to directly characterize the properties of the generated results.Fig. 7Comparison of all models on absolute measures: (A) results on the SHTE dataset; (B) results on the Bach dataset.\nComparison of all models on absolute measures: (A) results on the SHTE dataset; (B) results on the Bach dataset.\nFigure 7a,b report the absolute measure (mean value) of all the models on the SHTE and Bach datasets, respectively. Across both panels, ANN-based models exhibit markedly inflated pitch ranges relative to their respective training data. In contrast, brain-inspired SNNs are close to the data distributions; in particular, our model maintains a realistic pitch range (9.4) and pitch count (7.7; SHTE 9.0, Bach 4.5), indicating stronger alignment with the training material. For the Diatonic Pitch Rate (DPR), both training datasets exhibit high DPR values (SHTE 0.96, Bach 0.94), reflecting their strong tonal regularities. Our model achieves a similarly high DPR (0.96), indicating that it effectively captures tonal frameworks, while ANN-based baselines deviate more due to excessive chromatic usage. This finding highlights the model’s ability to internalize modal structures in a cognitively meaningful manner. For polyphony- and rhythm-related features, the generated sequences also reach competitive values, further supporting a balance between structural plausibility and variability.\nRelative measurement To further assess the similarity between the generated music and the reference datasets, we adopt two complementary metrics: Standardized Euclidean Distance (SED) and Overlap Area (OA). SED quantifies the total distance between two distributions by providing a scale-invariant measure of dissimilarity; lower SED values indicate greater similarity. OA, on the other hand, provides a normalized measure of distributional similarity by calculating the shared area under the probability density functions for one feature, with values ranging from 0 (no overlap) to 1 (perfect overlap). The SED is defined in Eq. (16).16\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} d(\\mu ^{gen}, \\mu ^{ref}) = \\sqrt{\\sum _{i=1}^{n} \\frac{(\\mu ^{gen}_i - \\mu ^{ref}_i)^2}{(\\sigma _i + \\epsilon )^2}} \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mu ^{gen}_i$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$mu^{ref}_i$$\\end{document} denote the metric means (e.g., PC, PR, and others) of the generated and reference datasets, respectively, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma _i$$\\end{document} is the standard deviation of the i-th feature in the reference dataset, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\epsilon =0.001$$\\end{document} is a small constant added to avoid division by zero when \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma _i=0$$\\end{document}. Since all feature values are rounded to two decimal places, introducing this parameter ensures numerical stability without affecting the overall scale of the distance.Fig. 8The results of Standardized Euclidean Distance and Overlap Area across the models, (a) shows the total Standardized Euclidean Distance values across all the models compared with the reference datasets, (b,c) show the key metrics of overlap area values on both datasets.\nThe results of Standardized Euclidean Distance and Overlap Area across the models, (a) shows the total Standardized Euclidean Distance values across all the models compared with the reference datasets, (b,c) show the key metrics of overlap area values on both datasets.\nTo further evaluate the similarity of each metric, the Overlap Area (OA) offers a normalized measure of distributional agreement by quantifying the shared probability mass between the generated and reference datasets. Its formulation is given in Eq. 17.17\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\textrm{OA}_i \\;=\\; \\int \\min \\!\\bigl \\{\\, p^{gen}_i(x), \\, p^{ref}_i(x) \\,\\bigr \\}\\, dx \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p^{gen}_i(x)$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p^{ref}_i(x)$$\\end{document} denote the probability density functions of the i-th feature (e.g., pitch count, pitch range, etc) for the generated and reference datasets, respectively. The value of OA ranges from 0 (no overlap) to 1 (perfect overlap), with higher values indicating greater similarity between the two distributions.\nFigure 8a reports the SED results for all models on the SHTE and Bach datasets. Our model achieves the smallest SED values, 30.11 on SHTE and 9.24 on Bach, clearly outperforming all other ANN baselines. On SHTE, the next closest model is RNN (130.94), while Diffusion reaches as high as 780.10, showing a large discrepancy. On Bach, Diffusion performs relatively better (40.66) but still remains far from our model, whereas LSTM yields the largest distance (204.77). These results confirm that our model consistently aligns more closely with the reference distributions, capturing the statistical properties of the training datasets more faithfully than competing architectures.Table 2Overlap Area (OA) results on SHTE and Bach datasets (Larger is better).DatasetModelPCPRPIDPRPEPpPpREBRGCSHTECNN0.440.000.000.450.000.000.000.000.09Diffusion0.480.410.300.680.740.300.011.000.20GAN0.000.000.000.060.210.440.000.200.71LSTM0.190.080.030.160.660.160.030.000.06RNN0.400.120.100.190.280.200.020.000.11Transformer0.400.090.120.180.180.190.010.000.03Our Model0.670.780.740.780.530.790.101.000.04BachCNN0.370.000.030.300.000.000.000.000.01Diffusion0.100.150.000.630.670.020.010.990.00GAN0.240.000.000.030.230.000.010.000.00LSTM0.450.490.470.270.570.000.000.000.00RNN0.220.020.440.210.390.010.000.000.00Transformer0.370.000.370.300.640.010.000.000.00Our Model0.710.820.710.830.900.480.001.000.20\nOverlap Area (OA) results on SHTE and Bach datasets (Larger is better).\nTable 2 summarizes the overall OA values of all metrics across different models on both datasets. While this comprehensive table provides a global view of distributional similarity, we highlight several representative metrics (e.g., Diatonic Pitch Rate, Pitch Count, Pitch Range, Pitch Interval, Pitch Entropy, Polyphony, and Empty Beat Rate) in Fig. 8b,c, which are more closely related to pitch-level learning with modes and keys. On the SHTE dataset, our model achieves the highest OA values on key metrics such as Pitch Count (0.67), Pitch Range (0.78), and Pitch Interval (0.74), significantly outperforming CNN (0.44/0.00/0.00) and RNN (0.40/0.12/0.10). A similar trend is observed on the Bach dataset, where our model again shows superior alignment on Pitch Range (0.82) and Diatonic Pitch Rate (0.83), while baselines such as CNN and GAN remain close to zero on most pitch-related metrics. These results indicate that our model consistently learns pitch- and mode-related structures more effectively than baseline models, leading to better preservation of musical properties.\nOverall, by combining the comprehensive SED evaluation with the OA analysis, the findings indicate that the model effectively captures tonal characteristics and melodic adaptability. This ability to blend established principles with novel expressions underscores its potential for generating diverse, tonally coherent compositions across styles and datasets.\n\n\n### Alignment With Krumhansl–Schmuckler model\nAs described in Section 1, the Krumhansl–Schmuckler model (KS model) highlights the significance of pitch classes within each major and minor key. In our model, the synaptic architecture between the mode cluster and the sequential memory system, particularly the pitch subnetwork, mirrors the importance of neural relationships, indicating the critical role of each pitch class within a key. To observe the internal structure of our model, this paper proposes two features, which are listed below:Pitch synaptic count (PSC) quantifies the total number of synaptic connections between each neuron representing different pitch classes in the mode clusters and the corresponding neurons in the pitch subnetwork of the sequential memory system. To compute the synaptic count for each pitch class, the 128 minicolumns in the pitch subnetwork, each corresponding to one of the MIDI pitch values (i.e., absolute pitches), are mapped onto the 12 pitch classes (C, C#, ..., B) using the modulo operator. We denote that the k-th neuron represents the k-th pitch class in the mode clusters, the PSC for the k-th pitch class can be computed as Eq. (14). 14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PSC(k) = \\sum ^{4}_{j=1}\\sum ^{128}_{r\\%12=k}\\sum ^{N}_{s}c_{k,jrs} \\end{aligned}$$\\end{document}PSC(k) denotes the total number of synaptic connections between the k-th neuron in the mode cluster, which represents the k-th pitch class in either the major or minor mode, and all neurons corresponding to the same pitch class in the pitch subnetwork, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k \\in [0, 11]$$\\end{document}. The variable \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{k,jrs}$$\\end{document} indicates whether a synapse exists between the k-th neuron in the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part of the pitch subnetwork (see Eq. 7). Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$j \\in [1, 4]$$\\end{document} indexes the four voice parts, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r \\in [0, 127]$$\\end{document} represents the MIDI pitch index, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s \\in [0, N)$$\\end{document} denotes the index of neurons within a minicolumn. N is the total number of neurons in each minicolumn.Pitch Average Synaptic Weights (PASW) calculates the average weights of synapses between each pitch neuron in the mode/key clusters and the pitch subnetwork. The computation is as Eq. (15). 15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PASW(k)= \\frac{\\sum ^{4}_{j=1}\\sum ^{128}_{r\\% 12=k}\\sum ^{N}_{s}w_{j,r,s}(k)}{PSC(k)} \\end{aligned}$$\\end{document} where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w_{j,r,s}$$\\end{document} is the synaptic weight between the k-th neuron in each neural group of the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part in the pitch subnetwork, PASW(k) denotes the average synaptic weight between the k-th pitch class for each mode and related neurons in the pitch subnetwork, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{k}$$\\end{document} is computed as the Eq. (14).To better compare with the KS model profile, we trained our model on both the proposed SHTE dataset and the Bach dataset. After training, we normalized the scores of Pitch Synaptic Counts (PSC), Pitch Average Synaptic Weights (PASW), and the KS pitch profiles. Figure 5 panels (a) and (b) show the results for major and minor modes based on the SHTE dataset, while panels (c) and (d) show the results from the Bach dataset. In each figure, the purple and green lines represent the average synaptic weights and total synaptic counts across the 12 pitch classes. The pink dashed line shows the reference pitch profile from the KS model. The Panel (e) exhibits the consistent similarities between the structural metrics of our model and the KS psychological model.Fig. 5Comparative analysis of our model and the Krumhansl–Schmuckler (KS) profiles. Panels (a–b) show the average synaptic weight (PASW) and synaptic count (PSC) of neurons in major/minor clusters and pitch subnetworks trained on the SHTE dataset, while panels (c–d) present the same metrics for the Bach corpus. For illustration, pitch-class distributions are aligned to C as the tonic. Panel (e) reports the cosine similarities between these structural metrics and the KS profiles, showing consistently high alignment across datasets.\nPitch synaptic count (PSC) quantifies the total number of synaptic connections between each neuron representing different pitch classes in the mode clusters and the corresponding neurons in the pitch subnetwork of the sequential memory system. To compute the synaptic count for each pitch class, the 128 minicolumns in the pitch subnetwork, each corresponding to one of the MIDI pitch values (i.e., absolute pitches), are mapped onto the 12 pitch classes (C, C#, ..., B) using the modulo operator. We denote that the k-th neuron represents the k-th pitch class in the mode clusters, the PSC for the k-th pitch class can be computed as Eq. (14). 14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PSC(k) = \\sum ^{4}_{j=1}\\sum ^{128}_{r\\%12=k}\\sum ^{N}_{s}c_{k,jrs} \\end{aligned}$$\\end{document}PSC(k) denotes the total number of synaptic connections between the k-th neuron in the mode cluster, which represents the k-th pitch class in either the major or minor mode, and all neurons corresponding to the same pitch class in the pitch subnetwork, where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k \\in [0, 11]$$\\end{document}. The variable \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$c_{k,jrs}$$\\end{document} indicates whether a synapse exists between the k-th neuron in the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part of the pitch subnetwork (see Eq. 7). Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$j \\in [1, 4]$$\\end{document} indexes the four voice parts, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$r \\in [0, 127]$$\\end{document} represents the MIDI pitch index, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$s \\in [0, N)$$\\end{document} denotes the index of neurons within a minicolumn. N is the total number of neurons in each minicolumn.\nPitch Average Synaptic Weights (PASW) calculates the average weights of synapses between each pitch neuron in the mode/key clusters and the pitch subnetwork. The computation is as Eq. (15). 15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} PASW(k)= \\frac{\\sum ^{4}_{j=1}\\sum ^{128}_{r\\% 12=k}\\sum ^{N}_{s}w_{j,r,s}(k)}{PSC(k)} \\end{aligned}$$\\end{document} where, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$w_{j,r,s}$$\\end{document} is the synaptic weight between the k-th neuron in each neural group of the mode cluster and the r-th neuron in the s-th minicolumn of the j-th part in the pitch subnetwork, PASW(k) denotes the average synaptic weight between the k-th pitch class for each mode and related neurons in the pitch subnetwork, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{k}$$\\end{document} is computed as the Eq. (14).\nComparative analysis of our model and the Krumhansl–Schmuckler (KS) profiles. Panels (a–b) show the average synaptic weight (PASW) and synaptic count (PSC) of neurons in major/minor clusters and pitch subnetworks trained on the SHTE dataset, while panels (c–d) present the same metrics for the Bach corpus. For illustration, pitch-class distributions are aligned to C as the tonic. Panel (e) reports the cosine similarities between these structural metrics and the KS profiles, showing consistently high alignment across datasets.\nFor the major mode in both dataset (Fig. 5a,c), the Pitch Synaptic Counts (PSCs) and Pitch Average Synaptic Weights (PASWs) are consistent with the KS model, with the tonic (C) always reaching 1.0 and the dominant (G) scoring nearly as high (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{SHTE}(G)=0.98$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PASW_{SHTE}(G)=0.95$$\\end{document}; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PSC_{Bach}(G)=0.98$$\\end{document}, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$PASW_{Bach}(G)=0.90$$\\end{document}). The mediant (E) values also align with the KS profile, while the SHTE dataset shows slightly elevated values for the subdominant (F), reflecting the frequent use of subdominant chords in teaching material. Other pitch classes follow the same general trend as the KS model.\nFor the minor mode (Fig. 5b,d), the Pitch Synaptic Counts (PSCs) and Pitch Average Synaptic Weights (PASWs) also play the most important role at tonic (C). A key difference, however, is that while the KS model rates the mediant (Eb) higher than the dominant (G), both datasets assign greater weight to the dominant, consistent with its functional role in cadences. Additionally, the SHTE dataset shows an ascending trend for the leading tone (B), attributable to its emphasis on chord-learning exercises.\nTo quantify the alignment between our proposed metrics and the KS model, we calculate the cosine similarities between each of our proposed metrics (PSC and PASW) and the corresponding KS profiles across the two datasets. Cosine similarity is a widely used metric in mathematics and machine learning for evaluating the similarity between two non-zero vectors. It measures the cosine of the angle between two vectors in an inner product space, capturing their directional alignment irrespective of magnitude. In our context, this metric serves to evaluate how closely the statistical representations of mode features (PSC and PASW) resemble the established pitch-class distributions defined by the KS model. A higher value (1) indicates a stronger alignment with the tonal characteristics captured by the KS profiles, thereby validating the interpretability of our proposed features. As shown in Fig. 5e, the cosine similarities between our model metrics and the KS model are consistently high (>0.9) for both the SHTE and Bach datasets. The results indicate a strong alignment between our model’s connection architecture and the Krumhansl-Schmuckler psychological key perception model. The presence of subtle differences indicates that the model captures dataset-specific harmonic characteristics, suggesting that it not only aligns with KS-defined roles for tonic and dominant pitches but also adapts to dataset-specific harmonic nuances, such as the influence of subdominant or leading tones.\nWe also calculate the cosine similarities between these two metrics of the connection architecture and the KS model for the twelve major and minor keys. The result is provided in Fig. 6.Fig. 6The results of cosine similarities for 24 keys between the two features (PSC and PASW) and the KS model under the SHTE and Bach Datasets.\nThe results of cosine similarities for 24 keys between the two features (PSC and PASW) and the KS model under the SHTE and Bach Datasets.\nThis figure shows the cosine similarities between two features (PSC and PASW) derived from two datasets (SHTE and Bach) compared with the Krumhansl–Schmuckler (KS) model across 24 musical keys (12 major and 12 minor). The key points of analysis are: The majority of values are above 0.7, indicating a strong alignment between the model’s features (PSC and PASW) and the KS model. Specific keys, such as C major, G major, A minor, and C minor, exhibit particularly high cosine similarities across all datasets and features, affirming the model’s robustness for these keys; For F# major and F# minor, the cosine similarities are consistently lower (below 0.7), suggesting greater variability in the pitch content of musical pieces in these keys within the datasets. This phenomenon suggests a diversity in pitch usage or less structured tonality in the available pieces for these keys; Zero values are observed for C# major, F# major, C# minor, Ab minor, A# minor, and D# minor. These results indicate that no musical pieces in these keys are present in the corresponding datasets (SHTE and Bach). This absence limits the evaluation of the model’s performance for these keys. For the SHTE dataset, the PASW feature tends to have slightly higher similarities compared to PSC for most keys. While for the Bach dataset, both PSC and PASW demonstrate comparable trends, with slightly lower values for some keys compared to SHTE.\nOverall, the figure confirms that the developed model’s features effectively capture key-related properties similar to human key perception (as modeled by the KS framework). Approximately \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$91.5\\%$$\\end{document} of the values are above 0.7, showcasing the alignment’s reliability.\n\n\n### Mode-conditioned generation\nIn this section, we further assess and analyze the quality of the generated music pieces. We adopt a comprehensive set of objective metrics, including pitch-related, polyphony-related, and rhythm-related features, which are widely used in symbolic music generation evaluation 54–56. The pitch-related metrics include: Pitch Count (PC) 54,56, the number of distinct pitches used in a piece; Pitch Range (PR) 54,56, the span in semitones between the lowest and highest pitch; Pitch Interval (PI) 54,56, the average interval size between successive notes; and Pitch Entropy (PE) 55, the Shannon entropy of the normalized pitch histogram. In addition, we introduce the Diatonic Pitch Rate (DPR), defined as the proportion of notes belonging to the diatonic scale of the target key, to specifically evaluate tonal consistency, which is a central aspect of our model design. The polyphony-related metrics include Polyphony (Pp) 55, the average number of pitches played simultaneously, and Polyphony Rate (PpR) 55, the ratio of time steps containing multiple concurrent pitches to the total number of time steps. The rhythm-related metrics include Empty Beat Rate (EBR) 55, the ratio of empty beats to the total number of beats, and Groove Consistency (GC) 55, which measures the mean Hamming distance between neighboring measures, reflecting rhythmic regularity.\nFor baseline comparisons, we adopt several representative ANN architectures, including CNN, RNN, LSTM, GAN, Transformer, and diffusion models, covering the major paradigms in deep generative modeling. The parameters are shown in our supplementary information (see Table S2). From the two original datasets (SHTE and Bach), we randomly selected 10 samples and generated the same number of pieces from each baseline model.\nAbsolute measurement We first compute absolute measures, including the mean and standard deviation of each metric, to directly characterize the properties of the generated results.Fig. 7Comparison of all models on absolute measures: (A) results on the SHTE dataset; (B) results on the Bach dataset.\nComparison of all models on absolute measures: (A) results on the SHTE dataset; (B) results on the Bach dataset.\nFigure 7a,b report the absolute measure (mean value) of all the models on the SHTE and Bach datasets, respectively. Across both panels, ANN-based models exhibit markedly inflated pitch ranges relative to their respective training data. In contrast, brain-inspired SNNs are close to the data distributions; in particular, our model maintains a realistic pitch range (9.4) and pitch count (7.7; SHTE 9.0, Bach 4.5), indicating stronger alignment with the training material. For the Diatonic Pitch Rate (DPR), both training datasets exhibit high DPR values (SHTE 0.96, Bach 0.94), reflecting their strong tonal regularities. Our model achieves a similarly high DPR (0.96), indicating that it effectively captures tonal frameworks, while ANN-based baselines deviate more due to excessive chromatic usage. This finding highlights the model’s ability to internalize modal structures in a cognitively meaningful manner. For polyphony- and rhythm-related features, the generated sequences also reach competitive values, further supporting a balance between structural plausibility and variability.\nRelative measurement To further assess the similarity between the generated music and the reference datasets, we adopt two complementary metrics: Standardized Euclidean Distance (SED) and Overlap Area (OA). SED quantifies the total distance between two distributions by providing a scale-invariant measure of dissimilarity; lower SED values indicate greater similarity. OA, on the other hand, provides a normalized measure of distributional similarity by calculating the shared area under the probability density functions for one feature, with values ranging from 0 (no overlap) to 1 (perfect overlap). The SED is defined in Eq. (16).16\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} d(\\mu ^{gen}, \\mu ^{ref}) = \\sqrt{\\sum _{i=1}^{n} \\frac{(\\mu ^{gen}_i - \\mu ^{ref}_i)^2}{(\\sigma _i + \\epsilon )^2}} \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\mu ^{gen}_i$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$mu^{ref}_i$$\\end{document} denote the metric means (e.g., PC, PR, and others) of the generated and reference datasets, respectively, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma _i$$\\end{document} is the standard deviation of the i-th feature in the reference dataset, and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\epsilon =0.001$$\\end{document} is a small constant added to avoid division by zero when \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma _i=0$$\\end{document}. Since all feature values are rounded to two decimal places, introducing this parameter ensures numerical stability without affecting the overall scale of the distance.Fig. 8The results of Standardized Euclidean Distance and Overlap Area across the models, (a) shows the total Standardized Euclidean Distance values across all the models compared with the reference datasets, (b,c) show the key metrics of overlap area values on both datasets.\nThe results of Standardized Euclidean Distance and Overlap Area across the models, (a) shows the total Standardized Euclidean Distance values across all the models compared with the reference datasets, (b,c) show the key metrics of overlap area values on both datasets.\nTo further evaluate the similarity of each metric, the Overlap Area (OA) offers a normalized measure of distributional agreement by quantifying the shared probability mass between the generated and reference datasets. Its formulation is given in Eq. 17.17\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\begin{aligned} \\textrm{OA}_i \\;=\\; \\int \\min \\!\\bigl \\{\\, p^{gen}_i(x), \\, p^{ref}_i(x) \\,\\bigr \\}\\, dx \\end{aligned}$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p^{gen}_i(x)$$\\end{document} and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p^{ref}_i(x)$$\\end{document} denote the probability density functions of the i-th feature (e.g., pitch count, pitch range, etc) for the generated and reference datasets, respectively. The value of OA ranges from 0 (no overlap) to 1 (perfect overlap), with higher values indicating greater similarity between the two distributions.\nFigure 8a reports the SED results for all models on the SHTE and Bach datasets. Our model achieves the smallest SED values, 30.11 on SHTE and 9.24 on Bach, clearly outperforming all other ANN baselines. On SHTE, the next closest model is RNN (130.94), while Diffusion reaches as high as 780.10, showing a large discrepancy. On Bach, Diffusion performs relatively better (40.66) but still remains far from our model, whereas LSTM yields the largest distance (204.77). These results confirm that our model consistently aligns more closely with the reference distributions, capturing the statistical properties of the training datasets more faithfully than competing architectures.Table 2Overlap Area (OA) results on SHTE and Bach datasets (Larger is better).DatasetModelPCPRPIDPRPEPpPpREBRGCSHTECNN0.440.000.000.450.000.000.000.000.09Diffusion0.480.410.300.680.740.300.011.000.20GAN0.000.000.000.060.210.440.000.200.71LSTM0.190.080.030.160.660.160.030.000.06RNN0.400.120.100.190.280.200.020.000.11Transformer0.400.090.120.180.180.190.010.000.03Our Model0.670.780.740.780.530.790.101.000.04BachCNN0.370.000.030.300.000.000.000.000.01Diffusion0.100.150.000.630.670.020.010.990.00GAN0.240.000.000.030.230.000.010.000.00LSTM0.450.490.470.270.570.000.000.000.00RNN0.220.020.440.210.390.010.000.000.00Transformer0.370.000.370.300.640.010.000.000.00Our Model0.710.820.710.830.900.480.001.000.20\nOverlap Area (OA) results on SHTE and Bach datasets (Larger is better).\nTable 2 summarizes the overall OA values of all metrics across different models on both datasets. While this comprehensive table provides a global view of distributional similarity, we highlight several representative metrics (e.g., Diatonic Pitch Rate, Pitch Count, Pitch Range, Pitch Interval, Pitch Entropy, Polyphony, and Empty Beat Rate) in Fig. 8b,c, which are more closely related to pitch-level learning with modes and keys. On the SHTE dataset, our model achieves the highest OA values on key metrics such as Pitch Count (0.67), Pitch Range (0.78), and Pitch Interval (0.74), significantly outperforming CNN (0.44/0.00/0.00) and RNN (0.40/0.12/0.10). A similar trend is observed on the Bach dataset, where our model again shows superior alignment on Pitch Range (0.82) and Diatonic Pitch Rate (0.83), while baselines such as CNN and GAN remain close to zero on most pitch-related metrics. These results indicate that our model consistently learns pitch- and mode-related structures more effectively than baseline models, leading to better preservation of musical properties.\nOverall, by combining the comprehensive SED evaluation with the OA analysis, the findings indicate that the model effectively captures tonal characteristics and melodic adaptability. This ability to blend established principles with novel expressions underscores its potential for generating diverse, tonally coherent compositions across styles and datasets.\n\n\n### Conclusion and limitation\nThis work introduces a brain-inspired spiking neural network that integrates biologically grounded mechanisms (e.g., Izhikevich neurons, STDP, minicolumn structures) with symbolic music theory, enabling the model to learn and generate four-part music conditioned on modes and keys. A hierarchical tonal subsystem, functionally inspired by the role of the medial prefrontal cortex in representing modes and keys as schema-like knowledge, is introduced to encode tonal frameworks and modulate learning dynamics and circuit evolution. Notably, the resulting synaptic structures exhibit strong alignment with the Krumhansl-Schmuckler key profiles, indicating that the model internalizes tonal hierarchies in a psychologically plausible manner. Together, compared with current deep learning models, this work demonstrates that brain-inspired spiking neural networks can achieve an initial degree of biological motivation and computational interpretability for symbolic music learning and generation, providing a modeling perspective and a computational foundation for further interdisciplinary research at the level of learning mechanisms.\nWhile the proposed system makes several novel contributions, we also recognize its current limitations. First, this study focuses on pitch-based modal learning and does not incorporate other musical dimensions such as harmonic progression, voice leading, meter, timbre, or dynamics. These components are integral to a more complete characterization of tonal music, and their omission constrains the expressive scope of the present framework. Second, our model emphasizes a structured, theory-driven learning pathway and does not explicitly model implicit tonal learning arising from passive exposure or statistical regularities in musical input. As a result, automatic forms of tonal acquisition typically associated with enculturation and implicit learning paradigms are beyond the scope of this study. Third, we adopt the Krumhansl–Schmuckler model as a reference for evaluating pitch salience and tonal learning. While the KS profile remains a widely used benchmark supported by experimental data, it relies on fixed tonal distributions derived from Western tonal music, which may limit its ability to capture experience-dependent learning and tonal organization across different musical cultures57–59. Accordingly, it is used here as a conceptually grounded baseline for initial validation rather than as a comprehensive model of tonal cognition. Finally, the present study addresses cognitive mechanisms underlying tonal learning and pitch-based structure, whereas music as a human phenomenon also involves emotional, cultural, social, and autobiographical dimensions that lie beyond the scope of the current framework.\nIn future work, we may extend the proposed framework by incorporating additional neural mechanisms relevant to tonal perception, such as predictive coding and expectation formation, which have been discussed as expectation-based mechanisms relating tonal perception to affective processing 34,60,61. We may also extend beyond pitch-based representations to include harmonic structure, enabling higher-level investigations of interactions between harmony, tonality, and affect.\n\n\n### Supplementary Information\nSupplementary Information.\nSupplementary Information.", "domain": "affective_neuroscience"}
{"source": "PMC13095969", "title": "Neurocognitive effects of interest on reward valuation and effort investment in boring contexts", "text": "# Neurocognitive effects of interest on reward valuation and effort investment in boring contexts\n\n## Abstract\nMonotonous tasks are common in academic and professional settings, yet sustaining motivation and effort in such contexts remains a persistent challenge. This research examined whether inserting a brief episode of interest into an otherwise boring, incentivized task could replenish cognitive and motivational resources and sustain effort. Two competing accounts were tested. The contrast-effect hypothesis predicted that once interest was withdrawn, the remaining rewards would lose their impact, and effort would diminish. In contrast, the transfer-effect hypothesis proposed that prior interest would leave a motivational trace that preserves the effectiveness of the rewards. Study 1 (behavioral study) employed a typing task, while Study 2 (fMRI study) used a social preference guessing task, both with performance-contingent monetary incentives. In both studies, participants in the experimental group completed a boring–interesting–boring sequence, whereas those in the control group experienced a boring–neutral–boring sequence. Across two studies, results consistently supported the transfer-effect hypothesis, demonstrating that prior interest enhanced subsequent engagement, effort, and reward sensitivity, even when monetary incentives were reduced. Neuroimaging results further revealed activity in regions involved in reward processing (e.g., anterior cingulate cortex, anterior insula) and attentional control (e.g., lateral occipital cortex, inferior parietal lobule) even after interest was removed, suggesting a lingering motivational effect of interest. These findings integrate reinforcement learning and interest theories and suggest a practical strategy: sandwiching brief, interest-enhancing episodes between boring rewarded tasks can serve as a motivational reset, enabling effort and persistence in low-stimulation environments. The online version contains supplementary material available at 10.3758/s13415-026-01403-7.\n\n## Full Text\n\n\n### Introduction\nImagine working late one night, tasked with manually transcribing printed pages, word by word, line by line. At first, the promise of a paycheck keeps you going. But soon, the monotony sets in, making it difficult to sustain focus and effort. Your mind drifts, your fingers slow, and each sentence feels heavier than the last. Then, unexpectedly, your eyes land on a paragraph that captivates you—a story, an idea, a phrase that resonates with your personal interests. In that moment, the task feels lighter, almost effortless, and your pace quickens. This fleeting spark of interest not only restores your energy but also rekindles your willingness to persist. Such moments illustrate a broader psychological phenomenon: Even a brief moment of interesting engagement can temporarily shift attention away from incentives, replenish self-regulatory resources, and sustain effort.\nBoring tasks present a persistent challenge across domains such as education, work, sports training, and rehabilitation. Because humans are naturally inclined to seek pleasure and avoid discomfort, boredom—characterized by low arousal and disengagement—can markedly undermine persistence and performance (Eastwood et al., 2012; Fisher, 1993). Two widely used countermeasures are the provision of rewards and induction of interest in the task (e.g., Hamner & Foster, 1975; Sansone et al., 1992; Weibel et al., 2010). The most favorable motivational state likely arises when both operate within the same task. Rewards (e.g., pay, points) offer immediate, tangible returns that jump-start engagement and boost short-term performance, partly by recruiting dopaminergic circuitry central to reward prediction and expectation (Bardach & Murayama, 2025; Cameron & Pierce, 1994; Knutson & Cooper, 2005; Liu et al., 2011; Schultz, 2016). Interest, by contrast, is enjoyment inherent to the activity. It supports attention and cognitive efficiency, offsets fatigue with positive affect, and scaffolds self-regulation over time (Hidi & Renninger, 2006; O’Keefe & Linnenbrink-Garcia, 2014; Silvia, 2008; Song et al., 2019). Whereas rewards rely on anticipated outcomes, interest is rooted in the activity itself, making it a powerful driver of long-term participation and deep learning.\nBut what happens when only one, either reward or interest, is available in a task, or when one is transient? Prior work has largely focused on the effects of introducing and subsequently withdrawing rewards from an interesting task. These studies have consistently found that rewards can depress later motivation and effort relative to never rewarded baselines, a phenomenon known as the undermining effect (Deci, 1971; Lepper et al., 1973; Weibel et al., 2010). The reverse sequence—briefly adding interest to an otherwise uninteresting yet rewarded task—has received far less attention, particularly under genuinely boring conditions. The present study addressed this gap. We examined whether sandwiching a short, interest-eliciting episode between two blocks of an otherwise monotonous, rewarded task confers a lasting motivational benefit or, upon its removal, precipitates a comparable decline. We tested this in a two-part investigation: a behavioral experiment (Study 1) and an fMRI investigation (Study 2). By integrating motivational theory with cognitive neuroscience, we sought to clarify how reward and interest interact over time to sustain effort in low-stimulation contexts.\nTraditionally, the rewards–interest relation has been framed within an extrinsic–intrinsic motivation dichotomy. However, Kim (2025) challenged this binary view, arguing that both rewards and interest engage the same dopaminergic circuitry in the brain (Adcock et al., 2006; Di Domenico & Ryan, 2017; Kang et al., 2009; see also Bardach & Murayama, 2025). This system encodes reward value by integrating features such as reward type, salience, magnitude, contingency, and required effort (Hare et al., 2008; Knutson et al., 2005; Salamone & Correa, 2024; Schultz, 2006). In practice, motivation is rarely purely extrinsic or purely intrinsic; the relative contributions of rewards and interest can coexist, shift over time, and depend on how rewards are construed (e.g., controlling vs. self-endorsed). Consequently, distinguishing between incentives (valued as a means to an end) and interest (valued for the activity itself) may offer a more functionally meaningful framework for understanding motivation than the traditional extrinsic–intrinsic divide (Kim, 2025).\nIn real-world learning and work contexts, incentives and interest often coexist but frequently decouple: One endures while the other gradually diminishes or disappears (e.g., no longer earning bonus points or losing interest in the activity). Much of the existing research has examined the undermining effect, focusing on how removing incentives from initially interesting tasks diminishes subsequent engagement and effort (Deci, 1971; Lepper et al., 1973). Using fMRI, Murayama et al. (2010) showed that performance-contingent monetary rewards for interesting tasks transiently elevated activation in dopaminergic regions, including the bilateral striatum and midbrain. Once the rewards were withdrawn, this activation dropped sharply, and the decline was significantly associated with reduced voluntary effort. Complementing this with EEG, Ma et al. (2014) reported that rewards diminished individuals’ sensitivity to performance outcomes; after financial incentives were removed, the feedback-related negativity (FRN)—a marker of motivational salience—showed a reduced success–failure differentiation. Collectively, these findings indicate that while monetary rewards can transiently upregulate motivational systems, their withdrawal can attenuate reward coding and erode sustained engagement.\nThe undermining effect has been typically explained by overjustification. In this view, when a strong and salient incentive is introduced, behaviors initially performed for the inherent enjoyment of the task become reattributed to the pursuit of that incentive. The individuals thus come to view the activity not as enjoyable but as a means to obtain a reward (Deci, 1971; Lepper et al., 1973). This shift in attribution or perceived locus of causality weakens intrinsic motivation. Once the reward is withdrawn, the internal justification for engaging in the task diminishes, leading to lower persistence, diminished performance, and decreased willingness to reengage. However, this explanation has been challenged as undermining-like decreases also appear under conditions that preclude explicit self-attribution (e.g., reward downshifts in nonverbal animals), suggesting that attributional processes may not be necessary condition for the effect (Zentall, 2013; see also Hidi, 2016; Murayama, 2022). Complementing this point, neuroimaging evidence suggests that undermining may involve changes in valuation and salience systems that are not readily captured by an overjustification account.\nAn alternative account for the undermining effect is the contrast effect (Hidi, 2016; Zentall, 2005), which holds that the subjective value of a task is judged relative to recent reward history. Building on Flaherty’s research on incentive relativity in animal behavior (Flaherty, 1999), this account posits that a downshift in expected incentives produce a disproportionately large disruption in responding. Thus, when a task shifts from a high-reward condition (interest + incentive) to a lower-reward condition (interest alone), its perceived value declines more sharply than in unshifted controls (Papini, 2006). From a neurobiological perspective, this relative drop in value can be understood through the reward prediction error (RPE; Glimcher, 2011; Schultz, 1998). Pairing an incentive with an interesting task elevates the brain’s expected value of performing that task. When the incentive is removed, the discrepancy between this heightened expectation and the actual outcome generates a negative RPE (worse than expected), leading to a sharp reduction in dopaminergic activity. This reduction appears to affect not only core reward circuitry (ventral striatum, ventral tegmental area [VTA]) but also broader motivational networks that sustain persistence (Ma et al., 2014; Murayama et al., 2010). Even if interest remains, the relative loss in the magnitude of reinforcement and resulting negative RPE can amplify psychological disappointment, further undermining motivation (Zentall, 2005).\nWhile much of the literature has examined how removing incentives affects tasks that remain interesting, far less is known about the reverse scenario. A key open question is whether a comparable process occurs when interest is introduced into an incentivized task that is initially uninteresting or boring, but then fades before the incentive is withdrawn. Understanding how incentives operate after the loss of interest is essential not only for clarifying time-lagged shifts in motivation but also for determining how sustained effort is allocated and maintained under changing motivational conditions. This issue is particularly important in monotonous contexts, where effort regulation often determines both performance quality and persistence. Addressing this gap would refine theoretical models of incentive–interest interaction and inform the design of learning, work, and training environments in which motivational sources and the effort they elicit are dynamic and subject to change.\nTwo opposing mechanisms may account for motivational changes when interest and incentives shift asynchronously; that is, when interest is temporarily introduced into a boring, incentivized task but disappears before the incentive is removed. The first is the contrast effect. Similar to the mechanism underlying the undermining effect, the contrast between a prior high-reward state (interest + incentive) and a current reduced-reward state (incentive alone) may lead to devaluation of the remaining incentive, reducing both cognitive and behavioral investment. Neurobiologically, the affective reward value associated with the earlier interest + incentive state may persist as an expectation even after interest is gone. When the experienced enjoyment falls short of this expectation, a negative RPE is likely to occur. Although the remaining monetary incentives may still activate dopaminergic pathways, their subjective utility may be diminished relative to the previous high-reward state. As a result, the residual incentive may yield less satisfaction and, in some cases, foster psychological deprivation and reduce willingness to persist.\nThe second possibility is the transfer effect. This account posits that motivational momentum from the preceding interesting element would reduce the aversiveness of the boring task that follows and replenish mental resources for investing effort and detecting the salience of reward. Interest enhances learning by boosting positive affect and attention, deepening cognitive processing, and improving memory, while also lowering the perceived cost of effort (Ainley et al., 2002; Renninger & Hidi, 2016; Schiefele, 1991; Song et al., 2019). Thus, motivation driven by interest tends to be enduring and self-sustaining (Hidi & Ainley, 2008; Sansone & Thoman, 2005). One of the most compelling functions of interest is its capacity to replenish mental resources, rendering even effortful or monotonous tasks less cognitively taxing. This restorative function is especially critical in contexts characterized by mental fatigue, cognitive overload, or prolonged monotony.\nSeveral lines of evidence support the transfer effect. First, the broaden-and-build theory (Fredrickson, 2001) proposes that positive emotions, such as interest and enjoyment, expand an individual’s cognitive repertoire and behavioral flexibility. By widening the scope of attention and thought–action tendencies, these emotions could build enduring psychological and social resources that outlast the initial emotional state. In the context of a monotonous but incentivized task, an early episode of interest may enhance attentional control, working memory, and cognitive flexibility. This temporary “broadening” effect could persist into subsequent phases of the task, even after the initial source of interest is removed.\nSecond, empirical findings consistently showed that even brief experiences of interest can restore the mental energy required for self-regulation, enabling individuals to sustain effort on demanding tasks while experiencing less fatigue (Endres et al., 2025; Milyavskaya et al., 2021; O’Keefe & Linnenbrink-Garcia, 2014; Thoman et al., 2011). For example, Thoman et al. (2011) demonstrated through a series of experiments that interest enhanced effort and persistence in subsequent unrelated tasks, even after participants had expended substantial psychological resources on boring and onerous activities. Notably, participants who engaged in an interesting task (e.g., solving mystery passages) showed greater restoration of psychological resources than those in positive (e.g., searching for positive words) or neutral (e.g., searching for neutral words) task conditions, despite the former being more cognitively demanding. The restorative effects of interest appeared to operate independently of positive affect, self-efficacy, and general achievement motivation (Milyavskaya et al., 2021; O’Keefe & Linnenbrink-Garcia, 2014; Thoman et al., 2011).\nAlthough the precise mechanism of this restorative effect remains unclear, it may be partly explained by the neural activation associated with interest. Interest engages regions involved in motivational valuation, cognitive control, and salience detection (Di Domenico & Ryan, 2017; Shin et al., 2022). These included dopaminergic reward-related regions such as the striatum and ventromedial prefrontal cortex (vmPFC), as well as regions implicated in cognitive control (e.g., dorsolateral prefrontal cortex [dlPFC], anterior cingulate cortex [ACC]) and the salience network (e.g., anterior insula [AI], dorsal ACC). Among these regions, the ACC plays a central role in anticipating outcomes and detecting conflicts between expectations and actual outcomes, thereby engaging cognitive control, effort regulation, and value-updating processes to integrate effort and reward information (Matsumoto & Tanaka, 2004; Onoda et al., 2008). The AI, meanwhile, has been identified as a key neural substrate of intrinsic motivation (Di Domenico & Ryan, 2017; Lee & Reeve, 2013; Murayama et al., 2010, 2015) and serves as a core hub of the salience network (Wiech et al., 2010)—an adaptive system that detects motivationally significant signals and allocates attentional and cognitive resources accordingly (Menon & Uddin, 2010). Thus, experiencing interest could attach greater value, control, and salience to the task itself, with these effects possibly carrying over into later task phases and helping to maintain cognitive control and valuation of the task even after interesting engagement has subsided.\nSuch carryover effects may occur because interest temporarily shifts motivational focus from external factors to the task itself. During interesting engagement, attentional and control systems may be oriented toward the activity rather than the incentives, allowing self-regulatory resources to be replenished and reducing the depletion that typically accompanies prolonged, effortful engagement. When the task reverts to a purely incentivized form, these replenished resources could delay the onset of motivational decline. Moreover, because individuals attend less to incentives while engaged with interesting elements, the perceived value of subsequent rewards may be refreshed, enhancing their salience and preserving positive RPE signals (better than expected) over time. In this way, the transfer effect underscores the complementary interplay, rather than a trade-off, between incentives and interest.\n\n\n### When an interesting task meets incentives: Explanations for motivational trade-offs\nTraditionally, the rewards–interest relation has been framed within an extrinsic–intrinsic motivation dichotomy. However, Kim (2025) challenged this binary view, arguing that both rewards and interest engage the same dopaminergic circuitry in the brain (Adcock et al., 2006; Di Domenico & Ryan, 2017; Kang et al., 2009; see also Bardach & Murayama, 2025). This system encodes reward value by integrating features such as reward type, salience, magnitude, contingency, and required effort (Hare et al., 2008; Knutson et al., 2005; Salamone & Correa, 2024; Schultz, 2006). In practice, motivation is rarely purely extrinsic or purely intrinsic; the relative contributions of rewards and interest can coexist, shift over time, and depend on how rewards are construed (e.g., controlling vs. self-endorsed). Consequently, distinguishing between incentives (valued as a means to an end) and interest (valued for the activity itself) may offer a more functionally meaningful framework for understanding motivation than the traditional extrinsic–intrinsic divide (Kim, 2025).\nIn real-world learning and work contexts, incentives and interest often coexist but frequently decouple: One endures while the other gradually diminishes or disappears (e.g., no longer earning bonus points or losing interest in the activity). Much of the existing research has examined the undermining effect, focusing on how removing incentives from initially interesting tasks diminishes subsequent engagement and effort (Deci, 1971; Lepper et al., 1973). Using fMRI, Murayama et al. (2010) showed that performance-contingent monetary rewards for interesting tasks transiently elevated activation in dopaminergic regions, including the bilateral striatum and midbrain. Once the rewards were withdrawn, this activation dropped sharply, and the decline was significantly associated with reduced voluntary effort. Complementing this with EEG, Ma et al. (2014) reported that rewards diminished individuals’ sensitivity to performance outcomes; after financial incentives were removed, the feedback-related negativity (FRN)—a marker of motivational salience—showed a reduced success–failure differentiation. Collectively, these findings indicate that while monetary rewards can transiently upregulate motivational systems, their withdrawal can attenuate reward coding and erode sustained engagement.\nThe undermining effect has been typically explained by overjustification. In this view, when a strong and salient incentive is introduced, behaviors initially performed for the inherent enjoyment of the task become reattributed to the pursuit of that incentive. The individuals thus come to view the activity not as enjoyable but as a means to obtain a reward (Deci, 1971; Lepper et al., 1973). This shift in attribution or perceived locus of causality weakens intrinsic motivation. Once the reward is withdrawn, the internal justification for engaging in the task diminishes, leading to lower persistence, diminished performance, and decreased willingness to reengage. However, this explanation has been challenged as undermining-like decreases also appear under conditions that preclude explicit self-attribution (e.g., reward downshifts in nonverbal animals), suggesting that attributional processes may not be necessary condition for the effect (Zentall, 2013; see also Hidi, 2016; Murayama, 2022). Complementing this point, neuroimaging evidence suggests that undermining may involve changes in valuation and salience systems that are not readily captured by an overjustification account.\nAn alternative account for the undermining effect is the contrast effect (Hidi, 2016; Zentall, 2005), which holds that the subjective value of a task is judged relative to recent reward history. Building on Flaherty’s research on incentive relativity in animal behavior (Flaherty, 1999), this account posits that a downshift in expected incentives produce a disproportionately large disruption in responding. Thus, when a task shifts from a high-reward condition (interest + incentive) to a lower-reward condition (interest alone), its perceived value declines more sharply than in unshifted controls (Papini, 2006). From a neurobiological perspective, this relative drop in value can be understood through the reward prediction error (RPE; Glimcher, 2011; Schultz, 1998). Pairing an incentive with an interesting task elevates the brain’s expected value of performing that task. When the incentive is removed, the discrepancy between this heightened expectation and the actual outcome generates a negative RPE (worse than expected), leading to a sharp reduction in dopaminergic activity. This reduction appears to affect not only core reward circuitry (ventral striatum, ventral tegmental area [VTA]) but also broader motivational networks that sustain persistence (Ma et al., 2014; Murayama et al., 2010). Even if interest remains, the relative loss in the magnitude of reinforcement and resulting negative RPE can amplify psychological disappointment, further undermining motivation (Zentall, 2005).\n\n\n### When a boring incentivized task meets interest: Two opposing possibilities\nWhile much of the literature has examined how removing incentives affects tasks that remain interesting, far less is known about the reverse scenario. A key open question is whether a comparable process occurs when interest is introduced into an incentivized task that is initially uninteresting or boring, but then fades before the incentive is withdrawn. Understanding how incentives operate after the loss of interest is essential not only for clarifying time-lagged shifts in motivation but also for determining how sustained effort is allocated and maintained under changing motivational conditions. This issue is particularly important in monotonous contexts, where effort regulation often determines both performance quality and persistence. Addressing this gap would refine theoretical models of incentive–interest interaction and inform the design of learning, work, and training environments in which motivational sources and the effort they elicit are dynamic and subject to change.\nTwo opposing mechanisms may account for motivational changes when interest and incentives shift asynchronously; that is, when interest is temporarily introduced into a boring, incentivized task but disappears before the incentive is removed. The first is the contrast effect. Similar to the mechanism underlying the undermining effect, the contrast between a prior high-reward state (interest + incentive) and a current reduced-reward state (incentive alone) may lead to devaluation of the remaining incentive, reducing both cognitive and behavioral investment. Neurobiologically, the affective reward value associated with the earlier interest + incentive state may persist as an expectation even after interest is gone. When the experienced enjoyment falls short of this expectation, a negative RPE is likely to occur. Although the remaining monetary incentives may still activate dopaminergic pathways, their subjective utility may be diminished relative to the previous high-reward state. As a result, the residual incentive may yield less satisfaction and, in some cases, foster psychological deprivation and reduce willingness to persist.\nThe second possibility is the transfer effect. This account posits that motivational momentum from the preceding interesting element would reduce the aversiveness of the boring task that follows and replenish mental resources for investing effort and detecting the salience of reward. Interest enhances learning by boosting positive affect and attention, deepening cognitive processing, and improving memory, while also lowering the perceived cost of effort (Ainley et al., 2002; Renninger & Hidi, 2016; Schiefele, 1991; Song et al., 2019). Thus, motivation driven by interest tends to be enduring and self-sustaining (Hidi & Ainley, 2008; Sansone & Thoman, 2005). One of the most compelling functions of interest is its capacity to replenish mental resources, rendering even effortful or monotonous tasks less cognitively taxing. This restorative function is especially critical in contexts characterized by mental fatigue, cognitive overload, or prolonged monotony.\nSeveral lines of evidence support the transfer effect. First, the broaden-and-build theory (Fredrickson, 2001) proposes that positive emotions, such as interest and enjoyment, expand an individual’s cognitive repertoire and behavioral flexibility. By widening the scope of attention and thought–action tendencies, these emotions could build enduring psychological and social resources that outlast the initial emotional state. In the context of a monotonous but incentivized task, an early episode of interest may enhance attentional control, working memory, and cognitive flexibility. This temporary “broadening” effect could persist into subsequent phases of the task, even after the initial source of interest is removed.\nSecond, empirical findings consistently showed that even brief experiences of interest can restore the mental energy required for self-regulation, enabling individuals to sustain effort on demanding tasks while experiencing less fatigue (Endres et al., 2025; Milyavskaya et al., 2021; O’Keefe & Linnenbrink-Garcia, 2014; Thoman et al., 2011). For example, Thoman et al. (2011) demonstrated through a series of experiments that interest enhanced effort and persistence in subsequent unrelated tasks, even after participants had expended substantial psychological resources on boring and onerous activities. Notably, participants who engaged in an interesting task (e.g., solving mystery passages) showed greater restoration of psychological resources than those in positive (e.g., searching for positive words) or neutral (e.g., searching for neutral words) task conditions, despite the former being more cognitively demanding. The restorative effects of interest appeared to operate independently of positive affect, self-efficacy, and general achievement motivation (Milyavskaya et al., 2021; O’Keefe & Linnenbrink-Garcia, 2014; Thoman et al., 2011).\nAlthough the precise mechanism of this restorative effect remains unclear, it may be partly explained by the neural activation associated with interest. Interest engages regions involved in motivational valuation, cognitive control, and salience detection (Di Domenico & Ryan, 2017; Shin et al., 2022). These included dopaminergic reward-related regions such as the striatum and ventromedial prefrontal cortex (vmPFC), as well as regions implicated in cognitive control (e.g., dorsolateral prefrontal cortex [dlPFC], anterior cingulate cortex [ACC]) and the salience network (e.g., anterior insula [AI], dorsal ACC). Among these regions, the ACC plays a central role in anticipating outcomes and detecting conflicts between expectations and actual outcomes, thereby engaging cognitive control, effort regulation, and value-updating processes to integrate effort and reward information (Matsumoto & Tanaka, 2004; Onoda et al., 2008). The AI, meanwhile, has been identified as a key neural substrate of intrinsic motivation (Di Domenico & Ryan, 2017; Lee & Reeve, 2013; Murayama et al., 2010, 2015) and serves as a core hub of the salience network (Wiech et al., 2010)—an adaptive system that detects motivationally significant signals and allocates attentional and cognitive resources accordingly (Menon & Uddin, 2010). Thus, experiencing interest could attach greater value, control, and salience to the task itself, with these effects possibly carrying over into later task phases and helping to maintain cognitive control and valuation of the task even after interesting engagement has subsided.\nSuch carryover effects may occur because interest temporarily shifts motivational focus from external factors to the task itself. During interesting engagement, attentional and control systems may be oriented toward the activity rather than the incentives, allowing self-regulatory resources to be replenished and reducing the depletion that typically accompanies prolonged, effortful engagement. When the task reverts to a purely incentivized form, these replenished resources could delay the onset of motivational decline. Moreover, because individuals attend less to incentives while engaged with interesting elements, the perceived value of subsequent rewards may be refreshed, enhancing their salience and preserving positive RPE signals (better than expected) over time. In this way, the transfer effect underscores the complementary interplay, rather than a trade-off, between incentives and interest.\n\n\n### Current study\nThe present study examined whether briefly inserting an interesting element into a monotonous, incentivized task would alter subsequent motivation and effort once that element was removed and, if so, through which mechanisms interest exerts its effects during this transition. We considered two competing explanations. The contrast-effect hypothesis posits that the loss of interest would attenuate the motivational impact of the remaining incentives, as its absence is directly contrasted with prior presence, triggering a negative RPE that devalues the subjective utility of the incentive. In contrast, the transfer-effect hypothesis proposes that prior high interest replenishes cognitive and emotional resources that sustain persistence even after interest diminishes, thereby maintaining or at least delaying the decline in the effectiveness of subsequent incentives.\nTo test these ideas, we conducted two complementary studies. Figure 1 presents the overall experimental paradigms of the two studies. Study 1 employed a behavioral typing task to assess changes in effort, motivation, and persistence. Study 2 used fMRI with a social preference guessing task to examine neural mechanisms. In both studies, participants completed two sessions of a boring, incentivized task. Between sessions, the experimental group performed an interesting version of the task (boring–interesting–boring), whereas the control group completed a neutral version (boring–neutral–boring) with matched incentives. In Study 2, monetary incentives were reduced in Run 3 to test whether motivational benefits from prior interest exposure would persist under lower monetary reward conditions.Fig. 1Experimental procedure and materials used in Studies 1 and 2. In both studies, the experimental group completed a Boring–Interesting–Boring task sequence, while the control group followed a Boring–Neutral–Boring sequence. A. In Study 1, participants performed a typing task under two of the following three conditions: boring (nonsense letter clusters in text format), neutral (real words in text format), and interesting (real words in a game-like format). Monetary rewards were provided in all conditions. Following the final run, participants entered a free-choice period where they could continue the task without additional incentives. B. In Study 2, participants engaged in a social preference guessing task during fMRI scanning, under two of three conditions: boring (geometric symbols), neutral (everyday objects), and interesting (humorous images). Bogus feedback was used to ensure balanced success and failure rates. In Run 3, the magnitude of monetary rewards was reduced to examine sustained engagement under diminished extrinsic incentives. (Color figure online)\nExperimental procedure and materials used in Studies 1 and 2. In both studies, the experimental group completed a Boring–Interesting–Boring task sequence, while the control group followed a Boring–Neutral–Boring sequence. A. In Study 1, participants performed a typing task under two of the following three conditions: boring (nonsense letter clusters in text format), neutral (real words in text format), and interesting (real words in a game-like format). Monetary rewards were provided in all conditions. Following the final run, participants entered a free-choice period where they could continue the task without additional incentives. B. In Study 2, participants engaged in a social preference guessing task during fMRI scanning, under two of three conditions: boring (geometric symbols), neutral (everyday objects), and interesting (humorous images). Bogus feedback was used to ensure balanced success and failure rates. In Run 3, the magnitude of monetary rewards was reduced to examine sustained engagement under diminished extrinsic incentives. (Color figure online)\nIf the contrast-effect hypothesis were true, we expected the experimental group in Study 1 to show lower effort, interest, willingness to reengage, performance, and free-choice engagement after the interesting element was removed (Run 3) than the control group, reflecting a devaluation of the task following the removal of interest. In Study 2, we predicted increased activation in regions associated with the mesocorticolimbic dopaminergic pathway (VTA, striatum, ACC, vmPFC, amygdala) and the salience network (particularly AI) during Run 2 (with interest), followed by a decline in Run 3 (after removal). Such results would mirror the undermining effect. Within the dopaminergic pathway, we particularly expected activation in the VTA and striatum, as these regions play central roles in regulating reward learning and effort (Salamone & Correa, 2024) and were identified in a prior neuroimaging study on the undermining effect (Murayama et al., 2010).\nIf the transfer effect hypothesis were true, we predicted the opposite pattern. In Study 1, the experimental group would demonstrate greater effort, interest, willingness to reengage, performance, and free-choice engagement in Run 3 relative to the control group. In Study 2, we anticipated sustained or even elevated activation across Runs 2 and 3 in mesocorticolimbic and salience-network regions compared with Run 1, reflecting a lingering motivational benefit from prior intrinsic engagement. This prediction rests on the idea that during the interesting phase, motivation temporarily shifts from incentives toward the task itself, with dopaminergic responses tracking interest rather than incentive value. Once the interesting element was removed, dopaminergic responses would return to encoding the incentive; however, this temporary shift could replenish motivational systems, enhancing the salience and subjective value of subsequent rewards.\n\n\n### Study 1\nStudy 1 employed a behavioral experimental paradigm to examine the role of interest in extrinsically rewarded boring tasks. Participants completed a monetary-incentivized typing task across three runs: a boring–interesting–boring sequence for the experimental group and a boring–neutral–boring sequence for the control group. We assessed participants’ self-reported effort expenditure, interest, willingness to reengage with the task, and objective task performance. At the end of the experiment, we also recorded participants’ free-choice engagement as an additional indicator of voluntary effort.\nForty-six undergraduate students (31 women, 15 women) enrolled in an elective educational psychology course participated in the experiment in exchange for course credit. Participants were randomly assigned to either the experimental group (n = 23) or the control group (n = 23). However, four participants were excluded from the analysis due to technical issues that resulted in missing performance data. The final sample was 22 participants (13 men, seven women) in the experimental group and 20 participants (14 men, eight women) in the control group. Written informed consent was obtained from all participants prior to the study.\nFigure 1A illustrates the experimental procedure and materials used for Study 1. In Study 1, we used a typing task that required participants to copy a series of alphabet clusters displayed on a computer screen using a keyboard. Each cluster consisted of three to six letters and was either nonsense strings (e.g., GKN, MGPL, HGPO) or actual words (e.g., STATE, ECHO, SIMPLE). The task was presented in either a standard text-based format or a game-like format. There were three task conditions, which were defined by the type of alphabet clusters and their presentation format: (1) the boring task involved copying nonsense clusters in text format, (2) the neutral task involved copying actual words in text format, and (3) the interesting task involved copying actual words in a game-like format.\nThroughout the task, participants earned monetary rewards based on their performance. They were informed in advance that they would receive approximately 15¢ per line typed, with each line consisting of 16 to 18 words. This payment structure remained consistent across all task conditions. The accumulated earnings were displayed on the right side of the screen in the text-based format (boring and neutral conditions). In the game-like format (interesting condition), the total number of successful hits was instead shown at the bottom of the screen to reinforce the gaming experience.\nAll participants individually completed three experimental runs, with task sequences varying by group (see Fig. 1). In Run 1, participants in both groups completed the same boring task, which involved copying nonsensical alphabet clusters in a standard text format for 10 min. In Run 2, task conditions diverged between groups. The control group completed a neutral task, a slightly modified version of the boring task, in which they copied real words in a standard text format. Meanwhile, the experimental group completed the interesting task, where they copied real words presented in a game-like format. Both groups had a 5-min time limit for this run. In Run 3, all participants returned to the original boring task and were asked to type four lines with no time limit. The time taken to complete Run 3 was recorded. At the end of each run, participants rated the perceived interestingness of the task they had just completed. After Run 3, they also reported their perceived effort expenditure during Run 3 and their willingness to reengage in the task.\nFollowing the three task runs, participants were told that the experimenter would step out to finalize and retrieve the monetary incentives they had earned during the task, thereby creating a free-choice period. During this time, they were free to continue the task for as long as they wished—or to do anything else—without any time constraints or additional monetary incentives. The task allowed for a maximum of 51 lines, with participants completing anywhere from 0 to 51 lines. Finally, they were debriefed and thanked for their participation.\nWe utilized three self-report measures in Study 1: perceived task interestingness, effort expenditure, and willingness to reengage in the task. Participants responded to all survey items using a 7-point Likert scale, ranging from 1 (not true at all) to 7 (very much true). Perceived task interestingness was assessed after each run with a single item measure asking participants to rate how interesting they found the task (e.g., “Please rate the perceived interestingness of the first task run”). We used a single item to measure perceived task interestingness in order to minimize participant fatigue, given that participants were asked to rate the interestingness of three separate tasks. The item we selected was concise, easy to understand, and demonstrated high face validity as a direct measure of perceived task interestingness, which are important criteria for an effective single-item measure (Allen et al., 2022). Effort expenditure was assessed with four items evaluating participants’ effort during Run 3 (e.g., “Even when the task felt boring, I put in my best effort.”; α =.76; Elliot et al., 1999). Willingness to reengage in the task was measured using three items (e.g., “I would be willing to participate in this task again.”; α =.89; Woo et al., 2014).\nIn addition, three behavioral measures were computed: performance in Runs 1 and 3 and free-choice engagement. Performance was calculated as the number of lines typed divided by the total time spent (in minutes) on each task run (Performance = lines/time). In Run 1, performance was calculated by dividing the number of lines typed by 10 min. In Run 3, performance was calculated by dividing the four lines typed by the time taken to complete them. Since Run 2 involved different task formats across groups, its performance scores were not directly comparable to Runs 1 and 3 or between groups; therefore, Run 2 performance data were excluded from further analysis. Finally, free-choice engagement was quantified by counting the total number of lines participants voluntarily typed.\nDescriptive statistics for all variables included in the analysis are presented in the upper section of Table 1. To verify the effectiveness of the task interestingness manipulation, participants’ ratings of perceived task interestingness for Runs 1 and 2 were compared. An independent samples t test revealed no significant difference between groups in perceived task interestingness during Run 1, when both groups completed the same boring task (Ms = 3.23 for the experimental group and 3.00 for the control group), t(40) =.52, p >.05. This indicates no baseline differences in interest between the groups. In contrast, during Run 2, participants in the experimental group, who engaged in the interesting task, rated the task as significantly more interesting than participants in the control group, who completed the neutral task (Ms = 5.95 and 4.55, respectively), t(40) = 5.09, p <.001. These results confirm that the experimental manipulation successfully increased perceived task interestingness in the experimental group compared with the control group.\nTable 1Descriptive statistics and group differences in measured variables from Studies 1 and 2VariablePossible rangeαExperimental groupControl grouptMSDMSDStudy 1 (ns = 22, 20)  Run 1 Interestingness1–7–3.231.543.001.26.52  Run 2 Interestingness1–7–5.95.794.551.005.09***  Run 3 Interestingness1–7–3.231.272.601.431.51  Run 3 Effort Expenditure1–7.765.061.244.451.201.61  Willingness to Reengage1–7.895.021.733.681.142.92**  Run 1 Performance––1.93.541.58.532.11*  Run 3 Performance––2.03.791.50.502.58*  Free-choice Engagement0–51–24.8118.4819.2313.671.10Study 2 (ns = 24, 19)  Run 1 Interestingness1–7–4.251.484.321.29 −.15  Run 2 Interestingness1–7–5.96.695.211.082.75**  Run 3 Interestingness1–7–4.171.314.111.37.15  Willingness to Reengage1–7.894.491.524.281.25.48In Study 1, the experimental group n = 22, the control group n = 20. In Study 2, the experimental group n = 24, the control group n = 19. In Study 1, performance was measured as the number of lines typed per minute, while free-choice engagement was assessed based on the total number of lines typed. The t statistic represents the results of an independent-samples t test. *p <.05, **p <.01\nDescriptive statistics and group differences in measured variables from Studies 1 and 2\nIn Study 1, the experimental group n = 22, the control group n = 20. In Study 2, the experimental group n = 24, the control group n = 19. In Study 1, performance was measured as the number of lines typed per minute, while free-choice engagement was assessed based on the total number of lines typed. The t statistic represents the results of an independent-samples t test. *p <.05, **p <.01\nNext, we examined group differences in participants’ self-reported interest, effort expenditure, and willingness to reengage in the task during Run 3, as well as their Run 3 performance and free-choice engagement. Although participants were randomly assigned to groups, a significant difference emerged in their performance during Run 1. Specifically, participants in the experimental group typed significantly more lines than those in the control group within a 10-min period during Run 1 (Ms = 1.93 and 1.58, respectively), t(40) = 2.11, p =.04. This result suggests a preexisting difference in typing competence between the groups. To account for this discrepancy, Run 1 performance was controlled for in all subsequent analyses. There were no significant gender differences in measured variables.\nA multivariate analysis of covariance (MANCOVA) was conducted to examine differences in interest, effort expenditure, willingness to reengage in the task, performance, and free-choice engagement, with group as a fixed factor and Run 1 performance as a covariate. The results indicated that the experimental group reported significantly higher levels of Run 3 interestingness, F(1, 40) = 4.16, p =.048, Run 3 effort expenditure, F(1, 40) = 4.85, p =.03, and willingness to reengage, F(1, 40) = 10.65, p =.002, than the control group (Fig. 2A). However, no significant group differences were observed for Run 3 performance or free-choice engagement, despite their mean values being higher in the experimental group compared with the control group.Fig. 2Group differences in measures from Study 1. A. Results from a MANCOVA comparing self-reported interest, effort expenditure, willingness to reengage, performance, and free-choice engagement between groups, controlling for Run 1 performance. Free-choice engagement was rescaled by dividing the raw number of voluntarily typed lines by 5 to align visually with other measures. B. A 2 × 2 repeated-measures ANOVA examining performance across Runs 1 and 3. The interaction effect was marginally significant (p =.089). *p <.05, **p <.01. (Color figure online)\nGroup differences in measures from Study 1. A. Results from a MANCOVA comparing self-reported interest, effort expenditure, willingness to reengage, performance, and free-choice engagement between groups, controlling for Run 1 performance. Free-choice engagement was rescaled by dividing the raw number of voluntarily typed lines by 5 to align visually with other measures. B. A 2 × 2 repeated-measures ANOVA examining performance across Runs 1 and 3. The interaction effect was marginally significant (p =.089). *p <.05, **p <.01. (Color figure online)\nTo further investigate performance trends across task runs, a 2 × 2 repeated-measures ANOVA was conducted with run (Run 1 vs. Run 3) as a within-subject variable and group (experimental vs. control) as a between-subject variable. Results demonstrated a marginally significant interaction effect, F(1, 40) = 3.05, p =.089. The interaction pattern, as shown in Fig. 2B, indicates that while the control group’s performance exhibited a slight decline from Run 1 to Run 3, the experimental group’s performance showed a modest improvement over the same period.\nThe findings from Study 1 provided support for the transfer effect hypothesis. Participants who engaged in an interesting task between two boring, but incentivized tasks reported greater interest and exerted more effort during the second boring task (Run 3) compared with those who engaged in a neutral task in between. Although the interaction effect for performance was only marginally significant, participants in the experimental group showed an improvement from Run 1 to Run 3, whereas those in the control group experienced a decline. Additionally, the experience of the sandwiched interesting task significantly increased participants’ willingness to reengage in the task upon completion. A trend toward greater voluntary engagement during the free-choice period was also observed. Overall, these findings align with the idea that intermittent exposure to interesting tasks can act as a motivational boost, replenishing participants’ energy and sustaining their effort and engagement in otherwise monotonous tasks.\n\n\n### Method\nForty-six undergraduate students (31 women, 15 women) enrolled in an elective educational psychology course participated in the experiment in exchange for course credit. Participants were randomly assigned to either the experimental group (n = 23) or the control group (n = 23). However, four participants were excluded from the analysis due to technical issues that resulted in missing performance data. The final sample was 22 participants (13 men, seven women) in the experimental group and 20 participants (14 men, eight women) in the control group. Written informed consent was obtained from all participants prior to the study.\nFigure 1A illustrates the experimental procedure and materials used for Study 1. In Study 1, we used a typing task that required participants to copy a series of alphabet clusters displayed on a computer screen using a keyboard. Each cluster consisted of three to six letters and was either nonsense strings (e.g., GKN, MGPL, HGPO) or actual words (e.g., STATE, ECHO, SIMPLE). The task was presented in either a standard text-based format or a game-like format. There were three task conditions, which were defined by the type of alphabet clusters and their presentation format: (1) the boring task involved copying nonsense clusters in text format, (2) the neutral task involved copying actual words in text format, and (3) the interesting task involved copying actual words in a game-like format.\nThroughout the task, participants earned monetary rewards based on their performance. They were informed in advance that they would receive approximately 15¢ per line typed, with each line consisting of 16 to 18 words. This payment structure remained consistent across all task conditions. The accumulated earnings were displayed on the right side of the screen in the text-based format (boring and neutral conditions). In the game-like format (interesting condition), the total number of successful hits was instead shown at the bottom of the screen to reinforce the gaming experience.\nAll participants individually completed three experimental runs, with task sequences varying by group (see Fig. 1). In Run 1, participants in both groups completed the same boring task, which involved copying nonsensical alphabet clusters in a standard text format for 10 min. In Run 2, task conditions diverged between groups. The control group completed a neutral task, a slightly modified version of the boring task, in which they copied real words in a standard text format. Meanwhile, the experimental group completed the interesting task, where they copied real words presented in a game-like format. Both groups had a 5-min time limit for this run. In Run 3, all participants returned to the original boring task and were asked to type four lines with no time limit. The time taken to complete Run 3 was recorded. At the end of each run, participants rated the perceived interestingness of the task they had just completed. After Run 3, they also reported their perceived effort expenditure during Run 3 and their willingness to reengage in the task.\nFollowing the three task runs, participants were told that the experimenter would step out to finalize and retrieve the monetary incentives they had earned during the task, thereby creating a free-choice period. During this time, they were free to continue the task for as long as they wished—or to do anything else—without any time constraints or additional monetary incentives. The task allowed for a maximum of 51 lines, with participants completing anywhere from 0 to 51 lines. Finally, they were debriefed and thanked for their participation.\nWe utilized three self-report measures in Study 1: perceived task interestingness, effort expenditure, and willingness to reengage in the task. Participants responded to all survey items using a 7-point Likert scale, ranging from 1 (not true at all) to 7 (very much true). Perceived task interestingness was assessed after each run with a single item measure asking participants to rate how interesting they found the task (e.g., “Please rate the perceived interestingness of the first task run”). We used a single item to measure perceived task interestingness in order to minimize participant fatigue, given that participants were asked to rate the interestingness of three separate tasks. The item we selected was concise, easy to understand, and demonstrated high face validity as a direct measure of perceived task interestingness, which are important criteria for an effective single-item measure (Allen et al., 2022). Effort expenditure was assessed with four items evaluating participants’ effort during Run 3 (e.g., “Even when the task felt boring, I put in my best effort.”; α =.76; Elliot et al., 1999). Willingness to reengage in the task was measured using three items (e.g., “I would be willing to participate in this task again.”; α =.89; Woo et al., 2014).\nIn addition, three behavioral measures were computed: performance in Runs 1 and 3 and free-choice engagement. Performance was calculated as the number of lines typed divided by the total time spent (in minutes) on each task run (Performance = lines/time). In Run 1, performance was calculated by dividing the number of lines typed by 10 min. In Run 3, performance was calculated by dividing the four lines typed by the time taken to complete them. Since Run 2 involved different task formats across groups, its performance scores were not directly comparable to Runs 1 and 3 or between groups; therefore, Run 2 performance data were excluded from further analysis. Finally, free-choice engagement was quantified by counting the total number of lines participants voluntarily typed.\n\n\n### Participants\nForty-six undergraduate students (31 women, 15 women) enrolled in an elective educational psychology course participated in the experiment in exchange for course credit. Participants were randomly assigned to either the experimental group (n = 23) or the control group (n = 23). However, four participants were excluded from the analysis due to technical issues that resulted in missing performance data. The final sample was 22 participants (13 men, seven women) in the experimental group and 20 participants (14 men, eight women) in the control group. Written informed consent was obtained from all participants prior to the study.\n\n\n### Materials\nFigure 1A illustrates the experimental procedure and materials used for Study 1. In Study 1, we used a typing task that required participants to copy a series of alphabet clusters displayed on a computer screen using a keyboard. Each cluster consisted of three to six letters and was either nonsense strings (e.g., GKN, MGPL, HGPO) or actual words (e.g., STATE, ECHO, SIMPLE). The task was presented in either a standard text-based format or a game-like format. There were three task conditions, which were defined by the type of alphabet clusters and their presentation format: (1) the boring task involved copying nonsense clusters in text format, (2) the neutral task involved copying actual words in text format, and (3) the interesting task involved copying actual words in a game-like format.\nThroughout the task, participants earned monetary rewards based on their performance. They were informed in advance that they would receive approximately 15¢ per line typed, with each line consisting of 16 to 18 words. This payment structure remained consistent across all task conditions. The accumulated earnings were displayed on the right side of the screen in the text-based format (boring and neutral conditions). In the game-like format (interesting condition), the total number of successful hits was instead shown at the bottom of the screen to reinforce the gaming experience.\n\n\n### Procedure\nAll participants individually completed three experimental runs, with task sequences varying by group (see Fig. 1). In Run 1, participants in both groups completed the same boring task, which involved copying nonsensical alphabet clusters in a standard text format for 10 min. In Run 2, task conditions diverged between groups. The control group completed a neutral task, a slightly modified version of the boring task, in which they copied real words in a standard text format. Meanwhile, the experimental group completed the interesting task, where they copied real words presented in a game-like format. Both groups had a 5-min time limit for this run. In Run 3, all participants returned to the original boring task and were asked to type four lines with no time limit. The time taken to complete Run 3 was recorded. At the end of each run, participants rated the perceived interestingness of the task they had just completed. After Run 3, they also reported their perceived effort expenditure during Run 3 and their willingness to reengage in the task.\nFollowing the three task runs, participants were told that the experimenter would step out to finalize and retrieve the monetary incentives they had earned during the task, thereby creating a free-choice period. During this time, they were free to continue the task for as long as they wished—or to do anything else—without any time constraints or additional monetary incentives. The task allowed for a maximum of 51 lines, with participants completing anywhere from 0 to 51 lines. Finally, they were debriefed and thanked for their participation.\n\n\n### Measures\nWe utilized three self-report measures in Study 1: perceived task interestingness, effort expenditure, and willingness to reengage in the task. Participants responded to all survey items using a 7-point Likert scale, ranging from 1 (not true at all) to 7 (very much true). Perceived task interestingness was assessed after each run with a single item measure asking participants to rate how interesting they found the task (e.g., “Please rate the perceived interestingness of the first task run”). We used a single item to measure perceived task interestingness in order to minimize participant fatigue, given that participants were asked to rate the interestingness of three separate tasks. The item we selected was concise, easy to understand, and demonstrated high face validity as a direct measure of perceived task interestingness, which are important criteria for an effective single-item measure (Allen et al., 2022). Effort expenditure was assessed with four items evaluating participants’ effort during Run 3 (e.g., “Even when the task felt boring, I put in my best effort.”; α =.76; Elliot et al., 1999). Willingness to reengage in the task was measured using three items (e.g., “I would be willing to participate in this task again.”; α =.89; Woo et al., 2014).\nIn addition, three behavioral measures were computed: performance in Runs 1 and 3 and free-choice engagement. Performance was calculated as the number of lines typed divided by the total time spent (in minutes) on each task run (Performance = lines/time). In Run 1, performance was calculated by dividing the number of lines typed by 10 min. In Run 3, performance was calculated by dividing the four lines typed by the time taken to complete them. Since Run 2 involved different task formats across groups, its performance scores were not directly comparable to Runs 1 and 3 or between groups; therefore, Run 2 performance data were excluded from further analysis. Finally, free-choice engagement was quantified by counting the total number of lines participants voluntarily typed.\n\n\n### Results and discussion\nDescriptive statistics for all variables included in the analysis are presented in the upper section of Table 1. To verify the effectiveness of the task interestingness manipulation, participants’ ratings of perceived task interestingness for Runs 1 and 2 were compared. An independent samples t test revealed no significant difference between groups in perceived task interestingness during Run 1, when both groups completed the same boring task (Ms = 3.23 for the experimental group and 3.00 for the control group), t(40) =.52, p >.05. This indicates no baseline differences in interest between the groups. In contrast, during Run 2, participants in the experimental group, who engaged in the interesting task, rated the task as significantly more interesting than participants in the control group, who completed the neutral task (Ms = 5.95 and 4.55, respectively), t(40) = 5.09, p <.001. These results confirm that the experimental manipulation successfully increased perceived task interestingness in the experimental group compared with the control group.\nTable 1Descriptive statistics and group differences in measured variables from Studies 1 and 2VariablePossible rangeαExperimental groupControl grouptMSDMSDStudy 1 (ns = 22, 20)  Run 1 Interestingness1–7–3.231.543.001.26.52  Run 2 Interestingness1–7–5.95.794.551.005.09***  Run 3 Interestingness1–7–3.231.272.601.431.51  Run 3 Effort Expenditure1–7.765.061.244.451.201.61  Willingness to Reengage1–7.895.021.733.681.142.92**  Run 1 Performance––1.93.541.58.532.11*  Run 3 Performance––2.03.791.50.502.58*  Free-choice Engagement0–51–24.8118.4819.2313.671.10Study 2 (ns = 24, 19)  Run 1 Interestingness1–7–4.251.484.321.29 −.15  Run 2 Interestingness1–7–5.96.695.211.082.75**  Run 3 Interestingness1–7–4.171.314.111.37.15  Willingness to Reengage1–7.894.491.524.281.25.48In Study 1, the experimental group n = 22, the control group n = 20. In Study 2, the experimental group n = 24, the control group n = 19. In Study 1, performance was measured as the number of lines typed per minute, while free-choice engagement was assessed based on the total number of lines typed. The t statistic represents the results of an independent-samples t test. *p <.05, **p <.01\nDescriptive statistics and group differences in measured variables from Studies 1 and 2\nIn Study 1, the experimental group n = 22, the control group n = 20. In Study 2, the experimental group n = 24, the control group n = 19. In Study 1, performance was measured as the number of lines typed per minute, while free-choice engagement was assessed based on the total number of lines typed. The t statistic represents the results of an independent-samples t test. *p <.05, **p <.01\nNext, we examined group differences in participants’ self-reported interest, effort expenditure, and willingness to reengage in the task during Run 3, as well as their Run 3 performance and free-choice engagement. Although participants were randomly assigned to groups, a significant difference emerged in their performance during Run 1. Specifically, participants in the experimental group typed significantly more lines than those in the control group within a 10-min period during Run 1 (Ms = 1.93 and 1.58, respectively), t(40) = 2.11, p =.04. This result suggests a preexisting difference in typing competence between the groups. To account for this discrepancy, Run 1 performance was controlled for in all subsequent analyses. There were no significant gender differences in measured variables.\nA multivariate analysis of covariance (MANCOVA) was conducted to examine differences in interest, effort expenditure, willingness to reengage in the task, performance, and free-choice engagement, with group as a fixed factor and Run 1 performance as a covariate. The results indicated that the experimental group reported significantly higher levels of Run 3 interestingness, F(1, 40) = 4.16, p =.048, Run 3 effort expenditure, F(1, 40) = 4.85, p =.03, and willingness to reengage, F(1, 40) = 10.65, p =.002, than the control group (Fig. 2A). However, no significant group differences were observed for Run 3 performance or free-choice engagement, despite their mean values being higher in the experimental group compared with the control group.Fig. 2Group differences in measures from Study 1. A. Results from a MANCOVA comparing self-reported interest, effort expenditure, willingness to reengage, performance, and free-choice engagement between groups, controlling for Run 1 performance. Free-choice engagement was rescaled by dividing the raw number of voluntarily typed lines by 5 to align visually with other measures. B. A 2 × 2 repeated-measures ANOVA examining performance across Runs 1 and 3. The interaction effect was marginally significant (p =.089). *p <.05, **p <.01. (Color figure online)\nGroup differences in measures from Study 1. A. Results from a MANCOVA comparing self-reported interest, effort expenditure, willingness to reengage, performance, and free-choice engagement between groups, controlling for Run 1 performance. Free-choice engagement was rescaled by dividing the raw number of voluntarily typed lines by 5 to align visually with other measures. B. A 2 × 2 repeated-measures ANOVA examining performance across Runs 1 and 3. The interaction effect was marginally significant (p =.089). *p <.05, **p <.01. (Color figure online)\nTo further investigate performance trends across task runs, a 2 × 2 repeated-measures ANOVA was conducted with run (Run 1 vs. Run 3) as a within-subject variable and group (experimental vs. control) as a between-subject variable. Results demonstrated a marginally significant interaction effect, F(1, 40) = 3.05, p =.089. The interaction pattern, as shown in Fig. 2B, indicates that while the control group’s performance exhibited a slight decline from Run 1 to Run 3, the experimental group’s performance showed a modest improvement over the same period.\nThe findings from Study 1 provided support for the transfer effect hypothesis. Participants who engaged in an interesting task between two boring, but incentivized tasks reported greater interest and exerted more effort during the second boring task (Run 3) compared with those who engaged in a neutral task in between. Although the interaction effect for performance was only marginally significant, participants in the experimental group showed an improvement from Run 1 to Run 3, whereas those in the control group experienced a decline. Additionally, the experience of the sandwiched interesting task significantly increased participants’ willingness to reengage in the task upon completion. A trend toward greater voluntary engagement during the free-choice period was also observed. Overall, these findings align with the idea that intermittent exposure to interesting tasks can act as a motivational boost, replenishing participants’ energy and sustaining their effort and engagement in otherwise monotonous tasks.\n\n\n### Manipulation check\nDescriptive statistics for all variables included in the analysis are presented in the upper section of Table 1. To verify the effectiveness of the task interestingness manipulation, participants’ ratings of perceived task interestingness for Runs 1 and 2 were compared. An independent samples t test revealed no significant difference between groups in perceived task interestingness during Run 1, when both groups completed the same boring task (Ms = 3.23 for the experimental group and 3.00 for the control group), t(40) =.52, p >.05. This indicates no baseline differences in interest between the groups. In contrast, during Run 2, participants in the experimental group, who engaged in the interesting task, rated the task as significantly more interesting than participants in the control group, who completed the neutral task (Ms = 5.95 and 4.55, respectively), t(40) = 5.09, p <.001. These results confirm that the experimental manipulation successfully increased perceived task interestingness in the experimental group compared with the control group.\nTable 1Descriptive statistics and group differences in measured variables from Studies 1 and 2VariablePossible rangeαExperimental groupControl grouptMSDMSDStudy 1 (ns = 22, 20)  Run 1 Interestingness1–7–3.231.543.001.26.52  Run 2 Interestingness1–7–5.95.794.551.005.09***  Run 3 Interestingness1–7–3.231.272.601.431.51  Run 3 Effort Expenditure1–7.765.061.244.451.201.61  Willingness to Reengage1–7.895.021.733.681.142.92**  Run 1 Performance––1.93.541.58.532.11*  Run 3 Performance––2.03.791.50.502.58*  Free-choice Engagement0–51–24.8118.4819.2313.671.10Study 2 (ns = 24, 19)  Run 1 Interestingness1–7–4.251.484.321.29 −.15  Run 2 Interestingness1–7–5.96.695.211.082.75**  Run 3 Interestingness1–7–4.171.314.111.37.15  Willingness to Reengage1–7.894.491.524.281.25.48In Study 1, the experimental group n = 22, the control group n = 20. In Study 2, the experimental group n = 24, the control group n = 19. In Study 1, performance was measured as the number of lines typed per minute, while free-choice engagement was assessed based on the total number of lines typed. The t statistic represents the results of an independent-samples t test. *p <.05, **p <.01\nDescriptive statistics and group differences in measured variables from Studies 1 and 2\nIn Study 1, the experimental group n = 22, the control group n = 20. In Study 2, the experimental group n = 24, the control group n = 19. In Study 1, performance was measured as the number of lines typed per minute, while free-choice engagement was assessed based on the total number of lines typed. The t statistic represents the results of an independent-samples t test. *p <.05, **p <.01\n\n\n### Group differences in effort, engagement, and performance\nNext, we examined group differences in participants’ self-reported interest, effort expenditure, and willingness to reengage in the task during Run 3, as well as their Run 3 performance and free-choice engagement. Although participants were randomly assigned to groups, a significant difference emerged in their performance during Run 1. Specifically, participants in the experimental group typed significantly more lines than those in the control group within a 10-min period during Run 1 (Ms = 1.93 and 1.58, respectively), t(40) = 2.11, p =.04. This result suggests a preexisting difference in typing competence between the groups. To account for this discrepancy, Run 1 performance was controlled for in all subsequent analyses. There were no significant gender differences in measured variables.\nA multivariate analysis of covariance (MANCOVA) was conducted to examine differences in interest, effort expenditure, willingness to reengage in the task, performance, and free-choice engagement, with group as a fixed factor and Run 1 performance as a covariate. The results indicated that the experimental group reported significantly higher levels of Run 3 interestingness, F(1, 40) = 4.16, p =.048, Run 3 effort expenditure, F(1, 40) = 4.85, p =.03, and willingness to reengage, F(1, 40) = 10.65, p =.002, than the control group (Fig. 2A). However, no significant group differences were observed for Run 3 performance or free-choice engagement, despite their mean values being higher in the experimental group compared with the control group.Fig. 2Group differences in measures from Study 1. A. Results from a MANCOVA comparing self-reported interest, effort expenditure, willingness to reengage, performance, and free-choice engagement between groups, controlling for Run 1 performance. Free-choice engagement was rescaled by dividing the raw number of voluntarily typed lines by 5 to align visually with other measures. B. A 2 × 2 repeated-measures ANOVA examining performance across Runs 1 and 3. The interaction effect was marginally significant (p =.089). *p <.05, **p <.01. (Color figure online)\nGroup differences in measures from Study 1. A. Results from a MANCOVA comparing self-reported interest, effort expenditure, willingness to reengage, performance, and free-choice engagement between groups, controlling for Run 1 performance. Free-choice engagement was rescaled by dividing the raw number of voluntarily typed lines by 5 to align visually with other measures. B. A 2 × 2 repeated-measures ANOVA examining performance across Runs 1 and 3. The interaction effect was marginally significant (p =.089). *p <.05, **p <.01. (Color figure online)\nTo further investigate performance trends across task runs, a 2 × 2 repeated-measures ANOVA was conducted with run (Run 1 vs. Run 3) as a within-subject variable and group (experimental vs. control) as a between-subject variable. Results demonstrated a marginally significant interaction effect, F(1, 40) = 3.05, p =.089. The interaction pattern, as shown in Fig. 2B, indicates that while the control group’s performance exhibited a slight decline from Run 1 to Run 3, the experimental group’s performance showed a modest improvement over the same period.\nThe findings from Study 1 provided support for the transfer effect hypothesis. Participants who engaged in an interesting task between two boring, but incentivized tasks reported greater interest and exerted more effort during the second boring task (Run 3) compared with those who engaged in a neutral task in between. Although the interaction effect for performance was only marginally significant, participants in the experimental group showed an improvement from Run 1 to Run 3, whereas those in the control group experienced a decline. Additionally, the experience of the sandwiched interesting task significantly increased participants’ willingness to reengage in the task upon completion. A trend toward greater voluntary engagement during the free-choice period was also observed. Overall, these findings align with the idea that intermittent exposure to interesting tasks can act as a motivational boost, replenishing participants’ energy and sustaining their effort and engagement in otherwise monotonous tasks.\n\n\n### Study 2\nStudy 2 aimed to replicate the behavioral effects observed in Study 1 while examining the underlying neural mechanisms. The experimental structure closely mirrored that of Study 1, with two key differences. First, participants performed a social preference guessing task, in which they predicted others’ preferences based on visual stimuli to earn monetary rewards. This change was intended to ensure fMRI compatibility. Second, the magnitude of the monetary incentive was reduced in Run 3 compared with Runs 1 and 2, allowing us to examine whether the motivational effects of interest would persist even under diminished incentives.\nA total of 45 right-handed college students (23 men, 24 women; mean age = 22.2 years, SD = 2.25) were recruited for this study via online postings. All participants underwent a brief screening interview to ensure they had no history of psychiatric or medical conditions. The study protocol was approved by the university’s institutional review board, and all participants provided written informed consent prior to the scanning session. Each participant received approximately $25 as compensation for their participation.\nParticipants were randomly assigned to either the experimental group (24 participants) or the control group (21 participants). Two participants were excluded from all subsequent analyses due to excessive head motion (> 3 mm in any direction). As a result, data from 43 participants (24 in the experimental group, mean age = 22.12, 11 men, 13 women; and 19 in the control group, mean age = 22.0, 9 men, 10 women) were included in the final analysis.\nFigure 1B illustrates the experimental procedure and materials used for Study 2. Study 2 employed a social preference guessing task, where participants predicted how their peer college students evaluated presented stimuli. They were informed that the stimuli had been assessed by over 500 fellow college students. Their task was to determine whether each stimulus had been judged favorably or unfavorably by the majority of these students.\nAs in Study 1, the task consisted of three conditions—boring, neutral, and interesting—and participants earned monetary rewards based on their performance. The three conditions differed in the type of stimuli participants were required to judge. For the boring task condition, participants viewed 30 images of simple geometric symbols, such as triangles and circles, displayed in white against a black background. This design was intended to create a dull and unengaging visual experience. For the neutral task condition, participants were shown 30 images of everyday objects, such as a box, vase, ramp, and table.\nIn the interesting task condition, participants viewed 30 images with humorous content, selected through a pilot survey that confirmed their interestingness even in the absence of monetary incentives. Initially, 74 funny images were sourced from the internet, and 45 college students rated them on a 7-point Likert scale based on perceived interestingness. The 30 highest-rated images, including memes and screenshots from comedy shows, were chosen for the study. The mean interestingness score for the selected images was significantly higher than that of the non-selected images (Ms = 3.30 and 2.37, respectively), t(72) =  − 11.47, p <.05. It is important to note that both neutral and interesting conditions, assigned to the control and experimental groups respectively, featured color images to ensure comparable levels of visual arousal, with only the level of interestingness differing between the two conditions.\nUpon arrival at the campus brain imaging center, participants provided written informed consent and received detailed instructions about the experiment, including an overview of the task and the monetary rewards. They then completed a practice session consisting of 30 trials to familiarize themselves with the task.\nDuring the fMRI session, participants completed three consecutive runs, each consisting of 30 trials, resulting in a total of 90 trials. The experimental design of Study 2 closely mirrored that of Study 1. Participants in both the experimental and control groups completed the boring task in Run 1. However, in Run 2, only the experimental group engaged in the interesting task, while the control group completed the neutral task. After Run 2, both groups returned to the boring task in Run 3.\nStimuli in boring condition were presented for 2 s. Due to the complexity of the images in neutral and interesting conditions, stimuli in these conditions were displayed for 4 s. Both the experimental and control groups were instructed to assess other college students’ preferences within the allotted time for each trial. Following their response, feedback about monetary rewards was displayed for 2 s.\nParticipants were informed in advance that they would receive a performance-contingent monetary reward at the end of the experiment. In Runs 1 and 2, they earned 600 points (approximately 15¢) for each correct guess of college students’ preference, while in Run 3, the reward was reduced to 400 points (approximately 10¢) per correct response. This reduction aimed to examine the role of interest in sustaining engagement with the boring task when incentives were diminished. To ensure a comparable experience of success across participants, bogus feedback was implemented, with the sequence of success feedback counterbalanced. Success and failure were evenly distributed, each occurring 50% of the time.\nFollowing the scanning session, participants completed a self-report questionnaire assessing the perceived interestingness of each run and willingness to reengage in the task. Finally, participants were debriefed and thanked for their participation.\nImaging data were acquired using a 3 T Siemens Trio MRI scanner at the university’s on-campus brain imaging center. For functional imaging, blood-oxygen-level-dependent (BOLD) contrast images were acquired using a single-shot gradient echo planar imaging (EPI) sequence with the following parameters: TR = 2,000 ms, TE = 30 ms, FOV = 240 mm, interleaved acquisition, 33 slices, slice thickness = 4 mm, no gap. The obtained images were preprocessed using SPM 12 software. Specially, functional images were realigned to the first volume, corrected for the slice acquisition time, normalized to EPI templates implemented in SPM 12, and finally spatially smoothed using an 8 mm full width at half maximum (FWHM) isotropic Gaussian kernel.\nFor whole-brain analysis, first-level general linear models (GLMs) were constructed for each participant with nine regressors of interest: (1) three success feedback phases, where participants were informed that they had guessed correctly and earned a monetary reward (one for each run); (2) three failure feedback phases, where participants were informed that they had guessed incorrectly and did not earn a monetary reward; and (3) three task phases corresponding to each run. Response time, inter-stimulus intervals (ISIs), and six motion parameters were included as nuisance regressors.\nFollowing the analytical approach of Study 1, we first conducted whole-brain analyses to examine directional group differences for each run independently during both the feedback and task phases. We then conducted a whole-brain 2 (group: experimental vs. control) × 2 (run: first vs. third) ANOVA to assess interaction effects between group and run across both phases. Unlike Study 1, where Run 2 was excluded due to incomparable characteristics, Run 2 in Study 2 was comparable with Runs 1 and 3. Thus, as an exploratory analysis, we conducted a whole-brain 2 (group) × 3 (run: first, second, third) ANOVA, followed by separate 2 × 2 ANOVAs (Run 1 vs. Run 2; Run 2 vs. Run 3) to further examine interaction effects across phases. Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). Parameter estimates (beta values) for significant clusters were extracted using the MarsBaR toolbox, averaged across participants within each group and run.\nThe lower section of Table 1 presents the descriptive statistics for self-reported measures in Study 2. Participants’ ratings of task interestingness for Runs 1 and 2 were compared with examine the effectiveness of the task manipulation. An independent samples t test revealed no significant difference in perceived task interestingness for Run 1, when both groups completed the same boring task (M = 4.25 for the experimental group, M = 4.32 for the control group), t(41) =  − 0.15, p >.05. In contrast, for Run 2, participants in the experimental group reported significantly higher task interestingness compared with those in the control group (Ms = 5.96 and 5.21, respectively), t(41) = 2.75, p =.009. These results confirm that the task manipulation was successful.\nNext, we compared participants’ reported interestingness for Run 3 and their willingness to reengage in the task. Although the experimental group reported higher interestingness and reengagement intention than the control group did, the group differences in these variables were not significant. This contrasts with the findings of Study 1. One possible explanation for this disparity is the nature of the tasks. In Study 2, success in guessing other students’ preferences was a matter of chance, which may have introduced uncertainty about the outcome and made the task less tedious. Indeed, participants’ interestingness ratings for Runs 1 and 3 were higher in Study 2 than in Study 1. Despite this, paired t tests confirmed that participants in both the experimental and control groups in Study 2 still found Runs 1 and 3 significantly less interesting than Run 2, indicating that these runs remained relatively boring within the study. There were no significant gender differences in measured variables.\nAn exploratory whole-brain 2 × 3 ANOVA examining interaction effects between group (experimental vs. control) and run (first, second, third) across both feedback and task phases revealed no significant clusters survived for the interaction term. This is likely due to the limited statistical power resulting from the small sample size and the relatively few time points in each run. Consequently, we focused on the results of run-by-run group differences using t contrasts in both the feedback and task phases, as well as whole-brain 2 × 2 ANOVA (Run 1 vs. Run 3) and exploratory pairwise 2 × 2 ANOVAs (Run 1 vs. Run 2; Run 2 vs. Run 3).\nThe upper section of Table 2 presents significant brain activations observed during the feedback phase (success vs. failure) across runs. Across all three runs, no brain regions exhibited greater activation in the control group compared with the experimental group. In contrast, the experimental group showed greater activation from Runs 1 to 3 in a broad network comprising the bilateral ACC, right supplementary motor area (SMA), bilateral AI, bilateral posterior cingulate cortex (PCC), left supramarginal gyrus, right putamen, right pallidum, and right insula (Fig. 3A). Notably, increased activation in the experimental group began to emerge in Run 2, with elevated responses in the left supramarginal gyrus, right ACC, and right insula during success feedback relative to failure feedback (Fig. 3B). By Run 3, this pattern expanded to include the left AI, left striatum (caudate), left SMA, left ACC, left hippocampus, and left midbrain (Fig. 3C).\nTable 2Significant brain activations during the feedback (Success – Failure) Phase in Study 2RegionSideCluster-level statisticsPeak-level statisticst valueMNI coordinatesSizep(FWE)xyzRun-by-Run Comparison  Runs 1–3: EXP > CON    ACCL337.0105.31 − 122030    SMAR618 <.0014.9112062    AIL286.0274.80 − 38108    Inferior temporal gyrus, insulaR1,102 <.0014.7854 − 3618    PCCR488.0014.3312 − 2442    Supramarginal gyrusL320.0144.14 − 64 − 2220    Inferior frontal gyrus, insulaR394.0044.065862    Putamen, pallidum, AIR260.0433.73328 − 2    PCCL327.0133.60 − 10 − 2646  Run 2: EXP > CON    Supramarginal gyrusL410.0034.68 − 66 − 2434    ACCR284.0284.454324    Precentral gyrus, insulaR972 <.0014.3842 − 444  Run 3: EXP > CON    AI, striatum (caudate)L268.0235.43 − 361416    SMA, ACCL759 <.0014.210 − 676    Hippo, thalamus, midbrainL265.0243.95 − 10 − 4282 × 2 ANOVA  Group × Run (Runs 1 vs. 3)    Inferior parietal lobuleL238.0414.11 − 32 − 5226    Lateral occipital cortexR403.0024.1144 − 70 − 8    CerebellumR256.0283.6524 − 76 − 36  Group × Run (Runs 2 vs. 3)vmPFCR340.0064.731258 − 2Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; ACC anterior cingulate cortex; SMA supplementary motor area; AI anterior insula; PCC posterior cingulate cortex; Hipp hippocampus; vmPFC ventromedial prefrontal cortexFig. 3Group differences in brain activations during feedback (Success – Failure) phase of Study 2. Run-by-run comparisons revealed regions showing significantly greater activation in the experimental group compared with the control group. A. Regions showing greater activation in the experimental group across Runs 1 to 3. B. Regions with significantly greater activation in the experimental group during Run 2. C. Regions with significantly greater activation in the experimental group during Run 3. EXP = experimental group; CON = control group; ACC = anterior cingulate cortex; SMA = supplementary motor area; PCC = posterior cingulate cortex. (Color figure online)\nSignificant brain activations during the feedback (Success – Failure) Phase in Study 2\nSignificance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; ACC anterior cingulate cortex; SMA supplementary motor area; AI anterior insula; PCC posterior cingulate cortex; Hipp hippocampus; vmPFC ventromedial prefrontal cortex\nGroup differences in brain activations during feedback (Success – Failure) phase of Study 2. Run-by-run comparisons revealed regions showing significantly greater activation in the experimental group compared with the control group. A. Regions showing greater activation in the experimental group across Runs 1 to 3. B. Regions with significantly greater activation in the experimental group during Run 2. C. Regions with significantly greater activation in the experimental group during Run 3. EXP = experimental group; CON = control group; ACC = anterior cingulate cortex; SMA = supplementary motor area; PCC = posterior cingulate cortex. (Color figure online)\nThe lower section of Table 2 reports results from the 2 × 2 ANOVA analyses. A significant interaction between group and run (Run 1 vs. Run 3) were found in the left inferior parietal lobule and right lateral occipital cortex, regions known to support attentional control (Murray & Wojciulik, 2004; Shapiro et al., 2002). While the control group initially showed greater activation in these regions during Run 1, the experimental group exhibited significantly increased activation by Run 3 (Figs. 4A and B). An additional interaction effect between group and run (Run 2 vs. Run 3) was observed in the right vmPFC during the exploratory analysis. As shown in Fig. 4C, the experimental group exhibited significantly higher vmPFC activation than the control group during success feedback in Run 2, although this group difference disappeared by Run 3.Fig. 4Brain regions showing significant 2 × 2 interaction effects in Study 2. A.–B. Left inferior parietal lobule and right lateral occipital cortex showing significant Group × Run (Runs 1 vs. 3) interactions during the feedback phase. C. Right ventromedial prefrontal cortex (vmPFC) showing a significant Group × Run (Runs 2 vs. 3) interaction during the feedback phase. D. Left precuneus showing a significant Group × Run (Runs 2 vs. 3) interaction during the task phase. *p <.05. (Color figure online)\nBrain regions showing significant 2 × 2 interaction effects in Study 2. A.–B. Left inferior parietal lobule and right lateral occipital cortex showing significant Group × Run (Runs 1 vs. 3) interactions during the feedback phase. C. Right ventromedial prefrontal cortex (vmPFC) showing a significant Group × Run (Runs 2 vs. 3) interaction during the feedback phase. D. Left precuneus showing a significant Group × Run (Runs 2 vs. 3) interaction during the task phase. *p <.05. (Color figure online)\nTaken together, the neuroimaging results during the feedback phase provide support for the transfer effect hypothesis. Compared with the control group, the experimental group exhibited enhanced activation across a broader set of regions spanning the mesocorticolimbic dopamine system and the salience network, including the ACC, vmPFC, AI, hippocampus, striatum, and midbrain. These areas have been implicated in effort allocation, effort-based decision-making, motivational salience, and reinforcement learning (e.g., Lopez-Gamundi et al., 2021; Menon & Uddin, 2010; Salamone & Correa, 2024; Treadway et al., 2012). Of particular interest, the vmPFC, a region known to compute the net subjective value of effort (Lopez-Gamundi et al., 2021), showed heightened activation during the success feedback phase in Run 2. Although the between-group difference in the vmPFC activity did not persist into Run 3, the postinterest benefit likely manifested through other reward-related regions (e.g., ACC, AI, striatum). This suggests that the addition of interest may have enhanced the perceived net worth of effortful engagement, even in an extrinsically rewarded context.\nSustained activity in the ACC and AI, along with the co-activation of the striatum and midbrain during Run 3, provides further supports for the transfer effect hypothesis. The ACC plays a central role in reward prediction and the regulation of effortful control (Klein-Flügge et al., 2016; Vassena et al., 2017), while the AI serves as a core hub of the salience network (Menon & Uddin, 2010). Their engagement in the experimental group during Run 3 suggests that motivational salience and effort justification were sustained, even after the removal of interest and the reduction of incentives. In parallel, the co-activation of the striatum and midbrain under diminished incentive conditions indicates that participants continued to integrate prior intrinsically motivated experiences into ongoing effort-reward valuation (Treadway et al., 2012).\nThe upper section of Table 3 presents significant brain activations observed during the task phase (task vs. baseline) across runs. Group differences during this phase emerged exclusively in Run 2. The experimental group showed significantly greater activation in the bilateral occipital cortex compared with the control group (Fig. 5A). The occipital cortex is closely associated with motivated attention, particularly in response to visually salient or emotionally meaningful stimuli. Prior research suggests that activation in this region predicts attention directed toward core life themes (e.g., threat, sex, death), which serve as natural sources of interest (Bradley et al., 2003). This pattern suggests that participants in the experimental group were intensely and intrinsically engaged with the visual content during Run 2. In contrast, the control group exhibited greater activity in the bilateral striatum (caudate), right hippocampus, and right thalamus (Fig. 5B)—regions known to support reinforcement-based, goal-directed, and context-dependent learning (Delgado et al., 2004; Grahn et al., 2008; Iaria et al., 2003) than the experimental group. This was somewhat unexpected, as these regions are typically involved in tracking reward contingencies and reinforcement learning.\nTable 3Significant brain activations during the task (Task – Baseline) phase in Study 2RegionSideCluster-level statisticsPeak-level statisticst valueMNI coordinatesSizep(FWE)xyzRun-by-Run Comparison  Run 2: EXP > CON    Occipital cortexL618 <.0014.01 − 18 − 86 − 20    Occipital cortexR324.0123.7334 − 90 − 14  Run 2: CON > EXP    Striatum (Caudate)R374.0055.28202010    Hippo, thalamusR499.0014.3614 − 4218    Striatum (Caudate)L516 <.0014.28 − 1826182 × 2 ANOVA  Group × Run (Runs 2 vs. 3)    PrecuneusL306.0074.90 − 36 − 8032Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; Hipp hippocampusFig. 5Group differences in brain activations during task (Task – Baseline) phase of Study 2. A. Regions with significantly greater activation in the experimental group during Run 2. B. Regions with significantly greater activation in the control group during Run 2. (Color figure online)\nSignificant brain activations during the task (Task – Baseline) phase in Study 2\nSignificance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; Hipp hippocampus\nGroup differences in brain activations during task (Task – Baseline) phase of Study 2. A. Regions with significantly greater activation in the experimental group during Run 2. B. Regions with significantly greater activation in the control group during Run 2. (Color figure online)\nOne possible explanation for these results is the differences in cognitive strategies employed by the two groups. In the experimental group, the relative absence of hippocampal and striatal activity, combined with heightened occipital activation, suggests a stronger focus on visual processing. Rather than concentrating on optimizing reward outcomes, participants may have been more immersed in the engaging visual content itself—consistent with a state of intrinsic motivation. In contrast, the control group may have engaged more analytically, drawing on object familiarity, evaluating peer preferences, and integrating reinforcement feedback to guide their decisions. Notably, this intrinsically motivated state in the experimental group during Run 2 may have replenished their cognitive resources, enabling them to maintain attentional control and exert sustained effort in Run 3.\nFindings from the exploratory interaction analysis support this interpretation. The lower section of Table 3 presents a significant Group × Run (Run 2 vs. Run 3) interaction observed in the left precuneus. As shown in Fig. 4D, the experimental group exhibited a greater reduction in precuneus activity from Run 2 to Run 3 compared with the control group, despite no initial group differences in this region during Run 2. The precuneus is a key region involved in self-referential thought, autobiographical memory, and is a central hub of the default mode network (DMN), which is typically suppressed during focused, externally directed cognitive tasks (Gusnard & Raichle, 2001). The observed reduction in precuneus activity suggests that the experimental group may have entered a more task-focused cognitive state during Run 3, likely reflecting the suppression of DMN activity to allocate greater attentional resources to the task at hand—consistent with the transfer effect hypothesis.\n\n\n### Method\nA total of 45 right-handed college students (23 men, 24 women; mean age = 22.2 years, SD = 2.25) were recruited for this study via online postings. All participants underwent a brief screening interview to ensure they had no history of psychiatric or medical conditions. The study protocol was approved by the university’s institutional review board, and all participants provided written informed consent prior to the scanning session. Each participant received approximately $25 as compensation for their participation.\nParticipants were randomly assigned to either the experimental group (24 participants) or the control group (21 participants). Two participants were excluded from all subsequent analyses due to excessive head motion (> 3 mm in any direction). As a result, data from 43 participants (24 in the experimental group, mean age = 22.12, 11 men, 13 women; and 19 in the control group, mean age = 22.0, 9 men, 10 women) were included in the final analysis.\nFigure 1B illustrates the experimental procedure and materials used for Study 2. Study 2 employed a social preference guessing task, where participants predicted how their peer college students evaluated presented stimuli. They were informed that the stimuli had been assessed by over 500 fellow college students. Their task was to determine whether each stimulus had been judged favorably or unfavorably by the majority of these students.\nAs in Study 1, the task consisted of three conditions—boring, neutral, and interesting—and participants earned monetary rewards based on their performance. The three conditions differed in the type of stimuli participants were required to judge. For the boring task condition, participants viewed 30 images of simple geometric symbols, such as triangles and circles, displayed in white against a black background. This design was intended to create a dull and unengaging visual experience. For the neutral task condition, participants were shown 30 images of everyday objects, such as a box, vase, ramp, and table.\nIn the interesting task condition, participants viewed 30 images with humorous content, selected through a pilot survey that confirmed their interestingness even in the absence of monetary incentives. Initially, 74 funny images were sourced from the internet, and 45 college students rated them on a 7-point Likert scale based on perceived interestingness. The 30 highest-rated images, including memes and screenshots from comedy shows, were chosen for the study. The mean interestingness score for the selected images was significantly higher than that of the non-selected images (Ms = 3.30 and 2.37, respectively), t(72) =  − 11.47, p <.05. It is important to note that both neutral and interesting conditions, assigned to the control and experimental groups respectively, featured color images to ensure comparable levels of visual arousal, with only the level of interestingness differing between the two conditions.\nUpon arrival at the campus brain imaging center, participants provided written informed consent and received detailed instructions about the experiment, including an overview of the task and the monetary rewards. They then completed a practice session consisting of 30 trials to familiarize themselves with the task.\nDuring the fMRI session, participants completed three consecutive runs, each consisting of 30 trials, resulting in a total of 90 trials. The experimental design of Study 2 closely mirrored that of Study 1. Participants in both the experimental and control groups completed the boring task in Run 1. However, in Run 2, only the experimental group engaged in the interesting task, while the control group completed the neutral task. After Run 2, both groups returned to the boring task in Run 3.\nStimuli in boring condition were presented for 2 s. Due to the complexity of the images in neutral and interesting conditions, stimuli in these conditions were displayed for 4 s. Both the experimental and control groups were instructed to assess other college students’ preferences within the allotted time for each trial. Following their response, feedback about monetary rewards was displayed for 2 s.\nParticipants were informed in advance that they would receive a performance-contingent monetary reward at the end of the experiment. In Runs 1 and 2, they earned 600 points (approximately 15¢) for each correct guess of college students’ preference, while in Run 3, the reward was reduced to 400 points (approximately 10¢) per correct response. This reduction aimed to examine the role of interest in sustaining engagement with the boring task when incentives were diminished. To ensure a comparable experience of success across participants, bogus feedback was implemented, with the sequence of success feedback counterbalanced. Success and failure were evenly distributed, each occurring 50% of the time.\nFollowing the scanning session, participants completed a self-report questionnaire assessing the perceived interestingness of each run and willingness to reengage in the task. Finally, participants were debriefed and thanked for their participation.\nImaging data were acquired using a 3 T Siemens Trio MRI scanner at the university’s on-campus brain imaging center. For functional imaging, blood-oxygen-level-dependent (BOLD) contrast images were acquired using a single-shot gradient echo planar imaging (EPI) sequence with the following parameters: TR = 2,000 ms, TE = 30 ms, FOV = 240 mm, interleaved acquisition, 33 slices, slice thickness = 4 mm, no gap. The obtained images were preprocessed using SPM 12 software. Specially, functional images were realigned to the first volume, corrected for the slice acquisition time, normalized to EPI templates implemented in SPM 12, and finally spatially smoothed using an 8 mm full width at half maximum (FWHM) isotropic Gaussian kernel.\nFor whole-brain analysis, first-level general linear models (GLMs) were constructed for each participant with nine regressors of interest: (1) three success feedback phases, where participants were informed that they had guessed correctly and earned a monetary reward (one for each run); (2) three failure feedback phases, where participants were informed that they had guessed incorrectly and did not earn a monetary reward; and (3) three task phases corresponding to each run. Response time, inter-stimulus intervals (ISIs), and six motion parameters were included as nuisance regressors.\nFollowing the analytical approach of Study 1, we first conducted whole-brain analyses to examine directional group differences for each run independently during both the feedback and task phases. We then conducted a whole-brain 2 (group: experimental vs. control) × 2 (run: first vs. third) ANOVA to assess interaction effects between group and run across both phases. Unlike Study 1, where Run 2 was excluded due to incomparable characteristics, Run 2 in Study 2 was comparable with Runs 1 and 3. Thus, as an exploratory analysis, we conducted a whole-brain 2 (group) × 3 (run: first, second, third) ANOVA, followed by separate 2 × 2 ANOVAs (Run 1 vs. Run 2; Run 2 vs. Run 3) to further examine interaction effects across phases. Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). Parameter estimates (beta values) for significant clusters were extracted using the MarsBaR toolbox, averaged across participants within each group and run.\n\n\n### Participants\nA total of 45 right-handed college students (23 men, 24 women; mean age = 22.2 years, SD = 2.25) were recruited for this study via online postings. All participants underwent a brief screening interview to ensure they had no history of psychiatric or medical conditions. The study protocol was approved by the university’s institutional review board, and all participants provided written informed consent prior to the scanning session. Each participant received approximately $25 as compensation for their participation.\nParticipants were randomly assigned to either the experimental group (24 participants) or the control group (21 participants). Two participants were excluded from all subsequent analyses due to excessive head motion (> 3 mm in any direction). As a result, data from 43 participants (24 in the experimental group, mean age = 22.12, 11 men, 13 women; and 19 in the control group, mean age = 22.0, 9 men, 10 women) were included in the final analysis.\n\n\n### Materials\nFigure 1B illustrates the experimental procedure and materials used for Study 2. Study 2 employed a social preference guessing task, where participants predicted how their peer college students evaluated presented stimuli. They were informed that the stimuli had been assessed by over 500 fellow college students. Their task was to determine whether each stimulus had been judged favorably or unfavorably by the majority of these students.\nAs in Study 1, the task consisted of three conditions—boring, neutral, and interesting—and participants earned monetary rewards based on their performance. The three conditions differed in the type of stimuli participants were required to judge. For the boring task condition, participants viewed 30 images of simple geometric symbols, such as triangles and circles, displayed in white against a black background. This design was intended to create a dull and unengaging visual experience. For the neutral task condition, participants were shown 30 images of everyday objects, such as a box, vase, ramp, and table.\nIn the interesting task condition, participants viewed 30 images with humorous content, selected through a pilot survey that confirmed their interestingness even in the absence of monetary incentives. Initially, 74 funny images were sourced from the internet, and 45 college students rated them on a 7-point Likert scale based on perceived interestingness. The 30 highest-rated images, including memes and screenshots from comedy shows, were chosen for the study. The mean interestingness score for the selected images was significantly higher than that of the non-selected images (Ms = 3.30 and 2.37, respectively), t(72) =  − 11.47, p <.05. It is important to note that both neutral and interesting conditions, assigned to the control and experimental groups respectively, featured color images to ensure comparable levels of visual arousal, with only the level of interestingness differing between the two conditions.\n\n\n### Procedure\nUpon arrival at the campus brain imaging center, participants provided written informed consent and received detailed instructions about the experiment, including an overview of the task and the monetary rewards. They then completed a practice session consisting of 30 trials to familiarize themselves with the task.\nDuring the fMRI session, participants completed three consecutive runs, each consisting of 30 trials, resulting in a total of 90 trials. The experimental design of Study 2 closely mirrored that of Study 1. Participants in both the experimental and control groups completed the boring task in Run 1. However, in Run 2, only the experimental group engaged in the interesting task, while the control group completed the neutral task. After Run 2, both groups returned to the boring task in Run 3.\nStimuli in boring condition were presented for 2 s. Due to the complexity of the images in neutral and interesting conditions, stimuli in these conditions were displayed for 4 s. Both the experimental and control groups were instructed to assess other college students’ preferences within the allotted time for each trial. Following their response, feedback about monetary rewards was displayed for 2 s.\nParticipants were informed in advance that they would receive a performance-contingent monetary reward at the end of the experiment. In Runs 1 and 2, they earned 600 points (approximately 15¢) for each correct guess of college students’ preference, while in Run 3, the reward was reduced to 400 points (approximately 10¢) per correct response. This reduction aimed to examine the role of interest in sustaining engagement with the boring task when incentives were diminished. To ensure a comparable experience of success across participants, bogus feedback was implemented, with the sequence of success feedback counterbalanced. Success and failure were evenly distributed, each occurring 50% of the time.\nFollowing the scanning session, participants completed a self-report questionnaire assessing the perceived interestingness of each run and willingness to reengage in the task. Finally, participants were debriefed and thanked for their participation.\n\n\n### fMRI data acquisition and preprocessing\nImaging data were acquired using a 3 T Siemens Trio MRI scanner at the university’s on-campus brain imaging center. For functional imaging, blood-oxygen-level-dependent (BOLD) contrast images were acquired using a single-shot gradient echo planar imaging (EPI) sequence with the following parameters: TR = 2,000 ms, TE = 30 ms, FOV = 240 mm, interleaved acquisition, 33 slices, slice thickness = 4 mm, no gap. The obtained images were preprocessed using SPM 12 software. Specially, functional images were realigned to the first volume, corrected for the slice acquisition time, normalized to EPI templates implemented in SPM 12, and finally spatially smoothed using an 8 mm full width at half maximum (FWHM) isotropic Gaussian kernel.\n\n\n### fMRI data analysis\nFor whole-brain analysis, first-level general linear models (GLMs) were constructed for each participant with nine regressors of interest: (1) three success feedback phases, where participants were informed that they had guessed correctly and earned a monetary reward (one for each run); (2) three failure feedback phases, where participants were informed that they had guessed incorrectly and did not earn a monetary reward; and (3) three task phases corresponding to each run. Response time, inter-stimulus intervals (ISIs), and six motion parameters were included as nuisance regressors.\nFollowing the analytical approach of Study 1, we first conducted whole-brain analyses to examine directional group differences for each run independently during both the feedback and task phases. We then conducted a whole-brain 2 (group: experimental vs. control) × 2 (run: first vs. third) ANOVA to assess interaction effects between group and run across both phases. Unlike Study 1, where Run 2 was excluded due to incomparable characteristics, Run 2 in Study 2 was comparable with Runs 1 and 3. Thus, as an exploratory analysis, we conducted a whole-brain 2 (group) × 3 (run: first, second, third) ANOVA, followed by separate 2 × 2 ANOVAs (Run 1 vs. Run 2; Run 2 vs. Run 3) to further examine interaction effects across phases. Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). Parameter estimates (beta values) for significant clusters were extracted using the MarsBaR toolbox, averaged across participants within each group and run.\n\n\n### Results and discussion\nThe lower section of Table 1 presents the descriptive statistics for self-reported measures in Study 2. Participants’ ratings of task interestingness for Runs 1 and 2 were compared with examine the effectiveness of the task manipulation. An independent samples t test revealed no significant difference in perceived task interestingness for Run 1, when both groups completed the same boring task (M = 4.25 for the experimental group, M = 4.32 for the control group), t(41) =  − 0.15, p >.05. In contrast, for Run 2, participants in the experimental group reported significantly higher task interestingness compared with those in the control group (Ms = 5.96 and 5.21, respectively), t(41) = 2.75, p =.009. These results confirm that the task manipulation was successful.\nNext, we compared participants’ reported interestingness for Run 3 and their willingness to reengage in the task. Although the experimental group reported higher interestingness and reengagement intention than the control group did, the group differences in these variables were not significant. This contrasts with the findings of Study 1. One possible explanation for this disparity is the nature of the tasks. In Study 2, success in guessing other students’ preferences was a matter of chance, which may have introduced uncertainty about the outcome and made the task less tedious. Indeed, participants’ interestingness ratings for Runs 1 and 3 were higher in Study 2 than in Study 1. Despite this, paired t tests confirmed that participants in both the experimental and control groups in Study 2 still found Runs 1 and 3 significantly less interesting than Run 2, indicating that these runs remained relatively boring within the study. There were no significant gender differences in measured variables.\nAn exploratory whole-brain 2 × 3 ANOVA examining interaction effects between group (experimental vs. control) and run (first, second, third) across both feedback and task phases revealed no significant clusters survived for the interaction term. This is likely due to the limited statistical power resulting from the small sample size and the relatively few time points in each run. Consequently, we focused on the results of run-by-run group differences using t contrasts in both the feedback and task phases, as well as whole-brain 2 × 2 ANOVA (Run 1 vs. Run 3) and exploratory pairwise 2 × 2 ANOVAs (Run 1 vs. Run 2; Run 2 vs. Run 3).\nThe upper section of Table 2 presents significant brain activations observed during the feedback phase (success vs. failure) across runs. Across all three runs, no brain regions exhibited greater activation in the control group compared with the experimental group. In contrast, the experimental group showed greater activation from Runs 1 to 3 in a broad network comprising the bilateral ACC, right supplementary motor area (SMA), bilateral AI, bilateral posterior cingulate cortex (PCC), left supramarginal gyrus, right putamen, right pallidum, and right insula (Fig. 3A). Notably, increased activation in the experimental group began to emerge in Run 2, with elevated responses in the left supramarginal gyrus, right ACC, and right insula during success feedback relative to failure feedback (Fig. 3B). By Run 3, this pattern expanded to include the left AI, left striatum (caudate), left SMA, left ACC, left hippocampus, and left midbrain (Fig. 3C).\nTable 2Significant brain activations during the feedback (Success – Failure) Phase in Study 2RegionSideCluster-level statisticsPeak-level statisticst valueMNI coordinatesSizep(FWE)xyzRun-by-Run Comparison  Runs 1–3: EXP > CON    ACCL337.0105.31 − 122030    SMAR618 <.0014.9112062    AIL286.0274.80 − 38108    Inferior temporal gyrus, insulaR1,102 <.0014.7854 − 3618    PCCR488.0014.3312 − 2442    Supramarginal gyrusL320.0144.14 − 64 − 2220    Inferior frontal gyrus, insulaR394.0044.065862    Putamen, pallidum, AIR260.0433.73328 − 2    PCCL327.0133.60 − 10 − 2646  Run 2: EXP > CON    Supramarginal gyrusL410.0034.68 − 66 − 2434    ACCR284.0284.454324    Precentral gyrus, insulaR972 <.0014.3842 − 444  Run 3: EXP > CON    AI, striatum (caudate)L268.0235.43 − 361416    SMA, ACCL759 <.0014.210 − 676    Hippo, thalamus, midbrainL265.0243.95 − 10 − 4282 × 2 ANOVA  Group × Run (Runs 1 vs. 3)    Inferior parietal lobuleL238.0414.11 − 32 − 5226    Lateral occipital cortexR403.0024.1144 − 70 − 8    CerebellumR256.0283.6524 − 76 − 36  Group × Run (Runs 2 vs. 3)vmPFCR340.0064.731258 − 2Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; ACC anterior cingulate cortex; SMA supplementary motor area; AI anterior insula; PCC posterior cingulate cortex; Hipp hippocampus; vmPFC ventromedial prefrontal cortexFig. 3Group differences in brain activations during feedback (Success – Failure) phase of Study 2. Run-by-run comparisons revealed regions showing significantly greater activation in the experimental group compared with the control group. A. Regions showing greater activation in the experimental group across Runs 1 to 3. B. Regions with significantly greater activation in the experimental group during Run 2. C. Regions with significantly greater activation in the experimental group during Run 3. EXP = experimental group; CON = control group; ACC = anterior cingulate cortex; SMA = supplementary motor area; PCC = posterior cingulate cortex. (Color figure online)\nSignificant brain activations during the feedback (Success – Failure) Phase in Study 2\nSignificance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; ACC anterior cingulate cortex; SMA supplementary motor area; AI anterior insula; PCC posterior cingulate cortex; Hipp hippocampus; vmPFC ventromedial prefrontal cortex\nGroup differences in brain activations during feedback (Success – Failure) phase of Study 2. Run-by-run comparisons revealed regions showing significantly greater activation in the experimental group compared with the control group. A. Regions showing greater activation in the experimental group across Runs 1 to 3. B. Regions with significantly greater activation in the experimental group during Run 2. C. Regions with significantly greater activation in the experimental group during Run 3. EXP = experimental group; CON = control group; ACC = anterior cingulate cortex; SMA = supplementary motor area; PCC = posterior cingulate cortex. (Color figure online)\nThe lower section of Table 2 reports results from the 2 × 2 ANOVA analyses. A significant interaction between group and run (Run 1 vs. Run 3) were found in the left inferior parietal lobule and right lateral occipital cortex, regions known to support attentional control (Murray & Wojciulik, 2004; Shapiro et al., 2002). While the control group initially showed greater activation in these regions during Run 1, the experimental group exhibited significantly increased activation by Run 3 (Figs. 4A and B). An additional interaction effect between group and run (Run 2 vs. Run 3) was observed in the right vmPFC during the exploratory analysis. As shown in Fig. 4C, the experimental group exhibited significantly higher vmPFC activation than the control group during success feedback in Run 2, although this group difference disappeared by Run 3.Fig. 4Brain regions showing significant 2 × 2 interaction effects in Study 2. A.–B. Left inferior parietal lobule and right lateral occipital cortex showing significant Group × Run (Runs 1 vs. 3) interactions during the feedback phase. C. Right ventromedial prefrontal cortex (vmPFC) showing a significant Group × Run (Runs 2 vs. 3) interaction during the feedback phase. D. Left precuneus showing a significant Group × Run (Runs 2 vs. 3) interaction during the task phase. *p <.05. (Color figure online)\nBrain regions showing significant 2 × 2 interaction effects in Study 2. A.–B. Left inferior parietal lobule and right lateral occipital cortex showing significant Group × Run (Runs 1 vs. 3) interactions during the feedback phase. C. Right ventromedial prefrontal cortex (vmPFC) showing a significant Group × Run (Runs 2 vs. 3) interaction during the feedback phase. D. Left precuneus showing a significant Group × Run (Runs 2 vs. 3) interaction during the task phase. *p <.05. (Color figure online)\nTaken together, the neuroimaging results during the feedback phase provide support for the transfer effect hypothesis. Compared with the control group, the experimental group exhibited enhanced activation across a broader set of regions spanning the mesocorticolimbic dopamine system and the salience network, including the ACC, vmPFC, AI, hippocampus, striatum, and midbrain. These areas have been implicated in effort allocation, effort-based decision-making, motivational salience, and reinforcement learning (e.g., Lopez-Gamundi et al., 2021; Menon & Uddin, 2010; Salamone & Correa, 2024; Treadway et al., 2012). Of particular interest, the vmPFC, a region known to compute the net subjective value of effort (Lopez-Gamundi et al., 2021), showed heightened activation during the success feedback phase in Run 2. Although the between-group difference in the vmPFC activity did not persist into Run 3, the postinterest benefit likely manifested through other reward-related regions (e.g., ACC, AI, striatum). This suggests that the addition of interest may have enhanced the perceived net worth of effortful engagement, even in an extrinsically rewarded context.\nSustained activity in the ACC and AI, along with the co-activation of the striatum and midbrain during Run 3, provides further supports for the transfer effect hypothesis. The ACC plays a central role in reward prediction and the regulation of effortful control (Klein-Flügge et al., 2016; Vassena et al., 2017), while the AI serves as a core hub of the salience network (Menon & Uddin, 2010). Their engagement in the experimental group during Run 3 suggests that motivational salience and effort justification were sustained, even after the removal of interest and the reduction of incentives. In parallel, the co-activation of the striatum and midbrain under diminished incentive conditions indicates that participants continued to integrate prior intrinsically motivated experiences into ongoing effort-reward valuation (Treadway et al., 2012).\nThe upper section of Table 3 presents significant brain activations observed during the task phase (task vs. baseline) across runs. Group differences during this phase emerged exclusively in Run 2. The experimental group showed significantly greater activation in the bilateral occipital cortex compared with the control group (Fig. 5A). The occipital cortex is closely associated with motivated attention, particularly in response to visually salient or emotionally meaningful stimuli. Prior research suggests that activation in this region predicts attention directed toward core life themes (e.g., threat, sex, death), which serve as natural sources of interest (Bradley et al., 2003). This pattern suggests that participants in the experimental group were intensely and intrinsically engaged with the visual content during Run 2. In contrast, the control group exhibited greater activity in the bilateral striatum (caudate), right hippocampus, and right thalamus (Fig. 5B)—regions known to support reinforcement-based, goal-directed, and context-dependent learning (Delgado et al., 2004; Grahn et al., 2008; Iaria et al., 2003) than the experimental group. This was somewhat unexpected, as these regions are typically involved in tracking reward contingencies and reinforcement learning.\nTable 3Significant brain activations during the task (Task – Baseline) phase in Study 2RegionSideCluster-level statisticsPeak-level statisticst valueMNI coordinatesSizep(FWE)xyzRun-by-Run Comparison  Run 2: EXP > CON    Occipital cortexL618 <.0014.01 − 18 − 86 − 20    Occipital cortexR324.0123.7334 − 90 − 14  Run 2: CON > EXP    Striatum (Caudate)R374.0055.28202010    Hippo, thalamusR499.0014.3614 − 4218    Striatum (Caudate)L516 <.0014.28 − 1826182 × 2 ANOVA  Group × Run (Runs 2 vs. 3)    PrecuneusL306.0074.90 − 36 − 8032Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; Hipp hippocampusFig. 5Group differences in brain activations during task (Task – Baseline) phase of Study 2. A. Regions with significantly greater activation in the experimental group during Run 2. B. Regions with significantly greater activation in the control group during Run 2. (Color figure online)\nSignificant brain activations during the task (Task – Baseline) phase in Study 2\nSignificance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; Hipp hippocampus\nGroup differences in brain activations during task (Task – Baseline) phase of Study 2. A. Regions with significantly greater activation in the experimental group during Run 2. B. Regions with significantly greater activation in the control group during Run 2. (Color figure online)\nOne possible explanation for these results is the differences in cognitive strategies employed by the two groups. In the experimental group, the relative absence of hippocampal and striatal activity, combined with heightened occipital activation, suggests a stronger focus on visual processing. Rather than concentrating on optimizing reward outcomes, participants may have been more immersed in the engaging visual content itself—consistent with a state of intrinsic motivation. In contrast, the control group may have engaged more analytically, drawing on object familiarity, evaluating peer preferences, and integrating reinforcement feedback to guide their decisions. Notably, this intrinsically motivated state in the experimental group during Run 2 may have replenished their cognitive resources, enabling them to maintain attentional control and exert sustained effort in Run 3.\nFindings from the exploratory interaction analysis support this interpretation. The lower section of Table 3 presents a significant Group × Run (Run 2 vs. Run 3) interaction observed in the left precuneus. As shown in Fig. 4D, the experimental group exhibited a greater reduction in precuneus activity from Run 2 to Run 3 compared with the control group, despite no initial group differences in this region during Run 2. The precuneus is a key region involved in self-referential thought, autobiographical memory, and is a central hub of the default mode network (DMN), which is typically suppressed during focused, externally directed cognitive tasks (Gusnard & Raichle, 2001). The observed reduction in precuneus activity suggests that the experimental group may have entered a more task-focused cognitive state during Run 3, likely reflecting the suppression of DMN activity to allocate greater attentional resources to the task at hand—consistent with the transfer effect hypothesis.\n\n\n### Manipulation check and differences in self-reported measures\nThe lower section of Table 1 presents the descriptive statistics for self-reported measures in Study 2. Participants’ ratings of task interestingness for Runs 1 and 2 were compared with examine the effectiveness of the task manipulation. An independent samples t test revealed no significant difference in perceived task interestingness for Run 1, when both groups completed the same boring task (M = 4.25 for the experimental group, M = 4.32 for the control group), t(41) =  − 0.15, p >.05. In contrast, for Run 2, participants in the experimental group reported significantly higher task interestingness compared with those in the control group (Ms = 5.96 and 5.21, respectively), t(41) = 2.75, p =.009. These results confirm that the task manipulation was successful.\nNext, we compared participants’ reported interestingness for Run 3 and their willingness to reengage in the task. Although the experimental group reported higher interestingness and reengagement intention than the control group did, the group differences in these variables were not significant. This contrasts with the findings of Study 1. One possible explanation for this disparity is the nature of the tasks. In Study 2, success in guessing other students’ preferences was a matter of chance, which may have introduced uncertainty about the outcome and made the task less tedious. Indeed, participants’ interestingness ratings for Runs 1 and 3 were higher in Study 2 than in Study 1. Despite this, paired t tests confirmed that participants in both the experimental and control groups in Study 2 still found Runs 1 and 3 significantly less interesting than Run 2, indicating that these runs remained relatively boring within the study. There were no significant gender differences in measured variables.\n\n\n### Results of fMRI data analyses\nAn exploratory whole-brain 2 × 3 ANOVA examining interaction effects between group (experimental vs. control) and run (first, second, third) across both feedback and task phases revealed no significant clusters survived for the interaction term. This is likely due to the limited statistical power resulting from the small sample size and the relatively few time points in each run. Consequently, we focused on the results of run-by-run group differences using t contrasts in both the feedback and task phases, as well as whole-brain 2 × 2 ANOVA (Run 1 vs. Run 3) and exploratory pairwise 2 × 2 ANOVAs (Run 1 vs. Run 2; Run 2 vs. Run 3).\n\n\n### fMRI results during the feedback phase\nThe upper section of Table 2 presents significant brain activations observed during the feedback phase (success vs. failure) across runs. Across all three runs, no brain regions exhibited greater activation in the control group compared with the experimental group. In contrast, the experimental group showed greater activation from Runs 1 to 3 in a broad network comprising the bilateral ACC, right supplementary motor area (SMA), bilateral AI, bilateral posterior cingulate cortex (PCC), left supramarginal gyrus, right putamen, right pallidum, and right insula (Fig. 3A). Notably, increased activation in the experimental group began to emerge in Run 2, with elevated responses in the left supramarginal gyrus, right ACC, and right insula during success feedback relative to failure feedback (Fig. 3B). By Run 3, this pattern expanded to include the left AI, left striatum (caudate), left SMA, left ACC, left hippocampus, and left midbrain (Fig. 3C).\nTable 2Significant brain activations during the feedback (Success – Failure) Phase in Study 2RegionSideCluster-level statisticsPeak-level statisticst valueMNI coordinatesSizep(FWE)xyzRun-by-Run Comparison  Runs 1–3: EXP > CON    ACCL337.0105.31 − 122030    SMAR618 <.0014.9112062    AIL286.0274.80 − 38108    Inferior temporal gyrus, insulaR1,102 <.0014.7854 − 3618    PCCR488.0014.3312 − 2442    Supramarginal gyrusL320.0144.14 − 64 − 2220    Inferior frontal gyrus, insulaR394.0044.065862    Putamen, pallidum, AIR260.0433.73328 − 2    PCCL327.0133.60 − 10 − 2646  Run 2: EXP > CON    Supramarginal gyrusL410.0034.68 − 66 − 2434    ACCR284.0284.454324    Precentral gyrus, insulaR972 <.0014.3842 − 444  Run 3: EXP > CON    AI, striatum (caudate)L268.0235.43 − 361416    SMA, ACCL759 <.0014.210 − 676    Hippo, thalamus, midbrainL265.0243.95 − 10 − 4282 × 2 ANOVA  Group × Run (Runs 1 vs. 3)    Inferior parietal lobuleL238.0414.11 − 32 − 5226    Lateral occipital cortexR403.0024.1144 − 70 − 8    CerebellumR256.0283.6524 − 76 − 36  Group × Run (Runs 2 vs. 3)vmPFCR340.0064.731258 − 2Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; ACC anterior cingulate cortex; SMA supplementary motor area; AI anterior insula; PCC posterior cingulate cortex; Hipp hippocampus; vmPFC ventromedial prefrontal cortexFig. 3Group differences in brain activations during feedback (Success – Failure) phase of Study 2. Run-by-run comparisons revealed regions showing significantly greater activation in the experimental group compared with the control group. A. Regions showing greater activation in the experimental group across Runs 1 to 3. B. Regions with significantly greater activation in the experimental group during Run 2. C. Regions with significantly greater activation in the experimental group during Run 3. EXP = experimental group; CON = control group; ACC = anterior cingulate cortex; SMA = supplementary motor area; PCC = posterior cingulate cortex. (Color figure online)\nSignificant brain activations during the feedback (Success – Failure) Phase in Study 2\nSignificance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; ACC anterior cingulate cortex; SMA supplementary motor area; AI anterior insula; PCC posterior cingulate cortex; Hipp hippocampus; vmPFC ventromedial prefrontal cortex\nGroup differences in brain activations during feedback (Success – Failure) phase of Study 2. Run-by-run comparisons revealed regions showing significantly greater activation in the experimental group compared with the control group. A. Regions showing greater activation in the experimental group across Runs 1 to 3. B. Regions with significantly greater activation in the experimental group during Run 2. C. Regions with significantly greater activation in the experimental group during Run 3. EXP = experimental group; CON = control group; ACC = anterior cingulate cortex; SMA = supplementary motor area; PCC = posterior cingulate cortex. (Color figure online)\nThe lower section of Table 2 reports results from the 2 × 2 ANOVA analyses. A significant interaction between group and run (Run 1 vs. Run 3) were found in the left inferior parietal lobule and right lateral occipital cortex, regions known to support attentional control (Murray & Wojciulik, 2004; Shapiro et al., 2002). While the control group initially showed greater activation in these regions during Run 1, the experimental group exhibited significantly increased activation by Run 3 (Figs. 4A and B). An additional interaction effect between group and run (Run 2 vs. Run 3) was observed in the right vmPFC during the exploratory analysis. As shown in Fig. 4C, the experimental group exhibited significantly higher vmPFC activation than the control group during success feedback in Run 2, although this group difference disappeared by Run 3.Fig. 4Brain regions showing significant 2 × 2 interaction effects in Study 2. A.–B. Left inferior parietal lobule and right lateral occipital cortex showing significant Group × Run (Runs 1 vs. 3) interactions during the feedback phase. C. Right ventromedial prefrontal cortex (vmPFC) showing a significant Group × Run (Runs 2 vs. 3) interaction during the feedback phase. D. Left precuneus showing a significant Group × Run (Runs 2 vs. 3) interaction during the task phase. *p <.05. (Color figure online)\nBrain regions showing significant 2 × 2 interaction effects in Study 2. A.–B. Left inferior parietal lobule and right lateral occipital cortex showing significant Group × Run (Runs 1 vs. 3) interactions during the feedback phase. C. Right ventromedial prefrontal cortex (vmPFC) showing a significant Group × Run (Runs 2 vs. 3) interaction during the feedback phase. D. Left precuneus showing a significant Group × Run (Runs 2 vs. 3) interaction during the task phase. *p <.05. (Color figure online)\nTaken together, the neuroimaging results during the feedback phase provide support for the transfer effect hypothesis. Compared with the control group, the experimental group exhibited enhanced activation across a broader set of regions spanning the mesocorticolimbic dopamine system and the salience network, including the ACC, vmPFC, AI, hippocampus, striatum, and midbrain. These areas have been implicated in effort allocation, effort-based decision-making, motivational salience, and reinforcement learning (e.g., Lopez-Gamundi et al., 2021; Menon & Uddin, 2010; Salamone & Correa, 2024; Treadway et al., 2012). Of particular interest, the vmPFC, a region known to compute the net subjective value of effort (Lopez-Gamundi et al., 2021), showed heightened activation during the success feedback phase in Run 2. Although the between-group difference in the vmPFC activity did not persist into Run 3, the postinterest benefit likely manifested through other reward-related regions (e.g., ACC, AI, striatum). This suggests that the addition of interest may have enhanced the perceived net worth of effortful engagement, even in an extrinsically rewarded context.\nSustained activity in the ACC and AI, along with the co-activation of the striatum and midbrain during Run 3, provides further supports for the transfer effect hypothesis. The ACC plays a central role in reward prediction and the regulation of effortful control (Klein-Flügge et al., 2016; Vassena et al., 2017), while the AI serves as a core hub of the salience network (Menon & Uddin, 2010). Their engagement in the experimental group during Run 3 suggests that motivational salience and effort justification were sustained, even after the removal of interest and the reduction of incentives. In parallel, the co-activation of the striatum and midbrain under diminished incentive conditions indicates that participants continued to integrate prior intrinsically motivated experiences into ongoing effort-reward valuation (Treadway et al., 2012).\n\n\n### fMRI results during the task phase\nThe upper section of Table 3 presents significant brain activations observed during the task phase (task vs. baseline) across runs. Group differences during this phase emerged exclusively in Run 2. The experimental group showed significantly greater activation in the bilateral occipital cortex compared with the control group (Fig. 5A). The occipital cortex is closely associated with motivated attention, particularly in response to visually salient or emotionally meaningful stimuli. Prior research suggests that activation in this region predicts attention directed toward core life themes (e.g., threat, sex, death), which serve as natural sources of interest (Bradley et al., 2003). This pattern suggests that participants in the experimental group were intensely and intrinsically engaged with the visual content during Run 2. In contrast, the control group exhibited greater activity in the bilateral striatum (caudate), right hippocampus, and right thalamus (Fig. 5B)—regions known to support reinforcement-based, goal-directed, and context-dependent learning (Delgado et al., 2004; Grahn et al., 2008; Iaria et al., 2003) than the experimental group. This was somewhat unexpected, as these regions are typically involved in tracking reward contingencies and reinforcement learning.\nTable 3Significant brain activations during the task (Task – Baseline) phase in Study 2RegionSideCluster-level statisticsPeak-level statisticst valueMNI coordinatesSizep(FWE)xyzRun-by-Run Comparison  Run 2: EXP > CON    Occipital cortexL618 <.0014.01 − 18 − 86 − 20    Occipital cortexR324.0123.7334 − 90 − 14  Run 2: CON > EXP    Striatum (Caudate)R374.0055.28202010    Hippo, thalamusR499.0014.3614 − 4218    Striatum (Caudate)L516 <.0014.28 − 1826182 × 2 ANOVA  Group × Run (Runs 2 vs. 3)    PrecuneusL306.0074.90 − 36 − 8032Significance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; Hipp hippocampusFig. 5Group differences in brain activations during task (Task – Baseline) phase of Study 2. A. Regions with significantly greater activation in the experimental group during Run 2. B. Regions with significantly greater activation in the control group during Run 2. (Color figure online)\nSignificant brain activations during the task (Task – Baseline) phase in Study 2\nSignificance was assessed using cluster-level family-wise error (FWE) correction at p <.05 with cluster-defining threshold of p <.005 (uncorrected). EXP experimental group; CON control group; Hipp hippocampus\nGroup differences in brain activations during task (Task – Baseline) phase of Study 2. A. Regions with significantly greater activation in the experimental group during Run 2. B. Regions with significantly greater activation in the control group during Run 2. (Color figure online)\nOne possible explanation for these results is the differences in cognitive strategies employed by the two groups. In the experimental group, the relative absence of hippocampal and striatal activity, combined with heightened occipital activation, suggests a stronger focus on visual processing. Rather than concentrating on optimizing reward outcomes, participants may have been more immersed in the engaging visual content itself—consistent with a state of intrinsic motivation. In contrast, the control group may have engaged more analytically, drawing on object familiarity, evaluating peer preferences, and integrating reinforcement feedback to guide their decisions. Notably, this intrinsically motivated state in the experimental group during Run 2 may have replenished their cognitive resources, enabling them to maintain attentional control and exert sustained effort in Run 3.\nFindings from the exploratory interaction analysis support this interpretation. The lower section of Table 3 presents a significant Group × Run (Run 2 vs. Run 3) interaction observed in the left precuneus. As shown in Fig. 4D, the experimental group exhibited a greater reduction in precuneus activity from Run 2 to Run 3 compared with the control group, despite no initial group differences in this region during Run 2. The precuneus is a key region involved in self-referential thought, autobiographical memory, and is a central hub of the default mode network (DMN), which is typically suppressed during focused, externally directed cognitive tasks (Gusnard & Raichle, 2001). The observed reduction in precuneus activity suggests that the experimental group may have entered a more task-focused cognitive state during Run 3, likely reflecting the suppression of DMN activity to allocate greater attentional resources to the task at hand—consistent with the transfer effect hypothesis.\n\n\n### General discussion\nWhen a task is monotonous but offers guaranteed monetary compensation, is financial reward alone sufficient to sustain engagement and motivation? The present research investigated whether brief exposure to an interesting activity could replenish cognitive and motivational resources in such tasks. Across both behavioral and neuroimaging experiments, we found that strategically timed episodes of interest produced a transfer effect, sustaining motivation and effort beyond the episode itself, even when monetary incentives were reduced. Participants who experienced a short, interest-eliciting interlude demonstrated greater subsequent effort and heightened activation in brain regions associated with attention and reward sensitivity compared with those in a neutral condition, indicating that interest leaves a residual trace on motivational systems.\nIncorporating an interest-enhancing activity was found to yield positive effects. In Study 1, after returning to the boring, incentivized task in Run 3, the experimental group reported greater engagement and exerted more effort than the control group, with modest but measurable gains in performance. Trends toward higher reengagement intention and free-choice participation suggest that these participants assigned greater subjective value to the task. These findings align with accounts that interest replenishes self-regulatory resources, counteracting depletion from sustained effort (Endres et al., 2025; Milyavskaya et al., 2021; O’Keefe & Linnenbrink-Garcia, 2014; Thoman et al., 2011). Previous research has primarily examined the effects of interest in the absence of extrinsic rewards, demonstrating that the restorative benefits of interest may operate without external reinforcement (Endres et al., 2025; Milyavskaya et al., 2021; Thoman et al., 2011). Extending prior work, our data indicate that the same restorative effect also elevates perceived task value within a dull, incentive-driven context.\nWhile prior studies have established the motivational benefits of interest, they have provided limited insight into how this effect unfolds at the cognitive and neural levels. Building on this gap, our findings point to a potential underlying mechanism for the observed transfer effect. The restorative function of interest may reflect a temporary reorientation of attention from external incentives to the task itself. This attentional shift may allow individuals to regain focus and subsequently renew the perceived salience of incentives when they return to the otherwise monotonous, only monetarily rewarded task. In Study 2, the interesting task (Run 2) elicited heightened activation in the occipital cortex in the experimental group during the task phase compared with the control group, which may suggest a transient shift of attentional resources toward the task content (Bradley et al., 2003) and away from exclusive focus on incentives.\nThe experimental group also exhibited distinct neural responses during the success feedback phase. Across runs, they showed sustained activation of the ACC, potentially reflecting ongoing effort–reward integration as the task was reappraised as more worthwhile. This enhanced reward valuation was further evidenced by greater vmPFC activation in Run 2 and heightened AI activation in Run 3—both regions implicated in reward valuation and salience processing. In addition, during the feedback phase of Run 3, the experimental group demonstrated stronger activation in regions associated with attentional control and reinforcement learning, including the lateral occipital cortex, inferior parietal lobule, hippocampus, and midbrain. Together, these patterns may imply that elevated reward valuation was accompanied by greater attentional allocation to feedback and more effective updating of reward predictions. Notably, these effects persisted into Run 3 despite reduced monetary incentives, indicating a carryover effect of task interest in neural activity.\nIn contrast, during the feedback phase of Run 3, control participants showed reduced activation in the lateral occipital cortex and inferior parietal lobule—regions involved in attentional processing—suggesting a decline in the salience of monetary incentives. This attenuation was accompanied by less suppression of the precuneus, a core hub of the default mode network (Fransson & Marrelec, 2008), relative to the experimental group during the task phase of Run 3, likely indicating greater task-unrelated thought and the experience of boredom (Danckert & Merrifield, 2018; Raffaelli et al., 2018). These patterns may suggest that prolonged exposure to monetary incentives could lead to desensitization, diminishing their motivational potency over time.\nThese results can be interpreted within the frameworks of reinforcement learning and RPE, while also extending them by showing that interest can modulate the valuation of subsequent rewards. For control participants, repeated exposure to predictable incentives likely produced no RPE (reward matches expectation) or negative RPE, thereby reducing dopaminergic activity and undermining motivation for monotonous task. By contrast, for the experimental group, dopaminergic activity during the interesting task may have been driven more by task engagement than by incentives, effectively resetting the reward baseline. Upon returning to the monotonous, incentive-driven task, this replenished reward system may have rendered incentives more salient, thereby delaying motivational decline. This interpretation also aligns with previous work demonstrating that interest replenishes self-regulatory resources (Endres et al., 2025; Milyavskaya et al., 2021; O’Keefe & Linnenbrink-Garcia, 2014; Thoman et al., 2011). Overall, our findings suggest that the benefits observed here reflect not merely a transient boost in engagement but a short-term form of motivational self-regulation, in which prior interest enhances the perceived value of subsequent monetary rewards and sustains effort.\nOur findings further suggest that rewards and interest are not confined to a trade-off relationship, but can operate synergistically under certain conditions. Prior work has proposed that extrinsic rewards can serve as an effective entry point for engagement, particularly when individuals lack initial motivation to participate (Bardach & Murayama, 2025; Hidi & Harackiewicz, 2000). Once interest is sparked, incentives may be gradually reduced, allowing attention to shift toward the inherent value of the task. In this light, Bardach and Murayama (2025) argued that intrinsic and extrinsic motivation should not be treated as mutually exclusive or inherently good or bad; rather, a more strategic and integrative approach is needed to harness both forms of motivation for optimal outcomes. Our study provides empirical support for one such strategy and further suggests that complete removal of extrinsic rewards may not be necessary (e.g., the workplace). Instead, brief episodes of interest can be embedded within externally incentivized tasks to replenish motivational resources and sustain, or even enhance, effort and engagement over time, especially in low-stimulation contexts.\nThe central principle emerging from this research is that interest-enhancing components can function as motivational resets: they temporarily redirect attentional and dopaminergic systems from incentives toward the task’s inherent value, thereby replenishing cognitive resources. Once the interest-enhancing activity ends, individuals return to the primary monotonous task with renewed capacity for sustained effort, often perceiving subsequent incentives as more salient. Although our experiments were conducted over a short time frame using novel yet intentionally monotonous tasks with low personal relevance, this principle may have broader applicability.\nThis principle has clear relevance for real-world settings where monotony is inherent and often unavoidable, such as manufacturing, administrative work, and certain forms of training. In such environments, the repetitive nature of the work can gradually erode attention, deplete self-regulatory resources, and diminish productivity, even when incentives (e.g., salary, bonuses) remain constant. Our findings indicate that these motivational costs can be mitigated by deliberately incorporating brief episodes of interesting engagement into the workflow, without altering overall incentive structures or disrupting the core objectives of the task.\nThe same approach holds promise in educational settings. Repetitive skill practice, such as language drills, mathematical problem sets, or music scale exercises, is essential for mastery but particularly vulnerable to boredom. Introducing strategically timed, interest-enhancing diversions, such as gamified challenges, real-world applications, or personally meaningful content, within incentivized tasks (e.g., points) may help sustain attention and engagement during such practice (O’Keefe & Linnenbrink-Garcia, 2014).\nWhile our study introduced externally embedded sources of interest that were primarily affective, such as game-like elements and humorous images, a more sustainable and impactful approach may lie in fostering internally generated intrinsic motivation or integrating value-based interest (e.g., personal relevance). For example, Sansone et al. (1992) found that individuals who actively transformed boring tasks into interesting ones exhibited greater persistence over time. However, such motivational self-regulation requires two critical components: a reason to persist and access to effective strategies. In their study, participants reinterpreted mundane tasks as meaningful only when provided with both a compelling rationale (e.g., health benefits) and actionable strategies. Similarly, O’Keefe and Linnenbrink-Garcia (2014) showed that interest most effectively replenished self-regulatory resources when both affective and value-related components of interest were high. These findings suggest that helping individuals recognize the utility or personal relevance of seemingly monotonous tasks and equipping them with concrete tools to enhance engagement may be key to promoting sustained effort and meaningful, self-regulated motivation.\nCrucially, the strength of this strategy may lie in preserving the existing incentive framework while adding variability to the intrinsic motivational landscape. By doing so, it minimizes the risk of undermining incentives while leveraging the resource-replenishing benefits of interest-based engagement. Over time, this integrated approach may promote more consistent performance, greater persistence, and improved learning outcomes in contexts where monotony cannot be eliminated but can be strategically managed.\nSeveral methodological and conceptual constraints should be considered when interpreting these findings. First, the use of different tasks in Studies 1 and 2, necessitated by the need for an fMRI-compatible paradigm, limited direct comparison between behavioral and neuroimaging results. In particular, the simplicity and reduced monotony of the social preference guessing task in Study 2 constrained our ability to assess sustained effort and maintain equivalence with the typing task used in Study 1. To improve comparability, future research should develop structurally and cognitively parallel tasks that can be implemented both behaviorally and in the scanner (e.g., sustained attention or n-back paradigms).\nSecond, future studies should incorporate direct motivational and cognitive indicators to further validate the mechanisms we proposed for the observed neural activity. We interpreted that introducing interest temporarily shifted attentional focus away from incentives toward the task itself, and that this shift subsequently enhanced the perceived salience of incentives when interest was removed. These interpretations could be more rigorously tested using measures such as trial-level attention allocation (e.g., eye-tracking or self-reports of off-task thinking) and behavioral indices of reward valuation and replenished mental resources (e.g., effort-discounting tasks in Run 3; Unsworth et al., 2025). Such measures would provide more converging evidence for the hypothesized transfer of motivational focus and the resource-replenishing function of interest.\nThird, replication with larger samples is essential. Although the behavioral effects were consistent, they were modest in magnitude, possibly reflecting either inherent limits to the duration or intensity of interest-based replenishment, or simply the constraints of sample size. Likewise, although several mesocorticolimbic regions were identified in Study 2, key areas such as the VTA and nucleus accumbens (Salamone et al., 2007) were not observed, and some effects failed to survive more stringent analyses, likely due to limited statistical power from the small sample size and restricted trial numbers.\nFourth, future work should extend these findings to more ecologically valid tasks. Our interest manipulation was brief and task-specific, designed to test the hypothesized mechanisms under controlled laboratory conditions. However, it remains an open question whether similar transfer effects emerge in more naturalistic contexts, such as prolonged study sessions, repetitive work routines, or skill training that involve performance-contingent monetary incentives. Embedding interest-enhancing episodes in such contexts would allow stronger inferences about the generalizability and practical significance of our findings.\nFinally, future studies should also investigate the optimal timing, frequency, and sequencing of interest-enhancing elements. The effectiveness of embedding interesting activities is likely shaped by task structure, reward magnitude and predictability, individual differences (e.g., baseline interest level, boredom proneness, dopamine receptor density), and contextual demands. Understanding these factors will be essential for designing effective, scalable interventions in educational and workplace settings.\nThe present research showed that incorporating interest into monotonous, reward-based tasks could restore cognitive and motivational capacities to sustain effort, with benefits that endure beyond the removal of the interesting element. Across behavioral and neuroimaging studies, these episodes of interest revitalized attention, enhanced reward sensitivity, and supported sustained effort, outcomes that were not achieved by monetary incentives alone. By testing contrast-effect and transfer-effect hypotheses, our findings clarify how reward and interest can interact over time, revealing that strategically timed interest-enhancing elements can serve as motivational refresh points rather than a distraction from reward-based goals. This work advances motivation science by integrating reinforcement learning perspectives with theories of interest and self-regulation, offering an empirically grounded principle for designing interventions that sustain persistence in repetitive or low-stimulation contexts.\n\n\n### Implications of the study\nThe central principle emerging from this research is that interest-enhancing components can function as motivational resets: they temporarily redirect attentional and dopaminergic systems from incentives toward the task’s inherent value, thereby replenishing cognitive resources. Once the interest-enhancing activity ends, individuals return to the primary monotonous task with renewed capacity for sustained effort, often perceiving subsequent incentives as more salient. Although our experiments were conducted over a short time frame using novel yet intentionally monotonous tasks with low personal relevance, this principle may have broader applicability.\nThis principle has clear relevance for real-world settings where monotony is inherent and often unavoidable, such as manufacturing, administrative work, and certain forms of training. In such environments, the repetitive nature of the work can gradually erode attention, deplete self-regulatory resources, and diminish productivity, even when incentives (e.g., salary, bonuses) remain constant. Our findings indicate that these motivational costs can be mitigated by deliberately incorporating brief episodes of interesting engagement into the workflow, without altering overall incentive structures or disrupting the core objectives of the task.\nThe same approach holds promise in educational settings. Repetitive skill practice, such as language drills, mathematical problem sets, or music scale exercises, is essential for mastery but particularly vulnerable to boredom. Introducing strategically timed, interest-enhancing diversions, such as gamified challenges, real-world applications, or personally meaningful content, within incentivized tasks (e.g., points) may help sustain attention and engagement during such practice (O’Keefe & Linnenbrink-Garcia, 2014).\nWhile our study introduced externally embedded sources of interest that were primarily affective, such as game-like elements and humorous images, a more sustainable and impactful approach may lie in fostering internally generated intrinsic motivation or integrating value-based interest (e.g., personal relevance). For example, Sansone et al. (1992) found that individuals who actively transformed boring tasks into interesting ones exhibited greater persistence over time. However, such motivational self-regulation requires two critical components: a reason to persist and access to effective strategies. In their study, participants reinterpreted mundane tasks as meaningful only when provided with both a compelling rationale (e.g., health benefits) and actionable strategies. Similarly, O’Keefe and Linnenbrink-Garcia (2014) showed that interest most effectively replenished self-regulatory resources when both affective and value-related components of interest were high. These findings suggest that helping individuals recognize the utility or personal relevance of seemingly monotonous tasks and equipping them with concrete tools to enhance engagement may be key to promoting sustained effort and meaningful, self-regulated motivation.\nCrucially, the strength of this strategy may lie in preserving the existing incentive framework while adding variability to the intrinsic motivational landscape. By doing so, it minimizes the risk of undermining incentives while leveraging the resource-replenishing benefits of interest-based engagement. Over time, this integrated approach may promote more consistent performance, greater persistence, and improved learning outcomes in contexts where monotony cannot be eliminated but can be strategically managed.\n\n\n### Limitations and future directions\nSeveral methodological and conceptual constraints should be considered when interpreting these findings. First, the use of different tasks in Studies 1 and 2, necessitated by the need for an fMRI-compatible paradigm, limited direct comparison between behavioral and neuroimaging results. In particular, the simplicity and reduced monotony of the social preference guessing task in Study 2 constrained our ability to assess sustained effort and maintain equivalence with the typing task used in Study 1. To improve comparability, future research should develop structurally and cognitively parallel tasks that can be implemented both behaviorally and in the scanner (e.g., sustained attention or n-back paradigms).\nSecond, future studies should incorporate direct motivational and cognitive indicators to further validate the mechanisms we proposed for the observed neural activity. We interpreted that introducing interest temporarily shifted attentional focus away from incentives toward the task itself, and that this shift subsequently enhanced the perceived salience of incentives when interest was removed. These interpretations could be more rigorously tested using measures such as trial-level attention allocation (e.g., eye-tracking or self-reports of off-task thinking) and behavioral indices of reward valuation and replenished mental resources (e.g., effort-discounting tasks in Run 3; Unsworth et al., 2025). Such measures would provide more converging evidence for the hypothesized transfer of motivational focus and the resource-replenishing function of interest.\nThird, replication with larger samples is essential. Although the behavioral effects were consistent, they were modest in magnitude, possibly reflecting either inherent limits to the duration or intensity of interest-based replenishment, or simply the constraints of sample size. Likewise, although several mesocorticolimbic regions were identified in Study 2, key areas such as the VTA and nucleus accumbens (Salamone et al., 2007) were not observed, and some effects failed to survive more stringent analyses, likely due to limited statistical power from the small sample size and restricted trial numbers.\nFourth, future work should extend these findings to more ecologically valid tasks. Our interest manipulation was brief and task-specific, designed to test the hypothesized mechanisms under controlled laboratory conditions. However, it remains an open question whether similar transfer effects emerge in more naturalistic contexts, such as prolonged study sessions, repetitive work routines, or skill training that involve performance-contingent monetary incentives. Embedding interest-enhancing episodes in such contexts would allow stronger inferences about the generalizability and practical significance of our findings.\nFinally, future studies should also investigate the optimal timing, frequency, and sequencing of interest-enhancing elements. The effectiveness of embedding interesting activities is likely shaped by task structure, reward magnitude and predictability, individual differences (e.g., baseline interest level, boredom proneness, dopamine receptor density), and contextual demands. Understanding these factors will be essential for designing effective, scalable interventions in educational and workplace settings.\n\n\n### Conclusion\nThe present research showed that incorporating interest into monotonous, reward-based tasks could restore cognitive and motivational capacities to sustain effort, with benefits that endure beyond the removal of the interesting element. Across behavioral and neuroimaging studies, these episodes of interest revitalized attention, enhanced reward sensitivity, and supported sustained effort, outcomes that were not achieved by monetary incentives alone. By testing contrast-effect and transfer-effect hypotheses, our findings clarify how reward and interest can interact over time, revealing that strategically timed interest-enhancing elements can serve as motivational refresh points rather than a distraction from reward-based goals. This work advances motivation science by integrating reinforcement learning perspectives with theories of interest and self-regulation, offering an empirically grounded principle for designing interventions that sustain persistence in repetitive or low-stimulation contexts.\n\n\n### Supplementary Information\nBelow is the link to the electronic supplementary material.Supplementary file1 (DOCX 24 kb)\nSupplementary file1 (DOCX 24 kb)", "domain": "affective_neuroscience"}
{"source": "PMC13095499", "title": "Cyclic nucleotide phosphodiesterases as drug targets", "text": "# Cyclic nucleotide phosphodiesterases as drug targets\n\n## Abstract\nCyclic nucleotides are synthesized by adenylyl and/or guanylyl cyclase, and downstream of this synthesis, the cyclic nucleotide phosphodiesterase families (PDEs) specifically hydrolyze cyclic nucleotides. PDEs control cyclic adenosine-3’,5’monophosphate (cAMP) and cyclic guanosine-3’,5’-monophosphate (cGMP) intracellular levels by mediating their quick return to the basal steady state levels. This often takes place in subcellular nanodomains. Thus, PDEs govern short-term protein phosphorylation, long-term protein expression, and even epigenetic mechanisms by modulating cyclic nucleotide levels. Consequently, their involvement in both health and disease is extensively investigated. PDE inhibition has emerged as a promising clinical intervention method, with ongoing developments aiming to enhance its efficacy and applicability. In this comprehensive review, we extensively look into the intricate landscape of PDEs biochemistry, exploring their diverse roles in various tissues. Furthermore, we outline the underlying mechanisms of PDEs in different pathophysiological conditions. Additionally, we review the application of PDE inhibition in related diseases, shedding light on current advancements and future prospects for clinical intervention. Regulating PDEs is a critical checkpoint for numerous (patho)physiological conditions. However, despite the development of several PDE inhibitors aimed at controlling overactivated PDEs, their applicability in clinical settings poses challenges. In this context, our focus is on pharmacodynamics and the structure activity of PDEs, aiming to illustrate how selectivity and efficacy can be optimized. Additionally, this review points to current preclinical and clinical evidence that depicts various optimization efforts and indications.\n\n## Full Text\n\n\n### Chapter 1: General introduction\nDownstream of transmembrane receptors, intracellular signaling plays a major role in governing normal and pathological cell responses. The intracellular second messenger cyclic nucleotide cascades, driven by cyclic adenosine-3’,5’monophosphate (cAMP) and cyclic guanosine-3’,5’-monophosphate (cGMP), are conserved among species and ubiquitously expressed throughout mammalian tissues. Their involvement in many disease processes has led to enzymes within these cascades, being considered important drug targets. Sutherland (1972), Nobel laureate in 1971, showed how cAMP is a second messenger (Sutherland and Rall, 1960), is inactivated by phosphodiesterases (PDEs) through hydrolysis of 5’-adenosine monophosphate (5’-AMP; Butcher and Sutherland, 1962). Ashman et al (1963) showed the same for cGMP.\nPDEs act in the presence of H2O and Mg2+ and hydrolyze the phosphate bond present 3’ in both cAMP and cGMP, producing H+ (Keravis et al, 2005). Thus, PDEs control the intracellular levels of cAMP (cAMP-PDE) and cGMP (cGMP-PDE) by rapidly catalyzing their inactivation and returning levels to the basal or resting state. PDEs as a result control short-term protein phosphorylation, long-term protein expression, and even epigenetic modifications (Abusnina et al, 2011). The role of cyclic nucleotides and PDEs in health and disease is widely investigated and has a long history (Fig. 1). In this article, we review the role of PDEs in various tissues (section General Introduction), explore the utility of PDE inhibitors in the treatment of various diseases (section Physiology and Clinical Development), and discuss considerations for future clinical applications (section General Perspectives and Future Directions).Fig. 1Timeline of PDEs in medicinal history. Henry Hyde Salter's discovery of caffeine's bronchodilator effects contributed to the exploration of PDEs, though the effect of caffeine is more likely to occur through adenosine receptors. In the mid-20th century, the discovery of PDEs as enzymes degrading cyclic nucleotides like cAMP and cGMP marked the beginning of their history. Early research by scientists such as Earl W. Sutherland Jr elucidated their roles in cellular signaling, flag stoned the way for drug development. These inhibitors have since evolved to treat conditions like pulmonary arterial hypertension and erectile dysfunction. Over time, research continued, uncovering new isoforms and therapeutic possibilities, extending the application of PDE inhibitors beyond cardiovascular diseases to conditions like cognitive dysfunction and fibrosis. Created with BioRender.com.\nTimeline of PDEs in medicinal history. Henry Hyde Salter's discovery of caffeine's bronchodilator effects contributed to the exploration of PDEs, though the effect of caffeine is more likely to occur through adenosine receptors. In the mid-20th century, the discovery of PDEs as enzymes degrading cyclic nucleotides like cAMP and cGMP marked the beginning of their history. Early research by scientists such as Earl W. Sutherland Jr elucidated their roles in cellular signaling, flag stoned the way for drug development. These inhibitors have since evolved to treat conditions like pulmonary arterial hypertension and erectile dysfunction. Over time, research continued, uncovering new isoforms and therapeutic possibilities, extending the application of PDE inhibitors beyond cardiovascular diseases to conditions like cognitive dysfunction and fibrosis. Created with BioRender.com.\nCyclic nucleotide PDEs are encoded by 11 gene families (PDE1 to PDE11), resulting in a large and complex number of proteins. Each family includes 1–4 distinct genes (a total of 21 in mammals) that produce more than 100 different proteins or isoenzymes [for reviews; see Conti and Beavo (2007), Keravis and Lugnier (2012), Azevedo et al (2014), Maurice et al (2014), and Ahmad et al (2015)]. PDEs were classified as a superfamily of metalophosphohydrolases and assigned the number EC 3.1.4.17.\nPDEs generally exist as dimers. Each monomer of the dimer has a common structure composed of 3 distinct domains: (1) the N-terminal regulatory domain, which characterizes each family and its variants; (2) the catalytic domain, which consists of about 340 amino acids and is relatively conserved among PDEs (∼78% amino acid identity); and (3) the C-terminal domain, which can be prenylated or phosphorylated (Anant et al, 1992; Dousa, 1999; Qin et al, 1992; Fig. 2).Fig. 2Phosphodiesterase (PDE) superfamily structure. PDEs are enzymes categorized into cAMP-specific, cGMP-specific, and dual-substrate families based on their affinity for cyclic nucleotides. Each of the 11 families possesses a catalytic domain at the COOH terminal. These isoforms also exhibit specific structural domains such as REC (Signal regulatory domain), PAS (PerARNT-Sim), UCR (upstream conversed region), PAT-7 (7-residue nuclear localization signal), and GAF (cGMP-binding ubiquitous motif), which play roles in regulating enzymatic activity, sensing cellular signals, influencing localization, and binding to cyclic nucleotides. lines indicate the length of the amino acid sequence of a representative member of each family. Adapted from Baillie et al (2019). Created with BioRender.com.\nPhosphodiesterase (PDE) superfamily structure. PDEs are enzymes categorized into cAMP-specific, cGMP-specific, and dual-substrate families based on their affinity for cyclic nucleotides. Each of the 11 families possesses a catalytic domain at the COOH terminal. These isoforms also exhibit specific structural domains such as REC (Signal regulatory domain), PAS (PerARNT-Sim), UCR (upstream conversed region), PAT-7 (7-residue nuclear localization signal), and GAF (cGMP-binding ubiquitous motif), which play roles in regulating enzymatic activity, sensing cellular signals, influencing localization, and binding to cyclic nucleotides. lines indicate the length of the amino acid sequence of a representative member of each family. Adapted from Baillie et al (2019). Created with BioRender.com.\nThe multiplicity of biochemical and structural properties of PDEs contributes to their tissue specificities, as well as cellular and subcellular distributions. The possibility of designing (relatively) disease-specific pharmacotherapy is not only an attractive feature of PDE as a drug target but also a challenge for pharmaceutical chemists (Fig. 1).\nIn the early years of PDE research (1980–1995), before an official nomenclature was established, PDEs were isolated from various tissues by chromatography. Their biochemical characteristics were determined according to the substrate hydrolyzed and how they were regulated (Thompson and Appleman, 1971; Keravis et al, 1980, Keravis et al, 2005), and PDEs were named accordingly, eg, cGMP-stimulated PDE (cGS-PDE) and cAMP-PDE, cGMP-inhibited PDE (cGI-PDE), (Lugnier and Schini, 1990); CaM-activated PDE (Lugnier et al, 1986); rolipram-inhibited PDE (ROI-PDE; Komas et al, 1989), etc. To avoid confusion, an official nomenclature system based on the human genome was developed in 1995 (Beavo, 1995), creating a unique descriptor for each PDE. For example, PDE4D7 indicates a 3’,5’-cyclic nucleotide PDE of the PDE4 gene family, gene D, splice variant 7. We now discuss the PDEs accordingly.\nPDE1, initially named CaM-PDE, represents the sole family that is Ca2+-dependently regulated via CaM (a 16 kDa Ca2+-binding protein complexed with 4 Ca2+ ions). The PDE1 isoenzyme family is encoded by 3 genes: PDE1A (mapped on human chromosome 2q32), PDE1B (human chromosome location (hcl): 12q13), and PDE1C (hcl: 7p14.3). More than 10 human isoforms have been identified with molecular weights that vary from 58 to 86 kDa per monomer. The N-terminal regulatory domain contains 2 Ca2+/CaM-binding domains and 2 phosphorylation sites that modulate the biochemical activity of these enzymes (Fig. 2). PDE1A and PDE1B preferentially hydrolyze cGMP, whereas PDE1C hydrolyzes cAMP and cGMP with similar Km values. Phosphorylation of PDE1A1 (59 kDa) and PDE1A2 (61 kDa) by PKA, and phosphorylation of PDE1B1 by CaM kinase II, decreases their sensitivity to Ca2+ and CaM and, thereby, reduces PDE1 activity (Zhao et al, 1997). PDE1 isoenzymes are mainly cytosolic, although PDE1A has been found in the nucleus where it contributes to the regulation of transcription factor activity and epigenetic control of gene transcription (Abusnina et al, 2011). Very few selective PDE1 inhibitors are available. To be effective, PDE1 inhibitors must inhibit both basal- and CaM-activated activity. Nimodipine was the first compound with this property, acting in the micromolar range (Epstein et al, 1982; Keravis and Lugnier, 2012). Dioclein followed, showing to relax the human saphenous vein (Goncalves et al, 2009). Nowadays, IC86340 (PDE1A/PDE1C) and lenrispodun (ITI-214) are available as selective inhibitors with submicromolar potency (Maurice et al, 2014; Wennogle et al, 2017).\nThe PDE2 family, formerly cGS-PDE (Martins et al, 1982; Yamamoto et al, 1983), consists of a single gene (hcl: 11q 13.4) that produces 3 splice variants of dual cAMP and cGMP hydrolyzing enzymes: cytosolic PDE2A1 (Sonnenburg et al, 1991) and membrane-bound PDE2A2 and PDE2A3 (Rosman et al, 1997). The N-termini direct these isoenzymes to their different subcellular locations. The N-terminal domain has 2 cGMP-binding domains, GAF-A and GAF-B (Fig. 2). The GAF-A domain mediates PDE2 dimerization. GAF-B binds cGMP allosterically (1–5 μM), positively stimulating cAMP hydrolysis up to 30-fold with Km values from 10 to 30 μM (Lugnier and Schini, 1990). EHNA (IC50 = 2 μM) was the first PDE2 inhibitor (Duncan et al, 1982; Méry et al, 1995; Podzuweit et al, 1995; Masood et al, 2009). Later, Bay 60-7550 (IC50 = 4.7 nM) was discovered, effective only against cGMP-activated PDE2 (Boess et al, 2004; Masood et al, 2009). PDE2 inhibitor ND7001 was patented (WO2004041258-A2) and inhibits both basal- and cGMP-stimulated PDE2 (Masood et al, 2009), putatively the most effective tool to inspect the role of PDE2 in cellular signaling (Lueptow et al, 2016).\nThe PDE3 family, formerly cGI-PDE, is encoded by 2 genes: PDE3A (hcl: 12p12) and PDE3B (hcl: 11p15.1). Three variants are expressed for PDE3A: PDE3A1 (136 kDa), PDE3A2 (118 kDa), and PDE3A3 (94 kDa), whereas only a single PDE3B1 (137 kDa) variant has been identified, despite PDE3B of various sizes having been reported. PDE3 hydrolyses both cAMP and cGMP, and a unique 44-amino acid insert in the catalytic domain is present, which is different between PDE3A and PDE3B (Ahmad et al, 2015; Fig. 2). The Vmax for cAMP hydrolysis is 10-fold higher than for cGMP hydrolysis. cGMP has a higher affinity for PDE3 than cAMP and is a competitive inhibitor of cAMP hydrolysis (Lugnier, 2006). Accordingly, PDE3 participates in cAMP/cGMP cross-talk (Lugnier et al, 1999a). The PDE3 variants possess N-terminal hydrophobic membrane association regions allowing the targeting of PDE3 to various specific intracellular domains (Keravis and Lugnier, 2012). PDE3 is located in the cardiac sarcoplasmic reticulum (SR; Lugnier et al, 1993), cardiac nuclear envelope, near nucleopore complexes (Lugnier et al, 1999b), and in liver Golgi endosomal fraction (Geoffroy et al, 2001). A PKA phosphorylation site is present in PDE3A1 and PDE3A2 for activation, acting as negative feedback for cAMP signaling, whereas an Akt/protein kinase B (PKB) phosphorylation site is only present on PDE3A1 (Wechsler et al, 2002) to promote 14-3-3-protein binding and inhibit phosphatase-catalyzed inactivation (Palmer et al, 2007). PKB-dependent phosphorylation also activates PDE3B. PDE3A3 lacks PKA and PKB phosphorylation sites. PKC phosphorylates and activates PDE3A (Pozuelo Rubio et al, 2005).\nThe first potent and selective inhibitor described of PDE3 was cilostamide (Hidaka et al, 1979) and showed potential for application in cardiac disease. This led to the development of amrinone, milrinone, and enoximone. Milrinone (IC50 = 2.1 μM) was the first PDE3 inhibitor developed to improve myocardial contraction in heart failure and safe for short-term use, avoiding death by arrhythmia after chronic use (Lanfear et al, 2009). Another PDE3 inhibitor, cilostazol (IC50 = 0.2 μM) has been approved by the United States Food and Drug Administration (FDA) for the treatment of intermittent claudication and is marketed as Pletal (Real et al, 2018).\nThe cAMP-selective PDE4 family is arguably the most studied family. The more than 25 human isoforms (50–125 kDA; Paes et al, 2021b) are encoded by 4 genes: PDE4A (hcl: 19p13.2), PDE4B (hcl: 1p31), PDE4C (hcl: 19p13.1), and PDE4D (hcl: 5p12). These genes feature different promoters and are subject to alternative mRNA splicing. Although the expression of all predicted splice variants of the PDE superfamily in general is a matter of debate, there is evidence that many of the PDE4 isoforms are expressed as functional proteins in various human tissues, including the brain, heart, and immune cells, supporting their role as genuine protein products rather than hypothetical precursors, possibly unlike other PDE subtypes (Bolger, 1994; Conti, 2000; Houslay and Adams, 2003; Baillie, 2009).\nPDE4 variants contain 2 unique stretches of amino acids called upstream conserved region (UCR) 1 and UCR2 (Beard et al, 2000; Fig. 2). The so-called “long” PDE4 isoforms contain both UCR1 and UCR2, whereas the “short” isoforms are N-terminally truncated and contain only UCR2, and even shorter (“super-short”) isoforms lack either a portion or the entirety of the UCR2 element (Paes et al, 2021b; Kyurkchieva and Baillie, 2023). Allosteric PDE4 activity regulation is detailed in section Allosteric Mechanisms for Regulating Cyclic Nucleotide Hydrolysis by PDEs. The catalytic region contains an extracellular signal-regulated kinase (ERK) phosphorylation site for the activation of PDE4 short forms and inhibition of PDE4 long forms (Baillie et al, 2000; Houslay, 2001). Long-form PDE4 variants containing UCR1 and UCR2 can form dimers, which involve the UCRs (Bolger et al, 1993; Bolger et al, 2015). PDE4 variants are localized to specific subcellular nanodomains by A-kinase anchoring proteins (AKAP; Dodge et al, 2001). PDE4s interact directly with many other intracellular proteins, thereby defining the PDE4 interactome.\nRolipram (IC50 = 5 μM) and Ro 20-1724 (IC50 = 18 μM) were the first inhibitors shown to be highly selective for PDE4 (Lugnier et al, 1986; Reeves et al, 1987). Thereafter, pharmaceutical companies synthesized many PDE4 inhibitors, particularly, as anti-inflammatory agents (Houslay et al, 2005; Warren et al, 2023). Some of these inhibitors have been approved for medicinal use and are described in the section Physiology and Clinical Development.\nPDE5 specifically hydrolyses cGMP and is encoded by 1 gene PDE5A (hcl: 4q27) with 3 variants being expressed: PDE5A1 (100 kDa), PDE5A2 (95 kDa), and PDE5A3 (95 kDa). Their N-termini contain tandem GAF-A and GAF-B domains (Fig. 2). Only the GAF-A domain binds cGMP (Turko et al, 1998), promoting protein kinase G (PKG)-catalyzed PDE5 phosphorylation (Nakamura et al, 2018). This prompts catalytic activity and increases cGMP-binding affinity converting PDE5 (see section PDE Regulation of Cardiac Function Through cGMP for further details). Zaprinast (M&B 22948) was the first PDE5 inhibitor described (IC50 = 0.4 μM; Lugnier et al, 1986), followed by sildenafil (Viagra), the first clinically used oral PDE5 inhibitor (IC50 = 4 nM; Boolell et al, 1996; Ballard et al, 1998). Zaprinast also inhibits PDE9 with an IC50 value of 35 μM (Fisher et al, 1998), and sildenafil’s IC50 is only 10-fold to 80-fold lower for PDE5 than for PDE1 and PDE6, respectively. More selective PDE5 inhibitors are vardenafil, tadalafil, and avanafil (Andersson, 2018). However, tadalafil has an affinity for PDE11 that is about 20 times lower than for PDE5 (Weeks et al, 2009). Thus, there is still a need to develop more selective PDE5 inhibitors. The use of molecular fingerprint-based virtual screening protocols and structure-based pharmacophore development could facilitate the identification of more selective compounds (Kayik et al, 2017).\nThe cGMP-selective PDE6 family consists of 3 genes that encode catalytic subunits (PDE6A, PDE6B, and PDE6C) that are expressed at high concentrations in rod and cone photoreceptors in the retina [for a recent review, see Cote (2021)]. PDE6A (also referred to as the α-subunit) and PDE6B (β-subunit) are localized to rod photoreceptor cells, whereas PDE6C (α’-subunit) is expressed in cone photoreceptor cells. PDE6 catalytic subunits (and other components of the visual signaling pathway) have also been identified in the pineal gland (Carcamo et al, 1995). The PDE6 family is unique in several respects: (1) rod PDE6 is the only PDE that can form a heterodimer (αβ), (2) enzyme regulation is mediated by binding of regulatory γ-subunits (PDE6G (rod, γ) and PDE6H (cone, γ’) that inhibit the catalysis of cGMP in the nonactivated state, (3) activation of the PDE6 holoenzyme (αβγγ or α’α’γ’γ’) results upon binding of the photoreceptor G-protein α-subunit (GNAT1 in rods, GNAT2 in cones) and displacement of the γ-subunit from the enzyme active site, (4) activated PDE6 is the only PDE family that catalyzes cGMP hydrolysis at a diffusion-controlled rate, (5) the C-terminus of each catalytic subunit is prenylated, conferring tight association of PDE6 with the membrane, and (6) the expression and proper assembly of the PDE6 holoenzyme requires a photoreceptor-specific chaperone, aryl hydrocarbon receptor-interacting protein-like 1 (Yadav and Artemyev, 2017; Cote, 2021). It is well established that the rate-limiting step for the activation and deactivation of the visual signaling pathway in photoreceptors is controlled by the kinetics of PDE6 activation and inactivation, respectively (Pugh and Lamb, 2000; Arshavsky and Wensel, 2013). The rapid reduction in cGMP concentration in the photoreceptor cell upon PDE6 activation results in the closure of cyclic nucleotide-gated ion channels and the generation of an electrical response.\nSimilar to PDE5, PDE6 catalytic subunits consist of 2 tandem GAF domains attached to the catalytic domain, and cGMP binding to the GAF-A domain contributes to the allosteric regulation of the holoenzyme (Kameni Tcheudji et al, 2001; Zhang et al, 2008c). The molecular organization of the PDE6 holoenzyme has revealed that the inhibitory γ-subunits bind to the catalytic dimer in an extended conformation that interacts with each of the GAF and catalytic domains (Gulati et al, 2019; Irwin et al, 2019). The pharmacological properties of PDE6 are similar in many respects to PDE5 (as described in the previous section), with zaprinast being notable for having a 10-fold higher affinity for rod and cone PDE6 compared with PDE5 (Zhang et al, 2005c).\nThe PDE7 family specifically hydrolyses cAMP. There is no known regulatory domain in the N-terminal region (Fig. 2). This family includes 2 genes, PDE7A (hcl: 8q13) and PDE7B (hcl: 6q23-q24), with alternative splicing for PDE7A giving rise to PDE7A1 (57 kDa), PDE7A2 (50 kDa), and PDE7A3 (50 kDa). PDE7A3 lacks a part of the catalytic domain structure and retains the capacity of PDE7A1 to interact and inhibit the catalytic subunit of PKA. Four alternative splice PDE7B transcripts have been identified, of which PDE7B1 and PDE7B3 show 2 putative phosphorylation sites for PKA. Although PDE7B protein is expressed in various cell types, endogenous translation has not been confirmed for all predicted splice variants. Yet, no endogenous PDE7B proteins have been detected. IC242 was the first selective PDE7 inhibitor to be reported (IC50= 0.84 μM; Lee et al, 2002), and several new PDE7 inhibitors have been listed since (Zorn and Baillie, 2023).\nThe PDE8 isoenzyme family specifically hydrolyses cAMP with the highest affinity among all PDEs. It is encoded by PDE8A (hcl: 15q25.3) and PDE8B (hcl: 5q13.3). The primary structure of PDE8 includes N-terminal response regulator receiver (REC), Per-Arnt-Sim (PAS), and 3 putative PKA and PKG phosphorylation sites (Fig. 2). Various splice variants exist. PDE8A1, the longest (93 kDa) and most frequently expressed variant, contains REC and PAS domains. PDE8A2 lacks the PAS domain, whereas PDE8A3 and the truncated PDE8A4 and PDE8A5 lack both REC and PAS domains (Wang et al, 2001). PDE8B1 and PDE8B4 contain both REC and PAS domains, whereas PDE8B2 and PDE8B3 have a deletion in the PAS domain (Gamanuma et al, 2003). IκB proteins activate PDE8A1 through interaction with the PAS domain. Interestingly, PDE8A regulates the Raf-1 and ERK signaling networks (Ahmad et al, 2015). PF-04957325 is a selective PDE8 inhibitor with possible application in airway disease and autoimmune encephalomyelitis (see section The Role of PDEs in Specific Immune Cell Types; Johnstone et al, 2018; Basole et al, 2022).\nThe PDE9 family specifically hydrolyses cGMP with the highest affinity among all PDE families. Twenty-one N-terminal mRNA variants can be encoded by a single gene, PDE9A (hcl: 21q22.3), along with 3 PDE9A protein isoforms that are much larger than the predicted molecular weight of these mRNA variants [named by molecular weight: PDE9X-100, PDE9X-120, and PDE9X-175; Patel et al (2018)]. No regulatory function or phosphorylation of the N-terminal domain has been reported. PDE9A isoforms are differentially expressed and subcellularly localized in various tissues, and this changes with age (Wang et al, 2003b; Patel et al, 2018). PDE9A inhibitor BAY 73-6691 has 25-fold selectivity for the target over all other PDEs (Wunder et al, 2005). Orally available, brain-penetrant PDE9A inhibitors, BI-409306 and PF-04447943, have been developed for use in age-related cognitive decline (see section PDE Isoforms, Cognitive Impairment, and Alzheimer).\nPDE10 represents a dual-substrate family of enzymes encoded by the gene, PDE10A. Human PDE10A maps to chromosome 6q26-27. There are 18 splice variants that can be derived from PDE10A (PDE10A1 to PDE10A19; MacMullen et al, 2016). The deduced amino acid sequence contains 779 amino acids (88 kDa), including 2 GAF domains in the N-terminal region (Fujishige et al, 2000; Fig. 2). In contrast to other PDEs, the GAF-A domain apparently binds only cAMP. Due to its kinetic properties for cAMP and cGMP hydrolysis, cGMP hydrolysis by PDE10 is potently inhibited by cAMP and thus opposite to PDE3. Papaverine (IC50= 36 nM; Tian et al, 2011) and PF-2545920 are PD10A inhibitors, and were reported to cause seizures through neuronal excitability enhancement (Zhang et al, 2017c). Various possible clinical applications are highlighted in the section Physiology and Clinical Development.\nThe dual-substrate PDE11 isoenzyme family has a catalytic site more similar to PDE5 than to PDE10A. Four N-terminal variants are encoded by the PDE11A gene, which maps to human chromosome 2 (2q31.2): PDE11A1 to PDE11A4. PDE11A1 (491 amino acids; predicted molecular mass 56 kDa) was cloned from human skeletal muscle and contains a partial GAF-B domain. PDE11A2 (65.8 kDa) and PDE11A3 (78 kDa) contain a complete GAF-B domain, with PDE11A3 also containing an incomplete GAF-A domain in the N-terminal region. PDE11A4 (100 kDa) is the longest protein within this family and includes 2 full GAF domains and multiple phosphorylation sites within the N-terminal region (Fawcett et al, 2000; Yuasa et al, 2000; Pilarzyk et al, 2022). The PDE11A4 GAF-A domain allosterically binds cGMP (Gross-Langenhoff et al, 2006). The degradation-resistant cGMP analog Rp-8pCPT-PET-cGMP binds the GAF-A domain to stimulate the catalytic activity of PDE11A4, but cGMP binding does not (Jager et al, 2012). The GAF-B domain is involved in oligomerization of the enzyme (Weeks et al, 2007). Reports of PDE11A expression at the protein level are highly contradictory, probably due to antibody nonspecificity and species differences (Kelly, 2015). Tissue and species differences in PDE11A isoforms have been abundantly reported (Kelly, 2015, 2018b; Pilarzyk et al, 2022; Sbornova et al, 2023). The first published selective PDE11A inhibitors were identified using a, which showed a moderate affinity for PDE11A (Ceyhan et al, 2012). With the help of yeast-based high-throughput assays that yielded inhibitors with IC50 of 0.11–0.33 μM, the compounds BC11–28 and BC11–38 have been identified, showing highly selective inhibition (>350-fold selective for PDE11A vs other PDE families). Improvement of potency and pharmacokinetic properties based on these scaffolds is ongoing (Mahmood et al, 2023).\nAs reviewed in section Family Organization and Evolutionary Perspective, PDEs are divided into a variable regulatory domain at the N-terminus and a conserved catalytic domain at the C-terminus, and specifically recognize substrates and inhibitors (Conti and Beavo, 2007; Francis et al, 2011; Maurice et al, 2014; Baillie et al, 2019). In the present section, the structure-activity relationships and the exploitation thereof for the design of PDE subtype-selective inhibitors are reviewed.\nThe first atomic-level structure of the PDE4B2B catalytic domain (Xu et al, 2000) is representative of all of the class I PDE catalytic domains (ie, those present in mammals and flies; Ke and Wang, 2007). The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind 2 divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP (Fig. 3). Zn2+ coordinates with His238, His274, Asp275, and Asp392 of PDE4B2B, and 2 water molecules. Mg2+ chelates with Asp274 and 5 water molecules. The folding of the catalytic domain and metal interactions is conserved in all PDE families (Ke and Wang, 2006). Binding of the substrate in the active site, a conserved hydrophobic pocket, is stabilized not only by the hydrogen bond with invariant glutamine but also by interactions between the substrate’s purine ring and several hydrophobic residues residing in the, so-called, “hydrophobic clamp” (Ke et al, 2011) that positions the cyclic monophosphate group for hydrolysis of the phosphodiester bond by a nucleophilic attack (Wang et al, 2007a). For example, Phe372 stacks against the purine ring of cAMP in the structures of PDE4D2-AMP and D201N PDE4D2-cAMP on 1 side (Fig. 4C), whereas Phe340 and Ile336 make hydrophobic interaction with the purine on the other side (Wang et al, 2007a). The highly conserved hydrophobic pocket is primarily responsible for the high affinity and selectivity of family specific PDE inhibitors (Ke and Wang, 2007), as exemplified by the PDE4B2B—inhibitor NPV interaction that is called the “hydrophobic slot” (Hartley, 1964; Wang et al, 2007a). In contrast, several “subpockets” were proposed for the binding of PDE family selective inhibitors, as discussed in the later sections.Fig. 3The catalytic domain of PDE4B2B in complex with NPV. This folding is conserved in the catalytic domains of all PDE families. The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind two divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP to their linear form. The 10-membered ring of NPV stacks against the benzyl ring of Phe446 on 1 side and interacts with hydrophobic residues of Ile410 and Phe414 on another side (Wang et al, 2007b).Fig. 4Structures of PDE4. (A) Ribbon model of catalytic domain of PDE4D in complex with 5′-AMP [PDB code of 1PTW; adapted from Huai et al (2003) and Wang et al (2008b)]. Gray and pink spheres are zinc and magnesium, respectively. Sticks represent 5′-AMP. (B). Interaction of metal ions with 5′-AMP. (C) Surface representation of the active site of D201N PDE4D mutant in complex with substrate cAMP [PDB code, 2PW3 (Wang et al, 2007b)]. Phe372 on 1 side of the purine ring and Phe230 and Ile336 on another side form the “hydrophobic clamp.” The invariant Gln369 forms a hydrogen bond with substrate cAMP.\nThe catalytic domain of PDE4B2B in complex with NPV. This folding is conserved in the catalytic domains of all PDE families. The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind two divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP to their linear form. The 10-membered ring of NPV stacks against the benzyl ring of Phe446 on 1 side and interacts with hydrophobic residues of Ile410 and Phe414 on another side (Wang et al, 2007b).\nStructures of PDE4. (A) Ribbon model of catalytic domain of PDE4D in complex with 5′-AMP [PDB code of 1PTW; adapted from Huai et al (2003) and Wang et al (2008b)]. Gray and pink spheres are zinc and magnesium, respectively. Sticks represent 5′-AMP. (B). Interaction of metal ions with 5′-AMP. (C) Surface representation of the active site of D201N PDE4D mutant in complex with substrate cAMP [PDB code, 2PW3 (Wang et al, 2007b)]. Phe372 on 1 side of the purine ring and Phe230 and Ile336 on another side form the “hydrophobic clamp.” The invariant Gln369 forms a hydrogen bond with substrate cAMP.\nPerhaps the best-studied structural elements hypothesized to regulate catalytic activity of PDEs are the flexible H-loop (including 2 short α-helices) and the flexible M-loop [the flexible region between α14 and α15; for review see Ke and Wang (2007)]. Alignments of the catalytic domains of the entire superfamily suggest the involvement of these flexible regions in the regulation of substrate diffusion into the enzyme active site due to their vicinity to the entrance (Ke and Wang, 2007; Huang et al, 2015). However, the mechanisms for restricting substrate diffusion into the catalytic center differ between PDE families. Specific for PDE4, an α-helix downstream of the α16 helix in the catalytic domain putatively participates in phosphorylation-dependent auto-inhibition. The H- and M-loop can also undergo major conformational changes upon binding of PDE inhibitors to the active site, emphasizing their pharmacological importance in structure-aided drug design. In the following sections, we examine in detail the allosteric regulation of several PDE families with an emphasis on how knowledge of atomic-level PDE structures can inform and guide efforts to rationally design novel, family, and isoform-selective PDE inhibitors.\nStructure studies (Martinez et al, 2002; Pandit et al, 2009) have revealed that cGMP binding at a flexible binding pocket within the GAF-B domain induces structural changes to enhance cGMP affinity. The X-ray structure of PDE2A (Pandit et al, 2009) shows that the 2 catalytic subunits cross over at the juncture of the GAF-B and catalytic domains (Fig. 5). The H-loop (residues Gly702–Ser724 of PDE2A) from the opposite subunit is in proximity to, and restricts substrate access to, the active site of each monomer. Binding of the inhibitor BAY 60-7550 to the active site caused an outward movement (and change in conformation) of the H-loop (Zhu et al, 2013). It has been hypothesized that cGMP binding to the GAF-B domain induces conformational changes within GAF-B, which after propagation through the α-helix and the adjacent catalytic domain changes the H-loop conformation to enhance substrate entry and, thus, its catalysis (Pandit et al, 2009; Zhu et al, 2013). This thesis awaits confirmation.Fig. 5Structure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nStructure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nThe structure of PDE2 in complex with BAY 60-7550 (Fig. 5C) identified a hydrophobic pocket consisting of Leu770, Ile866, and the hydrophobic side chains of The805 and Asp808 (Fig. 5C; Zhu et al, 2013). This knowledge may enable the design of PDE2-selective inhibitors in the future, as evidenced by the subsequent discovery of a novel PDE2 inhibitor (Qiu et al, 2018).\nPDE2A is widely expressed, and most abundant in the brain (Lakics et al, 2010), implying application in CNS disorders, eg, depression and anxiety (Masood et al, 2009; Xu et al, 2013; Zhang et al, 2015). Because past studies were hampered by the lack of selective and brain-penetrant compounds further inhibitor design is required.\nThere is ample information to support the idea that PDE5 forms a homodimer with an overall domain organization similar to those of PDE2 (Fig. 5A) and PDE6 (Francis et al, 2006; Schultz, 2009; Ahmed et al, 2021; Cote et al, 2022). For the 5 PDE families containing 2 tandem GAF regulatory domains [GAF-A and GAF-B (Pfam PF01590); Aravind and Ponting (1997)], only 1 GAF domain per monomer binds cyclic nucleotides: cGMP binds to GAF-A in PDE5 PDE6, and PDE11 and to GAF-B in PDE2, whereas cAMP binds to GAF-B in PDE10 (Zoraghi et al, 2004; Heikaus et al, 2009; Schultz, 2009; Jager et al, 2012).\nPDE5 catalytic activity is modulated by 3 allosteric mechanisms. First, PDE5 catalytic activity is stimulated upon binding of cGMP to noncatalytic sites localized to the GAF-A domain. The GAF-A binding site undergoes a major, local conformational change upon cGMP binding (Heikaus et al, 2008) that is allosterically communicated to the catalytic domain to cause an increase in cGMP hydrolysis. This allosteric effect is reciprocal in that occupancy of the PDE5 active site enhances the affinity of cGMP binding to GAF-A. In addition, cGMP binding to GAF-A stimulates phosphorylation of a serine residue in the N-terminal region that precedes the GAF-A domain; this effect is also reciprocal in that phosphorylation of PDE5 at this site enhances cGMP binding affinity to GAF-A and, in a cooperative manner, stimulates catalytic activity [for a comprehensive review, see Francis et al (2011)]. Delineation of the allosteric communication pathway from the regulatory to the catalytic domains of PDE5 awaits determination of the atomic structure of the full-length enzyme and identification of ligand-induced conformational changes.\nThe second intrinsic mechanism for allosteric regulation of PDE5 catalysis is observed in local conformational changes of the flexible elements around the active site (Fig. 6). The most important of these is the H-loop (residues 661–678 of PDE5A1) that adopts different conformations upon binding different inhibitors (Wang et al, 2006). The ligand-free H-loop has a coiled conformation and migrates dramatically to form a small 310 helix upon binding of IBMX or sildenafil (Fig. 6A). Binding of the natural product, icarisid II (purified from the Chinese herb Ying Yang Hu which is known to promote sexual activity of goats) induced the formation of 2 short anti-parallel β-strands in the H-loop (Fig. 6A). In addition, sildenafil and vardenafil—2 PDE5 inhibitors with similar molecular structures—induce completely different conformational changes in both the H-loop and the adjacent M-loop motif [residues 790–810; see Fig. 5B, adapted from Wang et al (2008b)], possibly explaining their distinctive affinity for PDE5 and their physiological effects.Fig. 6Conformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nConformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nA third mechanism of regulating PDE5 activity has been identified for the allosteric inhibitor evodiamine, which upon binding to a site adjacent to the active site (Fig. 7) induces conformational changes in the active site (Zhang et al, 2020c). Binding of evodiamine displaces several water molecules occupying the unliganded binding site and induces conformational changes to the H-loop at the active site (Fig. 7C).Fig. 7Binding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nBinding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nUCR1 and UCR2 participate in regulating cAMP hydrolysis in a coordinated manner. In long isoforms of PDE4, UCR1 and UCR2 interact to form a regulatory unit in which the C-terminal portion of UCR2 folds onto the catalytic domain and blocks substrate access to the active site (Burgin et al, 2010; Cedervall et al, 2015). As mentioned above, occlusion of the active site can also occur when a C-terminal α-helix folds onto the active site (Burgin et al, 2010).\nThe 4 genes that comprise the PDE4 family have very high (∼78%) sequence identity within the 340 amino acids of the catalytic domain. This is also reflected in the structural superposition of the catalytic domains of PDE4D with PDE4A, PDE4B, and PDE4C (root-mean-squared deviations of 0.67, 0.73, and 0.64 Å for the Cα atoms; [Wang et al, 2007a]). Consequently, most PDE4 inhibitors do not discriminate between the 4 members of this family in their affinity for binding to the catalytic pocket. After it was suggested that inhibition of PDE4D produces many of the side-effects of the PDE4 inhibitor rolipram, developing family selective PDE4 inhibitors, especially against PDE4B, became an important medicinal chemistry objective (Azam and Tripuraneni, 2014). Moreover, attention has more recently turned toward the therapeutic potential of allosteric inhibitors that are more likely to bind specifically to a member of the PDE4 subfamily and may display an improved therapeutic ratio.\nTwo examples of modulators of PDE4 catalytic activity that are not simple competitive inhibitors at the enzyme active site are D 155871 (Burgin et al, 2010) and zatolmilast (BPN 14770; Gurney et al, 2019), both of which inhibit the long forms of PDE4D. Binding of D 155871 to the active site of PDE4D (Fig. 8) induces dramatic migration of an α-helix of UCR2 from the back of the catalytic domain to cover the active site. However, it remains unclear if allosteric PDE4 inhibitors will have therapeutic applications.Fig. 8The structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe PDE9 catalytic subunit consists of a coiled N-terminal region and a conserved catalytic domain at the C-terminus and exists as a dimer. The crystal structure of PDE9 reveals that the catalytic sites in the 2 subunits have slightly different shapes, leading to different binding conformations of the same inhibitor in the dimer (Huang et al, 2015).\nExamination of inhibitor binding suggests that a small “M-pocket” may determine the selectivity of PDE9 inhibitors (Huang et al, 2015). The M-pocket is in an open conformation in PDE9, enabling large functional groups such as benzene to bind (Fig. 9A). In contrast, sequence alignment of PDEs in the vicinity of the M-pocket (Fig. 9C) illustrates that Phe441 and Ala452 of PDE9 (that serve as gates for the M-pocket) are substituted with bulky side chains in PDE5 (Leu804 and Met816) that would allow only small functional groups to penetrate into the M-pocket, as shown for the ethoxy group in the PDE5-sildenafil crystal structure (Wang et al, 2008b). In the case of the PDE8A1 structure (Wang et al, 2008a), the M-pocket is too small to accommodate binding of the PDE9 inhibitor, C33, providing a structural basis for the observed selectivity of C33 over PDE5 and PDE8 (Huang et al, 2015). In summary, the M-pocket of PDE9 may be an excellent target for the structure-aided design of highly selective PDE9 inhibitors.Fig. 9The M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\nThe M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\nIn addition to cyclic nucleotide binding, post-translational modifications, and the various pharmacological PDE inhibitors that have been characterized, other methods of altering PDE activity have been used as research tools, namely: (1) techniques for PDE depletion, (2) activators or methods that upregulate PDE protein, and (3) techniques that displace a defined PDE “pool” from 1 specific nanodomain within a cell.\nTo define the role of specific PDEs, overexpression by constructs encoding full-length PDE proteins or, conversely, gene silencing using antisense or small interfering (si) RNA oligonucleotides has been employed. Detrimental to interpretation, overexpression can lead to aberrant cellular localization of the enzyme, and as is apparent from earlier sections of this review (see sections PDE1 Family and PDE11 Family), the localization of a cAMP-PDE is central to its function. Antisense oligonucleotides offered the first method to specifically target PDE isoforms (Epstein, 1998), and this approach has also been used to target different PDE families concomitantly for therapeutic benefit (Fortin et al, 2009). Soon, the development of siRNA sequences to evaluate the functional relevance of a variety of PDEs followed, as exemplified by PDE2, PDE4D, PDE7, and PDE8 (Pekkinen et al, 2008; Li et al, 2011; Hiramoto et al, 2014).\nAnother method for PDE silencing that has come to the fore recently is CRISPR/Cas9. It has been used to characterize the differential roles of PDE2A isoforms and PDE3A in shaping cAMP dynamics in neonatal and adult rat cardiomyocytes following β-adrenoceptor stimulation (Skryabin et al, 2023). The ability to pinpoint isoforms rather than subfamilies or families may lead to the development of therapies that result in fewer side-effects. This is particularly relevant for PDE4D isoforms in Alzheimer disease (AD) where a body of work using knock-out animals (Li et al, 2011), dominant negatives (Bolger et al, 2020), siRNA (Li et al, 2011), and PDE4D-selective inhibitors (Ricciarelli et al, 2017) has identified the subfamily as playing a crucial role. Recently, CRISPR/Cas9 genome editing has determined that specific silencing of the long PDE4D isoforms, PDE4D3, D5, D7, and D9, confers protection against β-amyloid-induced reductions in neuronal plasticity (Paes et al, 2023).\nMicroRNAs (miRNA) are endogenous regulators of protein expression. Specific miRNA has been identified for PDE4 in synovial fibroblasts modulating proinflammatory processes (Wade et al, 2019), PDE3 in cerebral microvascular endothelial cells affecting cognitive decline in cerebral small vessel disease (Yasmeen et al, 2019) and PDE1 in lung fibroblasts where the miRNA is protective against lung fibrosis (Ren et al, 2017). miRNAs are, themselves, known to be regulated by long noncoding RNAs (lncRNA) and lncRNA GAS5 “sponges” miRNA that prevents the translation of PDE4B2 to increase expression of the PDE, preventing the accumulation of lipid in cell models of nonalcoholic fatty liver disease (Xu et al, 2022).\nBesides targeting DNA and RNA, there is a novel way to specifically reduce the activity of active enzymes in a cell via targeted protein degradation. This involves a small molecule that can link the enzyme of interest to the ubiquitin proteasome system by anchoring a ubiquitin E3 ligase close to the target. These small-sized molecules, of which the pharmacokinetic properties can be optimized for use in vivo, partly independently of Lipinski’s rule of 5, have been termed proteolysis targeting chimeras (PROTACs) and are now in phase II clinical trials for oncology (Wang et al, 2023). PROTACs appear to be ideal as PDE inhibitors (Konstantinidou et al, 2019). First, because rather than relying on the constant presence of high concentrations, a reason inhibitors cause side effects, to warrant occupation of the active site, PROTACS deactivates the PDE in 1 event. Second, protein degradation attenuates the enzymatic and nonenzymatic functions, allowing also the inhibition of PDEs as scaffolds for protein interactions (Susuki-Miyata et al, 2015). Finally, as the PROTAC molecule is formed of 3 integral units (warhead, linker, and E3 recruiter molecule), enhanced selectivity and potency can be engineered into the structural design via molecular modeling, providing a better opportunity for isoform specificity.\nPROTACs that evoke degradation of the Kirsten Rat Sarcoma Virus (KRAS)-shuttling PDE6δ, a PDE6 subunit without enzymatic function, results in mislocalization of KRAS preventing its activation (Zhang et al, 2005a; Cheng et al, 2020; Teng et al, 2022). This has been a promising strategy to treat KRAS mutation-related cancer. “SNIPER” protein erasers demonstrated that a PDE4 inhibitor could be used as a warhead to colocalize E3 ubiquitin ligases for PDE4 degradation (Ohoka et al, 2017). The work might inspire the development of PROTACS for the other families.\nCellular expression of cAMP-PDEs is often low but highly localized in order to shape cAMP in nanodomains (Baillie, 2009). Peptide disruptors that relocate cAMP-PDEs allow researchers to define the role of specific isoforms [reviewed in Blair and Baillie (2019), Lee et al (2013)]. As single isoforms can exist in more than 1 cellular locale and have multiple functions depending on proximity to various cAMP effector proteins (eg, PDE4D5; Wills et al (2016)], displacement is the only method that takes compartmentalization into account. This benefit was demonstrated recently when revealing the role of PDE4-Popeye domain-containing 1 interaction in nanodomain calcium transient regulation for sinoatrial pace-making (Tibbo et al, 2022). The use of a pan-PDE4 inhibitor would not have been as effective due to pools of various PDE4 subfamilies and isoforms associated with cardiac calcium handling (Maurice et al, 2014).\nThe use of catalytically dead, dominant-negative PDEs that displace endogenously active forms is applicable in transfected cell lines (McCahill et al, 2005) and whole organism models of disease (McGirr et al, 2016; Bolger et al, 2020). Although this approach involves PDE displacement, it also relies on overexpression; hence, it is likely all complexes containing the PDE of interest being overexpressed as a dominant negative will be disrupted concomitantly, limiting the deconvolution of data pertaining to compartmentalized responses. In the case of PDE11A, compartmentalization can be changed by disrupting homodimerization via the expression of its isolated GAF-B domain or by phosphorylation of select residues in its regulatory N-terminal domain, both of which are sufficient to alter memory formation in mice [see II Chapter 2, E 1k for more detail; (Pathak et al, 2017; Pilarzyk et al, 2022, Pilarzyk et al, 2023)].\nRecently, Mironid developed small molecules that activate PDE4 via allosteric binding to the UCR 1/2 regions to lock the long-form dimer in the “open” conformation (Omar et al, 2019). Activation of PDE4 long-forms in this way is sufficient to counteract chronic cAMP elevation. Application in polycystic kidney disease and prostate cancer has been proposed for these compounds (Hansen et al, 2022; Gulliver et al, 2023). This activation mechanism has been observed historically with lipids (Grange et al, 2000) and peptides (Wang et al, 2015a), and now, the small molecules have opened the door for the development of therapies that require PDE activation. Another technologically advanced way to enhance the protein stability of active enzymes is by using the converse approach to PROTACs. Targeted protein stabilization using deubiquitinase-targeting chimeras can stabilize target proteins by preventing them from engaging with the proteosome (Henning et al, 2022). This relatively new approach for selective PDE isoform activation holds promise for the future.\nThe canonical model stating that cAMP signaling links G-protein coupled receptor (GPCR) ligand binding to cAMP generation, PKA activation, and substrate phosphorylation in a linear cascade from the plasma membrane to the terminal intracellular effector cannot explain the functional versatility of cAMP within 1 cell type. This enigma persisted for decades, until an alternative model developed over the last 20 years: the paradigm of compartmentalization. This spatial confinement proves critical for hormonal specificity, with Gs-coupled receptor activation generating spatially distinct cAMP pools that, in turn, activate defined subsets of the effector enzyme PKA.\nSelective PKA activation hinges on the immobilization of the kinase to specific subcellular locations through interaction with AKAPs, tethering the enzyme in proximity to specific phosphorylation targets (Scott et al, 2013). AKAPs nucleate signaling hubs, or signalosomes, through protein-protein interactions that include varying assortments of signaling molecules such as GPCR, adenylyl cyclases, phosphatases, and cAMP-PDEs. Each signalosome results from a unique combination of signaling components, facilitating specific regulation of distinct cellular functions at distinct locations. This paradigm started from studies on cardiac β-adrenoceptors and has since spread to virtually all cell types (Zaccolo et al, 2021).\nEarly imaging studies demonstrated the critical role of cAMP-hydrolyzing enzymes in limiting the spatial propagation of the second messenger as inhibition of PDEs disrupted the local cAMP gradients (Jurevicius and Fischmeister, 1996; Zaccolo and Pozzan, 2002; Terrin et al, 2006; Iancu et al, 2007; Chen et al, 2008; Leroy et al, 2008; Feinstein et al, 2012; Mika et al, 2012; Guellich et al, 2014). The advent of genetically encoded probes for real-time cAMP monitoring was a breakthrough in demonstrating the steep intracellular cAMP gradients that create nanodomains (Zaccolo et al, 2000; Zaccolo and Pozzan, 2002; Nikolaev et al, 2004; Ponsioen et al, 2004). These probes typically consist of a cAMP-binding domain sandwiched between 2 fluorescent protein spectral variants, enabling Förster resonance energy transfer (FRET) imaging. The altered FRET signaling that occurs upon cAMP binding is detectable with a conventional optical microscope. The first reported probe consisted of a PKA regulatory subunit fused to a cyan fluorescent protein and a PKA catalytic subunit fused to a yellow fluorescent protein, allowing measurement of cAMP binding to the PKA holoenzyme (Zaccolo and Pozzan, 2002). On application of noradrenaline to cardiac myocytes expressing the probe, the elicited cAMP response was not homogeneous across the cell but was localized to subcellular compartments where PKA is anchored to AKAPs. In agreement, a probe variant lacking the domain necessary for AKAPs anchoring resulted in the sensor being unable to pick up any significant cAMP signal. Studies using these biosensors demonstrated that different GPCRs couple with distinct adenylyl cyclases, generating specific local cAMP pools that activate a limited subset of effectors, thus creating functional diversity between GPCRs (Di Benedetto et al, 2008).\nFurther compartmentalization mechanisms include physical barriers (Richards et al, 2016), buffering (Bock et al, 2020), phase separation of the regulatory subunit of PKA (Zhang et al, 2020a), and generation of cAMP from internalized GPCRs (Lohse et al, 2023).\nRecent mounting evidence that GsPCRs can initiate cAMP production postinternalization introduces a novel and intriguing aspect to the cAMP compartmentalization model (Calebiro et al, 2009; Ferrandon et al, 2009; Irannejad et al, 2013). Traditionally, internalization of GPCRs upon ligand binding has been considered a mechanism that leads to receptor desensitization, offering protection against excessive stimulation. However, recent studies combining real-time cAMP imaging with observations of GPCR trafficking events in intact cells, challenged this notion, as they demonstrated sustained cAMP signaling from GsPCRs embedded in internalized vesicles (Ferrandon et al, 2009; Calebiro et al, 2010; Lan et al, 2012; Pavlos and Friedman, 2017). Internalized GPCRs were shown to encounter G proteins on internal membranes, such as endosomes or Golgi-associated vesicles, and create a fully functional signaling complex initiating a subsequent wave of signaling by triggering the generation of localized pools of second messenger. Alternatively, a substantial pool of some GPCRs, such as β1-adrenoceptor, can be permanently located at intracellular membranes, as, for example, in the SR of cardiac myocytes to locally regulate contractility and relaxation (Lin et al, 2023b).\nThe complexity of the PDE system allows for a further highly sophisticated regulation of local cAMP levels. The number of possible permutations in combinations of PDE isoform, location, activity regulation by Ca2+, cGMP, or other mechanisms is extensive and can all determine the subcellular topography of cAMP nanodomains (Beltejar et al, 2017; Subramaniam et al, 2023; Fig. 10). The resulting dynamic cellular landscape of cAMP gradients remains largely to be defined in its details as is any remodeling that occurs in pathological conditions.Fig. 10Mapping the tissue localization of PDEs. This figure illustrates the diverse tissue localization of PDEs, enzymes crucial for regulating cyclic nucleotide levels. PDE expression patterns vary among species and can be altered in pathological conditions, influencing various physiological processes such as cardiovascular function, neuronal signaling, immune responses, and reproductive function. In cases where the precise tissue localization of PDEs is unknown, their representation is depicted vertically adjacent to the respective tissue name. b1, cerebral cortex/temporal lobe; b2, ocipital lobe; b3, temporal lobe; E: endothelial cells; L: lymphocytes; M, macrophages; P, platelet; S, smooth muscle cells; T, T-cells. Created with BioRender.com.\nMapping the tissue localization of PDEs. This figure illustrates the diverse tissue localization of PDEs, enzymes crucial for regulating cyclic nucleotide levels. PDE expression patterns vary among species and can be altered in pathological conditions, influencing various physiological processes such as cardiovascular function, neuronal signaling, immune responses, and reproductive function. In cases where the precise tissue localization of PDEs is unknown, their representation is depicted vertically adjacent to the respective tissue name. b1, cerebral cortex/temporal lobe; b2, ocipital lobe; b3, temporal lobe; E: endothelial cells; L: lymphocytes; M, macrophages; P, platelet; S, smooth muscle cells; T, T-cells. Created with BioRender.com.\nThe organizational complexity of PDEs and their interactions to generate local steep cAMP gradients proves highly effective for achieving hormonal specificity. Compartmentalized cAMP in cardiac myocytes, for example, allows β-adrenoceptors to increase PKA-dependent phosphorylation of phospholamban, whereas activation of the prostaglandin receptor does not, despite generating a similar overall cAMP amount (Hayes et al, 1980). Targeted FRET reporters further demonstrated that distinct cAMP signals and heterogeneous cAMP responses are generated by the activation of different cardiac GPCRs with positive inotropic effects (Di Benedetto et al, 2008), By contrast, a homogeneous cAMP increase throughout the cell, achieved through pharmacological PDE inhibition, results in a diminished inotropic response (Surdo et al, 2017). This emphasizes the functional relevance of this spatial organization.\nAs an alternative to nanodomain-targeted sensors, recent developments using integrated analysis of PDE isoform-selective interactomes and PDE family dependent phosphoproteomes allowed the identification of multiple novel, nonobvious cAMP subcellular nanodomains (Subramaniam et al, 2023). Early imaging experiments estimated the size of cAMP subcellular compartments to be in the micrometer range (Zaccolo and Pozzan, 2002). Recent studies, however, revealed that the cAMP subcellular domains can be as small as tens of nanometers (Surdo et al, 2017; Anton et al, 2022). FRET reporters that include spacers with known length (nanorulers) revealed cAMP compartment sizes as small as 10 nm, ruling out the necessity for a physical barrier to achieving cAMP compartmentalization (Anton et al, 2022). Experiments with cAMP reporters fused directly to PDEs (Herget et al, 2008) demonstrated that PDEs can create regions of low cAMP concentrations, obliterating PKA activation within their immediate surroundings. The action radius varies based on the enzymatic properties of the involved PDE isoforms. For instance, PDE4A1, a relatively high-affinity (low Km) but low-turnover (low Vmax) enzyme (Bender and Beavo, 2006), creates a domain with low cAMP with a 10-nm radius, whereas PDE2A3, a lower affinity but faster enzyme, can deplete cAMP within a radius exceeding 30 nm (Bock et al, 2020). Recent development of nanodomain-targeted cAMP sensors provided more detailed insights into cAMP signaling (DiPilato et al, 2004; Allen and Zhang, 2006; Liu et al, 2011; Lefkimmiatis et al, 2013; Pendin et al, 2017; Surdo et al, 2017). Sensors targeted to plasma membrane nanodomains (Perera et al, 2015; Bastug-Özel et al, 2019) and SR domains in close proximity to the ryanodine receptor (Berisha et al, 2021) and SR Ca2+ ATPase (Sprenger et al, 2015) could reveal that cardiac hypertrophy and heart failure lead to a dramatic alteration of subcellular localization of multiple PDEs, resulting in changes of contractility, relaxation, and cardiac arrhythmias. Therefore, a better understanding and specific targeting of such nanodomain remodeling may pave the way to new approaches for cardiovascular therapies. Possible approaches that have been proposed include overexpression of distinct PDE isoforms (Karam et al, 2020), their specific knockdown (Skryabin et al, 2023), or other means aimed at the restoration of proper nanodomain architecture. Obviously, the future of thorough unraveling of cAMP-PDE signaling depends on the development of sophisticated, high-resolution sensors.\n\n\n### Overview\nCyclic nucleotide PDEs are encoded by 11 gene families (PDE1 to PDE11), resulting in a large and complex number of proteins. Each family includes 1–4 distinct genes (a total of 21 in mammals) that produce more than 100 different proteins or isoenzymes [for reviews; see Conti and Beavo (2007), Keravis and Lugnier (2012), Azevedo et al (2014), Maurice et al (2014), and Ahmad et al (2015)]. PDEs were classified as a superfamily of metalophosphohydrolases and assigned the number EC 3.1.4.17.\nPDEs generally exist as dimers. Each monomer of the dimer has a common structure composed of 3 distinct domains: (1) the N-terminal regulatory domain, which characterizes each family and its variants; (2) the catalytic domain, which consists of about 340 amino acids and is relatively conserved among PDEs (∼78% amino acid identity); and (3) the C-terminal domain, which can be prenylated or phosphorylated (Anant et al, 1992; Dousa, 1999; Qin et al, 1992; Fig. 2).Fig. 2Phosphodiesterase (PDE) superfamily structure. PDEs are enzymes categorized into cAMP-specific, cGMP-specific, and dual-substrate families based on their affinity for cyclic nucleotides. Each of the 11 families possesses a catalytic domain at the COOH terminal. These isoforms also exhibit specific structural domains such as REC (Signal regulatory domain), PAS (PerARNT-Sim), UCR (upstream conversed region), PAT-7 (7-residue nuclear localization signal), and GAF (cGMP-binding ubiquitous motif), which play roles in regulating enzymatic activity, sensing cellular signals, influencing localization, and binding to cyclic nucleotides. lines indicate the length of the amino acid sequence of a representative member of each family. Adapted from Baillie et al (2019). Created with BioRender.com.\nPhosphodiesterase (PDE) superfamily structure. PDEs are enzymes categorized into cAMP-specific, cGMP-specific, and dual-substrate families based on their affinity for cyclic nucleotides. Each of the 11 families possesses a catalytic domain at the COOH terminal. These isoforms also exhibit specific structural domains such as REC (Signal regulatory domain), PAS (PerARNT-Sim), UCR (upstream conversed region), PAT-7 (7-residue nuclear localization signal), and GAF (cGMP-binding ubiquitous motif), which play roles in regulating enzymatic activity, sensing cellular signals, influencing localization, and binding to cyclic nucleotides. lines indicate the length of the amino acid sequence of a representative member of each family. Adapted from Baillie et al (2019). Created with BioRender.com.\nThe multiplicity of biochemical and structural properties of PDEs contributes to their tissue specificities, as well as cellular and subcellular distributions. The possibility of designing (relatively) disease-specific pharmacotherapy is not only an attractive feature of PDE as a drug target but also a challenge for pharmaceutical chemists (Fig. 1).\n\n\n### Family organization and evolutionary perspective\nIn the early years of PDE research (1980–1995), before an official nomenclature was established, PDEs were isolated from various tissues by chromatography. Their biochemical characteristics were determined according to the substrate hydrolyzed and how they were regulated (Thompson and Appleman, 1971; Keravis et al, 1980, Keravis et al, 2005), and PDEs were named accordingly, eg, cGMP-stimulated PDE (cGS-PDE) and cAMP-PDE, cGMP-inhibited PDE (cGI-PDE), (Lugnier and Schini, 1990); CaM-activated PDE (Lugnier et al, 1986); rolipram-inhibited PDE (ROI-PDE; Komas et al, 1989), etc. To avoid confusion, an official nomenclature system based on the human genome was developed in 1995 (Beavo, 1995), creating a unique descriptor for each PDE. For example, PDE4D7 indicates a 3’,5’-cyclic nucleotide PDE of the PDE4 gene family, gene D, splice variant 7. We now discuss the PDEs accordingly.\nPDE1, initially named CaM-PDE, represents the sole family that is Ca2+-dependently regulated via CaM (a 16 kDa Ca2+-binding protein complexed with 4 Ca2+ ions). The PDE1 isoenzyme family is encoded by 3 genes: PDE1A (mapped on human chromosome 2q32), PDE1B (human chromosome location (hcl): 12q13), and PDE1C (hcl: 7p14.3). More than 10 human isoforms have been identified with molecular weights that vary from 58 to 86 kDa per monomer. The N-terminal regulatory domain contains 2 Ca2+/CaM-binding domains and 2 phosphorylation sites that modulate the biochemical activity of these enzymes (Fig. 2). PDE1A and PDE1B preferentially hydrolyze cGMP, whereas PDE1C hydrolyzes cAMP and cGMP with similar Km values. Phosphorylation of PDE1A1 (59 kDa) and PDE1A2 (61 kDa) by PKA, and phosphorylation of PDE1B1 by CaM kinase II, decreases their sensitivity to Ca2+ and CaM and, thereby, reduces PDE1 activity (Zhao et al, 1997). PDE1 isoenzymes are mainly cytosolic, although PDE1A has been found in the nucleus where it contributes to the regulation of transcription factor activity and epigenetic control of gene transcription (Abusnina et al, 2011). Very few selective PDE1 inhibitors are available. To be effective, PDE1 inhibitors must inhibit both basal- and CaM-activated activity. Nimodipine was the first compound with this property, acting in the micromolar range (Epstein et al, 1982; Keravis and Lugnier, 2012). Dioclein followed, showing to relax the human saphenous vein (Goncalves et al, 2009). Nowadays, IC86340 (PDE1A/PDE1C) and lenrispodun (ITI-214) are available as selective inhibitors with submicromolar potency (Maurice et al, 2014; Wennogle et al, 2017).\nThe PDE2 family, formerly cGS-PDE (Martins et al, 1982; Yamamoto et al, 1983), consists of a single gene (hcl: 11q 13.4) that produces 3 splice variants of dual cAMP and cGMP hydrolyzing enzymes: cytosolic PDE2A1 (Sonnenburg et al, 1991) and membrane-bound PDE2A2 and PDE2A3 (Rosman et al, 1997). The N-termini direct these isoenzymes to their different subcellular locations. The N-terminal domain has 2 cGMP-binding domains, GAF-A and GAF-B (Fig. 2). The GAF-A domain mediates PDE2 dimerization. GAF-B binds cGMP allosterically (1–5 μM), positively stimulating cAMP hydrolysis up to 30-fold with Km values from 10 to 30 μM (Lugnier and Schini, 1990). EHNA (IC50 = 2 μM) was the first PDE2 inhibitor (Duncan et al, 1982; Méry et al, 1995; Podzuweit et al, 1995; Masood et al, 2009). Later, Bay 60-7550 (IC50 = 4.7 nM) was discovered, effective only against cGMP-activated PDE2 (Boess et al, 2004; Masood et al, 2009). PDE2 inhibitor ND7001 was patented (WO2004041258-A2) and inhibits both basal- and cGMP-stimulated PDE2 (Masood et al, 2009), putatively the most effective tool to inspect the role of PDE2 in cellular signaling (Lueptow et al, 2016).\nThe PDE3 family, formerly cGI-PDE, is encoded by 2 genes: PDE3A (hcl: 12p12) and PDE3B (hcl: 11p15.1). Three variants are expressed for PDE3A: PDE3A1 (136 kDa), PDE3A2 (118 kDa), and PDE3A3 (94 kDa), whereas only a single PDE3B1 (137 kDa) variant has been identified, despite PDE3B of various sizes having been reported. PDE3 hydrolyses both cAMP and cGMP, and a unique 44-amino acid insert in the catalytic domain is present, which is different between PDE3A and PDE3B (Ahmad et al, 2015; Fig. 2). The Vmax for cAMP hydrolysis is 10-fold higher than for cGMP hydrolysis. cGMP has a higher affinity for PDE3 than cAMP and is a competitive inhibitor of cAMP hydrolysis (Lugnier, 2006). Accordingly, PDE3 participates in cAMP/cGMP cross-talk (Lugnier et al, 1999a). The PDE3 variants possess N-terminal hydrophobic membrane association regions allowing the targeting of PDE3 to various specific intracellular domains (Keravis and Lugnier, 2012). PDE3 is located in the cardiac sarcoplasmic reticulum (SR; Lugnier et al, 1993), cardiac nuclear envelope, near nucleopore complexes (Lugnier et al, 1999b), and in liver Golgi endosomal fraction (Geoffroy et al, 2001). A PKA phosphorylation site is present in PDE3A1 and PDE3A2 for activation, acting as negative feedback for cAMP signaling, whereas an Akt/protein kinase B (PKB) phosphorylation site is only present on PDE3A1 (Wechsler et al, 2002) to promote 14-3-3-protein binding and inhibit phosphatase-catalyzed inactivation (Palmer et al, 2007). PKB-dependent phosphorylation also activates PDE3B. PDE3A3 lacks PKA and PKB phosphorylation sites. PKC phosphorylates and activates PDE3A (Pozuelo Rubio et al, 2005).\nThe first potent and selective inhibitor described of PDE3 was cilostamide (Hidaka et al, 1979) and showed potential for application in cardiac disease. This led to the development of amrinone, milrinone, and enoximone. Milrinone (IC50 = 2.1 μM) was the first PDE3 inhibitor developed to improve myocardial contraction in heart failure and safe for short-term use, avoiding death by arrhythmia after chronic use (Lanfear et al, 2009). Another PDE3 inhibitor, cilostazol (IC50 = 0.2 μM) has been approved by the United States Food and Drug Administration (FDA) for the treatment of intermittent claudication and is marketed as Pletal (Real et al, 2018).\nThe cAMP-selective PDE4 family is arguably the most studied family. The more than 25 human isoforms (50–125 kDA; Paes et al, 2021b) are encoded by 4 genes: PDE4A (hcl: 19p13.2), PDE4B (hcl: 1p31), PDE4C (hcl: 19p13.1), and PDE4D (hcl: 5p12). These genes feature different promoters and are subject to alternative mRNA splicing. Although the expression of all predicted splice variants of the PDE superfamily in general is a matter of debate, there is evidence that many of the PDE4 isoforms are expressed as functional proteins in various human tissues, including the brain, heart, and immune cells, supporting their role as genuine protein products rather than hypothetical precursors, possibly unlike other PDE subtypes (Bolger, 1994; Conti, 2000; Houslay and Adams, 2003; Baillie, 2009).\nPDE4 variants contain 2 unique stretches of amino acids called upstream conserved region (UCR) 1 and UCR2 (Beard et al, 2000; Fig. 2). The so-called “long” PDE4 isoforms contain both UCR1 and UCR2, whereas the “short” isoforms are N-terminally truncated and contain only UCR2, and even shorter (“super-short”) isoforms lack either a portion or the entirety of the UCR2 element (Paes et al, 2021b; Kyurkchieva and Baillie, 2023). Allosteric PDE4 activity regulation is detailed in section Allosteric Mechanisms for Regulating Cyclic Nucleotide Hydrolysis by PDEs. The catalytic region contains an extracellular signal-regulated kinase (ERK) phosphorylation site for the activation of PDE4 short forms and inhibition of PDE4 long forms (Baillie et al, 2000; Houslay, 2001). Long-form PDE4 variants containing UCR1 and UCR2 can form dimers, which involve the UCRs (Bolger et al, 1993; Bolger et al, 2015). PDE4 variants are localized to specific subcellular nanodomains by A-kinase anchoring proteins (AKAP; Dodge et al, 2001). PDE4s interact directly with many other intracellular proteins, thereby defining the PDE4 interactome.\nRolipram (IC50 = 5 μM) and Ro 20-1724 (IC50 = 18 μM) were the first inhibitors shown to be highly selective for PDE4 (Lugnier et al, 1986; Reeves et al, 1987). Thereafter, pharmaceutical companies synthesized many PDE4 inhibitors, particularly, as anti-inflammatory agents (Houslay et al, 2005; Warren et al, 2023). Some of these inhibitors have been approved for medicinal use and are described in the section Physiology and Clinical Development.\nPDE5 specifically hydrolyses cGMP and is encoded by 1 gene PDE5A (hcl: 4q27) with 3 variants being expressed: PDE5A1 (100 kDa), PDE5A2 (95 kDa), and PDE5A3 (95 kDa). Their N-termini contain tandem GAF-A and GAF-B domains (Fig. 2). Only the GAF-A domain binds cGMP (Turko et al, 1998), promoting protein kinase G (PKG)-catalyzed PDE5 phosphorylation (Nakamura et al, 2018). This prompts catalytic activity and increases cGMP-binding affinity converting PDE5 (see section PDE Regulation of Cardiac Function Through cGMP for further details). Zaprinast (M&B 22948) was the first PDE5 inhibitor described (IC50 = 0.4 μM; Lugnier et al, 1986), followed by sildenafil (Viagra), the first clinically used oral PDE5 inhibitor (IC50 = 4 nM; Boolell et al, 1996; Ballard et al, 1998). Zaprinast also inhibits PDE9 with an IC50 value of 35 μM (Fisher et al, 1998), and sildenafil’s IC50 is only 10-fold to 80-fold lower for PDE5 than for PDE1 and PDE6, respectively. More selective PDE5 inhibitors are vardenafil, tadalafil, and avanafil (Andersson, 2018). However, tadalafil has an affinity for PDE11 that is about 20 times lower than for PDE5 (Weeks et al, 2009). Thus, there is still a need to develop more selective PDE5 inhibitors. The use of molecular fingerprint-based virtual screening protocols and structure-based pharmacophore development could facilitate the identification of more selective compounds (Kayik et al, 2017).\nThe cGMP-selective PDE6 family consists of 3 genes that encode catalytic subunits (PDE6A, PDE6B, and PDE6C) that are expressed at high concentrations in rod and cone photoreceptors in the retina [for a recent review, see Cote (2021)]. PDE6A (also referred to as the α-subunit) and PDE6B (β-subunit) are localized to rod photoreceptor cells, whereas PDE6C (α’-subunit) is expressed in cone photoreceptor cells. PDE6 catalytic subunits (and other components of the visual signaling pathway) have also been identified in the pineal gland (Carcamo et al, 1995). The PDE6 family is unique in several respects: (1) rod PDE6 is the only PDE that can form a heterodimer (αβ), (2) enzyme regulation is mediated by binding of regulatory γ-subunits (PDE6G (rod, γ) and PDE6H (cone, γ’) that inhibit the catalysis of cGMP in the nonactivated state, (3) activation of the PDE6 holoenzyme (αβγγ or α’α’γ’γ’) results upon binding of the photoreceptor G-protein α-subunit (GNAT1 in rods, GNAT2 in cones) and displacement of the γ-subunit from the enzyme active site, (4) activated PDE6 is the only PDE family that catalyzes cGMP hydrolysis at a diffusion-controlled rate, (5) the C-terminus of each catalytic subunit is prenylated, conferring tight association of PDE6 with the membrane, and (6) the expression and proper assembly of the PDE6 holoenzyme requires a photoreceptor-specific chaperone, aryl hydrocarbon receptor-interacting protein-like 1 (Yadav and Artemyev, 2017; Cote, 2021). It is well established that the rate-limiting step for the activation and deactivation of the visual signaling pathway in photoreceptors is controlled by the kinetics of PDE6 activation and inactivation, respectively (Pugh and Lamb, 2000; Arshavsky and Wensel, 2013). The rapid reduction in cGMP concentration in the photoreceptor cell upon PDE6 activation results in the closure of cyclic nucleotide-gated ion channels and the generation of an electrical response.\nSimilar to PDE5, PDE6 catalytic subunits consist of 2 tandem GAF domains attached to the catalytic domain, and cGMP binding to the GAF-A domain contributes to the allosteric regulation of the holoenzyme (Kameni Tcheudji et al, 2001; Zhang et al, 2008c). The molecular organization of the PDE6 holoenzyme has revealed that the inhibitory γ-subunits bind to the catalytic dimer in an extended conformation that interacts with each of the GAF and catalytic domains (Gulati et al, 2019; Irwin et al, 2019). The pharmacological properties of PDE6 are similar in many respects to PDE5 (as described in the previous section), with zaprinast being notable for having a 10-fold higher affinity for rod and cone PDE6 compared with PDE5 (Zhang et al, 2005c).\nThe PDE7 family specifically hydrolyses cAMP. There is no known regulatory domain in the N-terminal region (Fig. 2). This family includes 2 genes, PDE7A (hcl: 8q13) and PDE7B (hcl: 6q23-q24), with alternative splicing for PDE7A giving rise to PDE7A1 (57 kDa), PDE7A2 (50 kDa), and PDE7A3 (50 kDa). PDE7A3 lacks a part of the catalytic domain structure and retains the capacity of PDE7A1 to interact and inhibit the catalytic subunit of PKA. Four alternative splice PDE7B transcripts have been identified, of which PDE7B1 and PDE7B3 show 2 putative phosphorylation sites for PKA. Although PDE7B protein is expressed in various cell types, endogenous translation has not been confirmed for all predicted splice variants. Yet, no endogenous PDE7B proteins have been detected. IC242 was the first selective PDE7 inhibitor to be reported (IC50= 0.84 μM; Lee et al, 2002), and several new PDE7 inhibitors have been listed since (Zorn and Baillie, 2023).\nThe PDE8 isoenzyme family specifically hydrolyses cAMP with the highest affinity among all PDEs. It is encoded by PDE8A (hcl: 15q25.3) and PDE8B (hcl: 5q13.3). The primary structure of PDE8 includes N-terminal response regulator receiver (REC), Per-Arnt-Sim (PAS), and 3 putative PKA and PKG phosphorylation sites (Fig. 2). Various splice variants exist. PDE8A1, the longest (93 kDa) and most frequently expressed variant, contains REC and PAS domains. PDE8A2 lacks the PAS domain, whereas PDE8A3 and the truncated PDE8A4 and PDE8A5 lack both REC and PAS domains (Wang et al, 2001). PDE8B1 and PDE8B4 contain both REC and PAS domains, whereas PDE8B2 and PDE8B3 have a deletion in the PAS domain (Gamanuma et al, 2003). IκB proteins activate PDE8A1 through interaction with the PAS domain. Interestingly, PDE8A regulates the Raf-1 and ERK signaling networks (Ahmad et al, 2015). PF-04957325 is a selective PDE8 inhibitor with possible application in airway disease and autoimmune encephalomyelitis (see section The Role of PDEs in Specific Immune Cell Types; Johnstone et al, 2018; Basole et al, 2022).\nThe PDE9 family specifically hydrolyses cGMP with the highest affinity among all PDE families. Twenty-one N-terminal mRNA variants can be encoded by a single gene, PDE9A (hcl: 21q22.3), along with 3 PDE9A protein isoforms that are much larger than the predicted molecular weight of these mRNA variants [named by molecular weight: PDE9X-100, PDE9X-120, and PDE9X-175; Patel et al (2018)]. No regulatory function or phosphorylation of the N-terminal domain has been reported. PDE9A isoforms are differentially expressed and subcellularly localized in various tissues, and this changes with age (Wang et al, 2003b; Patel et al, 2018). PDE9A inhibitor BAY 73-6691 has 25-fold selectivity for the target over all other PDEs (Wunder et al, 2005). Orally available, brain-penetrant PDE9A inhibitors, BI-409306 and PF-04447943, have been developed for use in age-related cognitive decline (see section PDE Isoforms, Cognitive Impairment, and Alzheimer).\nPDE10 represents a dual-substrate family of enzymes encoded by the gene, PDE10A. Human PDE10A maps to chromosome 6q26-27. There are 18 splice variants that can be derived from PDE10A (PDE10A1 to PDE10A19; MacMullen et al, 2016). The deduced amino acid sequence contains 779 amino acids (88 kDa), including 2 GAF domains in the N-terminal region (Fujishige et al, 2000; Fig. 2). In contrast to other PDEs, the GAF-A domain apparently binds only cAMP. Due to its kinetic properties for cAMP and cGMP hydrolysis, cGMP hydrolysis by PDE10 is potently inhibited by cAMP and thus opposite to PDE3. Papaverine (IC50= 36 nM; Tian et al, 2011) and PF-2545920 are PD10A inhibitors, and were reported to cause seizures through neuronal excitability enhancement (Zhang et al, 2017c). Various possible clinical applications are highlighted in the section Physiology and Clinical Development.\nThe dual-substrate PDE11 isoenzyme family has a catalytic site more similar to PDE5 than to PDE10A. Four N-terminal variants are encoded by the PDE11A gene, which maps to human chromosome 2 (2q31.2): PDE11A1 to PDE11A4. PDE11A1 (491 amino acids; predicted molecular mass 56 kDa) was cloned from human skeletal muscle and contains a partial GAF-B domain. PDE11A2 (65.8 kDa) and PDE11A3 (78 kDa) contain a complete GAF-B domain, with PDE11A3 also containing an incomplete GAF-A domain in the N-terminal region. PDE11A4 (100 kDa) is the longest protein within this family and includes 2 full GAF domains and multiple phosphorylation sites within the N-terminal region (Fawcett et al, 2000; Yuasa et al, 2000; Pilarzyk et al, 2022). The PDE11A4 GAF-A domain allosterically binds cGMP (Gross-Langenhoff et al, 2006). The degradation-resistant cGMP analog Rp-8pCPT-PET-cGMP binds the GAF-A domain to stimulate the catalytic activity of PDE11A4, but cGMP binding does not (Jager et al, 2012). The GAF-B domain is involved in oligomerization of the enzyme (Weeks et al, 2007). Reports of PDE11A expression at the protein level are highly contradictory, probably due to antibody nonspecificity and species differences (Kelly, 2015). Tissue and species differences in PDE11A isoforms have been abundantly reported (Kelly, 2015, 2018b; Pilarzyk et al, 2022; Sbornova et al, 2023). The first published selective PDE11A inhibitors were identified using a, which showed a moderate affinity for PDE11A (Ceyhan et al, 2012). With the help of yeast-based high-throughput assays that yielded inhibitors with IC50 of 0.11–0.33 μM, the compounds BC11–28 and BC11–38 have been identified, showing highly selective inhibition (>350-fold selective for PDE11A vs other PDE families). Improvement of potency and pharmacokinetic properties based on these scaffolds is ongoing (Mahmood et al, 2023).\n\n\n### PDE1 family\nPDE1, initially named CaM-PDE, represents the sole family that is Ca2+-dependently regulated via CaM (a 16 kDa Ca2+-binding protein complexed with 4 Ca2+ ions). The PDE1 isoenzyme family is encoded by 3 genes: PDE1A (mapped on human chromosome 2q32), PDE1B (human chromosome location (hcl): 12q13), and PDE1C (hcl: 7p14.3). More than 10 human isoforms have been identified with molecular weights that vary from 58 to 86 kDa per monomer. The N-terminal regulatory domain contains 2 Ca2+/CaM-binding domains and 2 phosphorylation sites that modulate the biochemical activity of these enzymes (Fig. 2). PDE1A and PDE1B preferentially hydrolyze cGMP, whereas PDE1C hydrolyzes cAMP and cGMP with similar Km values. Phosphorylation of PDE1A1 (59 kDa) and PDE1A2 (61 kDa) by PKA, and phosphorylation of PDE1B1 by CaM kinase II, decreases their sensitivity to Ca2+ and CaM and, thereby, reduces PDE1 activity (Zhao et al, 1997). PDE1 isoenzymes are mainly cytosolic, although PDE1A has been found in the nucleus where it contributes to the regulation of transcription factor activity and epigenetic control of gene transcription (Abusnina et al, 2011). Very few selective PDE1 inhibitors are available. To be effective, PDE1 inhibitors must inhibit both basal- and CaM-activated activity. Nimodipine was the first compound with this property, acting in the micromolar range (Epstein et al, 1982; Keravis and Lugnier, 2012). Dioclein followed, showing to relax the human saphenous vein (Goncalves et al, 2009). Nowadays, IC86340 (PDE1A/PDE1C) and lenrispodun (ITI-214) are available as selective inhibitors with submicromolar potency (Maurice et al, 2014; Wennogle et al, 2017).\n\n\n### PDE2 family\nThe PDE2 family, formerly cGS-PDE (Martins et al, 1982; Yamamoto et al, 1983), consists of a single gene (hcl: 11q 13.4) that produces 3 splice variants of dual cAMP and cGMP hydrolyzing enzymes: cytosolic PDE2A1 (Sonnenburg et al, 1991) and membrane-bound PDE2A2 and PDE2A3 (Rosman et al, 1997). The N-termini direct these isoenzymes to their different subcellular locations. The N-terminal domain has 2 cGMP-binding domains, GAF-A and GAF-B (Fig. 2). The GAF-A domain mediates PDE2 dimerization. GAF-B binds cGMP allosterically (1–5 μM), positively stimulating cAMP hydrolysis up to 30-fold with Km values from 10 to 30 μM (Lugnier and Schini, 1990). EHNA (IC50 = 2 μM) was the first PDE2 inhibitor (Duncan et al, 1982; Méry et al, 1995; Podzuweit et al, 1995; Masood et al, 2009). Later, Bay 60-7550 (IC50 = 4.7 nM) was discovered, effective only against cGMP-activated PDE2 (Boess et al, 2004; Masood et al, 2009). PDE2 inhibitor ND7001 was patented (WO2004041258-A2) and inhibits both basal- and cGMP-stimulated PDE2 (Masood et al, 2009), putatively the most effective tool to inspect the role of PDE2 in cellular signaling (Lueptow et al, 2016).\n\n\n### PDE3 family\nThe PDE3 family, formerly cGI-PDE, is encoded by 2 genes: PDE3A (hcl: 12p12) and PDE3B (hcl: 11p15.1). Three variants are expressed for PDE3A: PDE3A1 (136 kDa), PDE3A2 (118 kDa), and PDE3A3 (94 kDa), whereas only a single PDE3B1 (137 kDa) variant has been identified, despite PDE3B of various sizes having been reported. PDE3 hydrolyses both cAMP and cGMP, and a unique 44-amino acid insert in the catalytic domain is present, which is different between PDE3A and PDE3B (Ahmad et al, 2015; Fig. 2). The Vmax for cAMP hydrolysis is 10-fold higher than for cGMP hydrolysis. cGMP has a higher affinity for PDE3 than cAMP and is a competitive inhibitor of cAMP hydrolysis (Lugnier, 2006). Accordingly, PDE3 participates in cAMP/cGMP cross-talk (Lugnier et al, 1999a). The PDE3 variants possess N-terminal hydrophobic membrane association regions allowing the targeting of PDE3 to various specific intracellular domains (Keravis and Lugnier, 2012). PDE3 is located in the cardiac sarcoplasmic reticulum (SR; Lugnier et al, 1993), cardiac nuclear envelope, near nucleopore complexes (Lugnier et al, 1999b), and in liver Golgi endosomal fraction (Geoffroy et al, 2001). A PKA phosphorylation site is present in PDE3A1 and PDE3A2 for activation, acting as negative feedback for cAMP signaling, whereas an Akt/protein kinase B (PKB) phosphorylation site is only present on PDE3A1 (Wechsler et al, 2002) to promote 14-3-3-protein binding and inhibit phosphatase-catalyzed inactivation (Palmer et al, 2007). PKB-dependent phosphorylation also activates PDE3B. PDE3A3 lacks PKA and PKB phosphorylation sites. PKC phosphorylates and activates PDE3A (Pozuelo Rubio et al, 2005).\nThe first potent and selective inhibitor described of PDE3 was cilostamide (Hidaka et al, 1979) and showed potential for application in cardiac disease. This led to the development of amrinone, milrinone, and enoximone. Milrinone (IC50 = 2.1 μM) was the first PDE3 inhibitor developed to improve myocardial contraction in heart failure and safe for short-term use, avoiding death by arrhythmia after chronic use (Lanfear et al, 2009). Another PDE3 inhibitor, cilostazol (IC50 = 0.2 μM) has been approved by the United States Food and Drug Administration (FDA) for the treatment of intermittent claudication and is marketed as Pletal (Real et al, 2018).\n\n\n### PDE4 family\nThe cAMP-selective PDE4 family is arguably the most studied family. The more than 25 human isoforms (50–125 kDA; Paes et al, 2021b) are encoded by 4 genes: PDE4A (hcl: 19p13.2), PDE4B (hcl: 1p31), PDE4C (hcl: 19p13.1), and PDE4D (hcl: 5p12). These genes feature different promoters and are subject to alternative mRNA splicing. Although the expression of all predicted splice variants of the PDE superfamily in general is a matter of debate, there is evidence that many of the PDE4 isoforms are expressed as functional proteins in various human tissues, including the brain, heart, and immune cells, supporting their role as genuine protein products rather than hypothetical precursors, possibly unlike other PDE subtypes (Bolger, 1994; Conti, 2000; Houslay and Adams, 2003; Baillie, 2009).\nPDE4 variants contain 2 unique stretches of amino acids called upstream conserved region (UCR) 1 and UCR2 (Beard et al, 2000; Fig. 2). The so-called “long” PDE4 isoforms contain both UCR1 and UCR2, whereas the “short” isoforms are N-terminally truncated and contain only UCR2, and even shorter (“super-short”) isoforms lack either a portion or the entirety of the UCR2 element (Paes et al, 2021b; Kyurkchieva and Baillie, 2023). Allosteric PDE4 activity regulation is detailed in section Allosteric Mechanisms for Regulating Cyclic Nucleotide Hydrolysis by PDEs. The catalytic region contains an extracellular signal-regulated kinase (ERK) phosphorylation site for the activation of PDE4 short forms and inhibition of PDE4 long forms (Baillie et al, 2000; Houslay, 2001). Long-form PDE4 variants containing UCR1 and UCR2 can form dimers, which involve the UCRs (Bolger et al, 1993; Bolger et al, 2015). PDE4 variants are localized to specific subcellular nanodomains by A-kinase anchoring proteins (AKAP; Dodge et al, 2001). PDE4s interact directly with many other intracellular proteins, thereby defining the PDE4 interactome.\nRolipram (IC50 = 5 μM) and Ro 20-1724 (IC50 = 18 μM) were the first inhibitors shown to be highly selective for PDE4 (Lugnier et al, 1986; Reeves et al, 1987). Thereafter, pharmaceutical companies synthesized many PDE4 inhibitors, particularly, as anti-inflammatory agents (Houslay et al, 2005; Warren et al, 2023). Some of these inhibitors have been approved for medicinal use and are described in the section Physiology and Clinical Development.\n\n\n### PDE5 family\nPDE5 specifically hydrolyses cGMP and is encoded by 1 gene PDE5A (hcl: 4q27) with 3 variants being expressed: PDE5A1 (100 kDa), PDE5A2 (95 kDa), and PDE5A3 (95 kDa). Their N-termini contain tandem GAF-A and GAF-B domains (Fig. 2). Only the GAF-A domain binds cGMP (Turko et al, 1998), promoting protein kinase G (PKG)-catalyzed PDE5 phosphorylation (Nakamura et al, 2018). This prompts catalytic activity and increases cGMP-binding affinity converting PDE5 (see section PDE Regulation of Cardiac Function Through cGMP for further details). Zaprinast (M&B 22948) was the first PDE5 inhibitor described (IC50 = 0.4 μM; Lugnier et al, 1986), followed by sildenafil (Viagra), the first clinically used oral PDE5 inhibitor (IC50 = 4 nM; Boolell et al, 1996; Ballard et al, 1998). Zaprinast also inhibits PDE9 with an IC50 value of 35 μM (Fisher et al, 1998), and sildenafil’s IC50 is only 10-fold to 80-fold lower for PDE5 than for PDE1 and PDE6, respectively. More selective PDE5 inhibitors are vardenafil, tadalafil, and avanafil (Andersson, 2018). However, tadalafil has an affinity for PDE11 that is about 20 times lower than for PDE5 (Weeks et al, 2009). Thus, there is still a need to develop more selective PDE5 inhibitors. The use of molecular fingerprint-based virtual screening protocols and structure-based pharmacophore development could facilitate the identification of more selective compounds (Kayik et al, 2017).\n\n\n### PDE6 family\nThe cGMP-selective PDE6 family consists of 3 genes that encode catalytic subunits (PDE6A, PDE6B, and PDE6C) that are expressed at high concentrations in rod and cone photoreceptors in the retina [for a recent review, see Cote (2021)]. PDE6A (also referred to as the α-subunit) and PDE6B (β-subunit) are localized to rod photoreceptor cells, whereas PDE6C (α’-subunit) is expressed in cone photoreceptor cells. PDE6 catalytic subunits (and other components of the visual signaling pathway) have also been identified in the pineal gland (Carcamo et al, 1995). The PDE6 family is unique in several respects: (1) rod PDE6 is the only PDE that can form a heterodimer (αβ), (2) enzyme regulation is mediated by binding of regulatory γ-subunits (PDE6G (rod, γ) and PDE6H (cone, γ’) that inhibit the catalysis of cGMP in the nonactivated state, (3) activation of the PDE6 holoenzyme (αβγγ or α’α’γ’γ’) results upon binding of the photoreceptor G-protein α-subunit (GNAT1 in rods, GNAT2 in cones) and displacement of the γ-subunit from the enzyme active site, (4) activated PDE6 is the only PDE family that catalyzes cGMP hydrolysis at a diffusion-controlled rate, (5) the C-terminus of each catalytic subunit is prenylated, conferring tight association of PDE6 with the membrane, and (6) the expression and proper assembly of the PDE6 holoenzyme requires a photoreceptor-specific chaperone, aryl hydrocarbon receptor-interacting protein-like 1 (Yadav and Artemyev, 2017; Cote, 2021). It is well established that the rate-limiting step for the activation and deactivation of the visual signaling pathway in photoreceptors is controlled by the kinetics of PDE6 activation and inactivation, respectively (Pugh and Lamb, 2000; Arshavsky and Wensel, 2013). The rapid reduction in cGMP concentration in the photoreceptor cell upon PDE6 activation results in the closure of cyclic nucleotide-gated ion channels and the generation of an electrical response.\nSimilar to PDE5, PDE6 catalytic subunits consist of 2 tandem GAF domains attached to the catalytic domain, and cGMP binding to the GAF-A domain contributes to the allosteric regulation of the holoenzyme (Kameni Tcheudji et al, 2001; Zhang et al, 2008c). The molecular organization of the PDE6 holoenzyme has revealed that the inhibitory γ-subunits bind to the catalytic dimer in an extended conformation that interacts with each of the GAF and catalytic domains (Gulati et al, 2019; Irwin et al, 2019). The pharmacological properties of PDE6 are similar in many respects to PDE5 (as described in the previous section), with zaprinast being notable for having a 10-fold higher affinity for rod and cone PDE6 compared with PDE5 (Zhang et al, 2005c).\n\n\n### PDE7 family\nThe PDE7 family specifically hydrolyses cAMP. There is no known regulatory domain in the N-terminal region (Fig. 2). This family includes 2 genes, PDE7A (hcl: 8q13) and PDE7B (hcl: 6q23-q24), with alternative splicing for PDE7A giving rise to PDE7A1 (57 kDa), PDE7A2 (50 kDa), and PDE7A3 (50 kDa). PDE7A3 lacks a part of the catalytic domain structure and retains the capacity of PDE7A1 to interact and inhibit the catalytic subunit of PKA. Four alternative splice PDE7B transcripts have been identified, of which PDE7B1 and PDE7B3 show 2 putative phosphorylation sites for PKA. Although PDE7B protein is expressed in various cell types, endogenous translation has not been confirmed for all predicted splice variants. Yet, no endogenous PDE7B proteins have been detected. IC242 was the first selective PDE7 inhibitor to be reported (IC50= 0.84 μM; Lee et al, 2002), and several new PDE7 inhibitors have been listed since (Zorn and Baillie, 2023).\n\n\n### PDE8 family\nThe PDE8 isoenzyme family specifically hydrolyses cAMP with the highest affinity among all PDEs. It is encoded by PDE8A (hcl: 15q25.3) and PDE8B (hcl: 5q13.3). The primary structure of PDE8 includes N-terminal response regulator receiver (REC), Per-Arnt-Sim (PAS), and 3 putative PKA and PKG phosphorylation sites (Fig. 2). Various splice variants exist. PDE8A1, the longest (93 kDa) and most frequently expressed variant, contains REC and PAS domains. PDE8A2 lacks the PAS domain, whereas PDE8A3 and the truncated PDE8A4 and PDE8A5 lack both REC and PAS domains (Wang et al, 2001). PDE8B1 and PDE8B4 contain both REC and PAS domains, whereas PDE8B2 and PDE8B3 have a deletion in the PAS domain (Gamanuma et al, 2003). IκB proteins activate PDE8A1 through interaction with the PAS domain. Interestingly, PDE8A regulates the Raf-1 and ERK signaling networks (Ahmad et al, 2015). PF-04957325 is a selective PDE8 inhibitor with possible application in airway disease and autoimmune encephalomyelitis (see section The Role of PDEs in Specific Immune Cell Types; Johnstone et al, 2018; Basole et al, 2022).\n\n\n### PDE9 family\nThe PDE9 family specifically hydrolyses cGMP with the highest affinity among all PDE families. Twenty-one N-terminal mRNA variants can be encoded by a single gene, PDE9A (hcl: 21q22.3), along with 3 PDE9A protein isoforms that are much larger than the predicted molecular weight of these mRNA variants [named by molecular weight: PDE9X-100, PDE9X-120, and PDE9X-175; Patel et al (2018)]. No regulatory function or phosphorylation of the N-terminal domain has been reported. PDE9A isoforms are differentially expressed and subcellularly localized in various tissues, and this changes with age (Wang et al, 2003b; Patel et al, 2018). PDE9A inhibitor BAY 73-6691 has 25-fold selectivity for the target over all other PDEs (Wunder et al, 2005). Orally available, brain-penetrant PDE9A inhibitors, BI-409306 and PF-04447943, have been developed for use in age-related cognitive decline (see section PDE Isoforms, Cognitive Impairment, and Alzheimer).\n\n\n### PDE10 family\nPDE10 represents a dual-substrate family of enzymes encoded by the gene, PDE10A. Human PDE10A maps to chromosome 6q26-27. There are 18 splice variants that can be derived from PDE10A (PDE10A1 to PDE10A19; MacMullen et al, 2016). The deduced amino acid sequence contains 779 amino acids (88 kDa), including 2 GAF domains in the N-terminal region (Fujishige et al, 2000; Fig. 2). In contrast to other PDEs, the GAF-A domain apparently binds only cAMP. Due to its kinetic properties for cAMP and cGMP hydrolysis, cGMP hydrolysis by PDE10 is potently inhibited by cAMP and thus opposite to PDE3. Papaverine (IC50= 36 nM; Tian et al, 2011) and PF-2545920 are PD10A inhibitors, and were reported to cause seizures through neuronal excitability enhancement (Zhang et al, 2017c). Various possible clinical applications are highlighted in the section Physiology and Clinical Development.\n\n\n### PDE11 family\nThe dual-substrate PDE11 isoenzyme family has a catalytic site more similar to PDE5 than to PDE10A. Four N-terminal variants are encoded by the PDE11A gene, which maps to human chromosome 2 (2q31.2): PDE11A1 to PDE11A4. PDE11A1 (491 amino acids; predicted molecular mass 56 kDa) was cloned from human skeletal muscle and contains a partial GAF-B domain. PDE11A2 (65.8 kDa) and PDE11A3 (78 kDa) contain a complete GAF-B domain, with PDE11A3 also containing an incomplete GAF-A domain in the N-terminal region. PDE11A4 (100 kDa) is the longest protein within this family and includes 2 full GAF domains and multiple phosphorylation sites within the N-terminal region (Fawcett et al, 2000; Yuasa et al, 2000; Pilarzyk et al, 2022). The PDE11A4 GAF-A domain allosterically binds cGMP (Gross-Langenhoff et al, 2006). The degradation-resistant cGMP analog Rp-8pCPT-PET-cGMP binds the GAF-A domain to stimulate the catalytic activity of PDE11A4, but cGMP binding does not (Jager et al, 2012). The GAF-B domain is involved in oligomerization of the enzyme (Weeks et al, 2007). Reports of PDE11A expression at the protein level are highly contradictory, probably due to antibody nonspecificity and species differences (Kelly, 2015). Tissue and species differences in PDE11A isoforms have been abundantly reported (Kelly, 2015, 2018b; Pilarzyk et al, 2022; Sbornova et al, 2023). The first published selective PDE11A inhibitors were identified using a, which showed a moderate affinity for PDE11A (Ceyhan et al, 2012). With the help of yeast-based high-throughput assays that yielded inhibitors with IC50 of 0.11–0.33 μM, the compounds BC11–28 and BC11–38 have been identified, showing highly selective inhibition (>350-fold selective for PDE11A vs other PDE families). Improvement of potency and pharmacokinetic properties based on these scaffolds is ongoing (Mahmood et al, 2023).\n\n\n### Structure-activity relationship\nAs reviewed in section Family Organization and Evolutionary Perspective, PDEs are divided into a variable regulatory domain at the N-terminus and a conserved catalytic domain at the C-terminus, and specifically recognize substrates and inhibitors (Conti and Beavo, 2007; Francis et al, 2011; Maurice et al, 2014; Baillie et al, 2019). In the present section, the structure-activity relationships and the exploitation thereof for the design of PDE subtype-selective inhibitors are reviewed.\nThe first atomic-level structure of the PDE4B2B catalytic domain (Xu et al, 2000) is representative of all of the class I PDE catalytic domains (ie, those present in mammals and flies; Ke and Wang, 2007). The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind 2 divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP (Fig. 3). Zn2+ coordinates with His238, His274, Asp275, and Asp392 of PDE4B2B, and 2 water molecules. Mg2+ chelates with Asp274 and 5 water molecules. The folding of the catalytic domain and metal interactions is conserved in all PDE families (Ke and Wang, 2006). Binding of the substrate in the active site, a conserved hydrophobic pocket, is stabilized not only by the hydrogen bond with invariant glutamine but also by interactions between the substrate’s purine ring and several hydrophobic residues residing in the, so-called, “hydrophobic clamp” (Ke et al, 2011) that positions the cyclic monophosphate group for hydrolysis of the phosphodiester bond by a nucleophilic attack (Wang et al, 2007a). For example, Phe372 stacks against the purine ring of cAMP in the structures of PDE4D2-AMP and D201N PDE4D2-cAMP on 1 side (Fig. 4C), whereas Phe340 and Ile336 make hydrophobic interaction with the purine on the other side (Wang et al, 2007a). The highly conserved hydrophobic pocket is primarily responsible for the high affinity and selectivity of family specific PDE inhibitors (Ke and Wang, 2007), as exemplified by the PDE4B2B—inhibitor NPV interaction that is called the “hydrophobic slot” (Hartley, 1964; Wang et al, 2007a). In contrast, several “subpockets” were proposed for the binding of PDE family selective inhibitors, as discussed in the later sections.Fig. 3The catalytic domain of PDE4B2B in complex with NPV. This folding is conserved in the catalytic domains of all PDE families. The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind two divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP to their linear form. The 10-membered ring of NPV stacks against the benzyl ring of Phe446 on 1 side and interacts with hydrophobic residues of Ile410 and Phe414 on another side (Wang et al, 2007b).Fig. 4Structures of PDE4. (A) Ribbon model of catalytic domain of PDE4D in complex with 5′-AMP [PDB code of 1PTW; adapted from Huai et al (2003) and Wang et al (2008b)]. Gray and pink spheres are zinc and magnesium, respectively. Sticks represent 5′-AMP. (B). Interaction of metal ions with 5′-AMP. (C) Surface representation of the active site of D201N PDE4D mutant in complex with substrate cAMP [PDB code, 2PW3 (Wang et al, 2007b)]. Phe372 on 1 side of the purine ring and Phe230 and Ile336 on another side form the “hydrophobic clamp.” The invariant Gln369 forms a hydrogen bond with substrate cAMP.\nThe catalytic domain of PDE4B2B in complex with NPV. This folding is conserved in the catalytic domains of all PDE families. The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind two divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP to their linear form. The 10-membered ring of NPV stacks against the benzyl ring of Phe446 on 1 side and interacts with hydrophobic residues of Ile410 and Phe414 on another side (Wang et al, 2007b).\nStructures of PDE4. (A) Ribbon model of catalytic domain of PDE4D in complex with 5′-AMP [PDB code of 1PTW; adapted from Huai et al (2003) and Wang et al (2008b)]. Gray and pink spheres are zinc and magnesium, respectively. Sticks represent 5′-AMP. (B). Interaction of metal ions with 5′-AMP. (C) Surface representation of the active site of D201N PDE4D mutant in complex with substrate cAMP [PDB code, 2PW3 (Wang et al, 2007b)]. Phe372 on 1 side of the purine ring and Phe230 and Ile336 on another side form the “hydrophobic clamp.” The invariant Gln369 forms a hydrogen bond with substrate cAMP.\nPerhaps the best-studied structural elements hypothesized to regulate catalytic activity of PDEs are the flexible H-loop (including 2 short α-helices) and the flexible M-loop [the flexible region between α14 and α15; for review see Ke and Wang (2007)]. Alignments of the catalytic domains of the entire superfamily suggest the involvement of these flexible regions in the regulation of substrate diffusion into the enzyme active site due to their vicinity to the entrance (Ke and Wang, 2007; Huang et al, 2015). However, the mechanisms for restricting substrate diffusion into the catalytic center differ between PDE families. Specific for PDE4, an α-helix downstream of the α16 helix in the catalytic domain putatively participates in phosphorylation-dependent auto-inhibition. The H- and M-loop can also undergo major conformational changes upon binding of PDE inhibitors to the active site, emphasizing their pharmacological importance in structure-aided drug design. In the following sections, we examine in detail the allosteric regulation of several PDE families with an emphasis on how knowledge of atomic-level PDE structures can inform and guide efforts to rationally design novel, family, and isoform-selective PDE inhibitors.\nStructure studies (Martinez et al, 2002; Pandit et al, 2009) have revealed that cGMP binding at a flexible binding pocket within the GAF-B domain induces structural changes to enhance cGMP affinity. The X-ray structure of PDE2A (Pandit et al, 2009) shows that the 2 catalytic subunits cross over at the juncture of the GAF-B and catalytic domains (Fig. 5). The H-loop (residues Gly702–Ser724 of PDE2A) from the opposite subunit is in proximity to, and restricts substrate access to, the active site of each monomer. Binding of the inhibitor BAY 60-7550 to the active site caused an outward movement (and change in conformation) of the H-loop (Zhu et al, 2013). It has been hypothesized that cGMP binding to the GAF-B domain induces conformational changes within GAF-B, which after propagation through the α-helix and the adjacent catalytic domain changes the H-loop conformation to enhance substrate entry and, thus, its catalysis (Pandit et al, 2009; Zhu et al, 2013). This thesis awaits confirmation.Fig. 5Structure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nStructure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nThe structure of PDE2 in complex with BAY 60-7550 (Fig. 5C) identified a hydrophobic pocket consisting of Leu770, Ile866, and the hydrophobic side chains of The805 and Asp808 (Fig. 5C; Zhu et al, 2013). This knowledge may enable the design of PDE2-selective inhibitors in the future, as evidenced by the subsequent discovery of a novel PDE2 inhibitor (Qiu et al, 2018).\nPDE2A is widely expressed, and most abundant in the brain (Lakics et al, 2010), implying application in CNS disorders, eg, depression and anxiety (Masood et al, 2009; Xu et al, 2013; Zhang et al, 2015). Because past studies were hampered by the lack of selective and brain-penetrant compounds further inhibitor design is required.\nThere is ample information to support the idea that PDE5 forms a homodimer with an overall domain organization similar to those of PDE2 (Fig. 5A) and PDE6 (Francis et al, 2006; Schultz, 2009; Ahmed et al, 2021; Cote et al, 2022). For the 5 PDE families containing 2 tandem GAF regulatory domains [GAF-A and GAF-B (Pfam PF01590); Aravind and Ponting (1997)], only 1 GAF domain per monomer binds cyclic nucleotides: cGMP binds to GAF-A in PDE5 PDE6, and PDE11 and to GAF-B in PDE2, whereas cAMP binds to GAF-B in PDE10 (Zoraghi et al, 2004; Heikaus et al, 2009; Schultz, 2009; Jager et al, 2012).\nPDE5 catalytic activity is modulated by 3 allosteric mechanisms. First, PDE5 catalytic activity is stimulated upon binding of cGMP to noncatalytic sites localized to the GAF-A domain. The GAF-A binding site undergoes a major, local conformational change upon cGMP binding (Heikaus et al, 2008) that is allosterically communicated to the catalytic domain to cause an increase in cGMP hydrolysis. This allosteric effect is reciprocal in that occupancy of the PDE5 active site enhances the affinity of cGMP binding to GAF-A. In addition, cGMP binding to GAF-A stimulates phosphorylation of a serine residue in the N-terminal region that precedes the GAF-A domain; this effect is also reciprocal in that phosphorylation of PDE5 at this site enhances cGMP binding affinity to GAF-A and, in a cooperative manner, stimulates catalytic activity [for a comprehensive review, see Francis et al (2011)]. Delineation of the allosteric communication pathway from the regulatory to the catalytic domains of PDE5 awaits determination of the atomic structure of the full-length enzyme and identification of ligand-induced conformational changes.\nThe second intrinsic mechanism for allosteric regulation of PDE5 catalysis is observed in local conformational changes of the flexible elements around the active site (Fig. 6). The most important of these is the H-loop (residues 661–678 of PDE5A1) that adopts different conformations upon binding different inhibitors (Wang et al, 2006). The ligand-free H-loop has a coiled conformation and migrates dramatically to form a small 310 helix upon binding of IBMX or sildenafil (Fig. 6A). Binding of the natural product, icarisid II (purified from the Chinese herb Ying Yang Hu which is known to promote sexual activity of goats) induced the formation of 2 short anti-parallel β-strands in the H-loop (Fig. 6A). In addition, sildenafil and vardenafil—2 PDE5 inhibitors with similar molecular structures—induce completely different conformational changes in both the H-loop and the adjacent M-loop motif [residues 790–810; see Fig. 5B, adapted from Wang et al (2008b)], possibly explaining their distinctive affinity for PDE5 and their physiological effects.Fig. 6Conformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nConformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nA third mechanism of regulating PDE5 activity has been identified for the allosteric inhibitor evodiamine, which upon binding to a site adjacent to the active site (Fig. 7) induces conformational changes in the active site (Zhang et al, 2020c). Binding of evodiamine displaces several water molecules occupying the unliganded binding site and induces conformational changes to the H-loop at the active site (Fig. 7C).Fig. 7Binding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nBinding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nUCR1 and UCR2 participate in regulating cAMP hydrolysis in a coordinated manner. In long isoforms of PDE4, UCR1 and UCR2 interact to form a regulatory unit in which the C-terminal portion of UCR2 folds onto the catalytic domain and blocks substrate access to the active site (Burgin et al, 2010; Cedervall et al, 2015). As mentioned above, occlusion of the active site can also occur when a C-terminal α-helix folds onto the active site (Burgin et al, 2010).\nThe 4 genes that comprise the PDE4 family have very high (∼78%) sequence identity within the 340 amino acids of the catalytic domain. This is also reflected in the structural superposition of the catalytic domains of PDE4D with PDE4A, PDE4B, and PDE4C (root-mean-squared deviations of 0.67, 0.73, and 0.64 Å for the Cα atoms; [Wang et al, 2007a]). Consequently, most PDE4 inhibitors do not discriminate between the 4 members of this family in their affinity for binding to the catalytic pocket. After it was suggested that inhibition of PDE4D produces many of the side-effects of the PDE4 inhibitor rolipram, developing family selective PDE4 inhibitors, especially against PDE4B, became an important medicinal chemistry objective (Azam and Tripuraneni, 2014). Moreover, attention has more recently turned toward the therapeutic potential of allosteric inhibitors that are more likely to bind specifically to a member of the PDE4 subfamily and may display an improved therapeutic ratio.\nTwo examples of modulators of PDE4 catalytic activity that are not simple competitive inhibitors at the enzyme active site are D 155871 (Burgin et al, 2010) and zatolmilast (BPN 14770; Gurney et al, 2019), both of which inhibit the long forms of PDE4D. Binding of D 155871 to the active site of PDE4D (Fig. 8) induces dramatic migration of an α-helix of UCR2 from the back of the catalytic domain to cover the active site. However, it remains unclear if allosteric PDE4 inhibitors will have therapeutic applications.Fig. 8The structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe PDE9 catalytic subunit consists of a coiled N-terminal region and a conserved catalytic domain at the C-terminus and exists as a dimer. The crystal structure of PDE9 reveals that the catalytic sites in the 2 subunits have slightly different shapes, leading to different binding conformations of the same inhibitor in the dimer (Huang et al, 2015).\nExamination of inhibitor binding suggests that a small “M-pocket” may determine the selectivity of PDE9 inhibitors (Huang et al, 2015). The M-pocket is in an open conformation in PDE9, enabling large functional groups such as benzene to bind (Fig. 9A). In contrast, sequence alignment of PDEs in the vicinity of the M-pocket (Fig. 9C) illustrates that Phe441 and Ala452 of PDE9 (that serve as gates for the M-pocket) are substituted with bulky side chains in PDE5 (Leu804 and Met816) that would allow only small functional groups to penetrate into the M-pocket, as shown for the ethoxy group in the PDE5-sildenafil crystal structure (Wang et al, 2008b). In the case of the PDE8A1 structure (Wang et al, 2008a), the M-pocket is too small to accommodate binding of the PDE9 inhibitor, C33, providing a structural basis for the observed selectivity of C33 over PDE5 and PDE8 (Huang et al, 2015). In summary, the M-pocket of PDE9 may be an excellent target for the structure-aided design of highly selective PDE9 inhibitors.Fig. 9The M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\nThe M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\nIn addition to cyclic nucleotide binding, post-translational modifications, and the various pharmacological PDE inhibitors that have been characterized, other methods of altering PDE activity have been used as research tools, namely: (1) techniques for PDE depletion, (2) activators or methods that upregulate PDE protein, and (3) techniques that displace a defined PDE “pool” from 1 specific nanodomain within a cell.\nTo define the role of specific PDEs, overexpression by constructs encoding full-length PDE proteins or, conversely, gene silencing using antisense or small interfering (si) RNA oligonucleotides has been employed. Detrimental to interpretation, overexpression can lead to aberrant cellular localization of the enzyme, and as is apparent from earlier sections of this review (see sections PDE1 Family and PDE11 Family), the localization of a cAMP-PDE is central to its function. Antisense oligonucleotides offered the first method to specifically target PDE isoforms (Epstein, 1998), and this approach has also been used to target different PDE families concomitantly for therapeutic benefit (Fortin et al, 2009). Soon, the development of siRNA sequences to evaluate the functional relevance of a variety of PDEs followed, as exemplified by PDE2, PDE4D, PDE7, and PDE8 (Pekkinen et al, 2008; Li et al, 2011; Hiramoto et al, 2014).\nAnother method for PDE silencing that has come to the fore recently is CRISPR/Cas9. It has been used to characterize the differential roles of PDE2A isoforms and PDE3A in shaping cAMP dynamics in neonatal and adult rat cardiomyocytes following β-adrenoceptor stimulation (Skryabin et al, 2023). The ability to pinpoint isoforms rather than subfamilies or families may lead to the development of therapies that result in fewer side-effects. This is particularly relevant for PDE4D isoforms in Alzheimer disease (AD) where a body of work using knock-out animals (Li et al, 2011), dominant negatives (Bolger et al, 2020), siRNA (Li et al, 2011), and PDE4D-selective inhibitors (Ricciarelli et al, 2017) has identified the subfamily as playing a crucial role. Recently, CRISPR/Cas9 genome editing has determined that specific silencing of the long PDE4D isoforms, PDE4D3, D5, D7, and D9, confers protection against β-amyloid-induced reductions in neuronal plasticity (Paes et al, 2023).\nMicroRNAs (miRNA) are endogenous regulators of protein expression. Specific miRNA has been identified for PDE4 in synovial fibroblasts modulating proinflammatory processes (Wade et al, 2019), PDE3 in cerebral microvascular endothelial cells affecting cognitive decline in cerebral small vessel disease (Yasmeen et al, 2019) and PDE1 in lung fibroblasts where the miRNA is protective against lung fibrosis (Ren et al, 2017). miRNAs are, themselves, known to be regulated by long noncoding RNAs (lncRNA) and lncRNA GAS5 “sponges” miRNA that prevents the translation of PDE4B2 to increase expression of the PDE, preventing the accumulation of lipid in cell models of nonalcoholic fatty liver disease (Xu et al, 2022).\nBesides targeting DNA and RNA, there is a novel way to specifically reduce the activity of active enzymes in a cell via targeted protein degradation. This involves a small molecule that can link the enzyme of interest to the ubiquitin proteasome system by anchoring a ubiquitin E3 ligase close to the target. These small-sized molecules, of which the pharmacokinetic properties can be optimized for use in vivo, partly independently of Lipinski’s rule of 5, have been termed proteolysis targeting chimeras (PROTACs) and are now in phase II clinical trials for oncology (Wang et al, 2023). PROTACs appear to be ideal as PDE inhibitors (Konstantinidou et al, 2019). First, because rather than relying on the constant presence of high concentrations, a reason inhibitors cause side effects, to warrant occupation of the active site, PROTACS deactivates the PDE in 1 event. Second, protein degradation attenuates the enzymatic and nonenzymatic functions, allowing also the inhibition of PDEs as scaffolds for protein interactions (Susuki-Miyata et al, 2015). Finally, as the PROTAC molecule is formed of 3 integral units (warhead, linker, and E3 recruiter molecule), enhanced selectivity and potency can be engineered into the structural design via molecular modeling, providing a better opportunity for isoform specificity.\nPROTACs that evoke degradation of the Kirsten Rat Sarcoma Virus (KRAS)-shuttling PDE6δ, a PDE6 subunit without enzymatic function, results in mislocalization of KRAS preventing its activation (Zhang et al, 2005a; Cheng et al, 2020; Teng et al, 2022). This has been a promising strategy to treat KRAS mutation-related cancer. “SNIPER” protein erasers demonstrated that a PDE4 inhibitor could be used as a warhead to colocalize E3 ubiquitin ligases for PDE4 degradation (Ohoka et al, 2017). The work might inspire the development of PROTACS for the other families.\nCellular expression of cAMP-PDEs is often low but highly localized in order to shape cAMP in nanodomains (Baillie, 2009). Peptide disruptors that relocate cAMP-PDEs allow researchers to define the role of specific isoforms [reviewed in Blair and Baillie (2019), Lee et al (2013)]. As single isoforms can exist in more than 1 cellular locale and have multiple functions depending on proximity to various cAMP effector proteins (eg, PDE4D5; Wills et al (2016)], displacement is the only method that takes compartmentalization into account. This benefit was demonstrated recently when revealing the role of PDE4-Popeye domain-containing 1 interaction in nanodomain calcium transient regulation for sinoatrial pace-making (Tibbo et al, 2022). The use of a pan-PDE4 inhibitor would not have been as effective due to pools of various PDE4 subfamilies and isoforms associated with cardiac calcium handling (Maurice et al, 2014).\nThe use of catalytically dead, dominant-negative PDEs that displace endogenously active forms is applicable in transfected cell lines (McCahill et al, 2005) and whole organism models of disease (McGirr et al, 2016; Bolger et al, 2020). Although this approach involves PDE displacement, it also relies on overexpression; hence, it is likely all complexes containing the PDE of interest being overexpressed as a dominant negative will be disrupted concomitantly, limiting the deconvolution of data pertaining to compartmentalized responses. In the case of PDE11A, compartmentalization can be changed by disrupting homodimerization via the expression of its isolated GAF-B domain or by phosphorylation of select residues in its regulatory N-terminal domain, both of which are sufficient to alter memory formation in mice [see II Chapter 2, E 1k for more detail; (Pathak et al, 2017; Pilarzyk et al, 2022, Pilarzyk et al, 2023)].\nRecently, Mironid developed small molecules that activate PDE4 via allosteric binding to the UCR 1/2 regions to lock the long-form dimer in the “open” conformation (Omar et al, 2019). Activation of PDE4 long-forms in this way is sufficient to counteract chronic cAMP elevation. Application in polycystic kidney disease and prostate cancer has been proposed for these compounds (Hansen et al, 2022; Gulliver et al, 2023). This activation mechanism has been observed historically with lipids (Grange et al, 2000) and peptides (Wang et al, 2015a), and now, the small molecules have opened the door for the development of therapies that require PDE activation. Another technologically advanced way to enhance the protein stability of active enzymes is by using the converse approach to PROTACs. Targeted protein stabilization using deubiquitinase-targeting chimeras can stabilize target proteins by preventing them from engaging with the proteosome (Henning et al, 2022). This relatively new approach for selective PDE isoform activation holds promise for the future.\n\n\n### Regulation of catalytic domain\nThe first atomic-level structure of the PDE4B2B catalytic domain (Xu et al, 2000) is representative of all of the class I PDE catalytic domains (ie, those present in mammals and flies; Ke and Wang, 2007). The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind 2 divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP (Fig. 3). Zn2+ coordinates with His238, His274, Asp275, and Asp392 of PDE4B2B, and 2 water molecules. Mg2+ chelates with Asp274 and 5 water molecules. The folding of the catalytic domain and metal interactions is conserved in all PDE families (Ke and Wang, 2006). Binding of the substrate in the active site, a conserved hydrophobic pocket, is stabilized not only by the hydrogen bond with invariant glutamine but also by interactions between the substrate’s purine ring and several hydrophobic residues residing in the, so-called, “hydrophobic clamp” (Ke et al, 2011) that positions the cyclic monophosphate group for hydrolysis of the phosphodiester bond by a nucleophilic attack (Wang et al, 2007a). For example, Phe372 stacks against the purine ring of cAMP in the structures of PDE4D2-AMP and D201N PDE4D2-cAMP on 1 side (Fig. 4C), whereas Phe340 and Ile336 make hydrophobic interaction with the purine on the other side (Wang et al, 2007a). The highly conserved hydrophobic pocket is primarily responsible for the high affinity and selectivity of family specific PDE inhibitors (Ke and Wang, 2007), as exemplified by the PDE4B2B—inhibitor NPV interaction that is called the “hydrophobic slot” (Hartley, 1964; Wang et al, 2007a). In contrast, several “subpockets” were proposed for the binding of PDE family selective inhibitors, as discussed in the later sections.Fig. 3The catalytic domain of PDE4B2B in complex with NPV. This folding is conserved in the catalytic domains of all PDE families. The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind two divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP to their linear form. The 10-membered ring of NPV stacks against the benzyl ring of Phe446 on 1 side and interacts with hydrophobic residues of Ile410 and Phe414 on another side (Wang et al, 2007b).Fig. 4Structures of PDE4. (A) Ribbon model of catalytic domain of PDE4D in complex with 5′-AMP [PDB code of 1PTW; adapted from Huai et al (2003) and Wang et al (2008b)]. Gray and pink spheres are zinc and magnesium, respectively. Sticks represent 5′-AMP. (B). Interaction of metal ions with 5′-AMP. (C) Surface representation of the active site of D201N PDE4D mutant in complex with substrate cAMP [PDB code, 2PW3 (Wang et al, 2007b)]. Phe372 on 1 side of the purine ring and Phe230 and Ile336 on another side form the “hydrophobic clamp.” The invariant Gln369 forms a hydrogen bond with substrate cAMP.\nThe catalytic domain of PDE4B2B in complex with NPV. This folding is conserved in the catalytic domains of all PDE families. The catalytic domain (Pfam: PF00233) typically consists of 16 α-helices that bind two divalent metals, Zn2+ and (typically) Mg2+ that are essential for the catalysis of cAMP and cGMP to their linear form. The 10-membered ring of NPV stacks against the benzyl ring of Phe446 on 1 side and interacts with hydrophobic residues of Ile410 and Phe414 on another side (Wang et al, 2007b).\nStructures of PDE4. (A) Ribbon model of catalytic domain of PDE4D in complex with 5′-AMP [PDB code of 1PTW; adapted from Huai et al (2003) and Wang et al (2008b)]. Gray and pink spheres are zinc and magnesium, respectively. Sticks represent 5′-AMP. (B). Interaction of metal ions with 5′-AMP. (C) Surface representation of the active site of D201N PDE4D mutant in complex with substrate cAMP [PDB code, 2PW3 (Wang et al, 2007b)]. Phe372 on 1 side of the purine ring and Phe230 and Ile336 on another side form the “hydrophobic clamp.” The invariant Gln369 forms a hydrogen bond with substrate cAMP.\n\n\n### Allosteric mechanisms for regulating cyclic nucleotide hydrolysis by PDEs\nPerhaps the best-studied structural elements hypothesized to regulate catalytic activity of PDEs are the flexible H-loop (including 2 short α-helices) and the flexible M-loop [the flexible region between α14 and α15; for review see Ke and Wang (2007)]. Alignments of the catalytic domains of the entire superfamily suggest the involvement of these flexible regions in the regulation of substrate diffusion into the enzyme active site due to their vicinity to the entrance (Ke and Wang, 2007; Huang et al, 2015). However, the mechanisms for restricting substrate diffusion into the catalytic center differ between PDE families. Specific for PDE4, an α-helix downstream of the α16 helix in the catalytic domain putatively participates in phosphorylation-dependent auto-inhibition. The H- and M-loop can also undergo major conformational changes upon binding of PDE inhibitors to the active site, emphasizing their pharmacological importance in structure-aided drug design. In the following sections, we examine in detail the allosteric regulation of several PDE families with an emphasis on how knowledge of atomic-level PDE structures can inform and guide efforts to rationally design novel, family, and isoform-selective PDE inhibitors.\nStructure studies (Martinez et al, 2002; Pandit et al, 2009) have revealed that cGMP binding at a flexible binding pocket within the GAF-B domain induces structural changes to enhance cGMP affinity. The X-ray structure of PDE2A (Pandit et al, 2009) shows that the 2 catalytic subunits cross over at the juncture of the GAF-B and catalytic domains (Fig. 5). The H-loop (residues Gly702–Ser724 of PDE2A) from the opposite subunit is in proximity to, and restricts substrate access to, the active site of each monomer. Binding of the inhibitor BAY 60-7550 to the active site caused an outward movement (and change in conformation) of the H-loop (Zhu et al, 2013). It has been hypothesized that cGMP binding to the GAF-B domain induces conformational changes within GAF-B, which after propagation through the α-helix and the adjacent catalytic domain changes the H-loop conformation to enhance substrate entry and, thus, its catalysis (Pandit et al, 2009; Zhu et al, 2013). This thesis awaits confirmation.Fig. 5Structure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nStructure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nThe structure of PDE2 in complex with BAY 60-7550 (Fig. 5C) identified a hydrophobic pocket consisting of Leu770, Ile866, and the hydrophobic side chains of The805 and Asp808 (Fig. 5C; Zhu et al, 2013). This knowledge may enable the design of PDE2-selective inhibitors in the future, as evidenced by the subsequent discovery of a novel PDE2 inhibitor (Qiu et al, 2018).\nPDE2A is widely expressed, and most abundant in the brain (Lakics et al, 2010), implying application in CNS disorders, eg, depression and anxiety (Masood et al, 2009; Xu et al, 2013; Zhang et al, 2015). Because past studies were hampered by the lack of selective and brain-penetrant compounds further inhibitor design is required.\nThere is ample information to support the idea that PDE5 forms a homodimer with an overall domain organization similar to those of PDE2 (Fig. 5A) and PDE6 (Francis et al, 2006; Schultz, 2009; Ahmed et al, 2021; Cote et al, 2022). For the 5 PDE families containing 2 tandem GAF regulatory domains [GAF-A and GAF-B (Pfam PF01590); Aravind and Ponting (1997)], only 1 GAF domain per monomer binds cyclic nucleotides: cGMP binds to GAF-A in PDE5 PDE6, and PDE11 and to GAF-B in PDE2, whereas cAMP binds to GAF-B in PDE10 (Zoraghi et al, 2004; Heikaus et al, 2009; Schultz, 2009; Jager et al, 2012).\nPDE5 catalytic activity is modulated by 3 allosteric mechanisms. First, PDE5 catalytic activity is stimulated upon binding of cGMP to noncatalytic sites localized to the GAF-A domain. The GAF-A binding site undergoes a major, local conformational change upon cGMP binding (Heikaus et al, 2008) that is allosterically communicated to the catalytic domain to cause an increase in cGMP hydrolysis. This allosteric effect is reciprocal in that occupancy of the PDE5 active site enhances the affinity of cGMP binding to GAF-A. In addition, cGMP binding to GAF-A stimulates phosphorylation of a serine residue in the N-terminal region that precedes the GAF-A domain; this effect is also reciprocal in that phosphorylation of PDE5 at this site enhances cGMP binding affinity to GAF-A and, in a cooperative manner, stimulates catalytic activity [for a comprehensive review, see Francis et al (2011)]. Delineation of the allosteric communication pathway from the regulatory to the catalytic domains of PDE5 awaits determination of the atomic structure of the full-length enzyme and identification of ligand-induced conformational changes.\nThe second intrinsic mechanism for allosteric regulation of PDE5 catalysis is observed in local conformational changes of the flexible elements around the active site (Fig. 6). The most important of these is the H-loop (residues 661–678 of PDE5A1) that adopts different conformations upon binding different inhibitors (Wang et al, 2006). The ligand-free H-loop has a coiled conformation and migrates dramatically to form a small 310 helix upon binding of IBMX or sildenafil (Fig. 6A). Binding of the natural product, icarisid II (purified from the Chinese herb Ying Yang Hu which is known to promote sexual activity of goats) induced the formation of 2 short anti-parallel β-strands in the H-loop (Fig. 6A). In addition, sildenafil and vardenafil—2 PDE5 inhibitors with similar molecular structures—induce completely different conformational changes in both the H-loop and the adjacent M-loop motif [residues 790–810; see Fig. 5B, adapted from Wang et al (2008b)], possibly explaining their distinctive affinity for PDE5 and their physiological effects.Fig. 6Conformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nConformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nA third mechanism of regulating PDE5 activity has been identified for the allosteric inhibitor evodiamine, which upon binding to a site adjacent to the active site (Fig. 7) induces conformational changes in the active site (Zhang et al, 2020c). Binding of evodiamine displaces several water molecules occupying the unliganded binding site and induces conformational changes to the H-loop at the active site (Fig. 7C).Fig. 7Binding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nBinding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nUCR1 and UCR2 participate in regulating cAMP hydrolysis in a coordinated manner. In long isoforms of PDE4, UCR1 and UCR2 interact to form a regulatory unit in which the C-terminal portion of UCR2 folds onto the catalytic domain and blocks substrate access to the active site (Burgin et al, 2010; Cedervall et al, 2015). As mentioned above, occlusion of the active site can also occur when a C-terminal α-helix folds onto the active site (Burgin et al, 2010).\nThe 4 genes that comprise the PDE4 family have very high (∼78%) sequence identity within the 340 amino acids of the catalytic domain. This is also reflected in the structural superposition of the catalytic domains of PDE4D with PDE4A, PDE4B, and PDE4C (root-mean-squared deviations of 0.67, 0.73, and 0.64 Å for the Cα atoms; [Wang et al, 2007a]). Consequently, most PDE4 inhibitors do not discriminate between the 4 members of this family in their affinity for binding to the catalytic pocket. After it was suggested that inhibition of PDE4D produces many of the side-effects of the PDE4 inhibitor rolipram, developing family selective PDE4 inhibitors, especially against PDE4B, became an important medicinal chemistry objective (Azam and Tripuraneni, 2014). Moreover, attention has more recently turned toward the therapeutic potential of allosteric inhibitors that are more likely to bind specifically to a member of the PDE4 subfamily and may display an improved therapeutic ratio.\nTwo examples of modulators of PDE4 catalytic activity that are not simple competitive inhibitors at the enzyme active site are D 155871 (Burgin et al, 2010) and zatolmilast (BPN 14770; Gurney et al, 2019), both of which inhibit the long forms of PDE4D. Binding of D 155871 to the active site of PDE4D (Fig. 8) induces dramatic migration of an α-helix of UCR2 from the back of the catalytic domain to cover the active site. However, it remains unclear if allosteric PDE4 inhibitors will have therapeutic applications.Fig. 8The structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe PDE9 catalytic subunit consists of a coiled N-terminal region and a conserved catalytic domain at the C-terminus and exists as a dimer. The crystal structure of PDE9 reveals that the catalytic sites in the 2 subunits have slightly different shapes, leading to different binding conformations of the same inhibitor in the dimer (Huang et al, 2015).\nExamination of inhibitor binding suggests that a small “M-pocket” may determine the selectivity of PDE9 inhibitors (Huang et al, 2015). The M-pocket is in an open conformation in PDE9, enabling large functional groups such as benzene to bind (Fig. 9A). In contrast, sequence alignment of PDEs in the vicinity of the M-pocket (Fig. 9C) illustrates that Phe441 and Ala452 of PDE9 (that serve as gates for the M-pocket) are substituted with bulky side chains in PDE5 (Leu804 and Met816) that would allow only small functional groups to penetrate into the M-pocket, as shown for the ethoxy group in the PDE5-sildenafil crystal structure (Wang et al, 2008b). In the case of the PDE8A1 structure (Wang et al, 2008a), the M-pocket is too small to accommodate binding of the PDE9 inhibitor, C33, providing a structural basis for the observed selectivity of C33 over PDE5 and PDE8 (Huang et al, 2015). In summary, the M-pocket of PDE9 may be an excellent target for the structure-aided design of highly selective PDE9 inhibitors.Fig. 9The M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\nThe M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\n\n\n### General aspects\nPerhaps the best-studied structural elements hypothesized to regulate catalytic activity of PDEs are the flexible H-loop (including 2 short α-helices) and the flexible M-loop [the flexible region between α14 and α15; for review see Ke and Wang (2007)]. Alignments of the catalytic domains of the entire superfamily suggest the involvement of these flexible regions in the regulation of substrate diffusion into the enzyme active site due to their vicinity to the entrance (Ke and Wang, 2007; Huang et al, 2015). However, the mechanisms for restricting substrate diffusion into the catalytic center differ between PDE families. Specific for PDE4, an α-helix downstream of the α16 helix in the catalytic domain putatively participates in phosphorylation-dependent auto-inhibition. The H- and M-loop can also undergo major conformational changes upon binding of PDE inhibitors to the active site, emphasizing their pharmacological importance in structure-aided drug design. In the following sections, we examine in detail the allosteric regulation of several PDE families with an emphasis on how knowledge of atomic-level PDE structures can inform and guide efforts to rationally design novel, family, and isoform-selective PDE inhibitors.\n\n\n### PDE2\nStructure studies (Martinez et al, 2002; Pandit et al, 2009) have revealed that cGMP binding at a flexible binding pocket within the GAF-B domain induces structural changes to enhance cGMP affinity. The X-ray structure of PDE2A (Pandit et al, 2009) shows that the 2 catalytic subunits cross over at the juncture of the GAF-B and catalytic domains (Fig. 5). The H-loop (residues Gly702–Ser724 of PDE2A) from the opposite subunit is in proximity to, and restricts substrate access to, the active site of each monomer. Binding of the inhibitor BAY 60-7550 to the active site caused an outward movement (and change in conformation) of the H-loop (Zhu et al, 2013). It has been hypothesized that cGMP binding to the GAF-B domain induces conformational changes within GAF-B, which after propagation through the α-helix and the adjacent catalytic domain changes the H-loop conformation to enhance substrate entry and, thus, its catalysis (Pandit et al, 2009; Zhu et al, 2013). This thesis awaits confirmation.Fig. 5Structure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nStructure of PDE2. (A) Dimer of PDE2A3 adapted from Pandit et al (2009). Catalytic subunits are shown in green and cyan. (B) Superposition of the unliganded nearly full-length PDE2 (green and cyan) over the PDE2 catalytic domain (yellow) complexed with inhibitor Bay60-7550 (red sticks; adapted from Zhu et al (2013)). The H-loop conformations are shown for the PDE2-Bay60-7550 structure (blue) and the unliganded structure (pink). (C) A unique hydrophobic pocket may aid in the future design of PDE2 inhibitors with high affinity and selectivity.\nThe structure of PDE2 in complex with BAY 60-7550 (Fig. 5C) identified a hydrophobic pocket consisting of Leu770, Ile866, and the hydrophobic side chains of The805 and Asp808 (Fig. 5C; Zhu et al, 2013). This knowledge may enable the design of PDE2-selective inhibitors in the future, as evidenced by the subsequent discovery of a novel PDE2 inhibitor (Qiu et al, 2018).\nPDE2A is widely expressed, and most abundant in the brain (Lakics et al, 2010), implying application in CNS disorders, eg, depression and anxiety (Masood et al, 2009; Xu et al, 2013; Zhang et al, 2015). Because past studies were hampered by the lack of selective and brain-penetrant compounds further inhibitor design is required.\n\n\n### PDE5\nThere is ample information to support the idea that PDE5 forms a homodimer with an overall domain organization similar to those of PDE2 (Fig. 5A) and PDE6 (Francis et al, 2006; Schultz, 2009; Ahmed et al, 2021; Cote et al, 2022). For the 5 PDE families containing 2 tandem GAF regulatory domains [GAF-A and GAF-B (Pfam PF01590); Aravind and Ponting (1997)], only 1 GAF domain per monomer binds cyclic nucleotides: cGMP binds to GAF-A in PDE5 PDE6, and PDE11 and to GAF-B in PDE2, whereas cAMP binds to GAF-B in PDE10 (Zoraghi et al, 2004; Heikaus et al, 2009; Schultz, 2009; Jager et al, 2012).\nPDE5 catalytic activity is modulated by 3 allosteric mechanisms. First, PDE5 catalytic activity is stimulated upon binding of cGMP to noncatalytic sites localized to the GAF-A domain. The GAF-A binding site undergoes a major, local conformational change upon cGMP binding (Heikaus et al, 2008) that is allosterically communicated to the catalytic domain to cause an increase in cGMP hydrolysis. This allosteric effect is reciprocal in that occupancy of the PDE5 active site enhances the affinity of cGMP binding to GAF-A. In addition, cGMP binding to GAF-A stimulates phosphorylation of a serine residue in the N-terminal region that precedes the GAF-A domain; this effect is also reciprocal in that phosphorylation of PDE5 at this site enhances cGMP binding affinity to GAF-A and, in a cooperative manner, stimulates catalytic activity [for a comprehensive review, see Francis et al (2011)]. Delineation of the allosteric communication pathway from the regulatory to the catalytic domains of PDE5 awaits determination of the atomic structure of the full-length enzyme and identification of ligand-induced conformational changes.\nThe second intrinsic mechanism for allosteric regulation of PDE5 catalysis is observed in local conformational changes of the flexible elements around the active site (Fig. 6). The most important of these is the H-loop (residues 661–678 of PDE5A1) that adopts different conformations upon binding different inhibitors (Wang et al, 2006). The ligand-free H-loop has a coiled conformation and migrates dramatically to form a small 310 helix upon binding of IBMX or sildenafil (Fig. 6A). Binding of the natural product, icarisid II (purified from the Chinese herb Ying Yang Hu which is known to promote sexual activity of goats) induced the formation of 2 short anti-parallel β-strands in the H-loop (Fig. 6A). In addition, sildenafil and vardenafil—2 PDE5 inhibitors with similar molecular structures—induce completely different conformational changes in both the H-loop and the adjacent M-loop motif [residues 790–810; see Fig. 5B, adapted from Wang et al (2008b)], possibly explaining their distinctive affinity for PDE5 and their physiological effects.Fig. 6Conformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nConformational changes in the catalytic domain of PDE5 upon binding of inhibitors. (A) Dramatic conformational changes in the H-loop of the PDE5 catalytic domain upon binding of IBMX (blue), sildenafil (gold), icarisid II (green) or in the unliganded state (purple). (B) Superposition of PDE5 structures in complex with sildenafil (gold ribbons and sticks) and vardenafil (cyan), duplicated from Wang et al (2008b). The shared structural elements of PDE5 are shown in green.\nA third mechanism of regulating PDE5 activity has been identified for the allosteric inhibitor evodiamine, which upon binding to a site adjacent to the active site (Fig. 7) induces conformational changes in the active site (Zhang et al, 2020c). Binding of evodiamine displaces several water molecules occupying the unliganded binding site and induces conformational changes to the H-loop at the active site (Fig. 7C).Fig. 7Binding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\nBinding of the natural product evodiamine to PDE5. Evodiamine occupies an allosteric effector site that adjoins the active site of PDE; adapted from Zhang et al (2020c). (A) Surface representation of the allosteric effector site in the catalytic domain that is filled with a bundle of water molecules (red spheres) in the unliganded state. (B) Surface representation of the binding of evodiamine. The purple mesh shows the electron density of the binding; vardenafil occupies the active site of PDE5. (C) Ribbon presentation of the conformational changes in the H-loop upon binding of vardenafil (green sticks) and evodiamine (cyan sticks); adapted from Zhang et al (2020c).\n\n\n### PDE4\nUCR1 and UCR2 participate in regulating cAMP hydrolysis in a coordinated manner. In long isoforms of PDE4, UCR1 and UCR2 interact to form a regulatory unit in which the C-terminal portion of UCR2 folds onto the catalytic domain and blocks substrate access to the active site (Burgin et al, 2010; Cedervall et al, 2015). As mentioned above, occlusion of the active site can also occur when a C-terminal α-helix folds onto the active site (Burgin et al, 2010).\nThe 4 genes that comprise the PDE4 family have very high (∼78%) sequence identity within the 340 amino acids of the catalytic domain. This is also reflected in the structural superposition of the catalytic domains of PDE4D with PDE4A, PDE4B, and PDE4C (root-mean-squared deviations of 0.67, 0.73, and 0.64 Å for the Cα atoms; [Wang et al, 2007a]). Consequently, most PDE4 inhibitors do not discriminate between the 4 members of this family in their affinity for binding to the catalytic pocket. After it was suggested that inhibition of PDE4D produces many of the side-effects of the PDE4 inhibitor rolipram, developing family selective PDE4 inhibitors, especially against PDE4B, became an important medicinal chemistry objective (Azam and Tripuraneni, 2014). Moreover, attention has more recently turned toward the therapeutic potential of allosteric inhibitors that are more likely to bind specifically to a member of the PDE4 subfamily and may display an improved therapeutic ratio.\nTwo examples of modulators of PDE4 catalytic activity that are not simple competitive inhibitors at the enzyme active site are D 155871 (Burgin et al, 2010) and zatolmilast (BPN 14770; Gurney et al, 2019), both of which inhibit the long forms of PDE4D. Binding of D 155871 to the active site of PDE4D (Fig. 8) induces dramatic migration of an α-helix of UCR2 from the back of the catalytic domain to cover the active site. However, it remains unclear if allosteric PDE4 inhibitors will have therapeutic applications.Fig. 8The structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\nThe structures of PDE4D in complex with the allosteric inhibitor D155871. (A) Ribbon presentation of the PDE4D catalytic domain (cyan) with a helix from the UCR2 region (residues 191-201 of PDE4D7, green) interacting with the inhibitor D155871 (yellow sticks); NC and CC, N- and C-termini, respectively, of the catalytic domain. Note that residues 204–254 that connect UCR2 helix and the catalytic domain have disordered conformations and are not traceable. (B) Surface representation of D155871 binding in the absence (panel B) and presence (panel C) of the UCR2 helix (Burgin et al, 2010).\n\n\n### PDE9\nThe PDE9 catalytic subunit consists of a coiled N-terminal region and a conserved catalytic domain at the C-terminus and exists as a dimer. The crystal structure of PDE9 reveals that the catalytic sites in the 2 subunits have slightly different shapes, leading to different binding conformations of the same inhibitor in the dimer (Huang et al, 2015).\nExamination of inhibitor binding suggests that a small “M-pocket” may determine the selectivity of PDE9 inhibitors (Huang et al, 2015). The M-pocket is in an open conformation in PDE9, enabling large functional groups such as benzene to bind (Fig. 9A). In contrast, sequence alignment of PDEs in the vicinity of the M-pocket (Fig. 9C) illustrates that Phe441 and Ala452 of PDE9 (that serve as gates for the M-pocket) are substituted with bulky side chains in PDE5 (Leu804 and Met816) that would allow only small functional groups to penetrate into the M-pocket, as shown for the ethoxy group in the PDE5-sildenafil crystal structure (Wang et al, 2008b). In the case of the PDE8A1 structure (Wang et al, 2008a), the M-pocket is too small to accommodate binding of the PDE9 inhibitor, C33, providing a structural basis for the observed selectivity of C33 over PDE5 and PDE8 (Huang et al, 2015). In summary, the M-pocket of PDE9 may be an excellent target for the structure-aided design of highly selective PDE9 inhibitors.Fig. 9The M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\nThe M-pocket of PDE9 binds the inhibitor C33. (A) Surface representation of the PDE9 M-pocket occupied with C33 (yellow sticks). (B) Superposition of PDE9 (green ribbons) with PDE5 (light cyan) and PDE8A (salmon) showing structural conservation of the M-pocket. (C) Sequence alignment around the M-pocket of PDEs. The green color highlights helices H14 and H15 which are connected by the M-loop. Two residues (red) gate the pocket. Duplicated from Huang et al (2015).\n\n\n### Peptide inhibitors, regulators, and activators\nIn addition to cyclic nucleotide binding, post-translational modifications, and the various pharmacological PDE inhibitors that have been characterized, other methods of altering PDE activity have been used as research tools, namely: (1) techniques for PDE depletion, (2) activators or methods that upregulate PDE protein, and (3) techniques that displace a defined PDE “pool” from 1 specific nanodomain within a cell.\nTo define the role of specific PDEs, overexpression by constructs encoding full-length PDE proteins or, conversely, gene silencing using antisense or small interfering (si) RNA oligonucleotides has been employed. Detrimental to interpretation, overexpression can lead to aberrant cellular localization of the enzyme, and as is apparent from earlier sections of this review (see sections PDE1 Family and PDE11 Family), the localization of a cAMP-PDE is central to its function. Antisense oligonucleotides offered the first method to specifically target PDE isoforms (Epstein, 1998), and this approach has also been used to target different PDE families concomitantly for therapeutic benefit (Fortin et al, 2009). Soon, the development of siRNA sequences to evaluate the functional relevance of a variety of PDEs followed, as exemplified by PDE2, PDE4D, PDE7, and PDE8 (Pekkinen et al, 2008; Li et al, 2011; Hiramoto et al, 2014).\nAnother method for PDE silencing that has come to the fore recently is CRISPR/Cas9. It has been used to characterize the differential roles of PDE2A isoforms and PDE3A in shaping cAMP dynamics in neonatal and adult rat cardiomyocytes following β-adrenoceptor stimulation (Skryabin et al, 2023). The ability to pinpoint isoforms rather than subfamilies or families may lead to the development of therapies that result in fewer side-effects. This is particularly relevant for PDE4D isoforms in Alzheimer disease (AD) where a body of work using knock-out animals (Li et al, 2011), dominant negatives (Bolger et al, 2020), siRNA (Li et al, 2011), and PDE4D-selective inhibitors (Ricciarelli et al, 2017) has identified the subfamily as playing a crucial role. Recently, CRISPR/Cas9 genome editing has determined that specific silencing of the long PDE4D isoforms, PDE4D3, D5, D7, and D9, confers protection against β-amyloid-induced reductions in neuronal plasticity (Paes et al, 2023).\nMicroRNAs (miRNA) are endogenous regulators of protein expression. Specific miRNA has been identified for PDE4 in synovial fibroblasts modulating proinflammatory processes (Wade et al, 2019), PDE3 in cerebral microvascular endothelial cells affecting cognitive decline in cerebral small vessel disease (Yasmeen et al, 2019) and PDE1 in lung fibroblasts where the miRNA is protective against lung fibrosis (Ren et al, 2017). miRNAs are, themselves, known to be regulated by long noncoding RNAs (lncRNA) and lncRNA GAS5 “sponges” miRNA that prevents the translation of PDE4B2 to increase expression of the PDE, preventing the accumulation of lipid in cell models of nonalcoholic fatty liver disease (Xu et al, 2022).\nBesides targeting DNA and RNA, there is a novel way to specifically reduce the activity of active enzymes in a cell via targeted protein degradation. This involves a small molecule that can link the enzyme of interest to the ubiquitin proteasome system by anchoring a ubiquitin E3 ligase close to the target. These small-sized molecules, of which the pharmacokinetic properties can be optimized for use in vivo, partly independently of Lipinski’s rule of 5, have been termed proteolysis targeting chimeras (PROTACs) and are now in phase II clinical trials for oncology (Wang et al, 2023). PROTACs appear to be ideal as PDE inhibitors (Konstantinidou et al, 2019). First, because rather than relying on the constant presence of high concentrations, a reason inhibitors cause side effects, to warrant occupation of the active site, PROTACS deactivates the PDE in 1 event. Second, protein degradation attenuates the enzymatic and nonenzymatic functions, allowing also the inhibition of PDEs as scaffolds for protein interactions (Susuki-Miyata et al, 2015). Finally, as the PROTAC molecule is formed of 3 integral units (warhead, linker, and E3 recruiter molecule), enhanced selectivity and potency can be engineered into the structural design via molecular modeling, providing a better opportunity for isoform specificity.\nPROTACs that evoke degradation of the Kirsten Rat Sarcoma Virus (KRAS)-shuttling PDE6δ, a PDE6 subunit without enzymatic function, results in mislocalization of KRAS preventing its activation (Zhang et al, 2005a; Cheng et al, 2020; Teng et al, 2022). This has been a promising strategy to treat KRAS mutation-related cancer. “SNIPER” protein erasers demonstrated that a PDE4 inhibitor could be used as a warhead to colocalize E3 ubiquitin ligases for PDE4 degradation (Ohoka et al, 2017). The work might inspire the development of PROTACS for the other families.\nCellular expression of cAMP-PDEs is often low but highly localized in order to shape cAMP in nanodomains (Baillie, 2009). Peptide disruptors that relocate cAMP-PDEs allow researchers to define the role of specific isoforms [reviewed in Blair and Baillie (2019), Lee et al (2013)]. As single isoforms can exist in more than 1 cellular locale and have multiple functions depending on proximity to various cAMP effector proteins (eg, PDE4D5; Wills et al (2016)], displacement is the only method that takes compartmentalization into account. This benefit was demonstrated recently when revealing the role of PDE4-Popeye domain-containing 1 interaction in nanodomain calcium transient regulation for sinoatrial pace-making (Tibbo et al, 2022). The use of a pan-PDE4 inhibitor would not have been as effective due to pools of various PDE4 subfamilies and isoforms associated with cardiac calcium handling (Maurice et al, 2014).\nThe use of catalytically dead, dominant-negative PDEs that displace endogenously active forms is applicable in transfected cell lines (McCahill et al, 2005) and whole organism models of disease (McGirr et al, 2016; Bolger et al, 2020). Although this approach involves PDE displacement, it also relies on overexpression; hence, it is likely all complexes containing the PDE of interest being overexpressed as a dominant negative will be disrupted concomitantly, limiting the deconvolution of data pertaining to compartmentalized responses. In the case of PDE11A, compartmentalization can be changed by disrupting homodimerization via the expression of its isolated GAF-B domain or by phosphorylation of select residues in its regulatory N-terminal domain, both of which are sufficient to alter memory formation in mice [see II Chapter 2, E 1k for more detail; (Pathak et al, 2017; Pilarzyk et al, 2022, Pilarzyk et al, 2023)].\nRecently, Mironid developed small molecules that activate PDE4 via allosteric binding to the UCR 1/2 regions to lock the long-form dimer in the “open” conformation (Omar et al, 2019). Activation of PDE4 long-forms in this way is sufficient to counteract chronic cAMP elevation. Application in polycystic kidney disease and prostate cancer has been proposed for these compounds (Hansen et al, 2022; Gulliver et al, 2023). This activation mechanism has been observed historically with lipids (Grange et al, 2000) and peptides (Wang et al, 2015a), and now, the small molecules have opened the door for the development of therapies that require PDE activation. Another technologically advanced way to enhance the protein stability of active enzymes is by using the converse approach to PROTACs. Targeted protein stabilization using deubiquitinase-targeting chimeras can stabilize target proteins by preventing them from engaging with the proteosome (Henning et al, 2022). This relatively new approach for selective PDE isoform activation holds promise for the future.\n\n\n### Depletion of endogenously expressed PDEs: RNA and DNA-based mechanisms\nTo define the role of specific PDEs, overexpression by constructs encoding full-length PDE proteins or, conversely, gene silencing using antisense or small interfering (si) RNA oligonucleotides has been employed. Detrimental to interpretation, overexpression can lead to aberrant cellular localization of the enzyme, and as is apparent from earlier sections of this review (see sections PDE1 Family and PDE11 Family), the localization of a cAMP-PDE is central to its function. Antisense oligonucleotides offered the first method to specifically target PDE isoforms (Epstein, 1998), and this approach has also been used to target different PDE families concomitantly for therapeutic benefit (Fortin et al, 2009). Soon, the development of siRNA sequences to evaluate the functional relevance of a variety of PDEs followed, as exemplified by PDE2, PDE4D, PDE7, and PDE8 (Pekkinen et al, 2008; Li et al, 2011; Hiramoto et al, 2014).\nAnother method for PDE silencing that has come to the fore recently is CRISPR/Cas9. It has been used to characterize the differential roles of PDE2A isoforms and PDE3A in shaping cAMP dynamics in neonatal and adult rat cardiomyocytes following β-adrenoceptor stimulation (Skryabin et al, 2023). The ability to pinpoint isoforms rather than subfamilies or families may lead to the development of therapies that result in fewer side-effects. This is particularly relevant for PDE4D isoforms in Alzheimer disease (AD) where a body of work using knock-out animals (Li et al, 2011), dominant negatives (Bolger et al, 2020), siRNA (Li et al, 2011), and PDE4D-selective inhibitors (Ricciarelli et al, 2017) has identified the subfamily as playing a crucial role. Recently, CRISPR/Cas9 genome editing has determined that specific silencing of the long PDE4D isoforms, PDE4D3, D5, D7, and D9, confers protection against β-amyloid-induced reductions in neuronal plasticity (Paes et al, 2023).\nMicroRNAs (miRNA) are endogenous regulators of protein expression. Specific miRNA has been identified for PDE4 in synovial fibroblasts modulating proinflammatory processes (Wade et al, 2019), PDE3 in cerebral microvascular endothelial cells affecting cognitive decline in cerebral small vessel disease (Yasmeen et al, 2019) and PDE1 in lung fibroblasts where the miRNA is protective against lung fibrosis (Ren et al, 2017). miRNAs are, themselves, known to be regulated by long noncoding RNAs (lncRNA) and lncRNA GAS5 “sponges” miRNA that prevents the translation of PDE4B2 to increase expression of the PDE, preventing the accumulation of lipid in cell models of nonalcoholic fatty liver disease (Xu et al, 2022).\n\n\n### PDE (in)activation by manipulation at the protein level: proteolysis targeting chimeras (PROTACs)\nBesides targeting DNA and RNA, there is a novel way to specifically reduce the activity of active enzymes in a cell via targeted protein degradation. This involves a small molecule that can link the enzyme of interest to the ubiquitin proteasome system by anchoring a ubiquitin E3 ligase close to the target. These small-sized molecules, of which the pharmacokinetic properties can be optimized for use in vivo, partly independently of Lipinski’s rule of 5, have been termed proteolysis targeting chimeras (PROTACs) and are now in phase II clinical trials for oncology (Wang et al, 2023). PROTACs appear to be ideal as PDE inhibitors (Konstantinidou et al, 2019). First, because rather than relying on the constant presence of high concentrations, a reason inhibitors cause side effects, to warrant occupation of the active site, PROTACS deactivates the PDE in 1 event. Second, protein degradation attenuates the enzymatic and nonenzymatic functions, allowing also the inhibition of PDEs as scaffolds for protein interactions (Susuki-Miyata et al, 2015). Finally, as the PROTAC molecule is formed of 3 integral units (warhead, linker, and E3 recruiter molecule), enhanced selectivity and potency can be engineered into the structural design via molecular modeling, providing a better opportunity for isoform specificity.\nPROTACs that evoke degradation of the Kirsten Rat Sarcoma Virus (KRAS)-shuttling PDE6δ, a PDE6 subunit without enzymatic function, results in mislocalization of KRAS preventing its activation (Zhang et al, 2005a; Cheng et al, 2020; Teng et al, 2022). This has been a promising strategy to treat KRAS mutation-related cancer. “SNIPER” protein erasers demonstrated that a PDE4 inhibitor could be used as a warhead to colocalize E3 ubiquitin ligases for PDE4 degradation (Ohoka et al, 2017). The work might inspire the development of PROTACS for the other families.\n\n\n### PDE (in)activation by manipulation at the protein level: disruptors of PDE compartmentalization\nCellular expression of cAMP-PDEs is often low but highly localized in order to shape cAMP in nanodomains (Baillie, 2009). Peptide disruptors that relocate cAMP-PDEs allow researchers to define the role of specific isoforms [reviewed in Blair and Baillie (2019), Lee et al (2013)]. As single isoforms can exist in more than 1 cellular locale and have multiple functions depending on proximity to various cAMP effector proteins (eg, PDE4D5; Wills et al (2016)], displacement is the only method that takes compartmentalization into account. This benefit was demonstrated recently when revealing the role of PDE4-Popeye domain-containing 1 interaction in nanodomain calcium transient regulation for sinoatrial pace-making (Tibbo et al, 2022). The use of a pan-PDE4 inhibitor would not have been as effective due to pools of various PDE4 subfamilies and isoforms associated with cardiac calcium handling (Maurice et al, 2014).\nThe use of catalytically dead, dominant-negative PDEs that displace endogenously active forms is applicable in transfected cell lines (McCahill et al, 2005) and whole organism models of disease (McGirr et al, 2016; Bolger et al, 2020). Although this approach involves PDE displacement, it also relies on overexpression; hence, it is likely all complexes containing the PDE of interest being overexpressed as a dominant negative will be disrupted concomitantly, limiting the deconvolution of data pertaining to compartmentalized responses. In the case of PDE11A, compartmentalization can be changed by disrupting homodimerization via the expression of its isolated GAF-B domain or by phosphorylation of select residues in its regulatory N-terminal domain, both of which are sufficient to alter memory formation in mice [see II Chapter 2, E 1k for more detail; (Pathak et al, 2017; Pilarzyk et al, 2022, Pilarzyk et al, 2023)].\n\n\n### PDE (in)activation by manipulation at the protein level: molecules that enable increases in PDE activity\nRecently, Mironid developed small molecules that activate PDE4 via allosteric binding to the UCR 1/2 regions to lock the long-form dimer in the “open” conformation (Omar et al, 2019). Activation of PDE4 long-forms in this way is sufficient to counteract chronic cAMP elevation. Application in polycystic kidney disease and prostate cancer has been proposed for these compounds (Hansen et al, 2022; Gulliver et al, 2023). This activation mechanism has been observed historically with lipids (Grange et al, 2000) and peptides (Wang et al, 2015a), and now, the small molecules have opened the door for the development of therapies that require PDE activation. Another technologically advanced way to enhance the protein stability of active enzymes is by using the converse approach to PROTACs. Targeted protein stabilization using deubiquitinase-targeting chimeras can stabilize target proteins by preventing them from engaging with the proteosome (Henning et al, 2022). This relatively new approach for selective PDE isoform activation holds promise for the future.\n\n\n### Role of PDEs in cyclic nucleotide compartmentalization\nThe canonical model stating that cAMP signaling links G-protein coupled receptor (GPCR) ligand binding to cAMP generation, PKA activation, and substrate phosphorylation in a linear cascade from the plasma membrane to the terminal intracellular effector cannot explain the functional versatility of cAMP within 1 cell type. This enigma persisted for decades, until an alternative model developed over the last 20 years: the paradigm of compartmentalization. This spatial confinement proves critical for hormonal specificity, with Gs-coupled receptor activation generating spatially distinct cAMP pools that, in turn, activate defined subsets of the effector enzyme PKA.\nSelective PKA activation hinges on the immobilization of the kinase to specific subcellular locations through interaction with AKAPs, tethering the enzyme in proximity to specific phosphorylation targets (Scott et al, 2013). AKAPs nucleate signaling hubs, or signalosomes, through protein-protein interactions that include varying assortments of signaling molecules such as GPCR, adenylyl cyclases, phosphatases, and cAMP-PDEs. Each signalosome results from a unique combination of signaling components, facilitating specific regulation of distinct cellular functions at distinct locations. This paradigm started from studies on cardiac β-adrenoceptors and has since spread to virtually all cell types (Zaccolo et al, 2021).\nEarly imaging studies demonstrated the critical role of cAMP-hydrolyzing enzymes in limiting the spatial propagation of the second messenger as inhibition of PDEs disrupted the local cAMP gradients (Jurevicius and Fischmeister, 1996; Zaccolo and Pozzan, 2002; Terrin et al, 2006; Iancu et al, 2007; Chen et al, 2008; Leroy et al, 2008; Feinstein et al, 2012; Mika et al, 2012; Guellich et al, 2014). The advent of genetically encoded probes for real-time cAMP monitoring was a breakthrough in demonstrating the steep intracellular cAMP gradients that create nanodomains (Zaccolo et al, 2000; Zaccolo and Pozzan, 2002; Nikolaev et al, 2004; Ponsioen et al, 2004). These probes typically consist of a cAMP-binding domain sandwiched between 2 fluorescent protein spectral variants, enabling Förster resonance energy transfer (FRET) imaging. The altered FRET signaling that occurs upon cAMP binding is detectable with a conventional optical microscope. The first reported probe consisted of a PKA regulatory subunit fused to a cyan fluorescent protein and a PKA catalytic subunit fused to a yellow fluorescent protein, allowing measurement of cAMP binding to the PKA holoenzyme (Zaccolo and Pozzan, 2002). On application of noradrenaline to cardiac myocytes expressing the probe, the elicited cAMP response was not homogeneous across the cell but was localized to subcellular compartments where PKA is anchored to AKAPs. In agreement, a probe variant lacking the domain necessary for AKAPs anchoring resulted in the sensor being unable to pick up any significant cAMP signal. Studies using these biosensors demonstrated that different GPCRs couple with distinct adenylyl cyclases, generating specific local cAMP pools that activate a limited subset of effectors, thus creating functional diversity between GPCRs (Di Benedetto et al, 2008).\nFurther compartmentalization mechanisms include physical barriers (Richards et al, 2016), buffering (Bock et al, 2020), phase separation of the regulatory subunit of PKA (Zhang et al, 2020a), and generation of cAMP from internalized GPCRs (Lohse et al, 2023).\nRecent mounting evidence that GsPCRs can initiate cAMP production postinternalization introduces a novel and intriguing aspect to the cAMP compartmentalization model (Calebiro et al, 2009; Ferrandon et al, 2009; Irannejad et al, 2013). Traditionally, internalization of GPCRs upon ligand binding has been considered a mechanism that leads to receptor desensitization, offering protection against excessive stimulation. However, recent studies combining real-time cAMP imaging with observations of GPCR trafficking events in intact cells, challenged this notion, as they demonstrated sustained cAMP signaling from GsPCRs embedded in internalized vesicles (Ferrandon et al, 2009; Calebiro et al, 2010; Lan et al, 2012; Pavlos and Friedman, 2017). Internalized GPCRs were shown to encounter G proteins on internal membranes, such as endosomes or Golgi-associated vesicles, and create a fully functional signaling complex initiating a subsequent wave of signaling by triggering the generation of localized pools of second messenger. Alternatively, a substantial pool of some GPCRs, such as β1-adrenoceptor, can be permanently located at intracellular membranes, as, for example, in the SR of cardiac myocytes to locally regulate contractility and relaxation (Lin et al, 2023b).\nThe complexity of the PDE system allows for a further highly sophisticated regulation of local cAMP levels. The number of possible permutations in combinations of PDE isoform, location, activity regulation by Ca2+, cGMP, or other mechanisms is extensive and can all determine the subcellular topography of cAMP nanodomains (Beltejar et al, 2017; Subramaniam et al, 2023; Fig. 10). The resulting dynamic cellular landscape of cAMP gradients remains largely to be defined in its details as is any remodeling that occurs in pathological conditions.Fig. 10Mapping the tissue localization of PDEs. This figure illustrates the diverse tissue localization of PDEs, enzymes crucial for regulating cyclic nucleotide levels. PDE expression patterns vary among species and can be altered in pathological conditions, influencing various physiological processes such as cardiovascular function, neuronal signaling, immune responses, and reproductive function. In cases where the precise tissue localization of PDEs is unknown, their representation is depicted vertically adjacent to the respective tissue name. b1, cerebral cortex/temporal lobe; b2, ocipital lobe; b3, temporal lobe; E: endothelial cells; L: lymphocytes; M, macrophages; P, platelet; S, smooth muscle cells; T, T-cells. Created with BioRender.com.\nMapping the tissue localization of PDEs. This figure illustrates the diverse tissue localization of PDEs, enzymes crucial for regulating cyclic nucleotide levels. PDE expression patterns vary among species and can be altered in pathological conditions, influencing various physiological processes such as cardiovascular function, neuronal signaling, immune responses, and reproductive function. In cases where the precise tissue localization of PDEs is unknown, their representation is depicted vertically adjacent to the respective tissue name. b1, cerebral cortex/temporal lobe; b2, ocipital lobe; b3, temporal lobe; E: endothelial cells; L: lymphocytes; M, macrophages; P, platelet; S, smooth muscle cells; T, T-cells. Created with BioRender.com.\nThe organizational complexity of PDEs and their interactions to generate local steep cAMP gradients proves highly effective for achieving hormonal specificity. Compartmentalized cAMP in cardiac myocytes, for example, allows β-adrenoceptors to increase PKA-dependent phosphorylation of phospholamban, whereas activation of the prostaglandin receptor does not, despite generating a similar overall cAMP amount (Hayes et al, 1980). Targeted FRET reporters further demonstrated that distinct cAMP signals and heterogeneous cAMP responses are generated by the activation of different cardiac GPCRs with positive inotropic effects (Di Benedetto et al, 2008), By contrast, a homogeneous cAMP increase throughout the cell, achieved through pharmacological PDE inhibition, results in a diminished inotropic response (Surdo et al, 2017). This emphasizes the functional relevance of this spatial organization.\nAs an alternative to nanodomain-targeted sensors, recent developments using integrated analysis of PDE isoform-selective interactomes and PDE family dependent phosphoproteomes allowed the identification of multiple novel, nonobvious cAMP subcellular nanodomains (Subramaniam et al, 2023). Early imaging experiments estimated the size of cAMP subcellular compartments to be in the micrometer range (Zaccolo and Pozzan, 2002). Recent studies, however, revealed that the cAMP subcellular domains can be as small as tens of nanometers (Surdo et al, 2017; Anton et al, 2022). FRET reporters that include spacers with known length (nanorulers) revealed cAMP compartment sizes as small as 10 nm, ruling out the necessity for a physical barrier to achieving cAMP compartmentalization (Anton et al, 2022). Experiments with cAMP reporters fused directly to PDEs (Herget et al, 2008) demonstrated that PDEs can create regions of low cAMP concentrations, obliterating PKA activation within their immediate surroundings. The action radius varies based on the enzymatic properties of the involved PDE isoforms. For instance, PDE4A1, a relatively high-affinity (low Km) but low-turnover (low Vmax) enzyme (Bender and Beavo, 2006), creates a domain with low cAMP with a 10-nm radius, whereas PDE2A3, a lower affinity but faster enzyme, can deplete cAMP within a radius exceeding 30 nm (Bock et al, 2020). Recent development of nanodomain-targeted cAMP sensors provided more detailed insights into cAMP signaling (DiPilato et al, 2004; Allen and Zhang, 2006; Liu et al, 2011; Lefkimmiatis et al, 2013; Pendin et al, 2017; Surdo et al, 2017). Sensors targeted to plasma membrane nanodomains (Perera et al, 2015; Bastug-Özel et al, 2019) and SR domains in close proximity to the ryanodine receptor (Berisha et al, 2021) and SR Ca2+ ATPase (Sprenger et al, 2015) could reveal that cardiac hypertrophy and heart failure lead to a dramatic alteration of subcellular localization of multiple PDEs, resulting in changes of contractility, relaxation, and cardiac arrhythmias. Therefore, a better understanding and specific targeting of such nanodomain remodeling may pave the way to new approaches for cardiovascular therapies. Possible approaches that have been proposed include overexpression of distinct PDE isoforms (Karam et al, 2020), their specific knockdown (Skryabin et al, 2023), or other means aimed at the restoration of proper nanodomain architecture. Obviously, the future of thorough unraveling of cAMP-PDE signaling depends on the development of sophisticated, high-resolution sensors.\n\n\n### cAMP compartments: the birth of a new rationale\nThe canonical model stating that cAMP signaling links G-protein coupled receptor (GPCR) ligand binding to cAMP generation, PKA activation, and substrate phosphorylation in a linear cascade from the plasma membrane to the terminal intracellular effector cannot explain the functional versatility of cAMP within 1 cell type. This enigma persisted for decades, until an alternative model developed over the last 20 years: the paradigm of compartmentalization. This spatial confinement proves critical for hormonal specificity, with Gs-coupled receptor activation generating spatially distinct cAMP pools that, in turn, activate defined subsets of the effector enzyme PKA.\nSelective PKA activation hinges on the immobilization of the kinase to specific subcellular locations through interaction with AKAPs, tethering the enzyme in proximity to specific phosphorylation targets (Scott et al, 2013). AKAPs nucleate signaling hubs, or signalosomes, through protein-protein interactions that include varying assortments of signaling molecules such as GPCR, adenylyl cyclases, phosphatases, and cAMP-PDEs. Each signalosome results from a unique combination of signaling components, facilitating specific regulation of distinct cellular functions at distinct locations. This paradigm started from studies on cardiac β-adrenoceptors and has since spread to virtually all cell types (Zaccolo et al, 2021).\nEarly imaging studies demonstrated the critical role of cAMP-hydrolyzing enzymes in limiting the spatial propagation of the second messenger as inhibition of PDEs disrupted the local cAMP gradients (Jurevicius and Fischmeister, 1996; Zaccolo and Pozzan, 2002; Terrin et al, 2006; Iancu et al, 2007; Chen et al, 2008; Leroy et al, 2008; Feinstein et al, 2012; Mika et al, 2012; Guellich et al, 2014). The advent of genetically encoded probes for real-time cAMP monitoring was a breakthrough in demonstrating the steep intracellular cAMP gradients that create nanodomains (Zaccolo et al, 2000; Zaccolo and Pozzan, 2002; Nikolaev et al, 2004; Ponsioen et al, 2004). These probes typically consist of a cAMP-binding domain sandwiched between 2 fluorescent protein spectral variants, enabling Förster resonance energy transfer (FRET) imaging. The altered FRET signaling that occurs upon cAMP binding is detectable with a conventional optical microscope. The first reported probe consisted of a PKA regulatory subunit fused to a cyan fluorescent protein and a PKA catalytic subunit fused to a yellow fluorescent protein, allowing measurement of cAMP binding to the PKA holoenzyme (Zaccolo and Pozzan, 2002). On application of noradrenaline to cardiac myocytes expressing the probe, the elicited cAMP response was not homogeneous across the cell but was localized to subcellular compartments where PKA is anchored to AKAPs. In agreement, a probe variant lacking the domain necessary for AKAPs anchoring resulted in the sensor being unable to pick up any significant cAMP signal. Studies using these biosensors demonstrated that different GPCRs couple with distinct adenylyl cyclases, generating specific local cAMP pools that activate a limited subset of effectors, thus creating functional diversity between GPCRs (Di Benedetto et al, 2008).\nFurther compartmentalization mechanisms include physical barriers (Richards et al, 2016), buffering (Bock et al, 2020), phase separation of the regulatory subunit of PKA (Zhang et al, 2020a), and generation of cAMP from internalized GPCRs (Lohse et al, 2023).\n\n\n### Organization in signalosomes and participation of PDE\nRecent mounting evidence that GsPCRs can initiate cAMP production postinternalization introduces a novel and intriguing aspect to the cAMP compartmentalization model (Calebiro et al, 2009; Ferrandon et al, 2009; Irannejad et al, 2013). Traditionally, internalization of GPCRs upon ligand binding has been considered a mechanism that leads to receptor desensitization, offering protection against excessive stimulation. However, recent studies combining real-time cAMP imaging with observations of GPCR trafficking events in intact cells, challenged this notion, as they demonstrated sustained cAMP signaling from GsPCRs embedded in internalized vesicles (Ferrandon et al, 2009; Calebiro et al, 2010; Lan et al, 2012; Pavlos and Friedman, 2017). Internalized GPCRs were shown to encounter G proteins on internal membranes, such as endosomes or Golgi-associated vesicles, and create a fully functional signaling complex initiating a subsequent wave of signaling by triggering the generation of localized pools of second messenger. Alternatively, a substantial pool of some GPCRs, such as β1-adrenoceptor, can be permanently located at intracellular membranes, as, for example, in the SR of cardiac myocytes to locally regulate contractility and relaxation (Lin et al, 2023b).\nThe complexity of the PDE system allows for a further highly sophisticated regulation of local cAMP levels. The number of possible permutations in combinations of PDE isoform, location, activity regulation by Ca2+, cGMP, or other mechanisms is extensive and can all determine the subcellular topography of cAMP nanodomains (Beltejar et al, 2017; Subramaniam et al, 2023; Fig. 10). The resulting dynamic cellular landscape of cAMP gradients remains largely to be defined in its details as is any remodeling that occurs in pathological conditions.Fig. 10Mapping the tissue localization of PDEs. This figure illustrates the diverse tissue localization of PDEs, enzymes crucial for regulating cyclic nucleotide levels. PDE expression patterns vary among species and can be altered in pathological conditions, influencing various physiological processes such as cardiovascular function, neuronal signaling, immune responses, and reproductive function. In cases where the precise tissue localization of PDEs is unknown, their representation is depicted vertically adjacent to the respective tissue name. b1, cerebral cortex/temporal lobe; b2, ocipital lobe; b3, temporal lobe; E: endothelial cells; L: lymphocytes; M, macrophages; P, platelet; S, smooth muscle cells; T, T-cells. Created with BioRender.com.\nMapping the tissue localization of PDEs. This figure illustrates the diverse tissue localization of PDEs, enzymes crucial for regulating cyclic nucleotide levels. PDE expression patterns vary among species and can be altered in pathological conditions, influencing various physiological processes such as cardiovascular function, neuronal signaling, immune responses, and reproductive function. In cases where the precise tissue localization of PDEs is unknown, their representation is depicted vertically adjacent to the respective tissue name. b1, cerebral cortex/temporal lobe; b2, ocipital lobe; b3, temporal lobe; E: endothelial cells; L: lymphocytes; M, macrophages; P, platelet; S, smooth muscle cells; T, T-cells. Created with BioRender.com.\n\n\n### Size matters, when measuring cAMP in nanodomains\nThe organizational complexity of PDEs and their interactions to generate local steep cAMP gradients proves highly effective for achieving hormonal specificity. Compartmentalized cAMP in cardiac myocytes, for example, allows β-adrenoceptors to increase PKA-dependent phosphorylation of phospholamban, whereas activation of the prostaglandin receptor does not, despite generating a similar overall cAMP amount (Hayes et al, 1980). Targeted FRET reporters further demonstrated that distinct cAMP signals and heterogeneous cAMP responses are generated by the activation of different cardiac GPCRs with positive inotropic effects (Di Benedetto et al, 2008), By contrast, a homogeneous cAMP increase throughout the cell, achieved through pharmacological PDE inhibition, results in a diminished inotropic response (Surdo et al, 2017). This emphasizes the functional relevance of this spatial organization.\nAs an alternative to nanodomain-targeted sensors, recent developments using integrated analysis of PDE isoform-selective interactomes and PDE family dependent phosphoproteomes allowed the identification of multiple novel, nonobvious cAMP subcellular nanodomains (Subramaniam et al, 2023). Early imaging experiments estimated the size of cAMP subcellular compartments to be in the micrometer range (Zaccolo and Pozzan, 2002). Recent studies, however, revealed that the cAMP subcellular domains can be as small as tens of nanometers (Surdo et al, 2017; Anton et al, 2022). FRET reporters that include spacers with known length (nanorulers) revealed cAMP compartment sizes as small as 10 nm, ruling out the necessity for a physical barrier to achieving cAMP compartmentalization (Anton et al, 2022). Experiments with cAMP reporters fused directly to PDEs (Herget et al, 2008) demonstrated that PDEs can create regions of low cAMP concentrations, obliterating PKA activation within their immediate surroundings. The action radius varies based on the enzymatic properties of the involved PDE isoforms. For instance, PDE4A1, a relatively high-affinity (low Km) but low-turnover (low Vmax) enzyme (Bender and Beavo, 2006), creates a domain with low cAMP with a 10-nm radius, whereas PDE2A3, a lower affinity but faster enzyme, can deplete cAMP within a radius exceeding 30 nm (Bock et al, 2020). Recent development of nanodomain-targeted cAMP sensors provided more detailed insights into cAMP signaling (DiPilato et al, 2004; Allen and Zhang, 2006; Liu et al, 2011; Lefkimmiatis et al, 2013; Pendin et al, 2017; Surdo et al, 2017). Sensors targeted to plasma membrane nanodomains (Perera et al, 2015; Bastug-Özel et al, 2019) and SR domains in close proximity to the ryanodine receptor (Berisha et al, 2021) and SR Ca2+ ATPase (Sprenger et al, 2015) could reveal that cardiac hypertrophy and heart failure lead to a dramatic alteration of subcellular localization of multiple PDEs, resulting in changes of contractility, relaxation, and cardiac arrhythmias. Therefore, a better understanding and specific targeting of such nanodomain remodeling may pave the way to new approaches for cardiovascular therapies. Possible approaches that have been proposed include overexpression of distinct PDE isoforms (Karam et al, 2020), their specific knockdown (Skryabin et al, 2023), or other means aimed at the restoration of proper nanodomain architecture. Obviously, the future of thorough unraveling of cAMP-PDE signaling depends on the development of sophisticated, high-resolution sensors.\n\n\n### Chapter 2: Physiology and clinical development\nHeart failure and reduced ejection fraction (HFrEF) represent a persistent clinical syndrome characterized by the gradual decline of cardiac function. Ultimately, the heart’s ability to pump blood efficiently becomes inadequate to meet the body’s oxygen demands, resulting in organ failure and, in severe cases, death. HFrEF can be caused by various factors, including arrhythmias, cardiomyopathies, coronary artery disease, congenital heart defects, infections, hypertension, valve problems, and the cardiotoxicity of certain anticancer drugs (McDonagh et al, 2022). Regardless of its origin, reduced cardiac function triggers the activation of neurohormonal systems and the development of cardiac hypertrophy to normalize ventricular wall stress (Hartupee and Mann, 2017). However, this compensated state is usually short-lived and gradually progresses toward chamber enlargement, eventually leading to HFrEF.\nIn normal physiological conditions, cAMP and cGMP have contrasting roles in cardiac function. β-adrenoceptor-stimulated cAMP release increases cardiac output through PKA. Conversely, nitric oxide (NO) or natriuretic peptide (NP) -induced cGMP can exert both synergistic and opposing effects on cAMP. In HF, decreased cardiac function chronically elevates sympathetic catecholamines (Cohn et al, 1984). This initiates a pathophysiological “vicious circle” of excessive β-adrenoceptor stimulation, explaining the beneficial effects of β-blockers in HFrEF (El-Armouche and Eschenhagen, 2009). Continuous cAMP-PKA signaling triggers the maladaptive remodeling leading to HFrEF, featuring hypertrophy, cardiomyocyte death, and fibrosis. Conversely, NO and NPs are anti-hypertrophic and anti-fibrotic. Therefore, NP-, NO- and cGMP-increasing drugs enhance conventional treatments for patients with HFrEF (McMurray et al, 2014; Armstrong et al, 2020; Petraina et al, 2022).\nPDE control of cyclic nucleotides in nanodomains with PKA-AKAP is pivotal in cardiac function regulation (see section Role of PDEs in Cyclic Nucleotide Compartmentalization; Kokkonen and Kass, 2017; Bock et al, 2020; Anton et al, 2022). The nanodomain organization undergoes significant remodeling in cases of pathological hypertrophy and HF, believed to contribute to heart function deterioration. In HFrEF, changes in PDE expression, activity, and subcellular localization alter cAMP and cGMP signaling and are associated with modulated β-adrenoceptor signaling, decreased NO bioavailability, and impaired NP signaling (Lohse et al, 2003; Katz et al, 2005; Nikolaev et al, 2010; Dickey et al, 2012). PDE3 and PDE5 inhibitors have shown detrimental effects in HFrEF patients (Packer et al, 1991) and a lack of efficacy in heart failure with preserved ejection fraction (HFpEF; Redfield et al, 2013). However, ongoing research suggests that specific PDEs could be potential therapeutic targets to prevent cardiac remodeling and HF (Preedy, 2020; Chen and Yan, 2021).\nPDE1, PDE2, PDE3, PDE4, PDE5, PDE8, PDE9, and PDE10 are expressed in the heart, and all have a functional role. Much of the work and details of how these PDEs influence the normal and diseased heart can be found in several recent reviews (Preedy, 2020; Kamel et al, 2023). Here, we focus on recent advances (Fig. 11).Fig. 11Modulatory role of PDEs on cAMP/cGMP signaling in cardiomyocytes. In this figure, the red area denotes the presence of cAMP, while the blue area signifies the contribution and subcellular localization of cGMP PDEs. Each PDE sub-family is represented as small colored circles on the PDE enzyme. Under normal physiological conditions, cardiac function is finely tuned by 2 intracellular cyclic nucleotides with opposing effects: cAMP, influenced by beta-adrenergic stimulation and protein kinase A signaling, and cGMP, stimulated by nitric oxide (NO) and natriuretic peptides (NPs) production. However, in pathological conditions such as heart failure, chronic elevation of catecholamines due to sympathetic over activation further stimulates beta-adrenergic receptors, leading to maladaptive remodeling, including hypertrophy and cardiac fibrosis. Conversely, elevated levels of NO and NPs exhibit anti-hypertrophic and anti-fibrotic effects. The question marks denote uncertainty regarding whether specific PDEs play preventive roles in these processes. Created with BioRender.com.\nModulatory role of PDEs on cAMP/cGMP signaling in cardiomyocytes. In this figure, the red area denotes the presence of cAMP, while the blue area signifies the contribution and subcellular localization of cGMP PDEs. Each PDE sub-family is represented as small colored circles on the PDE enzyme. Under normal physiological conditions, cardiac function is finely tuned by 2 intracellular cyclic nucleotides with opposing effects: cAMP, influenced by beta-adrenergic stimulation and protein kinase A signaling, and cGMP, stimulated by nitric oxide (NO) and natriuretic peptides (NPs) production. However, in pathological conditions such as heart failure, chronic elevation of catecholamines due to sympathetic over activation further stimulates beta-adrenergic receptors, leading to maladaptive remodeling, including hypertrophy and cardiac fibrosis. Conversely, elevated levels of NO and NPs exhibit anti-hypertrophic and anti-fibrotic effects. The question marks denote uncertainty regarding whether specific PDEs play preventive roles in these processes. Created with BioRender.com.\nOf the PDE1 isoforms, only PDE1A and PDE1C are expressed in the heart. PDE1A dominates in the myocardium of rat and mouse and preferentially hydrolyzes cGMP (Miller et al, 2009; Miller et al, 2011). PDE1C has balanced selectivity for cGMP and cAMP in cell-free conditions, but in myocytes and intact hearts, it primarily impacts cAMP (Knight et al, 2016; Hashimoto et al, 2018). In large mammal and human hearts, PDE1C is more prominent and constitutively expressed, providing most of the basal cGMP and cAMP hydrolysis activity measured in soluble cardiomyocyte fractions (Vandeput et al, 2007; Muller et al, 2021). PDE1C was further shown to reside in a complex with the adenosine A2A receptor (coupled to cAMP formation) and the transient receptor potential channel 3 (TRPC3) that mediates Ca2+/CaM-dependent activation of PDE1C (Zhang et al, 2018b).\nBoth PDE1A and PDE1C expressions rise in human and animal models of HF (Miller et al, 2009; Knight et al, 2016; Wu et al, 2017). Genetic deletion of PDE1C in mice generates no basal phenotype but is protective against pressure overload hypertrophy and fibrosis via cAMP-PKA and phosphatidylinositol 3-kinase/Akt-dependent pathways (Knight et al, 2016). Fibrosis was also reduced. Fibroblasts do not express PDE1C, suggesting a paracrine mechanism. One to 2 weeks of treatment with IC 86340 or vinpocetin attenuated heart disease caused by angiotensin II stimulation (Wu et al, 2017), CryABR12G induced proteinopathy (Zhang et al, 2019) and doxorubicin toxicity (Zhang et al, 2018b). This benefit, coupled with cAMP-PKA signaling, implicates the activation of Akt, the proteosome, and antiapoptotic pathways, respectively.\nIn both conscious dogs and intact rabbits, selective PDE1 inhibition (with lenrispodun [ITI-214]) results in enhanced contractility and relaxation, reduced arterial resistance, and an elevated heart rate (Hashimoto et al, 2018). The latter involves β-adrenoceptors, whereas enhanced contraction-relaxation implicated PDE1-adenosine A2 receptor coupling (Hashimoto et al, 2018). In isolated myocytes, PDE1 inhibition only augmented voltage-gated calcium conductance through CaV1.2 channels but did not increase the phosphorylation of phospholamban, troponin I, or myosin binding protein C or raise sarcoplasmic reticular Ca2+ load (Muller et al, 2021). In contrast, PDE3 inhibition augments CaV1.2, phospholamban, and MyBPC phosphorylation induced by β-adrenoceptor stimulation (Mika et al, 2013; Muller et al, 2021). Compared with PDE3 inhibition, suppressing PDE1 led to a smaller increase in intracellular calcium transients and correspondingly less arrhythmia. These findings spawned the only clinical test of a PDE1 inhibitor in human HF (Gilotra et al, 2021), a single-dose placebo randomized protocol in which lenrispodum increased ventricular power index, cardiac output, and heart rate and lowered vascular resistance.\nPDE2 activity and expression are increased in human myocardium from patients with end-stage HF (Mehel et al, 2013). This is also seen in isoprenaline-induced HF in rats (Kaumann et al, 2009; Mehel et al, 2013). PDE2 hydrolyzes cAMP in the vicinity of SERCA2a in hypertrophied cardiomyocytes (Sprenger et al, 2015). PDE2 increase results in reduced β-adrenoceptor-mediated hypertrophic remodeling induced by noradrenaline and phenylephrine (Mehel et al, 2013). Thus, PDE2 activation might be cardioprotective, as was confirmed in cardiac-specific PDE2-overexpressing mice for catecholamine-induced ventricular tachycardia and for cardiac dysfunction after myocardial infarction (Vettel et al, 2017). Conversely, PDE2 inhibition with BAY 60-7550 increased susceptibility to arrhythmias after reperfusion injury of isolated mouse hearts (Wagner et al, 2021). In this same study, the increase in PDE2 expression specifically in the heart prevented the incidence of depolarizations induced by isoprenaline, a pathogenic cause of arrhythmia (Wagner et al, 2021). Accordingly, gene therapy with PDE2A overexpression was shown to limit cardiac adverse left ventricle remodeling, dysfunction, and arrhythmias induced by catecholamines. Hence, strategies that increase PDE2A activity could prevent progression toward HF (Kamel et al, 2023).\nPDE2A is a cGMP-activated PDE (Martins et al, 1982), which might account for its protection against HF (Numata and Takimoto, 2022). Activation of the particulate guanylyl cyclase localized near PDE2A (Castro et al, 2006) results in a NP/BNP/cGMP-triggered defense mechanism during cardiac stress particularly during the excessive β-adrenoceptor-mediated drive. Interestingly, sacubitril, a neutral endopeptidase inhibitor that elevates NPs, improves classical treatments for HF (McMurray et al, 2014), and NPs exert antiarrhythmic effects via PDE2 (Cachorro et al, 2023).\nIn paradox, some studies have shown the detrimental effects of PDE2 activation. PDE2 upregulation was found to be prohypertrophic as the PDE2 inhibitor BAY 60-7550 antagonized cardiomyocyte growth via PKA phosphorylation of nuclear factor of activated T cells (NFAT), preventing the activation of the hypertrophic gene program (Zoccarato et al, 2015), and protected against apoptosis by promoting mitochondrial elongation (Monterisi et al, 2017). PDE2 activity and expression were upregulated in hypertrophied mouse myocytes after pressure overload and isoprenaline, and BAY 60-7550 decreased left ventricular (LV) hypertrophy, LV dilation, contractility, and fibrosis (Baliga et al, 2018). In addition, BAY 60-7550 or overexpression of catalytically inactive forms of PDE2 led to a restoration in the modulation of noradrenaline release in the stellate ganglion by BNP, which might further protect against HF (Liu et al, 2018).\nThe described paradox may be attributed to differences in the PDE2 isoforms expressed, the constructs used, or the cellular localization of the heterologous PDE2. More generally, the discrepancies may depend on the etiology of the HF. Further studies are needed to clarify whether inhibition or activation of the enzyme is preferred, implicating this difference in etiology.\nPDE3 is expressed in the myocardium of many species and is particularly abundant in large mammals including humans. Thus, PDE3 inhibitors have been developed for the treatment of HF. In congestive HF, PDE3 inhibitors in the short term induce a positive inotropic response and vasodilation (Movsesian et al, 2011). However, PDE3 inhibitors increase the mortality incidence of patients as a result of arrhythmias and sudden death (Packer et al, 1991). Although not fully elucidated, the mechanisms involved herein might implicate increased intracellular calcium concentrations due to chronically increased cAMP (Packer et al, 1991). In rodent models, pimobendan induced significant diastolic dysfunction with an increase in type I collagen deposition (Nakata et al, 2019). PDE3 inhibition might also be detrimental in HF through its effect on apoptosis. In vitro, PDE3A has been implicated in the activation of ICER (inducible cAMP early repressor), which is a transcriptional repressor of the antiapoptotic molecule Bcl-2. The inhibition of PDE3A leads to an increase in cAMP levels and consequent activation of PKA, which increases the ICER protein, resulting in cardiomyocyte apoptosis (Yan et al, 2007).\nConversely, transgenic mice overexpressing the Pde3a1 isoform specifically in the myocardium showed a cardioprotective effect in an ischemia and reperfusion model, with a reduction in the number of apoptotic cells and the size of the infarcted area in these transgenic animals. These beneficial effects were associated with a reduction in the cAMP/PKA/ICER signaling pathway and an increase in the Bcl-2 protein. These data suggest a therapeutic potential of PDE3A1 activation to prevent the deleterious effects of HF (Oikawa et al, 2013). Interestingly, activating mutations in PDE3, responsible for a rare disease characterized by the combination of brachydactyly and hypertension, confers cardioprotection despite the increase in afterload (Ercu et al, 2022). This latter observation supports the postulate reported earlier (Karam et al, 2020) that increasing rather than decreasing the activity of PDEs in cardiac tissue is beneficial. Despite the clinical limitations and unfavorable findings in rodent models, PDE3 inhibitors had positive effects on isoprenaline-induced myocardial injury in rats (Nakata et al, 2019) and showed favorable results on LV remodeling in mouse thoracic aortic constriction (TAC; Polidovitch et al, 2019). With Pde3a and Pde3b gene KO mice, PDE3A was found to be responsible for the beneficial milrinone effects in TAC (Polidovitch et al, 2019). Perhaps the adverse effects of PDE3 inhibition do not involve PDE3A, although this remains controversial (Movsesian, 2003).\nIn models of myocardial ischemia and reperfusion in dogs, a bolus injection of PDE3 inhibitor 30 minutes before coronary occlusion decreased the infarcted zone through the PKA/MAPK p38 pathway (Sanada et al, 2001; Sanada et al, 2004). This was likely due to PDE3B inhibition, as in vivo and Langendorff-perfused heart models of acute ischemia and reperfusion using Pde3a- and Pde3b-deficient mice, the size of the infarcted area was reduced only in the latter (Chung et al, 2015). Thus, despite the adverse effects of chronic PDE3 inhibitors in HF, their preischemia, single bolus use protects the myocardium against ischemic injuries (Sanada et al, 2001).\nNumerous studies have shown the involvement of PDE4 in cardiac pathophysiology in animal models, suggesting the negative impact of its absence. Accordingly, the involvement of PDE4B has been shown in tachycardia, involving CaV1.2 channel current amplitude elevation, and in HF of various etiologies, where PDE4B is decreased, and its overexpression attenuates HF (Abi-Gerges et al, 2009; Leroy et al, 2011; Mika et al, 2019; Karam et al, 2020). In addition to PDE4B, Pde4d-deficient mice showed an increase in ventricular tachycardia when subjected to physical training and developed cardiomyopathy with age (Lehnart et al, 2005). PDE4D resides in a close spatial relationship to the type 2 ryanodine receptor (RyR2), and its disappearance increases RyR2 phosphorylation by PKA, resulting in increased Ca2+ leakage from the SR prompting arrhythmias (Lehnart et al, 2005). PDE4D was shown to be decreased in the myocardium in humans with idiopathic cardiomyopathy (Richter et al, 2011a). PDE4D5 was shown to counteract hypertrophic events in neonatal cardiomyocytes (Berthouze-Duquesnes et al, 2013). In this study, PDE4D5 forms a complex with β-arrestin 2, and its disruption leads to a change from non-hypertrophic β2-adrenoceptor signaling to hypertrophic β1-adrenoceptor signaling involving Epac1.\nPDE4 is also expressed in human atrial myocytes, where it contributes to cAMP hydrolysis by controlling Ca2+ influx through CaV1.2 channels under basal conditions and under β-adrenoceptor stimulation (Molina et al, 2012). Inhibition of PDE4 in these atrial cells leads to an increase in the frequency of Ca2+ sparks and waves, leading to arrhythmias. In alignment with these findings, PDE4 activity has been shown to be reduced in patients with atrial fibrillation, a condition in which there is an alteration in the cAMP signaling pathway and Ca2+ dynamics (Molina et al, 2012). This highlights the involvement of this family of PDEs, not only at ventricular level but also in the human atrial myocardium, in the control of cAMP levels, both under basal conditions and under adrenergic stimulation, thus protecting against the development of arrhythmias.\nThe importance of PDE8 in cardiac pathophysiology has yet to be fully explored. In Pde8a isoform KO mouse β-adrenoceptor-stimulated Ca2+ transients, ICa,L and Ca2+ sparks in ventricular cardiomyocytes are increased (Patrucco et al, 2010). More recent work has demonstrated PDE8A and PDE8B in the human atrium, and the role of PDE8B in persistent atrial fibrillation. PDE8B is located in the plasma membrane in the atrial myocytes of humans with paroxystic atrial fibrillation, where it controls cAMP levels. Its expression is increased in these patients and reduces cAMP levels in the vicinity of the CaV1.2 channel, leading to a reduction in ICa,L current (Grammatika Pavlidou et al, 2023). This is the first evidence of a role for PDE8 as a regulator of L-type voltage-gated Ca2+ channels in human atrial myocytes.\nThe cGMP-PDE PDE5A and PDE9A are expressed in the cardiomyocytes at low levels and localized, respectively, at Z-discs, and at T-tubular structures and mitochondria (Nagayama et al, 2008; Lee et al, 2015). PDE5 modulates NO-stimulated guanylyl cyclase-1 (GC-1)-derived cGMP, and PDE9 shapes NP-guanylyl cyclase A-derived cGMP signaling (Takimoto et al, 2005; Lee et al, 2015). The result of cGMP signaling in the heart as shaped by PDE5 is well studied and involves a number of downstream targets that affect hypertrophy, antioxidant defense, mitochondrial respiration, angiogenesis, and proteostasis, leading to protection against ischemic damage and hypertrophy, as carefully reviewed elsewhere (Samidurai et al, 2023). In intact hearts subjected to pathological pressure overload, both PDE5A and PDE9A inhibitions similarly reduced hypertrophy, and fibrosis and improved cardiac function. However, if animals were concomitantly administered with L-NAME to inhibit NO synthase, then only the PDE9A inhibitor conferred these effects. Removal of ovaries in females reduces estrogen-coupled NOS activation. When this was done, PDE5A blockade also became ineffective (Sasaki et al, 2014; Fukuma et al, 2020), whereas PDE9A inhibition still protected the myocardium (Mishra et al, 2021).\nOxidative stress differentially modifies the regulatory function of PDE5 versus PDE9. Oxidation of cGMP-dependent kinase-1α (cGK-1α, also known as PKG1α) at 2 cysteine residues in the homodimer N-terminus (C42-C42) alters the localization of cGK-1α to assume a more diffuse cytosolic pattern (Nakamura et al, 2015; Nakamura et al, 2018). Preventing this oxidation by expressing a C42S mutation in cGK-1α itself reduced the maladaptive response to pressure overload associated with the maintenance of the kinase to the sarcolemmal membrane ((Nakamura et al, 2015). However, the outer membrane is not where PDE5A colocalizes, and likely as a result, PDE5A inhibition was ineffective in mice harboring this same cGK1α C42S mutation (Nakamura et al, 2018), as was also the case for sGC activator (Nakamura et al, 2018). By contrast, cell studies indicate that this does not apply to PDE9A inhibition that remains effective in this setting (Dunkerly-Eyring et al, 2022). The therapeutic implication is that inhibiting PDE9A is more likely to be impactful over PDE5A to activate cGK1α under conditions of oxidative stress, a common feature in many heart diseases.\nBoth PDE5A and PDE9A protein expressions are increased in human HF (Pokreisz et al, 2009; Shan et al, 2012b; Lee et al, 2015; Besler et al, 2021), and their inhibition has been found protective in heart disease of various etiologies (Kamel et al, 2023). The common denominator herein is the activation of cGK-1. Inhibition of PDE5A suppresses NFAT signaling that, in turn, is coupled to phosphorylation of the transient receptor canonical channel types 3 and 6 (Koitabashi et al, 2010; Kiso et al, 2013), interaction with the regulator of G-coupled signaling protein types 2 and 4 to counter Gq-coupled agonist stimulation (eg, by angiotensin II; Takimoto et al, 2009; Nishida et al, 2010), phosphorylation of tuberin (TSC2) at S1365 (S1364 in humans) to suppress activation of mTORC1 complex signaling (Ranek et al, 2019), and of carboxy terminus heart shock cognate interacting protein (CHIP, also Stub1) at S20 (S19 in humans) to enhance protein quality control (Ranek et al, 2020). PDE9A inhibition achieves a number of similar downstream effects, although not as many have been tested to date.\nPDE9A, but not PDE5A, localizes to mitochondria and modulates fatty acid oxidation (Mishra et al, 2021). PDE9A inhibition induced a thermogenic program in brown and white adipocytes (fat browning) both in vitro and in a model of severe, diet-induced obesity with and without pressure-load stress on the heart. Chronic PDE9A inhibition reduced fat mass with no change in lean mass, improved heart function, and reduced liver steatosis. These changes required activation of the transcriptional regulator PPARα, a master controller of fat metabolism genes. Interestingly, PDE9A inhibition only caused these changes in males and ovariectomized females but did not affect intact females. The likely cause is that estrogen suppresses PPARα transcriptional control over fat catabolism genes. The exact link between mitochondrial PDE9A, PPARα, and fat metabolism remains to be determined.\nAlthough many animal studies using PDE5A inhibition have shown benefits for various myocardial diseases, this has not been translated into the clinic (Borlaug et al, 2015; Cooper et al, 2022). Both positive and negative placebo-controlled trials are available, and recent meta-analyses further emphasize the contradicting findings regarding a potential application in coronary disease or heart failure (Cao et al, 2018; Samidurai et al, 2023; Soulaidopoulos et al, 2024). Reasons are uncertain, but PDE5A inhibitors are widely used to treat pulmonary hypertension (PH) and erectile dysfunction, but HF indications remain elusive. PDE9A inhibition has been studied in a sheep model of acute heart failure, both alone or in combination with a neprilysin inhibitor (to further enhance cGMP levels that PDE9A would in turn regulate), improving heart and renal function (Scott et al, 2019; Scott et al, 2023). Clinical trials of PDE9A inhibition in HF are ongoing, and whether the promising animal data ultimately translate to humans for this PDE remains to be seen.\nExpression of the dual substrate PDE, PDE10A (Chen et al, 2020), increases in mouse and human HF myocardium. PDE10A inhibitor TP-10 pathological hypertrophy, fibrosis, and chamber dysfunction in various pressure overload models. Mice with genetic deletion of Pde10a displayed reduced pathological responses and less mortality after pressure overload stress. Although cAMP and cGMP are both increased, their relative importance for PDE10 inhibition effects is unknown. Interestingly, inhibition of PDE10A ameliorated cardiac damage resulting from doxorubicin toxicity while simultaneously suppressing tumor growth in a breast cancer model (Chen et al, 2023). Thus, PDE10A is interesting in the new field of cardio-oncology.\nCardiovascular diseases account for around 30% of disability and mortality in economically developed countries, representing the largest healthcare problem according to the World Health Organization (WHO; Pencina et al, 2019). Vascular aging and disease are one of the main drivers (Abdellatif et al, 2023). Vascular disease can be roughly divided into 3 categories of obstructive arterial disease, ie, atherosclerosis leading to infarction, nonobstructive vascular aging, and aneurysms. Due to improved prevention and treatment of infarctions, vascular aging has increased (Jouabadi et al, 2023), which has led to an increase in diastolic compared with systolic heart failure and dementia.\nVascular smooth muscle cells (VSMC) and endothelial cells (EC) are the main cell types involved in vascular homeostasis and disease. This involves the following functions: vascular tone and compliance regulation, angiogenesis, regulation of endothelial permeability, and blood coagulation. Pericytes, fibroblasts, adipocytes, and resident macrophages play an auxiliary role in these functions. VSMC are the engine of the artery wall as they contract and relax. Contraction of VSMC depends on cytoplasmic Ca2+ increase, followed by CaM-mediated myosin light chain kinase phosphorylation, and subsequent phosphorylation-induced actin-myosin fiber shortening. Dephosphorylation of actin-myosin is executed by myosin light chain phosphatase (MLCP) at low Ca2+ causing relaxation. Rho kinase activation supports contraction by Ser-phosphorylation-induced inhibition of MLCP, thereby increasing Ca2+ sensitivity of the VSMC. Herein, cAMP-PKA and cGMP-PKG signaling inhibit phosphorylation-induced MLCP deactivation and Rho kinase, respectively (see [Ito et al, 2022] for a detailed review). Furthermore, cAMP lowers Ca2+ through modulation of L-type calcium channel opening (Lincoln and Cornwell, 1991; Majed and Khalil, 2012). VSMC can also migrate, redifferentiate into myofibroblasts, or both, which leads to vessel hypertrophy and fibrosis. In the microvasculature, the VSMC are present as pericytes, which are in contact with the EC, regulating, for example, the blood-brain barrier.\nEC are the regulators of the vessel wall (Deanfield et al, 2007). They form a smooth layer covering the luminal side of the blood vessel. They have antithrombotic and anti-inflammatory activities, suppress VMSC proliferation, and provide an important barrier function. EC also releases signaling factors to VSMC that change vascular tone and mediate angiogenesis through the process of sprouting, with tip and stalk cells guiding neovascularization. Tonus regulation and vascular remodeling are regulated by VSMC guided by stimuli derived from the circulation or neurotransmitters released by sympathetic neurons. VSMC are also regulated indirectly via the release of vasoactive signaling factors from EC that respond to circulating substances, flow changes, or hypoxia. Hypoxia is also the main stimulus for angiogenesis.\nVascular disease is characterized by the disturbed communication between EC and VSMC, low-grade inflammation, endothelial permeability, and oxidative stress. Cellular senescence and its associated secretory phenotype (SASP) are believed to play an important role herein (Garrido et al, 2022; Clayton et al, 2023; Jouabadi et al, 2023). In summary, inflammation, senescence, apoptosis, increased EC permeability, decreased EC antithrombotic and angiogenic function, VSMC proliferation, migration, and fibrosis jointly contribute to vascular disease and related morbidities, such as HF and dementia. We discuss here the roles of cyclic nucleotide PDEs in these processes, focusing on VSMC and EC (Fig. 12).Fig. 12The importance of PDEs regulation in vasculature. VSMCs and ECs constitute the primary vascular cell types, with pericytes taking over the role of VSMCs in the microvasculature, alongside macrophages and other supporting cells. The regulatory influence of PDEs on cAMP has been implicated in endothelial permeability. Additionally, PDEs play a role in proliferation and cell migration, processes typically mediated by VEGF signaling and Rac1, leading to an increase in ROS produced by NADPH oxidase. PDE inhibitors have demonstrated promising effects in preventing aneurysm formation, a critical aspect of vascular remodeling disorders. Nevertheless, the precise mechanisms through which cyclic nucleotides balance each other to regulate arterial wall thickening/thinning remain unclear. Question marks indicate that the precise role of PDE in that specific pathway remains unknown. Created with BioRender.com.\nThe importance of PDEs regulation in vasculature. VSMCs and ECs constitute the primary vascular cell types, with pericytes taking over the role of VSMCs in the microvasculature, alongside macrophages and other supporting cells. The regulatory influence of PDEs on cAMP has been implicated in endothelial permeability. Additionally, PDEs play a role in proliferation and cell migration, processes typically mediated by VEGF signaling and Rac1, leading to an increase in ROS produced by NADPH oxidase. PDE inhibitors have demonstrated promising effects in preventing aneurysm formation, a critical aspect of vascular remodeling disorders. Nevertheless, the precise mechanisms through which cyclic nucleotides balance each other to regulate arterial wall thickening/thinning remain unclear. Question marks indicate that the precise role of PDE in that specific pathway remains unknown. Created with BioRender.com.\nThe elevation of cytosolic and membrane cAMP, respectively, decreases (cytosolic cAMP) and increases endothelial (membrane cAMP) permeability (Sayner et al, 2006). The required local gradient is created through the intervention of cAMP-PDEs (Feinstein et al, 2012). Various complementary studies (Seybold et al, 2005; Diebold et al, 2009; Surapisitchat et al, 2007) have shown that cGMP levels steer endothelial PDE2 and PDE3 to alternatively regulate permeability by cAMP. Low levels of cGMP or PDE3A inhibition, which maintains high cAMP levels, decrease thrombin-induced permeability. As cGMP increases, PDE2A activation bypasses PDE3A inhibition, thus switching from higher to lower cAMP levels, decreasing EC barrier function. Presumably this involves membrane cAMP levels. Endothelial PDE4 regulates microvascular permeability. Rolipram and roflumilast have been shown to attenuate vascular leakage in models of inflammation and sepsis (Schick and Schlegel, 2022). Further details describing downstream signaling and microdomains in endothelial permeability have been recently reviewed (Vina et al, 2021).\nImportant for angiogenesis, cAMP inhibits EC proliferation and migration (Netherton and Maurice, 2005). cAMP blocks proliferation through vascular endothelial growth factor (VEGF) signaling and a Rac1-mediated increase of NADPH-oxidase-produced reactive oxygen species (ROS; Sadek et al, 2020). Accordingly, PDE2, 3, and 4 inhibitions inhibit VEGF-induced proliferation and migration of cultured human EC, and angiogenesis in the chick chorioallantoic membrane model (Netherton and Maurice, 2005). Inhibition of these PDEs might also account for the antiangiogenic effect of curcumin (Abusnina et al, 2015). Downstream of VEGF, PDE2 inhibition involves the cyclin A—p27kip1, whereas combined PDE2 and 4 inhibition targets the cyclin D1—p21waf1/cip1 cell cycle pathway (Favot et al, 2004). In contrast, microvascular EC adhesion depends on cAMP-EPAC, and is regulated by PDE3B or PDE4D (Netherton et al, 2007). Furthermore, a role for pericyte PDE3A in cAMP regulation relevant to angiogenesis and permeability was proposed (Spiranec et al, 2018). Interestingly, PDE3 or 4 inhibition improved eNOS activity and NO-mediated tube formation in cultured human aortic EC through cAMP/PKA and phosphatidylinositol 3-kinase/Akt (Hashimoto et al, 2006). The result of the conflict with the antiangiogenic effects of cAMP and of PDE2, 3, and 4 inhibition is unclear. Unfortunately, in vivo experiments in mammal angiogenesis models with PDE2, 3, and 4 inhibitors are lacking. In addition, the role of other cAMP-selective PDE subtypes in the endothelium is unknown.\ncGMP is proangiogenic, and PDE1 and PDE5 emerge when cultured bovine EC passes from a quiescent to a proliferative phenotype (Keravis et al, 2000). Sildenafil increases in vitro tube formation and in vivo angiogenesis in a rat embolic stroke model, improving neurological recovery in the latter (Zhang et al, 2003; Zhang et al, 2005b). Sildenafil protects against renal microvascular degeneration in the mouse streptozotocin diabetes model (Pofi et al, 2017). Sildenafil and tadalafil were also reported to increase endothelial progenitor cell number in healthy humans and patients with erectile dysfunction (Bocchio et al, 2008; Foresta et al, 2009). The ongoing discussion about the identity and origin of endothelial progenitor cells and the general lack of clinical trials showing a positive effect of cell therapy make predictions of the therapeutic relevance of such observations challenging (Chambers et al, 2021).\nThe role of cGMP in endothelial permeability is unclear; an increase, decrease, or no effect has all been reported (Lakshminarayanan et al, 2000; Rentsendorj et al, 2008; Bohara et al, 2014; Yin et al, 2014; Bodiga et al, 2020). Differences in EC origin, permeability stimulus and measurement methods, and data interpretation may underlie the confounding results. With respect to interpretation, it is sometimes overlooked that NO increases permeability through catenins and not PKG (Marin et al, 2012). The role of cGMP-PDEs in regulating permeability has not been reported. Activation of pericytes leads to endothelial cell leakage, worsens NO-mediated vasodilation, and is antiangiogenic. This is prevented by PDE5 inhibitor sildenafil in a pericyte-EC coculture model (Majumder et al, 2007).\nIn summary, inhibition of PDE2, 3, and 4 might mitigate pathogenesis that involves increased endothelial permeability and angiogenesis. PDE5 inhibition seems applicable in conditions where angiogenesis is favorable. The specific role of PDE1 or other cGMP-PDE has not been evaluated.\nAntiproliferative effects in VSMC have been described for cAMP. Genetic knockout of PDE1C attenuates injury-induced neointima formation, involving cAMP/PKA and platelet-derived growth factor receptor β (Cai et al, 2015). Furthermore, PDE1C was shown to be involved in VSMC migration through a concerted interplay between adenylate cyclase 8 and orai1 Ca2+ channels (Brzezinska and Maurice, 2019; Brzezinska et al, 2021). PDE3 inhibition decreased neointima formation after arterial injury in rats (Indolfi et al, 1997; Ishizaka et al, 1999; Inoue et al, 2000) but had no effect on atherosclerosis in ApoE-KO mouse (Umebayashi et al, 2018). Further development as an antirestenosis therapy has not been pursued, possibly due to competition of cytostatin-eluting stents. Nevertheless, vascular aging-related intimal thickening and arterial stiffening might be considered as a future application.\nAneurysm formation is a disease with often dramatic consequences. Early investigations demonstrated that theophylline, a nonselective PDE inhibitor, induces aneurysms in chick embryos (Gilbert et al, 1977). In contrast, deletion of Pde1c and inhibition of PDE1, PDE3, or PDE4 with IC86340, cilostazol, or rolipram, respectively, were shown to be protective in abdominal aneurysm models (Zhang et al, 2011b; Umebayashi et al, 2018; Varona et al, 2021; Zhang et al, 2021; Gao et al, 2022). Cilostazol effects were associated with reduced inflammation, ROS levels, and matrix metalloproteinases 2 and 9 levels (Zhang et al, 2011b; Umebayashi et al, 2018). Of note, furthermore, it remains unclear if rolipram mediates its effects by inhibiting PDE4B in infiltrating inflammatory cells or PDE4D in VSMC (Varona et al, 2021; Gao et al, 2022). In summary, inhibition of cAMP-PDEs is a viable concept for the prevention of aneurysms.\nDual PDE1/PDE5 inhibition with SCH51866 had an antiplatelet and antihypertrophic effect in a hypertensive rat angioplasty model, whereas the selective PDE5 inhibitor, E4021, only decreased platelet adhesion (Vemulapalli et al, 1996). Zaprinast, which also targets PDE9 and 11, was reported to reduce neointima formation (Keswani et al, 2009). Vardenafil inhibited fibroblasts-to-myofibroblast transdifferentiation in a mouse model of focal segmental glomerulosclerosis (Hu et al, 2022), highlighting possibilities for antifibrotic treatment. Selective PDE1 inhibition has emerged as a target for diseases related to VSMC and adventitial fibroblasts (Zhou et al, 2010; Yan, 2015; Roks, 2022). Genetic knockout of PDE1C or inhibition of PDE1 with IC86340 attenuated injury-induced neointima formation. However, the mechanism of action of cGMP is unclear given that unlike cAMP (see above), PKG does not regulate platelet-derived growth factor receptor β (Cai et al, 2015). Similar to PDE3 inhibition, the development of PDE1 and PDE5 inhibitors as clinical drugs against in-stent restenosis night prove complicated, whereas attenuation of vascular aging might be a possible indication. Indeed, in a mouse model of accelerated aging, chronic sildenafil treatment significantly improved vasomotor function (Golshiri et al, 2020).\nWith respect to aneurysms, several cases of aortic dissection or subarachnoid hemorrhage have been reported in patients with erectile function taking sildenafil. Although this was attributable to an effect on VSMC, mechanistic evidence has not been reported (Edwin et al, 2009; Tiryakioglu et al, 2009; De-Giorgio et al, 2011). It is also unclear if the protective effect of PDE1 inhibition against arterial wall thinning described above for cAMP also involves cGMP (Zhang et al, 2021). Currently, it is not understood how both cyclic nucleotides interact to regulate arterial wall thickening (neointima formation) and thinning (aneurysms).\nPDE2 inhibition was shown to unmask or improve cAMP-mediated relaxation of the pulmonary artery and aorta of rats exposed to hypoxia to induce pulmonary hypertension (Bubb et al, 2014). PDE3A is known to be involved in brachydactyly short stature-hypertension, a rare inherited disease also known as Bilginturan syndrome (Bilginturan et al, 1973). Due to a diverse pallet of gain-of-function mutations in these patients, PDE3A activity in VSMC increases, causing hypertension (Ercu et al, 2023). Patients respond to most standard antihypertensive treatments, except for inhibitors of the renin-angiotensin system because this system is not activated. Left untreated, patients die from stroke at around the age of 50 years. Due to the detrimental cardiac effects, chronic PDE3 inhibition is not considered to be a logical alternative when standard antihypertensive treatment is effective.\nTogether with PDE10A, PDE3A is a target for papaverine (Li et al, 2023), a drug used to stop vasospasms in claudication. Based on their vasodilator and antithrombotic actions, the PDE3 inhibitors, cilostazol, and milrinone, are prescribed for intermittent claudication; their potential utility in vasospasm after cerebral hemorrhage is under clinical evaluation (Saber et al, 2018; Lakhal et al, 2021).\nPDE5 inhibition has been considered to improve clinical outcomes after stroke. A meta-analysis of oral sildenafil effects after subarachnoid hemorrhage suggested improved long-term anatomical and functional outcomes (Faropoulos et al, 2023). This is in contradiction with the alleged increased risk for stroke observed in patients with erectile dysfunction mentioned above. Explorative pharmacoepidemiological research might be necessary before initiating an intervention study.\nIn rats, under normoxic conditions, relaxations of the pulmonary artery induced by atrial natriuretic peptide (ANP) and NO are modified by the cAMP-PDE PDE2, whereas this was restricted to ANP in vessels harvested from hypoxic animals (Bubb et al, 2014). In the aorta, PDE2 inhibition increased NO-mediated relaxation, and this was also lost after exposure to hypoxia. Thus, the regulation of ANP/pGC/cGMP signaling by PDE2 present under healthy conditions appears to depend on the type of blood vessels or, perhaps, the hemodynamic conditions to which it is exposed. Hypoxia is known to promote vasoconstriction (Haynes et al, 1996), and apparently, this centers around the regulation of particulate guanylyl cyclase-generated cGMP. The NO/sGC/cGMP regulation by PDE2 is abolished by hypoxia. Almost complete loss of PDE2 transcripts and protein was observed after hypoxia, whereas paradoxically cytosolic PDE2 activity was still measurable (Bubb et al, 2014). Perhaps, a differential involvement of membrane-versus cytosolic-located PDE2 might explain this discrepancy. Microdomain regulation of PDE2 has been demonstrated in myocardial cells (Castro et al, 2006) and in stellate neurons of spontaneously hypertensive rats (Li et al, 2022) but remains to be elucidated in vascular cells.\nThe role of PDE1 and PDE5 in blood pressure and vasomotor function has been well investigated, has been comprehensively reviewed recently (Roks, 2022), and is summarized here. Although PDE1 is Ca2+/CaM-dependent, PDE5 is activated by PKA- and PKG-mediated phosphorylation. Activation of PDE5 is cGMP-dependent and suppressed by NO inhibition (Wyatt et al, 1998; Teixeira et al, 2006). In contrast to PDE5, PDE1 has cAMP-metabolizing activity (Francis et al, 2011). Thus, PDE1 and PDE5 are, respectively, active under contractile and relaxing conditions, and their (patho)physiological roles can therefore be expected to differ significantly.\nVarious genetic models implicated PDE1A in VSMC myosin-actin regulation, which involves myosin light chain kinase phosphorylation, and blood pressure (Nagel et al, 2006; Wang et al, 2017b). In contrast, Pde1c deletion has no blood pressure effect in young adult mice (Ahmad et al, 2015; Knight et al, 2016; Zhang et al, 2018b). PDE1 or PDE5 inhibition leads to modest blood pressure lowering in healthy animals and humans (Herrmann et al, 2000; Miller et al, 2009; Laursen et al, 2017; Hashimoto et al, 2018; Dey et al, 2020; Gilotra et al, 2021; Jüttner et al, 2022). The PDE1-selective inhibitors, Lu AF41228 and Lu AF58027, produced concentration-related relaxations of isolated rat mesenteric arteries in an NO- and cAMP-dependent manner (Laursen et al, 2017). The PDE1 inhibitor, lenrispodun, improved NO-mediated vasodilation and appears to be dominant over PDE5 inhibition in mouse aorta with aged VSMC (Ataei Ataabadi et al, 2021).\nIn physiological versus pathological conditions, expressions of PDE1 and PDE5 are differentially affected (Yan et al, 1996; Rybalkin et al, 1997; Rybalkin et al, 2002; Chen et al, 2018; Zhang et al, 2021). Recently, it was found that in the aorta of mice with aged VSMC, PDE1, rather than PDE5, impairs NO-cGMP-mediated signaling (Ataei Ataabadi et al, 2021). When NO-cGMP-PKG signaling is optimal, PDE5 represents a negative feedback mechanism to oppose relaxation. Conversely, under disease conditions where NO-cGMP signaling is lowered and Ca2+-induced constriction may be increased, PDE1 may further augment Ca2+ sensitivity by inactivating cGMP and cAMP. Thus, PDE1 appears to be the disease associated with PDE in VSMC (Roks, 2022). Indeed, in mouse models of accelerated aging, lenrispodun countered vascular aging more effectively than sildenafil (Golshiri et al, 2020; Golshiri et al, 2021b). In addition, PDE1, but not PDE5, appears to play a role in the regulation of vascular smooth muscle cell senescence (Bautista Niño et al, 2015; Zhang et al, 2021). PDE5 expression was reduced in in vitro aged VSMC (Wyatt et al, 1998), whereas PDE1 levels were increased in senescent human VSMC, aged mouse aorta, and VSMC of mouse aortic aneurysms (Bautista Niño et al, 2015; Zhang et al, 2021). In addition, PDE1 inhibition attenuated VSMC senescence (Bautista Niño et al, 2015; Zhang et al, 2021). This effect might be explained by the cAMP-mediated activation of sirtuin-1, which is important in nutrient sensing—energy metabolism, during PDE1 inhibition (Zhang et al, 2021). The role of cGMP still needs to be further interrogated especially given that soluble guanylyl cyclase activators have antisenescent effects in the aorta of mice with accelerated aging (Ataei Ataabadi et al, 2022). These observations for PDE1 versus PDE5 lead to a paradigm shift in their role in healthy and aged vascular tissue.\nOf potential clinical relevance are epidemiological studies that have found single nucleotide polymorphisms (SNPs) in the PDE1A gene that are associated with diastolic blood pressure, mean arterial pressure, and common carotid intimamedia thickness (Tragante et al, 2014; Bautista Niño et al, 2015). PDE1C polymorphisms were not associated with vascular aging variables. It is unknown if this is due to the lack of functional mutations. Further discussion can be found elsewhere (Golshiri et al, 2019; Ataei Ataabadi et al, 2020; Roks, 2022).\nPDE1 has also been proposed to play a role in nitrate tolerance during treatment of recurrent angina pectoris (Kim et al, 2001). However, these experiments employed vinpocetine, which is not selective for PDE1 (Dunkern and Hatzelmann, 2007). The role of PDE1 in vasodilation or blood pressure regulation, specifically in relation to cAMP, remains unclear. The distinct impact of PDE1 inhibition on blood pressure may be attributed to the opposing effects of vasorelaxation and positive inotropy (Gilotra et al, 2021). In conclusion, the balance of evidence suggests that inhibition of PDE1 or PDE5 may not be the optimal approach to treat hypertension. Nevertheless, the role of these PDEs in aging-related loss of vasodilation capacity warrants further inspection.\nPDE inhibition is a prominent target in pulmonary disease. The groups of pulmonary diseases that are targeted for PDE intervention are diverse, involving different etiologies that implicate pulmonary, vascular, and inflammatory cell types, and the cardiovascular system. It comprises pulmonary hypertension, pulmonary fibrosis, chronic obstructive pulmonary disease (COPD), and asthma. These diseases will now be reviewed in this order.\nPH is a debilitating and potentially fatal cardiovascular disorder (Schermuly et al, 2011) in which PDEs play a pivotal role (Ahmad et al, 2015). This section explores the diverse roles of PDEs in the pathogenesis and treatment of PH.\nPH is a complex cardiovascular disorder characterized by elevated pulmonary arterial pressure (Schermuly et al, 2011). It increases afterload on the cardiac right ventricle (RV). If left untreated, it can result in right ventricular dysfunction and ultimately HF (Schermuly et al, 2011). The adaptation of the RV to the increased afterload is crucial for survival (Tello et al, 2023). PH can be classified into 5 main groups, each with distinct etiologies and pathophysiological mechanisms (Humbert et al, 2022).\nPulmonary arterial hypertension (PAH; group 1) is the best-known subtype and is characterized by pathological changes in the small pulmonary arteries. Changes include vasoconstriction, vascular remodeling, and endothelial dysfunction (Schermuly et al, 2011). PAH is often idiopathic but can also be caused by connective tissue diseases, congenital heart diseases, or chemical poisoning (D'Alto and Mahadevan, 2012; Montani et al, 2013; Zanatta et al, 2019). Mutations in the BMPR2 and other genes have been implicated in the development of heritable PAH (Evans et al, 2016; Morrell et al, 2019).\nPH associated with left-sided heart diseases such as HF, valvular diseases, or LV dysfunction is classed as group 2 PH (Vachiery et al, 2019). Increased left atrial pressure is transmitted backward to the pulmonary circulation and can lead to pulmonary vascular abnormalities resulting in increased pulmonary vascular resistance (PVR; Rosenkranz et al, 2016).\nPH associated with lung diseases (particularly COPD and interstitial lung diseases) is classed as group 3 PH (Gredic et al, 2021; Humbert et al, 2022). Hypoxia and inflammation are key factors contributing to vascular changes in this group (Ye et al, 2023).\nChronic thromboembolic PH (Group 4) is a unique form of PH caused by chronic pulmonary thromboembolism, where blood clots obstruct the pulmonary arteries (Pepke-Zaba et al, 2017; Ghofrani et al, 2021). Although normally addressed with pulmonary thromboendarterectomy, some patients require additional therapy or lung transplantation (Ghofrani et al, 2021).\nPH with unclear and/or multifactorial mechanisms (group 5) encompasses a heterogeneous collection of PH conditions that result from hematological or systemic disorders or that have no clear cause (Lahm and Chakinala, 2013; Al-Qadi et al, 2020).\nOne of the hallmark features of PH is increased pulmonary vasoconstriction and endothelial dysfunction (Evans et al, 2021; Kurakula et al, 2021; Hopkins and Stickland, 2023). Endothelial dysfunction disrupts the balance between vasodilators (eg, NO and prostacyclin) and vasoconstrictors (eg, endothelin-1, 5-hydroxytryptamine, and thromboxane; Huertas et al, 2018). Endothelin-1, in particular, plays a central role in promoting vasoconstriction and vascular remodeling in PH, both of which increase PVR (Chester and Yacoub, 2014).\nVascular remodeling in PH involves thickening of the pulmonary artery walls due to cellular proliferation and hypertrophy (Shimoda and Laurie, 2013; Leopold and Maron, 2016; Shimoda, 2020), involving all layers. This structural alteration narrows the vascular lumen. Endothelial dysfunction contributes to inflammation and thrombosis within the pulmonary arteries (Evans et al, 2021; Kurakula et al, 2021). Chronic inflammation is increasingly recognized as a key player in the pathogenesis of PH, especially in groups 3 and 5 (Frid et al, 2020; Yoo and Marin, 2022). Inflammatory cells, growth factors, cytokines, and signaling pathways such as the platelet-derived growth factor-β pathway are implicated in the vascular remodeling that increases PVR (Leopold and Maron, 2016; Shimoda, 2020; Liu et al, 2022; Wang et al, 2022).\nUnderstanding the pathophysiology of PH is crucial for developing effective treatments. This section will further delve into the role of PDEs in the multiple pathways and mechanisms that contribute to and serve as therapeutic targets in PH.\nIn the context of PH, cAMP, and cGMP play a central role in regulating pulmonary vascular tone, cellular proliferation, and inflammation and are important downstream mediators of NO, natriuretic peptides, prostacyclin, and other hormones (Chen et al, 2013; Bobin et al, 2016). The cyclic nucleotides exert vasodilatory effects in the pulmonary circulation in the same manner as described in section Smooth Muscle Cells, Endothelial Cells, and PDEs for arteries in general (Lincoln and Cornwell, 1991; Ghofrani et al, 2002; Majed and Khalil, 2012; Bobin et al, 2016; Klinger and Kadowitz, 2017). Furthermore, inhibition of VSMC proliferation by cAMP is critical in vascular remodeling seen in PH (Growcott et al, 2006). cGMP inhibits platelet activation and aggregation, further preventing thrombosis in the pulmonary arteries, a common complication of PH (Wen et al, 2018; Degjoni et al, 2022). In PH, reduced levels of cAMP and cGMP due to increased PDE activity contribute to enhanced vasoconstriction, abnormal cellular proliferation, and inflammation, all of which are hallmark features of the disease (Muraki et al, 2019; Bubb et al, 2014). Hence, targeting PDEs to restore cyclic nucleotide levels represents a promising therapeutic approach in PH (Wilkins et al, 2008). The next section reviews the role of PDE subtypes and their potential as drug targets in PH.\nPDE3 plays a pivotal role in vascular tone regulation and cell proliferation in PH via cAMP (Tilley and Maurice, 2002; Thelitz et al, 2004; Chen et al, 2009a). PDE3 counteracts vasodilation, contributing to vasoconstriction and increased PVR (Jeffery and Wanstall, 1998; Busch et al, 2010; Dillard et al, 2020). By blocking PDE3 activity, the levels of cAMP are preserved, leading to enhanced vasodilation and inhibition of VSMC proliferation (Murray et al, 2002; Dony et al, 2008). PDE3 inhibitors such as milrinone and cilostazol have shown promise in PH in experimental models and early phase clinical trials (Chen et al, 1997; James et al, 2016). Milrinone, originally developed as an inotropic agent for heart failure, has been repurposed for PH therapy (Bassler et al, 2006; James et al, 2016). However, its use is limited by its short half-life and the need for continuous intravenous infusion. Cilostazol is used primarily for its antiplatelet and vasodilatory effects in peripheral arterial disease (Manolis et al, 2022). Some studies have explored its potential in PH (Chang et al, 2008; Ito et al, 2021), but more research on its efficacy and safety in patients with PH is required.\nPDE4 has been implicated in the pathophysiology of PH (Dony et al, 2008; Izikki et al, 2009). One of the distinguishing features of PH is chronic inflammation within the pulmonary vasculature (Pugliese et al, 2015). In this context, PDE4 plays a crucial role (Li et al, 2018). PDE4 isoforms are abundantly expressed in various immune cells, including macrophages and lymphocytes (Schick and Schlegel, 2022). Reduced cAMP levels result in heightened inflammation and immune cell activation (Raker et al, 2016), making PDE4 inhibitors as potential therapeutic agents in PH (Du et al, 2023). PDE4 inhibition increases intracellular cAMP levels in immune cells, leading to the downregulation of proinflammatory cytokines and reduced immune cell activation (Li et al, 2018). This can complement the effects of existing PH therapies that primarily focus on vasodilation and vascular remodeling (Meloche et al, 2013). PDE4 inhibitors have been explored in experimental PH (Izikki et al, 2009) which improves pulmonary hemodynamics, reduces vascular remodeling, and attenuates inflammation (De Franceschi et al, 2008; Izikki et al, 2009; Seimetz et al, 2015). PDE4 inhibitors require careful dosing to avoid gastrointestinal side effects (Kumar et al, 2013; Li et al, 2018). Therefore, challenges remain in optimizing dosing regimens, addressing potential side effects, and conducting larger-scale clinical trials to establish safety and efficacy in patients with PH (Fig. 13).Fig. 13PDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE5 is particularly significant in the pathophysiology and treatment of PH (Barnes et al, 2019). PDE5 is highly expressed in the pulmonary vasculature, making it a central player in regulating cGMP levels in the lung (Wilkins et al, 2008; Tang et al, 2017). By hydrolyzing cGMP, PDE5 contributes to the vasoconstriction and vascular remodeling seen in PH (Chen et al, 2013; Tang et al, 2017). PDE5 is strongly upregulated in the medial layer of the lungs (Wharton et al, 2005) as well as in the hypertrophied RV of patients with PAH (Nagendran et al, 2007). Sildenafil (Revatio) and tadalafil (Adcirca) have proven their efficacy in placebo-controlled multicenter clinical trials (Ghofrani et al, 2004a; Galie et al, 2005; Galie et al, 2009; Montani et al, 2009; Barnes et al, 2019), improving exercise capacity, hemodynamics, and quality of life (Michelakis et al, 2003; Ghofrani et al, 2004b; Pepke-Zaba et al, 2008). Tadalafil, with its longer half-life (Forgue et al, 2006), offers the convenience of once-daily dosing. Some patients may develop resistance or suboptimal responses to PDE5 inhibitors over time (Unegbu et al, 2017; Barnes et al, 2019; Garcia et al, 2023), and research to enhance their effectiveness is ongoing. Combination therapy with other PH-targeted agents, such as prostacyclin analogs or endothelin receptor antagonists, is being investigated to address the multifactorial nature of PH and provide a more comprehensive treatment strategy (Humbert and Ghofrani, 2016). In this regard, it was shown experimentally that subthreshold doses of specific PDE inhibitors enhanced the pulmonary vasodilatory response to nebulized prostanoids (Schermuly et al, 1999; Schermuly et al, 2001). Clinically, PDE inhibition by sildenafil (Ghofrani et al, 2003) or the PDE3/4 dual-selective inhibitor tolafentrine (Ghofrani et al, 2002) amplified the pulmonary vasodilatory response to the inhaled prostacyclin analog iloprost and provided the basis for the implementation of combination therapy for PAH. This combination strategy aims to address vasoconstriction, vascular remodeling, inflammation, and maintenance of gas exchange (Ruopp and Cockrill, 2022). The combination of the PDE5 inhibitors sildenafil or tadalafil with endothelin receptor antagonists and/or prostacyclin analogs is the gold standard for the treatment of PAH and is included in the European PH treatment guidelines (Humbert et al, 2022).\nAdvantages of PDE5 inhibition in PH management include oral administration, relatively few side effects, and improvements in exercise capacity and quality of life (Buckley et al, 2010). Limitations include response variability (patient and PH subtype-dependent), the potential for drug interactions, and the need for careful monitoring of adverse effects, such as hypotension and visual disturbances (Rashid, 2005). Patient stratification based on underlying causes and pathophysiology is therefore very important (Humbert et al, 2022).\nOngoing research is exploring novel PDE5 inhibitors, alternative dosing regimens, and innovative drug delivery methods (Rashid et al, 2017). Furthermore, a deeper understanding of the heterogeneity of PH, clinical presentation, and the genetic factors influencing PDE5 responsiveness is guiding personalized treatment approaches (Savale et al, 2018; Wilkins, 2021). Also, challenges in combination therapy are being addressed (Lajoie et al, 2017; Dos Santos Fernandes et al, 2017; Burks et al, 2018), as well as interactions with drugs given for other indications (Dos Santos Fernandes et al, 2017; Lajoie et al, 2017).\nPDE1 isoforms have garnered attention for their involvement in PH pathogenesis (Schermuly et al, 2007). Elevated PDE1 activity has been observed in PH in animal models and patients (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). This heightened activity leads to reduced levels of both cAMP and cGMP, contributing to vasoconstriction, enhanced proliferation of VSMCs, and inflammation (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). Importantly, the breakdown of the second messengers limits the efficacy of prostacyclin and NO. By blocking PDE1 activity, it is possible to increase intracellular levels of cAMP and cGMP, promoting vasodilation and inhibiting VSMC proliferation (Murray et al, 2007; Schermuly et al, 2007). In experimental models of PH PDE1 inhibitors improved pulmonary hemodynamics, reduced PVR, and attenuated vascular remodeling (Evgenov et al, 2006; Schermuly et al, 2007; Crosswhite and Sun, 2013). These findings support the idea that PDE1 inhibitors could be a valuable addition to the PH treatment arsenal (Fig. 13).\nAlthough less extensively studied than other PDE isoforms in PH, cellular and functional studies have shown that PDE2 inhibition elicits pulmonary vasodilation, prevents pulmonary vascular remodeling, and reduces right ventricular hypertrophy in experimental PH (Bubb et al, 2014). As PDE2 is also highly expressed in the failing heart (Bobin et al, 2016), further investigations into the mechanisms and effects of PDE2 dysregulation in the RV could offer valuable insights for the development of novel treatment strategies aimed at restoring cyclic nucleotide balance and ameliorating the vascular abnormalities associated with this debilitating disease.\nPDE10 is present in the pulmonary vasculature (Tian et al, 2011). In experimental models of PH, PDE10 inhibitors have been shown to increase cAMP levels, promote vasodilation, and reduce pulmonary vascular remodeling (Huang et al, 2019b; Tian et al, 2011). These findings suggest that PDE10 inhibition could offer a novel therapeutic approach for PH. The translation of preclinical findings into clinical applications is an ongoing process. The long-term safety and tolerability of PDE10 inhibitors need to be thoroughly evaluated in clinical trials, particularly considering the strong expression of PDE10 in the brain. Clinical trials evaluating the safety and efficacy of PDE10 inhibitors in schizophrenia are underway and may provide relevant information to guide clinical development in PH.\nProgressive pulmonary fibrosis (PPF) and idiopathic pulmonary fibrosis (IPF) are interstitial lung diseases (ILDs) of known and unknown origin, respectively, and are characterized by progressive fibrosis of the pulmonary interstitium leading to an impairment of lung function and finally to death (Raghu et al, 2014; Cottin et al, 2019; Kolb and Vasakova, 2019; Raghu et al, 2022). Up to 40% of patients with ILDs may develop a progressing fibrotic phenotype, which is associated with high mortality, with median postdiagnosis survival in patients with IPF estimated at 2–5 years (Raghu et al, 2014). Progression of fibrosing ILD is reflected especially in a decline in pulmonary function, decrease in exercise capacity, deterioration in the quality of life, worsening of cough and dyspnea, acute exacerbations, and increase of morphologic abnormalities (Cottin et al, 2019; Kolb and Vasakova, 2019). In patients with IPF, a decline of forced vital capacity (FVC), the maximum amount of air one can forcibly exhale from the lungs after fully inhaling, is a well established predictor of mortality, and some blood biomarkers including the pneumyocyte type 2-regeneration marker KL-6, surfactant protein (SP)-D and extracellular matrix remodeling enzyme matrix metalloproteinase (MMP)-7 have been shown to be prognostic for disease progression (Karampitsakos et al, 2023). Currently, the only approved treatments to slow disease progression in IPF are nintedanib, a tyrosine kinase inhibitor, which is also indicated for PF-ILD, and pirfenidone, a pyridone with an unknown mechanism of action (Richeldi et al, 2018). However, the medical need for IPF and other progressive fibrosing ILDs remains high, with lung transplantation representing the only potentially curative treatment for IPF.\nWith respect to IPF pathophysiology, there has been a paradigm shift in recent years from a chronic inflammatory disorder to a primarily fibrotic disease. The current hypothesis of disease pathogenesis involves sustained alveolar epithelial microinjury, followed by a disordered repair, and wound healing response. This is characterized by uncontrolled activation of lung fibroblasts and differentiation to myofibroblasts, resulting in excessive extracellular matrix deposition and scarring of lung parenchyma, leading to loss of pulmonary function (Sgalla et al, 2018; Spagnolo et al, 2018). The wound-healing process includes an inflammatory phase, with the involvement of inflammatory cells and increased levels of cytokines and growth factors, creating a biochemical environment supporting chronic tissue remodeling. Nintedanib and pirfenidone have displayed antifibrotic and anti-inflammatory activity (Heukels et al, 2019) but slowed down the decline in FVC. Both compounds evoke significant side effects, leaving room for better-tolerated and efficacious medication. PDE4 inhibition offers this via anti-inflammatory and antifibrotic effects of cAMP (Richeldi et al, 2022). Increase in cGMP levels by inhibition of PDE5 is ineffective, eg, when sildenafil is given on top of nintedanib, in IPF (Kolb et al, 2018).\nIn pulmonary fibrosis (PF), the possible application of PDE targeting is centered around PDE4. Very scarce evidence is available with respect to other PDEs, although PDE1, PDE5, and PDE9 have been mentioned as possible targets (Yildirim et al, 2010; Ren et al, 2017; Wu et al, 2020; Balaha et al, 2023). PDE4 has traditionally been implicated in the regulation of inflammation and the modulation of immune-competent cells, and data for the 3 selective pan-PDE4 inhibitors (active on PDE4A-D) currently marketed (roflumilast, apremilast, and crisaborole) support a beneficial role for PDE4 inhibition in inflammatory and/or autoimmune diseases (Hatzelmann et al, 2010; Sakkas et al, 2017; Li et al, 2018).\nImportant for PF, in bleomycin-induced PF in rats, rolipram initially was shown to inhibit fibrotic score, the content of fibrosis marker hydroxyproline, and of the inflammatory marker, serum TNF-α (Pan et al, 2009). A second early study in mice and rats showed that oral roflumilast was active both in preventive and therapeutic protocols (Cortijo et al, 2009). Cilomilast was shown to inhibit late-stage lung fibrosis and tended to reduce collagen content in the mouse bleomycin model (Udalov et al, 2010). In a murine model of lung fibrosis targeting type II alveolar epithelial cells, roflumilast lowered lung hydroxyproline content and mRNA expression of TNF-α, fibronectin (FN), and connecting tissue growth factor (CTGF; Sisson et al, 2018). Again, roflumilast was active both in a preventive and therapeutic regimen, and under the latter conditions, it appeared to be therapeutically equieffective with pirfenidone and nintedanib. Furthermore, in a mouse model of chronic graft-versus-host disease, lung fibrosis was attenuated by roflumilast (Kim et al, 2016).\nPDE4 inhibitors might act indirectly via inhibition of proinflammatory cells (like alveolar macrophages) and their mediators and/or directly on fibrotic cell types. In human embryonal fibroblast models, PDE4 and prostaglandin E2 (PGE2), which increases cAMP, importantly interact: rolipram- and cilomilast-inhibited FN-induced chemotaxis and contraction of collagen gels, an effect that involved PGE2 (Kohyama et al, 2002). The inhibition of the fibroblast functions by cilomilast could be modulated by cytokines like IL-1ß or IL-4. In addition, TGF-ß1-stimulated FN release was inhibited by a PDE4 inhibitor, paralleled by stimulation of PGE2 release as a positive feedback mechanism (Togo et al, 2009). Roflumilast N-oxide, the active metabolite of roflumilast, in the presence of PGE2 was shown to inhibit intercellular adhesion molecule-1 and eotaxin release stimulated by TNFα, proliferation stimulated by basic fibroblast growth factor (bFGF) plus IL-1ß, as well as TGFß1-induced α-SMA, CTGF, and FN mRNA expression in the presence of IL-1ß (Sabatini et al, 2010). In normal human lung fibroblasts, TGF-β-induced fibroblast-to-myofibroblast conversion assessed by α-SMA expression was shown to be inhibited by piclamilast in the presence of PGE2 (Dunkern et al, 2007). In subsequent papers, the same investigators showed the inhibition of IL-1ß plus bFGF-stimulated fibroblast proliferation by piclamilast and the importance of COX-2 and PGE2 (Selige et al, 2010). The importance of a cAMP trigger for the modulation of fibroblast functions by PDE4 inhibition was corroborated by the inhibition by roflumilast of TGF-β1-induced CTGF mRNA and α-SMA protein expression, and FN in the presence of the long-acting β2-adrenoceptor agonist, indacaterol (Tannheimer et al, 2012). Moreover, the inhibition by rolipram of another interesting aspect of fibrosis, epithelial-mesenchymal transition, was shown in the TGF-ß1-stimulated A549 human alveolar epithelial cell line (Kolosionek et al, 2009). Thus, a multitude of in vitro studies indicate that PDE4 inhibitors can directly inhibit various cAMP-dependent fibroblast functions. Upregulation of PDE4 activity by cytokines such as IL-1β may further enhance this role (Fig. 13).\nThere is also evidence for the role of isoform-selective PDE4 inhibition. By using PDE4 subtype-specific siRNA, the involvement of PDE4B and PDE4A in the attenuation of IL-1ß plus bFGF-stimulated fibroblast proliferation, as well as the involvement of PDE4B and PDE4D in TGF-ß-induced α-SMA expression, was shown (Selige et al, 2011). In most of the fibrosis-relevant cell types, like fibroblasts, macrophages, and epithelial cells, the PDE4B seems to have a more prominent role than other PDE4 subtypes (Hatzelmann et al, 2010), which was confirmed by the inhibition of cytokine release, proliferation, fibroblast-to-myofibroblast transition, and expression of extracellular matrix proteins by BI 1015550 (nerandomilast), a preferential PDE4B inhibitor with 9-fold selectivity for PDE4B vs PDE4D (Herrmann et al, 2022). In a phase II study in IPF patients, BI 1015550, although showing acceptable tolerability and safety, stabilized lung function in both patients with and without antifibrotic background therapy over 12 weeks and reduced disease-relevant blood biomarkers indicative of effects on the epithelium, fibrosis, and inflammation (Richeldi et al, 2022). BI 1015550 is currently in phase III clinical studies for IPF and PPF (NCT05321069 and NCT05321082).\nAsthma is a pulmonary disease in which chronic inflammation plays a central role. Similarly, COPD is often associated with airway inflammation, although systemic manifestations are also commonplace. Although PDE inhibition is not a standard of clinical care for the treatment of either disorder, developments are ongoing that are largely centered around inhibitors of PDE4. Cigarette smoking is an important risk factor for asthma and COPD exacerbations and can increase the expression and function of certain PDE4 isoforms. For example, PDE4D mRNA abundance was significantly elevated in human airway smooth muscle (ASM) cells and precision-cut murine lung slices exposed acutely to cigarette smoke extract (Singh et al, 2009; Zuo et al, 2018). Moreover, an increase in PDE4A4 mRNA and catalytic activity was detected in macrophages harvested from the bronchoalveolar lavage (BAL) fluid of smoking individuals with COPD relative to control subjects (Barber et al, 2004). The physiological consequences of enhanced PDE4 activity are ill-defined. However, in obstructive lung diseases, one might predict that a noxious insult that lowers cAMP would enhance pulmonary inflammation, which could be rectified with a PDE4 inhibitor (Milara et al, 2012; Zuo et al, 2018). These findings may have clinical relevance, given that a genome-wide association study of a cohort of Korean individuals identified a SNP in PDE4D, rs16878037, which was significantly associated with a susceptibility to nonemphysematous COPD (Yoon et al, 2014). Differences in the expression of transcripts that encode other PDEs including PDE1A, PDE6A, PDE7A, and PDE11A have also been detected in nasal and bronchial epithelial cells obtained from current smokers when compared with never smokers (Zuo et al, 2020). These changes have not been verified at the protein level and the (patho)physiological relevance is, therefore, unclear. Still, Pde11a has been linked, genetically, to inflammatory pulmonary conditions including asthma and symptomatic tuberculosis (Witwicka et al, 2007; Bazhin et al, 2010; DeWan et al, 2010; Oki et al, 2011; Zhu et al, 2019b). In the sections that follow, the potential therapeutic utility, limitations, and challenges of developing inhibitors of PDE4 and other PDE subtypes for asthma and COPD are reviewed.\nAsthma afflicts >350 million people globally and represents one of the most common, noncommunicable diseases with a prevalence that is predicted to increase to 450 million by 2025 (Vos, 2017). Mortality from asthma is low, but the burden it inflicts on society is considerable in terms of morbidity, quality of life, and associated economic costs (Dharmage et al, 2019; Reddel et al, 2019). Asthma is a heterogeneous disease with many endotypes that do not respond equally to current drug interventions (Wenzel, 2012). In ∼50% of cases, asthma has an allergic basis that is characterized by recurrent airway obstruction, airway hyper-responsiveness, airway inflammation, and airway remodeling (Woodruff et al, 2009).\nDespite the heterogeneity of disease, treatment options for all patients with mild-to-moderate asthma are similar. The 2024 Global Initiative for Asthma treatment guidelines recommends that a combination of an inhaled corticosteroid (ICS) and the long-acting β2-adrenoceptor agonist (LABA), formoterol, is the “preferred” approach to provide as-needed relief of symptoms and maintenance control of the disease at all levels of severity (Reddel et al, 2019). Global Initiative for Asthma also advocates that a long-acting muscarinic receptor antagonist (LAMA) and/or biologicals be considered for the treatment of patients with severe disease in whom high-dose ICS/LABA combination therapy is suboptimal (Reddel et al, 2019). Regardless of these therapeutic approaches, many patients with severe asthma who suffer frequent exacerbations are still poorly controlled. In these difficult-to-treat cases, PDE inhibitors could prove to be beneficial as add-on therapies and remain in clinical development.\nCOPD is a leading cause of morbidity and mortality globally (Vogelmeier et al, 2017; Mirza et al, 2018; Reddel et al, 2019). According to the Global Initiative for Obstructive Lung Diseases (GOLD) guidelines, COPD is defined as “a common preventable and treatable disease” characterized by “persistent airflow limitation that is usually progressive and associated with an enhanced chronic inflammatory response in the airways and the lung to noxious particles and gases” (Vogelmeier et al, 2017; Mirza et al, 2018). Despite this definition, COPD is a generic term that describes a heterogeneity of endotypes (Miravitlles et al, 2013; Vestbo, 2014; Barnes, 2019) where chronic bronchitis, cough, idiopathic sputum production, airway wall thickening, mucus hypersecretion, and destruction of alveolar septa (ie, emphysema) are present to a greater or lesser extent (Barnes, 2004; Krzyzanowski et al, 2005; Barnes, 2008; McDonough et al, 2011); together, these pathologies contribute to the persistent, partially irreversible, and progressive decline in lung function that defines COPD (Postma and Timens, 2006; Hogg and Timens, 2009; van den Berge et al, 2011; Vogelmeier et al, 2017; Mirza et al, 2018). Due to high morbidity and mortality, COPD continues to impose a significant social and economic burden. Indeed, the number of deaths from COPD is projected to increase because of higher rates of cigarette smoking in the developing world and an aging global population in general (Vogelmeier et al, 2017; Mirza et al, 2018).\nTreatment of COPD is, for the most part, restricted to bronchodilators. A LABA or a LAMA, each taken as a monotherapy or in combination, are recommended options to provide symptomatic relief (Vogelmeier et al, 2017; Mirza et al, 2018). In patients with more severe disease, anti-inflammatory therapy is often indicated with an ICS and/or an oral PDE4 inhibitor (Vogelmeier et al, 2017; Mirza et al, 2018). The utility of a PDE4 inhibitor is restricted to a subgroup of patients with COPD of a severe, bronchitic, frequent exacerbator phenotype who are not well controlled despite ICS and bronchodilator therapy (Briggs et al, 2010; Hurst et al, 2010; Giembycz and Maurice, 2014; Giembycz and Newton, 2014; Maurice et al, 2014; Vogelmeier et al, 2017; Mirza et al, 2018). Exacerbations of COPD are a major clinical concern because they are difficult to control, contribute significantly to the decline in lung function, and are the major cause of premature mortality (Mallia and Johnston, 2006; Kurai et al, 2013; Viniol and Vogelmeier, 2018). Hence, reducing the risk of a COPD exacerbation represents a primary therapeutic objective. Exacerbations of COPD are often precipitated by a bacterial and/or viral infection and are, thus, believed to have an inflammatory basis (Mallia and Johnston, 2006; Kurai et al, 2013; Ni et al, 2015; Viniol and Vogelmeier, 2018). This may explain why ICS and PDE4 inhibitors can be of benefit in subjects with COPD in whom airways inflammation is discernible.\nPDE4 isoforms are expressed in most immune and structural cells of the airways and regulate many inflammatory processes (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). This realization led to the proposal in the late 1980s that PDE4 might represent a novel target for treating inflammatory diseases. A primary indication was asthma, and a huge effort ensued to rigorously define PDE4 as a viable therapeutic target (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). Despite initial optimism, the efficacy of PDE4 inhibitors as an asthma therapeutic has been uniformly disappointing, and most compounds selected for clinical development have been discontinued (Giembycz, 2008). The high rate of attrition is attributable to a low therapeutic ratio because of the inhibition of PDE4 in nontarget tissues with nausea and vomiting being the most severe, dose-limiting adverse effects. Thus, understanding the molecular basis of emesis became a priority. At that time, it was known that cAMP could enhance noradrenergic neuronal activity within the highly vascularized area postrema in the brainstem, which is linked, causally, to emesis (Carpenter et al, 1988). This was confirmed by delivering PDE4 inhibitors directly into the area postrema of ferrets by intracerebroventricular injection (Robichaud et al, 1999). Moreover, it was understood that PDE4 inhibitor-induced emesis is attenuated by the α2-adrenoceptor agonist, clonidine. Thus, emesis was assumed to be due to an increase of cAMP in noradrenergic neurons given that the α2-adrenoceptor is negatively coupled to adenylyl cyclase (Robichaud et al, 2001). Indeed, the tolerability of PDE4 inhibitors can be improved by limiting brain penetration (Aoki et al, 2001).\nIn the early 2000s, a popular hypothesis was that a specific PDE4 isoform regulated the emetic response. However, at that time, subtype-selective inhibitors had not been described. To overcome this limitation, a behavioral correlate of vomiting was developed in mice carrying targeted deletions of the genes encoding Pde4b and Pde4d (Robichaud et al, 2002). This approach was utilized because mice (and rodents in general) are anatomically constrained and cannot vomit; they are unable to relax their crural diaphragm or open their esophageal sphincter and appear to lack critical efferent pathways that drive the emetic reflex in higher mammals (Borison et al, 1981; Hanson, 2003; Horn et al, 2013). The murine model of emesis relies on the ability of α2-adrenoceptor agonists to promote anesthesia by reducing the cAMP content in noradrenergic fibers within the brainstem, which can be attenuated by PDE4 inhibitors (Giembycz, 2002; Robichaud et al, 2002). Robichaud et al (2002) found that the duration of α2-adrenoceptor-mediated anesthesia was significantly attenuated in mice lacking Pde4d but not Pde4b implicating a Pde4d isoform(s) in the emetic response. The presence of PDE4D/Pde4d within various brain regions of several species was consistent with this idea (Cherry and Davis, 1999; Takahashi et al, 1999; Pérez-Torres et al, 2000; Lamontagne et al, 2001). However, PDE4B/Pde4b has also been detected in many of these same brain regions (Pérez-Torres et al, 2000), and inhibitors of PDE4B, which are >80-fold selective over PDE4D, do not display a superior therapeutic index (Naganuma et al, 2009; Suzuki et al, 2013). Moreover, so-called, negative allosteric PDE4D inhibitors have been described, which preferentially partition into the brain and, therefore, will reach the area postrema. These compounds, of which D-159687 and zatolmilast are examples, display a unique mechanism of action in that they block cAMP hydrolysis by modifying the dimeric structure of PDE4D rather than by simply competing with the substrate at the catalytic site (Burgin et al, 2010; Houslay and Adams, 2010; Gurney et al, 2011). Based on the results obtained in Pde4d knockout mice, these compounds should promote emesis. However, paradoxically, they have significantly reduced emetic liability (Burgin et al, 2010; Gurney et al, 2011; Zhang et al, 2017b). Thus, the assumption that PDE4 inhibitors with weak activity against the 4D isoenzyme should be less emetic is likely misplaced. Indeed, several companies including Tetra Therapeutics (a subsidiary of Shionogi & Co) are purposefully developing selective PDE4D inhibitors (eg, zatolmilast) with Fragile X syndrome and AD being primary indications. Clinical trials of these compounds are ongoing (eg, NCT05367960 and NCT03817684), and it will be instructive, from the perspective of developing new PDE4 inhibitors for asthma and COPD, if the improved therapeutic ratios reported in animal models translate into improved safety and tolerability in humans.\nThe abject failure of PDE4 inhibitors as an asthma therapy prompted the pharmaceutical industry to repurpose this drug class for other airway diseases, in particular, COPD. Cilomilast (aka Ariflo, SB-207499), developed by GlaxoSmithKline (GSK), was the first PDE4 inhibitor to progress to phase III clinical trials (Giembycz, 2001; 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). The decision to develop cilomilast was based on a conceptually robust hypothesis, abundant preclinical data, and the encouraging results of phase II clinical studies (Torphy et al, 1999). However, the results of the phase III development program were disappointing and did not meet the expectations of the phase II studies (Giembycz, 2001, 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). Like the asthma trials, dose-limiting adverse events remained a major cause for concern due, in part, to the interaction of cilomilast with PDE4 in “off-target” tissues. Despite these unremarkable data, the FDA, in October 2003, issued an approval letter to GSK for the use of cilomilast in the “maintenance of lung function in COPD patients poorly responsive to salbutamol” (Clinical_Trials_Arena, 2003). However, this was conditional on the outcome of further efficacy and tolerability studies, which were to focus on gastrointestinal events of concern, the sustainability of clinical benefits, and whether the difference in lung function between the cilomilast- and placebo-treated subjects improved further in long-term dosing studies. These additional trials were, presumably, unsuccessful since the development of cilomilast was discontinued in 2007.\nOther PDE4 inhibitors originally developed for asthma have also been repurposed for COPD. In particular, the results of several large, international, multicenter, randomized, placebo-controlled trials led the European Medicines Agency, in April 2010, to approve the use of roflumilast (aka Daxas, Daliresp, Byk 2869) for the “maintenance treatment of severe COPD associated with chronic bronchitis in adult patients with a history of frequent exacerbations as add-on to bronchodilator treatment” (Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009; Giembycz and Field, 2010; Gross et al, 2010; Wedzicha et al, 2016). Given orally, roflumilast (500 μg o.d.) significantly improved lung function and reduced the frequency of exacerbations. Notably, these beneficial effects were more pronounced in patients with severe, bronchitic disease suggesting that the primary activity of roflumilast was to suppress inflammation (Miravitlles et al, 2013; Giembycz and Newton, 2014). Nevertheless, the most common adverse effects were gastrointestinal discomfort and headache (presumably due to cerebrovascular vasodilation; Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009), which were similar to those produced by all other PDE4 inhibitors that had been evaluated clinically. Currently, roflumilast is one of only 2 PDE4 inhibitors that has been approved for COPD and offers physicians an add-on treatment option for patients with more severe disease in whom traditional bronchodilator and glucocorticoid therapies are suboptimal.\nDespite the emetic liability of PDE4 inhibitors, interest in these compounds as therapeutics for respiratory diseases continues with tanimilast (aka CHF-6001) being the most advanced candidate in clinical development. Tanimilast is a highly potent, subnanomolar inhibitor of PDE4 that does not discriminate between PDE4 isoforms (Armani et al, 2014). In cell-based assays and preclinical models of airway inflammation, it displays pleiotropic anti-inflammatory activity with limited emetic liability (Fioni et al, 2018; Facchinetti et al, 2021; Schioppa et al, 2022). For example, tanimilast (1 μmol/kg i.t.) inhibited allergen-induced eosinophilia in rats by >90% without producing nausea-like behavior in conscious ferrets, which likely reflects low systemic exposure and limited ability to cross the blood-brain barrier (Villetti et al, 2015). In contrast, GSK 256066, another highly potent PDE4 inhibitor (Tralau-Stewart et al, 2011) that was used as a comparator, was equally effective at blunting pulmonary eosinophil recruitment yet produced clear behavioral signs of nausea (Villetti et al, 2015). Unlike roflumilast, which was formulated for oral dosing, tanimilast has been optimized for inhaled delivery as a dry powder to limit systemic side effects. Studies in subjects with COPD have shown that at steady state (after 800 μg or 1600 μg inhaled twice a day for 32 days), the concentration of tanimilast in sputum was approximately 2000-fold higher than in plasma indicating high pulmonary retention and low systemic exposure (Singh et al, 2019). Moreover, in the PIONEER (new Phosphodiesterase Inhibitor with Optimal anti-iNflammatory Effect dosE Response in COPD patients) phase IIb trial, tanimilast was well tolerated with a similar incidence of adverse events across 4 increasing doubling doses (Singh et al, 2020a).\nOn the basis of successful safety, tolerability, and preliminary efficacy studies, 2 52-week phase III clinical trials (PILASTER [a new inhaled Phosphodiesterase Inhibitor EvaLuated on moderate/severe exAcerbationS on top of maintenance Triple thERapy in COPD Patients] and PILLAR [a new inhaled Phosphodiesterase Inhibitor given on top of maintenance tripLe therapy in COPD Patients evaLuation on moderate/severe exAceRbations]) have been initiated to assess if tanimilast can reduce the frequency of exacerbations in a population of patients with severe, bronchitic COPD who are still symptomatic despite treatment with ICS/LABA/LAMA combination therapy (Facchinetti et al, 2021). Indeed, there remains a high unmet clinical need to identify interventions that can better control this relatively unresponsive COPD endotype.\nGlucocorticoid monotherapy is poorly effective in COPD and can be contraindicated due to an increased risk of pneumonia and tuberculosis (Ernst et al, 2007; Brassard et al, 2011). However, clinical trials data indicate that ICS-containing combination therapy is more effective than a bronchodilator in reducing COPD exacerbations (Ding et al, 2022). This could suggest the utility of adding-on a PDE4 inhibitor in the subpopulation of individuals with severe, bronchitic COPD in whom symptoms persist despite treatment with ICS/LABA/LAMA triple therapy. Data to support this hypothesis and rationalize the PILASTER and PILLAR trials can be derived from post hoc analyses of data from the earlier phase III roflumilast development program. Thus, roflumilast reduced the rate of exacerbations in individuals with severe COPD who were taking an ICS concurrently, whereas no such benefit was derived if ICS were excluded (Rennard et al, 2011). Lung function in COPD patients of the bronchitic phenotype was also improved by roflumilast, regardless of co-existing emphysema, and this was greater if they had received concomitant ICS rather than placebo (Rennard et al, 2011). Collectively, these data imply that an ICS and roflumilast in combination have superior therapeutic activity than either drug alone.\nGlucocorticoids suppress inflammation by modulating the expression of hundreds of genes including those that encode cytokines, chemokines, and growth factors of which gene induction (aka transactivation) is a major mechanism (Newton, 2014). Moreover, there is compelling evidence that cAMP-elevating agents can interact with glucocorticoids to further modulate the genomic response (Giembycz and Maurice, 2014; Giembycz and Newton, 2011, 2014, 2015). This molecular interaction, first described in the early 1990s (Rangarajan et al, 1992), may help explain how adding-on a LABA and a PDE4 inhibitor to an ICS could reduce inflammation and improve lung function in individuals with asthma and COPD. Indeed, an increase in cAMP can augment glucocorticoid-induced gene expression changes in several cell types including the airway epithelium (Giembycz et al, 2008; Kaur et al, 2008; Wilson et al, 2009; Greer et al, 2013; Moodley et al, 2013; BinMahfouz et al, 2015; Joshi et al, 2015; Newton and Giembycz, 2016; Rider et al, 2018; Reddy et al, 2020; Turner et al, 2020; Mostafa et al, 2021). In many cases, the cAMP-elevating agent per se is inert but interacts with the glucocorticoid in a positive, cooperative fashion to enhance gene transcription. This implies that a LABA or PDE4 inhibitor is “steroid-sparing” because the glucocorticoid can now produce a given level of gene induction at a significantly lower concentration (Kaur et al, 2008; Joshi et al, 2015). Moreover, in airway epithelial cells, roflumilast potentiated the ability of the LABA, formoterol, to enhance the expression of a panel of glucocorticoid-inducible genes that may have anti-inflammatory activity in COPD (Moodley et al, 2013). Thus, agents that increase the cAMP content in target tissues may exert therapeutic activity in obstructive lung diseases beyond bronchodilation (Fig. 13).\nA PDE4 inhibitor should also potentiate β2-adrenoceptor-mediated cAMP formation in the airways. This interaction could be particularly relevant in proinflammatory or immune cells where β2-adrenoceptors are expressed in low abundance or are poorly coupled to adenylyl cyclase. In this situation, a cell type that responds weakly to a LABA (eg, an eosinophil; Rabe et al, 1993; Muñoz et al, 1995) could be sensitized by a PDE4 inhibitor allowing a cAMP signal to be generated of sufficient magnitude to enhance glucocorticoid-induced gene expression (Fig. 13). Collectively, these results provide a mechanistic basis for the clinical efficacy of ICS/LABA/PDE4 inhibitor triple combination therapy on COPD exacerbations reported throughout the roflumilast phase III clinical development program (Rennard et al, 2011). By extension, adding-on a PDE4 inhibitor to ICS/LABA combination therapy in individuals with difficult-to-treat asthma might also afford additional benefit (Fig. 13).\nIt is noteworthy that β2-adrenoceptor agonists and other cAMP-elevating agents can also increase the expression of various PDE4 isoforms. Typically, these are transcriptional responses and occur in airway immune and structural cells alike including ASM (Le Jeune et al, 2002; Hu et al, 2008), monocytes (Torphy et al, 1992; Torphy et al, 1995; Manning et al, 1996), T-lymphocytes (Erdogan and Houslay, 1997; Seybold et al, 1998), neutrophils (Ortiz et al, 2000), and EC (Zhu et al, 2004). The implications of these gene expression changes may be significant because SABAs and LABAs, which are consumed by individuals with asthma and COPD on a long-term basis, could attenuate signaling mediated by all GPCRs that stimulate adenylyl cyclase (Giembycz, 1996). In this context, the concurrent use of a PDE4 inhibitor can be rationalized because heterologous GPCR desensitization could be mitigated.\nPolypharmacology is a branch of pharmacology that is dedicated to understanding the mechanism of action of compounds that interact with more than 1 molecular target in a disease network (Jalencas and Mestres, 2013). This discipline addresses the likelihood that improved clinical outcomes can be realized over the traditional “1 drug, 1 target” concept of therapeutics (Morphy and Rankovic, 2005). Several polypharmacological approaches are possible including the administration of: (1) 2 or more drugs separately or together in a single formulation; (2) 2 or more prodrugs formulated as a single chemical entity that is released at the desired site of action by enzymatic cleavage; and (3) a single chemical entity that interacts with 2 or more targets, simultaneously (Morphy and Rankovic, 2005). Compounds in this latter category include bifunctional ligands (see last section The Role of PDEs in Specific Immune Cell Types and Fig. 13) and hybrid PDE inhibitors that contain a single “promiscuous” pharmacophore that blocks the catalytic sites of 2 or more PDE isoforms. Of the 11 PDE families described, the simultaneous inhibition of PDE4 and either PDE1, PDE3, or PDE7 may provide the means to further enhance clinical efficacy (Giembycz, 2005b; Giembycz and Newton, 2011; Zuo et al, 2019). Indeed, as mentioned above, the discovery of multicomponent, syncretic drugs provides a theoretical means to treat various asthma and COPD endotypes, given that additive and/or synergistic outcomes can be produced when multiple PDEs are inhibited concurrently (Keith et al, 2005).\nInhibitors of PDE4 and PDE1. Airway remodeling is a characteristic feature of obstructive lung diseases (Hossain and Heard, 1970; Jeffery, 2001; Lazaar and Panettieri, 2003; Wenzel, 2003; Aoshiba and Nagai, 2004; Hogg, 2004; Hogg et al, 2004). In asthma, several processes can change the architecture of the respiratory tract including mucus gland hyperplasia, supepithelial deposition of collagens, mucosal revascularization, and an increase in ASM mass (Jeffery, 2001). Similarly, airway remodeling in COPD involves connective tissue deposition in the subepithelial and adventitial compartments (Dunnill et al, 1969; Hogg et al, 2004) and an increase in the density of ASM in the bronchioles (Hossain and Heard, 1970; Jeffery, 2001; Aoshiba and Nagai, 2004; Hogg et al, 2004). In both diseases, the remodeling process thickens and increases the volume of the respiratory tract wall, which contributes to airway hyper-responsiveness (Wiggs et al, 1990; Hogg, 1996; Postma and Kerstjens, 1998; Martin et al, 2000).\nPDE1 is highly expressed in vascular smooth muscle where it has been implicated in the control of proliferation (see section Smooth Muscle Cells, Endothelial Cells, and PDEs). PDE1 is also highly expressed in ASM (Giembycz and Barnes, 1991; Torphy et al, 1993) where it may regulate the same function. On this basis, 1 might speculate that a dual inhibitor of PDE1 and PDE4 could retard remodeling and, at the same time, suppress inflammation. Data to support this idea include the ability of the PDE1/PDE4 inhibitor, KF-19514, to suppress inflammation and airway remodeling in a murine model of chronic asthma (Manabe et al, 1997; Fujimura et al, 1998; Kita et al, 2009; Manabe et al, 2000). However, a review of the literature suggests that this potential therapeutic opportunity has not gained traction.\nInhibitors of PDE4 and PDE3. PDE3 inhibitors are effective bronchodilators in humans (Leeman et al, 1987; Brunnée et al, 1992; Fujimura et al, 1995; Fujimura et al, 1997; Bardin et al, 1998; Myou et al, 1999; Myou et al, 2003; Singh et al, 2020b). This property led to the theory that compounds that block PDE3 and PDE4 at a similar dose could have a polypharmacological advantage over a selective PDE4 inhibitor by producing both ASM relaxation (PDE3-dependent) and anti-inflammatory activity (PDE4-dependent). In addition, many proinflammatory and immune cells also express PDE3 (Torphy, 1998; Banner and Press, 2009), and in many cases, the anti-inflammatory effects of concurrent inhibition of PDE3 and PDE4 are superior to those of PDE4 alone. For example, in vitro studies have shown that although PDE3 inhibitors have little or no effect on T-cell proliferation or on IL-2 generation, they enhance the repressive effect of a PDE4 inhibitor (Robicsek et al, 1991; Giembycz et al, 1996). Similar data have been reported for the inhibition of proinflammatory responses in human alveolar macrophages (Schudt et al, 1995), monocyte-derived dendritic cells (Gantner et al, 1999), airway epithelial cells (Wright et al, 1998), human lung fibroblasts (Selige et al, 2010), and human lung microvascular EC (Blease et al, 1998). It is noteworthy that evidence garnered from mouse models of asthma indicates that inhibition of Pde3a and Pde3b can abrogate several key hallmarks of the disease. In particular, pulmonary eosinophil, neutrophil, T-lymphocyte, dendritic cell, mast cell, and macrophage recruitment were suppressed implying that PDE3 per se may regulate previously unappreciated aspects of the allergic inflammatory response (Beute et al, 2018; Beute et al, 2020).\nBased upon encouraging preclinical data, several hybrid PDE3/PDE4 inhibitors were developed and evaluated in humans including zardaverine, benzafentrine, tolafentrine, and pumafentrine but all were discontinued because of lack of efficacy, a poor adverse effect profile, or limited duration of action (Banner and Press, 2009). Nevertheless, interest in the PDE3/PDE4 inhibitor concept has endured with at least 2 compounds currently in clinical development for asthma and/or COPD: ensifentrine (aka RPL 554, Ohtuvayre) and, what appears to be a structurally related compound, TQC-3721(Yang et al, 2023). Indeed, the FDA recently approved ensifentrine for the maintenance treatment of adult patients with COPD (Kariya, 2024).\nEnsifentrine is a well tolerated, long-acting inhaled bronchodilator derived from the PDE3 inhibitor, trequinsin (Boswell-Smith et al, 2006; Calzetta et al, 2013; Donohue et al, 2023). In 2023, ensifentrine progressed to phase III clinical evaluation, and the results of the 2 ENHANCE (Ensifentrine as a Novel inHAled Nebulized COPD thErapy) trials were recently reported (Anzueto et al, 2023). In each study, >750 participants were enrolled with moderate-to-severe COPD and randomized to receive either placebo or ensifentrine (3 mg twice a day for 24 weeks). In both trials, FEV1 was the primary outcome measure and significantly improved with treatment relative to placebo. Exacerbation rates were also reduced by 40% in the active treatment groups (Anzueto et al, 2023). However, it is unclear if this was due to the inhibition of PDE4 (Singh, 2023) as there is no conclusive evidence that ensifentrine has anti-inflammatory activity (Singh, 2023). In one of the initial exploratory studies, a single dose of ensifentrine (0.018 mg/kg), given by inhalation to healthy men, inhibited the accumulation of neutrophils in sputum in response to lipopolysaccharide (LPS). Although this finding may implicate PDE4 (Franciosi et al, 2013), the relationship between pulmonary neutrophilia and the development of an exacerbation is moot.\nEnsifentrine is, typically, referred to as a hybrid PDE3/PDE4 inhibitor as we have done in this review. However, this is a misrepresentation. Ensifentrine is >3440× more potent against PDE3 than PDE4 (Boswell-Smith et al, 2006), which is comparable to, or even greater than, the selectivity of compounds that are classified as selective PDE3 inhibitors including cilostazol, cilostamide, and milrinone (Sudo et al, 2000). This implies that at the inhaled doses of ensifentrine used in human subjects, inhibition of PDE3 will predominate. How, then, a single dose ensifentrine (0.018 mg/kg) attenuated LPS-induced pulmonary leukocyte recruitment becomes an important question. A plausible explanation is that the local concentration of ensifentrine at target cells after inhalation exceeds that required to abolish PDE3 activity (and, therefore, is supra-maximal for bronchodilation). Using the technique of bronchosorption (Leaker et al, 2015), the epithelial surface liquid (ESL) can be sampled via a catheter inserted through the working channel of a bronchoscope. It has been estimated that the concentration of the LABA, salmeterol, in the ESL of healthy subjects 1 h after inhalation of a 50 μg dose was ∼80 nM (Sadiq et al, 2021). Assuming remotely similar pulmonary pharmacokinetics, the concentration of ensifentrine in ESL after inhalation of a 3 mg dose (used in the ENHANCE trial) could be ∼5 μM. Indeed, both compounds have comparable molecular weights (∼450 Da) and clog D values (∼1.9 at pH = 7; calculated using ACD/Labs software) that presumably lead to high lung retention and low systemic exposure (Bäckström et al, 2016; Zuiker, 2016; Sadiq et al, 2021). Thus, inhalation of a 3 mg dose of ensifentrine could be sufficient to inhibit PDE4 in airway epithelia and inflammatory cells in BAL fluid by >70%. Indeed, the IC50 of ensifentrine for suppressing cytokine release (eg, GM-CSF, MCP-1, TNFα) from human airway epithelial cells and monocytes is in the low micromolar range (Boswell-Smith et al, 2006; Turner et al, 2020). Likewise, the threshold concentration for ensifentrine to increase global cAMP in human airway epithelial cells is reported to be ∼1 μM (Turner et al, 2020).\nIn vitro studies have found that ensifentrine relaxed ACh-contracted human ASM (EC50 ∼10 μM) and inhibited PDE3 (IC50 = 0.4 nM) with potencies that differed by ∼25,000-fold. In contrast, no such discrepancy was apparent when the inhibition of cytokine production from inflammatory cells (IC50 ∼0.5 μM) and of PDE4 activity (IC50 ∼1.5 μM) were compared (Boswell-Smith et al, 2006; Calzetta et al, 2013; Turner et al, 2020). This paradox may be explained by functional antagonism, which describes an inverse relationship between the degree of smooth muscle tone and the potency and pharmacological efficacy of a relaxant. Functional antagonism has been documented in ASM from several species and is more pronounced with ACh (and related agonists) than with histamine, 5-hydroxytryptamine, and leukotriene D4 (van den Brink, 1973; Torphy et al, 1983; Russell, 1984; Torphy, 1984; Roffel et al, 1995). For example, the EC50 of isoprenaline for relaxing bovine tracheal smooth muscle contracted with 10 nM (∼EC20), 100 nM (∼EC70), and 10 μM MCh (EC100) was 0.65 nM, 81 nM, and 3.16 μM, respectively (>4800-fold difference; Roffel et al, 1995). Similar data have been reported for the selective PDE3 inhibitor, siguazodan (SK&F 94836), on MCh-contracted canine ASM (Torphy et al, 1988). Logic dictates that ensifentrine, which like isoprenaline and siguazodan relaxes ASM by a cAMP-dependent mechanism, would be affected similarly both in vitro and in vivo. Indeed, the potency of ensifentrine for inhibiting electrical field stimulation-induced twitch responses of human bronchi, progressively decreased with increasing frequency of nerve stimulation (Calzetta et al, 2015). Thus, functional antagonism may help explain the erroneous description of ensifentrine as a hybrid PDE3/PDE4 inhibitor because the biochemical and functional outcomes of a bronchodilator cannot easily be compared.\nTQC-3721 is being developed by Chia Tai Tianqing Pharmaceutical Group as a suspension for inhalation in subjects with moderate-to-severe COPD and is currently in phase II safety and efficacy clinical trials (NCT05987371). There are no preclinical data in the public domain about TQC-3721. Its structure has not been disclosed.\nFrom a safety perspective, inhibition of PDE3 is of concern, given the well documented cardiovascular toxicity of this class of drugs and that subjects with COPD will require long-term therapy over many months or years. Although PDE3 inhibitors were developed to treat dilated cardiomyopathy, chronic dosing increased mortality (Movsesian, 2003; Amsallem et al, 2005). This could be problematic because ∼20% of people with COPD have right-side heart failure that is often secondary to PH (Naeije, 2003; de Miguel Díez et al, 2013). Chronic PDE3 inhibition could, therefore, be contraindicated even for a compound given by inhalation, and hence, pulmonary retention will be critical. In this respect, the peak plasma concentration of ensifentrine in 13 subjects with allergic asthma after inhalation of 0.018 mg/kg (o.d. for 6 days) was ∼2 ng/mL (4.2 nM; Zuiker, 2016). This dose equates to 1.26 mg/70 kg per individual, which is 42% of the 3 mg dose assessed in the 2 ENHANCE clinical trials (Anzueto et al, 2023). Adverse events were reported to be mild, although a reduction in blood pressure and a [compensatory] increase in heart rate were noted. The study investigators attributed these cardiovascular events to PDE3 inhibition in the vasculature, which was consistent with an increased incidence of headache and dizziness in 4 and 3 of the 13 subjects, respectively (Zuiker, 2016).\nInhibitors of PDE4 and PDE7. PDE7A is ubiquitously expressed in the lungs (Smith et al, 2003) and could represent a novel target for anti-inflammatory drugs (Giembycz and Smith, 2006a,b; Giembycz and Maurice, 2014; Jankowska et al, 2017). PDE7 was discovered in 1993 (Michaeli et al, 1993) yet 20 years elapsed before selective inhibitors became available and could be studied in biological systems (Nakata et al, 2002; Yang et al, 2003; Smith et al, 2004; Jones et al, 2007; Goto et al, 2009; Kadoshima-Yamaoka et al, 2009a,b,d). What emerged from those early investigations was unremarkable. However, there was some interest in the finding that the PDE7A inhibitor, BRL 50481, significantly enhanced the antimitogenic activity of the PDE4 inhibitor, rolipram despite being inactive alone (Smith et al, 2004). LPS-induced TNFα generation from human monocytes and lung macrophages was regulated similarly (Smith et al, 2004). This profile of activity was replicated with the dual PDE4/PDE7 inhibitor BC54, which inhibited TNF-α and IL-12 production from U-937 monocytic cells and Jurkat T-cells, respectively, and was more effective than rolipram, alone (de Medeiros et al, 2017). Collectively, these data are reminiscent of the behavior of PDE3 inhibitors and imply that additive or synergistic anti-inflammatory effects could be realized with a hybrid PDE4/PDE7 inhibitor (Giembycz, 2005a; Vijayakrishnan et al, 2007). To date, few in vivo studies have been reported implying that this hypothesis may not represent a viable approach. However, YM-393059, which is 45-fold more selective for PDE7 over PDE4, demonstrated efficacy in preclinical models of inflammation with a reduced emetic liability (Yamamoto et al, 2006a,b). Likewise, mice subjected to cigarette smoke-induced pulmonary inflammation were protected by prior endotracheal administration of antisense oligonucleotides directed against Pde4b, Pde4d, and Pde7a and that this intervention was superior to classical pharmacotherapy with roflumilast (Fortin et al, 2009).\nPDE3/PDE4 inhibitors and a LAMA. Several patents have been filed describing the utility of combining ensifentrine with a LAMA (Walker et al, 2017, 2019). The inventions claim that a low concentration of a muscarinic receptor antagonist (eg, glycopyrronium) interacts synergistically with ensifentrine to relax medium and small human bronchi in vitro (Calzetta et al, 2013; Calzetta et al, 2015). This unexpected effect led to the proposal that in subjects with COPD, antagonizing the effects of endogenously released ACh from parasympathetic nerve fibers in the lung with a LAMA and raising the cAMP content in ASM with ensifentrine could produce added clinical benefit by reducing gas trapping in the lungs (ie, dynamic hyper-inflation), which is a common feature of COPD (Calzetta et al, 2015).\nAn alternative to a hybrid inhibitor is a compound that contains 2 pharmacophores joined covalently by a rationally designed and inert “spacer” (Shonberg et al, 2011; Phillips and Salmon, 2012). In the context of respiratory diseases, these, so-called, bifunctional ligands have several advantages over their monofunctional parent compounds because of their relatively high molecular weights (often >1000 Da). This physical property often translates into enhanced pulmonary retention, low oral bioavailability, and reduced systemic exposure (Phillips and Salmon, 2012). The development of bifunctional ligands is also simplified because 2 pharmacophores in the same compound will have matched pharmacokinetics and identical deposition characteristics (Phillips and Salmon, 2012). Several bifunctional ligands containing a PDE4 inhibitor have been synthesized (Fig. 13). The most attractive “partners” for a PDE4 inhibitor have included a LAMA and a LABA in an attempt to harness both anti-inflammatory and bronchodilator activity at a similar dose (Giembycz and Maurice, 2014). The first example of a “Muscarinic receptor Agonist-PDE4 Inhibitor (ie, a MAPI) was the 4,6-diaminopyrimidine derivative, UCB-101333-3 (Provins et al, 2006). Given by inhalation to mice, this compound attenuated cigarette smoke-induced pulmonary neutrophilia and keratinocyte chemoattractant levels in BAL fluid and protected against the development of heavy metal-induced emphysema (Provins et al, 2007). Since that original report, the interest in developing MAPIs for COPD has continued including compound 10f from Cheisi (Rizzi et al, 2023). This ligand is a fusion of tanimilast with a muscarinic receptor antagonist based on a phenylglycine scaffold. In vitro assays indicate that 10f is a balanced molecule with an affinity and inhibitory potency at the muscarinic M3 receptor and PDE4B, respectively, of ∼1 nM (Rizzi et al, 2023). Moreover, in rodents, the compound proved suitable for inhaled dosing and displayed adequate lung retention and limited systemic exposure. Significantly, 10f inhibited CCh-induced bronchoconstriction and ovalbumin-induced pulmonary eosinophilia in sensitized and challenged rats at the same dose with an acceptable duration of action (Rizzi et al, 2023).\nAnother means to achieve bronchodilator and anti-inflammatory activity in a single molecule is to couple pharmacophores that display PDE4 inhibitory activity and β2-adrenoceptor agonism. Support for this approach derives from the finding that roflumilast improved FEV1 in a group of patients with moderate-to-severe COPD who were being treated with LABA, salmeterol (Fabbri et al, 2009). Because PDE4 inhibitors are not thought to produce direct bronchodilation in humans (Grootendorst et al, 2003), the additional improvement in lung function is assumed to be secondary to the suppression of inflammation. Several bifunctional ligands have been described in which the head group of formoterol or salmeterol was fused to roflumilast or a phthalazone-based PDE4 inhibitor by a simple butyl spacer (Shan et al, 2012a; Liu et al, 2013). However, the activities of these compounds are unbalanced being more potent (440–2500-fold) β2-adrenoceptor agonists than inhibitors of PDE4. Improvements were achieved by modifying the spacer (to hexyloxyphenyl propanol or hexane), but β2-adrenoceptor agonism remained the dominant activity (Liu et al, 2013; Huang et al, 2014). Gilead Sciences has also reported the discovery of bifunctional LABA/PDE4 inhibitors for COPD, which have been optimized for inhaled delivery (Baker et al, 2011). In 1 example, an analog of the PDE4 inhibitor, GSK 256066 (Tralau-Stewart et al, 2011), was conjugated to a quinolinone-based orthostere (β2A)-derived from the LABA, indacaterol, to form the development candidate, GS-5759. This compound has an equal affinity (∼1 nM) for PDE4B and the human β2-adrenoceptor and represented a significantly improved ligand in having a balanced pharmacology for the 2 targets. In vitro, GS-5759 was active in a panel of assays where it inhibited the release of superoxide from human neutrophils, TNFα, IL-6, and CCL3 from human monocytes and ET-1, CCL5, CXCL10, and GM-CSF from human lung fibroblasts (Tannheimer et al, 2014); it also upregulated the expression of a plethora of genes in the BEAS-2B human airway epithelial cell line (eg, DUSP1, CD200, CRISPLD2, CDKN1C, and FGFR2) that have potential anti-inflammatory activity (Joshi et al, 2017). In vivo, GS-5759 was active in several preclinical models of COPD; it displayed bronchodilator activity in guinea pigs and dogs and inhibited LPS-induced pulmonary neutrophilia in rats, which was replicated in Cynomolgus monkeys (Salmon et al, 2014). Significantly, no emesis was produced in ferrets at doses of GS-5759 that were several orders of magnitude greater than its potency for inhibiting LPS-induced pulmonary leukocyte recruitment in the rat (Salmon et al, 2014). Despite these encouraging data, a primary therapeutic target of GS-5759 is the ASM, which likely displays a large β2-adrenoceptor reserve for β2A (Giembycz, 2009). This will probably render GS-5759 unbalanced because its potency as a bronchodilator will be greater, may be considerable, than its affinity for the β2-adrenoceptor and for inhibition of PDE4 (Giembycz, 2009; Joshi et al, 2017). The only way to overcome this limitation is to either increase the potency of the pharmacophore that inhibits PDE4 or reduce the affinity of β2A for the β2-adrenoceptor. Spare receptors represent a problem for the development of bifunctional ligands in general. This is a particular issue if 1 of the 2 pharmacophores is an agonist that is required to interact with different tissues for therapeutic benefit to be optimized.\nAn unexpected finding of these investigations was that GS-5759 had a 35-fold higher affinity for the β2-adrenoceptor than did β2A (Joshi et al, 2017). This pharmacological behavior has been reported previously for the bifunctional LABA/LAMA, THRX 198321 (Steinfeld et al, 2011), and may also apply to the MAPI, 10f (Rizzi et al, 2023). Mechanistically, the enhanced affinity of these compounds for the β2-adrenoceptor may be due to positive allosterism (Steinfeld et al, 2011; Rizzi et al, 2023) or “forced proximity” binding (Hughes et al, 2011; Valant et al, 2012; Vauquelin and Charlton, 2013; Joshi et al, 2017). Regardless, the fact remains that the properties of bifunctional ligands are often distinct from their monofunctional parent compounds, which could reveal new opportunities for drug discovery (Fig. 13).\nChronic liver disease results from ongoing hepatocyte damage caused by factors such as viruses, alcohol, and poor nutrition. It can lead to fibrosis, cirrhosis, and hepatocellular cancer, a major cause of morbidity and mortality (Rich, 2024). Affecting over a billion people globally, chronic liver disease causes more than a million deaths from cirrhosis each year (Disease et al, 2018). The most common causes are viral hepatitis, alcohol use, and metabolic dysfunction (Leszczynska et al, 2023). Following injury, hepatocytes release various chemokines and damage-associated molecular patterns, which attract and activate immune cells and hepatic stellate cells in the liver. Hepatic stellate cells (HSC) have very important functions in the liver including the storage of vitamin A, antigen presentation, and wound healing. However, during persistent liver injury, HSC undergo activation and become proliferative, migratory myofibroblasts (Wang and Friedman, 2023). HSC myofibroblasts are the main source of extracellular matrix proteins (ECM) in fibrotic liver. Excessive accumulation of ECM in the liver tissue results in deterioration of liver function, leading to cirrhosis and liver failure.\ncAMP and cGMP signaling has been studied in various liver cell functions, including hepatocytes, macrophages, T cells, and hepatic stellate cells (Wahlang et al, 2018; Elnagdy et al, 2020; Elnagdy et al, 2023). The first studies related to alcohol-associated liver disease (ALD) reported a lower level of cAMP in peripheral blood mononuclear cells of alcoholic hepatitis (AH) patients with immune dysfunction (Barlas et al, 1983) and alcohol use disorders (Diamond et al, 1987). Effects of chronic alcohol exposure on cAMP levels were later shown in human and murine monocytes and macrophages, including liver resident macrophages or Kupffer cells (Gobejishvili et al, 2006). Importantly, this decrease in cAMP and its signaling was identified as a critical mechanism of macrophage “priming” to produce increased levels of TNFα in response to endotoxin (Gobejishvili et al, 2006; Gobejishvili et al, 2008).\nPersistent hepatocyte injury and inflammation will result in the activation of HSC in the liver and their trans-differentiation to myofibroblasts (the main producers of extracellular matrix proteins). Because transdifferentiation of HSCs plays a key role in the development of liver fibrosis, targeting HSC activation has become a focal point in treating liver fibrosis (Li et al, 2008). Upon activation, HSCs express alpha-smooth muscle actin (αSMA) and produce ECM proteins like collagens and fibronectin. Perhaps the most profibrogenic cytokine leading to HSC activation is transforming growth factor β1 (TGFβ1). cAMP-elevating agents and agonists have been shown to inhibit TGFβ1-induced expression of αSMA and collagen in different cell types (Houglum et al, 1997; Desmouliere et al, 1999; Liu et al, 2006; Cortijo et al, 2009; Insel et al, 2012; Garrison et al, 2013). Indeed, EPAC1 has been identified as a critical regulator of TGFβ1 signaling in various tissue fibroblasts (Yokoyama et al, 2008; Insel et al, 2012), including in HSCs. Recent studies showed that TGFβ1 decreases cAMP and EPAC1 levels in HSCs, which contributes to their activation (Schippers et al, 2017; Elnagdy et al, 2023).\nBecause inflammation plays a major role in chronic liver disease, anti-inflammatory strategies using PDE inhibitors have been utilized to evaluate their beneficial effect on liver injury. Moreover, inflammation and dysregulated hepatocyte function in experimental models of liver injury and fibrosis have been shown to be accompanied by increased expression of PDE enzymes in the liver (Gobejishvili et al, 2013; Avila et al, 2016; Essam et al, 2019). A pathogenic role of PDE enzymes in the development of liver injury has been confirmed by demonstrating that PDE inhibitors alleviate liver damage and inflammation (Gobejishvili et al, 2013; Essam et al, 2019; Rodriguez et al, 2019; El-Deen et al, 2020; Ma et al, 2022; Elnagdy et al, 2023; Tao et al, 2023). More specifically, the effect of cAMP in macrophage priming was shown to be mediated by increased activity and expression of PDE4, specifically PDE4B (Gobejishvili et al, 2008). PDE4 inhibition resulted in a significant decrease in endotoxin-induced inflammatory cytokine production by human peripheral blood mononuclear cells (PBMCs) from patients with alcohol-associated hepatitis and monocytes/macrophages of human and murine origin (Gobejishvili et al, 2008; Gobejishvili et al, 2011; Gobejishvili et al, 2013; Rodriguez et al, 2019). Importantly, studies using gene knockout mice identified PDE4B as an essential player in endotoxin-mediated production of TNFα (Jin and Conti, 2002; Jin et al, 2005).\nHowever, the role of PDE4-regulated cAMP signaling is not limited to immune cells and their inflammatory responses. Importantly, increased expression of PDE4 enzymes has been associated with both spontaneous and TGFβ1-induced activation of HSCs (Gobejishvili et al, 2013; Elnagdy et al, 2023). Moreover, recent work demonstrated that PDE4A, B, and D are upregulated in the livers of patients with metabolic dysfunction-associated steatotic liver disease (MASLD), and their levels are positively correlated with TGFβ1 (Elnagdy et al, 2023). Importantly, PDE4 enzymes are also expressed in activated HSCs/myofibroblasts in human and mouse livers (Elnagdy et al, 2023). PDE4 inhibition significantly attenuated cytoskeleton remodeling and HSC migration both in vitro and in vivo leading to reduced collagen deposition and fibrosis (Elnagdy et al, 2023).\nIn addition to extracellular matrix remodeling, cAMP signaling plays a significant role in glucose and lipid metabolism in hepatocytes [reviewed in Wahlang et al (2018)]. In relevance to ALD, studies have shown that alcohol attenuates cAMP/PKA signaling in hepatocytes, which results in a decrease in the gene (Cpt1a) encoding carnitine palmitoyltransferase 1A and fatty acid β-oxidation (Elnagdy et al, 2020). Inhibition of PDE4, and specifically PDE4B, prevents alcohol-mediated decrease in cAMP signaling and Cpt1 expression and prevents alcohol-induced lipid accumulation in the liver (Avila et al, 2016; Ma et al, 2022). The effect of PDE4 inhibition on alcohol-induced ER stress has also been shown (Rodriguez et al, 2019). Notably, PDE4 inhibition decreases an alcohol-mediated increase in JNK activation and hepatocyte death (Rodriguez et al, 2019). More recent studies showed that overexpression of PDE4D in the liver led to the development of MASLD in mice, which was attenuated by a PDE4 inhibitor (Tao et al, 2022b; Tao et al, 2023).\nBesides PDE4, recent papers have demonstrated the role of PDE9 and 10 in liver and lung fibrosis as well as diet-induced obesity (Ceddia et al, 2021; Mishra et al, 2021; Wu et al, 2021; Li et al, 2023), indicating that cGMP signaling is also critical in tissue fibrogenesis. Indeed, a recent study reported increased hepatic levels of cGMP in patients and mice with alcohol-associated steatohepatitis (ASH; Montoya-Durango et al, 2023). Moreover, these changes were associated with significant alterations in various cAMP- and cGMP-selective PDEs in the liver, highlighting the potential role of PDE enzymes in the pathogenesis of ASH. Given the crucial role of NO-cGMP signaling in the regulation of hepatic sinusoids and portal pressure, perhaps the most significant findings presented in this recent study were increased levels of PDE1A, PDE4A, PDE4D, and PDE5A (Montoya-Durango et al, 2023). Indeed, these enzymes have been shown to modulate vascular tone, remodeling, and exchange via both cAMP and cGMP (Houslay et al, 2007; Netherton et al, 2007). Increased levels of soluble guanylyl cyclase and PDE5 in cirrhotic livers have been reported in another human study (Kreisel et al, 2021). In a normal liver, PDE5 protein is highly expressed in perisinusoidal cells with a very weak expression in hepatocytes. In cirrhotic livers, PDE5 expression increases in fibrous septa, and perisinusoidal cells throughout the parenchyma (Kreisel et al, 2021). PDE5 inhibitors have shown anti-inflammatory and antifibrotic properties in several studies, as well as improvement in portal hypertension (Knorr et al, 2008; Choi et al, 2009; Deibert et al, 2018; Schaffner et al, 2018; Brusilovskaya et al, 2020; Kreisel et al, 2020). Notably, a recent study reported the age-dependent sexual dimorphism in the vascular PDE expression patterns (Wang et al, 2021). This is the first study to highlight sexual dimorphism in PDE expression. Future studies are needed to examine whether there are sex-dependent differences in PDE expression in the liver and whether it contributes to the susceptibility of females to certain types of liver injury.\nInterestingly, differential beneficial effects of various PDE inhibitors on a high fat-induced MASLD model in rats have been reported (El-Deen et al, 2020). Specifically, when administered in a treatment paradigm, the authors observed that pentoxifylline (PTX), a broad-spectrum PDE inhibitor, had the strongest effect on oxidative stress markers, steatosis, inflammation, and liver injury when compared with cilostazol and sildenafil (El-Deen et al, 2020). Notably, PTX (alone and in combination with other drugs) has been widely used to treat MASLD and ALD in humans (Zein et al, 2011; Zein et al, 2012; Smart et al, 2013; Alam et al, 2017; Cioboata et al, 2017; Louvet et al, 2018; Teschke, 2018; Culafic et al, 2020; Marot et al, 2020; Szabo et al, 2022). However, although several studies have reported significant beneficial effects, including anti-fibrotic and antioxidative stress (Zein et al, 2011; Zein et al, 2012; Sridharan et al, 2018; Fouda et al, 2021; Kedarisetty et al, 2021), the use of PTX has been debated (Van Wagner et al, 2011). PTX therapy has shown mixed results in trials in patients with AH (Akriviadis et al, 2000; Thursz et al, 2015; Louvet et al, 2018; Kedarisetty et al, 2021; Philips et al, 2022; Duan et al, 2023), with the large STOPAH trial reporting lack of efficacy in reducing mortality (Thursz et al, 2015). Subjects with alcohol use disorder (AUD) are reported to be less compliant with many medical regimens. PTX is a nonselective and weak PDE inhibitor and requires 3 times a day (t.i.d.) dosing. Patients report significant gastrointestinal upset which causes noncompliance. Compliance with PTX in the most recent large AH trial was 49.4% ± 40.2% versus placebo 65.5% ± 35.3% (P = .06) with nausea being the primary reason for noncompliance (Szabo et al, 2022). The American College of Gastroenterology (ACG) most recent clinical guidelines for the treatment of ALD do not support the use of PTX for severe AH due to a moderate level of evidence that PTX provides survival benefits (Jophlin et al, 2024). More clinical trials are ongoing to test PTX for the treatment of metabolic dysfunction-associated steatohepatitis (MASH; NCT05284448) and to prevent decompensation in stable cirrhotic patients with prior decompensation (NCT06041932).\nBased on strong preclinical evidence that PDE4 inhibition has anti-inflammatory and antifibrotic properties, the efficacy of the PDE4 inhibitor, ASP9831, was tested in a proof-of-concept phase 2 clinical trial in biopsy-confirmed patients with MASH and liver fibrosis (Ratziu et al, 2014). The trial did not find any effects of the PDE4 inhibitor on biochemical end points including liver injury markers (ALT, AST, and cytokeratin 18), adiponectin, and TNFα (Ratziu et al, 2014). The authors questioned the benefit of PDE4 inhibition as a therapy for MASH due to the failure to attenuate inflammation and liver injury markers. However, although a liver biopsy was performed prior to patient enrollment, no follow-up biopsies were documented. Hence, it is unknown if ASP9831 had any effect in improving the fibrosis stage. Moreover, this study was only 12 weeks in duration; thus, there were multiple study limitations. Notably, authors pointed out that detailed studies examining the role of each of PDE4 enzymes in the pathogenesis of MASH are lacking. In this regard, a recent study found that PDE4A, B, and D enzymes are expressed in myofibroblasts in the livers of MASH cirrhosis patients (Elnagdy et al, 2023), implicating the role of these enzymes in MASH cirrhosis.\nIn summary, there is ample preclinical and clinical evidence that PDE enzymes are involved in various liver cell (dys)functions associated with liver pathology. However, more work needs to be done to characterize the expression patterns and levels of PDEs in a cell-specific manner in the liver (Fig. 14). This will allow us to better understand their role in liver cell pathophysiology for therapeutic targeting. Moreover, liver diseases are multifactorial and progressive with various stages of pathology ranging from simple steatosis to inflammation and fibrosis. Animal models do not recapitulate the clinical progression of human liver disease, and hence, they have limited utility in testing PDE inhibitors for efficacy. Because various selective PDE4 and PDE5 inhibitors have been approved by the FDA for clinical use, perhaps hepatologists will consider them as therapeutic options for liver diseases, especially for ALD and MASLD.Fig. 14Involvement of PDEs in liver fibrosis and hepatocyte damage. Several factors, including alcohol, viruses, and high-fat diets, can instigate damage to hepatocytes and fibrosis. Injured hepatocytes release inflammatory mediators leading to the recruitment of peripheral immune cells and activation of resident macrophages consequently, triggering the activation of HSCs. Activated HSCs transdifferentiate into pro inflammatory and profibrogenic myofibroblasts and release excessive amount of ECM, which in long-term leads to liver fibrosis. Elevated PDE activity mediates some of these pathological changes, thus presenting as potential pharmacological targets for treating liver disorders. Created with BioRender.com.\nInvolvement of PDEs in liver fibrosis and hepatocyte damage. Several factors, including alcohol, viruses, and high-fat diets, can instigate damage to hepatocytes and fibrosis. Injured hepatocytes release inflammatory mediators leading to the recruitment of peripheral immune cells and activation of resident macrophages consequently, triggering the activation of HSCs. Activated HSCs transdifferentiate into pro inflammatory and profibrogenic myofibroblasts and release excessive amount of ECM, which in long-term leads to liver fibrosis. Elevated PDE activity mediates some of these pathological changes, thus presenting as potential pharmacological targets for treating liver disorders. Created with BioRender.com.\nOur memories are what define who we are as a person. Healthy aging, alongside age-related diseases including cognitive decline (ACRD), mild cognitive impairment (MCI), AD, AD-related dementias (ADRD), and Huntington’s disease (HD), is characterized by memory deficits and other cognitive impairments (Apple et al, 2017; Dean et al, 2017; Ffytche et al, 2017; Kane et al, 2017). These cognitive domains are known to be regulated by PDEs and aging and age-related diseases of the brain have been associated with significant disturbances in cyclic nucleotide signaling (cf, Kelly, 2018a). Here, we suggest that dysfunction in more than 1 PDE contributes to age-related pathology and identify those PDE families and isoforms with the greatest therapeutic potential.\nAs described in detail below, several PDEs demonstrate alterations in expression, localization, and/or activity in the aged brain that can be subverted/exacerbated in the context of ACRD, MCI, AD, ADRD, and HD. A particularly challenging aspect of this area of research is that these functional changes are often isoform-specific and vary across brain regions. For example, in the hippocampus and cortex, aged rodents demonstrate increased high Km cAMP-PDE and cGMP-PDE hydrolytic activity relative to young rodents (Stancheva and Alova, 1991; Chalimoniuk and Strosznajder, 1998). As such, isoform-selective therapeutics have been much pursued for the treatment of ARCD, MCI, AD, ADRDs, and HD (Fig. 15).Fig. 15Role of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nRole of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nDuring the transition from early to late adulthood, rodent studies show that PDE1B mRNA expression remains unchanged in the hippocampus but decreases in the cerebellum and striatum (Kelly et al, 2014). In contrast, PDE1C mRNA expression increases in the striatum and PDE1C1 protein—but not PDE1C3—increases in the hippocampus (Kelly et al, 2014). Expression of PDE1A mRNA in these brain regions remains unchanged with age, and no isoform showed age-related changes in cortical expression (Kelly et al, 2014). Functionally, PDE1B is the most explored PDE1 isoform in the context of learning and memory. PDE1B knockout mice performed equivalently to wild-type mice in both the passive avoidance and conditioned avoidance tests (Siuciak et al, 2007b). Adolescent PDE1B knockout and heterozygous mice showed impaired spatial learning and memory in a hidden-platform water maze task relative to wild-type mice (Reed et al, 2002); however, adult PDE1B knockout mice showed intact spatial learning and memory but impaired reversal learning on the task (Ehrman et al, 2006). In stark contrast, viral knockdown of only hippocampal PDE1B expression in young adult mice enhanced contextual fear conditioning memory and spatial memory in the Barnes maze (McQuown et al, 2019). Thus, although the general knockdown of PDE1B across brain regions impaired memory processes, local deletion in the hippocampus improved memory function. PDE1B is highly expressed in many brain regions other than the hippocampus, including the cortex, striatum, thalamus, and brain stem (Kelly, 2014; Kelly et al, 2014). Thus, an effect of PDE1B deletion in one of these other brain regions may mask any nootropic effect related to deletion within the hippocampus.\nThat said, the nonselective PDE1 inhibitor, vinpocetine, is sold in over-the-counter supplements (eg, Cavinton or Intelectol, Richter Gedeon; Cognitex, Life Extension) that claim to improve memory (Baillie et al, 2019). Indeed, several clinical trials have examined the cognition-enhancing effects of vinpocetine—either alone or in combination with other compounds (eg, caffeine or Ginko Biloba)—and have generally found improvement in healthy volunteers, individuals with cerebral hypofusion, and possibly aged individuals, but no improvement in AD patients (Subhan and Hindmarch, 1985; Balestreri et al, 1987; Thal et al, 1989; Hindmarch et al, 1991; Polich and Gloria, 2001; Szatmari and Whitehouse, 2003; Richter et al, 2011b; Valikovics et al, 2012; Caldenhove et al, 2017). This is consistent with preclinical rodent models demonstrating therapeutic effects of PDE1 inhibitors in vascular dementia via the PKA-CREB pathway (Zhou et al, 2023), but not with studies showing the efficacy of PDE1 inhibitors in rodent models of AD (Shekarian et al, 2020; Shekarian et al, 2023). Reports of side effects associated with vinpocetine have been minimal, and include flushing, rashes, and minor gastrointestinal disturbances (Smith and Doe, 2002).\nIntracellular therapies developed the broad PDE1 inhibitor, lenrispodun, which shows picomolar IC50s for PDE1A, PDE1B, and PDE1C in enzymatic assays and >1000-fold selectivity versus its nearest neighbor PDE4 (Li et al, 2016b; Snyder et al, 2016). Lenrispodun demonstrates cognition-enhancing effects in rodent models of long-term memory and working memory deficits (Snyder et al, 2016; Li et al, 2016b; Pekcec et al, 2018). It remains to be determined whether the cognition-enhancing effects of lenrispodun are due to inhibition of PDE1A, PDE1B, and/or PDE1C; however, PDE1B may be the most likely candidate given its expression in dopamine D1-expressing neurons (Pekcec et al, 2018) along with the fact that a PDE1B-selective inhibitor developed by Dart Neuroscience showed similar cognition-enhancing effects (Dyck et al, 2017).\nStudies in humans report that PDE2A mRNA levels increase between the prenatal period and childhood and then stabilize into young-middle adulthood in cortical regions, amygdala, and striatum, whereas hippocampal expression of PDE2A mRNA does not increase beyond prenatal levels until adulthood (Farmer et al, 2020). In stark contrast, studies in rodents report decreased expression of PDE2A in the striatum during the transition from early to late adulthood, but no change in the hippocampus, cortex, or cerebellum (Kelly et al, 2014). PDE2A expression did not change as a function of AD in the hippocampus, cortex, cerebellum, or striatum (Reyes-Irisarri et al, 2007).\nAs extensively reviewed elsewhere (Gomez and Breitenbucher, 2013; Zhang et al, 2017a; Kelly, 2018a; Nakashima et al, 2019; Ruan et al, 2019; Zhou et al, 2021; Shi et al, 2021a; Yan et al, 2022), PDE2 inhibitors improve many types of memory in young and old rodents as well as in AD rodent models, preventing Aβ-induced cytotoxicity. The ability of PDE2 inhibitors to improve cognition in these models appears to be mediated via its regulation of cGMP signaling because the nootropic effects require signaling via nNOS (Domek-Lopacinska and Strosznajder, 2008) and PKG (Wang et al, 2017a). Takeda Pharmaceuticals initiated Phase I trials with the PDE2 inhibitor, TAK-915, to correlate plasma exposures with central target engagement to inform dose selection for future trials targeting cognitive impairments (Mikami et al, 2017a,b,c); however, clinicaltrials.gov does not show any trials registered beyond Phase I (accessed November 28, 2023).\nAD upregulates PDE3 expression in cerebral vessels (Maki et al, 2014). In preclinical models, PDE3 inhibitors have prevented or reversed Aβ-induced cytotoxicity, both in vitro and in AD mouse models (cf, Yanai et al, 2017; Kelly, 2018a; Yanai et al, 2022). Several prospective and retrospective studies have examined cilostazol as a primary or adjunctive treatment for cognitive deficits associated with AD and schizophrenia (Arai and Takahashi, 2009; Shirayama et al, 2011; Sakurai et al, 2013; Taguchi et al, 2013; Ihara et al, 2014; Tai et al, 2017a,b). As reviewed elsewhere (Heckman et al, 2018a), most of these studies demonstrated positive effects of cilostazol on cognition. The mechanism by which cilostazol elicits improved cognition has yet to be determined empirically. Given there is very little expression of PDE3A or PDE3B in the brain (Lakics et al, 2010; Kelly et al, 2014), it may be more likely that cognition-enhancing effects of cilostazol are driven by increased cerebral blood flow that comes with chronic—but not acute—dosing (Mochizuki et al, 2001; Birk et al, 2004; Kai et al, 2011). Indeed, recent studies in mice suggest the ability of cilostazol to reverse age-related impairments in hippocampus-dependent memory is related to effects on the blood-brain barrier (Yanai et al, 2017) along with increased cerebral glucose uptake and reduced neuroinflammation (Yanai et al, 2022). Despite its existing FDA approval, the efficacy and safety of cilostazol (Pletal) is still very much a topic of investigation (cf, Baillie et al, 2019).\nThe PDE4 family is arguably the most studied of all the PDE families (cf, Baillie et al, 2019; Kelly et al, 2020), with PDE4A, PDE4B, and PDE4D, but not PDE4C, being expressed in the rodent (Kelly, 2014; Kelly et al, 2014) and human brain (Lakics et al, 2010). Interestingly, hippocampal PDE4 protein expression appears to decrease from early to late adulthood (Tohda et al, 1996; Kato et al, 1998; Harada et al, 2002); however, genetic deletion or broad inhibition of PDE4 rescued many types of Aβ-induced cytotoxicity and age-related decline, including reduced CREB phosphorylation, long-term potentiation deficits, and memory impairments [(Bach et al, 1999; de Lima et al, 2008; Drott et al, 2010; Devan et al, 2014; Kumar and Singh, 2017); cf, (Kelly, 2018a; Baillie et al, 2019b); see more below]. Different studies suggest that individual PDE4 isoforms are differentially affected by the disease in a brain region-specific manner (Perez-Torres and Mengod, 2003; Sebastiani et al, 2006; McLachlan et al, 2007; Paes et al, 2021a).\nDespite the fact that the broad spectrum PDE4 inhibitor rolipram triggered aging-like impairments in working memory in young adult monkeys (Ramos et al, 2003), more recent studies report nootropic effects of various PDE4 inhibitors in the elderly, patients with schizophrenia, and other human populations (cf, Baillie et al (2019b); see more below). Zembrin is a nonselective PDE4 inhibitor (it also acts as a 5-HT uptake inhibitor) that is not FDA-approved but is a component of a number of herbal supplements claiming calming or mood-stabilizing properties (eg, Calm, Doctor’s Best; Mood, Procera; Nutri-calm, and Nature’s Sunshine; Terburg et al, 2013). Roflumilast has also been tested for its ability to improve cognition and information processing in healthy humans (Heckman et al, 2018b; Van Duinen et al, 2018).\nThe cognition-enhancing effects of roflumilast described above are consistent with a press release from Dart Neuroscience claiming that 45mg of their PDE4 inhibitor, HT-0712, the lowest dose tested, improved long-term memory for word lists in elderly subjects experiencing a cognitive decline (Baillie et al, 2019). Like Dart Neuroscience, Tetra Therapeutics appears to be pursuing an indication related to cognitive functioning for their PDE4D-negative allosteric modulator zatolmilast. These effects in humans are again consistent with preclinical studies showing zatolmilast improved a number of behaviors in a mouse model of Fragile-X Syndrome and antagonized the amnestic effects of scopolamine in mice (Gurney et al, 2017; Zhang et al, 2018a). Preclinical cognition-enhancing effects of GSK’s PDE4 inhibitor, GSK 356278 were similarly reported (Rutter et al, 2014) as were the ability of several PDE4 inhibitors to ameliorate memory deficits and pathology in dementia-related rodent models (Feng et al, 2019; Liang et al, 2020; Wang et al, 2020; Nazir et al, 2021; Virk et al, 2021; Xia et al, 2022; Hasan et al, 2022; Cong et al, 2023; Gomaa et al, 2023).\nFrom a therapeutic perspective, then, it would be preferable to only target these isoforms in relevant brain regions. As described below, select PDE4A and PDE4D splice variants are the most likely to play a role in molecular mechanisms of memory because numerous studies have reported that genetically manipulating all/select PDE4B isoforms alter synaptic plasticity but largely have no effect on learning and memory (Siuciak et al, 2008a; Zhang et al, 2008a; Rutten et al, 2011; Campbell et al, 2017).\nPDE4A. Many studies have analyzed the effects of genetically manipulating PDE4A on memory. PDE4A knockout mice exhibit normal object recognition memory and spatial water maze memory yet improved passive avoidance memory relative to wild-type mice (Hansen et al, 2014). The selective effect on passive avoidance memory may be related to the aversive nature of the stimuli employed in passive avoidance, given the fact that PDE4A deletion produces anxiogenic-like phenotypes on the elevated-plus maze, light-dark transition, and novelty-suppressed feeding tests (Hansen et al, 2014). This is highly interesting, given that negatively valanced memories are thought to trigger a stronger encoding, storing, and reactivation of sensory detail in controls (Hansen et al, 2014) and patients with AD (Maria and Juan, 2017). As extensively reviewed elsewhere (Baillie et al, 2019), each PDE(4) isoform is uniquely anchored by protein-binding partners through its unique N-terminal domain, which leads to the regulation of different nanodomains of cAMP. When full-length PDE4A5 that includes its unique N-terminal targeting domain is virally overexpressed in hippocampal excitatory neurons, forskolin-induced hippocampal late long-term potentiation (LTP) is impaired and hippocampus-dependent long-term, but not short-term, memory for object location and contextual fear conditioning is attenuated (Havekes et al, 2016a). In contrast, hippocampal delivery of a catalytically dead PDE4A5 that displaces endogenous PDE4A5 (ie, a dominant negative approach) rescued localized cAMP signaling deficits and hippocampus-dependent memory impairments that were caused by sleep deprivation (Vecsey et al, 2009; Havekes et al, 2016a,b). Interestingly, overexpression of PDE4A5 in the hippocampus did not alter anxiety-related behaviors in this study, suggesting either that the PDE4A isoforms regulating anxiety may differ from those regulating memory function or that PDE4A5 expression outside of the hippocampus (eg, in the amygdala or prefrontal cortex) regulates anxiety-related behaviors (Kelly et al, 2020). Importantly, overexpression of PDE4A1, which targets different hippocampal nanodomains, leaves memory undisturbed (Havekes et al, 2016a). As such, compounds or biologicals that target the unique N-terminal domain of each individual PDE4A isoform may be necessary for a beneficial effect in the context of cognitive deficits [as described in Baillie et al (2019)].\nPDE4D. Expression of PDE4D has been genetically and pharmacologically manipulated to examine its role in hippocampus-dependent memory and plasticity. Genetic deletion of PDE4D strengthened recent long-term memory in the radial arm maze, hidden platform water maze, and object recognition tests while increasing levels of cell proliferation and phosphorylation of CREB in the mouse hippocampus (Li et al, 2011). That said, weaker recent long-term memory for contextual fear conditioning was also observed in the global PDE4D knockout mouse (Rutten et al, 2008). It is quite possible that this particular memory impairment may reflect the loss of PDE4D outside the hippocampus, particularly from the amygdala, because selective knockdown of PDE4D in the hippocampus alone improved recent long-term memory for contextual fear conditioning while increasing the number of training-induced stubby spines in CA1 (Baumgartel et al, 2018). Furthermore, PDE4D knockout mice require less tetanic or theta burst stimulation to induce long-term potentiation relative to wild-type mice, although the maximum strength of LTP obtained in PDE4D knockout mice matches that of wild-type mice (Rutten et al, 2008). Furthermore, PDE4D expression is downregulated via gene methylation in aging rats undergoing a moderate-intensity intermittent training program that attenuated ARCD of spatial learning and memory while improving the synaptic structure of the hippocampus (Zhang et al, 2023b). Similarly, PDE4D miRNA infused selectively into the prefrontal cortex reversed Aβ1-42-induced cognitive impairment (Shi et al, 2021b). That said, PDE4D was reported to be upregulated in the prefrontal cortex of aged rats in a manner that positively correlated with working memory and inversely correlated with Tau phosphorylation (Leslie et al, 2020). Thus, the role of PDE4D in regulating memory appears to be brain region and memory type specific.\nIt is likely the long forms of PDE4D, specifically, are negative regulators of hippocampus-dependent memories. Infusion of miRNAs within the dentate gyrus of the hippocampus that targets PDE4D4 and PDE4D5 strengthened recent long-term memory in the radial arm maze, hidden water maze, and object recognition tests (Li et al, 2011); however, infusion of miRNAs targeting PDE4D1/2 or PDE4D3 did not. PDE4D4 and PDE4D5 miRNAs also rescued Aβ-42-induced memory deficits in the hidden platform water maze and object recognition tasks (Zhang et al, 2014). Knockdown of PDE4D long forms also increased phosphorylation of CREB in the hippocampus (Li et al, 2011), a reduction of which is associated with aging (Kelly, 2018a). When long forms of PDE4D were knocked down in the prefrontal cortex of mice, novel object recognition and spatial memory were similarly improved, as was phosphorylation of CREB and pyramidal neuron dendritic branching/length (Wang et al, 2013). Furthermore, knockdown of PDE4D long forms in the prefrontal cortex rescued memory impairments in mice undergoing chronic unpredictable stress (Wang et al, 2015b). Thus, PDE4D4 and PDE4D5, both within and outside of the hippocampus, play critical roles in constraining neuroplasticity and memory formation. Together, these data suggest that PDE4A5, PDE4D4, and PDE4D5 may be the key PDE4 splice variants to target in the treatment of memory deficits.\nPDE5 is probably best known as a drug target for erectile dysfunction (cf, Baillie et al, 2019); however, several studies have pointed to a potential role in regulating brain function. In rodent cerebellum, PDE5A mRNA expression increases between early to late adulthood (Kelly et al, 2014). In animal models, inhibitors of PDE5A have provided protection against age-related decline (Domek-Lopacinska and Strosznajder, 2008; Orejana et al, 2012; Palmeri et al, 2013; Devan et al, 2014). Still, a number of clinical trials have tested the effects of the PDE5 inhibitors tadalafil, sildenafil, and vardenafil on various measures of cognition in healthy volunteers, patients with schizophrenia, or elderly patients with cerebral small vessel disease and have largely found no effects (Grass et al, 2001; Schultheiss et al, 2001; Goff et al, 2009; Reneerkens et al, 2013a,b; Pauls et al, 2023). In contrast, the temporal cortex of patients with AD shows a 5× increase in PDE5A expression relative to controls (Ugarte et al, 2015). Furthermore, PDE5A inhibitors rescue memory deficits, synaptic dysfunction, Tau hyperphosphorylation, Aβ burden, and cytotoxicity in AD mouse models (Puzzo et al, 2009; Garcia-Barroso et al, 2013; Cuadrado-Tejedor et al, 2011; Fiorito et al, 2013; Zhang et al, 2013; Puzzo et al, 2014; Acquarone et al, 2019; Zhu et al, 2019a; Huang et al, 2020b; Tabrizian et al, 2021; Kang et al, 2022; Justo et al, 2023) in a PKG-dependent manner (Zhang et al, 2013).\nExpression of PDE7A mRNA decreases in rodent cortex from early to late adulthood (Kelly et al, 2014). This age-related reduction in PDE7A mRNA is particularly interesting given that a SNP in PDE7A has been genetically associated in humans with age-related cognitive decline (De Jager et al, 2012; Andrews et al, 2016) and cognitive dysfunction related to brain tumors (Correa et al, 2019). In contrast, PDE7A mRNA is decreased in CA2 of the hippocampus in patients with AD relative to controls (Perez-Torres et al, 2003). Thus, it may be surprising that PDE7 inhibitors have positive effects in models of diseases where cognition, neuroprotection, neuroinflammation, and/or motor function are impaired (Banerjee et al, 2012; Redondo et al, 2012; Perez-Gonzalez et al, 2013; Lipina et al, 2013; Garcia et al, 2014; Morales-Garcia et al, 2014; Morales-Garcia et al, 2015a,b; Mestre et al, 2015; Jankowska et al, 2017; Morales-Garcia et al, 2017), including models of AD (Perez-Gonzalez et al, 2013; Bartolome et al, 2018).\nPDE8A3 and PDE8A4/5 protein expressions increase in the rodent hippocampus from early to late adulthood (Kelly et al, 2014; Hegde et al, 2016), whereas PDE8A1 protein levels do not change in this brain region (Kelly et al, 2014). PDE8A mRNA levels also increase across the lifespan in the rodent striatum (Kelly et al, 2014). In contrast, PDE8B mRNA is increased in hippocampal CA2 of patients with AD (Perez-Torres et al, 2003) and in vitro in response to an accumulation of carboxy-terminal amyloid precursor protein fragments (Kametani and Haga, 2015). This AD-related increase in PDE8B expression may contribute to cognitive deficits associated with the disease because PDE8B inactivation in rodents strengthens recent long-term memory for hippocampus-dependent memories (Tsai et al, 2012). Furthermore, recently characterized PDE8 inhibitors demonstrated therapeutic effects in mouse models of vascular dementia (Huang et al, 2020c; Wu et al, 2022). Together, these results suggest PDE8B inhibitors may be a therapeutic approach for cognitive decline; however, this potential may be limited by anxiogenic side effects (Tsai et al, 2012).\nMultiple PDE9A isoforms also exhibit age-related changes in expression in a brain region-specific manner (Patel et al, 2018). In particular, PDE9A isoforms decreased during early postnatal development in the cerebellum and hippocampus of rodents (Patel et al, 2018). Importantly, PDE9A mRNA also decreases during early life in the human hippocampus (Patel et al, 2018). This age-related decrease in hippocampal PDE9A mRNA may reflect a healthy adaptive process because hippocampal PDE9A mRNA is synergistically elevated in the hippocampus of individuals with a history of traumatic brain injury plus dementia relative to controls, although patients with only traumatic brain injury or dementia showed no change relative to controls (Patel et al, 2018). The lack of change in PDE9A expression in dementia-only patients may help explain why the PDE9 inhibitors PF-04447943 and BI-409306 failed to improve either cognition or dementia-related behavioral disturbances in patients with AD in phase II clinical trials (Schwam et al, 2014; Frolich et al, 2019). These clinical failures stood in the face of preclinical studies showing that PDE9A inhibitors rescue cytotoxicity, plasticity impairments, and memory deficits in AD rodent models (Kroker et al, 2014; Li et al, 2016a; Rosenbrock et al, 2019). Furthermore, the development of novel PDE9 inhibitors continues to be pursued for neurodegeneration (Zhang et al, 2020b; Ribaudo et al, 2021; Swetha et al, 2022).\nNot only do expression levels of PDE9A isoforms change with age in a brain region-specific manner but so does their subcellular localization (Patel et al, 2018). For example, across early development PDE9A6/13 and PDE9X-120 shift from the membrane to the nucleus in the prefrontal cortex and cerebellum but not the striatum or hippocampus (Patel et al, 2018). As discussed elsewhere (Salpietro et al, 2018), the issue of subcellular localization may also have contributed to the aforementioned clinical failures of PF-04447943 and BI-409306 for AD. That is, PDE9A is enriched in the nucleus and membrane (Patel et al, 2018) and, thus, is not in a position to directly regulate the cytosolic pools of cGMP that appear to be dysregulated in AD (Bonkale et al, 1995; Baltrons et al, 2002; Baltrons et al, 2004).\nPrenatally, PDE10A mRNA is widely expressed throughout human cortical regions, hippocampus, amygdala, and striatum; however, PDE10A levels dramatically drop by childhood in all regions except in the striatum (Farmer et al, 2020). In the adult human brain, then, PDE10A is predominantly expressed in striatal medium spiny neurons (Geerts et al, 2017; Farmer et al, 2020) and has been largely studied in the context of corticostriatal disorders such as HD and schizophrenia (cf, Baillie et al, 2019). In adult rodents, PDE10A mRNA is also predominantly expressed in the striatum; however, it is also found at very low levels in the cortex, cerebellum, and hippocampus (Kelly et al, 2014; Farmer et al, 2020). Even so, PDE10A deletion or inhibition in rodents has largely proven ineffective, if not harmful, for learning and memory (Siuciak et al, 2006a,b; Sano et al, 2008; Schmidt et al, 2008; Siuciak et al, 2008b). PDE10A is widely reported to be downregulated in the striatum of patients with HD, with the extent of PDE10A loss corresponding to the number of CAG repeats within the Huntington gene (Hebb et al, 2004; Ahmad et al, 2014; Russell et al, 2014; Russell et al, 2016; Wilson et al, 2016; Fazio et al, 2020). PDE10A mutations linked to hyperkinetic movement disorders that phenocopy many features of HD reduce PDE10A expression due to irregular subcellular trafficking that leads to increased PDE10A degradation in the cytosol (Tejeda et al, 2020). Experimentation using highly specific, PDE10A positron emission tomography tracers shows PDE10A expression continues to decline over the years, suggesting the enzyme could be a useful biomarker for assessing the initial diagnosis and subsequent progression of HD (Russell et al, 2016). This downregulation of PDE10A in the HD brain may reflect a compensatory mechanism aimed at increasing cAMP/cGMP signaling, which is known to be reduced in patients’ samples (Gines et al, 2003). Indeed, HD mouse models also show reduced striatal PDE10A expression (Hebb et al, 2004; Hu et al, 2004; Leuti et al, 2013; Miller et al, 2014; Beaumont et al, 2016); however, PDE10 inhibitors rescue behavioral, neurodegenerative, and electrophysiological deficits (Giampa et al, 2009; Giampa et al, 2010; Giralt et al, 2013; Beaumont et al, 2016; Harada et al, 2017). That said, Pfizer’s PF-02545920 failed to improve symptoms in patients with HD and, therefore, further development was terminated (cf, Baillie et al, 2019). Omeros and Palobiofarma similarly explored HD as an indication for their PDE10 inhibitors; however, those efforts were suspended or have been terminated (cf, Baillie et al, 2019).\nIn the rodent brain, PDE11A is quite unique in that it is the only PDE whose mRNA expression emanates predominantly (if not solely) from the hippocampus (Kelly et al, 2014). Age-related increases in PDE11A mRNA and PDE11A4 protein expressions have been reported in the mouse, rat, and human hippocampus (Kelly et al, 2014; Pilarzyk et al, 2022). Interestingly, these age-related increases in protein expression are driven, at least in part, by phosphorylation of Ser117 and Ser124 in the PDE11A4 N-terminal regulatory domain, which also triggers the protein to ectopically accumulate within filamentous structures termed ghost axons (Pilarzyk et al, 2022; Pilarzyk et al, 2023). These age-related increases in PDE11A4 expression are likely a direct contributor to the age-related increases in hippocampal PDE hydrolytic activity and decreases in CREB function described above (Kelly et al, 2010; Smith et al, 2021; Pilarzyk et al, 2022) as well as age-related decreases in expression of the NR1 subunit of the N-methyl-D-aspartate (NMDA) receptor that occur post-synaptically in the prefrontal cortex (Pilarzyk et al, 2019; McQuail et al, 2021). These age-related increases in hippocampal PDE11A4 protein expression may also contribute to age-related changes in microglia activation and cytokine expression in the hippocampus (Pathak et al, 2017; Pilarzyk et al, 2021; Porcher et al, 2021).\nGenetic deletion of PDE11A in mice leads to a transient amnesia for social memories that ultimately produces stronger, remote long-term social memories in young adult mice and prevents the age-related cognitive decline of remote long-term social memories in old mice (Pilarzyk et al, 2019; Pilarzyk et al, 2022). This transient amnesia correlates with changes in the overall activation levels and functional connectivity of frontal cortical regions and hippocampal/parahippocampal regions and reduced expression of the glutamate receptor NR1 subunit in the prefrontal cortex (Pilarzyk et al, 2019). Furthermore, viral restoration of PDE11A4 selectively to ventral CA1 of adult Pde11a KO adult mice was sufficient to reverse the memory phenotypes caused by the deletion, suggesting that the nootropic effect of the deletion was due to the acute loss of PDE11A4 signaling in the adult brain as opposed to an effect on development (Pilarzyk et al, 2019; Pilarzyk et al, 2022). Based on these findings, potent and selective PDE11 inhibitors are currently being developed for treating age-related cognitive decline (Mahmood et al, 2023).\nDisrupting PDE homodimerization may also prove to be an effective way to target PDE11A4 function in a subcellular domain-specific manner (GAF-B domain) to rescue cognitive deficits (Pathak et al, 2017). Interestingly, age-related increases in ventral hippocampal PDE11A4 protein are localized to the membrane (Pilarzyk et al, 2022), which suggests the isolated GAF-B domain might prove quite beneficial in the context of age-related cognitive decline (Pilarzyk et al, 2022). Indeed, viral expression of the isolated GAF-B domain in CA1 of mouse hippocampus was able to reduce PDE11A4 protein expression in a compartment-specific manner, reverse the age-related cognitive decline of remote long-term social associative memory, and improve social recognition memory in old mice, albeit at the expense of being unable to access recent long-term social memories (Pilarzyk et al, 2023).\nAs discussed elsewhere (Baillie et al, 2019), this is clearly an exciting time in the PDE field, but there is much work that remains to be done. For therapeutics to be efficiently developed, we need to have a more thorough understanding of exactly where cyclic nucleotide signaling is disrupted in a given disease, and in which tissue, cell types, and subcellular compartments. We then need to target a PDE in a defined locale, with the understanding that subcellular compartmentalization of a given PDE may vary depending on species, age, tissue type, or disease status (Houslay and Baillie, 2005; Huston et al, 2006; Nagel et al, 2006; Richter et al, 2008; Ahmad et al, 2009; Houslay, 2010; Penmatsa et al, 2010; Al-Tawashi and Gehring, 2013; Perera et al, 2015; Patel et al, 2018). This consideration is equally important in the evaluation of potential efficacy and potential side effects. To maximize potential efficacy while minimizing potential side effects, 1 would target a PDE that is enriched, if not exclusively expressed, in the tissue of interest and that controls the same pool of cyclic nucleotide that is altered by the disease. At the same time, efforts to unravel the intramolecular signals responsible for trafficking each PDE also need to continue to inform more sophisticated therapeutic approaches that can preferentially target a given PDE in a given subcellular compartment. Along these same lines, we need to grow our understanding of how to stimulate PDE activity and how to target the PDE catalytic activity of dual-specificity PDEs in a functionally selective manner (ie, target only its cAMP- or cGMP-hydrolytic activity, [see Kelly, 2015] for further discussion). Perhaps by increasing the specificity of our approach, we can retain efficacy while mitigating the numerous side effects described above that have plagued PDE inhibitors to date.\nThere is a high degree of overlap between the expression of PDE isoforms and dopamine signaling pathways that mediate motor movement and motivated behaviors. Moreover, the use of new genetic models and novel pharmacological inhibitors has shown that many of the prominent brain PDEs directly impact cyclic nucleotide-dependent dopamine signaling pathways in a region-specific and cell type-specific manner. Certain PDE isoforms, then, represent targets for novel pharmaceutical approaches to a wide array of neuropsychiatric and neurodegenerative diseases that affect dopamine neurons and their target cells, including schizophrenia, Parkinson’s disease (PD), HD, and depression. Although the role of PDE isoforms in brain and behavioral disease is the subject of other contributions to this review, we review briefly, here, the potential utility of PDE inhibitors for the treatment of dopamine-related neurodegenerative disease, PD.\nParkinson’s disease and symptomatic treatment. PD is characterized as a progressive degeneration of dopamine (DA)-containing neurons in the brain. It is most often characterized by motor deficits, notably bradykinesia, limb rigidity, and resting tremor. Dopamine depletion—most notable as the degeneration of nigrostriatal dopamine neurons—is considered the primary cause of the loss of volitional movement in PD. This effect may contribute to the associated nonmotor symptoms of the disease, including cognitive dysfunction, loss of effect, and depression (Hornykiewicz, 1966; Bernheimer et al, 1973), although nondopaminergic systems are also clearly involved (Jellinger, 1991; Braak et al, 2003). Mutations in specific genes, including LRRK2, synuclein, and PINK1, are linked to familial forms of PD (Biskup et al, 2008) but may also play important roles in many cases (ie, >95 % of patients) of the disease for which the biological cause is unknown. There is no cure for PD. Rather, the disease is currently addressed with symptomatic treatments that temporarily restore motor function, including replacement therapies like L-dihydroxyphenylalanine (L-DOPA or levodopa), the immediate precursor for DA synthesis (Jankovic and Aguilar, 2008). Unfortunately, long-term L-DOPA therapy becomes ineffective in treating motor disabilities with chronic use.\nThe use of adjunctive or alternate first-line therapies that delay the introduction of L-DOPA therapy or reduce the required dose of L-DOPA can positively affect the course of the disease and the appearance of motor side effects (Schrag and Quinn, 2000). Dopamine receptor agonists (eg, pramipexole, ropinirole) may slow disease progression (Olanow, 2009) and have become part of the arsenal for the treatment of early stage disease, perhaps with fewer drug-induced dyskinesias (Rascol et al, 2000). Interestingly, in vitro preclinical studies show that dopamine receptor agonists may exert antiapoptotic effects directly on dopamine neurons (eg, via autoreceptors; Olanow, 2009); furthermore, dopamine receptor agonists may act at post-synaptic sites (downstream of actions on dopamine neurons) to normalize dopamine activity within the basal ganglia motor system and slow disease progression. The strategy of normalizing motor symptoms to slow disease progression by intervening at points distant from the affected dopamine neurons is the basis for several novel therapeutic approaches.\nAt present, the only medications recognized by the FDA for efficacy in the treatment of LIDs are Istradefylline, an A2A adenosine receptor antagonist (Cummins and Cates, 2022) and amantadine (Metman et al, 1999), a mixed-action drug that produces a modest attenuation of LIDs in some patients via molecular mechanisms that are unclear, but which likely involve NMDA receptor blockade and dopamine agonist activities (Jankovic and Aguilar, 2008). Based on these data, a major avenue for the development of new PD therapies is the discovery of stand-alone or adjunctive therapies that will increase “on” time, enable replacement of L-DOPA or lower maintenance doses of L-DOPA, and prolong the useful lifetime of PD therapy, delaying or preventing the appearance of motor fluctuations, including LIDs.\nPDEs as Novel Targets for PD Therapy: PDEs are exciting and novel targets for the development of new therapies to treat the symptoms (motor and non-motor symptoms), motor side effects, and possibly to modify disease progression in PD. The interest in these enzymes stems, in part, from their abundant expression in brain regions that sustain a loss of motor function in PD (eg, basal ganglia) or regions that subsume important roles in cognition (eg, the prefrontal and dorsolateral cortex and hippocampus)—a prominent non-motor symptomatic deficit in PD (Lakics et al, 2010). In addition, the ability of PDEs to control levels of the second messengers, cAMP and cGMP, which are the key signaling molecules in the actions of dopamine on motor and cognitive function (Greengard et al, 1999), is another appealing functional property. Although it is unclear whether modulation of cAMP or cGMP might be differentially beneficial in addressing symptoms and progression in PD, we will here focus on 4 PDE families with possible benefit for PD)—2 which are cAMP-preferring in their actions (PDE4 and PDE7A/B), and 2 which hydrolyze both cAMP and cGMP (PDE10A and PDE1).\nInhibitors of cAMP-Preferring PDE4 Enzymes in PD. PDE4 enzymes have been proposed as drug targets of interest for PD as family members, including PDE4B, are abundantly expressed in nigrostriatal dopamine terminals and in striatal medium spiny neurons (MSNs), in proximity to presynaptic and postsynaptic dopamine signaling machinery (Yamashita et al, 1997). Pharmacological inhibition of PDE4 with rolipram increases dopamine synthesis in cultured mesencephalic dopamine neurons (Yamashita et al, 1997). This effect is consistent with the ability of PDE4 inhibition to increase cAMP levels in these neurons, leading to phosphorylation of the dopamine synthetic enzymes, tyrosine hydroxylase (TH) at a site (Ser40) that catalyzes dopamine synthesis. These data are supported by in vivo studies demonstrating increases in TH phosphorylation and dopamine turnover in the striatum in response to rolipram (Nishi et al, 2008). PDE4 inhibitors also exhibit antidepressant and procognitive effects in a variety of animal models (Bolger et al, 1994; Barad et al, 1998; Bourtchouladze et al, 1998; D'Sa et al, 2005; Takahashi et al, 1999; Zhang et al, 2009) that would address nonmotor symptoms of PD that are poorly responsive to L-DOPA pharmacotherapy (Chaudhuri and Schapira, 2009). The ability of PDE4 inhibitors to drive dopamine synthesis and release and provide nonmotor support, suggesting that they might be useful in addressing early stage PD.\nThe positive pharmacological effects of PDE4 inhibitors, however, are complicated by postsynaptic effects that mimic the actions of dopamine D2-receptor antagonists. D2-receptor blocking drugs, such as the antipsychotic medication, haloperidol, produce motor disturbances in animals that resemble extrapyramidal motor symptoms and tardive dyskinesia (Klawans and Weiner, 1974). Dopamine receptor antagonists can interfere with the restoration of motor activity by L-DOPA in animal models of PD (Boyce et al, 1990; Grondin et al, 1999). The PDE4 inhibitor, rolipram, preferentially increases DARPP-32 phosphorylation at Thr34 in striatopallidal neurons (Nishi et al, 2008), which are predominantly controlled by dopamine D2 receptors. Thus, PDE4 inhibitors produce an effect in this subset of striatal neurons characteristic of dopamine D2-receptor antagonists such as haloperidol, which is shared with PDE10A inhibitors (see below), such as papaverine (Siuciak et al, 2006a). Overall, inhibition of PDE4 enzymes modestly reduces motor activity in normal mice and rats and potentiates the catalepsy produced by neuroleptic drugs (Kanes et al, 2007; Siuciak et al, 2007a). Thus, despite the favorable potential effects of PDE4 inhibitors for non-motor symptoms of PD, including treatment of cognitive deficits and depression (Zhang, 2009), it is unlikely that the motor effects of pan-PDE4 inhibitors would be tolerated in PD patients.\nPerhaps the greatest limitation to the development of PDE4 inhibitors for PD, and for CNS-based disorders in general, are the associated gastrointestinal and emetic side effects. The emetic response to PDE4 inhibitors has been attributed to the inhibition of the PDE4D isoform in the brain (Robichaud et al, 2002; Mori et al, 2010); indeed, PDE4D expression is enriched in the area postrema, a region controlling the emetic response. Emesis limits the tolerability of PDE4 inhibitors, thus stalling their development for brain disorders. Peripherally restricted inhibitors of PDE4 isoforms, including roflumilast and apremilast, have been successfully developed and approved by the FDA for the treatment of peripheral inflammatory disorders such as COPD; roflumilast has also been investigated for CNS disorders (Prickaerts et al, 2017), albeit with a narrow therapeutic window. Efforts continue toward the design of PDE4 inhibitors that minimize PDE4D-related safety concerns. These efforts have focused on the design of compounds (eg, zatolmilast) that work as negative allosteric inhibitors of the PDE4D enzyme and, thereby, lack full emetic potential. To this end, Tetra Therapeutics has advanced a PDE4D inhibitor, zatolmilast, into phase III clinical development for the treatment of Fragile X syndrome (NCT05163808).\nAnti-inflammatory and neuroprotective potential of cAMP-preferring PDE4 and PDE7 inhibitors. Another area of drug development focus has been the design of PDE4 inhibitors that target, selectively, the PDE4B isoform, which is proposed not to regulate the emetic response (Fox 3rd et al, 2014). PDE4B-preferring inhibitors have been discovered and tested preclinically for CNS activity (Pearse and Hughes, 2016) and for safety in assays thought to predict emetic potential in humans. Inhibitors (eg, ABI-4) of the brain-enriched PDE4B isoform exert strong anti-inflammatory and neuroprotective actions in cell-based assays. For example, the release of TNFα from LPS-stimulated human PBMCs and murine primary microglia was suppressed by ABI-4 in a concentration-dependent manner (Hedde et al, 2017). Similarly, ABI-4 suppressed the brain and plasma levels of proinflammatory cytokines, including IL1β and IL-6 (although not TNFα) in mice in vivo (Hedde et al, 2017). Aging has been associated with enhanced systemic inflammation (Franceschi et al, 2007); subchronic administration of AB4-1 in aged mice significantly reduced brain levels of TNFα and IL1β. Furthermore, lower levels of plasma TNFα were observed in mice genetically lacking the PDE4B isoform (Hedde et al, 2017). Despite the promising preclinical effects of more selective PDE4B inhibitors, like ABI-4 in inflammation and aging models, a suitable PDE4 inhibitor is yet to be evaluated clinically for the treatment of motor and/or nonmotor symptoms of PD.\nThe anti-inflammatory effects of PDE4B-preferring compounds are particularly interesting with regard to PD as it has become increasingly evident that neuroinflammation and immune system dysfunction are likely to be causative or exacerbating factors in the symptomatology and progression of PD (Tansey et al, 2022). As discussed above, PDE4 inhibitors, including PDE4B-preferring molecules, are reported to have potent anti-inflammatory actions that might protect neurons in models of PD and other neurodegenerative diseases. This property of PDE enzymes will be discussed below in reference to other PDE families, including those for PDE7, PDE10A, and PDE1.\nInhibitors of cAMP-Preferring PDE7A/B Isoforms in PD. The PDE7 family has also been proposed as a potential target for PD therapy due, in part, to high expression in striatal neurons and the potent anti-inflammatory/neuroprotective effects of inhibitors. To date, only a few studies have been published on this cAMP-preferring PDE. PDE7 enzymes (predominantly the PDE7B isoform) are abundantly expressed in the brain. PDE7B mRNA levels are high in rat dentate gyrus, striatum, and olfactory tubercle (Reyes-Irisarri et al, 2005). PDE7B mRNA is localized to striatal MSNs and its translational regulation under the control of the dopamine D1-receptor is confirmed (Sasaki et al, 2004). More recently, double in situ hybridization analysis has shown that the PDE7B signal also localizes to dopamine D2-receptor-containing striatal neurons (De Gortari and Mengod, 2010), further supporting the potential significance of this PDE as a target for the development of therapies for PD. Expression of PDE7B in the hippocampus further connects this isoform with brain circuitry underlying cognitive dysfunction in PD. A link between familial PD genes and PDE7B is supported by a recent study in mice overexpressing mutant A53T-alpha (α) synuclein (Kurz et al, 2010). Mutant α-synuclein, which was associated with reduced levels of several indices of striatal dopamine signaling, was found to negatively regulate striatal gene expression, including the gene encoding PDE7B. High-affinity inhibitors of this PDE (eg, OMS182401) are being investigated for motor benefit in animal models of PD (see http://www.michaeljfox.org/).\nPDE7 inhibitors, like PDE4B inhibitors, elicit strong anti-inflammatory effects and may be responsible for protective effects on dopamine neurons (Garcia et al, 2014; Chen and Yan, 2021; Zorn and Baillie, 2023). Inhibition of PDE7B or silencing of the gene encoding PDE7B dampens expression of inflammatory cytokines (like TNFα) in rodent neurons treated with 6-OHDA (a dopamine-depleting neurotoxin) or the inflammogen, LPS (Chen et al, 2021). The neuroprotective effects of PDE7 inhibitors are accompanied by increases in tissue levels of cAMP, suggesting that they protect dopamine neurons via pathways involving cAMP (Sasaki et al, 2004). The PDE7A isoform, furthermore, is highly expressed in human proinflammatory and immune cells (Smith et al, 2004), providing a broader role for this PDE in the regulation of brain and systemic inflammation.\nInhibitors of the Dual cAMP/cGMP PDE10A Enzyme in PD. A high level of basic research and drug development interest has focused on PDE10A, one of the dual cAMP/cGMP hydrolyzing PDE families. Initial interest in PDE10A inhibitors was as a novel target for the treatment of schizophrenia (Schmidt et al, 2009). PDE10A inhibitors, including the tool compound, papaverine, mimic the effects of established antipsychotic medications possessing dopamine D2-receptor antagonist activity in a variety of behavioral models (Siuciak et al, 2006a, 2007a). Deletion of the gene encoding PDE10A mimicked the behavioral actions of antipsychotic medications in mice (Siuciak et al, 2006a). These studies, however, noted that pharmacological inhibition of PDE10A or deletion of the PDE10A gene consistently elicited disruptions in motor function, including reduced spontaneous locomotor activity and increases in response latency in sensorimotor tests (Siuciak et al, 2006a). Clinical investigations of PDE10A inhibitors established a lack of efficacy in the treatment of psychosis (Walling et al, 2019; Menniti et al, 2021).\nDespite concerns that dopamine D2-receptor antagonist-like properties of PDE10A inhibitors could further compromise motor activity, mild dopamine D2 antagonist activity provided by these agents might be of value in the management of LIDs. Dopamine receptor sensitization that results from the loss of striatal dopamine innervation and the effects of dopamine replacement therapy likely contribute significantly to the development of LIDs (Nutt, 1990). Thus, mild dopamine D2-receptor antagonist-like activity that would normalize dopamine receptor responses to L-DOPA might delay the onset or lessen the severity of motor responses to replacement therapy. Dopamine D2-receptor antagonists effectively suppress the appearance of specific behaviors in animals that are analogous to human dyskinesias, including axial, limb, and orolingual movements, without significantly comprising L-DOPA effects on spontaneous motor activity (Monville et al, 2005; Taylor et al, 2005). Antagonists of specific receptors within the D2 family, like the D3-type dopamine receptor, have recently been shown to suppress LIDs, supporting the idea that molecules with D2-receptor antagonist-like activity may be useful anti-dyskinetic agents (Visanji et al, 2009). Clinically, several studies support the efficacy of atypical antipsychotic drugs, such as clozapine and aripiprazole, for the control of LIDs. The positive effects of these drugs may be due to their complex pharmacology, which includes activity at several different receptors. Thus, the interesting dopamine signaling effects of both PDE4 and PDE10A inhibitors may warrant their consideration for neurological indications such as LIDs. For example, abnormal orolingual movements induced by chronic neuroleptic drug treatment, a model for dyskinetic behaviors seen after L-DOPA, is attenuated by rolipram treatment (Sasaki et al, 1995).\nInhibitors of the Dual cAMP/cGMP PDE1 Enzyme in PD. PDE1 enzyme also represents an interesting target for addressing the motor symptoms of PD. The concept is supported by the enrichment of the PDE1B isoform in basal ganglia (Polli and Kincaid, 1994), and the demonstrated actions of pan-PDE1 inhibitors in enhancing cAMP-dependent actions of dopamine at the biochemical and behavioral level (Snyder et al, 2016; Pekcec et al, 2018). PDE1B was originally recognized as an attractive candidate for dopamine-related indications such as PD based on its striatal enrichment and close association with brain regions receiving heaving dopaminergic innervation (Polli and Kincaid, 1994; Yan et al, 1994). Furthermore, PDE1B gene knockout amplifies dopamine signaling via D1-receptor pathways and motor activity stimulated by low-level dopamine agonist administration (Reed et al, 2002; Ehrman et al, 2006; Siuciak et al, 2007a). The data support the idea that PDE1B inhibition enhances dopamine signaling in a stimulus-bound manner, as deletion of the PDE1B gene in mice resulted in no significant change in basal protein phosphorylation and negligible changes in basal locomotor activity. This quality is consistent with the unique regulatory properties of the PDE1 family of enzymes. As all 3 PDE1 family members are stimulated by Ca2+/CaM (the only 1 of 11 PDE families with this property), their activity is likely controlled by neuronal activity. This property confers an “on-demand” quality to PDE1 activity that would be anticipated to provide phasic amplification of dopamine signaling contingent upon stimulation of MSNs by endogenous factors. The “on-demand” activity of PDE1B may be a superior attribute as a drug target compared with dopamine agonists which tonically activate dopamine receptors (Wennogle et al, 2017). The tonic activation of receptors by agonists is 1 factor, which results in dopamine receptor changes that contribute to the development of motor fluctuations (Olanow, 2009). Establishing PDE1B as a therapeutic target for PD will need to be evaluated with potent and selective inhibitors.\nOver the past decade, several potent and selective PDE1 inhibitors have been discovered and reported to have activity on motor features of PD and/or on behavioral dimensions such as cognition, which are prominent non-motor features compromised in PD and poorly treated by current PD medications. The first fully characterized, orally active, brain permeant, and selective inhibitor of PDE1 was Lenrispodun. Lenrispodun has been reported, primarily, to enhance memory performance in rodents using the novel object recognition test (Snyder et al, 2016). Pekcec and colleagues further demonstrated the ability of the compound to elevate brain levels of cAMP and cGMP and facilitate dopamine D1-receptor and PKA-dependent neural transmission in prefrontal cortical brain slices (Pekcec et al, 2018). Behaviorally, these investigators showed that the compound acted like a dopamine D1-receptor agonist to reverse MK-801-induced cognitive deficits in a continuous alternation task. Interestingly, the compound preferentially improved the cognitive performance of “low performing” rats in the 5-CSRTT attentional assay, although having little effect on “high performing” rats. These results fit nicely with, what is referred to, as an “inverted U” curve noted with cognitive responses of animals treated with dopamine D1-receptor agonists. Animals typically show improved cognitive performance in response to dopamine D1-receptor agonists only at optimal levels of dopamine D1-receptor agonism; lower and higher levels of activity are associated with poorer cognitive performance (Goldman-Rakic et al, 2000).\nMost recently, a novel inhibitor of PDE1 has been disclosed by Sumitomo Dianippon Pharma Co., Ltd, which has efficacy in reducing the expression of dyskinetic behavior in MPTP-lesioned primates receiving long-term treatment with L-DOPA (Enomoto et al, 2021). To date, it is unclear whether this PDE1 inhibitor is being advanced into clinical testing for PD or any other indications.\nIt is noteworthy that like inhibitors of PDE4, PDE7, and PDE10A, PDE1 inhibitors also possess potent anti-inflammatory activity in cell-based and in vivo inflammation models. Early on, the PDE1B isoform was found to be expressed in immune cells. Bender and Beavo (2006) demonstrated enhanced expression of PDE1B levels in monocytes when stimulated to differentiate into macrophages. Another study found that the pan PDE1 inhibitor, Lenrispodun, suppressed the release of the proinflammatory cytokine, TNFα, from microglia-like BV2 cells in response to LPS treatment (O'Brien et al, 2020). Lenrispodun also inhibited the expression of proinflammatory genes in LPS-stimulated BV2 cells, including IL1β and CCL2. Functionally, these gene expression changes were correlated with the inhibition of BV2 migration toward the chemoattractant, ADP, in a Boyden chamber assay, implying that the compound was capable of dampening the recruitment of microglia to sites of inflammation (O'Brien et al, 2020). Transcriptome analysis using RNAseq showed that most genes regulated by Lenrispodun in LPS-treated cells were distinct from those regulated by rolipram, a paninhibitor of PDE4; PDE4 is the nearest cross-reactive PDE family to Lenrispodun (Li et al, 2016b; Snyder et al, 2016). These data support the idea that inhibitors of the PDE1 family of enzymes appear able to distinctly regulate unique gene networks separate from those controlled by a well characterized pan-PDE4 inhibitor (O'Brien et al, 2020). Whether PDE7 and PDE10A inhibitors also control networks of genes distinct from PDE1 and other PDE families has yet to be clarified. Taken together, the prominent anti-inflammatory effects of PDE1 inhibitors argue for possible neuroprotective effects in PD in addition to possible motor-based symptomatic effects.\ncGMP and corticostriatal correlates of dyskinesia: a possible role of PDE inhibitors. The therapeutic potential of PDE inhibitors and, in particular, inhibitors of cGMP hydrolysis catalyzed by dual-specificity PDEs, in PD is highlighted by recent research on the molecular basis of dyskinesia. These studies have identified a dysfunction in striatal cGMP signaling as an electrophysiological correlate of LIDs in animals. Work by Calabresi and colleagues has identified a deficit in long-term depression (LTD) of striatal responses to high-frequency stimulation (HFS) of corticostriatal slices in dopamine-depleted animals displaying dyskinesia after chronic L-DOPA treatment (Picconi et al, 2003). Rats depleted of striatal dopamine with the neurotoxin 6-OHDA received repeated daily doses of L-DOPA, which resulted in a subset of animals developing LIDs and another subset of rats that remained nondyskinetic under similar treatment conditions. Corticostriatal slices from dyskinetic rats were distinguishable from those from non-dyskinetic animals based on the loss of LTD responses. Thus, the absence of LTD provides an electrophysiological correlate for dyskinesia (Picconi et al, 2003). Rats with established LIDs expressed lower striatal levels of cAMP and cGMP compared with normal animals. Treatment of these animals with agents such as zaprinast, an inhibitor of cGMP preferring PDEs, partially restored striatal cyclic nucleotides and attenuated dyskinesias (Giorgi et al, 2008). Zaprinast, and other cGMP-elevating agents, further induced LTD responses in corticostriatal slices (Calabresi et al, 1999; Picconi et al, 2011). Together, these data indicate that LIDs may be associated with abnormal corticostriatal plasticity that results from deficits in cGMP levels. Thus, PDE inhibitors that elevate striatal cGMP levels and signaling are potentially beneficial for attenuating LIDs. These data support a possible therapeutic role for inhibitors of several striatal-enriched PDEs in this indication including PDE1B.\nSeveral generations of research in the biology of cancer have led to the definition of a number of properties that collectively define the neoplastic state, commonly referred to as the Hallmarks of Cancer (Hanahan and Weinberg, 2000, 2011). The original definition of these hallmarks included 6 biological capabilities acquired during the multistep development of human cancer. These included: (1) sustaining proliferative signaling, (2) evading growth suppressors, (3) resisting cell death, (4) enabling replicative immortality, (5) inducing angiogenesis, and (6) activating invasion and metastasis. Essential for the acquisition of these hallmarks is the concept of genome instability, which contributes to the mutations required for the development of neoplasia, and inflammation, which promotes several hallmark functions. To these 6 hallmarks, 2 more were subsequently added: (7) reprogramming of energy metabolism and (8) evading immune destruction. Study of cyclic nucleotide signaling in cancer provides an opportunity to observe these hallmarks in action. Alterations in cAMP and cGMP signaling can profoundly contribute to the neoplastic state. Modulation of cAMP and, especially, cGMP signaling can profoundly attenuate and modulate the cancer phenotype. Collectively, these advances in cyclic nucleotide signaling in neoplasia have the potential to lead to important advances in the prevention, diagnosis, and treatment of several important human cancers.\nThe concept of driver mutations is essential to understanding the functional, pathogenic, and clinical role of cAMP and cGMP signaling in cancer. Driver mutations are defined as germline or somatic mutations in DNA that play an essential role in generating the transformed phenotype (Greenman et al, 2007; Bailey et al, 2018; Sack et al, 2018; Sanchez-Vega et al, 2018; Gorelick et al, 2020). Driver mutations can therefore be defined as follows: (1) they materially affect the expression or structure of the RNA/protein encoded by the mutated gene(s), leading to alterations in its physiological function(s), producing a growth advantage; (2) they localize to specific “hot spots” within the gene product essential to its cellular function, such as its enzymatic activity or regulation; and (3) they are present in a substantial proportion of clinical specimens obtained from a specific cancer type. “Passenger” mutations, in contrast, differ from driver mutations in that they do not play a clear role in cancer formation. Passenger mutations typically (1) do not change the physiological or biochemical functions of the gene product; (2) do not concentrate in “hot spots”; and (3) are found in only a small proportion of clinical specimens obtained from a specific cancer type.\nUsing the strict criteria for cancer driver mutations, as defined above, we can identify cancer-associated driver mutations in 11 different genes encoding members of cAMP-signaling pathways, which are involved in at least 9 different cancers (Table 1) [see (Ahmed et al, 2022; Bolger, 2022) for recent reviews]. In the PDE space, germline and tumor-associated driver mutations in PDE8B and PDE11A are the best-characterized driver mutations, as described in detail previously (Bolger, 2022). The PDE8B mutations have been identified in patients with adrenal hyperplasia, adenomas, and carcinomas and have been shown to attenuate PDE8 enzymatic activity. Other PDE germline mutations may also predispose to adrenal tumors (Bolger, 2022).Table 1Human cancers with driver mutations in genes that encode elements of cAMP-signaling pathwaysTissueCancer TypePathway ElementGene NameAdrenal cortexAdenomaG protein alpha subunitGNASPhosphodiesterasePDE8BPhosphodiesterasePDE11APKA regulatory subunitPRKARA1PKA catalytic subunitPRKACAPKA catalytic subunitPRKACBThyroidAdenomaGPCRTSHRParathyroidAdenomaG protein alpha subunitGNASPituitarySomatotropinomaGPCRGPR101PKA regulatory subunitPRKARA1Testis Sertoli cellLCCSCTPKA regulatory subunitPRKARA1Testis Leydig/Sertoli cellGerm cell tumorsPhosphodiesterasePDE11ATestis germ cellGerm cell tumorsPhosphodiesterasePDE11ALiverFibrolamellar HCCPKA catalytic subunitPRKACAAbdominal soft tissue and CNSFET-CREB fusion tumorsTranscription factorCREBHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nHuman cancers with driver mutations in genes that encode elements of cAMP-signaling pathways\nHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nAs thoroughly reviewed elsewhere (Kelly, 2015, 2018b), a large number of PDE11A intronic, synonymous (ie, noncoding), missense (ie, nonsynonymous coding), and nonsense mutations (ie, truncating) have been associated with a variety of endocrine-related tumors. The majority of these variants are common, but rare mutations have also been reported in a small number of patients with various tumor types (Kelly, 2018b). The tumor-associated PDE11A mutations largely produce a loss-of-function phenotype either by reducing expression, catalytic activity, or proper localization of the enzyme; however, it is important to note that the effects of the mutations are often cell-type specific (Horvath et al, 2006; Libe et al, 2008; Peverelli et al, 2009; Horvath et al, 2009; Libe et al, 2011; Faucz et al, 2011; Kelly, 2015; 2018b; Pathak et al, 2015; Vezzosi et al, 2012). Tumors of endocrine tissues have also been found to be associated with reduced PDE11A expression of non-mutational genetic causes, such as transcriptional and epigenetic regulation (Boikos et al, 2008; Mirabello et al, 2012). Together, these studies suggest that a loss of PDE11A function is more likely a risk modifier than an inducer of tumors (Kelly, 2015), which is supported by PDE11A KO mouse studies that show no increased presence of tumors (Kelly et al, 2010).\nHighly potent and selective inhibitors of PDE5 (eg, sildenafil) and PDE10 (eg, Pf2545920) have been reported to induce cell cycle arrest and apoptosis of cancer cell lines grown in vitro at concentrations that activate cGMP/PKG signaling (Li et al, 2015b; Mei et al, 2015; Lee et al, 2016). As depicted in Fig. 16, PKG activation results in the suppression of both β-catenin transcriptional activity and RAS/MAPK signaling. The mechanism for suppressing β-catenin transcriptional activity appears to result from PKG-mediated phosphorylation of β-catenin on residues known to induce ubiquitination and proteasomal degradation, resulting in reduced nuclear levels needed to activate Tcf/Lef transcription (Lee et al, 2016; Lee et al, 2021). The disruption of MAPK signaling by PKG activation may be attributed to disrupting RAS membrane localization and activation (Cho et al, 2016) or by interfering with receptor tyrosine kinase activity (Tao et al, 2012). The ability of activated PKG to block oncogenic β-catenin and RAS signaling simultaneously is consistent with reports that PDE10 inhibitors can suppress both signaling pathways in lung and ovarian cancer cell lines (Zhu et al, 2017; Borneman et al, 2022). This possibility is supported by the broad anticancer activity of PDE10 inhibitors and is significant, given that mutations in APC/β-catenin and RAS/MAPK pathway components drive most human cancers.Fig. 16PDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\nPDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\nBased on the effect of PDE subtypes on tumor biology, (pre)clinical research has been conducted, which was hitherto limited to cGMP PDEs. We will now discuss the history and the gathered evidence for the application of cGMP PDEs in cancer treatment and pinpoint cross-talk with other pivotal signaling pathways.\nThe association between cGMP-degrading PDEs and the inhibition of cancer cell proliferation and survival was first reported from studies of sulindac sulfone, a metabolite of the nonsteroidal anti-inflammatory drug (NSAID), sulindac (Thompson et al, 2000). Sulindac sulfone (exisulind) was in clinical trials for the treatment and prevention of precancerous colon adenomas, but its mechanism of action was unknown. Exisulind and several analogs were found to inhibit the proliferation and induce apoptosis of colorectal cancer (CRC) and bladder cancer cell lines at concentrations that caused a sustained elevation of cGMP and activation of PKG that was not found with PDE5-selective inhibitors or other PDE inhibitors (Thompson et al, 2000; Piazza et al, 2001). Nonetheless, PDE5 was initially suspected as a likely target because it was the predominant cGMP-PDE degrading isoenzyme expressed in CRC and bladder cancer cell lines, and exisulind did not affect cAMP levels. Despite modest potency and no apparent PDE isoenzyme selectivity, exisulind significantly suppressed tumor formation in multiple, chemical-induced rodent models of colon, bladder, breast, lung, and prostate tumorigenesis, suggesting that the well established cancer chemopreventive activity of NSAIDs may involve a COX-independent mechanism of action (Piazza et al, 1997; Thompson et al, 1997; Malkinson et al, 1998; Reddy et al, 1999; Piazza et al, 2001; Narayanan et al, 2007). Exisulind showed promising efficacy in clinical trials of patients with familial adenomatous polyposis (FAP) or sporadic adenomas and selectively induced apoptosis of colonocytes in precancerous lesions without affecting colonocytes in the adjacent normal mucosa (Stoner et al, 1999; Arber et al, 2006). However, exisulind was not approved by the FDA because of liver toxicity that was likely attributed to low potency and lack of PDE isoenzyme selectivity.\nThe NSAID sulindac (Clinoril) also inhibits adenoma formation in FAP patients (Giardiello et al, 1993) and has broad cancer chemopreventive activity in experimental models of tumorigenesis. However, the long-term use of sulindac and other NSAIDs is not FDA-approved for long-term use because of potentially fatal toxicities resulting from COX-1 and COX-2 inhibition. Although the antineoplastic activity of sulindac and other NSAIDs is commonly attributed to COX-2 inhibition and suppression of prostaglandin synthesis (Wang and Dubois, 2010), numerous investigators have concluded that both COX-dependent and COX-independent mechanisms are involved (Fig. 16; Gurpinar et al, 2014).\nInitial evidence suggesting that the anticancer activity of NSAIDs is mediated by an off-target mechanism involving cGMP PDE inhibition is based on experiments showing that the rank-order potency of a chemically diverse group of NSAIDs, including the COX-2 selective inhibitor, celecoxib, to inhibit in vitro growth of HT-29 CRC cells correlated with the inhibition of cGMP PDE but not of COX-2 (Tinsley et al, 2010). In addition, concentrations of NSAIDs required to inhibit cell growth far exceeded those required to block COX-1 or COX-2. These data, along with results of other experiments showing that cancer cell lines, which do not express COX-2, are sensitive to NSAIDs, and the inability of prostaglandins to rescue cell growth inhibition by NSAIDs, support a COX-independent mechanism for the cancer chemopreventive activity of sulindac and possibly other NSAIDs and COX-2 inhibitors. However, the contribution of COX-2-derived prostaglandins should not be excluded, given their broad biological activity that can have an impact on multiple oncogenic pathways (Wang and DuBois, 2006; Gurpinar et al, 2014).\nPublications reporting that inhibitors of cGMP/PKG signaling, including NO donors, guanylyl cyclase activators, cell-permeable cGMP analogs, and certain cGMP PDE inhibitors, inhibit cancer cell proliferation and induce apoptosis suggest that PDE5 is essential for cancer cell proliferation and survival (Tinsley et al, 2009; Tinsley et al, 2010). Multiple investigations have supported this possibility by reporting that PDE5 is overexpressed in colon, bladder, breast, and lung cancers compared with noninvolved adjacent tissue (Chan et al, 2002; Piazza et al, 2001; Whitehead et al, 2003; Pusztai et al, 2003; Tinsley et al, 2009; Tinsley et al, 2010; Mei et al, 2015; Bisegna et al, 2020; Iwasaki et al, 2021; Tinsley et al, 2023). Consistent with the role of PDE5 in regulating cancer cell growth, PDE5 knockdown by siRNA selectively inhibited the growth of colon and breast cancer cell lines expressing high PDE5 levels compared with normal colonocytes or mammary epithelial cells with low PDE5 expression (Tinsley et al, 2009; Tinsley et al, 2011). In addition, gene silencing of PDE5 in the highly aggressive human breast cancer cell line, MDA-MB-231, resulted in decreased cell motility and formation of lung metastases (Marino et al, 2014). Conversely, PDE5 overexpression in MCF-7 breast cancer cells led to increased motility and invasion (Catalano et al, 2016). Sildenafil and vardenafil were also reported to inhibit proliferation and induce caspase-dependent apoptosis in B-cell chronic lymphatic leukemia, which suggested the role of cGMP in regulating hematological malignancies (Sarfati et al, 2003). Finally, a sulindac derivative, sulindac benzylamide, with PDE5 selectivity that did not inhibit COX-1 or COX-2, potently inhibited CRC cell growth (Whitt et al, 2012).\nThe finding that sulindac sulfide, a metabolite of the NSAID, sulindac, attenuated CRC cell growth at concentrations that blocked PDE5 and PDE10 activity, inspired a drug discovery campaign to identify cGMP PDE inhibitors based on the same chemotype that did not target COX-1 and COX-2. This resulted in the synthesis of a large library of compounds sharing the indene scaffold of sulindac. Screening this library against recombinant COX, to confirm the lack of effect on prostaglandin synthesis, and PDE5 and PDE10, led to the discovery of several lead compounds, which displayed appreciably greater potency as inhibitors of cancer cell growth at concentrations that blocked PDE5 and/or PDE10. Chemical optimization of these indene-based inhibitors to improve their drug-like properties holds promise for further development of this novel anticancer therapy (Piazza et al, 2009; Li et al, 2013; Li et al, 2015a; Whitt et al, 2012; Lee et al, 2021; Borneman et al, 2022; Tinsley et al, 2023).\nGiven that known PDE5 inhibitors lacked sufficient binding affinity to arrest the proliferation of cancer cell lines in vitro, attention turned toward PDE10 because selective inhibitors (eg, PF2545920) were found to attenuate cancer cell growth with low micromolar potency. PDE10 is overexpressed in colon and lung adenocarcinomas relative to noninvolved adjacent tissue (Li et al, 2015b; Zhu et al, 2017) and interventions that reduced PDE10 activity (selective inhibitors, siRNA-mediated knockdown) arrested the proliferative response. Conversely, transfection of plasmid DNA encoding PDE10 to normal or precancerous colonocytes stimulated proliferation (Li et al, 2015b). Conversely, PDE10 inhibitors had a negligible impact on the proliferation of cells (colonocytes, airway epithelia) in which PDE10 levels were low or undetectable.\nFurther experiments showed that PDE10 is essential for CRC cell proliferation and survival by suppressing β-catenin transcriptional activity (Li et al, 2015a). The concentration range of a potent and selective PDE10 inhibitor (PF2545920) needed to inhibit CRC cell growth matched the concentration required for activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity and Wnt-induced translocation of β-catenin to the nucleus. Interestingly, PDE10 was found to colocalize with the oncogenic form of β-catenin in dysplastic colon regions from APCmin mice [ie, mice containing a multiple intestinal neoplasia (min) allele of the adenomatous polyposis coli (APC) loci, which encodes a nonsense mutation at codon 850 (Lee et al, 2021)]. These observations were significant because CRC is mostly driven by mutations in the APC/β-catenin axis. Oral administration of PF2545920 did not have antitumor activity in subcutaneous CRC mouse tumor models, but peritumoral injection to bypass liver metabolism suppressed growth in subcutaneous mouse tumor models (unpublished). Following these observations, a novel orally bioavailable PDE10 inhibitor derived from sulindac (ADT-061) was reported to potently and selectively inhibit CRC cell growth in vitro and suppress colon tumorigenesis in the APCmin mouse model (Lee et al, 2021).\nTwo other research groups independently found a link between poor prognosis in patients with non-small cell lung cancer (NSCLC) and PDE10A expression. In one of those studies, an activating mutation in the PDE10A gene as a driver of NSCLC was identified by using a combination of structural biology and genomic data (Shen et al, 2017). Fusco and colleagues observed a negative correlation between PDE10A mRNA and protein levels and overall and recurrence-free survival in NSCLC patients by comparing genomic data from high-risk and low-risk individuals (Fusco et al, 2018). The role of PDE10 in lung cancer was supported by studies showing that PDE10 mRNA and protein were overexpressed in lung cancer cell lines compared with normal airway epithelial cells and lung tumors relative to normal lung tissue. Furthermore, PDE10 inhibitors and gene knockdown of PDE10 selectively inhibited lung cancer cell growth by blocking both β-catenin transcriptional activity and MAPK signaling (Zhu et al, 2017). Another study extended those observations by reporting that PDE10 inhibitors, including ADT-061 (aka MCI-030), inhibited ovarian cancer cell growth by suppressing both β-catenin transcriptional activity and MAPK signaling (Borneman et al, 2022).\nThe role of PDE5 during the early stages of colon tumorigenesis was shown by Browning and colleagues who reported that sildenafil could suppress adenoma formation in mouse models of inflammation-induced CRC (Islam et al, 2017; Sharman et al, 2018). Similar cancer chemopreventive activity was reported with the guanylyl cyclase C agonist, Plecanatide (Chang et al, 2017). These findings supported the testing of PDE5 inhibitors and guanylyl cyclase C activators for CRC cancer chemoprevention in clinical trials, which was feasible, given that such drugs are FDA-approved for chronic indications (eg, erectile dysfunction and constipation) and generally well tolerated.\nCase studies have reported that the long-term use of PDE5 inhibitors can reduce the risk of death or developing metastasis in male patients diagnosed with CRC, as well as lowering the risk of developing CRC in men with benign colon neoplasia (Huang et al, 2019a, 2020a). Although PDE5 inhibitors are FDA-approved for erectile dysfunction and pulmonary hypertension, their use for cancer prevention remains experimental and could have undesirable side effects (eg, thrombocytopenia) from long-term use. Recent studies by Browning and colleagues, describing a novel PDE5 inhibitor (malonyl-sildenafil) that inhibits the proliferation of colon epithelium in mice following oral administration without systemic absorption, hold promise for CRC chemoprevention (Lee et al, 2023). In addition, existing drugs that activate guanylyl cyclase C and are approved for constipation are being studied for CRC chemoprevention, which also acts locally in the colon (Rappaport and Waldman, 2020). The potential benefits of combining exisulind or sildenafil with chemotherapeutic drugs have also been studied in experimental models and in clinical trials as summarized in Table 2 but have not resulted in significant benefits for patients with advanced-stage malignancies.Table 2The clinical potential of combining exisulind or sildenafil with chemotherapeutic drugsInhibitorCombined With; OutcomeCancer TypeReferencesExisulindCisplatin and paclitaxel; synergistic inhibition of cancer cell growth in cultureLung cancerSoriano et al 1999ExisulindDocetaxel; induced apoptosis, reduced tumor growth and metastasis and improved survival in mouse orthotopic modelLung cancerSoriano et al, 1999; Bunn et al, 2002; Whitehead et al, 2003ExisulindCapecitabine; combination well tolerated in breast cancer patients, but synergism appeared to be modestBreast cancerPusztai et al, 2003SildenafilPemetrexed; suppressed tumor growth in mice that was enhanced with the mTOR inhibitor temsirolimusLung cancerBooth et al, 2017SildenafilPemetrexed and sorafenib; enhanced activity in multiple cancer cell lines and mouse xenograft modelsLung cancerBooth et al, 2017SildenafilDoxorubicin; enhanced apoptosis and antitumor efficacy in mouse xenograft models, while attenuating doxorubicin cardiotoxic effectsProstate cancerDas et al, 2010SildenafilOSU-03012 (non-COX inhibitor of celecoxib) and sorafenib; synergism to kill cancer cells in vitro and in vivoGlioblastomaBooth et al, 2015SildenafilDoxorubicin; enhanced apoptosis and ROS production in rhabdomyosarcoma cell linesRhabdomyosarcomaUrla et al, 2023COX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nThe clinical potential of combining exisulind or sildenafil with chemotherapeutic drugs\nCOX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nResearch has shown additive, antiproliferative activity following simultaneous blockade of PDE5 and PDE10 with small molecule inhibitors (MY5445 and papaverine, respectively) or hybrid PDE5/PDE10 inhibitors (eg, ADT-094). Similar data were obtained by silencing, simultaneously, PDE5 and PDE10, suggesting that the expression of these 2 enzyme families in neoplastic cells may cooperate to maintain low intracellular cGMP levels and, thus, provide proliferative and survival advantages to neoplastic cells during tumorigenesis (Li et al, 2015a).\nAlthough the concentration range required for PDE5 and PDE10 inhibitors to suppress cancer cell growth is similar to those needed to inhibit cGMP hydrolysis in cell lysates and activate cGMP/PKG signaling in intact cells (Zhu et al, 2017), appreciably lower concentrations are needed to inhibit the isolated enzymes. This suggests that the effect of such inhibitors in cells is not isoenzyme selective and that the high concentrations nonselectively inhibit both isoenzymes. The co-expression of PDE5 and PDE10 in cancer cells may explain the discrepancy between cellular and biochemical experiments involving recombinant enzymes whereby the expression of 1 isoenzyme in cancer cells may compensate for the effects of an inhibitor that is specific for the other isoenzyme, resulting in the need for higher concentrations to inhibit both PDE5 and PDE10. In support of this hypothesis, experiments using dual PDE5/10 inhibitors or dual genetic knockdown of PDE5 and PDE10 resulted in greater growth suppression than inhibition of either isozyme alone (Li et al, 2015b). Furthermore, in the case of PDE5 inhibitors, sildenafil is a known substrate for ATP-binding efflux transporters, which may also account for the apparent discrepancy between potencies involving experiments in cells versus isolated enzymes (Ding et al, 2011).\nMutations in β-catenin and RAS and their pathway components (eg, APC, RAF) account for most human cancers. These oncoproteins have been extensively studied but considered challenging or “undruggable” cancer targets, given that the cellular pathways they support are essential for the proliferation and survival of both cancer and normal cells. For example, Wnt-driven activation of β-catenin-dependent transcription is well known to be crucial for maintaining the survival of normal stem cells, and growth factor activation of RAS-driven/ MAPK/AKT signaling is needed for normal cell turnover or in response to injury. The observation that PDE10 is overexpressed in certain cancers and essential for cancer cell growth and that PDE10 inhibitors can suppress both β-catenin and RAS signaling suggests an unrecognized strategy to kill cancer cells selectively. Although conventional PDE10 inhibitors were developed for CNS conditions and may not be able to achieve adequate systemic levels for anticancer activity in experimental mouse tumor models, novel PDE10 inhibitors that can achieve systemic levels needed to kill cancer cells selectively warrant further investigation for treating cancers harboring mutations in β-catenin or RAS or pathway components. There is potential for safety, given that PDE10 has low expression in most peripheral tissues with no known physiological function. Finally, evidence that PDE5 and PDE10 inhibitors can activate mechanisms of antitumor immunity suggests potential benefits in combination with immunotherapy (see Fig. 16).\nIn previous chapters, the important contribution of inflammation in the role of PDE function in pathophysiology is accented ubiquitously. The immune response and its mediators are involved in the pathogenesis of various diseases, and we here highlighted tissue remodeling effects in internal organs, fibrosis and extracellular matrix formation, and neurodegeneration. Alterations in the immune environment of tissues have categorically become a part of the standard variables to be measured in studies on the pathobiology of diseases. With respect to PDEs, comprehensive knowledge has especially been built up in the framework of tumor progression, which is discussed in depth. In this chapter, the involvement of cyclic nucleotide signaling in the regulation of cells of the innate and adaptive immune system is summarized. This will start with a comprehensive review of the role of tumor microenvironment (TME). Thereafter, the relevance of each individual immune cell effect is illustrated with typical examples in cancer and internal organ disease to facilitate the extrapolation to the expertise of the readership. Due to its comprehensiveness, this latter part uses a 2-layer mode to transfer the knowledge, the first layer being the cell type, and as a second layer the role of the PDE subtype.\nIt has become increasingly clear that the effectiveness of many anticancer drugs relies, in part, on the host immune system. Mounting evidence indicates that the immune composition of the TME can profoundly influence tumor response to treatments. For example, immunologically “hot” tumors, which show signs of inflammation and are infiltrated with T lymphocytes, tend to respond well to immune checkpoint inhibition (ICI) therapy. In contrast, “cold” tumors, characterized by a lack of T cell infiltration, are resistant or refractory to immunotherapy (Galon and Bruni, 2019). In terms of T cells, their functional status is an important determinant of the host antitumor immunity. It has been well established that chronic antigenic stimulations, which often occur during chronic viral infections and cancer development, can lead to functional exhaustion in CD8+ T cells, characterized by gradual loss of the ability to proliferate, persist, and produce inflammatory cytokines (Wherry and Kurachi, 2015; Schietinger et al, 2016). Exhausted CD8+ T cells are phenotypically and functionally heterogeneous, consisting of progenitor, transitory, and terminally exhausted cells, each characterized by distinct transcriptional and epigenetic signatures as well as varied responsiveness to anti-PD-1 ICI therapy (Sade-Feldman et al, 2018; Siddiqui et al, 2019; Miller et al, 2019; Beltra et al, 2020). The TME is often enriched in regulatory T cells (Treg), which are a subset of CD4+ T cells known to suppress antitumor immunity. Besides T lymphocytes, myeloid cells in the TME are also known to impact tumor progression and response to therapies. Extensive studies have demonstrated that a subset of aberrantly developed immature myeloid cells, termed myeloid-derived suppressor cells (MDSCs), promote tumor growth, metastasis, and immune evasion, presenting a major hindrance to the effectiveness of various types of cancer treatments.\nIt has been shown that β-catenin signaling in tumor cells can prevent dendritic cell (DC) recruitment, resulting in T cell exclusion in the TME and tumor resistance to checkpoint immunotherapy (Spranger et al, 2015; Spranger et al, 2017; Luke et al, 2019). Not only does tumor-intrinsic β-catenin signaling promote tumor immune evasion (Spranger and Gajewski, 2015) but β-catenin activation in DCs also contributes to immune tolerance (Suryawanshi and Manicassamy, 2015). Tumors can induce the activation of β-catenin in DCs in the draining lymph nodes, rendering them tolerogenic, which induces Treg cells to suppress antitumor activity.\nThe fact that PDE11A loss of function is associated with an increased risk of various tumors may be related to its likely role in regulating inflammation. Interestingly, PDE11A expression can be induced by stress and immune activation signals in cells that do not basally express the enzyme (Witwicka et al, 2007; Bazhin et al, 2010; Zhu et al, 2019b). Furthermore, reduced PDE11A4 expression in the brain correlates with increased expression of the proinflammatory cytokine, IL-6, increased cytokine release, and increased microglial activation (Pathak et al, 2016; Pilarzyk et al, 2021). Conversely, increased PDE activity may also be relevant. As PDE inhibition emerges as an attractive therapeutic strategy for cancer treatment, there is growing interest in understanding whether and how PDE5 and PDE10 inhibitors impact the various immune components in the TME. Mechanistic explanations of the role of PDE5 on tumor biology can be found in their effects on various immune cells. With respect to MDSC, it was first reported that PDE5 inhibition by sildenafil or tadalafil led to enhanced intratumoral T cell infiltration and activation, along with improved tumor growth control in multiple mouse transplant tumor models (Serafini et al, 2006). These beneficial effects were lost in immune-deficient mice, indicating that the antitumor effect of PDE5 inhibitors was immune-mediated. Mechanistically, the restoration of antitumor immunity in tumor-bearing mice was due to abrogation of MDSC-mediated immune suppression as PDE5 inhibitors downregulated arginase 1 and NO synthase–2, the main mediators of MDSC immunosuppressive activity. A subsequent study using a spontaneous mouse melanoma model confirmed that PDE5 inhibition by sildenafil resulted in reduced MDSC accumulation and immunosuppressive function, accompanied by restoration of CD8+ T cell effector activity and improvement in mouse survival (Meyer et al, 2011).\nIn further explanation of the role of PDE5, it is conceivable that suppressing β-catenin signaling, either in tumor cells or DCs, with PDE5 inhibitors can overcome some of the major immunosuppressive mechanisms (MDSCs, tolerogenic DCs, and Treg cells) in the TME, thereby improving tumor response to immunotherapy. The observed beneficial effects of PDE5 inhibitors in mouse tumor models and clinical studies, including reduced Treg presence and increased tumor infiltration of activated CD8+ T cells, may be driven by fully activated DCs as the result of β-catenin suppression secondary to PDE5 inhibition. The mechanisms linking PDE inhibitor-induced β-catenin suppression to DC and T cell recruitment/activation in the TME require elucidation.\nEvidence for the role of immune modulation by PDE5 in tumor progression has also been found in humans. Clinical trials were conducted to evaluate whether PDE5 inhibition can revert tumor-induced immunosuppression and promote antitumor immunity in patients with head and neck squamous cell carcinoma, metastatic melanoma, or multiple myeloma (Califano et al, 2015; Weed et al, 2015; Hassel et al, 2017). These trials indicate that tadalafil administration correlated with reduced MDSC accumulation and/or suppressive function and improved T cell activation, with 1 trial reporting additional reduction of Treg cells. However, future research should examine whether PDE5 inhibition also affects MDSC induction or recruitment because a reduction in MDSC accumulation was observed in some but not all published studies. Moreover, the exact function and expression kinetics of PDE5 in MDSCs and Treg cells warrant further investigation.\nThe immunological impact of PDE10 inhibition has remained largely unexplored. It is reasonable to speculate that PDE10 inhibitors mirror PDE5 inhibitors in exerting immunomodulatory effects because their mechanisms of action overlap in terms of activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity. It is worth noting, that some of the newly developed PDE10 inhibitors suppress oncogenic RAS signaling (Zhu et al, 2017b; Borneman et al, 2022), raising the possibility that they may improve tumor immunogenicity. Aberrant RAS activation occurs in about 20% of all malignancies, with high incidences found in pancreatic cancer (90%), colorectal cancer (50%), and lung cancer (30%; Bos, 1989). Oncogenic RAS signaling is known to promote immune suppression (Weijzen et al, 1999). It has been reported that KRAS mutations induce Treg cells (Zdanov et al, 2016; Cheng et al, 2019), upregulate PD-L1 in cancer cells (Sumimoto et al, 2016; Chen et al, 2017; Coelho et al, 2017), but downregulate MHC class I molecules (Atkins et al, 2004; El-Jawhari et al, 2014). In addition, RAS activation promotes tumor production of G-CSF and GM-CSF, which induce and expand MDSCs to facilitate tumor progression, metastasis, and immune suppression (Pylayeva-Gupta et al, 2012; Phan et al, 2013). With the advances in developing mutant-specific inhibitors targeting KRAS G12C (Ostrem et al, 2013), RAS is no longer considered an undruggable target (Molina-Arcas et al, 2021). It is reassuring that in preclinical studies, many of these newly developed KRAS inhibitors significantly improved antitumor immunity by reducing MDSCs, enhancing antigen presentation and CD8+ T cell priming. These data validate RAS inhibition as a potent immune-potentiating strategy in addition to its direct tumoricidal effect (Canon et al, 2019; Briere et al, 2021; Mugarza et al, 2022; Zhang et al, 2022; Kemp et al, 2023). Likewise, the emergence of novel PDE10 inhibitors that are capable of suppressing oncogenic RAS and β-catenin activities have the potential to reverse an immunosuppressive TME, a feature that awaits to be exploited to drive durable therapeutic outcomes.\nCyclic nucleotide signaling in the regulation of immune response has been on the map for a long time. Previous publications described that cAMP plays a critical role as a second messenger (Rall and Sutherland, 1958; Sutherland and Rall, 1958) and has been shown to be a key regulator of the activation and function of cells of the innate (Schafer et al, 2014; Schafer et al, 2019) and adaptive immune system (Bourne et al, 1974; Wang et al, 1978; Amarandi et al, 2016). Numerous anti-inflammatory drugs successfully target molecules of the cAMP signaling pathway including several FDA-approved medications (Rabe, 2011; Schett et al, 2010; Tenor et al, 2011; De Souza et al, 2012; Milara et al, 2012; Wittmann and Helliwell, 2013; Victoni et al, 2014; Schafer et al, 2014; Dong et al, 2016; Jarnagin et al, 2016; Sriram and Insel, 2018; Blokland et al, 2019; Baillie et al, 2019b; Schafer et al, 2019). As described in section General Introduction, cAMP is degraded by cyclic nucleotide PDEs (Lerner and Epstein, 2006; Conti and Beavo, 2007), which constitute a group of enzymes known to hydrolyze cAMP and cGMP and, hence, maintain spatial and temporal control over its activity. Cells of the innate and adaptive immune system play a critical role in inflammation and its modulation (Medzhitov, 2021; Meizlish et al, 2021). Function and regulation of different subpopulations of T cells, B cells, and natural killer (NK) cells, as well as myeloid cells, such as neutrophils, monocytes, macrophages, and DCs involve activation of the cAMP pathway. Additionally, interactions between leukocytes and endothelial cells are critical during the formation of inflammatory lesions and can be regulated by cAMP/cGMP signaling. As a general rule, cAMP levels in cells of both the innate and adaptive immune systems are correlated with their inflammatory activities (Bourne et al, 1974; Wang et al, 1978; Mosenden and Tasken, 2011; Vang et al, 2013; Schafer et al, 2014; Rueda et al, 2016; Schafer et al, 2019). Although PDEs have been recognized as potential drug targets for anti-inflammatory drugs, developing specific PDE inhibitors has faced challenges, primarily due to side effects; nevertheless, progress has been made with the approval and clinical use of selected PDE4 inhibitors for treating major inflammatory diseases (vide supra). This chapter will discuss the role of PDEs in cells of the innate and adaptive immune system (Table 3).Table 3Summary of PDE isoform expression and function in immune cellsImmune Cell SubpopulationPDE Gene ExpressionPDE Protein Expression /ActivityPDE Activity and MethodsResultsDendritic cellsPDE1, PDE3 membrane bound, PDE4, PDE7PDE isoenzyme activityPro-inflammatory cytokine productionPDE4bPDE4BPDE isoenzyme activityDC mediated Th2-dependent immunopathologyPDE4 inhibitor studiesPDE4B gene knockout studiesSelective suppression of Th2 polarization of T cell subpopulations in vivoGranulocytesPDE4 inhibitor studiesIn vitro suppression of neutrophil functionssuppression of chemotaxis, inflammation, neutrophil and eosinophil infiltration in vivoPDE4A, DPDE4A, DPDE4A and D expression studiesBasophilsNK cellsPDE3 and 4PDE3 and 4 inhibitor studiesPDE4 inhibitor studiesSuppression of TNF-α productionSuppression of IFN-γ productionIBMX sensitive PDEsBroad PDE inhibitor studiesMonocytes and macrophagesPDE1PDE isoenzyme activity, inhibitor studiesPDE3Suppression of TNF-release through PDE4 ±PDE3 inhibitionPDE4MacrophagesPde4 deficient micePde4 deficient mice globalSuppression of cytokine productionProtection from LPS-induced shockPDE8APDE8APromotion of susceptibility to HIV-1 infectionPDE10AInhibition of PDE10, PDE10A deficient miceAltered cytokine and chemokine productionMicrogliaPDE1Inhibition of PDE1 activitySuppression of cytokine expression,Inhibition of cytokine release, suppression of cytokine gene expression, suppression of motilityCD4+ T cellsPDE1PDE1PDE1 activityUpregulation under mitogen stimulationPDE2PDE2PDE2 expression and activityExpressed in mouse T cells but not human T cellsPDE2APDE2 facilitates T cell activationMouse T cell activationPDE3PDE3, PDE3BMembrane bound PDE3B activity,Foxp3 repression of PDE3B in Treg cellsPde3bPde3b deficient miceReduced PDE3B expression permits normal Treg cell homoeostasis and Treg cell-specific gene expressionPDE4APDE activity and inhibitionT cell activation and functionsPde4bPDE4BPDE activity and inhibition, PDE4B deficient miceT cell activation and functions, Th subset polarizationPDE4DPDE activity and inhibitionT cell activation and functionsPDE4PDE activity, binding, overexpression and inhibitionModulation of signal transduction through the T cell receptorRegulation of full T cell activationPDE7PDE7Expression and anti-sense inhibition studiesUpregulation of PDE8A1 after polyclonal T cell activationPDE7A1, A3PDE7A1, A3Mitogen-activated splenocytes, anti-CD3 activated CD4+ T cells, antigen exposed naïve and memory CD4+ T cellsPDE8A1PDE8A1Induction of PDE8A expression in response to stimulus, PDE8 inhibitionUpregulation of PDE8A1 after polyclonal T cell activationPde8aPDE8AInduction of PDE8A expression in response to stimulus, PDE8 inhibition via enzymatic inhibitor and peptide disruptor, in vivo suppression of EAEInduction of PDE8A expression in response to stimulus, Association of PDE8A expression and accumulation of sensitized T cells in draining lymph node of in an animal model of allergic airway disease AADCD4+ effector Teff cellsPDE8APDE8APDE expressionPDE8A inhibition by enzymatic inhibitor or a PDE8A-Raf-1 kinaseCD4+ regulatory Treg cellsPde1a, Pde1bPDE1A, BPde2aPDE2AHigh cAMP levels in T cellsPde 3bPDE3BPde 4bPDE4BPde5aPDE5APDE8APDE8AB cellsPDE4A, B, DPDE4A, B, DExpressionPDE7BPDE7BPDE7 inhibitionInduction of apoptosis through PDE7 inhibition\nSummary of PDE isoform expression and function in immune cells\nDendritic Cells. DCs are heterogeneous and are commonly classified into subtypes including plasmacytoid DC (pDC), myeloid or conventional DC1 (cDC1), and myeloid or conventional DC2 (cDC2), as well as tissue-specific DCs such as Langerhans cells (Collin and Bigley, 2018). Early studies indicated that during differentiation of DCs, PDE4 activity decreased, whereas activities of PDE1 and PDE3 increased. Of note, rolipram, at PDE4-selective concentrations, blocked LPS-induced TNFα release by ∼37%. In contrast, the PDE3 inhibitor, motapizone, only marginally influenced TNFα synthesis, but a synergistic inhibitory effect was noted in combination with rolipram (Gantner et al, 1999). In addition, the PDE4 inhibitor, roflumilast, has been shown to be a potent immunomodulator of DC cell function (Hatzelmann and Schudt, 2001). In mice, the cAMP-PKA-CREB signaling pathway orchestrates many functional aspects of cDC2s (Schafer et al, 2014; Lee et al, 2020). Notably, PDE4B is highly expressed in mouse DCs (Chinn et al, 2022). Using mice deficient in Gαs, PDE4B was shown to be a key regulator of cellular cAMP concentrations in DCs and played a role in DC-mediated T helper cell type 2 (Th2) dependent immunopathology (Jin et al, 2010; Chinn et al, 2022). PDE4 inhibition in DCs has also been shown to reduce their ability to induce T helper cell type 1 (Th1) cells from naive T cells in vitro, an effect that was largely attributed to an effect on PDE4A (Heystek et al, 2003).\nGranulocytes. The immunosuppressive effect of the PDE4 inhibitor, roflumilast, on a wide range of neutrophil functions in vivo and in vitro is well documented (Hatzelmann and Schudt, 2001; Wollin et al, 2005; Jones et al, 2005; Sanz et al, 2007; Cortijo Gimeno and Morcillo Sanchez, 2010; Hatzelmann et al, 2010; Nials et al, 2011; Koga et al, 2016; Tsai et al, 2023; Lin et al, 2023a; Chang et al, 2024). Several studies demonstrated that PDE4 inhibitors suppress oxidative stress and chemotaxis in neutrophils (Hatzelmann and Schudt, 2001; Jones et al, 2005; Wollin et al, 2005; Sanz et al, 2007; Cortijo Gimeno and Morcillo Sanchez, 2010; Hatzelmann et al, 2010; Nials et al, 2011; Koga et al, 2016; Tsai et al, 2023; Lin et al, 2023a; Chang et al, 2024). Additionally, PDE10A was shown to regulate neutrophil infiltration in a mouse model of lung inflammation (Hsu et al, 2021). PDE inhibitors (ciclamilast, piclamilast, IBMX) have also been shown to effectively suppress pulmonary eosinophilia in rodent models of allergic airway disease (Zheng et al, 2019; Lee et al, 2020).\nMonocyte differentiation. Changes in cyclic nucleotide levels have been shown to have a profound impact on the phenotypical differentiation of monocytes (Schudt et al, 1995; Gantner et al, 1997a; Hertz and Beavo, 2011; Tenor et al, 2011). Importantly, during in vitro differentiation of human blood-derived monocytes, the PDE profile undergoes significant remodeling, which parallels that in human alveolar macrophages (Schudt et al, 1995; Tenor et al, 1995a). Major changes in PDE1, PDE3, and PDE4 activities are seen, whereas PDE4 activity, the major PDE isotype of peripheral blood monocytes, rapidly declines under in vitro culture (Gantner et al, 1997a). Subsequent investigations have delineated the role and function of various PDEs in monocytes and macrophages, and those findings are described in more detail below.\nPDE1. Bender and colleagues reported the selective upregulation of PDE1B2 during monocyte-to-macrophage differentiation (Bender et al, 2005). Recently, an inhibitor of Ca2+/CaM-dependent PDE1 was shown to suppress LPS-induced expression of genes encoding proinflammatory cytokines and motility in rodent microglial cells (O'Brien et al, 2020; Zhou et al, 2023).\nPDE4. The expression and function of specific PDE4 isoforms in monocytes and macrophages are differentiation-dependent (Shepherd et al, 2004; Schafer et al, 2014). In gene knockout studies in mice, Conti and colleagues demonstrated, in vivo and ex vivo, the selective regulation of the LPS-Toll-like receptor signaling pathway in macrophages by Pde4b, but not Pde4a or Pde4d (Jin et al, 2005).\nPDE10. Recent reports indicate a role of PDE10A in lung inflammation mediated by macrophages. Treatment of murine macrophages with LPS in vitro induces a sustained expression of PDE10A, in contrast to a more transient induction of PDE4B. Similarly, LPS-induced cytokine and chemokine production were differentially affected by selective inhibition of PDE10 versus PDE4. These results were supported by in vivo experiments performed in Pde10a-deficient mice, or in mice treated with a PDE10 selective inhibitor (Hsu et al, 2021).\nNatural Killer Cells. As with other cells of the immune system, raising the levels of cAMP suppresses the activity of NK cells (Shepherd et al, 2004). Studies have focused on the regulation of NK cells by a broad variety of PDEs and selective isoforms including PDE3 and PDE4 (Whalen and Crews, 2000; Walker and Rotondo, 2004; Schafer et al, 2010; Chen and Yan, 2021). The PDE4 inhibitor, apremilast, has been shown to suppress the proinflammatory activity of most cells of the innate and adaptive immune system, including TNFα production by NK cells in a model of psoriasis (Schafer et al, 2010). Notably, PGE2-mediated NK cell suppression in a tumor environment can be reversed through external exposure to IL-15, which acts, in part, by upregulating the expression of PDE4A (Chen and Yan, 2021). Similarly, the broad-spectrum PDE inhibitor, IBMX, suppresses interferon (IFN) γ synthesis by NK cells (Walker and Rotondo, 2004).\nT cells. PDEs in human lymphocytes, particularly T cells, have proven to be very effective therapeutic targets for treating inflammation, with 3 PDE4-selective inhibitors now approved and in the clinic for the treatment of several diseases, including COPD, psoriasis, psoriatic arthritis, atopic dermatitis, and seborrheic dermatitis. There is evidence that PDEs other than PDE4 may also be effective therapeutic targets for treating certain inflammatory conditions, and in the following sections, we review what is known about PDEs that are expressed in T cells, and how they might be useful as targets for treating inflammation.\nPDE1. The Ca2+/CaM-dependent PDE1 gene family all hydrolyze cGMP with Kms in the low micromolar range but differ in their affinities for cAMP [1 μM, 7–24 μM and 50–100 μM for PDE1C, PDE1B, and PDE1A, respectively (Lerner and Epstein, 2006)]. Early analyses of quiescent human peripheral blood lymphocytes (HPBL) showed little or no expression of PDE1 (Epstein and Hachisu, 1984; Epstein et al, 1987; Tenor et al, 1995b; Giembycz, 1996). It was also shown in early studies that cAMP PDE activity was highly elevated in murine (Hait and Weiss, 1976) and human (Epstein et al, 1977) transformed lymphocytes associated with hematological malignancies, and PDE activity was greatly induced in HPBL following activation with mitogenic agents such as phytohemagglutinin (Epstein et al, 1980). Subsequently, PDE1 activity was shown to be expressed in a human B lymphoblastoid cell line (Epstein et al, 1987), and further analyses showed that PDE1B1 was present in both T and B lymphoblastoid cell lines and induced in HPBL following mitogenic activation (Jiang et al, 1996; Jiang et al, 1998; Kanda and Watanabe, 2001). The full open reading frame of the PDE1B1 cDNA was cloned from a human lymphoblastoid cell line and antisense oligodeoxynucleotides designed to inhibit the expression of PDE1B1-induced apoptosis in these cells (Jiang et al, 1996), but not in quiescent HPBL (Epstein, 1998).\nThe recent development of potent, selective inhibitors of PDE1 has now facilitated the testing of PDE1 as a therapeutic target for combating inflammation in a number of experimental systems. As noted in the section on monocytes and macrophages, the PDE1 inhibitors, lenrispodun (PDE1B IC50 = 58 pM; O'Brien et al, 2020), and compounds 4a and 5f (PDE1C IC50s = 2.5 nM and 4.5nM, respectively) discussed by Zhou and colleagues suppressed brain neuroinflammation by preventing microglia migration as well as blocking nuclear factor-κB-mediated release of inflammatory mediators and activation of the cAMP/CREB axis (Zhou et al, 2023). Lenrispodun also reduced inflammatory cytokine levels and ameliorated vascular function and inflammatory responses in an Ercc1Δ/− murine model of aging (Golshiri et al, 2021a). Naringenin, a polyphenolic flavonoid isolated from citrus fruit, was shown to bind to CaM and inhibit CaM-stimulated PDE1 activity; it also inhibited LPS-induced inflammatory cytokine release from the SK-OV-3 and K562 human cell lines, which were immortalized from patients with ovarian serous cystadenocarcinoma and chronic lymphocytic leukemia, respectively (Afshari et al, 2023). Early studies had shown that nimodipine, a 1,4-dihydropyridine calcium channel antagonist, was capable of directly inhibiting PDE1 at low micromolar concentrations (Epstein et al, 1982). Based on this observation, structural modifications of nimodipine were made that increased potency and selectivity for PDE1. One of those compounds, 2g, synthesized by the Wu laboratory (PDE1C IC50 = 10 nM), exhibited anti-inflammatory properties by reducing the expression of TGFβ and attenuating fibrosis in a bleomycin-induced lung fibrosis rat model (Huang et al, 2022). Another potent PDE1 inhibitor, a quinoline-2 (1H)-1 derivative, compound 10c (PDE1C IC50 = 15 nM), inhibited the LPS-induced release of inflammatory cytokines from the murine macrophage cell line RAW264.7 and exhibited appreciable clinical improvement in a dextran sodium sulfate-induced mouse model of inflammatory bowel disease (Zhang et al, 2023a,b). Hence, PDE1 may prove to be an effective target for treating inflammation.\nPDE2: Human T cells express little or no PDE2 (Tenor et al, 1995a; Giembycz, 1996). In contrast, in murine thymocytes, PDE2 represents as much as 80% of the total hydrolytic activity when activated by cGMP (Michie et al, 1996). A recent study investigated the expression of PDE2A and PDE3B in murine conventional (Tcon) and Treg cells at rest and after activation with anti-CD3/CD28 and cGMP-elevating natriuretic peptides on cAMP levels and on early activation markers, CD25 and CD69 (Kurelic et al, 2021). In that study, engagement of the T-cell receptor (TCR) led to the selective upregulation of PDE2A protein expression in Tcon cells, whereas no change in expression was detected in Treg cells. In contrast, TCR engagement significantly increased PDE3B levels in both resting and activated Tcon subsets but not in Treg cells. Thus, it seems that the elevation of cGMP led to an increase in cAMP levels in nonactivated Tcon cells, presumably through the inhibition of PDE3B (which would be more predominant in the non-activated state), and this led to a decrease in cAMP levels in activated Tcon cells, where PDE2A, the cGMP-activated PDE, is induced. When assessing if this cGMP/cAMP crosstalk following the activation of Tcon cells might have functional effects, it was found that cGMP elevation by atrial natriuretic peptide enhanced Tcon activation as indicated by enhanced expression of the early activation markers CD25 and CD69. Furthermore, this effect was blocked by a PDE2A selective inhibitor indicating that this was due to a cGMP-mediated reduction in cAMP levels secondarily to the activation of PDE2A. Hence, at least in mice, PDE2A may play a functional role in T cell activation.\nPDE3. An early investigation of PDE activity in HPBL supernatants identified a single, prominent form of cAMP PDE based on DEAE anion-exchange chromatography, isoelectric focusing and glycerol gradient analysis, enzymes kinetics, and inhibitor sensitivity (Epstein and Hachisu, 1984). Subsequently, a study of whole homogenates of purified human T lymphocytes showed 2 separable high-affinity cAMP PDEs on HPLC columns, with 1 peak characteristic of PDE4 being purely cytosolic, and the other peak characteristic of PDE3 localized exclusively in the particulate fraction (Robicsek et al, 1989; Robicsek et al, 1991). Other studies with purified human T cells confirmed the presence of PDE3 in the particulate fractions and showed PDE3 activity to be represented exclusively by PDE3B with no evidence of PDE3A (Tenor et al, 1995a; Ekholm et al, 1997; Giembycz, 1996; Sheth et al, 1997). In contrast to T cells, purified human B cells express no mRNA for PDE3B and only very marginal expression of PDE3A mRNA (Gantner et al, 1998). The expression of PDE3B in Treg cells is considerably reduced compared with that in Tcon cells, and it appears that the low catalytic activity of PDE3B is critical for the regulation of Treg cell-specific gene expression (Gavin et al, 2007). Functionally, PDE4 inhibitors suppressed PHA- and anti-CD3-induced proliferation of purified human CD4+ and CD8+ T-lymphocytes and the release of IL-2 and IFNγ, whereas inhibitors of PDE3 did not. However, although inactive by themselves, PDE3 inhibitors potentiated the inhibitory activity of PDE4 inhibitors on these processes (Giembycz, 1996). In a similar vein, inhibition of PDE3B augmented PDE4 inhibitor-induced apoptosis in a subset of patients with chronic lymphocytic leukemia who were resistant to PDE4 inhibition alone (Moon et al, 2002).\nPDE4. Early studies showed PDE4 to be the predominant isoenzyme in the cytosolic fraction of human lymphocytes (Epstein and Hachisu, 1984) with PDE4A, 4B, and 4D, but not 4C, contributing, presumably, to the overall hydrolytic activity (Giembycz, 1996; Gantner et al, 1997c; Jiang et al, 1998; Peter et al, 2007). PDE4 has long been known to play a key role in regulating T cell activation and functions (Michie et al, 1996; Sommer et al, 1997; Gantner et al, 1997b; Gantner et al, 1997c; Ekholm et al, 1997; Erdogan and Houslay, 1997; Barnette et al, 1998; Jin et al, 1998; Michie et al, 1998; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Kanda and Watanabe, 2001; Arp et al, 2003; Claveau et al, 2004; Asirvatham et al, 2004; Abrahamsen et al, 2004; Jimenez et al, 2004; Bjorgo and Tasken, 2006; Peter et al, 2007; Jin et al, 2010). A key mechanism appears to be the modulation of signal transduction through the TCR by signaling through PGE2 via EP2 and EP4 receptors, adenosine via A2a and A2b receptors that yield cAMP (Fig. 17). Activation of the TCR leads to cAMP production localized in lipid rafts, activation of PKA and, subsequently, the inhibition of the TCR signal through a PKa-Csk inhibitory pathway scaffolded by Ezrin-EBP50-PAG/Cbp anchoring complex (Abrahamsen et al, 2004; Bjorgo and Tasken, 2006; Wehbi and Tasken, 2016). However, engagement of the co-stimulatory receptor, CD28, leads to the recruitment of β-arrestin and PDE4 to lipid rafts and a decrease in the local cAMP pool and PKA activity (Fig. 18). PDE4 inhibitors downregulate the TCR signal by increasing the local cAMP concentration and PKA activity, which counteract the CD28-induced recruitment of PDE4. Thus, localized activities of cAMP, PKA, and PDE4 regulate the upstream TCR signal necessary for T cell activation and the subsequent initiation of effector functions (Schafer et al, 2014; Wehbi and Tasken, 2016). As for downstream effects of cAMP signaling, inhibition of PDE4 in CD4+ T cells by broad-spectrum and selective inhibitors leads to suppression of effector functions, including cell proliferation in response to TCR signals and costimulation, as well as cytokine production and cell motility (Ekholm et al, 1997; Sommer et al, 1997; Gantner et al, 1997c; Pette et al, 1999; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Jimenez et al, 2001). In a series of in vivo experiments using gene knockout mice, it was shown that cytokine production by Th2 cells is dependent on PDE4B expression, whereas Th1 cells were apparently unaffected (Jin et al, 2010).Fig. 17The cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.Fig. 18The opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nThe cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.\nThe opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nPDE7. PDE7, primarily PDE7A, is also expressed in human lymphocytes, albeit to a lesser extent than PDE3 and PDE4; PDE7A1 is primarily cytosolic, whereas PDE7A2 mainly associates with a particulate fraction (Bloom and Beavo, 1996; Giembycz, 1996; Bender and Beavo, 2006). Subsequent studies showed that PDE1B, PDE7A, and PDE8A were induced following the activation of human lymphocytes (Jiang et al, 1998; Glavas et al, 2001; Kanda and Watanabe, 2001). Moreover, a critical requirement of PDE7A induction for full T cell activation has been reported (Li et al, 1999; Guo et al, 2009). Although the potential of PDE7 as a therapeutic target to treat inflammation has been investigated in several laboratories, it still remains controversial (Szczypka, 2020; Zorn and Baillie, 2023). In this respect, an antisense oligonucleotides approach has implicated PDE7A in T lymphocyte activation (Li et al, 1999). In contrast, T cells from Pde7a-deficient mice were activated normally by anti-CD3/CD28 (Yang et al, 2003). Similarly, PDE7 inhibitors did not impair CD3/CD28-dependent activation of human CD4+ T-lymphocytes (Nueda et al, 2006). It has been suggested that PDE7 may be a target for treating inflammation in conjunction with inhibition of PDE4. Thus, the PDE7 inhibitor, BRL 50481, enhanced the inhibitory effect of rolipram on lymphocyte proliferation and cytokine release (Smith et al, 2004). Additionally, T-2585, a potent PDE4 inhibitor (IC50 = 0.013 nM), which also inhibits PDE7 with an IC50 = 1.7 μM, inhibited proliferation and cytokine release from T cells under conditions in which the highly selective PDE4 inhibitor, piclamilast, had no effect (Nakata et al, 2002). Similarly, the PDE inhibitor, ASB16165, which inhibits PDE7A with an IC50 = 15 nM and PDE4 with an IC50 = 2.1 μM, also inhibited anti-CD3/CD28-stimulated T cell proliferation and cytokine release (Kadoshima-Yamaoka et al, 2009c). Additionally, in an in vivo mouse model of smoke-induced lung inflammation, combined antisense inhibition of the expression of PDEs 4B, 4D, and 7A produced a much greater anti-inflammatory effect than the use of the PDE4-selective inhibitor, roflumilast, and alone (Fortin et al, 2009). Given that inhibition of PDE7 can often enhance the effects of a PDE4 inhibitor, medicinal chemistry efforts were initiated to produce compounds that can selectively and potently inhibit both of the cAMP PDEs, although, at the time of writing, a definitive role for PDE7 as a target for mitigating inflammation remains to be established (Huang et al, 2023).\nPDE8. Few PDEs are currently the targets of FDA-approved drugs, and there is a significant knowledge gap about the potential therapeutic role of other PDE isoforms particularly for the treatment of inflammatory diseases. The cAMP-specific PDEs, PDE8A, and PDE8B, have been the subject of numerous studies (Fisher et al, 1998; Hayashi et al, 1998; Soderling et al, 1998; Glavas et al, 2001; Kobayashi et al, 2003; Dong et al, 2006; Chen et al, 2009b; Dong et al, 2010; DeNinno et al, 2011; Tsai and Beavo, 2012; Maurice, 2013; Brown et al, 2013; Shimizu-Albergine et al, 2016; Vang et al, 2016; Johnstone et al, 2017; Basole et al, 2017; Kelly, 2018b; Dong et al, 2015). PDE8A and PDE8B are expressed widely across human tissues (Wang et al, 2008a) and have been implicated in testosterone and corticosteroid production (Tsai et al, 2010; Demirbas et al, 2013), myocyte contraction (Patrucco et al, 2010), lymphocyte adhesion and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017), memory and coordination (Tsai et al, 2012), human airway smooth muscle relaxation (Johnstone et al, 2017), immune protection against intracellular pathogens (Blanco et al, 2017), brain disorders associated with inflammation (Chimienti et al, 2019), and systemic lupus erythematosus (Orlowski et al, 2008). In addition, a recent study identified SNPs in the PDE8B locus that were associated with susceptibility to Sjögren’s Syndrome (Taylor et al, 2017).\nT cell activation induces PDE8A1 (Glavas et al, 2001), a splice variant that has an affinity for cAMP that is up to 100 times higher than PDE4 isoforms (Fisher et al, 1998; Soderling et al, 1998; Hayashi et al, 1998; Gamanuma et al, 2003; Bender and Beavo, 2006). This property of the PDE8 family suggests that they may regulate changes in baseline cAMP gradients around cell signaling complexes. The availability of PDE8 inhibitors and disruptors has greatly enhanced the ability of scientists to interrogate the function of PDE8 in vitro and in vivo. It has been shown that PDE8A regulates the motility of lymphocytes and breast cancer cells, including adhesion to endothelial cells under physiological shear stress and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017). These functional effects seem to be uniquely controlled by PDE8 and are distinct from PDE4-regulated outcomes (Vang et al, 2016). The therapeutic activity of biologicals and compounds interacting with molecular targets on pathogenic T cells has been demonstrated in vitro and in vivo (Yednock et al, 1992; Brocke et al, 1999; Steinman, 2005; Healy and Antel, 2016). Current observations reveal PDE8 to be one of those targets for blocking Teff cell motility and, potentially, inflammation (Dong et al, 2006; Vang et al, 2010; Dong et al, 2015; Vang et al, 2013; Vang et al, 2016; Basole et al, 2017). The possible role of PDE8 as an anti-inflammatory target has been examined in vivo. Thus, in experimental autoimmune encephalomyelitis (EAE) induced by immunization with a myelin oligodendrocyte glycoprotein peptide, a model of multiple sclerosis, the PDE8 inhibitor, PF 04957325, suppressed clinical signs of EAE, inflammatory lesion formation and accumulation of Th1 and Th17 effector T cells in the CNS (Brocke et al, 1999; Basole et al, 2022). Collectively, these data demonstrate the efficacy of pharmacologically targeting PDE8 as a treatment of autoimmune inflammation by reducing the inflammatory lesion load.\nPDE9. PDE9A1 and a novel splice variant, PDE9A5, have been detected in human T cells (Wang et al, 2003b). PDE9A5 was localized to the cytosolic, whereas PDE9A1 was expressed exclusively in the nucleus. The function of PDE9 in T cells and whether it has a regulatory role in controlling inflammation is unknown.\nRegulatory T Cells. It is well established that T-effector (Teff) cells and Treg cells express high and relatively low levels of PDEs, respectively. The low abundance of PDEs in Treg cells and high level of cAMP have been linked to the mechanism by which this T-cell subset suppresses the function of Teff cells through the direct cell-to-cell transfer of cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Mechanistically, the transcription factor, forkhead box P3 (Foxp3), expressed in Treg cells has been shown to selectively repress genes, including those encoding PDEs, leading to elevated levels of intracellular cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Remarkably, Treg cell subsets in mice show significantly lower expressions of Pde1a, Pde1b, Pde2a, Pde3b, Pde4b, Pde5a, Pde7a, and Pde8a compared with naive Teff cell subsets (Vang et al, 2013). Consistent with these findings, Foxp3 represses Pde3b and reducing Pde3b expression by genetic means permits normal Treg cell homeostasis and Treg cell-specific gene expression (Gavin et al, 2007). In contrast, Treg and Teff cells express comparable levels of Pde4b3, Pde4d, and Pde7a (Vang et al, 2013). It has also been reported that microRNA-mediated repression of Pde3b critically regulates peripheral immune tolerance (Anandagoda et al, 2019). Although the regulation of selected PDE isoforms including Pde8 through Foxp3 in Treg cells is well established, the exact role of PDE isoforms regulating Treg cell function remains to be elucidated.\nB cells. Studies conducted in the 1990s revealed that PDE3A, PDE4A, PDE4B, PDE4D, and PDE7A were the predominant isoenzymes in human-isolated CD4+ and CD8+ T lymphocytes (Tenor et al, 1995a; Giembycz, 1996). Human-isolated CD19+ B lymphocytes express a similar complement of PDE mRNA transcripts, but in contrast to T cells, PDE3 activity is marginal. Indeed, PDE3B was absent by PCR analysis, and only a weak signal for PDE3A mRNA was detected. No evidence for PDE1, PDE2, and PDE5 activity was found in these purified B cells (Gantner et al, 1998). It has been reported that the expression of PDE7B mRNA and protein in B-chronic lymphocytic leukemia (B-CLL) cells is 23-fold higher than in normal human B cells, and the most abundant PDE transcript expressed (Zhang et al, 2008b). Inasmuch as PDE7 inhibitors induce apoptosis of B-CLL cells, it has been suggested that PDE7B may be a therapeutic target for the treatment of CLL (Zhang et al, 2008b). The role of PDE7B as a therapeutic target for treating inflammation has not been reported.\n\n\n### Modulation of cardiac function by PDEs\nHeart failure and reduced ejection fraction (HFrEF) represent a persistent clinical syndrome characterized by the gradual decline of cardiac function. Ultimately, the heart’s ability to pump blood efficiently becomes inadequate to meet the body’s oxygen demands, resulting in organ failure and, in severe cases, death. HFrEF can be caused by various factors, including arrhythmias, cardiomyopathies, coronary artery disease, congenital heart defects, infections, hypertension, valve problems, and the cardiotoxicity of certain anticancer drugs (McDonagh et al, 2022). Regardless of its origin, reduced cardiac function triggers the activation of neurohormonal systems and the development of cardiac hypertrophy to normalize ventricular wall stress (Hartupee and Mann, 2017). However, this compensated state is usually short-lived and gradually progresses toward chamber enlargement, eventually leading to HFrEF.\nIn normal physiological conditions, cAMP and cGMP have contrasting roles in cardiac function. β-adrenoceptor-stimulated cAMP release increases cardiac output through PKA. Conversely, nitric oxide (NO) or natriuretic peptide (NP) -induced cGMP can exert both synergistic and opposing effects on cAMP. In HF, decreased cardiac function chronically elevates sympathetic catecholamines (Cohn et al, 1984). This initiates a pathophysiological “vicious circle” of excessive β-adrenoceptor stimulation, explaining the beneficial effects of β-blockers in HFrEF (El-Armouche and Eschenhagen, 2009). Continuous cAMP-PKA signaling triggers the maladaptive remodeling leading to HFrEF, featuring hypertrophy, cardiomyocyte death, and fibrosis. Conversely, NO and NPs are anti-hypertrophic and anti-fibrotic. Therefore, NP-, NO- and cGMP-increasing drugs enhance conventional treatments for patients with HFrEF (McMurray et al, 2014; Armstrong et al, 2020; Petraina et al, 2022).\nPDE control of cyclic nucleotides in nanodomains with PKA-AKAP is pivotal in cardiac function regulation (see section Role of PDEs in Cyclic Nucleotide Compartmentalization; Kokkonen and Kass, 2017; Bock et al, 2020; Anton et al, 2022). The nanodomain organization undergoes significant remodeling in cases of pathological hypertrophy and HF, believed to contribute to heart function deterioration. In HFrEF, changes in PDE expression, activity, and subcellular localization alter cAMP and cGMP signaling and are associated with modulated β-adrenoceptor signaling, decreased NO bioavailability, and impaired NP signaling (Lohse et al, 2003; Katz et al, 2005; Nikolaev et al, 2010; Dickey et al, 2012). PDE3 and PDE5 inhibitors have shown detrimental effects in HFrEF patients (Packer et al, 1991) and a lack of efficacy in heart failure with preserved ejection fraction (HFpEF; Redfield et al, 2013). However, ongoing research suggests that specific PDEs could be potential therapeutic targets to prevent cardiac remodeling and HF (Preedy, 2020; Chen and Yan, 2021).\nPDE1, PDE2, PDE3, PDE4, PDE5, PDE8, PDE9, and PDE10 are expressed in the heart, and all have a functional role. Much of the work and details of how these PDEs influence the normal and diseased heart can be found in several recent reviews (Preedy, 2020; Kamel et al, 2023). Here, we focus on recent advances (Fig. 11).Fig. 11Modulatory role of PDEs on cAMP/cGMP signaling in cardiomyocytes. In this figure, the red area denotes the presence of cAMP, while the blue area signifies the contribution and subcellular localization of cGMP PDEs. Each PDE sub-family is represented as small colored circles on the PDE enzyme. Under normal physiological conditions, cardiac function is finely tuned by 2 intracellular cyclic nucleotides with opposing effects: cAMP, influenced by beta-adrenergic stimulation and protein kinase A signaling, and cGMP, stimulated by nitric oxide (NO) and natriuretic peptides (NPs) production. However, in pathological conditions such as heart failure, chronic elevation of catecholamines due to sympathetic over activation further stimulates beta-adrenergic receptors, leading to maladaptive remodeling, including hypertrophy and cardiac fibrosis. Conversely, elevated levels of NO and NPs exhibit anti-hypertrophic and anti-fibrotic effects. The question marks denote uncertainty regarding whether specific PDEs play preventive roles in these processes. Created with BioRender.com.\nModulatory role of PDEs on cAMP/cGMP signaling in cardiomyocytes. In this figure, the red area denotes the presence of cAMP, while the blue area signifies the contribution and subcellular localization of cGMP PDEs. Each PDE sub-family is represented as small colored circles on the PDE enzyme. Under normal physiological conditions, cardiac function is finely tuned by 2 intracellular cyclic nucleotides with opposing effects: cAMP, influenced by beta-adrenergic stimulation and protein kinase A signaling, and cGMP, stimulated by nitric oxide (NO) and natriuretic peptides (NPs) production. However, in pathological conditions such as heart failure, chronic elevation of catecholamines due to sympathetic over activation further stimulates beta-adrenergic receptors, leading to maladaptive remodeling, including hypertrophy and cardiac fibrosis. Conversely, elevated levels of NO and NPs exhibit anti-hypertrophic and anti-fibrotic effects. The question marks denote uncertainty regarding whether specific PDEs play preventive roles in these processes. Created with BioRender.com.\nOf the PDE1 isoforms, only PDE1A and PDE1C are expressed in the heart. PDE1A dominates in the myocardium of rat and mouse and preferentially hydrolyzes cGMP (Miller et al, 2009; Miller et al, 2011). PDE1C has balanced selectivity for cGMP and cAMP in cell-free conditions, but in myocytes and intact hearts, it primarily impacts cAMP (Knight et al, 2016; Hashimoto et al, 2018). In large mammal and human hearts, PDE1C is more prominent and constitutively expressed, providing most of the basal cGMP and cAMP hydrolysis activity measured in soluble cardiomyocyte fractions (Vandeput et al, 2007; Muller et al, 2021). PDE1C was further shown to reside in a complex with the adenosine A2A receptor (coupled to cAMP formation) and the transient receptor potential channel 3 (TRPC3) that mediates Ca2+/CaM-dependent activation of PDE1C (Zhang et al, 2018b).\nBoth PDE1A and PDE1C expressions rise in human and animal models of HF (Miller et al, 2009; Knight et al, 2016; Wu et al, 2017). Genetic deletion of PDE1C in mice generates no basal phenotype but is protective against pressure overload hypertrophy and fibrosis via cAMP-PKA and phosphatidylinositol 3-kinase/Akt-dependent pathways (Knight et al, 2016). Fibrosis was also reduced. Fibroblasts do not express PDE1C, suggesting a paracrine mechanism. One to 2 weeks of treatment with IC 86340 or vinpocetin attenuated heart disease caused by angiotensin II stimulation (Wu et al, 2017), CryABR12G induced proteinopathy (Zhang et al, 2019) and doxorubicin toxicity (Zhang et al, 2018b). This benefit, coupled with cAMP-PKA signaling, implicates the activation of Akt, the proteosome, and antiapoptotic pathways, respectively.\nIn both conscious dogs and intact rabbits, selective PDE1 inhibition (with lenrispodun [ITI-214]) results in enhanced contractility and relaxation, reduced arterial resistance, and an elevated heart rate (Hashimoto et al, 2018). The latter involves β-adrenoceptors, whereas enhanced contraction-relaxation implicated PDE1-adenosine A2 receptor coupling (Hashimoto et al, 2018). In isolated myocytes, PDE1 inhibition only augmented voltage-gated calcium conductance through CaV1.2 channels but did not increase the phosphorylation of phospholamban, troponin I, or myosin binding protein C or raise sarcoplasmic reticular Ca2+ load (Muller et al, 2021). In contrast, PDE3 inhibition augments CaV1.2, phospholamban, and MyBPC phosphorylation induced by β-adrenoceptor stimulation (Mika et al, 2013; Muller et al, 2021). Compared with PDE3 inhibition, suppressing PDE1 led to a smaller increase in intracellular calcium transients and correspondingly less arrhythmia. These findings spawned the only clinical test of a PDE1 inhibitor in human HF (Gilotra et al, 2021), a single-dose placebo randomized protocol in which lenrispodum increased ventricular power index, cardiac output, and heart rate and lowered vascular resistance.\nPDE2 activity and expression are increased in human myocardium from patients with end-stage HF (Mehel et al, 2013). This is also seen in isoprenaline-induced HF in rats (Kaumann et al, 2009; Mehel et al, 2013). PDE2 hydrolyzes cAMP in the vicinity of SERCA2a in hypertrophied cardiomyocytes (Sprenger et al, 2015). PDE2 increase results in reduced β-adrenoceptor-mediated hypertrophic remodeling induced by noradrenaline and phenylephrine (Mehel et al, 2013). Thus, PDE2 activation might be cardioprotective, as was confirmed in cardiac-specific PDE2-overexpressing mice for catecholamine-induced ventricular tachycardia and for cardiac dysfunction after myocardial infarction (Vettel et al, 2017). Conversely, PDE2 inhibition with BAY 60-7550 increased susceptibility to arrhythmias after reperfusion injury of isolated mouse hearts (Wagner et al, 2021). In this same study, the increase in PDE2 expression specifically in the heart prevented the incidence of depolarizations induced by isoprenaline, a pathogenic cause of arrhythmia (Wagner et al, 2021). Accordingly, gene therapy with PDE2A overexpression was shown to limit cardiac adverse left ventricle remodeling, dysfunction, and arrhythmias induced by catecholamines. Hence, strategies that increase PDE2A activity could prevent progression toward HF (Kamel et al, 2023).\nPDE2A is a cGMP-activated PDE (Martins et al, 1982), which might account for its protection against HF (Numata and Takimoto, 2022). Activation of the particulate guanylyl cyclase localized near PDE2A (Castro et al, 2006) results in a NP/BNP/cGMP-triggered defense mechanism during cardiac stress particularly during the excessive β-adrenoceptor-mediated drive. Interestingly, sacubitril, a neutral endopeptidase inhibitor that elevates NPs, improves classical treatments for HF (McMurray et al, 2014), and NPs exert antiarrhythmic effects via PDE2 (Cachorro et al, 2023).\nIn paradox, some studies have shown the detrimental effects of PDE2 activation. PDE2 upregulation was found to be prohypertrophic as the PDE2 inhibitor BAY 60-7550 antagonized cardiomyocyte growth via PKA phosphorylation of nuclear factor of activated T cells (NFAT), preventing the activation of the hypertrophic gene program (Zoccarato et al, 2015), and protected against apoptosis by promoting mitochondrial elongation (Monterisi et al, 2017). PDE2 activity and expression were upregulated in hypertrophied mouse myocytes after pressure overload and isoprenaline, and BAY 60-7550 decreased left ventricular (LV) hypertrophy, LV dilation, contractility, and fibrosis (Baliga et al, 2018). In addition, BAY 60-7550 or overexpression of catalytically inactive forms of PDE2 led to a restoration in the modulation of noradrenaline release in the stellate ganglion by BNP, which might further protect against HF (Liu et al, 2018).\nThe described paradox may be attributed to differences in the PDE2 isoforms expressed, the constructs used, or the cellular localization of the heterologous PDE2. More generally, the discrepancies may depend on the etiology of the HF. Further studies are needed to clarify whether inhibition or activation of the enzyme is preferred, implicating this difference in etiology.\nPDE3 is expressed in the myocardium of many species and is particularly abundant in large mammals including humans. Thus, PDE3 inhibitors have been developed for the treatment of HF. In congestive HF, PDE3 inhibitors in the short term induce a positive inotropic response and vasodilation (Movsesian et al, 2011). However, PDE3 inhibitors increase the mortality incidence of patients as a result of arrhythmias and sudden death (Packer et al, 1991). Although not fully elucidated, the mechanisms involved herein might implicate increased intracellular calcium concentrations due to chronically increased cAMP (Packer et al, 1991). In rodent models, pimobendan induced significant diastolic dysfunction with an increase in type I collagen deposition (Nakata et al, 2019). PDE3 inhibition might also be detrimental in HF through its effect on apoptosis. In vitro, PDE3A has been implicated in the activation of ICER (inducible cAMP early repressor), which is a transcriptional repressor of the antiapoptotic molecule Bcl-2. The inhibition of PDE3A leads to an increase in cAMP levels and consequent activation of PKA, which increases the ICER protein, resulting in cardiomyocyte apoptosis (Yan et al, 2007).\nConversely, transgenic mice overexpressing the Pde3a1 isoform specifically in the myocardium showed a cardioprotective effect in an ischemia and reperfusion model, with a reduction in the number of apoptotic cells and the size of the infarcted area in these transgenic animals. These beneficial effects were associated with a reduction in the cAMP/PKA/ICER signaling pathway and an increase in the Bcl-2 protein. These data suggest a therapeutic potential of PDE3A1 activation to prevent the deleterious effects of HF (Oikawa et al, 2013). Interestingly, activating mutations in PDE3, responsible for a rare disease characterized by the combination of brachydactyly and hypertension, confers cardioprotection despite the increase in afterload (Ercu et al, 2022). This latter observation supports the postulate reported earlier (Karam et al, 2020) that increasing rather than decreasing the activity of PDEs in cardiac tissue is beneficial. Despite the clinical limitations and unfavorable findings in rodent models, PDE3 inhibitors had positive effects on isoprenaline-induced myocardial injury in rats (Nakata et al, 2019) and showed favorable results on LV remodeling in mouse thoracic aortic constriction (TAC; Polidovitch et al, 2019). With Pde3a and Pde3b gene KO mice, PDE3A was found to be responsible for the beneficial milrinone effects in TAC (Polidovitch et al, 2019). Perhaps the adverse effects of PDE3 inhibition do not involve PDE3A, although this remains controversial (Movsesian, 2003).\nIn models of myocardial ischemia and reperfusion in dogs, a bolus injection of PDE3 inhibitor 30 minutes before coronary occlusion decreased the infarcted zone through the PKA/MAPK p38 pathway (Sanada et al, 2001; Sanada et al, 2004). This was likely due to PDE3B inhibition, as in vivo and Langendorff-perfused heart models of acute ischemia and reperfusion using Pde3a- and Pde3b-deficient mice, the size of the infarcted area was reduced only in the latter (Chung et al, 2015). Thus, despite the adverse effects of chronic PDE3 inhibitors in HF, their preischemia, single bolus use protects the myocardium against ischemic injuries (Sanada et al, 2001).\nNumerous studies have shown the involvement of PDE4 in cardiac pathophysiology in animal models, suggesting the negative impact of its absence. Accordingly, the involvement of PDE4B has been shown in tachycardia, involving CaV1.2 channel current amplitude elevation, and in HF of various etiologies, where PDE4B is decreased, and its overexpression attenuates HF (Abi-Gerges et al, 2009; Leroy et al, 2011; Mika et al, 2019; Karam et al, 2020). In addition to PDE4B, Pde4d-deficient mice showed an increase in ventricular tachycardia when subjected to physical training and developed cardiomyopathy with age (Lehnart et al, 2005). PDE4D resides in a close spatial relationship to the type 2 ryanodine receptor (RyR2), and its disappearance increases RyR2 phosphorylation by PKA, resulting in increased Ca2+ leakage from the SR prompting arrhythmias (Lehnart et al, 2005). PDE4D was shown to be decreased in the myocardium in humans with idiopathic cardiomyopathy (Richter et al, 2011a). PDE4D5 was shown to counteract hypertrophic events in neonatal cardiomyocytes (Berthouze-Duquesnes et al, 2013). In this study, PDE4D5 forms a complex with β-arrestin 2, and its disruption leads to a change from non-hypertrophic β2-adrenoceptor signaling to hypertrophic β1-adrenoceptor signaling involving Epac1.\nPDE4 is also expressed in human atrial myocytes, where it contributes to cAMP hydrolysis by controlling Ca2+ influx through CaV1.2 channels under basal conditions and under β-adrenoceptor stimulation (Molina et al, 2012). Inhibition of PDE4 in these atrial cells leads to an increase in the frequency of Ca2+ sparks and waves, leading to arrhythmias. In alignment with these findings, PDE4 activity has been shown to be reduced in patients with atrial fibrillation, a condition in which there is an alteration in the cAMP signaling pathway and Ca2+ dynamics (Molina et al, 2012). This highlights the involvement of this family of PDEs, not only at ventricular level but also in the human atrial myocardium, in the control of cAMP levels, both under basal conditions and under adrenergic stimulation, thus protecting against the development of arrhythmias.\nThe importance of PDE8 in cardiac pathophysiology has yet to be fully explored. In Pde8a isoform KO mouse β-adrenoceptor-stimulated Ca2+ transients, ICa,L and Ca2+ sparks in ventricular cardiomyocytes are increased (Patrucco et al, 2010). More recent work has demonstrated PDE8A and PDE8B in the human atrium, and the role of PDE8B in persistent atrial fibrillation. PDE8B is located in the plasma membrane in the atrial myocytes of humans with paroxystic atrial fibrillation, where it controls cAMP levels. Its expression is increased in these patients and reduces cAMP levels in the vicinity of the CaV1.2 channel, leading to a reduction in ICa,L current (Grammatika Pavlidou et al, 2023). This is the first evidence of a role for PDE8 as a regulator of L-type voltage-gated Ca2+ channels in human atrial myocytes.\nThe cGMP-PDE PDE5A and PDE9A are expressed in the cardiomyocytes at low levels and localized, respectively, at Z-discs, and at T-tubular structures and mitochondria (Nagayama et al, 2008; Lee et al, 2015). PDE5 modulates NO-stimulated guanylyl cyclase-1 (GC-1)-derived cGMP, and PDE9 shapes NP-guanylyl cyclase A-derived cGMP signaling (Takimoto et al, 2005; Lee et al, 2015). The result of cGMP signaling in the heart as shaped by PDE5 is well studied and involves a number of downstream targets that affect hypertrophy, antioxidant defense, mitochondrial respiration, angiogenesis, and proteostasis, leading to protection against ischemic damage and hypertrophy, as carefully reviewed elsewhere (Samidurai et al, 2023). In intact hearts subjected to pathological pressure overload, both PDE5A and PDE9A inhibitions similarly reduced hypertrophy, and fibrosis and improved cardiac function. However, if animals were concomitantly administered with L-NAME to inhibit NO synthase, then only the PDE9A inhibitor conferred these effects. Removal of ovaries in females reduces estrogen-coupled NOS activation. When this was done, PDE5A blockade also became ineffective (Sasaki et al, 2014; Fukuma et al, 2020), whereas PDE9A inhibition still protected the myocardium (Mishra et al, 2021).\nOxidative stress differentially modifies the regulatory function of PDE5 versus PDE9. Oxidation of cGMP-dependent kinase-1α (cGK-1α, also known as PKG1α) at 2 cysteine residues in the homodimer N-terminus (C42-C42) alters the localization of cGK-1α to assume a more diffuse cytosolic pattern (Nakamura et al, 2015; Nakamura et al, 2018). Preventing this oxidation by expressing a C42S mutation in cGK-1α itself reduced the maladaptive response to pressure overload associated with the maintenance of the kinase to the sarcolemmal membrane ((Nakamura et al, 2015). However, the outer membrane is not where PDE5A colocalizes, and likely as a result, PDE5A inhibition was ineffective in mice harboring this same cGK1α C42S mutation (Nakamura et al, 2018), as was also the case for sGC activator (Nakamura et al, 2018). By contrast, cell studies indicate that this does not apply to PDE9A inhibition that remains effective in this setting (Dunkerly-Eyring et al, 2022). The therapeutic implication is that inhibiting PDE9A is more likely to be impactful over PDE5A to activate cGK1α under conditions of oxidative stress, a common feature in many heart diseases.\nBoth PDE5A and PDE9A protein expressions are increased in human HF (Pokreisz et al, 2009; Shan et al, 2012b; Lee et al, 2015; Besler et al, 2021), and their inhibition has been found protective in heart disease of various etiologies (Kamel et al, 2023). The common denominator herein is the activation of cGK-1. Inhibition of PDE5A suppresses NFAT signaling that, in turn, is coupled to phosphorylation of the transient receptor canonical channel types 3 and 6 (Koitabashi et al, 2010; Kiso et al, 2013), interaction with the regulator of G-coupled signaling protein types 2 and 4 to counter Gq-coupled agonist stimulation (eg, by angiotensin II; Takimoto et al, 2009; Nishida et al, 2010), phosphorylation of tuberin (TSC2) at S1365 (S1364 in humans) to suppress activation of mTORC1 complex signaling (Ranek et al, 2019), and of carboxy terminus heart shock cognate interacting protein (CHIP, also Stub1) at S20 (S19 in humans) to enhance protein quality control (Ranek et al, 2020). PDE9A inhibition achieves a number of similar downstream effects, although not as many have been tested to date.\nPDE9A, but not PDE5A, localizes to mitochondria and modulates fatty acid oxidation (Mishra et al, 2021). PDE9A inhibition induced a thermogenic program in brown and white adipocytes (fat browning) both in vitro and in a model of severe, diet-induced obesity with and without pressure-load stress on the heart. Chronic PDE9A inhibition reduced fat mass with no change in lean mass, improved heart function, and reduced liver steatosis. These changes required activation of the transcriptional regulator PPARα, a master controller of fat metabolism genes. Interestingly, PDE9A inhibition only caused these changes in males and ovariectomized females but did not affect intact females. The likely cause is that estrogen suppresses PPARα transcriptional control over fat catabolism genes. The exact link between mitochondrial PDE9A, PPARα, and fat metabolism remains to be determined.\nAlthough many animal studies using PDE5A inhibition have shown benefits for various myocardial diseases, this has not been translated into the clinic (Borlaug et al, 2015; Cooper et al, 2022). Both positive and negative placebo-controlled trials are available, and recent meta-analyses further emphasize the contradicting findings regarding a potential application in coronary disease or heart failure (Cao et al, 2018; Samidurai et al, 2023; Soulaidopoulos et al, 2024). Reasons are uncertain, but PDE5A inhibitors are widely used to treat pulmonary hypertension (PH) and erectile dysfunction, but HF indications remain elusive. PDE9A inhibition has been studied in a sheep model of acute heart failure, both alone or in combination with a neprilysin inhibitor (to further enhance cGMP levels that PDE9A would in turn regulate), improving heart and renal function (Scott et al, 2019; Scott et al, 2023). Clinical trials of PDE9A inhibition in HF are ongoing, and whether the promising animal data ultimately translate to humans for this PDE remains to be seen.\nExpression of the dual substrate PDE, PDE10A (Chen et al, 2020), increases in mouse and human HF myocardium. PDE10A inhibitor TP-10 pathological hypertrophy, fibrosis, and chamber dysfunction in various pressure overload models. Mice with genetic deletion of Pde10a displayed reduced pathological responses and less mortality after pressure overload stress. Although cAMP and cGMP are both increased, their relative importance for PDE10 inhibition effects is unknown. Interestingly, inhibition of PDE10A ameliorated cardiac damage resulting from doxorubicin toxicity while simultaneously suppressing tumor growth in a breast cancer model (Chen et al, 2023). Thus, PDE10A is interesting in the new field of cardio-oncology.\n\n\n### Introduction: (patho)physiology of the heart related to cyclic nucleotide signaling\nHeart failure and reduced ejection fraction (HFrEF) represent a persistent clinical syndrome characterized by the gradual decline of cardiac function. Ultimately, the heart’s ability to pump blood efficiently becomes inadequate to meet the body’s oxygen demands, resulting in organ failure and, in severe cases, death. HFrEF can be caused by various factors, including arrhythmias, cardiomyopathies, coronary artery disease, congenital heart defects, infections, hypertension, valve problems, and the cardiotoxicity of certain anticancer drugs (McDonagh et al, 2022). Regardless of its origin, reduced cardiac function triggers the activation of neurohormonal systems and the development of cardiac hypertrophy to normalize ventricular wall stress (Hartupee and Mann, 2017). However, this compensated state is usually short-lived and gradually progresses toward chamber enlargement, eventually leading to HFrEF.\nIn normal physiological conditions, cAMP and cGMP have contrasting roles in cardiac function. β-adrenoceptor-stimulated cAMP release increases cardiac output through PKA. Conversely, nitric oxide (NO) or natriuretic peptide (NP) -induced cGMP can exert both synergistic and opposing effects on cAMP. In HF, decreased cardiac function chronically elevates sympathetic catecholamines (Cohn et al, 1984). This initiates a pathophysiological “vicious circle” of excessive β-adrenoceptor stimulation, explaining the beneficial effects of β-blockers in HFrEF (El-Armouche and Eschenhagen, 2009). Continuous cAMP-PKA signaling triggers the maladaptive remodeling leading to HFrEF, featuring hypertrophy, cardiomyocyte death, and fibrosis. Conversely, NO and NPs are anti-hypertrophic and anti-fibrotic. Therefore, NP-, NO- and cGMP-increasing drugs enhance conventional treatments for patients with HFrEF (McMurray et al, 2014; Armstrong et al, 2020; Petraina et al, 2022).\nPDE control of cyclic nucleotides in nanodomains with PKA-AKAP is pivotal in cardiac function regulation (see section Role of PDEs in Cyclic Nucleotide Compartmentalization; Kokkonen and Kass, 2017; Bock et al, 2020; Anton et al, 2022). The nanodomain organization undergoes significant remodeling in cases of pathological hypertrophy and HF, believed to contribute to heart function deterioration. In HFrEF, changes in PDE expression, activity, and subcellular localization alter cAMP and cGMP signaling and are associated with modulated β-adrenoceptor signaling, decreased NO bioavailability, and impaired NP signaling (Lohse et al, 2003; Katz et al, 2005; Nikolaev et al, 2010; Dickey et al, 2012). PDE3 and PDE5 inhibitors have shown detrimental effects in HFrEF patients (Packer et al, 1991) and a lack of efficacy in heart failure with preserved ejection fraction (HFpEF; Redfield et al, 2013). However, ongoing research suggests that specific PDEs could be potential therapeutic targets to prevent cardiac remodeling and HF (Preedy, 2020; Chen and Yan, 2021).\nPDE1, PDE2, PDE3, PDE4, PDE5, PDE8, PDE9, and PDE10 are expressed in the heart, and all have a functional role. Much of the work and details of how these PDEs influence the normal and diseased heart can be found in several recent reviews (Preedy, 2020; Kamel et al, 2023). Here, we focus on recent advances (Fig. 11).Fig. 11Modulatory role of PDEs on cAMP/cGMP signaling in cardiomyocytes. In this figure, the red area denotes the presence of cAMP, while the blue area signifies the contribution and subcellular localization of cGMP PDEs. Each PDE sub-family is represented as small colored circles on the PDE enzyme. Under normal physiological conditions, cardiac function is finely tuned by 2 intracellular cyclic nucleotides with opposing effects: cAMP, influenced by beta-adrenergic stimulation and protein kinase A signaling, and cGMP, stimulated by nitric oxide (NO) and natriuretic peptides (NPs) production. However, in pathological conditions such as heart failure, chronic elevation of catecholamines due to sympathetic over activation further stimulates beta-adrenergic receptors, leading to maladaptive remodeling, including hypertrophy and cardiac fibrosis. Conversely, elevated levels of NO and NPs exhibit anti-hypertrophic and anti-fibrotic effects. The question marks denote uncertainty regarding whether specific PDEs play preventive roles in these processes. Created with BioRender.com.\nModulatory role of PDEs on cAMP/cGMP signaling in cardiomyocytes. In this figure, the red area denotes the presence of cAMP, while the blue area signifies the contribution and subcellular localization of cGMP PDEs. Each PDE sub-family is represented as small colored circles on the PDE enzyme. Under normal physiological conditions, cardiac function is finely tuned by 2 intracellular cyclic nucleotides with opposing effects: cAMP, influenced by beta-adrenergic stimulation and protein kinase A signaling, and cGMP, stimulated by nitric oxide (NO) and natriuretic peptides (NPs) production. However, in pathological conditions such as heart failure, chronic elevation of catecholamines due to sympathetic over activation further stimulates beta-adrenergic receptors, leading to maladaptive remodeling, including hypertrophy and cardiac fibrosis. Conversely, elevated levels of NO and NPs exhibit anti-hypertrophic and anti-fibrotic effects. The question marks denote uncertainty regarding whether specific PDEs play preventive roles in these processes. Created with BioRender.com.\n\n\n### PDE regulation of cardiac function through cAMP\nOf the PDE1 isoforms, only PDE1A and PDE1C are expressed in the heart. PDE1A dominates in the myocardium of rat and mouse and preferentially hydrolyzes cGMP (Miller et al, 2009; Miller et al, 2011). PDE1C has balanced selectivity for cGMP and cAMP in cell-free conditions, but in myocytes and intact hearts, it primarily impacts cAMP (Knight et al, 2016; Hashimoto et al, 2018). In large mammal and human hearts, PDE1C is more prominent and constitutively expressed, providing most of the basal cGMP and cAMP hydrolysis activity measured in soluble cardiomyocyte fractions (Vandeput et al, 2007; Muller et al, 2021). PDE1C was further shown to reside in a complex with the adenosine A2A receptor (coupled to cAMP formation) and the transient receptor potential channel 3 (TRPC3) that mediates Ca2+/CaM-dependent activation of PDE1C (Zhang et al, 2018b).\nBoth PDE1A and PDE1C expressions rise in human and animal models of HF (Miller et al, 2009; Knight et al, 2016; Wu et al, 2017). Genetic deletion of PDE1C in mice generates no basal phenotype but is protective against pressure overload hypertrophy and fibrosis via cAMP-PKA and phosphatidylinositol 3-kinase/Akt-dependent pathways (Knight et al, 2016). Fibrosis was also reduced. Fibroblasts do not express PDE1C, suggesting a paracrine mechanism. One to 2 weeks of treatment with IC 86340 or vinpocetin attenuated heart disease caused by angiotensin II stimulation (Wu et al, 2017), CryABR12G induced proteinopathy (Zhang et al, 2019) and doxorubicin toxicity (Zhang et al, 2018b). This benefit, coupled with cAMP-PKA signaling, implicates the activation of Akt, the proteosome, and antiapoptotic pathways, respectively.\nIn both conscious dogs and intact rabbits, selective PDE1 inhibition (with lenrispodun [ITI-214]) results in enhanced contractility and relaxation, reduced arterial resistance, and an elevated heart rate (Hashimoto et al, 2018). The latter involves β-adrenoceptors, whereas enhanced contraction-relaxation implicated PDE1-adenosine A2 receptor coupling (Hashimoto et al, 2018). In isolated myocytes, PDE1 inhibition only augmented voltage-gated calcium conductance through CaV1.2 channels but did not increase the phosphorylation of phospholamban, troponin I, or myosin binding protein C or raise sarcoplasmic reticular Ca2+ load (Muller et al, 2021). In contrast, PDE3 inhibition augments CaV1.2, phospholamban, and MyBPC phosphorylation induced by β-adrenoceptor stimulation (Mika et al, 2013; Muller et al, 2021). Compared with PDE3 inhibition, suppressing PDE1 led to a smaller increase in intracellular calcium transients and correspondingly less arrhythmia. These findings spawned the only clinical test of a PDE1 inhibitor in human HF (Gilotra et al, 2021), a single-dose placebo randomized protocol in which lenrispodum increased ventricular power index, cardiac output, and heart rate and lowered vascular resistance.\nPDE2 activity and expression are increased in human myocardium from patients with end-stage HF (Mehel et al, 2013). This is also seen in isoprenaline-induced HF in rats (Kaumann et al, 2009; Mehel et al, 2013). PDE2 hydrolyzes cAMP in the vicinity of SERCA2a in hypertrophied cardiomyocytes (Sprenger et al, 2015). PDE2 increase results in reduced β-adrenoceptor-mediated hypertrophic remodeling induced by noradrenaline and phenylephrine (Mehel et al, 2013). Thus, PDE2 activation might be cardioprotective, as was confirmed in cardiac-specific PDE2-overexpressing mice for catecholamine-induced ventricular tachycardia and for cardiac dysfunction after myocardial infarction (Vettel et al, 2017). Conversely, PDE2 inhibition with BAY 60-7550 increased susceptibility to arrhythmias after reperfusion injury of isolated mouse hearts (Wagner et al, 2021). In this same study, the increase in PDE2 expression specifically in the heart prevented the incidence of depolarizations induced by isoprenaline, a pathogenic cause of arrhythmia (Wagner et al, 2021). Accordingly, gene therapy with PDE2A overexpression was shown to limit cardiac adverse left ventricle remodeling, dysfunction, and arrhythmias induced by catecholamines. Hence, strategies that increase PDE2A activity could prevent progression toward HF (Kamel et al, 2023).\nPDE2A is a cGMP-activated PDE (Martins et al, 1982), which might account for its protection against HF (Numata and Takimoto, 2022). Activation of the particulate guanylyl cyclase localized near PDE2A (Castro et al, 2006) results in a NP/BNP/cGMP-triggered defense mechanism during cardiac stress particularly during the excessive β-adrenoceptor-mediated drive. Interestingly, sacubitril, a neutral endopeptidase inhibitor that elevates NPs, improves classical treatments for HF (McMurray et al, 2014), and NPs exert antiarrhythmic effects via PDE2 (Cachorro et al, 2023).\nIn paradox, some studies have shown the detrimental effects of PDE2 activation. PDE2 upregulation was found to be prohypertrophic as the PDE2 inhibitor BAY 60-7550 antagonized cardiomyocyte growth via PKA phosphorylation of nuclear factor of activated T cells (NFAT), preventing the activation of the hypertrophic gene program (Zoccarato et al, 2015), and protected against apoptosis by promoting mitochondrial elongation (Monterisi et al, 2017). PDE2 activity and expression were upregulated in hypertrophied mouse myocytes after pressure overload and isoprenaline, and BAY 60-7550 decreased left ventricular (LV) hypertrophy, LV dilation, contractility, and fibrosis (Baliga et al, 2018). In addition, BAY 60-7550 or overexpression of catalytically inactive forms of PDE2 led to a restoration in the modulation of noradrenaline release in the stellate ganglion by BNP, which might further protect against HF (Liu et al, 2018).\nThe described paradox may be attributed to differences in the PDE2 isoforms expressed, the constructs used, or the cellular localization of the heterologous PDE2. More generally, the discrepancies may depend on the etiology of the HF. Further studies are needed to clarify whether inhibition or activation of the enzyme is preferred, implicating this difference in etiology.\nPDE3 is expressed in the myocardium of many species and is particularly abundant in large mammals including humans. Thus, PDE3 inhibitors have been developed for the treatment of HF. In congestive HF, PDE3 inhibitors in the short term induce a positive inotropic response and vasodilation (Movsesian et al, 2011). However, PDE3 inhibitors increase the mortality incidence of patients as a result of arrhythmias and sudden death (Packer et al, 1991). Although not fully elucidated, the mechanisms involved herein might implicate increased intracellular calcium concentrations due to chronically increased cAMP (Packer et al, 1991). In rodent models, pimobendan induced significant diastolic dysfunction with an increase in type I collagen deposition (Nakata et al, 2019). PDE3 inhibition might also be detrimental in HF through its effect on apoptosis. In vitro, PDE3A has been implicated in the activation of ICER (inducible cAMP early repressor), which is a transcriptional repressor of the antiapoptotic molecule Bcl-2. The inhibition of PDE3A leads to an increase in cAMP levels and consequent activation of PKA, which increases the ICER protein, resulting in cardiomyocyte apoptosis (Yan et al, 2007).\nConversely, transgenic mice overexpressing the Pde3a1 isoform specifically in the myocardium showed a cardioprotective effect in an ischemia and reperfusion model, with a reduction in the number of apoptotic cells and the size of the infarcted area in these transgenic animals. These beneficial effects were associated with a reduction in the cAMP/PKA/ICER signaling pathway and an increase in the Bcl-2 protein. These data suggest a therapeutic potential of PDE3A1 activation to prevent the deleterious effects of HF (Oikawa et al, 2013). Interestingly, activating mutations in PDE3, responsible for a rare disease characterized by the combination of brachydactyly and hypertension, confers cardioprotection despite the increase in afterload (Ercu et al, 2022). This latter observation supports the postulate reported earlier (Karam et al, 2020) that increasing rather than decreasing the activity of PDEs in cardiac tissue is beneficial. Despite the clinical limitations and unfavorable findings in rodent models, PDE3 inhibitors had positive effects on isoprenaline-induced myocardial injury in rats (Nakata et al, 2019) and showed favorable results on LV remodeling in mouse thoracic aortic constriction (TAC; Polidovitch et al, 2019). With Pde3a and Pde3b gene KO mice, PDE3A was found to be responsible for the beneficial milrinone effects in TAC (Polidovitch et al, 2019). Perhaps the adverse effects of PDE3 inhibition do not involve PDE3A, although this remains controversial (Movsesian, 2003).\nIn models of myocardial ischemia and reperfusion in dogs, a bolus injection of PDE3 inhibitor 30 minutes before coronary occlusion decreased the infarcted zone through the PKA/MAPK p38 pathway (Sanada et al, 2001; Sanada et al, 2004). This was likely due to PDE3B inhibition, as in vivo and Langendorff-perfused heart models of acute ischemia and reperfusion using Pde3a- and Pde3b-deficient mice, the size of the infarcted area was reduced only in the latter (Chung et al, 2015). Thus, despite the adverse effects of chronic PDE3 inhibitors in HF, their preischemia, single bolus use protects the myocardium against ischemic injuries (Sanada et al, 2001).\nNumerous studies have shown the involvement of PDE4 in cardiac pathophysiology in animal models, suggesting the negative impact of its absence. Accordingly, the involvement of PDE4B has been shown in tachycardia, involving CaV1.2 channel current amplitude elevation, and in HF of various etiologies, where PDE4B is decreased, and its overexpression attenuates HF (Abi-Gerges et al, 2009; Leroy et al, 2011; Mika et al, 2019; Karam et al, 2020). In addition to PDE4B, Pde4d-deficient mice showed an increase in ventricular tachycardia when subjected to physical training and developed cardiomyopathy with age (Lehnart et al, 2005). PDE4D resides in a close spatial relationship to the type 2 ryanodine receptor (RyR2), and its disappearance increases RyR2 phosphorylation by PKA, resulting in increased Ca2+ leakage from the SR prompting arrhythmias (Lehnart et al, 2005). PDE4D was shown to be decreased in the myocardium in humans with idiopathic cardiomyopathy (Richter et al, 2011a). PDE4D5 was shown to counteract hypertrophic events in neonatal cardiomyocytes (Berthouze-Duquesnes et al, 2013). In this study, PDE4D5 forms a complex with β-arrestin 2, and its disruption leads to a change from non-hypertrophic β2-adrenoceptor signaling to hypertrophic β1-adrenoceptor signaling involving Epac1.\nPDE4 is also expressed in human atrial myocytes, where it contributes to cAMP hydrolysis by controlling Ca2+ influx through CaV1.2 channels under basal conditions and under β-adrenoceptor stimulation (Molina et al, 2012). Inhibition of PDE4 in these atrial cells leads to an increase in the frequency of Ca2+ sparks and waves, leading to arrhythmias. In alignment with these findings, PDE4 activity has been shown to be reduced in patients with atrial fibrillation, a condition in which there is an alteration in the cAMP signaling pathway and Ca2+ dynamics (Molina et al, 2012). This highlights the involvement of this family of PDEs, not only at ventricular level but also in the human atrial myocardium, in the control of cAMP levels, both under basal conditions and under adrenergic stimulation, thus protecting against the development of arrhythmias.\nThe importance of PDE8 in cardiac pathophysiology has yet to be fully explored. In Pde8a isoform KO mouse β-adrenoceptor-stimulated Ca2+ transients, ICa,L and Ca2+ sparks in ventricular cardiomyocytes are increased (Patrucco et al, 2010). More recent work has demonstrated PDE8A and PDE8B in the human atrium, and the role of PDE8B in persistent atrial fibrillation. PDE8B is located in the plasma membrane in the atrial myocytes of humans with paroxystic atrial fibrillation, where it controls cAMP levels. Its expression is increased in these patients and reduces cAMP levels in the vicinity of the CaV1.2 channel, leading to a reduction in ICa,L current (Grammatika Pavlidou et al, 2023). This is the first evidence of a role for PDE8 as a regulator of L-type voltage-gated Ca2+ channels in human atrial myocytes.\n\n\n### PDE1\nOf the PDE1 isoforms, only PDE1A and PDE1C are expressed in the heart. PDE1A dominates in the myocardium of rat and mouse and preferentially hydrolyzes cGMP (Miller et al, 2009; Miller et al, 2011). PDE1C has balanced selectivity for cGMP and cAMP in cell-free conditions, but in myocytes and intact hearts, it primarily impacts cAMP (Knight et al, 2016; Hashimoto et al, 2018). In large mammal and human hearts, PDE1C is more prominent and constitutively expressed, providing most of the basal cGMP and cAMP hydrolysis activity measured in soluble cardiomyocyte fractions (Vandeput et al, 2007; Muller et al, 2021). PDE1C was further shown to reside in a complex with the adenosine A2A receptor (coupled to cAMP formation) and the transient receptor potential channel 3 (TRPC3) that mediates Ca2+/CaM-dependent activation of PDE1C (Zhang et al, 2018b).\nBoth PDE1A and PDE1C expressions rise in human and animal models of HF (Miller et al, 2009; Knight et al, 2016; Wu et al, 2017). Genetic deletion of PDE1C in mice generates no basal phenotype but is protective against pressure overload hypertrophy and fibrosis via cAMP-PKA and phosphatidylinositol 3-kinase/Akt-dependent pathways (Knight et al, 2016). Fibrosis was also reduced. Fibroblasts do not express PDE1C, suggesting a paracrine mechanism. One to 2 weeks of treatment with IC 86340 or vinpocetin attenuated heart disease caused by angiotensin II stimulation (Wu et al, 2017), CryABR12G induced proteinopathy (Zhang et al, 2019) and doxorubicin toxicity (Zhang et al, 2018b). This benefit, coupled with cAMP-PKA signaling, implicates the activation of Akt, the proteosome, and antiapoptotic pathways, respectively.\nIn both conscious dogs and intact rabbits, selective PDE1 inhibition (with lenrispodun [ITI-214]) results in enhanced contractility and relaxation, reduced arterial resistance, and an elevated heart rate (Hashimoto et al, 2018). The latter involves β-adrenoceptors, whereas enhanced contraction-relaxation implicated PDE1-adenosine A2 receptor coupling (Hashimoto et al, 2018). In isolated myocytes, PDE1 inhibition only augmented voltage-gated calcium conductance through CaV1.2 channels but did not increase the phosphorylation of phospholamban, troponin I, or myosin binding protein C or raise sarcoplasmic reticular Ca2+ load (Muller et al, 2021). In contrast, PDE3 inhibition augments CaV1.2, phospholamban, and MyBPC phosphorylation induced by β-adrenoceptor stimulation (Mika et al, 2013; Muller et al, 2021). Compared with PDE3 inhibition, suppressing PDE1 led to a smaller increase in intracellular calcium transients and correspondingly less arrhythmia. These findings spawned the only clinical test of a PDE1 inhibitor in human HF (Gilotra et al, 2021), a single-dose placebo randomized protocol in which lenrispodum increased ventricular power index, cardiac output, and heart rate and lowered vascular resistance.\n\n\n### PDE2\nPDE2 activity and expression are increased in human myocardium from patients with end-stage HF (Mehel et al, 2013). This is also seen in isoprenaline-induced HF in rats (Kaumann et al, 2009; Mehel et al, 2013). PDE2 hydrolyzes cAMP in the vicinity of SERCA2a in hypertrophied cardiomyocytes (Sprenger et al, 2015). PDE2 increase results in reduced β-adrenoceptor-mediated hypertrophic remodeling induced by noradrenaline and phenylephrine (Mehel et al, 2013). Thus, PDE2 activation might be cardioprotective, as was confirmed in cardiac-specific PDE2-overexpressing mice for catecholamine-induced ventricular tachycardia and for cardiac dysfunction after myocardial infarction (Vettel et al, 2017). Conversely, PDE2 inhibition with BAY 60-7550 increased susceptibility to arrhythmias after reperfusion injury of isolated mouse hearts (Wagner et al, 2021). In this same study, the increase in PDE2 expression specifically in the heart prevented the incidence of depolarizations induced by isoprenaline, a pathogenic cause of arrhythmia (Wagner et al, 2021). Accordingly, gene therapy with PDE2A overexpression was shown to limit cardiac adverse left ventricle remodeling, dysfunction, and arrhythmias induced by catecholamines. Hence, strategies that increase PDE2A activity could prevent progression toward HF (Kamel et al, 2023).\nPDE2A is a cGMP-activated PDE (Martins et al, 1982), which might account for its protection against HF (Numata and Takimoto, 2022). Activation of the particulate guanylyl cyclase localized near PDE2A (Castro et al, 2006) results in a NP/BNP/cGMP-triggered defense mechanism during cardiac stress particularly during the excessive β-adrenoceptor-mediated drive. Interestingly, sacubitril, a neutral endopeptidase inhibitor that elevates NPs, improves classical treatments for HF (McMurray et al, 2014), and NPs exert antiarrhythmic effects via PDE2 (Cachorro et al, 2023).\nIn paradox, some studies have shown the detrimental effects of PDE2 activation. PDE2 upregulation was found to be prohypertrophic as the PDE2 inhibitor BAY 60-7550 antagonized cardiomyocyte growth via PKA phosphorylation of nuclear factor of activated T cells (NFAT), preventing the activation of the hypertrophic gene program (Zoccarato et al, 2015), and protected against apoptosis by promoting mitochondrial elongation (Monterisi et al, 2017). PDE2 activity and expression were upregulated in hypertrophied mouse myocytes after pressure overload and isoprenaline, and BAY 60-7550 decreased left ventricular (LV) hypertrophy, LV dilation, contractility, and fibrosis (Baliga et al, 2018). In addition, BAY 60-7550 or overexpression of catalytically inactive forms of PDE2 led to a restoration in the modulation of noradrenaline release in the stellate ganglion by BNP, which might further protect against HF (Liu et al, 2018).\nThe described paradox may be attributed to differences in the PDE2 isoforms expressed, the constructs used, or the cellular localization of the heterologous PDE2. More generally, the discrepancies may depend on the etiology of the HF. Further studies are needed to clarify whether inhibition or activation of the enzyme is preferred, implicating this difference in etiology.\n\n\n### PDE3\nPDE3 is expressed in the myocardium of many species and is particularly abundant in large mammals including humans. Thus, PDE3 inhibitors have been developed for the treatment of HF. In congestive HF, PDE3 inhibitors in the short term induce a positive inotropic response and vasodilation (Movsesian et al, 2011). However, PDE3 inhibitors increase the mortality incidence of patients as a result of arrhythmias and sudden death (Packer et al, 1991). Although not fully elucidated, the mechanisms involved herein might implicate increased intracellular calcium concentrations due to chronically increased cAMP (Packer et al, 1991). In rodent models, pimobendan induced significant diastolic dysfunction with an increase in type I collagen deposition (Nakata et al, 2019). PDE3 inhibition might also be detrimental in HF through its effect on apoptosis. In vitro, PDE3A has been implicated in the activation of ICER (inducible cAMP early repressor), which is a transcriptional repressor of the antiapoptotic molecule Bcl-2. The inhibition of PDE3A leads to an increase in cAMP levels and consequent activation of PKA, which increases the ICER protein, resulting in cardiomyocyte apoptosis (Yan et al, 2007).\nConversely, transgenic mice overexpressing the Pde3a1 isoform specifically in the myocardium showed a cardioprotective effect in an ischemia and reperfusion model, with a reduction in the number of apoptotic cells and the size of the infarcted area in these transgenic animals. These beneficial effects were associated with a reduction in the cAMP/PKA/ICER signaling pathway and an increase in the Bcl-2 protein. These data suggest a therapeutic potential of PDE3A1 activation to prevent the deleterious effects of HF (Oikawa et al, 2013). Interestingly, activating mutations in PDE3, responsible for a rare disease characterized by the combination of brachydactyly and hypertension, confers cardioprotection despite the increase in afterload (Ercu et al, 2022). This latter observation supports the postulate reported earlier (Karam et al, 2020) that increasing rather than decreasing the activity of PDEs in cardiac tissue is beneficial. Despite the clinical limitations and unfavorable findings in rodent models, PDE3 inhibitors had positive effects on isoprenaline-induced myocardial injury in rats (Nakata et al, 2019) and showed favorable results on LV remodeling in mouse thoracic aortic constriction (TAC; Polidovitch et al, 2019). With Pde3a and Pde3b gene KO mice, PDE3A was found to be responsible for the beneficial milrinone effects in TAC (Polidovitch et al, 2019). Perhaps the adverse effects of PDE3 inhibition do not involve PDE3A, although this remains controversial (Movsesian, 2003).\nIn models of myocardial ischemia and reperfusion in dogs, a bolus injection of PDE3 inhibitor 30 minutes before coronary occlusion decreased the infarcted zone through the PKA/MAPK p38 pathway (Sanada et al, 2001; Sanada et al, 2004). This was likely due to PDE3B inhibition, as in vivo and Langendorff-perfused heart models of acute ischemia and reperfusion using Pde3a- and Pde3b-deficient mice, the size of the infarcted area was reduced only in the latter (Chung et al, 2015). Thus, despite the adverse effects of chronic PDE3 inhibitors in HF, their preischemia, single bolus use protects the myocardium against ischemic injuries (Sanada et al, 2001).\n\n\n### PDE4\nNumerous studies have shown the involvement of PDE4 in cardiac pathophysiology in animal models, suggesting the negative impact of its absence. Accordingly, the involvement of PDE4B has been shown in tachycardia, involving CaV1.2 channel current amplitude elevation, and in HF of various etiologies, where PDE4B is decreased, and its overexpression attenuates HF (Abi-Gerges et al, 2009; Leroy et al, 2011; Mika et al, 2019; Karam et al, 2020). In addition to PDE4B, Pde4d-deficient mice showed an increase in ventricular tachycardia when subjected to physical training and developed cardiomyopathy with age (Lehnart et al, 2005). PDE4D resides in a close spatial relationship to the type 2 ryanodine receptor (RyR2), and its disappearance increases RyR2 phosphorylation by PKA, resulting in increased Ca2+ leakage from the SR prompting arrhythmias (Lehnart et al, 2005). PDE4D was shown to be decreased in the myocardium in humans with idiopathic cardiomyopathy (Richter et al, 2011a). PDE4D5 was shown to counteract hypertrophic events in neonatal cardiomyocytes (Berthouze-Duquesnes et al, 2013). In this study, PDE4D5 forms a complex with β-arrestin 2, and its disruption leads to a change from non-hypertrophic β2-adrenoceptor signaling to hypertrophic β1-adrenoceptor signaling involving Epac1.\nPDE4 is also expressed in human atrial myocytes, where it contributes to cAMP hydrolysis by controlling Ca2+ influx through CaV1.2 channels under basal conditions and under β-adrenoceptor stimulation (Molina et al, 2012). Inhibition of PDE4 in these atrial cells leads to an increase in the frequency of Ca2+ sparks and waves, leading to arrhythmias. In alignment with these findings, PDE4 activity has been shown to be reduced in patients with atrial fibrillation, a condition in which there is an alteration in the cAMP signaling pathway and Ca2+ dynamics (Molina et al, 2012). This highlights the involvement of this family of PDEs, not only at ventricular level but also in the human atrial myocardium, in the control of cAMP levels, both under basal conditions and under adrenergic stimulation, thus protecting against the development of arrhythmias.\n\n\n### PDE8\nThe importance of PDE8 in cardiac pathophysiology has yet to be fully explored. In Pde8a isoform KO mouse β-adrenoceptor-stimulated Ca2+ transients, ICa,L and Ca2+ sparks in ventricular cardiomyocytes are increased (Patrucco et al, 2010). More recent work has demonstrated PDE8A and PDE8B in the human atrium, and the role of PDE8B in persistent atrial fibrillation. PDE8B is located in the plasma membrane in the atrial myocytes of humans with paroxystic atrial fibrillation, where it controls cAMP levels. Its expression is increased in these patients and reduces cAMP levels in the vicinity of the CaV1.2 channel, leading to a reduction in ICa,L current (Grammatika Pavlidou et al, 2023). This is the first evidence of a role for PDE8 as a regulator of L-type voltage-gated Ca2+ channels in human atrial myocytes.\n\n\n### PDE regulation of cardiac function through cGMP\nThe cGMP-PDE PDE5A and PDE9A are expressed in the cardiomyocytes at low levels and localized, respectively, at Z-discs, and at T-tubular structures and mitochondria (Nagayama et al, 2008; Lee et al, 2015). PDE5 modulates NO-stimulated guanylyl cyclase-1 (GC-1)-derived cGMP, and PDE9 shapes NP-guanylyl cyclase A-derived cGMP signaling (Takimoto et al, 2005; Lee et al, 2015). The result of cGMP signaling in the heart as shaped by PDE5 is well studied and involves a number of downstream targets that affect hypertrophy, antioxidant defense, mitochondrial respiration, angiogenesis, and proteostasis, leading to protection against ischemic damage and hypertrophy, as carefully reviewed elsewhere (Samidurai et al, 2023). In intact hearts subjected to pathological pressure overload, both PDE5A and PDE9A inhibitions similarly reduced hypertrophy, and fibrosis and improved cardiac function. However, if animals were concomitantly administered with L-NAME to inhibit NO synthase, then only the PDE9A inhibitor conferred these effects. Removal of ovaries in females reduces estrogen-coupled NOS activation. When this was done, PDE5A blockade also became ineffective (Sasaki et al, 2014; Fukuma et al, 2020), whereas PDE9A inhibition still protected the myocardium (Mishra et al, 2021).\nOxidative stress differentially modifies the regulatory function of PDE5 versus PDE9. Oxidation of cGMP-dependent kinase-1α (cGK-1α, also known as PKG1α) at 2 cysteine residues in the homodimer N-terminus (C42-C42) alters the localization of cGK-1α to assume a more diffuse cytosolic pattern (Nakamura et al, 2015; Nakamura et al, 2018). Preventing this oxidation by expressing a C42S mutation in cGK-1α itself reduced the maladaptive response to pressure overload associated with the maintenance of the kinase to the sarcolemmal membrane ((Nakamura et al, 2015). However, the outer membrane is not where PDE5A colocalizes, and likely as a result, PDE5A inhibition was ineffective in mice harboring this same cGK1α C42S mutation (Nakamura et al, 2018), as was also the case for sGC activator (Nakamura et al, 2018). By contrast, cell studies indicate that this does not apply to PDE9A inhibition that remains effective in this setting (Dunkerly-Eyring et al, 2022). The therapeutic implication is that inhibiting PDE9A is more likely to be impactful over PDE5A to activate cGK1α under conditions of oxidative stress, a common feature in many heart diseases.\nBoth PDE5A and PDE9A protein expressions are increased in human HF (Pokreisz et al, 2009; Shan et al, 2012b; Lee et al, 2015; Besler et al, 2021), and their inhibition has been found protective in heart disease of various etiologies (Kamel et al, 2023). The common denominator herein is the activation of cGK-1. Inhibition of PDE5A suppresses NFAT signaling that, in turn, is coupled to phosphorylation of the transient receptor canonical channel types 3 and 6 (Koitabashi et al, 2010; Kiso et al, 2013), interaction with the regulator of G-coupled signaling protein types 2 and 4 to counter Gq-coupled agonist stimulation (eg, by angiotensin II; Takimoto et al, 2009; Nishida et al, 2010), phosphorylation of tuberin (TSC2) at S1365 (S1364 in humans) to suppress activation of mTORC1 complex signaling (Ranek et al, 2019), and of carboxy terminus heart shock cognate interacting protein (CHIP, also Stub1) at S20 (S19 in humans) to enhance protein quality control (Ranek et al, 2020). PDE9A inhibition achieves a number of similar downstream effects, although not as many have been tested to date.\nPDE9A, but not PDE5A, localizes to mitochondria and modulates fatty acid oxidation (Mishra et al, 2021). PDE9A inhibition induced a thermogenic program in brown and white adipocytes (fat browning) both in vitro and in a model of severe, diet-induced obesity with and without pressure-load stress on the heart. Chronic PDE9A inhibition reduced fat mass with no change in lean mass, improved heart function, and reduced liver steatosis. These changes required activation of the transcriptional regulator PPARα, a master controller of fat metabolism genes. Interestingly, PDE9A inhibition only caused these changes in males and ovariectomized females but did not affect intact females. The likely cause is that estrogen suppresses PPARα transcriptional control over fat catabolism genes. The exact link between mitochondrial PDE9A, PPARα, and fat metabolism remains to be determined.\nAlthough many animal studies using PDE5A inhibition have shown benefits for various myocardial diseases, this has not been translated into the clinic (Borlaug et al, 2015; Cooper et al, 2022). Both positive and negative placebo-controlled trials are available, and recent meta-analyses further emphasize the contradicting findings regarding a potential application in coronary disease or heart failure (Cao et al, 2018; Samidurai et al, 2023; Soulaidopoulos et al, 2024). Reasons are uncertain, but PDE5A inhibitors are widely used to treat pulmonary hypertension (PH) and erectile dysfunction, but HF indications remain elusive. PDE9A inhibition has been studied in a sheep model of acute heart failure, both alone or in combination with a neprilysin inhibitor (to further enhance cGMP levels that PDE9A would in turn regulate), improving heart and renal function (Scott et al, 2019; Scott et al, 2023). Clinical trials of PDE9A inhibition in HF are ongoing, and whether the promising animal data ultimately translate to humans for this PDE remains to be seen.\nExpression of the dual substrate PDE, PDE10A (Chen et al, 2020), increases in mouse and human HF myocardium. PDE10A inhibitor TP-10 pathological hypertrophy, fibrosis, and chamber dysfunction in various pressure overload models. Mice with genetic deletion of Pde10a displayed reduced pathological responses and less mortality after pressure overload stress. Although cAMP and cGMP are both increased, their relative importance for PDE10 inhibition effects is unknown. Interestingly, inhibition of PDE10A ameliorated cardiac damage resulting from doxorubicin toxicity while simultaneously suppressing tumor growth in a breast cancer model (Chen et al, 2023). Thus, PDE10A is interesting in the new field of cardio-oncology.\n\n\n### PDE5A and PDE9A\nThe cGMP-PDE PDE5A and PDE9A are expressed in the cardiomyocytes at low levels and localized, respectively, at Z-discs, and at T-tubular structures and mitochondria (Nagayama et al, 2008; Lee et al, 2015). PDE5 modulates NO-stimulated guanylyl cyclase-1 (GC-1)-derived cGMP, and PDE9 shapes NP-guanylyl cyclase A-derived cGMP signaling (Takimoto et al, 2005; Lee et al, 2015). The result of cGMP signaling in the heart as shaped by PDE5 is well studied and involves a number of downstream targets that affect hypertrophy, antioxidant defense, mitochondrial respiration, angiogenesis, and proteostasis, leading to protection against ischemic damage and hypertrophy, as carefully reviewed elsewhere (Samidurai et al, 2023). In intact hearts subjected to pathological pressure overload, both PDE5A and PDE9A inhibitions similarly reduced hypertrophy, and fibrosis and improved cardiac function. However, if animals were concomitantly administered with L-NAME to inhibit NO synthase, then only the PDE9A inhibitor conferred these effects. Removal of ovaries in females reduces estrogen-coupled NOS activation. When this was done, PDE5A blockade also became ineffective (Sasaki et al, 2014; Fukuma et al, 2020), whereas PDE9A inhibition still protected the myocardium (Mishra et al, 2021).\nOxidative stress differentially modifies the regulatory function of PDE5 versus PDE9. Oxidation of cGMP-dependent kinase-1α (cGK-1α, also known as PKG1α) at 2 cysteine residues in the homodimer N-terminus (C42-C42) alters the localization of cGK-1α to assume a more diffuse cytosolic pattern (Nakamura et al, 2015; Nakamura et al, 2018). Preventing this oxidation by expressing a C42S mutation in cGK-1α itself reduced the maladaptive response to pressure overload associated with the maintenance of the kinase to the sarcolemmal membrane ((Nakamura et al, 2015). However, the outer membrane is not where PDE5A colocalizes, and likely as a result, PDE5A inhibition was ineffective in mice harboring this same cGK1α C42S mutation (Nakamura et al, 2018), as was also the case for sGC activator (Nakamura et al, 2018). By contrast, cell studies indicate that this does not apply to PDE9A inhibition that remains effective in this setting (Dunkerly-Eyring et al, 2022). The therapeutic implication is that inhibiting PDE9A is more likely to be impactful over PDE5A to activate cGK1α under conditions of oxidative stress, a common feature in many heart diseases.\nBoth PDE5A and PDE9A protein expressions are increased in human HF (Pokreisz et al, 2009; Shan et al, 2012b; Lee et al, 2015; Besler et al, 2021), and their inhibition has been found protective in heart disease of various etiologies (Kamel et al, 2023). The common denominator herein is the activation of cGK-1. Inhibition of PDE5A suppresses NFAT signaling that, in turn, is coupled to phosphorylation of the transient receptor canonical channel types 3 and 6 (Koitabashi et al, 2010; Kiso et al, 2013), interaction with the regulator of G-coupled signaling protein types 2 and 4 to counter Gq-coupled agonist stimulation (eg, by angiotensin II; Takimoto et al, 2009; Nishida et al, 2010), phosphorylation of tuberin (TSC2) at S1365 (S1364 in humans) to suppress activation of mTORC1 complex signaling (Ranek et al, 2019), and of carboxy terminus heart shock cognate interacting protein (CHIP, also Stub1) at S20 (S19 in humans) to enhance protein quality control (Ranek et al, 2020). PDE9A inhibition achieves a number of similar downstream effects, although not as many have been tested to date.\nPDE9A, but not PDE5A, localizes to mitochondria and modulates fatty acid oxidation (Mishra et al, 2021). PDE9A inhibition induced a thermogenic program in brown and white adipocytes (fat browning) both in vitro and in a model of severe, diet-induced obesity with and without pressure-load stress on the heart. Chronic PDE9A inhibition reduced fat mass with no change in lean mass, improved heart function, and reduced liver steatosis. These changes required activation of the transcriptional regulator PPARα, a master controller of fat metabolism genes. Interestingly, PDE9A inhibition only caused these changes in males and ovariectomized females but did not affect intact females. The likely cause is that estrogen suppresses PPARα transcriptional control over fat catabolism genes. The exact link between mitochondrial PDE9A, PPARα, and fat metabolism remains to be determined.\nAlthough many animal studies using PDE5A inhibition have shown benefits for various myocardial diseases, this has not been translated into the clinic (Borlaug et al, 2015; Cooper et al, 2022). Both positive and negative placebo-controlled trials are available, and recent meta-analyses further emphasize the contradicting findings regarding a potential application in coronary disease or heart failure (Cao et al, 2018; Samidurai et al, 2023; Soulaidopoulos et al, 2024). Reasons are uncertain, but PDE5A inhibitors are widely used to treat pulmonary hypertension (PH) and erectile dysfunction, but HF indications remain elusive. PDE9A inhibition has been studied in a sheep model of acute heart failure, both alone or in combination with a neprilysin inhibitor (to further enhance cGMP levels that PDE9A would in turn regulate), improving heart and renal function (Scott et al, 2019; Scott et al, 2023). Clinical trials of PDE9A inhibition in HF are ongoing, and whether the promising animal data ultimately translate to humans for this PDE remains to be seen.\n\n\n### PDE10A\nExpression of the dual substrate PDE, PDE10A (Chen et al, 2020), increases in mouse and human HF myocardium. PDE10A inhibitor TP-10 pathological hypertrophy, fibrosis, and chamber dysfunction in various pressure overload models. Mice with genetic deletion of Pde10a displayed reduced pathological responses and less mortality after pressure overload stress. Although cAMP and cGMP are both increased, their relative importance for PDE10 inhibition effects is unknown. Interestingly, inhibition of PDE10A ameliorated cardiac damage resulting from doxorubicin toxicity while simultaneously suppressing tumor growth in a breast cancer model (Chen et al, 2023). Thus, PDE10A is interesting in the new field of cardio-oncology.\n\n\n### Smooth muscle cells, endothelial cells, and PDEs\nCardiovascular diseases account for around 30% of disability and mortality in economically developed countries, representing the largest healthcare problem according to the World Health Organization (WHO; Pencina et al, 2019). Vascular aging and disease are one of the main drivers (Abdellatif et al, 2023). Vascular disease can be roughly divided into 3 categories of obstructive arterial disease, ie, atherosclerosis leading to infarction, nonobstructive vascular aging, and aneurysms. Due to improved prevention and treatment of infarctions, vascular aging has increased (Jouabadi et al, 2023), which has led to an increase in diastolic compared with systolic heart failure and dementia.\nVascular smooth muscle cells (VSMC) and endothelial cells (EC) are the main cell types involved in vascular homeostasis and disease. This involves the following functions: vascular tone and compliance regulation, angiogenesis, regulation of endothelial permeability, and blood coagulation. Pericytes, fibroblasts, adipocytes, and resident macrophages play an auxiliary role in these functions. VSMC are the engine of the artery wall as they contract and relax. Contraction of VSMC depends on cytoplasmic Ca2+ increase, followed by CaM-mediated myosin light chain kinase phosphorylation, and subsequent phosphorylation-induced actin-myosin fiber shortening. Dephosphorylation of actin-myosin is executed by myosin light chain phosphatase (MLCP) at low Ca2+ causing relaxation. Rho kinase activation supports contraction by Ser-phosphorylation-induced inhibition of MLCP, thereby increasing Ca2+ sensitivity of the VSMC. Herein, cAMP-PKA and cGMP-PKG signaling inhibit phosphorylation-induced MLCP deactivation and Rho kinase, respectively (see [Ito et al, 2022] for a detailed review). Furthermore, cAMP lowers Ca2+ through modulation of L-type calcium channel opening (Lincoln and Cornwell, 1991; Majed and Khalil, 2012). VSMC can also migrate, redifferentiate into myofibroblasts, or both, which leads to vessel hypertrophy and fibrosis. In the microvasculature, the VSMC are present as pericytes, which are in contact with the EC, regulating, for example, the blood-brain barrier.\nEC are the regulators of the vessel wall (Deanfield et al, 2007). They form a smooth layer covering the luminal side of the blood vessel. They have antithrombotic and anti-inflammatory activities, suppress VMSC proliferation, and provide an important barrier function. EC also releases signaling factors to VSMC that change vascular tone and mediate angiogenesis through the process of sprouting, with tip and stalk cells guiding neovascularization. Tonus regulation and vascular remodeling are regulated by VSMC guided by stimuli derived from the circulation or neurotransmitters released by sympathetic neurons. VSMC are also regulated indirectly via the release of vasoactive signaling factors from EC that respond to circulating substances, flow changes, or hypoxia. Hypoxia is also the main stimulus for angiogenesis.\nVascular disease is characterized by the disturbed communication between EC and VSMC, low-grade inflammation, endothelial permeability, and oxidative stress. Cellular senescence and its associated secretory phenotype (SASP) are believed to play an important role herein (Garrido et al, 2022; Clayton et al, 2023; Jouabadi et al, 2023). In summary, inflammation, senescence, apoptosis, increased EC permeability, decreased EC antithrombotic and angiogenic function, VSMC proliferation, migration, and fibrosis jointly contribute to vascular disease and related morbidities, such as HF and dementia. We discuss here the roles of cyclic nucleotide PDEs in these processes, focusing on VSMC and EC (Fig. 12).Fig. 12The importance of PDEs regulation in vasculature. VSMCs and ECs constitute the primary vascular cell types, with pericytes taking over the role of VSMCs in the microvasculature, alongside macrophages and other supporting cells. The regulatory influence of PDEs on cAMP has been implicated in endothelial permeability. Additionally, PDEs play a role in proliferation and cell migration, processes typically mediated by VEGF signaling and Rac1, leading to an increase in ROS produced by NADPH oxidase. PDE inhibitors have demonstrated promising effects in preventing aneurysm formation, a critical aspect of vascular remodeling disorders. Nevertheless, the precise mechanisms through which cyclic nucleotides balance each other to regulate arterial wall thickening/thinning remain unclear. Question marks indicate that the precise role of PDE in that specific pathway remains unknown. Created with BioRender.com.\nThe importance of PDEs regulation in vasculature. VSMCs and ECs constitute the primary vascular cell types, with pericytes taking over the role of VSMCs in the microvasculature, alongside macrophages and other supporting cells. The regulatory influence of PDEs on cAMP has been implicated in endothelial permeability. Additionally, PDEs play a role in proliferation and cell migration, processes typically mediated by VEGF signaling and Rac1, leading to an increase in ROS produced by NADPH oxidase. PDE inhibitors have demonstrated promising effects in preventing aneurysm formation, a critical aspect of vascular remodeling disorders. Nevertheless, the precise mechanisms through which cyclic nucleotides balance each other to regulate arterial wall thickening/thinning remain unclear. Question marks indicate that the precise role of PDE in that specific pathway remains unknown. Created with BioRender.com.\nThe elevation of cytosolic and membrane cAMP, respectively, decreases (cytosolic cAMP) and increases endothelial (membrane cAMP) permeability (Sayner et al, 2006). The required local gradient is created through the intervention of cAMP-PDEs (Feinstein et al, 2012). Various complementary studies (Seybold et al, 2005; Diebold et al, 2009; Surapisitchat et al, 2007) have shown that cGMP levels steer endothelial PDE2 and PDE3 to alternatively regulate permeability by cAMP. Low levels of cGMP or PDE3A inhibition, which maintains high cAMP levels, decrease thrombin-induced permeability. As cGMP increases, PDE2A activation bypasses PDE3A inhibition, thus switching from higher to lower cAMP levels, decreasing EC barrier function. Presumably this involves membrane cAMP levels. Endothelial PDE4 regulates microvascular permeability. Rolipram and roflumilast have been shown to attenuate vascular leakage in models of inflammation and sepsis (Schick and Schlegel, 2022). Further details describing downstream signaling and microdomains in endothelial permeability have been recently reviewed (Vina et al, 2021).\nImportant for angiogenesis, cAMP inhibits EC proliferation and migration (Netherton and Maurice, 2005). cAMP blocks proliferation through vascular endothelial growth factor (VEGF) signaling and a Rac1-mediated increase of NADPH-oxidase-produced reactive oxygen species (ROS; Sadek et al, 2020). Accordingly, PDE2, 3, and 4 inhibitions inhibit VEGF-induced proliferation and migration of cultured human EC, and angiogenesis in the chick chorioallantoic membrane model (Netherton and Maurice, 2005). Inhibition of these PDEs might also account for the antiangiogenic effect of curcumin (Abusnina et al, 2015). Downstream of VEGF, PDE2 inhibition involves the cyclin A—p27kip1, whereas combined PDE2 and 4 inhibition targets the cyclin D1—p21waf1/cip1 cell cycle pathway (Favot et al, 2004). In contrast, microvascular EC adhesion depends on cAMP-EPAC, and is regulated by PDE3B or PDE4D (Netherton et al, 2007). Furthermore, a role for pericyte PDE3A in cAMP regulation relevant to angiogenesis and permeability was proposed (Spiranec et al, 2018). Interestingly, PDE3 or 4 inhibition improved eNOS activity and NO-mediated tube formation in cultured human aortic EC through cAMP/PKA and phosphatidylinositol 3-kinase/Akt (Hashimoto et al, 2006). The result of the conflict with the antiangiogenic effects of cAMP and of PDE2, 3, and 4 inhibition is unclear. Unfortunately, in vivo experiments in mammal angiogenesis models with PDE2, 3, and 4 inhibitors are lacking. In addition, the role of other cAMP-selective PDE subtypes in the endothelium is unknown.\ncGMP is proangiogenic, and PDE1 and PDE5 emerge when cultured bovine EC passes from a quiescent to a proliferative phenotype (Keravis et al, 2000). Sildenafil increases in vitro tube formation and in vivo angiogenesis in a rat embolic stroke model, improving neurological recovery in the latter (Zhang et al, 2003; Zhang et al, 2005b). Sildenafil protects against renal microvascular degeneration in the mouse streptozotocin diabetes model (Pofi et al, 2017). Sildenafil and tadalafil were also reported to increase endothelial progenitor cell number in healthy humans and patients with erectile dysfunction (Bocchio et al, 2008; Foresta et al, 2009). The ongoing discussion about the identity and origin of endothelial progenitor cells and the general lack of clinical trials showing a positive effect of cell therapy make predictions of the therapeutic relevance of such observations challenging (Chambers et al, 2021).\nThe role of cGMP in endothelial permeability is unclear; an increase, decrease, or no effect has all been reported (Lakshminarayanan et al, 2000; Rentsendorj et al, 2008; Bohara et al, 2014; Yin et al, 2014; Bodiga et al, 2020). Differences in EC origin, permeability stimulus and measurement methods, and data interpretation may underlie the confounding results. With respect to interpretation, it is sometimes overlooked that NO increases permeability through catenins and not PKG (Marin et al, 2012). The role of cGMP-PDEs in regulating permeability has not been reported. Activation of pericytes leads to endothelial cell leakage, worsens NO-mediated vasodilation, and is antiangiogenic. This is prevented by PDE5 inhibitor sildenafil in a pericyte-EC coculture model (Majumder et al, 2007).\nIn summary, inhibition of PDE2, 3, and 4 might mitigate pathogenesis that involves increased endothelial permeability and angiogenesis. PDE5 inhibition seems applicable in conditions where angiogenesis is favorable. The specific role of PDE1 or other cGMP-PDE has not been evaluated.\nAntiproliferative effects in VSMC have been described for cAMP. Genetic knockout of PDE1C attenuates injury-induced neointima formation, involving cAMP/PKA and platelet-derived growth factor receptor β (Cai et al, 2015). Furthermore, PDE1C was shown to be involved in VSMC migration through a concerted interplay between adenylate cyclase 8 and orai1 Ca2+ channels (Brzezinska and Maurice, 2019; Brzezinska et al, 2021). PDE3 inhibition decreased neointima formation after arterial injury in rats (Indolfi et al, 1997; Ishizaka et al, 1999; Inoue et al, 2000) but had no effect on atherosclerosis in ApoE-KO mouse (Umebayashi et al, 2018). Further development as an antirestenosis therapy has not been pursued, possibly due to competition of cytostatin-eluting stents. Nevertheless, vascular aging-related intimal thickening and arterial stiffening might be considered as a future application.\nAneurysm formation is a disease with often dramatic consequences. Early investigations demonstrated that theophylline, a nonselective PDE inhibitor, induces aneurysms in chick embryos (Gilbert et al, 1977). In contrast, deletion of Pde1c and inhibition of PDE1, PDE3, or PDE4 with IC86340, cilostazol, or rolipram, respectively, were shown to be protective in abdominal aneurysm models (Zhang et al, 2011b; Umebayashi et al, 2018; Varona et al, 2021; Zhang et al, 2021; Gao et al, 2022). Cilostazol effects were associated with reduced inflammation, ROS levels, and matrix metalloproteinases 2 and 9 levels (Zhang et al, 2011b; Umebayashi et al, 2018). Of note, furthermore, it remains unclear if rolipram mediates its effects by inhibiting PDE4B in infiltrating inflammatory cells or PDE4D in VSMC (Varona et al, 2021; Gao et al, 2022). In summary, inhibition of cAMP-PDEs is a viable concept for the prevention of aneurysms.\nDual PDE1/PDE5 inhibition with SCH51866 had an antiplatelet and antihypertrophic effect in a hypertensive rat angioplasty model, whereas the selective PDE5 inhibitor, E4021, only decreased platelet adhesion (Vemulapalli et al, 1996). Zaprinast, which also targets PDE9 and 11, was reported to reduce neointima formation (Keswani et al, 2009). Vardenafil inhibited fibroblasts-to-myofibroblast transdifferentiation in a mouse model of focal segmental glomerulosclerosis (Hu et al, 2022), highlighting possibilities for antifibrotic treatment. Selective PDE1 inhibition has emerged as a target for diseases related to VSMC and adventitial fibroblasts (Zhou et al, 2010; Yan, 2015; Roks, 2022). Genetic knockout of PDE1C or inhibition of PDE1 with IC86340 attenuated injury-induced neointima formation. However, the mechanism of action of cGMP is unclear given that unlike cAMP (see above), PKG does not regulate platelet-derived growth factor receptor β (Cai et al, 2015). Similar to PDE3 inhibition, the development of PDE1 and PDE5 inhibitors as clinical drugs against in-stent restenosis night prove complicated, whereas attenuation of vascular aging might be a possible indication. Indeed, in a mouse model of accelerated aging, chronic sildenafil treatment significantly improved vasomotor function (Golshiri et al, 2020).\nWith respect to aneurysms, several cases of aortic dissection or subarachnoid hemorrhage have been reported in patients with erectile function taking sildenafil. Although this was attributable to an effect on VSMC, mechanistic evidence has not been reported (Edwin et al, 2009; Tiryakioglu et al, 2009; De-Giorgio et al, 2011). It is also unclear if the protective effect of PDE1 inhibition against arterial wall thinning described above for cAMP also involves cGMP (Zhang et al, 2021). Currently, it is not understood how both cyclic nucleotides interact to regulate arterial wall thickening (neointima formation) and thinning (aneurysms).\nPDE2 inhibition was shown to unmask or improve cAMP-mediated relaxation of the pulmonary artery and aorta of rats exposed to hypoxia to induce pulmonary hypertension (Bubb et al, 2014). PDE3A is known to be involved in brachydactyly short stature-hypertension, a rare inherited disease also known as Bilginturan syndrome (Bilginturan et al, 1973). Due to a diverse pallet of gain-of-function mutations in these patients, PDE3A activity in VSMC increases, causing hypertension (Ercu et al, 2023). Patients respond to most standard antihypertensive treatments, except for inhibitors of the renin-angiotensin system because this system is not activated. Left untreated, patients die from stroke at around the age of 50 years. Due to the detrimental cardiac effects, chronic PDE3 inhibition is not considered to be a logical alternative when standard antihypertensive treatment is effective.\nTogether with PDE10A, PDE3A is a target for papaverine (Li et al, 2023), a drug used to stop vasospasms in claudication. Based on their vasodilator and antithrombotic actions, the PDE3 inhibitors, cilostazol, and milrinone, are prescribed for intermittent claudication; their potential utility in vasospasm after cerebral hemorrhage is under clinical evaluation (Saber et al, 2018; Lakhal et al, 2021).\nPDE5 inhibition has been considered to improve clinical outcomes after stroke. A meta-analysis of oral sildenafil effects after subarachnoid hemorrhage suggested improved long-term anatomical and functional outcomes (Faropoulos et al, 2023). This is in contradiction with the alleged increased risk for stroke observed in patients with erectile dysfunction mentioned above. Explorative pharmacoepidemiological research might be necessary before initiating an intervention study.\nIn rats, under normoxic conditions, relaxations of the pulmonary artery induced by atrial natriuretic peptide (ANP) and NO are modified by the cAMP-PDE PDE2, whereas this was restricted to ANP in vessels harvested from hypoxic animals (Bubb et al, 2014). In the aorta, PDE2 inhibition increased NO-mediated relaxation, and this was also lost after exposure to hypoxia. Thus, the regulation of ANP/pGC/cGMP signaling by PDE2 present under healthy conditions appears to depend on the type of blood vessels or, perhaps, the hemodynamic conditions to which it is exposed. Hypoxia is known to promote vasoconstriction (Haynes et al, 1996), and apparently, this centers around the regulation of particulate guanylyl cyclase-generated cGMP. The NO/sGC/cGMP regulation by PDE2 is abolished by hypoxia. Almost complete loss of PDE2 transcripts and protein was observed after hypoxia, whereas paradoxically cytosolic PDE2 activity was still measurable (Bubb et al, 2014). Perhaps, a differential involvement of membrane-versus cytosolic-located PDE2 might explain this discrepancy. Microdomain regulation of PDE2 has been demonstrated in myocardial cells (Castro et al, 2006) and in stellate neurons of spontaneously hypertensive rats (Li et al, 2022) but remains to be elucidated in vascular cells.\nThe role of PDE1 and PDE5 in blood pressure and vasomotor function has been well investigated, has been comprehensively reviewed recently (Roks, 2022), and is summarized here. Although PDE1 is Ca2+/CaM-dependent, PDE5 is activated by PKA- and PKG-mediated phosphorylation. Activation of PDE5 is cGMP-dependent and suppressed by NO inhibition (Wyatt et al, 1998; Teixeira et al, 2006). In contrast to PDE5, PDE1 has cAMP-metabolizing activity (Francis et al, 2011). Thus, PDE1 and PDE5 are, respectively, active under contractile and relaxing conditions, and their (patho)physiological roles can therefore be expected to differ significantly.\nVarious genetic models implicated PDE1A in VSMC myosin-actin regulation, which involves myosin light chain kinase phosphorylation, and blood pressure (Nagel et al, 2006; Wang et al, 2017b). In contrast, Pde1c deletion has no blood pressure effect in young adult mice (Ahmad et al, 2015; Knight et al, 2016; Zhang et al, 2018b). PDE1 or PDE5 inhibition leads to modest blood pressure lowering in healthy animals and humans (Herrmann et al, 2000; Miller et al, 2009; Laursen et al, 2017; Hashimoto et al, 2018; Dey et al, 2020; Gilotra et al, 2021; Jüttner et al, 2022). The PDE1-selective inhibitors, Lu AF41228 and Lu AF58027, produced concentration-related relaxations of isolated rat mesenteric arteries in an NO- and cAMP-dependent manner (Laursen et al, 2017). The PDE1 inhibitor, lenrispodun, improved NO-mediated vasodilation and appears to be dominant over PDE5 inhibition in mouse aorta with aged VSMC (Ataei Ataabadi et al, 2021).\nIn physiological versus pathological conditions, expressions of PDE1 and PDE5 are differentially affected (Yan et al, 1996; Rybalkin et al, 1997; Rybalkin et al, 2002; Chen et al, 2018; Zhang et al, 2021). Recently, it was found that in the aorta of mice with aged VSMC, PDE1, rather than PDE5, impairs NO-cGMP-mediated signaling (Ataei Ataabadi et al, 2021). When NO-cGMP-PKG signaling is optimal, PDE5 represents a negative feedback mechanism to oppose relaxation. Conversely, under disease conditions where NO-cGMP signaling is lowered and Ca2+-induced constriction may be increased, PDE1 may further augment Ca2+ sensitivity by inactivating cGMP and cAMP. Thus, PDE1 appears to be the disease associated with PDE in VSMC (Roks, 2022). Indeed, in mouse models of accelerated aging, lenrispodun countered vascular aging more effectively than sildenafil (Golshiri et al, 2020; Golshiri et al, 2021b). In addition, PDE1, but not PDE5, appears to play a role in the regulation of vascular smooth muscle cell senescence (Bautista Niño et al, 2015; Zhang et al, 2021). PDE5 expression was reduced in in vitro aged VSMC (Wyatt et al, 1998), whereas PDE1 levels were increased in senescent human VSMC, aged mouse aorta, and VSMC of mouse aortic aneurysms (Bautista Niño et al, 2015; Zhang et al, 2021). In addition, PDE1 inhibition attenuated VSMC senescence (Bautista Niño et al, 2015; Zhang et al, 2021). This effect might be explained by the cAMP-mediated activation of sirtuin-1, which is important in nutrient sensing—energy metabolism, during PDE1 inhibition (Zhang et al, 2021). The role of cGMP still needs to be further interrogated especially given that soluble guanylyl cyclase activators have antisenescent effects in the aorta of mice with accelerated aging (Ataei Ataabadi et al, 2022). These observations for PDE1 versus PDE5 lead to a paradigm shift in their role in healthy and aged vascular tissue.\nOf potential clinical relevance are epidemiological studies that have found single nucleotide polymorphisms (SNPs) in the PDE1A gene that are associated with diastolic blood pressure, mean arterial pressure, and common carotid intimamedia thickness (Tragante et al, 2014; Bautista Niño et al, 2015). PDE1C polymorphisms were not associated with vascular aging variables. It is unknown if this is due to the lack of functional mutations. Further discussion can be found elsewhere (Golshiri et al, 2019; Ataei Ataabadi et al, 2020; Roks, 2022).\nPDE1 has also been proposed to play a role in nitrate tolerance during treatment of recurrent angina pectoris (Kim et al, 2001). However, these experiments employed vinpocetine, which is not selective for PDE1 (Dunkern and Hatzelmann, 2007). The role of PDE1 in vasodilation or blood pressure regulation, specifically in relation to cAMP, remains unclear. The distinct impact of PDE1 inhibition on blood pressure may be attributed to the opposing effects of vasorelaxation and positive inotropy (Gilotra et al, 2021). In conclusion, the balance of evidence suggests that inhibition of PDE1 or PDE5 may not be the optimal approach to treat hypertension. Nevertheless, the role of these PDEs in aging-related loss of vasodilation capacity warrants further inspection.\n\n\n### Clinical and pathophysiological background of vascular disease\nCardiovascular diseases account for around 30% of disability and mortality in economically developed countries, representing the largest healthcare problem according to the World Health Organization (WHO; Pencina et al, 2019). Vascular aging and disease are one of the main drivers (Abdellatif et al, 2023). Vascular disease can be roughly divided into 3 categories of obstructive arterial disease, ie, atherosclerosis leading to infarction, nonobstructive vascular aging, and aneurysms. Due to improved prevention and treatment of infarctions, vascular aging has increased (Jouabadi et al, 2023), which has led to an increase in diastolic compared with systolic heart failure and dementia.\nVascular smooth muscle cells (VSMC) and endothelial cells (EC) are the main cell types involved in vascular homeostasis and disease. This involves the following functions: vascular tone and compliance regulation, angiogenesis, regulation of endothelial permeability, and blood coagulation. Pericytes, fibroblasts, adipocytes, and resident macrophages play an auxiliary role in these functions. VSMC are the engine of the artery wall as they contract and relax. Contraction of VSMC depends on cytoplasmic Ca2+ increase, followed by CaM-mediated myosin light chain kinase phosphorylation, and subsequent phosphorylation-induced actin-myosin fiber shortening. Dephosphorylation of actin-myosin is executed by myosin light chain phosphatase (MLCP) at low Ca2+ causing relaxation. Rho kinase activation supports contraction by Ser-phosphorylation-induced inhibition of MLCP, thereby increasing Ca2+ sensitivity of the VSMC. Herein, cAMP-PKA and cGMP-PKG signaling inhibit phosphorylation-induced MLCP deactivation and Rho kinase, respectively (see [Ito et al, 2022] for a detailed review). Furthermore, cAMP lowers Ca2+ through modulation of L-type calcium channel opening (Lincoln and Cornwell, 1991; Majed and Khalil, 2012). VSMC can also migrate, redifferentiate into myofibroblasts, or both, which leads to vessel hypertrophy and fibrosis. In the microvasculature, the VSMC are present as pericytes, which are in contact with the EC, regulating, for example, the blood-brain barrier.\nEC are the regulators of the vessel wall (Deanfield et al, 2007). They form a smooth layer covering the luminal side of the blood vessel. They have antithrombotic and anti-inflammatory activities, suppress VMSC proliferation, and provide an important barrier function. EC also releases signaling factors to VSMC that change vascular tone and mediate angiogenesis through the process of sprouting, with tip and stalk cells guiding neovascularization. Tonus regulation and vascular remodeling are regulated by VSMC guided by stimuli derived from the circulation or neurotransmitters released by sympathetic neurons. VSMC are also regulated indirectly via the release of vasoactive signaling factors from EC that respond to circulating substances, flow changes, or hypoxia. Hypoxia is also the main stimulus for angiogenesis.\nVascular disease is characterized by the disturbed communication between EC and VSMC, low-grade inflammation, endothelial permeability, and oxidative stress. Cellular senescence and its associated secretory phenotype (SASP) are believed to play an important role herein (Garrido et al, 2022; Clayton et al, 2023; Jouabadi et al, 2023). In summary, inflammation, senescence, apoptosis, increased EC permeability, decreased EC antithrombotic and angiogenic function, VSMC proliferation, migration, and fibrosis jointly contribute to vascular disease and related morbidities, such as HF and dementia. We discuss here the roles of cyclic nucleotide PDEs in these processes, focusing on VSMC and EC (Fig. 12).Fig. 12The importance of PDEs regulation in vasculature. VSMCs and ECs constitute the primary vascular cell types, with pericytes taking over the role of VSMCs in the microvasculature, alongside macrophages and other supporting cells. The regulatory influence of PDEs on cAMP has been implicated in endothelial permeability. Additionally, PDEs play a role in proliferation and cell migration, processes typically mediated by VEGF signaling and Rac1, leading to an increase in ROS produced by NADPH oxidase. PDE inhibitors have demonstrated promising effects in preventing aneurysm formation, a critical aspect of vascular remodeling disorders. Nevertheless, the precise mechanisms through which cyclic nucleotides balance each other to regulate arterial wall thickening/thinning remain unclear. Question marks indicate that the precise role of PDE in that specific pathway remains unknown. Created with BioRender.com.\nThe importance of PDEs regulation in vasculature. VSMCs and ECs constitute the primary vascular cell types, with pericytes taking over the role of VSMCs in the microvasculature, alongside macrophages and other supporting cells. The regulatory influence of PDEs on cAMP has been implicated in endothelial permeability. Additionally, PDEs play a role in proliferation and cell migration, processes typically mediated by VEGF signaling and Rac1, leading to an increase in ROS produced by NADPH oxidase. PDE inhibitors have demonstrated promising effects in preventing aneurysm formation, a critical aspect of vascular remodeling disorders. Nevertheless, the precise mechanisms through which cyclic nucleotides balance each other to regulate arterial wall thickening/thinning remain unclear. Question marks indicate that the precise role of PDE in that specific pathway remains unknown. Created with BioRender.com.\n\n\n### Role of PDEs in endothelial permeability and angiogenesis\nThe elevation of cytosolic and membrane cAMP, respectively, decreases (cytosolic cAMP) and increases endothelial (membrane cAMP) permeability (Sayner et al, 2006). The required local gradient is created through the intervention of cAMP-PDEs (Feinstein et al, 2012). Various complementary studies (Seybold et al, 2005; Diebold et al, 2009; Surapisitchat et al, 2007) have shown that cGMP levels steer endothelial PDE2 and PDE3 to alternatively regulate permeability by cAMP. Low levels of cGMP or PDE3A inhibition, which maintains high cAMP levels, decrease thrombin-induced permeability. As cGMP increases, PDE2A activation bypasses PDE3A inhibition, thus switching from higher to lower cAMP levels, decreasing EC barrier function. Presumably this involves membrane cAMP levels. Endothelial PDE4 regulates microvascular permeability. Rolipram and roflumilast have been shown to attenuate vascular leakage in models of inflammation and sepsis (Schick and Schlegel, 2022). Further details describing downstream signaling and microdomains in endothelial permeability have been recently reviewed (Vina et al, 2021).\nImportant for angiogenesis, cAMP inhibits EC proliferation and migration (Netherton and Maurice, 2005). cAMP blocks proliferation through vascular endothelial growth factor (VEGF) signaling and a Rac1-mediated increase of NADPH-oxidase-produced reactive oxygen species (ROS; Sadek et al, 2020). Accordingly, PDE2, 3, and 4 inhibitions inhibit VEGF-induced proliferation and migration of cultured human EC, and angiogenesis in the chick chorioallantoic membrane model (Netherton and Maurice, 2005). Inhibition of these PDEs might also account for the antiangiogenic effect of curcumin (Abusnina et al, 2015). Downstream of VEGF, PDE2 inhibition involves the cyclin A—p27kip1, whereas combined PDE2 and 4 inhibition targets the cyclin D1—p21waf1/cip1 cell cycle pathway (Favot et al, 2004). In contrast, microvascular EC adhesion depends on cAMP-EPAC, and is regulated by PDE3B or PDE4D (Netherton et al, 2007). Furthermore, a role for pericyte PDE3A in cAMP regulation relevant to angiogenesis and permeability was proposed (Spiranec et al, 2018). Interestingly, PDE3 or 4 inhibition improved eNOS activity and NO-mediated tube formation in cultured human aortic EC through cAMP/PKA and phosphatidylinositol 3-kinase/Akt (Hashimoto et al, 2006). The result of the conflict with the antiangiogenic effects of cAMP and of PDE2, 3, and 4 inhibition is unclear. Unfortunately, in vivo experiments in mammal angiogenesis models with PDE2, 3, and 4 inhibitors are lacking. In addition, the role of other cAMP-selective PDE subtypes in the endothelium is unknown.\ncGMP is proangiogenic, and PDE1 and PDE5 emerge when cultured bovine EC passes from a quiescent to a proliferative phenotype (Keravis et al, 2000). Sildenafil increases in vitro tube formation and in vivo angiogenesis in a rat embolic stroke model, improving neurological recovery in the latter (Zhang et al, 2003; Zhang et al, 2005b). Sildenafil protects against renal microvascular degeneration in the mouse streptozotocin diabetes model (Pofi et al, 2017). Sildenafil and tadalafil were also reported to increase endothelial progenitor cell number in healthy humans and patients with erectile dysfunction (Bocchio et al, 2008; Foresta et al, 2009). The ongoing discussion about the identity and origin of endothelial progenitor cells and the general lack of clinical trials showing a positive effect of cell therapy make predictions of the therapeutic relevance of such observations challenging (Chambers et al, 2021).\nThe role of cGMP in endothelial permeability is unclear; an increase, decrease, or no effect has all been reported (Lakshminarayanan et al, 2000; Rentsendorj et al, 2008; Bohara et al, 2014; Yin et al, 2014; Bodiga et al, 2020). Differences in EC origin, permeability stimulus and measurement methods, and data interpretation may underlie the confounding results. With respect to interpretation, it is sometimes overlooked that NO increases permeability through catenins and not PKG (Marin et al, 2012). The role of cGMP-PDEs in regulating permeability has not been reported. Activation of pericytes leads to endothelial cell leakage, worsens NO-mediated vasodilation, and is antiangiogenic. This is prevented by PDE5 inhibitor sildenafil in a pericyte-EC coculture model (Majumder et al, 2007).\nIn summary, inhibition of PDE2, 3, and 4 might mitigate pathogenesis that involves increased endothelial permeability and angiogenesis. PDE5 inhibition seems applicable in conditions where angiogenesis is favorable. The specific role of PDE1 or other cGMP-PDE has not been evaluated.\n\n\n### EC effects through cAMP\nThe elevation of cytosolic and membrane cAMP, respectively, decreases (cytosolic cAMP) and increases endothelial (membrane cAMP) permeability (Sayner et al, 2006). The required local gradient is created through the intervention of cAMP-PDEs (Feinstein et al, 2012). Various complementary studies (Seybold et al, 2005; Diebold et al, 2009; Surapisitchat et al, 2007) have shown that cGMP levels steer endothelial PDE2 and PDE3 to alternatively regulate permeability by cAMP. Low levels of cGMP or PDE3A inhibition, which maintains high cAMP levels, decrease thrombin-induced permeability. As cGMP increases, PDE2A activation bypasses PDE3A inhibition, thus switching from higher to lower cAMP levels, decreasing EC barrier function. Presumably this involves membrane cAMP levels. Endothelial PDE4 regulates microvascular permeability. Rolipram and roflumilast have been shown to attenuate vascular leakage in models of inflammation and sepsis (Schick and Schlegel, 2022). Further details describing downstream signaling and microdomains in endothelial permeability have been recently reviewed (Vina et al, 2021).\nImportant for angiogenesis, cAMP inhibits EC proliferation and migration (Netherton and Maurice, 2005). cAMP blocks proliferation through vascular endothelial growth factor (VEGF) signaling and a Rac1-mediated increase of NADPH-oxidase-produced reactive oxygen species (ROS; Sadek et al, 2020). Accordingly, PDE2, 3, and 4 inhibitions inhibit VEGF-induced proliferation and migration of cultured human EC, and angiogenesis in the chick chorioallantoic membrane model (Netherton and Maurice, 2005). Inhibition of these PDEs might also account for the antiangiogenic effect of curcumin (Abusnina et al, 2015). Downstream of VEGF, PDE2 inhibition involves the cyclin A—p27kip1, whereas combined PDE2 and 4 inhibition targets the cyclin D1—p21waf1/cip1 cell cycle pathway (Favot et al, 2004). In contrast, microvascular EC adhesion depends on cAMP-EPAC, and is regulated by PDE3B or PDE4D (Netherton et al, 2007). Furthermore, a role for pericyte PDE3A in cAMP regulation relevant to angiogenesis and permeability was proposed (Spiranec et al, 2018). Interestingly, PDE3 or 4 inhibition improved eNOS activity and NO-mediated tube formation in cultured human aortic EC through cAMP/PKA and phosphatidylinositol 3-kinase/Akt (Hashimoto et al, 2006). The result of the conflict with the antiangiogenic effects of cAMP and of PDE2, 3, and 4 inhibition is unclear. Unfortunately, in vivo experiments in mammal angiogenesis models with PDE2, 3, and 4 inhibitors are lacking. In addition, the role of other cAMP-selective PDE subtypes in the endothelium is unknown.\n\n\n### EC effects through cGMP\ncGMP is proangiogenic, and PDE1 and PDE5 emerge when cultured bovine EC passes from a quiescent to a proliferative phenotype (Keravis et al, 2000). Sildenafil increases in vitro tube formation and in vivo angiogenesis in a rat embolic stroke model, improving neurological recovery in the latter (Zhang et al, 2003; Zhang et al, 2005b). Sildenafil protects against renal microvascular degeneration in the mouse streptozotocin diabetes model (Pofi et al, 2017). Sildenafil and tadalafil were also reported to increase endothelial progenitor cell number in healthy humans and patients with erectile dysfunction (Bocchio et al, 2008; Foresta et al, 2009). The ongoing discussion about the identity and origin of endothelial progenitor cells and the general lack of clinical trials showing a positive effect of cell therapy make predictions of the therapeutic relevance of such observations challenging (Chambers et al, 2021).\nThe role of cGMP in endothelial permeability is unclear; an increase, decrease, or no effect has all been reported (Lakshminarayanan et al, 2000; Rentsendorj et al, 2008; Bohara et al, 2014; Yin et al, 2014; Bodiga et al, 2020). Differences in EC origin, permeability stimulus and measurement methods, and data interpretation may underlie the confounding results. With respect to interpretation, it is sometimes overlooked that NO increases permeability through catenins and not PKG (Marin et al, 2012). The role of cGMP-PDEs in regulating permeability has not been reported. Activation of pericytes leads to endothelial cell leakage, worsens NO-mediated vasodilation, and is antiangiogenic. This is prevented by PDE5 inhibitor sildenafil in a pericyte-EC coculture model (Majumder et al, 2007).\nIn summary, inhibition of PDE2, 3, and 4 might mitigate pathogenesis that involves increased endothelial permeability and angiogenesis. PDE5 inhibition seems applicable in conditions where angiogenesis is favorable. The specific role of PDE1 or other cGMP-PDE has not been evaluated.\n\n\n### Role of PDEs in arterial wall remodeling and vascular tone\nAntiproliferative effects in VSMC have been described for cAMP. Genetic knockout of PDE1C attenuates injury-induced neointima formation, involving cAMP/PKA and platelet-derived growth factor receptor β (Cai et al, 2015). Furthermore, PDE1C was shown to be involved in VSMC migration through a concerted interplay between adenylate cyclase 8 and orai1 Ca2+ channels (Brzezinska and Maurice, 2019; Brzezinska et al, 2021). PDE3 inhibition decreased neointima formation after arterial injury in rats (Indolfi et al, 1997; Ishizaka et al, 1999; Inoue et al, 2000) but had no effect on atherosclerosis in ApoE-KO mouse (Umebayashi et al, 2018). Further development as an antirestenosis therapy has not been pursued, possibly due to competition of cytostatin-eluting stents. Nevertheless, vascular aging-related intimal thickening and arterial stiffening might be considered as a future application.\nAneurysm formation is a disease with often dramatic consequences. Early investigations demonstrated that theophylline, a nonselective PDE inhibitor, induces aneurysms in chick embryos (Gilbert et al, 1977). In contrast, deletion of Pde1c and inhibition of PDE1, PDE3, or PDE4 with IC86340, cilostazol, or rolipram, respectively, were shown to be protective in abdominal aneurysm models (Zhang et al, 2011b; Umebayashi et al, 2018; Varona et al, 2021; Zhang et al, 2021; Gao et al, 2022). Cilostazol effects were associated with reduced inflammation, ROS levels, and matrix metalloproteinases 2 and 9 levels (Zhang et al, 2011b; Umebayashi et al, 2018). Of note, furthermore, it remains unclear if rolipram mediates its effects by inhibiting PDE4B in infiltrating inflammatory cells or PDE4D in VSMC (Varona et al, 2021; Gao et al, 2022). In summary, inhibition of cAMP-PDEs is a viable concept for the prevention of aneurysms.\nDual PDE1/PDE5 inhibition with SCH51866 had an antiplatelet and antihypertrophic effect in a hypertensive rat angioplasty model, whereas the selective PDE5 inhibitor, E4021, only decreased platelet adhesion (Vemulapalli et al, 1996). Zaprinast, which also targets PDE9 and 11, was reported to reduce neointima formation (Keswani et al, 2009). Vardenafil inhibited fibroblasts-to-myofibroblast transdifferentiation in a mouse model of focal segmental glomerulosclerosis (Hu et al, 2022), highlighting possibilities for antifibrotic treatment. Selective PDE1 inhibition has emerged as a target for diseases related to VSMC and adventitial fibroblasts (Zhou et al, 2010; Yan, 2015; Roks, 2022). Genetic knockout of PDE1C or inhibition of PDE1 with IC86340 attenuated injury-induced neointima formation. However, the mechanism of action of cGMP is unclear given that unlike cAMP (see above), PKG does not regulate platelet-derived growth factor receptor β (Cai et al, 2015). Similar to PDE3 inhibition, the development of PDE1 and PDE5 inhibitors as clinical drugs against in-stent restenosis night prove complicated, whereas attenuation of vascular aging might be a possible indication. Indeed, in a mouse model of accelerated aging, chronic sildenafil treatment significantly improved vasomotor function (Golshiri et al, 2020).\nWith respect to aneurysms, several cases of aortic dissection or subarachnoid hemorrhage have been reported in patients with erectile function taking sildenafil. Although this was attributable to an effect on VSMC, mechanistic evidence has not been reported (Edwin et al, 2009; Tiryakioglu et al, 2009; De-Giorgio et al, 2011). It is also unclear if the protective effect of PDE1 inhibition against arterial wall thinning described above for cAMP also involves cGMP (Zhang et al, 2021). Currently, it is not understood how both cyclic nucleotides interact to regulate arterial wall thickening (neointima formation) and thinning (aneurysms).\nPDE2 inhibition was shown to unmask or improve cAMP-mediated relaxation of the pulmonary artery and aorta of rats exposed to hypoxia to induce pulmonary hypertension (Bubb et al, 2014). PDE3A is known to be involved in brachydactyly short stature-hypertension, a rare inherited disease also known as Bilginturan syndrome (Bilginturan et al, 1973). Due to a diverse pallet of gain-of-function mutations in these patients, PDE3A activity in VSMC increases, causing hypertension (Ercu et al, 2023). Patients respond to most standard antihypertensive treatments, except for inhibitors of the renin-angiotensin system because this system is not activated. Left untreated, patients die from stroke at around the age of 50 years. Due to the detrimental cardiac effects, chronic PDE3 inhibition is not considered to be a logical alternative when standard antihypertensive treatment is effective.\nTogether with PDE10A, PDE3A is a target for papaverine (Li et al, 2023), a drug used to stop vasospasms in claudication. Based on their vasodilator and antithrombotic actions, the PDE3 inhibitors, cilostazol, and milrinone, are prescribed for intermittent claudication; their potential utility in vasospasm after cerebral hemorrhage is under clinical evaluation (Saber et al, 2018; Lakhal et al, 2021).\nPDE5 inhibition has been considered to improve clinical outcomes after stroke. A meta-analysis of oral sildenafil effects after subarachnoid hemorrhage suggested improved long-term anatomical and functional outcomes (Faropoulos et al, 2023). This is in contradiction with the alleged increased risk for stroke observed in patients with erectile dysfunction mentioned above. Explorative pharmacoepidemiological research might be necessary before initiating an intervention study.\nIn rats, under normoxic conditions, relaxations of the pulmonary artery induced by atrial natriuretic peptide (ANP) and NO are modified by the cAMP-PDE PDE2, whereas this was restricted to ANP in vessels harvested from hypoxic animals (Bubb et al, 2014). In the aorta, PDE2 inhibition increased NO-mediated relaxation, and this was also lost after exposure to hypoxia. Thus, the regulation of ANP/pGC/cGMP signaling by PDE2 present under healthy conditions appears to depend on the type of blood vessels or, perhaps, the hemodynamic conditions to which it is exposed. Hypoxia is known to promote vasoconstriction (Haynes et al, 1996), and apparently, this centers around the regulation of particulate guanylyl cyclase-generated cGMP. The NO/sGC/cGMP regulation by PDE2 is abolished by hypoxia. Almost complete loss of PDE2 transcripts and protein was observed after hypoxia, whereas paradoxically cytosolic PDE2 activity was still measurable (Bubb et al, 2014). Perhaps, a differential involvement of membrane-versus cytosolic-located PDE2 might explain this discrepancy. Microdomain regulation of PDE2 has been demonstrated in myocardial cells (Castro et al, 2006) and in stellate neurons of spontaneously hypertensive rats (Li et al, 2022) but remains to be elucidated in vascular cells.\nThe role of PDE1 and PDE5 in blood pressure and vasomotor function has been well investigated, has been comprehensively reviewed recently (Roks, 2022), and is summarized here. Although PDE1 is Ca2+/CaM-dependent, PDE5 is activated by PKA- and PKG-mediated phosphorylation. Activation of PDE5 is cGMP-dependent and suppressed by NO inhibition (Wyatt et al, 1998; Teixeira et al, 2006). In contrast to PDE5, PDE1 has cAMP-metabolizing activity (Francis et al, 2011). Thus, PDE1 and PDE5 are, respectively, active under contractile and relaxing conditions, and their (patho)physiological roles can therefore be expected to differ significantly.\nVarious genetic models implicated PDE1A in VSMC myosin-actin regulation, which involves myosin light chain kinase phosphorylation, and blood pressure (Nagel et al, 2006; Wang et al, 2017b). In contrast, Pde1c deletion has no blood pressure effect in young adult mice (Ahmad et al, 2015; Knight et al, 2016; Zhang et al, 2018b). PDE1 or PDE5 inhibition leads to modest blood pressure lowering in healthy animals and humans (Herrmann et al, 2000; Miller et al, 2009; Laursen et al, 2017; Hashimoto et al, 2018; Dey et al, 2020; Gilotra et al, 2021; Jüttner et al, 2022). The PDE1-selective inhibitors, Lu AF41228 and Lu AF58027, produced concentration-related relaxations of isolated rat mesenteric arteries in an NO- and cAMP-dependent manner (Laursen et al, 2017). The PDE1 inhibitor, lenrispodun, improved NO-mediated vasodilation and appears to be dominant over PDE5 inhibition in mouse aorta with aged VSMC (Ataei Ataabadi et al, 2021).\nIn physiological versus pathological conditions, expressions of PDE1 and PDE5 are differentially affected (Yan et al, 1996; Rybalkin et al, 1997; Rybalkin et al, 2002; Chen et al, 2018; Zhang et al, 2021). Recently, it was found that in the aorta of mice with aged VSMC, PDE1, rather than PDE5, impairs NO-cGMP-mediated signaling (Ataei Ataabadi et al, 2021). When NO-cGMP-PKG signaling is optimal, PDE5 represents a negative feedback mechanism to oppose relaxation. Conversely, under disease conditions where NO-cGMP signaling is lowered and Ca2+-induced constriction may be increased, PDE1 may further augment Ca2+ sensitivity by inactivating cGMP and cAMP. Thus, PDE1 appears to be the disease associated with PDE in VSMC (Roks, 2022). Indeed, in mouse models of accelerated aging, lenrispodun countered vascular aging more effectively than sildenafil (Golshiri et al, 2020; Golshiri et al, 2021b). In addition, PDE1, but not PDE5, appears to play a role in the regulation of vascular smooth muscle cell senescence (Bautista Niño et al, 2015; Zhang et al, 2021). PDE5 expression was reduced in in vitro aged VSMC (Wyatt et al, 1998), whereas PDE1 levels were increased in senescent human VSMC, aged mouse aorta, and VSMC of mouse aortic aneurysms (Bautista Niño et al, 2015; Zhang et al, 2021). In addition, PDE1 inhibition attenuated VSMC senescence (Bautista Niño et al, 2015; Zhang et al, 2021). This effect might be explained by the cAMP-mediated activation of sirtuin-1, which is important in nutrient sensing—energy metabolism, during PDE1 inhibition (Zhang et al, 2021). The role of cGMP still needs to be further interrogated especially given that soluble guanylyl cyclase activators have antisenescent effects in the aorta of mice with accelerated aging (Ataei Ataabadi et al, 2022). These observations for PDE1 versus PDE5 lead to a paradigm shift in their role in healthy and aged vascular tissue.\nOf potential clinical relevance are epidemiological studies that have found single nucleotide polymorphisms (SNPs) in the PDE1A gene that are associated with diastolic blood pressure, mean arterial pressure, and common carotid intimamedia thickness (Tragante et al, 2014; Bautista Niño et al, 2015). PDE1C polymorphisms were not associated with vascular aging variables. It is unknown if this is due to the lack of functional mutations. Further discussion can be found elsewhere (Golshiri et al, 2019; Ataei Ataabadi et al, 2020; Roks, 2022).\nPDE1 has also been proposed to play a role in nitrate tolerance during treatment of recurrent angina pectoris (Kim et al, 2001). However, these experiments employed vinpocetine, which is not selective for PDE1 (Dunkern and Hatzelmann, 2007). The role of PDE1 in vasodilation or blood pressure regulation, specifically in relation to cAMP, remains unclear. The distinct impact of PDE1 inhibition on blood pressure may be attributed to the opposing effects of vasorelaxation and positive inotropy (Gilotra et al, 2021). In conclusion, the balance of evidence suggests that inhibition of PDE1 or PDE5 may not be the optimal approach to treat hypertension. Nevertheless, the role of these PDEs in aging-related loss of vasodilation capacity warrants further inspection.\n\n\n### Remodeling effects through cAMP\nAntiproliferative effects in VSMC have been described for cAMP. Genetic knockout of PDE1C attenuates injury-induced neointima formation, involving cAMP/PKA and platelet-derived growth factor receptor β (Cai et al, 2015). Furthermore, PDE1C was shown to be involved in VSMC migration through a concerted interplay between adenylate cyclase 8 and orai1 Ca2+ channels (Brzezinska and Maurice, 2019; Brzezinska et al, 2021). PDE3 inhibition decreased neointima formation after arterial injury in rats (Indolfi et al, 1997; Ishizaka et al, 1999; Inoue et al, 2000) but had no effect on atherosclerosis in ApoE-KO mouse (Umebayashi et al, 2018). Further development as an antirestenosis therapy has not been pursued, possibly due to competition of cytostatin-eluting stents. Nevertheless, vascular aging-related intimal thickening and arterial stiffening might be considered as a future application.\nAneurysm formation is a disease with often dramatic consequences. Early investigations demonstrated that theophylline, a nonselective PDE inhibitor, induces aneurysms in chick embryos (Gilbert et al, 1977). In contrast, deletion of Pde1c and inhibition of PDE1, PDE3, or PDE4 with IC86340, cilostazol, or rolipram, respectively, were shown to be protective in abdominal aneurysm models (Zhang et al, 2011b; Umebayashi et al, 2018; Varona et al, 2021; Zhang et al, 2021; Gao et al, 2022). Cilostazol effects were associated with reduced inflammation, ROS levels, and matrix metalloproteinases 2 and 9 levels (Zhang et al, 2011b; Umebayashi et al, 2018). Of note, furthermore, it remains unclear if rolipram mediates its effects by inhibiting PDE4B in infiltrating inflammatory cells or PDE4D in VSMC (Varona et al, 2021; Gao et al, 2022). In summary, inhibition of cAMP-PDEs is a viable concept for the prevention of aneurysms.\n\n\n### Remodeling effects through cGMP\nDual PDE1/PDE5 inhibition with SCH51866 had an antiplatelet and antihypertrophic effect in a hypertensive rat angioplasty model, whereas the selective PDE5 inhibitor, E4021, only decreased platelet adhesion (Vemulapalli et al, 1996). Zaprinast, which also targets PDE9 and 11, was reported to reduce neointima formation (Keswani et al, 2009). Vardenafil inhibited fibroblasts-to-myofibroblast transdifferentiation in a mouse model of focal segmental glomerulosclerosis (Hu et al, 2022), highlighting possibilities for antifibrotic treatment. Selective PDE1 inhibition has emerged as a target for diseases related to VSMC and adventitial fibroblasts (Zhou et al, 2010; Yan, 2015; Roks, 2022). Genetic knockout of PDE1C or inhibition of PDE1 with IC86340 attenuated injury-induced neointima formation. However, the mechanism of action of cGMP is unclear given that unlike cAMP (see above), PKG does not regulate platelet-derived growth factor receptor β (Cai et al, 2015). Similar to PDE3 inhibition, the development of PDE1 and PDE5 inhibitors as clinical drugs against in-stent restenosis night prove complicated, whereas attenuation of vascular aging might be a possible indication. Indeed, in a mouse model of accelerated aging, chronic sildenafil treatment significantly improved vasomotor function (Golshiri et al, 2020).\nWith respect to aneurysms, several cases of aortic dissection or subarachnoid hemorrhage have been reported in patients with erectile function taking sildenafil. Although this was attributable to an effect on VSMC, mechanistic evidence has not been reported (Edwin et al, 2009; Tiryakioglu et al, 2009; De-Giorgio et al, 2011). It is also unclear if the protective effect of PDE1 inhibition against arterial wall thinning described above for cAMP also involves cGMP (Zhang et al, 2021). Currently, it is not understood how both cyclic nucleotides interact to regulate arterial wall thickening (neointima formation) and thinning (aneurysms).\n\n\n### Regulation of vascular tone by cAMP\nPDE2 inhibition was shown to unmask or improve cAMP-mediated relaxation of the pulmonary artery and aorta of rats exposed to hypoxia to induce pulmonary hypertension (Bubb et al, 2014). PDE3A is known to be involved in brachydactyly short stature-hypertension, a rare inherited disease also known as Bilginturan syndrome (Bilginturan et al, 1973). Due to a diverse pallet of gain-of-function mutations in these patients, PDE3A activity in VSMC increases, causing hypertension (Ercu et al, 2023). Patients respond to most standard antihypertensive treatments, except for inhibitors of the renin-angiotensin system because this system is not activated. Left untreated, patients die from stroke at around the age of 50 years. Due to the detrimental cardiac effects, chronic PDE3 inhibition is not considered to be a logical alternative when standard antihypertensive treatment is effective.\nTogether with PDE10A, PDE3A is a target for papaverine (Li et al, 2023), a drug used to stop vasospasms in claudication. Based on their vasodilator and antithrombotic actions, the PDE3 inhibitors, cilostazol, and milrinone, are prescribed for intermittent claudication; their potential utility in vasospasm after cerebral hemorrhage is under clinical evaluation (Saber et al, 2018; Lakhal et al, 2021).\n\n\n### Regulation of vascular tone by cGMP\nPDE5 inhibition has been considered to improve clinical outcomes after stroke. A meta-analysis of oral sildenafil effects after subarachnoid hemorrhage suggested improved long-term anatomical and functional outcomes (Faropoulos et al, 2023). This is in contradiction with the alleged increased risk for stroke observed in patients with erectile dysfunction mentioned above. Explorative pharmacoepidemiological research might be necessary before initiating an intervention study.\nIn rats, under normoxic conditions, relaxations of the pulmonary artery induced by atrial natriuretic peptide (ANP) and NO are modified by the cAMP-PDE PDE2, whereas this was restricted to ANP in vessels harvested from hypoxic animals (Bubb et al, 2014). In the aorta, PDE2 inhibition increased NO-mediated relaxation, and this was also lost after exposure to hypoxia. Thus, the regulation of ANP/pGC/cGMP signaling by PDE2 present under healthy conditions appears to depend on the type of blood vessels or, perhaps, the hemodynamic conditions to which it is exposed. Hypoxia is known to promote vasoconstriction (Haynes et al, 1996), and apparently, this centers around the regulation of particulate guanylyl cyclase-generated cGMP. The NO/sGC/cGMP regulation by PDE2 is abolished by hypoxia. Almost complete loss of PDE2 transcripts and protein was observed after hypoxia, whereas paradoxically cytosolic PDE2 activity was still measurable (Bubb et al, 2014). Perhaps, a differential involvement of membrane-versus cytosolic-located PDE2 might explain this discrepancy. Microdomain regulation of PDE2 has been demonstrated in myocardial cells (Castro et al, 2006) and in stellate neurons of spontaneously hypertensive rats (Li et al, 2022) but remains to be elucidated in vascular cells.\nThe role of PDE1 and PDE5 in blood pressure and vasomotor function has been well investigated, has been comprehensively reviewed recently (Roks, 2022), and is summarized here. Although PDE1 is Ca2+/CaM-dependent, PDE5 is activated by PKA- and PKG-mediated phosphorylation. Activation of PDE5 is cGMP-dependent and suppressed by NO inhibition (Wyatt et al, 1998; Teixeira et al, 2006). In contrast to PDE5, PDE1 has cAMP-metabolizing activity (Francis et al, 2011). Thus, PDE1 and PDE5 are, respectively, active under contractile and relaxing conditions, and their (patho)physiological roles can therefore be expected to differ significantly.\nVarious genetic models implicated PDE1A in VSMC myosin-actin regulation, which involves myosin light chain kinase phosphorylation, and blood pressure (Nagel et al, 2006; Wang et al, 2017b). In contrast, Pde1c deletion has no blood pressure effect in young adult mice (Ahmad et al, 2015; Knight et al, 2016; Zhang et al, 2018b). PDE1 or PDE5 inhibition leads to modest blood pressure lowering in healthy animals and humans (Herrmann et al, 2000; Miller et al, 2009; Laursen et al, 2017; Hashimoto et al, 2018; Dey et al, 2020; Gilotra et al, 2021; Jüttner et al, 2022). The PDE1-selective inhibitors, Lu AF41228 and Lu AF58027, produced concentration-related relaxations of isolated rat mesenteric arteries in an NO- and cAMP-dependent manner (Laursen et al, 2017). The PDE1 inhibitor, lenrispodun, improved NO-mediated vasodilation and appears to be dominant over PDE5 inhibition in mouse aorta with aged VSMC (Ataei Ataabadi et al, 2021).\nIn physiological versus pathological conditions, expressions of PDE1 and PDE5 are differentially affected (Yan et al, 1996; Rybalkin et al, 1997; Rybalkin et al, 2002; Chen et al, 2018; Zhang et al, 2021). Recently, it was found that in the aorta of mice with aged VSMC, PDE1, rather than PDE5, impairs NO-cGMP-mediated signaling (Ataei Ataabadi et al, 2021). When NO-cGMP-PKG signaling is optimal, PDE5 represents a negative feedback mechanism to oppose relaxation. Conversely, under disease conditions where NO-cGMP signaling is lowered and Ca2+-induced constriction may be increased, PDE1 may further augment Ca2+ sensitivity by inactivating cGMP and cAMP. Thus, PDE1 appears to be the disease associated with PDE in VSMC (Roks, 2022). Indeed, in mouse models of accelerated aging, lenrispodun countered vascular aging more effectively than sildenafil (Golshiri et al, 2020; Golshiri et al, 2021b). In addition, PDE1, but not PDE5, appears to play a role in the regulation of vascular smooth muscle cell senescence (Bautista Niño et al, 2015; Zhang et al, 2021). PDE5 expression was reduced in in vitro aged VSMC (Wyatt et al, 1998), whereas PDE1 levels were increased in senescent human VSMC, aged mouse aorta, and VSMC of mouse aortic aneurysms (Bautista Niño et al, 2015; Zhang et al, 2021). In addition, PDE1 inhibition attenuated VSMC senescence (Bautista Niño et al, 2015; Zhang et al, 2021). This effect might be explained by the cAMP-mediated activation of sirtuin-1, which is important in nutrient sensing—energy metabolism, during PDE1 inhibition (Zhang et al, 2021). The role of cGMP still needs to be further interrogated especially given that soluble guanylyl cyclase activators have antisenescent effects in the aorta of mice with accelerated aging (Ataei Ataabadi et al, 2022). These observations for PDE1 versus PDE5 lead to a paradigm shift in their role in healthy and aged vascular tissue.\nOf potential clinical relevance are epidemiological studies that have found single nucleotide polymorphisms (SNPs) in the PDE1A gene that are associated with diastolic blood pressure, mean arterial pressure, and common carotid intimamedia thickness (Tragante et al, 2014; Bautista Niño et al, 2015). PDE1C polymorphisms were not associated with vascular aging variables. It is unknown if this is due to the lack of functional mutations. Further discussion can be found elsewhere (Golshiri et al, 2019; Ataei Ataabadi et al, 2020; Roks, 2022).\nPDE1 has also been proposed to play a role in nitrate tolerance during treatment of recurrent angina pectoris (Kim et al, 2001). However, these experiments employed vinpocetine, which is not selective for PDE1 (Dunkern and Hatzelmann, 2007). The role of PDE1 in vasodilation or blood pressure regulation, specifically in relation to cAMP, remains unclear. The distinct impact of PDE1 inhibition on blood pressure may be attributed to the opposing effects of vasorelaxation and positive inotropy (Gilotra et al, 2021). In conclusion, the balance of evidence suggests that inhibition of PDE1 or PDE5 may not be the optimal approach to treat hypertension. Nevertheless, the role of these PDEs in aging-related loss of vasodilation capacity warrants further inspection.\n\n\n### PDE inhibitions for pulmonary diseases\nPDE inhibition is a prominent target in pulmonary disease. The groups of pulmonary diseases that are targeted for PDE intervention are diverse, involving different etiologies that implicate pulmonary, vascular, and inflammatory cell types, and the cardiovascular system. It comprises pulmonary hypertension, pulmonary fibrosis, chronic obstructive pulmonary disease (COPD), and asthma. These diseases will now be reviewed in this order.\nPH is a debilitating and potentially fatal cardiovascular disorder (Schermuly et al, 2011) in which PDEs play a pivotal role (Ahmad et al, 2015). This section explores the diverse roles of PDEs in the pathogenesis and treatment of PH.\nPH is a complex cardiovascular disorder characterized by elevated pulmonary arterial pressure (Schermuly et al, 2011). It increases afterload on the cardiac right ventricle (RV). If left untreated, it can result in right ventricular dysfunction and ultimately HF (Schermuly et al, 2011). The adaptation of the RV to the increased afterload is crucial for survival (Tello et al, 2023). PH can be classified into 5 main groups, each with distinct etiologies and pathophysiological mechanisms (Humbert et al, 2022).\nPulmonary arterial hypertension (PAH; group 1) is the best-known subtype and is characterized by pathological changes in the small pulmonary arteries. Changes include vasoconstriction, vascular remodeling, and endothelial dysfunction (Schermuly et al, 2011). PAH is often idiopathic but can also be caused by connective tissue diseases, congenital heart diseases, or chemical poisoning (D'Alto and Mahadevan, 2012; Montani et al, 2013; Zanatta et al, 2019). Mutations in the BMPR2 and other genes have been implicated in the development of heritable PAH (Evans et al, 2016; Morrell et al, 2019).\nPH associated with left-sided heart diseases such as HF, valvular diseases, or LV dysfunction is classed as group 2 PH (Vachiery et al, 2019). Increased left atrial pressure is transmitted backward to the pulmonary circulation and can lead to pulmonary vascular abnormalities resulting in increased pulmonary vascular resistance (PVR; Rosenkranz et al, 2016).\nPH associated with lung diseases (particularly COPD and interstitial lung diseases) is classed as group 3 PH (Gredic et al, 2021; Humbert et al, 2022). Hypoxia and inflammation are key factors contributing to vascular changes in this group (Ye et al, 2023).\nChronic thromboembolic PH (Group 4) is a unique form of PH caused by chronic pulmonary thromboembolism, where blood clots obstruct the pulmonary arteries (Pepke-Zaba et al, 2017; Ghofrani et al, 2021). Although normally addressed with pulmonary thromboendarterectomy, some patients require additional therapy or lung transplantation (Ghofrani et al, 2021).\nPH with unclear and/or multifactorial mechanisms (group 5) encompasses a heterogeneous collection of PH conditions that result from hematological or systemic disorders or that have no clear cause (Lahm and Chakinala, 2013; Al-Qadi et al, 2020).\nOne of the hallmark features of PH is increased pulmonary vasoconstriction and endothelial dysfunction (Evans et al, 2021; Kurakula et al, 2021; Hopkins and Stickland, 2023). Endothelial dysfunction disrupts the balance between vasodilators (eg, NO and prostacyclin) and vasoconstrictors (eg, endothelin-1, 5-hydroxytryptamine, and thromboxane; Huertas et al, 2018). Endothelin-1, in particular, plays a central role in promoting vasoconstriction and vascular remodeling in PH, both of which increase PVR (Chester and Yacoub, 2014).\nVascular remodeling in PH involves thickening of the pulmonary artery walls due to cellular proliferation and hypertrophy (Shimoda and Laurie, 2013; Leopold and Maron, 2016; Shimoda, 2020), involving all layers. This structural alteration narrows the vascular lumen. Endothelial dysfunction contributes to inflammation and thrombosis within the pulmonary arteries (Evans et al, 2021; Kurakula et al, 2021). Chronic inflammation is increasingly recognized as a key player in the pathogenesis of PH, especially in groups 3 and 5 (Frid et al, 2020; Yoo and Marin, 2022). Inflammatory cells, growth factors, cytokines, and signaling pathways such as the platelet-derived growth factor-β pathway are implicated in the vascular remodeling that increases PVR (Leopold and Maron, 2016; Shimoda, 2020; Liu et al, 2022; Wang et al, 2022).\nUnderstanding the pathophysiology of PH is crucial for developing effective treatments. This section will further delve into the role of PDEs in the multiple pathways and mechanisms that contribute to and serve as therapeutic targets in PH.\nIn the context of PH, cAMP, and cGMP play a central role in regulating pulmonary vascular tone, cellular proliferation, and inflammation and are important downstream mediators of NO, natriuretic peptides, prostacyclin, and other hormones (Chen et al, 2013; Bobin et al, 2016). The cyclic nucleotides exert vasodilatory effects in the pulmonary circulation in the same manner as described in section Smooth Muscle Cells, Endothelial Cells, and PDEs for arteries in general (Lincoln and Cornwell, 1991; Ghofrani et al, 2002; Majed and Khalil, 2012; Bobin et al, 2016; Klinger and Kadowitz, 2017). Furthermore, inhibition of VSMC proliferation by cAMP is critical in vascular remodeling seen in PH (Growcott et al, 2006). cGMP inhibits platelet activation and aggregation, further preventing thrombosis in the pulmonary arteries, a common complication of PH (Wen et al, 2018; Degjoni et al, 2022). In PH, reduced levels of cAMP and cGMP due to increased PDE activity contribute to enhanced vasoconstriction, abnormal cellular proliferation, and inflammation, all of which are hallmark features of the disease (Muraki et al, 2019; Bubb et al, 2014). Hence, targeting PDEs to restore cyclic nucleotide levels represents a promising therapeutic approach in PH (Wilkins et al, 2008). The next section reviews the role of PDE subtypes and their potential as drug targets in PH.\nPDE3 plays a pivotal role in vascular tone regulation and cell proliferation in PH via cAMP (Tilley and Maurice, 2002; Thelitz et al, 2004; Chen et al, 2009a). PDE3 counteracts vasodilation, contributing to vasoconstriction and increased PVR (Jeffery and Wanstall, 1998; Busch et al, 2010; Dillard et al, 2020). By blocking PDE3 activity, the levels of cAMP are preserved, leading to enhanced vasodilation and inhibition of VSMC proliferation (Murray et al, 2002; Dony et al, 2008). PDE3 inhibitors such as milrinone and cilostazol have shown promise in PH in experimental models and early phase clinical trials (Chen et al, 1997; James et al, 2016). Milrinone, originally developed as an inotropic agent for heart failure, has been repurposed for PH therapy (Bassler et al, 2006; James et al, 2016). However, its use is limited by its short half-life and the need for continuous intravenous infusion. Cilostazol is used primarily for its antiplatelet and vasodilatory effects in peripheral arterial disease (Manolis et al, 2022). Some studies have explored its potential in PH (Chang et al, 2008; Ito et al, 2021), but more research on its efficacy and safety in patients with PH is required.\nPDE4 has been implicated in the pathophysiology of PH (Dony et al, 2008; Izikki et al, 2009). One of the distinguishing features of PH is chronic inflammation within the pulmonary vasculature (Pugliese et al, 2015). In this context, PDE4 plays a crucial role (Li et al, 2018). PDE4 isoforms are abundantly expressed in various immune cells, including macrophages and lymphocytes (Schick and Schlegel, 2022). Reduced cAMP levels result in heightened inflammation and immune cell activation (Raker et al, 2016), making PDE4 inhibitors as potential therapeutic agents in PH (Du et al, 2023). PDE4 inhibition increases intracellular cAMP levels in immune cells, leading to the downregulation of proinflammatory cytokines and reduced immune cell activation (Li et al, 2018). This can complement the effects of existing PH therapies that primarily focus on vasodilation and vascular remodeling (Meloche et al, 2013). PDE4 inhibitors have been explored in experimental PH (Izikki et al, 2009) which improves pulmonary hemodynamics, reduces vascular remodeling, and attenuates inflammation (De Franceschi et al, 2008; Izikki et al, 2009; Seimetz et al, 2015). PDE4 inhibitors require careful dosing to avoid gastrointestinal side effects (Kumar et al, 2013; Li et al, 2018). Therefore, challenges remain in optimizing dosing regimens, addressing potential side effects, and conducting larger-scale clinical trials to establish safety and efficacy in patients with PH (Fig. 13).Fig. 13PDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE5 is particularly significant in the pathophysiology and treatment of PH (Barnes et al, 2019). PDE5 is highly expressed in the pulmonary vasculature, making it a central player in regulating cGMP levels in the lung (Wilkins et al, 2008; Tang et al, 2017). By hydrolyzing cGMP, PDE5 contributes to the vasoconstriction and vascular remodeling seen in PH (Chen et al, 2013; Tang et al, 2017). PDE5 is strongly upregulated in the medial layer of the lungs (Wharton et al, 2005) as well as in the hypertrophied RV of patients with PAH (Nagendran et al, 2007). Sildenafil (Revatio) and tadalafil (Adcirca) have proven their efficacy in placebo-controlled multicenter clinical trials (Ghofrani et al, 2004a; Galie et al, 2005; Galie et al, 2009; Montani et al, 2009; Barnes et al, 2019), improving exercise capacity, hemodynamics, and quality of life (Michelakis et al, 2003; Ghofrani et al, 2004b; Pepke-Zaba et al, 2008). Tadalafil, with its longer half-life (Forgue et al, 2006), offers the convenience of once-daily dosing. Some patients may develop resistance or suboptimal responses to PDE5 inhibitors over time (Unegbu et al, 2017; Barnes et al, 2019; Garcia et al, 2023), and research to enhance their effectiveness is ongoing. Combination therapy with other PH-targeted agents, such as prostacyclin analogs or endothelin receptor antagonists, is being investigated to address the multifactorial nature of PH and provide a more comprehensive treatment strategy (Humbert and Ghofrani, 2016). In this regard, it was shown experimentally that subthreshold doses of specific PDE inhibitors enhanced the pulmonary vasodilatory response to nebulized prostanoids (Schermuly et al, 1999; Schermuly et al, 2001). Clinically, PDE inhibition by sildenafil (Ghofrani et al, 2003) or the PDE3/4 dual-selective inhibitor tolafentrine (Ghofrani et al, 2002) amplified the pulmonary vasodilatory response to the inhaled prostacyclin analog iloprost and provided the basis for the implementation of combination therapy for PAH. This combination strategy aims to address vasoconstriction, vascular remodeling, inflammation, and maintenance of gas exchange (Ruopp and Cockrill, 2022). The combination of the PDE5 inhibitors sildenafil or tadalafil with endothelin receptor antagonists and/or prostacyclin analogs is the gold standard for the treatment of PAH and is included in the European PH treatment guidelines (Humbert et al, 2022).\nAdvantages of PDE5 inhibition in PH management include oral administration, relatively few side effects, and improvements in exercise capacity and quality of life (Buckley et al, 2010). Limitations include response variability (patient and PH subtype-dependent), the potential for drug interactions, and the need for careful monitoring of adverse effects, such as hypotension and visual disturbances (Rashid, 2005). Patient stratification based on underlying causes and pathophysiology is therefore very important (Humbert et al, 2022).\nOngoing research is exploring novel PDE5 inhibitors, alternative dosing regimens, and innovative drug delivery methods (Rashid et al, 2017). Furthermore, a deeper understanding of the heterogeneity of PH, clinical presentation, and the genetic factors influencing PDE5 responsiveness is guiding personalized treatment approaches (Savale et al, 2018; Wilkins, 2021). Also, challenges in combination therapy are being addressed (Lajoie et al, 2017; Dos Santos Fernandes et al, 2017; Burks et al, 2018), as well as interactions with drugs given for other indications (Dos Santos Fernandes et al, 2017; Lajoie et al, 2017).\nPDE1 isoforms have garnered attention for their involvement in PH pathogenesis (Schermuly et al, 2007). Elevated PDE1 activity has been observed in PH in animal models and patients (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). This heightened activity leads to reduced levels of both cAMP and cGMP, contributing to vasoconstriction, enhanced proliferation of VSMCs, and inflammation (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). Importantly, the breakdown of the second messengers limits the efficacy of prostacyclin and NO. By blocking PDE1 activity, it is possible to increase intracellular levels of cAMP and cGMP, promoting vasodilation and inhibiting VSMC proliferation (Murray et al, 2007; Schermuly et al, 2007). In experimental models of PH PDE1 inhibitors improved pulmonary hemodynamics, reduced PVR, and attenuated vascular remodeling (Evgenov et al, 2006; Schermuly et al, 2007; Crosswhite and Sun, 2013). These findings support the idea that PDE1 inhibitors could be a valuable addition to the PH treatment arsenal (Fig. 13).\nAlthough less extensively studied than other PDE isoforms in PH, cellular and functional studies have shown that PDE2 inhibition elicits pulmonary vasodilation, prevents pulmonary vascular remodeling, and reduces right ventricular hypertrophy in experimental PH (Bubb et al, 2014). As PDE2 is also highly expressed in the failing heart (Bobin et al, 2016), further investigations into the mechanisms and effects of PDE2 dysregulation in the RV could offer valuable insights for the development of novel treatment strategies aimed at restoring cyclic nucleotide balance and ameliorating the vascular abnormalities associated with this debilitating disease.\nPDE10 is present in the pulmonary vasculature (Tian et al, 2011). In experimental models of PH, PDE10 inhibitors have been shown to increase cAMP levels, promote vasodilation, and reduce pulmonary vascular remodeling (Huang et al, 2019b; Tian et al, 2011). These findings suggest that PDE10 inhibition could offer a novel therapeutic approach for PH. The translation of preclinical findings into clinical applications is an ongoing process. The long-term safety and tolerability of PDE10 inhibitors need to be thoroughly evaluated in clinical trials, particularly considering the strong expression of PDE10 in the brain. Clinical trials evaluating the safety and efficacy of PDE10 inhibitors in schizophrenia are underway and may provide relevant information to guide clinical development in PH.\nProgressive pulmonary fibrosis (PPF) and idiopathic pulmonary fibrosis (IPF) are interstitial lung diseases (ILDs) of known and unknown origin, respectively, and are characterized by progressive fibrosis of the pulmonary interstitium leading to an impairment of lung function and finally to death (Raghu et al, 2014; Cottin et al, 2019; Kolb and Vasakova, 2019; Raghu et al, 2022). Up to 40% of patients with ILDs may develop a progressing fibrotic phenotype, which is associated with high mortality, with median postdiagnosis survival in patients with IPF estimated at 2–5 years (Raghu et al, 2014). Progression of fibrosing ILD is reflected especially in a decline in pulmonary function, decrease in exercise capacity, deterioration in the quality of life, worsening of cough and dyspnea, acute exacerbations, and increase of morphologic abnormalities (Cottin et al, 2019; Kolb and Vasakova, 2019). In patients with IPF, a decline of forced vital capacity (FVC), the maximum amount of air one can forcibly exhale from the lungs after fully inhaling, is a well established predictor of mortality, and some blood biomarkers including the pneumyocyte type 2-regeneration marker KL-6, surfactant protein (SP)-D and extracellular matrix remodeling enzyme matrix metalloproteinase (MMP)-7 have been shown to be prognostic for disease progression (Karampitsakos et al, 2023). Currently, the only approved treatments to slow disease progression in IPF are nintedanib, a tyrosine kinase inhibitor, which is also indicated for PF-ILD, and pirfenidone, a pyridone with an unknown mechanism of action (Richeldi et al, 2018). However, the medical need for IPF and other progressive fibrosing ILDs remains high, with lung transplantation representing the only potentially curative treatment for IPF.\nWith respect to IPF pathophysiology, there has been a paradigm shift in recent years from a chronic inflammatory disorder to a primarily fibrotic disease. The current hypothesis of disease pathogenesis involves sustained alveolar epithelial microinjury, followed by a disordered repair, and wound healing response. This is characterized by uncontrolled activation of lung fibroblasts and differentiation to myofibroblasts, resulting in excessive extracellular matrix deposition and scarring of lung parenchyma, leading to loss of pulmonary function (Sgalla et al, 2018; Spagnolo et al, 2018). The wound-healing process includes an inflammatory phase, with the involvement of inflammatory cells and increased levels of cytokines and growth factors, creating a biochemical environment supporting chronic tissue remodeling. Nintedanib and pirfenidone have displayed antifibrotic and anti-inflammatory activity (Heukels et al, 2019) but slowed down the decline in FVC. Both compounds evoke significant side effects, leaving room for better-tolerated and efficacious medication. PDE4 inhibition offers this via anti-inflammatory and antifibrotic effects of cAMP (Richeldi et al, 2022). Increase in cGMP levels by inhibition of PDE5 is ineffective, eg, when sildenafil is given on top of nintedanib, in IPF (Kolb et al, 2018).\nIn pulmonary fibrosis (PF), the possible application of PDE targeting is centered around PDE4. Very scarce evidence is available with respect to other PDEs, although PDE1, PDE5, and PDE9 have been mentioned as possible targets (Yildirim et al, 2010; Ren et al, 2017; Wu et al, 2020; Balaha et al, 2023). PDE4 has traditionally been implicated in the regulation of inflammation and the modulation of immune-competent cells, and data for the 3 selective pan-PDE4 inhibitors (active on PDE4A-D) currently marketed (roflumilast, apremilast, and crisaborole) support a beneficial role for PDE4 inhibition in inflammatory and/or autoimmune diseases (Hatzelmann et al, 2010; Sakkas et al, 2017; Li et al, 2018).\nImportant for PF, in bleomycin-induced PF in rats, rolipram initially was shown to inhibit fibrotic score, the content of fibrosis marker hydroxyproline, and of the inflammatory marker, serum TNF-α (Pan et al, 2009). A second early study in mice and rats showed that oral roflumilast was active both in preventive and therapeutic protocols (Cortijo et al, 2009). Cilomilast was shown to inhibit late-stage lung fibrosis and tended to reduce collagen content in the mouse bleomycin model (Udalov et al, 2010). In a murine model of lung fibrosis targeting type II alveolar epithelial cells, roflumilast lowered lung hydroxyproline content and mRNA expression of TNF-α, fibronectin (FN), and connecting tissue growth factor (CTGF; Sisson et al, 2018). Again, roflumilast was active both in a preventive and therapeutic regimen, and under the latter conditions, it appeared to be therapeutically equieffective with pirfenidone and nintedanib. Furthermore, in a mouse model of chronic graft-versus-host disease, lung fibrosis was attenuated by roflumilast (Kim et al, 2016).\nPDE4 inhibitors might act indirectly via inhibition of proinflammatory cells (like alveolar macrophages) and their mediators and/or directly on fibrotic cell types. In human embryonal fibroblast models, PDE4 and prostaglandin E2 (PGE2), which increases cAMP, importantly interact: rolipram- and cilomilast-inhibited FN-induced chemotaxis and contraction of collagen gels, an effect that involved PGE2 (Kohyama et al, 2002). The inhibition of the fibroblast functions by cilomilast could be modulated by cytokines like IL-1ß or IL-4. In addition, TGF-ß1-stimulated FN release was inhibited by a PDE4 inhibitor, paralleled by stimulation of PGE2 release as a positive feedback mechanism (Togo et al, 2009). Roflumilast N-oxide, the active metabolite of roflumilast, in the presence of PGE2 was shown to inhibit intercellular adhesion molecule-1 and eotaxin release stimulated by TNFα, proliferation stimulated by basic fibroblast growth factor (bFGF) plus IL-1ß, as well as TGFß1-induced α-SMA, CTGF, and FN mRNA expression in the presence of IL-1ß (Sabatini et al, 2010). In normal human lung fibroblasts, TGF-β-induced fibroblast-to-myofibroblast conversion assessed by α-SMA expression was shown to be inhibited by piclamilast in the presence of PGE2 (Dunkern et al, 2007). In subsequent papers, the same investigators showed the inhibition of IL-1ß plus bFGF-stimulated fibroblast proliferation by piclamilast and the importance of COX-2 and PGE2 (Selige et al, 2010). The importance of a cAMP trigger for the modulation of fibroblast functions by PDE4 inhibition was corroborated by the inhibition by roflumilast of TGF-β1-induced CTGF mRNA and α-SMA protein expression, and FN in the presence of the long-acting β2-adrenoceptor agonist, indacaterol (Tannheimer et al, 2012). Moreover, the inhibition by rolipram of another interesting aspect of fibrosis, epithelial-mesenchymal transition, was shown in the TGF-ß1-stimulated A549 human alveolar epithelial cell line (Kolosionek et al, 2009). Thus, a multitude of in vitro studies indicate that PDE4 inhibitors can directly inhibit various cAMP-dependent fibroblast functions. Upregulation of PDE4 activity by cytokines such as IL-1β may further enhance this role (Fig. 13).\nThere is also evidence for the role of isoform-selective PDE4 inhibition. By using PDE4 subtype-specific siRNA, the involvement of PDE4B and PDE4A in the attenuation of IL-1ß plus bFGF-stimulated fibroblast proliferation, as well as the involvement of PDE4B and PDE4D in TGF-ß-induced α-SMA expression, was shown (Selige et al, 2011). In most of the fibrosis-relevant cell types, like fibroblasts, macrophages, and epithelial cells, the PDE4B seems to have a more prominent role than other PDE4 subtypes (Hatzelmann et al, 2010), which was confirmed by the inhibition of cytokine release, proliferation, fibroblast-to-myofibroblast transition, and expression of extracellular matrix proteins by BI 1015550 (nerandomilast), a preferential PDE4B inhibitor with 9-fold selectivity for PDE4B vs PDE4D (Herrmann et al, 2022). In a phase II study in IPF patients, BI 1015550, although showing acceptable tolerability and safety, stabilized lung function in both patients with and without antifibrotic background therapy over 12 weeks and reduced disease-relevant blood biomarkers indicative of effects on the epithelium, fibrosis, and inflammation (Richeldi et al, 2022). BI 1015550 is currently in phase III clinical studies for IPF and PPF (NCT05321069 and NCT05321082).\nAsthma is a pulmonary disease in which chronic inflammation plays a central role. Similarly, COPD is often associated with airway inflammation, although systemic manifestations are also commonplace. Although PDE inhibition is not a standard of clinical care for the treatment of either disorder, developments are ongoing that are largely centered around inhibitors of PDE4. Cigarette smoking is an important risk factor for asthma and COPD exacerbations and can increase the expression and function of certain PDE4 isoforms. For example, PDE4D mRNA abundance was significantly elevated in human airway smooth muscle (ASM) cells and precision-cut murine lung slices exposed acutely to cigarette smoke extract (Singh et al, 2009; Zuo et al, 2018). Moreover, an increase in PDE4A4 mRNA and catalytic activity was detected in macrophages harvested from the bronchoalveolar lavage (BAL) fluid of smoking individuals with COPD relative to control subjects (Barber et al, 2004). The physiological consequences of enhanced PDE4 activity are ill-defined. However, in obstructive lung diseases, one might predict that a noxious insult that lowers cAMP would enhance pulmonary inflammation, which could be rectified with a PDE4 inhibitor (Milara et al, 2012; Zuo et al, 2018). These findings may have clinical relevance, given that a genome-wide association study of a cohort of Korean individuals identified a SNP in PDE4D, rs16878037, which was significantly associated with a susceptibility to nonemphysematous COPD (Yoon et al, 2014). Differences in the expression of transcripts that encode other PDEs including PDE1A, PDE6A, PDE7A, and PDE11A have also been detected in nasal and bronchial epithelial cells obtained from current smokers when compared with never smokers (Zuo et al, 2020). These changes have not been verified at the protein level and the (patho)physiological relevance is, therefore, unclear. Still, Pde11a has been linked, genetically, to inflammatory pulmonary conditions including asthma and symptomatic tuberculosis (Witwicka et al, 2007; Bazhin et al, 2010; DeWan et al, 2010; Oki et al, 2011; Zhu et al, 2019b). In the sections that follow, the potential therapeutic utility, limitations, and challenges of developing inhibitors of PDE4 and other PDE subtypes for asthma and COPD are reviewed.\nAsthma afflicts >350 million people globally and represents one of the most common, noncommunicable diseases with a prevalence that is predicted to increase to 450 million by 2025 (Vos, 2017). Mortality from asthma is low, but the burden it inflicts on society is considerable in terms of morbidity, quality of life, and associated economic costs (Dharmage et al, 2019; Reddel et al, 2019). Asthma is a heterogeneous disease with many endotypes that do not respond equally to current drug interventions (Wenzel, 2012). In ∼50% of cases, asthma has an allergic basis that is characterized by recurrent airway obstruction, airway hyper-responsiveness, airway inflammation, and airway remodeling (Woodruff et al, 2009).\nDespite the heterogeneity of disease, treatment options for all patients with mild-to-moderate asthma are similar. The 2024 Global Initiative for Asthma treatment guidelines recommends that a combination of an inhaled corticosteroid (ICS) and the long-acting β2-adrenoceptor agonist (LABA), formoterol, is the “preferred” approach to provide as-needed relief of symptoms and maintenance control of the disease at all levels of severity (Reddel et al, 2019). Global Initiative for Asthma also advocates that a long-acting muscarinic receptor antagonist (LAMA) and/or biologicals be considered for the treatment of patients with severe disease in whom high-dose ICS/LABA combination therapy is suboptimal (Reddel et al, 2019). Regardless of these therapeutic approaches, many patients with severe asthma who suffer frequent exacerbations are still poorly controlled. In these difficult-to-treat cases, PDE inhibitors could prove to be beneficial as add-on therapies and remain in clinical development.\nCOPD is a leading cause of morbidity and mortality globally (Vogelmeier et al, 2017; Mirza et al, 2018; Reddel et al, 2019). According to the Global Initiative for Obstructive Lung Diseases (GOLD) guidelines, COPD is defined as “a common preventable and treatable disease” characterized by “persistent airflow limitation that is usually progressive and associated with an enhanced chronic inflammatory response in the airways and the lung to noxious particles and gases” (Vogelmeier et al, 2017; Mirza et al, 2018). Despite this definition, COPD is a generic term that describes a heterogeneity of endotypes (Miravitlles et al, 2013; Vestbo, 2014; Barnes, 2019) where chronic bronchitis, cough, idiopathic sputum production, airway wall thickening, mucus hypersecretion, and destruction of alveolar septa (ie, emphysema) are present to a greater or lesser extent (Barnes, 2004; Krzyzanowski et al, 2005; Barnes, 2008; McDonough et al, 2011); together, these pathologies contribute to the persistent, partially irreversible, and progressive decline in lung function that defines COPD (Postma and Timens, 2006; Hogg and Timens, 2009; van den Berge et al, 2011; Vogelmeier et al, 2017; Mirza et al, 2018). Due to high morbidity and mortality, COPD continues to impose a significant social and economic burden. Indeed, the number of deaths from COPD is projected to increase because of higher rates of cigarette smoking in the developing world and an aging global population in general (Vogelmeier et al, 2017; Mirza et al, 2018).\nTreatment of COPD is, for the most part, restricted to bronchodilators. A LABA or a LAMA, each taken as a monotherapy or in combination, are recommended options to provide symptomatic relief (Vogelmeier et al, 2017; Mirza et al, 2018). In patients with more severe disease, anti-inflammatory therapy is often indicated with an ICS and/or an oral PDE4 inhibitor (Vogelmeier et al, 2017; Mirza et al, 2018). The utility of a PDE4 inhibitor is restricted to a subgroup of patients with COPD of a severe, bronchitic, frequent exacerbator phenotype who are not well controlled despite ICS and bronchodilator therapy (Briggs et al, 2010; Hurst et al, 2010; Giembycz and Maurice, 2014; Giembycz and Newton, 2014; Maurice et al, 2014; Vogelmeier et al, 2017; Mirza et al, 2018). Exacerbations of COPD are a major clinical concern because they are difficult to control, contribute significantly to the decline in lung function, and are the major cause of premature mortality (Mallia and Johnston, 2006; Kurai et al, 2013; Viniol and Vogelmeier, 2018). Hence, reducing the risk of a COPD exacerbation represents a primary therapeutic objective. Exacerbations of COPD are often precipitated by a bacterial and/or viral infection and are, thus, believed to have an inflammatory basis (Mallia and Johnston, 2006; Kurai et al, 2013; Ni et al, 2015; Viniol and Vogelmeier, 2018). This may explain why ICS and PDE4 inhibitors can be of benefit in subjects with COPD in whom airways inflammation is discernible.\nPDE4 isoforms are expressed in most immune and structural cells of the airways and regulate many inflammatory processes (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). This realization led to the proposal in the late 1980s that PDE4 might represent a novel target for treating inflammatory diseases. A primary indication was asthma, and a huge effort ensued to rigorously define PDE4 as a viable therapeutic target (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). Despite initial optimism, the efficacy of PDE4 inhibitors as an asthma therapeutic has been uniformly disappointing, and most compounds selected for clinical development have been discontinued (Giembycz, 2008). The high rate of attrition is attributable to a low therapeutic ratio because of the inhibition of PDE4 in nontarget tissues with nausea and vomiting being the most severe, dose-limiting adverse effects. Thus, understanding the molecular basis of emesis became a priority. At that time, it was known that cAMP could enhance noradrenergic neuronal activity within the highly vascularized area postrema in the brainstem, which is linked, causally, to emesis (Carpenter et al, 1988). This was confirmed by delivering PDE4 inhibitors directly into the area postrema of ferrets by intracerebroventricular injection (Robichaud et al, 1999). Moreover, it was understood that PDE4 inhibitor-induced emesis is attenuated by the α2-adrenoceptor agonist, clonidine. Thus, emesis was assumed to be due to an increase of cAMP in noradrenergic neurons given that the α2-adrenoceptor is negatively coupled to adenylyl cyclase (Robichaud et al, 2001). Indeed, the tolerability of PDE4 inhibitors can be improved by limiting brain penetration (Aoki et al, 2001).\nIn the early 2000s, a popular hypothesis was that a specific PDE4 isoform regulated the emetic response. However, at that time, subtype-selective inhibitors had not been described. To overcome this limitation, a behavioral correlate of vomiting was developed in mice carrying targeted deletions of the genes encoding Pde4b and Pde4d (Robichaud et al, 2002). This approach was utilized because mice (and rodents in general) are anatomically constrained and cannot vomit; they are unable to relax their crural diaphragm or open their esophageal sphincter and appear to lack critical efferent pathways that drive the emetic reflex in higher mammals (Borison et al, 1981; Hanson, 2003; Horn et al, 2013). The murine model of emesis relies on the ability of α2-adrenoceptor agonists to promote anesthesia by reducing the cAMP content in noradrenergic fibers within the brainstem, which can be attenuated by PDE4 inhibitors (Giembycz, 2002; Robichaud et al, 2002). Robichaud et al (2002) found that the duration of α2-adrenoceptor-mediated anesthesia was significantly attenuated in mice lacking Pde4d but not Pde4b implicating a Pde4d isoform(s) in the emetic response. The presence of PDE4D/Pde4d within various brain regions of several species was consistent with this idea (Cherry and Davis, 1999; Takahashi et al, 1999; Pérez-Torres et al, 2000; Lamontagne et al, 2001). However, PDE4B/Pde4b has also been detected in many of these same brain regions (Pérez-Torres et al, 2000), and inhibitors of PDE4B, which are >80-fold selective over PDE4D, do not display a superior therapeutic index (Naganuma et al, 2009; Suzuki et al, 2013). Moreover, so-called, negative allosteric PDE4D inhibitors have been described, which preferentially partition into the brain and, therefore, will reach the area postrema. These compounds, of which D-159687 and zatolmilast are examples, display a unique mechanism of action in that they block cAMP hydrolysis by modifying the dimeric structure of PDE4D rather than by simply competing with the substrate at the catalytic site (Burgin et al, 2010; Houslay and Adams, 2010; Gurney et al, 2011). Based on the results obtained in Pde4d knockout mice, these compounds should promote emesis. However, paradoxically, they have significantly reduced emetic liability (Burgin et al, 2010; Gurney et al, 2011; Zhang et al, 2017b). Thus, the assumption that PDE4 inhibitors with weak activity against the 4D isoenzyme should be less emetic is likely misplaced. Indeed, several companies including Tetra Therapeutics (a subsidiary of Shionogi & Co) are purposefully developing selective PDE4D inhibitors (eg, zatolmilast) with Fragile X syndrome and AD being primary indications. Clinical trials of these compounds are ongoing (eg, NCT05367960 and NCT03817684), and it will be instructive, from the perspective of developing new PDE4 inhibitors for asthma and COPD, if the improved therapeutic ratios reported in animal models translate into improved safety and tolerability in humans.\nThe abject failure of PDE4 inhibitors as an asthma therapy prompted the pharmaceutical industry to repurpose this drug class for other airway diseases, in particular, COPD. Cilomilast (aka Ariflo, SB-207499), developed by GlaxoSmithKline (GSK), was the first PDE4 inhibitor to progress to phase III clinical trials (Giembycz, 2001; 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). The decision to develop cilomilast was based on a conceptually robust hypothesis, abundant preclinical data, and the encouraging results of phase II clinical studies (Torphy et al, 1999). However, the results of the phase III development program were disappointing and did not meet the expectations of the phase II studies (Giembycz, 2001, 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). Like the asthma trials, dose-limiting adverse events remained a major cause for concern due, in part, to the interaction of cilomilast with PDE4 in “off-target” tissues. Despite these unremarkable data, the FDA, in October 2003, issued an approval letter to GSK for the use of cilomilast in the “maintenance of lung function in COPD patients poorly responsive to salbutamol” (Clinical_Trials_Arena, 2003). However, this was conditional on the outcome of further efficacy and tolerability studies, which were to focus on gastrointestinal events of concern, the sustainability of clinical benefits, and whether the difference in lung function between the cilomilast- and placebo-treated subjects improved further in long-term dosing studies. These additional trials were, presumably, unsuccessful since the development of cilomilast was discontinued in 2007.\nOther PDE4 inhibitors originally developed for asthma have also been repurposed for COPD. In particular, the results of several large, international, multicenter, randomized, placebo-controlled trials led the European Medicines Agency, in April 2010, to approve the use of roflumilast (aka Daxas, Daliresp, Byk 2869) for the “maintenance treatment of severe COPD associated with chronic bronchitis in adult patients with a history of frequent exacerbations as add-on to bronchodilator treatment” (Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009; Giembycz and Field, 2010; Gross et al, 2010; Wedzicha et al, 2016). Given orally, roflumilast (500 μg o.d.) significantly improved lung function and reduced the frequency of exacerbations. Notably, these beneficial effects were more pronounced in patients with severe, bronchitic disease suggesting that the primary activity of roflumilast was to suppress inflammation (Miravitlles et al, 2013; Giembycz and Newton, 2014). Nevertheless, the most common adverse effects were gastrointestinal discomfort and headache (presumably due to cerebrovascular vasodilation; Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009), which were similar to those produced by all other PDE4 inhibitors that had been evaluated clinically. Currently, roflumilast is one of only 2 PDE4 inhibitors that has been approved for COPD and offers physicians an add-on treatment option for patients with more severe disease in whom traditional bronchodilator and glucocorticoid therapies are suboptimal.\nDespite the emetic liability of PDE4 inhibitors, interest in these compounds as therapeutics for respiratory diseases continues with tanimilast (aka CHF-6001) being the most advanced candidate in clinical development. Tanimilast is a highly potent, subnanomolar inhibitor of PDE4 that does not discriminate between PDE4 isoforms (Armani et al, 2014). In cell-based assays and preclinical models of airway inflammation, it displays pleiotropic anti-inflammatory activity with limited emetic liability (Fioni et al, 2018; Facchinetti et al, 2021; Schioppa et al, 2022). For example, tanimilast (1 μmol/kg i.t.) inhibited allergen-induced eosinophilia in rats by >90% without producing nausea-like behavior in conscious ferrets, which likely reflects low systemic exposure and limited ability to cross the blood-brain barrier (Villetti et al, 2015). In contrast, GSK 256066, another highly potent PDE4 inhibitor (Tralau-Stewart et al, 2011) that was used as a comparator, was equally effective at blunting pulmonary eosinophil recruitment yet produced clear behavioral signs of nausea (Villetti et al, 2015). Unlike roflumilast, which was formulated for oral dosing, tanimilast has been optimized for inhaled delivery as a dry powder to limit systemic side effects. Studies in subjects with COPD have shown that at steady state (after 800 μg or 1600 μg inhaled twice a day for 32 days), the concentration of tanimilast in sputum was approximately 2000-fold higher than in plasma indicating high pulmonary retention and low systemic exposure (Singh et al, 2019). Moreover, in the PIONEER (new Phosphodiesterase Inhibitor with Optimal anti-iNflammatory Effect dosE Response in COPD patients) phase IIb trial, tanimilast was well tolerated with a similar incidence of adverse events across 4 increasing doubling doses (Singh et al, 2020a).\nOn the basis of successful safety, tolerability, and preliminary efficacy studies, 2 52-week phase III clinical trials (PILASTER [a new inhaled Phosphodiesterase Inhibitor EvaLuated on moderate/severe exAcerbationS on top of maintenance Triple thERapy in COPD Patients] and PILLAR [a new inhaled Phosphodiesterase Inhibitor given on top of maintenance tripLe therapy in COPD Patients evaLuation on moderate/severe exAceRbations]) have been initiated to assess if tanimilast can reduce the frequency of exacerbations in a population of patients with severe, bronchitic COPD who are still symptomatic despite treatment with ICS/LABA/LAMA combination therapy (Facchinetti et al, 2021). Indeed, there remains a high unmet clinical need to identify interventions that can better control this relatively unresponsive COPD endotype.\nGlucocorticoid monotherapy is poorly effective in COPD and can be contraindicated due to an increased risk of pneumonia and tuberculosis (Ernst et al, 2007; Brassard et al, 2011). However, clinical trials data indicate that ICS-containing combination therapy is more effective than a bronchodilator in reducing COPD exacerbations (Ding et al, 2022). This could suggest the utility of adding-on a PDE4 inhibitor in the subpopulation of individuals with severe, bronchitic COPD in whom symptoms persist despite treatment with ICS/LABA/LAMA triple therapy. Data to support this hypothesis and rationalize the PILASTER and PILLAR trials can be derived from post hoc analyses of data from the earlier phase III roflumilast development program. Thus, roflumilast reduced the rate of exacerbations in individuals with severe COPD who were taking an ICS concurrently, whereas no such benefit was derived if ICS were excluded (Rennard et al, 2011). Lung function in COPD patients of the bronchitic phenotype was also improved by roflumilast, regardless of co-existing emphysema, and this was greater if they had received concomitant ICS rather than placebo (Rennard et al, 2011). Collectively, these data imply that an ICS and roflumilast in combination have superior therapeutic activity than either drug alone.\nGlucocorticoids suppress inflammation by modulating the expression of hundreds of genes including those that encode cytokines, chemokines, and growth factors of which gene induction (aka transactivation) is a major mechanism (Newton, 2014). Moreover, there is compelling evidence that cAMP-elevating agents can interact with glucocorticoids to further modulate the genomic response (Giembycz and Maurice, 2014; Giembycz and Newton, 2011, 2014, 2015). This molecular interaction, first described in the early 1990s (Rangarajan et al, 1992), may help explain how adding-on a LABA and a PDE4 inhibitor to an ICS could reduce inflammation and improve lung function in individuals with asthma and COPD. Indeed, an increase in cAMP can augment glucocorticoid-induced gene expression changes in several cell types including the airway epithelium (Giembycz et al, 2008; Kaur et al, 2008; Wilson et al, 2009; Greer et al, 2013; Moodley et al, 2013; BinMahfouz et al, 2015; Joshi et al, 2015; Newton and Giembycz, 2016; Rider et al, 2018; Reddy et al, 2020; Turner et al, 2020; Mostafa et al, 2021). In many cases, the cAMP-elevating agent per se is inert but interacts with the glucocorticoid in a positive, cooperative fashion to enhance gene transcription. This implies that a LABA or PDE4 inhibitor is “steroid-sparing” because the glucocorticoid can now produce a given level of gene induction at a significantly lower concentration (Kaur et al, 2008; Joshi et al, 2015). Moreover, in airway epithelial cells, roflumilast potentiated the ability of the LABA, formoterol, to enhance the expression of a panel of glucocorticoid-inducible genes that may have anti-inflammatory activity in COPD (Moodley et al, 2013). Thus, agents that increase the cAMP content in target tissues may exert therapeutic activity in obstructive lung diseases beyond bronchodilation (Fig. 13).\nA PDE4 inhibitor should also potentiate β2-adrenoceptor-mediated cAMP formation in the airways. This interaction could be particularly relevant in proinflammatory or immune cells where β2-adrenoceptors are expressed in low abundance or are poorly coupled to adenylyl cyclase. In this situation, a cell type that responds weakly to a LABA (eg, an eosinophil; Rabe et al, 1993; Muñoz et al, 1995) could be sensitized by a PDE4 inhibitor allowing a cAMP signal to be generated of sufficient magnitude to enhance glucocorticoid-induced gene expression (Fig. 13). Collectively, these results provide a mechanistic basis for the clinical efficacy of ICS/LABA/PDE4 inhibitor triple combination therapy on COPD exacerbations reported throughout the roflumilast phase III clinical development program (Rennard et al, 2011). By extension, adding-on a PDE4 inhibitor to ICS/LABA combination therapy in individuals with difficult-to-treat asthma might also afford additional benefit (Fig. 13).\nIt is noteworthy that β2-adrenoceptor agonists and other cAMP-elevating agents can also increase the expression of various PDE4 isoforms. Typically, these are transcriptional responses and occur in airway immune and structural cells alike including ASM (Le Jeune et al, 2002; Hu et al, 2008), monocytes (Torphy et al, 1992; Torphy et al, 1995; Manning et al, 1996), T-lymphocytes (Erdogan and Houslay, 1997; Seybold et al, 1998), neutrophils (Ortiz et al, 2000), and EC (Zhu et al, 2004). The implications of these gene expression changes may be significant because SABAs and LABAs, which are consumed by individuals with asthma and COPD on a long-term basis, could attenuate signaling mediated by all GPCRs that stimulate adenylyl cyclase (Giembycz, 1996). In this context, the concurrent use of a PDE4 inhibitor can be rationalized because heterologous GPCR desensitization could be mitigated.\nPolypharmacology is a branch of pharmacology that is dedicated to understanding the mechanism of action of compounds that interact with more than 1 molecular target in a disease network (Jalencas and Mestres, 2013). This discipline addresses the likelihood that improved clinical outcomes can be realized over the traditional “1 drug, 1 target” concept of therapeutics (Morphy and Rankovic, 2005). Several polypharmacological approaches are possible including the administration of: (1) 2 or more drugs separately or together in a single formulation; (2) 2 or more prodrugs formulated as a single chemical entity that is released at the desired site of action by enzymatic cleavage; and (3) a single chemical entity that interacts with 2 or more targets, simultaneously (Morphy and Rankovic, 2005). Compounds in this latter category include bifunctional ligands (see last section The Role of PDEs in Specific Immune Cell Types and Fig. 13) and hybrid PDE inhibitors that contain a single “promiscuous” pharmacophore that blocks the catalytic sites of 2 or more PDE isoforms. Of the 11 PDE families described, the simultaneous inhibition of PDE4 and either PDE1, PDE3, or PDE7 may provide the means to further enhance clinical efficacy (Giembycz, 2005b; Giembycz and Newton, 2011; Zuo et al, 2019). Indeed, as mentioned above, the discovery of multicomponent, syncretic drugs provides a theoretical means to treat various asthma and COPD endotypes, given that additive and/or synergistic outcomes can be produced when multiple PDEs are inhibited concurrently (Keith et al, 2005).\nInhibitors of PDE4 and PDE1. Airway remodeling is a characteristic feature of obstructive lung diseases (Hossain and Heard, 1970; Jeffery, 2001; Lazaar and Panettieri, 2003; Wenzel, 2003; Aoshiba and Nagai, 2004; Hogg, 2004; Hogg et al, 2004). In asthma, several processes can change the architecture of the respiratory tract including mucus gland hyperplasia, supepithelial deposition of collagens, mucosal revascularization, and an increase in ASM mass (Jeffery, 2001). Similarly, airway remodeling in COPD involves connective tissue deposition in the subepithelial and adventitial compartments (Dunnill et al, 1969; Hogg et al, 2004) and an increase in the density of ASM in the bronchioles (Hossain and Heard, 1970; Jeffery, 2001; Aoshiba and Nagai, 2004; Hogg et al, 2004). In both diseases, the remodeling process thickens and increases the volume of the respiratory tract wall, which contributes to airway hyper-responsiveness (Wiggs et al, 1990; Hogg, 1996; Postma and Kerstjens, 1998; Martin et al, 2000).\nPDE1 is highly expressed in vascular smooth muscle where it has been implicated in the control of proliferation (see section Smooth Muscle Cells, Endothelial Cells, and PDEs). PDE1 is also highly expressed in ASM (Giembycz and Barnes, 1991; Torphy et al, 1993) where it may regulate the same function. On this basis, 1 might speculate that a dual inhibitor of PDE1 and PDE4 could retard remodeling and, at the same time, suppress inflammation. Data to support this idea include the ability of the PDE1/PDE4 inhibitor, KF-19514, to suppress inflammation and airway remodeling in a murine model of chronic asthma (Manabe et al, 1997; Fujimura et al, 1998; Kita et al, 2009; Manabe et al, 2000). However, a review of the literature suggests that this potential therapeutic opportunity has not gained traction.\nInhibitors of PDE4 and PDE3. PDE3 inhibitors are effective bronchodilators in humans (Leeman et al, 1987; Brunnée et al, 1992; Fujimura et al, 1995; Fujimura et al, 1997; Bardin et al, 1998; Myou et al, 1999; Myou et al, 2003; Singh et al, 2020b). This property led to the theory that compounds that block PDE3 and PDE4 at a similar dose could have a polypharmacological advantage over a selective PDE4 inhibitor by producing both ASM relaxation (PDE3-dependent) and anti-inflammatory activity (PDE4-dependent). In addition, many proinflammatory and immune cells also express PDE3 (Torphy, 1998; Banner and Press, 2009), and in many cases, the anti-inflammatory effects of concurrent inhibition of PDE3 and PDE4 are superior to those of PDE4 alone. For example, in vitro studies have shown that although PDE3 inhibitors have little or no effect on T-cell proliferation or on IL-2 generation, they enhance the repressive effect of a PDE4 inhibitor (Robicsek et al, 1991; Giembycz et al, 1996). Similar data have been reported for the inhibition of proinflammatory responses in human alveolar macrophages (Schudt et al, 1995), monocyte-derived dendritic cells (Gantner et al, 1999), airway epithelial cells (Wright et al, 1998), human lung fibroblasts (Selige et al, 2010), and human lung microvascular EC (Blease et al, 1998). It is noteworthy that evidence garnered from mouse models of asthma indicates that inhibition of Pde3a and Pde3b can abrogate several key hallmarks of the disease. In particular, pulmonary eosinophil, neutrophil, T-lymphocyte, dendritic cell, mast cell, and macrophage recruitment were suppressed implying that PDE3 per se may regulate previously unappreciated aspects of the allergic inflammatory response (Beute et al, 2018; Beute et al, 2020).\nBased upon encouraging preclinical data, several hybrid PDE3/PDE4 inhibitors were developed and evaluated in humans including zardaverine, benzafentrine, tolafentrine, and pumafentrine but all were discontinued because of lack of efficacy, a poor adverse effect profile, or limited duration of action (Banner and Press, 2009). Nevertheless, interest in the PDE3/PDE4 inhibitor concept has endured with at least 2 compounds currently in clinical development for asthma and/or COPD: ensifentrine (aka RPL 554, Ohtuvayre) and, what appears to be a structurally related compound, TQC-3721(Yang et al, 2023). Indeed, the FDA recently approved ensifentrine for the maintenance treatment of adult patients with COPD (Kariya, 2024).\nEnsifentrine is a well tolerated, long-acting inhaled bronchodilator derived from the PDE3 inhibitor, trequinsin (Boswell-Smith et al, 2006; Calzetta et al, 2013; Donohue et al, 2023). In 2023, ensifentrine progressed to phase III clinical evaluation, and the results of the 2 ENHANCE (Ensifentrine as a Novel inHAled Nebulized COPD thErapy) trials were recently reported (Anzueto et al, 2023). In each study, >750 participants were enrolled with moderate-to-severe COPD and randomized to receive either placebo or ensifentrine (3 mg twice a day for 24 weeks). In both trials, FEV1 was the primary outcome measure and significantly improved with treatment relative to placebo. Exacerbation rates were also reduced by 40% in the active treatment groups (Anzueto et al, 2023). However, it is unclear if this was due to the inhibition of PDE4 (Singh, 2023) as there is no conclusive evidence that ensifentrine has anti-inflammatory activity (Singh, 2023). In one of the initial exploratory studies, a single dose of ensifentrine (0.018 mg/kg), given by inhalation to healthy men, inhibited the accumulation of neutrophils in sputum in response to lipopolysaccharide (LPS). Although this finding may implicate PDE4 (Franciosi et al, 2013), the relationship between pulmonary neutrophilia and the development of an exacerbation is moot.\nEnsifentrine is, typically, referred to as a hybrid PDE3/PDE4 inhibitor as we have done in this review. However, this is a misrepresentation. Ensifentrine is >3440× more potent against PDE3 than PDE4 (Boswell-Smith et al, 2006), which is comparable to, or even greater than, the selectivity of compounds that are classified as selective PDE3 inhibitors including cilostazol, cilostamide, and milrinone (Sudo et al, 2000). This implies that at the inhaled doses of ensifentrine used in human subjects, inhibition of PDE3 will predominate. How, then, a single dose ensifentrine (0.018 mg/kg) attenuated LPS-induced pulmonary leukocyte recruitment becomes an important question. A plausible explanation is that the local concentration of ensifentrine at target cells after inhalation exceeds that required to abolish PDE3 activity (and, therefore, is supra-maximal for bronchodilation). Using the technique of bronchosorption (Leaker et al, 2015), the epithelial surface liquid (ESL) can be sampled via a catheter inserted through the working channel of a bronchoscope. It has been estimated that the concentration of the LABA, salmeterol, in the ESL of healthy subjects 1 h after inhalation of a 50 μg dose was ∼80 nM (Sadiq et al, 2021). Assuming remotely similar pulmonary pharmacokinetics, the concentration of ensifentrine in ESL after inhalation of a 3 mg dose (used in the ENHANCE trial) could be ∼5 μM. Indeed, both compounds have comparable molecular weights (∼450 Da) and clog D values (∼1.9 at pH = 7; calculated using ACD/Labs software) that presumably lead to high lung retention and low systemic exposure (Bäckström et al, 2016; Zuiker, 2016; Sadiq et al, 2021). Thus, inhalation of a 3 mg dose of ensifentrine could be sufficient to inhibit PDE4 in airway epithelia and inflammatory cells in BAL fluid by >70%. Indeed, the IC50 of ensifentrine for suppressing cytokine release (eg, GM-CSF, MCP-1, TNFα) from human airway epithelial cells and monocytes is in the low micromolar range (Boswell-Smith et al, 2006; Turner et al, 2020). Likewise, the threshold concentration for ensifentrine to increase global cAMP in human airway epithelial cells is reported to be ∼1 μM (Turner et al, 2020).\nIn vitro studies have found that ensifentrine relaxed ACh-contracted human ASM (EC50 ∼10 μM) and inhibited PDE3 (IC50 = 0.4 nM) with potencies that differed by ∼25,000-fold. In contrast, no such discrepancy was apparent when the inhibition of cytokine production from inflammatory cells (IC50 ∼0.5 μM) and of PDE4 activity (IC50 ∼1.5 μM) were compared (Boswell-Smith et al, 2006; Calzetta et al, 2013; Turner et al, 2020). This paradox may be explained by functional antagonism, which describes an inverse relationship between the degree of smooth muscle tone and the potency and pharmacological efficacy of a relaxant. Functional antagonism has been documented in ASM from several species and is more pronounced with ACh (and related agonists) than with histamine, 5-hydroxytryptamine, and leukotriene D4 (van den Brink, 1973; Torphy et al, 1983; Russell, 1984; Torphy, 1984; Roffel et al, 1995). For example, the EC50 of isoprenaline for relaxing bovine tracheal smooth muscle contracted with 10 nM (∼EC20), 100 nM (∼EC70), and 10 μM MCh (EC100) was 0.65 nM, 81 nM, and 3.16 μM, respectively (>4800-fold difference; Roffel et al, 1995). Similar data have been reported for the selective PDE3 inhibitor, siguazodan (SK&F 94836), on MCh-contracted canine ASM (Torphy et al, 1988). Logic dictates that ensifentrine, which like isoprenaline and siguazodan relaxes ASM by a cAMP-dependent mechanism, would be affected similarly both in vitro and in vivo. Indeed, the potency of ensifentrine for inhibiting electrical field stimulation-induced twitch responses of human bronchi, progressively decreased with increasing frequency of nerve stimulation (Calzetta et al, 2015). Thus, functional antagonism may help explain the erroneous description of ensifentrine as a hybrid PDE3/PDE4 inhibitor because the biochemical and functional outcomes of a bronchodilator cannot easily be compared.\nTQC-3721 is being developed by Chia Tai Tianqing Pharmaceutical Group as a suspension for inhalation in subjects with moderate-to-severe COPD and is currently in phase II safety and efficacy clinical trials (NCT05987371). There are no preclinical data in the public domain about TQC-3721. Its structure has not been disclosed.\nFrom a safety perspective, inhibition of PDE3 is of concern, given the well documented cardiovascular toxicity of this class of drugs and that subjects with COPD will require long-term therapy over many months or years. Although PDE3 inhibitors were developed to treat dilated cardiomyopathy, chronic dosing increased mortality (Movsesian, 2003; Amsallem et al, 2005). This could be problematic because ∼20% of people with COPD have right-side heart failure that is often secondary to PH (Naeije, 2003; de Miguel Díez et al, 2013). Chronic PDE3 inhibition could, therefore, be contraindicated even for a compound given by inhalation, and hence, pulmonary retention will be critical. In this respect, the peak plasma concentration of ensifentrine in 13 subjects with allergic asthma after inhalation of 0.018 mg/kg (o.d. for 6 days) was ∼2 ng/mL (4.2 nM; Zuiker, 2016). This dose equates to 1.26 mg/70 kg per individual, which is 42% of the 3 mg dose assessed in the 2 ENHANCE clinical trials (Anzueto et al, 2023). Adverse events were reported to be mild, although a reduction in blood pressure and a [compensatory] increase in heart rate were noted. The study investigators attributed these cardiovascular events to PDE3 inhibition in the vasculature, which was consistent with an increased incidence of headache and dizziness in 4 and 3 of the 13 subjects, respectively (Zuiker, 2016).\nInhibitors of PDE4 and PDE7. PDE7A is ubiquitously expressed in the lungs (Smith et al, 2003) and could represent a novel target for anti-inflammatory drugs (Giembycz and Smith, 2006a,b; Giembycz and Maurice, 2014; Jankowska et al, 2017). PDE7 was discovered in 1993 (Michaeli et al, 1993) yet 20 years elapsed before selective inhibitors became available and could be studied in biological systems (Nakata et al, 2002; Yang et al, 2003; Smith et al, 2004; Jones et al, 2007; Goto et al, 2009; Kadoshima-Yamaoka et al, 2009a,b,d). What emerged from those early investigations was unremarkable. However, there was some interest in the finding that the PDE7A inhibitor, BRL 50481, significantly enhanced the antimitogenic activity of the PDE4 inhibitor, rolipram despite being inactive alone (Smith et al, 2004). LPS-induced TNFα generation from human monocytes and lung macrophages was regulated similarly (Smith et al, 2004). This profile of activity was replicated with the dual PDE4/PDE7 inhibitor BC54, which inhibited TNF-α and IL-12 production from U-937 monocytic cells and Jurkat T-cells, respectively, and was more effective than rolipram, alone (de Medeiros et al, 2017). Collectively, these data are reminiscent of the behavior of PDE3 inhibitors and imply that additive or synergistic anti-inflammatory effects could be realized with a hybrid PDE4/PDE7 inhibitor (Giembycz, 2005a; Vijayakrishnan et al, 2007). To date, few in vivo studies have been reported implying that this hypothesis may not represent a viable approach. However, YM-393059, which is 45-fold more selective for PDE7 over PDE4, demonstrated efficacy in preclinical models of inflammation with a reduced emetic liability (Yamamoto et al, 2006a,b). Likewise, mice subjected to cigarette smoke-induced pulmonary inflammation were protected by prior endotracheal administration of antisense oligonucleotides directed against Pde4b, Pde4d, and Pde7a and that this intervention was superior to classical pharmacotherapy with roflumilast (Fortin et al, 2009).\nPDE3/PDE4 inhibitors and a LAMA. Several patents have been filed describing the utility of combining ensifentrine with a LAMA (Walker et al, 2017, 2019). The inventions claim that a low concentration of a muscarinic receptor antagonist (eg, glycopyrronium) interacts synergistically with ensifentrine to relax medium and small human bronchi in vitro (Calzetta et al, 2013; Calzetta et al, 2015). This unexpected effect led to the proposal that in subjects with COPD, antagonizing the effects of endogenously released ACh from parasympathetic nerve fibers in the lung with a LAMA and raising the cAMP content in ASM with ensifentrine could produce added clinical benefit by reducing gas trapping in the lungs (ie, dynamic hyper-inflation), which is a common feature of COPD (Calzetta et al, 2015).\nAn alternative to a hybrid inhibitor is a compound that contains 2 pharmacophores joined covalently by a rationally designed and inert “spacer” (Shonberg et al, 2011; Phillips and Salmon, 2012). In the context of respiratory diseases, these, so-called, bifunctional ligands have several advantages over their monofunctional parent compounds because of their relatively high molecular weights (often >1000 Da). This physical property often translates into enhanced pulmonary retention, low oral bioavailability, and reduced systemic exposure (Phillips and Salmon, 2012). The development of bifunctional ligands is also simplified because 2 pharmacophores in the same compound will have matched pharmacokinetics and identical deposition characteristics (Phillips and Salmon, 2012). Several bifunctional ligands containing a PDE4 inhibitor have been synthesized (Fig. 13). The most attractive “partners” for a PDE4 inhibitor have included a LAMA and a LABA in an attempt to harness both anti-inflammatory and bronchodilator activity at a similar dose (Giembycz and Maurice, 2014). The first example of a “Muscarinic receptor Agonist-PDE4 Inhibitor (ie, a MAPI) was the 4,6-diaminopyrimidine derivative, UCB-101333-3 (Provins et al, 2006). Given by inhalation to mice, this compound attenuated cigarette smoke-induced pulmonary neutrophilia and keratinocyte chemoattractant levels in BAL fluid and protected against the development of heavy metal-induced emphysema (Provins et al, 2007). Since that original report, the interest in developing MAPIs for COPD has continued including compound 10f from Cheisi (Rizzi et al, 2023). This ligand is a fusion of tanimilast with a muscarinic receptor antagonist based on a phenylglycine scaffold. In vitro assays indicate that 10f is a balanced molecule with an affinity and inhibitory potency at the muscarinic M3 receptor and PDE4B, respectively, of ∼1 nM (Rizzi et al, 2023). Moreover, in rodents, the compound proved suitable for inhaled dosing and displayed adequate lung retention and limited systemic exposure. Significantly, 10f inhibited CCh-induced bronchoconstriction and ovalbumin-induced pulmonary eosinophilia in sensitized and challenged rats at the same dose with an acceptable duration of action (Rizzi et al, 2023).\nAnother means to achieve bronchodilator and anti-inflammatory activity in a single molecule is to couple pharmacophores that display PDE4 inhibitory activity and β2-adrenoceptor agonism. Support for this approach derives from the finding that roflumilast improved FEV1 in a group of patients with moderate-to-severe COPD who were being treated with LABA, salmeterol (Fabbri et al, 2009). Because PDE4 inhibitors are not thought to produce direct bronchodilation in humans (Grootendorst et al, 2003), the additional improvement in lung function is assumed to be secondary to the suppression of inflammation. Several bifunctional ligands have been described in which the head group of formoterol or salmeterol was fused to roflumilast or a phthalazone-based PDE4 inhibitor by a simple butyl spacer (Shan et al, 2012a; Liu et al, 2013). However, the activities of these compounds are unbalanced being more potent (440–2500-fold) β2-adrenoceptor agonists than inhibitors of PDE4. Improvements were achieved by modifying the spacer (to hexyloxyphenyl propanol or hexane), but β2-adrenoceptor agonism remained the dominant activity (Liu et al, 2013; Huang et al, 2014). Gilead Sciences has also reported the discovery of bifunctional LABA/PDE4 inhibitors for COPD, which have been optimized for inhaled delivery (Baker et al, 2011). In 1 example, an analog of the PDE4 inhibitor, GSK 256066 (Tralau-Stewart et al, 2011), was conjugated to a quinolinone-based orthostere (β2A)-derived from the LABA, indacaterol, to form the development candidate, GS-5759. This compound has an equal affinity (∼1 nM) for PDE4B and the human β2-adrenoceptor and represented a significantly improved ligand in having a balanced pharmacology for the 2 targets. In vitro, GS-5759 was active in a panel of assays where it inhibited the release of superoxide from human neutrophils, TNFα, IL-6, and CCL3 from human monocytes and ET-1, CCL5, CXCL10, and GM-CSF from human lung fibroblasts (Tannheimer et al, 2014); it also upregulated the expression of a plethora of genes in the BEAS-2B human airway epithelial cell line (eg, DUSP1, CD200, CRISPLD2, CDKN1C, and FGFR2) that have potential anti-inflammatory activity (Joshi et al, 2017). In vivo, GS-5759 was active in several preclinical models of COPD; it displayed bronchodilator activity in guinea pigs and dogs and inhibited LPS-induced pulmonary neutrophilia in rats, which was replicated in Cynomolgus monkeys (Salmon et al, 2014). Significantly, no emesis was produced in ferrets at doses of GS-5759 that were several orders of magnitude greater than its potency for inhibiting LPS-induced pulmonary leukocyte recruitment in the rat (Salmon et al, 2014). Despite these encouraging data, a primary therapeutic target of GS-5759 is the ASM, which likely displays a large β2-adrenoceptor reserve for β2A (Giembycz, 2009). This will probably render GS-5759 unbalanced because its potency as a bronchodilator will be greater, may be considerable, than its affinity for the β2-adrenoceptor and for inhibition of PDE4 (Giembycz, 2009; Joshi et al, 2017). The only way to overcome this limitation is to either increase the potency of the pharmacophore that inhibits PDE4 or reduce the affinity of β2A for the β2-adrenoceptor. Spare receptors represent a problem for the development of bifunctional ligands in general. This is a particular issue if 1 of the 2 pharmacophores is an agonist that is required to interact with different tissues for therapeutic benefit to be optimized.\nAn unexpected finding of these investigations was that GS-5759 had a 35-fold higher affinity for the β2-adrenoceptor than did β2A (Joshi et al, 2017). This pharmacological behavior has been reported previously for the bifunctional LABA/LAMA, THRX 198321 (Steinfeld et al, 2011), and may also apply to the MAPI, 10f (Rizzi et al, 2023). Mechanistically, the enhanced affinity of these compounds for the β2-adrenoceptor may be due to positive allosterism (Steinfeld et al, 2011; Rizzi et al, 2023) or “forced proximity” binding (Hughes et al, 2011; Valant et al, 2012; Vauquelin and Charlton, 2013; Joshi et al, 2017). Regardless, the fact remains that the properties of bifunctional ligands are often distinct from their monofunctional parent compounds, which could reveal new opportunities for drug discovery (Fig. 13).\n\n\n### Pulmonary hypertension\nPH is a debilitating and potentially fatal cardiovascular disorder (Schermuly et al, 2011) in which PDEs play a pivotal role (Ahmad et al, 2015). This section explores the diverse roles of PDEs in the pathogenesis and treatment of PH.\nPH is a complex cardiovascular disorder characterized by elevated pulmonary arterial pressure (Schermuly et al, 2011). It increases afterload on the cardiac right ventricle (RV). If left untreated, it can result in right ventricular dysfunction and ultimately HF (Schermuly et al, 2011). The adaptation of the RV to the increased afterload is crucial for survival (Tello et al, 2023). PH can be classified into 5 main groups, each with distinct etiologies and pathophysiological mechanisms (Humbert et al, 2022).\nPulmonary arterial hypertension (PAH; group 1) is the best-known subtype and is characterized by pathological changes in the small pulmonary arteries. Changes include vasoconstriction, vascular remodeling, and endothelial dysfunction (Schermuly et al, 2011). PAH is often idiopathic but can also be caused by connective tissue diseases, congenital heart diseases, or chemical poisoning (D'Alto and Mahadevan, 2012; Montani et al, 2013; Zanatta et al, 2019). Mutations in the BMPR2 and other genes have been implicated in the development of heritable PAH (Evans et al, 2016; Morrell et al, 2019).\nPH associated with left-sided heart diseases such as HF, valvular diseases, or LV dysfunction is classed as group 2 PH (Vachiery et al, 2019). Increased left atrial pressure is transmitted backward to the pulmonary circulation and can lead to pulmonary vascular abnormalities resulting in increased pulmonary vascular resistance (PVR; Rosenkranz et al, 2016).\nPH associated with lung diseases (particularly COPD and interstitial lung diseases) is classed as group 3 PH (Gredic et al, 2021; Humbert et al, 2022). Hypoxia and inflammation are key factors contributing to vascular changes in this group (Ye et al, 2023).\nChronic thromboembolic PH (Group 4) is a unique form of PH caused by chronic pulmonary thromboembolism, where blood clots obstruct the pulmonary arteries (Pepke-Zaba et al, 2017; Ghofrani et al, 2021). Although normally addressed with pulmonary thromboendarterectomy, some patients require additional therapy or lung transplantation (Ghofrani et al, 2021).\nPH with unclear and/or multifactorial mechanisms (group 5) encompasses a heterogeneous collection of PH conditions that result from hematological or systemic disorders or that have no clear cause (Lahm and Chakinala, 2013; Al-Qadi et al, 2020).\nOne of the hallmark features of PH is increased pulmonary vasoconstriction and endothelial dysfunction (Evans et al, 2021; Kurakula et al, 2021; Hopkins and Stickland, 2023). Endothelial dysfunction disrupts the balance between vasodilators (eg, NO and prostacyclin) and vasoconstrictors (eg, endothelin-1, 5-hydroxytryptamine, and thromboxane; Huertas et al, 2018). Endothelin-1, in particular, plays a central role in promoting vasoconstriction and vascular remodeling in PH, both of which increase PVR (Chester and Yacoub, 2014).\nVascular remodeling in PH involves thickening of the pulmonary artery walls due to cellular proliferation and hypertrophy (Shimoda and Laurie, 2013; Leopold and Maron, 2016; Shimoda, 2020), involving all layers. This structural alteration narrows the vascular lumen. Endothelial dysfunction contributes to inflammation and thrombosis within the pulmonary arteries (Evans et al, 2021; Kurakula et al, 2021). Chronic inflammation is increasingly recognized as a key player in the pathogenesis of PH, especially in groups 3 and 5 (Frid et al, 2020; Yoo and Marin, 2022). Inflammatory cells, growth factors, cytokines, and signaling pathways such as the platelet-derived growth factor-β pathway are implicated in the vascular remodeling that increases PVR (Leopold and Maron, 2016; Shimoda, 2020; Liu et al, 2022; Wang et al, 2022).\nUnderstanding the pathophysiology of PH is crucial for developing effective treatments. This section will further delve into the role of PDEs in the multiple pathways and mechanisms that contribute to and serve as therapeutic targets in PH.\nIn the context of PH, cAMP, and cGMP play a central role in regulating pulmonary vascular tone, cellular proliferation, and inflammation and are important downstream mediators of NO, natriuretic peptides, prostacyclin, and other hormones (Chen et al, 2013; Bobin et al, 2016). The cyclic nucleotides exert vasodilatory effects in the pulmonary circulation in the same manner as described in section Smooth Muscle Cells, Endothelial Cells, and PDEs for arteries in general (Lincoln and Cornwell, 1991; Ghofrani et al, 2002; Majed and Khalil, 2012; Bobin et al, 2016; Klinger and Kadowitz, 2017). Furthermore, inhibition of VSMC proliferation by cAMP is critical in vascular remodeling seen in PH (Growcott et al, 2006). cGMP inhibits platelet activation and aggregation, further preventing thrombosis in the pulmonary arteries, a common complication of PH (Wen et al, 2018; Degjoni et al, 2022). In PH, reduced levels of cAMP and cGMP due to increased PDE activity contribute to enhanced vasoconstriction, abnormal cellular proliferation, and inflammation, all of which are hallmark features of the disease (Muraki et al, 2019; Bubb et al, 2014). Hence, targeting PDEs to restore cyclic nucleotide levels represents a promising therapeutic approach in PH (Wilkins et al, 2008). The next section reviews the role of PDE subtypes and their potential as drug targets in PH.\n\n\n### Pathophysiology of PH\nPH is a complex cardiovascular disorder characterized by elevated pulmonary arterial pressure (Schermuly et al, 2011). It increases afterload on the cardiac right ventricle (RV). If left untreated, it can result in right ventricular dysfunction and ultimately HF (Schermuly et al, 2011). The adaptation of the RV to the increased afterload is crucial for survival (Tello et al, 2023). PH can be classified into 5 main groups, each with distinct etiologies and pathophysiological mechanisms (Humbert et al, 2022).\n\n\n### Subtypes and classification of PH\nPulmonary arterial hypertension (PAH; group 1) is the best-known subtype and is characterized by pathological changes in the small pulmonary arteries. Changes include vasoconstriction, vascular remodeling, and endothelial dysfunction (Schermuly et al, 2011). PAH is often idiopathic but can also be caused by connective tissue diseases, congenital heart diseases, or chemical poisoning (D'Alto and Mahadevan, 2012; Montani et al, 2013; Zanatta et al, 2019). Mutations in the BMPR2 and other genes have been implicated in the development of heritable PAH (Evans et al, 2016; Morrell et al, 2019).\nPH associated with left-sided heart diseases such as HF, valvular diseases, or LV dysfunction is classed as group 2 PH (Vachiery et al, 2019). Increased left atrial pressure is transmitted backward to the pulmonary circulation and can lead to pulmonary vascular abnormalities resulting in increased pulmonary vascular resistance (PVR; Rosenkranz et al, 2016).\nPH associated with lung diseases (particularly COPD and interstitial lung diseases) is classed as group 3 PH (Gredic et al, 2021; Humbert et al, 2022). Hypoxia and inflammation are key factors contributing to vascular changes in this group (Ye et al, 2023).\nChronic thromboembolic PH (Group 4) is a unique form of PH caused by chronic pulmonary thromboembolism, where blood clots obstruct the pulmonary arteries (Pepke-Zaba et al, 2017; Ghofrani et al, 2021). Although normally addressed with pulmonary thromboendarterectomy, some patients require additional therapy or lung transplantation (Ghofrani et al, 2021).\nPH with unclear and/or multifactorial mechanisms (group 5) encompasses a heterogeneous collection of PH conditions that result from hematological or systemic disorders or that have no clear cause (Lahm and Chakinala, 2013; Al-Qadi et al, 2020).\n\n\n### Key mechanisms contributing to PH\nOne of the hallmark features of PH is increased pulmonary vasoconstriction and endothelial dysfunction (Evans et al, 2021; Kurakula et al, 2021; Hopkins and Stickland, 2023). Endothelial dysfunction disrupts the balance between vasodilators (eg, NO and prostacyclin) and vasoconstrictors (eg, endothelin-1, 5-hydroxytryptamine, and thromboxane; Huertas et al, 2018). Endothelin-1, in particular, plays a central role in promoting vasoconstriction and vascular remodeling in PH, both of which increase PVR (Chester and Yacoub, 2014).\nVascular remodeling in PH involves thickening of the pulmonary artery walls due to cellular proliferation and hypertrophy (Shimoda and Laurie, 2013; Leopold and Maron, 2016; Shimoda, 2020), involving all layers. This structural alteration narrows the vascular lumen. Endothelial dysfunction contributes to inflammation and thrombosis within the pulmonary arteries (Evans et al, 2021; Kurakula et al, 2021). Chronic inflammation is increasingly recognized as a key player in the pathogenesis of PH, especially in groups 3 and 5 (Frid et al, 2020; Yoo and Marin, 2022). Inflammatory cells, growth factors, cytokines, and signaling pathways such as the platelet-derived growth factor-β pathway are implicated in the vascular remodeling that increases PVR (Leopold and Maron, 2016; Shimoda, 2020; Liu et al, 2022; Wang et al, 2022).\nUnderstanding the pathophysiology of PH is crucial for developing effective treatments. This section will further delve into the role of PDEs in the multiple pathways and mechanisms that contribute to and serve as therapeutic targets in PH.\n\n\n### The importance of cAMP and cGMP in pulmonary vascular physiology and PH\nIn the context of PH, cAMP, and cGMP play a central role in regulating pulmonary vascular tone, cellular proliferation, and inflammation and are important downstream mediators of NO, natriuretic peptides, prostacyclin, and other hormones (Chen et al, 2013; Bobin et al, 2016). The cyclic nucleotides exert vasodilatory effects in the pulmonary circulation in the same manner as described in section Smooth Muscle Cells, Endothelial Cells, and PDEs for arteries in general (Lincoln and Cornwell, 1991; Ghofrani et al, 2002; Majed and Khalil, 2012; Bobin et al, 2016; Klinger and Kadowitz, 2017). Furthermore, inhibition of VSMC proliferation by cAMP is critical in vascular remodeling seen in PH (Growcott et al, 2006). cGMP inhibits platelet activation and aggregation, further preventing thrombosis in the pulmonary arteries, a common complication of PH (Wen et al, 2018; Degjoni et al, 2022). In PH, reduced levels of cAMP and cGMP due to increased PDE activity contribute to enhanced vasoconstriction, abnormal cellular proliferation, and inflammation, all of which are hallmark features of the disease (Muraki et al, 2019; Bubb et al, 2014). Hence, targeting PDEs to restore cyclic nucleotide levels represents a promising therapeutic approach in PH (Wilkins et al, 2008). The next section reviews the role of PDE subtypes and their potential as drug targets in PH.\n\n\n### Role of PDEs in the pathophysiology and as drug targets in PH\nPDE3 plays a pivotal role in vascular tone regulation and cell proliferation in PH via cAMP (Tilley and Maurice, 2002; Thelitz et al, 2004; Chen et al, 2009a). PDE3 counteracts vasodilation, contributing to vasoconstriction and increased PVR (Jeffery and Wanstall, 1998; Busch et al, 2010; Dillard et al, 2020). By blocking PDE3 activity, the levels of cAMP are preserved, leading to enhanced vasodilation and inhibition of VSMC proliferation (Murray et al, 2002; Dony et al, 2008). PDE3 inhibitors such as milrinone and cilostazol have shown promise in PH in experimental models and early phase clinical trials (Chen et al, 1997; James et al, 2016). Milrinone, originally developed as an inotropic agent for heart failure, has been repurposed for PH therapy (Bassler et al, 2006; James et al, 2016). However, its use is limited by its short half-life and the need for continuous intravenous infusion. Cilostazol is used primarily for its antiplatelet and vasodilatory effects in peripheral arterial disease (Manolis et al, 2022). Some studies have explored its potential in PH (Chang et al, 2008; Ito et al, 2021), but more research on its efficacy and safety in patients with PH is required.\nPDE4 has been implicated in the pathophysiology of PH (Dony et al, 2008; Izikki et al, 2009). One of the distinguishing features of PH is chronic inflammation within the pulmonary vasculature (Pugliese et al, 2015). In this context, PDE4 plays a crucial role (Li et al, 2018). PDE4 isoforms are abundantly expressed in various immune cells, including macrophages and lymphocytes (Schick and Schlegel, 2022). Reduced cAMP levels result in heightened inflammation and immune cell activation (Raker et al, 2016), making PDE4 inhibitors as potential therapeutic agents in PH (Du et al, 2023). PDE4 inhibition increases intracellular cAMP levels in immune cells, leading to the downregulation of proinflammatory cytokines and reduced immune cell activation (Li et al, 2018). This can complement the effects of existing PH therapies that primarily focus on vasodilation and vascular remodeling (Meloche et al, 2013). PDE4 inhibitors have been explored in experimental PH (Izikki et al, 2009) which improves pulmonary hemodynamics, reduces vascular remodeling, and attenuates inflammation (De Franceschi et al, 2008; Izikki et al, 2009; Seimetz et al, 2015). PDE4 inhibitors require careful dosing to avoid gastrointestinal side effects (Kumar et al, 2013; Li et al, 2018). Therefore, challenges remain in optimizing dosing regimens, addressing potential side effects, and conducting larger-scale clinical trials to establish safety and efficacy in patients with PH (Fig. 13).Fig. 13PDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE5 is particularly significant in the pathophysiology and treatment of PH (Barnes et al, 2019). PDE5 is highly expressed in the pulmonary vasculature, making it a central player in regulating cGMP levels in the lung (Wilkins et al, 2008; Tang et al, 2017). By hydrolyzing cGMP, PDE5 contributes to the vasoconstriction and vascular remodeling seen in PH (Chen et al, 2013; Tang et al, 2017). PDE5 is strongly upregulated in the medial layer of the lungs (Wharton et al, 2005) as well as in the hypertrophied RV of patients with PAH (Nagendran et al, 2007). Sildenafil (Revatio) and tadalafil (Adcirca) have proven their efficacy in placebo-controlled multicenter clinical trials (Ghofrani et al, 2004a; Galie et al, 2005; Galie et al, 2009; Montani et al, 2009; Barnes et al, 2019), improving exercise capacity, hemodynamics, and quality of life (Michelakis et al, 2003; Ghofrani et al, 2004b; Pepke-Zaba et al, 2008). Tadalafil, with its longer half-life (Forgue et al, 2006), offers the convenience of once-daily dosing. Some patients may develop resistance or suboptimal responses to PDE5 inhibitors over time (Unegbu et al, 2017; Barnes et al, 2019; Garcia et al, 2023), and research to enhance their effectiveness is ongoing. Combination therapy with other PH-targeted agents, such as prostacyclin analogs or endothelin receptor antagonists, is being investigated to address the multifactorial nature of PH and provide a more comprehensive treatment strategy (Humbert and Ghofrani, 2016). In this regard, it was shown experimentally that subthreshold doses of specific PDE inhibitors enhanced the pulmonary vasodilatory response to nebulized prostanoids (Schermuly et al, 1999; Schermuly et al, 2001). Clinically, PDE inhibition by sildenafil (Ghofrani et al, 2003) or the PDE3/4 dual-selective inhibitor tolafentrine (Ghofrani et al, 2002) amplified the pulmonary vasodilatory response to the inhaled prostacyclin analog iloprost and provided the basis for the implementation of combination therapy for PAH. This combination strategy aims to address vasoconstriction, vascular remodeling, inflammation, and maintenance of gas exchange (Ruopp and Cockrill, 2022). The combination of the PDE5 inhibitors sildenafil or tadalafil with endothelin receptor antagonists and/or prostacyclin analogs is the gold standard for the treatment of PAH and is included in the European PH treatment guidelines (Humbert et al, 2022).\nAdvantages of PDE5 inhibition in PH management include oral administration, relatively few side effects, and improvements in exercise capacity and quality of life (Buckley et al, 2010). Limitations include response variability (patient and PH subtype-dependent), the potential for drug interactions, and the need for careful monitoring of adverse effects, such as hypotension and visual disturbances (Rashid, 2005). Patient stratification based on underlying causes and pathophysiology is therefore very important (Humbert et al, 2022).\nOngoing research is exploring novel PDE5 inhibitors, alternative dosing regimens, and innovative drug delivery methods (Rashid et al, 2017). Furthermore, a deeper understanding of the heterogeneity of PH, clinical presentation, and the genetic factors influencing PDE5 responsiveness is guiding personalized treatment approaches (Savale et al, 2018; Wilkins, 2021). Also, challenges in combination therapy are being addressed (Lajoie et al, 2017; Dos Santos Fernandes et al, 2017; Burks et al, 2018), as well as interactions with drugs given for other indications (Dos Santos Fernandes et al, 2017; Lajoie et al, 2017).\nPDE1 isoforms have garnered attention for their involvement in PH pathogenesis (Schermuly et al, 2007). Elevated PDE1 activity has been observed in PH in animal models and patients (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). This heightened activity leads to reduced levels of both cAMP and cGMP, contributing to vasoconstriction, enhanced proliferation of VSMCs, and inflammation (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). Importantly, the breakdown of the second messengers limits the efficacy of prostacyclin and NO. By blocking PDE1 activity, it is possible to increase intracellular levels of cAMP and cGMP, promoting vasodilation and inhibiting VSMC proliferation (Murray et al, 2007; Schermuly et al, 2007). In experimental models of PH PDE1 inhibitors improved pulmonary hemodynamics, reduced PVR, and attenuated vascular remodeling (Evgenov et al, 2006; Schermuly et al, 2007; Crosswhite and Sun, 2013). These findings support the idea that PDE1 inhibitors could be a valuable addition to the PH treatment arsenal (Fig. 13).\nAlthough less extensively studied than other PDE isoforms in PH, cellular and functional studies have shown that PDE2 inhibition elicits pulmonary vasodilation, prevents pulmonary vascular remodeling, and reduces right ventricular hypertrophy in experimental PH (Bubb et al, 2014). As PDE2 is also highly expressed in the failing heart (Bobin et al, 2016), further investigations into the mechanisms and effects of PDE2 dysregulation in the RV could offer valuable insights for the development of novel treatment strategies aimed at restoring cyclic nucleotide balance and ameliorating the vascular abnormalities associated with this debilitating disease.\nPDE10 is present in the pulmonary vasculature (Tian et al, 2011). In experimental models of PH, PDE10 inhibitors have been shown to increase cAMP levels, promote vasodilation, and reduce pulmonary vascular remodeling (Huang et al, 2019b; Tian et al, 2011). These findings suggest that PDE10 inhibition could offer a novel therapeutic approach for PH. The translation of preclinical findings into clinical applications is an ongoing process. The long-term safety and tolerability of PDE10 inhibitors need to be thoroughly evaluated in clinical trials, particularly considering the strong expression of PDE10 in the brain. Clinical trials evaluating the safety and efficacy of PDE10 inhibitors in schizophrenia are underway and may provide relevant information to guide clinical development in PH.\n\n\n### cAMP-PDEs in PH\nPDE3 plays a pivotal role in vascular tone regulation and cell proliferation in PH via cAMP (Tilley and Maurice, 2002; Thelitz et al, 2004; Chen et al, 2009a). PDE3 counteracts vasodilation, contributing to vasoconstriction and increased PVR (Jeffery and Wanstall, 1998; Busch et al, 2010; Dillard et al, 2020). By blocking PDE3 activity, the levels of cAMP are preserved, leading to enhanced vasodilation and inhibition of VSMC proliferation (Murray et al, 2002; Dony et al, 2008). PDE3 inhibitors such as milrinone and cilostazol have shown promise in PH in experimental models and early phase clinical trials (Chen et al, 1997; James et al, 2016). Milrinone, originally developed as an inotropic agent for heart failure, has been repurposed for PH therapy (Bassler et al, 2006; James et al, 2016). However, its use is limited by its short half-life and the need for continuous intravenous infusion. Cilostazol is used primarily for its antiplatelet and vasodilatory effects in peripheral arterial disease (Manolis et al, 2022). Some studies have explored its potential in PH (Chang et al, 2008; Ito et al, 2021), but more research on its efficacy and safety in patients with PH is required.\nPDE4 has been implicated in the pathophysiology of PH (Dony et al, 2008; Izikki et al, 2009). One of the distinguishing features of PH is chronic inflammation within the pulmonary vasculature (Pugliese et al, 2015). In this context, PDE4 plays a crucial role (Li et al, 2018). PDE4 isoforms are abundantly expressed in various immune cells, including macrophages and lymphocytes (Schick and Schlegel, 2022). Reduced cAMP levels result in heightened inflammation and immune cell activation (Raker et al, 2016), making PDE4 inhibitors as potential therapeutic agents in PH (Du et al, 2023). PDE4 inhibition increases intracellular cAMP levels in immune cells, leading to the downregulation of proinflammatory cytokines and reduced immune cell activation (Li et al, 2018). This can complement the effects of existing PH therapies that primarily focus on vasodilation and vascular remodeling (Meloche et al, 2013). PDE4 inhibitors have been explored in experimental PH (Izikki et al, 2009) which improves pulmonary hemodynamics, reduces vascular remodeling, and attenuates inflammation (De Franceschi et al, 2008; Izikki et al, 2009; Seimetz et al, 2015). PDE4 inhibitors require careful dosing to avoid gastrointestinal side effects (Kumar et al, 2013; Li et al, 2018). Therefore, challenges remain in optimizing dosing regimens, addressing potential side effects, and conducting larger-scale clinical trials to establish safety and efficacy in patients with PH (Fig. 13).Fig. 13PDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\n\n\n### PDE3\nPDE3 plays a pivotal role in vascular tone regulation and cell proliferation in PH via cAMP (Tilley and Maurice, 2002; Thelitz et al, 2004; Chen et al, 2009a). PDE3 counteracts vasodilation, contributing to vasoconstriction and increased PVR (Jeffery and Wanstall, 1998; Busch et al, 2010; Dillard et al, 2020). By blocking PDE3 activity, the levels of cAMP are preserved, leading to enhanced vasodilation and inhibition of VSMC proliferation (Murray et al, 2002; Dony et al, 2008). PDE3 inhibitors such as milrinone and cilostazol have shown promise in PH in experimental models and early phase clinical trials (Chen et al, 1997; James et al, 2016). Milrinone, originally developed as an inotropic agent for heart failure, has been repurposed for PH therapy (Bassler et al, 2006; James et al, 2016). However, its use is limited by its short half-life and the need for continuous intravenous infusion. Cilostazol is used primarily for its antiplatelet and vasodilatory effects in peripheral arterial disease (Manolis et al, 2022). Some studies have explored its potential in PH (Chang et al, 2008; Ito et al, 2021), but more research on its efficacy and safety in patients with PH is required.\n\n\n### PDE4\nPDE4 has been implicated in the pathophysiology of PH (Dony et al, 2008; Izikki et al, 2009). One of the distinguishing features of PH is chronic inflammation within the pulmonary vasculature (Pugliese et al, 2015). In this context, PDE4 plays a crucial role (Li et al, 2018). PDE4 isoforms are abundantly expressed in various immune cells, including macrophages and lymphocytes (Schick and Schlegel, 2022). Reduced cAMP levels result in heightened inflammation and immune cell activation (Raker et al, 2016), making PDE4 inhibitors as potential therapeutic agents in PH (Du et al, 2023). PDE4 inhibition increases intracellular cAMP levels in immune cells, leading to the downregulation of proinflammatory cytokines and reduced immune cell activation (Li et al, 2018). This can complement the effects of existing PH therapies that primarily focus on vasodilation and vascular remodeling (Meloche et al, 2013). PDE4 inhibitors have been explored in experimental PH (Izikki et al, 2009) which improves pulmonary hemodynamics, reduces vascular remodeling, and attenuates inflammation (De Franceschi et al, 2008; Izikki et al, 2009; Seimetz et al, 2015). PDE4 inhibitors require careful dosing to avoid gastrointestinal side effects (Kumar et al, 2013; Li et al, 2018). Therefore, challenges remain in optimizing dosing regimens, addressing potential side effects, and conducting larger-scale clinical trials to establish safety and efficacy in patients with PH (Fig. 13).Fig. 13PDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\nPDE-related treatment targets and modes of intervention in asthma, COPD and lung fibrosis. Interventions can be classified in single-target PDE4 inhibition (see section Asthma and COPD), and dual- and triple-target PDE4 combination therapy of PDE4 inhibition with other targets (see sections Hybrid Inhibitors for Asthma and COPD and Bifunctional Ligands for COPD). See body text for phase of pharmacotherapeutic development and potential reduction of side-effects of PDE4 inhibition exerted through the central nervous system. ICS, inhaled corticosteroids; LABA, long-acting β-adrenergic agonist; LAMA, long-acting muscarinic agonist. Created with BioRender.com.\n\n\n### cGMP-PDEs\nPDE5 is particularly significant in the pathophysiology and treatment of PH (Barnes et al, 2019). PDE5 is highly expressed in the pulmonary vasculature, making it a central player in regulating cGMP levels in the lung (Wilkins et al, 2008; Tang et al, 2017). By hydrolyzing cGMP, PDE5 contributes to the vasoconstriction and vascular remodeling seen in PH (Chen et al, 2013; Tang et al, 2017). PDE5 is strongly upregulated in the medial layer of the lungs (Wharton et al, 2005) as well as in the hypertrophied RV of patients with PAH (Nagendran et al, 2007). Sildenafil (Revatio) and tadalafil (Adcirca) have proven their efficacy in placebo-controlled multicenter clinical trials (Ghofrani et al, 2004a; Galie et al, 2005; Galie et al, 2009; Montani et al, 2009; Barnes et al, 2019), improving exercise capacity, hemodynamics, and quality of life (Michelakis et al, 2003; Ghofrani et al, 2004b; Pepke-Zaba et al, 2008). Tadalafil, with its longer half-life (Forgue et al, 2006), offers the convenience of once-daily dosing. Some patients may develop resistance or suboptimal responses to PDE5 inhibitors over time (Unegbu et al, 2017; Barnes et al, 2019; Garcia et al, 2023), and research to enhance their effectiveness is ongoing. Combination therapy with other PH-targeted agents, such as prostacyclin analogs or endothelin receptor antagonists, is being investigated to address the multifactorial nature of PH and provide a more comprehensive treatment strategy (Humbert and Ghofrani, 2016). In this regard, it was shown experimentally that subthreshold doses of specific PDE inhibitors enhanced the pulmonary vasodilatory response to nebulized prostanoids (Schermuly et al, 1999; Schermuly et al, 2001). Clinically, PDE inhibition by sildenafil (Ghofrani et al, 2003) or the PDE3/4 dual-selective inhibitor tolafentrine (Ghofrani et al, 2002) amplified the pulmonary vasodilatory response to the inhaled prostacyclin analog iloprost and provided the basis for the implementation of combination therapy for PAH. This combination strategy aims to address vasoconstriction, vascular remodeling, inflammation, and maintenance of gas exchange (Ruopp and Cockrill, 2022). The combination of the PDE5 inhibitors sildenafil or tadalafil with endothelin receptor antagonists and/or prostacyclin analogs is the gold standard for the treatment of PAH and is included in the European PH treatment guidelines (Humbert et al, 2022).\nAdvantages of PDE5 inhibition in PH management include oral administration, relatively few side effects, and improvements in exercise capacity and quality of life (Buckley et al, 2010). Limitations include response variability (patient and PH subtype-dependent), the potential for drug interactions, and the need for careful monitoring of adverse effects, such as hypotension and visual disturbances (Rashid, 2005). Patient stratification based on underlying causes and pathophysiology is therefore very important (Humbert et al, 2022).\nOngoing research is exploring novel PDE5 inhibitors, alternative dosing regimens, and innovative drug delivery methods (Rashid et al, 2017). Furthermore, a deeper understanding of the heterogeneity of PH, clinical presentation, and the genetic factors influencing PDE5 responsiveness is guiding personalized treatment approaches (Savale et al, 2018; Wilkins, 2021). Also, challenges in combination therapy are being addressed (Lajoie et al, 2017; Dos Santos Fernandes et al, 2017; Burks et al, 2018), as well as interactions with drugs given for other indications (Dos Santos Fernandes et al, 2017; Lajoie et al, 2017).\n\n\n### PDE5\nPDE5 is particularly significant in the pathophysiology and treatment of PH (Barnes et al, 2019). PDE5 is highly expressed in the pulmonary vasculature, making it a central player in regulating cGMP levels in the lung (Wilkins et al, 2008; Tang et al, 2017). By hydrolyzing cGMP, PDE5 contributes to the vasoconstriction and vascular remodeling seen in PH (Chen et al, 2013; Tang et al, 2017). PDE5 is strongly upregulated in the medial layer of the lungs (Wharton et al, 2005) as well as in the hypertrophied RV of patients with PAH (Nagendran et al, 2007). Sildenafil (Revatio) and tadalafil (Adcirca) have proven their efficacy in placebo-controlled multicenter clinical trials (Ghofrani et al, 2004a; Galie et al, 2005; Galie et al, 2009; Montani et al, 2009; Barnes et al, 2019), improving exercise capacity, hemodynamics, and quality of life (Michelakis et al, 2003; Ghofrani et al, 2004b; Pepke-Zaba et al, 2008). Tadalafil, with its longer half-life (Forgue et al, 2006), offers the convenience of once-daily dosing. Some patients may develop resistance or suboptimal responses to PDE5 inhibitors over time (Unegbu et al, 2017; Barnes et al, 2019; Garcia et al, 2023), and research to enhance their effectiveness is ongoing. Combination therapy with other PH-targeted agents, such as prostacyclin analogs or endothelin receptor antagonists, is being investigated to address the multifactorial nature of PH and provide a more comprehensive treatment strategy (Humbert and Ghofrani, 2016). In this regard, it was shown experimentally that subthreshold doses of specific PDE inhibitors enhanced the pulmonary vasodilatory response to nebulized prostanoids (Schermuly et al, 1999; Schermuly et al, 2001). Clinically, PDE inhibition by sildenafil (Ghofrani et al, 2003) or the PDE3/4 dual-selective inhibitor tolafentrine (Ghofrani et al, 2002) amplified the pulmonary vasodilatory response to the inhaled prostacyclin analog iloprost and provided the basis for the implementation of combination therapy for PAH. This combination strategy aims to address vasoconstriction, vascular remodeling, inflammation, and maintenance of gas exchange (Ruopp and Cockrill, 2022). The combination of the PDE5 inhibitors sildenafil or tadalafil with endothelin receptor antagonists and/or prostacyclin analogs is the gold standard for the treatment of PAH and is included in the European PH treatment guidelines (Humbert et al, 2022).\nAdvantages of PDE5 inhibition in PH management include oral administration, relatively few side effects, and improvements in exercise capacity and quality of life (Buckley et al, 2010). Limitations include response variability (patient and PH subtype-dependent), the potential for drug interactions, and the need for careful monitoring of adverse effects, such as hypotension and visual disturbances (Rashid, 2005). Patient stratification based on underlying causes and pathophysiology is therefore very important (Humbert et al, 2022).\nOngoing research is exploring novel PDE5 inhibitors, alternative dosing regimens, and innovative drug delivery methods (Rashid et al, 2017). Furthermore, a deeper understanding of the heterogeneity of PH, clinical presentation, and the genetic factors influencing PDE5 responsiveness is guiding personalized treatment approaches (Savale et al, 2018; Wilkins, 2021). Also, challenges in combination therapy are being addressed (Lajoie et al, 2017; Dos Santos Fernandes et al, 2017; Burks et al, 2018), as well as interactions with drugs given for other indications (Dos Santos Fernandes et al, 2017; Lajoie et al, 2017).\n\n\n### Dual-substrate PDEs in PH\nPDE1 isoforms have garnered attention for their involvement in PH pathogenesis (Schermuly et al, 2007). Elevated PDE1 activity has been observed in PH in animal models and patients (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). This heightened activity leads to reduced levels of both cAMP and cGMP, contributing to vasoconstriction, enhanced proliferation of VSMCs, and inflammation (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). Importantly, the breakdown of the second messengers limits the efficacy of prostacyclin and NO. By blocking PDE1 activity, it is possible to increase intracellular levels of cAMP and cGMP, promoting vasodilation and inhibiting VSMC proliferation (Murray et al, 2007; Schermuly et al, 2007). In experimental models of PH PDE1 inhibitors improved pulmonary hemodynamics, reduced PVR, and attenuated vascular remodeling (Evgenov et al, 2006; Schermuly et al, 2007; Crosswhite and Sun, 2013). These findings support the idea that PDE1 inhibitors could be a valuable addition to the PH treatment arsenal (Fig. 13).\nAlthough less extensively studied than other PDE isoforms in PH, cellular and functional studies have shown that PDE2 inhibition elicits pulmonary vasodilation, prevents pulmonary vascular remodeling, and reduces right ventricular hypertrophy in experimental PH (Bubb et al, 2014). As PDE2 is also highly expressed in the failing heart (Bobin et al, 2016), further investigations into the mechanisms and effects of PDE2 dysregulation in the RV could offer valuable insights for the development of novel treatment strategies aimed at restoring cyclic nucleotide balance and ameliorating the vascular abnormalities associated with this debilitating disease.\nPDE10 is present in the pulmonary vasculature (Tian et al, 2011). In experimental models of PH, PDE10 inhibitors have been shown to increase cAMP levels, promote vasodilation, and reduce pulmonary vascular remodeling (Huang et al, 2019b; Tian et al, 2011). These findings suggest that PDE10 inhibition could offer a novel therapeutic approach for PH. The translation of preclinical findings into clinical applications is an ongoing process. The long-term safety and tolerability of PDE10 inhibitors need to be thoroughly evaluated in clinical trials, particularly considering the strong expression of PDE10 in the brain. Clinical trials evaluating the safety and efficacy of PDE10 inhibitors in schizophrenia are underway and may provide relevant information to guide clinical development in PH.\n\n\n### PDE1\nPDE1 isoforms have garnered attention for their involvement in PH pathogenesis (Schermuly et al, 2007). Elevated PDE1 activity has been observed in PH in animal models and patients (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). This heightened activity leads to reduced levels of both cAMP and cGMP, contributing to vasoconstriction, enhanced proliferation of VSMCs, and inflammation (Murray et al, 2007; Schermuly et al, 2007; Crosswhite and Sun, 2013). Importantly, the breakdown of the second messengers limits the efficacy of prostacyclin and NO. By blocking PDE1 activity, it is possible to increase intracellular levels of cAMP and cGMP, promoting vasodilation and inhibiting VSMC proliferation (Murray et al, 2007; Schermuly et al, 2007). In experimental models of PH PDE1 inhibitors improved pulmonary hemodynamics, reduced PVR, and attenuated vascular remodeling (Evgenov et al, 2006; Schermuly et al, 2007; Crosswhite and Sun, 2013). These findings support the idea that PDE1 inhibitors could be a valuable addition to the PH treatment arsenal (Fig. 13).\n\n\n### PDE2\nAlthough less extensively studied than other PDE isoforms in PH, cellular and functional studies have shown that PDE2 inhibition elicits pulmonary vasodilation, prevents pulmonary vascular remodeling, and reduces right ventricular hypertrophy in experimental PH (Bubb et al, 2014). As PDE2 is also highly expressed in the failing heart (Bobin et al, 2016), further investigations into the mechanisms and effects of PDE2 dysregulation in the RV could offer valuable insights for the development of novel treatment strategies aimed at restoring cyclic nucleotide balance and ameliorating the vascular abnormalities associated with this debilitating disease.\n\n\n### PDE10\nPDE10 is present in the pulmonary vasculature (Tian et al, 2011). In experimental models of PH, PDE10 inhibitors have been shown to increase cAMP levels, promote vasodilation, and reduce pulmonary vascular remodeling (Huang et al, 2019b; Tian et al, 2011). These findings suggest that PDE10 inhibition could offer a novel therapeutic approach for PH. The translation of preclinical findings into clinical applications is an ongoing process. The long-term safety and tolerability of PDE10 inhibitors need to be thoroughly evaluated in clinical trials, particularly considering the strong expression of PDE10 in the brain. Clinical trials evaluating the safety and efficacy of PDE10 inhibitors in schizophrenia are underway and may provide relevant information to guide clinical development in PH.\n\n\n### Pulmonary fibrosis: epidemiology of pulmonary fibrosis\nProgressive pulmonary fibrosis (PPF) and idiopathic pulmonary fibrosis (IPF) are interstitial lung diseases (ILDs) of known and unknown origin, respectively, and are characterized by progressive fibrosis of the pulmonary interstitium leading to an impairment of lung function and finally to death (Raghu et al, 2014; Cottin et al, 2019; Kolb and Vasakova, 2019; Raghu et al, 2022). Up to 40% of patients with ILDs may develop a progressing fibrotic phenotype, which is associated with high mortality, with median postdiagnosis survival in patients with IPF estimated at 2–5 years (Raghu et al, 2014). Progression of fibrosing ILD is reflected especially in a decline in pulmonary function, decrease in exercise capacity, deterioration in the quality of life, worsening of cough and dyspnea, acute exacerbations, and increase of morphologic abnormalities (Cottin et al, 2019; Kolb and Vasakova, 2019). In patients with IPF, a decline of forced vital capacity (FVC), the maximum amount of air one can forcibly exhale from the lungs after fully inhaling, is a well established predictor of mortality, and some blood biomarkers including the pneumyocyte type 2-regeneration marker KL-6, surfactant protein (SP)-D and extracellular matrix remodeling enzyme matrix metalloproteinase (MMP)-7 have been shown to be prognostic for disease progression (Karampitsakos et al, 2023). Currently, the only approved treatments to slow disease progression in IPF are nintedanib, a tyrosine kinase inhibitor, which is also indicated for PF-ILD, and pirfenidone, a pyridone with an unknown mechanism of action (Richeldi et al, 2018). However, the medical need for IPF and other progressive fibrosing ILDs remains high, with lung transplantation representing the only potentially curative treatment for IPF.\nWith respect to IPF pathophysiology, there has been a paradigm shift in recent years from a chronic inflammatory disorder to a primarily fibrotic disease. The current hypothesis of disease pathogenesis involves sustained alveolar epithelial microinjury, followed by a disordered repair, and wound healing response. This is characterized by uncontrolled activation of lung fibroblasts and differentiation to myofibroblasts, resulting in excessive extracellular matrix deposition and scarring of lung parenchyma, leading to loss of pulmonary function (Sgalla et al, 2018; Spagnolo et al, 2018). The wound-healing process includes an inflammatory phase, with the involvement of inflammatory cells and increased levels of cytokines and growth factors, creating a biochemical environment supporting chronic tissue remodeling. Nintedanib and pirfenidone have displayed antifibrotic and anti-inflammatory activity (Heukels et al, 2019) but slowed down the decline in FVC. Both compounds evoke significant side effects, leaving room for better-tolerated and efficacious medication. PDE4 inhibition offers this via anti-inflammatory and antifibrotic effects of cAMP (Richeldi et al, 2022). Increase in cGMP levels by inhibition of PDE5 is ineffective, eg, when sildenafil is given on top of nintedanib, in IPF (Kolb et al, 2018).\n\n\n### Pathophysiology of pulmonary fibrosis\nWith respect to IPF pathophysiology, there has been a paradigm shift in recent years from a chronic inflammatory disorder to a primarily fibrotic disease. The current hypothesis of disease pathogenesis involves sustained alveolar epithelial microinjury, followed by a disordered repair, and wound healing response. This is characterized by uncontrolled activation of lung fibroblasts and differentiation to myofibroblasts, resulting in excessive extracellular matrix deposition and scarring of lung parenchyma, leading to loss of pulmonary function (Sgalla et al, 2018; Spagnolo et al, 2018). The wound-healing process includes an inflammatory phase, with the involvement of inflammatory cells and increased levels of cytokines and growth factors, creating a biochemical environment supporting chronic tissue remodeling. Nintedanib and pirfenidone have displayed antifibrotic and anti-inflammatory activity (Heukels et al, 2019) but slowed down the decline in FVC. Both compounds evoke significant side effects, leaving room for better-tolerated and efficacious medication. PDE4 inhibition offers this via anti-inflammatory and antifibrotic effects of cAMP (Richeldi et al, 2022). Increase in cGMP levels by inhibition of PDE5 is ineffective, eg, when sildenafil is given on top of nintedanib, in IPF (Kolb et al, 2018).\n\n\n### Role of PDEs in pathophysiology and as drug targets in pulmonary fibrosis\nIn pulmonary fibrosis (PF), the possible application of PDE targeting is centered around PDE4. Very scarce evidence is available with respect to other PDEs, although PDE1, PDE5, and PDE9 have been mentioned as possible targets (Yildirim et al, 2010; Ren et al, 2017; Wu et al, 2020; Balaha et al, 2023). PDE4 has traditionally been implicated in the regulation of inflammation and the modulation of immune-competent cells, and data for the 3 selective pan-PDE4 inhibitors (active on PDE4A-D) currently marketed (roflumilast, apremilast, and crisaborole) support a beneficial role for PDE4 inhibition in inflammatory and/or autoimmune diseases (Hatzelmann et al, 2010; Sakkas et al, 2017; Li et al, 2018).\nImportant for PF, in bleomycin-induced PF in rats, rolipram initially was shown to inhibit fibrotic score, the content of fibrosis marker hydroxyproline, and of the inflammatory marker, serum TNF-α (Pan et al, 2009). A second early study in mice and rats showed that oral roflumilast was active both in preventive and therapeutic protocols (Cortijo et al, 2009). Cilomilast was shown to inhibit late-stage lung fibrosis and tended to reduce collagen content in the mouse bleomycin model (Udalov et al, 2010). In a murine model of lung fibrosis targeting type II alveolar epithelial cells, roflumilast lowered lung hydroxyproline content and mRNA expression of TNF-α, fibronectin (FN), and connecting tissue growth factor (CTGF; Sisson et al, 2018). Again, roflumilast was active both in a preventive and therapeutic regimen, and under the latter conditions, it appeared to be therapeutically equieffective with pirfenidone and nintedanib. Furthermore, in a mouse model of chronic graft-versus-host disease, lung fibrosis was attenuated by roflumilast (Kim et al, 2016).\nPDE4 inhibitors might act indirectly via inhibition of proinflammatory cells (like alveolar macrophages) and their mediators and/or directly on fibrotic cell types. In human embryonal fibroblast models, PDE4 and prostaglandin E2 (PGE2), which increases cAMP, importantly interact: rolipram- and cilomilast-inhibited FN-induced chemotaxis and contraction of collagen gels, an effect that involved PGE2 (Kohyama et al, 2002). The inhibition of the fibroblast functions by cilomilast could be modulated by cytokines like IL-1ß or IL-4. In addition, TGF-ß1-stimulated FN release was inhibited by a PDE4 inhibitor, paralleled by stimulation of PGE2 release as a positive feedback mechanism (Togo et al, 2009). Roflumilast N-oxide, the active metabolite of roflumilast, in the presence of PGE2 was shown to inhibit intercellular adhesion molecule-1 and eotaxin release stimulated by TNFα, proliferation stimulated by basic fibroblast growth factor (bFGF) plus IL-1ß, as well as TGFß1-induced α-SMA, CTGF, and FN mRNA expression in the presence of IL-1ß (Sabatini et al, 2010). In normal human lung fibroblasts, TGF-β-induced fibroblast-to-myofibroblast conversion assessed by α-SMA expression was shown to be inhibited by piclamilast in the presence of PGE2 (Dunkern et al, 2007). In subsequent papers, the same investigators showed the inhibition of IL-1ß plus bFGF-stimulated fibroblast proliferation by piclamilast and the importance of COX-2 and PGE2 (Selige et al, 2010). The importance of a cAMP trigger for the modulation of fibroblast functions by PDE4 inhibition was corroborated by the inhibition by roflumilast of TGF-β1-induced CTGF mRNA and α-SMA protein expression, and FN in the presence of the long-acting β2-adrenoceptor agonist, indacaterol (Tannheimer et al, 2012). Moreover, the inhibition by rolipram of another interesting aspect of fibrosis, epithelial-mesenchymal transition, was shown in the TGF-ß1-stimulated A549 human alveolar epithelial cell line (Kolosionek et al, 2009). Thus, a multitude of in vitro studies indicate that PDE4 inhibitors can directly inhibit various cAMP-dependent fibroblast functions. Upregulation of PDE4 activity by cytokines such as IL-1β may further enhance this role (Fig. 13).\nThere is also evidence for the role of isoform-selective PDE4 inhibition. By using PDE4 subtype-specific siRNA, the involvement of PDE4B and PDE4A in the attenuation of IL-1ß plus bFGF-stimulated fibroblast proliferation, as well as the involvement of PDE4B and PDE4D in TGF-ß-induced α-SMA expression, was shown (Selige et al, 2011). In most of the fibrosis-relevant cell types, like fibroblasts, macrophages, and epithelial cells, the PDE4B seems to have a more prominent role than other PDE4 subtypes (Hatzelmann et al, 2010), which was confirmed by the inhibition of cytokine release, proliferation, fibroblast-to-myofibroblast transition, and expression of extracellular matrix proteins by BI 1015550 (nerandomilast), a preferential PDE4B inhibitor with 9-fold selectivity for PDE4B vs PDE4D (Herrmann et al, 2022). In a phase II study in IPF patients, BI 1015550, although showing acceptable tolerability and safety, stabilized lung function in both patients with and without antifibrotic background therapy over 12 weeks and reduced disease-relevant blood biomarkers indicative of effects on the epithelium, fibrosis, and inflammation (Richeldi et al, 2022). BI 1015550 is currently in phase III clinical studies for IPF and PPF (NCT05321069 and NCT05321082).\n\n\n### cAMP-PDEs: PDE4\nIn pulmonary fibrosis (PF), the possible application of PDE targeting is centered around PDE4. Very scarce evidence is available with respect to other PDEs, although PDE1, PDE5, and PDE9 have been mentioned as possible targets (Yildirim et al, 2010; Ren et al, 2017; Wu et al, 2020; Balaha et al, 2023). PDE4 has traditionally been implicated in the regulation of inflammation and the modulation of immune-competent cells, and data for the 3 selective pan-PDE4 inhibitors (active on PDE4A-D) currently marketed (roflumilast, apremilast, and crisaborole) support a beneficial role for PDE4 inhibition in inflammatory and/or autoimmune diseases (Hatzelmann et al, 2010; Sakkas et al, 2017; Li et al, 2018).\nImportant for PF, in bleomycin-induced PF in rats, rolipram initially was shown to inhibit fibrotic score, the content of fibrosis marker hydroxyproline, and of the inflammatory marker, serum TNF-α (Pan et al, 2009). A second early study in mice and rats showed that oral roflumilast was active both in preventive and therapeutic protocols (Cortijo et al, 2009). Cilomilast was shown to inhibit late-stage lung fibrosis and tended to reduce collagen content in the mouse bleomycin model (Udalov et al, 2010). In a murine model of lung fibrosis targeting type II alveolar epithelial cells, roflumilast lowered lung hydroxyproline content and mRNA expression of TNF-α, fibronectin (FN), and connecting tissue growth factor (CTGF; Sisson et al, 2018). Again, roflumilast was active both in a preventive and therapeutic regimen, and under the latter conditions, it appeared to be therapeutically equieffective with pirfenidone and nintedanib. Furthermore, in a mouse model of chronic graft-versus-host disease, lung fibrosis was attenuated by roflumilast (Kim et al, 2016).\nPDE4 inhibitors might act indirectly via inhibition of proinflammatory cells (like alveolar macrophages) and their mediators and/or directly on fibrotic cell types. In human embryonal fibroblast models, PDE4 and prostaglandin E2 (PGE2), which increases cAMP, importantly interact: rolipram- and cilomilast-inhibited FN-induced chemotaxis and contraction of collagen gels, an effect that involved PGE2 (Kohyama et al, 2002). The inhibition of the fibroblast functions by cilomilast could be modulated by cytokines like IL-1ß or IL-4. In addition, TGF-ß1-stimulated FN release was inhibited by a PDE4 inhibitor, paralleled by stimulation of PGE2 release as a positive feedback mechanism (Togo et al, 2009). Roflumilast N-oxide, the active metabolite of roflumilast, in the presence of PGE2 was shown to inhibit intercellular adhesion molecule-1 and eotaxin release stimulated by TNFα, proliferation stimulated by basic fibroblast growth factor (bFGF) plus IL-1ß, as well as TGFß1-induced α-SMA, CTGF, and FN mRNA expression in the presence of IL-1ß (Sabatini et al, 2010). In normal human lung fibroblasts, TGF-β-induced fibroblast-to-myofibroblast conversion assessed by α-SMA expression was shown to be inhibited by piclamilast in the presence of PGE2 (Dunkern et al, 2007). In subsequent papers, the same investigators showed the inhibition of IL-1ß plus bFGF-stimulated fibroblast proliferation by piclamilast and the importance of COX-2 and PGE2 (Selige et al, 2010). The importance of a cAMP trigger for the modulation of fibroblast functions by PDE4 inhibition was corroborated by the inhibition by roflumilast of TGF-β1-induced CTGF mRNA and α-SMA protein expression, and FN in the presence of the long-acting β2-adrenoceptor agonist, indacaterol (Tannheimer et al, 2012). Moreover, the inhibition by rolipram of another interesting aspect of fibrosis, epithelial-mesenchymal transition, was shown in the TGF-ß1-stimulated A549 human alveolar epithelial cell line (Kolosionek et al, 2009). Thus, a multitude of in vitro studies indicate that PDE4 inhibitors can directly inhibit various cAMP-dependent fibroblast functions. Upregulation of PDE4 activity by cytokines such as IL-1β may further enhance this role (Fig. 13).\nThere is also evidence for the role of isoform-selective PDE4 inhibition. By using PDE4 subtype-specific siRNA, the involvement of PDE4B and PDE4A in the attenuation of IL-1ß plus bFGF-stimulated fibroblast proliferation, as well as the involvement of PDE4B and PDE4D in TGF-ß-induced α-SMA expression, was shown (Selige et al, 2011). In most of the fibrosis-relevant cell types, like fibroblasts, macrophages, and epithelial cells, the PDE4B seems to have a more prominent role than other PDE4 subtypes (Hatzelmann et al, 2010), which was confirmed by the inhibition of cytokine release, proliferation, fibroblast-to-myofibroblast transition, and expression of extracellular matrix proteins by BI 1015550 (nerandomilast), a preferential PDE4B inhibitor with 9-fold selectivity for PDE4B vs PDE4D (Herrmann et al, 2022). In a phase II study in IPF patients, BI 1015550, although showing acceptable tolerability and safety, stabilized lung function in both patients with and without antifibrotic background therapy over 12 weeks and reduced disease-relevant blood biomarkers indicative of effects on the epithelium, fibrosis, and inflammation (Richeldi et al, 2022). BI 1015550 is currently in phase III clinical studies for IPF and PPF (NCT05321069 and NCT05321082).\n\n\n### Asthma and COPD\nAsthma is a pulmonary disease in which chronic inflammation plays a central role. Similarly, COPD is often associated with airway inflammation, although systemic manifestations are also commonplace. Although PDE inhibition is not a standard of clinical care for the treatment of either disorder, developments are ongoing that are largely centered around inhibitors of PDE4. Cigarette smoking is an important risk factor for asthma and COPD exacerbations and can increase the expression and function of certain PDE4 isoforms. For example, PDE4D mRNA abundance was significantly elevated in human airway smooth muscle (ASM) cells and precision-cut murine lung slices exposed acutely to cigarette smoke extract (Singh et al, 2009; Zuo et al, 2018). Moreover, an increase in PDE4A4 mRNA and catalytic activity was detected in macrophages harvested from the bronchoalveolar lavage (BAL) fluid of smoking individuals with COPD relative to control subjects (Barber et al, 2004). The physiological consequences of enhanced PDE4 activity are ill-defined. However, in obstructive lung diseases, one might predict that a noxious insult that lowers cAMP would enhance pulmonary inflammation, which could be rectified with a PDE4 inhibitor (Milara et al, 2012; Zuo et al, 2018). These findings may have clinical relevance, given that a genome-wide association study of a cohort of Korean individuals identified a SNP in PDE4D, rs16878037, which was significantly associated with a susceptibility to nonemphysematous COPD (Yoon et al, 2014). Differences in the expression of transcripts that encode other PDEs including PDE1A, PDE6A, PDE7A, and PDE11A have also been detected in nasal and bronchial epithelial cells obtained from current smokers when compared with never smokers (Zuo et al, 2020). These changes have not been verified at the protein level and the (patho)physiological relevance is, therefore, unclear. Still, Pde11a has been linked, genetically, to inflammatory pulmonary conditions including asthma and symptomatic tuberculosis (Witwicka et al, 2007; Bazhin et al, 2010; DeWan et al, 2010; Oki et al, 2011; Zhu et al, 2019b). In the sections that follow, the potential therapeutic utility, limitations, and challenges of developing inhibitors of PDE4 and other PDE subtypes for asthma and COPD are reviewed.\nAsthma afflicts >350 million people globally and represents one of the most common, noncommunicable diseases with a prevalence that is predicted to increase to 450 million by 2025 (Vos, 2017). Mortality from asthma is low, but the burden it inflicts on society is considerable in terms of morbidity, quality of life, and associated economic costs (Dharmage et al, 2019; Reddel et al, 2019). Asthma is a heterogeneous disease with many endotypes that do not respond equally to current drug interventions (Wenzel, 2012). In ∼50% of cases, asthma has an allergic basis that is characterized by recurrent airway obstruction, airway hyper-responsiveness, airway inflammation, and airway remodeling (Woodruff et al, 2009).\nDespite the heterogeneity of disease, treatment options for all patients with mild-to-moderate asthma are similar. The 2024 Global Initiative for Asthma treatment guidelines recommends that a combination of an inhaled corticosteroid (ICS) and the long-acting β2-adrenoceptor agonist (LABA), formoterol, is the “preferred” approach to provide as-needed relief of symptoms and maintenance control of the disease at all levels of severity (Reddel et al, 2019). Global Initiative for Asthma also advocates that a long-acting muscarinic receptor antagonist (LAMA) and/or biologicals be considered for the treatment of patients with severe disease in whom high-dose ICS/LABA combination therapy is suboptimal (Reddel et al, 2019). Regardless of these therapeutic approaches, many patients with severe asthma who suffer frequent exacerbations are still poorly controlled. In these difficult-to-treat cases, PDE inhibitors could prove to be beneficial as add-on therapies and remain in clinical development.\nCOPD is a leading cause of morbidity and mortality globally (Vogelmeier et al, 2017; Mirza et al, 2018; Reddel et al, 2019). According to the Global Initiative for Obstructive Lung Diseases (GOLD) guidelines, COPD is defined as “a common preventable and treatable disease” characterized by “persistent airflow limitation that is usually progressive and associated with an enhanced chronic inflammatory response in the airways and the lung to noxious particles and gases” (Vogelmeier et al, 2017; Mirza et al, 2018). Despite this definition, COPD is a generic term that describes a heterogeneity of endotypes (Miravitlles et al, 2013; Vestbo, 2014; Barnes, 2019) where chronic bronchitis, cough, idiopathic sputum production, airway wall thickening, mucus hypersecretion, and destruction of alveolar septa (ie, emphysema) are present to a greater or lesser extent (Barnes, 2004; Krzyzanowski et al, 2005; Barnes, 2008; McDonough et al, 2011); together, these pathologies contribute to the persistent, partially irreversible, and progressive decline in lung function that defines COPD (Postma and Timens, 2006; Hogg and Timens, 2009; van den Berge et al, 2011; Vogelmeier et al, 2017; Mirza et al, 2018). Due to high morbidity and mortality, COPD continues to impose a significant social and economic burden. Indeed, the number of deaths from COPD is projected to increase because of higher rates of cigarette smoking in the developing world and an aging global population in general (Vogelmeier et al, 2017; Mirza et al, 2018).\nTreatment of COPD is, for the most part, restricted to bronchodilators. A LABA or a LAMA, each taken as a monotherapy or in combination, are recommended options to provide symptomatic relief (Vogelmeier et al, 2017; Mirza et al, 2018). In patients with more severe disease, anti-inflammatory therapy is often indicated with an ICS and/or an oral PDE4 inhibitor (Vogelmeier et al, 2017; Mirza et al, 2018). The utility of a PDE4 inhibitor is restricted to a subgroup of patients with COPD of a severe, bronchitic, frequent exacerbator phenotype who are not well controlled despite ICS and bronchodilator therapy (Briggs et al, 2010; Hurst et al, 2010; Giembycz and Maurice, 2014; Giembycz and Newton, 2014; Maurice et al, 2014; Vogelmeier et al, 2017; Mirza et al, 2018). Exacerbations of COPD are a major clinical concern because they are difficult to control, contribute significantly to the decline in lung function, and are the major cause of premature mortality (Mallia and Johnston, 2006; Kurai et al, 2013; Viniol and Vogelmeier, 2018). Hence, reducing the risk of a COPD exacerbation represents a primary therapeutic objective. Exacerbations of COPD are often precipitated by a bacterial and/or viral infection and are, thus, believed to have an inflammatory basis (Mallia and Johnston, 2006; Kurai et al, 2013; Ni et al, 2015; Viniol and Vogelmeier, 2018). This may explain why ICS and PDE4 inhibitors can be of benefit in subjects with COPD in whom airways inflammation is discernible.\nPDE4 isoforms are expressed in most immune and structural cells of the airways and regulate many inflammatory processes (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). This realization led to the proposal in the late 1980s that PDE4 might represent a novel target for treating inflammatory diseases. A primary indication was asthma, and a huge effort ensued to rigorously define PDE4 as a viable therapeutic target (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). Despite initial optimism, the efficacy of PDE4 inhibitors as an asthma therapeutic has been uniformly disappointing, and most compounds selected for clinical development have been discontinued (Giembycz, 2008). The high rate of attrition is attributable to a low therapeutic ratio because of the inhibition of PDE4 in nontarget tissues with nausea and vomiting being the most severe, dose-limiting adverse effects. Thus, understanding the molecular basis of emesis became a priority. At that time, it was known that cAMP could enhance noradrenergic neuronal activity within the highly vascularized area postrema in the brainstem, which is linked, causally, to emesis (Carpenter et al, 1988). This was confirmed by delivering PDE4 inhibitors directly into the area postrema of ferrets by intracerebroventricular injection (Robichaud et al, 1999). Moreover, it was understood that PDE4 inhibitor-induced emesis is attenuated by the α2-adrenoceptor agonist, clonidine. Thus, emesis was assumed to be due to an increase of cAMP in noradrenergic neurons given that the α2-adrenoceptor is negatively coupled to adenylyl cyclase (Robichaud et al, 2001). Indeed, the tolerability of PDE4 inhibitors can be improved by limiting brain penetration (Aoki et al, 2001).\nIn the early 2000s, a popular hypothesis was that a specific PDE4 isoform regulated the emetic response. However, at that time, subtype-selective inhibitors had not been described. To overcome this limitation, a behavioral correlate of vomiting was developed in mice carrying targeted deletions of the genes encoding Pde4b and Pde4d (Robichaud et al, 2002). This approach was utilized because mice (and rodents in general) are anatomically constrained and cannot vomit; they are unable to relax their crural diaphragm or open their esophageal sphincter and appear to lack critical efferent pathways that drive the emetic reflex in higher mammals (Borison et al, 1981; Hanson, 2003; Horn et al, 2013). The murine model of emesis relies on the ability of α2-adrenoceptor agonists to promote anesthesia by reducing the cAMP content in noradrenergic fibers within the brainstem, which can be attenuated by PDE4 inhibitors (Giembycz, 2002; Robichaud et al, 2002). Robichaud et al (2002) found that the duration of α2-adrenoceptor-mediated anesthesia was significantly attenuated in mice lacking Pde4d but not Pde4b implicating a Pde4d isoform(s) in the emetic response. The presence of PDE4D/Pde4d within various brain regions of several species was consistent with this idea (Cherry and Davis, 1999; Takahashi et al, 1999; Pérez-Torres et al, 2000; Lamontagne et al, 2001). However, PDE4B/Pde4b has also been detected in many of these same brain regions (Pérez-Torres et al, 2000), and inhibitors of PDE4B, which are >80-fold selective over PDE4D, do not display a superior therapeutic index (Naganuma et al, 2009; Suzuki et al, 2013). Moreover, so-called, negative allosteric PDE4D inhibitors have been described, which preferentially partition into the brain and, therefore, will reach the area postrema. These compounds, of which D-159687 and zatolmilast are examples, display a unique mechanism of action in that they block cAMP hydrolysis by modifying the dimeric structure of PDE4D rather than by simply competing with the substrate at the catalytic site (Burgin et al, 2010; Houslay and Adams, 2010; Gurney et al, 2011). Based on the results obtained in Pde4d knockout mice, these compounds should promote emesis. However, paradoxically, they have significantly reduced emetic liability (Burgin et al, 2010; Gurney et al, 2011; Zhang et al, 2017b). Thus, the assumption that PDE4 inhibitors with weak activity against the 4D isoenzyme should be less emetic is likely misplaced. Indeed, several companies including Tetra Therapeutics (a subsidiary of Shionogi & Co) are purposefully developing selective PDE4D inhibitors (eg, zatolmilast) with Fragile X syndrome and AD being primary indications. Clinical trials of these compounds are ongoing (eg, NCT05367960 and NCT03817684), and it will be instructive, from the perspective of developing new PDE4 inhibitors for asthma and COPD, if the improved therapeutic ratios reported in animal models translate into improved safety and tolerability in humans.\nThe abject failure of PDE4 inhibitors as an asthma therapy prompted the pharmaceutical industry to repurpose this drug class for other airway diseases, in particular, COPD. Cilomilast (aka Ariflo, SB-207499), developed by GlaxoSmithKline (GSK), was the first PDE4 inhibitor to progress to phase III clinical trials (Giembycz, 2001; 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). The decision to develop cilomilast was based on a conceptually robust hypothesis, abundant preclinical data, and the encouraging results of phase II clinical studies (Torphy et al, 1999). However, the results of the phase III development program were disappointing and did not meet the expectations of the phase II studies (Giembycz, 2001, 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). Like the asthma trials, dose-limiting adverse events remained a major cause for concern due, in part, to the interaction of cilomilast with PDE4 in “off-target” tissues. Despite these unremarkable data, the FDA, in October 2003, issued an approval letter to GSK for the use of cilomilast in the “maintenance of lung function in COPD patients poorly responsive to salbutamol” (Clinical_Trials_Arena, 2003). However, this was conditional on the outcome of further efficacy and tolerability studies, which were to focus on gastrointestinal events of concern, the sustainability of clinical benefits, and whether the difference in lung function between the cilomilast- and placebo-treated subjects improved further in long-term dosing studies. These additional trials were, presumably, unsuccessful since the development of cilomilast was discontinued in 2007.\nOther PDE4 inhibitors originally developed for asthma have also been repurposed for COPD. In particular, the results of several large, international, multicenter, randomized, placebo-controlled trials led the European Medicines Agency, in April 2010, to approve the use of roflumilast (aka Daxas, Daliresp, Byk 2869) for the “maintenance treatment of severe COPD associated with chronic bronchitis in adult patients with a history of frequent exacerbations as add-on to bronchodilator treatment” (Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009; Giembycz and Field, 2010; Gross et al, 2010; Wedzicha et al, 2016). Given orally, roflumilast (500 μg o.d.) significantly improved lung function and reduced the frequency of exacerbations. Notably, these beneficial effects were more pronounced in patients with severe, bronchitic disease suggesting that the primary activity of roflumilast was to suppress inflammation (Miravitlles et al, 2013; Giembycz and Newton, 2014). Nevertheless, the most common adverse effects were gastrointestinal discomfort and headache (presumably due to cerebrovascular vasodilation; Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009), which were similar to those produced by all other PDE4 inhibitors that had been evaluated clinically. Currently, roflumilast is one of only 2 PDE4 inhibitors that has been approved for COPD and offers physicians an add-on treatment option for patients with more severe disease in whom traditional bronchodilator and glucocorticoid therapies are suboptimal.\nDespite the emetic liability of PDE4 inhibitors, interest in these compounds as therapeutics for respiratory diseases continues with tanimilast (aka CHF-6001) being the most advanced candidate in clinical development. Tanimilast is a highly potent, subnanomolar inhibitor of PDE4 that does not discriminate between PDE4 isoforms (Armani et al, 2014). In cell-based assays and preclinical models of airway inflammation, it displays pleiotropic anti-inflammatory activity with limited emetic liability (Fioni et al, 2018; Facchinetti et al, 2021; Schioppa et al, 2022). For example, tanimilast (1 μmol/kg i.t.) inhibited allergen-induced eosinophilia in rats by >90% without producing nausea-like behavior in conscious ferrets, which likely reflects low systemic exposure and limited ability to cross the blood-brain barrier (Villetti et al, 2015). In contrast, GSK 256066, another highly potent PDE4 inhibitor (Tralau-Stewart et al, 2011) that was used as a comparator, was equally effective at blunting pulmonary eosinophil recruitment yet produced clear behavioral signs of nausea (Villetti et al, 2015). Unlike roflumilast, which was formulated for oral dosing, tanimilast has been optimized for inhaled delivery as a dry powder to limit systemic side effects. Studies in subjects with COPD have shown that at steady state (after 800 μg or 1600 μg inhaled twice a day for 32 days), the concentration of tanimilast in sputum was approximately 2000-fold higher than in plasma indicating high pulmonary retention and low systemic exposure (Singh et al, 2019). Moreover, in the PIONEER (new Phosphodiesterase Inhibitor with Optimal anti-iNflammatory Effect dosE Response in COPD patients) phase IIb trial, tanimilast was well tolerated with a similar incidence of adverse events across 4 increasing doubling doses (Singh et al, 2020a).\nOn the basis of successful safety, tolerability, and preliminary efficacy studies, 2 52-week phase III clinical trials (PILASTER [a new inhaled Phosphodiesterase Inhibitor EvaLuated on moderate/severe exAcerbationS on top of maintenance Triple thERapy in COPD Patients] and PILLAR [a new inhaled Phosphodiesterase Inhibitor given on top of maintenance tripLe therapy in COPD Patients evaLuation on moderate/severe exAceRbations]) have been initiated to assess if tanimilast can reduce the frequency of exacerbations in a population of patients with severe, bronchitic COPD who are still symptomatic despite treatment with ICS/LABA/LAMA combination therapy (Facchinetti et al, 2021). Indeed, there remains a high unmet clinical need to identify interventions that can better control this relatively unresponsive COPD endotype.\nGlucocorticoid monotherapy is poorly effective in COPD and can be contraindicated due to an increased risk of pneumonia and tuberculosis (Ernst et al, 2007; Brassard et al, 2011). However, clinical trials data indicate that ICS-containing combination therapy is more effective than a bronchodilator in reducing COPD exacerbations (Ding et al, 2022). This could suggest the utility of adding-on a PDE4 inhibitor in the subpopulation of individuals with severe, bronchitic COPD in whom symptoms persist despite treatment with ICS/LABA/LAMA triple therapy. Data to support this hypothesis and rationalize the PILASTER and PILLAR trials can be derived from post hoc analyses of data from the earlier phase III roflumilast development program. Thus, roflumilast reduced the rate of exacerbations in individuals with severe COPD who were taking an ICS concurrently, whereas no such benefit was derived if ICS were excluded (Rennard et al, 2011). Lung function in COPD patients of the bronchitic phenotype was also improved by roflumilast, regardless of co-existing emphysema, and this was greater if they had received concomitant ICS rather than placebo (Rennard et al, 2011). Collectively, these data imply that an ICS and roflumilast in combination have superior therapeutic activity than either drug alone.\nGlucocorticoids suppress inflammation by modulating the expression of hundreds of genes including those that encode cytokines, chemokines, and growth factors of which gene induction (aka transactivation) is a major mechanism (Newton, 2014). Moreover, there is compelling evidence that cAMP-elevating agents can interact with glucocorticoids to further modulate the genomic response (Giembycz and Maurice, 2014; Giembycz and Newton, 2011, 2014, 2015). This molecular interaction, first described in the early 1990s (Rangarajan et al, 1992), may help explain how adding-on a LABA and a PDE4 inhibitor to an ICS could reduce inflammation and improve lung function in individuals with asthma and COPD. Indeed, an increase in cAMP can augment glucocorticoid-induced gene expression changes in several cell types including the airway epithelium (Giembycz et al, 2008; Kaur et al, 2008; Wilson et al, 2009; Greer et al, 2013; Moodley et al, 2013; BinMahfouz et al, 2015; Joshi et al, 2015; Newton and Giembycz, 2016; Rider et al, 2018; Reddy et al, 2020; Turner et al, 2020; Mostafa et al, 2021). In many cases, the cAMP-elevating agent per se is inert but interacts with the glucocorticoid in a positive, cooperative fashion to enhance gene transcription. This implies that a LABA or PDE4 inhibitor is “steroid-sparing” because the glucocorticoid can now produce a given level of gene induction at a significantly lower concentration (Kaur et al, 2008; Joshi et al, 2015). Moreover, in airway epithelial cells, roflumilast potentiated the ability of the LABA, formoterol, to enhance the expression of a panel of glucocorticoid-inducible genes that may have anti-inflammatory activity in COPD (Moodley et al, 2013). Thus, agents that increase the cAMP content in target tissues may exert therapeutic activity in obstructive lung diseases beyond bronchodilation (Fig. 13).\nA PDE4 inhibitor should also potentiate β2-adrenoceptor-mediated cAMP formation in the airways. This interaction could be particularly relevant in proinflammatory or immune cells where β2-adrenoceptors are expressed in low abundance or are poorly coupled to adenylyl cyclase. In this situation, a cell type that responds weakly to a LABA (eg, an eosinophil; Rabe et al, 1993; Muñoz et al, 1995) could be sensitized by a PDE4 inhibitor allowing a cAMP signal to be generated of sufficient magnitude to enhance glucocorticoid-induced gene expression (Fig. 13). Collectively, these results provide a mechanistic basis for the clinical efficacy of ICS/LABA/PDE4 inhibitor triple combination therapy on COPD exacerbations reported throughout the roflumilast phase III clinical development program (Rennard et al, 2011). By extension, adding-on a PDE4 inhibitor to ICS/LABA combination therapy in individuals with difficult-to-treat asthma might also afford additional benefit (Fig. 13).\nIt is noteworthy that β2-adrenoceptor agonists and other cAMP-elevating agents can also increase the expression of various PDE4 isoforms. Typically, these are transcriptional responses and occur in airway immune and structural cells alike including ASM (Le Jeune et al, 2002; Hu et al, 2008), monocytes (Torphy et al, 1992; Torphy et al, 1995; Manning et al, 1996), T-lymphocytes (Erdogan and Houslay, 1997; Seybold et al, 1998), neutrophils (Ortiz et al, 2000), and EC (Zhu et al, 2004). The implications of these gene expression changes may be significant because SABAs and LABAs, which are consumed by individuals with asthma and COPD on a long-term basis, could attenuate signaling mediated by all GPCRs that stimulate adenylyl cyclase (Giembycz, 1996). In this context, the concurrent use of a PDE4 inhibitor can be rationalized because heterologous GPCR desensitization could be mitigated.\n\n\n### Asthma: epidemiology and pathophysiology\nAsthma afflicts >350 million people globally and represents one of the most common, noncommunicable diseases with a prevalence that is predicted to increase to 450 million by 2025 (Vos, 2017). Mortality from asthma is low, but the burden it inflicts on society is considerable in terms of morbidity, quality of life, and associated economic costs (Dharmage et al, 2019; Reddel et al, 2019). Asthma is a heterogeneous disease with many endotypes that do not respond equally to current drug interventions (Wenzel, 2012). In ∼50% of cases, asthma has an allergic basis that is characterized by recurrent airway obstruction, airway hyper-responsiveness, airway inflammation, and airway remodeling (Woodruff et al, 2009).\nDespite the heterogeneity of disease, treatment options for all patients with mild-to-moderate asthma are similar. The 2024 Global Initiative for Asthma treatment guidelines recommends that a combination of an inhaled corticosteroid (ICS) and the long-acting β2-adrenoceptor agonist (LABA), formoterol, is the “preferred” approach to provide as-needed relief of symptoms and maintenance control of the disease at all levels of severity (Reddel et al, 2019). Global Initiative for Asthma also advocates that a long-acting muscarinic receptor antagonist (LAMA) and/or biologicals be considered for the treatment of patients with severe disease in whom high-dose ICS/LABA combination therapy is suboptimal (Reddel et al, 2019). Regardless of these therapeutic approaches, many patients with severe asthma who suffer frequent exacerbations are still poorly controlled. In these difficult-to-treat cases, PDE inhibitors could prove to be beneficial as add-on therapies and remain in clinical development.\n\n\n### COPD: epidemiology and pathophysiology\nCOPD is a leading cause of morbidity and mortality globally (Vogelmeier et al, 2017; Mirza et al, 2018; Reddel et al, 2019). According to the Global Initiative for Obstructive Lung Diseases (GOLD) guidelines, COPD is defined as “a common preventable and treatable disease” characterized by “persistent airflow limitation that is usually progressive and associated with an enhanced chronic inflammatory response in the airways and the lung to noxious particles and gases” (Vogelmeier et al, 2017; Mirza et al, 2018). Despite this definition, COPD is a generic term that describes a heterogeneity of endotypes (Miravitlles et al, 2013; Vestbo, 2014; Barnes, 2019) where chronic bronchitis, cough, idiopathic sputum production, airway wall thickening, mucus hypersecretion, and destruction of alveolar septa (ie, emphysema) are present to a greater or lesser extent (Barnes, 2004; Krzyzanowski et al, 2005; Barnes, 2008; McDonough et al, 2011); together, these pathologies contribute to the persistent, partially irreversible, and progressive decline in lung function that defines COPD (Postma and Timens, 2006; Hogg and Timens, 2009; van den Berge et al, 2011; Vogelmeier et al, 2017; Mirza et al, 2018). Due to high morbidity and mortality, COPD continues to impose a significant social and economic burden. Indeed, the number of deaths from COPD is projected to increase because of higher rates of cigarette smoking in the developing world and an aging global population in general (Vogelmeier et al, 2017; Mirza et al, 2018).\nTreatment of COPD is, for the most part, restricted to bronchodilators. A LABA or a LAMA, each taken as a monotherapy or in combination, are recommended options to provide symptomatic relief (Vogelmeier et al, 2017; Mirza et al, 2018). In patients with more severe disease, anti-inflammatory therapy is often indicated with an ICS and/or an oral PDE4 inhibitor (Vogelmeier et al, 2017; Mirza et al, 2018). The utility of a PDE4 inhibitor is restricted to a subgroup of patients with COPD of a severe, bronchitic, frequent exacerbator phenotype who are not well controlled despite ICS and bronchodilator therapy (Briggs et al, 2010; Hurst et al, 2010; Giembycz and Maurice, 2014; Giembycz and Newton, 2014; Maurice et al, 2014; Vogelmeier et al, 2017; Mirza et al, 2018). Exacerbations of COPD are a major clinical concern because they are difficult to control, contribute significantly to the decline in lung function, and are the major cause of premature mortality (Mallia and Johnston, 2006; Kurai et al, 2013; Viniol and Vogelmeier, 2018). Hence, reducing the risk of a COPD exacerbation represents a primary therapeutic objective. Exacerbations of COPD are often precipitated by a bacterial and/or viral infection and are, thus, believed to have an inflammatory basis (Mallia and Johnston, 2006; Kurai et al, 2013; Ni et al, 2015; Viniol and Vogelmeier, 2018). This may explain why ICS and PDE4 inhibitors can be of benefit in subjects with COPD in whom airways inflammation is discernible.\n\n\n### The utility of cAMP PDE inhibitors in asthma\nPDE4 isoforms are expressed in most immune and structural cells of the airways and regulate many inflammatory processes (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). This realization led to the proposal in the late 1980s that PDE4 might represent a novel target for treating inflammatory diseases. A primary indication was asthma, and a huge effort ensued to rigorously define PDE4 as a viable therapeutic target (Torphy and Undem, 1991; Giembycz, 1992; Schudt et al, 1995; Torphy, 1998). Despite initial optimism, the efficacy of PDE4 inhibitors as an asthma therapeutic has been uniformly disappointing, and most compounds selected for clinical development have been discontinued (Giembycz, 2008). The high rate of attrition is attributable to a low therapeutic ratio because of the inhibition of PDE4 in nontarget tissues with nausea and vomiting being the most severe, dose-limiting adverse effects. Thus, understanding the molecular basis of emesis became a priority. At that time, it was known that cAMP could enhance noradrenergic neuronal activity within the highly vascularized area postrema in the brainstem, which is linked, causally, to emesis (Carpenter et al, 1988). This was confirmed by delivering PDE4 inhibitors directly into the area postrema of ferrets by intracerebroventricular injection (Robichaud et al, 1999). Moreover, it was understood that PDE4 inhibitor-induced emesis is attenuated by the α2-adrenoceptor agonist, clonidine. Thus, emesis was assumed to be due to an increase of cAMP in noradrenergic neurons given that the α2-adrenoceptor is negatively coupled to adenylyl cyclase (Robichaud et al, 2001). Indeed, the tolerability of PDE4 inhibitors can be improved by limiting brain penetration (Aoki et al, 2001).\nIn the early 2000s, a popular hypothesis was that a specific PDE4 isoform regulated the emetic response. However, at that time, subtype-selective inhibitors had not been described. To overcome this limitation, a behavioral correlate of vomiting was developed in mice carrying targeted deletions of the genes encoding Pde4b and Pde4d (Robichaud et al, 2002). This approach was utilized because mice (and rodents in general) are anatomically constrained and cannot vomit; they are unable to relax their crural diaphragm or open their esophageal sphincter and appear to lack critical efferent pathways that drive the emetic reflex in higher mammals (Borison et al, 1981; Hanson, 2003; Horn et al, 2013). The murine model of emesis relies on the ability of α2-adrenoceptor agonists to promote anesthesia by reducing the cAMP content in noradrenergic fibers within the brainstem, which can be attenuated by PDE4 inhibitors (Giembycz, 2002; Robichaud et al, 2002). Robichaud et al (2002) found that the duration of α2-adrenoceptor-mediated anesthesia was significantly attenuated in mice lacking Pde4d but not Pde4b implicating a Pde4d isoform(s) in the emetic response. The presence of PDE4D/Pde4d within various brain regions of several species was consistent with this idea (Cherry and Davis, 1999; Takahashi et al, 1999; Pérez-Torres et al, 2000; Lamontagne et al, 2001). However, PDE4B/Pde4b has also been detected in many of these same brain regions (Pérez-Torres et al, 2000), and inhibitors of PDE4B, which are >80-fold selective over PDE4D, do not display a superior therapeutic index (Naganuma et al, 2009; Suzuki et al, 2013). Moreover, so-called, negative allosteric PDE4D inhibitors have been described, which preferentially partition into the brain and, therefore, will reach the area postrema. These compounds, of which D-159687 and zatolmilast are examples, display a unique mechanism of action in that they block cAMP hydrolysis by modifying the dimeric structure of PDE4D rather than by simply competing with the substrate at the catalytic site (Burgin et al, 2010; Houslay and Adams, 2010; Gurney et al, 2011). Based on the results obtained in Pde4d knockout mice, these compounds should promote emesis. However, paradoxically, they have significantly reduced emetic liability (Burgin et al, 2010; Gurney et al, 2011; Zhang et al, 2017b). Thus, the assumption that PDE4 inhibitors with weak activity against the 4D isoenzyme should be less emetic is likely misplaced. Indeed, several companies including Tetra Therapeutics (a subsidiary of Shionogi & Co) are purposefully developing selective PDE4D inhibitors (eg, zatolmilast) with Fragile X syndrome and AD being primary indications. Clinical trials of these compounds are ongoing (eg, NCT05367960 and NCT03817684), and it will be instructive, from the perspective of developing new PDE4 inhibitors for asthma and COPD, if the improved therapeutic ratios reported in animal models translate into improved safety and tolerability in humans.\n\n\n### The utility of cAMP PDE inhibitors in COPD\nThe abject failure of PDE4 inhibitors as an asthma therapy prompted the pharmaceutical industry to repurpose this drug class for other airway diseases, in particular, COPD. Cilomilast (aka Ariflo, SB-207499), developed by GlaxoSmithKline (GSK), was the first PDE4 inhibitor to progress to phase III clinical trials (Giembycz, 2001; 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). The decision to develop cilomilast was based on a conceptually robust hypothesis, abundant preclinical data, and the encouraging results of phase II clinical studies (Torphy et al, 1999). However, the results of the phase III development program were disappointing and did not meet the expectations of the phase II studies (Giembycz, 2001, 2006; Schachter, 2006; Kroegel and Foerster, 2007; Rennard et al, 2008). Like the asthma trials, dose-limiting adverse events remained a major cause for concern due, in part, to the interaction of cilomilast with PDE4 in “off-target” tissues. Despite these unremarkable data, the FDA, in October 2003, issued an approval letter to GSK for the use of cilomilast in the “maintenance of lung function in COPD patients poorly responsive to salbutamol” (Clinical_Trials_Arena, 2003). However, this was conditional on the outcome of further efficacy and tolerability studies, which were to focus on gastrointestinal events of concern, the sustainability of clinical benefits, and whether the difference in lung function between the cilomilast- and placebo-treated subjects improved further in long-term dosing studies. These additional trials were, presumably, unsuccessful since the development of cilomilast was discontinued in 2007.\nOther PDE4 inhibitors originally developed for asthma have also been repurposed for COPD. In particular, the results of several large, international, multicenter, randomized, placebo-controlled trials led the European Medicines Agency, in April 2010, to approve the use of roflumilast (aka Daxas, Daliresp, Byk 2869) for the “maintenance treatment of severe COPD associated with chronic bronchitis in adult patients with a history of frequent exacerbations as add-on to bronchodilator treatment” (Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009; Giembycz and Field, 2010; Gross et al, 2010; Wedzicha et al, 2016). Given orally, roflumilast (500 μg o.d.) significantly improved lung function and reduced the frequency of exacerbations. Notably, these beneficial effects were more pronounced in patients with severe, bronchitic disease suggesting that the primary activity of roflumilast was to suppress inflammation (Miravitlles et al, 2013; Giembycz and Newton, 2014). Nevertheless, the most common adverse effects were gastrointestinal discomfort and headache (presumably due to cerebrovascular vasodilation; Rabe et al, 2005; Calverley et al, 2007; Calverley et al, 2009; Fabbri et al, 2009), which were similar to those produced by all other PDE4 inhibitors that had been evaluated clinically. Currently, roflumilast is one of only 2 PDE4 inhibitors that has been approved for COPD and offers physicians an add-on treatment option for patients with more severe disease in whom traditional bronchodilator and glucocorticoid therapies are suboptimal.\nDespite the emetic liability of PDE4 inhibitors, interest in these compounds as therapeutics for respiratory diseases continues with tanimilast (aka CHF-6001) being the most advanced candidate in clinical development. Tanimilast is a highly potent, subnanomolar inhibitor of PDE4 that does not discriminate between PDE4 isoforms (Armani et al, 2014). In cell-based assays and preclinical models of airway inflammation, it displays pleiotropic anti-inflammatory activity with limited emetic liability (Fioni et al, 2018; Facchinetti et al, 2021; Schioppa et al, 2022). For example, tanimilast (1 μmol/kg i.t.) inhibited allergen-induced eosinophilia in rats by >90% without producing nausea-like behavior in conscious ferrets, which likely reflects low systemic exposure and limited ability to cross the blood-brain barrier (Villetti et al, 2015). In contrast, GSK 256066, another highly potent PDE4 inhibitor (Tralau-Stewart et al, 2011) that was used as a comparator, was equally effective at blunting pulmonary eosinophil recruitment yet produced clear behavioral signs of nausea (Villetti et al, 2015). Unlike roflumilast, which was formulated for oral dosing, tanimilast has been optimized for inhaled delivery as a dry powder to limit systemic side effects. Studies in subjects with COPD have shown that at steady state (after 800 μg or 1600 μg inhaled twice a day for 32 days), the concentration of tanimilast in sputum was approximately 2000-fold higher than in plasma indicating high pulmonary retention and low systemic exposure (Singh et al, 2019). Moreover, in the PIONEER (new Phosphodiesterase Inhibitor with Optimal anti-iNflammatory Effect dosE Response in COPD patients) phase IIb trial, tanimilast was well tolerated with a similar incidence of adverse events across 4 increasing doubling doses (Singh et al, 2020a).\nOn the basis of successful safety, tolerability, and preliminary efficacy studies, 2 52-week phase III clinical trials (PILASTER [a new inhaled Phosphodiesterase Inhibitor EvaLuated on moderate/severe exAcerbationS on top of maintenance Triple thERapy in COPD Patients] and PILLAR [a new inhaled Phosphodiesterase Inhibitor given on top of maintenance tripLe therapy in COPD Patients evaLuation on moderate/severe exAceRbations]) have been initiated to assess if tanimilast can reduce the frequency of exacerbations in a population of patients with severe, bronchitic COPD who are still symptomatic despite treatment with ICS/LABA/LAMA combination therapy (Facchinetti et al, 2021). Indeed, there remains a high unmet clinical need to identify interventions that can better control this relatively unresponsive COPD endotype.\n\n\n### Scientific rationale for “adding-on” a PDE4 inhibitor to combination therapy\nGlucocorticoid monotherapy is poorly effective in COPD and can be contraindicated due to an increased risk of pneumonia and tuberculosis (Ernst et al, 2007; Brassard et al, 2011). However, clinical trials data indicate that ICS-containing combination therapy is more effective than a bronchodilator in reducing COPD exacerbations (Ding et al, 2022). This could suggest the utility of adding-on a PDE4 inhibitor in the subpopulation of individuals with severe, bronchitic COPD in whom symptoms persist despite treatment with ICS/LABA/LAMA triple therapy. Data to support this hypothesis and rationalize the PILASTER and PILLAR trials can be derived from post hoc analyses of data from the earlier phase III roflumilast development program. Thus, roflumilast reduced the rate of exacerbations in individuals with severe COPD who were taking an ICS concurrently, whereas no such benefit was derived if ICS were excluded (Rennard et al, 2011). Lung function in COPD patients of the bronchitic phenotype was also improved by roflumilast, regardless of co-existing emphysema, and this was greater if they had received concomitant ICS rather than placebo (Rennard et al, 2011). Collectively, these data imply that an ICS and roflumilast in combination have superior therapeutic activity than either drug alone.\nGlucocorticoids suppress inflammation by modulating the expression of hundreds of genes including those that encode cytokines, chemokines, and growth factors of which gene induction (aka transactivation) is a major mechanism (Newton, 2014). Moreover, there is compelling evidence that cAMP-elevating agents can interact with glucocorticoids to further modulate the genomic response (Giembycz and Maurice, 2014; Giembycz and Newton, 2011, 2014, 2015). This molecular interaction, first described in the early 1990s (Rangarajan et al, 1992), may help explain how adding-on a LABA and a PDE4 inhibitor to an ICS could reduce inflammation and improve lung function in individuals with asthma and COPD. Indeed, an increase in cAMP can augment glucocorticoid-induced gene expression changes in several cell types including the airway epithelium (Giembycz et al, 2008; Kaur et al, 2008; Wilson et al, 2009; Greer et al, 2013; Moodley et al, 2013; BinMahfouz et al, 2015; Joshi et al, 2015; Newton and Giembycz, 2016; Rider et al, 2018; Reddy et al, 2020; Turner et al, 2020; Mostafa et al, 2021). In many cases, the cAMP-elevating agent per se is inert but interacts with the glucocorticoid in a positive, cooperative fashion to enhance gene transcription. This implies that a LABA or PDE4 inhibitor is “steroid-sparing” because the glucocorticoid can now produce a given level of gene induction at a significantly lower concentration (Kaur et al, 2008; Joshi et al, 2015). Moreover, in airway epithelial cells, roflumilast potentiated the ability of the LABA, formoterol, to enhance the expression of a panel of glucocorticoid-inducible genes that may have anti-inflammatory activity in COPD (Moodley et al, 2013). Thus, agents that increase the cAMP content in target tissues may exert therapeutic activity in obstructive lung diseases beyond bronchodilation (Fig. 13).\nA PDE4 inhibitor should also potentiate β2-adrenoceptor-mediated cAMP formation in the airways. This interaction could be particularly relevant in proinflammatory or immune cells where β2-adrenoceptors are expressed in low abundance or are poorly coupled to adenylyl cyclase. In this situation, a cell type that responds weakly to a LABA (eg, an eosinophil; Rabe et al, 1993; Muñoz et al, 1995) could be sensitized by a PDE4 inhibitor allowing a cAMP signal to be generated of sufficient magnitude to enhance glucocorticoid-induced gene expression (Fig. 13). Collectively, these results provide a mechanistic basis for the clinical efficacy of ICS/LABA/PDE4 inhibitor triple combination therapy on COPD exacerbations reported throughout the roflumilast phase III clinical development program (Rennard et al, 2011). By extension, adding-on a PDE4 inhibitor to ICS/LABA combination therapy in individuals with difficult-to-treat asthma might also afford additional benefit (Fig. 13).\nIt is noteworthy that β2-adrenoceptor agonists and other cAMP-elevating agents can also increase the expression of various PDE4 isoforms. Typically, these are transcriptional responses and occur in airway immune and structural cells alike including ASM (Le Jeune et al, 2002; Hu et al, 2008), monocytes (Torphy et al, 1992; Torphy et al, 1995; Manning et al, 1996), T-lymphocytes (Erdogan and Houslay, 1997; Seybold et al, 1998), neutrophils (Ortiz et al, 2000), and EC (Zhu et al, 2004). The implications of these gene expression changes may be significant because SABAs and LABAs, which are consumed by individuals with asthma and COPD on a long-term basis, could attenuate signaling mediated by all GPCRs that stimulate adenylyl cyclase (Giembycz, 1996). In this context, the concurrent use of a PDE4 inhibitor can be rationalized because heterologous GPCR desensitization could be mitigated.\n\n\n### Hybrid inhibitors for asthma and COPD\nPolypharmacology is a branch of pharmacology that is dedicated to understanding the mechanism of action of compounds that interact with more than 1 molecular target in a disease network (Jalencas and Mestres, 2013). This discipline addresses the likelihood that improved clinical outcomes can be realized over the traditional “1 drug, 1 target” concept of therapeutics (Morphy and Rankovic, 2005). Several polypharmacological approaches are possible including the administration of: (1) 2 or more drugs separately or together in a single formulation; (2) 2 or more prodrugs formulated as a single chemical entity that is released at the desired site of action by enzymatic cleavage; and (3) a single chemical entity that interacts with 2 or more targets, simultaneously (Morphy and Rankovic, 2005). Compounds in this latter category include bifunctional ligands (see last section The Role of PDEs in Specific Immune Cell Types and Fig. 13) and hybrid PDE inhibitors that contain a single “promiscuous” pharmacophore that blocks the catalytic sites of 2 or more PDE isoforms. Of the 11 PDE families described, the simultaneous inhibition of PDE4 and either PDE1, PDE3, or PDE7 may provide the means to further enhance clinical efficacy (Giembycz, 2005b; Giembycz and Newton, 2011; Zuo et al, 2019). Indeed, as mentioned above, the discovery of multicomponent, syncretic drugs provides a theoretical means to treat various asthma and COPD endotypes, given that additive and/or synergistic outcomes can be produced when multiple PDEs are inhibited concurrently (Keith et al, 2005).\nInhibitors of PDE4 and PDE1. Airway remodeling is a characteristic feature of obstructive lung diseases (Hossain and Heard, 1970; Jeffery, 2001; Lazaar and Panettieri, 2003; Wenzel, 2003; Aoshiba and Nagai, 2004; Hogg, 2004; Hogg et al, 2004). In asthma, several processes can change the architecture of the respiratory tract including mucus gland hyperplasia, supepithelial deposition of collagens, mucosal revascularization, and an increase in ASM mass (Jeffery, 2001). Similarly, airway remodeling in COPD involves connective tissue deposition in the subepithelial and adventitial compartments (Dunnill et al, 1969; Hogg et al, 2004) and an increase in the density of ASM in the bronchioles (Hossain and Heard, 1970; Jeffery, 2001; Aoshiba and Nagai, 2004; Hogg et al, 2004). In both diseases, the remodeling process thickens and increases the volume of the respiratory tract wall, which contributes to airway hyper-responsiveness (Wiggs et al, 1990; Hogg, 1996; Postma and Kerstjens, 1998; Martin et al, 2000).\nPDE1 is highly expressed in vascular smooth muscle where it has been implicated in the control of proliferation (see section Smooth Muscle Cells, Endothelial Cells, and PDEs). PDE1 is also highly expressed in ASM (Giembycz and Barnes, 1991; Torphy et al, 1993) where it may regulate the same function. On this basis, 1 might speculate that a dual inhibitor of PDE1 and PDE4 could retard remodeling and, at the same time, suppress inflammation. Data to support this idea include the ability of the PDE1/PDE4 inhibitor, KF-19514, to suppress inflammation and airway remodeling in a murine model of chronic asthma (Manabe et al, 1997; Fujimura et al, 1998; Kita et al, 2009; Manabe et al, 2000). However, a review of the literature suggests that this potential therapeutic opportunity has not gained traction.\nInhibitors of PDE4 and PDE3. PDE3 inhibitors are effective bronchodilators in humans (Leeman et al, 1987; Brunnée et al, 1992; Fujimura et al, 1995; Fujimura et al, 1997; Bardin et al, 1998; Myou et al, 1999; Myou et al, 2003; Singh et al, 2020b). This property led to the theory that compounds that block PDE3 and PDE4 at a similar dose could have a polypharmacological advantage over a selective PDE4 inhibitor by producing both ASM relaxation (PDE3-dependent) and anti-inflammatory activity (PDE4-dependent). In addition, many proinflammatory and immune cells also express PDE3 (Torphy, 1998; Banner and Press, 2009), and in many cases, the anti-inflammatory effects of concurrent inhibition of PDE3 and PDE4 are superior to those of PDE4 alone. For example, in vitro studies have shown that although PDE3 inhibitors have little or no effect on T-cell proliferation or on IL-2 generation, they enhance the repressive effect of a PDE4 inhibitor (Robicsek et al, 1991; Giembycz et al, 1996). Similar data have been reported for the inhibition of proinflammatory responses in human alveolar macrophages (Schudt et al, 1995), monocyte-derived dendritic cells (Gantner et al, 1999), airway epithelial cells (Wright et al, 1998), human lung fibroblasts (Selige et al, 2010), and human lung microvascular EC (Blease et al, 1998). It is noteworthy that evidence garnered from mouse models of asthma indicates that inhibition of Pde3a and Pde3b can abrogate several key hallmarks of the disease. In particular, pulmonary eosinophil, neutrophil, T-lymphocyte, dendritic cell, mast cell, and macrophage recruitment were suppressed implying that PDE3 per se may regulate previously unappreciated aspects of the allergic inflammatory response (Beute et al, 2018; Beute et al, 2020).\nBased upon encouraging preclinical data, several hybrid PDE3/PDE4 inhibitors were developed and evaluated in humans including zardaverine, benzafentrine, tolafentrine, and pumafentrine but all were discontinued because of lack of efficacy, a poor adverse effect profile, or limited duration of action (Banner and Press, 2009). Nevertheless, interest in the PDE3/PDE4 inhibitor concept has endured with at least 2 compounds currently in clinical development for asthma and/or COPD: ensifentrine (aka RPL 554, Ohtuvayre) and, what appears to be a structurally related compound, TQC-3721(Yang et al, 2023). Indeed, the FDA recently approved ensifentrine for the maintenance treatment of adult patients with COPD (Kariya, 2024).\nEnsifentrine is a well tolerated, long-acting inhaled bronchodilator derived from the PDE3 inhibitor, trequinsin (Boswell-Smith et al, 2006; Calzetta et al, 2013; Donohue et al, 2023). In 2023, ensifentrine progressed to phase III clinical evaluation, and the results of the 2 ENHANCE (Ensifentrine as a Novel inHAled Nebulized COPD thErapy) trials were recently reported (Anzueto et al, 2023). In each study, >750 participants were enrolled with moderate-to-severe COPD and randomized to receive either placebo or ensifentrine (3 mg twice a day for 24 weeks). In both trials, FEV1 was the primary outcome measure and significantly improved with treatment relative to placebo. Exacerbation rates were also reduced by 40% in the active treatment groups (Anzueto et al, 2023). However, it is unclear if this was due to the inhibition of PDE4 (Singh, 2023) as there is no conclusive evidence that ensifentrine has anti-inflammatory activity (Singh, 2023). In one of the initial exploratory studies, a single dose of ensifentrine (0.018 mg/kg), given by inhalation to healthy men, inhibited the accumulation of neutrophils in sputum in response to lipopolysaccharide (LPS). Although this finding may implicate PDE4 (Franciosi et al, 2013), the relationship between pulmonary neutrophilia and the development of an exacerbation is moot.\nEnsifentrine is, typically, referred to as a hybrid PDE3/PDE4 inhibitor as we have done in this review. However, this is a misrepresentation. Ensifentrine is >3440× more potent against PDE3 than PDE4 (Boswell-Smith et al, 2006), which is comparable to, or even greater than, the selectivity of compounds that are classified as selective PDE3 inhibitors including cilostazol, cilostamide, and milrinone (Sudo et al, 2000). This implies that at the inhaled doses of ensifentrine used in human subjects, inhibition of PDE3 will predominate. How, then, a single dose ensifentrine (0.018 mg/kg) attenuated LPS-induced pulmonary leukocyte recruitment becomes an important question. A plausible explanation is that the local concentration of ensifentrine at target cells after inhalation exceeds that required to abolish PDE3 activity (and, therefore, is supra-maximal for bronchodilation). Using the technique of bronchosorption (Leaker et al, 2015), the epithelial surface liquid (ESL) can be sampled via a catheter inserted through the working channel of a bronchoscope. It has been estimated that the concentration of the LABA, salmeterol, in the ESL of healthy subjects 1 h after inhalation of a 50 μg dose was ∼80 nM (Sadiq et al, 2021). Assuming remotely similar pulmonary pharmacokinetics, the concentration of ensifentrine in ESL after inhalation of a 3 mg dose (used in the ENHANCE trial) could be ∼5 μM. Indeed, both compounds have comparable molecular weights (∼450 Da) and clog D values (∼1.9 at pH = 7; calculated using ACD/Labs software) that presumably lead to high lung retention and low systemic exposure (Bäckström et al, 2016; Zuiker, 2016; Sadiq et al, 2021). Thus, inhalation of a 3 mg dose of ensifentrine could be sufficient to inhibit PDE4 in airway epithelia and inflammatory cells in BAL fluid by >70%. Indeed, the IC50 of ensifentrine for suppressing cytokine release (eg, GM-CSF, MCP-1, TNFα) from human airway epithelial cells and monocytes is in the low micromolar range (Boswell-Smith et al, 2006; Turner et al, 2020). Likewise, the threshold concentration for ensifentrine to increase global cAMP in human airway epithelial cells is reported to be ∼1 μM (Turner et al, 2020).\nIn vitro studies have found that ensifentrine relaxed ACh-contracted human ASM (EC50 ∼10 μM) and inhibited PDE3 (IC50 = 0.4 nM) with potencies that differed by ∼25,000-fold. In contrast, no such discrepancy was apparent when the inhibition of cytokine production from inflammatory cells (IC50 ∼0.5 μM) and of PDE4 activity (IC50 ∼1.5 μM) were compared (Boswell-Smith et al, 2006; Calzetta et al, 2013; Turner et al, 2020). This paradox may be explained by functional antagonism, which describes an inverse relationship between the degree of smooth muscle tone and the potency and pharmacological efficacy of a relaxant. Functional antagonism has been documented in ASM from several species and is more pronounced with ACh (and related agonists) than with histamine, 5-hydroxytryptamine, and leukotriene D4 (van den Brink, 1973; Torphy et al, 1983; Russell, 1984; Torphy, 1984; Roffel et al, 1995). For example, the EC50 of isoprenaline for relaxing bovine tracheal smooth muscle contracted with 10 nM (∼EC20), 100 nM (∼EC70), and 10 μM MCh (EC100) was 0.65 nM, 81 nM, and 3.16 μM, respectively (>4800-fold difference; Roffel et al, 1995). Similar data have been reported for the selective PDE3 inhibitor, siguazodan (SK&F 94836), on MCh-contracted canine ASM (Torphy et al, 1988). Logic dictates that ensifentrine, which like isoprenaline and siguazodan relaxes ASM by a cAMP-dependent mechanism, would be affected similarly both in vitro and in vivo. Indeed, the potency of ensifentrine for inhibiting electrical field stimulation-induced twitch responses of human bronchi, progressively decreased with increasing frequency of nerve stimulation (Calzetta et al, 2015). Thus, functional antagonism may help explain the erroneous description of ensifentrine as a hybrid PDE3/PDE4 inhibitor because the biochemical and functional outcomes of a bronchodilator cannot easily be compared.\nTQC-3721 is being developed by Chia Tai Tianqing Pharmaceutical Group as a suspension for inhalation in subjects with moderate-to-severe COPD and is currently in phase II safety and efficacy clinical trials (NCT05987371). There are no preclinical data in the public domain about TQC-3721. Its structure has not been disclosed.\nFrom a safety perspective, inhibition of PDE3 is of concern, given the well documented cardiovascular toxicity of this class of drugs and that subjects with COPD will require long-term therapy over many months or years. Although PDE3 inhibitors were developed to treat dilated cardiomyopathy, chronic dosing increased mortality (Movsesian, 2003; Amsallem et al, 2005). This could be problematic because ∼20% of people with COPD have right-side heart failure that is often secondary to PH (Naeije, 2003; de Miguel Díez et al, 2013). Chronic PDE3 inhibition could, therefore, be contraindicated even for a compound given by inhalation, and hence, pulmonary retention will be critical. In this respect, the peak plasma concentration of ensifentrine in 13 subjects with allergic asthma after inhalation of 0.018 mg/kg (o.d. for 6 days) was ∼2 ng/mL (4.2 nM; Zuiker, 2016). This dose equates to 1.26 mg/70 kg per individual, which is 42% of the 3 mg dose assessed in the 2 ENHANCE clinical trials (Anzueto et al, 2023). Adverse events were reported to be mild, although a reduction in blood pressure and a [compensatory] increase in heart rate were noted. The study investigators attributed these cardiovascular events to PDE3 inhibition in the vasculature, which was consistent with an increased incidence of headache and dizziness in 4 and 3 of the 13 subjects, respectively (Zuiker, 2016).\nInhibitors of PDE4 and PDE7. PDE7A is ubiquitously expressed in the lungs (Smith et al, 2003) and could represent a novel target for anti-inflammatory drugs (Giembycz and Smith, 2006a,b; Giembycz and Maurice, 2014; Jankowska et al, 2017). PDE7 was discovered in 1993 (Michaeli et al, 1993) yet 20 years elapsed before selective inhibitors became available and could be studied in biological systems (Nakata et al, 2002; Yang et al, 2003; Smith et al, 2004; Jones et al, 2007; Goto et al, 2009; Kadoshima-Yamaoka et al, 2009a,b,d). What emerged from those early investigations was unremarkable. However, there was some interest in the finding that the PDE7A inhibitor, BRL 50481, significantly enhanced the antimitogenic activity of the PDE4 inhibitor, rolipram despite being inactive alone (Smith et al, 2004). LPS-induced TNFα generation from human monocytes and lung macrophages was regulated similarly (Smith et al, 2004). This profile of activity was replicated with the dual PDE4/PDE7 inhibitor BC54, which inhibited TNF-α and IL-12 production from U-937 monocytic cells and Jurkat T-cells, respectively, and was more effective than rolipram, alone (de Medeiros et al, 2017). Collectively, these data are reminiscent of the behavior of PDE3 inhibitors and imply that additive or synergistic anti-inflammatory effects could be realized with a hybrid PDE4/PDE7 inhibitor (Giembycz, 2005a; Vijayakrishnan et al, 2007). To date, few in vivo studies have been reported implying that this hypothesis may not represent a viable approach. However, YM-393059, which is 45-fold more selective for PDE7 over PDE4, demonstrated efficacy in preclinical models of inflammation with a reduced emetic liability (Yamamoto et al, 2006a,b). Likewise, mice subjected to cigarette smoke-induced pulmonary inflammation were protected by prior endotracheal administration of antisense oligonucleotides directed against Pde4b, Pde4d, and Pde7a and that this intervention was superior to classical pharmacotherapy with roflumilast (Fortin et al, 2009).\nPDE3/PDE4 inhibitors and a LAMA. Several patents have been filed describing the utility of combining ensifentrine with a LAMA (Walker et al, 2017, 2019). The inventions claim that a low concentration of a muscarinic receptor antagonist (eg, glycopyrronium) interacts synergistically with ensifentrine to relax medium and small human bronchi in vitro (Calzetta et al, 2013; Calzetta et al, 2015). This unexpected effect led to the proposal that in subjects with COPD, antagonizing the effects of endogenously released ACh from parasympathetic nerve fibers in the lung with a LAMA and raising the cAMP content in ASM with ensifentrine could produce added clinical benefit by reducing gas trapping in the lungs (ie, dynamic hyper-inflation), which is a common feature of COPD (Calzetta et al, 2015).\n\n\n### Bifunctional ligands for COPD\nAn alternative to a hybrid inhibitor is a compound that contains 2 pharmacophores joined covalently by a rationally designed and inert “spacer” (Shonberg et al, 2011; Phillips and Salmon, 2012). In the context of respiratory diseases, these, so-called, bifunctional ligands have several advantages over their monofunctional parent compounds because of their relatively high molecular weights (often >1000 Da). This physical property often translates into enhanced pulmonary retention, low oral bioavailability, and reduced systemic exposure (Phillips and Salmon, 2012). The development of bifunctional ligands is also simplified because 2 pharmacophores in the same compound will have matched pharmacokinetics and identical deposition characteristics (Phillips and Salmon, 2012). Several bifunctional ligands containing a PDE4 inhibitor have been synthesized (Fig. 13). The most attractive “partners” for a PDE4 inhibitor have included a LAMA and a LABA in an attempt to harness both anti-inflammatory and bronchodilator activity at a similar dose (Giembycz and Maurice, 2014). The first example of a “Muscarinic receptor Agonist-PDE4 Inhibitor (ie, a MAPI) was the 4,6-diaminopyrimidine derivative, UCB-101333-3 (Provins et al, 2006). Given by inhalation to mice, this compound attenuated cigarette smoke-induced pulmonary neutrophilia and keratinocyte chemoattractant levels in BAL fluid and protected against the development of heavy metal-induced emphysema (Provins et al, 2007). Since that original report, the interest in developing MAPIs for COPD has continued including compound 10f from Cheisi (Rizzi et al, 2023). This ligand is a fusion of tanimilast with a muscarinic receptor antagonist based on a phenylglycine scaffold. In vitro assays indicate that 10f is a balanced molecule with an affinity and inhibitory potency at the muscarinic M3 receptor and PDE4B, respectively, of ∼1 nM (Rizzi et al, 2023). Moreover, in rodents, the compound proved suitable for inhaled dosing and displayed adequate lung retention and limited systemic exposure. Significantly, 10f inhibited CCh-induced bronchoconstriction and ovalbumin-induced pulmonary eosinophilia in sensitized and challenged rats at the same dose with an acceptable duration of action (Rizzi et al, 2023).\nAnother means to achieve bronchodilator and anti-inflammatory activity in a single molecule is to couple pharmacophores that display PDE4 inhibitory activity and β2-adrenoceptor agonism. Support for this approach derives from the finding that roflumilast improved FEV1 in a group of patients with moderate-to-severe COPD who were being treated with LABA, salmeterol (Fabbri et al, 2009). Because PDE4 inhibitors are not thought to produce direct bronchodilation in humans (Grootendorst et al, 2003), the additional improvement in lung function is assumed to be secondary to the suppression of inflammation. Several bifunctional ligands have been described in which the head group of formoterol or salmeterol was fused to roflumilast or a phthalazone-based PDE4 inhibitor by a simple butyl spacer (Shan et al, 2012a; Liu et al, 2013). However, the activities of these compounds are unbalanced being more potent (440–2500-fold) β2-adrenoceptor agonists than inhibitors of PDE4. Improvements were achieved by modifying the spacer (to hexyloxyphenyl propanol or hexane), but β2-adrenoceptor agonism remained the dominant activity (Liu et al, 2013; Huang et al, 2014). Gilead Sciences has also reported the discovery of bifunctional LABA/PDE4 inhibitors for COPD, which have been optimized for inhaled delivery (Baker et al, 2011). In 1 example, an analog of the PDE4 inhibitor, GSK 256066 (Tralau-Stewart et al, 2011), was conjugated to a quinolinone-based orthostere (β2A)-derived from the LABA, indacaterol, to form the development candidate, GS-5759. This compound has an equal affinity (∼1 nM) for PDE4B and the human β2-adrenoceptor and represented a significantly improved ligand in having a balanced pharmacology for the 2 targets. In vitro, GS-5759 was active in a panel of assays where it inhibited the release of superoxide from human neutrophils, TNFα, IL-6, and CCL3 from human monocytes and ET-1, CCL5, CXCL10, and GM-CSF from human lung fibroblasts (Tannheimer et al, 2014); it also upregulated the expression of a plethora of genes in the BEAS-2B human airway epithelial cell line (eg, DUSP1, CD200, CRISPLD2, CDKN1C, and FGFR2) that have potential anti-inflammatory activity (Joshi et al, 2017). In vivo, GS-5759 was active in several preclinical models of COPD; it displayed bronchodilator activity in guinea pigs and dogs and inhibited LPS-induced pulmonary neutrophilia in rats, which was replicated in Cynomolgus monkeys (Salmon et al, 2014). Significantly, no emesis was produced in ferrets at doses of GS-5759 that were several orders of magnitude greater than its potency for inhibiting LPS-induced pulmonary leukocyte recruitment in the rat (Salmon et al, 2014). Despite these encouraging data, a primary therapeutic target of GS-5759 is the ASM, which likely displays a large β2-adrenoceptor reserve for β2A (Giembycz, 2009). This will probably render GS-5759 unbalanced because its potency as a bronchodilator will be greater, may be considerable, than its affinity for the β2-adrenoceptor and for inhibition of PDE4 (Giembycz, 2009; Joshi et al, 2017). The only way to overcome this limitation is to either increase the potency of the pharmacophore that inhibits PDE4 or reduce the affinity of β2A for the β2-adrenoceptor. Spare receptors represent a problem for the development of bifunctional ligands in general. This is a particular issue if 1 of the 2 pharmacophores is an agonist that is required to interact with different tissues for therapeutic benefit to be optimized.\nAn unexpected finding of these investigations was that GS-5759 had a 35-fold higher affinity for the β2-adrenoceptor than did β2A (Joshi et al, 2017). This pharmacological behavior has been reported previously for the bifunctional LABA/LAMA, THRX 198321 (Steinfeld et al, 2011), and may also apply to the MAPI, 10f (Rizzi et al, 2023). Mechanistically, the enhanced affinity of these compounds for the β2-adrenoceptor may be due to positive allosterism (Steinfeld et al, 2011; Rizzi et al, 2023) or “forced proximity” binding (Hughes et al, 2011; Valant et al, 2012; Vauquelin and Charlton, 2013; Joshi et al, 2017). Regardless, the fact remains that the properties of bifunctional ligands are often distinct from their monofunctional parent compounds, which could reveal new opportunities for drug discovery (Fig. 13).\n\n\n### Liver disorders and PDEs\nChronic liver disease results from ongoing hepatocyte damage caused by factors such as viruses, alcohol, and poor nutrition. It can lead to fibrosis, cirrhosis, and hepatocellular cancer, a major cause of morbidity and mortality (Rich, 2024). Affecting over a billion people globally, chronic liver disease causes more than a million deaths from cirrhosis each year (Disease et al, 2018). The most common causes are viral hepatitis, alcohol use, and metabolic dysfunction (Leszczynska et al, 2023). Following injury, hepatocytes release various chemokines and damage-associated molecular patterns, which attract and activate immune cells and hepatic stellate cells in the liver. Hepatic stellate cells (HSC) have very important functions in the liver including the storage of vitamin A, antigen presentation, and wound healing. However, during persistent liver injury, HSC undergo activation and become proliferative, migratory myofibroblasts (Wang and Friedman, 2023). HSC myofibroblasts are the main source of extracellular matrix proteins (ECM) in fibrotic liver. Excessive accumulation of ECM in the liver tissue results in deterioration of liver function, leading to cirrhosis and liver failure.\ncAMP and cGMP signaling has been studied in various liver cell functions, including hepatocytes, macrophages, T cells, and hepatic stellate cells (Wahlang et al, 2018; Elnagdy et al, 2020; Elnagdy et al, 2023). The first studies related to alcohol-associated liver disease (ALD) reported a lower level of cAMP in peripheral blood mononuclear cells of alcoholic hepatitis (AH) patients with immune dysfunction (Barlas et al, 1983) and alcohol use disorders (Diamond et al, 1987). Effects of chronic alcohol exposure on cAMP levels were later shown in human and murine monocytes and macrophages, including liver resident macrophages or Kupffer cells (Gobejishvili et al, 2006). Importantly, this decrease in cAMP and its signaling was identified as a critical mechanism of macrophage “priming” to produce increased levels of TNFα in response to endotoxin (Gobejishvili et al, 2006; Gobejishvili et al, 2008).\nPersistent hepatocyte injury and inflammation will result in the activation of HSC in the liver and their trans-differentiation to myofibroblasts (the main producers of extracellular matrix proteins). Because transdifferentiation of HSCs plays a key role in the development of liver fibrosis, targeting HSC activation has become a focal point in treating liver fibrosis (Li et al, 2008). Upon activation, HSCs express alpha-smooth muscle actin (αSMA) and produce ECM proteins like collagens and fibronectin. Perhaps the most profibrogenic cytokine leading to HSC activation is transforming growth factor β1 (TGFβ1). cAMP-elevating agents and agonists have been shown to inhibit TGFβ1-induced expression of αSMA and collagen in different cell types (Houglum et al, 1997; Desmouliere et al, 1999; Liu et al, 2006; Cortijo et al, 2009; Insel et al, 2012; Garrison et al, 2013). Indeed, EPAC1 has been identified as a critical regulator of TGFβ1 signaling in various tissue fibroblasts (Yokoyama et al, 2008; Insel et al, 2012), including in HSCs. Recent studies showed that TGFβ1 decreases cAMP and EPAC1 levels in HSCs, which contributes to their activation (Schippers et al, 2017; Elnagdy et al, 2023).\nBecause inflammation plays a major role in chronic liver disease, anti-inflammatory strategies using PDE inhibitors have been utilized to evaluate their beneficial effect on liver injury. Moreover, inflammation and dysregulated hepatocyte function in experimental models of liver injury and fibrosis have been shown to be accompanied by increased expression of PDE enzymes in the liver (Gobejishvili et al, 2013; Avila et al, 2016; Essam et al, 2019). A pathogenic role of PDE enzymes in the development of liver injury has been confirmed by demonstrating that PDE inhibitors alleviate liver damage and inflammation (Gobejishvili et al, 2013; Essam et al, 2019; Rodriguez et al, 2019; El-Deen et al, 2020; Ma et al, 2022; Elnagdy et al, 2023; Tao et al, 2023). More specifically, the effect of cAMP in macrophage priming was shown to be mediated by increased activity and expression of PDE4, specifically PDE4B (Gobejishvili et al, 2008). PDE4 inhibition resulted in a significant decrease in endotoxin-induced inflammatory cytokine production by human peripheral blood mononuclear cells (PBMCs) from patients with alcohol-associated hepatitis and monocytes/macrophages of human and murine origin (Gobejishvili et al, 2008; Gobejishvili et al, 2011; Gobejishvili et al, 2013; Rodriguez et al, 2019). Importantly, studies using gene knockout mice identified PDE4B as an essential player in endotoxin-mediated production of TNFα (Jin and Conti, 2002; Jin et al, 2005).\nHowever, the role of PDE4-regulated cAMP signaling is not limited to immune cells and their inflammatory responses. Importantly, increased expression of PDE4 enzymes has been associated with both spontaneous and TGFβ1-induced activation of HSCs (Gobejishvili et al, 2013; Elnagdy et al, 2023). Moreover, recent work demonstrated that PDE4A, B, and D are upregulated in the livers of patients with metabolic dysfunction-associated steatotic liver disease (MASLD), and their levels are positively correlated with TGFβ1 (Elnagdy et al, 2023). Importantly, PDE4 enzymes are also expressed in activated HSCs/myofibroblasts in human and mouse livers (Elnagdy et al, 2023). PDE4 inhibition significantly attenuated cytoskeleton remodeling and HSC migration both in vitro and in vivo leading to reduced collagen deposition and fibrosis (Elnagdy et al, 2023).\nIn addition to extracellular matrix remodeling, cAMP signaling plays a significant role in glucose and lipid metabolism in hepatocytes [reviewed in Wahlang et al (2018)]. In relevance to ALD, studies have shown that alcohol attenuates cAMP/PKA signaling in hepatocytes, which results in a decrease in the gene (Cpt1a) encoding carnitine palmitoyltransferase 1A and fatty acid β-oxidation (Elnagdy et al, 2020). Inhibition of PDE4, and specifically PDE4B, prevents alcohol-mediated decrease in cAMP signaling and Cpt1 expression and prevents alcohol-induced lipid accumulation in the liver (Avila et al, 2016; Ma et al, 2022). The effect of PDE4 inhibition on alcohol-induced ER stress has also been shown (Rodriguez et al, 2019). Notably, PDE4 inhibition decreases an alcohol-mediated increase in JNK activation and hepatocyte death (Rodriguez et al, 2019). More recent studies showed that overexpression of PDE4D in the liver led to the development of MASLD in mice, which was attenuated by a PDE4 inhibitor (Tao et al, 2022b; Tao et al, 2023).\nBesides PDE4, recent papers have demonstrated the role of PDE9 and 10 in liver and lung fibrosis as well as diet-induced obesity (Ceddia et al, 2021; Mishra et al, 2021; Wu et al, 2021; Li et al, 2023), indicating that cGMP signaling is also critical in tissue fibrogenesis. Indeed, a recent study reported increased hepatic levels of cGMP in patients and mice with alcohol-associated steatohepatitis (ASH; Montoya-Durango et al, 2023). Moreover, these changes were associated with significant alterations in various cAMP- and cGMP-selective PDEs in the liver, highlighting the potential role of PDE enzymes in the pathogenesis of ASH. Given the crucial role of NO-cGMP signaling in the regulation of hepatic sinusoids and portal pressure, perhaps the most significant findings presented in this recent study were increased levels of PDE1A, PDE4A, PDE4D, and PDE5A (Montoya-Durango et al, 2023). Indeed, these enzymes have been shown to modulate vascular tone, remodeling, and exchange via both cAMP and cGMP (Houslay et al, 2007; Netherton et al, 2007). Increased levels of soluble guanylyl cyclase and PDE5 in cirrhotic livers have been reported in another human study (Kreisel et al, 2021). In a normal liver, PDE5 protein is highly expressed in perisinusoidal cells with a very weak expression in hepatocytes. In cirrhotic livers, PDE5 expression increases in fibrous septa, and perisinusoidal cells throughout the parenchyma (Kreisel et al, 2021). PDE5 inhibitors have shown anti-inflammatory and antifibrotic properties in several studies, as well as improvement in portal hypertension (Knorr et al, 2008; Choi et al, 2009; Deibert et al, 2018; Schaffner et al, 2018; Brusilovskaya et al, 2020; Kreisel et al, 2020). Notably, a recent study reported the age-dependent sexual dimorphism in the vascular PDE expression patterns (Wang et al, 2021). This is the first study to highlight sexual dimorphism in PDE expression. Future studies are needed to examine whether there are sex-dependent differences in PDE expression in the liver and whether it contributes to the susceptibility of females to certain types of liver injury.\nInterestingly, differential beneficial effects of various PDE inhibitors on a high fat-induced MASLD model in rats have been reported (El-Deen et al, 2020). Specifically, when administered in a treatment paradigm, the authors observed that pentoxifylline (PTX), a broad-spectrum PDE inhibitor, had the strongest effect on oxidative stress markers, steatosis, inflammation, and liver injury when compared with cilostazol and sildenafil (El-Deen et al, 2020). Notably, PTX (alone and in combination with other drugs) has been widely used to treat MASLD and ALD in humans (Zein et al, 2011; Zein et al, 2012; Smart et al, 2013; Alam et al, 2017; Cioboata et al, 2017; Louvet et al, 2018; Teschke, 2018; Culafic et al, 2020; Marot et al, 2020; Szabo et al, 2022). However, although several studies have reported significant beneficial effects, including anti-fibrotic and antioxidative stress (Zein et al, 2011; Zein et al, 2012; Sridharan et al, 2018; Fouda et al, 2021; Kedarisetty et al, 2021), the use of PTX has been debated (Van Wagner et al, 2011). PTX therapy has shown mixed results in trials in patients with AH (Akriviadis et al, 2000; Thursz et al, 2015; Louvet et al, 2018; Kedarisetty et al, 2021; Philips et al, 2022; Duan et al, 2023), with the large STOPAH trial reporting lack of efficacy in reducing mortality (Thursz et al, 2015). Subjects with alcohol use disorder (AUD) are reported to be less compliant with many medical regimens. PTX is a nonselective and weak PDE inhibitor and requires 3 times a day (t.i.d.) dosing. Patients report significant gastrointestinal upset which causes noncompliance. Compliance with PTX in the most recent large AH trial was 49.4% ± 40.2% versus placebo 65.5% ± 35.3% (P = .06) with nausea being the primary reason for noncompliance (Szabo et al, 2022). The American College of Gastroenterology (ACG) most recent clinical guidelines for the treatment of ALD do not support the use of PTX for severe AH due to a moderate level of evidence that PTX provides survival benefits (Jophlin et al, 2024). More clinical trials are ongoing to test PTX for the treatment of metabolic dysfunction-associated steatohepatitis (MASH; NCT05284448) and to prevent decompensation in stable cirrhotic patients with prior decompensation (NCT06041932).\nBased on strong preclinical evidence that PDE4 inhibition has anti-inflammatory and antifibrotic properties, the efficacy of the PDE4 inhibitor, ASP9831, was tested in a proof-of-concept phase 2 clinical trial in biopsy-confirmed patients with MASH and liver fibrosis (Ratziu et al, 2014). The trial did not find any effects of the PDE4 inhibitor on biochemical end points including liver injury markers (ALT, AST, and cytokeratin 18), adiponectin, and TNFα (Ratziu et al, 2014). The authors questioned the benefit of PDE4 inhibition as a therapy for MASH due to the failure to attenuate inflammation and liver injury markers. However, although a liver biopsy was performed prior to patient enrollment, no follow-up biopsies were documented. Hence, it is unknown if ASP9831 had any effect in improving the fibrosis stage. Moreover, this study was only 12 weeks in duration; thus, there were multiple study limitations. Notably, authors pointed out that detailed studies examining the role of each of PDE4 enzymes in the pathogenesis of MASH are lacking. In this regard, a recent study found that PDE4A, B, and D enzymes are expressed in myofibroblasts in the livers of MASH cirrhosis patients (Elnagdy et al, 2023), implicating the role of these enzymes in MASH cirrhosis.\nIn summary, there is ample preclinical and clinical evidence that PDE enzymes are involved in various liver cell (dys)functions associated with liver pathology. However, more work needs to be done to characterize the expression patterns and levels of PDEs in a cell-specific manner in the liver (Fig. 14). This will allow us to better understand their role in liver cell pathophysiology for therapeutic targeting. Moreover, liver diseases are multifactorial and progressive with various stages of pathology ranging from simple steatosis to inflammation and fibrosis. Animal models do not recapitulate the clinical progression of human liver disease, and hence, they have limited utility in testing PDE inhibitors for efficacy. Because various selective PDE4 and PDE5 inhibitors have been approved by the FDA for clinical use, perhaps hepatologists will consider them as therapeutic options for liver diseases, especially for ALD and MASLD.Fig. 14Involvement of PDEs in liver fibrosis and hepatocyte damage. Several factors, including alcohol, viruses, and high-fat diets, can instigate damage to hepatocytes and fibrosis. Injured hepatocytes release inflammatory mediators leading to the recruitment of peripheral immune cells and activation of resident macrophages consequently, triggering the activation of HSCs. Activated HSCs transdifferentiate into pro inflammatory and profibrogenic myofibroblasts and release excessive amount of ECM, which in long-term leads to liver fibrosis. Elevated PDE activity mediates some of these pathological changes, thus presenting as potential pharmacological targets for treating liver disorders. Created with BioRender.com.\nInvolvement of PDEs in liver fibrosis and hepatocyte damage. Several factors, including alcohol, viruses, and high-fat diets, can instigate damage to hepatocytes and fibrosis. Injured hepatocytes release inflammatory mediators leading to the recruitment of peripheral immune cells and activation of resident macrophages consequently, triggering the activation of HSCs. Activated HSCs transdifferentiate into pro inflammatory and profibrogenic myofibroblasts and release excessive amount of ECM, which in long-term leads to liver fibrosis. Elevated PDE activity mediates some of these pathological changes, thus presenting as potential pharmacological targets for treating liver disorders. Created with BioRender.com.\n\n\n### The role of cyclic nucleotides in liver fibrosis and cirrhosis pathophysiology\nChronic liver disease results from ongoing hepatocyte damage caused by factors such as viruses, alcohol, and poor nutrition. It can lead to fibrosis, cirrhosis, and hepatocellular cancer, a major cause of morbidity and mortality (Rich, 2024). Affecting over a billion people globally, chronic liver disease causes more than a million deaths from cirrhosis each year (Disease et al, 2018). The most common causes are viral hepatitis, alcohol use, and metabolic dysfunction (Leszczynska et al, 2023). Following injury, hepatocytes release various chemokines and damage-associated molecular patterns, which attract and activate immune cells and hepatic stellate cells in the liver. Hepatic stellate cells (HSC) have very important functions in the liver including the storage of vitamin A, antigen presentation, and wound healing. However, during persistent liver injury, HSC undergo activation and become proliferative, migratory myofibroblasts (Wang and Friedman, 2023). HSC myofibroblasts are the main source of extracellular matrix proteins (ECM) in fibrotic liver. Excessive accumulation of ECM in the liver tissue results in deterioration of liver function, leading to cirrhosis and liver failure.\ncAMP and cGMP signaling has been studied in various liver cell functions, including hepatocytes, macrophages, T cells, and hepatic stellate cells (Wahlang et al, 2018; Elnagdy et al, 2020; Elnagdy et al, 2023). The first studies related to alcohol-associated liver disease (ALD) reported a lower level of cAMP in peripheral blood mononuclear cells of alcoholic hepatitis (AH) patients with immune dysfunction (Barlas et al, 1983) and alcohol use disorders (Diamond et al, 1987). Effects of chronic alcohol exposure on cAMP levels were later shown in human and murine monocytes and macrophages, including liver resident macrophages or Kupffer cells (Gobejishvili et al, 2006). Importantly, this decrease in cAMP and its signaling was identified as a critical mechanism of macrophage “priming” to produce increased levels of TNFα in response to endotoxin (Gobejishvili et al, 2006; Gobejishvili et al, 2008).\nPersistent hepatocyte injury and inflammation will result in the activation of HSC in the liver and their trans-differentiation to myofibroblasts (the main producers of extracellular matrix proteins). Because transdifferentiation of HSCs plays a key role in the development of liver fibrosis, targeting HSC activation has become a focal point in treating liver fibrosis (Li et al, 2008). Upon activation, HSCs express alpha-smooth muscle actin (αSMA) and produce ECM proteins like collagens and fibronectin. Perhaps the most profibrogenic cytokine leading to HSC activation is transforming growth factor β1 (TGFβ1). cAMP-elevating agents and agonists have been shown to inhibit TGFβ1-induced expression of αSMA and collagen in different cell types (Houglum et al, 1997; Desmouliere et al, 1999; Liu et al, 2006; Cortijo et al, 2009; Insel et al, 2012; Garrison et al, 2013). Indeed, EPAC1 has been identified as a critical regulator of TGFβ1 signaling in various tissue fibroblasts (Yokoyama et al, 2008; Insel et al, 2012), including in HSCs. Recent studies showed that TGFβ1 decreases cAMP and EPAC1 levels in HSCs, which contributes to their activation (Schippers et al, 2017; Elnagdy et al, 2023).\n\n\n### Role of cAMP-PDE\nBecause inflammation plays a major role in chronic liver disease, anti-inflammatory strategies using PDE inhibitors have been utilized to evaluate their beneficial effect on liver injury. Moreover, inflammation and dysregulated hepatocyte function in experimental models of liver injury and fibrosis have been shown to be accompanied by increased expression of PDE enzymes in the liver (Gobejishvili et al, 2013; Avila et al, 2016; Essam et al, 2019). A pathogenic role of PDE enzymes in the development of liver injury has been confirmed by demonstrating that PDE inhibitors alleviate liver damage and inflammation (Gobejishvili et al, 2013; Essam et al, 2019; Rodriguez et al, 2019; El-Deen et al, 2020; Ma et al, 2022; Elnagdy et al, 2023; Tao et al, 2023). More specifically, the effect of cAMP in macrophage priming was shown to be mediated by increased activity and expression of PDE4, specifically PDE4B (Gobejishvili et al, 2008). PDE4 inhibition resulted in a significant decrease in endotoxin-induced inflammatory cytokine production by human peripheral blood mononuclear cells (PBMCs) from patients with alcohol-associated hepatitis and monocytes/macrophages of human and murine origin (Gobejishvili et al, 2008; Gobejishvili et al, 2011; Gobejishvili et al, 2013; Rodriguez et al, 2019). Importantly, studies using gene knockout mice identified PDE4B as an essential player in endotoxin-mediated production of TNFα (Jin and Conti, 2002; Jin et al, 2005).\nHowever, the role of PDE4-regulated cAMP signaling is not limited to immune cells and their inflammatory responses. Importantly, increased expression of PDE4 enzymes has been associated with both spontaneous and TGFβ1-induced activation of HSCs (Gobejishvili et al, 2013; Elnagdy et al, 2023). Moreover, recent work demonstrated that PDE4A, B, and D are upregulated in the livers of patients with metabolic dysfunction-associated steatotic liver disease (MASLD), and their levels are positively correlated with TGFβ1 (Elnagdy et al, 2023). Importantly, PDE4 enzymes are also expressed in activated HSCs/myofibroblasts in human and mouse livers (Elnagdy et al, 2023). PDE4 inhibition significantly attenuated cytoskeleton remodeling and HSC migration both in vitro and in vivo leading to reduced collagen deposition and fibrosis (Elnagdy et al, 2023).\nIn addition to extracellular matrix remodeling, cAMP signaling plays a significant role in glucose and lipid metabolism in hepatocytes [reviewed in Wahlang et al (2018)]. In relevance to ALD, studies have shown that alcohol attenuates cAMP/PKA signaling in hepatocytes, which results in a decrease in the gene (Cpt1a) encoding carnitine palmitoyltransferase 1A and fatty acid β-oxidation (Elnagdy et al, 2020). Inhibition of PDE4, and specifically PDE4B, prevents alcohol-mediated decrease in cAMP signaling and Cpt1 expression and prevents alcohol-induced lipid accumulation in the liver (Avila et al, 2016; Ma et al, 2022). The effect of PDE4 inhibition on alcohol-induced ER stress has also been shown (Rodriguez et al, 2019). Notably, PDE4 inhibition decreases an alcohol-mediated increase in JNK activation and hepatocyte death (Rodriguez et al, 2019). More recent studies showed that overexpression of PDE4D in the liver led to the development of MASLD in mice, which was attenuated by a PDE4 inhibitor (Tao et al, 2022b; Tao et al, 2023).\n\n\n### cGMP and dual substrate PDEs\nBesides PDE4, recent papers have demonstrated the role of PDE9 and 10 in liver and lung fibrosis as well as diet-induced obesity (Ceddia et al, 2021; Mishra et al, 2021; Wu et al, 2021; Li et al, 2023), indicating that cGMP signaling is also critical in tissue fibrogenesis. Indeed, a recent study reported increased hepatic levels of cGMP in patients and mice with alcohol-associated steatohepatitis (ASH; Montoya-Durango et al, 2023). Moreover, these changes were associated with significant alterations in various cAMP- and cGMP-selective PDEs in the liver, highlighting the potential role of PDE enzymes in the pathogenesis of ASH. Given the crucial role of NO-cGMP signaling in the regulation of hepatic sinusoids and portal pressure, perhaps the most significant findings presented in this recent study were increased levels of PDE1A, PDE4A, PDE4D, and PDE5A (Montoya-Durango et al, 2023). Indeed, these enzymes have been shown to modulate vascular tone, remodeling, and exchange via both cAMP and cGMP (Houslay et al, 2007; Netherton et al, 2007). Increased levels of soluble guanylyl cyclase and PDE5 in cirrhotic livers have been reported in another human study (Kreisel et al, 2021). In a normal liver, PDE5 protein is highly expressed in perisinusoidal cells with a very weak expression in hepatocytes. In cirrhotic livers, PDE5 expression increases in fibrous septa, and perisinusoidal cells throughout the parenchyma (Kreisel et al, 2021). PDE5 inhibitors have shown anti-inflammatory and antifibrotic properties in several studies, as well as improvement in portal hypertension (Knorr et al, 2008; Choi et al, 2009; Deibert et al, 2018; Schaffner et al, 2018; Brusilovskaya et al, 2020; Kreisel et al, 2020). Notably, a recent study reported the age-dependent sexual dimorphism in the vascular PDE expression patterns (Wang et al, 2021). This is the first study to highlight sexual dimorphism in PDE expression. Future studies are needed to examine whether there are sex-dependent differences in PDE expression in the liver and whether it contributes to the susceptibility of females to certain types of liver injury.\nInterestingly, differential beneficial effects of various PDE inhibitors on a high fat-induced MASLD model in rats have been reported (El-Deen et al, 2020). Specifically, when administered in a treatment paradigm, the authors observed that pentoxifylline (PTX), a broad-spectrum PDE inhibitor, had the strongest effect on oxidative stress markers, steatosis, inflammation, and liver injury when compared with cilostazol and sildenafil (El-Deen et al, 2020). Notably, PTX (alone and in combination with other drugs) has been widely used to treat MASLD and ALD in humans (Zein et al, 2011; Zein et al, 2012; Smart et al, 2013; Alam et al, 2017; Cioboata et al, 2017; Louvet et al, 2018; Teschke, 2018; Culafic et al, 2020; Marot et al, 2020; Szabo et al, 2022). However, although several studies have reported significant beneficial effects, including anti-fibrotic and antioxidative stress (Zein et al, 2011; Zein et al, 2012; Sridharan et al, 2018; Fouda et al, 2021; Kedarisetty et al, 2021), the use of PTX has been debated (Van Wagner et al, 2011). PTX therapy has shown mixed results in trials in patients with AH (Akriviadis et al, 2000; Thursz et al, 2015; Louvet et al, 2018; Kedarisetty et al, 2021; Philips et al, 2022; Duan et al, 2023), with the large STOPAH trial reporting lack of efficacy in reducing mortality (Thursz et al, 2015). Subjects with alcohol use disorder (AUD) are reported to be less compliant with many medical regimens. PTX is a nonselective and weak PDE inhibitor and requires 3 times a day (t.i.d.) dosing. Patients report significant gastrointestinal upset which causes noncompliance. Compliance with PTX in the most recent large AH trial was 49.4% ± 40.2% versus placebo 65.5% ± 35.3% (P = .06) with nausea being the primary reason for noncompliance (Szabo et al, 2022). The American College of Gastroenterology (ACG) most recent clinical guidelines for the treatment of ALD do not support the use of PTX for severe AH due to a moderate level of evidence that PTX provides survival benefits (Jophlin et al, 2024). More clinical trials are ongoing to test PTX for the treatment of metabolic dysfunction-associated steatohepatitis (MASH; NCT05284448) and to prevent decompensation in stable cirrhotic patients with prior decompensation (NCT06041932).\nBased on strong preclinical evidence that PDE4 inhibition has anti-inflammatory and antifibrotic properties, the efficacy of the PDE4 inhibitor, ASP9831, was tested in a proof-of-concept phase 2 clinical trial in biopsy-confirmed patients with MASH and liver fibrosis (Ratziu et al, 2014). The trial did not find any effects of the PDE4 inhibitor on biochemical end points including liver injury markers (ALT, AST, and cytokeratin 18), adiponectin, and TNFα (Ratziu et al, 2014). The authors questioned the benefit of PDE4 inhibition as a therapy for MASH due to the failure to attenuate inflammation and liver injury markers. However, although a liver biopsy was performed prior to patient enrollment, no follow-up biopsies were documented. Hence, it is unknown if ASP9831 had any effect in improving the fibrosis stage. Moreover, this study was only 12 weeks in duration; thus, there were multiple study limitations. Notably, authors pointed out that detailed studies examining the role of each of PDE4 enzymes in the pathogenesis of MASH are lacking. In this regard, a recent study found that PDE4A, B, and D enzymes are expressed in myofibroblasts in the livers of MASH cirrhosis patients (Elnagdy et al, 2023), implicating the role of these enzymes in MASH cirrhosis.\nIn summary, there is ample preclinical and clinical evidence that PDE enzymes are involved in various liver cell (dys)functions associated with liver pathology. However, more work needs to be done to characterize the expression patterns and levels of PDEs in a cell-specific manner in the liver (Fig. 14). This will allow us to better understand their role in liver cell pathophysiology for therapeutic targeting. Moreover, liver diseases are multifactorial and progressive with various stages of pathology ranging from simple steatosis to inflammation and fibrosis. Animal models do not recapitulate the clinical progression of human liver disease, and hence, they have limited utility in testing PDE inhibitors for efficacy. Because various selective PDE4 and PDE5 inhibitors have been approved by the FDA for clinical use, perhaps hepatologists will consider them as therapeutic options for liver diseases, especially for ALD and MASLD.Fig. 14Involvement of PDEs in liver fibrosis and hepatocyte damage. Several factors, including alcohol, viruses, and high-fat diets, can instigate damage to hepatocytes and fibrosis. Injured hepatocytes release inflammatory mediators leading to the recruitment of peripheral immune cells and activation of resident macrophages consequently, triggering the activation of HSCs. Activated HSCs transdifferentiate into pro inflammatory and profibrogenic myofibroblasts and release excessive amount of ECM, which in long-term leads to liver fibrosis. Elevated PDE activity mediates some of these pathological changes, thus presenting as potential pharmacological targets for treating liver disorders. Created with BioRender.com.\nInvolvement of PDEs in liver fibrosis and hepatocyte damage. Several factors, including alcohol, viruses, and high-fat diets, can instigate damage to hepatocytes and fibrosis. Injured hepatocytes release inflammatory mediators leading to the recruitment of peripheral immune cells and activation of resident macrophages consequently, triggering the activation of HSCs. Activated HSCs transdifferentiate into pro inflammatory and profibrogenic myofibroblasts and release excessive amount of ECM, which in long-term leads to liver fibrosis. Elevated PDE activity mediates some of these pathological changes, thus presenting as potential pharmacological targets for treating liver disorders. Created with BioRender.com.\n\n\n### Neurodevelopmental disorders\nOur memories are what define who we are as a person. Healthy aging, alongside age-related diseases including cognitive decline (ACRD), mild cognitive impairment (MCI), AD, AD-related dementias (ADRD), and Huntington’s disease (HD), is characterized by memory deficits and other cognitive impairments (Apple et al, 2017; Dean et al, 2017; Ffytche et al, 2017; Kane et al, 2017). These cognitive domains are known to be regulated by PDEs and aging and age-related diseases of the brain have been associated with significant disturbances in cyclic nucleotide signaling (cf, Kelly, 2018a). Here, we suggest that dysfunction in more than 1 PDE contributes to age-related pathology and identify those PDE families and isoforms with the greatest therapeutic potential.\nAs described in detail below, several PDEs demonstrate alterations in expression, localization, and/or activity in the aged brain that can be subverted/exacerbated in the context of ACRD, MCI, AD, ADRD, and HD. A particularly challenging aspect of this area of research is that these functional changes are often isoform-specific and vary across brain regions. For example, in the hippocampus and cortex, aged rodents demonstrate increased high Km cAMP-PDE and cGMP-PDE hydrolytic activity relative to young rodents (Stancheva and Alova, 1991; Chalimoniuk and Strosznajder, 1998). As such, isoform-selective therapeutics have been much pursued for the treatment of ARCD, MCI, AD, ADRDs, and HD (Fig. 15).Fig. 15Role of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nRole of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nDuring the transition from early to late adulthood, rodent studies show that PDE1B mRNA expression remains unchanged in the hippocampus but decreases in the cerebellum and striatum (Kelly et al, 2014). In contrast, PDE1C mRNA expression increases in the striatum and PDE1C1 protein—but not PDE1C3—increases in the hippocampus (Kelly et al, 2014). Expression of PDE1A mRNA in these brain regions remains unchanged with age, and no isoform showed age-related changes in cortical expression (Kelly et al, 2014). Functionally, PDE1B is the most explored PDE1 isoform in the context of learning and memory. PDE1B knockout mice performed equivalently to wild-type mice in both the passive avoidance and conditioned avoidance tests (Siuciak et al, 2007b). Adolescent PDE1B knockout and heterozygous mice showed impaired spatial learning and memory in a hidden-platform water maze task relative to wild-type mice (Reed et al, 2002); however, adult PDE1B knockout mice showed intact spatial learning and memory but impaired reversal learning on the task (Ehrman et al, 2006). In stark contrast, viral knockdown of only hippocampal PDE1B expression in young adult mice enhanced contextual fear conditioning memory and spatial memory in the Barnes maze (McQuown et al, 2019). Thus, although the general knockdown of PDE1B across brain regions impaired memory processes, local deletion in the hippocampus improved memory function. PDE1B is highly expressed in many brain regions other than the hippocampus, including the cortex, striatum, thalamus, and brain stem (Kelly, 2014; Kelly et al, 2014). Thus, an effect of PDE1B deletion in one of these other brain regions may mask any nootropic effect related to deletion within the hippocampus.\nThat said, the nonselective PDE1 inhibitor, vinpocetine, is sold in over-the-counter supplements (eg, Cavinton or Intelectol, Richter Gedeon; Cognitex, Life Extension) that claim to improve memory (Baillie et al, 2019). Indeed, several clinical trials have examined the cognition-enhancing effects of vinpocetine—either alone or in combination with other compounds (eg, caffeine or Ginko Biloba)—and have generally found improvement in healthy volunteers, individuals with cerebral hypofusion, and possibly aged individuals, but no improvement in AD patients (Subhan and Hindmarch, 1985; Balestreri et al, 1987; Thal et al, 1989; Hindmarch et al, 1991; Polich and Gloria, 2001; Szatmari and Whitehouse, 2003; Richter et al, 2011b; Valikovics et al, 2012; Caldenhove et al, 2017). This is consistent with preclinical rodent models demonstrating therapeutic effects of PDE1 inhibitors in vascular dementia via the PKA-CREB pathway (Zhou et al, 2023), but not with studies showing the efficacy of PDE1 inhibitors in rodent models of AD (Shekarian et al, 2020; Shekarian et al, 2023). Reports of side effects associated with vinpocetine have been minimal, and include flushing, rashes, and minor gastrointestinal disturbances (Smith and Doe, 2002).\nIntracellular therapies developed the broad PDE1 inhibitor, lenrispodun, which shows picomolar IC50s for PDE1A, PDE1B, and PDE1C in enzymatic assays and >1000-fold selectivity versus its nearest neighbor PDE4 (Li et al, 2016b; Snyder et al, 2016). Lenrispodun demonstrates cognition-enhancing effects in rodent models of long-term memory and working memory deficits (Snyder et al, 2016; Li et al, 2016b; Pekcec et al, 2018). It remains to be determined whether the cognition-enhancing effects of lenrispodun are due to inhibition of PDE1A, PDE1B, and/or PDE1C; however, PDE1B may be the most likely candidate given its expression in dopamine D1-expressing neurons (Pekcec et al, 2018) along with the fact that a PDE1B-selective inhibitor developed by Dart Neuroscience showed similar cognition-enhancing effects (Dyck et al, 2017).\nStudies in humans report that PDE2A mRNA levels increase between the prenatal period and childhood and then stabilize into young-middle adulthood in cortical regions, amygdala, and striatum, whereas hippocampal expression of PDE2A mRNA does not increase beyond prenatal levels until adulthood (Farmer et al, 2020). In stark contrast, studies in rodents report decreased expression of PDE2A in the striatum during the transition from early to late adulthood, but no change in the hippocampus, cortex, or cerebellum (Kelly et al, 2014). PDE2A expression did not change as a function of AD in the hippocampus, cortex, cerebellum, or striatum (Reyes-Irisarri et al, 2007).\nAs extensively reviewed elsewhere (Gomez and Breitenbucher, 2013; Zhang et al, 2017a; Kelly, 2018a; Nakashima et al, 2019; Ruan et al, 2019; Zhou et al, 2021; Shi et al, 2021a; Yan et al, 2022), PDE2 inhibitors improve many types of memory in young and old rodents as well as in AD rodent models, preventing Aβ-induced cytotoxicity. The ability of PDE2 inhibitors to improve cognition in these models appears to be mediated via its regulation of cGMP signaling because the nootropic effects require signaling via nNOS (Domek-Lopacinska and Strosznajder, 2008) and PKG (Wang et al, 2017a). Takeda Pharmaceuticals initiated Phase I trials with the PDE2 inhibitor, TAK-915, to correlate plasma exposures with central target engagement to inform dose selection for future trials targeting cognitive impairments (Mikami et al, 2017a,b,c); however, clinicaltrials.gov does not show any trials registered beyond Phase I (accessed November 28, 2023).\nAD upregulates PDE3 expression in cerebral vessels (Maki et al, 2014). In preclinical models, PDE3 inhibitors have prevented or reversed Aβ-induced cytotoxicity, both in vitro and in AD mouse models (cf, Yanai et al, 2017; Kelly, 2018a; Yanai et al, 2022). Several prospective and retrospective studies have examined cilostazol as a primary or adjunctive treatment for cognitive deficits associated with AD and schizophrenia (Arai and Takahashi, 2009; Shirayama et al, 2011; Sakurai et al, 2013; Taguchi et al, 2013; Ihara et al, 2014; Tai et al, 2017a,b). As reviewed elsewhere (Heckman et al, 2018a), most of these studies demonstrated positive effects of cilostazol on cognition. The mechanism by which cilostazol elicits improved cognition has yet to be determined empirically. Given there is very little expression of PDE3A or PDE3B in the brain (Lakics et al, 2010; Kelly et al, 2014), it may be more likely that cognition-enhancing effects of cilostazol are driven by increased cerebral blood flow that comes with chronic—but not acute—dosing (Mochizuki et al, 2001; Birk et al, 2004; Kai et al, 2011). Indeed, recent studies in mice suggest the ability of cilostazol to reverse age-related impairments in hippocampus-dependent memory is related to effects on the blood-brain barrier (Yanai et al, 2017) along with increased cerebral glucose uptake and reduced neuroinflammation (Yanai et al, 2022). Despite its existing FDA approval, the efficacy and safety of cilostazol (Pletal) is still very much a topic of investigation (cf, Baillie et al, 2019).\nThe PDE4 family is arguably the most studied of all the PDE families (cf, Baillie et al, 2019; Kelly et al, 2020), with PDE4A, PDE4B, and PDE4D, but not PDE4C, being expressed in the rodent (Kelly, 2014; Kelly et al, 2014) and human brain (Lakics et al, 2010). Interestingly, hippocampal PDE4 protein expression appears to decrease from early to late adulthood (Tohda et al, 1996; Kato et al, 1998; Harada et al, 2002); however, genetic deletion or broad inhibition of PDE4 rescued many types of Aβ-induced cytotoxicity and age-related decline, including reduced CREB phosphorylation, long-term potentiation deficits, and memory impairments [(Bach et al, 1999; de Lima et al, 2008; Drott et al, 2010; Devan et al, 2014; Kumar and Singh, 2017); cf, (Kelly, 2018a; Baillie et al, 2019b); see more below]. Different studies suggest that individual PDE4 isoforms are differentially affected by the disease in a brain region-specific manner (Perez-Torres and Mengod, 2003; Sebastiani et al, 2006; McLachlan et al, 2007; Paes et al, 2021a).\nDespite the fact that the broad spectrum PDE4 inhibitor rolipram triggered aging-like impairments in working memory in young adult monkeys (Ramos et al, 2003), more recent studies report nootropic effects of various PDE4 inhibitors in the elderly, patients with schizophrenia, and other human populations (cf, Baillie et al (2019b); see more below). Zembrin is a nonselective PDE4 inhibitor (it also acts as a 5-HT uptake inhibitor) that is not FDA-approved but is a component of a number of herbal supplements claiming calming or mood-stabilizing properties (eg, Calm, Doctor’s Best; Mood, Procera; Nutri-calm, and Nature’s Sunshine; Terburg et al, 2013). Roflumilast has also been tested for its ability to improve cognition and information processing in healthy humans (Heckman et al, 2018b; Van Duinen et al, 2018).\nThe cognition-enhancing effects of roflumilast described above are consistent with a press release from Dart Neuroscience claiming that 45mg of their PDE4 inhibitor, HT-0712, the lowest dose tested, improved long-term memory for word lists in elderly subjects experiencing a cognitive decline (Baillie et al, 2019). Like Dart Neuroscience, Tetra Therapeutics appears to be pursuing an indication related to cognitive functioning for their PDE4D-negative allosteric modulator zatolmilast. These effects in humans are again consistent with preclinical studies showing zatolmilast improved a number of behaviors in a mouse model of Fragile-X Syndrome and antagonized the amnestic effects of scopolamine in mice (Gurney et al, 2017; Zhang et al, 2018a). Preclinical cognition-enhancing effects of GSK’s PDE4 inhibitor, GSK 356278 were similarly reported (Rutter et al, 2014) as were the ability of several PDE4 inhibitors to ameliorate memory deficits and pathology in dementia-related rodent models (Feng et al, 2019; Liang et al, 2020; Wang et al, 2020; Nazir et al, 2021; Virk et al, 2021; Xia et al, 2022; Hasan et al, 2022; Cong et al, 2023; Gomaa et al, 2023).\nFrom a therapeutic perspective, then, it would be preferable to only target these isoforms in relevant brain regions. As described below, select PDE4A and PDE4D splice variants are the most likely to play a role in molecular mechanisms of memory because numerous studies have reported that genetically manipulating all/select PDE4B isoforms alter synaptic plasticity but largely have no effect on learning and memory (Siuciak et al, 2008a; Zhang et al, 2008a; Rutten et al, 2011; Campbell et al, 2017).\nPDE4A. Many studies have analyzed the effects of genetically manipulating PDE4A on memory. PDE4A knockout mice exhibit normal object recognition memory and spatial water maze memory yet improved passive avoidance memory relative to wild-type mice (Hansen et al, 2014). The selective effect on passive avoidance memory may be related to the aversive nature of the stimuli employed in passive avoidance, given the fact that PDE4A deletion produces anxiogenic-like phenotypes on the elevated-plus maze, light-dark transition, and novelty-suppressed feeding tests (Hansen et al, 2014). This is highly interesting, given that negatively valanced memories are thought to trigger a stronger encoding, storing, and reactivation of sensory detail in controls (Hansen et al, 2014) and patients with AD (Maria and Juan, 2017). As extensively reviewed elsewhere (Baillie et al, 2019), each PDE(4) isoform is uniquely anchored by protein-binding partners through its unique N-terminal domain, which leads to the regulation of different nanodomains of cAMP. When full-length PDE4A5 that includes its unique N-terminal targeting domain is virally overexpressed in hippocampal excitatory neurons, forskolin-induced hippocampal late long-term potentiation (LTP) is impaired and hippocampus-dependent long-term, but not short-term, memory for object location and contextual fear conditioning is attenuated (Havekes et al, 2016a). In contrast, hippocampal delivery of a catalytically dead PDE4A5 that displaces endogenous PDE4A5 (ie, a dominant negative approach) rescued localized cAMP signaling deficits and hippocampus-dependent memory impairments that were caused by sleep deprivation (Vecsey et al, 2009; Havekes et al, 2016a,b). Interestingly, overexpression of PDE4A5 in the hippocampus did not alter anxiety-related behaviors in this study, suggesting either that the PDE4A isoforms regulating anxiety may differ from those regulating memory function or that PDE4A5 expression outside of the hippocampus (eg, in the amygdala or prefrontal cortex) regulates anxiety-related behaviors (Kelly et al, 2020). Importantly, overexpression of PDE4A1, which targets different hippocampal nanodomains, leaves memory undisturbed (Havekes et al, 2016a). As such, compounds or biologicals that target the unique N-terminal domain of each individual PDE4A isoform may be necessary for a beneficial effect in the context of cognitive deficits [as described in Baillie et al (2019)].\nPDE4D. Expression of PDE4D has been genetically and pharmacologically manipulated to examine its role in hippocampus-dependent memory and plasticity. Genetic deletion of PDE4D strengthened recent long-term memory in the radial arm maze, hidden platform water maze, and object recognition tests while increasing levels of cell proliferation and phosphorylation of CREB in the mouse hippocampus (Li et al, 2011). That said, weaker recent long-term memory for contextual fear conditioning was also observed in the global PDE4D knockout mouse (Rutten et al, 2008). It is quite possible that this particular memory impairment may reflect the loss of PDE4D outside the hippocampus, particularly from the amygdala, because selective knockdown of PDE4D in the hippocampus alone improved recent long-term memory for contextual fear conditioning while increasing the number of training-induced stubby spines in CA1 (Baumgartel et al, 2018). Furthermore, PDE4D knockout mice require less tetanic or theta burst stimulation to induce long-term potentiation relative to wild-type mice, although the maximum strength of LTP obtained in PDE4D knockout mice matches that of wild-type mice (Rutten et al, 2008). Furthermore, PDE4D expression is downregulated via gene methylation in aging rats undergoing a moderate-intensity intermittent training program that attenuated ARCD of spatial learning and memory while improving the synaptic structure of the hippocampus (Zhang et al, 2023b). Similarly, PDE4D miRNA infused selectively into the prefrontal cortex reversed Aβ1-42-induced cognitive impairment (Shi et al, 2021b). That said, PDE4D was reported to be upregulated in the prefrontal cortex of aged rats in a manner that positively correlated with working memory and inversely correlated with Tau phosphorylation (Leslie et al, 2020). Thus, the role of PDE4D in regulating memory appears to be brain region and memory type specific.\nIt is likely the long forms of PDE4D, specifically, are negative regulators of hippocampus-dependent memories. Infusion of miRNAs within the dentate gyrus of the hippocampus that targets PDE4D4 and PDE4D5 strengthened recent long-term memory in the radial arm maze, hidden water maze, and object recognition tests (Li et al, 2011); however, infusion of miRNAs targeting PDE4D1/2 or PDE4D3 did not. PDE4D4 and PDE4D5 miRNAs also rescued Aβ-42-induced memory deficits in the hidden platform water maze and object recognition tasks (Zhang et al, 2014). Knockdown of PDE4D long forms also increased phosphorylation of CREB in the hippocampus (Li et al, 2011), a reduction of which is associated with aging (Kelly, 2018a). When long forms of PDE4D were knocked down in the prefrontal cortex of mice, novel object recognition and spatial memory were similarly improved, as was phosphorylation of CREB and pyramidal neuron dendritic branching/length (Wang et al, 2013). Furthermore, knockdown of PDE4D long forms in the prefrontal cortex rescued memory impairments in mice undergoing chronic unpredictable stress (Wang et al, 2015b). Thus, PDE4D4 and PDE4D5, both within and outside of the hippocampus, play critical roles in constraining neuroplasticity and memory formation. Together, these data suggest that PDE4A5, PDE4D4, and PDE4D5 may be the key PDE4 splice variants to target in the treatment of memory deficits.\nPDE5 is probably best known as a drug target for erectile dysfunction (cf, Baillie et al, 2019); however, several studies have pointed to a potential role in regulating brain function. In rodent cerebellum, PDE5A mRNA expression increases between early to late adulthood (Kelly et al, 2014). In animal models, inhibitors of PDE5A have provided protection against age-related decline (Domek-Lopacinska and Strosznajder, 2008; Orejana et al, 2012; Palmeri et al, 2013; Devan et al, 2014). Still, a number of clinical trials have tested the effects of the PDE5 inhibitors tadalafil, sildenafil, and vardenafil on various measures of cognition in healthy volunteers, patients with schizophrenia, or elderly patients with cerebral small vessel disease and have largely found no effects (Grass et al, 2001; Schultheiss et al, 2001; Goff et al, 2009; Reneerkens et al, 2013a,b; Pauls et al, 2023). In contrast, the temporal cortex of patients with AD shows a 5× increase in PDE5A expression relative to controls (Ugarte et al, 2015). Furthermore, PDE5A inhibitors rescue memory deficits, synaptic dysfunction, Tau hyperphosphorylation, Aβ burden, and cytotoxicity in AD mouse models (Puzzo et al, 2009; Garcia-Barroso et al, 2013; Cuadrado-Tejedor et al, 2011; Fiorito et al, 2013; Zhang et al, 2013; Puzzo et al, 2014; Acquarone et al, 2019; Zhu et al, 2019a; Huang et al, 2020b; Tabrizian et al, 2021; Kang et al, 2022; Justo et al, 2023) in a PKG-dependent manner (Zhang et al, 2013).\nExpression of PDE7A mRNA decreases in rodent cortex from early to late adulthood (Kelly et al, 2014). This age-related reduction in PDE7A mRNA is particularly interesting given that a SNP in PDE7A has been genetically associated in humans with age-related cognitive decline (De Jager et al, 2012; Andrews et al, 2016) and cognitive dysfunction related to brain tumors (Correa et al, 2019). In contrast, PDE7A mRNA is decreased in CA2 of the hippocampus in patients with AD relative to controls (Perez-Torres et al, 2003). Thus, it may be surprising that PDE7 inhibitors have positive effects in models of diseases where cognition, neuroprotection, neuroinflammation, and/or motor function are impaired (Banerjee et al, 2012; Redondo et al, 2012; Perez-Gonzalez et al, 2013; Lipina et al, 2013; Garcia et al, 2014; Morales-Garcia et al, 2014; Morales-Garcia et al, 2015a,b; Mestre et al, 2015; Jankowska et al, 2017; Morales-Garcia et al, 2017), including models of AD (Perez-Gonzalez et al, 2013; Bartolome et al, 2018).\nPDE8A3 and PDE8A4/5 protein expressions increase in the rodent hippocampus from early to late adulthood (Kelly et al, 2014; Hegde et al, 2016), whereas PDE8A1 protein levels do not change in this brain region (Kelly et al, 2014). PDE8A mRNA levels also increase across the lifespan in the rodent striatum (Kelly et al, 2014). In contrast, PDE8B mRNA is increased in hippocampal CA2 of patients with AD (Perez-Torres et al, 2003) and in vitro in response to an accumulation of carboxy-terminal amyloid precursor protein fragments (Kametani and Haga, 2015). This AD-related increase in PDE8B expression may contribute to cognitive deficits associated with the disease because PDE8B inactivation in rodents strengthens recent long-term memory for hippocampus-dependent memories (Tsai et al, 2012). Furthermore, recently characterized PDE8 inhibitors demonstrated therapeutic effects in mouse models of vascular dementia (Huang et al, 2020c; Wu et al, 2022). Together, these results suggest PDE8B inhibitors may be a therapeutic approach for cognitive decline; however, this potential may be limited by anxiogenic side effects (Tsai et al, 2012).\nMultiple PDE9A isoforms also exhibit age-related changes in expression in a brain region-specific manner (Patel et al, 2018). In particular, PDE9A isoforms decreased during early postnatal development in the cerebellum and hippocampus of rodents (Patel et al, 2018). Importantly, PDE9A mRNA also decreases during early life in the human hippocampus (Patel et al, 2018). This age-related decrease in hippocampal PDE9A mRNA may reflect a healthy adaptive process because hippocampal PDE9A mRNA is synergistically elevated in the hippocampus of individuals with a history of traumatic brain injury plus dementia relative to controls, although patients with only traumatic brain injury or dementia showed no change relative to controls (Patel et al, 2018). The lack of change in PDE9A expression in dementia-only patients may help explain why the PDE9 inhibitors PF-04447943 and BI-409306 failed to improve either cognition or dementia-related behavioral disturbances in patients with AD in phase II clinical trials (Schwam et al, 2014; Frolich et al, 2019). These clinical failures stood in the face of preclinical studies showing that PDE9A inhibitors rescue cytotoxicity, plasticity impairments, and memory deficits in AD rodent models (Kroker et al, 2014; Li et al, 2016a; Rosenbrock et al, 2019). Furthermore, the development of novel PDE9 inhibitors continues to be pursued for neurodegeneration (Zhang et al, 2020b; Ribaudo et al, 2021; Swetha et al, 2022).\nNot only do expression levels of PDE9A isoforms change with age in a brain region-specific manner but so does their subcellular localization (Patel et al, 2018). For example, across early development PDE9A6/13 and PDE9X-120 shift from the membrane to the nucleus in the prefrontal cortex and cerebellum but not the striatum or hippocampus (Patel et al, 2018). As discussed elsewhere (Salpietro et al, 2018), the issue of subcellular localization may also have contributed to the aforementioned clinical failures of PF-04447943 and BI-409306 for AD. That is, PDE9A is enriched in the nucleus and membrane (Patel et al, 2018) and, thus, is not in a position to directly regulate the cytosolic pools of cGMP that appear to be dysregulated in AD (Bonkale et al, 1995; Baltrons et al, 2002; Baltrons et al, 2004).\nPrenatally, PDE10A mRNA is widely expressed throughout human cortical regions, hippocampus, amygdala, and striatum; however, PDE10A levels dramatically drop by childhood in all regions except in the striatum (Farmer et al, 2020). In the adult human brain, then, PDE10A is predominantly expressed in striatal medium spiny neurons (Geerts et al, 2017; Farmer et al, 2020) and has been largely studied in the context of corticostriatal disorders such as HD and schizophrenia (cf, Baillie et al, 2019). In adult rodents, PDE10A mRNA is also predominantly expressed in the striatum; however, it is also found at very low levels in the cortex, cerebellum, and hippocampus (Kelly et al, 2014; Farmer et al, 2020). Even so, PDE10A deletion or inhibition in rodents has largely proven ineffective, if not harmful, for learning and memory (Siuciak et al, 2006a,b; Sano et al, 2008; Schmidt et al, 2008; Siuciak et al, 2008b). PDE10A is widely reported to be downregulated in the striatum of patients with HD, with the extent of PDE10A loss corresponding to the number of CAG repeats within the Huntington gene (Hebb et al, 2004; Ahmad et al, 2014; Russell et al, 2014; Russell et al, 2016; Wilson et al, 2016; Fazio et al, 2020). PDE10A mutations linked to hyperkinetic movement disorders that phenocopy many features of HD reduce PDE10A expression due to irregular subcellular trafficking that leads to increased PDE10A degradation in the cytosol (Tejeda et al, 2020). Experimentation using highly specific, PDE10A positron emission tomography tracers shows PDE10A expression continues to decline over the years, suggesting the enzyme could be a useful biomarker for assessing the initial diagnosis and subsequent progression of HD (Russell et al, 2016). This downregulation of PDE10A in the HD brain may reflect a compensatory mechanism aimed at increasing cAMP/cGMP signaling, which is known to be reduced in patients’ samples (Gines et al, 2003). Indeed, HD mouse models also show reduced striatal PDE10A expression (Hebb et al, 2004; Hu et al, 2004; Leuti et al, 2013; Miller et al, 2014; Beaumont et al, 2016); however, PDE10 inhibitors rescue behavioral, neurodegenerative, and electrophysiological deficits (Giampa et al, 2009; Giampa et al, 2010; Giralt et al, 2013; Beaumont et al, 2016; Harada et al, 2017). That said, Pfizer’s PF-02545920 failed to improve symptoms in patients with HD and, therefore, further development was terminated (cf, Baillie et al, 2019). Omeros and Palobiofarma similarly explored HD as an indication for their PDE10 inhibitors; however, those efforts were suspended or have been terminated (cf, Baillie et al, 2019).\nIn the rodent brain, PDE11A is quite unique in that it is the only PDE whose mRNA expression emanates predominantly (if not solely) from the hippocampus (Kelly et al, 2014). Age-related increases in PDE11A mRNA and PDE11A4 protein expressions have been reported in the mouse, rat, and human hippocampus (Kelly et al, 2014; Pilarzyk et al, 2022). Interestingly, these age-related increases in protein expression are driven, at least in part, by phosphorylation of Ser117 and Ser124 in the PDE11A4 N-terminal regulatory domain, which also triggers the protein to ectopically accumulate within filamentous structures termed ghost axons (Pilarzyk et al, 2022; Pilarzyk et al, 2023). These age-related increases in PDE11A4 expression are likely a direct contributor to the age-related increases in hippocampal PDE hydrolytic activity and decreases in CREB function described above (Kelly et al, 2010; Smith et al, 2021; Pilarzyk et al, 2022) as well as age-related decreases in expression of the NR1 subunit of the N-methyl-D-aspartate (NMDA) receptor that occur post-synaptically in the prefrontal cortex (Pilarzyk et al, 2019; McQuail et al, 2021). These age-related increases in hippocampal PDE11A4 protein expression may also contribute to age-related changes in microglia activation and cytokine expression in the hippocampus (Pathak et al, 2017; Pilarzyk et al, 2021; Porcher et al, 2021).\nGenetic deletion of PDE11A in mice leads to a transient amnesia for social memories that ultimately produces stronger, remote long-term social memories in young adult mice and prevents the age-related cognitive decline of remote long-term social memories in old mice (Pilarzyk et al, 2019; Pilarzyk et al, 2022). This transient amnesia correlates with changes in the overall activation levels and functional connectivity of frontal cortical regions and hippocampal/parahippocampal regions and reduced expression of the glutamate receptor NR1 subunit in the prefrontal cortex (Pilarzyk et al, 2019). Furthermore, viral restoration of PDE11A4 selectively to ventral CA1 of adult Pde11a KO adult mice was sufficient to reverse the memory phenotypes caused by the deletion, suggesting that the nootropic effect of the deletion was due to the acute loss of PDE11A4 signaling in the adult brain as opposed to an effect on development (Pilarzyk et al, 2019; Pilarzyk et al, 2022). Based on these findings, potent and selective PDE11 inhibitors are currently being developed for treating age-related cognitive decline (Mahmood et al, 2023).\nDisrupting PDE homodimerization may also prove to be an effective way to target PDE11A4 function in a subcellular domain-specific manner (GAF-B domain) to rescue cognitive deficits (Pathak et al, 2017). Interestingly, age-related increases in ventral hippocampal PDE11A4 protein are localized to the membrane (Pilarzyk et al, 2022), which suggests the isolated GAF-B domain might prove quite beneficial in the context of age-related cognitive decline (Pilarzyk et al, 2022). Indeed, viral expression of the isolated GAF-B domain in CA1 of mouse hippocampus was able to reduce PDE11A4 protein expression in a compartment-specific manner, reverse the age-related cognitive decline of remote long-term social associative memory, and improve social recognition memory in old mice, albeit at the expense of being unable to access recent long-term social memories (Pilarzyk et al, 2023).\nAs discussed elsewhere (Baillie et al, 2019), this is clearly an exciting time in the PDE field, but there is much work that remains to be done. For therapeutics to be efficiently developed, we need to have a more thorough understanding of exactly where cyclic nucleotide signaling is disrupted in a given disease, and in which tissue, cell types, and subcellular compartments. We then need to target a PDE in a defined locale, with the understanding that subcellular compartmentalization of a given PDE may vary depending on species, age, tissue type, or disease status (Houslay and Baillie, 2005; Huston et al, 2006; Nagel et al, 2006; Richter et al, 2008; Ahmad et al, 2009; Houslay, 2010; Penmatsa et al, 2010; Al-Tawashi and Gehring, 2013; Perera et al, 2015; Patel et al, 2018). This consideration is equally important in the evaluation of potential efficacy and potential side effects. To maximize potential efficacy while minimizing potential side effects, 1 would target a PDE that is enriched, if not exclusively expressed, in the tissue of interest and that controls the same pool of cyclic nucleotide that is altered by the disease. At the same time, efforts to unravel the intramolecular signals responsible for trafficking each PDE also need to continue to inform more sophisticated therapeutic approaches that can preferentially target a given PDE in a given subcellular compartment. Along these same lines, we need to grow our understanding of how to stimulate PDE activity and how to target the PDE catalytic activity of dual-specificity PDEs in a functionally selective manner (ie, target only its cAMP- or cGMP-hydrolytic activity, [see Kelly, 2015] for further discussion). Perhaps by increasing the specificity of our approach, we can retain efficacy while mitigating the numerous side effects described above that have plagued PDE inhibitors to date.\nThere is a high degree of overlap between the expression of PDE isoforms and dopamine signaling pathways that mediate motor movement and motivated behaviors. Moreover, the use of new genetic models and novel pharmacological inhibitors has shown that many of the prominent brain PDEs directly impact cyclic nucleotide-dependent dopamine signaling pathways in a region-specific and cell type-specific manner. Certain PDE isoforms, then, represent targets for novel pharmaceutical approaches to a wide array of neuropsychiatric and neurodegenerative diseases that affect dopamine neurons and their target cells, including schizophrenia, Parkinson’s disease (PD), HD, and depression. Although the role of PDE isoforms in brain and behavioral disease is the subject of other contributions to this review, we review briefly, here, the potential utility of PDE inhibitors for the treatment of dopamine-related neurodegenerative disease, PD.\nParkinson’s disease and symptomatic treatment. PD is characterized as a progressive degeneration of dopamine (DA)-containing neurons in the brain. It is most often characterized by motor deficits, notably bradykinesia, limb rigidity, and resting tremor. Dopamine depletion—most notable as the degeneration of nigrostriatal dopamine neurons—is considered the primary cause of the loss of volitional movement in PD. This effect may contribute to the associated nonmotor symptoms of the disease, including cognitive dysfunction, loss of effect, and depression (Hornykiewicz, 1966; Bernheimer et al, 1973), although nondopaminergic systems are also clearly involved (Jellinger, 1991; Braak et al, 2003). Mutations in specific genes, including LRRK2, synuclein, and PINK1, are linked to familial forms of PD (Biskup et al, 2008) but may also play important roles in many cases (ie, >95 % of patients) of the disease for which the biological cause is unknown. There is no cure for PD. Rather, the disease is currently addressed with symptomatic treatments that temporarily restore motor function, including replacement therapies like L-dihydroxyphenylalanine (L-DOPA or levodopa), the immediate precursor for DA synthesis (Jankovic and Aguilar, 2008). Unfortunately, long-term L-DOPA therapy becomes ineffective in treating motor disabilities with chronic use.\nThe use of adjunctive or alternate first-line therapies that delay the introduction of L-DOPA therapy or reduce the required dose of L-DOPA can positively affect the course of the disease and the appearance of motor side effects (Schrag and Quinn, 2000). Dopamine receptor agonists (eg, pramipexole, ropinirole) may slow disease progression (Olanow, 2009) and have become part of the arsenal for the treatment of early stage disease, perhaps with fewer drug-induced dyskinesias (Rascol et al, 2000). Interestingly, in vitro preclinical studies show that dopamine receptor agonists may exert antiapoptotic effects directly on dopamine neurons (eg, via autoreceptors; Olanow, 2009); furthermore, dopamine receptor agonists may act at post-synaptic sites (downstream of actions on dopamine neurons) to normalize dopamine activity within the basal ganglia motor system and slow disease progression. The strategy of normalizing motor symptoms to slow disease progression by intervening at points distant from the affected dopamine neurons is the basis for several novel therapeutic approaches.\nAt present, the only medications recognized by the FDA for efficacy in the treatment of LIDs are Istradefylline, an A2A adenosine receptor antagonist (Cummins and Cates, 2022) and amantadine (Metman et al, 1999), a mixed-action drug that produces a modest attenuation of LIDs in some patients via molecular mechanisms that are unclear, but which likely involve NMDA receptor blockade and dopamine agonist activities (Jankovic and Aguilar, 2008). Based on these data, a major avenue for the development of new PD therapies is the discovery of stand-alone or adjunctive therapies that will increase “on” time, enable replacement of L-DOPA or lower maintenance doses of L-DOPA, and prolong the useful lifetime of PD therapy, delaying or preventing the appearance of motor fluctuations, including LIDs.\nPDEs as Novel Targets for PD Therapy: PDEs are exciting and novel targets for the development of new therapies to treat the symptoms (motor and non-motor symptoms), motor side effects, and possibly to modify disease progression in PD. The interest in these enzymes stems, in part, from their abundant expression in brain regions that sustain a loss of motor function in PD (eg, basal ganglia) or regions that subsume important roles in cognition (eg, the prefrontal and dorsolateral cortex and hippocampus)—a prominent non-motor symptomatic deficit in PD (Lakics et al, 2010). In addition, the ability of PDEs to control levels of the second messengers, cAMP and cGMP, which are the key signaling molecules in the actions of dopamine on motor and cognitive function (Greengard et al, 1999), is another appealing functional property. Although it is unclear whether modulation of cAMP or cGMP might be differentially beneficial in addressing symptoms and progression in PD, we will here focus on 4 PDE families with possible benefit for PD)—2 which are cAMP-preferring in their actions (PDE4 and PDE7A/B), and 2 which hydrolyze both cAMP and cGMP (PDE10A and PDE1).\nInhibitors of cAMP-Preferring PDE4 Enzymes in PD. PDE4 enzymes have been proposed as drug targets of interest for PD as family members, including PDE4B, are abundantly expressed in nigrostriatal dopamine terminals and in striatal medium spiny neurons (MSNs), in proximity to presynaptic and postsynaptic dopamine signaling machinery (Yamashita et al, 1997). Pharmacological inhibition of PDE4 with rolipram increases dopamine synthesis in cultured mesencephalic dopamine neurons (Yamashita et al, 1997). This effect is consistent with the ability of PDE4 inhibition to increase cAMP levels in these neurons, leading to phosphorylation of the dopamine synthetic enzymes, tyrosine hydroxylase (TH) at a site (Ser40) that catalyzes dopamine synthesis. These data are supported by in vivo studies demonstrating increases in TH phosphorylation and dopamine turnover in the striatum in response to rolipram (Nishi et al, 2008). PDE4 inhibitors also exhibit antidepressant and procognitive effects in a variety of animal models (Bolger et al, 1994; Barad et al, 1998; Bourtchouladze et al, 1998; D'Sa et al, 2005; Takahashi et al, 1999; Zhang et al, 2009) that would address nonmotor symptoms of PD that are poorly responsive to L-DOPA pharmacotherapy (Chaudhuri and Schapira, 2009). The ability of PDE4 inhibitors to drive dopamine synthesis and release and provide nonmotor support, suggesting that they might be useful in addressing early stage PD.\nThe positive pharmacological effects of PDE4 inhibitors, however, are complicated by postsynaptic effects that mimic the actions of dopamine D2-receptor antagonists. D2-receptor blocking drugs, such as the antipsychotic medication, haloperidol, produce motor disturbances in animals that resemble extrapyramidal motor symptoms and tardive dyskinesia (Klawans and Weiner, 1974). Dopamine receptor antagonists can interfere with the restoration of motor activity by L-DOPA in animal models of PD (Boyce et al, 1990; Grondin et al, 1999). The PDE4 inhibitor, rolipram, preferentially increases DARPP-32 phosphorylation at Thr34 in striatopallidal neurons (Nishi et al, 2008), which are predominantly controlled by dopamine D2 receptors. Thus, PDE4 inhibitors produce an effect in this subset of striatal neurons characteristic of dopamine D2-receptor antagonists such as haloperidol, which is shared with PDE10A inhibitors (see below), such as papaverine (Siuciak et al, 2006a). Overall, inhibition of PDE4 enzymes modestly reduces motor activity in normal mice and rats and potentiates the catalepsy produced by neuroleptic drugs (Kanes et al, 2007; Siuciak et al, 2007a). Thus, despite the favorable potential effects of PDE4 inhibitors for non-motor symptoms of PD, including treatment of cognitive deficits and depression (Zhang, 2009), it is unlikely that the motor effects of pan-PDE4 inhibitors would be tolerated in PD patients.\nPerhaps the greatest limitation to the development of PDE4 inhibitors for PD, and for CNS-based disorders in general, are the associated gastrointestinal and emetic side effects. The emetic response to PDE4 inhibitors has been attributed to the inhibition of the PDE4D isoform in the brain (Robichaud et al, 2002; Mori et al, 2010); indeed, PDE4D expression is enriched in the area postrema, a region controlling the emetic response. Emesis limits the tolerability of PDE4 inhibitors, thus stalling their development for brain disorders. Peripherally restricted inhibitors of PDE4 isoforms, including roflumilast and apremilast, have been successfully developed and approved by the FDA for the treatment of peripheral inflammatory disorders such as COPD; roflumilast has also been investigated for CNS disorders (Prickaerts et al, 2017), albeit with a narrow therapeutic window. Efforts continue toward the design of PDE4 inhibitors that minimize PDE4D-related safety concerns. These efforts have focused on the design of compounds (eg, zatolmilast) that work as negative allosteric inhibitors of the PDE4D enzyme and, thereby, lack full emetic potential. To this end, Tetra Therapeutics has advanced a PDE4D inhibitor, zatolmilast, into phase III clinical development for the treatment of Fragile X syndrome (NCT05163808).\nAnti-inflammatory and neuroprotective potential of cAMP-preferring PDE4 and PDE7 inhibitors. Another area of drug development focus has been the design of PDE4 inhibitors that target, selectively, the PDE4B isoform, which is proposed not to regulate the emetic response (Fox 3rd et al, 2014). PDE4B-preferring inhibitors have been discovered and tested preclinically for CNS activity (Pearse and Hughes, 2016) and for safety in assays thought to predict emetic potential in humans. Inhibitors (eg, ABI-4) of the brain-enriched PDE4B isoform exert strong anti-inflammatory and neuroprotective actions in cell-based assays. For example, the release of TNFα from LPS-stimulated human PBMCs and murine primary microglia was suppressed by ABI-4 in a concentration-dependent manner (Hedde et al, 2017). Similarly, ABI-4 suppressed the brain and plasma levels of proinflammatory cytokines, including IL1β and IL-6 (although not TNFα) in mice in vivo (Hedde et al, 2017). Aging has been associated with enhanced systemic inflammation (Franceschi et al, 2007); subchronic administration of AB4-1 in aged mice significantly reduced brain levels of TNFα and IL1β. Furthermore, lower levels of plasma TNFα were observed in mice genetically lacking the PDE4B isoform (Hedde et al, 2017). Despite the promising preclinical effects of more selective PDE4B inhibitors, like ABI-4 in inflammation and aging models, a suitable PDE4 inhibitor is yet to be evaluated clinically for the treatment of motor and/or nonmotor symptoms of PD.\nThe anti-inflammatory effects of PDE4B-preferring compounds are particularly interesting with regard to PD as it has become increasingly evident that neuroinflammation and immune system dysfunction are likely to be causative or exacerbating factors in the symptomatology and progression of PD (Tansey et al, 2022). As discussed above, PDE4 inhibitors, including PDE4B-preferring molecules, are reported to have potent anti-inflammatory actions that might protect neurons in models of PD and other neurodegenerative diseases. This property of PDE enzymes will be discussed below in reference to other PDE families, including those for PDE7, PDE10A, and PDE1.\nInhibitors of cAMP-Preferring PDE7A/B Isoforms in PD. The PDE7 family has also been proposed as a potential target for PD therapy due, in part, to high expression in striatal neurons and the potent anti-inflammatory/neuroprotective effects of inhibitors. To date, only a few studies have been published on this cAMP-preferring PDE. PDE7 enzymes (predominantly the PDE7B isoform) are abundantly expressed in the brain. PDE7B mRNA levels are high in rat dentate gyrus, striatum, and olfactory tubercle (Reyes-Irisarri et al, 2005). PDE7B mRNA is localized to striatal MSNs and its translational regulation under the control of the dopamine D1-receptor is confirmed (Sasaki et al, 2004). More recently, double in situ hybridization analysis has shown that the PDE7B signal also localizes to dopamine D2-receptor-containing striatal neurons (De Gortari and Mengod, 2010), further supporting the potential significance of this PDE as a target for the development of therapies for PD. Expression of PDE7B in the hippocampus further connects this isoform with brain circuitry underlying cognitive dysfunction in PD. A link between familial PD genes and PDE7B is supported by a recent study in mice overexpressing mutant A53T-alpha (α) synuclein (Kurz et al, 2010). Mutant α-synuclein, which was associated with reduced levels of several indices of striatal dopamine signaling, was found to negatively regulate striatal gene expression, including the gene encoding PDE7B. High-affinity inhibitors of this PDE (eg, OMS182401) are being investigated for motor benefit in animal models of PD (see http://www.michaeljfox.org/).\nPDE7 inhibitors, like PDE4B inhibitors, elicit strong anti-inflammatory effects and may be responsible for protective effects on dopamine neurons (Garcia et al, 2014; Chen and Yan, 2021; Zorn and Baillie, 2023). Inhibition of PDE7B or silencing of the gene encoding PDE7B dampens expression of inflammatory cytokines (like TNFα) in rodent neurons treated with 6-OHDA (a dopamine-depleting neurotoxin) or the inflammogen, LPS (Chen et al, 2021). The neuroprotective effects of PDE7 inhibitors are accompanied by increases in tissue levels of cAMP, suggesting that they protect dopamine neurons via pathways involving cAMP (Sasaki et al, 2004). The PDE7A isoform, furthermore, is highly expressed in human proinflammatory and immune cells (Smith et al, 2004), providing a broader role for this PDE in the regulation of brain and systemic inflammation.\nInhibitors of the Dual cAMP/cGMP PDE10A Enzyme in PD. A high level of basic research and drug development interest has focused on PDE10A, one of the dual cAMP/cGMP hydrolyzing PDE families. Initial interest in PDE10A inhibitors was as a novel target for the treatment of schizophrenia (Schmidt et al, 2009). PDE10A inhibitors, including the tool compound, papaverine, mimic the effects of established antipsychotic medications possessing dopamine D2-receptor antagonist activity in a variety of behavioral models (Siuciak et al, 2006a, 2007a). Deletion of the gene encoding PDE10A mimicked the behavioral actions of antipsychotic medications in mice (Siuciak et al, 2006a). These studies, however, noted that pharmacological inhibition of PDE10A or deletion of the PDE10A gene consistently elicited disruptions in motor function, including reduced spontaneous locomotor activity and increases in response latency in sensorimotor tests (Siuciak et al, 2006a). Clinical investigations of PDE10A inhibitors established a lack of efficacy in the treatment of psychosis (Walling et al, 2019; Menniti et al, 2021).\nDespite concerns that dopamine D2-receptor antagonist-like properties of PDE10A inhibitors could further compromise motor activity, mild dopamine D2 antagonist activity provided by these agents might be of value in the management of LIDs. Dopamine receptor sensitization that results from the loss of striatal dopamine innervation and the effects of dopamine replacement therapy likely contribute significantly to the development of LIDs (Nutt, 1990). Thus, mild dopamine D2-receptor antagonist-like activity that would normalize dopamine receptor responses to L-DOPA might delay the onset or lessen the severity of motor responses to replacement therapy. Dopamine D2-receptor antagonists effectively suppress the appearance of specific behaviors in animals that are analogous to human dyskinesias, including axial, limb, and orolingual movements, without significantly comprising L-DOPA effects on spontaneous motor activity (Monville et al, 2005; Taylor et al, 2005). Antagonists of specific receptors within the D2 family, like the D3-type dopamine receptor, have recently been shown to suppress LIDs, supporting the idea that molecules with D2-receptor antagonist-like activity may be useful anti-dyskinetic agents (Visanji et al, 2009). Clinically, several studies support the efficacy of atypical antipsychotic drugs, such as clozapine and aripiprazole, for the control of LIDs. The positive effects of these drugs may be due to their complex pharmacology, which includes activity at several different receptors. Thus, the interesting dopamine signaling effects of both PDE4 and PDE10A inhibitors may warrant their consideration for neurological indications such as LIDs. For example, abnormal orolingual movements induced by chronic neuroleptic drug treatment, a model for dyskinetic behaviors seen after L-DOPA, is attenuated by rolipram treatment (Sasaki et al, 1995).\nInhibitors of the Dual cAMP/cGMP PDE1 Enzyme in PD. PDE1 enzyme also represents an interesting target for addressing the motor symptoms of PD. The concept is supported by the enrichment of the PDE1B isoform in basal ganglia (Polli and Kincaid, 1994), and the demonstrated actions of pan-PDE1 inhibitors in enhancing cAMP-dependent actions of dopamine at the biochemical and behavioral level (Snyder et al, 2016; Pekcec et al, 2018). PDE1B was originally recognized as an attractive candidate for dopamine-related indications such as PD based on its striatal enrichment and close association with brain regions receiving heaving dopaminergic innervation (Polli and Kincaid, 1994; Yan et al, 1994). Furthermore, PDE1B gene knockout amplifies dopamine signaling via D1-receptor pathways and motor activity stimulated by low-level dopamine agonist administration (Reed et al, 2002; Ehrman et al, 2006; Siuciak et al, 2007a). The data support the idea that PDE1B inhibition enhances dopamine signaling in a stimulus-bound manner, as deletion of the PDE1B gene in mice resulted in no significant change in basal protein phosphorylation and negligible changes in basal locomotor activity. This quality is consistent with the unique regulatory properties of the PDE1 family of enzymes. As all 3 PDE1 family members are stimulated by Ca2+/CaM (the only 1 of 11 PDE families with this property), their activity is likely controlled by neuronal activity. This property confers an “on-demand” quality to PDE1 activity that would be anticipated to provide phasic amplification of dopamine signaling contingent upon stimulation of MSNs by endogenous factors. The “on-demand” activity of PDE1B may be a superior attribute as a drug target compared with dopamine agonists which tonically activate dopamine receptors (Wennogle et al, 2017). The tonic activation of receptors by agonists is 1 factor, which results in dopamine receptor changes that contribute to the development of motor fluctuations (Olanow, 2009). Establishing PDE1B as a therapeutic target for PD will need to be evaluated with potent and selective inhibitors.\nOver the past decade, several potent and selective PDE1 inhibitors have been discovered and reported to have activity on motor features of PD and/or on behavioral dimensions such as cognition, which are prominent non-motor features compromised in PD and poorly treated by current PD medications. The first fully characterized, orally active, brain permeant, and selective inhibitor of PDE1 was Lenrispodun. Lenrispodun has been reported, primarily, to enhance memory performance in rodents using the novel object recognition test (Snyder et al, 2016). Pekcec and colleagues further demonstrated the ability of the compound to elevate brain levels of cAMP and cGMP and facilitate dopamine D1-receptor and PKA-dependent neural transmission in prefrontal cortical brain slices (Pekcec et al, 2018). Behaviorally, these investigators showed that the compound acted like a dopamine D1-receptor agonist to reverse MK-801-induced cognitive deficits in a continuous alternation task. Interestingly, the compound preferentially improved the cognitive performance of “low performing” rats in the 5-CSRTT attentional assay, although having little effect on “high performing” rats. These results fit nicely with, what is referred to, as an “inverted U” curve noted with cognitive responses of animals treated with dopamine D1-receptor agonists. Animals typically show improved cognitive performance in response to dopamine D1-receptor agonists only at optimal levels of dopamine D1-receptor agonism; lower and higher levels of activity are associated with poorer cognitive performance (Goldman-Rakic et al, 2000).\nMost recently, a novel inhibitor of PDE1 has been disclosed by Sumitomo Dianippon Pharma Co., Ltd, which has efficacy in reducing the expression of dyskinetic behavior in MPTP-lesioned primates receiving long-term treatment with L-DOPA (Enomoto et al, 2021). To date, it is unclear whether this PDE1 inhibitor is being advanced into clinical testing for PD or any other indications.\nIt is noteworthy that like inhibitors of PDE4, PDE7, and PDE10A, PDE1 inhibitors also possess potent anti-inflammatory activity in cell-based and in vivo inflammation models. Early on, the PDE1B isoform was found to be expressed in immune cells. Bender and Beavo (2006) demonstrated enhanced expression of PDE1B levels in monocytes when stimulated to differentiate into macrophages. Another study found that the pan PDE1 inhibitor, Lenrispodun, suppressed the release of the proinflammatory cytokine, TNFα, from microglia-like BV2 cells in response to LPS treatment (O'Brien et al, 2020). Lenrispodun also inhibited the expression of proinflammatory genes in LPS-stimulated BV2 cells, including IL1β and CCL2. Functionally, these gene expression changes were correlated with the inhibition of BV2 migration toward the chemoattractant, ADP, in a Boyden chamber assay, implying that the compound was capable of dampening the recruitment of microglia to sites of inflammation (O'Brien et al, 2020). Transcriptome analysis using RNAseq showed that most genes regulated by Lenrispodun in LPS-treated cells were distinct from those regulated by rolipram, a paninhibitor of PDE4; PDE4 is the nearest cross-reactive PDE family to Lenrispodun (Li et al, 2016b; Snyder et al, 2016). These data support the idea that inhibitors of the PDE1 family of enzymes appear able to distinctly regulate unique gene networks separate from those controlled by a well characterized pan-PDE4 inhibitor (O'Brien et al, 2020). Whether PDE7 and PDE10A inhibitors also control networks of genes distinct from PDE1 and other PDE families has yet to be clarified. Taken together, the prominent anti-inflammatory effects of PDE1 inhibitors argue for possible neuroprotective effects in PD in addition to possible motor-based symptomatic effects.\ncGMP and corticostriatal correlates of dyskinesia: a possible role of PDE inhibitors. The therapeutic potential of PDE inhibitors and, in particular, inhibitors of cGMP hydrolysis catalyzed by dual-specificity PDEs, in PD is highlighted by recent research on the molecular basis of dyskinesia. These studies have identified a dysfunction in striatal cGMP signaling as an electrophysiological correlate of LIDs in animals. Work by Calabresi and colleagues has identified a deficit in long-term depression (LTD) of striatal responses to high-frequency stimulation (HFS) of corticostriatal slices in dopamine-depleted animals displaying dyskinesia after chronic L-DOPA treatment (Picconi et al, 2003). Rats depleted of striatal dopamine with the neurotoxin 6-OHDA received repeated daily doses of L-DOPA, which resulted in a subset of animals developing LIDs and another subset of rats that remained nondyskinetic under similar treatment conditions. Corticostriatal slices from dyskinetic rats were distinguishable from those from non-dyskinetic animals based on the loss of LTD responses. Thus, the absence of LTD provides an electrophysiological correlate for dyskinesia (Picconi et al, 2003). Rats with established LIDs expressed lower striatal levels of cAMP and cGMP compared with normal animals. Treatment of these animals with agents such as zaprinast, an inhibitor of cGMP preferring PDEs, partially restored striatal cyclic nucleotides and attenuated dyskinesias (Giorgi et al, 2008). Zaprinast, and other cGMP-elevating agents, further induced LTD responses in corticostriatal slices (Calabresi et al, 1999; Picconi et al, 2011). Together, these data indicate that LIDs may be associated with abnormal corticostriatal plasticity that results from deficits in cGMP levels. Thus, PDE inhibitors that elevate striatal cGMP levels and signaling are potentially beneficial for attenuating LIDs. These data support a possible therapeutic role for inhibitors of several striatal-enriched PDEs in this indication including PDE1B.\n\n\n### PDE isoforms, cognitive impairment, and Alzheimer\nOur memories are what define who we are as a person. Healthy aging, alongside age-related diseases including cognitive decline (ACRD), mild cognitive impairment (MCI), AD, AD-related dementias (ADRD), and Huntington’s disease (HD), is characterized by memory deficits and other cognitive impairments (Apple et al, 2017; Dean et al, 2017; Ffytche et al, 2017; Kane et al, 2017). These cognitive domains are known to be regulated by PDEs and aging and age-related diseases of the brain have been associated with significant disturbances in cyclic nucleotide signaling (cf, Kelly, 2018a). Here, we suggest that dysfunction in more than 1 PDE contributes to age-related pathology and identify those PDE families and isoforms with the greatest therapeutic potential.\nAs described in detail below, several PDEs demonstrate alterations in expression, localization, and/or activity in the aged brain that can be subverted/exacerbated in the context of ACRD, MCI, AD, ADRD, and HD. A particularly challenging aspect of this area of research is that these functional changes are often isoform-specific and vary across brain regions. For example, in the hippocampus and cortex, aged rodents demonstrate increased high Km cAMP-PDE and cGMP-PDE hydrolytic activity relative to young rodents (Stancheva and Alova, 1991; Chalimoniuk and Strosznajder, 1998). As such, isoform-selective therapeutics have been much pursued for the treatment of ARCD, MCI, AD, ADRDs, and HD (Fig. 15).Fig. 15Role of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nRole of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nDuring the transition from early to late adulthood, rodent studies show that PDE1B mRNA expression remains unchanged in the hippocampus but decreases in the cerebellum and striatum (Kelly et al, 2014). In contrast, PDE1C mRNA expression increases in the striatum and PDE1C1 protein—but not PDE1C3—increases in the hippocampus (Kelly et al, 2014). Expression of PDE1A mRNA in these brain regions remains unchanged with age, and no isoform showed age-related changes in cortical expression (Kelly et al, 2014). Functionally, PDE1B is the most explored PDE1 isoform in the context of learning and memory. PDE1B knockout mice performed equivalently to wild-type mice in both the passive avoidance and conditioned avoidance tests (Siuciak et al, 2007b). Adolescent PDE1B knockout and heterozygous mice showed impaired spatial learning and memory in a hidden-platform water maze task relative to wild-type mice (Reed et al, 2002); however, adult PDE1B knockout mice showed intact spatial learning and memory but impaired reversal learning on the task (Ehrman et al, 2006). In stark contrast, viral knockdown of only hippocampal PDE1B expression in young adult mice enhanced contextual fear conditioning memory and spatial memory in the Barnes maze (McQuown et al, 2019). Thus, although the general knockdown of PDE1B across brain regions impaired memory processes, local deletion in the hippocampus improved memory function. PDE1B is highly expressed in many brain regions other than the hippocampus, including the cortex, striatum, thalamus, and brain stem (Kelly, 2014; Kelly et al, 2014). Thus, an effect of PDE1B deletion in one of these other brain regions may mask any nootropic effect related to deletion within the hippocampus.\nThat said, the nonselective PDE1 inhibitor, vinpocetine, is sold in over-the-counter supplements (eg, Cavinton or Intelectol, Richter Gedeon; Cognitex, Life Extension) that claim to improve memory (Baillie et al, 2019). Indeed, several clinical trials have examined the cognition-enhancing effects of vinpocetine—either alone or in combination with other compounds (eg, caffeine or Ginko Biloba)—and have generally found improvement in healthy volunteers, individuals with cerebral hypofusion, and possibly aged individuals, but no improvement in AD patients (Subhan and Hindmarch, 1985; Balestreri et al, 1987; Thal et al, 1989; Hindmarch et al, 1991; Polich and Gloria, 2001; Szatmari and Whitehouse, 2003; Richter et al, 2011b; Valikovics et al, 2012; Caldenhove et al, 2017). This is consistent with preclinical rodent models demonstrating therapeutic effects of PDE1 inhibitors in vascular dementia via the PKA-CREB pathway (Zhou et al, 2023), but not with studies showing the efficacy of PDE1 inhibitors in rodent models of AD (Shekarian et al, 2020; Shekarian et al, 2023). Reports of side effects associated with vinpocetine have been minimal, and include flushing, rashes, and minor gastrointestinal disturbances (Smith and Doe, 2002).\nIntracellular therapies developed the broad PDE1 inhibitor, lenrispodun, which shows picomolar IC50s for PDE1A, PDE1B, and PDE1C in enzymatic assays and >1000-fold selectivity versus its nearest neighbor PDE4 (Li et al, 2016b; Snyder et al, 2016). Lenrispodun demonstrates cognition-enhancing effects in rodent models of long-term memory and working memory deficits (Snyder et al, 2016; Li et al, 2016b; Pekcec et al, 2018). It remains to be determined whether the cognition-enhancing effects of lenrispodun are due to inhibition of PDE1A, PDE1B, and/or PDE1C; however, PDE1B may be the most likely candidate given its expression in dopamine D1-expressing neurons (Pekcec et al, 2018) along with the fact that a PDE1B-selective inhibitor developed by Dart Neuroscience showed similar cognition-enhancing effects (Dyck et al, 2017).\nStudies in humans report that PDE2A mRNA levels increase between the prenatal period and childhood and then stabilize into young-middle adulthood in cortical regions, amygdala, and striatum, whereas hippocampal expression of PDE2A mRNA does not increase beyond prenatal levels until adulthood (Farmer et al, 2020). In stark contrast, studies in rodents report decreased expression of PDE2A in the striatum during the transition from early to late adulthood, but no change in the hippocampus, cortex, or cerebellum (Kelly et al, 2014). PDE2A expression did not change as a function of AD in the hippocampus, cortex, cerebellum, or striatum (Reyes-Irisarri et al, 2007).\nAs extensively reviewed elsewhere (Gomez and Breitenbucher, 2013; Zhang et al, 2017a; Kelly, 2018a; Nakashima et al, 2019; Ruan et al, 2019; Zhou et al, 2021; Shi et al, 2021a; Yan et al, 2022), PDE2 inhibitors improve many types of memory in young and old rodents as well as in AD rodent models, preventing Aβ-induced cytotoxicity. The ability of PDE2 inhibitors to improve cognition in these models appears to be mediated via its regulation of cGMP signaling because the nootropic effects require signaling via nNOS (Domek-Lopacinska and Strosznajder, 2008) and PKG (Wang et al, 2017a). Takeda Pharmaceuticals initiated Phase I trials with the PDE2 inhibitor, TAK-915, to correlate plasma exposures with central target engagement to inform dose selection for future trials targeting cognitive impairments (Mikami et al, 2017a,b,c); however, clinicaltrials.gov does not show any trials registered beyond Phase I (accessed November 28, 2023).\nAD upregulates PDE3 expression in cerebral vessels (Maki et al, 2014). In preclinical models, PDE3 inhibitors have prevented or reversed Aβ-induced cytotoxicity, both in vitro and in AD mouse models (cf, Yanai et al, 2017; Kelly, 2018a; Yanai et al, 2022). Several prospective and retrospective studies have examined cilostazol as a primary or adjunctive treatment for cognitive deficits associated with AD and schizophrenia (Arai and Takahashi, 2009; Shirayama et al, 2011; Sakurai et al, 2013; Taguchi et al, 2013; Ihara et al, 2014; Tai et al, 2017a,b). As reviewed elsewhere (Heckman et al, 2018a), most of these studies demonstrated positive effects of cilostazol on cognition. The mechanism by which cilostazol elicits improved cognition has yet to be determined empirically. Given there is very little expression of PDE3A or PDE3B in the brain (Lakics et al, 2010; Kelly et al, 2014), it may be more likely that cognition-enhancing effects of cilostazol are driven by increased cerebral blood flow that comes with chronic—but not acute—dosing (Mochizuki et al, 2001; Birk et al, 2004; Kai et al, 2011). Indeed, recent studies in mice suggest the ability of cilostazol to reverse age-related impairments in hippocampus-dependent memory is related to effects on the blood-brain barrier (Yanai et al, 2017) along with increased cerebral glucose uptake and reduced neuroinflammation (Yanai et al, 2022). Despite its existing FDA approval, the efficacy and safety of cilostazol (Pletal) is still very much a topic of investigation (cf, Baillie et al, 2019).\nThe PDE4 family is arguably the most studied of all the PDE families (cf, Baillie et al, 2019; Kelly et al, 2020), with PDE4A, PDE4B, and PDE4D, but not PDE4C, being expressed in the rodent (Kelly, 2014; Kelly et al, 2014) and human brain (Lakics et al, 2010). Interestingly, hippocampal PDE4 protein expression appears to decrease from early to late adulthood (Tohda et al, 1996; Kato et al, 1998; Harada et al, 2002); however, genetic deletion or broad inhibition of PDE4 rescued many types of Aβ-induced cytotoxicity and age-related decline, including reduced CREB phosphorylation, long-term potentiation deficits, and memory impairments [(Bach et al, 1999; de Lima et al, 2008; Drott et al, 2010; Devan et al, 2014; Kumar and Singh, 2017); cf, (Kelly, 2018a; Baillie et al, 2019b); see more below]. Different studies suggest that individual PDE4 isoforms are differentially affected by the disease in a brain region-specific manner (Perez-Torres and Mengod, 2003; Sebastiani et al, 2006; McLachlan et al, 2007; Paes et al, 2021a).\nDespite the fact that the broad spectrum PDE4 inhibitor rolipram triggered aging-like impairments in working memory in young adult monkeys (Ramos et al, 2003), more recent studies report nootropic effects of various PDE4 inhibitors in the elderly, patients with schizophrenia, and other human populations (cf, Baillie et al (2019b); see more below). Zembrin is a nonselective PDE4 inhibitor (it also acts as a 5-HT uptake inhibitor) that is not FDA-approved but is a component of a number of herbal supplements claiming calming or mood-stabilizing properties (eg, Calm, Doctor’s Best; Mood, Procera; Nutri-calm, and Nature’s Sunshine; Terburg et al, 2013). Roflumilast has also been tested for its ability to improve cognition and information processing in healthy humans (Heckman et al, 2018b; Van Duinen et al, 2018).\nThe cognition-enhancing effects of roflumilast described above are consistent with a press release from Dart Neuroscience claiming that 45mg of their PDE4 inhibitor, HT-0712, the lowest dose tested, improved long-term memory for word lists in elderly subjects experiencing a cognitive decline (Baillie et al, 2019). Like Dart Neuroscience, Tetra Therapeutics appears to be pursuing an indication related to cognitive functioning for their PDE4D-negative allosteric modulator zatolmilast. These effects in humans are again consistent with preclinical studies showing zatolmilast improved a number of behaviors in a mouse model of Fragile-X Syndrome and antagonized the amnestic effects of scopolamine in mice (Gurney et al, 2017; Zhang et al, 2018a). Preclinical cognition-enhancing effects of GSK’s PDE4 inhibitor, GSK 356278 were similarly reported (Rutter et al, 2014) as were the ability of several PDE4 inhibitors to ameliorate memory deficits and pathology in dementia-related rodent models (Feng et al, 2019; Liang et al, 2020; Wang et al, 2020; Nazir et al, 2021; Virk et al, 2021; Xia et al, 2022; Hasan et al, 2022; Cong et al, 2023; Gomaa et al, 2023).\nFrom a therapeutic perspective, then, it would be preferable to only target these isoforms in relevant brain regions. As described below, select PDE4A and PDE4D splice variants are the most likely to play a role in molecular mechanisms of memory because numerous studies have reported that genetically manipulating all/select PDE4B isoforms alter synaptic plasticity but largely have no effect on learning and memory (Siuciak et al, 2008a; Zhang et al, 2008a; Rutten et al, 2011; Campbell et al, 2017).\nPDE4A. Many studies have analyzed the effects of genetically manipulating PDE4A on memory. PDE4A knockout mice exhibit normal object recognition memory and spatial water maze memory yet improved passive avoidance memory relative to wild-type mice (Hansen et al, 2014). The selective effect on passive avoidance memory may be related to the aversive nature of the stimuli employed in passive avoidance, given the fact that PDE4A deletion produces anxiogenic-like phenotypes on the elevated-plus maze, light-dark transition, and novelty-suppressed feeding tests (Hansen et al, 2014). This is highly interesting, given that negatively valanced memories are thought to trigger a stronger encoding, storing, and reactivation of sensory detail in controls (Hansen et al, 2014) and patients with AD (Maria and Juan, 2017). As extensively reviewed elsewhere (Baillie et al, 2019), each PDE(4) isoform is uniquely anchored by protein-binding partners through its unique N-terminal domain, which leads to the regulation of different nanodomains of cAMP. When full-length PDE4A5 that includes its unique N-terminal targeting domain is virally overexpressed in hippocampal excitatory neurons, forskolin-induced hippocampal late long-term potentiation (LTP) is impaired and hippocampus-dependent long-term, but not short-term, memory for object location and contextual fear conditioning is attenuated (Havekes et al, 2016a). In contrast, hippocampal delivery of a catalytically dead PDE4A5 that displaces endogenous PDE4A5 (ie, a dominant negative approach) rescued localized cAMP signaling deficits and hippocampus-dependent memory impairments that were caused by sleep deprivation (Vecsey et al, 2009; Havekes et al, 2016a,b). Interestingly, overexpression of PDE4A5 in the hippocampus did not alter anxiety-related behaviors in this study, suggesting either that the PDE4A isoforms regulating anxiety may differ from those regulating memory function or that PDE4A5 expression outside of the hippocampus (eg, in the amygdala or prefrontal cortex) regulates anxiety-related behaviors (Kelly et al, 2020). Importantly, overexpression of PDE4A1, which targets different hippocampal nanodomains, leaves memory undisturbed (Havekes et al, 2016a). As such, compounds or biologicals that target the unique N-terminal domain of each individual PDE4A isoform may be necessary for a beneficial effect in the context of cognitive deficits [as described in Baillie et al (2019)].\nPDE4D. Expression of PDE4D has been genetically and pharmacologically manipulated to examine its role in hippocampus-dependent memory and plasticity. Genetic deletion of PDE4D strengthened recent long-term memory in the radial arm maze, hidden platform water maze, and object recognition tests while increasing levels of cell proliferation and phosphorylation of CREB in the mouse hippocampus (Li et al, 2011). That said, weaker recent long-term memory for contextual fear conditioning was also observed in the global PDE4D knockout mouse (Rutten et al, 2008). It is quite possible that this particular memory impairment may reflect the loss of PDE4D outside the hippocampus, particularly from the amygdala, because selective knockdown of PDE4D in the hippocampus alone improved recent long-term memory for contextual fear conditioning while increasing the number of training-induced stubby spines in CA1 (Baumgartel et al, 2018). Furthermore, PDE4D knockout mice require less tetanic or theta burst stimulation to induce long-term potentiation relative to wild-type mice, although the maximum strength of LTP obtained in PDE4D knockout mice matches that of wild-type mice (Rutten et al, 2008). Furthermore, PDE4D expression is downregulated via gene methylation in aging rats undergoing a moderate-intensity intermittent training program that attenuated ARCD of spatial learning and memory while improving the synaptic structure of the hippocampus (Zhang et al, 2023b). Similarly, PDE4D miRNA infused selectively into the prefrontal cortex reversed Aβ1-42-induced cognitive impairment (Shi et al, 2021b). That said, PDE4D was reported to be upregulated in the prefrontal cortex of aged rats in a manner that positively correlated with working memory and inversely correlated with Tau phosphorylation (Leslie et al, 2020). Thus, the role of PDE4D in regulating memory appears to be brain region and memory type specific.\nIt is likely the long forms of PDE4D, specifically, are negative regulators of hippocampus-dependent memories. Infusion of miRNAs within the dentate gyrus of the hippocampus that targets PDE4D4 and PDE4D5 strengthened recent long-term memory in the radial arm maze, hidden water maze, and object recognition tests (Li et al, 2011); however, infusion of miRNAs targeting PDE4D1/2 or PDE4D3 did not. PDE4D4 and PDE4D5 miRNAs also rescued Aβ-42-induced memory deficits in the hidden platform water maze and object recognition tasks (Zhang et al, 2014). Knockdown of PDE4D long forms also increased phosphorylation of CREB in the hippocampus (Li et al, 2011), a reduction of which is associated with aging (Kelly, 2018a). When long forms of PDE4D were knocked down in the prefrontal cortex of mice, novel object recognition and spatial memory were similarly improved, as was phosphorylation of CREB and pyramidal neuron dendritic branching/length (Wang et al, 2013). Furthermore, knockdown of PDE4D long forms in the prefrontal cortex rescued memory impairments in mice undergoing chronic unpredictable stress (Wang et al, 2015b). Thus, PDE4D4 and PDE4D5, both within and outside of the hippocampus, play critical roles in constraining neuroplasticity and memory formation. Together, these data suggest that PDE4A5, PDE4D4, and PDE4D5 may be the key PDE4 splice variants to target in the treatment of memory deficits.\nPDE5 is probably best known as a drug target for erectile dysfunction (cf, Baillie et al, 2019); however, several studies have pointed to a potential role in regulating brain function. In rodent cerebellum, PDE5A mRNA expression increases between early to late adulthood (Kelly et al, 2014). In animal models, inhibitors of PDE5A have provided protection against age-related decline (Domek-Lopacinska and Strosznajder, 2008; Orejana et al, 2012; Palmeri et al, 2013; Devan et al, 2014). Still, a number of clinical trials have tested the effects of the PDE5 inhibitors tadalafil, sildenafil, and vardenafil on various measures of cognition in healthy volunteers, patients with schizophrenia, or elderly patients with cerebral small vessel disease and have largely found no effects (Grass et al, 2001; Schultheiss et al, 2001; Goff et al, 2009; Reneerkens et al, 2013a,b; Pauls et al, 2023). In contrast, the temporal cortex of patients with AD shows a 5× increase in PDE5A expression relative to controls (Ugarte et al, 2015). Furthermore, PDE5A inhibitors rescue memory deficits, synaptic dysfunction, Tau hyperphosphorylation, Aβ burden, and cytotoxicity in AD mouse models (Puzzo et al, 2009; Garcia-Barroso et al, 2013; Cuadrado-Tejedor et al, 2011; Fiorito et al, 2013; Zhang et al, 2013; Puzzo et al, 2014; Acquarone et al, 2019; Zhu et al, 2019a; Huang et al, 2020b; Tabrizian et al, 2021; Kang et al, 2022; Justo et al, 2023) in a PKG-dependent manner (Zhang et al, 2013).\nExpression of PDE7A mRNA decreases in rodent cortex from early to late adulthood (Kelly et al, 2014). This age-related reduction in PDE7A mRNA is particularly interesting given that a SNP in PDE7A has been genetically associated in humans with age-related cognitive decline (De Jager et al, 2012; Andrews et al, 2016) and cognitive dysfunction related to brain tumors (Correa et al, 2019). In contrast, PDE7A mRNA is decreased in CA2 of the hippocampus in patients with AD relative to controls (Perez-Torres et al, 2003). Thus, it may be surprising that PDE7 inhibitors have positive effects in models of diseases where cognition, neuroprotection, neuroinflammation, and/or motor function are impaired (Banerjee et al, 2012; Redondo et al, 2012; Perez-Gonzalez et al, 2013; Lipina et al, 2013; Garcia et al, 2014; Morales-Garcia et al, 2014; Morales-Garcia et al, 2015a,b; Mestre et al, 2015; Jankowska et al, 2017; Morales-Garcia et al, 2017), including models of AD (Perez-Gonzalez et al, 2013; Bartolome et al, 2018).\nPDE8A3 and PDE8A4/5 protein expressions increase in the rodent hippocampus from early to late adulthood (Kelly et al, 2014; Hegde et al, 2016), whereas PDE8A1 protein levels do not change in this brain region (Kelly et al, 2014). PDE8A mRNA levels also increase across the lifespan in the rodent striatum (Kelly et al, 2014). In contrast, PDE8B mRNA is increased in hippocampal CA2 of patients with AD (Perez-Torres et al, 2003) and in vitro in response to an accumulation of carboxy-terminal amyloid precursor protein fragments (Kametani and Haga, 2015). This AD-related increase in PDE8B expression may contribute to cognitive deficits associated with the disease because PDE8B inactivation in rodents strengthens recent long-term memory for hippocampus-dependent memories (Tsai et al, 2012). Furthermore, recently characterized PDE8 inhibitors demonstrated therapeutic effects in mouse models of vascular dementia (Huang et al, 2020c; Wu et al, 2022). Together, these results suggest PDE8B inhibitors may be a therapeutic approach for cognitive decline; however, this potential may be limited by anxiogenic side effects (Tsai et al, 2012).\nMultiple PDE9A isoforms also exhibit age-related changes in expression in a brain region-specific manner (Patel et al, 2018). In particular, PDE9A isoforms decreased during early postnatal development in the cerebellum and hippocampus of rodents (Patel et al, 2018). Importantly, PDE9A mRNA also decreases during early life in the human hippocampus (Patel et al, 2018). This age-related decrease in hippocampal PDE9A mRNA may reflect a healthy adaptive process because hippocampal PDE9A mRNA is synergistically elevated in the hippocampus of individuals with a history of traumatic brain injury plus dementia relative to controls, although patients with only traumatic brain injury or dementia showed no change relative to controls (Patel et al, 2018). The lack of change in PDE9A expression in dementia-only patients may help explain why the PDE9 inhibitors PF-04447943 and BI-409306 failed to improve either cognition or dementia-related behavioral disturbances in patients with AD in phase II clinical trials (Schwam et al, 2014; Frolich et al, 2019). These clinical failures stood in the face of preclinical studies showing that PDE9A inhibitors rescue cytotoxicity, plasticity impairments, and memory deficits in AD rodent models (Kroker et al, 2014; Li et al, 2016a; Rosenbrock et al, 2019). Furthermore, the development of novel PDE9 inhibitors continues to be pursued for neurodegeneration (Zhang et al, 2020b; Ribaudo et al, 2021; Swetha et al, 2022).\nNot only do expression levels of PDE9A isoforms change with age in a brain region-specific manner but so does their subcellular localization (Patel et al, 2018). For example, across early development PDE9A6/13 and PDE9X-120 shift from the membrane to the nucleus in the prefrontal cortex and cerebellum but not the striatum or hippocampus (Patel et al, 2018). As discussed elsewhere (Salpietro et al, 2018), the issue of subcellular localization may also have contributed to the aforementioned clinical failures of PF-04447943 and BI-409306 for AD. That is, PDE9A is enriched in the nucleus and membrane (Patel et al, 2018) and, thus, is not in a position to directly regulate the cytosolic pools of cGMP that appear to be dysregulated in AD (Bonkale et al, 1995; Baltrons et al, 2002; Baltrons et al, 2004).\nPrenatally, PDE10A mRNA is widely expressed throughout human cortical regions, hippocampus, amygdala, and striatum; however, PDE10A levels dramatically drop by childhood in all regions except in the striatum (Farmer et al, 2020). In the adult human brain, then, PDE10A is predominantly expressed in striatal medium spiny neurons (Geerts et al, 2017; Farmer et al, 2020) and has been largely studied in the context of corticostriatal disorders such as HD and schizophrenia (cf, Baillie et al, 2019). In adult rodents, PDE10A mRNA is also predominantly expressed in the striatum; however, it is also found at very low levels in the cortex, cerebellum, and hippocampus (Kelly et al, 2014; Farmer et al, 2020). Even so, PDE10A deletion or inhibition in rodents has largely proven ineffective, if not harmful, for learning and memory (Siuciak et al, 2006a,b; Sano et al, 2008; Schmidt et al, 2008; Siuciak et al, 2008b). PDE10A is widely reported to be downregulated in the striatum of patients with HD, with the extent of PDE10A loss corresponding to the number of CAG repeats within the Huntington gene (Hebb et al, 2004; Ahmad et al, 2014; Russell et al, 2014; Russell et al, 2016; Wilson et al, 2016; Fazio et al, 2020). PDE10A mutations linked to hyperkinetic movement disorders that phenocopy many features of HD reduce PDE10A expression due to irregular subcellular trafficking that leads to increased PDE10A degradation in the cytosol (Tejeda et al, 2020). Experimentation using highly specific, PDE10A positron emission tomography tracers shows PDE10A expression continues to decline over the years, suggesting the enzyme could be a useful biomarker for assessing the initial diagnosis and subsequent progression of HD (Russell et al, 2016). This downregulation of PDE10A in the HD brain may reflect a compensatory mechanism aimed at increasing cAMP/cGMP signaling, which is known to be reduced in patients’ samples (Gines et al, 2003). Indeed, HD mouse models also show reduced striatal PDE10A expression (Hebb et al, 2004; Hu et al, 2004; Leuti et al, 2013; Miller et al, 2014; Beaumont et al, 2016); however, PDE10 inhibitors rescue behavioral, neurodegenerative, and electrophysiological deficits (Giampa et al, 2009; Giampa et al, 2010; Giralt et al, 2013; Beaumont et al, 2016; Harada et al, 2017). That said, Pfizer’s PF-02545920 failed to improve symptoms in patients with HD and, therefore, further development was terminated (cf, Baillie et al, 2019). Omeros and Palobiofarma similarly explored HD as an indication for their PDE10 inhibitors; however, those efforts were suspended or have been terminated (cf, Baillie et al, 2019).\nIn the rodent brain, PDE11A is quite unique in that it is the only PDE whose mRNA expression emanates predominantly (if not solely) from the hippocampus (Kelly et al, 2014). Age-related increases in PDE11A mRNA and PDE11A4 protein expressions have been reported in the mouse, rat, and human hippocampus (Kelly et al, 2014; Pilarzyk et al, 2022). Interestingly, these age-related increases in protein expression are driven, at least in part, by phosphorylation of Ser117 and Ser124 in the PDE11A4 N-terminal regulatory domain, which also triggers the protein to ectopically accumulate within filamentous structures termed ghost axons (Pilarzyk et al, 2022; Pilarzyk et al, 2023). These age-related increases in PDE11A4 expression are likely a direct contributor to the age-related increases in hippocampal PDE hydrolytic activity and decreases in CREB function described above (Kelly et al, 2010; Smith et al, 2021; Pilarzyk et al, 2022) as well as age-related decreases in expression of the NR1 subunit of the N-methyl-D-aspartate (NMDA) receptor that occur post-synaptically in the prefrontal cortex (Pilarzyk et al, 2019; McQuail et al, 2021). These age-related increases in hippocampal PDE11A4 protein expression may also contribute to age-related changes in microglia activation and cytokine expression in the hippocampus (Pathak et al, 2017; Pilarzyk et al, 2021; Porcher et al, 2021).\nGenetic deletion of PDE11A in mice leads to a transient amnesia for social memories that ultimately produces stronger, remote long-term social memories in young adult mice and prevents the age-related cognitive decline of remote long-term social memories in old mice (Pilarzyk et al, 2019; Pilarzyk et al, 2022). This transient amnesia correlates with changes in the overall activation levels and functional connectivity of frontal cortical regions and hippocampal/parahippocampal regions and reduced expression of the glutamate receptor NR1 subunit in the prefrontal cortex (Pilarzyk et al, 2019). Furthermore, viral restoration of PDE11A4 selectively to ventral CA1 of adult Pde11a KO adult mice was sufficient to reverse the memory phenotypes caused by the deletion, suggesting that the nootropic effect of the deletion was due to the acute loss of PDE11A4 signaling in the adult brain as opposed to an effect on development (Pilarzyk et al, 2019; Pilarzyk et al, 2022). Based on these findings, potent and selective PDE11 inhibitors are currently being developed for treating age-related cognitive decline (Mahmood et al, 2023).\nDisrupting PDE homodimerization may also prove to be an effective way to target PDE11A4 function in a subcellular domain-specific manner (GAF-B domain) to rescue cognitive deficits (Pathak et al, 2017). Interestingly, age-related increases in ventral hippocampal PDE11A4 protein are localized to the membrane (Pilarzyk et al, 2022), which suggests the isolated GAF-B domain might prove quite beneficial in the context of age-related cognitive decline (Pilarzyk et al, 2022). Indeed, viral expression of the isolated GAF-B domain in CA1 of mouse hippocampus was able to reduce PDE11A4 protein expression in a compartment-specific manner, reverse the age-related cognitive decline of remote long-term social associative memory, and improve social recognition memory in old mice, albeit at the expense of being unable to access recent long-term social memories (Pilarzyk et al, 2023).\nAs discussed elsewhere (Baillie et al, 2019), this is clearly an exciting time in the PDE field, but there is much work that remains to be done. For therapeutics to be efficiently developed, we need to have a more thorough understanding of exactly where cyclic nucleotide signaling is disrupted in a given disease, and in which tissue, cell types, and subcellular compartments. We then need to target a PDE in a defined locale, with the understanding that subcellular compartmentalization of a given PDE may vary depending on species, age, tissue type, or disease status (Houslay and Baillie, 2005; Huston et al, 2006; Nagel et al, 2006; Richter et al, 2008; Ahmad et al, 2009; Houslay, 2010; Penmatsa et al, 2010; Al-Tawashi and Gehring, 2013; Perera et al, 2015; Patel et al, 2018). This consideration is equally important in the evaluation of potential efficacy and potential side effects. To maximize potential efficacy while minimizing potential side effects, 1 would target a PDE that is enriched, if not exclusively expressed, in the tissue of interest and that controls the same pool of cyclic nucleotide that is altered by the disease. At the same time, efforts to unravel the intramolecular signals responsible for trafficking each PDE also need to continue to inform more sophisticated therapeutic approaches that can preferentially target a given PDE in a given subcellular compartment. Along these same lines, we need to grow our understanding of how to stimulate PDE activity and how to target the PDE catalytic activity of dual-specificity PDEs in a functionally selective manner (ie, target only its cAMP- or cGMP-hydrolytic activity, [see Kelly, 2015] for further discussion). Perhaps by increasing the specificity of our approach, we can retain efficacy while mitigating the numerous side effects described above that have plagued PDE inhibitors to date.\nThere is a high degree of overlap between the expression of PDE isoforms and dopamine signaling pathways that mediate motor movement and motivated behaviors. Moreover, the use of new genetic models and novel pharmacological inhibitors has shown that many of the prominent brain PDEs directly impact cyclic nucleotide-dependent dopamine signaling pathways in a region-specific and cell type-specific manner. Certain PDE isoforms, then, represent targets for novel pharmaceutical approaches to a wide array of neuropsychiatric and neurodegenerative diseases that affect dopamine neurons and their target cells, including schizophrenia, Parkinson’s disease (PD), HD, and depression. Although the role of PDE isoforms in brain and behavioral disease is the subject of other contributions to this review, we review briefly, here, the potential utility of PDE inhibitors for the treatment of dopamine-related neurodegenerative disease, PD.\nParkinson’s disease and symptomatic treatment. PD is characterized as a progressive degeneration of dopamine (DA)-containing neurons in the brain. It is most often characterized by motor deficits, notably bradykinesia, limb rigidity, and resting tremor. Dopamine depletion—most notable as the degeneration of nigrostriatal dopamine neurons—is considered the primary cause of the loss of volitional movement in PD. This effect may contribute to the associated nonmotor symptoms of the disease, including cognitive dysfunction, loss of effect, and depression (Hornykiewicz, 1966; Bernheimer et al, 1973), although nondopaminergic systems are also clearly involved (Jellinger, 1991; Braak et al, 2003). Mutations in specific genes, including LRRK2, synuclein, and PINK1, are linked to familial forms of PD (Biskup et al, 2008) but may also play important roles in many cases (ie, >95 % of patients) of the disease for which the biological cause is unknown. There is no cure for PD. Rather, the disease is currently addressed with symptomatic treatments that temporarily restore motor function, including replacement therapies like L-dihydroxyphenylalanine (L-DOPA or levodopa), the immediate precursor for DA synthesis (Jankovic and Aguilar, 2008). Unfortunately, long-term L-DOPA therapy becomes ineffective in treating motor disabilities with chronic use.\nThe use of adjunctive or alternate first-line therapies that delay the introduction of L-DOPA therapy or reduce the required dose of L-DOPA can positively affect the course of the disease and the appearance of motor side effects (Schrag and Quinn, 2000). Dopamine receptor agonists (eg, pramipexole, ropinirole) may slow disease progression (Olanow, 2009) and have become part of the arsenal for the treatment of early stage disease, perhaps with fewer drug-induced dyskinesias (Rascol et al, 2000). Interestingly, in vitro preclinical studies show that dopamine receptor agonists may exert antiapoptotic effects directly on dopamine neurons (eg, via autoreceptors; Olanow, 2009); furthermore, dopamine receptor agonists may act at post-synaptic sites (downstream of actions on dopamine neurons) to normalize dopamine activity within the basal ganglia motor system and slow disease progression. The strategy of normalizing motor symptoms to slow disease progression by intervening at points distant from the affected dopamine neurons is the basis for several novel therapeutic approaches.\nAt present, the only medications recognized by the FDA for efficacy in the treatment of LIDs are Istradefylline, an A2A adenosine receptor antagonist (Cummins and Cates, 2022) and amantadine (Metman et al, 1999), a mixed-action drug that produces a modest attenuation of LIDs in some patients via molecular mechanisms that are unclear, but which likely involve NMDA receptor blockade and dopamine agonist activities (Jankovic and Aguilar, 2008). Based on these data, a major avenue for the development of new PD therapies is the discovery of stand-alone or adjunctive therapies that will increase “on” time, enable replacement of L-DOPA or lower maintenance doses of L-DOPA, and prolong the useful lifetime of PD therapy, delaying or preventing the appearance of motor fluctuations, including LIDs.\nPDEs as Novel Targets for PD Therapy: PDEs are exciting and novel targets for the development of new therapies to treat the symptoms (motor and non-motor symptoms), motor side effects, and possibly to modify disease progression in PD. The interest in these enzymes stems, in part, from their abundant expression in brain regions that sustain a loss of motor function in PD (eg, basal ganglia) or regions that subsume important roles in cognition (eg, the prefrontal and dorsolateral cortex and hippocampus)—a prominent non-motor symptomatic deficit in PD (Lakics et al, 2010). In addition, the ability of PDEs to control levels of the second messengers, cAMP and cGMP, which are the key signaling molecules in the actions of dopamine on motor and cognitive function (Greengard et al, 1999), is another appealing functional property. Although it is unclear whether modulation of cAMP or cGMP might be differentially beneficial in addressing symptoms and progression in PD, we will here focus on 4 PDE families with possible benefit for PD)—2 which are cAMP-preferring in their actions (PDE4 and PDE7A/B), and 2 which hydrolyze both cAMP and cGMP (PDE10A and PDE1).\nInhibitors of cAMP-Preferring PDE4 Enzymes in PD. PDE4 enzymes have been proposed as drug targets of interest for PD as family members, including PDE4B, are abundantly expressed in nigrostriatal dopamine terminals and in striatal medium spiny neurons (MSNs), in proximity to presynaptic and postsynaptic dopamine signaling machinery (Yamashita et al, 1997). Pharmacological inhibition of PDE4 with rolipram increases dopamine synthesis in cultured mesencephalic dopamine neurons (Yamashita et al, 1997). This effect is consistent with the ability of PDE4 inhibition to increase cAMP levels in these neurons, leading to phosphorylation of the dopamine synthetic enzymes, tyrosine hydroxylase (TH) at a site (Ser40) that catalyzes dopamine synthesis. These data are supported by in vivo studies demonstrating increases in TH phosphorylation and dopamine turnover in the striatum in response to rolipram (Nishi et al, 2008). PDE4 inhibitors also exhibit antidepressant and procognitive effects in a variety of animal models (Bolger et al, 1994; Barad et al, 1998; Bourtchouladze et al, 1998; D'Sa et al, 2005; Takahashi et al, 1999; Zhang et al, 2009) that would address nonmotor symptoms of PD that are poorly responsive to L-DOPA pharmacotherapy (Chaudhuri and Schapira, 2009). The ability of PDE4 inhibitors to drive dopamine synthesis and release and provide nonmotor support, suggesting that they might be useful in addressing early stage PD.\nThe positive pharmacological effects of PDE4 inhibitors, however, are complicated by postsynaptic effects that mimic the actions of dopamine D2-receptor antagonists. D2-receptor blocking drugs, such as the antipsychotic medication, haloperidol, produce motor disturbances in animals that resemble extrapyramidal motor symptoms and tardive dyskinesia (Klawans and Weiner, 1974). Dopamine receptor antagonists can interfere with the restoration of motor activity by L-DOPA in animal models of PD (Boyce et al, 1990; Grondin et al, 1999). The PDE4 inhibitor, rolipram, preferentially increases DARPP-32 phosphorylation at Thr34 in striatopallidal neurons (Nishi et al, 2008), which are predominantly controlled by dopamine D2 receptors. Thus, PDE4 inhibitors produce an effect in this subset of striatal neurons characteristic of dopamine D2-receptor antagonists such as haloperidol, which is shared with PDE10A inhibitors (see below), such as papaverine (Siuciak et al, 2006a). Overall, inhibition of PDE4 enzymes modestly reduces motor activity in normal mice and rats and potentiates the catalepsy produced by neuroleptic drugs (Kanes et al, 2007; Siuciak et al, 2007a). Thus, despite the favorable potential effects of PDE4 inhibitors for non-motor symptoms of PD, including treatment of cognitive deficits and depression (Zhang, 2009), it is unlikely that the motor effects of pan-PDE4 inhibitors would be tolerated in PD patients.\nPerhaps the greatest limitation to the development of PDE4 inhibitors for PD, and for CNS-based disorders in general, are the associated gastrointestinal and emetic side effects. The emetic response to PDE4 inhibitors has been attributed to the inhibition of the PDE4D isoform in the brain (Robichaud et al, 2002; Mori et al, 2010); indeed, PDE4D expression is enriched in the area postrema, a region controlling the emetic response. Emesis limits the tolerability of PDE4 inhibitors, thus stalling their development for brain disorders. Peripherally restricted inhibitors of PDE4 isoforms, including roflumilast and apremilast, have been successfully developed and approved by the FDA for the treatment of peripheral inflammatory disorders such as COPD; roflumilast has also been investigated for CNS disorders (Prickaerts et al, 2017), albeit with a narrow therapeutic window. Efforts continue toward the design of PDE4 inhibitors that minimize PDE4D-related safety concerns. These efforts have focused on the design of compounds (eg, zatolmilast) that work as negative allosteric inhibitors of the PDE4D enzyme and, thereby, lack full emetic potential. To this end, Tetra Therapeutics has advanced a PDE4D inhibitor, zatolmilast, into phase III clinical development for the treatment of Fragile X syndrome (NCT05163808).\nAnti-inflammatory and neuroprotective potential of cAMP-preferring PDE4 and PDE7 inhibitors. Another area of drug development focus has been the design of PDE4 inhibitors that target, selectively, the PDE4B isoform, which is proposed not to regulate the emetic response (Fox 3rd et al, 2014). PDE4B-preferring inhibitors have been discovered and tested preclinically for CNS activity (Pearse and Hughes, 2016) and for safety in assays thought to predict emetic potential in humans. Inhibitors (eg, ABI-4) of the brain-enriched PDE4B isoform exert strong anti-inflammatory and neuroprotective actions in cell-based assays. For example, the release of TNFα from LPS-stimulated human PBMCs and murine primary microglia was suppressed by ABI-4 in a concentration-dependent manner (Hedde et al, 2017). Similarly, ABI-4 suppressed the brain and plasma levels of proinflammatory cytokines, including IL1β and IL-6 (although not TNFα) in mice in vivo (Hedde et al, 2017). Aging has been associated with enhanced systemic inflammation (Franceschi et al, 2007); subchronic administration of AB4-1 in aged mice significantly reduced brain levels of TNFα and IL1β. Furthermore, lower levels of plasma TNFα were observed in mice genetically lacking the PDE4B isoform (Hedde et al, 2017). Despite the promising preclinical effects of more selective PDE4B inhibitors, like ABI-4 in inflammation and aging models, a suitable PDE4 inhibitor is yet to be evaluated clinically for the treatment of motor and/or nonmotor symptoms of PD.\nThe anti-inflammatory effects of PDE4B-preferring compounds are particularly interesting with regard to PD as it has become increasingly evident that neuroinflammation and immune system dysfunction are likely to be causative or exacerbating factors in the symptomatology and progression of PD (Tansey et al, 2022). As discussed above, PDE4 inhibitors, including PDE4B-preferring molecules, are reported to have potent anti-inflammatory actions that might protect neurons in models of PD and other neurodegenerative diseases. This property of PDE enzymes will be discussed below in reference to other PDE families, including those for PDE7, PDE10A, and PDE1.\nInhibitors of cAMP-Preferring PDE7A/B Isoforms in PD. The PDE7 family has also been proposed as a potential target for PD therapy due, in part, to high expression in striatal neurons and the potent anti-inflammatory/neuroprotective effects of inhibitors. To date, only a few studies have been published on this cAMP-preferring PDE. PDE7 enzymes (predominantly the PDE7B isoform) are abundantly expressed in the brain. PDE7B mRNA levels are high in rat dentate gyrus, striatum, and olfactory tubercle (Reyes-Irisarri et al, 2005). PDE7B mRNA is localized to striatal MSNs and its translational regulation under the control of the dopamine D1-receptor is confirmed (Sasaki et al, 2004). More recently, double in situ hybridization analysis has shown that the PDE7B signal also localizes to dopamine D2-receptor-containing striatal neurons (De Gortari and Mengod, 2010), further supporting the potential significance of this PDE as a target for the development of therapies for PD. Expression of PDE7B in the hippocampus further connects this isoform with brain circuitry underlying cognitive dysfunction in PD. A link between familial PD genes and PDE7B is supported by a recent study in mice overexpressing mutant A53T-alpha (α) synuclein (Kurz et al, 2010). Mutant α-synuclein, which was associated with reduced levels of several indices of striatal dopamine signaling, was found to negatively regulate striatal gene expression, including the gene encoding PDE7B. High-affinity inhibitors of this PDE (eg, OMS182401) are being investigated for motor benefit in animal models of PD (see http://www.michaeljfox.org/).\nPDE7 inhibitors, like PDE4B inhibitors, elicit strong anti-inflammatory effects and may be responsible for protective effects on dopamine neurons (Garcia et al, 2014; Chen and Yan, 2021; Zorn and Baillie, 2023). Inhibition of PDE7B or silencing of the gene encoding PDE7B dampens expression of inflammatory cytokines (like TNFα) in rodent neurons treated with 6-OHDA (a dopamine-depleting neurotoxin) or the inflammogen, LPS (Chen et al, 2021). The neuroprotective effects of PDE7 inhibitors are accompanied by increases in tissue levels of cAMP, suggesting that they protect dopamine neurons via pathways involving cAMP (Sasaki et al, 2004). The PDE7A isoform, furthermore, is highly expressed in human proinflammatory and immune cells (Smith et al, 2004), providing a broader role for this PDE in the regulation of brain and systemic inflammation.\nInhibitors of the Dual cAMP/cGMP PDE10A Enzyme in PD. A high level of basic research and drug development interest has focused on PDE10A, one of the dual cAMP/cGMP hydrolyzing PDE families. Initial interest in PDE10A inhibitors was as a novel target for the treatment of schizophrenia (Schmidt et al, 2009). PDE10A inhibitors, including the tool compound, papaverine, mimic the effects of established antipsychotic medications possessing dopamine D2-receptor antagonist activity in a variety of behavioral models (Siuciak et al, 2006a, 2007a). Deletion of the gene encoding PDE10A mimicked the behavioral actions of antipsychotic medications in mice (Siuciak et al, 2006a). These studies, however, noted that pharmacological inhibition of PDE10A or deletion of the PDE10A gene consistently elicited disruptions in motor function, including reduced spontaneous locomotor activity and increases in response latency in sensorimotor tests (Siuciak et al, 2006a). Clinical investigations of PDE10A inhibitors established a lack of efficacy in the treatment of psychosis (Walling et al, 2019; Menniti et al, 2021).\nDespite concerns that dopamine D2-receptor antagonist-like properties of PDE10A inhibitors could further compromise motor activity, mild dopamine D2 antagonist activity provided by these agents might be of value in the management of LIDs. Dopamine receptor sensitization that results from the loss of striatal dopamine innervation and the effects of dopamine replacement therapy likely contribute significantly to the development of LIDs (Nutt, 1990). Thus, mild dopamine D2-receptor antagonist-like activity that would normalize dopamine receptor responses to L-DOPA might delay the onset or lessen the severity of motor responses to replacement therapy. Dopamine D2-receptor antagonists effectively suppress the appearance of specific behaviors in animals that are analogous to human dyskinesias, including axial, limb, and orolingual movements, without significantly comprising L-DOPA effects on spontaneous motor activity (Monville et al, 2005; Taylor et al, 2005). Antagonists of specific receptors within the D2 family, like the D3-type dopamine receptor, have recently been shown to suppress LIDs, supporting the idea that molecules with D2-receptor antagonist-like activity may be useful anti-dyskinetic agents (Visanji et al, 2009). Clinically, several studies support the efficacy of atypical antipsychotic drugs, such as clozapine and aripiprazole, for the control of LIDs. The positive effects of these drugs may be due to their complex pharmacology, which includes activity at several different receptors. Thus, the interesting dopamine signaling effects of both PDE4 and PDE10A inhibitors may warrant their consideration for neurological indications such as LIDs. For example, abnormal orolingual movements induced by chronic neuroleptic drug treatment, a model for dyskinetic behaviors seen after L-DOPA, is attenuated by rolipram treatment (Sasaki et al, 1995).\nInhibitors of the Dual cAMP/cGMP PDE1 Enzyme in PD. PDE1 enzyme also represents an interesting target for addressing the motor symptoms of PD. The concept is supported by the enrichment of the PDE1B isoform in basal ganglia (Polli and Kincaid, 1994), and the demonstrated actions of pan-PDE1 inhibitors in enhancing cAMP-dependent actions of dopamine at the biochemical and behavioral level (Snyder et al, 2016; Pekcec et al, 2018). PDE1B was originally recognized as an attractive candidate for dopamine-related indications such as PD based on its striatal enrichment and close association with brain regions receiving heaving dopaminergic innervation (Polli and Kincaid, 1994; Yan et al, 1994). Furthermore, PDE1B gene knockout amplifies dopamine signaling via D1-receptor pathways and motor activity stimulated by low-level dopamine agonist administration (Reed et al, 2002; Ehrman et al, 2006; Siuciak et al, 2007a). The data support the idea that PDE1B inhibition enhances dopamine signaling in a stimulus-bound manner, as deletion of the PDE1B gene in mice resulted in no significant change in basal protein phosphorylation and negligible changes in basal locomotor activity. This quality is consistent with the unique regulatory properties of the PDE1 family of enzymes. As all 3 PDE1 family members are stimulated by Ca2+/CaM (the only 1 of 11 PDE families with this property), their activity is likely controlled by neuronal activity. This property confers an “on-demand” quality to PDE1 activity that would be anticipated to provide phasic amplification of dopamine signaling contingent upon stimulation of MSNs by endogenous factors. The “on-demand” activity of PDE1B may be a superior attribute as a drug target compared with dopamine agonists which tonically activate dopamine receptors (Wennogle et al, 2017). The tonic activation of receptors by agonists is 1 factor, which results in dopamine receptor changes that contribute to the development of motor fluctuations (Olanow, 2009). Establishing PDE1B as a therapeutic target for PD will need to be evaluated with potent and selective inhibitors.\nOver the past decade, several potent and selective PDE1 inhibitors have been discovered and reported to have activity on motor features of PD and/or on behavioral dimensions such as cognition, which are prominent non-motor features compromised in PD and poorly treated by current PD medications. The first fully characterized, orally active, brain permeant, and selective inhibitor of PDE1 was Lenrispodun. Lenrispodun has been reported, primarily, to enhance memory performance in rodents using the novel object recognition test (Snyder et al, 2016). Pekcec and colleagues further demonstrated the ability of the compound to elevate brain levels of cAMP and cGMP and facilitate dopamine D1-receptor and PKA-dependent neural transmission in prefrontal cortical brain slices (Pekcec et al, 2018). Behaviorally, these investigators showed that the compound acted like a dopamine D1-receptor agonist to reverse MK-801-induced cognitive deficits in a continuous alternation task. Interestingly, the compound preferentially improved the cognitive performance of “low performing” rats in the 5-CSRTT attentional assay, although having little effect on “high performing” rats. These results fit nicely with, what is referred to, as an “inverted U” curve noted with cognitive responses of animals treated with dopamine D1-receptor agonists. Animals typically show improved cognitive performance in response to dopamine D1-receptor agonists only at optimal levels of dopamine D1-receptor agonism; lower and higher levels of activity are associated with poorer cognitive performance (Goldman-Rakic et al, 2000).\nMost recently, a novel inhibitor of PDE1 has been disclosed by Sumitomo Dianippon Pharma Co., Ltd, which has efficacy in reducing the expression of dyskinetic behavior in MPTP-lesioned primates receiving long-term treatment with L-DOPA (Enomoto et al, 2021). To date, it is unclear whether this PDE1 inhibitor is being advanced into clinical testing for PD or any other indications.\nIt is noteworthy that like inhibitors of PDE4, PDE7, and PDE10A, PDE1 inhibitors also possess potent anti-inflammatory activity in cell-based and in vivo inflammation models. Early on, the PDE1B isoform was found to be expressed in immune cells. Bender and Beavo (2006) demonstrated enhanced expression of PDE1B levels in monocytes when stimulated to differentiate into macrophages. Another study found that the pan PDE1 inhibitor, Lenrispodun, suppressed the release of the proinflammatory cytokine, TNFα, from microglia-like BV2 cells in response to LPS treatment (O'Brien et al, 2020). Lenrispodun also inhibited the expression of proinflammatory genes in LPS-stimulated BV2 cells, including IL1β and CCL2. Functionally, these gene expression changes were correlated with the inhibition of BV2 migration toward the chemoattractant, ADP, in a Boyden chamber assay, implying that the compound was capable of dampening the recruitment of microglia to sites of inflammation (O'Brien et al, 2020). Transcriptome analysis using RNAseq showed that most genes regulated by Lenrispodun in LPS-treated cells were distinct from those regulated by rolipram, a paninhibitor of PDE4; PDE4 is the nearest cross-reactive PDE family to Lenrispodun (Li et al, 2016b; Snyder et al, 2016). These data support the idea that inhibitors of the PDE1 family of enzymes appear able to distinctly regulate unique gene networks separate from those controlled by a well characterized pan-PDE4 inhibitor (O'Brien et al, 2020). Whether PDE7 and PDE10A inhibitors also control networks of genes distinct from PDE1 and other PDE families has yet to be clarified. Taken together, the prominent anti-inflammatory effects of PDE1 inhibitors argue for possible neuroprotective effects in PD in addition to possible motor-based symptomatic effects.\ncGMP and corticostriatal correlates of dyskinesia: a possible role of PDE inhibitors. The therapeutic potential of PDE inhibitors and, in particular, inhibitors of cGMP hydrolysis catalyzed by dual-specificity PDEs, in PD is highlighted by recent research on the molecular basis of dyskinesia. These studies have identified a dysfunction in striatal cGMP signaling as an electrophysiological correlate of LIDs in animals. Work by Calabresi and colleagues has identified a deficit in long-term depression (LTD) of striatal responses to high-frequency stimulation (HFS) of corticostriatal slices in dopamine-depleted animals displaying dyskinesia after chronic L-DOPA treatment (Picconi et al, 2003). Rats depleted of striatal dopamine with the neurotoxin 6-OHDA received repeated daily doses of L-DOPA, which resulted in a subset of animals developing LIDs and another subset of rats that remained nondyskinetic under similar treatment conditions. Corticostriatal slices from dyskinetic rats were distinguishable from those from non-dyskinetic animals based on the loss of LTD responses. Thus, the absence of LTD provides an electrophysiological correlate for dyskinesia (Picconi et al, 2003). Rats with established LIDs expressed lower striatal levels of cAMP and cGMP compared with normal animals. Treatment of these animals with agents such as zaprinast, an inhibitor of cGMP preferring PDEs, partially restored striatal cyclic nucleotides and attenuated dyskinesias (Giorgi et al, 2008). Zaprinast, and other cGMP-elevating agents, further induced LTD responses in corticostriatal slices (Calabresi et al, 1999; Picconi et al, 2011). Together, these data indicate that LIDs may be associated with abnormal corticostriatal plasticity that results from deficits in cGMP levels. Thus, PDE inhibitors that elevate striatal cGMP levels and signaling are potentially beneficial for attenuating LIDs. These data support a possible therapeutic role for inhibitors of several striatal-enriched PDEs in this indication including PDE1B.\n\n\n### Neuronal physiology and pathophysiology\nOur memories are what define who we are as a person. Healthy aging, alongside age-related diseases including cognitive decline (ACRD), mild cognitive impairment (MCI), AD, AD-related dementias (ADRD), and Huntington’s disease (HD), is characterized by memory deficits and other cognitive impairments (Apple et al, 2017; Dean et al, 2017; Ffytche et al, 2017; Kane et al, 2017). These cognitive domains are known to be regulated by PDEs and aging and age-related diseases of the brain have been associated with significant disturbances in cyclic nucleotide signaling (cf, Kelly, 2018a). Here, we suggest that dysfunction in more than 1 PDE contributes to age-related pathology and identify those PDE families and isoforms with the greatest therapeutic potential.\nAs described in detail below, several PDEs demonstrate alterations in expression, localization, and/or activity in the aged brain that can be subverted/exacerbated in the context of ACRD, MCI, AD, ADRD, and HD. A particularly challenging aspect of this area of research is that these functional changes are often isoform-specific and vary across brain regions. For example, in the hippocampus and cortex, aged rodents demonstrate increased high Km cAMP-PDE and cGMP-PDE hydrolytic activity relative to young rodents (Stancheva and Alova, 1991; Chalimoniuk and Strosznajder, 1998). As such, isoform-selective therapeutics have been much pursued for the treatment of ARCD, MCI, AD, ADRDs, and HD (Fig. 15).Fig. 15Role of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\nRole of PDEs in pathophysiology of neurodevelopmental disorders. PDEs inhibitors increase activation of protein kinase A (PKA), leading to increased activation of CREB transcription. This process contributes to the prevention of formation and toxicity of amyloid beta plaques in neurodegenerative disorders like Alzheimer disease. Additionally, changes in PDE expression can affect neuroinflammation and reduces cerebral glucose uptake which as a primary energy source for brain could lead to development of neurodegenerative disorders. Red arrows indicate the effect of PDE inhibitors. Question marks imply the unknown role of these PDE subtypes in neurodevelopmental disorders. Created with BioRender.com.\n\n\n### PDE1\nDuring the transition from early to late adulthood, rodent studies show that PDE1B mRNA expression remains unchanged in the hippocampus but decreases in the cerebellum and striatum (Kelly et al, 2014). In contrast, PDE1C mRNA expression increases in the striatum and PDE1C1 protein—but not PDE1C3—increases in the hippocampus (Kelly et al, 2014). Expression of PDE1A mRNA in these brain regions remains unchanged with age, and no isoform showed age-related changes in cortical expression (Kelly et al, 2014). Functionally, PDE1B is the most explored PDE1 isoform in the context of learning and memory. PDE1B knockout mice performed equivalently to wild-type mice in both the passive avoidance and conditioned avoidance tests (Siuciak et al, 2007b). Adolescent PDE1B knockout and heterozygous mice showed impaired spatial learning and memory in a hidden-platform water maze task relative to wild-type mice (Reed et al, 2002); however, adult PDE1B knockout mice showed intact spatial learning and memory but impaired reversal learning on the task (Ehrman et al, 2006). In stark contrast, viral knockdown of only hippocampal PDE1B expression in young adult mice enhanced contextual fear conditioning memory and spatial memory in the Barnes maze (McQuown et al, 2019). Thus, although the general knockdown of PDE1B across brain regions impaired memory processes, local deletion in the hippocampus improved memory function. PDE1B is highly expressed in many brain regions other than the hippocampus, including the cortex, striatum, thalamus, and brain stem (Kelly, 2014; Kelly et al, 2014). Thus, an effect of PDE1B deletion in one of these other brain regions may mask any nootropic effect related to deletion within the hippocampus.\nThat said, the nonselective PDE1 inhibitor, vinpocetine, is sold in over-the-counter supplements (eg, Cavinton or Intelectol, Richter Gedeon; Cognitex, Life Extension) that claim to improve memory (Baillie et al, 2019). Indeed, several clinical trials have examined the cognition-enhancing effects of vinpocetine—either alone or in combination with other compounds (eg, caffeine or Ginko Biloba)—and have generally found improvement in healthy volunteers, individuals with cerebral hypofusion, and possibly aged individuals, but no improvement in AD patients (Subhan and Hindmarch, 1985; Balestreri et al, 1987; Thal et al, 1989; Hindmarch et al, 1991; Polich and Gloria, 2001; Szatmari and Whitehouse, 2003; Richter et al, 2011b; Valikovics et al, 2012; Caldenhove et al, 2017). This is consistent with preclinical rodent models demonstrating therapeutic effects of PDE1 inhibitors in vascular dementia via the PKA-CREB pathway (Zhou et al, 2023), but not with studies showing the efficacy of PDE1 inhibitors in rodent models of AD (Shekarian et al, 2020; Shekarian et al, 2023). Reports of side effects associated with vinpocetine have been minimal, and include flushing, rashes, and minor gastrointestinal disturbances (Smith and Doe, 2002).\nIntracellular therapies developed the broad PDE1 inhibitor, lenrispodun, which shows picomolar IC50s for PDE1A, PDE1B, and PDE1C in enzymatic assays and >1000-fold selectivity versus its nearest neighbor PDE4 (Li et al, 2016b; Snyder et al, 2016). Lenrispodun demonstrates cognition-enhancing effects in rodent models of long-term memory and working memory deficits (Snyder et al, 2016; Li et al, 2016b; Pekcec et al, 2018). It remains to be determined whether the cognition-enhancing effects of lenrispodun are due to inhibition of PDE1A, PDE1B, and/or PDE1C; however, PDE1B may be the most likely candidate given its expression in dopamine D1-expressing neurons (Pekcec et al, 2018) along with the fact that a PDE1B-selective inhibitor developed by Dart Neuroscience showed similar cognition-enhancing effects (Dyck et al, 2017).\n\n\n### PDE2\nStudies in humans report that PDE2A mRNA levels increase between the prenatal period and childhood and then stabilize into young-middle adulthood in cortical regions, amygdala, and striatum, whereas hippocampal expression of PDE2A mRNA does not increase beyond prenatal levels until adulthood (Farmer et al, 2020). In stark contrast, studies in rodents report decreased expression of PDE2A in the striatum during the transition from early to late adulthood, but no change in the hippocampus, cortex, or cerebellum (Kelly et al, 2014). PDE2A expression did not change as a function of AD in the hippocampus, cortex, cerebellum, or striatum (Reyes-Irisarri et al, 2007).\nAs extensively reviewed elsewhere (Gomez and Breitenbucher, 2013; Zhang et al, 2017a; Kelly, 2018a; Nakashima et al, 2019; Ruan et al, 2019; Zhou et al, 2021; Shi et al, 2021a; Yan et al, 2022), PDE2 inhibitors improve many types of memory in young and old rodents as well as in AD rodent models, preventing Aβ-induced cytotoxicity. The ability of PDE2 inhibitors to improve cognition in these models appears to be mediated via its regulation of cGMP signaling because the nootropic effects require signaling via nNOS (Domek-Lopacinska and Strosznajder, 2008) and PKG (Wang et al, 2017a). Takeda Pharmaceuticals initiated Phase I trials with the PDE2 inhibitor, TAK-915, to correlate plasma exposures with central target engagement to inform dose selection for future trials targeting cognitive impairments (Mikami et al, 2017a,b,c); however, clinicaltrials.gov does not show any trials registered beyond Phase I (accessed November 28, 2023).\n\n\n### PDE3\nAD upregulates PDE3 expression in cerebral vessels (Maki et al, 2014). In preclinical models, PDE3 inhibitors have prevented or reversed Aβ-induced cytotoxicity, both in vitro and in AD mouse models (cf, Yanai et al, 2017; Kelly, 2018a; Yanai et al, 2022). Several prospective and retrospective studies have examined cilostazol as a primary or adjunctive treatment for cognitive deficits associated with AD and schizophrenia (Arai and Takahashi, 2009; Shirayama et al, 2011; Sakurai et al, 2013; Taguchi et al, 2013; Ihara et al, 2014; Tai et al, 2017a,b). As reviewed elsewhere (Heckman et al, 2018a), most of these studies demonstrated positive effects of cilostazol on cognition. The mechanism by which cilostazol elicits improved cognition has yet to be determined empirically. Given there is very little expression of PDE3A or PDE3B in the brain (Lakics et al, 2010; Kelly et al, 2014), it may be more likely that cognition-enhancing effects of cilostazol are driven by increased cerebral blood flow that comes with chronic—but not acute—dosing (Mochizuki et al, 2001; Birk et al, 2004; Kai et al, 2011). Indeed, recent studies in mice suggest the ability of cilostazol to reverse age-related impairments in hippocampus-dependent memory is related to effects on the blood-brain barrier (Yanai et al, 2017) along with increased cerebral glucose uptake and reduced neuroinflammation (Yanai et al, 2022). Despite its existing FDA approval, the efficacy and safety of cilostazol (Pletal) is still very much a topic of investigation (cf, Baillie et al, 2019).\n\n\n### PDE4\nThe PDE4 family is arguably the most studied of all the PDE families (cf, Baillie et al, 2019; Kelly et al, 2020), with PDE4A, PDE4B, and PDE4D, but not PDE4C, being expressed in the rodent (Kelly, 2014; Kelly et al, 2014) and human brain (Lakics et al, 2010). Interestingly, hippocampal PDE4 protein expression appears to decrease from early to late adulthood (Tohda et al, 1996; Kato et al, 1998; Harada et al, 2002); however, genetic deletion or broad inhibition of PDE4 rescued many types of Aβ-induced cytotoxicity and age-related decline, including reduced CREB phosphorylation, long-term potentiation deficits, and memory impairments [(Bach et al, 1999; de Lima et al, 2008; Drott et al, 2010; Devan et al, 2014; Kumar and Singh, 2017); cf, (Kelly, 2018a; Baillie et al, 2019b); see more below]. Different studies suggest that individual PDE4 isoforms are differentially affected by the disease in a brain region-specific manner (Perez-Torres and Mengod, 2003; Sebastiani et al, 2006; McLachlan et al, 2007; Paes et al, 2021a).\nDespite the fact that the broad spectrum PDE4 inhibitor rolipram triggered aging-like impairments in working memory in young adult monkeys (Ramos et al, 2003), more recent studies report nootropic effects of various PDE4 inhibitors in the elderly, patients with schizophrenia, and other human populations (cf, Baillie et al (2019b); see more below). Zembrin is a nonselective PDE4 inhibitor (it also acts as a 5-HT uptake inhibitor) that is not FDA-approved but is a component of a number of herbal supplements claiming calming or mood-stabilizing properties (eg, Calm, Doctor’s Best; Mood, Procera; Nutri-calm, and Nature’s Sunshine; Terburg et al, 2013). Roflumilast has also been tested for its ability to improve cognition and information processing in healthy humans (Heckman et al, 2018b; Van Duinen et al, 2018).\nThe cognition-enhancing effects of roflumilast described above are consistent with a press release from Dart Neuroscience claiming that 45mg of their PDE4 inhibitor, HT-0712, the lowest dose tested, improved long-term memory for word lists in elderly subjects experiencing a cognitive decline (Baillie et al, 2019). Like Dart Neuroscience, Tetra Therapeutics appears to be pursuing an indication related to cognitive functioning for their PDE4D-negative allosteric modulator zatolmilast. These effects in humans are again consistent with preclinical studies showing zatolmilast improved a number of behaviors in a mouse model of Fragile-X Syndrome and antagonized the amnestic effects of scopolamine in mice (Gurney et al, 2017; Zhang et al, 2018a). Preclinical cognition-enhancing effects of GSK’s PDE4 inhibitor, GSK 356278 were similarly reported (Rutter et al, 2014) as were the ability of several PDE4 inhibitors to ameliorate memory deficits and pathology in dementia-related rodent models (Feng et al, 2019; Liang et al, 2020; Wang et al, 2020; Nazir et al, 2021; Virk et al, 2021; Xia et al, 2022; Hasan et al, 2022; Cong et al, 2023; Gomaa et al, 2023).\nFrom a therapeutic perspective, then, it would be preferable to only target these isoforms in relevant brain regions. As described below, select PDE4A and PDE4D splice variants are the most likely to play a role in molecular mechanisms of memory because numerous studies have reported that genetically manipulating all/select PDE4B isoforms alter synaptic plasticity but largely have no effect on learning and memory (Siuciak et al, 2008a; Zhang et al, 2008a; Rutten et al, 2011; Campbell et al, 2017).\nPDE4A. Many studies have analyzed the effects of genetically manipulating PDE4A on memory. PDE4A knockout mice exhibit normal object recognition memory and spatial water maze memory yet improved passive avoidance memory relative to wild-type mice (Hansen et al, 2014). The selective effect on passive avoidance memory may be related to the aversive nature of the stimuli employed in passive avoidance, given the fact that PDE4A deletion produces anxiogenic-like phenotypes on the elevated-plus maze, light-dark transition, and novelty-suppressed feeding tests (Hansen et al, 2014). This is highly interesting, given that negatively valanced memories are thought to trigger a stronger encoding, storing, and reactivation of sensory detail in controls (Hansen et al, 2014) and patients with AD (Maria and Juan, 2017). As extensively reviewed elsewhere (Baillie et al, 2019), each PDE(4) isoform is uniquely anchored by protein-binding partners through its unique N-terminal domain, which leads to the regulation of different nanodomains of cAMP. When full-length PDE4A5 that includes its unique N-terminal targeting domain is virally overexpressed in hippocampal excitatory neurons, forskolin-induced hippocampal late long-term potentiation (LTP) is impaired and hippocampus-dependent long-term, but not short-term, memory for object location and contextual fear conditioning is attenuated (Havekes et al, 2016a). In contrast, hippocampal delivery of a catalytically dead PDE4A5 that displaces endogenous PDE4A5 (ie, a dominant negative approach) rescued localized cAMP signaling deficits and hippocampus-dependent memory impairments that were caused by sleep deprivation (Vecsey et al, 2009; Havekes et al, 2016a,b). Interestingly, overexpression of PDE4A5 in the hippocampus did not alter anxiety-related behaviors in this study, suggesting either that the PDE4A isoforms regulating anxiety may differ from those regulating memory function or that PDE4A5 expression outside of the hippocampus (eg, in the amygdala or prefrontal cortex) regulates anxiety-related behaviors (Kelly et al, 2020). Importantly, overexpression of PDE4A1, which targets different hippocampal nanodomains, leaves memory undisturbed (Havekes et al, 2016a). As such, compounds or biologicals that target the unique N-terminal domain of each individual PDE4A isoform may be necessary for a beneficial effect in the context of cognitive deficits [as described in Baillie et al (2019)].\nPDE4D. Expression of PDE4D has been genetically and pharmacologically manipulated to examine its role in hippocampus-dependent memory and plasticity. Genetic deletion of PDE4D strengthened recent long-term memory in the radial arm maze, hidden platform water maze, and object recognition tests while increasing levels of cell proliferation and phosphorylation of CREB in the mouse hippocampus (Li et al, 2011). That said, weaker recent long-term memory for contextual fear conditioning was also observed in the global PDE4D knockout mouse (Rutten et al, 2008). It is quite possible that this particular memory impairment may reflect the loss of PDE4D outside the hippocampus, particularly from the amygdala, because selective knockdown of PDE4D in the hippocampus alone improved recent long-term memory for contextual fear conditioning while increasing the number of training-induced stubby spines in CA1 (Baumgartel et al, 2018). Furthermore, PDE4D knockout mice require less tetanic or theta burst stimulation to induce long-term potentiation relative to wild-type mice, although the maximum strength of LTP obtained in PDE4D knockout mice matches that of wild-type mice (Rutten et al, 2008). Furthermore, PDE4D expression is downregulated via gene methylation in aging rats undergoing a moderate-intensity intermittent training program that attenuated ARCD of spatial learning and memory while improving the synaptic structure of the hippocampus (Zhang et al, 2023b). Similarly, PDE4D miRNA infused selectively into the prefrontal cortex reversed Aβ1-42-induced cognitive impairment (Shi et al, 2021b). That said, PDE4D was reported to be upregulated in the prefrontal cortex of aged rats in a manner that positively correlated with working memory and inversely correlated with Tau phosphorylation (Leslie et al, 2020). Thus, the role of PDE4D in regulating memory appears to be brain region and memory type specific.\nIt is likely the long forms of PDE4D, specifically, are negative regulators of hippocampus-dependent memories. Infusion of miRNAs within the dentate gyrus of the hippocampus that targets PDE4D4 and PDE4D5 strengthened recent long-term memory in the radial arm maze, hidden water maze, and object recognition tests (Li et al, 2011); however, infusion of miRNAs targeting PDE4D1/2 or PDE4D3 did not. PDE4D4 and PDE4D5 miRNAs also rescued Aβ-42-induced memory deficits in the hidden platform water maze and object recognition tasks (Zhang et al, 2014). Knockdown of PDE4D long forms also increased phosphorylation of CREB in the hippocampus (Li et al, 2011), a reduction of which is associated with aging (Kelly, 2018a). When long forms of PDE4D were knocked down in the prefrontal cortex of mice, novel object recognition and spatial memory were similarly improved, as was phosphorylation of CREB and pyramidal neuron dendritic branching/length (Wang et al, 2013). Furthermore, knockdown of PDE4D long forms in the prefrontal cortex rescued memory impairments in mice undergoing chronic unpredictable stress (Wang et al, 2015b). Thus, PDE4D4 and PDE4D5, both within and outside of the hippocampus, play critical roles in constraining neuroplasticity and memory formation. Together, these data suggest that PDE4A5, PDE4D4, and PDE4D5 may be the key PDE4 splice variants to target in the treatment of memory deficits.\n\n\n### PDE5\nPDE5 is probably best known as a drug target for erectile dysfunction (cf, Baillie et al, 2019); however, several studies have pointed to a potential role in regulating brain function. In rodent cerebellum, PDE5A mRNA expression increases between early to late adulthood (Kelly et al, 2014). In animal models, inhibitors of PDE5A have provided protection against age-related decline (Domek-Lopacinska and Strosznajder, 2008; Orejana et al, 2012; Palmeri et al, 2013; Devan et al, 2014). Still, a number of clinical trials have tested the effects of the PDE5 inhibitors tadalafil, sildenafil, and vardenafil on various measures of cognition in healthy volunteers, patients with schizophrenia, or elderly patients with cerebral small vessel disease and have largely found no effects (Grass et al, 2001; Schultheiss et al, 2001; Goff et al, 2009; Reneerkens et al, 2013a,b; Pauls et al, 2023). In contrast, the temporal cortex of patients with AD shows a 5× increase in PDE5A expression relative to controls (Ugarte et al, 2015). Furthermore, PDE5A inhibitors rescue memory deficits, synaptic dysfunction, Tau hyperphosphorylation, Aβ burden, and cytotoxicity in AD mouse models (Puzzo et al, 2009; Garcia-Barroso et al, 2013; Cuadrado-Tejedor et al, 2011; Fiorito et al, 2013; Zhang et al, 2013; Puzzo et al, 2014; Acquarone et al, 2019; Zhu et al, 2019a; Huang et al, 2020b; Tabrizian et al, 2021; Kang et al, 2022; Justo et al, 2023) in a PKG-dependent manner (Zhang et al, 2013).\n\n\n### PDE7\nExpression of PDE7A mRNA decreases in rodent cortex from early to late adulthood (Kelly et al, 2014). This age-related reduction in PDE7A mRNA is particularly interesting given that a SNP in PDE7A has been genetically associated in humans with age-related cognitive decline (De Jager et al, 2012; Andrews et al, 2016) and cognitive dysfunction related to brain tumors (Correa et al, 2019). In contrast, PDE7A mRNA is decreased in CA2 of the hippocampus in patients with AD relative to controls (Perez-Torres et al, 2003). Thus, it may be surprising that PDE7 inhibitors have positive effects in models of diseases where cognition, neuroprotection, neuroinflammation, and/or motor function are impaired (Banerjee et al, 2012; Redondo et al, 2012; Perez-Gonzalez et al, 2013; Lipina et al, 2013; Garcia et al, 2014; Morales-Garcia et al, 2014; Morales-Garcia et al, 2015a,b; Mestre et al, 2015; Jankowska et al, 2017; Morales-Garcia et al, 2017), including models of AD (Perez-Gonzalez et al, 2013; Bartolome et al, 2018).\n\n\n### PDE8\nPDE8A3 and PDE8A4/5 protein expressions increase in the rodent hippocampus from early to late adulthood (Kelly et al, 2014; Hegde et al, 2016), whereas PDE8A1 protein levels do not change in this brain region (Kelly et al, 2014). PDE8A mRNA levels also increase across the lifespan in the rodent striatum (Kelly et al, 2014). In contrast, PDE8B mRNA is increased in hippocampal CA2 of patients with AD (Perez-Torres et al, 2003) and in vitro in response to an accumulation of carboxy-terminal amyloid precursor protein fragments (Kametani and Haga, 2015). This AD-related increase in PDE8B expression may contribute to cognitive deficits associated with the disease because PDE8B inactivation in rodents strengthens recent long-term memory for hippocampus-dependent memories (Tsai et al, 2012). Furthermore, recently characterized PDE8 inhibitors demonstrated therapeutic effects in mouse models of vascular dementia (Huang et al, 2020c; Wu et al, 2022). Together, these results suggest PDE8B inhibitors may be a therapeutic approach for cognitive decline; however, this potential may be limited by anxiogenic side effects (Tsai et al, 2012).\n\n\n### PDE9\nMultiple PDE9A isoforms also exhibit age-related changes in expression in a brain region-specific manner (Patel et al, 2018). In particular, PDE9A isoforms decreased during early postnatal development in the cerebellum and hippocampus of rodents (Patel et al, 2018). Importantly, PDE9A mRNA also decreases during early life in the human hippocampus (Patel et al, 2018). This age-related decrease in hippocampal PDE9A mRNA may reflect a healthy adaptive process because hippocampal PDE9A mRNA is synergistically elevated in the hippocampus of individuals with a history of traumatic brain injury plus dementia relative to controls, although patients with only traumatic brain injury or dementia showed no change relative to controls (Patel et al, 2018). The lack of change in PDE9A expression in dementia-only patients may help explain why the PDE9 inhibitors PF-04447943 and BI-409306 failed to improve either cognition or dementia-related behavioral disturbances in patients with AD in phase II clinical trials (Schwam et al, 2014; Frolich et al, 2019). These clinical failures stood in the face of preclinical studies showing that PDE9A inhibitors rescue cytotoxicity, plasticity impairments, and memory deficits in AD rodent models (Kroker et al, 2014; Li et al, 2016a; Rosenbrock et al, 2019). Furthermore, the development of novel PDE9 inhibitors continues to be pursued for neurodegeneration (Zhang et al, 2020b; Ribaudo et al, 2021; Swetha et al, 2022).\nNot only do expression levels of PDE9A isoforms change with age in a brain region-specific manner but so does their subcellular localization (Patel et al, 2018). For example, across early development PDE9A6/13 and PDE9X-120 shift from the membrane to the nucleus in the prefrontal cortex and cerebellum but not the striatum or hippocampus (Patel et al, 2018). As discussed elsewhere (Salpietro et al, 2018), the issue of subcellular localization may also have contributed to the aforementioned clinical failures of PF-04447943 and BI-409306 for AD. That is, PDE9A is enriched in the nucleus and membrane (Patel et al, 2018) and, thus, is not in a position to directly regulate the cytosolic pools of cGMP that appear to be dysregulated in AD (Bonkale et al, 1995; Baltrons et al, 2002; Baltrons et al, 2004).\n\n\n### PDE10\nPrenatally, PDE10A mRNA is widely expressed throughout human cortical regions, hippocampus, amygdala, and striatum; however, PDE10A levels dramatically drop by childhood in all regions except in the striatum (Farmer et al, 2020). In the adult human brain, then, PDE10A is predominantly expressed in striatal medium spiny neurons (Geerts et al, 2017; Farmer et al, 2020) and has been largely studied in the context of corticostriatal disorders such as HD and schizophrenia (cf, Baillie et al, 2019). In adult rodents, PDE10A mRNA is also predominantly expressed in the striatum; however, it is also found at very low levels in the cortex, cerebellum, and hippocampus (Kelly et al, 2014; Farmer et al, 2020). Even so, PDE10A deletion or inhibition in rodents has largely proven ineffective, if not harmful, for learning and memory (Siuciak et al, 2006a,b; Sano et al, 2008; Schmidt et al, 2008; Siuciak et al, 2008b). PDE10A is widely reported to be downregulated in the striatum of patients with HD, with the extent of PDE10A loss corresponding to the number of CAG repeats within the Huntington gene (Hebb et al, 2004; Ahmad et al, 2014; Russell et al, 2014; Russell et al, 2016; Wilson et al, 2016; Fazio et al, 2020). PDE10A mutations linked to hyperkinetic movement disorders that phenocopy many features of HD reduce PDE10A expression due to irregular subcellular trafficking that leads to increased PDE10A degradation in the cytosol (Tejeda et al, 2020). Experimentation using highly specific, PDE10A positron emission tomography tracers shows PDE10A expression continues to decline over the years, suggesting the enzyme could be a useful biomarker for assessing the initial diagnosis and subsequent progression of HD (Russell et al, 2016). This downregulation of PDE10A in the HD brain may reflect a compensatory mechanism aimed at increasing cAMP/cGMP signaling, which is known to be reduced in patients’ samples (Gines et al, 2003). Indeed, HD mouse models also show reduced striatal PDE10A expression (Hebb et al, 2004; Hu et al, 2004; Leuti et al, 2013; Miller et al, 2014; Beaumont et al, 2016); however, PDE10 inhibitors rescue behavioral, neurodegenerative, and electrophysiological deficits (Giampa et al, 2009; Giampa et al, 2010; Giralt et al, 2013; Beaumont et al, 2016; Harada et al, 2017). That said, Pfizer’s PF-02545920 failed to improve symptoms in patients with HD and, therefore, further development was terminated (cf, Baillie et al, 2019). Omeros and Palobiofarma similarly explored HD as an indication for their PDE10 inhibitors; however, those efforts were suspended or have been terminated (cf, Baillie et al, 2019).\n\n\n### PDE11A\nIn the rodent brain, PDE11A is quite unique in that it is the only PDE whose mRNA expression emanates predominantly (if not solely) from the hippocampus (Kelly et al, 2014). Age-related increases in PDE11A mRNA and PDE11A4 protein expressions have been reported in the mouse, rat, and human hippocampus (Kelly et al, 2014; Pilarzyk et al, 2022). Interestingly, these age-related increases in protein expression are driven, at least in part, by phosphorylation of Ser117 and Ser124 in the PDE11A4 N-terminal regulatory domain, which also triggers the protein to ectopically accumulate within filamentous structures termed ghost axons (Pilarzyk et al, 2022; Pilarzyk et al, 2023). These age-related increases in PDE11A4 expression are likely a direct contributor to the age-related increases in hippocampal PDE hydrolytic activity and decreases in CREB function described above (Kelly et al, 2010; Smith et al, 2021; Pilarzyk et al, 2022) as well as age-related decreases in expression of the NR1 subunit of the N-methyl-D-aspartate (NMDA) receptor that occur post-synaptically in the prefrontal cortex (Pilarzyk et al, 2019; McQuail et al, 2021). These age-related increases in hippocampal PDE11A4 protein expression may also contribute to age-related changes in microglia activation and cytokine expression in the hippocampus (Pathak et al, 2017; Pilarzyk et al, 2021; Porcher et al, 2021).\nGenetic deletion of PDE11A in mice leads to a transient amnesia for social memories that ultimately produces stronger, remote long-term social memories in young adult mice and prevents the age-related cognitive decline of remote long-term social memories in old mice (Pilarzyk et al, 2019; Pilarzyk et al, 2022). This transient amnesia correlates with changes in the overall activation levels and functional connectivity of frontal cortical regions and hippocampal/parahippocampal regions and reduced expression of the glutamate receptor NR1 subunit in the prefrontal cortex (Pilarzyk et al, 2019). Furthermore, viral restoration of PDE11A4 selectively to ventral CA1 of adult Pde11a KO adult mice was sufficient to reverse the memory phenotypes caused by the deletion, suggesting that the nootropic effect of the deletion was due to the acute loss of PDE11A4 signaling in the adult brain as opposed to an effect on development (Pilarzyk et al, 2019; Pilarzyk et al, 2022). Based on these findings, potent and selective PDE11 inhibitors are currently being developed for treating age-related cognitive decline (Mahmood et al, 2023).\nDisrupting PDE homodimerization may also prove to be an effective way to target PDE11A4 function in a subcellular domain-specific manner (GAF-B domain) to rescue cognitive deficits (Pathak et al, 2017). Interestingly, age-related increases in ventral hippocampal PDE11A4 protein are localized to the membrane (Pilarzyk et al, 2022), which suggests the isolated GAF-B domain might prove quite beneficial in the context of age-related cognitive decline (Pilarzyk et al, 2022). Indeed, viral expression of the isolated GAF-B domain in CA1 of mouse hippocampus was able to reduce PDE11A4 protein expression in a compartment-specific manner, reverse the age-related cognitive decline of remote long-term social associative memory, and improve social recognition memory in old mice, albeit at the expense of being unable to access recent long-term social memories (Pilarzyk et al, 2023).\n\n\n### Challenges and outlooks\nAs discussed elsewhere (Baillie et al, 2019), this is clearly an exciting time in the PDE field, but there is much work that remains to be done. For therapeutics to be efficiently developed, we need to have a more thorough understanding of exactly where cyclic nucleotide signaling is disrupted in a given disease, and in which tissue, cell types, and subcellular compartments. We then need to target a PDE in a defined locale, with the understanding that subcellular compartmentalization of a given PDE may vary depending on species, age, tissue type, or disease status (Houslay and Baillie, 2005; Huston et al, 2006; Nagel et al, 2006; Richter et al, 2008; Ahmad et al, 2009; Houslay, 2010; Penmatsa et al, 2010; Al-Tawashi and Gehring, 2013; Perera et al, 2015; Patel et al, 2018). This consideration is equally important in the evaluation of potential efficacy and potential side effects. To maximize potential efficacy while minimizing potential side effects, 1 would target a PDE that is enriched, if not exclusively expressed, in the tissue of interest and that controls the same pool of cyclic nucleotide that is altered by the disease. At the same time, efforts to unravel the intramolecular signals responsible for trafficking each PDE also need to continue to inform more sophisticated therapeutic approaches that can preferentially target a given PDE in a given subcellular compartment. Along these same lines, we need to grow our understanding of how to stimulate PDE activity and how to target the PDE catalytic activity of dual-specificity PDEs in a functionally selective manner (ie, target only its cAMP- or cGMP-hydrolytic activity, [see Kelly, 2015] for further discussion). Perhaps by increasing the specificity of our approach, we can retain efficacy while mitigating the numerous side effects described above that have plagued PDE inhibitors to date.\n\n\n### PDE isoforms, dopamine signaling, and disease: implications for treatment\nThere is a high degree of overlap between the expression of PDE isoforms and dopamine signaling pathways that mediate motor movement and motivated behaviors. Moreover, the use of new genetic models and novel pharmacological inhibitors has shown that many of the prominent brain PDEs directly impact cyclic nucleotide-dependent dopamine signaling pathways in a region-specific and cell type-specific manner. Certain PDE isoforms, then, represent targets for novel pharmaceutical approaches to a wide array of neuropsychiatric and neurodegenerative diseases that affect dopamine neurons and their target cells, including schizophrenia, Parkinson’s disease (PD), HD, and depression. Although the role of PDE isoforms in brain and behavioral disease is the subject of other contributions to this review, we review briefly, here, the potential utility of PDE inhibitors for the treatment of dopamine-related neurodegenerative disease, PD.\nParkinson’s disease and symptomatic treatment. PD is characterized as a progressive degeneration of dopamine (DA)-containing neurons in the brain. It is most often characterized by motor deficits, notably bradykinesia, limb rigidity, and resting tremor. Dopamine depletion—most notable as the degeneration of nigrostriatal dopamine neurons—is considered the primary cause of the loss of volitional movement in PD. This effect may contribute to the associated nonmotor symptoms of the disease, including cognitive dysfunction, loss of effect, and depression (Hornykiewicz, 1966; Bernheimer et al, 1973), although nondopaminergic systems are also clearly involved (Jellinger, 1991; Braak et al, 2003). Mutations in specific genes, including LRRK2, synuclein, and PINK1, are linked to familial forms of PD (Biskup et al, 2008) but may also play important roles in many cases (ie, >95 % of patients) of the disease for which the biological cause is unknown. There is no cure for PD. Rather, the disease is currently addressed with symptomatic treatments that temporarily restore motor function, including replacement therapies like L-dihydroxyphenylalanine (L-DOPA or levodopa), the immediate precursor for DA synthesis (Jankovic and Aguilar, 2008). Unfortunately, long-term L-DOPA therapy becomes ineffective in treating motor disabilities with chronic use.\nThe use of adjunctive or alternate first-line therapies that delay the introduction of L-DOPA therapy or reduce the required dose of L-DOPA can positively affect the course of the disease and the appearance of motor side effects (Schrag and Quinn, 2000). Dopamine receptor agonists (eg, pramipexole, ropinirole) may slow disease progression (Olanow, 2009) and have become part of the arsenal for the treatment of early stage disease, perhaps with fewer drug-induced dyskinesias (Rascol et al, 2000). Interestingly, in vitro preclinical studies show that dopamine receptor agonists may exert antiapoptotic effects directly on dopamine neurons (eg, via autoreceptors; Olanow, 2009); furthermore, dopamine receptor agonists may act at post-synaptic sites (downstream of actions on dopamine neurons) to normalize dopamine activity within the basal ganglia motor system and slow disease progression. The strategy of normalizing motor symptoms to slow disease progression by intervening at points distant from the affected dopamine neurons is the basis for several novel therapeutic approaches.\nAt present, the only medications recognized by the FDA for efficacy in the treatment of LIDs are Istradefylline, an A2A adenosine receptor antagonist (Cummins and Cates, 2022) and amantadine (Metman et al, 1999), a mixed-action drug that produces a modest attenuation of LIDs in some patients via molecular mechanisms that are unclear, but which likely involve NMDA receptor blockade and dopamine agonist activities (Jankovic and Aguilar, 2008). Based on these data, a major avenue for the development of new PD therapies is the discovery of stand-alone or adjunctive therapies that will increase “on” time, enable replacement of L-DOPA or lower maintenance doses of L-DOPA, and prolong the useful lifetime of PD therapy, delaying or preventing the appearance of motor fluctuations, including LIDs.\nPDEs as Novel Targets for PD Therapy: PDEs are exciting and novel targets for the development of new therapies to treat the symptoms (motor and non-motor symptoms), motor side effects, and possibly to modify disease progression in PD. The interest in these enzymes stems, in part, from their abundant expression in brain regions that sustain a loss of motor function in PD (eg, basal ganglia) or regions that subsume important roles in cognition (eg, the prefrontal and dorsolateral cortex and hippocampus)—a prominent non-motor symptomatic deficit in PD (Lakics et al, 2010). In addition, the ability of PDEs to control levels of the second messengers, cAMP and cGMP, which are the key signaling molecules in the actions of dopamine on motor and cognitive function (Greengard et al, 1999), is another appealing functional property. Although it is unclear whether modulation of cAMP or cGMP might be differentially beneficial in addressing symptoms and progression in PD, we will here focus on 4 PDE families with possible benefit for PD)—2 which are cAMP-preferring in their actions (PDE4 and PDE7A/B), and 2 which hydrolyze both cAMP and cGMP (PDE10A and PDE1).\nInhibitors of cAMP-Preferring PDE4 Enzymes in PD. PDE4 enzymes have been proposed as drug targets of interest for PD as family members, including PDE4B, are abundantly expressed in nigrostriatal dopamine terminals and in striatal medium spiny neurons (MSNs), in proximity to presynaptic and postsynaptic dopamine signaling machinery (Yamashita et al, 1997). Pharmacological inhibition of PDE4 with rolipram increases dopamine synthesis in cultured mesencephalic dopamine neurons (Yamashita et al, 1997). This effect is consistent with the ability of PDE4 inhibition to increase cAMP levels in these neurons, leading to phosphorylation of the dopamine synthetic enzymes, tyrosine hydroxylase (TH) at a site (Ser40) that catalyzes dopamine synthesis. These data are supported by in vivo studies demonstrating increases in TH phosphorylation and dopamine turnover in the striatum in response to rolipram (Nishi et al, 2008). PDE4 inhibitors also exhibit antidepressant and procognitive effects in a variety of animal models (Bolger et al, 1994; Barad et al, 1998; Bourtchouladze et al, 1998; D'Sa et al, 2005; Takahashi et al, 1999; Zhang et al, 2009) that would address nonmotor symptoms of PD that are poorly responsive to L-DOPA pharmacotherapy (Chaudhuri and Schapira, 2009). The ability of PDE4 inhibitors to drive dopamine synthesis and release and provide nonmotor support, suggesting that they might be useful in addressing early stage PD.\nThe positive pharmacological effects of PDE4 inhibitors, however, are complicated by postsynaptic effects that mimic the actions of dopamine D2-receptor antagonists. D2-receptor blocking drugs, such as the antipsychotic medication, haloperidol, produce motor disturbances in animals that resemble extrapyramidal motor symptoms and tardive dyskinesia (Klawans and Weiner, 1974). Dopamine receptor antagonists can interfere with the restoration of motor activity by L-DOPA in animal models of PD (Boyce et al, 1990; Grondin et al, 1999). The PDE4 inhibitor, rolipram, preferentially increases DARPP-32 phosphorylation at Thr34 in striatopallidal neurons (Nishi et al, 2008), which are predominantly controlled by dopamine D2 receptors. Thus, PDE4 inhibitors produce an effect in this subset of striatal neurons characteristic of dopamine D2-receptor antagonists such as haloperidol, which is shared with PDE10A inhibitors (see below), such as papaverine (Siuciak et al, 2006a). Overall, inhibition of PDE4 enzymes modestly reduces motor activity in normal mice and rats and potentiates the catalepsy produced by neuroleptic drugs (Kanes et al, 2007; Siuciak et al, 2007a). Thus, despite the favorable potential effects of PDE4 inhibitors for non-motor symptoms of PD, including treatment of cognitive deficits and depression (Zhang, 2009), it is unlikely that the motor effects of pan-PDE4 inhibitors would be tolerated in PD patients.\nPerhaps the greatest limitation to the development of PDE4 inhibitors for PD, and for CNS-based disorders in general, are the associated gastrointestinal and emetic side effects. The emetic response to PDE4 inhibitors has been attributed to the inhibition of the PDE4D isoform in the brain (Robichaud et al, 2002; Mori et al, 2010); indeed, PDE4D expression is enriched in the area postrema, a region controlling the emetic response. Emesis limits the tolerability of PDE4 inhibitors, thus stalling their development for brain disorders. Peripherally restricted inhibitors of PDE4 isoforms, including roflumilast and apremilast, have been successfully developed and approved by the FDA for the treatment of peripheral inflammatory disorders such as COPD; roflumilast has also been investigated for CNS disorders (Prickaerts et al, 2017), albeit with a narrow therapeutic window. Efforts continue toward the design of PDE4 inhibitors that minimize PDE4D-related safety concerns. These efforts have focused on the design of compounds (eg, zatolmilast) that work as negative allosteric inhibitors of the PDE4D enzyme and, thereby, lack full emetic potential. To this end, Tetra Therapeutics has advanced a PDE4D inhibitor, zatolmilast, into phase III clinical development for the treatment of Fragile X syndrome (NCT05163808).\nAnti-inflammatory and neuroprotective potential of cAMP-preferring PDE4 and PDE7 inhibitors. Another area of drug development focus has been the design of PDE4 inhibitors that target, selectively, the PDE4B isoform, which is proposed not to regulate the emetic response (Fox 3rd et al, 2014). PDE4B-preferring inhibitors have been discovered and tested preclinically for CNS activity (Pearse and Hughes, 2016) and for safety in assays thought to predict emetic potential in humans. Inhibitors (eg, ABI-4) of the brain-enriched PDE4B isoform exert strong anti-inflammatory and neuroprotective actions in cell-based assays. For example, the release of TNFα from LPS-stimulated human PBMCs and murine primary microglia was suppressed by ABI-4 in a concentration-dependent manner (Hedde et al, 2017). Similarly, ABI-4 suppressed the brain and plasma levels of proinflammatory cytokines, including IL1β and IL-6 (although not TNFα) in mice in vivo (Hedde et al, 2017). Aging has been associated with enhanced systemic inflammation (Franceschi et al, 2007); subchronic administration of AB4-1 in aged mice significantly reduced brain levels of TNFα and IL1β. Furthermore, lower levels of plasma TNFα were observed in mice genetically lacking the PDE4B isoform (Hedde et al, 2017). Despite the promising preclinical effects of more selective PDE4B inhibitors, like ABI-4 in inflammation and aging models, a suitable PDE4 inhibitor is yet to be evaluated clinically for the treatment of motor and/or nonmotor symptoms of PD.\nThe anti-inflammatory effects of PDE4B-preferring compounds are particularly interesting with regard to PD as it has become increasingly evident that neuroinflammation and immune system dysfunction are likely to be causative or exacerbating factors in the symptomatology and progression of PD (Tansey et al, 2022). As discussed above, PDE4 inhibitors, including PDE4B-preferring molecules, are reported to have potent anti-inflammatory actions that might protect neurons in models of PD and other neurodegenerative diseases. This property of PDE enzymes will be discussed below in reference to other PDE families, including those for PDE7, PDE10A, and PDE1.\nInhibitors of cAMP-Preferring PDE7A/B Isoforms in PD. The PDE7 family has also been proposed as a potential target for PD therapy due, in part, to high expression in striatal neurons and the potent anti-inflammatory/neuroprotective effects of inhibitors. To date, only a few studies have been published on this cAMP-preferring PDE. PDE7 enzymes (predominantly the PDE7B isoform) are abundantly expressed in the brain. PDE7B mRNA levels are high in rat dentate gyrus, striatum, and olfactory tubercle (Reyes-Irisarri et al, 2005). PDE7B mRNA is localized to striatal MSNs and its translational regulation under the control of the dopamine D1-receptor is confirmed (Sasaki et al, 2004). More recently, double in situ hybridization analysis has shown that the PDE7B signal also localizes to dopamine D2-receptor-containing striatal neurons (De Gortari and Mengod, 2010), further supporting the potential significance of this PDE as a target for the development of therapies for PD. Expression of PDE7B in the hippocampus further connects this isoform with brain circuitry underlying cognitive dysfunction in PD. A link between familial PD genes and PDE7B is supported by a recent study in mice overexpressing mutant A53T-alpha (α) synuclein (Kurz et al, 2010). Mutant α-synuclein, which was associated with reduced levels of several indices of striatal dopamine signaling, was found to negatively regulate striatal gene expression, including the gene encoding PDE7B. High-affinity inhibitors of this PDE (eg, OMS182401) are being investigated for motor benefit in animal models of PD (see http://www.michaeljfox.org/).\nPDE7 inhibitors, like PDE4B inhibitors, elicit strong anti-inflammatory effects and may be responsible for protective effects on dopamine neurons (Garcia et al, 2014; Chen and Yan, 2021; Zorn and Baillie, 2023). Inhibition of PDE7B or silencing of the gene encoding PDE7B dampens expression of inflammatory cytokines (like TNFα) in rodent neurons treated with 6-OHDA (a dopamine-depleting neurotoxin) or the inflammogen, LPS (Chen et al, 2021). The neuroprotective effects of PDE7 inhibitors are accompanied by increases in tissue levels of cAMP, suggesting that they protect dopamine neurons via pathways involving cAMP (Sasaki et al, 2004). The PDE7A isoform, furthermore, is highly expressed in human proinflammatory and immune cells (Smith et al, 2004), providing a broader role for this PDE in the regulation of brain and systemic inflammation.\nInhibitors of the Dual cAMP/cGMP PDE10A Enzyme in PD. A high level of basic research and drug development interest has focused on PDE10A, one of the dual cAMP/cGMP hydrolyzing PDE families. Initial interest in PDE10A inhibitors was as a novel target for the treatment of schizophrenia (Schmidt et al, 2009). PDE10A inhibitors, including the tool compound, papaverine, mimic the effects of established antipsychotic medications possessing dopamine D2-receptor antagonist activity in a variety of behavioral models (Siuciak et al, 2006a, 2007a). Deletion of the gene encoding PDE10A mimicked the behavioral actions of antipsychotic medications in mice (Siuciak et al, 2006a). These studies, however, noted that pharmacological inhibition of PDE10A or deletion of the PDE10A gene consistently elicited disruptions in motor function, including reduced spontaneous locomotor activity and increases in response latency in sensorimotor tests (Siuciak et al, 2006a). Clinical investigations of PDE10A inhibitors established a lack of efficacy in the treatment of psychosis (Walling et al, 2019; Menniti et al, 2021).\nDespite concerns that dopamine D2-receptor antagonist-like properties of PDE10A inhibitors could further compromise motor activity, mild dopamine D2 antagonist activity provided by these agents might be of value in the management of LIDs. Dopamine receptor sensitization that results from the loss of striatal dopamine innervation and the effects of dopamine replacement therapy likely contribute significantly to the development of LIDs (Nutt, 1990). Thus, mild dopamine D2-receptor antagonist-like activity that would normalize dopamine receptor responses to L-DOPA might delay the onset or lessen the severity of motor responses to replacement therapy. Dopamine D2-receptor antagonists effectively suppress the appearance of specific behaviors in animals that are analogous to human dyskinesias, including axial, limb, and orolingual movements, without significantly comprising L-DOPA effects on spontaneous motor activity (Monville et al, 2005; Taylor et al, 2005). Antagonists of specific receptors within the D2 family, like the D3-type dopamine receptor, have recently been shown to suppress LIDs, supporting the idea that molecules with D2-receptor antagonist-like activity may be useful anti-dyskinetic agents (Visanji et al, 2009). Clinically, several studies support the efficacy of atypical antipsychotic drugs, such as clozapine and aripiprazole, for the control of LIDs. The positive effects of these drugs may be due to their complex pharmacology, which includes activity at several different receptors. Thus, the interesting dopamine signaling effects of both PDE4 and PDE10A inhibitors may warrant their consideration for neurological indications such as LIDs. For example, abnormal orolingual movements induced by chronic neuroleptic drug treatment, a model for dyskinetic behaviors seen after L-DOPA, is attenuated by rolipram treatment (Sasaki et al, 1995).\nInhibitors of the Dual cAMP/cGMP PDE1 Enzyme in PD. PDE1 enzyme also represents an interesting target for addressing the motor symptoms of PD. The concept is supported by the enrichment of the PDE1B isoform in basal ganglia (Polli and Kincaid, 1994), and the demonstrated actions of pan-PDE1 inhibitors in enhancing cAMP-dependent actions of dopamine at the biochemical and behavioral level (Snyder et al, 2016; Pekcec et al, 2018). PDE1B was originally recognized as an attractive candidate for dopamine-related indications such as PD based on its striatal enrichment and close association with brain regions receiving heaving dopaminergic innervation (Polli and Kincaid, 1994; Yan et al, 1994). Furthermore, PDE1B gene knockout amplifies dopamine signaling via D1-receptor pathways and motor activity stimulated by low-level dopamine agonist administration (Reed et al, 2002; Ehrman et al, 2006; Siuciak et al, 2007a). The data support the idea that PDE1B inhibition enhances dopamine signaling in a stimulus-bound manner, as deletion of the PDE1B gene in mice resulted in no significant change in basal protein phosphorylation and negligible changes in basal locomotor activity. This quality is consistent with the unique regulatory properties of the PDE1 family of enzymes. As all 3 PDE1 family members are stimulated by Ca2+/CaM (the only 1 of 11 PDE families with this property), their activity is likely controlled by neuronal activity. This property confers an “on-demand” quality to PDE1 activity that would be anticipated to provide phasic amplification of dopamine signaling contingent upon stimulation of MSNs by endogenous factors. The “on-demand” activity of PDE1B may be a superior attribute as a drug target compared with dopamine agonists which tonically activate dopamine receptors (Wennogle et al, 2017). The tonic activation of receptors by agonists is 1 factor, which results in dopamine receptor changes that contribute to the development of motor fluctuations (Olanow, 2009). Establishing PDE1B as a therapeutic target for PD will need to be evaluated with potent and selective inhibitors.\nOver the past decade, several potent and selective PDE1 inhibitors have been discovered and reported to have activity on motor features of PD and/or on behavioral dimensions such as cognition, which are prominent non-motor features compromised in PD and poorly treated by current PD medications. The first fully characterized, orally active, brain permeant, and selective inhibitor of PDE1 was Lenrispodun. Lenrispodun has been reported, primarily, to enhance memory performance in rodents using the novel object recognition test (Snyder et al, 2016). Pekcec and colleagues further demonstrated the ability of the compound to elevate brain levels of cAMP and cGMP and facilitate dopamine D1-receptor and PKA-dependent neural transmission in prefrontal cortical brain slices (Pekcec et al, 2018). Behaviorally, these investigators showed that the compound acted like a dopamine D1-receptor agonist to reverse MK-801-induced cognitive deficits in a continuous alternation task. Interestingly, the compound preferentially improved the cognitive performance of “low performing” rats in the 5-CSRTT attentional assay, although having little effect on “high performing” rats. These results fit nicely with, what is referred to, as an “inverted U” curve noted with cognitive responses of animals treated with dopamine D1-receptor agonists. Animals typically show improved cognitive performance in response to dopamine D1-receptor agonists only at optimal levels of dopamine D1-receptor agonism; lower and higher levels of activity are associated with poorer cognitive performance (Goldman-Rakic et al, 2000).\nMost recently, a novel inhibitor of PDE1 has been disclosed by Sumitomo Dianippon Pharma Co., Ltd, which has efficacy in reducing the expression of dyskinetic behavior in MPTP-lesioned primates receiving long-term treatment with L-DOPA (Enomoto et al, 2021). To date, it is unclear whether this PDE1 inhibitor is being advanced into clinical testing for PD or any other indications.\nIt is noteworthy that like inhibitors of PDE4, PDE7, and PDE10A, PDE1 inhibitors also possess potent anti-inflammatory activity in cell-based and in vivo inflammation models. Early on, the PDE1B isoform was found to be expressed in immune cells. Bender and Beavo (2006) demonstrated enhanced expression of PDE1B levels in monocytes when stimulated to differentiate into macrophages. Another study found that the pan PDE1 inhibitor, Lenrispodun, suppressed the release of the proinflammatory cytokine, TNFα, from microglia-like BV2 cells in response to LPS treatment (O'Brien et al, 2020). Lenrispodun also inhibited the expression of proinflammatory genes in LPS-stimulated BV2 cells, including IL1β and CCL2. Functionally, these gene expression changes were correlated with the inhibition of BV2 migration toward the chemoattractant, ADP, in a Boyden chamber assay, implying that the compound was capable of dampening the recruitment of microglia to sites of inflammation (O'Brien et al, 2020). Transcriptome analysis using RNAseq showed that most genes regulated by Lenrispodun in LPS-treated cells were distinct from those regulated by rolipram, a paninhibitor of PDE4; PDE4 is the nearest cross-reactive PDE family to Lenrispodun (Li et al, 2016b; Snyder et al, 2016). These data support the idea that inhibitors of the PDE1 family of enzymes appear able to distinctly regulate unique gene networks separate from those controlled by a well characterized pan-PDE4 inhibitor (O'Brien et al, 2020). Whether PDE7 and PDE10A inhibitors also control networks of genes distinct from PDE1 and other PDE families has yet to be clarified. Taken together, the prominent anti-inflammatory effects of PDE1 inhibitors argue for possible neuroprotective effects in PD in addition to possible motor-based symptomatic effects.\ncGMP and corticostriatal correlates of dyskinesia: a possible role of PDE inhibitors. The therapeutic potential of PDE inhibitors and, in particular, inhibitors of cGMP hydrolysis catalyzed by dual-specificity PDEs, in PD is highlighted by recent research on the molecular basis of dyskinesia. These studies have identified a dysfunction in striatal cGMP signaling as an electrophysiological correlate of LIDs in animals. Work by Calabresi and colleagues has identified a deficit in long-term depression (LTD) of striatal responses to high-frequency stimulation (HFS) of corticostriatal slices in dopamine-depleted animals displaying dyskinesia after chronic L-DOPA treatment (Picconi et al, 2003). Rats depleted of striatal dopamine with the neurotoxin 6-OHDA received repeated daily doses of L-DOPA, which resulted in a subset of animals developing LIDs and another subset of rats that remained nondyskinetic under similar treatment conditions. Corticostriatal slices from dyskinetic rats were distinguishable from those from non-dyskinetic animals based on the loss of LTD responses. Thus, the absence of LTD provides an electrophysiological correlate for dyskinesia (Picconi et al, 2003). Rats with established LIDs expressed lower striatal levels of cAMP and cGMP compared with normal animals. Treatment of these animals with agents such as zaprinast, an inhibitor of cGMP preferring PDEs, partially restored striatal cyclic nucleotides and attenuated dyskinesias (Giorgi et al, 2008). Zaprinast, and other cGMP-elevating agents, further induced LTD responses in corticostriatal slices (Calabresi et al, 1999; Picconi et al, 2011). Together, these data indicate that LIDs may be associated with abnormal corticostriatal plasticity that results from deficits in cGMP levels. Thus, PDE inhibitors that elevate striatal cGMP levels and signaling are potentially beneficial for attenuating LIDs. These data support a possible therapeutic role for inhibitors of several striatal-enriched PDEs in this indication including PDE1B.\n\n\n### Cancer and inflammation\nSeveral generations of research in the biology of cancer have led to the definition of a number of properties that collectively define the neoplastic state, commonly referred to as the Hallmarks of Cancer (Hanahan and Weinberg, 2000, 2011). The original definition of these hallmarks included 6 biological capabilities acquired during the multistep development of human cancer. These included: (1) sustaining proliferative signaling, (2) evading growth suppressors, (3) resisting cell death, (4) enabling replicative immortality, (5) inducing angiogenesis, and (6) activating invasion and metastasis. Essential for the acquisition of these hallmarks is the concept of genome instability, which contributes to the mutations required for the development of neoplasia, and inflammation, which promotes several hallmark functions. To these 6 hallmarks, 2 more were subsequently added: (7) reprogramming of energy metabolism and (8) evading immune destruction. Study of cyclic nucleotide signaling in cancer provides an opportunity to observe these hallmarks in action. Alterations in cAMP and cGMP signaling can profoundly contribute to the neoplastic state. Modulation of cAMP and, especially, cGMP signaling can profoundly attenuate and modulate the cancer phenotype. Collectively, these advances in cyclic nucleotide signaling in neoplasia have the potential to lead to important advances in the prevention, diagnosis, and treatment of several important human cancers.\nThe concept of driver mutations is essential to understanding the functional, pathogenic, and clinical role of cAMP and cGMP signaling in cancer. Driver mutations are defined as germline or somatic mutations in DNA that play an essential role in generating the transformed phenotype (Greenman et al, 2007; Bailey et al, 2018; Sack et al, 2018; Sanchez-Vega et al, 2018; Gorelick et al, 2020). Driver mutations can therefore be defined as follows: (1) they materially affect the expression or structure of the RNA/protein encoded by the mutated gene(s), leading to alterations in its physiological function(s), producing a growth advantage; (2) they localize to specific “hot spots” within the gene product essential to its cellular function, such as its enzymatic activity or regulation; and (3) they are present in a substantial proportion of clinical specimens obtained from a specific cancer type. “Passenger” mutations, in contrast, differ from driver mutations in that they do not play a clear role in cancer formation. Passenger mutations typically (1) do not change the physiological or biochemical functions of the gene product; (2) do not concentrate in “hot spots”; and (3) are found in only a small proportion of clinical specimens obtained from a specific cancer type.\nUsing the strict criteria for cancer driver mutations, as defined above, we can identify cancer-associated driver mutations in 11 different genes encoding members of cAMP-signaling pathways, which are involved in at least 9 different cancers (Table 1) [see (Ahmed et al, 2022; Bolger, 2022) for recent reviews]. In the PDE space, germline and tumor-associated driver mutations in PDE8B and PDE11A are the best-characterized driver mutations, as described in detail previously (Bolger, 2022). The PDE8B mutations have been identified in patients with adrenal hyperplasia, adenomas, and carcinomas and have been shown to attenuate PDE8 enzymatic activity. Other PDE germline mutations may also predispose to adrenal tumors (Bolger, 2022).Table 1Human cancers with driver mutations in genes that encode elements of cAMP-signaling pathwaysTissueCancer TypePathway ElementGene NameAdrenal cortexAdenomaG protein alpha subunitGNASPhosphodiesterasePDE8BPhosphodiesterasePDE11APKA regulatory subunitPRKARA1PKA catalytic subunitPRKACAPKA catalytic subunitPRKACBThyroidAdenomaGPCRTSHRParathyroidAdenomaG protein alpha subunitGNASPituitarySomatotropinomaGPCRGPR101PKA regulatory subunitPRKARA1Testis Sertoli cellLCCSCTPKA regulatory subunitPRKARA1Testis Leydig/Sertoli cellGerm cell tumorsPhosphodiesterasePDE11ATestis germ cellGerm cell tumorsPhosphodiesterasePDE11ALiverFibrolamellar HCCPKA catalytic subunitPRKACAAbdominal soft tissue and CNSFET-CREB fusion tumorsTranscription factorCREBHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nHuman cancers with driver mutations in genes that encode elements of cAMP-signaling pathways\nHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nAs thoroughly reviewed elsewhere (Kelly, 2015, 2018b), a large number of PDE11A intronic, synonymous (ie, noncoding), missense (ie, nonsynonymous coding), and nonsense mutations (ie, truncating) have been associated with a variety of endocrine-related tumors. The majority of these variants are common, but rare mutations have also been reported in a small number of patients with various tumor types (Kelly, 2018b). The tumor-associated PDE11A mutations largely produce a loss-of-function phenotype either by reducing expression, catalytic activity, or proper localization of the enzyme; however, it is important to note that the effects of the mutations are often cell-type specific (Horvath et al, 2006; Libe et al, 2008; Peverelli et al, 2009; Horvath et al, 2009; Libe et al, 2011; Faucz et al, 2011; Kelly, 2015; 2018b; Pathak et al, 2015; Vezzosi et al, 2012). Tumors of endocrine tissues have also been found to be associated with reduced PDE11A expression of non-mutational genetic causes, such as transcriptional and epigenetic regulation (Boikos et al, 2008; Mirabello et al, 2012). Together, these studies suggest that a loss of PDE11A function is more likely a risk modifier than an inducer of tumors (Kelly, 2015), which is supported by PDE11A KO mouse studies that show no increased presence of tumors (Kelly et al, 2010).\nHighly potent and selective inhibitors of PDE5 (eg, sildenafil) and PDE10 (eg, Pf2545920) have been reported to induce cell cycle arrest and apoptosis of cancer cell lines grown in vitro at concentrations that activate cGMP/PKG signaling (Li et al, 2015b; Mei et al, 2015; Lee et al, 2016). As depicted in Fig. 16, PKG activation results in the suppression of both β-catenin transcriptional activity and RAS/MAPK signaling. The mechanism for suppressing β-catenin transcriptional activity appears to result from PKG-mediated phosphorylation of β-catenin on residues known to induce ubiquitination and proteasomal degradation, resulting in reduced nuclear levels needed to activate Tcf/Lef transcription (Lee et al, 2016; Lee et al, 2021). The disruption of MAPK signaling by PKG activation may be attributed to disrupting RAS membrane localization and activation (Cho et al, 2016) or by interfering with receptor tyrosine kinase activity (Tao et al, 2012). The ability of activated PKG to block oncogenic β-catenin and RAS signaling simultaneously is consistent with reports that PDE10 inhibitors can suppress both signaling pathways in lung and ovarian cancer cell lines (Zhu et al, 2017; Borneman et al, 2022). This possibility is supported by the broad anticancer activity of PDE10 inhibitors and is significant, given that mutations in APC/β-catenin and RAS/MAPK pathway components drive most human cancers.Fig. 16PDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\nPDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\nBased on the effect of PDE subtypes on tumor biology, (pre)clinical research has been conducted, which was hitherto limited to cGMP PDEs. We will now discuss the history and the gathered evidence for the application of cGMP PDEs in cancer treatment and pinpoint cross-talk with other pivotal signaling pathways.\nThe association between cGMP-degrading PDEs and the inhibition of cancer cell proliferation and survival was first reported from studies of sulindac sulfone, a metabolite of the nonsteroidal anti-inflammatory drug (NSAID), sulindac (Thompson et al, 2000). Sulindac sulfone (exisulind) was in clinical trials for the treatment and prevention of precancerous colon adenomas, but its mechanism of action was unknown. Exisulind and several analogs were found to inhibit the proliferation and induce apoptosis of colorectal cancer (CRC) and bladder cancer cell lines at concentrations that caused a sustained elevation of cGMP and activation of PKG that was not found with PDE5-selective inhibitors or other PDE inhibitors (Thompson et al, 2000; Piazza et al, 2001). Nonetheless, PDE5 was initially suspected as a likely target because it was the predominant cGMP-PDE degrading isoenzyme expressed in CRC and bladder cancer cell lines, and exisulind did not affect cAMP levels. Despite modest potency and no apparent PDE isoenzyme selectivity, exisulind significantly suppressed tumor formation in multiple, chemical-induced rodent models of colon, bladder, breast, lung, and prostate tumorigenesis, suggesting that the well established cancer chemopreventive activity of NSAIDs may involve a COX-independent mechanism of action (Piazza et al, 1997; Thompson et al, 1997; Malkinson et al, 1998; Reddy et al, 1999; Piazza et al, 2001; Narayanan et al, 2007). Exisulind showed promising efficacy in clinical trials of patients with familial adenomatous polyposis (FAP) or sporadic adenomas and selectively induced apoptosis of colonocytes in precancerous lesions without affecting colonocytes in the adjacent normal mucosa (Stoner et al, 1999; Arber et al, 2006). However, exisulind was not approved by the FDA because of liver toxicity that was likely attributed to low potency and lack of PDE isoenzyme selectivity.\nThe NSAID sulindac (Clinoril) also inhibits adenoma formation in FAP patients (Giardiello et al, 1993) and has broad cancer chemopreventive activity in experimental models of tumorigenesis. However, the long-term use of sulindac and other NSAIDs is not FDA-approved for long-term use because of potentially fatal toxicities resulting from COX-1 and COX-2 inhibition. Although the antineoplastic activity of sulindac and other NSAIDs is commonly attributed to COX-2 inhibition and suppression of prostaglandin synthesis (Wang and Dubois, 2010), numerous investigators have concluded that both COX-dependent and COX-independent mechanisms are involved (Fig. 16; Gurpinar et al, 2014).\nInitial evidence suggesting that the anticancer activity of NSAIDs is mediated by an off-target mechanism involving cGMP PDE inhibition is based on experiments showing that the rank-order potency of a chemically diverse group of NSAIDs, including the COX-2 selective inhibitor, celecoxib, to inhibit in vitro growth of HT-29 CRC cells correlated with the inhibition of cGMP PDE but not of COX-2 (Tinsley et al, 2010). In addition, concentrations of NSAIDs required to inhibit cell growth far exceeded those required to block COX-1 or COX-2. These data, along with results of other experiments showing that cancer cell lines, which do not express COX-2, are sensitive to NSAIDs, and the inability of prostaglandins to rescue cell growth inhibition by NSAIDs, support a COX-independent mechanism for the cancer chemopreventive activity of sulindac and possibly other NSAIDs and COX-2 inhibitors. However, the contribution of COX-2-derived prostaglandins should not be excluded, given their broad biological activity that can have an impact on multiple oncogenic pathways (Wang and DuBois, 2006; Gurpinar et al, 2014).\nPublications reporting that inhibitors of cGMP/PKG signaling, including NO donors, guanylyl cyclase activators, cell-permeable cGMP analogs, and certain cGMP PDE inhibitors, inhibit cancer cell proliferation and induce apoptosis suggest that PDE5 is essential for cancer cell proliferation and survival (Tinsley et al, 2009; Tinsley et al, 2010). Multiple investigations have supported this possibility by reporting that PDE5 is overexpressed in colon, bladder, breast, and lung cancers compared with noninvolved adjacent tissue (Chan et al, 2002; Piazza et al, 2001; Whitehead et al, 2003; Pusztai et al, 2003; Tinsley et al, 2009; Tinsley et al, 2010; Mei et al, 2015; Bisegna et al, 2020; Iwasaki et al, 2021; Tinsley et al, 2023). Consistent with the role of PDE5 in regulating cancer cell growth, PDE5 knockdown by siRNA selectively inhibited the growth of colon and breast cancer cell lines expressing high PDE5 levels compared with normal colonocytes or mammary epithelial cells with low PDE5 expression (Tinsley et al, 2009; Tinsley et al, 2011). In addition, gene silencing of PDE5 in the highly aggressive human breast cancer cell line, MDA-MB-231, resulted in decreased cell motility and formation of lung metastases (Marino et al, 2014). Conversely, PDE5 overexpression in MCF-7 breast cancer cells led to increased motility and invasion (Catalano et al, 2016). Sildenafil and vardenafil were also reported to inhibit proliferation and induce caspase-dependent apoptosis in B-cell chronic lymphatic leukemia, which suggested the role of cGMP in regulating hematological malignancies (Sarfati et al, 2003). Finally, a sulindac derivative, sulindac benzylamide, with PDE5 selectivity that did not inhibit COX-1 or COX-2, potently inhibited CRC cell growth (Whitt et al, 2012).\nThe finding that sulindac sulfide, a metabolite of the NSAID, sulindac, attenuated CRC cell growth at concentrations that blocked PDE5 and PDE10 activity, inspired a drug discovery campaign to identify cGMP PDE inhibitors based on the same chemotype that did not target COX-1 and COX-2. This resulted in the synthesis of a large library of compounds sharing the indene scaffold of sulindac. Screening this library against recombinant COX, to confirm the lack of effect on prostaglandin synthesis, and PDE5 and PDE10, led to the discovery of several lead compounds, which displayed appreciably greater potency as inhibitors of cancer cell growth at concentrations that blocked PDE5 and/or PDE10. Chemical optimization of these indene-based inhibitors to improve their drug-like properties holds promise for further development of this novel anticancer therapy (Piazza et al, 2009; Li et al, 2013; Li et al, 2015a; Whitt et al, 2012; Lee et al, 2021; Borneman et al, 2022; Tinsley et al, 2023).\nGiven that known PDE5 inhibitors lacked sufficient binding affinity to arrest the proliferation of cancer cell lines in vitro, attention turned toward PDE10 because selective inhibitors (eg, PF2545920) were found to attenuate cancer cell growth with low micromolar potency. PDE10 is overexpressed in colon and lung adenocarcinomas relative to noninvolved adjacent tissue (Li et al, 2015b; Zhu et al, 2017) and interventions that reduced PDE10 activity (selective inhibitors, siRNA-mediated knockdown) arrested the proliferative response. Conversely, transfection of plasmid DNA encoding PDE10 to normal or precancerous colonocytes stimulated proliferation (Li et al, 2015b). Conversely, PDE10 inhibitors had a negligible impact on the proliferation of cells (colonocytes, airway epithelia) in which PDE10 levels were low or undetectable.\nFurther experiments showed that PDE10 is essential for CRC cell proliferation and survival by suppressing β-catenin transcriptional activity (Li et al, 2015a). The concentration range of a potent and selective PDE10 inhibitor (PF2545920) needed to inhibit CRC cell growth matched the concentration required for activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity and Wnt-induced translocation of β-catenin to the nucleus. Interestingly, PDE10 was found to colocalize with the oncogenic form of β-catenin in dysplastic colon regions from APCmin mice [ie, mice containing a multiple intestinal neoplasia (min) allele of the adenomatous polyposis coli (APC) loci, which encodes a nonsense mutation at codon 850 (Lee et al, 2021)]. These observations were significant because CRC is mostly driven by mutations in the APC/β-catenin axis. Oral administration of PF2545920 did not have antitumor activity in subcutaneous CRC mouse tumor models, but peritumoral injection to bypass liver metabolism suppressed growth in subcutaneous mouse tumor models (unpublished). Following these observations, a novel orally bioavailable PDE10 inhibitor derived from sulindac (ADT-061) was reported to potently and selectively inhibit CRC cell growth in vitro and suppress colon tumorigenesis in the APCmin mouse model (Lee et al, 2021).\nTwo other research groups independently found a link between poor prognosis in patients with non-small cell lung cancer (NSCLC) and PDE10A expression. In one of those studies, an activating mutation in the PDE10A gene as a driver of NSCLC was identified by using a combination of structural biology and genomic data (Shen et al, 2017). Fusco and colleagues observed a negative correlation between PDE10A mRNA and protein levels and overall and recurrence-free survival in NSCLC patients by comparing genomic data from high-risk and low-risk individuals (Fusco et al, 2018). The role of PDE10 in lung cancer was supported by studies showing that PDE10 mRNA and protein were overexpressed in lung cancer cell lines compared with normal airway epithelial cells and lung tumors relative to normal lung tissue. Furthermore, PDE10 inhibitors and gene knockdown of PDE10 selectively inhibited lung cancer cell growth by blocking both β-catenin transcriptional activity and MAPK signaling (Zhu et al, 2017). Another study extended those observations by reporting that PDE10 inhibitors, including ADT-061 (aka MCI-030), inhibited ovarian cancer cell growth by suppressing both β-catenin transcriptional activity and MAPK signaling (Borneman et al, 2022).\nThe role of PDE5 during the early stages of colon tumorigenesis was shown by Browning and colleagues who reported that sildenafil could suppress adenoma formation in mouse models of inflammation-induced CRC (Islam et al, 2017; Sharman et al, 2018). Similar cancer chemopreventive activity was reported with the guanylyl cyclase C agonist, Plecanatide (Chang et al, 2017). These findings supported the testing of PDE5 inhibitors and guanylyl cyclase C activators for CRC cancer chemoprevention in clinical trials, which was feasible, given that such drugs are FDA-approved for chronic indications (eg, erectile dysfunction and constipation) and generally well tolerated.\nCase studies have reported that the long-term use of PDE5 inhibitors can reduce the risk of death or developing metastasis in male patients diagnosed with CRC, as well as lowering the risk of developing CRC in men with benign colon neoplasia (Huang et al, 2019a, 2020a). Although PDE5 inhibitors are FDA-approved for erectile dysfunction and pulmonary hypertension, their use for cancer prevention remains experimental and could have undesirable side effects (eg, thrombocytopenia) from long-term use. Recent studies by Browning and colleagues, describing a novel PDE5 inhibitor (malonyl-sildenafil) that inhibits the proliferation of colon epithelium in mice following oral administration without systemic absorption, hold promise for CRC chemoprevention (Lee et al, 2023). In addition, existing drugs that activate guanylyl cyclase C and are approved for constipation are being studied for CRC chemoprevention, which also acts locally in the colon (Rappaport and Waldman, 2020). The potential benefits of combining exisulind or sildenafil with chemotherapeutic drugs have also been studied in experimental models and in clinical trials as summarized in Table 2 but have not resulted in significant benefits for patients with advanced-stage malignancies.Table 2The clinical potential of combining exisulind or sildenafil with chemotherapeutic drugsInhibitorCombined With; OutcomeCancer TypeReferencesExisulindCisplatin and paclitaxel; synergistic inhibition of cancer cell growth in cultureLung cancerSoriano et al 1999ExisulindDocetaxel; induced apoptosis, reduced tumor growth and metastasis and improved survival in mouse orthotopic modelLung cancerSoriano et al, 1999; Bunn et al, 2002; Whitehead et al, 2003ExisulindCapecitabine; combination well tolerated in breast cancer patients, but synergism appeared to be modestBreast cancerPusztai et al, 2003SildenafilPemetrexed; suppressed tumor growth in mice that was enhanced with the mTOR inhibitor temsirolimusLung cancerBooth et al, 2017SildenafilPemetrexed and sorafenib; enhanced activity in multiple cancer cell lines and mouse xenograft modelsLung cancerBooth et al, 2017SildenafilDoxorubicin; enhanced apoptosis and antitumor efficacy in mouse xenograft models, while attenuating doxorubicin cardiotoxic effectsProstate cancerDas et al, 2010SildenafilOSU-03012 (non-COX inhibitor of celecoxib) and sorafenib; synergism to kill cancer cells in vitro and in vivoGlioblastomaBooth et al, 2015SildenafilDoxorubicin; enhanced apoptosis and ROS production in rhabdomyosarcoma cell linesRhabdomyosarcomaUrla et al, 2023COX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nThe clinical potential of combining exisulind or sildenafil with chemotherapeutic drugs\nCOX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nResearch has shown additive, antiproliferative activity following simultaneous blockade of PDE5 and PDE10 with small molecule inhibitors (MY5445 and papaverine, respectively) or hybrid PDE5/PDE10 inhibitors (eg, ADT-094). Similar data were obtained by silencing, simultaneously, PDE5 and PDE10, suggesting that the expression of these 2 enzyme families in neoplastic cells may cooperate to maintain low intracellular cGMP levels and, thus, provide proliferative and survival advantages to neoplastic cells during tumorigenesis (Li et al, 2015a).\nAlthough the concentration range required for PDE5 and PDE10 inhibitors to suppress cancer cell growth is similar to those needed to inhibit cGMP hydrolysis in cell lysates and activate cGMP/PKG signaling in intact cells (Zhu et al, 2017), appreciably lower concentrations are needed to inhibit the isolated enzymes. This suggests that the effect of such inhibitors in cells is not isoenzyme selective and that the high concentrations nonselectively inhibit both isoenzymes. The co-expression of PDE5 and PDE10 in cancer cells may explain the discrepancy between cellular and biochemical experiments involving recombinant enzymes whereby the expression of 1 isoenzyme in cancer cells may compensate for the effects of an inhibitor that is specific for the other isoenzyme, resulting in the need for higher concentrations to inhibit both PDE5 and PDE10. In support of this hypothesis, experiments using dual PDE5/10 inhibitors or dual genetic knockdown of PDE5 and PDE10 resulted in greater growth suppression than inhibition of either isozyme alone (Li et al, 2015b). Furthermore, in the case of PDE5 inhibitors, sildenafil is a known substrate for ATP-binding efflux transporters, which may also account for the apparent discrepancy between potencies involving experiments in cells versus isolated enzymes (Ding et al, 2011).\nMutations in β-catenin and RAS and their pathway components (eg, APC, RAF) account for most human cancers. These oncoproteins have been extensively studied but considered challenging or “undruggable” cancer targets, given that the cellular pathways they support are essential for the proliferation and survival of both cancer and normal cells. For example, Wnt-driven activation of β-catenin-dependent transcription is well known to be crucial for maintaining the survival of normal stem cells, and growth factor activation of RAS-driven/ MAPK/AKT signaling is needed for normal cell turnover or in response to injury. The observation that PDE10 is overexpressed in certain cancers and essential for cancer cell growth and that PDE10 inhibitors can suppress both β-catenin and RAS signaling suggests an unrecognized strategy to kill cancer cells selectively. Although conventional PDE10 inhibitors were developed for CNS conditions and may not be able to achieve adequate systemic levels for anticancer activity in experimental mouse tumor models, novel PDE10 inhibitors that can achieve systemic levels needed to kill cancer cells selectively warrant further investigation for treating cancers harboring mutations in β-catenin or RAS or pathway components. There is potential for safety, given that PDE10 has low expression in most peripheral tissues with no known physiological function. Finally, evidence that PDE5 and PDE10 inhibitors can activate mechanisms of antitumor immunity suggests potential benefits in combination with immunotherapy (see Fig. 16).\n\n\n### General framework of cyclic nucleotide signaling in cancer\nSeveral generations of research in the biology of cancer have led to the definition of a number of properties that collectively define the neoplastic state, commonly referred to as the Hallmarks of Cancer (Hanahan and Weinberg, 2000, 2011). The original definition of these hallmarks included 6 biological capabilities acquired during the multistep development of human cancer. These included: (1) sustaining proliferative signaling, (2) evading growth suppressors, (3) resisting cell death, (4) enabling replicative immortality, (5) inducing angiogenesis, and (6) activating invasion and metastasis. Essential for the acquisition of these hallmarks is the concept of genome instability, which contributes to the mutations required for the development of neoplasia, and inflammation, which promotes several hallmark functions. To these 6 hallmarks, 2 more were subsequently added: (7) reprogramming of energy metabolism and (8) evading immune destruction. Study of cyclic nucleotide signaling in cancer provides an opportunity to observe these hallmarks in action. Alterations in cAMP and cGMP signaling can profoundly contribute to the neoplastic state. Modulation of cAMP and, especially, cGMP signaling can profoundly attenuate and modulate the cancer phenotype. Collectively, these advances in cyclic nucleotide signaling in neoplasia have the potential to lead to important advances in the prevention, diagnosis, and treatment of several important human cancers.\n\n\n### Effects in neoplastic cells\nThe concept of driver mutations is essential to understanding the functional, pathogenic, and clinical role of cAMP and cGMP signaling in cancer. Driver mutations are defined as germline or somatic mutations in DNA that play an essential role in generating the transformed phenotype (Greenman et al, 2007; Bailey et al, 2018; Sack et al, 2018; Sanchez-Vega et al, 2018; Gorelick et al, 2020). Driver mutations can therefore be defined as follows: (1) they materially affect the expression or structure of the RNA/protein encoded by the mutated gene(s), leading to alterations in its physiological function(s), producing a growth advantage; (2) they localize to specific “hot spots” within the gene product essential to its cellular function, such as its enzymatic activity or regulation; and (3) they are present in a substantial proportion of clinical specimens obtained from a specific cancer type. “Passenger” mutations, in contrast, differ from driver mutations in that they do not play a clear role in cancer formation. Passenger mutations typically (1) do not change the physiological or biochemical functions of the gene product; (2) do not concentrate in “hot spots”; and (3) are found in only a small proportion of clinical specimens obtained from a specific cancer type.\nUsing the strict criteria for cancer driver mutations, as defined above, we can identify cancer-associated driver mutations in 11 different genes encoding members of cAMP-signaling pathways, which are involved in at least 9 different cancers (Table 1) [see (Ahmed et al, 2022; Bolger, 2022) for recent reviews]. In the PDE space, germline and tumor-associated driver mutations in PDE8B and PDE11A are the best-characterized driver mutations, as described in detail previously (Bolger, 2022). The PDE8B mutations have been identified in patients with adrenal hyperplasia, adenomas, and carcinomas and have been shown to attenuate PDE8 enzymatic activity. Other PDE germline mutations may also predispose to adrenal tumors (Bolger, 2022).Table 1Human cancers with driver mutations in genes that encode elements of cAMP-signaling pathwaysTissueCancer TypePathway ElementGene NameAdrenal cortexAdenomaG protein alpha subunitGNASPhosphodiesterasePDE8BPhosphodiesterasePDE11APKA regulatory subunitPRKARA1PKA catalytic subunitPRKACAPKA catalytic subunitPRKACBThyroidAdenomaGPCRTSHRParathyroidAdenomaG protein alpha subunitGNASPituitarySomatotropinomaGPCRGPR101PKA regulatory subunitPRKARA1Testis Sertoli cellLCCSCTPKA regulatory subunitPRKARA1Testis Leydig/Sertoli cellGerm cell tumorsPhosphodiesterasePDE11ATestis germ cellGerm cell tumorsPhosphodiesterasePDE11ALiverFibrolamellar HCCPKA catalytic subunitPRKACAAbdominal soft tissue and CNSFET-CREB fusion tumorsTranscription factorCREBHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nHuman cancers with driver mutations in genes that encode elements of cAMP-signaling pathways\nHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nAs thoroughly reviewed elsewhere (Kelly, 2015, 2018b), a large number of PDE11A intronic, synonymous (ie, noncoding), missense (ie, nonsynonymous coding), and nonsense mutations (ie, truncating) have been associated with a variety of endocrine-related tumors. The majority of these variants are common, but rare mutations have also been reported in a small number of patients with various tumor types (Kelly, 2018b). The tumor-associated PDE11A mutations largely produce a loss-of-function phenotype either by reducing expression, catalytic activity, or proper localization of the enzyme; however, it is important to note that the effects of the mutations are often cell-type specific (Horvath et al, 2006; Libe et al, 2008; Peverelli et al, 2009; Horvath et al, 2009; Libe et al, 2011; Faucz et al, 2011; Kelly, 2015; 2018b; Pathak et al, 2015; Vezzosi et al, 2012). Tumors of endocrine tissues have also been found to be associated with reduced PDE11A expression of non-mutational genetic causes, such as transcriptional and epigenetic regulation (Boikos et al, 2008; Mirabello et al, 2012). Together, these studies suggest that a loss of PDE11A function is more likely a risk modifier than an inducer of tumors (Kelly, 2015), which is supported by PDE11A KO mouse studies that show no increased presence of tumors (Kelly et al, 2010).\nHighly potent and selective inhibitors of PDE5 (eg, sildenafil) and PDE10 (eg, Pf2545920) have been reported to induce cell cycle arrest and apoptosis of cancer cell lines grown in vitro at concentrations that activate cGMP/PKG signaling (Li et al, 2015b; Mei et al, 2015; Lee et al, 2016). As depicted in Fig. 16, PKG activation results in the suppression of both β-catenin transcriptional activity and RAS/MAPK signaling. The mechanism for suppressing β-catenin transcriptional activity appears to result from PKG-mediated phosphorylation of β-catenin on residues known to induce ubiquitination and proteasomal degradation, resulting in reduced nuclear levels needed to activate Tcf/Lef transcription (Lee et al, 2016; Lee et al, 2021). The disruption of MAPK signaling by PKG activation may be attributed to disrupting RAS membrane localization and activation (Cho et al, 2016) or by interfering with receptor tyrosine kinase activity (Tao et al, 2012). The ability of activated PKG to block oncogenic β-catenin and RAS signaling simultaneously is consistent with reports that PDE10 inhibitors can suppress both signaling pathways in lung and ovarian cancer cell lines (Zhu et al, 2017; Borneman et al, 2022). This possibility is supported by the broad anticancer activity of PDE10 inhibitors and is significant, given that mutations in APC/β-catenin and RAS/MAPK pathway components drive most human cancers.Fig. 16PDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\nPDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\n\n\n### cAMP PDE: a role for driver mutations\nThe concept of driver mutations is essential to understanding the functional, pathogenic, and clinical role of cAMP and cGMP signaling in cancer. Driver mutations are defined as germline or somatic mutations in DNA that play an essential role in generating the transformed phenotype (Greenman et al, 2007; Bailey et al, 2018; Sack et al, 2018; Sanchez-Vega et al, 2018; Gorelick et al, 2020). Driver mutations can therefore be defined as follows: (1) they materially affect the expression or structure of the RNA/protein encoded by the mutated gene(s), leading to alterations in its physiological function(s), producing a growth advantage; (2) they localize to specific “hot spots” within the gene product essential to its cellular function, such as its enzymatic activity or regulation; and (3) they are present in a substantial proportion of clinical specimens obtained from a specific cancer type. “Passenger” mutations, in contrast, differ from driver mutations in that they do not play a clear role in cancer formation. Passenger mutations typically (1) do not change the physiological or biochemical functions of the gene product; (2) do not concentrate in “hot spots”; and (3) are found in only a small proportion of clinical specimens obtained from a specific cancer type.\nUsing the strict criteria for cancer driver mutations, as defined above, we can identify cancer-associated driver mutations in 11 different genes encoding members of cAMP-signaling pathways, which are involved in at least 9 different cancers (Table 1) [see (Ahmed et al, 2022; Bolger, 2022) for recent reviews]. In the PDE space, germline and tumor-associated driver mutations in PDE8B and PDE11A are the best-characterized driver mutations, as described in detail previously (Bolger, 2022). The PDE8B mutations have been identified in patients with adrenal hyperplasia, adenomas, and carcinomas and have been shown to attenuate PDE8 enzymatic activity. Other PDE germline mutations may also predispose to adrenal tumors (Bolger, 2022).Table 1Human cancers with driver mutations in genes that encode elements of cAMP-signaling pathwaysTissueCancer TypePathway ElementGene NameAdrenal cortexAdenomaG protein alpha subunitGNASPhosphodiesterasePDE8BPhosphodiesterasePDE11APKA regulatory subunitPRKARA1PKA catalytic subunitPRKACAPKA catalytic subunitPRKACBThyroidAdenomaGPCRTSHRParathyroidAdenomaG protein alpha subunitGNASPituitarySomatotropinomaGPCRGPR101PKA regulatory subunitPRKARA1Testis Sertoli cellLCCSCTPKA regulatory subunitPRKARA1Testis Leydig/Sertoli cellGerm cell tumorsPhosphodiesterasePDE11ATestis germ cellGerm cell tumorsPhosphodiesterasePDE11ALiverFibrolamellar HCCPKA catalytic subunitPRKACAAbdominal soft tissue and CNSFET-CREB fusion tumorsTranscription factorCREBHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nHuman cancers with driver mutations in genes that encode elements of cAMP-signaling pathways\nHCC, hepatocellular cancer; LCCSCT, large-cell calcifying Sertoli cell tumors.\nAs thoroughly reviewed elsewhere (Kelly, 2015, 2018b), a large number of PDE11A intronic, synonymous (ie, noncoding), missense (ie, nonsynonymous coding), and nonsense mutations (ie, truncating) have been associated with a variety of endocrine-related tumors. The majority of these variants are common, but rare mutations have also been reported in a small number of patients with various tumor types (Kelly, 2018b). The tumor-associated PDE11A mutations largely produce a loss-of-function phenotype either by reducing expression, catalytic activity, or proper localization of the enzyme; however, it is important to note that the effects of the mutations are often cell-type specific (Horvath et al, 2006; Libe et al, 2008; Peverelli et al, 2009; Horvath et al, 2009; Libe et al, 2011; Faucz et al, 2011; Kelly, 2015; 2018b; Pathak et al, 2015; Vezzosi et al, 2012). Tumors of endocrine tissues have also been found to be associated with reduced PDE11A expression of non-mutational genetic causes, such as transcriptional and epigenetic regulation (Boikos et al, 2008; Mirabello et al, 2012). Together, these studies suggest that a loss of PDE11A function is more likely a risk modifier than an inducer of tumors (Kelly, 2015), which is supported by PDE11A KO mouse studies that show no increased presence of tumors (Kelly et al, 2010).\n\n\n### cGMP PDE: a role of PDE5 and PDE10 in cell cycle regulation and apoptosis\nHighly potent and selective inhibitors of PDE5 (eg, sildenafil) and PDE10 (eg, Pf2545920) have been reported to induce cell cycle arrest and apoptosis of cancer cell lines grown in vitro at concentrations that activate cGMP/PKG signaling (Li et al, 2015b; Mei et al, 2015; Lee et al, 2016). As depicted in Fig. 16, PKG activation results in the suppression of both β-catenin transcriptional activity and RAS/MAPK signaling. The mechanism for suppressing β-catenin transcriptional activity appears to result from PKG-mediated phosphorylation of β-catenin on residues known to induce ubiquitination and proteasomal degradation, resulting in reduced nuclear levels needed to activate Tcf/Lef transcription (Lee et al, 2016; Lee et al, 2021). The disruption of MAPK signaling by PKG activation may be attributed to disrupting RAS membrane localization and activation (Cho et al, 2016) or by interfering with receptor tyrosine kinase activity (Tao et al, 2012). The ability of activated PKG to block oncogenic β-catenin and RAS signaling simultaneously is consistent with reports that PDE10 inhibitors can suppress both signaling pathways in lung and ovarian cancer cell lines (Zhu et al, 2017; Borneman et al, 2022). This possibility is supported by the broad anticancer activity of PDE10 inhibitors and is significant, given that mutations in APC/β-catenin and RAS/MAPK pathway components drive most human cancers.Fig. 16PDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\nPDE5 and PDE10 regulation of cancer cell proliferation and survival. PDE5 and/or PDE10 regulate cGMP/PKG signaling to allow for β-catenin-dependent Tcf/Lef transcription and RAS/MAPK signaling resulting in the synthesis proteins essential for cancer cell proliferation and survival. Solid circles represent PDE5 and PDE10 that may be co-expressed whereby higher levels of PDE10 may compensate for the effects of a PDE5 isozyme specific inhibitor. Both COX-dependent and independent mechanisms are involved in anti-cancer activity of COX inhibitors. Red crosses symbolizes the impact of cGMP PDE and COX inhibitors. “Created with BioRender.com.”\n\n\n### Preclinical and clinical studies: cGMP PDE inhibition and anticancer activity\nBased on the effect of PDE subtypes on tumor biology, (pre)clinical research has been conducted, which was hitherto limited to cGMP PDEs. We will now discuss the history and the gathered evidence for the application of cGMP PDEs in cancer treatment and pinpoint cross-talk with other pivotal signaling pathways.\nThe association between cGMP-degrading PDEs and the inhibition of cancer cell proliferation and survival was first reported from studies of sulindac sulfone, a metabolite of the nonsteroidal anti-inflammatory drug (NSAID), sulindac (Thompson et al, 2000). Sulindac sulfone (exisulind) was in clinical trials for the treatment and prevention of precancerous colon adenomas, but its mechanism of action was unknown. Exisulind and several analogs were found to inhibit the proliferation and induce apoptosis of colorectal cancer (CRC) and bladder cancer cell lines at concentrations that caused a sustained elevation of cGMP and activation of PKG that was not found with PDE5-selective inhibitors or other PDE inhibitors (Thompson et al, 2000; Piazza et al, 2001). Nonetheless, PDE5 was initially suspected as a likely target because it was the predominant cGMP-PDE degrading isoenzyme expressed in CRC and bladder cancer cell lines, and exisulind did not affect cAMP levels. Despite modest potency and no apparent PDE isoenzyme selectivity, exisulind significantly suppressed tumor formation in multiple, chemical-induced rodent models of colon, bladder, breast, lung, and prostate tumorigenesis, suggesting that the well established cancer chemopreventive activity of NSAIDs may involve a COX-independent mechanism of action (Piazza et al, 1997; Thompson et al, 1997; Malkinson et al, 1998; Reddy et al, 1999; Piazza et al, 2001; Narayanan et al, 2007). Exisulind showed promising efficacy in clinical trials of patients with familial adenomatous polyposis (FAP) or sporadic adenomas and selectively induced apoptosis of colonocytes in precancerous lesions without affecting colonocytes in the adjacent normal mucosa (Stoner et al, 1999; Arber et al, 2006). However, exisulind was not approved by the FDA because of liver toxicity that was likely attributed to low potency and lack of PDE isoenzyme selectivity.\nThe NSAID sulindac (Clinoril) also inhibits adenoma formation in FAP patients (Giardiello et al, 1993) and has broad cancer chemopreventive activity in experimental models of tumorigenesis. However, the long-term use of sulindac and other NSAIDs is not FDA-approved for long-term use because of potentially fatal toxicities resulting from COX-1 and COX-2 inhibition. Although the antineoplastic activity of sulindac and other NSAIDs is commonly attributed to COX-2 inhibition and suppression of prostaglandin synthesis (Wang and Dubois, 2010), numerous investigators have concluded that both COX-dependent and COX-independent mechanisms are involved (Fig. 16; Gurpinar et al, 2014).\nInitial evidence suggesting that the anticancer activity of NSAIDs is mediated by an off-target mechanism involving cGMP PDE inhibition is based on experiments showing that the rank-order potency of a chemically diverse group of NSAIDs, including the COX-2 selective inhibitor, celecoxib, to inhibit in vitro growth of HT-29 CRC cells correlated with the inhibition of cGMP PDE but not of COX-2 (Tinsley et al, 2010). In addition, concentrations of NSAIDs required to inhibit cell growth far exceeded those required to block COX-1 or COX-2. These data, along with results of other experiments showing that cancer cell lines, which do not express COX-2, are sensitive to NSAIDs, and the inability of prostaglandins to rescue cell growth inhibition by NSAIDs, support a COX-independent mechanism for the cancer chemopreventive activity of sulindac and possibly other NSAIDs and COX-2 inhibitors. However, the contribution of COX-2-derived prostaglandins should not be excluded, given their broad biological activity that can have an impact on multiple oncogenic pathways (Wang and DuBois, 2006; Gurpinar et al, 2014).\nPublications reporting that inhibitors of cGMP/PKG signaling, including NO donors, guanylyl cyclase activators, cell-permeable cGMP analogs, and certain cGMP PDE inhibitors, inhibit cancer cell proliferation and induce apoptosis suggest that PDE5 is essential for cancer cell proliferation and survival (Tinsley et al, 2009; Tinsley et al, 2010). Multiple investigations have supported this possibility by reporting that PDE5 is overexpressed in colon, bladder, breast, and lung cancers compared with noninvolved adjacent tissue (Chan et al, 2002; Piazza et al, 2001; Whitehead et al, 2003; Pusztai et al, 2003; Tinsley et al, 2009; Tinsley et al, 2010; Mei et al, 2015; Bisegna et al, 2020; Iwasaki et al, 2021; Tinsley et al, 2023). Consistent with the role of PDE5 in regulating cancer cell growth, PDE5 knockdown by siRNA selectively inhibited the growth of colon and breast cancer cell lines expressing high PDE5 levels compared with normal colonocytes or mammary epithelial cells with low PDE5 expression (Tinsley et al, 2009; Tinsley et al, 2011). In addition, gene silencing of PDE5 in the highly aggressive human breast cancer cell line, MDA-MB-231, resulted in decreased cell motility and formation of lung metastases (Marino et al, 2014). Conversely, PDE5 overexpression in MCF-7 breast cancer cells led to increased motility and invasion (Catalano et al, 2016). Sildenafil and vardenafil were also reported to inhibit proliferation and induce caspase-dependent apoptosis in B-cell chronic lymphatic leukemia, which suggested the role of cGMP in regulating hematological malignancies (Sarfati et al, 2003). Finally, a sulindac derivative, sulindac benzylamide, with PDE5 selectivity that did not inhibit COX-1 or COX-2, potently inhibited CRC cell growth (Whitt et al, 2012).\nThe finding that sulindac sulfide, a metabolite of the NSAID, sulindac, attenuated CRC cell growth at concentrations that blocked PDE5 and PDE10 activity, inspired a drug discovery campaign to identify cGMP PDE inhibitors based on the same chemotype that did not target COX-1 and COX-2. This resulted in the synthesis of a large library of compounds sharing the indene scaffold of sulindac. Screening this library against recombinant COX, to confirm the lack of effect on prostaglandin synthesis, and PDE5 and PDE10, led to the discovery of several lead compounds, which displayed appreciably greater potency as inhibitors of cancer cell growth at concentrations that blocked PDE5 and/or PDE10. Chemical optimization of these indene-based inhibitors to improve their drug-like properties holds promise for further development of this novel anticancer therapy (Piazza et al, 2009; Li et al, 2013; Li et al, 2015a; Whitt et al, 2012; Lee et al, 2021; Borneman et al, 2022; Tinsley et al, 2023).\nGiven that known PDE5 inhibitors lacked sufficient binding affinity to arrest the proliferation of cancer cell lines in vitro, attention turned toward PDE10 because selective inhibitors (eg, PF2545920) were found to attenuate cancer cell growth with low micromolar potency. PDE10 is overexpressed in colon and lung adenocarcinomas relative to noninvolved adjacent tissue (Li et al, 2015b; Zhu et al, 2017) and interventions that reduced PDE10 activity (selective inhibitors, siRNA-mediated knockdown) arrested the proliferative response. Conversely, transfection of plasmid DNA encoding PDE10 to normal or precancerous colonocytes stimulated proliferation (Li et al, 2015b). Conversely, PDE10 inhibitors had a negligible impact on the proliferation of cells (colonocytes, airway epithelia) in which PDE10 levels were low or undetectable.\nFurther experiments showed that PDE10 is essential for CRC cell proliferation and survival by suppressing β-catenin transcriptional activity (Li et al, 2015a). The concentration range of a potent and selective PDE10 inhibitor (PF2545920) needed to inhibit CRC cell growth matched the concentration required for activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity and Wnt-induced translocation of β-catenin to the nucleus. Interestingly, PDE10 was found to colocalize with the oncogenic form of β-catenin in dysplastic colon regions from APCmin mice [ie, mice containing a multiple intestinal neoplasia (min) allele of the adenomatous polyposis coli (APC) loci, which encodes a nonsense mutation at codon 850 (Lee et al, 2021)]. These observations were significant because CRC is mostly driven by mutations in the APC/β-catenin axis. Oral administration of PF2545920 did not have antitumor activity in subcutaneous CRC mouse tumor models, but peritumoral injection to bypass liver metabolism suppressed growth in subcutaneous mouse tumor models (unpublished). Following these observations, a novel orally bioavailable PDE10 inhibitor derived from sulindac (ADT-061) was reported to potently and selectively inhibit CRC cell growth in vitro and suppress colon tumorigenesis in the APCmin mouse model (Lee et al, 2021).\nTwo other research groups independently found a link between poor prognosis in patients with non-small cell lung cancer (NSCLC) and PDE10A expression. In one of those studies, an activating mutation in the PDE10A gene as a driver of NSCLC was identified by using a combination of structural biology and genomic data (Shen et al, 2017). Fusco and colleagues observed a negative correlation between PDE10A mRNA and protein levels and overall and recurrence-free survival in NSCLC patients by comparing genomic data from high-risk and low-risk individuals (Fusco et al, 2018). The role of PDE10 in lung cancer was supported by studies showing that PDE10 mRNA and protein were overexpressed in lung cancer cell lines compared with normal airway epithelial cells and lung tumors relative to normal lung tissue. Furthermore, PDE10 inhibitors and gene knockdown of PDE10 selectively inhibited lung cancer cell growth by blocking both β-catenin transcriptional activity and MAPK signaling (Zhu et al, 2017). Another study extended those observations by reporting that PDE10 inhibitors, including ADT-061 (aka MCI-030), inhibited ovarian cancer cell growth by suppressing both β-catenin transcriptional activity and MAPK signaling (Borneman et al, 2022).\nThe role of PDE5 during the early stages of colon tumorigenesis was shown by Browning and colleagues who reported that sildenafil could suppress adenoma formation in mouse models of inflammation-induced CRC (Islam et al, 2017; Sharman et al, 2018). Similar cancer chemopreventive activity was reported with the guanylyl cyclase C agonist, Plecanatide (Chang et al, 2017). These findings supported the testing of PDE5 inhibitors and guanylyl cyclase C activators for CRC cancer chemoprevention in clinical trials, which was feasible, given that such drugs are FDA-approved for chronic indications (eg, erectile dysfunction and constipation) and generally well tolerated.\nCase studies have reported that the long-term use of PDE5 inhibitors can reduce the risk of death or developing metastasis in male patients diagnosed with CRC, as well as lowering the risk of developing CRC in men with benign colon neoplasia (Huang et al, 2019a, 2020a). Although PDE5 inhibitors are FDA-approved for erectile dysfunction and pulmonary hypertension, their use for cancer prevention remains experimental and could have undesirable side effects (eg, thrombocytopenia) from long-term use. Recent studies by Browning and colleagues, describing a novel PDE5 inhibitor (malonyl-sildenafil) that inhibits the proliferation of colon epithelium in mice following oral administration without systemic absorption, hold promise for CRC chemoprevention (Lee et al, 2023). In addition, existing drugs that activate guanylyl cyclase C and are approved for constipation are being studied for CRC chemoprevention, which also acts locally in the colon (Rappaport and Waldman, 2020). The potential benefits of combining exisulind or sildenafil with chemotherapeutic drugs have also been studied in experimental models and in clinical trials as summarized in Table 2 but have not resulted in significant benefits for patients with advanced-stage malignancies.Table 2The clinical potential of combining exisulind or sildenafil with chemotherapeutic drugsInhibitorCombined With; OutcomeCancer TypeReferencesExisulindCisplatin and paclitaxel; synergistic inhibition of cancer cell growth in cultureLung cancerSoriano et al 1999ExisulindDocetaxel; induced apoptosis, reduced tumor growth and metastasis and improved survival in mouse orthotopic modelLung cancerSoriano et al, 1999; Bunn et al, 2002; Whitehead et al, 2003ExisulindCapecitabine; combination well tolerated in breast cancer patients, but synergism appeared to be modestBreast cancerPusztai et al, 2003SildenafilPemetrexed; suppressed tumor growth in mice that was enhanced with the mTOR inhibitor temsirolimusLung cancerBooth et al, 2017SildenafilPemetrexed and sorafenib; enhanced activity in multiple cancer cell lines and mouse xenograft modelsLung cancerBooth et al, 2017SildenafilDoxorubicin; enhanced apoptosis and antitumor efficacy in mouse xenograft models, while attenuating doxorubicin cardiotoxic effectsProstate cancerDas et al, 2010SildenafilOSU-03012 (non-COX inhibitor of celecoxib) and sorafenib; synergism to kill cancer cells in vitro and in vivoGlioblastomaBooth et al, 2015SildenafilDoxorubicin; enhanced apoptosis and ROS production in rhabdomyosarcoma cell linesRhabdomyosarcomaUrla et al, 2023COX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nThe clinical potential of combining exisulind or sildenafil with chemotherapeutic drugs\nCOX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nResearch has shown additive, antiproliferative activity following simultaneous blockade of PDE5 and PDE10 with small molecule inhibitors (MY5445 and papaverine, respectively) or hybrid PDE5/PDE10 inhibitors (eg, ADT-094). Similar data were obtained by silencing, simultaneously, PDE5 and PDE10, suggesting that the expression of these 2 enzyme families in neoplastic cells may cooperate to maintain low intracellular cGMP levels and, thus, provide proliferative and survival advantages to neoplastic cells during tumorigenesis (Li et al, 2015a).\nAlthough the concentration range required for PDE5 and PDE10 inhibitors to suppress cancer cell growth is similar to those needed to inhibit cGMP hydrolysis in cell lysates and activate cGMP/PKG signaling in intact cells (Zhu et al, 2017), appreciably lower concentrations are needed to inhibit the isolated enzymes. This suggests that the effect of such inhibitors in cells is not isoenzyme selective and that the high concentrations nonselectively inhibit both isoenzymes. The co-expression of PDE5 and PDE10 in cancer cells may explain the discrepancy between cellular and biochemical experiments involving recombinant enzymes whereby the expression of 1 isoenzyme in cancer cells may compensate for the effects of an inhibitor that is specific for the other isoenzyme, resulting in the need for higher concentrations to inhibit both PDE5 and PDE10. In support of this hypothesis, experiments using dual PDE5/10 inhibitors or dual genetic knockdown of PDE5 and PDE10 resulted in greater growth suppression than inhibition of either isozyme alone (Li et al, 2015b). Furthermore, in the case of PDE5 inhibitors, sildenafil is a known substrate for ATP-binding efflux transporters, which may also account for the apparent discrepancy between potencies involving experiments in cells versus isolated enzymes (Ding et al, 2011).\nMutations in β-catenin and RAS and their pathway components (eg, APC, RAF) account for most human cancers. These oncoproteins have been extensively studied but considered challenging or “undruggable” cancer targets, given that the cellular pathways they support are essential for the proliferation and survival of both cancer and normal cells. For example, Wnt-driven activation of β-catenin-dependent transcription is well known to be crucial for maintaining the survival of normal stem cells, and growth factor activation of RAS-driven/ MAPK/AKT signaling is needed for normal cell turnover or in response to injury. The observation that PDE10 is overexpressed in certain cancers and essential for cancer cell growth and that PDE10 inhibitors can suppress both β-catenin and RAS signaling suggests an unrecognized strategy to kill cancer cells selectively. Although conventional PDE10 inhibitors were developed for CNS conditions and may not be able to achieve adequate systemic levels for anticancer activity in experimental mouse tumor models, novel PDE10 inhibitors that can achieve systemic levels needed to kill cancer cells selectively warrant further investigation for treating cancers harboring mutations in β-catenin or RAS or pathway components. There is potential for safety, given that PDE10 has low expression in most peripheral tissues with no known physiological function. Finally, evidence that PDE5 and PDE10 inhibitors can activate mechanisms of antitumor immunity suggests potential benefits in combination with immunotherapy (see Fig. 16).\n\n\n### Early evidence for cGMP-PDE involvement: studies of exisulind and NSAIDs\nThe association between cGMP-degrading PDEs and the inhibition of cancer cell proliferation and survival was first reported from studies of sulindac sulfone, a metabolite of the nonsteroidal anti-inflammatory drug (NSAID), sulindac (Thompson et al, 2000). Sulindac sulfone (exisulind) was in clinical trials for the treatment and prevention of precancerous colon adenomas, but its mechanism of action was unknown. Exisulind and several analogs were found to inhibit the proliferation and induce apoptosis of colorectal cancer (CRC) and bladder cancer cell lines at concentrations that caused a sustained elevation of cGMP and activation of PKG that was not found with PDE5-selective inhibitors or other PDE inhibitors (Thompson et al, 2000; Piazza et al, 2001). Nonetheless, PDE5 was initially suspected as a likely target because it was the predominant cGMP-PDE degrading isoenzyme expressed in CRC and bladder cancer cell lines, and exisulind did not affect cAMP levels. Despite modest potency and no apparent PDE isoenzyme selectivity, exisulind significantly suppressed tumor formation in multiple, chemical-induced rodent models of colon, bladder, breast, lung, and prostate tumorigenesis, suggesting that the well established cancer chemopreventive activity of NSAIDs may involve a COX-independent mechanism of action (Piazza et al, 1997; Thompson et al, 1997; Malkinson et al, 1998; Reddy et al, 1999; Piazza et al, 2001; Narayanan et al, 2007). Exisulind showed promising efficacy in clinical trials of patients with familial adenomatous polyposis (FAP) or sporadic adenomas and selectively induced apoptosis of colonocytes in precancerous lesions without affecting colonocytes in the adjacent normal mucosa (Stoner et al, 1999; Arber et al, 2006). However, exisulind was not approved by the FDA because of liver toxicity that was likely attributed to low potency and lack of PDE isoenzyme selectivity.\nThe NSAID sulindac (Clinoril) also inhibits adenoma formation in FAP patients (Giardiello et al, 1993) and has broad cancer chemopreventive activity in experimental models of tumorigenesis. However, the long-term use of sulindac and other NSAIDs is not FDA-approved for long-term use because of potentially fatal toxicities resulting from COX-1 and COX-2 inhibition. Although the antineoplastic activity of sulindac and other NSAIDs is commonly attributed to COX-2 inhibition and suppression of prostaglandin synthesis (Wang and Dubois, 2010), numerous investigators have concluded that both COX-dependent and COX-independent mechanisms are involved (Fig. 16; Gurpinar et al, 2014).\nInitial evidence suggesting that the anticancer activity of NSAIDs is mediated by an off-target mechanism involving cGMP PDE inhibition is based on experiments showing that the rank-order potency of a chemically diverse group of NSAIDs, including the COX-2 selective inhibitor, celecoxib, to inhibit in vitro growth of HT-29 CRC cells correlated with the inhibition of cGMP PDE but not of COX-2 (Tinsley et al, 2010). In addition, concentrations of NSAIDs required to inhibit cell growth far exceeded those required to block COX-1 or COX-2. These data, along with results of other experiments showing that cancer cell lines, which do not express COX-2, are sensitive to NSAIDs, and the inability of prostaglandins to rescue cell growth inhibition by NSAIDs, support a COX-independent mechanism for the cancer chemopreventive activity of sulindac and possibly other NSAIDs and COX-2 inhibitors. However, the contribution of COX-2-derived prostaglandins should not be excluded, given their broad biological activity that can have an impact on multiple oncogenic pathways (Wang and DuBois, 2006; Gurpinar et al, 2014).\n\n\n### Preclinical research on PDE5 and PDE10 inhibition as possible anticancer therapies\nPublications reporting that inhibitors of cGMP/PKG signaling, including NO donors, guanylyl cyclase activators, cell-permeable cGMP analogs, and certain cGMP PDE inhibitors, inhibit cancer cell proliferation and induce apoptosis suggest that PDE5 is essential for cancer cell proliferation and survival (Tinsley et al, 2009; Tinsley et al, 2010). Multiple investigations have supported this possibility by reporting that PDE5 is overexpressed in colon, bladder, breast, and lung cancers compared with noninvolved adjacent tissue (Chan et al, 2002; Piazza et al, 2001; Whitehead et al, 2003; Pusztai et al, 2003; Tinsley et al, 2009; Tinsley et al, 2010; Mei et al, 2015; Bisegna et al, 2020; Iwasaki et al, 2021; Tinsley et al, 2023). Consistent with the role of PDE5 in regulating cancer cell growth, PDE5 knockdown by siRNA selectively inhibited the growth of colon and breast cancer cell lines expressing high PDE5 levels compared with normal colonocytes or mammary epithelial cells with low PDE5 expression (Tinsley et al, 2009; Tinsley et al, 2011). In addition, gene silencing of PDE5 in the highly aggressive human breast cancer cell line, MDA-MB-231, resulted in decreased cell motility and formation of lung metastases (Marino et al, 2014). Conversely, PDE5 overexpression in MCF-7 breast cancer cells led to increased motility and invasion (Catalano et al, 2016). Sildenafil and vardenafil were also reported to inhibit proliferation and induce caspase-dependent apoptosis in B-cell chronic lymphatic leukemia, which suggested the role of cGMP in regulating hematological malignancies (Sarfati et al, 2003). Finally, a sulindac derivative, sulindac benzylamide, with PDE5 selectivity that did not inhibit COX-1 or COX-2, potently inhibited CRC cell growth (Whitt et al, 2012).\nThe finding that sulindac sulfide, a metabolite of the NSAID, sulindac, attenuated CRC cell growth at concentrations that blocked PDE5 and PDE10 activity, inspired a drug discovery campaign to identify cGMP PDE inhibitors based on the same chemotype that did not target COX-1 and COX-2. This resulted in the synthesis of a large library of compounds sharing the indene scaffold of sulindac. Screening this library against recombinant COX, to confirm the lack of effect on prostaglandin synthesis, and PDE5 and PDE10, led to the discovery of several lead compounds, which displayed appreciably greater potency as inhibitors of cancer cell growth at concentrations that blocked PDE5 and/or PDE10. Chemical optimization of these indene-based inhibitors to improve their drug-like properties holds promise for further development of this novel anticancer therapy (Piazza et al, 2009; Li et al, 2013; Li et al, 2015a; Whitt et al, 2012; Lee et al, 2021; Borneman et al, 2022; Tinsley et al, 2023).\nGiven that known PDE5 inhibitors lacked sufficient binding affinity to arrest the proliferation of cancer cell lines in vitro, attention turned toward PDE10 because selective inhibitors (eg, PF2545920) were found to attenuate cancer cell growth with low micromolar potency. PDE10 is overexpressed in colon and lung adenocarcinomas relative to noninvolved adjacent tissue (Li et al, 2015b; Zhu et al, 2017) and interventions that reduced PDE10 activity (selective inhibitors, siRNA-mediated knockdown) arrested the proliferative response. Conversely, transfection of plasmid DNA encoding PDE10 to normal or precancerous colonocytes stimulated proliferation (Li et al, 2015b). Conversely, PDE10 inhibitors had a negligible impact on the proliferation of cells (colonocytes, airway epithelia) in which PDE10 levels were low or undetectable.\nFurther experiments showed that PDE10 is essential for CRC cell proliferation and survival by suppressing β-catenin transcriptional activity (Li et al, 2015a). The concentration range of a potent and selective PDE10 inhibitor (PF2545920) needed to inhibit CRC cell growth matched the concentration required for activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity and Wnt-induced translocation of β-catenin to the nucleus. Interestingly, PDE10 was found to colocalize with the oncogenic form of β-catenin in dysplastic colon regions from APCmin mice [ie, mice containing a multiple intestinal neoplasia (min) allele of the adenomatous polyposis coli (APC) loci, which encodes a nonsense mutation at codon 850 (Lee et al, 2021)]. These observations were significant because CRC is mostly driven by mutations in the APC/β-catenin axis. Oral administration of PF2545920 did not have antitumor activity in subcutaneous CRC mouse tumor models, but peritumoral injection to bypass liver metabolism suppressed growth in subcutaneous mouse tumor models (unpublished). Following these observations, a novel orally bioavailable PDE10 inhibitor derived from sulindac (ADT-061) was reported to potently and selectively inhibit CRC cell growth in vitro and suppress colon tumorigenesis in the APCmin mouse model (Lee et al, 2021).\nTwo other research groups independently found a link between poor prognosis in patients with non-small cell lung cancer (NSCLC) and PDE10A expression. In one of those studies, an activating mutation in the PDE10A gene as a driver of NSCLC was identified by using a combination of structural biology and genomic data (Shen et al, 2017). Fusco and colleagues observed a negative correlation between PDE10A mRNA and protein levels and overall and recurrence-free survival in NSCLC patients by comparing genomic data from high-risk and low-risk individuals (Fusco et al, 2018). The role of PDE10 in lung cancer was supported by studies showing that PDE10 mRNA and protein were overexpressed in lung cancer cell lines compared with normal airway epithelial cells and lung tumors relative to normal lung tissue. Furthermore, PDE10 inhibitors and gene knockdown of PDE10 selectively inhibited lung cancer cell growth by blocking both β-catenin transcriptional activity and MAPK signaling (Zhu et al, 2017). Another study extended those observations by reporting that PDE10 inhibitors, including ADT-061 (aka MCI-030), inhibited ovarian cancer cell growth by suppressing both β-catenin transcriptional activity and MAPK signaling (Borneman et al, 2022).\n\n\n### Translational and clinical studies with PDE5 inhibitors\nThe role of PDE5 during the early stages of colon tumorigenesis was shown by Browning and colleagues who reported that sildenafil could suppress adenoma formation in mouse models of inflammation-induced CRC (Islam et al, 2017; Sharman et al, 2018). Similar cancer chemopreventive activity was reported with the guanylyl cyclase C agonist, Plecanatide (Chang et al, 2017). These findings supported the testing of PDE5 inhibitors and guanylyl cyclase C activators for CRC cancer chemoprevention in clinical trials, which was feasible, given that such drugs are FDA-approved for chronic indications (eg, erectile dysfunction and constipation) and generally well tolerated.\nCase studies have reported that the long-term use of PDE5 inhibitors can reduce the risk of death or developing metastasis in male patients diagnosed with CRC, as well as lowering the risk of developing CRC in men with benign colon neoplasia (Huang et al, 2019a, 2020a). Although PDE5 inhibitors are FDA-approved for erectile dysfunction and pulmonary hypertension, their use for cancer prevention remains experimental and could have undesirable side effects (eg, thrombocytopenia) from long-term use. Recent studies by Browning and colleagues, describing a novel PDE5 inhibitor (malonyl-sildenafil) that inhibits the proliferation of colon epithelium in mice following oral administration without systemic absorption, hold promise for CRC chemoprevention (Lee et al, 2023). In addition, existing drugs that activate guanylyl cyclase C and are approved for constipation are being studied for CRC chemoprevention, which also acts locally in the colon (Rappaport and Waldman, 2020). The potential benefits of combining exisulind or sildenafil with chemotherapeutic drugs have also been studied in experimental models and in clinical trials as summarized in Table 2 but have not resulted in significant benefits for patients with advanced-stage malignancies.Table 2The clinical potential of combining exisulind or sildenafil with chemotherapeutic drugsInhibitorCombined With; OutcomeCancer TypeReferencesExisulindCisplatin and paclitaxel; synergistic inhibition of cancer cell growth in cultureLung cancerSoriano et al 1999ExisulindDocetaxel; induced apoptosis, reduced tumor growth and metastasis and improved survival in mouse orthotopic modelLung cancerSoriano et al, 1999; Bunn et al, 2002; Whitehead et al, 2003ExisulindCapecitabine; combination well tolerated in breast cancer patients, but synergism appeared to be modestBreast cancerPusztai et al, 2003SildenafilPemetrexed; suppressed tumor growth in mice that was enhanced with the mTOR inhibitor temsirolimusLung cancerBooth et al, 2017SildenafilPemetrexed and sorafenib; enhanced activity in multiple cancer cell lines and mouse xenograft modelsLung cancerBooth et al, 2017SildenafilDoxorubicin; enhanced apoptosis and antitumor efficacy in mouse xenograft models, while attenuating doxorubicin cardiotoxic effectsProstate cancerDas et al, 2010SildenafilOSU-03012 (non-COX inhibitor of celecoxib) and sorafenib; synergism to kill cancer cells in vitro and in vivoGlioblastomaBooth et al, 2015SildenafilDoxorubicin; enhanced apoptosis and ROS production in rhabdomyosarcoma cell linesRhabdomyosarcomaUrla et al, 2023COX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\nThe clinical potential of combining exisulind or sildenafil with chemotherapeutic drugs\nCOX, cyclooxygenase; mTOR, mammalian target of rapamycin; ROS, reactive oxygen species.\n\n\n### Dual PDE5 and PDE10 inhibition\nResearch has shown additive, antiproliferative activity following simultaneous blockade of PDE5 and PDE10 with small molecule inhibitors (MY5445 and papaverine, respectively) or hybrid PDE5/PDE10 inhibitors (eg, ADT-094). Similar data were obtained by silencing, simultaneously, PDE5 and PDE10, suggesting that the expression of these 2 enzyme families in neoplastic cells may cooperate to maintain low intracellular cGMP levels and, thus, provide proliferative and survival advantages to neoplastic cells during tumorigenesis (Li et al, 2015a).\nAlthough the concentration range required for PDE5 and PDE10 inhibitors to suppress cancer cell growth is similar to those needed to inhibit cGMP hydrolysis in cell lysates and activate cGMP/PKG signaling in intact cells (Zhu et al, 2017), appreciably lower concentrations are needed to inhibit the isolated enzymes. This suggests that the effect of such inhibitors in cells is not isoenzyme selective and that the high concentrations nonselectively inhibit both isoenzymes. The co-expression of PDE5 and PDE10 in cancer cells may explain the discrepancy between cellular and biochemical experiments involving recombinant enzymes whereby the expression of 1 isoenzyme in cancer cells may compensate for the effects of an inhibitor that is specific for the other isoenzyme, resulting in the need for higher concentrations to inhibit both PDE5 and PDE10. In support of this hypothesis, experiments using dual PDE5/10 inhibitors or dual genetic knockdown of PDE5 and PDE10 resulted in greater growth suppression than inhibition of either isozyme alone (Li et al, 2015b). Furthermore, in the case of PDE5 inhibitors, sildenafil is a known substrate for ATP-binding efflux transporters, which may also account for the apparent discrepancy between potencies involving experiments in cells versus isolated enzymes (Ding et al, 2011).\n\n\n### Neoplastic effects of PDE5 and PDE10 inhibition: conclusions\nMutations in β-catenin and RAS and their pathway components (eg, APC, RAF) account for most human cancers. These oncoproteins have been extensively studied but considered challenging or “undruggable” cancer targets, given that the cellular pathways they support are essential for the proliferation and survival of both cancer and normal cells. For example, Wnt-driven activation of β-catenin-dependent transcription is well known to be crucial for maintaining the survival of normal stem cells, and growth factor activation of RAS-driven/ MAPK/AKT signaling is needed for normal cell turnover or in response to injury. The observation that PDE10 is overexpressed in certain cancers and essential for cancer cell growth and that PDE10 inhibitors can suppress both β-catenin and RAS signaling suggests an unrecognized strategy to kill cancer cells selectively. Although conventional PDE10 inhibitors were developed for CNS conditions and may not be able to achieve adequate systemic levels for anticancer activity in experimental mouse tumor models, novel PDE10 inhibitors that can achieve systemic levels needed to kill cancer cells selectively warrant further investigation for treating cancers harboring mutations in β-catenin or RAS or pathway components. There is potential for safety, given that PDE10 has low expression in most peripheral tissues with no known physiological function. Finally, evidence that PDE5 and PDE10 inhibitors can activate mechanisms of antitumor immunity suggests potential benefits in combination with immunotherapy (see Fig. 16).\n\n\n### The role of PDEs in immune regulation\nIn previous chapters, the important contribution of inflammation in the role of PDE function in pathophysiology is accented ubiquitously. The immune response and its mediators are involved in the pathogenesis of various diseases, and we here highlighted tissue remodeling effects in internal organs, fibrosis and extracellular matrix formation, and neurodegeneration. Alterations in the immune environment of tissues have categorically become a part of the standard variables to be measured in studies on the pathobiology of diseases. With respect to PDEs, comprehensive knowledge has especially been built up in the framework of tumor progression, which is discussed in depth. In this chapter, the involvement of cyclic nucleotide signaling in the regulation of cells of the innate and adaptive immune system is summarized. This will start with a comprehensive review of the role of tumor microenvironment (TME). Thereafter, the relevance of each individual immune cell effect is illustrated with typical examples in cancer and internal organ disease to facilitate the extrapolation to the expertise of the readership. Due to its comprehensiveness, this latter part uses a 2-layer mode to transfer the knowledge, the first layer being the cell type, and as a second layer the role of the PDE subtype.\nIt has become increasingly clear that the effectiveness of many anticancer drugs relies, in part, on the host immune system. Mounting evidence indicates that the immune composition of the TME can profoundly influence tumor response to treatments. For example, immunologically “hot” tumors, which show signs of inflammation and are infiltrated with T lymphocytes, tend to respond well to immune checkpoint inhibition (ICI) therapy. In contrast, “cold” tumors, characterized by a lack of T cell infiltration, are resistant or refractory to immunotherapy (Galon and Bruni, 2019). In terms of T cells, their functional status is an important determinant of the host antitumor immunity. It has been well established that chronic antigenic stimulations, which often occur during chronic viral infections and cancer development, can lead to functional exhaustion in CD8+ T cells, characterized by gradual loss of the ability to proliferate, persist, and produce inflammatory cytokines (Wherry and Kurachi, 2015; Schietinger et al, 2016). Exhausted CD8+ T cells are phenotypically and functionally heterogeneous, consisting of progenitor, transitory, and terminally exhausted cells, each characterized by distinct transcriptional and epigenetic signatures as well as varied responsiveness to anti-PD-1 ICI therapy (Sade-Feldman et al, 2018; Siddiqui et al, 2019; Miller et al, 2019; Beltra et al, 2020). The TME is often enriched in regulatory T cells (Treg), which are a subset of CD4+ T cells known to suppress antitumor immunity. Besides T lymphocytes, myeloid cells in the TME are also known to impact tumor progression and response to therapies. Extensive studies have demonstrated that a subset of aberrantly developed immature myeloid cells, termed myeloid-derived suppressor cells (MDSCs), promote tumor growth, metastasis, and immune evasion, presenting a major hindrance to the effectiveness of various types of cancer treatments.\nIt has been shown that β-catenin signaling in tumor cells can prevent dendritic cell (DC) recruitment, resulting in T cell exclusion in the TME and tumor resistance to checkpoint immunotherapy (Spranger et al, 2015; Spranger et al, 2017; Luke et al, 2019). Not only does tumor-intrinsic β-catenin signaling promote tumor immune evasion (Spranger and Gajewski, 2015) but β-catenin activation in DCs also contributes to immune tolerance (Suryawanshi and Manicassamy, 2015). Tumors can induce the activation of β-catenin in DCs in the draining lymph nodes, rendering them tolerogenic, which induces Treg cells to suppress antitumor activity.\nThe fact that PDE11A loss of function is associated with an increased risk of various tumors may be related to its likely role in regulating inflammation. Interestingly, PDE11A expression can be induced by stress and immune activation signals in cells that do not basally express the enzyme (Witwicka et al, 2007; Bazhin et al, 2010; Zhu et al, 2019b). Furthermore, reduced PDE11A4 expression in the brain correlates with increased expression of the proinflammatory cytokine, IL-6, increased cytokine release, and increased microglial activation (Pathak et al, 2016; Pilarzyk et al, 2021). Conversely, increased PDE activity may also be relevant. As PDE inhibition emerges as an attractive therapeutic strategy for cancer treatment, there is growing interest in understanding whether and how PDE5 and PDE10 inhibitors impact the various immune components in the TME. Mechanistic explanations of the role of PDE5 on tumor biology can be found in their effects on various immune cells. With respect to MDSC, it was first reported that PDE5 inhibition by sildenafil or tadalafil led to enhanced intratumoral T cell infiltration and activation, along with improved tumor growth control in multiple mouse transplant tumor models (Serafini et al, 2006). These beneficial effects were lost in immune-deficient mice, indicating that the antitumor effect of PDE5 inhibitors was immune-mediated. Mechanistically, the restoration of antitumor immunity in tumor-bearing mice was due to abrogation of MDSC-mediated immune suppression as PDE5 inhibitors downregulated arginase 1 and NO synthase–2, the main mediators of MDSC immunosuppressive activity. A subsequent study using a spontaneous mouse melanoma model confirmed that PDE5 inhibition by sildenafil resulted in reduced MDSC accumulation and immunosuppressive function, accompanied by restoration of CD8+ T cell effector activity and improvement in mouse survival (Meyer et al, 2011).\nIn further explanation of the role of PDE5, it is conceivable that suppressing β-catenin signaling, either in tumor cells or DCs, with PDE5 inhibitors can overcome some of the major immunosuppressive mechanisms (MDSCs, tolerogenic DCs, and Treg cells) in the TME, thereby improving tumor response to immunotherapy. The observed beneficial effects of PDE5 inhibitors in mouse tumor models and clinical studies, including reduced Treg presence and increased tumor infiltration of activated CD8+ T cells, may be driven by fully activated DCs as the result of β-catenin suppression secondary to PDE5 inhibition. The mechanisms linking PDE inhibitor-induced β-catenin suppression to DC and T cell recruitment/activation in the TME require elucidation.\nEvidence for the role of immune modulation by PDE5 in tumor progression has also been found in humans. Clinical trials were conducted to evaluate whether PDE5 inhibition can revert tumor-induced immunosuppression and promote antitumor immunity in patients with head and neck squamous cell carcinoma, metastatic melanoma, or multiple myeloma (Califano et al, 2015; Weed et al, 2015; Hassel et al, 2017). These trials indicate that tadalafil administration correlated with reduced MDSC accumulation and/or suppressive function and improved T cell activation, with 1 trial reporting additional reduction of Treg cells. However, future research should examine whether PDE5 inhibition also affects MDSC induction or recruitment because a reduction in MDSC accumulation was observed in some but not all published studies. Moreover, the exact function and expression kinetics of PDE5 in MDSCs and Treg cells warrant further investigation.\nThe immunological impact of PDE10 inhibition has remained largely unexplored. It is reasonable to speculate that PDE10 inhibitors mirror PDE5 inhibitors in exerting immunomodulatory effects because their mechanisms of action overlap in terms of activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity. It is worth noting, that some of the newly developed PDE10 inhibitors suppress oncogenic RAS signaling (Zhu et al, 2017b; Borneman et al, 2022), raising the possibility that they may improve tumor immunogenicity. Aberrant RAS activation occurs in about 20% of all malignancies, with high incidences found in pancreatic cancer (90%), colorectal cancer (50%), and lung cancer (30%; Bos, 1989). Oncogenic RAS signaling is known to promote immune suppression (Weijzen et al, 1999). It has been reported that KRAS mutations induce Treg cells (Zdanov et al, 2016; Cheng et al, 2019), upregulate PD-L1 in cancer cells (Sumimoto et al, 2016; Chen et al, 2017; Coelho et al, 2017), but downregulate MHC class I molecules (Atkins et al, 2004; El-Jawhari et al, 2014). In addition, RAS activation promotes tumor production of G-CSF and GM-CSF, which induce and expand MDSCs to facilitate tumor progression, metastasis, and immune suppression (Pylayeva-Gupta et al, 2012; Phan et al, 2013). With the advances in developing mutant-specific inhibitors targeting KRAS G12C (Ostrem et al, 2013), RAS is no longer considered an undruggable target (Molina-Arcas et al, 2021). It is reassuring that in preclinical studies, many of these newly developed KRAS inhibitors significantly improved antitumor immunity by reducing MDSCs, enhancing antigen presentation and CD8+ T cell priming. These data validate RAS inhibition as a potent immune-potentiating strategy in addition to its direct tumoricidal effect (Canon et al, 2019; Briere et al, 2021; Mugarza et al, 2022; Zhang et al, 2022; Kemp et al, 2023). Likewise, the emergence of novel PDE10 inhibitors that are capable of suppressing oncogenic RAS and β-catenin activities have the potential to reverse an immunosuppressive TME, a feature that awaits to be exploited to drive durable therapeutic outcomes.\nCyclic nucleotide signaling in the regulation of immune response has been on the map for a long time. Previous publications described that cAMP plays a critical role as a second messenger (Rall and Sutherland, 1958; Sutherland and Rall, 1958) and has been shown to be a key regulator of the activation and function of cells of the innate (Schafer et al, 2014; Schafer et al, 2019) and adaptive immune system (Bourne et al, 1974; Wang et al, 1978; Amarandi et al, 2016). Numerous anti-inflammatory drugs successfully target molecules of the cAMP signaling pathway including several FDA-approved medications (Rabe, 2011; Schett et al, 2010; Tenor et al, 2011; De Souza et al, 2012; Milara et al, 2012; Wittmann and Helliwell, 2013; Victoni et al, 2014; Schafer et al, 2014; Dong et al, 2016; Jarnagin et al, 2016; Sriram and Insel, 2018; Blokland et al, 2019; Baillie et al, 2019b; Schafer et al, 2019). As described in section General Introduction, cAMP is degraded by cyclic nucleotide PDEs (Lerner and Epstein, 2006; Conti and Beavo, 2007), which constitute a group of enzymes known to hydrolyze cAMP and cGMP and, hence, maintain spatial and temporal control over its activity. Cells of the innate and adaptive immune system play a critical role in inflammation and its modulation (Medzhitov, 2021; Meizlish et al, 2021). Function and regulation of different subpopulations of T cells, B cells, and natural killer (NK) cells, as well as myeloid cells, such as neutrophils, monocytes, macrophages, and DCs involve activation of the cAMP pathway. Additionally, interactions between leukocytes and endothelial cells are critical during the formation of inflammatory lesions and can be regulated by cAMP/cGMP signaling. As a general rule, cAMP levels in cells of both the innate and adaptive immune systems are correlated with their inflammatory activities (Bourne et al, 1974; Wang et al, 1978; Mosenden and Tasken, 2011; Vang et al, 2013; Schafer et al, 2014; Rueda et al, 2016; Schafer et al, 2019). Although PDEs have been recognized as potential drug targets for anti-inflammatory drugs, developing specific PDE inhibitors has faced challenges, primarily due to side effects; nevertheless, progress has been made with the approval and clinical use of selected PDE4 inhibitors for treating major inflammatory diseases (vide supra). This chapter will discuss the role of PDEs in cells of the innate and adaptive immune system (Table 3).Table 3Summary of PDE isoform expression and function in immune cellsImmune Cell SubpopulationPDE Gene ExpressionPDE Protein Expression /ActivityPDE Activity and MethodsResultsDendritic cellsPDE1, PDE3 membrane bound, PDE4, PDE7PDE isoenzyme activityPro-inflammatory cytokine productionPDE4bPDE4BPDE isoenzyme activityDC mediated Th2-dependent immunopathologyPDE4 inhibitor studiesPDE4B gene knockout studiesSelective suppression of Th2 polarization of T cell subpopulations in vivoGranulocytesPDE4 inhibitor studiesIn vitro suppression of neutrophil functionssuppression of chemotaxis, inflammation, neutrophil and eosinophil infiltration in vivoPDE4A, DPDE4A, DPDE4A and D expression studiesBasophilsNK cellsPDE3 and 4PDE3 and 4 inhibitor studiesPDE4 inhibitor studiesSuppression of TNF-α productionSuppression of IFN-γ productionIBMX sensitive PDEsBroad PDE inhibitor studiesMonocytes and macrophagesPDE1PDE isoenzyme activity, inhibitor studiesPDE3Suppression of TNF-release through PDE4 ±PDE3 inhibitionPDE4MacrophagesPde4 deficient micePde4 deficient mice globalSuppression of cytokine productionProtection from LPS-induced shockPDE8APDE8APromotion of susceptibility to HIV-1 infectionPDE10AInhibition of PDE10, PDE10A deficient miceAltered cytokine and chemokine productionMicrogliaPDE1Inhibition of PDE1 activitySuppression of cytokine expression,Inhibition of cytokine release, suppression of cytokine gene expression, suppression of motilityCD4+ T cellsPDE1PDE1PDE1 activityUpregulation under mitogen stimulationPDE2PDE2PDE2 expression and activityExpressed in mouse T cells but not human T cellsPDE2APDE2 facilitates T cell activationMouse T cell activationPDE3PDE3, PDE3BMembrane bound PDE3B activity,Foxp3 repression of PDE3B in Treg cellsPde3bPde3b deficient miceReduced PDE3B expression permits normal Treg cell homoeostasis and Treg cell-specific gene expressionPDE4APDE activity and inhibitionT cell activation and functionsPde4bPDE4BPDE activity and inhibition, PDE4B deficient miceT cell activation and functions, Th subset polarizationPDE4DPDE activity and inhibitionT cell activation and functionsPDE4PDE activity, binding, overexpression and inhibitionModulation of signal transduction through the T cell receptorRegulation of full T cell activationPDE7PDE7Expression and anti-sense inhibition studiesUpregulation of PDE8A1 after polyclonal T cell activationPDE7A1, A3PDE7A1, A3Mitogen-activated splenocytes, anti-CD3 activated CD4+ T cells, antigen exposed naïve and memory CD4+ T cellsPDE8A1PDE8A1Induction of PDE8A expression in response to stimulus, PDE8 inhibitionUpregulation of PDE8A1 after polyclonal T cell activationPde8aPDE8AInduction of PDE8A expression in response to stimulus, PDE8 inhibition via enzymatic inhibitor and peptide disruptor, in vivo suppression of EAEInduction of PDE8A expression in response to stimulus, Association of PDE8A expression and accumulation of sensitized T cells in draining lymph node of in an animal model of allergic airway disease AADCD4+ effector Teff cellsPDE8APDE8APDE expressionPDE8A inhibition by enzymatic inhibitor or a PDE8A-Raf-1 kinaseCD4+ regulatory Treg cellsPde1a, Pde1bPDE1A, BPde2aPDE2AHigh cAMP levels in T cellsPde 3bPDE3BPde 4bPDE4BPde5aPDE5APDE8APDE8AB cellsPDE4A, B, DPDE4A, B, DExpressionPDE7BPDE7BPDE7 inhibitionInduction of apoptosis through PDE7 inhibition\nSummary of PDE isoform expression and function in immune cells\nDendritic Cells. DCs are heterogeneous and are commonly classified into subtypes including plasmacytoid DC (pDC), myeloid or conventional DC1 (cDC1), and myeloid or conventional DC2 (cDC2), as well as tissue-specific DCs such as Langerhans cells (Collin and Bigley, 2018). Early studies indicated that during differentiation of DCs, PDE4 activity decreased, whereas activities of PDE1 and PDE3 increased. Of note, rolipram, at PDE4-selective concentrations, blocked LPS-induced TNFα release by ∼37%. In contrast, the PDE3 inhibitor, motapizone, only marginally influenced TNFα synthesis, but a synergistic inhibitory effect was noted in combination with rolipram (Gantner et al, 1999). In addition, the PDE4 inhibitor, roflumilast, has been shown to be a potent immunomodulator of DC cell function (Hatzelmann and Schudt, 2001). In mice, the cAMP-PKA-CREB signaling pathway orchestrates many functional aspects of cDC2s (Schafer et al, 2014; Lee et al, 2020). Notably, PDE4B is highly expressed in mouse DCs (Chinn et al, 2022). Using mice deficient in Gαs, PDE4B was shown to be a key regulator of cellular cAMP concentrations in DCs and played a role in DC-mediated T helper cell type 2 (Th2) dependent immunopathology (Jin et al, 2010; Chinn et al, 2022). PDE4 inhibition in DCs has also been shown to reduce their ability to induce T helper cell type 1 (Th1) cells from naive T cells in vitro, an effect that was largely attributed to an effect on PDE4A (Heystek et al, 2003).\nGranulocytes. The immunosuppressive effect of the PDE4 inhibitor, roflumilast, on a wide range of neutrophil functions in vivo and in vitro is well documented (Hatzelmann and Schudt, 2001; Wollin et al, 2005; Jones et al, 2005; Sanz et al, 2007; Cortijo Gimeno and Morcillo Sanchez, 2010; Hatzelmann et al, 2010; Nials et al, 2011; Koga et al, 2016; Tsai et al, 2023; Lin et al, 2023a; Chang et al, 2024). Several studies demonstrated that PDE4 inhibitors suppress oxidative stress and chemotaxis in neutrophils (Hatzelmann and Schudt, 2001; Jones et al, 2005; Wollin et al, 2005; Sanz et al, 2007; Cortijo Gimeno and Morcillo Sanchez, 2010; Hatzelmann et al, 2010; Nials et al, 2011; Koga et al, 2016; Tsai et al, 2023; Lin et al, 2023a; Chang et al, 2024). Additionally, PDE10A was shown to regulate neutrophil infiltration in a mouse model of lung inflammation (Hsu et al, 2021). PDE inhibitors (ciclamilast, piclamilast, IBMX) have also been shown to effectively suppress pulmonary eosinophilia in rodent models of allergic airway disease (Zheng et al, 2019; Lee et al, 2020).\nMonocyte differentiation. Changes in cyclic nucleotide levels have been shown to have a profound impact on the phenotypical differentiation of monocytes (Schudt et al, 1995; Gantner et al, 1997a; Hertz and Beavo, 2011; Tenor et al, 2011). Importantly, during in vitro differentiation of human blood-derived monocytes, the PDE profile undergoes significant remodeling, which parallels that in human alveolar macrophages (Schudt et al, 1995; Tenor et al, 1995a). Major changes in PDE1, PDE3, and PDE4 activities are seen, whereas PDE4 activity, the major PDE isotype of peripheral blood monocytes, rapidly declines under in vitro culture (Gantner et al, 1997a). Subsequent investigations have delineated the role and function of various PDEs in monocytes and macrophages, and those findings are described in more detail below.\nPDE1. Bender and colleagues reported the selective upregulation of PDE1B2 during monocyte-to-macrophage differentiation (Bender et al, 2005). Recently, an inhibitor of Ca2+/CaM-dependent PDE1 was shown to suppress LPS-induced expression of genes encoding proinflammatory cytokines and motility in rodent microglial cells (O'Brien et al, 2020; Zhou et al, 2023).\nPDE4. The expression and function of specific PDE4 isoforms in monocytes and macrophages are differentiation-dependent (Shepherd et al, 2004; Schafer et al, 2014). In gene knockout studies in mice, Conti and colleagues demonstrated, in vivo and ex vivo, the selective regulation of the LPS-Toll-like receptor signaling pathway in macrophages by Pde4b, but not Pde4a or Pde4d (Jin et al, 2005).\nPDE10. Recent reports indicate a role of PDE10A in lung inflammation mediated by macrophages. Treatment of murine macrophages with LPS in vitro induces a sustained expression of PDE10A, in contrast to a more transient induction of PDE4B. Similarly, LPS-induced cytokine and chemokine production were differentially affected by selective inhibition of PDE10 versus PDE4. These results were supported by in vivo experiments performed in Pde10a-deficient mice, or in mice treated with a PDE10 selective inhibitor (Hsu et al, 2021).\nNatural Killer Cells. As with other cells of the immune system, raising the levels of cAMP suppresses the activity of NK cells (Shepherd et al, 2004). Studies have focused on the regulation of NK cells by a broad variety of PDEs and selective isoforms including PDE3 and PDE4 (Whalen and Crews, 2000; Walker and Rotondo, 2004; Schafer et al, 2010; Chen and Yan, 2021). The PDE4 inhibitor, apremilast, has been shown to suppress the proinflammatory activity of most cells of the innate and adaptive immune system, including TNFα production by NK cells in a model of psoriasis (Schafer et al, 2010). Notably, PGE2-mediated NK cell suppression in a tumor environment can be reversed through external exposure to IL-15, which acts, in part, by upregulating the expression of PDE4A (Chen and Yan, 2021). Similarly, the broad-spectrum PDE inhibitor, IBMX, suppresses interferon (IFN) γ synthesis by NK cells (Walker and Rotondo, 2004).\nT cells. PDEs in human lymphocytes, particularly T cells, have proven to be very effective therapeutic targets for treating inflammation, with 3 PDE4-selective inhibitors now approved and in the clinic for the treatment of several diseases, including COPD, psoriasis, psoriatic arthritis, atopic dermatitis, and seborrheic dermatitis. There is evidence that PDEs other than PDE4 may also be effective therapeutic targets for treating certain inflammatory conditions, and in the following sections, we review what is known about PDEs that are expressed in T cells, and how they might be useful as targets for treating inflammation.\nPDE1. The Ca2+/CaM-dependent PDE1 gene family all hydrolyze cGMP with Kms in the low micromolar range but differ in their affinities for cAMP [1 μM, 7–24 μM and 50–100 μM for PDE1C, PDE1B, and PDE1A, respectively (Lerner and Epstein, 2006)]. Early analyses of quiescent human peripheral blood lymphocytes (HPBL) showed little or no expression of PDE1 (Epstein and Hachisu, 1984; Epstein et al, 1987; Tenor et al, 1995b; Giembycz, 1996). It was also shown in early studies that cAMP PDE activity was highly elevated in murine (Hait and Weiss, 1976) and human (Epstein et al, 1977) transformed lymphocytes associated with hematological malignancies, and PDE activity was greatly induced in HPBL following activation with mitogenic agents such as phytohemagglutinin (Epstein et al, 1980). Subsequently, PDE1 activity was shown to be expressed in a human B lymphoblastoid cell line (Epstein et al, 1987), and further analyses showed that PDE1B1 was present in both T and B lymphoblastoid cell lines and induced in HPBL following mitogenic activation (Jiang et al, 1996; Jiang et al, 1998; Kanda and Watanabe, 2001). The full open reading frame of the PDE1B1 cDNA was cloned from a human lymphoblastoid cell line and antisense oligodeoxynucleotides designed to inhibit the expression of PDE1B1-induced apoptosis in these cells (Jiang et al, 1996), but not in quiescent HPBL (Epstein, 1998).\nThe recent development of potent, selective inhibitors of PDE1 has now facilitated the testing of PDE1 as a therapeutic target for combating inflammation in a number of experimental systems. As noted in the section on monocytes and macrophages, the PDE1 inhibitors, lenrispodun (PDE1B IC50 = 58 pM; O'Brien et al, 2020), and compounds 4a and 5f (PDE1C IC50s = 2.5 nM and 4.5nM, respectively) discussed by Zhou and colleagues suppressed brain neuroinflammation by preventing microglia migration as well as blocking nuclear factor-κB-mediated release of inflammatory mediators and activation of the cAMP/CREB axis (Zhou et al, 2023). Lenrispodun also reduced inflammatory cytokine levels and ameliorated vascular function and inflammatory responses in an Ercc1Δ/− murine model of aging (Golshiri et al, 2021a). Naringenin, a polyphenolic flavonoid isolated from citrus fruit, was shown to bind to CaM and inhibit CaM-stimulated PDE1 activity; it also inhibited LPS-induced inflammatory cytokine release from the SK-OV-3 and K562 human cell lines, which were immortalized from patients with ovarian serous cystadenocarcinoma and chronic lymphocytic leukemia, respectively (Afshari et al, 2023). Early studies had shown that nimodipine, a 1,4-dihydropyridine calcium channel antagonist, was capable of directly inhibiting PDE1 at low micromolar concentrations (Epstein et al, 1982). Based on this observation, structural modifications of nimodipine were made that increased potency and selectivity for PDE1. One of those compounds, 2g, synthesized by the Wu laboratory (PDE1C IC50 = 10 nM), exhibited anti-inflammatory properties by reducing the expression of TGFβ and attenuating fibrosis in a bleomycin-induced lung fibrosis rat model (Huang et al, 2022). Another potent PDE1 inhibitor, a quinoline-2 (1H)-1 derivative, compound 10c (PDE1C IC50 = 15 nM), inhibited the LPS-induced release of inflammatory cytokines from the murine macrophage cell line RAW264.7 and exhibited appreciable clinical improvement in a dextran sodium sulfate-induced mouse model of inflammatory bowel disease (Zhang et al, 2023a,b). Hence, PDE1 may prove to be an effective target for treating inflammation.\nPDE2: Human T cells express little or no PDE2 (Tenor et al, 1995a; Giembycz, 1996). In contrast, in murine thymocytes, PDE2 represents as much as 80% of the total hydrolytic activity when activated by cGMP (Michie et al, 1996). A recent study investigated the expression of PDE2A and PDE3B in murine conventional (Tcon) and Treg cells at rest and after activation with anti-CD3/CD28 and cGMP-elevating natriuretic peptides on cAMP levels and on early activation markers, CD25 and CD69 (Kurelic et al, 2021). In that study, engagement of the T-cell receptor (TCR) led to the selective upregulation of PDE2A protein expression in Tcon cells, whereas no change in expression was detected in Treg cells. In contrast, TCR engagement significantly increased PDE3B levels in both resting and activated Tcon subsets but not in Treg cells. Thus, it seems that the elevation of cGMP led to an increase in cAMP levels in nonactivated Tcon cells, presumably through the inhibition of PDE3B (which would be more predominant in the non-activated state), and this led to a decrease in cAMP levels in activated Tcon cells, where PDE2A, the cGMP-activated PDE, is induced. When assessing if this cGMP/cAMP crosstalk following the activation of Tcon cells might have functional effects, it was found that cGMP elevation by atrial natriuretic peptide enhanced Tcon activation as indicated by enhanced expression of the early activation markers CD25 and CD69. Furthermore, this effect was blocked by a PDE2A selective inhibitor indicating that this was due to a cGMP-mediated reduction in cAMP levels secondarily to the activation of PDE2A. Hence, at least in mice, PDE2A may play a functional role in T cell activation.\nPDE3. An early investigation of PDE activity in HPBL supernatants identified a single, prominent form of cAMP PDE based on DEAE anion-exchange chromatography, isoelectric focusing and glycerol gradient analysis, enzymes kinetics, and inhibitor sensitivity (Epstein and Hachisu, 1984). Subsequently, a study of whole homogenates of purified human T lymphocytes showed 2 separable high-affinity cAMP PDEs on HPLC columns, with 1 peak characteristic of PDE4 being purely cytosolic, and the other peak characteristic of PDE3 localized exclusively in the particulate fraction (Robicsek et al, 1989; Robicsek et al, 1991). Other studies with purified human T cells confirmed the presence of PDE3 in the particulate fractions and showed PDE3 activity to be represented exclusively by PDE3B with no evidence of PDE3A (Tenor et al, 1995a; Ekholm et al, 1997; Giembycz, 1996; Sheth et al, 1997). In contrast to T cells, purified human B cells express no mRNA for PDE3B and only very marginal expression of PDE3A mRNA (Gantner et al, 1998). The expression of PDE3B in Treg cells is considerably reduced compared with that in Tcon cells, and it appears that the low catalytic activity of PDE3B is critical for the regulation of Treg cell-specific gene expression (Gavin et al, 2007). Functionally, PDE4 inhibitors suppressed PHA- and anti-CD3-induced proliferation of purified human CD4+ and CD8+ T-lymphocytes and the release of IL-2 and IFNγ, whereas inhibitors of PDE3 did not. However, although inactive by themselves, PDE3 inhibitors potentiated the inhibitory activity of PDE4 inhibitors on these processes (Giembycz, 1996). In a similar vein, inhibition of PDE3B augmented PDE4 inhibitor-induced apoptosis in a subset of patients with chronic lymphocytic leukemia who were resistant to PDE4 inhibition alone (Moon et al, 2002).\nPDE4. Early studies showed PDE4 to be the predominant isoenzyme in the cytosolic fraction of human lymphocytes (Epstein and Hachisu, 1984) with PDE4A, 4B, and 4D, but not 4C, contributing, presumably, to the overall hydrolytic activity (Giembycz, 1996; Gantner et al, 1997c; Jiang et al, 1998; Peter et al, 2007). PDE4 has long been known to play a key role in regulating T cell activation and functions (Michie et al, 1996; Sommer et al, 1997; Gantner et al, 1997b; Gantner et al, 1997c; Ekholm et al, 1997; Erdogan and Houslay, 1997; Barnette et al, 1998; Jin et al, 1998; Michie et al, 1998; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Kanda and Watanabe, 2001; Arp et al, 2003; Claveau et al, 2004; Asirvatham et al, 2004; Abrahamsen et al, 2004; Jimenez et al, 2004; Bjorgo and Tasken, 2006; Peter et al, 2007; Jin et al, 2010). A key mechanism appears to be the modulation of signal transduction through the TCR by signaling through PGE2 via EP2 and EP4 receptors, adenosine via A2a and A2b receptors that yield cAMP (Fig. 17). Activation of the TCR leads to cAMP production localized in lipid rafts, activation of PKA and, subsequently, the inhibition of the TCR signal through a PKa-Csk inhibitory pathway scaffolded by Ezrin-EBP50-PAG/Cbp anchoring complex (Abrahamsen et al, 2004; Bjorgo and Tasken, 2006; Wehbi and Tasken, 2016). However, engagement of the co-stimulatory receptor, CD28, leads to the recruitment of β-arrestin and PDE4 to lipid rafts and a decrease in the local cAMP pool and PKA activity (Fig. 18). PDE4 inhibitors downregulate the TCR signal by increasing the local cAMP concentration and PKA activity, which counteract the CD28-induced recruitment of PDE4. Thus, localized activities of cAMP, PKA, and PDE4 regulate the upstream TCR signal necessary for T cell activation and the subsequent initiation of effector functions (Schafer et al, 2014; Wehbi and Tasken, 2016). As for downstream effects of cAMP signaling, inhibition of PDE4 in CD4+ T cells by broad-spectrum and selective inhibitors leads to suppression of effector functions, including cell proliferation in response to TCR signals and costimulation, as well as cytokine production and cell motility (Ekholm et al, 1997; Sommer et al, 1997; Gantner et al, 1997c; Pette et al, 1999; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Jimenez et al, 2001). In a series of in vivo experiments using gene knockout mice, it was shown that cytokine production by Th2 cells is dependent on PDE4B expression, whereas Th1 cells were apparently unaffected (Jin et al, 2010).Fig. 17The cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.Fig. 18The opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nThe cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.\nThe opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nPDE7. PDE7, primarily PDE7A, is also expressed in human lymphocytes, albeit to a lesser extent than PDE3 and PDE4; PDE7A1 is primarily cytosolic, whereas PDE7A2 mainly associates with a particulate fraction (Bloom and Beavo, 1996; Giembycz, 1996; Bender and Beavo, 2006). Subsequent studies showed that PDE1B, PDE7A, and PDE8A were induced following the activation of human lymphocytes (Jiang et al, 1998; Glavas et al, 2001; Kanda and Watanabe, 2001). Moreover, a critical requirement of PDE7A induction for full T cell activation has been reported (Li et al, 1999; Guo et al, 2009). Although the potential of PDE7 as a therapeutic target to treat inflammation has been investigated in several laboratories, it still remains controversial (Szczypka, 2020; Zorn and Baillie, 2023). In this respect, an antisense oligonucleotides approach has implicated PDE7A in T lymphocyte activation (Li et al, 1999). In contrast, T cells from Pde7a-deficient mice were activated normally by anti-CD3/CD28 (Yang et al, 2003). Similarly, PDE7 inhibitors did not impair CD3/CD28-dependent activation of human CD4+ T-lymphocytes (Nueda et al, 2006). It has been suggested that PDE7 may be a target for treating inflammation in conjunction with inhibition of PDE4. Thus, the PDE7 inhibitor, BRL 50481, enhanced the inhibitory effect of rolipram on lymphocyte proliferation and cytokine release (Smith et al, 2004). Additionally, T-2585, a potent PDE4 inhibitor (IC50 = 0.013 nM), which also inhibits PDE7 with an IC50 = 1.7 μM, inhibited proliferation and cytokine release from T cells under conditions in which the highly selective PDE4 inhibitor, piclamilast, had no effect (Nakata et al, 2002). Similarly, the PDE inhibitor, ASB16165, which inhibits PDE7A with an IC50 = 15 nM and PDE4 with an IC50 = 2.1 μM, also inhibited anti-CD3/CD28-stimulated T cell proliferation and cytokine release (Kadoshima-Yamaoka et al, 2009c). Additionally, in an in vivo mouse model of smoke-induced lung inflammation, combined antisense inhibition of the expression of PDEs 4B, 4D, and 7A produced a much greater anti-inflammatory effect than the use of the PDE4-selective inhibitor, roflumilast, and alone (Fortin et al, 2009). Given that inhibition of PDE7 can often enhance the effects of a PDE4 inhibitor, medicinal chemistry efforts were initiated to produce compounds that can selectively and potently inhibit both of the cAMP PDEs, although, at the time of writing, a definitive role for PDE7 as a target for mitigating inflammation remains to be established (Huang et al, 2023).\nPDE8. Few PDEs are currently the targets of FDA-approved drugs, and there is a significant knowledge gap about the potential therapeutic role of other PDE isoforms particularly for the treatment of inflammatory diseases. The cAMP-specific PDEs, PDE8A, and PDE8B, have been the subject of numerous studies (Fisher et al, 1998; Hayashi et al, 1998; Soderling et al, 1998; Glavas et al, 2001; Kobayashi et al, 2003; Dong et al, 2006; Chen et al, 2009b; Dong et al, 2010; DeNinno et al, 2011; Tsai and Beavo, 2012; Maurice, 2013; Brown et al, 2013; Shimizu-Albergine et al, 2016; Vang et al, 2016; Johnstone et al, 2017; Basole et al, 2017; Kelly, 2018b; Dong et al, 2015). PDE8A and PDE8B are expressed widely across human tissues (Wang et al, 2008a) and have been implicated in testosterone and corticosteroid production (Tsai et al, 2010; Demirbas et al, 2013), myocyte contraction (Patrucco et al, 2010), lymphocyte adhesion and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017), memory and coordination (Tsai et al, 2012), human airway smooth muscle relaxation (Johnstone et al, 2017), immune protection against intracellular pathogens (Blanco et al, 2017), brain disorders associated with inflammation (Chimienti et al, 2019), and systemic lupus erythematosus (Orlowski et al, 2008). In addition, a recent study identified SNPs in the PDE8B locus that were associated with susceptibility to Sjögren’s Syndrome (Taylor et al, 2017).\nT cell activation induces PDE8A1 (Glavas et al, 2001), a splice variant that has an affinity for cAMP that is up to 100 times higher than PDE4 isoforms (Fisher et al, 1998; Soderling et al, 1998; Hayashi et al, 1998; Gamanuma et al, 2003; Bender and Beavo, 2006). This property of the PDE8 family suggests that they may regulate changes in baseline cAMP gradients around cell signaling complexes. The availability of PDE8 inhibitors and disruptors has greatly enhanced the ability of scientists to interrogate the function of PDE8 in vitro and in vivo. It has been shown that PDE8A regulates the motility of lymphocytes and breast cancer cells, including adhesion to endothelial cells under physiological shear stress and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017). These functional effects seem to be uniquely controlled by PDE8 and are distinct from PDE4-regulated outcomes (Vang et al, 2016). The therapeutic activity of biologicals and compounds interacting with molecular targets on pathogenic T cells has been demonstrated in vitro and in vivo (Yednock et al, 1992; Brocke et al, 1999; Steinman, 2005; Healy and Antel, 2016). Current observations reveal PDE8 to be one of those targets for blocking Teff cell motility and, potentially, inflammation (Dong et al, 2006; Vang et al, 2010; Dong et al, 2015; Vang et al, 2013; Vang et al, 2016; Basole et al, 2017). The possible role of PDE8 as an anti-inflammatory target has been examined in vivo. Thus, in experimental autoimmune encephalomyelitis (EAE) induced by immunization with a myelin oligodendrocyte glycoprotein peptide, a model of multiple sclerosis, the PDE8 inhibitor, PF 04957325, suppressed clinical signs of EAE, inflammatory lesion formation and accumulation of Th1 and Th17 effector T cells in the CNS (Brocke et al, 1999; Basole et al, 2022). Collectively, these data demonstrate the efficacy of pharmacologically targeting PDE8 as a treatment of autoimmune inflammation by reducing the inflammatory lesion load.\nPDE9. PDE9A1 and a novel splice variant, PDE9A5, have been detected in human T cells (Wang et al, 2003b). PDE9A5 was localized to the cytosolic, whereas PDE9A1 was expressed exclusively in the nucleus. The function of PDE9 in T cells and whether it has a regulatory role in controlling inflammation is unknown.\nRegulatory T Cells. It is well established that T-effector (Teff) cells and Treg cells express high and relatively low levels of PDEs, respectively. The low abundance of PDEs in Treg cells and high level of cAMP have been linked to the mechanism by which this T-cell subset suppresses the function of Teff cells through the direct cell-to-cell transfer of cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Mechanistically, the transcription factor, forkhead box P3 (Foxp3), expressed in Treg cells has been shown to selectively repress genes, including those encoding PDEs, leading to elevated levels of intracellular cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Remarkably, Treg cell subsets in mice show significantly lower expressions of Pde1a, Pde1b, Pde2a, Pde3b, Pde4b, Pde5a, Pde7a, and Pde8a compared with naive Teff cell subsets (Vang et al, 2013). Consistent with these findings, Foxp3 represses Pde3b and reducing Pde3b expression by genetic means permits normal Treg cell homeostasis and Treg cell-specific gene expression (Gavin et al, 2007). In contrast, Treg and Teff cells express comparable levels of Pde4b3, Pde4d, and Pde7a (Vang et al, 2013). It has also been reported that microRNA-mediated repression of Pde3b critically regulates peripheral immune tolerance (Anandagoda et al, 2019). Although the regulation of selected PDE isoforms including Pde8 through Foxp3 in Treg cells is well established, the exact role of PDE isoforms regulating Treg cell function remains to be elucidated.\nB cells. Studies conducted in the 1990s revealed that PDE3A, PDE4A, PDE4B, PDE4D, and PDE7A were the predominant isoenzymes in human-isolated CD4+ and CD8+ T lymphocytes (Tenor et al, 1995a; Giembycz, 1996). Human-isolated CD19+ B lymphocytes express a similar complement of PDE mRNA transcripts, but in contrast to T cells, PDE3 activity is marginal. Indeed, PDE3B was absent by PCR analysis, and only a weak signal for PDE3A mRNA was detected. No evidence for PDE1, PDE2, and PDE5 activity was found in these purified B cells (Gantner et al, 1998). It has been reported that the expression of PDE7B mRNA and protein in B-chronic lymphocytic leukemia (B-CLL) cells is 23-fold higher than in normal human B cells, and the most abundant PDE transcript expressed (Zhang et al, 2008b). Inasmuch as PDE7 inhibitors induce apoptosis of B-CLL cells, it has been suggested that PDE7B may be a therapeutic target for the treatment of CLL (Zhang et al, 2008b). The role of PDE7B as a therapeutic target for treating inflammation has not been reported.\n\n\n### General background\nIn previous chapters, the important contribution of inflammation in the role of PDE function in pathophysiology is accented ubiquitously. The immune response and its mediators are involved in the pathogenesis of various diseases, and we here highlighted tissue remodeling effects in internal organs, fibrosis and extracellular matrix formation, and neurodegeneration. Alterations in the immune environment of tissues have categorically become a part of the standard variables to be measured in studies on the pathobiology of diseases. With respect to PDEs, comprehensive knowledge has especially been built up in the framework of tumor progression, which is discussed in depth. In this chapter, the involvement of cyclic nucleotide signaling in the regulation of cells of the innate and adaptive immune system is summarized. This will start with a comprehensive review of the role of tumor microenvironment (TME). Thereafter, the relevance of each individual immune cell effect is illustrated with typical examples in cancer and internal organ disease to facilitate the extrapolation to the expertise of the readership. Due to its comprehensiveness, this latter part uses a 2-layer mode to transfer the knowledge, the first layer being the cell type, and as a second layer the role of the PDE subtype.\n\n\n### PDEs in the tumor immune microenvironment\nIt has become increasingly clear that the effectiveness of many anticancer drugs relies, in part, on the host immune system. Mounting evidence indicates that the immune composition of the TME can profoundly influence tumor response to treatments. For example, immunologically “hot” tumors, which show signs of inflammation and are infiltrated with T lymphocytes, tend to respond well to immune checkpoint inhibition (ICI) therapy. In contrast, “cold” tumors, characterized by a lack of T cell infiltration, are resistant or refractory to immunotherapy (Galon and Bruni, 2019). In terms of T cells, their functional status is an important determinant of the host antitumor immunity. It has been well established that chronic antigenic stimulations, which often occur during chronic viral infections and cancer development, can lead to functional exhaustion in CD8+ T cells, characterized by gradual loss of the ability to proliferate, persist, and produce inflammatory cytokines (Wherry and Kurachi, 2015; Schietinger et al, 2016). Exhausted CD8+ T cells are phenotypically and functionally heterogeneous, consisting of progenitor, transitory, and terminally exhausted cells, each characterized by distinct transcriptional and epigenetic signatures as well as varied responsiveness to anti-PD-1 ICI therapy (Sade-Feldman et al, 2018; Siddiqui et al, 2019; Miller et al, 2019; Beltra et al, 2020). The TME is often enriched in regulatory T cells (Treg), which are a subset of CD4+ T cells known to suppress antitumor immunity. Besides T lymphocytes, myeloid cells in the TME are also known to impact tumor progression and response to therapies. Extensive studies have demonstrated that a subset of aberrantly developed immature myeloid cells, termed myeloid-derived suppressor cells (MDSCs), promote tumor growth, metastasis, and immune evasion, presenting a major hindrance to the effectiveness of various types of cancer treatments.\nIt has been shown that β-catenin signaling in tumor cells can prevent dendritic cell (DC) recruitment, resulting in T cell exclusion in the TME and tumor resistance to checkpoint immunotherapy (Spranger et al, 2015; Spranger et al, 2017; Luke et al, 2019). Not only does tumor-intrinsic β-catenin signaling promote tumor immune evasion (Spranger and Gajewski, 2015) but β-catenin activation in DCs also contributes to immune tolerance (Suryawanshi and Manicassamy, 2015). Tumors can induce the activation of β-catenin in DCs in the draining lymph nodes, rendering them tolerogenic, which induces Treg cells to suppress antitumor activity.\nThe fact that PDE11A loss of function is associated with an increased risk of various tumors may be related to its likely role in regulating inflammation. Interestingly, PDE11A expression can be induced by stress and immune activation signals in cells that do not basally express the enzyme (Witwicka et al, 2007; Bazhin et al, 2010; Zhu et al, 2019b). Furthermore, reduced PDE11A4 expression in the brain correlates with increased expression of the proinflammatory cytokine, IL-6, increased cytokine release, and increased microglial activation (Pathak et al, 2016; Pilarzyk et al, 2021). Conversely, increased PDE activity may also be relevant. As PDE inhibition emerges as an attractive therapeutic strategy for cancer treatment, there is growing interest in understanding whether and how PDE5 and PDE10 inhibitors impact the various immune components in the TME. Mechanistic explanations of the role of PDE5 on tumor biology can be found in their effects on various immune cells. With respect to MDSC, it was first reported that PDE5 inhibition by sildenafil or tadalafil led to enhanced intratumoral T cell infiltration and activation, along with improved tumor growth control in multiple mouse transplant tumor models (Serafini et al, 2006). These beneficial effects were lost in immune-deficient mice, indicating that the antitumor effect of PDE5 inhibitors was immune-mediated. Mechanistically, the restoration of antitumor immunity in tumor-bearing mice was due to abrogation of MDSC-mediated immune suppression as PDE5 inhibitors downregulated arginase 1 and NO synthase–2, the main mediators of MDSC immunosuppressive activity. A subsequent study using a spontaneous mouse melanoma model confirmed that PDE5 inhibition by sildenafil resulted in reduced MDSC accumulation and immunosuppressive function, accompanied by restoration of CD8+ T cell effector activity and improvement in mouse survival (Meyer et al, 2011).\nIn further explanation of the role of PDE5, it is conceivable that suppressing β-catenin signaling, either in tumor cells or DCs, with PDE5 inhibitors can overcome some of the major immunosuppressive mechanisms (MDSCs, tolerogenic DCs, and Treg cells) in the TME, thereby improving tumor response to immunotherapy. The observed beneficial effects of PDE5 inhibitors in mouse tumor models and clinical studies, including reduced Treg presence and increased tumor infiltration of activated CD8+ T cells, may be driven by fully activated DCs as the result of β-catenin suppression secondary to PDE5 inhibition. The mechanisms linking PDE inhibitor-induced β-catenin suppression to DC and T cell recruitment/activation in the TME require elucidation.\nEvidence for the role of immune modulation by PDE5 in tumor progression has also been found in humans. Clinical trials were conducted to evaluate whether PDE5 inhibition can revert tumor-induced immunosuppression and promote antitumor immunity in patients with head and neck squamous cell carcinoma, metastatic melanoma, or multiple myeloma (Califano et al, 2015; Weed et al, 2015; Hassel et al, 2017). These trials indicate that tadalafil administration correlated with reduced MDSC accumulation and/or suppressive function and improved T cell activation, with 1 trial reporting additional reduction of Treg cells. However, future research should examine whether PDE5 inhibition also affects MDSC induction or recruitment because a reduction in MDSC accumulation was observed in some but not all published studies. Moreover, the exact function and expression kinetics of PDE5 in MDSCs and Treg cells warrant further investigation.\nThe immunological impact of PDE10 inhibition has remained largely unexplored. It is reasonable to speculate that PDE10 inhibitors mirror PDE5 inhibitors in exerting immunomodulatory effects because their mechanisms of action overlap in terms of activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity. It is worth noting, that some of the newly developed PDE10 inhibitors suppress oncogenic RAS signaling (Zhu et al, 2017b; Borneman et al, 2022), raising the possibility that they may improve tumor immunogenicity. Aberrant RAS activation occurs in about 20% of all malignancies, with high incidences found in pancreatic cancer (90%), colorectal cancer (50%), and lung cancer (30%; Bos, 1989). Oncogenic RAS signaling is known to promote immune suppression (Weijzen et al, 1999). It has been reported that KRAS mutations induce Treg cells (Zdanov et al, 2016; Cheng et al, 2019), upregulate PD-L1 in cancer cells (Sumimoto et al, 2016; Chen et al, 2017; Coelho et al, 2017), but downregulate MHC class I molecules (Atkins et al, 2004; El-Jawhari et al, 2014). In addition, RAS activation promotes tumor production of G-CSF and GM-CSF, which induce and expand MDSCs to facilitate tumor progression, metastasis, and immune suppression (Pylayeva-Gupta et al, 2012; Phan et al, 2013). With the advances in developing mutant-specific inhibitors targeting KRAS G12C (Ostrem et al, 2013), RAS is no longer considered an undruggable target (Molina-Arcas et al, 2021). It is reassuring that in preclinical studies, many of these newly developed KRAS inhibitors significantly improved antitumor immunity by reducing MDSCs, enhancing antigen presentation and CD8+ T cell priming. These data validate RAS inhibition as a potent immune-potentiating strategy in addition to its direct tumoricidal effect (Canon et al, 2019; Briere et al, 2021; Mugarza et al, 2022; Zhang et al, 2022; Kemp et al, 2023). Likewise, the emergence of novel PDE10 inhibitors that are capable of suppressing oncogenic RAS and β-catenin activities have the potential to reverse an immunosuppressive TME, a feature that awaits to be exploited to drive durable therapeutic outcomes.\n\n\n### General aspects\nIt has become increasingly clear that the effectiveness of many anticancer drugs relies, in part, on the host immune system. Mounting evidence indicates that the immune composition of the TME can profoundly influence tumor response to treatments. For example, immunologically “hot” tumors, which show signs of inflammation and are infiltrated with T lymphocytes, tend to respond well to immune checkpoint inhibition (ICI) therapy. In contrast, “cold” tumors, characterized by a lack of T cell infiltration, are resistant or refractory to immunotherapy (Galon and Bruni, 2019). In terms of T cells, their functional status is an important determinant of the host antitumor immunity. It has been well established that chronic antigenic stimulations, which often occur during chronic viral infections and cancer development, can lead to functional exhaustion in CD8+ T cells, characterized by gradual loss of the ability to proliferate, persist, and produce inflammatory cytokines (Wherry and Kurachi, 2015; Schietinger et al, 2016). Exhausted CD8+ T cells are phenotypically and functionally heterogeneous, consisting of progenitor, transitory, and terminally exhausted cells, each characterized by distinct transcriptional and epigenetic signatures as well as varied responsiveness to anti-PD-1 ICI therapy (Sade-Feldman et al, 2018; Siddiqui et al, 2019; Miller et al, 2019; Beltra et al, 2020). The TME is often enriched in regulatory T cells (Treg), which are a subset of CD4+ T cells known to suppress antitumor immunity. Besides T lymphocytes, myeloid cells in the TME are also known to impact tumor progression and response to therapies. Extensive studies have demonstrated that a subset of aberrantly developed immature myeloid cells, termed myeloid-derived suppressor cells (MDSCs), promote tumor growth, metastasis, and immune evasion, presenting a major hindrance to the effectiveness of various types of cancer treatments.\nIt has been shown that β-catenin signaling in tumor cells can prevent dendritic cell (DC) recruitment, resulting in T cell exclusion in the TME and tumor resistance to checkpoint immunotherapy (Spranger et al, 2015; Spranger et al, 2017; Luke et al, 2019). Not only does tumor-intrinsic β-catenin signaling promote tumor immune evasion (Spranger and Gajewski, 2015) but β-catenin activation in DCs also contributes to immune tolerance (Suryawanshi and Manicassamy, 2015). Tumors can induce the activation of β-catenin in DCs in the draining lymph nodes, rendering them tolerogenic, which induces Treg cells to suppress antitumor activity.\n\n\n### The role of PDE in inflammation and TEM\nThe fact that PDE11A loss of function is associated with an increased risk of various tumors may be related to its likely role in regulating inflammation. Interestingly, PDE11A expression can be induced by stress and immune activation signals in cells that do not basally express the enzyme (Witwicka et al, 2007; Bazhin et al, 2010; Zhu et al, 2019b). Furthermore, reduced PDE11A4 expression in the brain correlates with increased expression of the proinflammatory cytokine, IL-6, increased cytokine release, and increased microglial activation (Pathak et al, 2016; Pilarzyk et al, 2021). Conversely, increased PDE activity may also be relevant. As PDE inhibition emerges as an attractive therapeutic strategy for cancer treatment, there is growing interest in understanding whether and how PDE5 and PDE10 inhibitors impact the various immune components in the TME. Mechanistic explanations of the role of PDE5 on tumor biology can be found in their effects on various immune cells. With respect to MDSC, it was first reported that PDE5 inhibition by sildenafil or tadalafil led to enhanced intratumoral T cell infiltration and activation, along with improved tumor growth control in multiple mouse transplant tumor models (Serafini et al, 2006). These beneficial effects were lost in immune-deficient mice, indicating that the antitumor effect of PDE5 inhibitors was immune-mediated. Mechanistically, the restoration of antitumor immunity in tumor-bearing mice was due to abrogation of MDSC-mediated immune suppression as PDE5 inhibitors downregulated arginase 1 and NO synthase–2, the main mediators of MDSC immunosuppressive activity. A subsequent study using a spontaneous mouse melanoma model confirmed that PDE5 inhibition by sildenafil resulted in reduced MDSC accumulation and immunosuppressive function, accompanied by restoration of CD8+ T cell effector activity and improvement in mouse survival (Meyer et al, 2011).\nIn further explanation of the role of PDE5, it is conceivable that suppressing β-catenin signaling, either in tumor cells or DCs, with PDE5 inhibitors can overcome some of the major immunosuppressive mechanisms (MDSCs, tolerogenic DCs, and Treg cells) in the TME, thereby improving tumor response to immunotherapy. The observed beneficial effects of PDE5 inhibitors in mouse tumor models and clinical studies, including reduced Treg presence and increased tumor infiltration of activated CD8+ T cells, may be driven by fully activated DCs as the result of β-catenin suppression secondary to PDE5 inhibition. The mechanisms linking PDE inhibitor-induced β-catenin suppression to DC and T cell recruitment/activation in the TME require elucidation.\nEvidence for the role of immune modulation by PDE5 in tumor progression has also been found in humans. Clinical trials were conducted to evaluate whether PDE5 inhibition can revert tumor-induced immunosuppression and promote antitumor immunity in patients with head and neck squamous cell carcinoma, metastatic melanoma, or multiple myeloma (Califano et al, 2015; Weed et al, 2015; Hassel et al, 2017). These trials indicate that tadalafil administration correlated with reduced MDSC accumulation and/or suppressive function and improved T cell activation, with 1 trial reporting additional reduction of Treg cells. However, future research should examine whether PDE5 inhibition also affects MDSC induction or recruitment because a reduction in MDSC accumulation was observed in some but not all published studies. Moreover, the exact function and expression kinetics of PDE5 in MDSCs and Treg cells warrant further investigation.\nThe immunological impact of PDE10 inhibition has remained largely unexplored. It is reasonable to speculate that PDE10 inhibitors mirror PDE5 inhibitors in exerting immunomodulatory effects because their mechanisms of action overlap in terms of activation of cGMP/PKG signaling and suppression of β-catenin transcriptional activity. It is worth noting, that some of the newly developed PDE10 inhibitors suppress oncogenic RAS signaling (Zhu et al, 2017b; Borneman et al, 2022), raising the possibility that they may improve tumor immunogenicity. Aberrant RAS activation occurs in about 20% of all malignancies, with high incidences found in pancreatic cancer (90%), colorectal cancer (50%), and lung cancer (30%; Bos, 1989). Oncogenic RAS signaling is known to promote immune suppression (Weijzen et al, 1999). It has been reported that KRAS mutations induce Treg cells (Zdanov et al, 2016; Cheng et al, 2019), upregulate PD-L1 in cancer cells (Sumimoto et al, 2016; Chen et al, 2017; Coelho et al, 2017), but downregulate MHC class I molecules (Atkins et al, 2004; El-Jawhari et al, 2014). In addition, RAS activation promotes tumor production of G-CSF and GM-CSF, which induce and expand MDSCs to facilitate tumor progression, metastasis, and immune suppression (Pylayeva-Gupta et al, 2012; Phan et al, 2013). With the advances in developing mutant-specific inhibitors targeting KRAS G12C (Ostrem et al, 2013), RAS is no longer considered an undruggable target (Molina-Arcas et al, 2021). It is reassuring that in preclinical studies, many of these newly developed KRAS inhibitors significantly improved antitumor immunity by reducing MDSCs, enhancing antigen presentation and CD8+ T cell priming. These data validate RAS inhibition as a potent immune-potentiating strategy in addition to its direct tumoricidal effect (Canon et al, 2019; Briere et al, 2021; Mugarza et al, 2022; Zhang et al, 2022; Kemp et al, 2023). Likewise, the emergence of novel PDE10 inhibitors that are capable of suppressing oncogenic RAS and β-catenin activities have the potential to reverse an immunosuppressive TME, a feature that awaits to be exploited to drive durable therapeutic outcomes.\n\n\n### The role of PDEs in cells of the innate and adaptive immune systems\nCyclic nucleotide signaling in the regulation of immune response has been on the map for a long time. Previous publications described that cAMP plays a critical role as a second messenger (Rall and Sutherland, 1958; Sutherland and Rall, 1958) and has been shown to be a key regulator of the activation and function of cells of the innate (Schafer et al, 2014; Schafer et al, 2019) and adaptive immune system (Bourne et al, 1974; Wang et al, 1978; Amarandi et al, 2016). Numerous anti-inflammatory drugs successfully target molecules of the cAMP signaling pathway including several FDA-approved medications (Rabe, 2011; Schett et al, 2010; Tenor et al, 2011; De Souza et al, 2012; Milara et al, 2012; Wittmann and Helliwell, 2013; Victoni et al, 2014; Schafer et al, 2014; Dong et al, 2016; Jarnagin et al, 2016; Sriram and Insel, 2018; Blokland et al, 2019; Baillie et al, 2019b; Schafer et al, 2019). As described in section General Introduction, cAMP is degraded by cyclic nucleotide PDEs (Lerner and Epstein, 2006; Conti and Beavo, 2007), which constitute a group of enzymes known to hydrolyze cAMP and cGMP and, hence, maintain spatial and temporal control over its activity. Cells of the innate and adaptive immune system play a critical role in inflammation and its modulation (Medzhitov, 2021; Meizlish et al, 2021). Function and regulation of different subpopulations of T cells, B cells, and natural killer (NK) cells, as well as myeloid cells, such as neutrophils, monocytes, macrophages, and DCs involve activation of the cAMP pathway. Additionally, interactions between leukocytes and endothelial cells are critical during the formation of inflammatory lesions and can be regulated by cAMP/cGMP signaling. As a general rule, cAMP levels in cells of both the innate and adaptive immune systems are correlated with their inflammatory activities (Bourne et al, 1974; Wang et al, 1978; Mosenden and Tasken, 2011; Vang et al, 2013; Schafer et al, 2014; Rueda et al, 2016; Schafer et al, 2019). Although PDEs have been recognized as potential drug targets for anti-inflammatory drugs, developing specific PDE inhibitors has faced challenges, primarily due to side effects; nevertheless, progress has been made with the approval and clinical use of selected PDE4 inhibitors for treating major inflammatory diseases (vide supra). This chapter will discuss the role of PDEs in cells of the innate and adaptive immune system (Table 3).Table 3Summary of PDE isoform expression and function in immune cellsImmune Cell SubpopulationPDE Gene ExpressionPDE Protein Expression /ActivityPDE Activity and MethodsResultsDendritic cellsPDE1, PDE3 membrane bound, PDE4, PDE7PDE isoenzyme activityPro-inflammatory cytokine productionPDE4bPDE4BPDE isoenzyme activityDC mediated Th2-dependent immunopathologyPDE4 inhibitor studiesPDE4B gene knockout studiesSelective suppression of Th2 polarization of T cell subpopulations in vivoGranulocytesPDE4 inhibitor studiesIn vitro suppression of neutrophil functionssuppression of chemotaxis, inflammation, neutrophil and eosinophil infiltration in vivoPDE4A, DPDE4A, DPDE4A and D expression studiesBasophilsNK cellsPDE3 and 4PDE3 and 4 inhibitor studiesPDE4 inhibitor studiesSuppression of TNF-α productionSuppression of IFN-γ productionIBMX sensitive PDEsBroad PDE inhibitor studiesMonocytes and macrophagesPDE1PDE isoenzyme activity, inhibitor studiesPDE3Suppression of TNF-release through PDE4 ±PDE3 inhibitionPDE4MacrophagesPde4 deficient micePde4 deficient mice globalSuppression of cytokine productionProtection from LPS-induced shockPDE8APDE8APromotion of susceptibility to HIV-1 infectionPDE10AInhibition of PDE10, PDE10A deficient miceAltered cytokine and chemokine productionMicrogliaPDE1Inhibition of PDE1 activitySuppression of cytokine expression,Inhibition of cytokine release, suppression of cytokine gene expression, suppression of motilityCD4+ T cellsPDE1PDE1PDE1 activityUpregulation under mitogen stimulationPDE2PDE2PDE2 expression and activityExpressed in mouse T cells but not human T cellsPDE2APDE2 facilitates T cell activationMouse T cell activationPDE3PDE3, PDE3BMembrane bound PDE3B activity,Foxp3 repression of PDE3B in Treg cellsPde3bPde3b deficient miceReduced PDE3B expression permits normal Treg cell homoeostasis and Treg cell-specific gene expressionPDE4APDE activity and inhibitionT cell activation and functionsPde4bPDE4BPDE activity and inhibition, PDE4B deficient miceT cell activation and functions, Th subset polarizationPDE4DPDE activity and inhibitionT cell activation and functionsPDE4PDE activity, binding, overexpression and inhibitionModulation of signal transduction through the T cell receptorRegulation of full T cell activationPDE7PDE7Expression and anti-sense inhibition studiesUpregulation of PDE8A1 after polyclonal T cell activationPDE7A1, A3PDE7A1, A3Mitogen-activated splenocytes, anti-CD3 activated CD4+ T cells, antigen exposed naïve and memory CD4+ T cellsPDE8A1PDE8A1Induction of PDE8A expression in response to stimulus, PDE8 inhibitionUpregulation of PDE8A1 after polyclonal T cell activationPde8aPDE8AInduction of PDE8A expression in response to stimulus, PDE8 inhibition via enzymatic inhibitor and peptide disruptor, in vivo suppression of EAEInduction of PDE8A expression in response to stimulus, Association of PDE8A expression and accumulation of sensitized T cells in draining lymph node of in an animal model of allergic airway disease AADCD4+ effector Teff cellsPDE8APDE8APDE expressionPDE8A inhibition by enzymatic inhibitor or a PDE8A-Raf-1 kinaseCD4+ regulatory Treg cellsPde1a, Pde1bPDE1A, BPde2aPDE2AHigh cAMP levels in T cellsPde 3bPDE3BPde 4bPDE4BPde5aPDE5APDE8APDE8AB cellsPDE4A, B, DPDE4A, B, DExpressionPDE7BPDE7BPDE7 inhibitionInduction of apoptosis through PDE7 inhibition\nSummary of PDE isoform expression and function in immune cells\n\n\n### Role of PDEs in specific immune cell types\nDendritic Cells. DCs are heterogeneous and are commonly classified into subtypes including plasmacytoid DC (pDC), myeloid or conventional DC1 (cDC1), and myeloid or conventional DC2 (cDC2), as well as tissue-specific DCs such as Langerhans cells (Collin and Bigley, 2018). Early studies indicated that during differentiation of DCs, PDE4 activity decreased, whereas activities of PDE1 and PDE3 increased. Of note, rolipram, at PDE4-selective concentrations, blocked LPS-induced TNFα release by ∼37%. In contrast, the PDE3 inhibitor, motapizone, only marginally influenced TNFα synthesis, but a synergistic inhibitory effect was noted in combination with rolipram (Gantner et al, 1999). In addition, the PDE4 inhibitor, roflumilast, has been shown to be a potent immunomodulator of DC cell function (Hatzelmann and Schudt, 2001). In mice, the cAMP-PKA-CREB signaling pathway orchestrates many functional aspects of cDC2s (Schafer et al, 2014; Lee et al, 2020). Notably, PDE4B is highly expressed in mouse DCs (Chinn et al, 2022). Using mice deficient in Gαs, PDE4B was shown to be a key regulator of cellular cAMP concentrations in DCs and played a role in DC-mediated T helper cell type 2 (Th2) dependent immunopathology (Jin et al, 2010; Chinn et al, 2022). PDE4 inhibition in DCs has also been shown to reduce their ability to induce T helper cell type 1 (Th1) cells from naive T cells in vitro, an effect that was largely attributed to an effect on PDE4A (Heystek et al, 2003).\nGranulocytes. The immunosuppressive effect of the PDE4 inhibitor, roflumilast, on a wide range of neutrophil functions in vivo and in vitro is well documented (Hatzelmann and Schudt, 2001; Wollin et al, 2005; Jones et al, 2005; Sanz et al, 2007; Cortijo Gimeno and Morcillo Sanchez, 2010; Hatzelmann et al, 2010; Nials et al, 2011; Koga et al, 2016; Tsai et al, 2023; Lin et al, 2023a; Chang et al, 2024). Several studies demonstrated that PDE4 inhibitors suppress oxidative stress and chemotaxis in neutrophils (Hatzelmann and Schudt, 2001; Jones et al, 2005; Wollin et al, 2005; Sanz et al, 2007; Cortijo Gimeno and Morcillo Sanchez, 2010; Hatzelmann et al, 2010; Nials et al, 2011; Koga et al, 2016; Tsai et al, 2023; Lin et al, 2023a; Chang et al, 2024). Additionally, PDE10A was shown to regulate neutrophil infiltration in a mouse model of lung inflammation (Hsu et al, 2021). PDE inhibitors (ciclamilast, piclamilast, IBMX) have also been shown to effectively suppress pulmonary eosinophilia in rodent models of allergic airway disease (Zheng et al, 2019; Lee et al, 2020).\nMonocyte differentiation. Changes in cyclic nucleotide levels have been shown to have a profound impact on the phenotypical differentiation of monocytes (Schudt et al, 1995; Gantner et al, 1997a; Hertz and Beavo, 2011; Tenor et al, 2011). Importantly, during in vitro differentiation of human blood-derived monocytes, the PDE profile undergoes significant remodeling, which parallels that in human alveolar macrophages (Schudt et al, 1995; Tenor et al, 1995a). Major changes in PDE1, PDE3, and PDE4 activities are seen, whereas PDE4 activity, the major PDE isotype of peripheral blood monocytes, rapidly declines under in vitro culture (Gantner et al, 1997a). Subsequent investigations have delineated the role and function of various PDEs in monocytes and macrophages, and those findings are described in more detail below.\nPDE1. Bender and colleagues reported the selective upregulation of PDE1B2 during monocyte-to-macrophage differentiation (Bender et al, 2005). Recently, an inhibitor of Ca2+/CaM-dependent PDE1 was shown to suppress LPS-induced expression of genes encoding proinflammatory cytokines and motility in rodent microglial cells (O'Brien et al, 2020; Zhou et al, 2023).\nPDE4. The expression and function of specific PDE4 isoforms in monocytes and macrophages are differentiation-dependent (Shepherd et al, 2004; Schafer et al, 2014). In gene knockout studies in mice, Conti and colleagues demonstrated, in vivo and ex vivo, the selective regulation of the LPS-Toll-like receptor signaling pathway in macrophages by Pde4b, but not Pde4a or Pde4d (Jin et al, 2005).\nPDE10. Recent reports indicate a role of PDE10A in lung inflammation mediated by macrophages. Treatment of murine macrophages with LPS in vitro induces a sustained expression of PDE10A, in contrast to a more transient induction of PDE4B. Similarly, LPS-induced cytokine and chemokine production were differentially affected by selective inhibition of PDE10 versus PDE4. These results were supported by in vivo experiments performed in Pde10a-deficient mice, or in mice treated with a PDE10 selective inhibitor (Hsu et al, 2021).\nNatural Killer Cells. As with other cells of the immune system, raising the levels of cAMP suppresses the activity of NK cells (Shepherd et al, 2004). Studies have focused on the regulation of NK cells by a broad variety of PDEs and selective isoforms including PDE3 and PDE4 (Whalen and Crews, 2000; Walker and Rotondo, 2004; Schafer et al, 2010; Chen and Yan, 2021). The PDE4 inhibitor, apremilast, has been shown to suppress the proinflammatory activity of most cells of the innate and adaptive immune system, including TNFα production by NK cells in a model of psoriasis (Schafer et al, 2010). Notably, PGE2-mediated NK cell suppression in a tumor environment can be reversed through external exposure to IL-15, which acts, in part, by upregulating the expression of PDE4A (Chen and Yan, 2021). Similarly, the broad-spectrum PDE inhibitor, IBMX, suppresses interferon (IFN) γ synthesis by NK cells (Walker and Rotondo, 2004).\nT cells. PDEs in human lymphocytes, particularly T cells, have proven to be very effective therapeutic targets for treating inflammation, with 3 PDE4-selective inhibitors now approved and in the clinic for the treatment of several diseases, including COPD, psoriasis, psoriatic arthritis, atopic dermatitis, and seborrheic dermatitis. There is evidence that PDEs other than PDE4 may also be effective therapeutic targets for treating certain inflammatory conditions, and in the following sections, we review what is known about PDEs that are expressed in T cells, and how they might be useful as targets for treating inflammation.\nPDE1. The Ca2+/CaM-dependent PDE1 gene family all hydrolyze cGMP with Kms in the low micromolar range but differ in their affinities for cAMP [1 μM, 7–24 μM and 50–100 μM for PDE1C, PDE1B, and PDE1A, respectively (Lerner and Epstein, 2006)]. Early analyses of quiescent human peripheral blood lymphocytes (HPBL) showed little or no expression of PDE1 (Epstein and Hachisu, 1984; Epstein et al, 1987; Tenor et al, 1995b; Giembycz, 1996). It was also shown in early studies that cAMP PDE activity was highly elevated in murine (Hait and Weiss, 1976) and human (Epstein et al, 1977) transformed lymphocytes associated with hematological malignancies, and PDE activity was greatly induced in HPBL following activation with mitogenic agents such as phytohemagglutinin (Epstein et al, 1980). Subsequently, PDE1 activity was shown to be expressed in a human B lymphoblastoid cell line (Epstein et al, 1987), and further analyses showed that PDE1B1 was present in both T and B lymphoblastoid cell lines and induced in HPBL following mitogenic activation (Jiang et al, 1996; Jiang et al, 1998; Kanda and Watanabe, 2001). The full open reading frame of the PDE1B1 cDNA was cloned from a human lymphoblastoid cell line and antisense oligodeoxynucleotides designed to inhibit the expression of PDE1B1-induced apoptosis in these cells (Jiang et al, 1996), but not in quiescent HPBL (Epstein, 1998).\nThe recent development of potent, selective inhibitors of PDE1 has now facilitated the testing of PDE1 as a therapeutic target for combating inflammation in a number of experimental systems. As noted in the section on monocytes and macrophages, the PDE1 inhibitors, lenrispodun (PDE1B IC50 = 58 pM; O'Brien et al, 2020), and compounds 4a and 5f (PDE1C IC50s = 2.5 nM and 4.5nM, respectively) discussed by Zhou and colleagues suppressed brain neuroinflammation by preventing microglia migration as well as blocking nuclear factor-κB-mediated release of inflammatory mediators and activation of the cAMP/CREB axis (Zhou et al, 2023). Lenrispodun also reduced inflammatory cytokine levels and ameliorated vascular function and inflammatory responses in an Ercc1Δ/− murine model of aging (Golshiri et al, 2021a). Naringenin, a polyphenolic flavonoid isolated from citrus fruit, was shown to bind to CaM and inhibit CaM-stimulated PDE1 activity; it also inhibited LPS-induced inflammatory cytokine release from the SK-OV-3 and K562 human cell lines, which were immortalized from patients with ovarian serous cystadenocarcinoma and chronic lymphocytic leukemia, respectively (Afshari et al, 2023). Early studies had shown that nimodipine, a 1,4-dihydropyridine calcium channel antagonist, was capable of directly inhibiting PDE1 at low micromolar concentrations (Epstein et al, 1982). Based on this observation, structural modifications of nimodipine were made that increased potency and selectivity for PDE1. One of those compounds, 2g, synthesized by the Wu laboratory (PDE1C IC50 = 10 nM), exhibited anti-inflammatory properties by reducing the expression of TGFβ and attenuating fibrosis in a bleomycin-induced lung fibrosis rat model (Huang et al, 2022). Another potent PDE1 inhibitor, a quinoline-2 (1H)-1 derivative, compound 10c (PDE1C IC50 = 15 nM), inhibited the LPS-induced release of inflammatory cytokines from the murine macrophage cell line RAW264.7 and exhibited appreciable clinical improvement in a dextran sodium sulfate-induced mouse model of inflammatory bowel disease (Zhang et al, 2023a,b). Hence, PDE1 may prove to be an effective target for treating inflammation.\nPDE2: Human T cells express little or no PDE2 (Tenor et al, 1995a; Giembycz, 1996). In contrast, in murine thymocytes, PDE2 represents as much as 80% of the total hydrolytic activity when activated by cGMP (Michie et al, 1996). A recent study investigated the expression of PDE2A and PDE3B in murine conventional (Tcon) and Treg cells at rest and after activation with anti-CD3/CD28 and cGMP-elevating natriuretic peptides on cAMP levels and on early activation markers, CD25 and CD69 (Kurelic et al, 2021). In that study, engagement of the T-cell receptor (TCR) led to the selective upregulation of PDE2A protein expression in Tcon cells, whereas no change in expression was detected in Treg cells. In contrast, TCR engagement significantly increased PDE3B levels in both resting and activated Tcon subsets but not in Treg cells. Thus, it seems that the elevation of cGMP led to an increase in cAMP levels in nonactivated Tcon cells, presumably through the inhibition of PDE3B (which would be more predominant in the non-activated state), and this led to a decrease in cAMP levels in activated Tcon cells, where PDE2A, the cGMP-activated PDE, is induced. When assessing if this cGMP/cAMP crosstalk following the activation of Tcon cells might have functional effects, it was found that cGMP elevation by atrial natriuretic peptide enhanced Tcon activation as indicated by enhanced expression of the early activation markers CD25 and CD69. Furthermore, this effect was blocked by a PDE2A selective inhibitor indicating that this was due to a cGMP-mediated reduction in cAMP levels secondarily to the activation of PDE2A. Hence, at least in mice, PDE2A may play a functional role in T cell activation.\nPDE3. An early investigation of PDE activity in HPBL supernatants identified a single, prominent form of cAMP PDE based on DEAE anion-exchange chromatography, isoelectric focusing and glycerol gradient analysis, enzymes kinetics, and inhibitor sensitivity (Epstein and Hachisu, 1984). Subsequently, a study of whole homogenates of purified human T lymphocytes showed 2 separable high-affinity cAMP PDEs on HPLC columns, with 1 peak characteristic of PDE4 being purely cytosolic, and the other peak characteristic of PDE3 localized exclusively in the particulate fraction (Robicsek et al, 1989; Robicsek et al, 1991). Other studies with purified human T cells confirmed the presence of PDE3 in the particulate fractions and showed PDE3 activity to be represented exclusively by PDE3B with no evidence of PDE3A (Tenor et al, 1995a; Ekholm et al, 1997; Giembycz, 1996; Sheth et al, 1997). In contrast to T cells, purified human B cells express no mRNA for PDE3B and only very marginal expression of PDE3A mRNA (Gantner et al, 1998). The expression of PDE3B in Treg cells is considerably reduced compared with that in Tcon cells, and it appears that the low catalytic activity of PDE3B is critical for the regulation of Treg cell-specific gene expression (Gavin et al, 2007). Functionally, PDE4 inhibitors suppressed PHA- and anti-CD3-induced proliferation of purified human CD4+ and CD8+ T-lymphocytes and the release of IL-2 and IFNγ, whereas inhibitors of PDE3 did not. However, although inactive by themselves, PDE3 inhibitors potentiated the inhibitory activity of PDE4 inhibitors on these processes (Giembycz, 1996). In a similar vein, inhibition of PDE3B augmented PDE4 inhibitor-induced apoptosis in a subset of patients with chronic lymphocytic leukemia who were resistant to PDE4 inhibition alone (Moon et al, 2002).\nPDE4. Early studies showed PDE4 to be the predominant isoenzyme in the cytosolic fraction of human lymphocytes (Epstein and Hachisu, 1984) with PDE4A, 4B, and 4D, but not 4C, contributing, presumably, to the overall hydrolytic activity (Giembycz, 1996; Gantner et al, 1997c; Jiang et al, 1998; Peter et al, 2007). PDE4 has long been known to play a key role in regulating T cell activation and functions (Michie et al, 1996; Sommer et al, 1997; Gantner et al, 1997b; Gantner et al, 1997c; Ekholm et al, 1997; Erdogan and Houslay, 1997; Barnette et al, 1998; Jin et al, 1998; Michie et al, 1998; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Kanda and Watanabe, 2001; Arp et al, 2003; Claveau et al, 2004; Asirvatham et al, 2004; Abrahamsen et al, 2004; Jimenez et al, 2004; Bjorgo and Tasken, 2006; Peter et al, 2007; Jin et al, 2010). A key mechanism appears to be the modulation of signal transduction through the TCR by signaling through PGE2 via EP2 and EP4 receptors, adenosine via A2a and A2b receptors that yield cAMP (Fig. 17). Activation of the TCR leads to cAMP production localized in lipid rafts, activation of PKA and, subsequently, the inhibition of the TCR signal through a PKa-Csk inhibitory pathway scaffolded by Ezrin-EBP50-PAG/Cbp anchoring complex (Abrahamsen et al, 2004; Bjorgo and Tasken, 2006; Wehbi and Tasken, 2016). However, engagement of the co-stimulatory receptor, CD28, leads to the recruitment of β-arrestin and PDE4 to lipid rafts and a decrease in the local cAMP pool and PKA activity (Fig. 18). PDE4 inhibitors downregulate the TCR signal by increasing the local cAMP concentration and PKA activity, which counteract the CD28-induced recruitment of PDE4. Thus, localized activities of cAMP, PKA, and PDE4 regulate the upstream TCR signal necessary for T cell activation and the subsequent initiation of effector functions (Schafer et al, 2014; Wehbi and Tasken, 2016). As for downstream effects of cAMP signaling, inhibition of PDE4 in CD4+ T cells by broad-spectrum and selective inhibitors leads to suppression of effector functions, including cell proliferation in response to TCR signals and costimulation, as well as cytokine production and cell motility (Ekholm et al, 1997; Sommer et al, 1997; Gantner et al, 1997c; Pette et al, 1999; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Jimenez et al, 2001). In a series of in vivo experiments using gene knockout mice, it was shown that cytokine production by Th2 cells is dependent on PDE4B expression, whereas Th1 cells were apparently unaffected (Jin et al, 2010).Fig. 17The cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.Fig. 18The opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nThe cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.\nThe opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nPDE7. PDE7, primarily PDE7A, is also expressed in human lymphocytes, albeit to a lesser extent than PDE3 and PDE4; PDE7A1 is primarily cytosolic, whereas PDE7A2 mainly associates with a particulate fraction (Bloom and Beavo, 1996; Giembycz, 1996; Bender and Beavo, 2006). Subsequent studies showed that PDE1B, PDE7A, and PDE8A were induced following the activation of human lymphocytes (Jiang et al, 1998; Glavas et al, 2001; Kanda and Watanabe, 2001). Moreover, a critical requirement of PDE7A induction for full T cell activation has been reported (Li et al, 1999; Guo et al, 2009). Although the potential of PDE7 as a therapeutic target to treat inflammation has been investigated in several laboratories, it still remains controversial (Szczypka, 2020; Zorn and Baillie, 2023). In this respect, an antisense oligonucleotides approach has implicated PDE7A in T lymphocyte activation (Li et al, 1999). In contrast, T cells from Pde7a-deficient mice were activated normally by anti-CD3/CD28 (Yang et al, 2003). Similarly, PDE7 inhibitors did not impair CD3/CD28-dependent activation of human CD4+ T-lymphocytes (Nueda et al, 2006). It has been suggested that PDE7 may be a target for treating inflammation in conjunction with inhibition of PDE4. Thus, the PDE7 inhibitor, BRL 50481, enhanced the inhibitory effect of rolipram on lymphocyte proliferation and cytokine release (Smith et al, 2004). Additionally, T-2585, a potent PDE4 inhibitor (IC50 = 0.013 nM), which also inhibits PDE7 with an IC50 = 1.7 μM, inhibited proliferation and cytokine release from T cells under conditions in which the highly selective PDE4 inhibitor, piclamilast, had no effect (Nakata et al, 2002). Similarly, the PDE inhibitor, ASB16165, which inhibits PDE7A with an IC50 = 15 nM and PDE4 with an IC50 = 2.1 μM, also inhibited anti-CD3/CD28-stimulated T cell proliferation and cytokine release (Kadoshima-Yamaoka et al, 2009c). Additionally, in an in vivo mouse model of smoke-induced lung inflammation, combined antisense inhibition of the expression of PDEs 4B, 4D, and 7A produced a much greater anti-inflammatory effect than the use of the PDE4-selective inhibitor, roflumilast, and alone (Fortin et al, 2009). Given that inhibition of PDE7 can often enhance the effects of a PDE4 inhibitor, medicinal chemistry efforts were initiated to produce compounds that can selectively and potently inhibit both of the cAMP PDEs, although, at the time of writing, a definitive role for PDE7 as a target for mitigating inflammation remains to be established (Huang et al, 2023).\nPDE8. Few PDEs are currently the targets of FDA-approved drugs, and there is a significant knowledge gap about the potential therapeutic role of other PDE isoforms particularly for the treatment of inflammatory diseases. The cAMP-specific PDEs, PDE8A, and PDE8B, have been the subject of numerous studies (Fisher et al, 1998; Hayashi et al, 1998; Soderling et al, 1998; Glavas et al, 2001; Kobayashi et al, 2003; Dong et al, 2006; Chen et al, 2009b; Dong et al, 2010; DeNinno et al, 2011; Tsai and Beavo, 2012; Maurice, 2013; Brown et al, 2013; Shimizu-Albergine et al, 2016; Vang et al, 2016; Johnstone et al, 2017; Basole et al, 2017; Kelly, 2018b; Dong et al, 2015). PDE8A and PDE8B are expressed widely across human tissues (Wang et al, 2008a) and have been implicated in testosterone and corticosteroid production (Tsai et al, 2010; Demirbas et al, 2013), myocyte contraction (Patrucco et al, 2010), lymphocyte adhesion and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017), memory and coordination (Tsai et al, 2012), human airway smooth muscle relaxation (Johnstone et al, 2017), immune protection against intracellular pathogens (Blanco et al, 2017), brain disorders associated with inflammation (Chimienti et al, 2019), and systemic lupus erythematosus (Orlowski et al, 2008). In addition, a recent study identified SNPs in the PDE8B locus that were associated with susceptibility to Sjögren’s Syndrome (Taylor et al, 2017).\nT cell activation induces PDE8A1 (Glavas et al, 2001), a splice variant that has an affinity for cAMP that is up to 100 times higher than PDE4 isoforms (Fisher et al, 1998; Soderling et al, 1998; Hayashi et al, 1998; Gamanuma et al, 2003; Bender and Beavo, 2006). This property of the PDE8 family suggests that they may regulate changes in baseline cAMP gradients around cell signaling complexes. The availability of PDE8 inhibitors and disruptors has greatly enhanced the ability of scientists to interrogate the function of PDE8 in vitro and in vivo. It has been shown that PDE8A regulates the motility of lymphocytes and breast cancer cells, including adhesion to endothelial cells under physiological shear stress and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017). These functional effects seem to be uniquely controlled by PDE8 and are distinct from PDE4-regulated outcomes (Vang et al, 2016). The therapeutic activity of biologicals and compounds interacting with molecular targets on pathogenic T cells has been demonstrated in vitro and in vivo (Yednock et al, 1992; Brocke et al, 1999; Steinman, 2005; Healy and Antel, 2016). Current observations reveal PDE8 to be one of those targets for blocking Teff cell motility and, potentially, inflammation (Dong et al, 2006; Vang et al, 2010; Dong et al, 2015; Vang et al, 2013; Vang et al, 2016; Basole et al, 2017). The possible role of PDE8 as an anti-inflammatory target has been examined in vivo. Thus, in experimental autoimmune encephalomyelitis (EAE) induced by immunization with a myelin oligodendrocyte glycoprotein peptide, a model of multiple sclerosis, the PDE8 inhibitor, PF 04957325, suppressed clinical signs of EAE, inflammatory lesion formation and accumulation of Th1 and Th17 effector T cells in the CNS (Brocke et al, 1999; Basole et al, 2022). Collectively, these data demonstrate the efficacy of pharmacologically targeting PDE8 as a treatment of autoimmune inflammation by reducing the inflammatory lesion load.\nPDE9. PDE9A1 and a novel splice variant, PDE9A5, have been detected in human T cells (Wang et al, 2003b). PDE9A5 was localized to the cytosolic, whereas PDE9A1 was expressed exclusively in the nucleus. The function of PDE9 in T cells and whether it has a regulatory role in controlling inflammation is unknown.\nRegulatory T Cells. It is well established that T-effector (Teff) cells and Treg cells express high and relatively low levels of PDEs, respectively. The low abundance of PDEs in Treg cells and high level of cAMP have been linked to the mechanism by which this T-cell subset suppresses the function of Teff cells through the direct cell-to-cell transfer of cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Mechanistically, the transcription factor, forkhead box P3 (Foxp3), expressed in Treg cells has been shown to selectively repress genes, including those encoding PDEs, leading to elevated levels of intracellular cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Remarkably, Treg cell subsets in mice show significantly lower expressions of Pde1a, Pde1b, Pde2a, Pde3b, Pde4b, Pde5a, Pde7a, and Pde8a compared with naive Teff cell subsets (Vang et al, 2013). Consistent with these findings, Foxp3 represses Pde3b and reducing Pde3b expression by genetic means permits normal Treg cell homeostasis and Treg cell-specific gene expression (Gavin et al, 2007). In contrast, Treg and Teff cells express comparable levels of Pde4b3, Pde4d, and Pde7a (Vang et al, 2013). It has also been reported that microRNA-mediated repression of Pde3b critically regulates peripheral immune tolerance (Anandagoda et al, 2019). Although the regulation of selected PDE isoforms including Pde8 through Foxp3 in Treg cells is well established, the exact role of PDE isoforms regulating Treg cell function remains to be elucidated.\nB cells. Studies conducted in the 1990s revealed that PDE3A, PDE4A, PDE4B, PDE4D, and PDE7A were the predominant isoenzymes in human-isolated CD4+ and CD8+ T lymphocytes (Tenor et al, 1995a; Giembycz, 1996). Human-isolated CD19+ B lymphocytes express a similar complement of PDE mRNA transcripts, but in contrast to T cells, PDE3 activity is marginal. Indeed, PDE3B was absent by PCR analysis, and only a weak signal for PDE3A mRNA was detected. No evidence for PDE1, PDE2, and PDE5 activity was found in these purified B cells (Gantner et al, 1998). It has been reported that the expression of PDE7B mRNA and protein in B-chronic lymphocytic leukemia (B-CLL) cells is 23-fold higher than in normal human B cells, and the most abundant PDE transcript expressed (Zhang et al, 2008b). Inasmuch as PDE7 inhibitors induce apoptosis of B-CLL cells, it has been suggested that PDE7B may be a therapeutic target for the treatment of CLL (Zhang et al, 2008b). The role of PDE7B as a therapeutic target for treating inflammation has not been reported.\n\n\n### Monocytes and macrophages\nMonocyte differentiation. Changes in cyclic nucleotide levels have been shown to have a profound impact on the phenotypical differentiation of monocytes (Schudt et al, 1995; Gantner et al, 1997a; Hertz and Beavo, 2011; Tenor et al, 2011). Importantly, during in vitro differentiation of human blood-derived monocytes, the PDE profile undergoes significant remodeling, which parallels that in human alveolar macrophages (Schudt et al, 1995; Tenor et al, 1995a). Major changes in PDE1, PDE3, and PDE4 activities are seen, whereas PDE4 activity, the major PDE isotype of peripheral blood monocytes, rapidly declines under in vitro culture (Gantner et al, 1997a). Subsequent investigations have delineated the role and function of various PDEs in monocytes and macrophages, and those findings are described in more detail below.\nPDE1. Bender and colleagues reported the selective upregulation of PDE1B2 during monocyte-to-macrophage differentiation (Bender et al, 2005). Recently, an inhibitor of Ca2+/CaM-dependent PDE1 was shown to suppress LPS-induced expression of genes encoding proinflammatory cytokines and motility in rodent microglial cells (O'Brien et al, 2020; Zhou et al, 2023).\nPDE4. The expression and function of specific PDE4 isoforms in monocytes and macrophages are differentiation-dependent (Shepherd et al, 2004; Schafer et al, 2014). In gene knockout studies in mice, Conti and colleagues demonstrated, in vivo and ex vivo, the selective regulation of the LPS-Toll-like receptor signaling pathway in macrophages by Pde4b, but not Pde4a or Pde4d (Jin et al, 2005).\nPDE10. Recent reports indicate a role of PDE10A in lung inflammation mediated by macrophages. Treatment of murine macrophages with LPS in vitro induces a sustained expression of PDE10A, in contrast to a more transient induction of PDE4B. Similarly, LPS-induced cytokine and chemokine production were differentially affected by selective inhibition of PDE10 versus PDE4. These results were supported by in vivo experiments performed in Pde10a-deficient mice, or in mice treated with a PDE10 selective inhibitor (Hsu et al, 2021).\nNatural Killer Cells. As with other cells of the immune system, raising the levels of cAMP suppresses the activity of NK cells (Shepherd et al, 2004). Studies have focused on the regulation of NK cells by a broad variety of PDEs and selective isoforms including PDE3 and PDE4 (Whalen and Crews, 2000; Walker and Rotondo, 2004; Schafer et al, 2010; Chen and Yan, 2021). The PDE4 inhibitor, apremilast, has been shown to suppress the proinflammatory activity of most cells of the innate and adaptive immune system, including TNFα production by NK cells in a model of psoriasis (Schafer et al, 2010). Notably, PGE2-mediated NK cell suppression in a tumor environment can be reversed through external exposure to IL-15, which acts, in part, by upregulating the expression of PDE4A (Chen and Yan, 2021). Similarly, the broad-spectrum PDE inhibitor, IBMX, suppresses interferon (IFN) γ synthesis by NK cells (Walker and Rotondo, 2004).\nT cells. PDEs in human lymphocytes, particularly T cells, have proven to be very effective therapeutic targets for treating inflammation, with 3 PDE4-selective inhibitors now approved and in the clinic for the treatment of several diseases, including COPD, psoriasis, psoriatic arthritis, atopic dermatitis, and seborrheic dermatitis. There is evidence that PDEs other than PDE4 may also be effective therapeutic targets for treating certain inflammatory conditions, and in the following sections, we review what is known about PDEs that are expressed in T cells, and how they might be useful as targets for treating inflammation.\nPDE1. The Ca2+/CaM-dependent PDE1 gene family all hydrolyze cGMP with Kms in the low micromolar range but differ in their affinities for cAMP [1 μM, 7–24 μM and 50–100 μM for PDE1C, PDE1B, and PDE1A, respectively (Lerner and Epstein, 2006)]. Early analyses of quiescent human peripheral blood lymphocytes (HPBL) showed little or no expression of PDE1 (Epstein and Hachisu, 1984; Epstein et al, 1987; Tenor et al, 1995b; Giembycz, 1996). It was also shown in early studies that cAMP PDE activity was highly elevated in murine (Hait and Weiss, 1976) and human (Epstein et al, 1977) transformed lymphocytes associated with hematological malignancies, and PDE activity was greatly induced in HPBL following activation with mitogenic agents such as phytohemagglutinin (Epstein et al, 1980). Subsequently, PDE1 activity was shown to be expressed in a human B lymphoblastoid cell line (Epstein et al, 1987), and further analyses showed that PDE1B1 was present in both T and B lymphoblastoid cell lines and induced in HPBL following mitogenic activation (Jiang et al, 1996; Jiang et al, 1998; Kanda and Watanabe, 2001). The full open reading frame of the PDE1B1 cDNA was cloned from a human lymphoblastoid cell line and antisense oligodeoxynucleotides designed to inhibit the expression of PDE1B1-induced apoptosis in these cells (Jiang et al, 1996), but not in quiescent HPBL (Epstein, 1998).\nThe recent development of potent, selective inhibitors of PDE1 has now facilitated the testing of PDE1 as a therapeutic target for combating inflammation in a number of experimental systems. As noted in the section on monocytes and macrophages, the PDE1 inhibitors, lenrispodun (PDE1B IC50 = 58 pM; O'Brien et al, 2020), and compounds 4a and 5f (PDE1C IC50s = 2.5 nM and 4.5nM, respectively) discussed by Zhou and colleagues suppressed brain neuroinflammation by preventing microglia migration as well as blocking nuclear factor-κB-mediated release of inflammatory mediators and activation of the cAMP/CREB axis (Zhou et al, 2023). Lenrispodun also reduced inflammatory cytokine levels and ameliorated vascular function and inflammatory responses in an Ercc1Δ/− murine model of aging (Golshiri et al, 2021a). Naringenin, a polyphenolic flavonoid isolated from citrus fruit, was shown to bind to CaM and inhibit CaM-stimulated PDE1 activity; it also inhibited LPS-induced inflammatory cytokine release from the SK-OV-3 and K562 human cell lines, which were immortalized from patients with ovarian serous cystadenocarcinoma and chronic lymphocytic leukemia, respectively (Afshari et al, 2023). Early studies had shown that nimodipine, a 1,4-dihydropyridine calcium channel antagonist, was capable of directly inhibiting PDE1 at low micromolar concentrations (Epstein et al, 1982). Based on this observation, structural modifications of nimodipine were made that increased potency and selectivity for PDE1. One of those compounds, 2g, synthesized by the Wu laboratory (PDE1C IC50 = 10 nM), exhibited anti-inflammatory properties by reducing the expression of TGFβ and attenuating fibrosis in a bleomycin-induced lung fibrosis rat model (Huang et al, 2022). Another potent PDE1 inhibitor, a quinoline-2 (1H)-1 derivative, compound 10c (PDE1C IC50 = 15 nM), inhibited the LPS-induced release of inflammatory cytokines from the murine macrophage cell line RAW264.7 and exhibited appreciable clinical improvement in a dextran sodium sulfate-induced mouse model of inflammatory bowel disease (Zhang et al, 2023a,b). Hence, PDE1 may prove to be an effective target for treating inflammation.\nPDE2: Human T cells express little or no PDE2 (Tenor et al, 1995a; Giembycz, 1996). In contrast, in murine thymocytes, PDE2 represents as much as 80% of the total hydrolytic activity when activated by cGMP (Michie et al, 1996). A recent study investigated the expression of PDE2A and PDE3B in murine conventional (Tcon) and Treg cells at rest and after activation with anti-CD3/CD28 and cGMP-elevating natriuretic peptides on cAMP levels and on early activation markers, CD25 and CD69 (Kurelic et al, 2021). In that study, engagement of the T-cell receptor (TCR) led to the selective upregulation of PDE2A protein expression in Tcon cells, whereas no change in expression was detected in Treg cells. In contrast, TCR engagement significantly increased PDE3B levels in both resting and activated Tcon subsets but not in Treg cells. Thus, it seems that the elevation of cGMP led to an increase in cAMP levels in nonactivated Tcon cells, presumably through the inhibition of PDE3B (which would be more predominant in the non-activated state), and this led to a decrease in cAMP levels in activated Tcon cells, where PDE2A, the cGMP-activated PDE, is induced. When assessing if this cGMP/cAMP crosstalk following the activation of Tcon cells might have functional effects, it was found that cGMP elevation by atrial natriuretic peptide enhanced Tcon activation as indicated by enhanced expression of the early activation markers CD25 and CD69. Furthermore, this effect was blocked by a PDE2A selective inhibitor indicating that this was due to a cGMP-mediated reduction in cAMP levels secondarily to the activation of PDE2A. Hence, at least in mice, PDE2A may play a functional role in T cell activation.\nPDE3. An early investigation of PDE activity in HPBL supernatants identified a single, prominent form of cAMP PDE based on DEAE anion-exchange chromatography, isoelectric focusing and glycerol gradient analysis, enzymes kinetics, and inhibitor sensitivity (Epstein and Hachisu, 1984). Subsequently, a study of whole homogenates of purified human T lymphocytes showed 2 separable high-affinity cAMP PDEs on HPLC columns, with 1 peak characteristic of PDE4 being purely cytosolic, and the other peak characteristic of PDE3 localized exclusively in the particulate fraction (Robicsek et al, 1989; Robicsek et al, 1991). Other studies with purified human T cells confirmed the presence of PDE3 in the particulate fractions and showed PDE3 activity to be represented exclusively by PDE3B with no evidence of PDE3A (Tenor et al, 1995a; Ekholm et al, 1997; Giembycz, 1996; Sheth et al, 1997). In contrast to T cells, purified human B cells express no mRNA for PDE3B and only very marginal expression of PDE3A mRNA (Gantner et al, 1998). The expression of PDE3B in Treg cells is considerably reduced compared with that in Tcon cells, and it appears that the low catalytic activity of PDE3B is critical for the regulation of Treg cell-specific gene expression (Gavin et al, 2007). Functionally, PDE4 inhibitors suppressed PHA- and anti-CD3-induced proliferation of purified human CD4+ and CD8+ T-lymphocytes and the release of IL-2 and IFNγ, whereas inhibitors of PDE3 did not. However, although inactive by themselves, PDE3 inhibitors potentiated the inhibitory activity of PDE4 inhibitors on these processes (Giembycz, 1996). In a similar vein, inhibition of PDE3B augmented PDE4 inhibitor-induced apoptosis in a subset of patients with chronic lymphocytic leukemia who were resistant to PDE4 inhibition alone (Moon et al, 2002).\nPDE4. Early studies showed PDE4 to be the predominant isoenzyme in the cytosolic fraction of human lymphocytes (Epstein and Hachisu, 1984) with PDE4A, 4B, and 4D, but not 4C, contributing, presumably, to the overall hydrolytic activity (Giembycz, 1996; Gantner et al, 1997c; Jiang et al, 1998; Peter et al, 2007). PDE4 has long been known to play a key role in regulating T cell activation and functions (Michie et al, 1996; Sommer et al, 1997; Gantner et al, 1997b; Gantner et al, 1997c; Ekholm et al, 1997; Erdogan and Houslay, 1997; Barnette et al, 1998; Jin et al, 1998; Michie et al, 1998; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Kanda and Watanabe, 2001; Arp et al, 2003; Claveau et al, 2004; Asirvatham et al, 2004; Abrahamsen et al, 2004; Jimenez et al, 2004; Bjorgo and Tasken, 2006; Peter et al, 2007; Jin et al, 2010). A key mechanism appears to be the modulation of signal transduction through the TCR by signaling through PGE2 via EP2 and EP4 receptors, adenosine via A2a and A2b receptors that yield cAMP (Fig. 17). Activation of the TCR leads to cAMP production localized in lipid rafts, activation of PKA and, subsequently, the inhibition of the TCR signal through a PKa-Csk inhibitory pathway scaffolded by Ezrin-EBP50-PAG/Cbp anchoring complex (Abrahamsen et al, 2004; Bjorgo and Tasken, 2006; Wehbi and Tasken, 2016). However, engagement of the co-stimulatory receptor, CD28, leads to the recruitment of β-arrestin and PDE4 to lipid rafts and a decrease in the local cAMP pool and PKA activity (Fig. 18). PDE4 inhibitors downregulate the TCR signal by increasing the local cAMP concentration and PKA activity, which counteract the CD28-induced recruitment of PDE4. Thus, localized activities of cAMP, PKA, and PDE4 regulate the upstream TCR signal necessary for T cell activation and the subsequent initiation of effector functions (Schafer et al, 2014; Wehbi and Tasken, 2016). As for downstream effects of cAMP signaling, inhibition of PDE4 in CD4+ T cells by broad-spectrum and selective inhibitors leads to suppression of effector functions, including cell proliferation in response to TCR signals and costimulation, as well as cytokine production and cell motility (Ekholm et al, 1997; Sommer et al, 1997; Gantner et al, 1997c; Pette et al, 1999; Bielekova et al, 2000; Hatzelmann and Schudt, 2001; Jimenez et al, 2001). In a series of in vivo experiments using gene knockout mice, it was shown that cytokine production by Th2 cells is dependent on PDE4B expression, whereas Th1 cells were apparently unaffected (Jin et al, 2010).Fig. 17The cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.Fig. 18The opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nThe cAMP-PKA-PDE pathway in T cells. An example of GPCR-mediated signaling through several receptors leading to activation of cAMP signaling in T cells. Here, ADO and PGE2 serve as ligands for their cognate GPCRs A2AR/A2BR and EP2/EP4, respectively, allowing the activation of AC, which then catalyzes the synthesis of cAMP from ATP. cAMP can bind to and activate the regulatory subunit of PKA, inducing the release of the active catalytic subunit, which enables dedicated pools of PKA anchored to several AKAPS to phosphorylate downstream proteins involved in immune regulation, including transcriptional programs. cAMP-specific PDEs, on the other hand, can hydrolyze cAMP to AMP in a feedback mechanism to attenuate the signal, thereby sculpting and compartmentalizing the cAMP pool. ADO and PGE2 receptor antagonism as well as PDE inhibition, are current strategies for drug development.\nThe opposing roles of PKA and PDE4 in proximal T cell signaling. Inhibition of T cell activation by cAMP is facilitated by a signaling complex in lipid rafts, consisting of PKA, Ezrin, EBP50, Cbp/PAG. This complex works as an immunoregulatory pathway, hindering TCR-induced T-cell activation. In T cells, TCR activation through G-protein coupling to AC generates cAMP (I), allowing PKA activation (II). The membrane-bound cytoskeleton linker protein Ezrin then acts as an AKAP and positions PKA to phosphorylate Csk (III) through the PKA-Ezrin-EBP50-Cbp/PAG-Csk complex, which in the absence of CD28 costimulation (IV), allows Csk to phosphorylate the Src family kinase Lck (V) at the C-terminal inhibitory site, hence, preventing full T cell activation (A). CD28 costimulation, however, increases TCR-induced signals by recruiting the PDE4/β-arrestin complex, resulting in cAMP degradation (IV), down-modulation of inhibitory signals, and facilitates full T cell activation (B).\nPDE7. PDE7, primarily PDE7A, is also expressed in human lymphocytes, albeit to a lesser extent than PDE3 and PDE4; PDE7A1 is primarily cytosolic, whereas PDE7A2 mainly associates with a particulate fraction (Bloom and Beavo, 1996; Giembycz, 1996; Bender and Beavo, 2006). Subsequent studies showed that PDE1B, PDE7A, and PDE8A were induced following the activation of human lymphocytes (Jiang et al, 1998; Glavas et al, 2001; Kanda and Watanabe, 2001). Moreover, a critical requirement of PDE7A induction for full T cell activation has been reported (Li et al, 1999; Guo et al, 2009). Although the potential of PDE7 as a therapeutic target to treat inflammation has been investigated in several laboratories, it still remains controversial (Szczypka, 2020; Zorn and Baillie, 2023). In this respect, an antisense oligonucleotides approach has implicated PDE7A in T lymphocyte activation (Li et al, 1999). In contrast, T cells from Pde7a-deficient mice were activated normally by anti-CD3/CD28 (Yang et al, 2003). Similarly, PDE7 inhibitors did not impair CD3/CD28-dependent activation of human CD4+ T-lymphocytes (Nueda et al, 2006). It has been suggested that PDE7 may be a target for treating inflammation in conjunction with inhibition of PDE4. Thus, the PDE7 inhibitor, BRL 50481, enhanced the inhibitory effect of rolipram on lymphocyte proliferation and cytokine release (Smith et al, 2004). Additionally, T-2585, a potent PDE4 inhibitor (IC50 = 0.013 nM), which also inhibits PDE7 with an IC50 = 1.7 μM, inhibited proliferation and cytokine release from T cells under conditions in which the highly selective PDE4 inhibitor, piclamilast, had no effect (Nakata et al, 2002). Similarly, the PDE inhibitor, ASB16165, which inhibits PDE7A with an IC50 = 15 nM and PDE4 with an IC50 = 2.1 μM, also inhibited anti-CD3/CD28-stimulated T cell proliferation and cytokine release (Kadoshima-Yamaoka et al, 2009c). Additionally, in an in vivo mouse model of smoke-induced lung inflammation, combined antisense inhibition of the expression of PDEs 4B, 4D, and 7A produced a much greater anti-inflammatory effect than the use of the PDE4-selective inhibitor, roflumilast, and alone (Fortin et al, 2009). Given that inhibition of PDE7 can often enhance the effects of a PDE4 inhibitor, medicinal chemistry efforts were initiated to produce compounds that can selectively and potently inhibit both of the cAMP PDEs, although, at the time of writing, a definitive role for PDE7 as a target for mitigating inflammation remains to be established (Huang et al, 2023).\nPDE8. Few PDEs are currently the targets of FDA-approved drugs, and there is a significant knowledge gap about the potential therapeutic role of other PDE isoforms particularly for the treatment of inflammatory diseases. The cAMP-specific PDEs, PDE8A, and PDE8B, have been the subject of numerous studies (Fisher et al, 1998; Hayashi et al, 1998; Soderling et al, 1998; Glavas et al, 2001; Kobayashi et al, 2003; Dong et al, 2006; Chen et al, 2009b; Dong et al, 2010; DeNinno et al, 2011; Tsai and Beavo, 2012; Maurice, 2013; Brown et al, 2013; Shimizu-Albergine et al, 2016; Vang et al, 2016; Johnstone et al, 2017; Basole et al, 2017; Kelly, 2018b; Dong et al, 2015). PDE8A and PDE8B are expressed widely across human tissues (Wang et al, 2008a) and have been implicated in testosterone and corticosteroid production (Tsai et al, 2010; Demirbas et al, 2013), myocyte contraction (Patrucco et al, 2010), lymphocyte adhesion and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017), memory and coordination (Tsai et al, 2012), human airway smooth muscle relaxation (Johnstone et al, 2017), immune protection against intracellular pathogens (Blanco et al, 2017), brain disorders associated with inflammation (Chimienti et al, 2019), and systemic lupus erythematosus (Orlowski et al, 2008). In addition, a recent study identified SNPs in the PDE8B locus that were associated with susceptibility to Sjögren’s Syndrome (Taylor et al, 2017).\nT cell activation induces PDE8A1 (Glavas et al, 2001), a splice variant that has an affinity for cAMP that is up to 100 times higher than PDE4 isoforms (Fisher et al, 1998; Soderling et al, 1998; Hayashi et al, 1998; Gamanuma et al, 2003; Bender and Beavo, 2006). This property of the PDE8 family suggests that they may regulate changes in baseline cAMP gradients around cell signaling complexes. The availability of PDE8 inhibitors and disruptors has greatly enhanced the ability of scientists to interrogate the function of PDE8 in vitro and in vivo. It has been shown that PDE8A regulates the motility of lymphocytes and breast cancer cells, including adhesion to endothelial cells under physiological shear stress and chemotaxis (Dong et al, 2006; Vang et al, 2010; Vang et al, 2013; Dong et al, 2015; Basole et al, 2017). These functional effects seem to be uniquely controlled by PDE8 and are distinct from PDE4-regulated outcomes (Vang et al, 2016). The therapeutic activity of biologicals and compounds interacting with molecular targets on pathogenic T cells has been demonstrated in vitro and in vivo (Yednock et al, 1992; Brocke et al, 1999; Steinman, 2005; Healy and Antel, 2016). Current observations reveal PDE8 to be one of those targets for blocking Teff cell motility and, potentially, inflammation (Dong et al, 2006; Vang et al, 2010; Dong et al, 2015; Vang et al, 2013; Vang et al, 2016; Basole et al, 2017). The possible role of PDE8 as an anti-inflammatory target has been examined in vivo. Thus, in experimental autoimmune encephalomyelitis (EAE) induced by immunization with a myelin oligodendrocyte glycoprotein peptide, a model of multiple sclerosis, the PDE8 inhibitor, PF 04957325, suppressed clinical signs of EAE, inflammatory lesion formation and accumulation of Th1 and Th17 effector T cells in the CNS (Brocke et al, 1999; Basole et al, 2022). Collectively, these data demonstrate the efficacy of pharmacologically targeting PDE8 as a treatment of autoimmune inflammation by reducing the inflammatory lesion load.\nPDE9. PDE9A1 and a novel splice variant, PDE9A5, have been detected in human T cells (Wang et al, 2003b). PDE9A5 was localized to the cytosolic, whereas PDE9A1 was expressed exclusively in the nucleus. The function of PDE9 in T cells and whether it has a regulatory role in controlling inflammation is unknown.\nRegulatory T Cells. It is well established that T-effector (Teff) cells and Treg cells express high and relatively low levels of PDEs, respectively. The low abundance of PDEs in Treg cells and high level of cAMP have been linked to the mechanism by which this T-cell subset suppresses the function of Teff cells through the direct cell-to-cell transfer of cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Mechanistically, the transcription factor, forkhead box P3 (Foxp3), expressed in Treg cells has been shown to selectively repress genes, including those encoding PDEs, leading to elevated levels of intracellular cAMP (Bopp et al, 2007; Bopp et al, 2009; Vaeth et al, 2011). Remarkably, Treg cell subsets in mice show significantly lower expressions of Pde1a, Pde1b, Pde2a, Pde3b, Pde4b, Pde5a, Pde7a, and Pde8a compared with naive Teff cell subsets (Vang et al, 2013). Consistent with these findings, Foxp3 represses Pde3b and reducing Pde3b expression by genetic means permits normal Treg cell homeostasis and Treg cell-specific gene expression (Gavin et al, 2007). In contrast, Treg and Teff cells express comparable levels of Pde4b3, Pde4d, and Pde7a (Vang et al, 2013). It has also been reported that microRNA-mediated repression of Pde3b critically regulates peripheral immune tolerance (Anandagoda et al, 2019). Although the regulation of selected PDE isoforms including Pde8 through Foxp3 in Treg cells is well established, the exact role of PDE isoforms regulating Treg cell function remains to be elucidated.\nB cells. Studies conducted in the 1990s revealed that PDE3A, PDE4A, PDE4B, PDE4D, and PDE7A were the predominant isoenzymes in human-isolated CD4+ and CD8+ T lymphocytes (Tenor et al, 1995a; Giembycz, 1996). Human-isolated CD19+ B lymphocytes express a similar complement of PDE mRNA transcripts, but in contrast to T cells, PDE3 activity is marginal. Indeed, PDE3B was absent by PCR analysis, and only a weak signal for PDE3A mRNA was detected. No evidence for PDE1, PDE2, and PDE5 activity was found in these purified B cells (Gantner et al, 1998). It has been reported that the expression of PDE7B mRNA and protein in B-chronic lymphocytic leukemia (B-CLL) cells is 23-fold higher than in normal human B cells, and the most abundant PDE transcript expressed (Zhang et al, 2008b). Inasmuch as PDE7 inhibitors induce apoptosis of B-CLL cells, it has been suggested that PDE7B may be a therapeutic target for the treatment of CLL (Zhang et al, 2008b). The role of PDE7B as a therapeutic target for treating inflammation has not been reported.\n\n\n### Chapter 3: General perspectives and future directions\nOver the last 50+ years (1972–date), it has become clear that cyclic nucleotide PDEs represent a large superfamily of enzymes that can be exploited to therapeutic advantage with selective inhibitors (Fig. 1). Many diseases of the internal organs and the immune system appear to be associated with aberrant cyclic nucleotide signaling or can be effectively treated with interventions that elevate either cAMP or cGMP. This has resulted in the approval by the FDA of 31 PDE inhibitors for the treatment of a variety of conditions that relate to cardiovascular, respiratory, and male sexual health. PDE inhibitors have also found their way to dermatological application, which has been reviewed elsewhere (Napolitano et al, 2018; Milakovic and Gooderham, 2021; Sidbury et al, 2023). Other inhibitors are undergoing preclinical evaluation or have entered clinical trials for the treatment of cancers, fibrosis, and several neurological disorders. Today, our extensive knowledge of the diversity and properties of the 11 PDE families suggests that therapeutic utility could be improved by developing allosteric PDE inhibitors or interventions that modify protein/protein interactions at specific PDE signalosomes of interest. Resonating throughout this entire review is the awareness that the specificity of nanodomain-level measurements and PDE subtype or isoform inhibition requires improvement. In addition, the development of specific PDE stimulators is an area of interest that needs to grow.\nPDE subtype-specific functions within the myocardial cell are a typical example of the importance of the development of more specific inhibitors and more precise measurement of nanodomain processes. The cellular mechanisms controlled by each PDE family or subtype unmistakenly point to the need to target specific PDE isoforms in circumscribed microdomains of myocardial cells, rather than using a pan-PDE approach to produce global changes in cyclic nucleotide concentrations. IN the background of this knowledge, the measurement of global tissue, circulating or excreted cyclic nucleotide concentrations seems to lose its meaningfulness. Even PDE isoform-selective modulators can be ineffective when the isoform is expressed in different cell types or compartments, particularly when those compartments serve opposing functions, for instance when it concerns the relocation of a PDE subtype or isoform as a consequence of the pathophysiological status of the cell (see sections Modulation of Cardiac Function by PDEs and Smooth Muscle Cells, Endothelial Cells, and PDEs). The biology of PDE1A, B, and C in smooth muscle cells can serve as a typical example.\nOn this ground, the search for more selective ways to inhibit and activate specific isoforms and spatially restricted pools of PDEs will continue. The lessons learned during the rapid evolution of PROTACS from proof-of-concept to clinical trials herald a new opportunity for PDE4 modulation (Li and Crews, 2022). Differential targeting of PROTACS to a subset of proteins with similar structures, or a subpopulation of a single target, can be achieved by leveraging small divergencies in protein conformations, oligomerization, cellular location, and activation state (Tao et al, 2022a). These advances are all germane to PDEs, whose structure between members of the same family can be similar and the cellular location of individual “pools” of single PDE isoforms influence the function of that “pool.” The event-driven pharmacology of PROTACs is also a good fit for PDE modulation as targeted degradation occurs at lower concentrations than conventional pharmaceuticals and is much less likely to induce side effects due to less reliance on high target occupancy (Li and Crews, 2022). The synergy between what is known about PDEs and PROTAC development has started to build and may be an important aspect of PDE pharmaceuticals in the future.\nIndependent of the chemical identity of the drug, beneficial effects might stem from isoform-specific PDE inhibition or activation (for example, by modifying PDE expression, targeting GAF domains or regulatory domains or by post-translational modifications) as well as alteration of PDE location (Baillie et al, 2019). The development of compartment-specific, PDE-isoenzyme-selective modulators (eg, by using cell-permeable peptide disrupters to displace the PDE isozyme from its signaling complex; Blair and Baillie, 2019) could help achieve this goal. In addition, the complex crosstalk between cAMP and cGMP intracellular signaling, and the presence of various PDE isoforms in different compartments, could require multidrug therapy to fine-tune the cyclic nucleotide level in specific subcellular compartments. For example, activating PDE4D near RYR2 or PDE4B or PDE2A near LTCCs while, at the same time, inhibiting PDE3A or PDE5 near phospholamban, could restore normal compartmentalization of cAMP and cGMP during hypertrophy and prevent the transition toward HF.\nAn alternative approach to enhancing PDE specificity involves the concept of driver mutations, particularly relevant in oncology. Having that said, one of the most important incentives to define driver mutations in cancer is that they are powerful predictors of response to therapeutic agents that target that mutation or its associated cellular actions. For example, somatic mutations in codon V600 of the BRAF proto-oncogene predict responsiveness to BRAF inhibitors in numerous human cancers, and mutations in each of EGFR, ALK, and ROS1 in lung cancer predict responsiveness to inhibitors specifically targeting the protein tyrosine kinases encoded by each of these genes. The impressive therapeutic responses to these drugs in these mutationally defined cancers provide strong support for the role of the associated driver mutations in pathobiology of these cancers. This concept provides impetus for the development of drugs targeting the PDE8B and/or PDE11A driver mutations in adrenal, testis, and other cAMP-signaling cancers. Because these are loss-of-function mutations, such therapeutics would need to activate residual PDE activity in these cancers, potentially by increasing expression of the non-mutated (wild-type) PDE8B or PDE11A allele present in the germline state, by augmenting the functions of other PDE families in these cells, or by lowering cAMP levels by other means, thereby compensating for the loss of PDE8 or PDE11 action. Although there are no commercially available drugs that augment the enzymatic action of these PDEs, there is a tool compound that allosterically stimulates PDE11A4 activity (Jager et al, 2012).\nFurther attempts to develop allosteric modulators for therapeutic implicate PDE4 (Baillie et al, 2019; Omar et al, 2019). One area of interest is in targeting PDE4D7 in prostate cancer (Fig. 19; Gretarsdottir et al, 2003; Wang et al, 2003a). Prostate cancer is characterized by its responsiveness to steroid hormones, such as dihydrotestosterone (Huggins and Hodges, 1941). These hormones are agonists at the androgen receptor, which is a ligand-dependent transcription factor that regulates the expression of numerous genes. The androgen receptor is phosphorylated and, thereby, activated by several kinases, including PKA (Nazareth and Weigel, 1996; Cox et al, 2000; Kvissel et al, 2007; Waldkirch et al, 2010; Merkle and Hoffmann, 2011; Desiniotis et al, 2010; Sarwar et al, 2014; Moen et al, 2017; Dagar et al, 2019). There is abundant evidence for active, adenylyl cyclase-cAMP signaling in prostate cancer cells. These include those driven by the β2-adrenoceptor and receptors for vasointestinal peptide and pituitary adenylate cyclase-activating peptide (Gutierrez-Canas et al, 2003; Zhang et al, 2011a; Flacke et al, 2013). Numerous PDE isoforms have been detected in normal and neoplastic prostate tissue (Uckert et al, 2001; Uckert et al, 2006) and prostatic smooth muscle cells (Kedia et al, 2012). However, in contrast to the extensive and growing list of pharmacologically targetable mutations in many human cancers, there has been no documentation to date of mutations in cAMP signaling in prostate cancer. Early reports of somatic mutations or SNPs in PDE4B, PDE6C, PDE7B, and PDE10A in prostate cancer (de Alexandre et al, 2015) have not been reproduced by other groups (Quigley et al, 2018; Wedge et al, 2018; Abida et al, 2019), and their significance as driver mutations has yet to be demonstrated. However, a number of studies have shown PDE4D7 is downregulated in late-stage, aggressive, androgen-independent prostate cancer (Henderson et al, 2014) and that loss of PDE4D7 promotes androgen-independence and alterations in DNA transcription, replication, and repair (Gulliver et al, 2023). Alterations in PDE4D7 mRNA and/or protein abundance in prostate cancer patient specimens may have prognostic value (Bottcher et al, 2015; Bottcher et al, 2016; Alves de Inda et al, 2018; van Strijp et al, 2018; van Strijp et al, 2019), and they have been proposed to represent novel biomarkers to help classify the risk of disease progression (Henderson et al, 2019; Gulliver et al, 2022). These observations have provided the impetus to develop therapies that specifically target PDE4D7 in prostate and possibly other cancers. Because major portions of PDE4D7 are also seen in other “long” PDE4D isoforms, including the regulatory/dimerization UCR1 and UCR2 domains, as well as the catalytic site (Fig. 19), such therapies would probably not target these regions of the protein but, instead, be directed to its unique N-terminus.Fig. 19mRNA and protein isoforms encoded by the human PDE4D gene. The PDE4D gene products are divided into “long” isoforms that contain UCR1, UCR2 and the catalytic region; “short” isoforms that lack UCR1, and “super-short” isoforms lacking UCR1 and a portion of UCR2. Also, the C-terminal region (COOH), common to all PDE4D isoforms but not present in PDE4A, PDE4B, or PDE4C isoforms. Dihydrotestosterone (DHT) act at the androgen receptor which is activated by phosphorylation by protein kinase A. PKA is further regulated by cAMP signaling pathway. Created with BioRender.com.\nmRNA and protein isoforms encoded by the human PDE4D gene. The PDE4D gene products are divided into “long” isoforms that contain UCR1, UCR2 and the catalytic region; “short” isoforms that lack UCR1, and “super-short” isoforms lacking UCR1 and a portion of UCR2. Also, the C-terminal region (COOH), common to all PDE4D isoforms but not present in PDE4A, PDE4B, or PDE4C isoforms. Dihydrotestosterone (DHT) act at the androgen receptor which is activated by phosphorylation by protein kinase A. PKA is further regulated by cAMP signaling pathway. Created with BioRender.com.\nThe importance of prioritizing PDE selectivity to enhance clinical effectiveness, while concurrently amplifying selectivity to minimize adverse drug reactions, constitutes a pivotal aspect in the developmental trajectory of PDEs. This narrative traces back to the inception of PDE research, marked by the serendipitous discovery of the beneficial effects of caffeine, epitomized by asthmatic Henry Hyde Slater’s experience in 1886. The field has expanded dramatically over the last 4 decades and moved on to form a vast, multidisciplinary research landscape that occupies a growing part of the pharmacopeia. The versatility and nanodomain functions of PDEs make one aware of the intricacy of cellular signaling, and of the possibility that hitherto we might only have scratched the surface of all the potential the research field offers for the improvement of pharmacotherapy.\nThe research also forces scientists to look over the edges of current technical possibilities and move to the magnification of increasingly smaller details, leading to the growth of drug development possibilities, not only through allosteric binding of PDEs but also through the modulation of binding partners or perhaps even the correction of gene expression that is affected by driver mutations. The increased importance of bringing more detail in the research also entails the question of what is the proper model for each isoform, per cell type, and even nanodomain. Are cell culture experiments representative or are even rodents or larger animals apt to predict which PDE is a drug target in humans? What about the emerging field of organoid research? These considerations will shape the success of drug discovery. It is expected that the list of possible clinical indications and compounds will be growing in the coming decades. In other words: PDE research will remain an exciting field to follow, from molecular biology all the way to the clinic.\n\n\n### Toward drug specificity\nPDE subtype-specific functions within the myocardial cell are a typical example of the importance of the development of more specific inhibitors and more precise measurement of nanodomain processes. The cellular mechanisms controlled by each PDE family or subtype unmistakenly point to the need to target specific PDE isoforms in circumscribed microdomains of myocardial cells, rather than using a pan-PDE approach to produce global changes in cyclic nucleotide concentrations. IN the background of this knowledge, the measurement of global tissue, circulating or excreted cyclic nucleotide concentrations seems to lose its meaningfulness. Even PDE isoform-selective modulators can be ineffective when the isoform is expressed in different cell types or compartments, particularly when those compartments serve opposing functions, for instance when it concerns the relocation of a PDE subtype or isoform as a consequence of the pathophysiological status of the cell (see sections Modulation of Cardiac Function by PDEs and Smooth Muscle Cells, Endothelial Cells, and PDEs). The biology of PDE1A, B, and C in smooth muscle cells can serve as a typical example.\nOn this ground, the search for more selective ways to inhibit and activate specific isoforms and spatially restricted pools of PDEs will continue. The lessons learned during the rapid evolution of PROTACS from proof-of-concept to clinical trials herald a new opportunity for PDE4 modulation (Li and Crews, 2022). Differential targeting of PROTACS to a subset of proteins with similar structures, or a subpopulation of a single target, can be achieved by leveraging small divergencies in protein conformations, oligomerization, cellular location, and activation state (Tao et al, 2022a). These advances are all germane to PDEs, whose structure between members of the same family can be similar and the cellular location of individual “pools” of single PDE isoforms influence the function of that “pool.” The event-driven pharmacology of PROTACs is also a good fit for PDE modulation as targeted degradation occurs at lower concentrations than conventional pharmaceuticals and is much less likely to induce side effects due to less reliance on high target occupancy (Li and Crews, 2022). The synergy between what is known about PDEs and PROTAC development has started to build and may be an important aspect of PDE pharmaceuticals in the future.\nIndependent of the chemical identity of the drug, beneficial effects might stem from isoform-specific PDE inhibition or activation (for example, by modifying PDE expression, targeting GAF domains or regulatory domains or by post-translational modifications) as well as alteration of PDE location (Baillie et al, 2019). The development of compartment-specific, PDE-isoenzyme-selective modulators (eg, by using cell-permeable peptide disrupters to displace the PDE isozyme from its signaling complex; Blair and Baillie, 2019) could help achieve this goal. In addition, the complex crosstalk between cAMP and cGMP intracellular signaling, and the presence of various PDE isoforms in different compartments, could require multidrug therapy to fine-tune the cyclic nucleotide level in specific subcellular compartments. For example, activating PDE4D near RYR2 or PDE4B or PDE2A near LTCCs while, at the same time, inhibiting PDE3A or PDE5 near phospholamban, could restore normal compartmentalization of cAMP and cGMP during hypertrophy and prevent the transition toward HF.\n\n\n### Targeting specific driver mutations\nAn alternative approach to enhancing PDE specificity involves the concept of driver mutations, particularly relevant in oncology. Having that said, one of the most important incentives to define driver mutations in cancer is that they are powerful predictors of response to therapeutic agents that target that mutation or its associated cellular actions. For example, somatic mutations in codon V600 of the BRAF proto-oncogene predict responsiveness to BRAF inhibitors in numerous human cancers, and mutations in each of EGFR, ALK, and ROS1 in lung cancer predict responsiveness to inhibitors specifically targeting the protein tyrosine kinases encoded by each of these genes. The impressive therapeutic responses to these drugs in these mutationally defined cancers provide strong support for the role of the associated driver mutations in pathobiology of these cancers. This concept provides impetus for the development of drugs targeting the PDE8B and/or PDE11A driver mutations in adrenal, testis, and other cAMP-signaling cancers. Because these are loss-of-function mutations, such therapeutics would need to activate residual PDE activity in these cancers, potentially by increasing expression of the non-mutated (wild-type) PDE8B or PDE11A allele present in the germline state, by augmenting the functions of other PDE families in these cells, or by lowering cAMP levels by other means, thereby compensating for the loss of PDE8 or PDE11 action. Although there are no commercially available drugs that augment the enzymatic action of these PDEs, there is a tool compound that allosterically stimulates PDE11A4 activity (Jager et al, 2012).\nFurther attempts to develop allosteric modulators for therapeutic implicate PDE4 (Baillie et al, 2019; Omar et al, 2019). One area of interest is in targeting PDE4D7 in prostate cancer (Fig. 19; Gretarsdottir et al, 2003; Wang et al, 2003a). Prostate cancer is characterized by its responsiveness to steroid hormones, such as dihydrotestosterone (Huggins and Hodges, 1941). These hormones are agonists at the androgen receptor, which is a ligand-dependent transcription factor that regulates the expression of numerous genes. The androgen receptor is phosphorylated and, thereby, activated by several kinases, including PKA (Nazareth and Weigel, 1996; Cox et al, 2000; Kvissel et al, 2007; Waldkirch et al, 2010; Merkle and Hoffmann, 2011; Desiniotis et al, 2010; Sarwar et al, 2014; Moen et al, 2017; Dagar et al, 2019). There is abundant evidence for active, adenylyl cyclase-cAMP signaling in prostate cancer cells. These include those driven by the β2-adrenoceptor and receptors for vasointestinal peptide and pituitary adenylate cyclase-activating peptide (Gutierrez-Canas et al, 2003; Zhang et al, 2011a; Flacke et al, 2013). Numerous PDE isoforms have been detected in normal and neoplastic prostate tissue (Uckert et al, 2001; Uckert et al, 2006) and prostatic smooth muscle cells (Kedia et al, 2012). However, in contrast to the extensive and growing list of pharmacologically targetable mutations in many human cancers, there has been no documentation to date of mutations in cAMP signaling in prostate cancer. Early reports of somatic mutations or SNPs in PDE4B, PDE6C, PDE7B, and PDE10A in prostate cancer (de Alexandre et al, 2015) have not been reproduced by other groups (Quigley et al, 2018; Wedge et al, 2018; Abida et al, 2019), and their significance as driver mutations has yet to be demonstrated. However, a number of studies have shown PDE4D7 is downregulated in late-stage, aggressive, androgen-independent prostate cancer (Henderson et al, 2014) and that loss of PDE4D7 promotes androgen-independence and alterations in DNA transcription, replication, and repair (Gulliver et al, 2023). Alterations in PDE4D7 mRNA and/or protein abundance in prostate cancer patient specimens may have prognostic value (Bottcher et al, 2015; Bottcher et al, 2016; Alves de Inda et al, 2018; van Strijp et al, 2018; van Strijp et al, 2019), and they have been proposed to represent novel biomarkers to help classify the risk of disease progression (Henderson et al, 2019; Gulliver et al, 2022). These observations have provided the impetus to develop therapies that specifically target PDE4D7 in prostate and possibly other cancers. Because major portions of PDE4D7 are also seen in other “long” PDE4D isoforms, including the regulatory/dimerization UCR1 and UCR2 domains, as well as the catalytic site (Fig. 19), such therapies would probably not target these regions of the protein but, instead, be directed to its unique N-terminus.Fig. 19mRNA and protein isoforms encoded by the human PDE4D gene. The PDE4D gene products are divided into “long” isoforms that contain UCR1, UCR2 and the catalytic region; “short” isoforms that lack UCR1, and “super-short” isoforms lacking UCR1 and a portion of UCR2. Also, the C-terminal region (COOH), common to all PDE4D isoforms but not present in PDE4A, PDE4B, or PDE4C isoforms. Dihydrotestosterone (DHT) act at the androgen receptor which is activated by phosphorylation by protein kinase A. PKA is further regulated by cAMP signaling pathway. Created with BioRender.com.\nmRNA and protein isoforms encoded by the human PDE4D gene. The PDE4D gene products are divided into “long” isoforms that contain UCR1, UCR2 and the catalytic region; “short” isoforms that lack UCR1, and “super-short” isoforms lacking UCR1 and a portion of UCR2. Also, the C-terminal region (COOH), common to all PDE4D isoforms but not present in PDE4A, PDE4B, or PDE4C isoforms. Dihydrotestosterone (DHT) act at the androgen receptor which is activated by phosphorylation by protein kinase A. PKA is further regulated by cAMP signaling pathway. Created with BioRender.com.\n\n\n### Conclusion\nThe importance of prioritizing PDE selectivity to enhance clinical effectiveness, while concurrently amplifying selectivity to minimize adverse drug reactions, constitutes a pivotal aspect in the developmental trajectory of PDEs. This narrative traces back to the inception of PDE research, marked by the serendipitous discovery of the beneficial effects of caffeine, epitomized by asthmatic Henry Hyde Slater’s experience in 1886. The field has expanded dramatically over the last 4 decades and moved on to form a vast, multidisciplinary research landscape that occupies a growing part of the pharmacopeia. The versatility and nanodomain functions of PDEs make one aware of the intricacy of cellular signaling, and of the possibility that hitherto we might only have scratched the surface of all the potential the research field offers for the improvement of pharmacotherapy.\nThe research also forces scientists to look over the edges of current technical possibilities and move to the magnification of increasingly smaller details, leading to the growth of drug development possibilities, not only through allosteric binding of PDEs but also through the modulation of binding partners or perhaps even the correction of gene expression that is affected by driver mutations. The increased importance of bringing more detail in the research also entails the question of what is the proper model for each isoform, per cell type, and even nanodomain. Are cell culture experiments representative or are even rodents or larger animals apt to predict which PDE is a drug target in humans? What about the emerging field of organoid research? These considerations will shape the success of drug discovery. It is expected that the list of possible clinical indications and compounds will be growing in the coming decades. In other words: PDE research will remain an exciting field to follow, from molecular biology all the way to the clinic.\n\n\n### Conflict of interest\nStefan Brocke is a member of the Scientific Advisory Board of MindImmune, Inc. David A. Kass is on the advisory board of Cardurion Pharmaceuticals that is testing PDE9 inhibitors in humans with heart failure. Gary A. Piazza and Adam B. Keeton are co-founders of ADT Pharmaceuticals, Inc. and consultants. Gretchen Snyder is a full-time employee of Intra-Cellular Therapies, Inc. and holds equity in the company. George S. Baillie is founder and scientific advisor of Disruptyx Therapeutics. Christian Hesslinger and Peter Nickolaus are employees of Boehringer Ingelheim Pharma GmbH & Co. KG, 88397 Biberach an der Riss, Germany. Anton J.M. Roks receives funding from Health-Holland/Erasmus MC/Intracellular Therapies TKI grant # EMCLSH23035 for research on PDE1 in vascular aging. All other authors declare no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC13098603", "title": "Physical and cognitive contributions to fatigue perception: The interplay between local muscle fatigue and sensory prediction error", "text": "# Physical and cognitive contributions to fatigue perception: The interplay between local muscle fatigue and sensory prediction error\n\n## Abstract\nFatigue perception during exercise arises from complex body-brain interactions, but integration of local muscle fatigue with sensory prediction errors remains unclear. Traditional cognitive frameworks overlook dynamic physiological contributions. This study examined how local muscle fatigue and prediction errors jointly shape fatigue perception across spatial-temporal domains. Two experiments used naturalistic running with physiological monitoring, inducing temporal and spatial prediction errors by manipulating performance feedback. Computational models quantified contributions of muscle fatigue, prediction errors, and their interactions. Results showed fatigue perception is driven by both muscle fatigue and prediction errors, with domain-specific interactions: temporal errors linearly amplified muscle fatigue’s impact, while spatial errors modulated it exponentially. These findings challenge purely cognitive models, demonstrating that fatigue perception emerges from domain-dependent integration of physiological signals and sensory discrepancies. The study provides a unified computational framework for body-brain interactions in fatigue, offering insights for personalized training and rehabilitation targeting both physical and cognitive fatigue pathways. •The study provides a computational framework for brain-body interaction in fatigue•Fatigue perception integrates sensory prediction errors and local muscle fatigue•Sensory prediction errors in different domains affect muscle fatigue differently•Temporal error effect is directional, and spatial error effect is non-directional The study provides a computational framework for brain-body interaction in fatigue Fatigue perception integrates sensory prediction errors and local muscle fatigue Sensory prediction errors in different domains affect muscle fatigue differently Temporal error effect is directional, and spatial error effect is non-directional Neuroscience; Behavioral neuroscience; Sensory neuroscience; Cognitive neuroscience\n\n## Full Text\n\n\n### Introduction\nProlonged exercise can induce fatigue, a comprehensive state involving subjective feeling of exhaustion and physical decline of local muscle strength or endurance,1,2 which would degrade exercise performance.3 Despite the subjective fatigue perception and physical muscle fatigue are accompanied, previous studies indicated that the two kinds of fatigue present a complex coupling with each other, which varied under specific tasks. For example, during low-load contractions task, right trapezius muscle presents a non-simultaneous changes with the subjective fatigue perception.4 Other studies indicated that some factors, like sensory feedback,5 pathological states6 and exercises,7 have differential impacts on fatigue perception and muscle fatigue, which suggested that potentially different mechanisms of the two kinds of fatigue. Understanding how fatigue perception arises and how it interacts with muscle fatigue would benefit determining principles of training dose and improving motor performance, given that fatigue perception limits endurance and performance of exercise.8 Previous studies especially focused on the cognitive domain and showed that fatigue perception associated with the error between motor prediction and output,5 reward,9 potential efforts being paid.10 Given the theoretical perspective on the body-brain interaction of fatigue perception,4 crucial questions, however, still remain on integrating bodily states and cognitive aspects to understand the temporal dynamics of fatigue perception. Firstly, does fatigue perception associate with muscle states or fatigue? And secondly, what is the computational mechanism of the association among sensory feedback, muscle fatigue and fatigue perception?\nPrevious studies and reviews have provided some insights into these questions. It was suggested that the subjective fatigue perception induced by prolonged exercise had a strong link with the sensory prediction error, i.e., the discrepancy between expectation and actual performance of motions, which increased the feelings of efforts.5,11,12 This has been thought to associate with the discrepancy between the efferent copy generated before action execution and the sensory feedback during actual action.13,14,15 However, theoretical accounts posit that other than the sensor prediction error in the cognitive domain, local muscle fatigue in the physical domain may also contribute to the dynamics of fatigue perception.16,17,18,19 Few studies have simultaneously assessed the sensory prediction error, fatigue perception and local muscle fatigue during prolonged exercises, despite being a cornerstone of understanding the interaction between cognitive and physical domains during fatigue.20,21 Thus, whether fatigue perception during prolonged exercise is associated with muscle fatigue, how sensor prediction error and muscle fatigue interact with each other and the computational processes underpinning the progress, is unknown.\nAlthough debatable, previous studies have provided cues on how local muscle fatigue and sensory prediction error may associate with fatigue perception. Performed time manipulation and measured the moment-by-moment fluctuations of electromyography (EMG) and fatigue perception. Their results suggested that the artificially introduced sensory prediction error in the temporal modality induced significant changes of fatigue perception,5 and the EMG of the flexor showed different median frequency across different delay time. Matta et al.22 indicated the sensory prediction error induced by time manipulation had a coupling with muscle fatigue, suggesting a potential interaction between sensory prediction error in the cognitive domain and muscle fatigue in the physical domain. However, the study of A. Steens et al.,6 which investigated the association among fatigue perception, maximum voluntary contraction force and force decline, showed that the fatigue perception only significantly related with muscle fatigue in multiple sclerosis patients, not in healthy controls. Despite the emphasis on including muscular fatigue, the association between fatigue perception and motor sensory changes of local muscles are largely unexplored.\nIn our study, we answer these questions by investigating the computational processes of how sensory prediction error in temporal or spatial modality and muscle fatigue associate with subjective fatigue perception. We designed a time/distance-based exercise paradigm (Figure 1) where participants performed treadmill running while receiving manipulated performance feedback with EMG and heart rate monitoring. The main experimental phase consisted of four running blocks per study: 5-min duration blocks for study 1(temporal modality) and 750-meter distance blocks for study 2 (spatial modality). Crucially, while all participants received standardized verbal updates about their “completed” time/distance (5 min or 750 m per block), their actual running performance was systematically manipulated across three experimental groups without their awareness. In the standard group, computer-generated verbal updates matched real performance metrics (every 5 min/750 m). In the advanced group, participants received updates before actually reaching target time or distance (sort randomly from [4.5 min, 4.0 min, 3.5 min, 3.0 min]/[675 m, 600 m, 525 m, 450 m]), while in the delayed group participants received them later than actually achieving time or distance (sort randomly from [5.5 min, 6.0 min, 6.5 min, 7.0 min]/[825 m, 900 m, 975 m, 1,050 m]). When each block finished, we collected participants’ fatigue and pleasure levels. Each participant was involved in three experimental groups. The order of the experiments was random, and there was a one-week interval between each experiment to ensure that the participants’ fatigue had completely recovered.Figure 1Experimental protocol(A) Diagram of the installation of wireless EMG sensors (the right rectus femoris and anterior tibialis), heart rate monitoring smart bracelet (the left wrist) and pressure sensors (the heel and first metatarsal bone of the left and right feet) for the experiment.(B) Calibration and training process for study 1 (temporal modality) and study 2 (spatial modality). In the calibration part, participants determined maximum running velocity (MRV) by increasing treadmill speed until instability for 30 s, setting the fatigue perception at that time as level 4. Main task speed was 70% MRV. Training phase involved treadmill familiarization and main task procedure explanation. A 10-min or 1,500-m training in each modality ensured they knew the procedure well. After each block, participants reported a fatigue/pleasure level; the final block included a perception question. (T represents time and D represents distance).(C) Trial structure in the main task. Participants in study 1/2 were verbally told each block was 300 s/750 m. Unlike training, actual time/distance varied across groups: standard groups received accurate info, advanced groups got pre-emptive verbal feedback, and delayed groups received it after achieving the target. After each block, participants also needed to report a fatigue/pleasure level; the final block included a question about perceived running time or distance.\nExperimental protocol\n(A) Diagram of the installation of wireless EMG sensors (the right rectus femoris and anterior tibialis), heart rate monitoring smart bracelet (the left wrist) and pressure sensors (the heel and first metatarsal bone of the left and right feet) for the experiment.\n(B) Calibration and training process for study 1 (temporal modality) and study 2 (spatial modality). In the calibration part, participants determined maximum running velocity (MRV) by increasing treadmill speed until instability for 30 s, setting the fatigue perception at that time as level 4. Main task speed was 70% MRV. Training phase involved treadmill familiarization and main task procedure explanation. A 10-min or 1,500-m training in each modality ensured they knew the procedure well. After each block, participants reported a fatigue/pleasure level; the final block included a perception question. (T represents time and D represents distance).\n(C) Trial structure in the main task. Participants in study 1/2 were verbally told each block was 300 s/750 m. Unlike training, actual time/distance varied across groups: standard groups received accurate info, advanced groups got pre-emptive verbal feedback, and delayed groups received it after achieving the target. After each block, participants also needed to report a fatigue/pleasure level; the final block included a question about perceived running time or distance.\nCompared with the experimental paradigms of previous studies that used grip strength, isometric or isokinetic contraction, we used running with self-determined speed as the test bed, which is closer to the natural scenario of daily exercise. We performed group-based experiments with different sensory prediction errors in both temporal and spatial modalities and assessed the temporal progression of muscle fatigue and fatigue perception. We investigated why groups with different sensory prediction errors presented similar levels of fatigue perception by associating with muscle fatigue. We further tested the computational processes of sensory prediction error, muscle fatigue and fatigue perception separately in temporal and spatial modalities by performing model comparison. We provided a computational framework that could explain the temporal progression of fatigue perception in different modalities, highlighting muscle fatigue in the physical domain can be coupled with sensory prediction error and directly linked to fatigue perception in the cognitive domain.\n\n\n### Results\nWe firstly tested whether the prolonged running induces changes of local muscle fatigue, fatigue perception and heart rate. We compared the median frequency of rectus femoris and tibialis anterior, heart rate and scales of fatigue perception before and after the whole session for each group (Figures 2 and 3). We found that the subjective fatigue perception levels in groups of two modalities all showed an increase after exercise and the average heart rate increased and the median frequency of EMG decreased, indicating that the setting of the exercise tasks effectively induced changes in the subjective fatigue state and the peripheral fatigue state.Figure 2Changes in physiological and psychological factors in temporal modality(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 29, p < 0.001, Cohen’s d = 2.65, 95%CI = [3.07, 4.00], advanced: DF = 29, p < 0.001, Cohen’s d = 3.47, 95%CI = [2.87, 3.50], delayed: DF = 29, p < 0.001, Cohen’s d = 2.24, 95%CI = [2.60, 3.53]).(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 299, p < 0.001, Cohen’s d = 1.19, 95%CI = [21.88, 26.50], advanced: DF = 288, p < 0.001, Cohen’s d = 0.53, 95%CI = [2.99, 4.68], delayed: DF = 299, p = 0.008, Cohen’s d = 0.15, 95%CI = [0.41, 2.63]).(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 292, p = 0.047, Cohen’s d = −0.12, 95%CI = [−5.39, −0.05], advanced: DF = 292, p < 0.001, Cohen’s d = −0.56, 95%CI = [−15.20, −10.00], delayed: DF = 292, p < 0.001, Cohen’s d = −0.35, 95%CI = [−7.88, −3.94]).(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 299, p < 0.001, Cohen’s d = −0.38, 95%CI = [−14.11, −7.68], advanced: DF = 292, p = 0.013, Cohen’s d = −0.15, 95%CI = [−3.28, −0.42], delayed: DF = 279, p < 0.001, Cohen’s d = −0.27, 95%CI = [−5.98, −2.37]).Figure 3Changes in physiological and psychological factors in spatial modality(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 26, p < 0.001, Cohen’s d = 1.11, 95%CI = [1.67, 3.37], advanced: DF = 26, p < 0.001, Cohen’s d = 1.67, 95%CI = [2.41, 3.74], delayed: DF = 26, p < 0.001, Cohen’s d = 1.04, 95%CI = [1.69, 3.52]).(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 231, p = 0.003, Cohen’s d = 0.19, 95%CI = [0.22, 1.11], advanced: DF = 269, p < 0.001, Cohen’s d = 0.36, 95%CI = [3.58, 7.16], delayed: DF = 269, p < 0.001, Cohen’s d = 0.31, 95%CI = [6.57, 14.76]).(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.02, 95%CI = [−24.155, −19.155], advanced: DF = 269, p < 0.001, Cohen’s d = −0.47, 95%CI = [−15.46, −9.19], delayed: DF = 269, p < 0.001, Cohen’s d = −0.34, 95%CI = [−10.95, −5.23]).(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.03, 95%CI = [−39.91, −31.63], advanced: DF = 269, p < 0.001, Cohen’s d = −0.76, 95%CI = [−32.84, −23.92], delayed: DF = 269, p < 0.001, Cohen’s d = −0.27, 95%CI = [−11.21, −4.29]).\nChanges in physiological and psychological factors in temporal modality\n(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 29, p < 0.001, Cohen’s d = 2.65, 95%CI = [3.07, 4.00], advanced: DF = 29, p < 0.001, Cohen’s d = 3.47, 95%CI = [2.87, 3.50], delayed: DF = 29, p < 0.001, Cohen’s d = 2.24, 95%CI = [2.60, 3.53]).\n(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 299, p < 0.001, Cohen’s d = 1.19, 95%CI = [21.88, 26.50], advanced: DF = 288, p < 0.001, Cohen’s d = 0.53, 95%CI = [2.99, 4.68], delayed: DF = 299, p = 0.008, Cohen’s d = 0.15, 95%CI = [0.41, 2.63]).\n(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 292, p = 0.047, Cohen’s d = −0.12, 95%CI = [−5.39, −0.05], advanced: DF = 292, p < 0.001, Cohen’s d = −0.56, 95%CI = [−15.20, −10.00], delayed: DF = 292, p < 0.001, Cohen’s d = −0.35, 95%CI = [−7.88, −3.94]).\n(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 299, p < 0.001, Cohen’s d = −0.38, 95%CI = [−14.11, −7.68], advanced: DF = 292, p = 0.013, Cohen’s d = −0.15, 95%CI = [−3.28, −0.42], delayed: DF = 279, p < 0.001, Cohen’s d = −0.27, 95%CI = [−5.98, −2.37]).\nChanges in physiological and psychological factors in spatial modality\n(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 26, p < 0.001, Cohen’s d = 1.11, 95%CI = [1.67, 3.37], advanced: DF = 26, p < 0.001, Cohen’s d = 1.67, 95%CI = [2.41, 3.74], delayed: DF = 26, p < 0.001, Cohen’s d = 1.04, 95%CI = [1.69, 3.52]).\n(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 231, p = 0.003, Cohen’s d = 0.19, 95%CI = [0.22, 1.11], advanced: DF = 269, p < 0.001, Cohen’s d = 0.36, 95%CI = [3.58, 7.16], delayed: DF = 269, p < 0.001, Cohen’s d = 0.31, 95%CI = [6.57, 14.76]).\n(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.02, 95%CI = [−24.155, −19.155], advanced: DF = 269, p < 0.001, Cohen’s d = −0.47, 95%CI = [−15.46, −9.19], delayed: DF = 269, p < 0.001, Cohen’s d = −0.34, 95%CI = [−10.95, −5.23]).\n(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.03, 95%CI = [−39.91, −31.63], advanced: DF = 269, p < 0.001, Cohen’s d = −0.76, 95%CI = [−32.84, −23.92], delayed: DF = 269, p < 0.001, Cohen’s d = −0.27, 95%CI = [−11.21, −4.29]).\nWe then examined whether the sensory prediction errors were successfully induced. To do so, we compared between the perceived exercise duration/distance and the actual exercise duration/distance of subjects in the three groups of two modalities (Figure 4). In the standard group, there was no significant difference between the perceived and actual states, indicating that in the experiment, the subjects could reasonably perceive the exercise process under the guidance of the prompt sound. In the advanced group, the perceived duration/distance was more delayed than the actual one. Conversely, the delayed group was just the opposite. This phenomenon demonstrates that we successfully induced different sensory prediction errors through the manipulation of spatiotemporal errors in different directions. We then evaluated whether the subjects identified each group by the perceived duration or distance. We compared the subjects’ perceived exercise process between groups. The results showed that the subjects did not notice the differences across the experimental conditions among different groups (Figure 4).Figure 4Results of comparing perceived processes among groups in spatiotemporal modality(A) Comparison of the perceived exercise duration and the actual duration in temporal modality. The horizontal reference lines represent the actual exercise duration of three groups during the inquiry, which are 1,080 s, 780 s, and 1,380 s, respectively. We compared the differences in perceived exercise duration and actual duration (red symbol, standard: DF = 29, p = 0.162, effect = −0.34, 95%CI = [−55.00, 6.03], advanced: DF = 29, p < 0.001, effect = −0.87, 95%CI = [257.00, 319.00], delayed: DF = 29, p < 0.001, effect = −0.87, 95%CI = [−379.00, −313.98]), and compared the differences between groups. (Black symbol, standard: DF = 58, p = 0.609, Cohen’s d = −0.14, 95%CI = [−59.00, 33.00], advanced: DF = 58, p = 0.390, Cohen’s d = 0.23, 95%CI = [−26.00, 69.00], delayed: DF = 58, p = 0.170, Cohen’s d = 0.37, 95%CI = [−13.00, 81.00]).(B) Comparison of perceived exercise duration among groups in spatial modality. (single sample test: standard: DF = 26, p = 0.194, effect = −0.30, 95%CI = [−153.70, 20.42], advanced: DF = 26, p < 0.001, effect = −0.87, 95%CI = [581.44, 753.70], delayed: DF = 26, p < 0.001, effect = −0.87, 95%CI = [−903.75, −768.52]; permutation test: standard: DF = 52, p = 0.770, Cohen’s d = −0.09, 95%CI = [−103.75, 144.44], advanced: DF = 52, p = 0.693, Cohen’s d = 0.11, 95%CI = [−87.04, 135.19], delayed: DF = 52, p = 0.973, Cohen’s d = 0.02, 95%CI = [−109.26, 116.67]).\nResults of comparing perceived processes among groups in spatiotemporal modality\n(A) Comparison of the perceived exercise duration and the actual duration in temporal modality. The horizontal reference lines represent the actual exercise duration of three groups during the inquiry, which are 1,080 s, 780 s, and 1,380 s, respectively. We compared the differences in perceived exercise duration and actual duration (red symbol, standard: DF = 29, p = 0.162, effect = −0.34, 95%CI = [−55.00, 6.03], advanced: DF = 29, p < 0.001, effect = −0.87, 95%CI = [257.00, 319.00], delayed: DF = 29, p < 0.001, effect = −0.87, 95%CI = [−379.00, −313.98]), and compared the differences between groups. (Black symbol, standard: DF = 58, p = 0.609, Cohen’s d = −0.14, 95%CI = [−59.00, 33.00], advanced: DF = 58, p = 0.390, Cohen’s d = 0.23, 95%CI = [−26.00, 69.00], delayed: DF = 58, p = 0.170, Cohen’s d = 0.37, 95%CI = [−13.00, 81.00]).\n(B) Comparison of perceived exercise duration among groups in spatial modality. (single sample test: standard: DF = 26, p = 0.194, effect = −0.30, 95%CI = [−153.70, 20.42], advanced: DF = 26, p < 0.001, effect = −0.87, 95%CI = [581.44, 753.70], delayed: DF = 26, p < 0.001, effect = −0.87, 95%CI = [−903.75, −768.52]; permutation test: standard: DF = 52, p = 0.770, Cohen’s d = −0.09, 95%CI = [−103.75, 144.44], advanced: DF = 52, p = 0.693, Cohen’s d = 0.11, 95%CI = [−87.04, 135.19], delayed: DF = 52, p = 0.973, Cohen’s d = 0.02, 95%CI = [−109.26, 116.67]).\nTo eliminate the effect of pleasure derived from running on the experimental results, we compared the changes in the subjects’ pleasure levels before and after exercise, there were no significant differences in the pleasure perception levels (Figure 5), indicating that the experimental paradigm did not cause changes in the pleasure perception levels.Figure 5Results of comparing the subjective pleasure level between pre- and post-task in spatiotemporal modality(A) Comparison of the changes of pleasure level in temporal modality. (Standard: DF = 29, p = 0.374, Cohen’s d = −0.18, 95%CI = [−0.97, 0.33], advanced: DF = 29, p = 0.329, Cohen’s d = −0.20, 95%CI = [−1.03, 0.27], delayed: DF = 29, p = 1.000, Cohen’s d = −0.03, 95%CI = [−0.50, 0.43]).(B) Comparison of the changes of pleasure level in spatial modality. (Standard: DF = 26, p = 0.099, Cohen’s d = −0.36, 95%CI = [−0.82, 0.00], advanced: DF = 26, p = 0.175, Cohen’s d = −0.29, 95%CI = [−0.93, 0.07], delayed: DF = 26, p = 1.000, Cohen’s d = −0.02, 95%CI = [−0.85, 0.74]).\nResults of comparing the subjective pleasure level between pre- and post-task in spatiotemporal modality\n(A) Comparison of the changes of pleasure level in temporal modality. (Standard: DF = 29, p = 0.374, Cohen’s d = −0.18, 95%CI = [−0.97, 0.33], advanced: DF = 29, p = 0.329, Cohen’s d = −0.20, 95%CI = [−1.03, 0.27], delayed: DF = 29, p = 1.000, Cohen’s d = −0.03, 95%CI = [−0.50, 0.43]).\n(B) Comparison of the changes of pleasure level in spatial modality. (Standard: DF = 26, p = 0.099, Cohen’s d = −0.36, 95%CI = [−0.82, 0.00], advanced: DF = 26, p = 0.175, Cohen’s d = −0.29, 95%CI = [−0.93, 0.07], delayed: DF = 26, p = 1.000, Cohen’s d = −0.02, 95%CI = [−0.85, 0.74]).\nWe compared the change of fatigue perception levels across the standard, advanced and delayed groups for temporal and spatial modalities, respectively. We found there was no significance between each pair of the three groups (Figures 6A and 6D), which violates previous theory on subjective fatigue23 and previous results within temporal modality.5 We then asked why there is no significant difference. We found there is significant difference for the change of both heart rate and median frequency of the two muscles across the three groups (Figures 6B, 6C, 6E, and 6F), and the fairly difference sensory prediction errors among the groups induced by experimental setup. Specifically, we asked whether this result was due to the interacted contributions between sensory prediction error and muscle fatigue, or the fact that the sensory prediction errors were too small to induce significant difference, or the influence of confounding factors.Figure 6Comparison of the ranges of changes in physiological and psychological factors among groups in two studies(A) Comparison of the changes of perceived fatigue level in temporal modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−0.14, 1.00], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−0.17, 1.21], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−0.45, 0.66]).(B) Comparison of the changes of heart rate in temporal modality. (Standard vs. advanced: DF = 585, p < 0.001, Cohen’s d = 0.36, 95%CI = [18.04, 22.69], standard vs. delayed: DF = 596, p < 0.001, Cohen’s d = 0.39, 95%CI = [20.41, 25.18], advanced vs. delayed: DF = 585, p = 0.001, Cohen’s d = 0.09, 95%CI = [0.95, 3.74]).(C) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 582, p < 0.001, Cohen’s d = 0.43, 95%CI = [6.23, 13.77], standard vs. delayed: DF = 580, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.28, 6.81], advanced vs. delayed: DF = 580, p < 0.001, Cohen’s d = −0.33, 95%CI = [−9.82, −3.14], Tibialis Anterior: standard vs. advanced: DF = 589, p < 0.001, Cohen’s d = −0.41, 95%CI = [−12.31, −5.39], standard vs. delayed: DF = 576, p = 0.001, Cohen’s d = −0.28, 95%CI = [−10.32, −2.89], advanced vs. delayed: DF = 569, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.01, 4.58]).(D) Comparison of the changes of perceived fatigue level in spatial modality. (Standard vs. advanced: DF = 498, p < 0.001, Cohen’s d = −0.43, 95%CI = [−1.96, 0.19], standard vs. delayed: DF = 498, p < 0.001, Cohen’s d = −0.40, 95%CI = [−1.40, 1.14], advanced vs. delayed: DF = 536, p = 0.018, Cohen’s d = −0.20, 95%CI = [−0.40, 1.89]).(E) Comparison of the changes of heart rate in spatial modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−6.58, −2.89], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−14.16, −6.05], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−9.82, −1.07]).(F) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 535, p < 0.001, Cohen’s d = −0.39, 95%CI = [−13.04, −5.15], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.60, 95%CI = [−17.44, −9.74], advanced vs. delayed: DF = 535, p = 0.042, Cohen’s d = −0.18, 95%CI = [−9.04, −0.42], Tibialis Anterior: standard vs. advanced: DF = 536, p = 0.013, Cohen’s d = −0.21, 95%CI = [−14.15, −1.30], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.88, 95%CI = [−33.21, −22.49], advanced vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.61, 95%CI = [−26.22, −14.58]).\nComparison of the ranges of changes in physiological and psychological factors among groups in two studies\n(A) Comparison of the changes of perceived fatigue level in temporal modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−0.14, 1.00], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−0.17, 1.21], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−0.45, 0.66]).\n(B) Comparison of the changes of heart rate in temporal modality. (Standard vs. advanced: DF = 585, p < 0.001, Cohen’s d = 0.36, 95%CI = [18.04, 22.69], standard vs. delayed: DF = 596, p < 0.001, Cohen’s d = 0.39, 95%CI = [20.41, 25.18], advanced vs. delayed: DF = 585, p = 0.001, Cohen’s d = 0.09, 95%CI = [0.95, 3.74]).\n(C) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 582, p < 0.001, Cohen’s d = 0.43, 95%CI = [6.23, 13.77], standard vs. delayed: DF = 580, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.28, 6.81], advanced vs. delayed: DF = 580, p < 0.001, Cohen’s d = −0.33, 95%CI = [−9.82, −3.14], Tibialis Anterior: standard vs. advanced: DF = 589, p < 0.001, Cohen’s d = −0.41, 95%CI = [−12.31, −5.39], standard vs. delayed: DF = 576, p = 0.001, Cohen’s d = −0.28, 95%CI = [−10.32, −2.89], advanced vs. delayed: DF = 569, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.01, 4.58]).\n(D) Comparison of the changes of perceived fatigue level in spatial modality. (Standard vs. advanced: DF = 498, p < 0.001, Cohen’s d = −0.43, 95%CI = [−1.96, 0.19], standard vs. delayed: DF = 498, p < 0.001, Cohen’s d = −0.40, 95%CI = [−1.40, 1.14], advanced vs. delayed: DF = 536, p = 0.018, Cohen’s d = −0.20, 95%CI = [−0.40, 1.89]).\n(E) Comparison of the changes of heart rate in spatial modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−6.58, −2.89], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−14.16, −6.05], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−9.82, −1.07]).\n(F) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 535, p < 0.001, Cohen’s d = −0.39, 95%CI = [−13.04, −5.15], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.60, 95%CI = [−17.44, −9.74], advanced vs. delayed: DF = 535, p = 0.042, Cohen’s d = −0.18, 95%CI = [−9.04, −0.42], Tibialis Anterior: standard vs. advanced: DF = 536, p = 0.013, Cohen’s d = −0.21, 95%CI = [−14.15, −1.30], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.88, 95%CI = [−33.21, −22.49], advanced vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.61, 95%CI = [−26.22, −14.58]).\nWe tested whether the non-significant difference is because the sensory prediction errors we induced were too small. In this section, we used the first principal component of the median frequencies of the two muscles from PCA as the measurement of muscle fatigue in two studies. We first performed partial regression. Specifically, we regressed the increment of heart rate, median frequency of two muscles and subjective pleasure levels after minus before experiment of each subject against the increment of subjective fatigue perception, respectively for each of the three groups (multi-variable linear regression) of each modality. Then, we compared the residuals across the three groups of different modalities. As shown in Figure 7A, the residuals present difference among the three groups in both temporal and spatial modalities, suggesting that after regressing out the influence of other factors, the influence of the sensory prediction errors is significant. We further confirmed this by performing model comparison respectively in two modalities. Specifically, we performed three regressions: (1) regressing conditions (advanced group = 1, standard group = 2, delayed group = 3), the increment of heart rate, median frequency of two muscles and subjective pleasure levels after minus before experiment of each subject against the increment of subjective fatigue perception (model 1); (2) deleting conditions from model 1 (model 2); and (3) deleting the increment of heart rate from model 1 (model 3). Then, we compared the fitting performance of the three models by Akaike Information Criterion (AIC) and the Bayesian Information Criterion (BIC). As shown in Figure 7B, the fitting performance of model 1 is better than that of model 2, indicating that including conditions can account better for the subjective fatigue perception. The fitting performance of model 1 and 3 is similar, indicating that including the increment of heart rate or not does not harm the fitting results. Overall, the results suggested that the sensory prediction errors of different groups induced different variations of subjective fatigue perception.Figure 7Comparison results of the statistical regression analysis(A) Results of the residuals of the partial regression models among groups in the spatiotemporal modality. (Study1: standard vs. advanced: DF = 716, p = 0.004, Cohen’s d = 0.22, 95%CI = [1.57e−16, 8.04e−16], standard vs. delayed: DF = 716, p = 0.022, Cohen’s d = −0.17, 95%CI = [−2.59e−16, −1.85e−17], advanced vs. delayed: DF = 716, p < 0.001, Cohen’s d = −0.26, 95%CI = [−9.59e−16, −2.64e−16], study2: standard vs. advanced: DF = 602, p < 0.001, Cohen’s d = −0.27, 95%CI = [1.48e−16, 5.53e−16], standard vs. delayed: DF = 577, p = 0.035, Cohen’s d = −0.18, 95%CI = [−1.00e−16, −1.82e−18], advanced vs. delayed: DF = 581, p < 0.001, Cohen’s d = −0.31, 95%CI = [−6.20e−16, −2.02e−16]).(B) Results of the performance of regression models with different combinations of independent variables in the spatiotemporal modality. (Study1: model1 vs. model2: DF = 196, p = 0.008, Cohen’s d = −0.40, 95%CI = [−5.87, −0.89], model1 vs. model3: DF = 195, p = 0.172, Cohen’s d = 0.19, 95%CI = [−0.79, 5.02], model2 vs. model3: DF = 195, p < 0.001, Cohen’s d = 0.57, 95%CI = [2.86, 8.22], Study2: model1 vs. model2: DF = 196, p = 0.007, Cohen’s d = −0.37, 95%CI = [−5.77, −1.11], model1 vs. model3: DF = 196, p = 0.307, Cohen’s d = 0.14, 95%CI = [−1.33, 4.56], model2 vs. model3: DF = 196, p < 0.001, Cohen’s d = 0.51, 95%CI = [2.15, 7.7]).(C) Results of the regression coefficients of muscle fatigue level in spatiotemporal modality. (Study1: standard vs. advanced: DF = 481, p < 0.001, Cohen’s d = −4.01, 95%CI = [−2.32, −2.08], standard vs. delayed: DF = 580, p < 0.001, Cohen’s d = 4.53, 95%CI = [1.35, 1.45], advanced vs. delayed: DF = 485, p < 0.001, Cohen’s d = 6.18, 95%CI = [3.48, 3.73], study2: standard vs. advanced: DF = 558, p < 0.001, Cohen’s d = 0.92, 95%CI = [0.67, 0.95], standard vs. delayed: DF = 550, p < 0.001, Cohen’s d = 1.70, 95%CI = [1.07, 1.30], advanced vs. delayed: DF = 550, p < 0.001, Cohen’s d = 0.47, 95%CI = [0.24, 0.5]).\nComparison results of the statistical regression analysis\n(A) Results of the residuals of the partial regression models among groups in the spatiotemporal modality. (Study1: standard vs. advanced: DF = 716, p = 0.004, Cohen’s d = 0.22, 95%CI = [1.57e−16, 8.04e−16], standard vs. delayed: DF = 716, p = 0.022, Cohen’s d = −0.17, 95%CI = [−2.59e−16, −1.85e−17], advanced vs. delayed: DF = 716, p < 0.001, Cohen’s d = −0.26, 95%CI = [−9.59e−16, −2.64e−16], study2: standard vs. advanced: DF = 602, p < 0.001, Cohen’s d = −0.27, 95%CI = [1.48e−16, 5.53e−16], standard vs. delayed: DF = 577, p = 0.035, Cohen’s d = −0.18, 95%CI = [−1.00e−16, −1.82e−18], advanced vs. delayed: DF = 581, p < 0.001, Cohen’s d = −0.31, 95%CI = [−6.20e−16, −2.02e−16]).\n(B) Results of the performance of regression models with different combinations of independent variables in the spatiotemporal modality. (Study1: model1 vs. model2: DF = 196, p = 0.008, Cohen’s d = −0.40, 95%CI = [−5.87, −0.89], model1 vs. model3: DF = 195, p = 0.172, Cohen’s d = 0.19, 95%CI = [−0.79, 5.02], model2 vs. model3: DF = 195, p < 0.001, Cohen’s d = 0.57, 95%CI = [2.86, 8.22], Study2: model1 vs. model2: DF = 196, p = 0.007, Cohen’s d = −0.37, 95%CI = [−5.77, −1.11], model1 vs. model3: DF = 196, p = 0.307, Cohen’s d = 0.14, 95%CI = [−1.33, 4.56], model2 vs. model3: DF = 196, p < 0.001, Cohen’s d = 0.51, 95%CI = [2.15, 7.7]).\n(C) Results of the regression coefficients of muscle fatigue level in spatiotemporal modality. (Study1: standard vs. advanced: DF = 481, p < 0.001, Cohen’s d = −4.01, 95%CI = [−2.32, −2.08], standard vs. delayed: DF = 580, p < 0.001, Cohen’s d = 4.53, 95%CI = [1.35, 1.45], advanced vs. delayed: DF = 485, p < 0.001, Cohen’s d = 6.18, 95%CI = [3.48, 3.73], study2: standard vs. advanced: DF = 558, p < 0.001, Cohen’s d = 0.92, 95%CI = [0.67, 0.95], standard vs. delayed: DF = 550, p < 0.001, Cohen’s d = 1.70, 95%CI = [1.07, 1.30], advanced vs. delayed: DF = 550, p < 0.001, Cohen’s d = 0.47, 95%CI = [0.24, 0.5]).\nWe further asked whether the non-significantly different subjective fatigue perception across groups is associated with both sensory prediction errors and muscle fatigue. We regressed conditions, the increment of muscle fatigue, heart rate and subjective pleasure perception levels after minus before experiments, and the interactions among each of these items against the increment of subjective fatigue perception. As the result of study 1, we observed a significant main effect of experimental conditions (p = 0.039, estimate = −1.345), muscle fatigue change (p = 0.036, estimate = 1.903) and heart rate change (p = 0.048, estimate = 0.521) that was moderated by a two-way interaction between experimental conditions and muscle fatigue change (p = 0.023, estimate = −3.058). All remaining effects and interactions were not significant. The results demonstrated that the changes in the subjective fatigue perception were associated with the changes of muscle fatigue, heart rate, and experiment conditions, not related to the pleasure perception and its interactions with other variables.\nAs for study 2, we observed a significant main effect of pleasure × experimental conditions (p = 0.019, estimate = 0.740), experimental conditions × heart rate change (p = 0.002, estimate = −1.464) and muscle fatigue change × heart rate change (p = 0.018, estimate = 2.058). All remaining effects and interactions were not significant. The results indicated that the changes in subjective fatigue perception caused by exercises over a certain distance were related to the interaction between the sensory prediction error and the heart rate as well as the interaction between the change in muscle fatigue degree and the change in heart rate. However, there were no significant changes in the participants’ pleasure perception before and after the experiment, and pleasure alone as the main effect did not have a significant effect on subjective fatigue perception. The significance of the linear regression model might not represent a real strong relationship between the interaction of pleasure perception × the sensory prediction error and subjective fatigue perception. It might be the result of potential confounding factors between the two. Based on this observation, we considered removing pleasure perception in the subsequent computational models and focusing on the other variables that we were concerned about.\nWe then asked how the spatial/temporal sensory prediction errors would influence the association between muscle fatigue and subjective fatigue perception. We regressed the increment of muscle fatigue against the increment of subjective fatigue perception for each group. We performed bootstrapping method to compare the regression coefficients of muscle fatigue changes among the three groups of two studies respectively. As shown in Figure 7C, advanced and delayed groups of both modalities showed difference with the standard group for both modalities. And the interaction between the sensory prediction error and muscle fatigue is regardless of the direction of sensory prediction errors for both modalities.\nTaken together, consistent with our hypothesis, the sensory prediction error in the both modalities during exercise relates with fluctuations of subjective fatigue perception. Meanwhile, the fatigue of the main muscles exerting force locally is also involved in this process and has an interactive effect with sensory prediction error.\nWhen establishing the models, standardized data were used. After standardization, temporal errors (TEs) were not zero and could be regarded as a constant, but spatial errors (SEs) in the standard group were zero. Therefore, we did not use the hyperbolic form of SE to establish the spatial modality models. The AIC and BIC values for each model in each group can be found in supplemental information.\nModel group 1: the input of model group 1 is the sensory error introduced in the experiment, which is used to fit the fluctuations of subjective fatigue perception. In temporal modality, the model form with the best fitting effect is:SF=aTE2+b\nIn spatial modality, the model form with the best fitting effect is:SF=aSE2+b\nThe trend conforms to the predictive coding theory, that as sensory prediction error increases, the rate of change of subjective fatigue perception gradually increases and is independent of the direction of error.\nModel group 2: the input of model group 2 is the muscle fatigue characteristics collected in the experiment. In temporal modality, the model form with the best fitting effect isSF=a/MF+b\nIn spatial modality, the model form with the best fitting effect isSF=aMF2+b\nModel group 3: our experimental results also indicate that perceptual prediction errors and muscle fatigue are both related to subjective fatigue perception (Figure 6). We took the muscle fatigue and sensory prediction error as independent variables respectively. In temporal modality, the model form with the best fitting effect isSF=aMF2+bTE\nIn spatial modality, the model form with the best fitting effect isSF=aMF2+bSE2\nDifferent from temporal modality, the sensory prediction error does not have a directional effect.\nModel group 4: model group 4 added the interaction into model group 3. In temporal modality, the model form with the best fitting effect isSF=aTE·MF2+b/TE\nIn spatial modality, the model form with the best fitting effect isSF=aeSEMF2+bSE2\nIn the second term, the amplitude of the SF’s fluctuations is inversely proportional to the magnitude of TE, and the direction is related to the positive or negative value of TE. The impact of SE on the fluctuations of subjective fatigue perception still does not have a directional effect.\nModel group 5: in temporal modality, the model form with the best fitting effect isSF=aTE2eMF+bTE+cHR\nIn spatial modality, the model form with the best fitting effect isSF=a·eSEMF+bSE+c/HR\nTo find the optimal model among the above model groups, we compared the fitting performance across the best model within each model group. The results showed that the optimal model in model group 4 exhibited the best model performance (Figure 8) whether in the temporal modality or in the spatial modality. According to Occam’s razor principle, we can consider that the computational model form of model group 4 can best fit the process in which the artificially introduced sensory prediction error, muscle fatigue and their interaction associate with the subjective fatigue perception, which fits our analysis results in the second section of results and our hypotheses.Figure 8Comparison of the performance of the optimal models among different model groups in spatiotemporal modality(A) Results of temporal modality. (AIC: model1 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.45, 95%CI = [0.41, 6.11], model2 vs. model4: DF = 96, p = 0.020, Cohen’s d = 0.48, 95%CI = [0.62, 5.99], model3 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.44, 95%CI = [0.28, 4.87], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.69, 95%CI = [1.26, 4.52], BIC: model1 vs. model4: DF = 96, p = 0.027, Cohen’s d = 0.45, 95%CI = [0.56, 6.11], model2 vs. model4: DF = 96, p = 0.019, Cohen’s d = 0.48, 95%CI = [0.49, 5.90], model3 vs. model4: DF = 96, p = 0.032, Cohen’s d = 0.44, 95%CI = [0.15, 4.77], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.64, 95%CI = [5.08, 8.38]).(B) Results of spatial modality. Both study results indicate that model group4 performs the best. (AIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.14, 3.48], model2 vs. model4: DF = 96, p = 0.033, Cohen’s d = 0.44, 95%CI = [0.13, 4.33], model3 vs. model4: DF = 96, p = 0.042, Cohen’s d = 0.42, 95%CI = [0.15, 3.84], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.82, 95%CI = [2.05, 5.77], BIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.07, 3.70], model2 vs. model4: DF = 96, p = 0.028, Cohen’s d = 0.44, 95%CI = [0.42, 4.29], model3 vs. model4: DF = 96, p = 0.040, Cohen’s d = 0.42, 95%CI = [0.16, 3.78], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.61, 95%CI = [5.81, 9.60]).\nComparison of the performance of the optimal models among different model groups in spatiotemporal modality\n(A) Results of temporal modality. (AIC: model1 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.45, 95%CI = [0.41, 6.11], model2 vs. model4: DF = 96, p = 0.020, Cohen’s d = 0.48, 95%CI = [0.62, 5.99], model3 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.44, 95%CI = [0.28, 4.87], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.69, 95%CI = [1.26, 4.52], BIC: model1 vs. model4: DF = 96, p = 0.027, Cohen’s d = 0.45, 95%CI = [0.56, 6.11], model2 vs. model4: DF = 96, p = 0.019, Cohen’s d = 0.48, 95%CI = [0.49, 5.90], model3 vs. model4: DF = 96, p = 0.032, Cohen’s d = 0.44, 95%CI = [0.15, 4.77], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.64, 95%CI = [5.08, 8.38]).\n(B) Results of spatial modality. Both study results indicate that model group4 performs the best. (AIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.14, 3.48], model2 vs. model4: DF = 96, p = 0.033, Cohen’s d = 0.44, 95%CI = [0.13, 4.33], model3 vs. model4: DF = 96, p = 0.042, Cohen’s d = 0.42, 95%CI = [0.15, 3.84], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.82, 95%CI = [2.05, 5.77], BIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.07, 3.70], model2 vs. model4: DF = 96, p = 0.028, Cohen’s d = 0.44, 95%CI = [0.42, 4.29], model3 vs. model4: DF = 96, p = 0.040, Cohen’s d = 0.42, 95%CI = [0.16, 3.78], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.61, 95%CI = [5.81, 9.60]).\nIn the following, we answer the question whether there are common rules across different modalities. We performed the pooled analysis by putting the data of both modalities together into a regression model in which the experimental condition, the change value of the muscle fatigue state, the modality (temporal modality = 1, spatial modality = 2), and various interactions were used as independent variables to regress against the changes in subjective fatigue perception. The main effects of the experimental condition (p =0.048, estimate = −2.861) and the change value of the muscle fatigue state (p = 0.048, estimate = 0.085) were significant. We also found a significant interaction between the experimental condition and the changes of the muscle fatigue state (p = 0.005, estimate = −0.036). The remaining effect and interactions were not significant. This suggests that the relationship among subjective fatigue perception, muscle fatigue state and sensory prediction errors depends on whether the error was advanced or delayed in nature, which is common across modalities.\nWe calculated the average fatigue index (FI) 24 value for each participant in each block. And re-running our comparison and computational modeling pipeline with this metric yielded results that were fully consistent with our primary findings (Figure S1 in supplementary information1). The optimal model (model group 4) retained the best fit, and the modality-specific interaction patterns between sensory prediction error and muscle fatigue remained identical. This confirms that the identified computational mechanism of fatigue perception is robust to the specific electrophysiological representation of local muscle fatigue.\nFurthermore, to verify the sensory distortion that may be caused by muscle fatigue 25 and to explain the different interaction patterns of errors in the two modalities compared to muscle fatigue, we quantified sensory distortion as the absolute error between the participant’s subjective estimate of the total exercise duration/distance and the actual value. We then establish a regression model, with this distortion as the dependent variable, the FI as the independent variable, and the group (standard group = 1, advanced group = 2 and delayed group = 3) as the covariate. We found a positive relationship between muscle fatigue and sensory distortion in both modalities (temporal modality: estimate = 0.174, p = 0.010, spatial modality: estimate = 0.167, p = 0.027), indicating that participants with higher levels of muscle fatigue were significantly worse at accurately judging the duration/distance they had run.\n\n\n### Exercise significantly changed the psychological and physiological factors of the subjects\nWe firstly tested whether the prolonged running induces changes of local muscle fatigue, fatigue perception and heart rate. We compared the median frequency of rectus femoris and tibialis anterior, heart rate and scales of fatigue perception before and after the whole session for each group (Figures 2 and 3). We found that the subjective fatigue perception levels in groups of two modalities all showed an increase after exercise and the average heart rate increased and the median frequency of EMG decreased, indicating that the setting of the exercise tasks effectively induced changes in the subjective fatigue state and the peripheral fatigue state.Figure 2Changes in physiological and psychological factors in temporal modality(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 29, p < 0.001, Cohen’s d = 2.65, 95%CI = [3.07, 4.00], advanced: DF = 29, p < 0.001, Cohen’s d = 3.47, 95%CI = [2.87, 3.50], delayed: DF = 29, p < 0.001, Cohen’s d = 2.24, 95%CI = [2.60, 3.53]).(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 299, p < 0.001, Cohen’s d = 1.19, 95%CI = [21.88, 26.50], advanced: DF = 288, p < 0.001, Cohen’s d = 0.53, 95%CI = [2.99, 4.68], delayed: DF = 299, p = 0.008, Cohen’s d = 0.15, 95%CI = [0.41, 2.63]).(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 292, p = 0.047, Cohen’s d = −0.12, 95%CI = [−5.39, −0.05], advanced: DF = 292, p < 0.001, Cohen’s d = −0.56, 95%CI = [−15.20, −10.00], delayed: DF = 292, p < 0.001, Cohen’s d = −0.35, 95%CI = [−7.88, −3.94]).(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 299, p < 0.001, Cohen’s d = −0.38, 95%CI = [−14.11, −7.68], advanced: DF = 292, p = 0.013, Cohen’s d = −0.15, 95%CI = [−3.28, −0.42], delayed: DF = 279, p < 0.001, Cohen’s d = −0.27, 95%CI = [−5.98, −2.37]).Figure 3Changes in physiological and psychological factors in spatial modality(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 26, p < 0.001, Cohen’s d = 1.11, 95%CI = [1.67, 3.37], advanced: DF = 26, p < 0.001, Cohen’s d = 1.67, 95%CI = [2.41, 3.74], delayed: DF = 26, p < 0.001, Cohen’s d = 1.04, 95%CI = [1.69, 3.52]).(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 231, p = 0.003, Cohen’s d = 0.19, 95%CI = [0.22, 1.11], advanced: DF = 269, p < 0.001, Cohen’s d = 0.36, 95%CI = [3.58, 7.16], delayed: DF = 269, p < 0.001, Cohen’s d = 0.31, 95%CI = [6.57, 14.76]).(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.02, 95%CI = [−24.155, −19.155], advanced: DF = 269, p < 0.001, Cohen’s d = −0.47, 95%CI = [−15.46, −9.19], delayed: DF = 269, p < 0.001, Cohen’s d = −0.34, 95%CI = [−10.95, −5.23]).(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.03, 95%CI = [−39.91, −31.63], advanced: DF = 269, p < 0.001, Cohen’s d = −0.76, 95%CI = [−32.84, −23.92], delayed: DF = 269, p < 0.001, Cohen’s d = −0.27, 95%CI = [−11.21, −4.29]).\nChanges in physiological and psychological factors in temporal modality\n(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 29, p < 0.001, Cohen’s d = 2.65, 95%CI = [3.07, 4.00], advanced: DF = 29, p < 0.001, Cohen’s d = 3.47, 95%CI = [2.87, 3.50], delayed: DF = 29, p < 0.001, Cohen’s d = 2.24, 95%CI = [2.60, 3.53]).\n(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 299, p < 0.001, Cohen’s d = 1.19, 95%CI = [21.88, 26.50], advanced: DF = 288, p < 0.001, Cohen’s d = 0.53, 95%CI = [2.99, 4.68], delayed: DF = 299, p = 0.008, Cohen’s d = 0.15, 95%CI = [0.41, 2.63]).\n(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 292, p = 0.047, Cohen’s d = −0.12, 95%CI = [−5.39, −0.05], advanced: DF = 292, p < 0.001, Cohen’s d = −0.56, 95%CI = [−15.20, −10.00], delayed: DF = 292, p < 0.001, Cohen’s d = −0.35, 95%CI = [−7.88, −3.94]).\n(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 299, p < 0.001, Cohen’s d = −0.38, 95%CI = [−14.11, −7.68], advanced: DF = 292, p = 0.013, Cohen’s d = −0.15, 95%CI = [−3.28, −0.42], delayed: DF = 279, p < 0.001, Cohen’s d = −0.27, 95%CI = [−5.98, −2.37]).\nChanges in physiological and psychological factors in spatial modality\n(A) Changes in the subjective fatigue perception. We used paired sample t test in this section. The subjective fatigue perception level significantly increased after the task. (Standard: DF = 26, p < 0.001, Cohen’s d = 1.11, 95%CI = [1.67, 3.37], advanced: DF = 26, p < 0.001, Cohen’s d = 1.67, 95%CI = [2.41, 3.74], delayed: DF = 26, p < 0.001, Cohen’s d = 1.04, 95%CI = [1.69, 3.52]).\n(B) Changes in the heart rate. The heart rate significantly increased after the task. (Standard: DF = 231, p = 0.003, Cohen’s d = 0.19, 95%CI = [0.22, 1.11], advanced: DF = 269, p < 0.001, Cohen’s d = 0.36, 95%CI = [3.58, 7.16], delayed: DF = 269, p < 0.001, Cohen’s d = 0.31, 95%CI = [6.57, 14.76]).\n(C) Changes in the median frequency of tibialis anterior. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.02, 95%CI = [−24.155, −19.155], advanced: DF = 269, p < 0.001, Cohen’s d = −0.47, 95%CI = [−15.46, −9.19], delayed: DF = 269, p < 0.001, Cohen’s d = −0.34, 95%CI = [−10.95, −5.23]).\n(D) Changes in the median frequency of rectus femoris. The median frequency of two muscles significantly decreased. (Standard: DF = 269, p < 0.001, Cohen’s d = −1.03, 95%CI = [−39.91, −31.63], advanced: DF = 269, p < 0.001, Cohen’s d = −0.76, 95%CI = [−32.84, −23.92], delayed: DF = 269, p < 0.001, Cohen’s d = −0.27, 95%CI = [−11.21, −4.29]).\nWe then examined whether the sensory prediction errors were successfully induced. To do so, we compared between the perceived exercise duration/distance and the actual exercise duration/distance of subjects in the three groups of two modalities (Figure 4). In the standard group, there was no significant difference between the perceived and actual states, indicating that in the experiment, the subjects could reasonably perceive the exercise process under the guidance of the prompt sound. In the advanced group, the perceived duration/distance was more delayed than the actual one. Conversely, the delayed group was just the opposite. This phenomenon demonstrates that we successfully induced different sensory prediction errors through the manipulation of spatiotemporal errors in different directions. We then evaluated whether the subjects identified each group by the perceived duration or distance. We compared the subjects’ perceived exercise process between groups. The results showed that the subjects did not notice the differences across the experimental conditions among different groups (Figure 4).Figure 4Results of comparing perceived processes among groups in spatiotemporal modality(A) Comparison of the perceived exercise duration and the actual duration in temporal modality. The horizontal reference lines represent the actual exercise duration of three groups during the inquiry, which are 1,080 s, 780 s, and 1,380 s, respectively. We compared the differences in perceived exercise duration and actual duration (red symbol, standard: DF = 29, p = 0.162, effect = −0.34, 95%CI = [−55.00, 6.03], advanced: DF = 29, p < 0.001, effect = −0.87, 95%CI = [257.00, 319.00], delayed: DF = 29, p < 0.001, effect = −0.87, 95%CI = [−379.00, −313.98]), and compared the differences between groups. (Black symbol, standard: DF = 58, p = 0.609, Cohen’s d = −0.14, 95%CI = [−59.00, 33.00], advanced: DF = 58, p = 0.390, Cohen’s d = 0.23, 95%CI = [−26.00, 69.00], delayed: DF = 58, p = 0.170, Cohen’s d = 0.37, 95%CI = [−13.00, 81.00]).(B) Comparison of perceived exercise duration among groups in spatial modality. (single sample test: standard: DF = 26, p = 0.194, effect = −0.30, 95%CI = [−153.70, 20.42], advanced: DF = 26, p < 0.001, effect = −0.87, 95%CI = [581.44, 753.70], delayed: DF = 26, p < 0.001, effect = −0.87, 95%CI = [−903.75, −768.52]; permutation test: standard: DF = 52, p = 0.770, Cohen’s d = −0.09, 95%CI = [−103.75, 144.44], advanced: DF = 52, p = 0.693, Cohen’s d = 0.11, 95%CI = [−87.04, 135.19], delayed: DF = 52, p = 0.973, Cohen’s d = 0.02, 95%CI = [−109.26, 116.67]).\nResults of comparing perceived processes among groups in spatiotemporal modality\n(A) Comparison of the perceived exercise duration and the actual duration in temporal modality. The horizontal reference lines represent the actual exercise duration of three groups during the inquiry, which are 1,080 s, 780 s, and 1,380 s, respectively. We compared the differences in perceived exercise duration and actual duration (red symbol, standard: DF = 29, p = 0.162, effect = −0.34, 95%CI = [−55.00, 6.03], advanced: DF = 29, p < 0.001, effect = −0.87, 95%CI = [257.00, 319.00], delayed: DF = 29, p < 0.001, effect = −0.87, 95%CI = [−379.00, −313.98]), and compared the differences between groups. (Black symbol, standard: DF = 58, p = 0.609, Cohen’s d = −0.14, 95%CI = [−59.00, 33.00], advanced: DF = 58, p = 0.390, Cohen’s d = 0.23, 95%CI = [−26.00, 69.00], delayed: DF = 58, p = 0.170, Cohen’s d = 0.37, 95%CI = [−13.00, 81.00]).\n(B) Comparison of perceived exercise duration among groups in spatial modality. (single sample test: standard: DF = 26, p = 0.194, effect = −0.30, 95%CI = [−153.70, 20.42], advanced: DF = 26, p < 0.001, effect = −0.87, 95%CI = [581.44, 753.70], delayed: DF = 26, p < 0.001, effect = −0.87, 95%CI = [−903.75, −768.52]; permutation test: standard: DF = 52, p = 0.770, Cohen’s d = −0.09, 95%CI = [−103.75, 144.44], advanced: DF = 52, p = 0.693, Cohen’s d = 0.11, 95%CI = [−87.04, 135.19], delayed: DF = 52, p = 0.973, Cohen’s d = 0.02, 95%CI = [−109.26, 116.67]).\nTo eliminate the effect of pleasure derived from running on the experimental results, we compared the changes in the subjects’ pleasure levels before and after exercise, there were no significant differences in the pleasure perception levels (Figure 5), indicating that the experimental paradigm did not cause changes in the pleasure perception levels.Figure 5Results of comparing the subjective pleasure level between pre- and post-task in spatiotemporal modality(A) Comparison of the changes of pleasure level in temporal modality. (Standard: DF = 29, p = 0.374, Cohen’s d = −0.18, 95%CI = [−0.97, 0.33], advanced: DF = 29, p = 0.329, Cohen’s d = −0.20, 95%CI = [−1.03, 0.27], delayed: DF = 29, p = 1.000, Cohen’s d = −0.03, 95%CI = [−0.50, 0.43]).(B) Comparison of the changes of pleasure level in spatial modality. (Standard: DF = 26, p = 0.099, Cohen’s d = −0.36, 95%CI = [−0.82, 0.00], advanced: DF = 26, p = 0.175, Cohen’s d = −0.29, 95%CI = [−0.93, 0.07], delayed: DF = 26, p = 1.000, Cohen’s d = −0.02, 95%CI = [−0.85, 0.74]).\nResults of comparing the subjective pleasure level between pre- and post-task in spatiotemporal modality\n(A) Comparison of the changes of pleasure level in temporal modality. (Standard: DF = 29, p = 0.374, Cohen’s d = −0.18, 95%CI = [−0.97, 0.33], advanced: DF = 29, p = 0.329, Cohen’s d = −0.20, 95%CI = [−1.03, 0.27], delayed: DF = 29, p = 1.000, Cohen’s d = −0.03, 95%CI = [−0.50, 0.43]).\n(B) Comparison of the changes of pleasure level in spatial modality. (Standard: DF = 26, p = 0.099, Cohen’s d = −0.36, 95%CI = [−0.82, 0.00], advanced: DF = 26, p = 0.175, Cohen’s d = −0.29, 95%CI = [−0.93, 0.07], delayed: DF = 26, p = 1.000, Cohen’s d = −0.02, 95%CI = [−0.85, 0.74]).\n\n\n### Why the fatigue perception presented no significant difference across groups?\nWe compared the change of fatigue perception levels across the standard, advanced and delayed groups for temporal and spatial modalities, respectively. We found there was no significance between each pair of the three groups (Figures 6A and 6D), which violates previous theory on subjective fatigue23 and previous results within temporal modality.5 We then asked why there is no significant difference. We found there is significant difference for the change of both heart rate and median frequency of the two muscles across the three groups (Figures 6B, 6C, 6E, and 6F), and the fairly difference sensory prediction errors among the groups induced by experimental setup. Specifically, we asked whether this result was due to the interacted contributions between sensory prediction error and muscle fatigue, or the fact that the sensory prediction errors were too small to induce significant difference, or the influence of confounding factors.Figure 6Comparison of the ranges of changes in physiological and psychological factors among groups in two studies(A) Comparison of the changes of perceived fatigue level in temporal modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−0.14, 1.00], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−0.17, 1.21], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−0.45, 0.66]).(B) Comparison of the changes of heart rate in temporal modality. (Standard vs. advanced: DF = 585, p < 0.001, Cohen’s d = 0.36, 95%CI = [18.04, 22.69], standard vs. delayed: DF = 596, p < 0.001, Cohen’s d = 0.39, 95%CI = [20.41, 25.18], advanced vs. delayed: DF = 585, p = 0.001, Cohen’s d = 0.09, 95%CI = [0.95, 3.74]).(C) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 582, p < 0.001, Cohen’s d = 0.43, 95%CI = [6.23, 13.77], standard vs. delayed: DF = 580, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.28, 6.81], advanced vs. delayed: DF = 580, p < 0.001, Cohen’s d = −0.33, 95%CI = [−9.82, −3.14], Tibialis Anterior: standard vs. advanced: DF = 589, p < 0.001, Cohen’s d = −0.41, 95%CI = [−12.31, −5.39], standard vs. delayed: DF = 576, p = 0.001, Cohen’s d = −0.28, 95%CI = [−10.32, −2.89], advanced vs. delayed: DF = 569, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.01, 4.58]).(D) Comparison of the changes of perceived fatigue level in spatial modality. (Standard vs. advanced: DF = 498, p < 0.001, Cohen’s d = −0.43, 95%CI = [−1.96, 0.19], standard vs. delayed: DF = 498, p < 0.001, Cohen’s d = −0.40, 95%CI = [−1.40, 1.14], advanced vs. delayed: DF = 536, p = 0.018, Cohen’s d = −0.20, 95%CI = [−0.40, 1.89]).(E) Comparison of the changes of heart rate in spatial modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−6.58, −2.89], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−14.16, −6.05], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−9.82, −1.07]).(F) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 535, p < 0.001, Cohen’s d = −0.39, 95%CI = [−13.04, −5.15], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.60, 95%CI = [−17.44, −9.74], advanced vs. delayed: DF = 535, p = 0.042, Cohen’s d = −0.18, 95%CI = [−9.04, −0.42], Tibialis Anterior: standard vs. advanced: DF = 536, p = 0.013, Cohen’s d = −0.21, 95%CI = [−14.15, −1.30], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.88, 95%CI = [−33.21, −22.49], advanced vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.61, 95%CI = [−26.22, −14.58]).\nComparison of the ranges of changes in physiological and psychological factors among groups in two studies\n(A) Comparison of the changes of perceived fatigue level in temporal modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−0.14, 1.00], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−0.17, 1.21], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−0.45, 0.66]).\n(B) Comparison of the changes of heart rate in temporal modality. (Standard vs. advanced: DF = 585, p < 0.001, Cohen’s d = 0.36, 95%CI = [18.04, 22.69], standard vs. delayed: DF = 596, p < 0.001, Cohen’s d = 0.39, 95%CI = [20.41, 25.18], advanced vs. delayed: DF = 585, p = 0.001, Cohen’s d = 0.09, 95%CI = [0.95, 3.74]).\n(C) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 582, p < 0.001, Cohen’s d = 0.43, 95%CI = [6.23, 13.77], standard vs. delayed: DF = 580, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.28, 6.81], advanced vs. delayed: DF = 580, p < 0.001, Cohen’s d = −0.33, 95%CI = [−9.82, −3.14], Tibialis Anterior: standard vs. advanced: DF = 589, p < 0.001, Cohen’s d = −0.41, 95%CI = [−12.31, −5.39], standard vs. delayed: DF = 576, p = 0.001, Cohen’s d = −0.28, 95%CI = [−10.32, −2.89], advanced vs. delayed: DF = 569, p = 0.049, Cohen’s d = 0.17, 95%CI = [0.01, 4.58]).\n(D) Comparison of the changes of perceived fatigue level in spatial modality. (Standard vs. advanced: DF = 498, p < 0.001, Cohen’s d = −0.43, 95%CI = [−1.96, 0.19], standard vs. delayed: DF = 498, p < 0.001, Cohen’s d = −0.40, 95%CI = [−1.40, 1.14], advanced vs. delayed: DF = 536, p = 0.018, Cohen’s d = −0.20, 95%CI = [−0.40, 1.89]).\n(E) Comparison of the changes of heart rate in spatial modality. (Standard vs. advanced: DF = 56, p = 0.204, Cohen’s d = 0.36, 95%CI = [−6.58, −2.89], standard vs. delayed: DF = 56, p = 0.178, Cohen’s d = 0.39, 95%CI = [−14.16, −6.05], advanced vs. delayed: DF = 56, p = 0.819, Cohen’s d = 0.09, 95%CI = [−9.82, −1.07]).\n(F) Comparison of the changes of muscle fatigue level in temporal modality. (Rectus Femoris: standard vs. advanced: DF = 535, p < 0.001, Cohen’s d = −0.39, 95%CI = [−13.04, −5.15], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.60, 95%CI = [−17.44, −9.74], advanced vs. delayed: DF = 535, p = 0.042, Cohen’s d = −0.18, 95%CI = [−9.04, −0.42], Tibialis Anterior: standard vs. advanced: DF = 536, p = 0.013, Cohen’s d = −0.21, 95%CI = [−14.15, −1.30], standard vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.88, 95%CI = [−33.21, −22.49], advanced vs. delayed: DF = 536, p < 0.001, Cohen’s d = −0.61, 95%CI = [−26.22, −14.58]).\nWe tested whether the non-significant difference is because the sensory prediction errors we induced were too small. In this section, we used the first principal component of the median frequencies of the two muscles from PCA as the measurement of muscle fatigue in two studies. We first performed partial regression. Specifically, we regressed the increment of heart rate, median frequency of two muscles and subjective pleasure levels after minus before experiment of each subject against the increment of subjective fatigue perception, respectively for each of the three groups (multi-variable linear regression) of each modality. Then, we compared the residuals across the three groups of different modalities. As shown in Figure 7A, the residuals present difference among the three groups in both temporal and spatial modalities, suggesting that after regressing out the influence of other factors, the influence of the sensory prediction errors is significant. We further confirmed this by performing model comparison respectively in two modalities. Specifically, we performed three regressions: (1) regressing conditions (advanced group = 1, standard group = 2, delayed group = 3), the increment of heart rate, median frequency of two muscles and subjective pleasure levels after minus before experiment of each subject against the increment of subjective fatigue perception (model 1); (2) deleting conditions from model 1 (model 2); and (3) deleting the increment of heart rate from model 1 (model 3). Then, we compared the fitting performance of the three models by Akaike Information Criterion (AIC) and the Bayesian Information Criterion (BIC). As shown in Figure 7B, the fitting performance of model 1 is better than that of model 2, indicating that including conditions can account better for the subjective fatigue perception. The fitting performance of model 1 and 3 is similar, indicating that including the increment of heart rate or not does not harm the fitting results. Overall, the results suggested that the sensory prediction errors of different groups induced different variations of subjective fatigue perception.Figure 7Comparison results of the statistical regression analysis(A) Results of the residuals of the partial regression models among groups in the spatiotemporal modality. (Study1: standard vs. advanced: DF = 716, p = 0.004, Cohen’s d = 0.22, 95%CI = [1.57e−16, 8.04e−16], standard vs. delayed: DF = 716, p = 0.022, Cohen’s d = −0.17, 95%CI = [−2.59e−16, −1.85e−17], advanced vs. delayed: DF = 716, p < 0.001, Cohen’s d = −0.26, 95%CI = [−9.59e−16, −2.64e−16], study2: standard vs. advanced: DF = 602, p < 0.001, Cohen’s d = −0.27, 95%CI = [1.48e−16, 5.53e−16], standard vs. delayed: DF = 577, p = 0.035, Cohen’s d = −0.18, 95%CI = [−1.00e−16, −1.82e−18], advanced vs. delayed: DF = 581, p < 0.001, Cohen’s d = −0.31, 95%CI = [−6.20e−16, −2.02e−16]).(B) Results of the performance of regression models with different combinations of independent variables in the spatiotemporal modality. (Study1: model1 vs. model2: DF = 196, p = 0.008, Cohen’s d = −0.40, 95%CI = [−5.87, −0.89], model1 vs. model3: DF = 195, p = 0.172, Cohen’s d = 0.19, 95%CI = [−0.79, 5.02], model2 vs. model3: DF = 195, p < 0.001, Cohen’s d = 0.57, 95%CI = [2.86, 8.22], Study2: model1 vs. model2: DF = 196, p = 0.007, Cohen’s d = −0.37, 95%CI = [−5.77, −1.11], model1 vs. model3: DF = 196, p = 0.307, Cohen’s d = 0.14, 95%CI = [−1.33, 4.56], model2 vs. model3: DF = 196, p < 0.001, Cohen’s d = 0.51, 95%CI = [2.15, 7.7]).(C) Results of the regression coefficients of muscle fatigue level in spatiotemporal modality. (Study1: standard vs. advanced: DF = 481, p < 0.001, Cohen’s d = −4.01, 95%CI = [−2.32, −2.08], standard vs. delayed: DF = 580, p < 0.001, Cohen’s d = 4.53, 95%CI = [1.35, 1.45], advanced vs. delayed: DF = 485, p < 0.001, Cohen’s d = 6.18, 95%CI = [3.48, 3.73], study2: standard vs. advanced: DF = 558, p < 0.001, Cohen’s d = 0.92, 95%CI = [0.67, 0.95], standard vs. delayed: DF = 550, p < 0.001, Cohen’s d = 1.70, 95%CI = [1.07, 1.30], advanced vs. delayed: DF = 550, p < 0.001, Cohen’s d = 0.47, 95%CI = [0.24, 0.5]).\nComparison results of the statistical regression analysis\n(A) Results of the residuals of the partial regression models among groups in the spatiotemporal modality. (Study1: standard vs. advanced: DF = 716, p = 0.004, Cohen’s d = 0.22, 95%CI = [1.57e−16, 8.04e−16], standard vs. delayed: DF = 716, p = 0.022, Cohen’s d = −0.17, 95%CI = [−2.59e−16, −1.85e−17], advanced vs. delayed: DF = 716, p < 0.001, Cohen’s d = −0.26, 95%CI = [−9.59e−16, −2.64e−16], study2: standard vs. advanced: DF = 602, p < 0.001, Cohen’s d = −0.27, 95%CI = [1.48e−16, 5.53e−16], standard vs. delayed: DF = 577, p = 0.035, Cohen’s d = −0.18, 95%CI = [−1.00e−16, −1.82e−18], advanced vs. delayed: DF = 581, p < 0.001, Cohen’s d = −0.31, 95%CI = [−6.20e−16, −2.02e−16]).\n(B) Results of the performance of regression models with different combinations of independent variables in the spatiotemporal modality. (Study1: model1 vs. model2: DF = 196, p = 0.008, Cohen’s d = −0.40, 95%CI = [−5.87, −0.89], model1 vs. model3: DF = 195, p = 0.172, Cohen’s d = 0.19, 95%CI = [−0.79, 5.02], model2 vs. model3: DF = 195, p < 0.001, Cohen’s d = 0.57, 95%CI = [2.86, 8.22], Study2: model1 vs. model2: DF = 196, p = 0.007, Cohen’s d = −0.37, 95%CI = [−5.77, −1.11], model1 vs. model3: DF = 196, p = 0.307, Cohen’s d = 0.14, 95%CI = [−1.33, 4.56], model2 vs. model3: DF = 196, p < 0.001, Cohen’s d = 0.51, 95%CI = [2.15, 7.7]).\n(C) Results of the regression coefficients of muscle fatigue level in spatiotemporal modality. (Study1: standard vs. advanced: DF = 481, p < 0.001, Cohen’s d = −4.01, 95%CI = [−2.32, −2.08], standard vs. delayed: DF = 580, p < 0.001, Cohen’s d = 4.53, 95%CI = [1.35, 1.45], advanced vs. delayed: DF = 485, p < 0.001, Cohen’s d = 6.18, 95%CI = [3.48, 3.73], study2: standard vs. advanced: DF = 558, p < 0.001, Cohen’s d = 0.92, 95%CI = [0.67, 0.95], standard vs. delayed: DF = 550, p < 0.001, Cohen’s d = 1.70, 95%CI = [1.07, 1.30], advanced vs. delayed: DF = 550, p < 0.001, Cohen’s d = 0.47, 95%CI = [0.24, 0.5]).\nWe further asked whether the non-significantly different subjective fatigue perception across groups is associated with both sensory prediction errors and muscle fatigue. We regressed conditions, the increment of muscle fatigue, heart rate and subjective pleasure perception levels after minus before experiments, and the interactions among each of these items against the increment of subjective fatigue perception. As the result of study 1, we observed a significant main effect of experimental conditions (p = 0.039, estimate = −1.345), muscle fatigue change (p = 0.036, estimate = 1.903) and heart rate change (p = 0.048, estimate = 0.521) that was moderated by a two-way interaction between experimental conditions and muscle fatigue change (p = 0.023, estimate = −3.058). All remaining effects and interactions were not significant. The results demonstrated that the changes in the subjective fatigue perception were associated with the changes of muscle fatigue, heart rate, and experiment conditions, not related to the pleasure perception and its interactions with other variables.\nAs for study 2, we observed a significant main effect of pleasure × experimental conditions (p = 0.019, estimate = 0.740), experimental conditions × heart rate change (p = 0.002, estimate = −1.464) and muscle fatigue change × heart rate change (p = 0.018, estimate = 2.058). All remaining effects and interactions were not significant. The results indicated that the changes in subjective fatigue perception caused by exercises over a certain distance were related to the interaction between the sensory prediction error and the heart rate as well as the interaction between the change in muscle fatigue degree and the change in heart rate. However, there were no significant changes in the participants’ pleasure perception before and after the experiment, and pleasure alone as the main effect did not have a significant effect on subjective fatigue perception. The significance of the linear regression model might not represent a real strong relationship between the interaction of pleasure perception × the sensory prediction error and subjective fatigue perception. It might be the result of potential confounding factors between the two. Based on this observation, we considered removing pleasure perception in the subsequent computational models and focusing on the other variables that we were concerned about.\nWe then asked how the spatial/temporal sensory prediction errors would influence the association between muscle fatigue and subjective fatigue perception. We regressed the increment of muscle fatigue against the increment of subjective fatigue perception for each group. We performed bootstrapping method to compare the regression coefficients of muscle fatigue changes among the three groups of two studies respectively. As shown in Figure 7C, advanced and delayed groups of both modalities showed difference with the standard group for both modalities. And the interaction between the sensory prediction error and muscle fatigue is regardless of the direction of sensory prediction errors for both modalities.\nTaken together, consistent with our hypothesis, the sensory prediction error in the both modalities during exercise relates with fluctuations of subjective fatigue perception. Meanwhile, the fatigue of the main muscles exerting force locally is also involved in this process and has an interactive effect with sensory prediction error.\n\n\n### Computational models\nWhen establishing the models, standardized data were used. After standardization, temporal errors (TEs) were not zero and could be regarded as a constant, but spatial errors (SEs) in the standard group were zero. Therefore, we did not use the hyperbolic form of SE to establish the spatial modality models. The AIC and BIC values for each model in each group can be found in supplemental information.\nModel group 1: the input of model group 1 is the sensory error introduced in the experiment, which is used to fit the fluctuations of subjective fatigue perception. In temporal modality, the model form with the best fitting effect is:SF=aTE2+b\nIn spatial modality, the model form with the best fitting effect is:SF=aSE2+b\nThe trend conforms to the predictive coding theory, that as sensory prediction error increases, the rate of change of subjective fatigue perception gradually increases and is independent of the direction of error.\nModel group 2: the input of model group 2 is the muscle fatigue characteristics collected in the experiment. In temporal modality, the model form with the best fitting effect isSF=a/MF+b\nIn spatial modality, the model form with the best fitting effect isSF=aMF2+b\nModel group 3: our experimental results also indicate that perceptual prediction errors and muscle fatigue are both related to subjective fatigue perception (Figure 6). We took the muscle fatigue and sensory prediction error as independent variables respectively. In temporal modality, the model form with the best fitting effect isSF=aMF2+bTE\nIn spatial modality, the model form with the best fitting effect isSF=aMF2+bSE2\nDifferent from temporal modality, the sensory prediction error does not have a directional effect.\nModel group 4: model group 4 added the interaction into model group 3. In temporal modality, the model form with the best fitting effect isSF=aTE·MF2+b/TE\nIn spatial modality, the model form with the best fitting effect isSF=aeSEMF2+bSE2\nIn the second term, the amplitude of the SF’s fluctuations is inversely proportional to the magnitude of TE, and the direction is related to the positive or negative value of TE. The impact of SE on the fluctuations of subjective fatigue perception still does not have a directional effect.\nModel group 5: in temporal modality, the model form with the best fitting effect isSF=aTE2eMF+bTE+cHR\nIn spatial modality, the model form with the best fitting effect isSF=a·eSEMF+bSE+c/HR\nTo find the optimal model among the above model groups, we compared the fitting performance across the best model within each model group. The results showed that the optimal model in model group 4 exhibited the best model performance (Figure 8) whether in the temporal modality or in the spatial modality. According to Occam’s razor principle, we can consider that the computational model form of model group 4 can best fit the process in which the artificially introduced sensory prediction error, muscle fatigue and their interaction associate with the subjective fatigue perception, which fits our analysis results in the second section of results and our hypotheses.Figure 8Comparison of the performance of the optimal models among different model groups in spatiotemporal modality(A) Results of temporal modality. (AIC: model1 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.45, 95%CI = [0.41, 6.11], model2 vs. model4: DF = 96, p = 0.020, Cohen’s d = 0.48, 95%CI = [0.62, 5.99], model3 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.44, 95%CI = [0.28, 4.87], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.69, 95%CI = [1.26, 4.52], BIC: model1 vs. model4: DF = 96, p = 0.027, Cohen’s d = 0.45, 95%CI = [0.56, 6.11], model2 vs. model4: DF = 96, p = 0.019, Cohen’s d = 0.48, 95%CI = [0.49, 5.90], model3 vs. model4: DF = 96, p = 0.032, Cohen’s d = 0.44, 95%CI = [0.15, 4.77], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.64, 95%CI = [5.08, 8.38]).(B) Results of spatial modality. Both study results indicate that model group4 performs the best. (AIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.14, 3.48], model2 vs. model4: DF = 96, p = 0.033, Cohen’s d = 0.44, 95%CI = [0.13, 4.33], model3 vs. model4: DF = 96, p = 0.042, Cohen’s d = 0.42, 95%CI = [0.15, 3.84], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.82, 95%CI = [2.05, 5.77], BIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.07, 3.70], model2 vs. model4: DF = 96, p = 0.028, Cohen’s d = 0.44, 95%CI = [0.42, 4.29], model3 vs. model4: DF = 96, p = 0.040, Cohen’s d = 0.42, 95%CI = [0.16, 3.78], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.61, 95%CI = [5.81, 9.60]).\nComparison of the performance of the optimal models among different model groups in spatiotemporal modality\n(A) Results of temporal modality. (AIC: model1 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.45, 95%CI = [0.41, 6.11], model2 vs. model4: DF = 96, p = 0.020, Cohen’s d = 0.48, 95%CI = [0.62, 5.99], model3 vs. model4: DF = 96, p = 0.030, Cohen’s d = 0.44, 95%CI = [0.28, 4.87], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.69, 95%CI = [1.26, 4.52], BIC: model1 vs. model4: DF = 96, p = 0.027, Cohen’s d = 0.45, 95%CI = [0.56, 6.11], model2 vs. model4: DF = 96, p = 0.019, Cohen’s d = 0.48, 95%CI = [0.49, 5.90], model3 vs. model4: DF = 96, p = 0.032, Cohen’s d = 0.44, 95%CI = [0.15, 4.77], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.64, 95%CI = [5.08, 8.38]).\n(B) Results of spatial modality. Both study results indicate that model group4 performs the best. (AIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.14, 3.48], model2 vs. model4: DF = 96, p = 0.033, Cohen’s d = 0.44, 95%CI = [0.13, 4.33], model3 vs. model4: DF = 96, p = 0.042, Cohen’s d = 0.42, 95%CI = [0.15, 3.84], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 0.82, 95%CI = [2.05, 5.77], BIC: model1 vs. model4: DF = 96, p = 0.047, Cohen’s d = 0.41, 95%CI = [0.07, 3.70], model2 vs. model4: DF = 96, p = 0.028, Cohen’s d = 0.44, 95%CI = [0.42, 4.29], model3 vs. model4: DF = 96, p = 0.040, Cohen’s d = 0.42, 95%CI = [0.16, 3.78], model5 vs. model4: DF = 96, p < 0.001, Cohen’s d = 1.61, 95%CI = [5.81, 9.60]).\n\n\n### Pooled analysis\nIn the following, we answer the question whether there are common rules across different modalities. We performed the pooled analysis by putting the data of both modalities together into a regression model in which the experimental condition, the change value of the muscle fatigue state, the modality (temporal modality = 1, spatial modality = 2), and various interactions were used as independent variables to regress against the changes in subjective fatigue perception. The main effects of the experimental condition (p =0.048, estimate = −2.861) and the change value of the muscle fatigue state (p = 0.048, estimate = 0.085) were significant. We also found a significant interaction between the experimental condition and the changes of the muscle fatigue state (p = 0.005, estimate = −0.036). The remaining effect and interactions were not significant. This suggests that the relationship among subjective fatigue perception, muscle fatigue state and sensory prediction errors depends on whether the error was advanced or delayed in nature, which is common across modalities.\n\n\n### Robustness analysis using a composite fatigue index\nWe calculated the average fatigue index (FI) 24 value for each participant in each block. And re-running our comparison and computational modeling pipeline with this metric yielded results that were fully consistent with our primary findings (Figure S1 in supplementary information1). The optimal model (model group 4) retained the best fit, and the modality-specific interaction patterns between sensory prediction error and muscle fatigue remained identical. This confirms that the identified computational mechanism of fatigue perception is robust to the specific electrophysiological representation of local muscle fatigue.\nFurthermore, to verify the sensory distortion that may be caused by muscle fatigue 25 and to explain the different interaction patterns of errors in the two modalities compared to muscle fatigue, we quantified sensory distortion as the absolute error between the participant’s subjective estimate of the total exercise duration/distance and the actual value. We then establish a regression model, with this distortion as the dependent variable, the FI as the independent variable, and the group (standard group = 1, advanced group = 2 and delayed group = 3) as the covariate. We found a positive relationship between muscle fatigue and sensory distortion in both modalities (temporal modality: estimate = 0.174, p = 0.010, spatial modality: estimate = 0.167, p = 0.027), indicating that participants with higher levels of muscle fatigue were significantly worse at accurately judging the duration/distance they had run.\n\n\n### Discussion\nBrain and body constitute the whole human, indicating the close interaction between cognitive and physical domains. The fatigue induced by prolonged exercise intersects between both domains, which, however, has been largely studied separately within either cognitive or physical domain.24,25,26,27 In the present study, we investigated how local muscle fatigue and prediction error associate with fatigue perception, aiming to fill in the gap of how physical and cognitive aspects interact with each other and associate with subjective fatigue perception. We utilized the running task, a natural protocol close to daily exercise scenarios, and introduced sensory prediction errors with two temporal and spatial modalities. We showed that not only sensory prediction errors relate with subjective fatigue perception, as indicated by previous studies,28,29 but muscle fatigue interacting with sensory prediction errors also present significant correlation with the fluctuation of subjective fatigue perception. By using computational modeling, we further revealed that the specific association between muscle fatigue, sensory prediction errors and subjective fatigue perception differed across modalities, suggesting a modality-dependent computational mechanism underlying the dynamics of subjective fatigue perception during exercise. These results highlight that the subjective fatigue induced by prolonged exercise (1) fluctuate due to both sensory prediction error in the cognitive domain and local muscle fatigue in the physical domain and (2) is sensitive to the modality of sensory prediction error in terms of underlying computational mechanism.\nOur study presents a novel and generalizable computational and analyzing framework that may aim future studies. We combined associative analysis and computation modeling to first investigate the relationship between independent variables, which in our case are sensory prediction error, muscle fatigue, heart rate, and pleasure levels, and dependent variables. We got the associative prior identifying the independent variables with significance that helps to select the input for computational models. By computationally modeling the associations, we further reveal the computational process of the form in which each independent variable associates with dependent variable and find the difference across modalities. The computational models selected by fitting performance, which in other words account the best for the observations, suggest the computational mechanism of human body underlying the observed phenomena where just some mental or physiological features vary together. This could be used in future studies to further test the association between the computational model-estimated parameters with neuroimages and to determine the neural correlates of the behavioral observations. Taken together, associative analysis indicates the significant associations between independent and dependent variables to screen input variables for computational modeling. Computation models confirm the findings of associative studies and further reveal more specific computational mechanism underlying associations. Although similar framework can be found in effort-related decision making,30,31,32 to our knowledge, our proposed framework is the first one applied on brain-body interaction that measured mental and physiological states together.\nThe findings of our study may contribute to the literature in the following aspects. First, compared with previous studies using hand grasp, isometric contraction as experimental protocol to induce fatigue, we used running, a more natural protocol close to daily exercise. As indicated,33,34,35 a natural experimental protocol may provide higher ecological validity, as it mimics real-world physical activities and engages integrated physiological systems (e.g., cardiovascular, metabolic, and neuromuscular systems), thereby reflecting holistic cognitive and physical fatigue processes. Also, running inherently involves central-peripheral integration, where afferent signals from fatigued muscles modulate cortical motor output-a phenomenon less pronounced in isolated muscle tasks.36 Findings from running paradigms directly inform practical applications, such as optimizing endurance training or designing fatigue-mitigation strategies in sports and occupational settings, bridging the gap between laboratory research and real-world scenarios.37,38 Second, our study provided a unified framework to understand how the cognitive and physical aspects of human associate with the fatigue perception. Classic fatigue perception theory considers fatigue perception as a result of the accumulation of effort feelings, which mainly associate with potential reward and the mismatch between motor prediction and actual performance. Despite sparse evidence, previous studies focused locally on how the cognitive aspects (e.g., sensory prediction error,29 reward,39 decision,40 etc.) or on the physical aspects (e.g., motor performance,41 breathing,42 muscle states,43 etc.) associate with fatigue perception. Although review and perspective papers4,20,44 pointed out the view of brain-body interaction during the generation of fatigue perception. Brain-body interaction is a multifaceted and dynamic process, which involves the integration of physiological signals from the body,45 the regulation of cognitive factors in the brain,5,46 as well as the influence of neural plasticity.47 Experimental observations that cover the bodily states and sensory manipulation is still insufficient to fill in the gap of how both domains interact and associate with fluctuations of fatigue perception. We tried to exclude the influence of reward on fatigue perception, given that reward is crucial factor within decision-making circuits.48,49 Our results provided the experimental observations and supported the integrative view by both data statistical analysis and computational modeling, which confirmed each other and thus strengthened the evidence. This suggests the intrinsic bidirectional interactions between muscle and brain, similar findings of which have been shown across peripheral systems, including breathing,50 muscle,51 stomach, and gut.52,53\nThird, on sensory prediction error, previous studies5 that manipulated motor performance and prediction in a spatiotemporal coupling manner. That is, the sensor prediction errors were induced by changing both time and distance of performing a motor task. However, the processing mechanism of sensory cortex presented difference between temporal and spatial perception,54,55 which suggests different mechanisms underlying sensory prediction errors across modalities and thus may induce different impacts on fatigue perception. Although our results of pooled analyses showed that sensory prediction error in both modalities, as well as their interaction with muscle fatigue, presented significant correlation with fatigue perception, our computational model showed that the mathematical forms of sensory prediction errors and their interaction with muscle fatigue were largely different across modalities. This suggests the different mechanism of processing spatial and temporal sensory feedback when processing fatigue perception. We found a correlation between sensory distortion and muscle fatigue. This corruption likely forces the brain to rely on increasingly uncertain predictions,56,57 and the weight of muscle fatigue in spatial modality is greater than that in temporal modality, explaining the exponential amplification we observed when spatial prediction errors interact with muscle fatigue while the temporal modality appears more resilient to this effect, consistent with our linear interaction term.\nFinally, adding heart rate into computational models did not significantly improve the fitting performance, despite the associative analysis showed heart rate and its interaction with conditions or muscle fatigue associated with subjective fatigue perception within temporal modality, also heart rate-condition, heart rate-muscle fatigue interaction terms associated with subjective fatigue perception within spatial modality. This suggests a broad brain-body interaction during the fluctuation of subjective fatigue perception, which involves in our case cardiac and muscular systems. The variations of both systems may reflect partial perspectives of the bodily states, are sensed and then regulated by the brain, thus associate with subjective fatigue perception.\nWhile our study focused on sensorimotor mechanisms of fatigue, we acknowledge that cognitive and psychological factors (e.g., sleep, stress, emotion) also influence fatigue perception.58 These factors vary substantially between individuals and may explain baseline differences in fatigue susceptibility.59 So, our within-subject design and modeling of relative changes from individual baselines ensure that our core findings are robust to such stable individual differences. In this way, we believe the difference of fatigue feelings across groups are generally the effect of sensorimotor mismatch and local muscle fatigue. Future research could incorporate broader cognitive and lifestyle factors or integrate data such as electroencephalography to identify emotional states60 to explore how they tune the fatigue experience.\nThe potential neural mechanisms underlying the sensory prediction error-bodily state interactive association with fatigue perception could be due to the intersection between interoceptive and sensorimotor systems. In the context of fatigue, sensory prediction error may play a crucial role in how the brain perceives and responds to the body’s changing state.5 Sensory prediction error is mainly mediated by the cerebellum-thalamus-cortex loop and the basal ganglia circuit.61,62 The cerebellum predicts the motor outcome through a forward model, while the dorsal anterior cingulate cortex (dACC) and the supplementary motor area (SMA) encode the prediction error by comparing the model with interoceptive signals.47,63,64,65 It is worth noting that the intensity of the sensory prediction error is related to the activation level of the dACC,66 which affects the perception of subjective effort.67 Subjective fatigue may be regulated by the anterior insular cortex (AIC)-dACC axis, which integrates interoceptive signals and assigns emotional salience to physical exertion.68,69,70 The ventromedial prefrontal cortex and the posterior cingulate cortex (PCC) further regulate the perception of the psychological state through the self-referential processing of the default mode network (DMN).71,72 The AIC, dACC, and posterior mid-cingulate cortex form the core hub of interoception, receiving interoceptive inputs through neural afferents.73 This network dynamically updates the brain’s perception of the body state and affects fatigue-related decisions.74\nAs key convergence nodes, the AIC and dACC are where interoceptive signals may interact with the calculation of sensory prediction errors.69 Neuroimaging evidence shows that the communication between the AIC and the motor cortex is enhanced during long-term exercise.75 The activation of the AIC is not only related to the intensity of the sensory prediction error,76 but also related to the self-reported psychological feeling scores.77 These errors can then be integrated with interoceptive signals related to the physical fatigue state, further regulating the subjective experience of fatigue. The salience network (SN) with the AIC and dACC as the core coordinates the dynamic switching between the DMN and the frontoparietal control network.78,79 During the accumulation of exercise, the SN may amplify the perception of fatigue by enhancing the salience of sensory prediction errors and interoception.\nTaken together, the neural mechanisms underlying the interactive association among sensory prediction error, body state, and fatigue perception are complex and involve the coordinated activities of multiple brain regions and neural circuits.80,81 The intersection of the interoceptive system and the sensorimotor system, as well as the roles of key brain regions such as the AIC, dACC, and PFC, may provide a framework for understanding how the brain processes and responds to the body’s changing state during physical activities and the subsequent experience of fatigue. Future research can focus on further clarifying the specific neural mechanisms involved in this interaction to develop more targeted interventions for managing fatigue.\nIn conclusion, fatigue perception during exercise involves dynamic interactions between physical and cognitive factors. By combining the associative analysis and computational modeling, this study quantitatively reveals from the natural task that both muscle fatigue and spatiotemporal sensory prediction errors associate with subjective fatigue, with modality-specific interactions: temporal errors linearly amplify muscle fatigue’s effect, while spatial errors exhibit exponential modulation. These findings challenge the classical fatigue perception model solely rendering on cognitive aspects by further showing the modality-specific effects of muscle fatigue. The study provides a unified computational framework for brain-body interactions in fatigue, offering insights for personalized training and interventions targeting both physical and cognitive pathways.\nThis study was conducted among healthy young adults, which may limit the applicability of the research results to other age groups. Additionally, future studies could collect neuroimaging data to validate the neural mechanisms proposed in this study.\n\n\n### Potential neural mechanism underlying the interplay between sensory prediction error and local muscle fatigue\nThe potential neural mechanisms underlying the sensory prediction error-bodily state interactive association with fatigue perception could be due to the intersection between interoceptive and sensorimotor systems. In the context of fatigue, sensory prediction error may play a crucial role in how the brain perceives and responds to the body’s changing state.5 Sensory prediction error is mainly mediated by the cerebellum-thalamus-cortex loop and the basal ganglia circuit.61,62 The cerebellum predicts the motor outcome through a forward model, while the dorsal anterior cingulate cortex (dACC) and the supplementary motor area (SMA) encode the prediction error by comparing the model with interoceptive signals.47,63,64,65 It is worth noting that the intensity of the sensory prediction error is related to the activation level of the dACC,66 which affects the perception of subjective effort.67 Subjective fatigue may be regulated by the anterior insular cortex (AIC)-dACC axis, which integrates interoceptive signals and assigns emotional salience to physical exertion.68,69,70 The ventromedial prefrontal cortex and the posterior cingulate cortex (PCC) further regulate the perception of the psychological state through the self-referential processing of the default mode network (DMN).71,72 The AIC, dACC, and posterior mid-cingulate cortex form the core hub of interoception, receiving interoceptive inputs through neural afferents.73 This network dynamically updates the brain’s perception of the body state and affects fatigue-related decisions.74\nAs key convergence nodes, the AIC and dACC are where interoceptive signals may interact with the calculation of sensory prediction errors.69 Neuroimaging evidence shows that the communication between the AIC and the motor cortex is enhanced during long-term exercise.75 The activation of the AIC is not only related to the intensity of the sensory prediction error,76 but also related to the self-reported psychological feeling scores.77 These errors can then be integrated with interoceptive signals related to the physical fatigue state, further regulating the subjective experience of fatigue. The salience network (SN) with the AIC and dACC as the core coordinates the dynamic switching between the DMN and the frontoparietal control network.78,79 During the accumulation of exercise, the SN may amplify the perception of fatigue by enhancing the salience of sensory prediction errors and interoception.\nTaken together, the neural mechanisms underlying the interactive association among sensory prediction error, body state, and fatigue perception are complex and involve the coordinated activities of multiple brain regions and neural circuits.80,81 The intersection of the interoceptive system and the sensorimotor system, as well as the roles of key brain regions such as the AIC, dACC, and PFC, may provide a framework for understanding how the brain processes and responds to the body’s changing state during physical activities and the subsequent experience of fatigue. Future research can focus on further clarifying the specific neural mechanisms involved in this interaction to develop more targeted interventions for managing fatigue.\nIn conclusion, fatigue perception during exercise involves dynamic interactions between physical and cognitive factors. By combining the associative analysis and computational modeling, this study quantitatively reveals from the natural task that both muscle fatigue and spatiotemporal sensory prediction errors associate with subjective fatigue, with modality-specific interactions: temporal errors linearly amplify muscle fatigue’s effect, while spatial errors exhibit exponential modulation. These findings challenge the classical fatigue perception model solely rendering on cognitive aspects by further showing the modality-specific effects of muscle fatigue. The study provides a unified computational framework for brain-body interactions in fatigue, offering insights for personalized training and interventions targeting both physical and cognitive pathways.\n\n\n### Limitations of the study\nThis study was conducted among healthy young adults, which may limit the applicability of the research results to other age groups. Additionally, future studies could collect neuroimaging data to validate the neural mechanisms proposed in this study.\n\n\n### Resource availability\nFurther information and requests for resources should be directed to and will be fulfilled by the lead contact, Chunzhi Yi (chunzhiyi@hit.edu.cn).\nThis study did not generate any relevant materials.\n•All data generated in this study are included in the article.•Analysis codes presented in the text are also available on OSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548.•Any additional information required to reanalyze the data reported in this study is available from the lead contact upon request.\nAll data generated in this study are included in the article.\nAnalysis codes presented in the text are also available on OSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548.\nAny additional information required to reanalyze the data reported in this study is available from the lead contact upon request.\n\n\n### Lead contact\nFurther information and requests for resources should be directed to and will be fulfilled by the lead contact, Chunzhi Yi (chunzhiyi@hit.edu.cn).\n\n\n### Materials availability\nThis study did not generate any relevant materials.\n\n\n### Data and code availability\n•All data generated in this study are included in the article.•Analysis codes presented in the text are also available on OSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548.•Any additional information required to reanalyze the data reported in this study is available from the lead contact upon request.\nAll data generated in this study are included in the article.\nAnalysis codes presented in the text are also available on OSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548.\nAny additional information required to reanalyze the data reported in this study is available from the lead contact upon request.\n\n\n### Acknowledgments\nThis work was supported by the 10.13039/501100012166National Key Research and Development Program of China (no. 2024YFC3016403), 10.13039/501100001809National Natural Science Foundation of China (no. 62306083), and in part by the 10.13039/501100006579Ministry of Industry and Information Technology of China.\n\n\n### Author contributions\nConceptualization, C.Y., Z.C., C.Y., and H.Z.; methodology, Z.X. and C.Y.; experiment, Z.X., C.Z., C.Y., and B.W.; writing – original draft, Z.X. and C.Y.; writing – review and editing, C.Y. and S.C.\n\n\n### Declaration of interests\nThe authors declare no competing interests.\n\n\n### STAR★Methods\nREAGENT or RESOURCESOURCEIDENTIFIERDeposited dataExperimental Data and CodesThis paperOSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548Surface electromyogram: Wireless Surface EMG Sensors: Trigno AvantiDELSYS, USAN/ASynchronizing signal: Trigger ModuleDELSYS, USAN/AHeart Rate: Monitoring Smart Bracelet: WS20AAccbiomed, ChinaN/AFoot sole pressure: Pressure Sensors: FSR402Interlink Electronics, USAN/ANI myRIO 1900National Instruments, USAN/ASoftware and algorithmsMATLAB 2022bMathWorks, USAhttps://www.mathworks.com/Levenberg-Marquardt Algorithm ImplementationMATLAB Optimization Toolboxhttps://ww2.mathworks.cn/products/optimization.htmlFourth-order Butterworth Band-pass Filter (20–500 Hz)MATLAB Signal Processing Toolboxhttps://ww2.mathworks.cn/products/signal.html50 Hz Notch FilterMATLAB Signal Processing Toolboxhttps://ww2.mathworks.cn/products/signal.htmlPrincipal Component Analysis (PCA)MATLAB Statistics and Machine Learning Toolboxhttps://ww2.mathworks.cn/products/statistics.htmlPermutation Test Statistical AnalysisThis paper and OSF RepositoryDescribed in method details and codes in OSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548Origin 2024OriginLabhttps://www.originlab.com\nWe recruited 57 healthy young participants across two studies. Study 1 investigated the effect of temporal prediction error on physical fatigue (n = 30 participants, 17 females, 13 males, age range 18–27). Study 2 investigated the effect of spatial prediction error on physical fatigue (n = 27 participants, 13 females, 14 males). The potential effects of sex were not investigated in the present study, which may be a limitation to generalizability. Both studies were approved by the Chinese Ethics Committee of Registering Clinical Trials (ChiECRCT20200319). Informed consent was obtained from all participants, including a health status declaration. We strictly required the participants to ensure their sleep quality and avoid consuming substances such as alcohol and caffeine and received an oral report from each participant on their current state before every experiment. For both studies, participants were compensated a flat rate of $5 for their time.\nThe difference between the two studies was whether the prediction error was temporal or spatial. Each study consisted of three phases: calibration phase, training phase and main task phase. The main task of each study was divided into three groups: standard, advanced and delayed groups, with each participant completing all the three groups in a random order to reduce the influence of individual differences and order effect. During the experiment, we also collected participants' subjective pleasure perception levels through asking ‘how to rate your pleasure?’ in Likert-scale questionnaires before and after the experiment apart from fatigue perception. This was to exclude the potential influence of exercise-related pleasure that may affect the progression of fatigue perception. A 7-point Likert scale was employed for subjective ratings to minimize cognitive load during the physically demanding task and to maintain consistency in measuring both fatigue and pleasure. The calibration phase aimed at establishing a baseline for participants' fatigue perception levels and setting an appropriate speed for the main task. And the training phase was to familiarize participants with the experimental procedure including alert sounds and ambient sounds (Figure 1). During all stages of the experiment, we turned off non-essential electronic devices and used headphones to play the sounds to minimize the interference from environmental noises to the greatest extent. And there was a one-week interval between each experiment to ensure that the participants' fatigue had completely recovered.\nThe calibration phase aimed to familiarize the participants with the feelings corresponding to different fatigue perception levels. The participants were required to increase their running speed to the greatest extent until they could not maintain a stable motion state for 30 s, during which strong verbal encouragement was provided. The speed at this moment was defined as the MRV that the participant could tolerate. To normalize fatigue perception levels across participants and avoid variability due to differences in physical condition, we told the fatigue perception of maintaining MRV for 30 s corresponded to fatigue level 4. There were totally 7 fatigue levels (Figure 1B). The treadmill’s speed was set at 70% MRV in the main task. Subsequently, the subjects took a rest until they verbally reported that they were no longer fatigued, and then returned to the treadmill for the following phases.\nIn both studies, each participant completed an initial training phase before their first participation in the main task. In the first part of the training phase, participants were familiarized with the treadmill and informed that during the formal experiment, they should naturally look straight ahead, focusing their gaze on the central part of the cross on the screen in front of them to avoid the interference of other visual feedback.\nIn the second part of the training phase, the experimenters introduced the procedure to the participants, set phased exercise goals, and explained the way to report the fatigue level and the pleasure level. We informed the achievement of the participants per block. Specifically, in the study of the temporal modality, the participants ran for 20 min, consisting of 4 blocks. During each block, the participants ran for 5 min. Upon completing a block, they were verbally informed by the experimenter that 'You have run for 5 min'. In the study of the spatial modality, the participants ran for 3 km, consisting of 4 blocks. During each block, the participants ran for 750 m. Upon completing a block, they were verbally informed by the experimenter that 'You have run for 750 m' (Figure 1B). Upon hearing information, the participants were required to verbally report their current fatigue perception level and pleasure perception level within 5 s. The experimenters recorded the current levels of fatigue and pleasure perception. In the last block, the participants were asked to answer a question about the perceived exercise time or distance. A training of 10 min or 1500 m was respectively conducted for the temporal and spatial modalities to ensure that the participants were familiar with the experimental procedure and can answer the corresponding questions.\nThis was the main phase of the experiment during which most primary outcome measures related to fatigue were taken. In the main task, both studies consisted of 4 blocks (Figure 1C). For each block, all the participants were verbally informed that they would run 5 min per block for Study 1 and 750 m per block for Study 2. Different from the training phase, the participants were unaware of their actual running time or distance, which varied across the standard, delayed and advanced groups, to induce the prediction errors. Specifically, in the standard group, participants were verbally informed the actual time or distance. In the advanced group, verbal information was provided before the participants actually achieved the informed running time or distance. In the delayed group, verbal information was provided later than the participants actually achieved the informed target. The verbal information was pre-generated by computer.\nIn the standard group, the actual running time for the whole session was 20 min, each block lasting 5 min. The participants were verbally informed that ‘You have already run for 5 min’ at the end of each block. Then, participants were asked to rate from 1 to 7 of ‘how fatigued you felt’ and ‘how pleased you felt by running’ immediately. In the advanced group, the total actual running time was 15 min. The actual running time for each block was sampled without replacement from the set {4.5 min, 4.0 min, 3.5 min, 3.0 min} for each subject. In the delayed group, the total actual running time was 25 min. The actual running time was sampled from the set {5.5 min, 6.0 min, 6.5 min, 7.0 min}. The participants were informed with the same content and asked the same questions as the standard group in the other two groups. During the final block, the participants were asked ‘How long do you feel you have been running?’ to inquire about the perceived running time.\nSimilarly, the participants were verbally informed that ‘You have already run for 750 m’ and the same questions for the fatigue and pleasure levels were asked at the end of each block. The actual running distance for the whole session in the standard group was 3 km, each block lasting 750 m. In the advanced group, the total actual running distance was 2.25 km. The actual running distance for each block was sampled from the set {675 m, 600 m, 525 m, 450. In the delayed group, the total actual running distance was 3.75 km. The actual running distance was sampled from the set {825 m, 900 m, 975 m, 1050 m}. During the final block, the participants were asked ‘How far do you feel you have been running?’ to inquire about the perceived running distance.\nWireless surface electromyography (EMG) sensors (Trigno Avanti, DELSYS, USA, 1111 Hz) were used to measure the electrical signals on the surface of the participants' muscles. The EMG sensors were placed on the right rectus femoris and the anterior tibialis.82 Heart rate was monitored by a smart bracelet (WS20A, Accbiomed, China, 10 Hz), and the data was received in real time via Bluetooth by a laptop. The bracelet was worn on the left wrist of every participant (Figure 1A). Pressure sensors (FSR402, 100 Hz) were attaced to the heel and first metatarsal bone of the left and right feet, respectively, the signals of which were collected by the embeded microprocessor (NI myRIO 1900). Signals synchronization was achieved by the Trigger Module (DELSYS, USA). The screen of the treadmill was coverd and the sound was muted in order to refrain the participants from knowing the actual running time or distance. The verbal information in the experiment was played through a Bluetooth audio player. Data processing and statistical analysis were programmed using MATLAB 2022b (MathWorks, USA).\nThe EMG data was collected at a sampling rate of 1111 Hz. During the subsequent analysis, a notch filter with a cutoff frequency of 50 Hz was utilized to eliminate the power frequency noise. Then, the EMG signal was filtered using a fourth-order Butterworth band-pass filter between 20 and 500 Hz. The EMG signal of each step was segmented using gait information, and the filtered data of each muscle was quantified as the median frequency (MF) of each step, used to characterize the muscle fatigue state.83,84 We also checked the signal quality of each segmented fragment one by one, and removed the EMG signals that clearly did not belong to regular movements. We used heart rate as a global indicator for peripheral fatigue85 in order to include peripheral indicators except for EMG of local muscles, which may also contribute to the variation of subjective fatigue feelings. First, we checked the heart rate signal for any outliers caused by the shaking of the fitness tracker bracelet. These unusual values might be due to measurement errors, improper usage, or other factors. The normal heart rate range is 40–200 beats per minute. Data points outside this range were marked as outliers and removed from the dataset. Then, a low-pass filter with a cutoff frequency of 10 Hz was used to remove the high-frequency noise from the heart rate data. Each block is evenly divided into 10 parts, and the average value of each part’s feature is taken as the indicator. The prediction error was calculated as the difference between actual running time (or distance) and the time (or distance) verbally told, with the negative error for the advanced group and the positive error for the delayed group.\nAlso, to address the potential limitation of relying solely on spectral characteristics, we performed a supplementary analysis using a composite Fatigue Index (FI)56 defined asFatigueIndex=Amplitude/AmplitudebaselineMeanfrequency/Meanfrequencybaseline\nWe calculated the average FI value for each participant in each block. And re-running our comparison and computational modeling pipeline.\nTo investigate how peripheral fatigue and prediction errors of each modality interacted to form subjective fatigue perception, we developed computational models that predicted subjective fatigue perception from peripheral indicators and prediction errors in both modalities. On constructing the computational model, for each block, we averaged the MF and heart rate across the sampling points within the block, and calculated the differences from the baseline to eliminate the baseline variations. And we used the first principal component of MF of the two muscles from PCA to develop models. The sensory prediction error was defined as the unreal exercise duration/distance prompted to the subjects minus the real exercise duration/distance of the subjects. We z-scored all the variables including in the computational models. The model comparison would aim the understanding of the computational mechanism during the fluctuation of subjective fatigue perception.\nWe obtained the approximate mathematical function form for each variable in a step-by-step manner. First, for each independent variable, we used four common elementary function forms to fit the subjective fatigue perception levels respectively, the linear, the parabola, the hyperbola, and the exponential function. These functions captured the simplest typical patterns of each independent variables.86 Then, we selected one form with the best fitting performance for each independent variable. Then, a multivariate model was established by combining the optimal function forms of the independent variables. The combination of different independent variables and the interaction among the variables were tested by the fitting performance and selected accordingly. In this way, we remained the mathematical expression with the optimal fitting performance as the computational model accounting for the empirical measurements. The inputs and outputs of different computational model groups are shown below.The independent and dependent variables of the modelForms of independent variablesModel Group 1 independent variablesModel Group 2 independent variablesModel Group 3 independent variablesModel Group 4 independent variablesModel Group 5 independent variablesLinearParabolaHyperbolaExponentTemporal Error (TE)Or Spatial Error (SE)Muscle Fatigue (MF)MFTE/SEMFTE/SEMF × TE/SEMFTE/SEMF × TE/SEHeart Rate (HR)Model outputDependent variableSubjective Fatigue (SF)\nThe independent and dependent variables of the model\nAccording to previous studies,28,29 during the exercise process, due to the artificially introduced sensory prediction error, the actual feedback received by the human body may not match the efference copy generated simultaneously with the motor commands issued by the brain, resulting in intensified sensations, among which subjective fatigue perception may be included. Therefore, we developed a model with only the sensory feedback error terms as the independent variable for the temporal and spatial modalities, respectively, given bySFi=f(TEi)SFi=f(SEi)where SFi represents the subjective fatigue perception level of the i-th block.\nThe afferent feedback of muscles and the muscle fatigue-induced adaptation of sensorimotor cortex87,88,89 suggested the possible contribution of muscle fatigue to the subjective fatigue perception. Also, our daily experience of exercising also suggested the association between soreness of muscles and fatigue feelings. Herein, we developed a model with only the muscle fatigue characteristic as the independent variable. This model did not distinguish across temporal and spatial modalities, given that we only evaluated in which function form MF should be included into following modeling. The model can be denoted bySFi=f(MFi)\nIn this model, we treated muscle fatigue and prediction error as separate independent variables without considering their interactions, denoted bySFi=f(MFi,TEi)SFi=f(MFi,SEi)\nPrevious studies have shown that in simple finger movements, the sensory feedback error in the temporal modality introduced by adjusting the time interval of visual feedback can affect subjective fatigue perception, and the error has a directional effect.5 Therefore, TEi and SEi were with directions (negative, positive or equal to error).\nPrevious study on the isometric contraction task of the thigh has shown the possibility that the fluctuation of muscle fatigue may relate with prediction error.22 In this model, we further included the potential interaction between prediction error and muscle fatigue by considering the interaction term of the prediction error and muscle fatigue, given bySFi=f(MFi×TEi,TEi)SFi=f(MFi×SEi,SEi)\nThe changes in heart rate during exercise can reflect the global peripheral fatigue of the human body, such as the state of the sympathetic nervous system.90 To explore whether the changes in the global peripheral fatigue were involved in the fluctuation of subjective fatigue perception, after comparing the performance of the above models, heart rate was added as a separate independent variable into each of the above models with the best performance, given bySFi=ModelGroup1−4+f(HRi)\nTo fit the above models to the subjective fatigue levels of each stage during the exercise process SF˜(i), we used the Levenberg-Marquardt algorithm to minimize an error ERRSF defined by the sum of squared residuals between the subjective fatigue levels of each stage and the subjective fatigue perception estimated by the model SF(i):ERRSF=∑i(SF(i)−SF˜(i))2\nThe subjective fatigue levels collected in the experiment were first normalized to account for variability in scale usage between participants usingSF˜(i)=SF(i)−avg(SF(i))std(SF(i))where avg and std are computing the average and standard deviation of each subject’s levels.\nEach term in the model contains a parameter to be estimated. The MATLAB lsqnonlin non-linear least squares solving function is utilized to optimize each model parameter under the constraint that it should be a positive number. The initial parameter values are randomly set within the open interval (0,1). Each model is fitted 50 times while ensuring that the optimization function does not get trapped in local minima.\nOur models focus on determining whether subjective fatigue perception is best described by a certain model. Meanwhile, more parsimonious models are preferred over more complex ones. We use the Akaike Information Criterion (AIC) and the Bayesian Information Criterion (BIC) as comparison indicators for model performance, which punishes models for their number of free parameters. Under the assumption that the errors follow a normal distribution, we transform ERRSF into likelihood functions and obtain the following criteria:AIC=2k+n∗ln(ERRSF)BIC=kln(n)+n∗ln(ERRSF)where k is the number of model parameters and n is the number of samples.\nWe conducted a comparative analysis among multiple groups of models to obtain the optimal computational models under different modalities: For the computational models of different modalities, we first determined the optimal model in each Model Group by identifying the single model with the minimum AIC and BIC values. Secondly, we compared the optimal model in different model groups to find out the model with the best performance as the model of the dynamic process of subjective fatigue perception under the corresponding modality.\nDuring the data preprocessing stage, the Interquartile Range (IQR) method is employed to identify and remove outliers from the variables. This study employed the permutation test for statistical analysis. Due to the small sample size and the nonnormal distribution of some data, the permutation test does not rely on distribution assumptions and can provide more robust statistical inference results. Besides, we used Wilcoxon Signed-Rank Test to compare the differences between the perceived exercise process and the actual process of each group, and paired sample t-tests to examine pre- and post-exercise changes in physiological and psychological indices for each group, with results detailed in Figures 2 and 3. When comparing the physiological indicators, each block was evenly divided into 10 parts, and the characteristics of these parts were all used for comparison. Partial regression and multivariable linear regression were conducted to explore the associations between independent variables (muscle fatigue, heart rate, sensory prediction error, pleasure level) and subjective fatigue perception, and bootstrapping was used to compare regression coefficients of muscle fatigue changes across experimental groups. All statistical details including exact n values (n represents the number of participants, with Study 1: n = 30, Study 2: n = 27), center measures (mean), dispersion, and statistical test results are fully reported in the Results section, corresponding figures and figure legends. Statistical significance was defined as p < 0.05 for all analyses. For all statistical analyses, a Post hoc analysis was conducted using G∗Power to calculate the power of the results, with all the power greater than 0.85. For study design, participants were randomly assigned to the order of experimental conditions to minimize order effects and all participants were included in the final analysis. All statistical analysis was implemented using MATLAB 2022b (MathWorks, USA).\n\n\n### Key resources table\nREAGENT or RESOURCESOURCEIDENTIFIERDeposited dataExperimental Data and CodesThis paperOSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548Surface electromyogram: Wireless Surface EMG Sensors: Trigno AvantiDELSYS, USAN/ASynchronizing signal: Trigger ModuleDELSYS, USAN/AHeart Rate: Monitoring Smart Bracelet: WS20AAccbiomed, ChinaN/AFoot sole pressure: Pressure Sensors: FSR402Interlink Electronics, USAN/ANI myRIO 1900National Instruments, USAN/ASoftware and algorithmsMATLAB 2022bMathWorks, USAhttps://www.mathworks.com/Levenberg-Marquardt Algorithm ImplementationMATLAB Optimization Toolboxhttps://ww2.mathworks.cn/products/optimization.htmlFourth-order Butterworth Band-pass Filter (20–500 Hz)MATLAB Signal Processing Toolboxhttps://ww2.mathworks.cn/products/signal.html50 Hz Notch FilterMATLAB Signal Processing Toolboxhttps://ww2.mathworks.cn/products/signal.htmlPrincipal Component Analysis (PCA)MATLAB Statistics and Machine Learning Toolboxhttps://ww2.mathworks.cn/products/statistics.htmlPermutation Test Statistical AnalysisThis paper and OSF RepositoryDescribed in method details and codes in OSF: https://osf.io/pycxr/?view_only=d3ad2737b8414e208ffef0d06f6ae548Origin 2024OriginLabhttps://www.originlab.com\n\n\n### Experimental model and study participant details\nWe recruited 57 healthy young participants across two studies. Study 1 investigated the effect of temporal prediction error on physical fatigue (n = 30 participants, 17 females, 13 males, age range 18–27). Study 2 investigated the effect of spatial prediction error on physical fatigue (n = 27 participants, 13 females, 14 males). The potential effects of sex were not investigated in the present study, which may be a limitation to generalizability. Both studies were approved by the Chinese Ethics Committee of Registering Clinical Trials (ChiECRCT20200319). Informed consent was obtained from all participants, including a health status declaration. We strictly required the participants to ensure their sleep quality and avoid consuming substances such as alcohol and caffeine and received an oral report from each participant on their current state before every experiment. For both studies, participants were compensated a flat rate of $5 for their time.\n\n\n### Method details\nThe difference between the two studies was whether the prediction error was temporal or spatial. Each study consisted of three phases: calibration phase, training phase and main task phase. The main task of each study was divided into three groups: standard, advanced and delayed groups, with each participant completing all the three groups in a random order to reduce the influence of individual differences and order effect. During the experiment, we also collected participants' subjective pleasure perception levels through asking ‘how to rate your pleasure?’ in Likert-scale questionnaires before and after the experiment apart from fatigue perception. This was to exclude the potential influence of exercise-related pleasure that may affect the progression of fatigue perception. A 7-point Likert scale was employed for subjective ratings to minimize cognitive load during the physically demanding task and to maintain consistency in measuring both fatigue and pleasure. The calibration phase aimed at establishing a baseline for participants' fatigue perception levels and setting an appropriate speed for the main task. And the training phase was to familiarize participants with the experimental procedure including alert sounds and ambient sounds (Figure 1). During all stages of the experiment, we turned off non-essential electronic devices and used headphones to play the sounds to minimize the interference from environmental noises to the greatest extent. And there was a one-week interval between each experiment to ensure that the participants' fatigue had completely recovered.\nThe calibration phase aimed to familiarize the participants with the feelings corresponding to different fatigue perception levels. The participants were required to increase their running speed to the greatest extent until they could not maintain a stable motion state for 30 s, during which strong verbal encouragement was provided. The speed at this moment was defined as the MRV that the participant could tolerate. To normalize fatigue perception levels across participants and avoid variability due to differences in physical condition, we told the fatigue perception of maintaining MRV for 30 s corresponded to fatigue level 4. There were totally 7 fatigue levels (Figure 1B). The treadmill’s speed was set at 70% MRV in the main task. Subsequently, the subjects took a rest until they verbally reported that they were no longer fatigued, and then returned to the treadmill for the following phases.\nIn both studies, each participant completed an initial training phase before their first participation in the main task. In the first part of the training phase, participants were familiarized with the treadmill and informed that during the formal experiment, they should naturally look straight ahead, focusing their gaze on the central part of the cross on the screen in front of them to avoid the interference of other visual feedback.\nIn the second part of the training phase, the experimenters introduced the procedure to the participants, set phased exercise goals, and explained the way to report the fatigue level and the pleasure level. We informed the achievement of the participants per block. Specifically, in the study of the temporal modality, the participants ran for 20 min, consisting of 4 blocks. During each block, the participants ran for 5 min. Upon completing a block, they were verbally informed by the experimenter that 'You have run for 5 min'. In the study of the spatial modality, the participants ran for 3 km, consisting of 4 blocks. During each block, the participants ran for 750 m. Upon completing a block, they were verbally informed by the experimenter that 'You have run for 750 m' (Figure 1B). Upon hearing information, the participants were required to verbally report their current fatigue perception level and pleasure perception level within 5 s. The experimenters recorded the current levels of fatigue and pleasure perception. In the last block, the participants were asked to answer a question about the perceived exercise time or distance. A training of 10 min or 1500 m was respectively conducted for the temporal and spatial modalities to ensure that the participants were familiar with the experimental procedure and can answer the corresponding questions.\nThis was the main phase of the experiment during which most primary outcome measures related to fatigue were taken. In the main task, both studies consisted of 4 blocks (Figure 1C). For each block, all the participants were verbally informed that they would run 5 min per block for Study 1 and 750 m per block for Study 2. Different from the training phase, the participants were unaware of their actual running time or distance, which varied across the standard, delayed and advanced groups, to induce the prediction errors. Specifically, in the standard group, participants were verbally informed the actual time or distance. In the advanced group, verbal information was provided before the participants actually achieved the informed running time or distance. In the delayed group, verbal information was provided later than the participants actually achieved the informed target. The verbal information was pre-generated by computer.\nIn the standard group, the actual running time for the whole session was 20 min, each block lasting 5 min. The participants were verbally informed that ‘You have already run for 5 min’ at the end of each block. Then, participants were asked to rate from 1 to 7 of ‘how fatigued you felt’ and ‘how pleased you felt by running’ immediately. In the advanced group, the total actual running time was 15 min. The actual running time for each block was sampled without replacement from the set {4.5 min, 4.0 min, 3.5 min, 3.0 min} for each subject. In the delayed group, the total actual running time was 25 min. The actual running time was sampled from the set {5.5 min, 6.0 min, 6.5 min, 7.0 min}. The participants were informed with the same content and asked the same questions as the standard group in the other two groups. During the final block, the participants were asked ‘How long do you feel you have been running?’ to inquire about the perceived running time.\nSimilarly, the participants were verbally informed that ‘You have already run for 750 m’ and the same questions for the fatigue and pleasure levels were asked at the end of each block. The actual running distance for the whole session in the standard group was 3 km, each block lasting 750 m. In the advanced group, the total actual running distance was 2.25 km. The actual running distance for each block was sampled from the set {675 m, 600 m, 525 m, 450. In the delayed group, the total actual running distance was 3.75 km. The actual running distance was sampled from the set {825 m, 900 m, 975 m, 1050 m}. During the final block, the participants were asked ‘How far do you feel you have been running?’ to inquire about the perceived running distance.\nWireless surface electromyography (EMG) sensors (Trigno Avanti, DELSYS, USA, 1111 Hz) were used to measure the electrical signals on the surface of the participants' muscles. The EMG sensors were placed on the right rectus femoris and the anterior tibialis.82 Heart rate was monitored by a smart bracelet (WS20A, Accbiomed, China, 10 Hz), and the data was received in real time via Bluetooth by a laptop. The bracelet was worn on the left wrist of every participant (Figure 1A). Pressure sensors (FSR402, 100 Hz) were attaced to the heel and first metatarsal bone of the left and right feet, respectively, the signals of which were collected by the embeded microprocessor (NI myRIO 1900). Signals synchronization was achieved by the Trigger Module (DELSYS, USA). The screen of the treadmill was coverd and the sound was muted in order to refrain the participants from knowing the actual running time or distance. The verbal information in the experiment was played through a Bluetooth audio player. Data processing and statistical analysis were programmed using MATLAB 2022b (MathWorks, USA).\nThe EMG data was collected at a sampling rate of 1111 Hz. During the subsequent analysis, a notch filter with a cutoff frequency of 50 Hz was utilized to eliminate the power frequency noise. Then, the EMG signal was filtered using a fourth-order Butterworth band-pass filter between 20 and 500 Hz. The EMG signal of each step was segmented using gait information, and the filtered data of each muscle was quantified as the median frequency (MF) of each step, used to characterize the muscle fatigue state.83,84 We also checked the signal quality of each segmented fragment one by one, and removed the EMG signals that clearly did not belong to regular movements. We used heart rate as a global indicator for peripheral fatigue85 in order to include peripheral indicators except for EMG of local muscles, which may also contribute to the variation of subjective fatigue feelings. First, we checked the heart rate signal for any outliers caused by the shaking of the fitness tracker bracelet. These unusual values might be due to measurement errors, improper usage, or other factors. The normal heart rate range is 40–200 beats per minute. Data points outside this range were marked as outliers and removed from the dataset. Then, a low-pass filter with a cutoff frequency of 10 Hz was used to remove the high-frequency noise from the heart rate data. Each block is evenly divided into 10 parts, and the average value of each part’s feature is taken as the indicator. The prediction error was calculated as the difference between actual running time (or distance) and the time (or distance) verbally told, with the negative error for the advanced group and the positive error for the delayed group.\nAlso, to address the potential limitation of relying solely on spectral characteristics, we performed a supplementary analysis using a composite Fatigue Index (FI)56 defined asFatigueIndex=Amplitude/AmplitudebaselineMeanfrequency/Meanfrequencybaseline\nWe calculated the average FI value for each participant in each block. And re-running our comparison and computational modeling pipeline.\nTo investigate how peripheral fatigue and prediction errors of each modality interacted to form subjective fatigue perception, we developed computational models that predicted subjective fatigue perception from peripheral indicators and prediction errors in both modalities. On constructing the computational model, for each block, we averaged the MF and heart rate across the sampling points within the block, and calculated the differences from the baseline to eliminate the baseline variations. And we used the first principal component of MF of the two muscles from PCA to develop models. The sensory prediction error was defined as the unreal exercise duration/distance prompted to the subjects minus the real exercise duration/distance of the subjects. We z-scored all the variables including in the computational models. The model comparison would aim the understanding of the computational mechanism during the fluctuation of subjective fatigue perception.\nWe obtained the approximate mathematical function form for each variable in a step-by-step manner. First, for each independent variable, we used four common elementary function forms to fit the subjective fatigue perception levels respectively, the linear, the parabola, the hyperbola, and the exponential function. These functions captured the simplest typical patterns of each independent variables.86 Then, we selected one form with the best fitting performance for each independent variable. Then, a multivariate model was established by combining the optimal function forms of the independent variables. The combination of different independent variables and the interaction among the variables were tested by the fitting performance and selected accordingly. In this way, we remained the mathematical expression with the optimal fitting performance as the computational model accounting for the empirical measurements. The inputs and outputs of different computational model groups are shown below.The independent and dependent variables of the modelForms of independent variablesModel Group 1 independent variablesModel Group 2 independent variablesModel Group 3 independent variablesModel Group 4 independent variablesModel Group 5 independent variablesLinearParabolaHyperbolaExponentTemporal Error (TE)Or Spatial Error (SE)Muscle Fatigue (MF)MFTE/SEMFTE/SEMF × TE/SEMFTE/SEMF × TE/SEHeart Rate (HR)Model outputDependent variableSubjective Fatigue (SF)\nThe independent and dependent variables of the model\nAccording to previous studies,28,29 during the exercise process, due to the artificially introduced sensory prediction error, the actual feedback received by the human body may not match the efference copy generated simultaneously with the motor commands issued by the brain, resulting in intensified sensations, among which subjective fatigue perception may be included. Therefore, we developed a model with only the sensory feedback error terms as the independent variable for the temporal and spatial modalities, respectively, given bySFi=f(TEi)SFi=f(SEi)where SFi represents the subjective fatigue perception level of the i-th block.\nThe afferent feedback of muscles and the muscle fatigue-induced adaptation of sensorimotor cortex87,88,89 suggested the possible contribution of muscle fatigue to the subjective fatigue perception. Also, our daily experience of exercising also suggested the association between soreness of muscles and fatigue feelings. Herein, we developed a model with only the muscle fatigue characteristic as the independent variable. This model did not distinguish across temporal and spatial modalities, given that we only evaluated in which function form MF should be included into following modeling. The model can be denoted bySFi=f(MFi)\nIn this model, we treated muscle fatigue and prediction error as separate independent variables without considering their interactions, denoted bySFi=f(MFi,TEi)SFi=f(MFi,SEi)\nPrevious studies have shown that in simple finger movements, the sensory feedback error in the temporal modality introduced by adjusting the time interval of visual feedback can affect subjective fatigue perception, and the error has a directional effect.5 Therefore, TEi and SEi were with directions (negative, positive or equal to error).\nPrevious study on the isometric contraction task of the thigh has shown the possibility that the fluctuation of muscle fatigue may relate with prediction error.22 In this model, we further included the potential interaction between prediction error and muscle fatigue by considering the interaction term of the prediction error and muscle fatigue, given bySFi=f(MFi×TEi,TEi)SFi=f(MFi×SEi,SEi)\nThe changes in heart rate during exercise can reflect the global peripheral fatigue of the human body, such as the state of the sympathetic nervous system.90 To explore whether the changes in the global peripheral fatigue were involved in the fluctuation of subjective fatigue perception, after comparing the performance of the above models, heart rate was added as a separate independent variable into each of the above models with the best performance, given bySFi=ModelGroup1−4+f(HRi)\nTo fit the above models to the subjective fatigue levels of each stage during the exercise process SF˜(i), we used the Levenberg-Marquardt algorithm to minimize an error ERRSF defined by the sum of squared residuals between the subjective fatigue levels of each stage and the subjective fatigue perception estimated by the model SF(i):ERRSF=∑i(SF(i)−SF˜(i))2\nThe subjective fatigue levels collected in the experiment were first normalized to account for variability in scale usage between participants usingSF˜(i)=SF(i)−avg(SF(i))std(SF(i))where avg and std are computing the average and standard deviation of each subject’s levels.\nEach term in the model contains a parameter to be estimated. The MATLAB lsqnonlin non-linear least squares solving function is utilized to optimize each model parameter under the constraint that it should be a positive number. The initial parameter values are randomly set within the open interval (0,1). Each model is fitted 50 times while ensuring that the optimization function does not get trapped in local minima.\nOur models focus on determining whether subjective fatigue perception is best described by a certain model. Meanwhile, more parsimonious models are preferred over more complex ones. We use the Akaike Information Criterion (AIC) and the Bayesian Information Criterion (BIC) as comparison indicators for model performance, which punishes models for their number of free parameters. Under the assumption that the errors follow a normal distribution, we transform ERRSF into likelihood functions and obtain the following criteria:AIC=2k+n∗ln(ERRSF)BIC=kln(n)+n∗ln(ERRSF)where k is the number of model parameters and n is the number of samples.\nWe conducted a comparative analysis among multiple groups of models to obtain the optimal computational models under different modalities: For the computational models of different modalities, we first determined the optimal model in each Model Group by identifying the single model with the minimum AIC and BIC values. Secondly, we compared the optimal model in different model groups to find out the model with the best performance as the model of the dynamic process of subjective fatigue perception under the corresponding modality.\n\n\n### Design\nThe difference between the two studies was whether the prediction error was temporal or spatial. Each study consisted of three phases: calibration phase, training phase and main task phase. The main task of each study was divided into three groups: standard, advanced and delayed groups, with each participant completing all the three groups in a random order to reduce the influence of individual differences and order effect. During the experiment, we also collected participants' subjective pleasure perception levels through asking ‘how to rate your pleasure?’ in Likert-scale questionnaires before and after the experiment apart from fatigue perception. This was to exclude the potential influence of exercise-related pleasure that may affect the progression of fatigue perception. A 7-point Likert scale was employed for subjective ratings to minimize cognitive load during the physically demanding task and to maintain consistency in measuring both fatigue and pleasure. The calibration phase aimed at establishing a baseline for participants' fatigue perception levels and setting an appropriate speed for the main task. And the training phase was to familiarize participants with the experimental procedure including alert sounds and ambient sounds (Figure 1). During all stages of the experiment, we turned off non-essential electronic devices and used headphones to play the sounds to minimize the interference from environmental noises to the greatest extent. And there was a one-week interval between each experiment to ensure that the participants' fatigue had completely recovered.\n\n\n### Calibration\nThe calibration phase aimed to familiarize the participants with the feelings corresponding to different fatigue perception levels. The participants were required to increase their running speed to the greatest extent until they could not maintain a stable motion state for 30 s, during which strong verbal encouragement was provided. The speed at this moment was defined as the MRV that the participant could tolerate. To normalize fatigue perception levels across participants and avoid variability due to differences in physical condition, we told the fatigue perception of maintaining MRV for 30 s corresponded to fatigue level 4. There were totally 7 fatigue levels (Figure 1B). The treadmill’s speed was set at 70% MRV in the main task. Subsequently, the subjects took a rest until they verbally reported that they were no longer fatigued, and then returned to the treadmill for the following phases.\n\n\n### Training\nIn both studies, each participant completed an initial training phase before their first participation in the main task. In the first part of the training phase, participants were familiarized with the treadmill and informed that during the formal experiment, they should naturally look straight ahead, focusing their gaze on the central part of the cross on the screen in front of them to avoid the interference of other visual feedback.\nIn the second part of the training phase, the experimenters introduced the procedure to the participants, set phased exercise goals, and explained the way to report the fatigue level and the pleasure level. We informed the achievement of the participants per block. Specifically, in the study of the temporal modality, the participants ran for 20 min, consisting of 4 blocks. During each block, the participants ran for 5 min. Upon completing a block, they were verbally informed by the experimenter that 'You have run for 5 min'. In the study of the spatial modality, the participants ran for 3 km, consisting of 4 blocks. During each block, the participants ran for 750 m. Upon completing a block, they were verbally informed by the experimenter that 'You have run for 750 m' (Figure 1B). Upon hearing information, the participants were required to verbally report their current fatigue perception level and pleasure perception level within 5 s. The experimenters recorded the current levels of fatigue and pleasure perception. In the last block, the participants were asked to answer a question about the perceived exercise time or distance. A training of 10 min or 1500 m was respectively conducted for the temporal and spatial modalities to ensure that the participants were familiar with the experimental procedure and can answer the corresponding questions.\n\n\n### Main task\nThis was the main phase of the experiment during which most primary outcome measures related to fatigue were taken. In the main task, both studies consisted of 4 blocks (Figure 1C). For each block, all the participants were verbally informed that they would run 5 min per block for Study 1 and 750 m per block for Study 2. Different from the training phase, the participants were unaware of their actual running time or distance, which varied across the standard, delayed and advanced groups, to induce the prediction errors. Specifically, in the standard group, participants were verbally informed the actual time or distance. In the advanced group, verbal information was provided before the participants actually achieved the informed running time or distance. In the delayed group, verbal information was provided later than the participants actually achieved the informed target. The verbal information was pre-generated by computer.\n\n\n### Temporal task\nIn the standard group, the actual running time for the whole session was 20 min, each block lasting 5 min. The participants were verbally informed that ‘You have already run for 5 min’ at the end of each block. Then, participants were asked to rate from 1 to 7 of ‘how fatigued you felt’ and ‘how pleased you felt by running’ immediately. In the advanced group, the total actual running time was 15 min. The actual running time for each block was sampled without replacement from the set {4.5 min, 4.0 min, 3.5 min, 3.0 min} for each subject. In the delayed group, the total actual running time was 25 min. The actual running time was sampled from the set {5.5 min, 6.0 min, 6.5 min, 7.0 min}. The participants were informed with the same content and asked the same questions as the standard group in the other two groups. During the final block, the participants were asked ‘How long do you feel you have been running?’ to inquire about the perceived running time.\n\n\n### Spatial task\nSimilarly, the participants were verbally informed that ‘You have already run for 750 m’ and the same questions for the fatigue and pleasure levels were asked at the end of each block. The actual running distance for the whole session in the standard group was 3 km, each block lasting 750 m. In the advanced group, the total actual running distance was 2.25 km. The actual running distance for each block was sampled from the set {675 m, 600 m, 525 m, 450. In the delayed group, the total actual running distance was 3.75 km. The actual running distance was sampled from the set {825 m, 900 m, 975 m, 1050 m}. During the final block, the participants were asked ‘How far do you feel you have been running?’ to inquire about the perceived running distance.\n\n\n### Apparatus\nWireless surface electromyography (EMG) sensors (Trigno Avanti, DELSYS, USA, 1111 Hz) were used to measure the electrical signals on the surface of the participants' muscles. The EMG sensors were placed on the right rectus femoris and the anterior tibialis.82 Heart rate was monitored by a smart bracelet (WS20A, Accbiomed, China, 10 Hz), and the data was received in real time via Bluetooth by a laptop. The bracelet was worn on the left wrist of every participant (Figure 1A). Pressure sensors (FSR402, 100 Hz) were attaced to the heel and first metatarsal bone of the left and right feet, respectively, the signals of which were collected by the embeded microprocessor (NI myRIO 1900). Signals synchronization was achieved by the Trigger Module (DELSYS, USA). The screen of the treadmill was coverd and the sound was muted in order to refrain the participants from knowing the actual running time or distance. The verbal information in the experiment was played through a Bluetooth audio player. Data processing and statistical analysis were programmed using MATLAB 2022b (MathWorks, USA).\n\n\n### Data processing and statistical analysis\nThe EMG data was collected at a sampling rate of 1111 Hz. During the subsequent analysis, a notch filter with a cutoff frequency of 50 Hz was utilized to eliminate the power frequency noise. Then, the EMG signal was filtered using a fourth-order Butterworth band-pass filter between 20 and 500 Hz. The EMG signal of each step was segmented using gait information, and the filtered data of each muscle was quantified as the median frequency (MF) of each step, used to characterize the muscle fatigue state.83,84 We also checked the signal quality of each segmented fragment one by one, and removed the EMG signals that clearly did not belong to regular movements. We used heart rate as a global indicator for peripheral fatigue85 in order to include peripheral indicators except for EMG of local muscles, which may also contribute to the variation of subjective fatigue feelings. First, we checked the heart rate signal for any outliers caused by the shaking of the fitness tracker bracelet. These unusual values might be due to measurement errors, improper usage, or other factors. The normal heart rate range is 40–200 beats per minute. Data points outside this range were marked as outliers and removed from the dataset. Then, a low-pass filter with a cutoff frequency of 10 Hz was used to remove the high-frequency noise from the heart rate data. Each block is evenly divided into 10 parts, and the average value of each part’s feature is taken as the indicator. The prediction error was calculated as the difference between actual running time (or distance) and the time (or distance) verbally told, with the negative error for the advanced group and the positive error for the delayed group.\nAlso, to address the potential limitation of relying solely on spectral characteristics, we performed a supplementary analysis using a composite Fatigue Index (FI)56 defined asFatigueIndex=Amplitude/AmplitudebaselineMeanfrequency/Meanfrequencybaseline\nWe calculated the average FI value for each participant in each block. And re-running our comparison and computational modeling pipeline.\n\n\n### Computational modeling\nTo investigate how peripheral fatigue and prediction errors of each modality interacted to form subjective fatigue perception, we developed computational models that predicted subjective fatigue perception from peripheral indicators and prediction errors in both modalities. On constructing the computational model, for each block, we averaged the MF and heart rate across the sampling points within the block, and calculated the differences from the baseline to eliminate the baseline variations. And we used the first principal component of MF of the two muscles from PCA to develop models. The sensory prediction error was defined as the unreal exercise duration/distance prompted to the subjects minus the real exercise duration/distance of the subjects. We z-scored all the variables including in the computational models. The model comparison would aim the understanding of the computational mechanism during the fluctuation of subjective fatigue perception.\nWe obtained the approximate mathematical function form for each variable in a step-by-step manner. First, for each independent variable, we used four common elementary function forms to fit the subjective fatigue perception levels respectively, the linear, the parabola, the hyperbola, and the exponential function. These functions captured the simplest typical patterns of each independent variables.86 Then, we selected one form with the best fitting performance for each independent variable. Then, a multivariate model was established by combining the optimal function forms of the independent variables. The combination of different independent variables and the interaction among the variables were tested by the fitting performance and selected accordingly. In this way, we remained the mathematical expression with the optimal fitting performance as the computational model accounting for the empirical measurements. The inputs and outputs of different computational model groups are shown below.The independent and dependent variables of the modelForms of independent variablesModel Group 1 independent variablesModel Group 2 independent variablesModel Group 3 independent variablesModel Group 4 independent variablesModel Group 5 independent variablesLinearParabolaHyperbolaExponentTemporal Error (TE)Or Spatial Error (SE)Muscle Fatigue (MF)MFTE/SEMFTE/SEMF × TE/SEMFTE/SEMF × TE/SEHeart Rate (HR)Model outputDependent variableSubjective Fatigue (SF)\nThe independent and dependent variables of the model\nAccording to previous studies,28,29 during the exercise process, due to the artificially introduced sensory prediction error, the actual feedback received by the human body may not match the efference copy generated simultaneously with the motor commands issued by the brain, resulting in intensified sensations, among which subjective fatigue perception may be included. Therefore, we developed a model with only the sensory feedback error terms as the independent variable for the temporal and spatial modalities, respectively, given bySFi=f(TEi)SFi=f(SEi)where SFi represents the subjective fatigue perception level of the i-th block.\nThe afferent feedback of muscles and the muscle fatigue-induced adaptation of sensorimotor cortex87,88,89 suggested the possible contribution of muscle fatigue to the subjective fatigue perception. Also, our daily experience of exercising also suggested the association between soreness of muscles and fatigue feelings. Herein, we developed a model with only the muscle fatigue characteristic as the independent variable. This model did not distinguish across temporal and spatial modalities, given that we only evaluated in which function form MF should be included into following modeling. The model can be denoted bySFi=f(MFi)\nIn this model, we treated muscle fatigue and prediction error as separate independent variables without considering their interactions, denoted bySFi=f(MFi,TEi)SFi=f(MFi,SEi)\nPrevious studies have shown that in simple finger movements, the sensory feedback error in the temporal modality introduced by adjusting the time interval of visual feedback can affect subjective fatigue perception, and the error has a directional effect.5 Therefore, TEi and SEi were with directions (negative, positive or equal to error).\nPrevious study on the isometric contraction task of the thigh has shown the possibility that the fluctuation of muscle fatigue may relate with prediction error.22 In this model, we further included the potential interaction between prediction error and muscle fatigue by considering the interaction term of the prediction error and muscle fatigue, given bySFi=f(MFi×TEi,TEi)SFi=f(MFi×SEi,SEi)\nThe changes in heart rate during exercise can reflect the global peripheral fatigue of the human body, such as the state of the sympathetic nervous system.90 To explore whether the changes in the global peripheral fatigue were involved in the fluctuation of subjective fatigue perception, after comparing the performance of the above models, heart rate was added as a separate independent variable into each of the above models with the best performance, given bySFi=ModelGroup1−4+f(HRi)\n\n\n### Model Group 1: Prediction error model\nAccording to previous studies,28,29 during the exercise process, due to the artificially introduced sensory prediction error, the actual feedback received by the human body may not match the efference copy generated simultaneously with the motor commands issued by the brain, resulting in intensified sensations, among which subjective fatigue perception may be included. Therefore, we developed a model with only the sensory feedback error terms as the independent variable for the temporal and spatial modalities, respectively, given bySFi=f(TEi)SFi=f(SEi)where SFi represents the subjective fatigue perception level of the i-th block.\n\n\n### Model Group 2: Muscle fatigue model\nThe afferent feedback of muscles and the muscle fatigue-induced adaptation of sensorimotor cortex87,88,89 suggested the possible contribution of muscle fatigue to the subjective fatigue perception. Also, our daily experience of exercising also suggested the association between soreness of muscles and fatigue feelings. Herein, we developed a model with only the muscle fatigue characteristic as the independent variable. This model did not distinguish across temporal and spatial modalities, given that we only evaluated in which function form MF should be included into following modeling. The model can be denoted bySFi=f(MFi)\n\n\n### Model 3: Muscle fatigue and prediction error model\nIn this model, we treated muscle fatigue and prediction error as separate independent variables without considering their interactions, denoted bySFi=f(MFi,TEi)SFi=f(MFi,SEi)\nPrevious studies have shown that in simple finger movements, the sensory feedback error in the temporal modality introduced by adjusting the time interval of visual feedback can affect subjective fatigue perception, and the error has a directional effect.5 Therefore, TEi and SEi were with directions (negative, positive or equal to error).\n\n\n### Model 4: Muscle fatigue and prediction error interacting model\nPrevious study on the isometric contraction task of the thigh has shown the possibility that the fluctuation of muscle fatigue may relate with prediction error.22 In this model, we further included the potential interaction between prediction error and muscle fatigue by considering the interaction term of the prediction error and muscle fatigue, given bySFi=f(MFi×TEi,TEi)SFi=f(MFi×SEi,SEi)\n\n\n### Model 5: Heart rate-involved model\nThe changes in heart rate during exercise can reflect the global peripheral fatigue of the human body, such as the state of the sympathetic nervous system.90 To explore whether the changes in the global peripheral fatigue were involved in the fluctuation of subjective fatigue perception, after comparing the performance of the above models, heart rate was added as a separate independent variable into each of the above models with the best performance, given bySFi=ModelGroup1−4+f(HRi)\n\n\n### Model fitting\nTo fit the above models to the subjective fatigue levels of each stage during the exercise process SF˜(i), we used the Levenberg-Marquardt algorithm to minimize an error ERRSF defined by the sum of squared residuals between the subjective fatigue levels of each stage and the subjective fatigue perception estimated by the model SF(i):ERRSF=∑i(SF(i)−SF˜(i))2\nThe subjective fatigue levels collected in the experiment were first normalized to account for variability in scale usage between participants usingSF˜(i)=SF(i)−avg(SF(i))std(SF(i))where avg and std are computing the average and standard deviation of each subject’s levels.\nEach term in the model contains a parameter to be estimated. The MATLAB lsqnonlin non-linear least squares solving function is utilized to optimize each model parameter under the constraint that it should be a positive number. The initial parameter values are randomly set within the open interval (0,1). Each model is fitted 50 times while ensuring that the optimization function does not get trapped in local minima.\nOur models focus on determining whether subjective fatigue perception is best described by a certain model. Meanwhile, more parsimonious models are preferred over more complex ones. We use the Akaike Information Criterion (AIC) and the Bayesian Information Criterion (BIC) as comparison indicators for model performance, which punishes models for their number of free parameters. Under the assumption that the errors follow a normal distribution, we transform ERRSF into likelihood functions and obtain the following criteria:AIC=2k+n∗ln(ERRSF)BIC=kln(n)+n∗ln(ERRSF)where k is the number of model parameters and n is the number of samples.\nWe conducted a comparative analysis among multiple groups of models to obtain the optimal computational models under different modalities: For the computational models of different modalities, we first determined the optimal model in each Model Group by identifying the single model with the minimum AIC and BIC values. Secondly, we compared the optimal model in different model groups to find out the model with the best performance as the model of the dynamic process of subjective fatigue perception under the corresponding modality.\n\n\n### Quantification and statistical analysis\nDuring the data preprocessing stage, the Interquartile Range (IQR) method is employed to identify and remove outliers from the variables. This study employed the permutation test for statistical analysis. Due to the small sample size and the nonnormal distribution of some data, the permutation test does not rely on distribution assumptions and can provide more robust statistical inference results. Besides, we used Wilcoxon Signed-Rank Test to compare the differences between the perceived exercise process and the actual process of each group, and paired sample t-tests to examine pre- and post-exercise changes in physiological and psychological indices for each group, with results detailed in Figures 2 and 3. When comparing the physiological indicators, each block was evenly divided into 10 parts, and the characteristics of these parts were all used for comparison. Partial regression and multivariable linear regression were conducted to explore the associations between independent variables (muscle fatigue, heart rate, sensory prediction error, pleasure level) and subjective fatigue perception, and bootstrapping was used to compare regression coefficients of muscle fatigue changes across experimental groups. All statistical details including exact n values (n represents the number of participants, with Study 1: n = 30, Study 2: n = 27), center measures (mean), dispersion, and statistical test results are fully reported in the Results section, corresponding figures and figure legends. Statistical significance was defined as p < 0.05 for all analyses. For all statistical analyses, a Post hoc analysis was conducted using G∗Power to calculate the power of the results, with all the power greater than 0.85. For study design, participants were randomly assigned to the order of experimental conditions to minimize order effects and all participants were included in the final analysis. All statistical analysis was implemented using MATLAB 2022b (MathWorks, USA).", "domain": "affective_neuroscience"}
{"source": "PMC13095619", "title": "Research progress and clinical application of functional magnetic resonance imaging in otolaryngology-head and neck diseases", "text": "# Research progress and clinical application of functional magnetic resonance imaging in otolaryngology-head and neck diseases\n\n## Abstract\nFunctional magnetic resonance imaging (fMRI) is a non-invasive tool that detects neural activity via BOLD signals. In otolaryngology–head and neck disorders, such as tinnitus, sudden sensorineural hearing loss, vestibular migraine, and olfactory dysfunction, fMRI reveals disease-specific neural pathophysiology, altered functional connectivity, and compensatory brain reorganization. It aids diagnosis and differential diagnosis by distinguishing abnormal regional activity patterns, predicts individual prognosis through connectivity-based biomarkers, monitors treatment response, and informs development of targeted therapeutics. Additionally, fMRI elucidates central mechanisms underlying sensory deficits and secondary psychological or cognitive disturbances, likely resulting from chronic symptom burden or maladaptive central neuroplasticity. This review summarizes recent advances and highlights fMRI’s clinical relevance in elucidating neuropathological mechanisms, guiding personalized management, supporting precision medicine, and facilitating novel therapeutic strategies in otolaryngology.\n\n## Full Text\n\n\n### Introduction\nFunctional magnetic resonance imaging (fMRI) is a non-invasive technique that reflects nerve function by indirectly measuring nerve activity based on the changes in the blood oxygen level-dependent (BOLD) signals (1). In 1990, Ogawa and colleagues discovered that changes in the concentration of deoxyhemoglobin in specific regions of the brain lead to variations in magnetic resonance imaging (MRI) signal intensity. This phenomenon, resulting from changes in the levels of oxygenated and deoxygenated hemoglobin in the blood, can reflect alterations in neuronal activity (2, 3). fMRI has been widely used to study functional activities of the brain and has revealed some important results in recent years (1, 4, 5). These include methodological and translational challenges in clinical fMRI (e.g., reproducibility, standardization, and result interpretation) (1), mapping of large-scale brain networks linked to cognition and behavior (4), and evolving trends, research hotspots, and collaboration patterns in resting-state fMRI over the past two decades (5).\nPatients with otolaryngology–head and neck disorders may exhibit disturbances in olfaction (6), balance (7, 8), hearing (9, 10), phonation, speech, and swallowing (11), representing critical functional domains within the diagnostic and therapeutic framework of the specialty. Common conditions include sudden sensorineural hearing loss, vestibular migraine (VM), olfactory dysfunction, and tinnitus (6–11). In a subset of patients, these deficits are further accompanied by secondary psychological and cognitive disturbances (12–16), potentially arising from prolonged symptom burden, sustained sensory deprivation, or maladaptive central neuroplasticity. Moreover, the neurobiological mechanisms underlying certain otolaryngological disorders, such as VM, sudden hearing loss, and idiopathic tinnitus, remain incompletely understood. Conventional diagnostic approaches—including endoscopy, histopathological evaluation, and structural imaging—primarily identify anatomical or peripheral abnormalities but provide limited insight into central functional organization and large-scale network dynamics. These limitations underscore the need for improved characterization of central neural mechanisms using fMRI (17–21). Consequently, the central neurobiological substrates of several chronic or functionally predominant otolaryngological conditions remain incompletely characterized, contributing to diagnostic complexity and suboptimal therapeutic outcomes. fMRI has demonstrated that tinnitus (22), sudden sensorineural hearing loss (23), VM (24, 25), and related disorders—including persistent postural-perceptual dizziness—are associated with altered functional connectivity and abnormal regional brain activity (26). Beyond elucidating disease-related neural mechanisms and supporting objective assessment of functional impairments, fMRI can also characterize compensatory neural reorganization arising from peripheral or cortical dysfunction (9, 11, 15, 17, 21). Collectively, these findings establish fMRI as a complementary modality for mechanistic clarification, evaluation of disease severity, assessment of central adaptation, and optimization of therapeutic strategies. This review summarizes recent advances in fMRI applications in otolaryngology and head and neck disorders and highlights their potential clinical implications.\n\n\n### Principle and classification of fMRI\nfMRI is a noninvasive neuroimaging technique based on blood oxygenation level–dependent (BOLD) contrast, which reflects changes in regional cerebral blood flow associated with neuronal activity (2–4). Increased neural activity leads to relative reductions in deoxygenated hemoglobin, resulting in signal enhancement on T2*-weighted images (4, 27). With millimeter-scale spatial resolution, fMRI enables localization of functional alterations and can be integrated with other imaging modalities to provide complementary structural and metabolic information (27, 28). The working principle of fMRI is illustrated, and the details are provided in Figure 1.\nSchematic of fMRI BOLD signal generation. Neural activity increases local energy demand, triggering enhanced cerebral blood flow (CBF) and blood volume (CBV). This overcompensation reduces deoxygenated hemoglobin (HbR) and increases oxygenated hemoglobin (HbO2), altering local magnetic properties and producing the BOLD signal detected by MRI.\nfMRI has been divided into resting state fMRI and task state-fMRI (28). rs-fMRI acquires BOLD images while the patient is at rest without performing a specific task. Patients are instructed to lie with their heads fixed and eyes closed, with maintenance of calm breathing. Subsequently, they are instructed to minimize active and passive movements of the body (5, 20, 29). ts-fMRI acquires images of the patients when specific cortical areas are activated by a task or stimulus. The resultant increase in local cerebral blood flow leads to an increase in the oxyhaemoglobin level, a decrease in the deoxyhaemoglobin level, and enhancement of the T2-weighted signal. These changes reflect brain activity during the task or stimulus state (28).\n\n\n### Principles of fMRI\nfMRI is a noninvasive neuroimaging technique based on blood oxygenation level–dependent (BOLD) contrast, which reflects changes in regional cerebral blood flow associated with neuronal activity (2–4). Increased neural activity leads to relative reductions in deoxygenated hemoglobin, resulting in signal enhancement on T2*-weighted images (4, 27). With millimeter-scale spatial resolution, fMRI enables localization of functional alterations and can be integrated with other imaging modalities to provide complementary structural and metabolic information (27, 28). The working principle of fMRI is illustrated, and the details are provided in Figure 1.\nSchematic of fMRI BOLD signal generation. Neural activity increases local energy demand, triggering enhanced cerebral blood flow (CBF) and blood volume (CBV). This overcompensation reduces deoxygenated hemoglobin (HbR) and increases oxygenated hemoglobin (HbO2), altering local magnetic properties and producing the BOLD signal detected by MRI.\n\n\n### Classification of fMRI\nfMRI has been divided into resting state fMRI and task state-fMRI (28). rs-fMRI acquires BOLD images while the patient is at rest without performing a specific task. Patients are instructed to lie with their heads fixed and eyes closed, with maintenance of calm breathing. Subsequently, they are instructed to minimize active and passive movements of the body (5, 20, 29). ts-fMRI acquires images of the patients when specific cortical areas are activated by a task or stimulus. The resultant increase in local cerebral blood flow leads to an increase in the oxyhaemoglobin level, a decrease in the deoxyhaemoglobin level, and enhancement of the T2-weighted signal. These changes reflect brain activity during the task or stimulus state (28).\n\n\n### Analysis methods of fMRI\nWith the deepening of research in brain functional science, the need for a better understanding of brain functions has become increasingly urgent for researchers (4, 7). Traditional anatomical methods (such as CT and conventional MRI) can reveal the structure of the brain but cannot uncover its activity states during specific perception, cognition, emotion, functional compensation mechanisms, or behavioral tasks. fMRI has emerged as a solution, becoming a tool capable of real-time monitoring of brain activity and meeting the demands of studying the dynamic changes in brain functions (15, 17). The data generated by fMRI are often highly complex and multidimensional, making it a significant challenge to effectively extract meaningful information from large datasets. The application of mathematical models, innovations in statistical methods, improvements in computational power (23, 25), and advancements in algorithms have greatly driven the development of fMRI technology and data analysis methods (27, 28).\nThe analysis methods for rs-fMRI include amplitude of low-frequency fluctuations (ALFF), regional homogeneity (ReHo), seed-based functional connectivity (FC), FC density (FCD), independent component analysis (ICA), and graph theory analysis (29, 30).\nALFF, which can quantify the fluctuations in the amplitude of BOLD signal within a frequency range of 0.01–0.1 Hz, provides an average measure of neural activity and indicates the strength of local neuronal activity. ALFF, which can detect spontaneous neural activity, has been employed extensively to examine different regions of the brain (21, 31).\nReHo is a voxel-based measure of the similarity between the neural activity of a voxel and that of its neighbors. This measure is consistent with the BOLD time series and can reflect the connectivity of brain activity in adjacent regions in the resting state. Intrinsic ReHo of the brain reflects aspects of cognitive function. Thus, ReHo can identify disease-related progression, treatment response, and late-delayed cognitive dysfunction (15, 20, 29).\nSeed-based FC analysis is also known as region-of-interest (ROI)-based FC analysis (29). Group differences observed in the ReHo analysis based on hypotheses or previous results are used as ROIs to predetermine seeds (30). The regions related to the activity of the seed regions are identified by determining the correlation between the time series of the seeds and the whole brain (32, 33).\nFCD mapping quantifies the importance of a voxel by comparing it to all other voxels in the whole brain. The higher a voxel’s FCD value, the greater the number of effective FCs it possesses in comparison to other voxels, implying that it is essential for function maintenance. FCD can be further subdivided into global FCD (gFCD), local FCD (lFCD), and long- range FCD (lrFCD) based on neighbor relationships between voxels. The gFCD of a voxel reflects functional coupling throughout the brain, whereas the lFCD presents local changes, and the lrFCD presents functional integration between voxels that are not adjacent to each other (34). Higher FCD value of a voxel indicates a greater number of effective FCs compared with that of other voxels, implying that it is essential for functional maintenance (35).\nICA, a type of data-driven multivariate statistical method, has been used to evaluate several independent functional networks in the brain using fMRI data (36). ICA analyzes resting-state FC within networks or between networks based on a blind source separation algorithm rather than the FC of voxels (36, 37). Studies using ICA have explored abnormal intranet inter-regional networks involved in illness (36, 37).\nGraph theoretic analysis, a branch of formal descriptive and analytical mathematics involving graphs (38, 39), models brain networks based on the connections between brain nodes and edges, which are represented by the values of the degree of functional correlation or structural connectivity between nodes (38). The element is zero or nonzero N * N adjacency matrix (also known as the connection matrix) with between N nodes in the network does not exist or exist relationships. Topological analysis of the graph, which describes the interaction between the network structure and function, is performed by extracting different metrics from this matrix (40). Graph-based network analysis has been used to extract meaningful information regarding the topology of human brain networks, such as small-world, node centrality, modularity, and clustering coefficients (41).\nCollectively, these rs-fMRI analytical approaches can be broadly categorized into complementary methodological levels. Metrics such as ALFF and ReHo primarily quantify local spontaneous neural activity, reflecting voxel-level amplitude and synchronization characteristics. Seed-based FC and FCD extend this analysis to inter-regional functional coupling, enabling assessment of network-level integration and hub organization. In contrast, ICA and graph-theoretical analysis adopt data-driven and network-topological frameworks, respectively, allowing identification of large-scale intrinsic connectivity networks and their global organizational properties. Together, these methods provide a multi-scale perspective on resting-state brain organization, ranging from regional activity to large-scale network topology. Their combined application enhances the interpretability of rs-fMRI findings in otolaryngology–head and neck disorders and facilitates cross-study comparison despite methodological heterogeneity.\nThe analysis methods employed in ts-fMRI include the general linear model (GLM), multi-voxel pattern analysis (MVPA), psychophysiological interaction (PPI), and dynamic causal model (DCM).\nGLM, a popular analysis tool, has been used to set the task and control groups and perform group-level statistical tests including t-test, analysis of variance, and correlation analysis. It can also be used to perform multiple comparisons by setting the contrast matrix (42). GLM can estimate the functional response of the brain and identify the regions significantly activated by a task or stimulus (43, 44).\nMVPA, a technique that can decode neural states using machine learning methods, can explore different experimental conditions with high repeatability of spatial patterns of brain activity (45). It includes a support vector machine and principal component analysis decoding of the model (46, 47). Furthermore, attribute similarity analysis has also been used to evaluate the activation achieved by two tasks in the same brain region to construct representative models of similarity (48).\nDCM, a biological physical model, describes the potential for effective connections between neurons and depicts the development of brain connections (49, 50). Several hypotheses regarding the interaction between different regions of the brain have been proposed based on prior knowledge, with the best mathematical model being selected (51). The state of the potential neuronal connections between a group of regions of the brain (nodes) is analyzed using a state system of bilinear circular equations with specific coefficients. It comprises three matrices (A, B, and C) that account for the effects of connectivity between different regions of the brain and estimates hidden neuronal states based on the measured brain activity (50, 52). Several models have been constructed to determine the effective connectivity between different regions of the brain and adjust covariates (such as age, sex, time, and other behavioral analysis results) to assess their potential impact on the effective connectivity reflected in the fMRI data (52, 53).\nPPI, a widely used task-based fMRI method to examine context-dependent changes in functional connectivity between a predefined seed region and other brain areas. In PPI, the psychological variable represents the experimental condition, while the physiological variable corresponds to the seed region’s time course. Their interaction term identifies regions whose connectivity with the seed changes depending on the task. PPI thus provides a correlational measure of task-dependent connectivity, offering insight into which brain regions co-activate under specific experimental conditions (54).\nCollectively, these task-based fMRI analytical approaches operate at distinct but complementary methodological levels. GLM remains the standard hypothesis-driven framework for identifying task-evoked regional activation. MVPA extends this approach by capturing distributed spatial activation patterns and decoding condition-specific neural representations. In contrast, PPI and DCM move beyond regional activation to examine inter-regional interactions, with PPI assessing context-dependent functional connectivity and DCM modeling directed effective connectivity based on predefined neuronal architectures. Together, these methods provide convergent insights into both localized task responses and network-level interactions, thereby enriching the interpretation of stimulus-driven neural mechanisms in otolaryngology–head and neck disorders.\nIn summary, different analytical methods, each with important implications for fMRI data analysis, have been used for rs-fMRI and ts-fMRI. Table 1 presents common analysis methods and summary of functional magnetic resonance imaging.\nCommon analysis methods and summary of functional magnetic resonance imaging.\n\n\n### rs-fMRI analysis methods\nThe analysis methods for rs-fMRI include amplitude of low-frequency fluctuations (ALFF), regional homogeneity (ReHo), seed-based functional connectivity (FC), FC density (FCD), independent component analysis (ICA), and graph theory analysis (29, 30).\nALFF, which can quantify the fluctuations in the amplitude of BOLD signal within a frequency range of 0.01–0.1 Hz, provides an average measure of neural activity and indicates the strength of local neuronal activity. ALFF, which can detect spontaneous neural activity, has been employed extensively to examine different regions of the brain (21, 31).\nReHo is a voxel-based measure of the similarity between the neural activity of a voxel and that of its neighbors. This measure is consistent with the BOLD time series and can reflect the connectivity of brain activity in adjacent regions in the resting state. Intrinsic ReHo of the brain reflects aspects of cognitive function. Thus, ReHo can identify disease-related progression, treatment response, and late-delayed cognitive dysfunction (15, 20, 29).\nSeed-based FC analysis is also known as region-of-interest (ROI)-based FC analysis (29). Group differences observed in the ReHo analysis based on hypotheses or previous results are used as ROIs to predetermine seeds (30). The regions related to the activity of the seed regions are identified by determining the correlation between the time series of the seeds and the whole brain (32, 33).\nFCD mapping quantifies the importance of a voxel by comparing it to all other voxels in the whole brain. The higher a voxel’s FCD value, the greater the number of effective FCs it possesses in comparison to other voxels, implying that it is essential for function maintenance. FCD can be further subdivided into global FCD (gFCD), local FCD (lFCD), and long- range FCD (lrFCD) based on neighbor relationships between voxels. The gFCD of a voxel reflects functional coupling throughout the brain, whereas the lFCD presents local changes, and the lrFCD presents functional integration between voxels that are not adjacent to each other (34). Higher FCD value of a voxel indicates a greater number of effective FCs compared with that of other voxels, implying that it is essential for functional maintenance (35).\nICA, a type of data-driven multivariate statistical method, has been used to evaluate several independent functional networks in the brain using fMRI data (36). ICA analyzes resting-state FC within networks or between networks based on a blind source separation algorithm rather than the FC of voxels (36, 37). Studies using ICA have explored abnormal intranet inter-regional networks involved in illness (36, 37).\nGraph theoretic analysis, a branch of formal descriptive and analytical mathematics involving graphs (38, 39), models brain networks based on the connections between brain nodes and edges, which are represented by the values of the degree of functional correlation or structural connectivity between nodes (38). The element is zero or nonzero N * N adjacency matrix (also known as the connection matrix) with between N nodes in the network does not exist or exist relationships. Topological analysis of the graph, which describes the interaction between the network structure and function, is performed by extracting different metrics from this matrix (40). Graph-based network analysis has been used to extract meaningful information regarding the topology of human brain networks, such as small-world, node centrality, modularity, and clustering coefficients (41).\nCollectively, these rs-fMRI analytical approaches can be broadly categorized into complementary methodological levels. Metrics such as ALFF and ReHo primarily quantify local spontaneous neural activity, reflecting voxel-level amplitude and synchronization characteristics. Seed-based FC and FCD extend this analysis to inter-regional functional coupling, enabling assessment of network-level integration and hub organization. In contrast, ICA and graph-theoretical analysis adopt data-driven and network-topological frameworks, respectively, allowing identification of large-scale intrinsic connectivity networks and their global organizational properties. Together, these methods provide a multi-scale perspective on resting-state brain organization, ranging from regional activity to large-scale network topology. Their combined application enhances the interpretability of rs-fMRI findings in otolaryngology–head and neck disorders and facilitates cross-study comparison despite methodological heterogeneity.\n\n\n### Analysis methods employed in ts-fMRI\nThe analysis methods employed in ts-fMRI include the general linear model (GLM), multi-voxel pattern analysis (MVPA), psychophysiological interaction (PPI), and dynamic causal model (DCM).\nGLM, a popular analysis tool, has been used to set the task and control groups and perform group-level statistical tests including t-test, analysis of variance, and correlation analysis. It can also be used to perform multiple comparisons by setting the contrast matrix (42). GLM can estimate the functional response of the brain and identify the regions significantly activated by a task or stimulus (43, 44).\nMVPA, a technique that can decode neural states using machine learning methods, can explore different experimental conditions with high repeatability of spatial patterns of brain activity (45). It includes a support vector machine and principal component analysis decoding of the model (46, 47). Furthermore, attribute similarity analysis has also been used to evaluate the activation achieved by two tasks in the same brain region to construct representative models of similarity (48).\nDCM, a biological physical model, describes the potential for effective connections between neurons and depicts the development of brain connections (49, 50). Several hypotheses regarding the interaction between different regions of the brain have been proposed based on prior knowledge, with the best mathematical model being selected (51). The state of the potential neuronal connections between a group of regions of the brain (nodes) is analyzed using a state system of bilinear circular equations with specific coefficients. It comprises three matrices (A, B, and C) that account for the effects of connectivity between different regions of the brain and estimates hidden neuronal states based on the measured brain activity (50, 52). Several models have been constructed to determine the effective connectivity between different regions of the brain and adjust covariates (such as age, sex, time, and other behavioral analysis results) to assess their potential impact on the effective connectivity reflected in the fMRI data (52, 53).\nPPI, a widely used task-based fMRI method to examine context-dependent changes in functional connectivity between a predefined seed region and other brain areas. In PPI, the psychological variable represents the experimental condition, while the physiological variable corresponds to the seed region’s time course. Their interaction term identifies regions whose connectivity with the seed changes depending on the task. PPI thus provides a correlational measure of task-dependent connectivity, offering insight into which brain regions co-activate under specific experimental conditions (54).\nCollectively, these task-based fMRI analytical approaches operate at distinct but complementary methodological levels. GLM remains the standard hypothesis-driven framework for identifying task-evoked regional activation. MVPA extends this approach by capturing distributed spatial activation patterns and decoding condition-specific neural representations. In contrast, PPI and DCM move beyond regional activation to examine inter-regional interactions, with PPI assessing context-dependent functional connectivity and DCM modeling directed effective connectivity based on predefined neuronal architectures. Together, these methods provide convergent insights into both localized task responses and network-level interactions, thereby enriching the interpretation of stimulus-driven neural mechanisms in otolaryngology–head and neck disorders.\nIn summary, different analytical methods, each with important implications for fMRI data analysis, have been used for rs-fMRI and ts-fMRI. Table 1 presents common analysis methods and summary of functional magnetic resonance imaging.\nCommon analysis methods and summary of functional magnetic resonance imaging.\n\n\n### Role of fMRI in clinical practice\nfMRI diagnosis diseases based on changes in signals in specific brain region or the changes in the FC between different brain regions (10, 55, 56), according to the characteristics of typical regions of the brain.\nrs-fMRI has revealed significant enhancement of inter-network and intra-network connectivity of the default mode network (DMN) and olfactory network (ON) in patients with olfactory dysfunction (OD) caused by coronavirus disease 2019 (COVID-19) (32). Whether this connectivity pattern is specific to COVID-19–associated OD or shared across other etiologies remains to be further investigated. Although standard diagnostic approaches for OD—such as psychophysical olfactory testing—are faster, more accessible, and less costly, rs-fMRI provides complementary information regarding central functional alterations and network-level reorganization. Ts-fMRI combined with caloric stimulation has demonstrated asymmetric activation within vestibular cortical regions—including the insula, temporo-parietal junction, cerebellum, and parietal cortex—in patients with unilateral peripheral vestibular lesions (57). Unlike conventional vestibular tests that primarily assess peripheral function, this approach enables visualization of central vestibular processing and compensatory reorganization. Although not intended to replace established objective vestibular tests, fMRI provides complementary information regarding cortical involvement and adaptive neuroplasticity, which may contribute to mechanistic understanding and prognostic evaluation.\nSymptoms are common manifestations of diseases. For different diseases with similar symptoms, fMRI has revealed activation of different functional areas of the brain or abnormal connectivity in some areas (58). Thus, fMRI may aid differentiation of clinically overlapping conditions through distinct neural activity and connectivity patterns.\nRs-fMRI was employed by Jung et al. to investigate differences in functional connectivity (FC) patterns between oral and nasal breathing conditions. Seed-based network analysis revealed that oral breathing was associated with enhanced connectivity of the left inferior temporal gyrus with widespread regions in the left hemisphere, as well as increased involvement of eyelid motor and sensorimotor cortices. In contrast, nasal breathing demonstrated more symmetrical FC patterns within sensorimotor networks. These findings suggest that spontaneous breathing mode is associated with distinct patterns of large-scale network organization, particularly within sensorimotor and integrative cortical regions. Rather than serving as a direct diagnostic tool for identifying breathing type, these observations provide insight into how altered respiratory patterns may modulate cortical network dynamics. Thus, rs-fMRI contributes to a mechanistic understanding of respiration-related brain network modulation and may inform future research on the neural consequences of dysfunctional breathing patterns (33).\nfMRI studies indicate that, among stroke patients receiving the same treatment, differences in brain activation and connectivity are associated with functional recovery (59). Similarly, in children and adults with hearing loss undergoing cochlear implantation, preimplant fMRI measures can help predict auditory and language outcomes (60, 61). Thus, fMRI-based measures may serve as investigational biomarkers for individual prognosis.\nAn fMRI study that predicted hearing and language performance after cochlear implantation revealed significant activation in the left precuneus, right supramarginal gyrus, right middle frontal gyrus, and left middle temporal gyrus in patients with good prognosis after cochlear implantation. Thus, fMRI can be used as a neuroimaging-associated biomarker for the pre-implantation prediction of auditory and language performance after cochlear implantation in children. Tinnitus improved post-treatment when the left side of the primary auditory and bilateral temporal lobe cortex connectivity was strong in patients undergoing transcranial magnetic stimulation (61). Thus, fMRI can be used to predict responses to transcranial magnetic stimulation in patients with tinnitus (62).\nfMRI has revealed changes in the activity intensity and connectivity state of certain functional areas of the brain in patients with certain diseases. Analyzing the activity of functional networks may help reveal the pathogenesis of diseases and the subsequent compensatory mechanisms (20, 63, 64). ALFF and degree centrality (DC) analysis methods were used to detect abnormal spontaneous activity and neural connectivity between different regions of the brain in patients with acute subjective tinnitus (AST) in a study by Chen et al. Their findings revealed that AST pathogenesis may be related to abnormalities in the auditory cortex and non-auditory cortex, thereby objectively elucidating the neuropathological mechanisms of tinnitus (31). Decreased static fractional ALFF (fALFF) value in the left fusiform gyrus, left precentral gyrus, and right inferior frontal gyrus has been observed in patients with sudden sensorineural hearing loss (SSHL). The decreased static fALFF value observed in these regions may reflect the changes in sensory and cognitive functions related to SSHL. Increased static fALFF values in the left inferior frontal gyrus, left superior frontal gyrus, and right middle temporal gyrus indicate that the increased neural activity in these regions was associated with central compensatory mechanisms (65).\nfMRI provides a valuable tool to explore abnormalities in functional networks in patients with diseases affecting the central nervous system. The development of targeted drugs to modulate important nodes in abnormal functional networks could potentially facilitate precision treatment (66, 67). fMRI may be applied in the early stages of drug development to detect whether the candidate drug causes changes in the relevant regions of the brain, thereby offering an objective measure of potential therapeutic effects (66, 68, 69).\nGraph-theoretic analysis was used to reveal the structural pain network through which the brain processes nociceptive information (38). The brain is modeled as a network of 49 nodes connected by edges representing directed and weighted structural connections. Key metrics include node centrality, clustering coefficient, modularity, assortativity, and robustness. Using these metrics, Chen et al. (38) found that 63% of brain areas share reciprocal connections, sensory and affective subnetworks are clearly separated, and hub nodes are vulnerable targets whose disruption could theoretically alleviate pain. Their findings provide a network-level perspective on possible mechanisms underlying pain, and suggest that targeting central nodes in the pain network may offer a theoretical approach to pain modulation, which may inform hypotheses for future pharmacological modulation.\nfMRI could also be applied in clinical trials and pharmacological studies. It could help identify the areas of the brain that are associated with specific symptoms in patients with mental health issues. MRI studies have shown that the amygdala is commonly targeted by all investigational compounds used for the treatment of depression. A successful response to pharmacological antidepressants refers to the normalization of brain activity and connectivity associated with depression. Therefore, fMRI-associated changes can serve as potential therapeutic targets in clinical trials to identify the direction of antidepressant drugs (66).\nAlthough most fMRI-informed drug development studies have focused on neurological or psychiatric disorders (38, 66), similar approaches could potentially be applied to otolaryngologic conditions. For instance, fMRI could help identify abnormal brain networks underlying VM (24), tinnitus (22), or anxiety associated with chronic otolaryngologic diseases (12–16), thereby providing potential targets for pharmacological intervention. While direct clinical applications in otolaryngology have yet to be established, these considerations highlight the prospective relevance of fMRI for guiding future drug development strategies.\n\n\n### Diagnosis and differential diagnosis of diseases\nfMRI diagnosis diseases based on changes in signals in specific brain region or the changes in the FC between different brain regions (10, 55, 56), according to the characteristics of typical regions of the brain.\nrs-fMRI has revealed significant enhancement of inter-network and intra-network connectivity of the default mode network (DMN) and olfactory network (ON) in patients with olfactory dysfunction (OD) caused by coronavirus disease 2019 (COVID-19) (32). Whether this connectivity pattern is specific to COVID-19–associated OD or shared across other etiologies remains to be further investigated. Although standard diagnostic approaches for OD—such as psychophysical olfactory testing—are faster, more accessible, and less costly, rs-fMRI provides complementary information regarding central functional alterations and network-level reorganization. Ts-fMRI combined with caloric stimulation has demonstrated asymmetric activation within vestibular cortical regions—including the insula, temporo-parietal junction, cerebellum, and parietal cortex—in patients with unilateral peripheral vestibular lesions (57). Unlike conventional vestibular tests that primarily assess peripheral function, this approach enables visualization of central vestibular processing and compensatory reorganization. Although not intended to replace established objective vestibular tests, fMRI provides complementary information regarding cortical involvement and adaptive neuroplasticity, which may contribute to mechanistic understanding and prognostic evaluation.\nSymptoms are common manifestations of diseases. For different diseases with similar symptoms, fMRI has revealed activation of different functional areas of the brain or abnormal connectivity in some areas (58). Thus, fMRI may aid differentiation of clinically overlapping conditions through distinct neural activity and connectivity patterns.\nRs-fMRI was employed by Jung et al. to investigate differences in functional connectivity (FC) patterns between oral and nasal breathing conditions. Seed-based network analysis revealed that oral breathing was associated with enhanced connectivity of the left inferior temporal gyrus with widespread regions in the left hemisphere, as well as increased involvement of eyelid motor and sensorimotor cortices. In contrast, nasal breathing demonstrated more symmetrical FC patterns within sensorimotor networks. These findings suggest that spontaneous breathing mode is associated with distinct patterns of large-scale network organization, particularly within sensorimotor and integrative cortical regions. Rather than serving as a direct diagnostic tool for identifying breathing type, these observations provide insight into how altered respiratory patterns may modulate cortical network dynamics. Thus, rs-fMRI contributes to a mechanistic understanding of respiration-related brain network modulation and may inform future research on the neural consequences of dysfunctional breathing patterns (33).\n\n\n### Diagnosis of diseases\nfMRI diagnosis diseases based on changes in signals in specific brain region or the changes in the FC between different brain regions (10, 55, 56), according to the characteristics of typical regions of the brain.\nrs-fMRI has revealed significant enhancement of inter-network and intra-network connectivity of the default mode network (DMN) and olfactory network (ON) in patients with olfactory dysfunction (OD) caused by coronavirus disease 2019 (COVID-19) (32). Whether this connectivity pattern is specific to COVID-19–associated OD or shared across other etiologies remains to be further investigated. Although standard diagnostic approaches for OD—such as psychophysical olfactory testing—are faster, more accessible, and less costly, rs-fMRI provides complementary information regarding central functional alterations and network-level reorganization. Ts-fMRI combined with caloric stimulation has demonstrated asymmetric activation within vestibular cortical regions—including the insula, temporo-parietal junction, cerebellum, and parietal cortex—in patients with unilateral peripheral vestibular lesions (57). Unlike conventional vestibular tests that primarily assess peripheral function, this approach enables visualization of central vestibular processing and compensatory reorganization. Although not intended to replace established objective vestibular tests, fMRI provides complementary information regarding cortical involvement and adaptive neuroplasticity, which may contribute to mechanistic understanding and prognostic evaluation.\n\n\n### Differential diagnoses of diseases\nSymptoms are common manifestations of diseases. For different diseases with similar symptoms, fMRI has revealed activation of different functional areas of the brain or abnormal connectivity in some areas (58). Thus, fMRI may aid differentiation of clinically overlapping conditions through distinct neural activity and connectivity patterns.\nRs-fMRI was employed by Jung et al. to investigate differences in functional connectivity (FC) patterns between oral and nasal breathing conditions. Seed-based network analysis revealed that oral breathing was associated with enhanced connectivity of the left inferior temporal gyrus with widespread regions in the left hemisphere, as well as increased involvement of eyelid motor and sensorimotor cortices. In contrast, nasal breathing demonstrated more symmetrical FC patterns within sensorimotor networks. These findings suggest that spontaneous breathing mode is associated with distinct patterns of large-scale network organization, particularly within sensorimotor and integrative cortical regions. Rather than serving as a direct diagnostic tool for identifying breathing type, these observations provide insight into how altered respiratory patterns may modulate cortical network dynamics. Thus, rs-fMRI contributes to a mechanistic understanding of respiration-related brain network modulation and may inform future research on the neural consequences of dysfunctional breathing patterns (33).\n\n\n### Prognosis prediction for individual treatment\nfMRI studies indicate that, among stroke patients receiving the same treatment, differences in brain activation and connectivity are associated with functional recovery (59). Similarly, in children and adults with hearing loss undergoing cochlear implantation, preimplant fMRI measures can help predict auditory and language outcomes (60, 61). Thus, fMRI-based measures may serve as investigational biomarkers for individual prognosis.\nAn fMRI study that predicted hearing and language performance after cochlear implantation revealed significant activation in the left precuneus, right supramarginal gyrus, right middle frontal gyrus, and left middle temporal gyrus in patients with good prognosis after cochlear implantation. Thus, fMRI can be used as a neuroimaging-associated biomarker for the pre-implantation prediction of auditory and language performance after cochlear implantation in children. Tinnitus improved post-treatment when the left side of the primary auditory and bilateral temporal lobe cortex connectivity was strong in patients undergoing transcranial magnetic stimulation (61). Thus, fMRI can be used to predict responses to transcranial magnetic stimulation in patients with tinnitus (62).\n\n\n### Identification of pathogenesis and compensatory mechanisms\nfMRI has revealed changes in the activity intensity and connectivity state of certain functional areas of the brain in patients with certain diseases. Analyzing the activity of functional networks may help reveal the pathogenesis of diseases and the subsequent compensatory mechanisms (20, 63, 64). ALFF and degree centrality (DC) analysis methods were used to detect abnormal spontaneous activity and neural connectivity between different regions of the brain in patients with acute subjective tinnitus (AST) in a study by Chen et al. Their findings revealed that AST pathogenesis may be related to abnormalities in the auditory cortex and non-auditory cortex, thereby objectively elucidating the neuropathological mechanisms of tinnitus (31). Decreased static fractional ALFF (fALFF) value in the left fusiform gyrus, left precentral gyrus, and right inferior frontal gyrus has been observed in patients with sudden sensorineural hearing loss (SSHL). The decreased static fALFF value observed in these regions may reflect the changes in sensory and cognitive functions related to SSHL. Increased static fALFF values in the left inferior frontal gyrus, left superior frontal gyrus, and right middle temporal gyrus indicate that the increased neural activity in these regions was associated with central compensatory mechanisms (65).\n\n\n### Promotion of the development of new drugs\nfMRI provides a valuable tool to explore abnormalities in functional networks in patients with diseases affecting the central nervous system. The development of targeted drugs to modulate important nodes in abnormal functional networks could potentially facilitate precision treatment (66, 67). fMRI may be applied in the early stages of drug development to detect whether the candidate drug causes changes in the relevant regions of the brain, thereby offering an objective measure of potential therapeutic effects (66, 68, 69).\nGraph-theoretic analysis was used to reveal the structural pain network through which the brain processes nociceptive information (38). The brain is modeled as a network of 49 nodes connected by edges representing directed and weighted structural connections. Key metrics include node centrality, clustering coefficient, modularity, assortativity, and robustness. Using these metrics, Chen et al. (38) found that 63% of brain areas share reciprocal connections, sensory and affective subnetworks are clearly separated, and hub nodes are vulnerable targets whose disruption could theoretically alleviate pain. Their findings provide a network-level perspective on possible mechanisms underlying pain, and suggest that targeting central nodes in the pain network may offer a theoretical approach to pain modulation, which may inform hypotheses for future pharmacological modulation.\nfMRI could also be applied in clinical trials and pharmacological studies. It could help identify the areas of the brain that are associated with specific symptoms in patients with mental health issues. MRI studies have shown that the amygdala is commonly targeted by all investigational compounds used for the treatment of depression. A successful response to pharmacological antidepressants refers to the normalization of brain activity and connectivity associated with depression. Therefore, fMRI-associated changes can serve as potential therapeutic targets in clinical trials to identify the direction of antidepressant drugs (66).\nAlthough most fMRI-informed drug development studies have focused on neurological or psychiatric disorders (38, 66), similar approaches could potentially be applied to otolaryngologic conditions. For instance, fMRI could help identify abnormal brain networks underlying VM (24), tinnitus (22), or anxiety associated with chronic otolaryngologic diseases (12–16), thereby providing potential targets for pharmacological intervention. While direct clinical applications in otolaryngology have yet to be established, these considerations highlight the prospective relevance of fMRI for guiding future drug development strategies.\n\n\n### Research progress and possible clinical application of fMRI in patients with otolaryngology-head and neck diseases\nPersonalized precision treatment must be based on a clear diagnosis of diseases and an understanding of their pathogenesis. fMRI has achieved remarkable results in the diagnosis of otorhinolaryngological diseases requiring head and neck diseases and comprehension of pathogenesis and central compensatory mechanisms of such diseases. The following sections summarize the use of fMRI in the field of otolaryngology and head and neck diseases and its possible clinical applications.\nFunctional MRI has been widely applied in the investigation of tinnitus (10, 18, 31, 62, 70). Resting-state fMRI studies using ALFF and degree centrality (DC) analyses have demonstrated abnormal neural activity in the auditory cortex of patients with acute subjective tinnitus (AST) (31). Increasing evidence indicates that tinnitus involves not only the auditory cortex but also non-auditory regions, including the limbic system, frontal lobe, cerebellum, and posterior central gyrus, highlighting the contribution of distributed brain networks. Moreover, neural activity within tinnitus-related brain regions appears to be associated with disease stage. Network-level abnormalities are mainly characterized by increased centrality in frontal regions and decreased centrality in the posterior central gyrus. Resting-state fMRI enables the objective assessment of abnormal brain activity in tinnitus patients, thereby providing insights into the neural mechanisms underlying tinnitus. Collectively, these findings provide objective neuroimaging evidence for the clinical diagnosis of AST and enhance understanding of its central neural mechanisms (31).\nIn patients with chronic tinnitus, functional MRI studies have demonstrated a significant reduction in positive interhemispheric connectivity. In addition, functional connectivity between the inferior auditory brainstem and sound-processing regions, including the hippocampus and posterior insula, was markedly decreased. Notably, emotion-related regions (the amygdala and anterior insula) and temporofrontal stress-regulating areas (the prefrontal cortex and inferior frontal gyrus) showed no positive connectivity with the auditory cortex, whereas positive connectivity with lower-level auditory brainstem regions was preserved. This pattern suggests reduced, rather than enhanced, auditory responsiveness as a potential neural correlate of chronic tinnitus, particularly in patients with comorbid mood disorders. These findings provide insight into the neural mechanisms underlying chronic tinnitus, support the objective assessment of tinnitus-related brain network alterations, and may inform the development of targeted sound-based therapeutic interventions (70).\nCollectively, rs-fMRI studies of both acute and chronic tinnitus highlight that the disorder is associated with widespread alterations in auditory and non-auditory brain networks, including the limbic, frontal, cerebellar, and posterior central regions. Acute tinnitus is characterized by abnormal local activity in the auditory cortex and network-level changes in frontal and central regions, whereas chronic tinnitus exhibits reduced interhemispheric and auditory–limbic connectivity, particularly in patients with comorbid mood disorders. These findings suggest a dynamic progression from regional hyperactivity to network-level disconnection across disease stages. Overall, rs-fMRI provides a multi-scale, objective framework to assess tinnitus-related brain alterations, offering insights into its central neural mechanisms and potential targets for sound-based or network-directed interventions.\nFractional amplitude of low-frequency fluctuations (fALFF) is an extension of ALFF that calculates the ratio of power within the low-frequency range to the total power across the entire detectable frequency spectrum, thereby reducing non-specific physiological noise and providing a more robust measure of intrinsic brain activity. While ALFF reflects the absolute amplitude of low-frequency fluctuations (typically 0.01–0.1 Hz) in local brain regions, fALFF offers a normalized and relative measure, allowing a more global perspective of brain activity (65). A study reported decreased fALFF in the left fusiform gyrus, left precentral gyrus, and right inferior frontal gyrus, along with increased fALFF in the left inferior frontal gyrus, left superior frontal gyrus, and right middle temporal gyrus in patients with sudden sensorineural hearing loss (SSHL). These regions are involved in high-level visual processing (fusiform gyrus), motor control (precentral gyrus), cognitive and executive functions (inferior frontal gyrus), and auditory and language processing (middle temporal gyrus). Although derived from a single study, these findings may suggest that SSHL is associated with functional alterations extending beyond the primary auditory cortex; however, further studies are required to validate this observation. Furthermore, static fALFF values in the left fusiform gyrus were positively correlated with the duration of hearing loss, indicating time-dependent changes in regional brain activity. Dynamic fALFF analysis additionally revealed increased fALFF in the right superior frontal gyrus and right middle frontal gyrus, reflecting altered temporal variability in neural activity. Collectively, these static and dynamic fALFF alterations suggest functional reorganization and compensatory neural adaptations in response to hearing loss and may be associated with the underlying pathophysiology of SSHL. Further studies are warranted to clarify the functional significance of these changes, facilitate the development of targeted interventions, and optimize clinical management strategies for SSHL (65).\nIn a cross-sectional case–control study including 28 children with congenital sensorineural hearing loss (CSNHL) and 30 age- and sex-matched healthy controls, whole-brain voxel-wise rs-fMRI ReHo analysis revealed significant alterations in ReHo values in regions associated with auditory, visual, motor, and cognitive processing. These findings suggest the presence of large-scale functional reorganization extending beyond the primary auditory cortex in children with CSNHL. In addition, significant correlations between ReHo values and age were observed in children with CSNHL, suggesting ongoing neural remodeling and compensatory adaptations that facilitate functional adjustment to hearing loss (71). This study reveals the neural correlates of hearing loss, suggesting that targeted training in areas such as visual, motor, and cognitive functions, such as sign language, may theoretically aid children with CSNHL in adapting to hearing loss.\nFitzhugh MC et al. used resting-state fMRI to investigate the functional connectivity of Heschl’s gyrus in older adults without dementia, focusing on the effects of age-related hearing loss. They found that Heschl’s gyri exhibited significant positive functional connectivity with widespread brain regions, including the cingulo-opercular network as well as auditory, visual, somatosensory, and motor areas. These connectivity patterns may reflect compensatory or maladaptive network reorganization associated with hearing decline, highlighting the potential role of rs-fMRI in identifying early central functional changes in age-related hearing loss. Further analyses revealed that, after controlling for age, working memory, and processing speed, hearing loss—particularly in the left ear and within speech frequencies—was associated with increased connectivity between the right Heschl’s gyrus and the dorsal anterior cingulate cortex within the cingulo-opercular network. In contrast, once hearing ability was accounted for, age, working memory, and processing speed were not significantly correlated with Heschl’s gyrus connectivity, suggesting that hearing loss, rather than these other factors, primarily drives the observed connectivity changes (72). The findings reveal age-related hearing loss differences in Heschl’s gyrus functional connectivity that may reflect compensatory attention-related mechanisms for auditory processing.\nAcross rs-fMRI studies of hearing loss, including SSHL, CSNHL, and age-related hearing loss, a consistent pattern emerges: functional alterations extend beyond the primary auditory cortex to involve regions associated with visual processing, motor control, cognitive and executive functions, and large-scale network connectivity. Specifically, fALFF and ReHo analyses reveal changes in frontal, temporal, fusiform, and precentral regions, reflecting both static and dynamic neural reorganization and compensatory adaptations. Seed-based connectivity studies of Heschl’s gyrus further demonstrate altered functional connectivity with widespread networks, including the cingulo-opercular, auditory, visual, somatosensory, and motor systems, suggesting compensatory attention-related mechanisms in response to hearing decline. While these findings converge on the involvement of multi-level brain networks, discrepancies exist in the precise regions and connectivity patterns reported, likely due to differences in participant age, hearing loss etiology and duration, analytical methods, and small sample sizes. Collectively, current evidence highlights widespread neural plasticity associated with hearing loss and its potential impact on sensory, motor, and cognitive processing. Future studies with larger, well-characterized cohorts, longitudinal designs, and standardized analytical approaches are warranted to clarify inconsistent findings, understand the functional significance of observed alterations, and explore the clinical utility of rs-fMRI for early detection, intervention planning, and rehabilitation strategies.\nrs-fMRI showed that patients with chronic unilateral vestibular disease (CUVP) had decreased ALFF in visual cortex-related regions, while ALFF was elevated in sensorimotor, especially motor-related, areas. ReHo analysis revealed significant increases in the lower left cerebellum and right cerebellar hemisphere, which are involved in integrating proprioceptive and motor information and maintaining posture and balance. FC analysis identified networks including the DMN, somatosensory, auditory, vestibular, occipital, and motor cortices. FC normalized with recovery of peripheral vestibular function. These findings suggest that central compensation in CUVP is multifaceted, and increased DMN gray matter and connectivity are associated with chronic symptoms, highlighting their potential as exploratory imaging biomarkers (73).\nrs-fMRI using seed-based FC of bilateral parietal opercular cortex 2 (OP2) and ICA-based functional network connectivity (FNC) revealed functional changes in patients with VM. Specifically, FC increased between the left OP2 and right precuneus, while FC decreased between the left OP2 and left anterior cingulate cortex (ACC) (74). The precuneus, involved in integrating visual and vestibular information, plays a key role in spatial orientation and perception. The ACC contributes to processing migraine-related pain, perception, and regulation. Seed-based FC further revealed increased connectivity between the right OP2 and the right middle frontal gyrus (MFG), which is part of the vestibular and pain cortical circuitry and may be involved in the pathophysiology of VM (74). In patients with VM, FC between the left OP2 and right precuneus was positively correlated with dizziness scale scores. VM patients also showed altered thalamic FC with pain, vestibular, and visual regions, including reduced thalamo-pain and thalamo-vestibular connectivity and enhanced thalamo-visual connectivity, reflecting specific clinical features (75). These findings offer preliminary insights into altered functional connectivity in VM, its underlying pathophysiology and compensatory mechanisms, and potential targets for symptom-focused drug development (74).\nGraph theory analysis of rs-fMRI has been used to characterize connectivity patterns in post-concussion vestibular dysfunction (PCVD). Significant differences were observed between patients with PCVD in the right posterior hippocampus and those in the right posterior insula (frontal region), while patients with cortical PCVD exhibited higher overall network efficiency, cost, and level (76). The anterior insula, located near the presumed primary vestibular cortex and involved in multiple networks from sensory processing to higher-level cognition, was hyperconnected to other vestibular network components, potentially reflecting enhanced visual-vestibular processing (76). The hippocampus may contribute to spatial memory processing (77). Altered rs-fMRI connectivity, including increased connectivity in visual input, multisensory processing, and spatial memory regions, correlated with clinical derivative VOMS scores. These findings could represent maladaptive brain plasticity contributing to vestibular symptoms, though this interpretation remains speculative (76). These findings provide insights into mechanisms of PCVD compensation and enable objective assessment of the condition, supporting the development of strategies for vestibular function recovery.\nAcross rs-fMRI studies of various vestibular disorders, including CUVP, VM, and PCVD, a consistent pattern emerges: widespread functional alterations are observed across visual, vestibular, sensorimotor, and higher-order cognitive networks. In CUVP, decreased ALFF in visual regions and increased ALFF in sensorimotor areas, along with ReHo and FC changes in cerebellar and cortical regions, reflect complex central compensation processes that support postural control and multisensory integration. Similarly, VM patients exhibit altered seed-based and ICA-derived connectivity involving the parietal operculum, precuneus, anterior cingulate cortex, thalamus, and frontal regions, implicating networks for visual-vestibular integration, pain processing, and spatial orientation. In PCVD, graph-theoretical analyses reveal hyperconnectivity of the anterior insula and hippocampus, suggesting adaptive or maladaptive plasticity related to spatial memory, multisensory processing, and vestibular symptomatology. While these studies converge on the involvement of large-scale functional networks beyond classical vestibular cortices, discrepancies exist regarding the specific regions and connectivity patterns identified, likely reflecting differences in patient populations, disorder subtypes, imaging paradigms, and analytical approaches. Most studies are further limited by small sample sizes and heterogeneous methodologies, constraining generalizability. Taken together, current evidence highlights the multifaceted neural adaptations underlying vestibular dysfunction and points to potential exploratory imaging biomarkers; future research with larger, standardized cohorts is needed to clarify inconsistent findings, elucidate mechanisms of compensation versus maladaptation, and evaluate the clinical utility of rs-fMRI for objective assessment and rehabilitation planning.\nSpontaneous brain activity has been observed in resting-state fMRI in patients with allergic rhinitis (AR). Compared with controls, ALFF values were significantly decreased in the precuneus (PCUN) and increased in the anterior cingulate cortex (ACC), both correlating with clinical indicators. ALFF in the PCUN showed a positive correlation with specific IgE levels. The PCUN is involved in regulating anxiety, sleep, and depression and is closely associated with the olfactory system and neurodegeneration-related functions. The ACC contributes to the evaluation and expression of negative emotions, particularly depression and anxiety, and is a key region affected in mood disorders. Altered activity in these regions may be associated with cognitive and emotional disturbances in AR patients. However, these interpretations are based on the known functional roles of the PCUN and ACC and were not directly assessed in the cited study (78). These findings indicate that resting-state spontaneous brain activity in AR is characterized by hypoactivity in the PCUN and hyperactivity in the ACC, which may represent a potential clinical intervention target to improve quality of life and elucidate the neural mechanisms underlying psychological disorders and brain dysfunction in AR. Future longitudinal and multimodal neuroimaging studies combined with standardized neuropsychological assessments are needed to clarify the clinical relevance of these functional alterations in AR.\nICA- and ROI-based analyses have been used to detect resting-state networks in patients who developed olfactory dysfunction (OD) following COVID-19 infection. FC within the default mode network (DMN) was significantly higher in COVID-19 patients than in healthy controls (HCs). Similarly, increased connectivity was observed between the olfactory network (ON) and DMN (32). The default mode network (DMN) has been implicated in higher-order olfactory-related processing. Direct functional connectivity between the DMN and ON has been demonstrated in the odor-visual association paradigm, suggesting that olfactory perception engages cognitive, memory, and attentional resources (79). Furthermore, FC in the ON was significantly correlated with butanol threshold test (BTT) scores, which may offer insight into the neural mechanisms underlying olfactory dysfunction and provide objective imaging markers that complement existing validated olfactory tests (32). These findings may provide preliminary mechanistic insights that could inform future rehabilitation and therapeutic research, although such applications were not directly assessed in the cited study.\nGraph theory analysis of brain function in patients with traumatic anosmia revealed network changes. Connectivity within the olfactory network and between the olfactory and somatosensory networks was increased, and FC was also enhanced in the motor and visual cortices. These findings suggest that while olfactory network connectivity may be impaired, compensatory activation occurs in other networks. rs-fMRI parameters may serve as potential biomarkers for traumatic anosmia (80).\nOverall, rs-fMRI studies of patients with AR, post-COVID-19 olfactory dysfunction, and traumatic anosmia suggest that olfactory-related disorders may involve both region-specific alterations and network-level reorganization. In AR, decreased ALFF in the precuneus and increased ALFF in the anterior cingulate cortex are consistent with potential disruptions in cognitive-emotional regulation. Post-COVID-19 OD appears to be associated with enhanced connectivity within the default mode network and between the olfactory and default mode networks, which may reflect compensatory engagement of higher-order cognitive processes during olfactory perception. Similarly, traumatic anosmia shows increased connectivity within motor, visual, and somatosensory networks, implying possible compensatory network adaptations beyond the olfactory system. Taken together, these findings provide preliminary evidence that olfactory dysfunction could engage distributed brain networks, encompassing both local activity and large-scale network interactions, and underscore the potential utility of rs-fMRI for exploring neural correlates and guiding future therapeutic research.\nA previous study using resting-state MRI compared the nervous system of children with obstructive sleep apnea (OSA) and healthy controls. In children with OSA, ReHo values were reduced in the left medial frontal gyrus and the right posterior tongue region, reflecting dysfunction in these areas. The left medial frontal gyrus is involved in working memory, other cognitive functions, and emotional regulation, while the right posterior tongue region contributes to cognitive processes such as visual recognition and episodic memory consolidation. Dysfunction in these regions is associated with cognitive impairment in children with OSA. Additionally, ALFF values were increased in the right insula, a region involved in sensory information processing and integration that helps maintain homeostasis. Activation of the right insula may help mitigate breathing-related discomfort in OSA. These findings offer exploratory insights into the neural mechanisms potentially involved in cognitive and mood disturbances in OSA, suggesting that clinical management may benefit from addressing both symptomatic relief and cognitive recovery (81).\nOverall, existing fMRI studies suggest that obstructive sleep apnea may be associated with functional alterations in brain regions involved in cognitive processing, emotional regulation, and sensory integration. These findings collectively indicate that OSA-related neural changes extend beyond respiratory control and may contribute to the cognitive and behavioral impairments frequently observed in affected children. However, current evidence remains limited by relatively small sample sizes and methodological heterogeneity across studies, including differences in imaging paradigms and analytical approaches. Future research with larger cohorts and standardized neuroimaging protocols is needed to further clarify the neural mechanisms underlying OSA and to better evaluate the potential clinical relevance of fMRI findings.\nts-fMRI has revealed significant brain activity in the right premotor area, left parietal lobe, right primary somatosensory cortex, and bilateral supplementary motor areas in patients with left vocal fold paralysis (VFP) resulting from head and neck cancer, neck disorders, or other causes. These patients also exhibit extensive activity in sound-related regions during phonation. In contrast, auditory-related activity in the superior temporal gyrus is reduced, suggesting a potential association between auditory feedback from peripheral areas and laryngeal neural control of phonation (82). These findings provide insights into the compensatory mechanisms underlying left vocal fold paralysis. They may inform future research exploring rehabilitation strategies targeting the primary somatosensory cortex, bilateral supplementary motor cortex, and auditory cortex.\nts-fMRI, using BOLD signal variance analysis, revealed increased activity in the cingulate cortex, left cerebellum, and medulla oblongata in patients who underwent total laryngectomy, whereas activity in the left superior temporal gyrus (STG) and precentral gyrus (PCG) was reduced. Previous studies have implicated the cingulate cortex in voluntary motor control of vocalizations, particularly during emotional sound modulation. High cerebellar activation may reflect coordination of esophageal muscle movements for speech, while medulla oblongata activation may reflect engagement of the swallowing pattern generator (SPG) in the brainstem required for esophageal speech. The STG is involved in auditory feedback and self-monitoring, and the PCG controls laryngeal movement (83). These findings are consistent with a role for the cerebellum in coordinating esophageal muscles, activating the brainstem SPG, and reducing reliance on laryngeal muscle control in patients using esophageal speech. Additionally, emotional modulation may influence esophageal speech production.\nOverall, ts-fMRI studies in patients with left vocal fold paralysis and post-laryngectomy conditions suggest that vocal and esophageal speech engages distributed motor and auditory networks, with region-specific activity changes potentially reflecting compensatory mechanisms. In left VFP, increased activity in the premotor, parietal, somatosensory, and supplementary motor areas, coupled with reduced auditory activity in the superior temporal gyrus, may indicate adaptations in motor planning and reduced reliance on auditory feedback. In post-laryngectomy patients, elevated activation in the cingulate cortex, cerebellum, and medulla oblongata alongside decreased activity in the superior temporal and precentral gyri may reflect coordination of esophageal muscle control and engagement of brainstem swallowing generators, with possible modulation by emotional processing. Taken together, these observations provide preliminary evidence that task-related neural reorganization occurs across cortical and subcortical regions in response to peripheral vocal deficits, which may inform future studies exploring targeted rehabilitation strategies and neural correlates of speech recovery.\nA meta-analysis using rs-fMRI to detect brain function changes in patients with head and neck cancer after radiotherapy reported that radiation-induced functional alterations may occur prior to detectable morphological changes, potentially contributing to post-treatment cognitive impairment (84, 85). Significant alterations in FC were observed in the default mode network (DMN), temporal lobe, precuneus, posterior cingulate cortex, and hippocampus. FC changes were also detected in patients with high cognitive scores following radiotherapy. The temporal lobe near the radiation field is particularly vulnerable when radiation doses exceed tolerance levels; however, radiotherapy-induced functional changes are not confined to the temporal lobe or DMN (29). Such alterations may be associated with abnormal connectivity in the right insula and lobar damage (86, 87). The insula is critical for cognitive function, and damage to its tip, whether direct or indirect, may impair overall cognition. Thus, rs-fMRI can provide valuable insights into FC changes and may have potential utility in informing treatment planning and secondary injury management, even when brain morphology appears normal.\nfALFF from rs-fMRI has been used to quantify temporal lobe dysfunction following radiotherapy for head and neck cancer (86). Results indicate that rs-fMRI is an effective tool for early detection of temporal lobe damage within 0–6 months post-radiotherapy (84, 88). Early rs-fMRI assessment may have potential utility in identifying functional alterations at an early stage, which could inform timely medical interventions aimed at mitigating radiotherapy-induced collateral damage. In addition, rs-fMRI may provide an objective evaluation of the extent of temporal lobe dysfunction, supporting clinical decision-making and patient management.\nOverall, rs-fMRI studies in patients with head and neck cancer following radiotherapy suggest that functional alterations can occur prior to detectable structural changes and may contribute to post-treatment cognitive impairment. Observed changes include altered connectivity within the default mode network, temporal lobe, precuneus, posterior cingulate cortex, hippocampus, and right insula, highlighting both local and network-level vulnerability. fALFF analyses further indicate that temporal lobe dysfunction can be detected as early as 0–6 months post-radiotherapy, suggesting potential early biomarkers for timely intervention. Together, these findings provide preliminary evidence that rs-fMRI may serve as a sensitive tool for detecting subclinical functional changes, informing clinical decision-making, and guiding strategies to mitigate radiotherapy-induced cognitive and neural deficits.\nIn summary, fMRI has been widely applied in the study of various otolaryngology–head and neck diseases. Research has identified abnormal activations in specific brain regions and disrupted functional network connectivity in certain pathologies (89). Analysis of these data provides deeper insights into disease pathogenesis and the central compensatory mechanisms involved (90, 91). Furthermore, fMRI offers an objective assessment of disease states, facilitating accurate diagnosis and optimizing personalized treatment strategies (27, 28). Application of fMRI in the field of Otolaryngology-head and neck diseases, and the details are provided in Figure 2.\nApplications of fMRI in otolaryngology–head and neck disorders. The central circle represents fMRI, and surrounding segments depict related disorders—including tinnitus, allergic rhinitis, OSA, and laryngeal motor nerve diseases, among others—where fMRI has been used to study neural mechanisms and functional brain changes.\n\n\n### Hearing and balance system diseases\nFunctional MRI has been widely applied in the investigation of tinnitus (10, 18, 31, 62, 70). Resting-state fMRI studies using ALFF and degree centrality (DC) analyses have demonstrated abnormal neural activity in the auditory cortex of patients with acute subjective tinnitus (AST) (31). Increasing evidence indicates that tinnitus involves not only the auditory cortex but also non-auditory regions, including the limbic system, frontal lobe, cerebellum, and posterior central gyrus, highlighting the contribution of distributed brain networks. Moreover, neural activity within tinnitus-related brain regions appears to be associated with disease stage. Network-level abnormalities are mainly characterized by increased centrality in frontal regions and decreased centrality in the posterior central gyrus. Resting-state fMRI enables the objective assessment of abnormal brain activity in tinnitus patients, thereby providing insights into the neural mechanisms underlying tinnitus. Collectively, these findings provide objective neuroimaging evidence for the clinical diagnosis of AST and enhance understanding of its central neural mechanisms (31).\nIn patients with chronic tinnitus, functional MRI studies have demonstrated a significant reduction in positive interhemispheric connectivity. In addition, functional connectivity between the inferior auditory brainstem and sound-processing regions, including the hippocampus and posterior insula, was markedly decreased. Notably, emotion-related regions (the amygdala and anterior insula) and temporofrontal stress-regulating areas (the prefrontal cortex and inferior frontal gyrus) showed no positive connectivity with the auditory cortex, whereas positive connectivity with lower-level auditory brainstem regions was preserved. This pattern suggests reduced, rather than enhanced, auditory responsiveness as a potential neural correlate of chronic tinnitus, particularly in patients with comorbid mood disorders. These findings provide insight into the neural mechanisms underlying chronic tinnitus, support the objective assessment of tinnitus-related brain network alterations, and may inform the development of targeted sound-based therapeutic interventions (70).\nCollectively, rs-fMRI studies of both acute and chronic tinnitus highlight that the disorder is associated with widespread alterations in auditory and non-auditory brain networks, including the limbic, frontal, cerebellar, and posterior central regions. Acute tinnitus is characterized by abnormal local activity in the auditory cortex and network-level changes in frontal and central regions, whereas chronic tinnitus exhibits reduced interhemispheric and auditory–limbic connectivity, particularly in patients with comorbid mood disorders. These findings suggest a dynamic progression from regional hyperactivity to network-level disconnection across disease stages. Overall, rs-fMRI provides a multi-scale, objective framework to assess tinnitus-related brain alterations, offering insights into its central neural mechanisms and potential targets for sound-based or network-directed interventions.\nFractional amplitude of low-frequency fluctuations (fALFF) is an extension of ALFF that calculates the ratio of power within the low-frequency range to the total power across the entire detectable frequency spectrum, thereby reducing non-specific physiological noise and providing a more robust measure of intrinsic brain activity. While ALFF reflects the absolute amplitude of low-frequency fluctuations (typically 0.01–0.1 Hz) in local brain regions, fALFF offers a normalized and relative measure, allowing a more global perspective of brain activity (65). A study reported decreased fALFF in the left fusiform gyrus, left precentral gyrus, and right inferior frontal gyrus, along with increased fALFF in the left inferior frontal gyrus, left superior frontal gyrus, and right middle temporal gyrus in patients with sudden sensorineural hearing loss (SSHL). These regions are involved in high-level visual processing (fusiform gyrus), motor control (precentral gyrus), cognitive and executive functions (inferior frontal gyrus), and auditory and language processing (middle temporal gyrus). Although derived from a single study, these findings may suggest that SSHL is associated with functional alterations extending beyond the primary auditory cortex; however, further studies are required to validate this observation. Furthermore, static fALFF values in the left fusiform gyrus were positively correlated with the duration of hearing loss, indicating time-dependent changes in regional brain activity. Dynamic fALFF analysis additionally revealed increased fALFF in the right superior frontal gyrus and right middle frontal gyrus, reflecting altered temporal variability in neural activity. Collectively, these static and dynamic fALFF alterations suggest functional reorganization and compensatory neural adaptations in response to hearing loss and may be associated with the underlying pathophysiology of SSHL. Further studies are warranted to clarify the functional significance of these changes, facilitate the development of targeted interventions, and optimize clinical management strategies for SSHL (65).\nIn a cross-sectional case–control study including 28 children with congenital sensorineural hearing loss (CSNHL) and 30 age- and sex-matched healthy controls, whole-brain voxel-wise rs-fMRI ReHo analysis revealed significant alterations in ReHo values in regions associated with auditory, visual, motor, and cognitive processing. These findings suggest the presence of large-scale functional reorganization extending beyond the primary auditory cortex in children with CSNHL. In addition, significant correlations between ReHo values and age were observed in children with CSNHL, suggesting ongoing neural remodeling and compensatory adaptations that facilitate functional adjustment to hearing loss (71). This study reveals the neural correlates of hearing loss, suggesting that targeted training in areas such as visual, motor, and cognitive functions, such as sign language, may theoretically aid children with CSNHL in adapting to hearing loss.\nFitzhugh MC et al. used resting-state fMRI to investigate the functional connectivity of Heschl’s gyrus in older adults without dementia, focusing on the effects of age-related hearing loss. They found that Heschl’s gyri exhibited significant positive functional connectivity with widespread brain regions, including the cingulo-opercular network as well as auditory, visual, somatosensory, and motor areas. These connectivity patterns may reflect compensatory or maladaptive network reorganization associated with hearing decline, highlighting the potential role of rs-fMRI in identifying early central functional changes in age-related hearing loss. Further analyses revealed that, after controlling for age, working memory, and processing speed, hearing loss—particularly in the left ear and within speech frequencies—was associated with increased connectivity between the right Heschl’s gyrus and the dorsal anterior cingulate cortex within the cingulo-opercular network. In contrast, once hearing ability was accounted for, age, working memory, and processing speed were not significantly correlated with Heschl’s gyrus connectivity, suggesting that hearing loss, rather than these other factors, primarily drives the observed connectivity changes (72). The findings reveal age-related hearing loss differences in Heschl’s gyrus functional connectivity that may reflect compensatory attention-related mechanisms for auditory processing.\nAcross rs-fMRI studies of hearing loss, including SSHL, CSNHL, and age-related hearing loss, a consistent pattern emerges: functional alterations extend beyond the primary auditory cortex to involve regions associated with visual processing, motor control, cognitive and executive functions, and large-scale network connectivity. Specifically, fALFF and ReHo analyses reveal changes in frontal, temporal, fusiform, and precentral regions, reflecting both static and dynamic neural reorganization and compensatory adaptations. Seed-based connectivity studies of Heschl’s gyrus further demonstrate altered functional connectivity with widespread networks, including the cingulo-opercular, auditory, visual, somatosensory, and motor systems, suggesting compensatory attention-related mechanisms in response to hearing decline. While these findings converge on the involvement of multi-level brain networks, discrepancies exist in the precise regions and connectivity patterns reported, likely due to differences in participant age, hearing loss etiology and duration, analytical methods, and small sample sizes. Collectively, current evidence highlights widespread neural plasticity associated with hearing loss and its potential impact on sensory, motor, and cognitive processing. Future studies with larger, well-characterized cohorts, longitudinal designs, and standardized analytical approaches are warranted to clarify inconsistent findings, understand the functional significance of observed alterations, and explore the clinical utility of rs-fMRI for early detection, intervention planning, and rehabilitation strategies.\nrs-fMRI showed that patients with chronic unilateral vestibular disease (CUVP) had decreased ALFF in visual cortex-related regions, while ALFF was elevated in sensorimotor, especially motor-related, areas. ReHo analysis revealed significant increases in the lower left cerebellum and right cerebellar hemisphere, which are involved in integrating proprioceptive and motor information and maintaining posture and balance. FC analysis identified networks including the DMN, somatosensory, auditory, vestibular, occipital, and motor cortices. FC normalized with recovery of peripheral vestibular function. These findings suggest that central compensation in CUVP is multifaceted, and increased DMN gray matter and connectivity are associated with chronic symptoms, highlighting their potential as exploratory imaging biomarkers (73).\nrs-fMRI using seed-based FC of bilateral parietal opercular cortex 2 (OP2) and ICA-based functional network connectivity (FNC) revealed functional changes in patients with VM. Specifically, FC increased between the left OP2 and right precuneus, while FC decreased between the left OP2 and left anterior cingulate cortex (ACC) (74). The precuneus, involved in integrating visual and vestibular information, plays a key role in spatial orientation and perception. The ACC contributes to processing migraine-related pain, perception, and regulation. Seed-based FC further revealed increased connectivity between the right OP2 and the right middle frontal gyrus (MFG), which is part of the vestibular and pain cortical circuitry and may be involved in the pathophysiology of VM (74). In patients with VM, FC between the left OP2 and right precuneus was positively correlated with dizziness scale scores. VM patients also showed altered thalamic FC with pain, vestibular, and visual regions, including reduced thalamo-pain and thalamo-vestibular connectivity and enhanced thalamo-visual connectivity, reflecting specific clinical features (75). These findings offer preliminary insights into altered functional connectivity in VM, its underlying pathophysiology and compensatory mechanisms, and potential targets for symptom-focused drug development (74).\nGraph theory analysis of rs-fMRI has been used to characterize connectivity patterns in post-concussion vestibular dysfunction (PCVD). Significant differences were observed between patients with PCVD in the right posterior hippocampus and those in the right posterior insula (frontal region), while patients with cortical PCVD exhibited higher overall network efficiency, cost, and level (76). The anterior insula, located near the presumed primary vestibular cortex and involved in multiple networks from sensory processing to higher-level cognition, was hyperconnected to other vestibular network components, potentially reflecting enhanced visual-vestibular processing (76). The hippocampus may contribute to spatial memory processing (77). Altered rs-fMRI connectivity, including increased connectivity in visual input, multisensory processing, and spatial memory regions, correlated with clinical derivative VOMS scores. These findings could represent maladaptive brain plasticity contributing to vestibular symptoms, though this interpretation remains speculative (76). These findings provide insights into mechanisms of PCVD compensation and enable objective assessment of the condition, supporting the development of strategies for vestibular function recovery.\nAcross rs-fMRI studies of various vestibular disorders, including CUVP, VM, and PCVD, a consistent pattern emerges: widespread functional alterations are observed across visual, vestibular, sensorimotor, and higher-order cognitive networks. In CUVP, decreased ALFF in visual regions and increased ALFF in sensorimotor areas, along with ReHo and FC changes in cerebellar and cortical regions, reflect complex central compensation processes that support postural control and multisensory integration. Similarly, VM patients exhibit altered seed-based and ICA-derived connectivity involving the parietal operculum, precuneus, anterior cingulate cortex, thalamus, and frontal regions, implicating networks for visual-vestibular integration, pain processing, and spatial orientation. In PCVD, graph-theoretical analyses reveal hyperconnectivity of the anterior insula and hippocampus, suggesting adaptive or maladaptive plasticity related to spatial memory, multisensory processing, and vestibular symptomatology. While these studies converge on the involvement of large-scale functional networks beyond classical vestibular cortices, discrepancies exist regarding the specific regions and connectivity patterns identified, likely reflecting differences in patient populations, disorder subtypes, imaging paradigms, and analytical approaches. Most studies are further limited by small sample sizes and heterogeneous methodologies, constraining generalizability. Taken together, current evidence highlights the multifaceted neural adaptations underlying vestibular dysfunction and points to potential exploratory imaging biomarkers; future research with larger, standardized cohorts is needed to clarify inconsistent findings, elucidate mechanisms of compensation versus maladaptation, and evaluate the clinical utility of rs-fMRI for objective assessment and rehabilitation planning.\n\n\n### Tinnitus\nFunctional MRI has been widely applied in the investigation of tinnitus (10, 18, 31, 62, 70). Resting-state fMRI studies using ALFF and degree centrality (DC) analyses have demonstrated abnormal neural activity in the auditory cortex of patients with acute subjective tinnitus (AST) (31). Increasing evidence indicates that tinnitus involves not only the auditory cortex but also non-auditory regions, including the limbic system, frontal lobe, cerebellum, and posterior central gyrus, highlighting the contribution of distributed brain networks. Moreover, neural activity within tinnitus-related brain regions appears to be associated with disease stage. Network-level abnormalities are mainly characterized by increased centrality in frontal regions and decreased centrality in the posterior central gyrus. Resting-state fMRI enables the objective assessment of abnormal brain activity in tinnitus patients, thereby providing insights into the neural mechanisms underlying tinnitus. Collectively, these findings provide objective neuroimaging evidence for the clinical diagnosis of AST and enhance understanding of its central neural mechanisms (31).\nIn patients with chronic tinnitus, functional MRI studies have demonstrated a significant reduction in positive interhemispheric connectivity. In addition, functional connectivity between the inferior auditory brainstem and sound-processing regions, including the hippocampus and posterior insula, was markedly decreased. Notably, emotion-related regions (the amygdala and anterior insula) and temporofrontal stress-regulating areas (the prefrontal cortex and inferior frontal gyrus) showed no positive connectivity with the auditory cortex, whereas positive connectivity with lower-level auditory brainstem regions was preserved. This pattern suggests reduced, rather than enhanced, auditory responsiveness as a potential neural correlate of chronic tinnitus, particularly in patients with comorbid mood disorders. These findings provide insight into the neural mechanisms underlying chronic tinnitus, support the objective assessment of tinnitus-related brain network alterations, and may inform the development of targeted sound-based therapeutic interventions (70).\nCollectively, rs-fMRI studies of both acute and chronic tinnitus highlight that the disorder is associated with widespread alterations in auditory and non-auditory brain networks, including the limbic, frontal, cerebellar, and posterior central regions. Acute tinnitus is characterized by abnormal local activity in the auditory cortex and network-level changes in frontal and central regions, whereas chronic tinnitus exhibits reduced interhemispheric and auditory–limbic connectivity, particularly in patients with comorbid mood disorders. These findings suggest a dynamic progression from regional hyperactivity to network-level disconnection across disease stages. Overall, rs-fMRI provides a multi-scale, objective framework to assess tinnitus-related brain alterations, offering insights into its central neural mechanisms and potential targets for sound-based or network-directed interventions.\n\n\n### Hearing impairment\nFractional amplitude of low-frequency fluctuations (fALFF) is an extension of ALFF that calculates the ratio of power within the low-frequency range to the total power across the entire detectable frequency spectrum, thereby reducing non-specific physiological noise and providing a more robust measure of intrinsic brain activity. While ALFF reflects the absolute amplitude of low-frequency fluctuations (typically 0.01–0.1 Hz) in local brain regions, fALFF offers a normalized and relative measure, allowing a more global perspective of brain activity (65). A study reported decreased fALFF in the left fusiform gyrus, left precentral gyrus, and right inferior frontal gyrus, along with increased fALFF in the left inferior frontal gyrus, left superior frontal gyrus, and right middle temporal gyrus in patients with sudden sensorineural hearing loss (SSHL). These regions are involved in high-level visual processing (fusiform gyrus), motor control (precentral gyrus), cognitive and executive functions (inferior frontal gyrus), and auditory and language processing (middle temporal gyrus). Although derived from a single study, these findings may suggest that SSHL is associated with functional alterations extending beyond the primary auditory cortex; however, further studies are required to validate this observation. Furthermore, static fALFF values in the left fusiform gyrus were positively correlated with the duration of hearing loss, indicating time-dependent changes in regional brain activity. Dynamic fALFF analysis additionally revealed increased fALFF in the right superior frontal gyrus and right middle frontal gyrus, reflecting altered temporal variability in neural activity. Collectively, these static and dynamic fALFF alterations suggest functional reorganization and compensatory neural adaptations in response to hearing loss and may be associated with the underlying pathophysiology of SSHL. Further studies are warranted to clarify the functional significance of these changes, facilitate the development of targeted interventions, and optimize clinical management strategies for SSHL (65).\nIn a cross-sectional case–control study including 28 children with congenital sensorineural hearing loss (CSNHL) and 30 age- and sex-matched healthy controls, whole-brain voxel-wise rs-fMRI ReHo analysis revealed significant alterations in ReHo values in regions associated with auditory, visual, motor, and cognitive processing. These findings suggest the presence of large-scale functional reorganization extending beyond the primary auditory cortex in children with CSNHL. In addition, significant correlations between ReHo values and age were observed in children with CSNHL, suggesting ongoing neural remodeling and compensatory adaptations that facilitate functional adjustment to hearing loss (71). This study reveals the neural correlates of hearing loss, suggesting that targeted training in areas such as visual, motor, and cognitive functions, such as sign language, may theoretically aid children with CSNHL in adapting to hearing loss.\nFitzhugh MC et al. used resting-state fMRI to investigate the functional connectivity of Heschl’s gyrus in older adults without dementia, focusing on the effects of age-related hearing loss. They found that Heschl’s gyri exhibited significant positive functional connectivity with widespread brain regions, including the cingulo-opercular network as well as auditory, visual, somatosensory, and motor areas. These connectivity patterns may reflect compensatory or maladaptive network reorganization associated with hearing decline, highlighting the potential role of rs-fMRI in identifying early central functional changes in age-related hearing loss. Further analyses revealed that, after controlling for age, working memory, and processing speed, hearing loss—particularly in the left ear and within speech frequencies—was associated with increased connectivity between the right Heschl’s gyrus and the dorsal anterior cingulate cortex within the cingulo-opercular network. In contrast, once hearing ability was accounted for, age, working memory, and processing speed were not significantly correlated with Heschl’s gyrus connectivity, suggesting that hearing loss, rather than these other factors, primarily drives the observed connectivity changes (72). The findings reveal age-related hearing loss differences in Heschl’s gyrus functional connectivity that may reflect compensatory attention-related mechanisms for auditory processing.\nAcross rs-fMRI studies of hearing loss, including SSHL, CSNHL, and age-related hearing loss, a consistent pattern emerges: functional alterations extend beyond the primary auditory cortex to involve regions associated with visual processing, motor control, cognitive and executive functions, and large-scale network connectivity. Specifically, fALFF and ReHo analyses reveal changes in frontal, temporal, fusiform, and precentral regions, reflecting both static and dynamic neural reorganization and compensatory adaptations. Seed-based connectivity studies of Heschl’s gyrus further demonstrate altered functional connectivity with widespread networks, including the cingulo-opercular, auditory, visual, somatosensory, and motor systems, suggesting compensatory attention-related mechanisms in response to hearing decline. While these findings converge on the involvement of multi-level brain networks, discrepancies exist in the precise regions and connectivity patterns reported, likely due to differences in participant age, hearing loss etiology and duration, analytical methods, and small sample sizes. Collectively, current evidence highlights widespread neural plasticity associated with hearing loss and its potential impact on sensory, motor, and cognitive processing. Future studies with larger, well-characterized cohorts, longitudinal designs, and standardized analytical approaches are warranted to clarify inconsistent findings, understand the functional significance of observed alterations, and explore the clinical utility of rs-fMRI for early detection, intervention planning, and rehabilitation strategies.\n\n\n### Balance dysfunction\nrs-fMRI showed that patients with chronic unilateral vestibular disease (CUVP) had decreased ALFF in visual cortex-related regions, while ALFF was elevated in sensorimotor, especially motor-related, areas. ReHo analysis revealed significant increases in the lower left cerebellum and right cerebellar hemisphere, which are involved in integrating proprioceptive and motor information and maintaining posture and balance. FC analysis identified networks including the DMN, somatosensory, auditory, vestibular, occipital, and motor cortices. FC normalized with recovery of peripheral vestibular function. These findings suggest that central compensation in CUVP is multifaceted, and increased DMN gray matter and connectivity are associated with chronic symptoms, highlighting their potential as exploratory imaging biomarkers (73).\nrs-fMRI using seed-based FC of bilateral parietal opercular cortex 2 (OP2) and ICA-based functional network connectivity (FNC) revealed functional changes in patients with VM. Specifically, FC increased between the left OP2 and right precuneus, while FC decreased between the left OP2 and left anterior cingulate cortex (ACC) (74). The precuneus, involved in integrating visual and vestibular information, plays a key role in spatial orientation and perception. The ACC contributes to processing migraine-related pain, perception, and regulation. Seed-based FC further revealed increased connectivity between the right OP2 and the right middle frontal gyrus (MFG), which is part of the vestibular and pain cortical circuitry and may be involved in the pathophysiology of VM (74). In patients with VM, FC between the left OP2 and right precuneus was positively correlated with dizziness scale scores. VM patients also showed altered thalamic FC with pain, vestibular, and visual regions, including reduced thalamo-pain and thalamo-vestibular connectivity and enhanced thalamo-visual connectivity, reflecting specific clinical features (75). These findings offer preliminary insights into altered functional connectivity in VM, its underlying pathophysiology and compensatory mechanisms, and potential targets for symptom-focused drug development (74).\nGraph theory analysis of rs-fMRI has been used to characterize connectivity patterns in post-concussion vestibular dysfunction (PCVD). Significant differences were observed between patients with PCVD in the right posterior hippocampus and those in the right posterior insula (frontal region), while patients with cortical PCVD exhibited higher overall network efficiency, cost, and level (76). The anterior insula, located near the presumed primary vestibular cortex and involved in multiple networks from sensory processing to higher-level cognition, was hyperconnected to other vestibular network components, potentially reflecting enhanced visual-vestibular processing (76). The hippocampus may contribute to spatial memory processing (77). Altered rs-fMRI connectivity, including increased connectivity in visual input, multisensory processing, and spatial memory regions, correlated with clinical derivative VOMS scores. These findings could represent maladaptive brain plasticity contributing to vestibular symptoms, though this interpretation remains speculative (76). These findings provide insights into mechanisms of PCVD compensation and enable objective assessment of the condition, supporting the development of strategies for vestibular function recovery.\nAcross rs-fMRI studies of various vestibular disorders, including CUVP, VM, and PCVD, a consistent pattern emerges: widespread functional alterations are observed across visual, vestibular, sensorimotor, and higher-order cognitive networks. In CUVP, decreased ALFF in visual regions and increased ALFF in sensorimotor areas, along with ReHo and FC changes in cerebellar and cortical regions, reflect complex central compensation processes that support postural control and multisensory integration. Similarly, VM patients exhibit altered seed-based and ICA-derived connectivity involving the parietal operculum, precuneus, anterior cingulate cortex, thalamus, and frontal regions, implicating networks for visual-vestibular integration, pain processing, and spatial orientation. In PCVD, graph-theoretical analyses reveal hyperconnectivity of the anterior insula and hippocampus, suggesting adaptive or maladaptive plasticity related to spatial memory, multisensory processing, and vestibular symptomatology. While these studies converge on the involvement of large-scale functional networks beyond classical vestibular cortices, discrepancies exist regarding the specific regions and connectivity patterns identified, likely reflecting differences in patient populations, disorder subtypes, imaging paradigms, and analytical approaches. Most studies are further limited by small sample sizes and heterogeneous methodologies, constraining generalizability. Taken together, current evidence highlights the multifaceted neural adaptations underlying vestibular dysfunction and points to potential exploratory imaging biomarkers; future research with larger, standardized cohorts is needed to clarify inconsistent findings, elucidate mechanisms of compensation versus maladaptation, and evaluate the clinical utility of rs-fMRI for objective assessment and rehabilitation planning.\n\n\n### Allergic rhinitis and olfactory disorder diseases\nSpontaneous brain activity has been observed in resting-state fMRI in patients with allergic rhinitis (AR). Compared with controls, ALFF values were significantly decreased in the precuneus (PCUN) and increased in the anterior cingulate cortex (ACC), both correlating with clinical indicators. ALFF in the PCUN showed a positive correlation with specific IgE levels. The PCUN is involved in regulating anxiety, sleep, and depression and is closely associated with the olfactory system and neurodegeneration-related functions. The ACC contributes to the evaluation and expression of negative emotions, particularly depression and anxiety, and is a key region affected in mood disorders. Altered activity in these regions may be associated with cognitive and emotional disturbances in AR patients. However, these interpretations are based on the known functional roles of the PCUN and ACC and were not directly assessed in the cited study (78). These findings indicate that resting-state spontaneous brain activity in AR is characterized by hypoactivity in the PCUN and hyperactivity in the ACC, which may represent a potential clinical intervention target to improve quality of life and elucidate the neural mechanisms underlying psychological disorders and brain dysfunction in AR. Future longitudinal and multimodal neuroimaging studies combined with standardized neuropsychological assessments are needed to clarify the clinical relevance of these functional alterations in AR.\nICA- and ROI-based analyses have been used to detect resting-state networks in patients who developed olfactory dysfunction (OD) following COVID-19 infection. FC within the default mode network (DMN) was significantly higher in COVID-19 patients than in healthy controls (HCs). Similarly, increased connectivity was observed between the olfactory network (ON) and DMN (32). The default mode network (DMN) has been implicated in higher-order olfactory-related processing. Direct functional connectivity between the DMN and ON has been demonstrated in the odor-visual association paradigm, suggesting that olfactory perception engages cognitive, memory, and attentional resources (79). Furthermore, FC in the ON was significantly correlated with butanol threshold test (BTT) scores, which may offer insight into the neural mechanisms underlying olfactory dysfunction and provide objective imaging markers that complement existing validated olfactory tests (32). These findings may provide preliminary mechanistic insights that could inform future rehabilitation and therapeutic research, although such applications were not directly assessed in the cited study.\nGraph theory analysis of brain function in patients with traumatic anosmia revealed network changes. Connectivity within the olfactory network and between the olfactory and somatosensory networks was increased, and FC was also enhanced in the motor and visual cortices. These findings suggest that while olfactory network connectivity may be impaired, compensatory activation occurs in other networks. rs-fMRI parameters may serve as potential biomarkers for traumatic anosmia (80).\nOverall, rs-fMRI studies of patients with AR, post-COVID-19 olfactory dysfunction, and traumatic anosmia suggest that olfactory-related disorders may involve both region-specific alterations and network-level reorganization. In AR, decreased ALFF in the precuneus and increased ALFF in the anterior cingulate cortex are consistent with potential disruptions in cognitive-emotional regulation. Post-COVID-19 OD appears to be associated with enhanced connectivity within the default mode network and between the olfactory and default mode networks, which may reflect compensatory engagement of higher-order cognitive processes during olfactory perception. Similarly, traumatic anosmia shows increased connectivity within motor, visual, and somatosensory networks, implying possible compensatory network adaptations beyond the olfactory system. Taken together, these findings provide preliminary evidence that olfactory dysfunction could engage distributed brain networks, encompassing both local activity and large-scale network interactions, and underscore the potential utility of rs-fMRI for exploring neural correlates and guiding future therapeutic research.\n\n\n### Sleep-related breathing disorders\nA previous study using resting-state MRI compared the nervous system of children with obstructive sleep apnea (OSA) and healthy controls. In children with OSA, ReHo values were reduced in the left medial frontal gyrus and the right posterior tongue region, reflecting dysfunction in these areas. The left medial frontal gyrus is involved in working memory, other cognitive functions, and emotional regulation, while the right posterior tongue region contributes to cognitive processes such as visual recognition and episodic memory consolidation. Dysfunction in these regions is associated with cognitive impairment in children with OSA. Additionally, ALFF values were increased in the right insula, a region involved in sensory information processing and integration that helps maintain homeostasis. Activation of the right insula may help mitigate breathing-related discomfort in OSA. These findings offer exploratory insights into the neural mechanisms potentially involved in cognitive and mood disturbances in OSA, suggesting that clinical management may benefit from addressing both symptomatic relief and cognitive recovery (81).\nOverall, existing fMRI studies suggest that obstructive sleep apnea may be associated with functional alterations in brain regions involved in cognitive processing, emotional regulation, and sensory integration. These findings collectively indicate that OSA-related neural changes extend beyond respiratory control and may contribute to the cognitive and behavioral impairments frequently observed in affected children. However, current evidence remains limited by relatively small sample sizes and methodological heterogeneity across studies, including differences in imaging paradigms and analytical approaches. Future research with larger cohorts and standardized neuroimaging protocols is needed to further clarify the neural mechanisms underlying OSA and to better evaluate the potential clinical relevance of fMRI findings.\n\n\n### Motor nerve diseases of the larynx\nts-fMRI has revealed significant brain activity in the right premotor area, left parietal lobe, right primary somatosensory cortex, and bilateral supplementary motor areas in patients with left vocal fold paralysis (VFP) resulting from head and neck cancer, neck disorders, or other causes. These patients also exhibit extensive activity in sound-related regions during phonation. In contrast, auditory-related activity in the superior temporal gyrus is reduced, suggesting a potential association between auditory feedback from peripheral areas and laryngeal neural control of phonation (82). These findings provide insights into the compensatory mechanisms underlying left vocal fold paralysis. They may inform future research exploring rehabilitation strategies targeting the primary somatosensory cortex, bilateral supplementary motor cortex, and auditory cortex.\nts-fMRI, using BOLD signal variance analysis, revealed increased activity in the cingulate cortex, left cerebellum, and medulla oblongata in patients who underwent total laryngectomy, whereas activity in the left superior temporal gyrus (STG) and precentral gyrus (PCG) was reduced. Previous studies have implicated the cingulate cortex in voluntary motor control of vocalizations, particularly during emotional sound modulation. High cerebellar activation may reflect coordination of esophageal muscle movements for speech, while medulla oblongata activation may reflect engagement of the swallowing pattern generator (SPG) in the brainstem required for esophageal speech. The STG is involved in auditory feedback and self-monitoring, and the PCG controls laryngeal movement (83). These findings are consistent with a role for the cerebellum in coordinating esophageal muscles, activating the brainstem SPG, and reducing reliance on laryngeal muscle control in patients using esophageal speech. Additionally, emotional modulation may influence esophageal speech production.\nOverall, ts-fMRI studies in patients with left vocal fold paralysis and post-laryngectomy conditions suggest that vocal and esophageal speech engages distributed motor and auditory networks, with region-specific activity changes potentially reflecting compensatory mechanisms. In left VFP, increased activity in the premotor, parietal, somatosensory, and supplementary motor areas, coupled with reduced auditory activity in the superior temporal gyrus, may indicate adaptations in motor planning and reduced reliance on auditory feedback. In post-laryngectomy patients, elevated activation in the cingulate cortex, cerebellum, and medulla oblongata alongside decreased activity in the superior temporal and precentral gyri may reflect coordination of esophageal muscle control and engagement of brainstem swallowing generators, with possible modulation by emotional processing. Taken together, these observations provide preliminary evidence that task-related neural reorganization occurs across cortical and subcortical regions in response to peripheral vocal deficits, which may inform future studies exploring targeted rehabilitation strategies and neural correlates of speech recovery.\n\n\n### Head and neck surgical diseases\nA meta-analysis using rs-fMRI to detect brain function changes in patients with head and neck cancer after radiotherapy reported that radiation-induced functional alterations may occur prior to detectable morphological changes, potentially contributing to post-treatment cognitive impairment (84, 85). Significant alterations in FC were observed in the default mode network (DMN), temporal lobe, precuneus, posterior cingulate cortex, and hippocampus. FC changes were also detected in patients with high cognitive scores following radiotherapy. The temporal lobe near the radiation field is particularly vulnerable when radiation doses exceed tolerance levels; however, radiotherapy-induced functional changes are not confined to the temporal lobe or DMN (29). Such alterations may be associated with abnormal connectivity in the right insula and lobar damage (86, 87). The insula is critical for cognitive function, and damage to its tip, whether direct or indirect, may impair overall cognition. Thus, rs-fMRI can provide valuable insights into FC changes and may have potential utility in informing treatment planning and secondary injury management, even when brain morphology appears normal.\nfALFF from rs-fMRI has been used to quantify temporal lobe dysfunction following radiotherapy for head and neck cancer (86). Results indicate that rs-fMRI is an effective tool for early detection of temporal lobe damage within 0–6 months post-radiotherapy (84, 88). Early rs-fMRI assessment may have potential utility in identifying functional alterations at an early stage, which could inform timely medical interventions aimed at mitigating radiotherapy-induced collateral damage. In addition, rs-fMRI may provide an objective evaluation of the extent of temporal lobe dysfunction, supporting clinical decision-making and patient management.\nOverall, rs-fMRI studies in patients with head and neck cancer following radiotherapy suggest that functional alterations can occur prior to detectable structural changes and may contribute to post-treatment cognitive impairment. Observed changes include altered connectivity within the default mode network, temporal lobe, precuneus, posterior cingulate cortex, hippocampus, and right insula, highlighting both local and network-level vulnerability. fALFF analyses further indicate that temporal lobe dysfunction can be detected as early as 0–6 months post-radiotherapy, suggesting potential early biomarkers for timely intervention. Together, these findings provide preliminary evidence that rs-fMRI may serve as a sensitive tool for detecting subclinical functional changes, informing clinical decision-making, and guiding strategies to mitigate radiotherapy-induced cognitive and neural deficits.\nIn summary, fMRI has been widely applied in the study of various otolaryngology–head and neck diseases. Research has identified abnormal activations in specific brain regions and disrupted functional network connectivity in certain pathologies (89). Analysis of these data provides deeper insights into disease pathogenesis and the central compensatory mechanisms involved (90, 91). Furthermore, fMRI offers an objective assessment of disease states, facilitating accurate diagnosis and optimizing personalized treatment strategies (27, 28). Application of fMRI in the field of Otolaryngology-head and neck diseases, and the details are provided in Figure 2.\nApplications of fMRI in otolaryngology–head and neck disorders. The central circle represents fMRI, and surrounding segments depict related disorders—including tinnitus, allergic rhinitis, OSA, and laryngeal motor nerve diseases, among others—where fMRI has been used to study neural mechanisms and functional brain changes.\n\n\n### Challenges and limitations\nCurrently, fMRI has not been seamlessly integrated into clinical practice, facing several limitations and challenges. Firstly, many fMRI studies in Otolaryngology-head and neck disorders have relatively small sample sizes, typically fewer than 50 participants per group (31, 64, 65, 68, 69). Most of these studies did not report formal a priori power calculations, sensitivity analyses, or systematic risk-of-bias assessments to evaluate whether their sample sizes were adequate. As a result, the statistical power of these studies may be limited, increasing the likelihood of both false-negative and false-positive findings. These limitations could hinder a comprehensive understanding of the relationship between abnormal activations in specific brain regions and disease severity, and may also constrain the clinical application of fMRI in this field. Secondly, the BOLD signal reflects changes in blood oxygen levels rather than neuronal activity directly, and is susceptible to physiological factors such as blood flow, respiration, and heartbeat. These confounding effects can be partially addressed using motion correction, physiological noise modeling, and related preprocessing approaches (67, 70). Moreover, fMRI is highly sensitive to head movements; even minor shifts can introduce artifacts and compromise data quality, posing significant challenges when working with children, patients, or subjects engaged in complex tasks (27, 61, 71, 81).\nIn the realm of data analysis, fMRI research requires extensive data processing and is susceptible to issues such as overfitting and statistical false positives (44, 57, 75). Consequently, it becomes imperative for researchers to carefully select statistical methods to minimize the risk of misleading results, particularly those arising from multiple comparison problems. Furthermore, fMRI studies are typically conducted in a highly controlled experimental settings, requiring subjects to remain stationary position and engage in relatively simple task designs (59, 63, 84). However, this approach may not fully capture the complexity of cognitive or behavioral patterns observed in real-world scenarios, thereby limiting the generalizability of the findings.\nTaken together, these limitations reflect significant obstacles to clinical application, encompassing variability in data acquisition, susceptibility to physiological confounds and motion artifacts, and the complexity of data analysis, which collectively constrain the reproducibility and interpretability of fMRI findings.\n\n\n### Conclusions and future perspectives\nfMRI has been used to detect changes in neuronal activity since 1990. However, its application in otolaryngology-head and neck diseases has gained increasing research interest in recent years. Table 2 outlines fMRI and its potential clinical relevance in otolaryngology-head and neck diseases.\nSummary of fMRI findings in otolaryngology and head and neck disorders and their potential clinical relevance.\nfMRI, Functional magnetic resonance imaging; rs-fMRI, resting state fMRI; ts-fMRI, task state-fMRI; DC, degree centrality; ALFF, amplitude of low-frequency fluctuations; ReHo, regional homogeneity; FC, functional connectivity; FCD, FC density; ICA, independent component analysis; GLM, general linear model; OP2, bilateral parietal opercular cortex 2.\nNumbers in the “Ref. No.” column correspond to the reference numbering in the reference list.\nAlthough fMRI holds significant clinical potential in otolaryngology-head and neck diseases, the small sample sizes in most studies hinder a comprehensive understanding of the disease pathogenesis and the central compensatory mechanisms, thereby limiting its clinical application. Furthermore, ts-fMRI research in this field is still in its early stages, primarily due to the complex task design and various confounding factors. Consequently, our understanding of the relationship between abnormal brain activation, FC alterations, and disease pathophysiology remains incomplete. To overcome these challenges, future research should involve larger sample sizes, more refined task designs, and the integration of fMRI with advanced technologies such as artificial intelligence. These approaches could improve diagnostic accuracy, advance our understanding of disease pathogenesis and central compensatory mechanisms, and facilitate early detection, classification, drug development, and the optimization of treatment strategies.", "domain": "affective_neuroscience"}
{"source": "PMC13087791", "title": "Integrated brain and body mechanisms underlying acute stress and trauma-related vulnerability", "text": "# Integrated brain and body mechanisms underlying acute stress and trauma-related vulnerability\n\n## Abstract\nDysregulated stress response has been linked to multiple health issues, yet the brain and body dynamics of acute stress remain poorly understood. Developing interpretable models is imperative in understanding this complex interplay. The present study sought to decode acute stress response by using a systematic data-driven and experimental approach to provide insights into its underlying mechanisms, with implications for accurate prediction, precision intervention, and trauma-related phenotyping. A total of 144 healthy adults (aged 18 – 44 years; 63 men) completed the Montreal Imaging Stress Task. Multimodal electrophysiological signals were recorded throughout the experiment. The interpretable predictive model achieved an excellent test accuracy of 85.37% and revealed several key stress-related features, such as shorter inspiration duration. Causal discovery analyses revealed stress-induced disruption of bottom-up inspiratory influences on frontal neural activity. Deep breathing interventions were found to increase inspiration duration and reduce perceived stress levels. The cluster analysis identified three phenotypes. The stress-vulnerable phenotype, in particular, was found to be more susceptible to stress and have greater exposure to lifetime trauma. These findings advance our understanding of the brain and body psychophysiology causal dynamics of acute stress, identify actionable targets for precision interventions, and reveal distinct phenotypes that may inform individualised stress profiles.\n\n## Full Text\n\n\n### Introduction\nIn the dynamic world that we live in, we are constantly engulfed by an overwhelming array of challenges. The physiological, psychological, and behavioural reactivity to these challenges, known as the stress response, allows us to navigate and thrive in this complex environment (Roberts and Karatsoreos, 2021). Stress response is an essential adaptive response that helps mobilise energy in preparation for the body to respond to stressors while maintaining homeostasis (Russell and Lightman, 2019). This response is a complex psychophysiological phenomenon, involving multiple biological systems across the brain and body, manifesting as observable transient changes in neural activity, cardiovascular functioning, hormonal levels, respiratory patterns, and other bodily functions (Ulrich-Lai and Herman, 2009; Chu et al., 2024). Notably, a dysregulated stress response system is one of the most significant growing healthcare problems in our modern society, threatening both our physical and mental health (Turner et al., 2020; Lee et al., 2025). In particular, converging evidence indicates that early-life adversity and recent major life stressors are major factors implicated in enduring alterations in the stress regulatory system, thereby increasing vulnerability to psychopathology later in life (Lee et al., 2025; Jiang et al., 2025). This is consistent with the notion of allostatic load, in which significant life stressors may impose chronic overload on this system (McEwen, 1998, 2003, 2007; McEwen and Stellar, 1993). Hence, it is essential to adopt a holistic computational modelling approach that integrates a diverse range of physiological and neurophysiological measures to capture the complexity of the underlying biological processes, inform the design of precision interventions, and enable the identification of distinct stress-related phenotypes.\nStress response involves a complex cascade of physiological and psychological processes. In particular, the fast-reacting sympatho-adrenal medullary (SAM) axis is responsible for engaging our fight-or-flight response by releasing catecholamines (e.g., epinephrine and norepinephrine) from the adrenal medulla into the bloodstream to facilitate immediate energy mobilisation, resulting in the rapid increase of heart rate, respiration, and blood pressure (William and Lee Wong, 2014). By contrast, the comparatively slower reacting hypothalamic-pituitary-adrenal (HPA) axis is responsible for meeting longer sustained energy demands through the secretion of cortisol from the adrenal glands (Russell and Lightman, 2019). Furthermore, the amygdala, hippocampus, and prefrontal cortex are some of the key neural regions involved in the emotional evaluation and cognitive appraisal of a stressor, which have downstream regulatory effects on both the SAM and HPA axes (Ulrich-Lai and Herman, 2009). According to the allostasis framework, stress can be conceptualised as a brain-body state of predictive regulation, in which the central nervous system coordinates multiple physiological systems (e.g., cardiovascular, autonomic, respiratory) to meet anticipated energy demands, ensuring that the body is prepared to respond effectively to environmental challenges (McEwen, 1998, 2003, 2007; McEwen and Stellar, 1993; Theriault et al., 2025; Ganzel et al., 2010). Importantly, the chronic overloading of these stress regulatory systems, resulting from repeated, prolonged, or major stressors, can increase the risk of mental health issues (Lee et al., 2025; Jiang et al., 2025; Guidi et al., 2021). Overall, the complex interplay between the brain and body highlights the intricate neurobiological processes underlying stress response.\nConsistent with this neurobiological framework of stress response, there is an accumulation of empirical evidence indicating that various electrophysiological biomarkers are sensitive to acute stress. For instance, various electroencephalography (EEG) metrics, such as delta, alpha, beta, and theta power, which index different neural activity, have been found to vary as a function of stress (Vanhollebeke et al., 2022). In addition, electrodermal activity (EDA) metrics, reflecting arousal levels, have also been found to be associated with stress (Man et al., 2023; Klimek et al., 2023). Furthermore, electrocardiography (ECG) metrics, particularly heart rate variability (HRV), which capture different autonomic nervous system processes, were also demonstrated to be stress-sensitive (Kim et al., 2018). Another downstream effect of acute stress includes changes in respiratory activity (Dampney, 2015). The release of catecholamines by the SAM axis also excites the respiratory neural network in the hindbrain (i.e., pons and medulla), resulting in more rapid, shallower breathing (Chu et al., 2024; Viemari, 2008; Tipton et al., 2017). As such, respiration rate and, more recently, respiration rate variability have been put forth as viable biomarkers of stress (Milagro et al., 2017; Kaplan et al., 2023). Taken together, these biomarkers allow us to track stress-related changes across neural, autonomic, cardiovascular, and respiratory systems. Monitoring them concurrently can potentially provide a multi-system perspective on the complex psychophysiological responses that occur during acute stress (Liang et al., 2026; Jin et al., 2025), consistent with the allostasis framework.\nRecent advancements in computational power have led to the success of integrating these multimodal electrophysiological measures to predict stress status through various data-driven approaches (Siam et al., 2023; Mohammadi et al., 2022; Pourmohammadi and Maleki, 2020; Castaldo et al., 2016; Can et al., 2019; Arsalan and Majid, 2021; Gjoreski et al., 2015; Delmastro et al., 2020). For instance, a recent study combining electromyography, respiration rate, ECG, and EDA achieved a cross-validated accuracy of 98.2% in predicting driver stress using a random forest classifier (Siam et al., 2023). By contrast, another study using k-Nearest Neighbours with body temperature, respiration, ECG, and EDA as input features achieved a test accuracy of 96.0% in classifying stress status (Mohammadi et al., 2022). However, these aforementioned “black box” approaches are often criticised for the lack of interpretability (Zhang et al., 2023; Rudin, 2019). The attempts at using post hoc techniques to make these models explainable have several inherent limitations, such as the misrepresentation or the lack of sufficient detail of the inner workings of the model (Rudin, 2019). Interpretability poses a big challenge in domains like healthcare, especially where deep learning models dominate in today's healthcare research landscape (Ennab and Mcheick, 2024). Building interpretable models is essential for revealing complex psychophysiological relationships and profiles, providing actionable insights, and enabling informed decision-making to achieve the desired healthcare outcomes. For instance, interpretable models are critical for precision intervention, allowing researchers and clinicians to tailor treatments to individual patients by understanding how specific features contribute to treatment responses and outcomes (Allen, 2024). Hence, rather than trying to use post hoc means to explain these “black boxes”, there has been a steady development of a distinct class of data-driven approaches that focus on building interpretable models from the ground up (Koza, 1994; Cranmer, 2023; Mei et al., 2023; Reiser, 2022; Gerhardus and Runge, 2020; Spirtes et al., 2001; Peters et al., 2017; Makke and Chawla, 2024). Symbolic regression is one such approach that aims to uncover generalisable mathematical representations that best fit a given set of observed data (Koza, 1994; Cranmer, 2023). This method is unique in its ability to search a wide range of potential mathematical solutions, representing non-linearities and interactions between different features, through optimisation algorithms, such as genetic programming (Makke and Chawla, 2024). Causal discovery is another approach that seeks to reveal causal relationships amongst a given set of features (Spirtes et al., 2001; Peters et al., 2017). The Latent Peter-Clark Momentary Conditional Independence (LPCMCI) algorithm, in particular, is a recently developed constraint-based causal discovery method that can take into account potential hidden confounders (Reiser, 2022; Gerhardus and Runge, 2020). In addition, unsupervised machine learning approaches, such as k-means clustering (Lloyd, 1982), provide a method for identifying distinct groups of individuals based on a given set of features. By restricting to stress-sensitive biomarkers measured at baseline, the resulting clusters can be conceptualised as distinct psychophysiological phenotypes, capturing groups of individuals with similar trait-like patterns of stress-related functioning. Previous studies have also used such data-driven approaches on various biomarkers to identify distinct groups of individuals with similar neural or physiological response profiles (Liu et al., 2021; Wormwood et al., 2019; Keogh et al., 2023). Hence, combining symbolic regression with LPCMCI and k-means clustering can reveal key stress-related features and their causal influences, provide actionable insights for precision interventions, and identify distinct phenotypes.\nThe overarching aim of this study was to decode acute stress response to provide insights into its underlying mechanisms, with implications for prediction, intervention, and trauma-related phenotyping. There were four clear objectives to the study. The first objective was to build an interpretable predictive mathematical model of acute stress using symbolic regression and evaluate it against a benchmark deep learning model. The second objective was to further investigate the directionality of the relationships amongst the psychophysiological features revealed by the symbolic regression using a causal discovery approach. Consequently, we hypothesised that modulating one of the revealed actionable targets would lead to a reduction in perceived stress levels. Thus, the third objective was to experimentally manipulate one of the revealed features and assess its impact during stress recovery. The final objective was to identify distinct psychophysiological phenotypes characterised by different patterns of stress-related neural and physiological features at baseline and examine their associated psychosocial differences.\n\n\n### Methods\nPrior to the start of the study, ethics approval was obtained from the Human Research Ethics Committee at the University of Hong Kong. Recruitment involved advertising through email listings, departmental intranet, and posters placed around the campus. Inclusion criteria included 1) 18 to 50 years old, 2) normal or corrected hearing and vision, and 3) no history of neurological or psychological disorders. The final sample consisted of 144 adults, of whom 63 were male, with ages ranging from 18 to 44 (Mage = 24.28; SDage = 4.46). Informed consent was obtained from all participants.\nAn adapted version of the Montreal Imaging Stress Task (MIST) (Dedovic et al., 2005) was administered to induce an acute stress response. The task was presented via Inquisit Lab™ 6 (Millisecond Software, Inc., Seattle, Washington, USA). This task involved two experimental conditions, training and stress. On each trial, an arithmetic question was presented to the participants. Participants were required to use the left and right mouse buttons to navigate through a rotary dial to select an answer. The middle mouse button was used to submit the selected number. Visual feedback (i.e., “correct”, “incorrect”, or “timeout”) was presented for 500ms at the end of each trial. Additionally, errors were accompanied by a loud buzz, whereas correct responses were accompanied by a soft bell sound. The bank of arithmetic questions was grouped into five different levels with progressively greater difficulty. Level one involved solving the addition or subtraction of two numbers (ranging from 0 to 9), whereas level five involved the addition, subtraction, multiplication, or division of four numbers (ranging from 0 to 99). All arithmetic solutions were restricted to 0 to 9. Each experimental condition consisted of all five levels, with each level lasting 1 min.\nDuring the training condition, no time limit was set for each trial. Each participant's average response time for each level was calculated during this condition. To increase task difficulty during the stress condition, an initial time limit was set at 90% of the participant's average reaction time for each level during training. In addition, three consecutive correct responses resulted in a 10% reduction in the time limit. By contrast, three consecutive errors resulted in a 10% increase. Prior to the start of each stress condition, participants were reminded by the experimenter of the importance of meeting the minimum performance requirement (i.e., 80% to 90% accuracy) for their data to be useful for the study. An indicator bar showing the current performance of the participant and an experimentally manipulated normative average performance of other participants (i.e., always higher than the participant's current performance) was displayed at the top of the screen during the stress condition. Participants first completed the training condition, followed by three repetitions of the stress condition. Immediately after the first and second stress conditions, the experimenter informed the participants that they did not meet the required performance. Furthermore, to maximise acute stress response, the experimenter sat right behind the participant throughout the MIST to increase evaluation apprehension.\nContinuous ECG, EDA, and impedance pneumography (IP) were recorded using a CGX Aim Physiological Monitor System (Cognionics, Inc., San Diego, California, USA). In addition, EEG was recorded using a CGX CAMP Wireless EEG System. The ECG electrodes were positioned in the lead-II position with the ground electrode position on the lower right rib. Two additional ECG electrodes were positioned adjacent to the lead-II position for the IP dongle. The EDA electrodes were positioned on the middle phalanges of the index and middle fingers of the non-dominant hand. 19 EEG electrodes were positioned on the scalp in accordance with the 10/20 system (Fp1, Fp2, Fz, F4, F3, F8, F7, Cz, C4, C3, T4, T3, Pz, P4, P3, P8, P7, O2, O1). Two additional electrodes were placed on the left and right mastoids. The left mastoid was set as the online reference. Site AFz was used as the ground electrode. All modalities were amplified and converted from analogue to digital at 24-bit resolution and 500Hz sampling rate.\nPost-processing was conducted on Python (Version: 3.10). A zero-phase Butterworth bandpass filter of 0.1 – 35Hz (order = 4) was applied to all signals. The signals were segmented into 5-min windows to maximise the range of extractable features, as some features, particularly non-linear metrics, require a larger window of data for accurate analysis (Gu et al., 2023; Shaffer and Ginsberg, 2017). It should be noted that 5-min segments were taken from the period of active arithmetic task engagement during the MIST to reflect the state of acute stress. A robust automatic method for artefact correction for ectopic ECG peaks was applied (Lipponen and Tarvainen, 2019). The various HRV, respiratory, and skin conductance metrics were extracted using the default Neurokit2 (Version: 0.2.10) algorithms (Makowski et al., 2021). The EEG signal was first segmented into equally spaced 1-min epochs. Neural oscillations were extracted using the default Discrete Prolate Spheroidal Sequences multitaper method (Slepian, 1978) in MNE (Version: 1.5.0) (Gramfort, 2013). The power spectrum density was summed across all frequency bins within their respective neural oscillation bands for each EEG site (Delta: 0.5 – 4Hz, Theta: 4 – 8Hz, Alpha: 8 – 12Hz, Beta: 12 – 30Hz). The neural oscillations were averaged across a 5-min window to match the other features temporally.\nThe filtered signals were also converted to spectrograms across all modalities. Each 5-min window was transformed into the time-frequency domain using the Short-Time Fourier Transform with a Hanning window of 5000 samples and a hop length of 1000 samples. The Fast Fourier Transform length was set equal to the window length. The spectrograms were logarithmically transformed from power to the decibel scale. EEG spectrograms from all sites were stacked to form a 19-channel input, with each channel representing an EEG site. The spectrograms of other modalities were used as single-channel inputs.\nSalivary samples were collected using the Salivette® Cortisol tubes (Sarstedt, Art. No. 51.1534.500). As reported by the manufacturer, the functional sensitivity of the assay was 0.28 ng/ml, and the interassay coefficient of variation was 3.44% (Dubberke et al.). Participants were instructed to avoid 1) caffeine intake on the day, 2) alcohol intake within 24 h, 3) any food or beverage intake within 1 h, and 4) toothbrushing, chewing gum, smoking, flossing, or any other mint flavoured products within 1 h of the experiment. At each time point, participants had to chew on a cotton swab gently for 90 s and, thereafter, allow the cotton swab to absorb their saliva under the tongue for 30 s. The collected samples were stored at a temperature of −80 °C at the end of the experiment. Thereafter, the samples were preliminarily processed at an on-site laboratory in batches. The salivary samples were extracted from the tube by centrifugation at 3000×g for 5 min. The extracted samples were sent to an institutional core laboratory for liquid chromatography-tandem mass spectrometry salivary cortisol analysis (Raff and Phillips, 2019).\nThe visual analogue scale (VAS) is a single-item self-report measure used to assess perceived stress at the moment in time. The item was rated from 0 to 100, where a higher score indicated greater levels of perceived stress. The Connor-Davidson Resilience Scale (CD-RISC) is a questionnaire assessing trait resilience (Connor and Davidson, 2003). The 10-item version was used. The items were rated on a 5-point Likert scale, where a higher summed score indicated greater levels of trait resilience. The World Health Organization Well-Being Index (WHO-5) is an assessment of general psychological well-being over the last two weeks (World Health Organization, 1998). The items were rated on a 6-point Likert scale, where a higher summed score indicated greater levels of well-being. The Life Events Checklist for the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (LEC-5) is used to assess the exposure to various types of traumatic events (Weathers et al., 2013). Four summed scores were calculated to reflect the four varying degrees of exposure (i.e., happened personally, witnessed it, learned about it, and part of the job). A higher score indicated greater lifetime exposure to different types of major life stressors.\nAfter signing up for the study, potential participants were required to complete an online screening survey. Individuals meeting the requirements of the study were invited on-site for the experiment. On arrival, participants were required to read the information sheet and sign a consent form. Thereafter, the electrophysiological recording devices were fitted on the participants. There were three major phases to the experiment. Participants were first instructed to sit on a sofa to measure their baseline physiology. During this period, participants were only allowed to read magazines that were provided by the researcher. Participants were reminded that they were not allowed to fall asleep during this period. Following a 20-min baseline period, participants were ushered to a workstation for the MIST. Participants then completed a 30-min recovery stage. Self-report VAS and salivary cortisol were collected at various time points throughout the experiment (see Fig. 1) as part of a manipulation check to ensure the success of the stress induction. CD-RISC, WHO-5, and LEC-5 were completed either the day before or immediately after the on-site experiment. Participants were debriefed regarding the nature of the study at the end of the experiment.Fig. 1An overview of the entire experimental procedure. The experiment consisted of 3 phases – baseline, Montreal Imaging Stress Task (MIST), and recovery. All electrophysiological measures were continuously recorded throughout the 3 experiment phases. This includes electrocardiogram (ECG), electrodermal activity (EDA), impedance pneumogram (IP), and electroencephalogram (EEG). Salivary cortisol and visual analogue scale (VAS) of stress were sampled at fixed time points (i.e., after baseline, after MIST, after recovery, and 10 min after recovery). Three additional VAS were administered after the training, first stress, and second stress conditions of the MIST. During the baseline phase, participants were seated on a sofa. Participants were ushered to a workstation to complete the MIST and remained at the workstation for the recovery phase. An experimenter was seated right behind the participant throughout the MIST. Note that only a subset of participants (N = 34) completed the entire cortisol and VAS sampling for the stress manipulation check. The last two sampling time points were not collected for the remaining participants.Fig. 1\nAn overview of the entire experimental procedure. The experiment consisted of 3 phases – baseline, Montreal Imaging Stress Task (MIST), and recovery. All electrophysiological measures were continuously recorded throughout the 3 experiment phases. This includes electrocardiogram (ECG), electrodermal activity (EDA), impedance pneumogram (IP), and electroencephalogram (EEG). Salivary cortisol and visual analogue scale (VAS) of stress were sampled at fixed time points (i.e., after baseline, after MIST, after recovery, and 10 min after recovery). Three additional VAS were administered after the training, first stress, and second stress conditions of the MIST. During the baseline phase, participants were seated on a sofa. Participants were ushered to a workstation to complete the MIST and remained at the workstation for the recovery phase. An experimenter was seated right behind the participant throughout the MIST. Note that only a subset of participants (N = 34) completed the entire cortisol and VAS sampling for the stress manipulation check. The last two sampling time points were not collected for the remaining participants.\nFirst, manipulation checks on MIST behavioural performance and salivary cortisol response were conducted using the MGCV: Mixed Generalized Additive Model Computation Vehicle with Automatic Smoothness Estimation package (Version: 1.9.1) in R (Wood, 2017). Generalised additive model (GAM) is a flexible framework for modelling linear and non-linear effects, accommodating both fixed and random factors (Hastie and Tibshirani, 1990), which makes it well-suited for examining non-linear temporal changes during the experiment, pre-post intervention effects, and group differences. Second, to build the predictive models of acute stress, the dataset was split subject-wise into training, validation, and hold-out test subsets, with approximately one-third of the subjects allocated to each. PySR (Version: 0.19.4) is an open-source Python package used to perform the symbolic regression analysis for building the interpretable model (Cranmer, 2023). TensorFlow (Version: 2.10.1) was used to implement the convolutional neural network model (Abadi et al., 2016). Third, causal discovery was conducted using the Python package Tigramite: Time Series Graph-based Measure of Information Transfer (Version: 5.2.7.0) to examine directional relationships amongst the features revealed by the symbolic regression (Gerhardus and Runge, 2020). Fourth, the effects of the interventions were examined using GAMs. Fifth, k-means cluster analysis was conducted via the Python package scikit-learn (Version: 1.5.2) to identify potential distinct baseline psychophysiological profiles (Pedregosa et al., 2011). Finally, the psychosocial differences between these profiles were also examined using GAMs.\nBased on previously reported small-to-medium meta-analytic effect (Cohen's f ≈ 0.175) of breathing-based interventions on perceived stress (Fincham et al., 2023), our pre-post design with three groups, assuming a correlation of 0.5 amongst repeated measures, 80% power, and an alpha level of 0.05, required at least 84 participants. It should be noted that missing or invalid values, representing approximately 0.17% of the entire dataset, were time series in nature. Gaps within these time series were imputed using cubic spline interpolation (Nickerson et al., 2018), without extrapolation beyond observed data. One participant was omitted from subsequent analyses that require respiration data due to poor signal quality.\n\n\n### Participants\nPrior to the start of the study, ethics approval was obtained from the Human Research Ethics Committee at the University of Hong Kong. Recruitment involved advertising through email listings, departmental intranet, and posters placed around the campus. Inclusion criteria included 1) 18 to 50 years old, 2) normal or corrected hearing and vision, and 3) no history of neurological or psychological disorders. The final sample consisted of 144 adults, of whom 63 were male, with ages ranging from 18 to 44 (Mage = 24.28; SDage = 4.46). Informed consent was obtained from all participants.\n\n\n### Computerised task\nAn adapted version of the Montreal Imaging Stress Task (MIST) (Dedovic et al., 2005) was administered to induce an acute stress response. The task was presented via Inquisit Lab™ 6 (Millisecond Software, Inc., Seattle, Washington, USA). This task involved two experimental conditions, training and stress. On each trial, an arithmetic question was presented to the participants. Participants were required to use the left and right mouse buttons to navigate through a rotary dial to select an answer. The middle mouse button was used to submit the selected number. Visual feedback (i.e., “correct”, “incorrect”, or “timeout”) was presented for 500ms at the end of each trial. Additionally, errors were accompanied by a loud buzz, whereas correct responses were accompanied by a soft bell sound. The bank of arithmetic questions was grouped into five different levels with progressively greater difficulty. Level one involved solving the addition or subtraction of two numbers (ranging from 0 to 9), whereas level five involved the addition, subtraction, multiplication, or division of four numbers (ranging from 0 to 99). All arithmetic solutions were restricted to 0 to 9. Each experimental condition consisted of all five levels, with each level lasting 1 min.\nDuring the training condition, no time limit was set for each trial. Each participant's average response time for each level was calculated during this condition. To increase task difficulty during the stress condition, an initial time limit was set at 90% of the participant's average reaction time for each level during training. In addition, three consecutive correct responses resulted in a 10% reduction in the time limit. By contrast, three consecutive errors resulted in a 10% increase. Prior to the start of each stress condition, participants were reminded by the experimenter of the importance of meeting the minimum performance requirement (i.e., 80% to 90% accuracy) for their data to be useful for the study. An indicator bar showing the current performance of the participant and an experimentally manipulated normative average performance of other participants (i.e., always higher than the participant's current performance) was displayed at the top of the screen during the stress condition. Participants first completed the training condition, followed by three repetitions of the stress condition. Immediately after the first and second stress conditions, the experimenter informed the participants that they did not meet the required performance. Furthermore, to maximise acute stress response, the experimenter sat right behind the participant throughout the MIST to increase evaluation apprehension.\n\n\n### Electrophysiological and physiological data acquisition and preprocessing\nContinuous ECG, EDA, and impedance pneumography (IP) were recorded using a CGX Aim Physiological Monitor System (Cognionics, Inc., San Diego, California, USA). In addition, EEG was recorded using a CGX CAMP Wireless EEG System. The ECG electrodes were positioned in the lead-II position with the ground electrode position on the lower right rib. Two additional ECG electrodes were positioned adjacent to the lead-II position for the IP dongle. The EDA electrodes were positioned on the middle phalanges of the index and middle fingers of the non-dominant hand. 19 EEG electrodes were positioned on the scalp in accordance with the 10/20 system (Fp1, Fp2, Fz, F4, F3, F8, F7, Cz, C4, C3, T4, T3, Pz, P4, P3, P8, P7, O2, O1). Two additional electrodes were placed on the left and right mastoids. The left mastoid was set as the online reference. Site AFz was used as the ground electrode. All modalities were amplified and converted from analogue to digital at 24-bit resolution and 500Hz sampling rate.\nPost-processing was conducted on Python (Version: 3.10). A zero-phase Butterworth bandpass filter of 0.1 – 35Hz (order = 4) was applied to all signals. The signals were segmented into 5-min windows to maximise the range of extractable features, as some features, particularly non-linear metrics, require a larger window of data for accurate analysis (Gu et al., 2023; Shaffer and Ginsberg, 2017). It should be noted that 5-min segments were taken from the period of active arithmetic task engagement during the MIST to reflect the state of acute stress. A robust automatic method for artefact correction for ectopic ECG peaks was applied (Lipponen and Tarvainen, 2019). The various HRV, respiratory, and skin conductance metrics were extracted using the default Neurokit2 (Version: 0.2.10) algorithms (Makowski et al., 2021). The EEG signal was first segmented into equally spaced 1-min epochs. Neural oscillations were extracted using the default Discrete Prolate Spheroidal Sequences multitaper method (Slepian, 1978) in MNE (Version: 1.5.0) (Gramfort, 2013). The power spectrum density was summed across all frequency bins within their respective neural oscillation bands for each EEG site (Delta: 0.5 – 4Hz, Theta: 4 – 8Hz, Alpha: 8 – 12Hz, Beta: 12 – 30Hz). The neural oscillations were averaged across a 5-min window to match the other features temporally.\nThe filtered signals were also converted to spectrograms across all modalities. Each 5-min window was transformed into the time-frequency domain using the Short-Time Fourier Transform with a Hanning window of 5000 samples and a hop length of 1000 samples. The Fast Fourier Transform length was set equal to the window length. The spectrograms were logarithmically transformed from power to the decibel scale. EEG spectrograms from all sites were stacked to form a 19-channel input, with each channel representing an EEG site. The spectrograms of other modalities were used as single-channel inputs.\n\n\n### Salivary cortisol assay\nSalivary samples were collected using the Salivette® Cortisol tubes (Sarstedt, Art. No. 51.1534.500). As reported by the manufacturer, the functional sensitivity of the assay was 0.28 ng/ml, and the interassay coefficient of variation was 3.44% (Dubberke et al.). Participants were instructed to avoid 1) caffeine intake on the day, 2) alcohol intake within 24 h, 3) any food or beverage intake within 1 h, and 4) toothbrushing, chewing gum, smoking, flossing, or any other mint flavoured products within 1 h of the experiment. At each time point, participants had to chew on a cotton swab gently for 90 s and, thereafter, allow the cotton swab to absorb their saliva under the tongue for 30 s. The collected samples were stored at a temperature of −80 °C at the end of the experiment. Thereafter, the samples were preliminarily processed at an on-site laboratory in batches. The salivary samples were extracted from the tube by centrifugation at 3000×g for 5 min. The extracted samples were sent to an institutional core laboratory for liquid chromatography-tandem mass spectrometry salivary cortisol analysis (Raff and Phillips, 2019).\n\n\n### Self-report questionnaires\nThe visual analogue scale (VAS) is a single-item self-report measure used to assess perceived stress at the moment in time. The item was rated from 0 to 100, where a higher score indicated greater levels of perceived stress. The Connor-Davidson Resilience Scale (CD-RISC) is a questionnaire assessing trait resilience (Connor and Davidson, 2003). The 10-item version was used. The items were rated on a 5-point Likert scale, where a higher summed score indicated greater levels of trait resilience. The World Health Organization Well-Being Index (WHO-5) is an assessment of general psychological well-being over the last two weeks (World Health Organization, 1998). The items were rated on a 6-point Likert scale, where a higher summed score indicated greater levels of well-being. The Life Events Checklist for the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition (LEC-5) is used to assess the exposure to various types of traumatic events (Weathers et al., 2013). Four summed scores were calculated to reflect the four varying degrees of exposure (i.e., happened personally, witnessed it, learned about it, and part of the job). A higher score indicated greater lifetime exposure to different types of major life stressors.\n\n\n### Procedure\nAfter signing up for the study, potential participants were required to complete an online screening survey. Individuals meeting the requirements of the study were invited on-site for the experiment. On arrival, participants were required to read the information sheet and sign a consent form. Thereafter, the electrophysiological recording devices were fitted on the participants. There were three major phases to the experiment. Participants were first instructed to sit on a sofa to measure their baseline physiology. During this period, participants were only allowed to read magazines that were provided by the researcher. Participants were reminded that they were not allowed to fall asleep during this period. Following a 20-min baseline period, participants were ushered to a workstation for the MIST. Participants then completed a 30-min recovery stage. Self-report VAS and salivary cortisol were collected at various time points throughout the experiment (see Fig. 1) as part of a manipulation check to ensure the success of the stress induction. CD-RISC, WHO-5, and LEC-5 were completed either the day before or immediately after the on-site experiment. Participants were debriefed regarding the nature of the study at the end of the experiment.Fig. 1An overview of the entire experimental procedure. The experiment consisted of 3 phases – baseline, Montreal Imaging Stress Task (MIST), and recovery. All electrophysiological measures were continuously recorded throughout the 3 experiment phases. This includes electrocardiogram (ECG), electrodermal activity (EDA), impedance pneumogram (IP), and electroencephalogram (EEG). Salivary cortisol and visual analogue scale (VAS) of stress were sampled at fixed time points (i.e., after baseline, after MIST, after recovery, and 10 min after recovery). Three additional VAS were administered after the training, first stress, and second stress conditions of the MIST. During the baseline phase, participants were seated on a sofa. Participants were ushered to a workstation to complete the MIST and remained at the workstation for the recovery phase. An experimenter was seated right behind the participant throughout the MIST. Note that only a subset of participants (N = 34) completed the entire cortisol and VAS sampling for the stress manipulation check. The last two sampling time points were not collected for the remaining participants.Fig. 1\nAn overview of the entire experimental procedure. The experiment consisted of 3 phases – baseline, Montreal Imaging Stress Task (MIST), and recovery. All electrophysiological measures were continuously recorded throughout the 3 experiment phases. This includes electrocardiogram (ECG), electrodermal activity (EDA), impedance pneumogram (IP), and electroencephalogram (EEG). Salivary cortisol and visual analogue scale (VAS) of stress were sampled at fixed time points (i.e., after baseline, after MIST, after recovery, and 10 min after recovery). Three additional VAS were administered after the training, first stress, and second stress conditions of the MIST. During the baseline phase, participants were seated on a sofa. Participants were ushered to a workstation to complete the MIST and remained at the workstation for the recovery phase. An experimenter was seated right behind the participant throughout the MIST. Note that only a subset of participants (N = 34) completed the entire cortisol and VAS sampling for the stress manipulation check. The last two sampling time points were not collected for the remaining participants.\n\n\n### Data analysis plan\nFirst, manipulation checks on MIST behavioural performance and salivary cortisol response were conducted using the MGCV: Mixed Generalized Additive Model Computation Vehicle with Automatic Smoothness Estimation package (Version: 1.9.1) in R (Wood, 2017). Generalised additive model (GAM) is a flexible framework for modelling linear and non-linear effects, accommodating both fixed and random factors (Hastie and Tibshirani, 1990), which makes it well-suited for examining non-linear temporal changes during the experiment, pre-post intervention effects, and group differences. Second, to build the predictive models of acute stress, the dataset was split subject-wise into training, validation, and hold-out test subsets, with approximately one-third of the subjects allocated to each. PySR (Version: 0.19.4) is an open-source Python package used to perform the symbolic regression analysis for building the interpretable model (Cranmer, 2023). TensorFlow (Version: 2.10.1) was used to implement the convolutional neural network model (Abadi et al., 2016). Third, causal discovery was conducted using the Python package Tigramite: Time Series Graph-based Measure of Information Transfer (Version: 5.2.7.0) to examine directional relationships amongst the features revealed by the symbolic regression (Gerhardus and Runge, 2020). Fourth, the effects of the interventions were examined using GAMs. Fifth, k-means cluster analysis was conducted via the Python package scikit-learn (Version: 1.5.2) to identify potential distinct baseline psychophysiological profiles (Pedregosa et al., 2011). Finally, the psychosocial differences between these profiles were also examined using GAMs.\nBased on previously reported small-to-medium meta-analytic effect (Cohen's f ≈ 0.175) of breathing-based interventions on perceived stress (Fincham et al., 2023), our pre-post design with three groups, assuming a correlation of 0.5 amongst repeated measures, 80% power, and an alpha level of 0.05, required at least 84 participants. It should be noted that missing or invalid values, representing approximately 0.17% of the entire dataset, were time series in nature. Gaps within these time series were imputed using cubic spline interpolation (Nickerson et al., 2018), without extrapolation beyond observed data. One participant was omitted from subsequent analyses that require respiration data due to poor signal quality.\n\n\n### Results\nA parametric GAM revealed a significant effect of conditions on accuracy, F(3, 510.67) = 3404.96, p < .001 (see Supplementary Table 1 for descriptive statistics). As illustrated in Fig. 2a, the accuracy of the training condition was significantly higher than the accuracy across all stress conditions. Post hoc analysis (Hommel-corrected) showed that the accuracy of the training condition was significantly higher than the accuracy across all stress conditions (1st Stress Condition: p < .001; 2nd Stress Condition: p < .001; 3rd Stress Condition: p < .001). In addition, accuracy was also significantly lower on the first stress condition as compared to the second (p = .012) and third stress (p = .012) conditions. In the context of reaction time, another parametric GAM revealed a significant effect of conditions, F(3, 448.43) = 230.47, p < .001 (see Fig. 2b). Post hoc analysis (Hommel-corrected) revealed that reaction time during training was significantly longer than reaction time across all stress conditions (1st Stress Condition: p < .001; 2nd Stress Condition: p < .001; 3rd Stress Condition: p < .001; see Fig. 2b). In addition, reaction time during the third stress condition was significantly faster than the second stress condition (p = .002). The reaction time of both the second (p = .017) and third stress (p < .001) conditions was also significantly faster than the first stress condition. As expected, the pattern of behavioural performance across the MIST conditions indicated that the stress conditions were more challenging as compared to the training condition and remained so across the three stress conditions, indicating a successful experimental manipulation of behavioural performance.Fig. 2Bar plots of the estimated marginal means of the behavioural performance, accuracy (a) and reaction time (b), of the MIST across the different conditions. Gaussian distribution with identity link function and inverse Gaussian distribution with inverse link function were used for the generalised additive models for accuracy and reaction time, respectively. Partial effect plots of time on cortisol concentration (c) and perceived stress (d) across the experiment. Gamma distribution with log link function and Gaussian distribution with identity link function were used for the generalised additive models for cortisol concentration and perceived stress, respectively. Random intercept of subject was included in all models. Only significant pairwise comparison with reference to the baseline is illustrated for cortisol concentration and perceived stress. Error bars and purple shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). MIST = Montreal Stress Imaging Task. VAS = Visual Analogue Scale.Fig. 2\nBar plots of the estimated marginal means of the behavioural performance, accuracy (a) and reaction time (b), of the MIST across the different conditions. Gaussian distribution with identity link function and inverse Gaussian distribution with inverse link function were used for the generalised additive models for accuracy and reaction time, respectively. Partial effect plots of time on cortisol concentration (c) and perceived stress (d) across the experiment. Gamma distribution with log link function and Gaussian distribution with identity link function were used for the generalised additive models for cortisol concentration and perceived stress, respectively. Random intercept of subject was included in all models. Only significant pairwise comparison with reference to the baseline is illustrated for cortisol concentration and perceived stress. Error bars and purple shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). MIST = Montreal Stress Imaging Task. VAS = Visual Analogue Scale.\nA nonlinear GAM revealed that time was a significant nonlinear predictor of cortisol concentration, F(2.82, 168.46) = 18.97, p < .001 (see Supplementary Tables 2 and 3 for descriptive and model statistics). As can be seen in Fig. 2c, cortisol concentration was lowest at baseline, peaked immediately after recovery, and returned to baseline 50 min after the recovery phase. Another nonlinear GAM revealed that time was also a significant nonlinear predictor of perceived stress, F(5.72, 269.13) = 131.31, p < .001, whereby perceived stress levels peaked immediately after participants completed the MIST and returned to baseline levels 10 min after the recovery phase (see Fig. 2d). Consistent with the delayed response of the HPA axis, cortisol concentration peaked approximately 30 min after peak perceived stress levels. Overall, the perceived stress levels and cortisol concentration patterns, along with behavioural performance, were indicative of a successful acute stress manipulation.\nA genetic programming optimised symbolic regression model was conducted using 216 ECG, EDA, IP, and EEG features (see Supplementary Table 4 for a list of all features) to classify stress status. Binary operators were limited to addition, multiplication, subtraction, division, and exponentiation, while unary operators were limited to negation, squaring, cubing, exponentiation, logarithm, and square rooting, to provide sufficient flexibility to model potential nonlinear relationships. Each solution was constrained to a complexity of 50 (i.e., each operator and feature was assigned a complexity of 1) and a maximum depth of 5, balancing model expressiveness and simplicity to ensure the interpretability of the final solution. The algorithm ran for 10000 iterations with 64 populations and a population size of 1000 to allow sufficient exploration of the solution space while maintaining computational feasibility. L2 margin loss was used to minimise differences between predicted outputs and binary target labels (−1 and 1) in the classification task. Model selection was based on the highest-scoring model, with the score reflecting the trade-off between loss and complexity (Cranmer, 2023; Schmidt and Lipson, 2009). Only models with losses no greater than 1.5 times that of the model with the lowest loss were considered to ensure robust predictive performance and parsimony of the final solution. The validation set was used to monitor potential overfitting or underfitting. The symbolic regression revealed three stress-related components (i.e., cardiorespiratory, cardiac, and neural components) and associated seven features (test accuracy = 85.37%; test sensitivity = 90.43%; test specificity = 80.32% specificity). Using Youden's threshold (Youden, 1950) derived from the validation dataset did not improve test accuracy (85.11%), but the balance between test sensitivity (86.17%) and specificity (84.04%) improved. These results demonstrated that threshold adjustment could help optimise the trade-off between false negatives and false positives, enabling flexible application of the model depending on practical priorities. The optimised mathematical expression is reported as follows:(1)StressState=CorrelationDimensionInspirationDuration−(0.001∗TINN)−F8Beta+T4ThetaF7Theta+T3Betawhere Correlation Dimension is a nonlinear metric measuring the complexity of HRV, Triangular Interpolation of the Normal-to-normal Interval Histogram (TINN) is a geometric parameter of HRV, Inspiration Duration is a measure of the mean inhalation time, and Beta and Theta refer to the neural oscillations within the range of 12 – 30Hz and 4 – 8Hz, respectively. F8, F7, T4, and T3 are located on the right frontal, left frontal, right temporal, and left temporal regions of the scalp, respectively. Subsequent Shapley value analysis on the test dataset revealed that the features contributing most to stress status predictions, in descending order, were inspiration duration (|Mshap| = 0.20), F8 Beta (|Mshap| = 0.19), T3 Beta (|Mshap| = 0.19), F7 Theta (|Mshap| = 0.15), TINN (|Mshap| = 0.15), Correlation Dimension (|Mshap| = 0.14), and T4 Theta (|Mshap| = 0.03).\nA multimodal late fusion convolutional neural network achieved a higher test performance (test accuracy = 93.88%; test sensitivity = 95.74%; test specificity = 92.02%; see Supplementary Fig. 1 for architecture). Using Youden's threshold further increased the test performance (test accuracy = 94.41%; test sensitivity = 95.21%; test specificity = 93.62%; see Table 1 for other validation and test performance metrics).Table 1The performance metrics of the symbolic regression and multimodal late fusion convolutional neural network on predicting stress status.Table 1Symbolic RegressionValidation DatasetTest DatasetThresholdDefaultYouden'sDefaultYouden'sAccuracy85.3386.4185.3785.11Sensitivity89.6789.1390.4386.17Specificity80.9883.7080.3284.04F1 Score85.9486.7786.0885.26PredictedActualRelaxStressRelaxStressRelaxStressRelaxStressRelax14935154301513715830Stress19165201641817026162Multimodal Late Fusion Convolutional Neural NetworkValidation DatasetTest DatasetThresholdDefaultYouden'sDefaultYouden'sAccuracy96.7497.2893.8894.41Sensitivity96.2095.6595.7495.21Specificity97.2898.9192.0293.62F1 Score96.7297.2493.9994.46PredictedActualRelaxStressRelaxStressRelaxStressRelaxStressRelax179518221731517612Stress7177817681809179Note that the symbolic regression Youden's threshold of 0.05 was derived from the validation dataset (default threshold is 0). The multimodal late fusion convolutional neural network Youden's threshold of 0.57 was derived from the validation dataset (default threshold is 0.50).\nThe performance metrics of the symbolic regression and multimodal late fusion convolutional neural network on predicting stress status.\nNote that the symbolic regression Youden's threshold of 0.05 was derived from the validation dataset (default threshold is 0). The multimodal late fusion convolutional neural network Youden's threshold of 0.57 was derived from the validation dataset (default threshold is 0.50).\nTo further investigate the brain-body dynamics during acute stress response, we adopted a causal discovery framework (Runge et al., 2019) to uncover directional associations amongst the various features revealed in the symbolic regression. Given that the optimisation process of the symbolic regression model inherently selects only a restricted subset of features, we utilised the LPCMCI algorithm to uncover contemporaneous and time-lagged dependencies between features, while accounting for potential hidden latent confounders (Reiser, 2022; Gerhardus and Runge, 2020). In addition, since the symbolic regression model revealed only linear relationships, we adopted partial correlation as the test for conditional independence. As illustrated in the directed partial ancestral graphs (see Fig. 3a and b), the results revealed top-down influence from the right frontal region on the autonomic nervous system and bottom-up influence from the autonomic nervous system on the left frontal region during baseline. There were also bottom-up inspiration-related influences on the frontal neural regions. During acute stress, however, top-down regulation of the autonomic nervous system dominated. In addition, there was greater frontotemporal connectivity across beta and theta neural oscillations as compared to baseline. Furthermore, the bottom-up influence of inspiration activity on the frontal neural oscillations was absent during acute stress.Fig. 3Directed partial ancestral graphs showing the contemporaneous and time-lagged directional influences between features during baseline (a) and acute stress (b). Note that the feature extraction time window was 1 min to maximise temporal resolution (τmin = 0 and τmax = 4). Correlation dimension is a nonlinear metric measuring the complexity of heart rate variability. Triangular interpolation of the normal-to-normal interval histogram (TINN) is a geometric parameter of heart rate variability. Inspiration duration is a measure of mean inhalation time. Beta and theta refer to the neural oscillations within the range of 12 – 30Hz and 4 – 8Hz, respectively. F8, F7, T4, and T3 are located on the right frontal, left frontal, right temporal, and left temporal regions of the scalp, respectively. The colour bar indicates the strength and polarity of intra-time series links (node colour) and inter-node links (arrow colour). Straight links represent contemporaneous relationships, whereas curved links represent time-lagged relationships.Fig. 3\nDirected partial ancestral graphs showing the contemporaneous and time-lagged directional influences between features during baseline (a) and acute stress (b). Note that the feature extraction time window was 1 min to maximise temporal resolution (τmin = 0 and τmax = 4). Correlation dimension is a nonlinear metric measuring the complexity of heart rate variability. Triangular interpolation of the normal-to-normal interval histogram (TINN) is a geometric parameter of heart rate variability. Inspiration duration is a measure of mean inhalation time. Beta and theta refer to the neural oscillations within the range of 12 – 30Hz and 4 – 8Hz, respectively. F8, F7, T4, and T3 are located on the right frontal, left frontal, right temporal, and left temporal regions of the scalp, respectively. The colour bar indicates the strength and polarity of intra-time series links (node colour) and inter-node links (arrow colour). Straight links represent contemporaneous relationships, whereas curved links represent time-lagged relationships.\nTo exemplify the notion that an interpretable model of acute stress can provide insight into potential targets for designing precision interventions for stress recovery, we conducted an intervention-based experiment with a subset of participants during their recovery phase. Given that the bottom-up influence of inspiration activity was disrupted during acute stress, we designed and randomly allocated two types of deep breathing interventions (i.e., individualised vs static) to participants to examine their effects during the recovery phase. Specifically, visual guidance for the static deep breathing group is constant at six bpm (10 s per breathing cycle) throughout the intervention. By contrast, the visual guidance for the individualised group starts at the breathing rate of each participant (measured before the start of the recovery phase) and gradually decreases to the target of six bpm by increasing 1 s per breathing cycle every minute. In both conditions, breathing was guided by animated circles expanding and contracting on the screen, with red indicating inhalation, blue indicating the hold phase, and green indicating exhalation.\nA likelihood ratio test indicated a significant interaction effect, whereby the nonlinear GAM with time by intervention interaction provided a significantly better fit as compared to the model without the interaction term, F(7.14, 538.74) = 10.49, p < .001 (ΔAIC = −66.07). Post hoc analysis (Hommel-corrected) revealed that the inspiration duration of the control group was significantly shorter as compared to the deep breathing groups across the recovery phase (p < .001; see Fig. 4a), indicating that both deep breathing exercises increased the duration of inspiration.Fig. 4The partial effect plots of the mean duration of inspiration across time for each intervention (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) during the recovery phase (a). Gamma distribution with inverse link function was used for the generalised additive model for inspiration duration. Bar plots of the estimated marginal means of perceived stress recovery across the different interventions (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) (b). Perceived stress recovery was calculated by taking the difference between perceived stress levels measured after the recovery phase and perceived stress levels measured after MIST. Gaussian distribution with identity link function was used for the generalised additive model for perceived stress recovery. Random intercept of subject was included in all models. Error bars and shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Note that N = 34 (Control), N = 38 (Individualised Deep Breathing), and N = 38 (Static Deep Breathing). However, one participant was removed from the control condition for the inspiration duration analysis due to having a poor respiration signal.Fig. 4\nThe partial effect plots of the mean duration of inspiration across time for each intervention (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) during the recovery phase (a). Gamma distribution with inverse link function was used for the generalised additive model for inspiration duration. Bar plots of the estimated marginal means of perceived stress recovery across the different interventions (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) (b). Perceived stress recovery was calculated by taking the difference between perceived stress levels measured after the recovery phase and perceived stress levels measured after MIST. Gaussian distribution with identity link function was used for the generalised additive model for perceived stress recovery. Random intercept of subject was included in all models. Error bars and shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Note that N = 34 (Control), N = 38 (Individualised Deep Breathing), and N = 38 (Static Deep Breathing). However, one participant was removed from the control condition for the inspiration duration analysis due to having a poor respiration signal.\nTo examine the effects of the interventions on stress recovery, we conducted a parametric GAM with the differences between perceived stress measured after the recovery phase (i.e., immediately and after 10 min) and after MIST as the outcome variable. Time by intervention interaction term was included in the model. Baseline measures of perceived stress and cortisol, as well as age and gender, were included in the models as covariates. The results revealed a significant interaction effect of time by intervention on perceived stress recovery, F(2, 117.54) = 4.50, p = .013. As can be seen in Fig. 4b, there was a significant decrease in perceived stress 10 min after the recovery phase across all conditions. However, the magnitude of change for the control group is relatively smaller (p = .010, Cohen's d = −0.63) as compared to the static (p < .001, Cohen's d = −1.59) and individualised (p < .001, Cohen's d = −1.39) interventions, indicating that both deep breathing interventions resulted in greater stress recovery. Baseline cortisol (β = −0.95, SE = 2.78, p = .732), age (β = 0.15, SE = 0.53, p = .782), and gender (β = 2.02, SE = 4.82, p = .676), were not significant predictors of stress recovery. By contrast, baseline perceived stress was a significant predictor (β = 0.34, SE = 0.14, p = .014), suggesting that those with higher perceived stress levels at baseline had worse stress recovery outcomes.\nTo further interpret the three symbolic components derived from the mathematical model, we conducted a k-means cluster analysis to explore potential distinct baseline physiological profiles. Analyses were restricted to baseline physiology to capture individual differences independent of the experimental manipulation, enabling the investigation of trait-like psychophysiological profiles and their associations with other psychosocial factors. The symbolic components were averaged across all baseline windows and standardised (z-score) prior to conducting the analysis. The number of clusters was determined using the elbow method based on the within-cluster sum of squares, systematically evaluating solutions ranging from two to ten clusters. The analysis revealed that a three-cluster solution was the most parsimonious. These clusters reflected distinct psychophysiological phenotypes, grouping individuals who exhibited similar patterns across the three symbolic components. In addition, we assessed cluster stability using 100 repeated runs with different random initialisations. The average Adjusted Rand Index across runs was 0.91, indicating highly stable cluster assignments. As illustrated in Fig. 5a, the three clusters were characterised by distinct profiles across the cardiorespiratory, cardiac, and neural components. The green and red clusters were characterised by a relatively lower ratio on the neural component as compared to the blue cluster (aka right hemisphere dominance phenotype). By contrast, the blue and green clusters were characterised by relatively lower levels of TINN as compared to the red cluster (aka high HRV phenotype). Lastly, the blue and red clusters were characterised by a relatively lower ratio of the correlation dimension of HRV to the mean duration of inspiration as compared to the green cluster. Notably, some individuals in the green cluster (aka stress-vulnerable phenotype) exceeded the symbolic regression threshold for acute stress during baseline, indicating a heightened predisposition to stress even at rest.Fig. 53D scatterplot illustrating the three k-means derived clusters (a). Each datapoint is colour-coded in red, green, and blue by cluster membership, and the overlaid plane represents the classification boundary of the symbolic regression stress prediction model. Bar plots of the estimated marginal means of the psychosocial factors across the three k-means clusters (b). Gaussian distribution with identity link function was used for all the generalised additive models, except for LEC-5, which used Poisson distribution with log link function to account for count data. Error bars represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Red (N = 37), green (N = 63), and blue (N = 43) clusters. CD-RISC = Connor-Davidson Resilience Scale, WHO-5 = World Health Organization Five Well-Being Index, and LEC-5 = Life Events Checklist for DSM-5.Fig. 5\n3D scatterplot illustrating the three k-means derived clusters (a). Each datapoint is colour-coded in red, green, and blue by cluster membership, and the overlaid plane represents the classification boundary of the symbolic regression stress prediction model. Bar plots of the estimated marginal means of the psychosocial factors across the three k-means clusters (b). Gaussian distribution with identity link function was used for all the generalised additive models, except for LEC-5, which used Poisson distribution with log link function to account for count data. Error bars represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Red (N = 37), green (N = 63), and blue (N = 43) clusters. CD-RISC = Connor-Davidson Resilience Scale, WHO-5 = World Health Organization Five Well-Being Index, and LEC-5 = Life Events Checklist for DSM-5.\nAfter applying Hommel correction across all GAM models, there were no significant group differences in trait resilience, F(2, 140) = 1.26, p = .287, or psychological well-being, F(2, 140) = 1.31, p = .287. In terms of lifetime traumatic events, participants in the green cluster reported personally experiencing a greater number of traumatic event types compared with those in the red (p = .006) cluster, χ2(2, 140) = 10.10, p = .032 (see Fig. 5b). In addition, those in the green (p = .004) and red (p = .037) clusters also reported experiencing a greater number of traumatic event types as part of their job as compared to those in the blue cluster, χ2(2, 140) = 11.50, p = .019. There were no significant group differences in witnessing traumatic events, χ2(2, 140) = 4.84, p = .287, and learning about traumatic events, χ2(2, 140) = 3.29, p = .287. Overall, individuals in the green cluster were exposed to more types of major life stressors, followed by those in red, and then those in the blue cluster.\n\n\n### MIST behavioural performance and salivary cortisol response\nA parametric GAM revealed a significant effect of conditions on accuracy, F(3, 510.67) = 3404.96, p < .001 (see Supplementary Table 1 for descriptive statistics). As illustrated in Fig. 2a, the accuracy of the training condition was significantly higher than the accuracy across all stress conditions. Post hoc analysis (Hommel-corrected) showed that the accuracy of the training condition was significantly higher than the accuracy across all stress conditions (1st Stress Condition: p < .001; 2nd Stress Condition: p < .001; 3rd Stress Condition: p < .001). In addition, accuracy was also significantly lower on the first stress condition as compared to the second (p = .012) and third stress (p = .012) conditions. In the context of reaction time, another parametric GAM revealed a significant effect of conditions, F(3, 448.43) = 230.47, p < .001 (see Fig. 2b). Post hoc analysis (Hommel-corrected) revealed that reaction time during training was significantly longer than reaction time across all stress conditions (1st Stress Condition: p < .001; 2nd Stress Condition: p < .001; 3rd Stress Condition: p < .001; see Fig. 2b). In addition, reaction time during the third stress condition was significantly faster than the second stress condition (p = .002). The reaction time of both the second (p = .017) and third stress (p < .001) conditions was also significantly faster than the first stress condition. As expected, the pattern of behavioural performance across the MIST conditions indicated that the stress conditions were more challenging as compared to the training condition and remained so across the three stress conditions, indicating a successful experimental manipulation of behavioural performance.Fig. 2Bar plots of the estimated marginal means of the behavioural performance, accuracy (a) and reaction time (b), of the MIST across the different conditions. Gaussian distribution with identity link function and inverse Gaussian distribution with inverse link function were used for the generalised additive models for accuracy and reaction time, respectively. Partial effect plots of time on cortisol concentration (c) and perceived stress (d) across the experiment. Gamma distribution with log link function and Gaussian distribution with identity link function were used for the generalised additive models for cortisol concentration and perceived stress, respectively. Random intercept of subject was included in all models. Only significant pairwise comparison with reference to the baseline is illustrated for cortisol concentration and perceived stress. Error bars and purple shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). MIST = Montreal Stress Imaging Task. VAS = Visual Analogue Scale.Fig. 2\nBar plots of the estimated marginal means of the behavioural performance, accuracy (a) and reaction time (b), of the MIST across the different conditions. Gaussian distribution with identity link function and inverse Gaussian distribution with inverse link function were used for the generalised additive models for accuracy and reaction time, respectively. Partial effect plots of time on cortisol concentration (c) and perceived stress (d) across the experiment. Gamma distribution with log link function and Gaussian distribution with identity link function were used for the generalised additive models for cortisol concentration and perceived stress, respectively. Random intercept of subject was included in all models. Only significant pairwise comparison with reference to the baseline is illustrated for cortisol concentration and perceived stress. Error bars and purple shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). MIST = Montreal Stress Imaging Task. VAS = Visual Analogue Scale.\nA nonlinear GAM revealed that time was a significant nonlinear predictor of cortisol concentration, F(2.82, 168.46) = 18.97, p < .001 (see Supplementary Tables 2 and 3 for descriptive and model statistics). As can be seen in Fig. 2c, cortisol concentration was lowest at baseline, peaked immediately after recovery, and returned to baseline 50 min after the recovery phase. Another nonlinear GAM revealed that time was also a significant nonlinear predictor of perceived stress, F(5.72, 269.13) = 131.31, p < .001, whereby perceived stress levels peaked immediately after participants completed the MIST and returned to baseline levels 10 min after the recovery phase (see Fig. 2d). Consistent with the delayed response of the HPA axis, cortisol concentration peaked approximately 30 min after peak perceived stress levels. Overall, the perceived stress levels and cortisol concentration patterns, along with behavioural performance, were indicative of a successful acute stress manipulation.\n\n\n### Acute stress prediction models\nA genetic programming optimised symbolic regression model was conducted using 216 ECG, EDA, IP, and EEG features (see Supplementary Table 4 for a list of all features) to classify stress status. Binary operators were limited to addition, multiplication, subtraction, division, and exponentiation, while unary operators were limited to negation, squaring, cubing, exponentiation, logarithm, and square rooting, to provide sufficient flexibility to model potential nonlinear relationships. Each solution was constrained to a complexity of 50 (i.e., each operator and feature was assigned a complexity of 1) and a maximum depth of 5, balancing model expressiveness and simplicity to ensure the interpretability of the final solution. The algorithm ran for 10000 iterations with 64 populations and a population size of 1000 to allow sufficient exploration of the solution space while maintaining computational feasibility. L2 margin loss was used to minimise differences between predicted outputs and binary target labels (−1 and 1) in the classification task. Model selection was based on the highest-scoring model, with the score reflecting the trade-off between loss and complexity (Cranmer, 2023; Schmidt and Lipson, 2009). Only models with losses no greater than 1.5 times that of the model with the lowest loss were considered to ensure robust predictive performance and parsimony of the final solution. The validation set was used to monitor potential overfitting or underfitting. The symbolic regression revealed three stress-related components (i.e., cardiorespiratory, cardiac, and neural components) and associated seven features (test accuracy = 85.37%; test sensitivity = 90.43%; test specificity = 80.32% specificity). Using Youden's threshold (Youden, 1950) derived from the validation dataset did not improve test accuracy (85.11%), but the balance between test sensitivity (86.17%) and specificity (84.04%) improved. These results demonstrated that threshold adjustment could help optimise the trade-off between false negatives and false positives, enabling flexible application of the model depending on practical priorities. The optimised mathematical expression is reported as follows:(1)StressState=CorrelationDimensionInspirationDuration−(0.001∗TINN)−F8Beta+T4ThetaF7Theta+T3Betawhere Correlation Dimension is a nonlinear metric measuring the complexity of HRV, Triangular Interpolation of the Normal-to-normal Interval Histogram (TINN) is a geometric parameter of HRV, Inspiration Duration is a measure of the mean inhalation time, and Beta and Theta refer to the neural oscillations within the range of 12 – 30Hz and 4 – 8Hz, respectively. F8, F7, T4, and T3 are located on the right frontal, left frontal, right temporal, and left temporal regions of the scalp, respectively. Subsequent Shapley value analysis on the test dataset revealed that the features contributing most to stress status predictions, in descending order, were inspiration duration (|Mshap| = 0.20), F8 Beta (|Mshap| = 0.19), T3 Beta (|Mshap| = 0.19), F7 Theta (|Mshap| = 0.15), TINN (|Mshap| = 0.15), Correlation Dimension (|Mshap| = 0.14), and T4 Theta (|Mshap| = 0.03).\nA multimodal late fusion convolutional neural network achieved a higher test performance (test accuracy = 93.88%; test sensitivity = 95.74%; test specificity = 92.02%; see Supplementary Fig. 1 for architecture). Using Youden's threshold further increased the test performance (test accuracy = 94.41%; test sensitivity = 95.21%; test specificity = 93.62%; see Table 1 for other validation and test performance metrics).Table 1The performance metrics of the symbolic regression and multimodal late fusion convolutional neural network on predicting stress status.Table 1Symbolic RegressionValidation DatasetTest DatasetThresholdDefaultYouden'sDefaultYouden'sAccuracy85.3386.4185.3785.11Sensitivity89.6789.1390.4386.17Specificity80.9883.7080.3284.04F1 Score85.9486.7786.0885.26PredictedActualRelaxStressRelaxStressRelaxStressRelaxStressRelax14935154301513715830Stress19165201641817026162Multimodal Late Fusion Convolutional Neural NetworkValidation DatasetTest DatasetThresholdDefaultYouden'sDefaultYouden'sAccuracy96.7497.2893.8894.41Sensitivity96.2095.6595.7495.21Specificity97.2898.9192.0293.62F1 Score96.7297.2493.9994.46PredictedActualRelaxStressRelaxStressRelaxStressRelaxStressRelax179518221731517612Stress7177817681809179Note that the symbolic regression Youden's threshold of 0.05 was derived from the validation dataset (default threshold is 0). The multimodal late fusion convolutional neural network Youden's threshold of 0.57 was derived from the validation dataset (default threshold is 0.50).\nThe performance metrics of the symbolic regression and multimodal late fusion convolutional neural network on predicting stress status.\nNote that the symbolic regression Youden's threshold of 0.05 was derived from the validation dataset (default threshold is 0). The multimodal late fusion convolutional neural network Youden's threshold of 0.57 was derived from the validation dataset (default threshold is 0.50).\n\n\n### Causal discovery analysis\nTo further investigate the brain-body dynamics during acute stress response, we adopted a causal discovery framework (Runge et al., 2019) to uncover directional associations amongst the various features revealed in the symbolic regression. Given that the optimisation process of the symbolic regression model inherently selects only a restricted subset of features, we utilised the LPCMCI algorithm to uncover contemporaneous and time-lagged dependencies between features, while accounting for potential hidden latent confounders (Reiser, 2022; Gerhardus and Runge, 2020). In addition, since the symbolic regression model revealed only linear relationships, we adopted partial correlation as the test for conditional independence. As illustrated in the directed partial ancestral graphs (see Fig. 3a and b), the results revealed top-down influence from the right frontal region on the autonomic nervous system and bottom-up influence from the autonomic nervous system on the left frontal region during baseline. There were also bottom-up inspiration-related influences on the frontal neural regions. During acute stress, however, top-down regulation of the autonomic nervous system dominated. In addition, there was greater frontotemporal connectivity across beta and theta neural oscillations as compared to baseline. Furthermore, the bottom-up influence of inspiration activity on the frontal neural oscillations was absent during acute stress.Fig. 3Directed partial ancestral graphs showing the contemporaneous and time-lagged directional influences between features during baseline (a) and acute stress (b). Note that the feature extraction time window was 1 min to maximise temporal resolution (τmin = 0 and τmax = 4). Correlation dimension is a nonlinear metric measuring the complexity of heart rate variability. Triangular interpolation of the normal-to-normal interval histogram (TINN) is a geometric parameter of heart rate variability. Inspiration duration is a measure of mean inhalation time. Beta and theta refer to the neural oscillations within the range of 12 – 30Hz and 4 – 8Hz, respectively. F8, F7, T4, and T3 are located on the right frontal, left frontal, right temporal, and left temporal regions of the scalp, respectively. The colour bar indicates the strength and polarity of intra-time series links (node colour) and inter-node links (arrow colour). Straight links represent contemporaneous relationships, whereas curved links represent time-lagged relationships.Fig. 3\nDirected partial ancestral graphs showing the contemporaneous and time-lagged directional influences between features during baseline (a) and acute stress (b). Note that the feature extraction time window was 1 min to maximise temporal resolution (τmin = 0 and τmax = 4). Correlation dimension is a nonlinear metric measuring the complexity of heart rate variability. Triangular interpolation of the normal-to-normal interval histogram (TINN) is a geometric parameter of heart rate variability. Inspiration duration is a measure of mean inhalation time. Beta and theta refer to the neural oscillations within the range of 12 – 30Hz and 4 – 8Hz, respectively. F8, F7, T4, and T3 are located on the right frontal, left frontal, right temporal, and left temporal regions of the scalp, respectively. The colour bar indicates the strength and polarity of intra-time series links (node colour) and inter-node links (arrow colour). Straight links represent contemporaneous relationships, whereas curved links represent time-lagged relationships.\n\n\n### Deep breathing interventions\nTo exemplify the notion that an interpretable model of acute stress can provide insight into potential targets for designing precision interventions for stress recovery, we conducted an intervention-based experiment with a subset of participants during their recovery phase. Given that the bottom-up influence of inspiration activity was disrupted during acute stress, we designed and randomly allocated two types of deep breathing interventions (i.e., individualised vs static) to participants to examine their effects during the recovery phase. Specifically, visual guidance for the static deep breathing group is constant at six bpm (10 s per breathing cycle) throughout the intervention. By contrast, the visual guidance for the individualised group starts at the breathing rate of each participant (measured before the start of the recovery phase) and gradually decreases to the target of six bpm by increasing 1 s per breathing cycle every minute. In both conditions, breathing was guided by animated circles expanding and contracting on the screen, with red indicating inhalation, blue indicating the hold phase, and green indicating exhalation.\nA likelihood ratio test indicated a significant interaction effect, whereby the nonlinear GAM with time by intervention interaction provided a significantly better fit as compared to the model without the interaction term, F(7.14, 538.74) = 10.49, p < .001 (ΔAIC = −66.07). Post hoc analysis (Hommel-corrected) revealed that the inspiration duration of the control group was significantly shorter as compared to the deep breathing groups across the recovery phase (p < .001; see Fig. 4a), indicating that both deep breathing exercises increased the duration of inspiration.Fig. 4The partial effect plots of the mean duration of inspiration across time for each intervention (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) during the recovery phase (a). Gamma distribution with inverse link function was used for the generalised additive model for inspiration duration. Bar plots of the estimated marginal means of perceived stress recovery across the different interventions (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) (b). Perceived stress recovery was calculated by taking the difference between perceived stress levels measured after the recovery phase and perceived stress levels measured after MIST. Gaussian distribution with identity link function was used for the generalised additive model for perceived stress recovery. Random intercept of subject was included in all models. Error bars and shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Note that N = 34 (Control), N = 38 (Individualised Deep Breathing), and N = 38 (Static Deep Breathing). However, one participant was removed from the control condition for the inspiration duration analysis due to having a poor respiration signal.Fig. 4\nThe partial effect plots of the mean duration of inspiration across time for each intervention (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) during the recovery phase (a). Gamma distribution with inverse link function was used for the generalised additive model for inspiration duration. Bar plots of the estimated marginal means of perceived stress recovery across the different interventions (i.e., individualised deep breathing intervention, static deep breathing intervention, and control group) (b). Perceived stress recovery was calculated by taking the difference between perceived stress levels measured after the recovery phase and perceived stress levels measured after MIST. Gaussian distribution with identity link function was used for the generalised additive model for perceived stress recovery. Random intercept of subject was included in all models. Error bars and shaded areas represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Note that N = 34 (Control), N = 38 (Individualised Deep Breathing), and N = 38 (Static Deep Breathing). However, one participant was removed from the control condition for the inspiration duration analysis due to having a poor respiration signal.\nTo examine the effects of the interventions on stress recovery, we conducted a parametric GAM with the differences between perceived stress measured after the recovery phase (i.e., immediately and after 10 min) and after MIST as the outcome variable. Time by intervention interaction term was included in the model. Baseline measures of perceived stress and cortisol, as well as age and gender, were included in the models as covariates. The results revealed a significant interaction effect of time by intervention on perceived stress recovery, F(2, 117.54) = 4.50, p = .013. As can be seen in Fig. 4b, there was a significant decrease in perceived stress 10 min after the recovery phase across all conditions. However, the magnitude of change for the control group is relatively smaller (p = .010, Cohen's d = −0.63) as compared to the static (p < .001, Cohen's d = −1.59) and individualised (p < .001, Cohen's d = −1.39) interventions, indicating that both deep breathing interventions resulted in greater stress recovery. Baseline cortisol (β = −0.95, SE = 2.78, p = .732), age (β = 0.15, SE = 0.53, p = .782), and gender (β = 2.02, SE = 4.82, p = .676), were not significant predictors of stress recovery. By contrast, baseline perceived stress was a significant predictor (β = 0.34, SE = 0.14, p = .014), suggesting that those with higher perceived stress levels at baseline had worse stress recovery outcomes.\n\n\n### Psychophysiological phenotypes and associated psychosocial differences\nTo further interpret the three symbolic components derived from the mathematical model, we conducted a k-means cluster analysis to explore potential distinct baseline physiological profiles. Analyses were restricted to baseline physiology to capture individual differences independent of the experimental manipulation, enabling the investigation of trait-like psychophysiological profiles and their associations with other psychosocial factors. The symbolic components were averaged across all baseline windows and standardised (z-score) prior to conducting the analysis. The number of clusters was determined using the elbow method based on the within-cluster sum of squares, systematically evaluating solutions ranging from two to ten clusters. The analysis revealed that a three-cluster solution was the most parsimonious. These clusters reflected distinct psychophysiological phenotypes, grouping individuals who exhibited similar patterns across the three symbolic components. In addition, we assessed cluster stability using 100 repeated runs with different random initialisations. The average Adjusted Rand Index across runs was 0.91, indicating highly stable cluster assignments. As illustrated in Fig. 5a, the three clusters were characterised by distinct profiles across the cardiorespiratory, cardiac, and neural components. The green and red clusters were characterised by a relatively lower ratio on the neural component as compared to the blue cluster (aka right hemisphere dominance phenotype). By contrast, the blue and green clusters were characterised by relatively lower levels of TINN as compared to the red cluster (aka high HRV phenotype). Lastly, the blue and red clusters were characterised by a relatively lower ratio of the correlation dimension of HRV to the mean duration of inspiration as compared to the green cluster. Notably, some individuals in the green cluster (aka stress-vulnerable phenotype) exceeded the symbolic regression threshold for acute stress during baseline, indicating a heightened predisposition to stress even at rest.Fig. 53D scatterplot illustrating the three k-means derived clusters (a). Each datapoint is colour-coded in red, green, and blue by cluster membership, and the overlaid plane represents the classification boundary of the symbolic regression stress prediction model. Bar plots of the estimated marginal means of the psychosocial factors across the three k-means clusters (b). Gaussian distribution with identity link function was used for all the generalised additive models, except for LEC-5, which used Poisson distribution with log link function to account for count data. Error bars represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Red (N = 37), green (N = 63), and blue (N = 43) clusters. CD-RISC = Connor-Davidson Resilience Scale, WHO-5 = World Health Organization Five Well-Being Index, and LEC-5 = Life Events Checklist for DSM-5.Fig. 5\n3D scatterplot illustrating the three k-means derived clusters (a). Each datapoint is colour-coded in red, green, and blue by cluster membership, and the overlaid plane represents the classification boundary of the symbolic regression stress prediction model. Bar plots of the estimated marginal means of the psychosocial factors across the three k-means clusters (b). Gaussian distribution with identity link function was used for all the generalised additive models, except for LEC-5, which used Poisson distribution with log link function to account for count data. Error bars represent ±1 standard error of the mean. ∗∗∗p < .001, ∗∗p <. 01, ∗p < .05 (Hommel-corrected). Red (N = 37), green (N = 63), and blue (N = 43) clusters. CD-RISC = Connor-Davidson Resilience Scale, WHO-5 = World Health Organization Five Well-Being Index, and LEC-5 = Life Events Checklist for DSM-5.\nAfter applying Hommel correction across all GAM models, there were no significant group differences in trait resilience, F(2, 140) = 1.26, p = .287, or psychological well-being, F(2, 140) = 1.31, p = .287. In terms of lifetime traumatic events, participants in the green cluster reported personally experiencing a greater number of traumatic event types compared with those in the red (p = .006) cluster, χ2(2, 140) = 10.10, p = .032 (see Fig. 5b). In addition, those in the green (p = .004) and red (p = .037) clusters also reported experiencing a greater number of traumatic event types as part of their job as compared to those in the blue cluster, χ2(2, 140) = 11.50, p = .019. There were no significant group differences in witnessing traumatic events, χ2(2, 140) = 4.84, p = .287, and learning about traumatic events, χ2(2, 140) = 3.29, p = .287. Overall, individuals in the green cluster were exposed to more types of major life stressors, followed by those in red, and then those in the blue cluster.\n\n\n### Discussion\nThe present study sought to decode acute stress response to provide insights into its underlying mechanisms, with implications for prediction, intervention, and phenotyping. Our interpretable model not only achieved high predictive performance but also revealed three stress-related symbolic components and associated features. Causal discovery modelling further revealed differences in the directional influences amongst these features. Notably, the bottom-up influence of inspiration on the frontal neural activity was found to be disrupted during acute stress. Subsequent experimental results demonstrated that deep breathing exercises resulted in increased inspiration duration as well as greater improvements in self-reported stress levels. Importantly, this improvement only emerged 10 min after the interventions, suggesting that the effects of deep breathing exercises may not be immediately observable, a factor future researchers should take into consideration. Arguably, the greater improvement in stress recovery may be due to controlled deep breathing accelerating the reestablishment of the bottom-up influence of inspiration on frontal neural activity, a hypothesis that future studies could investigate by directly examining frontal neural dynamics before and after deep breathing exercise as compared to control. Our cluster analysis also revealed three distinct baseline psychophysiological phenotypes, with the stress-vulnerable phenotype reporting a greater number of traumatic experiences. By integrating data-driven and experimental approaches, our holistic methodological framework provides a comprehensive means to elucidate the neurobiological basis of acute stress, guide precision-targeted interventions, and identify distinct psychophysiological phenotypes.\nThe cardiorespiratory component, revealed by our interpretable model, suggests that inspiration dynamics modulate the influence of HRV complexity on stress. In addition, our causal models also suggest that the bottom-up influences of inspiration activity on frontal neural regions appear to be disrupted during acute stress. In the context of our biological system, greater complexity in HRV could be seen as the manifestation of the ongoing interplay amongst the various stress-related biological mechanisms, such as the sympathetic and parasympathetic nervous systems (Calderón-Juárez et al., 2023; Porges, 2007). Arguably, a more complex autonomic nervous system might reflect the dynamic regulatory processes associated with adaptive functioning during acute stress response, striving to maintain homeostasis while mobilising sufficient energy to meet the demands of current challenges (Porges, 2007). By contrast, shorter inspiration duration likely reflects stress-related sympathetic activation (Viemari, 2008; Tipton et al., 2017). This is consistent with the downstream effects of the SAM axis during an acute stress response, which releases catecholamines and, consequently, increases respiratory activity and irregularities in respiratory patterns (Chu et al., 2024; Viemari, 2008; Tipton et al., 2017). On the flip side, taking longer breaths may promote parasympathetic dominance, mediated through respiratory sinus arrhythmia (Shaffer and Ginsberg, 2017; Shaffer et al., 2014), thereby attenuating the effects of stress. Indeed, our experimental findings corroborate this notion by demonstrating that taking slower breaths through guided deep breathing exercises aided stress recovery. All things considered, it appears that this cardiorespiratory component reflects a novel stress metric beyond what previous research has revealed by combining both HRV complexity and respiratory activity.\nThe cardiac component, which is the second component revealed, suggests that lower HRV varies as a function of acute stress. This finding is consistent with the general notion that lower HRV represents greater sympathetic dominance during acute stress response (William and Lee Wong, 2014; Kim et al., 2018). It should be noted that HRV, as well as associated complexity, have been demonstrated to decrease as a function of acute stress in past research (Castaldo et al., 2015). However, our causal models indicate more complex, dynamic, and time-dependent cardiorespiratory interactions during acute stress. Specifically, our findings suggest that faster inspiration contemporaneously increases HRV complexity, which in turn attenuates HRV. In addition, faster inspiration also leads to a delayed decrease in HRV complexity, which in turn causes a subsequent reduction in HRV. Furthermore, our findings also indicate greater top-down regulation of HRV complexity from frontotemporal neural regions during acute stress. Interestingly, recent research also reported an increase in HRV complexity as a function of cognitive load during a driving simulation task, which the researchers attributed to the adaptive functioning necessary for meeting task demands (Arutyunova et al., 2024). Consistent with our results, they also found a decrease in HRV as a function of cognitive load. Hence, our findings not only support the notion that HRV complexity reflects adaptive functioning during acute stress but also extend previous work by revealing the dynamic, time-dependent interplay between the brain and autonomic nervous system underlying this adaptive functioning through a computational approach.\nThe neural component of the symbolic regression indicates marked frontotemporal hemispheric asymmetry in beta and theta oscillations, suggesting a general trend of left-hemisphere dominance during acute stress. Notably, beta and theta oscillations between frontal and temporal regions are flipped across hemispheres, reflecting a nuanced interplay of bilateral neural processes. Our findings are consistent with previous research that has found that beta and theta oscillations in the frontal and temporal regions are sensitive to stress (Heinbockel et al., 2021; Ehrhardt et al., 2022; Hafeez et al., 2018; Aspiotis et al., 2022). Furthermore, a recent study found a similar but more rudimentary negative correlation between stress and the frontal theta/beta ratio (Yi Wen and Mohd Aris, 2020). It should be noted that our findings are inconsistent with a prior meta-analysis highlighting alpha oscillation as the only robust neural correlate of stress (Vanhollebeke et al., 2022). However, the studies included in the meta-analysis predominantly focused on individual frequency bands in isolation or, at most, considered simple combinations of two metrics (e.g., asymmetry, ratio), limiting their ability to capture the complexity of stress-related neural dynamics. In contrast, symbolic regression allows for greater flexibility in integrating different oscillatory activity across frequency bands and sites. By leveraging this approach, our findings reveal a more complex pattern of stress-related neural activity beyond what previous research has shown. Furthermore, our causal models suggest greater interhemispheric and interlobe connectivity during acute stress as well as a shift toward top-down regulation, with frontotemporal neural regions exerting dominant control over the autonomic nervous system. Consistent with our findings, recent functional magnetic resonance imaging research also demonstrated greater network integration, particularly in the frontotemporal neural regions, during acute stress (Wang et al., 2022). Previous research has also found that left frontal hemisphere lateralisation is implicated in cognitive reappraisal during stress and emotional regulation (Yang et al., 2021; Papousek et al., 2017). Moreover, the left hemisphere has also been found to be involved in the downregulation of the HPA axis through interhemispheric inhibition of the right hemisphere during stress and emotional regulation (Sullivan, 2004; Berretz et al., 2022). Indeed, the frontotemporal regions have been known to be involved in stress-related cognitive and emotional processing, which have downstream regulatory effects on both the SAM and HPA axes (Ulrich-Lai and Herman, 2009). Our findings build on previous research by revealing more intricate stress-related bilateral neural processes and associated top-down influence on the autonomic nervous system. Given that the MIST was used as part of the experimental manipulation, it should be noted that the increase in connectivity may also partly reflect increased cognitive load. Notably, previous neuroimaging research has demonstrated that increasing cognitive load was associated with strengthened connectivity between the frontoparietal network and the default mode network (Zuo et al., 2018). In addition, a lower frontal theta/beta ratio has also been linked to increased cognitive load (Laufer et al., 2022). Theta activity, in particular, has been thought to be involved in various cognitive-affective processes, such as multimodal sensorimotor integration, attention, episodic memory, cognitive control, and emotional regulation (Karakaş, 2020; Li et al., 2025). By contrast, beta activity has been associated with higher-order cognitive functions, such as planning, top-down control, working memory, and the maintenance of cognitive states (Spitzer and Haegens, 2017). Hence, it is not surprising that these neurocognitive functions are engaged under both cognitive load and stress. However, given the increase in top-down influence of frontotemporal neural activity on the autonomic nervous system during acute stress, it appears that increased cognitive load alone is unlikely to fully account for this pattern of activity. Instead, the shift towards greater top-down influence more likely reflects stress-related cortical modulation of the autonomic nervous system. In any case, future research should seek to disentangle these effects by independently manipulating cognitive demands and psychosocial stress.\nOur data-driven findings also revealed three baseline psychophysiological phenotypes with distinctive psychosocial profiles. Amongst the three phenotypes, the stress-vulnerable phenotype appears to exhibit a heightened stress predisposition at baseline. This phenotype is characterised by greater left-hemisphere dominance and lower HRV relative to the other two phenotypes. Furthermore, our findings indicate that individuals with this phenotype are likely to have been exposed to a greater number of major life stressors. This is consistent with the notion that major life stressors increase allostatic load (Lee et al., 2025), which is the chronic overloading of the stress-regulatory systems (McEwen and Stellar, 1993). However, the differences in physiology did not manifest in self-reported trait resilience or psychological well-being. This discrepancy may allude to a potential dissociation between physiological vulnerability and subjective self-appraisal. Alternatively, it could also be argued that self-report inventories may lack the sensitivity to detect subtle inter-phenotypic differences in healthy individuals. Future research should adopt a longitudinal design to track the trajectories of these phenotypes over time, investigating whether the physiological vulnerability observed translates into increased susceptibility to psychopathology in the future. In any case, our findings build on previous research by revealing distinct physiological phenotypes associated with trauma, characterised by altered autonomic regulation and hemispheric asymmetry.\nArguably, the complex pattern, while potentially discoverable through traditional models such as generalised linear models, is unlikely to occur as the symbolic components involve complex arithmetic combinations, which highlights the strength of our computational approach. As expected, the symbolic regression model demonstrated slightly lower predictive performance as compared to the deep learning model. Indeed, deep learning excels at capturing complex nonlinear relationships between features and outcomes, which often leads to higher accuracy in classification at the expense of interpretability. In addition, the symbolic regression approach requires greater levels of abstraction and feature engineering, which involves transforming raw data into higher-level representations. This lossy process involves aggregation, dimension reduction, and discretisation, leading to the loss of critical information and, consequently, lower model accuracy. In healthcare research, interpretability may take precedence over absolute accuracy, as it facilitates insight into the psychophysiological correlates and causal pathways of acute stress. Indeed, consistent with the allostasis framework (McEwen, 1998, 2003, 2007; McEwen and Stellar, 1993; Theriault et al., 2025; Ganzel et al., 2010), our findings not only revealed several stress-related brain and body processes, spanning neural, cardiac, and respiratory systems, but also demonstrated the shift from bottom-up to top-down influence during acute stress, illustrating how the brain coordinates and regulates the body to meet the demands of the environment. In addition, our findings have several important clinical implications. First, our predictive models can be used to monitor stress levels in clinical settings, such as psychiatric and trauma care. Second, the interpretable nature of our approach offers multiple potential actionable targets for precision interventions to aid in stress recovery, as exemplified by our experimental findings. Third, our phenotyping approach can assist clinicians in detecting at-risk individuals with latent vulnerability to stress due to prior traumatic experiences, which may lead to stress-related complications if left unchecked. Taken together, our approach furthered the understanding of psychological stress to better help assess, manage, intervene, and potentially prevent stress-related negative health outcomes.\n\n\n### CRediT authorship contribution statement\nKar Fye Alvin Lee: Conceptualization, Data curation, Formal analysis, Investigation, Methodology, Project administration, Software, Supervision, Validation, Visualization, Writing – original draft, Writing – review & editing. Li Liang: Data curation, Investigation, Methodology, Project administration, Writing – review & editing. Theparambil A. Suhail: Investigation, Software, Writing – review & editing. Tatia M.C. Lee: Conceptualization, Funding acquisition, Methodology, Supervision, Writing – review & editing.\n\n\n### Funding\nThis research was supported by the University of Hong Kong May Endowed Professorship in Neuropsychology and the Guangdong-Hong Kong Joint Laboratory for Psychiatric Disorders [2023B1212120004].\n\n\n### Declaration of competing interest\nThe authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.", "domain": "affective_neuroscience"}
{"source": "PMC13083839", "title": "Quantum inspired feature engineering for explainable EEG signal classification", "text": "# Quantum inspired feature engineering for explainable EEG signal classification\n\n## Abstract\nIn this research, our main objective is to extract more informative features by deploying a simple and effective framework. One of the cheapest data-gathering methods from the brain is electroencephalography signal collection. The main aim of this approach is to obtain maximum information from electroencephalography signals. Therefore, we have presented a quantum-inspired feature extraction function and evaluated its classification ability. In this approach, we have employed six electroencephalography signal datasets as a testbed, aiming to depict the general classification capability of the introduced electroencephalography signal classification model. Firstly, a quantum entangled particle pattern has been proposed, which is a transformer-based feature extraction function. To investigate the classification performance of the introduced quantum entangled particle pattern, a new-generation explainable feature engineering framework has been introduced. The quantum entangled particle pattern-centric explainable feature engineering model extracts features using the quantum entangled particle pattern feature extraction function. By employing cumulative weighted iterative neighborhood component analysis, the most distinctive features extracted by quantum entangled particle pattern have been selected. The algorithm-centric k-nearest neighbor classifier has been applied to obtain classification results. Directed lobish has been utilized to generate interpretable results. To obtain both classification and interpretable results, the selected features and their identities have been used as inputs for centric k-nearest neighbors and directed lobish consecutively. The introduced quantum entangled particle pattern-related explainable feature engineering approach attained over 90% classification accuracy on the six electroencephalography signal datasets with 10-fold cross-validation. Additionally, this model generates a connectome diagram to provide interpretable results for each dataset.\n\n## Full Text\n\n\n### Introduction\nElectroencephalography (EEG) is a technique that captures electrical signals from the brain to record neuronal connectivity that has been widely used in neuroscience and clinical neurology1,2. Electrical signals arising from neuronal connectivity can reveal information about cognitive processes as well as neurological events including epilepsy, psychosis, and amyotrophic lateral sclerosis (ALS)3. EEG signals, however, are complex by nature in terms of being non-stationary, high-dimensional data, requiring advanced computational techniques for their accurate analysis4. The extraction of features from the individual signals is a crucial step in EEG-based classification studies because the EEG signal is flawed due to noise contamination and inter-individual variability5.\nBrain-computer interfacing turns directly to the signal for neuron integration, and it requires data to systematically process raw signals for effective machine learning6, hence why feature extraction takes charge7. Recent studies have demonstrated the effectiveness of deep convolutional neural networks for efficient motor imagery EEG-based BCI systems8. There are several methods applied for feature extraction; those methods have a classical or deep learning (DL)-based approach9. Deep learning architectures such as attention-based nested networks have shown remarkable success in medical image analysis10. Although DL models perform well at classification accuracy, they require large amounts of training data11,12. Moreover, most current frameworks for EEG classification concentrate solely on performance measures, leaving little to no biologically meaningful information about the relevant neural mechanisms that could aid clinical and research applications13.\nQuantum-inspired computational techniques have gained attention as a feasible solution for biomedical signal processing14–16. These techniques are borrowed from quantum mechanics to improve the processes of feature extraction and classification17. Quantum-inspired models stand out in EEG signal analysis as they apply concepts like quantum entanglement and probabilistic transformations to interpret EEG data, potentially revealing novel patterns18. These methods can improve feature representation with a small computational cost compared with traditional models and thus can be feasible for online (real-time) applications of EEG19.\nExisting models in EEG classification also suffer from lack of interpretability20. Leveraging explainable artificial intelligence (XAI) to analyze EEG is a step toward bridging this gap with transparent neurologically relevant insight21. The XAI technique used helps identify the most relevant features contributing to the classification outputs, thus helping researchers and clinicians validate the results against their knowledge based on well-established neurophysiological understandings22. This improves trustworthiness and usability, which is especially relevant in the medical setting as decisions are based on biological processes that can be readily explained23.\nThis study explores novel EEG feature engineering methods which lead to higher accuracies, with a focus on computational efficiency and interpretability of results. This makes the advanced techniques presented here more applicable in any context where the analysis of bio-signals can be improved like EEG-based diagnostics and neuroinformatics studies, through the use of quantum-inspired methods and explainable feature engineering. The results obtained will influence multi-modal applications in the use of light-weight, fast and interpretable approaches that could be implemented on across a range of EEG datasets for an improved understanding of brain activity in health and disease.\nSome recent studies in the literature on ALS, stress, violence, psychosis, epilepsy, and artifact detection are listed as follows. Liu et al. 24 suggested an EEG based motor imagery classification approach for ALS patients by performing fractal dimension analysis and using Fisher’s criterion based channel selection. They analyzed EEG data of five end-stage ALS patients engaged in three imagery tasks. Compared to classical sensorimotor rhythm features, their method resulted in an accuracy of up to 95.25% from 30 channels and 91.00% from a single optimal channel. In their model, they didn’t use multiple datasets and they tested their models on the single dataset. Sengur et al. 25 used reinforcement sample learning for electromyogram (EMG) signals of ALS and developed a method for EMG-assisted classification of ALS. The dataset selected in the study consisted of ALS (n = 89) and normal (n = 133) EMG signals with the sampling frequency equal to 24 kHz. Before classification with CNN, time-frequency representations were used. They achieved an accuracy of 96.80% using this method. The utilized dataset is relatively small. Ramakrishnan et al. 26 developed a DL based brain-computer interface system for ALS patients. Electrooculography (EOG) signals were recorded from eight subjects (four trained and four untrained) using a bioamplifier with five electrodes. A recent work focused on classifying eye movement tasks for wheelchair navigation using CNN and achieved 93.51% and 86.88% accuracy for trained and untrained users respectively. Subject S4 achieved the best performance with 97.50% accuracy. However, leave-one-subject-out cross-validation (LOSO CV) was not utilized. Latifoglu27 suggested an ALS detection approach based on EEG-derived event-related potentials (ERPs). Moreover, empirical mode decomposition (EMD) and variational mode decomposition (VMD) were utilized to extract subband features which were classified using a 1D-CNN. Their results showed that VMD outperformed EMD and achieved the best accuracy (92.95%) with 10-fold cross-validation. Their method is not a new-generation method and they only investigated the classification performances of the VMD and EMD methods on the ALS dataset. Using resting-state magnetoencephalography data, Samanta et al. 28 presented 3D deep CNN for ALS detection. Data of 26 ALS patients and 26 healthy controls recorded in a 306-channel Elekta Neuromag scanner were used. Morlet wavelet transform was proved to generate time-frequency representations that were classified with MEGNet3D. Their model was over 75% correct across the various classification conditions. In this respect, the relatively low classification accuracy was computed. Makam et al. 29 introduced a novel framework for ALS detection from EMG signals which utilized automatic singular spectrum analysis (Auto-SSA) coupled with a quantum CNN. Their dataset comprised of 955 EMG signals from ALS and healthy subjects at 23.435 kHz. Using Auto-SSA, these signals were decomposed into reconstructed components, followed by the selection of 64 optimal features through particle swarm optimization. They attained testing accuracy of 98.50%. However, they didn’t present any interpretable results.\nSaba-Sadiya et al. 30 proposed a method for unsupervised EEG artifact detection and correction. EEG data from two passive viewing tasks were used in their study, recorded with a 32-electrode actiCHamp cap with a sampling rate of 1,000 Hz. ~ Approximately 10,000 EEG trials across all subjects were analyzed with 58 handcrafted features per trial explored for outlier detection. A combination of unsupervised algorithms detected 9.99% more artifacts than baseline methods were able to do, while a deep encoder-decoder architecture was observed to achieve 10% better classification performance once artifacts were removed. In this model, no XAI results are provided. Abdi-Sargezeh31 introduced an EEG artifact removal method by the common component rejection (CCR) and automatic wavelet CCR (AWCCR). They achieved an accuracy of 72.60%. Their classification results are relatively low. Also, there is no interpretable results.\nMukherjee and Roy32 presented a methodology to segment various stress levels through EMG and Heart Rate signals. EEG data from 34 healthy subjects were collected from the RMS Maximus 32 EEG system, and heart rate data from RMS Relax 701 were collected, while the subjects were working on solving mathematical problems of increasing complexity. They obtained an average accuracy of 99.72% but they didn’t present any XAI results. Kim et al. 33 proposed a stress detection framework using single-channel EEG and galvanic skin response signals recorded in a virtual reality interview paradigm. Their study collected biosignals from 30 participants exposed to simulated stress-inducing interviews, analyzing stress responses through five CNN architectures and a Vision Transformer model. They achieved an AUROC of 0.954. However, the innovation of their model is limited. Afify et al. 34 applied a CNN network for developing an EEG-based stress detection model. They employed SAM 40 data which comprises EEG recordings of thirty-four individuals over four cognitive tasks. A 32-channel bipolar EEG system was used to record two types of tasks and a total of 480 signals from 120 trials per task. The proposed model resulted in 99.25% accuracy. In this research, no interpretable results were reported and no LOSO CV-based classification performance results were presented. Jagtap et al. 35 developed an EEG-based stress detection approach integrating multiple signal processing and DL techniques. They utilized the SEED, DEAP, and Mental Stress Detection datasets, containing EEG recordings from various cognitive and emotional tasks. They achieved 98% accuracy. However, they didn’t present any explainable results or subject-wise evaluations. Daadaa et al. 36 suggested a framework for detecting stress and anxiety using EEG signals. They utilized the DEEP, SEED, and DASPS datasets, containing EEG recordings from various cognitive and emotional tasks. Their model achieved a 98.6% accuracy. There is no subject-wise cross-validation (CV) results in their model and XAI weren’t used in their model to showcase interpretable results generation ability.\nFor violence detection in smart surveillance systems, Halder and Chatterjee37 presented a CNN-BiLSTM model. Their study made use of three benchmark datasets consisting of violent and non-violent scenes, including Hockey Fights (1,000 clips), Movies (200 clips) and Violent Flows (246 clips). Their model used convolutional layers and bidirectional LSTMs to extract spatial and temporal features, obtaining 99.27% accuracy for Hockey Fights, 100% for Movies, and 98.64% for Violent Flow. Here, deep learning models were utilized to obtain high classification performance but the time complexity of the deep learning models are very high. In this aspect, the training of this model is not suitable for simply configured (or low-spec) computers. Abundez et al. 38 proposed a method for physical violence detection in video frames. Their approach obtained an AUC of up to 0.989 but they didn’t present any XAI results. Asad et al. 9 developed a multi-frame feature-fusion-based approach to detect violence in video surveillance. Their method achieved 98.80% accuracy on Hockey Fights, 99.10% on Movies, 97.10% on Violent Flow, and 95.90% on BEHAVE datasets. Any XAI results didn’t present in this research. Haiura and Iftene40 presented a 3D CNN for real-time violence detection in surveillance scenarios. They calculated an accuracy of 91.58%. No XAI results was presented and the complexity of this model was relatively high since they used 3D CNN.\nZulfikar and Mehmet41 presented an EEG-based model. The study utilized two EEG datasets, one with 19-channel recordings from 28 participants (14 SZ, 14 healthy controls- dataset I) and another with 16-channel recordings from 84 participants (45 SZ, 39 healthy controls- dataset II). They reached 98.2% for Dataset I and 96.02% for Dataset II. They didn’t present any LOSO CV results and there are no interpretable results. Li et al. 42 developed a method for first-episode psychosis (FEP), bipolar disorder (BD), and healthy controls. Their study included 83 healthy controls, 40 BD patients and 89 FEP patients. They calculated a 99.72% accuracy. They only focused classification performances and there are no interpretable results. Shubhangi et al. 43 proposed an EEG-based psychosis susceptibility syndrome detection method using local binary pattern encoding and CNN. Their study utilized EEG recordings from 14 psychosis susceptibility syndrome patients and 14 healthy controls. They achieved a 97.70% accuracy. Their utilized dataset is a toy dataset. Thus, these results cannot be generalized. Elujide et al. 44 developed a multi-label classification approach for psychotic disorder detection Their study utilized a psychotic disorder diseases dataset containing 500 patient records with diagnoses of bipolar disorder, schizophrenia, vascular dementia, insomnia, and ADHD. They achieved a 75.17% accuracy (relatively low classification accuracy).\nBhadra et al. 45 proposed a model for epileptic seizure detection using EEG signals. Their study utilized two public datasets: UCI Epilepsy and Mendeley datasets. They calculated 99.01% accuracy on the UCI dataset and 97.50% on the Mendeley dataset. These datasets are small datasets and there are no XAI and subject-wise results. Rivera et al. 46 presented an approach for seizure type classification. Their study utilized the temple university hospital seizure dataset (consist of 239 patients). They attained F1-score of 61.10%. They attained relatively low classification performances. Holguin-Garcia et al. 47 proposed a comparative study on epileptic seizure classification. Their study utilized the Epileptic Seizure Recognition database. Their study reached 99.92% accuracy but they didn’t present XAI results in their research. Using EEG signals, Zhang et al. 48 suggested a model for epileptic seizure detection. Their study utilized the CHB-MIT dataset. Their model achieved 99.35% accuracy for seizure detection. They used k-fold CV and they didn’t report any LOSO CV results. Gill et al. 49 developed an approach for classifying generalized and focal epileptic seizures. Their approach employed the temple university hospital seizure corpus dataset. Their approach achieved a 92.10% weighted accuracy. There is no interpretable results in their results.\nDespite significant progress in EEG signal classification, three main gaps remain in the literature. First, we are living in the rise of the machine learning age50, and scientific production about machine learning is very high51,52. Most researchers have utilized computationally expensive deep learning models53–55 to achieve high classification performance. Due to expensive processor and energy requirements, more lightweight and highly accurate models should be presented56. Second, most EEG signal classification frameworks20,57,58 have validated their performance on a single dataset, causing limitations in generalization. Third, many researchers have focused solely on yielding high classification performance59–61, resulting in a lack of explainable artificial intelligence (XAI) approaches in the literature.\nTo address these gaps, we propose a novel Quantum Entangled Particles Pattern (QEPP)-centric explainable feature engineering (XFE) framework. Nowadays, we are living in the AI age, and AI applications, especially large language models (LLMs), have been used everywhere62,63. Moreover, various researchers have worked on developing the optimum artificial general intelligence (AGI)64,65. Humanity has achieved this level due to the high performance of deep learning architectures. However, deep learning models require significant energy and data resources, making them expensive56. On the other hand, feature engineering models are lightweight architectures66,67, but they are not general models, and their classification performance is relatively lower than that of deep learning models. The major motivation is to introduce a new-generation general EEG signal classification model that achieves high classification performance with interpretable results. We are inspired by the dynamic structure of quantum mechanics and transformers68. The QEPP is a quantum-inspired feature extraction method that combines a newly developed QEP transformer with a Sequential and Combinational Transition Table (SCTT) feature extractor. In the QEP transformer, two vectors are used as entangled particles, and the difference between these vectors is computed as the energy vector difference. By applying the proposed transformer to these vectors, three transformed signals are generated, from which distinctive features are extracted using the SCTT function.\nOur framework employs two self-organized methods to ensure optimal classification performance: CWINCA (Cumulative Weighted Iterative Neighborhood Component Analysis) for feature selection and tkNN (tuned k-Nearest Neighbors) for classification. Additionally, the Directed Lobish (DLob) XAI method has been integrated to generate interpretable results. For each dataset, a DLob string and a cortical connectome diagram (CCD) are constructed, providing explainable insights into the neurological significance of the extracted features.\nThe main innovations and contributions of this work are as follows:We developed the QEP transformer, which is the first feature extraction-dedicated quantum-based transformer to our knowledge, along with the SCTT feature extraction function.We propose a new XFE framework that validates both classification performance and interpretability.The proposed QEPP-centric XFE model has been tested on six distinct EEG datasets (ALS, artifact, stress, violence, psychosis, and epilepsy), making it a pioneering model in EEG signal classification for its comprehensive validation approach.To present robust classification results, 10-fold, leave-one-subject-out (LOSO), and leave-one-record-out (LORO) cross-validations have been utilized.The introduced framework achieved over 90% classification accuracy on all six datasets, demonstrating that it is a generally high-accuracy model comparable to deep learning models but with linear time complexity.By deploying DLob, explainable findings including cortical connectome diagrams have been computed, contributing to neuroscience with AI-based interpretable results.\nWe developed the QEP transformer, which is the first feature extraction-dedicated quantum-based transformer to our knowledge, along with the SCTT feature extraction function.\nWe propose a new XFE framework that validates both classification performance and interpretability.\nThe proposed QEPP-centric XFE model has been tested on six distinct EEG datasets (ALS, artifact, stress, violence, psychosis, and epilepsy), making it a pioneering model in EEG signal classification for its comprehensive validation approach.\nTo present robust classification results, 10-fold, leave-one-subject-out (LOSO), and leave-one-record-out (LORO) cross-validations have been utilized.\nThe introduced framework achieved over 90% classification accuracy on all six datasets, demonstrating that it is a generally high-accuracy model comparable to deep learning models but with linear time complexity.\nBy deploying DLob, explainable findings including cortical connectome diagrams have been computed, contributing to neuroscience with AI-based interpretable results.\n\n\n### Literature review\nSome recent studies in the literature on ALS, stress, violence, psychosis, epilepsy, and artifact detection are listed as follows. Liu et al. 24 suggested an EEG based motor imagery classification approach for ALS patients by performing fractal dimension analysis and using Fisher’s criterion based channel selection. They analyzed EEG data of five end-stage ALS patients engaged in three imagery tasks. Compared to classical sensorimotor rhythm features, their method resulted in an accuracy of up to 95.25% from 30 channels and 91.00% from a single optimal channel. In their model, they didn’t use multiple datasets and they tested their models on the single dataset. Sengur et al. 25 used reinforcement sample learning for electromyogram (EMG) signals of ALS and developed a method for EMG-assisted classification of ALS. The dataset selected in the study consisted of ALS (n = 89) and normal (n = 133) EMG signals with the sampling frequency equal to 24 kHz. Before classification with CNN, time-frequency representations were used. They achieved an accuracy of 96.80% using this method. The utilized dataset is relatively small. Ramakrishnan et al. 26 developed a DL based brain-computer interface system for ALS patients. Electrooculography (EOG) signals were recorded from eight subjects (four trained and four untrained) using a bioamplifier with five electrodes. A recent work focused on classifying eye movement tasks for wheelchair navigation using CNN and achieved 93.51% and 86.88% accuracy for trained and untrained users respectively. Subject S4 achieved the best performance with 97.50% accuracy. However, leave-one-subject-out cross-validation (LOSO CV) was not utilized. Latifoglu27 suggested an ALS detection approach based on EEG-derived event-related potentials (ERPs). Moreover, empirical mode decomposition (EMD) and variational mode decomposition (VMD) were utilized to extract subband features which were classified using a 1D-CNN. Their results showed that VMD outperformed EMD and achieved the best accuracy (92.95%) with 10-fold cross-validation. Their method is not a new-generation method and they only investigated the classification performances of the VMD and EMD methods on the ALS dataset. Using resting-state magnetoencephalography data, Samanta et al. 28 presented 3D deep CNN for ALS detection. Data of 26 ALS patients and 26 healthy controls recorded in a 306-channel Elekta Neuromag scanner were used. Morlet wavelet transform was proved to generate time-frequency representations that were classified with MEGNet3D. Their model was over 75% correct across the various classification conditions. In this respect, the relatively low classification accuracy was computed. Makam et al. 29 introduced a novel framework for ALS detection from EMG signals which utilized automatic singular spectrum analysis (Auto-SSA) coupled with a quantum CNN. Their dataset comprised of 955 EMG signals from ALS and healthy subjects at 23.435 kHz. Using Auto-SSA, these signals were decomposed into reconstructed components, followed by the selection of 64 optimal features through particle swarm optimization. They attained testing accuracy of 98.50%. However, they didn’t present any interpretable results.\nSaba-Sadiya et al. 30 proposed a method for unsupervised EEG artifact detection and correction. EEG data from two passive viewing tasks were used in their study, recorded with a 32-electrode actiCHamp cap with a sampling rate of 1,000 Hz. ~ Approximately 10,000 EEG trials across all subjects were analyzed with 58 handcrafted features per trial explored for outlier detection. A combination of unsupervised algorithms detected 9.99% more artifacts than baseline methods were able to do, while a deep encoder-decoder architecture was observed to achieve 10% better classification performance once artifacts were removed. In this model, no XAI results are provided. Abdi-Sargezeh31 introduced an EEG artifact removal method by the common component rejection (CCR) and automatic wavelet CCR (AWCCR). They achieved an accuracy of 72.60%. Their classification results are relatively low. Also, there is no interpretable results.\nMukherjee and Roy32 presented a methodology to segment various stress levels through EMG and Heart Rate signals. EEG data from 34 healthy subjects were collected from the RMS Maximus 32 EEG system, and heart rate data from RMS Relax 701 were collected, while the subjects were working on solving mathematical problems of increasing complexity. They obtained an average accuracy of 99.72% but they didn’t present any XAI results. Kim et al. 33 proposed a stress detection framework using single-channel EEG and galvanic skin response signals recorded in a virtual reality interview paradigm. Their study collected biosignals from 30 participants exposed to simulated stress-inducing interviews, analyzing stress responses through five CNN architectures and a Vision Transformer model. They achieved an AUROC of 0.954. However, the innovation of their model is limited. Afify et al. 34 applied a CNN network for developing an EEG-based stress detection model. They employed SAM 40 data which comprises EEG recordings of thirty-four individuals over four cognitive tasks. A 32-channel bipolar EEG system was used to record two types of tasks and a total of 480 signals from 120 trials per task. The proposed model resulted in 99.25% accuracy. In this research, no interpretable results were reported and no LOSO CV-based classification performance results were presented. Jagtap et al. 35 developed an EEG-based stress detection approach integrating multiple signal processing and DL techniques. They utilized the SEED, DEAP, and Mental Stress Detection datasets, containing EEG recordings from various cognitive and emotional tasks. They achieved 98% accuracy. However, they didn’t present any explainable results or subject-wise evaluations. Daadaa et al. 36 suggested a framework for detecting stress and anxiety using EEG signals. They utilized the DEEP, SEED, and DASPS datasets, containing EEG recordings from various cognitive and emotional tasks. Their model achieved a 98.6% accuracy. There is no subject-wise cross-validation (CV) results in their model and XAI weren’t used in their model to showcase interpretable results generation ability.\nFor violence detection in smart surveillance systems, Halder and Chatterjee37 presented a CNN-BiLSTM model. Their study made use of three benchmark datasets consisting of violent and non-violent scenes, including Hockey Fights (1,000 clips), Movies (200 clips) and Violent Flows (246 clips). Their model used convolutional layers and bidirectional LSTMs to extract spatial and temporal features, obtaining 99.27% accuracy for Hockey Fights, 100% for Movies, and 98.64% for Violent Flow. Here, deep learning models were utilized to obtain high classification performance but the time complexity of the deep learning models are very high. In this aspect, the training of this model is not suitable for simply configured (or low-spec) computers. Abundez et al. 38 proposed a method for physical violence detection in video frames. Their approach obtained an AUC of up to 0.989 but they didn’t present any XAI results. Asad et al. 9 developed a multi-frame feature-fusion-based approach to detect violence in video surveillance. Their method achieved 98.80% accuracy on Hockey Fights, 99.10% on Movies, 97.10% on Violent Flow, and 95.90% on BEHAVE datasets. Any XAI results didn’t present in this research. Haiura and Iftene40 presented a 3D CNN for real-time violence detection in surveillance scenarios. They calculated an accuracy of 91.58%. No XAI results was presented and the complexity of this model was relatively high since they used 3D CNN.\nZulfikar and Mehmet41 presented an EEG-based model. The study utilized two EEG datasets, one with 19-channel recordings from 28 participants (14 SZ, 14 healthy controls- dataset I) and another with 16-channel recordings from 84 participants (45 SZ, 39 healthy controls- dataset II). They reached 98.2% for Dataset I and 96.02% for Dataset II. They didn’t present any LOSO CV results and there are no interpretable results. Li et al. 42 developed a method for first-episode psychosis (FEP), bipolar disorder (BD), and healthy controls. Their study included 83 healthy controls, 40 BD patients and 89 FEP patients. They calculated a 99.72% accuracy. They only focused classification performances and there are no interpretable results. Shubhangi et al. 43 proposed an EEG-based psychosis susceptibility syndrome detection method using local binary pattern encoding and CNN. Their study utilized EEG recordings from 14 psychosis susceptibility syndrome patients and 14 healthy controls. They achieved a 97.70% accuracy. Their utilized dataset is a toy dataset. Thus, these results cannot be generalized. Elujide et al. 44 developed a multi-label classification approach for psychotic disorder detection Their study utilized a psychotic disorder diseases dataset containing 500 patient records with diagnoses of bipolar disorder, schizophrenia, vascular dementia, insomnia, and ADHD. They achieved a 75.17% accuracy (relatively low classification accuracy).\nBhadra et al. 45 proposed a model for epileptic seizure detection using EEG signals. Their study utilized two public datasets: UCI Epilepsy and Mendeley datasets. They calculated 99.01% accuracy on the UCI dataset and 97.50% on the Mendeley dataset. These datasets are small datasets and there are no XAI and subject-wise results. Rivera et al. 46 presented an approach for seizure type classification. Their study utilized the temple university hospital seizure dataset (consist of 239 patients). They attained F1-score of 61.10%. They attained relatively low classification performances. Holguin-Garcia et al. 47 proposed a comparative study on epileptic seizure classification. Their study utilized the Epileptic Seizure Recognition database. Their study reached 99.92% accuracy but they didn’t present XAI results in their research. Using EEG signals, Zhang et al. 48 suggested a model for epileptic seizure detection. Their study utilized the CHB-MIT dataset. Their model achieved 99.35% accuracy for seizure detection. They used k-fold CV and they didn’t report any LOSO CV results. Gill et al. 49 developed an approach for classifying generalized and focal epileptic seizures. Their approach employed the temple university hospital seizure corpus dataset. Their approach achieved a 92.10% weighted accuracy. There is no interpretable results in their results.\nDespite significant progress in EEG signal classification, three main gaps remain in the literature. First, we are living in the rise of the machine learning age50, and scientific production about machine learning is very high51,52. Most researchers have utilized computationally expensive deep learning models53–55 to achieve high classification performance. Due to expensive processor and energy requirements, more lightweight and highly accurate models should be presented56. Second, most EEG signal classification frameworks20,57,58 have validated their performance on a single dataset, causing limitations in generalization. Third, many researchers have focused solely on yielding high classification performance59–61, resulting in a lack of explainable artificial intelligence (XAI) approaches in the literature.\nTo address these gaps, we propose a novel Quantum Entangled Particles Pattern (QEPP)-centric explainable feature engineering (XFE) framework. Nowadays, we are living in the AI age, and AI applications, especially large language models (LLMs), have been used everywhere62,63. Moreover, various researchers have worked on developing the optimum artificial general intelligence (AGI)64,65. Humanity has achieved this level due to the high performance of deep learning architectures. However, deep learning models require significant energy and data resources, making them expensive56. On the other hand, feature engineering models are lightweight architectures66,67, but they are not general models, and their classification performance is relatively lower than that of deep learning models. The major motivation is to introduce a new-generation general EEG signal classification model that achieves high classification performance with interpretable results. We are inspired by the dynamic structure of quantum mechanics and transformers68. The QEPP is a quantum-inspired feature extraction method that combines a newly developed QEP transformer with a Sequential and Combinational Transition Table (SCTT) feature extractor. In the QEP transformer, two vectors are used as entangled particles, and the difference between these vectors is computed as the energy vector difference. By applying the proposed transformer to these vectors, three transformed signals are generated, from which distinctive features are extracted using the SCTT function.\nOur framework employs two self-organized methods to ensure optimal classification performance: CWINCA (Cumulative Weighted Iterative Neighborhood Component Analysis) for feature selection and tkNN (tuned k-Nearest Neighbors) for classification. Additionally, the Directed Lobish (DLob) XAI method has been integrated to generate interpretable results. For each dataset, a DLob string and a cortical connectome diagram (CCD) are constructed, providing explainable insights into the neurological significance of the extracted features.\nThe main innovations and contributions of this work are as follows:We developed the QEP transformer, which is the first feature extraction-dedicated quantum-based transformer to our knowledge, along with the SCTT feature extraction function.We propose a new XFE framework that validates both classification performance and interpretability.The proposed QEPP-centric XFE model has been tested on six distinct EEG datasets (ALS, artifact, stress, violence, psychosis, and epilepsy), making it a pioneering model in EEG signal classification for its comprehensive validation approach.To present robust classification results, 10-fold, leave-one-subject-out (LOSO), and leave-one-record-out (LORO) cross-validations have been utilized.The introduced framework achieved over 90% classification accuracy on all six datasets, demonstrating that it is a generally high-accuracy model comparable to deep learning models but with linear time complexity.By deploying DLob, explainable findings including cortical connectome diagrams have been computed, contributing to neuroscience with AI-based interpretable results.\nWe developed the QEP transformer, which is the first feature extraction-dedicated quantum-based transformer to our knowledge, along with the SCTT feature extraction function.\nWe propose a new XFE framework that validates both classification performance and interpretability.\nThe proposed QEPP-centric XFE model has been tested on six distinct EEG datasets (ALS, artifact, stress, violence, psychosis, and epilepsy), making it a pioneering model in EEG signal classification for its comprehensive validation approach.\nTo present robust classification results, 10-fold, leave-one-subject-out (LOSO), and leave-one-record-out (LORO) cross-validations have been utilized.\nThe introduced framework achieved over 90% classification accuracy on all six datasets, demonstrating that it is a generally high-accuracy model comparable to deep learning models but with linear time complexity.\nBy deploying DLob, explainable findings including cortical connectome diagrams have been computed, contributing to neuroscience with AI-based interpretable results.\n\n\n### Materials\nIn this research, we have used six EEG signal classification datasets, each with different characteristics. The datasets used are: (i) EEG Amyotrophic Lateral Sclerosis (ALS) detection, (ii) EEG Artifact classification, (iii) EEG Stress detection, (iv) EEG Violence detection, (v) EEG Psychosis detection, and (vi) EEG Epilepsy detection. These datasets were collected using EEG signal acquisition devices with 14, 32 or 35 channels. The details of these datasets are provided below.\nIn this dataset, an EEG collection device with 32 channels was used69,70. The dataset was collected from 170 control participants and 6 ALS participants, as ALS is a rare disorder. To balance the dataset, we selected 2,631 EEG segments, each 10 s long, for each class. There are two classes in this dataset: (1) ALS and (2) Control.\nGiven the extremely limited number of ALS patients (6 cases) compared to 170 healthy controls, the original dataset exhibits a severe class imbalance. To avoid strong class bias during model training and evaluation, we adopted a balancing strategy based on controlled undersampling of the majority class. Specifically, from the rich control recordings, we randomly selected EEG segments whose total duration matches the overall recording duration of the ALS patients, resulting in 2,631 segments per class. Although this procedure may reduce the diversity of control data, it is a common and necessary practice in small-sample rare disease studies to ensure that the model focuses on learning disease-discriminative patterns rather than being dominated by the majority class. The high geometric mean (G-mean) values observed in subsequent experiments indicate that the performance on this balanced subset is robust and not driven by class bias.\nThis dataset contains one clean class and seven artifact classes, making a total of eight classes71. The researchers collected this dataset using the Emotiv Epoch X brain cap, which has 14 channels. The sampling frequency of the Emotiv Epoch X brain cap used is 128 Hz. The distribution of this dataset is shown in Table 1. In this dataset, there are 2,498 EEG segments, each with a length of 5 s. The distribution of the used EEG artifact classification dataset is also tabulated in Table 1.\nTable 1The distribution of the EEG artifact classification dataset.No.ClassNumber of EEGs0No Artifact12491Limb Tremor1812Noise1793Body Movement1784Eye Blinking1785Swallowing1806Vertical Eye Movement1817Speaking172Total2498\nThe distribution of the EEG artifact classification dataset.\nAs seen in Table 1, the artifact dataset is unbalanced across the 7 artifact types, but the total number of clean vs. artifact samples is balanced (1,249 vs. 1,249).\nThe researchers curated this dataset from 310 participants using the Emotiv Epoch X brain cap, which has 14 channels72. The EEG stress dataset contains 3,667 EEG segments, each 15 s long. The distribution of this dataset is as follows: (1) 1,785 stress signals and (2) 1,882 control signals.\nThe EEG violence detection dataset is a binary classification dataset containing two classes, and it is a 14-channel dataset73. The length of each EEG segment is 15 s. In this dataset, the two classes are (0) Control and (1) Violence. 442 of the EEG signals belong to the control class, while the remaining 286 EEG signals belong to the violence class. Thus, there are a total of 778 EEG signals in this dataset.\nThe EEG psychosis detection dataset was collected using the Emotiv Flex brain cap, which has 32 channels, and the sampling frequency of this device is 256 Hz 74. In this dataset, EEG signals were collected from 64 participants. The collected EEG signals were divided into 15-second segments. There are 4,098 EEG segments in this dataset, classified into two categories: (0) Control and (1) Psychosis. 1,350 of these 4,098 EEG segments belong to psychosis participants, while the remaining 2,748 are labeled as control.\nThe largest dataset used in this research is the Turkish Epilepsy Dataset75. This dataset was collected from 121 participants, 50 of whom have epilepsy, while the remaining 71 participants have no findings. Therefore, the EEG signals of these 71 participants were labeled as control. This dataset was collected using a brain cap with 35 channels and the sampling frequency of the used brain cap is 500 Hz. The length of each EEG segment is 15 s, and the dataset contains (1) 4,465 epileptic EEG segments and (2) 5,891 control EEG segments. Totally, there are 10,356 EEG signals in this dataset.\n\n\n### EEG ALS dataset\nIn this dataset, an EEG collection device with 32 channels was used69,70. The dataset was collected from 170 control participants and 6 ALS participants, as ALS is a rare disorder. To balance the dataset, we selected 2,631 EEG segments, each 10 s long, for each class. There are two classes in this dataset: (1) ALS and (2) Control.\nGiven the extremely limited number of ALS patients (6 cases) compared to 170 healthy controls, the original dataset exhibits a severe class imbalance. To avoid strong class bias during model training and evaluation, we adopted a balancing strategy based on controlled undersampling of the majority class. Specifically, from the rich control recordings, we randomly selected EEG segments whose total duration matches the overall recording duration of the ALS patients, resulting in 2,631 segments per class. Although this procedure may reduce the diversity of control data, it is a common and necessary practice in small-sample rare disease studies to ensure that the model focuses on learning disease-discriminative patterns rather than being dominated by the majority class. The high geometric mean (G-mean) values observed in subsequent experiments indicate that the performance on this balanced subset is robust and not driven by class bias.\n\n\n### EEG artifact dataset\nThis dataset contains one clean class and seven artifact classes, making a total of eight classes71. The researchers collected this dataset using the Emotiv Epoch X brain cap, which has 14 channels. The sampling frequency of the Emotiv Epoch X brain cap used is 128 Hz. The distribution of this dataset is shown in Table 1. In this dataset, there are 2,498 EEG segments, each with a length of 5 s. The distribution of the used EEG artifact classification dataset is also tabulated in Table 1.\nTable 1The distribution of the EEG artifact classification dataset.No.ClassNumber of EEGs0No Artifact12491Limb Tremor1812Noise1793Body Movement1784Eye Blinking1785Swallowing1806Vertical Eye Movement1817Speaking172Total2498\nThe distribution of the EEG artifact classification dataset.\nAs seen in Table 1, the artifact dataset is unbalanced across the 7 artifact types, but the total number of clean vs. artifact samples is balanced (1,249 vs. 1,249).\n\n\n### EEG stress dataset\nThe researchers curated this dataset from 310 participants using the Emotiv Epoch X brain cap, which has 14 channels72. The EEG stress dataset contains 3,667 EEG segments, each 15 s long. The distribution of this dataset is as follows: (1) 1,785 stress signals and (2) 1,882 control signals.\n\n\n### EEG violence dataset\nThe EEG violence detection dataset is a binary classification dataset containing two classes, and it is a 14-channel dataset73. The length of each EEG segment is 15 s. In this dataset, the two classes are (0) Control and (1) Violence. 442 of the EEG signals belong to the control class, while the remaining 286 EEG signals belong to the violence class. Thus, there are a total of 778 EEG signals in this dataset.\n\n\n### EEG psychosis dataset\nThe EEG psychosis detection dataset was collected using the Emotiv Flex brain cap, which has 32 channels, and the sampling frequency of this device is 256 Hz 74. In this dataset, EEG signals were collected from 64 participants. The collected EEG signals were divided into 15-second segments. There are 4,098 EEG segments in this dataset, classified into two categories: (0) Control and (1) Psychosis. 1,350 of these 4,098 EEG segments belong to psychosis participants, while the remaining 2,748 are labeled as control.\n\n\n### EEG Epilepsy – Turkish Epilepsy – dataset\nThe largest dataset used in this research is the Turkish Epilepsy Dataset75. This dataset was collected from 121 participants, 50 of whom have epilepsy, while the remaining 71 participants have no findings. Therefore, the EEG signals of these 71 participants were labeled as control. This dataset was collected using a brain cap with 35 channels and the sampling frequency of the used brain cap is 500 Hz. The length of each EEG segment is 15 s, and the dataset contains (1) 4,465 epileptic EEG segments and (2) 5,891 control EEG segments. Totally, there are 10,356 EEG signals in this dataset.\n\n\n### The presented quantum entangled particle pattern\nThe major innovation of this research is the presented feature extraction method, termed QEPP. The concept of entanglement in quantum mechanics describes the inseparable, strong correlation between multiple components in a system, whose states cannot be described individually. Inspired by this, we hypothesize that similar high-order, implicit coupling exists between multi-channel EEG signals. Although EEG signals are classical signals, we can borrow the mathematical form describing entanglement—focusing on a pair of signals (analogous to “entangled particle pairs”) and the joint state formed by their differences—to design a novel feature extraction framework.\nThe connection between quantum mechanics and EEG signal processing can be understood from both mathematical and conceptual perspectives. In quantum mechanics, entangled particles exhibit non-local correlations where the state of one particle is inherently linked to the state of another, regardless of the distance between them. Similarly, EEG signals recorded from multiple channels demonstrate synchronous activity patterns, such as phase-locking and coherence, where neural oscillations in distant brain regions become temporally correlated76. These multi-channel correlations in EEG can be mathematically analogous to the correlation structure observed in entangled quantum systems.\nFurthermore, the brain functions as a complex network system where long-range correlations exist between different cortical regions. These correlations share mathematical similarities with quantum entanglement in terms of information structure and joint probability distributions. From a modeling perspective, EEG signals contain high-order correlation patterns that cannot be effectively captured by analyzing individual channels separately. Just as entangled quantum states require joint transformations for proper representation, these complex inter-channel dependencies in EEG may benefit from similar joint transformation approaches. The proposed QEPP is motivated by this analogy: by treating paired channel vectors as “entangled particles” and computing their joint transformations, we aim to explicitly model and extract latent, strongly correlated patterns of information between channels—patterns that might be missed when analyzing individual channels in isolation. Therefore, it should be noted that the “quantum entangled particle pattern” proposed in this paper does not realize real quantum computing, but rather constructs a classical signal transformation method inspired by the mathematical philosophy of quantum entanglement. By creating signal pairs, calculating their “energy difference” vectors, and performing joint sorting transformations, we aim to simulate the observation process of “entangled states,” thereby extracting new feature representations from EEG signals that better reflect the collaborative work of brain networks.\nTo systematically elucidate the design principles and advantages of QEPP, we clarify its potential superiority from the following aspects:\nIntegrated association modeling approach: Compared to the two-stage paradigm of “segmentation followed by association” in traditional EEG feature engineering, QEPP is closer to a native, integrated association modeling approach. Traditional methods typically extract statistical features (such as power and entropy) independently for each channel and then construct inter-channel relationships based on these features. However, in this process, the instantaneous phase synchronization or nonlinear coupling information inherent in the original signal is often partially smoothed or lost during single-channel processing. In contrast, QEPP explicitly introduces the instantaneous relationships between channels into the modeling process by directly constructing channel differential signals (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${vec}_{3}={vec}_{1}-{vec}_{2}$$\\end{document}) at the original signal layer. These instantaneous relationships participate in the subsequent joint sorting and encoding along with the original signal, thus embedding local attributes and relationship information from the very beginning of feature generation, reducing the attenuation of association information in the processing chain.\nNonlinear, order-preserving relational modeling: Traditional metrics used to characterize channel relationships (such as coherence or Pearson correlation) are essentially linear measures, with limited sensitivity to nonlinear synchronization mechanisms (such as phase locking and amplitude coupling) prevalent in EEG. The argsort-based joint encoding in QEPP can be viewed as a nonlinear, order-preserving relational modeling approach: it weakens absolute amplitude information, is robust to noise, and preserves and strengthens relative ordering relationships within and between channels. This representation, centered on ordinal relationships, is naturally suited to capturing nonlinear rank associations, helping to characterize competition, collaboration, and dynamic rearrangement processes in brain activity.\nInductive bias for holistic relationships: From the perspective of inductive bias, QEPP explicitly strengthens the modeling tendency of holistic relationships at the algorithmic structure level. By forcibly introducing a relation vector that is processed with equal weight to the original signal, and by jointly sorting the three vectors, the final state sequence no longer has a decomposable single-channel meaning; its semantics are jointly determined by the relative positions within the overall sequence. This “indivisible state” representation echoes the metaphorical idea in quantum entanglement that individual states depend on the overall definition. Subsequently, the statistical analysis of joint state transition patterns by SCTT further characterizes the dynamic reconstruction patterns of brain networks in the overall state space.\nBy clarifying the design motivation and information processing advantages at the above levels, we argue that the performance improvement brought about by QEPP is not coincidental, but rather that its mathematical structure and neural signal modeling assumptions are more closely aligned with the characteristics of the brain as a dynamic, integrative, and relationally driven system.\nThe graphical depiction of the recommended QEPP feature extraction model is shown in Fig. 1.\nFig. 1The graphical outline of the presented QEPP feature extractor and the schematizing of the quantum entanglement. Herein, TR: Transformed Signal.\nThe graphical outline of the presented QEPP feature extractor and the schematizing of the quantum entanglement. Herein, TR: Transformed Signal.\nTraditional EEG feature extraction methods typically process individual channels independently or rely on linear spatiotemporal assumptions. However, extensive neuroscience research indicates that brain function arises from the large-scale synchronization and collaboration of distributed neural networks, and this dynamic cross-brain region association exhibits nonlocal and nonlinear characteristics77,78. Classical linear methods may have limitations in capturing such complex couplings.\nThe connection between quantum mechanics and EEG signal processing can be understood from both mathematical and conceptual perspectives to address these limitations. In quantum mechanics, entangled particles exhibit non-local correlations where the state of one particle is inherently linked to the state of another, regardless of the distance between them. Similarly, EEG signals recorded from multiple channels demonstrate synchronous activity patterns, such as phase-locking and coherence, where neural oscillations in distant brain regions become temporally correlated. These multi-channel correlations in EEG can be mathematically analogous to the correlation structure observed in entangled quantum systems.\nFurthermore, the brain functions as a complex network system where long-range correlations exist between different cortical regions. These correlations share mathematical similarities with quantum entanglement in terms of information structure and joint probability distributions. From a modeling perspective, EEG signals contain high-order correlation patterns that cannot be effectively captured by analyzing individual channels separately. Just as entangled quantum states require joint transformations for proper representation, these complex inter-channel dependencies in EEG may benefit from similar joint transformation approaches. The proposed QEP transformer is motivated by this analogy: by treating paired channel vectors as “entangled particles” and computing their joint transformations, we aim to capture the intrinsic nonlocal and nonlinear correlations that exist across EEG channels, thereby extracting more informative features for classification.\nFigure 1 demonstrates that the presented QEPP is a quantum-inspired feature extraction method. The steps of the introduced QEPP feature extraction method are:\nS1: Divide the multichannel EEG signal into overlapping matrices.\n1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$mt=EEG\\left(h:h+\\mathrm{1,1}:n\\right),h\\in\\{\\mathrm{1,2},\\dots,ln-1\\}$$\\end{document}\nHerein,\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$EEG$$\\end{document}: the overlapped matrix,\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ln$$\\end{document}: length of the EEG signal \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$n$$\\end{document}: number of channels, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$mt$$\\end{document}: the created overlapped matrix with a size of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$2 \\times ln$$\\end{document}.\nS2: Compute the difference vector using the generated matrix.\n2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ve{c}_{k}=mt\\left(k,:\\right),k\\in\\left\\{\\mathrm{1,2}\\right\\}$$\\end{document}\n3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$ve{c}_{3}=ve{c}_{1}-ve{c}_{2}$$\\end{document}\nwhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$vec$$\\end{document}: the computed vectors.\nS3: Sort the generated vectors and obtain identities to create transformed signals.\n4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$T{R}_{c}\\left(a:a+n-1\\right)=argsort\\left(-ve{c}_{c}\\right),c\\in\\left\\{\\mathrm{1,2},3\\right\\},a\\in\\{1,n+1,\\dots,n\\left(l-2\\right)+1\\}$$\\end{document}\nHere, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$TR$$\\end{document}: transformed signals and we have generated three transformed signals. The given S1-S3 have been defined the presented QEP transformer.\nS4: Extract feature deploying SCTT feature extractor and the mathematical definition of this feature extractor is given below.\n5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t{t}_{b}=\\left[\\begin{array}{ccc}0 & \\cdots & 0\\\\ \\vdots & \\ddots & \\vdots \\\\ 0 & \\cdots & 0 \\end{array}\\right], b \\in \\{{1,2}, \\dots, 6\\}$$\\end{document}\nHere,\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$tt$$\\end{document}: transition table with a size of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$n \\times n$$\\end{document} and six transition tables have been defined in this phase. Subsequently, we filled these transition tables deploying SCTT feature extraction function.6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t{t}_{c}\\left(T{R}_{c}\\left(h\\right),T{R}_{c}\\left(h-1\\right)\\right)+=1,h\\in\\left\\{\\mathrm{1,2},\\dots,L-1\\right\\},c\\in\\left\\{\\mathrm{1,2},3\\right\\}$$\\end{document}7\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t{t}_{4}\\left(T{R}_{1}\\left(w\\right),T{R}_{2}\\left(w\\right)\\right)+=1,w\\in\\left\\{\\mathrm{1,2},\\dots,L-1\\right\\}$$\\end{document}8\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t{t}_{5}\\left(T{R}_{1}\\left(w\\right),T{R}_{3}\\left(w\\right)\\right)+=1$$\\end{document}9\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$t{t}_{6}\\left(T{R}_{2}\\left(w\\right),T{R}_{3}\\left(w\\right)\\right)+=1$$\\end{document}\nHerein, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$L$$\\end{document}: the length of the transformed signals. Then, the feature vectors have been created employing matrix to vector transformations.10\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${f}_{q}\\left(j\\right)=t{t}_{q}\\left(g,v\\right),\\left(g,v\\right)\\in\\left\\{\\mathrm{1,2},\\dots,n\\right\\},j\\in\\left\\{\\mathrm{1,2},\\dots,{n}^{2}\\right\\}$$\\end{document}\nwhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$f$$\\end{document}: individual feature vector with a length of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${n}^{2}$$\\end{document} and six individual feature vectors have been created. These features have been merged to created final feature vector and the presented feature merging method has been explained below.11\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$F\\left(j,{n}^{2}\\left(q-1\\right)\\right)={f}_{q}\\left(j\\right)$$\\end{document}\nHere, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$F$$\\end{document}: final feature vector with a length of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$6{n}^{2}$$\\end{document}.\nThe steps S1-S4 clearly define the presented QEPP feature extraction process. Steps S1-S3 define the QEP transformer, while S4 represents the SCTT feature extractor.\n\n\n### The proposed explainable feature engineering framework\nIn this research, we have presented an XFE model to investigate the classification ability of the QEPP feature extraction function. To demonstrate the maximum classification capability of the introduced QEPP feature extractor, we have used CWINCA and tkNN methods, as both are self-organized feature selection and classification methods. To obtain interpretable results, we have also used the DLob XAI method. In this regard, the introduced XFE framework consists of four essential phases: (i) QEPP feature extraction, (ii) CWINCA feature selection, (iii) tkNN-driven classification, and (iv) DLob-based XAI. The graphical outline of the presented QEPP-related XFE model is shown in Fig. 2.\nFig. 2The outline of the introduced QEPP-centric XFE framework. Herein, T: transformed signal and f: individual feature vector.\nThe outline of the introduced QEPP-centric XFE framework. Herein, T: transformed signal and f: individual feature vector.\nThe phases of the presented QEPP-centric XFE framework are outlined below.\nPhase 1: Feature extraction: In this phase, the QEPP feature extractor has been utilized, and the details of this feature extractor are explained in Sect.  3. The first phase of the recommended QEPP-driven XFE model is feature extraction, and the steps of this phase are demonstrated below.\nStep 1: Extract features employing QEPP feature extractor.\n12\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X\\left(d,:\\right)=QEPP\\left(signa{l}_{d}\\right),d\\in\\{\\mathrm{1,2},\\dots,D\\}$$\\end{document}\nwhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$X$$\\end{document}: the generated feature matrix, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$QEPP(.)$$\\end{document}: the QEPP feature extractor and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$D$$\\end{document}: the number of observations.\nPhase 2: Feature selection: To obtain the most informative features, we have used the CWINCA feature selector. This feature selector uses distances to compute feature weights, and these weights are generated through cumulative weight computation. The start and stop indexes of the loop are then determined. In the iterative feature selection process, multiple feature vectors are selected, and the best feature vector is chosen using a greedy algorithm. The CWINCA method is both a self-organized and iterative feature selector. Therefore, it has been used to extract the most informative features. The feature selection phase is defined in Step 2.\nStep 2: Choose the most informative features deploying CWINCA feature selector.\n13\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$[idx,SX]=CWINCA(X,y,\\mathrm{0.85,0.99},C)$$\\end{document}\nHerein,\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$idx$$\\end{document}: the identities of the selected features, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$SX$$\\end{document}: the selected feature matrix, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$CWINCA(.)$$\\end{document}: the CWINCA feature selector, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$y$$\\end{document}: the real output and 0.85 and 0.99 are the used threshold points to determine start and stop indexes of the loop. Also, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$C$$\\end{document}: the used classification function.\nTo better outline and explain the CWINCA method used, the algorithm for CWINCA is provided in Algorithm 1.\nAlgorithm 1The procedure of the CWINCA feature selection function.\nThe procedure of the CWINCA feature selection function.\nAlgorithm 1 clearly demonstrates that the CWINCA feature selector is a self-organized and iterative feature selection method. Therefore, this feature selector has been employed to choose the most informative features. The outputs of this feature selection function (CWINCA) have been utilized in both classification and interpretable results generation.\nPhase 3: Classification: In the feature selection phase, a distance-centric self-organized classifier has been utilized to ensure classification consistency. Therefore, the tkNN classifier has been used. The tkNN classifier generates both parameter-based and voted outcomes, as it employs iterative parameter change and iterative majority voting (IMV) together. In the final step, the best outcome is selected based on classification accuracy, similar to the CWINCA method.\nThe classification step of this research is presented in Step 3, and the pseudocode for the tkNN classifier is demonstrated in Algorithm 2.\nStep 3: Classify the chosen features employing the tkNN classifier.\n14\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$out=tkNN(SX,y,Par)$$\\end{document}\nHerein, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$out:$$\\end{document} the classification outcome, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$tkNN(.)$$\\end{document}: the employed tkNN classifier and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$Par$$\\end{document}: the utilized parameters. The pseudocode of the tkNN classifier is also depicted in Algorithm 2.\nAlgorithm 2The procedure of the tkNN classifier.\nThe procedure of the tkNN classifier.\nIn this algorithm (see Algorithm 2), the number of parameters can be increased as needed.\nPhase 4: XAI: The presented XFE framework utilizes the DLob symbolic language. The DLob symbolic language consists of 16 DLob symbols, and the explanations of these symbols are provided below.\nFrontal Lobe (FL, FR, Fz).\nFL (Frontal Left): Governs logical, planning, reasoning and problem-solving.\nFR (Frontal Right): Facilitates creativity, emotional regulation, and intuition.\nFz (Frontal Midline): Plays a key role in attention, focus, and executive control.\nTemporal Lobe (TL, TR).\nTL (Temporal Left): Processes language, memory, and auditory input.\nTR (Temporal Right): Responsible for emotional processing, memory, and non-verbal auditory signals.\nCentral Region (CL, CR, Cz).\nCL (Central Left): Think of CL as the originator of deliberate motion. It fine-tunes and directs precise motor actions, ensuring that our left side movements are both intentional and coordinated.\nCR (Central Right): This symbol harmonizes sensory feedback with motor commands, allowing the right side of our body to respond adaptively to changing environments and maintain balance.\nCz (Central Midline): Cz plans, coordinates, and synchronizes movements, serving as the central hub that unites the efforts of both CL and CR into smooth, purposeful actions.\nParietal Lobe (PL, PR, Pz).\nPL (Parietal Left): Manages sensory integration and spatial awareness.\nPR (Parietal Right): Handles sensory input and spatial orientation.\nPz (Parietal Midline): Crucial for integrating sensory data and spatial reasoning.\nOccipital Lobe (OL, OR, Oz).\nOL (Occipital Left): Processes visual details, including shapes and colors.\nOR (Occipital Right): Specializes in visual-spatial recognition and perception.\nOz (Occipital Midline): Fundamental for overall visual processing.\nAuditory Cortex (AL, AR).\nAL (Auditory Left): Interprets verbal sounds and speech-related cues.\nAR (Auditory Right): Focuses on non-verbal sounds, such as music and environmental noise.\nIn this work, channel-to-DLob transformation has been utilized as a specific algorithm, as all six datasets used in this study were collected with three different brain caps containing 14, 32, and 35 channels. Therefore, three different look-up tables (LUTs) have been used for the channel-to-DLob transformation.\nBy utilizing the generated DLob symbols, a DLob string has been created for each dataset. Using the extracted DLob string, Shannon Entropy and the CCD have been computed.\nThe final step of the presented model is provided below.\nStep 4: Extract explainable outcomes employing the DLob symbolic language.\n15\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$xout=DLob(idx,LUT)$$\\end{document}\nwhere \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$xout$$\\end{document}: explainable outcome, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$DLob(.)$$\\end{document}: the DLob-based XAI results generation function, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$idx$$\\end{document}: the identities of the selected features and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$LUT$$\\end{document}: the utilized LUT.\nThe utilized DLob-centric XAI method’s pseudocode has been given in Algorithm 3.\nAlgorithm 3The DLob-centric XAI method’s pseudocode.\nThe DLob-centric XAI method’s pseudocode.\nBy utilizing Algorithm 3, the explainable/interpretable results have been generated.\n\n\n### Experimental results\nThe major goal of this research is to present a general, highly accurate, and explainable feature engineering model. To achieve this objective, we have introduced the QEPP-centric XFE model. This model has a simple structure and attains high classification performance. Furthermore, the recommended QEPP-centric XFE framework generates interpretable results.\nIn this section, classification and interpretable results are evaluated. To demonstrate the general classification performance of the presented model, we have used six datasets, and their characteristics are summarized in Table 2.\nTable 2The characteristics of the used datasets for tests.NoDatasetNumber of classesNumber of observationsNumber of channels1ALS25268322Artifact82498143Stress23667144Violence2778145Psychosis24,098326Epilepsy210,35635\nThe characteristics of the used datasets for tests.\nInitially, we downloaded these datasets to our personal computer (PC). The PC used is a simple-configured system with 32 GB of main memory, a 3.2 GHz processor, and the Windows 11 operating system.\nTo program the introduced QEPP-centric XFE framework, MATLAB 2024a was utilized. This framework was implemented using M-files, which include: (i) Main functions, (ii) QEP transformers, (iii) SCTT feature extractor, (iv) CWINCA feature selector, (v) tkNN classifier, and (vi) DLob-based XAI.\nThe defined six functions were called from the main function. The proposed QEPP-related XFE framework is a parametric model, and the utilized parameters in this XFE model are listed in Table 3, along with the time burden of the methods used. The computational complexity of the QEPP-centric XFE framework is analyzed using Big O notation, considering the time burden of each phase. The parameters and methods used in the framework are also detailed. Table 3 tabulates the time complexity associated with each phase of the model.\nTable 3Time burden (Big O Notation) of the presented model and the utilized parameters for the QEPP-centric XFE framework.PhaseMethodParametersTime burdenFeature extractionQEPThe size of the utilized input: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$n\\times2$$\\end{document},The generation method of third output: Subtraction,Identity generation method: Sorting in descending,The number of the transformed signal: 3.\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O\\left(BC\\right)$$\\end{document}\nSCTTThe size of the transition tables: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${n}^{2}$$\\end{document},The number of the transition tables: 6,The length of the features: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${6n}^{2}$$\\end{document}.\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O\\left(BC\\right)$$\\end{document}\nFeature selectionCWINCAThreshold values: 0.85, 0.99,The classification accuracy computation function: kNN with 10-fold CV,The best outcome selection method: Greedy algorithm,\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O(N+RK+G)$$\\end{document}\nClassificationtkNNNumber of the used distance: 3,Number of the used weights: 2,Number of the used k values: 10,Number of the parameter-based outcomes: 60,Number of the voted outcomes: 58,The number of total outcomes: 118,The best outcome selection method: Greedy algorithm,\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O(PK+V+G)$$\\end{document}\nXAIDLob-based XAI generationNumber of DLob symbols used,For 14 channels: 8,For 32 channels: 13,For 35 channels: 12.The used statistical analysis methods: Shannon Entropy, transition table\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O\\left(S\\right)$$\\end{document}\n**The explanations of the symbols are given as follows. Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$B$$\\end{document}: length of the used EEG signals, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$C$$\\end{document}: the number of the channels, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N$$\\end{document}: NCA’s time complexity coefficient, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$R$$\\end{document}: range of the feature selection iteration, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}: kNN’s time complexity coefficient, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$G$$\\end{document}: Greedy algorithm’s time complexity coefficient, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$P$$\\end{document}: the number of iterations in the tkNN or number of the parameters, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V$$\\end{document}: the time complexity coefficient of the IMV and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$S$$\\end{document}: the length of the selected features,.\nTime burden (Big O Notation) of the presented model and the utilized parameters for the QEPP-centric XFE framework.\nThe size of the utilized input: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$n\\times2$$\\end{document},\nThe generation method of third output: Subtraction,\nIdentity generation method: Sorting in descending,\nThe number of the transformed signal: 3.\nThe size of the transition tables: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${n}^{2}$$\\end{document},\nThe number of the transition tables: 6,\nThe length of the features: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${6n}^{2}$$\\end{document}.\nThreshold values: 0.85, 0.99,\nThe classification accuracy computation function: kNN with 10-fold CV,\nThe best outcome selection method: Greedy algorithm,\nNumber of the used distance: 3,\nNumber of the used weights: 2,\nNumber of the used k values: 10,\nNumber of the parameter-based outcomes: 60,\nNumber of the voted outcomes: 58,\nThe number of total outcomes: 118,\nThe best outcome selection method: Greedy algorithm,\nNumber of DLob symbols used,\nFor 14 channels: 8,\nFor 32 channels: 13,\nFor 35 channels: 12.\nThe used statistical analysis methods: Shannon Entropy, transition table\n**The explanations of the symbols are given as follows. Here, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$B$$\\end{document}: length of the used EEG signals, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$C$$\\end{document}: the number of the channels, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$N$$\\end{document}: NCA’s time complexity coefficient, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$R$$\\end{document}: range of the feature selection iteration, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$K$$\\end{document}: kNN’s time complexity coefficient, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$G$$\\end{document}: Greedy algorithm’s time complexity coefficient, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$P$$\\end{document}: the number of iterations in the tkNN or number of the parameters, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V$$\\end{document}: the time complexity coefficient of the IMV and \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$S$$\\end{document}: the length of the selected features,.\nTable 3 demonstrates both the utilized parameters and the time burden of the introduced QEPP-related XFE model. The total time complexity of this model is computed as: \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$O(BC+N+RK+G+PK+V+S)$$\\end{document}. This result openly indicates that the introduced QEPP-related XFE model has a linear time burden.\nTo generate the classification results of the presented QEPP-centric framework, the tkNN classifier has been utilized, and 10-fold CV has been applied to obtain classification results. In this study, six datasets have been used.\nTo evaluate the classification performance of the QEPP-centric XFE framework on the utilized datasets, confusion matrices have been generated. The computed confusion matrices are presented in Fig. 3.\nFig. 3The generated confusion matrices by the introduced QEPP-centric XFE framework. The meaning of these numbers is explained in Table A3.\nThe generated confusion matrices by the introduced QEPP-centric XFE framework. The meaning of these numbers is explained in Table A3.\nAs seen in Fig. 3 and 100% classification accuracy has been achieved for four datasets: stress, violence, psychosis, and epilepsy. To evaluate the classification performance of the presented XFE model, classification accuracy and geometric mean have been utilized. The datasets considered in this study exhibit varying degrees of class imbalance, from moderate to extreme. Therefore, we report both classification accuracy and the geometric mean (G-mean) when evaluating model performance. While accuracy reflects the overall correct classification rate, the G-mean, defined as the geometric mean of sensitivity and specificity, provides an equal measure of performance on both majority and minority classes and is more robust for assessing discriminative capability under class imbalance. The computed classification performances are summarized in Table 4.\nTable 4The classification results (%) of the recommended QEPP-driven XFE framework for the used six datasets. These results have been computed deploying 10-fold CV.NoDatasetAccuracyGeometric mean1ALS98.2598.252Artifact90.0782.293Stress1001004Violence1001005Psychosis1001006Epilepsy100100\nThe classification results (%) of the recommended QEPP-driven XFE framework for the used six datasets. These results have been computed deploying 10-fold CV.\nTable 4 obviously demonstrates that the introduced XFE framework achieved over 90% classification accuracy and over 80% geometric mean across all utilized datasets. Furthermore, the recommended QEPP-related XFE framework attained 100% classification accuracy for four datasets. For the moderately imbalanced datasets, namely Violence and Psychosis, no resampling strategy was applied in order to evaluate the proposed method under a class distribution closer to the original data. To compensate for the potential bias caused by class imbalance, we report the geometric mean (G-mean) in addition to accuracy as a core evaluation metric (see Table 4). Since G-mean equally reflects the performance on both majority and minority classes, it provides a more reliable assessment of discriminative performance under imbalance. The near 100% accuracy together with the high G-mean values indicates that the superior performance is not due to a trivial fit to the majority class.\nThe second output of the presented QEPP-related XFE framework is interpretable results (XAI). In this section, a connectome diagram has been created for each dataset, and histograms of the utilized DLob symbols have been presented. The computed connectome diagrams for these datasets are shown in Fig. 4.\nFig. 4The explainable results of the used datasets.\nThe explainable results of the used datasets.\nThe computed Shannon entropies and their corresponding complexity values are presented in Table 5.\nTable 5The computed information entropies of the generated DLob strings deploying the introduced QEPP-driven XFE framework.NoDatasetEntropyNumber of the Dlob symbolsMaximum entropyComplexity ratio (%)1ALS3.3548143.807488.112Artifact2.62228387.413Stress2.69678389.894Violence2.45788381.935Psychosis3.4825143.807491.476Epilepsy2.2801133.700461.62\nThe computed information entropies of the generated DLob strings deploying the introduced QEPP-driven XFE framework.\nTable 5 clearly showcases that epilepsy detection is the most predictable process, while psychosis detection is the most complex, with a computed complexity ratio of 91.47%.\nTo strengthen the neuroscientific interpretability of the proposed QEPP-XFE framework beyond outcome visualization, the DLob connectome diagrams and Shannon entropy analyses were interpreted in the context of large-scale functional brain networks and disease-related neural mechanisms.\nOverall, the highlighted DLob patterns and CCD connections consistently involve frontal, parietal, central, temporal, and occipital regions, which correspond to well-established functional systems in cognitive neuroscience, such as executive control, sensorimotor integration, sensory–visual processing, and temporal–limbic networks. This network-level interpretation is in line with recent EEG-based graph and attention models that explicitly relate learned connectivity patterns to functional brain systems, such as the fronto-parietal regulatory and control networks in emotion and cognition79. This indicates that the proposed framework does not merely emphasize isolated channels, but captures system-level functional organizations relevant to cognition and neurological disorders.\nIn ALS detection, the frequent involvement of central regions (CL, CR, Cz) and their transitions reflects alterations in bilateral motor coordination and interhemispheric integration, which are core characteristics of motor neuron degeneration. The additional engagement of frontal and parietal regions suggests compensatory recruitment of executive and attentional networks, a phenomenon widely reported in neuroimaging studies of ALS, where patients rely on higher-order cognitive resources to maintain motor performance.In stress detection, the dominance of frontal regions, particularly right frontal activity, points to the central role of prefrontal systems in emotional regulation and executive control under acute stress. The relatively limited cross-regional transitions indicate a more localized prefrontal engagement, consistent with models of stress processing where regulatory control is prioritized over distributed network integration.For violence-related EEG patterns, the concurrent involvement of frontal, parietal, and occipital regions reflects the joint engagement of executive, sensory, and visual processing systems. This multi-network activation is consistent with the need for integrated cognitive control, perceptual processing, and visual attention during threat-related or high-arousal conditions.In psychosis detection, the high complexity of the DLob sequences together with the absence of specific long-range connections in the connectome diagrams suggests disrupted functional integration rather than simple regional hypo- or hyperactivation. This pattern is in line with the dysconnectivity hypothesis in psychotic disorders, which proposes that symptoms arise from impaired coordination between distributed brain networks despite preserved local activity.In epilepsy detection, the dominance of temporal lobe regions combined with lower complexity values reflects more stereotypical and predictable activation patterns, consistent with the hypersynchronous and recurrent network dynamics commonly observed in temporal lobe epilepsy.\nIn ALS detection, the frequent involvement of central regions (CL, CR, Cz) and their transitions reflects alterations in bilateral motor coordination and interhemispheric integration, which are core characteristics of motor neuron degeneration. The additional engagement of frontal and parietal regions suggests compensatory recruitment of executive and attentional networks, a phenomenon widely reported in neuroimaging studies of ALS, where patients rely on higher-order cognitive resources to maintain motor performance.\nIn stress detection, the dominance of frontal regions, particularly right frontal activity, points to the central role of prefrontal systems in emotional regulation and executive control under acute stress. The relatively limited cross-regional transitions indicate a more localized prefrontal engagement, consistent with models of stress processing where regulatory control is prioritized over distributed network integration.\nFor violence-related EEG patterns, the concurrent involvement of frontal, parietal, and occipital regions reflects the joint engagement of executive, sensory, and visual processing systems. This multi-network activation is consistent with the need for integrated cognitive control, perceptual processing, and visual attention during threat-related or high-arousal conditions.\nIn psychosis detection, the high complexity of the DLob sequences together with the absence of specific long-range connections in the connectome diagrams suggests disrupted functional integration rather than simple regional hypo- or hyperactivation. This pattern is in line with the dysconnectivity hypothesis in psychotic disorders, which proposes that symptoms arise from impaired coordination between distributed brain networks despite preserved local activity.\nIn epilepsy detection, the dominance of temporal lobe regions combined with lower complexity values reflects more stereotypical and predictable activation patterns, consistent with the hypersynchronous and recurrent network dynamics commonly observed in temporal lobe epilepsy.\nImportantly, these observations also provide an interpretative grounding for the quantum-inspired notions of wholeness and indivisibility adopted in QEPP. The proposed framework does not rely solely on single-channel activations, but rather on joint state configurations and their transitions captured by the SCTT. In several cases, discriminative information emerges from the collective configuration of multiple regions rather than from any single channel alone, indicating that the diagnostic patterns are fundamentally system-level and cannot be reduced to independent component-wise interpretations. In this sense, QEPP captures holistic, network-level dynamics of brain activity, moving the interpretability analysis from simple outcome visualization toward a mechanism-oriented, neuroscience-informed explanation.\nFrom a clinical perspective, the interpretability outputs of the QEPP-XFE framework can be further discussed in terms of their plausibility with respect to established diagnostic knowledge and disease-related neurophysiological findings. It is important to emphasize that the following discussion does not aim to draw direct clinical conclusions or to claim clinical validation, but rather to evaluate whether the highlighted regions and connectivity patterns are consistent with current clinical and neuroscience understanding.\nPrevious clinical and neuroimaging studies have shown that ALS is not limited to motor neuron degeneration, but is frequently accompanied by impairments in prefrontal executive functions and parietal sensory integration, as well as altered frontoparietal and interhemispheric connectivity. In this context, the prominence of central regions and frontal–parietal patterns in the DLob and connectome results appears clinically plausible, as it is consistent with known motor coordination deficits and compensatory recruitment of higher-order cognitive networks reported in ALS. The emphasis on interhemispheric central transitions can therefore be interpreted as reflecting altered bilateral motor network coordination, which is a well-documented aspect of ALS pathophysiology.For stress and violence datasets, the involvement of frontal regions, particularly right prefrontal areas, is clinically meaningful given the central role of the prefrontal cortex in emotion regulation, stress response, and executive control. In affective and social cognitive neuroscience, stress and impulsive or aggressive behaviors are often associated with insufficient prefrontal regulation and abnormal integration of sensory information. Accordingly, the concentration of discriminative patterns in frontal regions for stress, and the broader engagement of frontal, parietal, and occipital regions for violence-related EEG patterns, appears plausible as a reflection of coordinated executive, sensory, and visual processing during high-arousal or threat-related conditions.Psychotic disorders, including schizophrenia spectrum conditions, are increasingly conceptualized as disorders of large-scale brain network integration rather than focal regional abnormalities. The high sequence complexity together with the structurally disorganized connectivity patterns observed in the connectome diagrams are compatible with the dysconnectivity framework, which emphasizes impaired coordination between distributed functional networks. In this sense, the QEPP-XFE interpretability outputs appear consistent with the notion that psychosis involves widespread but poorly coordinated network activity rather than isolated regional dysfunction.Temporal lobe epilepsy is known to exhibit relatively well-defined and reproducible electrophysiological patterns, often characterized by hypersynchronous and stereotypical network dynamics. The dominance of temporal lobe-related patterns together with lower complexity and higher predictability in the proposed framework aligns well with the classical clinical understanding of epileptiform activity, where pathological network dynamics tend to be repetitive and less variable across time.EEG artifacts originate from diverse non-neural sources such as eye movements, muscle activity, and electrode-related effects, and therefore typically exhibit heterogeneous spatial and temporal patterns across the scalp. The relatively higher complexity and multi-regional involvement observed in the artifact-related interpretability results are in line with this clinical knowledge, where artifacts are recognized as varied and multi-source phenomena rather than manifestations of a single, localized neural process.\nPrevious clinical and neuroimaging studies have shown that ALS is not limited to motor neuron degeneration, but is frequently accompanied by impairments in prefrontal executive functions and parietal sensory integration, as well as altered frontoparietal and interhemispheric connectivity. In this context, the prominence of central regions and frontal–parietal patterns in the DLob and connectome results appears clinically plausible, as it is consistent with known motor coordination deficits and compensatory recruitment of higher-order cognitive networks reported in ALS. The emphasis on interhemispheric central transitions can therefore be interpreted as reflecting altered bilateral motor network coordination, which is a well-documented aspect of ALS pathophysiology.\nFor stress and violence datasets, the involvement of frontal regions, particularly right prefrontal areas, is clinically meaningful given the central role of the prefrontal cortex in emotion regulation, stress response, and executive control. In affective and social cognitive neuroscience, stress and impulsive or aggressive behaviors are often associated with insufficient prefrontal regulation and abnormal integration of sensory information. Accordingly, the concentration of discriminative patterns in frontal regions for stress, and the broader engagement of frontal, parietal, and occipital regions for violence-related EEG patterns, appears plausible as a reflection of coordinated executive, sensory, and visual processing during high-arousal or threat-related conditions.\nPsychotic disorders, including schizophrenia spectrum conditions, are increasingly conceptualized as disorders of large-scale brain network integration rather than focal regional abnormalities. The high sequence complexity together with the structurally disorganized connectivity patterns observed in the connectome diagrams are compatible with the dysconnectivity framework, which emphasizes impaired coordination between distributed functional networks. In this sense, the QEPP-XFE interpretability outputs appear consistent with the notion that psychosis involves widespread but poorly coordinated network activity rather than isolated regional dysfunction.\nTemporal lobe epilepsy is known to exhibit relatively well-defined and reproducible electrophysiological patterns, often characterized by hypersynchronous and stereotypical network dynamics. The dominance of temporal lobe-related patterns together with lower complexity and higher predictability in the proposed framework aligns well with the classical clinical understanding of epileptiform activity, where pathological network dynamics tend to be repetitive and less variable across time.\nEEG artifacts originate from diverse non-neural sources such as eye movements, muscle activity, and electrode-related effects, and therefore typically exhibit heterogeneous spatial and temporal patterns across the scalp. The relatively higher complexity and multi-regional involvement observed in the artifact-related interpretability results are in line with this clinical knowledge, where artifacts are recognized as varied and multi-source phenomena rather than manifestations of a single, localized neural process.\nBy comparing the interpretable outputs of the QEPP-XFE framework with established clinical and neuroscience knowledge, the presented results appear clinically plausible at a conceptual level. While this does not constitute clinical validation, it supports the credibility of the proposed interpretability approach and suggests that the highlighted regions and connectivity patterns are meaningfully related to known disease mechanisms and neurophysiological processes. This perspective strengthens the potential clinical relevance of the QEPP-XFE framework for future applied and translational studies.\nTo comprehensively evaluate the contribution of each component in the proposed QEPP-centric XFE framework, we conducted extensive ablation studies and comparative experiments. These experiments address three critical aspects: (1) the discriminative power of QEPP features compared to other feature extraction methods, (2) the individual contributions of the XFE framework components (CWINCA and tkNN), and (3) the computational efficiency comparison with deep learning models.\nTo demonstrate that the performance improvement originates from the QEPP feature extractor rather than solely from the post-processing pipeline, we compared QEPP with representative classical feature extraction methods while keeping the downstream processing (CWINCA + tkNN) identical. We selected three well-established feature extraction approaches as baselines:\nWavelet Features (WF): Discrete wavelet transform coefficients extracted using db4 wavelet with 4-level decomposition, followed by statistical features (mean, variance, energy) from each sub-band.Functional Connectivity Features (FC): Phase Locking Value (PLV) and coherence-based connectivity matrices computed between all channel pairs.Time-Frequency Features (TF): Short-time Fourier transform (STFT) based power spectral density features across delta, theta, alpha, beta, and gamma bands.\nWavelet Features (WF): Discrete wavelet transform coefficients extracted using db4 wavelet with 4-level decomposition, followed by statistical features (mean, variance, energy) from each sub-band.\nFunctional Connectivity Features (FC): Phase Locking Value (PLV) and coherence-based connectivity matrices computed between all channel pairs.\nTime-Frequency Features (TF): Short-time Fourier transform (STFT) based power spectral density features across delta, theta, alpha, beta, and gamma bands.\nAll feature extraction methods were evaluated using the same CWINCA feature selector and tkNN classifier with 10-fold cross-validation. The comparative results on two representative datasets (Artifact and Epilepsy) are presented in Table 6.\nTable 6Comparison of different feature extraction methods using identical downstream processing (CWINCA + tkNN) with 10-fold CV.DatasetFeature extractionCWINCA + tkNN accuracy (%)Geometric mean (%)ArtifactWavelet Features (WF)81.3572.18ArtifactFunctional Connectivity (FC)78.4268.93ArtifactTime-Frequency Features (TF)79.8670.54ArtifactQEPP (Proposed)90.0782.29EpilepsyWavelet Features (WF)92.4791.83EpilepsyFunctional Connectivity (FC)89.2588.16EpilepsyTime-Frequency Features (TF)91.0890.22EpilepsyQEPP (Proposed)100.00100.00\nComparison of different feature extraction methods using identical downstream processing (CWINCA + tkNN) with 10-fold CV.\nAs shown in Table 6, the QEPP feature extractor consistently outperforms traditional feature extraction methods across both datasets when using identical downstream processing. This result demonstrates that the discriminative power of QEPP features is inherently superior to classical approaches, validating the effectiveness of the quantum-inspired feature extraction paradigm.\nTo investigate the individual contributions of each component in the XFE framework, we conducted systematic ablation experiments with the following configurations:\nQEPP → CWINCA → tkNN.\nQEPP → tkNN (using all QEPP features).\nQEPP → CWINCA → Standard kNN (k = 5, Euclidean distance).\nQEPP → Standard kNN (no feature selection, standard classifier).\nThe ablation results on the Artifact and Epilepsy datasets are presented in Table 7.\nTable 7Ablation study results showing the contribution of each XFE framework component with 10-fold CV.DatasetCaseComponentsAccuracy (%)Δ vs. full modelArtifact1QEPP + CWINCA + tkNN90.070Artifact2QEPP + tkNN84.23− 5.84Artifact3QEPP + CWINCA + Std kNN86.71− 3.36Artifact4QEPP + Std kNN82.15− 7.92Epilepsy1QEPP + CWINCA + tkNN100.000Epilepsy2QEPP + tkNN96.28− 3.72Epilepsy3QEPP + CWINCA + Std kNN97.85− 2.15Epilepsy4QEPP + Std kNN94.62− 5.38The ablation results reveal several important findings:\nAblation study results showing the contribution of each XFE framework component with 10-fold CV.\nThe ablation results reveal several important findings:\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.Value of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.Combined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.QEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.\nValue of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.\nCombined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.\nQEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\nTo quantitatively validate the “lightweight” claim of our framework, we compared the QEPP-centric XFE model with mainstream deep learning architectures commonly used for EEG classification. We selected three representative models:\nEEGNet: A compact CNN architecture specifically designed for EEG classification.CNN-LSTM: A hybrid architecture combining convolutional and recurrent layers.Lightweight Transformer: A reduced-parameter transformer model adapted for EEG signals.\nEEGNet: A compact CNN architecture specifically designed for EEG classification.\nCNN-LSTM: A hybrid architecture combining convolutional and recurrent layers.\nLightweight Transformer: A reduced-parameter transformer model adapted for EEG signals.\nAll models were evaluated on the same hardware environment (CPU: Intel Core i7 @ 3.2 GHz, RAM: 32 GB, GPU: NVIDIA RTX 3080 for DL models) using identical data splits. The comparison results are presented in Table 8.\nTable 8Comprehensive comparison of QEPP-XFE with deep learning models on Artifact and Epilepsy datasets.ModelDatasetAccuracy (%)Training Time (s)Inference Time (ms/sample)Time complexityMemory (MB)EEGNetArtifact85.722452.1Exponential156EEGNetEpilepsy93.484122.1Exponential168CNN-LSTMArtifact83.193874.7Exponential284CNN-LSTMEpilepsy91.256234.7Exponential312Lightweight TransformerArtifact82.455243.4Exponential245Lightweight TransformerEpilepsy89.678563.4Exponential278QEPP-XFE (Proposed)Artifact90.07180.8Linear45QEPP-XFE (Proposed)Epilepsy100.00320.8Linear52\nComprehensive comparison of QEPP-XFE with deep learning models on Artifact and Epilepsy datasets.\nThe efficiency comparison reveals several advantages of the proposed QEPP-XFE framework:\nThe QEPP-XFE framework requires significantly less training time compared to deep learning models, as it does not involve iterative gradient-based optimization.The inference time of QEPP-XFE is competitive with or faster than deep learning models, making it suitable for real-time EEG applications.Unlike deep learning models that require GPU acceleration for efficient training, QEPP-XFE can be executed entirely on CPU with minimal memory footprint.While achieving comparable or superior classification accuracy, QEPP-XFE demonstrates a favorable balance in the performance-efficiency-resource trade-off, validating its characterization as a lightweight model.\nThe QEPP-XFE framework requires significantly less training time compared to deep learning models, as it does not involve iterative gradient-based optimization.\nThe inference time of QEPP-XFE is competitive with or faster than deep learning models, making it suitable for real-time EEG applications.\nUnlike deep learning models that require GPU acceleration for efficient training, QEPP-XFE can be executed entirely on CPU with minimal memory footprint.\nWhile achieving comparable or superior classification accuracy, QEPP-XFE demonstrates a favorable balance in the performance-efficiency-resource trade-off, validating its characterization as a lightweight model.\nThe comprehensive experiments presented in this section provide strong evidence for the following conclusions:\nThe QEPP feature extractor generates inherently more discriminative features compared to traditional methods (wavelet, functional connectivity, time-frequency), as demonstrated by controlled experiments with identical downstream processing.Both CWINCA feature selection and tkNN classification contribute meaningfully to the overall performance, with their combination providing synergistic benefits.The QEPP-XFE framework achieves competitive or superior performance compared to deep learning models while requiring substantially less computational resources, validating its suitability for resource-constrained and real-time applications.\nThe QEPP feature extractor generates inherently more discriminative features compared to traditional methods (wavelet, functional connectivity, time-frequency), as demonstrated by controlled experiments with identical downstream processing.\nBoth CWINCA feature selection and tkNN classification contribute meaningfully to the overall performance, with their combination providing synergistic benefits.\nThe QEPP-XFE framework achieves competitive or superior performance compared to deep learning models while requiring substantially less computational resources, validating its suitability for resource-constrained and real-time applications.\n\n\n### Classification results\nTo generate the classification results of the presented QEPP-centric framework, the tkNN classifier has been utilized, and 10-fold CV has been applied to obtain classification results. In this study, six datasets have been used.\nTo evaluate the classification performance of the QEPP-centric XFE framework on the utilized datasets, confusion matrices have been generated. The computed confusion matrices are presented in Fig. 3.\nFig. 3The generated confusion matrices by the introduced QEPP-centric XFE framework. The meaning of these numbers is explained in Table A3.\nThe generated confusion matrices by the introduced QEPP-centric XFE framework. The meaning of these numbers is explained in Table A3.\nAs seen in Fig. 3 and 100% classification accuracy has been achieved for four datasets: stress, violence, psychosis, and epilepsy. To evaluate the classification performance of the presented XFE model, classification accuracy and geometric mean have been utilized. The datasets considered in this study exhibit varying degrees of class imbalance, from moderate to extreme. Therefore, we report both classification accuracy and the geometric mean (G-mean) when evaluating model performance. While accuracy reflects the overall correct classification rate, the G-mean, defined as the geometric mean of sensitivity and specificity, provides an equal measure of performance on both majority and minority classes and is more robust for assessing discriminative capability under class imbalance. The computed classification performances are summarized in Table 4.\nTable 4The classification results (%) of the recommended QEPP-driven XFE framework for the used six datasets. These results have been computed deploying 10-fold CV.NoDatasetAccuracyGeometric mean1ALS98.2598.252Artifact90.0782.293Stress1001004Violence1001005Psychosis1001006Epilepsy100100\nThe classification results (%) of the recommended QEPP-driven XFE framework for the used six datasets. These results have been computed deploying 10-fold CV.\nTable 4 obviously demonstrates that the introduced XFE framework achieved over 90% classification accuracy and over 80% geometric mean across all utilized datasets. Furthermore, the recommended QEPP-related XFE framework attained 100% classification accuracy for four datasets. For the moderately imbalanced datasets, namely Violence and Psychosis, no resampling strategy was applied in order to evaluate the proposed method under a class distribution closer to the original data. To compensate for the potential bias caused by class imbalance, we report the geometric mean (G-mean) in addition to accuracy as a core evaluation metric (see Table 4). Since G-mean equally reflects the performance on both majority and minority classes, it provides a more reliable assessment of discriminative performance under imbalance. The near 100% accuracy together with the high G-mean values indicates that the superior performance is not due to a trivial fit to the majority class.\n\n\n### Explainable results\nThe second output of the presented QEPP-related XFE framework is interpretable results (XAI). In this section, a connectome diagram has been created for each dataset, and histograms of the utilized DLob symbols have been presented. The computed connectome diagrams for these datasets are shown in Fig. 4.\nFig. 4The explainable results of the used datasets.\nThe explainable results of the used datasets.\nThe computed Shannon entropies and their corresponding complexity values are presented in Table 5.\nTable 5The computed information entropies of the generated DLob strings deploying the introduced QEPP-driven XFE framework.NoDatasetEntropyNumber of the Dlob symbolsMaximum entropyComplexity ratio (%)1ALS3.3548143.807488.112Artifact2.62228387.413Stress2.69678389.894Violence2.45788381.935Psychosis3.4825143.807491.476Epilepsy2.2801133.700461.62\nThe computed information entropies of the generated DLob strings deploying the introduced QEPP-driven XFE framework.\nTable 5 clearly showcases that epilepsy detection is the most predictable process, while psychosis detection is the most complex, with a computed complexity ratio of 91.47%.\n\n\n### Neuroscientific interpretation and functional network mapping\nTo strengthen the neuroscientific interpretability of the proposed QEPP-XFE framework beyond outcome visualization, the DLob connectome diagrams and Shannon entropy analyses were interpreted in the context of large-scale functional brain networks and disease-related neural mechanisms.\nOverall, the highlighted DLob patterns and CCD connections consistently involve frontal, parietal, central, temporal, and occipital regions, which correspond to well-established functional systems in cognitive neuroscience, such as executive control, sensorimotor integration, sensory–visual processing, and temporal–limbic networks. This network-level interpretation is in line with recent EEG-based graph and attention models that explicitly relate learned connectivity patterns to functional brain systems, such as the fronto-parietal regulatory and control networks in emotion and cognition79. This indicates that the proposed framework does not merely emphasize isolated channels, but captures system-level functional organizations relevant to cognition and neurological disorders.\nIn ALS detection, the frequent involvement of central regions (CL, CR, Cz) and their transitions reflects alterations in bilateral motor coordination and interhemispheric integration, which are core characteristics of motor neuron degeneration. The additional engagement of frontal and parietal regions suggests compensatory recruitment of executive and attentional networks, a phenomenon widely reported in neuroimaging studies of ALS, where patients rely on higher-order cognitive resources to maintain motor performance.In stress detection, the dominance of frontal regions, particularly right frontal activity, points to the central role of prefrontal systems in emotional regulation and executive control under acute stress. The relatively limited cross-regional transitions indicate a more localized prefrontal engagement, consistent with models of stress processing where regulatory control is prioritized over distributed network integration.For violence-related EEG patterns, the concurrent involvement of frontal, parietal, and occipital regions reflects the joint engagement of executive, sensory, and visual processing systems. This multi-network activation is consistent with the need for integrated cognitive control, perceptual processing, and visual attention during threat-related or high-arousal conditions.In psychosis detection, the high complexity of the DLob sequences together with the absence of specific long-range connections in the connectome diagrams suggests disrupted functional integration rather than simple regional hypo- or hyperactivation. This pattern is in line with the dysconnectivity hypothesis in psychotic disorders, which proposes that symptoms arise from impaired coordination between distributed brain networks despite preserved local activity.In epilepsy detection, the dominance of temporal lobe regions combined with lower complexity values reflects more stereotypical and predictable activation patterns, consistent with the hypersynchronous and recurrent network dynamics commonly observed in temporal lobe epilepsy.\nIn ALS detection, the frequent involvement of central regions (CL, CR, Cz) and their transitions reflects alterations in bilateral motor coordination and interhemispheric integration, which are core characteristics of motor neuron degeneration. The additional engagement of frontal and parietal regions suggests compensatory recruitment of executive and attentional networks, a phenomenon widely reported in neuroimaging studies of ALS, where patients rely on higher-order cognitive resources to maintain motor performance.\nIn stress detection, the dominance of frontal regions, particularly right frontal activity, points to the central role of prefrontal systems in emotional regulation and executive control under acute stress. The relatively limited cross-regional transitions indicate a more localized prefrontal engagement, consistent with models of stress processing where regulatory control is prioritized over distributed network integration.\nFor violence-related EEG patterns, the concurrent involvement of frontal, parietal, and occipital regions reflects the joint engagement of executive, sensory, and visual processing systems. This multi-network activation is consistent with the need for integrated cognitive control, perceptual processing, and visual attention during threat-related or high-arousal conditions.\nIn psychosis detection, the high complexity of the DLob sequences together with the absence of specific long-range connections in the connectome diagrams suggests disrupted functional integration rather than simple regional hypo- or hyperactivation. This pattern is in line with the dysconnectivity hypothesis in psychotic disorders, which proposes that symptoms arise from impaired coordination between distributed brain networks despite preserved local activity.\nIn epilepsy detection, the dominance of temporal lobe regions combined with lower complexity values reflects more stereotypical and predictable activation patterns, consistent with the hypersynchronous and recurrent network dynamics commonly observed in temporal lobe epilepsy.\nImportantly, these observations also provide an interpretative grounding for the quantum-inspired notions of wholeness and indivisibility adopted in QEPP. The proposed framework does not rely solely on single-channel activations, but rather on joint state configurations and their transitions captured by the SCTT. In several cases, discriminative information emerges from the collective configuration of multiple regions rather than from any single channel alone, indicating that the diagnostic patterns are fundamentally system-level and cannot be reduced to independent component-wise interpretations. In this sense, QEPP captures holistic, network-level dynamics of brain activity, moving the interpretability analysis from simple outcome visualization toward a mechanism-oriented, neuroscience-informed explanation.\nFrom a clinical perspective, the interpretability outputs of the QEPP-XFE framework can be further discussed in terms of their plausibility with respect to established diagnostic knowledge and disease-related neurophysiological findings. It is important to emphasize that the following discussion does not aim to draw direct clinical conclusions or to claim clinical validation, but rather to evaluate whether the highlighted regions and connectivity patterns are consistent with current clinical and neuroscience understanding.\nPrevious clinical and neuroimaging studies have shown that ALS is not limited to motor neuron degeneration, but is frequently accompanied by impairments in prefrontal executive functions and parietal sensory integration, as well as altered frontoparietal and interhemispheric connectivity. In this context, the prominence of central regions and frontal–parietal patterns in the DLob and connectome results appears clinically plausible, as it is consistent with known motor coordination deficits and compensatory recruitment of higher-order cognitive networks reported in ALS. The emphasis on interhemispheric central transitions can therefore be interpreted as reflecting altered bilateral motor network coordination, which is a well-documented aspect of ALS pathophysiology.For stress and violence datasets, the involvement of frontal regions, particularly right prefrontal areas, is clinically meaningful given the central role of the prefrontal cortex in emotion regulation, stress response, and executive control. In affective and social cognitive neuroscience, stress and impulsive or aggressive behaviors are often associated with insufficient prefrontal regulation and abnormal integration of sensory information. Accordingly, the concentration of discriminative patterns in frontal regions for stress, and the broader engagement of frontal, parietal, and occipital regions for violence-related EEG patterns, appears plausible as a reflection of coordinated executive, sensory, and visual processing during high-arousal or threat-related conditions.Psychotic disorders, including schizophrenia spectrum conditions, are increasingly conceptualized as disorders of large-scale brain network integration rather than focal regional abnormalities. The high sequence complexity together with the structurally disorganized connectivity patterns observed in the connectome diagrams are compatible with the dysconnectivity framework, which emphasizes impaired coordination between distributed functional networks. In this sense, the QEPP-XFE interpretability outputs appear consistent with the notion that psychosis involves widespread but poorly coordinated network activity rather than isolated regional dysfunction.Temporal lobe epilepsy is known to exhibit relatively well-defined and reproducible electrophysiological patterns, often characterized by hypersynchronous and stereotypical network dynamics. The dominance of temporal lobe-related patterns together with lower complexity and higher predictability in the proposed framework aligns well with the classical clinical understanding of epileptiform activity, where pathological network dynamics tend to be repetitive and less variable across time.EEG artifacts originate from diverse non-neural sources such as eye movements, muscle activity, and electrode-related effects, and therefore typically exhibit heterogeneous spatial and temporal patterns across the scalp. The relatively higher complexity and multi-regional involvement observed in the artifact-related interpretability results are in line with this clinical knowledge, where artifacts are recognized as varied and multi-source phenomena rather than manifestations of a single, localized neural process.\nPrevious clinical and neuroimaging studies have shown that ALS is not limited to motor neuron degeneration, but is frequently accompanied by impairments in prefrontal executive functions and parietal sensory integration, as well as altered frontoparietal and interhemispheric connectivity. In this context, the prominence of central regions and frontal–parietal patterns in the DLob and connectome results appears clinically plausible, as it is consistent with known motor coordination deficits and compensatory recruitment of higher-order cognitive networks reported in ALS. The emphasis on interhemispheric central transitions can therefore be interpreted as reflecting altered bilateral motor network coordination, which is a well-documented aspect of ALS pathophysiology.\nFor stress and violence datasets, the involvement of frontal regions, particularly right prefrontal areas, is clinically meaningful given the central role of the prefrontal cortex in emotion regulation, stress response, and executive control. In affective and social cognitive neuroscience, stress and impulsive or aggressive behaviors are often associated with insufficient prefrontal regulation and abnormal integration of sensory information. Accordingly, the concentration of discriminative patterns in frontal regions for stress, and the broader engagement of frontal, parietal, and occipital regions for violence-related EEG patterns, appears plausible as a reflection of coordinated executive, sensory, and visual processing during high-arousal or threat-related conditions.\nPsychotic disorders, including schizophrenia spectrum conditions, are increasingly conceptualized as disorders of large-scale brain network integration rather than focal regional abnormalities. The high sequence complexity together with the structurally disorganized connectivity patterns observed in the connectome diagrams are compatible with the dysconnectivity framework, which emphasizes impaired coordination between distributed functional networks. In this sense, the QEPP-XFE interpretability outputs appear consistent with the notion that psychosis involves widespread but poorly coordinated network activity rather than isolated regional dysfunction.\nTemporal lobe epilepsy is known to exhibit relatively well-defined and reproducible electrophysiological patterns, often characterized by hypersynchronous and stereotypical network dynamics. The dominance of temporal lobe-related patterns together with lower complexity and higher predictability in the proposed framework aligns well with the classical clinical understanding of epileptiform activity, where pathological network dynamics tend to be repetitive and less variable across time.\nEEG artifacts originate from diverse non-neural sources such as eye movements, muscle activity, and electrode-related effects, and therefore typically exhibit heterogeneous spatial and temporal patterns across the scalp. The relatively higher complexity and multi-regional involvement observed in the artifact-related interpretability results are in line with this clinical knowledge, where artifacts are recognized as varied and multi-source phenomena rather than manifestations of a single, localized neural process.\nBy comparing the interpretable outputs of the QEPP-XFE framework with established clinical and neuroscience knowledge, the presented results appear clinically plausible at a conceptual level. While this does not constitute clinical validation, it supports the credibility of the proposed interpretability approach and suggests that the highlighted regions and connectivity patterns are meaningfully related to known disease mechanisms and neurophysiological processes. This perspective strengthens the potential clinical relevance of the QEPP-XFE framework for future applied and translational studies.\n\n\n### Ablation study and comparative analysis\nTo comprehensively evaluate the contribution of each component in the proposed QEPP-centric XFE framework, we conducted extensive ablation studies and comparative experiments. These experiments address three critical aspects: (1) the discriminative power of QEPP features compared to other feature extraction methods, (2) the individual contributions of the XFE framework components (CWINCA and tkNN), and (3) the computational efficiency comparison with deep learning models.\nTo demonstrate that the performance improvement originates from the QEPP feature extractor rather than solely from the post-processing pipeline, we compared QEPP with representative classical feature extraction methods while keeping the downstream processing (CWINCA + tkNN) identical. We selected three well-established feature extraction approaches as baselines:\nWavelet Features (WF): Discrete wavelet transform coefficients extracted using db4 wavelet with 4-level decomposition, followed by statistical features (mean, variance, energy) from each sub-band.Functional Connectivity Features (FC): Phase Locking Value (PLV) and coherence-based connectivity matrices computed between all channel pairs.Time-Frequency Features (TF): Short-time Fourier transform (STFT) based power spectral density features across delta, theta, alpha, beta, and gamma bands.\nWavelet Features (WF): Discrete wavelet transform coefficients extracted using db4 wavelet with 4-level decomposition, followed by statistical features (mean, variance, energy) from each sub-band.\nFunctional Connectivity Features (FC): Phase Locking Value (PLV) and coherence-based connectivity matrices computed between all channel pairs.\nTime-Frequency Features (TF): Short-time Fourier transform (STFT) based power spectral density features across delta, theta, alpha, beta, and gamma bands.\nAll feature extraction methods were evaluated using the same CWINCA feature selector and tkNN classifier with 10-fold cross-validation. The comparative results on two representative datasets (Artifact and Epilepsy) are presented in Table 6.\nTable 6Comparison of different feature extraction methods using identical downstream processing (CWINCA + tkNN) with 10-fold CV.DatasetFeature extractionCWINCA + tkNN accuracy (%)Geometric mean (%)ArtifactWavelet Features (WF)81.3572.18ArtifactFunctional Connectivity (FC)78.4268.93ArtifactTime-Frequency Features (TF)79.8670.54ArtifactQEPP (Proposed)90.0782.29EpilepsyWavelet Features (WF)92.4791.83EpilepsyFunctional Connectivity (FC)89.2588.16EpilepsyTime-Frequency Features (TF)91.0890.22EpilepsyQEPP (Proposed)100.00100.00\nComparison of different feature extraction methods using identical downstream processing (CWINCA + tkNN) with 10-fold CV.\nAs shown in Table 6, the QEPP feature extractor consistently outperforms traditional feature extraction methods across both datasets when using identical downstream processing. This result demonstrates that the discriminative power of QEPP features is inherently superior to classical approaches, validating the effectiveness of the quantum-inspired feature extraction paradigm.\nTo investigate the individual contributions of each component in the XFE framework, we conducted systematic ablation experiments with the following configurations:\nQEPP → CWINCA → tkNN.\nQEPP → tkNN (using all QEPP features).\nQEPP → CWINCA → Standard kNN (k = 5, Euclidean distance).\nQEPP → Standard kNN (no feature selection, standard classifier).\nThe ablation results on the Artifact and Epilepsy datasets are presented in Table 7.\nTable 7Ablation study results showing the contribution of each XFE framework component with 10-fold CV.DatasetCaseComponentsAccuracy (%)Δ vs. full modelArtifact1QEPP + CWINCA + tkNN90.070Artifact2QEPP + tkNN84.23− 5.84Artifact3QEPP + CWINCA + Std kNN86.71− 3.36Artifact4QEPP + Std kNN82.15− 7.92Epilepsy1QEPP + CWINCA + tkNN100.000Epilepsy2QEPP + tkNN96.28− 3.72Epilepsy3QEPP + CWINCA + Std kNN97.85− 2.15Epilepsy4QEPP + Std kNN94.62− 5.38The ablation results reveal several important findings:\nAblation study results showing the contribution of each XFE framework component with 10-fold CV.\nThe ablation results reveal several important findings:\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.Value of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.Combined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.QEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.\nValue of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.\nCombined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.\nQEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\nTo quantitatively validate the “lightweight” claim of our framework, we compared the QEPP-centric XFE model with mainstream deep learning architectures commonly used for EEG classification. We selected three representative models:\nEEGNet: A compact CNN architecture specifically designed for EEG classification.CNN-LSTM: A hybrid architecture combining convolutional and recurrent layers.Lightweight Transformer: A reduced-parameter transformer model adapted for EEG signals.\nEEGNet: A compact CNN architecture specifically designed for EEG classification.\nCNN-LSTM: A hybrid architecture combining convolutional and recurrent layers.\nLightweight Transformer: A reduced-parameter transformer model adapted for EEG signals.\nAll models were evaluated on the same hardware environment (CPU: Intel Core i7 @ 3.2 GHz, RAM: 32 GB, GPU: NVIDIA RTX 3080 for DL models) using identical data splits. The comparison results are presented in Table 8.\nTable 8Comprehensive comparison of QEPP-XFE with deep learning models on Artifact and Epilepsy datasets.ModelDatasetAccuracy (%)Training Time (s)Inference Time (ms/sample)Time complexityMemory (MB)EEGNetArtifact85.722452.1Exponential156EEGNetEpilepsy93.484122.1Exponential168CNN-LSTMArtifact83.193874.7Exponential284CNN-LSTMEpilepsy91.256234.7Exponential312Lightweight TransformerArtifact82.455243.4Exponential245Lightweight TransformerEpilepsy89.678563.4Exponential278QEPP-XFE (Proposed)Artifact90.07180.8Linear45QEPP-XFE (Proposed)Epilepsy100.00320.8Linear52\nComprehensive comparison of QEPP-XFE with deep learning models on Artifact and Epilepsy datasets.\nThe efficiency comparison reveals several advantages of the proposed QEPP-XFE framework:\nThe QEPP-XFE framework requires significantly less training time compared to deep learning models, as it does not involve iterative gradient-based optimization.The inference time of QEPP-XFE is competitive with or faster than deep learning models, making it suitable for real-time EEG applications.Unlike deep learning models that require GPU acceleration for efficient training, QEPP-XFE can be executed entirely on CPU with minimal memory footprint.While achieving comparable or superior classification accuracy, QEPP-XFE demonstrates a favorable balance in the performance-efficiency-resource trade-off, validating its characterization as a lightweight model.\nThe QEPP-XFE framework requires significantly less training time compared to deep learning models, as it does not involve iterative gradient-based optimization.\nThe inference time of QEPP-XFE is competitive with or faster than deep learning models, making it suitable for real-time EEG applications.\nUnlike deep learning models that require GPU acceleration for efficient training, QEPP-XFE can be executed entirely on CPU with minimal memory footprint.\nWhile achieving comparable or superior classification accuracy, QEPP-XFE demonstrates a favorable balance in the performance-efficiency-resource trade-off, validating its characterization as a lightweight model.\nThe comprehensive experiments presented in this section provide strong evidence for the following conclusions:\nThe QEPP feature extractor generates inherently more discriminative features compared to traditional methods (wavelet, functional connectivity, time-frequency), as demonstrated by controlled experiments with identical downstream processing.Both CWINCA feature selection and tkNN classification contribute meaningfully to the overall performance, with their combination providing synergistic benefits.The QEPP-XFE framework achieves competitive or superior performance compared to deep learning models while requiring substantially less computational resources, validating its suitability for resource-constrained and real-time applications.\nThe QEPP feature extractor generates inherently more discriminative features compared to traditional methods (wavelet, functional connectivity, time-frequency), as demonstrated by controlled experiments with identical downstream processing.\nBoth CWINCA feature selection and tkNN classification contribute meaningfully to the overall performance, with their combination providing synergistic benefits.\nThe QEPP-XFE framework achieves competitive or superior performance compared to deep learning models while requiring substantially less computational resources, validating its suitability for resource-constrained and real-time applications.\n\n\n### Comparison of feature extraction methods\nTo demonstrate that the performance improvement originates from the QEPP feature extractor rather than solely from the post-processing pipeline, we compared QEPP with representative classical feature extraction methods while keeping the downstream processing (CWINCA + tkNN) identical. We selected three well-established feature extraction approaches as baselines:\nWavelet Features (WF): Discrete wavelet transform coefficients extracted using db4 wavelet with 4-level decomposition, followed by statistical features (mean, variance, energy) from each sub-band.Functional Connectivity Features (FC): Phase Locking Value (PLV) and coherence-based connectivity matrices computed between all channel pairs.Time-Frequency Features (TF): Short-time Fourier transform (STFT) based power spectral density features across delta, theta, alpha, beta, and gamma bands.\nWavelet Features (WF): Discrete wavelet transform coefficients extracted using db4 wavelet with 4-level decomposition, followed by statistical features (mean, variance, energy) from each sub-band.\nFunctional Connectivity Features (FC): Phase Locking Value (PLV) and coherence-based connectivity matrices computed between all channel pairs.\nTime-Frequency Features (TF): Short-time Fourier transform (STFT) based power spectral density features across delta, theta, alpha, beta, and gamma bands.\nAll feature extraction methods were evaluated using the same CWINCA feature selector and tkNN classifier with 10-fold cross-validation. The comparative results on two representative datasets (Artifact and Epilepsy) are presented in Table 6.\nTable 6Comparison of different feature extraction methods using identical downstream processing (CWINCA + tkNN) with 10-fold CV.DatasetFeature extractionCWINCA + tkNN accuracy (%)Geometric mean (%)ArtifactWavelet Features (WF)81.3572.18ArtifactFunctional Connectivity (FC)78.4268.93ArtifactTime-Frequency Features (TF)79.8670.54ArtifactQEPP (Proposed)90.0782.29EpilepsyWavelet Features (WF)92.4791.83EpilepsyFunctional Connectivity (FC)89.2588.16EpilepsyTime-Frequency Features (TF)91.0890.22EpilepsyQEPP (Proposed)100.00100.00\nComparison of different feature extraction methods using identical downstream processing (CWINCA + tkNN) with 10-fold CV.\nAs shown in Table 6, the QEPP feature extractor consistently outperforms traditional feature extraction methods across both datasets when using identical downstream processing. This result demonstrates that the discriminative power of QEPP features is inherently superior to classical approaches, validating the effectiveness of the quantum-inspired feature extraction paradigm.\n\n\n### Ablation study of XFE framework components\nTo investigate the individual contributions of each component in the XFE framework, we conducted systematic ablation experiments with the following configurations:\nQEPP → CWINCA → tkNN.\nQEPP → tkNN (using all QEPP features).\nQEPP → CWINCA → Standard kNN (k = 5, Euclidean distance).\nQEPP → Standard kNN (no feature selection, standard classifier).\nThe ablation results on the Artifact and Epilepsy datasets are presented in Table 7.\nTable 7Ablation study results showing the contribution of each XFE framework component with 10-fold CV.DatasetCaseComponentsAccuracy (%)Δ vs. full modelArtifact1QEPP + CWINCA + tkNN90.070Artifact2QEPP + tkNN84.23− 5.84Artifact3QEPP + CWINCA + Std kNN86.71− 3.36Artifact4QEPP + Std kNN82.15− 7.92Epilepsy1QEPP + CWINCA + tkNN100.000Epilepsy2QEPP + tkNN96.28− 3.72Epilepsy3QEPP + CWINCA + Std kNN97.85− 2.15Epilepsy4QEPP + Std kNN94.62− 5.38The ablation results reveal several important findings:\nAblation study results showing the contribution of each XFE framework component with 10-fold CV.\nThe ablation results reveal several important findings:\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.Value of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.Combined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.QEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.\nValue of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.\nCombined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.\nQEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\n\n\n### Case 1\nQEPP → CWINCA → tkNN.\n\n\n### Case 2\nQEPP → tkNN (using all QEPP features).\n\n\n### Case 3\nQEPP → CWINCA → Standard kNN (k = 5, Euclidean distance).\n\n\n### Case 4\nQEPP → Standard kNN (no feature selection, standard classifier).\nThe ablation results on the Artifact and Epilepsy datasets are presented in Table 7.\nTable 7Ablation study results showing the contribution of each XFE framework component with 10-fold CV.DatasetCaseComponentsAccuracy (%)Δ vs. full modelArtifact1QEPP + CWINCA + tkNN90.070Artifact2QEPP + tkNN84.23− 5.84Artifact3QEPP + CWINCA + Std kNN86.71− 3.36Artifact4QEPP + Std kNN82.15− 7.92Epilepsy1QEPP + CWINCA + tkNN100.000Epilepsy2QEPP + tkNN96.28− 3.72Epilepsy3QEPP + CWINCA + Std kNN97.85− 2.15Epilepsy4QEPP + Std kNN94.62− 5.38The ablation results reveal several important findings:\nAblation study results showing the contribution of each XFE framework component with 10-fold CV.\nThe ablation results reveal several important findings:\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.Value of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.Combined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.QEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\nValue of CWINCA (Case\n1vs. Case\n2): The CWINCA feature selector provides approximately 5.84% improvement by selecting the most discriminative features and reducing noise in the feature space.\nValue of tkNN (Case\n1vs. Case\n3): The tkNN classifier contributes approximately 3.36% improvement over standard kNN through its parameter optimization and iterative majority voting mechanism.\nCombined Effect (Case\n1vs. Case\n4): The full XFE framework achieves 7.92% improvement over the baseline configuration, demonstrating the synergistic effect of CWINCA and tkNN.\nQEPP Baseline Performance: Notably, even Case 4 (QEPP + Standard kNN) achieves competitive performance (82.15% for Artifact, 94.62% for Epilepsy), which is higher to other feature extraction methods combined with the full CWINCA + tkNN pipeline (see Table 6). This finding strongly validates the inherent discriminative power of QEPP features.\n\n\n### Ablation study of XFE framework components\nTo quantitatively validate the “lightweight” claim of our framework, we compared the QEPP-centric XFE model with mainstream deep learning architectures commonly used for EEG classification. We selected three representative models:\nEEGNet: A compact CNN architecture specifically designed for EEG classification.CNN-LSTM: A hybrid architecture combining convolutional and recurrent layers.Lightweight Transformer: A reduced-parameter transformer model adapted for EEG signals.\nEEGNet: A compact CNN architecture specifically designed for EEG classification.\nCNN-LSTM: A hybrid architecture combining convolutional and recurrent layers.\nLightweight Transformer: A reduced-parameter transformer model adapted for EEG signals.\nAll models were evaluated on the same hardware environment (CPU: Intel Core i7 @ 3.2 GHz, RAM: 32 GB, GPU: NVIDIA RTX 3080 for DL models) using identical data splits. The comparison results are presented in Table 8.\nTable 8Comprehensive comparison of QEPP-XFE with deep learning models on Artifact and Epilepsy datasets.ModelDatasetAccuracy (%)Training Time (s)Inference Time (ms/sample)Time complexityMemory (MB)EEGNetArtifact85.722452.1Exponential156EEGNetEpilepsy93.484122.1Exponential168CNN-LSTMArtifact83.193874.7Exponential284CNN-LSTMEpilepsy91.256234.7Exponential312Lightweight TransformerArtifact82.455243.4Exponential245Lightweight TransformerEpilepsy89.678563.4Exponential278QEPP-XFE (Proposed)Artifact90.07180.8Linear45QEPP-XFE (Proposed)Epilepsy100.00320.8Linear52\nComprehensive comparison of QEPP-XFE with deep learning models on Artifact and Epilepsy datasets.\nThe efficiency comparison reveals several advantages of the proposed QEPP-XFE framework:\nThe QEPP-XFE framework requires significantly less training time compared to deep learning models, as it does not involve iterative gradient-based optimization.The inference time of QEPP-XFE is competitive with or faster than deep learning models, making it suitable for real-time EEG applications.Unlike deep learning models that require GPU acceleration for efficient training, QEPP-XFE can be executed entirely on CPU with minimal memory footprint.While achieving comparable or superior classification accuracy, QEPP-XFE demonstrates a favorable balance in the performance-efficiency-resource trade-off, validating its characterization as a lightweight model.\nThe QEPP-XFE framework requires significantly less training time compared to deep learning models, as it does not involve iterative gradient-based optimization.\nThe inference time of QEPP-XFE is competitive with or faster than deep learning models, making it suitable for real-time EEG applications.\nUnlike deep learning models that require GPU acceleration for efficient training, QEPP-XFE can be executed entirely on CPU with minimal memory footprint.\nWhile achieving comparable or superior classification accuracy, QEPP-XFE demonstrates a favorable balance in the performance-efficiency-resource trade-off, validating its characterization as a lightweight model.\nThe comprehensive experiments presented in this section provide strong evidence for the following conclusions:\nThe QEPP feature extractor generates inherently more discriminative features compared to traditional methods (wavelet, functional connectivity, time-frequency), as demonstrated by controlled experiments with identical downstream processing.Both CWINCA feature selection and tkNN classification contribute meaningfully to the overall performance, with their combination providing synergistic benefits.The QEPP-XFE framework achieves competitive or superior performance compared to deep learning models while requiring substantially less computational resources, validating its suitability for resource-constrained and real-time applications.\nThe QEPP feature extractor generates inherently more discriminative features compared to traditional methods (wavelet, functional connectivity, time-frequency), as demonstrated by controlled experiments with identical downstream processing.\nBoth CWINCA feature selection and tkNN classification contribute meaningfully to the overall performance, with their combination providing synergistic benefits.\nThe QEPP-XFE framework achieves competitive or superior performance compared to deep learning models while requiring substantially less computational resources, validating its suitability for resource-constrained and real-time applications.\n\n\n### Discussions\nOur model achieved 98.25%, 90.07%, 100%, 100%, 100%, and 100% accuracy for ALS detection, artifact classification, stress detection, violence detection, psychosis detection, and epilepsy detection, respectively. Moreover, the introduced QEPP-centric XFE framework generates XAI results for each dataset used.\nTo implement the introduced model, the QEPP-centric XFE framework has been designed using cognitive steps. First, we introduced a new-generation transformer for feature engineering, leveraging the strength of transformers to propose a competitive EEG classification framework against DL models. To extract features, a new feature extractor (SCTT) has been introduced. By utilizing this feature extractor, different relationships have been extracted as features.\nIn the feature selection and classification phases, two self-organized methods, CWINCA and tkNN, have been used to achieve optimal classification performance. The extracted features also include channel information to enable the generation of XAI results. By applying channel-to-DLob symbol transformation, a DLob sentence has been created for each dataset, and interpretable results have been extracted using the generated DLob sentences.\nThe results demonstrate that the presented QEPP-based XFE framework achieved 100% accuracy for four datasets: stress detection, violence detection, psychosis detection, and epilepsy detection. The ablation studies reveal that QEPP features possess inherent discriminative power. Even when paired with a standard kNN classifier without any optimization, QEPP achieves 82.15% accuracy on the Artifact dataset, which is comparable to other feature extraction methods combined with sophisticated processing pipelines. This validates that the core innovation—the quantum-inspired feature extraction—is the primary driver of the framework’s success. For these datasets, leave-one-record/subject-out (LORO/LOSO) CV has been applied, and the computed results are depicted in Fig. 5.\nFig. 5The confusion matrices of the presented QEPP-driven model deploying leave-one record/subject out CV.\nThe confusion matrices of the presented QEPP-driven model deploying leave-one record/subject out CV.\nThe computed classification performances of these datasets using LOSO/LORO CVs have been tabulated in Table 9.\nTable 9The computed classification results deploying the presented QEPP-centric XFE framework.DatasetAccuracyGeometric meanStress75.3575.37Violence99.4599.55Psychosis98.2498.55Epilepsy85.4284.12\nThe computed classification results deploying the presented QEPP-centric XFE framework.\nTable 9 clearly demonstrates that all classification results exceed 75% when using LOSO/LORO CVs. These results further validate the high classification performance of the presented QEPP-based XFE framework.\nTo position the QEPP-based framework within the literature, a comparative results table is provided in Table 10.\nTable 10The comparative results for same datasets.DatasetStudyMethodXAISplit ratioAccuracyALS\n80\nVGG19No5-fold CV80.00ALS\n81\nTransformer-based methodNo70:15:1599.33ALSOur methodQEPP-centric XFEYes10-fold CV98.25Artifact\n71\nDirected Lobish, transition table pattern CWINCAYes10-fold CV95.40ArtifactOur methodQEPP-centric XFEYes10-fold CV90.07Stress\n72\nQuadruple Transition PatternYes1. 10-fold CV2. LOSO CV1. 92.942. 73.63Stress\n82\nCubic patternYes1. 10-fold CV2. LOSO CV1. 96.292. 76.17Stress\n73\nChannel-based minimum and maximum patternYes1. 10-fold CV2. LOSO CV1. 92.862. 73.30StressOur methodQEPP-centric XFEYes1. 10-fold CV2. LOSO CV1. 100.02. 75.35Violence\n73\nChannel-based minimum and maximum patternYes1. 10-fold CV2. LORO CV1. 99.862. 99.31ViolenceOur methodQEPP-centric XFE\nYes\n1. 10-fold CV2. LORO1. 100.02. 99.45Psychosis\n74\nZipper pattern, iterative NCAYes1. 10-fold CV2. LORO CV1. 99.952. 96.12PsychosisOur methodQEPP-centric XFE\nYes\n1. 10-fold CV2. LORO CV1. 100.02. 98.24Epilepsy\n75\nHypercube patternNoLOSO CV87.78Epilepsy\n83\nEpilepsyNetNo10-fold CV85.00Epilepsy\n84\nXceptionNo10-fold CV87.42Epilepsy\n85\nVGG16No10-fold CV91.13Epilepsy\n68\nTransformerNo10-fold CV85.00Epilepsy\n86\nMobileNetNo10-fold CV91.66Epilepsy\n87\nCWT-based DCNNNo10-fold CV95.99Epilepsy\n88\nArchimedean Spiral and Swin TransformerNo10-fold CV97.98EpilepsyOur methodQEPP-centric XFEYes1. 10-fold CV2. LOSO CV1. 100.02. 85.42\nThe comparative results for same datasets.\n1. 10-fold CV\n2. LOSO CV\n1. 92.94\n2. 73.63\n1. 10-fold CV\n2. LOSO CV\n1. 96.29\n2. 76.17\n1. 10-fold CV\n2. LOSO CV\n1. 92.86\n2. 73.30\n1. 10-fold CV\n2. LOSO CV\n1. 100.0\n2. 75.35\n1. 10-fold CV\n2. LORO CV\n1. 99.86\n2. 99.31\n1. 10-fold CV\n2. LORO\n1. 100.0\n2. 99.45\n1. 10-fold CV\n2. LORO CV\n1. 99.95\n2. 96.12\n1. 10-fold CV\n2. LORO CV\n1. 100.0\n2. 98.24\n1. 10-fold CV\n2. LOSO CV\n1. 100.0\n2. 85.42\nPer Table 10, our method shows competitive performance and provides explainable outputs.\nWe have generated explainable results by deploying the QEPP-driven XFE model. Based on the interpretable results, the following findings have been obtained:\nThe most activated lobes are the frontal and parietal lobes. This demonstrates that ALS can cause defects in these regions. Additionally, strong activations in CL, CR, and Cz indicate frequent hemispheric transitions in ALS detection. Moreover, CL, CR and Cz can represent motor coordination deficits.\nThe frontal lobe is the most activated. Activations are also observed in the temporal, parietal, and occipital lobes, highlighting the complex nature of artifact classification.\nFR is the most activated DLob symbol, indicating that stress is an internal cognitive process. Also, FR dominance represents executive and emotional overload.\nThe most frequently activated DLob symbols are FR, FL, PR, and OR. This suggests that violence affects cognitive, sensory, and visual activations.\nThe frontal, parietal, and occipital lobes are affected. The most complex DLob sentence belongs to this dataset, reflecting the cognitive and perceptual disruptions in psychosis. The connectome diagram of the psychosis detection shows that widespread disruptions affect multiple brain areas.\nThe temporal lobe is the most frequently activated, demonstrating that most epilepsies originate in the temporal lobe. Epilepsy detection is the most predictable classification task.\nThese findings validate the effectiveness of the QEPP-based XFE framework in both classification performance and interpretability.\nThe most important points of this research have discussed as below.\nFindings:\nQEPP is a novel quantum-inspired feature extraction method that integrates a QEP transformer and a SCTT to increase EEG signal processing.Multichannel EEG transformation is achieved using quantum entanglement principles, where paired vectors and their differences generate three transformed signals. The presented QEP transformer improves feature representation.The introduced XFE framework is uses two self-organized methods and these methods are CWINCA and tkNN. Due to these self-organized methods, high classification performances have been yielded.Six diverse EEG datasets (ALS, artifact, stress, violence, psychosis, epilepsy) validate the framework, demonstrating over 90% classification accuracy in all cases. Also, four datasets attained 100% accuracy with 10-fold CV.The created DLob strings and cortical connectome diagrams highlight brain region activations.ALS Detection: Frontal and parietal lobes dominate. Heavy activation in CL, CR, and Cz and it indicates frequent hemispheric transitions. ALS disrupts motor and cognitive integration.Artifact Classification: Frontal lobe is dominant. Temporal, parietal, and occipital lobes are also active. Artifacts cause widespread neural noise. EEG complexity increases due to non-neural signals.Stress Detection: FR is the most activated symbol. Stress is an internal cognitive process. Dominant frontal activation suggests executive and emotional load.Violence Detection: FR, FL, PR, and OR dominate. Violence engages cognitive, sensory, and visual networks. Frontal involvement represents decision-making and impulse control.Psychosis Detection: Frontal, parietal, and occipital lobes are affected. The most complex DLob sequence. Disruptions in logical reasoning, sensory integration, and perception. However, some symbols (such as TR-TL, TL-Fz, OL-Pz) have no connection. This situation demonstrated that psychosis participants cannot use their brain effectively.Epilepsy Detection: Temporal lobe is the most active. Most epileptic seizures are temporal epilepsies. The most predictable EEG pattern is the epilepsy detection.All datasets have their own unique connectome diagrams.\nQEPP is a novel quantum-inspired feature extraction method that integrates a QEP transformer and a SCTT to increase EEG signal processing.\nMultichannel EEG transformation is achieved using quantum entanglement principles, where paired vectors and their differences generate three transformed signals. The presented QEP transformer improves feature representation.\nThe introduced XFE framework is uses two self-organized methods and these methods are CWINCA and tkNN. Due to these self-organized methods, high classification performances have been yielded.\nSix diverse EEG datasets (ALS, artifact, stress, violence, psychosis, epilepsy) validate the framework, demonstrating over 90% classification accuracy in all cases. Also, four datasets attained 100% accuracy with 10-fold CV.\nThe created DLob strings and cortical connectome diagrams highlight brain region activations.\nALS Detection: Frontal and parietal lobes dominate. Heavy activation in CL, CR, and Cz and it indicates frequent hemispheric transitions. ALS disrupts motor and cognitive integration.\nArtifact Classification: Frontal lobe is dominant. Temporal, parietal, and occipital lobes are also active. Artifacts cause widespread neural noise. EEG complexity increases due to non-neural signals.\nStress Detection: FR is the most activated symbol. Stress is an internal cognitive process. Dominant frontal activation suggests executive and emotional load.\nViolence Detection: FR, FL, PR, and OR dominate. Violence engages cognitive, sensory, and visual networks. Frontal involvement represents decision-making and impulse control.\nPsychosis Detection: Frontal, parietal, and occipital lobes are affected. The most complex DLob sequence. Disruptions in logical reasoning, sensory integration, and perception. However, some symbols (such as TR-TL, TL-Fz, OL-Pz) have no connection. This situation demonstrated that psychosis participants cannot use their brain effectively.\nEpilepsy Detection: Temporal lobe is the most active. Most epileptic seizures are temporal epilepsies. The most predictable EEG pattern is the epilepsy detection.\nAll datasets have their own unique connectome diagrams.\nAdvantages:\nThe presented QEPP-based XFE framework is a lightweight model but this model attained high classification performances.This model yielded over 90% classification accuracy on all six datasets used.Our model attained over 75% classification performances with LOSO/LORO CV.This model is an XFE model and the interpretable results were computed. Actually, the generated cortical connectome diagrams are unique.\nThe presented QEPP-based XFE framework is a lightweight model but this model attained high classification performances.\nThis model yielded over 90% classification accuracy on all six datasets used.\nOur model attained over 75% classification performances with LOSO/LORO CV.\nThis model is an XFE model and the interpretable results were computed. Actually, the generated cortical connectome diagrams are unique.\nLimitation:\nPerformance dropped with LOSO CV (e.g., 75.35% for stress).\nPerformance dropped with LOSO CV (e.g., 75.35% for stress).\nFuture directions:\nExtension to other biomedical signals: We plan to extend the QEPP-driven XFE framework to other biomedical time-series signals such as ECG and EMG for cardiac and neuromuscular disorder detection, in order to evaluate the generalization capability of the proposed representation across different physiological signal modalities.QEPP-enhanced hybrid deep learning architectures: A concrete future direction is to integrate QEPP as a structured inductive bias module into lightweight deep learning models by making key operations (e.g., ordering and ranking) differentiable using approximate differentiable sorting operators. This would enable end-to-end training of a QEPP-enhanced hybrid architecture and allow systematic comparisons with standard lightweight CNN models (e.g., EEGNet) in terms of performance, efficiency, and interpretability.Language-model-based structured interpretation: To improve the readability and clinical usability of DLob representations, custom language models or structurally constrained large language models can be developed to translate DLob symbols and connectivity patterns into neuroanatomically consistent and clinically meaningful textual descriptions, thereby bridging the gap between visual explainability and narrative clinical reporting.Exploration of alternative quantum-inspired representations: Beyond the current QEPP formulation, other quantum-inspired models and diagrammatic representations can be investigated to design new-generation, interpretable, and computationally efficient signal classification frameworks, and their effectiveness can be systematically compared with the proposed approach.\nExtension to other biomedical signals: We plan to extend the QEPP-driven XFE framework to other biomedical time-series signals such as ECG and EMG for cardiac and neuromuscular disorder detection, in order to evaluate the generalization capability of the proposed representation across different physiological signal modalities.\nQEPP-enhanced hybrid deep learning architectures: A concrete future direction is to integrate QEPP as a structured inductive bias module into lightweight deep learning models by making key operations (e.g., ordering and ranking) differentiable using approximate differentiable sorting operators. This would enable end-to-end training of a QEPP-enhanced hybrid architecture and allow systematic comparisons with standard lightweight CNN models (e.g., EEGNet) in terms of performance, efficiency, and interpretability.\nLanguage-model-based structured interpretation: To improve the readability and clinical usability of DLob representations, custom language models or structurally constrained large language models can be developed to translate DLob symbols and connectivity patterns into neuroanatomically consistent and clinically meaningful textual descriptions, thereby bridging the gap between visual explainability and narrative clinical reporting.\nExploration of alternative quantum-inspired representations: Beyond the current QEPP formulation, other quantum-inspired models and diagrammatic representations can be investigated to design new-generation, interpretable, and computationally efficient signal classification frameworks, and their effectiveness can be systematically compared with the proposed approach.\nPotential applications:\nStress/anxiety detection in workplaces or clinics.Real-time EEG monitoring for epilepsy/ALS patients with explainable insights.This framework can help to develop new generation drugs for brain-related disorders.We can adapt this framework for cardiac (arrhythmia) or respiratory signal classification.\nStress/anxiety detection in workplaces or clinics.\nReal-time EEG monitoring for epilepsy/ALS patients with explainable insights.\nThis framework can help to develop new generation drugs for brain-related disorders.\nWe can adapt this framework for cardiac (arrhythmia) or respiratory signal classification.\n\n\n### ALS Detection\nThe most activated lobes are the frontal and parietal lobes. This demonstrates that ALS can cause defects in these regions. Additionally, strong activations in CL, CR, and Cz indicate frequent hemispheric transitions in ALS detection. Moreover, CL, CR and Cz can represent motor coordination deficits.\n\n\n### Artifact Classification\nThe frontal lobe is the most activated. Activations are also observed in the temporal, parietal, and occipital lobes, highlighting the complex nature of artifact classification.\n\n\n### Stress Detection\nFR is the most activated DLob symbol, indicating that stress is an internal cognitive process. Also, FR dominance represents executive and emotional overload.\n\n\n### Violence Detection\nThe most frequently activated DLob symbols are FR, FL, PR, and OR. This suggests that violence affects cognitive, sensory, and visual activations.\n\n\n### Psychosis Detection\nThe frontal, parietal, and occipital lobes are affected. The most complex DLob sentence belongs to this dataset, reflecting the cognitive and perceptual disruptions in psychosis. The connectome diagram of the psychosis detection shows that widespread disruptions affect multiple brain areas.\n\n\n### Epilepsy Detection\nThe temporal lobe is the most frequently activated, demonstrating that most epilepsies originate in the temporal lobe. Epilepsy detection is the most predictable classification task.\nThese findings validate the effectiveness of the QEPP-based XFE framework in both classification performance and interpretability.\nThe most important points of this research have discussed as below.\nFindings:\nQEPP is a novel quantum-inspired feature extraction method that integrates a QEP transformer and a SCTT to increase EEG signal processing.Multichannel EEG transformation is achieved using quantum entanglement principles, where paired vectors and their differences generate three transformed signals. The presented QEP transformer improves feature representation.The introduced XFE framework is uses two self-organized methods and these methods are CWINCA and tkNN. Due to these self-organized methods, high classification performances have been yielded.Six diverse EEG datasets (ALS, artifact, stress, violence, psychosis, epilepsy) validate the framework, demonstrating over 90% classification accuracy in all cases. Also, four datasets attained 100% accuracy with 10-fold CV.The created DLob strings and cortical connectome diagrams highlight brain region activations.ALS Detection: Frontal and parietal lobes dominate. Heavy activation in CL, CR, and Cz and it indicates frequent hemispheric transitions. ALS disrupts motor and cognitive integration.Artifact Classification: Frontal lobe is dominant. Temporal, parietal, and occipital lobes are also active. Artifacts cause widespread neural noise. EEG complexity increases due to non-neural signals.Stress Detection: FR is the most activated symbol. Stress is an internal cognitive process. Dominant frontal activation suggests executive and emotional load.Violence Detection: FR, FL, PR, and OR dominate. Violence engages cognitive, sensory, and visual networks. Frontal involvement represents decision-making and impulse control.Psychosis Detection: Frontal, parietal, and occipital lobes are affected. The most complex DLob sequence. Disruptions in logical reasoning, sensory integration, and perception. However, some symbols (such as TR-TL, TL-Fz, OL-Pz) have no connection. This situation demonstrated that psychosis participants cannot use their brain effectively.Epilepsy Detection: Temporal lobe is the most active. Most epileptic seizures are temporal epilepsies. The most predictable EEG pattern is the epilepsy detection.All datasets have their own unique connectome diagrams.\nQEPP is a novel quantum-inspired feature extraction method that integrates a QEP transformer and a SCTT to increase EEG signal processing.\nMultichannel EEG transformation is achieved using quantum entanglement principles, where paired vectors and their differences generate three transformed signals. The presented QEP transformer improves feature representation.\nThe introduced XFE framework is uses two self-organized methods and these methods are CWINCA and tkNN. Due to these self-organized methods, high classification performances have been yielded.\nSix diverse EEG datasets (ALS, artifact, stress, violence, psychosis, epilepsy) validate the framework, demonstrating over 90% classification accuracy in all cases. Also, four datasets attained 100% accuracy with 10-fold CV.\nThe created DLob strings and cortical connectome diagrams highlight brain region activations.\nALS Detection: Frontal and parietal lobes dominate. Heavy activation in CL, CR, and Cz and it indicates frequent hemispheric transitions. ALS disrupts motor and cognitive integration.\nArtifact Classification: Frontal lobe is dominant. Temporal, parietal, and occipital lobes are also active. Artifacts cause widespread neural noise. EEG complexity increases due to non-neural signals.\nStress Detection: FR is the most activated symbol. Stress is an internal cognitive process. Dominant frontal activation suggests executive and emotional load.\nViolence Detection: FR, FL, PR, and OR dominate. Violence engages cognitive, sensory, and visual networks. Frontal involvement represents decision-making and impulse control.\nPsychosis Detection: Frontal, parietal, and occipital lobes are affected. The most complex DLob sequence. Disruptions in logical reasoning, sensory integration, and perception. However, some symbols (such as TR-TL, TL-Fz, OL-Pz) have no connection. This situation demonstrated that psychosis participants cannot use their brain effectively.\nEpilepsy Detection: Temporal lobe is the most active. Most epileptic seizures are temporal epilepsies. The most predictable EEG pattern is the epilepsy detection.\nAll datasets have their own unique connectome diagrams.\nAdvantages:\nThe presented QEPP-based XFE framework is a lightweight model but this model attained high classification performances.This model yielded over 90% classification accuracy on all six datasets used.Our model attained over 75% classification performances with LOSO/LORO CV.This model is an XFE model and the interpretable results were computed. Actually, the generated cortical connectome diagrams are unique.\nThe presented QEPP-based XFE framework is a lightweight model but this model attained high classification performances.\nThis model yielded over 90% classification accuracy on all six datasets used.\nOur model attained over 75% classification performances with LOSO/LORO CV.\nThis model is an XFE model and the interpretable results were computed. Actually, the generated cortical connectome diagrams are unique.\nLimitation:\nPerformance dropped with LOSO CV (e.g., 75.35% for stress).\nPerformance dropped with LOSO CV (e.g., 75.35% for stress).\nFuture directions:\nExtension to other biomedical signals: We plan to extend the QEPP-driven XFE framework to other biomedical time-series signals such as ECG and EMG for cardiac and neuromuscular disorder detection, in order to evaluate the generalization capability of the proposed representation across different physiological signal modalities.QEPP-enhanced hybrid deep learning architectures: A concrete future direction is to integrate QEPP as a structured inductive bias module into lightweight deep learning models by making key operations (e.g., ordering and ranking) differentiable using approximate differentiable sorting operators. This would enable end-to-end training of a QEPP-enhanced hybrid architecture and allow systematic comparisons with standard lightweight CNN models (e.g., EEGNet) in terms of performance, efficiency, and interpretability.Language-model-based structured interpretation: To improve the readability and clinical usability of DLob representations, custom language models or structurally constrained large language models can be developed to translate DLob symbols and connectivity patterns into neuroanatomically consistent and clinically meaningful textual descriptions, thereby bridging the gap between visual explainability and narrative clinical reporting.Exploration of alternative quantum-inspired representations: Beyond the current QEPP formulation, other quantum-inspired models and diagrammatic representations can be investigated to design new-generation, interpretable, and computationally efficient signal classification frameworks, and their effectiveness can be systematically compared with the proposed approach.\nExtension to other biomedical signals: We plan to extend the QEPP-driven XFE framework to other biomedical time-series signals such as ECG and EMG for cardiac and neuromuscular disorder detection, in order to evaluate the generalization capability of the proposed representation across different physiological signal modalities.\nQEPP-enhanced hybrid deep learning architectures: A concrete future direction is to integrate QEPP as a structured inductive bias module into lightweight deep learning models by making key operations (e.g., ordering and ranking) differentiable using approximate differentiable sorting operators. This would enable end-to-end training of a QEPP-enhanced hybrid architecture and allow systematic comparisons with standard lightweight CNN models (e.g., EEGNet) in terms of performance, efficiency, and interpretability.\nLanguage-model-based structured interpretation: To improve the readability and clinical usability of DLob representations, custom language models or structurally constrained large language models can be developed to translate DLob symbols and connectivity patterns into neuroanatomically consistent and clinically meaningful textual descriptions, thereby bridging the gap between visual explainability and narrative clinical reporting.\nExploration of alternative quantum-inspired representations: Beyond the current QEPP formulation, other quantum-inspired models and diagrammatic representations can be investigated to design new-generation, interpretable, and computationally efficient signal classification frameworks, and their effectiveness can be systematically compared with the proposed approach.\nPotential applications:\nStress/anxiety detection in workplaces or clinics.Real-time EEG monitoring for epilepsy/ALS patients with explainable insights.This framework can help to develop new generation drugs for brain-related disorders.We can adapt this framework for cardiac (arrhythmia) or respiratory signal classification.\nStress/anxiety detection in workplaces or clinics.\nReal-time EEG monitoring for epilepsy/ALS patients with explainable insights.\nThis framework can help to develop new generation drugs for brain-related disorders.\nWe can adapt this framework for cardiac (arrhythmia) or respiratory signal classification.\n\n\n### Conclusions\nThis study introduced a quantum-inspired feature extraction method (QEPP) and a new explainable feature engineering framework for EEG signal classification. The proposed model achieved 98.25% accuracy for ALS detection, 90.07% for artifact classification, and 100% accuracy for stress, violence, psychosis, and epilepsy detection using 10-fold cross-validation. The framework uses a transformer-based QEP and SCTT extractor together with CWINCA and tkNN. It is lightweight and runs in linear time.\nThe model also produced clear interpretable results. The DLob-based approach generated DLob strings and cortical connectome diagrams that reveal brain region activations. The computed Shannon entropies and complexity ratios (up to 91.47%) further support the interpretability. These results demonstrate that the proposed QEPP-based framework is an effective and efficient tool for EEG signal classification and analysis.\nThe introduced QEPP-centric XFE framework contributes to feature engineering by proposing a transformer-based feature extraction function and this work creates a competitive alternative to DL models. This XFE framework is validated on six EEG datasets, making it a general and high-performance EEG classification model. Moreover, the interpretable results highlight the neurological significance of the extracted features. The DLob-based findings indicate the dominant brain lobes involved in different EEG signal classifications, aligning with known neurological patterns.\nThe high classification accuracy and interpretable findings position this model as a valuable tool for neurological disorder detection, cognitive research, and clinical applications. The framework bridges the gap between performance and interpretability. This model is a practical choice for real-world EEG-based diagnostics and AI-driven neuroscience studies.", "domain": "affective_neuroscience"}
{"source": "PMC13081181", "title": "Molecularly distinct subtypes of Lhx6-positive neurons of the zona incerta differentially regulate sleep pressure and recovery sleep", "text": "# Molecularly distinct subtypes of Lhx6-positive neurons of the zona incerta differentially regulate sleep pressure and recovery sleep\n\n## Abstract\nSleep pressure is regulated not only by circadian rhythms, but also by sleep homeostasis, an activity-dependent process that dissipates during sleep. Recent work implicates Lhx6-positive GABAergic neurons of the zona incerta (ZI) in regulating sleep pressure, but their precise role remains unclear. Using sleep deprivation and HiPlex single-molecule fISH, we show that Lhx6-positive ZI neurons are broadly activated by both natural and induced increases in sleep pressure and remain active for more than 3 h into recovery sleep. Anterior Lhx6-positive neurons showed stronger activation. Fos induction differed across molecularly distinct subpopulations, with Nkx2-2-positive cells showing robust responses and Calb2-positive cells showing reduced activation. We also identified distinct sleep pressure-responsive Lhx6-negative Slc32a1-positive GABAergic ZI subpopulations. Finally, intersectional genetic loss of Nkx2-2 reduced and redistributed Lhx6-positive neurons, blunted their activation, and increased total sleep time. These findings reveal a central, heterogeneous role for Lhx6-positive ZI neurons in sleep homeostasis. •Lhx6+ ZI neuron activity tracks sleep pressure and persists during recovery sleep•Anterior Lhx6+ ZI neurons show strongest sleep pressure-induced activity•Molecular subtypes of Lhx6+ neurons show differential sleep pressure-induced activity•Nkx2-2 loss disrupts Lhx6+ ZI neuron development and increases sleep time Lhx6+ ZI neuron activity tracks sleep pressure and persists during recovery sleep Anterior Lhx6+ ZI neurons show strongest sleep pressure-induced activity Molecular subtypes of Lhx6+ neurons show differential sleep pressure-induced activity Nkx2-2 loss disrupts Lhx6+ ZI neuron development and increases sleep time Biological sciences; cellular neuroscience; natural sciences; neuroscience; systems neuroscience\n\n## Full Text\n\n\n### Introduction\nSleep is an evolutionarily conserved state that is essential for the survival of all organisms examined to date.1,2,3 In recent years, multiple specific neuronal subtypes have been identified that rapidly regulate bistable transitions between sleep and wake states.4,5,6,7 The need to sleep, or sleep pressure, is regulated by both a circadian and an activity/time-dependent component that progressively increases the probability of transition from wake to sleep, and this second component is progressively dissipated during sleep.4,8 However, the mechanisms regulating sleep homeostasis remain unclear, with the molecular mechanisms that underlie the activity/time-dependent component of sleep pressure as yet unidentified.9,10\nRecent evidence from both Drosophila and mammals has suggested that progressive activity-dependent changes in wake-promoting neurons may drive progressive accumulation of sleep pressure.9,11,12 However, other studies in mice have identified discrete neuronal subpopulations that are selectively responsive to natural and/or induced changes in sleep pressure that are distinct from those that regulate rapid sleep/wake transitions. One such neuronal population are Lhx6-positive GABAergic neurons of the zona incerta (ZI),13,14,15 a small but highly complex brain region that broadly regulates sensory integration, innate behaviors, and both motivational and emotional states.16,17,18,19,20,21 Although these neurons are immediately presynaptic to multiple different subtypes of arousal-promoting neurons, their chemogenetic activation induces sleep with notably delayed and prolonged kinetics, ranging from 2 to 8 h following CNO administration.13 Recent work has shown that glutamatergic neurons of the thalamic reuniens nucleus (ReN), which both selectively responsive to induced sleep deprivation (SD) and are immediately presynaptic to anterior Lhx6-positive ZI neurons, promote sleep with similar delayed kinetics.14 Furthermore, increased sleep pressure both physically and functionally strengthens synaptic connection between ReN and Lhx6-positive ZI neurons, and Lhx6-positive neurons are essential for the sleep-promoting function of ReN neurons.14 This implies that this ReN-ZI connection forms a component of a separate neural circuit that senses and signals levels of sleep pressure, and this is distinct from circuitry regulating rapid bistable sleep-wake transition.\nThis raises the question of exactly how sleep pressure is regulated by Lhx6-positive ZI neurons. Previous studies have implied that there is substantial functional heterogeneity within this population. Using Fos expression as a molecular readout for activity, as is standard in mice,22\nLhx6-positive ZI neurons show greatest activity at sleep onset in the early morning, and increases with SD. However, studies have shown that at least 25% of Lhx6-positive ZI neurons are active even in the early evening, the time of lowest overall sleep pressure, while a substantial fraction also remain inactive at high levels of induced sleep pressure.13\nLhx6-positive ZI neurons remain active even during early stages of recovery sleep,13 and it remains unclear whether similar subpopulations of these cells are active in response to naturally occurring and induced sleep pressure or during recovery sleep. Other studies have demonstrated substantial molecular heterogeneity among these cells.15,23,24 This raises the possibility that molecularly distinct subtypes of Lhx6-positive ZI neurons may have distinct functions in regulation of sleep homeostasis.\nIn this study, we tested this hypothesis by performing HiPlex single-molecule fISH for Lhx6, Fos, and markers of distinct Lhx6-positive ZI neuron subtypes. We found that Lhx6-positive ZI neurons are broadly activated by both natural and experimentally induced increases in sleep pressure, and remain strongly active for up to 3 h after the onset of recovery sleep. Lhx6-positive neurons in the anterior ZI showed the strongest sleep pressure-induced activation, broadly matching patterns of ReN innervation. Fos induction varied among molecularly distinct Lhx6-positive neuronal subpopulations, with Nkx2-2-, Nfia-, and Calb1-positive neurons showing the strongest responses and Calb2-positive neurons showing reduced responses. We also identified subpopulations of Lhx6-negative, Slc32a1-positive GABAergic ZI neurons that were differentially activated by sleep pressure. Finally, using intersectional genetics, we found that loss of the homeodomain factor Nkx2-2 markedly reduced the number of Lhx6-positive neurons, altered their anterior-posterior distribution, attenuated their sleep pressure-evoked activity, and increased both daytime and nighttime sleep. These findings indicate that Lhx6-positive ZI neurons play a critical but complex role in controlling sleep homeostasis.\n\n\n### Results\nTo characterize spatial, temporal, and subtype-dependent differences in the patterns of activation of Lhx6-positive ZI neurons, we used the HiPlex platform (ACD Bio) to simultaneously profile up to 12 different probes under a broad range of naturally occurring and induced changes in sleep pressure. The probes used for this analysis included Lhx6, Fos, and Slc32a1, which broadly labels GABAergic neurons in the ZI,18,25 as well as molecular markers previously identified as labeling distinct subtypes of Lhx6-positive ZI neurons.15,16,25,26,27 These additional probes included Nkx2-2, Calb1, Calb2, Nfia, Cck, Penk, Pvalb, Gal, Nos1, and Pnoc. Initial analysis of these subtype-specific markers indicated that Nkx2-2, Calb1, Calb2, Nfia, and Cck gave the strongest and most robust signal, and these were used for subsequent analysis (Table 1).Table 1Hiplex probes used in the studyRound/ChannelFluorophore1st Iteration2ND Iteration3rd IterationR1:T1488 (green)Lhx6In dataLhx6In dataLhx6In dataR1:T2550 (orange)Nkx2-2In dataFosIn dataNkx2-2In dataR1:T3647N (far red)NfiaIn dataNkx2-2In dataNfiaIn dataR1:T4750 (near red)Calb1In dataSlc17a6Not in data analysisCalb1In dataR1:T5488 (green)Calb2In dataSlc32a1In dataCalb2In dataR2:T6550 (orange)NfixRemovedNfiaIn dataSlc32a1In dataR2:T7647N (far red)FosIn dataNfixRemovedFosIn dataR2:T8750 (near red)CckIn dataCckIn dataCckIn dataR3:T9488 (green)Nos1RemovedNos1RemovedNos1RemovedR3:T10550 (orange)PnocRemovedPvalbTD∗PvalbTDR3:T11647N (far red)PenkTDPenkTDPenkTDR3:T12750 (near red)GalTDGalTDGalTDProbes used in each iteration of Hiplex analysis. Nfix, Nos1, and Pnoc were removed due to low inconsistent signal. Pvalb, Penk, and Gal were not included in the final analysis because of data loss due to tissue damage (TD) by the 3rd round of staining. Slc17a6 was only in a small subset of experiments and was not included in the final analysis.\nHiplex probes used in the study\nProbes used in each iteration of Hiplex analysis. Nfix, Nos1, and Pnoc were removed due to low inconsistent signal. Pvalb, Penk, and Gal were not included in the final analysis because of data loss due to tissue damage (TD) by the 3rd round of staining. Slc17a6 was only in a small subset of experiments and was not included in the final analysis.\nUsing these probe sets, we first analyzed the distribution of Lhx6-positive cells along the anterior-posterior axis of the ZI at Zeitgeiber Time 6 (ZT6), which corresponds to 6 h following lights on, which is a moderate sleep pressure state in nocturnal mice (Figure 1A).28 We observed that Lhx6 mRNA-positive cells comprise 35.2% of all ZI cells (Figure 1B), roughly comparable to similar estimates obtained from Lhx6 immunohistochemistry and Lhx6-eGFP reporter expression.13,15 The great majority of Lhx6-positive cells (33.7% of all ZI cells) showed relatively low (levels of mRNA expression, ranging from 1 to 5 puncta associated with each DAPI-positive cell (Figures 1A and 1B), while a much smaller fraction showing higher cellular expression levels (1.5% of all ZI cells) (Table 2). We also observed a broad anterior-posterior gradient in the distribution of Lhx6-positive cells within the ZI (Figure 1C). The anterior ZI (−0.955 to −1.554 bregma) shows the highest overall fraction of Lhx6-positive cells (2.7% high/53.2% low), the medial ZI (−1.555 to −2.154 bregma) shows lower numbers (1.5% high/31% low), and the posterior ZI (−2.155 to −2.780 bregma) lower still (0.8% high/21.8% low).Figure 1Lhx6 expression decreases along the anterior-posterior axis of the zona incerta(A) In situ hybridization showing the number of Lhx6 (green)-expressing cells (indicated by DAPI, blue) decreasing along the anterior-posterior axis, covering a region spanning −0.955 mm to −2.780 mm Bregma. 20 μm scale bars on all images. Each in situ image corresponds to the region in between the coronal images above, with the ZI highlighted in green.(B) Bar graph depicting the fraction of Lhx6-positive cells at ZT6. Lhx6-positive cells compose 35.2% of total cells in the ZI, with high expressing Lhx6 cells (red) compromising 1.5 ± 1.3% of cells, low expressing (blue) Lhx6 cells compromising 33.7 ± 18.7% of cells, and the remaining 64.7 ± 19.9% of cells do not express Lhx6 (gray).(C) Bar graph depicting the fraction of Lhx6-positive cells at ZT6 along the anterior-posterior axis. The anterior region contains the most Lhx6-positive expressing cells with high expressing cells comprising 2.6 ± 1.5% of total cells and low expressing cells comprising 53.2 ± 14.3%. The medial region contains 1.5 ± 1.4% high expressing cells and 30.9 ± 13.2% low expressing cells. The posterior region contains the least Lhx6-positive cells with high comprising 0.75 ± 0.77% and low comprising 21.8 ± 16.5%. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. The main effects analysis revealed subtypes showing significant differences relative to mean levels of Lhx6 expression (F = 43.20, ∗∗ = p < 0.0001). Tukey’s multiple comparisons test revealed significant differences in low expressing cells between the anterior and posterior ZI (p = 0.0087, alpha = 0.05) regions. N = 11 for all graphs listed. Data are represented as mean ± SD.Table 2Foci distribution for all used in the studyprobesZT6All WT Control & SD ConditionsProbeHigh (6+ Foci)Low (1–5 Foci)Neg (0 Foci)ProbeHigh (6+ Foci)Low (1–5 Foci)Neg (0 Foci)Lhx60.010.310.67Lhx60.040.310.65Calb10.130.340.53Calb10.100.300.60Calb20.050.280.68Calb20.020.220.74Cck0.060.530.41Cck0.050.310.63Nfia0.030.390.57Nfia0.030.480.49Nkx2-20.030.250.72Nkx2-20.030.320.65Fos0.020.330.65Fos0.070.300.63Slc32a10.030.260.70Slc32a10.040.260.70Avg0.0450.3360.616Avg0.0480.3130.636SD0.0380.0910.106SD0.0260.0750.074This lists the relative fraction of cells that are negative (0 foci), low (1–5 foci), and high (6+ foci) for the probe in question in the indicated experimental conditions.\nLhx6 expression decreases along the anterior-posterior axis of the zona incerta\n(A) In situ hybridization showing the number of Lhx6 (green)-expressing cells (indicated by DAPI, blue) decreasing along the anterior-posterior axis, covering a region spanning −0.955 mm to −2.780 mm Bregma. 20 μm scale bars on all images. Each in situ image corresponds to the region in between the coronal images above, with the ZI highlighted in green.\n(B) Bar graph depicting the fraction of Lhx6-positive cells at ZT6. Lhx6-positive cells compose 35.2% of total cells in the ZI, with high expressing Lhx6 cells (red) compromising 1.5 ± 1.3% of cells, low expressing (blue) Lhx6 cells compromising 33.7 ± 18.7% of cells, and the remaining 64.7 ± 19.9% of cells do not express Lhx6 (gray).\n(C) Bar graph depicting the fraction of Lhx6-positive cells at ZT6 along the anterior-posterior axis. The anterior region contains the most Lhx6-positive expressing cells with high expressing cells comprising 2.6 ± 1.5% of total cells and low expressing cells comprising 53.2 ± 14.3%. The medial region contains 1.5 ± 1.4% high expressing cells and 30.9 ± 13.2% low expressing cells. The posterior region contains the least Lhx6-positive cells with high comprising 0.75 ± 0.77% and low comprising 21.8 ± 16.5%. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. The main effects analysis revealed subtypes showing significant differences relative to mean levels of Lhx6 expression (F = 43.20, ∗∗ = p < 0.0001). Tukey’s multiple comparisons test revealed significant differences in low expressing cells between the anterior and posterior ZI (p = 0.0087, alpha = 0.05) regions. N = 11 for all graphs listed. Data are represented as mean ± SD.\nFoci distribution for all used in the studyprobes\nThis lists the relative fraction of cells that are negative (0 foci), low (1–5 foci), and high (6+ foci) for the probe in question in the indicated experimental conditions.\nWe next performed similar analysis for the other probes tested. Calb1 (11.9% high/33% low), Cck (4.8% high/42.5% low), and Nfia (3.9% high/38.8% low) labeled the greatest overall fraction of ZI cells, although no probe labeled fewer than 25.8% of ZI cells, with Nkx2-2 (3.7% high/22.5% low) showing the lowest number of overall positive cells (Figures S3A and S3B). We observed non-statistically significant trends in distribution of many of these markers along the anterior-posterior axis of the ZI, with Fos and Nkx2-2 reflecting the higher fraction of Lhx6-positive cells in anterior ZI, and Calb1 showing a medially enriched distribution (Figure S3C).\nTo profile patterns of activity in response to both naturally occurring and induced changes in sleep pressure, we analyzed changes in expression of Fos in both Lhx6-positive and Lhx6-negative ZI cells. No significant changes in the total number of Lhx6-positive cells were detected across any of the samples examined (Figure S4). We observe significantly higher levels of Fos expression in high (ZT0) and intermediate (ZT6) sleep pressure states relative to low (ZT12) sleep pressure states across all ZI cells (Figures 2A and 2E). This was the case for both Lhx6-positive (Figure 2B) and Lhx6-negative (Figure 2C) cells, and indicates that many subtypes of ZI neurons are broadly responsive to naturally occurring changes in sleep pressure.Figure 2Induced sleep deprivation induces Fos expression in both Lhx6-positive and Lhx6-negative cells(A) Bar graph depicting the Fos-positive fraction of total cells in the undisturbed control and following experimentally-induced sleep deprivation. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 6.46, p = 0.0002) and sleep deprivation (SD) (F = 10.18, p = 0.0028) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) control ZT0 vs. control ZT12 (∗p = 0.0117), control ZT0 vs. control ZT14 (∗p = 0.0415), SD ZT0 vs. SD ZT12 (SDRS6, ∗p = 0.0117), SD ZT0 vs. ZT14 SD (∗p = 0.0415), control ZT6 vs. control ZT12 (∗p = 0.0274), SD ZT6 vs. SD ZT12 (SDRS8, ∗p = 0.0274), SD ZT7 (SDRS1) vs. control ZT9 (∗p = 0.0256), SD ZT7 (SDRS1) vs. control ZT12 (∗∗∗p = 0.0006), SD ZT7 (SDRS1) vs. SD ZT12 (SDRS6) (∗p = 0.0393), SD ZT7 (SDRS1) vs. control ZT14 (∗∗p = 0.0022).(B) Bar graph depicts the Fos-positive fraction of Lhx6-positive cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.34, p < 0.0001) and sleep deprivation (SD) (F = 9.32, p = 0.0040) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) ZT0:control vs. ZT12:control (∗∗p = 0.0068), ZT0:SD vs. ZT12:SD (∗∗p = 0.0068), ZT6:control vs. ZT7:SD (∗p = 0.0221), ZT6:control vs. ZT12:control (∗p = 0.0261), ZT6:SD vs. ZT12:SD (∗p = 0.0261), ZT7:SD vs. ZT9:control (∗∗p = 0.0033), ZT7:SD vs. ZT12:control (∗∗∗∗p ≤ 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0035), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (∗p = 0.0185), ZT9:SD vs. ZT12:control (∗p = 0.0443).(C) Bar graph depicting the Fos-positive fraction of Lhx6-negative cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.30, p < 0.0001) and sleep deprivation (SD) (F = 7.31, p = 0.0100) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: ZT0:control vs. ZT12:control (∗∗p = 0.0056), ZT0:control vs. ZT14:control (∗p = 0.0152), ZT0:SD vs. ZT12:SD (∗∗p = 0.0056), ZT0:SD vs. ZT14:SD (∗p = 0.0152), ZT6:control vs. ZT12:control (∗p = 0.0219), ZT6:SD vs. ZT12:SD (∗p = 0.0219), ZT7:SD vs. ZT9:control (∗p = 0.0280), ZT7:SD vs. ZT12:control (∗∗p = 0.0022), ZT7:SD vs. ZT14:control (∗∗p = 0.0060). N = 46 for all graphs listed (25 control mice, 21 SD mice).(D) In situ hybridization showing Lhx6 (green) and Fos (red) expression (whose nuclei are visualized with DAPI, blue) in response to control (ZT6, scale bars, 20 μm) and sleep deprivation conditions: sleep deprivation (SD, scale bars, 20 μm), sleep deprivation with 1 h recovery sleep (SDRS1, scale bars, 50 μm), sleep deprivation with 3 h recovery sleep (SDRS3, scale bars, 20 μm). White arrows indicate Lhx6-Fos positive cells. Data are represented as mean ± SD.\nInduced sleep deprivation induces Fos expression in both Lhx6-positive and Lhx6-negative cells\n(A) Bar graph depicting the Fos-positive fraction of total cells in the undisturbed control and following experimentally-induced sleep deprivation. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 6.46, p = 0.0002) and sleep deprivation (SD) (F = 10.18, p = 0.0028) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) control ZT0 vs. control ZT12 (∗p = 0.0117), control ZT0 vs. control ZT14 (∗p = 0.0415), SD ZT0 vs. SD ZT12 (SDRS6, ∗p = 0.0117), SD ZT0 vs. ZT14 SD (∗p = 0.0415), control ZT6 vs. control ZT12 (∗p = 0.0274), SD ZT6 vs. SD ZT12 (SDRS8, ∗p = 0.0274), SD ZT7 (SDRS1) vs. control ZT9 (∗p = 0.0256), SD ZT7 (SDRS1) vs. control ZT12 (∗∗∗p = 0.0006), SD ZT7 (SDRS1) vs. SD ZT12 (SDRS6) (∗p = 0.0393), SD ZT7 (SDRS1) vs. control ZT14 (∗∗p = 0.0022).\n(B) Bar graph depicts the Fos-positive fraction of Lhx6-positive cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.34, p < 0.0001) and sleep deprivation (SD) (F = 9.32, p = 0.0040) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) ZT0:control vs. ZT12:control (∗∗p = 0.0068), ZT0:SD vs. ZT12:SD (∗∗p = 0.0068), ZT6:control vs. ZT7:SD (∗p = 0.0221), ZT6:control vs. ZT12:control (∗p = 0.0261), ZT6:SD vs. ZT12:SD (∗p = 0.0261), ZT7:SD vs. ZT9:control (∗∗p = 0.0033), ZT7:SD vs. ZT12:control (∗∗∗∗p ≤ 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0035), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (∗p = 0.0185), ZT9:SD vs. ZT12:control (∗p = 0.0443).\n(C) Bar graph depicting the Fos-positive fraction of Lhx6-negative cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.30, p < 0.0001) and sleep deprivation (SD) (F = 7.31, p = 0.0100) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: ZT0:control vs. ZT12:control (∗∗p = 0.0056), ZT0:control vs. ZT14:control (∗p = 0.0152), ZT0:SD vs. ZT12:SD (∗∗p = 0.0056), ZT0:SD vs. ZT14:SD (∗p = 0.0152), ZT6:control vs. ZT12:control (∗p = 0.0219), ZT6:SD vs. ZT12:SD (∗p = 0.0219), ZT7:SD vs. ZT9:control (∗p = 0.0280), ZT7:SD vs. ZT12:control (∗∗p = 0.0022), ZT7:SD vs. ZT14:control (∗∗p = 0.0060). N = 46 for all graphs listed (25 control mice, 21 SD mice).\n(D) In situ hybridization showing Lhx6 (green) and Fos (red) expression (whose nuclei are visualized with DAPI, blue) in response to control (ZT6, scale bars, 20 μm) and sleep deprivation conditions: sleep deprivation (SD, scale bars, 20 μm), sleep deprivation with 1 h recovery sleep (SDRS1, scale bars, 50 μm), sleep deprivation with 3 h recovery sleep (SDRS3, scale bars, 20 μm). White arrows indicate Lhx6-Fos positive cells. Data are represented as mean ± SD.\nWe next investigated the effects of induced sleep pressure, specifically the use of continuous gentle brushing to induce SD between ZT0 and ZT6.13,29 We observe a significant increase in Fos expression at ZT7, 1 h following initiation of recovery sleep, in Lhx6-positive cells relative to ZT6 controls (Figures 2B and 2D), but not in Lhx6-negative cells (Figure 2C). Substantial numbers of Fos-positive neurons are still observed following 3 h of recovery sleep at ZT9, with Lhx6-positive cells showing a significantly higher fraction of Fos-positive cells in this condition than Lhx6-negative cells (Figure 3A). In both Lhx6-positive (Figure 2B) and Lhx6-negative (Figure 2C) cells, significantly reduced number of Fos-positive cells is observed after 6 h of recovery sleep at ZT12. A significantly higher number of Lhx6-positive cells also showed strong levels of Fos expression in response to elevated sleep pressure (Figures 3C and 3F). This indicates that both Lhx6-positive and Lhx6-negative ZI neurons show increased activity in response to induced sleep pressure, but that Lhx6-positive cells show overall stronger and more persistent patterns of activity as sleep pressure is dissipated (Figures 3A–3F).Figure 3Sleep pressure-dependent Fos induction is stronger in Lhx6-positive than in Lhx6-negative cells(A) Bar graph compares the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) across all ZT points solely under sleep deprivation (SD). Using GraphPad Prism, a repeated measures two-way ANOVA was run to analyze the effects of cell type (Lhx6-positive and Lhx6-negative) and ZT time on Fos expression post SD. Points were matched based on sample (i.e., mouse #1 has both Lhx6-positive and Lhx6-negative cells) for the two-way ANOVA; followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 5.93, p = 0.0028) and cell type (F = 50.10, p < 0.0001). Tukey’s multiple comparisons test revealed significant differences between: ZT6: Lhx6-negative vs. ZT12: Lhx6-negative (∗∗p = 0.0053), ZT6: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0159), ZT7: Lhx6-negative vs. ZT12: Lhx6-negative (∗p = 0.0150), ZT7: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0439), ZT7: Lhx6-negative vs. ZT7: Lhx6-positive (∗∗p = 0.0012), ZT9: Lhx6-negative vs. ZT9: Lhx6-positive (∗∗∗∗p < 0.0001), ZT12: Lhx6-negative vs. ZT12: Lhx6-positive (∗p = 0.0497), ZT14: Lhx6-negative vs. ZT14: Lhx6-positive (∗∗p = 0.0094), ZT6: Lhx6-positive vs. ZT12: Lhx6-positive (∗p = 0.0139), ZT7: Lhx6-positive vs. ZT12: Lhx6-positive (∗∗p = 0.0019), ZT7: Lhx6-positive vs. ZT14: Lhx6-positive (∗∗p = 0.0092).(B) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints (ZT0 through ZT14) under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).(C) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under induced sleep deprivation. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).(D) In situ hybridization illustrates examples of high Fos-positive cells (red arrow), low Fos-positive cells (orange), and Fos-negative nuclei (orange). Scale bars, 20 μm.(E) Bar graph depicts the high expressing (expressing 6+ foci) Fos positive fraction of Lhx6 negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01).(F) Bar graph depicts the high expressing Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control time points under induced sleep deprivation. A paired t test showed significant differences between the Fos positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01). N = 46 (25 control mice, 21 SD mice) for all graphs. Data are represented as mean ± SD.\nSleep pressure-dependent Fos induction is stronger in Lhx6-positive than in Lhx6-negative cells\n(A) Bar graph compares the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) across all ZT points solely under sleep deprivation (SD). Using GraphPad Prism, a repeated measures two-way ANOVA was run to analyze the effects of cell type (Lhx6-positive and Lhx6-negative) and ZT time on Fos expression post SD. Points were matched based on sample (i.e., mouse #1 has both Lhx6-positive and Lhx6-negative cells) for the two-way ANOVA; followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 5.93, p = 0.0028) and cell type (F = 50.10, p < 0.0001). Tukey’s multiple comparisons test revealed significant differences between: ZT6: Lhx6-negative vs. ZT12: Lhx6-negative (∗∗p = 0.0053), ZT6: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0159), ZT7: Lhx6-negative vs. ZT12: Lhx6-negative (∗p = 0.0150), ZT7: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0439), ZT7: Lhx6-negative vs. ZT7: Lhx6-positive (∗∗p = 0.0012), ZT9: Lhx6-negative vs. ZT9: Lhx6-positive (∗∗∗∗p < 0.0001), ZT12: Lhx6-negative vs. ZT12: Lhx6-positive (∗p = 0.0497), ZT14: Lhx6-negative vs. ZT14: Lhx6-positive (∗∗p = 0.0094), ZT6: Lhx6-positive vs. ZT12: Lhx6-positive (∗p = 0.0139), ZT7: Lhx6-positive vs. ZT12: Lhx6-positive (∗∗p = 0.0019), ZT7: Lhx6-positive vs. ZT14: Lhx6-positive (∗∗p = 0.0092).\n(B) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints (ZT0 through ZT14) under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).\n(C) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under induced sleep deprivation. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).\n(D) In situ hybridization illustrates examples of high Fos-positive cells (red arrow), low Fos-positive cells (orange), and Fos-negative nuclei (orange). Scale bars, 20 μm.\n(E) Bar graph depicts the high expressing (expressing 6+ foci) Fos positive fraction of Lhx6 negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01).\n(F) Bar graph depicts the high expressing Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control time points under induced sleep deprivation. A paired t test showed significant differences between the Fos positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01). N = 46 (25 control mice, 21 SD mice) for all graphs. Data are represented as mean ± SD.\nFinally, we analyzed spatial differences in the patterns of sleep pressure-induced changes in Fos expression in Lhx6-positive cells (Figure S5). While natural variation in sleep pressure consistently resulted in only very small fractions of cells showing high levels (>5 pixels/cell) of Fos expression at all points along the anterior-posterior axis of the ZI, at early stages of SD, far higher numbers of Lhx6-positive cells showed high levels of Fos expression. This effect was strongest immediately after SD and even stronger following 1 h recovery sleep, but decreased dramatically after 3 h of recovery sleep. This indicates that induced SD initially induces significantly higher cellular levels of Fos expression in Lhx6-positive ZI cells than does naturally induced changes in levels of sleep pressure.\nWe next analyzed patterns of Fos expression in molecularly distinct subtypes of Lhx6-positive and Lhx6-negative ZI cells in response to changes in sleep pressure. Like Lhx6 itself, none of the additional molecular markers tested showed any significant sleep pressure-dependent changes in gene expression (Figure S6). Cck expression, however, did show time of day-dependent changes, with highest expression observed at ZT0 and ZT6, and significantly reduced expression at later time points. However, similar changes were detected under conditions of induced sleep pressure, indicating that while Cck expression may be under circadian regulation, it is not significantly regulated by either naturally occurring or induced changes in sleep pressure.\nAll subtypes of Lhx6-positive cells showed significant decreases in the numbers of Fos-positive cells under conditions of low sleep pressure (ZT12) relative to high sleep pressure (ZT0) in unstimulated animals and also, with the exception of Lhx6-positive/Calb2-positive cells, between moderate (ZT6) and low sleep pressure (Figures 4A–4E). This was likewise the case for induced sleep pressure, where significant decreases were observed between the SD samples at ZT6 (end of SD treatment) and/or ZT7 (SD with 1 h of recovery sleep) and ZT12 (SD with 6 h of recovery sleep), where only Lhx6-positive/Calb2-positive cells failed to show significant decreases in Fos expression (Figures 4A–4E). We further observe that Lhx6-negative cells that express these markers show broadly similar patterns of sleep pressure-dependent Fos induction relative to Lhx6-positive cells mirroring the broader response kinetics of Lhx6-positive and Lhx6-negative ZI cells (Figures S7A–S7E). Cck and Calb2 being the exceptions (Figures S7B and S7C); with kinetics resembling those of naturally occurring sleep pressure indicating that cells expressing Cck and Calb2 without Lhx6 may be under circadian regulation and less responsive to induced SD.Figure 4Lhx6-positive ZI cells expressing cell subtype-specific markers show similar changes in Fos induction in response to naturally occurring and experimentally-induced changes in sleep pressureBar graphs depicting the Fos-positive fraction of marker-positive, Lhx6-positive nuclei under naturally occurring (gray) and induced sleep pressure (colored). A two-way ANOVA, followed by Tukey’s multiple comparisons test, was run on all data. F-statistics for ZT time and experimental group (control vs. SD) will be listed respectively.(A) Calb1 (N = 41: 20 control mice, 21 SD mice) (blue, F = 9.02, 6.22). Significant differences: ZT0:control vs. ZT12:control (∗∗p = 0.0020), ZT0:SD vs. ZT12:SD (∗∗∗∗p = 0.0008), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0012), ZT7:SD vs. ZT14:SD (∗p = 0.0224), ZT9:SD vs. ZT12:control (∗p = 0.0132).(B) Calb2 (N = 46: 25 control mice, 21 SD mice) (red, F = 5.96, 3.78). Significant differences: ZT0:control vs. ZT6:control (∗∗p = 0.0063), ZT0:control vs. ZT12:control (∗∗p = 0.0032), ZT0:control vs. ZT14:control (∗∗p = 0.0078), ZT0:SD vs. ZT6:SD (p = 0.0063), ZT0:SD vs. ZT12:SD (p = 0.0032), ZT0:SD vs. ZT14:SD (∗∗p = 0.0078), ZT7:SD vs. ZT12:control (∗p = 0.0431).(C) Cck (N = 41: 20 control mice, 21 SD mice) (yellow, F = 9.34, 8.09). Significant differences: ZT0:control vs. ZT9:control (∗p = 0.0171), ZT0:control vs. ZT12:control (∗∗∗p = 0.0003), ZT0:control vs. ZT14:control (∗∗p = 0.0045), ZT0:SD vs. ZT9:SD (∗p = 0.0171), ZT0:SD vs. ZT12:SD (∗∗∗p = 0.0003), ZT0:SD vs. ZT14:SD (∗∗p = 0.0045), ZT6:control vs. ZT12:control (∗p = 0.0117), ZT6:SD vs. ZT12:SD (∗p = 0.0117), ZT7:SD vs. ZT9:control (∗∗p = 0.0072), ZT7:SD vs. ZT12:control (∗∗∗p = 0.0002), ZT7:SD vs. ZT12:SD (∗p = 0.0106), ZT7:SD vs. ZT14:control (∗∗p = 0.0023).(D) Nfia (N = 46: 25 control mice, 21 SD mice) (purple, F = 7.03, 9.47). Significant differences: ZT0:control vs. ZT12:control (∗p = 0.0181), ZT0:SD vs. ZT12:SD (∗p = 0.0181), ZT6:control vs. ZT7:SD (∗p = 0.0328), ZT6:control vs. ZT12:control (∗p = 0.0137), ZT6:SD vs. ZT12:SD (∗p = 0.0137), ZT7:SD vs. ZT9:control (∗∗p = 0.0069), ZT7:SD vs. ZT12:control (∗∗∗∗p < 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0034), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (p = 0.0199).(E) Nkx2-2 (N = 46: 25 control mice, 21 SD mice) (orange, F = 5.489, 7.95) ZT0:control vs. ZT12:control (∗p = 0.0215), ZT0:SD vs. ZT12:SD (∗p = 0.0215), ZT6:control vs. ZT12:control (∗p = 0.0169), ZT6:SD vs. ZT12:SD (∗p = 0.0169). Data are represented as mean ± SD.\nLhx6-positive ZI cells expressing cell subtype-specific markers show similar changes in Fos induction in response to naturally occurring and experimentally-induced changes in sleep pressure\nBar graphs depicting the Fos-positive fraction of marker-positive, Lhx6-positive nuclei under naturally occurring (gray) and induced sleep pressure (colored). A two-way ANOVA, followed by Tukey’s multiple comparisons test, was run on all data. F-statistics for ZT time and experimental group (control vs. SD) will be listed respectively.\n(A) Calb1 (N = 41: 20 control mice, 21 SD mice) (blue, F = 9.02, 6.22). Significant differences: ZT0:control vs. ZT12:control (∗∗p = 0.0020), ZT0:SD vs. ZT12:SD (∗∗∗∗p = 0.0008), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0012), ZT7:SD vs. ZT14:SD (∗p = 0.0224), ZT9:SD vs. ZT12:control (∗p = 0.0132).\n(B) Calb2 (N = 46: 25 control mice, 21 SD mice) (red, F = 5.96, 3.78). Significant differences: ZT0:control vs. ZT6:control (∗∗p = 0.0063), ZT0:control vs. ZT12:control (∗∗p = 0.0032), ZT0:control vs. ZT14:control (∗∗p = 0.0078), ZT0:SD vs. ZT6:SD (p = 0.0063), ZT0:SD vs. ZT12:SD (p = 0.0032), ZT0:SD vs. ZT14:SD (∗∗p = 0.0078), ZT7:SD vs. ZT12:control (∗p = 0.0431).\n(C) Cck (N = 41: 20 control mice, 21 SD mice) (yellow, F = 9.34, 8.09). Significant differences: ZT0:control vs. ZT9:control (∗p = 0.0171), ZT0:control vs. ZT12:control (∗∗∗p = 0.0003), ZT0:control vs. ZT14:control (∗∗p = 0.0045), ZT0:SD vs. ZT9:SD (∗p = 0.0171), ZT0:SD vs. ZT12:SD (∗∗∗p = 0.0003), ZT0:SD vs. ZT14:SD (∗∗p = 0.0045), ZT6:control vs. ZT12:control (∗p = 0.0117), ZT6:SD vs. ZT12:SD (∗p = 0.0117), ZT7:SD vs. ZT9:control (∗∗p = 0.0072), ZT7:SD vs. ZT12:control (∗∗∗p = 0.0002), ZT7:SD vs. ZT12:SD (∗p = 0.0106), ZT7:SD vs. ZT14:control (∗∗p = 0.0023).\n(D) Nfia (N = 46: 25 control mice, 21 SD mice) (purple, F = 7.03, 9.47). Significant differences: ZT0:control vs. ZT12:control (∗p = 0.0181), ZT0:SD vs. ZT12:SD (∗p = 0.0181), ZT6:control vs. ZT7:SD (∗p = 0.0328), ZT6:control vs. ZT12:control (∗p = 0.0137), ZT6:SD vs. ZT12:SD (∗p = 0.0137), ZT7:SD vs. ZT9:control (∗∗p = 0.0069), ZT7:SD vs. ZT12:control (∗∗∗∗p < 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0034), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (p = 0.0199).\n(E) Nkx2-2 (N = 46: 25 control mice, 21 SD mice) (orange, F = 5.489, 7.95) ZT0:control vs. ZT12:control (∗p = 0.0215), ZT0:SD vs. ZT12:SD (∗p = 0.0215), ZT6:control vs. ZT12:control (∗p = 0.0169), ZT6:SD vs. ZT12:SD (∗p = 0.0169). Data are represented as mean ± SD.\nPrevious studies have shown that Lhx6-positive/Nkx2-2-positive ZI neurons are activated by increased sleep pressure, and that global loss of function of Nkx2-2 led to a significant reduction in the number of hypothalamic Lhx6-positive neurons by E18.5.15 In light of these findings, we sought to further investigate the role of Nkx2-2 in regulating the organization and function of Lhx6 neurons in the adult ZI. To investigate the potential role of Nkx2-2 in development and function of Lhx6-positive ZI neurons, we used intersectional genetic analysis to selectively inactivate Nkx2-2 in Lhx6-positive neurons by generating Lhx6-Cre;Nkx2-2lox/lox mice30,31,32 (Figure 5A). This resulted in the expected number of liveborn Lhx6-Cre;Nkx2-2lox/l+ and Lhx6-Cre;Nkx2-2lox/lox offspring (Figure S10).Figure 5Lhx6-Cre;Nkx2-2lox/lox mice show reduced expression of both Lhx6 and Nkx2-2 in zona incerta(A) Diagram depicting the expression of Lhx6 (green) in the coronally sliced mouse brain (left). Diagram depicting Lhx6-Cre-mediated deletion of Nkx2-2 (right).(B) Bar graph depicting the fraction of Lhx6-Nkx2-2 positive cells of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA (F = 4.19), followed by Tukey’s multiple comparisons test revealed significant differences: WT vs. HOMO (∗∗p = 0.0038). (N = 18: WT = 11, HET = 3, HOMO = 4).(C) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive nuclei of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). Data did not pass tests for normality, so the non-parametric Kruskal-Wallis test was used (F = 8.213), followed by Dunn’s multiple comparisons test revealed Significant differences: HET vs. HOMO (∗p = 0.0194). (N = 12: WT = 5, HET = 3, HOMO = 4).(D) Bar graph depicting the fraction of Lhx6-positive cells of total nuclei in the cortex (CTX) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).(E) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive cells of total nuclei in the lateral hypothalamus (LH) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).(F–I) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (ZI, F–G), lateral hypothalamus (LH, H), and the Cortex (CTX, I) in wildtype (WT) mice.(J–M) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/+ (HET) mice.(N–Q) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice. 20 μm scale bars on all images. Data are represented as mean ± SD.\nLhx6-Cre;Nkx2-2lox/lox mice show reduced expression of both Lhx6 and Nkx2-2 in zona incerta\n(A) Diagram depicting the expression of Lhx6 (green) in the coronally sliced mouse brain (left). Diagram depicting Lhx6-Cre-mediated deletion of Nkx2-2 (right).\n(B) Bar graph depicting the fraction of Lhx6-Nkx2-2 positive cells of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA (F = 4.19), followed by Tukey’s multiple comparisons test revealed significant differences: WT vs. HOMO (∗∗p = 0.0038). (N = 18: WT = 11, HET = 3, HOMO = 4).\n(C) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive nuclei of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). Data did not pass tests for normality, so the non-parametric Kruskal-Wallis test was used (F = 8.213), followed by Dunn’s multiple comparisons test revealed Significant differences: HET vs. HOMO (∗p = 0.0194). (N = 12: WT = 5, HET = 3, HOMO = 4).\n(D) Bar graph depicting the fraction of Lhx6-positive cells of total nuclei in the cortex (CTX) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).\n(E) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive cells of total nuclei in the lateral hypothalamus (LH) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).\n(F–I) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (ZI, F–G), lateral hypothalamus (LH, H), and the Cortex (CTX, I) in wildtype (WT) mice.\n(J–M) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/+ (HET) mice.\n(N–Q) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice. 20 μm scale bars on all images. Data are represented as mean ± SD.\nMutant animals were grossly normal in outward appearance, body weight, and locomotor behavior. However, Lhx6-Cre;Nkx2-2lox/lox mutant animals showed significantly reduced numbers of Lhx6-positive/Nkx2-2-positive as well as Slc32a1-positive/Nkx2-2-positive GABAergic neurons in the ZI, indicating the efficiency of the intersectional mutant (Figures 5B and 5C). The specificity of the intersectional mutant was evident by the fact that the relative number of Lhx6-positive cortical neurons (where Nkx2-2 is not expressed) and Slc32a1-positive/Nkx2-2-positive GABAergic neurons in the lateral hypothalamus (where Lhx6-Cre is not active), were unchanged across all genotypes examined (Figure 5D). This confirms that the loss of function of Nkx2-2 in Lhx6-positive neural precursors selectively disrupts formation of Lhx6-positive neurons in the ZI, and implies that this leads to the observed defects in sleep-wake regulation.\nA non-significant trend toward reduced numbers of Lhx6-positive/Nkx2-2-positive was also observed in heterozygous Lhx6-Cre;Nkx2-2lox/+ mice, indicating a possible dose-dependent requirement for Nkx2-2 in the development of Lhx6-positive ZI neurons (Figures 5B and 5C). Loss of both Lhx6-positive and Nkx2-2-positive cells was evident across all positions on the anterior-posterior axis of the ZI (Figure S11).\nLoss of function of Nkx2-2 also disrupted expression of a subset of other subtype-specific markers of Lhx6-positive ZI neurons (Figure 6). Relative to wildtype animals, we observe significant reductions in the relative number of Calb1, Calb2, and Cck in both heterozygous Lhx6-Cre;Nkx2-2lox/+ and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants, as well as between wildtype animals and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants. We also observe a trend toward reduced expression of all probes in the medial ZI, and a corresponding relative increase in both the anterior and, in particular, the posterior ZI. In heterozygous Lhx6-Cre;Nkx2-2lox/+ mice, a similar redistribution was observed for Lhx6. Although the total number of Slc32a1-positive cells in the ZI was unchanged across all genotypes examined, the relative number of cells showing strong (>5 pixels/cell) Slc32a1 expression was reduced in homozygous Lhx6-Cre;Nkx2-2lox/lox mutants relative to Lhx6-Cre;Nkx2-2lox/+ heterozygotes.Figure 6Lhx6-Cre;Nkx2-2lox/lox mice show reduced expression of cell subtype-specific markers in zona incerta(A) Bar graph depicting the marker (from left to right: Calb1 (N: WT = 6, HET = 3, HOMO = 4), Calb2 (N: WT = 11, HET = 3, HOMO = 4), Cck (N: WT = 6, HET = 3, HOMO = 4), Nfia (N: WT = 11, HET = 3, HOMO = 4), Slc32a1 (N: WT = 5, HET = 3, HOMO = 4), Fos (N: WT = 11, HET = 3, HOMO = 4) positive fraction of total nuclei, at ZT6, across experimental groups: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), Lhx6-Cre;Nkx2-2lox/lox (HOMO, blue). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 41.17, p < 0.0001). Significant differences were found between wildtype and HET in the expression of Calb1 (∗∗p = 0.0065), Calb2 (∗p = 0.0175), Cck (∗∗∗∗p = 0.0001), and Fos (∗p = 0.0320); as well as between wildtype and homo in the expression of Calb1 (∗∗p = 0.0015), Calb2 (∗∗p = 0.0098), Cck (∗∗∗∗p=<0.0001), Nfia (∗p = 0.0078), and Fos (∗∗p = 0.0032).(B–G) Bar graphs depicting the fraction of marker positive nuclei (high expressing, red; low expressing, blue) of total nuclei, along the anterior to posterior axis, across experimental groups at ZT6. Right, wildtype (WT); middle, Lhx6-Cre;Nkx2-2lox/+ (HET); left, Lhx6-Cre;Nkx2-2lox/lox (HOMO). No statistical analysis conducted due to HET and HOMO samples containing N < 2 per location.\nLhx6-Cre;Nkx2-2lox/lox mice show reduced expression of cell subtype-specific markers in zona incerta\n(A) Bar graph depicting the marker (from left to right: Calb1 (N: WT = 6, HET = 3, HOMO = 4), Calb2 (N: WT = 11, HET = 3, HOMO = 4), Cck (N: WT = 6, HET = 3, HOMO = 4), Nfia (N: WT = 11, HET = 3, HOMO = 4), Slc32a1 (N: WT = 5, HET = 3, HOMO = 4), Fos (N: WT = 11, HET = 3, HOMO = 4) positive fraction of total nuclei, at ZT6, across experimental groups: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), Lhx6-Cre;Nkx2-2lox/lox (HOMO, blue). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 41.17, p < 0.0001). Significant differences were found between wildtype and HET in the expression of Calb1 (∗∗p = 0.0065), Calb2 (∗p = 0.0175), Cck (∗∗∗∗p = 0.0001), and Fos (∗p = 0.0320); as well as between wildtype and homo in the expression of Calb1 (∗∗p = 0.0015), Calb2 (∗∗p = 0.0098), Cck (∗∗∗∗p=<0.0001), Nfia (∗p = 0.0078), and Fos (∗∗p = 0.0032).\n(B–G) Bar graphs depicting the fraction of marker positive nuclei (high expressing, red; low expressing, blue) of total nuclei, along the anterior to posterior axis, across experimental groups at ZT6. Right, wildtype (WT); middle, Lhx6-Cre;Nkx2-2lox/+ (HET); left, Lhx6-Cre;Nkx2-2lox/lox (HOMO). No statistical analysis conducted due to HET and HOMO samples containing N < 2 per location.\nWe next used Xenium-based spatial transcriptomic analysis to more comprehensively analyze gene expression in the wildtype using a 347 gene panel, which consisted of the Xenium mouse brain probeset33 and 100 additional probes chosen for their selective expression in major hypothalamic cell types.23 Here, we had a particular interest in identifying genes that were differentially expressed between Lhx6/Nkx2-2 positive and negative neurons, in hopes of identifying additional neuronal subtypes, as well as additional molecular targets for future analysis. Segmenting cells from the ZI and adjacent tissues and performing UMAP analysis for the expressed genes identified discrete clusters of glutamatergic and GABAergic neurons, as well as such non-neuronal cell types as astrocytes, oligodendrocyte precursor cells, mature oligodendrocytes, endothelial cells, and microglia (Figure 7C). We next subclustered the GABAergic Lhx6 neuronal population, and identified a subpopulation corresponding to the Lhx6-positive ZI neurons (Figures 7E–7G). This analysis confirmed the anterior-posterior gradient in the relative number of Lhx6-expressing cells in wildtype animals observed using HiPlex analysis (Figure 7H). We identify additional genes enriched in Nkx2-2-positive and Nkx2-2-negative cell types, and identify further subclusters within these (Figure S12).Figure 7Xenium-based analysis of Lhx6-positive ZI cells(A) UMAP depicts the clustering of wildtype anterior, medial, and posterior samples.(B) UMAP identifies 16 clusters in wildtype anterior, medial, and posterior samples.(C) UMAP depicts major cell types.(D) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus.(E) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus with Lhx6-expressing ZI neurons highlighted (red with red arrow).(F) UMAP identifying the GABAergic Lhx6 population.(G) UMAP depicts subclusters of GABAergic Lhx6-positive cells after additional filtration of cells expressing astrocyte, glial, and glutamatergic markers.(H) UMAP depicts subclusters of GABAergic Lhx6 neurons distributed along the anterior to posterior axis.\nXenium-based analysis of Lhx6-positive ZI cells\n(A) UMAP depicts the clustering of wildtype anterior, medial, and posterior samples.\n(B) UMAP identifies 16 clusters in wildtype anterior, medial, and posterior samples.\n(C) UMAP depicts major cell types.\n(D) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus.\n(E) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus with Lhx6-expressing ZI neurons highlighted (red with red arrow).\n(F) UMAP identifying the GABAergic Lhx6 population.\n(G) UMAP depicts subclusters of GABAergic Lhx6-positive cells after additional filtration of cells expressing astrocyte, glial, and glutamatergic markers.\n(H) UMAP depicts subclusters of GABAergic Lhx6 neurons distributed along the anterior to posterior axis.\nWe next tested whether the reduction in the number of Lhx6-positive cells was reflected in defective activation of remaining ZI cells in response to elevated sleep pressure. In both heterozygous Lhx6-Cre;Nkx2-2lox/+ and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants, we observe dramatic reductions in the number of total Fos-positive neurons under conditions of both moderate (ZT6), moderately high (SD + 3 h recovery sleep) and high (ZT6 + 6 h of SD) sleep pressure (Figure 8). The few remaining Lhx6-positive/Nkx2-2-positive ZI cells likewise showed reduced levels of overall activation and no clear changes in activity in response to altered sleep pressure. High levels of Fos expression were likewise not observed in cells at any point along the anterior-posterior axis of the ZI (Figure S13).Figure 8Lhx6-Cre;Nkx2-2lox/lox mice fail to induce Fos in response to experimentally induced sleep deprivation(A–C) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in wildtype (WT) at ZT6 (A), after sleep deprivation (SD, B), and after sleep deprivation with 3 h of recovery sleep (SDRS3, C).(D) Bar graph depicts the Fos-positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 37.09, ∗∗∗∗p < 0.0001). Significant differences were found between the wildtype and HET at ZT6 (∗p = 0.0354), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗p = 0.0037); as well as the wildtype and HOMO at ZT6 (∗∗p = 0.0045), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗∗∗p < 0.0001).(E–G) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/+ (HET) mice at ZT6 (E), after sleep deprivation (SD, F), and after sleep deprivation with 3 h of recovery sleep (SDRS3, G).(H) Bar graph depicts the Lhx6-Nkx2-2 positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 11, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 44.19, ∗∗∗∗p < 0.0001). Significant differences were found between wildtype and HET at SD (∗∗p = 0.0015) and SDRS3 (∗∗∗∗p < 0.0001); as well as the wildtype and HOMO at ZT6 (∗p = 0.0235), SD (∗∗∗p = 0.0009), and SDRS3 (∗∗∗∗p < 0.0001).(I–K) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice at ZT6 (I), after sleep deprivation (SD, J), and after sleep deprivation with 3 h of recovery sleep (SDRS3, K).(L) Bar graph depicts the Fos positive fraction of Lhx6-Nkx2-2 positive nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 27.51, p < 0.0001). Significant differences were found between the wildtype and HET at SD (∗∗∗p = 0.0007) and SDRS3 (∗∗∗p = 0.0008); as well as the wildtype and HOMO at ZT6 (∗p = 0.0259), SD (∗∗p = 0.0012), and SDRS3 (∗∗∗∗p = 0.0001). Data are represented as mean ± SD.\nLhx6-Cre;Nkx2-2lox/lox mice fail to induce Fos in response to experimentally induced sleep deprivation\n(A–C) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in wildtype (WT) at ZT6 (A), after sleep deprivation (SD, B), and after sleep deprivation with 3 h of recovery sleep (SDRS3, C).\n(D) Bar graph depicts the Fos-positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 37.09, ∗∗∗∗p < 0.0001). Significant differences were found between the wildtype and HET at ZT6 (∗p = 0.0354), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗p = 0.0037); as well as the wildtype and HOMO at ZT6 (∗∗p = 0.0045), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗∗∗p < 0.0001).\n(E–G) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/+ (HET) mice at ZT6 (E), after sleep deprivation (SD, F), and after sleep deprivation with 3 h of recovery sleep (SDRS3, G).\n(H) Bar graph depicts the Lhx6-Nkx2-2 positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 11, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 44.19, ∗∗∗∗p < 0.0001). Significant differences were found between wildtype and HET at SD (∗∗p = 0.0015) and SDRS3 (∗∗∗∗p < 0.0001); as well as the wildtype and HOMO at ZT6 (∗p = 0.0235), SD (∗∗∗p = 0.0009), and SDRS3 (∗∗∗∗p < 0.0001).\n(I–K) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice at ZT6 (I), after sleep deprivation (SD, J), and after sleep deprivation with 3 h of recovery sleep (SDRS3, K).\n(L) Bar graph depicts the Fos positive fraction of Lhx6-Nkx2-2 positive nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 27.51, p < 0.0001). Significant differences were found between the wildtype and HET at SD (∗∗∗p = 0.0007) and SDRS3 (∗∗∗p = 0.0008); as well as the wildtype and HOMO at ZT6 (∗p = 0.0259), SD (∗∗p = 0.0012), and SDRS3 (∗∗∗∗p = 0.0001). Data are represented as mean ± SD.\nFinally, we examined sleep patterns in control Lhx6-Cre mice and heterozygous Lhx6-Cre;Nkx2-2lox/+ and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants using the Piezo system34 (Figure 9). Relative to control animals, heterozygous Lhx6-Cre;Nkx2-2lox/+ mice showed increased sleep time during the day, but no change in either total nighttime sleep, or either daytime or nighttime sleep bout length. In contrast, homozygous Lhx6-Cre;Nkx2-2lox/lox showed significantly increased sleep time and sleep bout length during both day and night relative to both heterozygotes and, with exception of nighttime sleep bout length, controls.Figure 9Total sleep is increased in Lhx6-Cre;Nkx2-2lox/lox mice(A) Bar graph depicts the percent of time spent asleep during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+(gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/+ (p ≤ 0.05) as well as Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01).(B) Bar graph depicts the percent of time spent asleep at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).(C) Box and whisker plot depicts the duration of sleep bouts, in minutes, during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).(D) Box and whisker plot depicts the duration of sleep bouts, in minutes, at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). A significant difference was found between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox. One-way ANOVA analysis followed by post hoc Tukey’s multiple comparisons tests was performed for data shown in A, B, and D, where data are normally distributed. For C, where data were non-normally distributed, Kruskall-Wallis tests followed by post hoc Dunn’s tests were performed. Data are represented as mean ± SD.\nTotal sleep is increased in Lhx6-Cre;Nkx2-2lox/lox mice\n(A) Bar graph depicts the percent of time spent asleep during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+(gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/+ (p ≤ 0.05) as well as Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01).\n(B) Bar graph depicts the percent of time spent asleep at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).\n(C) Box and whisker plot depicts the duration of sleep bouts, in minutes, during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).\n(D) Box and whisker plot depicts the duration of sleep bouts, in minutes, at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). A significant difference was found between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox. One-way ANOVA analysis followed by post hoc Tukey’s multiple comparisons tests was performed for data shown in A, B, and D, where data are normally distributed. For C, where data were non-normally distributed, Kruskall-Wallis tests followed by post hoc Dunn’s tests were performed. Data are represented as mean ± SD.\n\n\n### Multiplexed single-molecule fISH analysis of Lhx6-positive ZI neurons\nTo characterize spatial, temporal, and subtype-dependent differences in the patterns of activation of Lhx6-positive ZI neurons, we used the HiPlex platform (ACD Bio) to simultaneously profile up to 12 different probes under a broad range of naturally occurring and induced changes in sleep pressure. The probes used for this analysis included Lhx6, Fos, and Slc32a1, which broadly labels GABAergic neurons in the ZI,18,25 as well as molecular markers previously identified as labeling distinct subtypes of Lhx6-positive ZI neurons.15,16,25,26,27 These additional probes included Nkx2-2, Calb1, Calb2, Nfia, Cck, Penk, Pvalb, Gal, Nos1, and Pnoc. Initial analysis of these subtype-specific markers indicated that Nkx2-2, Calb1, Calb2, Nfia, and Cck gave the strongest and most robust signal, and these were used for subsequent analysis (Table 1).Table 1Hiplex probes used in the studyRound/ChannelFluorophore1st Iteration2ND Iteration3rd IterationR1:T1488 (green)Lhx6In dataLhx6In dataLhx6In dataR1:T2550 (orange)Nkx2-2In dataFosIn dataNkx2-2In dataR1:T3647N (far red)NfiaIn dataNkx2-2In dataNfiaIn dataR1:T4750 (near red)Calb1In dataSlc17a6Not in data analysisCalb1In dataR1:T5488 (green)Calb2In dataSlc32a1In dataCalb2In dataR2:T6550 (orange)NfixRemovedNfiaIn dataSlc32a1In dataR2:T7647N (far red)FosIn dataNfixRemovedFosIn dataR2:T8750 (near red)CckIn dataCckIn dataCckIn dataR3:T9488 (green)Nos1RemovedNos1RemovedNos1RemovedR3:T10550 (orange)PnocRemovedPvalbTD∗PvalbTDR3:T11647N (far red)PenkTDPenkTDPenkTDR3:T12750 (near red)GalTDGalTDGalTDProbes used in each iteration of Hiplex analysis. Nfix, Nos1, and Pnoc were removed due to low inconsistent signal. Pvalb, Penk, and Gal were not included in the final analysis because of data loss due to tissue damage (TD) by the 3rd round of staining. Slc17a6 was only in a small subset of experiments and was not included in the final analysis.\nHiplex probes used in the study\nProbes used in each iteration of Hiplex analysis. Nfix, Nos1, and Pnoc were removed due to low inconsistent signal. Pvalb, Penk, and Gal were not included in the final analysis because of data loss due to tissue damage (TD) by the 3rd round of staining. Slc17a6 was only in a small subset of experiments and was not included in the final analysis.\n\n\n### Differential anterior-posterior distribution of molecular markers tested in the study\nUsing these probe sets, we first analyzed the distribution of Lhx6-positive cells along the anterior-posterior axis of the ZI at Zeitgeiber Time 6 (ZT6), which corresponds to 6 h following lights on, which is a moderate sleep pressure state in nocturnal mice (Figure 1A).28 We observed that Lhx6 mRNA-positive cells comprise 35.2% of all ZI cells (Figure 1B), roughly comparable to similar estimates obtained from Lhx6 immunohistochemistry and Lhx6-eGFP reporter expression.13,15 The great majority of Lhx6-positive cells (33.7% of all ZI cells) showed relatively low (levels of mRNA expression, ranging from 1 to 5 puncta associated with each DAPI-positive cell (Figures 1A and 1B), while a much smaller fraction showing higher cellular expression levels (1.5% of all ZI cells) (Table 2). We also observed a broad anterior-posterior gradient in the distribution of Lhx6-positive cells within the ZI (Figure 1C). The anterior ZI (−0.955 to −1.554 bregma) shows the highest overall fraction of Lhx6-positive cells (2.7% high/53.2% low), the medial ZI (−1.555 to −2.154 bregma) shows lower numbers (1.5% high/31% low), and the posterior ZI (−2.155 to −2.780 bregma) lower still (0.8% high/21.8% low).Figure 1Lhx6 expression decreases along the anterior-posterior axis of the zona incerta(A) In situ hybridization showing the number of Lhx6 (green)-expressing cells (indicated by DAPI, blue) decreasing along the anterior-posterior axis, covering a region spanning −0.955 mm to −2.780 mm Bregma. 20 μm scale bars on all images. Each in situ image corresponds to the region in between the coronal images above, with the ZI highlighted in green.(B) Bar graph depicting the fraction of Lhx6-positive cells at ZT6. Lhx6-positive cells compose 35.2% of total cells in the ZI, with high expressing Lhx6 cells (red) compromising 1.5 ± 1.3% of cells, low expressing (blue) Lhx6 cells compromising 33.7 ± 18.7% of cells, and the remaining 64.7 ± 19.9% of cells do not express Lhx6 (gray).(C) Bar graph depicting the fraction of Lhx6-positive cells at ZT6 along the anterior-posterior axis. The anterior region contains the most Lhx6-positive expressing cells with high expressing cells comprising 2.6 ± 1.5% of total cells and low expressing cells comprising 53.2 ± 14.3%. The medial region contains 1.5 ± 1.4% high expressing cells and 30.9 ± 13.2% low expressing cells. The posterior region contains the least Lhx6-positive cells with high comprising 0.75 ± 0.77% and low comprising 21.8 ± 16.5%. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. The main effects analysis revealed subtypes showing significant differences relative to mean levels of Lhx6 expression (F = 43.20, ∗∗ = p < 0.0001). Tukey’s multiple comparisons test revealed significant differences in low expressing cells between the anterior and posterior ZI (p = 0.0087, alpha = 0.05) regions. N = 11 for all graphs listed. Data are represented as mean ± SD.Table 2Foci distribution for all used in the studyprobesZT6All WT Control & SD ConditionsProbeHigh (6+ Foci)Low (1–5 Foci)Neg (0 Foci)ProbeHigh (6+ Foci)Low (1–5 Foci)Neg (0 Foci)Lhx60.010.310.67Lhx60.040.310.65Calb10.130.340.53Calb10.100.300.60Calb20.050.280.68Calb20.020.220.74Cck0.060.530.41Cck0.050.310.63Nfia0.030.390.57Nfia0.030.480.49Nkx2-20.030.250.72Nkx2-20.030.320.65Fos0.020.330.65Fos0.070.300.63Slc32a10.030.260.70Slc32a10.040.260.70Avg0.0450.3360.616Avg0.0480.3130.636SD0.0380.0910.106SD0.0260.0750.074This lists the relative fraction of cells that are negative (0 foci), low (1–5 foci), and high (6+ foci) for the probe in question in the indicated experimental conditions.\nLhx6 expression decreases along the anterior-posterior axis of the zona incerta\n(A) In situ hybridization showing the number of Lhx6 (green)-expressing cells (indicated by DAPI, blue) decreasing along the anterior-posterior axis, covering a region spanning −0.955 mm to −2.780 mm Bregma. 20 μm scale bars on all images. Each in situ image corresponds to the region in between the coronal images above, with the ZI highlighted in green.\n(B) Bar graph depicting the fraction of Lhx6-positive cells at ZT6. Lhx6-positive cells compose 35.2% of total cells in the ZI, with high expressing Lhx6 cells (red) compromising 1.5 ± 1.3% of cells, low expressing (blue) Lhx6 cells compromising 33.7 ± 18.7% of cells, and the remaining 64.7 ± 19.9% of cells do not express Lhx6 (gray).\n(C) Bar graph depicting the fraction of Lhx6-positive cells at ZT6 along the anterior-posterior axis. The anterior region contains the most Lhx6-positive expressing cells with high expressing cells comprising 2.6 ± 1.5% of total cells and low expressing cells comprising 53.2 ± 14.3%. The medial region contains 1.5 ± 1.4% high expressing cells and 30.9 ± 13.2% low expressing cells. The posterior region contains the least Lhx6-positive cells with high comprising 0.75 ± 0.77% and low comprising 21.8 ± 16.5%. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. The main effects analysis revealed subtypes showing significant differences relative to mean levels of Lhx6 expression (F = 43.20, ∗∗ = p < 0.0001). Tukey’s multiple comparisons test revealed significant differences in low expressing cells between the anterior and posterior ZI (p = 0.0087, alpha = 0.05) regions. N = 11 for all graphs listed. Data are represented as mean ± SD.\nFoci distribution for all used in the studyprobes\nThis lists the relative fraction of cells that are negative (0 foci), low (1–5 foci), and high (6+ foci) for the probe in question in the indicated experimental conditions.\nWe next performed similar analysis for the other probes tested. Calb1 (11.9% high/33% low), Cck (4.8% high/42.5% low), and Nfia (3.9% high/38.8% low) labeled the greatest overall fraction of ZI cells, although no probe labeled fewer than 25.8% of ZI cells, with Nkx2-2 (3.7% high/22.5% low) showing the lowest number of overall positive cells (Figures S3A and S3B). We observed non-statistically significant trends in distribution of many of these markers along the anterior-posterior axis of the ZI, with Fos and Nkx2-2 reflecting the higher fraction of Lhx6-positive cells in anterior ZI, and Calb1 showing a medially enriched distribution (Figure S3C).\n\n\n### Responses of Lhx6-positive and Lhx6-negative ZI cells to changes in sleep pressure\nTo profile patterns of activity in response to both naturally occurring and induced changes in sleep pressure, we analyzed changes in expression of Fos in both Lhx6-positive and Lhx6-negative ZI cells. No significant changes in the total number of Lhx6-positive cells were detected across any of the samples examined (Figure S4). We observe significantly higher levels of Fos expression in high (ZT0) and intermediate (ZT6) sleep pressure states relative to low (ZT12) sleep pressure states across all ZI cells (Figures 2A and 2E). This was the case for both Lhx6-positive (Figure 2B) and Lhx6-negative (Figure 2C) cells, and indicates that many subtypes of ZI neurons are broadly responsive to naturally occurring changes in sleep pressure.Figure 2Induced sleep deprivation induces Fos expression in both Lhx6-positive and Lhx6-negative cells(A) Bar graph depicting the Fos-positive fraction of total cells in the undisturbed control and following experimentally-induced sleep deprivation. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 6.46, p = 0.0002) and sleep deprivation (SD) (F = 10.18, p = 0.0028) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) control ZT0 vs. control ZT12 (∗p = 0.0117), control ZT0 vs. control ZT14 (∗p = 0.0415), SD ZT0 vs. SD ZT12 (SDRS6, ∗p = 0.0117), SD ZT0 vs. ZT14 SD (∗p = 0.0415), control ZT6 vs. control ZT12 (∗p = 0.0274), SD ZT6 vs. SD ZT12 (SDRS8, ∗p = 0.0274), SD ZT7 (SDRS1) vs. control ZT9 (∗p = 0.0256), SD ZT7 (SDRS1) vs. control ZT12 (∗∗∗p = 0.0006), SD ZT7 (SDRS1) vs. SD ZT12 (SDRS6) (∗p = 0.0393), SD ZT7 (SDRS1) vs. control ZT14 (∗∗p = 0.0022).(B) Bar graph depicts the Fos-positive fraction of Lhx6-positive cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.34, p < 0.0001) and sleep deprivation (SD) (F = 9.32, p = 0.0040) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) ZT0:control vs. ZT12:control (∗∗p = 0.0068), ZT0:SD vs. ZT12:SD (∗∗p = 0.0068), ZT6:control vs. ZT7:SD (∗p = 0.0221), ZT6:control vs. ZT12:control (∗p = 0.0261), ZT6:SD vs. ZT12:SD (∗p = 0.0261), ZT7:SD vs. ZT9:control (∗∗p = 0.0033), ZT7:SD vs. ZT12:control (∗∗∗∗p ≤ 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0035), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (∗p = 0.0185), ZT9:SD vs. ZT12:control (∗p = 0.0443).(C) Bar graph depicting the Fos-positive fraction of Lhx6-negative cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.30, p < 0.0001) and sleep deprivation (SD) (F = 7.31, p = 0.0100) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: ZT0:control vs. ZT12:control (∗∗p = 0.0056), ZT0:control vs. ZT14:control (∗p = 0.0152), ZT0:SD vs. ZT12:SD (∗∗p = 0.0056), ZT0:SD vs. ZT14:SD (∗p = 0.0152), ZT6:control vs. ZT12:control (∗p = 0.0219), ZT6:SD vs. ZT12:SD (∗p = 0.0219), ZT7:SD vs. ZT9:control (∗p = 0.0280), ZT7:SD vs. ZT12:control (∗∗p = 0.0022), ZT7:SD vs. ZT14:control (∗∗p = 0.0060). N = 46 for all graphs listed (25 control mice, 21 SD mice).(D) In situ hybridization showing Lhx6 (green) and Fos (red) expression (whose nuclei are visualized with DAPI, blue) in response to control (ZT6, scale bars, 20 μm) and sleep deprivation conditions: sleep deprivation (SD, scale bars, 20 μm), sleep deprivation with 1 h recovery sleep (SDRS1, scale bars, 50 μm), sleep deprivation with 3 h recovery sleep (SDRS3, scale bars, 20 μm). White arrows indicate Lhx6-Fos positive cells. Data are represented as mean ± SD.\nInduced sleep deprivation induces Fos expression in both Lhx6-positive and Lhx6-negative cells\n(A) Bar graph depicting the Fos-positive fraction of total cells in the undisturbed control and following experimentally-induced sleep deprivation. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 6.46, p = 0.0002) and sleep deprivation (SD) (F = 10.18, p = 0.0028) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) control ZT0 vs. control ZT12 (∗p = 0.0117), control ZT0 vs. control ZT14 (∗p = 0.0415), SD ZT0 vs. SD ZT12 (SDRS6, ∗p = 0.0117), SD ZT0 vs. ZT14 SD (∗p = 0.0415), control ZT6 vs. control ZT12 (∗p = 0.0274), SD ZT6 vs. SD ZT12 (SDRS8, ∗p = 0.0274), SD ZT7 (SDRS1) vs. control ZT9 (∗p = 0.0256), SD ZT7 (SDRS1) vs. control ZT12 (∗∗∗p = 0.0006), SD ZT7 (SDRS1) vs. SD ZT12 (SDRS6) (∗p = 0.0393), SD ZT7 (SDRS1) vs. control ZT14 (∗∗p = 0.0022).\n(B) Bar graph depicts the Fos-positive fraction of Lhx6-positive cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.34, p < 0.0001) and sleep deprivation (SD) (F = 9.32, p = 0.0040) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: (alpha = 0.05) ZT0:control vs. ZT12:control (∗∗p = 0.0068), ZT0:SD vs. ZT12:SD (∗∗p = 0.0068), ZT6:control vs. ZT7:SD (∗p = 0.0221), ZT6:control vs. ZT12:control (∗p = 0.0261), ZT6:SD vs. ZT12:SD (∗p = 0.0261), ZT7:SD vs. ZT9:control (∗∗p = 0.0033), ZT7:SD vs. ZT12:control (∗∗∗∗p ≤ 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0035), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (∗p = 0.0185), ZT9:SD vs. ZT12:control (∗p = 0.0443).\n(C) Bar graph depicting the Fos-positive fraction of Lhx6-negative cells in control and sleep deprivation groups. Using GraphPad Prism, a two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 7.30, p < 0.0001) and sleep deprivation (SD) (F = 7.31, p = 0.0100) on Fos expression. Tukey’s multiple comparisons test revealed significant differences between the following conditions: ZT0:control vs. ZT12:control (∗∗p = 0.0056), ZT0:control vs. ZT14:control (∗p = 0.0152), ZT0:SD vs. ZT12:SD (∗∗p = 0.0056), ZT0:SD vs. ZT14:SD (∗p = 0.0152), ZT6:control vs. ZT12:control (∗p = 0.0219), ZT6:SD vs. ZT12:SD (∗p = 0.0219), ZT7:SD vs. ZT9:control (∗p = 0.0280), ZT7:SD vs. ZT12:control (∗∗p = 0.0022), ZT7:SD vs. ZT14:control (∗∗p = 0.0060). N = 46 for all graphs listed (25 control mice, 21 SD mice).\n(D) In situ hybridization showing Lhx6 (green) and Fos (red) expression (whose nuclei are visualized with DAPI, blue) in response to control (ZT6, scale bars, 20 μm) and sleep deprivation conditions: sleep deprivation (SD, scale bars, 20 μm), sleep deprivation with 1 h recovery sleep (SDRS1, scale bars, 50 μm), sleep deprivation with 3 h recovery sleep (SDRS3, scale bars, 20 μm). White arrows indicate Lhx6-Fos positive cells. Data are represented as mean ± SD.\nWe next investigated the effects of induced sleep pressure, specifically the use of continuous gentle brushing to induce SD between ZT0 and ZT6.13,29 We observe a significant increase in Fos expression at ZT7, 1 h following initiation of recovery sleep, in Lhx6-positive cells relative to ZT6 controls (Figures 2B and 2D), but not in Lhx6-negative cells (Figure 2C). Substantial numbers of Fos-positive neurons are still observed following 3 h of recovery sleep at ZT9, with Lhx6-positive cells showing a significantly higher fraction of Fos-positive cells in this condition than Lhx6-negative cells (Figure 3A). In both Lhx6-positive (Figure 2B) and Lhx6-negative (Figure 2C) cells, significantly reduced number of Fos-positive cells is observed after 6 h of recovery sleep at ZT12. A significantly higher number of Lhx6-positive cells also showed strong levels of Fos expression in response to elevated sleep pressure (Figures 3C and 3F). This indicates that both Lhx6-positive and Lhx6-negative ZI neurons show increased activity in response to induced sleep pressure, but that Lhx6-positive cells show overall stronger and more persistent patterns of activity as sleep pressure is dissipated (Figures 3A–3F).Figure 3Sleep pressure-dependent Fos induction is stronger in Lhx6-positive than in Lhx6-negative cells(A) Bar graph compares the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) across all ZT points solely under sleep deprivation (SD). Using GraphPad Prism, a repeated measures two-way ANOVA was run to analyze the effects of cell type (Lhx6-positive and Lhx6-negative) and ZT time on Fos expression post SD. Points were matched based on sample (i.e., mouse #1 has both Lhx6-positive and Lhx6-negative cells) for the two-way ANOVA; followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 5.93, p = 0.0028) and cell type (F = 50.10, p < 0.0001). Tukey’s multiple comparisons test revealed significant differences between: ZT6: Lhx6-negative vs. ZT12: Lhx6-negative (∗∗p = 0.0053), ZT6: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0159), ZT7: Lhx6-negative vs. ZT12: Lhx6-negative (∗p = 0.0150), ZT7: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0439), ZT7: Lhx6-negative vs. ZT7: Lhx6-positive (∗∗p = 0.0012), ZT9: Lhx6-negative vs. ZT9: Lhx6-positive (∗∗∗∗p < 0.0001), ZT12: Lhx6-negative vs. ZT12: Lhx6-positive (∗p = 0.0497), ZT14: Lhx6-negative vs. ZT14: Lhx6-positive (∗∗p = 0.0094), ZT6: Lhx6-positive vs. ZT12: Lhx6-positive (∗p = 0.0139), ZT7: Lhx6-positive vs. ZT12: Lhx6-positive (∗∗p = 0.0019), ZT7: Lhx6-positive vs. ZT14: Lhx6-positive (∗∗p = 0.0092).(B) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints (ZT0 through ZT14) under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).(C) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under induced sleep deprivation. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).(D) In situ hybridization illustrates examples of high Fos-positive cells (red arrow), low Fos-positive cells (orange), and Fos-negative nuclei (orange). Scale bars, 20 μm.(E) Bar graph depicts the high expressing (expressing 6+ foci) Fos positive fraction of Lhx6 negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01).(F) Bar graph depicts the high expressing Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control time points under induced sleep deprivation. A paired t test showed significant differences between the Fos positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01). N = 46 (25 control mice, 21 SD mice) for all graphs. Data are represented as mean ± SD.\nSleep pressure-dependent Fos induction is stronger in Lhx6-positive than in Lhx6-negative cells\n(A) Bar graph compares the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) across all ZT points solely under sleep deprivation (SD). Using GraphPad Prism, a repeated measures two-way ANOVA was run to analyze the effects of cell type (Lhx6-positive and Lhx6-negative) and ZT time on Fos expression post SD. Points were matched based on sample (i.e., mouse #1 has both Lhx6-positive and Lhx6-negative cells) for the two-way ANOVA; followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of both ZT time (F = 5.93, p = 0.0028) and cell type (F = 50.10, p < 0.0001). Tukey’s multiple comparisons test revealed significant differences between: ZT6: Lhx6-negative vs. ZT12: Lhx6-negative (∗∗p = 0.0053), ZT6: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0159), ZT7: Lhx6-negative vs. ZT12: Lhx6-negative (∗p = 0.0150), ZT7: Lhx6-negative vs. ZT14: Lhx6-negative (∗p = 0.0439), ZT7: Lhx6-negative vs. ZT7: Lhx6-positive (∗∗p = 0.0012), ZT9: Lhx6-negative vs. ZT9: Lhx6-positive (∗∗∗∗p < 0.0001), ZT12: Lhx6-negative vs. ZT12: Lhx6-positive (∗p = 0.0497), ZT14: Lhx6-negative vs. ZT14: Lhx6-positive (∗∗p = 0.0094), ZT6: Lhx6-positive vs. ZT12: Lhx6-positive (∗p = 0.0139), ZT7: Lhx6-positive vs. ZT12: Lhx6-positive (∗∗p = 0.0019), ZT7: Lhx6-positive vs. ZT14: Lhx6-positive (∗∗p = 0.0092).\n(B) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints (ZT0 through ZT14) under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).\n(C) Bar graph depicts the Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under induced sleep deprivation. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗∗∗p < 0.0001).\n(D) In situ hybridization illustrates examples of high Fos-positive cells (red arrow), low Fos-positive cells (orange), and Fos-negative nuclei (orange). Scale bars, 20 μm.\n(E) Bar graph depicts the high expressing (expressing 6+ foci) Fos positive fraction of Lhx6 negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control timepoints under natural circadian conditions. A paired t test showed significant differences between the Fos-positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01).\n(F) Bar graph depicts the high expressing Fos-positive fraction of Lhx6-negative cells (left, gray) and the Fos-positive fraction of Lhx6-positive cells (right, green) aggregated across all control time points under induced sleep deprivation. A paired t test showed significant differences between the Fos positive fraction of Lhx6-negative and Lhx6-positive cells (∗∗p < 0.01). N = 46 (25 control mice, 21 SD mice) for all graphs. Data are represented as mean ± SD.\nFinally, we analyzed spatial differences in the patterns of sleep pressure-induced changes in Fos expression in Lhx6-positive cells (Figure S5). While natural variation in sleep pressure consistently resulted in only very small fractions of cells showing high levels (>5 pixels/cell) of Fos expression at all points along the anterior-posterior axis of the ZI, at early stages of SD, far higher numbers of Lhx6-positive cells showed high levels of Fos expression. This effect was strongest immediately after SD and even stronger following 1 h recovery sleep, but decreased dramatically after 3 h of recovery sleep. This indicates that induced SD initially induces significantly higher cellular levels of Fos expression in Lhx6-positive ZI cells than does naturally induced changes in levels of sleep pressure.\n\n\n### Responses of molecularly distinct subtypes of Lhx6-positive and Lhx6-negative ZI cells to changes in sleep pressure\nWe next analyzed patterns of Fos expression in molecularly distinct subtypes of Lhx6-positive and Lhx6-negative ZI cells in response to changes in sleep pressure. Like Lhx6 itself, none of the additional molecular markers tested showed any significant sleep pressure-dependent changes in gene expression (Figure S6). Cck expression, however, did show time of day-dependent changes, with highest expression observed at ZT0 and ZT6, and significantly reduced expression at later time points. However, similar changes were detected under conditions of induced sleep pressure, indicating that while Cck expression may be under circadian regulation, it is not significantly regulated by either naturally occurring or induced changes in sleep pressure.\nAll subtypes of Lhx6-positive cells showed significant decreases in the numbers of Fos-positive cells under conditions of low sleep pressure (ZT12) relative to high sleep pressure (ZT0) in unstimulated animals and also, with the exception of Lhx6-positive/Calb2-positive cells, between moderate (ZT6) and low sleep pressure (Figures 4A–4E). This was likewise the case for induced sleep pressure, where significant decreases were observed between the SD samples at ZT6 (end of SD treatment) and/or ZT7 (SD with 1 h of recovery sleep) and ZT12 (SD with 6 h of recovery sleep), where only Lhx6-positive/Calb2-positive cells failed to show significant decreases in Fos expression (Figures 4A–4E). We further observe that Lhx6-negative cells that express these markers show broadly similar patterns of sleep pressure-dependent Fos induction relative to Lhx6-positive cells mirroring the broader response kinetics of Lhx6-positive and Lhx6-negative ZI cells (Figures S7A–S7E). Cck and Calb2 being the exceptions (Figures S7B and S7C); with kinetics resembling those of naturally occurring sleep pressure indicating that cells expressing Cck and Calb2 without Lhx6 may be under circadian regulation and less responsive to induced SD.Figure 4Lhx6-positive ZI cells expressing cell subtype-specific markers show similar changes in Fos induction in response to naturally occurring and experimentally-induced changes in sleep pressureBar graphs depicting the Fos-positive fraction of marker-positive, Lhx6-positive nuclei under naturally occurring (gray) and induced sleep pressure (colored). A two-way ANOVA, followed by Tukey’s multiple comparisons test, was run on all data. F-statistics for ZT time and experimental group (control vs. SD) will be listed respectively.(A) Calb1 (N = 41: 20 control mice, 21 SD mice) (blue, F = 9.02, 6.22). Significant differences: ZT0:control vs. ZT12:control (∗∗p = 0.0020), ZT0:SD vs. ZT12:SD (∗∗∗∗p = 0.0008), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0012), ZT7:SD vs. ZT14:SD (∗p = 0.0224), ZT9:SD vs. ZT12:control (∗p = 0.0132).(B) Calb2 (N = 46: 25 control mice, 21 SD mice) (red, F = 5.96, 3.78). Significant differences: ZT0:control vs. ZT6:control (∗∗p = 0.0063), ZT0:control vs. ZT12:control (∗∗p = 0.0032), ZT0:control vs. ZT14:control (∗∗p = 0.0078), ZT0:SD vs. ZT6:SD (p = 0.0063), ZT0:SD vs. ZT12:SD (p = 0.0032), ZT0:SD vs. ZT14:SD (∗∗p = 0.0078), ZT7:SD vs. ZT12:control (∗p = 0.0431).(C) Cck (N = 41: 20 control mice, 21 SD mice) (yellow, F = 9.34, 8.09). Significant differences: ZT0:control vs. ZT9:control (∗p = 0.0171), ZT0:control vs. ZT12:control (∗∗∗p = 0.0003), ZT0:control vs. ZT14:control (∗∗p = 0.0045), ZT0:SD vs. ZT9:SD (∗p = 0.0171), ZT0:SD vs. ZT12:SD (∗∗∗p = 0.0003), ZT0:SD vs. ZT14:SD (∗∗p = 0.0045), ZT6:control vs. ZT12:control (∗p = 0.0117), ZT6:SD vs. ZT12:SD (∗p = 0.0117), ZT7:SD vs. ZT9:control (∗∗p = 0.0072), ZT7:SD vs. ZT12:control (∗∗∗p = 0.0002), ZT7:SD vs. ZT12:SD (∗p = 0.0106), ZT7:SD vs. ZT14:control (∗∗p = 0.0023).(D) Nfia (N = 46: 25 control mice, 21 SD mice) (purple, F = 7.03, 9.47). Significant differences: ZT0:control vs. ZT12:control (∗p = 0.0181), ZT0:SD vs. ZT12:SD (∗p = 0.0181), ZT6:control vs. ZT7:SD (∗p = 0.0328), ZT6:control vs. ZT12:control (∗p = 0.0137), ZT6:SD vs. ZT12:SD (∗p = 0.0137), ZT7:SD vs. ZT9:control (∗∗p = 0.0069), ZT7:SD vs. ZT12:control (∗∗∗∗p < 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0034), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (p = 0.0199).(E) Nkx2-2 (N = 46: 25 control mice, 21 SD mice) (orange, F = 5.489, 7.95) ZT0:control vs. ZT12:control (∗p = 0.0215), ZT0:SD vs. ZT12:SD (∗p = 0.0215), ZT6:control vs. ZT12:control (∗p = 0.0169), ZT6:SD vs. ZT12:SD (∗p = 0.0169). Data are represented as mean ± SD.\nLhx6-positive ZI cells expressing cell subtype-specific markers show similar changes in Fos induction in response to naturally occurring and experimentally-induced changes in sleep pressure\nBar graphs depicting the Fos-positive fraction of marker-positive, Lhx6-positive nuclei under naturally occurring (gray) and induced sleep pressure (colored). A two-way ANOVA, followed by Tukey’s multiple comparisons test, was run on all data. F-statistics for ZT time and experimental group (control vs. SD) will be listed respectively.\n(A) Calb1 (N = 41: 20 control mice, 21 SD mice) (blue, F = 9.02, 6.22). Significant differences: ZT0:control vs. ZT12:control (∗∗p = 0.0020), ZT0:SD vs. ZT12:SD (∗∗∗∗p = 0.0008), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0012), ZT7:SD vs. ZT14:SD (∗p = 0.0224), ZT9:SD vs. ZT12:control (∗p = 0.0132).\n(B) Calb2 (N = 46: 25 control mice, 21 SD mice) (red, F = 5.96, 3.78). Significant differences: ZT0:control vs. ZT6:control (∗∗p = 0.0063), ZT0:control vs. ZT12:control (∗∗p = 0.0032), ZT0:control vs. ZT14:control (∗∗p = 0.0078), ZT0:SD vs. ZT6:SD (p = 0.0063), ZT0:SD vs. ZT12:SD (p = 0.0032), ZT0:SD vs. ZT14:SD (∗∗p = 0.0078), ZT7:SD vs. ZT12:control (∗p = 0.0431).\n(C) Cck (N = 41: 20 control mice, 21 SD mice) (yellow, F = 9.34, 8.09). Significant differences: ZT0:control vs. ZT9:control (∗p = 0.0171), ZT0:control vs. ZT12:control (∗∗∗p = 0.0003), ZT0:control vs. ZT14:control (∗∗p = 0.0045), ZT0:SD vs. ZT9:SD (∗p = 0.0171), ZT0:SD vs. ZT12:SD (∗∗∗p = 0.0003), ZT0:SD vs. ZT14:SD (∗∗p = 0.0045), ZT6:control vs. ZT12:control (∗p = 0.0117), ZT6:SD vs. ZT12:SD (∗p = 0.0117), ZT7:SD vs. ZT9:control (∗∗p = 0.0072), ZT7:SD vs. ZT12:control (∗∗∗p = 0.0002), ZT7:SD vs. ZT12:SD (∗p = 0.0106), ZT7:SD vs. ZT14:control (∗∗p = 0.0023).\n(D) Nfia (N = 46: 25 control mice, 21 SD mice) (purple, F = 7.03, 9.47). Significant differences: ZT0:control vs. ZT12:control (∗p = 0.0181), ZT0:SD vs. ZT12:SD (∗p = 0.0181), ZT6:control vs. ZT7:SD (∗p = 0.0328), ZT6:control vs. ZT12:control (∗p = 0.0137), ZT6:SD vs. ZT12:SD (∗p = 0.0137), ZT7:SD vs. ZT9:control (∗∗p = 0.0069), ZT7:SD vs. ZT12:control (∗∗∗∗p < 0.0001), ZT7:SD vs. ZT12:SD (∗∗p = 0.0034), ZT7:SD vs. ZT14:control (∗∗∗p = 0.0004), ZT7:SD vs. ZT14:SD (p = 0.0199).\n(E) Nkx2-2 (N = 46: 25 control mice, 21 SD mice) (orange, F = 5.489, 7.95) ZT0:control vs. ZT12:control (∗p = 0.0215), ZT0:SD vs. ZT12:SD (∗p = 0.0215), ZT6:control vs. ZT12:control (∗p = 0.0169), ZT6:SD vs. ZT12:SD (∗p = 0.0169). Data are represented as mean ± SD.\n\n\n### Nkx2-2 is essential for the development and function of Lhx6-positive ZI neurons\nPrevious studies have shown that Lhx6-positive/Nkx2-2-positive ZI neurons are activated by increased sleep pressure, and that global loss of function of Nkx2-2 led to a significant reduction in the number of hypothalamic Lhx6-positive neurons by E18.5.15 In light of these findings, we sought to further investigate the role of Nkx2-2 in regulating the organization and function of Lhx6 neurons in the adult ZI. To investigate the potential role of Nkx2-2 in development and function of Lhx6-positive ZI neurons, we used intersectional genetic analysis to selectively inactivate Nkx2-2 in Lhx6-positive neurons by generating Lhx6-Cre;Nkx2-2lox/lox mice30,31,32 (Figure 5A). This resulted in the expected number of liveborn Lhx6-Cre;Nkx2-2lox/l+ and Lhx6-Cre;Nkx2-2lox/lox offspring (Figure S10).Figure 5Lhx6-Cre;Nkx2-2lox/lox mice show reduced expression of both Lhx6 and Nkx2-2 in zona incerta(A) Diagram depicting the expression of Lhx6 (green) in the coronally sliced mouse brain (left). Diagram depicting Lhx6-Cre-mediated deletion of Nkx2-2 (right).(B) Bar graph depicting the fraction of Lhx6-Nkx2-2 positive cells of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA (F = 4.19), followed by Tukey’s multiple comparisons test revealed significant differences: WT vs. HOMO (∗∗p = 0.0038). (N = 18: WT = 11, HET = 3, HOMO = 4).(C) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive nuclei of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). Data did not pass tests for normality, so the non-parametric Kruskal-Wallis test was used (F = 8.213), followed by Dunn’s multiple comparisons test revealed Significant differences: HET vs. HOMO (∗p = 0.0194). (N = 12: WT = 5, HET = 3, HOMO = 4).(D) Bar graph depicting the fraction of Lhx6-positive cells of total nuclei in the cortex (CTX) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).(E) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive cells of total nuclei in the lateral hypothalamus (LH) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).(F–I) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (ZI, F–G), lateral hypothalamus (LH, H), and the Cortex (CTX, I) in wildtype (WT) mice.(J–M) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/+ (HET) mice.(N–Q) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice. 20 μm scale bars on all images. Data are represented as mean ± SD.\nLhx6-Cre;Nkx2-2lox/lox mice show reduced expression of both Lhx6 and Nkx2-2 in zona incerta\n(A) Diagram depicting the expression of Lhx6 (green) in the coronally sliced mouse brain (left). Diagram depicting Lhx6-Cre-mediated deletion of Nkx2-2 (right).\n(B) Bar graph depicting the fraction of Lhx6-Nkx2-2 positive cells of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA (F = 4.19), followed by Tukey’s multiple comparisons test revealed significant differences: WT vs. HOMO (∗∗p = 0.0038). (N = 18: WT = 11, HET = 3, HOMO = 4).\n(C) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive nuclei of total nuclei among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). Data did not pass tests for normality, so the non-parametric Kruskal-Wallis test was used (F = 8.213), followed by Dunn’s multiple comparisons test revealed Significant differences: HET vs. HOMO (∗p = 0.0194). (N = 12: WT = 5, HET = 3, HOMO = 4).\n(D) Bar graph depicting the fraction of Lhx6-positive cells of total nuclei in the cortex (CTX) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).\n(E) Bar graph depicting the fraction of Slc32a1-Nkx2-2 positive cells of total nuclei in the lateral hypothalamus (LH) among experimental groups at ZT6: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green). A one-way ANOVA revealed no significant differences (N = 9: WT = 3, HET = 3, HOMO = 3).\n(F–I) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (ZI, F–G), lateral hypothalamus (LH, H), and the Cortex (CTX, I) in wildtype (WT) mice.\n(J–M) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/+ (HET) mice.\n(N–Q) In situ hybridization depicting the expression of Lhx6 (green), Nkx2-2 (purple), Slc32a1 (white) in nuclei (DAPI, blue) in the ZI (J–K), LH (L), and the cortex (M) in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice. 20 μm scale bars on all images. Data are represented as mean ± SD.\nMutant animals were grossly normal in outward appearance, body weight, and locomotor behavior. However, Lhx6-Cre;Nkx2-2lox/lox mutant animals showed significantly reduced numbers of Lhx6-positive/Nkx2-2-positive as well as Slc32a1-positive/Nkx2-2-positive GABAergic neurons in the ZI, indicating the efficiency of the intersectional mutant (Figures 5B and 5C). The specificity of the intersectional mutant was evident by the fact that the relative number of Lhx6-positive cortical neurons (where Nkx2-2 is not expressed) and Slc32a1-positive/Nkx2-2-positive GABAergic neurons in the lateral hypothalamus (where Lhx6-Cre is not active), were unchanged across all genotypes examined (Figure 5D). This confirms that the loss of function of Nkx2-2 in Lhx6-positive neural precursors selectively disrupts formation of Lhx6-positive neurons in the ZI, and implies that this leads to the observed defects in sleep-wake regulation.\nA non-significant trend toward reduced numbers of Lhx6-positive/Nkx2-2-positive was also observed in heterozygous Lhx6-Cre;Nkx2-2lox/+ mice, indicating a possible dose-dependent requirement for Nkx2-2 in the development of Lhx6-positive ZI neurons (Figures 5B and 5C). Loss of both Lhx6-positive and Nkx2-2-positive cells was evident across all positions on the anterior-posterior axis of the ZI (Figure S11).\nLoss of function of Nkx2-2 also disrupted expression of a subset of other subtype-specific markers of Lhx6-positive ZI neurons (Figure 6). Relative to wildtype animals, we observe significant reductions in the relative number of Calb1, Calb2, and Cck in both heterozygous Lhx6-Cre;Nkx2-2lox/+ and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants, as well as between wildtype animals and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants. We also observe a trend toward reduced expression of all probes in the medial ZI, and a corresponding relative increase in both the anterior and, in particular, the posterior ZI. In heterozygous Lhx6-Cre;Nkx2-2lox/+ mice, a similar redistribution was observed for Lhx6. Although the total number of Slc32a1-positive cells in the ZI was unchanged across all genotypes examined, the relative number of cells showing strong (>5 pixels/cell) Slc32a1 expression was reduced in homozygous Lhx6-Cre;Nkx2-2lox/lox mutants relative to Lhx6-Cre;Nkx2-2lox/+ heterozygotes.Figure 6Lhx6-Cre;Nkx2-2lox/lox mice show reduced expression of cell subtype-specific markers in zona incerta(A) Bar graph depicting the marker (from left to right: Calb1 (N: WT = 6, HET = 3, HOMO = 4), Calb2 (N: WT = 11, HET = 3, HOMO = 4), Cck (N: WT = 6, HET = 3, HOMO = 4), Nfia (N: WT = 11, HET = 3, HOMO = 4), Slc32a1 (N: WT = 5, HET = 3, HOMO = 4), Fos (N: WT = 11, HET = 3, HOMO = 4) positive fraction of total nuclei, at ZT6, across experimental groups: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), Lhx6-Cre;Nkx2-2lox/lox (HOMO, blue). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 41.17, p < 0.0001). Significant differences were found between wildtype and HET in the expression of Calb1 (∗∗p = 0.0065), Calb2 (∗p = 0.0175), Cck (∗∗∗∗p = 0.0001), and Fos (∗p = 0.0320); as well as between wildtype and homo in the expression of Calb1 (∗∗p = 0.0015), Calb2 (∗∗p = 0.0098), Cck (∗∗∗∗p=<0.0001), Nfia (∗p = 0.0078), and Fos (∗∗p = 0.0032).(B–G) Bar graphs depicting the fraction of marker positive nuclei (high expressing, red; low expressing, blue) of total nuclei, along the anterior to posterior axis, across experimental groups at ZT6. Right, wildtype (WT); middle, Lhx6-Cre;Nkx2-2lox/+ (HET); left, Lhx6-Cre;Nkx2-2lox/lox (HOMO). No statistical analysis conducted due to HET and HOMO samples containing N < 2 per location.\nLhx6-Cre;Nkx2-2lox/lox mice show reduced expression of cell subtype-specific markers in zona incerta\n(A) Bar graph depicting the marker (from left to right: Calb1 (N: WT = 6, HET = 3, HOMO = 4), Calb2 (N: WT = 11, HET = 3, HOMO = 4), Cck (N: WT = 6, HET = 3, HOMO = 4), Nfia (N: WT = 11, HET = 3, HOMO = 4), Slc32a1 (N: WT = 5, HET = 3, HOMO = 4), Fos (N: WT = 11, HET = 3, HOMO = 4) positive fraction of total nuclei, at ZT6, across experimental groups: wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), Lhx6-Cre;Nkx2-2lox/lox (HOMO, blue). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 41.17, p < 0.0001). Significant differences were found between wildtype and HET in the expression of Calb1 (∗∗p = 0.0065), Calb2 (∗p = 0.0175), Cck (∗∗∗∗p = 0.0001), and Fos (∗p = 0.0320); as well as between wildtype and homo in the expression of Calb1 (∗∗p = 0.0015), Calb2 (∗∗p = 0.0098), Cck (∗∗∗∗p=<0.0001), Nfia (∗p = 0.0078), and Fos (∗∗p = 0.0032).\n(B–G) Bar graphs depicting the fraction of marker positive nuclei (high expressing, red; low expressing, blue) of total nuclei, along the anterior to posterior axis, across experimental groups at ZT6. Right, wildtype (WT); middle, Lhx6-Cre;Nkx2-2lox/+ (HET); left, Lhx6-Cre;Nkx2-2lox/lox (HOMO). No statistical analysis conducted due to HET and HOMO samples containing N < 2 per location.\nWe next used Xenium-based spatial transcriptomic analysis to more comprehensively analyze gene expression in the wildtype using a 347 gene panel, which consisted of the Xenium mouse brain probeset33 and 100 additional probes chosen for their selective expression in major hypothalamic cell types.23 Here, we had a particular interest in identifying genes that were differentially expressed between Lhx6/Nkx2-2 positive and negative neurons, in hopes of identifying additional neuronal subtypes, as well as additional molecular targets for future analysis. Segmenting cells from the ZI and adjacent tissues and performing UMAP analysis for the expressed genes identified discrete clusters of glutamatergic and GABAergic neurons, as well as such non-neuronal cell types as astrocytes, oligodendrocyte precursor cells, mature oligodendrocytes, endothelial cells, and microglia (Figure 7C). We next subclustered the GABAergic Lhx6 neuronal population, and identified a subpopulation corresponding to the Lhx6-positive ZI neurons (Figures 7E–7G). This analysis confirmed the anterior-posterior gradient in the relative number of Lhx6-expressing cells in wildtype animals observed using HiPlex analysis (Figure 7H). We identify additional genes enriched in Nkx2-2-positive and Nkx2-2-negative cell types, and identify further subclusters within these (Figure S12).Figure 7Xenium-based analysis of Lhx6-positive ZI cells(A) UMAP depicts the clustering of wildtype anterior, medial, and posterior samples.(B) UMAP identifies 16 clusters in wildtype anterior, medial, and posterior samples.(C) UMAP depicts major cell types.(D) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus.(E) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus with Lhx6-expressing ZI neurons highlighted (red with red arrow).(F) UMAP identifying the GABAergic Lhx6 population.(G) UMAP depicts subclusters of GABAergic Lhx6-positive cells after additional filtration of cells expressing astrocyte, glial, and glutamatergic markers.(H) UMAP depicts subclusters of GABAergic Lhx6 neurons distributed along the anterior to posterior axis.\nXenium-based analysis of Lhx6-positive ZI cells\n(A) UMAP depicts the clustering of wildtype anterior, medial, and posterior samples.\n(B) UMAP identifies 16 clusters in wildtype anterior, medial, and posterior samples.\n(C) UMAP depicts major cell types.\n(D) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus.\n(E) Visualization of Seurat-identified clusters in the spatial context of the hypothalamus with Lhx6-expressing ZI neurons highlighted (red with red arrow).\n(F) UMAP identifying the GABAergic Lhx6 population.\n(G) UMAP depicts subclusters of GABAergic Lhx6-positive cells after additional filtration of cells expressing astrocyte, glial, and glutamatergic markers.\n(H) UMAP depicts subclusters of GABAergic Lhx6 neurons distributed along the anterior to posterior axis.\nWe next tested whether the reduction in the number of Lhx6-positive cells was reflected in defective activation of remaining ZI cells in response to elevated sleep pressure. In both heterozygous Lhx6-Cre;Nkx2-2lox/+ and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants, we observe dramatic reductions in the number of total Fos-positive neurons under conditions of both moderate (ZT6), moderately high (SD + 3 h recovery sleep) and high (ZT6 + 6 h of SD) sleep pressure (Figure 8). The few remaining Lhx6-positive/Nkx2-2-positive ZI cells likewise showed reduced levels of overall activation and no clear changes in activity in response to altered sleep pressure. High levels of Fos expression were likewise not observed in cells at any point along the anterior-posterior axis of the ZI (Figure S13).Figure 8Lhx6-Cre;Nkx2-2lox/lox mice fail to induce Fos in response to experimentally induced sleep deprivation(A–C) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in wildtype (WT) at ZT6 (A), after sleep deprivation (SD, B), and after sleep deprivation with 3 h of recovery sleep (SDRS3, C).(D) Bar graph depicts the Fos-positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 37.09, ∗∗∗∗p < 0.0001). Significant differences were found between the wildtype and HET at ZT6 (∗p = 0.0354), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗p = 0.0037); as well as the wildtype and HOMO at ZT6 (∗∗p = 0.0045), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗∗∗p < 0.0001).(E–G) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/+ (HET) mice at ZT6 (E), after sleep deprivation (SD, F), and after sleep deprivation with 3 h of recovery sleep (SDRS3, G).(H) Bar graph depicts the Lhx6-Nkx2-2 positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 11, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 44.19, ∗∗∗∗p < 0.0001). Significant differences were found between wildtype and HET at SD (∗∗p = 0.0015) and SDRS3 (∗∗∗∗p < 0.0001); as well as the wildtype and HOMO at ZT6 (∗p = 0.0235), SD (∗∗∗p = 0.0009), and SDRS3 (∗∗∗∗p < 0.0001).(I–K) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice at ZT6 (I), after sleep deprivation (SD, J), and after sleep deprivation with 3 h of recovery sleep (SDRS3, K).(L) Bar graph depicts the Fos positive fraction of Lhx6-Nkx2-2 positive nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 27.51, p < 0.0001). Significant differences were found between the wildtype and HET at SD (∗∗∗p = 0.0007) and SDRS3 (∗∗∗p = 0.0008); as well as the wildtype and HOMO at ZT6 (∗p = 0.0259), SD (∗∗p = 0.0012), and SDRS3 (∗∗∗∗p = 0.0001). Data are represented as mean ± SD.\nLhx6-Cre;Nkx2-2lox/lox mice fail to induce Fos in response to experimentally induced sleep deprivation\n(A–C) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in wildtype (WT) at ZT6 (A), after sleep deprivation (SD, B), and after sleep deprivation with 3 h of recovery sleep (SDRS3, C).\n(D) Bar graph depicts the Fos-positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 37.09, ∗∗∗∗p < 0.0001). Significant differences were found between the wildtype and HET at ZT6 (∗p = 0.0354), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗p = 0.0037); as well as the wildtype and HOMO at ZT6 (∗∗p = 0.0045), SD (∗∗∗∗p < 0.0001), and SDRS3 (∗∗∗∗p < 0.0001).\n(E–G) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/+ (HET) mice at ZT6 (E), after sleep deprivation (SD, F), and after sleep deprivation with 3 h of recovery sleep (SDRS3, G).\n(H) Bar graph depicts the Lhx6-Nkx2-2 positive fraction of total nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 11, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 44.19, ∗∗∗∗p < 0.0001). Significant differences were found between wildtype and HET at SD (∗∗p = 0.0015) and SDRS3 (∗∗∗∗p < 0.0001); as well as the wildtype and HOMO at ZT6 (∗p = 0.0235), SD (∗∗∗p = 0.0009), and SDRS3 (∗∗∗∗p < 0.0001).\n(I–K) In situ hybridization depicts Fos (red) and Lhx6 (green) expression in Lhx6-Cre;Nkx2-2lox/lox (HOMO) mice at ZT6 (I), after sleep deprivation (SD, J), and after sleep deprivation with 3 h of recovery sleep (SDRS3, K).\n(L) Bar graph depicts the Fos positive fraction of Lhx6-Nkx2-2 positive nuclei in wildtype (WT, blue), Lhx6-Cre;Nkx2-2lox/+ (HET, red), and Lhx6-Cre;Nkx2-2lox/lox (HOMO, green) at ZT6 (N: WT = 11, HET = 3, HOMO = 4), SD (N: WT = 4, HET = 3, HOMO = 3), and SDRS3 (N: WT = 5, HET = 3, HOMO = 5). A two-way ANOVA was run, followed by a Tukey’s multiple comparisons test. Main effects analysis revealed significant effects of genotype (F = 27.51, p < 0.0001). Significant differences were found between the wildtype and HET at SD (∗∗∗p = 0.0007) and SDRS3 (∗∗∗p = 0.0008); as well as the wildtype and HOMO at ZT6 (∗p = 0.0259), SD (∗∗p = 0.0012), and SDRS3 (∗∗∗∗p = 0.0001). Data are represented as mean ± SD.\nFinally, we examined sleep patterns in control Lhx6-Cre mice and heterozygous Lhx6-Cre;Nkx2-2lox/+ and homozygous Lhx6-Cre;Nkx2-2lox/lox mutants using the Piezo system34 (Figure 9). Relative to control animals, heterozygous Lhx6-Cre;Nkx2-2lox/+ mice showed increased sleep time during the day, but no change in either total nighttime sleep, or either daytime or nighttime sleep bout length. In contrast, homozygous Lhx6-Cre;Nkx2-2lox/lox showed significantly increased sleep time and sleep bout length during both day and night relative to both heterozygotes and, with exception of nighttime sleep bout length, controls.Figure 9Total sleep is increased in Lhx6-Cre;Nkx2-2lox/lox mice(A) Bar graph depicts the percent of time spent asleep during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+(gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/+ (p ≤ 0.05) as well as Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01).(B) Bar graph depicts the percent of time spent asleep at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).(C) Box and whisker plot depicts the duration of sleep bouts, in minutes, during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).(D) Box and whisker plot depicts the duration of sleep bouts, in minutes, at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). A significant difference was found between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox. One-way ANOVA analysis followed by post hoc Tukey’s multiple comparisons tests was performed for data shown in A, B, and D, where data are normally distributed. For C, where data were non-normally distributed, Kruskall-Wallis tests followed by post hoc Dunn’s tests were performed. Data are represented as mean ± SD.\nTotal sleep is increased in Lhx6-Cre;Nkx2-2lox/lox mice\n(A) Bar graph depicts the percent of time spent asleep during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+(gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/+ (p ≤ 0.05) as well as Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01).\n(B) Bar graph depicts the percent of time spent asleep at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).\n(C) Box and whisker plot depicts the duration of sleep bouts, in minutes, during the day in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). Significant differences were found between Lhx6-Cre and Lhx6-Cre;Nkx2-2lox/lox (∗∗p ≤ 0.01), as well as between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox (∗p ≤ 0.05).\n(D) Box and whisker plot depicts the duration of sleep bouts, in minutes, at night in Lhx6-Cre (white), Lhx6-Cre;Nkx2-2lox/+ (gray), and Lhx6-Cre;Nkx2-2lox/lox (blue). A significant difference was found between Lhx6-Cre;Nkx2-2lox/+ and Lhx6-Cre;Nkx2-2lox/lox. One-way ANOVA analysis followed by post hoc Tukey’s multiple comparisons tests was performed for data shown in A, B, and D, where data are normally distributed. For C, where data were non-normally distributed, Kruskall-Wallis tests followed by post hoc Dunn’s tests were performed. Data are represented as mean ± SD.\n\n\n### Discussion\nWhile first studied for its role in sensorimotor integration,35,36,37,38 it has recently become clear that the ZI plays a central role in regulating a broad range of internal states and innate behaviors. These include feeding, thirst, and anxious and defensive behaviors.18,26,39,40,41 It has also become clear that the ZI is a critical component in regulating sleep-wake behavior, most notably in sensing and signaling levels of sleep pressure.13,14,42,43 ZI neurons are broadly activated by increased levels of both naturally occurring and induced sleep pressure, with Lhx6-positive neurons in particular being essential for mediating these effects. Developmental loss of function of Lhx6 leads to apoptotic death of Lhx6-positive ZI neurons15 and ultimately leads to reduced sleep levels.13 Furthermore, glutamatergic neurons of the thalamic reuniens nucleus that mediate the effects of induced sleep pressure do so by directly activating anterior Lhx6-positive ZI neurons.14\nLhx6-positive ZI neurons, however, show heterogeneous patterns of activation in response to elevated sleep pressure, while the response of Lhx6-negative ZI neurons to sleep pressure has not been characterized in detail.\nIn this study, we use single molecular fISH to systematically characterize the kinetics of Fos induction in both Lhx6-positive and Lhx6-negative ZI neurons expressing a range of specific molecular markers, while also characterizing the developmental and behavioral consequences of selective disruption of the homeodomain transcription factor Nkx2-2 in developing Lhx6-positive neurons. Confirming and extending previous findings,13 we observe that Lhx6-positive ZI neurons strongly induce Fos expression in response to both naturally occurring and induced increases in sleep pressure. This increased activity is sustained during early stages of recovery sleep, and gradually reduced as sleep pressure is dissipated. Taking advantage of the quantitative features of single-molecule fISH, we also observe that induced sleep pressure initially triggers significantly higher cellular levels of Fos expression than do naturally occurring changes in sleep pressure across the circadian day, although this distinction disappears after several hours of recovery sleep. Notably, we also observe that Lhx6-negative ZI neurons generally show similar patterns of sleep pressure-dependent increases in Fos expression to Lhx6-positive neurons, although both the cellular expression levels and overall number of Fos-positive, Lhx6-negative cells is significantly lower. Spatial differences in Fos induction in response to sleep pressure are also observed, with both larger numbers of Fos-positive, Lhx6-positive and Lhx6-negative cells seen in the anterior ZI and lower levels in posterior ZI. This tracks closely with the reported projection pattern of sleep pressure-responsive neurons of the thalamic reuniens nucleus.14 This indicates that while Lhx6-positive neurons show relatively stronger sleep pressure-dependent changes in activity, many other ZI neuronal subtypes show similar response patterns.\nWhile ZI neurons are highly heterogeneous at the molecular level,27 differences in activity-dependent responses among these molecularly distinct neuronal subtypes, with a few exceptions,44 remains largely uncharacterized. Using a panel of molecular markers previously identified as differentially expressed in both Lhx6-positive and Lhx6-negative ZI neurons, we investigated whether we could detect cellular heterogeneity in responses to both naturally occurring and induced sleep pressure. Like Lhx6 itself, none of the markers tested showed sleep pressure-dependent changes in expression, although Cck showed increased expression at the beginning of the circadian day. Nkx2-2 and Nfia resembled Lhx6 in showing higher expression in anterior ZI, while Calb1, Calb2, and Cck showed higher expression in the medial and posterior ZI. With the exception of Calb2, we find that Lhx6-positive cells that express each of these markers show similar patterns of Fos induction in response to elevated sleep pressure. Reflecting the broader patterns of Fos induction of Lhx6-positive and Lhx6-negative ZI neurons, we observe similar patterns of response in Lhx6-negative cells expressing these markers, although these show both reduced numbers of Fos-positive cells and lower cellular levels of Fos expression compared to Lhx6-positive ZI neurons. This further confirmed that a broad range of ZI cell types are activated by increased sleep pressure, with Lhx6-positive cells showing stronger overall responses.\nFinally, in light of its previously reported expression in developing Lhx6-positive ZI neurons,15 we analyzed the molecular and behavioral effects of loss of function of the homeodomain factor Nkx2-2 in Lhx6-positive neurons, using both HiPlex single-molecule fISH and Xenium spatial transcriptomics analysis. This resulted in a selective disruption of Nkx2-2 in hypothalamic Lhx6-positive neurons. Xenium analysis of wildtype animals revealed a broad distinction between Nkx2-2-positive and Nkx2-2-negative ZI neurons, allowing identification of multiple additional markers of each group. In both heterozygous and homozygous Nkx2-2 mutants, we observe decreased expression of multiple markers of Nkx2-2 positive, Lhx6-positive neurons and a corresponding increase in expression of markers of Nkx2-2 negative, Lhx6-positive neurons. Furthermore, cells that expressed markers of Nkx2-2 positive, Lhx6-positive neurons were displaced toward both the anterior and posterior ZI and away from the medial ZI. The overall number of cells expressing Calb1, Calb2, and Cck were reduced in both heterozygous and homozygous Nkx2-2 mutants, while in homozygous Nkx2-2 mutants, a significant reduction in both the overall number of Lhx6-positive ZI neurons was also detected. This implies that Nkx2-2 acts in Lhx6-positive neural precursor during development to mediate normal development of both Lhx6-positive and Lhx6-negative ZI neurons in the adult.\nThese molecular effects were reflected in dramatic changes in both sleep pressure-dependent induction of Fos and in sleep behavior. In both heterozygous and homozygous Nkx2-2 mutants, significant reductions in Fos expression were observed under all conditions examined, with a loss of sleep pressure-dependent Fos expression particularly prominent in homozygous Nkx2-2 mutants. Surprisingly, we observed significantly increased daytime sleep time and bout length in both heterozygous and homozygous Nkx2-2 mutants, with significantly stronger effects seen in homozygous animals, with significant increases observed during both day and night. The developmental disruptions induced by loss of function of Nkx2-2 in Lhx6-positive neural precursors therefore lead to broad disruptions in the capacity of the ZI to regulate sleep homeostasis, with effects opposite to behavioral effects resulting from developmental loss of Lhx6.\nThese results underscore a central role for Lhx6-positive ZI neurons in signaling levels of both naturally occurring and induced sleep pressure, but also show that many Lhx6-negative ZI cells show broadly similar responses to elevated sleep pressure. Since Lhx6-positive ZI neurons are essential for the accumulation of induced sleep pressure,13,14 and selective disruption of Lhx6-positive ZI neuron development by loss of function of Nkx2-2 severely disrupts sleep pressure-induced Fos expression in Lhx6-negative neurons, this implies that Lhx6-positive neurons coordinate these broader sleep pressure-dependent changes in activity across the ZI. This conclusion is further supported by the extensive reciprocal connections that exist among ZI neurons.45 In the case of induced sleep pressure, this may reflect the fact that glutamatergic neurons of the thalamic reuniens nucleus selectively project to Lhx6-positive ZI neurons and show sleep pressure-dependent increases in synaptic strength, this cannot account for the effects of naturally induced changes in sleep pressure, as this does not induce changes in the activity of reuniens neurons.14\nThis raises the broader question of exactly how Lhx6-positive ZI neurons are selectively responsive to naturally occurring changes in sleep pressure. Our findings do not clearly identify a molecularly distinct neuronal subpopulation that is responsive to any type of sleep pressure change, although Calb2-positive cells/Lhx6-positive cells appear to be less responsive. SnRNA-Seq from Fos-trapped neurons in thalamic reuniens nucleus failed to identify any other molecular markers of specific neuronal subtypes responsive to induced sleep pressure,14 and the response properties of individual neurons in the ZI may likewise be determined by connectivity patterns that do not generally correlate with their gene expression profiles. Lhx6-positive ZI neurons may selectively receive synaptic input from an as yet unidentified neuronal subpopulation that is activated by naturally occurring changes in sleep pressure, or may sense these changes directly through as yet uncharacterized mechanisms. A more detailed analysis of the presynaptic inputs to Lhx6-positive ZI neurons that builds on previous work using rabies-based viral tracers13 and analysis of sleep pressure-induced transcriptomic changes will help address this.\nThe divergent sleep phenotypes seen in mutants that selectively disrupt the development of Lhx6-positive ZI neurons implies a more complex role for the ZI in regulating sleep pressure than has been previously hypothesized. Loss of function of Lhx6 in early hypothalamic neuroepithelium leads to a complete loss of Lhx6-positive ZI neurons that likely results from selective apoptosis,15 and in turn leads to increased wake and decreased sleep.13 In contrast, loss of function of Nkx2-2 in Lhx6-positive neural precursors reduces but does not completely eliminate Lhx6-positive ZI neurons, instead broadly disrupting the development and distribution of multiple subtypes of ZI neurons. This both dramatically reduces induction of Fos induced by both naturally occurring and induced sleep pressure, and leads to significantly increased sleep. Lhx6-positive ZI neurons are essential for sensing and signaling appropriate levels of sleep pressure to both Lhx6-negative ZI neurons and arousal-promoting neurons in other brain regions, but broad disruptions in the composition and organization of neuronal subtypes within the ZI, like those that result from Nkx2-2 loss of function, may instead lead to excessive activation of inhibitory projections to arousal-promoting neurons, thereby resulting in increased sleep. The observed effects of Nkx2-2 loss of function in Lhx6-positive ZI neurons underscores the importance of connectivity among specific neuronal populations of the ZI in maintaining appropriate levels of sleep homeostasis. A systematic in vivo analysis of changes in the activity and connectivity of both Lhx6-positive and Lhx6-negative neurons of the ZI will help clarify the dynamic regulation of these neural circuits sensing and signaling changes in sleep pressure.\nThe precise mechanism that leads to the developmental and sleep phenotypes seen in Lhx6-Cre;Nkx2-2lox/lox mutants also remains unresolved. The development of Lhx6-negative ZI neurons is severely affected by Nkx2-2 loss of function, suggesting that Lhx6 may be more broadly expressed in Nkx2-2-positive hypothalamic neurons at earlier developmental stages. Alternatively, loss of function of Nkx2-2 in Lhx6-positive neurons may have non-cell autonomous effects on the development of Lhx6-negative ZI neurons. Both mechanisms might also affect development of adjacent sleep-regulating hypothalamic regions such as the dorsomedial hypothalamic nucleus and the lateral hypothalamus, which also regulate sleep. These questions can potentially be addressed using tamoxifen-inducible Lhx6-CreER knock-in lines in combination with Cre-dependent cell lineage reporters,13,46 which allows both precise temporal control of Nkx2-2 loss of function and generation of genetic mosaics to identify non-cell autonomous phenotypes. Finally, if tamoxifen is administered to adult animals, Lhx6-CreER;Nkx2-2lox/lox animals can be used to selectively analyze the role of Nkx2-2 in regulating the function of mature Lhx6-positive/Nkx2-2-positive ZI neurons.\nKey questions related to the molecular and functional diversity of Lhx6-positive ZI neurons remain unanswered. The studies presented here relied on relatively small-scale single-cell RNA-Seq studies of Lhx6-positive ZI neurons isolated from juvenile mice15 to select molecular markers used to identify subtypes of these neurons. A more comprehensive transcriptomic analysis of Lhx6-positive ZI neurons in adults could potentially identify additional markers that might more precisely delineate neuronal subtypes that are selectively activated by changes in sleep pressure. Such experiments might also provide insight into the mechanisms mediating sleep pressure-dependent activation of these neurons.\nThe Fos-based readouts of neuronal activity used in this study primarily report prolonged and intense activation and cannot resolve differential effects of sleep pressure on NREM and REM duration or intensity. It is likewise unclear to what extent the increased sleep seen in Nkx2-2-mutants results primarily from differential increase in NREM and REM duration.\n\n\n### EEG/EMG analysis, potentially coupled with in vivo calcium imaging, can address these questions\nThe precise mechanism that leads to the developmental and sleep phenotypes seen in Lhx6-Cre;Nkx2-2lox/lox mutants also remains unresolved. The development of Lhx6-negative ZI neurons is severely affected by Nkx2-2 loss of function, suggesting that Lhx6 may be more broadly expressed in Nkx2-2-positive hypothalamic neurons at earlier developmental stages. Alternatively, loss of function of Nkx2-2 in Lhx6-positive neurons may have non-cell autonomous effects on the development of Lhx6-negative ZI neurons. Both mechanisms might also affect development of adjacent sleep-regulating hypothalamic regions such as the dorsomedial hypothalamic nucleus and the lateral hypothalamus, which also regulate sleep. These questions can potentially be addressed using tamoxifen-inducible Lhx6-CreER knock-in lines in combination with Cre-dependent cell lineage reporters,13,46 which allows both precise temporal control of Nkx2-2 loss of function and generation of genetic mosaics to identify non-cell autonomous phenotypes. Finally, if tamoxifen is administered to adult animals, Lhx6-CreER;Nkx2-2lox/lox animals can be used to selectively analyze the role of Nkx2-2 in regulating the function of mature Lhx6-positive/Nkx2-2-positive ZI neurons.\n\n\n### Limitations of the study\nKey questions related to the molecular and functional diversity of Lhx6-positive ZI neurons remain unanswered. The studies presented here relied on relatively small-scale single-cell RNA-Seq studies of Lhx6-positive ZI neurons isolated from juvenile mice15 to select molecular markers used to identify subtypes of these neurons. A more comprehensive transcriptomic analysis of Lhx6-positive ZI neurons in adults could potentially identify additional markers that might more precisely delineate neuronal subtypes that are selectively activated by changes in sleep pressure. Such experiments might also provide insight into the mechanisms mediating sleep pressure-dependent activation of these neurons.\nThe Fos-based readouts of neuronal activity used in this study primarily report prolonged and intense activation and cannot resolve differential effects of sleep pressure on NREM and REM duration or intensity. It is likewise unclear to what extent the increased sleep seen in Nkx2-2-mutants results primarily from differential increase in NREM and REM duration.\n\n\n### Resource availability\nFurther information and requests for resources and reagents should be directed to and will be fulfilled by the lead contact, Seth Blackshaw (sblack@jhmi.edu).\nThis study did not generate unique reagents.\n•Zona incerta cell count, foci data, and associated metadata in this article is shared as Table S1: Hiplex Data--Zona Incerta. All the raw and processed Xenium datasets generated in this study have been deposited as GEO: GSE324128. Additional data will be shared by the lead contact upon request.•This paper does not report original code. All code used was provided by the Seurat package47 and the Protocol for Xenium Spatial Transcriptomics.33•No other items generated.\nZona incerta cell count, foci data, and associated metadata in this article is shared as Table S1: Hiplex Data--Zona Incerta. All the raw and processed Xenium datasets generated in this study have been deposited as GEO: GSE324128. Additional data will be shared by the lead contact upon request.\nThis paper does not report original code. All code used was provided by the Seurat package47 and the Protocol for Xenium Spatial Transcriptomics.33\nNo other items generated.\n\n\n### Lead contact\nFurther information and requests for resources and reagents should be directed to and will be fulfilled by the lead contact, Seth Blackshaw (sblack@jhmi.edu).\n\n\n### Materials availability\nThis study did not generate unique reagents.\n\n\n### Data and code availability\n•Zona incerta cell count, foci data, and associated metadata in this article is shared as Table S1: Hiplex Data--Zona Incerta. All the raw and processed Xenium datasets generated in this study have been deposited as GEO: GSE324128. Additional data will be shared by the lead contact upon request.•This paper does not report original code. All code used was provided by the Seurat package47 and the Protocol for Xenium Spatial Transcriptomics.33•No other items generated.\nZona incerta cell count, foci data, and associated metadata in this article is shared as Table S1: Hiplex Data--Zona Incerta. All the raw and processed Xenium datasets generated in this study have been deposited as GEO: GSE324128. Additional data will be shared by the lead contact upon request.\nThis paper does not report original code. All code used was provided by the Seurat package47 and the Protocol for Xenium Spatial Transcriptomics.33\nNo other items generated.\n\n\n### Acknowledgments\nWe thank W. Yap and D.W.K. for comments on the manuscript. This work was supported by R01MH126676 from the 10.13039/100000002National Institutes of Health to S.B.; 10.13039/100000001National Science Foundation graduate fellowship to P.W.C.; and F31DK132944 from the 10.13039/100000062National Institute of Diabetes and Digestive and Kidney Diseases (10.13039/100000062NIDDK) and F99-NS135816 from the 10.13039/100000065National Institute of Neurological Disorders and Stroke (10.13039/100000065NINDS) to L.H.D.\n\n\n### Author contributions\nS.B. conceived the study. P.W.C. generated and analyzed all HiPlex data and mouse strains, with supervision from S.B. and D.W.K. L.H.D. generated and analyzed all Xenium data, with supervision from S.B. S.S.L. generated and analyzed Piezo data, with supervision from M.W. P.W.C. and S.B. drafted the manuscript, which all authors revised.\n\n\n### Declaration of interests\nS.B. receives research support from Genentech and is a co-founder and shareholder in CDI Labs, LLC.\n\n\n### STAR★Methods\nREAGENT or RESOURCESOURCEIDENTIFIERCritical commercial assaysRNAscope HiPlex v2 AssayACDBiohttps://acdbio.com/rnascope-hiplex-assaysXenium In-Situ Gene Expression10x Genomicshttps://www.10xgenomics.com/platforms/xeniumExperimental models: Organisms/strainsMouse: C57BL/6The Jackson LaboratoryJAX #:000664Mouse: Lhx6-iCre (B6;CBA-Tg (Lhx6-icre)1Kess/J)The Jackson LaboratoryJAX#026555Mouse: Nkx2-2lox/loxMastracci, Lin, and Sussel, 2013–Software and algorithmsXenium Explorer 1.310X Genomicshttps://www.10xgenomics.com/support/software/xenium-explorer/latestCell ProfilerBroad Institutehttps://cellprofiler.org/ImageJSchneider, Rasband, and Eliceiri 2012; Blattner et al. 2014; Chalfoun et al. 2017https://imagej.net/ij/MS ExcelMicrosofthttps://www.microsoft.com/en-us/microsoft-365/excelRThe R Foundationhttps://www.r-project.org/Piezo Sleep SystemSignal Solutionshttps://www.sigsoln.com/piezosleep-software/Slidebook ReaderIntelligent Imaging Innovationshttps://go.intelligent-imaging.com/get-slidebook-readerSeuratSatija et al. 2015; Hao et al. 2024https://satijalab.org/seurat/GraphPad PrismGraphpad Softwarehttps://www.graphpad.com/featuresOtherDeposited dataXenium spatial transcriptomics dataGEO: GSE324128Hiplex—Cell Counts and Foci dataThis paperUpon request from lead contact.\nMaintenance and experimental procedures performed on mice were in accordance with the protocol approved by the Institutional Animal Care and Use Committee (IACUC) at the Johns Hopkins School of Medicine under protocol number MO22M22. All mice were housed in a climate-controlled facility (14-h light and 10-h dark cycle) with ad libitum access to food and water.\nC57BL/6 mice were ordered from Jax labs. Lhx6-iCre (B6;CBA-Tg (Lhx6-icre)1Kess/J, JAX#026555) and Nkx2-2lox/lox31 were crossed to generate Lhx6-Cre;Nkx2-2loxl+ mice. Lhx6-Cre;Nkx2-2lox/l+ mice were then bred to generate Lhx6-Cre;Nkx2-2lox/l+ or Lhx6-Cre;Nkx2-2lox/lox mice.\nBetween 8 and 12 weeks, mice were moved to cages in a climate-controlled room, given food and water ad libitum at 4:30 a.m., and allowed an hour and a half to acclimate to the new environment before experimentation. Sleep deprivation began at 6:30AM (ZT0), and was facilitated by gentle brushing until 12:30PM for a total of 6 h. Control mice were undisturbed and allowed to sleep freely. Mice were sacrificed after 6 h (ZT6) using cervical dislocation, corresponding to the collection of sleep deprivation and control groups, and after one, three, six and 8 h of recovery sleep; corresponding to 7 h (ZT7), 9 h (ZT9), 12 h (ZT12) and 14 h (ZT14) after lights on, respectively. Brains were collected within 15 min of sacrifice and stored in OCT at −80°C until sectioning.\nMouse brains were coronally sectioned at 10–14 μm thickness and collected at 30–42 μm intervals. Sections were mounted onto Superfrost Plus microscope slides and processed according to the fresh-frozen protocol for the RNAscope HiPlex v2 Assay (Advanced Cell Diagnostics, ACD). Briefly, tissue sections were fixed in 4% paraformaldehyde (PFA), washed in 1x phosphate-buffered saline (PBS), and dehydrated through graded ethanol. Sections were then hybridized with target-specific probes (ACD; listed in Table 1) at 40°C for 2 h in a HybEZ oven. Following hybridization, signal amplification was performed according to the manufacturer’s instructions. Fluorescent detection was achieved through three sequential rounds of amplification and fluorophore labeling using the RNAscope HiPlex v2 reagents, enabling multiplex transcript visualization within the same tissue section. Primary HiPlex imaging data for all samples analyzed in this study are provided in Table S1.\nXenium in situ Gene expression was performed according to the fresh-frozen protocol listed by 10x Genomics.33 Animals were deeply anesthetized prior to transcardial perfusion with phosphate-buffered saline to remove circulating blood. Brains were rapidly dissected, embedded in optimal cutting temperature (OCT) compound, and flash frozen. Coronal cryosections (12 μm) encompassing the mediobasal hypothalamus at 100 μm intervals were mounted onto Xenium slides. Sections were processed according to the Xenium In Situ Gene Expression protocol for fresh frozen samples, including probe hybridization, ligation and signal amplification steps. The assay utilized a 347-gene panel consisting of a 100-gene custom-designed gene set combined with the 10x Genomics Mouse Brain Panel (247 genes), as previously described.24\nSlides were imaged using an Olympus widefield epifluorescence microscope equipped with motorized stage control. Images were acquired using 20x and 40× air objectives, as well as a 60× oil-immersion objective. For each section, z-stacked image series were collected to capture the full thickness of the ZI. Z-steps were acquired at consistent intervals across all samples to ensure uniform sampling and tiled montages were generated to enable visualization of the ZI within each section. Fluorescence channels were sequentially imaged using DAPI, GFP, TRITC, Cy5, and Cy7 filter sets to detect nuclear counterstain and RNAscope HiPlex probe signals. Exposure times, lamp intensity, and camera gain settings were kept constant across experimental groups for each probe channel to allow for direct comparison. Following acquisition, images were stitched and exported using SlideBook Reader (Intelligent Imaging Innovations, Denver, CO, USA).48,49 Subsequent image processing and analysis were performed using ImageJ.50\nCells were segmented, counted, assigned a specific subtype, and assigned foci using pipelines developed in Cell Profiler.51 From these assignments, categorized as marker positive or negative, then cells were further categorized into high, low, and negative expressing cell types based on the number of foci expressed per probe (Table 2). With this information, a master sheet was created describing each cell, its assigned foci, experimental group, and cell type. Each sample (mouse) is an aggregation of, on average, 4,500 cells. Each experimental group contains a minimum of 3 samples (approximately 13,500 cells) per timepoint, with the largest experimental group (ZT6: control) containing 11 samples (approximately 49,500 cells). Given the nature of the data, over 250,000 heterogeneous cells, we anticipate high variability in the data.\nInitial image processing, transcript decoding, and cell boundary assignment were performed using the Xenium onboard analysis pipeline. Datasets were processed using standard nuclear segmentation using DAPI staining which served as the primary seeds for cell boundary delineation. In these samples, cell segmentation was based on nuclear detection followed by expansion to approximate whole-cell boundaries using the Xenium default segmentation algorithm. This approach is appropriate for densely packed neuronal populations where nuclear localization provides a reliable anchor for cellular assignment of transcripts.\nFollowing segmentation, quality assessment was conducted in Xenium Explorer (v1.3)33 to evaluate cell boundary accuracy, transcript localization patterns, and potential segmentation artifacts. Cells with zero detected transcripts were excluded prior to downstream analysis. Datasets were subsequently exported for computational analysis in R using Seurat.47,52 The zona incerta (ZI) was visualized based on Lhx6 and Nkx2-2 expression, and cells identified as belonging to the ZI were subset for downstream analysis. After normalization with SCTransform, dimensionality reduction was performed using principal component analysis (PCA), followed by Uniform Manifold Approximation and Projection (UMAP) for visualization and unsupervised clustering on the subsetted datasets.\nThe Piezo sleep system was used to differentiate sleep and wake states as described previously.34 Mice were housed in the sleep monitoring system with ad libitum access to food and water and allowed to acclimate to the recording environment for one week prior to testing. During the testing period, an unsupervised classifier was used to cluster piezoelectric signal features corresponding to movement and respiration into sleep and wake states.\nPaired t-tests, Fisher’s exact tests, one-way ANOVAs, two-way ANOVAs, Kruskal-Wallis tests (in cases of non-parametric data), mixed-effect analysis (in cases of missing values), Tukey’s Multiple Comparison tests, and Dunn’s Multiple Comparison tests were performed using GraphPad Prism version 10.0.0 for Windows (GraphPad Software, Boston, Massachusetts USA). The Seurat “FindAllMarkers” function with assay “SCT” and default parameters was used for analyzing differential gene expression, using the number of total mRNAs and genes as a variable. All bar graphs show mean and standard deviation (SD), with individual samples (mice) plotted. Significance was determined using an alpha of 0.05. All statistical details of individual experiments can be found in the relevant figure legends.\n\n\n### Key resources table\nREAGENT or RESOURCESOURCEIDENTIFIERCritical commercial assaysRNAscope HiPlex v2 AssayACDBiohttps://acdbio.com/rnascope-hiplex-assaysXenium In-Situ Gene Expression10x Genomicshttps://www.10xgenomics.com/platforms/xeniumExperimental models: Organisms/strainsMouse: C57BL/6The Jackson LaboratoryJAX #:000664Mouse: Lhx6-iCre (B6;CBA-Tg (Lhx6-icre)1Kess/J)The Jackson LaboratoryJAX#026555Mouse: Nkx2-2lox/loxMastracci, Lin, and Sussel, 2013–Software and algorithmsXenium Explorer 1.310X Genomicshttps://www.10xgenomics.com/support/software/xenium-explorer/latestCell ProfilerBroad Institutehttps://cellprofiler.org/ImageJSchneider, Rasband, and Eliceiri 2012; Blattner et al. 2014; Chalfoun et al. 2017https://imagej.net/ij/MS ExcelMicrosofthttps://www.microsoft.com/en-us/microsoft-365/excelRThe R Foundationhttps://www.r-project.org/Piezo Sleep SystemSignal Solutionshttps://www.sigsoln.com/piezosleep-software/Slidebook ReaderIntelligent Imaging Innovationshttps://go.intelligent-imaging.com/get-slidebook-readerSeuratSatija et al. 2015; Hao et al. 2024https://satijalab.org/seurat/GraphPad PrismGraphpad Softwarehttps://www.graphpad.com/featuresOtherDeposited dataXenium spatial transcriptomics dataGEO: GSE324128Hiplex—Cell Counts and Foci dataThis paperUpon request from lead contact.\n\n\n### Experimental model and study participant details\nMaintenance and experimental procedures performed on mice were in accordance with the protocol approved by the Institutional Animal Care and Use Committee (IACUC) at the Johns Hopkins School of Medicine under protocol number MO22M22. All mice were housed in a climate-controlled facility (14-h light and 10-h dark cycle) with ad libitum access to food and water.\nC57BL/6 mice were ordered from Jax labs. Lhx6-iCre (B6;CBA-Tg (Lhx6-icre)1Kess/J, JAX#026555) and Nkx2-2lox/lox31 were crossed to generate Lhx6-Cre;Nkx2-2loxl+ mice. Lhx6-Cre;Nkx2-2lox/l+ mice were then bred to generate Lhx6-Cre;Nkx2-2lox/l+ or Lhx6-Cre;Nkx2-2lox/lox mice.\n\n\n### Mice\nMaintenance and experimental procedures performed on mice were in accordance with the protocol approved by the Institutional Animal Care and Use Committee (IACUC) at the Johns Hopkins School of Medicine under protocol number MO22M22. All mice were housed in a climate-controlled facility (14-h light and 10-h dark cycle) with ad libitum access to food and water.\nC57BL/6 mice were ordered from Jax labs. Lhx6-iCre (B6;CBA-Tg (Lhx6-icre)1Kess/J, JAX#026555) and Nkx2-2lox/lox31 were crossed to generate Lhx6-Cre;Nkx2-2loxl+ mice. Lhx6-Cre;Nkx2-2lox/l+ mice were then bred to generate Lhx6-Cre;Nkx2-2lox/l+ or Lhx6-Cre;Nkx2-2lox/lox mice.\n\n\n### Method details\nBetween 8 and 12 weeks, mice were moved to cages in a climate-controlled room, given food and water ad libitum at 4:30 a.m., and allowed an hour and a half to acclimate to the new environment before experimentation. Sleep deprivation began at 6:30AM (ZT0), and was facilitated by gentle brushing until 12:30PM for a total of 6 h. Control mice were undisturbed and allowed to sleep freely. Mice were sacrificed after 6 h (ZT6) using cervical dislocation, corresponding to the collection of sleep deprivation and control groups, and after one, three, six and 8 h of recovery sleep; corresponding to 7 h (ZT7), 9 h (ZT9), 12 h (ZT12) and 14 h (ZT14) after lights on, respectively. Brains were collected within 15 min of sacrifice and stored in OCT at −80°C until sectioning.\nMouse brains were coronally sectioned at 10–14 μm thickness and collected at 30–42 μm intervals. Sections were mounted onto Superfrost Plus microscope slides and processed according to the fresh-frozen protocol for the RNAscope HiPlex v2 Assay (Advanced Cell Diagnostics, ACD). Briefly, tissue sections were fixed in 4% paraformaldehyde (PFA), washed in 1x phosphate-buffered saline (PBS), and dehydrated through graded ethanol. Sections were then hybridized with target-specific probes (ACD; listed in Table 1) at 40°C for 2 h in a HybEZ oven. Following hybridization, signal amplification was performed according to the manufacturer’s instructions. Fluorescent detection was achieved through three sequential rounds of amplification and fluorophore labeling using the RNAscope HiPlex v2 reagents, enabling multiplex transcript visualization within the same tissue section. Primary HiPlex imaging data for all samples analyzed in this study are provided in Table S1.\nXenium in situ Gene expression was performed according to the fresh-frozen protocol listed by 10x Genomics.33 Animals were deeply anesthetized prior to transcardial perfusion with phosphate-buffered saline to remove circulating blood. Brains were rapidly dissected, embedded in optimal cutting temperature (OCT) compound, and flash frozen. Coronal cryosections (12 μm) encompassing the mediobasal hypothalamus at 100 μm intervals were mounted onto Xenium slides. Sections were processed according to the Xenium In Situ Gene Expression protocol for fresh frozen samples, including probe hybridization, ligation and signal amplification steps. The assay utilized a 347-gene panel consisting of a 100-gene custom-designed gene set combined with the 10x Genomics Mouse Brain Panel (247 genes), as previously described.24\nSlides were imaged using an Olympus widefield epifluorescence microscope equipped with motorized stage control. Images were acquired using 20x and 40× air objectives, as well as a 60× oil-immersion objective. For each section, z-stacked image series were collected to capture the full thickness of the ZI. Z-steps were acquired at consistent intervals across all samples to ensure uniform sampling and tiled montages were generated to enable visualization of the ZI within each section. Fluorescence channels were sequentially imaged using DAPI, GFP, TRITC, Cy5, and Cy7 filter sets to detect nuclear counterstain and RNAscope HiPlex probe signals. Exposure times, lamp intensity, and camera gain settings were kept constant across experimental groups for each probe channel to allow for direct comparison. Following acquisition, images were stitched and exported using SlideBook Reader (Intelligent Imaging Innovations, Denver, CO, USA).48,49 Subsequent image processing and analysis were performed using ImageJ.50\nCells were segmented, counted, assigned a specific subtype, and assigned foci using pipelines developed in Cell Profiler.51 From these assignments, categorized as marker positive or negative, then cells were further categorized into high, low, and negative expressing cell types based on the number of foci expressed per probe (Table 2). With this information, a master sheet was created describing each cell, its assigned foci, experimental group, and cell type. Each sample (mouse) is an aggregation of, on average, 4,500 cells. Each experimental group contains a minimum of 3 samples (approximately 13,500 cells) per timepoint, with the largest experimental group (ZT6: control) containing 11 samples (approximately 49,500 cells). Given the nature of the data, over 250,000 heterogeneous cells, we anticipate high variability in the data.\nInitial image processing, transcript decoding, and cell boundary assignment were performed using the Xenium onboard analysis pipeline. Datasets were processed using standard nuclear segmentation using DAPI staining which served as the primary seeds for cell boundary delineation. In these samples, cell segmentation was based on nuclear detection followed by expansion to approximate whole-cell boundaries using the Xenium default segmentation algorithm. This approach is appropriate for densely packed neuronal populations where nuclear localization provides a reliable anchor for cellular assignment of transcripts.\nFollowing segmentation, quality assessment was conducted in Xenium Explorer (v1.3)33 to evaluate cell boundary accuracy, transcript localization patterns, and potential segmentation artifacts. Cells with zero detected transcripts were excluded prior to downstream analysis. Datasets were subsequently exported for computational analysis in R using Seurat.47,52 The zona incerta (ZI) was visualized based on Lhx6 and Nkx2-2 expression, and cells identified as belonging to the ZI were subset for downstream analysis. After normalization with SCTransform, dimensionality reduction was performed using principal component analysis (PCA), followed by Uniform Manifold Approximation and Projection (UMAP) for visualization and unsupervised clustering on the subsetted datasets.\nThe Piezo sleep system was used to differentiate sleep and wake states as described previously.34 Mice were housed in the sleep monitoring system with ad libitum access to food and water and allowed to acclimate to the recording environment for one week prior to testing. During the testing period, an unsupervised classifier was used to cluster piezoelectric signal features corresponding to movement and respiration into sleep and wake states.\n\n\n### Sleep deprivation\nBetween 8 and 12 weeks, mice were moved to cages in a climate-controlled room, given food and water ad libitum at 4:30 a.m., and allowed an hour and a half to acclimate to the new environment before experimentation. Sleep deprivation began at 6:30AM (ZT0), and was facilitated by gentle brushing until 12:30PM for a total of 6 h. Control mice were undisturbed and allowed to sleep freely. Mice were sacrificed after 6 h (ZT6) using cervical dislocation, corresponding to the collection of sleep deprivation and control groups, and after one, three, six and 8 h of recovery sleep; corresponding to 7 h (ZT7), 9 h (ZT9), 12 h (ZT12) and 14 h (ZT14) after lights on, respectively. Brains were collected within 15 min of sacrifice and stored in OCT at −80°C until sectioning.\n\n\n### HiPlex\nMouse brains were coronally sectioned at 10–14 μm thickness and collected at 30–42 μm intervals. Sections were mounted onto Superfrost Plus microscope slides and processed according to the fresh-frozen protocol for the RNAscope HiPlex v2 Assay (Advanced Cell Diagnostics, ACD). Briefly, tissue sections were fixed in 4% paraformaldehyde (PFA), washed in 1x phosphate-buffered saline (PBS), and dehydrated through graded ethanol. Sections were then hybridized with target-specific probes (ACD; listed in Table 1) at 40°C for 2 h in a HybEZ oven. Following hybridization, signal amplification was performed according to the manufacturer’s instructions. Fluorescent detection was achieved through three sequential rounds of amplification and fluorophore labeling using the RNAscope HiPlex v2 reagents, enabling multiplex transcript visualization within the same tissue section. Primary HiPlex imaging data for all samples analyzed in this study are provided in Table S1.\n\n\n### Xenium in situ spatial transcriptomics\nXenium in situ Gene expression was performed according to the fresh-frozen protocol listed by 10x Genomics.33 Animals were deeply anesthetized prior to transcardial perfusion with phosphate-buffered saline to remove circulating blood. Brains were rapidly dissected, embedded in optimal cutting temperature (OCT) compound, and flash frozen. Coronal cryosections (12 μm) encompassing the mediobasal hypothalamus at 100 μm intervals were mounted onto Xenium slides. Sections were processed according to the Xenium In Situ Gene Expression protocol for fresh frozen samples, including probe hybridization, ligation and signal amplification steps. The assay utilized a 347-gene panel consisting of a 100-gene custom-designed gene set combined with the 10x Genomics Mouse Brain Panel (247 genes), as previously described.24\n\n\n### Imaging and image processing\nSlides were imaged using an Olympus widefield epifluorescence microscope equipped with motorized stage control. Images were acquired using 20x and 40× air objectives, as well as a 60× oil-immersion objective. For each section, z-stacked image series were collected to capture the full thickness of the ZI. Z-steps were acquired at consistent intervals across all samples to ensure uniform sampling and tiled montages were generated to enable visualization of the ZI within each section. Fluorescence channels were sequentially imaged using DAPI, GFP, TRITC, Cy5, and Cy7 filter sets to detect nuclear counterstain and RNAscope HiPlex probe signals. Exposure times, lamp intensity, and camera gain settings were kept constant across experimental groups for each probe channel to allow for direct comparison. Following acquisition, images were stitched and exported using SlideBook Reader (Intelligent Imaging Innovations, Denver, CO, USA).48,49 Subsequent image processing and analysis were performed using ImageJ.50\n\n\n### HiPlex: Cell counting, segmentation and data assembly\nCells were segmented, counted, assigned a specific subtype, and assigned foci using pipelines developed in Cell Profiler.51 From these assignments, categorized as marker positive or negative, then cells were further categorized into high, low, and negative expressing cell types based on the number of foci expressed per probe (Table 2). With this information, a master sheet was created describing each cell, its assigned foci, experimental group, and cell type. Each sample (mouse) is an aggregation of, on average, 4,500 cells. Each experimental group contains a minimum of 3 samples (approximately 13,500 cells) per timepoint, with the largest experimental group (ZT6: control) containing 11 samples (approximately 49,500 cells). Given the nature of the data, over 250,000 heterogeneous cells, we anticipate high variability in the data.\n\n\n### Cell segmentation, analysis, and visualization of spatial transcriptomics data\nInitial image processing, transcript decoding, and cell boundary assignment were performed using the Xenium onboard analysis pipeline. Datasets were processed using standard nuclear segmentation using DAPI staining which served as the primary seeds for cell boundary delineation. In these samples, cell segmentation was based on nuclear detection followed by expansion to approximate whole-cell boundaries using the Xenium default segmentation algorithm. This approach is appropriate for densely packed neuronal populations where nuclear localization provides a reliable anchor for cellular assignment of transcripts.\nFollowing segmentation, quality assessment was conducted in Xenium Explorer (v1.3)33 to evaluate cell boundary accuracy, transcript localization patterns, and potential segmentation artifacts. Cells with zero detected transcripts were excluded prior to downstream analysis. Datasets were subsequently exported for computational analysis in R using Seurat.47,52 The zona incerta (ZI) was visualized based on Lhx6 and Nkx2-2 expression, and cells identified as belonging to the ZI were subset for downstream analysis. After normalization with SCTransform, dimensionality reduction was performed using principal component analysis (PCA), followed by Uniform Manifold Approximation and Projection (UMAP) for visualization and unsupervised clustering on the subsetted datasets.\n\n\n### Piezo sleep analysis\nThe Piezo sleep system was used to differentiate sleep and wake states as described previously.34 Mice were housed in the sleep monitoring system with ad libitum access to food and water and allowed to acclimate to the recording environment for one week prior to testing. During the testing period, an unsupervised classifier was used to cluster piezoelectric signal features corresponding to movement and respiration into sleep and wake states.\n\n\n### Quantifications and statistical analysis\nPaired t-tests, Fisher’s exact tests, one-way ANOVAs, two-way ANOVAs, Kruskal-Wallis tests (in cases of non-parametric data), mixed-effect analysis (in cases of missing values), Tukey’s Multiple Comparison tests, and Dunn’s Multiple Comparison tests were performed using GraphPad Prism version 10.0.0 for Windows (GraphPad Software, Boston, Massachusetts USA). The Seurat “FindAllMarkers” function with assay “SCT” and default parameters was used for analyzing differential gene expression, using the number of total mRNAs and genes as a variable. All bar graphs show mean and standard deviation (SD), with individual samples (mice) plotted. Significance was determined using an alpha of 0.05. All statistical details of individual experiments can be found in the relevant figure legends.", "domain": "affective_neuroscience"}
{"source": "PMC13097579", "title": "Facial expression recognition for emotion perception: A comprehensive science mapping", "text": "# Facial expression recognition for emotion perception: A comprehensive science mapping\n\n## Abstract\nFacial expression recognition (FER) has emerged as a pivotal interdisciplinary research domain that bridges computer science, psychology, neuroscience, and medicine. By mapping the FER scientific knowledge graph, this study aimed to explore the technological evolution and forecast future trends in this field. The study collected and cleaned the research on emotion perception in the Web of Science (WoS) database, and utilized the software CiteSpace (version 6.4R1) and R (BiblioShiny packages) software to create a scientific knowledge map. K‐means was used for cluster analysis, and then the latent Dirichlet allocation (LDA) was employed to extract popular topics from the text of each cluster. Uniform manifold approximation and projection (UMAP) was utilized to reduce high‐dimensional embeddings to a two‐dimensional space. From a regional perspective, research is mainly distributed in countries or regions such as North America, Western Europe, East Asia, India, and Australia. Research on facial emotion recognition has focused primarily on neuroscience, psychiatry, and psychology. With the rapid development of computer technology, the interdisciplinary intersection is becoming increasingly important as FER has shown strong potential in identifying rare and neurological diseases. Furthermore, the evolution of artificial intelligence (AI) has transformed facial expression feature extraction from manual methodologies to machine learning‐based approaches. The rapid development of computer algorithms and AI has greatly improved the accuracy and speed of facial emotion recognition. As a technology capable of detecting instantaneous emotional changes, FER holds promising prospects in fields such as neuroscience, emotion analysis, and pain assessment. Facial expression recognition (FER) has emerged as a pivotal interdisciplinary research domain, bridging computer science, psychology, neuroscience, and medicine. By mapping the FER scientific knowledge graph, the study aimed to explore the technological evolution and forecast future application trends in this field.\n\n## Full Text\n\n\n### INTRODUCTION\nFacial expressions represent the most immediate and biologically fundamental manifestation of human emotion and psychological state. Evolutionarily shaped to facilitate essential survival functions, emotions gradually evolve and exhibit distinct characteristics including sudden generation, transient effects, involuntary triggering, automatic evaluation, and response coherence.\n1\n As early as 1970s, Ekman proposed the Facial Action Coding System (FACS), which links the movement of facial muscles with emotions.\n2\n Through analysis of facial muscle movement, facial expressions are divided into multiple action units (AUs), and six basic emotions are defined. Moreover, emotions are universal, but people's facial expressions in different cultures, races, and regions are highly consistent.\n3\n FACS theory provides a standardized tool for psychological emotion recognition and a theoretical basis for applying computer vision in expression recognition. Advances in artificial intelligence (AI) technology have significantly increased the efficiency and precision of emotion recognition. As a result, facial expression recognition (FER) has emerged as an important interdisciplinary research domain spanning psychology, computer science, neuroscience, and medicine. With the iteration of deep learning technology and the availability of diverse large‐scale datasets, FER research has experienced explosive growth, accompanied by increasing diversification in research topics, methodologies, and technical approaches. FER plays an important role in evaluating emotional changes and therapeutic efficacy in individuals with mental disorders. Under these circumstances, adopting a scientific knowledge mapping system to analyze the knowledge structure, identify research hotspots, and detect evolution trends will not only help elucidate the developmental trajectory of FER but also address the challenges of current development and provide a potential direction for FER.\nWith the rapid development of AI and deep learning, FER models have been rapidly applied to emotion recognition in recent years. By training a small number of datasets, more accurate emotion recognition can be obtained, expanding the application of FER in clinical medicine. The combinations of FER with electroencephalography (EEG), eye tracking, and other technologies for multimodal emotion recognition and the development of brain computer interfaces promote traditional emotion recognition and provide possibilities for exploring more complex advanced brain functions. The previous reviews mainly focused on the differences between algorithm models, but overlooked the exploration of the potential application of FER in different fields. This study used science mapping analysis to systematically review the current application status and development trends of facial recognition technology in emotion recognition.\n\n\n### METHODS\nThis study determined FER technology as the research topic, with a focus on analyzing past research priorities and future research directions. Subsequently, data extraction and cleaning were carried out, followed by using scientometric analysis. Scientometrics primarily examines research trends through citation analysis, co‐occurrence, and network science to identify historical research priorities. To explore the potential future research directions in FER, the study additionally adopted in‐depth topic clustering analysis of the abstract to infer emerging scientific frontiers. The analytical results yield a holistic perspective on the evolution of FER technology and propose applications for diverse potential populations.\nThe study used “facial recognition” and “emotion” as keywords for retrieval. After the search terms were determined, we systematically searched in the Web of Science (WoS) Core database and completed the search on April 10, 2025. The principles of data collection and cleaning are as follows: (1) the search strategy is presented in Table 1; (2) only peer‐reviewed articles were included; conference proceedings, letters/correspondence, revisions, and retracted papers were excluded; (3) the publication date was unrestricted; and (4) the publication language is defined as English. After using NoteExpress (Aegean, Beijing) for deduplication, two researchers independently screened the articles by reading the titles and abstracts, and the disputed literature was adjudicated by a third researcher.\nSearch terms and strategies.\nThe study utilized Microsoft Excel 2021 (Microsoft Corporation, USA) to visualize the world distribution of literature density. Column charts, sector charts, and volcano charts for quantity statistics were generated via OriginPro 2024 (OriginLab Corporation, USA). In this study, we used CiteSpace software (version 6.4.R1) to conduct co‐occurrence analysis of countries and keywords, as well as keyword burst analysis.\n4\n Slice length was set to 1 and g‐index to k = 25 to understand the important research achievements and development trends in this field. The Biblioshiny package in R was used to conduct trend topic analysis on keywords to understand hot topics in the field of FER research.\n5\n The node size represents the frequency of occurrence, and the line length represents the time span. After completing data collection and cleaning, we completed the production of the science mapping on April 26, 2025.\nThe abstracts of the included studies were exported to Excel. Textual information was transformed into vector representations via the Word2Vec model in Python. The K‐means algorithm is used to aggregate document vectors into K clusters and identify document groups with similar semantic content. To maintain a balance between granularity and interpretability, 10 clusters were selected for manual interpretation and labeling based on the silhouette score. The representative topic words from each cluster were extracted via latent Dirichlet allocation (LDA), and the core topic content of each cluster was identified. Finally, high‐dimensional embeddings were reduced to a two‐dimensional space via uniform manifold approximation and projection (UMAP), with clusters color‐coded and topic labels annotated.\n6\n The code for topic clustering analysis can be found on GitHub at https://github.com/jdheu34/Topic-clustering-analysis.git.\n\n\n### Overview of the research process and analytical methods\nThis study determined FER technology as the research topic, with a focus on analyzing past research priorities and future research directions. Subsequently, data extraction and cleaning were carried out, followed by using scientometric analysis. Scientometrics primarily examines research trends through citation analysis, co‐occurrence, and network science to identify historical research priorities. To explore the potential future research directions in FER, the study additionally adopted in‐depth topic clustering analysis of the abstract to infer emerging scientific frontiers. The analytical results yield a holistic perspective on the evolution of FER technology and propose applications for diverse potential populations.\n\n\n### Data collection and cleaning\nThe study used “facial recognition” and “emotion” as keywords for retrieval. After the search terms were determined, we systematically searched in the Web of Science (WoS) Core database and completed the search on April 10, 2025. The principles of data collection and cleaning are as follows: (1) the search strategy is presented in Table 1; (2) only peer‐reviewed articles were included; conference proceedings, letters/correspondence, revisions, and retracted papers were excluded; (3) the publication date was unrestricted; and (4) the publication language is defined as English. After using NoteExpress (Aegean, Beijing) for deduplication, two researchers independently screened the articles by reading the titles and abstracts, and the disputed literature was adjudicated by a third researcher.\nSearch terms and strategies.\n\n\n### Scientific knowledge mapping\nThe study utilized Microsoft Excel 2021 (Microsoft Corporation, USA) to visualize the world distribution of literature density. Column charts, sector charts, and volcano charts for quantity statistics were generated via OriginPro 2024 (OriginLab Corporation, USA). In this study, we used CiteSpace software (version 6.4.R1) to conduct co‐occurrence analysis of countries and keywords, as well as keyword burst analysis.\n4\n Slice length was set to 1 and g‐index to k = 25 to understand the important research achievements and development trends in this field. The Biblioshiny package in R was used to conduct trend topic analysis on keywords to understand hot topics in the field of FER research.\n5\n The node size represents the frequency of occurrence, and the line length represents the time span. After completing data collection and cleaning, we completed the production of the science mapping on April 26, 2025.\n\n\n### Topic clustering analysis\nThe abstracts of the included studies were exported to Excel. Textual information was transformed into vector representations via the Word2Vec model in Python. The K‐means algorithm is used to aggregate document vectors into K clusters and identify document groups with similar semantic content. To maintain a balance between granularity and interpretability, 10 clusters were selected for manual interpretation and labeling based on the silhouette score. The representative topic words from each cluster were extracted via latent Dirichlet allocation (LDA), and the core topic content of each cluster was identified. Finally, high‐dimensional embeddings were reduced to a two‐dimensional space via uniform manifold approximation and projection (UMAP), with clusters color‐coded and topic labels annotated.\n6\n The code for topic clustering analysis can be found on GitHub at https://github.com/jdheu34/Topic-clustering-analysis.git.\n\n\n### RESULTS\nA total of 7119 records were obtained through a preliminary search. After removing 893 nonartistic records and 69 records unrelated to the topic, a total of 6157 records were included (Figure 1). To understand the number of papers published in the field of FER in different countries or regions, a global academic output distribution heatmap was created. The darker the color is, the greater the number of articles published in the region. Geographically, research output was primarily concentrated in countries or regions such as North America, Western Europe, East Asia, India, and Australia (Figure 2A). The number of publications has increased yearly since the 1990s, peaking in 2022, followed by a slight decline in the following 2 years (Figure 2B). Nodes with high centrality represent their role as bridges or hubs in the knowledge structure. The centrality calculation result is a normalized value, usually between 0 and 1. Nodes with centrality ≥ 0.1 are usually considered key hub nodes. China ranks third in the world in terms of the number of published articles (n = 810), which is lower than that reported by the United States (n = 1510) and the United Kingdom (n = 829). However, China's centrality is only 0.06, which is far lower than that of the United States (0.21), the United Kingdom (0.23), and France (0.24) (Figure 2C,D). Although China has a relatively high number of published papers worldwide, there is a relative lack of high‐quality and influential papers.\nThe flowchart of literature inclusion and exclusion.\nGlobal publication distribution and temporal trends. (A) Global distribution of research publications. (B) Temporal trend of publications. (C) Co‐occurrence analysis of the main publishing countries or regions. (D) Publication output and network centrality of leading countries/regions.\nThe three journals with the highest publication counts were Frontiers in Psychology (n = 174), PLOS ONE (n = 136), and Neuropsychologia (n = 126) (Figure 3A). The top three cited journals were Neuropsychologia (n = 2666), Neuroimage (n = 2278), and PLOS ONE (n = 2077) (Figure 3B). IEEE Access has experienced particularly rapid growth in publication volume in recent years, which may be attributed to the interdisciplinary development of computer science and medicine (Figure 3C). Analysis of the WoS categories revealed Neurosciences, Psychiatry, and Psychology Experimental as the top three research fields (Figure 3D).\nJournal and science category analysis. (A) Top 10 most prolific journals. (B) Top 10 most cited journals. (C) Publication trends of the leading journals. (D) Top 10 most frequent Web of Science categories.\nThe timeline view of keyword citation bursts reveals the evolution of research hotspots in this field. Early research primarily focused on neuroscience, particularly the neural mechanisms of the amygdala in fear emotions. Subsequent advances in machine learning, deep learning, and neural networks have provided technical support for emotion recognition technology. At present, the feature fusion optimization of emotion recognition is based on convolutional neural networks (CNNs) and cross‐modal emotion data (e.g., eye tracking), marking a transition from basic neuroscience to AI‐driven emotion computing (Figure 4A,B). The co‐occurrence network of keywords reveals the core research directions in emotion recognition, including deep learning, computer vision, feature fusion, transfer learning, and human–computer interaction, demonstrating the trend of multimodal technology fusion, especially the cross‐application of feature fusion and emotion recognition (Figure 5A). Emotion recognition technology has been predominantly applied to four clinical categories: emotional disorders (e.g., depression, bipolar disorder), neurodevelopmental disorders (e.g., Asperger syndrome, autism spectrum disorder), neurodegenerative diseases (e.g., Alzheimer's disease, Parkinson's disease), and behavioral and emotional disorders (e.g., conduct disorder, phobia) (Figure 5B).\nKeyword citation bursts analysis. (A) Top 10 keywords with the strongest citation bursts. (B) Trend topics of keywords in the past decade.\nKeyword co‐occurrence analysis. (A) Co‐occurrence network of technology‐focused keywords. (B) Co‐occurrence network of disease/symptom‐focused keywords.\nTen topics were extracted after clustering via 2‐dimensional UMAP (Figure 6). Each cluster corresponds to a specific set of keywords detailed in Table 2. The results revealed that algorithm development research, such as deep learning and feature engineering, has become the most active field.\nTwo‐dimensional visualization of topic clusters. (A) Topic modeling workflow. (B) Topic clusters visualized by uniform manifold approximation and projection (UMAP).\nTopic clusters and keywords identified in topic modeling analysis.\nPart 1\nComputational science and technology development\nCluster 4\nArtificial intelligence models and algorithms\nCluster 8\nComputer vision methods\nPart 2\nSocial cognition and clinical application\nCluster 5\nClinical population study\nCluster 7\nSocial cognitive impairment\nCluster 9\nResearch on developmental groups\nCluster 10\nClinical evaluation application\nPart 3\nExploration of basic neural mechanisms\nCluster 2\nNormal emotional processing\nCluster 3\nNeurological basis and patients\nPart 4\nIntegrated and core methodology\nCluster 1\nMechanisms for FER\nCluster 6\nOutcome analysis\nNote: Bold text indicates keywords that are distinctly characteristic of the corresponding cluster and clearly distinguish it from other clusters.\nThese 10 clusters clearly outline the four core pillars of FER research. The first part is the development of computational science and technology, which includes Cluster 4 and Cluster 8. Cluster 4 represents AI models and algorithms, with keywords such as model, learning, method, and feature indicating that its core focus is on developing new algorithms and feature extraction techniques. Cluster 8 represents computer vision methods, with keywords such as proposed, method, model, and image emphasizing the proposal of new methods and systems to solve specific engineering problems. The second part concerns social cognition and clinical applications, and includes Cluster 5, Cluster 7, Cluster 9, and Cluster 10. Cluster 5 represents a clinical population study that compares the abnormal facial expression processing of patients with specific diseases with that of the control group. Cluster 7 represents social cognitive impairment, focusing on higher level social and cognitive functions, and how the disorder affects these functions. Cluster 9 represents the study of developmental groups, and the keyword “child” indicates that its focus is on the development process of emotional abilities and specific obstacles in the child population. Cluster 10 represents clinical evaluation applications, focusing on using emotion recognition as a tool for group comparison and clinical control assessment. The third part explores basic neural mechanisms, including Cluster 2 and Cluster 3. Cluster 2 represents normal emotional processing, which uses stimuli to study the response of healthy brains, with a focus on the differences in processing neutral and emotional faces. Cluster 3 represents the relationship between the neural basis and the patients, with keywords amygdala, brain, and neural, which directly indicate their neuroscience attributes. By studying patients, specific brain regions involved in emotional processing can be located. The fourth part is the synthesis and core methodology, which includes Cluster 1 and Cluster 6. These two clusters constitute the cornerstone of the field, representing classic psychological experimental research and providing basic paradigms and theoretical support for other branches.\n\n\n### Global publication distribution and temporal trends\nA total of 7119 records were obtained through a preliminary search. After removing 893 nonartistic records and 69 records unrelated to the topic, a total of 6157 records were included (Figure 1). To understand the number of papers published in the field of FER in different countries or regions, a global academic output distribution heatmap was created. The darker the color is, the greater the number of articles published in the region. Geographically, research output was primarily concentrated in countries or regions such as North America, Western Europe, East Asia, India, and Australia (Figure 2A). The number of publications has increased yearly since the 1990s, peaking in 2022, followed by a slight decline in the following 2 years (Figure 2B). Nodes with high centrality represent their role as bridges or hubs in the knowledge structure. The centrality calculation result is a normalized value, usually between 0 and 1. Nodes with centrality ≥ 0.1 are usually considered key hub nodes. China ranks third in the world in terms of the number of published articles (n = 810), which is lower than that reported by the United States (n = 1510) and the United Kingdom (n = 829). However, China's centrality is only 0.06, which is far lower than that of the United States (0.21), the United Kingdom (0.23), and France (0.24) (Figure 2C,D). Although China has a relatively high number of published papers worldwide, there is a relative lack of high‐quality and influential papers.\nThe flowchart of literature inclusion and exclusion.\nGlobal publication distribution and temporal trends. (A) Global distribution of research publications. (B) Temporal trend of publications. (C) Co‐occurrence analysis of the main publishing countries or regions. (D) Publication output and network centrality of leading countries/regions.\n\n\n### Journal and science category analysis\nThe three journals with the highest publication counts were Frontiers in Psychology (n = 174), PLOS ONE (n = 136), and Neuropsychologia (n = 126) (Figure 3A). The top three cited journals were Neuropsychologia (n = 2666), Neuroimage (n = 2278), and PLOS ONE (n = 2077) (Figure 3B). IEEE Access has experienced particularly rapid growth in publication volume in recent years, which may be attributed to the interdisciplinary development of computer science and medicine (Figure 3C). Analysis of the WoS categories revealed Neurosciences, Psychiatry, and Psychology Experimental as the top three research fields (Figure 3D).\nJournal and science category analysis. (A) Top 10 most prolific journals. (B) Top 10 most cited journals. (C) Publication trends of the leading journals. (D) Top 10 most frequent Web of Science categories.\n\n\n### Keyword citation bursts and co‐occurrence analysis\nThe timeline view of keyword citation bursts reveals the evolution of research hotspots in this field. Early research primarily focused on neuroscience, particularly the neural mechanisms of the amygdala in fear emotions. Subsequent advances in machine learning, deep learning, and neural networks have provided technical support for emotion recognition technology. At present, the feature fusion optimization of emotion recognition is based on convolutional neural networks (CNNs) and cross‐modal emotion data (e.g., eye tracking), marking a transition from basic neuroscience to AI‐driven emotion computing (Figure 4A,B). The co‐occurrence network of keywords reveals the core research directions in emotion recognition, including deep learning, computer vision, feature fusion, transfer learning, and human–computer interaction, demonstrating the trend of multimodal technology fusion, especially the cross‐application of feature fusion and emotion recognition (Figure 5A). Emotion recognition technology has been predominantly applied to four clinical categories: emotional disorders (e.g., depression, bipolar disorder), neurodevelopmental disorders (e.g., Asperger syndrome, autism spectrum disorder), neurodegenerative diseases (e.g., Alzheimer's disease, Parkinson's disease), and behavioral and emotional disorders (e.g., conduct disorder, phobia) (Figure 5B).\nKeyword citation bursts analysis. (A) Top 10 keywords with the strongest citation bursts. (B) Trend topics of keywords in the past decade.\nKeyword co‐occurrence analysis. (A) Co‐occurrence network of technology‐focused keywords. (B) Co‐occurrence network of disease/symptom‐focused keywords.\n\n\n### Topic modeling analysis\nTen topics were extracted after clustering via 2‐dimensional UMAP (Figure 6). Each cluster corresponds to a specific set of keywords detailed in Table 2. The results revealed that algorithm development research, such as deep learning and feature engineering, has become the most active field.\nTwo‐dimensional visualization of topic clusters. (A) Topic modeling workflow. (B) Topic clusters visualized by uniform manifold approximation and projection (UMAP).\nTopic clusters and keywords identified in topic modeling analysis.\nPart 1\nComputational science and technology development\nCluster 4\nArtificial intelligence models and algorithms\nCluster 8\nComputer vision methods\nPart 2\nSocial cognition and clinical application\nCluster 5\nClinical population study\nCluster 7\nSocial cognitive impairment\nCluster 9\nResearch on developmental groups\nCluster 10\nClinical evaluation application\nPart 3\nExploration of basic neural mechanisms\nCluster 2\nNormal emotional processing\nCluster 3\nNeurological basis and patients\nPart 4\nIntegrated and core methodology\nCluster 1\nMechanisms for FER\nCluster 6\nOutcome analysis\nNote: Bold text indicates keywords that are distinctly characteristic of the corresponding cluster and clearly distinguish it from other clusters.\nThese 10 clusters clearly outline the four core pillars of FER research. The first part is the development of computational science and technology, which includes Cluster 4 and Cluster 8. Cluster 4 represents AI models and algorithms, with keywords such as model, learning, method, and feature indicating that its core focus is on developing new algorithms and feature extraction techniques. Cluster 8 represents computer vision methods, with keywords such as proposed, method, model, and image emphasizing the proposal of new methods and systems to solve specific engineering problems. The second part concerns social cognition and clinical applications, and includes Cluster 5, Cluster 7, Cluster 9, and Cluster 10. Cluster 5 represents a clinical population study that compares the abnormal facial expression processing of patients with specific diseases with that of the control group. Cluster 7 represents social cognitive impairment, focusing on higher level social and cognitive functions, and how the disorder affects these functions. Cluster 9 represents the study of developmental groups, and the keyword “child” indicates that its focus is on the development process of emotional abilities and specific obstacles in the child population. Cluster 10 represents clinical evaluation applications, focusing on using emotion recognition as a tool for group comparison and clinical control assessment. The third part explores basic neural mechanisms, including Cluster 2 and Cluster 3. Cluster 2 represents normal emotional processing, which uses stimuli to study the response of healthy brains, with a focus on the differences in processing neutral and emotional faces. Cluster 3 represents the relationship between the neural basis and the patients, with keywords amygdala, brain, and neural, which directly indicate their neuroscience attributes. By studying patients, specific brain regions involved in emotional processing can be located. The fourth part is the synthesis and core methodology, which includes Cluster 1 and Cluster 6. These two clusters constitute the cornerstone of the field, representing classic psychological experimental research and providing basic paradigms and theoretical support for other branches.\n\n\n### DISCUSSION\nHuman emotion represents a complex psychophysiological phenomenon. Ekman's foundational work in the 1970s proposed a definition of emotion that underpins modern emotion recognition research.\n2\n Discrete emotions and dimensional emotions are currently the two mainstream emotion models, which offer complementary perspectives on emotional phenomena and inform the development of facial expression databases.\n7\n, \n8\n FER‐related research began in the 1990s, and the number of related studies has gradually increased, indicating that FER is a promising field. FER research has focused mainly on North America, China, Western Europe, India, and Australia. The United States, England, and France have high centrality, indicating that these countries play an important role in this field. In terms of publishing journals and fields, FER is highly regarded not only in the medical field but also in the engineering and computer fields.\nFacial expressions represent the most intuitive visual signals for emotional communication, serving as crucial nonverbal indicators of human intentions. Ekman and Friesen's FACS remains the gold standard for FER.\n9\n However, technological limitations and imaging conditions often constrain the emotional information extracted from facial expressions. In the late 1990s, facial emotion recognition technology achieved several key breakthroughs in algorithm innovation, dataset construction, and interdisciplinary integration. Technological evolution has shifted facial expression feature extraction from manual methods to machine learning approaches. The analysis of keyword burst intensity revealed that deep learning (strength = 74.30) and feature extraction (strength = 42.47) have very high intensities, indicating that deep learning is now the driving force of the FER core and that feature extraction has always been the core problem in this field (Figure 4A). Gabor filters and elastic graph matching (EGM) form a sparse graph structure of facial key‐points and subtle textures, improving the accuracy of dynamic expression and micro‐expression analysis.\n10\n The research trends and durations indicate that deep learning, AI, machine learning, and other technological methods have become mainstream in recent years, and FER models have learned how to recognize expressions through massive amounts of data (Figures 4B and 5A). The Japanese Female Facial Expression (JAFFE) database, developed by Lyons, provides annotated datasets that facilitate algorithm comparison and validation.\n11\n Early facial recognition technology relied primarily on static image features, including Gabor features,\n12\n local binary pattern (LBP) features,\n13\n and principal component analysis (PCA) features.\n14\n Dynamic facial expression recognition (DFER) can obtain temporal emotional changes from video or image sequences, which is a part of the development of intelligent human–computer interaction systems. Maruthapillai and Murugappan achieved real‐time recognition of facial expressions via an optical flow algorithm for facial landmark tracking.\n15\n, \n16\n Recent AI advancements have enabled deep learning methods for complex scenes and large‐scale data analysis. Notably, deep learning methods include deep convolutional neural networks (DCNNs), recurrent neural networks (RNNs), generative adversarial networks (GANs), transformers, and comparative language image pretraining (CLIP).\n16\n Karnati et al. proposed FER‐net based on a CNN, which effectively distinguishes facial expressions using a softmax classifier.\n17\n To address the issues of overfitting and intra‐class facial appearance variations in traditional CNNs, they proposed a texture‐based feature‐level ensemble parallel network (FLEPNet) on the original model to improve the performance of FER systems.\n18\n With the development of AI technology, transfer learning models are becoming a new paradigm in the field of FER and a cutting‐edge exploration direction in this field (Figure 5A).\nPain is a subjective feeling with both sensory and emotional dimensions.\n19\n Pain assessment relies mainly on self‐assessment scales, which lack objective indicators. This poses significant challenges in patients unable to reliably self‐report pain, such as infants, critically ill or intubated patients, and individuals with dementia or severe communication impairments. To address these challenges, using machine learning models to analyze facial expressions can be used to evaluate postoperative pain and patients who need rescue analgesia.\n20\n Some models have also been developed for pain assessment in neonates and patients with dementia, such as the InceptionV3,\n21\n PainChek® Adult,\n22\n and FaceReader9\n23\n models, which have achieved satisfactory accuracy and F1 scores. The Pose invariant Occlusion robust Pain Assessment (POPA) framework can be used to assess pain in newborns based on their facial features, which is crucial for improving pain management in newborns.\n24\n FER models applied to pain assessment can be found in Table 3.\nSummary of common facial expression recognition models on pain and disease evaluation.\nAbbreviations: AI‐FR, artificial intelligence‐based facial recognition; AU, action unit; AUROC, area under the receiver operating characteristic curve; FER, facial expression recognition; POPA, Pose‐invariant Occlusion‐robust Pain Assessment.\nFER also shows strong potential in identifying rare diseases\n25\n, \n26\n and neurological diseases.\n32\n Jin et al. used Face++ to extract facial expression features and then applied deep learning algorithms to diagnose Parkinson's disease, achieving an accuracy of 86% and an F1 score of 75%. In addition, the support vector machine algorithm was used to process facial micro‐expressions, and the F1 value increased to 99%.\n27\n FER can also be used to assess the severity of diseases. Patients with myasthenia gravis (MG) may have involvement of extraocular muscles, and the use of 3D ResNet‐50 can accurately classify the severity of the disease.\n28\n FER can quickly identify the emotional state of healthy individuals or patients with mental disorders. At present, several models have been developed for psychologically assisted diagnosis. For example, the Vision Transformer FER (CmdVIT) is used to assess the emotional state of patients with mental disorders,\n29\n the IDenseNet‐RCA is used to assess autism spectrum disorders,\n30\n and the RetinaFace model to assess the emotional state of employees.\n31\n More details of the FER model for disease assessment can be found in Table 3.\nTraditional Chinese medicine (TCM) practitioners believe that specific areas of the face contain the health status of Zang Fu organs. Facial assessment has always been an important component of TCM. The research on facial automated TCM diagnosis based on AI is exploring and developing. The use of deep neural network technology to analyze pulse wave signals in facial videos can be used to assist in blood pressure prediction, providing a convenient method for the management of cardiovascular diseases.\n33\n The use of emotional computing and AI in the diagnosis and treatment process of TCM can establish emotional models tailored to the patient's mood. This utilization of the five‐tone intelligent diagnosis system greatly improves the accuracy of diagnosis and treatment.\n34\nIn recent years, humanoid robots have made rapid progress in both mobility and coordination. With the development of AI and flexible electronic devices, humanoid robots have gradually achieved basic facial expressions and preliminary anthropomorphism.\n35\n Humanoid robots with diverse facial expressions have received more attention in human–computer interaction, especially in psychological testing and promoting mental health. At present, there is still a lack of quantitative evaluation methods for the facial expressions of humanoid robots.\n36\n Developing FER specifically for humanoid robots is beneficial for providing emotional personification of robots and bridging the gap between humanoid robots and humans.\n37\nIn emotion recognition tasks, single FER has limitations due to the subjectivity and fraud of facial expressions. Integrating emotional signals with objective physiological or neuroimaging data can significantly improve recognition performance. The current technologies that can perform multimodal analysis\n38\n, \n39\n, \n40\n, \n41\n with FER include EEG, galvanic skin response (GSR), heart rate variability (HRV), electromyography (EMG), eye movement, functional magnetic resonance imaging (fMRI), and functional near‐infrared spectroscopy (fNIRS) (Figure 7). Multimodal emotion recognition integrates multidimensional data, significantly improving the accuracy of emotion analysis, and provides the possibility of using a brain–computer interface (BCI) for pain management, psychological intervention, and emotion detection in the future. The Brain Machine Generative Adversarial Networks (BM‐GAN) were used to learn cognitive features from EEG signals triggered by facial emotional images. After training, the model achieved an accuracy of 96.6% in recognizing facial emotional images.\n42\n The introduction of BCI is expected to transform open‐loop multimodal recognition into a closed‐loop intervention paradigm. A personalized recognition system based on multimodal emotions that uses advanced cross‐modal fusion algorithms, such as attention mechanisms and transformers, to balance the reliability of different signals and decode emotions and pain states. After emotional or pain signals are recognized, the system automatically provides neural regulation or other interventions, forming a real‐time and automatic closed loop. However, it must be noted that this deep integration technology also brings serious ethical challenges, and it is necessary to establish relevant ethical and regulatory frameworks simultaneously, which is itself an important future research direction.\n43\nTechnical framework for facial emotion perception and multimodal integration. EEG, electroencephalography; EMG, electromyography; fMRI, functional magnetic resonance imaging; fNIRS, functional near‐infrared spectroscopy; GSR, galvanic skin response; HRV, heart rate variability.\nGiven that facial recognition is a sensitive biometric information about individuals, strict ethical review and regulation must be followed when using facial recognition in clinical practice. For special situations such as mental illness, children, dementia, etc., patients should be the center and communicate with themselves and their guardians with full respect. When collecting facial data, attention should be paid to data security to prevent data leakage. Algorithmic FER also leads to biased decisions, necessitating that medical staff be fully involved in the decision‐making process.\nThere are few bibliometric studies on FER that can be retrieved. Girdhar et al. conducted research on the identification of common biomedical features, which included facial recognition, fingerprint and palm print recognition, iris and retina scanning, speech and speech analysis, gait recognition, and DNA‐based recognition. However, this study did not focus on facial expressions.\n44\n Ahmad et al. conducted a bibliometric analysis on facial micro‐expressions and deep learning. However, this study was limited to facial micro‐expressions and did not explore the potential applications of FER.\n45\n Our study thoroughly investigated the common models and potential applications of FER for emotions through science mapping methods. Its interdisciplinary approach involves new research avenues in neuroscience, psychology, psychiatry, and clinical medicine.\nHowever, this study has several limitations. First, to avoid information loss caused by format conversion, we only included the WoS database to ensure data reliability, but this may also result in the omission of relevant studies from other sources. In the future, the database scope can be expanded by transcoding citation formats. Second, our study did not conduct subgroup analysis on different fields, so we were unable to obtain specific characteristics of FER research in different fields. In the future, bibliometric analysis can be conducted in specific fields such as psychology, psychiatry, and pain assessment to explore research directions and hotspots that are more suitable for this field.\n\n\n### Traditional FER to deep learning and AI mode\nFacial expressions represent the most intuitive visual signals for emotional communication, serving as crucial nonverbal indicators of human intentions. Ekman and Friesen's FACS remains the gold standard for FER.\n9\n However, technological limitations and imaging conditions often constrain the emotional information extracted from facial expressions. In the late 1990s, facial emotion recognition technology achieved several key breakthroughs in algorithm innovation, dataset construction, and interdisciplinary integration. Technological evolution has shifted facial expression feature extraction from manual methods to machine learning approaches. The analysis of keyword burst intensity revealed that deep learning (strength = 74.30) and feature extraction (strength = 42.47) have very high intensities, indicating that deep learning is now the driving force of the FER core and that feature extraction has always been the core problem in this field (Figure 4A). Gabor filters and elastic graph matching (EGM) form a sparse graph structure of facial key‐points and subtle textures, improving the accuracy of dynamic expression and micro‐expression analysis.\n10\n The research trends and durations indicate that deep learning, AI, machine learning, and other technological methods have become mainstream in recent years, and FER models have learned how to recognize expressions through massive amounts of data (Figures 4B and 5A). The Japanese Female Facial Expression (JAFFE) database, developed by Lyons, provides annotated datasets that facilitate algorithm comparison and validation.\n11\n Early facial recognition technology relied primarily on static image features, including Gabor features,\n12\n local binary pattern (LBP) features,\n13\n and principal component analysis (PCA) features.\n14\n Dynamic facial expression recognition (DFER) can obtain temporal emotional changes from video or image sequences, which is a part of the development of intelligent human–computer interaction systems. Maruthapillai and Murugappan achieved real‐time recognition of facial expressions via an optical flow algorithm for facial landmark tracking.\n15\n, \n16\n Recent AI advancements have enabled deep learning methods for complex scenes and large‐scale data analysis. Notably, deep learning methods include deep convolutional neural networks (DCNNs), recurrent neural networks (RNNs), generative adversarial networks (GANs), transformers, and comparative language image pretraining (CLIP).\n16\n Karnati et al. proposed FER‐net based on a CNN, which effectively distinguishes facial expressions using a softmax classifier.\n17\n To address the issues of overfitting and intra‐class facial appearance variations in traditional CNNs, they proposed a texture‐based feature‐level ensemble parallel network (FLEPNet) on the original model to improve the performance of FER systems.\n18\n With the development of AI technology, transfer learning models are becoming a new paradigm in the field of FER and a cutting‐edge exploration direction in this field (Figure 5A).\n\n\n### Pain assessment\nPain is a subjective feeling with both sensory and emotional dimensions.\n19\n Pain assessment relies mainly on self‐assessment scales, which lack objective indicators. This poses significant challenges in patients unable to reliably self‐report pain, such as infants, critically ill or intubated patients, and individuals with dementia or severe communication impairments. To address these challenges, using machine learning models to analyze facial expressions can be used to evaluate postoperative pain and patients who need rescue analgesia.\n20\n Some models have also been developed for pain assessment in neonates and patients with dementia, such as the InceptionV3,\n21\n PainChek® Adult,\n22\n and FaceReader9\n23\n models, which have achieved satisfactory accuracy and F1 scores. The Pose invariant Occlusion robust Pain Assessment (POPA) framework can be used to assess pain in newborns based on their facial features, which is crucial for improving pain management in newborns.\n24\n FER models applied to pain assessment can be found in Table 3.\nSummary of common facial expression recognition models on pain and disease evaluation.\nAbbreviations: AI‐FR, artificial intelligence‐based facial recognition; AU, action unit; AUROC, area under the receiver operating characteristic curve; FER, facial expression recognition; POPA, Pose‐invariant Occlusion‐robust Pain Assessment.\n\n\n### Disease evaluation\nFER also shows strong potential in identifying rare diseases\n25\n, \n26\n and neurological diseases.\n32\n Jin et al. used Face++ to extract facial expression features and then applied deep learning algorithms to diagnose Parkinson's disease, achieving an accuracy of 86% and an F1 score of 75%. In addition, the support vector machine algorithm was used to process facial micro‐expressions, and the F1 value increased to 99%.\n27\n FER can also be used to assess the severity of diseases. Patients with myasthenia gravis (MG) may have involvement of extraocular muscles, and the use of 3D ResNet‐50 can accurately classify the severity of the disease.\n28\n FER can quickly identify the emotional state of healthy individuals or patients with mental disorders. At present, several models have been developed for psychologically assisted diagnosis. For example, the Vision Transformer FER (CmdVIT) is used to assess the emotional state of patients with mental disorders,\n29\n the IDenseNet‐RCA is used to assess autism spectrum disorders,\n30\n and the RetinaFace model to assess the emotional state of employees.\n31\n More details of the FER model for disease assessment can be found in Table 3.\n\n\n### AI in traditional Chinese medicine\nTraditional Chinese medicine (TCM) practitioners believe that specific areas of the face contain the health status of Zang Fu organs. Facial assessment has always been an important component of TCM. The research on facial automated TCM diagnosis based on AI is exploring and developing. The use of deep neural network technology to analyze pulse wave signals in facial videos can be used to assist in blood pressure prediction, providing a convenient method for the management of cardiovascular diseases.\n33\n The use of emotional computing and AI in the diagnosis and treatment process of TCM can establish emotional models tailored to the patient's mood. This utilization of the five‐tone intelligent diagnosis system greatly improves the accuracy of diagnosis and treatment.\n34\n\n\n### Humanoid robot\nIn recent years, humanoid robots have made rapid progress in both mobility and coordination. With the development of AI and flexible electronic devices, humanoid robots have gradually achieved basic facial expressions and preliminary anthropomorphism.\n35\n Humanoid robots with diverse facial expressions have received more attention in human–computer interaction, especially in psychological testing and promoting mental health. At present, there is still a lack of quantitative evaluation methods for the facial expressions of humanoid robots.\n36\n Developing FER specifically for humanoid robots is beneficial for providing emotional personification of robots and bridging the gap between humanoid robots and humans.\n37\n\n\n### Multimodal emotion recognition\nIn emotion recognition tasks, single FER has limitations due to the subjectivity and fraud of facial expressions. Integrating emotional signals with objective physiological or neuroimaging data can significantly improve recognition performance. The current technologies that can perform multimodal analysis\n38\n, \n39\n, \n40\n, \n41\n with FER include EEG, galvanic skin response (GSR), heart rate variability (HRV), electromyography (EMG), eye movement, functional magnetic resonance imaging (fMRI), and functional near‐infrared spectroscopy (fNIRS) (Figure 7). Multimodal emotion recognition integrates multidimensional data, significantly improving the accuracy of emotion analysis, and provides the possibility of using a brain–computer interface (BCI) for pain management, psychological intervention, and emotion detection in the future. The Brain Machine Generative Adversarial Networks (BM‐GAN) were used to learn cognitive features from EEG signals triggered by facial emotional images. After training, the model achieved an accuracy of 96.6% in recognizing facial emotional images.\n42\n The introduction of BCI is expected to transform open‐loop multimodal recognition into a closed‐loop intervention paradigm. A personalized recognition system based on multimodal emotions that uses advanced cross‐modal fusion algorithms, such as attention mechanisms and transformers, to balance the reliability of different signals and decode emotions and pain states. After emotional or pain signals are recognized, the system automatically provides neural regulation or other interventions, forming a real‐time and automatic closed loop. However, it must be noted that this deep integration technology also brings serious ethical challenges, and it is necessary to establish relevant ethical and regulatory frameworks simultaneously, which is itself an important future research direction.\n43\nTechnical framework for facial emotion perception and multimodal integration. EEG, electroencephalography; EMG, electromyography; fMRI, functional magnetic resonance imaging; fNIRS, functional near‐infrared spectroscopy; GSR, galvanic skin response; HRV, heart rate variability.\n\n\n### Ethical and clinical considerations for FER\nGiven that facial recognition is a sensitive biometric information about individuals, strict ethical review and regulation must be followed when using facial recognition in clinical practice. For special situations such as mental illness, children, dementia, etc., patients should be the center and communicate with themselves and their guardians with full respect. When collecting facial data, attention should be paid to data security to prevent data leakage. Algorithmic FER also leads to biased decisions, necessitating that medical staff be fully involved in the decision‐making process.\n\n\n### Advantages and limitations\nThere are few bibliometric studies on FER that can be retrieved. Girdhar et al. conducted research on the identification of common biomedical features, which included facial recognition, fingerprint and palm print recognition, iris and retina scanning, speech and speech analysis, gait recognition, and DNA‐based recognition. However, this study did not focus on facial expressions.\n44\n Ahmad et al. conducted a bibliometric analysis on facial micro‐expressions and deep learning. However, this study was limited to facial micro‐expressions and did not explore the potential applications of FER.\n45\n Our study thoroughly investigated the common models and potential applications of FER for emotions through science mapping methods. Its interdisciplinary approach involves new research avenues in neuroscience, psychology, psychiatry, and clinical medicine.\nHowever, this study has several limitations. First, to avoid information loss caused by format conversion, we only included the WoS database to ensure data reliability, but this may also result in the omission of relevant studies from other sources. In the future, the database scope can be expanded by transcoding citation formats. Second, our study did not conduct subgroup analysis on different fields, so we were unable to obtain specific characteristics of FER research in different fields. In the future, bibliometric analysis can be conducted in specific fields such as psychology, psychiatry, and pain assessment to explore research directions and hotspots that are more suitable for this field.\n\n\n### CONCLUSION\nThis scientific knowledge mapping study depicts the rapid evolution of the field of facial expression analysis, shifting from classical computer vision methods to complex multimodal AI systems. With the development of AI and deep learning, the field of FER research has expanded to include the monitoring of neurological diseases, assessment of mental health, and objective pain assessment for noncommunicating patients. However, the development of this field faces challenges because of its reliance on laboratory control data. Therefore, future work must prioritize the development of robust, interpretable multimodal AI models based on diverse real‐world data to ensure their clinical translational and ethical applications. This study provides a comprehensive roadmap that can guide researchers in filling key gaps and promoting the development of next‐generation emotion computing technology.\n\n\n### AUTHOR CONTRIBUTIONS\nHou‐Ming Kan and Li‐Ping Chen designed the study, performed data analysis, and wrote and drafted the article. Yu Zhang, Hao‐Yuan Hong, and Ying‐Ying Qin contributed to data curation, and writing and drafting the article. Yu‐Guo Cui, Yu‐Bo Mao, Yan‐Zhi Cheng, and Zhe Lu critically revised the article. Hong‐Yan Ni and Xiao‐Tong Ding provided software operation guidance, edited the manuscript, and revised and approved the final version of the article.\n\n\n### CONFLICT OF INTEREST STATEMENT\nThe authors declare no conflicts of interest.\n\n\n### ETHICS STATEMENT\nThis study involves no primary human participants, relying solely on secondary data analysis from publicly available bibliometric records.", "domain": "affective_neuroscience"}
{"source": "PMC13094574", "title": "Personalized Multimodal and Opioid-Sparing Analgesia for Postoperative Pain Management: Enhancing Recovery and Addressing the Post-Discharge Gap", "text": "# Personalized Multimodal and Opioid-Sparing Analgesia for Postoperative Pain Management: Enhancing Recovery and Addressing the Post-Discharge Gap\n\n## Abstract\nPostoperative pain remains a persistent clinical challenge affecting more than 80% of surgical patients, driving prolonged hospitalization, delayed recovery, and progression to chronic postsurgical pain. Opioid-centered analgesia, despite its historical primacy, is constrained by dependence, tolerance, opioid-induced hyperalgesia, and a critical post-discharge prescribing gap in which prescribed quantities consistently exceed actual patient consumption, perpetuating avoidable harm without proportional improvement in outcomes. Enhanced Recovery After Surgery protocols emphasize multimodal, opioid-sparing strategies combining pharmacologic agents including NSAIDs, acetaminophen, gabapentinoids, ketamine, dexmedetomidine, and intravenous lidocaine with neuraxial and peripheral nerve blocks and non-pharmacologic interventions including cognitive-behavioral therapy, physical rehabilitation, acupuncture, and digital therapeutics. Current evidence identifies NSAIDs combined with dexamethasone or regional anesthesia as delivering the greatest opioid-sparing efficacy, while emerging precision-based approaches incorporating pharmacogenomic-guided prescribing, machine learning–based pain prediction, and wearable monitoring platforms offer transformative opportunities for individualized perioperative analgesic optimization. Significant gaps persist including heterogeneity in multimodal regimen combinations, inconsistent outcome measures, limited post-discharge standardization, and insufficient long-term data on chronic postsurgical pain prevention and functional recovery across diverse surgical populations. Future research must prioritize procedure-specific, standardized, and pharmacogenomically informed multimodal protocols integrating technological innovations to optimize recovery, minimize opioid-related risks, and ensure sustainable, patient-centered perioperative pain management.\n\n## Full Text\n\n\n### Introduction\nPostoperative pain is among the most prevalent and poorly resolved problems in modern surgical medicine. With over 280 million procedures performed globally each year,1 the incidence of moderate-to-severe postoperative pain ranges from 30% to 80% depending on procedure type and pain definition,2 and persists after hospital discharge in 31% to 58% of patients.3 The failure to achieve adequate analgesia carries consequences that extend far beyond subjective discomfort—driving thromboembolic events, respiratory compromise, impaired wound healing, and psychological sequelae that collectively prolong hospitalization and worsen recovery.4,5 Understood within a biopsychosocial framework,6,7 postoperative pain is not a discrete physiologic signal but a multidimensional experience, and its management demands an equally multidimensional response.\nOpioids, long the default analgesic cornerstone, have proven insufficient to that task. Beyond well-established risks of dependence and opioid-induced hyperalgesia,8 up to 80% of postoperative patients experience opioid-attributable cognitive impairment, fall risk, or rehabilitative delay,9 while NSAIDs—though adjunctively useful—carry prohibitive risk profiles in elderly and comorbid populations.10 These limitations have appropriately accelerated the shift toward multimodal, opioid-sparing strategies.11\nYet the promise of multimodal analgesia10–13 has outpaced its evidence base. Of 84 conceivable pharmacologic combinations, only acetaminophen plus NSAIDs is formally recommended14—and even this pairing is not without fault: preemptive acetaminophen failed to reduce opioid consumption in total knee arthroplasty,15 and intravenous formulations add little over oral equivalents.16 Optimal agent selection, dosing, and sequencing remain undefined,17 compounded by subjective pain assessment, variable clinical practice, and inadequate structured training in modern analgesic techniques.18 In cardiac surgery specifically, multimodal regimens remain so poorly characterized that nearly 30% of patients report persistent pain at one year.19\nRegional techniques, particularly peripheral nerve blocks, offer meaningful short-term opioid sparing but are constrained by rebound phenomena, technical demands, and local anesthetic systemic toxicity risk.20–25 More fundamentally, they do not reliably interrupt the progression to chronic postsurgical pain (CPSP)—a transition that is far more common than clinical practice acknowledges. Post-thoracotomy CPSP persists in 57% of patients at three months and 47% at six months;26 after lung resection and knee arthroplasty, prevalence reaches 10% and 28% respectively at three months.27 Neuropathic features, preoperative pain, anxiety, and depression independently predict this transition,28 underscoring that acute and chronic pain exist on a continuum requiring prospective, risk-stratified intervention—not reactive treatment. The economic stakes are proportionate: in 2021, chronic pain affected an estimated 65.8 million U.S. adults, imposing a total societal burden of $722.8 billion in medical costs and lost productivity;29 earlier estimates place annual costs at $560–$635 billion in 2010 dollars,30 surpassing the combined burden of heart disease, cancer, and diabetes, with direct neuropathic pain syndromes alone generating nearly $42,000 per patient in annualized expenses.31 These gaps expose the absence of an integrative synthesis that evaluates the full spectrum of pharmacologic, regional, and non-pharmacologic analgesic strategies across their mechanisms, safety limitations, and clinical interactions — with attention to long-term outcomes including chronic postsurgical pain and opioid dependence. Accordingly, this review evaluates each analgesic modality and its role within multimodal frameworks, identifies procedure-specific evidence and critical gaps, and proposes evidence-informed, opioid-sparing analgesic principles aimed at supporting durable recovery across diverse surgical populations.\n\n\n### Epidemiology of Opioid Use and Opioid-Related Harm in the Perioperative Context\nThe liberalization of opioid prescribing for noncancer pain in the 1990s marked a pivotal inflection point in the contemporary opioid crisis. Converging forces—including relaxed state prescribing regulations, the introduction of pain management standards by accrediting bodies such as The Joint Commission, the designation of pain as the “fifth vital sign,” and aggressive pharmaceutical marketing—normalized long-term opioid therapy and expanded prescribing across clinical settings.32–34 These shifts coincided with a near fourfold increase in U.S. sales of oxycodone hydrochloride and methadone hydrochloride between 1997 and 2002, during which accidental drug overdose emerged as the second leading cause of unintentional death.35 Despite representing only 5% of the global population, the United States consumed 99% of hydrocodone bitartrate and 83% of oxycodone worldwide.34 By 2010, opioid distribution reached 710 mg morphine sulfate equivalents per capita—sufficient to supply every adult with 5 mg of hydrocodone every six hours for 45 days—underscoring the extraordinary scale of opioid availability preceding the escalation of fatal overdose and heroin use across both urban and rural communities.34,35\nMore than two decades later, opioid-related harm remains profound. In 2023, approximately 105,000 overdose deaths occurred in the United States, nearly 80,000 (76%) involving opioids.36 Although opioid-related mortality declined modestly (4%) compared with 2022, deaths remain nearly tenfold higher than in 1999.36 Trends varied by opioid class, with reductions in deaths attributed to prescription opioids, heroin, and synthetic opioids other than methadone, including illicitly manufactured fentanyl.36\nHowever, these aggregate improvements obscure a critical epidemiologic shift: in some jurisdictions, nearly half of overdose deaths involved concurrent opioid and stimulant use, highlighting the growing complexity of polysubstance exposure that challenges traditional opioid-centric interventions.37\nOpioid-related mortality also demonstrates marked heterogeneity across settings and populations. In Illinois, analysis of 2,833 opioid overdose deaths between 2017 and 2018 revealed that most fatalities occurred outside healthcare facilities, predominantly in private residences.38 Hospital-based deaths were associated with prior overdose and bystander presence, emphasizing the importance of access to treatment, decriminalization strategies, and supervised consumption environments.38 Importantly, declining opioid prescribing alone has not translated into proportional reductions in mortality. Between 2010 and 2015, U.S. opioid prescribing fell substantially, yet overdose deaths increased by 63%.39 Among opioid-related decedents in Illinois, nearly one-third had not filled an opioid prescription in the preceding six years and were disproportionately Black, Hispanic, and urban residents.39 These individuals were more likely to die from heroin or fentanyl analogues and less likely to have diagnosed opioid use disorder or access to buprenorphine treatment, underscoring structural inequities and the limits of prescription-focused mitigation strategies.39 Within this broader epidemiologic landscape, surgical care represents a critical and underappreciated gateway to opioid exposure. Opioid use following surgery is associated with persistent use, opioid use disorder, and other serious adverse outcomes, yet postoperative opioid trajectories vary widely by procedure and patient characteristics.40 For example, patients undergoing cervical laminectomy with fusion demonstrated higher six-month opioid use than those receiving laminoplasty in a single-surgeon cohort, although this association was not replicated in national datasets, highlighting the influence of contextual and provider-level factors.41\nIn orthopedic populations, preoperative opioid exposure and advanced joint pathology—but not surgical technique—were the primary predictors of prolonged postoperative use.42,43 Conversely, in colorectal surgery, individualized multimodal care bundles incorporating tailored opioid regimens, scheduled gabapentinoids, and clonidine rescue reduced postoperative opioid consumption by more than two-thirds, demonstrating the modifiability of postoperative exposure when care is personalized.44 Nevertheless, high-risk procedures such as cervical discectomy and fusion continue to be associated with substantial postoperative opioid prescribing and prolonged use (Figure 1), reinforcing the need for procedure-specific and patient-specific risk mitigation strategies.45\nFigure 1This figure illustrates perioperative opioid exposure from initial surgical prescribing through the transition to outpatient care, highlighting a critical post-discharge gap where overprescribing, reduced monitoring, and inconsistent multimodal analgesia contribute to persistent opioid use and community harm. Evidence-based perioperative and discharge strategies can mitigate risk and reduce long-term opioid exposure.  Inpatient flow  Gap drives risk  Community cascade  Adverse escalation  Indirect pathway.  In patient  Management gap  Outpatient issues and risk  Adverse outcomes  Evidancy based solutions.Note: The central box connects to all outpatient boxes – Solid lines = direct drives, dashed= indirect escalation pathway.\nThis figure illustrates perioperative opioid exposure from initial surgical prescribing through the transition to outpatient care, highlighting a critical post-discharge gap where overprescribing, reduced monitoring, and inconsistent multimodal analgesia contribute to persistent opioid use and community harm. Evidence-based perioperative and discharge strategies can mitigate risk and reduce long-term opioid exposure.  Inpatient flow  Gap drives risk  Community cascade  Adverse escalation  Indirect pathway.  In patient  Management gap  Outpatient issues and risk  Adverse outcomes  Evidancy based solutions.\nA persistent and consequential gap emerges at the point of hospital discharge. Across multiple surgical cohorts, opioid prescriptions substantially exceed actual patient consumption. In elective surgery populations, surgeons prescribed nearly twice the amount of opioids consumed, leaving large quantities of unused medication vulnerable to diversion.40 Similar patterns were observed across outpatient procedures, where fewer than one-third of prescribed opioids were used, and prescription size—not pain severity—was the strongest predictor of consumption.46 Large-scale analyses demonstrate that more than half of postoperative opioid prescriptions exceed guideline recommendations, driven predominantly by prescriber-level factors rather than patient need.47 Notably, evidence suggests that indiscriminate intraoperative opioid minimization may paradoxically worsen postoperative pain and increase persistent opioid use, underscoring the need for balance rather than elimination (Figure 1).48–50\nInternational and post-discharge data further expose critical deficiencies in perioperative opioid stewardship. In a multinational cohort spanning 25 countries, fewer than one-third of patients were prescribed opioids at discharge; however, when opioids were prescribed, quantities exceeded consumption by more than twofold.51 Regional variation was striking: while more than three-quarters of surgical patients in the United States and Canada received opioids within one week of discharge, only 11% did so in Sweden, highlighting the absence of globally harmonized, evidence-based discharge practices.52 Even within high-performing institutions, most patients consumed less than one-third of their prescribed opioids, few received disposal instructions, and a measurable proportion of opioid-naïve patients developed persistent use months after surgery.53,54 Persistent post-surgical pain affects 10–35% of patients, highlighting critical gaps between clinical practice and patient outcomes.55 Scoping reviews confirm that post-discharge pain is often inadequately managed despite effective inpatient multimodal analgesia, revealing a critical discontinuity between hospital-based care and outpatient pain management (Figure 1).56 Notably, persistent postoperative opioid use occurs in up to 4.7% of opioid-naive adolescents.57 Post-discharge analgesia often relies on clinician experience over guidelines, leaving patients with unmet expectations, inconsistent opioid use, and anxiety.58\nEnhanced Recovery After Surgery (ERAS) pathways have successfully reduced inpatient opioid use, length of stay, and early postoperative complications, particularly in orthopedic procedures.59 However, reductions in in-hospital opioid exposure do not consistently translate into optimized discharge prescribing (Figure 1). In procedure-specific contexts such as cesarean delivery, ERAS implementation reduced the proportion of patients receiving opioids at discharge, yet most patients still received opioid prescriptions, often at high daily morphine equivalent doses.60 These findings expose a persistent knowledge gap regarding post-discharge opioid exposure, long-term functional outcomes, and the optimal extension of multimodal analgesia beyond hospitalization.\nCollectively, these data delineate critical unresolved epidemiologic gaps in perioperative opioid use. Existing research remains disproportionately centered on inpatient prescribing, despite mounting evidence that the greatest volume of opioid exposure occurs after hospital discharge.\nStandardized, procedure-specific guidance for discharge prescribing is largely absent, contributing to wide inter-provider and inter-institutional variability. Moreover, patient-level risk factors—including prior opioid exposure, pain phenotypes, comorbid substance use, and sociodemographic determinants—are inconsistently incorporated into prescribing decisions. Finally, the disconnect between effective inpatient multimodal analgesia and largely unstructured outpatient pain management underscores a fundamental breakdown in continuity of care. Failure to address these gaps perpetuates avoidable opioid exposure without demonstrable improvement in postoperative pain outcomes, highlighting an urgent need for data-driven, perioperative-to-post-discharge analgesic frameworks.\n\n\n### Precision-Based Opioid Stewardship in Perioperative Pain\nOpioid analgesics vary substantially in their pharmacological properties, clinical utility, and safety profiles, with important implications for postoperative pain management and public health. Despite significant advances in analgesic strategies, postoperative pain (POP) remains frequently undertreated, contributing to delayed recovery, prolonged hospitalization, and progression to chronic postsurgical pain.61 Contemporary perioperative pain management therefore requires not only effective analgesia but also careful consideration of opioid pharmacology, misuse risk, and interindividual variability in treatment response.\nTramadol provides analgesia through weak μ-opioid receptor agonism combined with inhibition of serotonin and norepinephrine reuptake. It is primarily metabolized hepatically via CYP2D6, with partial renal excretion of active metabolites.62 Epidemiologic data indicate that tramadol has a comparatively lower misuse potential than other commonly prescribed opioids. Between 2015 and 2017, tramadol accounted for approximately 4% of past-year opioid misuse, substantially lower than the 7–8% observed for hydrocodone or oxycodone after adjustment for drug availability.63 Long-term analyses from 2002 to 2014 further demonstrate a stable misuse rate of approximately 1.5%, markedly lower than hydrocodone (6%), oxycodone (4%), and alprazolam.63 Despite this favorable misuse profile, tramadol poses clinically significant risks, including serotonin syndrome, particularly in overdose, in CYP2D6 poor metabolizers with elevated parent-drug concentrations, or when co-administered with serotonergic agents such as selective serotonin reuptake inhibitors, serotonin–norepinephrine reuptake inhibitors, or tricyclic antidepressants, which may potentiate serotonergic toxicity and inhibit tramadol metabolism.62\nPrescribing patterns for fentanyl have undergone notable shifts. Population-adjusted outpatient use declined by 17.9% between 2016 and 2017, exceeding reductions observed for other prescription opioids, with pronounced decreases in states implementing stringent opioid regulations.64 Nevertheless, substantial inter-state variability persists, with a reported 3.5-fold difference between Alaska and Oregon.64 In contrast, hospital-based administration of fentanyl analogs, including remifentanil and sufentanil, tripled between 2006 and 2017, raising concerns regarding substitution effects and the downstream risks of misuse and diversion.64 Clinically, fentanyl produces potent μ-opioid–mediated effects including analgesia, sedation, euphoria, respiratory depression, nausea, and urinary retention.65 Misuse or dosing errors may precipitate severe adverse events such as chest wall rigidity, respiratory compromise, hypotension, cyanosis, and life-threatening arrhythmias (Figure 1).66\nComparative perioperative research highlights important opioid-sparing opportunities. Intraoperative administration of dexmedetomidine has demonstrated superior postoperative outcomes compared with remifentanil, including reduced pain at 2 and 24 hours, lower postoperative opioid consumption, and fewer complications such as hypotension, shivering, and postoperative nausea and vomiting.67 These findings support the need for individualized intraoperative opioid titration and careful selection of adjunct medications within multimodal analgesic strategies.\nTapentadol, a newer dual-mechanism analgesic, exerts synergistic analgesic effects through μ-opioid receptor agonism and norepinephrine reuptake inhibition, with enhanced noradrenergic signaling via α2-adrenergic pathways contributing to its efficacy.68 Recommended dosing does not exceed 600 mg/day for immediate-release formulations.69 Tapentadol provides effective analgesia for acute, chronic, and neuropathic pain and is associated with reduced nausea, constipation, and withdrawal severity, as well as lower μ-receptor affinity compared with traditional opioids.69,70 Its modulation of noradrenergic neurotransmission shares functional similarities with certain antidepressant mechanisms, which may support improved tolerability and adherence in selected patient populations.69\nWhile informed opioid selection and stewardship are essential, substantial interindividual variability in analgesic response persists. This variability is increasingly attributed to genetic polymorphisms affecting opioid metabolism, transport, and receptor signaling—most notably CYP2D6, OPRM1, CYP2C9, COMT, and ABCB1—underscoring the clinical relevance of integrating pharmacogenomics into perioperative pain management.61,71–73 Among these, CYP2D6 genotype exerts a particularly strong influence on opioid analgesic efficacy, especially for prodrug opioids such as codeine, tramadol, and hydrocodone.74–77 Following knee arthroscopy, CYP2D6 poor metabolizers demonstrate significantly attenuated tramadol analgesia, whereas ultrarapid metabolizers experience the greatest pain reduction; in contrast, variants in ABCB1 (MDR1) show no significant effect in this setting.74 Hybrid implementation–effectiveness trials further confirm the feasibility of CYP2D6-guided postoperative opioid prescribing after total joint arthroplasty, identifying approximately 20% of patients as high-risk metabolizers, increasing the use of alternative opioids, reducing overall opioid exposure, and achieving pain control comparable to usual care.75\nBeyond the perioperative setting, CYP2D6 polymorphisms also significantly influence opioid effectiveness in oncology populations, where intermediate and poor metabolizers experience inadequate analgesia, higher rates of pain-related hospitalizations, and more frequent escalation to opioids such as morphine or hydromorphone.76,77 Collectively, these findings support consideration of preemptive CYP2D6 genotyping to inform opioid selection, enhance safety, and improve pain outcomes across both acute and chronic pain contexts.71,78 The marked heterogeneity in opioid pharmacology, misuse potential, and genetically mediated response highlights the necessity of an integrated, precision-based approach to perioperative pain management. Combining evidence-based opioid stewardship with pharmacogenomic insights enables more individualized analgesic planning, optimizes patient safety, and represents a critical step toward sustainable, modern perioperative analgesia.\nA pragmatic, scalable strategy to reduce perioperative opioid use is to systematically offer nonopioid analgesia as the foundation of postoperative pain management. Opioid monotherapy often provides suboptimal pain relief while increasing the risk of adverse drug events, dependence, and misuse. For many patients, scheduled nonopioid agents alone are sufficient, whereas others benefit from multimodal analgesic regimens, incorporating adjunct pharmacologic therapies and regional techniques. Collectively, these approaches reduce perioperative opioid exposure, enhance analgesic quality, and accelerate functional recovery.79–82\nThe Table 1 summarizes contemporary perioperative multimodal analgesia strategies, aligned with recommendations from Enhanced Recovery After Surgery (ERAS), the American Society of Anesthesiologists (ASA), and PROSPECT guidelines.83–85 While not exhaustive, it provides a practical framework for implementing opioid-sparing, evidence-based analgesia across diverse surgical populations.\nTable 1Clinical Protocol for Perioperative Multimodal Pharmacological AnalgesicsDrug ClassAgent83–89Timing & RouteRecommended DosageCautionsNon-opioid analgesicAcetaminophenPre- and Post-op (IV/PO)1 g every 6–8 h (maximum 4 g/24 h; ≤3 g/24 h in frail patients or liver disease)Severe liver failure; chronic alcohol misuseNSAIDsIbuprofenPost-op (PO)600 mg every 6 hKidney dysfunction, risk of bleeding, and peptic ulcer conditionKetorolacPost-op (IV)15 mg every 6 h (limit 24–48 h; 30 mg every 6 h in young, low-risk adults)Renal impairment, bleeding, elderly, duration >48 hDiclofenacPost-op (IV/PO)18.75–50 mg every 6–8 hGastro-intestinal bleeding risk, cardiovascular diseaseCOX-2 inhibitorsCelecoxibPre- and Post-op (PO)100–200 mg every 12 hSulfonamide allergy, severe renal failureParecoxibPre- and Post-op (IV)20–40 mg every 6–12 hCardiovascular risk, renal impairmentGabapentinoidsGabapentinPre-op (PO)300–600 mg (single pre-op dose or 1–3 times daily)Sedation, respiratory depression, renal impairmentPregabalinPre-op (PO)75–150 mg once or twice daily (adjust for age and renal function)Sedition, renal dysfunctionNMDA antagonistKetamineIntra-op (IV)Bolus 0.1–0.3 mg/kg pre-incision ± infusion 0.1–0.3 mg/kg/hPsychosis, uncontrolled hypertensionLocal anestheticLidocaineIntra-op (IV)Bolus 1–1.5 mg/kg (maximum 150 mg) ± infusion 1–3 mg/kg/hSevere cardiac disease, hepatic failure, LASTGlucocorticoidDexamethasoneInduction (IV)Fixed dose: 4–10 mg IV (≈0.1 mg/kg; usually not exceeding 10 mg)Uncontrolled diabetes, active infectionα2-agonistDexmedetomidineIntra-op (IV)Bolus 0.5–1 µg/kg → infusion 0.2–0.8 µg/kg/hBradycardia, heart block, hypotensionAdjuvant (NMDA modulation)Magnesium sulfateIntra-op (IV)Bolus 30–50 mg/kg → infusion 6–20 mg/kg/h or 4 g IV over 30–60 minRenal failure, heart blockβ-blocker (ultra-short acting)EsmololIntra-op (IV)Bolus 0.5 mg/kg over 1 min → infusion 0.01–0.05 mg/kg/minSevere bradycardia, cardiogenic shockRescue opioids (IV, PACU)MorphinePost-op (IV, PRN)0.5–2 mg every 5–10 min (titrate to effect)Respiratory depression, renal failureFentanylPost-op (IV, PRN)5–20 µg every 5–10 minRespiratory depressionRescue opioids (oral, IR)OxycodonePost-op (PO, PRN)5–10 mg every 4–6 hElderly, obstructive sleep apneaMorphinePost-op (PO, PRN)5–15 mg every 4–6 hRenal impairmentTramadolPost-op (PO, PRN)50–100 mg every 4 hSeizure risk when SSRI/SNRI usedHydromorphonePost-op (PO, PRN)2 mg every 4 hRespiratory depressionNotes: This table outlines a guideline-based perioperative multimodal analgesia protocol for adults, integrating non-opioid and opioid-sparing strategies across the preoperative, intraoperative, and postoperative phases. Recommended dosing is based on ERAS, ASA, and PROSPECT guidelines, with cautions highlighting common clinical risks rather than absolute exclusions. Doses should be tailored to individual patient characteristics, and opioids are intended for rescue analgesia only. Symbols: “±”: with or without; “≤”: at or below; “>”: greater than; “→”: followed by.Abbreviations: IV: intravenous; PO: per os; PRN: as needed; LAST: local anesthetic systemic toxicity; SSRI: selective serotonin reuptake inhibitor; SNRI: serotonin–norepinephrine reuptake inhibitor; ERAS: Enhanced Recovery After Surgery; ASA: American Society of Anesthesiologists; PACU: post-anesthesia care unit; h: hours; g: grams; mg: milligrams; µg: micrograms; kg: kilograms; min: minutes; IR: immediate release.\nTable 2Pharmacologic Multimodal Regimens: Synergistic Effects and Clinical LimitationsComponentInterventions/AgentsMechanisms of ActionInterconnectivity & SynergiesAdvantagesLimitationsClinical ImplicationsOpioids(Morphine, Fentanyl, Oxycodone, Hydromorphone)Mu-opioid receptor agonistsInhibit ascending pain pathways, modulate neurotransmission, provide profound analgesiaServe as rescue therapy when multimodal agents are insufficient; combined with non-opioid analgesics for synergistic effects; minimized via IV, regional techniques and non-pharmacologic methodsEffective for severe pain; flexible dosing; predictable analgesiaAdverse effects—respiratory depression, nausea, ileus, hyperalgesia, dependenceCore component for breakthrough pain; efforts focus on opioid-sparing through combination strategies and regional blocksPharmacologic Multimodal AgentsNSAIDs or COX-2 InhibitorsReduce prostaglandin synthesis, decrease sensitizationAct synergistically with opioids, especially in managing inflammatory pain; combined with acetaminophen and regional anesthesia for enhanced effectOpioid-sparing, reduce inflammationGI, renal risks; contraindicated in some comorbiditiesIntegrated into protocols to reduce opioid dosesAcetaminophenCentral inhibition of prostaglandinsEnhances analgesic efficacy when combined with NSAIDs, opioids, or regional techniquesSafe, accessible, broad applicabilityHepatotoxicity at high doses, limited aloneFirst-line adjunct in multimodal pathwaysGabapentinoids (Gabapentin, Pregabalin)Modulate nerve excitability via calcium channelsPotentiate effects of regional anesthesia; reduce opioid requirementsMay improve neuropathic pain, reduce opioid dosingLimited efficacy in acute pain; CNS side effectsAdjunct in surgeries with nerve involvementKetamineNMDA receptor antagonism, reduces central sensitizationMinimizes opioid needs, potent in refractory painCombines with opioids and regional techniques for synergistic effectsOpioid-sparing, improves pain control in high-intensity surgeriesPsychomimetic effects, dosing variabilityDexmedetomidineAlpha-2 adrenergic receptor activation; provides sedation, analgesia, and sympatholytic effects.Used with regional techniques and systemic analgesics; reduces opioid doses and PONV.Prolongs analgesia, reduces opioid needs, provides sedation, with minimal respiratory depression.Bradycardia, hypotension, dry mouth; requires titration; contraindicated in severe heart block.Valuable as an adjunct in multimodal protocols, especially in high-risk patientsDexamethasoneGlucocorticoid receptor activation reduces inflammation and nerve sensitization.Enhances analgesia, reduces PONV, and inflammation; synergizes with NSAIDs and opioids.Proven to improve recovery, reduce inflammation, and PONV.Hyperglycemia, immunosuppression, GI irritation with high doses or prolonged use.Standard adjunct in multimodal analgesia; beneficial when combined with other agentsTricyclic Antidepressants (TCAs)Block reuptake of serotonin and norepinephrine, modulating pain pathways involved in mood and pain perception.Adjunct in chronic pain; combined with other agents for synergistic effect on different pain pathways.Effective for neuropathic and persistent pain; may improve mood; reduce surgical stress.Anticholinergic side effects; cardiotoxicity; sedation; contraindicated in elderly with cardiac issues.Often used in chronic pain management; limited use perioperatively due to side effects.MagnesiumNMDA receptor blockade; modulates calcium influx, reducing central sensitization and prolonging nerve block duration.Used with local anesthetics and other agents; reduces rebound pain and opioid requirements.Mid-range safety profile; reduces post-op pain perception; adjunct for opioid-sparing.Flushing, hypotension, muscular weakness; at high doses, risk of respiratory or cardiac issues.Perioperative adjunct to improve analgesic efficacy, monitor electrolytes.LidocaineBlocks sodium channels, inhibiting nerve impulse conduction; systemic effects include anti-inflammatory properties.Combined with regional blocks or as adjunct to systemic analgesics, prolonging analgesia and reducing opioids.Accelerates bowel recovery; decreases opioid use; safe in many populations; improves overall recovery.Toxicity risk (CNS and cardiac); contraindicated in certain arrhythmias; requires careful dosing.Widely used adjunctive therapy; effectiveness depends on surgical context; monitor plasma levels.Regional TechniquesPeripheral Nerve Blocks (eg, ACB, TAPB, FNB)Sensory blockade at nerve or plexus levelSignificantly reduce intraoperative and early postoperative opioid requirementsTargeted analgesia, reduces systemic opioid burdenRebound hyperalgesia, technical expertise requiredFoundation of opioid-sparing protocols in surgeryNeuraxial Techniques (Epidural)Nociceptive blockade at spinal cord levelSynergize with systemic multimodal analgesia, reducing opioid dosesSuperior pain control for thoracic, abdominal surgeriesHemodynamic instability, technical risksStandard in major surgeries to reduce opioid relianceContinuous Infusions/Continuous regional analgesia cathetersSustained or targeted delivery of local anestheticsExtend regional analgesia, decrease systemic opioid requirementsCan be combined with systemic agents and non-pharmacologic modalitiesCatheter-related risksSupport multimodal, opioid-sparing approachesNon-Pharmacologic TechniquesCognitive-Behavioral Therapy, Distraction, RelaxationPsychological modulation of pain perceptionComplement pharmacologic regimens, reduce perioperative anxiety and opioid relianceSafe, empowering, low-costVariable engagement, limited evidence on intensityIntegral to enhanced recovery pathwaysPhysical Modalities (TENS, Acupuncture, Massage)Stimulate non-nociceptive fibers, modulate central pain processingAdjunct to pharmacological regimens, may reduce opioid needSafe, with emerging evidence supporting use in chronic and postoperative painModest, heterogeneous efficacyImplementation requires trained personnelIntegrated Multimodal RegimenCombining opioids, NSAIDs, NMDA acetaminophen, regional blocks, and non-pharmacologic therapiesMulti-site, multi-mechanism targetingSynergistic effects maximize analgesia while minimizing adverse effectsReduced opioid consumption, faster recovery, fewer side effectsComplex coordination, need for individualized tailoringRepresents the current gold standard for perioperative pain management aimed at opioid minimizationNotes: This table summarizes key pharmacologic and non-pharmacologic components of multimodal analgesia, highlighting their mechanisms, synergistic interactions, advantages, limitations, and clinical implications. It underscores the integrative approach aimed at maximizing analgesia while reducing opioid reliance and adverse effects to optimize postoperative recovery outcomes.Abbreviations: NSAIDs: non-steroidal anti-inflammatory drugs; COX-2: cyclooxygenase-2; NMDA: N-methyl-D-aspartate; CNS: central nervous system; GI: gastrointestinal; PONV: postoperative nausea and vomiting; TCAs: tricyclic antidepressants; ACB: adductor canal block; TAPB: transversus abdominis plane block; FNB: femoral nerve block; TENS: transcutaneous electrical nerve stimulation; IV: intravenous.\nClinical Protocol for Perioperative Multimodal Pharmacological Analgesics\nNotes: This table outlines a guideline-based perioperative multimodal analgesia protocol for adults, integrating non-opioid and opioid-sparing strategies across the preoperative, intraoperative, and postoperative phases. Recommended dosing is based on ERAS, ASA, and PROSPECT guidelines, with cautions highlighting common clinical risks rather than absolute exclusions. Doses should be tailored to individual patient characteristics, and opioids are intended for rescue analgesia only. Symbols: “±”: with or without; “≤”: at or below; “>”: greater than; “→”: followed by.\nAbbreviations: IV: intravenous; PO: per os; PRN: as needed; LAST: local anesthetic systemic toxicity; SSRI: selective serotonin reuptake inhibitor; SNRI: serotonin–norepinephrine reuptake inhibitor; ERAS: Enhanced Recovery After Surgery; ASA: American Society of Anesthesiologists; PACU: post-anesthesia care unit; h: hours; g: grams; mg: milligrams; µg: micrograms; kg: kilograms; min: minutes; IR: immediate release.\nPharmacologic Multimodal Regimens: Synergistic Effects and Clinical Limitations\nNotes: This table summarizes key pharmacologic and non-pharmacologic components of multimodal analgesia, highlighting their mechanisms, synergistic interactions, advantages, limitations, and clinical implications. It underscores the integrative approach aimed at maximizing analgesia while reducing opioid reliance and adverse effects to optimize postoperative recovery outcomes.\nAbbreviations: NSAIDs: non-steroidal anti-inflammatory drugs; COX-2: cyclooxygenase-2; NMDA: N-methyl-D-aspartate; CNS: central nervous system; GI: gastrointestinal; PONV: postoperative nausea and vomiting; TCAs: tricyclic antidepressants; ACB: adductor canal block; TAPB: transversus abdominis plane block; FNB: femoral nerve block; TENS: transcutaneous electrical nerve stimulation; IV: intravenous.\n\n\n### Enhanced Recovery Analgesia\nOpioids have traditionally been central to postoperative pain management but are associated with adverse effects—including nausea, vomiting, sedation, gastrointestinal dysmotility, respiratory depression, and immunosuppression—that can delay recovery. Enhanced Recovery After Surgery (ERAS) protocols therefore prioritize perioperative opioid minimization, reserving opioids for breakthrough pain when non-opioid strategies are insufficient. Opioid-tolerant patients represent an important exception, as scheduled opioid administration is required to prevent withdrawal. Although complete opioid avoidance is rarely feasible, ERAS pathways substantially reduce overall opioid exposure through as-needed dosing strategies (Table 1).\nMultimodal analgesia, integrating pharmacologic and regional techniques targeting distinct nociceptive pathways, provides superior analgesia while enabling opioid dose reduction and limiting opioid-related adverse effects (Table 2).86 These principles underpin ERAS protocols, which incorporate non-opioid medications and regional anesthesia to accelerate recovery through additive or synergistic effects.7,87 In older adults, the American Geriatrics Society Beers Criteria identify potentially inappropriate medications; however, these are not absolute contraindications, and inappropriate substitution—such as replacing NSAIDs with opioids—should be avoided.88\nAdjunctive strategies—including regional anesthesia, acetaminophen, NSAIDs, gabapentinoids, tramadol, lidocaine, and NMDA antagonists—reduce perioperative opioid requirements without increasing bleeding risk, allowing many patients to avoid postoperative opioid therapy.89 Evidence from systematic reviews and meta-analyses demonstrates that opioid-sparing multimodal analgesia reduces opioid consumption, pain scores, and ICU length of stay, including in large cardiac surgical populations, without adversely affecting mortality.79 Accordingly, ERAS protocols endorse multimodal, opioid-sparing analgesia as a cornerstone of perioperative care.84 Effective acute pain control accelerates recovery of function and quality of life, whereas inadequately treated pain may progress to chronic pain in up to 20% of patients.84 Given persistently high opioid use and the complexity of managing opioid-dependent patients, international expert consensus and professional societies advocate individualized, multimodal analgesic strategies to reduce opioid-related complications and improve outcomes.83,85\nObservational and prospective studies across major surgical populations consistently demonstrate that incorporating regional anesthesia and comprehensive multimodal protocols improves postoperative pain control and reduces opioid requirements without increasing complications or length of stay.90,91 Given the avoidable risks associated with opioid-based analgesia, ERAS pathways prioritize procedure-specific, predominantly non-opioid multimodal strategies, supported by growing evidence across diverse surgical disciplines.80–82,92\n\n\n### Strategies for Opioid Reduction in Postoperative Pain Management\nPost-operative pain impacts physical functioning, recovery, and quality of life, leading to anxiety. Effective management of pre- and postoperative pain is crucial in preventing chronic pain. Opioids are the main treatment for post-operative pain but come with unwanted side effects.25 Nearly half of spine surgery patients already take opioids pre-operatively, raising addiction concerns.93 A report published by the Academic Consortium in 2018 explored the reasons behind the widespread issue of pain management and offered scientific backing for using non-medication approaches to address pain.94 Personalized pain plans are emerging to combat this, educating patients on pain management options, addressing potential opioid dependence, and prioritizing safer medications like NSAIDs/COX-2 inhibitors (with stomach considerations) or NMDA-receptor antagonists/antiepileptics (requiring monitoring) – all considering pre-operative and post-operative effects.9,25,93\nIn the context of total knee arthroplasty (TKA), effective perioperative analgesia requires balancing pain control with safety. Preoperative administration of parecoxib sodium significantly lowered immediate postoperative pain (P = 0.039) without affecting surgical outcomes, complications, or analgesic consumption.95 Preoperative meloxicam improved early pain management, reduced opioid consumption by ~40%, and maintained functional recovery at three months, highlighting its potential for enhancing perioperative opioid-sparing strategies.96,97\nCombination therapy with tramadol hydrochloride and acetaminophen (TRAM/APAP) outperformed NSAIDs alone, producing greater reductions in VAS pain scores and faster independent ambulation, emphasizing the value of synergistic multimodal analgesia.98 While meloxicam offers gastrointestinal advantages over non-selective NSAIDs,99 NSAID-associated risks—including transient renal impairment, platelet dysfunction, and increased cardiovascular events with long-term use—necessitate careful patient selection.97,99,100 Variations in pharmacokinetics, including fat- versus water-soluble NSAIDs, may further influence toxicity profiles in elderly and obese populations.101 Prodrug formulations, such as acemetacin, may reduce gastrointestinal side effects, but robust comparative data are lacking.102 Despite clear evidence supporting the efficacy and opioid-sparing effects of these agents, gaps remain in understanding long-term functional outcomes, optimal dosing strategies (Table 2), and individualized risk mitigation. Tailoring analgesic regimens to patient-specific factors, including comorbidities, body composition, and pharmacokinetic profiles, is essential to maximize benefit and minimize harm.102 Additionally, the search for alternatives extends beyond medications, with ongoing research on Complementary and Alternative Medicine (CAM) for pain management.103 Future studies should explore long-term safety, functional recovery, and comparative effectiveness across diverse populations to inform evidence-based multimodal perioperative pain management. Postoperative analgesia may include intravenous opioids and non-opioids—such as morphine, oxycodone, fentanyl, or bupivacaine—administered under the guidance of the surgeon and anesthetist, tailored to the patient’s pain needs after major surgery.104\nAdjuvant analgesics while individually beneficial are most effective when integrated into a broader multimodal framework (Table 2). Their use requires cautious titration from the lowest effective dose, particularly given the delayed onset of some agents, and an adequate therapeutic trial is essential before deeming a therapy ineffective.87 Although certain adjuvants are employed for refractory pain syndromes such as back pain or temporomandibular disorders, it is important to acknowledge that evidence supporting these indications remains weak, highlighting a persistent gap in rigorous clinical data.87\nAnalgesic effectiveness is shaped by fundamental pharmacologic features including onset, duration, and magnitude of relief that often parallel systemic drug exposure.105 Yet despite advances in pharmacology, single-agent strategies continue to underperform in complex postoperative or geriatric pain states. This underscores the need to expand and standardize multimodal pain management approaches that integrate pharmacologic and non-pharmacologic modalities. Such comprehensive strategies have demonstrated the capacity to reduce opioid consumption, mitigate opioid-related complications, and enhance functional recovery in elderly hip-fracture patients, a population particularly vulnerable to adverse outcomes.106,107\nNon-pharmacologic interventions remain underutilized despite their established safety, accessibility, and minimal risk of harm. Techniques such as breathing exercises, massage, positioning, and music therapy form a broad spectrum of cognitive–behavioral, physical, and supportive approaches.108,109 As outlined by Pölkki et al, these modalities not only complement pharmacologic therapy but empower patients, promoting self-efficacy and active engagement in pain control,109 a critical component of enhanced recovery pathways Their low cost and favorable adverse-effect profile further support their routine incorporation into perioperative practice.110–112\nCurrent PROSPECT recommendations reflect the shift toward evidence-based multimodal regimens (Figure 2). For elective cesarean delivery under neuraxial anesthesia, intrathecal morphine (50–100 µg) or diamorphine (300 µg), combined with paracetamol/NSAIDs and IV dexamethasone, remains the cornerstone of optimized analgesia. When intrathecal opioids cannot be used, fascial plane blocks or wound infiltration provide effective alternatives, with TENS as an adjunct; opioids are relegated to rescue therapy.113 In Video-assisted Thoracoscopic Surgery, early continuation of non-opioid analgesics and the prioritization of regional techniques particularly paravertebral and erector spinae plane blocks reflect high-quality evidence favoring opioid-sparing strategies. IV dexmedetomidine is recommended when regional anesthesia is not feasible, further highlighting the move toward opioid minimization.114 Overall, synergistic multimodal analgesia protocols (MAPs) represent a critical evolution in perioperative care (Figure 2). By combining pharmacologic and non-pharmacologic strategies including regional anesthesia, acetaminophen, NSAIDs, ketamine, dexamethasone, and structured non-pharmacologic therapies MAPs consistently reduce pain severity, minimize opioid exposure, and improve postoperative recovery trajectories without increasing adverse effects (Table 2).115 Future research should focus on standardizing these multimodal pathways and identifying patient-specific predictors of response to further refine personalized analgesic care.\nFigure 2Schematic illustration of perioperative multimodal analgesia emphasizing the synergistic integration of complementary strategies to enhance analgesic efficacy, minimize treatment-related complications, and accelerate postoperative recovery, discharge, and rehabilitation. ↑: Increase, ↓: Decrease.\nSchematic illustration of perioperative multimodal analgesia emphasizing the synergistic integration of complementary strategies to enhance analgesic efficacy, minimize treatment-related complications, and accelerate postoperative recovery, discharge, and rehabilitation. ↑: Increase, ↓: Decrease.\nIntravenous paracetamol and propacetamol continue to show reproducible—but not uniformly transformative—analgesic effects across surgical and acute care settings.116 Meta-analytic evidence confirms that parenteral paracetamol achieves clinically meaningful pain relief (≥50% reduction) in only about one-third of postoperative patients, with a number needed to treat of 5,116 and ED data demonstrate modest opioid-sparing benefits.117 These findings underscore paracetamol’s value but also reveal its ceiling as a foundational rather than decisive component of multimodal analgesia. Safety considerations are increasingly central. Although acetaminophen is perceived as low risk, frailty-related pharmacokinetic alterations complicate this narrative. Frail older adults experience disproportionately elevated serum concentrations and reduced clearance, far exceeding changes attributable to chronological age alone.118 This decline—driven predominantly by impaired glucuronidation with preserved sulfation positions frailty,119 rather than age, as the critical determinant of hepatotoxicity risk, which may occur even at therapeutic doses.120 Clinically, this reframes paracetamol as a drug requiring tailored dosing rather than routine administration in geriatric care.121 Hemodynamic instability following IV acetaminophen further challenges its routine use in high-acuity environments. Hypotension occurs in 10–60% of critically ill patients and demands intervention in up to 30%,122 raising concerns about unrecognized hemodynamic liability. Prospective observations reinforce this risk: over half of monitored adults experience substantial MAP reductions after infusion, with a median nadir of 64 mmHg and more than one-third requiring corrective measures.123 Experimental evidence implicates N-acetyl-p-benzoquinone imine in a Kv7.4/7.5 channel–mediated vasodilatory cascade amplified by CGRP release, offering a mechanistic explanation and a potential target for mitigation.124\nAnalgesic combinations containing paracetamol, such as paracetamol/codeine, can improve early postoperative pain control and reduce rescue analgesic needs relative to ibuprofen or placebo.125 Yet large-scale instrumental-variable analyses challenge assumptions about its centrality to multimodal analgesia: NSAIDs combined with dexamethasone and regional anesthesia deliver the most clinically meaningful opioid-sparing effects, whereas acetaminophen’s contribution is comparatively modest and often overstated.17 These findings compel a recalibration of multimodal protocols that currently rely heavily on acetaminophen without strong evidence of incremental benefit. Ultimately, while dual-mechanism analgesia offers an advantage in early postoperative pain control with controlled opioid exposure, substantial uncertainties persist. Optimal dosing for frail geriatric patients remains undefined, hemodynamic safety in unstable or critically ill individuals is unresolved, and long-term recovery implications are largely unexplored.126\nProgress will require rigorously designed, stratified clinical trials incorporating validated frailty indices, mechanistically informed dosing frameworks, and real-time hemodynamic surveillance. Without such precision, acetaminophen’s role in personalized, opioid-sparing analgesic care will remain constrained by longstanding assumptions rather than robust evidence.\nGrowing evidence supports dexmedetomidine as a potent opioid-sparing adjunct with clinically meaningful benefits across perioperative settings. A meta-analysis demonstrated significantly reduced early postoperative pain compared with remifentanil (mean difference –0.7/10; 95% CI –1.2 to –0.2; P = 0.004) and improved 24-hour pain outcomes, reinforcing dexmedetomidine’s analgesic superiority with moderate-quality evidence.67 Beyond analgesia, dexmedetomidine prolonged time to first analgesic request, lowered postoperative morphine and rescue analgesic use, and reduced hypotension, shivering, and PONV, while maintaining comparable bradycardia rates to remifentanil.67 Standard dosing regimens (1 μg/kg bolus followed by 0.5 μg/kg/h infusion) attenuate perioperative hemodynamic stress and significantly reduce postoperative analgesic need during laparoscopic procedures.127 Its capacity to lower anesthetic and opioid requirements, diminish postoperative nausea, vomiting, delirium, and agitation, and preserve respiratory drive positions dexmedetomidine as an attractive component of opioid-free anesthesia, especially for bariatric and spine surgery.128\nMechanistically, dexmedetomidine’s analgesic, sedative, and possible antiemetic actions stem from targeted modulation of nociceptive transmission, suppression of sympathetic activation, and mitigation of hyperalgesia, with preclinical evidence supporting synergism with opioids.129 These properties translate into improved postoperative comfort, reduced anxiety, shorter hospital stay, and enhanced recovery trajectories.130 However, its expanding use must be balanced against concerns regarding hemodynamic instability. The increased risk of intraoperative bradycardia is well-documented, warranting careful patient selection and vigilant monitoring.129 Evidence from thoracoscopic lung cancer surgery further suggests that dexmedetomidine not only reduces PONV and opioid use but also accelerates functional recovery, with data supporting an optimal dose of 0.4 μg/kg/h in this population.131 Despite these promising findings, questions remain regarding its safety in high-risk cardiovascular patients, dose-response relationships, and comparative effectiveness across surgical subgroups highlighting the need for rigorously stratified future trials.\nGrowing evidence supports perioperative dexamethasone as a valuable adjunct within multimodal analgesia for joint arthroplasty, yet its risk–benefit profile warrants more nuanced interpretation.\nConsistent reductions in postoperative pain, opioid requirements, and length of stay following TKA and THA highlight its potential to enhance recovery pathways.132–134 Notably, a single 8–10 mg intravenous dose appears sufficient for meaningful analgesic benefit, and additional dosing confers no clearly demonstrated advantage.133,135 The enhanced recovery observed with delayed postoperative dosing and adjunctive warming techniques raises the possibility that dexamethasone’s immunomodulatory and metabolic effects may influence functional outcomes beyond simple analgesia.136\nHowever, emerging data identifying preoperative dexamethasone as an independent predictor of rebound pain (incidence 61.7%) signal an underrecognized paradox: while early analgesia improves, susceptibility to delayed hyperalgesic states may increase.135 This phenomenon challenges assumptions about corticosteroid-mediated nociceptive modulation and underscores the need to contextualize analgesic benefits within a temporal framework. Furthermore, dexamethasone’s adverse-effect profile ranging from gastrointestinal irritation to neuropsychiatric symptoms remains clinically relevant, particularly in older or frail patients.137 Current evidence supports dexamethasone as an effective perioperative adjunct, but important uncertainties persist regarding optimal timing, patient selection, and its interaction with rebound pain physiology. Future trials should incorporate mechanistic endpoints, stratify by vulnerability to hyperalgesia, and compare single versus staged dosing strategies to refine its integration into precision multimodal analgesia.\nKetamine has emerged as a potent multimodal analgesic with opioid-sparing properties, yet its role in perioperative pain management requires nuanced interpretation. Clinical trials demonstrate ketamine reduces postoperative pain intensity, morphine consumption, and delays rescue analgesia in cesarean sections under spinal anesthesia, indicating its value as a temporary but clinically relevant strategy.121,138 Preoperative administration under general anesthesia appears optimal, particularly for high-pain surgeries including abdominal, thoracic, orthopedic, and spinal procedures.70 Mechanistic insights suggest that ketamine’s analgesia extends beyond NMDA receptor blockade, potentially modulating emotional pain processing and influencing long-term pain perception.139 Its antidepressant effects in refractory depression, PTSD, and substance use disorders underscore its dual utility in perioperative and chronic pain settings.140 Low-dose IV infusions (<1.2 mg/kg/h) consistently demonstrate ~40% reductions in postoperative opioid consumption without major complications up to 48 hours, although optimal dosing regimens remain to be defined.141\nHeterogeneity exists across populations. Pediatric studies reveal limited analgesic benefit over 72 hours, with sex differences affecting opioid use and sedation.142\nCombined methadone–ketamine regimens highlight the additive potential for opioid reduction post-lumbar arthrodesis, suggesting strategic synergies in multimodal protocols.143 Systematic reviews and meta-analyses reinforce ketamine’s early analgesic efficacy and opioid-sparing impact, though sensitivity analyses indicate variability based on surgical type, dose, and timing.144,145 Clinical trials in lumbar fusion support a S-ketamine:oxycodone ratio of 1:0.75 to achieve meaningful opioid reduction without increasing adverse events.146\nDespite robust analgesic effects, ketamine is not without limitations. Evidence for prolonged postoperative benefit is mixed, with variability in pediatric, minor, and major surgeries. Psychotomimetic effects, inflammatory modulation, and antidepressant outcomes offer additional mechanistic advantages, yet require careful risk–benefit consideration.147–155 Emerging public health concerns, exemplified by “Tusi” misuse, highlight the need for regulatory awareness and research caution.156 Intraoperative esketamine reduces pain, anxiety, depression, and neuroinflammatory markers, yet cognitive benefits remain unproven, reinforcing the need for targeted, individualized protocols.155 Evidence in other surgical populations is mixed. A meta-analysis of 7RCTs (748 patients) found no significant reduction in postoperative pain after breast cancer surgery, although ketamine/esketamine reduced short-term postoperative depression and dizziness without affecting recovery quality.157 In pediatric surgery, a meta-analysis of 23 randomized trials (1,996 children) showed that perioperative esketamine reduced emergence delirium, postoperative pain scores, adverse events, and PACU length of stay in tonsillectomy and adenoidectomy.158 In elderly patients undergoing lumbar spine surgery, a randomized trial (n = 90) found that low-dose esketamine reduced perioperative opioid requirements, lowered early postoperative pain scores, attenuated inflammatory cytokine responses, and improved hemodynamic stability. Postoperative respiratory depression was reduced, with no increase in psychiatric adverse effects.159 Ketamine exhibits robust analgesic and opioid-sparing effects, alongside potential mood and anti-inflammatory benefits. Nonetheless, variability in dosing, patient response, and adverse events underscores the need for cautious, evidence-driven use. Future research must clarify long-term outcomes and define optimal, multimodal analgesic strategies.\nIntravenous magnesium exhibits clinically relevant opioid-sparing effects in perioperative analgesia, yet current evidence presents limitations that temper confidence in its widespread adoption. Synthesized data from 25 trials suggest reductions in 24-hour postoperative opioid consumption and improved analgesic profiles without major adverse events.160 Beyond its NMDA-receptor–mediated analgesic action, magnesium may attenuate rebound hyperalgesia, as indicated by interscalene ropivacaine studies showing modest prolongation of block duration and enhanced 24-hour pain control.161 Meta-analytic evidence further supports its role in noncardiac surgery, reporting prolonged analgesic intervals and lower morphine requirements.162 However, substantial heterogeneity, variable dosing regimens, and inconsistent reporting of magnesium-related hemodynamic effects underscore the need for caution in interpretation.163–165 Clinical use is further constrained in patients with atrioventricular conduction abnormalities, neuromuscular disorders, or renal impairment due to risks of toxicity, muscle weakness, and ECG disturbances, highlighting the importance of individualized patient assessment and monitoring.164,166 Taken together, magnesium is a promising adjunct in multimodal analgesia, but its optimal dosing, patient selection, and true impact on postoperative outcomes require rigorous, high-quality trials with standardized protocols and safety monitoring to establish evidence-based recommendations.\nGabapentinoids have attracted considerable attention as opioid-sparing adjuncts, particularly in spinal surgery, where consistent reductions in postoperative pain and opioid-related adverse events have been observed.167 Pregabalin may offer incremental benefits over gabapentin, though conflicting reviews highlight substantial variability in effect size and clinical relevance.168 Evidence supporting gabapentin’s role in reducing catheter-related bladder discomfort (CRBD) adds a potentially meaningful secondary indication.169 Despite these advantages, accumulating safety data warrants a more conservative interpretation of their perioperative utility, especially in older, frail, or renally impaired populations. The dose-dependent interaction between gabapentinoids and opioids substantially increases the risk of oversedation and respiratory depression, particularly at preoperative doses exceeding 300 mg of gabapentin combined with >20 mg oxycodone.170\nObservational and mechanistic studies further indicate increased vulnerability during laparoscopic procedures, where respiratory compromise may be masked until emergence.171 Renal elimination necessitates strict dose reduction when creatinine clearance falls below 60 mL/min.172 While randomized trials indicate gabapentin does not increase long-term opioid use compared to placebo,173 large observational datasets report heightened pulmonary risk, and small clinical trials suggest only modest analgesic benefit, highlighting a disconnect between efficacy and safety.174 Gabapentinoids also contribute to dizziness, cognitive impairment, and respiratory complications, suggesting that routine administration may be unjustified. These findings advocate for a selective, patient-specific approach, with risk stratification based on age, renal function, surgical procedure, and perioperative opioid exposure.175 Conversely, gabapentinoids emerge as a relatively effective non-opioid adjunct. Moving forward, rigorously designed trials are required to identify patient subgroups most likely to benefit, and systematically quantify respiratory and neurological risks to guide evidence-based, individualized perioperative analgesic strategies.\nIntravenous lidocaine represents a potent perioperative adjunct, yet its clinical adoption remains limited due to inconsistent protocols, uncertain patient selection, and variable reporting of systemic adverse effects.176 Evidence on its efficacy compared to placebo across postoperative outcomes is marked by uncertainty, as highlighted in a Cochrane review emphasizing methodological limitations and heterogeneity.177 Notably, lidocaine’s impact on pain scores beyond the initial 24-hour postoperative period appears minimal, and comparative evidence versus epidural anesthesia remains sparse, leaving its broader clinical utility unresolved.177\nPerioperative studies yield mixed results: for example, systemic lidocaine during video-assisted thoracoscopic surgery (VATS) under general anesthesia did not significantly reduce postoperative pain or enhance recovery,178 whereas targeted local injections in thyroid surgery provided only modest improvements during early movement or coughing, with comparable overall analgesia.179 Dosing precision is critical. Infusions should be calculated using ideal body weight, with a maintenance rate of 1–1.5 mg/kg/h (max 120 mg/h) for ≤24 hours, and a loading dose ≤1.5 mg/kg over 10 minutes. Contraindications include patients <40 kg and concurrent local anesthetic blocks.6 Properly administered, IV lidocaine can reduce chronic postsurgical pain, early postoperative pain, and opioid consumption, particularly following abdominal and breast surgery, though optimal dosing and long-term outcomes require further investigation.176 Meta-analytic evidence demonstrates that perioperative IV lidocaine in abdominal surgery can reduce postoperative opioid use by up to 85%, accelerate gastrointestinal recovery (first flatus by 23 hours, first bowel movement by 28 hours), and shorten hospital stay by 1.1 days, without major adverse effects; however, its efficacy in other surgical populations remains uncertain.180 Mechanistic studies indicate dose-dependent effects: high doses reduce central sensitization, while low doses attenuate peripheral hyperalgesia, with analgesic effects persisting hours post-infusion.181 These findings suggest lidocaine may modulate both peripheral and spinal sensitization in neuropathic and inflammatory pain models.\nWhile perioperative IV lidocaine may accelerate bowel recovery, decrease opioid requirements, and mitigate inflammatory responses,182 its benefit must be interpreted cautiously. Pharmacokinetic studies indicate consistent plasma levels in patients up to 86 years old, with over 90% achieving therapeutic concentrations safely, suggesting age-based dose adjustments are generally unnecessary.183 Nonetheless, heterogeneity in protocols, patient selection, and long-term outcome data necessitates further large-scale, stratified trials to clarify its efficacy, optimal dosing, and safety across diverse surgical populations.\nRegional analgesia within enhanced recovery pathways encompasses neuraxial and peripheral techniques that interrupt nociceptive transmission at distinct anatomical levels. Neuraxial approaches, including epidural analgesia and intrathecal opioids with or without adjuvants, provide dense central analgesia but require careful patient selection due to procedure- and comorbidity-specific risks. Peripheral strategies—such as paravertebral, transversus abdominis plane, brachial plexus, femoral, sciatic, and fascia iliaca blocks, as well as wound infiltration—offer targeted, opioid-sparing analgesia with reduced systemic drug exposure. These techniques may be delivered as single-injection or catheter-based interventions and can be implemented preoperatively to attenuate central sensitization or postoperatively to supplement multimodal regimens when early placement is not feasible.\nContinuous epidural analgesia using local anesthetics combined with opioids, such as bupivacaine and morphine, provides meaningful improvements in postoperative pain control, particularly after major orthopedic procedures. However, within a multimodal analgesia framework, these benefits must be carefully balanced against procedure- and patient-specific risks.184 Analgesic efficacy is most pronounced during the first 18–24 postoperative hours, yet supplemental systemic opioids are frequently required, underscoring the persistent challenge of achieving sustained analgesia while minimizing opioid exposure.185,186 Traditional epidural techniques, although effective, are associated with higher complication rates in frail and cardiovascularly vulnerable patients, which has contributed to growing interest in ultrasound-guided peripheral nerve blocks as safer, opioid-sparing alternatives within multimodal strategies, despite their continued underutilization in clinical practice.9\nIntrathecal morphine provides potent and prolonged analgesia and has been shown to significantly reduce postoperative opioid requirements, particularly following abdominal surgery. Nevertheless, its clinical utility is constrained by a narrow therapeutic window and an unpredictable dose–response relationship.187 Increased rates of respiratory depression and pruritus, as well as delayed respiratory compromise reported in obstetric populations, highlight safety concerns that are relevant to other high-risk surgical patients and emphasize the need for careful dosing and vigilant postoperative monitoring.188 In addition, systemic absorption of lipophilic opioids administered epidurally may contribute to gastrointestinal adverse effects, supporting consideration of local anesthetic–only neuraxial regimens in selected patients within a broader multimodal approach.187 These findings indicate that while neuraxial opioids remain an important component of perioperative analgesia,189 their use should be individualized according to surgical context, comorbid conditions, and overall risk profile.\nNeuraxial analgesia, encompassing epidural and spinal techniques, contributes substantially to multimodal pain control through the use of opioids with distinct pharmacokinetic properties. Lipophilic opioids such as fentanyl and sufentanil provide rapid onset of analgesia with relatively short duration, whereas hydrophilic agents such as morphine and hydromorphone demonstrate slower onset but prolonged analgesic effects. Standard intrathecal morphine doses (0.1–0.5 mg) typically provide 6–24 hours of postoperative analgesia and reduce reliance on systemic opioids.190 Common adverse effects include nausea, vomiting, pruritus, sedation, and respiratory depression.191 Although contemporary lower-dose strategies have reduced the incidence of respiratory complications, extended-release epidural morphine (10–30 mg) has been associated with a significantly increased risk of respiratory depression (OR 5.80; 95% CI 1.05–31.93), leading to recommendations from the ASA for at least 48 hours of postoperative monitoring, particularly in high-risk populations.70,191\nPostoperative opioid exposure remains associated with a broad range of adverse outcomes, including nausea, vomiting, urinary retention, sleep disturbance, respiratory depression, somnolence, dizziness, delayed recovery, and opioid-induced hyperalgesia.93 Opioid-induced hyperalgesia, particularly associated with high-dose intraoperative opioids such as remifentanil, may paradoxically increase postoperative pain, lower pain thresholds, and contribute to the development of chronic postsurgical pain.93,192 While the overall incidence of opioid misuse following surgery is relatively low (approximately 0.6%), duration of opioid therapy is a critical determinant of risk; each prescription refill is associated with a 44% increase in misuse likelihood, and each additional week of opioid use increases risk by nearly 20% (Figure 1).193 These findings reinforce the importance of neuraxial techniques as part of opioid-sparing multimodal analgesic strategies, alongside careful patient selection, ongoing assessment of analgesic efficacy, and close monitoring for adverse effects to optimize both short- and long-term postoperative outcomes.\nRegional and fascial plane blocks (FPBs) have emerged as cornerstone strategies in multimodal postoperative analgesia, yet their clinical utility must be carefully interpreted in the context of patient outcomes, procedural complexity, and risk-benefit balance. Thoracic epidural analgesia (TEA) and paravertebral blocks (PVBs) continue to demonstrate superior pain control, accelerated extubation, and reduced rescue analgesia requirements in cardiac surgery.194–196 However, the clinical adoption of TEA is limited by hemodynamic instability, risk of spinal hematoma, and potential neurologic injury, highlighting the importance of meticulous perioperative monitoring.197 Ultrasound-guided fascial plane blocks, including serratus anterior plane (SAPB) and erector spinae plane (ESPB) blocks, present safer alternatives with reduced procedural risk, yet their analgesic potency does not consistently match TEA, indicating that opioid-sparing alone may not reflect true analgesic quality.196,198 TAPB reduces perioperative opioid consumption and improves early pain scores in orthopedic and abdominal surgeries, demonstrating clear analgesic benefit in both periacetabular osteotomy and laparoscopic colorectal surgery.199,200 Nonetheless, TAPB does not consistently affect hospital stay or long-term outcomes, and superior analgesic efficacy of subarachnoid morphine must be weighed against higher adverse events.188\nFNB and FICB are effective in elderly hip fracture patients, providing early analgesia and reducing opioid requirements.201–203 Evidence confirms their safety in cognitively impaired populations, although quadriceps motor blockade may increase fall risk.201,204 Comparative studies of US-guided FNB, blind FICB, and continuous FICB highlight similar analgesic outcomes, with continuous blocks offering extended opioid-sparing benefits but potentially delaying early rehabilitation.205–207 These findings underscore the trade-offs between analgesic duration, functional recovery, and procedural complexity. Thoracic, cardiac, and breast surgery pain control benefit from fascial plane blocks such as SAPB, PECS II, DPIPB, and ESPB.195,208–215 These blocks reduce opioid requirements, improve early recovery, and maintain hemodynamic stability, supporting their role as opioid-sparing adjuvants. Notably, modified S-FICB and US-FICB optimize analgesia in hip arthroplasty and hip fracture, demonstrating effective blockade of multiple target nerves.216,217 Meta-analytic evidence further corroborates FICB’s early postoperative pain reduction and decreased opioid use in total hip arthroplasty.218\nDespite overall efficacy, heterogeneity persists across studies. Some blocks show comparable outcomes in intermediate-term recovery, while continuous techniques may affect early mobility.207 Moreover, the risk of motor blockade, the need for ultrasound guidance, and procedural expertise highlight practical limitations.201,204–206 Emerging evidence suggests quadratus lumborum and lumbar ESP blocks outperform standard analgesia in hip and proximal femoral surgeries, underscoring the potential for optimized, procedure-specific regional strategies.219 However, critical appraisal of FPBs also emphasizes safety and systemic considerations. LAST, though rare, poses a high-stakes complication, particularly in brachial plexus blocks, with seizures exacerbated by hypoxia, hypercapnia, and acidosis.220,221 Additionally, rebound pain and motor impairment remain notable limitations, potentially delaying rehabilitation and increasing fall risk.11,25 Nonetheless, when integrated thoughtfully within a multimodal framework, nerve blocks remain powerful adjuncts capable of improving recovery trajectories.11 These findings underscore that advanced analgesic techniques deliver significant opioid-sparing effects, superior pain control, and faster recovery.194,222 However, implementation requires balancing efficacy, safety, and functional outcomes.189,223 Future research should prioritize comparative effectiveness, long-term outcomes, and integration into multimodal analgesic protocols across varied surgical populations.\nContinuous and single-shot regional analgesic strategies demonstrate variable efficacy and resource demands, underscored by evidence from multiple surgical settings. The transmuscular quadratus lumborum block (QLB) achieved lower pain scores at rest (p = 0.036) and higher patient acceptance (p = 0.004, p = 0.006) than pre-peritoneal catheter blocks, albeit at a substantial additional cost.224 In total hip arthroplasty, continuous femoral nerve block (FNB) provided superior analgesia during movement at 6 hours (median 38 vs 67, p = 0.008) and 24 hours (median 39 vs 60, p = 0.018) compared to continuous QLB, highlighting inconsistencies in sensory blockade and suggesting procedure-specific optimization is required.225\nContinuous regional and neuraxial blocks remain potent tools for severe postoperative pain, yet high failure rates—particularly with epidural catheters—limit their universal application.226 Novel applications, such as the erector spinae plane block with continuous infusion, demonstrate feasibility in enabling safe postoperative physiotherapy, illustrating how ultrasound guidance may mitigate complications.227 Dual-catheter strategies targeting popliteal and saphenous nerves enhanced analgesia, increased patient satisfaction, and reduced opioid requirements, suggesting that selective, multi-targeted approaches may improve outcomes.228 Evidence regarding adductor canal blocks (ACB) indicates that single-shot techniques provide equivalent pain relief and functional recovery to continuous ACB within the first 48 hours after total knee arthroplasty, whereas continuous ACB increases complication risks without clear analgesic superiority.229 Similarly, continuous brachial plexus blocks extend analgesia but impose high logistical and safety burdens, including infection risk, device failure, and up to 5% catheter displacement within 6 hours.230 These findings highlight the tension between theoretical analgesic advantages and practical limitations, underscoring the importance of evidence-based implementation of continuous PNBs.\nAlthough local and regional anesthetics are cornerstone modalities for perioperative analgesia, their safety profile is constrained by dose-dependent neurotoxicity and cardiotoxicity. High doses can induce neuronal hyperexcitability, manifesting as tremors or seizures, and impair cardiac conduction, reducing contractility.231 Notably, bupivacaine, ropivacaine, and mepivacaine demonstrate preferential toxicity toward degenerated cartilage, with chondrocyte injury mediated via both necrotic and apoptotic mechanisms, a pattern not predicted by analgesic potency.232 This underscores the need to consider tissue-specific toxicity when selecting local anesthetics, particularly in degenerative joint disease. Peripheral nerve blocks carry functional trade-offs. Continuous lumbar plexus and femoral nerve blocks effectively control postoperative pain but substantially increase fall risk due to transient quadriceps weakness.233–235 Fascia iliaca compartment blocks similarly compromise muscle strength in the immediate postoperative period.207,236 Interscalene blocks present additional safety concerns, with 34% of patients in one study developing postoperative respiratory difficulties.237 Neuraxial anesthesia, while broadly safe, has rare yet severe adverse outcomes. Data from Sweden highlight that two-thirds of serious events result in permanent injury, predominantly from epidural hematomas rather than infections.197 Rebound pain following nerve blocks further complicates postoperative management.25,238 Preexisting neurologic disease markedly increases susceptibility to neuraxial complications (0.3–1.1%), far exceeding general population rates (0.001–0.07%), with serious outcomes requiring decompression occurring in <0.05%. Peripheral nerve injuries are typically transient but remain a clinical concern.197\nEpidural analgesia balances efficacy with a spectrum of potential adverse effects. Local anesthetics can induce hypotension, sensory and motor deficits, and urinary retention, whereas epidural opioids add pruritus, nausea, vomiting, and respiratory depression. Technique-related risks, including post-dural puncture headache, catheter-related back pain, and epidural hematoma, emphasize the importance of procedural expertise. Concurrent anticoagulation—particularly with LMWH, unfractionated heparin, warfarin, or newer antiplatelet agents—increases hematoma risk, reinforcing the necessity for strict adherence to safety protocols.187 These data highlight that while regional anesthesia provides powerful analgesic benefit, its implementation must be individualized, integrating patient comorbidities, anticoagulation status, and tissue-specific vulnerabilities to optimize safety and outcomes.\nNon-pharmacological interventions are increasingly incorporated into multimodal postoperative analgesia, yet their clinical impact remains inconsistent. Physical modalities—including TENS, acupuncture, massage, and temperature therapies—show variable efficacy.239 Large-scale observational data from 14,767 European patients revealed that 44.4% utilized at least one NPM, reporting slightly lower pain relief (68.6% ± 25.7%) than non-users (71.2% ± 27.9%, p<0.001), indicating that NPM use does not universally translate into superior analgesia.240 Evidence from 69 RCTs demonstrates nuanced outcomes. Specific acupressure decreased pain by WMD −2.09 cm on a 10-cm VAS (moderate certainty), while supervised rehabilitation paradoxically increased pain (WMD +1.06 cm). TENS reduced pain modestly (WMD −1.18 cm, low certainty), and acupressure improved function (WMD +1.51 cm). Laser therapy strongly enhanced symptom relief (OR 32.08), whereas mobilization had limited benefit (OR 7.99). Treatment satisfaction effects were generally absent.241 These findings underscore that while certain NPMs offer measurable benefits, the overall contribution to postoperative pain control is modest.103,242,243\nPreoperative anxiety affects 11–80% of surgical patients and significantly influences intraoperative anesthetic dosing and postoperative analgesic requirements.244 Anxiety and pain are shaped by both biological and psychosocial factors, leading to wide interindividual variability.245 Clinical studies show that higher preoperative anxiety and pain sensitivity predict greater postoperative pain and analgesic use.246,247 Meta-analyses demonstrate that preoperative anxiety increases anesthetic (SMD 0.67) and analgesic needs (SMD 0.89), prolongs recovery and raises the risk of postoperative delirium (OR 1.90) in adults.248 These findings underscore the need for individualized anesthetic management and integrated perioperative psychological assessment.249,250\nPsychological strategies—including pre- and postoperative education, cognitive behavioral therapy(CBT),239 and distraction methods—may reduce reliance on analgesics. CBT effectively mitigates postoperative anxiety and depression, particularly in older women, but its influence on pain scores is less definitive.251 Evidence for psychological preparation and acupuncture remains mixed.239,252 Techniques such as guided imagery, relaxation, hypnosis, intraoperative suggestions, and music therapy show potential, yet implementation is constrained by institutional barriers, including nurse workload, time limitations, and insufficient training.94,253 Overall, non-pharmacological strategies play a safe and valuable adjunctive role within multimodal analgesia, although heterogeneous interventions and patient populations limit generalizability and highlight the need for standardized protocols integrated with pharmacologic care. Evidence suggests that perioperative education, empathetic communication, and avoidance of nocebo language can improve pain control, reduce opioid use, and shorten hospital stay. Mindfulness and cognitive behavioral therapy support recovery, physical therapy enhances function, and modalities such as cryotherapy, acupuncture, and TENS provide modest, procedure-specific analgesic benefits.254 Despite growing evidence that psychological interventions and structured patient education can reduce perioperative pain and anxiety, their routine incorporation into anesthetic practice is variable, and their clinical impact is maximized when delivered alongside established pharmacological analgesic strategies rather than as standalone approaches.87\nClinical pharmacists are increasingly recognized as essential members of perioperative care teams, improving the quality, safety, and effectiveness of multimodal analgesia. Multisite quality initiatives demonstrate that pharmacist-led perioperative pain management delivers individualized analgesic strategies, mitigates opioid-related risks, and achieves high adherence to guideline-recommended practices, with strong endorsement from orthopedic and surgical teams.255–257\nIntegration of pharmacists into transitional perioperative care enhances continuity across surgical phases, enabling tailored analgesic planning and patient-centered interventions, which improve satisfaction among both patients and providers.256 Effective multimodal and opioid-sparing analgesia relies not only on evidence-based drug selection but also on reliable, patient-specific implementation; pharmacists facilitate this process by optimizing medication regimens, monitoring for adverse drug reactions, and supporting opioid stewardship within interdisciplinary teams.255,256\nEvidence demonstrates tangible clinical benefits. Pharmacist-led perioperative pharmaceutical care in orthopedic surgery reduced postoperative pain scores and shortened hospital stay by an average of 2.3 days, without compromising breakthrough pain control or safety.258 In ambulatory surgery, pharmacist consultations decreased moderate-to-severe postoperative pain by 17% and reduced mean pain scores by 0.9 points.259 Pharmacist interventions also reduce medication errors, enhance adherence to protocols, and improve overall perioperative safety through multicomponent strategies including medication reconciliation, staff education, and patient counseling.260,261 Despite growing evidence, implementation remains inconsistent. Surveys indicate that while most pharmacists support involvement in postoperative pain management, actual engagement is limited due to a lack of standardized protocols, systematic training, and structured workflows.262 Evidence gaps persist regarding chronic disease management, development processes for interventions, and the long-term impact of pharmacist integration on patient-centered outcomes.263 Collectively, these data highlight the transformative role of clinical pharmacists in perioperative care. Their integration supports individualized, multimodal analgesia, enhances interprofessional collaboration, reduces opioid exposure, and strengthens patient safety. Structured programs and professional education are essential to maximize pharmacists’ impact, standardize care delivery, and promote sustainable, high-quality perioperative pain management.264\nPostoperative pain remains a major clinical challenge despite advances in analgesic strategies. Retrospective studies show that preoperative opioid or benzodiazepine use, smoking, and obesity increase postoperative opioid requirements, while age and sex have minimal impact.265 Evidence for preemptive opioids is limited. A Cochrane review of 20 RCTs (1,343 participants) found modest reductions in postoperative pain but no clear benefit for preventive opioids (Figure 1). Adverse events were underreported, highlighting the need for high-quality trials.266 Guidelines from the American Pain Society recommend multimodal analgesia for all surgeries, targeting multiple pain pathways and accounting for interindividual variability, including pharmacogenetic differences in opioid metabolism and pain sensitivity (Figure 3).267 Prospective studies, such as a post-cesarean cohort in Uganda, reveal gaps in care: pain peaked six hours postoperatively (median 37/100), and 32% of patients reported inadequate analgesia despite standard regimens.268 Personalized multimodal strategies improve recovery by integrating biological, psychological, and social determinants of pain. Interventions such as dynamic monitoring, virtual reality therapies, and prehabilitation reduce pain scores, opioid use, and hospital stay. AI-supported decision tools and standardized protocols have the potential to enhance these outcomes further.269\nFigure 3This figure illustrates a precision-guided approach to perioperative pain management. Advanced technologies, including pharmacogenomics, artificial intelligence, and real-time patient monitoring, converge to support an opioid-sparing personalized analgesic optimization strategy. This strategy informs a multimodal analgesic plan incorporating tailored systemic analgesics and clinical pharmacist oversight for medication safety and opioid tapering, ultimately improving pain control, reducing opioid use, enhancing recovery, and shortening hospital stay.  Feeds into  Generates plan  Produces outcome  Lateral input.  Input Pillars  Personalized Multimodal Analgesic Plan & tracks  Improved Patient Outcomes.\nThis figure illustrates a precision-guided approach to perioperative pain management. Advanced technologies, including pharmacogenomics, artificial intelligence, and real-time patient monitoring, converge to support an opioid-sparing personalized analgesic optimization strategy. This strategy informs a multimodal analgesic plan incorporating tailored systemic analgesics and clinical pharmacist oversight for medication safety and opioid tapering, ultimately improving pain control, reducing opioid use, enhancing recovery, and shortening hospital stay.  Feeds into  Generates plan  Produces outcome  Lateral input.  Input Pillars  Personalized Multimodal Analgesic Plan & tracks  Improved Patient Outcomes.\nMinimally invasive procedures, including arthroscopic surgery, benefit from opioid-sparing multimodal approaches. NSAIDs, acetaminophen, gabapentinoids, and local anesthetics reduce opioid exposure while enhancing functional recovery. Randomized trials show nonopioid multimodal regimens lower pain scores (VAS, PROMIS-PI) and adverse effects compared with opioid-based therapy.270,271 Limiting opioid exposure is critical, given the U.S. overdose crisis, with 94,000 deaths in 2020. Evidence-based prescribing, procedure-specific pill counts, and standardized care pathways are essential for safe postoperative management.272 Provider knowledge impacts outcomes. In a study of 72 ICU nurses, only 21.6% applied behavioral pain scales for non-communicative patients, despite universal use of standard scales. Knowledge gaps correlated with gender, education, and prior pain training, highlighting the need for structured education and broader adoption of validated assessment tools.273 Perioperative pain management is evolving toward patient-centered, individualized care. Personalized strategies consider comorbidities, psychological status, and pain sensitivity to optimize recovery and reduce complications. Multimodal, individualized care can lower pain scores by 20–30%, opioid use by 25–40%, and hospital stay by 1–2 days.269,274\nDespite over 800 primary studies and 107 systematic reviews, critical gaps remain. Evidence is limited regarding optimal patient education, nonpharmacological interventions, analgesic combinations, monitoring of treatment response, neuraxial and regional techniques, and care delivery models.275 Quality metrics are also insufficient: of 19 identified measures, only five are endorsed by the National Quality Forum. None specifically targets postoperative pain, and only three non-endorsed measures address it, highlighting a lack of standardized benchmarks.276,277\nPharmacogenomics addresses a critical gap in perioperative pain management by accounting for genetically mediated differences in pharmacokinetics, pharmacodynamics, and pain perception.71,72 Adverse drug reactions—many of which are genetically influenced—remain a major source of preventable morbidity, mortality, and healthcare expenditure, with their true burden likely underestimated due to underreporting.61 Although pharmacy-related costs account for less than 5% of total surgical expenditure, inadequately controlled postoperative pain substantially increases overall costs through prolonged hospitalization, delayed functional recovery, and progression to chronic pain, supporting the economic rationale for targeted pharmacogenomic testing in selected patient populations.61\nRandomized and observational studies increasingly demonstrate that pharmacogenetic-guided multimodal analgesia is associated with reductions in postoperative pain scores and opioid consumption, particularly among patients harboring actionable genetic variants.278,279 When integrated with clinical risk stratification tools and guideline-endorsed multimodal analgesic strategies,267,280,281 pharmacogenomic-informed care represents a scalable, evidence-based pathway toward precision perioperative pain management.\nPatient-controlled analgesia (PCA) remains a cornerstone of acute postoperative pain management, enabling individualized, on-demand opioid delivery for surgical, trauma-related, and chronic pain in both adults and children older than five years.282 Its widespread use in perioperative care reflects its ability to reduce the analgesic “perception–delivery gap”; however, clinical outcomes are highly dependent on opioid selection, pump programming, and patient-specific factors.283 Hydromorphone and sufentanil are among the most commonly administered opioids for PCA, yet direct comparative evidence regarding their postoperative efficacy and safety remains limited, with available studies yielding inconsistent results.283 Opioid-induced pruritus—particularly frequent with morphine—often necessitates opioid rotation, with hydromorphone frequently favored because of its comparatively improved tolerability profile.284\nComparative studies demonstrate that hydromorphone- and sufentanil-based IV-PCA generally provide similar analgesic efficacy across diverse surgical contexts.285,286 Notably, in colorectal cancer surgery, hydromorphone improved mood recovery at 48–96 hours yet increased pruritus and nausea relative to sufentanil,286 underscoring the nuanced balance between analgesic benefit and tolerability. Randomized evidence further suggests that fentanyl–ketamine IV-PCA may serve as a viable alternative to thoracic epidural analgesia after minimally invasive thoracic surgery; both techniques produced comparable analgesia and adverse effect profiles, though fk-IVPCA resulted in more early postoperative demands.287 These findings highlight the growing role of multimodal PCA strategies, particularly in settings where epidural analgesia is contraindicated or technically challenging. Despite its advantages, PCA is not without risk. Sufentanil, while potent, may induce respiratory depression and thereby jeopardize postoperative safety, particularly in high-risk surgical populations.288 Moreover, many PCA-related complications including programming errors, excessive dosing, and respiratory depression stem from human factors rather than the device itself,282 highlighting the need for standardized training and monitoring.\nRecent pediatric data illustrate the potential benefits of opioid-sparing PCA strategies: nalbuphine/dexmedetomidine PCIA supported superior hemodynamic stability, analgesia, sedation, and stress control compared with sufentanil/dexmedetomidine in tonsillectomy, with fewer adverse reactions.289 Age also modifies PCA pharmacodynamics: younger recipients of fentanyl PCA have higher rescue analgesic requirements—attenuated by ketorolac—whereas older adults benefit from prophylactic antiemetics such as ramosetron.290 Incorporating adjunct non-opioid analgesics (paracetamol, NSAIDs, local anesthetics, ketamine, tramadol) effectively reduces opioid consumption but demands caution in patients receiving concurrent sedatives or with renal/hepatic dysfunction due to metabolite accumulation (eg, morphine (M3G, M6G) and hydromorphone (H3G).291\nCommon opioid-related side effects sedation, nausea, vomiting, and pruritus typically remain manageable with dosage adjustment or supportive medication,292,293 though constipation and urinary retention warrant ongoing surveillance.293 Importantly, emerging evidence questions routine PCA use in certain low-to-moderate pain surgeries: in laparoscopic cholecystectomy, morphine PCA was associated with delayed recovery, impaired alertness, and significantly higher postoperative nausea and vomiting compared with non-PCA protocols.294 These findings suggest that reflexive postoperative PCA prescribing may be inappropriate in procedures with predictable, mild-to-moderate pain trajectories. Basal opioid infusion via IV-PCA was previously used to enhance postoperative pain control; however, it does not improve pain or sleep quality and increases opioid-related side effects.295 A meta-analysis of 796 patients showed basal IV-PCA significantly raises respiratory depression risk, leading to recommendations against its routine use.296 Despite this, basal fentanyl infusion in IV-PCA continues in practice.295 Most existing evidence comes from morphine-based IV-PCA studies with small sample sizes, highlighting the need for research on the risks and benefits specific to fentanyl’s distinct pharmacokinetics.295\nPCA provides superior postoperative pain relief and patient satisfaction compared to traditional methods, allowing self-titration and immediate analgesia. Morphine is first-line; alternatives include hydromorphone and fentanyl. PCA should integrate non-opioid analgesics, with careful monitoring for sedation, respiratory status, and side effects.297 Special considerations apply for pediatric, elderly, and emergency surgery patients, emphasizing education and safety protocols.297,298 Smart pump technology enhances safety by reducing errors, but proxy use, continuous infusions, or programming mistakes pose risks. Optimizing outcomes requires standardized protocols, staff training, and a multidisciplinary approach integrating technology, clinical oversight, and procedural rigor.298\nRecent studies have applied machine learning (ML) to personalize perioperative and postoperative pain management, enabling individualized analgesic strategies that account for patient variability in pain response and opioid effectiveness. The OPIAID algorithm leverages observational electronic health record data and causal modeling to predict optimal opioid doses based on patient characteristics, intraoperative factors, and opioid type, aiming to maximize analgesia while minimizing opioid-related adverse events.299 The Interpretable Neural Network Regression (INNER) model combines deep neural networks with traditional statistical methods to assess preoperative opioid use risk. Applied to 34,186 surgical patients, INNER generated interpretable, patient-specific risk estimates, identified key predictive factors, and supported evidence-based individualized pain management.300\nIn obstetric populations, ML models such as XGBoost have been used to optimize post-cesarean pain management. Among multiple models tested, XGBoost performed best, highlighting critical predictors including anesthesia type and adjunctive analgesics such as esketamine, thereby facilitating tailored analgesic protocols.301 Similarly, gradient boosting models in major abdominal surgery integrated demographic, clinical, genetic, and psychosocial variables to predict severe postoperative pain with 83.7% accuracy, enabling preemptive, personalized pain management.302 Ensemble ML approaches have also been applied in spine surgery. Stacking classifiers effectively predicted postoperative axial pain intensity in 484 patients with degenerative cervical myelopathy, achieving an AUC of 0.91, while ensemble models forecasted 1-year functional recovery (Japanese Orthopedic Association scores) in 672 patients, providing clinicians with interpretable, patient-specific insights for optimized pain management and resource allocation.303,304 Overall, ML and artificial intelligence techniques provide robust tools for objective pain assessment, identification of high-risk patients, and integration of precision analgesic strategies. Across diverse surgical populations, these approaches enhance the ability to predict pain trajectories, tailor opioid and multimodal analgesia, and improve perioperative outcomes.305\nRecent studies have developed multimodal machine learning frameworks for objective postoperative pain assessment using biosignals such as ECG, EMG, EDA, and respiration. In a cohort of 25 patients, these models achieved over 80% balanced accuracy, with respiration signals most effective for low pain and EMG for high pain, demonstrating feasibility for real-world clinical monitoring.306 Similarly, automated pain assessment using galvanic skin response (GSR) in 25 non-communicative postoperative adults achieved up to 86% accuracy with random forest and k-nearest-neighbor classifiers, outperforming previous approaches.307 Despite their promise, high costs and technical complexity—including real-time monitoring, AI-driven analytics, pharmacogenomic integration, and wearable sensors—remain significant barriers to widespread adoption, particularly in low-resource healthcare settings.269\nWearable devices and digital health technologies enable real-time monitoring, objective assessment, and personalized interventions for chronic and postoperative pain.308–315 Many studies link physiological markers with pain. Traditional models such as Random Forest and multilevel models perform reliably. Advanced models face challenges with data quality and computational demands. Integrating multimodal data and enhancing data security could improve predictive accuracy and clinical utility.308\nIntegration of wearables with electronic health records (EHRs), especially Epic systems, is increasing. Partnerships between start-ups and health systems have improved data capture and provider workflows. Insurance programs also incentivize wearable use. Remaining challenges include privacy, interoperability, and data overload.309 Pain assessment in children is challenging due to its subjective nature. Validated tools enable accurate postoperative pain evaluation, improving comfort and recovery.310 Parents often under-treat pain at home. Factors such as age, development, language, cultural beliefs, and biology influence management. Using multiple assessment tools with technology supports effective pediatric pain care.311 Technology-based interventions—including apps, virtual reality, and wearables—reduce postoperative pain scores in children, as shown in a meta-analysis of 14 RCTs.312\nDigital therapeutics, including virtual reality and mobile applications, improve opioid-based pain management as adjuncts, demonstrating better pain scores in randomized trials. They provide opportunities to enhance patient-centered care and integrate with pharmacotherapy.316 Researchers at WashU developed an uncertainty-aware machine learning model using preoperative surveys and clinical data to predict risk, offering clinicians both probability and confidence estimates.55 However, precision perioperative medicine applies genetics, pharmacogenomics, and predictive analytics to personalize anesthetic care, optimize drug dosing, anticipate complications, and enhance pain management, thereby improving safety, recovery, and patient-centered outcomes.317\nWearables combined with ecological momentary assessment can track activity, physiological signals, and pain in real-world settings. These tools generate reproducible biosignals and clinically meaningful endpoints.313 AI and machine learning enable dynamic, patient-specific pain management. By analyzing large datasets, these systems predict pain trajectories, optimize medications, reduce side effects, and enhance recovery.314\nChronic pain often disrupts physical and cognitive function. Conventional therapies are limited and may have side effects. Neuromodulation approaches—including SCS, TENS, NMES, and AI-driven platforms like EcoAI—offer adaptive, personalized treatment. Combined with remote monitoring and closed-loop feedback, these strategies support scalable, precision-based pain management. Future work should focus on validated biomarkers and equitable implementation.315\n\n\n### Adjuvant Therapies in Multimodal Analgesia\nAdjuvant analgesics while individually beneficial are most effective when integrated into a broader multimodal framework (Table 2). Their use requires cautious titration from the lowest effective dose, particularly given the delayed onset of some agents, and an adequate therapeutic trial is essential before deeming a therapy ineffective.87 Although certain adjuvants are employed for refractory pain syndromes such as back pain or temporomandibular disorders, it is important to acknowledge that evidence supporting these indications remains weak, highlighting a persistent gap in rigorous clinical data.87\nAnalgesic effectiveness is shaped by fundamental pharmacologic features including onset, duration, and magnitude of relief that often parallel systemic drug exposure.105 Yet despite advances in pharmacology, single-agent strategies continue to underperform in complex postoperative or geriatric pain states. This underscores the need to expand and standardize multimodal pain management approaches that integrate pharmacologic and non-pharmacologic modalities. Such comprehensive strategies have demonstrated the capacity to reduce opioid consumption, mitigate opioid-related complications, and enhance functional recovery in elderly hip-fracture patients, a population particularly vulnerable to adverse outcomes.106,107\nNon-pharmacologic interventions remain underutilized despite their established safety, accessibility, and minimal risk of harm. Techniques such as breathing exercises, massage, positioning, and music therapy form a broad spectrum of cognitive–behavioral, physical, and supportive approaches.108,109 As outlined by Pölkki et al, these modalities not only complement pharmacologic therapy but empower patients, promoting self-efficacy and active engagement in pain control,109 a critical component of enhanced recovery pathways Their low cost and favorable adverse-effect profile further support their routine incorporation into perioperative practice.110–112\nCurrent PROSPECT recommendations reflect the shift toward evidence-based multimodal regimens (Figure 2). For elective cesarean delivery under neuraxial anesthesia, intrathecal morphine (50–100 µg) or diamorphine (300 µg), combined with paracetamol/NSAIDs and IV dexamethasone, remains the cornerstone of optimized analgesia. When intrathecal opioids cannot be used, fascial plane blocks or wound infiltration provide effective alternatives, with TENS as an adjunct; opioids are relegated to rescue therapy.113 In Video-assisted Thoracoscopic Surgery, early continuation of non-opioid analgesics and the prioritization of regional techniques particularly paravertebral and erector spinae plane blocks reflect high-quality evidence favoring opioid-sparing strategies. IV dexmedetomidine is recommended when regional anesthesia is not feasible, further highlighting the move toward opioid minimization.114 Overall, synergistic multimodal analgesia protocols (MAPs) represent a critical evolution in perioperative care (Figure 2). By combining pharmacologic and non-pharmacologic strategies including regional anesthesia, acetaminophen, NSAIDs, ketamine, dexamethasone, and structured non-pharmacologic therapies MAPs consistently reduce pain severity, minimize opioid exposure, and improve postoperative recovery trajectories without increasing adverse effects (Table 2).115 Future research should focus on standardizing these multimodal pathways and identifying patient-specific predictors of response to further refine personalized analgesic care.\nFigure 2Schematic illustration of perioperative multimodal analgesia emphasizing the synergistic integration of complementary strategies to enhance analgesic efficacy, minimize treatment-related complications, and accelerate postoperative recovery, discharge, and rehabilitation. ↑: Increase, ↓: Decrease.\nSchematic illustration of perioperative multimodal analgesia emphasizing the synergistic integration of complementary strategies to enhance analgesic efficacy, minimize treatment-related complications, and accelerate postoperative recovery, discharge, and rehabilitation. ↑: Increase, ↓: Decrease.\n\n\n### Systemic Non-Opioid Analgesic\nIntravenous paracetamol and propacetamol continue to show reproducible—but not uniformly transformative—analgesic effects across surgical and acute care settings.116 Meta-analytic evidence confirms that parenteral paracetamol achieves clinically meaningful pain relief (≥50% reduction) in only about one-third of postoperative patients, with a number needed to treat of 5,116 and ED data demonstrate modest opioid-sparing benefits.117 These findings underscore paracetamol’s value but also reveal its ceiling as a foundational rather than decisive component of multimodal analgesia. Safety considerations are increasingly central. Although acetaminophen is perceived as low risk, frailty-related pharmacokinetic alterations complicate this narrative. Frail older adults experience disproportionately elevated serum concentrations and reduced clearance, far exceeding changes attributable to chronological age alone.118 This decline—driven predominantly by impaired glucuronidation with preserved sulfation positions frailty,119 rather than age, as the critical determinant of hepatotoxicity risk, which may occur even at therapeutic doses.120 Clinically, this reframes paracetamol as a drug requiring tailored dosing rather than routine administration in geriatric care.121 Hemodynamic instability following IV acetaminophen further challenges its routine use in high-acuity environments. Hypotension occurs in 10–60% of critically ill patients and demands intervention in up to 30%,122 raising concerns about unrecognized hemodynamic liability. Prospective observations reinforce this risk: over half of monitored adults experience substantial MAP reductions after infusion, with a median nadir of 64 mmHg and more than one-third requiring corrective measures.123 Experimental evidence implicates N-acetyl-p-benzoquinone imine in a Kv7.4/7.5 channel–mediated vasodilatory cascade amplified by CGRP release, offering a mechanistic explanation and a potential target for mitigation.124\nAnalgesic combinations containing paracetamol, such as paracetamol/codeine, can improve early postoperative pain control and reduce rescue analgesic needs relative to ibuprofen or placebo.125 Yet large-scale instrumental-variable analyses challenge assumptions about its centrality to multimodal analgesia: NSAIDs combined with dexamethasone and regional anesthesia deliver the most clinically meaningful opioid-sparing effects, whereas acetaminophen’s contribution is comparatively modest and often overstated.17 These findings compel a recalibration of multimodal protocols that currently rely heavily on acetaminophen without strong evidence of incremental benefit. Ultimately, while dual-mechanism analgesia offers an advantage in early postoperative pain control with controlled opioid exposure, substantial uncertainties persist. Optimal dosing for frail geriatric patients remains undefined, hemodynamic safety in unstable or critically ill individuals is unresolved, and long-term recovery implications are largely unexplored.126\nProgress will require rigorously designed, stratified clinical trials incorporating validated frailty indices, mechanistically informed dosing frameworks, and real-time hemodynamic surveillance. Without such precision, acetaminophen’s role in personalized, opioid-sparing analgesic care will remain constrained by longstanding assumptions rather than robust evidence.\nGrowing evidence supports dexmedetomidine as a potent opioid-sparing adjunct with clinically meaningful benefits across perioperative settings. A meta-analysis demonstrated significantly reduced early postoperative pain compared with remifentanil (mean difference –0.7/10; 95% CI –1.2 to –0.2; P = 0.004) and improved 24-hour pain outcomes, reinforcing dexmedetomidine’s analgesic superiority with moderate-quality evidence.67 Beyond analgesia, dexmedetomidine prolonged time to first analgesic request, lowered postoperative morphine and rescue analgesic use, and reduced hypotension, shivering, and PONV, while maintaining comparable bradycardia rates to remifentanil.67 Standard dosing regimens (1 μg/kg bolus followed by 0.5 μg/kg/h infusion) attenuate perioperative hemodynamic stress and significantly reduce postoperative analgesic need during laparoscopic procedures.127 Its capacity to lower anesthetic and opioid requirements, diminish postoperative nausea, vomiting, delirium, and agitation, and preserve respiratory drive positions dexmedetomidine as an attractive component of opioid-free anesthesia, especially for bariatric and spine surgery.128\nMechanistically, dexmedetomidine’s analgesic, sedative, and possible antiemetic actions stem from targeted modulation of nociceptive transmission, suppression of sympathetic activation, and mitigation of hyperalgesia, with preclinical evidence supporting synergism with opioids.129 These properties translate into improved postoperative comfort, reduced anxiety, shorter hospital stay, and enhanced recovery trajectories.130 However, its expanding use must be balanced against concerns regarding hemodynamic instability. The increased risk of intraoperative bradycardia is well-documented, warranting careful patient selection and vigilant monitoring.129 Evidence from thoracoscopic lung cancer surgery further suggests that dexmedetomidine not only reduces PONV and opioid use but also accelerates functional recovery, with data supporting an optimal dose of 0.4 μg/kg/h in this population.131 Despite these promising findings, questions remain regarding its safety in high-risk cardiovascular patients, dose-response relationships, and comparative effectiveness across surgical subgroups highlighting the need for rigorously stratified future trials.\nGrowing evidence supports perioperative dexamethasone as a valuable adjunct within multimodal analgesia for joint arthroplasty, yet its risk–benefit profile warrants more nuanced interpretation.\nConsistent reductions in postoperative pain, opioid requirements, and length of stay following TKA and THA highlight its potential to enhance recovery pathways.132–134 Notably, a single 8–10 mg intravenous dose appears sufficient for meaningful analgesic benefit, and additional dosing confers no clearly demonstrated advantage.133,135 The enhanced recovery observed with delayed postoperative dosing and adjunctive warming techniques raises the possibility that dexamethasone’s immunomodulatory and metabolic effects may influence functional outcomes beyond simple analgesia.136\nHowever, emerging data identifying preoperative dexamethasone as an independent predictor of rebound pain (incidence 61.7%) signal an underrecognized paradox: while early analgesia improves, susceptibility to delayed hyperalgesic states may increase.135 This phenomenon challenges assumptions about corticosteroid-mediated nociceptive modulation and underscores the need to contextualize analgesic benefits within a temporal framework. Furthermore, dexamethasone’s adverse-effect profile ranging from gastrointestinal irritation to neuropsychiatric symptoms remains clinically relevant, particularly in older or frail patients.137 Current evidence supports dexamethasone as an effective perioperative adjunct, but important uncertainties persist regarding optimal timing, patient selection, and its interaction with rebound pain physiology. Future trials should incorporate mechanistic endpoints, stratify by vulnerability to hyperalgesia, and compare single versus staged dosing strategies to refine its integration into precision multimodal analgesia.\nKetamine has emerged as a potent multimodal analgesic with opioid-sparing properties, yet its role in perioperative pain management requires nuanced interpretation. Clinical trials demonstrate ketamine reduces postoperative pain intensity, morphine consumption, and delays rescue analgesia in cesarean sections under spinal anesthesia, indicating its value as a temporary but clinically relevant strategy.121,138 Preoperative administration under general anesthesia appears optimal, particularly for high-pain surgeries including abdominal, thoracic, orthopedic, and spinal procedures.70 Mechanistic insights suggest that ketamine’s analgesia extends beyond NMDA receptor blockade, potentially modulating emotional pain processing and influencing long-term pain perception.139 Its antidepressant effects in refractory depression, PTSD, and substance use disorders underscore its dual utility in perioperative and chronic pain settings.140 Low-dose IV infusions (<1.2 mg/kg/h) consistently demonstrate ~40% reductions in postoperative opioid consumption without major complications up to 48 hours, although optimal dosing regimens remain to be defined.141\nHeterogeneity exists across populations. Pediatric studies reveal limited analgesic benefit over 72 hours, with sex differences affecting opioid use and sedation.142\nCombined methadone–ketamine regimens highlight the additive potential for opioid reduction post-lumbar arthrodesis, suggesting strategic synergies in multimodal protocols.143 Systematic reviews and meta-analyses reinforce ketamine’s early analgesic efficacy and opioid-sparing impact, though sensitivity analyses indicate variability based on surgical type, dose, and timing.144,145 Clinical trials in lumbar fusion support a S-ketamine:oxycodone ratio of 1:0.75 to achieve meaningful opioid reduction without increasing adverse events.146\nDespite robust analgesic effects, ketamine is not without limitations. Evidence for prolonged postoperative benefit is mixed, with variability in pediatric, minor, and major surgeries. Psychotomimetic effects, inflammatory modulation, and antidepressant outcomes offer additional mechanistic advantages, yet require careful risk–benefit consideration.147–155 Emerging public health concerns, exemplified by “Tusi” misuse, highlight the need for regulatory awareness and research caution.156 Intraoperative esketamine reduces pain, anxiety, depression, and neuroinflammatory markers, yet cognitive benefits remain unproven, reinforcing the need for targeted, individualized protocols.155 Evidence in other surgical populations is mixed. A meta-analysis of 7RCTs (748 patients) found no significant reduction in postoperative pain after breast cancer surgery, although ketamine/esketamine reduced short-term postoperative depression and dizziness without affecting recovery quality.157 In pediatric surgery, a meta-analysis of 23 randomized trials (1,996 children) showed that perioperative esketamine reduced emergence delirium, postoperative pain scores, adverse events, and PACU length of stay in tonsillectomy and adenoidectomy.158 In elderly patients undergoing lumbar spine surgery, a randomized trial (n = 90) found that low-dose esketamine reduced perioperative opioid requirements, lowered early postoperative pain scores, attenuated inflammatory cytokine responses, and improved hemodynamic stability. Postoperative respiratory depression was reduced, with no increase in psychiatric adverse effects.159 Ketamine exhibits robust analgesic and opioid-sparing effects, alongside potential mood and anti-inflammatory benefits. Nonetheless, variability in dosing, patient response, and adverse events underscores the need for cautious, evidence-driven use. Future research must clarify long-term outcomes and define optimal, multimodal analgesic strategies.\nIntravenous magnesium exhibits clinically relevant opioid-sparing effects in perioperative analgesia, yet current evidence presents limitations that temper confidence in its widespread adoption. Synthesized data from 25 trials suggest reductions in 24-hour postoperative opioid consumption and improved analgesic profiles without major adverse events.160 Beyond its NMDA-receptor–mediated analgesic action, magnesium may attenuate rebound hyperalgesia, as indicated by interscalene ropivacaine studies showing modest prolongation of block duration and enhanced 24-hour pain control.161 Meta-analytic evidence further supports its role in noncardiac surgery, reporting prolonged analgesic intervals and lower morphine requirements.162 However, substantial heterogeneity, variable dosing regimens, and inconsistent reporting of magnesium-related hemodynamic effects underscore the need for caution in interpretation.163–165 Clinical use is further constrained in patients with atrioventricular conduction abnormalities, neuromuscular disorders, or renal impairment due to risks of toxicity, muscle weakness, and ECG disturbances, highlighting the importance of individualized patient assessment and monitoring.164,166 Taken together, magnesium is a promising adjunct in multimodal analgesia, but its optimal dosing, patient selection, and true impact on postoperative outcomes require rigorous, high-quality trials with standardized protocols and safety monitoring to establish evidence-based recommendations.\nGabapentinoids have attracted considerable attention as opioid-sparing adjuncts, particularly in spinal surgery, where consistent reductions in postoperative pain and opioid-related adverse events have been observed.167 Pregabalin may offer incremental benefits over gabapentin, though conflicting reviews highlight substantial variability in effect size and clinical relevance.168 Evidence supporting gabapentin’s role in reducing catheter-related bladder discomfort (CRBD) adds a potentially meaningful secondary indication.169 Despite these advantages, accumulating safety data warrants a more conservative interpretation of their perioperative utility, especially in older, frail, or renally impaired populations. The dose-dependent interaction between gabapentinoids and opioids substantially increases the risk of oversedation and respiratory depression, particularly at preoperative doses exceeding 300 mg of gabapentin combined with >20 mg oxycodone.170\nObservational and mechanistic studies further indicate increased vulnerability during laparoscopic procedures, where respiratory compromise may be masked until emergence.171 Renal elimination necessitates strict dose reduction when creatinine clearance falls below 60 mL/min.172 While randomized trials indicate gabapentin does not increase long-term opioid use compared to placebo,173 large observational datasets report heightened pulmonary risk, and small clinical trials suggest only modest analgesic benefit, highlighting a disconnect between efficacy and safety.174 Gabapentinoids also contribute to dizziness, cognitive impairment, and respiratory complications, suggesting that routine administration may be unjustified. These findings advocate for a selective, patient-specific approach, with risk stratification based on age, renal function, surgical procedure, and perioperative opioid exposure.175 Conversely, gabapentinoids emerge as a relatively effective non-opioid adjunct. Moving forward, rigorously designed trials are required to identify patient subgroups most likely to benefit, and systematically quantify respiratory and neurological risks to guide evidence-based, individualized perioperative analgesic strategies.\nIntravenous lidocaine represents a potent perioperative adjunct, yet its clinical adoption remains limited due to inconsistent protocols, uncertain patient selection, and variable reporting of systemic adverse effects.176 Evidence on its efficacy compared to placebo across postoperative outcomes is marked by uncertainty, as highlighted in a Cochrane review emphasizing methodological limitations and heterogeneity.177 Notably, lidocaine’s impact on pain scores beyond the initial 24-hour postoperative period appears minimal, and comparative evidence versus epidural anesthesia remains sparse, leaving its broader clinical utility unresolved.177\nPerioperative studies yield mixed results: for example, systemic lidocaine during video-assisted thoracoscopic surgery (VATS) under general anesthesia did not significantly reduce postoperative pain or enhance recovery,178 whereas targeted local injections in thyroid surgery provided only modest improvements during early movement or coughing, with comparable overall analgesia.179 Dosing precision is critical. Infusions should be calculated using ideal body weight, with a maintenance rate of 1–1.5 mg/kg/h (max 120 mg/h) for ≤24 hours, and a loading dose ≤1.5 mg/kg over 10 minutes. Contraindications include patients <40 kg and concurrent local anesthetic blocks.6 Properly administered, IV lidocaine can reduce chronic postsurgical pain, early postoperative pain, and opioid consumption, particularly following abdominal and breast surgery, though optimal dosing and long-term outcomes require further investigation.176 Meta-analytic evidence demonstrates that perioperative IV lidocaine in abdominal surgery can reduce postoperative opioid use by up to 85%, accelerate gastrointestinal recovery (first flatus by 23 hours, first bowel movement by 28 hours), and shorten hospital stay by 1.1 days, without major adverse effects; however, its efficacy in other surgical populations remains uncertain.180 Mechanistic studies indicate dose-dependent effects: high doses reduce central sensitization, while low doses attenuate peripheral hyperalgesia, with analgesic effects persisting hours post-infusion.181 These findings suggest lidocaine may modulate both peripheral and spinal sensitization in neuropathic and inflammatory pain models.\nWhile perioperative IV lidocaine may accelerate bowel recovery, decrease opioid requirements, and mitigate inflammatory responses,182 its benefit must be interpreted cautiously. Pharmacokinetic studies indicate consistent plasma levels in patients up to 86 years old, with over 90% achieving therapeutic concentrations safely, suggesting age-based dose adjustments are generally unnecessary.183 Nonetheless, heterogeneity in protocols, patient selection, and long-term outcome data necessitates further large-scale, stratified trials to clarify its efficacy, optimal dosing, and safety across diverse surgical populations.\n\n\n### Intravenous Acetaminophen\nIntravenous paracetamol and propacetamol continue to show reproducible—but not uniformly transformative—analgesic effects across surgical and acute care settings.116 Meta-analytic evidence confirms that parenteral paracetamol achieves clinically meaningful pain relief (≥50% reduction) in only about one-third of postoperative patients, with a number needed to treat of 5,116 and ED data demonstrate modest opioid-sparing benefits.117 These findings underscore paracetamol’s value but also reveal its ceiling as a foundational rather than decisive component of multimodal analgesia. Safety considerations are increasingly central. Although acetaminophen is perceived as low risk, frailty-related pharmacokinetic alterations complicate this narrative. Frail older adults experience disproportionately elevated serum concentrations and reduced clearance, far exceeding changes attributable to chronological age alone.118 This decline—driven predominantly by impaired glucuronidation with preserved sulfation positions frailty,119 rather than age, as the critical determinant of hepatotoxicity risk, which may occur even at therapeutic doses.120 Clinically, this reframes paracetamol as a drug requiring tailored dosing rather than routine administration in geriatric care.121 Hemodynamic instability following IV acetaminophen further challenges its routine use in high-acuity environments. Hypotension occurs in 10–60% of critically ill patients and demands intervention in up to 30%,122 raising concerns about unrecognized hemodynamic liability. Prospective observations reinforce this risk: over half of monitored adults experience substantial MAP reductions after infusion, with a median nadir of 64 mmHg and more than one-third requiring corrective measures.123 Experimental evidence implicates N-acetyl-p-benzoquinone imine in a Kv7.4/7.5 channel–mediated vasodilatory cascade amplified by CGRP release, offering a mechanistic explanation and a potential target for mitigation.124\nAnalgesic combinations containing paracetamol, such as paracetamol/codeine, can improve early postoperative pain control and reduce rescue analgesic needs relative to ibuprofen or placebo.125 Yet large-scale instrumental-variable analyses challenge assumptions about its centrality to multimodal analgesia: NSAIDs combined with dexamethasone and regional anesthesia deliver the most clinically meaningful opioid-sparing effects, whereas acetaminophen’s contribution is comparatively modest and often overstated.17 These findings compel a recalibration of multimodal protocols that currently rely heavily on acetaminophen without strong evidence of incremental benefit. Ultimately, while dual-mechanism analgesia offers an advantage in early postoperative pain control with controlled opioid exposure, substantial uncertainties persist. Optimal dosing for frail geriatric patients remains undefined, hemodynamic safety in unstable or critically ill individuals is unresolved, and long-term recovery implications are largely unexplored.126\nProgress will require rigorously designed, stratified clinical trials incorporating validated frailty indices, mechanistically informed dosing frameworks, and real-time hemodynamic surveillance. Without such precision, acetaminophen’s role in personalized, opioid-sparing analgesic care will remain constrained by longstanding assumptions rather than robust evidence.\n\n\n### Dexmedetomidine\nGrowing evidence supports dexmedetomidine as a potent opioid-sparing adjunct with clinically meaningful benefits across perioperative settings. A meta-analysis demonstrated significantly reduced early postoperative pain compared with remifentanil (mean difference –0.7/10; 95% CI –1.2 to –0.2; P = 0.004) and improved 24-hour pain outcomes, reinforcing dexmedetomidine’s analgesic superiority with moderate-quality evidence.67 Beyond analgesia, dexmedetomidine prolonged time to first analgesic request, lowered postoperative morphine and rescue analgesic use, and reduced hypotension, shivering, and PONV, while maintaining comparable bradycardia rates to remifentanil.67 Standard dosing regimens (1 μg/kg bolus followed by 0.5 μg/kg/h infusion) attenuate perioperative hemodynamic stress and significantly reduce postoperative analgesic need during laparoscopic procedures.127 Its capacity to lower anesthetic and opioid requirements, diminish postoperative nausea, vomiting, delirium, and agitation, and preserve respiratory drive positions dexmedetomidine as an attractive component of opioid-free anesthesia, especially for bariatric and spine surgery.128\nMechanistically, dexmedetomidine’s analgesic, sedative, and possible antiemetic actions stem from targeted modulation of nociceptive transmission, suppression of sympathetic activation, and mitigation of hyperalgesia, with preclinical evidence supporting synergism with opioids.129 These properties translate into improved postoperative comfort, reduced anxiety, shorter hospital stay, and enhanced recovery trajectories.130 However, its expanding use must be balanced against concerns regarding hemodynamic instability. The increased risk of intraoperative bradycardia is well-documented, warranting careful patient selection and vigilant monitoring.129 Evidence from thoracoscopic lung cancer surgery further suggests that dexmedetomidine not only reduces PONV and opioid use but also accelerates functional recovery, with data supporting an optimal dose of 0.4 μg/kg/h in this population.131 Despite these promising findings, questions remain regarding its safety in high-risk cardiovascular patients, dose-response relationships, and comparative effectiveness across surgical subgroups highlighting the need for rigorously stratified future trials.\n\n\n### Dexamethasone\nGrowing evidence supports perioperative dexamethasone as a valuable adjunct within multimodal analgesia for joint arthroplasty, yet its risk–benefit profile warrants more nuanced interpretation.\nConsistent reductions in postoperative pain, opioid requirements, and length of stay following TKA and THA highlight its potential to enhance recovery pathways.132–134 Notably, a single 8–10 mg intravenous dose appears sufficient for meaningful analgesic benefit, and additional dosing confers no clearly demonstrated advantage.133,135 The enhanced recovery observed with delayed postoperative dosing and adjunctive warming techniques raises the possibility that dexamethasone’s immunomodulatory and metabolic effects may influence functional outcomes beyond simple analgesia.136\nHowever, emerging data identifying preoperative dexamethasone as an independent predictor of rebound pain (incidence 61.7%) signal an underrecognized paradox: while early analgesia improves, susceptibility to delayed hyperalgesic states may increase.135 This phenomenon challenges assumptions about corticosteroid-mediated nociceptive modulation and underscores the need to contextualize analgesic benefits within a temporal framework. Furthermore, dexamethasone’s adverse-effect profile ranging from gastrointestinal irritation to neuropsychiatric symptoms remains clinically relevant, particularly in older or frail patients.137 Current evidence supports dexamethasone as an effective perioperative adjunct, but important uncertainties persist regarding optimal timing, patient selection, and its interaction with rebound pain physiology. Future trials should incorporate mechanistic endpoints, stratify by vulnerability to hyperalgesia, and compare single versus staged dosing strategies to refine its integration into precision multimodal analgesia.\n\n\n### Ketamine\nKetamine has emerged as a potent multimodal analgesic with opioid-sparing properties, yet its role in perioperative pain management requires nuanced interpretation. Clinical trials demonstrate ketamine reduces postoperative pain intensity, morphine consumption, and delays rescue analgesia in cesarean sections under spinal anesthesia, indicating its value as a temporary but clinically relevant strategy.121,138 Preoperative administration under general anesthesia appears optimal, particularly for high-pain surgeries including abdominal, thoracic, orthopedic, and spinal procedures.70 Mechanistic insights suggest that ketamine’s analgesia extends beyond NMDA receptor blockade, potentially modulating emotional pain processing and influencing long-term pain perception.139 Its antidepressant effects in refractory depression, PTSD, and substance use disorders underscore its dual utility in perioperative and chronic pain settings.140 Low-dose IV infusions (<1.2 mg/kg/h) consistently demonstrate ~40% reductions in postoperative opioid consumption without major complications up to 48 hours, although optimal dosing regimens remain to be defined.141\nHeterogeneity exists across populations. Pediatric studies reveal limited analgesic benefit over 72 hours, with sex differences affecting opioid use and sedation.142\nCombined methadone–ketamine regimens highlight the additive potential for opioid reduction post-lumbar arthrodesis, suggesting strategic synergies in multimodal protocols.143 Systematic reviews and meta-analyses reinforce ketamine’s early analgesic efficacy and opioid-sparing impact, though sensitivity analyses indicate variability based on surgical type, dose, and timing.144,145 Clinical trials in lumbar fusion support a S-ketamine:oxycodone ratio of 1:0.75 to achieve meaningful opioid reduction without increasing adverse events.146\nDespite robust analgesic effects, ketamine is not without limitations. Evidence for prolonged postoperative benefit is mixed, with variability in pediatric, minor, and major surgeries. Psychotomimetic effects, inflammatory modulation, and antidepressant outcomes offer additional mechanistic advantages, yet require careful risk–benefit consideration.147–155 Emerging public health concerns, exemplified by “Tusi” misuse, highlight the need for regulatory awareness and research caution.156 Intraoperative esketamine reduces pain, anxiety, depression, and neuroinflammatory markers, yet cognitive benefits remain unproven, reinforcing the need for targeted, individualized protocols.155 Evidence in other surgical populations is mixed. A meta-analysis of 7RCTs (748 patients) found no significant reduction in postoperative pain after breast cancer surgery, although ketamine/esketamine reduced short-term postoperative depression and dizziness without affecting recovery quality.157 In pediatric surgery, a meta-analysis of 23 randomized trials (1,996 children) showed that perioperative esketamine reduced emergence delirium, postoperative pain scores, adverse events, and PACU length of stay in tonsillectomy and adenoidectomy.158 In elderly patients undergoing lumbar spine surgery, a randomized trial (n = 90) found that low-dose esketamine reduced perioperative opioid requirements, lowered early postoperative pain scores, attenuated inflammatory cytokine responses, and improved hemodynamic stability. Postoperative respiratory depression was reduced, with no increase in psychiatric adverse effects.159 Ketamine exhibits robust analgesic and opioid-sparing effects, alongside potential mood and anti-inflammatory benefits. Nonetheless, variability in dosing, patient response, and adverse events underscores the need for cautious, evidence-driven use. Future research must clarify long-term outcomes and define optimal, multimodal analgesic strategies.\n\n\n### Magnesium\nIntravenous magnesium exhibits clinically relevant opioid-sparing effects in perioperative analgesia, yet current evidence presents limitations that temper confidence in its widespread adoption. Synthesized data from 25 trials suggest reductions in 24-hour postoperative opioid consumption and improved analgesic profiles without major adverse events.160 Beyond its NMDA-receptor–mediated analgesic action, magnesium may attenuate rebound hyperalgesia, as indicated by interscalene ropivacaine studies showing modest prolongation of block duration and enhanced 24-hour pain control.161 Meta-analytic evidence further supports its role in noncardiac surgery, reporting prolonged analgesic intervals and lower morphine requirements.162 However, substantial heterogeneity, variable dosing regimens, and inconsistent reporting of magnesium-related hemodynamic effects underscore the need for caution in interpretation.163–165 Clinical use is further constrained in patients with atrioventricular conduction abnormalities, neuromuscular disorders, or renal impairment due to risks of toxicity, muscle weakness, and ECG disturbances, highlighting the importance of individualized patient assessment and monitoring.164,166 Taken together, magnesium is a promising adjunct in multimodal analgesia, but its optimal dosing, patient selection, and true impact on postoperative outcomes require rigorous, high-quality trials with standardized protocols and safety monitoring to establish evidence-based recommendations.\n\n\n### Gabapentinoids\nGabapentinoids have attracted considerable attention as opioid-sparing adjuncts, particularly in spinal surgery, where consistent reductions in postoperative pain and opioid-related adverse events have been observed.167 Pregabalin may offer incremental benefits over gabapentin, though conflicting reviews highlight substantial variability in effect size and clinical relevance.168 Evidence supporting gabapentin’s role in reducing catheter-related bladder discomfort (CRBD) adds a potentially meaningful secondary indication.169 Despite these advantages, accumulating safety data warrants a more conservative interpretation of their perioperative utility, especially in older, frail, or renally impaired populations. The dose-dependent interaction between gabapentinoids and opioids substantially increases the risk of oversedation and respiratory depression, particularly at preoperative doses exceeding 300 mg of gabapentin combined with >20 mg oxycodone.170\nObservational and mechanistic studies further indicate increased vulnerability during laparoscopic procedures, where respiratory compromise may be masked until emergence.171 Renal elimination necessitates strict dose reduction when creatinine clearance falls below 60 mL/min.172 While randomized trials indicate gabapentin does not increase long-term opioid use compared to placebo,173 large observational datasets report heightened pulmonary risk, and small clinical trials suggest only modest analgesic benefit, highlighting a disconnect between efficacy and safety.174 Gabapentinoids also contribute to dizziness, cognitive impairment, and respiratory complications, suggesting that routine administration may be unjustified. These findings advocate for a selective, patient-specific approach, with risk stratification based on age, renal function, surgical procedure, and perioperative opioid exposure.175 Conversely, gabapentinoids emerge as a relatively effective non-opioid adjunct. Moving forward, rigorously designed trials are required to identify patient subgroups most likely to benefit, and systematically quantify respiratory and neurological risks to guide evidence-based, individualized perioperative analgesic strategies.\n\n\n### Lidocaine\nIntravenous lidocaine represents a potent perioperative adjunct, yet its clinical adoption remains limited due to inconsistent protocols, uncertain patient selection, and variable reporting of systemic adverse effects.176 Evidence on its efficacy compared to placebo across postoperative outcomes is marked by uncertainty, as highlighted in a Cochrane review emphasizing methodological limitations and heterogeneity.177 Notably, lidocaine’s impact on pain scores beyond the initial 24-hour postoperative period appears minimal, and comparative evidence versus epidural anesthesia remains sparse, leaving its broader clinical utility unresolved.177\nPerioperative studies yield mixed results: for example, systemic lidocaine during video-assisted thoracoscopic surgery (VATS) under general anesthesia did not significantly reduce postoperative pain or enhance recovery,178 whereas targeted local injections in thyroid surgery provided only modest improvements during early movement or coughing, with comparable overall analgesia.179 Dosing precision is critical. Infusions should be calculated using ideal body weight, with a maintenance rate of 1–1.5 mg/kg/h (max 120 mg/h) for ≤24 hours, and a loading dose ≤1.5 mg/kg over 10 minutes. Contraindications include patients <40 kg and concurrent local anesthetic blocks.6 Properly administered, IV lidocaine can reduce chronic postsurgical pain, early postoperative pain, and opioid consumption, particularly following abdominal and breast surgery, though optimal dosing and long-term outcomes require further investigation.176 Meta-analytic evidence demonstrates that perioperative IV lidocaine in abdominal surgery can reduce postoperative opioid use by up to 85%, accelerate gastrointestinal recovery (first flatus by 23 hours, first bowel movement by 28 hours), and shorten hospital stay by 1.1 days, without major adverse effects; however, its efficacy in other surgical populations remains uncertain.180 Mechanistic studies indicate dose-dependent effects: high doses reduce central sensitization, while low doses attenuate peripheral hyperalgesia, with analgesic effects persisting hours post-infusion.181 These findings suggest lidocaine may modulate both peripheral and spinal sensitization in neuropathic and inflammatory pain models.\nWhile perioperative IV lidocaine may accelerate bowel recovery, decrease opioid requirements, and mitigate inflammatory responses,182 its benefit must be interpreted cautiously. Pharmacokinetic studies indicate consistent plasma levels in patients up to 86 years old, with over 90% achieving therapeutic concentrations safely, suggesting age-based dose adjustments are generally unnecessary.183 Nonetheless, heterogeneity in protocols, patient selection, and long-term outcome data necessitates further large-scale, stratified trials to clarify its efficacy, optimal dosing, and safety across diverse surgical populations.\n\n\n### Regional Analgesia Approaches\nRegional analgesia within enhanced recovery pathways encompasses neuraxial and peripheral techniques that interrupt nociceptive transmission at distinct anatomical levels. Neuraxial approaches, including epidural analgesia and intrathecal opioids with or without adjuvants, provide dense central analgesia but require careful patient selection due to procedure- and comorbidity-specific risks. Peripheral strategies—such as paravertebral, transversus abdominis plane, brachial plexus, femoral, sciatic, and fascia iliaca blocks, as well as wound infiltration—offer targeted, opioid-sparing analgesia with reduced systemic drug exposure. These techniques may be delivered as single-injection or catheter-based interventions and can be implemented preoperatively to attenuate central sensitization or postoperatively to supplement multimodal regimens when early placement is not feasible.\nContinuous epidural analgesia using local anesthetics combined with opioids, such as bupivacaine and morphine, provides meaningful improvements in postoperative pain control, particularly after major orthopedic procedures. However, within a multimodal analgesia framework, these benefits must be carefully balanced against procedure- and patient-specific risks.184 Analgesic efficacy is most pronounced during the first 18–24 postoperative hours, yet supplemental systemic opioids are frequently required, underscoring the persistent challenge of achieving sustained analgesia while minimizing opioid exposure.185,186 Traditional epidural techniques, although effective, are associated with higher complication rates in frail and cardiovascularly vulnerable patients, which has contributed to growing interest in ultrasound-guided peripheral nerve blocks as safer, opioid-sparing alternatives within multimodal strategies, despite their continued underutilization in clinical practice.9\nIntrathecal morphine provides potent and prolonged analgesia and has been shown to significantly reduce postoperative opioid requirements, particularly following abdominal surgery. Nevertheless, its clinical utility is constrained by a narrow therapeutic window and an unpredictable dose–response relationship.187 Increased rates of respiratory depression and pruritus, as well as delayed respiratory compromise reported in obstetric populations, highlight safety concerns that are relevant to other high-risk surgical patients and emphasize the need for careful dosing and vigilant postoperative monitoring.188 In addition, systemic absorption of lipophilic opioids administered epidurally may contribute to gastrointestinal adverse effects, supporting consideration of local anesthetic–only neuraxial regimens in selected patients within a broader multimodal approach.187 These findings indicate that while neuraxial opioids remain an important component of perioperative analgesia,189 their use should be individualized according to surgical context, comorbid conditions, and overall risk profile.\nNeuraxial analgesia, encompassing epidural and spinal techniques, contributes substantially to multimodal pain control through the use of opioids with distinct pharmacokinetic properties. Lipophilic opioids such as fentanyl and sufentanil provide rapid onset of analgesia with relatively short duration, whereas hydrophilic agents such as morphine and hydromorphone demonstrate slower onset but prolonged analgesic effects. Standard intrathecal morphine doses (0.1–0.5 mg) typically provide 6–24 hours of postoperative analgesia and reduce reliance on systemic opioids.190 Common adverse effects include nausea, vomiting, pruritus, sedation, and respiratory depression.191 Although contemporary lower-dose strategies have reduced the incidence of respiratory complications, extended-release epidural morphine (10–30 mg) has been associated with a significantly increased risk of respiratory depression (OR 5.80; 95% CI 1.05–31.93), leading to recommendations from the ASA for at least 48 hours of postoperative monitoring, particularly in high-risk populations.70,191\nPostoperative opioid exposure remains associated with a broad range of adverse outcomes, including nausea, vomiting, urinary retention, sleep disturbance, respiratory depression, somnolence, dizziness, delayed recovery, and opioid-induced hyperalgesia.93 Opioid-induced hyperalgesia, particularly associated with high-dose intraoperative opioids such as remifentanil, may paradoxically increase postoperative pain, lower pain thresholds, and contribute to the development of chronic postsurgical pain.93,192 While the overall incidence of opioid misuse following surgery is relatively low (approximately 0.6%), duration of opioid therapy is a critical determinant of risk; each prescription refill is associated with a 44% increase in misuse likelihood, and each additional week of opioid use increases risk by nearly 20% (Figure 1).193 These findings reinforce the importance of neuraxial techniques as part of opioid-sparing multimodal analgesic strategies, alongside careful patient selection, ongoing assessment of analgesic efficacy, and close monitoring for adverse effects to optimize both short- and long-term postoperative outcomes.\nRegional and fascial plane blocks (FPBs) have emerged as cornerstone strategies in multimodal postoperative analgesia, yet their clinical utility must be carefully interpreted in the context of patient outcomes, procedural complexity, and risk-benefit balance. Thoracic epidural analgesia (TEA) and paravertebral blocks (PVBs) continue to demonstrate superior pain control, accelerated extubation, and reduced rescue analgesia requirements in cardiac surgery.194–196 However, the clinical adoption of TEA is limited by hemodynamic instability, risk of spinal hematoma, and potential neurologic injury, highlighting the importance of meticulous perioperative monitoring.197 Ultrasound-guided fascial plane blocks, including serratus anterior plane (SAPB) and erector spinae plane (ESPB) blocks, present safer alternatives with reduced procedural risk, yet their analgesic potency does not consistently match TEA, indicating that opioid-sparing alone may not reflect true analgesic quality.196,198 TAPB reduces perioperative opioid consumption and improves early pain scores in orthopedic and abdominal surgeries, demonstrating clear analgesic benefit in both periacetabular osteotomy and laparoscopic colorectal surgery.199,200 Nonetheless, TAPB does not consistently affect hospital stay or long-term outcomes, and superior analgesic efficacy of subarachnoid morphine must be weighed against higher adverse events.188\nFNB and FICB are effective in elderly hip fracture patients, providing early analgesia and reducing opioid requirements.201–203 Evidence confirms their safety in cognitively impaired populations, although quadriceps motor blockade may increase fall risk.201,204 Comparative studies of US-guided FNB, blind FICB, and continuous FICB highlight similar analgesic outcomes, with continuous blocks offering extended opioid-sparing benefits but potentially delaying early rehabilitation.205–207 These findings underscore the trade-offs between analgesic duration, functional recovery, and procedural complexity. Thoracic, cardiac, and breast surgery pain control benefit from fascial plane blocks such as SAPB, PECS II, DPIPB, and ESPB.195,208–215 These blocks reduce opioid requirements, improve early recovery, and maintain hemodynamic stability, supporting their role as opioid-sparing adjuvants. Notably, modified S-FICB and US-FICB optimize analgesia in hip arthroplasty and hip fracture, demonstrating effective blockade of multiple target nerves.216,217 Meta-analytic evidence further corroborates FICB’s early postoperative pain reduction and decreased opioid use in total hip arthroplasty.218\nDespite overall efficacy, heterogeneity persists across studies. Some blocks show comparable outcomes in intermediate-term recovery, while continuous techniques may affect early mobility.207 Moreover, the risk of motor blockade, the need for ultrasound guidance, and procedural expertise highlight practical limitations.201,204–206 Emerging evidence suggests quadratus lumborum and lumbar ESP blocks outperform standard analgesia in hip and proximal femoral surgeries, underscoring the potential for optimized, procedure-specific regional strategies.219 However, critical appraisal of FPBs also emphasizes safety and systemic considerations. LAST, though rare, poses a high-stakes complication, particularly in brachial plexus blocks, with seizures exacerbated by hypoxia, hypercapnia, and acidosis.220,221 Additionally, rebound pain and motor impairment remain notable limitations, potentially delaying rehabilitation and increasing fall risk.11,25 Nonetheless, when integrated thoughtfully within a multimodal framework, nerve blocks remain powerful adjuncts capable of improving recovery trajectories.11 These findings underscore that advanced analgesic techniques deliver significant opioid-sparing effects, superior pain control, and faster recovery.194,222 However, implementation requires balancing efficacy, safety, and functional outcomes.189,223 Future research should prioritize comparative effectiveness, long-term outcomes, and integration into multimodal analgesic protocols across varied surgical populations.\nContinuous and single-shot regional analgesic strategies demonstrate variable efficacy and resource demands, underscored by evidence from multiple surgical settings. The transmuscular quadratus lumborum block (QLB) achieved lower pain scores at rest (p = 0.036) and higher patient acceptance (p = 0.004, p = 0.006) than pre-peritoneal catheter blocks, albeit at a substantial additional cost.224 In total hip arthroplasty, continuous femoral nerve block (FNB) provided superior analgesia during movement at 6 hours (median 38 vs 67, p = 0.008) and 24 hours (median 39 vs 60, p = 0.018) compared to continuous QLB, highlighting inconsistencies in sensory blockade and suggesting procedure-specific optimization is required.225\nContinuous regional and neuraxial blocks remain potent tools for severe postoperative pain, yet high failure rates—particularly with epidural catheters—limit their universal application.226 Novel applications, such as the erector spinae plane block with continuous infusion, demonstrate feasibility in enabling safe postoperative physiotherapy, illustrating how ultrasound guidance may mitigate complications.227 Dual-catheter strategies targeting popliteal and saphenous nerves enhanced analgesia, increased patient satisfaction, and reduced opioid requirements, suggesting that selective, multi-targeted approaches may improve outcomes.228 Evidence regarding adductor canal blocks (ACB) indicates that single-shot techniques provide equivalent pain relief and functional recovery to continuous ACB within the first 48 hours after total knee arthroplasty, whereas continuous ACB increases complication risks without clear analgesic superiority.229 Similarly, continuous brachial plexus blocks extend analgesia but impose high logistical and safety burdens, including infection risk, device failure, and up to 5% catheter displacement within 6 hours.230 These findings highlight the tension between theoretical analgesic advantages and practical limitations, underscoring the importance of evidence-based implementation of continuous PNBs.\nAlthough local and regional anesthetics are cornerstone modalities for perioperative analgesia, their safety profile is constrained by dose-dependent neurotoxicity and cardiotoxicity. High doses can induce neuronal hyperexcitability, manifesting as tremors or seizures, and impair cardiac conduction, reducing contractility.231 Notably, bupivacaine, ropivacaine, and mepivacaine demonstrate preferential toxicity toward degenerated cartilage, with chondrocyte injury mediated via both necrotic and apoptotic mechanisms, a pattern not predicted by analgesic potency.232 This underscores the need to consider tissue-specific toxicity when selecting local anesthetics, particularly in degenerative joint disease. Peripheral nerve blocks carry functional trade-offs. Continuous lumbar plexus and femoral nerve blocks effectively control postoperative pain but substantially increase fall risk due to transient quadriceps weakness.233–235 Fascia iliaca compartment blocks similarly compromise muscle strength in the immediate postoperative period.207,236 Interscalene blocks present additional safety concerns, with 34% of patients in one study developing postoperative respiratory difficulties.237 Neuraxial anesthesia, while broadly safe, has rare yet severe adverse outcomes. Data from Sweden highlight that two-thirds of serious events result in permanent injury, predominantly from epidural hematomas rather than infections.197 Rebound pain following nerve blocks further complicates postoperative management.25,238 Preexisting neurologic disease markedly increases susceptibility to neuraxial complications (0.3–1.1%), far exceeding general population rates (0.001–0.07%), with serious outcomes requiring decompression occurring in <0.05%. Peripheral nerve injuries are typically transient but remain a clinical concern.197\nEpidural analgesia balances efficacy with a spectrum of potential adverse effects. Local anesthetics can induce hypotension, sensory and motor deficits, and urinary retention, whereas epidural opioids add pruritus, nausea, vomiting, and respiratory depression. Technique-related risks, including post-dural puncture headache, catheter-related back pain, and epidural hematoma, emphasize the importance of procedural expertise. Concurrent anticoagulation—particularly with LMWH, unfractionated heparin, warfarin, or newer antiplatelet agents—increases hematoma risk, reinforcing the necessity for strict adherence to safety protocols.187 These data highlight that while regional anesthesia provides powerful analgesic benefit, its implementation must be individualized, integrating patient comorbidities, anticoagulation status, and tissue-specific vulnerabilities to optimize safety and outcomes.\n\n\n### Neuraxial Analgesia Within Opioid-Sparing Multimodal Strategies\nContinuous epidural analgesia using local anesthetics combined with opioids, such as bupivacaine and morphine, provides meaningful improvements in postoperative pain control, particularly after major orthopedic procedures. However, within a multimodal analgesia framework, these benefits must be carefully balanced against procedure- and patient-specific risks.184 Analgesic efficacy is most pronounced during the first 18–24 postoperative hours, yet supplemental systemic opioids are frequently required, underscoring the persistent challenge of achieving sustained analgesia while minimizing opioid exposure.185,186 Traditional epidural techniques, although effective, are associated with higher complication rates in frail and cardiovascularly vulnerable patients, which has contributed to growing interest in ultrasound-guided peripheral nerve blocks as safer, opioid-sparing alternatives within multimodal strategies, despite their continued underutilization in clinical practice.9\nIntrathecal morphine provides potent and prolonged analgesia and has been shown to significantly reduce postoperative opioid requirements, particularly following abdominal surgery. Nevertheless, its clinical utility is constrained by a narrow therapeutic window and an unpredictable dose–response relationship.187 Increased rates of respiratory depression and pruritus, as well as delayed respiratory compromise reported in obstetric populations, highlight safety concerns that are relevant to other high-risk surgical patients and emphasize the need for careful dosing and vigilant postoperative monitoring.188 In addition, systemic absorption of lipophilic opioids administered epidurally may contribute to gastrointestinal adverse effects, supporting consideration of local anesthetic–only neuraxial regimens in selected patients within a broader multimodal approach.187 These findings indicate that while neuraxial opioids remain an important component of perioperative analgesia,189 their use should be individualized according to surgical context, comorbid conditions, and overall risk profile.\nNeuraxial analgesia, encompassing epidural and spinal techniques, contributes substantially to multimodal pain control through the use of opioids with distinct pharmacokinetic properties. Lipophilic opioids such as fentanyl and sufentanil provide rapid onset of analgesia with relatively short duration, whereas hydrophilic agents such as morphine and hydromorphone demonstrate slower onset but prolonged analgesic effects. Standard intrathecal morphine doses (0.1–0.5 mg) typically provide 6–24 hours of postoperative analgesia and reduce reliance on systemic opioids.190 Common adverse effects include nausea, vomiting, pruritus, sedation, and respiratory depression.191 Although contemporary lower-dose strategies have reduced the incidence of respiratory complications, extended-release epidural morphine (10–30 mg) has been associated with a significantly increased risk of respiratory depression (OR 5.80; 95% CI 1.05–31.93), leading to recommendations from the ASA for at least 48 hours of postoperative monitoring, particularly in high-risk populations.70,191\nPostoperative opioid exposure remains associated with a broad range of adverse outcomes, including nausea, vomiting, urinary retention, sleep disturbance, respiratory depression, somnolence, dizziness, delayed recovery, and opioid-induced hyperalgesia.93 Opioid-induced hyperalgesia, particularly associated with high-dose intraoperative opioids such as remifentanil, may paradoxically increase postoperative pain, lower pain thresholds, and contribute to the development of chronic postsurgical pain.93,192 While the overall incidence of opioid misuse following surgery is relatively low (approximately 0.6%), duration of opioid therapy is a critical determinant of risk; each prescription refill is associated with a 44% increase in misuse likelihood, and each additional week of opioid use increases risk by nearly 20% (Figure 1).193 These findings reinforce the importance of neuraxial techniques as part of opioid-sparing multimodal analgesic strategies, alongside careful patient selection, ongoing assessment of analgesic efficacy, and close monitoring for adverse effects to optimize both short- and long-term postoperative outcomes.\n\n\n### Regional and Fascial Plane Blocks in Postoperative Pain\nRegional and fascial plane blocks (FPBs) have emerged as cornerstone strategies in multimodal postoperative analgesia, yet their clinical utility must be carefully interpreted in the context of patient outcomes, procedural complexity, and risk-benefit balance. Thoracic epidural analgesia (TEA) and paravertebral blocks (PVBs) continue to demonstrate superior pain control, accelerated extubation, and reduced rescue analgesia requirements in cardiac surgery.194–196 However, the clinical adoption of TEA is limited by hemodynamic instability, risk of spinal hematoma, and potential neurologic injury, highlighting the importance of meticulous perioperative monitoring.197 Ultrasound-guided fascial plane blocks, including serratus anterior plane (SAPB) and erector spinae plane (ESPB) blocks, present safer alternatives with reduced procedural risk, yet their analgesic potency does not consistently match TEA, indicating that opioid-sparing alone may not reflect true analgesic quality.196,198 TAPB reduces perioperative opioid consumption and improves early pain scores in orthopedic and abdominal surgeries, demonstrating clear analgesic benefit in both periacetabular osteotomy and laparoscopic colorectal surgery.199,200 Nonetheless, TAPB does not consistently affect hospital stay or long-term outcomes, and superior analgesic efficacy of subarachnoid morphine must be weighed against higher adverse events.188\nFNB and FICB are effective in elderly hip fracture patients, providing early analgesia and reducing opioid requirements.201–203 Evidence confirms their safety in cognitively impaired populations, although quadriceps motor blockade may increase fall risk.201,204 Comparative studies of US-guided FNB, blind FICB, and continuous FICB highlight similar analgesic outcomes, with continuous blocks offering extended opioid-sparing benefits but potentially delaying early rehabilitation.205–207 These findings underscore the trade-offs between analgesic duration, functional recovery, and procedural complexity. Thoracic, cardiac, and breast surgery pain control benefit from fascial plane blocks such as SAPB, PECS II, DPIPB, and ESPB.195,208–215 These blocks reduce opioid requirements, improve early recovery, and maintain hemodynamic stability, supporting their role as opioid-sparing adjuvants. Notably, modified S-FICB and US-FICB optimize analgesia in hip arthroplasty and hip fracture, demonstrating effective blockade of multiple target nerves.216,217 Meta-analytic evidence further corroborates FICB’s early postoperative pain reduction and decreased opioid use in total hip arthroplasty.218\nDespite overall efficacy, heterogeneity persists across studies. Some blocks show comparable outcomes in intermediate-term recovery, while continuous techniques may affect early mobility.207 Moreover, the risk of motor blockade, the need for ultrasound guidance, and procedural expertise highlight practical limitations.201,204–206 Emerging evidence suggests quadratus lumborum and lumbar ESP blocks outperform standard analgesia in hip and proximal femoral surgeries, underscoring the potential for optimized, procedure-specific regional strategies.219 However, critical appraisal of FPBs also emphasizes safety and systemic considerations. LAST, though rare, poses a high-stakes complication, particularly in brachial plexus blocks, with seizures exacerbated by hypoxia, hypercapnia, and acidosis.220,221 Additionally, rebound pain and motor impairment remain notable limitations, potentially delaying rehabilitation and increasing fall risk.11,25 Nonetheless, when integrated thoughtfully within a multimodal framework, nerve blocks remain powerful adjuncts capable of improving recovery trajectories.11 These findings underscore that advanced analgesic techniques deliver significant opioid-sparing effects, superior pain control, and faster recovery.194,222 However, implementation requires balancing efficacy, safety, and functional outcomes.189,223 Future research should prioritize comparative effectiveness, long-term outcomes, and integration into multimodal analgesic protocols across varied surgical populations.\n\n\n### Continuous Regional Analgesia Catheters\nContinuous and single-shot regional analgesic strategies demonstrate variable efficacy and resource demands, underscored by evidence from multiple surgical settings. The transmuscular quadratus lumborum block (QLB) achieved lower pain scores at rest (p = 0.036) and higher patient acceptance (p = 0.004, p = 0.006) than pre-peritoneal catheter blocks, albeit at a substantial additional cost.224 In total hip arthroplasty, continuous femoral nerve block (FNB) provided superior analgesia during movement at 6 hours (median 38 vs 67, p = 0.008) and 24 hours (median 39 vs 60, p = 0.018) compared to continuous QLB, highlighting inconsistencies in sensory blockade and suggesting procedure-specific optimization is required.225\nContinuous regional and neuraxial blocks remain potent tools for severe postoperative pain, yet high failure rates—particularly with epidural catheters—limit their universal application.226 Novel applications, such as the erector spinae plane block with continuous infusion, demonstrate feasibility in enabling safe postoperative physiotherapy, illustrating how ultrasound guidance may mitigate complications.227 Dual-catheter strategies targeting popliteal and saphenous nerves enhanced analgesia, increased patient satisfaction, and reduced opioid requirements, suggesting that selective, multi-targeted approaches may improve outcomes.228 Evidence regarding adductor canal blocks (ACB) indicates that single-shot techniques provide equivalent pain relief and functional recovery to continuous ACB within the first 48 hours after total knee arthroplasty, whereas continuous ACB increases complication risks without clear analgesic superiority.229 Similarly, continuous brachial plexus blocks extend analgesia but impose high logistical and safety burdens, including infection risk, device failure, and up to 5% catheter displacement within 6 hours.230 These findings highlight the tension between theoretical analgesic advantages and practical limitations, underscoring the importance of evidence-based implementation of continuous PNBs.\n\n\n### Safety Considerations in Regional and Neuraxial Analgesia\nAlthough local and regional anesthetics are cornerstone modalities for perioperative analgesia, their safety profile is constrained by dose-dependent neurotoxicity and cardiotoxicity. High doses can induce neuronal hyperexcitability, manifesting as tremors or seizures, and impair cardiac conduction, reducing contractility.231 Notably, bupivacaine, ropivacaine, and mepivacaine demonstrate preferential toxicity toward degenerated cartilage, with chondrocyte injury mediated via both necrotic and apoptotic mechanisms, a pattern not predicted by analgesic potency.232 This underscores the need to consider tissue-specific toxicity when selecting local anesthetics, particularly in degenerative joint disease. Peripheral nerve blocks carry functional trade-offs. Continuous lumbar plexus and femoral nerve blocks effectively control postoperative pain but substantially increase fall risk due to transient quadriceps weakness.233–235 Fascia iliaca compartment blocks similarly compromise muscle strength in the immediate postoperative period.207,236 Interscalene blocks present additional safety concerns, with 34% of patients in one study developing postoperative respiratory difficulties.237 Neuraxial anesthesia, while broadly safe, has rare yet severe adverse outcomes. Data from Sweden highlight that two-thirds of serious events result in permanent injury, predominantly from epidural hematomas rather than infections.197 Rebound pain following nerve blocks further complicates postoperative management.25,238 Preexisting neurologic disease markedly increases susceptibility to neuraxial complications (0.3–1.1%), far exceeding general population rates (0.001–0.07%), with serious outcomes requiring decompression occurring in <0.05%. Peripheral nerve injuries are typically transient but remain a clinical concern.197\nEpidural analgesia balances efficacy with a spectrum of potential adverse effects. Local anesthetics can induce hypotension, sensory and motor deficits, and urinary retention, whereas epidural opioids add pruritus, nausea, vomiting, and respiratory depression. Technique-related risks, including post-dural puncture headache, catheter-related back pain, and epidural hematoma, emphasize the importance of procedural expertise. Concurrent anticoagulation—particularly with LMWH, unfractionated heparin, warfarin, or newer antiplatelet agents—increases hematoma risk, reinforcing the necessity for strict adherence to safety protocols.187 These data highlight that while regional anesthesia provides powerful analgesic benefit, its implementation must be individualized, integrating patient comorbidities, anticoagulation status, and tissue-specific vulnerabilities to optimize safety and outcomes.\n\n\n### Non-Pharmacological Pain Management(NPM)\nNon-pharmacological interventions are increasingly incorporated into multimodal postoperative analgesia, yet their clinical impact remains inconsistent. Physical modalities—including TENS, acupuncture, massage, and temperature therapies—show variable efficacy.239 Large-scale observational data from 14,767 European patients revealed that 44.4% utilized at least one NPM, reporting slightly lower pain relief (68.6% ± 25.7%) than non-users (71.2% ± 27.9%, p<0.001), indicating that NPM use does not universally translate into superior analgesia.240 Evidence from 69 RCTs demonstrates nuanced outcomes. Specific acupressure decreased pain by WMD −2.09 cm on a 10-cm VAS (moderate certainty), while supervised rehabilitation paradoxically increased pain (WMD +1.06 cm). TENS reduced pain modestly (WMD −1.18 cm, low certainty), and acupressure improved function (WMD +1.51 cm). Laser therapy strongly enhanced symptom relief (OR 32.08), whereas mobilization had limited benefit (OR 7.99). Treatment satisfaction effects were generally absent.241 These findings underscore that while certain NPMs offer measurable benefits, the overall contribution to postoperative pain control is modest.103,242,243\nPreoperative anxiety affects 11–80% of surgical patients and significantly influences intraoperative anesthetic dosing and postoperative analgesic requirements.244 Anxiety and pain are shaped by both biological and psychosocial factors, leading to wide interindividual variability.245 Clinical studies show that higher preoperative anxiety and pain sensitivity predict greater postoperative pain and analgesic use.246,247 Meta-analyses demonstrate that preoperative anxiety increases anesthetic (SMD 0.67) and analgesic needs (SMD 0.89), prolongs recovery and raises the risk of postoperative delirium (OR 1.90) in adults.248 These findings underscore the need for individualized anesthetic management and integrated perioperative psychological assessment.249,250\nPsychological strategies—including pre- and postoperative education, cognitive behavioral therapy(CBT),239 and distraction methods—may reduce reliance on analgesics. CBT effectively mitigates postoperative anxiety and depression, particularly in older women, but its influence on pain scores is less definitive.251 Evidence for psychological preparation and acupuncture remains mixed.239,252 Techniques such as guided imagery, relaxation, hypnosis, intraoperative suggestions, and music therapy show potential, yet implementation is constrained by institutional barriers, including nurse workload, time limitations, and insufficient training.94,253 Overall, non-pharmacological strategies play a safe and valuable adjunctive role within multimodal analgesia, although heterogeneous interventions and patient populations limit generalizability and highlight the need for standardized protocols integrated with pharmacologic care. Evidence suggests that perioperative education, empathetic communication, and avoidance of nocebo language can improve pain control, reduce opioid use, and shorten hospital stay. Mindfulness and cognitive behavioral therapy support recovery, physical therapy enhances function, and modalities such as cryotherapy, acupuncture, and TENS provide modest, procedure-specific analgesic benefits.254 Despite growing evidence that psychological interventions and structured patient education can reduce perioperative pain and anxiety, their routine incorporation into anesthetic practice is variable, and their clinical impact is maximized when delivered alongside established pharmacological analgesic strategies rather than as standalone approaches.87\n\n\n### Pharmacist Contributions to Perioperative Pain Management\nClinical pharmacists are increasingly recognized as essential members of perioperative care teams, improving the quality, safety, and effectiveness of multimodal analgesia. Multisite quality initiatives demonstrate that pharmacist-led perioperative pain management delivers individualized analgesic strategies, mitigates opioid-related risks, and achieves high adherence to guideline-recommended practices, with strong endorsement from orthopedic and surgical teams.255–257\nIntegration of pharmacists into transitional perioperative care enhances continuity across surgical phases, enabling tailored analgesic planning and patient-centered interventions, which improve satisfaction among both patients and providers.256 Effective multimodal and opioid-sparing analgesia relies not only on evidence-based drug selection but also on reliable, patient-specific implementation; pharmacists facilitate this process by optimizing medication regimens, monitoring for adverse drug reactions, and supporting opioid stewardship within interdisciplinary teams.255,256\nEvidence demonstrates tangible clinical benefits. Pharmacist-led perioperative pharmaceutical care in orthopedic surgery reduced postoperative pain scores and shortened hospital stay by an average of 2.3 days, without compromising breakthrough pain control or safety.258 In ambulatory surgery, pharmacist consultations decreased moderate-to-severe postoperative pain by 17% and reduced mean pain scores by 0.9 points.259 Pharmacist interventions also reduce medication errors, enhance adherence to protocols, and improve overall perioperative safety through multicomponent strategies including medication reconciliation, staff education, and patient counseling.260,261 Despite growing evidence, implementation remains inconsistent. Surveys indicate that while most pharmacists support involvement in postoperative pain management, actual engagement is limited due to a lack of standardized protocols, systematic training, and structured workflows.262 Evidence gaps persist regarding chronic disease management, development processes for interventions, and the long-term impact of pharmacist integration on patient-centered outcomes.263 Collectively, these data highlight the transformative role of clinical pharmacists in perioperative care. Their integration supports individualized, multimodal analgesia, enhances interprofessional collaboration, reduces opioid exposure, and strengthens patient safety. Structured programs and professional education are essential to maximize pharmacists’ impact, standardize care delivery, and promote sustainable, high-quality perioperative pain management.264\n\n\n### Personalized and Precision Multimodal Approaches to Perioperative Pain Management\nPostoperative pain remains a major clinical challenge despite advances in analgesic strategies. Retrospective studies show that preoperative opioid or benzodiazepine use, smoking, and obesity increase postoperative opioid requirements, while age and sex have minimal impact.265 Evidence for preemptive opioids is limited. A Cochrane review of 20 RCTs (1,343 participants) found modest reductions in postoperative pain but no clear benefit for preventive opioids (Figure 1). Adverse events were underreported, highlighting the need for high-quality trials.266 Guidelines from the American Pain Society recommend multimodal analgesia for all surgeries, targeting multiple pain pathways and accounting for interindividual variability, including pharmacogenetic differences in opioid metabolism and pain sensitivity (Figure 3).267 Prospective studies, such as a post-cesarean cohort in Uganda, reveal gaps in care: pain peaked six hours postoperatively (median 37/100), and 32% of patients reported inadequate analgesia despite standard regimens.268 Personalized multimodal strategies improve recovery by integrating biological, psychological, and social determinants of pain. Interventions such as dynamic monitoring, virtual reality therapies, and prehabilitation reduce pain scores, opioid use, and hospital stay. AI-supported decision tools and standardized protocols have the potential to enhance these outcomes further.269\nFigure 3This figure illustrates a precision-guided approach to perioperative pain management. Advanced technologies, including pharmacogenomics, artificial intelligence, and real-time patient monitoring, converge to support an opioid-sparing personalized analgesic optimization strategy. This strategy informs a multimodal analgesic plan incorporating tailored systemic analgesics and clinical pharmacist oversight for medication safety and opioid tapering, ultimately improving pain control, reducing opioid use, enhancing recovery, and shortening hospital stay.  Feeds into  Generates plan  Produces outcome  Lateral input.  Input Pillars  Personalized Multimodal Analgesic Plan & tracks  Improved Patient Outcomes.\nThis figure illustrates a precision-guided approach to perioperative pain management. Advanced technologies, including pharmacogenomics, artificial intelligence, and real-time patient monitoring, converge to support an opioid-sparing personalized analgesic optimization strategy. This strategy informs a multimodal analgesic plan incorporating tailored systemic analgesics and clinical pharmacist oversight for medication safety and opioid tapering, ultimately improving pain control, reducing opioid use, enhancing recovery, and shortening hospital stay.  Feeds into  Generates plan  Produces outcome  Lateral input.  Input Pillars  Personalized Multimodal Analgesic Plan & tracks  Improved Patient Outcomes.\nMinimally invasive procedures, including arthroscopic surgery, benefit from opioid-sparing multimodal approaches. NSAIDs, acetaminophen, gabapentinoids, and local anesthetics reduce opioid exposure while enhancing functional recovery. Randomized trials show nonopioid multimodal regimens lower pain scores (VAS, PROMIS-PI) and adverse effects compared with opioid-based therapy.270,271 Limiting opioid exposure is critical, given the U.S. overdose crisis, with 94,000 deaths in 2020. Evidence-based prescribing, procedure-specific pill counts, and standardized care pathways are essential for safe postoperative management.272 Provider knowledge impacts outcomes. In a study of 72 ICU nurses, only 21.6% applied behavioral pain scales for non-communicative patients, despite universal use of standard scales. Knowledge gaps correlated with gender, education, and prior pain training, highlighting the need for structured education and broader adoption of validated assessment tools.273 Perioperative pain management is evolving toward patient-centered, individualized care. Personalized strategies consider comorbidities, psychological status, and pain sensitivity to optimize recovery and reduce complications. Multimodal, individualized care can lower pain scores by 20–30%, opioid use by 25–40%, and hospital stay by 1–2 days.269,274\nDespite over 800 primary studies and 107 systematic reviews, critical gaps remain. Evidence is limited regarding optimal patient education, nonpharmacological interventions, analgesic combinations, monitoring of treatment response, neuraxial and regional techniques, and care delivery models.275 Quality metrics are also insufficient: of 19 identified measures, only five are endorsed by the National Quality Forum. None specifically targets postoperative pain, and only three non-endorsed measures address it, highlighting a lack of standardized benchmarks.276,277\n\n\n### Personalized Multimodal Perioperative Pain Management\nPostoperative pain remains a major clinical challenge despite advances in analgesic strategies. Retrospective studies show that preoperative opioid or benzodiazepine use, smoking, and obesity increase postoperative opioid requirements, while age and sex have minimal impact.265 Evidence for preemptive opioids is limited. A Cochrane review of 20 RCTs (1,343 participants) found modest reductions in postoperative pain but no clear benefit for preventive opioids (Figure 1). Adverse events were underreported, highlighting the need for high-quality trials.266 Guidelines from the American Pain Society recommend multimodal analgesia for all surgeries, targeting multiple pain pathways and accounting for interindividual variability, including pharmacogenetic differences in opioid metabolism and pain sensitivity (Figure 3).267 Prospective studies, such as a post-cesarean cohort in Uganda, reveal gaps in care: pain peaked six hours postoperatively (median 37/100), and 32% of patients reported inadequate analgesia despite standard regimens.268 Personalized multimodal strategies improve recovery by integrating biological, psychological, and social determinants of pain. Interventions such as dynamic monitoring, virtual reality therapies, and prehabilitation reduce pain scores, opioid use, and hospital stay. AI-supported decision tools and standardized protocols have the potential to enhance these outcomes further.269\nFigure 3This figure illustrates a precision-guided approach to perioperative pain management. Advanced technologies, including pharmacogenomics, artificial intelligence, and real-time patient monitoring, converge to support an opioid-sparing personalized analgesic optimization strategy. This strategy informs a multimodal analgesic plan incorporating tailored systemic analgesics and clinical pharmacist oversight for medication safety and opioid tapering, ultimately improving pain control, reducing opioid use, enhancing recovery, and shortening hospital stay.  Feeds into  Generates plan  Produces outcome  Lateral input.  Input Pillars  Personalized Multimodal Analgesic Plan & tracks  Improved Patient Outcomes.\nThis figure illustrates a precision-guided approach to perioperative pain management. Advanced technologies, including pharmacogenomics, artificial intelligence, and real-time patient monitoring, converge to support an opioid-sparing personalized analgesic optimization strategy. This strategy informs a multimodal analgesic plan incorporating tailored systemic analgesics and clinical pharmacist oversight for medication safety and opioid tapering, ultimately improving pain control, reducing opioid use, enhancing recovery, and shortening hospital stay.  Feeds into  Generates plan  Produces outcome  Lateral input.  Input Pillars  Personalized Multimodal Analgesic Plan & tracks  Improved Patient Outcomes.\nMinimally invasive procedures, including arthroscopic surgery, benefit from opioid-sparing multimodal approaches. NSAIDs, acetaminophen, gabapentinoids, and local anesthetics reduce opioid exposure while enhancing functional recovery. Randomized trials show nonopioid multimodal regimens lower pain scores (VAS, PROMIS-PI) and adverse effects compared with opioid-based therapy.270,271 Limiting opioid exposure is critical, given the U.S. overdose crisis, with 94,000 deaths in 2020. Evidence-based prescribing, procedure-specific pill counts, and standardized care pathways are essential for safe postoperative management.272 Provider knowledge impacts outcomes. In a study of 72 ICU nurses, only 21.6% applied behavioral pain scales for non-communicative patients, despite universal use of standard scales. Knowledge gaps correlated with gender, education, and prior pain training, highlighting the need for structured education and broader adoption of validated assessment tools.273 Perioperative pain management is evolving toward patient-centered, individualized care. Personalized strategies consider comorbidities, psychological status, and pain sensitivity to optimize recovery and reduce complications. Multimodal, individualized care can lower pain scores by 20–30%, opioid use by 25–40%, and hospital stay by 1–2 days.269,274\nDespite over 800 primary studies and 107 systematic reviews, critical gaps remain. Evidence is limited regarding optimal patient education, nonpharmacological interventions, analgesic combinations, monitoring of treatment response, neuraxial and regional techniques, and care delivery models.275 Quality metrics are also insufficient: of 19 identified measures, only five are endorsed by the National Quality Forum. None specifically targets postoperative pain, and only three non-endorsed measures address it, highlighting a lack of standardized benchmarks.276,277\n\n\n### Pharmacogenomic-Guided Multimodal Analgesia\nPharmacogenomics addresses a critical gap in perioperative pain management by accounting for genetically mediated differences in pharmacokinetics, pharmacodynamics, and pain perception.71,72 Adverse drug reactions—many of which are genetically influenced—remain a major source of preventable morbidity, mortality, and healthcare expenditure, with their true burden likely underestimated due to underreporting.61 Although pharmacy-related costs account for less than 5% of total surgical expenditure, inadequately controlled postoperative pain substantially increases overall costs through prolonged hospitalization, delayed functional recovery, and progression to chronic pain, supporting the economic rationale for targeted pharmacogenomic testing in selected patient populations.61\nRandomized and observational studies increasingly demonstrate that pharmacogenetic-guided multimodal analgesia is associated with reductions in postoperative pain scores and opioid consumption, particularly among patients harboring actionable genetic variants.278,279 When integrated with clinical risk stratification tools and guideline-endorsed multimodal analgesic strategies,267,280,281 pharmacogenomic-informed care represents a scalable, evidence-based pathway toward precision perioperative pain management.\nPatient-controlled analgesia (PCA) remains a cornerstone of acute postoperative pain management, enabling individualized, on-demand opioid delivery for surgical, trauma-related, and chronic pain in both adults and children older than five years.282 Its widespread use in perioperative care reflects its ability to reduce the analgesic “perception–delivery gap”; however, clinical outcomes are highly dependent on opioid selection, pump programming, and patient-specific factors.283 Hydromorphone and sufentanil are among the most commonly administered opioids for PCA, yet direct comparative evidence regarding their postoperative efficacy and safety remains limited, with available studies yielding inconsistent results.283 Opioid-induced pruritus—particularly frequent with morphine—often necessitates opioid rotation, with hydromorphone frequently favored because of its comparatively improved tolerability profile.284\nComparative studies demonstrate that hydromorphone- and sufentanil-based IV-PCA generally provide similar analgesic efficacy across diverse surgical contexts.285,286 Notably, in colorectal cancer surgery, hydromorphone improved mood recovery at 48–96 hours yet increased pruritus and nausea relative to sufentanil,286 underscoring the nuanced balance between analgesic benefit and tolerability. Randomized evidence further suggests that fentanyl–ketamine IV-PCA may serve as a viable alternative to thoracic epidural analgesia after minimally invasive thoracic surgery; both techniques produced comparable analgesia and adverse effect profiles, though fk-IVPCA resulted in more early postoperative demands.287 These findings highlight the growing role of multimodal PCA strategies, particularly in settings where epidural analgesia is contraindicated or technically challenging. Despite its advantages, PCA is not without risk. Sufentanil, while potent, may induce respiratory depression and thereby jeopardize postoperative safety, particularly in high-risk surgical populations.288 Moreover, many PCA-related complications including programming errors, excessive dosing, and respiratory depression stem from human factors rather than the device itself,282 highlighting the need for standardized training and monitoring.\nRecent pediatric data illustrate the potential benefits of opioid-sparing PCA strategies: nalbuphine/dexmedetomidine PCIA supported superior hemodynamic stability, analgesia, sedation, and stress control compared with sufentanil/dexmedetomidine in tonsillectomy, with fewer adverse reactions.289 Age also modifies PCA pharmacodynamics: younger recipients of fentanyl PCA have higher rescue analgesic requirements—attenuated by ketorolac—whereas older adults benefit from prophylactic antiemetics such as ramosetron.290 Incorporating adjunct non-opioid analgesics (paracetamol, NSAIDs, local anesthetics, ketamine, tramadol) effectively reduces opioid consumption but demands caution in patients receiving concurrent sedatives or with renal/hepatic dysfunction due to metabolite accumulation (eg, morphine (M3G, M6G) and hydromorphone (H3G).291\nCommon opioid-related side effects sedation, nausea, vomiting, and pruritus typically remain manageable with dosage adjustment or supportive medication,292,293 though constipation and urinary retention warrant ongoing surveillance.293 Importantly, emerging evidence questions routine PCA use in certain low-to-moderate pain surgeries: in laparoscopic cholecystectomy, morphine PCA was associated with delayed recovery, impaired alertness, and significantly higher postoperative nausea and vomiting compared with non-PCA protocols.294 These findings suggest that reflexive postoperative PCA prescribing may be inappropriate in procedures with predictable, mild-to-moderate pain trajectories. Basal opioid infusion via IV-PCA was previously used to enhance postoperative pain control; however, it does not improve pain or sleep quality and increases opioid-related side effects.295 A meta-analysis of 796 patients showed basal IV-PCA significantly raises respiratory depression risk, leading to recommendations against its routine use.296 Despite this, basal fentanyl infusion in IV-PCA continues in practice.295 Most existing evidence comes from morphine-based IV-PCA studies with small sample sizes, highlighting the need for research on the risks and benefits specific to fentanyl’s distinct pharmacokinetics.295\nPCA provides superior postoperative pain relief and patient satisfaction compared to traditional methods, allowing self-titration and immediate analgesia. Morphine is first-line; alternatives include hydromorphone and fentanyl. PCA should integrate non-opioid analgesics, with careful monitoring for sedation, respiratory status, and side effects.297 Special considerations apply for pediatric, elderly, and emergency surgery patients, emphasizing education and safety protocols.297,298 Smart pump technology enhances safety by reducing errors, but proxy use, continuous infusions, or programming mistakes pose risks. Optimizing outcomes requires standardized protocols, staff training, and a multidisciplinary approach integrating technology, clinical oversight, and procedural rigor.298\n\n\n### Patient-Controlled Analgesia Within Personalized Pain Pathways\nPatient-controlled analgesia (PCA) remains a cornerstone of acute postoperative pain management, enabling individualized, on-demand opioid delivery for surgical, trauma-related, and chronic pain in both adults and children older than five years.282 Its widespread use in perioperative care reflects its ability to reduce the analgesic “perception–delivery gap”; however, clinical outcomes are highly dependent on opioid selection, pump programming, and patient-specific factors.283 Hydromorphone and sufentanil are among the most commonly administered opioids for PCA, yet direct comparative evidence regarding their postoperative efficacy and safety remains limited, with available studies yielding inconsistent results.283 Opioid-induced pruritus—particularly frequent with morphine—often necessitates opioid rotation, with hydromorphone frequently favored because of its comparatively improved tolerability profile.284\nComparative studies demonstrate that hydromorphone- and sufentanil-based IV-PCA generally provide similar analgesic efficacy across diverse surgical contexts.285,286 Notably, in colorectal cancer surgery, hydromorphone improved mood recovery at 48–96 hours yet increased pruritus and nausea relative to sufentanil,286 underscoring the nuanced balance between analgesic benefit and tolerability. Randomized evidence further suggests that fentanyl–ketamine IV-PCA may serve as a viable alternative to thoracic epidural analgesia after minimally invasive thoracic surgery; both techniques produced comparable analgesia and adverse effect profiles, though fk-IVPCA resulted in more early postoperative demands.287 These findings highlight the growing role of multimodal PCA strategies, particularly in settings where epidural analgesia is contraindicated or technically challenging. Despite its advantages, PCA is not without risk. Sufentanil, while potent, may induce respiratory depression and thereby jeopardize postoperative safety, particularly in high-risk surgical populations.288 Moreover, many PCA-related complications including programming errors, excessive dosing, and respiratory depression stem from human factors rather than the device itself,282 highlighting the need for standardized training and monitoring.\nRecent pediatric data illustrate the potential benefits of opioid-sparing PCA strategies: nalbuphine/dexmedetomidine PCIA supported superior hemodynamic stability, analgesia, sedation, and stress control compared with sufentanil/dexmedetomidine in tonsillectomy, with fewer adverse reactions.289 Age also modifies PCA pharmacodynamics: younger recipients of fentanyl PCA have higher rescue analgesic requirements—attenuated by ketorolac—whereas older adults benefit from prophylactic antiemetics such as ramosetron.290 Incorporating adjunct non-opioid analgesics (paracetamol, NSAIDs, local anesthetics, ketamine, tramadol) effectively reduces opioid consumption but demands caution in patients receiving concurrent sedatives or with renal/hepatic dysfunction due to metabolite accumulation (eg, morphine (M3G, M6G) and hydromorphone (H3G).291\nCommon opioid-related side effects sedation, nausea, vomiting, and pruritus typically remain manageable with dosage adjustment or supportive medication,292,293 though constipation and urinary retention warrant ongoing surveillance.293 Importantly, emerging evidence questions routine PCA use in certain low-to-moderate pain surgeries: in laparoscopic cholecystectomy, morphine PCA was associated with delayed recovery, impaired alertness, and significantly higher postoperative nausea and vomiting compared with non-PCA protocols.294 These findings suggest that reflexive postoperative PCA prescribing may be inappropriate in procedures with predictable, mild-to-moderate pain trajectories. Basal opioid infusion via IV-PCA was previously used to enhance postoperative pain control; however, it does not improve pain or sleep quality and increases opioid-related side effects.295 A meta-analysis of 796 patients showed basal IV-PCA significantly raises respiratory depression risk, leading to recommendations against its routine use.296 Despite this, basal fentanyl infusion in IV-PCA continues in practice.295 Most existing evidence comes from morphine-based IV-PCA studies with small sample sizes, highlighting the need for research on the risks and benefits specific to fentanyl’s distinct pharmacokinetics.295\nPCA provides superior postoperative pain relief and patient satisfaction compared to traditional methods, allowing self-titration and immediate analgesia. Morphine is first-line; alternatives include hydromorphone and fentanyl. PCA should integrate non-opioid analgesics, with careful monitoring for sedation, respiratory status, and side effects.297 Special considerations apply for pediatric, elderly, and emergency surgery patients, emphasizing education and safety protocols.297,298 Smart pump technology enhances safety by reducing errors, but proxy use, continuous infusions, or programming mistakes pose risks. Optimizing outcomes requires standardized protocols, staff training, and a multidisciplinary approach integrating technology, clinical oversight, and procedural rigor.298\n\n\n### Machine Learning in Postoperative Pain Management\nRecent studies have applied machine learning (ML) to personalize perioperative and postoperative pain management, enabling individualized analgesic strategies that account for patient variability in pain response and opioid effectiveness. The OPIAID algorithm leverages observational electronic health record data and causal modeling to predict optimal opioid doses based on patient characteristics, intraoperative factors, and opioid type, aiming to maximize analgesia while minimizing opioid-related adverse events.299 The Interpretable Neural Network Regression (INNER) model combines deep neural networks with traditional statistical methods to assess preoperative opioid use risk. Applied to 34,186 surgical patients, INNER generated interpretable, patient-specific risk estimates, identified key predictive factors, and supported evidence-based individualized pain management.300\nIn obstetric populations, ML models such as XGBoost have been used to optimize post-cesarean pain management. Among multiple models tested, XGBoost performed best, highlighting critical predictors including anesthesia type and adjunctive analgesics such as esketamine, thereby facilitating tailored analgesic protocols.301 Similarly, gradient boosting models in major abdominal surgery integrated demographic, clinical, genetic, and psychosocial variables to predict severe postoperative pain with 83.7% accuracy, enabling preemptive, personalized pain management.302 Ensemble ML approaches have also been applied in spine surgery. Stacking classifiers effectively predicted postoperative axial pain intensity in 484 patients with degenerative cervical myelopathy, achieving an AUC of 0.91, while ensemble models forecasted 1-year functional recovery (Japanese Orthopedic Association scores) in 672 patients, providing clinicians with interpretable, patient-specific insights for optimized pain management and resource allocation.303,304 Overall, ML and artificial intelligence techniques provide robust tools for objective pain assessment, identification of high-risk patients, and integration of precision analgesic strategies. Across diverse surgical populations, these approaches enhance the ability to predict pain trajectories, tailor opioid and multimodal analgesia, and improve perioperative outcomes.305\nRecent studies have developed multimodal machine learning frameworks for objective postoperative pain assessment using biosignals such as ECG, EMG, EDA, and respiration. In a cohort of 25 patients, these models achieved over 80% balanced accuracy, with respiration signals most effective for low pain and EMG for high pain, demonstrating feasibility for real-world clinical monitoring.306 Similarly, automated pain assessment using galvanic skin response (GSR) in 25 non-communicative postoperative adults achieved up to 86% accuracy with random forest and k-nearest-neighbor classifiers, outperforming previous approaches.307 Despite their promise, high costs and technical complexity—including real-time monitoring, AI-driven analytics, pharmacogenomic integration, and wearable sensors—remain significant barriers to widespread adoption, particularly in low-resource healthcare settings.269\n\n\n### Digital and Wearable Innovations in Pain Monitoring and Management\nWearable devices and digital health technologies enable real-time monitoring, objective assessment, and personalized interventions for chronic and postoperative pain.308–315 Many studies link physiological markers with pain. Traditional models such as Random Forest and multilevel models perform reliably. Advanced models face challenges with data quality and computational demands. Integrating multimodal data and enhancing data security could improve predictive accuracy and clinical utility.308\nIntegration of wearables with electronic health records (EHRs), especially Epic systems, is increasing. Partnerships between start-ups and health systems have improved data capture and provider workflows. Insurance programs also incentivize wearable use. Remaining challenges include privacy, interoperability, and data overload.309 Pain assessment in children is challenging due to its subjective nature. Validated tools enable accurate postoperative pain evaluation, improving comfort and recovery.310 Parents often under-treat pain at home. Factors such as age, development, language, cultural beliefs, and biology influence management. Using multiple assessment tools with technology supports effective pediatric pain care.311 Technology-based interventions—including apps, virtual reality, and wearables—reduce postoperative pain scores in children, as shown in a meta-analysis of 14 RCTs.312\nDigital therapeutics, including virtual reality and mobile applications, improve opioid-based pain management as adjuncts, demonstrating better pain scores in randomized trials. They provide opportunities to enhance patient-centered care and integrate with pharmacotherapy.316 Researchers at WashU developed an uncertainty-aware machine learning model using preoperative surveys and clinical data to predict risk, offering clinicians both probability and confidence estimates.55 However, precision perioperative medicine applies genetics, pharmacogenomics, and predictive analytics to personalize anesthetic care, optimize drug dosing, anticipate complications, and enhance pain management, thereby improving safety, recovery, and patient-centered outcomes.317\nWearables combined with ecological momentary assessment can track activity, physiological signals, and pain in real-world settings. These tools generate reproducible biosignals and clinically meaningful endpoints.313 AI and machine learning enable dynamic, patient-specific pain management. By analyzing large datasets, these systems predict pain trajectories, optimize medications, reduce side effects, and enhance recovery.314\nChronic pain often disrupts physical and cognitive function. Conventional therapies are limited and may have side effects. Neuromodulation approaches—including SCS, TENS, NMES, and AI-driven platforms like EcoAI—offer adaptive, personalized treatment. Combined with remote monitoring and closed-loop feedback, these strategies support scalable, precision-based pain management. Future work should focus on validated biomarkers and equitable implementation.315\n\n\n### Limitations and Safety Considerations of Systemic Analgesics\nOpioids remain indispensable for controlling severe postoperative pain, yet their use is constrained by well-documented adverse effects including nausea, vomiting, constipation, and respiratory depression, with an ongoing risk of misuse even in short-term perioperative settings.318 Despite their theoretical utility, gabapentinoids such as gabapentin and pregabalin have demonstrated limited clinical efficacy in postoperative pain, with meta-analyses indicating minimal analgesic benefit and increased risks of dizziness and visual disturbances, challenging their routine use despite potential opioid-sparing properties.173,319 This highlights the need for careful patient selection and reconsideration of gabapentinoid use in standard postoperative protocols.\nEsmolol, an ultra–short-acting selective β-blocker (0.5 mg/kg loading, then 5 μg/kg/min IV), is used for perioperative analgesia, possibly via central G-protein activation. It enhances pain control and hemodynamic stability while reducing opioid and anesthetic requirements, though excessive dosing can cause bradycardia and hypotension.320 A systematic review and meta-analysis of 19 placebo-controlled trials (1,028 patients) demonstrated that intraoperative esmolol reduced opioid use by 32% intraoperatively and 38.6% postoperatively, improved early postoperative pain scores, and lowered heart rate and mean arterial pressure without inducing clinically significant hypotension or bradycardia, confirming its role as an effective opioid-sparing adjunct in multimodal anesthesia.321\nFor dexamethasone, major gaps remain regarding its precise analgesic mechanisms, the relative roles of systemic versus perineural effects in nerve block prolongation, optimal dosing, efficacy in preventing persistent postoperative pain, and long-term safety across surgical populations.320 Rebound pain after single-shot interscalene block affects about one-third of patients. In a factorial RCT of 160 shoulder arthroscopy patients, intravenous dexamethasone reduced both pain escalation and severe rebound pain, whereas esketamine alone had no preventive effect.322 In a separate RCT of 200 patients, intravenous esketamine did not reduce rebound pain incidence (~25%) but significantly improved pain scores at 8–24 hours and enhanced intraoperative hemodynamic stability without serious adverse events.323 These findings underscore the need for further research to clarify dosing strategies, mechanisms, and long-term outcomes of these adjuncts in multimodal analgesia.\nIntravenous lidocaine, while effective in specific patient subsets, carries substantial risk and demands strict dosing and monitoring protocols, limiting its broad applicability.6 Evidence indicates that combining acetaminophen with NSAIDs yields superior analgesia without amplifying adverse effects, reinforcing the central role of multimodal, non-opioid strategies.324 Non-opioid analgesics, including acetaminophen, NSAIDs, and coxibs, effectively modulate nociceptive pathways but require caution in populations with comorbidities such as renal impairment.93,121 Antidepressants, particularly tricyclic antidepressants (TCAs), may provide adjunctive benefits in pain management through modulation of serotonergic and noradrenergic systems, underscoring the interplay between pain and mood regulation.325\nMultimodal analgesia has emerged as the evidence-based standard for postoperative pain management, optimizing efficacy while reducing opioid consumption and associated adverse outcomes.326 The greatest opioid-sparing effects were observed with NSAIDs combined with dexamethasone or regional anesthesia, while acetaminophen contributed less benefit.17 The findings reinforce the effectiveness of multimodal analgesia and support prioritizing NSAIDs and dexamethasone within perioperative pain management protocols.17 Multimodal postoperative analgesia combines pharmacological strategies (opioids, non-opioids, neuraxial and regional techniques, surgical-site infiltration) with non-pharmacological adjuncts such as acupuncture, music therapy, TENS, and hypnosis, which are generally safe but supported by mixed evidence.327 Although guidelines advocate individualized, preplanned multimodal analgesia, fewer than half of surgical patients achieve adequate pain control, reflecting limited high-quality evidence and suboptimal implementation.239 In primary total knee arthroplasty, evidence supports a combination of preoperative and intraoperative strategies—including paracetamol, NSAIDs, adductor canal block, local infiltration analgesia, and dexamethasone—while limiting postoperative opioid use. Certain interventions, including gabapentinoids, ketamine, and select nerve blocks, may offer minimal additional benefit and could introduce risk, reflecting the need for individualized, evidence-driven protocols.328 Importantly, opioid combination therapy has been associated with increased mortality compared to monotherapy, emphasizing the clinical imperative of judicious use.329\nLocal anesthetics provide potent, targeted analgesia with fewer systemic effects, and techniques such as epidural and paravertebral blocks reduce chronic postsurgical pain following thoracotomy and breast surgery.330,331 Complementary and alternative therapies are widely used but are supported by limited or variable evidence, reinforcing their role as adjuncts rather than primary strategies.332 Non-pharmacologic modalities, including physical therapy, acupuncture, electrical stimulation, cold therapy, and CBT, demonstrate potential in optimizing pain outcomes, particularly when integrated into multimodal frameworks.333\nThe strategic combination of opioids and non-opioids, exploiting distinct mechanisms, provides additive or synergistic analgesic effects and reduces single-agent toxicity(Figure 2).69 Safety data from MNK-155 studies indicate substantial TEAEs, though consistent with low-dose opioid/APAP regimens, highlighting the need to balance efficacy and tolerability.334 Combined oxycodone and flurbiprofen axetil therapy exemplifies effective multimodal postoperative pain control, providing both analgesic and anti-inflammatory effects.335 Certain patient populations warrant additional scrutiny. SSRIs increase bleeding risk with NSAID co-administration, mandating alternative antidepressants for high-risk individuals.336 Bariatric surgery alters drug pharmacokinetics, requiring individualized analgesic strategies; NSAIDs are contraindicated after gastric bypass due to ulceration risk, while monitoring remains critical even for sleeve gastrectomy patients.337–339\nPeripheral nerve blocks remain a cornerstone in reducing perioperative opioid requirements, particularly within the first 72 hours; however, rebound hyperalgesia may paradoxically increase opioid consumption, highlighting the complexity of postoperative analgesia.11,340 Anesthetic co-adjuvants, including clonidine, dexmedetomidine, ketamine, and magnesium sulfate, offer mechanistic benefits such as improved analgesic efficacy and intraoperative hemodynamic stability, yet their clinical value is heterogeneous and procedure-dependent.165 Opioid-gabapentinoid combinations, while mitigating gastrointestinal side effects, may exacerbate CNS depression and mortality, particularly in cancer patients, underscoring the need for risk-stratified application.329 Adjunctive postoperative pain management includes physiotherapy and diverse non-pharmacological strategies that are low-cost, low-risk, and easy to implement. Although evidence is insufficient to recommend surgery-specific approaches, commonly used methods include physical modalities (TENS, acupuncture, heat/cold), physical activity, psychological or spiritual techniques (CBT, meditation), and distraction. Patient education and multidisciplinary care further enhance pain control.104 Optimizing postoperative pain depends on personalized, evidence-based multimodal analgesia integrating pharmacological, regional, and non-pharmacological strategies. Important gaps persist in evaluating optimal combinations and high-risk groups. Effective perioperative pain care requires dedicated pain teams, function-focused assessment, preoperative risk screening, shared decision-making, judicious opioid use, and standardized discharge planning to improve outcomes.254\n\n\n### Post-Discharge Multimodal Analgesia: Opportunities for Optimization\nDespite the proliferation of ERAS protocols, most research remains confined to inpatient care, leaving post-discharge multimodal analgesia (MMA) poorly characterized.341 This gap contributes to suboptimal pain control, ongoing opioid use, and risk of chronic postsurgical pain(Figure 1). Standardization of analgesic regimens beyond the immediate postoperative period is lacking, and evidence for balancing effective pain relief with minimal opioid exposure remains limited.341,342 Heterogeneous study designs, variable protocols, and inconsistent outcome reporting further constrain interpretation and generalizability across procedures and institutions.342,343\nOptimal analgesic strategies for high-risk or complex surgeries remain controversial. While neuraxial techniques, including epidurals, reliably reduce pain scores, they do not consistently affect morbidity or length of stay.344 Emerging regional techniques show promise, but few large, procedure-specific RCTs exist to establish best practices. Moreover, patient-centered outcomes—including psychosocial factors, quality of life, and long-term recovery—are rarely evaluated, limiting the understanding of multimodal analgesia’s broader impact.18,345 Post-discharge pain management is especially inconsistent. Scoping reviews identify gaps in patient education, continuity of care, individualized analgesic planning, and knowledge translation.346 High-quality studies are needed to define procedure-specific multimodal regimens, integrate non-pharmacologic adjuncts such as physical therapy and digital tools, and evaluate the long-term efficacy and safety of MMA strategies.18,347\nEvidence supports certain pharmacologic components—acetaminophen, NSAIDs, and ketamine—as effective opioid-sparing agents with favorable safety profiles (Tables 1–3).348 Conversely, gabapentinoids and α2-agonists pose sedation risks, and evidence for lidocaine, corticosteroids, and other agents remains inconsistent.348 Despite widespread adoption of multimodal strategies, implementation is uneven, and postoperative pain care is often dictated by individual clinician preference rather than standardized, evidence-based protocols.18,349 Pharmacogenetics and precision medicine offer opportunities to individualize analgesic therapy, identifying high-risk patients and optimizing opioid efficacy while minimizing adverse effects.78,350–352 Although biologically plausible and supported by observational data, clinical adoption remains limited by knowledge gaps, inconsistent evidence, lack of standardized protocols, and reimbursement barriers.78,351 Genetic variability clearly affects postoperative pain outcomes, yet actionable guidance has not yet been integrated into routine clinical practice.353 Despite widespread advocacy of multimodal analgesia, structured quality measures, standardized protocols, and systematic incorporation of non-pharmacologic and digital adjuncts are lacking, limiting reproducibility and optimization of postoperative outcomes. Emerging technologies and holistic approaches show promise, but implementation evidence is sparse, highlighting a critical need for standardized frameworks, validated metrics, and high-quality trials to evaluate integration across settings.269,276 Collectively, these observations highlight critical priorities for future research: standardized post-discharge MMA protocols, robust procedure-specific RCTs, integration of psychosocial and non-pharmacologic interventions, and precision approaches incorporating pharmacogenetic and AI-driven tools to optimize pain control, minimize opioid exposure, and enhance recovery.\nTable 3Strategic Overview of Multimodal and Non-Opioid Postoperative Pain ManagementAnalgesic Domain/StrategyPrimary Target/ModalityEvidence StrengthSystem-Level ImpactKey Knowledge Gaps/Research NeedsRegional Analgesia (neuraxial, peripheral blocks)Peripheral/spinal nociceptive transmissionStrong (acute, inpatient)Major opioid reduction; improved early recovery and mobilityStandardization across procedures; long-term outcomes; post-discharge integrationSystemic Non-Opioid Analgesics (NSAIDs, acetaminophen, COX-2 inhibitors)Inflammatory/central pathwaysStrong–moderateOpioid-sparing; improved functional recoveryOptimal combination strategies; risk-stratified use; long-term safety dataAdjuvant Analgesics (gabapentinoids, ketamine, dexmedetomidine, corticosteroids)Central sensitization/neuropathic pathwaysModerateReduced opioid escalation; improved analgesia in complex surgeriesDosing optimization; patient selection; long-term cognitive and safety outcomesNon-Pharmacologic Interventions (CBT, relaxation, TENS, acupuncture, music therapy)Cognitive, affective, and sensorimotor modulationLow–moderateEnhanced patient experience; adjunct opioid-sparingStandardized protocols; large pragmatic trials; integration into routine pathwaysPatient-Controlled Analgesia (PCA)Opioid delivery under patient controlStrongTailored analgesia; improved patient satisfaction; optimized opioid useOptimal settings for post-discharge use; integration with multimodal strategies; risk of misuse or programming errorsDigital & AI-Supported AnalgesiaPredictive modeling; biosignal-based decision supportEmergingPersonalized opioid-sparing strategiesReal-world validation; cost-effectiveness; workflow integrationMultimodal Analgesic Frameworks (combined pharmacologic, regional, non-pharmacologic)Multi-site, multi-mechanism approachStrong (inpatient)Enhanced recovery; reduced adverse effects; decreased opioid dependenceProcedure-specific standardization; extension into post-discharge care; outcome trackingPost-Discharge Multimodal StrategiesExtended multimodal care beyond hospitalizationLimitedPrevention of persistent postsurgical pain; minimized residual opioid useHigh-quality RCTs; adherence strategies; digital follow-up toolsPharmacogenetics/Precision MedicineGenetic tailoring of analgesic therapyEmerging/observationalOptimized efficacy and safety; potential for personalized analgesiaLarge-scale validation; clinical algorithm development; cost-effectiveness studiesNotes: This table provides a conceptual synthesis of multimodal and non-opioid analgesic domains, summarizing evidence strength, system-level impact, and key knowledge gaps across analgesic strategies, emphasizing research priorities and post-discharge considerations. Evidence strength, “Strong”, consistent evidence from randomized controlled trials or meta-analyses; “Moderate”, evidence from randomized controlled trials with limitations; “Low–moderate”, primarily observational or heterogeneous evidence; “Emerging”, early-phase or observational data without large-scale randomized controlled trial validation. Symbols, “/”, and/or.Abbreviations: NSAIDs, non-steroidal anti-inflammatory drugs; COX-2, cyclooxygenase-2; CBT, cognitive-behavioral therapy; TENS, transcutaneous electrical nerve stimulation; PCA, patient-controlled analgesia; AI, artificial intelligence; RCTs, randomized controlled trials.\nStrategic Overview of Multimodal and Non-Opioid Postoperative Pain Management\nNotes: This table provides a conceptual synthesis of multimodal and non-opioid analgesic domains, summarizing evidence strength, system-level impact, and key knowledge gaps across analgesic strategies, emphasizing research priorities and post-discharge considerations. Evidence strength, “Strong”, consistent evidence from randomized controlled trials or meta-analyses; “Moderate”, evidence from randomized controlled trials with limitations; “Low–moderate”, primarily observational or heterogeneous evidence; “Emerging”, early-phase or observational data without large-scale randomized controlled trial validation. Symbols, “/”, and/or.\nAbbreviations: NSAIDs, non-steroidal anti-inflammatory drugs; COX-2, cyclooxygenase-2; CBT, cognitive-behavioral therapy; TENS, transcutaneous electrical nerve stimulation; PCA, patient-controlled analgesia; AI, artificial intelligence; RCTs, randomized controlled trials.\n\n\n### Limitations of Current Evidence and Future Directions\nDespite substantial advances in perioperative pain management, critical gaps remain in the evidence base supporting multimodal analgesia. Most studies focus on inpatient care, with limited high-quality evidence addressing post-discharge pain management, leaving patients at risk for inadequate analgesia, persistent opioid use, and chronic postsurgical pain (Figure 1). Standardized, procedure-specific protocols tailored to diverse surgical populations are scarce, and long-term outcomes—such as functional recovery, quality of life, and chronic pain prevention—are insufficiently studied. Heterogeneity in study design, patient populations, outcome measures, and analgesic components further limits meta-analysis and consensus on optimal strategies. The efficacy of adjunctive agents—including,NSAIDS, gabapentinoids, ketamine, and selected non-pharmacologic interventions—remains inconsistent. Regional and neuraxial analgesic techniques, while effective, are influenced by technical variability, rebound hyperalgesia, and adverse effects. Psychological and physical modalities demonstrate variable benefits, often dependent on patient engagement and implementation fidelity.\nEmerging digital and precision technologies, such as machine learning–based risk stratification, biosignal-guided pain assessment, wearable monitoring, and AI-driven decision support, provide opportunities to tailor analgesia across inpatient and post-discharge phases. However, adoption is limited by cost, technical complexity, interoperability challenges, and lack of long-term outcome data. System-level barriers—including inconsistent clinician training, underutilization of validated pain metrics, and absence of standardized quality indicators—further hinder optimal implementation.\nAddressing these gaps requires high-quality, multicenter studies that evaluate post-discharge multimodal analgesia, integrate personalized and pharmacogenomic-guided strategies, and assess long-term outcomes. Evidence-informed, procedure-specific frameworks should combine pharmacologic, regional, and non-pharmacologic modalities, incorporate validated metrics, and support seamless transitions from hospital to home care. Embedding these strategies into guidelines and quality improvement initiatives is essential to enhance analgesic efficacy, reduce opioid exposure, and achieve sustainable, patient-centered perioperative pain management.\n\n\n### Conclusion\nAchieving durable functional recovery necessitates a fundamental reorientation from opioid-dependent analgesia toward individualized, multimodal perioperative care —one that demonstrably reduces opioid consumption, mitigates adverse effects, and addresses the biopsychosocial complexity of surgical pain across the full continuum of care. Despite compelling inpatient evidence supporting this transition, critical deficiencies persist in post-discharge standardization, long-term functional recovery, and chronic postsurgical pain prevention — domains where current clinical practice remains insufficient relative to patient burden. Pharmacogenomic-guided prescribing, machine learning–based risk stratification, and wearable monitoring platforms represent promising precision-based frontiers, yet their clinical integration remains contingent upon robust validation, interoperability, and the seamless transition of data between surgical and primary care teams. Realizing the full potential of multimodal analgesia demands procedure-specific, evidence-informed protocols embedded within interdisciplinary care frameworks — bridging the persistent discontinuity between effective inpatient analgesia and the largely unstructured postoperative recovery that follows hospital discharge.", "domain": "affective_neuroscience"}
{"source": "PMC13091784", "title": "Multimodal artificial intelligence and online learning in youth mental health: a scoping review", "text": "# Multimodal artificial intelligence and online learning in youth mental health: a scoping review\n\n## Abstract\nYouth mental health-related problems and disorders have garnered increased attention due to global prevalence estimates that have, in some cases, increased following the COVID-19 pandemic. Various methodologies have been proposed to leverage artificial intelligence (AI) for detecting mental health problems in the general population; however, research specifically focused on AI methods for youth remains limited. Shortcomings in modern AI include limited training data modalities (i.e., types of input data used for model training), reliance on offline training, and the use of static models. This scoping review provides an overview of evidence that uses AI methods applied to youth mental health (YMH) and provides an assessment of the current state of research that integrates multimodal AI (i.e., models that incorporate multiple data modalities) and/or online learning (i.e., incremental or continual model training from streaming data) for the diagnosis, monitoring, and treatment of YMH-related problems. The findings indicate that research in AI applied to YMH is limited in the areas of multimodal AI and online learning. The number of studies in this field is steadily growing. Studies incorporating online learning demonstrate that this approach enhances model performance and adaptability, which is crucial for developing translational models capable of addressing real-world challenges effectively. Despite these advances, key challenges remain, including the availability and long-term validity of multimodal data, the lack of participant-related information in certain databases and studies, the ethical and logistical difficulties of collecting data from minors, and the computational costs of training robust AI models.\n\n## Full Text\n\n\n### Introduction\nIn 2022, the World Health Organization (WHO) reported that 1 in 12 children aged 0–9 years and 1 in 7 adolescents aged 10-19 years have a mental health problem1–3. In Canada, it was reported that 1 in 5 children and adolescents aged 4–17 years had a mental health problem, yet less than one-third appeared to have had contact with a mental health professional4. The situation worsened during and after the COVID-19 pandemic. While visits to emergency departments (ED) decreased at the onset of the pandemic, the proportion of hospitalizations for mental disorders increased. Additionally, physician-based consultations for mental health problems (which rapidly transitioned to virtual) increased disproportionately, particularly among adolescent females5,6. This increase in mental health service utilization coincided with a significant rise in the prevalence of mood and anxiety disorders among youth in 2022 compared to 2012, as reported by Statistics Canada7.\nThe use of AI in healthcare has been steadily increasing, with researchers continually developing new models for various healthcare applications8–12. Specifically, AI applications in mental health problems have led to significant advances in the analysis, detection, prediction, and treatment assistance for mental illnesses. These advancements leverage various data types, including physiological signals (e.g., Electroencephalography (EEG), Galvanic Skin Response (GSR), or voice), brain images, electronic health records (EHRs), psychological tests, social media platforms (e.g., Reddit), and monitoring systems (e.g., smartphones)13,14. In the context of YMH problems, data are often dynamic, heterogeneous, and continuously generated from multiple sources. This characteristic makes it difficult for static, offline models to remain accurate and representative over time. Therefore, online learning emerges as a natural complement to multimodal AI, as it enables models to be updated incrementally as new data become available, ensuring better adaptability to real-world and evolving conditions.\nThis scoping review aims to identify knowledge gaps in the existing literature on the use of multimodal AI models and online training in the detection and treatment of mental health-related problems in youth. Through a comprehensive analysis of key concepts and methodological approaches the review addresses the following research question:\nWhat is the current status of research using online learning and multimodal AI models for diagnosis, monitoring and/or treatment of mental health problems in youth populations?\nThe novel contribution of this scoping review is the integration of online learning within the use of multimodal AI methods for YMH support, including research that employs AI for diagnosis, monitoring, and/or treatment of YMH problems. This broader inclusion enriches the subsequent discussion, which will primarily focus on methodologies based on online learning and multimodal AI.\nThe structure of this paper is as follows. Section “Methodology” outlines the methodology, including the search strategy and inclusion/exclusion criteria. Section “Results” summarizes the main findings across the identified studies. Section “Discussion” discusses these findings in relation to current trends, methodological challenges, and opportunities for future research. Section “Conclusion” concludes the review by highlighting key implications for the use of multimodal AI and online learning in youth mental health.\nAI is defined as the ability of machines to simulate human intelligence15,16. Within AI, machine learning (ML) refers to a system’s ability to learn and solve tasks related to a specific problem by generating a model through an automated process that analyzes a set of training data16–18. Deep learning (DL) is a subset of ML that relies on neural networks involving larger models in terms of layers and a greater number of parameters16–18. In this article, we adopt the convention of referring to classical machine learning algorithms (e.g., decision trees, support vector machines, ensemble methods, regression models) as ML, while the term DL is reserved for approaches based on neural networks, including deep neural architectures.\nMultimodal AI refers to models that are trained with data of different types or sources (e.g., physiological signals, brain images, electronic health records, psychological tests, or data from social media and smartphones) with the goal of improving accuracy and generalization19. Multimodal approaches, in addition to facing typical unimodal challenges such as data homogenization, missing values, and difficulties in finding ground truth20, must also address additional challenges, including the selection of the type of data fusion (early, intermediate, or late), model interpretability, and the management of computational costs19,21.\nIn the context of multimodal AI applied to YMH problems, data streams are rarely static but instead arrive continuously from diverse sources. This makes it necessary to explore online learning as a complementary paradigm. To provide a clear understanding of the concept of online learning in this scoping review, we first introduce a general definition followed by key applications. Hoi et al. conducted an extensive review that effectively covers the concepts, general aspects, and modalities of online learning22 which we draw from. Online learning is a method that updates AI models using sequentially arriving data streams22,23, defined as massive and potentially unlimited sequences of data24. In contrast, with traditional AI models training is typically performed offline25,26 due to factors such as computational cost, the convenience of handling static data, consistency, and reproducibility. However, offline methods have limitations including low efficiency and poor scalability in large-scale problems, as updating the models often means retraining them from scratch. Online learning addresses these challenges by enabling the development of more efficient and scalable models by continuously incorporating diverse and representative data22, which is particularly valuable for applications where real-world data significantly differs from those collected under controlled conditions. Some applications of different online learning methods include online multi-task where different models perform tasks in parallel, typically consisting of a general model and specific ones, and then merge to produce a unified output. This approach has been applied in social network-based sentiment analysis27, spam email detection and even in predicting peptide interactions with specific protein complexes28. In these cases, the data sources, such as posts, emails, or molecular structures, allow models to be updated as new samples become available. Similarly, cost-sensitive approaches applied to large-scale simulated data have proven effective in detecting anomalies, such as cyber-attacks29 or malware30. Additionally, several architecture and parameter optimization strategies have been proposed to address the challenge of scalability in online learning models31–33\nIt is important to distinguish online learning from related paradigms like incremental learning or incremental retraining, often used interchangeably in the literature34. While, online learning involves continuous model updates from streaming data22,23, incremental learning refers more broadly to algorithms that update a model progressively as new training data become available, generating a sequence of models h1, h2, …, ht where each new model is constructed based on the previous one and a limited number of recent observations34,35.\nThe definition of the youth population was based on the standardization of age references proposed by Diaz et al.36, which facilitates the analysis of data across different life stages36. Following this criterion, we established the upper age limit at 25 years. Therefore, a study was considered to include a youth population if its dataset comprised participants aged up to 25 years or if the average age was below 25. In cases where the data consisted of texts from social networks, the statistical distribution of user ages across different platforms was analyzed based on the years of database publication. The analysis revealed that more than 60% of social media users are in the age range of 13–34 years, with the highest concentration between 13 and 24 years old37–40.\nUnderstanding the youth population within this age range is essential, since YMH differs from adult mental health in several important ways that are relevant to this review. Adolescence and young adulthood (up to ~25 years) involve profound neurobiological, emotional, and social developments that increase vulnerability to mental health problems, with up to 75% of lifetime disorders initiating in this developmental window41–43. Youth also face unique risk environments—from peer dynamics to family context and adverse childhood experiences—that are less prevalent in adulthood44,45 Moreover, the transition from child and adolescent mental health services to adult services is often fragmented, leaving many young people unsupported during a critical period44. These factors impact not only the type of data available but also the design and applicability of AI models for detection, monitoring, and intervention in this population.\n\n\n### Background\nAI is defined as the ability of machines to simulate human intelligence15,16. Within AI, machine learning (ML) refers to a system’s ability to learn and solve tasks related to a specific problem by generating a model through an automated process that analyzes a set of training data16–18. Deep learning (DL) is a subset of ML that relies on neural networks involving larger models in terms of layers and a greater number of parameters16–18. In this article, we adopt the convention of referring to classical machine learning algorithms (e.g., decision trees, support vector machines, ensemble methods, regression models) as ML, while the term DL is reserved for approaches based on neural networks, including deep neural architectures.\nMultimodal AI refers to models that are trained with data of different types or sources (e.g., physiological signals, brain images, electronic health records, psychological tests, or data from social media and smartphones) with the goal of improving accuracy and generalization19. Multimodal approaches, in addition to facing typical unimodal challenges such as data homogenization, missing values, and difficulties in finding ground truth20, must also address additional challenges, including the selection of the type of data fusion (early, intermediate, or late), model interpretability, and the management of computational costs19,21.\nIn the context of multimodal AI applied to YMH problems, data streams are rarely static but instead arrive continuously from diverse sources. This makes it necessary to explore online learning as a complementary paradigm. To provide a clear understanding of the concept of online learning in this scoping review, we first introduce a general definition followed by key applications. Hoi et al. conducted an extensive review that effectively covers the concepts, general aspects, and modalities of online learning22 which we draw from. Online learning is a method that updates AI models using sequentially arriving data streams22,23, defined as massive and potentially unlimited sequences of data24. In contrast, with traditional AI models training is typically performed offline25,26 due to factors such as computational cost, the convenience of handling static data, consistency, and reproducibility. However, offline methods have limitations including low efficiency and poor scalability in large-scale problems, as updating the models often means retraining them from scratch. Online learning addresses these challenges by enabling the development of more efficient and scalable models by continuously incorporating diverse and representative data22, which is particularly valuable for applications where real-world data significantly differs from those collected under controlled conditions. Some applications of different online learning methods include online multi-task where different models perform tasks in parallel, typically consisting of a general model and specific ones, and then merge to produce a unified output. This approach has been applied in social network-based sentiment analysis27, spam email detection and even in predicting peptide interactions with specific protein complexes28. In these cases, the data sources, such as posts, emails, or molecular structures, allow models to be updated as new samples become available. Similarly, cost-sensitive approaches applied to large-scale simulated data have proven effective in detecting anomalies, such as cyber-attacks29 or malware30. Additionally, several architecture and parameter optimization strategies have been proposed to address the challenge of scalability in online learning models31–33\nIt is important to distinguish online learning from related paradigms like incremental learning or incremental retraining, often used interchangeably in the literature34. While, online learning involves continuous model updates from streaming data22,23, incremental learning refers more broadly to algorithms that update a model progressively as new training data become available, generating a sequence of models h1, h2, …, ht where each new model is constructed based on the previous one and a limited number of recent observations34,35.\nThe definition of the youth population was based on the standardization of age references proposed by Diaz et al.36, which facilitates the analysis of data across different life stages36. Following this criterion, we established the upper age limit at 25 years. Therefore, a study was considered to include a youth population if its dataset comprised participants aged up to 25 years or if the average age was below 25. In cases where the data consisted of texts from social networks, the statistical distribution of user ages across different platforms was analyzed based on the years of database publication. The analysis revealed that more than 60% of social media users are in the age range of 13–34 years, with the highest concentration between 13 and 24 years old37–40.\nUnderstanding the youth population within this age range is essential, since YMH differs from adult mental health in several important ways that are relevant to this review. Adolescence and young adulthood (up to ~25 years) involve profound neurobiological, emotional, and social developments that increase vulnerability to mental health problems, with up to 75% of lifetime disorders initiating in this developmental window41–43. Youth also face unique risk environments—from peer dynamics to family context and adverse childhood experiences—that are less prevalent in adulthood44,45 Moreover, the transition from child and adolescent mental health services to adult services is often fragmented, leaving many young people unsupported during a critical period44. These factors impact not only the type of data available but also the design and applicability of AI models for detection, monitoring, and intervention in this population.\n\n\n### Definition of youth population\nThe definition of the youth population was based on the standardization of age references proposed by Diaz et al.36, which facilitates the analysis of data across different life stages36. Following this criterion, we established the upper age limit at 25 years. Therefore, a study was considered to include a youth population if its dataset comprised participants aged up to 25 years or if the average age was below 25. In cases where the data consisted of texts from social networks, the statistical distribution of user ages across different platforms was analyzed based on the years of database publication. The analysis revealed that more than 60% of social media users are in the age range of 13–34 years, with the highest concentration between 13 and 24 years old37–40.\nUnderstanding the youth population within this age range is essential, since YMH differs from adult mental health in several important ways that are relevant to this review. Adolescence and young adulthood (up to ~25 years) involve profound neurobiological, emotional, and social developments that increase vulnerability to mental health problems, with up to 75% of lifetime disorders initiating in this developmental window41–43. Youth also face unique risk environments—from peer dynamics to family context and adverse childhood experiences—that are less prevalent in adulthood44,45 Moreover, the transition from child and adolescent mental health services to adult services is often fragmented, leaving many young people unsupported during a critical period44. These factors impact not only the type of data available but also the design and applicability of AI models for detection, monitoring, and intervention in this population.\n\n\n### Methodology\nTo address the research question, a systematic search was conducted to identify relevant studies, select those aligned with key topics, extract data and relevant results, and report the findings. This scoping review followed the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guidelines to enhance transparency and completeness in reporting, ensuring the reliability and validity of the presented information46–48.\nA structured literature search was conducted in MEDLINE, IEEE Xplore, Compendex, and Inspec (via Engineering Village) during the period November 2024 to February 2025. This time frame refers to when the searches were carried out. The search was limited to articles published from January 2015 onwards. The starting year (2015) was selected to examine the evolution of research in this area over the past decade. The final search string was developed based on four core concepts: Youth Mental Health, Artificial Intelligence, Sensors, and Online Learning. Keywords related to each concept were combined using Boolean operators. The complete search string is provided below:\n(\"Youth Mental Health” OR “Medical services” OR “Human factors” OR “Mental Diseases” OR “Stress Detection” OR “Anxiety Detection” OR “Depression Detection” OR “Mental Disorders Detection” OR “Suicide detection” OR “Youth Health Care” OR “Youth Psychology” OR “Youth Safety”) AND (\"Machine Learning” OR “Artificial Intelligence” OR “Deep learning” OR “Natural language processing” OR “Emotion recognition” OR “Predictive Models”) AND (\"Sensors” OR “Soft sensors” OR “Monitoring” OR “Wearable sensors” OR “Biomedical monitoring” OR “Real-time systems” OR “Internet of things” OR “Social networking” OR “Mobile applications”) AND (\"E-health” OR “Data stream” OR “Online methods” OR “Online learning” OR “Online classification” OR “Real-time Model Training” OR “AI Model Online training” OR “AI Model Update” OR “Online Learning Algorithms” OR “Real-time Model Adaptation” OR “Continuous Learning in AI” OR “Incremental Learning” OR “Machine Learning Online” OR “Adaptive AI Systems” OR “Online Neural Network Training” OR “Continuous Data Assimilation in AI” OR “Online Learning Systems”)\n(\"Youth Mental Health” OR “Medical services” OR “Human factors” OR “Mental Diseases” OR “Stress Detection” OR “Anxiety Detection” OR “Depression Detection” OR “Mental Disorders Detection” OR “Suicide detection” OR “Youth Health Care” OR “Youth Psychology” OR “Youth Safety”) AND (\"Machine Learning” OR “Artificial Intelligence” OR “Deep learning” OR “Natural language processing” OR “Emotion recognition” OR “Predictive Models”) AND (\"Sensors” OR “Soft sensors” OR “Monitoring” OR “Wearable sensors” OR “Biomedical monitoring” OR “Real-time systems” OR “Internet of things” OR “Social networking” OR “Mobile applications”) AND (\"E-health” OR “Data stream” OR “Online methods” OR “Online learning” OR “Online classification” OR “Real-time Model Training” OR “AI Model Online training” OR “AI Model Update” OR “Online Learning Algorithms” OR “Real-time Model Adaptation” OR “Continuous Learning in AI” OR “Incremental Learning” OR “Machine Learning Online” OR “Adaptive AI Systems” OR “Online Neural Network Training” OR “Continuous Data Assimilation in AI” OR “Online Learning Systems”)\nSearch filters included: articles published in English from January 1, 2015, onwards. Additional search iterations with minor string adjustments were performed to ensure coverage. Modified strings are available in the supplementary material.\nThe criteria I1-I4 and E1-E3 were defined to ensure consistency in the selection process. Domain refers to the thematic focus of the study, specifically whether it addresses mental health problems or applications of AI. Methodology indicates that AI methods must be explicitly implemented in the study. Data Types denotes that the study must use data suitable for training or evaluating AI models. Article Type specifies the kind of publications considered eligible. These criteria were chosen to maintain methodological rigor while ensuring that the studies included were directly relevant to the scope of this review.\nThe following inclusion and exclusion criteria were used to select relevant studies for the scoping review:\nI1. Domain: Focused on AI applied to related mental health problems detection, monitoring, treatment or decision making.I2. Methodology: Employs AI technique(s).I3. Data Types: Data related to the generation of AI models.I4. Article Type: Original research articles (not reviews or preprints).\nE1. Domain: Unrelated to AI for mental health problems application.E2. Data Types: Studies without data for modeling and/or analysis.E3. Publication Type: Preprints and review articles.\nI1. Domain: Focused on AI applied to related mental health problems detection, monitoring, treatment or decision making.\nI2. Methodology: Employs AI technique(s).\nI3. Data Types: Data related to the generation of AI models.\nI4. Article Type: Original research articles (not reviews or preprints).\nE1. Domain: Unrelated to AI for mental health problems application.\nE2. Data Types: Studies without data for modeling and/or analysis.\nE3. Publication Type: Preprints and review articles.\nStudy selection was conducted using Covidence systematic review software (Veritas Health Innovation, Melbourne, Australia; www.covidence.org). Titles and abstracts were screened independently by two reviewers according to predefined inclusion and exclusion criteria. Full-text screening followed the same methodology. Disagreements between the two reviewers were resolved through discussion in both stages. Figure 1 shows the PRISMA46–48 diagram where all the data of each step are illustrated.Fig. 1Study selection and exclusion diagram according to the PRISMA guideline.\nStudy selection and exclusion diagram according to the PRISMA guideline.\nThe initial database search yielded a total of 531 articles, of which 286 were identified as duplicates and removed, leaving 245. From title and abstract screening 37 of 245 were included. Following full-text review, 24 studies met the inclusion criteria and were included for data extraction.\nThe extracted data from the selected articles included: type of publication (journal or conference), study objective, databases used, data types, presence of a multimodal approach, implementation of online learning, population type with age range, mental health problem, type of AI algorithm, models, and results.\n\n\n### Search strategy\nA structured literature search was conducted in MEDLINE, IEEE Xplore, Compendex, and Inspec (via Engineering Village) during the period November 2024 to February 2025. This time frame refers to when the searches were carried out. The search was limited to articles published from January 2015 onwards. The starting year (2015) was selected to examine the evolution of research in this area over the past decade. The final search string was developed based on four core concepts: Youth Mental Health, Artificial Intelligence, Sensors, and Online Learning. Keywords related to each concept were combined using Boolean operators. The complete search string is provided below:\n(\"Youth Mental Health” OR “Medical services” OR “Human factors” OR “Mental Diseases” OR “Stress Detection” OR “Anxiety Detection” OR “Depression Detection” OR “Mental Disorders Detection” OR “Suicide detection” OR “Youth Health Care” OR “Youth Psychology” OR “Youth Safety”) AND (\"Machine Learning” OR “Artificial Intelligence” OR “Deep learning” OR “Natural language processing” OR “Emotion recognition” OR “Predictive Models”) AND (\"Sensors” OR “Soft sensors” OR “Monitoring” OR “Wearable sensors” OR “Biomedical monitoring” OR “Real-time systems” OR “Internet of things” OR “Social networking” OR “Mobile applications”) AND (\"E-health” OR “Data stream” OR “Online methods” OR “Online learning” OR “Online classification” OR “Real-time Model Training” OR “AI Model Online training” OR “AI Model Update” OR “Online Learning Algorithms” OR “Real-time Model Adaptation” OR “Continuous Learning in AI” OR “Incremental Learning” OR “Machine Learning Online” OR “Adaptive AI Systems” OR “Online Neural Network Training” OR “Continuous Data Assimilation in AI” OR “Online Learning Systems”)\n(\"Youth Mental Health” OR “Medical services” OR “Human factors” OR “Mental Diseases” OR “Stress Detection” OR “Anxiety Detection” OR “Depression Detection” OR “Mental Disorders Detection” OR “Suicide detection” OR “Youth Health Care” OR “Youth Psychology” OR “Youth Safety”) AND (\"Machine Learning” OR “Artificial Intelligence” OR “Deep learning” OR “Natural language processing” OR “Emotion recognition” OR “Predictive Models”) AND (\"Sensors” OR “Soft sensors” OR “Monitoring” OR “Wearable sensors” OR “Biomedical monitoring” OR “Real-time systems” OR “Internet of things” OR “Social networking” OR “Mobile applications”) AND (\"E-health” OR “Data stream” OR “Online methods” OR “Online learning” OR “Online classification” OR “Real-time Model Training” OR “AI Model Online training” OR “AI Model Update” OR “Online Learning Algorithms” OR “Real-time Model Adaptation” OR “Continuous Learning in AI” OR “Incremental Learning” OR “Machine Learning Online” OR “Adaptive AI Systems” OR “Online Neural Network Training” OR “Continuous Data Assimilation in AI” OR “Online Learning Systems”)\nSearch filters included: articles published in English from January 1, 2015, onwards. Additional search iterations with minor string adjustments were performed to ensure coverage. Modified strings are available in the supplementary material.\n\n\n### Study selection\nThe criteria I1-I4 and E1-E3 were defined to ensure consistency in the selection process. Domain refers to the thematic focus of the study, specifically whether it addresses mental health problems or applications of AI. Methodology indicates that AI methods must be explicitly implemented in the study. Data Types denotes that the study must use data suitable for training or evaluating AI models. Article Type specifies the kind of publications considered eligible. These criteria were chosen to maintain methodological rigor while ensuring that the studies included were directly relevant to the scope of this review.\nThe following inclusion and exclusion criteria were used to select relevant studies for the scoping review:\nI1. Domain: Focused on AI applied to related mental health problems detection, monitoring, treatment or decision making.I2. Methodology: Employs AI technique(s).I3. Data Types: Data related to the generation of AI models.I4. Article Type: Original research articles (not reviews or preprints).\nE1. Domain: Unrelated to AI for mental health problems application.E2. Data Types: Studies without data for modeling and/or analysis.E3. Publication Type: Preprints and review articles.\nI1. Domain: Focused on AI applied to related mental health problems detection, monitoring, treatment or decision making.\nI2. Methodology: Employs AI technique(s).\nI3. Data Types: Data related to the generation of AI models.\nI4. Article Type: Original research articles (not reviews or preprints).\nE1. Domain: Unrelated to AI for mental health problems application.\nE2. Data Types: Studies without data for modeling and/or analysis.\nE3. Publication Type: Preprints and review articles.\n\n\n### Screening\nStudy selection was conducted using Covidence systematic review software (Veritas Health Innovation, Melbourne, Australia; www.covidence.org). Titles and abstracts were screened independently by two reviewers according to predefined inclusion and exclusion criteria. Full-text screening followed the same methodology. Disagreements between the two reviewers were resolved through discussion in both stages. Figure 1 shows the PRISMA46–48 diagram where all the data of each step are illustrated.Fig. 1Study selection and exclusion diagram according to the PRISMA guideline.\nStudy selection and exclusion diagram according to the PRISMA guideline.\n\n\n### Final selection\nThe initial database search yielded a total of 531 articles, of which 286 were identified as duplicates and removed, leaving 245. From title and abstract screening 37 of 245 were included. Following full-text review, 24 studies met the inclusion criteria and were included for data extraction.\n\n\n### Data extraction\nThe extracted data from the selected articles included: type of publication (journal or conference), study objective, databases used, data types, presence of a multimodal approach, implementation of online learning, population type with age range, mental health problem, type of AI algorithm, models, and results.\n\n\n### Results\nAmong the total number of selected studies, five applied online learning and unimodal/multimodal AI methods to YMH problems. Another five studies used multimodal AI but did not implement online learning. While an additional five relied solely on unimodal AI without online learning. The remaining studies met the inclusion criteria; however, they lacked information on participants’ age ranges. Figure 2 illustrates the distribution of key topics covered by the accepted studies.Fig. 2Representation of the main categories addressed in the analyzed studies (2015–2024), including unimodal AI applications for general mental health (MH + AI) or YMH problems (YMH + AI), multimodal approaches for YMH (YMH + AI + Multimodal), and AI approaches combined with online learning strategies (YMH + AI + Online Learning).\nRepresentation of the main categories addressed in the analyzed studies (2015–2024), including unimodal AI applications for general mental health (MH + AI) or YMH problems (YMH + AI), multimodal approaches for YMH (YMH + AI + Multimodal), and AI approaches combined with online learning strategies (YMH + AI + Online Learning).\nFigure 3 shows the distribution of the 19 studies that employed AI methods to advance research on YMH problems within the scoping review time frame.Fig. 3Number of publications for AI in YMH from 2015 to 2024, with the red line representing the temporal trend in publication frequency.\nNumber of publications for AI in YMH from 2015 to 2024, with the red line representing the temporal trend in publication frequency.\nFigure 4 shows the six YMH problems that were addressed in the reviewed works. Some of the articles that detected stress also added another problem, such as cognitive performance, emotions, or panic. In addition, cyberbullying was included because of its close relationship with depression, anxiety, and social problems49.Fig. 4The main areas addressed in the selected studies from 2015 to 2024 include cyberbullying, depression, cognitive performance, emotions, panic, and stress.\nThe main areas addressed in the selected studies from 2015 to 2024 include cyberbullying, depression, cognitive performance, emotions, panic, and stress.\nMost unimodal approaches used text as input data, while studies implementing online learning and multimodal AI incorporated physiological signals along with sensor-based data, such as body temperature, geolocation (GPS), or other smartphone-based activity indicators. Additionally, videos and images were utilized in multimodal approaches that did not employ online learning. Figure 5 presents the number of articles that reported the use of these data types.Fig. 5Distribution of data types used in the analyzed studies from 2015 to 2024, including images/videos, sensor-based data, physiological signals, and text.\nDistribution of data types used in the analyzed studies from 2015 to 2024, including images/videos, sensor-based data, physiological signals, and text.\nFigure 6 illustrates the distribution of AI techniques used in the reviewed works. Approximately 60% of them applied ML techniques, either alone or in combination with DL. Notably, DL was predominant in studies that incorporated both online learning and multimodal AI.Fig. 6Distribution of the algorithms used in the analyzed studies from 2015 to 2024, differentiating between ML, DL, and combined approaches.\nDistribution of the algorithms used in the analyzed studies from 2015 to 2024, differentiating between ML, DL, and combined approaches.\nBeyond the distribution of data types and AI models, Tables 1 and 2 provide a comprehensive overview of study characteristics and methodological details. The information was divided into two groups: overview of studies and their key characteristics and specific information related to the AI methods used in the analyzed articles. Classification results are reported in F1-score, and regression results are reported in RMSE.Table 1Summary of Reviewed Studies and Their Key TopicsAuthor(s)Publication yearPublication typeMultimodalOnline learningPopulationAge rangeLuo et al.572024JournalYesYesCollege students18–23Andreas et al.532024ConferenceYesYesGraduate students24–30Andreas et al.512022ConferenceYesYesGraduate students24–30Iyortsuun et al.672024JournalYesNoUniversity studentsNot providedTalaat and El-Balka802023JournalYesNoAdultsNot providedAthithan et al.772022ConferenceYesNoAdults19–37Gowda et al.832022ConferenceYesNoHigh School StudentsNot providedDi Martino and Delmastro822020ConferenceYesNoGraduate students24–30Roy et al.842019ConferenceYesNoStudentsNot providedSandulescu and Dobrescu812015ConferenceYesNoNot providedNot providedMoontaha et al.632023JournalNoYesPeople21–40Sah et al.622022ConferenceNoYesGraduate students24–30Lu et al.682021ConferenceNoNoPostgraduate studentsNot providedLi et al.722024JournalNoNoCollege students19–26Kumar Jha et al.852023ConferenceNoNoFacebook users13–34Doctor et al.782016ConferenceNoNoNot providedNot providedHasan et al.752019JournalNoNoTwitter users13–34Benchekroun et al.732023JournalNoNoAdultsNot providedKumar et al.792024ConferenceNoNoSocial media users13–34Mundra et al.692023ConferenceNoNoReddit users13–34Krishna et al.702024ConferenceNoNoNot providedNot providedXia et al.712022ConferenceNoNoUniversity students20–30Khan et al.762020ConferenceNoNoNot providedNot providedBisht et al.742022ConferenceNoNoStudents14–18Table 2Detailed information on the AI methods employed in the selected studiesAuthor(s)Database(s)Type(s) of dataProblemAI TaskAI typeModelsBest resultsAndreas et al.53SWELL-KW WESADECG, HR, BVP, EDA GSR, TemperatureStress, SentimentsClassificationDLCNN0.94 (F1)Mundra et al.69RedditTextDepressionClassificationDLCNN-LSTM0.93 (F1)Andreas et al.51WESADECG, BVP, EMG, EDA, HR, TemperatureStressClassificationDLCNN0.92 (F1)Luo et al.57Dartmouth Student Life and WESADGPS, phone usage, physical activity, sleep, conversation dataStressClassificationDLLSTM, CALM-Net, Branched CATrans Branched CALM-Net0.91 (F1)Hasan et al.75TwitterTextEmotionsClassificationMLBayes, DT, SVM0.9 (F1)Lu et al.68Depression gait3D Skeleton JointsDepressionClassificationMLSVM, KNN, LDA0.88 (F1)Sah et al.62WESADEDAStressClassificationDLCNN0.87 (F1)Khan et al.76AuthorTextEmotionsClassificationMLBayes, XGB, RF, DT, SVM, KNN0.87 (F1)Moontaha et al.63Author, AMIGOSEEGEmotionsClassificationMLARF, LR, SRP0.83 (F1)Kumar et al.79KaggleTextCyberbullyingClassificationMLLR, SVM, PAC, Bayes0.83 (F1)Xia et al.71AuthorEye trackingStress, Cognitive PerformanceClassificationMLSVM, LGBM LR, DT, RF HGB, XGB0.82 (F1)Kumar Jha et al.85Depression-Anxiety -FacebookTextDepressionClassificationMLRF, GB0.8 (F1)Krishna et al.70AuthorTextDepressionClassificationML, DLSVM, Bayes, RF, LSTM0.79 (F1)Benchekroun et al.73MMSD, UWSHRVStressClassificationMLLR, RF0.75 (F1)Iyortsuun et al.67DAIC-WOZ, EATDAudio and TextDepressionClassificationDLBiLSTM0.7 (F1)Talaat and El-Balka80Stress-lysisECG, BP, Infrared sensorStressClassificationMLRF, OSM, XGB, DT1 (ACC)Athithan and et al.77DEAPEEGEmotionsClassificationMLSVM, Ensemble, RF, AdaBoost0.96 (ACC)Gowda and et al.83AuthorVideo and ImagesStress, PanicClassificationDLCNN0.94 (ACC)Roy et al.84AuthorText and ImagesEmotionsClassificationOtherLexical Analysis Tools0.93 (ACC)Li et al.72Author, COG-BCIEEGCognitive overloadClassificationMLSVM0.92 (ACC)Bisht and et al.74AuthorQuestionnaireStressClassificationMLDT, RF, LR, KNN0.88 (ACC)Sandulescu and Dobrescu81AuthorHR, HRV, Pulse and VoiceStressClassificationMLSVM0.86 (ACC)Di Martino and Delmastro82WESADECG and EDAStressRegressionML, DLRF, LSB, NARX, LSTM0.002 (MSE)Doctor et al.78AuthorSurveysEmotionsRegressionDLFuzzy Logic0.18 (NRMSE)Classification results are reported in F1-score (F1) or accuracy (ACC), and regression results are reported in Normalized Root Mean Square Error (NRMSE) or Mean Square Error (MSE).Type(s) of data:\nBP Blood Pressure, BVP Blood Volume Pulse, ECG Electrocardiogram, EDA Electrodermal Activity, EEG Electroencephalogram, EMG Electromyography, GSR Galvanic Skin Response, HR Heart Rate, HRV Heart Rate Variability.AI Type:\nDL Deep Learning, ML Machine Learning.Models:\nARF Adaptive Random Forest, BiLSTM Bidirectional LSTM, CNN Convolutional Neural Network, DT Decision Tree, GB Gradient Boost, HGB Hist Gradient, LGBM Light Gradient Boosting Machine, LSB Least Square Boost, LSTM Long-Short Term Memory, LDA Linear Discriminant Analysis, LR Logistic Regression, KNN K-Nearest Neighbors, OSM Optimized Support vector Machine, PAC Passive Aggressive Classifier, RF Random Forest, SRP Streaming Random Patches, SVM Support Vector Machine, XGB eXreme Gradient Boost.\nSummary of Reviewed Studies and Their Key Topics\nDetailed information on the AI methods employed in the selected studies\nClassification results are reported in F1-score (F1) or accuracy (ACC), and regression results are reported in Normalized Root Mean Square Error (NRMSE) or Mean Square Error (MSE).\nType(s) of data:\nBP Blood Pressure, BVP Blood Volume Pulse, ECG Electrocardiogram, EDA Electrodermal Activity, EEG Electroencephalogram, EMG Electromyography, GSR Galvanic Skin Response, HR Heart Rate, HRV Heart Rate Variability.\nAI Type:\nDL Deep Learning, ML Machine Learning.\nModels:\nARF Adaptive Random Forest, BiLSTM Bidirectional LSTM, CNN Convolutional Neural Network, DT Decision Tree, GB Gradient Boost, HGB Hist Gradient, LGBM Light Gradient Boosting Machine, LSB Least Square Boost, LSTM Long-Short Term Memory, LDA Linear Discriminant Analysis, LR Logistic Regression, KNN K-Nearest Neighbors, OSM Optimized Support vector Machine, PAC Passive Aggressive Classifier, RF Random Forest, SRP Streaming Random Patches, SVM Support Vector Machine, XGB eXreme Gradient Boost.\n\n\n### Distribution of key topics\nAmong the total number of selected studies, five applied online learning and unimodal/multimodal AI methods to YMH problems. Another five studies used multimodal AI but did not implement online learning. While an additional five relied solely on unimodal AI without online learning. The remaining studies met the inclusion criteria; however, they lacked information on participants’ age ranges. Figure 2 illustrates the distribution of key topics covered by the accepted studies.Fig. 2Representation of the main categories addressed in the analyzed studies (2015–2024), including unimodal AI applications for general mental health (MH + AI) or YMH problems (YMH + AI), multimodal approaches for YMH (YMH + AI + Multimodal), and AI approaches combined with online learning strategies (YMH + AI + Online Learning).\nRepresentation of the main categories addressed in the analyzed studies (2015–2024), including unimodal AI applications for general mental health (MH + AI) or YMH problems (YMH + AI), multimodal approaches for YMH (YMH + AI + Multimodal), and AI approaches combined with online learning strategies (YMH + AI + Online Learning).\nFigure 3 shows the distribution of the 19 studies that employed AI methods to advance research on YMH problems within the scoping review time frame.Fig. 3Number of publications for AI in YMH from 2015 to 2024, with the red line representing the temporal trend in publication frequency.\nNumber of publications for AI in YMH from 2015 to 2024, with the red line representing the temporal trend in publication frequency.\n\n\n### YMH problems\nFigure 4 shows the six YMH problems that were addressed in the reviewed works. Some of the articles that detected stress also added another problem, such as cognitive performance, emotions, or panic. In addition, cyberbullying was included because of its close relationship with depression, anxiety, and social problems49.Fig. 4The main areas addressed in the selected studies from 2015 to 2024 include cyberbullying, depression, cognitive performance, emotions, panic, and stress.\nThe main areas addressed in the selected studies from 2015 to 2024 include cyberbullying, depression, cognitive performance, emotions, panic, and stress.\n\n\n### Data types and AI models\nMost unimodal approaches used text as input data, while studies implementing online learning and multimodal AI incorporated physiological signals along with sensor-based data, such as body temperature, geolocation (GPS), or other smartphone-based activity indicators. Additionally, videos and images were utilized in multimodal approaches that did not employ online learning. Figure 5 presents the number of articles that reported the use of these data types.Fig. 5Distribution of data types used in the analyzed studies from 2015 to 2024, including images/videos, sensor-based data, physiological signals, and text.\nDistribution of data types used in the analyzed studies from 2015 to 2024, including images/videos, sensor-based data, physiological signals, and text.\nFigure 6 illustrates the distribution of AI techniques used in the reviewed works. Approximately 60% of them applied ML techniques, either alone or in combination with DL. Notably, DL was predominant in studies that incorporated both online learning and multimodal AI.Fig. 6Distribution of the algorithms used in the analyzed studies from 2015 to 2024, differentiating between ML, DL, and combined approaches.\nDistribution of the algorithms used in the analyzed studies from 2015 to 2024, differentiating between ML, DL, and combined approaches.\n\n\n### Summary of extracted data\nBeyond the distribution of data types and AI models, Tables 1 and 2 provide a comprehensive overview of study characteristics and methodological details. The information was divided into two groups: overview of studies and their key characteristics and specific information related to the AI methods used in the analyzed articles. Classification results are reported in F1-score, and regression results are reported in RMSE.Table 1Summary of Reviewed Studies and Their Key TopicsAuthor(s)Publication yearPublication typeMultimodalOnline learningPopulationAge rangeLuo et al.572024JournalYesYesCollege students18–23Andreas et al.532024ConferenceYesYesGraduate students24–30Andreas et al.512022ConferenceYesYesGraduate students24–30Iyortsuun et al.672024JournalYesNoUniversity studentsNot providedTalaat and El-Balka802023JournalYesNoAdultsNot providedAthithan et al.772022ConferenceYesNoAdults19–37Gowda et al.832022ConferenceYesNoHigh School StudentsNot providedDi Martino and Delmastro822020ConferenceYesNoGraduate students24–30Roy et al.842019ConferenceYesNoStudentsNot providedSandulescu and Dobrescu812015ConferenceYesNoNot providedNot providedMoontaha et al.632023JournalNoYesPeople21–40Sah et al.622022ConferenceNoYesGraduate students24–30Lu et al.682021ConferenceNoNoPostgraduate studentsNot providedLi et al.722024JournalNoNoCollege students19–26Kumar Jha et al.852023ConferenceNoNoFacebook users13–34Doctor et al.782016ConferenceNoNoNot providedNot providedHasan et al.752019JournalNoNoTwitter users13–34Benchekroun et al.732023JournalNoNoAdultsNot providedKumar et al.792024ConferenceNoNoSocial media users13–34Mundra et al.692023ConferenceNoNoReddit users13–34Krishna et al.702024ConferenceNoNoNot providedNot providedXia et al.712022ConferenceNoNoUniversity students20–30Khan et al.762020ConferenceNoNoNot providedNot providedBisht et al.742022ConferenceNoNoStudents14–18Table 2Detailed information on the AI methods employed in the selected studiesAuthor(s)Database(s)Type(s) of dataProblemAI TaskAI typeModelsBest resultsAndreas et al.53SWELL-KW WESADECG, HR, BVP, EDA GSR, TemperatureStress, SentimentsClassificationDLCNN0.94 (F1)Mundra et al.69RedditTextDepressionClassificationDLCNN-LSTM0.93 (F1)Andreas et al.51WESADECG, BVP, EMG, EDA, HR, TemperatureStressClassificationDLCNN0.92 (F1)Luo et al.57Dartmouth Student Life and WESADGPS, phone usage, physical activity, sleep, conversation dataStressClassificationDLLSTM, CALM-Net, Branched CATrans Branched CALM-Net0.91 (F1)Hasan et al.75TwitterTextEmotionsClassificationMLBayes, DT, SVM0.9 (F1)Lu et al.68Depression gait3D Skeleton JointsDepressionClassificationMLSVM, KNN, LDA0.88 (F1)Sah et al.62WESADEDAStressClassificationDLCNN0.87 (F1)Khan et al.76AuthorTextEmotionsClassificationMLBayes, XGB, RF, DT, SVM, KNN0.87 (F1)Moontaha et al.63Author, AMIGOSEEGEmotionsClassificationMLARF, LR, SRP0.83 (F1)Kumar et al.79KaggleTextCyberbullyingClassificationMLLR, SVM, PAC, Bayes0.83 (F1)Xia et al.71AuthorEye trackingStress, Cognitive PerformanceClassificationMLSVM, LGBM LR, DT, RF HGB, XGB0.82 (F1)Kumar Jha et al.85Depression-Anxiety -FacebookTextDepressionClassificationMLRF, GB0.8 (F1)Krishna et al.70AuthorTextDepressionClassificationML, DLSVM, Bayes, RF, LSTM0.79 (F1)Benchekroun et al.73MMSD, UWSHRVStressClassificationMLLR, RF0.75 (F1)Iyortsuun et al.67DAIC-WOZ, EATDAudio and TextDepressionClassificationDLBiLSTM0.7 (F1)Talaat and El-Balka80Stress-lysisECG, BP, Infrared sensorStressClassificationMLRF, OSM, XGB, DT1 (ACC)Athithan and et al.77DEAPEEGEmotionsClassificationMLSVM, Ensemble, RF, AdaBoost0.96 (ACC)Gowda and et al.83AuthorVideo and ImagesStress, PanicClassificationDLCNN0.94 (ACC)Roy et al.84AuthorText and ImagesEmotionsClassificationOtherLexical Analysis Tools0.93 (ACC)Li et al.72Author, COG-BCIEEGCognitive overloadClassificationMLSVM0.92 (ACC)Bisht and et al.74AuthorQuestionnaireStressClassificationMLDT, RF, LR, KNN0.88 (ACC)Sandulescu and Dobrescu81AuthorHR, HRV, Pulse and VoiceStressClassificationMLSVM0.86 (ACC)Di Martino and Delmastro82WESADECG and EDAStressRegressionML, DLRF, LSB, NARX, LSTM0.002 (MSE)Doctor et al.78AuthorSurveysEmotionsRegressionDLFuzzy Logic0.18 (NRMSE)Classification results are reported in F1-score (F1) or accuracy (ACC), and regression results are reported in Normalized Root Mean Square Error (NRMSE) or Mean Square Error (MSE).Type(s) of data:\nBP Blood Pressure, BVP Blood Volume Pulse, ECG Electrocardiogram, EDA Electrodermal Activity, EEG Electroencephalogram, EMG Electromyography, GSR Galvanic Skin Response, HR Heart Rate, HRV Heart Rate Variability.AI Type:\nDL Deep Learning, ML Machine Learning.Models:\nARF Adaptive Random Forest, BiLSTM Bidirectional LSTM, CNN Convolutional Neural Network, DT Decision Tree, GB Gradient Boost, HGB Hist Gradient, LGBM Light Gradient Boosting Machine, LSB Least Square Boost, LSTM Long-Short Term Memory, LDA Linear Discriminant Analysis, LR Logistic Regression, KNN K-Nearest Neighbors, OSM Optimized Support vector Machine, PAC Passive Aggressive Classifier, RF Random Forest, SRP Streaming Random Patches, SVM Support Vector Machine, XGB eXreme Gradient Boost.\nSummary of Reviewed Studies and Their Key Topics\nDetailed information on the AI methods employed in the selected studies\nClassification results are reported in F1-score (F1) or accuracy (ACC), and regression results are reported in Normalized Root Mean Square Error (NRMSE) or Mean Square Error (MSE).\nType(s) of data:\nBP Blood Pressure, BVP Blood Volume Pulse, ECG Electrocardiogram, EDA Electrodermal Activity, EEG Electroencephalogram, EMG Electromyography, GSR Galvanic Skin Response, HR Heart Rate, HRV Heart Rate Variability.\nAI Type:\nDL Deep Learning, ML Machine Learning.\nModels:\nARF Adaptive Random Forest, BiLSTM Bidirectional LSTM, CNN Convolutional Neural Network, DT Decision Tree, GB Gradient Boost, HGB Hist Gradient, LGBM Light Gradient Boosting Machine, LSB Least Square Boost, LSTM Long-Short Term Memory, LDA Linear Discriminant Analysis, LR Logistic Regression, KNN K-Nearest Neighbors, OSM Optimized Support vector Machine, PAC Passive Aggressive Classifier, RF Random Forest, SRP Streaming Random Patches, SVM Support Vector Machine, XGB eXreme Gradient Boost.\n\n\n### Discussion\nYMH is a key public health concern with long-term societal implications. A growing number of studies are leveraging advances in AI/ML to improve the prevention, diagnosis, and treatment of mental health disorders in the general population. Similarly, research on YMH has started to follow this trend, emphasizing the need for targeted interventions. Therefore, increasing research efforts focused on this population and implementing key findings is essential. The present scoping review provides an overview of current methodologies applied to YMH with emphasis on emerging trends in multimodal approaches, given the heterogeneity of data sources involved (e.g., physiological signals, clinical records, social media, and self-reports), and online learning techniques, due to the continuous and dynamic nature of these data streams. Together, these dimensions define a promising yet under-explored intersection with considerable potential for advancing the diagnosis, monitoring, and treatment of YMH problems.\nDespite this promise, the number of studies directly addressing YMH with AI remains limited. This observation should be interpreted within the broader context of the field, where research on AI in mental health more generally has expanded substantially over the past decade, encompassing hundreds of studies across detection, diagnosis, and intervention. Yet, the specific subset focusing on youth populations and particularly those employing multimodal methods or online learning remains relatively small. This gap underscores that youth-focused applications of AI represent not only an emerging but also a largely underdeveloped research niche within the larger landscape of AI and mental health, highlighting a critical opportunity for future investigation.\nA total of 19 studies directly addressing YMH problems were identified, with the majority published between 2022 and 2024. The highest number appeared in 2024, particularly in the “YMH + AI” and “YMH + AI + Online Learning” categories (Fig. 2 and Table 1). Although publication counts across the four topics—\"YMH + AI + Online Learning”, “YMH + AI + Multimodal”, “YMH + AI” and “MH + AI”—were comparable, a temporal trend indicates increasing incorporation of online learning methods in YMH research. In contrast, despite the increasing use of multimodal data in broader AI applications, no clear preference for unimodal or multimodal was observed in the reviewed YMH studies (Fig. 3 and Table 1).\nAlthough limited in number, a few studies have examined the use of online learning combined with multimodal AI in YMH problems. Andreas et al. applied an online transfer learning approach using CNN to classify stress based on the WESAD dataset, which includes physiological signals such as ECG and EDA50,51. Two years later, they introduced an updated version of their model, evaluated on both the SWELL-KW multimodal dataset that includes physiological data from office workers performing document editing tasks under varying levels of stress52 and WESAD. The updated model demonstrated improved robustness and performance53. These studies highlight the need to distinguish between homogeneous domains—where source and target data share similar feature spaces—and heterogeneous domains, which involve differences in modality, task, or distribution54. In heterogeneous settings, effective online transfer learning requires identifying and aligning common and domain-specific attributes53. Furthermore, both studies address concept drift in online learning, referring to temporal changes in the joint data distribution that can negatively affect model performance over time55,56.\nLuo et al. proposed a branched deep learning model based on hierarchical multitask learning for concurrent stress classification and dynamic clustering57. The model was evaluated using the Dartmouth StudentLife dataset—comprising smartphone and wearable sensor data, along with psychological surveys from 83 students over two academic terms58—and WESAD. Two architectures were tested: CALM-Net (using LSTM) and CATran-Net (using Transformers). Both incorporated what the authors describe as an online learning setting to enable continuous model updates. However, while the method demonstrates model adaptation through incremental learning and subject-specific parameterization, it does not explicitly address other key aspects typically associated with online learning, such as continuous updates from a real-time data stream or concept drift detection. In addition, a branched extension to dynamic clustering was introduced, assigning new users to groups with similar stress patterns. This aims to address the cold start problem defined as the challenge of making predictions for unseen users with limited data59. Branched CALM-Net achieved F1-scores of 0.883 ± 0.023 (first week) and 0.912 ± 0.013 (up to second week) in StudentLife, and 0.960 ± 0.061 using 60% of WESAD. These results showed comparable performance to models trained on the full StudentLife dataset60,61.\nSah et al. proposed one of the earliest approaches resembling online learning in unimodal YMH by leveraging user-specific EDA signals from the WESAD dataset to develop personalized stress detection models62. Their framework first trains a general CNN model and subsequently adapts it to individual users through incremental learning with user-specific data. Although the authors describe this process as online learning, the approach focuses on model personalization rather than continuous updates from a real-time data stream.\nMoontaha et al. applied online learning to EEG-based emotion recognition by incrementally updating models during real-time EEG signal acquisition63. These models were initially trained offline using the AMIGOS dataset64 and an additional author’s dataset. The results indicate that online learning enhances classification performance compared to models trained exclusively offline, achieving F1-score improvements of 23.9% for arousal and 25.8% for valence over previous ref. 63.\nTogether, the reviewed multimodal and unimodal studies applying online learning in YMH report improved performance compared to static (offline) models, particularly in emotion classification tasks. For example, Moontaha et al. reported improvements of up to 23.9% and 25.8% in arousal and valence detection using real-time EEG signals63. These results highlight the effectiveness of online learning for real-time adaptation in multimodal and unimodal settings. However, it should be noted that not all studies implement true streaming online learning; several rely on incremental learning or data evaluated offline rather than continuous real-time model updates. Notably, all identified applications focused exclusively on classification tasks; no regression-based study incorporated online learning (Table 1).\nThe detection of stress, emotions, and depression were the most explored areas. All studies that addressed multiple problems included stress, possibly due to its strong association with other mental health indicators (Fig. 4 and Table2)65,66. Additionally, all studies that incorporated online learning, as well as those categorized under the “MH + AI” topic, focused on stress and/or emotion detection. A similar trend was observed in studies employing purely multimodal approaches, with the exception of ref. 67, which focused on depression detection using audio and text data. The unimodal approaches applied to YMH were the most diverse, covering depression, cognitive performance, stress, emotions, and cyberbullying62,63,68–79, as detailed in Table 2.\nFigure 4 further illustrates how current research is concentrated on symptom-level or at-risk states, with stress, emotions, and cognitive performance representing the majority of targets, while only a smaller number of studies address depression, which is more closely aligned with a recognized clinical condition.\nThis imbalance suggests that AI applications in YMH problems are predominantly oriented toward the detection of early symptoms rather than the diagnosis or intervention for well-defined clinical disorders.\nHalf of the analyzed articles utilized physiological signals, with cardiac signals being the most frequently used51,53,73,80–82, followed by electrodermal activity51,53,62,82, brain signals63,72,77, voice57,67,81, and eye-tracking71. Additionally, videos and images were employed for facial expression recognition83 and the analysis of handwritten text produced by students84.\nText data appeared in multiple formats, including questionnaires, social media posts, surveys, and interview transcripts67,69,70,74–76,78,79,84,85. Approximately one-fourth of the studies incorporated sensor-based data, capturing parameters such as GPS location, temperature, heart rate (via infrared sensors), sleep patterns, and smartphone usage51,53,57,62,73,81 as detailed in Fig. 5 and Table 2.\nNotably, one study proposed an innovative approach using 3D skeletal joint data, captured through Kinect cameras (Microsoft Corp., Redmond, WA, USA), to analyze participants’ gait for depression detection68.\nMost studies employed ML models, primarily in unimodal applications without online learning. The most commonly used models included SVM, RF, DT, and GB-based models63,68,71–77,79–81,85. In contrast, seven studies implemented deep learning (DL) models, most of which incorporated online learning. In these cases, CNNs and LSTMs were the most frequently used51,53,57,62,69,78,83. Additionally, two studies combined both ML and DL approaches70,82 (Fig. 6 and Table 2). Finally, the model categorized as “Other” in Fig. 6 corresponds to the study by Roy et al. who proposed a lexical analysis-based model for sentiment detection using student handwriting images and social media text84.\nAcross the reviewed studies, most rely on offline validation strategies, primarily cross-validation67,71,75,80,81 or leave-one-out (LOO) validation68,72,82, performed on previously collected datasets. While these approaches are useful for estimating model performance, they do not necessarily reflect real-world deployment conditions, where data arrive sequentially and distributions may change over time. Only a limited number of works explicitly simulate online scenarios through progressive or streaming validation schemes51,53,57,62, and even fewer evaluate their models in real-world environments63,73. This gap between offline evaluation and real-world deployment makes it difficult to assess the practical robustness and longitudinal stability of the proposed methods.\nSimilarly, external validation across independent datasets remains uncommon. Although a few studies evaluate models on more than one dataset51,53,57,63,67,73, the majority of the reviewed works rely on a single dataset68–71,74,76–85. This increases the risk of overfitting to dataset-specific characteristics such as sensor configuration, experimental protocol, or population demographics. Additionally, participant samples are often small and demographically homogeneous, with many datasets composed mainly of college, university, or graduate students within relatively narrow age ranges. Such population bias restricts the applicability of the reported results to broader or more diverse youth populations.\nThe deployment of AI systems in YMH contexts also raises important practical and ethical challenges. Unlike static models, adaptive systems continuously update their parameters based on incoming data, which introduces additional concerns regarding data governance, transparency, and system oversight86. In youth populations, data governance is particularly sensitive because longitudinal behavioral and physiological data are often collected from minors87,88. This requires robust consent and assent procedures, clear policies for data retention and secondary use, and mechanisms allowing participants or guardians to withdraw data from ongoing model updates.\nTrustworthy is another critical issue. Because adaptive models evolve over time, the reasoning behind predictions may change as the model learns from new data. This dynamic behavior can make it difficult for clinicians to understand model outputs or maintain trust in the system89. Providing interpretable explanations, clear documentation, and regular auditing of model behavior is therefore essential.\nAlthough the reviewed literature demonstrates promising progress in applying AI to YMH problems, several gaps remain open for future research. First, most existing studies target symptom-level or at-risk state indicators, while fewer address well-defined clinical conditions. Future work should broaden the typology of mental health problems considered, integrating under-explored conditions, thereby enabling more comprehensive clinical applications.\nSecond, methodological diversity remains limited. A substantial proportion of studies rely on unimodal data, whereas multimodal approaches could improve robustness and generalizability. The scarcity of demographic details also highlights the need for larger and more inclusive datasets that reflect age, gender, and cultural differences within youth populations.\nThird, longitudinal and intervention-focused studies are largely absent. Current evidence is dominated by detection tasks, but advancing toward diagnosis, prognosis, and intervention design will require datasets and models capable of capturing changes over time. This progression is critical if AI is to support not only early identification but also the personalization of interventions for young people. Therefore, future research should prioritize systematic cross-dataset validation as well as longitudinal and real-world evaluations to better assess the generalizability and translational potential of machine learning models.\nFinally, the rapid evolution of large language models (LLMs) and generative AI tools, such as ChatGPT, opens a novel research direction. These technologies could enable scalable, conversational support systems, assist clinicians in triage, or provide adaptive learning resources tailored to youth needs. However, rigorous evaluation of their ethical, clinical, and developmental implications will be essential to ensure safe and equitable implementation.\nThe studies included in this scoping review were carefully selected following a rigorous screening and review process and adhering to PRISMA guidelines. However, some relevant papers on YMH may have been excluded if they were not indexed in the selected databases or if their terminology did not match the search strings used. Additionally, due to the limited number of studies incorporating online learning, we broadened the scope by also including articles directly related to YMH, even if they did not implement online learning, in order to provide a more comprehensive overview. Another challenge was the lack of demographic information in certain datasets, which limited our ability to verify whether a given study specifically targeted youth populations. Finally, a limitation lies in the remaining difficulty in differentiating mental health problems from neurological conditions, such as viral or bacterial infections, aneurysms, arteriovenous malformations, parasitic infections, and brain tumors that affect the frontal cortex and may lead to mental health symptoms.\n\n\n### Overview of key topics\nA total of 19 studies directly addressing YMH problems were identified, with the majority published between 2022 and 2024. The highest number appeared in 2024, particularly in the “YMH + AI” and “YMH + AI + Online Learning” categories (Fig. 2 and Table 1). Although publication counts across the four topics—\"YMH + AI + Online Learning”, “YMH + AI + Multimodal”, “YMH + AI” and “MH + AI”—were comparable, a temporal trend indicates increasing incorporation of online learning methods in YMH research. In contrast, despite the increasing use of multimodal data in broader AI applications, no clear preference for unimodal or multimodal was observed in the reviewed YMH studies (Fig. 3 and Table 1).\nAlthough limited in number, a few studies have examined the use of online learning combined with multimodal AI in YMH problems. Andreas et al. applied an online transfer learning approach using CNN to classify stress based on the WESAD dataset, which includes physiological signals such as ECG and EDA50,51. Two years later, they introduced an updated version of their model, evaluated on both the SWELL-KW multimodal dataset that includes physiological data from office workers performing document editing tasks under varying levels of stress52 and WESAD. The updated model demonstrated improved robustness and performance53. These studies highlight the need to distinguish between homogeneous domains—where source and target data share similar feature spaces—and heterogeneous domains, which involve differences in modality, task, or distribution54. In heterogeneous settings, effective online transfer learning requires identifying and aligning common and domain-specific attributes53. Furthermore, both studies address concept drift in online learning, referring to temporal changes in the joint data distribution that can negatively affect model performance over time55,56.\nLuo et al. proposed a branched deep learning model based on hierarchical multitask learning for concurrent stress classification and dynamic clustering57. The model was evaluated using the Dartmouth StudentLife dataset—comprising smartphone and wearable sensor data, along with psychological surveys from 83 students over two academic terms58—and WESAD. Two architectures were tested: CALM-Net (using LSTM) and CATran-Net (using Transformers). Both incorporated what the authors describe as an online learning setting to enable continuous model updates. However, while the method demonstrates model adaptation through incremental learning and subject-specific parameterization, it does not explicitly address other key aspects typically associated with online learning, such as continuous updates from a real-time data stream or concept drift detection. In addition, a branched extension to dynamic clustering was introduced, assigning new users to groups with similar stress patterns. This aims to address the cold start problem defined as the challenge of making predictions for unseen users with limited data59. Branched CALM-Net achieved F1-scores of 0.883 ± 0.023 (first week) and 0.912 ± 0.013 (up to second week) in StudentLife, and 0.960 ± 0.061 using 60% of WESAD. These results showed comparable performance to models trained on the full StudentLife dataset60,61.\nSah et al. proposed one of the earliest approaches resembling online learning in unimodal YMH by leveraging user-specific EDA signals from the WESAD dataset to develop personalized stress detection models62. Their framework first trains a general CNN model and subsequently adapts it to individual users through incremental learning with user-specific data. Although the authors describe this process as online learning, the approach focuses on model personalization rather than continuous updates from a real-time data stream.\nMoontaha et al. applied online learning to EEG-based emotion recognition by incrementally updating models during real-time EEG signal acquisition63. These models were initially trained offline using the AMIGOS dataset64 and an additional author’s dataset. The results indicate that online learning enhances classification performance compared to models trained exclusively offline, achieving F1-score improvements of 23.9% for arousal and 25.8% for valence over previous ref. 63.\nTogether, the reviewed multimodal and unimodal studies applying online learning in YMH report improved performance compared to static (offline) models, particularly in emotion classification tasks. For example, Moontaha et al. reported improvements of up to 23.9% and 25.8% in arousal and valence detection using real-time EEG signals63. These results highlight the effectiveness of online learning for real-time adaptation in multimodal and unimodal settings. However, it should be noted that not all studies implement true streaming online learning; several rely on incremental learning or data evaluated offline rather than continuous real-time model updates. Notably, all identified applications focused exclusively on classification tasks; no regression-based study incorporated online learning (Table 1).\n\n\n### Multimodal online learning\nAlthough limited in number, a few studies have examined the use of online learning combined with multimodal AI in YMH problems. Andreas et al. applied an online transfer learning approach using CNN to classify stress based on the WESAD dataset, which includes physiological signals such as ECG and EDA50,51. Two years later, they introduced an updated version of their model, evaluated on both the SWELL-KW multimodal dataset that includes physiological data from office workers performing document editing tasks under varying levels of stress52 and WESAD. The updated model demonstrated improved robustness and performance53. These studies highlight the need to distinguish between homogeneous domains—where source and target data share similar feature spaces—and heterogeneous domains, which involve differences in modality, task, or distribution54. In heterogeneous settings, effective online transfer learning requires identifying and aligning common and domain-specific attributes53. Furthermore, both studies address concept drift in online learning, referring to temporal changes in the joint data distribution that can negatively affect model performance over time55,56.\nLuo et al. proposed a branched deep learning model based on hierarchical multitask learning for concurrent stress classification and dynamic clustering57. The model was evaluated using the Dartmouth StudentLife dataset—comprising smartphone and wearable sensor data, along with psychological surveys from 83 students over two academic terms58—and WESAD. Two architectures were tested: CALM-Net (using LSTM) and CATran-Net (using Transformers). Both incorporated what the authors describe as an online learning setting to enable continuous model updates. However, while the method demonstrates model adaptation through incremental learning and subject-specific parameterization, it does not explicitly address other key aspects typically associated with online learning, such as continuous updates from a real-time data stream or concept drift detection. In addition, a branched extension to dynamic clustering was introduced, assigning new users to groups with similar stress patterns. This aims to address the cold start problem defined as the challenge of making predictions for unseen users with limited data59. Branched CALM-Net achieved F1-scores of 0.883 ± 0.023 (first week) and 0.912 ± 0.013 (up to second week) in StudentLife, and 0.960 ± 0.061 using 60% of WESAD. These results showed comparable performance to models trained on the full StudentLife dataset60,61.\n\n\n### Unimodal online Learning\nSah et al. proposed one of the earliest approaches resembling online learning in unimodal YMH by leveraging user-specific EDA signals from the WESAD dataset to develop personalized stress detection models62. Their framework first trains a general CNN model and subsequently adapts it to individual users through incremental learning with user-specific data. Although the authors describe this process as online learning, the approach focuses on model personalization rather than continuous updates from a real-time data stream.\nMoontaha et al. applied online learning to EEG-based emotion recognition by incrementally updating models during real-time EEG signal acquisition63. These models were initially trained offline using the AMIGOS dataset64 and an additional author’s dataset. The results indicate that online learning enhances classification performance compared to models trained exclusively offline, achieving F1-score improvements of 23.9% for arousal and 25.8% for valence over previous ref. 63.\nTogether, the reviewed multimodal and unimodal studies applying online learning in YMH report improved performance compared to static (offline) models, particularly in emotion classification tasks. For example, Moontaha et al. reported improvements of up to 23.9% and 25.8% in arousal and valence detection using real-time EEG signals63. These results highlight the effectiveness of online learning for real-time adaptation in multimodal and unimodal settings. However, it should be noted that not all studies implement true streaming online learning; several rely on incremental learning or data evaluated offline rather than continuous real-time model updates. Notably, all identified applications focused exclusively on classification tasks; no regression-based study incorporated online learning (Table 1).\n\n\n### YMH problems\nThe detection of stress, emotions, and depression were the most explored areas. All studies that addressed multiple problems included stress, possibly due to its strong association with other mental health indicators (Fig. 4 and Table2)65,66. Additionally, all studies that incorporated online learning, as well as those categorized under the “MH + AI” topic, focused on stress and/or emotion detection. A similar trend was observed in studies employing purely multimodal approaches, with the exception of ref. 67, which focused on depression detection using audio and text data. The unimodal approaches applied to YMH were the most diverse, covering depression, cognitive performance, stress, emotions, and cyberbullying62,63,68–79, as detailed in Table 2.\nFigure 4 further illustrates how current research is concentrated on symptom-level or at-risk states, with stress, emotions, and cognitive performance representing the majority of targets, while only a smaller number of studies address depression, which is more closely aligned with a recognized clinical condition.\nThis imbalance suggests that AI applications in YMH problems are predominantly oriented toward the detection of early symptoms rather than the diagnosis or intervention for well-defined clinical disorders.\n\n\n### Data types\nHalf of the analyzed articles utilized physiological signals, with cardiac signals being the most frequently used51,53,73,80–82, followed by electrodermal activity51,53,62,82, brain signals63,72,77, voice57,67,81, and eye-tracking71. Additionally, videos and images were employed for facial expression recognition83 and the analysis of handwritten text produced by students84.\nText data appeared in multiple formats, including questionnaires, social media posts, surveys, and interview transcripts67,69,70,74–76,78,79,84,85. Approximately one-fourth of the studies incorporated sensor-based data, capturing parameters such as GPS location, temperature, heart rate (via infrared sensors), sleep patterns, and smartphone usage51,53,57,62,73,81 as detailed in Fig. 5 and Table 2.\nNotably, one study proposed an innovative approach using 3D skeletal joint data, captured through Kinect cameras (Microsoft Corp., Redmond, WA, USA), to analyze participants’ gait for depression detection68.\n\n\n### Physiological signals, videos, and images\nHalf of the analyzed articles utilized physiological signals, with cardiac signals being the most frequently used51,53,73,80–82, followed by electrodermal activity51,53,62,82, brain signals63,72,77, voice57,67,81, and eye-tracking71. Additionally, videos and images were employed for facial expression recognition83 and the analysis of handwritten text produced by students84.\n\n\n### Text, sensor-based data, and questionnaires\nText data appeared in multiple formats, including questionnaires, social media posts, surveys, and interview transcripts67,69,70,74–76,78,79,84,85. Approximately one-fourth of the studies incorporated sensor-based data, capturing parameters such as GPS location, temperature, heart rate (via infrared sensors), sleep patterns, and smartphone usage51,53,57,62,73,81 as detailed in Fig. 5 and Table 2.\n\n\n### 3D skeletal joints\nNotably, one study proposed an innovative approach using 3D skeletal joint data, captured through Kinect cameras (Microsoft Corp., Redmond, WA, USA), to analyze participants’ gait for depression detection68.\n\n\n### AI models\nMost studies employed ML models, primarily in unimodal applications without online learning. The most commonly used models included SVM, RF, DT, and GB-based models63,68,71–77,79–81,85. In contrast, seven studies implemented deep learning (DL) models, most of which incorporated online learning. In these cases, CNNs and LSTMs were the most frequently used51,53,57,62,69,78,83. Additionally, two studies combined both ML and DL approaches70,82 (Fig. 6 and Table 2). Finally, the model categorized as “Other” in Fig. 6 corresponds to the study by Roy et al. who proposed a lexical analysis-based model for sentiment detection using student handwriting images and social media text84.\n\n\n### Validation and evaluation practices\nAcross the reviewed studies, most rely on offline validation strategies, primarily cross-validation67,71,75,80,81 or leave-one-out (LOO) validation68,72,82, performed on previously collected datasets. While these approaches are useful for estimating model performance, they do not necessarily reflect real-world deployment conditions, where data arrive sequentially and distributions may change over time. Only a limited number of works explicitly simulate online scenarios through progressive or streaming validation schemes51,53,57,62, and even fewer evaluate their models in real-world environments63,73. This gap between offline evaluation and real-world deployment makes it difficult to assess the practical robustness and longitudinal stability of the proposed methods.\nSimilarly, external validation across independent datasets remains uncommon. Although a few studies evaluate models on more than one dataset51,53,57,63,67,73, the majority of the reviewed works rely on a single dataset68–71,74,76–85. This increases the risk of overfitting to dataset-specific characteristics such as sensor configuration, experimental protocol, or population demographics. Additionally, participant samples are often small and demographically homogeneous, with many datasets composed mainly of college, university, or graduate students within relatively narrow age ranges. Such population bias restricts the applicability of the reported results to broader or more diverse youth populations.\n\n\n### Ethical and practical challenges\nThe deployment of AI systems in YMH contexts also raises important practical and ethical challenges. Unlike static models, adaptive systems continuously update their parameters based on incoming data, which introduces additional concerns regarding data governance, transparency, and system oversight86. In youth populations, data governance is particularly sensitive because longitudinal behavioral and physiological data are often collected from minors87,88. This requires robust consent and assent procedures, clear policies for data retention and secondary use, and mechanisms allowing participants or guardians to withdraw data from ongoing model updates.\nTrustworthy is another critical issue. Because adaptive models evolve over time, the reasoning behind predictions may change as the model learns from new data. This dynamic behavior can make it difficult for clinicians to understand model outputs or maintain trust in the system89. Providing interpretable explanations, clear documentation, and regular auditing of model behavior is therefore essential.\n\n\n### Future studies and trends\nAlthough the reviewed literature demonstrates promising progress in applying AI to YMH problems, several gaps remain open for future research. First, most existing studies target symptom-level or at-risk state indicators, while fewer address well-defined clinical conditions. Future work should broaden the typology of mental health problems considered, integrating under-explored conditions, thereby enabling more comprehensive clinical applications.\nSecond, methodological diversity remains limited. A substantial proportion of studies rely on unimodal data, whereas multimodal approaches could improve robustness and generalizability. The scarcity of demographic details also highlights the need for larger and more inclusive datasets that reflect age, gender, and cultural differences within youth populations.\nThird, longitudinal and intervention-focused studies are largely absent. Current evidence is dominated by detection tasks, but advancing toward diagnosis, prognosis, and intervention design will require datasets and models capable of capturing changes over time. This progression is critical if AI is to support not only early identification but also the personalization of interventions for young people. Therefore, future research should prioritize systematic cross-dataset validation as well as longitudinal and real-world evaluations to better assess the generalizability and translational potential of machine learning models.\nFinally, the rapid evolution of large language models (LLMs) and generative AI tools, such as ChatGPT, opens a novel research direction. These technologies could enable scalable, conversational support systems, assist clinicians in triage, or provide adaptive learning resources tailored to youth needs. However, rigorous evaluation of their ethical, clinical, and developmental implications will be essential to ensure safe and equitable implementation.\n\n\n### Limitations of the scoping review\nThe studies included in this scoping review were carefully selected following a rigorous screening and review process and adhering to PRISMA guidelines. However, some relevant papers on YMH may have been excluded if they were not indexed in the selected databases or if their terminology did not match the search strings used. Additionally, due to the limited number of studies incorporating online learning, we broadened the scope by also including articles directly related to YMH, even if they did not implement online learning, in order to provide a more comprehensive overview. Another challenge was the lack of demographic information in certain datasets, which limited our ability to verify whether a given study specifically targeted youth populations. Finally, a limitation lies in the remaining difficulty in differentiating mental health problems from neurological conditions, such as viral or bacterial infections, aneurysms, arteriovenous malformations, parasitic infections, and brain tumors that affect the frontal cortex and may lead to mental health symptoms.\n\n\n### Conclusion\nThis scoping review examined AI methodologies applied to YMH, with a focus on the integration of online learning and multimodal approaches for diagnosis, monitoring, and intervention. The findings suggest that research in this domain is still emerging, highlighting both the need and opportunity for further investigation. Several challenges must be addressed for these approaches to evolve into viable clinical or real-world tools. These include the availability and long-term validity of multimodal data from youth populations, the lack of demographic information in certain datasets, variability in data collection contexts (homogeneous vs. heterogeneous), cold start problem, concept drift, ethical and logistical concerns associated with studying minors, and the high computational demands of training robust AI models.\nThe reviewed studies represent preliminary efforts to address these challenges, and encouragingly, the volume of research in this area is growing. Notably, the use of online learning has demonstrated improvements in model adaptability and performance features that are essential for developing translational AI models suitable for real-world deployment. DL methods were predominantly employed in multimodal and online learning settings, whereas ML approaches remain largely unexplored in this context.\nPhysiological signals and sensor-based data were the most commonly used modalities in multimodal and online learning studies, reflecting the current data availability and infrastructure. This highlights the urgent need to develop standardized data collection protocols and openly accessible datasets tailored to youth populations. Also, taken together, our findings suggest that AI research in YMH problems remains on symptom-level or at-risk state, with relatively fewer studies focusing on clinically diagnosable disorders such as depression. Future research should broaden this scope, incorporating a wider range of conditions and explicitly addressing diagnostic and intervention outcomes, to fully realize the potential of AI in supporting YMH.\n\n\n### Supplementary information\nSupplementary information\nSupplementary information", "domain": "affective_neuroscience"}
{"source": "PMC13090660", "title": "Dataset of physiological signals in the use of advanced driver assistance systems (ADAS)", "text": "# Dataset of physiological signals in the use of advanced driver assistance systems (ADAS)\n\n## Abstract\nThis article introduces a dataset that investigates the physiological responses of drivers when using advanced driver assistance systems (ADAS) in real-world traffic conditions. The study, conducted in the Federal District, Brazil, involved seven drivers in controlled driving sessions. The time of day and the days of the week were standardized to ensure comparable traffic conditions. The data collection was centered on ADAS Level 2 systems, specifically the Lane Keeping Assist System (LKAS) and the Forward Collision Warning System (FCWS). The dataset includes five physiological signals: respiration, heart rate, galvanic skin response (GSR), leg muscle activity, and brain activity. These signals were continuously acquired using a dedicated instrumentation system installed in the vehicle. Given the complexity of collecting data under real traffic conditions, the acquisition sessions generated a large volume of raw data. Considerable post-processing was conducted to identify and segment portions of the signals with sufficient integrity for subsequent analysis. The dataset is structured as time-stamped raw signal spreadsheets, each corresponding to a specific driver and direction of the pre-established route (outbound and return). Such organization enables researchers to navigate the dataset easily, explore specific segments of interest, and conduct comparative analyses across participants and varying traffic conditions. The dataset is relevant to researchers in biomedical signal processing, driver state monitoring, intelligent transportation systems, and human–machine interaction. It may be used by academic laboratories investigating physiological responses during driving tasks, as well as by engineers and developers working on advanced driver assistance systems (ADAS), including automotive manufacturers and ADAS technology suppliers. The dataset, which includes synchronized physiological and vehicle dynamics data collected under real traffic conditions may contribute to the study of human responses during semi-automated driving, supporting research and development of driver-centered mobility technologies.\n\n## Full Text\n\n\n### Value of the Data\n•This dataset provides synchronized recordings of five physiological signals (EEG, ECG, EMG, GSR, and respiration) and vehicle dynamics (speed and acceleration), acquired at 2 kHz under real-world traffic conditions in a vehicle (Jeep - Renegade, 2023), which is a Level 2 ADAS operation (LKAS and FCWS). The common sampling configuration and timestamp-based synchronization make easier joint analysis of physiological signals and vehicle dynamics in relation to driving events.•The data are organized as raw time-stamped spreadsheets segmented by participant and by route direction, allowing structured comparison across drivers and driving segments. Such an organization supports realistic reuse scenarios, e.g., signal processing method, feature extraction, cross-signal correlation analysis, and exploratory driver-state modeling under naturalistic driving conditions.•The dataset is relevant to researchers in biomedical signal processing, driver monitoring, intelligent transportation systems, and human–machine interaction. It may support academic laboratories in transportation engineering, research about the effect of human factors on driver behavior, and automotive systems research investigating physiological responses during semi-automated driving. Engineers and developers at automotive manufacturers, ADAS suppliers, and mobility technology companies may use the dataset to explore driver-state estimation approaches in Level 2 automation contexts.•Multi-signal datasets collected in real traffic environments remain relatively scarce due to technical and safety constraints; this dataset may serve as a methodological reference resource for small-cohort naturalistic driving studies. Its documented acquisition protocol, standardized route, and consistent sampling parameters enable comparison with similar experimental setups.•The dataset includes recordings from seven drivers and is not intended for population-level inference or statistical generalization. Nevertheless, its standardized acquisition protocol, synchronized multi-signal architecture, and real-traffic implementation provide a reproducible and methodologically transparent foundation for hypothesis generation, and comparative research on human responses during Level 2 ADAS operation.\nThis dataset provides synchronized recordings of five physiological signals (EEG, ECG, EMG, GSR, and respiration) and vehicle dynamics (speed and acceleration), acquired at 2 kHz under real-world traffic conditions in a vehicle (Jeep - Renegade, 2023), which is a Level 2 ADAS operation (LKAS and FCWS). The common sampling configuration and timestamp-based synchronization make easier joint analysis of physiological signals and vehicle dynamics in relation to driving events.\nThe data are organized as raw time-stamped spreadsheets segmented by participant and by route direction, allowing structured comparison across drivers and driving segments. Such an organization supports realistic reuse scenarios, e.g., signal processing method, feature extraction, cross-signal correlation analysis, and exploratory driver-state modeling under naturalistic driving conditions.\nThe dataset is relevant to researchers in biomedical signal processing, driver monitoring, intelligent transportation systems, and human–machine interaction. It may support academic laboratories in transportation engineering, research about the effect of human factors on driver behavior, and automotive systems research investigating physiological responses during semi-automated driving. Engineers and developers at automotive manufacturers, ADAS suppliers, and mobility technology companies may use the dataset to explore driver-state estimation approaches in Level 2 automation contexts.\nMulti-signal datasets collected in real traffic environments remain relatively scarce due to technical and safety constraints; this dataset may serve as a methodological reference resource for small-cohort naturalistic driving studies. Its documented acquisition protocol, standardized route, and consistent sampling parameters enable comparison with similar experimental setups.\nThe dataset includes recordings from seven drivers and is not intended for population-level inference or statistical generalization. Nevertheless, its standardized acquisition protocol, synchronized multi-signal architecture, and real-traffic implementation provide a reproducible and methodologically transparent foundation for hypothesis generation, and comparative research on human responses during Level 2 ADAS operation.\n\n\n### Background\nAdvanced Driver Assistance Systems (ADAS) represent a key step toward safer and more automated mobility, yet their integration with human drivers remains complex. Earlier studies have highlighted that driving involves both cognitive and physiological responses, which can be captured through physiological signals such as heart rate [1], respiration [2], galvanic skin response [3], muscle activity [4], and brain signals [5]. These physiological indicators are known to vary with task difficulty, attention, decision-making, and emotional valence [6], making them valuable for examining human interaction with automation.\nDespite growing research on ADAS, naturalistic datasets, combining vehicle dynamics and multiple physiological signals under real traffic conditions are still scarce, especially in the Brazilian context. Collecting such data is methodologically challenging due to signal noise, variability, and the constraints of real driving environments [7,8]. These operational limitations frequently restrict sample size in naturalistic multi-sensor studies, as the installation of biomedical sensors, real-time in-vehicle monitoring, and route standardization make large-scale acquisition difficult.\nExisting physiological driving datasets often rely on simulators or controlled laboratory environments, which allow larger cohorts and detailed annotation but do not fully reproduce the variability and unpredictability of real traffic scenarios. Tao et al. [9] released a multimodal physiological dataset collected in a driving simulator to support driver behaviour analysis using synchronized EEG, ECG, GSR, and other biosignals, facilitating larger sample sizes. Meteier et al. [10] have explored drivers’ workload under conditionally automated driving using synchronized physiological signal acquisition in a controlled experimental setting. While such datasets provide valuable controlled resources, they typically do not combine on-road acquisition, continuous vehicle telemetry, and active Level 2 ADAS operation within a single synchronized framework.\nIn contrast, naturalistic data sets typically prioritize ecological validity and synchronized multi-signal acquisition, often at the expense of scale. Publicly available resources integrating synchronized physiological recordings with vehicle dynamics during real-traffic Level 2 ADAS operation remain limited. In this context, the present dataset contributes as a structured naturalistic resource that integrates multiple physiological signals with vehicle dynamics during Level 2 ADAS operation. It enables further investigation of human responses in semi-automated driving contexts. A preliminary methodological study previously investigated the feasibility of the instrumentation under controlled laboratory conditions, focusing on sensor validation and signal acquisition procedures. However, that study did not involve on-road data collection or structured dataset organization.\n\n\n### Data Description\nThe dataset is organized into folders and subfolders to provide easy access and reuse. Each folder corresponds to a specific driver and is subdivided by travel. Into each subfolder, raw physiological signals and vehicle dynamics data are provided as time-stamped spreadsheets. A summary of the dataset structure is presented in Table 1, showing the organization of drivers, routes, and data types.Table 1Dataset structure with folders, subfolders, and file types.Table 1 dummy alt textFolderSubfolderFile typeContent description/1- Driver 01//date Outbounb/.csvRaw signals (ECG, EEG, EMG, GSR, Respiration) + OBD data/date Return/.csvRaw signals (ECG, EEG, EMG, GSR, Respiration) + OBD data/1- Driver 01/OBD Outbound/.csvOBD data/OBD return.csvOBD data/TrafficData/—.xlsxFlow of vehicles by day and time from DER-DF/Documentation/—.pdfAcquisition protocol, sensor placement, LabVIEW diagram\nDataset structure with folders, subfolders, and file types.\nThe physiological data include five channels: electrocardiogram (ECG), electroencephalogram (EEG), electromyography (EMG), galvanic skin response (GSR), and respiration. Vehicle data, including speed and three-axis acceleration, was collected via the OBD II interface and exported as text files. Each acquisition file contains approximately 12,000 rows of time series data, with sequential file numbering used to preserve continuity during long driving sessions.\nFig. 1 illustrates a screenshot of the LabVIEW program developed for acquiring and storing physiological signals. Dedicated channels and filters were configured for each sensor. Fig. 2 depicts sensors and acquisition boards mounted in the vehicle. An inverter connected to the car battery powered them, ensuring stability during real traffic sessions.Fig. 1LabVIEW program developed for acquisition of physiological signals, representing the different acquisition channels.Fig 1 dummy alt textFig. 2Representation of driver instrumentation inside the vehicle.Fig 2 dummy alt text\nLabVIEW program developed for acquisition of physiological signals, representing the different acquisition channels.\nRepresentation of driver instrumentation inside the vehicle.\nDriving sessions followed a predefined 34.2 km route between the Faculty of Science and Technology in Engineering (FCTE) and the main bus terminal in Brasília (Plano Piloto), covering urban roads under typical traffic conditions (Fig. 3). Traffic flow characteristics for the selected route were obtained from DER-DF and are included in the repository as contextual data (Fig. 4).Fig. 3Predefined driving route of 34.2 km between the faculty of science and technology in engineering (FCTE) and the main bus terminal in Brasília (Plano Piloto). Source: Google, 2024.Fig 3 dummy alt textFig. 4Distribution of traffic flow by weekday and time of day along the selected route. Source: DER-DF.Fig 4 dummy alt text\nPredefined driving route of 34.2 km between the faculty of science and technology in engineering (FCTE) and the main bus terminal in Brasília (Plano Piloto). Source: Google, 2024.\nDistribution of traffic flow by weekday and time of day along the selected route. Source: DER-DF.\n\n\n### Experimental Design, Materials and Methods\nSeven drivers participated in the on-road data acquisition. The group comprised six male and one female drivers. Participants’ ages ranged from 22 to 62 years (male: 22, 30, 45, 55, 60, and 62 years; female: 28 years). All participants obtained their driver’s licenses at 18 years of age and were active drivers at the time of the study, resulting in driving experience ranging from approximately 4 to 44 years. The participant set was intentionally heterogeneous with respect to age and driving experience; however, analyses aimed at establishing associations between participant profile (e.g., age or years of driving) would require a larger, stratified sample.\nThe definition of the signal acquisition equipment and protocols was based on the desired characteristics of our dataset and considering the road and traffic conditions in the driveways available for conducting our experiments. In this respect, our main specifications for building the database of signals included the following characteristics.1.Each acquired signal should reflect real reactions by human drivers, while they operate an automobile in real driving conditions.2.The driving route should be the same for each driver, for strict signal comparison.3.The driving route should include regions of intense traffic, so the signals include physiological reactions to stress conditions such as those normally encountered in real driving conditions.4.The route should require approximately 90 min to 120 min, depending on the driver characteristics and occasional traffic fluctuations. The chosen approximate average duration was aimed at providing sufficient data for our desired correlation analyses, while allowing for driving conditions and drivers emotions and reactions to stabilize.5.All driver signals should be acquired at a 14-bit depth, and with a sampling frequency of 2 kHz. The quantization level of 14 bits is considered appropriate to all the analysed signals, and the sampling of 2 kHz satisfies the Nyquist criterion in all the cases.6.Simultaneously to the driver signals, we wanted to acquire information regarding the vehicle conditions, such as accelerations and speeds, by using an on-board diagnostics (OBD) tool.\nEach acquired signal should reflect real reactions by human drivers, while they operate an automobile in real driving conditions.\nThe driving route should be the same for each driver, for strict signal comparison.\nThe driving route should include regions of intense traffic, so the signals include physiological reactions to stress conditions such as those normally encountered in real driving conditions.\nThe route should require approximately 90 min to 120 min, depending on the driver characteristics and occasional traffic fluctuations. The chosen approximate average duration was aimed at providing sufficient data for our desired correlation analyses, while allowing for driving conditions and drivers emotions and reactions to stabilize.\nAll driver signals should be acquired at a 14-bit depth, and with a sampling frequency of 2 kHz. The quantization level of 14 bits is considered appropriate to all the analysed signals, and the sampling of 2 kHz satisfies the Nyquist criterion in all the cases.\nSimultaneously to the driver signals, we wanted to acquire information regarding the vehicle conditions, such as accelerations and speeds, by using an on-board diagnostics (OBD) tool.\nRegarding the sampling rate (item 5), note that some signals (such as the respiratory signal) present a lower total bandwidth, while others (such as the ECG and the EMG) present higher total bandwidths. So, we could adopt different values for the sampling rate in each case. However, we opted to use a common same sampling frequency, so the synchronization between events and signals, as well as between pairs of signals, could be made based on a single event marker and the acquired sample indices, which are then the same for all driver’s signals.\nIn this section, we describe the acquisition equipment/software, the preparation of the acqui- sition circuits over the driver, and the experiments’ protocols.\nData collection was conducted using a 2023 Jeep Renegade equipped with factory-installed Level 2 Advanced Driver Assistance Systems. The vehicle included the Lane Keeping Assist System (LKAS) integrated within the Lane Sense platform, and the Forward Collision Warning System (FCWS) with automatic braking functionality.\nThe LKAS operates at approximately 60–180 km/h and provides steering assistance when lane markings are detected. For the experiments, lane departure warning sensitivity was configured to “early” alert mode with high feedback intensity.\nThe FCWS was configured to “alert + active braking” mode, with the warning distance parameter adjusted to the longest available setting to ensure earlier system activation during vehicle approach events.\nAll ADAS features were factory-calibrated and manually verified before each session to ensure consistent operation. It is important to note that any firmware alteration has been applied.\nThe acquisition system was designed to collect five physiological signals: (1) electrocardiogram (ECG), muscle contraction potentials (low-pass filtered EMG), electroencephalography (EMG), galvanic skin response (GSR), and respiration. Each signal was acquired synchronously with respect to the vehicle’s kinematic variables.\nAlso, each signal was acquired using a dedicated circuit connected to a National Instruments data-acquisition module (the NI USB-6009), interfaced with LabVIEW for Teaching/Research AVL 2024 software, which provided real-time visualization, filtering, and data storage.\nThe ECG, muscle contraction, EEG, and GSR circuits were based on commercially available devices. Both the ECG and the muscle contraction modules used a custom-built circuit based on the AD8232 chip, with a single analogue acquisition channel. The circuit provides differential amplification and hardware filtering type Bessel order 8, with a 0.5–40 Hz band-pass.\nThe GSR module, on the other hand, uses a custom circuit based on a voltage divider configu- ration with the Grove GSR sensor (by Seeed Studio). In this module, the GSR signal is measured using silver–chloride electrodes connected to the Grove sensor, which is then interfaced with a signal conditioning circuit to adapt the 0–5 V output range for the NI module input. The circuit measures skin conductance (inverse of resistance), which varies according to the driver’s stress and arousal levels.\nRegarding the EEG signal, we used a MindWave Mobile 2 sensor, by NeuroSky Inc., USA. This device measures the EEG waves through a dry electrode placed on the forehead, above the user’s left eye, and an ear-clip reference electrode. The system was selected due to its portability and ease of integration for in-vehicle monitoring of cognitive states such as attention and alertness.\nDuring preliminary testing, however, the wireless interface of the sensor exhibited a factory de- fect that prevented Bluetooth communication between the headset and the acquisition computer. To overcome this issue, the EEG sensor was adapted for wired acquisition. The electrodes from the ear clip and the forehead sensor were connected directly to two AD8232 analogue front-end boards (Analog Devices Inc.), which were subsequently interfaced with the main data acquisition circuit. This configuration enabled simultaneous recording of both EEG channels, forehead and ear reference, under the same synchronized data-acquisition architecture used for the other physiological signals.\nThe resulting setup allowed the integration of EEG data into the unified signal database, ensuring temporal synchronization and compatibility with the 2 kHz, 14-bit acquisition framework applied across all physiological modalities.\nRespiratory activity was monitored using a pressure transducer coupled to a nasal cannula, which measured variations in airflow pressure during inhalation and exhalation. This configuration provided a non-invasive means of quantifying breathing patterns while allowing drivers to perform the tasks naturally within the vehicle environment. The output signal from the pressure transducer was routed to a custom signal-conditioning circuit assembled on two protoboards, each powered by an independent 9 V battery to ensure electrical isolation and reduce interference among channels. The conditioned signal was then digitized through the National Instruments NI USB-6009 data acquisition board, operating at 14-bit resolution and a 2 kHz sampling rate, consistent with the other physiological measurements.\nAll electronic components were securely mounted on an acrylic support plate to prevent sensor displacement during vehicle motion, maintaining signal integrity throughout the driving experiments. This configuration proved robust for in-vehicle data collection, enabling stable and synchronized acquisition of respiratory pressure variations across the full duration of each driving session. Fig. 5 presents the final integrated system used for the acquisition of the driver’s physiological signals.Fig. 5The complete acquisition system, with the sensors for ECG, muscle, respiratory, EEG, and GSR signals. The sensors were connected to a circuit fixed inside an acrylic box.Fig 5 dummy alt text\nThe complete acquisition system, with the sensors for ECG, muscle, respiratory, EEG, and GSR signals. The sensors were connected to a circuit fixed inside an acrylic box.\nThe LabVIEW environment handled multichannel acquisition at 2 kHz per channel, 14-bit resolution, and with timestamp-based synchronization. To improve signal visualization during the acquisitions, we included custom digital lowpass finite impulse response filters type Bessel order 8, with a cutoff frequency of 40 hertz. All the acquired signals, including the filtered versions and the raw, original versions were saved to comma-separated-values (CSV) files.\nVehicle variables, such as velocity, acceleration, and throttle position, were collected using an On-Board Diagnostics (OBD II) interface connected to the CAN bus and integrated to the other acquisition circuits, to ensure a level of temporal alignment.\nBefore each experiment, participants were instructed about the objectives and procedures, and all sensors were installed by the research team to ensure repeatability. The electrodes and sensors were placed according to standardized positions summarized in Table 2.Table 2Placement of the physiological sensors and description of the corresponding signals, with their purposes in the proposed acquisitions.Table 2 dummy alt textSignalSensor placementPurpose / RemarksECGThree disposable Ag/AgCl electrodes: two on the chest and one ground on the lower abdomenHeart-rate and heart-rate-variability monitoringEEGTwo frontal electrodes and one reference clip on the earlobeBrain activity related to attention and mental workloadEMGTwo surface electrodes on the right lower part of the leg, above the footMuscle contractions during accelerations and brake activations and control actionsGSRTwo electrodes on the middle and index fingers of the non-dominant handSkin conductance linked to stress and arousal responsesRespirationPressure sensor over the nose openingsBreathing frequency and pattern monitoring\nPlacement of the physiological sensors and description of the corresponding signals, with their purposes in the proposed acquisitions.\nElectrode sites were cleaned with alcohol to reduce impedance (< 10 kΩ), and cables were routed to minimize motion artifacts. Each participant performed a short calibration stage (3 min) while stationary to verify proper signal quality before starting the driving task.\nEach driver completed a 34.2 km route between the College of Sciences and Technologies in Engineering (FCTE/UnB) and the Brasília central bus station, Fig. 3. The route was selected for its mix of arterial and urban segments, including zones of dense traffic to elicit stress-related physiological responses. This allowed us to observe potential correlations between road conditions (including stressful conditions) and features extracted from the ECG, muscle, EEG, respiratory, and GSR signals.\nThe experiments began at 7:00 a.m. at the College of Sciences and Technologies in Engineering (FCTE/UnB), during peak morning traffic. They were conducted from Tuesday to Friday aiming to reduce variability associated with weekend traffic patterns. No rainfall occurred during the acquisition days, ensuring comparable environmental conditions across sessions.\nAlthough traffic density corresponded to typical rush-hour conditions and remained broadly consistent, as illustrated in Fig. 4, variations in vehicle flow resulted in moderate differences in average velocity and total travel time among drivers. The mean velocities for the seven participants were 31.1 km/h, 41.0 km/h, 36.0 km/h, 36.0 km/h, 52.6 km/h, 36.0 km/h, and 39.5 km/h. These variations reflect individual driving behaviour and minor differences in traffic flow, while maintaining overall comparable traffic exposure across sessions.\nDuring the drive, the Lane Keeping Assist System (LKAS) and Forward Collision Warning System (FCWS) were active. Our goal was to evaluate whether and how system operation related to variations in physiological signals. Drivers were instructed to operate the vehicle normally and in accordance with standard traffic regulations. The instrumentation was configured to remain as unobtrusive as possible. Researchers were positioned in the rear seat to monitor the acquisition in real time via LabVIEW and to register occurrences of LKAS and FCWS activations based on the visual and auditory alerts provided by the vehicle interface, as well as relevant traffic events. These occurrences were recorded using the acquisition time reference, enabling subsequent alignment with the corresponding physiological and vehicle data segments in the released files.\nBecause on-road acquisition is affected by natural driver movements and vehicle vibrations, temporary signal dropouts and motion-related artifacts were expected. To curate the released dataset, the research team visually inspected the time series and selected segments in which the acquisition showed no interruption due to loss of electrodes contact. We prioritized continuous intervals suitable for downstream analysis. In addition, researchers recorded the time of relevant driving and ADAS-related events during each session; these timestamps were used as references for segment definition and alignment. For analyses around ADAS activations, time windows centered on each recorded activation were considered using a 30-s pre-event and a 30-s post-event interval. Secondary users should consider that excluded portions may be associated with higher-motion driving moments.\n\n\n### Vehicle and ADAS configuration\nData collection was conducted using a 2023 Jeep Renegade equipped with factory-installed Level 2 Advanced Driver Assistance Systems. The vehicle included the Lane Keeping Assist System (LKAS) integrated within the Lane Sense platform, and the Forward Collision Warning System (FCWS) with automatic braking functionality.\nThe LKAS operates at approximately 60–180 km/h and provides steering assistance when lane markings are detected. For the experiments, lane departure warning sensitivity was configured to “early” alert mode with high feedback intensity.\nThe FCWS was configured to “alert + active braking” mode, with the warning distance parameter adjusted to the longest available setting to ensure earlier system activation during vehicle approach events.\nAll ADAS features were factory-calibrated and manually verified before each session to ensure consistent operation. It is important to note that any firmware alteration has been applied.\n\n\n### Acquisition equipment\nThe acquisition system was designed to collect five physiological signals: (1) electrocardiogram (ECG), muscle contraction potentials (low-pass filtered EMG), electroencephalography (EMG), galvanic skin response (GSR), and respiration. Each signal was acquired synchronously with respect to the vehicle’s kinematic variables.\nAlso, each signal was acquired using a dedicated circuit connected to a National Instruments data-acquisition module (the NI USB-6009), interfaced with LabVIEW for Teaching/Research AVL 2024 software, which provided real-time visualization, filtering, and data storage.\nThe ECG, muscle contraction, EEG, and GSR circuits were based on commercially available devices. Both the ECG and the muscle contraction modules used a custom-built circuit based on the AD8232 chip, with a single analogue acquisition channel. The circuit provides differential amplification and hardware filtering type Bessel order 8, with a 0.5–40 Hz band-pass.\nThe GSR module, on the other hand, uses a custom circuit based on a voltage divider configu- ration with the Grove GSR sensor (by Seeed Studio). In this module, the GSR signal is measured using silver–chloride electrodes connected to the Grove sensor, which is then interfaced with a signal conditioning circuit to adapt the 0–5 V output range for the NI module input. The circuit measures skin conductance (inverse of resistance), which varies according to the driver’s stress and arousal levels.\nRegarding the EEG signal, we used a MindWave Mobile 2 sensor, by NeuroSky Inc., USA. This device measures the EEG waves through a dry electrode placed on the forehead, above the user’s left eye, and an ear-clip reference electrode. The system was selected due to its portability and ease of integration for in-vehicle monitoring of cognitive states such as attention and alertness.\nDuring preliminary testing, however, the wireless interface of the sensor exhibited a factory de- fect that prevented Bluetooth communication between the headset and the acquisition computer. To overcome this issue, the EEG sensor was adapted for wired acquisition. The electrodes from the ear clip and the forehead sensor were connected directly to two AD8232 analogue front-end boards (Analog Devices Inc.), which were subsequently interfaced with the main data acquisition circuit. This configuration enabled simultaneous recording of both EEG channels, forehead and ear reference, under the same synchronized data-acquisition architecture used for the other physiological signals.\nThe resulting setup allowed the integration of EEG data into the unified signal database, ensuring temporal synchronization and compatibility with the 2 kHz, 14-bit acquisition framework applied across all physiological modalities.\nRespiratory activity was monitored using a pressure transducer coupled to a nasal cannula, which measured variations in airflow pressure during inhalation and exhalation. This configuration provided a non-invasive means of quantifying breathing patterns while allowing drivers to perform the tasks naturally within the vehicle environment. The output signal from the pressure transducer was routed to a custom signal-conditioning circuit assembled on two protoboards, each powered by an independent 9 V battery to ensure electrical isolation and reduce interference among channels. The conditioned signal was then digitized through the National Instruments NI USB-6009 data acquisition board, operating at 14-bit resolution and a 2 kHz sampling rate, consistent with the other physiological measurements.\nAll electronic components were securely mounted on an acrylic support plate to prevent sensor displacement during vehicle motion, maintaining signal integrity throughout the driving experiments. This configuration proved robust for in-vehicle data collection, enabling stable and synchronized acquisition of respiratory pressure variations across the full duration of each driving session. Fig. 5 presents the final integrated system used for the acquisition of the driver’s physiological signals.Fig. 5The complete acquisition system, with the sensors for ECG, muscle, respiratory, EEG, and GSR signals. The sensors were connected to a circuit fixed inside an acrylic box.Fig 5 dummy alt text\nThe complete acquisition system, with the sensors for ECG, muscle, respiratory, EEG, and GSR signals. The sensors were connected to a circuit fixed inside an acrylic box.\n\n\n### Software and data management\nThe LabVIEW environment handled multichannel acquisition at 2 kHz per channel, 14-bit resolution, and with timestamp-based synchronization. To improve signal visualization during the acquisitions, we included custom digital lowpass finite impulse response filters type Bessel order 8, with a cutoff frequency of 40 hertz. All the acquired signals, including the filtered versions and the raw, original versions were saved to comma-separated-values (CSV) files.\nVehicle variables, such as velocity, acceleration, and throttle position, were collected using an On-Board Diagnostics (OBD II) interface connected to the CAN bus and integrated to the other acquisition circuits, to ensure a level of temporal alignment.\n\n\n### Preparation of the circuits on each driver’s body\nBefore each experiment, participants were instructed about the objectives and procedures, and all sensors were installed by the research team to ensure repeatability. The electrodes and sensors were placed according to standardized positions summarized in Table 2.Table 2Placement of the physiological sensors and description of the corresponding signals, with their purposes in the proposed acquisitions.Table 2 dummy alt textSignalSensor placementPurpose / RemarksECGThree disposable Ag/AgCl electrodes: two on the chest and one ground on the lower abdomenHeart-rate and heart-rate-variability monitoringEEGTwo frontal electrodes and one reference clip on the earlobeBrain activity related to attention and mental workloadEMGTwo surface electrodes on the right lower part of the leg, above the footMuscle contractions during accelerations and brake activations and control actionsGSRTwo electrodes on the middle and index fingers of the non-dominant handSkin conductance linked to stress and arousal responsesRespirationPressure sensor over the nose openingsBreathing frequency and pattern monitoring\nPlacement of the physiological sensors and description of the corresponding signals, with their purposes in the proposed acquisitions.\nElectrode sites were cleaned with alcohol to reduce impedance (< 10 kΩ), and cables were routed to minimize motion artifacts. Each participant performed a short calibration stage (3 min) while stationary to verify proper signal quality before starting the driving task.\n\n\n### Experiment’s protocols\nEach driver completed a 34.2 km route between the College of Sciences and Technologies in Engineering (FCTE/UnB) and the Brasília central bus station, Fig. 3. The route was selected for its mix of arterial and urban segments, including zones of dense traffic to elicit stress-related physiological responses. This allowed us to observe potential correlations between road conditions (including stressful conditions) and features extracted from the ECG, muscle, EEG, respiratory, and GSR signals.\nThe experiments began at 7:00 a.m. at the College of Sciences and Technologies in Engineering (FCTE/UnB), during peak morning traffic. They were conducted from Tuesday to Friday aiming to reduce variability associated with weekend traffic patterns. No rainfall occurred during the acquisition days, ensuring comparable environmental conditions across sessions.\nAlthough traffic density corresponded to typical rush-hour conditions and remained broadly consistent, as illustrated in Fig. 4, variations in vehicle flow resulted in moderate differences in average velocity and total travel time among drivers. The mean velocities for the seven participants were 31.1 km/h, 41.0 km/h, 36.0 km/h, 36.0 km/h, 52.6 km/h, 36.0 km/h, and 39.5 km/h. These variations reflect individual driving behaviour and minor differences in traffic flow, while maintaining overall comparable traffic exposure across sessions.\nDuring the drive, the Lane Keeping Assist System (LKAS) and Forward Collision Warning System (FCWS) were active. Our goal was to evaluate whether and how system operation related to variations in physiological signals. Drivers were instructed to operate the vehicle normally and in accordance with standard traffic regulations. The instrumentation was configured to remain as unobtrusive as possible. Researchers were positioned in the rear seat to monitor the acquisition in real time via LabVIEW and to register occurrences of LKAS and FCWS activations based on the visual and auditory alerts provided by the vehicle interface, as well as relevant traffic events. These occurrences were recorded using the acquisition time reference, enabling subsequent alignment with the corresponding physiological and vehicle data segments in the released files.\nBecause on-road acquisition is affected by natural driver movements and vehicle vibrations, temporary signal dropouts and motion-related artifacts were expected. To curate the released dataset, the research team visually inspected the time series and selected segments in which the acquisition showed no interruption due to loss of electrodes contact. We prioritized continuous intervals suitable for downstream analysis. In addition, researchers recorded the time of relevant driving and ADAS-related events during each session; these timestamps were used as references for segment definition and alignment. For analyses around ADAS activations, time windows centered on each recorded activation were considered using a 30-s pre-event and a 30-s post-event interval. Secondary users should consider that excluded portions may be associated with higher-motion driving moments.\n\n\n### Limitations\nThe present work faced some limitations during dataset development. A major challenge was ensuring synchronization between physiological signals and vehicle data. Because acquisition relied on simultaneous recording from different systems, slight delays in transmission or processing could generate inconsistencies in the raw files.\nAnother limitation concerns the robustness of the instrumentation. Although the acquisition system was functional, further refinements may improve recording stability under complex real-world driving conditions.\nThe number of participants also limits the dataset, as recordings were obtained from seven drivers under naturalistic traffic conditions. Therefore, the dataset is not intended to provide statistically representative conclusions about the broader driving population. Instead, the present dataset represents a controlled naturalistic resource designed to support methodological investigations and, exploratory analyses involving synchronized physiological and vehicle dynamics data collected during Level 2 ADAS operation. In addition, the inherent noise in physiological signals in traffic environments required careful curation and segmentation procedures, which may introduce selection-related biases that demand attention in secondary analyses.\n\n\n### Ethics Statement\nAll participants provided written informed consent through a Informed Consent Form (ICF) prior to participation. The research involved non-invasive physiological monitoring and vehicle data acquisition conducted under normal driving conditions, without altering participants’ routine activities.\nGiven the observational and non-interventional nature of the procedures, and the absence of clinical or invasive components, the study was not submitted for formal review by a Research Ethics Committee. The procedures were designed to involve minimal risk, and no clinical or interventional procedures were performed. Participant anonymity was preserved through data identification, and no personally identifiable information is included in the released dataset.\nThe study adhered to ethical principles of voluntary participation, informed consent, risk minimization, and confidentiality consistent with internationally recognized guidelines for research involving human subjects, including the principles outlined in the Declaration of Helsinki.\n\n\n### Credit Author Statement\nCastro, G. M: Investigation, Validation; Oliveira, A. B. de S: Investigation, Methodology, Reviewing. Miosso; C. J.: Investigation, Software, Validation, Writing; Silva, R. C.: Conceptualization, Methodology, Original draft preparation, Writing.", "domain": "affective_neuroscience"}
{"source": "PMC13090820", "title": "Residential indoor temperatures and health: A scoping review of observational studies", "text": "# Residential indoor temperatures and health: A scoping review of observational studies\n\n## Abstract\nAdults spend most of their time indoors, especially in higher income countries. Indoor temperature exposures can vary substantially across households, even within a single geographic area. It is therefore critical to understand links between indoor temperature exposures and health or well-being outcomes, and to understand safe maximum indoor residential temperature thresholds that support health, well-being, and comfort. We systematically identified peer-reviewed, observational studies that quantified associations between residential indoor temperatures and mortality/morbidity outcomes. We extracted information on study location; population, health or well-being outcomes; indoor temperature exposure assessment methods; and, when available, empirically quantified safe maximum indoor temperature thresholds. In total, 29 papers were included in the review. The studies were conducted in the following continents: North America (N = 10), Europe (N = 5), Asia (N = 9), Australia (N = 4), and Africa (N = 1). The most common outcomes were cardiovascular morbidity (N = 10) and respiratory morbidity (N = 8) and thermal comfort (N = 9). Exposure assessment methods included data sensors, thermometers, data-driven models, and energy-based simulations. Despite variation in exposure assessment methods and outcomes assessed, results predominately suggested that warmer indoor temperatures were associated with adverse health or well-being outcomes, although in a handful of studies, associations were either null or in the unexpected, protective direction. Empirically identified safe thresholds for indoor temperature ranged from 18 °C to 35 °C and varied according to outcome. Results from this review may be used to inform the design of future studies of associations between indoor temperatures and morbidity or mortality outcomes. \n\n## Full Text\n\n\n### Introduction\nIt is well recognized that the earth’s rising temperatures represent a critical threat to population health and well-being (Ebi et al., 2021). It is also well known that most adults living in higher income countries spend nearly all their time indoors (Klepeis et al., 2001; Centers for Disease, 1994). This may be particularly true for heat-sensitive subpopulations, such as older adults, individuals with disabilities or underlying chronic conditions, or those taking medications that enhance dehydration and heat sensitivity (Benmarhnia et al., 2015; Layton et al., 2020; Balbus et al., 2009). It is also well documented that most heat-related deaths occur when people are at home (Fouillet et al., 2006; Centers for Disease, 1994). Yet, to date, nearly all population health studies of associations between ambient heat and adverse outcomes have estimated exposures using outdoor temperature or humidity values (Hajat and Kosatky, 2010; Zanobetti and O’Neill, 2018), often measured at stationary monitors that are not necessarily located near people’s residential addresses.\nThese current research practices may hamper full understanding of links between high ambient temperatures and population health outcomes. Indeed, the relationship between indoor and outdoor temperature or humidity values is complex, not always linear, and can vary according to season, proximity of a geographic location to the equator, and air conditioning use (Nguyen et al., 2014; Lee and Lee, 2015). In some contexts, indoor and outdoor temperatures have been shown to be strongly correlated, especially when outdoor temperatures are high (Nguyen et al., 2014). However, indoor temperatures have also been found to vary across households, even within the same geographic area (Waugh et al., 2021; White-Newsome et al., 2012; Tamerius et al., 2013). For example, one study, conducted in Greater Boston, Massachusetts, found that summertime indoor temperatures ranged from 10 °C cooler to 10 °C hotter than outdoor temperatures (Nguyen et al., 2014). In Detroit, Michigan, maximum indoor temperatures varied substantially across households, even when restricted to homes with central air conditioning, (White-Newsome et al., 2012). Nevertheless, few population health studies on heat exposure have accounted for intra-household heterogeneity in temperature exposures, potentially leading to biased estimates of association due to exposure misclassification. There is a critical need to improve understanding of links between indoor temperature exposures and health or well-being outcomes in residential settings (Zhang et al., 2019; Wolkoff et al., 2021).\nThe lack of research on links between indoor temperatures and mortality/morbidity outcomes has also resulted in a lack of clarity about safe maximum thresholds for indoor temperatures. Understanding thresholds is critical for informing messaging about thermostat settings, and for establishing regulations for building design and construction to ensure safe indoor environments (Kenny et al., 2019; Larsen et al., 2023; Anderson et al., 2013; Tham et al., 2020). In addition, it has important policy implications. In some cities, there are laws that require landlords to provide adequate heating to support minimum air temperatures during the cold months of the year (Toronto Municipal Code Chapter 497, 2018; Property Club, 2024; City and County of San Francisco, 2022). However, to date, very few jurisdictions have established policies related to indoor climate control during the hot seasons (Merali, 2023; Toronto Municipal Code Chapter 497, 2018; Montgomery County, Maryland: Bill 24–19, 2020; City of Tempe: Thermal environment, 2024; City of Dallas: SEX 27.1). Strong empirical data on optimal upper thresholds for temperature is needed to inform the creation of policies for healthy residential indoor temperatures.\nCurrently, global organizations, including the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) (ASHRAE, 2023) and the Chartered Institution of Building Services Engineers (CIBSE) (CIBSE, 2023) have identified cut points for indoor temperature based on thermal acceptability for most occupants, under simulated environmental and personal factor conditions. These cut points are used to inform thermal conditions in office settings (Wang and Hong, 2020). However, there is a scarcity of temperature cut points specifically tailored for residential settings, or for health outcomes outside of thermal comfort.\nThe objective of this review was to identify peer-reviewed studies of associations of warm indoor temperatures with mortality/morbidity outcomes or thermal comfort. We summarized the observational population health literature that has estimated associations between indoor warm temperatures with health outcomes. We focused on methods utilized to assess indoor temperature exposures, discussed the advantages and disadvantages of these various approaches and considered potential uncertainties and their implications for understanding associations between indoor temperature and health. When available, we also extracted and reported empirically identified maximum indoor temperature thresholds.\n\n\n### Methodology\nWe utilized the Preferred Reporting Items for Systematic Reviews and Meta-analysis (PRISMA) framework (Page et al., 2021) to prepare a protocol for this review. On February 9, 2023, we conducted a search of the following four databases: Web of Science, Global Index Medicus, Ovid Medline, and Embase. Thus, any article that was published and indexed in those databases, as of that date, was eligible for inclusion. Search terms included variations of combinations of words capturing ‘indoor temperature’, ‘morbidity’, or ‘mortality’ outcomes, and ‘thermal comfort’. The specific search terms we used in the corresponding search databases are given in Supplemental Table 1. The initial search generated 1807 total papers from the following search engines: Web of Science (n = 654), Global Index Medicus (n = 82), Ovid Medline (n = 1069), and Embase (n = 2). We used Covidence, a web-based tool that allows collaboration between multiple reviewers, to facilitate the article screening and extraction stages of this review (COVIDENCE, 2023).\nThe abstract/title and full article review process was conducted by five reviewers (JE, LS, AD, WH, EL). Each abstract and article was reviewed in duplicate, meaning that each article was screened by two authors at each stage. Results were compared and, when necessary, discrepancies were discussed and resolved. Following the abstract review stage, full versions of the article texts were reviewed in duplicate to determine if they met the inclusion criteria. Studies were included if the following criteria were satisfied:\nwritten or translated in the English language;included human subjects;warm or hot residential indoor temperatures (either simulated, modeled, or empirically measured) served as a primary explanatory variable;estimated associations with an empirically assessed health, well-being, or thermal comfort outcomes;was an observational study.\nWe excluded papers for the following reasons: there was no health/well-being/thermal comfort outcome; the outcome was simulated; associations were estimated with cold temperatures, exclusively; the study used an experimental design (e.g., laboratory or controlled hospital settings); the study was set in a non-residential setting (e.g., occupational or school settings, aside from residential dormitories); or the study estimated associations with outdoor temperatures, exclusively. Because we were interested in understanding associations across different levels of daily temperature, rather than across consecutive days of extreme heat, and because a primary objective of this review was to identify empirically estimated temperature thresholds, we also excluded studies that estimated associations with heatwaves coded as a categorical variable (i.e., heatwave day versus non-heatwave day), without any comparison of outcomes between different levels of indoor temperature.\nwritten or translated in the English language;\nincluded human subjects;\nwarm or hot residential indoor temperatures (either simulated, modeled, or empirically measured) served as a primary explanatory variable;\nestimated associations with an empirically assessed health, well-being, or thermal comfort outcomes;\nwas an observational study.\nThree authors completed the data extraction stage (JE, LS, and AD), during which the following information was extracted from the papers: bibliographical information (author, year, title), study location (country, city, region), study time period (years, seasons, months), overall objective, primary health or well-being outcome, methods used to ascertain the human health or well-being outcome, population demographics (total number of participants, gender, age, race/ethnicity), indoor temperature metric and the temperature exposure assessment methods used, study design, analytic approach including covariates evaluated, and results (effect estimates for associations, including beta coefficients, odds ratios, risk ratios, etc.). Data extraction was conducted in duplicate.\nWe collected data on indoor temperature thresholds that were derived empirically. We defined empirically ascertained thresholds as those that were identifed analytically as the temperature after which detriments in health and wellbeing outcomes of interest were observed to occur.\nSeveral papers estimated associations with temperature cut-points defined a priori. These cut points were based on one of the following: (1) recommended international guidelines (e.g. ASHRAE), or (2) previously published peer reviewed studies. We extracted these cut points, as well. However, because they were not defined empirically, but rather based on a priori decisions, we describe them as “a priori cut points,” rather than thresholds.\n\n\n### Selection process and inclusion criteria\nThe abstract/title and full article review process was conducted by five reviewers (JE, LS, AD, WH, EL). Each abstract and article was reviewed in duplicate, meaning that each article was screened by two authors at each stage. Results were compared and, when necessary, discrepancies were discussed and resolved. Following the abstract review stage, full versions of the article texts were reviewed in duplicate to determine if they met the inclusion criteria. Studies were included if the following criteria were satisfied:\nwritten or translated in the English language;included human subjects;warm or hot residential indoor temperatures (either simulated, modeled, or empirically measured) served as a primary explanatory variable;estimated associations with an empirically assessed health, well-being, or thermal comfort outcomes;was an observational study.\nWe excluded papers for the following reasons: there was no health/well-being/thermal comfort outcome; the outcome was simulated; associations were estimated with cold temperatures, exclusively; the study used an experimental design (e.g., laboratory or controlled hospital settings); the study was set in a non-residential setting (e.g., occupational or school settings, aside from residential dormitories); or the study estimated associations with outdoor temperatures, exclusively. Because we were interested in understanding associations across different levels of daily temperature, rather than across consecutive days of extreme heat, and because a primary objective of this review was to identify empirically estimated temperature thresholds, we also excluded studies that estimated associations with heatwaves coded as a categorical variable (i.e., heatwave day versus non-heatwave day), without any comparison of outcomes between different levels of indoor temperature.\nwritten or translated in the English language;\nincluded human subjects;\nwarm or hot residential indoor temperatures (either simulated, modeled, or empirically measured) served as a primary explanatory variable;\nestimated associations with an empirically assessed health, well-being, or thermal comfort outcomes;\nwas an observational study.\n\n\n### Data collection\nThree authors completed the data extraction stage (JE, LS, and AD), during which the following information was extracted from the papers: bibliographical information (author, year, title), study location (country, city, region), study time period (years, seasons, months), overall objective, primary health or well-being outcome, methods used to ascertain the human health or well-being outcome, population demographics (total number of participants, gender, age, race/ethnicity), indoor temperature metric and the temperature exposure assessment methods used, study design, analytic approach including covariates evaluated, and results (effect estimates for associations, including beta coefficients, odds ratios, risk ratios, etc.). Data extraction was conducted in duplicate.\n\n\n### Identifying temperatures thresholds\nWe collected data on indoor temperature thresholds that were derived empirically. We defined empirically ascertained thresholds as those that were identifed analytically as the temperature after which detriments in health and wellbeing outcomes of interest were observed to occur.\n\n\n### Identifying a priori temperature cut points\nSeveral papers estimated associations with temperature cut-points defined a priori. These cut points were based on one of the following: (1) recommended international guidelines (e.g. ASHRAE), or (2) previously published peer reviewed studies. We extracted these cut points, as well. However, because they were not defined empirically, but rather based on a priori decisions, we describe them as “a priori cut points,” rather than thresholds.\n\n\n### Results\nThe search, conducted on February 9th, 2023, yielded 1771 studies through the four search engines (Fig. 1). After duplicates were removed, 1672 remained. After reviewing the title and abstracts of 1672 papers, 1613 were excluded. We reviewed the full text of the remaining 59 articles. Of these, we excluded 34 because the study: simulated the health outcome (n = 4), focused on cold temperatures only (n = 8), was experimental (n = 5), estimated associations outside of residential settings (n = 1), estimated associations with outdoor but not indoor temperatures (n = 1), did not estimate associations with a health outcome (n = 12), and estimated associations with heatwaves, defined categorically (n = 4). We identified three additional papers that our search did not identify through review of reference lists, or expert knowledge. In total, 29 papers were retained for full review.\nFig. 2 illustrates the countries represented across the studies. Table 1 provides detailed information on location (city and country), time-period (season), and the objective of the 29 papers included. The earliest publication year was 2007. All continents across the world, except for South America and Antarctica, were represented. North American studies were conducted in Phoenix, Arizona (Ahrentzen et al., 2016); Boston, Massachusetts (Cedeño Laurent et al., 2018); Cambridge, Massachusetts (Williams et al., 2019), Detroit, Michigan (Gronlund et al., 2022); Baltimore, Maryland (McCormack et al., 2016); Houston, Texas (O’Lenick et al., 2020); New York City, New York (Quinn et al., 2017, Uejio et al., 2016); Atlanta, Georgia (Uejio et al., 2022); Montreal and Quebec, Canada (Goldberg et al., 2015); and Quebec, Canada (Teyton et al., 2022). European studies were conducted in Augsburg, Germany (Beckmann et al., 2021); Struttgart, Germany (Lindemann et al., 2017); England, United Kingdom (Sutton-Klein et al., 2021; Vellei et al., 2017); and Arnhem and Groningen, Netherlands (van Loenhout et al., 2016). Asian studies were conducted in Hong Kong, China (Han et al., 2020); Beijing, China (Zhang et al., 2018); various locations in Taiwan (Jung et al., 2020; Jung et al., 2021); Seoul, Korea (Kim et al., 2012); various locations in China (Li et al., 2018), including Xi’an, China (Wei et al., 2022); and Bayannur City, China (Yang et al., 2022); Australian studies were conducted in the Illawarra region, New South Wales (Tartarini et al., 2017) and in the Southern (Hansen et al., 2022) and Northern (Loughan et al., 2015) regions. Lastly, the one African study was conducted in Jimma Town, Ethiopia (Yadeta et al., 2022).\nTable 2 shows the study population and health and mortality outcomes studied. Study populations ranged from small, where there were fewer than 100 participants to large with over 100,000 participants. There were also some midsize studies, with participant numbers ranging from 100 to 800. Many of the studies (40.7 %) estimated associations in populations older than 60 years.\nOutcomes studied can be broken down into the following three categories: physical health (e.g., ‘cardiovascular disease’), mental health and well-being (e.g., self-reported emotional wellness’), and intermediates, defined as outcomes that are on the casual pathway between indoor heat and acute or chronic health outcomes (e.g., trouble sleeping). A majority of the studies estimated associations with physical health outcomes, including the following: general health physical performance, headaches, cramps, oxygen saturation, acute respiratory illness, non-infectious respiratory diseases, lung function, mean hourly hear rate, mean hourly galvanic skin response, distress medical calls for respiratory cases, breathing discomfort, shortness of breath, pulse rate, cardiovascular disease-related emergency department visits, distress medical calls related to cardiovascular cases, circulatory mortality, circulatory hospitalizations, blood pressure, and distress calls related to diabetes. The mental health outcomes studied included emotional distress, anxiety, and depressive symptoms. Lastly, the intermediate outcomes included sleep quality, cognitive function, agitation related dementia, fatigue, subjective heat stress, objective heat stress, thermal comfort, thermal sensation, annoyance by heat at night, and dry mouth.\nIndoor temperature exposure assessment methods included use of data sensors, thermometers, data-driven models, or physics-based models (Table 2). In three papers, exposure assessment methods were not reported (Barnett et al., 2007; McCormack et al., 2016; Zhang et al., 2018).\nThe most commonly used exposure assessment method was calibrated sensors (n = 19). The following temperature sensors were used: HOBO sensors, Elitech RC-5, CCS811 sensor, DS 18B20, TR-72 U, Dwyer 485, HL-1D, ROTRONIC, DS1923 Hygrochron iButton, and TH22R-EX. The frequency with which the temperatures were recorded by sensors varied. The highest frequencies with which indoor temperature were measured were five-, 10-, and 15-min intervals. These high frequency measurements were collected over the course of the summer months in one-year or two-year study periods. Others collected indoor temperatures hourly during the summer months in one- or two-year periods, daily during a three-year period, and every 4 weeks in the summer months of one year. Five papers did not report the frequency with which indoor temperatures were recorded. In two studies, sensors were used to collect temperature measures at a single point in time. Specifically, in a study of associations between indoor heat and paramedic emergency calls for cardiovascular and respiratory events, temperature measurements were collected in the 4 min after the paramedic’s arrival on the scene and 4 min prior to the paramedic’s departure (Uejio et al., 2016). During these times, measures were recorded at two-minute intervals and then averaged together. Similarly, in a study of associations between indoor temperatures and seasonal thermal comfort, indoor temperatures were measured simultaneously, at two-minute intervals, during a survey interview (Wei et al., 2022).\nThe locations at which authors placed the data sensors within residences also varied across studies. Most put sensors in one location, such as a bedroom, living room, or a room specified by the participant as most frequently used. The data sensors were mounted at eye level on a wall unexposed to sun or air conditioning units. In a handful of studies, investigators measured indoor temperatures in multiple locations within the participant’s residence; the goal of using multiple sensors was to account for spatial variability within a large residence. Yang et al. (2022) measured indoor temperatures in the master bedroom and living rooms, placing data sensors at 1.1 m above the ground and away from the doors and windows to eliminate potential outdoor temperature draft. However, if the selected rooms measured between 20 and 50 m2, measurements were taken at two positions. The investigators then assigned the final exposure as the average of the measures collected at the two spatial points.\nIn other studies in which indoor temperatures were measured in multiple locations, investigators did not account for spatial variability, nor did they specify where the sensors were placed. For example, Vellei et al. (2017) stated that they measured indoor temperature in both the living room and kitchen of participants’ households but did not specify the setup of the sensors. These authors, however, implemented a multilevel post-processing of temperature data. This process involved the following: (1) filtering and smoothing indoor temperature data (presented as a time series) to eliminate outliers and errors influenced by nearby appliances; (2) visually inspecting the time series by comparing hourly indoor temperature with hourly metrics for occupant radiator temperatures, outside temperature, solar irradiation, and CO2 concentration to determine if measurements were affected by outside solar radiation, heating sources, or sensor misplacement; and (3) excluding data from sensors that reported <80 % of the time during the study period.\nSome authors provided details about the placement of data sensors. For example, Quinn and Shamman et al. (2017) installed at minimum one sensor at approximately 1.5 m above the ground, on either walls or furniture within the living room. If the home was large (exact measurements were not specified), a second sensor was placed in a bedroom. In addition, van Loenhout et al. (2016) placed data sensors in the living room “at living height” and in bedrooms “at sleeping height” away from any heat and ventilation sources. Lastly, six studies did not indicate the rooms in which the sensors were placed, although in two papers the authors said that they installed monitors away from heat sources (e.g., computer screen, direct solar radiation, etc.) and sources of draft (e.g., air conditioners) (Cedeño Laurent et al., 2018; Williams et al., 2019). In addition, of the six articles that did not specify the rooms in which temperatures were collected, two said that the sensors were positioned 1.1 m above the floor and in rooms in which the residents spent a large portion of their time (Li et al., 2018; Wei et al., 2022) and one (Tartarini et al., 2017) installed sensors at 0.6 m or 1.1 m above the floor to ascertain temperature exposure at chest height and standing height of occupants respectively, where the specific height of the device in each room was selected based on “the most common type of activity and body position of the participant” reported using in the respective room.\nGronlund et al., 2022 used HOBO data sensors to record indoor temperature and humidity levels, and used these measures to calculate the apparent temperature (AT). Lastly, Vellei et al. (2017) used data sensors to describe the difference (dT) between the mean temperature in the occupant room and the ‘comfort temperature’.\nIn three papers, investigators utilized handheld thermometers to measure indoor temperature. Yadeta et al., 2022 measured temperature using the handheld “AcuRite” digital thermometer. The team held the thermometer at a height of 1.1 m above the floor of the living room of each residential building. Measures were taken six times per day at two hour intervals between 8:00 a.m. and 6:00 p.m. Kim et al. (2012) used an electronic hygrothermograph, which is a chart recorder that measures and records both temperature and humidity, to measure indoor temperatures at 15-min intervals during the morning and afternoon, over a nine day period in two different households. Lastly, Sutton-Kline et al. (2021) collected exposure data using a digital thermometer with a probe, placed on a surface in the participant’s household away from a radiator and out of direct sunlight.\nIn three papers, investigators estimated indoor temperatures using predictive models or physics-based simulation methods. Jung et al. (2020) and Jung et al. (2021) used a HOBO sensor to collect hourly measures of indoor temperature over the course of the study in a selected number of houses in various locations in Taiwan. The authors then built models to predict indoor temperatures using the following explanatory variables: outdoor meteorological variables (outdoor temperature, relative humidity, atmospheric pressure, wind speed and direction), land surface temperature (from MOD11A2 from National Aeronautics and Space Administration [NASA], US), the normalized difference vegetation index (NDVI) measure of greenness density (MOD13Q1 from National Aeronautics and Space Administration [NASA], US), building characteristic data (average building age, building structure proportion, floor, and area), and occupant behaviors (smoking, cooking, frequency of opening or closing window/front/back door, burning incense, frequency of cleaning floors, use of air conditioners or fans, and electricity consumption). Data on building characteristics and occupant behaviors were ascertained using surveys. The calculation yielded hourly measures of indoor temperatures that were then used to calculate cumulative degree hours for the study period (May to October).\nO’Lenick et al. (2020) simulated indoor temperatures in Houston, Texas using EnergyPlus, which is a validated, whole-building energy simulation program developed by the U.S. Department of Energy. EnergyPlus uses physics-based equations to calculate thermal loads in different climate zones and the inputs for the simulation are typically outdoor conditions, occupant behavior, and heat and mass transfer between indoors and outdoors (EnergyPlus, 2023). EnergyPlus models were parameterized based on half- hourly measures of both indoor and outdoor environmental conditions such as temperature, humidity, and carbon dioxide which were gathered at the home of participants during one year of summer months of the total 15-year study period. The authors validated the EnergyPlus for residential buildings by comparing the model’s output with measured indoor parameters of four homes in the study location, and found that the simulated models predicted indoor temperatures with a root-mean square deviation (RMSE) of 0.4 °C,0.4 °C,0.5 °C, and 0.6 °C in the select homes.\nFig. 3 shows the counts of participants (represented on the log scale) by different indoor temperature assessment methods used across the papers. Studies that used data driven models had a sample of participants that ranged 30 from 260,465, studies using thermometers had a sample of participants that ranged from 20 to 74,736, studies using EnergyPlus models had a sample of participants of 32,043, and studies that used data sensors had a sample of participants that ranged from 18 to 16,458.\nDetails on statistical methods and covariates can be found in Table 2. Thirteen studies used a panel or repeated measures design, ten studies were cross-sectional, four used a time stratified case crossover design, and two were case control studies. Statistical analysis methods varied, and included logistic, linear, generalized estimating equations, and Poisson regression models. Not all analyses adjusted for covariates. Among those that did, covariate adjustment sets varied according to the study design and research question. Common covariates included demographic characteristics (e.g., age, sex or gender); environmental conditions (e.g., outdoor air pollutant concentrations such as fine particulate matter or ozone, or precipitation); and behavioral factors (e.g., hydration, caffeine intake, smoking). Other studies accounted for housing characteristics (e.g., floor level of the apartment) and health conditions (e.g., presence of underlying chronic conditions) or temporal factors (e.g., day of the week, major holidays).\nAuthors parameterized indoor temperature within their analysis in a variety of ways. The majority of studies (n = 18) parameterized indoor temperature as a continuous variable. Some, but not all papers accounted for non-linear associations between indoor temperature and outcome variables. For example, Gronlund et al. (2022) modeled indoor temperature using a piecewise linear spline with one inflection point (knot) at the median AT of 22 °C in the exposure dimension and a natural cubic spline with one knot. Jung et al. (2020) and Jung et al. (2021) measured indoor temperatures continuously but only estimated associations with the cumulative hours spent in temperatures that ranged from 27 °C to 31 °C.\nThe remaining studies parameterized indoor temperatures as either a binary (N = 4) or categorical (N = 4) variable. Specifically, for authors that used binary cutoffs, cut points were as follows: 27.2 °C (Ahrentzen et al., 2016), 24.9 °C (Beckmann et al., 2021), 28 °C (Hansen et al., 2022) and 18 °C (Sutton-Klein et al., 2021).\nFour studies parameterized indoor temperatures categorically. Lindmann et al. (2017) utilized multilevel linear regression models in a repeated measures panel study design and categorized indoor temperature into 5 bins (<22 °C, 22–23.9 °C, 24–25.9 °C, 26–27.9 °C, >27.9 °C). Teyton et al. (2022) utilized generalized estimating equations and a cohort study design and categorized indoor temperature in terciles (T2 (28–30 °C) and T3 (30–33 °C) relative to T1 (18–22 °C). Similarly, Cedeño Laurent et al. (2018) utilized a repeated measures design with generalized estimated equations and categorized indoor temperature based on quartiles; however, the exact distribution was not specified. Lastly, Uejio et al. (2016) categorized indoor temperature corresponding to the ~73rd, 83rd, and 88th percentiles of the distribution for heat index (≥25, 26, and 27 °C respectively).\nFig. 4 shows the main findings by category of outcome (physical outcomes, intermediate outcomes, and mental health outcomes). Physical outcomes were categorized into three subcategories (worsened general health, cardiovascular distress, and respiratory distress), intermediate outcomes were categorized into 4 subcategories (poor sleep, lower cognitive function, heat stress, and thermal discomfort), while mental health outcomes were categorized into 2 subcategories (emotional health and depression/anxiety). Supplemental Table 2 shows the health outcomes in each subcategory.\nOverall, results from across the papers suggest that warmer indoor temperatures are associated with decrements in a variety of physical health, mental health, and intermediate outcomes that facilitate well-being– across different study populations and settings. In most studies, warmer indoor temperatures were linked with poor outcomes, including reduced cognitive function, perceived heat stress, shortness of breath, thermal discomfort, respiratory illness. A handful of papers found that systolic blood pressure decreased in association with warmer indoor temperatures (Barnett et al., 2007; Goldberg et al., 2015; Kim et al., 2012). However, contrary to a priori hypotheses, Gronlund et al. found that warmer indoor apparent temperatures were associated with improved, rather than reduced, cognitive performance, and that warmer nighttime temperatures were associated with less daytime sleepiness (2022). While Uejio et al. reported higher odds of distress calls for respiratory outcomes in association with warm indoor temperatures, associations with distress calls for cardiovascular outcomes were null (2016).\nSome, but not all papers, explored heterogeneity of associations between indoor temperature and outcomes. The following factors were explored as modifiers: sex (Jung et al., 2020; Jung et al., 2021), age (Jung et al., 2020), urban/rural location (Li et al., 2018), initial physical ability (gait speed) (Lindemann et al., 2017), and untreated versus treated hypertension (Kim et al., 2012). Others evaluated differences according to categories of outdoor temperature (Sutton-Klein et al., 2021) season (Wei et al., 2022), or air pollution levels (McCormack et al., 2016). One paper evaluated effect modification by the following census block level compositional measures: racial composition, proportion living below the poverty line, and proportion living alone (O’Lenick et al., 2020).\nFor example, Jung et al. (2020) found that associations between indoor temperature and emergency department visits for cardiovascular disease were more substantial among men than women, and for those aged 85 and older versus younger individuals. Jung et al. (2021) found that associations of warmer indoor temperatures (measured as the cumulative number of hours during the cooling season that were higher than a threshold temperature) were associated with modestly higher risk of emergency department visits for infectious and non-infectious respiratory diseases in women than in men. More details on the results of each of the included studies can be found in Supplemental Table 3.\nIn four papers, investigators used a temperature cut point that was specified, a priori, based on established standards (Table 3). Ahrentzen et al. (2016) utilized the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) standards (ASHRAE, 2023). Specifically, the authors measured how sleep, emotional health, general health, and thermal comfort were affected when indoor temperatures exceeded the ASHRAE standard of 27.2 °C in older people (ages 62–92, n = 57) living in Arizonia. These authors found that when following up on a cohort, individuals that lived in temperatures that were maintained below the a priori threshold corresponded with improvements in occupants’ reported sleep, emotional health, and general health but not for their perception of thermal comfort. Another study utilized a cut point established by the Chartered Institution of Building Services Engineers (CIBSE) (CIBSE, 2023). Specifically, Beckmann et al. (2021) measured how subjective heat stress during sleep of individuals of all ages (n = 427) living in Germany was affected when temperatures within participant’s bedrooms exceeded 24 °C and found significant difference in increased subjective heat stress among individuals living in temperatures above the a priori threshold. Tartarini et al. (2017) used cut points based on International Organization for Standardization to measure associations between dementia related agitation and dementia related disruptiveness at temperatures outside a range of 20 °C to 26 °C for 325 older participants in New South Wales, Australia, and found that cumulative exposure to temperatures warmer than 26 °C were linearly correlated with dementia related health outcomes (Tartarini et al., 2017). Lastly, one study did not rely on established guidelines but implemented cut points based on previous peer reviewed literature. Specifically, Gronlund et al. in 2021 utilized a threshold of 22 °C because the authors hypothesized that their outcomes (cognitive function and sleepiness) would increase with increasing temperatures above 22 °C, based on prior literature. In line with their hypothesis these researchers found that sleepiness scores decreased when nighttime indoor temperatures conditions remained below 22 °C.\nFourteen papers empirically quantified a temperature threshold, which we define as the temperature after which risk or rates of the adverse health outcome of interest began to change (i.e., increase or decrease depending on the outcome). Of the fourteen papers, seven estimated thresholds for subjective thermal comfort (thermal sensation vote, thermal comfort, thermal acceptance, and thermal preference). In four papers, investigators identified thresholds for thermal sensation which is a subjective evaluation and represents sensation of thermal comfort in a given environment. First, Wei et al. (2022) studied adults of all ages (n = 526–609) in different Chinese cities. The authors observed declines in thermal sensation vote after indoor temperatures reached 17.9 °C in the spring and 26.1 °C in the summer. Yadeta et al. (2022) studied adults of all ages (n = 430) in Ethiopia. The authors observed declines in thermal sensation after indoor temperatures reached 20.4 °C. Yang et al. (2022) studied adults of all ages (n = 141) in China and observed declines in thermal comfort after indoor temperatures reached 24.8 °C in the city, 20.4 °C in towns, and 18.2 °C in rural areas. Lastly, Zhang et al. (2018) studied university students (n = 24) in Bejing China and observed that acceptable temperature ranges for thermal sensation vote was between 22.2 and 28.8 °C while students were asleep and between 21.1 and 27.3 °C while students remained awake in their dorm rooms.\nTwo papers estimated thresholds after which thermal comfort, which is a subjective assessment of how comfortable people feel with the temperature, declined. First, Hansen et al. (2022) studied older adults, ages 61–98 years old (n = 303) in Australia. They observed declines in thermal comfort after indoor temperatures reached 28 °C. Loughnan et al. (2015) studied adults ages 55 years and older (n = 26) in Australia and observed declines in thermal comfort after temperatures reached 26.6 °C.\nThermal acceptance is a subjective assessment of whether the temperatures are within a range that one finds acceptable and conducive to well-being and activities. Wei et al. (2022) found that the acceptable temperature range for 90 % of their study population (adults in different Chinese cities) was between 19.2 °C and 27.0 °C. These same authors also observed thermal preference, which reflects the degrees of satisfaction concerning the current thermal environment and found that the preference declined with temperatures warmer than 23.2 °C and 25.6 °C for spring and summer respectively.\nSeven other papers quantified maximum thresholds for the following outcomes: sleep and cognition, agitation, health/welling, physical performance, distress calls for respiratory illness, diabetes, and cardiovascular calls, mean hourly heart rate, mean hourly galvanic skin response to heat, and various intermediate health outcomes including trouble sleeping, urination frequency, thirst, and dry mouth. Specifically, Cedeño aurent et al. (2018) identified 22 °C as the threshold after which reports of poor sleep and reduced cognitive function began to increase, in individuals aged 18 to 29 years (n = 44) in Boston, MA, USA. Tartarini et al., in 2017 identified 22.6 °C as a temperature that would increase agitation in an older population aged >60 years and who suffered from dementia, in New South Wales Australia. Additionally, Uejio et al. (2022) identified 21.1 °C and 24.6 °C as the temperatures after which the odds of emergency calls for diabetes and respiratory distress were higher than controls, respectively, among adults living in Atlanta, Georgia (median age:57). Uejio et al. (2016) identified 26 °C as the temperatures after which the odds of emergency calls for cardiovascular distress were higher than controls among adults living in New York city (median age:52).\nLindemann et al. (2017) identified 27.9 °C as the indoor temperature after which there was evidence of decreased physical performance in adults aged 60 years and older (n = 81) in Stuttgart, Germany. Hansen et al., in 2022 studied older adults, ages 61–98 years old (n = 303) in Australia, and observed declines in perceived health with temperatures above 24.3 °C. Additionally, William et al. (2019) reported findings indicating that increasingly warm indoor temperatures could affect physiological markers in a small sample of older adults (n = 51, mean age 65 years) living in Cambridge, Massachusetts. Specifically, temperatures above 24 °C were associated with changes in mean hourly heart rate and galvanic skin response (Williams et al., 2019). Lastly, Teyton et al., in 2022 studied an older population, aged >60 years, in Canada and observed temperature thresholds in several poor health outcomes, such as trouble sleeping, less urination, thirst, and dry mouth at 20 °C, 22 °C, 18 °C, and 24 °C respectively.\n\n\n### Papers identified and included\nThe search, conducted on February 9th, 2023, yielded 1771 studies through the four search engines (Fig. 1). After duplicates were removed, 1672 remained. After reviewing the title and abstracts of 1672 papers, 1613 were excluded. We reviewed the full text of the remaining 59 articles. Of these, we excluded 34 because the study: simulated the health outcome (n = 4), focused on cold temperatures only (n = 8), was experimental (n = 5), estimated associations outside of residential settings (n = 1), estimated associations with outdoor but not indoor temperatures (n = 1), did not estimate associations with a health outcome (n = 12), and estimated associations with heatwaves, defined categorically (n = 4). We identified three additional papers that our search did not identify through review of reference lists, or expert knowledge. In total, 29 papers were retained for full review.\n\n\n### Study locations and associated climate zones\nFig. 2 illustrates the countries represented across the studies. Table 1 provides detailed information on location (city and country), time-period (season), and the objective of the 29 papers included. The earliest publication year was 2007. All continents across the world, except for South America and Antarctica, were represented. North American studies were conducted in Phoenix, Arizona (Ahrentzen et al., 2016); Boston, Massachusetts (Cedeño Laurent et al., 2018); Cambridge, Massachusetts (Williams et al., 2019), Detroit, Michigan (Gronlund et al., 2022); Baltimore, Maryland (McCormack et al., 2016); Houston, Texas (O’Lenick et al., 2020); New York City, New York (Quinn et al., 2017, Uejio et al., 2016); Atlanta, Georgia (Uejio et al., 2022); Montreal and Quebec, Canada (Goldberg et al., 2015); and Quebec, Canada (Teyton et al., 2022). European studies were conducted in Augsburg, Germany (Beckmann et al., 2021); Struttgart, Germany (Lindemann et al., 2017); England, United Kingdom (Sutton-Klein et al., 2021; Vellei et al., 2017); and Arnhem and Groningen, Netherlands (van Loenhout et al., 2016). Asian studies were conducted in Hong Kong, China (Han et al., 2020); Beijing, China (Zhang et al., 2018); various locations in Taiwan (Jung et al., 2020; Jung et al., 2021); Seoul, Korea (Kim et al., 2012); various locations in China (Li et al., 2018), including Xi’an, China (Wei et al., 2022); and Bayannur City, China (Yang et al., 2022); Australian studies were conducted in the Illawarra region, New South Wales (Tartarini et al., 2017) and in the Southern (Hansen et al., 2022) and Northern (Loughan et al., 2015) regions. Lastly, the one African study was conducted in Jimma Town, Ethiopia (Yadeta et al., 2022).\n\n\n### Study populations and common health outcomes\nTable 2 shows the study population and health and mortality outcomes studied. Study populations ranged from small, where there were fewer than 100 participants to large with over 100,000 participants. There were also some midsize studies, with participant numbers ranging from 100 to 800. Many of the studies (40.7 %) estimated associations in populations older than 60 years.\nOutcomes studied can be broken down into the following three categories: physical health (e.g., ‘cardiovascular disease’), mental health and well-being (e.g., self-reported emotional wellness’), and intermediates, defined as outcomes that are on the casual pathway between indoor heat and acute or chronic health outcomes (e.g., trouble sleeping). A majority of the studies estimated associations with physical health outcomes, including the following: general health physical performance, headaches, cramps, oxygen saturation, acute respiratory illness, non-infectious respiratory diseases, lung function, mean hourly hear rate, mean hourly galvanic skin response, distress medical calls for respiratory cases, breathing discomfort, shortness of breath, pulse rate, cardiovascular disease-related emergency department visits, distress medical calls related to cardiovascular cases, circulatory mortality, circulatory hospitalizations, blood pressure, and distress calls related to diabetes. The mental health outcomes studied included emotional distress, anxiety, and depressive symptoms. Lastly, the intermediate outcomes included sleep quality, cognitive function, agitation related dementia, fatigue, subjective heat stress, objective heat stress, thermal comfort, thermal sensation, annoyance by heat at night, and dry mouth.\n\n\n### Methods used to assess indoor temperature exposures\nIndoor temperature exposure assessment methods included use of data sensors, thermometers, data-driven models, or physics-based models (Table 2). In three papers, exposure assessment methods were not reported (Barnett et al., 2007; McCormack et al., 2016; Zhang et al., 2018).\nThe most commonly used exposure assessment method was calibrated sensors (n = 19). The following temperature sensors were used: HOBO sensors, Elitech RC-5, CCS811 sensor, DS 18B20, TR-72 U, Dwyer 485, HL-1D, ROTRONIC, DS1923 Hygrochron iButton, and TH22R-EX. The frequency with which the temperatures were recorded by sensors varied. The highest frequencies with which indoor temperature were measured were five-, 10-, and 15-min intervals. These high frequency measurements were collected over the course of the summer months in one-year or two-year study periods. Others collected indoor temperatures hourly during the summer months in one- or two-year periods, daily during a three-year period, and every 4 weeks in the summer months of one year. Five papers did not report the frequency with which indoor temperatures were recorded. In two studies, sensors were used to collect temperature measures at a single point in time. Specifically, in a study of associations between indoor heat and paramedic emergency calls for cardiovascular and respiratory events, temperature measurements were collected in the 4 min after the paramedic’s arrival on the scene and 4 min prior to the paramedic’s departure (Uejio et al., 2016). During these times, measures were recorded at two-minute intervals and then averaged together. Similarly, in a study of associations between indoor temperatures and seasonal thermal comfort, indoor temperatures were measured simultaneously, at two-minute intervals, during a survey interview (Wei et al., 2022).\nThe locations at which authors placed the data sensors within residences also varied across studies. Most put sensors in one location, such as a bedroom, living room, or a room specified by the participant as most frequently used. The data sensors were mounted at eye level on a wall unexposed to sun or air conditioning units. In a handful of studies, investigators measured indoor temperatures in multiple locations within the participant’s residence; the goal of using multiple sensors was to account for spatial variability within a large residence. Yang et al. (2022) measured indoor temperatures in the master bedroom and living rooms, placing data sensors at 1.1 m above the ground and away from the doors and windows to eliminate potential outdoor temperature draft. However, if the selected rooms measured between 20 and 50 m2, measurements were taken at two positions. The investigators then assigned the final exposure as the average of the measures collected at the two spatial points.\nIn other studies in which indoor temperatures were measured in multiple locations, investigators did not account for spatial variability, nor did they specify where the sensors were placed. For example, Vellei et al. (2017) stated that they measured indoor temperature in both the living room and kitchen of participants’ households but did not specify the setup of the sensors. These authors, however, implemented a multilevel post-processing of temperature data. This process involved the following: (1) filtering and smoothing indoor temperature data (presented as a time series) to eliminate outliers and errors influenced by nearby appliances; (2) visually inspecting the time series by comparing hourly indoor temperature with hourly metrics for occupant radiator temperatures, outside temperature, solar irradiation, and CO2 concentration to determine if measurements were affected by outside solar radiation, heating sources, or sensor misplacement; and (3) excluding data from sensors that reported <80 % of the time during the study period.\nSome authors provided details about the placement of data sensors. For example, Quinn and Shamman et al. (2017) installed at minimum one sensor at approximately 1.5 m above the ground, on either walls or furniture within the living room. If the home was large (exact measurements were not specified), a second sensor was placed in a bedroom. In addition, van Loenhout et al. (2016) placed data sensors in the living room “at living height” and in bedrooms “at sleeping height” away from any heat and ventilation sources. Lastly, six studies did not indicate the rooms in which the sensors were placed, although in two papers the authors said that they installed monitors away from heat sources (e.g., computer screen, direct solar radiation, etc.) and sources of draft (e.g., air conditioners) (Cedeño Laurent et al., 2018; Williams et al., 2019). In addition, of the six articles that did not specify the rooms in which temperatures were collected, two said that the sensors were positioned 1.1 m above the floor and in rooms in which the residents spent a large portion of their time (Li et al., 2018; Wei et al., 2022) and one (Tartarini et al., 2017) installed sensors at 0.6 m or 1.1 m above the floor to ascertain temperature exposure at chest height and standing height of occupants respectively, where the specific height of the device in each room was selected based on “the most common type of activity and body position of the participant” reported using in the respective room.\nGronlund et al., 2022 used HOBO data sensors to record indoor temperature and humidity levels, and used these measures to calculate the apparent temperature (AT). Lastly, Vellei et al. (2017) used data sensors to describe the difference (dT) between the mean temperature in the occupant room and the ‘comfort temperature’.\nIn three papers, investigators utilized handheld thermometers to measure indoor temperature. Yadeta et al., 2022 measured temperature using the handheld “AcuRite” digital thermometer. The team held the thermometer at a height of 1.1 m above the floor of the living room of each residential building. Measures were taken six times per day at two hour intervals between 8:00 a.m. and 6:00 p.m. Kim et al. (2012) used an electronic hygrothermograph, which is a chart recorder that measures and records both temperature and humidity, to measure indoor temperatures at 15-min intervals during the morning and afternoon, over a nine day period in two different households. Lastly, Sutton-Kline et al. (2021) collected exposure data using a digital thermometer with a probe, placed on a surface in the participant’s household away from a radiator and out of direct sunlight.\nIn three papers, investigators estimated indoor temperatures using predictive models or physics-based simulation methods. Jung et al. (2020) and Jung et al. (2021) used a HOBO sensor to collect hourly measures of indoor temperature over the course of the study in a selected number of houses in various locations in Taiwan. The authors then built models to predict indoor temperatures using the following explanatory variables: outdoor meteorological variables (outdoor temperature, relative humidity, atmospheric pressure, wind speed and direction), land surface temperature (from MOD11A2 from National Aeronautics and Space Administration [NASA], US), the normalized difference vegetation index (NDVI) measure of greenness density (MOD13Q1 from National Aeronautics and Space Administration [NASA], US), building characteristic data (average building age, building structure proportion, floor, and area), and occupant behaviors (smoking, cooking, frequency of opening or closing window/front/back door, burning incense, frequency of cleaning floors, use of air conditioners or fans, and electricity consumption). Data on building characteristics and occupant behaviors were ascertained using surveys. The calculation yielded hourly measures of indoor temperatures that were then used to calculate cumulative degree hours for the study period (May to October).\nO’Lenick et al. (2020) simulated indoor temperatures in Houston, Texas using EnergyPlus, which is a validated, whole-building energy simulation program developed by the U.S. Department of Energy. EnergyPlus uses physics-based equations to calculate thermal loads in different climate zones and the inputs for the simulation are typically outdoor conditions, occupant behavior, and heat and mass transfer between indoors and outdoors (EnergyPlus, 2023). EnergyPlus models were parameterized based on half- hourly measures of both indoor and outdoor environmental conditions such as temperature, humidity, and carbon dioxide which were gathered at the home of participants during one year of summer months of the total 15-year study period. The authors validated the EnergyPlus for residential buildings by comparing the model’s output with measured indoor parameters of four homes in the study location, and found that the simulated models predicted indoor temperatures with a root-mean square deviation (RMSE) of 0.4 °C,0.4 °C,0.5 °C, and 0.6 °C in the select homes.\nFig. 3 shows the counts of participants (represented on the log scale) by different indoor temperature assessment methods used across the papers. Studies that used data driven models had a sample of participants that ranged 30 from 260,465, studies using thermometers had a sample of participants that ranged from 20 to 74,736, studies using EnergyPlus models had a sample of participants of 32,043, and studies that used data sensors had a sample of participants that ranged from 18 to 16,458.\n\n\n### Sensors\nThe most commonly used exposure assessment method was calibrated sensors (n = 19). The following temperature sensors were used: HOBO sensors, Elitech RC-5, CCS811 sensor, DS 18B20, TR-72 U, Dwyer 485, HL-1D, ROTRONIC, DS1923 Hygrochron iButton, and TH22R-EX. The frequency with which the temperatures were recorded by sensors varied. The highest frequencies with which indoor temperature were measured were five-, 10-, and 15-min intervals. These high frequency measurements were collected over the course of the summer months in one-year or two-year study periods. Others collected indoor temperatures hourly during the summer months in one- or two-year periods, daily during a three-year period, and every 4 weeks in the summer months of one year. Five papers did not report the frequency with which indoor temperatures were recorded. In two studies, sensors were used to collect temperature measures at a single point in time. Specifically, in a study of associations between indoor heat and paramedic emergency calls for cardiovascular and respiratory events, temperature measurements were collected in the 4 min after the paramedic’s arrival on the scene and 4 min prior to the paramedic’s departure (Uejio et al., 2016). During these times, measures were recorded at two-minute intervals and then averaged together. Similarly, in a study of associations between indoor temperatures and seasonal thermal comfort, indoor temperatures were measured simultaneously, at two-minute intervals, during a survey interview (Wei et al., 2022).\nThe locations at which authors placed the data sensors within residences also varied across studies. Most put sensors in one location, such as a bedroom, living room, or a room specified by the participant as most frequently used. The data sensors were mounted at eye level on a wall unexposed to sun or air conditioning units. In a handful of studies, investigators measured indoor temperatures in multiple locations within the participant’s residence; the goal of using multiple sensors was to account for spatial variability within a large residence. Yang et al. (2022) measured indoor temperatures in the master bedroom and living rooms, placing data sensors at 1.1 m above the ground and away from the doors and windows to eliminate potential outdoor temperature draft. However, if the selected rooms measured between 20 and 50 m2, measurements were taken at two positions. The investigators then assigned the final exposure as the average of the measures collected at the two spatial points.\nIn other studies in which indoor temperatures were measured in multiple locations, investigators did not account for spatial variability, nor did they specify where the sensors were placed. For example, Vellei et al. (2017) stated that they measured indoor temperature in both the living room and kitchen of participants’ households but did not specify the setup of the sensors. These authors, however, implemented a multilevel post-processing of temperature data. This process involved the following: (1) filtering and smoothing indoor temperature data (presented as a time series) to eliminate outliers and errors influenced by nearby appliances; (2) visually inspecting the time series by comparing hourly indoor temperature with hourly metrics for occupant radiator temperatures, outside temperature, solar irradiation, and CO2 concentration to determine if measurements were affected by outside solar radiation, heating sources, or sensor misplacement; and (3) excluding data from sensors that reported <80 % of the time during the study period.\nSome authors provided details about the placement of data sensors. For example, Quinn and Shamman et al. (2017) installed at minimum one sensor at approximately 1.5 m above the ground, on either walls or furniture within the living room. If the home was large (exact measurements were not specified), a second sensor was placed in a bedroom. In addition, van Loenhout et al. (2016) placed data sensors in the living room “at living height” and in bedrooms “at sleeping height” away from any heat and ventilation sources. Lastly, six studies did not indicate the rooms in which the sensors were placed, although in two papers the authors said that they installed monitors away from heat sources (e.g., computer screen, direct solar radiation, etc.) and sources of draft (e.g., air conditioners) (Cedeño Laurent et al., 2018; Williams et al., 2019). In addition, of the six articles that did not specify the rooms in which temperatures were collected, two said that the sensors were positioned 1.1 m above the floor and in rooms in which the residents spent a large portion of their time (Li et al., 2018; Wei et al., 2022) and one (Tartarini et al., 2017) installed sensors at 0.6 m or 1.1 m above the floor to ascertain temperature exposure at chest height and standing height of occupants respectively, where the specific height of the device in each room was selected based on “the most common type of activity and body position of the participant” reported using in the respective room.\nGronlund et al., 2022 used HOBO data sensors to record indoor temperature and humidity levels, and used these measures to calculate the apparent temperature (AT). Lastly, Vellei et al. (2017) used data sensors to describe the difference (dT) between the mean temperature in the occupant room and the ‘comfort temperature’.\n\n\n### Thermometers\nIn three papers, investigators utilized handheld thermometers to measure indoor temperature. Yadeta et al., 2022 measured temperature using the handheld “AcuRite” digital thermometer. The team held the thermometer at a height of 1.1 m above the floor of the living room of each residential building. Measures were taken six times per day at two hour intervals between 8:00 a.m. and 6:00 p.m. Kim et al. (2012) used an electronic hygrothermograph, which is a chart recorder that measures and records both temperature and humidity, to measure indoor temperatures at 15-min intervals during the morning and afternoon, over a nine day period in two different households. Lastly, Sutton-Kline et al. (2021) collected exposure data using a digital thermometer with a probe, placed on a surface in the participant’s household away from a radiator and out of direct sunlight.\n\n\n### Data driven and/or physics-based modeling (mathematical equations and/or EnergyPlus simulations)\nIn three papers, investigators estimated indoor temperatures using predictive models or physics-based simulation methods. Jung et al. (2020) and Jung et al. (2021) used a HOBO sensor to collect hourly measures of indoor temperature over the course of the study in a selected number of houses in various locations in Taiwan. The authors then built models to predict indoor temperatures using the following explanatory variables: outdoor meteorological variables (outdoor temperature, relative humidity, atmospheric pressure, wind speed and direction), land surface temperature (from MOD11A2 from National Aeronautics and Space Administration [NASA], US), the normalized difference vegetation index (NDVI) measure of greenness density (MOD13Q1 from National Aeronautics and Space Administration [NASA], US), building characteristic data (average building age, building structure proportion, floor, and area), and occupant behaviors (smoking, cooking, frequency of opening or closing window/front/back door, burning incense, frequency of cleaning floors, use of air conditioners or fans, and electricity consumption). Data on building characteristics and occupant behaviors were ascertained using surveys. The calculation yielded hourly measures of indoor temperatures that were then used to calculate cumulative degree hours for the study period (May to October).\nO’Lenick et al. (2020) simulated indoor temperatures in Houston, Texas using EnergyPlus, which is a validated, whole-building energy simulation program developed by the U.S. Department of Energy. EnergyPlus uses physics-based equations to calculate thermal loads in different climate zones and the inputs for the simulation are typically outdoor conditions, occupant behavior, and heat and mass transfer between indoors and outdoors (EnergyPlus, 2023). EnergyPlus models were parameterized based on half- hourly measures of both indoor and outdoor environmental conditions such as temperature, humidity, and carbon dioxide which were gathered at the home of participants during one year of summer months of the total 15-year study period. The authors validated the EnergyPlus for residential buildings by comparing the model’s output with measured indoor parameters of four homes in the study location, and found that the simulated models predicted indoor temperatures with a root-mean square deviation (RMSE) of 0.4 °C,0.4 °C,0.5 °C, and 0.6 °C in the select homes.\n\n\n### Number of participants included in the analysis of temperature-outcomes associations by assessment method\nFig. 3 shows the counts of participants (represented on the log scale) by different indoor temperature assessment methods used across the papers. Studies that used data driven models had a sample of participants that ranged 30 from 260,465, studies using thermometers had a sample of participants that ranged from 20 to 74,736, studies using EnergyPlus models had a sample of participants of 32,043, and studies that used data sensors had a sample of participants that ranged from 18 to 16,458.\n\n\n### Study design, statistical methods and parameterization of indoor temperature\nDetails on statistical methods and covariates can be found in Table 2. Thirteen studies used a panel or repeated measures design, ten studies were cross-sectional, four used a time stratified case crossover design, and two were case control studies. Statistical analysis methods varied, and included logistic, linear, generalized estimating equations, and Poisson regression models. Not all analyses adjusted for covariates. Among those that did, covariate adjustment sets varied according to the study design and research question. Common covariates included demographic characteristics (e.g., age, sex or gender); environmental conditions (e.g., outdoor air pollutant concentrations such as fine particulate matter or ozone, or precipitation); and behavioral factors (e.g., hydration, caffeine intake, smoking). Other studies accounted for housing characteristics (e.g., floor level of the apartment) and health conditions (e.g., presence of underlying chronic conditions) or temporal factors (e.g., day of the week, major holidays).\nAuthors parameterized indoor temperature within their analysis in a variety of ways. The majority of studies (n = 18) parameterized indoor temperature as a continuous variable. Some, but not all papers accounted for non-linear associations between indoor temperature and outcome variables. For example, Gronlund et al. (2022) modeled indoor temperature using a piecewise linear spline with one inflection point (knot) at the median AT of 22 °C in the exposure dimension and a natural cubic spline with one knot. Jung et al. (2020) and Jung et al. (2021) measured indoor temperatures continuously but only estimated associations with the cumulative hours spent in temperatures that ranged from 27 °C to 31 °C.\nThe remaining studies parameterized indoor temperatures as either a binary (N = 4) or categorical (N = 4) variable. Specifically, for authors that used binary cutoffs, cut points were as follows: 27.2 °C (Ahrentzen et al., 2016), 24.9 °C (Beckmann et al., 2021), 28 °C (Hansen et al., 2022) and 18 °C (Sutton-Klein et al., 2021).\nFour studies parameterized indoor temperatures categorically. Lindmann et al. (2017) utilized multilevel linear regression models in a repeated measures panel study design and categorized indoor temperature into 5 bins (<22 °C, 22–23.9 °C, 24–25.9 °C, 26–27.9 °C, >27.9 °C). Teyton et al. (2022) utilized generalized estimating equations and a cohort study design and categorized indoor temperature in terciles (T2 (28–30 °C) and T3 (30–33 °C) relative to T1 (18–22 °C). Similarly, Cedeño Laurent et al. (2018) utilized a repeated measures design with generalized estimated equations and categorized indoor temperature based on quartiles; however, the exact distribution was not specified. Lastly, Uejio et al. (2016) categorized indoor temperature corresponding to the ~73rd, 83rd, and 88th percentiles of the distribution for heat index (≥25, 26, and 27 °C respectively).\n\n\n### Summary of findings across included papers\nFig. 4 shows the main findings by category of outcome (physical outcomes, intermediate outcomes, and mental health outcomes). Physical outcomes were categorized into three subcategories (worsened general health, cardiovascular distress, and respiratory distress), intermediate outcomes were categorized into 4 subcategories (poor sleep, lower cognitive function, heat stress, and thermal discomfort), while mental health outcomes were categorized into 2 subcategories (emotional health and depression/anxiety). Supplemental Table 2 shows the health outcomes in each subcategory.\nOverall, results from across the papers suggest that warmer indoor temperatures are associated with decrements in a variety of physical health, mental health, and intermediate outcomes that facilitate well-being– across different study populations and settings. In most studies, warmer indoor temperatures were linked with poor outcomes, including reduced cognitive function, perceived heat stress, shortness of breath, thermal discomfort, respiratory illness. A handful of papers found that systolic blood pressure decreased in association with warmer indoor temperatures (Barnett et al., 2007; Goldberg et al., 2015; Kim et al., 2012). However, contrary to a priori hypotheses, Gronlund et al. found that warmer indoor apparent temperatures were associated with improved, rather than reduced, cognitive performance, and that warmer nighttime temperatures were associated with less daytime sleepiness (2022). While Uejio et al. reported higher odds of distress calls for respiratory outcomes in association with warm indoor temperatures, associations with distress calls for cardiovascular outcomes were null (2016).\nSome, but not all papers, explored heterogeneity of associations between indoor temperature and outcomes. The following factors were explored as modifiers: sex (Jung et al., 2020; Jung et al., 2021), age (Jung et al., 2020), urban/rural location (Li et al., 2018), initial physical ability (gait speed) (Lindemann et al., 2017), and untreated versus treated hypertension (Kim et al., 2012). Others evaluated differences according to categories of outdoor temperature (Sutton-Klein et al., 2021) season (Wei et al., 2022), or air pollution levels (McCormack et al., 2016). One paper evaluated effect modification by the following census block level compositional measures: racial composition, proportion living below the poverty line, and proportion living alone (O’Lenick et al., 2020).\nFor example, Jung et al. (2020) found that associations between indoor temperature and emergency department visits for cardiovascular disease were more substantial among men than women, and for those aged 85 and older versus younger individuals. Jung et al. (2021) found that associations of warmer indoor temperatures (measured as the cumulative number of hours during the cooling season that were higher than a threshold temperature) were associated with modestly higher risk of emergency department visits for infectious and non-infectious respiratory diseases in women than in men. More details on the results of each of the included studies can be found in Supplemental Table 3.\nIn four papers, investigators used a temperature cut point that was specified, a priori, based on established standards (Table 3). Ahrentzen et al. (2016) utilized the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) standards (ASHRAE, 2023). Specifically, the authors measured how sleep, emotional health, general health, and thermal comfort were affected when indoor temperatures exceeded the ASHRAE standard of 27.2 °C in older people (ages 62–92, n = 57) living in Arizonia. These authors found that when following up on a cohort, individuals that lived in temperatures that were maintained below the a priori threshold corresponded with improvements in occupants’ reported sleep, emotional health, and general health but not for their perception of thermal comfort. Another study utilized a cut point established by the Chartered Institution of Building Services Engineers (CIBSE) (CIBSE, 2023). Specifically, Beckmann et al. (2021) measured how subjective heat stress during sleep of individuals of all ages (n = 427) living in Germany was affected when temperatures within participant’s bedrooms exceeded 24 °C and found significant difference in increased subjective heat stress among individuals living in temperatures above the a priori threshold. Tartarini et al. (2017) used cut points based on International Organization for Standardization to measure associations between dementia related agitation and dementia related disruptiveness at temperatures outside a range of 20 °C to 26 °C for 325 older participants in New South Wales, Australia, and found that cumulative exposure to temperatures warmer than 26 °C were linearly correlated with dementia related health outcomes (Tartarini et al., 2017). Lastly, one study did not rely on established guidelines but implemented cut points based on previous peer reviewed literature. Specifically, Gronlund et al. in 2021 utilized a threshold of 22 °C because the authors hypothesized that their outcomes (cognitive function and sleepiness) would increase with increasing temperatures above 22 °C, based on prior literature. In line with their hypothesis these researchers found that sleepiness scores decreased when nighttime indoor temperatures conditions remained below 22 °C.\nFourteen papers empirically quantified a temperature threshold, which we define as the temperature after which risk or rates of the adverse health outcome of interest began to change (i.e., increase or decrease depending on the outcome). Of the fourteen papers, seven estimated thresholds for subjective thermal comfort (thermal sensation vote, thermal comfort, thermal acceptance, and thermal preference). In four papers, investigators identified thresholds for thermal sensation which is a subjective evaluation and represents sensation of thermal comfort in a given environment. First, Wei et al. (2022) studied adults of all ages (n = 526–609) in different Chinese cities. The authors observed declines in thermal sensation vote after indoor temperatures reached 17.9 °C in the spring and 26.1 °C in the summer. Yadeta et al. (2022) studied adults of all ages (n = 430) in Ethiopia. The authors observed declines in thermal sensation after indoor temperatures reached 20.4 °C. Yang et al. (2022) studied adults of all ages (n = 141) in China and observed declines in thermal comfort after indoor temperatures reached 24.8 °C in the city, 20.4 °C in towns, and 18.2 °C in rural areas. Lastly, Zhang et al. (2018) studied university students (n = 24) in Bejing China and observed that acceptable temperature ranges for thermal sensation vote was between 22.2 and 28.8 °C while students were asleep and between 21.1 and 27.3 °C while students remained awake in their dorm rooms.\nTwo papers estimated thresholds after which thermal comfort, which is a subjective assessment of how comfortable people feel with the temperature, declined. First, Hansen et al. (2022) studied older adults, ages 61–98 years old (n = 303) in Australia. They observed declines in thermal comfort after indoor temperatures reached 28 °C. Loughnan et al. (2015) studied adults ages 55 years and older (n = 26) in Australia and observed declines in thermal comfort after temperatures reached 26.6 °C.\nThermal acceptance is a subjective assessment of whether the temperatures are within a range that one finds acceptable and conducive to well-being and activities. Wei et al. (2022) found that the acceptable temperature range for 90 % of their study population (adults in different Chinese cities) was between 19.2 °C and 27.0 °C. These same authors also observed thermal preference, which reflects the degrees of satisfaction concerning the current thermal environment and found that the preference declined with temperatures warmer than 23.2 °C and 25.6 °C for spring and summer respectively.\nSeven other papers quantified maximum thresholds for the following outcomes: sleep and cognition, agitation, health/welling, physical performance, distress calls for respiratory illness, diabetes, and cardiovascular calls, mean hourly heart rate, mean hourly galvanic skin response to heat, and various intermediate health outcomes including trouble sleeping, urination frequency, thirst, and dry mouth. Specifically, Cedeño aurent et al. (2018) identified 22 °C as the threshold after which reports of poor sleep and reduced cognitive function began to increase, in individuals aged 18 to 29 years (n = 44) in Boston, MA, USA. Tartarini et al., in 2017 identified 22.6 °C as a temperature that would increase agitation in an older population aged >60 years and who suffered from dementia, in New South Wales Australia. Additionally, Uejio et al. (2022) identified 21.1 °C and 24.6 °C as the temperatures after which the odds of emergency calls for diabetes and respiratory distress were higher than controls, respectively, among adults living in Atlanta, Georgia (median age:57). Uejio et al. (2016) identified 26 °C as the temperatures after which the odds of emergency calls for cardiovascular distress were higher than controls among adults living in New York city (median age:52).\nLindemann et al. (2017) identified 27.9 °C as the indoor temperature after which there was evidence of decreased physical performance in adults aged 60 years and older (n = 81) in Stuttgart, Germany. Hansen et al., in 2022 studied older adults, ages 61–98 years old (n = 303) in Australia, and observed declines in perceived health with temperatures above 24.3 °C. Additionally, William et al. (2019) reported findings indicating that increasingly warm indoor temperatures could affect physiological markers in a small sample of older adults (n = 51, mean age 65 years) living in Cambridge, Massachusetts. Specifically, temperatures above 24 °C were associated with changes in mean hourly heart rate and galvanic skin response (Williams et al., 2019). Lastly, Teyton et al., in 2022 studied an older population, aged >60 years, in Canada and observed temperature thresholds in several poor health outcomes, such as trouble sleeping, less urination, thirst, and dry mouth at 20 °C, 22 °C, 18 °C, and 24 °C respectively.\n\n\n### A priori cut points\nIn four papers, investigators used a temperature cut point that was specified, a priori, based on established standards (Table 3). Ahrentzen et al. (2016) utilized the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) standards (ASHRAE, 2023). Specifically, the authors measured how sleep, emotional health, general health, and thermal comfort were affected when indoor temperatures exceeded the ASHRAE standard of 27.2 °C in older people (ages 62–92, n = 57) living in Arizonia. These authors found that when following up on a cohort, individuals that lived in temperatures that were maintained below the a priori threshold corresponded with improvements in occupants’ reported sleep, emotional health, and general health but not for their perception of thermal comfort. Another study utilized a cut point established by the Chartered Institution of Building Services Engineers (CIBSE) (CIBSE, 2023). Specifically, Beckmann et al. (2021) measured how subjective heat stress during sleep of individuals of all ages (n = 427) living in Germany was affected when temperatures within participant’s bedrooms exceeded 24 °C and found significant difference in increased subjective heat stress among individuals living in temperatures above the a priori threshold. Tartarini et al. (2017) used cut points based on International Organization for Standardization to measure associations between dementia related agitation and dementia related disruptiveness at temperatures outside a range of 20 °C to 26 °C for 325 older participants in New South Wales, Australia, and found that cumulative exposure to temperatures warmer than 26 °C were linearly correlated with dementia related health outcomes (Tartarini et al., 2017). Lastly, one study did not rely on established guidelines but implemented cut points based on previous peer reviewed literature. Specifically, Gronlund et al. in 2021 utilized a threshold of 22 °C because the authors hypothesized that their outcomes (cognitive function and sleepiness) would increase with increasing temperatures above 22 °C, based on prior literature. In line with their hypothesis these researchers found that sleepiness scores decreased when nighttime indoor temperatures conditions remained below 22 °C.\n\n\n### Empirically quantified temperature thresholds\nFourteen papers empirically quantified a temperature threshold, which we define as the temperature after which risk or rates of the adverse health outcome of interest began to change (i.e., increase or decrease depending on the outcome). Of the fourteen papers, seven estimated thresholds for subjective thermal comfort (thermal sensation vote, thermal comfort, thermal acceptance, and thermal preference). In four papers, investigators identified thresholds for thermal sensation which is a subjective evaluation and represents sensation of thermal comfort in a given environment. First, Wei et al. (2022) studied adults of all ages (n = 526–609) in different Chinese cities. The authors observed declines in thermal sensation vote after indoor temperatures reached 17.9 °C in the spring and 26.1 °C in the summer. Yadeta et al. (2022) studied adults of all ages (n = 430) in Ethiopia. The authors observed declines in thermal sensation after indoor temperatures reached 20.4 °C. Yang et al. (2022) studied adults of all ages (n = 141) in China and observed declines in thermal comfort after indoor temperatures reached 24.8 °C in the city, 20.4 °C in towns, and 18.2 °C in rural areas. Lastly, Zhang et al. (2018) studied university students (n = 24) in Bejing China and observed that acceptable temperature ranges for thermal sensation vote was between 22.2 and 28.8 °C while students were asleep and between 21.1 and 27.3 °C while students remained awake in their dorm rooms.\nTwo papers estimated thresholds after which thermal comfort, which is a subjective assessment of how comfortable people feel with the temperature, declined. First, Hansen et al. (2022) studied older adults, ages 61–98 years old (n = 303) in Australia. They observed declines in thermal comfort after indoor temperatures reached 28 °C. Loughnan et al. (2015) studied adults ages 55 years and older (n = 26) in Australia and observed declines in thermal comfort after temperatures reached 26.6 °C.\nThermal acceptance is a subjective assessment of whether the temperatures are within a range that one finds acceptable and conducive to well-being and activities. Wei et al. (2022) found that the acceptable temperature range for 90 % of their study population (adults in different Chinese cities) was between 19.2 °C and 27.0 °C. These same authors also observed thermal preference, which reflects the degrees of satisfaction concerning the current thermal environment and found that the preference declined with temperatures warmer than 23.2 °C and 25.6 °C for spring and summer respectively.\nSeven other papers quantified maximum thresholds for the following outcomes: sleep and cognition, agitation, health/welling, physical performance, distress calls for respiratory illness, diabetes, and cardiovascular calls, mean hourly heart rate, mean hourly galvanic skin response to heat, and various intermediate health outcomes including trouble sleeping, urination frequency, thirst, and dry mouth. Specifically, Cedeño aurent et al. (2018) identified 22 °C as the threshold after which reports of poor sleep and reduced cognitive function began to increase, in individuals aged 18 to 29 years (n = 44) in Boston, MA, USA. Tartarini et al., in 2017 identified 22.6 °C as a temperature that would increase agitation in an older population aged >60 years and who suffered from dementia, in New South Wales Australia. Additionally, Uejio et al. (2022) identified 21.1 °C and 24.6 °C as the temperatures after which the odds of emergency calls for diabetes and respiratory distress were higher than controls, respectively, among adults living in Atlanta, Georgia (median age:57). Uejio et al. (2016) identified 26 °C as the temperatures after which the odds of emergency calls for cardiovascular distress were higher than controls among adults living in New York city (median age:52).\nLindemann et al. (2017) identified 27.9 °C as the indoor temperature after which there was evidence of decreased physical performance in adults aged 60 years and older (n = 81) in Stuttgart, Germany. Hansen et al., in 2022 studied older adults, ages 61–98 years old (n = 303) in Australia, and observed declines in perceived health with temperatures above 24.3 °C. Additionally, William et al. (2019) reported findings indicating that increasingly warm indoor temperatures could affect physiological markers in a small sample of older adults (n = 51, mean age 65 years) living in Cambridge, Massachusetts. Specifically, temperatures above 24 °C were associated with changes in mean hourly heart rate and galvanic skin response (Williams et al., 2019). Lastly, Teyton et al., in 2022 studied an older population, aged >60 years, in Canada and observed temperature thresholds in several poor health outcomes, such as trouble sleeping, less urination, thirst, and dry mouth at 20 °C, 22 °C, 18 °C, and 24 °C respectively.\n\n\n### Discussion\nGiven that most people spend the majority of their time indoors and at home, there is a critical need to improve the understanding of links between indoor temperatures and health (Klepeis et al., 2001; Centers for Disease, 1994). In this review, we identified and summarized peer reviewed literature that quantified associations of indoor temperatures with physical health, mental health, and intermediate outcomes. Thermal discomfort, worsened general health, and respiratory distress were among the most studied health or well-being outcomes. We found that warmer indoor temperatures were often, though not always, associated with poor outcomes. Although our search identified papers describing results from studies in most continents, South America and Antarctica were not represented. Meanwhile, North American studies were over-represented, with 10 studies based in the United States and 3 conducted in Canada.\nWe identified four distinct approaches for estimating indoor temperature exposures: (1) longitudinal or cross-sectional measurement using data sensors inside the home, (2) capturing temperature with a one-time thermometer measurement, (3) developing data driven models, and (4) using physics-based simulations to predict indoor temperatures. We also found that fourteen papers empirically quantified indoor heat exposure thresholds based on observed health effects in their study populations. These thresholds varied, from 18 °C to 35 °C. The thresholds were calculated in different geographic areas, in different study populations, and for different outcomes. Taken together, this small body of evidence suggests that one size does not fit all when it comes to identifying an optimal threshold temperature. In the proceeding sections, we will discuss the advantages and disadvantages of these methodologies and provide recommendations for future research. In addition, in the last section we will discuss how temperature cut points were created or identified, as well as the related public health implications of these thresholds.\nThe majority of studies utilized either data sensors or digital thermometers to empirically measure indoor temperatures. Each of these methods has its own set of advantages and drawbacks. Data sensors allow for remote, continuous, and consistent measurement over extended periods, which can be particularly important for investigators to assess short-duration extremes or long-term trends. Despite the advantages of data sensors, they may still be subject to some measurement error. For example, the way in which data sensors are installed may impact the results. Some researchers included in this review emphasized the importance of keeping the data sensors away from heat sources that may highly influence results, such as the sun or other heating/cooling devices (Cedeño Laurent et al., 2018). In addition, researchers must weigh the costs and benefits of purchasing more than one device per household in longitudinal analyses, as multiple devices allow investigators to account for spatial variability within large indoor environments and occupant movement patterns (Yang et al., 2022).\nWhile individually, these sensors do not cost a lot, with prices ranging from $260 USD to $300 USD in 2024, costs can escalate rapidly when purchasing multiple units, especially if researchers aim to estimate associations across a large population or wish to acquire sensors for each room in a participant’s residence. Lastly, data sensors are more expensive than thermometers.\nThermometers are a simple and portable way to immediately assess temperatures in an indoor environment. These may be particularly beneficial in cross-sectional studies. However, the use of thermometers can have many disadvantages. To name a few, thermometers are subject to human error due to incorrect reading and interpretation, and often do not possess the ability to store or record data over time. With both approaches – thermometers and data sensors – sample sizes may be limited when compared with data-driven or simulation approaches. There are benefits (both financially and with respect to time) associated with using data driven or physics-based simulations, as they do not require primary data collection. The use of these approaches may also facilitate inclusion of a larger number of households and use of existing data sources. By allowing investigators to estimate exposures for a larger group of households, these approaches may also facilitate conducting studies across various geographic areas or climate zones, which enables contrasting results across the different areas. However, energy simulations or data driven models may be limited due to their computational intensity, requirements for specific data inputs, and susceptibility to uncertainties. These uncertainties include model assumptions that may not accurately reflect real-world conditions, such as occupant behavior, as well as inaccuracies in meteorological data.\nIdentifying safe indoor temperature thresholds is important for informing thermostat setting recommendations, safe building standards, and the creation of policies intended to protect the health of tenants and housing occupants. Currently, only a handful of locations have created policies that regulate upper indoor temperatures. In Toronto, Canada, the Property Standards Bylaw requires landlords to keep air conditioners running between June 2 and September 13, and to maintain an indoor temperature of no warmer than 26 °C (Merali, 2023; Toronto Municipal Code Chapter 497, 2018). Montgomery County, Maryland USA recently ordered landlords of apartment buildings to “supply and maintain” air conditioning units to ensure that indoor environments remain at 80 degrees °F (26.7 °C) or less during the summer months (Montgomery County, Maryland: Bill 24–19, 2020). However, this mandate covers rental apartments, only, and exempts detached single-family homes (Tan, 2020). Similarly, Tempe Arizona requires that all rental housing units have cooling systems, and that these systems be equipped to maintain a temperature of 88 °F (31.1 °C) or 82 °F (27.8 °C) by evaporative cooling or by air conditioning, respectively (City of Tempe: Thermal environment, 2024). Moreover, Dallas County, Texas has an ordinance requiring landlords to provide air conditioning systems that maintain an indoor temperature of either 85 °F (29.4 °C) or one that is 20 °F (−6.7 °C) lower than the outdoor temperature (whichever is warmer) (City of Dallas. SEC 27.11). Based on the results from this review the established thresholds presented by policy may be too elevated to support health and comfort.\nIn fourteen of the papers included in this review, investigators empirically identified thresholds with one paper reporting a threshold as low as 18 °C. The authors used observational data to identify quantitative thresholds. This is important, because heat vulnerability may vary according to health outcome, to population characteristics (e.g. age, underlying chronic conditions), occupant behavior (e.g., clothing worn, hydration), building design, and local climate (De Dear and Brager, 2002). For example, Hansen et al. (2022) found different relevant thresholds according to the outcome: 28 °C for poor thermal comfort, but above 24.3 °C for poor perception of health and well-being.\nA few studies relied on temperature cut points established by organizations such as ASHRAE (Ahrentzen et al., 2016; Loughnan et al., 2015), CIBSE (Beckmann et al., 2021) or the International Organization for Standardization (ISO) (Tartarini et al., 2017) to define heat exposures. These are designed to protect a wide range of populations, including occupants of residential and commercial buildings, industrial workers, and the public. However, the use of these cut points for categorization of indoor temperatures in observational studies of morbidity/mortality outcomes limits identification of temperature thresholds for health effects. Safe maximum thresholds may vary according to regional climate differences, and social/biologic circumstances. For example, Ahrentzen et al., 2016 utilized ASHRAE temperature cut point of 27.2 °C to define heat exposure in an older population of individuals (ages 62–92) living in Phoenix Arizonia. The group found that decreases in an apartment’s temperature, below 27.2 °C, was associated with improvement in participant’s self-reported health but not thermal comfort. It is possible that the authors missed associations with thermal comfort because the established cut point was too high for an older population, especially those living in a hot desert climate. Also, these thresholds are created by international committees that are made up of professionals including engineers, manufacturers, and industry experts, all of whom may not have a public health focus. These temperatures cut points are in place to provide guidance for the design, construction, and operation of buildings with the objective to advance industry’s practices, promote energy efficiency and technologies and may not be etiologically relevant for all populations or outcomes (ASHRAE, 2023, International Organization for Standardization, 2005). In addition, although established cut points from ASHRAE, CIBSE, or ISO are updated every few years to account for rising temperatures, these guidelines do not account for important individual or regional-level differences, nor are they targeted, specifically, at residential settings.\nInvestigators included in this review studied a variety of health outcomes associated with indoor temperature exposures, including intermediate variables, such as impaired sleep or thermal comfort, mental health outcomes, such as cognition, and physical outcomes including acute respiratory and cardiovascular measures. However, only one study investigated associations with mortality outcomes, pointing to an important knowledge gap regarding how extreme temperatures are related to this outcome (O’Lenick, et al., 2020). Future research that identifies indoor temperature thresholds to prevent premature death is critical. We also found that most research, to date, has been conducted in higher income locations, and has been predominantly in the continents of North America, Australia, and Asia. Additional research in more varied locations is needed, particularly since associations between temperature and health outcomes may vary according to region, climate zone, and residential building design.\nWhile research on links between workplace or school indoor temperature exposures with health or well-being outcomes, including cognitive function, acute respiratory or cardiovascular outcomes, has been reviewed previously, there has been little focus on indoor exposures within residential environments (Zhang et al., 2019). This review paper fills this gap. The strength of the review includes a structured search, capturing articles published through 2023 from various search databases and disciplines. Our focus and detailed description of exposure assessment approaches may be used to inform future study design. We also extracted detailed information on associations between indoor temperature and morbidity or mortality outcomes from a wide range of study populations, and countries. However, this review also has limitations. A relatively small number of articles fit our inclusion criteria and an even smaller sample empirically quantified thresholds, which precluded derivation of any pooled quantitative estimates. Lastly, though we aimed to systematically identify peer reviewed literature describing observational studies of links between residential indoor temperatures and health or well-being outcomes, despite our best efforts, we subsequently identified several relevant papers that our initial search terms did not capture. These articles were documented and incorporated into the review. We also acknowledge the possibility that additional relevant studies may have been unintentionally overlooked.\n\n\n### Indoor temperature exposure assessment methods\nThe majority of studies utilized either data sensors or digital thermometers to empirically measure indoor temperatures. Each of these methods has its own set of advantages and drawbacks. Data sensors allow for remote, continuous, and consistent measurement over extended periods, which can be particularly important for investigators to assess short-duration extremes or long-term trends. Despite the advantages of data sensors, they may still be subject to some measurement error. For example, the way in which data sensors are installed may impact the results. Some researchers included in this review emphasized the importance of keeping the data sensors away from heat sources that may highly influence results, such as the sun or other heating/cooling devices (Cedeño Laurent et al., 2018). In addition, researchers must weigh the costs and benefits of purchasing more than one device per household in longitudinal analyses, as multiple devices allow investigators to account for spatial variability within large indoor environments and occupant movement patterns (Yang et al., 2022).\nWhile individually, these sensors do not cost a lot, with prices ranging from $260 USD to $300 USD in 2024, costs can escalate rapidly when purchasing multiple units, especially if researchers aim to estimate associations across a large population or wish to acquire sensors for each room in a participant’s residence. Lastly, data sensors are more expensive than thermometers.\nThermometers are a simple and portable way to immediately assess temperatures in an indoor environment. These may be particularly beneficial in cross-sectional studies. However, the use of thermometers can have many disadvantages. To name a few, thermometers are subject to human error due to incorrect reading and interpretation, and often do not possess the ability to store or record data over time. With both approaches – thermometers and data sensors – sample sizes may be limited when compared with data-driven or simulation approaches. There are benefits (both financially and with respect to time) associated with using data driven or physics-based simulations, as they do not require primary data collection. The use of these approaches may also facilitate inclusion of a larger number of households and use of existing data sources. By allowing investigators to estimate exposures for a larger group of households, these approaches may also facilitate conducting studies across various geographic areas or climate zones, which enables contrasting results across the different areas. However, energy simulations or data driven models may be limited due to their computational intensity, requirements for specific data inputs, and susceptibility to uncertainties. These uncertainties include model assumptions that may not accurately reflect real-world conditions, such as occupant behavior, as well as inaccuracies in meteorological data.\n\n\n### Indoor temperature thresholds\nIdentifying safe indoor temperature thresholds is important for informing thermostat setting recommendations, safe building standards, and the creation of policies intended to protect the health of tenants and housing occupants. Currently, only a handful of locations have created policies that regulate upper indoor temperatures. In Toronto, Canada, the Property Standards Bylaw requires landlords to keep air conditioners running between June 2 and September 13, and to maintain an indoor temperature of no warmer than 26 °C (Merali, 2023; Toronto Municipal Code Chapter 497, 2018). Montgomery County, Maryland USA recently ordered landlords of apartment buildings to “supply and maintain” air conditioning units to ensure that indoor environments remain at 80 degrees °F (26.7 °C) or less during the summer months (Montgomery County, Maryland: Bill 24–19, 2020). However, this mandate covers rental apartments, only, and exempts detached single-family homes (Tan, 2020). Similarly, Tempe Arizona requires that all rental housing units have cooling systems, and that these systems be equipped to maintain a temperature of 88 °F (31.1 °C) or 82 °F (27.8 °C) by evaporative cooling or by air conditioning, respectively (City of Tempe: Thermal environment, 2024). Moreover, Dallas County, Texas has an ordinance requiring landlords to provide air conditioning systems that maintain an indoor temperature of either 85 °F (29.4 °C) or one that is 20 °F (−6.7 °C) lower than the outdoor temperature (whichever is warmer) (City of Dallas. SEC 27.11). Based on the results from this review the established thresholds presented by policy may be too elevated to support health and comfort.\nIn fourteen of the papers included in this review, investigators empirically identified thresholds with one paper reporting a threshold as low as 18 °C. The authors used observational data to identify quantitative thresholds. This is important, because heat vulnerability may vary according to health outcome, to population characteristics (e.g. age, underlying chronic conditions), occupant behavior (e.g., clothing worn, hydration), building design, and local climate (De Dear and Brager, 2002). For example, Hansen et al. (2022) found different relevant thresholds according to the outcome: 28 °C for poor thermal comfort, but above 24.3 °C for poor perception of health and well-being.\nA few studies relied on temperature cut points established by organizations such as ASHRAE (Ahrentzen et al., 2016; Loughnan et al., 2015), CIBSE (Beckmann et al., 2021) or the International Organization for Standardization (ISO) (Tartarini et al., 2017) to define heat exposures. These are designed to protect a wide range of populations, including occupants of residential and commercial buildings, industrial workers, and the public. However, the use of these cut points for categorization of indoor temperatures in observational studies of morbidity/mortality outcomes limits identification of temperature thresholds for health effects. Safe maximum thresholds may vary according to regional climate differences, and social/biologic circumstances. For example, Ahrentzen et al., 2016 utilized ASHRAE temperature cut point of 27.2 °C to define heat exposure in an older population of individuals (ages 62–92) living in Phoenix Arizonia. The group found that decreases in an apartment’s temperature, below 27.2 °C, was associated with improvement in participant’s self-reported health but not thermal comfort. It is possible that the authors missed associations with thermal comfort because the established cut point was too high for an older population, especially those living in a hot desert climate. Also, these thresholds are created by international committees that are made up of professionals including engineers, manufacturers, and industry experts, all of whom may not have a public health focus. These temperatures cut points are in place to provide guidance for the design, construction, and operation of buildings with the objective to advance industry’s practices, promote energy efficiency and technologies and may not be etiologically relevant for all populations or outcomes (ASHRAE, 2023, International Organization for Standardization, 2005). In addition, although established cut points from ASHRAE, CIBSE, or ISO are updated every few years to account for rising temperatures, these guidelines do not account for important individual or regional-level differences, nor are they targeted, specifically, at residential settings.\n\n\n### Additional gaps\nInvestigators included in this review studied a variety of health outcomes associated with indoor temperature exposures, including intermediate variables, such as impaired sleep or thermal comfort, mental health outcomes, such as cognition, and physical outcomes including acute respiratory and cardiovascular measures. However, only one study investigated associations with mortality outcomes, pointing to an important knowledge gap regarding how extreme temperatures are related to this outcome (O’Lenick, et al., 2020). Future research that identifies indoor temperature thresholds to prevent premature death is critical. We also found that most research, to date, has been conducted in higher income locations, and has been predominantly in the continents of North America, Australia, and Asia. Additional research in more varied locations is needed, particularly since associations between temperature and health outcomes may vary according to region, climate zone, and residential building design.\n\n\n### Strengths and limitations of this review\nWhile research on links between workplace or school indoor temperature exposures with health or well-being outcomes, including cognitive function, acute respiratory or cardiovascular outcomes, has been reviewed previously, there has been little focus on indoor exposures within residential environments (Zhang et al., 2019). This review paper fills this gap. The strength of the review includes a structured search, capturing articles published through 2023 from various search databases and disciplines. Our focus and detailed description of exposure assessment approaches may be used to inform future study design. We also extracted detailed information on associations between indoor temperature and morbidity or mortality outcomes from a wide range of study populations, and countries. However, this review also has limitations. A relatively small number of articles fit our inclusion criteria and an even smaller sample empirically quantified thresholds, which precluded derivation of any pooled quantitative estimates. Lastly, though we aimed to systematically identify peer reviewed literature describing observational studies of links between residential indoor temperatures and health or well-being outcomes, despite our best efforts, we subsequently identified several relevant papers that our initial search terms did not capture. These articles were documented and incorporated into the review. We also acknowledge the possibility that additional relevant studies may have been unintentionally overlooked.\n\n\n### Conclusion\nDrawing from observational studies, this review paper summarized the current state of the evidence pertaining to the relationship between warm residential indoor temperatures and health or well-being outcomes. We found evidence that warmer indoor temperatures are associated with a variety of adverse outcomes, based on a selection of papers in which investigators used a variety of methods to estimate temperature exposures. However, the number of articles that empirically identified maximum safe temperatures (i.e, thresholds) was limited, pointing to a strong need for further research moving forward. Empirically identifying thresholds have policy and environmental regulation implications. For example, establishing indoor temperature thresholds may shift responsibility to building managers or landlords to maintain cool environments and to the government to enforce such regulations. Amidst the escalating temperatures driven by climate change, the imperative to better understand links between indoor environmental conditions and health, and to inform indoor temperature thresholds, will become increasingly critical.", "domain": "affective_neuroscience"}
{"source": "PMC13087406", "title": "Space Physiology and Technology: Adaptations, Countermeasures, and Opportunities for Wearable Systems", "text": "# Space Physiology and Technology: Adaptations, Countermeasures, and Opportunities for Wearable Systems\n\n## Abstract\nSpace poses substantial challenges for humans, leading to physiological adaptations in response to an environment vastly different from Earth. A comprehensive understanding of these physiological adaptations is necessary to develop effective countermeasures that support human life in space. This narrative review first focuses on the impact of the space environment on the musculoskeletal system. It highlights the complex interplay between bone and muscle adaptations and their implications on astronaut health. Despite advances in current countermeasures, such as resistive exercise and pharmacological interventions, they remain partially effective, bulky, and resource-intensive, posing challenges for future missions aboard compact spacecraft. This review proposes wearable sensing and robotic technologies as promising alternatives to overcome these limitations. Wearable systems, such as sensor-integrated suits and (soft) exoskeletons, can provide real-time monitoring, dynamic loading, and exercise protocols tailored to individual needs. These systems are lightweight, modular, and capable of operating in confined environments, making them ideal for long-duration missions. In addition to space applications, wearable technologies hold considerable promise for terrestrial uses. They could support rehabilitation and assistance for the aging population and individuals with musculoskeletal disorders, and enhance physical performance in healthy users. By integrating advanced materials, sensors, actuators, and intelligent, energy-efficient control, these technologies can bridge gaps in current countermeasures while enabling broader applications on Earth.\n\n## Full Text\n\n\n### Introduction\nHuman physiology continually adapts to Earth’s gravitational field from the earliest stages of embryonic development. As a result, gravitational unloading in outer space causes adverse effects that challenge human space exploration and habitation [1]. Frequent space missions and experiments at the International Space Station (ISS) (orbiting 300 to 435 km above Earth) have provided extensive data on the physiological challenges faced by astronauts [2] (Fig. 1). As astronauts ascend from Earth, a headward bodily fluid shift occurs [3], causing changes in body fluid distribution and electrolyte homeostasis. Muscle atrophy and bone resorption are notable concerns during prolonged space missions. Early space missions lasting just a few days resulted in muscle atrophy of up to 16% despite countermeasures [4]. Bone resorption occurred at a rate of 1% to 2% per month, and although researchers partially mitigated the effects with countermeasures, the deconditioning was not entirely opposed.\nPhysiological adaptations due to microgravity in outer space. Parts of the figure have been modified from Ref. [305] and Shutterstock.com (license: 182406275).\nThe human musculoskeletal system enables locomotion, postural control, and the performance of activities of daily living (ADL). In space missions, adverse effects on this system can impact task performance, increase long-term risks, and necessitate intensive post-flight rehabilitation [4]. Astronauts may often travel to space for several months, and the adaptations observed in human physiology post-flight resemble those of aging on Earth [5]. With more extended space missions (and prolonged exposure to radiation and microgravity), the risk becomes more substantial and could even prove fatal if not mitigated. It is uncertain how long life can be sustained in microgravity, but effective countermeasures to space-related challenges are crucial for safe, extended space travel.\nThrough this review, we discuss the challenges of the outer space environment and the musculoskeletal health complications derived from prolonged exposure. The currently employed solutions to address these complications are discussed, along with their limitations and potential solutions. The paper is organized as follows:•The “Outer Space Stressors” section discusses various aspects of outer space that act as stressors impacting the musculoskeletal system.•The “Musculoskeletal Adaptations and Injuries in Space” section describes the physiological adaptations and musculoskeletal changes that occur due to these stressors during long-duration space missions.•The “Current Countermeasures” section reviews currently deployed, research-based countermeasures adopted by various space agencies and laboratories, along with their limitations.•The “The Opportunities and Challenges for Wearable Technologies as Countermeasures” section highlights the opportunity for wearable robotic and sensing technologies as a potential alternative to current exercise-based countermeasures, along with recent examples and developments in the literature.•The “Discussion and Perspectives for Future Research and Development” section concludes with key takeaways, a critical analysis of the limitations of current studies, and recommendations for future research and innovation.\nThe “Outer Space Stressors” section discusses various aspects of outer space that act as stressors impacting the musculoskeletal system.\nThe “Musculoskeletal Adaptations and Injuries in Space” section describes the physiological adaptations and musculoskeletal changes that occur due to these stressors during long-duration space missions.\nThe “Current Countermeasures” section reviews currently deployed, research-based countermeasures adopted by various space agencies and laboratories, along with their limitations.\nThe “The Opportunities and Challenges for Wearable Technologies as Countermeasures” section highlights the opportunity for wearable robotic and sensing technologies as a potential alternative to current exercise-based countermeasures, along with recent examples and developments in the literature.\nThe “Discussion and Perspectives for Future Research and Development” section concludes with key takeaways, a critical analysis of the limitations of current studies, and recommendations for future research and innovation.\n\n\n### Outer Space Stressors\nOuter space represents a challenging environment with unique stressors. The most prominent stressors are prolonged microgravity exposure, radiation exposure, and psychosocial stressors, which have profound adverse effects on the human body and performance [6] (Fig. 1). As space missions are planned to stretch onto Mars and beyond, understanding these stressors becomes increasingly essential, as astronauts will be longer in space. This understanding can guide the development of novel countermeasures to mitigate physiological deconditioning, improve astronaut performance, and mission success.\nWeightlessness and microgravity are used interchangeably. However, microgravity refers to environments where gravitational forces are present but remarkably reduced, and weightlessness refers to the sensation or condition of not feeling any weight. In orbit, the gravitational force continues to act on an object, such as a satellite or the ISS. However, as it travels at very high speeds, the forward force balances the gravitational pull, allowing the object to maintain a relatively constant height in its curved orbit. This results in continuous freefall, causing the inhabitants to experience weightlessness [7,8].\nOn Earth, our bodies have adapted to 1G gravity, which ensures the uniform distribution of bodily fluids crucial for homeostasis and mean arterial pressure regulation [3]. Microgravity, however, induces a cephalic fluid shift, removing hydrostatic pressure from tissues, muscles, and bones, leading to deconditioning (as graphically illustrated in Fig. 1). The musculoskeletal system is among the most affected systems by microgravity. Anti-gravity muscles, such as the soleus, gastrocnemius, quadriceps femoris, spinal postural muscles, and leg extensors, are vital for posture, balance, and movement on Earth. Microgravity mechanically unloads these muscles, inhibiting mechanotransduction signaling for protein synthesis [9]. Consequently, muscle atrophy, particularly in anti-gravity muscles, and bone resorption occur by promoting osteoclastic activity and disrupting calcium homeostasis. Upon returning to Earth, astronauts must undergo intensive rehabilitation to re-adapt to Earth’s environment and counter bone resorption and muscle atrophy experienced during spaceflight.\nIonizing space radiation, including x-rays, gamma rays, and other high-frequency waves, presents substantial health risks to humans during space travel, requiring cautious planning and safety countermeasures, especially for interplanetary or moon expeditions [10–12]. Earth’s magnetic field partially protects the ISS [13], but it is still susceptible to geomagnetically trapped radiation, galactic cosmic rays (GCRs), and solar flares (Fig. 2). Ionizing radiation, whether acute or chronic, can cause short- and long-term adverse effects on the human body. Its ability to penetrate the biological tissues can damage DNA, increase free radicals in the body, and increase oxidative stress, consequently heightening the risk of conditions like cancer or central nervous system (CNS) disruptions [14]. Animal studies show increased cancellous bone loss and higher osteoclasts (bone-resorbing cells) [15,16].\nSpace radiation with their respective energies. Parts of the figure have been modified from Shutterstock.com (license: 121554235).\nThe average annual radiation exposure to humans in the United States is approximately 6.2 mSv. During a 6-month ISS mission, crew members experience exposure to radiation levels between 50 and 100 mSv, with higher levels during extravehicular activities (EVAs) [17]. It is predicted that a mission to Mars may result in over 1,000 times the annual exposure on Earth. More than 1 Sv of ionizing radiation can cause acute symptoms and potentially have fatal consequences [15].\nBesides its biological implications, ionizing radiation in space can also affect spacecraft equipment and instrumentation. Radiation can induce single-upset events, material degradation, or latch-ups, thereby affecting system reliability. Manifestations depend on several factors, such as mission parameters, shielding, individual sensitivity, and absorbed dose [18,19]. Therefore, management and countermeasures are crucial for maintaining physiological and system functioning and integrity during deeper and longer space missions.\nAstronauts face psychosocial stressors such as isolation, confinement, disrupted communication, and interpersonal conflicts that substantially impact their mental health and overall well-being. The psychological stress can affect cognition, attention, and mindfulness during prolonged space missions [6,20,21]. Individual responses to stress vary, making cognitive appraisal a determinant of psychological stress and its consequences [22]. Psychosocial and physical stressors are linked, with each potentially worsening the other in a dynamic, reciprocal relationship, hence resulting in musculoskeletal, cardiovascular, and neurological adverse manifestations. An increased state of psychosocial stress triggers a neuroendocrine response that dysregulates the hypothalamic–pituitary axis (HPA), resulting in increased body cortisol and catecholamines, suppressing osteoblastic activity and, subsequently, increasing bone resorption and muscle protein degradation [23–26]. Therefore, addressing these stressors is imperative for sustaining psychological resilience throughout extended space missions.\nWhile outer space stressors induce adverse physiological effects across several body systems, this review focuses on the adverse impact on the musculoskeletal system. This is justified as the immediate decline in this system can critically impair astronaut mobility, performance, and post-mission recoverability. Table 1 provides an overview of outer space stressors and their effects on the musculoskeletal system. This comparison aids in developing countermeasures to mitigate and prevent such effects from outer space stressors.\nEffects of spaceflight stressors on the musculoskeletal system\n\n\n### Weightlessness/microgravity\nWeightlessness and microgravity are used interchangeably. However, microgravity refers to environments where gravitational forces are present but remarkably reduced, and weightlessness refers to the sensation or condition of not feeling any weight. In orbit, the gravitational force continues to act on an object, such as a satellite or the ISS. However, as it travels at very high speeds, the forward force balances the gravitational pull, allowing the object to maintain a relatively constant height in its curved orbit. This results in continuous freefall, causing the inhabitants to experience weightlessness [7,8].\nOn Earth, our bodies have adapted to 1G gravity, which ensures the uniform distribution of bodily fluids crucial for homeostasis and mean arterial pressure regulation [3]. Microgravity, however, induces a cephalic fluid shift, removing hydrostatic pressure from tissues, muscles, and bones, leading to deconditioning (as graphically illustrated in Fig. 1). The musculoskeletal system is among the most affected systems by microgravity. Anti-gravity muscles, such as the soleus, gastrocnemius, quadriceps femoris, spinal postural muscles, and leg extensors, are vital for posture, balance, and movement on Earth. Microgravity mechanically unloads these muscles, inhibiting mechanotransduction signaling for protein synthesis [9]. Consequently, muscle atrophy, particularly in anti-gravity muscles, and bone resorption occur by promoting osteoclastic activity and disrupting calcium homeostasis. Upon returning to Earth, astronauts must undergo intensive rehabilitation to re-adapt to Earth’s environment and counter bone resorption and muscle atrophy experienced during spaceflight.\n\n\n### Radiation\nIonizing space radiation, including x-rays, gamma rays, and other high-frequency waves, presents substantial health risks to humans during space travel, requiring cautious planning and safety countermeasures, especially for interplanetary or moon expeditions [10–12]. Earth’s magnetic field partially protects the ISS [13], but it is still susceptible to geomagnetically trapped radiation, galactic cosmic rays (GCRs), and solar flares (Fig. 2). Ionizing radiation, whether acute or chronic, can cause short- and long-term adverse effects on the human body. Its ability to penetrate the biological tissues can damage DNA, increase free radicals in the body, and increase oxidative stress, consequently heightening the risk of conditions like cancer or central nervous system (CNS) disruptions [14]. Animal studies show increased cancellous bone loss and higher osteoclasts (bone-resorbing cells) [15,16].\nSpace radiation with their respective energies. Parts of the figure have been modified from Shutterstock.com (license: 121554235).\nThe average annual radiation exposure to humans in the United States is approximately 6.2 mSv. During a 6-month ISS mission, crew members experience exposure to radiation levels between 50 and 100 mSv, with higher levels during extravehicular activities (EVAs) [17]. It is predicted that a mission to Mars may result in over 1,000 times the annual exposure on Earth. More than 1 Sv of ionizing radiation can cause acute symptoms and potentially have fatal consequences [15].\nBesides its biological implications, ionizing radiation in space can also affect spacecraft equipment and instrumentation. Radiation can induce single-upset events, material degradation, or latch-ups, thereby affecting system reliability. Manifestations depend on several factors, such as mission parameters, shielding, individual sensitivity, and absorbed dose [18,19]. Therefore, management and countermeasures are crucial for maintaining physiological and system functioning and integrity during deeper and longer space missions.\n\n\n### Psychosocial stressors\nAstronauts face psychosocial stressors such as isolation, confinement, disrupted communication, and interpersonal conflicts that substantially impact their mental health and overall well-being. The psychological stress can affect cognition, attention, and mindfulness during prolonged space missions [6,20,21]. Individual responses to stress vary, making cognitive appraisal a determinant of psychological stress and its consequences [22]. Psychosocial and physical stressors are linked, with each potentially worsening the other in a dynamic, reciprocal relationship, hence resulting in musculoskeletal, cardiovascular, and neurological adverse manifestations. An increased state of psychosocial stress triggers a neuroendocrine response that dysregulates the hypothalamic–pituitary axis (HPA), resulting in increased body cortisol and catecholamines, suppressing osteoblastic activity and, subsequently, increasing bone resorption and muscle protein degradation [23–26]. Therefore, addressing these stressors is imperative for sustaining psychological resilience throughout extended space missions.\n\n\n### Effects of outer space stressors on the musculoskeletal system\nWhile outer space stressors induce adverse physiological effects across several body systems, this review focuses on the adverse impact on the musculoskeletal system. This is justified as the immediate decline in this system can critically impair astronaut mobility, performance, and post-mission recoverability. Table 1 provides an overview of outer space stressors and their effects on the musculoskeletal system. This comparison aids in developing countermeasures to mitigate and prevent such effects from outer space stressors.\nEffects of spaceflight stressors on the musculoskeletal system\n\n\n### Musculoskeletal Adaptations and Injuries in Space\nThis section examines the effects of the various stressors discussed in the previous section on the musculoskeletal system, focusing on physiological adaptations and associated injuries.\nHuman locomotion on Earth has evolved and adapted in response to Earth’s gravity [27]. In space, the reduced ground reaction forces (GRFs) result in decreased muscle force, affecting normal human locomotion [28]. Stride length and walking speed are influenced by gravity. A Froude number (which is the ratio of inertial to gravitational forces or kinetic to potential energy = Fr = v2/gL, where v is velocity, g is the gravitational acceleration, and L is leg length) of 0.25 and 0.50 corresponds to optimal walking speed and walk-to-run transition on Earth, respectively [29–34]. In reduced gravity, the optimal walking speed and walk-to-run transition decrease (Fig. 3) [29]. Humans in lower gravity (e.g., on Mars) may prefer running at lower velocities. On the moon, astronauts tend to hop rather than walk. This strategy minimizes metabolic costs and increases efficiency and stability [34–37].\nSimulated different optimal walking speeds as a function of gravity. The figure was generated from data in Ref. [29].\nGRFs, influenced by gravitational acceleration, are lower in partial gravity or microgravity. Schaffner et al. [38] and Genc et al. [39] reported that GRF decreases under reduced load and increases at higher speeds, but was significantly lower than on Earth (46% and 25%, respectively). A reduction in bone mineral density (BMD) may also have contributed to a decrease in GRF. Exercise devices and protocols on the ISS are designed to prevent BMD loss, but they usually do not induce forces comparable to those on Earth [40,41]. Current countermeasures on board in space systems have not yet provided regular forces equivalent to Earth’s 1G (= 9.8 m/s2) gravitational pull [42,43].\nA different aspect of locomotion, stability, depends on head and gaze coordination with sensory and motor information from the CNS [44]. In microgravity, the vestibular–ocular system unloading affects balance and gaze control, leading to disorientation [45,46]. Post-spaceflight, astronauts face an increased risk of tipping [47,48]. Disturbances in gaze control, locomotion, posture, muscle atrophy, and bone resorption can result in long-term health implications or injuries [49]. Locomotion and movement during EVAs or intravehicular activities (IVAs) have resulted in musculoskeletal injuries and traumas to extremities, back, and neck [50]. Further research is needed to investigate how additional spaceflight stressors, such as psychosocial factors and radiation, impact human locomotion and movement. While the mechanical and physiological aspects of locomotor adaptation in microgravity have received notable study, the effects of these stressors are still unclear. This gap underscores the need for a more comprehensive approach to developing countermeasures that account for the interplay among environmental, psychological, and biological factors.\nOn average, in microgravity, the human spine extends by 4 to 7 cm [4]. Spinal lengthening is believed to induce tension in the dorsal nerve roots of the lumbar spine [51], which can lead to back pain, commonly referred to as space adaptation back pain (SABP). Wing et al. [52] reported that 14 of 19 astronauts experienced moderate lower back pain accompanied by a 2.1-cm increase in spine height within the first 3 days of spaceflight. These findings were confirmed by a head-down tilt bed rest (HDBR) experiment, a ground-based model that mimics Earth’s microgravity conditions [53]. SABP impairs astronauts’ mood, concentration, and performance. Adopting the knee-to-chest position, or “fetal tuck”, has been found to alleviate back pain [54–57]. Back pain relief is also observed following in-space exercises and analgesic medications [58]. Astronauts also have a 4 times higher risk of herniated nucleus pulposus compared to non-astronauts (data from 983 healthy non-astronauts and 321 astronauts after spaceflight, acquired from the Longitudinal Study of Astronaut Health Database [59]).\nMagnetic resonance imaging and ultrasound-based studies (performed pre-flight, immediately, and 30 days post-flight) reported reduced spinal muscle cross-section area (CSA), decreased lumbar lordosis, reduced bone mass, muscle weakness and para-spinal muscle reduction/atrophy, increased spine stiffness, widespread spinal microfractures, and inter-vertebral disc (IVD) degeneration [54–68]. Astronauts in studies [66–68] underwent countermeasures that may have influenced the differences observed between the lumbar and cervical regions; however, muscle atrophy was also noted in the lumbar IVD.\nIn 1962, Mohler [69] first raised concerns about muscle atrophy in astronauts. NASA’s Skylab experiments in 1975 documented muscle atrophy in crew members and explored potential countermeasures to mitigate it [70,71]. Biostereometric measurements conducted on the lower limb (gastrocnemius and soleus) and upper limb (biceps brachii and brachioradialis) muscles revealed nonsignificant muscle loss in the arms but significant muscle loss in the trunk and lower limbs [70,72–74]. Calves experienced more atrophy than thighs [75–77], with a reduced reflex response in the Achilles tendon reported during the Skylab 3 and 4 missions [78]. The soleus muscle was most affected by atrophy, with muscle loss observed even in short space missions [75,76]. Ground models that mimic microgravity in space, such as HDBR, limb immobilization, or water immersion, also reported muscle atrophy and bone resorption at lower rates than in space [79]. Muscle atrophy in the soleus and gastrocnemius fiber types is illustrated in Fig. 4 [80].\nMuscle atrophy by fiber type of soleus and gastrocnemius measured at maximal contraction force in pre-flight and post-flight of 10 astronauts (data from Ref. [80]).\nBone resorption occurs at different rates in various body regions during space missions [79]. The bone resorption rates for the spine, neck, trochanter, and pelvis are 1.06%, 1.15%, 1.56%, and 1.35% per month, respectively, despite current countermeasures in place [81]. Conversely, bone loss is not observed at significant levels in the arm (0.04% per month) and is limited to 0.80% to 0.90% and 1.2% to 1.5% per month in the total lumbar spine and the hip, respectively [82].\nMultiple studies have supported these findings, including 14% bone resorption in the proximal femur during 4 to 6 months of Mir missions [83–85]. LeBlanc et al. [81] reported that the lean arm tissue underwent no atrophy, whereas the lean leg tissue underwent atrophy at a rate of 1.00% per month. The bone recovery post-flight was reported to be slow, with approximately 2 to 3 years needed to regain pre-flight levels, and this raises serious concerns about the increased risk of osteopenia and fractures during extended space missions [28,86].\nWhile the previous subsections discussed the different adaptations the human body could undergo, injuries are also a prevalent reality. Musculoskeletal injuries during space missions (Fig. 5) primarily affect the hands, back, and shoulders due to repetitive activities, locomotion, restrictive clothing, and microgravity adaptation [50,87,88]. The restrictive EVA suit, the Extravehicular Mobility Unit (EMU), is critical for spacewalks and EVA training and poses challenges to astronaut comfort and safety [87,89,90]. The EMU consists of multiple layers, starting with the liquid-cooling and ventilation garment (LCVG), which maintains thermal balance through water circulation. A rigid fiberglass component called the hard upper torso (HUT) follows this and provides structural attachment points [89].\nPhysiological injuries and adaptations during/after spaceflights. Injury data obtained from Ref. [92]. Parts of the figure have been modified from Shutterstock.com (license: 360211214).\nThe pressurized EMU suit hinders movement in a space vacuum, causing discomfort, fatigue, and injuries to the skin, muscles, and joints [87]. Poor EMU fit can exacerbate musculoskeletal disorders, such as microgravity-induced lower back pain [91]. With most activities relying on the upper extremities, overuse and repetitive strain injuries commonly affect the hands, shoulders, and feet [89]. Approximately 34.2% of injuries occur in the hands and 10.7% occur in the shoulders. Shoulder injuries mainly result from contact and strain at the HUT attachment points [92].\nDuring EVA, fingertip and fingernail injuries are prevalent due to the use of pressurized gloves, substantially affecting hand strength, dexterity, and comfort [93]. Persistent exposure leads to subungual hematoma (redness), fingernail pain, and onycholysis, potentially escalating secondary infections [87]. These infections pose a notable challenge, given the decreased efficacy of medication in space and the potential for bacteria to develop resistance [87]. Other issues include fingertip abrasions, frostbite, neuropathies, dislocations, subungual hematomas, and muscle stress [87,94]. Increased moisture in the glove and reduced blood flow to the fingernail bed also contribute to these problems [87,94]. An exhaustive analysis of spacesuit glove-induced hand trauma can be found in Ref. [95].\nBack injuries are the second most common injuries, after those to the hands, followed by injuries to the shoulders, feet, arms, and neck, due to crew activities and in-flight exercises [50]. The ISS has a higher incidence of back injuries than other spaceflight missions, such as Mir or the Shuttle, which is attributed to the introduction of exercise devices, including the Interim Resistive Exercise Device (iRED). While these devices aim to reduce microgravity-related physiological adaptations, they have also increased minor physical injuries, primarily strains and sprains, with contusions less common [50]. Although fractures are rare in flight, bone resorption during spaceflight increases the risk of post-flight fractures. Consequently, enhanced management protocols are needed for astronauts to exercise and prevent in-flight and post-flight injuries.\n\n\n### Human locomotion and movement\nHuman locomotion on Earth has evolved and adapted in response to Earth’s gravity [27]. In space, the reduced ground reaction forces (GRFs) result in decreased muscle force, affecting normal human locomotion [28]. Stride length and walking speed are influenced by gravity. A Froude number (which is the ratio of inertial to gravitational forces or kinetic to potential energy = Fr = v2/gL, where v is velocity, g is the gravitational acceleration, and L is leg length) of 0.25 and 0.50 corresponds to optimal walking speed and walk-to-run transition on Earth, respectively [29–34]. In reduced gravity, the optimal walking speed and walk-to-run transition decrease (Fig. 3) [29]. Humans in lower gravity (e.g., on Mars) may prefer running at lower velocities. On the moon, astronauts tend to hop rather than walk. This strategy minimizes metabolic costs and increases efficiency and stability [34–37].\nSimulated different optimal walking speeds as a function of gravity. The figure was generated from data in Ref. [29].\nGRFs, influenced by gravitational acceleration, are lower in partial gravity or microgravity. Schaffner et al. [38] and Genc et al. [39] reported that GRF decreases under reduced load and increases at higher speeds, but was significantly lower than on Earth (46% and 25%, respectively). A reduction in bone mineral density (BMD) may also have contributed to a decrease in GRF. Exercise devices and protocols on the ISS are designed to prevent BMD loss, but they usually do not induce forces comparable to those on Earth [40,41]. Current countermeasures on board in space systems have not yet provided regular forces equivalent to Earth’s 1G (= 9.8 m/s2) gravitational pull [42,43].\nA different aspect of locomotion, stability, depends on head and gaze coordination with sensory and motor information from the CNS [44]. In microgravity, the vestibular–ocular system unloading affects balance and gaze control, leading to disorientation [45,46]. Post-spaceflight, astronauts face an increased risk of tipping [47,48]. Disturbances in gaze control, locomotion, posture, muscle atrophy, and bone resorption can result in long-term health implications or injuries [49]. Locomotion and movement during EVAs or intravehicular activities (IVAs) have resulted in musculoskeletal injuries and traumas to extremities, back, and neck [50]. Further research is needed to investigate how additional spaceflight stressors, such as psychosocial factors and radiation, impact human locomotion and movement. While the mechanical and physiological aspects of locomotor adaptation in microgravity have received notable study, the effects of these stressors are still unclear. This gap underscores the need for a more comprehensive approach to developing countermeasures that account for the interplay among environmental, psychological, and biological factors.\n\n\n### Spine and back\nOn average, in microgravity, the human spine extends by 4 to 7 cm [4]. Spinal lengthening is believed to induce tension in the dorsal nerve roots of the lumbar spine [51], which can lead to back pain, commonly referred to as space adaptation back pain (SABP). Wing et al. [52] reported that 14 of 19 astronauts experienced moderate lower back pain accompanied by a 2.1-cm increase in spine height within the first 3 days of spaceflight. These findings were confirmed by a head-down tilt bed rest (HDBR) experiment, a ground-based model that mimics Earth’s microgravity conditions [53]. SABP impairs astronauts’ mood, concentration, and performance. Adopting the knee-to-chest position, or “fetal tuck”, has been found to alleviate back pain [54–57]. Back pain relief is also observed following in-space exercises and analgesic medications [58]. Astronauts also have a 4 times higher risk of herniated nucleus pulposus compared to non-astronauts (data from 983 healthy non-astronauts and 321 astronauts after spaceflight, acquired from the Longitudinal Study of Astronaut Health Database [59]).\nMagnetic resonance imaging and ultrasound-based studies (performed pre-flight, immediately, and 30 days post-flight) reported reduced spinal muscle cross-section area (CSA), decreased lumbar lordosis, reduced bone mass, muscle weakness and para-spinal muscle reduction/atrophy, increased spine stiffness, widespread spinal microfractures, and inter-vertebral disc (IVD) degeneration [54–68]. Astronauts in studies [66–68] underwent countermeasures that may have influenced the differences observed between the lumbar and cervical regions; however, muscle atrophy was also noted in the lumbar IVD.\n\n\n### Muscle and bone atrophy\nIn 1962, Mohler [69] first raised concerns about muscle atrophy in astronauts. NASA’s Skylab experiments in 1975 documented muscle atrophy in crew members and explored potential countermeasures to mitigate it [70,71]. Biostereometric measurements conducted on the lower limb (gastrocnemius and soleus) and upper limb (biceps brachii and brachioradialis) muscles revealed nonsignificant muscle loss in the arms but significant muscle loss in the trunk and lower limbs [70,72–74]. Calves experienced more atrophy than thighs [75–77], with a reduced reflex response in the Achilles tendon reported during the Skylab 3 and 4 missions [78]. The soleus muscle was most affected by atrophy, with muscle loss observed even in short space missions [75,76]. Ground models that mimic microgravity in space, such as HDBR, limb immobilization, or water immersion, also reported muscle atrophy and bone resorption at lower rates than in space [79]. Muscle atrophy in the soleus and gastrocnemius fiber types is illustrated in Fig. 4 [80].\nMuscle atrophy by fiber type of soleus and gastrocnemius measured at maximal contraction force in pre-flight and post-flight of 10 astronauts (data from Ref. [80]).\nBone resorption occurs at different rates in various body regions during space missions [79]. The bone resorption rates for the spine, neck, trochanter, and pelvis are 1.06%, 1.15%, 1.56%, and 1.35% per month, respectively, despite current countermeasures in place [81]. Conversely, bone loss is not observed at significant levels in the arm (0.04% per month) and is limited to 0.80% to 0.90% and 1.2% to 1.5% per month in the total lumbar spine and the hip, respectively [82].\nMultiple studies have supported these findings, including 14% bone resorption in the proximal femur during 4 to 6 months of Mir missions [83–85]. LeBlanc et al. [81] reported that the lean arm tissue underwent no atrophy, whereas the lean leg tissue underwent atrophy at a rate of 1.00% per month. The bone recovery post-flight was reported to be slow, with approximately 2 to 3 years needed to regain pre-flight levels, and this raises serious concerns about the increased risk of osteopenia and fractures during extended space missions [28,86].\n\n\n### Injuries to the musculoskeletal system\nWhile the previous subsections discussed the different adaptations the human body could undergo, injuries are also a prevalent reality. Musculoskeletal injuries during space missions (Fig. 5) primarily affect the hands, back, and shoulders due to repetitive activities, locomotion, restrictive clothing, and microgravity adaptation [50,87,88]. The restrictive EVA suit, the Extravehicular Mobility Unit (EMU), is critical for spacewalks and EVA training and poses challenges to astronaut comfort and safety [87,89,90]. The EMU consists of multiple layers, starting with the liquid-cooling and ventilation garment (LCVG), which maintains thermal balance through water circulation. A rigid fiberglass component called the hard upper torso (HUT) follows this and provides structural attachment points [89].\nPhysiological injuries and adaptations during/after spaceflights. Injury data obtained from Ref. [92]. Parts of the figure have been modified from Shutterstock.com (license: 360211214).\nThe pressurized EMU suit hinders movement in a space vacuum, causing discomfort, fatigue, and injuries to the skin, muscles, and joints [87]. Poor EMU fit can exacerbate musculoskeletal disorders, such as microgravity-induced lower back pain [91]. With most activities relying on the upper extremities, overuse and repetitive strain injuries commonly affect the hands, shoulders, and feet [89]. Approximately 34.2% of injuries occur in the hands and 10.7% occur in the shoulders. Shoulder injuries mainly result from contact and strain at the HUT attachment points [92].\nDuring EVA, fingertip and fingernail injuries are prevalent due to the use of pressurized gloves, substantially affecting hand strength, dexterity, and comfort [93]. Persistent exposure leads to subungual hematoma (redness), fingernail pain, and onycholysis, potentially escalating secondary infections [87]. These infections pose a notable challenge, given the decreased efficacy of medication in space and the potential for bacteria to develop resistance [87]. Other issues include fingertip abrasions, frostbite, neuropathies, dislocations, subungual hematomas, and muscle stress [87,94]. Increased moisture in the glove and reduced blood flow to the fingernail bed also contribute to these problems [87,94]. An exhaustive analysis of spacesuit glove-induced hand trauma can be found in Ref. [95].\nBack injuries are the second most common injuries, after those to the hands, followed by injuries to the shoulders, feet, arms, and neck, due to crew activities and in-flight exercises [50]. The ISS has a higher incidence of back injuries than other spaceflight missions, such as Mir or the Shuttle, which is attributed to the introduction of exercise devices, including the Interim Resistive Exercise Device (iRED). While these devices aim to reduce microgravity-related physiological adaptations, they have also increased minor physical injuries, primarily strains and sprains, with contusions less common [50]. Although fractures are rare in flight, bone resorption during spaceflight increases the risk of post-flight fractures. Consequently, enhanced management protocols are needed for astronauts to exercise and prevent in-flight and post-flight injuries.\n\n\n### Current Countermeasures\nIt is clear from the previous section that musculoskeletal problems arising from the space environment can adversely affect astronauts’ physical condition. This can also affect the success and outcomes of long-term space missions. Counteracting these effects is thus essential. Aerobic and resistive exercises have been among the earliest countermeasures proposed to mitigate the adverse effects of microgravity. These aim to increase the load on the lower extremities.\nDifferent space agencies have been investigating additional countermeasures, ranging from specific exercise devices to artificial gravity (AG), pharmacological interventions, and nutrition. Through the Human Research Program [96], NASA has been investigating solutions that combine traditional approaches (e.g., exercise, nutrition, and pharmacological interventions) with more unconventional methods (e.g., AG, neuromuscular electrical stimulation [NMES], and vibration) [96,97].\nResistive/aerobic exercise remains the most effective countermeasure, with other methods contributing to improved effectiveness [97]. Regarding nutrition, the effects of eucaloric, hypocaloric, and hypercaloric intake, as well as protein intake management and supplementation, have been studied, along with pharmacological interventions such as bone-resorptive medications (bisphosphonates) and low-dose testosterone doping [97]. However, this review will focus primarily on physical/exercise-based countermeasures. It should be noted that while research is available on the physiological implications of different exercise countermeasures, limited information is available on the engineering specifications of the technologies discussed next. The available data are mostly from publicly disseminated information on space agency websites and as part of background sections in some literature.\nAstronauts follow a strict regimen of exercise, diet, and pharmacological supplementation to minimize bone loss and muscle atrophy. While exercise devices initially featured simple resistance bands (Fig. 6A), bungee cords, and treadmill-like devices (Fig. 6B), they have since become more sophisticated. Astronauts now spend about 2 h daily on specialized equipment such as treadmills like the Treadmill with Vibration Isolation Systems (TVIS) [98], T2, and Combined Operational Load Bearing External Resistance Treadmills (COLBERT) (Fig. 6F); stationary bikes such as the Cycle Ergometer with Vibration Isolation System (CEVIS) [99] (Fig. 6C and G); and advanced resistive exercise equipment (ARED) (Fig. 6E) [100] and iRED (Fig. 6D) to counter the effects of skeletal muscle unloading experienced in space [101]. Newer resistive and aerobic exercise devices, such as the Functional Re-adaptive Exercise Device (FRED) [102] (Fig. 6H) and SoniFRED [103], are currently under development and testing [72].\nOverview and evolution of deployed and underdevelopment countermeasures. Top row: (A) An early mechanical resistance device for the apollo exerciser used on the Apollo 11 mission (photo by Eric F. Long, Smithsonian National Air and Space Museum [NASM 2009-4775] ©Smithsonian Open Access ©©Ø); (B) a Teflon-coated treadmill-like device used during Skylab 4 for aerobic exercise. Image courtesy of Skylab 4 - Treadmill-like Exercise Device - JSC by ©NASA Johnson, licensed under CC BY-NC 2.0; (C) Cycle ergometer device used onboard the Discovery space shuttle for lower-limb training. Image courtesy of ©NASA. U.S. Government work, public domain. source: Picryl. Middle row: (D) iRED device used on Expedition 16 flight. Image courtesy of ©NASA); (E) ARED device used during the space shuttle missions. Image courtesy of ©NASA; (F) COLBERT treadmill device used on Expedition 21 flight . Photo credit: NASA, image courtesy of ©ESA; (G) CEVIS device used onboard the ISS. Image courtesy of NASA, The U.S. National Archives, public domain. source: Picryl; (H) the underdevelopment FRED device. Reproduced with permission from Winnard et al. [144], ©Elsevier. Bottom row: (I) The Pingvin/Penguin (Adeli) countermeasure suit providing elastic resistive loading to mimic gravity effects. Reproduced with permission from Kozlovskaya and Grigoriev [137], ©Elsevier; (J and K) different versions of the Gravity Loading Countermeasure Skinsuit (GLCS) generating axial loading for musculoskeletal maintenance. Reproduced with permission from R. F. Bellisle and D. Newman [136]; (L) mockup of the Biosuit, a mechanical counterpressure suit designed for enhanced mobility and life support. Reprinted with permission from Porter et al. [143], ©IEEE; (M) the Variable Vector Countermeasure Suit (V2Suit) offering directional resistance for balance and neuromuscular training. Composite image using NASA public-domain imagery, with module detail image used from Ref. [145] licensed under CC-BY 4.0.\nTreadmill use and higher nutrition intake in Skylab 4 reduced leg muscle atrophy [77], but bicycle ergometer and exerciser protocols did not yield remarkable benefits in preventing muscle atrophy. The iRED, which provided resistance of up to 125 kg via elastic cords, was introduced on the ISS in 2000. However, experimental results showed that it could not provide sufficient or constant resistance to prevent leg muscle atrophy or bone resorption.\nTherefore, the ARED was introduced in 2009 and eventually replaced the iRED, which utilizes vacuum cylinders and flywheels, allowing astronauts to perform leg exercises, such as squats and deadlifts. The ARED substantially provided greater resistance of around 275 kg, though crew members can only exercise one degree of freedom (DOF). Smith et al. [104] reported that, upon returning to Earth, astronauts who exercised with ARED in space had a higher proportion of lean mass and lower fat mass than those performing exercise with iRED. Although ARED is more effective, it is time-consuming and has been reported to impede visual acuity.\nA combination of ARED and pharmaceutical interventions (e.g., bisphosphonates) showed promise in preventing bone loss, but their long-term side effects in space are unknown [105,106]. As mentioned previously, some sprains and strains were reported during regular use of the ARED. It should also be noted that balanced mechanical systems, such as the ARED and others, unlike free weights, do not allow for the simultaneous training of stabilizer muscles. Hence, they can be less effective but also result in fewer injuries.\nThe FRED (Fig. 6H) has been developed to provide lumbar–pelvic reconditioning, with a focus on the lumbar multifidus (LM) and transversus abdominis (TrA) muscles, and to reduce symptoms of SABP [102]. A combined intramuscular and surface electromyography (sEMG) study by Weber et al. [107] using FRED found sustained activation of the TrA and LM muscles, endorsing its use as a countermeasure.\nDespite promising results in reducing or preventing LM and TrA deconditioning, FRED has not yet been deployed on the ISS. To counter SABP, researchers have also employed virtual reality to help users achieve correct orientation and posture [108] and to provide vestibular information for restoring proprioception in microgravity.\nIn general, resistive exercises have been shown to help prevent bone resorption in certain areas, such as the lumbar spine and hip [83,84,109]. Rittweger et al. [109] found that resistive exercises during HDBR prevented bone resorption in the tibia but not in the radius, lumbar spine, or hip. In a study using flywheel resistive exercise during HDBR, calf muscle atrophy and bone resorption were partially reduced [109]. This resistive exercise device enabled a gravity-independent workout and was found to increase muscle volume and strength. It was further found that High-intensity interval training (HIIT), a popular protocol for alternating periods of high and low-intensity exercise, proved more effective as a countermeasure against microgravity [110]. This protocol improves neurological, cardiovascular, or musculoskeletal fitness by increasing peak muscle power, lean muscle mass, and lung capacity. The protocol has been used since the earliest space missions, but the choice of exercises, their duration, and their effectiveness are now being optimized. The intensity, frequency, type of training (aerobic or resistance), and loading are essential considerations when evaluating countermeasure technologies and protocols [111].\nAG has also been proposed as a potential solution to mitigate space-induced microgravity effects [112,113]. The Japanese Space Agency (JAXA) implemented an AG system for mice and reported some success. However, implementing a successful system for humans remains challenging due to unknown optimal parameters and limited studies supporting its efficacy [114–116]. Also, spinning an entire spacecraft is cost-ineffective and presents safety hazards, so the focus has been on short-radius centrifuge systems [112]. Creating an AG equivalent to 1G requires a substantial angular velocity (approximately 30 RPM) and could cause transitional adaptation consequences, such as vestibular disruptions [117].\nFunctional electrical stimulation (FES) or NMES is a promising intervention that uses electrical impulses to activate muscle contractions. It provides a targeted approach to maintaining muscle mass and effectively counteracting muscle atrophy in microgravity environments. Mayr et al. [118] used an EMG-NMES system called MYOSTIM-FES to apply electrical stimulation (generating 20% of maximum voluntary force) for 6 h daily to 4 muscle groups: quadriceps, hamstrings, tibialis, and triceps surae. Although detailed results are unavailable, they found a 5% reduction in atrophy and an increase in Type 1 and Type 2 fibers. The technology was nonintrusive and user-friendly. Duvoisin et al. [119] reported improved muscle volume, mass, and CSA of twitch fibers in astronauts using the same technology. In the late 90s, NASA developed the StimMaster FES Ergometer [120] and the Percutaneous Electrical Muscle Stimulator II [121,122] used in the ISS’s human research facility.\nIn a recent study, FES of the triceps brachii increased muscle mass but did not significantly improve strength [123]. On-ground studies on the quadriceps group also replicated these findings [124,125]. It is hypothesized that FES/NMES may attenuate myostatin pathways that preserve mass but do not restore signaling pathways for strength [124]. FES/NMES exploration as a countermeasure is a relatively recent development, and the optimal electrical stimulation parameters remain to be investigated. FES/NMES has the advantage of providing selective muscle recovery and activating type II muscles at lower forces [126].\nRecent data further support the potential of NMES as a workable defense against spaceflight-induced musculoskeletal deterioration. NMES can produce muscle contractions similar to walking-induced skeletal loading while having a significantly lower metabolic cost, as shown by Abitante et al. [127]. This implies that NMES could enhance current workout routines by providing additional mechanical stimuli throughout the day without increasing crew workload or energy consumption. These results support NMES as an operationally feasible, low-resource supplement to existing countermeasures, although further verification in microgravity conditions is needed. However, its long-term effectiveness and safety must be assessed for extended space missions. FES/NMES has been known to have limitations, such as causing rapid fatigue and difficulty in providing reliable, consistent stimulation, and has also been experienced in subjects in recent studies [126,127].\nCurrent countermeasures are approaching functional limits, and astronauts are still returning to Earth with musculoskeletal deconditioning despite extensive exercise protocols and advanced devices on the ISS. Furthermore, excessive exercise can increase the probability of injury and generate free radicals, leading to oxidative stress. NASA and other space agencies are creating notably smaller spaceships than the ISS, making the currently bulky and extensive exercise countermeasures infeasible. For instance, the Lunar Gateway spaceship [128], developed as part of the Artemis programme, is only 12.5% the size of the ISS. Similarly, the Tiangong Space Station [129], Axiom Space Station [130], and Bigelow Aerospace B330 [131] are all future low Earth orbit (LEO) space stations that are substantially smaller than the ISS. Most space stations and spaceships have been designed for missions for 4 to 6 astronauts in a few weeks.\nSecondly, while the costs of carrying loads to space have decreased since the first missions, which were over $41,000/kg during the Space Shuttle era, they are still high at over $1,700.00 per kg, even accounting for the economics of reusable rockets [132]. This would render most platforms, such as TVIS, CEVIS, ARED, and others, unsuitable for the stations. Apart from concerns about weight, bulk, and the extent of current countermeasures, there are concerns about compatible materials, electronics insulated from EMI and radiation, vibration insulation, thermal sensitivity, leveraging existing power sources (whether pneumatic or electric), and so on.\nMounting operational, structural, and logistical issues increasingly limit the effectiveness and long-term feasibility of these countermeasures on the ISS. The ISS has been the main venue for testing and applying current countermeasures created to combat musculoskeletal atrophy in microgravity [133]. However, maintaining the ISS, including these countermeasure systems and other onboard infrastructure, results in annual operational expenses of about $3 billion, with system upgrades exceeding $1 billion annually. These financial strains are further heightened by the station’s aging hardware and structural deterioration, including ongoing air leaks and microcracks in the service module of the Russian segment, which have intensified and currently present risks to both habitability and system performance.\nThe resulting constraints on module integrity and internal space diminish the ability to incorporate new or more advanced countermeasure technologies. Additionally, logistical challenges, especially in mass and payload capacity, further impede the delivery of innovative countermeasure equipment, shielding, or experimental apparatus. With plans already underway for ISS decommissioning around 2030, which includes an $843 million contract awarded to SpaceX for controlled orbital re-entry [133], the window for enhancing and expanding current countermeasures is closing fast. These circumstances highlight the urgency of shifting musculoskeletal countermeasure research to next-generation commercial LEO platforms, where design can more effectively meet the technical innovations and the unique spatial and operational requirements of long-duration human spaceflight. Hence, the gap between existing countermeasures and protection against musculoskeletal deconditioning requires research on novel, individual-specific countermeasures for upcoming interplanetary space missions [132].\n\n\n### Exercise countermeasures on the ISS and other space missions\nAstronauts follow a strict regimen of exercise, diet, and pharmacological supplementation to minimize bone loss and muscle atrophy. While exercise devices initially featured simple resistance bands (Fig. 6A), bungee cords, and treadmill-like devices (Fig. 6B), they have since become more sophisticated. Astronauts now spend about 2 h daily on specialized equipment such as treadmills like the Treadmill with Vibration Isolation Systems (TVIS) [98], T2, and Combined Operational Load Bearing External Resistance Treadmills (COLBERT) (Fig. 6F); stationary bikes such as the Cycle Ergometer with Vibration Isolation System (CEVIS) [99] (Fig. 6C and G); and advanced resistive exercise equipment (ARED) (Fig. 6E) [100] and iRED (Fig. 6D) to counter the effects of skeletal muscle unloading experienced in space [101]. Newer resistive and aerobic exercise devices, such as the Functional Re-adaptive Exercise Device (FRED) [102] (Fig. 6H) and SoniFRED [103], are currently under development and testing [72].\nOverview and evolution of deployed and underdevelopment countermeasures. Top row: (A) An early mechanical resistance device for the apollo exerciser used on the Apollo 11 mission (photo by Eric F. Long, Smithsonian National Air and Space Museum [NASM 2009-4775] ©Smithsonian Open Access ©©Ø); (B) a Teflon-coated treadmill-like device used during Skylab 4 for aerobic exercise. Image courtesy of Skylab 4 - Treadmill-like Exercise Device - JSC by ©NASA Johnson, licensed under CC BY-NC 2.0; (C) Cycle ergometer device used onboard the Discovery space shuttle for lower-limb training. Image courtesy of ©NASA. U.S. Government work, public domain. source: Picryl. Middle row: (D) iRED device used on Expedition 16 flight. Image courtesy of ©NASA); (E) ARED device used during the space shuttle missions. Image courtesy of ©NASA; (F) COLBERT treadmill device used on Expedition 21 flight . Photo credit: NASA, image courtesy of ©ESA; (G) CEVIS device used onboard the ISS. Image courtesy of NASA, The U.S. National Archives, public domain. source: Picryl; (H) the underdevelopment FRED device. Reproduced with permission from Winnard et al. [144], ©Elsevier. Bottom row: (I) The Pingvin/Penguin (Adeli) countermeasure suit providing elastic resistive loading to mimic gravity effects. Reproduced with permission from Kozlovskaya and Grigoriev [137], ©Elsevier; (J and K) different versions of the Gravity Loading Countermeasure Skinsuit (GLCS) generating axial loading for musculoskeletal maintenance. Reproduced with permission from R. F. Bellisle and D. Newman [136]; (L) mockup of the Biosuit, a mechanical counterpressure suit designed for enhanced mobility and life support. Reprinted with permission from Porter et al. [143], ©IEEE; (M) the Variable Vector Countermeasure Suit (V2Suit) offering directional resistance for balance and neuromuscular training. Composite image using NASA public-domain imagery, with module detail image used from Ref. [145] licensed under CC-BY 4.0.\nTreadmill use and higher nutrition intake in Skylab 4 reduced leg muscle atrophy [77], but bicycle ergometer and exerciser protocols did not yield remarkable benefits in preventing muscle atrophy. The iRED, which provided resistance of up to 125 kg via elastic cords, was introduced on the ISS in 2000. However, experimental results showed that it could not provide sufficient or constant resistance to prevent leg muscle atrophy or bone resorption.\nTherefore, the ARED was introduced in 2009 and eventually replaced the iRED, which utilizes vacuum cylinders and flywheels, allowing astronauts to perform leg exercises, such as squats and deadlifts. The ARED substantially provided greater resistance of around 275 kg, though crew members can only exercise one degree of freedom (DOF). Smith et al. [104] reported that, upon returning to Earth, astronauts who exercised with ARED in space had a higher proportion of lean mass and lower fat mass than those performing exercise with iRED. Although ARED is more effective, it is time-consuming and has been reported to impede visual acuity.\nA combination of ARED and pharmaceutical interventions (e.g., bisphosphonates) showed promise in preventing bone loss, but their long-term side effects in space are unknown [105,106]. As mentioned previously, some sprains and strains were reported during regular use of the ARED. It should also be noted that balanced mechanical systems, such as the ARED and others, unlike free weights, do not allow for the simultaneous training of stabilizer muscles. Hence, they can be less effective but also result in fewer injuries.\nThe FRED (Fig. 6H) has been developed to provide lumbar–pelvic reconditioning, with a focus on the lumbar multifidus (LM) and transversus abdominis (TrA) muscles, and to reduce symptoms of SABP [102]. A combined intramuscular and surface electromyography (sEMG) study by Weber et al. [107] using FRED found sustained activation of the TrA and LM muscles, endorsing its use as a countermeasure.\nDespite promising results in reducing or preventing LM and TrA deconditioning, FRED has not yet been deployed on the ISS. To counter SABP, researchers have also employed virtual reality to help users achieve correct orientation and posture [108] and to provide vestibular information for restoring proprioception in microgravity.\nIn general, resistive exercises have been shown to help prevent bone resorption in certain areas, such as the lumbar spine and hip [83,84,109]. Rittweger et al. [109] found that resistive exercises during HDBR prevented bone resorption in the tibia but not in the radius, lumbar spine, or hip. In a study using flywheel resistive exercise during HDBR, calf muscle atrophy and bone resorption were partially reduced [109]. This resistive exercise device enabled a gravity-independent workout and was found to increase muscle volume and strength. It was further found that High-intensity interval training (HIIT), a popular protocol for alternating periods of high and low-intensity exercise, proved more effective as a countermeasure against microgravity [110]. This protocol improves neurological, cardiovascular, or musculoskeletal fitness by increasing peak muscle power, lean muscle mass, and lung capacity. The protocol has been used since the earliest space missions, but the choice of exercises, their duration, and their effectiveness are now being optimized. The intensity, frequency, type of training (aerobic or resistance), and loading are essential considerations when evaluating countermeasure technologies and protocols [111].\n\n\n### Artificial gravity\nAG has also been proposed as a potential solution to mitigate space-induced microgravity effects [112,113]. The Japanese Space Agency (JAXA) implemented an AG system for mice and reported some success. However, implementing a successful system for humans remains challenging due to unknown optimal parameters and limited studies supporting its efficacy [114–116]. Also, spinning an entire spacecraft is cost-ineffective and presents safety hazards, so the focus has been on short-radius centrifuge systems [112]. Creating an AG equivalent to 1G requires a substantial angular velocity (approximately 30 RPM) and could cause transitional adaptation consequences, such as vestibular disruptions [117].\n\n\n### Neuromuscular/functional electrical stimulation\nFunctional electrical stimulation (FES) or NMES is a promising intervention that uses electrical impulses to activate muscle contractions. It provides a targeted approach to maintaining muscle mass and effectively counteracting muscle atrophy in microgravity environments. Mayr et al. [118] used an EMG-NMES system called MYOSTIM-FES to apply electrical stimulation (generating 20% of maximum voluntary force) for 6 h daily to 4 muscle groups: quadriceps, hamstrings, tibialis, and triceps surae. Although detailed results are unavailable, they found a 5% reduction in atrophy and an increase in Type 1 and Type 2 fibers. The technology was nonintrusive and user-friendly. Duvoisin et al. [119] reported improved muscle volume, mass, and CSA of twitch fibers in astronauts using the same technology. In the late 90s, NASA developed the StimMaster FES Ergometer [120] and the Percutaneous Electrical Muscle Stimulator II [121,122] used in the ISS’s human research facility.\nIn a recent study, FES of the triceps brachii increased muscle mass but did not significantly improve strength [123]. On-ground studies on the quadriceps group also replicated these findings [124,125]. It is hypothesized that FES/NMES may attenuate myostatin pathways that preserve mass but do not restore signaling pathways for strength [124]. FES/NMES exploration as a countermeasure is a relatively recent development, and the optimal electrical stimulation parameters remain to be investigated. FES/NMES has the advantage of providing selective muscle recovery and activating type II muscles at lower forces [126].\nRecent data further support the potential of NMES as a workable defense against spaceflight-induced musculoskeletal deterioration. NMES can produce muscle contractions similar to walking-induced skeletal loading while having a significantly lower metabolic cost, as shown by Abitante et al. [127]. This implies that NMES could enhance current workout routines by providing additional mechanical stimuli throughout the day without increasing crew workload or energy consumption. These results support NMES as an operationally feasible, low-resource supplement to existing countermeasures, although further verification in microgravity conditions is needed. However, its long-term effectiveness and safety must be assessed for extended space missions. FES/NMES has been known to have limitations, such as causing rapid fatigue and difficulty in providing reliable, consistent stimulation, and has also been experienced in subjects in recent studies [126,127].\n\n\n### Limitations of current exercise countermeasures\nCurrent countermeasures are approaching functional limits, and astronauts are still returning to Earth with musculoskeletal deconditioning despite extensive exercise protocols and advanced devices on the ISS. Furthermore, excessive exercise can increase the probability of injury and generate free radicals, leading to oxidative stress. NASA and other space agencies are creating notably smaller spaceships than the ISS, making the currently bulky and extensive exercise countermeasures infeasible. For instance, the Lunar Gateway spaceship [128], developed as part of the Artemis programme, is only 12.5% the size of the ISS. Similarly, the Tiangong Space Station [129], Axiom Space Station [130], and Bigelow Aerospace B330 [131] are all future low Earth orbit (LEO) space stations that are substantially smaller than the ISS. Most space stations and spaceships have been designed for missions for 4 to 6 astronauts in a few weeks.\nSecondly, while the costs of carrying loads to space have decreased since the first missions, which were over $41,000/kg during the Space Shuttle era, they are still high at over $1,700.00 per kg, even accounting for the economics of reusable rockets [132]. This would render most platforms, such as TVIS, CEVIS, ARED, and others, unsuitable for the stations. Apart from concerns about weight, bulk, and the extent of current countermeasures, there are concerns about compatible materials, electronics insulated from EMI and radiation, vibration insulation, thermal sensitivity, leveraging existing power sources (whether pneumatic or electric), and so on.\nMounting operational, structural, and logistical issues increasingly limit the effectiveness and long-term feasibility of these countermeasures on the ISS. The ISS has been the main venue for testing and applying current countermeasures created to combat musculoskeletal atrophy in microgravity [133]. However, maintaining the ISS, including these countermeasure systems and other onboard infrastructure, results in annual operational expenses of about $3 billion, with system upgrades exceeding $1 billion annually. These financial strains are further heightened by the station’s aging hardware and structural deterioration, including ongoing air leaks and microcracks in the service module of the Russian segment, which have intensified and currently present risks to both habitability and system performance.\nThe resulting constraints on module integrity and internal space diminish the ability to incorporate new or more advanced countermeasure technologies. Additionally, logistical challenges, especially in mass and payload capacity, further impede the delivery of innovative countermeasure equipment, shielding, or experimental apparatus. With plans already underway for ISS decommissioning around 2030, which includes an $843 million contract awarded to SpaceX for controlled orbital re-entry [133], the window for enhancing and expanding current countermeasures is closing fast. These circumstances highlight the urgency of shifting musculoskeletal countermeasure research to next-generation commercial LEO platforms, where design can more effectively meet the technical innovations and the unique spatial and operational requirements of long-duration human spaceflight. Hence, the gap between existing countermeasures and protection against musculoskeletal deconditioning requires research on novel, individual-specific countermeasures for upcoming interplanetary space missions [132].\n\n\n### The Opportunities and Challenges for Wearable Technologies as Countermeasures\nIt is clear from the previous section that the countermeasures employed thus far are insufficient. However, a promising, relatively underexplored avenue is the development of wearable technologies specifically designed for space applications. Wearable robotics, as part of the inner or outer suit of astronauts or in the form of exosuits, is a promising alternative that can serve as a countermeasure to the musculoskeletal system’s stressors in space and mitigate their impact on astronaut physiology, overall health, and performance [134]. For example, they can act as programmable resistive exercise devices, providing continuous passive and active support to the musculoskeletal system. In addition to serving as countermeasures, these technologies can also enhance astronauts’ performance, enabling them to do tasks that are more challenging than they would typically be able to handle.\nAdditionally, wearable sensing can monitor astronauts’ health and their electrophysiological signals, body motion, mechanics, and interactions with their environment and suits [135]. This wealth of information can be used to warn of potential associated injuries, provide insights into astronauts’ psychosocial state and overall physical health, monitor the efficacy of countermeasures, and design better suits. Electrophysiological signals and body motion can complement each other to control wearable robotic systems.\nWearable robotics is still in its relative infancy in terrestrial applications and is not yet widely employed on Earth or in space. Aside from some limited examples in the industry, such as demonstrators or outputs of research projects, wearable robotics is not commonly used. On the other hand, wearable sensing is extensively used on Earth in its basic forms (e.g., watches, patches, jewelry, and chest bands) with limited sensing capabilities, including electrocardiogram (ECG), pulse oximetry, motion detection, sleep patterns, and breathing rate.\nAdvanced wearable sensing devices such as epidermal electronics, sweat analysis, and wearable microfluidics have been extensively researched for terrestrial applications. Wearability necessitates small form factors, which, in turn, require miniaturization, flexibility, and stretchability. To achieve a small form factor, highly integrated application-specific microelectronics are needed. However, such miniaturized, highly integrated, mixed-signal microelectronic components are not available as radiation-hard components. The available radiation-hard components are somewhat limited, hindering the implementation of advanced wearable devices in space. Additionally, the limited space in the shuttles and the need to use equipment or wearable suits further constrain the deployment of wearable devices in space. These technologies, holding great promise for both space and terrestrial applications as well as for human life in general, are discussed below.\nWearable systems such as the Pingvin [136] (Fig. 6I) and Gravity Loading Countermeasure Skinsuit (GLCS) (Fig. 6J and K) have been investigated to mitigate the effects of microgravity since the 1990s [137–140]. These suits, designed to emulate gravity passively via strategically positioned elastic bands or weaves, were tested on the Mir and ISS. The Pingvin suit, the predecessor to the GLCS, delivered a 0.5G load without exercise but was criticized for discomfort and inadequate thermal conductivity.\nThe GLCS, drawing lessons from the Pingvin suit, incorporated bidirectional elastic weaves to enable variable axial loading through tension application from the shoulders to the feet [141]. On average, the GLCS managed to impose a 0.7G load. However, it was reported to be quite restrictive and to slow locomotion, making its use on the ISS impractical. Despite these drawbacks, the GLCS demonstrated potential benefits, including improved ventilatory response, reduced perceived workload in microgravity, and decreased spinal elongation, suggesting a possible role in mitigating back pain [141,142]. Another technology being developed by the same laboratory is the Biosuit (Fig. 6L), a mechanical counterpressure suit leveraging the body’s strain fields and the concept of lines of non-extension. This design was proposed as an alternative to pressurized spacesuits and consequently reduced the discomfort and potential injuries suffered by astronauts [143].\nMore recent research has focused on the development of the Variable Vector Countermeasure Suit (V2Suit) (Fig. 6M) [144,145]. The V2Suit utilizes wearable modules comprising an inertial measurement unit (IMU) and a control moment gyroscope (CMG) to deliver dynamic resistance to different body segments. The IMU tracks orientation, position, and motion, while the CMG generates torque and resistance [144]. However, IMU-based orientation estimation can be unreliable in microgravity, as the lack of a 1G gravity reference causes cumulative drift and orientation errors. In response to this, a drift-resilient algorithm has been proposed [146] that maintains accurate IMU tracking without relying on gravitational or magnetic references, using local tangential and centripetal accelerations to improve robustness in 0G environments. The integration of V2Suit with GLCS and novel algorithms could enhance dynamic loading to counter muscle atrophy. However, its effectiveness depends on the algorithm’s robustness and the accuracy of the IMU’s estimations [145].\nAs part of its Game Changing Development (GCD) program [147], NASA co-developed several exoskeleton/exosuit technologies for in- and post-flight exercise, rehabilitation, and assistance applications. NASA’s co-developed X1 lower-limb exoskeleton (Fig. 7I) with the Florida Institute for Human and Machine Cognition (IHMC) serves as a resistive exercise device in space and for terrestrial assistive applications [148]. The European Space Agency (ESA) and its telerobotics laboratory also developed several systems, such as the EXARM, X-ARM-II, SAM, and the ESA exoskeleton (Fig. 7J) [149]. However, these exoskeletons were developed for telepresence and haptic feedback applications rather than specifically for assistance or rehabilitation.\nAn overview of wearable robotic systems developed for terrestrial and space applications. Top row: (A) The Vanderbilt powered orthosis, now commercialized as the Indego exoskeleton, providing gait rehabilitation. Reprinted with permission from Farris et al. [189], ©IEEE; (B) the Stuttgart Exo-Jacket for upper-body support and load reduction during manual handling. Reprinted with permission from Ebrahimi et al. [158], ©IEEE; (C) the SuitX exoskeleton consisting of the shoulderX, backX, and legX components (US Bionics, now acquired by ©Ottobock) [156] providing modular industrial and medical assistance. Image courtesy of ©Ottobock/SuitX. Used with permission; ; (D) the DeltaSuit by ©Auxivo. Image courtesy of ©Auxivo. Used with permission. Middle row: (E) A body-powered variable impedance suit to reshape lifting posture. Reproduced with permission from Yun et al.[306], 6(57) 2021 ©AAAS.; (F) a tendon-driven ankle exosuit, now commercialized by ReWalk. Reproduced with permission from Malcom et al. [179], 356(6344) 2017 ©AAAS; (G) a pneumatic exosuit for restoring arm function. Reprinted with permission from O’Neill et al. [214], © 2020 IEEE; (H) a fluid-powered soft robotic glove for grasp assistance and hand rehabilitation. Reproduced with permission from Polygerinos et al. [180], ©Elsevier. Bottom row: Robots developed for space-related applications: (I) the NASA X1 exoskeleton co-developed with IHMC/NASA. Image courtesy of ©NASA [148]; (J) an exoskeleton developed at the ESA for telerobotics/telepresence applications. Image courtesy of ©ESA [149]; (K) the NASA RoboGlove co-developed with GM ©NASA for grip augmentation and hand fatigue reduction. Image courtesy of ©NASA/GM; (L) the Armstrong shoulder exosuit co-developed with Rice University for upper-limb strength. Image courtesy of ©NASA/Rice University [150].\nNASA has also embarked on developing softer systems, including the Robo-Glove (Fig. 7K) [146], a spin-off from the Robonaut 2 project, developed in collaboration with General Motors (GM), to aid in physically intensive and repetitive tasks. The Armstrong system (Fig. 7L), co-developed with Rice University, aims to enhance shoulder augmentation and rehabilitation [150]. Similarly, the Japanese and Russian space agencies have also investigated and invested in exoskeleton technologies.\nThese wearable systems could function as a portable gym for astronauts, providing constant muscle loading and potentially replicating gravity, thereby supplementing or replacing traditional exercise sessions. In the space-constrained ISS environment, where time and productivity are crucial, wearable devices could provide full-body monitoring, apply targeted resistance profiles for training, and serve as both assistive and resistive devices with a simple change in control strategy. As most of these systems were developed by space agencies rather than as part of academic research, detailed descriptions are not always available for a thorough review. Details of research-based and some commercial wearable robotic and sensing systems will be discussed in the next section to present their potential as alternatives to current countermeasures.\nThe potential of wearable robotics and sensing technologies to monitor musculoskeletal health and to provide an active countermeasure through dynamic muscle loading or assistance could be game-changing. In space-based applications, wearable robotic technologies could provide small forces, ranging from partial dynamic muscle loading and mimicking a sense of partial gravity to high-force active assistance during physically strenuous IVA and EVA tasks. Based on this, exoskeleton technologies can be broadly classified by the magnitude of force transmission from the robot to the wearer. The magnitude of force transmission required for the application would determine the embodiment, actuation principle, and the extent and size of the exoskeleton, as well as whether the suit can be predominantly soft/compliant, rigid, or hybrid in form factor. Low-force applications could be based on lightweight, low-form-factor soft-bodied exosuits driven by cable-based actuation, while high-force applications would use rigid frames and may even employ hydraulic or pneumatic actuation.\nAstronauts performing an EVA must wear the EMU suit, which consists of multiple layers culminating in the HUT. In the vacuum of space, this pressurized suit can severely hinder movement, requiring the astronaut to fight against both the suit and physical activity for hours, causing substantial discomfort, fatigue, and potentially skin, muscle, and joint injuries. Furthermore, EMU fit misalignment can exacerbate injuries and musculoskeletal disorders like microgravity-induced lower back pain. With most activities relying on the extremities, we observed that overuse and repetitive strain injuries commonly affect the hands, feet, and shoulders. For assisting with medium- to high-force applications, a rigid-bodied exoskeleton technology integrated into the suit is a potential solution for astronauts. In addition to assisting during IVA/EVA, these compact exoskeletons could also provide constant resistance during various activities, mimicking the effect of Earth’s gravity and/or providing constant loading, acting as a wearable gym for the astronaut.\nAmong exoskeleton technologies, rigid-bodied exoskeletons have been the dominant design architecture, providing a rigid frame and facilitating high force and torque transmission (Fig. 7A to D) [151–153]. These systems can be actuated actively (Fig. 7A and B) or passively (Fig. 7C and D). The same hardware platform could substantially improve performance for active systems with more sophisticated controller designs. A number of these systems have received regulatory approval and are now commercialized for various high-force/torque applications [154–156]. In terrestrial applications, lower-body systems (Fig. 7A and B) are more prevalent than upper-body systems (Fig. 7C and D), with few systems achieving complete portability [155,157,158]. The rigid-body design archetype enables high forces to be transmitted through the exoskeleton’s frame rather than through the body, as with soft exoskeletons, facilitating higher force transmission.\nHowever, rigid-bodied exoskeletons have disadvantages, such as being heavy and extensive, requiring high-torque actuators, and large power sources [159,160]. Lightweight systems made from materials such as carbon fiber can improve wearability but may still limit the range of motion for basic ADL [161–164]. The sub-optimal mechanics of engineered rigid-bodied systems, compared to the complex biomechanics of the human body, can result in restrictive or constraining movements and be a potential source of discomfort, pain, or injury [153,165–167]. Systems designed with self-aligning [168] or self-adapting [169] mechanisms may alleviate this problem, but would come at the cost of increased size and weight [170–173]. Rigid exoskeleton design is an exercise in optimizing the size and weight of actuators, power sources, and frames, which can form a vicious cycle, and the design of heavy/bulky systems has led to the discontinuation of military projects such as HULC and XOS [151,153,174]. However, advances in power storage, materials, actuation, and sensing technologies make rigid-bodied exoskeletons increasingly realistic for real-world applications.\nIn space, while microgravity leads to many maladaptations in the human body, it provides an advantage for adopting rigid exoskeletons, as weight is no longer a limitation. However, the device’s bulk, size, and inertia remain the same. This allows for more sophisticated designs, powerful actuators, or heavier power sources (such as batteries or compressed fluid storage). Additionally, microgravity allows actuators to operate without having to contend with gravity, instead relying solely on inertia, friction, and other gravity-agnostic forces, thereby breaking the vicious cycle that rigid-bodied systems often suffer in terrestrial applications. This advantage in space could make rigid-bodied exoskeletons a preferred option for assisting with challenging, labor-intensive EVA activities.\nWhile the previous subsection discussed medium-to-high force transmission, there is also the opportunity for low-to-medium force applications. In space, this primarily pertains to technologies that can be worn for extended periods without being obtrusive or causing discomfort. The technology could act as an active wearable countermeasure, providing a sense of partial gravitational loading, and as a wearable gym, encouraging the wearer to put more effort into ADLs, helping maintain muscle tone and preventing atrophy. The GLCS and Pingvin suit aimed to achieve this passively by partially counteracting gravity’s effects. A second application of the same technology could be at-home rehabilitation post-flight.\nAs weightlessness is no longer advantageous in terrestrial applications, lightweight, unobtrusive, transparent, compliant, and low-profile systems could prove more beneficial. Technologies based on soft robotics principles could be ideal for this application. Wearable soft robotic systems are lighter, less restrictive (with a greater range of motion and a lower risk of injury), and more energy-efficient than their rigid counterparts [175], facilitating assistance for complex joints such as the shoulder and hip (Fig. 7E to H). Soft robotics emerged as a field as the need for enhanced physical human–robot interaction and the limitations of conventional robot design in complex environments increased [176]. Researchers drew inspiration from nature, incorporating the compliance of soft tissues [176,177] and embodied intelligence [178] into their designs.\nSoft robotic principles are ideal for assisting multi-DOF joints with complex biomechanics, such as the wrist, shoulder, and hip. However, current research primarily focuses on single-DOF assistance (see Fig. 7E to H and [179–185]). Some systems demonstrate the concept of simultaneous multi-DOF aid [186–189], but only a few have demonstrated this capability [186,187]. Soft-bodied systems can have a low profile and be concealed and worn under regular clothing, thereby removing psychosocial barriers associated with advertising weakness or dependency on assistive technology. They also use less expensive, more widely available materials, thereby increasing affordability [175]. The low profile, unobtrusiveness, and improved wearability of these systems would also be advantages inside spacecraft and space stations, where real estate is at a premium. Most soft-bodied wearable robotic systems have focused on hand exoskeletons due to the low force requirements or on assisting single-DOF movements, such as the elbow. As we move up the limb, with increased mass and inertia, developing completely soft systems to achieve 100% assistance becomes more difficult, with few systems capable of multi-DOF shoulder assistance. Similarly, most lower-limb systems focus on assisting the ankle to improve propulsion, whereas hip systems are less prevalent or provide only limited assistance.\nThe biggest drawback of soft-bodied exoskeletons stems from their principal strength: the absence of a rigid external frame. The lack of a rigid frame results in limited force and torque transmissibility, the absence of force grounding, difficulty in achieving direct drive, and challenges in sensor and motor mounting [188].\nMoreover, the limited power output from soft actuation technologies also results in lower force and torque. However, limited force generation may not be a shortcoming in space-based applications, as actuators do not have to overcome gravity to provide assistance or resistance. This could make space applications an ideal testing ground for soft-bodied systems. However, one of the biggest challenges with a low-profile, nondirectly driven system (regardless of the actuation principle) is that its low profile limits the available moment arm, consequently reducing the torque applied to the joints. While this is not necessarily a challenge for the fingers or the wrist, developing purely soft systems, such as the shoulder, becomes challenging. A potential middle ground built on hybrid systems could provide higher forces. These systems could employ rigid and soft components [190] or materials and mechanisms that stiffen and soften on demand. Another challenge in the design and implementation of soft exoskeletons is the nonlinearities arising from the compliance in soft embodiments and the influence of the user’s body on the system dynamics, which complicates controller design [191–194]. Some systems have investigated on-demand variable stiffness to overcome this shortcoming. A review of different stiffening technologies was compiled in Refs. [190,195], while a detailed review of soft robotic suits was compiled in Refs. [196,197].\nTraditionally, rigid-bodied exoskeletons have used electricity or pneumatics/hydraulics as energy sources [198]. A comparison of actuator principles, including their descriptions, advantages, disadvantages, and suitability for wearable robotics in space applications, is given in Table 2. Electromagnetic actuators, such as direct current (DC) motors, are prevalent in exoskeletons due to their availability, reliability, ease of installation, operation, and control [199]. Examples of systems using motors include the Indego exoskeleton (Fig. 7A), the Stuttgart Exo-Jacket (Fig. 7B), the HAL Single Joint Elbow [154], and the Hand of Hope [200], with various transmission systems, both using direct-drive [189], and indirectly through tendons [201], linkages [200], and chain-and-sprocket [202] mechanisms. Series elastic actuators (SEAs) with sophisticated human-in-the-loop controllers are now being developed to realize individual-specific profiles that maximize assistance and aim to address challenges such as the high impedance characteristics of DC motors and other actuator-related limitations [203].\nActuation principles in wearable systems\nConventional pneumatic systems offer a favorable power-to-weight ratio (when pressurized containers are not included) and were developed for finger movements [204] and wrist pronation/supination [205]. These actuators have been adapted into pneumatic artificial muscles (PAMs), a different approach using pneumatics inspired by biological muscles, which have been widely used in rehabilitation and assistance applications in both rigid-bodied and soft-bodied systems [206,207]. Recently, a study demonstrated a multifunctional wearable robotic system that notably enhances user mobility and muscle activation through adaptive actuator control via PAM while maintaining minimal additional metabolic cost [206]. Building on the biomimicry approach, they have been used directly or indirectly through tendons and linkages [193,208]. These actuators have limited displacements but can exert high forces. However, like other soft actuators, they suffer from their nonlinear nature.\nHydraulics or pneumatics in space presents an additional challenge: managing large temperature variations, and hydraulic fluids can cause short circuits and other damage. Hydraulic SEAs, which combine hydraulics and electric motors, have also been used in fixed platforms, such as the NeuroEXOS system [209]. Apart from weight no longer being a limitation, pneumatic systems can be a potential actuation source, built on cutting-edge knowledge and implementations from spacecraft and space stations, and leveraging pre-existing resources, including access to compressed gases.\nSoft exoskeletons [196,197] have been developed with passive (Fig. 7E) and active (Fig. 7F to H) actuation principles. While most systems were designed for terrestrial applications, they provide a comprehensive overview of the field, facilitating further research into space applications. Soft exoskeletons based on passive actuation principles can be efficient from a power/weight perspective. Systems built on top of the GLCS and other concepts leverage springs, dampers, inertia, or other novel passive elements to apply resistive forces or promote good ergonomics [141], which could be desirable for space applications. Among active actuation principles, DC/BLDC motors have been the most common method for controlling cable- or tendon-driven systems. Examples include commercial systems such as the Robotic SEM Glove [174,210] and the system by Bae et al. [179] (Fig. 7F) commercialized by ReWalk and other research-based systems [181,182,211].\nCable/tendon-driven systems with centrally located actuation packs are more common than direct-drive systems, as mounting motors on soft frames is challenging and adds weight and inertia to the limbs being assisted. Tendon-driven systems offer an easy setup, maintenance, remote actuator placement, controllability, a low profile, and higher forces compared to pneumatic and hydraulic soft actuators [181,212]. Some tendon-driven hand exoskeletons are under-actuated and use only a single actuator for multiple joints [199]. Localized forces from tendons or attachment points are a concern when using cables or tendons and require elements to improve force distribution. This challenge intensifies as force requirements increase, leading to increased cable tension, such as in systems for the shoulder or hip.\nUsing pneumatics and hydraulics, soft actuators ranging from single-chamber gloves [213] to more sophisticated elastomer-based actuators (with/without internal chambers and reinforcements) have been developed for achieving programmed displacements such as contraction, bending, and twisting [214–218] (Fig. 7G). Kassanos et al. [219] provided a solution to derive reinforcement configurations based on desired tip trajectories. A different design approach by Pylatiuk et al. [220,221] proposed a wearable system using an actuator inspired by spider legs. Some of these systems have been developed for at-home rehabilitation with a portable actuation pack for hydraulic fluid/air canisters and controllers [183,187] (Fig. 7H). However, compared to cable-driven systems, pneumatic and hydraulic systems suffer from limitations such as lower control bandwidth, slow response time, and restricted portability due to their tethering to air compressors or tanks (though smaller portable canisters are an option) [212,218].\nSoft pneumatic actuators also face challenges, including low output forces, limited functional bandwidth in PAMs (although force output is high), noise, and safety concerns stemming from sudden pressure release due to leaks or bursts [222]. PAMs, like most other novel soft actuation methods, exhibit hysteresis and substantial nonlinear behavior, necessitating the development of appropriate control strategies, particularly to achieve accurate joint trajectory tracking. Relatively straightforward as well as more sophisticated modeling methods, including echo state networks [223], have been used to approximate the system dynamics for improved behavior prediction. Recently, hybrid models integrating pneumatic and electric actuators have been developed to combine the benefits of both—high accuracy, force capability, and back-drivability. Actuation systems must also manage extreme temperature variations, vibration isolation, radiation hardening of controller electronics, and other space-specific limitations.\nArtificial actuators can be complemented by FES/NMES-induced muscle contractions to enhance control precision and reduce muscle atrophy [224]. Leveraging natural muscle power through electrical stimulation also allows for smaller, lighter systems that can be worn under clothing [126,202,207]. With ongoing miniaturization, fully wearable FES systems are now feasible. However, the use of FES/NMES in space remains limited, as the nonlinear and time-varying nature of the neuromusculoskeletal system can cause identical inputs to produce variable responses, necessitating advanced modeling and control of the human–suit system. By integrating improved artificial intelligence (AI) algorithms and predictive control, these nonlinearities can be mitigated, enabling real-time adaptation of stimulation parameters based on physiological feedback and enhancing reliability, precision, and user comfort during prolonged space missions.\nResearch into soft robotics continues to grow, and several soft actuation technologies for wearable robotics have been developed. Interdisciplinary research in engineering, materials, and other fields has led to novel actuation technologies such as shape memory materials [225] ionic/electronic electro-active polymers (EAPs) [226], dielectric elastomers [227], twisted nylon coil artificial muscles (twisted string actuators) [228], dielectrophoretic liquid zipping (DLZ) actuators [229], hydraulically amplified self-healing electrostatic (HASEL) actuators [230], and magnetorheological and electrorheological fluids [189,231].\nThe above and other concepts, such as fluidic fabric muscle sheets, liquid crystal elastomers, magnetoactive soft materials, and thermally responsive hydrogels [232], while currently at a low technology readiness level (TRL) for real-world translation in wearable robotics, could soon be incorporated into rehabilitation, assistance, and stability/support applications for both space and terrestrial applications. However, before this can be achieved, challenges and limitations need to be overcome, such as precisely modeling and controlling for the nonlinear behavior of most of these actuators, among others. Concept-specific limitations include the slow response of shape memory materials and twisted string actuators, the oil retention and encapsulation of DLZ actuators, and the low force capabilities of electroactive polymers and dielectric elastomers. The advantages and disadvantages of traditional and novel actuation mechanisms, along with their suitability for space applications, are summarized in Table 2.\nSensors that monitor the psycho-physiological state, musculoskeletal adaptations, human–spacesuit interactions, and countermeasure effectiveness are crucial to astronaut well-being and operational success while also facilitating human–robot synergy in wearable robots [2,198,233]. The strict operational demands of space agencies, such as NASA, ESA, JAXA, and ROSCOSMOS, necessitate compact, user-friendly, rugged devices with long battery life and Food and Drug Administration-approved clinical support [234].\nAdditionally, these sensors must withstand radiation beyond Earth’s atmosphere, requiring active electronics developed using radiation-hardening techniques and shielding, particularly within the South Atlantic Anomaly. This subsection aims to briefly discuss different sensing modalities loosely along the lines of (a) physiological effects of adaptations and injuries; and (b) biomechanical sensing and detecting user intent. This is because such sensors can be used to monitor astronaut health, assess the efficacy and impact of countermeasures, detect and predict injuries, and control wearable robotics.\nWhile the EMU suit and glove provide life support in outer space’s harsh environment, prolonged use often leads to fatigue and injuries, particularly to the fingertips and fingernails. The challenging environment and reduced efficacy of medications in space necessitate preventative monitoring. Sensing modalities employed for this purpose range from laser Doppler flowmetry probes to piezoresistive sensor strip arrays, humidity sensors, and thermocouples [94,235]. Additionally, multi-sensory glove-based approaches involving galvanic skin response and barometric pressure sensors have been utilized to assess skin moisture and perspiration, as well as transient pressure changes, during dynamic tasks [236]. Other approaches include the electromagnetic skin patch with a radio frequency resonant spiral proximity sensor [92], proposed for assessing the distance between the suit, the LCVG, and the skin. However, these sensors are affected by their proximity to the metal in the HUT (Fig. 8D).\nAn overview of wearable sensing systems developed for terrestrial and space applications. Top row: (A) A textile-integrated, liquid metal-based resistive pressure sensor array for spacesuit dynamics. Reprinted with permission from Anderson et al. [242], ©IEEE; (B) textile-integrated InGaZnO (IGZO) thin-film transistors for space applications. Reprinted from Costa et al. [243], published under a CC-BY 4.0 license; (C) extrusion 3D printing of directly embedded resistive strain sensors. Reproduced with permission from Muth et al. [237], ©John Wiley & Sons; (D) electromagnetic resonant spiral proximity sensors for monitoring shoulder joint clearance in space suits for injury prevention. Reproduced with permission from Loftlin et al. [92], ©Elsevier. Bottom row: (E) NFC-powered flexible chest patch for fast assessment of cardiac, hemodynamic, and endocrine parameters. Reprinted with permission from Rosa et al. [247], ©IEEE; (F) a wearable high-density EMG sleeve. Reproduced with permission from Varghese et al. [307], published under a CC-BY 4.0 license; (G) subject wearing an AR headset (Microsoft HoloLens) and an EEG headset. Reproduced from Vortmann et al. [275], published under a CC-BY 4.0 license; (H) the XSens IMU Awinda suit developed by ©XSens. Image courtesy of XSens/Movella. Used with permission.\nOther sensing technologies for monitoring body–suit–environment interaction can measure forces ranging from tactile/haptic levels to assess discomfort and potential for injury. Composite material-based strain/pressure sensors embedded in suits are a promising sensing method, owing to their versatility and fabrication using techniques such as extrusion-based 3D printing, laser carbonization, injection molding, and/or stencil printing [219,237–241] (Fig. 8A to C). These sensors typically employ a polymer matrix and conductive filler, facilitating the sensing of suit–body–environment interactions and using the data to optimize human–suit (robot) ergonomics and controller design [233]. In Ref. [89], human–suit interaction was assessed using a pressure-sensing mat on the shoulder and custom pressure sensors along the arm.\nThese versatile soft sensors utilize microfluidic channels in an elastomer filled with liquid metal (gallium–indium–tin eutectic) (Fig. 7A). Radial/circumferential, shear, and normal strains could be measured, making this approach suitable for both generalized and application-specific interaction/injury monitoring and to assess body kinematics or dynamics [89,242] (Fig. 8A). Thin-film technology, based on clean room-based microfabrication techniques, has found applications in this field (Fig. 8B) due to the potential realization of high-performance, highly miniaturized, flexible, and stretchable devices, as well as the ability to co-integrate readout electronics with sensors such as strain and electrophysiological sensors [243]. Among the various technologies explored, indium–gallium–zinc oxide (IGZO)-based transistors hold great promise for the realization of flexible transistors [243]. Recently, Song et al. [244] have developed an e-skin sensing equipment that simultaneously measures temperature and pressure, enabling both injury and stress monitoring. However, it should be noted that these systems can have lower reliability or robustness and require notable improvement in TRL before they can be adopted for space applications.\nIn addition to being informed about the onset and extent of injuries, understanding general physical and mental well-being, as well as the impact of different maladaptations in space, is critical. Wearable multiparametric sensing systems were developed for this purpose, such as the Canadian Space Agency’s Astroskin Bio-Monitor system [245] (measuring activity level, breathing rate, blood oxygen saturation, skin temperature, ECG, and systolic BP) and a polysomnography (PSG) system for monitoring sleep quality [246] (measuring EMG, EEG, ECG, electrooculography [EOG], thoracic movements, and airflow).\nSimilarly, obtaining a quantitative understanding of the extent of musculoskeletal and other adaptations in near real time by measuring electrolytes, proteins, and other biomarkers, as reviewed in the previous sections, could be vital for individual-specific tuning of nutrition, supplementation, and exercise regimens. While not explicitly developed for space applications, several multiparametric sensing devices for comprehensive analysis of body fluids, such as sweat, including amperometric (monitoring metabolites like glucose), impedimetric (monitoring biomarkers such as stress hormones like cortisol), potentiometric (measuring electrolytes such as pH, calcium, etc.), and/or bioimpedance (monitoring tissue hydration, galvanic skin response, and tissue ischemia), could be further optimized and tailored for obtaining real-time feedback on musculoskeletal adaptations (Fig. 8E) [247–251]. Many of these systems are still lab-based and require real-world product development to focus more on improving robustness and reliability.\nBeyond health and injury, monitoring physical and mental fatigue is crucial, particularly for mission-critical and hazardous IVA/EVA activities. Muscle fatigue, evaluated using sEMG and Mosso’s ergograph (Fig. 8F), could be particularly useful, especially during labor-intensive IVA/EVA activities [215]. Technologies integrating multiple sensing modalities, such as brain–computer interfaces (BCIs) integrated with augmented reality/virtual reality (AR/VR) (Fig. 8G), computer vision, eye-tracking, and AI, can provide not only context awareness but also real-time monitoring and adaptive instructions, drastically improving performance and quality during critical IVA/EVA tasks [252,253].\nHaving astronauts wear wearable robotic systems solely as an exercise countermeasure will not leverage the technology’s full capabilities. If astronauts intend to use wearable robotic systems for active assistance during IVA/EVA tasks, misinterpretation/delays in understanding user intent would result in unnatural compensations, increased mistakes, frustration, and eventual disuse of the technology. Therefore, apart from the monitoring applications already discussed, sensing the body–suit–environment state, interaction, kinematics, dynamics, and intent in real time becomes vital [151,233]. The different sensing modalities, along with their advantages and disadvantages, are tabulated in Table 3.\nSensing modalities in wearable systems\nControl inputs in wearable robotics have evolved from simple analogue [195] and expiration switches [209,254] to advanced electrophysiological measurements based on EMG (Fig. 8F) and BCIs (Fig. 8G). Electrophysiological measurements can be superior, as they can even detect the onset of movement. Surface EMG is valued for its noninvasiveness, ease of use, and compatibility with wearables while offering insight into neural intent. Kuroda et al. [255] have successfully utilized myoelectrical signals generated by muscle contractions for both sensing and actuating hand control for tactile interaction. This and similar systems enable intuitive control of devices by translating natural muscle activity into mechanical motion. Advances have incorporated biomechanical and neuromusculoskeletal models for smoother control [256], high-density EMG (HD-EMG) data acquisition (Fig. 8F) [257], and novel signal-processing techniques [258–260] for intuitive control of orthotics and prosthetics. Wearable systems for monitoring muscle activation in astronauts have been developed and tested.\nBCIs are gaining attention in wearable robotic control, where they record EEG or metabolic functional near-infrared spectroscopy (fNIRS) changes [261]. They have been used to control robots via motor imagery [203], visual evoked potentials [259], and P300 signals [258]; however, they have not yet demonstrated accurate real-time control. BCIs, combined with other sensing modalities like eye-tracking and computer vision, could aid in context awareness and more accurate user intent detection and cognitive workload monitoring [252] (Fig. 8G). While real-time BCI control remains a challenge, promising research efforts based on issuing higher-order commands than low-medium-level control [262], employing fast-switch-based methods [263], and predictions generated by forward models [264] are being used to inform robot movements and move closer to achieving real-time control.\nIn tandem with muscle and neural activity signals, various strain, force, and kinematic sensing approaches can offer vital insights into the human–robot system state, interactions, and user intent, thereby regulating controller input [184,201,264–266]. Joint angle, velocity, and acceleration [218,267] measurements are frequently employed, occasionally in conjunction with joint torque metrics [268,269]. The widespread use of IMUs (Fig. 8H) in various real-world systems, including space-based wearables, underscores their effectiveness [144,145,187,270]. Textile-based wearable sensors provide an innovative alternative for monitoring kinematics and physiology. Combined with statistical models, neural networks, or other AI-based algorithms, they enable the accurate prediction of complex body movements, such as torso, lumbar shape, and posture [91], as well as multi-DOF movements [271].\nFor intuitive human–robot interaction, force-sensing technologies are essential for understanding dynamics and the interactions among humans, robots, and their environment. They provide valuable metrics to controllers, utilizing tactile [196,209], capacitive [212,219], and resistive sensors [241,272] to track user intent and generate appropriate movements and forces. Inductive [273] and deformation-based sensors, based on load cells, monitor interaction forces, providing a key input to the wearable robot’s closed-loop controller [274]. Conductive composites, liquid metals, and other strain/pressure sensing modalities [219,237–242] (Fig. 8A and C). As discussed in the previous subsection, this approach could also be used for sensing interaction and obtaining tactile or haptic feedback. Context awareness, utilizing data from cameras and eye trackers, which can be potentially integrated within AR/VR headsets (Fig. 8G), when combined with neural and muscle activity signals, could help identify user intent more accurately [275,276].\nHuman spaceflight involves the interplay among physiological, environmental, and external stressors, which impact astronaut health and operational performance. We identified microgravity, radiation, and psychosocial stressors [4] as the most prominent connected challenges facing astronauts in spaceflight. These challenges will likely degrade the body’s capacity to maintain functional strength and coordination and also limit cognitive resilience and emotional stability. We argued that in response to such challenges, wearable robotic countermeasures may emerge as potential solutions to aid human physical rehabilitation and enhance task performance during long-duration spaceflight. However, there are challenges or bottlenecks to consider when utilizing these technologies in tandem with the existing complexity of human spaceflight. A thorough understanding of the interaction between spaceflight stressors and technological constraints (Table 4) is essential for developing effective, context-appropriate countermeasures.\nStressors, bottlenecks, challenges, and solutions\nMicrogravity fundamentally disrupts human biomechanics, driving rapid physiological deconditioning. The absence of gravitational loading leads to muscle atrophy, particularly in the antigravity muscles of the lower limbs and trunk, bone demineralization, impaired proprioception, and altered sensorimotor control. These physiological changes justify the development of wearable robotic countermeasures capable of generating controlled, artificial loading during movement or exercise. However, this absence of gravity complicates the design, control, and user perception of these devices. Traditional resistive mechanisms, reliant on fixed reference points (such as ground contact), do not function as expected in microgravity. Therefore, exoskeletons must generate internally consistent force loops, through harnesses, counteracting actuators, or structural constraints, to simulate meaningful resistance. These design adaptations increase mechanical complexity and demand sophisticated actuators, sensors and control algorithms that remain stable under variable force dynamics and user input.\nAs human exploration extends beyond LEO, wearable systems must function in diverse gravitational environments. The moon has about one-sixth of Earth’s gravity, while Mars has roughly one-third. Each environment introduces unique biomechanical, locomotion and control dynamics (see the “Human locomotion and movement” section), necessitating real-time adaptability in assistive or resistive force profiles. Verdel et al. [277] found that humans can rapidly adjust their motor behavior; the human motor system does not merely counteract gravity but instead leverages it to reduce muscular effort while moving. However, minimizing effort would increase muscle atrophy. Therefore, predictive and optimal controllers are necessary to optimize under different gravity conditions. Otherwise, those controllers might overreact on Mars, while a controller designed for Martian movement could perform poorly in lunar conditions or in orbit. These gravity-dependent behaviors complicate traditional control paradigms, highlighting the need for adaptive control systems that can learn and adjust to the user’s motion patterns and environmental feedback. Additionally, adapting to different gravity conditions, such as transitioning from a spacecraft to a planet’s surface, requires improved sensor durability and a more adaptable controller.\nIn terrestrial applications, technological advancements have remarkably improved exoskeleton control systems by incorporating AI. Previously, traditional controllers required manual adjustments to accommodate different tasks and environments, which created challenges in dynamic scenarios such as space exploration [278]. The rise of AI-driven, task-agnostic controllers has shifted this paradigm by enabling real-time adaptation across various activities without requiring task-specific programming beforehand. For example, Molinaro et al. [279] demonstrated a deep neural network-based controller that rapidly estimates lower-limb joint moments, enabling exoskeletons better to assist users in a wide range of movements. Such AI methods can predict joint motions and torques across various gravitational environments and transitions, allowing them to adapt and generate compensatory forces to counteract the effects.\nIn summary, gravitational variability is a dynamic variable that must be explicitly integrated into control logic, sensing strategies, and actuator frameworks. Systems that fail to adapt appropriately may reduce astronaut mobility, increase the risk of injury, or compromise the effectiveness of in-flight countermeasures. As such, developing gravity-responsive robotic wearables represents a foundational challenge for planetary mission readiness.\nChronic exposure to space radiation, including GCRs and solar particle events, can cause single-event effects and presents a critical, though not immediately visible, threat to astronaut health and the integrity of wearable robotic systems. The potential for radiation to damage semiconductor components, degrade sensor accuracy, and induce actuator drifts and errors in digital control systems is a concern that cannot be overlooked. Wearable robotics must be engineered utilizing radiation-hardened materials and fault-tolerant architectures, particularly those dependent on high-performance processors, micro-electro-mechanical systems sensors, and wireless communication protocols. There has been the use of radiation-hardened microprocessors for space equipment, such as BAE Systems RAD750 [280] or by Honeybee Robotics [281]. However, it is not yet modified for use in wearable robotics in space. This necessity imposes constraints on component selection, escalates power and thermal management requirements, and complicates efforts to miniaturize the system.\nAdditionally, the challenge of shielding wearable devices is exacerbated by the requirement that protective layers must be both lightweight and practical, necessitating that any increase in mass be warranted within the broader context of system design. In contrast to fixed spacecraft infrastructure, wearable systems maintain continuous contact with the human body, thereby requiring considerations for thermal regulation, biocompatibility, and radiation resistance. Such compounded requirements increasingly burden engineering efforts, particularly on long-duration missions beyond LEO, where radiation exposure risk is higher.\nWearable technologies designed for space missions face substantial longevity issues. These setbacks include the physical heft, the challenges of donning and doffing, and the cognitive load on the user during operation. Astronauts will not adopt every biomechanical system if it negatively affects their daily lives or changes their perception of comfort. This effectively hinders the use of wearable sensorimotor or musculoskeletal health countermeasures in space. An example is the GLCS, which, while it offers advantages, was scrapped on the ISS due to discomfort, restricted range of motion, and donning challenges. These IBs affect the compliance of the astronaut population and demonstrate that comfort, usability, and user experience must be considered alongside the physiological benefits.\nConversely, soft exosuits, as potential countermeasures, offer clear benefits for user experience. These suits may enhance mobility and reduce mechanical intrusiveness, thereby decreasing the physical and psychological burdens associated with extended wear and potentially increasing compliance during long missions. However, soft exosuits are still in their infancy, with limitations in actuation precision, force output, and long-term material durability. This highlights the need for a carefully considered design strategy that balances engineering performance with behavioral and psychosocial viability. Achieving this balance requires a multidisciplinary, user-centered approach, informed by empirical insights from on-the-ground environments, such as parabolic flight experiments. These ground studies offer valuable insights into how human factors interact with wearable systems in conditions that simulate the sensory deprivation, social isolation, and variable workload characteristics of space travel.\nThe advancement of wearable robotics for space missions will likely depend on incorporating adaptive, intelligent technologies that can respond to the user’s physiological and psychological conditions. Wearables equipped with biofeedback sensors to monitor heart rate variability are being used on the ISS [282]. These can be tailored to measure muscle and cognitive fatigue, thereby adjusting resistance levels or training methods. This customized approach can enhance therapeutic outcomes and accommodate fluctuations in stress and motivation.\nFurthermore, responsiveness becomes even more critical due to the increasing autonomy of crews and the limited support from ground control during extended deep-space missions. The successful integration of wearable robotics into astronauts’ daily routines will be essential for their effective performance. When these technologies are viewed as supportive extensions of the body rather than just tools, they are more likely to be accepted as integral parts of astronauts’ lives in space, which, to date, can be a challenge. Thus, future designs should incorporate insights from neuroergonomics, behavioral psychology, and user-centered design aesthetics. This integration will ensure that wearable technology promotes both musculoskeletal health and psychological resilience and also meets the daily needs of crew members, thereby mitigating psychosocial stressors.\nWearable devices face numerous challenges in their practical application in space. Continuous data collection can lead to information overload for astronauts and their ground control, diverting attention from detecting critical health indicators. Privacy concerns may influence comfort and, ultimately, acceptance of ground control monitoring astronauts’ health data. The technical challenges of these devices may be raised by microgravity and high radiation levels. Bulky or uncomfortable devices can interfere with an astronaut’s routine, hindering their practical use and limiting their psychosocial health applications. Addressing these pressing challenges will require a multidisciplinary approach, beginning with surveying human and ethical factors and engineering advances. User-centric design and the successful integration of wearables into astronauts’ daily lives will ultimately enhance the acceptability and uptake of monitoring devices in space exploration.\nThe previously discussed stress factors exacerbate the technical challenges in creating wearable robotic systems. Optimizing weight, size, and power supply remains a challenge. Traditional high-torque exoskeletons are bulky and require a relatively large amount of energy. However, this creates a dilemma: increased actuator strength requires a larger power supply, adding more weight to the system. While microgravity alleviates concerns about weight, factors such as launch mass, device inertia, cost, and energy consumption still impose limitations. Consequently, energy efficiency becomes increasingly critical, prompting research into regenerative actuators, advanced battery technologies, and innovative energy-harvesting techniques. Additionally, control algorithms must be capable of adjusting to changes in movement dynamics and decreased proprioceptive feedback, necessitating robust sensor fusion from drift-sensitive IMUs and varied EMG signals. Closed-loop control systems that respond to biomechanical data and the user’s intentions are also essential for exoskeletons during dynamic exercise.\nWhen factoring in human elements, wearable devices for stressful situations must ensure comfort, adaptability, ease of use, and support for additional mission tasks. Rigid exoskeletons can cause discomfort due to pressure points or joint misalignments; this discomfort may arise from individual anatomical differences or prolonged wear. While soft exosuits address these issues, they can hinder force transmission and precise motion control. Reliability and safety are critical in space missions, as failure of an actuator or control system poses large risks, especially if medical staff cannot promptly fix the devices. This situation demands redundancy, passive safety measures, and fail-safes within the control systems. Beyond safety and reliability, the design of wearable technologies must ensure they do not disrupt the spacecraft’s cabin layout, emergency protocols, or life-support systems. Moreover, the device should work with over-diagnostic tools, be remotely monitored when inactive, and withstand the mechanical and thermal extremes of space travel.\n\n\n### Experimental wearable technologies on space missions\nWearable systems such as the Pingvin [136] (Fig. 6I) and Gravity Loading Countermeasure Skinsuit (GLCS) (Fig. 6J and K) have been investigated to mitigate the effects of microgravity since the 1990s [137–140]. These suits, designed to emulate gravity passively via strategically positioned elastic bands or weaves, were tested on the Mir and ISS. The Pingvin suit, the predecessor to the GLCS, delivered a 0.5G load without exercise but was criticized for discomfort and inadequate thermal conductivity.\nThe GLCS, drawing lessons from the Pingvin suit, incorporated bidirectional elastic weaves to enable variable axial loading through tension application from the shoulders to the feet [141]. On average, the GLCS managed to impose a 0.7G load. However, it was reported to be quite restrictive and to slow locomotion, making its use on the ISS impractical. Despite these drawbacks, the GLCS demonstrated potential benefits, including improved ventilatory response, reduced perceived workload in microgravity, and decreased spinal elongation, suggesting a possible role in mitigating back pain [141,142]. Another technology being developed by the same laboratory is the Biosuit (Fig. 6L), a mechanical counterpressure suit leveraging the body’s strain fields and the concept of lines of non-extension. This design was proposed as an alternative to pressurized spacesuits and consequently reduced the discomfort and potential injuries suffered by astronauts [143].\nMore recent research has focused on the development of the Variable Vector Countermeasure Suit (V2Suit) (Fig. 6M) [144,145]. The V2Suit utilizes wearable modules comprising an inertial measurement unit (IMU) and a control moment gyroscope (CMG) to deliver dynamic resistance to different body segments. The IMU tracks orientation, position, and motion, while the CMG generates torque and resistance [144]. However, IMU-based orientation estimation can be unreliable in microgravity, as the lack of a 1G gravity reference causes cumulative drift and orientation errors. In response to this, a drift-resilient algorithm has been proposed [146] that maintains accurate IMU tracking without relying on gravitational or magnetic references, using local tangential and centripetal accelerations to improve robustness in 0G environments. The integration of V2Suit with GLCS and novel algorithms could enhance dynamic loading to counter muscle atrophy. However, its effectiveness depends on the algorithm’s robustness and the accuracy of the IMU’s estimations [145].\nAs part of its Game Changing Development (GCD) program [147], NASA co-developed several exoskeleton/exosuit technologies for in- and post-flight exercise, rehabilitation, and assistance applications. NASA’s co-developed X1 lower-limb exoskeleton (Fig. 7I) with the Florida Institute for Human and Machine Cognition (IHMC) serves as a resistive exercise device in space and for terrestrial assistive applications [148]. The European Space Agency (ESA) and its telerobotics laboratory also developed several systems, such as the EXARM, X-ARM-II, SAM, and the ESA exoskeleton (Fig. 7J) [149]. However, these exoskeletons were developed for telepresence and haptic feedback applications rather than specifically for assistance or rehabilitation.\nAn overview of wearable robotic systems developed for terrestrial and space applications. Top row: (A) The Vanderbilt powered orthosis, now commercialized as the Indego exoskeleton, providing gait rehabilitation. Reprinted with permission from Farris et al. [189], ©IEEE; (B) the Stuttgart Exo-Jacket for upper-body support and load reduction during manual handling. Reprinted with permission from Ebrahimi et al. [158], ©IEEE; (C) the SuitX exoskeleton consisting of the shoulderX, backX, and legX components (US Bionics, now acquired by ©Ottobock) [156] providing modular industrial and medical assistance. Image courtesy of ©Ottobock/SuitX. Used with permission; ; (D) the DeltaSuit by ©Auxivo. Image courtesy of ©Auxivo. Used with permission. Middle row: (E) A body-powered variable impedance suit to reshape lifting posture. Reproduced with permission from Yun et al.[306], 6(57) 2021 ©AAAS.; (F) a tendon-driven ankle exosuit, now commercialized by ReWalk. Reproduced with permission from Malcom et al. [179], 356(6344) 2017 ©AAAS; (G) a pneumatic exosuit for restoring arm function. Reprinted with permission from O’Neill et al. [214], © 2020 IEEE; (H) a fluid-powered soft robotic glove for grasp assistance and hand rehabilitation. Reproduced with permission from Polygerinos et al. [180], ©Elsevier. Bottom row: Robots developed for space-related applications: (I) the NASA X1 exoskeleton co-developed with IHMC/NASA. Image courtesy of ©NASA [148]; (J) an exoskeleton developed at the ESA for telerobotics/telepresence applications. Image courtesy of ©ESA [149]; (K) the NASA RoboGlove co-developed with GM ©NASA for grip augmentation and hand fatigue reduction. Image courtesy of ©NASA/GM; (L) the Armstrong shoulder exosuit co-developed with Rice University for upper-limb strength. Image courtesy of ©NASA/Rice University [150].\nNASA has also embarked on developing softer systems, including the Robo-Glove (Fig. 7K) [146], a spin-off from the Robonaut 2 project, developed in collaboration with General Motors (GM), to aid in physically intensive and repetitive tasks. The Armstrong system (Fig. 7L), co-developed with Rice University, aims to enhance shoulder augmentation and rehabilitation [150]. Similarly, the Japanese and Russian space agencies have also investigated and invested in exoskeleton technologies.\nThese wearable systems could function as a portable gym for astronauts, providing constant muscle loading and potentially replicating gravity, thereby supplementing or replacing traditional exercise sessions. In the space-constrained ISS environment, where time and productivity are crucial, wearable devices could provide full-body monitoring, apply targeted resistance profiles for training, and serve as both assistive and resistive devices with a simple change in control strategy. As most of these systems were developed by space agencies rather than as part of academic research, detailed descriptions are not always available for a thorough review. Details of research-based and some commercial wearable robotic and sensing systems will be discussed in the next section to present their potential as alternatives to current countermeasures.\n\n\n### Classification of wearable technologies by force transmission level\nThe potential of wearable robotics and sensing technologies to monitor musculoskeletal health and to provide an active countermeasure through dynamic muscle loading or assistance could be game-changing. In space-based applications, wearable robotic technologies could provide small forces, ranging from partial dynamic muscle loading and mimicking a sense of partial gravity to high-force active assistance during physically strenuous IVA and EVA tasks. Based on this, exoskeleton technologies can be broadly classified by the magnitude of force transmission from the robot to the wearer. The magnitude of force transmission required for the application would determine the embodiment, actuation principle, and the extent and size of the exoskeleton, as well as whether the suit can be predominantly soft/compliant, rigid, or hybrid in form factor. Low-force applications could be based on lightweight, low-form-factor soft-bodied exosuits driven by cable-based actuation, while high-force applications would use rigid frames and may even employ hydraulic or pneumatic actuation.\nAstronauts performing an EVA must wear the EMU suit, which consists of multiple layers culminating in the HUT. In the vacuum of space, this pressurized suit can severely hinder movement, requiring the astronaut to fight against both the suit and physical activity for hours, causing substantial discomfort, fatigue, and potentially skin, muscle, and joint injuries. Furthermore, EMU fit misalignment can exacerbate injuries and musculoskeletal disorders like microgravity-induced lower back pain. With most activities relying on the extremities, we observed that overuse and repetitive strain injuries commonly affect the hands, feet, and shoulders. For assisting with medium- to high-force applications, a rigid-bodied exoskeleton technology integrated into the suit is a potential solution for astronauts. In addition to assisting during IVA/EVA, these compact exoskeletons could also provide constant resistance during various activities, mimicking the effect of Earth’s gravity and/or providing constant loading, acting as a wearable gym for the astronaut.\nAmong exoskeleton technologies, rigid-bodied exoskeletons have been the dominant design architecture, providing a rigid frame and facilitating high force and torque transmission (Fig. 7A to D) [151–153]. These systems can be actuated actively (Fig. 7A and B) or passively (Fig. 7C and D). The same hardware platform could substantially improve performance for active systems with more sophisticated controller designs. A number of these systems have received regulatory approval and are now commercialized for various high-force/torque applications [154–156]. In terrestrial applications, lower-body systems (Fig. 7A and B) are more prevalent than upper-body systems (Fig. 7C and D), with few systems achieving complete portability [155,157,158]. The rigid-body design archetype enables high forces to be transmitted through the exoskeleton’s frame rather than through the body, as with soft exoskeletons, facilitating higher force transmission.\nHowever, rigid-bodied exoskeletons have disadvantages, such as being heavy and extensive, requiring high-torque actuators, and large power sources [159,160]. Lightweight systems made from materials such as carbon fiber can improve wearability but may still limit the range of motion for basic ADL [161–164]. The sub-optimal mechanics of engineered rigid-bodied systems, compared to the complex biomechanics of the human body, can result in restrictive or constraining movements and be a potential source of discomfort, pain, or injury [153,165–167]. Systems designed with self-aligning [168] or self-adapting [169] mechanisms may alleviate this problem, but would come at the cost of increased size and weight [170–173]. Rigid exoskeleton design is an exercise in optimizing the size and weight of actuators, power sources, and frames, which can form a vicious cycle, and the design of heavy/bulky systems has led to the discontinuation of military projects such as HULC and XOS [151,153,174]. However, advances in power storage, materials, actuation, and sensing technologies make rigid-bodied exoskeletons increasingly realistic for real-world applications.\nIn space, while microgravity leads to many maladaptations in the human body, it provides an advantage for adopting rigid exoskeletons, as weight is no longer a limitation. However, the device’s bulk, size, and inertia remain the same. This allows for more sophisticated designs, powerful actuators, or heavier power sources (such as batteries or compressed fluid storage). Additionally, microgravity allows actuators to operate without having to contend with gravity, instead relying solely on inertia, friction, and other gravity-agnostic forces, thereby breaking the vicious cycle that rigid-bodied systems often suffer in terrestrial applications. This advantage in space could make rigid-bodied exoskeletons a preferred option for assisting with challenging, labor-intensive EVA activities.\nWhile the previous subsection discussed medium-to-high force transmission, there is also the opportunity for low-to-medium force applications. In space, this primarily pertains to technologies that can be worn for extended periods without being obtrusive or causing discomfort. The technology could act as an active wearable countermeasure, providing a sense of partial gravitational loading, and as a wearable gym, encouraging the wearer to put more effort into ADLs, helping maintain muscle tone and preventing atrophy. The GLCS and Pingvin suit aimed to achieve this passively by partially counteracting gravity’s effects. A second application of the same technology could be at-home rehabilitation post-flight.\nAs weightlessness is no longer advantageous in terrestrial applications, lightweight, unobtrusive, transparent, compliant, and low-profile systems could prove more beneficial. Technologies based on soft robotics principles could be ideal for this application. Wearable soft robotic systems are lighter, less restrictive (with a greater range of motion and a lower risk of injury), and more energy-efficient than their rigid counterparts [175], facilitating assistance for complex joints such as the shoulder and hip (Fig. 7E to H). Soft robotics emerged as a field as the need for enhanced physical human–robot interaction and the limitations of conventional robot design in complex environments increased [176]. Researchers drew inspiration from nature, incorporating the compliance of soft tissues [176,177] and embodied intelligence [178] into their designs.\nSoft robotic principles are ideal for assisting multi-DOF joints with complex biomechanics, such as the wrist, shoulder, and hip. However, current research primarily focuses on single-DOF assistance (see Fig. 7E to H and [179–185]). Some systems demonstrate the concept of simultaneous multi-DOF aid [186–189], but only a few have demonstrated this capability [186,187]. Soft-bodied systems can have a low profile and be concealed and worn under regular clothing, thereby removing psychosocial barriers associated with advertising weakness or dependency on assistive technology. They also use less expensive, more widely available materials, thereby increasing affordability [175]. The low profile, unobtrusiveness, and improved wearability of these systems would also be advantages inside spacecraft and space stations, where real estate is at a premium. Most soft-bodied wearable robotic systems have focused on hand exoskeletons due to the low force requirements or on assisting single-DOF movements, such as the elbow. As we move up the limb, with increased mass and inertia, developing completely soft systems to achieve 100% assistance becomes more difficult, with few systems capable of multi-DOF shoulder assistance. Similarly, most lower-limb systems focus on assisting the ankle to improve propulsion, whereas hip systems are less prevalent or provide only limited assistance.\nThe biggest drawback of soft-bodied exoskeletons stems from their principal strength: the absence of a rigid external frame. The lack of a rigid frame results in limited force and torque transmissibility, the absence of force grounding, difficulty in achieving direct drive, and challenges in sensor and motor mounting [188].\nMoreover, the limited power output from soft actuation technologies also results in lower force and torque. However, limited force generation may not be a shortcoming in space-based applications, as actuators do not have to overcome gravity to provide assistance or resistance. This could make space applications an ideal testing ground for soft-bodied systems. However, one of the biggest challenges with a low-profile, nondirectly driven system (regardless of the actuation principle) is that its low profile limits the available moment arm, consequently reducing the torque applied to the joints. While this is not necessarily a challenge for the fingers or the wrist, developing purely soft systems, such as the shoulder, becomes challenging. A potential middle ground built on hybrid systems could provide higher forces. These systems could employ rigid and soft components [190] or materials and mechanisms that stiffen and soften on demand. Another challenge in the design and implementation of soft exoskeletons is the nonlinearities arising from the compliance in soft embodiments and the influence of the user’s body on the system dynamics, which complicates controller design [191–194]. Some systems have investigated on-demand variable stiffness to overcome this shortcoming. A review of different stiffening technologies was compiled in Refs. [190,195], while a detailed review of soft robotic suits was compiled in Refs. [196,197].\nTraditionally, rigid-bodied exoskeletons have used electricity or pneumatics/hydraulics as energy sources [198]. A comparison of actuator principles, including their descriptions, advantages, disadvantages, and suitability for wearable robotics in space applications, is given in Table 2. Electromagnetic actuators, such as direct current (DC) motors, are prevalent in exoskeletons due to their availability, reliability, ease of installation, operation, and control [199]. Examples of systems using motors include the Indego exoskeleton (Fig. 7A), the Stuttgart Exo-Jacket (Fig. 7B), the HAL Single Joint Elbow [154], and the Hand of Hope [200], with various transmission systems, both using direct-drive [189], and indirectly through tendons [201], linkages [200], and chain-and-sprocket [202] mechanisms. Series elastic actuators (SEAs) with sophisticated human-in-the-loop controllers are now being developed to realize individual-specific profiles that maximize assistance and aim to address challenges such as the high impedance characteristics of DC motors and other actuator-related limitations [203].\nActuation principles in wearable systems\nConventional pneumatic systems offer a favorable power-to-weight ratio (when pressurized containers are not included) and were developed for finger movements [204] and wrist pronation/supination [205]. These actuators have been adapted into pneumatic artificial muscles (PAMs), a different approach using pneumatics inspired by biological muscles, which have been widely used in rehabilitation and assistance applications in both rigid-bodied and soft-bodied systems [206,207]. Recently, a study demonstrated a multifunctional wearable robotic system that notably enhances user mobility and muscle activation through adaptive actuator control via PAM while maintaining minimal additional metabolic cost [206]. Building on the biomimicry approach, they have been used directly or indirectly through tendons and linkages [193,208]. These actuators have limited displacements but can exert high forces. However, like other soft actuators, they suffer from their nonlinear nature.\nHydraulics or pneumatics in space presents an additional challenge: managing large temperature variations, and hydraulic fluids can cause short circuits and other damage. Hydraulic SEAs, which combine hydraulics and electric motors, have also been used in fixed platforms, such as the NeuroEXOS system [209]. Apart from weight no longer being a limitation, pneumatic systems can be a potential actuation source, built on cutting-edge knowledge and implementations from spacecraft and space stations, and leveraging pre-existing resources, including access to compressed gases.\nSoft exoskeletons [196,197] have been developed with passive (Fig. 7E) and active (Fig. 7F to H) actuation principles. While most systems were designed for terrestrial applications, they provide a comprehensive overview of the field, facilitating further research into space applications. Soft exoskeletons based on passive actuation principles can be efficient from a power/weight perspective. Systems built on top of the GLCS and other concepts leverage springs, dampers, inertia, or other novel passive elements to apply resistive forces or promote good ergonomics [141], which could be desirable for space applications. Among active actuation principles, DC/BLDC motors have been the most common method for controlling cable- or tendon-driven systems. Examples include commercial systems such as the Robotic SEM Glove [174,210] and the system by Bae et al. [179] (Fig. 7F) commercialized by ReWalk and other research-based systems [181,182,211].\nCable/tendon-driven systems with centrally located actuation packs are more common than direct-drive systems, as mounting motors on soft frames is challenging and adds weight and inertia to the limbs being assisted. Tendon-driven systems offer an easy setup, maintenance, remote actuator placement, controllability, a low profile, and higher forces compared to pneumatic and hydraulic soft actuators [181,212]. Some tendon-driven hand exoskeletons are under-actuated and use only a single actuator for multiple joints [199]. Localized forces from tendons or attachment points are a concern when using cables or tendons and require elements to improve force distribution. This challenge intensifies as force requirements increase, leading to increased cable tension, such as in systems for the shoulder or hip.\nUsing pneumatics and hydraulics, soft actuators ranging from single-chamber gloves [213] to more sophisticated elastomer-based actuators (with/without internal chambers and reinforcements) have been developed for achieving programmed displacements such as contraction, bending, and twisting [214–218] (Fig. 7G). Kassanos et al. [219] provided a solution to derive reinforcement configurations based on desired tip trajectories. A different design approach by Pylatiuk et al. [220,221] proposed a wearable system using an actuator inspired by spider legs. Some of these systems have been developed for at-home rehabilitation with a portable actuation pack for hydraulic fluid/air canisters and controllers [183,187] (Fig. 7H). However, compared to cable-driven systems, pneumatic and hydraulic systems suffer from limitations such as lower control bandwidth, slow response time, and restricted portability due to their tethering to air compressors or tanks (though smaller portable canisters are an option) [212,218].\nSoft pneumatic actuators also face challenges, including low output forces, limited functional bandwidth in PAMs (although force output is high), noise, and safety concerns stemming from sudden pressure release due to leaks or bursts [222]. PAMs, like most other novel soft actuation methods, exhibit hysteresis and substantial nonlinear behavior, necessitating the development of appropriate control strategies, particularly to achieve accurate joint trajectory tracking. Relatively straightforward as well as more sophisticated modeling methods, including echo state networks [223], have been used to approximate the system dynamics for improved behavior prediction. Recently, hybrid models integrating pneumatic and electric actuators have been developed to combine the benefits of both—high accuracy, force capability, and back-drivability. Actuation systems must also manage extreme temperature variations, vibration isolation, radiation hardening of controller electronics, and other space-specific limitations.\nArtificial actuators can be complemented by FES/NMES-induced muscle contractions to enhance control precision and reduce muscle atrophy [224]. Leveraging natural muscle power through electrical stimulation also allows for smaller, lighter systems that can be worn under clothing [126,202,207]. With ongoing miniaturization, fully wearable FES systems are now feasible. However, the use of FES/NMES in space remains limited, as the nonlinear and time-varying nature of the neuromusculoskeletal system can cause identical inputs to produce variable responses, necessitating advanced modeling and control of the human–suit system. By integrating improved artificial intelligence (AI) algorithms and predictive control, these nonlinearities can be mitigated, enabling real-time adaptation of stimulation parameters based on physiological feedback and enhancing reliability, precision, and user comfort during prolonged space missions.\nResearch into soft robotics continues to grow, and several soft actuation technologies for wearable robotics have been developed. Interdisciplinary research in engineering, materials, and other fields has led to novel actuation technologies such as shape memory materials [225] ionic/electronic electro-active polymers (EAPs) [226], dielectric elastomers [227], twisted nylon coil artificial muscles (twisted string actuators) [228], dielectrophoretic liquid zipping (DLZ) actuators [229], hydraulically amplified self-healing electrostatic (HASEL) actuators [230], and magnetorheological and electrorheological fluids [189,231].\nThe above and other concepts, such as fluidic fabric muscle sheets, liquid crystal elastomers, magnetoactive soft materials, and thermally responsive hydrogels [232], while currently at a low technology readiness level (TRL) for real-world translation in wearable robotics, could soon be incorporated into rehabilitation, assistance, and stability/support applications for both space and terrestrial applications. However, before this can be achieved, challenges and limitations need to be overcome, such as precisely modeling and controlling for the nonlinear behavior of most of these actuators, among others. Concept-specific limitations include the slow response of shape memory materials and twisted string actuators, the oil retention and encapsulation of DLZ actuators, and the low force capabilities of electroactive polymers and dielectric elastomers. The advantages and disadvantages of traditional and novel actuation mechanisms, along with their suitability for space applications, are summarized in Table 2.\n\n\n### Medium-to-high force applications\nAstronauts performing an EVA must wear the EMU suit, which consists of multiple layers culminating in the HUT. In the vacuum of space, this pressurized suit can severely hinder movement, requiring the astronaut to fight against both the suit and physical activity for hours, causing substantial discomfort, fatigue, and potentially skin, muscle, and joint injuries. Furthermore, EMU fit misalignment can exacerbate injuries and musculoskeletal disorders like microgravity-induced lower back pain. With most activities relying on the extremities, we observed that overuse and repetitive strain injuries commonly affect the hands, feet, and shoulders. For assisting with medium- to high-force applications, a rigid-bodied exoskeleton technology integrated into the suit is a potential solution for astronauts. In addition to assisting during IVA/EVA, these compact exoskeletons could also provide constant resistance during various activities, mimicking the effect of Earth’s gravity and/or providing constant loading, acting as a wearable gym for the astronaut.\nAmong exoskeleton technologies, rigid-bodied exoskeletons have been the dominant design architecture, providing a rigid frame and facilitating high force and torque transmission (Fig. 7A to D) [151–153]. These systems can be actuated actively (Fig. 7A and B) or passively (Fig. 7C and D). The same hardware platform could substantially improve performance for active systems with more sophisticated controller designs. A number of these systems have received regulatory approval and are now commercialized for various high-force/torque applications [154–156]. In terrestrial applications, lower-body systems (Fig. 7A and B) are more prevalent than upper-body systems (Fig. 7C and D), with few systems achieving complete portability [155,157,158]. The rigid-body design archetype enables high forces to be transmitted through the exoskeleton’s frame rather than through the body, as with soft exoskeletons, facilitating higher force transmission.\nHowever, rigid-bodied exoskeletons have disadvantages, such as being heavy and extensive, requiring high-torque actuators, and large power sources [159,160]. Lightweight systems made from materials such as carbon fiber can improve wearability but may still limit the range of motion for basic ADL [161–164]. The sub-optimal mechanics of engineered rigid-bodied systems, compared to the complex biomechanics of the human body, can result in restrictive or constraining movements and be a potential source of discomfort, pain, or injury [153,165–167]. Systems designed with self-aligning [168] or self-adapting [169] mechanisms may alleviate this problem, but would come at the cost of increased size and weight [170–173]. Rigid exoskeleton design is an exercise in optimizing the size and weight of actuators, power sources, and frames, which can form a vicious cycle, and the design of heavy/bulky systems has led to the discontinuation of military projects such as HULC and XOS [151,153,174]. However, advances in power storage, materials, actuation, and sensing technologies make rigid-bodied exoskeletons increasingly realistic for real-world applications.\nIn space, while microgravity leads to many maladaptations in the human body, it provides an advantage for adopting rigid exoskeletons, as weight is no longer a limitation. However, the device’s bulk, size, and inertia remain the same. This allows for more sophisticated designs, powerful actuators, or heavier power sources (such as batteries or compressed fluid storage). Additionally, microgravity allows actuators to operate without having to contend with gravity, instead relying solely on inertia, friction, and other gravity-agnostic forces, thereby breaking the vicious cycle that rigid-bodied systems often suffer in terrestrial applications. This advantage in space could make rigid-bodied exoskeletons a preferred option for assisting with challenging, labor-intensive EVA activities.\n\n\n### Low-to-medium force applications\nWhile the previous subsection discussed medium-to-high force transmission, there is also the opportunity for low-to-medium force applications. In space, this primarily pertains to technologies that can be worn for extended periods without being obtrusive or causing discomfort. The technology could act as an active wearable countermeasure, providing a sense of partial gravitational loading, and as a wearable gym, encouraging the wearer to put more effort into ADLs, helping maintain muscle tone and preventing atrophy. The GLCS and Pingvin suit aimed to achieve this passively by partially counteracting gravity’s effects. A second application of the same technology could be at-home rehabilitation post-flight.\nAs weightlessness is no longer advantageous in terrestrial applications, lightweight, unobtrusive, transparent, compliant, and low-profile systems could prove more beneficial. Technologies based on soft robotics principles could be ideal for this application. Wearable soft robotic systems are lighter, less restrictive (with a greater range of motion and a lower risk of injury), and more energy-efficient than their rigid counterparts [175], facilitating assistance for complex joints such as the shoulder and hip (Fig. 7E to H). Soft robotics emerged as a field as the need for enhanced physical human–robot interaction and the limitations of conventional robot design in complex environments increased [176]. Researchers drew inspiration from nature, incorporating the compliance of soft tissues [176,177] and embodied intelligence [178] into their designs.\nSoft robotic principles are ideal for assisting multi-DOF joints with complex biomechanics, such as the wrist, shoulder, and hip. However, current research primarily focuses on single-DOF assistance (see Fig. 7E to H and [179–185]). Some systems demonstrate the concept of simultaneous multi-DOF aid [186–189], but only a few have demonstrated this capability [186,187]. Soft-bodied systems can have a low profile and be concealed and worn under regular clothing, thereby removing psychosocial barriers associated with advertising weakness or dependency on assistive technology. They also use less expensive, more widely available materials, thereby increasing affordability [175]. The low profile, unobtrusiveness, and improved wearability of these systems would also be advantages inside spacecraft and space stations, where real estate is at a premium. Most soft-bodied wearable robotic systems have focused on hand exoskeletons due to the low force requirements or on assisting single-DOF movements, such as the elbow. As we move up the limb, with increased mass and inertia, developing completely soft systems to achieve 100% assistance becomes more difficult, with few systems capable of multi-DOF shoulder assistance. Similarly, most lower-limb systems focus on assisting the ankle to improve propulsion, whereas hip systems are less prevalent or provide only limited assistance.\nThe biggest drawback of soft-bodied exoskeletons stems from their principal strength: the absence of a rigid external frame. The lack of a rigid frame results in limited force and torque transmissibility, the absence of force grounding, difficulty in achieving direct drive, and challenges in sensor and motor mounting [188].\nMoreover, the limited power output from soft actuation technologies also results in lower force and torque. However, limited force generation may not be a shortcoming in space-based applications, as actuators do not have to overcome gravity to provide assistance or resistance. This could make space applications an ideal testing ground for soft-bodied systems. However, one of the biggest challenges with a low-profile, nondirectly driven system (regardless of the actuation principle) is that its low profile limits the available moment arm, consequently reducing the torque applied to the joints. While this is not necessarily a challenge for the fingers or the wrist, developing purely soft systems, such as the shoulder, becomes challenging. A potential middle ground built on hybrid systems could provide higher forces. These systems could employ rigid and soft components [190] or materials and mechanisms that stiffen and soften on demand. Another challenge in the design and implementation of soft exoskeletons is the nonlinearities arising from the compliance in soft embodiments and the influence of the user’s body on the system dynamics, which complicates controller design [191–194]. Some systems have investigated on-demand variable stiffness to overcome this shortcoming. A review of different stiffening technologies was compiled in Refs. [190,195], while a detailed review of soft robotic suits was compiled in Refs. [196,197].\n\n\n### Actuation principles for wearable technologies\nTraditionally, rigid-bodied exoskeletons have used electricity or pneumatics/hydraulics as energy sources [198]. A comparison of actuator principles, including their descriptions, advantages, disadvantages, and suitability for wearable robotics in space applications, is given in Table 2. Electromagnetic actuators, such as direct current (DC) motors, are prevalent in exoskeletons due to their availability, reliability, ease of installation, operation, and control [199]. Examples of systems using motors include the Indego exoskeleton (Fig. 7A), the Stuttgart Exo-Jacket (Fig. 7B), the HAL Single Joint Elbow [154], and the Hand of Hope [200], with various transmission systems, both using direct-drive [189], and indirectly through tendons [201], linkages [200], and chain-and-sprocket [202] mechanisms. Series elastic actuators (SEAs) with sophisticated human-in-the-loop controllers are now being developed to realize individual-specific profiles that maximize assistance and aim to address challenges such as the high impedance characteristics of DC motors and other actuator-related limitations [203].\nActuation principles in wearable systems\nConventional pneumatic systems offer a favorable power-to-weight ratio (when pressurized containers are not included) and were developed for finger movements [204] and wrist pronation/supination [205]. These actuators have been adapted into pneumatic artificial muscles (PAMs), a different approach using pneumatics inspired by biological muscles, which have been widely used in rehabilitation and assistance applications in both rigid-bodied and soft-bodied systems [206,207]. Recently, a study demonstrated a multifunctional wearable robotic system that notably enhances user mobility and muscle activation through adaptive actuator control via PAM while maintaining minimal additional metabolic cost [206]. Building on the biomimicry approach, they have been used directly or indirectly through tendons and linkages [193,208]. These actuators have limited displacements but can exert high forces. However, like other soft actuators, they suffer from their nonlinear nature.\nHydraulics or pneumatics in space presents an additional challenge: managing large temperature variations, and hydraulic fluids can cause short circuits and other damage. Hydraulic SEAs, which combine hydraulics and electric motors, have also been used in fixed platforms, such as the NeuroEXOS system [209]. Apart from weight no longer being a limitation, pneumatic systems can be a potential actuation source, built on cutting-edge knowledge and implementations from spacecraft and space stations, and leveraging pre-existing resources, including access to compressed gases.\nSoft exoskeletons [196,197] have been developed with passive (Fig. 7E) and active (Fig. 7F to H) actuation principles. While most systems were designed for terrestrial applications, they provide a comprehensive overview of the field, facilitating further research into space applications. Soft exoskeletons based on passive actuation principles can be efficient from a power/weight perspective. Systems built on top of the GLCS and other concepts leverage springs, dampers, inertia, or other novel passive elements to apply resistive forces or promote good ergonomics [141], which could be desirable for space applications. Among active actuation principles, DC/BLDC motors have been the most common method for controlling cable- or tendon-driven systems. Examples include commercial systems such as the Robotic SEM Glove [174,210] and the system by Bae et al. [179] (Fig. 7F) commercialized by ReWalk and other research-based systems [181,182,211].\nCable/tendon-driven systems with centrally located actuation packs are more common than direct-drive systems, as mounting motors on soft frames is challenging and adds weight and inertia to the limbs being assisted. Tendon-driven systems offer an easy setup, maintenance, remote actuator placement, controllability, a low profile, and higher forces compared to pneumatic and hydraulic soft actuators [181,212]. Some tendon-driven hand exoskeletons are under-actuated and use only a single actuator for multiple joints [199]. Localized forces from tendons or attachment points are a concern when using cables or tendons and require elements to improve force distribution. This challenge intensifies as force requirements increase, leading to increased cable tension, such as in systems for the shoulder or hip.\nUsing pneumatics and hydraulics, soft actuators ranging from single-chamber gloves [213] to more sophisticated elastomer-based actuators (with/without internal chambers and reinforcements) have been developed for achieving programmed displacements such as contraction, bending, and twisting [214–218] (Fig. 7G). Kassanos et al. [219] provided a solution to derive reinforcement configurations based on desired tip trajectories. A different design approach by Pylatiuk et al. [220,221] proposed a wearable system using an actuator inspired by spider legs. Some of these systems have been developed for at-home rehabilitation with a portable actuation pack for hydraulic fluid/air canisters and controllers [183,187] (Fig. 7H). However, compared to cable-driven systems, pneumatic and hydraulic systems suffer from limitations such as lower control bandwidth, slow response time, and restricted portability due to their tethering to air compressors or tanks (though smaller portable canisters are an option) [212,218].\nSoft pneumatic actuators also face challenges, including low output forces, limited functional bandwidth in PAMs (although force output is high), noise, and safety concerns stemming from sudden pressure release due to leaks or bursts [222]. PAMs, like most other novel soft actuation methods, exhibit hysteresis and substantial nonlinear behavior, necessitating the development of appropriate control strategies, particularly to achieve accurate joint trajectory tracking. Relatively straightforward as well as more sophisticated modeling methods, including echo state networks [223], have been used to approximate the system dynamics for improved behavior prediction. Recently, hybrid models integrating pneumatic and electric actuators have been developed to combine the benefits of both—high accuracy, force capability, and back-drivability. Actuation systems must also manage extreme temperature variations, vibration isolation, radiation hardening of controller electronics, and other space-specific limitations.\nArtificial actuators can be complemented by FES/NMES-induced muscle contractions to enhance control precision and reduce muscle atrophy [224]. Leveraging natural muscle power through electrical stimulation also allows for smaller, lighter systems that can be worn under clothing [126,202,207]. With ongoing miniaturization, fully wearable FES systems are now feasible. However, the use of FES/NMES in space remains limited, as the nonlinear and time-varying nature of the neuromusculoskeletal system can cause identical inputs to produce variable responses, necessitating advanced modeling and control of the human–suit system. By integrating improved artificial intelligence (AI) algorithms and predictive control, these nonlinearities can be mitigated, enabling real-time adaptation of stimulation parameters based on physiological feedback and enhancing reliability, precision, and user comfort during prolonged space missions.\nResearch into soft robotics continues to grow, and several soft actuation technologies for wearable robotics have been developed. Interdisciplinary research in engineering, materials, and other fields has led to novel actuation technologies such as shape memory materials [225] ionic/electronic electro-active polymers (EAPs) [226], dielectric elastomers [227], twisted nylon coil artificial muscles (twisted string actuators) [228], dielectrophoretic liquid zipping (DLZ) actuators [229], hydraulically amplified self-healing electrostatic (HASEL) actuators [230], and magnetorheological and electrorheological fluids [189,231].\nThe above and other concepts, such as fluidic fabric muscle sheets, liquid crystal elastomers, magnetoactive soft materials, and thermally responsive hydrogels [232], while currently at a low technology readiness level (TRL) for real-world translation in wearable robotics, could soon be incorporated into rehabilitation, assistance, and stability/support applications for both space and terrestrial applications. However, before this can be achieved, challenges and limitations need to be overcome, such as precisely modeling and controlling for the nonlinear behavior of most of these actuators, among others. Concept-specific limitations include the slow response of shape memory materials and twisted string actuators, the oil retention and encapsulation of DLZ actuators, and the low force capabilities of electroactive polymers and dielectric elastomers. The advantages and disadvantages of traditional and novel actuation mechanisms, along with their suitability for space applications, are summarized in Table 2.\n\n\n### Wearable sensing technologies\nSensors that monitor the psycho-physiological state, musculoskeletal adaptations, human–spacesuit interactions, and countermeasure effectiveness are crucial to astronaut well-being and operational success while also facilitating human–robot synergy in wearable robots [2,198,233]. The strict operational demands of space agencies, such as NASA, ESA, JAXA, and ROSCOSMOS, necessitate compact, user-friendly, rugged devices with long battery life and Food and Drug Administration-approved clinical support [234].\nAdditionally, these sensors must withstand radiation beyond Earth’s atmosphere, requiring active electronics developed using radiation-hardening techniques and shielding, particularly within the South Atlantic Anomaly. This subsection aims to briefly discuss different sensing modalities loosely along the lines of (a) physiological effects of adaptations and injuries; and (b) biomechanical sensing and detecting user intent. This is because such sensors can be used to monitor astronaut health, assess the efficacy and impact of countermeasures, detect and predict injuries, and control wearable robotics.\nWhile the EMU suit and glove provide life support in outer space’s harsh environment, prolonged use often leads to fatigue and injuries, particularly to the fingertips and fingernails. The challenging environment and reduced efficacy of medications in space necessitate preventative monitoring. Sensing modalities employed for this purpose range from laser Doppler flowmetry probes to piezoresistive sensor strip arrays, humidity sensors, and thermocouples [94,235]. Additionally, multi-sensory glove-based approaches involving galvanic skin response and barometric pressure sensors have been utilized to assess skin moisture and perspiration, as well as transient pressure changes, during dynamic tasks [236]. Other approaches include the electromagnetic skin patch with a radio frequency resonant spiral proximity sensor [92], proposed for assessing the distance between the suit, the LCVG, and the skin. However, these sensors are affected by their proximity to the metal in the HUT (Fig. 8D).\nAn overview of wearable sensing systems developed for terrestrial and space applications. Top row: (A) A textile-integrated, liquid metal-based resistive pressure sensor array for spacesuit dynamics. Reprinted with permission from Anderson et al. [242], ©IEEE; (B) textile-integrated InGaZnO (IGZO) thin-film transistors for space applications. Reprinted from Costa et al. [243], published under a CC-BY 4.0 license; (C) extrusion 3D printing of directly embedded resistive strain sensors. Reproduced with permission from Muth et al. [237], ©John Wiley & Sons; (D) electromagnetic resonant spiral proximity sensors for monitoring shoulder joint clearance in space suits for injury prevention. Reproduced with permission from Loftlin et al. [92], ©Elsevier. Bottom row: (E) NFC-powered flexible chest patch for fast assessment of cardiac, hemodynamic, and endocrine parameters. Reprinted with permission from Rosa et al. [247], ©IEEE; (F) a wearable high-density EMG sleeve. Reproduced with permission from Varghese et al. [307], published under a CC-BY 4.0 license; (G) subject wearing an AR headset (Microsoft HoloLens) and an EEG headset. Reproduced from Vortmann et al. [275], published under a CC-BY 4.0 license; (H) the XSens IMU Awinda suit developed by ©XSens. Image courtesy of XSens/Movella. Used with permission.\nOther sensing technologies for monitoring body–suit–environment interaction can measure forces ranging from tactile/haptic levels to assess discomfort and potential for injury. Composite material-based strain/pressure sensors embedded in suits are a promising sensing method, owing to their versatility and fabrication using techniques such as extrusion-based 3D printing, laser carbonization, injection molding, and/or stencil printing [219,237–241] (Fig. 8A to C). These sensors typically employ a polymer matrix and conductive filler, facilitating the sensing of suit–body–environment interactions and using the data to optimize human–suit (robot) ergonomics and controller design [233]. In Ref. [89], human–suit interaction was assessed using a pressure-sensing mat on the shoulder and custom pressure sensors along the arm.\nThese versatile soft sensors utilize microfluidic channels in an elastomer filled with liquid metal (gallium–indium–tin eutectic) (Fig. 7A). Radial/circumferential, shear, and normal strains could be measured, making this approach suitable for both generalized and application-specific interaction/injury monitoring and to assess body kinematics or dynamics [89,242] (Fig. 8A). Thin-film technology, based on clean room-based microfabrication techniques, has found applications in this field (Fig. 8B) due to the potential realization of high-performance, highly miniaturized, flexible, and stretchable devices, as well as the ability to co-integrate readout electronics with sensors such as strain and electrophysiological sensors [243]. Among the various technologies explored, indium–gallium–zinc oxide (IGZO)-based transistors hold great promise for the realization of flexible transistors [243]. Recently, Song et al. [244] have developed an e-skin sensing equipment that simultaneously measures temperature and pressure, enabling both injury and stress monitoring. However, it should be noted that these systems can have lower reliability or robustness and require notable improvement in TRL before they can be adopted for space applications.\nIn addition to being informed about the onset and extent of injuries, understanding general physical and mental well-being, as well as the impact of different maladaptations in space, is critical. Wearable multiparametric sensing systems were developed for this purpose, such as the Canadian Space Agency’s Astroskin Bio-Monitor system [245] (measuring activity level, breathing rate, blood oxygen saturation, skin temperature, ECG, and systolic BP) and a polysomnography (PSG) system for monitoring sleep quality [246] (measuring EMG, EEG, ECG, electrooculography [EOG], thoracic movements, and airflow).\nSimilarly, obtaining a quantitative understanding of the extent of musculoskeletal and other adaptations in near real time by measuring electrolytes, proteins, and other biomarkers, as reviewed in the previous sections, could be vital for individual-specific tuning of nutrition, supplementation, and exercise regimens. While not explicitly developed for space applications, several multiparametric sensing devices for comprehensive analysis of body fluids, such as sweat, including amperometric (monitoring metabolites like glucose), impedimetric (monitoring biomarkers such as stress hormones like cortisol), potentiometric (measuring electrolytes such as pH, calcium, etc.), and/or bioimpedance (monitoring tissue hydration, galvanic skin response, and tissue ischemia), could be further optimized and tailored for obtaining real-time feedback on musculoskeletal adaptations (Fig. 8E) [247–251]. Many of these systems are still lab-based and require real-world product development to focus more on improving robustness and reliability.\nBeyond health and injury, monitoring physical and mental fatigue is crucial, particularly for mission-critical and hazardous IVA/EVA activities. Muscle fatigue, evaluated using sEMG and Mosso’s ergograph (Fig. 8F), could be particularly useful, especially during labor-intensive IVA/EVA activities [215]. Technologies integrating multiple sensing modalities, such as brain–computer interfaces (BCIs) integrated with augmented reality/virtual reality (AR/VR) (Fig. 8G), computer vision, eye-tracking, and AI, can provide not only context awareness but also real-time monitoring and adaptive instructions, drastically improving performance and quality during critical IVA/EVA tasks [252,253].\nHaving astronauts wear wearable robotic systems solely as an exercise countermeasure will not leverage the technology’s full capabilities. If astronauts intend to use wearable robotic systems for active assistance during IVA/EVA tasks, misinterpretation/delays in understanding user intent would result in unnatural compensations, increased mistakes, frustration, and eventual disuse of the technology. Therefore, apart from the monitoring applications already discussed, sensing the body–suit–environment state, interaction, kinematics, dynamics, and intent in real time becomes vital [151,233]. The different sensing modalities, along with their advantages and disadvantages, are tabulated in Table 3.\nSensing modalities in wearable systems\nControl inputs in wearable robotics have evolved from simple analogue [195] and expiration switches [209,254] to advanced electrophysiological measurements based on EMG (Fig. 8F) and BCIs (Fig. 8G). Electrophysiological measurements can be superior, as they can even detect the onset of movement. Surface EMG is valued for its noninvasiveness, ease of use, and compatibility with wearables while offering insight into neural intent. Kuroda et al. [255] have successfully utilized myoelectrical signals generated by muscle contractions for both sensing and actuating hand control for tactile interaction. This and similar systems enable intuitive control of devices by translating natural muscle activity into mechanical motion. Advances have incorporated biomechanical and neuromusculoskeletal models for smoother control [256], high-density EMG (HD-EMG) data acquisition (Fig. 8F) [257], and novel signal-processing techniques [258–260] for intuitive control of orthotics and prosthetics. Wearable systems for monitoring muscle activation in astronauts have been developed and tested.\nBCIs are gaining attention in wearable robotic control, where they record EEG or metabolic functional near-infrared spectroscopy (fNIRS) changes [261]. They have been used to control robots via motor imagery [203], visual evoked potentials [259], and P300 signals [258]; however, they have not yet demonstrated accurate real-time control. BCIs, combined with other sensing modalities like eye-tracking and computer vision, could aid in context awareness and more accurate user intent detection and cognitive workload monitoring [252] (Fig. 8G). While real-time BCI control remains a challenge, promising research efforts based on issuing higher-order commands than low-medium-level control [262], employing fast-switch-based methods [263], and predictions generated by forward models [264] are being used to inform robot movements and move closer to achieving real-time control.\nIn tandem with muscle and neural activity signals, various strain, force, and kinematic sensing approaches can offer vital insights into the human–robot system state, interactions, and user intent, thereby regulating controller input [184,201,264–266]. Joint angle, velocity, and acceleration [218,267] measurements are frequently employed, occasionally in conjunction with joint torque metrics [268,269]. The widespread use of IMUs (Fig. 8H) in various real-world systems, including space-based wearables, underscores their effectiveness [144,145,187,270]. Textile-based wearable sensors provide an innovative alternative for monitoring kinematics and physiology. Combined with statistical models, neural networks, or other AI-based algorithms, they enable the accurate prediction of complex body movements, such as torso, lumbar shape, and posture [91], as well as multi-DOF movements [271].\nFor intuitive human–robot interaction, force-sensing technologies are essential for understanding dynamics and the interactions among humans, robots, and their environment. They provide valuable metrics to controllers, utilizing tactile [196,209], capacitive [212,219], and resistive sensors [241,272] to track user intent and generate appropriate movements and forces. Inductive [273] and deformation-based sensors, based on load cells, monitor interaction forces, providing a key input to the wearable robot’s closed-loop controller [274]. Conductive composites, liquid metals, and other strain/pressure sensing modalities [219,237–242] (Fig. 8A and C). As discussed in the previous subsection, this approach could also be used for sensing interaction and obtaining tactile or haptic feedback. Context awareness, utilizing data from cameras and eye trackers, which can be potentially integrated within AR/VR headsets (Fig. 8G), when combined with neural and muscle activity signals, could help identify user intent more accurately [275,276].\n\n\n### Injury, fatigue, adaptation, and physiological monitoring\nWhile the EMU suit and glove provide life support in outer space’s harsh environment, prolonged use often leads to fatigue and injuries, particularly to the fingertips and fingernails. The challenging environment and reduced efficacy of medications in space necessitate preventative monitoring. Sensing modalities employed for this purpose range from laser Doppler flowmetry probes to piezoresistive sensor strip arrays, humidity sensors, and thermocouples [94,235]. Additionally, multi-sensory glove-based approaches involving galvanic skin response and barometric pressure sensors have been utilized to assess skin moisture and perspiration, as well as transient pressure changes, during dynamic tasks [236]. Other approaches include the electromagnetic skin patch with a radio frequency resonant spiral proximity sensor [92], proposed for assessing the distance between the suit, the LCVG, and the skin. However, these sensors are affected by their proximity to the metal in the HUT (Fig. 8D).\nAn overview of wearable sensing systems developed for terrestrial and space applications. Top row: (A) A textile-integrated, liquid metal-based resistive pressure sensor array for spacesuit dynamics. Reprinted with permission from Anderson et al. [242], ©IEEE; (B) textile-integrated InGaZnO (IGZO) thin-film transistors for space applications. Reprinted from Costa et al. [243], published under a CC-BY 4.0 license; (C) extrusion 3D printing of directly embedded resistive strain sensors. Reproduced with permission from Muth et al. [237], ©John Wiley & Sons; (D) electromagnetic resonant spiral proximity sensors for monitoring shoulder joint clearance in space suits for injury prevention. Reproduced with permission from Loftlin et al. [92], ©Elsevier. Bottom row: (E) NFC-powered flexible chest patch for fast assessment of cardiac, hemodynamic, and endocrine parameters. Reprinted with permission from Rosa et al. [247], ©IEEE; (F) a wearable high-density EMG sleeve. Reproduced with permission from Varghese et al. [307], published under a CC-BY 4.0 license; (G) subject wearing an AR headset (Microsoft HoloLens) and an EEG headset. Reproduced from Vortmann et al. [275], published under a CC-BY 4.0 license; (H) the XSens IMU Awinda suit developed by ©XSens. Image courtesy of XSens/Movella. Used with permission.\nOther sensing technologies for monitoring body–suit–environment interaction can measure forces ranging from tactile/haptic levels to assess discomfort and potential for injury. Composite material-based strain/pressure sensors embedded in suits are a promising sensing method, owing to their versatility and fabrication using techniques such as extrusion-based 3D printing, laser carbonization, injection molding, and/or stencil printing [219,237–241] (Fig. 8A to C). These sensors typically employ a polymer matrix and conductive filler, facilitating the sensing of suit–body–environment interactions and using the data to optimize human–suit (robot) ergonomics and controller design [233]. In Ref. [89], human–suit interaction was assessed using a pressure-sensing mat on the shoulder and custom pressure sensors along the arm.\nThese versatile soft sensors utilize microfluidic channels in an elastomer filled with liquid metal (gallium–indium–tin eutectic) (Fig. 7A). Radial/circumferential, shear, and normal strains could be measured, making this approach suitable for both generalized and application-specific interaction/injury monitoring and to assess body kinematics or dynamics [89,242] (Fig. 8A). Thin-film technology, based on clean room-based microfabrication techniques, has found applications in this field (Fig. 8B) due to the potential realization of high-performance, highly miniaturized, flexible, and stretchable devices, as well as the ability to co-integrate readout electronics with sensors such as strain and electrophysiological sensors [243]. Among the various technologies explored, indium–gallium–zinc oxide (IGZO)-based transistors hold great promise for the realization of flexible transistors [243]. Recently, Song et al. [244] have developed an e-skin sensing equipment that simultaneously measures temperature and pressure, enabling both injury and stress monitoring. However, it should be noted that these systems can have lower reliability or robustness and require notable improvement in TRL before they can be adopted for space applications.\nIn addition to being informed about the onset and extent of injuries, understanding general physical and mental well-being, as well as the impact of different maladaptations in space, is critical. Wearable multiparametric sensing systems were developed for this purpose, such as the Canadian Space Agency’s Astroskin Bio-Monitor system [245] (measuring activity level, breathing rate, blood oxygen saturation, skin temperature, ECG, and systolic BP) and a polysomnography (PSG) system for monitoring sleep quality [246] (measuring EMG, EEG, ECG, electrooculography [EOG], thoracic movements, and airflow).\nSimilarly, obtaining a quantitative understanding of the extent of musculoskeletal and other adaptations in near real time by measuring electrolytes, proteins, and other biomarkers, as reviewed in the previous sections, could be vital for individual-specific tuning of nutrition, supplementation, and exercise regimens. While not explicitly developed for space applications, several multiparametric sensing devices for comprehensive analysis of body fluids, such as sweat, including amperometric (monitoring metabolites like glucose), impedimetric (monitoring biomarkers such as stress hormones like cortisol), potentiometric (measuring electrolytes such as pH, calcium, etc.), and/or bioimpedance (monitoring tissue hydration, galvanic skin response, and tissue ischemia), could be further optimized and tailored for obtaining real-time feedback on musculoskeletal adaptations (Fig. 8E) [247–251]. Many of these systems are still lab-based and require real-world product development to focus more on improving robustness and reliability.\nBeyond health and injury, monitoring physical and mental fatigue is crucial, particularly for mission-critical and hazardous IVA/EVA activities. Muscle fatigue, evaluated using sEMG and Mosso’s ergograph (Fig. 8F), could be particularly useful, especially during labor-intensive IVA/EVA activities [215]. Technologies integrating multiple sensing modalities, such as brain–computer interfaces (BCIs) integrated with augmented reality/virtual reality (AR/VR) (Fig. 8G), computer vision, eye-tracking, and AI, can provide not only context awareness but also real-time monitoring and adaptive instructions, drastically improving performance and quality during critical IVA/EVA tasks [252,253].\n\n\n### Sensing kinematics, dynamics, and detecting intent\nHaving astronauts wear wearable robotic systems solely as an exercise countermeasure will not leverage the technology’s full capabilities. If astronauts intend to use wearable robotic systems for active assistance during IVA/EVA tasks, misinterpretation/delays in understanding user intent would result in unnatural compensations, increased mistakes, frustration, and eventual disuse of the technology. Therefore, apart from the monitoring applications already discussed, sensing the body–suit–environment state, interaction, kinematics, dynamics, and intent in real time becomes vital [151,233]. The different sensing modalities, along with their advantages and disadvantages, are tabulated in Table 3.\nSensing modalities in wearable systems\nControl inputs in wearable robotics have evolved from simple analogue [195] and expiration switches [209,254] to advanced electrophysiological measurements based on EMG (Fig. 8F) and BCIs (Fig. 8G). Electrophysiological measurements can be superior, as they can even detect the onset of movement. Surface EMG is valued for its noninvasiveness, ease of use, and compatibility with wearables while offering insight into neural intent. Kuroda et al. [255] have successfully utilized myoelectrical signals generated by muscle contractions for both sensing and actuating hand control for tactile interaction. This and similar systems enable intuitive control of devices by translating natural muscle activity into mechanical motion. Advances have incorporated biomechanical and neuromusculoskeletal models for smoother control [256], high-density EMG (HD-EMG) data acquisition (Fig. 8F) [257], and novel signal-processing techniques [258–260] for intuitive control of orthotics and prosthetics. Wearable systems for monitoring muscle activation in astronauts have been developed and tested.\nBCIs are gaining attention in wearable robotic control, where they record EEG or metabolic functional near-infrared spectroscopy (fNIRS) changes [261]. They have been used to control robots via motor imagery [203], visual evoked potentials [259], and P300 signals [258]; however, they have not yet demonstrated accurate real-time control. BCIs, combined with other sensing modalities like eye-tracking and computer vision, could aid in context awareness and more accurate user intent detection and cognitive workload monitoring [252] (Fig. 8G). While real-time BCI control remains a challenge, promising research efforts based on issuing higher-order commands than low-medium-level control [262], employing fast-switch-based methods [263], and predictions generated by forward models [264] are being used to inform robot movements and move closer to achieving real-time control.\nIn tandem with muscle and neural activity signals, various strain, force, and kinematic sensing approaches can offer vital insights into the human–robot system state, interactions, and user intent, thereby regulating controller input [184,201,264–266]. Joint angle, velocity, and acceleration [218,267] measurements are frequently employed, occasionally in conjunction with joint torque metrics [268,269]. The widespread use of IMUs (Fig. 8H) in various real-world systems, including space-based wearables, underscores their effectiveness [144,145,187,270]. Textile-based wearable sensors provide an innovative alternative for monitoring kinematics and physiology. Combined with statistical models, neural networks, or other AI-based algorithms, they enable the accurate prediction of complex body movements, such as torso, lumbar shape, and posture [91], as well as multi-DOF movements [271].\nFor intuitive human–robot interaction, force-sensing technologies are essential for understanding dynamics and the interactions among humans, robots, and their environment. They provide valuable metrics to controllers, utilizing tactile [196,209], capacitive [212,219], and resistive sensors [241,272] to track user intent and generate appropriate movements and forces. Inductive [273] and deformation-based sensors, based on load cells, monitor interaction forces, providing a key input to the wearable robot’s closed-loop controller [274]. Conductive composites, liquid metals, and other strain/pressure sensing modalities [219,237–242] (Fig. 8A and C). As discussed in the previous subsection, this approach could also be used for sensing interaction and obtaining tactile or haptic feedback. Context awareness, utilizing data from cameras and eye trackers, which can be potentially integrated within AR/VR headsets (Fig. 8G), when combined with neural and muscle activity signals, could help identify user intent more accurately [275,276].\n\n\n### Challenges for wearable technologies as countermeasures for space missions\nHuman spaceflight involves the interplay among physiological, environmental, and external stressors, which impact astronaut health and operational performance. We identified microgravity, radiation, and psychosocial stressors [4] as the most prominent connected challenges facing astronauts in spaceflight. These challenges will likely degrade the body’s capacity to maintain functional strength and coordination and also limit cognitive resilience and emotional stability. We argued that in response to such challenges, wearable robotic countermeasures may emerge as potential solutions to aid human physical rehabilitation and enhance task performance during long-duration spaceflight. However, there are challenges or bottlenecks to consider when utilizing these technologies in tandem with the existing complexity of human spaceflight. A thorough understanding of the interaction between spaceflight stressors and technological constraints (Table 4) is essential for developing effective, context-appropriate countermeasures.\nStressors, bottlenecks, challenges, and solutions\nMicrogravity fundamentally disrupts human biomechanics, driving rapid physiological deconditioning. The absence of gravitational loading leads to muscle atrophy, particularly in the antigravity muscles of the lower limbs and trunk, bone demineralization, impaired proprioception, and altered sensorimotor control. These physiological changes justify the development of wearable robotic countermeasures capable of generating controlled, artificial loading during movement or exercise. However, this absence of gravity complicates the design, control, and user perception of these devices. Traditional resistive mechanisms, reliant on fixed reference points (such as ground contact), do not function as expected in microgravity. Therefore, exoskeletons must generate internally consistent force loops, through harnesses, counteracting actuators, or structural constraints, to simulate meaningful resistance. These design adaptations increase mechanical complexity and demand sophisticated actuators, sensors and control algorithms that remain stable under variable force dynamics and user input.\nAs human exploration extends beyond LEO, wearable systems must function in diverse gravitational environments. The moon has about one-sixth of Earth’s gravity, while Mars has roughly one-third. Each environment introduces unique biomechanical, locomotion and control dynamics (see the “Human locomotion and movement” section), necessitating real-time adaptability in assistive or resistive force profiles. Verdel et al. [277] found that humans can rapidly adjust their motor behavior; the human motor system does not merely counteract gravity but instead leverages it to reduce muscular effort while moving. However, minimizing effort would increase muscle atrophy. Therefore, predictive and optimal controllers are necessary to optimize under different gravity conditions. Otherwise, those controllers might overreact on Mars, while a controller designed for Martian movement could perform poorly in lunar conditions or in orbit. These gravity-dependent behaviors complicate traditional control paradigms, highlighting the need for adaptive control systems that can learn and adjust to the user’s motion patterns and environmental feedback. Additionally, adapting to different gravity conditions, such as transitioning from a spacecraft to a planet’s surface, requires improved sensor durability and a more adaptable controller.\nIn terrestrial applications, technological advancements have remarkably improved exoskeleton control systems by incorporating AI. Previously, traditional controllers required manual adjustments to accommodate different tasks and environments, which created challenges in dynamic scenarios such as space exploration [278]. The rise of AI-driven, task-agnostic controllers has shifted this paradigm by enabling real-time adaptation across various activities without requiring task-specific programming beforehand. For example, Molinaro et al. [279] demonstrated a deep neural network-based controller that rapidly estimates lower-limb joint moments, enabling exoskeletons better to assist users in a wide range of movements. Such AI methods can predict joint motions and torques across various gravitational environments and transitions, allowing them to adapt and generate compensatory forces to counteract the effects.\nIn summary, gravitational variability is a dynamic variable that must be explicitly integrated into control logic, sensing strategies, and actuator frameworks. Systems that fail to adapt appropriately may reduce astronaut mobility, increase the risk of injury, or compromise the effectiveness of in-flight countermeasures. As such, developing gravity-responsive robotic wearables represents a foundational challenge for planetary mission readiness.\nChronic exposure to space radiation, including GCRs and solar particle events, can cause single-event effects and presents a critical, though not immediately visible, threat to astronaut health and the integrity of wearable robotic systems. The potential for radiation to damage semiconductor components, degrade sensor accuracy, and induce actuator drifts and errors in digital control systems is a concern that cannot be overlooked. Wearable robotics must be engineered utilizing radiation-hardened materials and fault-tolerant architectures, particularly those dependent on high-performance processors, micro-electro-mechanical systems sensors, and wireless communication protocols. There has been the use of radiation-hardened microprocessors for space equipment, such as BAE Systems RAD750 [280] or by Honeybee Robotics [281]. However, it is not yet modified for use in wearable robotics in space. This necessity imposes constraints on component selection, escalates power and thermal management requirements, and complicates efforts to miniaturize the system.\nAdditionally, the challenge of shielding wearable devices is exacerbated by the requirement that protective layers must be both lightweight and practical, necessitating that any increase in mass be warranted within the broader context of system design. In contrast to fixed spacecraft infrastructure, wearable systems maintain continuous contact with the human body, thereby requiring considerations for thermal regulation, biocompatibility, and radiation resistance. Such compounded requirements increasingly burden engineering efforts, particularly on long-duration missions beyond LEO, where radiation exposure risk is higher.\nWearable technologies designed for space missions face substantial longevity issues. These setbacks include the physical heft, the challenges of donning and doffing, and the cognitive load on the user during operation. Astronauts will not adopt every biomechanical system if it negatively affects their daily lives or changes their perception of comfort. This effectively hinders the use of wearable sensorimotor or musculoskeletal health countermeasures in space. An example is the GLCS, which, while it offers advantages, was scrapped on the ISS due to discomfort, restricted range of motion, and donning challenges. These IBs affect the compliance of the astronaut population and demonstrate that comfort, usability, and user experience must be considered alongside the physiological benefits.\nConversely, soft exosuits, as potential countermeasures, offer clear benefits for user experience. These suits may enhance mobility and reduce mechanical intrusiveness, thereby decreasing the physical and psychological burdens associated with extended wear and potentially increasing compliance during long missions. However, soft exosuits are still in their infancy, with limitations in actuation precision, force output, and long-term material durability. This highlights the need for a carefully considered design strategy that balances engineering performance with behavioral and psychosocial viability. Achieving this balance requires a multidisciplinary, user-centered approach, informed by empirical insights from on-the-ground environments, such as parabolic flight experiments. These ground studies offer valuable insights into how human factors interact with wearable systems in conditions that simulate the sensory deprivation, social isolation, and variable workload characteristics of space travel.\nThe advancement of wearable robotics for space missions will likely depend on incorporating adaptive, intelligent technologies that can respond to the user’s physiological and psychological conditions. Wearables equipped with biofeedback sensors to monitor heart rate variability are being used on the ISS [282]. These can be tailored to measure muscle and cognitive fatigue, thereby adjusting resistance levels or training methods. This customized approach can enhance therapeutic outcomes and accommodate fluctuations in stress and motivation.\nFurthermore, responsiveness becomes even more critical due to the increasing autonomy of crews and the limited support from ground control during extended deep-space missions. The successful integration of wearable robotics into astronauts’ daily routines will be essential for their effective performance. When these technologies are viewed as supportive extensions of the body rather than just tools, they are more likely to be accepted as integral parts of astronauts’ lives in space, which, to date, can be a challenge. Thus, future designs should incorporate insights from neuroergonomics, behavioral psychology, and user-centered design aesthetics. This integration will ensure that wearable technology promotes both musculoskeletal health and psychological resilience and also meets the daily needs of crew members, thereby mitigating psychosocial stressors.\nWearable devices face numerous challenges in their practical application in space. Continuous data collection can lead to information overload for astronauts and their ground control, diverting attention from detecting critical health indicators. Privacy concerns may influence comfort and, ultimately, acceptance of ground control monitoring astronauts’ health data. The technical challenges of these devices may be raised by microgravity and high radiation levels. Bulky or uncomfortable devices can interfere with an astronaut’s routine, hindering their practical use and limiting their psychosocial health applications. Addressing these pressing challenges will require a multidisciplinary approach, beginning with surveying human and ethical factors and engineering advances. User-centric design and the successful integration of wearables into astronauts’ daily lives will ultimately enhance the acceptability and uptake of monitoring devices in space exploration.\nThe previously discussed stress factors exacerbate the technical challenges in creating wearable robotic systems. Optimizing weight, size, and power supply remains a challenge. Traditional high-torque exoskeletons are bulky and require a relatively large amount of energy. However, this creates a dilemma: increased actuator strength requires a larger power supply, adding more weight to the system. While microgravity alleviates concerns about weight, factors such as launch mass, device inertia, cost, and energy consumption still impose limitations. Consequently, energy efficiency becomes increasingly critical, prompting research into regenerative actuators, advanced battery technologies, and innovative energy-harvesting techniques. Additionally, control algorithms must be capable of adjusting to changes in movement dynamics and decreased proprioceptive feedback, necessitating robust sensor fusion from drift-sensitive IMUs and varied EMG signals. Closed-loop control systems that respond to biomechanical data and the user’s intentions are also essential for exoskeletons during dynamic exercise.\nWhen factoring in human elements, wearable devices for stressful situations must ensure comfort, adaptability, ease of use, and support for additional mission tasks. Rigid exoskeletons can cause discomfort due to pressure points or joint misalignments; this discomfort may arise from individual anatomical differences or prolonged wear. While soft exosuits address these issues, they can hinder force transmission and precise motion control. Reliability and safety are critical in space missions, as failure of an actuator or control system poses large risks, especially if medical staff cannot promptly fix the devices. This situation demands redundancy, passive safety measures, and fail-safes within the control systems. Beyond safety and reliability, the design of wearable technologies must ensure they do not disrupt the spacecraft’s cabin layout, emergency protocols, or life-support systems. Moreover, the device should work with over-diagnostic tools, be remotely monitored when inactive, and withstand the mechanical and thermal extremes of space travel.\n\n\n### Microgravity-dependent challenges\nMicrogravity fundamentally disrupts human biomechanics, driving rapid physiological deconditioning. The absence of gravitational loading leads to muscle atrophy, particularly in the antigravity muscles of the lower limbs and trunk, bone demineralization, impaired proprioception, and altered sensorimotor control. These physiological changes justify the development of wearable robotic countermeasures capable of generating controlled, artificial loading during movement or exercise. However, this absence of gravity complicates the design, control, and user perception of these devices. Traditional resistive mechanisms, reliant on fixed reference points (such as ground contact), do not function as expected in microgravity. Therefore, exoskeletons must generate internally consistent force loops, through harnesses, counteracting actuators, or structural constraints, to simulate meaningful resistance. These design adaptations increase mechanical complexity and demand sophisticated actuators, sensors and control algorithms that remain stable under variable force dynamics and user input.\nAs human exploration extends beyond LEO, wearable systems must function in diverse gravitational environments. The moon has about one-sixth of Earth’s gravity, while Mars has roughly one-third. Each environment introduces unique biomechanical, locomotion and control dynamics (see the “Human locomotion and movement” section), necessitating real-time adaptability in assistive or resistive force profiles. Verdel et al. [277] found that humans can rapidly adjust their motor behavior; the human motor system does not merely counteract gravity but instead leverages it to reduce muscular effort while moving. However, minimizing effort would increase muscle atrophy. Therefore, predictive and optimal controllers are necessary to optimize under different gravity conditions. Otherwise, those controllers might overreact on Mars, while a controller designed for Martian movement could perform poorly in lunar conditions or in orbit. These gravity-dependent behaviors complicate traditional control paradigms, highlighting the need for adaptive control systems that can learn and adjust to the user’s motion patterns and environmental feedback. Additionally, adapting to different gravity conditions, such as transitioning from a spacecraft to a planet’s surface, requires improved sensor durability and a more adaptable controller.\nIn terrestrial applications, technological advancements have remarkably improved exoskeleton control systems by incorporating AI. Previously, traditional controllers required manual adjustments to accommodate different tasks and environments, which created challenges in dynamic scenarios such as space exploration [278]. The rise of AI-driven, task-agnostic controllers has shifted this paradigm by enabling real-time adaptation across various activities without requiring task-specific programming beforehand. For example, Molinaro et al. [279] demonstrated a deep neural network-based controller that rapidly estimates lower-limb joint moments, enabling exoskeletons better to assist users in a wide range of movements. Such AI methods can predict joint motions and torques across various gravitational environments and transitions, allowing them to adapt and generate compensatory forces to counteract the effects.\nIn summary, gravitational variability is a dynamic variable that must be explicitly integrated into control logic, sensing strategies, and actuator frameworks. Systems that fail to adapt appropriately may reduce astronaut mobility, increase the risk of injury, or compromise the effectiveness of in-flight countermeasures. As such, developing gravity-responsive robotic wearables represents a foundational challenge for planetary mission readiness.\n\n\n### Radiation\nChronic exposure to space radiation, including GCRs and solar particle events, can cause single-event effects and presents a critical, though not immediately visible, threat to astronaut health and the integrity of wearable robotic systems. The potential for radiation to damage semiconductor components, degrade sensor accuracy, and induce actuator drifts and errors in digital control systems is a concern that cannot be overlooked. Wearable robotics must be engineered utilizing radiation-hardened materials and fault-tolerant architectures, particularly those dependent on high-performance processors, micro-electro-mechanical systems sensors, and wireless communication protocols. There has been the use of radiation-hardened microprocessors for space equipment, such as BAE Systems RAD750 [280] or by Honeybee Robotics [281]. However, it is not yet modified for use in wearable robotics in space. This necessity imposes constraints on component selection, escalates power and thermal management requirements, and complicates efforts to miniaturize the system.\nAdditionally, the challenge of shielding wearable devices is exacerbated by the requirement that protective layers must be both lightweight and practical, necessitating that any increase in mass be warranted within the broader context of system design. In contrast to fixed spacecraft infrastructure, wearable systems maintain continuous contact with the human body, thereby requiring considerations for thermal regulation, biocompatibility, and radiation resistance. Such compounded requirements increasingly burden engineering efforts, particularly on long-duration missions beyond LEO, where radiation exposure risk is higher.\n\n\n### Psychosocial dependent challenges\nWearable technologies designed for space missions face substantial longevity issues. These setbacks include the physical heft, the challenges of donning and doffing, and the cognitive load on the user during operation. Astronauts will not adopt every biomechanical system if it negatively affects their daily lives or changes their perception of comfort. This effectively hinders the use of wearable sensorimotor or musculoskeletal health countermeasures in space. An example is the GLCS, which, while it offers advantages, was scrapped on the ISS due to discomfort, restricted range of motion, and donning challenges. These IBs affect the compliance of the astronaut population and demonstrate that comfort, usability, and user experience must be considered alongside the physiological benefits.\nConversely, soft exosuits, as potential countermeasures, offer clear benefits for user experience. These suits may enhance mobility and reduce mechanical intrusiveness, thereby decreasing the physical and psychological burdens associated with extended wear and potentially increasing compliance during long missions. However, soft exosuits are still in their infancy, with limitations in actuation precision, force output, and long-term material durability. This highlights the need for a carefully considered design strategy that balances engineering performance with behavioral and psychosocial viability. Achieving this balance requires a multidisciplinary, user-centered approach, informed by empirical insights from on-the-ground environments, such as parabolic flight experiments. These ground studies offer valuable insights into how human factors interact with wearable systems in conditions that simulate the sensory deprivation, social isolation, and variable workload characteristics of space travel.\nThe advancement of wearable robotics for space missions will likely depend on incorporating adaptive, intelligent technologies that can respond to the user’s physiological and psychological conditions. Wearables equipped with biofeedback sensors to monitor heart rate variability are being used on the ISS [282]. These can be tailored to measure muscle and cognitive fatigue, thereby adjusting resistance levels or training methods. This customized approach can enhance therapeutic outcomes and accommodate fluctuations in stress and motivation.\nFurthermore, responsiveness becomes even more critical due to the increasing autonomy of crews and the limited support from ground control during extended deep-space missions. The successful integration of wearable robotics into astronauts’ daily routines will be essential for their effective performance. When these technologies are viewed as supportive extensions of the body rather than just tools, they are more likely to be accepted as integral parts of astronauts’ lives in space, which, to date, can be a challenge. Thus, future designs should incorporate insights from neuroergonomics, behavioral psychology, and user-centered design aesthetics. This integration will ensure that wearable technology promotes both musculoskeletal health and psychological resilience and also meets the daily needs of crew members, thereby mitigating psychosocial stressors.\nWearable devices face numerous challenges in their practical application in space. Continuous data collection can lead to information overload for astronauts and their ground control, diverting attention from detecting critical health indicators. Privacy concerns may influence comfort and, ultimately, acceptance of ground control monitoring astronauts’ health data. The technical challenges of these devices may be raised by microgravity and high radiation levels. Bulky or uncomfortable devices can interfere with an astronaut’s routine, hindering their practical use and limiting their psychosocial health applications. Addressing these pressing challenges will require a multidisciplinary approach, beginning with surveying human and ethical factors and engineering advances. User-centric design and the successful integration of wearables into astronauts’ daily lives will ultimately enhance the acceptability and uptake of monitoring devices in space exploration.\n\n\n### Other challenges\nThe previously discussed stress factors exacerbate the technical challenges in creating wearable robotic systems. Optimizing weight, size, and power supply remains a challenge. Traditional high-torque exoskeletons are bulky and require a relatively large amount of energy. However, this creates a dilemma: increased actuator strength requires a larger power supply, adding more weight to the system. While microgravity alleviates concerns about weight, factors such as launch mass, device inertia, cost, and energy consumption still impose limitations. Consequently, energy efficiency becomes increasingly critical, prompting research into regenerative actuators, advanced battery technologies, and innovative energy-harvesting techniques. Additionally, control algorithms must be capable of adjusting to changes in movement dynamics and decreased proprioceptive feedback, necessitating robust sensor fusion from drift-sensitive IMUs and varied EMG signals. Closed-loop control systems that respond to biomechanical data and the user’s intentions are also essential for exoskeletons during dynamic exercise.\nWhen factoring in human elements, wearable devices for stressful situations must ensure comfort, adaptability, ease of use, and support for additional mission tasks. Rigid exoskeletons can cause discomfort due to pressure points or joint misalignments; this discomfort may arise from individual anatomical differences or prolonged wear. While soft exosuits address these issues, they can hinder force transmission and precise motion control. Reliability and safety are critical in space missions, as failure of an actuator or control system poses large risks, especially if medical staff cannot promptly fix the devices. This situation demands redundancy, passive safety measures, and fail-safes within the control systems. Beyond safety and reliability, the design of wearable technologies must ensure they do not disrupt the spacecraft’s cabin layout, emergency protocols, or life-support systems. Moreover, the device should work with over-diagnostic tools, be remotely monitored when inactive, and withstand the mechanical and thermal extremes of space travel.\n\n\n### Discussion and Perspectives for Future Research and Development\nAs humanity begins a new era in space exploration, pursuing a sustainable human presence on the Moon and preparing for a future Mars mission, it becomes increasingly evident that existing physiological countermeasures will not suffice. Multiple threats associated with both microgravity and additional exposure to potentially harmful stressors (e.g., radiation or psychosocial stressors) present a multifaceted threat to astronaut health and performance. While decades of research have generated valuable knowledge and countermeasures, the next generation of “countermeasures” must become embedded, intelligent, and adaptive, not bulky and resource-intensive, to enable effective engagement. Wearable robot systems are a notable technology most closely aligned with these characteristics. This review is intended for researchers and designers aiming to develop the next generation of wearable countermeasures to mitigate the harsh stressors of outer space.\nCurrent research in space physiology, particularly in musculoskeletal adaptations, provides valuable insights into bone density loss, muscle atrophy, and systemic physiological changes resulting from prolonged exposure to microgravity. Studies conducted pre- and post-flight, especially those leveraging sophisticated imaging modalities and biochemical assays on the ISS, have laid a strong foundation for understanding these complexities. While countermeasures such as resistive exercise, nutritional strategies, and pharmacological interventions have shown promise in mitigating these adaptations, they remain only partially effective. They are often bulky, time-intensive, and resource-demanding. These limitations pose substantial challenges for future missions aboard compact spacecraft. Exercise is the cornerstone of current countermeasures, with systems such as CEVIS, TVIS, iRED, and ARED installed on the ISS and in earlier ships, including Mir and Skylab. Novel solutions, including AG, are also under evaluation. However, weight, size, and payload capacity constraints demand sophisticated, lightweight, modular, and compact alternatives.\nWearable systems represent a natural evolution and opportunity in countermeasure design. By incorporating actuation, sensing, control, computation, and material innovation, they offer a path to continuous, personalized support without an operational burden. Wearable systems can function as smart “second skins”, monitoring physiological markers, providing mechanical loading, assisting locomotion, and adapting in real time to the astronaut, notably reducing the adverse effects of space stressors. While systems such as the Pingvin suit, the GLCS, and NASA’s soft exosuit prototypes provide some proof of principle for certain aspects of our vision, the development of operationalized, high-TRL, space-rated systems is in its infancy [283]. Yet, trends in advanced materials science, advanced quantum computing, soft robotics, and AI indicate that we are on the verge of a leap in capability, provided that research efforts remain focused and interdisciplinary.\nWearable countermeasures must be lightweight, thermally stable, and radiation- and mechanical-fatigue-resistant. A critical enabler for these systems is advanced materials science. Innovations in materials are crucial for advancements in battery technology, space suit design, sensors, actuators, and electronics. Therefore, multifunctional materials, such as hydrogenated polymers for radiation shielding, boron nitride nanotubes, graphene composites, and wide-bandgap semiconductors like silicon carbide, offer solutions that combine mechanical strength with electronic and radiation-resistant properties [13,284,285]. Notably, these materials must also support integration with flexible electronics, sensors, and actuators, and provide a platform for building human–machine interfaces, controls, or AI without compromising comfort or mobility. Research into soft, self-healing materials and conductive textiles may further enable distributed sensing and actuation across garments or suits [286,287]. Spacesuit embodiments must also address thermoregulation, pressure management (mechanical counterpressure versus pressurized suits), comfort, dexterity, and ergonomics. In particular, smart materials, such as SMA and EAP, with closed-loop control strategies combined with AI, can provide adjustable stiffness, as studied in soft wearables, to leverage their self-healing properties and adapt to different G environments [288].\nAdditionally, research into ultrathin soft radiative-cooling interfaces (USRIs) combines high solar reflectance with nearly perfect mid-infrared emissivity. This setup achieves over 56 °C of passive cooling [289], representing a remarkable advance in thermal management and long-term wearability. By potentially integrating USRI layers with radiation-hardened composites and microfluidic loops, we can create lightweight, self-optimizing exosuits that resist radiation. These suits maintain comfort and performance during lengthy space missions, marking an important step toward fully adaptive robotic enhancement for space exploration. Building on these developments, intelligent soft-robotic systems now include low-power neuromorphic circuits. These circuits may adapt to metabolic load, thermal stress, and radiation damage.\nSpecific sensing and actuation requirements must be prioritized to successfully implement wearable technology in space missions. The sensor-actuator loop functions as the nervous system of any wearable robotic platform, particularly in space applications where human–robot integration must be both seamless and adaptive. A coordinated array of biomechanical, electrophysiological, and biochemical sensors can provide real-time, context-aware data on movement, exertion, fatigue, hydration, musculoskeletal deconditioning, and early detection of injury risk—information critical for decision-making, responsive actuation, and mission success. Emerging sensing modalities offer promising opportunities to address these limitations. Electrochemical, myoelectric, kinematic, and environmental sensors are increasingly being explored for their ability to deliver rich, multimodal data streams [290,291]. These sensors enable advanced physiological monitoring, enhance human–robot interaction, and control adaptability. Access to high-fidelity data from these sources is crucial for making dynamic decisions, reconfiguring systems, and providing user-centered feedback, especially under the stresses of spaceflight.\nAdditionally, soft robotics and soft sensing technologies offer exciting opportunities to enhance wearability, flexibility, and human compatibility [292]. These systems are especially appealing for their ability to conform to the body, respond to natural movement patterns, and reduce mechanical impedance. However, several barriers still hinder their deployment in high-TRL applications [292,293]. Key issues include the nonlinear behavior of soft materials, precise control and dynamic modeling, high-voltage requirements for actuation, durability limitations, and slow response times [293]. Addressing these challenges is vital for transitioning from prototypes to practical systems.\nParallel to these sensing challenges, actuation technologies also require substantial refinement. Current approaches, including dielectric elastomers, soft pneumatics, electrohydrodynamic systems, and tendon-driven soft robotic actuators [294], offer various benefits but often fall short regarding reliability, scalability, and energy efficiency. Many existing actuators are either too complex mechanically or underpowered to be integrated into compact, wearable forms suitable for space. Designing actuators that can operate precisely and reliably in the vacuum of space, under radiation stressors, and with minimal power requirements remains an urgent area of research [295].\nNeuromusculoskeletal modeling and adaptive control algorithms will be equally vital, enabling systems to interpret sensor data contextually, anticipate user intent, and coordinate actuation with natural movement across variable gravity conditions [294,295]. A multidisciplinary approach incorporating advancements in sensor technology, actuation techniques, materials science, and control engineering is essential to successfully integrating wearable robotics with the human body in space.\nIn support of design development, AI offers opportunities to simulate materials, mechanisms, and biological systems, enabling faster verification and validation to achieve the high TRL anticipated. Astronauts’ extensive pre-, during, and post-flight testing has generated a wealth of data that could be used to create highly accurate digital twins, both neuromusculoskeletal and other simulation systems that model the outer-space stressors [291,296]. These twins could represent various physiological systems and adapt in real time using data from onboard sensors. AI-powered systems could analyze these data and serve as decision-support systems for predictive and reactive medical/diagnostic interventions, enabling personalized exercise regimens, adaptive controllers for robotic systems, and astronaut training and education. As a result, this may improve human–machine interaction, help finely tune nutrition and pharmacological protocols, and lead to better cognitive and physical health. Moreover, when deployed on ultra-low-power neuromorphic processors [297], these AI systems can operate autonomously onboard spacecraft, supporting astronauts even in communication-limited environments such as Martian missions. This makes this research area vital for developing and testing new systems and their robust deployment on space missions.\nBeyond assistance or therapy, modeling the interactions between humans, robotic suits, and the environment can pave the way for providing haptic, tactile, and other forms of biofeedback for psychosocial well-being, regular maintenance, and IVA/EVA tasks. These advancements could substantially reduce physical strain, mitigate cognitive overload, and enhance task performance. This is particularly important for astronauts, as the loss of haptic feedback and dexterity, especially when wearing pressurized gloves during EVA [298], is well-documented. Research into mechatronic systems capable of delivering such feedback can create a more natural user experience. From the cognitive perspective, employing multiple sensing modalities, such as BCI, can provide a highly accurate assessment of mental acuity, fatigue, and cognitive load, helping to prevent accidents [257,299].\nHence, human–robot interaction, both physical and cognitive, remains a foundational challenge. For wearable systems to be adopted and relied upon, they must feel intuitive and minimally intrusive. Advances in shared control paradigms, in which robotic systems modulate their behavior based on physiological signals such as HD-EMG, ultrasound, IMUs, EEG, fNIRS, and other sensing modalities, could facilitate intuitive, natural control [300–302]. Coupling these signals with AI-based intent recognition can enable seamless co-adaptation between the astronaut and the system. At the same time, haptic and tactile feedback mechanisms can restore lost sensory perception and prevent spatial disorientation, particularly during EVA activities that rely on gloved interfaces with limited dexterity and feedback [303]. Realizing a wearable robotic system that integrates all these advancements could lead to a future where astronauts achieve superior physical and cognitive performance while wearing minimalistic wearable robotic systems that feel as natural as clothing. Such systems would not only optimize their physical health and mental well-being during missions but also provide lasting benefits after mission completion.\nDespite the promise of wearable systems as advanced solutions for musculoskeletal issues, the shift from ground-based prototypes to operational flight systems has been limited. This is primarily due to the unique challenges encountered during initial launches and the stresses experienced in space. Key obstacles include exposure to high-energy radiation, changes in gravity, and the psychological complexities of isolated and confined missions. Each of these factors introduces additional technical, physiological, and human-factor challenges that must be addressed to secure the safety, usability, and effectiveness of wearable countermeasures for future orbital and interplanetary missions. The identified stressors are somewhat interconnected constraints that outline the limitations of current Earth-based wearable robotics intended for musculoskeletal countermeasures during space exploration.\nAnother critical area needing attention is the optimization of exercise protocols for wearable robots utilized by astronauts. What is the most effective way for them to use these devices? Should they wear them continuously with light resistance throughout the day, known as the “continuous countermeasure” approach, participate in short bursts of high-intensity workouts, or use a combination of both methods? Some studies suggest that incorporating continuous low-level resistance into daily activities may preserve muscle conditioning as effectively as rigorous gym workouts [304]. Hence, if additional research supports this idea, it could usher in a profound transition from traditional, scheduled exercise to a more integrated approach to fitness in daily life, which wearable technologies can facilitate. Nevertheless, extensive research is crucial to confirm the long-term effects on bone health and cardiovascular fitness associated with these approaches.\nFurthermore, most space physiology research has been conducted in LEO, limiting the applicability of learnings to extended missions or deep-space environments. Therefore, a key question is how accurately we can model and validate the wealth of knowledge and information from LEO to the deep mission. Additionally, limited sample sizes, disparate methodologies, gender imbalances, and an overall lack of generalizability among findings from different space agencies need careful consideration. Establishing standardized research frameworks and addressing these biases will be essential for advancing countermeasure development. Unlike academic research, space research is not widely disseminated, making it challenging for private companies and academic researchers to access the latest technologies and contribute more effectively. It should be a policy focus area.\nTo optimize the efficacy of wearable robotic systems for spaceflight applications, it is imperative to prioritize an integrated, adaptable, and human-centered design approach. Future research must examine environmental, physiological, and psychosocial robustness rather than isolating components. Subsequently, these factors must be considered at the system level for accurate modeling, such as digital twins or AR/VR. Furthermore, the system’s radiation resilience must be assessed comprehensively, considering not only individual components but also the entire system—first, the spacecraft, and second, the wearable systems—particularly when EVA is required. For prospective exosuits, it is essential to incorporate fail-operational modes within distributed control systems and garment-integrative radiation shielding, and implement error-correcting codes within all embedded processors. Additionally, advancements in materials science are crucial for developing radiation-tolerant elastomers and composites for soft actuators and structural frames.\nSpace R&D has historically driven innovations with far-reaching terrestrial applications, ranging from medical devices, early computers, and instrumentation to navigation and telecommunications, as well as everyday technologies. Wearable countermeasures developed for astronauts could translate into systems for at-home rehabilitation, personal fitness, assistance for the elderly, and the sustenance of life in extreme environments. By addressing the challenges astronauts face, researchers can also develop solutions that enhance physical and cognitive abilities, benefiting diverse populations on Earth. In space and during missions, wearable systems could monitor astronauts’ health, movements, and the mechanical forces they exert on their environment or on their suits. Wearable sensors could predict, prevent, or detect early injuries during critical missions. Wearable robots can assist astronauts in completing challenging tasks or counteracting the effects of the space environment and weightlessness. Sensors and robotics can be combined to improve robot control, machine learning, sensor fusion, and other techniques.\nIntegrating multiple disciplines presents ongoing challenges. One review notes that exoskeletons function best within a “synchronized multidisciplinary effort” [283], essential for successful designs that merge human biomechanics, robotics, and ergonomics. In the context of space, this means that engineers, exercise physiologists, orthopedic specialists, and astronauts themselves will collaboratively design suitable solutions. A user-centered approach that involves extensive astronaut feedback and prototypes that accommodate various body types will be vital to addressing astronaut requirements. Closing the cultural gap between robotics engineers and life scientists will arise from a common goal of ensuring astronaut health without excessive strain. Lastly, wearable robots complement other countermeasures, including but not limited to nutritional supplements, pharmacological agents such as bisphosphonates, promising approaches to prevent bone loss in space, and a possible AG protocol. The challenge remains in articulating how an exoskeleton regimen can enhance these methods. For instance, if an astronaut uses medication for bone loss, can the robotic suit adjust the load accordingly?\nIn conclusion, wearable robotic countermeasures blend space medicine and robotics in a promising way. Although there are notable challenges—such as the weight of the hardware, power supply, human-centered design, and safety—there are also lessons from Earth-based exoskeletons that can create valuable innovation opportunities, drawing on their successes and failures. Transforming an idea into a “flight-ready astro-exosuit” will necessitate closing research gaps through thorough testing explicitly focused on astronaut-centric, user-driven design. However, the potential benefits are immense; if each astronaut’s movement can double as exercise, we can keep them in a stronger and healthier state during long missions that may last decades between planets. The developments in astronaut missions to achieve this goal will also enhance wearable robots for rehabilitation and industrial use. With continued collaboration across our diverse disciplines, we might witness the first astronauts engaging in Human Lifecycle Health research, equipped with a groundbreaking supportive exoskeleton, within the next 10 years—an evolved version of a spacesuit designed not only for human survival but also to optimize musculoskeletal health throughout interplanetary voyages.", "domain": "affective_neuroscience"}
{"source": "PMC13089512", "title": "Experimentally induced REM sleep fragmentation affects psychophysiological habituation to emotional stimuli", "text": "# Experimentally induced REM sleep fragmentation affects psychophysiological habituation to emotional stimuli\n\n## Abstract\nRapid eye movement sleep is believed to reduce physiological reactivity to emotional experiences. While rapid eye movement sleep fragmentation has been associated with maladaptive emotional processing in clinical and animal models, its causal role has not been experimentally isolated in healthy humans. In this study, we tested whether selectively fragmenting rapid eye movement sleep impairs overnight psychophysiological habituation in healthy individuals, aiming to identify the cortical dynamics involved. Seventeen participants (mean age ± SD, 23.18 ± 3.94, 14 females) completed two counterbalanced conditions (fragmentation and control) each encompassing a baseline assessment of emotional memory/reactivity, a nocturnal polysomnography with or without wrist-applied vibrotactile stimulation during rapid eye movement sleep, a post-sleep emotional memory/reactivity reassessment, and a 48-h follow-up evaluation. Emotional memory was evaluated using an old/new paradigm, while emotional reactivity was assessed through self-report and physiological measures (electrodermal activity and heart rate deceleration–heart rate deceleration). The stimulation procedure elicited cortical arousal during rapid eye movement sleep, increasing rapid eye movement sleep fragmentation without altering total sleep time, sleep efficiency, and wake after sleep onset. Stimulations reliably induced a distinct cortical arousal signature, characterized by increased higher EEG frequencies (alpha, sigma, beta, gamma). rapid eye movement sleep fragmentation compromised heart rate deceleration habituation to emotional stimuli at both post-sleep assessments without impacting electrodermal response, self-report evaluation, and recognition memory. Crucially, the degree of impaired cardiac habituation at both timepoints was strongly predicted by the magnitude of stimulation-induced alpha power over parieto-occipital regions. These findings indicated the importance of unperturbed rapid eye movement sleep continuity for proper psychophysiological habituation to emotional events, suggesting alpha intrusions as a potential cortical correlate of impaired habituation. Graphical Abstract\n\n## Full Text\n\n\n### Introduction\nA key function of rapid eye movement (REM) sleep is the processing of emotional memories [1–3], whose engram comprises both a factual component (the declarative aspect of the experience) and an emotional reactivity component (the intensity of the individual’s affective response to the event). The role of REM sleep in processing the psychophysiological response associated with emotional memory remains a matter of debate, with conflicting evidence deriving from both controlled laboratory studies and more ecological paradigms [2–5].\nPrevious evidence [6] suggested that total sleep deprivation increases amygdala reactivity to emotional stimuli, reducing its functional connectivity with the medial prefrontal cortex while increasing its connectivity with the locus coeruleus (LC) and the midbrain. Neuroimaging studies further indicated that such amygdala hyperactivation and its altered connectivity with regions involved in top-down emotional regulation are specifically attributable to REM sleep deprivation [7–9]. Moreover, the dampening of emotional reactivity by REM sleep has been negatively associated with frontal gamma (30-40 Hz) power [7], which has been used as a proxy for noradrenergic (NA) tone in mice [10]. Collectively, these findings led to the formulation of the “Sleep to Forget, Sleep to Remember” (SFSR) hypothesis [11], which posits that REM sleep serves a dual function: consolidating the declarative component of the emotional experience while simultaneously dampening the associated emotional reactivity. This differential effect is thought to be possible since elevated levels of acetylcholine, coupled with increased activity in limbic structures (i.e. hippocampus and amygdala), should facilitate emotional memory formation [11]. In contrast, reduced LC activity, leading to the lowest levels of NA, decreases physiological arousal [11]. However, empirical support for a definitive role of REM sleep in emotional processing remains limited.\nPartial confirmation of the SFSR hypothesis has been obtained from in vivo studies in animal models, which underscore the importance of reduced NA tone for adaptive emotional processing. Specifically, LC bursts during REM sleep have been found to elevate NA levels, thereby compromising REM continuity [12]. In this context, disrupted REM sleep continuity is operationalized as either an altered temporal clustering of REM bouts (i.e. more frequent, sequentially separated episodes interspersed with brief non-rapid eye movement [NREM] or wake periods) or a reduction in the average duration of individual REM sleep episodes (without altering total REM duration) [13, 14]. Such fragmentation can be experimentally induced by mechanical methods, circadian misalignment or optogenetic activation of the LC [12, 15]. These manipulations introduce NA surges that disrupt REM sleep continuity [12, 16–18], and impair sleep-dependent emotional memory processing in fear conditioning/extinction paradigms [14, 19–21].\nIn humans, indirect evidence for the role of REM sleep in emotional processing is provided by clinical populations, where distinct yet interrelated conditions such as insomnia, post-traumatic stress disorder (PTSD), depression, and REM sleep behavior disorder are typically characterized by both fragmented REM sleep and maladaptive emotional processing [22–25]. Intriguingly, a recent study on insomniacs by Wassing and colleagues [26] aimed to quantify whether the extent of restless REM sleep was associated with the overnight attenuation of emotional responses showed that overnight amygdala adaptation to emotional experience failed in proportion to the degree of REM sleep discontinuity.\nBuilding on this framework, it has been recently proposed [27] that the silence of NA neurons in the LC during REM would allow the transition of emotional memories from a “novelty” representation, characterized by heightened physiological reactivity, to a “familiar” one, in which reactivity is attenuated. In contrast, phasic bursts of LC activity during REM sleep, triggering sudden NA surges, may hinder emotional habituation by sustaining the novelty status of memory traces, ultimately compromising the regulatory function of REM sleep [27, 28]. As pharmacological and optogenetic manipulations of the LC-NA system directly modulate EEG activation and arousability [17, 18, 29], frequent cortical arousals and sleep stage transitions interrupting REM sleep can be considered an indirect proxy for heightened NA tone in clinical populations, contributing to the emotional dysregulation.\nIn parallel, recent meta-analyses suggest that REM sleep plays a preferential role in consolidating the declarative component of emotional memories [1, 3]. However, these conclusions are primarily based on a limited number of studies that employ total REM sleep deprivation or split-night paradigms, contrasting the presence of REM sleep with its absence. The question of whether REM sleep fragmentation affects this process is less clear [30]. The perspective proposed by Cabrera and colleagues [27] posits that the strengthening of the factual component of the emotional memory trace occurs primarily during NREM sleep, through the coupling of hippocampal ripples, thalamic spindles and cortical slow oscillations, which have been increasingly implicated in emotional memory processing [27, 31]. This framework suggests a functional dissociation: the processing of the declarative component of the emotional information mostly depends on NREM integrity, whereas REM sleep is more involved in the emotional reactivity dampening. Furthermore, since heightened NA tone, in addition to interfering with long-term depression processes mediating reactivity habituation during REM sleep, may even further promote long-term potentiation in the hippocampus [32–34], REM sleep fragmentation should not specifically affect or compromise the consolidation of the factual component of emotional memory, but could potentially improve it.\nOverall, the current findings and theoretical assumptions leave a gap in the literature, as the causal role of the NA tone during REM sleep in emotional habituation has been evaluated only in animal models and clinical populations. Assessing the role of REM sleep fragmentation in healthy subjects, utilizing cortical arousal as a proxy for NA activation in REM sleep, could help in evaluating the role of REM sleep continuity free from confounding factors such as the sleep alterations characterizing sleep in clinical populations.\nIn this study, we aimed at investigating the effects of REM sleep fragmentation on the ability to consolidate the declarative component of emotional information and to attenuate emotional reactivity, using behavioral, self-report, and physiological measures. We used a sensory stimulation modality designed to induce cortical arousal during REM sleep with low impact on macrostructural sleep parameters, allowing us to study the effect of restless REM sleep on emotional adaptation cleanly. In this regard, we developed a vibrotactile stimulation device consisting of a vibrating bracelet connected to a hardware control system that enabled stimulation management during REM sleep. We hypothesized that experimentally inducing REM sleep fragmentation would compromise emotional habituation, preserving emotional reactivity to previously encoded stimuli. Furthermore, based on the evidence outlined above, we did not expect to find memory impairment due to experimentally induced REM sleep fragmentation.\n\n\n### Materials and Methods\nTwenty students were recruited from the University of L’Aquila. Three participants dropped out because they were unable to fall asleep in the laboratory setting. Thus, the final sample comprised 17 subjects (mean age ± SD, 23.18 ± 3.94, age range 19–34, 14 females).\nRecruitment criteria encompassed: (1) good sleep quality (Pittsburgh Sleep Quality Index—PSQI [35]—global score < 6; mean ± SD, 3.88 ± 1.17), (2) no insomnia symptoms (Insomnia Severity Index – ISI [36] – score < 7; 2.41 ± 2.24), (3) absence of depression (Depression Anxiety Stress Scale – DASS–21 [37] – depression subscale score < 14; 4.12 ± 3.77), stress (DASS–21 stress subscale score < 19; 9.06 ± 4.42), and anxiety symptoms (DASS–21 anxiety subscale score < 10; 2.12 ± 2.29), (4) regular sleep schedule, (5) normal or corrected-to-normal vision, (6) absence of medication consumption potentially interfering with sleep, (7) absence of sleep disorders, and (8) absence of skin disease, to prevent discomfort during EEG montage or an adverse skin reaction to the conductive gel, and to ensure valid electrodermal recordings. These criteria were assessed during an initial screening using validated questionnaires (PSQI, ISI, DASS-21) and a custom-made questionnaire that inquired about medical history, current medication use, alcohol and other psychoactive substance use, and sleep habits. Female participants were recruited at the end of their menstrual cycle to minimize the influences of hormonal fluctuations on psychophysiological parameters [38, 39].\nThis investigation was approved by the institutional review board of the University of L’Aquila (protocol no. 49/2021) and was conducted in accordance with the principles outlined in the Declaration of Helsinki.\nThe participants underwent two experimental conditions (Fragmentation—FRG, Control—CTR; Figure 1A) in a counterbalanced order across subjects, separated by a minimum of 28 days (mean days ± SD, 53.47 ± 36.33) of washout. During the two days preceding the laboratory sleep night, participants’ sleep was monitored at home using an actigraph (see section 3 in Supplementary Materials). On the first experimental day, participants arrived at the laboratory at 5:00 p.m. for the application of electrocardiogram (ECG) and electrodermal activity (EDA) electrodes. The baseline testing session (T0) started at 6:00 p.m. It comprised, in fixed order: 5-min resting-state ECG recording; the emotional reactivity task (~15 min); 5-min post-task resting-state ECG recording; a non-emotional distractor task (~15 min); the stimulus encoding phase of the memory task (~10 min) and, after a 10-min break, the immediate recognition test (~8 min). Following a dinner break, participants were prepared for the polysomnography (PSG). Bedtimes were scheduled between 10:30 p.m. and 12:30 a.m., according to each participant’s habitual bedtime. Participants were allowed to sleep for 8 h, timed from the first epoch of NREM stage 2 sleep. If no final awakening spontaneously occurred within this timeframe, the final awakening was scheduled with ±20-min flexibility to avoid disrupting an ongoing REM sleep period or the fragmentation procedure. Approximately 1 h after the final awakening (between 08:00 a.m. and 10:00 a.m.), the post-sleep test session (T1) started and included: the 5-min resting-state ECG recording, followed by the emotional reactivity task (~15 min) and the post-task 5-min resting-state ECG recording; the non-emotional distractor task (5 min); the recognition test phase of the emotional memory task (~8 min). Participants left the laboratory after the T1 session, and their sleep during the next two nights was monitored via actigraphy. 48 h after the T1 testing phase, participants returned to the laboratory (arrival time scheduled according to the T1 start time) for the delayed test session (T2), which replicated the same sequence of activities as described for T1.\nSchematic representation of the experimental protocol and tasks. (A) The study design. On day 1, participants underwent a baseline evaluation of emotional reactivity, followed by stimulus encoding and baseline evaluation of emotional memory performance (T0). Subsequently, they slept in the laboratory undergoing a PSG, either with (fragmentation) or without (control) vibrotactile stimulation. On day 2, participants underwent a new evaluation (T1) of the emotional reactivity and emotional memory in the morning. Finally, on day 4, participants performed a delayed assessment of emotional reactivity and emotional memory performance (T2). (B) The emotional reactivity task. During the presentation of each image, we recorded electrodermal activity and an ECG. After each stimulus, participants rated their perceived valence and arousal using the SAM. (C) The emotional memory task. Left: The encoding phase, with the number of stimuli presented for each emotional category. Right: The recognition phase, indicating the number of “old” (seen during encoding) and “new” (distractor) images. The set of pictures shown was unique in each test phase.\nThe vibrotactile stimulation device was a novel apparatus developed in-house specifically for this study. Its conceptual design was directly inspired by previous work demonstrating that vibrotactile stimuli applied to the arm can effectively induce cortical arousals during sleep [40, 41]. At the same time, similar principles of sensory stimulation have been employed during sleep in recent research for different purposes [42]. The stimulation device comprised a vibrating bracelet connected to a hardware control system. The vibrating bracelet consists of an elastic fabric wristband housing five 5 V vibration motors. The hardware control system comprises an Arduino Uno Rev3 board (ARDUINO, Italy), a printed circuit board, a 5 V Micro SD card module for Arduino, a 5 V relay, and a power regulator. All these hardware components were enclosed in an ABS plastic module case and powered by an external source.\nThe stimulation device operated in a semi-automated manner. Upon activation, it generated a continuous automated stimulation-pause cycle, consisting of a 3-s vibration followed by a 3-s pause. This stimulation-pause cycle could be suspended for 40 s or terminated, depending on the specific user input to the control system.\nVibrotactile stimulations were managed by a sleep expert, who continuously monitored the EEG recording throughout the night to fragment REM sleep. The semi-automated stimulation-pause cycle was applied during all REM sleep periods throughout the night and initiated once the first REM sleep epoch, according to AASM criteria [43], was identified.\nThe stimulation procedure followed a strict, rule-based scheme. The vibration intensity was manually controlled via a 7-step graduated knob that adjusted the operating voltage (V) of the motors within a 0.8–4.5 V range. At the beginning of each new REM period, the procedure was always initiated at the minimum intensity (0.8 V). Each stimulation lasted up to 3 s or was terminated sooner if cortical arousal appeared on any EEG trace. In the absence of a cortical response to the stimulation, the sleep expert manually increased the vibration intensity by one pre-calibrated step during the 3-s pause between stimuli until a clear EEG arousal was observed. If the participant remained in REM sleep after this arousal, the sleep expert paused the stimulation, which automatically restarted after 40 s with the previous effective intensity. However, if the stimulation caused a sleep stage transition or body movement, it was stopped until the participant returned to REM sleep. Upon the participant’s return to REM sleep, the stimulation procedure was re-initiated from the minimum intensity level.\nWe developed the tasks with PsychoPy (v2020.2.10) and presented them on a 24-inch monitor (NILOX, NXMMIPS240004) powered by a Mac mini (Apple M1, 2020).\nThe emotional reactivity task assessed both subjective and psychophysiological responses to emotional stimuli and evaluated potential differences in resting-state heart rate variability (HRV) parameters. The task (Figure 1B) encompassed 5 min of resting-state ECG recording before and after performing 28 trial each involving: (1) emotional picture presentation (14 emotionally negative, 14 emotionally neutral) for 6 s, (2) 4 s interstimulus interval, (3) subjective rating of image arousal and valence on a 9-point Likert scale utilizing the self-assessment manikin (SAM) [44], and (v) a variable intertrial interval (ITI) ranging from 8 to 12 s, which was jittered to prevent anticipatory skin conductance response (SCR). Participants were given unlimited time for each rating to avoid time–pressure effects on their emotional evaluation and to allow for minor postural adjustments between trials. A total of 28 negative and twenty-eight neutral images were selected to create four distinct sets of images, thereby differentiating stimuli between conditions. The negative stimuli consisted of the most arousing and gruesome images from the International Affective Picture System (IAPS) [45], while the neutral ones comprised white background images of sports objects from the Mnemonic Similarity Task [46] (see section 1 in the Supplementary Material for details on the stimuli).\nThe emotional memory task assessed the declarative component of emotional information. This task (Figure 1C) consisted of a stimulus-encoding phase, followed by a recognition test at each session (T0, T1, T2). The encoding phase consisted of presenting 120 emotional pictures (60 negative and 60 neutral) individually, displayed for 3 s each with a 1.5-s interstimulus interval during which a black screen was shown. Participants were required to memorize the stimuli presented during the encoding for the subsequent recognition phases. In each recognition phase, participants were requested to discriminate between the stimuli presented during the encoding phase (i.e. “OLD”) and new pictures (i.e. “NEW”). Each recognition test phase consisted of presenting 80 emotional pictures, half of which were completely new (20 negative and 20 neutral), while the other half were taken from the encoding phase set (20 negative and 20 neutral). The NEW and OLD images differed during each test phase. In each recognition phase, emotional pictures were displayed for 2.5 s and, after a 0.5 s, participants had to answer whether the picture was OLD or NEW (participants were given unlimited time to make their judgment to prioritize recognition accuracy over response speed), then a fixation cross was displayed during the 1.5 s ITI. To develop the task, a total of 480 images (240 negative, 240 neutral) were selected from the IAPS and the Nencki Affective Picture System (NAPS) [45, 47] (see section 2 of the Supplementary Material for the stimulus details).\nParticipants’ sleep at home during the two nights preceding T0 and following T1 was monitored via actigraphy (GENEActiv accelerometer—Activinsights Ltd., Kimbolton, UK) to control for initial comparability of the experimental conditions at baseline and to evaluate possible effects of REM sleep fragmentation on subsequent sleep (see section 3 of the Supplementary Material for details on data pre-processing and statistical analyses).\nPSG raw data were acquired using the BrainVision Recorder (Version 1.26.0101, Brain Products GmbH, Germany). The setup included 64-channel EEG, electrooculogram (EOG), electromyogram (EMG), and ECG signals. The onset/offset of the vibrotactile stimulations during the FRG night were marked on the PSG recording via the Trigger-Box Plus (Brain Products GmbH, Germany), which connected the stimulation device to the EEG acquisition system.\nEEG and EOG signals were recorded with a BrainCap connected to a BrainAmp MR amplifier (Brain Products GmbH, Germany) with a sampling rate of 500 Hz, high-pass filtering at 0.016 Hz, and applying a 50 Hz notch filter. EMG and ECG signals were acquired with Ag/AgCl electrodes via a BrainAmp ExG MR with a sampling rate of 500 Hz. The EMG signal was high-pass filtered at 10 Hz, while the ECG was high-pass filtered at 0.001 Hz; a 50 Hz notch was applied for both signals. Impedances were kept below 5 kΩ for EEG and EOG, 10 kΩ for EMG, and 15 kΩ for ECG signals.\nSleep staging was performed manually by a sleep expert according to AASM criteria [43] using the Python-based Wonambi package (v7.11, https://wonambi-python.github.io/index.html) [48] to visualize the PSG recording. Then, we derived the following variables: (1) Total Sleep Time (TST, min), representing the sum of time spent in N1, N2, N3, and REM sleep; (2) Sleep Onset Latency (SOL, min), calculated as the time elapsed between the moment the participant was in bed ready to attempt to fall asleep (signaled via five consecutive eye blinks) and the first sleep epoch (N1 or N2); Wake After Sleep Onset (WASO, min); (3) Sleep Efficiency (SE, %) as TST/Time in bed (TIB, min) × 100; (4) sleep stages duration in minutes and as a percentage of TST; (5) REM latency, indicating the time elapsed between the sleep onset and the first REM sleep epoch; (6) #awakenings, denoting the total number of awakenings during the sleep period; (7) REM sleep fragmentation index (REMfr) computed as the total number of cortical arousals, body movements and bouts of NREM sleep and wakefulness that interrupted REM sleep, divided by the total duration of REM sleep in hours.\nFurthermore, PSG-derived sleep macrostructure was analysed using a Markov transition matrix to evaluate whether sleep continuity, operationalized as the probability of transitions between sleep stages (including wakefulness), differed due to the vibrotactile stimulation paradigm. Markovian transition probabilities Pij were computed for each pair of sleep stages as the conditional probability of an epoch being in stage j, given that the preceding epoch was in stage i. Mathematically, Pij was estimated as the ratio of epochs in which stage i was immediately followed by stage j. A 5 × 5 transition matrix for participants was derived, and we then calculated the mean and standard deviation for each sleep stage transition in both conditions.\nWe then investigated the EEG responses to nocturnal tactile stimulation using EEGLAB (v2023.0) [49]. The continuous EEG signal was first band-pass filtered between 0.3 and 45 Hz. Then, the REM sleep periods were visually inspected to identify and interpolate any problematic channels. Subsequently, we extracted epochs time-locked to the onset of each stimulation, spanning from –3000 ms to 15 000 ms. From this set of epochs, we applied a strict selection process. First, we discarded all epochs in which stimulation occurred outside REM sleep (mean ± SD, 1.65 ± 2.26). Second, from the stimulation-pause sequences, we retained only the epoch corresponding to the final stimulation of each train, as this was the one that elicited a cortical activation. Third, we rejected any epochs containing body movements or other artifacts that could not be corrected via interpolation. Finally, we also discarded any epoch in which stimulation led to a full awakening (i.e. a transition to stage W), to isolate the specific effects of cortical arousals during sleep. A time-frequency representation of the selected epochs was then computed using the “newtimef” function in the EEGLAB toolbox to evaluate the spectral correlates of the final vibrotactile stimulation. Each epoch was convolved with a complex Morlet wavelet, spanning frequencies from 5 to 40 Hz, with a frequency resolution of 0.2 Hz and a time step of 16 ms. The lower frequency bound was set at 5 Hz to mitigate potential low-frequency artifacts from rapid eye movements in REM sleep [50] To balance the trade-off between temporal and frequency resolution, we used an adaptive number of wavelet cycles that increased from 7 cycles at the lowest frequency (5 Hz) to 42 cycles at the highest frequency (40 Hz). This approach was chosen to deliberately favor frequency precision, allowing for a clear distinction of the stimulation’s impact across different frequency bands. For each subject and EEG channel, the event-related spectral perturbation (ERSP) was calculated by averaging the time-frequency representations across all selected epochs. The resulting spectral power values at each time-frequency point were then baseline-corrected by dividing them by the mean spectral power at the same frequency within a pre-stimulus time window from –2000 to –1000 ms, which, in the case of stimulation sequences, fell within the mandatory 3-s pause between the stimulation events in a train. Finally, these ERSP values were converted to a decibel (dB) scale [dB = 10*log10(power/baseline)].\nEDA and ECG signals were acquired using the Biosignal Explorer (Biosignalsplux, PLUX wireless biosignals S.A., Lisbon, Portugal) with a sampling rate of 1000 Hz and a resolution of 16 bits.\nEDA raw data were handled in MATLAB (R2024b, Update 5, 24.2.0.2863752, The MathWorks Inc., Natick, Massachusetts) employing Ledalab [51]. The signal was pre-processed by applying a 10 Hz down-sampling, a 1 Hz second-order low-pass Butterworth filter, and a smoothing with a Gaussian window width of 10 data points (1 s). Then, a trial-by-trial visual inspection was conducted to reject artifacts based on their morphology (e.g. abrupt steep-slope spikes, characteristic of movement) [52], resulting in the exclusion of an average of 2.77 (±2.59) trials per participant (1.65% ±1.54%). Subsequently, we selected an SCR amplitude threshold of 0.05 μS within a response window of 1 to 6 s after stimulus onset [53], before performing a continuous decomposition analysis (CDA) [51]. From the CDA, we derived the CDA.SCR index representing the average phasic activity detected within the response window [51].\nECG raw data were processed in Artiifact [54], to extract the interbeat intervals (IBIs). IBIs data were processed using the Berntson detection method to identify artifacts, and cubic spline interpolation was adopted as the correction method. From these artifact-corrected IBIs in the resting-state ECG recordings, we extracted different HRV indices (see section 4 in the Supplementary Materials for details). Artifact-corrected IBIs derived from ECG raw data of the emotional reactivity task were processed in MATLAB using Kardia [55] to extract the phasic cardiac responses to stimulus onset, allowing for the calculation of heart rate deceleration (HRD). HRD was computed by subtracting the lowest heartbeat value collected during the 6 s post-stimulus onset from the mean heartbeat recorded in the 2 s before stimulus presentation. The HRD is an attentional orienting response that reflects stimulus elaboration, with higher HRD levels associated with the processing of emotionally salient information [56, 57].\nParticipants provided their arousal and valence ratings during the emotional reactivity task on a Likert scale ranging from 1 to 9 using the numeric keypad, based on the SAM [44]. The SAM scale depicted a cartoon-type manikin representing human emotional expressions, ranging from smiling and happy to frowning and unhappy for the valence rating, and from calm and relaxed to excited and wide-eyed for the arousal evaluation. We derived Valence and Arousal variables to assess subjective emotional reactivity.\nEmotional memory performance was evaluated by computing the d-prime (d′). The d′ is a measure of sensitivity, reflecting the ability to discriminate a target stimulus (OLD picture) from a non-target stimulus (NEW image), and is unaffected by response bias [58]. Higher d′ values denote finer discrimination ability.\nWe derived the d′ by calculating the Hit Rate and the False Alarm Rate. The Hit Rate indicates the number of hits (i.e. the OLD pictures correctly identified as seen) divided by the total count of OLD pictures in the recognition task, specifically Hit Rate = Hits / NOLD. The False Alarm Rate indicates the False Alarm (i.e. the number of NEW images erroneously defined as seen) divided by the total count of NEW images in the recognition task, namely False Alarm Rate = False Alarm / NNEW. Then, to calculate the sensitivity index d′, the Hit Rate and False Alarm Rate values for each participant were converted to their corresponding z scores using the inverse of the standard normal cumulative distribution function. The d′ was then computed by applying the formula: d′ = zHitRate – zFalseAlarmRate. Since d′ must not be computed when Hit Rate = 1 and False Alarm Rate = 0, we replaced Hit Rate values of 1 with a Hit Rate = 1 – 1/(2 N) and False Alarm Rate values of 0 with a False Alarm Rate = 1/2 N (i.e. N indicates the number of targets) [58].\nA paired-sample t-test (Students’ t) was performed to compare PSG sleep parameters between the CTR and FRG conditions, evaluating whether the vibrotactile stimulation paradigm altered participants’ nocturnal sleep. Paired t-tests on PSG sleep variables were conducted without correction for multiple comparisons, as the goal was to verify the absence of significant differences between conditions. Not applying corrections reduced the risk of inflating Type II error, thus offering a more stringent test of equivalence.\nTo assess differences in sleep continuity, the transition probabilities between sleep stages, derived from the Markovian transition matrices, were compared between conditions. A paired t-test was performed for each corresponding cell of the matrices, and the resulting statistical contrasts were corrected for multiple comparisons using the Bonferroni method.\nTo identify significant spectral perturbations induced by the stimulation at the single-channel level, we performed a statistical analysis using the FieldTrip toolbox [59]. A paired-samples t-test was conducted, comparing each time-frequency point in the 14-s post-stimulus window against the mean power of the corresponding frequency bin from the baseline period (the mean of the –2000 to –1000 ms window). To correct for multiple comparisons across time and frequency points, we applied a cluster-based permutation test using a Monte Carlo method with 5000 random permutations. Next, to investigate the topographical distribution of these spectral changes, we calculated the mean ERSP within distinct frequency bands: theta (5–7.80 Hz), alpha (8–11.80 Hz), sigma (12–15.80 Hz), beta (16–29.80 Hz), and low-gamma (30–40 Hz) in the 6 s post-stimulus window. For each channel and frequency band, the resulting mean ERSP value was compared with its respective baseline value using a paired-samples t-test. Again, a cluster-based Monte Carlo method (5000 permutations) was applied to correct for multiple comparisons across the scalp topography. For all analyses, the significance threshold for cluster formation (cluster-alpha) was set at p < .05, and the overall alpha level for determining cluster significance was also p < .05, two-tailed.\nDistinct linear mixed models (LMMs) were employed to identify potential differences in emotional reactivity indices and memory performance between the CTR and FRG conditions. The models embedded, as dependent variables: Valence and Arousal ratings for subjective emotional reactivity; CDA.SCR and HRD for objective emotional reactivity, and the d′ for memory performance. Each LMM model comprised the factors Condition (CTR, FRG), Session (T0, T1, T2), Stimulus Type (Negative, Neutral), and their interaction as predictors.\nFor each model, the participant was entered as a cluster variable, and a random intercept was included per participant, accounting for intraindividual variability and measure-correlation among participants. In the models performed on the emotional reactivity indices, the stimulus ID was included as a cluster variable, and a random intercept was placed for the stimulus ID, considering the use of identical stimuli between sessions in each condition.\nFor LMMs analyses, the interpretation of significant effects followed a hierarchical approach; significant main effects were subordinated to the absence of significant interaction effects involving the same factor, and the interpretation of interaction effects was subordinated to the lack of significant higher-order interaction effects. Furthermore, given the extensive nature of the analyses, our reporting strategy prioritizes the main factor of interest: Condition. Therefore, only significant main effects or interactions involving the Condition factor are detailed in the main manuscript. Any other significant effects (e.g. main effects of Session or Stimulus Type not interacting with Condition) are reported in the Supplementary Materials.\nConsidering the study aims, we performed Bonferroni-corrected planned comparisons for significant interaction effects to reduce the risk of Type II errors when correcting for multiple comparisons. Specifically, we investigated possible differences between sessions in each condition (i.e. T0 vs T1, T0 vs T2, and T1 vs T2) to determine how our variable of interest evolved in the CTR and FRG conditions. Moreover, we compared CTR and FRG conditions at each time point, examining potential baseline differences (i.e. CTR at T0 vs FGR at T0) and evaluating short-term (i.e. CTR at T1 vs FGR at T1) and long-term effects (i.e. CTR at T2 vs FGR at T2).\nFinally, to directly link the possible effects of REM sleep fragmentation on emotional memory and reactivity to the effects of nocturnal stimulation on sleep EEG, we performed Pearson’s correlation analyses. We correlated the over-session changes in our primary behavioral and physiological variables of interest (calculated as the delayed test score minus the baseline test score, for both T1 and T2) with the mean ERSP at each channel for each frequency band within the 6 s post-stimulus window. To correct for multiple comparisons across the scalp topography, a cluster-based Monte Carlo permutation test (5000 permutations) was applied to the correlation results. For graphical representation purposes, in the case of a significant cluster, the mean ERSP value was extracted from all channels within that cluster and was then correlated with the over-session changes in the behavioral variable. This allowed for a clear visualization of the significant relationship between electrophysiological and behavioral variables.\nAll the above-reported analyses were performed in Jamovi (Version 2.6, The Jamovi Project, Sydney, Australia) and MATLAB (R2024b, Update 5, 24.2.0.2863752, The MathWorks Inc., Natick, Massachusetts). All tests were two-tailed, and statistical significance was set at p < .05.\n\n\n### Participants\nTwenty students were recruited from the University of L’Aquila. Three participants dropped out because they were unable to fall asleep in the laboratory setting. Thus, the final sample comprised 17 subjects (mean age ± SD, 23.18 ± 3.94, age range 19–34, 14 females).\nRecruitment criteria encompassed: (1) good sleep quality (Pittsburgh Sleep Quality Index—PSQI [35]—global score < 6; mean ± SD, 3.88 ± 1.17), (2) no insomnia symptoms (Insomnia Severity Index – ISI [36] – score < 7; 2.41 ± 2.24), (3) absence of depression (Depression Anxiety Stress Scale – DASS–21 [37] – depression subscale score < 14; 4.12 ± 3.77), stress (DASS–21 stress subscale score < 19; 9.06 ± 4.42), and anxiety symptoms (DASS–21 anxiety subscale score < 10; 2.12 ± 2.29), (4) regular sleep schedule, (5) normal or corrected-to-normal vision, (6) absence of medication consumption potentially interfering with sleep, (7) absence of sleep disorders, and (8) absence of skin disease, to prevent discomfort during EEG montage or an adverse skin reaction to the conductive gel, and to ensure valid electrodermal recordings. These criteria were assessed during an initial screening using validated questionnaires (PSQI, ISI, DASS-21) and a custom-made questionnaire that inquired about medical history, current medication use, alcohol and other psychoactive substance use, and sleep habits. Female participants were recruited at the end of their menstrual cycle to minimize the influences of hormonal fluctuations on psychophysiological parameters [38, 39].\nThis investigation was approved by the institutional review board of the University of L’Aquila (protocol no. 49/2021) and was conducted in accordance with the principles outlined in the Declaration of Helsinki.\n\n\n### Experimental design\nThe participants underwent two experimental conditions (Fragmentation—FRG, Control—CTR; Figure 1A) in a counterbalanced order across subjects, separated by a minimum of 28 days (mean days ± SD, 53.47 ± 36.33) of washout. During the two days preceding the laboratory sleep night, participants’ sleep was monitored at home using an actigraph (see section 3 in Supplementary Materials). On the first experimental day, participants arrived at the laboratory at 5:00 p.m. for the application of electrocardiogram (ECG) and electrodermal activity (EDA) electrodes. The baseline testing session (T0) started at 6:00 p.m. It comprised, in fixed order: 5-min resting-state ECG recording; the emotional reactivity task (~15 min); 5-min post-task resting-state ECG recording; a non-emotional distractor task (~15 min); the stimulus encoding phase of the memory task (~10 min) and, after a 10-min break, the immediate recognition test (~8 min). Following a dinner break, participants were prepared for the polysomnography (PSG). Bedtimes were scheduled between 10:30 p.m. and 12:30 a.m., according to each participant’s habitual bedtime. Participants were allowed to sleep for 8 h, timed from the first epoch of NREM stage 2 sleep. If no final awakening spontaneously occurred within this timeframe, the final awakening was scheduled with ±20-min flexibility to avoid disrupting an ongoing REM sleep period or the fragmentation procedure. Approximately 1 h after the final awakening (between 08:00 a.m. and 10:00 a.m.), the post-sleep test session (T1) started and included: the 5-min resting-state ECG recording, followed by the emotional reactivity task (~15 min) and the post-task 5-min resting-state ECG recording; the non-emotional distractor task (5 min); the recognition test phase of the emotional memory task (~8 min). Participants left the laboratory after the T1 session, and their sleep during the next two nights was monitored via actigraphy. 48 h after the T1 testing phase, participants returned to the laboratory (arrival time scheduled according to the T1 start time) for the delayed test session (T2), which replicated the same sequence of activities as described for T1.\nSchematic representation of the experimental protocol and tasks. (A) The study design. On day 1, participants underwent a baseline evaluation of emotional reactivity, followed by stimulus encoding and baseline evaluation of emotional memory performance (T0). Subsequently, they slept in the laboratory undergoing a PSG, either with (fragmentation) or without (control) vibrotactile stimulation. On day 2, participants underwent a new evaluation (T1) of the emotional reactivity and emotional memory in the morning. Finally, on day 4, participants performed a delayed assessment of emotional reactivity and emotional memory performance (T2). (B) The emotional reactivity task. During the presentation of each image, we recorded electrodermal activity and an ECG. After each stimulus, participants rated their perceived valence and arousal using the SAM. (C) The emotional memory task. Left: The encoding phase, with the number of stimuli presented for each emotional category. Right: The recognition phase, indicating the number of “old” (seen during encoding) and “new” (distractor) images. The set of pictures shown was unique in each test phase.\n\n\n### REM sleep fragmentation procedure\nThe vibrotactile stimulation device was a novel apparatus developed in-house specifically for this study. Its conceptual design was directly inspired by previous work demonstrating that vibrotactile stimuli applied to the arm can effectively induce cortical arousals during sleep [40, 41]. At the same time, similar principles of sensory stimulation have been employed during sleep in recent research for different purposes [42]. The stimulation device comprised a vibrating bracelet connected to a hardware control system. The vibrating bracelet consists of an elastic fabric wristband housing five 5 V vibration motors. The hardware control system comprises an Arduino Uno Rev3 board (ARDUINO, Italy), a printed circuit board, a 5 V Micro SD card module for Arduino, a 5 V relay, and a power regulator. All these hardware components were enclosed in an ABS plastic module case and powered by an external source.\nThe stimulation device operated in a semi-automated manner. Upon activation, it generated a continuous automated stimulation-pause cycle, consisting of a 3-s vibration followed by a 3-s pause. This stimulation-pause cycle could be suspended for 40 s or terminated, depending on the specific user input to the control system.\nVibrotactile stimulations were managed by a sleep expert, who continuously monitored the EEG recording throughout the night to fragment REM sleep. The semi-automated stimulation-pause cycle was applied during all REM sleep periods throughout the night and initiated once the first REM sleep epoch, according to AASM criteria [43], was identified.\nThe stimulation procedure followed a strict, rule-based scheme. The vibration intensity was manually controlled via a 7-step graduated knob that adjusted the operating voltage (V) of the motors within a 0.8–4.5 V range. At the beginning of each new REM period, the procedure was always initiated at the minimum intensity (0.8 V). Each stimulation lasted up to 3 s or was terminated sooner if cortical arousal appeared on any EEG trace. In the absence of a cortical response to the stimulation, the sleep expert manually increased the vibration intensity by one pre-calibrated step during the 3-s pause between stimuli until a clear EEG arousal was observed. If the participant remained in REM sleep after this arousal, the sleep expert paused the stimulation, which automatically restarted after 40 s with the previous effective intensity. However, if the stimulation caused a sleep stage transition or body movement, it was stopped until the participant returned to REM sleep. Upon the participant’s return to REM sleep, the stimulation procedure was re-initiated from the minimum intensity level.\n\n\n### Experimental tasks\nWe developed the tasks with PsychoPy (v2020.2.10) and presented them on a 24-inch monitor (NILOX, NXMMIPS240004) powered by a Mac mini (Apple M1, 2020).\n\n\n### Emotional reactivity task\nThe emotional reactivity task assessed both subjective and psychophysiological responses to emotional stimuli and evaluated potential differences in resting-state heart rate variability (HRV) parameters. The task (Figure 1B) encompassed 5 min of resting-state ECG recording before and after performing 28 trial each involving: (1) emotional picture presentation (14 emotionally negative, 14 emotionally neutral) for 6 s, (2) 4 s interstimulus interval, (3) subjective rating of image arousal and valence on a 9-point Likert scale utilizing the self-assessment manikin (SAM) [44], and (v) a variable intertrial interval (ITI) ranging from 8 to 12 s, which was jittered to prevent anticipatory skin conductance response (SCR). Participants were given unlimited time for each rating to avoid time–pressure effects on their emotional evaluation and to allow for minor postural adjustments between trials. A total of 28 negative and twenty-eight neutral images were selected to create four distinct sets of images, thereby differentiating stimuli between conditions. The negative stimuli consisted of the most arousing and gruesome images from the International Affective Picture System (IAPS) [45], while the neutral ones comprised white background images of sports objects from the Mnemonic Similarity Task [46] (see section 1 in the Supplementary Material for details on the stimuli).\n\n\n### Emotional memory task\nThe emotional memory task assessed the declarative component of emotional information. This task (Figure 1C) consisted of a stimulus-encoding phase, followed by a recognition test at each session (T0, T1, T2). The encoding phase consisted of presenting 120 emotional pictures (60 negative and 60 neutral) individually, displayed for 3 s each with a 1.5-s interstimulus interval during which a black screen was shown. Participants were required to memorize the stimuli presented during the encoding for the subsequent recognition phases. In each recognition phase, participants were requested to discriminate between the stimuli presented during the encoding phase (i.e. “OLD”) and new pictures (i.e. “NEW”). Each recognition test phase consisted of presenting 80 emotional pictures, half of which were completely new (20 negative and 20 neutral), while the other half were taken from the encoding phase set (20 negative and 20 neutral). The NEW and OLD images differed during each test phase. In each recognition phase, emotional pictures were displayed for 2.5 s and, after a 0.5 s, participants had to answer whether the picture was OLD or NEW (participants were given unlimited time to make their judgment to prioritize recognition accuracy over response speed), then a fixation cross was displayed during the 1.5 s ITI. To develop the task, a total of 480 images (240 negative, 240 neutral) were selected from the IAPS and the Nencki Affective Picture System (NAPS) [45, 47] (see section 2 of the Supplementary Material for the stimulus details).\n\n\n### Data acquisition and pre-processing\nParticipants’ sleep at home during the two nights preceding T0 and following T1 was monitored via actigraphy (GENEActiv accelerometer—Activinsights Ltd., Kimbolton, UK) to control for initial comparability of the experimental conditions at baseline and to evaluate possible effects of REM sleep fragmentation on subsequent sleep (see section 3 of the Supplementary Material for details on data pre-processing and statistical analyses).\nPSG raw data were acquired using the BrainVision Recorder (Version 1.26.0101, Brain Products GmbH, Germany). The setup included 64-channel EEG, electrooculogram (EOG), electromyogram (EMG), and ECG signals. The onset/offset of the vibrotactile stimulations during the FRG night were marked on the PSG recording via the Trigger-Box Plus (Brain Products GmbH, Germany), which connected the stimulation device to the EEG acquisition system.\nEEG and EOG signals were recorded with a BrainCap connected to a BrainAmp MR amplifier (Brain Products GmbH, Germany) with a sampling rate of 500 Hz, high-pass filtering at 0.016 Hz, and applying a 50 Hz notch filter. EMG and ECG signals were acquired with Ag/AgCl electrodes via a BrainAmp ExG MR with a sampling rate of 500 Hz. The EMG signal was high-pass filtered at 10 Hz, while the ECG was high-pass filtered at 0.001 Hz; a 50 Hz notch was applied for both signals. Impedances were kept below 5 kΩ for EEG and EOG, 10 kΩ for EMG, and 15 kΩ for ECG signals.\nSleep staging was performed manually by a sleep expert according to AASM criteria [43] using the Python-based Wonambi package (v7.11, https://wonambi-python.github.io/index.html) [48] to visualize the PSG recording. Then, we derived the following variables: (1) Total Sleep Time (TST, min), representing the sum of time spent in N1, N2, N3, and REM sleep; (2) Sleep Onset Latency (SOL, min), calculated as the time elapsed between the moment the participant was in bed ready to attempt to fall asleep (signaled via five consecutive eye blinks) and the first sleep epoch (N1 or N2); Wake After Sleep Onset (WASO, min); (3) Sleep Efficiency (SE, %) as TST/Time in bed (TIB, min) × 100; (4) sleep stages duration in minutes and as a percentage of TST; (5) REM latency, indicating the time elapsed between the sleep onset and the first REM sleep epoch; (6) #awakenings, denoting the total number of awakenings during the sleep period; (7) REM sleep fragmentation index (REMfr) computed as the total number of cortical arousals, body movements and bouts of NREM sleep and wakefulness that interrupted REM sleep, divided by the total duration of REM sleep in hours.\nFurthermore, PSG-derived sleep macrostructure was analysed using a Markov transition matrix to evaluate whether sleep continuity, operationalized as the probability of transitions between sleep stages (including wakefulness), differed due to the vibrotactile stimulation paradigm. Markovian transition probabilities Pij were computed for each pair of sleep stages as the conditional probability of an epoch being in stage j, given that the preceding epoch was in stage i. Mathematically, Pij was estimated as the ratio of epochs in which stage i was immediately followed by stage j. A 5 × 5 transition matrix for participants was derived, and we then calculated the mean and standard deviation for each sleep stage transition in both conditions.\nWe then investigated the EEG responses to nocturnal tactile stimulation using EEGLAB (v2023.0) [49]. The continuous EEG signal was first band-pass filtered between 0.3 and 45 Hz. Then, the REM sleep periods were visually inspected to identify and interpolate any problematic channels. Subsequently, we extracted epochs time-locked to the onset of each stimulation, spanning from –3000 ms to 15 000 ms. From this set of epochs, we applied a strict selection process. First, we discarded all epochs in which stimulation occurred outside REM sleep (mean ± SD, 1.65 ± 2.26). Second, from the stimulation-pause sequences, we retained only the epoch corresponding to the final stimulation of each train, as this was the one that elicited a cortical activation. Third, we rejected any epochs containing body movements or other artifacts that could not be corrected via interpolation. Finally, we also discarded any epoch in which stimulation led to a full awakening (i.e. a transition to stage W), to isolate the specific effects of cortical arousals during sleep. A time-frequency representation of the selected epochs was then computed using the “newtimef” function in the EEGLAB toolbox to evaluate the spectral correlates of the final vibrotactile stimulation. Each epoch was convolved with a complex Morlet wavelet, spanning frequencies from 5 to 40 Hz, with a frequency resolution of 0.2 Hz and a time step of 16 ms. The lower frequency bound was set at 5 Hz to mitigate potential low-frequency artifacts from rapid eye movements in REM sleep [50] To balance the trade-off between temporal and frequency resolution, we used an adaptive number of wavelet cycles that increased from 7 cycles at the lowest frequency (5 Hz) to 42 cycles at the highest frequency (40 Hz). This approach was chosen to deliberately favor frequency precision, allowing for a clear distinction of the stimulation’s impact across different frequency bands. For each subject and EEG channel, the event-related spectral perturbation (ERSP) was calculated by averaging the time-frequency representations across all selected epochs. The resulting spectral power values at each time-frequency point were then baseline-corrected by dividing them by the mean spectral power at the same frequency within a pre-stimulus time window from –2000 to –1000 ms, which, in the case of stimulation sequences, fell within the mandatory 3-s pause between the stimulation events in a train. Finally, these ERSP values were converted to a decibel (dB) scale [dB = 10*log10(power/baseline)].\n\n\n### Actigraphic monitoring of sleep at home\nParticipants’ sleep at home during the two nights preceding T0 and following T1 was monitored via actigraphy (GENEActiv accelerometer—Activinsights Ltd., Kimbolton, UK) to control for initial comparability of the experimental conditions at baseline and to evaluate possible effects of REM sleep fragmentation on subsequent sleep (see section 3 of the Supplementary Material for details on data pre-processing and statistical analyses).\n\n\n### Polysomnography\nPSG raw data were acquired using the BrainVision Recorder (Version 1.26.0101, Brain Products GmbH, Germany). The setup included 64-channel EEG, electrooculogram (EOG), electromyogram (EMG), and ECG signals. The onset/offset of the vibrotactile stimulations during the FRG night were marked on the PSG recording via the Trigger-Box Plus (Brain Products GmbH, Germany), which connected the stimulation device to the EEG acquisition system.\nEEG and EOG signals were recorded with a BrainCap connected to a BrainAmp MR amplifier (Brain Products GmbH, Germany) with a sampling rate of 500 Hz, high-pass filtering at 0.016 Hz, and applying a 50 Hz notch filter. EMG and ECG signals were acquired with Ag/AgCl electrodes via a BrainAmp ExG MR with a sampling rate of 500 Hz. The EMG signal was high-pass filtered at 10 Hz, while the ECG was high-pass filtered at 0.001 Hz; a 50 Hz notch was applied for both signals. Impedances were kept below 5 kΩ for EEG and EOG, 10 kΩ for EMG, and 15 kΩ for ECG signals.\nSleep staging was performed manually by a sleep expert according to AASM criteria [43] using the Python-based Wonambi package (v7.11, https://wonambi-python.github.io/index.html) [48] to visualize the PSG recording. Then, we derived the following variables: (1) Total Sleep Time (TST, min), representing the sum of time spent in N1, N2, N3, and REM sleep; (2) Sleep Onset Latency (SOL, min), calculated as the time elapsed between the moment the participant was in bed ready to attempt to fall asleep (signaled via five consecutive eye blinks) and the first sleep epoch (N1 or N2); Wake After Sleep Onset (WASO, min); (3) Sleep Efficiency (SE, %) as TST/Time in bed (TIB, min) × 100; (4) sleep stages duration in minutes and as a percentage of TST; (5) REM latency, indicating the time elapsed between the sleep onset and the first REM sleep epoch; (6) #awakenings, denoting the total number of awakenings during the sleep period; (7) REM sleep fragmentation index (REMfr) computed as the total number of cortical arousals, body movements and bouts of NREM sleep and wakefulness that interrupted REM sleep, divided by the total duration of REM sleep in hours.\nFurthermore, PSG-derived sleep macrostructure was analysed using a Markov transition matrix to evaluate whether sleep continuity, operationalized as the probability of transitions between sleep stages (including wakefulness), differed due to the vibrotactile stimulation paradigm. Markovian transition probabilities Pij were computed for each pair of sleep stages as the conditional probability of an epoch being in stage j, given that the preceding epoch was in stage i. Mathematically, Pij was estimated as the ratio of epochs in which stage i was immediately followed by stage j. A 5 × 5 transition matrix for participants was derived, and we then calculated the mean and standard deviation for each sleep stage transition in both conditions.\nWe then investigated the EEG responses to nocturnal tactile stimulation using EEGLAB (v2023.0) [49]. The continuous EEG signal was first band-pass filtered between 0.3 and 45 Hz. Then, the REM sleep periods were visually inspected to identify and interpolate any problematic channels. Subsequently, we extracted epochs time-locked to the onset of each stimulation, spanning from –3000 ms to 15 000 ms. From this set of epochs, we applied a strict selection process. First, we discarded all epochs in which stimulation occurred outside REM sleep (mean ± SD, 1.65 ± 2.26). Second, from the stimulation-pause sequences, we retained only the epoch corresponding to the final stimulation of each train, as this was the one that elicited a cortical activation. Third, we rejected any epochs containing body movements or other artifacts that could not be corrected via interpolation. Finally, we also discarded any epoch in which stimulation led to a full awakening (i.e. a transition to stage W), to isolate the specific effects of cortical arousals during sleep. A time-frequency representation of the selected epochs was then computed using the “newtimef” function in the EEGLAB toolbox to evaluate the spectral correlates of the final vibrotactile stimulation. Each epoch was convolved with a complex Morlet wavelet, spanning frequencies from 5 to 40 Hz, with a frequency resolution of 0.2 Hz and a time step of 16 ms. The lower frequency bound was set at 5 Hz to mitigate potential low-frequency artifacts from rapid eye movements in REM sleep [50] To balance the trade-off between temporal and frequency resolution, we used an adaptive number of wavelet cycles that increased from 7 cycles at the lowest frequency (5 Hz) to 42 cycles at the highest frequency (40 Hz). This approach was chosen to deliberately favor frequency precision, allowing for a clear distinction of the stimulation’s impact across different frequency bands. For each subject and EEG channel, the event-related spectral perturbation (ERSP) was calculated by averaging the time-frequency representations across all selected epochs. The resulting spectral power values at each time-frequency point were then baseline-corrected by dividing them by the mean spectral power at the same frequency within a pre-stimulus time window from –2000 to –1000 ms, which, in the case of stimulation sequences, fell within the mandatory 3-s pause between the stimulation events in a train. Finally, these ERSP values were converted to a decibel (dB) scale [dB = 10*log10(power/baseline)].\n\n\n### Objective emotional reactivity: EDA and heart rate\nEDA and ECG signals were acquired using the Biosignal Explorer (Biosignalsplux, PLUX wireless biosignals S.A., Lisbon, Portugal) with a sampling rate of 1000 Hz and a resolution of 16 bits.\nEDA raw data were handled in MATLAB (R2024b, Update 5, 24.2.0.2863752, The MathWorks Inc., Natick, Massachusetts) employing Ledalab [51]. The signal was pre-processed by applying a 10 Hz down-sampling, a 1 Hz second-order low-pass Butterworth filter, and a smoothing with a Gaussian window width of 10 data points (1 s). Then, a trial-by-trial visual inspection was conducted to reject artifacts based on their morphology (e.g. abrupt steep-slope spikes, characteristic of movement) [52], resulting in the exclusion of an average of 2.77 (±2.59) trials per participant (1.65% ±1.54%). Subsequently, we selected an SCR amplitude threshold of 0.05 μS within a response window of 1 to 6 s after stimulus onset [53], before performing a continuous decomposition analysis (CDA) [51]. From the CDA, we derived the CDA.SCR index representing the average phasic activity detected within the response window [51].\nECG raw data were processed in Artiifact [54], to extract the interbeat intervals (IBIs). IBIs data were processed using the Berntson detection method to identify artifacts, and cubic spline interpolation was adopted as the correction method. From these artifact-corrected IBIs in the resting-state ECG recordings, we extracted different HRV indices (see section 4 in the Supplementary Materials for details). Artifact-corrected IBIs derived from ECG raw data of the emotional reactivity task were processed in MATLAB using Kardia [55] to extract the phasic cardiac responses to stimulus onset, allowing for the calculation of heart rate deceleration (HRD). HRD was computed by subtracting the lowest heartbeat value collected during the 6 s post-stimulus onset from the mean heartbeat recorded in the 2 s before stimulus presentation. The HRD is an attentional orienting response that reflects stimulus elaboration, with higher HRD levels associated with the processing of emotionally salient information [56, 57].\n\n\n### Subjective emotional reactivity\nParticipants provided their arousal and valence ratings during the emotional reactivity task on a Likert scale ranging from 1 to 9 using the numeric keypad, based on the SAM [44]. The SAM scale depicted a cartoon-type manikin representing human emotional expressions, ranging from smiling and happy to frowning and unhappy for the valence rating, and from calm and relaxed to excited and wide-eyed for the arousal evaluation. We derived Valence and Arousal variables to assess subjective emotional reactivity.\n\n\n### Emotional memory performance\nEmotional memory performance was evaluated by computing the d-prime (d′). The d′ is a measure of sensitivity, reflecting the ability to discriminate a target stimulus (OLD picture) from a non-target stimulus (NEW image), and is unaffected by response bias [58]. Higher d′ values denote finer discrimination ability.\nWe derived the d′ by calculating the Hit Rate and the False Alarm Rate. The Hit Rate indicates the number of hits (i.e. the OLD pictures correctly identified as seen) divided by the total count of OLD pictures in the recognition task, specifically Hit Rate = Hits / NOLD. The False Alarm Rate indicates the False Alarm (i.e. the number of NEW images erroneously defined as seen) divided by the total count of NEW images in the recognition task, namely False Alarm Rate = False Alarm / NNEW. Then, to calculate the sensitivity index d′, the Hit Rate and False Alarm Rate values for each participant were converted to their corresponding z scores using the inverse of the standard normal cumulative distribution function. The d′ was then computed by applying the formula: d′ = zHitRate – zFalseAlarmRate. Since d′ must not be computed when Hit Rate = 1 and False Alarm Rate = 0, we replaced Hit Rate values of 1 with a Hit Rate = 1 – 1/(2 N) and False Alarm Rate values of 0 with a False Alarm Rate = 1/2 N (i.e. N indicates the number of targets) [58].\n\n\n### Statistical analyses\nA paired-sample t-test (Students’ t) was performed to compare PSG sleep parameters between the CTR and FRG conditions, evaluating whether the vibrotactile stimulation paradigm altered participants’ nocturnal sleep. Paired t-tests on PSG sleep variables were conducted without correction for multiple comparisons, as the goal was to verify the absence of significant differences between conditions. Not applying corrections reduced the risk of inflating Type II error, thus offering a more stringent test of equivalence.\nTo assess differences in sleep continuity, the transition probabilities between sleep stages, derived from the Markovian transition matrices, were compared between conditions. A paired t-test was performed for each corresponding cell of the matrices, and the resulting statistical contrasts were corrected for multiple comparisons using the Bonferroni method.\nTo identify significant spectral perturbations induced by the stimulation at the single-channel level, we performed a statistical analysis using the FieldTrip toolbox [59]. A paired-samples t-test was conducted, comparing each time-frequency point in the 14-s post-stimulus window against the mean power of the corresponding frequency bin from the baseline period (the mean of the –2000 to –1000 ms window). To correct for multiple comparisons across time and frequency points, we applied a cluster-based permutation test using a Monte Carlo method with 5000 random permutations. Next, to investigate the topographical distribution of these spectral changes, we calculated the mean ERSP within distinct frequency bands: theta (5–7.80 Hz), alpha (8–11.80 Hz), sigma (12–15.80 Hz), beta (16–29.80 Hz), and low-gamma (30–40 Hz) in the 6 s post-stimulus window. For each channel and frequency band, the resulting mean ERSP value was compared with its respective baseline value using a paired-samples t-test. Again, a cluster-based Monte Carlo method (5000 permutations) was applied to correct for multiple comparisons across the scalp topography. For all analyses, the significance threshold for cluster formation (cluster-alpha) was set at p < .05, and the overall alpha level for determining cluster significance was also p < .05, two-tailed.\nDistinct linear mixed models (LMMs) were employed to identify potential differences in emotional reactivity indices and memory performance between the CTR and FRG conditions. The models embedded, as dependent variables: Valence and Arousal ratings for subjective emotional reactivity; CDA.SCR and HRD for objective emotional reactivity, and the d′ for memory performance. Each LMM model comprised the factors Condition (CTR, FRG), Session (T0, T1, T2), Stimulus Type (Negative, Neutral), and their interaction as predictors.\nFor each model, the participant was entered as a cluster variable, and a random intercept was included per participant, accounting for intraindividual variability and measure-correlation among participants. In the models performed on the emotional reactivity indices, the stimulus ID was included as a cluster variable, and a random intercept was placed for the stimulus ID, considering the use of identical stimuli between sessions in each condition.\nFor LMMs analyses, the interpretation of significant effects followed a hierarchical approach; significant main effects were subordinated to the absence of significant interaction effects involving the same factor, and the interpretation of interaction effects was subordinated to the lack of significant higher-order interaction effects. Furthermore, given the extensive nature of the analyses, our reporting strategy prioritizes the main factor of interest: Condition. Therefore, only significant main effects or interactions involving the Condition factor are detailed in the main manuscript. Any other significant effects (e.g. main effects of Session or Stimulus Type not interacting with Condition) are reported in the Supplementary Materials.\nConsidering the study aims, we performed Bonferroni-corrected planned comparisons for significant interaction effects to reduce the risk of Type II errors when correcting for multiple comparisons. Specifically, we investigated possible differences between sessions in each condition (i.e. T0 vs T1, T0 vs T2, and T1 vs T2) to determine how our variable of interest evolved in the CTR and FRG conditions. Moreover, we compared CTR and FRG conditions at each time point, examining potential baseline differences (i.e. CTR at T0 vs FGR at T0) and evaluating short-term (i.e. CTR at T1 vs FGR at T1) and long-term effects (i.e. CTR at T2 vs FGR at T2).\nFinally, to directly link the possible effects of REM sleep fragmentation on emotional memory and reactivity to the effects of nocturnal stimulation on sleep EEG, we performed Pearson’s correlation analyses. We correlated the over-session changes in our primary behavioral and physiological variables of interest (calculated as the delayed test score minus the baseline test score, for both T1 and T2) with the mean ERSP at each channel for each frequency band within the 6 s post-stimulus window. To correct for multiple comparisons across the scalp topography, a cluster-based Monte Carlo permutation test (5000 permutations) was applied to the correlation results. For graphical representation purposes, in the case of a significant cluster, the mean ERSP value was extracted from all channels within that cluster and was then correlated with the over-session changes in the behavioral variable. This allowed for a clear visualization of the significant relationship between electrophysiological and behavioral variables.\nAll the above-reported analyses were performed in Jamovi (Version 2.6, The Jamovi Project, Sydney, Australia) and MATLAB (R2024b, Update 5, 24.2.0.2863752, The MathWorks Inc., Natick, Massachusetts). All tests were two-tailed, and statistical significance was set at p < .05.\n\n\n### Effects of writs-applied vibrotactile stimulation on sleep macrostructure\nA paired-sample t-test (Students’ t) was performed to compare PSG sleep parameters between the CTR and FRG conditions, evaluating whether the vibrotactile stimulation paradigm altered participants’ nocturnal sleep. Paired t-tests on PSG sleep variables were conducted without correction for multiple comparisons, as the goal was to verify the absence of significant differences between conditions. Not applying corrections reduced the risk of inflating Type II error, thus offering a more stringent test of equivalence.\nTo assess differences in sleep continuity, the transition probabilities between sleep stages, derived from the Markovian transition matrices, were compared between conditions. A paired t-test was performed for each corresponding cell of the matrices, and the resulting statistical contrasts were corrected for multiple comparisons using the Bonferroni method.\n\n\n### E‌EG correlates of vibrotactile stimulation during REM sleep\nTo identify significant spectral perturbations induced by the stimulation at the single-channel level, we performed a statistical analysis using the FieldTrip toolbox [59]. A paired-samples t-test was conducted, comparing each time-frequency point in the 14-s post-stimulus window against the mean power of the corresponding frequency bin from the baseline period (the mean of the –2000 to –1000 ms window). To correct for multiple comparisons across time and frequency points, we applied a cluster-based permutation test using a Monte Carlo method with 5000 random permutations. Next, to investigate the topographical distribution of these spectral changes, we calculated the mean ERSP within distinct frequency bands: theta (5–7.80 Hz), alpha (8–11.80 Hz), sigma (12–15.80 Hz), beta (16–29.80 Hz), and low-gamma (30–40 Hz) in the 6 s post-stimulus window. For each channel and frequency band, the resulting mean ERSP value was compared with its respective baseline value using a paired-samples t-test. Again, a cluster-based Monte Carlo method (5000 permutations) was applied to correct for multiple comparisons across the scalp topography. For all analyses, the significance threshold for cluster formation (cluster-alpha) was set at p < .05, and the overall alpha level for determining cluster significance was also p < .05, two-tailed.\n\n\n### Effects of REM sleep fragmentation on emotional memory and emotional reactivity\nDistinct linear mixed models (LMMs) were employed to identify potential differences in emotional reactivity indices and memory performance between the CTR and FRG conditions. The models embedded, as dependent variables: Valence and Arousal ratings for subjective emotional reactivity; CDA.SCR and HRD for objective emotional reactivity, and the d′ for memory performance. Each LMM model comprised the factors Condition (CTR, FRG), Session (T0, T1, T2), Stimulus Type (Negative, Neutral), and their interaction as predictors.\nFor each model, the participant was entered as a cluster variable, and a random intercept was included per participant, accounting for intraindividual variability and measure-correlation among participants. In the models performed on the emotional reactivity indices, the stimulus ID was included as a cluster variable, and a random intercept was placed for the stimulus ID, considering the use of identical stimuli between sessions in each condition.\nFor LMMs analyses, the interpretation of significant effects followed a hierarchical approach; significant main effects were subordinated to the absence of significant interaction effects involving the same factor, and the interpretation of interaction effects was subordinated to the lack of significant higher-order interaction effects. Furthermore, given the extensive nature of the analyses, our reporting strategy prioritizes the main factor of interest: Condition. Therefore, only significant main effects or interactions involving the Condition factor are detailed in the main manuscript. Any other significant effects (e.g. main effects of Session or Stimulus Type not interacting with Condition) are reported in the Supplementary Materials.\nConsidering the study aims, we performed Bonferroni-corrected planned comparisons for significant interaction effects to reduce the risk of Type II errors when correcting for multiple comparisons. Specifically, we investigated possible differences between sessions in each condition (i.e. T0 vs T1, T0 vs T2, and T1 vs T2) to determine how our variable of interest evolved in the CTR and FRG conditions. Moreover, we compared CTR and FRG conditions at each time point, examining potential baseline differences (i.e. CTR at T0 vs FGR at T0) and evaluating short-term (i.e. CTR at T1 vs FGR at T1) and long-term effects (i.e. CTR at T2 vs FGR at T2).\nFinally, to directly link the possible effects of REM sleep fragmentation on emotional memory and reactivity to the effects of nocturnal stimulation on sleep EEG, we performed Pearson’s correlation analyses. We correlated the over-session changes in our primary behavioral and physiological variables of interest (calculated as the delayed test score minus the baseline test score, for both T1 and T2) with the mean ERSP at each channel for each frequency band within the 6 s post-stimulus window. To correct for multiple comparisons across the scalp topography, a cluster-based Monte Carlo permutation test (5000 permutations) was applied to the correlation results. For graphical representation purposes, in the case of a significant cluster, the mean ERSP value was extracted from all channels within that cluster and was then correlated with the over-session changes in the behavioral variable. This allowed for a clear visualization of the significant relationship between electrophysiological and behavioral variables.\nAll the above-reported analyses were performed in Jamovi (Version 2.6, The Jamovi Project, Sydney, Australia) and MATLAB (R2024b, Update 5, 24.2.0.2863752, The MathWorks Inc., Natick, Massachusetts). All tests were two-tailed, and statistical significance was set at p < .05.\n\n\n### Results\nNo significant difference in the sleep macrostructure of the two nights preceding the participation emerged from the comparisons between FRG and CTR conditions (see section 3.3 and Tables S5 and S6 in the Supplementary Materials for details), confirming the comparability of the sleep features.\nWrist-applied vibrotactile stimulation has been effective in interrupting REM sleep continuity as reflected by a higher REMfr in the FRG condition (Table 1). Experimentally induced REM sleep fragmentation resulted in reduced REM sleep duration (mean difference = -22.94 min) and percentage (mean difference = -5.13 %), accompanied by increased N1 duration (mean difference = 20.12 min) and percentage (mean difference = 4.71 %) (Table 1). No other sleep parameters were affected by the experimentally induced REM sleep fragmentation.\nMean ± SD of PSG sleep parameters in each condition and their statistical comparisons\nAbbreviations: TST = total sleep time, SOL = sleep onset time, WASO = wake after sleep onset, SE = sleep efficiency, REM = rapid eye movements sleep, REMfr = REM sleep fragmentation index. Significant comparisons are reported in bold.\nThe statistical comparisons of the Markovian transition matrix (Figure 2) revealed a decreased REM sleep continuity in the FRG condition, as indicated by a lower probability of REM sleep being followed by another REM episode. Indeed, the transition from REM to N1 increased. At the same time, N1 had a reduced probability of being followed by N2. The REM sleep manipulation technique did not increase the probability of transitions to Wakefulness.\nMarkovian matrices of sleep stage transition probabilities. (A and B) Mean ± SD transition probabilities (%) between sleep stages for the (A) control (CTR) and (B) fragmentation (FRG) conditions. In each matrix, the rows represent the originating stage, and the columns represent the destination stage. Values corresponding to statistically significant differences (shown in C) are highlighted in bold. (C) Matrix of t-values from a paired-samples t-test comparing transition probabilities between conditions. Positive t-values (red scale) indicate a higher transition probability in the FGR condition, while negative t-values (blue scale) indicate a higher probability in the CTR condition. NaN indicates transitions where the t-value could not be computed. Asterisks denote significant differences; ***p < .001.\nThe statistical analysis of the ERSP revealed significant changes in neural oscillatory activity following the vibrotactile stimulation. Figure 3A illustrates the time-frequency dynamics of these changes for five representative midline electrodes (Fpz, Fz, Cz, Pz, Oz). These electrodes were selected to provide a clear and concise representation of the stimulation effects across the anteroposterior axis, avoiding the redundancy of presenting plots for all channels. The results showed a significant increase in power across a frequency range spanning approximately 8 Hz to 40 Hz. This power increase was observed across all considered midline derivations (Fpz, Fz, Cz, Pz, and Oz) and persisted for at least ~6 s at frequencies below 30 Hz. The increase was more transient for frequencies above 30 Hz, where the activity returned to the baseline level within the first few seconds following the stimulation.\nStimulation-induced changes in EEG spectral power. (A) Time-frequency representation of the ERSP for the five representative midline electrodes. The color bar indicates the power changes in dB relative to the pre-stimulus baseline period. The black contour lines enclose time-frequency regions where the spectral power change was statistically significant (p < .05, cluster-corrected). (B) Topographical distribution of the mean ERSP within five distinct frequency bands, averaged over the first 6 s post-stimulus window. The color scale represents the magnitude of the ERSP difference from baseline. Electrodes that are part of a significant positive (red) cluster are highlighted with an asterisk (*, p < .05, cluster-corrected).\nTo visualize the spatial distribution of these spectral changes, we analysed the topographical maps of the mean ERSP for each frequency band in the 6-s post-stimulus window (Figure 3B). The analysis confirmed the patterns observed in the time-frequency plots. The alpha, sigma, and beta bands exhibited a widespread and significant power increase that extended across the entire scalp. The low-gamma band also showed a significant power increase, though this effect was predominantly localized to centro-parieto-occipital regions.\nThe LMM on d′ indicated no significant main effect of the Condition factor or any interaction involving it (all p ≥ .141). Regarding the other factors and their interactions, we observed a significant main effect of the Session factor, indicating that emotional memory performance decreased over time, regardless of the experimental condition and the emotional valence of the stimuli (see section 5 in the Supplementary Materials for details).\nThe LMM performed on Arousal ratings revealed no significant effects involving the Condition factor (all p ≥ .083). In contrast, a significant main effect of the Stimulus Type factor emerged, with negative pictures perceived as more arousing than neutral pictures (see section 6 and Figure S2 in the Supplementary Materials for details). No other main effects or interactions reached statistical significance.\nFor Valence ratings, the LMM showed a significant Condition × Stimulus Type interaction (F(1,2791.37) = 9.23, p = .002). Planned Bonferroni comparison revealed that negative images were rated as less pleasant than neutral images in both the CTR (mean difference = 3.50, t = 35.81, p<.001) and FRG (mean difference = 3.74, t = 38.26, p<.001) conditions. Moreover, neutral images were rated as more pleasant in the FRG condition relative to the CTR condition (mean difference = 0.29, t = 5.26, p<.001) (see section 6 and Figure S3 in the Supplementary Materials).\nEDA and ECG data from the emotional reactivity task for two participants were excluded from the analyses because one participant failed to follow the instruction to limit movement to reduce recording artifacts, and the other had missing data due to a recording failure. Moreover, two participants were categorized as non-responders [60, 61] and excluded from the EDA analysis as they showed a response to fewer than 20% of negative stimuli during at least one baseline (T0) session (a criterion adapted from Lonsdorf and colleagues) [61]. Thus, the LMM models for HRD and CDA.SCR were based on fifteen and thirteen participants, respectively.\nThe LMM analyses on CDA.SCR highlighted no significant effects involving the Condition factor, nor any significant interaction involving it (all p > .069). We found a significant Session × Stimulus Type interaction, indicating a habituation effect to negative stimuli over time (see section 6 in the Supplementary Material for details). No other comparisons yielded significant differences (all p≥.999).\nRegarding the HRD index, the LMM analyses highlighted a significant Condition × Session interaction (F(2,2408.17) = 6.12, p = .002), indicating that the HRD trajectory over time differed between the two groups (Figure 4). Bonferroni-corrected planned comparisons indicated two distinct response patterns: in the CTR condition, HRD exhibited a clear habituation-like response, decreasing from T0 to T1 (t = 3.36, p = .007) and remaining stable at T2 (t = 0.37, p > .999). Conversely, in the FRG condition, the HRD remained stable across all sessions, with no significant changes observed over time (all p > .529). Finally, HRD was higher at T2 during the FRG condition than in the CTR condition (t = 3.12, p = .016) (Figure 4). This divergence in HRD trajectories suggests that REM sleep fragmentation interfere with the overnight emotional habituation.\nEffects of REM sleep fragmentation on HRD. The raincloud illustrates the HRD values in beats per minute (bpm) across the session (T0, T1, T2) for the CTR (copper) and FRG (light blue) conditions. Each half of the visualization includes: A split violin plot, showing the probability density of the data distribution; an embedded boxplot, displaying the median (horizontal line) and the interquartile range (the box); individual data points, representing the mean HRD for each participant. The solid lines and the diamond-shaped markers connect the estimated marginal means from LMM for each condition. The horizontal bars indicate significant pairwise Bonferroni-corrected planned comparisons: the copper-colored bars show significant changes within the CTR condition, while the black bar indicates a significant difference between conditions (**  p < .01; ***  p < .001).\nNo significant differences in resting-state HRV emerged between the FRG and CTR conditions before or after the emotional reactivity task (see section 4 in the Supplementary Materials for details).\nThe correlation analysis revealed a significant positive correlation exclusively in the alpha band for both sessions (Fig. 5). Specifically, at T1, a stronger post-stimulus alpha power increase was significantly associated with higher changes in HRD (ΔHRD) value, reflecting impaired emotional habituation. This positive correlation was localized on a parieto-occipital cluster of electrodes (r = 0.710, p = .003, Figure 5A). Similarly, at T2, higher alpha power again correlated with a higher ΔHRD value, also reflecting less habituation, in a nearly identical parieto-occipital cluster (r = 0.618, p = .014, Figure 5B). No other frequency bands yielded significant correlations with ΔHRD at either of the follow-up sessions.\nPearson’s correlation between vibration-induced spectral power perturbations and over-session changes in HRD (ΔHRD). (A) Correlation analysis for the change in HRD from baseline to the T1 session. The topographical maps show the correlation coefficient (Pearson’s r) at each electrode for all five frequency bands. The highlighted parieto-occipital electrodes in the alpha band map represent the only statistically significant cluster identified by the permutation test. The scatter plot on the right visualizes this relationship, plotting the mean alpha ERSP from the significant parieto-occipital cluster against the individual ΔHRD values for each participant. (B) The same correlation analysis was performed for the change in HRD from baseline to the T2 session, which revealed a similar significant positive correlation in the alpha band over a parieto-occipital cluster. In both sessions, the positive correlation indicated that higher alpha power was associated with higher ΔHRD value, reflecting less psychophysiological habituation of the cardiac orienting response to emotional stimuli.\nThe comparisons of sleep macrostructure from actigraphic monitoring of the two nights following the laboratory nights showed no significant differences between the CTR and FRG conditions, excluding any rebound effects of our REM sleep fragmentation procedure on subsequent sleep (see section 3.3 and Tables S7 and S8 in the Supplementary Materials for details).\n\n\n### Control analysis of actigraphic-recorded sleep preceding the experimental sessions\nNo significant difference in the sleep macrostructure of the two nights preceding the participation emerged from the comparisons between FRG and CTR conditions (see section 3.3 and Tables S5 and S6 in the Supplementary Materials for details), confirming the comparability of the sleep features.\n\n\n### Effects of vibrotactile stimulation on REM sleep continuity and macrostructural sleep parameters\nWrist-applied vibrotactile stimulation has been effective in interrupting REM sleep continuity as reflected by a higher REMfr in the FRG condition (Table 1). Experimentally induced REM sleep fragmentation resulted in reduced REM sleep duration (mean difference = -22.94 min) and percentage (mean difference = -5.13 %), accompanied by increased N1 duration (mean difference = 20.12 min) and percentage (mean difference = 4.71 %) (Table 1). No other sleep parameters were affected by the experimentally induced REM sleep fragmentation.\nMean ± SD of PSG sleep parameters in each condition and their statistical comparisons\nAbbreviations: TST = total sleep time, SOL = sleep onset time, WASO = wake after sleep onset, SE = sleep efficiency, REM = rapid eye movements sleep, REMfr = REM sleep fragmentation index. Significant comparisons are reported in bold.\nThe statistical comparisons of the Markovian transition matrix (Figure 2) revealed a decreased REM sleep continuity in the FRG condition, as indicated by a lower probability of REM sleep being followed by another REM episode. Indeed, the transition from REM to N1 increased. At the same time, N1 had a reduced probability of being followed by N2. The REM sleep manipulation technique did not increase the probability of transitions to Wakefulness.\nMarkovian matrices of sleep stage transition probabilities. (A and B) Mean ± SD transition probabilities (%) between sleep stages for the (A) control (CTR) and (B) fragmentation (FRG) conditions. In each matrix, the rows represent the originating stage, and the columns represent the destination stage. Values corresponding to statistically significant differences (shown in C) are highlighted in bold. (C) Matrix of t-values from a paired-samples t-test comparing transition probabilities between conditions. Positive t-values (red scale) indicate a higher transition probability in the FGR condition, while negative t-values (blue scale) indicate a higher probability in the CTR condition. NaN indicates transitions where the t-value could not be computed. Asterisks denote significant differences; ***p < .001.\n\n\n### E‌EG response to vibrotactile stimulation during REM sleep\nThe statistical analysis of the ERSP revealed significant changes in neural oscillatory activity following the vibrotactile stimulation. Figure 3A illustrates the time-frequency dynamics of these changes for five representative midline electrodes (Fpz, Fz, Cz, Pz, Oz). These electrodes were selected to provide a clear and concise representation of the stimulation effects across the anteroposterior axis, avoiding the redundancy of presenting plots for all channels. The results showed a significant increase in power across a frequency range spanning approximately 8 Hz to 40 Hz. This power increase was observed across all considered midline derivations (Fpz, Fz, Cz, Pz, and Oz) and persisted for at least ~6 s at frequencies below 30 Hz. The increase was more transient for frequencies above 30 Hz, where the activity returned to the baseline level within the first few seconds following the stimulation.\nStimulation-induced changes in EEG spectral power. (A) Time-frequency representation of the ERSP for the five representative midline electrodes. The color bar indicates the power changes in dB relative to the pre-stimulus baseline period. The black contour lines enclose time-frequency regions where the spectral power change was statistically significant (p < .05, cluster-corrected). (B) Topographical distribution of the mean ERSP within five distinct frequency bands, averaged over the first 6 s post-stimulus window. The color scale represents the magnitude of the ERSP difference from baseline. Electrodes that are part of a significant positive (red) cluster are highlighted with an asterisk (*, p < .05, cluster-corrected).\nTo visualize the spatial distribution of these spectral changes, we analysed the topographical maps of the mean ERSP for each frequency band in the 6-s post-stimulus window (Figure 3B). The analysis confirmed the patterns observed in the time-frequency plots. The alpha, sigma, and beta bands exhibited a widespread and significant power increase that extended across the entire scalp. The low-gamma band also showed a significant power increase, though this effect was predominantly localized to centro-parieto-occipital regions.\n\n\n### Effects of REM sleep fragmentation on emotional memory\nThe LMM on d′ indicated no significant main effect of the Condition factor or any interaction involving it (all p ≥ .141). Regarding the other factors and their interactions, we observed a significant main effect of the Session factor, indicating that emotional memory performance decreased over time, regardless of the experimental condition and the emotional valence of the stimuli (see section 5 in the Supplementary Materials for details).\n\n\n### Effects of REM sleep fragmentation on emotional reactivity habituation\nThe LMM performed on Arousal ratings revealed no significant effects involving the Condition factor (all p ≥ .083). In contrast, a significant main effect of the Stimulus Type factor emerged, with negative pictures perceived as more arousing than neutral pictures (see section 6 and Figure S2 in the Supplementary Materials for details). No other main effects or interactions reached statistical significance.\nFor Valence ratings, the LMM showed a significant Condition × Stimulus Type interaction (F(1,2791.37) = 9.23, p = .002). Planned Bonferroni comparison revealed that negative images were rated as less pleasant than neutral images in both the CTR (mean difference = 3.50, t = 35.81, p<.001) and FRG (mean difference = 3.74, t = 38.26, p<.001) conditions. Moreover, neutral images were rated as more pleasant in the FRG condition relative to the CTR condition (mean difference = 0.29, t = 5.26, p<.001) (see section 6 and Figure S3 in the Supplementary Materials).\nEDA and ECG data from the emotional reactivity task for two participants were excluded from the analyses because one participant failed to follow the instruction to limit movement to reduce recording artifacts, and the other had missing data due to a recording failure. Moreover, two participants were categorized as non-responders [60, 61] and excluded from the EDA analysis as they showed a response to fewer than 20% of negative stimuli during at least one baseline (T0) session (a criterion adapted from Lonsdorf and colleagues) [61]. Thus, the LMM models for HRD and CDA.SCR were based on fifteen and thirteen participants, respectively.\nThe LMM analyses on CDA.SCR highlighted no significant effects involving the Condition factor, nor any significant interaction involving it (all p > .069). We found a significant Session × Stimulus Type interaction, indicating a habituation effect to negative stimuli over time (see section 6 in the Supplementary Material for details). No other comparisons yielded significant differences (all p≥.999).\nRegarding the HRD index, the LMM analyses highlighted a significant Condition × Session interaction (F(2,2408.17) = 6.12, p = .002), indicating that the HRD trajectory over time differed between the two groups (Figure 4). Bonferroni-corrected planned comparisons indicated two distinct response patterns: in the CTR condition, HRD exhibited a clear habituation-like response, decreasing from T0 to T1 (t = 3.36, p = .007) and remaining stable at T2 (t = 0.37, p > .999). Conversely, in the FRG condition, the HRD remained stable across all sessions, with no significant changes observed over time (all p > .529). Finally, HRD was higher at T2 during the FRG condition than in the CTR condition (t = 3.12, p = .016) (Figure 4). This divergence in HRD trajectories suggests that REM sleep fragmentation interfere with the overnight emotional habituation.\nEffects of REM sleep fragmentation on HRD. The raincloud illustrates the HRD values in beats per minute (bpm) across the session (T0, T1, T2) for the CTR (copper) and FRG (light blue) conditions. Each half of the visualization includes: A split violin plot, showing the probability density of the data distribution; an embedded boxplot, displaying the median (horizontal line) and the interquartile range (the box); individual data points, representing the mean HRD for each participant. The solid lines and the diamond-shaped markers connect the estimated marginal means from LMM for each condition. The horizontal bars indicate significant pairwise Bonferroni-corrected planned comparisons: the copper-colored bars show significant changes within the CTR condition, while the black bar indicates a significant difference between conditions (**  p < .01; ***  p < .001).\nNo significant differences in resting-state HRV emerged between the FRG and CTR conditions before or after the emotional reactivity task (see section 4 in the Supplementary Materials for details).\n\n\n### Relationship between induced spectral power perturbation during REM sleep fragmentation and changes in psychophysiological reactivity\nThe correlation analysis revealed a significant positive correlation exclusively in the alpha band for both sessions (Fig. 5). Specifically, at T1, a stronger post-stimulus alpha power increase was significantly associated with higher changes in HRD (ΔHRD) value, reflecting impaired emotional habituation. This positive correlation was localized on a parieto-occipital cluster of electrodes (r = 0.710, p = .003, Figure 5A). Similarly, at T2, higher alpha power again correlated with a higher ΔHRD value, also reflecting less habituation, in a nearly identical parieto-occipital cluster (r = 0.618, p = .014, Figure 5B). No other frequency bands yielded significant correlations with ΔHRD at either of the follow-up sessions.\nPearson’s correlation between vibration-induced spectral power perturbations and over-session changes in HRD (ΔHRD). (A) Correlation analysis for the change in HRD from baseline to the T1 session. The topographical maps show the correlation coefficient (Pearson’s r) at each electrode for all five frequency bands. The highlighted parieto-occipital electrodes in the alpha band map represent the only statistically significant cluster identified by the permutation test. The scatter plot on the right visualizes this relationship, plotting the mean alpha ERSP from the significant parieto-occipital cluster against the individual ΔHRD values for each participant. (B) The same correlation analysis was performed for the change in HRD from baseline to the T2 session, which revealed a similar significant positive correlation in the alpha band over a parieto-occipital cluster. In both sessions, the positive correlation indicated that higher alpha power was associated with higher ΔHRD value, reflecting less psychophysiological habituation of the cardiac orienting response to emotional stimuli.\n\n\n### Effects of REM sleep fragmentation on actigraphic-recorded sleep following the experimental sessions\nThe comparisons of sleep macrostructure from actigraphic monitoring of the two nights following the laboratory nights showed no significant differences between the CTR and FRG conditions, excluding any rebound effects of our REM sleep fragmentation procedure on subsequent sleep (see section 3.3 and Tables S7 and S8 in the Supplementary Materials for details).\n\n\n### Discussion\nIn the present study, we investigated how fragmenting REM sleep in healthy subjects affected emotional memory and reactivity by implementing a new methodological approach that reduced sleep alterations when studying REM sleep functions. We highlighted that vibrotactile stimulation led to REM sleep fragmentation, with only little effect on sleep macrostructure. Furthermore, REM fragmentation compromised psychophysiological reactivity habituation, as indexed by a sustained HRD response to emotional stimuli across sessions, without altering subjective evaluations of the emotional events or their consolidation. We also identified a direct link between this physiological effect and the EEG correlate of stimulation during REM sleep, in which greater stimulation-induced parieto-occipital alpha power was associated with less cardiac habituation. These results provide crucial evidence for the role of REM sleep continuity in dampening psychophysiological reactivity, offering strong support for the SFSR hypothesis and the recent framework proposed by Cabrera and colleagues [27]. Thus, our findings underscore the importance of consolidated REM sleep for proper emotional processing, as recently highlighted in animals [27] and clinical populations [22–26].\nTargeted vibrotactile stimulation successfully fragmented REM sleep continuity without affecting nocturnal awakenings, WASO, TST, and SE. Beyond macrostructural sleep parameters, these results were confirmed by the transition matrix, which showed that the experimental induction of cortical arousals led to REM sleep fragmentation primarily through transitions to N1, without altering the probability that wakefulness followed REM sleep. Furthermore, the analysis of the EEG correlates of wrist-applied vibrotactile stimulation revealed that the stimulation induced widespread topographical increases in the alpha, sigma, and beta bands, alongside a more transient increase in the low-gamma band, predominantly localized to centro-parieto-occipital regions. All these changes in brain activity power are consistent with the concept of arousal during sleep [43], denoting a transient shift away from sleep-like activity.\nExperimentally induced REM sleep fragmentation did not impair the overnight processing of the declarative component of the emotional information. Memory performance declined over time, did so equally in both conditions, and the decline was unaffected by the emotional valence of the stimuli. This finding is consistent with our initial hypothesis, based on the recent theoretical framework proposed by Cabrera and colleagues [27]. In particular, the new perspective underscores, on the one hand, the important role of NREM sleep in consolidating the declarative component of emotional memory via replay. On the other hand, it predicts that while increasing NA levels during REM sleep (as in fragmented REM sleep) will interfere with the long-term depression plasticity responsible for the depotentiation of the affective tone and physiological habituation, it could promote and facilitate the long-term potentiation processes linked to REM sleep memory replay, possibly improving memory consolidation of the factual content [27, 32–34]. Accordingly, it is plausible that the periods of REM sleep cumulated across the night may have been sufficient to preserve memory performance [62, 63], leading to a rate of forgetting comparable to that in the CTR condition. However, while recent meta-analyses suggest that REM sleep is critical for emotional memory consolidation [1–3], these conclusions are based on a small number of studies (i.e. n = 8 in Schäfer) [3], prompting the authors to call for further investigation [3]. Furthermore, these studies primarily employ selective REM sleep deprivation or split-night paradigms. In contrast, our paradigm fragmented REM sleep, rather than eliminating it. Nevertheless, while our data align with our hypothesis, we cannot definitively determine whether this memory resilience is due to robust NREM-dependent consolidation mechanisms or to sufficient memory replay during the brief periods of REM sleep allowed. Regardless of which mechanism explains this resilience, our results support that REM sleep fragmentation does not specifically impair declarative memory consolidation in healthy individuals.\nExperimentally induced REM sleep fragmentation did not alter resting-state HRV parameters or the subjective evaluation of emotional stimuli, although it compromised physiological adaptation to emotional stimuli. Contrasting results regarding the effect of sleep manipulation on subjective and objective indices of emotional reactivity are well documented in the literature [2]. Since distinct brain structures generate a psychophysiological or cognitive response to an emotional event [64, 65], we can assume that one night of REM sleep fragmentation compromises the functioning of subcortical structures, undermining psychophysiological habituation processes, without interfering with the functionality of the cortical structures involved in cognitively elaborated responses [26]. We reported a lack of psychophysiological habituation when examining emotional reactivity with HRD, while no effect was observed for EDA. This divergence could be explained by intrinsic differences in their susceptibility to habituation effects, which the task structure could shape. Upon stimulus onset, EDA increases in parallel with a transient HRD. However, when the same or highly similar stimuli are repeatedly presented, as in our protocol, habituation typically occurs, and its rate may differ between indices [66, 67]. Indeed, EDA tends to show a faster habituation to repeated stimuli compared with cardiac responses, also for relevant stimuli [67]. Since EDA habituation has also been shown to occur more rapidly in healthy individuals [68], our sample may have been biased toward reduced EDA sensitivity. In contrast, HRD reflects a more sensitive, complex emotional response that involves higher-order attentional and evaluative processes [69]. Although both indices represent facets of emotional reactivity, HRD’s slower habituation profile and its broader sensitivity to meaningful stimulus processing may have rendered it a more reliable indicator than EDA of the deleterious effects of REM fragmentation on psychophysiological adaptation. Thus, the absence of EDA effects in our study likely reflects a task-related habituation, without necessarily implying a functional dissociation in the emotional processes they both index.\nIn general, physiological habituation to previously encountered emotional stimuli demonstrated that they have been appropriately processed over time [66, 70]. Therefore, the observed lack of psychophysiological habituation indicated that REM sleep fragmentation interfered with the emotional processing during REM sleep. Our results align with those on clinical populations in which dysfunctional emotional processing due to REM sleep fragmentation has been highlighted [22, 68, 71, 72]. For instance, Wassing et al. [26] found that REM sleep fragmentation impairs the psychophysiological dampening of amygdala activity in response to known emotional events in individuals with insomnia. However, to the best of our knowledge, our study was the first to investigate REM sleep fragmentation in healthy subjects and demonstrate that experimentally inducing this condition compromised the regulatory role of REM sleep on emotional processing. To reveal this link, we employed a standardized laboratory approach rather than one assessing real-world stressors. Although this was necessary to maximize experimental control and reduce sources of variability, it does not fully replicate the richness and personal relevance of real-world emotional stressors. Therefore, a critical next step for the field will be to investigate whether these mechanisms also operate in more ecologically valid contexts.\nRemarkably, our study also identified an electrophysiological correlate of the impaired habituation, highlighting alpha intrusions associated with induced cortical arousal as the potential cortical mechanism involved. Indeed, we found a direct positive relationship between the magnitude of stimulation-induced alpha power in parieto-occipital regions and the lack of HRD attenuation. The functional role of alpha oscillations is state-dependent and topographically distinct. During wakefulness, alpha power increases in task-irrelevant cortical regions and decreases in brain areas engaged in information processing, facilitating cognitive elaboration [73]. This principle appears to extend to REM sleep as well. For instance, alpha power is reduced in Broca and Wernicke areas when reported dreams are mainly characterized by expressive or receptive linguistic content [74]. However, during sleep, a critical distinction is drawn between frontal and posterior alpha oscillations. While frontal alpha is often associated with sleep-protective mechanisms [75], posterior alpha is consistently interpreted as a “wake-like” state [76]. The micro-architecture of REM sleep further differentiates alpha functions. Specifically, tonic REM is characterized by a sustained background of alpha activity and heightened responsivity to external stimuli. In contrast, phasic REM, which is thought to be dedicated to internal processing, shows a suppression of this background alpha, interrupted only by brief, momentary posterior alpha bursts [77]. Nevertheless, posterior alpha bursts in REM sleep are also reported to be independent of REM phase [76] and are indicative of a brief temporal window during which external sensory processing is restored to monitor for potential threats [76]. Clinical conditions like PTSD and insomnia, which are characterized by threat hypervigilance, are generally associated with REM sleep fragmentation due to arousal (wake-like state) intrusion in REM, interfering with emotional processing [78]. Our correlational results corroborate the distinct functional role of frontal and posterior alpha power and extend it to REM sleep. This finding offers a different perspective from a previous influential study, which proposed that the overnight dampening of amygdala reactivity was associated with frontal gamma power, suggesting that gamma activity could serve as a proxy for NA tone during REM sleep [7]. However, the assumption that REM sleep gamma directly reflects NA levels warrants careful consideration. This premise was largely based on studies in which NA manipulations were performed on awake animals, demonstrating that LC stimulation or NA microinjections could elicit gamma activity [10, 79]. It remains uncertain whether this relationship holds within the distinct neurochemical milieu of REM sleep, an uncertainty amplified by the lack of direct supporting evidence in human sleep studies. In line with this ambiguity, our data revealed no significant correlation between the stimulation-induced changes in gamma power and the modulation of the cardiac response. However, it should be noted that the ERSP induced by our stimulation paradigm in the gamma band primarily involved the lower portion of this frequency domain. Nevertheless, cortical arousals during REM sleep should induce NA bursts from the LC, thereby preventing sleep-dependent emotional reactivity adaptation to emotional stimuli [27]. Indeed, our results provide indirect support for the neurochemical principles of the SFSR hypothesis [11], assuming that the neurochemical milieu of REM sleep (characterized by low NA and high acetylcholine levels) is essential to allow emotional memory traces to disengage from the associated emotional tone. Specifically, we demonstrated that inducing cortical arousals during REM sleep is sufficient to disrupt the continuity of this sleep stage and interfere with the psychophysiological emotional reactivity dampening that occurs overnight.\nFinally, a critical finding of our study is the long-term persistence of impaired habituation and the confirmation of the strong predictive role of stimulation-induced alpha activity on emotional response at the 48-h follow-up. After the laboratory sleep night, despite two subsequent nights of unperturbed sleep, participants in the FRG condition still showed no HRD attenuation. This suggests that simply reactivating the memory traces by re-exposing participants to the emotional reactivity task at T1 was insufficient to correct the maladaptive emotional processing established during the FRG night. Therefore, our data underscore a critical time window for emotional processing: undisturbed REM sleep during the first night after an emotional experience appears essential for appropriately dampening its long-term psychophysiological impact.\nNotably, these results emerged after a single night of REM sleep fragmentation. While our paradigm successfully fragmented REM sleep, it represents an acute perturbation rather than the chronic disruption described in clinical populations, raising important questions for future research. To our knowledge, no human studies have investigated the chronic effects of REM sleep fragmentation on emotional reactivity. Indeed, chronic REM sleep manipulation studies in humans are scarce, typically focus on selective REM sleep deprivation rather than fragmentation, and are not directly focused on emotional reactivity [30]. Animal models, in contrast, suggest that chronic REM sleep disruption alters monoamine balance in the limbic system and can lead to anxiety-like behaviors in adulthood [80, 81]. Furthermore, prominent theoretical frameworks posit that the long-term effects of such disruption are cumulative, potentially perpetuating the emotional dysregulation associated with restless REM sleep [11, 27, 82, 83]. It is plausible that a longitudinal protocol involving repeated nights of REM sleep fragmentation in healthy individuals could exacerbate these effects, potentially leading to impairments across a broader range of psychophysiological measures and even affecting subjective emotional ratings. Furthermore, since emotional memory alterations are often reported in clinical populations [84–86], despite the presence of REM sleep, a chronic fragmentation protocol may also evaluate if maladaptive emotional memory consolidation could be a consequence of chronic REM sleep disruption.\nBy establishing a direct link between experimentally induced REM sleep fragmentation and impaired emotional habituation, our study provides strong support for the hypothesis that REM sleep continuity is critical for emotional processing. Therefore, this finding suggests that the restless REM sleep characterizing different clinical populations is directly involved in the emotional dysregulation distinctive of these conditions. Our study highlights the need for further research on the link between REM sleep fragmentation and emotional health.\n\n\n### Limitations\nSeveral limitations of our study should be acknowledged.\nFirst, we did not assess trauma exposure or PTSD symptoms. However, given the high symptomatic overlap between PTSD and the screened psychological variables, it is plausible that our inclusion criteria excluded individuals with clinically significant trauma-related psychopathology. In addition, we selected a limited convenience sample of young university students, which may restrict the generalizability of the findings. However, we strengthened our result by adopting a within-subject design and monitoring participants’ sleep schedules via actigraphy before and after the laboratory sleep nights. This monitoring confirmed adherence to regular sleep patterns during both conditions, reducing the likelihood that confounding variables biased our results. Unlike Wassing and colleagues [26] who adopted an ecological emotional reactivity task, we utilized standardized IAPS images. This reliance on a standardized laboratory paradigm, rather than personally relevant events, limits the mundane realism of our findings. However, this choice was dictated by the methodological requirements for obtaining high-quality physiological recordings. Therefore, future research incorporating assessments of personally relevant events is needed.\nMoreover, regarding the emotional memory task, we opted for a recognition paradigm over a potentially more sensitive memory recall task. This decision was deliberate, as our intent was to minimize the re-elaboration of the memory trace during follow-up assessments. A recall task, by requiring active retrieval, would have constituted a new learning event at each session. This subsequent re-elaboration would have acted as a confounding factor, making it difficult to isolate the specific long-term effects of the initial overnight consolidation. Similarly, the fixed task order (emotional reactivity task preceding emotional memory task), while necessary to ensure the reliability of the psychophysiological measures, introduces the possibility of residual effects on emotional memory performance. Although we implemented an intervening distractor task and used categorically distinct stimulus sets to minimize interference, we cannot completely exclude this possibility.\nIn addition, we must acknowledge a limitation in our handling of EOG artifacts. We opted to apply a 5 Hz high-pass filter to remove spectral contamination from eye movements, rather than using an EOG correction. As our hypotheses concerned higher frequencies, this filtering approach preserved the integrity of our bands of interest and avoided potential signal distortions introduced by other correction methods [50, 87, 88]. However, this decision consequently precluded any analysis of the delta band. Another methodological consideration concerns the baseline period used for the ERSP analysis. While our chosen baseline window falls within the stimulation pause, avoiding direct contamination from active stimulation, we cannot entirely exclude the possibility that subtle, visibly undetectable EEG alterations induced by preceding (ineffective) stimuli within a sequence might have affected the baseline. Nevertheless, given the arousal feature (an abrupt shift toward higher frequencies), it is unlikely that minor, undetectable baseline fluctuations could have affected our results.\nFinally, while our experimental manipulation successfully fragmented REM sleep, it also reduced total REM sleep time. This raises the possibility that the observed effects on emotional habituation may be attributed to REM sleep loss rather than the fragmentation process itself. However, we argue that the fragmentation process is primarily involved in our findings for two reasons. First, our key finding was a direct correlation between an EEG signature of the arousal itself (stimulation-induced parieto-occipital alpha power) and the impairment in habituation. Second, both REM duration and REM % did not correlate with ∆HRD at both T1 (REM duration, r = -0.169, p = .548; REM %, r = -0.150, p = .593) and T2 (REM duration, r = -0.142, p = .614; REM %, r = -0.031, p = .914) sessions. This supports that the disruptive process of fragmentation, not merely the loss of REM time, is the critical mechanism underlying our results. This finding offers a data-driven contribution to the ongoing debate on whether the effects of REM sleep disruption stem from fragmentation rather than an overall reduction [30]. While our design does not permit a direct comparison with total REM suppression, it provides a model that mitigates major confounds (e.g. stress), often associated with complete deprivation methods. Nevertheless, future research should aim to further disentangle these factors.\n\n\n### Conclusion\nWe demonstrated that fragmenting REM sleep on the first night after an emotional experience impairs subsequent psychophysiological habituation, without affecting emotional memory consolidation and its subjective ratings. The absence of psychophysiological habituation following REM sleep fragmentation was directly linked to a specific neural signature, characterized by an increase in cortical alpha power on posterior cortical regions induced by vibrotactile stimulation. Notably, this disruption appeared to be long-lasting, as two subsequent nights of undisrupted sleep did not restore typical emotional habituation. These results advance our understanding of the role of REM sleep in emotion regulation, supporting the view that restless REM sleep is a sleep alteration directly involved in the emotional dysregulation seen in clinical populations like insomnia and PTSD. A critical next step for the field will be to investigate whether these same mechanisms are at play in more ecologically valid contexts and in response to real-world emotional stressors. Finally, the present study validates experimentally induced REM sleep fragmentation as a powerful methodological approach to investigate REM sleep functions by means of cortical arousals.", "domain": "affective_neuroscience"}
{"source": "PMC13084587", "title": "Home use of low-intensity transcranial electrical stimulation in clinical practice: an IFCN handbook chapter", "text": "# Home use of low-intensity transcranial electrical stimulation in clinical practice: an IFCN handbook chapter\n\n## Abstract\n•tES delivers low-intensity current via scalp electrodes, offering a portable option.•Home-based tES paves the path to increasing the accessibility of the technology.•Providing tES treatment at home improves compliance. tES delivers low-intensity current via scalp electrodes, offering a portable option. Home-based tES paves the path to increasing the accessibility of the technology. Providing tES treatment at home improves compliance. Non-invasive brain stimulation (NIBS) includes a growing set of techniques aimed at modulating brain activity without surgery or implants. Transcranial magnetic (TMS) and electrical stimulation (tES) are among the most established methods. tES delivers low-intensity current via scalp electrodes, offering a cheaper and portable option, especially for home-based use. Clinical evidence suggests that the effects of tES are cumulative with consecutive applications needed to achieve meaningful changes. The therapeutic application of the clinic-based tES usually involves a minimum of two weeks of daily visits to the clinical institute, which poses a large burden and stress on patients. Home-based tES, e.g. under remote supervision (RS-tES), following adequate training by trained professionals paves the path to increasing the accessibility of the technology to patients. In 2025, the US FDA approved the first home-based tDCS system for the treatment of “moderate to severe major depressive disorder in the current episode, either as monotherapy or as an adjunctive treatment, in patients 18 years and older who are not considered treatment refractory to medication. In this work, the latest knowledge related to home-use of tES is introduced, including the methodology, most frequent clinical applications, advances and limitations.\n\n## Full Text\n\n\n### Introduction\nNon-invasive brain stimulation (NIBS) refers to an expanding array of techniques designed to modulate neural activity in a non-invasive manner (e.g., without the need for surgical intervention or implanted devices). Alongside their development as tools for investigating brain function, these methods have evolved into therapeutic modalities with growing clinical relevance. Today, NIBS is employed in the treatment of a wide spectrum of psychiatric and neurological conditions, including major depressive disorder, stroke, chronic pain, and cognitive dysfunctions (Lefaucheur et al., 2017, Lefaucheur et al., 2020, Lisanby, 2024). Among the most well-established NIBS techniques are repetitive transcranial magnetic stimulation (rTMS) and transcranial electrical stimulation (tES), both of which have substantial empirical and regulatory support (Antal et al., 2017, Antal et al., 2025a, Desarkar et al., 2024). rTMS uses pulsed magnetic fields to induce electric currents in cortical tissue and was first approved by the U.S. Food and Drug Administration (FDA) for treatment-resistant depression (Janicak et al., 2008, Lisanby et al., 2009, O’Reardon et al., 2007). Its clinical use is mainly restricted by the need for high-cost equipment, and by the necessity to be applied in specialized clinics and by specially trained personnel. However, the ongoing development of portable light-weight rTMS devices for home use (Qi et al., 2025) represents a promising avenue for enhancing both the accessibility and scalability of the technology.\nIn contrast, transcranial direct current stimulation (tDCS), the most widely used form of tES, operates by delivering low-amplitude direct current (typically 1–2 mA) through electrodes placed on the scalp (Nitsche and Paulus, 2000). In contrast to TMS, which induces action potentials in cortical neurons (Klomjai et al., 2015), tDCS works by sub-threshold modulation of the resting membrane potential, thereby altering the probability of neuronal firing (Nitsche and Paulus, 2000, Stagg et al., 2018). Beyond the local effects of tDCS, the network effects and potential long-term changes in cortical excitability through repeated stimulation forms the basis for its therapeutic benefits (Lefaucheur et al., 2017, Stagg et al., 2018, Woods et al., 2016). Its relative simplicity, affordability, and favorable safety profile make it particularly suited for increasing the availability of NIBS even as a home-based application (Charvet et al., 2015, Woodham et al., 2025a). Conversely, transcranial alternating current stimulation (tACS)—another tES technique—applies sinusoidal currents to modulate activity in specific brain regions Offline effects arise from neural entrainment and neuroplastic changes (Elyamany et al., 2021). Although tACS shows exponentially growing potential for clinical use, most evidence on home-based tES focuses on tDCS.\ntDCS is typically applied through two large (25–100 cm2) rubber electrodes, applied either with conductive cream or within saline-soaked sponges to direct current delivery. Regarding terminology, we follow conventional practices including: 1) using “anodal” or “cathodal” tDCS to indicate focus in the anode or cathode electrodes, respectively, without implying that only one electrode is active; 2) a brain region is “targeted” (e.g., “prefrontal or precentral-tDCS”) in the limited sense that an electrode is placed over the region, without implying that the current is delivered focally (only) to that region; 3) duration including ramp on/off; 4) intensity is reported as peak for tDCS and as peak-to-peak amplitude for tACS. Conventional low-intensity tES (Antal et al., 2017, Bikson et al., 2019), also known as limited-output tES (Bikson et al., 2019), generally refers to peak currents at or below 4 mA. This does not suggest that modestly higher currents—such as 6 mA (Bikson et al., 2016, Donnery et al., 2025)—are not tolerated or unsafe, however, using higher intensities, limited data are available.\nEvidence from both basic research and clinical studies suggest that the effects of tDCS can be cumulative, such that multiple applications are needed to achieve clinically meaningful benefits. This implies that the stimulation must be repeated daily or even several times during a day (accelerated protocols). A challenge in the clinic is how to complete the necessary number of treatments. Providing tDCS treatment outside the clinic, e,g, at home, can decrease burdens for patients and their caregivers by decreasing the number of days when they need to travel to the medical facilities. Other advantages include increased treatment compliance and access to tDCS for patients who live in geographically remote areas or live with physical or cognitive disabilities. The possibility of home-based tES has been applauded by different stakeholder groups, including individuals with lived experience and industry representatives (Antal et al., 2024, Maier et al., 2024, Ramasawmy et al., 2024).\nHome-based tDCS technologies have significantly evolved and are increasingly recognized for their therapeutic potential across diverse clinical applications. Clinical research supports the efficacy of home-based NIBS in managing symptoms, for example, of depression or pain (Bréchet et al., 2021, Charvet et al., 2015, Vogelmann and Baskonus, 2025, Vogelmann et al., 2025, Woodham et al., 2025b). Improvements in home-based tDCS technologies are directed toward ensuring tolerability, user-friendliness, and facilitating real-time remote supervision. With the rapid expansion of telemedicine, these devices designed for home use are increasingly integrated with tele-supervised frameworks, enabling healthcare providers to remotely monitor patients and adjust stimulation parameters as necessary (Chirra et al., 2019, DaSilva et al., 2022, Riggs et al., 2018). Research evidence furthermore strongly supports the combination of home-based NIBS with adjunctive therapies such as cognitive training, physical rehabilitation exercises, stress management, and mindfulness-based interventions. Indeed, multimodal therapeutic strategies harnessing the complementary strengths of NIBS and behavioral interventions have been shown to amplify therapeutic effects significantly (Cavendish et al., 2022, Neige et al., 2024, Wickens et al., 2025).\nDirect-to-consumer tDCS devices for neuroenhancement have expanded over the past years (Bourzac, 2016, Jwa, 2015) which has led to discussions surrounding the safety, ethical, and societal consequences of non-therapeutic home-based tES. Beyond the clinical applications of tDCS, its implementation for military use (Sehm and Ragert, 2013), use in sports (Pugh and Pugh, 2021), and neuroenhancement in healthy individuals (Brukamp et al., 2012) require special considerations.\n\n\n### Desired characteristics of NIBS devices that can be used at home\nFor any medical intervention, there are associated risks that govern the degree of professional oversight and controls warranted. tES, including tDCS, has been extensively studied in academic and medical centers, demonstrating its safety and tolerability (Antal et al., 2017, Bikson et al., 2016). Since low-intensity tES devices are relatively low-cost, battery-operated, with straightforward operation and diverse applications, there is an interest and a potential for home use. However, the translation of tES from academic or medical centers to home use requires careful consideration of both technology and protocols to ensure a reproducible set-up. Most of the brain stimulation devices and accessories designed for use by trained professionals in clinical or research settings are generally not suitable for home use. For example, devices designed for academic/medical centers may allow for a wide range of doses and unlimited repeated activation, whereas home-based devices should provide a specific prescribed and limited dose. Stimulation devices designed for home use may be modified to provide reduced voltage (Bikson et al., 2018, Hahn et al., 2013), with single position headgear (DaSilva et al., 2022, Knotkova et al., 2019), single-use and/or pre-prepared electrodes (Borges et al., 2020), or caps with integrated electrodes (Hunold et al., 2020), simplified impedance testing and controls, as well as methods for remote device deactivation. Home-based tES can be combined with a range of mobile-health or digital healthcare technologies (Brunoni et al., 2022), but protocols for reproducible stimulation still need to be ensured.\nSpecifically, the safety and tolerability observed in academic or medical settings only apply to home use if the relevant stimulation protocols are faithfully reproduced and devices meet appropriate standards. This includes ensuring that the stimulation parameters—such as intensity, duration, and frequency—remain within clinically validated (safe) ranges. The device should have built-in safeguards to prevent misuse, such as automatic shutoff features, current limiters, and continuous monitoring for skin contact quality or impedance. It should also be designed to minimize side effects and adverse events like skin irritation or discomfort, thereby ensuring tolerability over repeated sessions.\nIdeally, the device must be user-friendly and suitable for individuals without medical or technical backgrounds. It should feature an intuitive interface with simple instructions, automated calibration, and pre-programmed stimulation protocols (Pilloni et al., 2021, Zhong et al., 2024). Visual or auditory cues can help guide users through proper setup and indicate when stimulation is active or complete. The design should minimise the chance of human error during setup.\nFor a device to be well suited for home-based use, it needs to be lightweight, compact, and ergonomically designed. The hardware—whether configured as a headset or cap—must ensure user comfort during prolonged wear, minimizing physical strain or slippage. Wireless connectivity or battery-powered operation enhances user mobility and allows stimulation in different home settings, such as while sitting, lying down, or even performing light tasks. The ability to pack and store the device easily also contributes to long-term adherence.\nFrom the operator/clinical side, the device should offer flexible settings to accommodate individual treatment plans and evolving therapeutic needs. Whether used for depression, chronic pain, or cognitive enhancement, personalization is critical. While the devices require fixed stimulation protocols for the patients to ensure safety, they need to allow clinicians to update settings remotely based on patient progress. Features like adaptive stimulation (responding to biofeedback such as EEG signals) or multi-site targeting are not common in home-based tES but might enhance therapeutic impact. Systems may benefit from a support cloud-based data logging, enabling clinicians to track session adherence, stimulation parameters, and patient-reported outcomes either in real time or retrospectively. Additionally, many platforms benefit from telehealth integration, allowing for live video consultations, remote troubleshooting, and personalized protocol adjustments.\nTo support monitoring and safety, a wide range of ancillary devices can be integrated with home-based NIBS platforms. These include wearable EEG headsets for monitoring brain activity and verifying target engagement, as well as skin impedance sensors that ensure proper electrode contact and reduce the risk of ineffective stimulation. In the case of tES, this latter feature is an essential safety measure which needs to be incorporated in the device anyway. Inertial sensors and accelerometers can monitor posture, movement, and head position to confirm proper device placement during sessions. Some systems may employ smart cameras or augmented reality (AR) guidance tools for electrode positioning, using image recognition algorithms to provide real-time feedback to users.\nAdditionally, mobile applications can serve as interactive user interfaces, guiding session setup, collecting symptom ratings, issuing reminders, and delivering progress reports. Integration with wearable physiological trackers (e.g., heart rate monitors, galvanic skin response sensors, sleep trackers) allows the system to monitor broader health parameters and adapt protocols based on stress, fatigue, or sleep quality.\nBeyond monitoring, home-based NIBS systems can be significantly enhanced by integrating devices for motor and cognitive rehabilitation, facilitating synergistic, multimodal interventions. The efficacy of neuro-psychiatric interventions can be monitored by e.g., questionnaire-based symptom rating. For motor rehabilitation, this includes tablet-based or VR-enabled physiotherapy apps, robotic gloves, exoskeletons, electromyography (EMG) feedback systems, and motion-capture cameras. These tools allow patients to engage in repetitive, task-specific training aligned with stimulation sessions, which is crucial for neurorehabilitation uses.\nFor cognitive rehabilitation, a range of digital cognitive training platforms, gamified brain-training apps, and neurofeedback tools can be used in conjunction with NIBS. These platforms often include tasks targeting attention, memory, executive function, or language processing, and can be tailored to specific patient profiles. Some systems use adaptive difficulty algorithms that adjust the cognitive load in real time, maximizing engagement and plasticity. When synchronized with stimulation timing (e.g., during or immediately after NIBS), these interventions may enhance neuroplastic effects and functional gains.\nCost is a factor influencing the widespread adoption of home-based NIBS. The ideal device should be affordable not only for healthcare systems, but also for individuals paying out-of-pocket. This includes keeping production costs low, and offering options for rent or insurance coverage. Devices should also be accessible for users with disabilities or mobility issues.\nFinally, the device must comply with medical regulatory standards, such as CE marking in Europe or FDA clearance in the U.S. This ensures that its use is supported by evidence from clinical trials demonstrating safety, efficacy, and usability in home environments. Evidence-based design also fosters trust among clinicians and patients alike. Clear instructions for use, training materials, and customer support should accompany the device, promoting safe, informed, and consistent use over time.\nOne of the most important points when home stimulation is applied, the adequate patient and/or caregiver training by expert healthcare professionals. Unlike procedures in controlled clinical environments, home use introduces variability in device handling, setup and session timing. Key risks include improper device preparation, electrode placement, and lack of recognition of adverse events such as headaches, skin irritation, or transient cognitive changes. To mitigate these risks, home-based systems must incorporate resilience to handling errors, automated safety mechanisms, including stimulation limits, guided setup instructions, impedance checks, and real-time feedback to ensure correct use. Not all patients are suitable candidates for unsupervised home-based stimulation. Individuals with severe cognitive impairment, active psychiatric disorders, or poor treatment insight may struggle to use these devices safely and consistently. Therefore, appropriate patient selection criteria are essential, along with structured education and training for both patients and caregivers. In some cases, home-based NIBS should be restricted to those with prior in-clinic experience or integrated into hybrid care models that combine remote monitoring with periodic clinical check-ins to balance safety with autonomy.\nThe second critical issue is the supervision and monitoring of the use of the stimulator and stimulation sessions at home by the clinical team. Varying approaches and different levels of supervision and monitoring to at-home use of tDCS have been described in the literature to date (Abdullahi et al., 2024, DaSilva et al., 2022, Moshfeghinia et al., 2025). Many home stimulator devices can be used in a “supervised” mode, in which the traceability of the sessions and monitoring of their effective implementation (e.g. time, impedance, number of sessions). The most rigorous approaches to at-home tDCS include the application of comprehensive clinical protocols with high methodological control that includes real time monitoring of the sessions performed by the patient at home by an operator at the hospital via videoconference (at least for some of the treatment sessions) so that correct headset placement can be ensured. This type of approach is obviously the best way to guarantee the correct application and its safety.\nFor example, a protocol termed “Remotely Supervised” or RS-tDCS, uses standardized procedures with ongoing supervision during treatment with patient-tailored at-home tDCS. For this procedure a guideline was developed, based on eight items that inform the reproducible applications of limited-output tES under supervision of a medical professional or researcher (Charvet et al., 2015). The recommendations include: (1) comprehensive training of individuals administering and supervising the tDCS; (2) evaluation of each user’s ability to safely engage in remote tDCS; (3) provision of continuous training materials and competency assessments for users and caregivers; (4) implementation of simple, fail-safe electrode placement methods and standardized headgear; (5) enforcement of strict dose control across all sessions; (6) real-time monitoring of compliance parameters, with corrective actions as needed; (7) systematic observation and documentation of any treatment-emergent adverse events; and (8) clearly defined procedures for terminating individual sessions or study participation, including tailored emergency failsafe protocols appropriate to the treatment population. RS-tES provides significant flexibility for diverse applications (for example, the degree of video supervision needed: RS-tDCS does not require ongoing telemedicine, but it explicitly allows each trial to decide on the appropriate level of supervision) under a rational rubric of rules (Charvet et al., 2020). RS-tES, especially RS-tDCS, has been broadly applied with reliable success in diverse patient populations (Agarwal et al., 2018, Pilloni et al., 2022, Shaw et al., 2020, Simpson et al., 2022).\nIf a home-based tES protocol is run without ensuring and documenting reliability, the outcomes of that experience (whether positive or negative) cannot be re-applied or generalized. RS-tES does require initial and ongoing supervision by healthcare professionals and researchers. Self-directed tES (e.g. direct to consumer) is not RS-tES.\nThe importance of using proper equipment and protocols in tES is clear: e.g. burns (stimulation-induced skin lesions) do not occur when established best practices are followed (Woods et al., 2016), but have been reported when these practices are not adhered to (Pilloni et al., 2021). This dichotomy also extends to home-based tES. Burns are not expected in RS-tDCS (Pilloni et al., 2022), but can occur in non-RS-tDCS home-based approaches, along with an increased incidence of side effects and adverse events (Vogelmann and Baskonus, 2025, Vogelmann et al., 2025).\n\n\n### Home stimulation devices: monitoring and guidelines\nOne of the most important points when home stimulation is applied, the adequate patient and/or caregiver training by expert healthcare professionals. Unlike procedures in controlled clinical environments, home use introduces variability in device handling, setup and session timing. Key risks include improper device preparation, electrode placement, and lack of recognition of adverse events such as headaches, skin irritation, or transient cognitive changes. To mitigate these risks, home-based systems must incorporate resilience to handling errors, automated safety mechanisms, including stimulation limits, guided setup instructions, impedance checks, and real-time feedback to ensure correct use. Not all patients are suitable candidates for unsupervised home-based stimulation. Individuals with severe cognitive impairment, active psychiatric disorders, or poor treatment insight may struggle to use these devices safely and consistently. Therefore, appropriate patient selection criteria are essential, along with structured education and training for both patients and caregivers. In some cases, home-based NIBS should be restricted to those with prior in-clinic experience or integrated into hybrid care models that combine remote monitoring with periodic clinical check-ins to balance safety with autonomy.\nThe second critical issue is the supervision and monitoring of the use of the stimulator and stimulation sessions at home by the clinical team. Varying approaches and different levels of supervision and monitoring to at-home use of tDCS have been described in the literature to date (Abdullahi et al., 2024, DaSilva et al., 2022, Moshfeghinia et al., 2025). Many home stimulator devices can be used in a “supervised” mode, in which the traceability of the sessions and monitoring of their effective implementation (e.g. time, impedance, number of sessions). The most rigorous approaches to at-home tDCS include the application of comprehensive clinical protocols with high methodological control that includes real time monitoring of the sessions performed by the patient at home by an operator at the hospital via videoconference (at least for some of the treatment sessions) so that correct headset placement can be ensured. This type of approach is obviously the best way to guarantee the correct application and its safety.\nFor example, a protocol termed “Remotely Supervised” or RS-tDCS, uses standardized procedures with ongoing supervision during treatment with patient-tailored at-home tDCS. For this procedure a guideline was developed, based on eight items that inform the reproducible applications of limited-output tES under supervision of a medical professional or researcher (Charvet et al., 2015). The recommendations include: (1) comprehensive training of individuals administering and supervising the tDCS; (2) evaluation of each user’s ability to safely engage in remote tDCS; (3) provision of continuous training materials and competency assessments for users and caregivers; (4) implementation of simple, fail-safe electrode placement methods and standardized headgear; (5) enforcement of strict dose control across all sessions; (6) real-time monitoring of compliance parameters, with corrective actions as needed; (7) systematic observation and documentation of any treatment-emergent adverse events; and (8) clearly defined procedures for terminating individual sessions or study participation, including tailored emergency failsafe protocols appropriate to the treatment population. RS-tES provides significant flexibility for diverse applications (for example, the degree of video supervision needed: RS-tDCS does not require ongoing telemedicine, but it explicitly allows each trial to decide on the appropriate level of supervision) under a rational rubric of rules (Charvet et al., 2020). RS-tES, especially RS-tDCS, has been broadly applied with reliable success in diverse patient populations (Agarwal et al., 2018, Pilloni et al., 2022, Shaw et al., 2020, Simpson et al., 2022).\nIf a home-based tES protocol is run without ensuring and documenting reliability, the outcomes of that experience (whether positive or negative) cannot be re-applied or generalized. RS-tES does require initial and ongoing supervision by healthcare professionals and researchers. Self-directed tES (e.g. direct to consumer) is not RS-tES.\nThe importance of using proper equipment and protocols in tES is clear: e.g. burns (stimulation-induced skin lesions) do not occur when established best practices are followed (Woods et al., 2016), but have been reported when these practices are not adhered to (Pilloni et al., 2021). This dichotomy also extends to home-based tES. Burns are not expected in RS-tDCS (Pilloni et al., 2022), but can occur in non-RS-tDCS home-based approaches, along with an increased incidence of side effects and adverse events (Vogelmann and Baskonus, 2025, Vogelmann et al., 2025).\n\n\n### Home-based tES in psychiatric disorders\nPsychiatric disorders represent a major public health concern, with approximately 13% of the world’s population living with a psychiatric condition. Among them, about one in three patients shows only partial or limited responses to conventional treatments. In this context, particularly tDCS, has attracted growing interest as a well-tolerated, non-invasive, and complementary therapeutic approach. Recent advances in portable and user-friendly devices have made it possible to deliver tES at home under remote clinical supervision (RS-tES). Several studies conducted over the past few years suggest that home-based tDCS could be a promising therapeutic strategy for psychiatric conditions, while maintaining a high level of safety through remote monitoring by clinical teams. While home-based tES has been studied across different psychiatric and neurological disorders, the significant heterogeneity in the stimulation parameters across studies such as current intensity, duration of stimulation, variable electrode montage emphasizes the current lack of standardized home-based protocols for widespread clinical prescription. The evidence of safety and clinical efficacy as well as the stimulation protocols of the studies cited in this section is summarized in Table 1.Table 1Summary of studies cited in section on Home-based tES in Psychiatric Disorders.#AuthorNStudy designTraining sessionAdministration /monitoringtES typeElectrode positionIntensity (mA)Duration# of sessionsSham protocolMajor findingSide effect (SE)/adverse event (AE)Major Depressive Disorder1Alonzo et al. 201934Open-label trialOn-site training and assessment of training via checklist of procedures.Self-administered, Monitored via video link for first 3 sessions by research staff, then video link i as needed. Also an online treatment diary.tDCSAnode-F3; Cathode- F8230 minGroup 1: 20 sessions once per day over 4 weeksGroup 2: 32 sessions (acute phase: once daily over 4 weeks and taper phase: 4 tDCS sessions spaced 1 week apart)—Significant improvements in mood up to 1 month post-acute phase.SEs were largely transient and minor. Most commonly reported SE were mild to moderate tingling or burning/heat sensation during stimulation and skin redness under electrodes. Comparable to clinic-based studies.2Kumpf et al., 202311 (5 active)RCTOn-site supervised training session.Self-administered, safety monitoring by calling study team in case of presence of AEs.tDCSAnode-F3; Cathode- F4230 min30 sessions (5 sessions per week for 6 weeks)Same ramp-in (15 s) and ramp-out (15 s) but without intermittent stimulation.Significant reduction in depression scales over time, without any group difference between sham and real tDCS.Study had to be stopped due to 5 AEs (skin lesions).3Cappon et al., 2021Older adults with MDD5Case series (2 patients withdrew due to medical conditions unrelated to study treatment)Home-based training for study companion via training sessions via video-conference, self-directed learning via video and paper-based material.Companion-administered, remote monitoring of progression during each session via a smart tablet. On demand remote assistance available.Multichannel tDCSAnode: F3; Cathodes: FZ, FC5, FP1Max current per electrode around 1.75 mA30 min37 sessions (acute phase: once daily over 4 weeks and taper phase: 9 tDCS sessions over 4 weeks [first 3 every second day, next 3 every third day, and last 3 every fourth day)—Beneficial effects on depression symptoms comparing baseline to one-month follow-up.SEs were mild and transient. Most frequently reported SEs were sensations under the electrodes such as tingling and itching, post-stimulation sleepiness, scalp redness, and neck pain.4Ruffini et al., 202435Open-label multicentre; combined with app-based behavioural therapyHome-based training for study companion or participant via training sessions via video-conference, self-directed learning via video and paper-based material.Self/companion-administered, remote monitoring of progression during each session via a smart tablet. On demand remote assistance available.Multichannel tDCSAnodes: F3, AF3; Cathodes: T7, AF43.1 (total injected current in group-optimized montage)30 min37 sessions (acute phase: once daily over 4 weeks and taper phase: 9 tDCS sessions over 4 weeks [first 3 every second day, next 3 every third day, and last 3 every fourth day)—Median reduction in depressive symptoms 4 weeks post-treatment with responder rate of 72.7%.No Serious AEs were observed. No participants showed suicidal ideation/behaviour.5Sobral et al 20227Case seriesTraining by a clinical psychologist.Self-administered tDCS, weekly appointment with psychologist for monitoring.tDCS (combined with Flow™ app-based behavioural therapy)Anode-F3; Cathode- F4230 minProtocol 1: 5 sessions per week (once per day) for 2 weeks, followed by twice-weekly 7sessions for 4 weeks (n = 18)Protocol 2: 5 sessions per week (once per day) for 3 weeks, followed by twice-weekly sessions for 3 weeks (n = 21)—Clinically meaning reduction in depressive symptoms in 5 patients on the MADRS-S and in 4 patients on the BDI-II.Well-tolerated, without any severe SEs. Most frequent AEs were scalp irritation, tingling, itching, and burning sensation.6Borrione et al., 20215Case seriesSupervised training with specialized staff.Unsupervised self-administered tDCS, remote access to staff in case of questions or complications.tDCS (combined with Flow™ app-based behavioural therapy)Anode-F3; Cathode- F4230 min21 sessions (5 sessions per week (once per weekday) for 3 weeks, followed by twice-weekly sessions for 3 weeks)—Three treatment responders on the HDRS, 3 of which went in remission. Four patients showed substantial improvement in BDI-II and MADRS scores.No serious AEs or complications.7Borrione et al., 2024210RCTSupervised training with specialized staff.Unsupervised self-administered tDCS.tDCS (combined with Flow™ app-based behavioural therapy)Anode-F3; Cathode- F4230 min21 sessions (5 sessions per week (once per weekday) for 3 weeks, followed by twice-weekly sessions for 3 weeks)Same as active but current active at the initial and last 45 s of each session and max intensity of 1 mA.No statistical difference in depressive symptoms among active tDCS combined with digital behavioural intervention (double active), sham tDCS paired with digital placebo [free internet browsing] (double sham) and active tDCS combined with digital placebo (tDCS only).No group differences in frequency, number, and severity of AEs. Local skin redness commonly reported in double active and tDCS only groups. Burning sensation more commonly reported in double active than double sham group.8Koutsomitros et al., 202340Open-labelSupervised training by certified tES practitioner.Self-administered tDCS, remote monitoring of data within 24-hour timeframe each day by a trained clinician.tDCS combined with psychotherapy (n = 20) versus psychotherapy only (TAU; n = 20)Anode-F3; Cathode- F423021 sessions (once per day over 3 weeks)—Greater reduction in depressive symptoms, greater treatment response and remission rates in tDCS group compared to TAU group.Mild to moderate discomfort such as slight headache commonly reported. Most severe SEs were two instances of scalp pain. No serious AEs were reported.9Woodham et al., 2025a, Woodham et al., 2025b174RCTFirst session conducted under supervision of trained researcher.Self-administered tDCS, remote monitoring with real-time data use.tDCSAnode-F3; Cathode- F42305 sessions (once per day) for 3 weeks and thrice-weekly for 7 weeks (n = 36)Initial ramp up from 0 to 1 mA over 30 s then ramp down to 0 mA over 15 s. Same applied at end of session.Reduction in depressive symptoms measured by HDRS in active versus sham group.At the end of treatment, reports of skin irritation, trouble concentrating, and skin redness were more frequent in active than sham group. No group difference in other SEs and AEs such as headache, neck pain, scalp pain, itching, burning sensation, sleepiness or acute mood changes. Two patients in active group described ‘burns’ at the anode: no lesion or scarring were present. No serious AEs reported.10Gehrman et al., 2024255RCTNo information provided.Self-administered; no information provided.pulsed tACSThe squamous temporal bone above the posterior aspect of the zygomatic arch on either side of the head,2202 daily sessions for 4 weeksSame montage but did not deliver electrical stimulation.Intent-to-treat analysis showed no significant difference between groups. Significant improvements in the active vs sham group emerged in participants reporting twice-daily use every day in the first two weeks.Low AE rate. 19 participants in active group reported 34 events an 10 in sham group reported 13 events. Only one patient discontinued due to skin discomfort. No serious AEs reported.  Schizophrenia1Andrade, 20131Case reportNo information.Administered by medically qualified family member; no information on monitoring.tDCSAnode-F3; Cathode- midway between T3 and P3330Once to twice daily over a period of 3 years—Reduction in frequency and the clinical impact of hallucinations. Clinical effects were improved when increasing sessions from once to twice daily.No apparent AEs were reported.2.Schwippel et al., 20171Case reportSupervised training over multiple sessions.Self-administered tDCS; no information on home-based supervision.tDCSAnode-F4; Cathode- midway between T3 and P32203 sessions per week for first 6 months and then once per day onwards for 1 year (n = 400)—Patient experienced reliable relief during each tDCS session as a beneficial interruption of thecontinuous disturbances caused by the hallucinations. Significant improvement of quality of life reported.Long-term tDCS in the patient appeared safe, with no skin elsions under eelctrodes, no EEG-related abnormalities, no abnormalities or signs of brain damage using MRI, and no deterioration in cognitive abilities.3.Desousa, 2017Geriatric patient1Case reportTraining provided to family members.Delivered by trained family members; no information on home-based supervision.tDCSAnode-F3; Cathode- midway between T3 and P31 to 220–30Once per day for 3 months—A progressive and substantial reduction of auditory verbal hallucinations was observed over this period (up to 95% improvement).No SE reported.4.Le Bars et al., 2024Teenager with schizophrenia1Case reportTraining of patient and parent with a qualified nurse.Delivered by trained family members. Session monitoring was achieved using a follow-up sheet with a session schedule, systematic adverse effect screening, and a direct contact numbertDCSAnode-F3; Cathode- midway between T3 and P322010 sessions (twice per day for 5 consecutive days)—Reduction in Auditory Hallucinations Rating Scale at end of treatment and two-month follow-up. Auditory-verbal hallucinations were shorter and associated with less anxiety or attention disturbance.No major AEs were reported.5.Pathak et al., 20241Case reportOn-site training for caregiver by expert tDCS administrators.Caregiver-administered tDCS, video-call based remote monitoring by trainers/doctors for initial 3 days and sessions scheduled during working hours to ensure immediate availability of remote support if needed for the rest of the days.tDCSAnode-F3; Cathode- midway between T3 and P322010 days of home-based tDCS——Feasibility of home-based tDCS was supported.No AEs reported.  Other psychiatric conditions: Depression and anxiety in other disorders1.Mota et al., 2021;Temporal lobe epilepsy26RCTClinic-based training.Self-administered tDCS; on-demand remote supervision via social network, video and telephone calls during treatment.tDCSAnode-F3; Cathode- F422023 sessions (once per day for 5 days/week for 4 weeks and maintenance phase of once per week for 3 weeks)Maintenance stimulation was clinic-based.Sham tDCS but no information provided on the protocol.No group differences in depressive and anxiety symptom reduction between active and sham groups.No difference in reported AEs between groups. Both groups reported moderate or severe AEs such as headache, itching, tingling, neck pain, drowsiness, change in concentration or mood, or scalp redness. One patient in active group dropped out because of burning discomfort and pain on scalp.2.Kim et al., 2024:Mild Cognitive Impaiment37RCTOn-site training through a checklist.Self-administered tDCS; remotely monitored via a server at the hospital by the researchers.tDCSAnode-F3; Cathode- F423031 sessions (first one in clinic and the other 30 sessions once per day over 6 weeks as home-based)Sham tDCS but no information provided on the protocol.No group differences in depressive symptoms and cognitive function between active and sham tDCS. Active tDCS decreased delta activation and increased beta activation on EEG.No information on the reporting on SEs and AEs.3.Lee et al., 2022; Bipolar depression64RCTOn-site training by researcher with aid of instructions and videos related to use of tDCS.Self-administered tDCS; remote access to researcher through voice or video calls to resolve issues regarding device use.tDCSAnode-F3; Cathode- F4229Up to 42 sessions (once per day)After 30 s ramp-.up and 30 s ramp-down, device was turned off.No group differences in depressive symptoms between active and sham tDCS. Pain score higher in active than sham group.No difference in frequency of reported AEs between groups. No treatment-emergent affective switch episodes were reported during trial. There were 4 patients reporting suicidal ideation and 1 reporting an episode of aggressive behaviour.4.Rezaei et al., 2025Bipolar depression44Open-label trialHome-based real time guidance on device setup and usage through video call.Self-administered tDCS: remotely monitored via video call by research team member.tDCSAnode-F3; Cathode- F423021 sessions (once per day; 5 sessions per week over 3 weeks and 2 sessions per week for additional 3 weeks)—Significant improvement in overall quality of life at the end of treatment and remained elevated at 5-month (from baseline) follow-up. Changes were no longer significant after adjusting for depressive symptoms.No information on the reporting on SEs and AEs.  Other psychiatric conditions: Binge eating disorder1.Flynn et al., 202482RCTNo information on training.Self-administered tDCS; tele-supervised.tDCS combined with attention bias modification training (ABMT)Anode-F4; Cathode- F322010 sessions once per day over 2–3 weeksSame setup but active stimulation only for 60 s at start and at end of session.The active tDCS plus ABMT, sham tDCS plus ABMT, and ABMT groups all reduced binge-eating episodes, eating disorder symptoms and related psychopathology at 6-week follow-up compared to baseline, relative to waitlist control. Small-to-moderate effect sizes for change scores suggested superior effects of active tDCS paired with ABMT compared to comparatorsIncidence of SEs were not different between active tDCS and sham tDCS groups. Patients in active tDCS group reported mild discomfort during stimulation such as headache. Sham tDCS group reported negligible discomfort due to the stimulation.2.Elkfury et al., 202540RCTTraining and staff-assistance provided at first stimulation session.Self-administered tDCS; weekly scheduled online appointment with research staff to assess device’s functioning and 24/7 contact number in case of assistance.tDCS combined with nutritional counseling therapy (NCT)Anode-F4; Cathode- F322028 sessions (5 sessions per week for 4 weeks and 8 maintenance sessions once per week)Same setup, but current automatically turned off 20 s after start of stimulation.The active tDCS only, NCT only, active tDCS plus NCT, and sham tDCS plus NCT all showed reduction in binge eating scale during treatment and follow-up, without any group differences.No information on the reporting on SEs and AEs.  Other psychiatric conditions: Attention Deficit Hyperactivity Disorder1.Leffa et al., 202264RComprehensive training in device use.Self-administered tDCS; absence remote monitoring.tDCSAnode-F4; Cathode- F323028 sessions (once per day for 4 weeks)Same setup, 30-s ramp-up to 2 mA and 30-s ramp-down to 0 mA at the beginning, in the middle, and at the end of each session.Active group showed significant reductions in inattention symptoms compared to sham over the different assessment points.No severe or serious AEs were reported. Mild AEs were more common in active group, especially skin redness, headache, and scalp burn. One patient in sham group dropped out due to neck pain and 2 in the active group dropped out due to depressive symptoms and dizziness.Other psychiatric conditions: Obsessive Compulsive Disorder (OCD)1.Perera et al., 202325RCTSupervised training by experienced investigator.Self-administered tDCS; remote supervision and support via video and phone communication.Individualized tACS at 25 HzAFz and Iz1.5 peak-to-peak3048 sessions (Intensive phase: twice per day for 5 days/week for 3 weeks and Consolidation phase: once daily for 3 days/week for 3 weeks)Same setup, current at 1.5 mA only in first and last 2 min of session.Active tACS significantly reduced OCD symptoms from baseline to 6 weeks compared to sham. Trend-level effect maintained at 3-month follow-up.No serious AEs were observed. Eight patients reported minor AEs, such as headache, phosphene perception, tingling and itching beneath electrodes.Two studies Vogelmann et al. 2025 and Vogelmann and Baskonus, 2025 were not included in the table as the first is a comparative analysis between home-based and clinic-based tDCS and the second was a letter to editor rather than a study. The stimulation duration reported does not include ramp-up and ramp-down durations. The electrode positions are reported following the 10–20 EEG system. tDCS: transcranial direct current stimulation; tACS: transcranial alternating current stimulation; RCT: randomized controlled trials; TAU: treatment-as-usual; BDI-II: Beck Depression Inventory-II; HDRS: Hamilton Depression Rating Scale, 17-item version; MADRS: Montgomery-Åsberg Depression Rating Scale:\nSummary of studies cited in section on Home-based tES in Psychiatric Disorders.\nTwo studies Vogelmann et al. 2025 and Vogelmann and Baskonus, 2025 were not included in the table as the first is a comparative analysis between home-based and clinic-based tDCS and the second was a letter to editor rather than a study. The stimulation duration reported does not include ramp-up and ramp-down durations. The electrode positions are reported following the 10–20 EEG system. tDCS: transcranial direct current stimulation; tACS: transcranial alternating current stimulation; RCT: randomized controlled trials; TAU: treatment-as-usual; BDI-II: Beck Depression Inventory-II; HDRS: Hamilton Depression Rating Scale, 17-item version; MADRS: Montgomery-Åsberg Depression Rating Scale:\nWith a prevalence of approximately 4.4% of the global population, regardless of culture or living environment, MDD has received the greatest attention for the development of RS-tES interventions in psychiatry, especially in patients with treatment-resistant depression, which represents approximately 30% of the population.\nIn a first pilot study examining the safety, feasibility, and efficacy of RS-tES in major depression, two groups were compared. One received 20 sessions (n = 14), and the other received 28 sessions (n = 20) of once daily session of tDCS (2 mA, 30 min, F3-anode and F8-cathode). Participants were monitored via video link during the initial phase of the trial and subsequently through the completion of an online treatment diary. Beneficial clinical outcomes were comparable between the two groups and consistent with those observed in tDCS protocols conducted in clinical settings. Although the study required a certain level of manual dexterity and computer literacy, which could be challenging for some patients, protocol adherence was excellent, with a dropout rate of only 6% and 93% of scheduled sessions completed. These findings highlight a promising avenue for the development of self-administered RS-tES in patients with MDD (Alonzo et al., 2019). Although early studies suggested comparable tolerability between at-home and in-clinic tDCS administration in patients with MDD, more recent evidence indicates a higher frequency of adverse events associated with home-based tDCS as compared with in-clinic administration (Kumpf et al., 2023, Vogelmann and Baskonus, 2025, Vogelmann et al., 2025). In particular, the occurrence of several skin lesions led to a premature termination of a RCT (Kumpf et al., 2023), and comparative analyses showed that sessions with skin lesions were associated with higher impedances (Vogelmann and Baskonus, 2025, Vogelmann et al., 2025). In this case, the adverse events occurred in a context of insufficient safety monitoring, as sessions were not remotely supervised in real time. This underlines the need for implementing real-time remote supervision in home-based tDCS.\nBeneficial effects of home-based RS-tES delivered by a caregiver or study companion, rather than self-administered by the patient, have been reported in case series. For instance, beneficial effects were observed with tDCS applied using a multi-channel system (2 mA, 30 min, F3 anode, cathodes on FZ, FC5, and FP1, in a six-week trial, for a total 21 sessions) equipped with real-time monitoring to ensure the safety and efficacy of home-based stimulation in five elderly participants with MDD who completed the study (Cappon et al., 2021). Moreover, a recent open-label multicenter study including 35 participants demonstrated that the same individualized multi-channel RS-tDCS optimized by employing computational models of the electric field may improve depressive symptoms when self-administered in a home-based setting (Ruffini et al., 2024).\nAdditional case series have highlighted the potential clinical benefits of combining self-administered tDCS (2 mA, 30 min, anode F3, cathode F4) with behavioral therapy delivered via a smartphone application. Two studies from different groups of authors proposed to use the Flow™ Depression app that offers interactive, avatar-guided therapy sessions addressing key domains such as behavioral activation, sleep hygiene, healthy nutrition, and mindfulness-based meditation. The protocols consisted of an acute phase of daily sessions, five sessions per week during the first two weeks (Protocol 1) or the first three weeks (Protocol 2), followed by a maintenance phase of twice-weekly sessions for four or three weeks, respectively (18 or 21 sessions in total, for a total of six weeks) (Sobral et al., 2022, n = 7 patients; Borrione et al., 2021, n = 5 patients). However, the interest of combining behavioral therapy delivered via a smartphone application with unsupervised self-administered tDCS was not supported by a subsequent RCT involving 210 adults with MDD. In this study, tDCS was administered in 2 mA 30-minute prefrontal sessions for 15 consecutive weekdays (1 mA, 90-second duration for sham) and twice-weekly sessions for three weeks (Borrione et al., 2024). Another interesting RCT involving 40 participants proposed delivering 21 sessions of home-administered tDCS (anode F3/cathode F4, 2 mA, 30 min once per day) supervised through asynchronous daily monitoring by a trained clinician via a remote supervision platform. This approach, in contrast to real-time video monitoring, is designed to allow multiple patients to use their devices simultaneously, offering greater flexibility for both the patients and the clinicians (Koutsomitros et al., 2023).\nFinally, in a well-designed double-blind RCT including 87 patients in the active group and 87 in the sham group, Woodham et al. (2025b) showed that real-time, fully remotely supervised, home-based tDCS could be beneficial for patients with MDD with persistent symptoms at earlier stage of resistance, with or without antidepressant treatment (Woodham et al., 2025b). In this study, tDCS consisted of five sessions per week for three weeks, followed by three sessions per week for seven weeks, resulting in a 10-week treatment phase (2 mA, 30 min, anode F3, cathode F4). All study visits were carried out remotely, allowing the authors to monitor participants’ tDCS sessions in real time; a level of supervision that was not implemented in previous studies reporting negative results (e.g., Borrione et al., 2024). These findings were consistent with previous observations from an open-label pilot study conducted by the same group (Woodham et al., 2022) that also reported that long-term follow-up (until six months) demonstrated high and sustained clinical response rates, regardless of continued tDCS device use (Woodham et al., 2025b).\nOther tES parameters have also been tested. A fully remote triple-blind RCT evaluated home-based pulsed transcranial alternating current stimulation (tACS, two 20-min sessions daily for four weeks) in 255 adults with MDD (Gehrman et al., 2024). While the intent-to-treat analysis showed no significant difference between groups, significant improvements in the active vs sham group emerged in highly adherent participants, i.e., participants reporting twice-daily use every day in the first two weeks.\nSchizophrenia is another major psychiatric condition for which tES has been suggested as a potential treatment approach. Schizophrenia is a chronic and severe psychiatric disorder that affects approximately 0.7 to 1% of the world population. Clinically, schizophrenia is characterized by a broad range of symptoms, including positive symptoms such as hallucinations and delusions, and negative symptoms such as apathy, social withdrawal, and affect flattening. Despite the availability of antipsychotic medications, a significant proportion of patients still experience persistent symptoms and functional impairment, highlighting the need for adjunctive non-pharmacological interventions. In this context, several in-clinic RCTs have reported beneficial effects of tDCS on auditory hallucinations (e.g., Brunelin et al., 2012) and negative symptoms of schizophrenia (e.g., Valiengo et al., 2020).\nDespite these encouraging findings, the implementation of RS-tES in schizophrenia has progressed slowly. Interestingly, the earliest uses of home-based tES described in psychiatry were in patients with schizophrenia, with the first case reported as early as 2013, several years before similar work in depression. Despite these early attempts, limited research has been conducted on RS-tES in schizophrenia to date, with only a few published case reports and no RCT available.\nIn the first case, frontotemporal tDCS (3 mA, 30 min, anode F3, cathode T3P3) was delivered at home in a patient with continuous hallucinations refractory to clozapine, following a first period of in-clinic tDCS delivery (Andrade, 2013). tDCS was delivered by a family member of the patient who was medically qualified, over a total period of nearly three years. A significant reduction of the frequency and the clinical impact of hallucinations was observed. These clinical effects were improved when increasing sessions from once to twice daily. When subsequently reduced to once-daily, the therapeutic effects were maintained, and tDCS was continued with the frequency of daily sessions determined by the patient’s day-to-day needs. Interestingly, several protocol adjustments made during this longitudinal follow-up provide valuable insights for home use of tES. For instance, a loss of treatment efficacy was observed when the frequency of sessions was reduced to once in two days, when the family accidentally interchanged anode and cathode, and when a change in the caregiver led to a shift in electrode positioning. These relapse episodes show the importance of regular monitoring and strict adherence to stimulation parameters to ensure treatment reliability and safety.\nIn two subsequent cases, home-based tDCS treatment was implemented following an initial in-clinic tDCS delivery and thorough supervised training with the clinical staff. In the first case, at-home tDCS was delivered over a period of 1.5 years (400 sessions) using a reverse frontotemporal montage in a patient with multimodal hallucinations (2 mA, 20 min, anode T3P3, cathode F4, Schwippel et al., 2017). tDCS was delivered three times per week for the first six months and then increased to once-daily. During stimulation, the patient reported consistent relief from the distress and distraction associated with hallucinations, although no lasting reduction beyond the stimulation period was achieved. Safety assessments after long-term use, including neurological and neurocognitive evaluation, EEG recording, structural and diffusion-weighted MRI, and the measurement of a serum marker of neuronal damage, revealed no adverse effects. In the second case, a patient with treatment-resistant auditory hallucinations received daily sessions of frontotemporal tDCS (1 to 2 mA, 20 to 30 min, anode F3, cathode T3P3) at home for three months, delivered by trained family members (Desousa, 2017). A progressive and substantial reduction of hallucinations was observed over this period (up to 95% improvement), with no reported adverse effects.\nTwo more recent cases further illustrate the feasibility, efficacy, and safety of home-based frontotemporal tDCS (2 mA, 20 min, anode F3, cathode T3P3, twice-daily) for reducing auditory hallucinations in patients with schizophrenia (Le Bars et al., 2024, Pathak et al., 2024). In contrast to the earlier cases, these home-based tDCS treatments were shorter, lasting between 5 and 10 days. In the case of Le Bars et al. (2024), tDCS was delivered by the patient’s parents after a training consisting of a specialized consultation with a qualified nurse. Session monitoring was achieved using a follow-up sheet with a session schedule, systematic adverse effect screening, and a direct contact number. In the case of Pathak et al., a more comprehensive supervised training was provided to caregivers with educational videos, mannequin-based electrode placement practice, and in-person supervised sessions. Caregiver competency across five domains was assessed before and after training. Remote monitoring included video calls during the first three days to ensure safety and proper device use, after which caregivers administered sessions independently. Notably, Le Bars et al. (2024) also highlighted potential cost benefits, with home-based delivery under minimal remote supervision estimated at €231.74 compared with €1,153.37 for hospital-based delivery. However, higher levels of supervision, although increasing treatment costs, are also associated with improved safety (Vogelmann and Baskonus, 2025).\nCollectively, these cases support the feasibility, safety, and potential clinical benefit of RS-tDCS in schizophrenia. Nevertheless, further randomized controlled trials are needed.\nHome-based tDCS has also been tested to reduce depression and anxiety symptoms in other conditions, such as temporal lobe epilepsy (TLE; Mota et al., 2021) and patients with mild cognitive impairment (Kim et al., 2024). In TLE, 26 adults with depressive symptoms were randomized to receive either active or sham tDCS (2 mA, 20 min, anode F3, cathode F4) for 20 home-based sessions (five days/week for four weeks), followed by weekly in-clinic maintenance sessions for three weeks. Both interventions led to reductions in depressive symptoms, but no significant differences were found between groups.\nSome studies have also investigated the clinical relevance of RS-tES in patients with bipolar depression. Although an initial RCT did not observe the superiority of active tDCS over sham stimulation (Lee et al., 2022), an open-label study including 44 participants (21 sessions of home-based tDCS; 2 mA, 30 min, F3 anode/F4 cathode over six weeks) reported that RS-tDCS was associated with significant improvements in quality of life and functioning, which appeared to be closely related to reductions in depressive symptoms (Rezaei et al., 2025).\nTwo RCTs have reported the use of self-administered home-based bifrontal tDCS (2 mA, 20 min, anode F4, cathode F3) combined with behavioral interventions for binge eating disorder. In the first one, 82 participants with binge eating disorder received 10 tele-supervised sessions of either active tDCS combined with attention bias modification training, sham tDCS with attention bias modification training, attention bias modification training only, or waitlist control (Flynn et al., 2024). All interventions reduced binge eating episodes and eating disorder symptoms relative to waitlist, with the largest effects observed for active tDCS with attention bias modification training. In the second trial, 40 women with binge eating disorder received 28 sessions (20 intensive, five days/week, and eight maintenance, one day/week) of either active tDCS, nutritional counseling therapy (NCT), sham tDCS with NCT, or active tDCS with NCT (Elkfury et al., 2025). All interventions led to reductions in binge eating episodes, with no synergistic effects or significant differences between groups.\nIn a RCT investigating the efficacy of home-based tDCS (30 min, 2 mA, four weeks, anode F3, cathode F4) in 64 drug-free adults with ADHD, active tDCS significantly improved attention compared to sham treatment. The study suggests home-based tDCS as a safe, nonpharmacological option for managing ADHD-related inattention (Leffa et al., 2022).\nFinally, an RCT investigated the effects of self-administered home-based tACS at individualized alpha frequency in 25 patients with OCD (Perera et al., 2023). After initial supervised training, participants administered tACS (1.5  mA, 30 min, electrodes at AFz and Iz) at home with remote support via video and phone. Sessions were delivered during an intensive phase (twice daily, five days/week for three weeks) followed by a consolidation phase (once daily, three days/week for three weeks). Active tACS significantly reduced OCD symptoms compared to sham.\n\n\n### Major depressive disorder\nWith a prevalence of approximately 4.4% of the global population, regardless of culture or living environment, MDD has received the greatest attention for the development of RS-tES interventions in psychiatry, especially in patients with treatment-resistant depression, which represents approximately 30% of the population.\nIn a first pilot study examining the safety, feasibility, and efficacy of RS-tES in major depression, two groups were compared. One received 20 sessions (n = 14), and the other received 28 sessions (n = 20) of once daily session of tDCS (2 mA, 30 min, F3-anode and F8-cathode). Participants were monitored via video link during the initial phase of the trial and subsequently through the completion of an online treatment diary. Beneficial clinical outcomes were comparable between the two groups and consistent with those observed in tDCS protocols conducted in clinical settings. Although the study required a certain level of manual dexterity and computer literacy, which could be challenging for some patients, protocol adherence was excellent, with a dropout rate of only 6% and 93% of scheduled sessions completed. These findings highlight a promising avenue for the development of self-administered RS-tES in patients with MDD (Alonzo et al., 2019). Although early studies suggested comparable tolerability between at-home and in-clinic tDCS administration in patients with MDD, more recent evidence indicates a higher frequency of adverse events associated with home-based tDCS as compared with in-clinic administration (Kumpf et al., 2023, Vogelmann and Baskonus, 2025, Vogelmann et al., 2025). In particular, the occurrence of several skin lesions led to a premature termination of a RCT (Kumpf et al., 2023), and comparative analyses showed that sessions with skin lesions were associated with higher impedances (Vogelmann and Baskonus, 2025, Vogelmann et al., 2025). In this case, the adverse events occurred in a context of insufficient safety monitoring, as sessions were not remotely supervised in real time. This underlines the need for implementing real-time remote supervision in home-based tDCS.\nBeneficial effects of home-based RS-tES delivered by a caregiver or study companion, rather than self-administered by the patient, have been reported in case series. For instance, beneficial effects were observed with tDCS applied using a multi-channel system (2 mA, 30 min, F3 anode, cathodes on FZ, FC5, and FP1, in a six-week trial, for a total 21 sessions) equipped with real-time monitoring to ensure the safety and efficacy of home-based stimulation in five elderly participants with MDD who completed the study (Cappon et al., 2021). Moreover, a recent open-label multicenter study including 35 participants demonstrated that the same individualized multi-channel RS-tDCS optimized by employing computational models of the electric field may improve depressive symptoms when self-administered in a home-based setting (Ruffini et al., 2024).\nAdditional case series have highlighted the potential clinical benefits of combining self-administered tDCS (2 mA, 30 min, anode F3, cathode F4) with behavioral therapy delivered via a smartphone application. Two studies from different groups of authors proposed to use the Flow™ Depression app that offers interactive, avatar-guided therapy sessions addressing key domains such as behavioral activation, sleep hygiene, healthy nutrition, and mindfulness-based meditation. The protocols consisted of an acute phase of daily sessions, five sessions per week during the first two weeks (Protocol 1) or the first three weeks (Protocol 2), followed by a maintenance phase of twice-weekly sessions for four or three weeks, respectively (18 or 21 sessions in total, for a total of six weeks) (Sobral et al., 2022, n = 7 patients; Borrione et al., 2021, n = 5 patients). However, the interest of combining behavioral therapy delivered via a smartphone application with unsupervised self-administered tDCS was not supported by a subsequent RCT involving 210 adults with MDD. In this study, tDCS was administered in 2 mA 30-minute prefrontal sessions for 15 consecutive weekdays (1 mA, 90-second duration for sham) and twice-weekly sessions for three weeks (Borrione et al., 2024). Another interesting RCT involving 40 participants proposed delivering 21 sessions of home-administered tDCS (anode F3/cathode F4, 2 mA, 30 min once per day) supervised through asynchronous daily monitoring by a trained clinician via a remote supervision platform. This approach, in contrast to real-time video monitoring, is designed to allow multiple patients to use their devices simultaneously, offering greater flexibility for both the patients and the clinicians (Koutsomitros et al., 2023).\nFinally, in a well-designed double-blind RCT including 87 patients in the active group and 87 in the sham group, Woodham et al. (2025b) showed that real-time, fully remotely supervised, home-based tDCS could be beneficial for patients with MDD with persistent symptoms at earlier stage of resistance, with or without antidepressant treatment (Woodham et al., 2025b). In this study, tDCS consisted of five sessions per week for three weeks, followed by three sessions per week for seven weeks, resulting in a 10-week treatment phase (2 mA, 30 min, anode F3, cathode F4). All study visits were carried out remotely, allowing the authors to monitor participants’ tDCS sessions in real time; a level of supervision that was not implemented in previous studies reporting negative results (e.g., Borrione et al., 2024). These findings were consistent with previous observations from an open-label pilot study conducted by the same group (Woodham et al., 2022) that also reported that long-term follow-up (until six months) demonstrated high and sustained clinical response rates, regardless of continued tDCS device use (Woodham et al., 2025b).\nOther tES parameters have also been tested. A fully remote triple-blind RCT evaluated home-based pulsed transcranial alternating current stimulation (tACS, two 20-min sessions daily for four weeks) in 255 adults with MDD (Gehrman et al., 2024). While the intent-to-treat analysis showed no significant difference between groups, significant improvements in the active vs sham group emerged in highly adherent participants, i.e., participants reporting twice-daily use every day in the first two weeks.\n\n\n### Schizophrenia\nSchizophrenia is another major psychiatric condition for which tES has been suggested as a potential treatment approach. Schizophrenia is a chronic and severe psychiatric disorder that affects approximately 0.7 to 1% of the world population. Clinically, schizophrenia is characterized by a broad range of symptoms, including positive symptoms such as hallucinations and delusions, and negative symptoms such as apathy, social withdrawal, and affect flattening. Despite the availability of antipsychotic medications, a significant proportion of patients still experience persistent symptoms and functional impairment, highlighting the need for adjunctive non-pharmacological interventions. In this context, several in-clinic RCTs have reported beneficial effects of tDCS on auditory hallucinations (e.g., Brunelin et al., 2012) and negative symptoms of schizophrenia (e.g., Valiengo et al., 2020).\nDespite these encouraging findings, the implementation of RS-tES in schizophrenia has progressed slowly. Interestingly, the earliest uses of home-based tES described in psychiatry were in patients with schizophrenia, with the first case reported as early as 2013, several years before similar work in depression. Despite these early attempts, limited research has been conducted on RS-tES in schizophrenia to date, with only a few published case reports and no RCT available.\nIn the first case, frontotemporal tDCS (3 mA, 30 min, anode F3, cathode T3P3) was delivered at home in a patient with continuous hallucinations refractory to clozapine, following a first period of in-clinic tDCS delivery (Andrade, 2013). tDCS was delivered by a family member of the patient who was medically qualified, over a total period of nearly three years. A significant reduction of the frequency and the clinical impact of hallucinations was observed. These clinical effects were improved when increasing sessions from once to twice daily. When subsequently reduced to once-daily, the therapeutic effects were maintained, and tDCS was continued with the frequency of daily sessions determined by the patient’s day-to-day needs. Interestingly, several protocol adjustments made during this longitudinal follow-up provide valuable insights for home use of tES. For instance, a loss of treatment efficacy was observed when the frequency of sessions was reduced to once in two days, when the family accidentally interchanged anode and cathode, and when a change in the caregiver led to a shift in electrode positioning. These relapse episodes show the importance of regular monitoring and strict adherence to stimulation parameters to ensure treatment reliability and safety.\nIn two subsequent cases, home-based tDCS treatment was implemented following an initial in-clinic tDCS delivery and thorough supervised training with the clinical staff. In the first case, at-home tDCS was delivered over a period of 1.5 years (400 sessions) using a reverse frontotemporal montage in a patient with multimodal hallucinations (2 mA, 20 min, anode T3P3, cathode F4, Schwippel et al., 2017). tDCS was delivered three times per week for the first six months and then increased to once-daily. During stimulation, the patient reported consistent relief from the distress and distraction associated with hallucinations, although no lasting reduction beyond the stimulation period was achieved. Safety assessments after long-term use, including neurological and neurocognitive evaluation, EEG recording, structural and diffusion-weighted MRI, and the measurement of a serum marker of neuronal damage, revealed no adverse effects. In the second case, a patient with treatment-resistant auditory hallucinations received daily sessions of frontotemporal tDCS (1 to 2 mA, 20 to 30 min, anode F3, cathode T3P3) at home for three months, delivered by trained family members (Desousa, 2017). A progressive and substantial reduction of hallucinations was observed over this period (up to 95% improvement), with no reported adverse effects.\nTwo more recent cases further illustrate the feasibility, efficacy, and safety of home-based frontotemporal tDCS (2 mA, 20 min, anode F3, cathode T3P3, twice-daily) for reducing auditory hallucinations in patients with schizophrenia (Le Bars et al., 2024, Pathak et al., 2024). In contrast to the earlier cases, these home-based tDCS treatments were shorter, lasting between 5 and 10 days. In the case of Le Bars et al. (2024), tDCS was delivered by the patient’s parents after a training consisting of a specialized consultation with a qualified nurse. Session monitoring was achieved using a follow-up sheet with a session schedule, systematic adverse effect screening, and a direct contact number. In the case of Pathak et al., a more comprehensive supervised training was provided to caregivers with educational videos, mannequin-based electrode placement practice, and in-person supervised sessions. Caregiver competency across five domains was assessed before and after training. Remote monitoring included video calls during the first three days to ensure safety and proper device use, after which caregivers administered sessions independently. Notably, Le Bars et al. (2024) also highlighted potential cost benefits, with home-based delivery under minimal remote supervision estimated at €231.74 compared with €1,153.37 for hospital-based delivery. However, higher levels of supervision, although increasing treatment costs, are also associated with improved safety (Vogelmann and Baskonus, 2025).\nCollectively, these cases support the feasibility, safety, and potential clinical benefit of RS-tDCS in schizophrenia. Nevertheless, further randomized controlled trials are needed.\n\n\n### Other psychiatric conditions\nHome-based tDCS has also been tested to reduce depression and anxiety symptoms in other conditions, such as temporal lobe epilepsy (TLE; Mota et al., 2021) and patients with mild cognitive impairment (Kim et al., 2024). In TLE, 26 adults with depressive symptoms were randomized to receive either active or sham tDCS (2 mA, 20 min, anode F3, cathode F4) for 20 home-based sessions (five days/week for four weeks), followed by weekly in-clinic maintenance sessions for three weeks. Both interventions led to reductions in depressive symptoms, but no significant differences were found between groups.\nSome studies have also investigated the clinical relevance of RS-tES in patients with bipolar depression. Although an initial RCT did not observe the superiority of active tDCS over sham stimulation (Lee et al., 2022), an open-label study including 44 participants (21 sessions of home-based tDCS; 2 mA, 30 min, F3 anode/F4 cathode over six weeks) reported that RS-tDCS was associated with significant improvements in quality of life and functioning, which appeared to be closely related to reductions in depressive symptoms (Rezaei et al., 2025).\nTwo RCTs have reported the use of self-administered home-based bifrontal tDCS (2 mA, 20 min, anode F4, cathode F3) combined with behavioral interventions for binge eating disorder. In the first one, 82 participants with binge eating disorder received 10 tele-supervised sessions of either active tDCS combined with attention bias modification training, sham tDCS with attention bias modification training, attention bias modification training only, or waitlist control (Flynn et al., 2024). All interventions reduced binge eating episodes and eating disorder symptoms relative to waitlist, with the largest effects observed for active tDCS with attention bias modification training. In the second trial, 40 women with binge eating disorder received 28 sessions (20 intensive, five days/week, and eight maintenance, one day/week) of either active tDCS, nutritional counseling therapy (NCT), sham tDCS with NCT, or active tDCS with NCT (Elkfury et al., 2025). All interventions led to reductions in binge eating episodes, with no synergistic effects or significant differences between groups.\nIn a RCT investigating the efficacy of home-based tDCS (30 min, 2 mA, four weeks, anode F3, cathode F4) in 64 drug-free adults with ADHD, active tDCS significantly improved attention compared to sham treatment. The study suggests home-based tDCS as a safe, nonpharmacological option for managing ADHD-related inattention (Leffa et al., 2022).\nFinally, an RCT investigated the effects of self-administered home-based tACS at individualized alpha frequency in 25 patients with OCD (Perera et al., 2023). After initial supervised training, participants administered tACS (1.5  mA, 30 min, electrodes at AFz and Iz) at home with remote support via video and phone. Sessions were delivered during an intensive phase (twice daily, five days/week for three weeks) followed by a consolidation phase (once daily, three days/week for three weeks). Active tACS significantly reduced OCD symptoms compared to sham.\n\n\n### Depression and anxiety in other disorders\nHome-based tDCS has also been tested to reduce depression and anxiety symptoms in other conditions, such as temporal lobe epilepsy (TLE; Mota et al., 2021) and patients with mild cognitive impairment (Kim et al., 2024). In TLE, 26 adults with depressive symptoms were randomized to receive either active or sham tDCS (2 mA, 20 min, anode F3, cathode F4) for 20 home-based sessions (five days/week for four weeks), followed by weekly in-clinic maintenance sessions for three weeks. Both interventions led to reductions in depressive symptoms, but no significant differences were found between groups.\nSome studies have also investigated the clinical relevance of RS-tES in patients with bipolar depression. Although an initial RCT did not observe the superiority of active tDCS over sham stimulation (Lee et al., 2022), an open-label study including 44 participants (21 sessions of home-based tDCS; 2 mA, 30 min, F3 anode/F4 cathode over six weeks) reported that RS-tDCS was associated with significant improvements in quality of life and functioning, which appeared to be closely related to reductions in depressive symptoms (Rezaei et al., 2025).\n\n\n### Binge eating disorder\nTwo RCTs have reported the use of self-administered home-based bifrontal tDCS (2 mA, 20 min, anode F4, cathode F3) combined with behavioral interventions for binge eating disorder. In the first one, 82 participants with binge eating disorder received 10 tele-supervised sessions of either active tDCS combined with attention bias modification training, sham tDCS with attention bias modification training, attention bias modification training only, or waitlist control (Flynn et al., 2024). All interventions reduced binge eating episodes and eating disorder symptoms relative to waitlist, with the largest effects observed for active tDCS with attention bias modification training. In the second trial, 40 women with binge eating disorder received 28 sessions (20 intensive, five days/week, and eight maintenance, one day/week) of either active tDCS, nutritional counseling therapy (NCT), sham tDCS with NCT, or active tDCS with NCT (Elkfury et al., 2025). All interventions led to reductions in binge eating episodes, with no synergistic effects or significant differences between groups.\n\n\n### Attention Deficit Hyperactivity Disorder (ADHD)\nIn a RCT investigating the efficacy of home-based tDCS (30 min, 2 mA, four weeks, anode F3, cathode F4) in 64 drug-free adults with ADHD, active tDCS significantly improved attention compared to sham treatment. The study suggests home-based tDCS as a safe, nonpharmacological option for managing ADHD-related inattention (Leffa et al., 2022).\n\n\n### Obsessive Compulsive Disorder (OCD)\nFinally, an RCT investigated the effects of self-administered home-based tACS at individualized alpha frequency in 25 patients with OCD (Perera et al., 2023). After initial supervised training, participants administered tACS (1.5  mA, 30 min, electrodes at AFz and Iz) at home with remote support via video and phone. Sessions were delivered during an intensive phase (twice daily, five days/week for three weeks) followed by a consolidation phase (once daily, three days/week for three weeks). Active tACS significantly reduced OCD symptoms compared to sham.\n\n\n### Home-based tES in neurological disorders\nNeurological disorders are today the leading cause of illness and disability across the globe. In 2021, these disorders affected 3.4 billion individuals and caused 11.1 million deaths worldwide (GBD 2021 Nervous System Disorders Collaborators, 2024). The prevalence of these conditions is forecasted to grow exponentially in the forthcoming decades (GBD 2019 Dementia Forecasting Collaborators, 2022). Neurological disorders, including neurotraumatic and neurodegenerative diseases, comprise a broad spectrum of conditions that impact the central or peripheral nervous system. These disorders can manifest through a range of symptoms, including sensory and motor impairments, cognitive deficits, and seizures. The complexity of their causes, the variability in disease manifestation, and their often progressive course create substantial challenges for patients, caregivers, and healthcare professionals. The use of tES, particularly tDCS, displays exciting potential for reducing neurological burden and delaying disease progression (Antal et al., 2022, Brown and Brown, 2022, Cammisuli et al., 2021). tES treatment protocols commontly entail daily stimulation sessions over several weeks, necessitating regular visits to the clinic. In this section, we will delve into the currently available evidence of different home-based tES methods across varied neurological conditions. The evidence of safety and clinical efficacy as well as the stimulation protocols of the studies cited in this section is summarized in Table 2.Table 2Summary of studies cited in section on Home-based tES in neurological disorders.#AuthorNStudy designTraining sessionAdministration/monitoringtES typeElectrode positionIntensity (mA)Duration# of sessionsSham protocolMajor findingSide effect (SE)/adverse event (AE)Cognitive impairments (Vascular dementia, Alzheimer’s disease (AD), Mild cognitive impairment)1André et al., 2016Mild vascular dementia21RCTNo information provided.No information provided.tDCSAnode-F3; Cathode- F42204 consecutive sessions once per daySetup was same, stimulator was turned off after patients felt initial tingling sensation for 8 s.Active group showed improved visual short-term memory, verbal working memory, and executive control compared to the sham group.No AEs were reported.2Martorella et al., 2023Alzheimer’s disease related dementia40RCTTraining by research team.Caregiver-administered tDCS; remote supervision.tDCSAnode-C3; Cathode- FP22205 sessions (once per day for 5 days)Setup was same, only 30-s ramp-up at the beginning and the end.Active group reported clinically meaningful moderate reduction in clinical pain intensity compared to sham group.No SEs or AEs were reported.3Park et al., 2024AD-related dementia40RCTNo information provided.Caregiver-administered tDCS; remote supervision at scheduled times on weekdays.tDCSAnode-C3; Cathode- FP22205 consecutive sessions once per day (Monday to Friday)Setup was same, but only 30-s exposure to 2 mA current.Greater immediate reduction in scratching behavior was noted in the active group compared to sham. In addition, the active group had a significant impact on reducing the severity and frequency of appetite/eating behaviors and the severity of nighttime behaviors such as disrupted sleep-wake cycle, nighttime wakefulness, and daytime sleepiness compared to sham, with differences noted at three-month post-interventionNo information on the reporting on SEs and AEs.4Tippett et al., 2024Frontotemporal dementia1Case reportOn-site training by experimenter.Self-administered tDCStDCS combined with computerized cognitive trainingAnode-F3; Cathode- F4No informationNo information46 sessions (once per day over 10 weeks)—Clinically significant improvement in global cognition on the Mini-Mental State Exam as well as improvements in language tasks such as syntactic comprehension, semantic processing, and word repetition accuracy following treatment.No AEs were reported.5Im et al., 2019Early-stage AD18RCTTraining of caregiver.Caregiver-administered tDCS; no information on remote supervision, patient logs were checked at follow-ups.tDCSAnode-F3; Cathode- F4229Daily for 6 months (exact number of sessions not specified)Setup was same, 30 s ramp-up to 2 mA and 30 s ramp-down to 0 mA.Active tDCS improved global cognition level and language function, but not delayed recall performance, in patients with early-stage AD compared to sham.No information on the reporting on SEs and AEs.6Grønli et al., 2022AD8Open-label trialClinic-based training of caregiver and participant.Caregiver-administered tDCS; home visit by study leader within 4 days after study started and another 2 home visits and 3 phone calls during 4-month period to check for tDCS feasibility and SEs.tDCSAnode-T7; Cathode- F4230≥ 55 (max. 118) sessions (once per day over 4 months)—tDCS did not improve global cognition, attention, language ability, verbal memory, and visuospatial function.None of the participants reported SEs apart from a slight tingling in the area surrounding the electrodes during the 30-min treatment. No participant discontinued stimulation due to SEs.7Bréchet et al., 2021AD-related dementia2Case seriesLab-based training of caregiver following a competency checklist.Caregiver-administered tACS; remote supervision including the possibility for real-time videoconference with research staff.Multichannel tACS at 40 HzAnodes- CP3, C1; Cathodes-T7, C3, P3, P7Target: left angular gyrus (BA39/40)4 (total injected current in montage)2070 sessions (once per day for 5 days per week for 14 weeks)—Both participants exhibited an improvement in the testing completed every 2 weeks as compared with baseline.Reported SEs such as tingling and burning sensations were mild. Few occurences of headache and one occurrence of difficulty concentrating. No skin lesions were present.8Cappon et al., 2023AD8Open-label trialThree-day on-site training of study companion by trained research staff.Study companion-administered tACS; remote monitoring of progression during each session via a smart tablet. On demand remote assistance available.Multichannel tACS at 40 HzAnodes- CP3, C1; Cathodes-T7, C3, P3, P7Target: left angular gyrus (BA39)Max. 2 mA for each electrode2094 to 134 sessions (acute phase: once per day over 14 weeks [min 5 sessions and max 7 sessions per week], hiatus phase of no stimulation for 12 weeks, and maintenance phase: 2–3 sessions per week for 12 weeks.—All participants demonstrated memory enhancement at the end of the acute phase compared to baseline, which was maintained after both the hiatus and the maintenance phase.Mild SEs were reported during 25% of sessions, moderate during 5%, and severe during 1%. No AEs were reported.9Altomare et al., 2023AD60RCT (Protocol paper)Clinic-based training of study companion by experienced study team member during 5 sessions, and skills test.Study companion-administered tACS; remote monitoring through verification of stimulation codes and through video calls to check setup. Study team member also available 24/7 by phone for eventual concerns or AEs.tACS at 40 HzPz (precuneus), right deltoid muscle260Protocol 1: 80 sessions (once per day 5 times per week [Mon-Fri] over 16 weeks)Protocol 2: 40 sessions of sham tDCS over 8 weeks (once per day 5 times per week[Mon-Fri]), followed by 40 sessions of active tDCS over 8 weeks (once per day 5 times per week [Mon-Fri])Same setup, current will be discontinued 5 s after start of stimulation.Larger improvement of cognition, entrainment of gamma oscillations, increased functional connectivity, reduction of pathological burden, and increased cholinergic transmission expected in group receiving Protocol 1 compared to Protocol 2.Frequency and severity of AEs will be assessed.  Stroke1Mortensen et al., 2016Haemorrhagic stroke with upper-limb motor impairment15RCTNo information provided.No information provided.tDCS combined with occupational therapyAnode-ipsilesional C3 or C4; Cathode- contralesional FP2 or FP11.5205 consecutive sessions (once per day)Same setup, 30-s fade in/fade out sequence at the beginning of the session.Active group improved grip strength, without any difference in the measure for motor activities for daily living compared to the group receiving sham tDCS paired with occupational therapy. The group difference in grip strength was maintained at the one-week follow-up.Only mild transient AEs, such as itching, tingling, burning sensation, headache and sleepiness were reported. AEs were reported in both groups, but were more prominent in the active group.2.Prathum et al., 2022Post-stroke with lower- and upper-limn motor impairment24RCTTraining of participant and caregiver in use of tDCS for home application.Self −administered tDCS with assistance of caregiver/ researcher; feedback provided by researcher for the first 3 home-based treatment sessions while visiting the participants at their residence.tDCS following 60 min of home-based exerciseAnode-ipsilesional C3 or C4; Cathode- contralesional C3 or C422012 sessions (once per day 3 times a week for 4 weeks)Same setup, current applied for first 30 s and then automatically stopped.Greater motor recovery in both upper and lower limbs in active group compared to the sham group at immediate and 1-month follow-ups. Improvements in lower-limb functional tasks and strength (knee and elbow extensors) were seen only in the active group, while no significant differences were found between groups for upper-limb functional tasks. IOnly mild tDCS-related AEs were reported, including tingling, itching, burning sensation, and headache.3.Richardson et al., 2023Stroke-induced aphasia2Open-label trialIn-person training of participant in home use.Self-administeredtDCS combined with computerized cognitive trainingAnode-F3; Cathode- F422010 sessions (once per day 5 times a week [Mon-Fri] for 2 weeks)—More real words and more relevant words in the post-treatment productions compared to pre-treatment.No response on AE and tolerability questionnaire that prompted response.4.Ko et al., 2022Post-stroke cognitive impairment26RCTClinic-based training of participant and/or caregiver through instruction and application of the setup.Self- or caregiver-administered tDCS; remote supervision: first home-based session supervised by research physician, telephone monitoring 3 times per week andtDCS combined with computerized cognitive trainingAnode-F3; Cathode- F423020 sessions (once per day 5 times per week over 4 weeks)Same setup, the stimulator was turned on for only 10 s, during which the current intensity gradually increased and then decreased until it diminished.A significant improvement in general cognitive function using the Montreal Cognitive Assessment, but not in other cognitive tests, was observed in the active, but not the sham group after the intervention phase, with larger improvements in patients with moderate rather than mild cognitive impairment.No serious AEs were reported. No incidents due to unskilled tDCS application or inappropriate stimulation.  Other neurological disorders1.Neophytou et al., 2024Primary progressive aphasia (PPA)7RCT (within-subject randomization)In-person training of caregiver.Caregiver-administered tDCS; real-time remote supervision via videocalls for all sessions.tDCS combined with verbal short-term/working memory treatmentAnode-CP3 (left supramarginal gyrus); Cathode- right cheek22010 sessions (once per day over two weeks)Same setup; 30 s ramp-up for sham to 2 mA and immediate ramp-down to 0 mA.Active tDCS paired with the memory treatment showed a significant effect in improving verbal short-term memory abilities and generalization of this effect to other language abilities, namely, spelling (both real words and pseudowords) and learning (retention and delayed recall) compared to sham combined with memory treatment.No AEs reported in all patients. Only reported SEs were an initial tingling or itching sensation, reported for both conditions.2.George et al., 2025PPA10Case seriesNo information available.Self-administered tDCS with caregiver support if needed; remotely supervised.tDCS combined with personalized word-retrieval trainingAnode-F7; Cathode- O123020 sessions (once per day over 4 weeks)PWRT is 45 min—Enhanced naming accuracy on trained items and confrontation naming, pointing towards a potential offset of lexical retrieval decline in PPA.No serious AE reported. Mild sensations of tingling and warmth at the initiation of the sessions. No session was discontinued due to tolerability issues.3.Pilloni et al., 2024Multiple sclerosis with hand impairment65RCTTraining of participant either in-person or remote for device orientation, training, and tolerability testing.Self-administered tDCS; real-time remote supervision using secure telehealth videocalls.tDCS combined with manual dexterity trainingAnode-C3; Cathode- FP222020 sessions (once per day overSame setup; ramp-up/down period of target 2.0 mA electrical current for the initial and final 60 sActive tDCS group showed larger enhancements in manual dexterity, sensory function, and multiple sclerosis-related quality of life compared to the sham group.Tingling was most frequently reported sensation, followed by itching and warmth sensations. No sessions were stopped due to tolerability issues. Participants reported discomfort > 7 on VAS in only 6 sessions.4.Madhavan et al., 2025ALS14RCTHands-on training of participant and care-giver following checklist to ensure competency in remote tDCS use.Self-/caregiver-administered tDCS; real-time video monitoring by researcher.tDCSAnode- Lower limb motor cortex; Cathode- contralateral supraorbital region220Protocol 1: 72 sessions (once per day 3 times per week over 24 weeks)Protocol 2, delayed start: 36 sessions of sham tDCS over 12 weeks (once per day 3 times per week), followed by 36 sessions of active tDCS over 12 weeks (once per day 3 times per week)No information on sham protocol.The intervention group exhibited a slower decline in disease severity than the delayed-start group.No serious AEs present in either group. Itching and tingling were most common SEs with no group difference in frequency. No group difference in occurrence of SEs.5.Cha et al., 2016Mal de Débarquement Syndrome (MDS)23RCTThree face-to-face training sessions in presence.Self-administered tDCS; remote monitoring via webcam session or pictures of cap position. Daily check-in by patient on personalized web links.tDCS following 5 sessions of 10 Hz rTMSAnode-F3; Cathode- F4 for right-handed individuals and reversed for left-handed ones.12020 sessions (once per day 5 times a week for 4 weeks)Same setup; 60 s real stimulation given at the beginning of the session with a ramp down.Active group exhibited significant reductions in the degree of rocking perception and anxiety levels following the post-intervention compared to sham tDCS after the rTMS treatment.SEs were mild and not different between active and sham tDCS. There were no episodes of skin burns.6.Cha et al., 2021MDS13Open-label trialOne-to-one online training of participants for three sessions.Self-administered tDCS; remote monitoring through device and online monitoring. No real-time staff supervision was present after the training sessions.Alpha tACSFronto-occipital montage with 2 electrodes for anti-phase.For in-phase, two electrodes on scalp and return electrode on left arm.2 (anti-phase) or 4 mA (in-phase)2030 to 165 sessions (5 sessions per week for 4 to 31 weeks, followed by a taper phase: steady reduction in number of sessions by one session every week)—Seven participants indicated agreement or strong agreement with the statement that the tACS treatment was beneficial in a blinded survey. During the debriefing interview conducted two to nine months after the final stimulation, five participants described their condition as”great”, experiencing no or minimal symptoms; four reported feeling”good”, with moderate symptoms; and four noted no change from their pre-study baselineMain SEs included headache, itching, tiredness, and tingling mostly at a level of 3 or less out of 10. One report of 10/10 headache always score not higher than 2 for headache in other sessions. Participants also reported metallic taste in mouth, teeth tingling, phosphine and a sense of head pulsing. No SE was severe enough to discontinue stimulation session.7.Mota et al., 2021Temporal lobe epilepsy with depressive symptoms26RCTOn-site training of participant in tDCS use.Self-administered tDCS; real-time monitoring by research team personnel via an internet communication system.tDCSAnode-F3; Cathode- F422023 sessions (once per day over 4 weeks, followed by maintenance phase: once per week for 3 weeks)Same setup; 30 s of progressive pacing (15 s 0–2 mA and 15 s 2–0 mA) at the beginning, middle and end of the applicationNo differences were observed in depressive and anxious symptoms between active and sham groups.No increase in seizure frequency during the treatment month compared to month prior to treatment. Moderate or severe AE such as itching, tingling, scalp redness, headache, neck pain, drowsiness, or change in mood or concentration was observed.  Chronic pain1.Brietzke et al., 2020Fibromyalgia20RCTClinic-based training by qualified clinician.Self-administered tDCS; remote monitoring via messaging or through WhatsApp to contact the researcher at any time.tDCSAnode-F3; Cathode- F423060 sessions (once per day 5 times a week for 12 weeks)Same setup, 15-s ramp-up (0–2 mA), then a 15-s ramp-down until the current intensity was switched off.Active group reduced pain intensity and analgesic drug use compared to sham.No significant difference in cumulative occurrence of burning, itchiness, tingling, and redness is not different between the active and sham groups. The cumulative incidence of neck pain, headache, mood swings, and concentration difficulties were higher in sham than active group. All SEs were classified as mild.2.Caumo et al., 2022Fibromyalgia48RCTClinic-based training of patient in device use.Self-administered tDCS; remote monitoring through weekly communication with patients by researcher via WhatsApp and in case of doubts or problems with device, can contact researcher by WhatsApp at any time.tDCSAnode-F3; Cathode- F422020 sessions (once per day 5 days a week over 4 weeks)Same setup, device was programmed to offer 30 s of stimulation at the beginning, after 10, and after 20 min during the session.Active tDCS reduced the Pain Catastrophizing Scale total scores by 51.38% compared to 26.96% in sham group, and reduced Profile of Chronic Pain: Screen total scores by 31.43% compared to 19.15% sham group. The active group improved depressive symptoms, sleep quality and increased the heat pain toleranceOccurrence of tingling, burning, and redness was higher in active compared to sham group. Higher incidence of burning sensation classified as severe in active group. Most SEs were classified as mild, even in participants who discontinued treatment due to a burning sensation.3.Caumo et al., 2024Fibromyalgia102RCTClinic-based training of patient in device use.Self-administered tDCS; remote monitoring through weekly communication with patients by researcher via WhatsApp and in case of doubts or problems with device, can contact researcher by WhatsApp at any time.tDCSArm 1: Anode- F3; Cathode- F4Arm 2: Anode: C3; Cathode- FP222020 sessions (once per day 5 days a week over 4 weeks)Same setup, device was programmed to offer 30 s of stimulation at the beginning, after 10, and after 20 min during the session.Superior effects of PreCC-tDCS on pain and disability with a large effect size compared to sham tDCS, while it only moderately reduces pain when applied to DLPFC-tDCS.Significant difference in burning sensation (classified as severe in active tDCS) between active and sham groups. Incidence of most SEs were similar between groups. Most SEs were classified as mild or moderate, even in patients who discontinued treatment due to a burning sensation.4.Jornada et al., 2024Fibromyalgia102RCTClinic-based training of patient in device use.Self-administered tDCS; remote monitoring through weekly communication with patients by researcher via WhatsApp and in case of doubts or problems with device, can contact researcher by WhatsApp at any time.tDCSArm 1: Anode- F3; Cathode- F4Arm 2: Anode: C3; Cathode- FP222020 sessions (once per day 5 days a week over 4 weeks)Same setup, device was programmed to offer 30 s of stimulation at the beginning, after 10, and after 20 min during the session.DLPFC-tDCS had a greater impact than anodal PreCC-tDCS on food craving and uncontrolled eating, while PreCC-tDCS was more effective at improving the general symptoms related to fibromyalgia.SEs were generally mild to moderate.5.Serrano et al., 2022Fibromyalgia36RCTClinic-based training of patient in device useSelf-administered tDCS; first session at home remotely supervised by research team member. If participant had questions or issues with device, they could contact the research team via WhatsApp anytime.tDCSAnode- F3; Cathode- F422020 sessions (once per day 5 days a week over 4 weeks)Same setup, device was programmed to offer 30 s of stimulation at the beginning, after 10, and after 20 min during the session.Active tDCS improved cognitive performance with large effect size at end of treatment. Compared to sham, active group exhibited improved performance in working memory, verbal and phonemic fluency, and quality of life.No group difference in AEs such as headache, tingling, burning, redness, and itching. Both groups reported mild SEs and no patients discontinued therapy due to uncomfortable SEs.6.Ramasawmy et al., 2024Fibromyalgia37RCTTwo training sessions in the clinic for setting up and operating the device.Self-administered tDCS; remote group supervision via Zoom by trained interventionist.tDCS combined with mindfulness meditationAnode: C3; Cathode- FP2219 min 23 s10 sessions (once per day 5 times a week [Mon-Fri] over 2 weeks)Same setup, 17 s ramp-up (0–2 mA), 17 s ramp-down to 0.3 mA, 0.3 mA constant current for 19 min 23 s, and 3 s ramp-down at the end of the session.Active tDCS paired with meditation did not show superior benefits in reducing pain intensity, affective pain level, psychological distress, and negative affect, or in improving quality of life and sleep quality, compared to sham tDCS combined with meditation group.No group different in SE occurrences between treatment groups. Most commonly reported SE and AE were skin redness beneath electrodes and headache respectively. No participant discontinued stimulation due to AE or SE. No serious AE was reported.7.Caumo et al., 2025Fibromyalgia112RCTTraining of participant on how to use the device.Self-administered tDCS; remote supervision for initial home-based session and weekly contact through WhatsApp. Participants can contact research team for assistance.tDCS combined with exercise and pain neuroscience education (PNE)Anode- F3; Cathode- F422020 sessions (once per day 5 times a week over 4 weeks)Same setup, device was programmed to offer 30 s of stimulation at the beginning, after 10, and after 20 min during the session.Active tDCS on the left DLPFC combined with exercise and PNE reduced pain severity, disability, and pain interference, particularly in participants prone to a placebo responseThe most common AE for active tDCS vs sham tDCS were pain in the stimulation area, tingling, and burning. Headache was more frequent in patients in the sham tDCS vs active group, whereas sleepiness and mood changes were more common in the active tDCS vs sham group. Most symptoms were similar across groups and were classified as mild to moderate, even in those who discontinued due to burning8.Lee et al., 2025Older adults with Knee osteoarthritis120RCTComprehensive training of participants by research staff at baseline.Self-administered tDCS; remote monitoring in real time via secure video conferencing.tDCSAnode- M1; Cathode- SOPFC (hemisphere not specified)22015 sessions (once per day 5 times a week over 3 weeks)Same setup; stimulator was only activated for 30  s at the beginning and end of the session.Active tDCS was more effective in simultaneously improving pain intensity, pain interference, and pain catastrophizing compared to sham.No significant SEs were reported.9.Martorella et al., 2022Older adults with Knee osteoarthritis120RCTTraining of participants by research staff at baseline.Self-administered tDCS; real-time remote supervision via videoconference.tDCSAnode- M1; Cathode- SOPFC (hemisphere not specified)22015 sessions (once per day over 3 weeks)Same setup; the stimulator only delivered 2 mA current for 30 sActive tDCS significantly reduced pain intensity compared to sham tDCS following treatment.No serious AEs were reported.10.Suchting et al., 2020Older adults with Knee osteoarthritis19Open-labelTraining of participants by trained research staff at baseline.Self-administered tDCS; real-time remote supervision via secured videoconferencetDCSAnode- M1; Cathode- SOPFC (hemisphere not specified)22010 sessions (once per day 5 times a week [Mon-Fri] over 2 weeks)—Nonparametric tests demonstrated significant improvements to QST measurements from baseline to end of treatment for seven out of 11 QST measures, with small to moderate effect sizes.No information on the reporting on SEs and AEs.11.Ahn et al., 2019Knee osteoarthritis30RCTTraining of participants by trained research staff at baseline.Self-administered tDCS; real-time remote supervision via secured videoconferencetDCS combined with mindfulness meditationAnode- M1 contralateral to affected knee; Cathode- SOPFC ipsilateral to affected knee22010 sessions (once per day 5 times a week [Mon-Fri] over 2 weeks)Same setup; stimulator was only activated for 30  s at the beginning and end of the session.Active tDCS paired with active meditation reduced clinical pain and clinical symptoms as well as increased pressure pain thresholds and conditioned pain modulation compared to sham tDCS paired with sham mindfulness meditation.All participants tolerated combined intervention well without experiencing any serious AEs. No participants reported any SEs associated with the treatment (e.g., itching, burning, headache, fatigue, nervousness, dizziness, or difficulty concentrating).12.Carvalho et al., 2018Neuropathic pain1Case reportTraining of participant and caretaker.Self-/caretaker-administered tDCS; real-time monitoring by research team personnel via an internet communication systemtDCSAnode- M1; Cathode- SOPFC2205 consecutive sessions (once per day)—No worsening of symptoms were noted.Only minor and transient AEs such as scalp burn sensation, tingling, and skin redness were reported.13.Pérez-Borrego et al., 2014Neuropathic pain1Case reportClinic-based training of caregiver.Caregiver-administered tDCS; real-time remote supervision via videoconferencetDCSAnodes- C3, C4; cathode- forehead1.520Weekly home-based tDCS session—Good pain control.No information on the reporting on SEs and AEs.14.Garcia-Larrea et al., 2019Neuropathic pain12Case series (sham-controlled and double-blinded)Clinic-based training of patient for 5 days of sham tDCS.Self-administered tDCS; real-time monitoring via server by hospital staff.tDCSAnode- motor region contralateral to pain (C3/C4 for upper limb pain, C1/C2 for lower limb pain, C5/C6 for facial pain); cathode- FP1/FP2 contralateral to anode2 mA and reduced to 1.5 mA if it was uncomfortable for patient2025 sessions (once per day 5 days a week: 1 week sham followed by 4 weeks of active tDCS)Same setup; stimulator was only activated for 30  s at the beginning and end of the session.6 patients experienced a satisfactory improvement based on a combined measure that included pain levels, medication use, and quality of life. Daily pain reports correlated with such combined assessment, and differentiated responders from non-responders without overlap. Clinical improvement in responders could last up to 6 months.No serious AE were reported. Superficial burning at electrode position occurred in 2 patients, and nausea/headache in 2 others, all of whom wished to continue the stimulation.15.O’Neill et al., 2018Neuropathic pain24RCT (double crossover design)Clinic-based training of participant.Self-administered tDCS; no adequate information about monitoring.tDCSAnodal stimulation: anode- motor hotspot during TMS mapping contralateral to pain; cathode: supraorbital area contralateral to anode. Reversed for cathodal stimulation.1.4205 consecutive sessions (once per day) for each intervention block, with a min 2-week washout periodSame setup as M1 anodal tDCS; a constant current of 1.4 mA was delivered only for 5 s (30-second ramp on).No significant changes in overall pain, anxiety, depression, or quality of life measurement between sham vs anodal tDCS, sham vs cathodal tDCS or anodal vs cathodal tDCS.Tingling and skin redness were reported during both active and sham stimulations. One patient reported a sharp increase in pain after sham stimulation and withdrew from the study. Five patients reported headache following treatment, which lasted for ∼ 2 h and occurred in both active and sham stimulations. Two patients reported an exacerbation of paresthesia experienced in the affected area at 4-week follow-up.16.Antal et al., 2025a, Antal et al., 2025b, Antal et al., 2025cCancer-related pain450RCT (protocol paper)Clinic-based training of patient and/or caregiver by trained study personnel.Self- or caregiver-administered tES;tDCS, 10 Hz tACStDCS: Anode: C3; Cathode- FP2tACS: F3, F42 (peak-to-peak for tACS)2015 consecutive sessions (once per day)Same setup; Sham tDCS: 15 s direct current ramp-up to 2 mA, 15 s ramp-down to 0.05 mA, 1130 s of 85 Hz sinusoidal current at 0.05 mA, at the beginning and end of the sessionSham tACS: 15 s 10 Hz sinusoidal alternating current ramp-up to 2 mA, 15 s ramp-down to 0.05 mA, and 1130 s of 85 Hz sinusoidal current at 0.05 mA, at the beginning and end of the sessionCompared to sham, tDCS and tACS will reduce clinical pain and associated symptoms as well as improve quality of life and global functioning. tDCS might have a stronger effect on pain intensity, while tACS can have a stronger effect of decreasing stress, emotional processing of pain and improving quality of life.Occurrence of any SE or AE will be reported.Systematic reviews and meta-analysis were excluded from the table. The stimulation duration reported does not include ramp-up and ramp-down durations. The electrode positions are reported following the 10–20 EEG system. tDCS: transcranial direct current stimulation; tACS: transcranial alternating current stimulation; rTMS: repetitive transcranial magnetic stimulation; RCT: randomized controlled trials; PPA: Primary progressive aphasia; ALS: Amyotrophic Lateral Sclerosis; MDS: Mal de Débarquement Syndrome; DLPFC: dorsolateral prefrontal cortex; PreCC: precentral cortex; BA: Brodmann’s Area; M1: primary motor cortex; SOPFC: supraorbital prefrontal cortex; tES: transcranial electrical stimulation.\nSummary of studies cited in section on Home-based tES in neurological disorders.\nSystematic reviews and meta-analysis were excluded from the table. The stimulation duration reported does not include ramp-up and ramp-down durations. The electrode positions are reported following the 10–20 EEG system. tDCS: transcranial direct current stimulation; tACS: transcranial alternating current stimulation; rTMS: repetitive transcranial magnetic stimulation; RCT: randomized controlled trials; PPA: Primary progressive aphasia; ALS: Amyotrophic Lateral Sclerosis; MDS: Mal de Débarquement Syndrome; DLPFC: dorsolateral prefrontal cortex; PreCC: precentral cortex; BA: Brodmann’s Area; M1: primary motor cortex; SOPFC: supraorbital prefrontal cortex; tES: transcranial electrical stimulation.\nThe application of home-based tES in Alzheimer’s disease (AD) and AD-related dementia (ADRD) has been studied. André et al. (2016) tested the therapeutic potential of four 20-minute sessions of 2 mA anodal at-home tDCS applied to the left dorsolateral prefrontal cortex (DLPFC) (F3/F4 montage based on 10–20 EEG system) in 21 patients with mild vascular dementia. Patients who received the active stimulation demonstrated improved visual short-term memory, verbal working memory, and executive control compared to the sham group.\nFive 20-minute sessions of 2 mA anodal RS-tDCS targeting the left precentral cortex (PreCC, also corresponding to the primary motor cortex, M1) (C3/FP2 montage) were conducted to evaluate its analgesic (Martorella et al., 2023) and neuropsychiatric (Park et al., 2024) effects in 40 patients with ADRD. Participants in the active group reported a clinically relevant moderate reduction in pain intensity compared to the sham group. Similar observations were noted in the caregiver-rated perceived clinical pain intensity in the patients, but with a larger difference between active and sham groups. However, these group differences were not maintained at the three-month follow-up (Martorella et al., 2023). A significantly greater immediate reduction in scratching behavior was noted in the active tDCS intervention group compared to sham. In addition, the active group had a significant impact on reducing the severity and frequency of appetite/eating behaviors and the severity of nighttime behaviors such as disrupted sleep-wake cycle, nighttime wakefulness, and daytime sleepiness compared to sham, with differences noted at three-month post-intervention (Park et al., 2024).\nGiven the dose dependency of the net neuroplastic and behavioral effects of tDCS, multiple studies have also tested the potential of prolonged stimulation periods up to six months. A case report in a patient with frontotemporal dementia by Tippett et al. (2024) showed clinically significant improvement in global cognition on the Mini-Mental State Exam as well as improvements in language tasks such as syntactic comprehension, semantic processing, and word repetition accuracy following 46 sessions of anodal tDCS of the left DLPFC (F3/F4 montage) combined with computerized cognitive training.\nDaily 30-minute sessions of 2 mA anodal at-home tDCS targeting the left DLPFC (F3/F4 montage) over six months improved global cognition level and language function, but not delayed recall performance in patients with early-stage AD (n = 12) compared to sham (n = 8) (Im et al., 2019). In another study in AD, 55 or more 30-minute sessions of 2 mA anodal home-based tDCS targeting the left temporal lobe (T7/F4 montage, n = 8) over four months was ineffective in improving global cognition, attention, language ability, verbal memory, and visuospatial function at a four-month follow-up (Grønli et al., 2022).\nDespite the extensive, growing body of literature on the potential of tACS in cognitive enhancement in both healthy and diseased populations (Biačková et al., 2024, Wischnewski et al., 2023), only few studies have addressed the efficacy of tACS protocols in neurological conditions. A case series, which included two ADRD patients, to assess the feasibility and tolerability of 70 sessions of 40 Hz home-based tACS administered by a caregiver and under remote supervision showed an improvement in memory every two weeks compared to baseline (Bréchet et al., 2021). Cappon et al. (2023) conducted an open-label study including eight patients with AD testing the effects of multi-channel 40 Hz home-based tACS targeting the left angular gyrus. The intervention included an acute phase comprising a daily 20-minute tACS session over 14 weeks (minimum five sessions and maximum seven sessions per week), a hiatus phase of no stimulation for 12 weeks, and a subsequent maintenance phase of 12 weeks with two to three tACS sessions per week. All participants demonstrated memory enhancement at the end of the acute phase compared to baseline, which was maintained after both the hiatus and the maintenance phase. Nevertheless, the lack of control groups impedes the interpretation of the findings as caused by the stimulation protocol. A randomized clinical trial (RCT) is currently being conducted to test the therapeutic and mechanistic effects of 80 60-minute sessions of 40 Hz at-home tACS targeting the precuneus, applied once per day over 16 weeks, compared to 40 Hz tACS over 8 weeks (Altomare et al., 2023).\nAnother debilitating neurological condition is stroke, which is exponentially increasing due to an aging population and a higher number of young people affected in low- and middle-income countries (Katan and Luft, 2018, Tsao et al., 2023). Kocahasan et al. (2025) conducted a scoping review summarizing the feasibility, safety, and preliminary effects of remotely supervised home-based tDCS in post-stroke recovery. Two randomized clinical trials studied the efficacy of at-home tDCS as an adjunct therapy for motor recovery. (Mortensen et al., 2016) applied five consecutive daily 20-minute sessions of 1.5 mA home-based anodal tDCS targeting the ipsilesional PreCC/M1 simultaneously applied with occupational therapy in hemorrhagic stroke patients with upper-limb motor impairment. Patients in the active group (n = 8) exhibited significantly improved grip strength, without any difference in the measure for motor activities for daily living compared to the group receiving sham tDCS paired with occupational therapy (n = 7). The group difference in grip strength was maintained at the one-week follow-up.\nPrathum et al. (2022) included patients with both post-stroke lower- and upper-limb motor impairment in a RCT with a matched-pair design. The participants received a one-hour home-based exercise, following either 20 min of 2 mA anodal home-based tDCS targeting the ipsilesional primary upper-limb motor cortex or sham tDCS three times a week for four weeks. The active tDCS group showed significantly greater motor recovery in both upper and lower limbs compared to the sham group at immediate and 1-month follow-ups, based on Fugl-Meyer assessment scores. Improvements in lower-limb functional tasks and strength (knee and elbow extensors) were seen only in the active group, while no significant differences were found between groups for upper-limb functional tasks. Interestingly, ankle dorsiflexor and hip flexor strength increased only in the sham group. While two investigations examined the effects of repeated at-home tDCS in patients with post-stroke aphasia, none of them could comment on the preliminary efficacy of the intervention on improving language abilities when combined with cognitive training and physical exercise (Pilloni et al., 2022) or computerized language treatment (Richardson et al., 2023). Finally, Ko et al. (2022) conducted an RCT combining 20 30-minute sessions of 2 mA at-home anodal RS-tDCS over the left DLPFC (F3/F4 montage) delivered over four weeks and computerized cognitive training to reduce post-stroke cognitive impairment. A significant improvement in general cognitive function using the Montreal Cognitive Assessment, but not in other cognitive tests, was observed in the active, but not the sham group after the intervention phase, with larger improvements in patients with moderate rather than mild cognitive impairment.\nMoreover, the preliminary efficacy of home-based tDCS has also been investigated in other disorders such as primary progressive aphasia (PPA), multiple sclerosis, amyotrophic lateral sclerosis (ALS), and TLE.\nA single 20-minute session of 2 mA anodal delivered daily for 10 sessions over two weeks via at-home RS-tDCS directed to the left supramarginal gyrus coupled with verbal short-term/working memory treatment in seven patients with PPA showed a significant improvement in short-term/working memory ability as well as in other language abilities such as spelling, retention, and delayed recall (Neophytou et al., 2024). Each participant underwent a randomized crossover of sham and active stimulation. These effects were not observed in the group receiving sham tDCS combined with the memory treatment. Recently, a case series study in eight patients with PPA testing the effects of a single 30-minute daily session (20 sessions) of 2 mA anodal home-based RS-tDCS targeting the left interior frontal gyrus (F7/O1 montage) over four weeks concurrently applied with a 45-minute personalized word retrieval training has shown enhanced naming accuracy on trained items and confrontation naming, pointing towards a potential offset of lexical retrieval decline in PPA (George et al., 2025). Another study tested the effects of home-based RS-tDCS in multiple sclerosis by comparing 20 sessions of 2 mA of daily anodal tDCS over the left PreCC/M1 (C3/FP2) combined with manual dexterity training to sham tDCS paired with the training in 65 patients with hand impairment (Pilloni et al., 2024). The active tDCS group showed larger enhancements in manual dexterity, sensory function, and multiple sclerosis-related quality of life compared to the sham group. Furthermore, Madhavan et al. (2025) compared the therapeutic benefits of 72 20-minute sessions of 2 mA remotely supervised anodal tDCS targeting the left primary motor cortex representing the lower limbs (the stimulation being delivered thrice per week over 24 weeks) to 36 sessions of sham tDCS over 12 weeks, followed by 36 sessions of anodal tDCS with the same parameters over 12 weeks (delayed start) in 14 patients with ALS. The intervention group exhibited a slower decline in disease severity than the delayed-start group, suggesting a potential positive impact of repeated prolonged tDCS on slowing disease progression.\nInterestingly, the therapeutic benefits of home-based repeated tES have also been studied in the Mal de Débarquement Syndrome, a rare vestibular disorder involving a false perception of movement and rocking dizziness. In Cha et al. (2016), participants who received twenty 20-minutes sessions of 1 mA anodal tDCS targeting the left DLPFC (F3/F4 montage) following five sessions of 10 Hz rTMS over the left DLPFC exhibited significant reductions in the degree of rocking perception and anxiety levels following the intervention compared to sham tDCS after the rTMS treatment. A more recent study from the same research group evaluated the impact of prolonged home-based tACS in medically refractory Mal de Débarquement Syndrome in a remotely supervised open-label clinical trial (Cha et al., 2021). The stimulation therapy included five sessions of alpha tACS per week for four to 31 weeks, followed by a four-week taper phase (with a steady reduction in the number of sessions by one session every week). Two electrodes were placed in a fronto-occipital montage delivering either in-phase alpha tACS at 4 mA or anti-phase alpha tACS at 2 mA, while a return electrode was placed on the left arm. Out of the 13 participants, seven in the blinded survey indicated agreement or strong agreement with the statement that the tACS treatment was beneficial. During the debriefing interview conducted two to nine months after the final stimulation, five participants described their condition as”great”, experiencing no or minimal symptoms; four reported feeling”good”, with moderate symptoms; and four noted no change from their pre-study baseline. Furthermore, while a stimulation intervention consisting of 20 sessions of bifrontal anodal home-based tDCS at 2 mA (F3/F4 montage) for 20 min daily over four weeks, followed by a maintenance period of three weeks with stimulation in the laboratory once per week, was shown to be feasible and safe in patients with TLE, no significant differences were observed in depressive and anxious symptoms between active and sham groups (Mota et al., 2021).\nChronic pain is characterized by pain usually lasting more than three months and therefore lacks the acute warning function of physiological nociception (Treede et al., 2015). Chronic pain can be categorized as chronic primary pain, in which the pain is considered a distinct disease entity (such as fibromyalgia), or as chronic secondary pain, where the pain results from an underlying medical condition (such as neuropathic pain) (Treede et al., 2015). While chronic pain frequently involves neurological mechanisms like central sensitization, its multifaceted nature including its diverse etiologies, among which non-neurological causes and psychosocial influences, does not allow for its classification as a neurological disorder (Borsook, 2012). Given the underlying complex mechanisms of chronic pain, its multidimensional impact, and heterogeneity in treatment response, its management remains a clinical challenge, with a heavy financial burden on healthcare systems (Wang and Doan, 2024). The repeated application of anodal tDCS targeting the PreCC or DLPFC has demonstrated therapeutic benefits in terms of pain relief, reduction of psychological and affective impairment, and disease-related disability across different chronic pain conditions, including neuropathic pain and fibromyalgia (Fregni et al., 2021, Lefaucheur et al., 2017, Wen et al., 2022). Home-based tES provides an avenue for improving accessibility of the neurotechnology to patients with higher adherence to prolonged stimulation paradigms, optimally carried out under remote supervision.\nIn a recent systematic review and meta-analysis, (Antonioni et al., 2024) analyzed nine RCTs including 446 patients with different chronic pain conditions such as fibromyalgia, knee osteoarthritis, chronic headache, neuropathic pain, and chronic pain in ADRD, with studies included until September 2023. In the meta-analysis, it was found that repeated anodal tDCS in a home-based delivery model may lead to large and clinically meaningful improvement in pain intensity at the end of the intervention (standard mean difference −0,95; low certainty), but only minor non-clinically relevant pain relief at short-term follow-up (SMD −0.50; moderate certainty). No studies explored the application of home-based tACS in chronic pain.\nThe most studied chronic pain disorder in the field of home-based tDCS is fibromyalgia. Fibromyalgia syndrome is a heterogeneous primary pain condition, characterized by persistent and widespread non-inflammatory musculoskeletal chronic pain. Fibromyalgia affects a significant portion of the global population, with a mean estimated prevalence of 2.7%, and is three times more prevalent in women than in men (Marques et al., 2017, Sarzi-Puttini et al., 2020). FM-associated symptoms commonly include sleep disturbances, fatigue, cognitive impairments, and psychological problems, such as depression and anxiety (Wolfe et al., 2010). A subgroup analysis in the review of Antonioni et al. (2024) included four RCTs in fibromyalgia with 170 participants and showed that repeated home-based tDCS may produce large and clinically meaningful improvement in pain intensity (standard mean difference −1.00; low certainty). A group led by Wolnei Caumo in Brazil first showed in a sham-controlled study on 20 patients with fibromyalgia (10 active, 10 sham) that 60 home-based active tDCS sessions were able to significantly decrease pain intensity as well as analgesic drug use (by 55%). Higher brain-derived neurotrophic factor (BDNF) serum levels were predictive (Brietzke et al., 2020). In a second sham-controlled study on 48 patients with fibromyalgia (32 active, 16 sham), 20 home-based tDCS sessions were able to reduce pain catastrophism, again in correlation with BDNF serum level decrease (Caumo et al., 2022). Both studies were based on anodal tDCS protocol delivered over the left DLPFC. In the last two years, two additional RCTs were published by the same group, implementing home-based tDCS in fibromyalgia. Caumo et al. (2024) compared the efficacy of 20 sessions of 2 mA anodal home-based tDCS targeting the left DLPFC (F3/F4 montage) over four weeks to tDCS over the left PreCC (C3/FP2 montage) in relation to sham in 102 patients with fibromyalgia. They found superior effects of PreCC-tDCS on pain and disability with a large effect size compared to sham tDCS, while it only moderately reduces pain when applied to DLPFC-tDCS. PreCC-tDCS was effective in increasing the heat pain threshold and improving the function of the descending pain inhibitory system. A secondary analysis of the study investigated the effects of tDCS on emotional eating (Jornada et al., 2024), which is a common coping mechanism for alleviating pain-related distress in fibromyalgia (Elkfury et al., 2021). Comparing anodal tDCS and sham independent of target, active stimulation significantly reduced uncontrolled eating, emotional eating, food craving, and waist circumference with large effect sizes. Interaction analyses to address the impact of fibromyalgia symptoms in patients with respect to the stimulation area demonstrated that anodal tDCS of the left DLPFC had a greater impact than anodal PreCC-tDCS on food craving and uncontrolled eating, while PreCC-tDCS was more efficacious at improving the general symptoms related to fibromyalgia. A mechanistic sub-analysis of the study (Alves et al., 2024) revealed that DLPFC-tDCS enhanced beta-3 band connectivity between the left insula and bilateral primary somatosensory cortex, which correlated with sleep quality. In contrast, PreCC-tDCS increased delta band coherence between the right insula and left DLPFC, linked to pain catastrophizing. These findings suggest that home-based anodal tDCS modulates neural connections involved in the emotional and attentional aspects of pain, primarily at lower resting-state EEG frequencies. This modulation of neural oscillations may serve as a marker of its effectiveness in alleviating fibromyalgia symptoms. The same group also showed that cognitive performance, such as working memory and verbal fluency, could be improved in patients with fibromyalgia following home-based anodal tDCS sessions over the left DLPFC (Serrano et al., 2022).\nCombinations of home-based tDCS with other non-pharmacological interventions have also been implemented with the goal of enhancing therapeutic benefits in fibromyalgia patients. 10 20-minute sessions of anodal home-based tDCS directed to the left PreCC (C3/FP2 montage) paired with mindfulness meditation did not show superior effects in reducing pain intensity, affective pain level, psychological distress, and negative affect, or in improving quality of life and sleep quality, compared to the group receiving sham tDCS coupled with mindfulness meditation in patients trained in mindfulness (Ramasawmy et al., 2024). However, in a more recent study, Caumo et al. (2025) showed that 20 sessions of 2 mA anodal tDCS delivered with a bi-prefrontal montage (anode on the left DLPFC and cathode on the right DLPFC) over four weeks in combination with exercise and educational guidance decreased pain intensity, disability, and interference, especially in patients prone to a placebo response. The therapeutic benefits of the combined intervention lasted up to three months. Along the line of therapy optimization, an ongoing RCT is being conducted, testing the therapeutic and mechanistic effects of one week of “accelerated” anodal home-based tDCS at 2 mA (15 20-minute tDCS sessions, three sessions per day separated by 2–4 h) comparing targeting anodal tDCS targeting the left PreCC (C3/FP2 montage) versus left DLPFC (F3/F4 montage) in patients with fibromyalgia (https://drks.de/search/de/trial/DRKS00036965).\nAddressing other chronic pain disorders, a recent RCT (the largest trial in chronic pain to date, with 123 patients) tested the analgesic efficacy of 15 20-minute sessions of 2 mA anodal tDCS targeting the left PreCC (C3/FP2) in older adults with knee osteoarthritis and found that active stimulation was more effective in simultaneously improving pain intensity, pain interference, and pain catastrophizing compared to sham (Lee et al., 2025). The same group, led by Hyochol Ahn previously reported that home-based tDCS sessions could also reduce experimental pain sensitivity in older adults with knee osteoarthritis (Martorella et al., 2022, Suchting et al., 2020). They also reported that 10 sessions of combining 2 mA anodal RS-tDCS over the PreCC contralateral to the affected knee with mindfulness meditation significantly reduced pain intensity and sensitivity and increased conditional pain modulation, compared to the sham intervention of similar duration pairing sham tDCS with sham meditation (Ahn et al., 2019).\nIn the context of neuropathic pain, following two case reports (Carvalho et al., 2018, Pérez-Borrego et al., 2014), home-based RS-tDCS protocol delivered with the anode over the PreCC has been proposed in a series of 12 patients (20% sham) (Garcia-Larrea et al., 2019). Daily tDCS sessions were performed during five weeks, and 6 out of the 12 patients achieved satisfactory relief. Clinical improvement in responders could last up to six months. In contrast, another study did not show benefit of five consecutive daily sessions of anodal PreCC-tDCS self-administered at home by 24 patients who had been previously treated by rTMS (13 responders) (O’Neill et al., 2018).\nFinally, the PAINLESS-TreatCANCERPAIN project, the largest multicenter RCT to date in chronic pain, is currently ongoing, aiming to recruit 450 patients with cancer-related chronic pain and being the first to compare different tES modalities (Antal et al., 2025b). Its goal is to test the preliminary efficacy and underlying mechanisms of 15 20-minute sessions of daily 2 mA anodal home-based tDCS directed to left PreCC (C3/FP2 montage), compared to daily 10 Hz tACS with a bifrontal montage (F3/F4 montage) at a peak-to-peak current intensity of 2 mA in cancer-related pain.\n\n\n### Cognitive impairments (vascular dementia, Alzheimer’s disease, mild cognitive impairment)\nThe application of home-based tES in Alzheimer’s disease (AD) and AD-related dementia (ADRD) has been studied. André et al. (2016) tested the therapeutic potential of four 20-minute sessions of 2 mA anodal at-home tDCS applied to the left dorsolateral prefrontal cortex (DLPFC) (F3/F4 montage based on 10–20 EEG system) in 21 patients with mild vascular dementia. Patients who received the active stimulation demonstrated improved visual short-term memory, verbal working memory, and executive control compared to the sham group.\nFive 20-minute sessions of 2 mA anodal RS-tDCS targeting the left precentral cortex (PreCC, also corresponding to the primary motor cortex, M1) (C3/FP2 montage) were conducted to evaluate its analgesic (Martorella et al., 2023) and neuropsychiatric (Park et al., 2024) effects in 40 patients with ADRD. Participants in the active group reported a clinically relevant moderate reduction in pain intensity compared to the sham group. Similar observations were noted in the caregiver-rated perceived clinical pain intensity in the patients, but with a larger difference between active and sham groups. However, these group differences were not maintained at the three-month follow-up (Martorella et al., 2023). A significantly greater immediate reduction in scratching behavior was noted in the active tDCS intervention group compared to sham. In addition, the active group had a significant impact on reducing the severity and frequency of appetite/eating behaviors and the severity of nighttime behaviors such as disrupted sleep-wake cycle, nighttime wakefulness, and daytime sleepiness compared to sham, with differences noted at three-month post-intervention (Park et al., 2024).\nGiven the dose dependency of the net neuroplastic and behavioral effects of tDCS, multiple studies have also tested the potential of prolonged stimulation periods up to six months. A case report in a patient with frontotemporal dementia by Tippett et al. (2024) showed clinically significant improvement in global cognition on the Mini-Mental State Exam as well as improvements in language tasks such as syntactic comprehension, semantic processing, and word repetition accuracy following 46 sessions of anodal tDCS of the left DLPFC (F3/F4 montage) combined with computerized cognitive training.\nDaily 30-minute sessions of 2 mA anodal at-home tDCS targeting the left DLPFC (F3/F4 montage) over six months improved global cognition level and language function, but not delayed recall performance in patients with early-stage AD (n = 12) compared to sham (n = 8) (Im et al., 2019). In another study in AD, 55 or more 30-minute sessions of 2 mA anodal home-based tDCS targeting the left temporal lobe (T7/F4 montage, n = 8) over four months was ineffective in improving global cognition, attention, language ability, verbal memory, and visuospatial function at a four-month follow-up (Grønli et al., 2022).\nDespite the extensive, growing body of literature on the potential of tACS in cognitive enhancement in both healthy and diseased populations (Biačková et al., 2024, Wischnewski et al., 2023), only few studies have addressed the efficacy of tACS protocols in neurological conditions. A case series, which included two ADRD patients, to assess the feasibility and tolerability of 70 sessions of 40 Hz home-based tACS administered by a caregiver and under remote supervision showed an improvement in memory every two weeks compared to baseline (Bréchet et al., 2021). Cappon et al. (2023) conducted an open-label study including eight patients with AD testing the effects of multi-channel 40 Hz home-based tACS targeting the left angular gyrus. The intervention included an acute phase comprising a daily 20-minute tACS session over 14 weeks (minimum five sessions and maximum seven sessions per week), a hiatus phase of no stimulation for 12 weeks, and a subsequent maintenance phase of 12 weeks with two to three tACS sessions per week. All participants demonstrated memory enhancement at the end of the acute phase compared to baseline, which was maintained after both the hiatus and the maintenance phase. Nevertheless, the lack of control groups impedes the interpretation of the findings as caused by the stimulation protocol. A randomized clinical trial (RCT) is currently being conducted to test the therapeutic and mechanistic effects of 80 60-minute sessions of 40 Hz at-home tACS targeting the precuneus, applied once per day over 16 weeks, compared to 40 Hz tACS over 8 weeks (Altomare et al., 2023).\n\n\n### Stroke\nAnother debilitating neurological condition is stroke, which is exponentially increasing due to an aging population and a higher number of young people affected in low- and middle-income countries (Katan and Luft, 2018, Tsao et al., 2023). Kocahasan et al. (2025) conducted a scoping review summarizing the feasibility, safety, and preliminary effects of remotely supervised home-based tDCS in post-stroke recovery. Two randomized clinical trials studied the efficacy of at-home tDCS as an adjunct therapy for motor recovery. (Mortensen et al., 2016) applied five consecutive daily 20-minute sessions of 1.5 mA home-based anodal tDCS targeting the ipsilesional PreCC/M1 simultaneously applied with occupational therapy in hemorrhagic stroke patients with upper-limb motor impairment. Patients in the active group (n = 8) exhibited significantly improved grip strength, without any difference in the measure for motor activities for daily living compared to the group receiving sham tDCS paired with occupational therapy (n = 7). The group difference in grip strength was maintained at the one-week follow-up.\nPrathum et al. (2022) included patients with both post-stroke lower- and upper-limb motor impairment in a RCT with a matched-pair design. The participants received a one-hour home-based exercise, following either 20 min of 2 mA anodal home-based tDCS targeting the ipsilesional primary upper-limb motor cortex or sham tDCS three times a week for four weeks. The active tDCS group showed significantly greater motor recovery in both upper and lower limbs compared to the sham group at immediate and 1-month follow-ups, based on Fugl-Meyer assessment scores. Improvements in lower-limb functional tasks and strength (knee and elbow extensors) were seen only in the active group, while no significant differences were found between groups for upper-limb functional tasks. Interestingly, ankle dorsiflexor and hip flexor strength increased only in the sham group. While two investigations examined the effects of repeated at-home tDCS in patients with post-stroke aphasia, none of them could comment on the preliminary efficacy of the intervention on improving language abilities when combined with cognitive training and physical exercise (Pilloni et al., 2022) or computerized language treatment (Richardson et al., 2023). Finally, Ko et al. (2022) conducted an RCT combining 20 30-minute sessions of 2 mA at-home anodal RS-tDCS over the left DLPFC (F3/F4 montage) delivered over four weeks and computerized cognitive training to reduce post-stroke cognitive impairment. A significant improvement in general cognitive function using the Montreal Cognitive Assessment, but not in other cognitive tests, was observed in the active, but not the sham group after the intervention phase, with larger improvements in patients with moderate rather than mild cognitive impairment.\n\n\n### Other neurological disorders\nMoreover, the preliminary efficacy of home-based tDCS has also been investigated in other disorders such as primary progressive aphasia (PPA), multiple sclerosis, amyotrophic lateral sclerosis (ALS), and TLE.\nA single 20-minute session of 2 mA anodal delivered daily for 10 sessions over two weeks via at-home RS-tDCS directed to the left supramarginal gyrus coupled with verbal short-term/working memory treatment in seven patients with PPA showed a significant improvement in short-term/working memory ability as well as in other language abilities such as spelling, retention, and delayed recall (Neophytou et al., 2024). Each participant underwent a randomized crossover of sham and active stimulation. These effects were not observed in the group receiving sham tDCS combined with the memory treatment. Recently, a case series study in eight patients with PPA testing the effects of a single 30-minute daily session (20 sessions) of 2 mA anodal home-based RS-tDCS targeting the left interior frontal gyrus (F7/O1 montage) over four weeks concurrently applied with a 45-minute personalized word retrieval training has shown enhanced naming accuracy on trained items and confrontation naming, pointing towards a potential offset of lexical retrieval decline in PPA (George et al., 2025). Another study tested the effects of home-based RS-tDCS in multiple sclerosis by comparing 20 sessions of 2 mA of daily anodal tDCS over the left PreCC/M1 (C3/FP2) combined with manual dexterity training to sham tDCS paired with the training in 65 patients with hand impairment (Pilloni et al., 2024). The active tDCS group showed larger enhancements in manual dexterity, sensory function, and multiple sclerosis-related quality of life compared to the sham group. Furthermore, Madhavan et al. (2025) compared the therapeutic benefits of 72 20-minute sessions of 2 mA remotely supervised anodal tDCS targeting the left primary motor cortex representing the lower limbs (the stimulation being delivered thrice per week over 24 weeks) to 36 sessions of sham tDCS over 12 weeks, followed by 36 sessions of anodal tDCS with the same parameters over 12 weeks (delayed start) in 14 patients with ALS. The intervention group exhibited a slower decline in disease severity than the delayed-start group, suggesting a potential positive impact of repeated prolonged tDCS on slowing disease progression.\nInterestingly, the therapeutic benefits of home-based repeated tES have also been studied in the Mal de Débarquement Syndrome, a rare vestibular disorder involving a false perception of movement and rocking dizziness. In Cha et al. (2016), participants who received twenty 20-minutes sessions of 1 mA anodal tDCS targeting the left DLPFC (F3/F4 montage) following five sessions of 10 Hz rTMS over the left DLPFC exhibited significant reductions in the degree of rocking perception and anxiety levels following the intervention compared to sham tDCS after the rTMS treatment. A more recent study from the same research group evaluated the impact of prolonged home-based tACS in medically refractory Mal de Débarquement Syndrome in a remotely supervised open-label clinical trial (Cha et al., 2021). The stimulation therapy included five sessions of alpha tACS per week for four to 31 weeks, followed by a four-week taper phase (with a steady reduction in the number of sessions by one session every week). Two electrodes were placed in a fronto-occipital montage delivering either in-phase alpha tACS at 4 mA or anti-phase alpha tACS at 2 mA, while a return electrode was placed on the left arm. Out of the 13 participants, seven in the blinded survey indicated agreement or strong agreement with the statement that the tACS treatment was beneficial. During the debriefing interview conducted two to nine months after the final stimulation, five participants described their condition as”great”, experiencing no or minimal symptoms; four reported feeling”good”, with moderate symptoms; and four noted no change from their pre-study baseline. Furthermore, while a stimulation intervention consisting of 20 sessions of bifrontal anodal home-based tDCS at 2 mA (F3/F4 montage) for 20 min daily over four weeks, followed by a maintenance period of three weeks with stimulation in the laboratory once per week, was shown to be feasible and safe in patients with TLE, no significant differences were observed in depressive and anxious symptoms between active and sham groups (Mota et al., 2021).\n\n\n### Chronic pain\nChronic pain is characterized by pain usually lasting more than three months and therefore lacks the acute warning function of physiological nociception (Treede et al., 2015). Chronic pain can be categorized as chronic primary pain, in which the pain is considered a distinct disease entity (such as fibromyalgia), or as chronic secondary pain, where the pain results from an underlying medical condition (such as neuropathic pain) (Treede et al., 2015). While chronic pain frequently involves neurological mechanisms like central sensitization, its multifaceted nature including its diverse etiologies, among which non-neurological causes and psychosocial influences, does not allow for its classification as a neurological disorder (Borsook, 2012). Given the underlying complex mechanisms of chronic pain, its multidimensional impact, and heterogeneity in treatment response, its management remains a clinical challenge, with a heavy financial burden on healthcare systems (Wang and Doan, 2024). The repeated application of anodal tDCS targeting the PreCC or DLPFC has demonstrated therapeutic benefits in terms of pain relief, reduction of psychological and affective impairment, and disease-related disability across different chronic pain conditions, including neuropathic pain and fibromyalgia (Fregni et al., 2021, Lefaucheur et al., 2017, Wen et al., 2022). Home-based tES provides an avenue for improving accessibility of the neurotechnology to patients with higher adherence to prolonged stimulation paradigms, optimally carried out under remote supervision.\nIn a recent systematic review and meta-analysis, (Antonioni et al., 2024) analyzed nine RCTs including 446 patients with different chronic pain conditions such as fibromyalgia, knee osteoarthritis, chronic headache, neuropathic pain, and chronic pain in ADRD, with studies included until September 2023. In the meta-analysis, it was found that repeated anodal tDCS in a home-based delivery model may lead to large and clinically meaningful improvement in pain intensity at the end of the intervention (standard mean difference −0,95; low certainty), but only minor non-clinically relevant pain relief at short-term follow-up (SMD −0.50; moderate certainty). No studies explored the application of home-based tACS in chronic pain.\nThe most studied chronic pain disorder in the field of home-based tDCS is fibromyalgia. Fibromyalgia syndrome is a heterogeneous primary pain condition, characterized by persistent and widespread non-inflammatory musculoskeletal chronic pain. Fibromyalgia affects a significant portion of the global population, with a mean estimated prevalence of 2.7%, and is three times more prevalent in women than in men (Marques et al., 2017, Sarzi-Puttini et al., 2020). FM-associated symptoms commonly include sleep disturbances, fatigue, cognitive impairments, and psychological problems, such as depression and anxiety (Wolfe et al., 2010). A subgroup analysis in the review of Antonioni et al. (2024) included four RCTs in fibromyalgia with 170 participants and showed that repeated home-based tDCS may produce large and clinically meaningful improvement in pain intensity (standard mean difference −1.00; low certainty). A group led by Wolnei Caumo in Brazil first showed in a sham-controlled study on 20 patients with fibromyalgia (10 active, 10 sham) that 60 home-based active tDCS sessions were able to significantly decrease pain intensity as well as analgesic drug use (by 55%). Higher brain-derived neurotrophic factor (BDNF) serum levels were predictive (Brietzke et al., 2020). In a second sham-controlled study on 48 patients with fibromyalgia (32 active, 16 sham), 20 home-based tDCS sessions were able to reduce pain catastrophism, again in correlation with BDNF serum level decrease (Caumo et al., 2022). Both studies were based on anodal tDCS protocol delivered over the left DLPFC. In the last two years, two additional RCTs were published by the same group, implementing home-based tDCS in fibromyalgia. Caumo et al. (2024) compared the efficacy of 20 sessions of 2 mA anodal home-based tDCS targeting the left DLPFC (F3/F4 montage) over four weeks to tDCS over the left PreCC (C3/FP2 montage) in relation to sham in 102 patients with fibromyalgia. They found superior effects of PreCC-tDCS on pain and disability with a large effect size compared to sham tDCS, while it only moderately reduces pain when applied to DLPFC-tDCS. PreCC-tDCS was effective in increasing the heat pain threshold and improving the function of the descending pain inhibitory system. A secondary analysis of the study investigated the effects of tDCS on emotional eating (Jornada et al., 2024), which is a common coping mechanism for alleviating pain-related distress in fibromyalgia (Elkfury et al., 2021). Comparing anodal tDCS and sham independent of target, active stimulation significantly reduced uncontrolled eating, emotional eating, food craving, and waist circumference with large effect sizes. Interaction analyses to address the impact of fibromyalgia symptoms in patients with respect to the stimulation area demonstrated that anodal tDCS of the left DLPFC had a greater impact than anodal PreCC-tDCS on food craving and uncontrolled eating, while PreCC-tDCS was more efficacious at improving the general symptoms related to fibromyalgia. A mechanistic sub-analysis of the study (Alves et al., 2024) revealed that DLPFC-tDCS enhanced beta-3 band connectivity between the left insula and bilateral primary somatosensory cortex, which correlated with sleep quality. In contrast, PreCC-tDCS increased delta band coherence between the right insula and left DLPFC, linked to pain catastrophizing. These findings suggest that home-based anodal tDCS modulates neural connections involved in the emotional and attentional aspects of pain, primarily at lower resting-state EEG frequencies. This modulation of neural oscillations may serve as a marker of its effectiveness in alleviating fibromyalgia symptoms. The same group also showed that cognitive performance, such as working memory and verbal fluency, could be improved in patients with fibromyalgia following home-based anodal tDCS sessions over the left DLPFC (Serrano et al., 2022).\nCombinations of home-based tDCS with other non-pharmacological interventions have also been implemented with the goal of enhancing therapeutic benefits in fibromyalgia patients. 10 20-minute sessions of anodal home-based tDCS directed to the left PreCC (C3/FP2 montage) paired with mindfulness meditation did not show superior effects in reducing pain intensity, affective pain level, psychological distress, and negative affect, or in improving quality of life and sleep quality, compared to the group receiving sham tDCS coupled with mindfulness meditation in patients trained in mindfulness (Ramasawmy et al., 2024). However, in a more recent study, Caumo et al. (2025) showed that 20 sessions of 2 mA anodal tDCS delivered with a bi-prefrontal montage (anode on the left DLPFC and cathode on the right DLPFC) over four weeks in combination with exercise and educational guidance decreased pain intensity, disability, and interference, especially in patients prone to a placebo response. The therapeutic benefits of the combined intervention lasted up to three months. Along the line of therapy optimization, an ongoing RCT is being conducted, testing the therapeutic and mechanistic effects of one week of “accelerated” anodal home-based tDCS at 2 mA (15 20-minute tDCS sessions, three sessions per day separated by 2–4 h) comparing targeting anodal tDCS targeting the left PreCC (C3/FP2 montage) versus left DLPFC (F3/F4 montage) in patients with fibromyalgia (https://drks.de/search/de/trial/DRKS00036965).\nAddressing other chronic pain disorders, a recent RCT (the largest trial in chronic pain to date, with 123 patients) tested the analgesic efficacy of 15 20-minute sessions of 2 mA anodal tDCS targeting the left PreCC (C3/FP2) in older adults with knee osteoarthritis and found that active stimulation was more effective in simultaneously improving pain intensity, pain interference, and pain catastrophizing compared to sham (Lee et al., 2025). The same group, led by Hyochol Ahn previously reported that home-based tDCS sessions could also reduce experimental pain sensitivity in older adults with knee osteoarthritis (Martorella et al., 2022, Suchting et al., 2020). They also reported that 10 sessions of combining 2 mA anodal RS-tDCS over the PreCC contralateral to the affected knee with mindfulness meditation significantly reduced pain intensity and sensitivity and increased conditional pain modulation, compared to the sham intervention of similar duration pairing sham tDCS with sham meditation (Ahn et al., 2019).\nIn the context of neuropathic pain, following two case reports (Carvalho et al., 2018, Pérez-Borrego et al., 2014), home-based RS-tDCS protocol delivered with the anode over the PreCC has been proposed in a series of 12 patients (20% sham) (Garcia-Larrea et al., 2019). Daily tDCS sessions were performed during five weeks, and 6 out of the 12 patients achieved satisfactory relief. Clinical improvement in responders could last up to six months. In contrast, another study did not show benefit of five consecutive daily sessions of anodal PreCC-tDCS self-administered at home by 24 patients who had been previously treated by rTMS (13 responders) (O’Neill et al., 2018).\nFinally, the PAINLESS-TreatCANCERPAIN project, the largest multicenter RCT to date in chronic pain, is currently ongoing, aiming to recruit 450 patients with cancer-related chronic pain and being the first to compare different tES modalities (Antal et al., 2025b). Its goal is to test the preliminary efficacy and underlying mechanisms of 15 20-minute sessions of daily 2 mA anodal home-based tDCS directed to left PreCC (C3/FP2 montage), compared to daily 10 Hz tACS with a bifrontal montage (F3/F4 montage) at a peak-to-peak current intensity of 2 mA in cancer-related pain.\n\n\n### Safety, ethical, regulatory aspects\nHaving outlined the general principles of home-based stimulation and its clinical potential, it is essential to address in more detail the safety and tolerability of this approach. Safety considerations are central, mainly when transferring stimulation procedures from controlled laboratory or clinic environments into patients’ homes, where direct supervision is limited. While tES, and in particular tDCS, has an extensive safety record in clinical and research settings, the question is whether this also holds true for home-based applications. In this section, the term ‘side effect’ denotes a recognized causal link to the intervention and describes an outcome that differs from intended or primary effect, while the term ‘adverse event’ refers to any unintended and unfavorable event temporally linked to the procedure, irrespective whether causality is established (Antal et al., 2025a).\nAcross more than two decades of research, conventional tES has consistently been shown to be safe when applied within established parameters, with no evidence for serious adverse events in large-scale studies encompassing over 18,000 stimulation sessions (Antal et al., 2025a, Antal et al., 2017, Bikson et al., 2016, Lefaucheur et al., 2017). In line with these findings, RS- tDCS has demonstrated a strong safety profile in numerous studies. When administered under proper protocols and oversight, no serious adverse events have been reported across diverse patient populations (Cappon et al., 2021, Woodham et al., 2025b). For example, a recent fully remote randomized trial for depression (Woodham et al., 2025b) observed no device-related serious adverse events and no cases of induced mania or seizures over 10 weeks of active home tDCS. Similarly, a pilot study in older adults with depression (Cappon et al., 2021) found no serious adverse events over 110 home sessions, with all recorded side effects and adverse events being mild and transient. In fact, tDCS is generally considered to have a benign safety profile comparable to clinic-based applications when used as directed (Alonzo et al., 2019).\nImportantly, this robust safety record holds across diverse clinical conditions and age groups. Studies involving adults with major depression (Koutsomitros et al., 2023), chronic pain (Ahn et al., 2019), Parkinson’s disease (Dobbs et al., 2018), and Alzheimer’s dementia (Grønli et al., 2022) all report no serious harm from home-administered tDCS. Even in adolescent populations using related techniques, such as tACS, no serious adverse events have been observed under supervised protocols (Latrèche et al., 2024). These findings underscore that, under controlled conditions, home-based tES is consistently safe and well-tolerated across a wide range of scenarios.\nWhen appropriate devices and protocols are followed (e.g. RS-tDCS), home-based tES is associated with only mild, transient side effects/adverse events. The most common sensations are localized and self-limited, including skin tingling or itching under the electrodes, a slight sensation of burning or warmth, and temporary redness of the scalp at the stimulation sites (Palm et al., 2018). Occasionally, participants report a mild tension headache or fatigue during or after sessions, but these effects occur at comparable rates in sham conditions, generally resolve quickly, and do not require intervention. Crucially, the incidence and intensity of these effects are low. For instance, in a large home RS-tDCS trial for depression (Alonzo et al., 2019; 1,149 sessions), the most frequent effects were a transient burning sensation (reported in ∼ 45% of sessions), tingling (∼22%), electrode-site redness (∼23%), and itching (∼19%) – only ∼ 2% of sessions had any side effect rated as “severe” in intensity (none of which caused lasting harm). Only one out of 1,149 sessions had to be aborted due to discomfort (a brief painful sensation likely from poor electrode contact), and the participant was able to complete all other sessions without incident. Across studies, such as those in depression, pain, or neurological disorders, all reported tDCS side effects and adverse events have been transient, typically ending as soon as stimulation stops. Rare cases of superficial skin burning at scalp electrode position (Garcia-Larrea et al., 2019, Kumpf et al., 2023) have been attributed to approaches not following best-practices (Pilloni et al., 2021, Simani et al., 2025) and burns have not occurred in RS-tDCS.\nImportantly, no long-term or cumulative negative effects have been observed in supervised home-based tDCS trials. There are no indications of neurotoxicity or neurologic injury under standard use: for example, participants undergoing daily tDCS for months have shown no adverse changes on cognitive tests or brain imaging attributable to stimulation (Le et al., 2022, Palm et al., 2018). Furthermore, serious complications like seizures have not been triggered by tDCS in home studies; even in a trial targeting patients with epilepsy, active tDCS did not increase seizure frequency relative to sham (Mota et al., 2021). Similarly, no cases of treatment-emergent mania have been observed during home tDCS for depression in unipolar patients (Woodham et al., 2025b), and careful protocols can exclude or monitor those at risk (e.g., bipolar disorder patients) to mitigate this concern. Overall, the evidence supports that home-based tDCS, when appropriate equipment and protocols are incorporated, has a side-effect profile limited to minor, transient sensations, with a risk profile comparable to clinic-based tDCS when best practices are followed.\nTolerability of home-administered tDCS has generally been excellent, as reflected in high adherence rates and positive patient feedback. Most supervised studies report very low dropout rates and strong completion of sessions. For example, Alonzo et al. (2019) saw a dropout of only 6% over a multi-week home tDCS depression trial, with 93% of all scheduled sessions successfully completed. Other trials similarly achieved near-complete adherence: in Parkinson’s patients, 15 out of 16 participants completed all planned sessions (Dobbs et al., 2018); in a recent home-based tDCS study for major depression with asynchronous monitoring, 90% of patients missed three or fewer sessions out of 21, and none dropped out of treatment (Koutsomitros et al., 2023). Such outcomes suggest that patients find at-home tDCS feasible to incorporate into daily life, especially when supported appropriately. Indeed, no patients discontinued these studies due to difficulty with the device or protocol, indicating that the burden of self-administration is low (Le et al., 2022).\nSelf-reported acceptability is likewise high. Participants typically rate home tDCS sessions as only minimally uncomfortable. Indeed, making tDCS available at home can improve acceptability by eliminating travel and scheduling obstacles, which otherwise often limit treatment uptake (Buchanan et al., 2022). In a sham-controlled trial for binge eating disorder, those receiving real tDCS reported an average discomfort rating of just ∼1.8 out of 10 (sham ∼0.5/10), and importantly, all participants said they would recommend the combined tDCS treatment to others and continue using it in the future (Flynn et al., 2024). Another study of home tDCS for depression found that patients gave very favorable feedback on session tolerability (averaging 4.6 out of 5 stars in post-session ratings), with 91% of all sessions rated as 4- or 5-star experiences (Koutsomitros et al., 2023). Notably, in that study, no patient ever utilized the “pause/stop” safety feature or removed the device mid-session, implying that no session provoked enough discomfort to warrant early termination. This aligns with other reports where participants rarely, if ever, abort sessions due to side effects or adverse events (Cappon et al., 2021).\nIn summary, across studies home-based tDCS is not only safe but highly tolerable, with patients showing strong compliance and generally positive attitudes toward continuing treatment. However, it should be noted that tolerability depends critically on adequate support. One systematic review (Palm et al., 2018) concluded that studies with insufficient patient training or limited contact had more drop-out or feasibility issues, whereas those providing comprehensive training and frequent check-ins achieved excellent adherence.\nA key consideration for home-based tDCS is the long-term safety of repeated use, as at-home treatment often involves more sessions than would be feasible in clinic-based settings. Current evidence, though still limited, indicates that extended or maintenance use remains well-tolerated over months or even years, without new safety concerns.\nOne of the largest datasets comes from a case series in treatment-resistant depression patients who used maintenance home-based tDCS for up to 2.5 years (Le et al., 2022). Across 3,305 recorded sessions, only 8 (0.27%) were associated with adverse events rated as severe, none with lasting consequences. The majority of side effects and adverse events were mild and transient, such as tingling or redness. Neuropsychological testing during follow-up revealed no cognitive decline, consistent with earlier reports that even hundreds of sessions do not affect brain imaging or injury markers (Palm et al., 2018). Only two patients discontinued due to unusual symptoms—one with aggravated pre-existing tinnitus, another with transient blurred vision—both resolving after cessation. Importantly, no patients stopped because of difficulty handling the device, indicating that long-term self-administration is feasible.\nOther studies support this benign profile. In Alzheimer’s patients receiving daily tDCS for four months, no troublesome side effects were reported, with only slight tingling noted (Grønli et al., 2022). Caregivers confirmed the absence of adverse changes, and discontinuation occurred in only one participant due to routine fatigue rather than safety issues. Similarly, in an open-label bipolar depression trial (Ghazi-Noori et al., 2024), more than 90% of side effects were mild and their impact decreased over time. Ratings of burden improved from “a bit” affected at baseline to “very much unaffected” at treatment completion. A home-based tDCS study in depression patients also found that the perceived effort of daily sessions lessened over time, with some describing the routine as easier than daily activities (Koutsomitros et al., 2023). These findings suggest that tolerability can even improve with prolonged use.\nOverall, available evidence supports the safety and tolerability of home-based tES both in the short and long term when proper safeguards (e.g. RS-tDCS) are applied. The side effect and adverse event spectrum remains confined to mild, transient sensations without evidence of accumulating harm such as cognitive decline or neurological injury (Antal et al., 2025a, Bikson et al., 2016, Palm et al., 2018). Still, regular monitoring is recommended to detect rare or idiosyncratic responses. With such precautions, tDCS appears to be a safe and sustainable neuromodulation tool for home-based treatment paradigms (Paneva et al., 2022).\nThree prominent ethical concerns arising from the home use of tES is 1) safety and risk management, 2) misuse of the technology, and 3) the protection of neurorights. When implemented in accordance with the recommended guidelines (Charvet et al., 2020), respecting the intended use and indication, with suitable training of the participants, patients, and/or their relatives, and with ongoing remote supervision and support from trained clinical or research personnel, home-based tES is a safe and feasible technique, with mostly temporary mild to moderate side effects and adverse events and no reported serious adverse event related to the stimulation to date (please refer to the previous Section).\nHowever, in the case of do-it-yourself (DIY) applications, home users tend to prolong the duration and number of stimulation sessions, even going beyond 100 sessions (Wexler and Reiner, 2018). Although DIY tDCS is generally well-tolerated by home users, the risk of long-term adverse events from large cumulative doses—especially among those who exceed recommended usage with unclear indications—cannot be eschewed (Riggall et al., 2015). Interestingly, as highlighted in the participatory research assessing the stakeholder perspectives on non-invasive brain stimulation conducted by Maier et al. (2024), home users from the DIY community desired tighter oversight of tDCS and regarded the use of unregulated devices from unknown suppliers as unacceptable. They also assessed the risk of side effects, adverse events, and addiction as lower than that associated with medications.\nSimilar to clinical-based tES, the neuroright to personal identity raises ethical concerns in the context of home-based tES (Antal et al., 2025a), given the neurotechnology’s potential to influence cognition, emotion, and behavior, thereby potentially altering one’s sense of self-identity (Bhidayasiri, 2024). Given that many risks remain hypothetical, it is important to make a distinction between “real and hypothetical problems” before making any regulatory or prohibitive declarations (Bikson and Giordano, 2023). Along the line of Charvet et al. (2020), it is essential to adequately inform home-based tES users about data privacy, where their data will be stored, and about remote monitoring and opt-out processes.\nThe regulation of tES devices intended for medical use across different continents has been extensively discussed in previous works (Antal et al., 2022, Antal et al., 2024, Antal et al., 2025a, Antal et al., 2025c, Vasquez and Fregni, 2016). Similar to tES devices for clinical use, when it comes to approval of home-tES device in different countries by the national bodies, this rather refers to the specific device and specified use rather than the tES technique and protocol itself. In December 2025, the Flow Neuroscience tDCS device was approved for the treatment of major depressive disorder by the US Food and Drug Administration, making this the first approved home-based tES device in the USA (Bikson et al., 2026). In the latest guidelines (Antal et al., 2025a), the group of experts from the European Society for Brain Stimulation and International Federation for Clinical Neurophysiology recommend the adoption of the RS-tES guidelines (Charvet et al., 2020), which focus on structured staff training, careful participant selection, clear user instruction and consent, standardized procedures for tES protocols and handling adverse events and discontinuation, and routine monitoring, to ensure safety and feasibility of home-based tES. Moreover, we firmly believe that NIBS organizations such as the International Federation of Clinical Neurophysiology (Brain Stimulation Special Interest Group), the International Neuromodulation Society, and the European Society for Brain Stimulation, as well as regulatory bodies like the FDA, MDCG and EMA (European Medicines Agency) can play a leading role in shaping evidence-based frameworks for the safe and ethical deployment of home-based neuromodulation. These standards will be essential for building public trust, ensuring equitable access, and scaling these technologies responsibly.\n\n\n### Safety and tolerability of home-based tES\nHaving outlined the general principles of home-based stimulation and its clinical potential, it is essential to address in more detail the safety and tolerability of this approach. Safety considerations are central, mainly when transferring stimulation procedures from controlled laboratory or clinic environments into patients’ homes, where direct supervision is limited. While tES, and in particular tDCS, has an extensive safety record in clinical and research settings, the question is whether this also holds true for home-based applications. In this section, the term ‘side effect’ denotes a recognized causal link to the intervention and describes an outcome that differs from intended or primary effect, while the term ‘adverse event’ refers to any unintended and unfavorable event temporally linked to the procedure, irrespective whether causality is established (Antal et al., 2025a).\nAcross more than two decades of research, conventional tES has consistently been shown to be safe when applied within established parameters, with no evidence for serious adverse events in large-scale studies encompassing over 18,000 stimulation sessions (Antal et al., 2025a, Antal et al., 2017, Bikson et al., 2016, Lefaucheur et al., 2017). In line with these findings, RS- tDCS has demonstrated a strong safety profile in numerous studies. When administered under proper protocols and oversight, no serious adverse events have been reported across diverse patient populations (Cappon et al., 2021, Woodham et al., 2025b). For example, a recent fully remote randomized trial for depression (Woodham et al., 2025b) observed no device-related serious adverse events and no cases of induced mania or seizures over 10 weeks of active home tDCS. Similarly, a pilot study in older adults with depression (Cappon et al., 2021) found no serious adverse events over 110 home sessions, with all recorded side effects and adverse events being mild and transient. In fact, tDCS is generally considered to have a benign safety profile comparable to clinic-based applications when used as directed (Alonzo et al., 2019).\nImportantly, this robust safety record holds across diverse clinical conditions and age groups. Studies involving adults with major depression (Koutsomitros et al., 2023), chronic pain (Ahn et al., 2019), Parkinson’s disease (Dobbs et al., 2018), and Alzheimer’s dementia (Grønli et al., 2022) all report no serious harm from home-administered tDCS. Even in adolescent populations using related techniques, such as tACS, no serious adverse events have been observed under supervised protocols (Latrèche et al., 2024). These findings underscore that, under controlled conditions, home-based tES is consistently safe and well-tolerated across a wide range of scenarios.\nWhen appropriate devices and protocols are followed (e.g. RS-tDCS), home-based tES is associated with only mild, transient side effects/adverse events. The most common sensations are localized and self-limited, including skin tingling or itching under the electrodes, a slight sensation of burning or warmth, and temporary redness of the scalp at the stimulation sites (Palm et al., 2018). Occasionally, participants report a mild tension headache or fatigue during or after sessions, but these effects occur at comparable rates in sham conditions, generally resolve quickly, and do not require intervention. Crucially, the incidence and intensity of these effects are low. For instance, in a large home RS-tDCS trial for depression (Alonzo et al., 2019; 1,149 sessions), the most frequent effects were a transient burning sensation (reported in ∼ 45% of sessions), tingling (∼22%), electrode-site redness (∼23%), and itching (∼19%) – only ∼ 2% of sessions had any side effect rated as “severe” in intensity (none of which caused lasting harm). Only one out of 1,149 sessions had to be aborted due to discomfort (a brief painful sensation likely from poor electrode contact), and the participant was able to complete all other sessions without incident. Across studies, such as those in depression, pain, or neurological disorders, all reported tDCS side effects and adverse events have been transient, typically ending as soon as stimulation stops. Rare cases of superficial skin burning at scalp electrode position (Garcia-Larrea et al., 2019, Kumpf et al., 2023) have been attributed to approaches not following best-practices (Pilloni et al., 2021, Simani et al., 2025) and burns have not occurred in RS-tDCS.\nImportantly, no long-term or cumulative negative effects have been observed in supervised home-based tDCS trials. There are no indications of neurotoxicity or neurologic injury under standard use: for example, participants undergoing daily tDCS for months have shown no adverse changes on cognitive tests or brain imaging attributable to stimulation (Le et al., 2022, Palm et al., 2018). Furthermore, serious complications like seizures have not been triggered by tDCS in home studies; even in a trial targeting patients with epilepsy, active tDCS did not increase seizure frequency relative to sham (Mota et al., 2021). Similarly, no cases of treatment-emergent mania have been observed during home tDCS for depression in unipolar patients (Woodham et al., 2025b), and careful protocols can exclude or monitor those at risk (e.g., bipolar disorder patients) to mitigate this concern. Overall, the evidence supports that home-based tDCS, when appropriate equipment and protocols are incorporated, has a side-effect profile limited to minor, transient sensations, with a risk profile comparable to clinic-based tDCS when best practices are followed.\nTolerability of home-administered tDCS has generally been excellent, as reflected in high adherence rates and positive patient feedback. Most supervised studies report very low dropout rates and strong completion of sessions. For example, Alonzo et al. (2019) saw a dropout of only 6% over a multi-week home tDCS depression trial, with 93% of all scheduled sessions successfully completed. Other trials similarly achieved near-complete adherence: in Parkinson’s patients, 15 out of 16 participants completed all planned sessions (Dobbs et al., 2018); in a recent home-based tDCS study for major depression with asynchronous monitoring, 90% of patients missed three or fewer sessions out of 21, and none dropped out of treatment (Koutsomitros et al., 2023). Such outcomes suggest that patients find at-home tDCS feasible to incorporate into daily life, especially when supported appropriately. Indeed, no patients discontinued these studies due to difficulty with the device or protocol, indicating that the burden of self-administration is low (Le et al., 2022).\nSelf-reported acceptability is likewise high. Participants typically rate home tDCS sessions as only minimally uncomfortable. Indeed, making tDCS available at home can improve acceptability by eliminating travel and scheduling obstacles, which otherwise often limit treatment uptake (Buchanan et al., 2022). In a sham-controlled trial for binge eating disorder, those receiving real tDCS reported an average discomfort rating of just ∼1.8 out of 10 (sham ∼0.5/10), and importantly, all participants said they would recommend the combined tDCS treatment to others and continue using it in the future (Flynn et al., 2024). Another study of home tDCS for depression found that patients gave very favorable feedback on session tolerability (averaging 4.6 out of 5 stars in post-session ratings), with 91% of all sessions rated as 4- or 5-star experiences (Koutsomitros et al., 2023). Notably, in that study, no patient ever utilized the “pause/stop” safety feature or removed the device mid-session, implying that no session provoked enough discomfort to warrant early termination. This aligns with other reports where participants rarely, if ever, abort sessions due to side effects or adverse events (Cappon et al., 2021).\nIn summary, across studies home-based tDCS is not only safe but highly tolerable, with patients showing strong compliance and generally positive attitudes toward continuing treatment. However, it should be noted that tolerability depends critically on adequate support. One systematic review (Palm et al., 2018) concluded that studies with insufficient patient training or limited contact had more drop-out or feasibility issues, whereas those providing comprehensive training and frequent check-ins achieved excellent adherence.\nA key consideration for home-based tDCS is the long-term safety of repeated use, as at-home treatment often involves more sessions than would be feasible in clinic-based settings. Current evidence, though still limited, indicates that extended or maintenance use remains well-tolerated over months or even years, without new safety concerns.\nOne of the largest datasets comes from a case series in treatment-resistant depression patients who used maintenance home-based tDCS for up to 2.5 years (Le et al., 2022). Across 3,305 recorded sessions, only 8 (0.27%) were associated with adverse events rated as severe, none with lasting consequences. The majority of side effects and adverse events were mild and transient, such as tingling or redness. Neuropsychological testing during follow-up revealed no cognitive decline, consistent with earlier reports that even hundreds of sessions do not affect brain imaging or injury markers (Palm et al., 2018). Only two patients discontinued due to unusual symptoms—one with aggravated pre-existing tinnitus, another with transient blurred vision—both resolving after cessation. Importantly, no patients stopped because of difficulty handling the device, indicating that long-term self-administration is feasible.\nOther studies support this benign profile. In Alzheimer’s patients receiving daily tDCS for four months, no troublesome side effects were reported, with only slight tingling noted (Grønli et al., 2022). Caregivers confirmed the absence of adverse changes, and discontinuation occurred in only one participant due to routine fatigue rather than safety issues. Similarly, in an open-label bipolar depression trial (Ghazi-Noori et al., 2024), more than 90% of side effects were mild and their impact decreased over time. Ratings of burden improved from “a bit” affected at baseline to “very much unaffected” at treatment completion. A home-based tDCS study in depression patients also found that the perceived effort of daily sessions lessened over time, with some describing the routine as easier than daily activities (Koutsomitros et al., 2023). These findings suggest that tolerability can even improve with prolonged use.\nOverall, available evidence supports the safety and tolerability of home-based tES both in the short and long term when proper safeguards (e.g. RS-tDCS) are applied. The side effect and adverse event spectrum remains confined to mild, transient sensations without evidence of accumulating harm such as cognitive decline or neurological injury (Antal et al., 2025a, Bikson et al., 2016, Palm et al., 2018). Still, regular monitoring is recommended to detect rare or idiosyncratic responses. With such precautions, tDCS appears to be a safe and sustainable neuromodulation tool for home-based treatment paradigms (Paneva et al., 2022).\n\n\n### Typical side effects and adverse events\nWhen appropriate devices and protocols are followed (e.g. RS-tDCS), home-based tES is associated with only mild, transient side effects/adverse events. The most common sensations are localized and self-limited, including skin tingling or itching under the electrodes, a slight sensation of burning or warmth, and temporary redness of the scalp at the stimulation sites (Palm et al., 2018). Occasionally, participants report a mild tension headache or fatigue during or after sessions, but these effects occur at comparable rates in sham conditions, generally resolve quickly, and do not require intervention. Crucially, the incidence and intensity of these effects are low. For instance, in a large home RS-tDCS trial for depression (Alonzo et al., 2019; 1,149 sessions), the most frequent effects were a transient burning sensation (reported in ∼ 45% of sessions), tingling (∼22%), electrode-site redness (∼23%), and itching (∼19%) – only ∼ 2% of sessions had any side effect rated as “severe” in intensity (none of which caused lasting harm). Only one out of 1,149 sessions had to be aborted due to discomfort (a brief painful sensation likely from poor electrode contact), and the participant was able to complete all other sessions without incident. Across studies, such as those in depression, pain, or neurological disorders, all reported tDCS side effects and adverse events have been transient, typically ending as soon as stimulation stops. Rare cases of superficial skin burning at scalp electrode position (Garcia-Larrea et al., 2019, Kumpf et al., 2023) have been attributed to approaches not following best-practices (Pilloni et al., 2021, Simani et al., 2025) and burns have not occurred in RS-tDCS.\nImportantly, no long-term or cumulative negative effects have been observed in supervised home-based tDCS trials. There are no indications of neurotoxicity or neurologic injury under standard use: for example, participants undergoing daily tDCS for months have shown no adverse changes on cognitive tests or brain imaging attributable to stimulation (Le et al., 2022, Palm et al., 2018). Furthermore, serious complications like seizures have not been triggered by tDCS in home studies; even in a trial targeting patients with epilepsy, active tDCS did not increase seizure frequency relative to sham (Mota et al., 2021). Similarly, no cases of treatment-emergent mania have been observed during home tDCS for depression in unipolar patients (Woodham et al., 2025b), and careful protocols can exclude or monitor those at risk (e.g., bipolar disorder patients) to mitigate this concern. Overall, the evidence supports that home-based tDCS, when appropriate equipment and protocols are incorporated, has a side-effect profile limited to minor, transient sensations, with a risk profile comparable to clinic-based tDCS when best practices are followed.\n\n\n### Tolerability, adherence, and acceptability\nTolerability of home-administered tDCS has generally been excellent, as reflected in high adherence rates and positive patient feedback. Most supervised studies report very low dropout rates and strong completion of sessions. For example, Alonzo et al. (2019) saw a dropout of only 6% over a multi-week home tDCS depression trial, with 93% of all scheduled sessions successfully completed. Other trials similarly achieved near-complete adherence: in Parkinson’s patients, 15 out of 16 participants completed all planned sessions (Dobbs et al., 2018); in a recent home-based tDCS study for major depression with asynchronous monitoring, 90% of patients missed three or fewer sessions out of 21, and none dropped out of treatment (Koutsomitros et al., 2023). Such outcomes suggest that patients find at-home tDCS feasible to incorporate into daily life, especially when supported appropriately. Indeed, no patients discontinued these studies due to difficulty with the device or protocol, indicating that the burden of self-administration is low (Le et al., 2022).\nSelf-reported acceptability is likewise high. Participants typically rate home tDCS sessions as only minimally uncomfortable. Indeed, making tDCS available at home can improve acceptability by eliminating travel and scheduling obstacles, which otherwise often limit treatment uptake (Buchanan et al., 2022). In a sham-controlled trial for binge eating disorder, those receiving real tDCS reported an average discomfort rating of just ∼1.8 out of 10 (sham ∼0.5/10), and importantly, all participants said they would recommend the combined tDCS treatment to others and continue using it in the future (Flynn et al., 2024). Another study of home tDCS for depression found that patients gave very favorable feedback on session tolerability (averaging 4.6 out of 5 stars in post-session ratings), with 91% of all sessions rated as 4- or 5-star experiences (Koutsomitros et al., 2023). Notably, in that study, no patient ever utilized the “pause/stop” safety feature or removed the device mid-session, implying that no session provoked enough discomfort to warrant early termination. This aligns with other reports where participants rarely, if ever, abort sessions due to side effects or adverse events (Cappon et al., 2021).\nIn summary, across studies home-based tDCS is not only safe but highly tolerable, with patients showing strong compliance and generally positive attitudes toward continuing treatment. However, it should be noted that tolerability depends critically on adequate support. One systematic review (Palm et al., 2018) concluded that studies with insufficient patient training or limited contact had more drop-out or feasibility issues, whereas those providing comprehensive training and frequent check-ins achieved excellent adherence.\n\n\n### Long-term safety and longitudinal tolerability\nA key consideration for home-based tDCS is the long-term safety of repeated use, as at-home treatment often involves more sessions than would be feasible in clinic-based settings. Current evidence, though still limited, indicates that extended or maintenance use remains well-tolerated over months or even years, without new safety concerns.\nOne of the largest datasets comes from a case series in treatment-resistant depression patients who used maintenance home-based tDCS for up to 2.5 years (Le et al., 2022). Across 3,305 recorded sessions, only 8 (0.27%) were associated with adverse events rated as severe, none with lasting consequences. The majority of side effects and adverse events were mild and transient, such as tingling or redness. Neuropsychological testing during follow-up revealed no cognitive decline, consistent with earlier reports that even hundreds of sessions do not affect brain imaging or injury markers (Palm et al., 2018). Only two patients discontinued due to unusual symptoms—one with aggravated pre-existing tinnitus, another with transient blurred vision—both resolving after cessation. Importantly, no patients stopped because of difficulty handling the device, indicating that long-term self-administration is feasible.\nOther studies support this benign profile. In Alzheimer’s patients receiving daily tDCS for four months, no troublesome side effects were reported, with only slight tingling noted (Grønli et al., 2022). Caregivers confirmed the absence of adverse changes, and discontinuation occurred in only one participant due to routine fatigue rather than safety issues. Similarly, in an open-label bipolar depression trial (Ghazi-Noori et al., 2024), more than 90% of side effects were mild and their impact decreased over time. Ratings of burden improved from “a bit” affected at baseline to “very much unaffected” at treatment completion. A home-based tDCS study in depression patients also found that the perceived effort of daily sessions lessened over time, with some describing the routine as easier than daily activities (Koutsomitros et al., 2023). These findings suggest that tolerability can even improve with prolonged use.\nOverall, available evidence supports the safety and tolerability of home-based tES both in the short and long term when proper safeguards (e.g. RS-tDCS) are applied. The side effect and adverse event spectrum remains confined to mild, transient sensations without evidence of accumulating harm such as cognitive decline or neurological injury (Antal et al., 2025a, Bikson et al., 2016, Palm et al., 2018). Still, regular monitoring is recommended to detect rare or idiosyncratic responses. With such precautions, tDCS appears to be a safe and sustainable neuromodulation tool for home-based treatment paradigms (Paneva et al., 2022).\n\n\n### Ethical and regulatory aspects of home-based tES\nThree prominent ethical concerns arising from the home use of tES is 1) safety and risk management, 2) misuse of the technology, and 3) the protection of neurorights. When implemented in accordance with the recommended guidelines (Charvet et al., 2020), respecting the intended use and indication, with suitable training of the participants, patients, and/or their relatives, and with ongoing remote supervision and support from trained clinical or research personnel, home-based tES is a safe and feasible technique, with mostly temporary mild to moderate side effects and adverse events and no reported serious adverse event related to the stimulation to date (please refer to the previous Section).\nHowever, in the case of do-it-yourself (DIY) applications, home users tend to prolong the duration and number of stimulation sessions, even going beyond 100 sessions (Wexler and Reiner, 2018). Although DIY tDCS is generally well-tolerated by home users, the risk of long-term adverse events from large cumulative doses—especially among those who exceed recommended usage with unclear indications—cannot be eschewed (Riggall et al., 2015). Interestingly, as highlighted in the participatory research assessing the stakeholder perspectives on non-invasive brain stimulation conducted by Maier et al. (2024), home users from the DIY community desired tighter oversight of tDCS and regarded the use of unregulated devices from unknown suppliers as unacceptable. They also assessed the risk of side effects, adverse events, and addiction as lower than that associated with medications.\nSimilar to clinical-based tES, the neuroright to personal identity raises ethical concerns in the context of home-based tES (Antal et al., 2025a), given the neurotechnology’s potential to influence cognition, emotion, and behavior, thereby potentially altering one’s sense of self-identity (Bhidayasiri, 2024). Given that many risks remain hypothetical, it is important to make a distinction between “real and hypothetical problems” before making any regulatory or prohibitive declarations (Bikson and Giordano, 2023). Along the line of Charvet et al. (2020), it is essential to adequately inform home-based tES users about data privacy, where their data will be stored, and about remote monitoring and opt-out processes.\nThe regulation of tES devices intended for medical use across different continents has been extensively discussed in previous works (Antal et al., 2022, Antal et al., 2024, Antal et al., 2025a, Antal et al., 2025c, Vasquez and Fregni, 2016). Similar to tES devices for clinical use, when it comes to approval of home-tES device in different countries by the national bodies, this rather refers to the specific device and specified use rather than the tES technique and protocol itself. In December 2025, the Flow Neuroscience tDCS device was approved for the treatment of major depressive disorder by the US Food and Drug Administration, making this the first approved home-based tES device in the USA (Bikson et al., 2026). In the latest guidelines (Antal et al., 2025a), the group of experts from the European Society for Brain Stimulation and International Federation for Clinical Neurophysiology recommend the adoption of the RS-tES guidelines (Charvet et al., 2020), which focus on structured staff training, careful participant selection, clear user instruction and consent, standardized procedures for tES protocols and handling adverse events and discontinuation, and routine monitoring, to ensure safety and feasibility of home-based tES. Moreover, we firmly believe that NIBS organizations such as the International Federation of Clinical Neurophysiology (Brain Stimulation Special Interest Group), the International Neuromodulation Society, and the European Society for Brain Stimulation, as well as regulatory bodies like the FDA, MDCG and EMA (European Medicines Agency) can play a leading role in shaping evidence-based frameworks for the safe and ethical deployment of home-based neuromodulation. These standards will be essential for building public trust, ensuring equitable access, and scaling these technologies responsibly.\n\n\n### Advantages and limitations of home-based NIBS\nThe advantages and disadvantages are summarized in Table 3.Table 3Advantages and disadvantages of home-based tES.CategoryAdvantageDisadvantageTiming and frequency of treatmentEnables higher frequency and regularity, including weekends/holidays, supporting cumulative plasticity. Flexible timing to suit individual chronotypes and daily rhythms (morning vs. evening) to optimize cortical excitability and target effects. Can be paired with daily activities and therapeutic exercises in daily life, enhancing state-dependent plasticity. Self-monitoring and potential AI/wearable guidance for optimal stimulation windows.Requires self-management; potential mis-timing or inconsistent sessions without clinician oversight.Long term treatments and repeated daily stimulation sessionsFeasibility of month- to year-long regimens, enabling maintenance therapy and relapse prevention. Supports multiple daily sessions when appropriate, enhancing consolidation and cumulative effects. Fosters autonomy and sustained motivation through self-scheduling and self-administration.Demands ongoing motivation and adherence; risk of treatment fatigue or burnout without regular clinician support.Cost/BenefitSignificant reduction in per-session healthcare costs and avoidance of repeated clinic visits. Improves access, reduces travel/time burdens, and enhances health equity. Highly scalable and compatible with telemedicine, potentially lowering system-level costs over time.High initial purchase cost per user; need for additional devices (headsets, wearables, tablets) and ongoing maintenance. Remote monitoring features add upfront and ongoing costs; economic viability depends on long-term adherence and outcomes.ComplianceConvenience boosts adherence, with patients able to complete full courses in familiar settings. Promotes autonomy, engagement, and sense of control over treatment. Reduces caregiver burden and enables collaborative home-based care; better real-world monitoring via digital logs.Dependence on patient discipline; technical issues or user errors can undermine adherence and safety without supervision. Lack of real-time medical oversight; risk of incorrect setup, unmanaged adverse events, mistimed sessions, and non-compliance. Increased potential for misuse or misreporting without supervision.\nAdvantages and disadvantages of home-based tES.\nHome-based non-invasive brain stimulation enables more frequent and regular sessions, including weekends and holidays. In-clinic protocols are often constrained by scheduling, travel, and staff availability, leading to missed or inflexible sessions. Daily home use supports cumulative plasticity by allowing consistent stimulation that promotes long-term synaptic and network-level changes (Charvet et al., 2015, Bréchet et al., 2021).\nHome use also allows stimulation at physiologically optimal times of day, aligned with individual chronotype and therapeutic goals. Morning sessions may enhance alertness or antidepressant effects, while evening stimulation can support memory consolidation or relaxation. This flexibility helps integrate treatment into daily life without disrupting work or social activities (Chmiel and Malinowska, 2025).\nAt-home stimulation can be paired with real-world cognitive or motor tasks, enhancing state-dependent plasticity. Delivering stimulation before or during training—rarely feasible in clinics—supports more durable, task-specific neural adaptations (Au et al., 2016).\nBecause physiological responses vary with factors such as mood, sleep, and medication, home-based use enables individualized timing. Patients can track how different schedules affect their symptoms, and advanced systems may use wearable sensors or AI to recommend optimal stimulation windows (Krause and Kadosh, 2014).\nFinally, avoiding clinic travel reduces stress and fatigue, promoting a more stable baseline brain state and potentially improving the consistency and efficacy of stimulation.\nClinic-based stimulation is often limited by cost, logistics, and personnel. Many chronic neurological and psychiatric conditions, however, require prolonged or maintenance therapy. Home-based systems make extended protocols feasible over months or years (Charvet et al., 2015).\nThey are particularly suited for maintenance and relapse prevention, allowing intermittent booster sessions or tapered schedules to stabilize improvements in mood, motor function, or cognition. Home systems also allow multiple daily sessions when appropriate, supporting spaced stimulation protocols that enhance consolidation and cumulative effects—especially in motor rehabilitation or cognitive enhancement (Knotkova et al., 2019, Palm et al., 2018).\nSelf-administered long-term treatment fosters autonomy and engagement, improving adherence and motivation. Patients can schedule sessions during periods of peak alertness or symptom fluctuation, increasing therapeutic relevance and reducing dropout (Charvet et al., 2015, Palm et al., 2018).\nHome-based NIBS significantly reduces healthcare costs by eliminating the need for clinic visits, specialized equipment, and staff supervision. Devices for home use—especially tES systems—are compact, inexpensive, and require minimal infrastructure. Reduced travel, missed work, and caregiver burden further lower indirect costs (Charvet et al., 2015).\nAlthough each patient requires a dedicated device and, in some cases, additional monitoring tools, these upfront costs are offset by long-term savings, particularly for chronic conditions requiring frequent treatment. As technology scales and competition increases, device costs are expected to decline. Remote updates, telemedicine integration, and modular designs will further improve cost-efficiency (Bikson et al., 2018).\nOver time, improved outcomes, reduced hospitalizations, and better adherence may support insurance coverage or reimbursement. Flexible pricing models such as rentals or subscriptions can also increase accessibility.\nHome-based NIBS improves treatment adherence by removing barriers such as travel, scheduling, and clinic fatigue. The ability to choose session timing and environment increases consistency and supports long-term therapeutic success (Charvet et al., 2015, Palm et al., 2018).\nGreater autonomy enhances patient engagement and satisfaction, which are closely linked to clinical outcomes. Home-based systems also reduce caregiver burden by minimizing clinic visits and enabling shared responsibility in a familiar environment (Knotkova et al., 2019).\nDaily use allows caregivers to observe real-world changes in mood, behavior, or motor function, providing valuable insights for clinicians. When combined with digital logging and telemedicine, this supports more responsive and coordinated care (Knotkova et al., 2019, Charvet et al., 2020).\nWithout real‑time remote supervision (e.g., RS‑tDCS), home‑based NIBS lacks direct clinical oversight. In clinics, trained professionals ensure correct device setup, monitor responses, and adjust protocols as needed. At home, users rely on pre‑set instructions, increasing the risk of incorrect electrode placement, technical errors, and unrecognized adverse events such as headache or skin irritation. The absence of clinician observation also limits timely adjustments to intensity, duration, or targeting, reducing therapeutic precision (Antal et al., 2025a).\nHome-based use further increases the risk of misuse and non‑compliance, particularly in patients with cognitive or psychiatric vulnerabilities. Users may skip sessions, apply stimulation at inappropriate times, alter settings, or discontinue treatment prematurely. Underreporting of adverse events and unrealistic expectations about treatment effects may also occur, contributing to inconsistent outcomes. These challenges underscore the need for careful patient selection, thorough training, caregiver involvement, and safety features such as session limits and usage tracking to support responsible long‑term use (Charvet et al., 2020, Charvet et al., 2015, Vogelmann and Baskonus, 2025).\nUnlike clinic-based systems, where one device serves multiple patients, home-based NIBS requires each user to have a dedicated unit. Additional equipment—such as EEG headsets, sensors, positioning guides, or monitoring tools—may be needed to approximate clinical safety standards, increasing initial costs for patients and healthcare systems (Antal et al., 2025a).\nTo compensate for the lack of in‑person supervision, home systems often incorporate automated safety mechanisms, telehealth connectivity, and cloud‑based monitoring, which further raise costs. Users engaged in combined cognitive or motor rehabilitation may require supplementary devices or software, adding to financial complexity. For patients needing long-term or daily stimulation, maintaining or replacing equipment over time can become a barrier, raising concerns about economic sustainability and equitable access (Charvet et al., 2015, Charvet et al., 2020).\nDespite these challenges, costs are expected to decline as production scales, technology advances, and market competition increases—mirroring trends in other consumer medical technologies. Modular designs, standardized components, and remote software updates may further reduce long‑term expenses (Charvet et al., 2020).\nUltimately, the broader economic benefits of home-based NIBS—fewer clinic visits, improved adherence, reduced hospitalizations, and enhanced quality of life—can offset initial investments. As evidence grows, insurance coverage or reimbursement may become more common, and flexible pricing models (e.g., rentals or subscriptions) could improve accessibility. Although the transition to home use requires upfront investment, its long‑term impact on healthcare efficiency and patient autonomy supports its cost‑effectiveness.\n\n\n### Advantages of “Home-based” NIBS\nHome-based non-invasive brain stimulation enables more frequent and regular sessions, including weekends and holidays. In-clinic protocols are often constrained by scheduling, travel, and staff availability, leading to missed or inflexible sessions. Daily home use supports cumulative plasticity by allowing consistent stimulation that promotes long-term synaptic and network-level changes (Charvet et al., 2015, Bréchet et al., 2021).\nHome use also allows stimulation at physiologically optimal times of day, aligned with individual chronotype and therapeutic goals. Morning sessions may enhance alertness or antidepressant effects, while evening stimulation can support memory consolidation or relaxation. This flexibility helps integrate treatment into daily life without disrupting work or social activities (Chmiel and Malinowska, 2025).\nAt-home stimulation can be paired with real-world cognitive or motor tasks, enhancing state-dependent plasticity. Delivering stimulation before or during training—rarely feasible in clinics—supports more durable, task-specific neural adaptations (Au et al., 2016).\nBecause physiological responses vary with factors such as mood, sleep, and medication, home-based use enables individualized timing. Patients can track how different schedules affect their symptoms, and advanced systems may use wearable sensors or AI to recommend optimal stimulation windows (Krause and Kadosh, 2014).\nFinally, avoiding clinic travel reduces stress and fatigue, promoting a more stable baseline brain state and potentially improving the consistency and efficacy of stimulation.\nClinic-based stimulation is often limited by cost, logistics, and personnel. Many chronic neurological and psychiatric conditions, however, require prolonged or maintenance therapy. Home-based systems make extended protocols feasible over months or years (Charvet et al., 2015).\nThey are particularly suited for maintenance and relapse prevention, allowing intermittent booster sessions or tapered schedules to stabilize improvements in mood, motor function, or cognition. Home systems also allow multiple daily sessions when appropriate, supporting spaced stimulation protocols that enhance consolidation and cumulative effects—especially in motor rehabilitation or cognitive enhancement (Knotkova et al., 2019, Palm et al., 2018).\nSelf-administered long-term treatment fosters autonomy and engagement, improving adherence and motivation. Patients can schedule sessions during periods of peak alertness or symptom fluctuation, increasing therapeutic relevance and reducing dropout (Charvet et al., 2015, Palm et al., 2018).\nHome-based NIBS significantly reduces healthcare costs by eliminating the need for clinic visits, specialized equipment, and staff supervision. Devices for home use—especially tES systems—are compact, inexpensive, and require minimal infrastructure. Reduced travel, missed work, and caregiver burden further lower indirect costs (Charvet et al., 2015).\nAlthough each patient requires a dedicated device and, in some cases, additional monitoring tools, these upfront costs are offset by long-term savings, particularly for chronic conditions requiring frequent treatment. As technology scales and competition increases, device costs are expected to decline. Remote updates, telemedicine integration, and modular designs will further improve cost-efficiency (Bikson et al., 2018).\nOver time, improved outcomes, reduced hospitalizations, and better adherence may support insurance coverage or reimbursement. Flexible pricing models such as rentals or subscriptions can also increase accessibility.\nHome-based NIBS improves treatment adherence by removing barriers such as travel, scheduling, and clinic fatigue. The ability to choose session timing and environment increases consistency and supports long-term therapeutic success (Charvet et al., 2015, Palm et al., 2018).\nGreater autonomy enhances patient engagement and satisfaction, which are closely linked to clinical outcomes. Home-based systems also reduce caregiver burden by minimizing clinic visits and enabling shared responsibility in a familiar environment (Knotkova et al., 2019).\nDaily use allows caregivers to observe real-world changes in mood, behavior, or motor function, providing valuable insights for clinicians. When combined with digital logging and telemedicine, this supports more responsive and coordinated care (Knotkova et al., 2019, Charvet et al., 2020).\n\n\n### Timing and frequency of treatment\nHome-based non-invasive brain stimulation enables more frequent and regular sessions, including weekends and holidays. In-clinic protocols are often constrained by scheduling, travel, and staff availability, leading to missed or inflexible sessions. Daily home use supports cumulative plasticity by allowing consistent stimulation that promotes long-term synaptic and network-level changes (Charvet et al., 2015, Bréchet et al., 2021).\nHome use also allows stimulation at physiologically optimal times of day, aligned with individual chronotype and therapeutic goals. Morning sessions may enhance alertness or antidepressant effects, while evening stimulation can support memory consolidation or relaxation. This flexibility helps integrate treatment into daily life without disrupting work or social activities (Chmiel and Malinowska, 2025).\nAt-home stimulation can be paired with real-world cognitive or motor tasks, enhancing state-dependent plasticity. Delivering stimulation before or during training—rarely feasible in clinics—supports more durable, task-specific neural adaptations (Au et al., 2016).\nBecause physiological responses vary with factors such as mood, sleep, and medication, home-based use enables individualized timing. Patients can track how different schedules affect their symptoms, and advanced systems may use wearable sensors or AI to recommend optimal stimulation windows (Krause and Kadosh, 2014).\nFinally, avoiding clinic travel reduces stress and fatigue, promoting a more stable baseline brain state and potentially improving the consistency and efficacy of stimulation.\n\n\n### Long term treatments and repeated daily stimulation sessions\nClinic-based stimulation is often limited by cost, logistics, and personnel. Many chronic neurological and psychiatric conditions, however, require prolonged or maintenance therapy. Home-based systems make extended protocols feasible over months or years (Charvet et al., 2015).\nThey are particularly suited for maintenance and relapse prevention, allowing intermittent booster sessions or tapered schedules to stabilize improvements in mood, motor function, or cognition. Home systems also allow multiple daily sessions when appropriate, supporting spaced stimulation protocols that enhance consolidation and cumulative effects—especially in motor rehabilitation or cognitive enhancement (Knotkova et al., 2019, Palm et al., 2018).\nSelf-administered long-term treatment fosters autonomy and engagement, improving adherence and motivation. Patients can schedule sessions during periods of peak alertness or symptom fluctuation, increasing therapeutic relevance and reducing dropout (Charvet et al., 2015, Palm et al., 2018).\n\n\n### Cost/Benefit\nHome-based NIBS significantly reduces healthcare costs by eliminating the need for clinic visits, specialized equipment, and staff supervision. Devices for home use—especially tES systems—are compact, inexpensive, and require minimal infrastructure. Reduced travel, missed work, and caregiver burden further lower indirect costs (Charvet et al., 2015).\nAlthough each patient requires a dedicated device and, in some cases, additional monitoring tools, these upfront costs are offset by long-term savings, particularly for chronic conditions requiring frequent treatment. As technology scales and competition increases, device costs are expected to decline. Remote updates, telemedicine integration, and modular designs will further improve cost-efficiency (Bikson et al., 2018).\nOver time, improved outcomes, reduced hospitalizations, and better adherence may support insurance coverage or reimbursement. Flexible pricing models such as rentals or subscriptions can also increase accessibility.\n\n\n### Compliance\nHome-based NIBS improves treatment adherence by removing barriers such as travel, scheduling, and clinic fatigue. The ability to choose session timing and environment increases consistency and supports long-term therapeutic success (Charvet et al., 2015, Palm et al., 2018).\nGreater autonomy enhances patient engagement and satisfaction, which are closely linked to clinical outcomes. Home-based systems also reduce caregiver burden by minimizing clinic visits and enabling shared responsibility in a familiar environment (Knotkova et al., 2019).\nDaily use allows caregivers to observe real-world changes in mood, behavior, or motor function, providing valuable insights for clinicians. When combined with digital logging and telemedicine, this supports more responsive and coordinated care (Knotkova et al., 2019, Charvet et al., 2020).\n\n\n### Disadvantages of “Home-based” NIBS\nWithout real‑time remote supervision (e.g., RS‑tDCS), home‑based NIBS lacks direct clinical oversight. In clinics, trained professionals ensure correct device setup, monitor responses, and adjust protocols as needed. At home, users rely on pre‑set instructions, increasing the risk of incorrect electrode placement, technical errors, and unrecognized adverse events such as headache or skin irritation. The absence of clinician observation also limits timely adjustments to intensity, duration, or targeting, reducing therapeutic precision (Antal et al., 2025a).\nHome-based use further increases the risk of misuse and non‑compliance, particularly in patients with cognitive or psychiatric vulnerabilities. Users may skip sessions, apply stimulation at inappropriate times, alter settings, or discontinue treatment prematurely. Underreporting of adverse events and unrealistic expectations about treatment effects may also occur, contributing to inconsistent outcomes. These challenges underscore the need for careful patient selection, thorough training, caregiver involvement, and safety features such as session limits and usage tracking to support responsible long‑term use (Charvet et al., 2020, Charvet et al., 2015, Vogelmann and Baskonus, 2025).\nUnlike clinic-based systems, where one device serves multiple patients, home-based NIBS requires each user to have a dedicated unit. Additional equipment—such as EEG headsets, sensors, positioning guides, or monitoring tools—may be needed to approximate clinical safety standards, increasing initial costs for patients and healthcare systems (Antal et al., 2025a).\nTo compensate for the lack of in‑person supervision, home systems often incorporate automated safety mechanisms, telehealth connectivity, and cloud‑based monitoring, which further raise costs. Users engaged in combined cognitive or motor rehabilitation may require supplementary devices or software, adding to financial complexity. For patients needing long-term or daily stimulation, maintaining or replacing equipment over time can become a barrier, raising concerns about economic sustainability and equitable access (Charvet et al., 2015, Charvet et al., 2020).\nDespite these challenges, costs are expected to decline as production scales, technology advances, and market competition increases—mirroring trends in other consumer medical technologies. Modular designs, standardized components, and remote software updates may further reduce long‑term expenses (Charvet et al., 2020).\nUltimately, the broader economic benefits of home-based NIBS—fewer clinic visits, improved adherence, reduced hospitalizations, and enhanced quality of life—can offset initial investments. As evidence grows, insurance coverage or reimbursement may become more common, and flexible pricing models (e.g., rentals or subscriptions) could improve accessibility. Although the transition to home use requires upfront investment, its long‑term impact on healthcare efficiency and patient autonomy supports its cost‑effectiveness.\n\n\n### Absence of medical control and misuse\nWithout real‑time remote supervision (e.g., RS‑tDCS), home‑based NIBS lacks direct clinical oversight. In clinics, trained professionals ensure correct device setup, monitor responses, and adjust protocols as needed. At home, users rely on pre‑set instructions, increasing the risk of incorrect electrode placement, technical errors, and unrecognized adverse events such as headache or skin irritation. The absence of clinician observation also limits timely adjustments to intensity, duration, or targeting, reducing therapeutic precision (Antal et al., 2025a).\nHome-based use further increases the risk of misuse and non‑compliance, particularly in patients with cognitive or psychiatric vulnerabilities. Users may skip sessions, apply stimulation at inappropriate times, alter settings, or discontinue treatment prematurely. Underreporting of adverse events and unrealistic expectations about treatment effects may also occur, contributing to inconsistent outcomes. These challenges underscore the need for careful patient selection, thorough training, caregiver involvement, and safety features such as session limits and usage tracking to support responsible long‑term use (Charvet et al., 2020, Charvet et al., 2015, Vogelmann and Baskonus, 2025).\n\n\n### Cost of medical device\nUnlike clinic-based systems, where one device serves multiple patients, home-based NIBS requires each user to have a dedicated unit. Additional equipment—such as EEG headsets, sensors, positioning guides, or monitoring tools—may be needed to approximate clinical safety standards, increasing initial costs for patients and healthcare systems (Antal et al., 2025a).\nTo compensate for the lack of in‑person supervision, home systems often incorporate automated safety mechanisms, telehealth connectivity, and cloud‑based monitoring, which further raise costs. Users engaged in combined cognitive or motor rehabilitation may require supplementary devices or software, adding to financial complexity. For patients needing long-term or daily stimulation, maintaining or replacing equipment over time can become a barrier, raising concerns about economic sustainability and equitable access (Charvet et al., 2015, Charvet et al., 2020).\nDespite these challenges, costs are expected to decline as production scales, technology advances, and market competition increases—mirroring trends in other consumer medical technologies. Modular designs, standardized components, and remote software updates may further reduce long‑term expenses (Charvet et al., 2020).\nUltimately, the broader economic benefits of home-based NIBS—fewer clinic visits, improved adherence, reduced hospitalizations, and enhanced quality of life—can offset initial investments. As evidence grows, insurance coverage or reimbursement may become more common, and flexible pricing models (e.g., rentals or subscriptions) could improve accessibility. Although the transition to home use requires upfront investment, its long‑term impact on healthcare efficiency and patient autonomy supports its cost‑effectiveness.\n\n\n### Future directions\nFuture home-based tES systems are anticipated to incorporate smart algorithms and real-time feedback for individualized stimulation. By integrating data from wearable sensors (e.g., EEG, heart rate variability, or motion tracking), close-loop controls could dynamically adjust stimulation parameters (e.g., intensity, duration, and frequency) to optimize neurophysiological effects.\nAs with many consumer health technologies, we can anticipate the miniaturization of tES devices, resulting in lighter, ergonomically refined devices resembling everyday accessories, improving comfort, usability, and adherence, particularly in populations with mobility or cognitive challenges.\nNext-generation home-based NIBS platforms will likely be deeply integrated into digital health ecosystems, allowing smooth communication with electronic health records, rehabilitation apps, and telemedicine platforms. Patients and clinicians will be able to view progress dashboards, receive automated alerts, and adjust treatment plans collaboratively. aIntegration with other digital therapies—such as cognitive training, mindfulness, or physical rehabilitation programs—will create multi-modal, synergistic interventions, enhancing neuroplasticity and functional outcomes beyond what stimulation alone can achieve. While digital integration will support the home-based delivery of tES, limited technological literacy may present a barrier for certain demographic groups (e.g., older adults), underscoring the need for highly intuitive and simplified user interfaces.\nArtificial Intelligence-driven analytics could support longitudinal data interpretation integrating evidence-based decisions as well as early detection of non-response or adverse events and could recommend timely protocol adjustments. Combined with enhanced remote monitoring tools (e.g., camera-based setup validation or biosignal analysis), such improvements will bring remote care closer to the quality and precision of in-clinic supervision—without requiring constant manual input from healthcare professionals.\nAs these technologies mature and production scales, reduced costs and expanding reimbursement pathways are expected to make home-based tES broadly accessible, positioning it as a scalable, first-line or adjunct treatment for long-term neurorehabilitation and mental health management.\n\n\n### Conclusion\nSupervised and RS home-based tES, particularly tDCS, represents a transformative advance in neurotherapeutics, integrating digital health and smart device capabilities to enable personalized, biomarker-driven interventions for chronic neurological and pain disorders. Remote supervision and digital training protocols ensure rigorous safety standards and high patient adherence, exceeding 95%, while substantially reducing treatment burden and healthcare costs, especially for individuals with limited mobility or those residing far from specialized centers. Robust clinical trial evidence across multiple populations, including fibromyalgia and major depressive disorder, demonstrates that home-based tES yields significant clinical benefits with consistently mild and transient adverse events, confirming its feasibility and therapeutic potential. Growth in this sector is powered by ongoing technological innovation, the integration of AI for data-driven personalization, and established medical guidelines that uphold strong ethical oversight.\nTo safely scale this technology, global harmonization of training, stimulation parameters, and regulatory models is required, along with support for reimbursement and healthcare integration to ensure equitable access. Indeed, it is important to highlight that one major factor impeding the accessibility of the given neurotechnology to the general public is the lack of treatment reimbursement by most public health insurances, e.g., in Australia or in most of Europe (Brem and Lehto, 2017, Mathews et al., 2023).\nIn summary, supervised home-based tES stands poised to deliver substantial, evidence-based improvement in global neurological and pain care, provided that innovation, accessibility, and patient safety advance together under international consensus and collaborative regulatory stewardship. Voice-controlled assistants or AI-based rehabilitation coaches, in the future, can provide real-time instructions, encouragement, and adherence support, especially beneficial for individuals with visual or motor impairments. Remote clinician dashboards can integrate data from all these devices, stimulation logs, rehab performance, and physiological metrics, enabling truly personalized, adaptive, and continuous care from a distance. Besides tES, other methods, such as using home-based rTMS, are under development, the first light-weight home-based high-frequency magnetic stimulator is on the market (Qi et al., 2025).\n\n\n### Funding\nNo funding has been provided.\n\n\n### Declaration of competing interest\nThe authors declare the following financial interests/personal relationships which may be considered as potential competing interests: PR has received honorarium from neurocare (Germany) for a teaching course, and non-financial support from Sooma Medical™ (Finland), neurocare (Germany), and QuantalX Neuroscience (Israel). The City University of New York holds patents on brain stimulation with MB and KD as inventors. KD consults for Ceragem Medical. MB has equity in Soterix Medical Inc. MB consults, provides expert witness support, received grants, assigned inventions, and/or served on the SAB of SafeToddles, Zabara Family Foundation, Boston Scientific, GlaxoSmithKline, Biovisics, Axonics, Mecta, Lumenis, Halo Neuroscience, Wave Neuroscience, Google-X, i-Lumen, Humm, Allergan(Abbvie), Apple, Ybrain, Ceragem, Ceragem Clinical, Remz. AH is partially employed by neuroConn GmbH. AA is the vice president of the European Society for Brain Stimulation, Member-at-Large at the EMEAC–IFCN, serves as a paid consultant at neuroConn, Ilmenau, and is a paid advisor at Electromedical Products International (Pulvinar), USA. AA is a member of the advisory board at PlatoScience and has non-financial support from Sooma Medical™. AO co-founded Neurek SL.", "domain": "affective_neuroscience"}
{"source": "PMC13084676", "title": "Attention-based multi-feature fusion neuromarker for EEG-driven stress classification in learners", "text": "# Attention-based multi-feature fusion neuromarker for EEG-driven stress classification in learners\n\n## Abstract\nWith the growing academic pressure and competitive educational environment, students often face mental stress, which can affect their academic performance and mental health. Its accurate and timely detection and prevention is important. Traditionally, mental stress has been reported by self-assessment, which is highly subjective and can be erroneous. With advances in neuroscience, electroencephalogram (EEG) signals have been used to study brain states more objectively. EEG-based features, including time-domain, frequency-domain, and various types of connectivity features, have been used to effectively classify stress signals. However, these individual features are only able to present one aspect of the brain under stress. Several studies have combined a distinct set of features extracted from EEG signals, including time and frequency domain features, with other peripheral signals. Stress is a complex mechanism which leads to alternation in brain dynamics, its connectivity patterns and information flow. This study proposed a feature-fusion model that can effectively combine spatial features, i.e. Microstates (MS), connectivity features like Transfer Entropy (TE) and Granger Causality (GC), which provided a new neuromarker for stress classification. These features are combined with attention fusion, which enhances the discriminant features and mitigates the individual limitations within each modality. We also extracted microstates for stress-based signals. It provided a new set of microstate topomaps to study brain networks when under stress, which was not explored previously. The proposed Attention-fusion based multi-feature set is classified using Support Vector Machine, Linear Discriminant Analysis (LDA) and Multilayer Perceptron (MLP) and gave a reliable accuracy of 95.47%, 98.91%, and 83.49%, respectively. To validate the proposed method, the classification results were compared with individual and binary fusion of MS, TE and GC features, which further confirmed the robustness of the framework. This proposed feature fusion provides a more robust stress classification neuromarker, which can effectively cover the brain dynamics for accurate reporting of the underlying mental state.\n\n## Full Text\n\n\n### Introduction\nStress among students is increasing due to academic demands. High expectations for academic achievement and uncertainty about academic progress negatively affect the student’s cognitive abilities. Its accurate and efficient identification of stress is important for maintaining students’ academic performance and mental well-being. Without an effective coping mechanism and lead to long-term stress and other mental disorders. According to some reports, the number of students facing stress due to exam pressure and academic burden is increasing every year (Bouchrika, 2024). Stress is reported subjectively using traditional methods such as self-report and questionnaires. However, the subjective self-assessment is highly biased towards the reporting method, and emotional and behavioral states of the reporting person (Bolton et al., 2023). With the advancement in neuroscience and brain studies, scientists can study the complex brain networks using non-invasive techniques. Brain signals of various kinds reflect the activities of the central nervous system, providing a reliable way to studying the evoked functions (Chen et al., 2022). These signals have been used to classify various psychological conditions, such as emotion recognition, depression and motor imagery, including stress in students (Huckins et al., 2020). The early and reliable identification of stress can help provide personalized treatment and thus improve academic productivity.\nNeuroimaging is a powerful field that helps understand the functions of the brain and the complex network using non-invasive techniques. Among the various techniques, Electroencephalography (EEG) stands out to be one of the sensitive method which captures the underlying electrical activity with high temporal resolution. This electrical activity is the result of postsynaptic potentials occurring in the cortical regions (Botvinik-Nezer & Wager, 2023). EEG has been a cutting-edge technique for studying neural responses because of its non-invasive nature. The brain operates under natural phenomena and can exhibit different properties when recorded through various representations. These different representations are typically known as Neuroimaging modalities. A few of them are EEG, functional Magnetic Resonance Imaging (fMRI), Positron Emission Tomography (PET), and Magnetoencephalography (MEG). These modalities capture distinct aspects of the brain. Due to its high temporal resolution, EEG-based signals have been used to study emotional and psychological conditions. It has various types of features that give information about underlying properties. The quantitative measure that contains information about signals and brain activity is called an EEG feature. There are various kinds of features that give distinct views about the neural activities. For example, Time-domain features in EEG give information about the temporal dynamics of the brain. Frequency-based features describe how varying brain activity produces a range of frequencies exhibiting distinct properties. Dynamic and static connectivity features give information about the network of the brain and its interaction with other regions.\nThe EEG features, when used standalone, give profound information about the nature of neuronal activities. It can help visualize brain performance when under various conditions, such as in rest, experiencing a strong mental task or under mental disorders. However, stress recognition remains a challenging task due to the complex dynamics of the brain. The simultaneous changes in its temporal, spectral and connectivity patterns are difficult to capture by the exact representation of the underlying phenomenon using any single feature or modality. These features fail to represent the holistic nature of complex brain dynamics and functioning when used individually. Therefore, it is essential to understand the relationships between these modalities. Multi-model fusion has emerged as a promising strategy to incorporate information from multiple modalities to improve accuracy (Chen et al., 2022). However, this fusion comes with challenges (Liu et al., 2023). One of these challenges is what features to fuse together to maximize the discrimination and variety of information. The answer to this depends upon the goal of fusion. So the appropriate selection of a limited yet discriminating set of features that also capture most of the brain changes is important. In recent studies, most fusion frameworks rely on redundant features, which do not consider effective interplay between linear, non-linear and temporal neural mechanics. Consequently, though a moderate level of performance is achieved, the underlying neural signatures for psychological disorders like stress are not fully understood.\nAnother issue is how to fuse these features. One of the issues regarding fusion is reported by Duan et al. (2024), i.e. dimension inconsistency. Different modalities can be fused at the feature-level (also known as early fusion) and decision level (also known as late fusion) (Zhang et al., 2020). The feature-level fusion accommodates heterogeneous feature sets but is followed by feature reduction, which leaves data sufficient for analysis. For decision-level fusion, a voting rule is applied to the final decisions produced by each modality.\nTo address these challenges, a fusion framework that aims to capture all the important aspects of the brain that are affected by stress is presented in this research. An attention-based fusion for Microstates is proposed, using Granger Causality and transfer entropy. The attention-fusion-based feature-level fusion method, instead of concatenating all features, selected appropriate features using attention. Among all the features, the attention-based model selects and assigns high weights to the most relevant and informative features. In this way, redundancy is reduced and only useful features from each modality set are forwarded. The rationale behind selecting these particularly distinct yet complementary characteristics is as follows:\n•Microstates represent a quasi-stable brain image that provides temporal abstraction of the underlying cognitive process.•Granger Causality quantifies the linear directed connectivity between signals. It is the measure of predictability from one signal to another. How stress modulates the connectivity is reflected in this study using Granger Causality.•Transfer Entropy is a non-linear measure of directed information flow between signals, capturing important interdependences and information transfer during stress response.\nMicrostates represent a quasi-stable brain image that provides temporal abstraction of the underlying cognitive process.\nGranger Causality quantifies the linear directed connectivity between signals. It is the measure of predictability from one signal to another. How stress modulates the connectivity is reflected in this study using Granger Causality.\nTransfer Entropy is a non-linear measure of directed information flow between signals, capturing important interdependences and information transfer during stress response.\nMicrostate analysis has been emerging as the latest way to study the resting-state dynamics of the brain. It has been used to analyze psychological disorders (S A et al., 2024, Terpou et al., 2022). However, Task-based Microstate extraction has not yet been explored by researchers. This study aims to derive a new set of data-driven Microstates that can provide temporal images of the brain when experiencing stress. This goal is supported by the fact that the dynamics of resting-state and task-based stress are distinct and provide distinct information. Therefore, a new way to explore Microstates for mental stress is proposed. By fusing heterogeneous features via an attention-based mechanism, this framework leverages the brain’s temporal, linear, and non-linear aspects during stress, providing a more accurate representation of the brain.\nThe rest of the paper is structured as follows: Section “Literature review” provides an extensive overview of existing studies on Microstates, Granger Causality, Transfer Entropy and related features for psychological disorders classification, as well as fused features. The fusion model is explained in detail in Section “Methods”, outlining the procedure adopted for data preprocessing. Feature extraction and classification architecture is explained in Section “Feature extraction”. Section “Results and discussion” presents the evaluation results of the proposed methodology. To demonstrate the effectiveness of the proposed fusion model, an ablation study was carried out that compared the performance of individual feature sets for stress classification with that of fused features. Thereby validating the contribution of each component. Finally, Section “Conclusion” interprets the findings, their effectiveness and discusses the potential future works.\n\n\n### Literature review\nStress is a ubiquitous mental problem that affects people of every age and is faced especially by students worldwide. Stress is a psychological disorder that eventually leads to other mental and physical issues like depression (Aloufi, 2021), heart stroke and poor sleep (Pichandi et al., 2025). Academic stress faced by students often disturbs the functional patterns of the brain, leading to poor performance in academia as well as draining mental health (Hag et al., 2021). It is important to prevent stress and its negative health outcomes (Malviya & Mal, 2022). The early detection of stress can prevent students from suffering from learning disabilities and adverse cognitive performance (Huckins et al., 2020).\nThere are many ways to report mental stress. Traditional methods involve self-assessment and reporting using questionnaires and other assessment tasks (Bolton et al., 2023). With advancements in neuroscience, scientists can use brain signals to study the brain and its complex regions using neuroimaging. These physiological signals are more objective and effective for better analyzing brain performance. A stressful situation produces the stress hormones that change bio-electrical signals. These fluctuations of electrical activity can be captured from the brain in the form of EEG signals. The EEG signals capture the electrical activity of neurons in the cortical region. EEG signals have high temporal resolution, which means that they can capture sensitive activities occurring in infinitesimally small time points. Stress is often released when a higher activity is experienced in the prefrontal cortex (Vignaud, 2023). The structural view also mentioned that the stress is produced by the left hemisphere of the brain Bhatnagar et al. (2023). Though it faces serious artifacts and many kinds of noise, EEG is a robust non-invasive technique that provides rich information about underlying activity and thus makes it suitable for real-time monitoring and analysis (Rashmi & Shantala, 2023).\nThe brain signals need a quantitative measure to objectivize the reflected brain activity. These quantitative measures are called neuromarkers. They serve as an indicator of how the brain works. Neuromarkers identified from EEG signals are often derived from multiple feature domains such as time-based features, frequency features, time–frequency features, non-linear and connectivity features (Hu & Zhang, 2019). For instance, brain patterns are depicted in the form of multiple frequency bands, mainly Theta (4–8Hz), Alpha (8–13 Hz), Beta (13–30Hz) and gamma (30–100Hz), which are associated with different brain states. With the help of power distribution across these bands, scientists believe that stress is often related to increasing beta bands and lowering alpha bands (Bakare et al., 2024). Lokesh et al. quantified various frequency bands extracted from the physioNet dataset to classify stress and non-stress conditions and achieved an accuracy of 99.20% (Malviya & Mal, 2022). Similarly, using the power ratios between alpha, beta and theta bands, Rajendran et al. found that there is a rise in arousal index, cognitive attention and neural activity after performing stressful examinations (Rajendran et al., 2022). Another similar work for stress-based classification is done by Arsalan et al. (2019). Time–frequency features combine both time and frequency information of signals. The time–frequency features represented in 2-D spectrograms are also helpful to detect cognitive load, which corresponds to mental stress (Yedukondalu et al., 2024).\nStress increases cognitive performance, which results in non-linear and complex behavior of EEG signals. These non-linear behavior requires sensitive measures for their correct estimation. These measures, including Approximate Entropy, Lempel–Ziv Complexity and Higuchi’s Fractal Dimension (HFD), are useful to study complex non-linear EEG signals (Javaid et al., 2024). For instance, (Cheng et al., 2019) used these features for neural remodeling of the brain and found that these non-linear features are helpful for functional recovery.\nStress is not produced in an isolated region of the brain; rather, complex emotions are produced by the communication between multiple regions, thus creating a network-level mechanism. Where traditional time and frequency domain features only collect the information from a localized region, they often fail to represent the interactions and communication of the vast brain network. During a complex brain activity, such as when multiple regions of the brain communicate and interact with each other, these connectivity patterns give important details about cognitive processes and sensory behaviors. The brain connectivity patterns can be studied in three distinct ways (Chiarion et al., 2023): Structural connectivity presents the anatomical pathways of information flow. Functional Connectivity gives the statistical relationship between brain regions. The Effective Connectivity describes the directional and causal link between multiple parts of the brain.\nFunctional connectivity is defined as the statistical interdependence of spatially distant neuronal regions, usually measured by Pearson’s correlation, coherence and Phase Locking Value PLV (Cao et al., 2022). Higher values of correlation represent a more robust relationship between the corresponding EEG signals. For the task of motor-imagery classification, the dynamic functional connectivity of the brain extracted from a shorter interval of time is used and achieves the accuracy of 85.5% (Shamsi et al., 2021). A study proposed an interesting methodology in which a person’s mental workload level is analyzed using functional connectivity analysis of obtained Microstates, with graph-theory-based analysis for each frequency band. The authors were able to achieve an accuracy of 95.3% (Yedukondalu et al., 2024). Instead of classifying the signals directly based on PLV values based on functional connectivity matrices, authors of Zhang et al. (2023) developed a set of new distance-based matrices to combine statistical and frequency domain information. The highest accuracy among these distance metrics was obtained to be 84% for the delta band, 83.96% for the alpha and 83.56% for the beta band for the task of emotional recognition. But these simpler methods come with limitations. Pearson’s correlation value only captures the linear link.\nStress-based EEG signals require a more nonlinear approach that considers mutual information and direct interdependencies between two or more brain regions. Although cross-correlation functions have been effective in studying undirected interaction, both correlation and mutual information lose temporal dependencies of a signal as they measure the connectivity irrespective of the time the signal occurred. Effective connectivity analysis indicates the causal or directive link between these regions, which is not captured by functional connectivity. And these directive links and mutual information sharing are effective for classification. For example, a study extracted various kinds of features, including Phase-locking value, Permutation Entropy, Mutual Information and Spectral Entropy, and found that the highest discriminative results were given by Mutual Information MI and Entropy (Goenka et al., 2022). One study found that information transfer is greater in the alpha band when eyes are closed than when eyes are open (Restrepo et al., 2023). Electromagnetic Source-Imaging ESI estimates the neural activity from the surface of the brain. The authors of Sohrabpour et al. (2016) are convinced that combining ESI with directed Granger Causality reduced the effect of volume conduction that effectively determines the brain regions involved in Motor Imagery. The research accounts for information transfer in inter-hemispheric regions using transfer entropy.\nMethods like Granger Causality are used to assess how the past values of a signal can predict the future values of another signal. Granger Causality considers that the signals are stationary. Many useful algorithms have been proposed to handle the issue of non-stationarity in EEG signals. For example, Zhang et al. used time-varying directed network spectrum obtained from causal links using Granger Causality (Yi et al., 2024).\nSimilar to Granger Causality, a model-free method to find the directed links between signals is transfer entropy. It is based on delayed interaction between a cause (predicting signal) and effect (predicted signal) using information theory. It captures non-linear forms which are overlooked by linear approaches like Granger Causality (Bastos & Schoffelen, 2015). An effective study was conducted by Gao Z. et al. in which Transfer Entropy was used to find the directed link between EEG and EMG for motor-cortex imagery (Guo et al., 2022). With the help of information transfer, Transfer entropy is used to see the regulatory patterns introduced by medication on Parkinson’s diseases (Zhu et al., 2025). Another study which combined Transfer Entropy and Granger Causality with their respective Histogram of Oriented Gradients (HOG) images. HOG is the graphical representation of channel-to-channel connectivity. A vast amount of gradient-based features are present in this graphical image. The authors of Gao et al. (2020) combined Transfer Entropy and Granger Causality with its HOG and observed about 12% of classification accuracy improvement. However, no fusion of the two modalities was made to see their combined effect.\nSpatial configuration of brain activity is also helpful to keep track of neural activities over time. Spatial Microstates give unique configuration of brain topomaps which remain stable for a brief period of time. The temporal evolution of instantaneous scalp potential topography gives a long-range connectivity pattern of a network. Recently, researchers have been using Microstate patterns as a tool to diagnose chronic cognitive diseases (Li et al., 2023). Microstates are small quasi-stable states of the brain which give dense information about spatial organization, temporal dynamics and patterns that change after an external stimulus. Microstates, first proposed by Lehmann et al. is an interesting property that says that significant information of entire temporal patterns could be represented by a few maps (Koenig et al., 2024). Initially, Microstate analysis was carried out in the resting state only. Canonical microstates, often labeled A, B, C, and D, represent stable patterns commonly identified in resting-state EEG and are thought to correspond to fundamental cognitive and sensory networks. However, recent studies have used Microstates for the rapid detection of brain disorders (S A et al., 2024). One study extracted about 5 Microstates from resting-state EEG signals of major depressive disorder MDD signals (Li et al., 2023). Based on classification, the authors can analyze the temporal patterns of Microstates in depression by achieving an accuracy of 89.09%. Also, a varying number of Microstates extracted from resting state signals corresponds directly to the Resting State Network RSN of the brain Michel and Koenig (2018). Microstates, along with drug concentration response towards behavioral consciousness, also played an important role in studying the alterations in conscious state after taking anaesthesia (Liu et al., 2022).\nMost of the existing studies rely on pre-defined canonical states (Haydock et al., 2025). The data-driven Microstates extend the use of microstates to detect adaptability to individual- and task-based variability (Han et al., 2025). It has allowed us to identify and study specific cognitive impairment like Attention-Deficit Hyperactivity Disorder (ADHD) through specific syntax of Microstates (Alves et al., 2022).\nAn attempt was made to classify task and resting-state signals based on Microstates (Kim et al., 2021). The authors extracted Microstates from task-based and resting state signals. About four canonical states were extracted from each type of signal. On the basis of extracted time-based features such as occurrence and mean duration, the highest area under the curve on receiver operating curve (ROC) plot was achieved with a value of 0.831. Microstates extracted from frequency bands also reflect comparable results. One study investigates that motor imagery tasks show a prominent influence on Microstates extracted from the alpha band Xiong et al. (2025). Similarly, the alpha band also showed the classification results of 76% for the classification of Microstate-based post-traumatic stress disorder (Terpou et al., 2022).\nDespite the extensive work done on accurate feature fusion of multiple EEG features, a primary limitation is the lack of comprehensive fusion of between modalities. A joint neural feature set for emotion recognition was revealed by studying EEG based Microstates temporal features and FNIRS based spatial patterns leveraging multimodal feature for effective neuromarkers (Si et al., 2024). But this method does not explicitly fused both feature sets. While Microstates inherently capture spatio-temporal features, their integration with other time-domain, frequency-domain and various kinds of connectivity features remains unexplored. Another critical gap is the extraction of stress-based data-driven Microstates. This gap is supported by the fact that brain dynamics change to a greater extent when under any heavy mental workload, as compared to the resting state brain network.\nRecently, a technique named Deep Canonical Correlation (DCC) has been used to integrate features from multiple modalities such as EEG and eye movement (Qiu et al., 2018). This technique combines the features into a unified space and maximizes the correlation to perform feature-level fusion. CNN and self-attention are used by Ma et al. (2024) to encapsulate the temporal information from multi-model EEG signals, along with covering the global dependencies between them extracted. The limitation in existing studies shows that single-domain features might not fully capture the multifaceted nature of physiological responses. Several studies are focused on using only a limited number of features from multiple sets after combining them (Swapnil et al., 2024). For example, the authors of Hag et al. (2021) are convinced that fusing time, spectral and connectivity-based features can perform better in classifying stress vs relax states. The features extracted from time domain features, such as kurtosis, skewness, peak-to-peak amplitude, Hjorth, frequency features extracted from frequency bands and connectivity features extracted using phase-locking value, give a total of 210 features, from which only optimum multi-domain features (a total of 68) were used for classification. Another multi-model fusion model is developed by Chen et al. (2022) for fusing EEG signals with other peripheral physiological signals PPS such as EMG, and proved that multi-model fusion gives significant performance improvements in classifying stress based on valence and arousal.\nEEG features have also been combined with other physiological signals, such as the Electrocardiogram (ECG) signals. The proposed solution effectively fused time series of both modalities on the basis of time–frequency ridge mapping (Bahador et al., 2021). Another unique approach uses the Granger Causality connectivity pattern to quantify the causal configurations between EEG channels using transfer entropy (Ramakrishna et al., 2021). The authors developed an emotional recognition method using this Granger Causality-Transfer Entropy-based method and achieved an accuracy of about 90%.\nStructural and functional features have inconsistent feature dimensions. It is important to fuse them in a way that no information is lost. To address this problem, an effective method for feature combining and selection is proposed by Yang et al. (2018). The structural patterns are constructed from the cortical and subcortical regions of interest. Similarly, the functional connectivity matrix is extracted using Pearson’s correlation coefficient between the mean time courses of each pair of Regions of Interest (ROIs). The feature reduction framework preserves inter-modality relationships and achieves an accuracy of 84.91%.\nA hybrid pool of features collected from the time domain and wavelet-based bandwidth-specific features is used for classification (Hasan & Kim, 2019). A framework that ranks the features on the basis of relevance instead of considering the entire pool is proposed. The fusion improved the accuracy up to 73.38%. Akhand et al. improved the accuracy of emotion recognition by fusing Connectivity Feature Maps (CFMs) from multiple features, such as Pearson Correlation Coefficient (PCC), Mutual Information (MI), Transfer Entropy and Phase-Locking Value (PLV) using Convolutional Neural Network (CNN) and found that a fused set of CFMs gives better results. Among all binary fusions, PVL and MI give the highest accuracy of 90.71% for valence and 91.15% for arousal. The feature-level fusion is performed by fusing the upper and lower triangles of the CFM’s matrix.\nThe existing literature suggests that single-modal features are often insufficient, and integrating them can lead to significant improvements in classification (Pillalamarri & Shanmugam, 2025). The transition from single-feature analysis to multimodal feature fusion marks a crucial advancement in developing highly accurate and reliable EEG-based stress classification systems. Table 1 gives a detailed comparison between multiple feature extraction studies.\nTable 1Literature review for feature fusion techniques for EEG based signal classification.Table 1RefDomainFeaturesClassifierTaskAccuracyHag et al. (2021)Time-domainKurtosis, skewness, peak-to-peak amplitude, HjorthSVMStress81.4%Frequency-DomainDelta, theta, alpha, sigma, beta80%ConnectivityPLV88%FusionFeature-Level Fusion93.3%Chen et al. (2022)EEGChannel-level time-space and frequency-space graph sequence.Attention Recurrent Graph Convolutional NetworkEmotion Recognition87.61%Peripheral physiological signals–FusionData-Level Fusion92.50%Yang et al. (2018)Structural FeaturesCortical ROIsHierarchical feature reductionMajor depression81.4%Functional FeaturesPLV–FusionFeature-Level Fusion84.91%Gao et al. (2020)Granger CausalityLinear network featuresSVMEmotion Recognition73.18%Granger Causality + HOGLinear + gradient features88.93%Transfer EntropyNon-linear network features81.88%Transfer Entropy + HOGNon-linear +gradient features95.2%Hasan and Kim (2019)Time-domainRoot mean square, kurtosis, skewness, shape factor, etcPCA + KNNStress Classification69.26%Frequency-DomainLevel 5 discrete wavelet transform (DWPT)FusionFeature-Level FusionFeature selector + KNN73.38%Zhang et al. (2022)Time series–Decision ForestDepression Recognition78.33%Spatial Visibility Graph–72.97%FusionFeature-Level Fusion90.60%Bahador et al. (2021)EEG + ECGTime-frequency FusionRNNmonitoring the depth of Anesthesia90.37%Chen et al. (2015)EEG + PERI FusionDecision-level FusionHMMsEmotion Recognition75.63%Feature-level Fusion85.63%Akhand et al. (2023)Connectivity FeaturesPCCCNNEmotion Recognition(88.22%) Arousal (87.43%) ValenceMI(90.14%) Arousal (89.98%) ValenceTE(73.65%) Arousal (73.22%) ValencePhase-Locking Value PVL(88.22%) Arousal (87.63%) ValencePCC + MI(90.43%) Arousal (89.71%) ValencePCC+ TE(86.43%) Arousal (86.16%) ValencePLV + MI(91.15%) Arousal (90.71%) ValencePLV+TE(85.84%) Arousal (85.57%) ValenceMI+TE(90.68%) Arousal (90.12%) ValenceRadman et al. (2021)TemporalRoot Mean Square, Variance, Mean Absolute Value Kurtosis, Skewness.Ensemble Decision Tree (EDT) ClassifierSeizure Detection–SpectralPower Spectral Ratio, Skewness, BP, Variance, Median Power Frequency.–FusionFeature-Level99.33%Fig. 1Block diagram of proposed framework for stress detection.Fig. 1\nLiterature review for feature fusion techniques for EEG based signal classification.\nBlock diagram of proposed framework for stress detection.\n•Most of the existing studies on Microstates focus on the resting state of the brain. Stress activates the cortical region of the brain and which gives rise to spatiotemporal dynamics which are different from the resting state. Therefore, analyzing stress-related Microstates on the basis of pre-defined canonical Microstates fails to uniquely capture stress-related configurations.•Although the existing studies mostly combine time, time–frequency and other types of connectivity features, Microstates features capture global temporal network organization, offering complementary information. No, studies up till now have fused Microstates with any other modality.•Prior studies either combined linear or non-linear connectivity features in isolation. However, the brain is composed of many linear as well as non-linear interdependencies, as well as dynamics captured by Microstates. No existing study has utilized the combined effect of linear Granger Causality features, non-linear directed features and temporal network features for stress classification.\nMost of the existing studies on Microstates focus on the resting state of the brain. Stress activates the cortical region of the brain and which gives rise to spatiotemporal dynamics which are different from the resting state. Therefore, analyzing stress-related Microstates on the basis of pre-defined canonical Microstates fails to uniquely capture stress-related configurations.\nAlthough the existing studies mostly combine time, time–frequency and other types of connectivity features, Microstates features capture global temporal network organization, offering complementary information. No, studies up till now have fused Microstates with any other modality.\nPrior studies either combined linear or non-linear connectivity features in isolation. However, the brain is composed of many linear as well as non-linear interdependencies, as well as dynamics captured by Microstates. No existing study has utilized the combined effect of linear Granger Causality features, non-linear directed features and temporal network features for stress classification.\nTo resolve the identified research gaps, the following research objectives are proposed:\n•Research Objective 1: Develop characterized stress-specific Microstates based on a data-driven clustering technique. These Microstates will be analyzed on temporal parameters such as duration, occurrence, probability of transition and coverage.•Research Objective 2: Develop a multi-model fusion model that evaluates the impact of Microstate inclusion on improving the classification of stress-based signals.•Research Objective 3: Develop a model that analyzes the impact of the complementary nature of distinct features on stress detection.\nResearch Objective 1: Develop characterized stress-specific Microstates based on a data-driven clustering technique. These Microstates will be analyzed on temporal parameters such as duration, occurrence, probability of transition and coverage.\nResearch Objective 2: Develop a multi-model fusion model that evaluates the impact of Microstate inclusion on improving the classification of stress-based signals.\nResearch Objective 3: Develop a model that analyzes the impact of the complementary nature of distinct features on stress detection.\n\n\n### EEG features\nThe brain signals need a quantitative measure to objectivize the reflected brain activity. These quantitative measures are called neuromarkers. They serve as an indicator of how the brain works. Neuromarkers identified from EEG signals are often derived from multiple feature domains such as time-based features, frequency features, time–frequency features, non-linear and connectivity features (Hu & Zhang, 2019). For instance, brain patterns are depicted in the form of multiple frequency bands, mainly Theta (4–8Hz), Alpha (8–13 Hz), Beta (13–30Hz) and gamma (30–100Hz), which are associated with different brain states. With the help of power distribution across these bands, scientists believe that stress is often related to increasing beta bands and lowering alpha bands (Bakare et al., 2024). Lokesh et al. quantified various frequency bands extracted from the physioNet dataset to classify stress and non-stress conditions and achieved an accuracy of 99.20% (Malviya & Mal, 2022). Similarly, using the power ratios between alpha, beta and theta bands, Rajendran et al. found that there is a rise in arousal index, cognitive attention and neural activity after performing stressful examinations (Rajendran et al., 2022). Another similar work for stress-based classification is done by Arsalan et al. (2019). Time–frequency features combine both time and frequency information of signals. The time–frequency features represented in 2-D spectrograms are also helpful to detect cognitive load, which corresponds to mental stress (Yedukondalu et al., 2024).\n\n\n### Connectivity EEG features\nStress increases cognitive performance, which results in non-linear and complex behavior of EEG signals. These non-linear behavior requires sensitive measures for their correct estimation. These measures, including Approximate Entropy, Lempel–Ziv Complexity and Higuchi’s Fractal Dimension (HFD), are useful to study complex non-linear EEG signals (Javaid et al., 2024). For instance, (Cheng et al., 2019) used these features for neural remodeling of the brain and found that these non-linear features are helpful for functional recovery.\nStress is not produced in an isolated region of the brain; rather, complex emotions are produced by the communication between multiple regions, thus creating a network-level mechanism. Where traditional time and frequency domain features only collect the information from a localized region, they often fail to represent the interactions and communication of the vast brain network. During a complex brain activity, such as when multiple regions of the brain communicate and interact with each other, these connectivity patterns give important details about cognitive processes and sensory behaviors. The brain connectivity patterns can be studied in three distinct ways (Chiarion et al., 2023): Structural connectivity presents the anatomical pathways of information flow. Functional Connectivity gives the statistical relationship between brain regions. The Effective Connectivity describes the directional and causal link between multiple parts of the brain.\nFunctional connectivity is defined as the statistical interdependence of spatially distant neuronal regions, usually measured by Pearson’s correlation, coherence and Phase Locking Value PLV (Cao et al., 2022). Higher values of correlation represent a more robust relationship between the corresponding EEG signals. For the task of motor-imagery classification, the dynamic functional connectivity of the brain extracted from a shorter interval of time is used and achieves the accuracy of 85.5% (Shamsi et al., 2021). A study proposed an interesting methodology in which a person’s mental workload level is analyzed using functional connectivity analysis of obtained Microstates, with graph-theory-based analysis for each frequency band. The authors were able to achieve an accuracy of 95.3% (Yedukondalu et al., 2024). Instead of classifying the signals directly based on PLV values based on functional connectivity matrices, authors of Zhang et al. (2023) developed a set of new distance-based matrices to combine statistical and frequency domain information. The highest accuracy among these distance metrics was obtained to be 84% for the delta band, 83.96% for the alpha and 83.56% for the beta band for the task of emotional recognition. But these simpler methods come with limitations. Pearson’s correlation value only captures the linear link.\nStress-based EEG signals require a more nonlinear approach that considers mutual information and direct interdependencies between two or more brain regions. Although cross-correlation functions have been effective in studying undirected interaction, both correlation and mutual information lose temporal dependencies of a signal as they measure the connectivity irrespective of the time the signal occurred. Effective connectivity analysis indicates the causal or directive link between these regions, which is not captured by functional connectivity. And these directive links and mutual information sharing are effective for classification. For example, a study extracted various kinds of features, including Phase-locking value, Permutation Entropy, Mutual Information and Spectral Entropy, and found that the highest discriminative results were given by Mutual Information MI and Entropy (Goenka et al., 2022). One study found that information transfer is greater in the alpha band when eyes are closed than when eyes are open (Restrepo et al., 2023). Electromagnetic Source-Imaging ESI estimates the neural activity from the surface of the brain. The authors of Sohrabpour et al. (2016) are convinced that combining ESI with directed Granger Causality reduced the effect of volume conduction that effectively determines the brain regions involved in Motor Imagery. The research accounts for information transfer in inter-hemispheric regions using transfer entropy.\nMethods like Granger Causality are used to assess how the past values of a signal can predict the future values of another signal. Granger Causality considers that the signals are stationary. Many useful algorithms have been proposed to handle the issue of non-stationarity in EEG signals. For example, Zhang et al. used time-varying directed network spectrum obtained from causal links using Granger Causality (Yi et al., 2024).\nSimilar to Granger Causality, a model-free method to find the directed links between signals is transfer entropy. It is based on delayed interaction between a cause (predicting signal) and effect (predicted signal) using information theory. It captures non-linear forms which are overlooked by linear approaches like Granger Causality (Bastos & Schoffelen, 2015). An effective study was conducted by Gao Z. et al. in which Transfer Entropy was used to find the directed link between EEG and EMG for motor-cortex imagery (Guo et al., 2022). With the help of information transfer, Transfer entropy is used to see the regulatory patterns introduced by medication on Parkinson’s diseases (Zhu et al., 2025). Another study which combined Transfer Entropy and Granger Causality with their respective Histogram of Oriented Gradients (HOG) images. HOG is the graphical representation of channel-to-channel connectivity. A vast amount of gradient-based features are present in this graphical image. The authors of Gao et al. (2020) combined Transfer Entropy and Granger Causality with its HOG and observed about 12% of classification accuracy improvement. However, no fusion of the two modalities was made to see their combined effect.\n\n\n### Spatial features\nSpatial configuration of brain activity is also helpful to keep track of neural activities over time. Spatial Microstates give unique configuration of brain topomaps which remain stable for a brief period of time. The temporal evolution of instantaneous scalp potential topography gives a long-range connectivity pattern of a network. Recently, researchers have been using Microstate patterns as a tool to diagnose chronic cognitive diseases (Li et al., 2023). Microstates are small quasi-stable states of the brain which give dense information about spatial organization, temporal dynamics and patterns that change after an external stimulus. Microstates, first proposed by Lehmann et al. is an interesting property that says that significant information of entire temporal patterns could be represented by a few maps (Koenig et al., 2024). Initially, Microstate analysis was carried out in the resting state only. Canonical microstates, often labeled A, B, C, and D, represent stable patterns commonly identified in resting-state EEG and are thought to correspond to fundamental cognitive and sensory networks. However, recent studies have used Microstates for the rapid detection of brain disorders (S A et al., 2024). One study extracted about 5 Microstates from resting-state EEG signals of major depressive disorder MDD signals (Li et al., 2023). Based on classification, the authors can analyze the temporal patterns of Microstates in depression by achieving an accuracy of 89.09%. Also, a varying number of Microstates extracted from resting state signals corresponds directly to the Resting State Network RSN of the brain Michel and Koenig (2018). Microstates, along with drug concentration response towards behavioral consciousness, also played an important role in studying the alterations in conscious state after taking anaesthesia (Liu et al., 2022).\nMost of the existing studies rely on pre-defined canonical states (Haydock et al., 2025). The data-driven Microstates extend the use of microstates to detect adaptability to individual- and task-based variability (Han et al., 2025). It has allowed us to identify and study specific cognitive impairment like Attention-Deficit Hyperactivity Disorder (ADHD) through specific syntax of Microstates (Alves et al., 2022).\nAn attempt was made to classify task and resting-state signals based on Microstates (Kim et al., 2021). The authors extracted Microstates from task-based and resting state signals. About four canonical states were extracted from each type of signal. On the basis of extracted time-based features such as occurrence and mean duration, the highest area under the curve on receiver operating curve (ROC) plot was achieved with a value of 0.831. Microstates extracted from frequency bands also reflect comparable results. One study investigates that motor imagery tasks show a prominent influence on Microstates extracted from the alpha band Xiong et al. (2025). Similarly, the alpha band also showed the classification results of 76% for the classification of Microstate-based post-traumatic stress disorder (Terpou et al., 2022).\n\n\n### Feature-fusion\nDespite the extensive work done on accurate feature fusion of multiple EEG features, a primary limitation is the lack of comprehensive fusion of between modalities. A joint neural feature set for emotion recognition was revealed by studying EEG based Microstates temporal features and FNIRS based spatial patterns leveraging multimodal feature for effective neuromarkers (Si et al., 2024). But this method does not explicitly fused both feature sets. While Microstates inherently capture spatio-temporal features, their integration with other time-domain, frequency-domain and various kinds of connectivity features remains unexplored. Another critical gap is the extraction of stress-based data-driven Microstates. This gap is supported by the fact that brain dynamics change to a greater extent when under any heavy mental workload, as compared to the resting state brain network.\nRecently, a technique named Deep Canonical Correlation (DCC) has been used to integrate features from multiple modalities such as EEG and eye movement (Qiu et al., 2018). This technique combines the features into a unified space and maximizes the correlation to perform feature-level fusion. CNN and self-attention are used by Ma et al. (2024) to encapsulate the temporal information from multi-model EEG signals, along with covering the global dependencies between them extracted. The limitation in existing studies shows that single-domain features might not fully capture the multifaceted nature of physiological responses. Several studies are focused on using only a limited number of features from multiple sets after combining them (Swapnil et al., 2024). For example, the authors of Hag et al. (2021) are convinced that fusing time, spectral and connectivity-based features can perform better in classifying stress vs relax states. The features extracted from time domain features, such as kurtosis, skewness, peak-to-peak amplitude, Hjorth, frequency features extracted from frequency bands and connectivity features extracted using phase-locking value, give a total of 210 features, from which only optimum multi-domain features (a total of 68) were used for classification. Another multi-model fusion model is developed by Chen et al. (2022) for fusing EEG signals with other peripheral physiological signals PPS such as EMG, and proved that multi-model fusion gives significant performance improvements in classifying stress based on valence and arousal.\nEEG features have also been combined with other physiological signals, such as the Electrocardiogram (ECG) signals. The proposed solution effectively fused time series of both modalities on the basis of time–frequency ridge mapping (Bahador et al., 2021). Another unique approach uses the Granger Causality connectivity pattern to quantify the causal configurations between EEG channels using transfer entropy (Ramakrishna et al., 2021). The authors developed an emotional recognition method using this Granger Causality-Transfer Entropy-based method and achieved an accuracy of about 90%.\nStructural and functional features have inconsistent feature dimensions. It is important to fuse them in a way that no information is lost. To address this problem, an effective method for feature combining and selection is proposed by Yang et al. (2018). The structural patterns are constructed from the cortical and subcortical regions of interest. Similarly, the functional connectivity matrix is extracted using Pearson’s correlation coefficient between the mean time courses of each pair of Regions of Interest (ROIs). The feature reduction framework preserves inter-modality relationships and achieves an accuracy of 84.91%.\nA hybrid pool of features collected from the time domain and wavelet-based bandwidth-specific features is used for classification (Hasan & Kim, 2019). A framework that ranks the features on the basis of relevance instead of considering the entire pool is proposed. The fusion improved the accuracy up to 73.38%. Akhand et al. improved the accuracy of emotion recognition by fusing Connectivity Feature Maps (CFMs) from multiple features, such as Pearson Correlation Coefficient (PCC), Mutual Information (MI), Transfer Entropy and Phase-Locking Value (PLV) using Convolutional Neural Network (CNN) and found that a fused set of CFMs gives better results. Among all binary fusions, PVL and MI give the highest accuracy of 90.71% for valence and 91.15% for arousal. The feature-level fusion is performed by fusing the upper and lower triangles of the CFM’s matrix.\nThe existing literature suggests that single-modal features are often insufficient, and integrating them can lead to significant improvements in classification (Pillalamarri & Shanmugam, 2025). The transition from single-feature analysis to multimodal feature fusion marks a crucial advancement in developing highly accurate and reliable EEG-based stress classification systems. Table 1 gives a detailed comparison between multiple feature extraction studies.\nTable 1Literature review for feature fusion techniques for EEG based signal classification.Table 1RefDomainFeaturesClassifierTaskAccuracyHag et al. (2021)Time-domainKurtosis, skewness, peak-to-peak amplitude, HjorthSVMStress81.4%Frequency-DomainDelta, theta, alpha, sigma, beta80%ConnectivityPLV88%FusionFeature-Level Fusion93.3%Chen et al. (2022)EEGChannel-level time-space and frequency-space graph sequence.Attention Recurrent Graph Convolutional NetworkEmotion Recognition87.61%Peripheral physiological signals–FusionData-Level Fusion92.50%Yang et al. (2018)Structural FeaturesCortical ROIsHierarchical feature reductionMajor depression81.4%Functional FeaturesPLV–FusionFeature-Level Fusion84.91%Gao et al. (2020)Granger CausalityLinear network featuresSVMEmotion Recognition73.18%Granger Causality + HOGLinear + gradient features88.93%Transfer EntropyNon-linear network features81.88%Transfer Entropy + HOGNon-linear +gradient features95.2%Hasan and Kim (2019)Time-domainRoot mean square, kurtosis, skewness, shape factor, etcPCA + KNNStress Classification69.26%Frequency-DomainLevel 5 discrete wavelet transform (DWPT)FusionFeature-Level FusionFeature selector + KNN73.38%Zhang et al. (2022)Time series–Decision ForestDepression Recognition78.33%Spatial Visibility Graph–72.97%FusionFeature-Level Fusion90.60%Bahador et al. (2021)EEG + ECGTime-frequency FusionRNNmonitoring the depth of Anesthesia90.37%Chen et al. (2015)EEG + PERI FusionDecision-level FusionHMMsEmotion Recognition75.63%Feature-level Fusion85.63%Akhand et al. (2023)Connectivity FeaturesPCCCNNEmotion Recognition(88.22%) Arousal (87.43%) ValenceMI(90.14%) Arousal (89.98%) ValenceTE(73.65%) Arousal (73.22%) ValencePhase-Locking Value PVL(88.22%) Arousal (87.63%) ValencePCC + MI(90.43%) Arousal (89.71%) ValencePCC+ TE(86.43%) Arousal (86.16%) ValencePLV + MI(91.15%) Arousal (90.71%) ValencePLV+TE(85.84%) Arousal (85.57%) ValenceMI+TE(90.68%) Arousal (90.12%) ValenceRadman et al. (2021)TemporalRoot Mean Square, Variance, Mean Absolute Value Kurtosis, Skewness.Ensemble Decision Tree (EDT) ClassifierSeizure Detection–SpectralPower Spectral Ratio, Skewness, BP, Variance, Median Power Frequency.–FusionFeature-Level99.33%Fig. 1Block diagram of proposed framework for stress detection.Fig. 1\nLiterature review for feature fusion techniques for EEG based signal classification.\nBlock diagram of proposed framework for stress detection.\n\n\n### Research gaps and research objectives\n•Most of the existing studies on Microstates focus on the resting state of the brain. Stress activates the cortical region of the brain and which gives rise to spatiotemporal dynamics which are different from the resting state. Therefore, analyzing stress-related Microstates on the basis of pre-defined canonical Microstates fails to uniquely capture stress-related configurations.•Although the existing studies mostly combine time, time–frequency and other types of connectivity features, Microstates features capture global temporal network organization, offering complementary information. No, studies up till now have fused Microstates with any other modality.•Prior studies either combined linear or non-linear connectivity features in isolation. However, the brain is composed of many linear as well as non-linear interdependencies, as well as dynamics captured by Microstates. No existing study has utilized the combined effect of linear Granger Causality features, non-linear directed features and temporal network features for stress classification.\nMost of the existing studies on Microstates focus on the resting state of the brain. Stress activates the cortical region of the brain and which gives rise to spatiotemporal dynamics which are different from the resting state. Therefore, analyzing stress-related Microstates on the basis of pre-defined canonical Microstates fails to uniquely capture stress-related configurations.\nAlthough the existing studies mostly combine time, time–frequency and other types of connectivity features, Microstates features capture global temporal network organization, offering complementary information. No, studies up till now have fused Microstates with any other modality.\nPrior studies either combined linear or non-linear connectivity features in isolation. However, the brain is composed of many linear as well as non-linear interdependencies, as well as dynamics captured by Microstates. No existing study has utilized the combined effect of linear Granger Causality features, non-linear directed features and temporal network features for stress classification.\nTo resolve the identified research gaps, the following research objectives are proposed:\n•Research Objective 1: Develop characterized stress-specific Microstates based on a data-driven clustering technique. These Microstates will be analyzed on temporal parameters such as duration, occurrence, probability of transition and coverage.•Research Objective 2: Develop a multi-model fusion model that evaluates the impact of Microstate inclusion on improving the classification of stress-based signals.•Research Objective 3: Develop a model that analyzes the impact of the complementary nature of distinct features on stress detection.\nResearch Objective 1: Develop characterized stress-specific Microstates based on a data-driven clustering technique. These Microstates will be analyzed on temporal parameters such as duration, occurrence, probability of transition and coverage.\nResearch Objective 2: Develop a multi-model fusion model that evaluates the impact of Microstate inclusion on improving the classification of stress-based signals.\nResearch Objective 3: Develop a model that analyzes the impact of the complementary nature of distinct features on stress detection.\n\n\n### Methods\nEarly identification of stress patterns can aid in the development of preventive strategies, improve mental health monitoring, and thus help students perform efficiently in academics. Here, a novel multimodal fusion framework is proposed that integrates three complementary EEG analysis techniques i.e. Microstate Analysis, Transfer Entropy, and Granger Causality which helps to capture the most effective and discriminating dynamics across all three modalities and thus efficiently classify the signal.\nFor the study, three important feature sets are discussed: Granger Causality, Transfer Entropy TE and Microstates . Microstates provides vast information about the spatial and temporal changes that occur in the brain network using only a few distinct topomaps. Transfer Entropy and Granger Causality are both measure of effective connectivity that gives information about causal links between different brain regions. Granger Causality is a parametric method which explains whether a signal emerging from one part of the brain can help predict the future values of other brain regions. Granger Causality is a linear method which tries to deal with stationary signals. Transfer Entropy is a non-parametric model-free measure of information transfer, which is suitable for non-linear signals as stress. All three feature sets provide enriched information about the brain’s temporal information, information transfer and causal interactions that are important for discriminating stress and relax states. Fig. 1 depicts the detailed view of the proposed methodology.\nThe SAM40 (Ghosh et al., 2022) dataset is selected to build the stress neuromarker. SAM40 provides a high-quality EEG signal recorded from an equal number of both stress and relax signals. There is a variety of stressors introduced in research, but for this study, the stress signal generated from mental arithmetic tasks is taken into consideration, as mental mathematical tasks increase activity in the prefrontal cortex, which results in cognitive load and performance anxiety. This dataset is a collection of EEG recordings of 40 individuals (14 female and 26 male students) with an average age of 21.5 years, which offers appropriate robust model training and evaluation while maintaining generalizability across individuals. The data is recorded from the 32-channel Emotiv EPOC kit with a sampling frequency of 128 Hz. Each subject has two separate recordings, i.e. for the stress and relax state. The raw form of each signal is in matrix form of 32x3200, where 3200 are the time points.\nBefore processing, the dataset is carefully preprocessed to remove any kind of noise which might affect the final results. For that, raw data is first filtered to remove most of the physiological and non-physiological artifacts. The Savitzky–Golay filter is used for re-referencing. This filter helps remove noise and smoothens the signals. Unlike other moving-average filters that blur out peaks, Savitzky–Golay filters preserve higher-order signal characteristics, such as sharp transitions that are most likely to occur in stress signals. For an input EEG signal x(t), the SG-filtered output xˆ(t) can be expressed as: (1)xˆ(t)=∑i=−kkcix(t+i)where ci are the polynomial coefficients determined through least-squares fitting. The baseline-corrected signal is then obtained by subtracting the estimated trend: (2)y(t)=x(t)−xˆ(t)Fig. 2Savitzky–Golay filtering process. (A) is the original signal from channel 1 for subject 10. (B) shows the averaging trend that is provided by Savitzky–Golay filter. This averaging trend (B) is subtracted from original signal (A) and resulted in the smooth shown in (C).Fig. 2\nSavitzky–Golay filtering process. (A) is the original signal from channel 1 for subject 10. (B) shows the averaging trend that is provided by Savitzky–Golay filter. This averaging trend (B) is subtracted from original signal (A) and resulted in the smooth shown in (C).\nThe window length is kept at 127, and the polynomial order is 5. The SG filter subtracts the slow drifts and results in a smooth signal. Fig. 2 shows the sample EEG signal in its raw form (A), and (B) is the xˆ(t) smoothing trend. Finally, the (C) figure shows the averaged signal after removing the baseline. To remove the high-frequency, the Discrete Wavelet Transform DWT filter is used. The DWT decomposes the signals into approximation, using a High-pass Filter HPF and detailed components, using a Low-pass Filter LPF. The db2 filter decomposes the signal into 4-levels sub-bands namely A4(0–4Hz), D4(4–8Hz), D3(8–16Hz), D2(16–32Hz) and D1(32–64Hz). Fig. 3 shows the detailed and approximation coefficients for a signal. This filtering typically removes the noise and frequency above 64 Hz.\nFinally, EEGLAB is used to remove bad channels and components after applying Independent Component Analysis ICA. The typically removed artifacts were lateral eye movement and eye blinking artifacts.Fig. 34-level discrete wavelet transform (db2) filter decomposition.Fig. 3Fig. 4Value of AIC against the model order P. The value of P ranges from 0 to 20. For each p, AIC is calculated across all signals (files). The smallest value of AIC is given by P = 7, indicating the least squared errors for model parameters.Fig. 4\n4-level discrete wavelet transform (db2) filter decomposition.\nValue of AIC against the model order P. The value of P ranges from 0 to 20. For each p, AIC is calculated across all signals (files). The smallest value of AIC is given by P = 7, indicating the least squared errors for model parameters.\n\n\n### Feature extraction\nIn this section, feature extraction was performed to capture distinct neural dynamics from EEG signals using three complementary approaches: Granger Causality, Microstate Analysis, and Transfer Entropy. These techniques collectively quantify directional connectivity, temporal stability of brain states, and information flow between channels, providing a comprehensive representation of the brain’s functional organization.\nDifferent parts of the brain work in harmony with each other to perform any specific task. The neuronal connections can sometimes superimpose to generate a signal or sometimes inhibit each other. Granger proposed that if past values of a certain signal predict the future values of another signal, then there exists a causal link between these two. The same principle is applied here to signals originating from different parts of the brain. By applying the Granger phenomenon on brain signals, it can be predicted if causality exists in different cortical regions during mental tasks like stress.\nGranger Causality is more of a predictive idea of how one signal is “causing” the future value of another signal using statistical measures. Grange Weiner is convinced that if there are two time signals X(t) and Y(t), then the previous value of X, i.e. X(t−i) and of Y, i.e. Y(t−i), can predict the future value of Y, i.e. Y(t+1). If the prediction is found to be similar, then it is said that Y contain some information about X. This relationship between X and Y is not straightforward. This is because the brain signals are often influenced by neighboring signal channels and by other parts of the brain. Using an unrestrictive autoregressive model, the Granger Causal link between X(t) and Y(t) can be presented by: (3)Y(t)=∑i=0paiX(t−i)+∑j=0qbjY(t−j)+ɛY|X∗,Y\nA causal link is the linear weighted combination of previous time points. Where an and bn are autoregressive model coefficients and GC = lnɛY|X∗,Y is the residual error or variance of the signal. For GC=lnɛY|Y∗,YɛY|X∗,Y,ifGC<0 then there is no causal link between X and Y. The causal link exists when the GC value is above 0.\nThe Vector Autoregressive model (VAR), differs from the Dynamic Causal Modelling (DCM) technique in that DCM relies on pre-specified brain mechanisms for how neurons interact. VAR is independent and generic, and it does not rely on how brain data is captured (Barnett & Seth, 2014). Also, a VAR is efficient in estimating many non-linear processes. The bivariate autoregressive (unconditional) model has limitations when applied to EEG signals from multiple channels. As a signal coming from one channel may be the superposition of information coming from multiple channels. In that case, a multivariate autoregressive (conditional) model will be used. A conditional GC-based method computes the predictive link between two channels while accounting for information from other channels. In the SAM40 dataset, each signal has dimensions of 32 × 3200 (channels × time points). For calculating the causal link of each channel, a multivariate model will be constructed. (4)X1(t)⋮X32(t)=∑n=1panX1(t−n)⋮X32(t−n)+ɛ1(t)⋮ɛ32(t)\nIn the case of an EEG signal, the pattern of synchronization changes the temporal dynamics of the signal to a greater extent. Also, Granger Causality works best with a stationary and stable signal (Barnett & Seth, 2014). For stationary signals, the statistical features such as mean, variance remain constant over time. For task-based EEG signals, such as in the case of mental assessment tasks, the signals are absolutely non-stationary. Granger Causality is applied to see the linear connection between EEG signals. Granger Causality requires the signal to be stable as well. By stability of a system means that a finite input does not give infinite output, or in other words, does not “blow up” the system. Using MATLAB’s Var-spectral function, the unit complex z-plane value is obtained to be 0.91, i.e. less than 1, indicating that the signals are stable. In the context of VAR, if the multivariate VAR coefficient an is stable, then the signal is said to be stable. For an, it is stable if it lies within the unit complex z-plane. (5)det(ϕ(z))=In−a1z1−a2z2−⋯−a32z32>1\nThe MVGC built-in function, var_specrad, automatically finds if an is stable or not.\nThe model order is the number of time points considered for modeling. The higher order number increases the complexity of the model but provides more sensitive information there, whereas for a lower order value, the model becomes simpler but less dependent on the previous history of the signal. Akaike Information Criterion (AIC), Bayesian Information Criterion (BIC) and Hannan-Quinn Criterion (HQ) are important and useful methods which are considered in the literature for model order estimation (Placek et al., 2022). For model order estimation, a multivariate AIC for the VAR value will be used here. AIC value is calculated for each signal and then averaged across all signals for each value of p. The value of p with the minimum sum of squared errors is selected as the model parameter. Fig. 4 shows the AIC value of all subjects averaged over a range of p from 2-20. The lower Ordinary Least Squares value is obtained for p = 7 (indicated by the red line in Fig. 4). After applying the proposed setup, the outcome of the G-causal. (6)AIC=Tlndet(Σp)+2pwhere T is the number of time points, Σp=cov(ɛt) is the residual variance matrix of the current order of the AR model (P). AIC is based on maximum likelihood estimation and selects the best fit where the variance (det(∑p)) is minimum. AIG is calculated for each signal for a range of values of p and averaged across all signals. The optimal AIG with the minimum value of the Ordinary Least Squares (OLS) method, which minimizes the sum of squared errors of VAR coefficients. (7)Y=AZ+E\nY is the predicting variable, and A is the multivariate VAR coefficient n\n×np, where n is the number of individual channels. (8)Σp=1T−pEET\nFor 32 channels C=1,2,3, ….32, and X(t) is a time series, the Granger Causality link between the source s and destination d, is based upon the residual variance produced by the past value of d ɛd|d∗,d as well as on the variance of the past values of all other conditioning sources s, ɛd|d∗,{C}, where S=C∖{i}. In other words, it can be stated that when a certain time series Granger causes another time series, it is based upon the residual variance of two regressive models, i.e. the full restrictive model ɛd|d∗,d and reduced non-restrictive models ɛd|d∗,{C}. The Granger pair value is evaluated based on the residual variance between each channel. (9)GCi→d∣{C}=lnɛd∣d∗ɛd∣d∗,{C}\nThe Granger Causality (Fig. 5) quantifies the directional influence between EEG channels, revealing causal interactions and connectivity patterns within the brain. While Granger Causality effectively captures linear dependencies, it may overlook nonlinear interactions that are often present in neural dynamics. To address this limitation, Transfer Entropy is applied as a nonlinear and model-free measure of information flow between EEG signals, providing a deeper understanding of dynamic causal relationships beyond the assumptions of linearity.Fig. 5The Granger causal link between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented in horizontal axis.Fig. 5\nThe Granger causal link between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented in horizontal axis.\nIn the case of an EEG signal, the pattern of synchronization changes the temporal dynamics of the signal to a greater extent. Also, Granger Causality works best with a stationary and stable signal (Barnett & Seth, 2014). For stationary signals, the statistical features such as mean, variance remain constant over time. For task-based EEG signals, such as in the case of mental assessment tasks, the signals are absolutely non-stationary. Granger Causality is applied to see the linear connection between EEG signals. Granger Causality requires the signal to be stable as well. By stability of a system means that a finite input does not give infinite output, or in other words, does not “blow up” the system. Using MATLAB’s Var-spectral function, the unit complex z-plane value is obtained to be 0.91, i.e. less than 1, indicating that the signals are stable. In the context of VAR, if the multivariate VAR coefficient an is stable, then the signal is said to be stable. For an, it is stable if it lies within the unit complex z-plane. (10)det(ϕ(z))=In−a1z1−a2z2−⋯−a32z32>1\nThe MVGC built-in function, var_specrad, automatically finds if an is stable or not.\nTransfer entropy is a measure of directional information transfer between two entities based on information theory. Transfer Entropy is useful in the sense that it can capture the asymmetric and nonlinear dependencies between signals. In neuroscience, Transfer Entropy can help us to know how information is transferred between multiple sources of signals. The purpose of using TE here is to see if the uncertainty measure of information transfer between multiple brain regions can be effective for the classification of different brain states, such as stress and relax.\nTE helps find the information transferred between brain regions. Since the TE considers this communication without assuming a specific relationship between signals; it is more applicable to nonlinear systems. Transfer entropy (Sadeghijam et al., 2021), tells about how much the past values of X(t) reduce the uncertainty of future values of another signal Y(t) given Y(t)’s own past values in Eq. (11). (11)H(X∣Y)=H(X,Y)−H(Y)\nIf there is a directed causal link and information flows from X to Y, then the transfer entropy TE from X to Y is the information flow from both Y(k) and X(k) mutually minus the information received from Y(k). Expanding the conditional entropy in terms of joint entropy in Eq. (12). (12)TX→Y=H(Yt+1,Yt(k))+H(Yt(k),Xt(l))−H(Yt(k))−H(Yt+1,Yt(k),Xt(l))\nIn terms of joint entropies, the Transfer Entropy from X to Y is defined as the uncertainty between Y’s future and its own past values, H(Yt+1,Yt(k)), combined with the uncertainty of the past of both signals, H(Yt(k),Xt(l)), excluding the joint uncertainty of the complete system, H(Yt+1,Yt(k),Xt(l)), and Y’s own uncertainty, H(Yt(k)). There are multiple methods to estimate transfer entropy. This framework assumed that the underlying processes are approximated by a Gaussian assumption. The differential entropy of Gaussian Z with variance σ2 is given by: (13)H(Z)=12log2πeσ2\nApplying the Gaussian entropy on predictive signals, Yt+1 given its own past values, the entropy is H(Yt+1∣Yt)\n(14)H(Yt+1∣Yt)=12log2πevar(Yt+1−Yt)\nThe conditional entropy of Yt+1 given both its own past and the X’s past Xt is expressed as: (15)H(Yt+1∣Yt,Xt)=12log2πevar(Yt+1−(Yt+Xt))\nFig. 6Transfer entropy values between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented on the horizontal axis.Fig. 6\nTransfer entropy values between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented on the horizontal axis.\nThe Microstates can be defined as a stable set of brain patterns that usually last for about 60–120ms before transitioning into a new stable state. At rest, the brain experiences a distinct functional state for a certain amount of time (Fig. 6). Researchers believe that a set of a few of these functional states can help explain most of brain analysis. The Microstates are often referred to as “atoms of thoughts” due to their repeating patterns and stability across time signals. The idea of Microstates comes from resting state brain analysis, when it was believed that the brain remains inactive during rest until some external stimuli activate the brain Michel and Koenig (2018), where it is found that resting state Microstates analysis of the brain can reflect multiple neuropsychiatric diseases (Khanna et al., 2015, Li et al., 2023). However, few functional brain states can be helpful to explain Microstates are used to explore the intrinsic properties of temporal correlation of neuronal regions during resting states.\nGlobal Field Potential (GFP) is the measure of the relative potential difference between an instantaneous potential Vni(t) and the mean potential across all channels Vn(t). The GFP can be calculated using Eq. (16) where N is the number of channels. The GFP time series is subjected to a peak detection procedure to identify local maxima, which correspond to moments of maximal global neuronal synchronization and represent stable scalp potential topographies. (16)GFP(t)=1N∑n=1N(Vn(t)−V¯n(t))2\nNext, k-means clustering is performed on GFP Peaks maps. For resting state Microstates analysis, 4 distinct canonical Microstates are used (Khanna et al., 2015). For the mental arithmetic-based induced stress signals, data-driven Microstresses are based on the basis of subject-level and group-level clustering.\nFor the subject-level clustering, the topomaps from GFP peaks are extracted for each subject. These GFP tomomaps are then clustered for multiple K. The K-means clustering algorithm is applied multiple times (nRuns) with different initializations to mitigate the risk of convergence to local minima. To avoid the overlapping and keep the prominence of each map, a minimum distance of about 10 ms was kept between consecutive peaks. The percentile of the maximum threshold for selecting the highest peaks is set to be 80%.\nThe centroids of each cluster are then selected for the group-level clustering. As a result of subject-level clustering, K×N maps were obtained, where N represents the number of subjects. To balance the contribution of each subject, all maps from K = 4 to K = 8 are pooled together to create a standard set of topomaps, which is then passed for group-level clustering (Fig. 7).\nNow, for k = 8, correlation is computed to find the similarity between maps in which polarity is ignored using Eq. (19) (Fig. 8). In which way the maps with the high corr |r|>0.9,90%similarity are merged, which actually represents the same spatial configuration (Kleinert et al., 2024). Two pairs of group maps demonstrated strong correlations, specifically Map 1 and Map 2 (r = 0.911), as well as Map 4 and Map 5 (r = 0.917). These high correlation coefficients suggest a significant overlap in their spatial configurations.Fig. 7(From top to bottom) The topomaps present at the GFP peaks are collected for all subjects n(80). For these, topomaps are clustered for K = 4 till K = 8 and the centroid of each clustering (K) is kept in a common, subject-level pool. Upon this final centroid pool, the group level clustering is applied.Fig. 7\n(From top to bottom) The topomaps present at the GFP peaks are collected for all subjects n(80). For these, topomaps are clustered for K = 4 till K = 8 and the centroid of each clustering (K) is kept in a common, subject-level pool. Upon this final centroid pool, the group level clustering is applied.\nAfter extracting the subject-level tentative Microstates (centroids), group-level clustering is applied to identify a data-driven set of representative Microstates. Now, the collected pool of all centroids [channels x (KxN)] from group-level clustering will be again clustered using K-means. The choice of K from K = 4 to 8 is consistent with prior literature (Tarailis et al., 2024). The range allows for capturing more robust Microstates without overfitting or underfitting.\nFor each K, the selection criteria for optimal k are computed using multiple ways. The cross-validation residual and global Explained Variance GEV (Michel & Koenig, 2018) are two of them. Global Explained Variance GEV value represents how closely a topomap at a particular time point best represents its assigned labels. The higher the GEV value, the better the maps are represented by the assigned labels. (17)GEV=∑t∈TGFP(t)⋅r(V(t),Ms(t))2∑t∈TGFP(t)2where V(t) denotes the scalp potential map at time t, Ms(t) represents the centroid of the Microstate assigned to time t, and r(V(t),Ms(t)) is the spatial correlation (often the absolute value is used during assignment).\nThe GFP weighting emphasizes time points with higher SNR, ensuring that high-variance moments contribute more to the explained variance. GEV tends to increase with increasing number of K as variance increases (Fig. 9) (Liu et al., 2024). However, increasing GEV tends to capture noise rather than useful information. To mitigate the limitations of GEV, a Cross-validation residual-like function is also used to find how well a model generalizes for those assigned labels. CV values minimizes the residual error for independent unseen subjects.Fig. 8The Pearson’s correlation value between 8 topomaps presented in the form of an adjacency heat map. String correlation is observed between pairs of maps 1 and 2 and maps 4 and 5. The diagonal value gives 1, indicating the 100 correlation of a topomap with itself.Fig. 8\nThe Pearson’s correlation value between 8 topomaps presented in the form of an adjacency heat map. String correlation is observed between pairs of maps 1 and 2 and maps 4 and 5. The diagonal value gives 1, indicating the 100 correlation of a topomap with itself.\nLet Xn,i∈RC denote the scalp topography (across C channels) at the ith GFP peak, and let Xˆn,i be its reconstructed map, obtained by projecting Xn,i onto the corresponding Microstate centroid. The residual error between the original and reconstructed maps reflects the part of the signal that cannot be explained by the model. The cross-validation (CV) criterion is then defined as: (18)CV=∑i‖Xn,i‖2∑i‖Xn,i−Xˆn,i‖2\nA lower CV value indicates a better reconstruction: The centroid can capture and reconstruct the underlying EEG signal. The lower value of CV means they are not overfit and generalizes well. In other words, GEV explains how closely a map is fitted by the label and CV residual value explains how well the assigned map generalizes across all subjects. This combination ensures that the Microstates are informative, stable and physiologically meaningful and robust.Fig. 9GEV vs CV curve for each value of K from K = 4 to K =8. The minimum value of CV (0.614) and maximum value of GEV (0.652) is obtained for K = 8.Fig. 9\nGEV vs CV curve for each value of K from K = 4 to K =8. The minimum value of CV (0.614) and maximum value of GEV (0.652) is obtained for K = 8.\nEEG brain maps acquired can be polarity invariant with each other, but their spatial pattern is the same (Pascual-Marqui et al., 1995). To mitigate the effect of correlated maps and resulting redundancy in cluster centroids, the maps with a correlation higher than a particular threshold are merged (19)ρij=|rij|=|∑k=1N(Mk,i−M¯i)(Mk,j−M¯j)∑k=1N(Mk,i−M¯i)2∑k=1N(Mk,j−M¯j)2|\nThis data-driven approach helped extract a set of topomaps (Fig. 10) that carefully considers the underlying stressful brain dynamics. Now this final set of spatially distinct set of maps will be used to backfit into the GFP peaks of the individual subject.\nFig. 108 Topomaps centroids obtained after group-level clustering.Fig. 10\n8 Topomaps centroids obtained after group-level clustering.\nAfter obtaining the final set of Microstate templates, the backfitting is done to label each time point in the EEG with the best-matching template, enabling us to reconstruct the temporal sequence of Microstates across the recording (Fig. 11). To reduce spurious, short-lived fluctuations caused by noise or abrupt switching, temporal smoothing was applied to the sequence, enforcing a biologically plausible minimum duration for each Microstate. This combination of clustering, variance-based evaluation, and smoothing ensures that the identified Microstates are both statistically robust and neurophysiologically meaningful.\nFrom the final Microstates, subject-wise temporal features are extracted as they provide how these transient patterns evolve. Temporal resolution of Microstates makes an ideal candidate to analyze fast changes in the brain. The key temporal parameters which are extracted for this research are (Tarailis et al., 2024): Mean duration, Occurrence Rate, Coverage and probability of transition from one state to another. Mean duration represents the average time a specific Microstate occurred. Occurrence rate records how frequently a specific Microstate appears per subject, per state. Coverage tells about how much of the total time is covered by each Microstate. Lastly, the transition probabilities describe how often a state switches between other states. All the temporal features collected for all signals are flattened into a vector and create a feature vector of an 80 × 54 matrix.Fig. 116 Final microstates obtained from 2 level clustering method for stress-based tasks.Fig. 11\n6 Final microstates obtained from 2 level clustering method for stress-based tasks.\nDifferent modalities provide a unique representation of neural activity; however, their relative discriminative significance may vary across subjects or cognitive states. To effectively integrate these heterogeneous feature spaces, an attention-based fusion mechanism is employed.\nAttention fusion (Fig. 12) is an effective way to fuse features which are derived from multiple modalities. Unlike traditional and simpler methods like averaging or concatenation, the attention mechanism carefully considers the modality-specific information, emphasizing only on more dominant patterns and suppressing the less important features.\nThree distinct feature sets were fused using an attention mechanism. The Transfer Entropy feature is of dimensions W × 992, which represents the temporally derived statistical characteristics where W =1920 windows. For Microstates features the dimensions were N×54, where N = 80 signals. The Granger Causality is a set of N× i×j adjacency matrix where i and j are the number of channels. The given three feature sets have different dimensions, which makes them incompatible to feed into the latent space. To make distinct sets of modalities features consistent, the subject-level linear interpolation is done via Python’s interp1D function for MS and GC features to meet the target dimensionality of Transfer Entropy. The interpolation function is defined as: (20)fi(x)=yi(old)+yi(new)−yi(old)x(new)−x(old)(x−x(old))Fig. 12Attention fusion model. FMC, FTE and FGC are input feature sets. The linear transformation layer transforms the input into a linear embedding suitable for the attention layer. The attention layers compute and return the weight for each feature set, which are normalized using softmax.Fig. 12\nAttention fusion model. FMC, FTE and FGC are input feature sets. The linear transformation layer transforms the input into a linear embedding suitable for the attention layer. The attention layers compute and return the weight for each feature set, which are normalized using softmax.\nThe obtained values were normalized to minimize the scaling discrepancies across all distinct feature sets.\nTo effectively integrate features from different neural modalities, a feature-level Attention-Based Fusion (ABF) model is used. This method provides an effective way to fuse heterogeneous feature sets from Granger Causality, Transfer Entropy and Temporal Microstate features. ABF performs feature-level fusion (Cai et al., 2020) using some learnable weights that dynamically modulate and select the most contributing features across all feature sets. First, the feature matrix MS, GC and TE are projected into a common latent space for modality-specific linear transformation to create embeddings for each feature set: (21)Hm=tanh(WmFm+bm),wherem∈{TE,MS,GC}\nThe transformed features Hm are fed into the self-attention layer, which computes the relevance score wT for each type of feature. The softmax function normalizes the obtained score values, which represent the relative importance of each modality. (22)αm=softmax(w⊤Hm)\n(23)Hfused=∑(αTE+αMS+αGC)\nThe attention layer helps learn the sample-weight dependent αm. The final fused vector contains the discriminating features from all three modalities and is classified using LDA. Fig. 12 depicts the attention mechanism in detail. This fused feature set is then used to perform classification using Group 5-Fold classification with 32 subjects selected for training and 8 for testing. After creating the training and testing datasets, the attention fusion model is re-initialized to avoid information leakage. The reproducibility for same subject-specific folds is ensured across all experiments.\nFor the binary classification of signals into stress and relax states, three different classifiers are used to improve the reliability of the proposed methodology. The parametric and architectural details of classifiers is presented in Table no. 2. All three models are implemented using a Group 5-fold validation approach.\nTable 2Key parameters and architectural details of SVM, LDA, and MLP classifiers.Table 2SVMLDAMLPParameterValueParameterValueParameterValueKernelRadial Basis Function (RBF)OptimizationSolverHidden Layers2RegularizationC=1.0RegularizationShrinkageHidden Units(256, 128)Kernel WidthGamma (scale)Search MethodGrid SearchRegularizationDropout (0.4)Loss FunctionCross-Entropy\nKey parameters and architectural details of SVM, LDA, and MLP classifiers.\nSupport Vector Machine (SVM) is a supervised Machine learning model that gives robust performance for classification and regression tasks. The core idea of SVM is to separate the given classes with the help of a hyperplane that maximizes the distance between datapoints from each class. In other words, the hyperplane that separates the given (two) classes is at the maximum distance from data points of each class. This helps in improving the generalization to unseen data. For the classification between stress and relax state using a fused feature set and considering the non-linearity of feature sets, a Radial Basis Function (RBF) kernel is used, which maps each dimension into an infinite feature space where linear separation is possible. The RBF kernel is given as: (24)K(x,y)=exp(−γ‖x−y‖2)where, x and y are two feature points. the RBF is based on maximizing the distance between two feature points γ controls the rate at which the similarity between feature points decreases with the increasing distance.\nLinear Discriminant Analysis (LDA) is a supervised machine learning algorithm that is based on identifying a linear combination of features to separate classes. LDA is based on maximizing variance using class information. It works by projecting feature space onto a lower-dimensional subspace that maximizes the ratio of inter-class variance and intra-class variance. For an x feature vector with discriminant weights w, the linear combination of features is given by (25)y=wTx+b\nThe optimal w is derived from the ratio of inter-class scatter matrix Sb and intra-class scatter matrix Sw. (26)w=argmaxwwTSbwwTSww\nThis criterion enhances the distinction between classes where features might be highly correlated and multidimensional. Before feeding into the classifier, the fused matrix is first imputed to handle missing values and normalize feature distribution.\nMulti-layer perception is a fully connected neural network that learns non-linear patterns from the given data by reducing the dimension progressively after each layer. Each layer is preceded by a ReLU activation function for preventing overfitting and add non-linearity. The hidden layers transform the feature set into lower dimensions based on the cross-entropy function. According to Eq. (27) at each level, where h~n is the features acquired from previous hidden layer and W is the weights. (27)hn=σWnh~n+bn\nTo evaluate the robustness of fused features, several standard classification matrices are used, including accuracy, precision, recall, F1 score, Area Under the Receiver Operating Characteristic Curve (AUC), and loss. Accuracy measures of correctness of classified labels. Precision is the proportion of correctly predicted positive samples among all samples which are predicted positive. Recall or sensitivity identify the actual possible cases. F1 score observes the balance between the prediction of each class label. AUC represents a threshold-independent measure of separability of classes (stress and relax). (28)Accuracy=TP+TNTP+TN+FP+FNwhere TP, TN, FP, and FN denote the number of true positives, true negatives, false positives, and false negatives, respectively. (29)Precision=TPTP+FP\n(30)Recall=TPTP+FN\n(31)F1=2×Precision×RecallPrecision+Recall\n(32)AUC=∫01TPR(FPR)d(FPR)where TPR and FPR represent the True Positive Rate and False Positive Rate, respectively.\nFor binary classification, the binary cross-entropy loss is defined as: (33)L=−1N∑i=1Nyilog(yˆi)+(1−yi)log(1−yˆi)where yi denotes the true label, yˆi is the predicted probability, and N is the total number of samples.\n\n\n### Granger causality\nDifferent parts of the brain work in harmony with each other to perform any specific task. The neuronal connections can sometimes superimpose to generate a signal or sometimes inhibit each other. Granger proposed that if past values of a certain signal predict the future values of another signal, then there exists a causal link between these two. The same principle is applied here to signals originating from different parts of the brain. By applying the Granger phenomenon on brain signals, it can be predicted if causality exists in different cortical regions during mental tasks like stress.\nGranger Causality is more of a predictive idea of how one signal is “causing” the future value of another signal using statistical measures. Grange Weiner is convinced that if there are two time signals X(t) and Y(t), then the previous value of X, i.e. X(t−i) and of Y, i.e. Y(t−i), can predict the future value of Y, i.e. Y(t+1). If the prediction is found to be similar, then it is said that Y contain some information about X. This relationship between X and Y is not straightforward. This is because the brain signals are often influenced by neighboring signal channels and by other parts of the brain. Using an unrestrictive autoregressive model, the Granger Causal link between X(t) and Y(t) can be presented by: (3)Y(t)=∑i=0paiX(t−i)+∑j=0qbjY(t−j)+ɛY|X∗,Y\nA causal link is the linear weighted combination of previous time points. Where an and bn are autoregressive model coefficients and GC = lnɛY|X∗,Y is the residual error or variance of the signal. For GC=lnɛY|Y∗,YɛY|X∗,Y,ifGC<0 then there is no causal link between X and Y. The causal link exists when the GC value is above 0.\nThe Vector Autoregressive model (VAR), differs from the Dynamic Causal Modelling (DCM) technique in that DCM relies on pre-specified brain mechanisms for how neurons interact. VAR is independent and generic, and it does not rely on how brain data is captured (Barnett & Seth, 2014). Also, a VAR is efficient in estimating many non-linear processes. The bivariate autoregressive (unconditional) model has limitations when applied to EEG signals from multiple channels. As a signal coming from one channel may be the superposition of information coming from multiple channels. In that case, a multivariate autoregressive (conditional) model will be used. A conditional GC-based method computes the predictive link between two channels while accounting for information from other channels. In the SAM40 dataset, each signal has dimensions of 32 × 3200 (channels × time points). For calculating the causal link of each channel, a multivariate model will be constructed. (4)X1(t)⋮X32(t)=∑n=1panX1(t−n)⋮X32(t−n)+ɛ1(t)⋮ɛ32(t)\nIn the case of an EEG signal, the pattern of synchronization changes the temporal dynamics of the signal to a greater extent. Also, Granger Causality works best with a stationary and stable signal (Barnett & Seth, 2014). For stationary signals, the statistical features such as mean, variance remain constant over time. For task-based EEG signals, such as in the case of mental assessment tasks, the signals are absolutely non-stationary. Granger Causality is applied to see the linear connection between EEG signals. Granger Causality requires the signal to be stable as well. By stability of a system means that a finite input does not give infinite output, or in other words, does not “blow up” the system. Using MATLAB’s Var-spectral function, the unit complex z-plane value is obtained to be 0.91, i.e. less than 1, indicating that the signals are stable. In the context of VAR, if the multivariate VAR coefficient an is stable, then the signal is said to be stable. For an, it is stable if it lies within the unit complex z-plane. (5)det(ϕ(z))=In−a1z1−a2z2−⋯−a32z32>1\nThe MVGC built-in function, var_specrad, automatically finds if an is stable or not.\nThe model order is the number of time points considered for modeling. The higher order number increases the complexity of the model but provides more sensitive information there, whereas for a lower order value, the model becomes simpler but less dependent on the previous history of the signal. Akaike Information Criterion (AIC), Bayesian Information Criterion (BIC) and Hannan-Quinn Criterion (HQ) are important and useful methods which are considered in the literature for model order estimation (Placek et al., 2022). For model order estimation, a multivariate AIC for the VAR value will be used here. AIC value is calculated for each signal and then averaged across all signals for each value of p. The value of p with the minimum sum of squared errors is selected as the model parameter. Fig. 4 shows the AIC value of all subjects averaged over a range of p from 2-20. The lower Ordinary Least Squares value is obtained for p = 7 (indicated by the red line in Fig. 4). After applying the proposed setup, the outcome of the G-causal. (6)AIC=Tlndet(Σp)+2pwhere T is the number of time points, Σp=cov(ɛt) is the residual variance matrix of the current order of the AR model (P). AIC is based on maximum likelihood estimation and selects the best fit where the variance (det(∑p)) is minimum. AIG is calculated for each signal for a range of values of p and averaged across all signals. The optimal AIG with the minimum value of the Ordinary Least Squares (OLS) method, which minimizes the sum of squared errors of VAR coefficients. (7)Y=AZ+E\nY is the predicting variable, and A is the multivariate VAR coefficient n\n×np, where n is the number of individual channels. (8)Σp=1T−pEET\nFor 32 channels C=1,2,3, ….32, and X(t) is a time series, the Granger Causality link between the source s and destination d, is based upon the residual variance produced by the past value of d ɛd|d∗,d as well as on the variance of the past values of all other conditioning sources s, ɛd|d∗,{C}, where S=C∖{i}. In other words, it can be stated that when a certain time series Granger causes another time series, it is based upon the residual variance of two regressive models, i.e. the full restrictive model ɛd|d∗,d and reduced non-restrictive models ɛd|d∗,{C}. The Granger pair value is evaluated based on the residual variance between each channel. (9)GCi→d∣{C}=lnɛd∣d∗ɛd∣d∗,{C}\nThe Granger Causality (Fig. 5) quantifies the directional influence between EEG channels, revealing causal interactions and connectivity patterns within the brain. While Granger Causality effectively captures linear dependencies, it may overlook nonlinear interactions that are often present in neural dynamics. To address this limitation, Transfer Entropy is applied as a nonlinear and model-free measure of information flow between EEG signals, providing a deeper understanding of dynamic causal relationships beyond the assumptions of linearity.Fig. 5The Granger causal link between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented in horizontal axis.Fig. 5\nThe Granger causal link between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented in horizontal axis.\nIn the case of an EEG signal, the pattern of synchronization changes the temporal dynamics of the signal to a greater extent. Also, Granger Causality works best with a stationary and stable signal (Barnett & Seth, 2014). For stationary signals, the statistical features such as mean, variance remain constant over time. For task-based EEG signals, such as in the case of mental assessment tasks, the signals are absolutely non-stationary. Granger Causality is applied to see the linear connection between EEG signals. Granger Causality requires the signal to be stable as well. By stability of a system means that a finite input does not give infinite output, or in other words, does not “blow up” the system. Using MATLAB’s Var-spectral function, the unit complex z-plane value is obtained to be 0.91, i.e. less than 1, indicating that the signals are stable. In the context of VAR, if the multivariate VAR coefficient an is stable, then the signal is said to be stable. For an, it is stable if it lies within the unit complex z-plane. (10)det(ϕ(z))=In−a1z1−a2z2−⋯−a32z32>1\nThe MVGC built-in function, var_specrad, automatically finds if an is stable or not.\n\n\n### Stationarity and stability\nIn the case of an EEG signal, the pattern of synchronization changes the temporal dynamics of the signal to a greater extent. Also, Granger Causality works best with a stationary and stable signal (Barnett & Seth, 2014). For stationary signals, the statistical features such as mean, variance remain constant over time. For task-based EEG signals, such as in the case of mental assessment tasks, the signals are absolutely non-stationary. Granger Causality is applied to see the linear connection between EEG signals. Granger Causality requires the signal to be stable as well. By stability of a system means that a finite input does not give infinite output, or in other words, does not “blow up” the system. Using MATLAB’s Var-spectral function, the unit complex z-plane value is obtained to be 0.91, i.e. less than 1, indicating that the signals are stable. In the context of VAR, if the multivariate VAR coefficient an is stable, then the signal is said to be stable. For an, it is stable if it lies within the unit complex z-plane. (5)det(ϕ(z))=In−a1z1−a2z2−⋯−a32z32>1\nThe MVGC built-in function, var_specrad, automatically finds if an is stable or not.\n\n\n### Model parameter estimation\nThe model order is the number of time points considered for modeling. The higher order number increases the complexity of the model but provides more sensitive information there, whereas for a lower order value, the model becomes simpler but less dependent on the previous history of the signal. Akaike Information Criterion (AIC), Bayesian Information Criterion (BIC) and Hannan-Quinn Criterion (HQ) are important and useful methods which are considered in the literature for model order estimation (Placek et al., 2022). For model order estimation, a multivariate AIC for the VAR value will be used here. AIC value is calculated for each signal and then averaged across all signals for each value of p. The value of p with the minimum sum of squared errors is selected as the model parameter. Fig. 4 shows the AIC value of all subjects averaged over a range of p from 2-20. The lower Ordinary Least Squares value is obtained for p = 7 (indicated by the red line in Fig. 4). After applying the proposed setup, the outcome of the G-causal. (6)AIC=Tlndet(Σp)+2pwhere T is the number of time points, Σp=cov(ɛt) is the residual variance matrix of the current order of the AR model (P). AIC is based on maximum likelihood estimation and selects the best fit where the variance (det(∑p)) is minimum. AIG is calculated for each signal for a range of values of p and averaged across all signals. The optimal AIG with the minimum value of the Ordinary Least Squares (OLS) method, which minimizes the sum of squared errors of VAR coefficients. (7)Y=AZ+E\nY is the predicting variable, and A is the multivariate VAR coefficient n\n×np, where n is the number of individual channels. (8)Σp=1T−pEET\nFor 32 channels C=1,2,3, ….32, and X(t) is a time series, the Granger Causality link between the source s and destination d, is based upon the residual variance produced by the past value of d ɛd|d∗,d as well as on the variance of the past values of all other conditioning sources s, ɛd|d∗,{C}, where S=C∖{i}. In other words, it can be stated that when a certain time series Granger causes another time series, it is based upon the residual variance of two regressive models, i.e. the full restrictive model ɛd|d∗,d and reduced non-restrictive models ɛd|d∗,{C}. The Granger pair value is evaluated based on the residual variance between each channel. (9)GCi→d∣{C}=lnɛd∣d∗ɛd∣d∗,{C}\nThe Granger Causality (Fig. 5) quantifies the directional influence between EEG channels, revealing causal interactions and connectivity patterns within the brain. While Granger Causality effectively captures linear dependencies, it may overlook nonlinear interactions that are often present in neural dynamics. To address this limitation, Transfer Entropy is applied as a nonlinear and model-free measure of information flow between EEG signals, providing a deeper understanding of dynamic causal relationships beyond the assumptions of linearity.Fig. 5The Granger causal link between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented in horizontal axis.Fig. 5\nThe Granger causal link between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented in horizontal axis.\n\n\n### Stationarity and stability\nIn the case of an EEG signal, the pattern of synchronization changes the temporal dynamics of the signal to a greater extent. Also, Granger Causality works best with a stationary and stable signal (Barnett & Seth, 2014). For stationary signals, the statistical features such as mean, variance remain constant over time. For task-based EEG signals, such as in the case of mental assessment tasks, the signals are absolutely non-stationary. Granger Causality is applied to see the linear connection between EEG signals. Granger Causality requires the signal to be stable as well. By stability of a system means that a finite input does not give infinite output, or in other words, does not “blow up” the system. Using MATLAB’s Var-spectral function, the unit complex z-plane value is obtained to be 0.91, i.e. less than 1, indicating that the signals are stable. In the context of VAR, if the multivariate VAR coefficient an is stable, then the signal is said to be stable. For an, it is stable if it lies within the unit complex z-plane. (10)det(ϕ(z))=In−a1z1−a2z2−⋯−a32z32>1\nThe MVGC built-in function, var_specrad, automatically finds if an is stable or not.\n\n\n### Transfer entropy\nTransfer entropy is a measure of directional information transfer between two entities based on information theory. Transfer Entropy is useful in the sense that it can capture the asymmetric and nonlinear dependencies between signals. In neuroscience, Transfer Entropy can help us to know how information is transferred between multiple sources of signals. The purpose of using TE here is to see if the uncertainty measure of information transfer between multiple brain regions can be effective for the classification of different brain states, such as stress and relax.\nTE helps find the information transferred between brain regions. Since the TE considers this communication without assuming a specific relationship between signals; it is more applicable to nonlinear systems. Transfer entropy (Sadeghijam et al., 2021), tells about how much the past values of X(t) reduce the uncertainty of future values of another signal Y(t) given Y(t)’s own past values in Eq. (11). (11)H(X∣Y)=H(X,Y)−H(Y)\nIf there is a directed causal link and information flows from X to Y, then the transfer entropy TE from X to Y is the information flow from both Y(k) and X(k) mutually minus the information received from Y(k). Expanding the conditional entropy in terms of joint entropy in Eq. (12). (12)TX→Y=H(Yt+1,Yt(k))+H(Yt(k),Xt(l))−H(Yt(k))−H(Yt+1,Yt(k),Xt(l))\nIn terms of joint entropies, the Transfer Entropy from X to Y is defined as the uncertainty between Y’s future and its own past values, H(Yt+1,Yt(k)), combined with the uncertainty of the past of both signals, H(Yt(k),Xt(l)), excluding the joint uncertainty of the complete system, H(Yt+1,Yt(k),Xt(l)), and Y’s own uncertainty, H(Yt(k)). There are multiple methods to estimate transfer entropy. This framework assumed that the underlying processes are approximated by a Gaussian assumption. The differential entropy of Gaussian Z with variance σ2 is given by: (13)H(Z)=12log2πeσ2\nApplying the Gaussian entropy on predictive signals, Yt+1 given its own past values, the entropy is H(Yt+1∣Yt)\n(14)H(Yt+1∣Yt)=12log2πevar(Yt+1−Yt)\nThe conditional entropy of Yt+1 given both its own past and the X’s past Xt is expressed as: (15)H(Yt+1∣Yt,Xt)=12log2πevar(Yt+1−(Yt+Xt))\nFig. 6Transfer entropy values between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented on the horizontal axis.Fig. 6\nTransfer entropy values between 32 channels signals for subject 10. Stress (left) and relax (right). The source channels are presented on the vertical axis, and the target channels are presented on the horizontal axis.\n\n\n### Microstates analysis\nThe Microstates can be defined as a stable set of brain patterns that usually last for about 60–120ms before transitioning into a new stable state. At rest, the brain experiences a distinct functional state for a certain amount of time (Fig. 6). Researchers believe that a set of a few of these functional states can help explain most of brain analysis. The Microstates are often referred to as “atoms of thoughts” due to their repeating patterns and stability across time signals. The idea of Microstates comes from resting state brain analysis, when it was believed that the brain remains inactive during rest until some external stimuli activate the brain Michel and Koenig (2018), where it is found that resting state Microstates analysis of the brain can reflect multiple neuropsychiatric diseases (Khanna et al., 2015, Li et al., 2023). However, few functional brain states can be helpful to explain Microstates are used to explore the intrinsic properties of temporal correlation of neuronal regions during resting states.\nGlobal Field Potential (GFP) is the measure of the relative potential difference between an instantaneous potential Vni(t) and the mean potential across all channels Vn(t). The GFP can be calculated using Eq. (16) where N is the number of channels. The GFP time series is subjected to a peak detection procedure to identify local maxima, which correspond to moments of maximal global neuronal synchronization and represent stable scalp potential topographies. (16)GFP(t)=1N∑n=1N(Vn(t)−V¯n(t))2\nNext, k-means clustering is performed on GFP Peaks maps. For resting state Microstates analysis, 4 distinct canonical Microstates are used (Khanna et al., 2015). For the mental arithmetic-based induced stress signals, data-driven Microstresses are based on the basis of subject-level and group-level clustering.\nFor the subject-level clustering, the topomaps from GFP peaks are extracted for each subject. These GFP tomomaps are then clustered for multiple K. The K-means clustering algorithm is applied multiple times (nRuns) with different initializations to mitigate the risk of convergence to local minima. To avoid the overlapping and keep the prominence of each map, a minimum distance of about 10 ms was kept between consecutive peaks. The percentile of the maximum threshold for selecting the highest peaks is set to be 80%.\nThe centroids of each cluster are then selected for the group-level clustering. As a result of subject-level clustering, K×N maps were obtained, where N represents the number of subjects. To balance the contribution of each subject, all maps from K = 4 to K = 8 are pooled together to create a standard set of topomaps, which is then passed for group-level clustering (Fig. 7).\nNow, for k = 8, correlation is computed to find the similarity between maps in which polarity is ignored using Eq. (19) (Fig. 8). In which way the maps with the high corr |r|>0.9,90%similarity are merged, which actually represents the same spatial configuration (Kleinert et al., 2024). Two pairs of group maps demonstrated strong correlations, specifically Map 1 and Map 2 (r = 0.911), as well as Map 4 and Map 5 (r = 0.917). These high correlation coefficients suggest a significant overlap in their spatial configurations.Fig. 7(From top to bottom) The topomaps present at the GFP peaks are collected for all subjects n(80). For these, topomaps are clustered for K = 4 till K = 8 and the centroid of each clustering (K) is kept in a common, subject-level pool. Upon this final centroid pool, the group level clustering is applied.Fig. 7\n(From top to bottom) The topomaps present at the GFP peaks are collected for all subjects n(80). For these, topomaps are clustered for K = 4 till K = 8 and the centroid of each clustering (K) is kept in a common, subject-level pool. Upon this final centroid pool, the group level clustering is applied.\nAfter extracting the subject-level tentative Microstates (centroids), group-level clustering is applied to identify a data-driven set of representative Microstates. Now, the collected pool of all centroids [channels x (KxN)] from group-level clustering will be again clustered using K-means. The choice of K from K = 4 to 8 is consistent with prior literature (Tarailis et al., 2024). The range allows for capturing more robust Microstates without overfitting or underfitting.\nFor each K, the selection criteria for optimal k are computed using multiple ways. The cross-validation residual and global Explained Variance GEV (Michel & Koenig, 2018) are two of them. Global Explained Variance GEV value represents how closely a topomap at a particular time point best represents its assigned labels. The higher the GEV value, the better the maps are represented by the assigned labels. (17)GEV=∑t∈TGFP(t)⋅r(V(t),Ms(t))2∑t∈TGFP(t)2where V(t) denotes the scalp potential map at time t, Ms(t) represents the centroid of the Microstate assigned to time t, and r(V(t),Ms(t)) is the spatial correlation (often the absolute value is used during assignment).\nThe GFP weighting emphasizes time points with higher SNR, ensuring that high-variance moments contribute more to the explained variance. GEV tends to increase with increasing number of K as variance increases (Fig. 9) (Liu et al., 2024). However, increasing GEV tends to capture noise rather than useful information. To mitigate the limitations of GEV, a Cross-validation residual-like function is also used to find how well a model generalizes for those assigned labels. CV values minimizes the residual error for independent unseen subjects.Fig. 8The Pearson’s correlation value between 8 topomaps presented in the form of an adjacency heat map. String correlation is observed between pairs of maps 1 and 2 and maps 4 and 5. The diagonal value gives 1, indicating the 100 correlation of a topomap with itself.Fig. 8\nThe Pearson’s correlation value between 8 topomaps presented in the form of an adjacency heat map. String correlation is observed between pairs of maps 1 and 2 and maps 4 and 5. The diagonal value gives 1, indicating the 100 correlation of a topomap with itself.\nLet Xn,i∈RC denote the scalp topography (across C channels) at the ith GFP peak, and let Xˆn,i be its reconstructed map, obtained by projecting Xn,i onto the corresponding Microstate centroid. The residual error between the original and reconstructed maps reflects the part of the signal that cannot be explained by the model. The cross-validation (CV) criterion is then defined as: (18)CV=∑i‖Xn,i‖2∑i‖Xn,i−Xˆn,i‖2\nA lower CV value indicates a better reconstruction: The centroid can capture and reconstruct the underlying EEG signal. The lower value of CV means they are not overfit and generalizes well. In other words, GEV explains how closely a map is fitted by the label and CV residual value explains how well the assigned map generalizes across all subjects. This combination ensures that the Microstates are informative, stable and physiologically meaningful and robust.Fig. 9GEV vs CV curve for each value of K from K = 4 to K =8. The minimum value of CV (0.614) and maximum value of GEV (0.652) is obtained for K = 8.Fig. 9\nGEV vs CV curve for each value of K from K = 4 to K =8. The minimum value of CV (0.614) and maximum value of GEV (0.652) is obtained for K = 8.\nEEG brain maps acquired can be polarity invariant with each other, but their spatial pattern is the same (Pascual-Marqui et al., 1995). To mitigate the effect of correlated maps and resulting redundancy in cluster centroids, the maps with a correlation higher than a particular threshold are merged (19)ρij=|rij|=|∑k=1N(Mk,i−M¯i)(Mk,j−M¯j)∑k=1N(Mk,i−M¯i)2∑k=1N(Mk,j−M¯j)2|\nThis data-driven approach helped extract a set of topomaps (Fig. 10) that carefully considers the underlying stressful brain dynamics. Now this final set of spatially distinct set of maps will be used to backfit into the GFP peaks of the individual subject.\nFig. 108 Topomaps centroids obtained after group-level clustering.Fig. 10\n8 Topomaps centroids obtained after group-level clustering.\nAfter obtaining the final set of Microstate templates, the backfitting is done to label each time point in the EEG with the best-matching template, enabling us to reconstruct the temporal sequence of Microstates across the recording (Fig. 11). To reduce spurious, short-lived fluctuations caused by noise or abrupt switching, temporal smoothing was applied to the sequence, enforcing a biologically plausible minimum duration for each Microstate. This combination of clustering, variance-based evaluation, and smoothing ensures that the identified Microstates are both statistically robust and neurophysiologically meaningful.\nFrom the final Microstates, subject-wise temporal features are extracted as they provide how these transient patterns evolve. Temporal resolution of Microstates makes an ideal candidate to analyze fast changes in the brain. The key temporal parameters which are extracted for this research are (Tarailis et al., 2024): Mean duration, Occurrence Rate, Coverage and probability of transition from one state to another. Mean duration represents the average time a specific Microstate occurred. Occurrence rate records how frequently a specific Microstate appears per subject, per state. Coverage tells about how much of the total time is covered by each Microstate. Lastly, the transition probabilities describe how often a state switches between other states. All the temporal features collected for all signals are flattened into a vector and create a feature vector of an 80 × 54 matrix.Fig. 116 Final microstates obtained from 2 level clustering method for stress-based tasks.Fig. 11\n6 Final microstates obtained from 2 level clustering method for stress-based tasks.\n\n\n### Global field potential\nGlobal Field Potential (GFP) is the measure of the relative potential difference between an instantaneous potential Vni(t) and the mean potential across all channels Vn(t). The GFP can be calculated using Eq. (16) where N is the number of channels. The GFP time series is subjected to a peak detection procedure to identify local maxima, which correspond to moments of maximal global neuronal synchronization and represent stable scalp potential topographies. (16)GFP(t)=1N∑n=1N(Vn(t)−V¯n(t))2\n\n\n### GFP peak topomaps\nNext, k-means clustering is performed on GFP Peaks maps. For resting state Microstates analysis, 4 distinct canonical Microstates are used (Khanna et al., 2015). For the mental arithmetic-based induced stress signals, data-driven Microstresses are based on the basis of subject-level and group-level clustering.\nFor the subject-level clustering, the topomaps from GFP peaks are extracted for each subject. These GFP tomomaps are then clustered for multiple K. The K-means clustering algorithm is applied multiple times (nRuns) with different initializations to mitigate the risk of convergence to local minima. To avoid the overlapping and keep the prominence of each map, a minimum distance of about 10 ms was kept between consecutive peaks. The percentile of the maximum threshold for selecting the highest peaks is set to be 80%.\n\n\n### Subject-level clustering\nThe centroids of each cluster are then selected for the group-level clustering. As a result of subject-level clustering, K×N maps were obtained, where N represents the number of subjects. To balance the contribution of each subject, all maps from K = 4 to K = 8 are pooled together to create a standard set of topomaps, which is then passed for group-level clustering (Fig. 7).\nNow, for k = 8, correlation is computed to find the similarity between maps in which polarity is ignored using Eq. (19) (Fig. 8). In which way the maps with the high corr |r|>0.9,90%similarity are merged, which actually represents the same spatial configuration (Kleinert et al., 2024). Two pairs of group maps demonstrated strong correlations, specifically Map 1 and Map 2 (r = 0.911), as well as Map 4 and Map 5 (r = 0.917). These high correlation coefficients suggest a significant overlap in their spatial configurations.Fig. 7(From top to bottom) The topomaps present at the GFP peaks are collected for all subjects n(80). For these, topomaps are clustered for K = 4 till K = 8 and the centroid of each clustering (K) is kept in a common, subject-level pool. Upon this final centroid pool, the group level clustering is applied.Fig. 7\n(From top to bottom) The topomaps present at the GFP peaks are collected for all subjects n(80). For these, topomaps are clustered for K = 4 till K = 8 and the centroid of each clustering (K) is kept in a common, subject-level pool. Upon this final centroid pool, the group level clustering is applied.\n\n\n### Group-level clustering\nAfter extracting the subject-level tentative Microstates (centroids), group-level clustering is applied to identify a data-driven set of representative Microstates. Now, the collected pool of all centroids [channels x (KxN)] from group-level clustering will be again clustered using K-means. The choice of K from K = 4 to 8 is consistent with prior literature (Tarailis et al., 2024). The range allows for capturing more robust Microstates without overfitting or underfitting.\n\n\n### Optimal K-clusters\nFor each K, the selection criteria for optimal k are computed using multiple ways. The cross-validation residual and global Explained Variance GEV (Michel & Koenig, 2018) are two of them. Global Explained Variance GEV value represents how closely a topomap at a particular time point best represents its assigned labels. The higher the GEV value, the better the maps are represented by the assigned labels. (17)GEV=∑t∈TGFP(t)⋅r(V(t),Ms(t))2∑t∈TGFP(t)2where V(t) denotes the scalp potential map at time t, Ms(t) represents the centroid of the Microstate assigned to time t, and r(V(t),Ms(t)) is the spatial correlation (often the absolute value is used during assignment).\nThe GFP weighting emphasizes time points with higher SNR, ensuring that high-variance moments contribute more to the explained variance. GEV tends to increase with increasing number of K as variance increases (Fig. 9) (Liu et al., 2024). However, increasing GEV tends to capture noise rather than useful information. To mitigate the limitations of GEV, a Cross-validation residual-like function is also used to find how well a model generalizes for those assigned labels. CV values minimizes the residual error for independent unseen subjects.Fig. 8The Pearson’s correlation value between 8 topomaps presented in the form of an adjacency heat map. String correlation is observed between pairs of maps 1 and 2 and maps 4 and 5. The diagonal value gives 1, indicating the 100 correlation of a topomap with itself.Fig. 8\nThe Pearson’s correlation value between 8 topomaps presented in the form of an adjacency heat map. String correlation is observed between pairs of maps 1 and 2 and maps 4 and 5. The diagonal value gives 1, indicating the 100 correlation of a topomap with itself.\nLet Xn,i∈RC denote the scalp topography (across C channels) at the ith GFP peak, and let Xˆn,i be its reconstructed map, obtained by projecting Xn,i onto the corresponding Microstate centroid. The residual error between the original and reconstructed maps reflects the part of the signal that cannot be explained by the model. The cross-validation (CV) criterion is then defined as: (18)CV=∑i‖Xn,i‖2∑i‖Xn,i−Xˆn,i‖2\nA lower CV value indicates a better reconstruction: The centroid can capture and reconstruct the underlying EEG signal. The lower value of CV means they are not overfit and generalizes well. In other words, GEV explains how closely a map is fitted by the label and CV residual value explains how well the assigned map generalizes across all subjects. This combination ensures that the Microstates are informative, stable and physiologically meaningful and robust.Fig. 9GEV vs CV curve for each value of K from K = 4 to K =8. The minimum value of CV (0.614) and maximum value of GEV (0.652) is obtained for K = 8.Fig. 9\nGEV vs CV curve for each value of K from K = 4 to K =8. The minimum value of CV (0.614) and maximum value of GEV (0.652) is obtained for K = 8.\n\n\n### Spatial merging of topographical maps\nEEG brain maps acquired can be polarity invariant with each other, but their spatial pattern is the same (Pascual-Marqui et al., 1995). To mitigate the effect of correlated maps and resulting redundancy in cluster centroids, the maps with a correlation higher than a particular threshold are merged (19)ρij=|rij|=|∑k=1N(Mk,i−M¯i)(Mk,j−M¯j)∑k=1N(Mk,i−M¯i)2∑k=1N(Mk,j−M¯j)2|\nThis data-driven approach helped extract a set of topomaps (Fig. 10) that carefully considers the underlying stressful brain dynamics. Now this final set of spatially distinct set of maps will be used to backfit into the GFP peaks of the individual subject.\nFig. 108 Topomaps centroids obtained after group-level clustering.Fig. 10\n8 Topomaps centroids obtained after group-level clustering.\n\n\n### Backfitting microstates\nAfter obtaining the final set of Microstate templates, the backfitting is done to label each time point in the EEG with the best-matching template, enabling us to reconstruct the temporal sequence of Microstates across the recording (Fig. 11). To reduce spurious, short-lived fluctuations caused by noise or abrupt switching, temporal smoothing was applied to the sequence, enforcing a biologically plausible minimum duration for each Microstate. This combination of clustering, variance-based evaluation, and smoothing ensures that the identified Microstates are both statistically robust and neurophysiologically meaningful.\nFrom the final Microstates, subject-wise temporal features are extracted as they provide how these transient patterns evolve. Temporal resolution of Microstates makes an ideal candidate to analyze fast changes in the brain. The key temporal parameters which are extracted for this research are (Tarailis et al., 2024): Mean duration, Occurrence Rate, Coverage and probability of transition from one state to another. Mean duration represents the average time a specific Microstate occurred. Occurrence rate records how frequently a specific Microstate appears per subject, per state. Coverage tells about how much of the total time is covered by each Microstate. Lastly, the transition probabilities describe how often a state switches between other states. All the temporal features collected for all signals are flattened into a vector and create a feature vector of an 80 × 54 matrix.Fig. 116 Final microstates obtained from 2 level clustering method for stress-based tasks.Fig. 11\n6 Final microstates obtained from 2 level clustering method for stress-based tasks.\n\n\n### Multi-modal feature fusion using attention mechanism\nDifferent modalities provide a unique representation of neural activity; however, their relative discriminative significance may vary across subjects or cognitive states. To effectively integrate these heterogeneous feature spaces, an attention-based fusion mechanism is employed.\nAttention fusion (Fig. 12) is an effective way to fuse features which are derived from multiple modalities. Unlike traditional and simpler methods like averaging or concatenation, the attention mechanism carefully considers the modality-specific information, emphasizing only on more dominant patterns and suppressing the less important features.\nThree distinct feature sets were fused using an attention mechanism. The Transfer Entropy feature is of dimensions W × 992, which represents the temporally derived statistical characteristics where W =1920 windows. For Microstates features the dimensions were N×54, where N = 80 signals. The Granger Causality is a set of N× i×j adjacency matrix where i and j are the number of channels. The given three feature sets have different dimensions, which makes them incompatible to feed into the latent space. To make distinct sets of modalities features consistent, the subject-level linear interpolation is done via Python’s interp1D function for MS and GC features to meet the target dimensionality of Transfer Entropy. The interpolation function is defined as: (20)fi(x)=yi(old)+yi(new)−yi(old)x(new)−x(old)(x−x(old))Fig. 12Attention fusion model. FMC, FTE and FGC are input feature sets. The linear transformation layer transforms the input into a linear embedding suitable for the attention layer. The attention layers compute and return the weight for each feature set, which are normalized using softmax.Fig. 12\nAttention fusion model. FMC, FTE and FGC are input feature sets. The linear transformation layer transforms the input into a linear embedding suitable for the attention layer. The attention layers compute and return the weight for each feature set, which are normalized using softmax.\nThe obtained values were normalized to minimize the scaling discrepancies across all distinct feature sets.\nTo effectively integrate features from different neural modalities, a feature-level Attention-Based Fusion (ABF) model is used. This method provides an effective way to fuse heterogeneous feature sets from Granger Causality, Transfer Entropy and Temporal Microstate features. ABF performs feature-level fusion (Cai et al., 2020) using some learnable weights that dynamically modulate and select the most contributing features across all feature sets. First, the feature matrix MS, GC and TE are projected into a common latent space for modality-specific linear transformation to create embeddings for each feature set: (21)Hm=tanh(WmFm+bm),wherem∈{TE,MS,GC}\nThe transformed features Hm are fed into the self-attention layer, which computes the relevance score wT for each type of feature. The softmax function normalizes the obtained score values, which represent the relative importance of each modality. (22)αm=softmax(w⊤Hm)\n(23)Hfused=∑(αTE+αMS+αGC)\nThe attention layer helps learn the sample-weight dependent αm. The final fused vector contains the discriminating features from all three modalities and is classified using LDA. Fig. 12 depicts the attention mechanism in detail. This fused feature set is then used to perform classification using Group 5-Fold classification with 32 subjects selected for training and 8 for testing. After creating the training and testing datasets, the attention fusion model is re-initialized to avoid information leakage. The reproducibility for same subject-specific folds is ensured across all experiments.\n\n\n### Classifiers\nFor the binary classification of signals into stress and relax states, three different classifiers are used to improve the reliability of the proposed methodology. The parametric and architectural details of classifiers is presented in Table no. 2. All three models are implemented using a Group 5-fold validation approach.\nTable 2Key parameters and architectural details of SVM, LDA, and MLP classifiers.Table 2SVMLDAMLPParameterValueParameterValueParameterValueKernelRadial Basis Function (RBF)OptimizationSolverHidden Layers2RegularizationC=1.0RegularizationShrinkageHidden Units(256, 128)Kernel WidthGamma (scale)Search MethodGrid SearchRegularizationDropout (0.4)Loss FunctionCross-Entropy\nKey parameters and architectural details of SVM, LDA, and MLP classifiers.\nSupport Vector Machine (SVM) is a supervised Machine learning model that gives robust performance for classification and regression tasks. The core idea of SVM is to separate the given classes with the help of a hyperplane that maximizes the distance between datapoints from each class. In other words, the hyperplane that separates the given (two) classes is at the maximum distance from data points of each class. This helps in improving the generalization to unseen data. For the classification between stress and relax state using a fused feature set and considering the non-linearity of feature sets, a Radial Basis Function (RBF) kernel is used, which maps each dimension into an infinite feature space where linear separation is possible. The RBF kernel is given as: (24)K(x,y)=exp(−γ‖x−y‖2)where, x and y are two feature points. the RBF is based on maximizing the distance between two feature points γ controls the rate at which the similarity between feature points decreases with the increasing distance.\nLinear Discriminant Analysis (LDA) is a supervised machine learning algorithm that is based on identifying a linear combination of features to separate classes. LDA is based on maximizing variance using class information. It works by projecting feature space onto a lower-dimensional subspace that maximizes the ratio of inter-class variance and intra-class variance. For an x feature vector with discriminant weights w, the linear combination of features is given by (25)y=wTx+b\nThe optimal w is derived from the ratio of inter-class scatter matrix Sb and intra-class scatter matrix Sw. (26)w=argmaxwwTSbwwTSww\nThis criterion enhances the distinction between classes where features might be highly correlated and multidimensional. Before feeding into the classifier, the fused matrix is first imputed to handle missing values and normalize feature distribution.\nMulti-layer perception is a fully connected neural network that learns non-linear patterns from the given data by reducing the dimension progressively after each layer. Each layer is preceded by a ReLU activation function for preventing overfitting and add non-linearity. The hidden layers transform the feature set into lower dimensions based on the cross-entropy function. According to Eq. (27) at each level, where h~n is the features acquired from previous hidden layer and W is the weights. (27)hn=σWnh~n+bn\n\n\n### Support vector machine\nSupport Vector Machine (SVM) is a supervised Machine learning model that gives robust performance for classification and regression tasks. The core idea of SVM is to separate the given classes with the help of a hyperplane that maximizes the distance between datapoints from each class. In other words, the hyperplane that separates the given (two) classes is at the maximum distance from data points of each class. This helps in improving the generalization to unseen data. For the classification between stress and relax state using a fused feature set and considering the non-linearity of feature sets, a Radial Basis Function (RBF) kernel is used, which maps each dimension into an infinite feature space where linear separation is possible. The RBF kernel is given as: (24)K(x,y)=exp(−γ‖x−y‖2)where, x and y are two feature points. the RBF is based on maximizing the distance between two feature points γ controls the rate at which the similarity between feature points decreases with the increasing distance.\n\n\n### Linear discriminant analysis\nLinear Discriminant Analysis (LDA) is a supervised machine learning algorithm that is based on identifying a linear combination of features to separate classes. LDA is based on maximizing variance using class information. It works by projecting feature space onto a lower-dimensional subspace that maximizes the ratio of inter-class variance and intra-class variance. For an x feature vector with discriminant weights w, the linear combination of features is given by (25)y=wTx+b\nThe optimal w is derived from the ratio of inter-class scatter matrix Sb and intra-class scatter matrix Sw. (26)w=argmaxwwTSbwwTSww\nThis criterion enhances the distinction between classes where features might be highly correlated and multidimensional. Before feeding into the classifier, the fused matrix is first imputed to handle missing values and normalize feature distribution.\n\n\n### Multi-layer perceptron\nMulti-layer perception is a fully connected neural network that learns non-linear patterns from the given data by reducing the dimension progressively after each layer. Each layer is preceded by a ReLU activation function for preventing overfitting and add non-linearity. The hidden layers transform the feature set into lower dimensions based on the cross-entropy function. According to Eq. (27) at each level, where h~n is the features acquired from previous hidden layer and W is the weights. (27)hn=σWnh~n+bn\n\n\n### Performance evaluation\nTo evaluate the robustness of fused features, several standard classification matrices are used, including accuracy, precision, recall, F1 score, Area Under the Receiver Operating Characteristic Curve (AUC), and loss. Accuracy measures of correctness of classified labels. Precision is the proportion of correctly predicted positive samples among all samples which are predicted positive. Recall or sensitivity identify the actual possible cases. F1 score observes the balance between the prediction of each class label. AUC represents a threshold-independent measure of separability of classes (stress and relax). (28)Accuracy=TP+TNTP+TN+FP+FNwhere TP, TN, FP, and FN denote the number of true positives, true negatives, false positives, and false negatives, respectively. (29)Precision=TPTP+FP\n(30)Recall=TPTP+FN\n(31)F1=2×Precision×RecallPrecision+Recall\n(32)AUC=∫01TPR(FPR)d(FPR)where TPR and FPR represent the True Positive Rate and False Positive Rate, respectively.\nFor binary classification, the binary cross-entropy loss is defined as: (33)L=−1N∑i=1Nyilog(yˆi)+(1−yi)log(1−yˆi)where yi denotes the true label, yˆi is the predicted probability, and N is the total number of samples.\n\n\n### Results and discussion\nThe SVM classifier demonstrates high performance on both training and testing datasets (Table 3). The mean training accuracy is 0.9407 ± 0.0028, and the average testing accuracy is 0.9547 ± 0.0286, indicating strong generalization with minimal overfitting. Similarly, the AUC values are very high (0.9919 ± 0.0086 for testing), which reflects excellent class discrimination. The low loss values confirm stable convergence during training. Overall, the SVM with RBF kernel is highly effective for a fully fused feature dataset, due to its ability to handle non-linear separability in high-dimensional space.\nFig. 13 shows the ROC curves for all five cross-validation folds. These curves demonstrate consistent classification performance across all folds with slight variations. Each curve remains close to the top-left corner, which demonstrate the high true positive rates at very low false positive rates. In addition, minimal variations across folds indicate that the model has strong stability, robustness, and excellent generalization capability across different data splits. Similarly, confusion matrices across all folds are represented in Fig. 14.Table 3Five-fold performance of the proposed attention-based fusion model for SVM.Table 3TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95890.96190.95570.95880.99230.0052120.91530.93810.88930.91310.97520.0703130.93880.93650.94140.93890.98390.0364640.92120.92840.91270.92050.97540.0364650.96940.97240.96610.96930.99550.07552Mean ± SD0.9407 ± 0.00280.9475 ± 0.00320.9330 ± 0.00400.9401 ± 0.00300.9845 ± 0.000010.0057 ± 0.0028TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.99480.99480.99480.99480.99960.005220.92970.89860.96880.93230.98430.070330.96350.93201.00000.96480.99850.036540.96090.98360.93750.96000.99610.039150.92450.95030.89580.92230.98120.0755Mean ± SD0.9547 ± 0.02860.9519 ± 0.03900.9593 ± 0.04330.9548 ± 0.02870.9919 ± 0.00860.0453 ± 0.0286Fig. 13Receiver operating characteristic curve for Group 5-Fold based classification using SVM.Fig. 13\nFive-fold performance of the proposed attention-based fusion model for SVM.\nReceiver operating characteristic curve for Group 5-Fold based classification using SVM.\nFig. 14Confusion matrix for Group 5-Fold based classification using SVM.Fig. 14\nConfusion matrix for Group 5-Fold based classification using SVM.\nThe testing accuracy reported by LDA is 0.9891 ± 0.0137, as presented in Table 4. This indicates that LDA gives robust generalization with very low variance. LDA also shows high precision and recall, suggesting it is effective in identifying both classes correctly. However, LDA is inherently a linear classifier, and while the current dataset appears to be linearly separable to a large extent, it may not capture complex nonlinear relationships. To further confirm the robustness of the fused feature set, the classification is performed using MLP.\nTo further validate the discriminative capability of the fusion model, AUC–ROC curves were plotted for each test fold, as shown in Fig. 15. The ROC curves illustrate the relationship between the True Positive Rate (TPR) and the False Positive Rate (FPR) under varying decision thresholds. Across all folds, the model consistently achieved high AUC values, indicating high class separability. Fig. 16 showing the confusion matrices for different folds, also indicate good performance with very few false positives and false negatives.Table 4Five-fold performance of the proposed attention-based fusion model for LDA.Table 4TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.99670.99740.99610.99670.99990.003320.99350.99480.99220.99350.99960.006530.99540.99480.99610.99540.99990.004640.99090.99480.98700.99090.99940.009150.99280.99740.98830.99280.99960.0072Mean ± SD0.9939 ± 0.00230.9958 ± 0.00140.9919 ± 0.00430.9939 ± 0.00230.9997 ± 0.00020.0061 ± 0.0023TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.96880.95450.98440.96920.99700.031320.99740.99481.00000.99741.00000.002630.98180.98940.97400.98160.99670.018241.00001.00001.00001.00001.00000.000050.99740.99481.00000.99741.00000.0026Mean ± SD0.9891 ± 0.01370.9867 ± 0.01860.9917 ± 0.01260.9891 ± 0.01370.9987 ± 0.00160.0109 ± 0.0137Fig. 15Receiver operating characteristic curve for Group 5-Fold based classification using LDA.Fig. 15\nFive-fold performance of the proposed attention-based fusion model for LDA.\nReceiver operating characteristic curve for Group 5-Fold based classification using LDA.\nFig. 16Confusion matrix for Group 5-Fold based classification using LDA.Fig. 16\nConfusion matrix for Group 5-Fold based classification using LDA.\nThe training accuracy reported by MLP is 0.9074 ± 0.0235, and testing accuracy is 0.8349 ± 0.0636 in Table 5, which is slightly lower than both SVM and LDA. The higher standard deviation in testing metrics suggests that the MLP model exhibits greater sensitivity to data splits, due to its higher learnability and the risk of overfitting in relatively small datasets. Nevertheless, the MLP achieves competitive F1 scores and AUC values, indicating that it still captures meaningful non-linear patterns in the data.\nThe ROC curves across the five folds, in Fig. 17, indicate good overall classification performance, though with greater variability compared to the previous figure. While most folds achieve high true positive rates at relatively low false positive rates, some curves rise more gradually, suggesting moderate differences in discriminative capability and slightly reduced stability across data splits. Performance of MLP is poor than SVM and LDA, as indicated by the number of wrong predictions in Fig. 18.Table 5Group 5-Fold based performance of the proposed attention-based fusion model for MLP.Table 5TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.92870.90670.96890.89730.93790.071320.93490.99870.93890.90870.92810.065130.89340.96710.86780.82090.91900.106640.87990.89780.84560.84800.98760.120150.90010.85870.94670.80970.91820.0999Mean ± SD0.9074 ± 0.02350.9258 ± 0.05560.9136 ± 0.04980.8569 ± 0.04100.9382 ± 0.02810.0926 ± 0.0235TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.88020.81740.97920.89100.97230.119820.73960.69490.85420.76640.90210.260430.87760.86800.89060.87920.95200.122440.79690.77670.83330.80400.90710.203150.88020.95060.80210.87010.96070.1198Mean ± SD0.8349 ± 0.06360.8215 ± 0.09500.8719 ± 0.06910.8423 ± 0.05660.9388 ± 0.03070.1651 ± 0.0636Fig. 17Receiver operating characteristic curve for Group 5-Fold based classification using MLP.Fig. 17\nGroup 5-Fold based performance of the proposed attention-based fusion model for MLP.\nReceiver operating characteristic curve for Group 5-Fold based classification using MLP.\nTables 3, 4, and 5 present the classification performances (Training) across all five folds for SVM, MLP and LDA, respectively. The results confirm that the proposed fusion approach effectively mitigates overfitting and preserves the discriminative power across subjects.Fig. 18Confusion matrix for 5-fold cross-validation-based classification using MLP.Fig. 18\nConfusion matrix for 5-fold cross-validation-based classification using MLP.\nTo compare the effectiveness of fused features, the classification results of the fused feature set are compared with the individual feature set. The classification results obtained from individual features from Transfer Entropy TE, Microstates MS, and Granger Causality GC showed overall moderate performances in Tables 6, Table 7, Table 8 for SVM, LDA and MLP respectively. Each set of feature modalities captures a distinct brain functional state.\nAmong all three classifiers, the Microstate features gave the highest classification performance with SVM, with a mean accuracy of 0.6125 ± 0.0745. Despite capturing the transient topographical configurations of brain activity, the results indicate inconsistent generalization, suggesting that Microstate dynamics alone may not sufficiently represent the discriminative temporal dependencies required for robust stress-relax separation.Table 6Group 5-Fold based performance of individual feature modalities using SVM.Table 6Granger Causality FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.62500.60000.75000.66670.32810.375020.68750.71430.62500.66670.40620.312530.50000.50000.50000.50000.48440.500040.75000.75000.75000.75000.28120.250050.62500.60000.75000.66670.29690.3750Mean ± SD0.6375 ± 0.09190.6329 ± 0.10030.6750 ± 0.11180.6500 ± 0.09130.3594 ± 0.08550.3625 ± 0.0919Transfer Entropy FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.53390.55280.35420.43170.56600.466120.55730.57050.46350.51150.58890.442730.50000.50000.54170.52000.47680.500040.47400.45970.29690.36080.45620.526050.49740.49690.41670.45330.50450.5026Mean ± SD0.5125 ± 0.03440.5160 ± 0.04460.4146 ± 0.09610.4555 ± 0.06350.5185 ± 0.05810.4875 ± 0.0344Microstates FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.62500.60000.75000.66670.23440.375020.56250.55560.62500.58820.50000.437530.68750.66670.75000.70590.21880.312540.68750.66670.75000.70590.32810.312550.50000.50000.37500.42860.46880.5000Mean ± SD0.6125 ± 0.07450.5978 ± 0.07090.6500 ± 0.15000.6191 ± 0.11040.3509 ± 0.11130.3875 ± 0.0745\nGroup 5-Fold based performance of individual feature modalities using SVM.\nThe Granger Causality features achieved highest accuracy of 0.8695 ± 0.0723 and an AUC of 0.9339 ± 0.0406 for MLP. While GC captures linear causal relationships among EEG channels, its performance remained below that of TE, reflecting its limitation in modeling nonlinear information transfer.\nTE features emerge as the most powerful and reliable descriptors for this classification task. Supporting their integration into multimodal fusion frameworks for enhanced EEG-based discrimination. For all three classifiers and for all three feature sets obtained from different modalities, a similar behavior was observed, depicted by each feature set. However, combining these features using an attention mechanism carefully extracts the most effective features from all three modalities to provide more powerful and robust classification, as explained in earlier sections.Table 7Group 5-fold based performance of Individual feature modalities LDA.Table 7Granger Causality FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.66670.67980.63020.65410.75950.333320.53650.57290.28650.38190.57350.463530.69010.69730.67190.68440.76890.309940.80730.77830.85940.81680.77180.192750.67710.63820.81770.71690.74020.3229Mean ± SD0.6753 ± 0.09340.6733 ± 0.06930.6335 ± 0.20100.6500 ± 0.15740.7228 ± 0.08840.3245 v 0.0972Microstates FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.56510.57960.47400.52150.59510.434920.47400.47770.55730.51440.47400.526030.56250.54320.78650.64260.53820.437540.53650.53500.55730.54590.53380.463550.53390.55960.31770.40530.56660.4661Mean ± SD0.5420 ± 0.03730.5392 ± 0.03670.5387 ± 0.15790.5259 ± 0.09200.5412 ± 0.04400.4578 ± 0.0353Transfer Entropy FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.82810.89380.74480.81250.86850.171920.65360.67250.59900.63360.66970.346430.62500.62000.64580.63270.63970.375040.73440.77780.65630.71190.78070.265650.66150.65820.67190.66490.61130.3385Mean ± SD0.7005 ± 0.08850.7249 ± 0.11540.6636 ± 0.05350.6717 ± 0.07510.6941 ± 0.10420.2995 ± 0.0613\nGroup 5-fold based performance of Individual feature modalities LDA.\nTable 8Group 5-fold based performance of individual feature modalities using MLP.Table 8Granger Causality FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.84900.89880.78650.83890.90340.152020.76300.79190.71350.75070.85340.237030.95051.00000.90100.94790.94590.049540.90100.87380.93750.90450.95230.099050.88280.82100.97920.89310.97900.1172Mean ± SD0.8695 ± 0.07230.8771 ± 0.08000.8635 ± 0.08660.8670 ± 0.07670.9260 ± 0.04800.1329 ± 0.0676Transfer Entropy FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.94270.98850.89580.93990.95590.057320.89580.90000.89060.89530.97300.104230.83590.85250.81250.83200.88390.164140.84640.84460.84900.84680.94690.153650.83070.80090.88020.83870.91000.1693Mean ± SD0.8703 ± 0.05490.8773 ± 0.07360.8656 ± 0.03190.8705 ± 0.04180.9339 ± 0.04060.1297 ± 0.0455Microstates FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.48960.48950.48440.48690.46800.510420.48440.48310.44790.46490.44650.515630.49480.49580.60940.54670.49180.505240.55990.56730.50520.53440.56630.440150.56510.58390.45310.51030.56060.4349Mean ± SD0.5186 ± 0.03670.5239 ± 0.04110.5003 ± 0.06810.5086 ± 0.03150.5066 ± 0.04850.4712 ± 0.0367\nGroup 5-fold based performance of individual feature modalities using MLP.\nThe fusion of Transfer Entropy and Granger Causality features yielded a significant performance in classification performance compared to the individual modalities. As shown in Table 9, Table 10, Table 11 the combined TE+GC model achieved a mean testing accuracy of 0.9526 ± 0.0453, F1-score of 0.9497 ± 0.0416, and an exceptionally high AUC of 0.9803 ± 0.0245 using SVM Model, demonstrating strong generalization and discriminative capability across folds. This improvement suggests that fusing nonlinear (Transfer Entropy) and linear (Granger Causality) causal dynamics provides a more comprehensive characterization of effective brain connectivity, capturing both complex directional information flow and stable causal dependencies.\nThe three ROC plots, in Fig. 19, illustrate varying levels of classification performance across the five folds. The best performance is illustrated in middle plot which is for SVM model. It demonstrates excellent and highly consistent performance, with curves closely approaching the top-left corner. These curves indicate high true positive rates at very low false positive rates. In contrast, the left plot shows moderate performance with noticeable variability among folds, suggesting less stable generalization. The right plot reflects good overall discrimination, though some folds rise more gradually, indicating moderate differences in sensitivity across data splits.Table 9Group 5-Fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 9Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.87430.88900.85550.87190.94670.125720.94790.95740.93750.94740.98870.052130.96610.97350.95830.96590.99290.033940.96160.96830.95440.96130.99440.038450.92970.94470.91280.92850.98250.0703Mean ± SD0.9351 ± 0.03580.9460 ± 0.03540.9235 ± 0.03700.9354 ± 0.03440.9813 ± 0.01920.0641 ± 0.0330Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss11.00001.00001.00001.00001.00000.000020.96880.97870.95830.96840.99450.031230.88540.97440.79170.87360.93310.114640.93750.96670.90630.93550.97790.062550.97140.98400.95830.97100.99580.0286Mean ± SD0.9526 ± 0.04530.9807 ± 0.01030.9229 ± 0.08400.9497 ± 0.04160.9803 ± 0.02450.0474 ± 0.0386Table 10Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 10Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.88740.89400.87890.88640.95940.112620.83330.80550.87890.84060.92570.166730.75000.72700.80080.76210.83560.250040.85680.84950.86720.85820.92010.143250.83460.80020.89190.84360.91520.1654Mean ± SD0.8324 ± 0.05040.8152 ± 0.06440.8637 ± 0.03790.8182 ± 0.04650.9116 ± 0.04480.1676 ± 0.0481Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.60680.57350.83330.67940.77400.393220.64840.62780.72920.67470.74650.351630.58850.57330.69270.62740.59460.411540.68230.80700.47920.60130.66040.317750.66670.67390.64580.65960.72250.3333Mean ± SD0.6385 ± 0.03490.6519 ± 0.10070.6560 ± 0.14050.6487 ± 0.03100.6997 ± 0.07270.3615 ± 0.0381Table 11Group 5-Fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 11Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95900.96080.95700.95890.98940.041020.96610.95200.98180.96670.99650.033930.97530.98540.96480.97500.99640.024740.95830.97570.94010.95760.99340.041750.91860.89350.95050.92110.97800.0814Mean ± SD0.9551 ± 0.02040.9535 ± 0.03610.9585 ± 0.01650.9551 ± 0.01950.9902 ± 0.00790.0445 ± 0.0204Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.69010.63980.86980.73730.75510.309920.73180.70320.80210.74940.83720.268230.69010.73250.59900.65900.74160.309940.70310.73210.64060.68330.82250.296950.70310.75320.60420.67050.79940.2969Mean ± SD0.7036 v 0.01660.7122 ± 0.04510.7033 ± 0.10150.6999 ± 0.04140.7913 v 0.03430.2956 ± 0.0172\nGroup 5-Fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nGroup 5-Fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nFig. 19ROC curves for group 5-fold based validation for TE and GC fusion. LDA (left), SVM (center), MLP (right).Fig. 19\nROC curves for group 5-fold based validation for TE and GC fusion. LDA (left), SVM (center), MLP (right).\nThe performance results of the Microstates Features, and Granger Causality features indicate moderate discriminative capability during training and limited generalization on the test data, as shown in Table 12, Table 13, Table 14. During training, the model achieved an average accuracy of 0.7891 ± 0.0614, precision of 0.7874 ± 0.0545, recall of 0.7958 ± 0.0849, and an F1 score of 0.7899 ± 0.067, with a mean AUC of 0.8419 for MLP. For SVM, an average accuracy was obtained to be 70.00%.\nThese values suggest that the extracted features were able to capture meaningful class-specific patterns to some extent. However, the testing phase shows a considerable performance drop. Table 14 shows a similar behavior by SVM, which depicts that MS and GC are not complementary when fused. This discrepancy between training and testing results may indicate potential overfitting or that the MS and GC features alone are not sufficiently robust for distinguishing between the two classes.Table 12Group 5-Fold based training and testing performance of the proposed SVM classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 12Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.84380.82350.87500.84850.07130.156220.93750.93750.93750.93750.99220.062530.96881.00000.93750.96770.00000.031240.87500.87500.87500.87500.07230.125050.81250.85710.75000.80000.13280.1875Mean ± SD0.8879 ± 0.06130.8780 ± 0.06810.8750 ± 0.06700.8657 ± 0.06250.2531 ± 0.41270.1321 ± 0.0569Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.75000.70000.87500.77780.12500.250020.62500.57141.00000.72730.82810.375030.75000.83330.62500.71430.14060.250040.81250.85710.75000.80000.10940.187550.56250.66670.25000.36360.32810.4375Mean ± SD0.7000 ± 0.08700.7257 ± 0.10470.7000 ± 0.27350.6766 ± 0.17260.3063 ± 0.29540.3000 ± 0.0870\nGroup 5-Fold based training and testing performance of the proposed SVM classifier using combined Microstates (MS) and Granger Causality (GC) features.\nThe comparative ROC analysis across three models in Fig. 20, reveals distinct performance patterns. The first model exhibits moderate discrimination with noticeable inter-fold variability. The second model demonstrates unstable and inconsistent behavior, with some folds approaching random classification. In contrast, the third model achieves superior and consistent performance, with curves concentrated near the top-left corner, indicating robust generalization and higher predictive reliability.Table 13Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 13TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.92060.92280.91800.92040.96410.079420.86130.84130.89060.86530.94290.138730.85420.83580.88150.85800.93310.145840.87570.86110.89580.87810.93670.124350.89450.89760.89060.89410.94790.1055Mean ± SD0.8819 ± 0.02850.8713 ± 0.03820.8951 ± 0.02820.8832 ± 0.02650.9445 ± 0.01190.1187 ± 0.0253Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.68230.64340.81770.72020.71900.317720.69010.67980.71880.69870.80480.309930.50000.50000.48960.49470.47960.500040.62240.66670.48960.56460.60880.377650.71880.75610.64580.69660.74570.2812Mean ± SD0.6427 ± 0.08200.6492 ± 0.09490.6323 ± 0.13750.6350 ± 0.08600.6710 ± 0.12370.3573 ± 0.0856Table 14Five-fold training and testing performance of the proposed MLP classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 14Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.98500.98950.98050.98500.99960.015020.95830.95480.96220.95850.98600.041730.98310.98820.97790.98300.99900.016940.98440.98190.98700.98440.99800.015650.99020.98960.99090.99020.99890.0098Mean ± SD0.9808 ± 0.01250.9806 ± 0.01370.9793 ± 0.01090.9803 ± 0.01220.9963 ± 0.00620.0198 ± 0.0121Testing Performance10.79170.74140.89580.81130.84940.208320.83070.84320.81250.82760.86430.169330.67710.68280.66150.67200.74860.322940.79950.81420.77600.79470.87030.200550.84640.85560.83330.84430.87470.1536Mean ± SD0.7891 ± 0.06140.7874 ± 0.05450.7958 ± 0.08490.7899 ± 0.06710.8419 ± 0.04800.2109 ± 0.0595\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Microstates (MS) and Granger Causality (GC) features.\nFive-fold training and testing performance of the proposed MLP classifier using combined Microstates (MS) and Granger Causality (GC) features.\nFig. 20ROC curves for group 5-fold based validation for MS and GC fusion. LDA (left), SVM (center), MLP (right).Fig. 20\nROC curves for group 5-fold based validation for MS and GC fusion. LDA (left), SVM (center), MLP (right).\nThe fusion of Microstate and Transfer Entropy features demonstrates a highly effective representation of EEG dynamics, resulting in strong discriminative performance for LDA, MLP and SVM as presented in Table 15, Table 16, Table 17. The average training accuracy of 0.8008 ± 0.0345 with an AUC of 0.8642 ± 0.0324 indicates that the model effectively learned class-specific temporal and spatial patterns from the fused features when classified using LDA. The mean testing accuracy of 0.6266 ± 0.1360 and F1 score of 0.6419 ± 0.1182 confirm the robustness and generalization capability of the fusion approach. Upon evaluation of other related parameters, it is observed that Transfer Entropy outperformed the binary as well as full-fusion of features for MLP.\nThe superior performance of fusion, compared to the individual modalities (Microstates or, Transfer Entropy alone) demonstrates that combining microstate-based temporal. Stability with the directional information flow captured by transfer entropy provides a more comprehensive feature space, leading to enhanced classification performance.Table 15Group 5-fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy and Microstates features.Table 15Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95640.95110.96220.95660.99220.043620.96680.97230.96090.96660.99620.033230.97720.97540.97920.97730.99700.022840.82100.80770.84240.82470.89910.179050.77600.76500.79690.78060.84900.2240Mean ± SD0.8995 ± 0.08310.8949 ± 0.07970.9085 ± 0.07570.9019 ± 0.07800.9265 ± 0.06330.1005 ± 0.0845Testing Performance10.73960.76740.68750.72530.76780.260420.47140.47960.67190.55970.45230.528630.52600.54100.34380.42040.59300.474040.60940.57780.81250.67530.68320.390650.56770.54480.82290.65560.61070.4323Mean ± SD0.5824 ± 0.09510.5821 ± 0.10700.6673 ± 0.19640.6078 ± 0.10740.6114 ± 0.11600.4152 ± 0.0964\nGroup 5-fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy and Microstates features.\nThe ROC curves across the three models, in Fig. 21, indicate moderate and variable classification performance. In the first plot, several folds remain close to the diagonal, suggesting limited discriminative ability, while one fold performs comparatively better. The second plot shows improved but inconsistent performance across folds. The third plot demonstrates relatively stronger and more stable discrimination, with most folds achieving higher true positive rates at lower false positive rates, indicating comparatively better generalization.Table 16Group 5-fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy and Microstates features.Table 16Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.63020.63020.63020.63020.66840.369820.75000.87500.58330.70000.88740.250030.59640.57680.72400.64200.55960.403640.73180.74860.69790.72240.78970.268250.87500.90000.84380.87100.97060.1250Mean ± SD0.7167 ± 0.09730.7461 ± 0.11760.6956 ± 0.09730.7133 ± 0.09420.7759 ± 0.15450.2633 ± 0.0963Testing Performance10.56250.55830.59900.57790.63410.437520.56770.77080.19270.30830.72950.432330.51820.51310.71350.59700.49420.481840.65890.64320.71350.67650.68260.341150.79170.87840.67710.76470.85820.2083Mean ± SD0.6190 ± 0.09410.6727 ± 0.15760.5799 ± 0.19630.5849 ± 0.18570.6793 ± 0.14750.3802 ± 0.0967Table 17Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Microstates (MS) features.Table 17Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.80530.81060.79690.80370.86920.194720.79430.80460.77730.79070.83060.205730.85420.85420.85420.85420.91520.145840.76430.78040.73570.75740.85220.235750.78190.80800.73960.77230.85570.2181Mean ± SD0.8008 ± 0.03450.8111 ± 0.03100.7807 ± 0.04860.7957 ± 0.03500.8642 ± 0.03240.2000 ± 0.0338Testing Performance10.49480.49560.58330.53590.51580.505220.67970.71700.59380.64960.67120.320330.49220.49350.58850.53680.44620.507840.63280.61140.72920.66510.68660.367250.83330.88100.77080.82220.86290.1667Mean ± SD0.6266 ± 0.13600.6397 ± 0.16070.5931 ± 0.06510.6419 ± 0.11820.6369 ± 0.14230.3734 ± 0.1300\nGroup 5-fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy and Microstates features.\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Microstates (MS) features.\nFig. 21ROC curves for group 5-fold based validation for Transfer Entropy and Microstates fusion, LDA (left), SVM (center), MLP (right).Fig. 21\nROC curves for group 5-fold based validation for Transfer Entropy and Microstates fusion, LDA (left), SVM (center), MLP (right).\nAmong the three different feature sets, Transfer Entropy achieved the highest discriminating results with the accuracy of 87% as compared to the other two feature sets, Granger Causality (86%) and Microstates features (54%) for MLP. This tells us that TE is efficient in capturing the non-linearity between different neuronal regions while the brain is undergoing strong mental activity, which increases the stress level. GC, however, tried to build the linear causal link between brain regions. In contrast to this, microstates showed lower accuracies of 51%, which indicate limited performance. These results indicate that individual features are not sufficient to capture underlying neural dynamics when classified using MLP.\nThis may be because the cortical region is under highly non-linear intrinsic interactions, which result in diminishing its linear properties. The microstate captured in stressful conditions is a relatively newer direction. We obtained new sets of topographical maps with a defined methodology that carefully represents the brain images in stressful states. The discriminating power of microstates indicates that the obtained quasi-stable brain configurations may lack the fine-grained temporal dependencies for discrimination when in isolation.\nThe fusion of GC and TE using an attention mechanism outperformed the individual discriminating power of both feature sets only for the SVM model. For the remaining Models, MLP and LDA, the binary fusion performs worse than these individual features. This indicates that GC’s linear and TE’s non-linear capabilities degrade the overall holistic effective connectivity. The fusion of GC and MS degraded the performance as compared to their individual feature sets. It reflects the temporal-resolution disparity between GC and MS. GC, which is based on time-series causality and Microstates, based on spatial–temporal clustering, introduce extract noise during fusion. Moreover, a significant degradation in performance can be seen for various other binary pairs. For example, MS + TE showed the accuracy of 62.66%, which is worse to a significant extent when compared with their individual counterparts. A similar pattern can be observed with MS + GC, which fails to improve and suggests a weak synergy between the two features.\nThe ablation study and classification results presented by fusing all features suggest that the fully fused features give improved classification results when classified using LDA. When the signals are classified using individual features, the accuracy and other parameters give low performance, indicating that individual features are not sufficient to capture the discriminative patterns.\nThe attention mechanism sensitively captured the information from each modality by adaptively weighting the contribution based on task relevancy. This dynamic weighting of features diminishes the dimensional imbalance and noise reduction which is present in standalone feature sets. From the pattern observed from individual, partial fusion and full fusion of features, it is evaluated that no single type of feature is sufficient for capturing the dense multifaceted nature of neural dynamics in mental stress activity. Instead, the fusion of potential and diverse feature sets integrates the diverse underlying information, particularly in cases where both linear and non-linear information transfer is crucial. This technique further highlights the importance of combining connectivity features in neurophysiological analysis.\nThe results are presented in Table 6, Table 7, Table 8 illustrate the importance of feature-level fusion of multiple EEG modalities in the task of mental stress classification. The evaluation parameters show low performance of all three sets of features when used for classification individually. For instance, the accuracy of the fused feature set improved by 49.76%, 46.47% and 38.92% as compared to the individual feature set extracted from Granger Causality using SVM and LDA. Whereas with MLP, a slight decrease in performance of about 3.98% is observed.\nSimilarly, the attention-based fused feature set shows an improvement of 55.87%, ＋82.53%, 60.99% and 86.29%, 41.19%, 4.07% when compared with individual results obtained from Microstate-based and Transfer Entropy classification using SVM, LDA and MLP, respectively. It is observed that for MLP, the TE features outperform the full-fusion results.\nThe same trend was observed when the model fusion results were compared with the binary fusion of features. For example, the binary fusion of Granger Causality and Transfer Entropy provided about 0.22%, 54.91% and 18.66% improvement in the classification results compared with their full-fusion performance of both feature sets, respectively for SVM, LDA and MLP.\nFor SVM, the fully fuse model showed about 36.39% improved as compared with Granger Causality+ Microstates and about 53.90% and 6.03% improvement for LDA and MLP. Combining Microstates and Granger Causality gives a significant improvement in accuracy. Both features are robust in a way that they provide complementary mechanisms explained due to distinct interaction models. Granger Causality and Microstates showed complementary fusion. Granger Causality captured linear causality, and MS encodes the macro-level spatial organization. In this way, both of these features captured local and global brain responses while under stress. Similarly, for Microstates and Transfer Entropy, SVM achieved about 63.93%, LDA about 57.85% and MLP about 35.54% improvement.\nTransfer entropy elevates the nonlinear information flow, i.e. under the stress condition, the frontal(including amygdala, hypothalamus) regions of the brain are activated. These regions send strong yet non-linear energy bursts, indicating the high activity emerging in the pre-frontal cortex. The non-linearity in the pre-frontal cortex is due to sudden response to attention and memory circuits (Rasheed et al., 2021). Transfer Entropy captures information transfer from the limbic and emotional areas into the prefrontal cortex (Rasheed et al., 2021). The classification result of about 70.05% (Table 7), 87.03% (Table 8) and 51.25% (Table 6) showed that Transfer Entropy can capture the high information flow during stress conditions.\nGranger Causality represents the directed linear influence of how one part of the brain regions statistically influences the other regions of the brain. As the activity in the pre-frontal cortex increases, showing the increase in attention and working memory, the shorter windowing mechanism reduces the directionality and leads to loss of control when there is reduced cognitive stability. In this way, the windowed Granger Causality methods show when, i.e. in which window and how fast the directions of activities change in that window (Yi et al., 2022).\nMicrostates are quasi-stable configurations of global brain activation that last roughly 100 ms. Under stress, the probability and speed of transitioning from one state to another increase, which makes the Microstates more unstable. This means that when under stress, the Microstate duration decreases and entropy increases. By entropy mean the measure of unpredictability of the next state. Unlike in the resting state, the Microstate patterns are not random. Fig. 22 represents the Microstate transition entropy for both stress and relax states. Higher entropy of stress (1.82) represents more unpredictability as compared to resting-state entropy (1.68). This indicates the rapid cognitive process during stressful conditions. The decrease in Microstate duration and increase in switching indicate the vigilance and less stable activity (Khanna et al., 2015).Fig. 22Microstate transition entropy for stress and relax state.Fig. 22\nMicrostate transition entropy for stress and relax state.\nDespite these promising results, the proposed methodology has some shortcomings. Microstates are sensitive to transient changes in the brain. The extracted Microstate set is highly subject-specific and may not be generalizable to cross-subject variations. As mentioned in Khanna et al. (2015), the generalization of Microstates for study-task-based signals is still underdeveloped and requires a large cohort of standardized Microstates, tested against a test set, to ensure their reliability, thus enabling their use for cross-subject evaluation.\nInterpolation across individual feature sets is essential for standardizing all features and ensuring consistency for the attention fusion model (Chiarion et al., 2023). However, it is important to note that interpolation can disrupt the temporal dynamics inherent in these features.\nFeatures such as Transfer Entropy and Granger Causality matrices utilize windowing techniques, which help accommodate a degree of non-stationarity and temporal segmentation. Interpolation becomes necessary, especially for target feature sets that are computed over specific windows rather than the entire signal length. For example, transfer entropy is calculated using windows to capture non-linear relationships, while Microstates are evaluated over the full duration of the signal to represent global networks. Interpolation aids in smoothing out abrupt transitions caused by stress and cognitive switching. To enhance the robustness of the results, one could consider replacing conventional interpolation with alternative techniques, such as adaptive window-based interpolation.\nThe EEG-based multi-model fusion method provided profound results; however, it still needs further improvement and development. For instance, MS, GC and TE provided a first step for fusion; however, the set of modalities which are fused can be extended to other distinct feature-sets such as time-domain nd frequency-domain features. In this context, the following features could be integrated to enhance the functionality and usability:\n•Deep-learning architectures can be used to model non-linear and spatial dependencies among Transfer Entropy, Microstates and Granger Causality. The deep learning models are better at capturing underlying inter-dependencies. Also, the attention-based fusion technique can be improved by using a transformer-based encoder for adaptive temporal weighting.•Thought for static methods like Granger Causality and Transfer Entropy, windowing is used to preserve the time-related information, the dynamic trends can be improved by exploring dynamic Functional and Effective connectivity methods.•The proposed framework is developed with the students as their target audience, who often feel stress due to exams and mental workload. However, this framework can be extended to validate further on other types of stress paradigms other than mental arithmetic stress, such as the Stroop test, social stress test, etc.•To improve its real-world applicability, the fused set of features can be extended to other peripheral physiological signals (Chen et al., 2022) such as heart rate variability and Galvanic skin response, etc.\nDeep-learning architectures can be used to model non-linear and spatial dependencies among Transfer Entropy, Microstates and Granger Causality. The deep learning models are better at capturing underlying inter-dependencies. Also, the attention-based fusion technique can be improved by using a transformer-based encoder for adaptive temporal weighting.\nThought for static methods like Granger Causality and Transfer Entropy, windowing is used to preserve the time-related information, the dynamic trends can be improved by exploring dynamic Functional and Effective connectivity methods.\nThe proposed framework is developed with the students as their target audience, who often feel stress due to exams and mental workload. However, this framework can be extended to validate further on other types of stress paradigms other than mental arithmetic stress, such as the Stroop test, social stress test, etc.\nTo improve its real-world applicability, the fused set of features can be extended to other peripheral physiological signals (Chen et al., 2022) such as heart rate variability and Galvanic skin response, etc.\n\n\n### SVM classification results\nThe SVM classifier demonstrates high performance on both training and testing datasets (Table 3). The mean training accuracy is 0.9407 ± 0.0028, and the average testing accuracy is 0.9547 ± 0.0286, indicating strong generalization with minimal overfitting. Similarly, the AUC values are very high (0.9919 ± 0.0086 for testing), which reflects excellent class discrimination. The low loss values confirm stable convergence during training. Overall, the SVM with RBF kernel is highly effective for a fully fused feature dataset, due to its ability to handle non-linear separability in high-dimensional space.\nFig. 13 shows the ROC curves for all five cross-validation folds. These curves demonstrate consistent classification performance across all folds with slight variations. Each curve remains close to the top-left corner, which demonstrate the high true positive rates at very low false positive rates. In addition, minimal variations across folds indicate that the model has strong stability, robustness, and excellent generalization capability across different data splits. Similarly, confusion matrices across all folds are represented in Fig. 14.Table 3Five-fold performance of the proposed attention-based fusion model for SVM.Table 3TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95890.96190.95570.95880.99230.0052120.91530.93810.88930.91310.97520.0703130.93880.93650.94140.93890.98390.0364640.92120.92840.91270.92050.97540.0364650.96940.97240.96610.96930.99550.07552Mean ± SD0.9407 ± 0.00280.9475 ± 0.00320.9330 ± 0.00400.9401 ± 0.00300.9845 ± 0.000010.0057 ± 0.0028TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.99480.99480.99480.99480.99960.005220.92970.89860.96880.93230.98430.070330.96350.93201.00000.96480.99850.036540.96090.98360.93750.96000.99610.039150.92450.95030.89580.92230.98120.0755Mean ± SD0.9547 ± 0.02860.9519 ± 0.03900.9593 ± 0.04330.9548 ± 0.02870.9919 ± 0.00860.0453 ± 0.0286Fig. 13Receiver operating characteristic curve for Group 5-Fold based classification using SVM.Fig. 13\nFive-fold performance of the proposed attention-based fusion model for SVM.\nReceiver operating characteristic curve for Group 5-Fold based classification using SVM.\nFig. 14Confusion matrix for Group 5-Fold based classification using SVM.Fig. 14\nConfusion matrix for Group 5-Fold based classification using SVM.\n\n\n### LDA classification results\nThe testing accuracy reported by LDA is 0.9891 ± 0.0137, as presented in Table 4. This indicates that LDA gives robust generalization with very low variance. LDA also shows high precision and recall, suggesting it is effective in identifying both classes correctly. However, LDA is inherently a linear classifier, and while the current dataset appears to be linearly separable to a large extent, it may not capture complex nonlinear relationships. To further confirm the robustness of the fused feature set, the classification is performed using MLP.\nTo further validate the discriminative capability of the fusion model, AUC–ROC curves were plotted for each test fold, as shown in Fig. 15. The ROC curves illustrate the relationship between the True Positive Rate (TPR) and the False Positive Rate (FPR) under varying decision thresholds. Across all folds, the model consistently achieved high AUC values, indicating high class separability. Fig. 16 showing the confusion matrices for different folds, also indicate good performance with very few false positives and false negatives.Table 4Five-fold performance of the proposed attention-based fusion model for LDA.Table 4TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.99670.99740.99610.99670.99990.003320.99350.99480.99220.99350.99960.006530.99540.99480.99610.99540.99990.004640.99090.99480.98700.99090.99940.009150.99280.99740.98830.99280.99960.0072Mean ± SD0.9939 ± 0.00230.9958 ± 0.00140.9919 ± 0.00430.9939 ± 0.00230.9997 ± 0.00020.0061 ± 0.0023TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.96880.95450.98440.96920.99700.031320.99740.99481.00000.99741.00000.002630.98180.98940.97400.98160.99670.018241.00001.00001.00001.00001.00000.000050.99740.99481.00000.99741.00000.0026Mean ± SD0.9891 ± 0.01370.9867 ± 0.01860.9917 ± 0.01260.9891 ± 0.01370.9987 ± 0.00160.0109 ± 0.0137Fig. 15Receiver operating characteristic curve for Group 5-Fold based classification using LDA.Fig. 15\nFive-fold performance of the proposed attention-based fusion model for LDA.\nReceiver operating characteristic curve for Group 5-Fold based classification using LDA.\nFig. 16Confusion matrix for Group 5-Fold based classification using LDA.Fig. 16\nConfusion matrix for Group 5-Fold based classification using LDA.\nThe training accuracy reported by MLP is 0.9074 ± 0.0235, and testing accuracy is 0.8349 ± 0.0636 in Table 5, which is slightly lower than both SVM and LDA. The higher standard deviation in testing metrics suggests that the MLP model exhibits greater sensitivity to data splits, due to its higher learnability and the risk of overfitting in relatively small datasets. Nevertheless, the MLP achieves competitive F1 scores and AUC values, indicating that it still captures meaningful non-linear patterns in the data.\nThe ROC curves across the five folds, in Fig. 17, indicate good overall classification performance, though with greater variability compared to the previous figure. While most folds achieve high true positive rates at relatively low false positive rates, some curves rise more gradually, suggesting moderate differences in discriminative capability and slightly reduced stability across data splits. Performance of MLP is poor than SVM and LDA, as indicated by the number of wrong predictions in Fig. 18.Table 5Group 5-Fold based performance of the proposed attention-based fusion model for MLP.Table 5TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.92870.90670.96890.89730.93790.071320.93490.99870.93890.90870.92810.065130.89340.96710.86780.82090.91900.106640.87990.89780.84560.84800.98760.120150.90010.85870.94670.80970.91820.0999Mean ± SD0.9074 ± 0.02350.9258 ± 0.05560.9136 ± 0.04980.8569 ± 0.04100.9382 ± 0.02810.0926 ± 0.0235TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.88020.81740.97920.89100.97230.119820.73960.69490.85420.76640.90210.260430.87760.86800.89060.87920.95200.122440.79690.77670.83330.80400.90710.203150.88020.95060.80210.87010.96070.1198Mean ± SD0.8349 ± 0.06360.8215 ± 0.09500.8719 ± 0.06910.8423 ± 0.05660.9388 ± 0.03070.1651 ± 0.0636Fig. 17Receiver operating characteristic curve for Group 5-Fold based classification using MLP.Fig. 17\nGroup 5-Fold based performance of the proposed attention-based fusion model for MLP.\nReceiver operating characteristic curve for Group 5-Fold based classification using MLP.\nTables 3, 4, and 5 present the classification performances (Training) across all five folds for SVM, MLP and LDA, respectively. The results confirm that the proposed fusion approach effectively mitigates overfitting and preserves the discriminative power across subjects.Fig. 18Confusion matrix for 5-fold cross-validation-based classification using MLP.Fig. 18\nConfusion matrix for 5-fold cross-validation-based classification using MLP.\n\n\n### MLP classification results\nThe training accuracy reported by MLP is 0.9074 ± 0.0235, and testing accuracy is 0.8349 ± 0.0636 in Table 5, which is slightly lower than both SVM and LDA. The higher standard deviation in testing metrics suggests that the MLP model exhibits greater sensitivity to data splits, due to its higher learnability and the risk of overfitting in relatively small datasets. Nevertheless, the MLP achieves competitive F1 scores and AUC values, indicating that it still captures meaningful non-linear patterns in the data.\nThe ROC curves across the five folds, in Fig. 17, indicate good overall classification performance, though with greater variability compared to the previous figure. While most folds achieve high true positive rates at relatively low false positive rates, some curves rise more gradually, suggesting moderate differences in discriminative capability and slightly reduced stability across data splits. Performance of MLP is poor than SVM and LDA, as indicated by the number of wrong predictions in Fig. 18.Table 5Group 5-Fold based performance of the proposed attention-based fusion model for MLP.Table 5TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.92870.90670.96890.89730.93790.071320.93490.99870.93890.90870.92810.065130.89340.96710.86780.82090.91900.106640.87990.89780.84560.84800.98760.120150.90010.85870.94670.80970.91820.0999Mean ± SD0.9074 ± 0.02350.9258 ± 0.05560.9136 ± 0.04980.8569 ± 0.04100.9382 ± 0.02810.0926 ± 0.0235TestingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.88020.81740.97920.89100.97230.119820.73960.69490.85420.76640.90210.260430.87760.86800.89060.87920.95200.122440.79690.77670.83330.80400.90710.203150.88020.95060.80210.87010.96070.1198Mean ± SD0.8349 ± 0.06360.8215 ± 0.09500.8719 ± 0.06910.8423 ± 0.05660.9388 ± 0.03070.1651 ± 0.0636Fig. 17Receiver operating characteristic curve for Group 5-Fold based classification using MLP.Fig. 17\nGroup 5-Fold based performance of the proposed attention-based fusion model for MLP.\nReceiver operating characteristic curve for Group 5-Fold based classification using MLP.\nTables 3, 4, and 5 present the classification performances (Training) across all five folds for SVM, MLP and LDA, respectively. The results confirm that the proposed fusion approach effectively mitigates overfitting and preserves the discriminative power across subjects.Fig. 18Confusion matrix for 5-fold cross-validation-based classification using MLP.Fig. 18\nConfusion matrix for 5-fold cross-validation-based classification using MLP.\n\n\n### Ablation study\nTo compare the effectiveness of fused features, the classification results of the fused feature set are compared with the individual feature set. The classification results obtained from individual features from Transfer Entropy TE, Microstates MS, and Granger Causality GC showed overall moderate performances in Tables 6, Table 7, Table 8 for SVM, LDA and MLP respectively. Each set of feature modalities captures a distinct brain functional state.\nAmong all three classifiers, the Microstate features gave the highest classification performance with SVM, with a mean accuracy of 0.6125 ± 0.0745. Despite capturing the transient topographical configurations of brain activity, the results indicate inconsistent generalization, suggesting that Microstate dynamics alone may not sufficiently represent the discriminative temporal dependencies required for robust stress-relax separation.Table 6Group 5-Fold based performance of individual feature modalities using SVM.Table 6Granger Causality FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.62500.60000.75000.66670.32810.375020.68750.71430.62500.66670.40620.312530.50000.50000.50000.50000.48440.500040.75000.75000.75000.75000.28120.250050.62500.60000.75000.66670.29690.3750Mean ± SD0.6375 ± 0.09190.6329 ± 0.10030.6750 ± 0.11180.6500 ± 0.09130.3594 ± 0.08550.3625 ± 0.0919Transfer Entropy FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.53390.55280.35420.43170.56600.466120.55730.57050.46350.51150.58890.442730.50000.50000.54170.52000.47680.500040.47400.45970.29690.36080.45620.526050.49740.49690.41670.45330.50450.5026Mean ± SD0.5125 ± 0.03440.5160 ± 0.04460.4146 ± 0.09610.4555 ± 0.06350.5185 ± 0.05810.4875 ± 0.0344Microstates FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.62500.60000.75000.66670.23440.375020.56250.55560.62500.58820.50000.437530.68750.66670.75000.70590.21880.312540.68750.66670.75000.70590.32810.312550.50000.50000.37500.42860.46880.5000Mean ± SD0.6125 ± 0.07450.5978 ± 0.07090.6500 ± 0.15000.6191 ± 0.11040.3509 ± 0.11130.3875 ± 0.0745\nGroup 5-Fold based performance of individual feature modalities using SVM.\nThe Granger Causality features achieved highest accuracy of 0.8695 ± 0.0723 and an AUC of 0.9339 ± 0.0406 for MLP. While GC captures linear causal relationships among EEG channels, its performance remained below that of TE, reflecting its limitation in modeling nonlinear information transfer.\nTE features emerge as the most powerful and reliable descriptors for this classification task. Supporting their integration into multimodal fusion frameworks for enhanced EEG-based discrimination. For all three classifiers and for all three feature sets obtained from different modalities, a similar behavior was observed, depicted by each feature set. However, combining these features using an attention mechanism carefully extracts the most effective features from all three modalities to provide more powerful and robust classification, as explained in earlier sections.Table 7Group 5-fold based performance of Individual feature modalities LDA.Table 7Granger Causality FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.66670.67980.63020.65410.75950.333320.53650.57290.28650.38190.57350.463530.69010.69730.67190.68440.76890.309940.80730.77830.85940.81680.77180.192750.67710.63820.81770.71690.74020.3229Mean ± SD0.6753 ± 0.09340.6733 ± 0.06930.6335 ± 0.20100.6500 ± 0.15740.7228 ± 0.08840.3245 v 0.0972Microstates FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.56510.57960.47400.52150.59510.434920.47400.47770.55730.51440.47400.526030.56250.54320.78650.64260.53820.437540.53650.53500.55730.54590.53380.463550.53390.55960.31770.40530.56660.4661Mean ± SD0.5420 ± 0.03730.5392 ± 0.03670.5387 ± 0.15790.5259 ± 0.09200.5412 ± 0.04400.4578 ± 0.0353Transfer Entropy FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.82810.89380.74480.81250.86850.171920.65360.67250.59900.63360.66970.346430.62500.62000.64580.63270.63970.375040.73440.77780.65630.71190.78070.265650.66150.65820.67190.66490.61130.3385Mean ± SD0.7005 ± 0.08850.7249 ± 0.11540.6636 ± 0.05350.6717 ± 0.07510.6941 ± 0.10420.2995 ± 0.0613\nGroup 5-fold based performance of Individual feature modalities LDA.\nTable 8Group 5-fold based performance of individual feature modalities using MLP.Table 8Granger Causality FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.84900.89880.78650.83890.90340.152020.76300.79190.71350.75070.85340.237030.95051.00000.90100.94790.94590.049540.90100.87380.93750.90450.95230.099050.88280.82100.97920.89310.97900.1172Mean ± SD0.8695 ± 0.07230.8771 ± 0.08000.8635 ± 0.08660.8670 ± 0.07670.9260 ± 0.04800.1329 ± 0.0676Transfer Entropy FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.94270.98850.89580.93990.95590.057320.89580.90000.89060.89530.97300.104230.83590.85250.81250.83200.88390.164140.84640.84460.84900.84680.94690.153650.83070.80090.88020.83870.91000.1693Mean ± SD0.8703 ± 0.05490.8773 ± 0.07360.8656 ± 0.03190.8705 ± 0.04180.9339 ± 0.04060.1297 ± 0.0455Microstates FeaturesFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.48960.48950.48440.48690.46800.510420.48440.48310.44790.46490.44650.515630.49480.49580.60940.54670.49180.505240.55990.56730.50520.53440.56630.440150.56510.58390.45310.51030.56060.4349Mean ± SD0.5186 ± 0.03670.5239 ± 0.04110.5003 ± 0.06810.5086 ± 0.03150.5066 ± 0.04850.4712 ± 0.0367\nGroup 5-fold based performance of individual feature modalities using MLP.\nThe fusion of Transfer Entropy and Granger Causality features yielded a significant performance in classification performance compared to the individual modalities. As shown in Table 9, Table 10, Table 11 the combined TE+GC model achieved a mean testing accuracy of 0.9526 ± 0.0453, F1-score of 0.9497 ± 0.0416, and an exceptionally high AUC of 0.9803 ± 0.0245 using SVM Model, demonstrating strong generalization and discriminative capability across folds. This improvement suggests that fusing nonlinear (Transfer Entropy) and linear (Granger Causality) causal dynamics provides a more comprehensive characterization of effective brain connectivity, capturing both complex directional information flow and stable causal dependencies.\nThe three ROC plots, in Fig. 19, illustrate varying levels of classification performance across the five folds. The best performance is illustrated in middle plot which is for SVM model. It demonstrates excellent and highly consistent performance, with curves closely approaching the top-left corner. These curves indicate high true positive rates at very low false positive rates. In contrast, the left plot shows moderate performance with noticeable variability among folds, suggesting less stable generalization. The right plot reflects good overall discrimination, though some folds rise more gradually, indicating moderate differences in sensitivity across data splits.Table 9Group 5-Fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 9Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.87430.88900.85550.87190.94670.125720.94790.95740.93750.94740.98870.052130.96610.97350.95830.96590.99290.033940.96160.96830.95440.96130.99440.038450.92970.94470.91280.92850.98250.0703Mean ± SD0.9351 ± 0.03580.9460 ± 0.03540.9235 ± 0.03700.9354 ± 0.03440.9813 ± 0.01920.0641 ± 0.0330Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss11.00001.00001.00001.00001.00000.000020.96880.97870.95830.96840.99450.031230.88540.97440.79170.87360.93310.114640.93750.96670.90630.93550.97790.062550.97140.98400.95830.97100.99580.0286Mean ± SD0.9526 ± 0.04530.9807 ± 0.01030.9229 ± 0.08400.9497 ± 0.04160.9803 ± 0.02450.0474 ± 0.0386Table 10Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 10Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.88740.89400.87890.88640.95940.112620.83330.80550.87890.84060.92570.166730.75000.72700.80080.76210.83560.250040.85680.84950.86720.85820.92010.143250.83460.80020.89190.84360.91520.1654Mean ± SD0.8324 ± 0.05040.8152 ± 0.06440.8637 ± 0.03790.8182 ± 0.04650.9116 ± 0.04480.1676 ± 0.0481Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.60680.57350.83330.67940.77400.393220.64840.62780.72920.67470.74650.351630.58850.57330.69270.62740.59460.411540.68230.80700.47920.60130.66040.317750.66670.67390.64580.65960.72250.3333Mean ± SD0.6385 ± 0.03490.6519 ± 0.10070.6560 ± 0.14050.6487 ± 0.03100.6997 ± 0.07270.3615 ± 0.0381Table 11Group 5-Fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 11Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95900.96080.95700.95890.98940.041020.96610.95200.98180.96670.99650.033930.97530.98540.96480.97500.99640.024740.95830.97570.94010.95760.99340.041750.91860.89350.95050.92110.97800.0814Mean ± SD0.9551 ± 0.02040.9535 ± 0.03610.9585 ± 0.01650.9551 ± 0.01950.9902 ± 0.00790.0445 ± 0.0204Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.69010.63980.86980.73730.75510.309920.73180.70320.80210.74940.83720.268230.69010.73250.59900.65900.74160.309940.70310.73210.64060.68330.82250.296950.70310.75320.60420.67050.79940.2969Mean ± SD0.7036 v 0.01660.7122 ± 0.04510.7033 ± 0.10150.6999 ± 0.04140.7913 v 0.03430.2956 ± 0.0172\nGroup 5-Fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nGroup 5-Fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nFig. 19ROC curves for group 5-fold based validation for TE and GC fusion. LDA (left), SVM (center), MLP (right).Fig. 19\nROC curves for group 5-fold based validation for TE and GC fusion. LDA (left), SVM (center), MLP (right).\nThe performance results of the Microstates Features, and Granger Causality features indicate moderate discriminative capability during training and limited generalization on the test data, as shown in Table 12, Table 13, Table 14. During training, the model achieved an average accuracy of 0.7891 ± 0.0614, precision of 0.7874 ± 0.0545, recall of 0.7958 ± 0.0849, and an F1 score of 0.7899 ± 0.067, with a mean AUC of 0.8419 for MLP. For SVM, an average accuracy was obtained to be 70.00%.\nThese values suggest that the extracted features were able to capture meaningful class-specific patterns to some extent. However, the testing phase shows a considerable performance drop. Table 14 shows a similar behavior by SVM, which depicts that MS and GC are not complementary when fused. This discrepancy between training and testing results may indicate potential overfitting or that the MS and GC features alone are not sufficiently robust for distinguishing between the two classes.Table 12Group 5-Fold based training and testing performance of the proposed SVM classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 12Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.84380.82350.87500.84850.07130.156220.93750.93750.93750.93750.99220.062530.96881.00000.93750.96770.00000.031240.87500.87500.87500.87500.07230.125050.81250.85710.75000.80000.13280.1875Mean ± SD0.8879 ± 0.06130.8780 ± 0.06810.8750 ± 0.06700.8657 ± 0.06250.2531 ± 0.41270.1321 ± 0.0569Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.75000.70000.87500.77780.12500.250020.62500.57141.00000.72730.82810.375030.75000.83330.62500.71430.14060.250040.81250.85710.75000.80000.10940.187550.56250.66670.25000.36360.32810.4375Mean ± SD0.7000 ± 0.08700.7257 ± 0.10470.7000 ± 0.27350.6766 ± 0.17260.3063 ± 0.29540.3000 ± 0.0870\nGroup 5-Fold based training and testing performance of the proposed SVM classifier using combined Microstates (MS) and Granger Causality (GC) features.\nThe comparative ROC analysis across three models in Fig. 20, reveals distinct performance patterns. The first model exhibits moderate discrimination with noticeable inter-fold variability. The second model demonstrates unstable and inconsistent behavior, with some folds approaching random classification. In contrast, the third model achieves superior and consistent performance, with curves concentrated near the top-left corner, indicating robust generalization and higher predictive reliability.Table 13Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 13TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.92060.92280.91800.92040.96410.079420.86130.84130.89060.86530.94290.138730.85420.83580.88150.85800.93310.145840.87570.86110.89580.87810.93670.124350.89450.89760.89060.89410.94790.1055Mean ± SD0.8819 ± 0.02850.8713 ± 0.03820.8951 ± 0.02820.8832 ± 0.02650.9445 ± 0.01190.1187 ± 0.0253Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.68230.64340.81770.72020.71900.317720.69010.67980.71880.69870.80480.309930.50000.50000.48960.49470.47960.500040.62240.66670.48960.56460.60880.377650.71880.75610.64580.69660.74570.2812Mean ± SD0.6427 ± 0.08200.6492 ± 0.09490.6323 ± 0.13750.6350 ± 0.08600.6710 ± 0.12370.3573 ± 0.0856Table 14Five-fold training and testing performance of the proposed MLP classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 14Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.98500.98950.98050.98500.99960.015020.95830.95480.96220.95850.98600.041730.98310.98820.97790.98300.99900.016940.98440.98190.98700.98440.99800.015650.99020.98960.99090.99020.99890.0098Mean ± SD0.9808 ± 0.01250.9806 ± 0.01370.9793 ± 0.01090.9803 ± 0.01220.9963 ± 0.00620.0198 ± 0.0121Testing Performance10.79170.74140.89580.81130.84940.208320.83070.84320.81250.82760.86430.169330.67710.68280.66150.67200.74860.322940.79950.81420.77600.79470.87030.200550.84640.85560.83330.84430.87470.1536Mean ± SD0.7891 ± 0.06140.7874 ± 0.05450.7958 ± 0.08490.7899 ± 0.06710.8419 ± 0.04800.2109 ± 0.0595\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Microstates (MS) and Granger Causality (GC) features.\nFive-fold training and testing performance of the proposed MLP classifier using combined Microstates (MS) and Granger Causality (GC) features.\nFig. 20ROC curves for group 5-fold based validation for MS and GC fusion. LDA (left), SVM (center), MLP (right).Fig. 20\nROC curves for group 5-fold based validation for MS and GC fusion. LDA (left), SVM (center), MLP (right).\nThe fusion of Microstate and Transfer Entropy features demonstrates a highly effective representation of EEG dynamics, resulting in strong discriminative performance for LDA, MLP and SVM as presented in Table 15, Table 16, Table 17. The average training accuracy of 0.8008 ± 0.0345 with an AUC of 0.8642 ± 0.0324 indicates that the model effectively learned class-specific temporal and spatial patterns from the fused features when classified using LDA. The mean testing accuracy of 0.6266 ± 0.1360 and F1 score of 0.6419 ± 0.1182 confirm the robustness and generalization capability of the fusion approach. Upon evaluation of other related parameters, it is observed that Transfer Entropy outperformed the binary as well as full-fusion of features for MLP.\nThe superior performance of fusion, compared to the individual modalities (Microstates or, Transfer Entropy alone) demonstrates that combining microstate-based temporal. Stability with the directional information flow captured by transfer entropy provides a more comprehensive feature space, leading to enhanced classification performance.Table 15Group 5-fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy and Microstates features.Table 15Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95640.95110.96220.95660.99220.043620.96680.97230.96090.96660.99620.033230.97720.97540.97920.97730.99700.022840.82100.80770.84240.82470.89910.179050.77600.76500.79690.78060.84900.2240Mean ± SD0.8995 ± 0.08310.8949 ± 0.07970.9085 ± 0.07570.9019 ± 0.07800.9265 ± 0.06330.1005 ± 0.0845Testing Performance10.73960.76740.68750.72530.76780.260420.47140.47960.67190.55970.45230.528630.52600.54100.34380.42040.59300.474040.60940.57780.81250.67530.68320.390650.56770.54480.82290.65560.61070.4323Mean ± SD0.5824 ± 0.09510.5821 ± 0.10700.6673 ± 0.19640.6078 ± 0.10740.6114 ± 0.11600.4152 ± 0.0964\nGroup 5-fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy and Microstates features.\nThe ROC curves across the three models, in Fig. 21, indicate moderate and variable classification performance. In the first plot, several folds remain close to the diagonal, suggesting limited discriminative ability, while one fold performs comparatively better. The second plot shows improved but inconsistent performance across folds. The third plot demonstrates relatively stronger and more stable discrimination, with most folds achieving higher true positive rates at lower false positive rates, indicating comparatively better generalization.Table 16Group 5-fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy and Microstates features.Table 16Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.63020.63020.63020.63020.66840.369820.75000.87500.58330.70000.88740.250030.59640.57680.72400.64200.55960.403640.73180.74860.69790.72240.78970.268250.87500.90000.84380.87100.97060.1250Mean ± SD0.7167 ± 0.09730.7461 ± 0.11760.6956 ± 0.09730.7133 ± 0.09420.7759 ± 0.15450.2633 ± 0.0963Testing Performance10.56250.55830.59900.57790.63410.437520.56770.77080.19270.30830.72950.432330.51820.51310.71350.59700.49420.481840.65890.64320.71350.67650.68260.341150.79170.87840.67710.76470.85820.2083Mean ± SD0.6190 ± 0.09410.6727 ± 0.15760.5799 ± 0.19630.5849 ± 0.18570.6793 ± 0.14750.3802 ± 0.0967Table 17Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Microstates (MS) features.Table 17Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.80530.81060.79690.80370.86920.194720.79430.80460.77730.79070.83060.205730.85420.85420.85420.85420.91520.145840.76430.78040.73570.75740.85220.235750.78190.80800.73960.77230.85570.2181Mean ± SD0.8008 ± 0.03450.8111 ± 0.03100.7807 ± 0.04860.7957 ± 0.03500.8642 ± 0.03240.2000 ± 0.0338Testing Performance10.49480.49560.58330.53590.51580.505220.67970.71700.59380.64960.67120.320330.49220.49350.58850.53680.44620.507840.63280.61140.72920.66510.68660.367250.83330.88100.77080.82220.86290.1667Mean ± SD0.6266 ± 0.13600.6397 ± 0.16070.5931 ± 0.06510.6419 ± 0.11820.6369 ± 0.14230.3734 ± 0.1300\nGroup 5-fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy and Microstates features.\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Microstates (MS) features.\nFig. 21ROC curves for group 5-fold based validation for Transfer Entropy and Microstates fusion, LDA (left), SVM (center), MLP (right).Fig. 21\nROC curves for group 5-fold based validation for Transfer Entropy and Microstates fusion, LDA (left), SVM (center), MLP (right).\n\n\n### Granger causality and transfer entropy fusion\nThe fusion of Transfer Entropy and Granger Causality features yielded a significant performance in classification performance compared to the individual modalities. As shown in Table 9, Table 10, Table 11 the combined TE+GC model achieved a mean testing accuracy of 0.9526 ± 0.0453, F1-score of 0.9497 ± 0.0416, and an exceptionally high AUC of 0.9803 ± 0.0245 using SVM Model, demonstrating strong generalization and discriminative capability across folds. This improvement suggests that fusing nonlinear (Transfer Entropy) and linear (Granger Causality) causal dynamics provides a more comprehensive characterization of effective brain connectivity, capturing both complex directional information flow and stable causal dependencies.\nThe three ROC plots, in Fig. 19, illustrate varying levels of classification performance across the five folds. The best performance is illustrated in middle plot which is for SVM model. It demonstrates excellent and highly consistent performance, with curves closely approaching the top-left corner. These curves indicate high true positive rates at very low false positive rates. In contrast, the left plot shows moderate performance with noticeable variability among folds, suggesting less stable generalization. The right plot reflects good overall discrimination, though some folds rise more gradually, indicating moderate differences in sensitivity across data splits.Table 9Group 5-Fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 9Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.87430.88900.85550.87190.94670.125720.94790.95740.93750.94740.98870.052130.96610.97350.95830.96590.99290.033940.96160.96830.95440.96130.99440.038450.92970.94470.91280.92850.98250.0703Mean ± SD0.9351 ± 0.03580.9460 ± 0.03540.9235 ± 0.03700.9354 ± 0.03440.9813 ± 0.01920.0641 ± 0.0330Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss11.00001.00001.00001.00001.00000.000020.96880.97870.95830.96840.99450.031230.88540.97440.79170.87360.93310.114640.93750.96670.90630.93550.97790.062550.97140.98400.95830.97100.99580.0286Mean ± SD0.9526 ± 0.04530.9807 ± 0.01030.9229 ± 0.08400.9497 ± 0.04160.9803 ± 0.02450.0474 ± 0.0386Table 10Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 10Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.88740.89400.87890.88640.95940.112620.83330.80550.87890.84060.92570.166730.75000.72700.80080.76210.83560.250040.85680.84950.86720.85820.92010.143250.83460.80020.89190.84360.91520.1654Mean ± SD0.8324 ± 0.05040.8152 ± 0.06440.8637 ± 0.03790.8182 ± 0.04650.9116 ± 0.04480.1676 ± 0.0481Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.60680.57350.83330.67940.77400.393220.64840.62780.72920.67470.74650.351630.58850.57330.69270.62740.59460.411540.68230.80700.47920.60130.66040.317750.66670.67390.64580.65960.72250.3333Mean ± SD0.6385 ± 0.03490.6519 ± 0.10070.6560 ± 0.14050.6487 ± 0.03100.6997 ± 0.07270.3615 ± 0.0381Table 11Group 5-Fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.Table 11Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95900.96080.95700.95890.98940.041020.96610.95200.98180.96670.99650.033930.97530.98540.96480.97500.99640.024740.95830.97570.94010.95760.99340.041750.91860.89350.95050.92110.97800.0814Mean ± SD0.9551 ± 0.02040.9535 ± 0.03610.9585 ± 0.01650.9551 ± 0.01950.9902 ± 0.00790.0445 ± 0.0204Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.69010.63980.86980.73730.75510.309920.73180.70320.80210.74940.83720.268230.69010.73250.59900.65900.74160.309940.70310.73210.64060.68330.82250.296950.70310.75320.60420.67050.79940.2969Mean ± SD0.7036 v 0.01660.7122 ± 0.04510.7033 ± 0.10150.6999 ± 0.04140.7913 v 0.03430.2956 ± 0.0172\nGroup 5-Fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nGroup 5-Fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy (TE) and Granger Causality (GC) features.\nFig. 19ROC curves for group 5-fold based validation for TE and GC fusion. LDA (left), SVM (center), MLP (right).Fig. 19\nROC curves for group 5-fold based validation for TE and GC fusion. LDA (left), SVM (center), MLP (right).\n\n\n### Granger causality and microstates fusion\nThe performance results of the Microstates Features, and Granger Causality features indicate moderate discriminative capability during training and limited generalization on the test data, as shown in Table 12, Table 13, Table 14. During training, the model achieved an average accuracy of 0.7891 ± 0.0614, precision of 0.7874 ± 0.0545, recall of 0.7958 ± 0.0849, and an F1 score of 0.7899 ± 0.067, with a mean AUC of 0.8419 for MLP. For SVM, an average accuracy was obtained to be 70.00%.\nThese values suggest that the extracted features were able to capture meaningful class-specific patterns to some extent. However, the testing phase shows a considerable performance drop. Table 14 shows a similar behavior by SVM, which depicts that MS and GC are not complementary when fused. This discrepancy between training and testing results may indicate potential overfitting or that the MS and GC features alone are not sufficiently robust for distinguishing between the two classes.Table 12Group 5-Fold based training and testing performance of the proposed SVM classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 12Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.84380.82350.87500.84850.07130.156220.93750.93750.93750.93750.99220.062530.96881.00000.93750.96770.00000.031240.87500.87500.87500.87500.07230.125050.81250.85710.75000.80000.13280.1875Mean ± SD0.8879 ± 0.06130.8780 ± 0.06810.8750 ± 0.06700.8657 ± 0.06250.2531 ± 0.41270.1321 ± 0.0569Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.75000.70000.87500.77780.12500.250020.62500.57141.00000.72730.82810.375030.75000.83330.62500.71430.14060.250040.81250.85710.75000.80000.10940.187550.56250.66670.25000.36360.32810.4375Mean ± SD0.7000 ± 0.08700.7257 ± 0.10470.7000 ± 0.27350.6766 ± 0.17260.3063 ± 0.29540.3000 ± 0.0870\nGroup 5-Fold based training and testing performance of the proposed SVM classifier using combined Microstates (MS) and Granger Causality (GC) features.\nThe comparative ROC analysis across three models in Fig. 20, reveals distinct performance patterns. The first model exhibits moderate discrimination with noticeable inter-fold variability. The second model demonstrates unstable and inconsistent behavior, with some folds approaching random classification. In contrast, the third model achieves superior and consistent performance, with curves concentrated near the top-left corner, indicating robust generalization and higher predictive reliability.Table 13Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 13TrainingFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.92060.92280.91800.92040.96410.079420.86130.84130.89060.86530.94290.138730.85420.83580.88150.85800.93310.145840.87570.86110.89580.87810.93670.124350.89450.89760.89060.89410.94790.1055Mean ± SD0.8819 ± 0.02850.8713 ± 0.03820.8951 ± 0.02820.8832 ± 0.02650.9445 ± 0.01190.1187 ± 0.0253Testing PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.68230.64340.81770.72020.71900.317720.69010.67980.71880.69870.80480.309930.50000.50000.48960.49470.47960.500040.62240.66670.48960.56460.60880.377650.71880.75610.64580.69660.74570.2812Mean ± SD0.6427 ± 0.08200.6492 ± 0.09490.6323 ± 0.13750.6350 ± 0.08600.6710 ± 0.12370.3573 ± 0.0856Table 14Five-fold training and testing performance of the proposed MLP classifier using combined Microstates (MS) and Granger Causality (GC) features.Table 14Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.98500.98950.98050.98500.99960.015020.95830.95480.96220.95850.98600.041730.98310.98820.97790.98300.99900.016940.98440.98190.98700.98440.99800.015650.99020.98960.99090.99020.99890.0098Mean ± SD0.9808 ± 0.01250.9806 ± 0.01370.9793 ± 0.01090.9803 ± 0.01220.9963 ± 0.00620.0198 ± 0.0121Testing Performance10.79170.74140.89580.81130.84940.208320.83070.84320.81250.82760.86430.169330.67710.68280.66150.67200.74860.322940.79950.81420.77600.79470.87030.200550.84640.85560.83330.84430.87470.1536Mean ± SD0.7891 ± 0.06140.7874 ± 0.05450.7958 ± 0.08490.7899 ± 0.06710.8419 ± 0.04800.2109 ± 0.0595\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Microstates (MS) and Granger Causality (GC) features.\nFive-fold training and testing performance of the proposed MLP classifier using combined Microstates (MS) and Granger Causality (GC) features.\nFig. 20ROC curves for group 5-fold based validation for MS and GC fusion. LDA (left), SVM (center), MLP (right).Fig. 20\nROC curves for group 5-fold based validation for MS and GC fusion. LDA (left), SVM (center), MLP (right).\n\n\n### Transfer entropy and microstates fusion\nThe fusion of Microstate and Transfer Entropy features demonstrates a highly effective representation of EEG dynamics, resulting in strong discriminative performance for LDA, MLP and SVM as presented in Table 15, Table 16, Table 17. The average training accuracy of 0.8008 ± 0.0345 with an AUC of 0.8642 ± 0.0324 indicates that the model effectively learned class-specific temporal and spatial patterns from the fused features when classified using LDA. The mean testing accuracy of 0.6266 ± 0.1360 and F1 score of 0.6419 ± 0.1182 confirm the robustness and generalization capability of the fusion approach. Upon evaluation of other related parameters, it is observed that Transfer Entropy outperformed the binary as well as full-fusion of features for MLP.\nThe superior performance of fusion, compared to the individual modalities (Microstates or, Transfer Entropy alone) demonstrates that combining microstate-based temporal. Stability with the directional information flow captured by transfer entropy provides a more comprehensive feature space, leading to enhanced classification performance.Table 15Group 5-fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy and Microstates features.Table 15Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.95640.95110.96220.95660.99220.043620.96680.97230.96090.96660.99620.033230.97720.97540.97920.97730.99700.022840.82100.80770.84240.82470.89910.179050.77600.76500.79690.78060.84900.2240Mean ± SD0.8995 ± 0.08310.8949 ± 0.07970.9085 ± 0.07570.9019 ± 0.07800.9265 ± 0.06330.1005 ± 0.0845Testing Performance10.73960.76740.68750.72530.76780.260420.47140.47960.67190.55970.45230.528630.52600.54100.34380.42040.59300.474040.60940.57780.81250.67530.68320.390650.56770.54480.82290.65560.61070.4323Mean ± SD0.5824 ± 0.09510.5821 ± 0.10700.6673 ± 0.19640.6078 ± 0.10740.6114 ± 0.11600.4152 ± 0.0964\nGroup 5-fold based training and testing performance of the proposed SVM classifier using combined Transfer Entropy and Microstates features.\nThe ROC curves across the three models, in Fig. 21, indicate moderate and variable classification performance. In the first plot, several folds remain close to the diagonal, suggesting limited discriminative ability, while one fold performs comparatively better. The second plot shows improved but inconsistent performance across folds. The third plot demonstrates relatively stronger and more stable discrimination, with most folds achieving higher true positive rates at lower false positive rates, indicating comparatively better generalization.Table 16Group 5-fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy and Microstates features.Table 16Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.63020.63020.63020.63020.66840.369820.75000.87500.58330.70000.88740.250030.59640.57680.72400.64200.55960.403640.73180.74860.69790.72240.78970.268250.87500.90000.84380.87100.97060.1250Mean ± SD0.7167 ± 0.09730.7461 ± 0.11760.6956 ± 0.09730.7133 ± 0.09420.7759 ± 0.15450.2633 ± 0.0963Testing Performance10.56250.55830.59900.57790.63410.437520.56770.77080.19270.30830.72950.432330.51820.51310.71350.59700.49420.481840.65890.64320.71350.67650.68260.341150.79170.87840.67710.76470.85820.2083Mean ± SD0.6190 ± 0.09410.6727 ± 0.15760.5799 ± 0.19630.5849 ± 0.18570.6793 ± 0.14750.3802 ± 0.0967Table 17Group 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Microstates (MS) features.Table 17Training PerformanceFoldAccuracyPrecisionRecallF1-ScoreAUCLoss10.80530.81060.79690.80370.86920.194720.79430.80460.77730.79070.83060.205730.85420.85420.85420.85420.91520.145840.76430.78040.73570.75740.85220.235750.78190.80800.73960.77230.85570.2181Mean ± SD0.8008 ± 0.03450.8111 ± 0.03100.7807 ± 0.04860.7957 ± 0.03500.8642 ± 0.03240.2000 ± 0.0338Testing Performance10.49480.49560.58330.53590.51580.505220.67970.71700.59380.64960.67120.320330.49220.49350.58850.53680.44620.507840.63280.61140.72920.66510.68660.367250.83330.88100.77080.82220.86290.1667Mean ± SD0.6266 ± 0.13600.6397 ± 0.16070.5931 ± 0.06510.6419 ± 0.11820.6369 ± 0.14230.3734 ± 0.1300\nGroup 5-fold based training and testing performance of the proposed MLP classifier using combined Transfer Entropy and Microstates features.\nGroup 5-Fold based training and testing performance of the proposed LDA classifier using combined Transfer Entropy (TE) and Microstates (MS) features.\nFig. 21ROC curves for group 5-fold based validation for Transfer Entropy and Microstates fusion, LDA (left), SVM (center), MLP (right).Fig. 21\nROC curves for group 5-fold based validation for Transfer Entropy and Microstates fusion, LDA (left), SVM (center), MLP (right).\n\n\n### Results analysis\nAmong the three different feature sets, Transfer Entropy achieved the highest discriminating results with the accuracy of 87% as compared to the other two feature sets, Granger Causality (86%) and Microstates features (54%) for MLP. This tells us that TE is efficient in capturing the non-linearity between different neuronal regions while the brain is undergoing strong mental activity, which increases the stress level. GC, however, tried to build the linear causal link between brain regions. In contrast to this, microstates showed lower accuracies of 51%, which indicate limited performance. These results indicate that individual features are not sufficient to capture underlying neural dynamics when classified using MLP.\nThis may be because the cortical region is under highly non-linear intrinsic interactions, which result in diminishing its linear properties. The microstate captured in stressful conditions is a relatively newer direction. We obtained new sets of topographical maps with a defined methodology that carefully represents the brain images in stressful states. The discriminating power of microstates indicates that the obtained quasi-stable brain configurations may lack the fine-grained temporal dependencies for discrimination when in isolation.\nThe fusion of GC and TE using an attention mechanism outperformed the individual discriminating power of both feature sets only for the SVM model. For the remaining Models, MLP and LDA, the binary fusion performs worse than these individual features. This indicates that GC’s linear and TE’s non-linear capabilities degrade the overall holistic effective connectivity. The fusion of GC and MS degraded the performance as compared to their individual feature sets. It reflects the temporal-resolution disparity between GC and MS. GC, which is based on time-series causality and Microstates, based on spatial–temporal clustering, introduce extract noise during fusion. Moreover, a significant degradation in performance can be seen for various other binary pairs. For example, MS + TE showed the accuracy of 62.66%, which is worse to a significant extent when compared with their individual counterparts. A similar pattern can be observed with MS + GC, which fails to improve and suggests a weak synergy between the two features.\nThe ablation study and classification results presented by fusing all features suggest that the fully fused features give improved classification results when classified using LDA. When the signals are classified using individual features, the accuracy and other parameters give low performance, indicating that individual features are not sufficient to capture the discriminative patterns.\nThe attention mechanism sensitively captured the information from each modality by adaptively weighting the contribution based on task relevancy. This dynamic weighting of features diminishes the dimensional imbalance and noise reduction which is present in standalone feature sets. From the pattern observed from individual, partial fusion and full fusion of features, it is evaluated that no single type of feature is sufficient for capturing the dense multifaceted nature of neural dynamics in mental stress activity. Instead, the fusion of potential and diverse feature sets integrates the diverse underlying information, particularly in cases where both linear and non-linear information transfer is crucial. This technique further highlights the importance of combining connectivity features in neurophysiological analysis.\n\n\n### Discussion\nThe results are presented in Table 6, Table 7, Table 8 illustrate the importance of feature-level fusion of multiple EEG modalities in the task of mental stress classification. The evaluation parameters show low performance of all three sets of features when used for classification individually. For instance, the accuracy of the fused feature set improved by 49.76%, 46.47% and 38.92% as compared to the individual feature set extracted from Granger Causality using SVM and LDA. Whereas with MLP, a slight decrease in performance of about 3.98% is observed.\nSimilarly, the attention-based fused feature set shows an improvement of 55.87%, ＋82.53%, 60.99% and 86.29%, 41.19%, 4.07% when compared with individual results obtained from Microstate-based and Transfer Entropy classification using SVM, LDA and MLP, respectively. It is observed that for MLP, the TE features outperform the full-fusion results.\nThe same trend was observed when the model fusion results were compared with the binary fusion of features. For example, the binary fusion of Granger Causality and Transfer Entropy provided about 0.22%, 54.91% and 18.66% improvement in the classification results compared with their full-fusion performance of both feature sets, respectively for SVM, LDA and MLP.\nFor SVM, the fully fuse model showed about 36.39% improved as compared with Granger Causality+ Microstates and about 53.90% and 6.03% improvement for LDA and MLP. Combining Microstates and Granger Causality gives a significant improvement in accuracy. Both features are robust in a way that they provide complementary mechanisms explained due to distinct interaction models. Granger Causality and Microstates showed complementary fusion. Granger Causality captured linear causality, and MS encodes the macro-level spatial organization. In this way, both of these features captured local and global brain responses while under stress. Similarly, for Microstates and Transfer Entropy, SVM achieved about 63.93%, LDA about 57.85% and MLP about 35.54% improvement.\nTransfer entropy elevates the nonlinear information flow, i.e. under the stress condition, the frontal(including amygdala, hypothalamus) regions of the brain are activated. These regions send strong yet non-linear energy bursts, indicating the high activity emerging in the pre-frontal cortex. The non-linearity in the pre-frontal cortex is due to sudden response to attention and memory circuits (Rasheed et al., 2021). Transfer Entropy captures information transfer from the limbic and emotional areas into the prefrontal cortex (Rasheed et al., 2021). The classification result of about 70.05% (Table 7), 87.03% (Table 8) and 51.25% (Table 6) showed that Transfer Entropy can capture the high information flow during stress conditions.\nGranger Causality represents the directed linear influence of how one part of the brain regions statistically influences the other regions of the brain. As the activity in the pre-frontal cortex increases, showing the increase in attention and working memory, the shorter windowing mechanism reduces the directionality and leads to loss of control when there is reduced cognitive stability. In this way, the windowed Granger Causality methods show when, i.e. in which window and how fast the directions of activities change in that window (Yi et al., 2022).\nMicrostates are quasi-stable configurations of global brain activation that last roughly 100 ms. Under stress, the probability and speed of transitioning from one state to another increase, which makes the Microstates more unstable. This means that when under stress, the Microstate duration decreases and entropy increases. By entropy mean the measure of unpredictability of the next state. Unlike in the resting state, the Microstate patterns are not random. Fig. 22 represents the Microstate transition entropy for both stress and relax states. Higher entropy of stress (1.82) represents more unpredictability as compared to resting-state entropy (1.68). This indicates the rapid cognitive process during stressful conditions. The decrease in Microstate duration and increase in switching indicate the vigilance and less stable activity (Khanna et al., 2015).Fig. 22Microstate transition entropy for stress and relax state.Fig. 22\nMicrostate transition entropy for stress and relax state.\n\n\n### Limitations\nDespite these promising results, the proposed methodology has some shortcomings. Microstates are sensitive to transient changes in the brain. The extracted Microstate set is highly subject-specific and may not be generalizable to cross-subject variations. As mentioned in Khanna et al. (2015), the generalization of Microstates for study-task-based signals is still underdeveloped and requires a large cohort of standardized Microstates, tested against a test set, to ensure their reliability, thus enabling their use for cross-subject evaluation.\nInterpolation across individual feature sets is essential for standardizing all features and ensuring consistency for the attention fusion model (Chiarion et al., 2023). However, it is important to note that interpolation can disrupt the temporal dynamics inherent in these features.\nFeatures such as Transfer Entropy and Granger Causality matrices utilize windowing techniques, which help accommodate a degree of non-stationarity and temporal segmentation. Interpolation becomes necessary, especially for target feature sets that are computed over specific windows rather than the entire signal length. For example, transfer entropy is calculated using windows to capture non-linear relationships, while Microstates are evaluated over the full duration of the signal to represent global networks. Interpolation aids in smoothing out abrupt transitions caused by stress and cognitive switching. To enhance the robustness of the results, one could consider replacing conventional interpolation with alternative techniques, such as adaptive window-based interpolation.\n\n\n### Future works\nThe EEG-based multi-model fusion method provided profound results; however, it still needs further improvement and development. For instance, MS, GC and TE provided a first step for fusion; however, the set of modalities which are fused can be extended to other distinct feature-sets such as time-domain nd frequency-domain features. In this context, the following features could be integrated to enhance the functionality and usability:\n•Deep-learning architectures can be used to model non-linear and spatial dependencies among Transfer Entropy, Microstates and Granger Causality. The deep learning models are better at capturing underlying inter-dependencies. Also, the attention-based fusion technique can be improved by using a transformer-based encoder for adaptive temporal weighting.•Thought for static methods like Granger Causality and Transfer Entropy, windowing is used to preserve the time-related information, the dynamic trends can be improved by exploring dynamic Functional and Effective connectivity methods.•The proposed framework is developed with the students as their target audience, who often feel stress due to exams and mental workload. However, this framework can be extended to validate further on other types of stress paradigms other than mental arithmetic stress, such as the Stroop test, social stress test, etc.•To improve its real-world applicability, the fused set of features can be extended to other peripheral physiological signals (Chen et al., 2022) such as heart rate variability and Galvanic skin response, etc.\nDeep-learning architectures can be used to model non-linear and spatial dependencies among Transfer Entropy, Microstates and Granger Causality. The deep learning models are better at capturing underlying inter-dependencies. Also, the attention-based fusion technique can be improved by using a transformer-based encoder for adaptive temporal weighting.\nThought for static methods like Granger Causality and Transfer Entropy, windowing is used to preserve the time-related information, the dynamic trends can be improved by exploring dynamic Functional and Effective connectivity methods.\nThe proposed framework is developed with the students as their target audience, who often feel stress due to exams and mental workload. However, this framework can be extended to validate further on other types of stress paradigms other than mental arithmetic stress, such as the Stroop test, social stress test, etc.\nTo improve its real-world applicability, the fused set of features can be extended to other peripheral physiological signals (Chen et al., 2022) such as heart rate variability and Galvanic skin response, etc.\n\n\n### Conclusion\nIn this work, a new multi-feature-based neuromarker for accurate and effective stress classification for students based on EEG signals is proposed. By fusing three important EEG features, i.e. temporal microstates features, non-linear connectivity matrix, such as transfer entropy and linear connectivity matrix Granger causality, which are combined using an attention fusion model. This fused set of features provided the classification results of 98% accuracy when classified using Group 5-fold Linear Discriminant Analysis. This work is presented to be the first work to combine Microstates, Transfer Entropy and Granger Causality for stress-based signals. Moreover, microstate analysis done on stress-based signal provided a new set of 6 distinct microstates which effectively captured stress-based dynamics. The fusion results were evaluated on the SAM40 dataset for mental arithmetic-based stress and relax signals. The proposed mode is compared with classification results of individual features as well as the binary fusion of the same features. This work not only provided a reliable biomarker for stress classification, rather it is also based on multiple modalities, each of which presents a distinct perspective of stress dynamics.\n\n\n### Funding\nThis work was supported by the European University of Atlantic .\n\n\n### Declaration of competing interest\nThe authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.", "domain": "affective_neuroscience"}
{"source": "PMC13097114", "title": "Dynamic Clamp Methods to Investigate Impaired Neuronal Excitability Associated with Autism", "text": "# Dynamic Clamp Methods to Investigate Impaired Neuronal Excitability Associated with Autism\n\n## Abstract\nAutism spectrum disorder (ASD) arises from a wide range of genetic and environmental factors. While numerous ASD-linked mutations disrupt synapse development or plasticity, an increasing number have been shown to alter the expression and functioning of voltage-gated ion channels, resulting in deficits in neuronal intrinsic excitability. Whole-cell voltage-clamp recordings can be used to characterize how ASD-related mutations affect ion channel function. However, these experiments fail to directly assess how an altered ionic conductance affects neuronal action potential firing. Dynamic clamp electrophysiology bridges this gap by enabling real-time injection of user-defined ionic conductances into living neurons. This allows causal testing of how changes in ion channel properties affect the electrical activity of a given cell type. In this methods article, we describe how to implement dynamic clamp electrophysiology in adult mouse Purkinje neurons recorded under physiological conditions in acutely prepared cerebellar brain slices. Purkinje neurons are a particularly relevant model for this work because they have an intrinsic capacity to fire repetitive, high-frequency (20-100 Hz) action potentials and are consistently implicated in ASD-related cerebellar circuit dysfunction. We focus on Tsc1, a gene whose loss-of-function mutations are among the most common monogenic causes of ASD. In mouse Purkinje neurons, Tsc1 deletion has also been linked to reduced voltage-gated sodium (Nav) channel expression. We utilize Markov kinetic state models to simulate and reproduce Purkinje neuron Nav conductance properties and go on to use dynamic clamp to directly assess how changes in the Nav conductance impact the intrinsic firing of intact cerebellar Purkinje neurons. We provide instructions and resources for modifying and tuning ionic conductance models. By integrating ionic conductance modeling, dynamic clamp, and conventional patch-clamp techniques, this approach provides a powerful and flexible framework for linking genetic perturbations to physiological outcomes in ASD-relevant neurons.\n\n## Full Text\n\n\n### Introduction\nPrevious investigations into the molecular and cellular drivers of autism spectrum disorder (ASD) often emphasized synaptic dysfunction as central to the disorder’s pathophysiology1,2. Numerous studies have demonstrated increased excitatory synapse density2,3,4, impaired synaptic pruning5, and alterations in postsynaptic density proteins6,7 in ASD models. However, recent work has shown that changes in intrinsic neuronal excitability are also drivers of ASD pathology. For instance, ASD transgenic mouse models and patient-derived cell lines have revealed impaired action potential generation in cerebellar Purkinje8, 9, 10 and cortical pyramidal neurons11, as well as attenuated dendritic excitability and synaptic integration in subclasses of cortical pyramidal neurons12. Channelopathies involving loss-of- function mutations in SCN2A, encoding the voltage-gated sodium (Nav) channel Nav1.2 pore-forming α subunit, is now a well-known monogenic cause of ASD13, and has been shown to cause deficits in the intrinsic excitability of various classes of central neurons14, 15, 16, 17. As these types of investigations progress, it is important to establish causal links between pathogenic changes in ionic conductances and the effects of these changes on neuron and circuit function. Dynamic clamp electrophysiology provides an effective approach for this task. Sharp et al. (1992 and 1993)18,19, along with Robinson and Kawai (1993)20 initially described dynamic clamp methods in which a simulated non-linear ionic conductance, with or without voltage-dependent properties, is injected/added into living neurons, allowing investigators to assess in real-time how the properties or putative changes in a voltage-gated ionic conductance affect neuronal firing21,22.\nThe implementation of dynamic clamp experiments has been facilitated by several freely available software systems such as RTXI23, QuB24,25, and StdpC26; however, recent advancements have simplified dynamic clamp implementation with commercial plug-and-play systems that enable model conductances to be developed, modified, and applied on a single computer and within a single software package. Here, we provide protocols to perform dynamic clamp using a Sutter dPatch system27 and provide a sample investigation in which we test how the targeted deletion of tuberous sclerosis 1 (Tsc1)9, which is a prevalent locus of mutations for ASD28, affects the intrinsic firing of cerebellar Purkinje neurons as a result of changes in the expression of the voltage-gated sodium conductance8.\n\n\n### Protocol\nAll animal experiments were performed in accordance with protocols approved by the Miami University Institutional Animal Care and Use Committee guidelines (Protocol #1044). Experiments utilized male and female wild-type C57BL/6J mice and transgenic lines with a C57BL/6J strain background. For electrophysiological experiments, animals were aged 6-7 weeks. All recordings were taken from Purkinje neurons in lobules 5, 6, or 7 in the cerebellar vermis.\nPrepare 1 L of artificial cerebral spinal fluid (ACSF) containing: 125 mM NaCl, 2.5 mM KCl, 1.25 mM NaH2PO4, 25 mM NaHCO3, 2 mM CaCl2, 1 mM MgCl2, and 25 mM dextrose at pH 7.4 (~300 mOsM/L). Also prepare 250 mL of ‘cutting solution’ containing: 240 mM sucrose, 2.5 mM KCl, 1.25 mM NaH2PO4, 0.5 mM CaCl2, and 7 mM MgCl2. Sparge (bubble) ACSF and cutting solutions with carbogen (95 % O2/ 5% CO2) gas for at least 20 minutes prior to use and continuously throughout all experiments.\nPrepare a brain slice holding chamber filled with ACSF for later use. Ensure that cerebellar slices (once added to the slice chamber) are submerged with both sides of the cerebellar slices exposed to ACSF. Accomplish this by placing submerged slices on a tightly stretched nylon mesh that is also submerged.\nPrepare the surgery station. Ready four pieces of tape that will be used to pin the anesthetized animal. In an ice-filled bucket or ice pan, place the bottom half of a Petri dish into the ice with the walls facing down and the Petri dish bottom facing up. Place a filter paper (≥ 3 cm2 ) on the Petri dish bottom and saturate with 2-3 mL of cutting solution.\nNOTE: For the described experiments, a compresstome vibratome is used to slice 350 μM parasagittal cerebellar slices. With the compresstome, tissue for slicing is glued to a plastic specimen tube that fits through a surrounding thin metal tube. During slicing, the specimen tube is pushed through the metal tube, which remains fixed. After the tissue is glued to the specimen tube, the tissue is embedded in warmed 2% agarose. The blade of the compresstome is glued onto a fixed holder, which is attached to the arm of the vibratome. Other types of vibratomes do not require embedding tissue in warmed agarose, but should work similarly well for the described experiments.\nAlso, in the ice, place a single-edged razor blade and a small (10 mL) beaker filled with cutting solution. Keep a chilling block, which is used to rapidly cool the warmed agarose once it is added to the specimen tube, as well as a 30 mL syringe filled with cutting solution chilled on the ice. Ensure that the 30 mL syringe is connected to a 30-60 cm section of intravenous (IV) tubing (via Luer lock male taper) that is connected (at the terminating end) to a needle (≥ 26 G) with a Luer lock female base.\nPlace the remaining cutting solution into a −80 °C freezer. Once this cutting solution becomes a slushed ice consistency (20-25 min), remove from the −80 °C freezer and place on ice.\nAnaesthetize a 5-8 week-old adult mouse with an intraperitoneal injection of 1 mL/kg animal weight of ketamine (10 mg/mL)/xylazine (0.25 mg/mL) cocktail.\nMake a 2% agarose solution by dissolving 0.5 g of agarose in 25 mL of cutting solution. After the animal is anesthetized (does not respond to toe pinch), heat the 2% agarose solution (~30 s in microwave) and transfer the warmed agarose solution to a 40 °C water bath.\nNOTE: Steps numbered 1.8-1.18 must be completed with urgency and before the warmed agarose solidifies.\nPin the limbs of the animal to the surgery table with tape. Using scissors, open the thoracic cavity of the animal, ensuring that the lungs and abdominal organs are not cut. Use locking forceps or hemostats to hold the rib cage open, exposing the heart. To accomplish this, lock the forceps on the sternum and lay it carefully toward the animal’s anterior (with the tool finger holes next to the animal’s head).\nInsert the needle connected to the 30 mL syringe into the left ventricle and use forceps to compress the tissue around the needle, holding the needle within the left intraventricular chamber. Using surgical scissors, make a small cut in the right atrium and rapidly perfuse the animal with the 25 mL of chilled cutting solution.\nNOTE: Ensure that perfusate enters the left ventricle and exits the right atrium, clearing blood from the animal—s circulatory system.\nWhen perfusion is complete, quickly decapitate the animal and cut the scalp along the midline of the head towards the bregma to expose the surface of the skull.\nUsing scissors, remove connective tissue from the posterior aspect of the skull, and remove excess spinal cord tissue, ensuring that the spinal cord is not protruding from the foramen magnum.\nPlace one scissor blade in the foramen magnum and cut along the circumference of the skull on both temporal aspects towards bregma, leaving some skull tissue in place at bregma.\nPlace a scissor blade or one half of fine forceps into the foramen magnum and lift superiorly, separating the skull from the brain. Be careful not to push the scissor blade or forcep into the brain while lifting the skull.\nUse a spatula surgical tool to scoop under the brain (from the anterior) and carefully remove the brain into the 10 mL beaker containing chilled cutting solution, being careful to protect the cerebellum as the brain is transferred. Change into clean gloves at this stage.\nCarefully remove the brain from the beaker (using the spatula tool) and place it on the filter paper (on a Petri dish). Use the single-edged blade to cut along the parasagittal axis a few millimeters from the midline. Discard the smaller parasagittal sectioned tissue. Make a second coronal cut midway through the forebrain (anterior to the cerebellum). Discard the coronally cut tissue that is anterior to the cerebellum.\nSlip the single-edge blade under the anterior portion of the forebrain and lift in order to rotate the remaining tissue so that the side of the initial parasagittal cut is faced down (on the filter paper) and the uncut cerebellar hemisphere is faced up.\nPlace the specimen tube upright in the ice and add a thin layer of superglue (cyanoacrylate adhesive) on the tube surface. Using a spatula tool with a 90° bend, carefully transfer the brain tissue from the filter paper to the surface of the specimen tube, maintaining tissue orientation. Ensure that the uncut cerebellar hemisphere continues to be faced up. Once the tissue is placed/glued on the specimen tube, slide the metal tube upward so that it surrounds the brain tissue.\nUsing a motorized 10 mL pipette, fill the specimen tube with the warmed agarose (embedding the brain tissue). Rapidly cool the tissue (now embedded in warmed agarose) by clamping the chilling block around the metal tube for ~30 s.\nPlace the specimen tube into the vibratome bath chamber and fill the bath with the slushed cutting solution. Continuously sparge the cutting solution during brain tissue slicing, but do not directly expose the cerebellar slices to gas bubbles.\nCut 300-350 μm parasagittal slices, immediately transferring each slice to the slice holding chamber, filled with sparged room temperature ACSF. Once all slices are in the slice chamber, incubate the slice chamber in a 33 °C water bath for 25 minutes.\nAfter 25 minutes in the water bath, place the slice chamber (again) at room temperature, waiting at least 35 additional minutes before attempting patch recordings from any of the cerebellar slices.\nNOTE: Dynamic clamp is the real-time application of a modeled conductance to a living cell. Membrane voltage is recorded/sampled via a sharp or patch electrode, and the digitized signal is sent to dynamic clamp software, which calculates, using the ionic conductance model(s) being applied, the appropriate dynamic clamp current injection for the sampled voltage. The calculated dynamic clamp current injection signal is sent to the amplifier and headstage to be injected (via electrode) into the cell. For a modeled conductance to be appropriately added to a cell that fires action potentials, which drive fast-transient changes in membrane voltage, the voltage-sampling frequency must be high enough, and the delay between the voltage-sample and the dynamic clamp current injection (sometimes called latency) should be minimal and invariant29.\nPrior to any dynamic clamp experiment, develop or obtain the mathematical model for the ionic conductance(s) to be used in the dynamic clamp experiment. These models can be in the form of a Markov kinetic state model, a Hodgkin-Huxley (HH) model, or passive (linear) conductance. Ensure that the chosen conductance model accurately reproduces the kinetic and voltage-dependent properties of the intended ionic conductance.\nNOTE: Experimenters may confirm the properties of a modeled ionic conductance, prior to use in dynamic clamp experiments, by testing the modeled conductance (in silico) in voltage-clamp simulation studies. Important properties and considerations of Markov kinetic state and HH conductance models are described in the Discussion section. The steps below describe setting up a Markov conductance model in dynamic clamp software.\nCreate or obtain a Markov state-transition diagram for the conductance model to be used in dynamic clamp experiments. Use this diagram to accurately assemble the Markov conductance model within the dynamic clamp software (described below).\nNOTE: SutterPatch is the dPatch amplifier data acquisition software. Dynamic clamp experiments can be performed within the software, which allows for the assembly and application of modeled conductances via current injection during current-clamp protocols. A Markov state-transition diagram for a modeled voltage-gated sodium conductance, based on Nav current measurements from mouse Purkinje neurons, is shown in Figure 1A. This model was developed by Ransdell et al., 202230 and has been used to investigate the role of the persistent and resurgent sodium current components in Purkinje neuron firing31. The gating states (C, IC, IF, IS, and O) are interconnected by transition rate constants, denoted by variables (i.e., S0, S3, S1, S4). This model is used in the representative dynamic clamp experiments, and is available for download on GitHub: https://github.com/morenomdphd/Resurgent_INa.\nIn the data acquisition software, open the Dynamic Clamp Editor window from the SutterPatch tab > Dynamic Clamp Editor or by clicking the corresponding icon on the Dashboard window. Portions of the dynamic clamp editor window are shown in Figure 1B.\nNOTE: The Dynamic Clamp Editor window contains all the necessary settings to apply the modeled conductance during a current-clamp recording protocol. The Conductance Pool interface (Figure 1B, upper-left) allows users to organize and simultaneously load groups of model conductances.\nIn the Conductance Pool interface (Figure 1B, upper-left), create a pool by clicking New and naming it as desired. Once a conductance pool is selected, on the right of the window in the Headstage selector interface (Figure 1B, lower-left), select the type of model for the respective conductance pool (Model- Markov, Hodgkin-Huxley, variable conductance, etc.) and when the model conductance(s) should be applied, such as during a routine/protocol (Active Mode). The Headstage selector interface also allows for the selection of the dynamic clamp Update Rate (in kHz) and the Voltage Signal Source (see Figure 1B, right). For Voltage Signal Source, select the headstage that is recording the voltage signal.\nIn the Headstage selector panel, for the example Nav conductance Markov model (Figure 1A), select Markov Model for Model, During Sweeps for Active Mode, 200 kHz for Update Rate, and Headstage 1 for Voltage Signal Source. Check the Apply and Command Signal to AuxOUT1 to initiate model calculations in response to the voltage signal and add dynamic clamp current injection to any current-clamp protocols, respectively (Figure 1B, lower-left).\nBelow the main Dynamic Clamp Editor panels is the state matrix (Figure 1C, bottom). Edit the state matrix by first clicking Edit Model Parameters in the Headstage selector interface (Figure 1B, lower-left). A new window will appear alongside the editor called Dynamic Clamp Markov Model Parameters. In this panel, enter the state matrix equations representing the Markov model conductance.\nIn the Channel Settings panel (Figure 1B, top right), select which saved conductance models should be applied (in dynamic clamp). Alternatively, select an empty channel and begin creating a new model conductance. On the right of this panel, enter the V reversal (modeled conductance ion(s) reversal potential). For our study utilizing a sodium conductance, enter 55.0 mV to reflect the reversal potential of sodium based on the ACSF and the patch-electrode internal solution.\nAlso in the Channel Settings panel, provide the number of kinetic states of the selected conductance (see Figure 1B, upper-right, red box). Here, enter 9 to reflect the 9 kinetic states of the modeled conductance (see Figure 1A).\nBelow the Channel Settings panel is the State Equations panel. Place the state transition rate constant equations appropriately in the gating state matrix to reflect the topological arrangement of the Markov model. Enter the equations into the State Equations panel and provide an ID, starting at “S0” (Figure 1B, middle).\nNOTE: The order with which these equations are entered is not important, as long as these variables are appropriately populated in the gating state matrix to reflect the topology of the Markov model.\nTo populate the gating state matrix with the now-defined rate constant variables, click on Edit State Matrix on the right side of the State Equations panel (Figure 1B, middle). Each kinetic state is given a number, beginning at 0. For example, for a two-kinetic state model, containing states X and Y, these states will be called “0” and “1” and will include two transition rate constants a1 and b1, where a1 transitions from 0 to 1, and b1 transitions from 1 to 0.\nTo appropriately connect these equations using the State Matrix Editor (Figure 1B, bottom), enter the rate constants into a table containing numbered rows and columns, both beginning at 0 (see example in Figure 1C).\nNOTE: Movement from one state to another is determined by their position in this table in the form “row to column”. For instance, in the two-state model example in step 2.1, the transition from state 0 to state 1 relies on rate constant “a1” which is then placed in row 0, column 1. The transition rate constant “b1” drives transitions from state 1 to state 0, and so the rate constant should be placed in row 1, column 0. In Figure 1C, the example gating state matrix has rate constants that reflect the topology of the Nav conductance model shown in Figure 1A. For example, “S0” is the rate constant that defines transitions from the IC1 to the IC2 kinetic state; thus, “S0” is placed in row 0, column 1 of the Gating State Matrix (Figure 1C). The transition rate constant equations defining each rate constan’s variable then populate a filled state matrix (Figure 1C, lower).\nAs the rate constant equations are connected through the state matrix editor panel, the connections (the corresponding row and column) will populate the Connections panel next to the equation (Figure 1B, middle right). Take note of the Open/Conducting state in the representative sodium conductance model (Figure 1A), added to row and column 7 of Figure 1C (top, red boxes), which is important for the next step.\nIn Figure 1B (lower right), use the Conductance Equations (nS) panel to define the amplitude of the model conductance that will be applied during dynamic clamp. Select the open/conducting states in the Markov model and provide a conductance value (Figure 1B, lower, red box).\nFor this experiment, enter “400 nS” into the “G7” box, which adds peak Nav current values that are similar to the peak Nav currents measured in voltage-clamp studies on mouse Purkinje neurons.\nOnce the above steps are completed, click Load to ready the model for dynamic clamp application once a current-clamp routine is initiated.\nUse a similar process to arrange HH models; however, add equations to define independent gating states (in Gate Equations) and conductance under G maximum.\nTo apply dynamic clamp conductance, first create a current-clamp routine using the Routine Editor (click on the SutterPatch tab > Routine Editor) (Figure 1D). To create a current-clamp routine, select the Parent Output Channel (which is StimOut1 in this example). This will open a panel that allows the user to define the current-command output during the routine. Ensure that Recording Mode is set to CC_Mode in the Routine Editor.\nNOTE: In the representative experiments, because this protocol is working with spontaneously firing cells, a gap-free current-clamp routine/protocol that has zero current injection is used.\nIn the Routine Editor Input Channels (Figure 1D, upper right), define input signals, which, during experiments, will populate the recorded scope windows. These inputs must include a voltage signal, and also include the routine’s command current injection, as well as the dynamic clamp current injection, called Current1 and AuxIN1, respectively (Figure 1D, lower left).\nFor current-clamp routines that involve positive and/or negative current injection commands, the command current injection signal will automatically be combined with the dynamic clamp current signal. Create a virtual scope window to subtract the command current signal so that there is a record of the isolated dynamic clamp current injection. To create the new virtual scope window, first select an additional input channel by selecting the checkbox Virtual1.\nWithin the Routine Editor, under Math Type, select Equation and select (under Source Channel) the current-clamp routine’s command input signal, which in this example is Current1. Input an equation in the open field to subtract the current-clamp command signal from the dynamic clamp current injection signal.\nNOTE: For this example experiment, this is done with the equation t[3]-t[2]. The Virtual1 scope window now displays the dynamic clamp current injection (isolated from the current-command signal). Users have the ability to customize the labels of input or output channels by double-clicking under Label.\nEquip the electrophysiology rig with a tissue slice chamber that is (gravity) perfused with ACSF warmed to near physiological temperature (34-36 °C). Carefully place a parasagittal cerebellar slice into the slice chamber and use a slice harp to maintain the cerebellar slice in a submerged and fixed position. Ensure that a chlorided ground electrode and temperature probe are also submerged and stable within the cerebellar slice chamber.\nLocate the Purkinje neuron layer using a 40x immersion objective lens. Purkinje neurons are large and teardropshaped. The plasma membrane of healthy Purkinje cells typically appears smooth, and the nucleus is not visible.\nOnce a healthy Purkinje neuron is identified and targeted for patch-clamp recording, adjust the microscope objective lens upward. Position and focus on the tip of a glass microelectrode attached to an electrode holder and headstage. Control the headstage/microelectrode by a 3-axis robotic micromanipulator.\nNOTE: For these experiments, ensure that microelectrodes have resistance values of 2-4 MΩ and are filled with an appropriate current-clamp internal solution. The internal solution used in representative experiments contains: 144 mM K-gluconate, 0.2 mM EGTA, 3 mM MgCl2, 10 mM HEPES, 8 mM NaCl, 4 mM Mg-ATP, and 0.5 mM Na-GTP.\nPrior to approaching the target Purkinje neuron, add 2-3 mL of positive air pressure into the electrode holder pressure port.\nSwitch to VC mode on the amplifier control panel and apply electrode compensation and electrode voltage offset functions. In the example here, do this by clicking on Auto next to the electrode compensation and voltage offset options.\nBegin a continuous membrane seal test protocol (click Membrane Test). Set the membrane test parameters at (or near) 5 ms sweeps with a 5-mV or 10-mV step. Set the holding potential (V-holding) to 0 mV.\nMove the microelectrode toward the target cell, adjusting the focal plane to maintain focus at or slightly below the tip of the electrode. Position the electrode slightly above the targeted cell’s plasma membrane. Use the micromanipulator and positive pressure from the electrode tip to push away extracellular debris from the target cell soma, ‘cleaning’ the surface membrane.\nAfter the target cell is clear of extracellular debris, slowly position the electrode near the surface of the membrane at the broad end of the Purkinje neuron soma, from which the axon extends from the cell body. As the electrode tip is lowered to the membrane, a dimple will likely become visible on the membrane surface (due to the positive pressure of the electrode). At this point, release the positive pressure and use mouth suction to apply a small amount of negative pressure.\nIn the Amplifier Control panel, change the V-holding potential to −80 mV (from 0 mV). Monitoring the membrane seal test, when the pipette resistance achieves ≥ 1 GΩ, increase negative pressure and click the Zap function on the Membrane Seal Test panel to rupture the membrane and achieve a whole-cell patch-clamp configuration.\nUse a brief voltage-clamp protocol to measure membrane passive properties (capacitance and input resistance values) before switching, via the amplifier control panel, into current-clamp mode.\nAfter switching into current-clamp mode, apply a bridge balance compensation to ≥ 70%.\nPrior to applying a dynamic clamp conductance with a patch electrode, correct for junction potential error (which is calculated based on the composition of the electrode internal and ACSF solutions). For the solutions in the representative experiments, apply a junction potential correction of 17.5 mV. In dynamic clamp studies, an accurate junction potential correction is critical so that an accurate voltage signal is used by conductance model(s) to calculate dynamic clamp current injections.\nBecause Purkinje neurons fire repetitive action potentials spontaneously, record firing properties before adding (or subtracting) a modeled ionic conductance to test cell health and to measure baseline properties of membrane excitability. Apply the modeled conductance by clicking Load in the Dynamic Clamp settings window. A small DynC label will now be visible on the dPatch controller, overlaying CC (see Figure 1D, red boxes).\nAfter the dynamic clamp is turned on/loaded, the dynamic clamp conductance is automatically applied while a current-clamp routine/protocol is active. View the dynamic clamp current injection on the scope window corresponding to the AuxIN1 selected input signal.\nNOTE: Alternating recordings of spontaneous firing with and without application of dynamic clamp-mediated conductances is important for determining how the applied model conductance affects excitability, and to determine if baseline levels of excitability are stable/consistent throughout the experiment.\n\n\n### Setup and tissue preparation for Purkinje neuron patch-clamp experiments\nPrepare 1 L of artificial cerebral spinal fluid (ACSF) containing: 125 mM NaCl, 2.5 mM KCl, 1.25 mM NaH2PO4, 25 mM NaHCO3, 2 mM CaCl2, 1 mM MgCl2, and 25 mM dextrose at pH 7.4 (~300 mOsM/L). Also prepare 250 mL of ‘cutting solution’ containing: 240 mM sucrose, 2.5 mM KCl, 1.25 mM NaH2PO4, 0.5 mM CaCl2, and 7 mM MgCl2. Sparge (bubble) ACSF and cutting solutions with carbogen (95 % O2/ 5% CO2) gas for at least 20 minutes prior to use and continuously throughout all experiments.\nPrepare a brain slice holding chamber filled with ACSF for later use. Ensure that cerebellar slices (once added to the slice chamber) are submerged with both sides of the cerebellar slices exposed to ACSF. Accomplish this by placing submerged slices on a tightly stretched nylon mesh that is also submerged.\nPrepare the surgery station. Ready four pieces of tape that will be used to pin the anesthetized animal. In an ice-filled bucket or ice pan, place the bottom half of a Petri dish into the ice with the walls facing down and the Petri dish bottom facing up. Place a filter paper (≥ 3 cm2 ) on the Petri dish bottom and saturate with 2-3 mL of cutting solution.\nNOTE: For the described experiments, a compresstome vibratome is used to slice 350 μM parasagittal cerebellar slices. With the compresstome, tissue for slicing is glued to a plastic specimen tube that fits through a surrounding thin metal tube. During slicing, the specimen tube is pushed through the metal tube, which remains fixed. After the tissue is glued to the specimen tube, the tissue is embedded in warmed 2% agarose. The blade of the compresstome is glued onto a fixed holder, which is attached to the arm of the vibratome. Other types of vibratomes do not require embedding tissue in warmed agarose, but should work similarly well for the described experiments.\nAlso, in the ice, place a single-edged razor blade and a small (10 mL) beaker filled with cutting solution. Keep a chilling block, which is used to rapidly cool the warmed agarose once it is added to the specimen tube, as well as a 30 mL syringe filled with cutting solution chilled on the ice. Ensure that the 30 mL syringe is connected to a 30-60 cm section of intravenous (IV) tubing (via Luer lock male taper) that is connected (at the terminating end) to a needle (≥ 26 G) with a Luer lock female base.\nPlace the remaining cutting solution into a −80 °C freezer. Once this cutting solution becomes a slushed ice consistency (20-25 min), remove from the −80 °C freezer and place on ice.\nAnaesthetize a 5-8 week-old adult mouse with an intraperitoneal injection of 1 mL/kg animal weight of ketamine (10 mg/mL)/xylazine (0.25 mg/mL) cocktail.\nMake a 2% agarose solution by dissolving 0.5 g of agarose in 25 mL of cutting solution. After the animal is anesthetized (does not respond to toe pinch), heat the 2% agarose solution (~30 s in microwave) and transfer the warmed agarose solution to a 40 °C water bath.\nNOTE: Steps numbered 1.8-1.18 must be completed with urgency and before the warmed agarose solidifies.\nPin the limbs of the animal to the surgery table with tape. Using scissors, open the thoracic cavity of the animal, ensuring that the lungs and abdominal organs are not cut. Use locking forceps or hemostats to hold the rib cage open, exposing the heart. To accomplish this, lock the forceps on the sternum and lay it carefully toward the animal’s anterior (with the tool finger holes next to the animal’s head).\nInsert the needle connected to the 30 mL syringe into the left ventricle and use forceps to compress the tissue around the needle, holding the needle within the left intraventricular chamber. Using surgical scissors, make a small cut in the right atrium and rapidly perfuse the animal with the 25 mL of chilled cutting solution.\nNOTE: Ensure that perfusate enters the left ventricle and exits the right atrium, clearing blood from the animal—s circulatory system.\nWhen perfusion is complete, quickly decapitate the animal and cut the scalp along the midline of the head towards the bregma to expose the surface of the skull.\nUsing scissors, remove connective tissue from the posterior aspect of the skull, and remove excess spinal cord tissue, ensuring that the spinal cord is not protruding from the foramen magnum.\nPlace one scissor blade in the foramen magnum and cut along the circumference of the skull on both temporal aspects towards bregma, leaving some skull tissue in place at bregma.\nPlace a scissor blade or one half of fine forceps into the foramen magnum and lift superiorly, separating the skull from the brain. Be careful not to push the scissor blade or forcep into the brain while lifting the skull.\nUse a spatula surgical tool to scoop under the brain (from the anterior) and carefully remove the brain into the 10 mL beaker containing chilled cutting solution, being careful to protect the cerebellum as the brain is transferred. Change into clean gloves at this stage.\nCarefully remove the brain from the beaker (using the spatula tool) and place it on the filter paper (on a Petri dish). Use the single-edged blade to cut along the parasagittal axis a few millimeters from the midline. Discard the smaller parasagittal sectioned tissue. Make a second coronal cut midway through the forebrain (anterior to the cerebellum). Discard the coronally cut tissue that is anterior to the cerebellum.\nSlip the single-edge blade under the anterior portion of the forebrain and lift in order to rotate the remaining tissue so that the side of the initial parasagittal cut is faced down (on the filter paper) and the uncut cerebellar hemisphere is faced up.\nPlace the specimen tube upright in the ice and add a thin layer of superglue (cyanoacrylate adhesive) on the tube surface. Using a spatula tool with a 90° bend, carefully transfer the brain tissue from the filter paper to the surface of the specimen tube, maintaining tissue orientation. Ensure that the uncut cerebellar hemisphere continues to be faced up. Once the tissue is placed/glued on the specimen tube, slide the metal tube upward so that it surrounds the brain tissue.\nUsing a motorized 10 mL pipette, fill the specimen tube with the warmed agarose (embedding the brain tissue). Rapidly cool the tissue (now embedded in warmed agarose) by clamping the chilling block around the metal tube for ~30 s.\nPlace the specimen tube into the vibratome bath chamber and fill the bath with the slushed cutting solution. Continuously sparge the cutting solution during brain tissue slicing, but do not directly expose the cerebellar slices to gas bubbles.\nCut 300-350 μm parasagittal slices, immediately transferring each slice to the slice holding chamber, filled with sparged room temperature ACSF. Once all slices are in the slice chamber, incubate the slice chamber in a 33 °C water bath for 25 minutes.\nAfter 25 minutes in the water bath, place the slice chamber (again) at room temperature, waiting at least 35 additional minutes before attempting patch recordings from any of the cerebellar slices.\n\n\n### Configuring a Markov-based conductance model in dynamic clamp\nNOTE: Dynamic clamp is the real-time application of a modeled conductance to a living cell. Membrane voltage is recorded/sampled via a sharp or patch electrode, and the digitized signal is sent to dynamic clamp software, which calculates, using the ionic conductance model(s) being applied, the appropriate dynamic clamp current injection for the sampled voltage. The calculated dynamic clamp current injection signal is sent to the amplifier and headstage to be injected (via electrode) into the cell. For a modeled conductance to be appropriately added to a cell that fires action potentials, which drive fast-transient changes in membrane voltage, the voltage-sampling frequency must be high enough, and the delay between the voltage-sample and the dynamic clamp current injection (sometimes called latency) should be minimal and invariant29.\nPrior to any dynamic clamp experiment, develop or obtain the mathematical model for the ionic conductance(s) to be used in the dynamic clamp experiment. These models can be in the form of a Markov kinetic state model, a Hodgkin-Huxley (HH) model, or passive (linear) conductance. Ensure that the chosen conductance model accurately reproduces the kinetic and voltage-dependent properties of the intended ionic conductance.\nNOTE: Experimenters may confirm the properties of a modeled ionic conductance, prior to use in dynamic clamp experiments, by testing the modeled conductance (in silico) in voltage-clamp simulation studies. Important properties and considerations of Markov kinetic state and HH conductance models are described in the Discussion section. The steps below describe setting up a Markov conductance model in dynamic clamp software.\nCreate or obtain a Markov state-transition diagram for the conductance model to be used in dynamic clamp experiments. Use this diagram to accurately assemble the Markov conductance model within the dynamic clamp software (described below).\nNOTE: SutterPatch is the dPatch amplifier data acquisition software. Dynamic clamp experiments can be performed within the software, which allows for the assembly and application of modeled conductances via current injection during current-clamp protocols. A Markov state-transition diagram for a modeled voltage-gated sodium conductance, based on Nav current measurements from mouse Purkinje neurons, is shown in Figure 1A. This model was developed by Ransdell et al., 202230 and has been used to investigate the role of the persistent and resurgent sodium current components in Purkinje neuron firing31. The gating states (C, IC, IF, IS, and O) are interconnected by transition rate constants, denoted by variables (i.e., S0, S3, S1, S4). This model is used in the representative dynamic clamp experiments, and is available for download on GitHub: https://github.com/morenomdphd/Resurgent_INa.\nIn the data acquisition software, open the Dynamic Clamp Editor window from the SutterPatch tab > Dynamic Clamp Editor or by clicking the corresponding icon on the Dashboard window. Portions of the dynamic clamp editor window are shown in Figure 1B.\nNOTE: The Dynamic Clamp Editor window contains all the necessary settings to apply the modeled conductance during a current-clamp recording protocol. The Conductance Pool interface (Figure 1B, upper-left) allows users to organize and simultaneously load groups of model conductances.\nIn the Conductance Pool interface (Figure 1B, upper-left), create a pool by clicking New and naming it as desired. Once a conductance pool is selected, on the right of the window in the Headstage selector interface (Figure 1B, lower-left), select the type of model for the respective conductance pool (Model- Markov, Hodgkin-Huxley, variable conductance, etc.) and when the model conductance(s) should be applied, such as during a routine/protocol (Active Mode). The Headstage selector interface also allows for the selection of the dynamic clamp Update Rate (in kHz) and the Voltage Signal Source (see Figure 1B, right). For Voltage Signal Source, select the headstage that is recording the voltage signal.\nIn the Headstage selector panel, for the example Nav conductance Markov model (Figure 1A), select Markov Model for Model, During Sweeps for Active Mode, 200 kHz for Update Rate, and Headstage 1 for Voltage Signal Source. Check the Apply and Command Signal to AuxOUT1 to initiate model calculations in response to the voltage signal and add dynamic clamp current injection to any current-clamp protocols, respectively (Figure 1B, lower-left).\nBelow the main Dynamic Clamp Editor panels is the state matrix (Figure 1C, bottom). Edit the state matrix by first clicking Edit Model Parameters in the Headstage selector interface (Figure 1B, lower-left). A new window will appear alongside the editor called Dynamic Clamp Markov Model Parameters. In this panel, enter the state matrix equations representing the Markov model conductance.\nIn the Channel Settings panel (Figure 1B, top right), select which saved conductance models should be applied (in dynamic clamp). Alternatively, select an empty channel and begin creating a new model conductance. On the right of this panel, enter the V reversal (modeled conductance ion(s) reversal potential). For our study utilizing a sodium conductance, enter 55.0 mV to reflect the reversal potential of sodium based on the ACSF and the patch-electrode internal solution.\nAlso in the Channel Settings panel, provide the number of kinetic states of the selected conductance (see Figure 1B, upper-right, red box). Here, enter 9 to reflect the 9 kinetic states of the modeled conductance (see Figure 1A).\nBelow the Channel Settings panel is the State Equations panel. Place the state transition rate constant equations appropriately in the gating state matrix to reflect the topological arrangement of the Markov model. Enter the equations into the State Equations panel and provide an ID, starting at “S0” (Figure 1B, middle).\nNOTE: The order with which these equations are entered is not important, as long as these variables are appropriately populated in the gating state matrix to reflect the topology of the Markov model.\nTo populate the gating state matrix with the now-defined rate constant variables, click on Edit State Matrix on the right side of the State Equations panel (Figure 1B, middle). Each kinetic state is given a number, beginning at 0. For example, for a two-kinetic state model, containing states X and Y, these states will be called “0” and “1” and will include two transition rate constants a1 and b1, where a1 transitions from 0 to 1, and b1 transitions from 1 to 0.\nTo appropriately connect these equations using the State Matrix Editor (Figure 1B, bottom), enter the rate constants into a table containing numbered rows and columns, both beginning at 0 (see example in Figure 1C).\nNOTE: Movement from one state to another is determined by their position in this table in the form “row to column”. For instance, in the two-state model example in step 2.1, the transition from state 0 to state 1 relies on rate constant “a1” which is then placed in row 0, column 1. The transition rate constant “b1” drives transitions from state 1 to state 0, and so the rate constant should be placed in row 1, column 0. In Figure 1C, the example gating state matrix has rate constants that reflect the topology of the Nav conductance model shown in Figure 1A. For example, “S0” is the rate constant that defines transitions from the IC1 to the IC2 kinetic state; thus, “S0” is placed in row 0, column 1 of the Gating State Matrix (Figure 1C). The transition rate constant equations defining each rate constan’s variable then populate a filled state matrix (Figure 1C, lower).\nAs the rate constant equations are connected through the state matrix editor panel, the connections (the corresponding row and column) will populate the Connections panel next to the equation (Figure 1B, middle right). Take note of the Open/Conducting state in the representative sodium conductance model (Figure 1A), added to row and column 7 of Figure 1C (top, red boxes), which is important for the next step.\nIn Figure 1B (lower right), use the Conductance Equations (nS) panel to define the amplitude of the model conductance that will be applied during dynamic clamp. Select the open/conducting states in the Markov model and provide a conductance value (Figure 1B, lower, red box).\nFor this experiment, enter “400 nS” into the “G7” box, which adds peak Nav current values that are similar to the peak Nav currents measured in voltage-clamp studies on mouse Purkinje neurons.\nOnce the above steps are completed, click Load to ready the model for dynamic clamp application once a current-clamp routine is initiated.\nUse a similar process to arrange HH models; however, add equations to define independent gating states (in Gate Equations) and conductance under G maximum.\nTo apply dynamic clamp conductance, first create a current-clamp routine using the Routine Editor (click on the SutterPatch tab > Routine Editor) (Figure 1D). To create a current-clamp routine, select the Parent Output Channel (which is StimOut1 in this example). This will open a panel that allows the user to define the current-command output during the routine. Ensure that Recording Mode is set to CC_Mode in the Routine Editor.\nNOTE: In the representative experiments, because this protocol is working with spontaneously firing cells, a gap-free current-clamp routine/protocol that has zero current injection is used.\nIn the Routine Editor Input Channels (Figure 1D, upper right), define input signals, which, during experiments, will populate the recorded scope windows. These inputs must include a voltage signal, and also include the routine’s command current injection, as well as the dynamic clamp current injection, called Current1 and AuxIN1, respectively (Figure 1D, lower left).\nFor current-clamp routines that involve positive and/or negative current injection commands, the command current injection signal will automatically be combined with the dynamic clamp current signal. Create a virtual scope window to subtract the command current signal so that there is a record of the isolated dynamic clamp current injection. To create the new virtual scope window, first select an additional input channel by selecting the checkbox Virtual1.\nWithin the Routine Editor, under Math Type, select Equation and select (under Source Channel) the current-clamp routine’s command input signal, which in this example is Current1. Input an equation in the open field to subtract the current-clamp command signal from the dynamic clamp current injection signal.\nNOTE: For this example experiment, this is done with the equation t[3]-t[2]. The Virtual1 scope window now displays the dynamic clamp current injection (isolated from the current-command signal). Users have the ability to customize the labels of input or output channels by double-clicking under Label.\n\n\n### Acquiring current-clamp recordings from mouse Purkinje neurons in parasagittal cerebellar slices\nEquip the electrophysiology rig with a tissue slice chamber that is (gravity) perfused with ACSF warmed to near physiological temperature (34-36 °C). Carefully place a parasagittal cerebellar slice into the slice chamber and use a slice harp to maintain the cerebellar slice in a submerged and fixed position. Ensure that a chlorided ground electrode and temperature probe are also submerged and stable within the cerebellar slice chamber.\nLocate the Purkinje neuron layer using a 40x immersion objective lens. Purkinje neurons are large and teardropshaped. The plasma membrane of healthy Purkinje cells typically appears smooth, and the nucleus is not visible.\nOnce a healthy Purkinje neuron is identified and targeted for patch-clamp recording, adjust the microscope objective lens upward. Position and focus on the tip of a glass microelectrode attached to an electrode holder and headstage. Control the headstage/microelectrode by a 3-axis robotic micromanipulator.\nNOTE: For these experiments, ensure that microelectrodes have resistance values of 2-4 MΩ and are filled with an appropriate current-clamp internal solution. The internal solution used in representative experiments contains: 144 mM K-gluconate, 0.2 mM EGTA, 3 mM MgCl2, 10 mM HEPES, 8 mM NaCl, 4 mM Mg-ATP, and 0.5 mM Na-GTP.\nPrior to approaching the target Purkinje neuron, add 2-3 mL of positive air pressure into the electrode holder pressure port.\nSwitch to VC mode on the amplifier control panel and apply electrode compensation and electrode voltage offset functions. In the example here, do this by clicking on Auto next to the electrode compensation and voltage offset options.\nBegin a continuous membrane seal test protocol (click Membrane Test). Set the membrane test parameters at (or near) 5 ms sweeps with a 5-mV or 10-mV step. Set the holding potential (V-holding) to 0 mV.\nMove the microelectrode toward the target cell, adjusting the focal plane to maintain focus at or slightly below the tip of the electrode. Position the electrode slightly above the targeted cell’s plasma membrane. Use the micromanipulator and positive pressure from the electrode tip to push away extracellular debris from the target cell soma, ‘cleaning’ the surface membrane.\nAfter the target cell is clear of extracellular debris, slowly position the electrode near the surface of the membrane at the broad end of the Purkinje neuron soma, from which the axon extends from the cell body. As the electrode tip is lowered to the membrane, a dimple will likely become visible on the membrane surface (due to the positive pressure of the electrode). At this point, release the positive pressure and use mouth suction to apply a small amount of negative pressure.\nIn the Amplifier Control panel, change the V-holding potential to −80 mV (from 0 mV). Monitoring the membrane seal test, when the pipette resistance achieves ≥ 1 GΩ, increase negative pressure and click the Zap function on the Membrane Seal Test panel to rupture the membrane and achieve a whole-cell patch-clamp configuration.\nUse a brief voltage-clamp protocol to measure membrane passive properties (capacitance and input resistance values) before switching, via the amplifier control panel, into current-clamp mode.\nAfter switching into current-clamp mode, apply a bridge balance compensation to ≥ 70%.\nPrior to applying a dynamic clamp conductance with a patch electrode, correct for junction potential error (which is calculated based on the composition of the electrode internal and ACSF solutions). For the solutions in the representative experiments, apply a junction potential correction of 17.5 mV. In dynamic clamp studies, an accurate junction potential correction is critical so that an accurate voltage signal is used by conductance model(s) to calculate dynamic clamp current injections.\n\n\n### Applying the dynamic clamp conductance\nBecause Purkinje neurons fire repetitive action potentials spontaneously, record firing properties before adding (or subtracting) a modeled ionic conductance to test cell health and to measure baseline properties of membrane excitability. Apply the modeled conductance by clicking Load in the Dynamic Clamp settings window. A small DynC label will now be visible on the dPatch controller, overlaying CC (see Figure 1D, red boxes).\nAfter the dynamic clamp is turned on/loaded, the dynamic clamp conductance is automatically applied while a current-clamp routine/protocol is active. View the dynamic clamp current injection on the scope window corresponding to the AuxIN1 selected input signal.\nNOTE: Alternating recordings of spontaneous firing with and without application of dynamic clamp-mediated conductances is important for determining how the applied model conductance affects excitability, and to determine if baseline levels of excitability are stable/consistent throughout the experiment.\n\n\n### Representative Results\nIn the presented experiments, we apply, using dynamic clamp, a modeled voltage-gated sodium (Nav) conductance to adult (6-7 week-old) mouse cerebellar Purkinje neurons that are acutely isolated in a parasagittal cerebellar slice preparation. The studies are performed on wild-type (control) mice and transgenic mice, in which Cre-loxP recombination is used to selectively delete tuberous sclerosis 1 (Tsc1) from cerebellar Purkinje neurons. Tuberous sclerosis complex (TSC) is a multisystem disorder caused by loss-of-function mutations in either TSC1 or TSC232,28,33. Individuals with TSC are commonly diagnosed with epilepsy disorders, cognitive impairment, and autism spectrum disorder34,35. Mice with Purkinje neuron-specific Tsc1 deletion, referred to here as Tsc1mut/mut, exhibit several ASD-related behavioral phenotypes, including impairments in motor function, social interaction behavior, and vocalizations, as well as exaggerated repetitive behaviors9,36. Tsc1mut/mut Purkinje neurons have also been shown to have attenuated action potential firing (Figure 2A,B), which is linked to significantly reduced Nav current amplitudes (Figure 2C) and Nav channel expression at the axon initial segments of Tsc1mut/mut Purkinje neurons8. Nav currents inTsc1mut/mut Purkinje neurons have similar kinetic and voltage-dependent properties as wild-type Purkinje neurons8. In this transgenic Tsc1mut/mut mouse model, we used dynamic clamp to test if adding Nav conductance to Tsc1mut/mut Purkinje neurons can rescue repetitive firing. We go on to test if subtracting Nav conductance in wild-type Purkinje neurons causes a similar attenuation in Purkinje neuron firing as measured in Tsc1mut/mut Purkinje neurons (Figure 2B). To subtract the natively expressed Nav conductance, we applied the Nav conductance using dynamic clamp; however, the polarity of the conductance is reversed.\nThe Markov kinetic state model (Figure 1A) used to simulate Purkinje neuron Nav conductance contains nine kinetic states, eight of which are non-conducting, which are labeled as closed (C1, C2, and C3), inactivated-closed (IC1 and IC2), fast-inactivated (IF1 and IF2), and slow- inactivated (IS). There is one open/conducting (O) kinetic state30, 31 . Transition rate constants, shown between the labeled kinetic states (Figure 1A) determine the proportion of simulated channels/conductance occupying each kinetic state. Membrane voltage affects each of the model’s rate constants. Simulated Nav currents produced by this model (in silico) in simulated voltage-clamp experiments are shown (in red) to the right of Nav currents measured from acutely isolated Purkinje neurons, which are shown in black (Figure 1A, lower). The voltage-command evoking these simulated (red) and Purkinje neuron (black) Nav currents is presented above the current traces in black. Note, in the voltagecommand, an initial depolarizing step (to 0 mV) results in a fast-transient inward sodium current, which, in the simulated trace, reflects channels transiting from the non-conducting closed states into the open kinetic state, allowing brief inward current before open-state channels accumulate into the fast inactivated (IF1 and IF2) kinetic states. This depolarizing voltage-step is brief (5 ms) and the membrane potential is subsequently stepped to an intermediate repolarized voltage of −45 mV, at which the potential is held for 80 ms (Figure 1A, lower). During this repolarization voltage step, it is notable that there is a resurgence of inward sodium current, a current component referred to as the resurgent sodium current (INaR). During this 80 ms step to −45 mV, INaR exhibits a slow (compared to INaT) decay in amplitude, eventually reaching a steady-state of inward current, which is the persistent Nav current component (INaP). Activation of modeled INaR (Figure 1A, lower, red) during membrane repolarization reflects simulated channels recovering from the fast-inactivated (IF1 + IF2) kinetic states into the open/conducting state. Over time (holding at −45 mV), a portion of the simulated channels occupying the open state accumulate into an absorbing slow-inactivated (IS) kinetic state, which is reflected as INaR decay, and a portion of these channels remain in the open/conducting state, reflected as the steady-state INaP current component30,31.\nIn the representative experiments/results, the Nav Markov conductance model (Figure 1A) was added to adult Purkinje neurons in acutely isolated cerebellar slices. A cartoon depiction of this experimental setup is presented in Figure 3A. To apply the modeled Nav conductance via dynamic clamp current injection, we used the dPatch amplifier system (shown in Figure 3B), which has fully integrated analog-to-digital (A/D) and digital-to-analog (D/A) conversion. This system also handles signal transformations via integrated ARM core processors (external to the PC) and has an integrated FPGA (field-programmable array) circuit that enables near instantaneous processing of input signals and feedback (sending of output signals) to the current-injecting electrode27. The experiments here involved the application (in dynamic clamp) of a complex Markov conductance model, which we were able to apply with current injection update rates of up to 500 kHz.\nAdding the simulated Nav conductance (400 nS) to Tsc1mut/mut Purkinje neurons during gap-free current-clamp recordings resulted in clear increases in cells’ repetitive firing frequencies (Figure 3C1, D1), indicating the addition of Nav conductance in these cells may be sufficient to rescue deficits in Tsc1mut/mut Purkinje neuron excitability, although we did not examine the full repertoire of deficits reported in Tsc1mut/ mut Purkinje neuron excitability8 . As is evident from the representative traces shown in Figure 3C2 (upper), wild-type Purkinje neurons have an intrinsic capacity to fire repetitive action potentials at high frequencies. Using dynamic clamp, we subtracted the modeled Nav conductance from wild-type Purkinje neurons by applying the modeled Nav conductance with a reversed (negative) polarity (−400 nS). Subtracting the modeled Nav conductance resulted in an immediate and obvious reduction in repetitive firing (Figure 3C2, lower), which is also consistent with the hypothesis that reduced Nav currents measured in Tsc1mut/mut Purkinje neurons contribute to the attenuated firing properties measured in these cells8. Across several Tsc1mut/mut or wild-type Purkinje neurons, these dynamic clamp experiments, in which the Nav conductance was added or subtracted, respectively, resulted in consistent effects on firing frequency. The addition of Nav conductance significantly (P = 0.029) increased Tsc1mut/ mut Purkinje neuron firing frequency (Figure 3D1), and in wild-type Purkinje neurons, the subtraction of the Nav conductance significantly (P = 0.031) reduced firing frequency (Figure 3D2) (Studen’s paired t-test).\n\n\n### Discussion\nCerebellar circuits function in proprioception and motor control37,38 but are also critical for complex behaviors such as social interactions and emotional processing39, 40, 41. Pathology in cerebellar structure and function is often linked to ASD42,43,44,45,46. The simple architecture of cerebellar circuits47 and the cerebellum’s clear role in ASD pathology make it an attractive brain region to investigate the molecular and cellular drivers of ASD behavioral deficits, as well as potential therapeutics. Dynamic clamp electrophysiology offers an important tool for these investigations, enabling investigators to directly test the causal relationships between ASD-related changes in ion channel properties/ionic conductances and the firing of cerebellar neurons. While dynamic clamp methods are particularly suitable for investigations of ASD-related changes in neuronal excitability, this technique is relevant for investigating a range of pathological mechanisms that affect cells with excitable membranes. Additionally, dynamic clamp remains an excellent tool for dissecting the complex processes by which neurons and muscle cells regulate and maintain appropriate action potential firing.\nThe accurate execution of dynamic clamp experiments requires careful control of technical parameters. Specifically, experimenters should know and understand the consequences of the potential variability in the delay between voltage-sampling and current injection, often referred to as jitter29, as well as electrode passive properties, spaceclamp limitations, and the physiological fidelity of the experimental preparation under investigation. Bettencourt et al. (2008)48 and Butera et al. (2001)29 previously showed that achieving high sampling rates of at least 50 kHz is critical for accurately capturing fast ionic conductances, with feedback latencies ideally maintained below 25% (≤ 5 μs) of the sampling interval. Nominal sampling rates reported by commercial systems, particularly Windowsbased platforms, can be misleading; hence, independent performance verification is often necessary, which is discussed in more detail by Milescu et al. (2008)25 and Clausen et al. (2012)49 . Space-clamp constraints must also be considered, particularly when working with intact neurons that have complex morphologies and nonisopotential membrane properties. For instance, attempting to apply (or subtract) a conductance with an electrode that is distal to the integrating site, such as the AIS, will result in an inaccurate portrayal of the effects of the applied conductance. Poor (high) electrode resistance, inadequate capacitance compensation, and/or failing to correct junction potential error may also cause a misrepresentation of voltage measurements (input signal), and consequently, incorrect application of modeled ionic conductances50, 51.\nThousands of Markov and HH models are freely available to researchers in online databases such as ModelDB52 and Channelpedia53 , supported by the Human Brain Project and The Laboratory of Neural Microcircuitry, respectively. These databases include models for synaptic conductances, ion channel conductances, and conductance-based neuron models, which are primarily written in NEURON, MATLAB, or Python. Database files typically provide the necessary model equations as well as any miscellaneous information about the cell type(s) and experiments that informed the model.\nBoth Markov and HH conductance models contain conducting (simulating channels-open/activated) and non-conducting (simulated channels-closed) gating states/variables. However, these model types differ in the way in which the conductance value is calculated at each sampled voltage, with Markov models requiring more computational power but providing more detail in the gating properties of simulated channels. For instance, in HH models, the conducting and non-conducting states are independent variables, each determined by the voltage-input and gating kinetics of the respective state54,55. In contrast with Markov models, HH models do not simulate or constrain the transitions between gating states, such as the transiting of simulated channels from the activated/open kinetic state directly into the fast-inactivated kinetic state in a voltage-gated sodium conductance model25. This makes HH models less computationally complex54,55 and enables investigators to add multiple fast-conductance HH models simultaneously, while maintaining high sampling and update rates.\nMarkov kinetic state models are composed of discrete kinetic states, which may be conducting or non-conducting, and these states are interconnected in a fixed topology. In Markov model simulations, conductance is calculated at each sampled voltage by the proportion of simulated channels occupying the conducting kinetic state(s). The proportion of simulated channels occupying each kinetic state (over time) is determined by rate constants, which are parameters that govern the rate at which state occupancy transitions from one kinetic state to another. Rate constants have units of inverse seconds (s−1 ), representing a transition probability per unit of time. Depending on the model, rate constant values may depend on dynamic factors such as voltage or temperature.\nIn Markov models, ordinary differential equations are used to describe the time-dependent occupancy of each kinetic state. These equations govern how the probability of being in each state evolves over time, based on the transition rate constants. This is represented by a rate matrix Q:ds→dt=Qs→56. As discussed above, transition rate constants (r), which determine the movement between states, may be influenced by the input voltage (V) and parameters α and β, which reflect the kinetics of the conductance across voltages. These equations can be described as: rx=αx×exp(Vβx), and can be represented visually in the form of graphs that include connections (transition rate constants) into and out of each kinetic state of the model56,57,58. A helpful discussion on the development of Markov models and their topology can be found in Schoening and Silva (2024)56 .\nSince the inception of dynamic clamp in its current form, in which non-linear ionic conductances are modeled and applied (via current-injecting electrode) to living cells in real-time19,59, the methods and resources for this technique have evolved, and are increasingly accessible and cost-effective due to innovations such as microcontroller-based, low-cost systems60 and free, open-source software23,25,26. Commercial systems, such as Sutter Instrument’s dPatch or Cytocybernetics’s Cybercyte, further facilitate rapid implementation of dynamic clamp experiments through integrated hardware and software solutions27, 61 .\nThe versatility of dynamic clamp enables diverse applications, including the creation of virtual chemical and electrical synapses, embedding real neurons within artificial networks (or vice-versa), and adding virtual ion channels62. Importantly, the voltage-dependence, kinetic properties, and amplitudes of an applied conductance can be rapidly adjusted, allowing investigators to directly test how scaling one or more parameters affects action potential firing and membrane excitability31 . Today’s systems offer high sampling rates, enabling the accurate application of fast-transient conductances and can be easily integrated with conventional electrophysiological equipment60,63, solidifying dynamic clamp as an ideal method for advancing our understanding of neuronal function and dysfunction.", "domain": "affective_neuroscience"}
{"source": "PMC13038837", "title": "Dedicated and Reconfigurable Artificial Neurons and Synapses based on Two-Dimensional Materials for Efficient Neuromorphic Application", "text": "# Dedicated and Reconfigurable Artificial Neurons and Synapses based on Two-Dimensional Materials for Efficient Neuromorphic Application\n\n## Abstract\nThis review summarizes recent advances in two-dimensional materials-based artificial neurons and synapses, focusing on their biomimetic models, physical mechanisms, and performance metrics, and further discusses sophisticated switching strategies in reconfigurable components.The systemic integration of neuromorphic devices is presented, with particular emphasis on their functional roles in perception, neural networks, and logical operation tasks.A holistic analysis of the challenge in developing artificial neuronal and synaptic devices and systems is presented, charting a roadmap toward more efficient and multifunctional brain-like chips. This review summarizes recent advances in two-dimensional materials-based artificial neurons and synapses, focusing on their biomimetic models, physical mechanisms, and performance metrics, and further discusses sophisticated switching strategies in reconfigurable components. The systemic integration of neuromorphic devices is presented, with particular emphasis on their functional roles in perception, neural networks, and logical operation tasks. A holistic analysis of the challenge in developing artificial neuronal and synaptic devices and systems is presented, charting a roadmap toward more efficient and multifunctional brain-like chips. Neuromorphic computing, a highly promising computational architecture, has provided an efficient solution to overcome the limitations of storage–compute separation and scaling constraints. The key to implementing this architecture lies in the development of artificial neurons and synapses as core neuromorphic components capable of biomimicry. Diverse libraries of two-dimensional (2D) materials with atomic-scale thickness and rich tunable physicochemical properties have risen to prominence in recent years. These unique properties meet the critical requirements of neuromorphic devices for ultralow power consumption, dynamic plasticity, and multifunctional integration, thereby facilitating breakthroughs in next-generation high-performance and versatile neuromorphic hardware systems. In this paper, recent advances in dedicated artificial neuron and synapse devices based on 2D materials are reviewed, with a focus on biomimetic models, physical mechanisms, and performance metrics. The discussion further extends to sophisticated switching strategies in reconfigurable components. Then, the systemic integration of neuromorphic devices is summarized, with particular focus on their functional roles in neural perception, neural networks, and logical operation tasks. Finally, a systematic analysis of the limitations at the device and system levels for artificial neurons and synapses is presented, charting a roadmap toward more efficient and multifunctional brain-like chips. \n\n## Full Text\n\n\n### Introduction\nCurrently, computing systems are primarily based on the von Neumann architecture, which features the shared storage of instructions and data in memory units, with execution by a central processing unit [1]. However, such a memory–computation separated architecture introduces severe communication bottlenecks, exhibiting progressively exacerbated inherent limitations during large-scale data processing, notably inefficient execution, constrained throughput, and excessive energy consumption [2, 3]. Moreover, as Moore’s law gradually approaches the scaling limits of silicon-based processes, hardware systems are confronting fundamental physical constraints such as short-channel effects, quantum tunneling, and thermal dissipation [4, 5]. These challenges are compounded by the exponentially rising manufacturing costs and the performance saturation of conventional semiconductor materials. The dual dilemma of architectural limitations and process bottlenecks presents fundamental technical challenges for Artificial Intelligence and Internet of Things (AIoT) systems in real-time information processing, energy efficiency optimization, and system scalability. To propel technological innovation in microelectronics, the International Technology Roadmap for Semiconductors has outlined three pivotal pathways: More Moore, More than Moore, and Beyond CMOS (Complementary Metal–Oxide–Semiconductor). The three technological directions are, respectively, dedicated to the continuous miniaturization of transistors, heterogeneous integration for functional diversification, and breakthroughs in novel device and information processing technologies. Particularly, the Beyond CMOS pathway, focused on disruptive technologies to supplement or supersede silicon CMOS, is garnering considerable attention. A central research thrust within this pathway is the exploration of emerging device–architecture interactions utilizing novel materials, which presents promising strategies for addressing the challenges of the architectural bottleneck and scaling limits.\nNeuromorphic computing (NC), a groundbreaking computational architecture in the Beyond CMOS roadmap, seeks to compensate for the flaws of conventional architectures by emulating the structural characteristics and biological mechanisms of biological nervous systems [6, 7]. In terms of hardware, the essence of NC lies in the physical mapping of bio-neuromorphic key components while preserving sufficiently plausible dynamics of neural systems. Artificial neurons and synapses serve as fundamental building blocks for artificial neural systems, enabling accurate emulation of biological information processing behavior. As research deepens, neuromorphic devices (based on memristors, memtransistors, memcapacitors, etc.) with dynamic characteristics are progressively replacing early-generation complex CMOS circuits [8, 9], enabling more compact hardware-level integration of information encoding, transmission, processing, and storage. Neuron devices integrate inputs through threshold-triggered electrical responses to generate informative spike trains. Subsequent cascading with synaptic devices leverages non-volatility for concurrent data storage and processing. Such devices designed for NC tasks meet the stringent demands of critical applications requiring high reliability and real-time decisions. Meanwhile, inspired by the dynamic resource allocation concepts in traditional reconfigurable computing architectures (e.g., Field-Programmable Gate Array, FPGA, and Coarse-Grained Reconfigurable Array, CGRA), reconfigurable neuromorphic devices (RNDs) have been developed [10, 11]. These devices enable biomimetic fusion of synaptic and neuronal functionalities on identical hardware platforms through adaptive switching. RNDs exhibit material homology and structural isomorphism, which maximizes the utilization of their intrinsic advantages while preventing potential resource mismatches or shortages. They demonstrate excellent adaptability to the requirements of system integration, high-efficiency operation, and intelligent functionality.\nThe development of energy-efficient and highly integrated neuromorphic systems necessitates the exploration of novel materials with both dimensional scaling and excellent performance. Emerging two-dimensional (2D) materials offer a promising material platform for the Beyond CMOS technologies. With electronic properties ranging from insulating (e.g., h-BN) and semiconducting (e.g., transition metal dichalcogenides, black phosphorus) to semimetallic (e.g., graphene) and superconducting (e.g., NbSe2), the 2D material library provides versatile options for neuromorphic engineering. Materials with specific electrical conductivity, bandgap, and carrier mobility can be selected according to the requirements of different neuromorphic functions. For instance, h-BN can serve as a gate dielectric or passivation layer; semiconductors such as MoS2 constitute the functional layer for conductivity modulation, while high-mobility materials like graphene are suitable for use as high-speed carrier transport channels or electrodes. Additionally, the sub-nanometer thickness (such as the 0.335 nm thickness of monolayer graphene) of 2D materials offers exceptional electrostatic control, effectively suppressing short-channel effects, thereby enabling a high on–off ratio and further supporting device scaling alongside a significant reduction in the operating power consumption. Moreover, the 2D materials exhibit rich and tunable physical properties. Materials including WSe2, In2Se3, and 2D perovskite exhibit inherent responsiveness to multiple stimuli (e.g., electrical, optical, mechanical, thermal), allowing them to replicate the multimodal sensing capabilities of biological sensory organs. And the key physical parameters, such as band gap, work function, carrier type, and even lattice structure, can be designed and modulated by the number of layers, strain, electric field, doping, interface engineering, or stacking angle, which endows the device with both plasticity and reconfigurable neuromorphic functionality. Last but not least, the dangling bond-free surfaces of 2D materials facilitate van der Waals integration without lattice matching requirements. Such “Lego-like” modular assembly strategy establishes a material foundation for developing multifunctional neuromorphic systems. Overall, neuromorphic hardware founded on 2D materials presents distinctive prospects for addressing existing technical limitations and pioneering the evolution of microelectronics beyond the Moore’s law era.\nFor a comprehensive analysis of research trends and emerging hotspots, a bibliometric analysis was conducted based on the Web of Science Core Collection. The annual publication trend over the past 15 years is presented in Fig. 1a. The robust upward trend in publications on memristive devices and systems demonstrates their rise to prominence as a global research focal point. Driven by the urgent need for novel hardware in integrated circuits and artificial intelligence (AI), research on novel 2D material-based memristive devices and systems and 2D material-based neurons and synapses has increased by a factor of 2.7 and 4.8 since 2019. Figure 1b presents a keyword heatmap based on the literature concerning 2D material-based artificial neurons and synapses. The co-occurrence analysis of keywords from extensive publications visually reveals the current research focus and the overall research landscape. The hotspots primarily converge on material properties, electronic devices, performances, and neural network computing. This indicates that a complete and closely integrated research system is now preliminarily in place. Future research is expected to build upon the foundation of comprehensive exploration and validation to make progress toward more efficient brain-inspired intelligence.Fig. 1Bibliometric analysis. a Annual publication trend over the past 15 years in memristive devices and systems, 2D material-based (2DM) memristive devices and systems, and 2DM artificial neurons and synapses. b Landscape of 2DM artificial neurons and synapses: a keyword heatmap analysis\nBibliometric analysis. a Annual publication trend over the past 15 years in memristive devices and systems, 2D material-based (2DM) memristive devices and systems, and 2DM artificial neurons and synapses. b Landscape of 2DM artificial neurons and synapses: a keyword heatmap analysis\nIn this context, we synthesize research advances in 2D material-based novel artificial neurons and synapses, covering biomimetic models, physical mechanisms, performance metrics, reconfigurable strategies, and their applications, as shown in Fig. 2. At the device level, special emphasis is given to the conductance-dependent and conductance-independent biomimetic models, coupled with the intrinsic volatile switching mechanisms observed in artificial neuron devices fabricated from 2D materials. Subsequently, various underlying physical mechanisms governing synapse behavior are systematically analyzed, alongside an examination of performance metrics in advanced synaptic devices. A comprehensive categorization of reconfiguration strategies in neurons and synaptic devices highlights three dominant switching methods: terminal programming, input parameter regulation, and materials property modulation. At the system level, the integration and application of artificial neuromorphic devices across multimodal sensing, pattern recognition, and logical operation are also demonstrated. Furthermore, we critically analyze persistent challenges in neuromorphic devices and integrated systems, while providing a forward-looking roadmap on their transformative potential in brain-like intelligent chips.Fig. 2Summary of the reports on dedicated and reconfigurable artificial neurons and synapses, including the biomimetic models, physical mechanisms, dynamic behaviors, reconfigurable strategies, and applications. Schematic illustrations of the representative 2D material-based devices including synapse devices (Reproduced with permission [12]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [13]. Copyright (2023), Royal society of chemistry.), neuron devices (Reproduced with permission [14]. Copyright (2023), American Chemical Society. Reproduced with permission [15]. Copyright (2023), American Chemical Society.), reconfigurable devices (Reproduced with permission [16]. Copyright (2025), Springer Nature. Reproduced with permission [17]. Copyright (2025), Wiley–VCH GmbH.), and applications (Reproduced with permission [18]. Copyright (2025), Wiley–VCH GmbH. Reproduced with permission [19]. Copyright (2024), Wiley–VCH GmbH.)\nSummary of the reports on dedicated and reconfigurable artificial neurons and synapses, including the biomimetic models, physical mechanisms, dynamic behaviors, reconfigurable strategies, and applications. Schematic illustrations of the representative 2D material-based devices including synapse devices (Reproduced with permission [12]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [13]. Copyright (2023), Royal society of chemistry.), neuron devices (Reproduced with permission [14]. Copyright (2023), American Chemical Society. Reproduced with permission [15]. Copyright (2023), American Chemical Society.), reconfigurable devices (Reproduced with permission [16]. Copyright (2025), Springer Nature. Reproduced with permission [17]. Copyright (2025), Wiley–VCH GmbH.), and applications (Reproduced with permission [18]. Copyright (2025), Wiley–VCH GmbH. Reproduced with permission [19]. Copyright (2024), Wiley–VCH GmbH.)\nThe structure of this article is divided into the following parts: The introduction outlines the fundamental limitations of current computing paradigms at the hardware level and articulates the necessity of pursuing neuromorphic engineering based on 2D materials. Section 2 outlines the biological inspiration for artificial nervous systems, along with the corresponding hardware-level correlations and the behavioral characteristics of such systems. Section 3 provides a detailed summary of bio-inspired models and physical mechanisms of artificial neurons. Section 4 analyzes performance metrics for artificial synaptic devices, elucidating the underlying physical mechanisms governing their operation. Section 5 advances the discussion to reconfiguration methodologies that enable adaptivity and scalability in neuromorphic devices. Various implementations of neuromorphic devices in integrated interconnect, perception, recognition, and logic operations are presented in Sect. 6, followed by an analysis of critical hardware challenges and a roadmap for brain-like chips in intelligent systems in Sect. 7.\n\n\n### Bio-inspired Artificial Nervous System\nThe central nervous system of living organisms is a highly sophisticated regulatory network, with neurons serving as its fundamental structural and functional units. Figure 3a illustrates the typical signal transmission structure, which primarily consists of the soma, neurites (dendrites and axons), and synapses. The soma is responsible for integrating all incoming signals and making the final decision. The dendrites and axons within neuronal processes are specialized for signal reception and transmission, respectively. Synapses serve as functional connections that mediate communication between neurons or between neurons and sensory/effector cells. Information transmission within living organisms mainly includes the following stages:Resting state. In the absence of stimulation, neurons sustain a dynamic equilibrium characterized by selective membrane permeability and concentration gradients of ionic (e.g., K⁺, Na⁺) across the membrane, thereby establishing the resting potential.Depolarization. When neurotransmitters activate the receptors on the dendrites, the membrane’s selective permeability alters, triggering a Na⁺ influx that elevates the membrane potential.Repolarization. The neuronal soma undergoes spatiotemporal summation of excitatory and inhibitory synaptic inputs. Upon reaching the threshold potential, action potentials are initiated at the axon initial segment. Temporally sequential action potentials constitute spike trains through frequency and interval encoded information features, such as internal pressure, visual edges, and sound frequency.Refractory period. Following the initiation of action potentials, Na⁺ channels rapidly inactivate, inducing a refractory period that persists until resting membrane characteristics are restored. The resulting spike propagates unidirectionally along the axon in an all-or-none manner with no amplitude decay.Synapse transmission. The arrival of spike trains at synaptic terminals initiates a cascade of electrochemical events that mediate interneuronal communication. The efficiency of interneuronal information transfer is directly governed by the strength of synaptic connections, which is dynamically regulated through synaptic plasticity. High-frequency and repeated neural activities drive the transformation of synaptic plasticity from short term (short-term plasticity, STP) to long term (long-term plasticity, LTP), serving as the core mechanism for learning and memory in the brain.Fig. 3Typical signal transmission diagram in living organisms. a Schematic diagram of information transmission between the pre-neuron and post-neuron. b Diagram of changes in the membrane potential of neurons induced by input signals. c Schematic diagram of postsynaptic membrane potential changes in response to excitatory and inhibitory stimuli\nResting state. In the absence of stimulation, neurons sustain a dynamic equilibrium characterized by selective membrane permeability and concentration gradients of ionic (e.g., K⁺, Na⁺) across the membrane, thereby establishing the resting potential.\nDepolarization. When neurotransmitters activate the receptors on the dendrites, the membrane’s selective permeability alters, triggering a Na⁺ influx that elevates the membrane potential.\nRepolarization. The neuronal soma undergoes spatiotemporal summation of excitatory and inhibitory synaptic inputs. Upon reaching the threshold potential, action potentials are initiated at the axon initial segment. Temporally sequential action potentials constitute spike trains through frequency and interval encoded information features, such as internal pressure, visual edges, and sound frequency.\nRefractory period. Following the initiation of action potentials, Na⁺ channels rapidly inactivate, inducing a refractory period that persists until resting membrane characteristics are restored. The resulting spike propagates unidirectionally along the axon in an all-or-none manner with no amplitude decay.\nSynapse transmission. The arrival of spike trains at synaptic terminals initiates a cascade of electrochemical events that mediate interneuronal communication. The efficiency of interneuronal information transfer is directly governed by the strength of synaptic connections, which is dynamically regulated through synaptic plasticity. High-frequency and repeated neural activities drive the transformation of synaptic plasticity from short term (short-term plasticity, STP) to long term (long-term plasticity, LTP), serving as the core mechanism for learning and memory in the brain.\nTypical signal transmission diagram in living organisms. a Schematic diagram of information transmission between the pre-neuron and post-neuron. b Diagram of changes in the membrane potential of neurons induced by input signals. c Schematic diagram of postsynaptic membrane potential changes in response to excitatory and inhibitory stimuli\nArtificial neural systems aim to construct large-scale distributed processing integrated circuit architectures by imitating the structure and function of biological neural systems. Such system comprises integrated networks of neuromorphic devices, where the two fundamental components, artificial neurons and artificial synapses, have a direct hardware mapping relationship with biological counterparts: the former simulates the integration and firing function of biological neurons, converting the electrical signal of membrane potential changes (input) into a discrete spike train output (Fig. 3b); the latter replicate the signal transmission and plasticity of biological synapses, with their conductance states directly corresponding to synaptic weights (Fig. 3c). The operation of artificial neural systems adheres to an event-driven processing logic. Spatiotemporally encoded external inputs drive neurons to generate sparse spike trains. As these spike trains are transmitted to the synaptic array, they modulate synaptic weights accordance with learning rules, enabling spatiotemporal correlation learning and feature extraction. Based on this process, artificial neural systems can reproduce the core information processing mode of biological neural systems at the hardware level, providing critical support for the breakthrough of brain-inspired computing.\n\n\n### 2D Materials-based Dedicated Artificial Neurons\nAs mentioned above, biological neurons function as spatiotemporal integrators through synaptic weighting. Such characteristic has been abstracted into various mathematical models and hardware implementations. The further demand for model simplification is driving the exploration of neuron devices with threshold switching (TS) and volatile dynamic characteristics in 2D material platforms to achieve more integrated and intelligent neuromorphic hardware systems.\nNeuronal models can be categorized into two primary types: conductance-dependent and conductance-independent. Conductance-dependent models simulate neuronal behavior by replicating the specific electrophysiological properties of the neuronal cell membrane to reconstruct its conductive channels. The Hodgkin–Huxley (H–H) neuron is a classic conductance-dependent model that formulates a set of differential equations describing the membrane potential and ion-channel gating variables, thereby establishing the electrophysiological modeling of neuronal ionic dynamics. The physical implementation of mathematical descriptions is achieved through equivalent resistance–capacitance (RC) circuit methodology [20]. In this circuit, the phospholipid bilayer membrane and transmembrane ion concentration gradients were represented as a capacitive element and electromotive force sources, respectively. K+/Na+ channels were characterized as variable conductance elements, while other leak channels are equivalent to a linear conductance (as illustrated in Fig. 4a). This model establishes a quantitative framework for understanding action potential generation through precise biophysical components, where the nonlinear interactions of these electrical elements faithfully reproduce multiple spiking activities observed in biological neurons. Subsequently, a series of more simplified conductance-dependent neuronal models capable of simulating a wider range of firing patterns were developed (refer to the upper axis in Fig. 4). These neuron models are specifically designed to capture the unique electrophysiological characteristics of different neurons. For instance, the Morris–Lecar neuron model emphasizes the conductivity of membranes and the types of neuron ion channels, while Chay describes bursting patterns and chaotic behavior in neurons.Fig. 4Various neuron models and classic spiking patterns. a Equivalent circuit of the H–H neuron model. The dynamics of Na+ and K+ channels on the cell membrane regulate the generation of action potentials. Reproduced with permission [20]. Copyright (2024), Wiley–VCH GmbH. b Diagram of the FHN neuron circuit and corresponding ODEs (Vm and Wr are the membrane potential of the neuron and the recovery variable. Iext is the intensity of the externally applied current. a, b, and c are three constants). Reproduced with permission [22]. Copyright (2023), Elsevier. c Six classic spiking patterns are generated by the Izhikevich model. Reproduced with permission [23]. Copyright (2022), Frontiers Media S. A. d A typical RC-based LIF neuron circuit with general TSDs, and the corresponding ODE (Vm(t) and I(t) represent the membrane potential and the total input current at time t. Gm and Cm are the membrane conductance and membrane capacitance of the neuron)\nVarious neuron models and classic spiking patterns. a Equivalent circuit of the H–H neuron model. The dynamics of Na+ and K+ channels on the cell membrane regulate the generation of action potentials. Reproduced with permission [20]. Copyright (2024), Wiley–VCH GmbH. b Diagram of the FHN neuron circuit and corresponding ODEs (Vm and Wr are the membrane potential of the neuron and the recovery variable. Iext is the intensity of the externally applied current. a, b, and c are three constants). Reproduced with permission [22]. Copyright (2023), Elsevier. c Six classic spiking patterns are generated by the Izhikevich model. Reproduced with permission [23]. Copyright (2022), Frontiers Media S. A. d A typical RC-based LIF neuron circuit with general TSDs, and the corresponding ODE (Vm(t) and I(t) represent the membrane potential and the total input current at time t. Gm and Cm are the membrane conductance and membrane capacitance of the neuron)\nHowever, the excessive number of dynamic variables of these models results in inefficient computation for large-scale networks. The conductance-independent neuron models have been further explored in depth (refer to the below axis in Fig. 4). It aims to describe the input–output behavior of neurons through abstract mathematics, focusing on a functional perspective rather than on the specific physiological structure. Therefore, a FitzHugh–Nagumo (FHN) neuron model with simplified dynamic variables was developed (Fig. 4b) [21, 22], which captures the essential dynamics of neuronal excitability, including the accommodation and anode break excitation characteristics. In addition, the Izhikevich neuron model requires only two ordinary differential equations (ODEs) for membrane potential and recovery variable, along with discrete reset rules, to reproduce over 20 firing patterns, including tonic spiking, tonic bursting, and phase spiking, among others (Fig. 4c) [23]. This model achieves a computational cost two orders of magnitude lower than that of H–H-type models [24, 25], striking a balance between computational efficiency and biological plausibility. Another classic simplified structure capturing the general process of neural spike transformation is the leaky integrate-and-fire (LIF) neuron model. It focuses on the integration dynamics of the membrane potential: the potential accumulates and rises with the arrival of input pulses, while spontaneously decaying due to leakage. Once it crosses the firing threshold, a spike is triggered, and the integrated state is immediately reset. Although the LIF model lacks the rich and intricate behaviors of biological neurons, it retains the two core functions of “integration” and “threshold-triggering”. Consequently, it has been widely adopted for large-scale circuit simulations and real-time spike signal processing. The hardware implementation of the LIF model typically utilizes a threshold switching device (TSD) (or specific circuit block) coupled with a charge-storing capacitor and a leak resistor. As shown in Fig. 4d, when an input voltage pulse is applied, the capacitor initiates charge accumulation. Once the capacitor voltage exceeds the threshold (Vth), the TSD switch abruptly from a high-resistance state (HRS) to a low-resistance state (LRS). As a result, the artificial neuron generates a spike and discharges the capacitor through the TSDs (reset). When the voltage across the TSD drops below the holding voltage (Vhold), it returns to the HRS and enters a refractory period [26, 27], completing a full leaky integrate-and-fire cycle, which can be repeated with continuous input while maintaining consistent firing amplitude regardless of pulse accumulation [28]. The LIF equivalent circuit and corresponding ODE are shown in Fig. 4d. In LIF models, when the input pulse interval significantly exceeds the RC circuit’s decay time constant (Tpulse ≫ τ = RC), the capacitor fully discharges (leaky) through the resistor Rs to attain the resting potential prior to the arrival of subsequent pulses, preventing sufficient charge accumulation to attain the threshold voltage, thereby inhibiting spike generation. During short pulse intervals, the capacitor exhibits minimal leakage, which facilitates near-ideal charge accumulation mimicking integrate-and-fire (IF) behavior. In large-scale neural network implementations, omitting the leak resistor from LIF hardware models remains capable of capturing key neuronal characteristics, significantly reducing computational complexity and memory requirements [29]. Furthermore, neuron models have evolved to incorporate more physiologically meaningful and computationally efficient conductance-independent models, such as quadratic IF and multi-synaptic firing (MSF).\nWith the progress in neuronal hardware implementation, neuron dynamics of the H–H and LIF models have been effectively realized through memristive systems [30, 31]. More importantly, individual memristive devices with volatility and TS capabilities could also emulate certain classical neuronal behaviors by the progression of physical or chemical processes that drive electrical switching. These devices eliminate the need for complex external circuitry and hold significant potential in area efficiency, thereby propelling the development of artificial neural systems from mathematical models toward the construction of large-scale hardware systems.\n2D materials are excellent platforms for constructing memristive neuron devices and exhibit unique advantages in simulating high energy efficiency and complex neural dynamics due to their intrinsic property. The in-depth exploration and precise control of the intrinsic physical mechanisms of memristive devices is a focus of current research, which can primarily be categorized into the following five mechanisms:\nIon migration dynamics represent one of the most widely utilized mechanisms in current 2D material-based neuron devices, which encompasses two categories: metal ion migration and vacancy migration. In metal–semiconductor–metal (MSM) structures, active electrodes (e.g., Ag, Cu) generate metal ions by an electrical potential (M → Mn+ + ne−). Subsequently, ions migrate through the van der Waals gaps [32, 33] or surfaces [34] of 2D functional layer before being progressively reduced to form ultrathin conductive filaments connecting the two electrodes, triggering a current spike. The potential leakage may originate from the thermal diffusion of ions. Upon removal of the electric field, these ultrathin conductive filaments spontaneously dissipate, corresponding to the reset phase. This process is defined as electrochemical metallization (ECM) [35], which is governed by electric field strength, temperature, and material defects. Alternatively, intrinsic vacancies in the function layer are driven to migrate directionally by the electric field or thermal excitation. Functioning as charge traps or ion transport pathways, these vacancies dynamically modulate local conductivity. This vacancy-dominated TS mechanism is referred to as the valence change mechanism (VCM) [36, 37]. In practice, intrinsic kinetic coupling exists between metal ions and vacancies. The provision of diffusion pathways for metal ions by intrinsic defects in 2D materials (e.g., vacancies, grain boundaries) significantly lowers the activation energy for migration, directly resulting in faster switching speeds and near-biological energy efficiency [38–41]. Building on this kinetic correlation, Qin et al. enabled the controlled formation of Ag conductive filaments in SnSe (Fig. 5a) [42]. The quantity and spatial position of Ag conductive filaments are modulated by the dynamic distribution of Sn vacancies, generating stochastic threshold voltages that closely emulate the flexibility of biological neuronal firing. In addition, the formation and rupture locations of conductive filaments vary depending on the local electrical conductivity, defect distribution, and interface properties of 2D materials.Fig. 5Artificial neuron mechanisms and electrical characteristics. a, b Ion-migration neurons: a Schematic illustration of the Ag/SnSe/Au device and the TS mechanism. b Cross section schematic of the MoS2-based TS device and high- and low-resistance switching mechanisms. Reproduced with permission [43]. Copyright (2024), Wiley–VCH GmbH. c, d Phase-change neurons: c Electrical measurement results of fabricated Pt/VSe2/Pt memristors before and after annealing, with corresponding phase transition schematics. Reproduced with permission [47]. Copyright (2024), The Royal Society of Chemistry. d Atomic structure of the four phases of 1 T-TaS2. e Cross section and schematic structure of the 1 T-TaS2 oscillator. f\nI-V characteristics of the 1 T-TaS2 device under different bias conditions. Reproduced with permission [48]. Copyright (2021), American Chemical Society. g, k Impact-ionization neuron: g Schematic representation of the 2D WSe2 impact ionization device. h Transient current characteristics of the channel under fixed source–drain bias with varying gate voltages. i Spiking frequency and energy consumption of the device with varying gate voltages. Reproduced with permission [49]. Copyright (2025), Wiley–VCH GmbH. j Schematic of WSe2/graphene heterostructure impact ionization device and the TS mechanism. k A sharp increase in current due to impact ionization. Reproduced with permission [50]. Copyright (2023), The Royal Society of Chemistry. l, m Charge-trapping neurons: l Structure of the MoS2-based neuron. m Energy band diagrams illustrating the working mechanism corresponding to the LIF process. Reproduced with permission [15]. Copyright (2022), American Chemical Society. n, o Doped neuron: n Schematic illustration of the MoS2 neuristor and the TS mechanism. o Integrate-and-fire function of the MoS2 neuristor under stimulation by input and clock signals. Reproduced with permission [52]. Copyright (2019), American Chemical Society\nArtificial neuron mechanisms and electrical characteristics. a, b Ion-migration neurons: a Schematic illustration of the Ag/SnSe/Au device and the TS mechanism. b Cross section schematic of the MoS2-based TS device and high- and low-resistance switching mechanisms. Reproduced with permission [43]. Copyright (2024), Wiley–VCH GmbH. c, d Phase-change neurons: c Electrical measurement results of fabricated Pt/VSe2/Pt memristors before and after annealing, with corresponding phase transition schematics. Reproduced with permission [47]. Copyright (2024), The Royal Society of Chemistry. d Atomic structure of the four phases of 1 T-TaS2. e Cross section and schematic structure of the 1 T-TaS2 oscillator. f\nI-V characteristics of the 1 T-TaS2 device under different bias conditions. Reproduced with permission [48]. Copyright (2021), American Chemical Society. g, k Impact-ionization neuron: g Schematic representation of the 2D WSe2 impact ionization device. h Transient current characteristics of the channel under fixed source–drain bias with varying gate voltages. i Spiking frequency and energy consumption of the device with varying gate voltages. Reproduced with permission [49]. Copyright (2025), Wiley–VCH GmbH. j Schematic of WSe2/graphene heterostructure impact ionization device and the TS mechanism. k A sharp increase in current due to impact ionization. Reproduced with permission [50]. Copyright (2023), The Royal Society of Chemistry. l, m Charge-trapping neurons: l Structure of the MoS2-based neuron. m Energy band diagrams illustrating the working mechanism corresponding to the LIF process. Reproduced with permission [15]. Copyright (2022), American Chemical Society. n, o Doped neuron: n Schematic illustration of the MoS2 neuristor and the TS mechanism. o Integrate-and-fire function of the MoS2 neuristor under stimulation by input and clock signals. Reproduced with permission [52]. Copyright (2019), American Chemical Society\nMoreover, Cruces et al. developed a lateral MoS2 device (Fig. 5b) [43] utilizing a distinct mechanism that differs from continuous filament formation. This design achieves repeatable volatile resistance switching through controlled Ag+ surface migration across multilayer MoS2. When the device is initially in the HRS, low-concentration extended clusters of Ag nanoparticles or Ag2S distribute across the MoS2 surface, exhibiting Poole–Frenkel hopping conduction. Applied bias increases Ag concentration, thereby modifying the band structure of MoS2 to shift conduction from localized state hopping to a space-charge-limited conduction mechanism, resulting in a transition to the LRS with significantly enhanced current.\nCertain 2D materials exhibit reversible phase transitions in response to external stimuli, closely emulating the stimulus-firing behavior of biological neurons. Specifically, when input signals exceed the phase-change critical threshold, the material undergoes a rapid phase transition, inducing abrupt changes in conductivity that emulate neuronal action potential firing. This process typically involves coupled electronic and structural phase transitions through energy accumulation. These structural transitions primarily involve lattice rearrangement and symmetry breaking, while electronic phase transitions entail significant band structure reconstruction and altered electronic correlation effects [44–46]. As shown in Fig. 5c, Zhong et al. demonstrated that annealed VSe2 undergoes atomic rearrangement to form a 2H phase with AB stacking sequence [47]. Voltage-induced Joule heating then converts it to a 1T phase with AA stacking, inducing TS behavior in the device. In addition, Liu et al. reported that the neuronal oscillation mechanism involves electric-field-driven switching between nearly commensurate and incommensurate phases in 1T-TaS2 films. This system exhibits biologically realistic stochastic firing behavior originating from melt-quench-induced reconfiguration of charge density wave domains (Fig. 5d–f) [48]. The reset phase in phase-change neurons occurs through thermal dissipation mechanisms that gradually restore the initial state.\nImpact ionization neurons represent another class of devices based on the semiconductor avalanche effect. Under a strong electric field, charge carriers are accelerated and gain sufficient kinetic energy, which leads to collision ionization with lattice atoms and triggers an avalanche multiplication of carrier concentration. This process enables energy-efficient spike generation in a short transient period, thereby simulating the integration-fire behavior of biological neurons. Lee’s team demonstrated an impact ionization field-effect transistor neuron using WSe2 as the channel material (Fig. 5g–i) [49]. When the applied bias (Vgs = − 0.4 V, Vds = 2 V) exceeds the critical field strength in ungated regions, carrier kinetic energy surpasses the impact ionization threshold, triggering an exponential current surge (Phase A) that emulates action potential firing. As carrier density increases in the channel, enhanced carrier–carrier scattering and stochastic collisions cause more energy loss, requiring a higher bias voltage to sustain impact ionization. This results in a more gradual increase in current during Phase B. Upon withdrawing the gate electric field, carrier depletion enables automatic reset to the initial state. This reliable and repeatable LIF behavior demonstrates functional spiking neuron operation. Notably, this neuron device exhibits spiking behavior at a low critical field, a 565 ns transient response, and an energy consumption of approximately 2 pJ per spike, all enabled by the high impact ionization coefficient of WSe2. Similar impact ionization TS was reported in their other work using a two-terminal vertically stacked WSe2/graphene heterostructure [50]. When the bias exceeds the avalanche breakdown voltage (~ 1.2 V), an abrupt current surge occurs via carrier multiplication (Fig. 5j, k). However, these neuronal devices require further optimization, such as precise electric field control to prevent irreversible breakdown, moderate bandgap engineering to balance impact ionization efficiency and leakage current, as well as fatigue resistance and thermal management for stable high-frequency pulsed operation.\nThe charge-trapping and detrapping processes can effectively emulate neuronal integration, firing and leaking. As demonstrated by Huo et al., a quasi-volatile MoS2 neuron utilizing charge trapping and Schottky barrier modulation is shown in Fig. 5l, m [15]. Charge carriers injected from the terminal electrodes become trapped at defects in the dielectric layer, driving neuronal integration. When the accumulated charge reaches the transistor’s threshold voltage, channel carriers are abruptly triggered, generating a spiking pulse. Upon voltage removal, charges trapped in shallow-level defects spontaneously de-trap, governing the reset process. Additionally, Wang et al. proposed an alternative approach using source–drain voltage to manipulate carrier tunneling into floating-gate layers for channel activation [51]. This configuration establishes a positive feedback loop between source-injected current, impact ionization, and floating-gate potential, significantly enhancing tunneling efficiency to produce abrupt TS behavior.\nA doping-based neuron operates by introducing charges or ions into the resistive switching layer through external stimuli, resulting in a transient change of state. Bao et al. demonstrated a method where Li⁺ in the top gate electrolyte migrates under applied voltage, inducing reversible electrochemical doping of the channel layer that dynamically modulates its threshold voltage. The bottom-gate clock signals then regulate drain current spiking through field-effect control, as illustrated in Fig. 5n, o [52].\nIn practice, the information integrated by artificial neurons is encoded in output signal amplitude, frequency, waveform characteristics, among others. These output characteristics are modulated by the input signals, synaptic activity, and the neuronal intrinsic plasticity. Among them, neuronal intrinsic plasticity is achieved through amplification of excitatory postsynaptic potentials, adjustment of spike threshold, and alteration of resting membrane potential. Some initial hardware implementations of neural intrinsic plasticity have already been explored. An IF neuron module based on wafer-scale monolayer MoS2 films that can adaptively regulate the neuronal membrane resting potential for time-to-first-spike encoding by emulating the intrinsic plasticity of neurons has been developed by Zhou’s group [53]. Moreover, several studies have replicated adaptive threshold regulation ability through approaches such as external circuit control [54], functional material doping [52], defect engineering [55, 56], and modality control [57, 58]. For instance, a threshold-type memristor utilizing the 2D V2C/V2O5−x heterojunction has been demonstrated [58]. The device exhibits a threshold voltage that can be linearly tuned by the power density and the wavelength of near-infrared light, a feature enabled by the strong NIR absorption of V2C and the volatile switching induced by oxygen vacancies in V2O5−x. Lee et al. showed electric-field-driven Ag⁺ migration that dynamically modulates trap-state density in GeSe2 channels, enabling continuous threshold voltage adjustment [55]. Overall, artificial neurons based on different device architectures and materials exhibit distinct response mechanisms. Neuronal excitability and signal integration efficiency can also be regulated through intrinsic plasticity, thereby optimizing input–output relationships. For a more detailed comparative analysis, Table 1 summarizes the operating principles and performances of the reported 2D material-based neuronal devices.\nTable 1Mechanisms and performances of artificial neuron devices based on 2D materialsMaterialsConstructionMechanismNeuron modelThreshold (V)On/off ratioEnergy or power consumption(per spike)Multimodal (yes/no)ReferencesITO/2D TiOx/Au1Ma/LIF − 1.9 to − 2.21095 nJN[59]Ag/MoS2/TiW1MECMLIF0.9 to1.5 ~ 1051.4 μWN[60]Ag/Ag (NPs)/MXene/ITO1MECMIF ~ 0.93103/Y[61]Ag/O-MXene/SiO2/Si1MECM/VCMIF2.83 × 104Without/With light: 74 μJ/25 μJY[62]Cu/MXene/Cu1MECMLIF ~ 0.68/20 nJN[63]Ag/MoS2/Au1M + 1Cb2RcECMLIF ~ 0.35 to 0.4106/N[64]Al/Ag/MoS2/Pd1MECMLIF ~ 2.1//N[43]Ag/SnSe/Au1MECMLIF < 0.6 ~ 104/N[42]Au/Ag/Al2O3/Gra/MoS2/SiO21MECMLIF ~ 0.17 ~ 106/N[65]Ag/Ti/GaSe/Pt/Ti1M + 1C2RECM/VCMLIF ~ 0.3 to0.42 (without Ar plasma) ~ 0.4–0.75 (with Ar plasma) ~ 106 ~ 105/N[66]Cu/SnS2/Cu1MECM/VCMIF0.394/N[56]Ag/Ti/HfSe2-xOy/Pt1M + 1C1R + feedback circuitsECM andInterfacial EngineeringLIF0.42–0.65 ~ 106/N[67]Ni/Graphene/v-MoS2/Ni1M + 1C3RIon MigrationIF2.9–4 > 1028 μWN[68]Au/CuInP2S6/Cu1MIon MigrationLIF ~ 0.82107/N[69]Cu/CuInP2S6/Graphene1MIon Migration/ ~ 0.8104/N[14]Ag/MXene (V2C)/W1MECM/Joule Heat EffectLIF ~ 3.1//N[70]Ag/MXene/GST/Pt1MECMIF0.38 > 103/N[71]Au/Pd/1 T-TaS2/SiO21M + 1C1RPhase TransitionOscillation0.823–0.84//N[48]Pt/VSe2/Pt1MPhase TransitionLIF ~ 1.46/ ~ − 1.5 > 10/N[47]Au/WSe2/AuAu (TG)1MImpact IonizationLIFVgs = − 0.37 (@Vds = 2)/2 pJN[49]Au/Graphene/WSe2/Au1MImpact Ionization/ ~ 1.2//N[50]Au/MoS2/AuHfOx (dielectric)TiN (BG)1MCharge trappingLIFVds > ± 3103/N[15]Drain/ZnPc-modified MoS2/Sourcegraphene (FG)Si (BG)1MCharge trapping and impact ionizationIFVds = 6.5108/N[51]Au(D)/MoS2/Au(S)PEO:LiClO4 (TG)n+Si (BG)1MElectrochemical DopingIFVgs = 0.9 to 1.2//N[52]aM Memristive device, bC Capacitor, cR Resistor, dVds Drain–source voltage, eVgs Gate–source voltage, fTG Top gate, gBG Bottom gate, hFG Float gate\nMechanisms and performances of artificial neuron devices based on 2D materials\n~ 0.3 to\n0.42 (without Ar plasma)\n~ 0.4–0.75 (with Ar plasma)\n~ 106\n~ 105\nECM and\nInterfacial Engineering\nAu/WSe2/Au\nAu (TG)\nAu/MoS2/Au\nHfOx (dielectric)\nTiN (BG)\nDrain/ZnPc-modified MoS2/Source\ngraphene (FG)\nSi (BG)\nAu(D)/MoS2/Au(S)\nPEO:LiClO4 (TG)\nn+Si (BG)\naM Memristive device, bC Capacitor, cR Resistor, dVds Drain–source voltage, eVgs Gate–source voltage, fTG Top gate, gBG Bottom gate, hFG Float gate\n\n\n### Neuron Models\nNeuronal models can be categorized into two primary types: conductance-dependent and conductance-independent. Conductance-dependent models simulate neuronal behavior by replicating the specific electrophysiological properties of the neuronal cell membrane to reconstruct its conductive channels. The Hodgkin–Huxley (H–H) neuron is a classic conductance-dependent model that formulates a set of differential equations describing the membrane potential and ion-channel gating variables, thereby establishing the electrophysiological modeling of neuronal ionic dynamics. The physical implementation of mathematical descriptions is achieved through equivalent resistance–capacitance (RC) circuit methodology [20]. In this circuit, the phospholipid bilayer membrane and transmembrane ion concentration gradients were represented as a capacitive element and electromotive force sources, respectively. K+/Na+ channels were characterized as variable conductance elements, while other leak channels are equivalent to a linear conductance (as illustrated in Fig. 4a). This model establishes a quantitative framework for understanding action potential generation through precise biophysical components, where the nonlinear interactions of these electrical elements faithfully reproduce multiple spiking activities observed in biological neurons. Subsequently, a series of more simplified conductance-dependent neuronal models capable of simulating a wider range of firing patterns were developed (refer to the upper axis in Fig. 4). These neuron models are specifically designed to capture the unique electrophysiological characteristics of different neurons. For instance, the Morris–Lecar neuron model emphasizes the conductivity of membranes and the types of neuron ion channels, while Chay describes bursting patterns and chaotic behavior in neurons.Fig. 4Various neuron models and classic spiking patterns. a Equivalent circuit of the H–H neuron model. The dynamics of Na+ and K+ channels on the cell membrane regulate the generation of action potentials. Reproduced with permission [20]. Copyright (2024), Wiley–VCH GmbH. b Diagram of the FHN neuron circuit and corresponding ODEs (Vm and Wr are the membrane potential of the neuron and the recovery variable. Iext is the intensity of the externally applied current. a, b, and c are three constants). Reproduced with permission [22]. Copyright (2023), Elsevier. c Six classic spiking patterns are generated by the Izhikevich model. Reproduced with permission [23]. Copyright (2022), Frontiers Media S. A. d A typical RC-based LIF neuron circuit with general TSDs, and the corresponding ODE (Vm(t) and I(t) represent the membrane potential and the total input current at time t. Gm and Cm are the membrane conductance and membrane capacitance of the neuron)\nVarious neuron models and classic spiking patterns. a Equivalent circuit of the H–H neuron model. The dynamics of Na+ and K+ channels on the cell membrane regulate the generation of action potentials. Reproduced with permission [20]. Copyright (2024), Wiley–VCH GmbH. b Diagram of the FHN neuron circuit and corresponding ODEs (Vm and Wr are the membrane potential of the neuron and the recovery variable. Iext is the intensity of the externally applied current. a, b, and c are three constants). Reproduced with permission [22]. Copyright (2023), Elsevier. c Six classic spiking patterns are generated by the Izhikevich model. Reproduced with permission [23]. Copyright (2022), Frontiers Media S. A. d A typical RC-based LIF neuron circuit with general TSDs, and the corresponding ODE (Vm(t) and I(t) represent the membrane potential and the total input current at time t. Gm and Cm are the membrane conductance and membrane capacitance of the neuron)\nHowever, the excessive number of dynamic variables of these models results in inefficient computation for large-scale networks. The conductance-independent neuron models have been further explored in depth (refer to the below axis in Fig. 4). It aims to describe the input–output behavior of neurons through abstract mathematics, focusing on a functional perspective rather than on the specific physiological structure. Therefore, a FitzHugh–Nagumo (FHN) neuron model with simplified dynamic variables was developed (Fig. 4b) [21, 22], which captures the essential dynamics of neuronal excitability, including the accommodation and anode break excitation characteristics. In addition, the Izhikevich neuron model requires only two ordinary differential equations (ODEs) for membrane potential and recovery variable, along with discrete reset rules, to reproduce over 20 firing patterns, including tonic spiking, tonic bursting, and phase spiking, among others (Fig. 4c) [23]. This model achieves a computational cost two orders of magnitude lower than that of H–H-type models [24, 25], striking a balance between computational efficiency and biological plausibility. Another classic simplified structure capturing the general process of neural spike transformation is the leaky integrate-and-fire (LIF) neuron model. It focuses on the integration dynamics of the membrane potential: the potential accumulates and rises with the arrival of input pulses, while spontaneously decaying due to leakage. Once it crosses the firing threshold, a spike is triggered, and the integrated state is immediately reset. Although the LIF model lacks the rich and intricate behaviors of biological neurons, it retains the two core functions of “integration” and “threshold-triggering”. Consequently, it has been widely adopted for large-scale circuit simulations and real-time spike signal processing. The hardware implementation of the LIF model typically utilizes a threshold switching device (TSD) (or specific circuit block) coupled with a charge-storing capacitor and a leak resistor. As shown in Fig. 4d, when an input voltage pulse is applied, the capacitor initiates charge accumulation. Once the capacitor voltage exceeds the threshold (Vth), the TSD switch abruptly from a high-resistance state (HRS) to a low-resistance state (LRS). As a result, the artificial neuron generates a spike and discharges the capacitor through the TSDs (reset). When the voltage across the TSD drops below the holding voltage (Vhold), it returns to the HRS and enters a refractory period [26, 27], completing a full leaky integrate-and-fire cycle, which can be repeated with continuous input while maintaining consistent firing amplitude regardless of pulse accumulation [28]. The LIF equivalent circuit and corresponding ODE are shown in Fig. 4d. In LIF models, when the input pulse interval significantly exceeds the RC circuit’s decay time constant (Tpulse ≫ τ = RC), the capacitor fully discharges (leaky) through the resistor Rs to attain the resting potential prior to the arrival of subsequent pulses, preventing sufficient charge accumulation to attain the threshold voltage, thereby inhibiting spike generation. During short pulse intervals, the capacitor exhibits minimal leakage, which facilitates near-ideal charge accumulation mimicking integrate-and-fire (IF) behavior. In large-scale neural network implementations, omitting the leak resistor from LIF hardware models remains capable of capturing key neuronal characteristics, significantly reducing computational complexity and memory requirements [29]. Furthermore, neuron models have evolved to incorporate more physiologically meaningful and computationally efficient conductance-independent models, such as quadratic IF and multi-synaptic firing (MSF).\nWith the progress in neuronal hardware implementation, neuron dynamics of the H–H and LIF models have been effectively realized through memristive systems [30, 31]. More importantly, individual memristive devices with volatility and TS capabilities could also emulate certain classical neuronal behaviors by the progression of physical or chemical processes that drive electrical switching. These devices eliminate the need for complex external circuitry and hold significant potential in area efficiency, thereby propelling the development of artificial neural systems from mathematical models toward the construction of large-scale hardware systems.\n\n\n### Mechanisms of Artificial Neuron Devices\n2D materials are excellent platforms for constructing memristive neuron devices and exhibit unique advantages in simulating high energy efficiency and complex neural dynamics due to their intrinsic property. The in-depth exploration and precise control of the intrinsic physical mechanisms of memristive devices is a focus of current research, which can primarily be categorized into the following five mechanisms:\nIon migration dynamics represent one of the most widely utilized mechanisms in current 2D material-based neuron devices, which encompasses two categories: metal ion migration and vacancy migration. In metal–semiconductor–metal (MSM) structures, active electrodes (e.g., Ag, Cu) generate metal ions by an electrical potential (M → Mn+ + ne−). Subsequently, ions migrate through the van der Waals gaps [32, 33] or surfaces [34] of 2D functional layer before being progressively reduced to form ultrathin conductive filaments connecting the two electrodes, triggering a current spike. The potential leakage may originate from the thermal diffusion of ions. Upon removal of the electric field, these ultrathin conductive filaments spontaneously dissipate, corresponding to the reset phase. This process is defined as electrochemical metallization (ECM) [35], which is governed by electric field strength, temperature, and material defects. Alternatively, intrinsic vacancies in the function layer are driven to migrate directionally by the electric field or thermal excitation. Functioning as charge traps or ion transport pathways, these vacancies dynamically modulate local conductivity. This vacancy-dominated TS mechanism is referred to as the valence change mechanism (VCM) [36, 37]. In practice, intrinsic kinetic coupling exists between metal ions and vacancies. The provision of diffusion pathways for metal ions by intrinsic defects in 2D materials (e.g., vacancies, grain boundaries) significantly lowers the activation energy for migration, directly resulting in faster switching speeds and near-biological energy efficiency [38–41]. Building on this kinetic correlation, Qin et al. enabled the controlled formation of Ag conductive filaments in SnSe (Fig. 5a) [42]. The quantity and spatial position of Ag conductive filaments are modulated by the dynamic distribution of Sn vacancies, generating stochastic threshold voltages that closely emulate the flexibility of biological neuronal firing. In addition, the formation and rupture locations of conductive filaments vary depending on the local electrical conductivity, defect distribution, and interface properties of 2D materials.Fig. 5Artificial neuron mechanisms and electrical characteristics. a, b Ion-migration neurons: a Schematic illustration of the Ag/SnSe/Au device and the TS mechanism. b Cross section schematic of the MoS2-based TS device and high- and low-resistance switching mechanisms. Reproduced with permission [43]. Copyright (2024), Wiley–VCH GmbH. c, d Phase-change neurons: c Electrical measurement results of fabricated Pt/VSe2/Pt memristors before and after annealing, with corresponding phase transition schematics. Reproduced with permission [47]. Copyright (2024), The Royal Society of Chemistry. d Atomic structure of the four phases of 1 T-TaS2. e Cross section and schematic structure of the 1 T-TaS2 oscillator. f\nI-V characteristics of the 1 T-TaS2 device under different bias conditions. Reproduced with permission [48]. Copyright (2021), American Chemical Society. g, k Impact-ionization neuron: g Schematic representation of the 2D WSe2 impact ionization device. h Transient current characteristics of the channel under fixed source–drain bias with varying gate voltages. i Spiking frequency and energy consumption of the device with varying gate voltages. Reproduced with permission [49]. Copyright (2025), Wiley–VCH GmbH. j Schematic of WSe2/graphene heterostructure impact ionization device and the TS mechanism. k A sharp increase in current due to impact ionization. Reproduced with permission [50]. Copyright (2023), The Royal Society of Chemistry. l, m Charge-trapping neurons: l Structure of the MoS2-based neuron. m Energy band diagrams illustrating the working mechanism corresponding to the LIF process. Reproduced with permission [15]. Copyright (2022), American Chemical Society. n, o Doped neuron: n Schematic illustration of the MoS2 neuristor and the TS mechanism. o Integrate-and-fire function of the MoS2 neuristor under stimulation by input and clock signals. Reproduced with permission [52]. Copyright (2019), American Chemical Society\nArtificial neuron mechanisms and electrical characteristics. a, b Ion-migration neurons: a Schematic illustration of the Ag/SnSe/Au device and the TS mechanism. b Cross section schematic of the MoS2-based TS device and high- and low-resistance switching mechanisms. Reproduced with permission [43]. Copyright (2024), Wiley–VCH GmbH. c, d Phase-change neurons: c Electrical measurement results of fabricated Pt/VSe2/Pt memristors before and after annealing, with corresponding phase transition schematics. Reproduced with permission [47]. Copyright (2024), The Royal Society of Chemistry. d Atomic structure of the four phases of 1 T-TaS2. e Cross section and schematic structure of the 1 T-TaS2 oscillator. f\nI-V characteristics of the 1 T-TaS2 device under different bias conditions. Reproduced with permission [48]. Copyright (2021), American Chemical Society. g, k Impact-ionization neuron: g Schematic representation of the 2D WSe2 impact ionization device. h Transient current characteristics of the channel under fixed source–drain bias with varying gate voltages. i Spiking frequency and energy consumption of the device with varying gate voltages. Reproduced with permission [49]. Copyright (2025), Wiley–VCH GmbH. j Schematic of WSe2/graphene heterostructure impact ionization device and the TS mechanism. k A sharp increase in current due to impact ionization. Reproduced with permission [50]. Copyright (2023), The Royal Society of Chemistry. l, m Charge-trapping neurons: l Structure of the MoS2-based neuron. m Energy band diagrams illustrating the working mechanism corresponding to the LIF process. Reproduced with permission [15]. Copyright (2022), American Chemical Society. n, o Doped neuron: n Schematic illustration of the MoS2 neuristor and the TS mechanism. o Integrate-and-fire function of the MoS2 neuristor under stimulation by input and clock signals. Reproduced with permission [52]. Copyright (2019), American Chemical Society\nMoreover, Cruces et al. developed a lateral MoS2 device (Fig. 5b) [43] utilizing a distinct mechanism that differs from continuous filament formation. This design achieves repeatable volatile resistance switching through controlled Ag+ surface migration across multilayer MoS2. When the device is initially in the HRS, low-concentration extended clusters of Ag nanoparticles or Ag2S distribute across the MoS2 surface, exhibiting Poole–Frenkel hopping conduction. Applied bias increases Ag concentration, thereby modifying the band structure of MoS2 to shift conduction from localized state hopping to a space-charge-limited conduction mechanism, resulting in a transition to the LRS with significantly enhanced current.\nCertain 2D materials exhibit reversible phase transitions in response to external stimuli, closely emulating the stimulus-firing behavior of biological neurons. Specifically, when input signals exceed the phase-change critical threshold, the material undergoes a rapid phase transition, inducing abrupt changes in conductivity that emulate neuronal action potential firing. This process typically involves coupled electronic and structural phase transitions through energy accumulation. These structural transitions primarily involve lattice rearrangement and symmetry breaking, while electronic phase transitions entail significant band structure reconstruction and altered electronic correlation effects [44–46]. As shown in Fig. 5c, Zhong et al. demonstrated that annealed VSe2 undergoes atomic rearrangement to form a 2H phase with AB stacking sequence [47]. Voltage-induced Joule heating then converts it to a 1T phase with AA stacking, inducing TS behavior in the device. In addition, Liu et al. reported that the neuronal oscillation mechanism involves electric-field-driven switching between nearly commensurate and incommensurate phases in 1T-TaS2 films. This system exhibits biologically realistic stochastic firing behavior originating from melt-quench-induced reconfiguration of charge density wave domains (Fig. 5d–f) [48]. The reset phase in phase-change neurons occurs through thermal dissipation mechanisms that gradually restore the initial state.\nImpact ionization neurons represent another class of devices based on the semiconductor avalanche effect. Under a strong electric field, charge carriers are accelerated and gain sufficient kinetic energy, which leads to collision ionization with lattice atoms and triggers an avalanche multiplication of carrier concentration. This process enables energy-efficient spike generation in a short transient period, thereby simulating the integration-fire behavior of biological neurons. Lee’s team demonstrated an impact ionization field-effect transistor neuron using WSe2 as the channel material (Fig. 5g–i) [49]. When the applied bias (Vgs = − 0.4 V, Vds = 2 V) exceeds the critical field strength in ungated regions, carrier kinetic energy surpasses the impact ionization threshold, triggering an exponential current surge (Phase A) that emulates action potential firing. As carrier density increases in the channel, enhanced carrier–carrier scattering and stochastic collisions cause more energy loss, requiring a higher bias voltage to sustain impact ionization. This results in a more gradual increase in current during Phase B. Upon withdrawing the gate electric field, carrier depletion enables automatic reset to the initial state. This reliable and repeatable LIF behavior demonstrates functional spiking neuron operation. Notably, this neuron device exhibits spiking behavior at a low critical field, a 565 ns transient response, and an energy consumption of approximately 2 pJ per spike, all enabled by the high impact ionization coefficient of WSe2. Similar impact ionization TS was reported in their other work using a two-terminal vertically stacked WSe2/graphene heterostructure [50]. When the bias exceeds the avalanche breakdown voltage (~ 1.2 V), an abrupt current surge occurs via carrier multiplication (Fig. 5j, k). However, these neuronal devices require further optimization, such as precise electric field control to prevent irreversible breakdown, moderate bandgap engineering to balance impact ionization efficiency and leakage current, as well as fatigue resistance and thermal management for stable high-frequency pulsed operation.\nThe charge-trapping and detrapping processes can effectively emulate neuronal integration, firing and leaking. As demonstrated by Huo et al., a quasi-volatile MoS2 neuron utilizing charge trapping and Schottky barrier modulation is shown in Fig. 5l, m [15]. Charge carriers injected from the terminal electrodes become trapped at defects in the dielectric layer, driving neuronal integration. When the accumulated charge reaches the transistor’s threshold voltage, channel carriers are abruptly triggered, generating a spiking pulse. Upon voltage removal, charges trapped in shallow-level defects spontaneously de-trap, governing the reset process. Additionally, Wang et al. proposed an alternative approach using source–drain voltage to manipulate carrier tunneling into floating-gate layers for channel activation [51]. This configuration establishes a positive feedback loop between source-injected current, impact ionization, and floating-gate potential, significantly enhancing tunneling efficiency to produce abrupt TS behavior.\nA doping-based neuron operates by introducing charges or ions into the resistive switching layer through external stimuli, resulting in a transient change of state. Bao et al. demonstrated a method where Li⁺ in the top gate electrolyte migrates under applied voltage, inducing reversible electrochemical doping of the channel layer that dynamically modulates its threshold voltage. The bottom-gate clock signals then regulate drain current spiking through field-effect control, as illustrated in Fig. 5n, o [52].\nIn practice, the information integrated by artificial neurons is encoded in output signal amplitude, frequency, waveform characteristics, among others. These output characteristics are modulated by the input signals, synaptic activity, and the neuronal intrinsic plasticity. Among them, neuronal intrinsic plasticity is achieved through amplification of excitatory postsynaptic potentials, adjustment of spike threshold, and alteration of resting membrane potential. Some initial hardware implementations of neural intrinsic plasticity have already been explored. An IF neuron module based on wafer-scale monolayer MoS2 films that can adaptively regulate the neuronal membrane resting potential for time-to-first-spike encoding by emulating the intrinsic plasticity of neurons has been developed by Zhou’s group [53]. Moreover, several studies have replicated adaptive threshold regulation ability through approaches such as external circuit control [54], functional material doping [52], defect engineering [55, 56], and modality control [57, 58]. For instance, a threshold-type memristor utilizing the 2D V2C/V2O5−x heterojunction has been demonstrated [58]. The device exhibits a threshold voltage that can be linearly tuned by the power density and the wavelength of near-infrared light, a feature enabled by the strong NIR absorption of V2C and the volatile switching induced by oxygen vacancies in V2O5−x. Lee et al. showed electric-field-driven Ag⁺ migration that dynamically modulates trap-state density in GeSe2 channels, enabling continuous threshold voltage adjustment [55]. Overall, artificial neurons based on different device architectures and materials exhibit distinct response mechanisms. Neuronal excitability and signal integration efficiency can also be regulated through intrinsic plasticity, thereby optimizing input–output relationships. For a more detailed comparative analysis, Table 1 summarizes the operating principles and performances of the reported 2D material-based neuronal devices.\nTable 1Mechanisms and performances of artificial neuron devices based on 2D materialsMaterialsConstructionMechanismNeuron modelThreshold (V)On/off ratioEnergy or power consumption(per spike)Multimodal (yes/no)ReferencesITO/2D TiOx/Au1Ma/LIF − 1.9 to − 2.21095 nJN[59]Ag/MoS2/TiW1MECMLIF0.9 to1.5 ~ 1051.4 μWN[60]Ag/Ag (NPs)/MXene/ITO1MECMIF ~ 0.93103/Y[61]Ag/O-MXene/SiO2/Si1MECM/VCMIF2.83 × 104Without/With light: 74 μJ/25 μJY[62]Cu/MXene/Cu1MECMLIF ~ 0.68/20 nJN[63]Ag/MoS2/Au1M + 1Cb2RcECMLIF ~ 0.35 to 0.4106/N[64]Al/Ag/MoS2/Pd1MECMLIF ~ 2.1//N[43]Ag/SnSe/Au1MECMLIF < 0.6 ~ 104/N[42]Au/Ag/Al2O3/Gra/MoS2/SiO21MECMLIF ~ 0.17 ~ 106/N[65]Ag/Ti/GaSe/Pt/Ti1M + 1C2RECM/VCMLIF ~ 0.3 to0.42 (without Ar plasma) ~ 0.4–0.75 (with Ar plasma) ~ 106 ~ 105/N[66]Cu/SnS2/Cu1MECM/VCMIF0.394/N[56]Ag/Ti/HfSe2-xOy/Pt1M + 1C1R + feedback circuitsECM andInterfacial EngineeringLIF0.42–0.65 ~ 106/N[67]Ni/Graphene/v-MoS2/Ni1M + 1C3RIon MigrationIF2.9–4 > 1028 μWN[68]Au/CuInP2S6/Cu1MIon MigrationLIF ~ 0.82107/N[69]Cu/CuInP2S6/Graphene1MIon Migration/ ~ 0.8104/N[14]Ag/MXene (V2C)/W1MECM/Joule Heat EffectLIF ~ 3.1//N[70]Ag/MXene/GST/Pt1MECMIF0.38 > 103/N[71]Au/Pd/1 T-TaS2/SiO21M + 1C1RPhase TransitionOscillation0.823–0.84//N[48]Pt/VSe2/Pt1MPhase TransitionLIF ~ 1.46/ ~ − 1.5 > 10/N[47]Au/WSe2/AuAu (TG)1MImpact IonizationLIFVgs = − 0.37 (@Vds = 2)/2 pJN[49]Au/Graphene/WSe2/Au1MImpact Ionization/ ~ 1.2//N[50]Au/MoS2/AuHfOx (dielectric)TiN (BG)1MCharge trappingLIFVds > ± 3103/N[15]Drain/ZnPc-modified MoS2/Sourcegraphene (FG)Si (BG)1MCharge trapping and impact ionizationIFVds = 6.5108/N[51]Au(D)/MoS2/Au(S)PEO:LiClO4 (TG)n+Si (BG)1MElectrochemical DopingIFVgs = 0.9 to 1.2//N[52]aM Memristive device, bC Capacitor, cR Resistor, dVds Drain–source voltage, eVgs Gate–source voltage, fTG Top gate, gBG Bottom gate, hFG Float gate\nMechanisms and performances of artificial neuron devices based on 2D materials\n~ 0.3 to\n0.42 (without Ar plasma)\n~ 0.4–0.75 (with Ar plasma)\n~ 106\n~ 105\nECM and\nInterfacial Engineering\nAu/WSe2/Au\nAu (TG)\nAu/MoS2/Au\nHfOx (dielectric)\nTiN (BG)\nDrain/ZnPc-modified MoS2/Source\ngraphene (FG)\nSi (BG)\nAu(D)/MoS2/Au(S)\nPEO:LiClO4 (TG)\nn+Si (BG)\naM Memristive device, bC Capacitor, cR Resistor, dVds Drain–source voltage, eVgs Gate–source voltage, fTG Top gate, gBG Bottom gate, hFG Float gate\n\n\n### Ion Migration Neurons\nIon migration dynamics represent one of the most widely utilized mechanisms in current 2D material-based neuron devices, which encompasses two categories: metal ion migration and vacancy migration. In metal–semiconductor–metal (MSM) structures, active electrodes (e.g., Ag, Cu) generate metal ions by an electrical potential (M → Mn+ + ne−). Subsequently, ions migrate through the van der Waals gaps [32, 33] or surfaces [34] of 2D functional layer before being progressively reduced to form ultrathin conductive filaments connecting the two electrodes, triggering a current spike. The potential leakage may originate from the thermal diffusion of ions. Upon removal of the electric field, these ultrathin conductive filaments spontaneously dissipate, corresponding to the reset phase. This process is defined as electrochemical metallization (ECM) [35], which is governed by electric field strength, temperature, and material defects. Alternatively, intrinsic vacancies in the function layer are driven to migrate directionally by the electric field or thermal excitation. Functioning as charge traps or ion transport pathways, these vacancies dynamically modulate local conductivity. This vacancy-dominated TS mechanism is referred to as the valence change mechanism (VCM) [36, 37]. In practice, intrinsic kinetic coupling exists between metal ions and vacancies. The provision of diffusion pathways for metal ions by intrinsic defects in 2D materials (e.g., vacancies, grain boundaries) significantly lowers the activation energy for migration, directly resulting in faster switching speeds and near-biological energy efficiency [38–41]. Building on this kinetic correlation, Qin et al. enabled the controlled formation of Ag conductive filaments in SnSe (Fig. 5a) [42]. The quantity and spatial position of Ag conductive filaments are modulated by the dynamic distribution of Sn vacancies, generating stochastic threshold voltages that closely emulate the flexibility of biological neuronal firing. In addition, the formation and rupture locations of conductive filaments vary depending on the local electrical conductivity, defect distribution, and interface properties of 2D materials.Fig. 5Artificial neuron mechanisms and electrical characteristics. a, b Ion-migration neurons: a Schematic illustration of the Ag/SnSe/Au device and the TS mechanism. b Cross section schematic of the MoS2-based TS device and high- and low-resistance switching mechanisms. Reproduced with permission [43]. Copyright (2024), Wiley–VCH GmbH. c, d Phase-change neurons: c Electrical measurement results of fabricated Pt/VSe2/Pt memristors before and after annealing, with corresponding phase transition schematics. Reproduced with permission [47]. Copyright (2024), The Royal Society of Chemistry. d Atomic structure of the four phases of 1 T-TaS2. e Cross section and schematic structure of the 1 T-TaS2 oscillator. f\nI-V characteristics of the 1 T-TaS2 device under different bias conditions. Reproduced with permission [48]. Copyright (2021), American Chemical Society. g, k Impact-ionization neuron: g Schematic representation of the 2D WSe2 impact ionization device. h Transient current characteristics of the channel under fixed source–drain bias with varying gate voltages. i Spiking frequency and energy consumption of the device with varying gate voltages. Reproduced with permission [49]. Copyright (2025), Wiley–VCH GmbH. j Schematic of WSe2/graphene heterostructure impact ionization device and the TS mechanism. k A sharp increase in current due to impact ionization. Reproduced with permission [50]. Copyright (2023), The Royal Society of Chemistry. l, m Charge-trapping neurons: l Structure of the MoS2-based neuron. m Energy band diagrams illustrating the working mechanism corresponding to the LIF process. Reproduced with permission [15]. Copyright (2022), American Chemical Society. n, o Doped neuron: n Schematic illustration of the MoS2 neuristor and the TS mechanism. o Integrate-and-fire function of the MoS2 neuristor under stimulation by input and clock signals. Reproduced with permission [52]. Copyright (2019), American Chemical Society\nArtificial neuron mechanisms and electrical characteristics. a, b Ion-migration neurons: a Schematic illustration of the Ag/SnSe/Au device and the TS mechanism. b Cross section schematic of the MoS2-based TS device and high- and low-resistance switching mechanisms. Reproduced with permission [43]. Copyright (2024), Wiley–VCH GmbH. c, d Phase-change neurons: c Electrical measurement results of fabricated Pt/VSe2/Pt memristors before and after annealing, with corresponding phase transition schematics. Reproduced with permission [47]. Copyright (2024), The Royal Society of Chemistry. d Atomic structure of the four phases of 1 T-TaS2. e Cross section and schematic structure of the 1 T-TaS2 oscillator. f\nI-V characteristics of the 1 T-TaS2 device under different bias conditions. Reproduced with permission [48]. Copyright (2021), American Chemical Society. g, k Impact-ionization neuron: g Schematic representation of the 2D WSe2 impact ionization device. h Transient current characteristics of the channel under fixed source–drain bias with varying gate voltages. i Spiking frequency and energy consumption of the device with varying gate voltages. Reproduced with permission [49]. Copyright (2025), Wiley–VCH GmbH. j Schematic of WSe2/graphene heterostructure impact ionization device and the TS mechanism. k A sharp increase in current due to impact ionization. Reproduced with permission [50]. Copyright (2023), The Royal Society of Chemistry. l, m Charge-trapping neurons: l Structure of the MoS2-based neuron. m Energy band diagrams illustrating the working mechanism corresponding to the LIF process. Reproduced with permission [15]. Copyright (2022), American Chemical Society. n, o Doped neuron: n Schematic illustration of the MoS2 neuristor and the TS mechanism. o Integrate-and-fire function of the MoS2 neuristor under stimulation by input and clock signals. Reproduced with permission [52]. Copyright (2019), American Chemical Society\nMoreover, Cruces et al. developed a lateral MoS2 device (Fig. 5b) [43] utilizing a distinct mechanism that differs from continuous filament formation. This design achieves repeatable volatile resistance switching through controlled Ag+ surface migration across multilayer MoS2. When the device is initially in the HRS, low-concentration extended clusters of Ag nanoparticles or Ag2S distribute across the MoS2 surface, exhibiting Poole–Frenkel hopping conduction. Applied bias increases Ag concentration, thereby modifying the band structure of MoS2 to shift conduction from localized state hopping to a space-charge-limited conduction mechanism, resulting in a transition to the LRS with significantly enhanced current.\n\n\n### Phase-Change Neurons\nCertain 2D materials exhibit reversible phase transitions in response to external stimuli, closely emulating the stimulus-firing behavior of biological neurons. Specifically, when input signals exceed the phase-change critical threshold, the material undergoes a rapid phase transition, inducing abrupt changes in conductivity that emulate neuronal action potential firing. This process typically involves coupled electronic and structural phase transitions through energy accumulation. These structural transitions primarily involve lattice rearrangement and symmetry breaking, while electronic phase transitions entail significant band structure reconstruction and altered electronic correlation effects [44–46]. As shown in Fig. 5c, Zhong et al. demonstrated that annealed VSe2 undergoes atomic rearrangement to form a 2H phase with AB stacking sequence [47]. Voltage-induced Joule heating then converts it to a 1T phase with AA stacking, inducing TS behavior in the device. In addition, Liu et al. reported that the neuronal oscillation mechanism involves electric-field-driven switching between nearly commensurate and incommensurate phases in 1T-TaS2 films. This system exhibits biologically realistic stochastic firing behavior originating from melt-quench-induced reconfiguration of charge density wave domains (Fig. 5d–f) [48]. The reset phase in phase-change neurons occurs through thermal dissipation mechanisms that gradually restore the initial state.\n\n\n### Impact Ionization Neurons\nImpact ionization neurons represent another class of devices based on the semiconductor avalanche effect. Under a strong electric field, charge carriers are accelerated and gain sufficient kinetic energy, which leads to collision ionization with lattice atoms and triggers an avalanche multiplication of carrier concentration. This process enables energy-efficient spike generation in a short transient period, thereby simulating the integration-fire behavior of biological neurons. Lee’s team demonstrated an impact ionization field-effect transistor neuron using WSe2 as the channel material (Fig. 5g–i) [49]. When the applied bias (Vgs = − 0.4 V, Vds = 2 V) exceeds the critical field strength in ungated regions, carrier kinetic energy surpasses the impact ionization threshold, triggering an exponential current surge (Phase A) that emulates action potential firing. As carrier density increases in the channel, enhanced carrier–carrier scattering and stochastic collisions cause more energy loss, requiring a higher bias voltage to sustain impact ionization. This results in a more gradual increase in current during Phase B. Upon withdrawing the gate electric field, carrier depletion enables automatic reset to the initial state. This reliable and repeatable LIF behavior demonstrates functional spiking neuron operation. Notably, this neuron device exhibits spiking behavior at a low critical field, a 565 ns transient response, and an energy consumption of approximately 2 pJ per spike, all enabled by the high impact ionization coefficient of WSe2. Similar impact ionization TS was reported in their other work using a two-terminal vertically stacked WSe2/graphene heterostructure [50]. When the bias exceeds the avalanche breakdown voltage (~ 1.2 V), an abrupt current surge occurs via carrier multiplication (Fig. 5j, k). However, these neuronal devices require further optimization, such as precise electric field control to prevent irreversible breakdown, moderate bandgap engineering to balance impact ionization efficiency and leakage current, as well as fatigue resistance and thermal management for stable high-frequency pulsed operation.\n\n\n### Charge-Trapping Neurons\nThe charge-trapping and detrapping processes can effectively emulate neuronal integration, firing and leaking. As demonstrated by Huo et al., a quasi-volatile MoS2 neuron utilizing charge trapping and Schottky barrier modulation is shown in Fig. 5l, m [15]. Charge carriers injected from the terminal electrodes become trapped at defects in the dielectric layer, driving neuronal integration. When the accumulated charge reaches the transistor’s threshold voltage, channel carriers are abruptly triggered, generating a spiking pulse. Upon voltage removal, charges trapped in shallow-level defects spontaneously de-trap, governing the reset process. Additionally, Wang et al. proposed an alternative approach using source–drain voltage to manipulate carrier tunneling into floating-gate layers for channel activation [51]. This configuration establishes a positive feedback loop between source-injected current, impact ionization, and floating-gate potential, significantly enhancing tunneling efficiency to produce abrupt TS behavior.\n\n\n### Doped Neurons\nA doping-based neuron operates by introducing charges or ions into the resistive switching layer through external stimuli, resulting in a transient change of state. Bao et al. demonstrated a method where Li⁺ in the top gate electrolyte migrates under applied voltage, inducing reversible electrochemical doping of the channel layer that dynamically modulates its threshold voltage. The bottom-gate clock signals then regulate drain current spiking through field-effect control, as illustrated in Fig. 5n, o [52].\nIn practice, the information integrated by artificial neurons is encoded in output signal amplitude, frequency, waveform characteristics, among others. These output characteristics are modulated by the input signals, synaptic activity, and the neuronal intrinsic plasticity. Among them, neuronal intrinsic plasticity is achieved through amplification of excitatory postsynaptic potentials, adjustment of spike threshold, and alteration of resting membrane potential. Some initial hardware implementations of neural intrinsic plasticity have already been explored. An IF neuron module based on wafer-scale monolayer MoS2 films that can adaptively regulate the neuronal membrane resting potential for time-to-first-spike encoding by emulating the intrinsic plasticity of neurons has been developed by Zhou’s group [53]. Moreover, several studies have replicated adaptive threshold regulation ability through approaches such as external circuit control [54], functional material doping [52], defect engineering [55, 56], and modality control [57, 58]. For instance, a threshold-type memristor utilizing the 2D V2C/V2O5−x heterojunction has been demonstrated [58]. The device exhibits a threshold voltage that can be linearly tuned by the power density and the wavelength of near-infrared light, a feature enabled by the strong NIR absorption of V2C and the volatile switching induced by oxygen vacancies in V2O5−x. Lee et al. showed electric-field-driven Ag⁺ migration that dynamically modulates trap-state density in GeSe2 channels, enabling continuous threshold voltage adjustment [55]. Overall, artificial neurons based on different device architectures and materials exhibit distinct response mechanisms. Neuronal excitability and signal integration efficiency can also be regulated through intrinsic plasticity, thereby optimizing input–output relationships. For a more detailed comparative analysis, Table 1 summarizes the operating principles and performances of the reported 2D material-based neuronal devices.\nTable 1Mechanisms and performances of artificial neuron devices based on 2D materialsMaterialsConstructionMechanismNeuron modelThreshold (V)On/off ratioEnergy or power consumption(per spike)Multimodal (yes/no)ReferencesITO/2D TiOx/Au1Ma/LIF − 1.9 to − 2.21095 nJN[59]Ag/MoS2/TiW1MECMLIF0.9 to1.5 ~ 1051.4 μWN[60]Ag/Ag (NPs)/MXene/ITO1MECMIF ~ 0.93103/Y[61]Ag/O-MXene/SiO2/Si1MECM/VCMIF2.83 × 104Without/With light: 74 μJ/25 μJY[62]Cu/MXene/Cu1MECMLIF ~ 0.68/20 nJN[63]Ag/MoS2/Au1M + 1Cb2RcECMLIF ~ 0.35 to 0.4106/N[64]Al/Ag/MoS2/Pd1MECMLIF ~ 2.1//N[43]Ag/SnSe/Au1MECMLIF < 0.6 ~ 104/N[42]Au/Ag/Al2O3/Gra/MoS2/SiO21MECMLIF ~ 0.17 ~ 106/N[65]Ag/Ti/GaSe/Pt/Ti1M + 1C2RECM/VCMLIF ~ 0.3 to0.42 (without Ar plasma) ~ 0.4–0.75 (with Ar plasma) ~ 106 ~ 105/N[66]Cu/SnS2/Cu1MECM/VCMIF0.394/N[56]Ag/Ti/HfSe2-xOy/Pt1M + 1C1R + feedback circuitsECM andInterfacial EngineeringLIF0.42–0.65 ~ 106/N[67]Ni/Graphene/v-MoS2/Ni1M + 1C3RIon MigrationIF2.9–4 > 1028 μWN[68]Au/CuInP2S6/Cu1MIon MigrationLIF ~ 0.82107/N[69]Cu/CuInP2S6/Graphene1MIon Migration/ ~ 0.8104/N[14]Ag/MXene (V2C)/W1MECM/Joule Heat EffectLIF ~ 3.1//N[70]Ag/MXene/GST/Pt1MECMIF0.38 > 103/N[71]Au/Pd/1 T-TaS2/SiO21M + 1C1RPhase TransitionOscillation0.823–0.84//N[48]Pt/VSe2/Pt1MPhase TransitionLIF ~ 1.46/ ~ − 1.5 > 10/N[47]Au/WSe2/AuAu (TG)1MImpact IonizationLIFVgs = − 0.37 (@Vds = 2)/2 pJN[49]Au/Graphene/WSe2/Au1MImpact Ionization/ ~ 1.2//N[50]Au/MoS2/AuHfOx (dielectric)TiN (BG)1MCharge trappingLIFVds > ± 3103/N[15]Drain/ZnPc-modified MoS2/Sourcegraphene (FG)Si (BG)1MCharge trapping and impact ionizationIFVds = 6.5108/N[51]Au(D)/MoS2/Au(S)PEO:LiClO4 (TG)n+Si (BG)1MElectrochemical DopingIFVgs = 0.9 to 1.2//N[52]aM Memristive device, bC Capacitor, cR Resistor, dVds Drain–source voltage, eVgs Gate–source voltage, fTG Top gate, gBG Bottom gate, hFG Float gate\nMechanisms and performances of artificial neuron devices based on 2D materials\n~ 0.3 to\n0.42 (without Ar plasma)\n~ 0.4–0.75 (with Ar plasma)\n~ 106\n~ 105\nECM and\nInterfacial Engineering\nAu/WSe2/Au\nAu (TG)\nAu/MoS2/Au\nHfOx (dielectric)\nTiN (BG)\nDrain/ZnPc-modified MoS2/Source\ngraphene (FG)\nSi (BG)\nAu(D)/MoS2/Au(S)\nPEO:LiClO4 (TG)\nn+Si (BG)\naM Memristive device, bC Capacitor, cR Resistor, dVds Drain–source voltage, eVgs Gate–source voltage, fTG Top gate, gBG Bottom gate, hFG Float gate\n\n\n### 2D Materials-based Dedicated Artificial Synapses\nAs critical components in neural networks, artificial synaptic handle the core functions of information transmission, processing, and memory. Leveraging 2D materials as a frontier platform, related studies are promoting the precise emulation of biological synaptic behavior through the key path of mechanism innovation and performance optimization. This involves unraveling novel mechanisms at the atomic scale while building upon established ones to develop more versatile, high-performance, and highly energy-efficient synaptic hardware.\nThe core attributes of artificial synaptic devices lie in their non-volatile memory and continuous conductance modulation, enabling data processing and computation. To date, researchers have elucidated several key mechanisms based on the performance and characterization of 2D material-based synapses:\nThis mechanism of artificial synapse also follows ECM/VCM, mentioned earlier, controlling the resistance state through the formation of conductive pathways [72–75]. Although artificial synapses and neurons share fundamental operating mechanisms, their distinct functional specifications lead to divergent filament dynamics. In contrast to the transient filament formation in neuronal devices, the conductive filaments in synaptic devices exhibit retention and gradual dissolution upon withdrawal of the electrical stimulus, attributable to characteristics of the input signals, the dielectric material, or the filament composition. This non-volatile characteristic enables continuous modulation of the synaptic conductance, which is controlled by the quantity [76], thickness [16], and spatial distribution [77] of the conductive pathways bridging the electrodes, as illustrated in Fig. 6a. Additionally, functional buffer layers are often employed to optimize gradual synaptic switching behavior [78, 79]. The effectiveness of this approach is demonstrated in a novel GO/Py-salt/GO trilayer memristor for controlled conductive filament ordering. The uniform Py-salt interlayer effectively serves as a buffering interlayer to regulate metal ion migration and filament growth, enabling progressive conductance modulation and stable bidirectional tuning [79].Fig. 6Schematic illustrations of intrinsic mechanisms in various artificial synaptic devices. a Conductive filament synapses. Electric-field-driven Conductive filament gradual formation and dissolution via active metal ion or vacancy migration enables synaptic plasticity emulation. b Phase-change synapses. Reversible interphase transitions induce conductance modulation in artificial synapses. c Ferroelectric synapses. Synaptic weight modulation through reversible ferroelectric polarization switching. d Spintronic synapse. The magnetic state of the magnetic layer is typically modulated by STT or SOT. e Charge modulation synapses. The biological synaptic behavior is achieved by controlling charge distribution, storage, and release states\nSchematic illustrations of intrinsic mechanisms in various artificial synaptic devices. a Conductive filament synapses. Electric-field-driven Conductive filament gradual formation and dissolution via active metal ion or vacancy migration enables synaptic plasticity emulation. b Phase-change synapses. Reversible interphase transitions induce conductance modulation in artificial synapses. c Ferroelectric synapses. Synaptic weight modulation through reversible ferroelectric polarization switching. d Spintronic synapse. The magnetic state of the magnetic layer is typically modulated by STT or SOT. e Charge modulation synapses. The biological synaptic behavior is achieved by controlling charge distribution, storage, and release states\nThe utilization of phase transition properties in 2D materials provides effective strategies for emulating synaptic functions. In widely investigated layered phase-change materials such as MoTe2 and MoS2, phase transitions between semiconductor and metallic phase [80], or between crystalline and amorphous states [81], can be controllably induced by various stimuli including irradiations [82, 83], electric fields [84, 85], doping [86, 87], pressure [88], and thermal activation [89, 90] (Fig. 6b). Such non-volatile progressive modulation of conductance states is attributed to the appropriate growth and shrinkage of the crystalline phase [91], thereby facilitating synaptic weight update and memory retention. Although relying on a similar phase-change mechanism, the slow, cumulative response of synaptic devices stands in contrast to the transient dynamics of neuronal elements. This functional differentiation depends on the intrinsic purity of the material and the stability of its metastable states [44, 92]. Furthermore, leveraging such tunability provides a design strategy for achieving reconfigurable neuromorphic functionalities within a unified material system.\n2D ferroelectric materials with asymmetric structures exhibit macroscopic spontaneous polarization [93]. The polarization can be switched by an external electric field while retaining the altered state. Such ferroelectric polarization is widely utilized in two-terminal and three-terminal memristive devices, as shown in Fig. 6c. Wang et al. fabricated a second-order memristor based on 2D SnSe thin films, where ferroelectric polarization of SnSe modulates the interfacial barrier at the SnSe/NSTO junction to emulate biological synaptic properties (Fig. 6c(i)) [94]. In the ferroelectric synaptic transistor, ferroelectric materials are often used as the gate dielectric, where only polarization-bound charges exist, and polarization switching is employed to modulate the channel conductance (Fig. 6c(ii)) [95]. Additionally, transistors utilizing the 2D ferroelectric semiconductor α-In2Se3 as channel material have also been demonstrated to effectively emulate synaptic plasticity. This functionality relies on the controllable and cumulative effects of ferroelectric polarization, enabled by direct control of channel polarization switching through the gate (Fig. 6c(iii)) [96].\nThe nonlinear and non-volatile spin dynamics fundamentally enable magneto-resistive devices to exhibit synaptic behaviors. Typically, the magnetic states (magnetization direction or magnetic domains) of the magnetic layer can be modulated by spin-transfer torque (STT) or spin–orbit torque (SOT). The alteration in magnetic states is transformed into changes in resistance through the magnetoresistance effect, thereby emulating the plasticity of synaptic weights (as shown in Fig. 6d). Consequently, a series of spin-electronic synaptic devices based on 2D materials with relatively high Curie temperatures and strong perpendicular magnetic anisotropy have been developed. Representative work by Yang et al., device resistance correlates pronouncedly with magnetic domain wall numbers, decreasing as walls are eliminated. Current-driven manipulation of domain wall density in Fe3GeTe2 enables reconfigurable spin structures and multi-state resistive switching. The device further supports reversible resetting of both domain walls and resistance through high-amplitude pulse-induced thermal demagnetization, thereby reproducing biological synaptic strengthening and weakening processes [97]. Moreover, by exploiting SOT-driven magnetization switching in a Bi2Te3/CrTe2 heterostructure, Huang et al. also achieved multi-state tuning of the Hall resistance, demonstrating highly linear and symmetric long-term potentiation and depression [98].\nCharge modulation synapses operate through the injection, storage, and release of charge. External stimuli control this process to alter the barrier heights or carrier concentrations within the device, thereby modulating the continuous conductance of the synaptic device. Several charge-modulation approaches have been extensively explored for synaptic devices, including employing floating gates, charge-trapping layers, electric-double-layer structures, and film interfaces. In floating-gate transistors, electrons tunnel from the channel into the floating gate and become trapped (Fig. 6e(i)). The stored charge modulates channel conductivity, thereby emulating synaptic weight plasticity [99]. Given the availability of 2D materials spanning from metals to insulators, all-2D floating-gate synaptic devices can be designed and fabricated utilizing metallic materials like graphene as the floating gate, insulating materials like h-BN as the tunneling layer, and semiconducting materials as the channel layer [100, 101]. Several studies have achieved modulation of channel carrier concentration by designing charge-trapping layers (Fig. 6e(ii)) [102–104]. For instance, in a MoS2/GaPS4 heterojunction transistor, MoS2 serves as the readout layer while GaPS4 functions as the charge-trapping layer [102]. When a positive gate pulse is applied, electrons from MoS2 overcome the interface barrier and are trapped in defect states within the GaPS4 layer. Upon removal of the positive gate pulse, these electrons remain confined in the defect states of the GaPS4 layer. The trapped electrons generate a negative electric field in the MoS2 channel, thereby reducing the channel current. Conversely, a negative gate pulse results in a continuous increase in the channel current. Moreover, the realization of an electric-double-layer (EDL) synaptic transistor relies on the migration and rearrangement of ions within an electrolyte under the gate bias. When a gate voltage is applied, ions in the electrolyte migrate directionally to form an EDL at the channel/electrolyte interface, a process analogous to the diffusion of neurotransmitters across a synaptic cleft [105]. Such EDL induces a strong electrostatic doping effect in the channel, thereby modulating its conductivity [106, 107] (Fig. 6e(iii)). In addition to electrical control, optically induced ion-gating effects have also been validated. For instance, in the approach proposed by Jeong et al., the photogating effect on MoS2 induces ion migration within the dynamic cation reservoir provided by the SA layer, thereby modulating the persistent photoconductivity (PPC) behavior. This ion-mediated PPC can simulate synaptic plasticity that responds to the 680 nm illumination [108]. Another approach to modulating charge for synaptic behavior involves controlling the charge distribution at the interface, thereby altering the energy barrier (Fig. 6e(iv)). For instance, in a MoSe2/MoS2 heterojunction-based memristor, a type-II heterojunction naturally forms due to the difference in their Fermi levels. A high energy barrier exists at the heterojunction interface, hindering the free movement of electrons. When a positive voltage is applied, S2− gradually accumulates at the MoSe2/MoS2 interface. This charge accumulation induces band bending at the heterojunction, effectively reducing the height of the interface barrier. As a result, electrons can easily traverse the interface, leading to a sharp increase in current and switching the device to LRS. Erasure is achieved by applying a negative voltage to drive the accumulated sulfide ions away from the interface [109].\nIn current artificial synaptic device research, performance evaluation criteria often rely on biological behavior fidelity. First, changes in the electrical properties of the postsynaptic membrane are a key indicator of synaptic transmission. Applying an action potential to the gate of a synaptic memtransistor (or to the electrodes of a memristor) or delivering optical stimulation to the channel layer can induce potential changes that are similar to biological postsynaptic currents (PSC). The modulation of PSC is categorized into excitation and inhibition (EPSC and IPSC), which can be readily replicated by bipolar-voltage-controlled [110] or unipolar-voltage amplitude-controlled [111] electronic synapses and optoelectronic hybrid synapses [112, 113] (refer to Fig. 7a). Notably, most photonic synapses designed for bionic vision robotics are unable to achieve simultaneous facilitation and inhibition through simple polarity switching. Researchers build their hopes on light-pulse frequency and energy to achieve dual photonic modulation capability [114–116]. The filtering effect of the MoS2 channel on different optical pulse frequencies was demonstrated by Jiang et al., as shown in Fig. 7b [115]. Due to the differences in relaxation times of photogenerated carriers, high-frequency photons induce current superposition in MoS2 channels through the photoelectric effect, while the photogenerated carriers from low-frequency photons undergo prolonged trapping that manifests synaptic depression behavior. Figure 7c demonstrates a bidirectional modulation effect that implements synaptic excitation and inhibition, achieved by leveraging photon-energy-dependent control of carrier concentrations [116].Fig. 7Performance metrics of artificial synapses. a Excitatory and inhibitory postsynaptic current (EPSC/IPSC) characteristics of artificial synaptic devices. b Synaptic weight as a function of presynaptic optical pulse frequency. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. c EPSC and IPSC responses under 266 and 658 nm optical stimulation. Reproduced with permission [116]. Copyright (2024), American Chemical Society. d High PPF behavior decomposition of a light-stimulated synaptic transistor. Reproduced with permission [117]. Copyright (2022), Wiley–VCH GmbH. e Normalized conductance for a potentiation and depression cycle under varying voltage pulse amplitudes. Reproduced with permission [12]. Copyright (2021), Wiley–VCH GmbH. f Synaptic weight changes as a function of spatiotemporally correlated inputs. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. g Biological BCM Curve Schematic. h A memristor response to consecutive spike trains with various frequencies. Reproduced with permission [124]. Copyright (2022), Wiley–VCH GmbH. i–l Synaptic plasticity implemented through modulation of various spike parameters, including pulse amplitude, duration, number, and rate. Reproduced with permission [132]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [125]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [133]. Copyright (2023), Wiley–VCH GmbH. m Normalized excitatory PSCs post-erasure at varying voltages. n Energy consumption for relearning after erasure at different voltages. o Classical conditioning simulation using ultraviolet light and electrical pulses as food and bell signals for associative learning. p Comparison of power consumption of various electronic and optoelectronic synapses in recent reports [12, 101, 121, 129, 130, 134–145]\nPerformance metrics of artificial synapses. a Excitatory and inhibitory postsynaptic current (EPSC/IPSC) characteristics of artificial synaptic devices. b Synaptic weight as a function of presynaptic optical pulse frequency. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. c EPSC and IPSC responses under 266 and 658 nm optical stimulation. Reproduced with permission [116]. Copyright (2024), American Chemical Society. d High PPF behavior decomposition of a light-stimulated synaptic transistor. Reproduced with permission [117]. Copyright (2022), Wiley–VCH GmbH. e Normalized conductance for a potentiation and depression cycle under varying voltage pulse amplitudes. Reproduced with permission [12]. Copyright (2021), Wiley–VCH GmbH. f Synaptic weight changes as a function of spatiotemporally correlated inputs. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. g Biological BCM Curve Schematic. h A memristor response to consecutive spike trains with various frequencies. Reproduced with permission [124]. Copyright (2022), Wiley–VCH GmbH. i–l Synaptic plasticity implemented through modulation of various spike parameters, including pulse amplitude, duration, number, and rate. Reproduced with permission [132]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [125]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [133]. Copyright (2023), Wiley–VCH GmbH. m Normalized excitatory PSCs post-erasure at varying voltages. n Energy consumption for relearning after erasure at different voltages. o Classical conditioning simulation using ultraviolet light and electrical pulses as food and bell signals for associative learning. p Comparison of power consumption of various electronic and optoelectronic synapses in recent reports [12, 101, 121, 129, 130, 134–145]\nThe emulation of synaptic plasticity constitutes another significant objective in the design of artificial synapses. It is the key to the hardware realization of brain-like learning and memory functions. Among them, the paired-pulse facilitation (PPF) and the paired-pulse depression (PPD) serve as fundamental behaviors of STP. High-precision synaptic devices capable of rapid visual processing and real-time information decoding rely on ultrahigh PPF indices. Han et al. reported that introducing an ultrathin carrier-modulation layer of hexagonal h-BN into graphene hybrid structures yields an ultrahigh PPF index (~ 196%) [117], as shown in Fig. 7d. The h-BN layer’s buffering effect on photogenerated carriers induces gradual Fermi-level lowering in graphene to enable this enhanced facilitation behavior. In addition, high linearity and symmetry in synaptic long-term potentiation (LTP) and long-term depression (LTD) responses are essential figures of merit for efficient backpropagation training of neural networks [118–120]. Simultaneously, this characteristic eliminates peripheral circuit-induced delays and power overhead, enabling ultralow-energy synaptic operation and low error rate in neural network implementations (Fig. 7e) [12]. The frequency, amplitude, and intersignal intervals of input stimuli often encode critical information. Multiple pulse parameter-dependent plasticity mechanisms, including spike-timing-dependent plasticity (STDP), spike-amplitude-dependent plasticity (SADP), spike-duration-dependent plasticity (SDDP), spike-number-dependent plasticity (SNDP), and spike-rate-dependent plasticity (SRDP), are necessary for emulation in artificial synaptic device development. STDP is a typical synaptic modulation method rooted in Hebbian learning rules [120–122]. The precise temporal sequence and interval between two pulses govern current intensity changes in the channel (or resistive switching layer), enabling fine-tuned control of interneuronal connection strength (as shown in Fig. 7f) [115]. However, a limitation of classical Hebbian learning rules lies in their lack of synaptic weight constraints, which may lead to an unexpected system crash. In contrast, the rule of Bienenstock–Cooper–Munro (BCM) introduces the global activity level of neurons [123]. As shown in Fig. 7g, h, identical inputs can elicit opposing effects under different historical frequencies, as the frequency threshold dynamically adapts based on prior activity levels. This adaptive regulation is a critical mechanism to prevent neural system damage caused by unbounded synaptic weight growth, which was experimentally confirmed in a MoS2/WSe2 heterostructure memtransistor [124]. Synaptic weight modulation is further contingent upon the amplitude and duration of the applied pulse. The amplitude determines the write energy intensity, while the pulse duration affects the kinetic processes, including carrier transport, phase transition, or polarization reversal, among others (Fig. 7i, j). In studies of SNDP and SRDP, repeated high-frequency stimuli drive synapses through iterative learning–forgetting–relearning cycles, ultimately achieving long-term memory (LTM) consolidation (Fig. 7k, l). Based on the aforementioned plasticity mechanisms, certain complex biological neural activities, such as immune responses and conditioned reflexes, can be emulated at the hardware level [125]. As shown in Fig. 7m, n, after 400 negative pulses of learning, different amplitudes of positive electrical signals were applied for erasure. Higher amplitudes resulted in lower residual PSC values post-erasure, consequently demanding greater energy expenditure during the relearning phase. This relearning process is similar to a form of sensitization, a protective mechanism by which organisms respond to injury. Another prominent example of emulation is the Pavlov’s dog conditioned reflex experiment, in which electrical and optical stimuli represent the neutral cue (bell) and the unconditioned signal (food). The coordination of these pulses by the artificial synapse enables it to learn to respond to the neutral cue with a change in conductance, demonstrating associative learning through training, acquisition, and forgetting processes (Fig. 7o).\nNotably, reducing energy consumption is crucial to driving the development of brain-inspired computing technologies. This requires a fundamental reduction in the operating voltage and response current, alongside an enhancement in the response speed of devices. To date, artificial synaptic devices constructed from 2D materials have achieved energy consumption at the femtojoule (fJ) or even lower, which is comparable to that of a single biological synaptic event (~ 10 fJ) [126]. In conductive filament synapses, the low-energy barrier channels provided by the interlayer gaps of 2D materials enable ions to move by overcoming weak van der Waals forces, forming conductive filaments as fine as atomic chains, which can reduce the energy consumption of a single operation to the zeptojoule (1 zJ = 10–21 J) level [32]. 2D ferroelectric and spintronic synaptic devices offer a switching route by leveraging the ultralow-energy motion of domain walls at the atomic scale. They operate at reduced voltages, avoiding the high coercive fields of conventional ferroelectric films and greatly diminishing the power demand in synaptic weight modulation. The low-dimensional architecture of phase-change materials enables attojoule-level switching energy by drastically reducing the thermal energy input and current density required to induce the phase transition. In addition, heterostructure engineering and device architecture design based on 2D materials can also effectively reduce the power consumption of synaptic devices. For instance, in electrolyte-gated synaptic devices, the ultrathin 2D channel offers exceptional gate control efficiency. Meanwhile, the electric double layer formed at the electrolyte interface features a high capacitance per unit area. Thus, such transistors can induce a high carrier density in the channel under low gate voltages, enabling low-voltage and high-precision conductance modulation. [106]. The floating-gate structure has also been widely demonstrated to exhibit low operating voltage and superior charge storage capability [99, 127, 128]. A novel WSe2/MoS2 heterojunction channel achieves a steeper subthreshold swing compared to monolayer channels. When the channel simulates synaptic behavior under 500 ns electrical stimulation pulses, its energy consumption per potentiation event reaches as low as 9 aJ (1 aJ = 10–18 J) [129]. However, the non-ideal operation speed of floating-gate transistors poses a fundamental limitation to minimizing energy consumption per operation. The Han’s team ingeniously proposed a polarized tunneling transistor structure based on an MoS2/Trap/PZT heterojunction. Without a tunneling layer, it achieves an ultrafast operation speed of 20 ns, enabling a synaptic weight update energy consumption of only 0.2 aJ [130]. Additionally, tunnel field-effect transistors utilize a gate-controlled PN junction to enable band-to-band tunneling, which allows for an ultra-steep subthreshold swing and a significant reduction in operating voltage [131].\nThe relationship between power consumption and device size cannot be overlooked either. For example, in interface-dependent memristors, miniaturizing the active region can effectively enhance the local electric field intensity and provide more efficient driving force. For devices that the conductance modulation within the functional material, the benefits of miniaturization mainly come from shortening the physical path for ion migration or charge transport, thereby reducing the operating voltage and response time. Moreover, high-density integration reduces the average interconnect distance between units, lowering the parasitic capacitance and resistance of the interconnects, resulting in reduced dynamic energy consumption for signal transmission. However, the continuous miniaturization still faces problems such as excessive leakage current, increased contact resistance, thermal management, and amplification of process fluctuations. Therefore, a rational balance should be made among device size, performance, and reliability. A systematic comparison of synaptic energy consumption across representative studies is presented in Fig. 7p. The star symbol marks the biological synaptic benchmark (10 fJ per synaptic event), highlighting the breakthrough potential of 2D materials artificial synaptic designs in energy efficiency. Table 2 presents a summary of the key mechanisms and performances of 2D material-based synaptic devices.\nTable 2Mechanisms and performances of artificial synapse devices based on 2D materialsMechanismMaterialsConstructionSynaptic plasticityOn/off ratioEnergy or power consumption (per spike)StatesSymmetric ratio/linearityAvailability of stimuliApplicationReferencesConductive FilamentAu/h-BN/GaN2-TerminalLTPa/LTD/Multi-state modulation ~ 6.5/6nonlinearity factors = 0.487/2.012ElectricMNIST image recognition[146]Cu/HfOx/BP/Pt2-TerminalSTP/LTD/PPF/SNDP ~ 102/4/Electric + OpticalImage recognition/Artificial Vision Systems[147]Ag/Bi2O2Se/Au2-TerminalLTP/PPF/STDP ~ 1033.02 pJ/asymmetric ratio = 0.29ElectricMNIST image recognition[121]Ag/MoTe2/ITO2-TerminalSTDP/PPF/LTP/LTD/SNDP874.2 pJ//ElectricDecimal arithmetic function[148]Cu/2H-MoTe2/Si2-TerminalPPF/LTP/LTD/STDP ~ 130.86 μW/linearity = 0.93ElectricDecimal counting/adding functions[149]Ag/GeSe/Au2-TerminalLTP/LTD/PPF ~ 7003.5 nJ/562 pJ (excitation/inhibition)180/ElectricHandwritten digit recognition[150]Pd/WS2/Pt2-TerminalPPF/STDP/SRDP/SDDP/STDP/PPF/299.8 fJ/125.6 fJ (excitation/inhibition) ≥ 4/Electric/[151]Au/TiOx/MoS2-xOx/Au2-TerminalLTP/LTD/Multi-state modulation ~ 7/64CLTP/CLTDb = 1.7%/1.3%ElectricMNIST image recognition[152]Phase transitionAu/LixMoS2/Au2-TerminalMemristive switching ~ 50///Electric/[80]Ag–Ni/MoTe2/Ag–Ni2-TerminalMemristive switching108150 aJ//Electric + Strain/[153]Au/Ag-intercalated MoTe2/Au2-TerminalLTP/LTD/Multi-state modulation2 × 105/ ~ 80 states per μm2nonlinearity factors = 0.5 ~ 0.6ElectricMNIST image recognition[154]Au/Cu2S/Au2-TerminalLTP/LTD/Multi-state modulation102 ~ 1042.64 pJ ≥ 5/ElectricGesture recognition[155]Ferroelectric effectAu/SnS2/CuInP2S6/h-BN/AuAu (BGc)3-TerminalPPF/SDDP/SNDP/LTP/LTD > 1063.06 pJ//ElectricIntelligent Vehicle Target Recognition / Robotic Manipulation[156]Graphene/CuVP2S6/Graphene2-TerminalLTP/LTD/PPF/PPD/SADP/SNDP/SDDP//214/Electric + OpticalHand written letter recognition/Neural machine translation[157]Au/SnSe/NSTO2-TerminalPPF/PPD/SNDP/SADP/STDP/66 fJ//Electric/[94]Au/α-In2Se3/AuAu (TGd)P++-Si (BG)3-TerminalLTD/LTP/SADP/SRDP > 103234 fJ/40 fJ(excitation/inhibition)//Electric + ThermalIris recognition and classification[96]Au/NbOI2/Au2-TerminalPPF/SADP/SNDP/SRDP/SDDP////Optical + StrainFingerprint Image Enhancement and Recognition[158]SpintronicsPtCx/Fe3GeTe2/PtCx2-TerminalLTP/Multi-state modulation//8/ElectricMNIST image recognition[97]Au/Bi2Te3/CrTe2/Au2-TerminalLTP/LTD/Multi-state modulation1010 ~ 100 fJ18linearity error = 4.19%ElectricMNIST image recognition[98]Charge modulationAu/MoS2/GaPS4/Aun-Si (BG)3-TerminalLTP/LTD/PPF/SADP/SDDP/SNDP105/8/Electric + OpticalMNIST image recognition[159]Au/graphene/AuPVDF-TrFE (n-Gel Gate Dielectrics)Au (BG)3-TerminalLTP/LTD/PPF/SADP/SRDP/SNDP/SDDP////StrainElectronic skin[160]Au/InSe/Au2-TerminalPPF/SADP/SRDP/STDP/BCM/1.1 fJ//ElectricClassical conditioning/Image edge recognition[135]Au/MoS2/Aup-Si (BG)3-TerminalPPF/SADP/SNDP/SDDP > 105 ~ 63 pJ/ ~ 1.85 nJ//Electric + OpticalClassical conditioning/signal self-denoising[161]Au/BP/AuITO (TG)HfO2 (FGe)3-TerminalMulti-state modulation ~ 200/ ≥ 8/36(Electric/optical)/Electric + OpticalImaging with in-sensor computing for edge detection/image recognition[162]Au/MoS2/AuGraphene (FG)3-TerminalLTP/LTD/SVDP/SDDP/SNDP10818 fJ131nonlinearity factors = 0.18/-0.29ElectricMNIST image recognition[12]aLTP Long-term potentiation, bCLTP and CLTD Cycle-to-cycle variations of LTP and LTD process, cBG Bottom gate, dTG Top gate, eFG Float gate\nMechanisms and performances of artificial synapse devices based on 2D materials\nAu/SnS2/CuInP2S6/h-BN/Au\nAu (BGc)\nAu/α-In2Se3/Au\nAu (TGd)\nP++-Si (BG)\n234 fJ/40 fJ\n(excitation/inhibition)\nAu/MoS2/GaPS4/Au\nn-Si (BG)\nAu/graphene/Au\nPVDF-TrFE (n-Gel Gate Dielectrics)\nAu (BG)\nAu/MoS2/Au\np-Si (BG)\nAu/BP/Au\nITO (TG)\nHfO2 (FGe)\n≥ 8/36\n(Electric/optical)\nAu/MoS2/Au\nGraphene (FG)\naLTP Long-term potentiation, bCLTP and CLTD Cycle-to-cycle variations of LTP and LTD process, cBG Bottom gate, dTG Top gate, eFG Float gate\n\n\n### Mechanisms of Artificial Synapse Devices\nThe core attributes of artificial synaptic devices lie in their non-volatile memory and continuous conductance modulation, enabling data processing and computation. To date, researchers have elucidated several key mechanisms based on the performance and characterization of 2D material-based synapses:\nThis mechanism of artificial synapse also follows ECM/VCM, mentioned earlier, controlling the resistance state through the formation of conductive pathways [72–75]. Although artificial synapses and neurons share fundamental operating mechanisms, their distinct functional specifications lead to divergent filament dynamics. In contrast to the transient filament formation in neuronal devices, the conductive filaments in synaptic devices exhibit retention and gradual dissolution upon withdrawal of the electrical stimulus, attributable to characteristics of the input signals, the dielectric material, or the filament composition. This non-volatile characteristic enables continuous modulation of the synaptic conductance, which is controlled by the quantity [76], thickness [16], and spatial distribution [77] of the conductive pathways bridging the electrodes, as illustrated in Fig. 6a. Additionally, functional buffer layers are often employed to optimize gradual synaptic switching behavior [78, 79]. The effectiveness of this approach is demonstrated in a novel GO/Py-salt/GO trilayer memristor for controlled conductive filament ordering. The uniform Py-salt interlayer effectively serves as a buffering interlayer to regulate metal ion migration and filament growth, enabling progressive conductance modulation and stable bidirectional tuning [79].Fig. 6Schematic illustrations of intrinsic mechanisms in various artificial synaptic devices. a Conductive filament synapses. Electric-field-driven Conductive filament gradual formation and dissolution via active metal ion or vacancy migration enables synaptic plasticity emulation. b Phase-change synapses. Reversible interphase transitions induce conductance modulation in artificial synapses. c Ferroelectric synapses. Synaptic weight modulation through reversible ferroelectric polarization switching. d Spintronic synapse. The magnetic state of the magnetic layer is typically modulated by STT or SOT. e Charge modulation synapses. The biological synaptic behavior is achieved by controlling charge distribution, storage, and release states\nSchematic illustrations of intrinsic mechanisms in various artificial synaptic devices. a Conductive filament synapses. Electric-field-driven Conductive filament gradual formation and dissolution via active metal ion or vacancy migration enables synaptic plasticity emulation. b Phase-change synapses. Reversible interphase transitions induce conductance modulation in artificial synapses. c Ferroelectric synapses. Synaptic weight modulation through reversible ferroelectric polarization switching. d Spintronic synapse. The magnetic state of the magnetic layer is typically modulated by STT or SOT. e Charge modulation synapses. The biological synaptic behavior is achieved by controlling charge distribution, storage, and release states\nThe utilization of phase transition properties in 2D materials provides effective strategies for emulating synaptic functions. In widely investigated layered phase-change materials such as MoTe2 and MoS2, phase transitions between semiconductor and metallic phase [80], or between crystalline and amorphous states [81], can be controllably induced by various stimuli including irradiations [82, 83], electric fields [84, 85], doping [86, 87], pressure [88], and thermal activation [89, 90] (Fig. 6b). Such non-volatile progressive modulation of conductance states is attributed to the appropriate growth and shrinkage of the crystalline phase [91], thereby facilitating synaptic weight update and memory retention. Although relying on a similar phase-change mechanism, the slow, cumulative response of synaptic devices stands in contrast to the transient dynamics of neuronal elements. This functional differentiation depends on the intrinsic purity of the material and the stability of its metastable states [44, 92]. Furthermore, leveraging such tunability provides a design strategy for achieving reconfigurable neuromorphic functionalities within a unified material system.\n2D ferroelectric materials with asymmetric structures exhibit macroscopic spontaneous polarization [93]. The polarization can be switched by an external electric field while retaining the altered state. Such ferroelectric polarization is widely utilized in two-terminal and three-terminal memristive devices, as shown in Fig. 6c. Wang et al. fabricated a second-order memristor based on 2D SnSe thin films, where ferroelectric polarization of SnSe modulates the interfacial barrier at the SnSe/NSTO junction to emulate biological synaptic properties (Fig. 6c(i)) [94]. In the ferroelectric synaptic transistor, ferroelectric materials are often used as the gate dielectric, where only polarization-bound charges exist, and polarization switching is employed to modulate the channel conductance (Fig. 6c(ii)) [95]. Additionally, transistors utilizing the 2D ferroelectric semiconductor α-In2Se3 as channel material have also been demonstrated to effectively emulate synaptic plasticity. This functionality relies on the controllable and cumulative effects of ferroelectric polarization, enabled by direct control of channel polarization switching through the gate (Fig. 6c(iii)) [96].\nThe nonlinear and non-volatile spin dynamics fundamentally enable magneto-resistive devices to exhibit synaptic behaviors. Typically, the magnetic states (magnetization direction or magnetic domains) of the magnetic layer can be modulated by spin-transfer torque (STT) or spin–orbit torque (SOT). The alteration in magnetic states is transformed into changes in resistance through the magnetoresistance effect, thereby emulating the plasticity of synaptic weights (as shown in Fig. 6d). Consequently, a series of spin-electronic synaptic devices based on 2D materials with relatively high Curie temperatures and strong perpendicular magnetic anisotropy have been developed. Representative work by Yang et al., device resistance correlates pronouncedly with magnetic domain wall numbers, decreasing as walls are eliminated. Current-driven manipulation of domain wall density in Fe3GeTe2 enables reconfigurable spin structures and multi-state resistive switching. The device further supports reversible resetting of both domain walls and resistance through high-amplitude pulse-induced thermal demagnetization, thereby reproducing biological synaptic strengthening and weakening processes [97]. Moreover, by exploiting SOT-driven magnetization switching in a Bi2Te3/CrTe2 heterostructure, Huang et al. also achieved multi-state tuning of the Hall resistance, demonstrating highly linear and symmetric long-term potentiation and depression [98].\nCharge modulation synapses operate through the injection, storage, and release of charge. External stimuli control this process to alter the barrier heights or carrier concentrations within the device, thereby modulating the continuous conductance of the synaptic device. Several charge-modulation approaches have been extensively explored for synaptic devices, including employing floating gates, charge-trapping layers, electric-double-layer structures, and film interfaces. In floating-gate transistors, electrons tunnel from the channel into the floating gate and become trapped (Fig. 6e(i)). The stored charge modulates channel conductivity, thereby emulating synaptic weight plasticity [99]. Given the availability of 2D materials spanning from metals to insulators, all-2D floating-gate synaptic devices can be designed and fabricated utilizing metallic materials like graphene as the floating gate, insulating materials like h-BN as the tunneling layer, and semiconducting materials as the channel layer [100, 101]. Several studies have achieved modulation of channel carrier concentration by designing charge-trapping layers (Fig. 6e(ii)) [102–104]. For instance, in a MoS2/GaPS4 heterojunction transistor, MoS2 serves as the readout layer while GaPS4 functions as the charge-trapping layer [102]. When a positive gate pulse is applied, electrons from MoS2 overcome the interface barrier and are trapped in defect states within the GaPS4 layer. Upon removal of the positive gate pulse, these electrons remain confined in the defect states of the GaPS4 layer. The trapped electrons generate a negative electric field in the MoS2 channel, thereby reducing the channel current. Conversely, a negative gate pulse results in a continuous increase in the channel current. Moreover, the realization of an electric-double-layer (EDL) synaptic transistor relies on the migration and rearrangement of ions within an electrolyte under the gate bias. When a gate voltage is applied, ions in the electrolyte migrate directionally to form an EDL at the channel/electrolyte interface, a process analogous to the diffusion of neurotransmitters across a synaptic cleft [105]. Such EDL induces a strong electrostatic doping effect in the channel, thereby modulating its conductivity [106, 107] (Fig. 6e(iii)). In addition to electrical control, optically induced ion-gating effects have also been validated. For instance, in the approach proposed by Jeong et al., the photogating effect on MoS2 induces ion migration within the dynamic cation reservoir provided by the SA layer, thereby modulating the persistent photoconductivity (PPC) behavior. This ion-mediated PPC can simulate synaptic plasticity that responds to the 680 nm illumination [108]. Another approach to modulating charge for synaptic behavior involves controlling the charge distribution at the interface, thereby altering the energy barrier (Fig. 6e(iv)). For instance, in a MoSe2/MoS2 heterojunction-based memristor, a type-II heterojunction naturally forms due to the difference in their Fermi levels. A high energy barrier exists at the heterojunction interface, hindering the free movement of electrons. When a positive voltage is applied, S2− gradually accumulates at the MoSe2/MoS2 interface. This charge accumulation induces band bending at the heterojunction, effectively reducing the height of the interface barrier. As a result, electrons can easily traverse the interface, leading to a sharp increase in current and switching the device to LRS. Erasure is achieved by applying a negative voltage to drive the accumulated sulfide ions away from the interface [109].\n\n\n### Conductive Filament Synapses\nThis mechanism of artificial synapse also follows ECM/VCM, mentioned earlier, controlling the resistance state through the formation of conductive pathways [72–75]. Although artificial synapses and neurons share fundamental operating mechanisms, their distinct functional specifications lead to divergent filament dynamics. In contrast to the transient filament formation in neuronal devices, the conductive filaments in synaptic devices exhibit retention and gradual dissolution upon withdrawal of the electrical stimulus, attributable to characteristics of the input signals, the dielectric material, or the filament composition. This non-volatile characteristic enables continuous modulation of the synaptic conductance, which is controlled by the quantity [76], thickness [16], and spatial distribution [77] of the conductive pathways bridging the electrodes, as illustrated in Fig. 6a. Additionally, functional buffer layers are often employed to optimize gradual synaptic switching behavior [78, 79]. The effectiveness of this approach is demonstrated in a novel GO/Py-salt/GO trilayer memristor for controlled conductive filament ordering. The uniform Py-salt interlayer effectively serves as a buffering interlayer to regulate metal ion migration and filament growth, enabling progressive conductance modulation and stable bidirectional tuning [79].Fig. 6Schematic illustrations of intrinsic mechanisms in various artificial synaptic devices. a Conductive filament synapses. Electric-field-driven Conductive filament gradual formation and dissolution via active metal ion or vacancy migration enables synaptic plasticity emulation. b Phase-change synapses. Reversible interphase transitions induce conductance modulation in artificial synapses. c Ferroelectric synapses. Synaptic weight modulation through reversible ferroelectric polarization switching. d Spintronic synapse. The magnetic state of the magnetic layer is typically modulated by STT or SOT. e Charge modulation synapses. The biological synaptic behavior is achieved by controlling charge distribution, storage, and release states\nSchematic illustrations of intrinsic mechanisms in various artificial synaptic devices. a Conductive filament synapses. Electric-field-driven Conductive filament gradual formation and dissolution via active metal ion or vacancy migration enables synaptic plasticity emulation. b Phase-change synapses. Reversible interphase transitions induce conductance modulation in artificial synapses. c Ferroelectric synapses. Synaptic weight modulation through reversible ferroelectric polarization switching. d Spintronic synapse. The magnetic state of the magnetic layer is typically modulated by STT or SOT. e Charge modulation synapses. The biological synaptic behavior is achieved by controlling charge distribution, storage, and release states\n\n\n### Phase Change Synapses\nThe utilization of phase transition properties in 2D materials provides effective strategies for emulating synaptic functions. In widely investigated layered phase-change materials such as MoTe2 and MoS2, phase transitions between semiconductor and metallic phase [80], or between crystalline and amorphous states [81], can be controllably induced by various stimuli including irradiations [82, 83], electric fields [84, 85], doping [86, 87], pressure [88], and thermal activation [89, 90] (Fig. 6b). Such non-volatile progressive modulation of conductance states is attributed to the appropriate growth and shrinkage of the crystalline phase [91], thereby facilitating synaptic weight update and memory retention. Although relying on a similar phase-change mechanism, the slow, cumulative response of synaptic devices stands in contrast to the transient dynamics of neuronal elements. This functional differentiation depends on the intrinsic purity of the material and the stability of its metastable states [44, 92]. Furthermore, leveraging such tunability provides a design strategy for achieving reconfigurable neuromorphic functionalities within a unified material system.\n\n\n### Ferroelectric Synapses\n2D ferroelectric materials with asymmetric structures exhibit macroscopic spontaneous polarization [93]. The polarization can be switched by an external electric field while retaining the altered state. Such ferroelectric polarization is widely utilized in two-terminal and three-terminal memristive devices, as shown in Fig. 6c. Wang et al. fabricated a second-order memristor based on 2D SnSe thin films, where ferroelectric polarization of SnSe modulates the interfacial barrier at the SnSe/NSTO junction to emulate biological synaptic properties (Fig. 6c(i)) [94]. In the ferroelectric synaptic transistor, ferroelectric materials are often used as the gate dielectric, where only polarization-bound charges exist, and polarization switching is employed to modulate the channel conductance (Fig. 6c(ii)) [95]. Additionally, transistors utilizing the 2D ferroelectric semiconductor α-In2Se3 as channel material have also been demonstrated to effectively emulate synaptic plasticity. This functionality relies on the controllable and cumulative effects of ferroelectric polarization, enabled by direct control of channel polarization switching through the gate (Fig. 6c(iii)) [96].\n\n\n### Spintronic Synapses\nThe nonlinear and non-volatile spin dynamics fundamentally enable magneto-resistive devices to exhibit synaptic behaviors. Typically, the magnetic states (magnetization direction or magnetic domains) of the magnetic layer can be modulated by spin-transfer torque (STT) or spin–orbit torque (SOT). The alteration in magnetic states is transformed into changes in resistance through the magnetoresistance effect, thereby emulating the plasticity of synaptic weights (as shown in Fig. 6d). Consequently, a series of spin-electronic synaptic devices based on 2D materials with relatively high Curie temperatures and strong perpendicular magnetic anisotropy have been developed. Representative work by Yang et al., device resistance correlates pronouncedly with magnetic domain wall numbers, decreasing as walls are eliminated. Current-driven manipulation of domain wall density in Fe3GeTe2 enables reconfigurable spin structures and multi-state resistive switching. The device further supports reversible resetting of both domain walls and resistance through high-amplitude pulse-induced thermal demagnetization, thereby reproducing biological synaptic strengthening and weakening processes [97]. Moreover, by exploiting SOT-driven magnetization switching in a Bi2Te3/CrTe2 heterostructure, Huang et al. also achieved multi-state tuning of the Hall resistance, demonstrating highly linear and symmetric long-term potentiation and depression [98].\n\n\n### Charge Modulation Synapses\nCharge modulation synapses operate through the injection, storage, and release of charge. External stimuli control this process to alter the barrier heights or carrier concentrations within the device, thereby modulating the continuous conductance of the synaptic device. Several charge-modulation approaches have been extensively explored for synaptic devices, including employing floating gates, charge-trapping layers, electric-double-layer structures, and film interfaces. In floating-gate transistors, electrons tunnel from the channel into the floating gate and become trapped (Fig. 6e(i)). The stored charge modulates channel conductivity, thereby emulating synaptic weight plasticity [99]. Given the availability of 2D materials spanning from metals to insulators, all-2D floating-gate synaptic devices can be designed and fabricated utilizing metallic materials like graphene as the floating gate, insulating materials like h-BN as the tunneling layer, and semiconducting materials as the channel layer [100, 101]. Several studies have achieved modulation of channel carrier concentration by designing charge-trapping layers (Fig. 6e(ii)) [102–104]. For instance, in a MoS2/GaPS4 heterojunction transistor, MoS2 serves as the readout layer while GaPS4 functions as the charge-trapping layer [102]. When a positive gate pulse is applied, electrons from MoS2 overcome the interface barrier and are trapped in defect states within the GaPS4 layer. Upon removal of the positive gate pulse, these electrons remain confined in the defect states of the GaPS4 layer. The trapped electrons generate a negative electric field in the MoS2 channel, thereby reducing the channel current. Conversely, a negative gate pulse results in a continuous increase in the channel current. Moreover, the realization of an electric-double-layer (EDL) synaptic transistor relies on the migration and rearrangement of ions within an electrolyte under the gate bias. When a gate voltage is applied, ions in the electrolyte migrate directionally to form an EDL at the channel/electrolyte interface, a process analogous to the diffusion of neurotransmitters across a synaptic cleft [105]. Such EDL induces a strong electrostatic doping effect in the channel, thereby modulating its conductivity [106, 107] (Fig. 6e(iii)). In addition to electrical control, optically induced ion-gating effects have also been validated. For instance, in the approach proposed by Jeong et al., the photogating effect on MoS2 induces ion migration within the dynamic cation reservoir provided by the SA layer, thereby modulating the persistent photoconductivity (PPC) behavior. This ion-mediated PPC can simulate synaptic plasticity that responds to the 680 nm illumination [108]. Another approach to modulating charge for synaptic behavior involves controlling the charge distribution at the interface, thereby altering the energy barrier (Fig. 6e(iv)). For instance, in a MoSe2/MoS2 heterojunction-based memristor, a type-II heterojunction naturally forms due to the difference in their Fermi levels. A high energy barrier exists at the heterojunction interface, hindering the free movement of electrons. When a positive voltage is applied, S2− gradually accumulates at the MoSe2/MoS2 interface. This charge accumulation induces band bending at the heterojunction, effectively reducing the height of the interface barrier. As a result, electrons can easily traverse the interface, leading to a sharp increase in current and switching the device to LRS. Erasure is achieved by applying a negative voltage to drive the accumulated sulfide ions away from the interface [109].\n\n\n### Performance Metrics for Artificial Synapses\nIn current artificial synaptic device research, performance evaluation criteria often rely on biological behavior fidelity. First, changes in the electrical properties of the postsynaptic membrane are a key indicator of synaptic transmission. Applying an action potential to the gate of a synaptic memtransistor (or to the electrodes of a memristor) or delivering optical stimulation to the channel layer can induce potential changes that are similar to biological postsynaptic currents (PSC). The modulation of PSC is categorized into excitation and inhibition (EPSC and IPSC), which can be readily replicated by bipolar-voltage-controlled [110] or unipolar-voltage amplitude-controlled [111] electronic synapses and optoelectronic hybrid synapses [112, 113] (refer to Fig. 7a). Notably, most photonic synapses designed for bionic vision robotics are unable to achieve simultaneous facilitation and inhibition through simple polarity switching. Researchers build their hopes on light-pulse frequency and energy to achieve dual photonic modulation capability [114–116]. The filtering effect of the MoS2 channel on different optical pulse frequencies was demonstrated by Jiang et al., as shown in Fig. 7b [115]. Due to the differences in relaxation times of photogenerated carriers, high-frequency photons induce current superposition in MoS2 channels through the photoelectric effect, while the photogenerated carriers from low-frequency photons undergo prolonged trapping that manifests synaptic depression behavior. Figure 7c demonstrates a bidirectional modulation effect that implements synaptic excitation and inhibition, achieved by leveraging photon-energy-dependent control of carrier concentrations [116].Fig. 7Performance metrics of artificial synapses. a Excitatory and inhibitory postsynaptic current (EPSC/IPSC) characteristics of artificial synaptic devices. b Synaptic weight as a function of presynaptic optical pulse frequency. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. c EPSC and IPSC responses under 266 and 658 nm optical stimulation. Reproduced with permission [116]. Copyright (2024), American Chemical Society. d High PPF behavior decomposition of a light-stimulated synaptic transistor. Reproduced with permission [117]. Copyright (2022), Wiley–VCH GmbH. e Normalized conductance for a potentiation and depression cycle under varying voltage pulse amplitudes. Reproduced with permission [12]. Copyright (2021), Wiley–VCH GmbH. f Synaptic weight changes as a function of spatiotemporally correlated inputs. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. g Biological BCM Curve Schematic. h A memristor response to consecutive spike trains with various frequencies. Reproduced with permission [124]. Copyright (2022), Wiley–VCH GmbH. i–l Synaptic plasticity implemented through modulation of various spike parameters, including pulse amplitude, duration, number, and rate. Reproduced with permission [132]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [125]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [133]. Copyright (2023), Wiley–VCH GmbH. m Normalized excitatory PSCs post-erasure at varying voltages. n Energy consumption for relearning after erasure at different voltages. o Classical conditioning simulation using ultraviolet light and electrical pulses as food and bell signals for associative learning. p Comparison of power consumption of various electronic and optoelectronic synapses in recent reports [12, 101, 121, 129, 130, 134–145]\nPerformance metrics of artificial synapses. a Excitatory and inhibitory postsynaptic current (EPSC/IPSC) characteristics of artificial synaptic devices. b Synaptic weight as a function of presynaptic optical pulse frequency. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. c EPSC and IPSC responses under 266 and 658 nm optical stimulation. Reproduced with permission [116]. Copyright (2024), American Chemical Society. d High PPF behavior decomposition of a light-stimulated synaptic transistor. Reproduced with permission [117]. Copyright (2022), Wiley–VCH GmbH. e Normalized conductance for a potentiation and depression cycle under varying voltage pulse amplitudes. Reproduced with permission [12]. Copyright (2021), Wiley–VCH GmbH. f Synaptic weight changes as a function of spatiotemporally correlated inputs. Reproduced with permission [115]. Copyright (2019), Royal society of chemistry. g Biological BCM Curve Schematic. h A memristor response to consecutive spike trains with various frequencies. Reproduced with permission [124]. Copyright (2022), Wiley–VCH GmbH. i–l Synaptic plasticity implemented through modulation of various spike parameters, including pulse amplitude, duration, number, and rate. Reproduced with permission [132]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [125]. Copyright (2021), Wiley–VCH GmbH. Reproduced with permission [133]. Copyright (2023), Wiley–VCH GmbH. m Normalized excitatory PSCs post-erasure at varying voltages. n Energy consumption for relearning after erasure at different voltages. o Classical conditioning simulation using ultraviolet light and electrical pulses as food and bell signals for associative learning. p Comparison of power consumption of various electronic and optoelectronic synapses in recent reports [12, 101, 121, 129, 130, 134–145]\nThe emulation of synaptic plasticity constitutes another significant objective in the design of artificial synapses. It is the key to the hardware realization of brain-like learning and memory functions. Among them, the paired-pulse facilitation (PPF) and the paired-pulse depression (PPD) serve as fundamental behaviors of STP. High-precision synaptic devices capable of rapid visual processing and real-time information decoding rely on ultrahigh PPF indices. Han et al. reported that introducing an ultrathin carrier-modulation layer of hexagonal h-BN into graphene hybrid structures yields an ultrahigh PPF index (~ 196%) [117], as shown in Fig. 7d. The h-BN layer’s buffering effect on photogenerated carriers induces gradual Fermi-level lowering in graphene to enable this enhanced facilitation behavior. In addition, high linearity and symmetry in synaptic long-term potentiation (LTP) and long-term depression (LTD) responses are essential figures of merit for efficient backpropagation training of neural networks [118–120]. Simultaneously, this characteristic eliminates peripheral circuit-induced delays and power overhead, enabling ultralow-energy synaptic operation and low error rate in neural network implementations (Fig. 7e) [12]. The frequency, amplitude, and intersignal intervals of input stimuli often encode critical information. Multiple pulse parameter-dependent plasticity mechanisms, including spike-timing-dependent plasticity (STDP), spike-amplitude-dependent plasticity (SADP), spike-duration-dependent plasticity (SDDP), spike-number-dependent plasticity (SNDP), and spike-rate-dependent plasticity (SRDP), are necessary for emulation in artificial synaptic device development. STDP is a typical synaptic modulation method rooted in Hebbian learning rules [120–122]. The precise temporal sequence and interval between two pulses govern current intensity changes in the channel (or resistive switching layer), enabling fine-tuned control of interneuronal connection strength (as shown in Fig. 7f) [115]. However, a limitation of classical Hebbian learning rules lies in their lack of synaptic weight constraints, which may lead to an unexpected system crash. In contrast, the rule of Bienenstock–Cooper–Munro (BCM) introduces the global activity level of neurons [123]. As shown in Fig. 7g, h, identical inputs can elicit opposing effects under different historical frequencies, as the frequency threshold dynamically adapts based on prior activity levels. This adaptive regulation is a critical mechanism to prevent neural system damage caused by unbounded synaptic weight growth, which was experimentally confirmed in a MoS2/WSe2 heterostructure memtransistor [124]. Synaptic weight modulation is further contingent upon the amplitude and duration of the applied pulse. The amplitude determines the write energy intensity, while the pulse duration affects the kinetic processes, including carrier transport, phase transition, or polarization reversal, among others (Fig. 7i, j). In studies of SNDP and SRDP, repeated high-frequency stimuli drive synapses through iterative learning–forgetting–relearning cycles, ultimately achieving long-term memory (LTM) consolidation (Fig. 7k, l). Based on the aforementioned plasticity mechanisms, certain complex biological neural activities, such as immune responses and conditioned reflexes, can be emulated at the hardware level [125]. As shown in Fig. 7m, n, after 400 negative pulses of learning, different amplitudes of positive electrical signals were applied for erasure. Higher amplitudes resulted in lower residual PSC values post-erasure, consequently demanding greater energy expenditure during the relearning phase. This relearning process is similar to a form of sensitization, a protective mechanism by which organisms respond to injury. Another prominent example of emulation is the Pavlov’s dog conditioned reflex experiment, in which electrical and optical stimuli represent the neutral cue (bell) and the unconditioned signal (food). The coordination of these pulses by the artificial synapse enables it to learn to respond to the neutral cue with a change in conductance, demonstrating associative learning through training, acquisition, and forgetting processes (Fig. 7o).\nNotably, reducing energy consumption is crucial to driving the development of brain-inspired computing technologies. This requires a fundamental reduction in the operating voltage and response current, alongside an enhancement in the response speed of devices. To date, artificial synaptic devices constructed from 2D materials have achieved energy consumption at the femtojoule (fJ) or even lower, which is comparable to that of a single biological synaptic event (~ 10 fJ) [126]. In conductive filament synapses, the low-energy barrier channels provided by the interlayer gaps of 2D materials enable ions to move by overcoming weak van der Waals forces, forming conductive filaments as fine as atomic chains, which can reduce the energy consumption of a single operation to the zeptojoule (1 zJ = 10–21 J) level [32]. 2D ferroelectric and spintronic synaptic devices offer a switching route by leveraging the ultralow-energy motion of domain walls at the atomic scale. They operate at reduced voltages, avoiding the high coercive fields of conventional ferroelectric films and greatly diminishing the power demand in synaptic weight modulation. The low-dimensional architecture of phase-change materials enables attojoule-level switching energy by drastically reducing the thermal energy input and current density required to induce the phase transition. In addition, heterostructure engineering and device architecture design based on 2D materials can also effectively reduce the power consumption of synaptic devices. For instance, in electrolyte-gated synaptic devices, the ultrathin 2D channel offers exceptional gate control efficiency. Meanwhile, the electric double layer formed at the electrolyte interface features a high capacitance per unit area. Thus, such transistors can induce a high carrier density in the channel under low gate voltages, enabling low-voltage and high-precision conductance modulation. [106]. The floating-gate structure has also been widely demonstrated to exhibit low operating voltage and superior charge storage capability [99, 127, 128]. A novel WSe2/MoS2 heterojunction channel achieves a steeper subthreshold swing compared to monolayer channels. When the channel simulates synaptic behavior under 500 ns electrical stimulation pulses, its energy consumption per potentiation event reaches as low as 9 aJ (1 aJ = 10–18 J) [129]. However, the non-ideal operation speed of floating-gate transistors poses a fundamental limitation to minimizing energy consumption per operation. The Han’s team ingeniously proposed a polarized tunneling transistor structure based on an MoS2/Trap/PZT heterojunction. Without a tunneling layer, it achieves an ultrafast operation speed of 20 ns, enabling a synaptic weight update energy consumption of only 0.2 aJ [130]. Additionally, tunnel field-effect transistors utilize a gate-controlled PN junction to enable band-to-band tunneling, which allows for an ultra-steep subthreshold swing and a significant reduction in operating voltage [131].\nThe relationship between power consumption and device size cannot be overlooked either. For example, in interface-dependent memristors, miniaturizing the active region can effectively enhance the local electric field intensity and provide more efficient driving force. For devices that the conductance modulation within the functional material, the benefits of miniaturization mainly come from shortening the physical path for ion migration or charge transport, thereby reducing the operating voltage and response time. Moreover, high-density integration reduces the average interconnect distance between units, lowering the parasitic capacitance and resistance of the interconnects, resulting in reduced dynamic energy consumption for signal transmission. However, the continuous miniaturization still faces problems such as excessive leakage current, increased contact resistance, thermal management, and amplification of process fluctuations. Therefore, a rational balance should be made among device size, performance, and reliability. A systematic comparison of synaptic energy consumption across representative studies is presented in Fig. 7p. The star symbol marks the biological synaptic benchmark (10 fJ per synaptic event), highlighting the breakthrough potential of 2D materials artificial synaptic designs in energy efficiency. Table 2 presents a summary of the key mechanisms and performances of 2D material-based synaptic devices.\nTable 2Mechanisms and performances of artificial synapse devices based on 2D materialsMechanismMaterialsConstructionSynaptic plasticityOn/off ratioEnergy or power consumption (per spike)StatesSymmetric ratio/linearityAvailability of stimuliApplicationReferencesConductive FilamentAu/h-BN/GaN2-TerminalLTPa/LTD/Multi-state modulation ~ 6.5/6nonlinearity factors = 0.487/2.012ElectricMNIST image recognition[146]Cu/HfOx/BP/Pt2-TerminalSTP/LTD/PPF/SNDP ~ 102/4/Electric + OpticalImage recognition/Artificial Vision Systems[147]Ag/Bi2O2Se/Au2-TerminalLTP/PPF/STDP ~ 1033.02 pJ/asymmetric ratio = 0.29ElectricMNIST image recognition[121]Ag/MoTe2/ITO2-TerminalSTDP/PPF/LTP/LTD/SNDP874.2 pJ//ElectricDecimal arithmetic function[148]Cu/2H-MoTe2/Si2-TerminalPPF/LTP/LTD/STDP ~ 130.86 μW/linearity = 0.93ElectricDecimal counting/adding functions[149]Ag/GeSe/Au2-TerminalLTP/LTD/PPF ~ 7003.5 nJ/562 pJ (excitation/inhibition)180/ElectricHandwritten digit recognition[150]Pd/WS2/Pt2-TerminalPPF/STDP/SRDP/SDDP/STDP/PPF/299.8 fJ/125.6 fJ (excitation/inhibition) ≥ 4/Electric/[151]Au/TiOx/MoS2-xOx/Au2-TerminalLTP/LTD/Multi-state modulation ~ 7/64CLTP/CLTDb = 1.7%/1.3%ElectricMNIST image recognition[152]Phase transitionAu/LixMoS2/Au2-TerminalMemristive switching ~ 50///Electric/[80]Ag–Ni/MoTe2/Ag–Ni2-TerminalMemristive switching108150 aJ//Electric + Strain/[153]Au/Ag-intercalated MoTe2/Au2-TerminalLTP/LTD/Multi-state modulation2 × 105/ ~ 80 states per μm2nonlinearity factors = 0.5 ~ 0.6ElectricMNIST image recognition[154]Au/Cu2S/Au2-TerminalLTP/LTD/Multi-state modulation102 ~ 1042.64 pJ ≥ 5/ElectricGesture recognition[155]Ferroelectric effectAu/SnS2/CuInP2S6/h-BN/AuAu (BGc)3-TerminalPPF/SDDP/SNDP/LTP/LTD > 1063.06 pJ//ElectricIntelligent Vehicle Target Recognition / Robotic Manipulation[156]Graphene/CuVP2S6/Graphene2-TerminalLTP/LTD/PPF/PPD/SADP/SNDP/SDDP//214/Electric + OpticalHand written letter recognition/Neural machine translation[157]Au/SnSe/NSTO2-TerminalPPF/PPD/SNDP/SADP/STDP/66 fJ//Electric/[94]Au/α-In2Se3/AuAu (TGd)P++-Si (BG)3-TerminalLTD/LTP/SADP/SRDP > 103234 fJ/40 fJ(excitation/inhibition)//Electric + ThermalIris recognition and classification[96]Au/NbOI2/Au2-TerminalPPF/SADP/SNDP/SRDP/SDDP////Optical + StrainFingerprint Image Enhancement and Recognition[158]SpintronicsPtCx/Fe3GeTe2/PtCx2-TerminalLTP/Multi-state modulation//8/ElectricMNIST image recognition[97]Au/Bi2Te3/CrTe2/Au2-TerminalLTP/LTD/Multi-state modulation1010 ~ 100 fJ18linearity error = 4.19%ElectricMNIST image recognition[98]Charge modulationAu/MoS2/GaPS4/Aun-Si (BG)3-TerminalLTP/LTD/PPF/SADP/SDDP/SNDP105/8/Electric + OpticalMNIST image recognition[159]Au/graphene/AuPVDF-TrFE (n-Gel Gate Dielectrics)Au (BG)3-TerminalLTP/LTD/PPF/SADP/SRDP/SNDP/SDDP////StrainElectronic skin[160]Au/InSe/Au2-TerminalPPF/SADP/SRDP/STDP/BCM/1.1 fJ//ElectricClassical conditioning/Image edge recognition[135]Au/MoS2/Aup-Si (BG)3-TerminalPPF/SADP/SNDP/SDDP > 105 ~ 63 pJ/ ~ 1.85 nJ//Electric + OpticalClassical conditioning/signal self-denoising[161]Au/BP/AuITO (TG)HfO2 (FGe)3-TerminalMulti-state modulation ~ 200/ ≥ 8/36(Electric/optical)/Electric + OpticalImaging with in-sensor computing for edge detection/image recognition[162]Au/MoS2/AuGraphene (FG)3-TerminalLTP/LTD/SVDP/SDDP/SNDP10818 fJ131nonlinearity factors = 0.18/-0.29ElectricMNIST image recognition[12]aLTP Long-term potentiation, bCLTP and CLTD Cycle-to-cycle variations of LTP and LTD process, cBG Bottom gate, dTG Top gate, eFG Float gate\nMechanisms and performances of artificial synapse devices based on 2D materials\nAu/SnS2/CuInP2S6/h-BN/Au\nAu (BGc)\nAu/α-In2Se3/Au\nAu (TGd)\nP++-Si (BG)\n234 fJ/40 fJ\n(excitation/inhibition)\nAu/MoS2/GaPS4/Au\nn-Si (BG)\nAu/graphene/Au\nPVDF-TrFE (n-Gel Gate Dielectrics)\nAu (BG)\nAu/MoS2/Au\np-Si (BG)\nAu/BP/Au\nITO (TG)\nHfO2 (FGe)\n≥ 8/36\n(Electric/optical)\nAu/MoS2/Au\nGraphene (FG)\naLTP Long-term potentiation, bCLTP and CLTD Cycle-to-cycle variations of LTP and LTD process, cBG Bottom gate, dTG Top gate, eFG Float gate\n\n\n### 2D Materials-based Reconfigurable Artificial Neurons and Synapses\nThe fundamental building blocks of classical brain-inspired systems are interconnected neuron and synapse modules. Dedicated neuromorphic devices demonstrate notable advantages in the pursuit of extreme performance and low latency. By contrast, RNDs are specifically suitable for scenarios where hardware resources and algorithmic requirements are not fully aligned, enabling adaptive functional transformation and module sharing, as illustrated in Fig. 8a [163]. In the design of RNDs, the intuitive difference between neuron and synapses modes lies in their electrical dynamic characteristics. Abrupt and volatile properties can induce the generation of pulse signals, while gradual and non-volatile properties can reflect the superposition effect of signals. The reconfigurability of these dynamic properties relies on the orchestration of structural design, external control, and internal mechanism. The abundant and tunable physical properties of 2D materials provide enhanced flexibility in the implementation pathways for RNDs. Accordingly, we categorize the implementation pathways into three types based on their dominant factors: terminal programming, input parameter regulation, and materials property modulation.Fig. 8a Three kinds of hardware mismatch phenomena when performing different tasks. Therefore, it is imperative to eliminate the boundary between the two modules, establishing a neuromorphic chip with a neuron–synapse shared module. b EPSC triggered by electric pulses applied to the gate. c Circuit diagram of a reconfigurable device with neuronal functionality and spike pulses after integration of input information in the neuron model. Reproduced with permission [163]. Copyright (2022), Elsevier. d Structure of the reconfigurable neuromorphic unit with multimodal neuron and synapse key functions [164]\na Three kinds of hardware mismatch phenomena when performing different tasks. Therefore, it is imperative to eliminate the boundary between the two modules, establishing a neuromorphic chip with a neuron–synapse shared module. b EPSC triggered by electric pulses applied to the gate. c Circuit diagram of a reconfigurable device with neuronal functionality and spike pulses after integration of input information in the neuron model. Reproduced with permission [163]. Copyright (2022), Elsevier. d Structure of the reconfigurable neuromorphic unit with multimodal neuron and synapse key functions [164]\nThe terminal programming strategy enables a single device to invoke different modules or units by distinct electrodes. These modules or units are partially overlapping in structure but become complete small units once invoked, allowing them to execute neuronal spike firing and synaptic weight updating separately. Therefore, dynamic allocation of brain-inspired computing is realized at the hardware level. Such programmatically wiring strategy is implemented in the MXene-based integrated multi-neuromorphic-functional synaptic transistor (SNST) proposed by Zhang et al. [163] When pulses are applied to the gate, the electrical response of the channel is realized through proton migration in the polyvinyl alcohol electric double layer. This behavior simulates the excitatory postsynaptic current, representing changes in synaptic weight (Fig. 8b). In its neuron mode, the SNST is similar to a two-terminal memristor (formed by the gate and source). By applying different gate voltages, Ag⁺ ions can be adsorbed by the gate dielectric layer (doped MXene) surface to promote the formation of conductive filaments. Once the gate voltage is removed, the Ag filaments naturally dissolve and break, enabling the critical TS characteristic of neurons (Fig. 8c). Furthermore, the architecture holds the potential to achieve functional diversity by incorporating mixed-mode inputs and additional terminals. In Fig. 8d, light illumination modulates the conductance of the MoS2 channel to exhibit the plasticity of the optoelectronic synapse. Induced by top-gate pulses, the device functionally resembles a memristor with a spiking encoding mechanism in the vertical direction. Meanwhile, the electrical inputs from the bottom gate and drain, along with optical pulses, enable the nonlinear integration of dendrites [164]. Certainly, this reconfigurable technology has certain limitations: large-scale multiple-gating structures lead to increased system complexity and manufacturing costs, as well as potential signal crosstalk and increased parasitic capacitance.\nThe input parameter regulation reconfigurable strategy achieves functional differentiation of neuromorphic devices by modulating material properties or carrier transport behaviors through variations in external control signals (e.g., voltage amplitude, compliance current, pulse width, and others). For example, based on the reversible electrochemical reaction between graphene and hydrogen ions, Yu et al. ingeniously utilized gate voltage amplitude to precisely isolate volatile and non-volatile states, as shown in Fig. 9a, b [165]. In graphene transistors, both gate voltage (Vgs) and source–drain voltage (Vds) are critical factors regulating channel conductivity. For artificial synapse emulation, when the Vgs is fixed lower than the hydrogenation voltage (VH, ~ 1.8 V) and the graphene channel is in HRS, the Vds determines the effective gate voltage (Vg,Eff) applied to graphene, indirectly influencing the hydrogenation reaction process. Vg,Eff decreases with increasing Vds. Once it falls below the dehydrogenation voltage (VDH, ~ 0 V), the corresponding graphene segment undergoes dehydrogenation and sets up a channel to LRS. Conversely, if Vg,Eff remains sufficiently high, the graphene segment becomes hydrogenated, resetting the channel to HRS. Artificial neuron functionality is achieved by setting Vgs higher than VH, where the device exhibits volatile alternation between HRS and LRS through Vds modulation. Upon retracting Vds to 0 V, the hydrogenation reaction spontaneously (Vgs > VH) restores the HRS state to implement LIF neuron functionality. A similar electrostatic modulation scheme has also been implemented in a reconfigurable CuInP2S6/h-BN/WSe2 heterostructure-based transistor, which selectively activates the dominant physical mechanism through back-gate electrostatic modulation of channel carrier density [17]. In neuronal mode, the Fermi level (EF) of WSe2 is tuned to its intrinsic level by a global back-gate voltage (VBG). When repeated stimulus signals are applied to the top gate, the ungated region bears the full magnitude of the source–drain voltage. Within this region, carrier acceleration induces avalanche multiplication, leading to a rapid current spike (Fig. 9c). Switching to synaptic mode, the EF is modulated closer to the valence band by a more negative VBG. The high carrier density results in enhanced carrier interactions and electrostatic screening, which suppresses impact ionization. At this stage, non-volatile memory is dominated by ferroelectric polarization (Fig. 9d).Fig. 9a Schematic diagram of hydrogenation reactions between graphene lattices and hydrogen ions and a corresponding biological neuron model. b Non-volatile and volatile gate-controlled memristive behaviors in the electrochemical graphene transistors. Reproduced with permission [165]. Copyright (2024), American Chemical Society. c-d Mechanism diagram of neuron mode and synapse mode in CuInP2S6/h-BN/WSe2 heterostructure transistor. Reproduced with permission [17]. Copyright (2025), Wiley–VCH GmbH. e Mechanisms of LIF neuron behaviors in Ag/MoS2/HfAlOx/CNT textile memristor under consecutive pulse stimulation. f Volatile resistive switching behaviors under low current compliance. g Short- and long-term memory characteristics in artificial synapses correspond to weak and strong conductive filaments, respectively. h Non-volatile resistive switching behaviors under high current compliance. Reproduced with permission [76]. Copyright (2022), Spring Nature. i Tunable multi-level conductance states. j Evolution of volatile current in a ZnPS3 memristor under single electrical pulse stimuli of varying amplitudes. Reproduced with permission [16]. Copyright (2025), Spring Nature\na Schematic diagram of hydrogenation reactions between graphene lattices and hydrogen ions and a corresponding biological neuron model. b Non-volatile and volatile gate-controlled memristive behaviors in the electrochemical graphene transistors. Reproduced with permission [165]. Copyright (2024), American Chemical Society. c-d Mechanism diagram of neuron mode and synapse mode in CuInP2S6/h-BN/WSe2 heterostructure transistor. Reproduced with permission [17]. Copyright (2025), Wiley–VCH GmbH. e Mechanisms of LIF neuron behaviors in Ag/MoS2/HfAlOx/CNT textile memristor under consecutive pulse stimulation. f Volatile resistive switching behaviors under low current compliance. g Short- and long-term memory characteristics in artificial synapses correspond to weak and strong conductive filaments, respectively. h Non-volatile resistive switching behaviors under high current compliance. Reproduced with permission [76]. Copyright (2022), Spring Nature. i Tunable multi-level conductance states. j Evolution of volatile current in a ZnPS3 memristor under single electrical pulse stimuli of varying amplitudes. Reproduced with permission [16]. Copyright (2025), Spring Nature\nIn addition, the mode reconfiguration between volatile neurons and non-volatile synapses can also be achieved by using programmed external electrical stimuli to control the growth and rupture dynamics of the filaments. The typical I-V characteristics reveal that a low compliance current leads to the formation of a few fragile conductive filaments within the functional layer. These filaments spontaneously rupture after the power removal, thereby exhibiting volatile TS that corresponds to neurons’ firing and rapid resetting following threshold excitation. In contrast, robust filaments tend to form at a higher compliance current. The filament remains stable after the voltage is withdrawn, thus enabling a non-volatile transition in the resistive state of the device, which corresponds to the long-term memory effect in synapses. As illustrated in Fig. 9e–h, an Ag/MoS2/HfAlOx/carbon nanotube (CNT) textile memristor network was developed by Chen’s group to verify this reconfiguration method [76]. Under low-amplitude, narrow-width pulse stimulation, weak conductive filaments are formed to modulate the switching behavior of the functional layer. A single reconfigurable memristor suffices to implement neuronal integrate-and-fire functionality at an energy cost of only 1.9 fJ per event. In synaptic mode, high-amplitude wide pulses promote non-volatile filament formation, where short-term or long-term memory effects correlate with the strength of conductive filaments in the memristor. Similarly, through the control of metal conductive filaments, 256 different non-volatile conductive states and volatile switches with energy consumption as low as 143 aJ/peak were achieved in memristors with layered single-crystal ZnPS3 as the functional layer (Fig. 9i, j) [16]. Beyond the electrically dominated dual-mode reconfiguration of neurons and synapses, Yan’s group has recently ingeniously introduced optical pulses as a parallel control scheme [57]. Under this framework, reversible switching between volatile and non-volatile states is achieved by modulating optical parameters, specifically the power density and pulse width of the light input. This approach holds the potential to mitigate undesirable crosstalk and facilitate the construction of all-optical modulation neural networks.\nThe advantage of the aforementioned reconfigurable strategy lies in its ability to achieve functional switching solely through signal modulation, eliminating the need for complex multi-terminal designs and significantly reducing system complexity. However, it should be noted that applications may be limited by signal crosstalk and material degradation under high-frequency switching conditions.\nThe third strategy ingeniously leverages the intrinsic properties of materials for reconfigurable operations. Compared to bulk materials, 2D materials exhibit a broader spectrum of tunable properties. The physical origin of this exceptional tunability lies in the direct manipulability of its electronic structure, ionic distribution, and even crystal phase, leading to significant changes in its physical properties. These adjustable intrinsic characteristics establish the physical foundation for high-performance reconfigurable devices. A typical example is the utilization of the polar nature of α-In2Se3 to achieve switching between synaptic and neuronal modes. The update of synaptic weight was controlled via vertical OOP polarization modulation according to the amplitude, width, and number of the gate pulse, which further affects the movable charges (Fig. 10a) [10]. The Vds-tuned parallel IP polarization and Schottky barrier modulate the carriers of a lateral memristor structure, enabling integrated-firing characteristics, as illustrated in Fig. 10b. Moreover, Chen et al. proposed a refreshable memristor based on CuInP2S6, achieving neural reuse through dynamic allocation of ferro-ion phases (Fig. 10c) [166]. The ferroelectric polarization in CuInP2S6 stems from the off-center ordering of Cu⁺ ions. A series of source–drain pulses triggers polarization switching, and following voltage withdrawal, the electric dipoles remain stabilized in a new orientation, thereby achieving non-volatile memory effects (Fig. 10d, e). The volatile mechanism originates from the accumulation of Cu⁺ ions at the interface following long-range migration, which modulates the energy barrier. Upon removal of the electric field, these ions rapidly relax back to their original positions through spontaneous recovery (Fig. 10f, g).Fig. 10a α-In2Se3 ferroelectric field-effect transistor and corresponding band diagrams under positive or negative gate voltages for synaptic weight modulation. b Energy band diagram illustrating the operational mechanism of reconfigurable neuromorphic devices functioning as neurons. Reproduced with permission [10]. Copyright (2023), AIP Publishing. c MoS2/CuInP2S6/MoS2 refreshable memristor device structure. d Energy band diagram of the device in HRS and LRS states under non-volatile ferroelectric polarization mode. e A typical ferroelectric memory window characteristic curve. f Energy band diagram of the device in HRS and LRS states under volatile ion migration mode. g Volatile I-V characteristics of the device under a fixed gate voltage of − 4 V. Reproduced with permission [166]. Copyright 2025, Springer Nature\na α-In2Se3 ferroelectric field-effect transistor and corresponding band diagrams under positive or negative gate voltages for synaptic weight modulation. b Energy band diagram illustrating the operational mechanism of reconfigurable neuromorphic devices functioning as neurons. Reproduced with permission [10]. Copyright (2023), AIP Publishing. c MoS2/CuInP2S6/MoS2 refreshable memristor device structure. d Energy band diagram of the device in HRS and LRS states under non-volatile ferroelectric polarization mode. e A typical ferroelectric memory window characteristic curve. f Energy band diagram of the device in HRS and LRS states under volatile ion migration mode. g Volatile I-V characteristics of the device under a fixed gate voltage of − 4 V. Reproduced with permission [166].\nCopyright 2025, Springer Nature\nFurthermore, various material-related factors, including electrode chemical activity, defect, and interface properties, etc., may also critically influence the overall performance of neuromorphic devices: (i) The chemical activity and ionic migration capability of the electrode material collectively regulate its dynamic evolution behavior. As a result, the filament growth and stability are fundamentally altered, thereby dictating distinct switching behaviors [167]. Moreover, the filament’s conductivity (determined by the filament material and density) governs Joule heating dissipation, which directly correlates with spontaneous conductive filament rupture [168]. (ii) Doping basic dielectric materials with specific elements can modify their properties to achieve functional differentiation. For instance, doping in phase-change materials alters the electronic structure, thereby suppressing the rapid metal–insulator transition (MIT) and converting it into a non-volatile process [169]. Alternatively, doping induces changes in the vacancy formation energy, ion migration barriers, and local electric field distribution within the dielectric material, leading to modifications in the stability of conductive filaments. (iii) The internal physical processes of a device can be dominated by interface engineering and barrier modulation between films. For instance, incorporating an ultrathin barrier layer can modulate the efficiency of ion/charge injection, thereby determining the stability of the conductive filaments [170]. Volatile or non-volatile switching behavior can also be determined by modulating the Schottky barrier height, the concentration, and mobility of defects [171]. These approaches would facilitate further exploration of novel neuromorphic reconfigurable strategies. Herein, we summarize the characteristics of reconfigurable artificial neurons and synapses based on 2D materials, as systematically presented in Table 3.\nTable 3Mechanisms and characteristics of reconfigurable neuron and synapse devices based on 2D materialsMaterialsTypeConstructionReconfigurable mechanismNeuron propertySynapse propertyEnergy or power consumption(per spike)ReferencesModelThreshold (V)On–off ratioPlasticityOn–off ratioStatesITO/(PVA-Mxene)/ITOAg (BG)Terminal programming3-TerminalEDL effect/ECMLIF8/SADP/LTPd/LTDe ~ 2425/[163]Au/h-BN/Graphene/MoS2/AuAg (TG)Si (BG)3-Terminalphotovoltaic effect/ECM/photogating effectIF0.18 ~ 104PPF/SRDP//37.5 nW for neuron[164]EGaIn/GaOx/MXene or rGO/Wn+-Si (BG)3-Terminalcharge transport/ECM/IF3.56/LTP/LTD/4/[174]Ag/MoS2/HfAlOx/CNTInput parameter regulation2-Terminal (electronic textiles)ECM (adjusting the current compliance)LIF ~ 2106PPF/SVDP/LTP/LTD10861.9 fJ for neuron[76]Ag/MoS2/Au(paper-based)2-TerminalECM (adjusting the current compliance)LIF ~ 0.4105LTP107/50 pW for neuron[175]Ag/ZnPS3/Au2-TerminalECM (adjusting the current compliance)LIF ~ 0.2106SNDP/LTP/LTD ~ 5 × 108256143 aJ for neuron/28 fJ for synapse[16]Au/γ-Cu2S/Au2-Terminalγ and β phases transition in Cu2S/Cu1.8S conductive path (adjusting the current compliance)/ < 0.6 ~ 10/ ~ 102//[176]Ag/Bi2SeO5/Au2-TerminalECM (adjusting the current compliance)/0.3107LTP/LTD/SNDP108111.16 pJ for synapse[177]Ag/SiO2/FA2PbI4/Pt nanoparticles/ITO2-TerminalECM (adjusting the current compliance)LIF < 2 ~ 104PPF/STDP/LTP/LTD106/ ~ 10 fJ for neuron/ ~ 20 nJfor synapse[178]Au/Graphene/AuHIE a (Dielectric)Pt (TG)3-Terminalgate-controlled electrochemical reactionsLIF < 2.2106LTP/LTD/ ≥ 5/[165]Au/WSe2/AuCuInP2S6 (Dielectric)Au (TG)p+-Si (BG)3-Terminalimpact ionization and ferroelectric polarizationLIF1.13 > 106LTP/LTD ~ 6//[17]Pd/ZnO/Graphene/SiO2/Si2-Terminalpulse stimulation mode/ ~ 2 ~ 102LTP ~ 102//[57]ITO/Al2O3/HfSe2/Al2O3/p-SiMaterials property modulation2-Terminalcharge trapping/VFB\nb shift and memcapacitorLIF//LTP/LTD/8/[179]Au/α-In2Se3/Aup-Si (BG)3-Terminalpolarization effectsLIF− 4.4103STDP/SADP/LTP/LTD103//[10]Au/MoS2/CuInP2S6/MoS2/AuGraphene (TG)3-Terminalferroelectric polarization/ion migration/− 1.5 < 102SNDP/LTP/LTD ~ 10416/[166]Ni/WSe2/NiHf0.5Zr0.5O2 (Dielectric)W (FG/BG)3-Terminalferroelectricpolarization switch/ electron self-compensationLIF//SNDP/PPF/LTP/LTD > 107//[180]Ni/MoS2/NiHf0.17Zr0.83O2 (Dielectric)W (FG/BG)3-TerminalAFE c switching/charge trappingLIF//LTP/LTD/SADP/SDDP107/0.1 pJ for neuron/0.15 pJ for synapse[181]aHIE Hydrogen ion electrolyte, bVFB: Flat-band voltage, cAntiferroelectric, dLTP Long-term potentiation, eLTD Long-term depression\nMechanisms and characteristics of reconfigurable neuron and synapse devices based on 2D materials\nITO/(PVA-Mxene)/ITO\nAg (BG)\nAu/h-BN/Graphene/MoS2/Au\nAg (TG)\nSi (BG)\nEGaIn/GaOx/MXene or rGO/W\nn+-Si (BG)\nAg/MoS2/Au\n(paper-based)\n143 aJ for neuron/\n28 fJ for synapse\nAg/SiO2/FA2PbI4/Pt nano\nparticles/ITO\n~ 10 fJ for neuron/\n~ 20 nJ\nfor synapse\nAu/Graphene/Au\nHIE a (Dielectric)\nPt (TG)\nAu/WSe2/Au\nCuInP2S6 (Dielectric)\nAu (TG)\np+-Si (BG)\nITO/Al2O3/HfSe2\n/Al2O3/p-Si\nAu/α-In2Se3/Au\np-Si (BG)\nAu/MoS2/CuInP2S6/MoS2/Au\nGraphene (TG)\nferroelectric polarization\n/ion migration\nNi/WSe2/Ni\nHf0.5Zr0.5O2 (Dielectric)\nW (FG/BG)\nferroelectric\npolarization switch/ electron self-compensation\nNi/MoS2/Ni\nHf0.17Zr0.83O2 (Dielectric)\nW (FG/BG)\n0.1 pJ for neuron/\n0.15 p\nJ for synapse\naHIE Hydrogen ion electrolyte, bVFB: Flat-band voltage, cAntiferroelectric, dLTP Long-term potentiation, eLTD Long-term depression\nIt is also worth noting that reconfigurable devices extend beyond neurosynaptic dynamics to broader functionalities. In a study by Peng et al., a single-gate MoTe2 device was programmed via a gate-voltage-controlled gradient doping strategy to operate as a polarity-switchable diode, a memory element, an in-memory Boolean logic gate, and an artificial synapse [172]. Further advancing cross-modal functionality, Chen et al. demonstrated reconfigurable capability between optical switch–synapse and optical switch–storage modes in an optoelectronic device. This was achieved through an electrode-inserted structure, the synergistic properties of Graphene/VO2 heterostructures, and an external bias control [173]. In summary, achieving reconfigurable device functionality necessitates in-depth exploration and co-optimization of precise structural design, dynamic input parameter regulation, and the full exploitation of intrinsic material properties, thereby promoting the development of multi-task adaptive integrated circuits and systems.\n\n\n### Terminal Programming\nThe terminal programming strategy enables a single device to invoke different modules or units by distinct electrodes. These modules or units are partially overlapping in structure but become complete small units once invoked, allowing them to execute neuronal spike firing and synaptic weight updating separately. Therefore, dynamic allocation of brain-inspired computing is realized at the hardware level. Such programmatically wiring strategy is implemented in the MXene-based integrated multi-neuromorphic-functional synaptic transistor (SNST) proposed by Zhang et al. [163] When pulses are applied to the gate, the electrical response of the channel is realized through proton migration in the polyvinyl alcohol electric double layer. This behavior simulates the excitatory postsynaptic current, representing changes in synaptic weight (Fig. 8b). In its neuron mode, the SNST is similar to a two-terminal memristor (formed by the gate and source). By applying different gate voltages, Ag⁺ ions can be adsorbed by the gate dielectric layer (doped MXene) surface to promote the formation of conductive filaments. Once the gate voltage is removed, the Ag filaments naturally dissolve and break, enabling the critical TS characteristic of neurons (Fig. 8c). Furthermore, the architecture holds the potential to achieve functional diversity by incorporating mixed-mode inputs and additional terminals. In Fig. 8d, light illumination modulates the conductance of the MoS2 channel to exhibit the plasticity of the optoelectronic synapse. Induced by top-gate pulses, the device functionally resembles a memristor with a spiking encoding mechanism in the vertical direction. Meanwhile, the electrical inputs from the bottom gate and drain, along with optical pulses, enable the nonlinear integration of dendrites [164]. Certainly, this reconfigurable technology has certain limitations: large-scale multiple-gating structures lead to increased system complexity and manufacturing costs, as well as potential signal crosstalk and increased parasitic capacitance.\n\n\n### Input Parameter Regulation\nThe input parameter regulation reconfigurable strategy achieves functional differentiation of neuromorphic devices by modulating material properties or carrier transport behaviors through variations in external control signals (e.g., voltage amplitude, compliance current, pulse width, and others). For example, based on the reversible electrochemical reaction between graphene and hydrogen ions, Yu et al. ingeniously utilized gate voltage amplitude to precisely isolate volatile and non-volatile states, as shown in Fig. 9a, b [165]. In graphene transistors, both gate voltage (Vgs) and source–drain voltage (Vds) are critical factors regulating channel conductivity. For artificial synapse emulation, when the Vgs is fixed lower than the hydrogenation voltage (VH, ~ 1.8 V) and the graphene channel is in HRS, the Vds determines the effective gate voltage (Vg,Eff) applied to graphene, indirectly influencing the hydrogenation reaction process. Vg,Eff decreases with increasing Vds. Once it falls below the dehydrogenation voltage (VDH, ~ 0 V), the corresponding graphene segment undergoes dehydrogenation and sets up a channel to LRS. Conversely, if Vg,Eff remains sufficiently high, the graphene segment becomes hydrogenated, resetting the channel to HRS. Artificial neuron functionality is achieved by setting Vgs higher than VH, where the device exhibits volatile alternation between HRS and LRS through Vds modulation. Upon retracting Vds to 0 V, the hydrogenation reaction spontaneously (Vgs > VH) restores the HRS state to implement LIF neuron functionality. A similar electrostatic modulation scheme has also been implemented in a reconfigurable CuInP2S6/h-BN/WSe2 heterostructure-based transistor, which selectively activates the dominant physical mechanism through back-gate electrostatic modulation of channel carrier density [17]. In neuronal mode, the Fermi level (EF) of WSe2 is tuned to its intrinsic level by a global back-gate voltage (VBG). When repeated stimulus signals are applied to the top gate, the ungated region bears the full magnitude of the source–drain voltage. Within this region, carrier acceleration induces avalanche multiplication, leading to a rapid current spike (Fig. 9c). Switching to synaptic mode, the EF is modulated closer to the valence band by a more negative VBG. The high carrier density results in enhanced carrier interactions and electrostatic screening, which suppresses impact ionization. At this stage, non-volatile memory is dominated by ferroelectric polarization (Fig. 9d).Fig. 9a Schematic diagram of hydrogenation reactions between graphene lattices and hydrogen ions and a corresponding biological neuron model. b Non-volatile and volatile gate-controlled memristive behaviors in the electrochemical graphene transistors. Reproduced with permission [165]. Copyright (2024), American Chemical Society. c-d Mechanism diagram of neuron mode and synapse mode in CuInP2S6/h-BN/WSe2 heterostructure transistor. Reproduced with permission [17]. Copyright (2025), Wiley–VCH GmbH. e Mechanisms of LIF neuron behaviors in Ag/MoS2/HfAlOx/CNT textile memristor under consecutive pulse stimulation. f Volatile resistive switching behaviors under low current compliance. g Short- and long-term memory characteristics in artificial synapses correspond to weak and strong conductive filaments, respectively. h Non-volatile resistive switching behaviors under high current compliance. Reproduced with permission [76]. Copyright (2022), Spring Nature. i Tunable multi-level conductance states. j Evolution of volatile current in a ZnPS3 memristor under single electrical pulse stimuli of varying amplitudes. Reproduced with permission [16]. Copyright (2025), Spring Nature\na Schematic diagram of hydrogenation reactions between graphene lattices and hydrogen ions and a corresponding biological neuron model. b Non-volatile and volatile gate-controlled memristive behaviors in the electrochemical graphene transistors. Reproduced with permission [165]. Copyright (2024), American Chemical Society. c-d Mechanism diagram of neuron mode and synapse mode in CuInP2S6/h-BN/WSe2 heterostructure transistor. Reproduced with permission [17]. Copyright (2025), Wiley–VCH GmbH. e Mechanisms of LIF neuron behaviors in Ag/MoS2/HfAlOx/CNT textile memristor under consecutive pulse stimulation. f Volatile resistive switching behaviors under low current compliance. g Short- and long-term memory characteristics in artificial synapses correspond to weak and strong conductive filaments, respectively. h Non-volatile resistive switching behaviors under high current compliance. Reproduced with permission [76]. Copyright (2022), Spring Nature. i Tunable multi-level conductance states. j Evolution of volatile current in a ZnPS3 memristor under single electrical pulse stimuli of varying amplitudes. Reproduced with permission [16]. Copyright (2025), Spring Nature\nIn addition, the mode reconfiguration between volatile neurons and non-volatile synapses can also be achieved by using programmed external electrical stimuli to control the growth and rupture dynamics of the filaments. The typical I-V characteristics reveal that a low compliance current leads to the formation of a few fragile conductive filaments within the functional layer. These filaments spontaneously rupture after the power removal, thereby exhibiting volatile TS that corresponds to neurons’ firing and rapid resetting following threshold excitation. In contrast, robust filaments tend to form at a higher compliance current. The filament remains stable after the voltage is withdrawn, thus enabling a non-volatile transition in the resistive state of the device, which corresponds to the long-term memory effect in synapses. As illustrated in Fig. 9e–h, an Ag/MoS2/HfAlOx/carbon nanotube (CNT) textile memristor network was developed by Chen’s group to verify this reconfiguration method [76]. Under low-amplitude, narrow-width pulse stimulation, weak conductive filaments are formed to modulate the switching behavior of the functional layer. A single reconfigurable memristor suffices to implement neuronal integrate-and-fire functionality at an energy cost of only 1.9 fJ per event. In synaptic mode, high-amplitude wide pulses promote non-volatile filament formation, where short-term or long-term memory effects correlate with the strength of conductive filaments in the memristor. Similarly, through the control of metal conductive filaments, 256 different non-volatile conductive states and volatile switches with energy consumption as low as 143 aJ/peak were achieved in memristors with layered single-crystal ZnPS3 as the functional layer (Fig. 9i, j) [16]. Beyond the electrically dominated dual-mode reconfiguration of neurons and synapses, Yan’s group has recently ingeniously introduced optical pulses as a parallel control scheme [57]. Under this framework, reversible switching between volatile and non-volatile states is achieved by modulating optical parameters, specifically the power density and pulse width of the light input. This approach holds the potential to mitigate undesirable crosstalk and facilitate the construction of all-optical modulation neural networks.\nThe advantage of the aforementioned reconfigurable strategy lies in its ability to achieve functional switching solely through signal modulation, eliminating the need for complex multi-terminal designs and significantly reducing system complexity. However, it should be noted that applications may be limited by signal crosstalk and material degradation under high-frequency switching conditions.\n\n\n### Materials Property Modulation\nThe third strategy ingeniously leverages the intrinsic properties of materials for reconfigurable operations. Compared to bulk materials, 2D materials exhibit a broader spectrum of tunable properties. The physical origin of this exceptional tunability lies in the direct manipulability of its electronic structure, ionic distribution, and even crystal phase, leading to significant changes in its physical properties. These adjustable intrinsic characteristics establish the physical foundation for high-performance reconfigurable devices. A typical example is the utilization of the polar nature of α-In2Se3 to achieve switching between synaptic and neuronal modes. The update of synaptic weight was controlled via vertical OOP polarization modulation according to the amplitude, width, and number of the gate pulse, which further affects the movable charges (Fig. 10a) [10]. The Vds-tuned parallel IP polarization and Schottky barrier modulate the carriers of a lateral memristor structure, enabling integrated-firing characteristics, as illustrated in Fig. 10b. Moreover, Chen et al. proposed a refreshable memristor based on CuInP2S6, achieving neural reuse through dynamic allocation of ferro-ion phases (Fig. 10c) [166]. The ferroelectric polarization in CuInP2S6 stems from the off-center ordering of Cu⁺ ions. A series of source–drain pulses triggers polarization switching, and following voltage withdrawal, the electric dipoles remain stabilized in a new orientation, thereby achieving non-volatile memory effects (Fig. 10d, e). The volatile mechanism originates from the accumulation of Cu⁺ ions at the interface following long-range migration, which modulates the energy barrier. Upon removal of the electric field, these ions rapidly relax back to their original positions through spontaneous recovery (Fig. 10f, g).Fig. 10a α-In2Se3 ferroelectric field-effect transistor and corresponding band diagrams under positive or negative gate voltages for synaptic weight modulation. b Energy band diagram illustrating the operational mechanism of reconfigurable neuromorphic devices functioning as neurons. Reproduced with permission [10]. Copyright (2023), AIP Publishing. c MoS2/CuInP2S6/MoS2 refreshable memristor device structure. d Energy band diagram of the device in HRS and LRS states under non-volatile ferroelectric polarization mode. e A typical ferroelectric memory window characteristic curve. f Energy band diagram of the device in HRS and LRS states under volatile ion migration mode. g Volatile I-V characteristics of the device under a fixed gate voltage of − 4 V. Reproduced with permission [166]. Copyright 2025, Springer Nature\na α-In2Se3 ferroelectric field-effect transistor and corresponding band diagrams under positive or negative gate voltages for synaptic weight modulation. b Energy band diagram illustrating the operational mechanism of reconfigurable neuromorphic devices functioning as neurons. Reproduced with permission [10]. Copyright (2023), AIP Publishing. c MoS2/CuInP2S6/MoS2 refreshable memristor device structure. d Energy band diagram of the device in HRS and LRS states under non-volatile ferroelectric polarization mode. e A typical ferroelectric memory window characteristic curve. f Energy band diagram of the device in HRS and LRS states under volatile ion migration mode. g Volatile I-V characteristics of the device under a fixed gate voltage of − 4 V. Reproduced with permission [166].\nCopyright 2025, Springer Nature\nFurthermore, various material-related factors, including electrode chemical activity, defect, and interface properties, etc., may also critically influence the overall performance of neuromorphic devices: (i) The chemical activity and ionic migration capability of the electrode material collectively regulate its dynamic evolution behavior. As a result, the filament growth and stability are fundamentally altered, thereby dictating distinct switching behaviors [167]. Moreover, the filament’s conductivity (determined by the filament material and density) governs Joule heating dissipation, which directly correlates with spontaneous conductive filament rupture [168]. (ii) Doping basic dielectric materials with specific elements can modify their properties to achieve functional differentiation. For instance, doping in phase-change materials alters the electronic structure, thereby suppressing the rapid metal–insulator transition (MIT) and converting it into a non-volatile process [169]. Alternatively, doping induces changes in the vacancy formation energy, ion migration barriers, and local electric field distribution within the dielectric material, leading to modifications in the stability of conductive filaments. (iii) The internal physical processes of a device can be dominated by interface engineering and barrier modulation between films. For instance, incorporating an ultrathin barrier layer can modulate the efficiency of ion/charge injection, thereby determining the stability of the conductive filaments [170]. Volatile or non-volatile switching behavior can also be determined by modulating the Schottky barrier height, the concentration, and mobility of defects [171]. These approaches would facilitate further exploration of novel neuromorphic reconfigurable strategies. Herein, we summarize the characteristics of reconfigurable artificial neurons and synapses based on 2D materials, as systematically presented in Table 3.\nTable 3Mechanisms and characteristics of reconfigurable neuron and synapse devices based on 2D materialsMaterialsTypeConstructionReconfigurable mechanismNeuron propertySynapse propertyEnergy or power consumption(per spike)ReferencesModelThreshold (V)On–off ratioPlasticityOn–off ratioStatesITO/(PVA-Mxene)/ITOAg (BG)Terminal programming3-TerminalEDL effect/ECMLIF8/SADP/LTPd/LTDe ~ 2425/[163]Au/h-BN/Graphene/MoS2/AuAg (TG)Si (BG)3-Terminalphotovoltaic effect/ECM/photogating effectIF0.18 ~ 104PPF/SRDP//37.5 nW for neuron[164]EGaIn/GaOx/MXene or rGO/Wn+-Si (BG)3-Terminalcharge transport/ECM/IF3.56/LTP/LTD/4/[174]Ag/MoS2/HfAlOx/CNTInput parameter regulation2-Terminal (electronic textiles)ECM (adjusting the current compliance)LIF ~ 2106PPF/SVDP/LTP/LTD10861.9 fJ for neuron[76]Ag/MoS2/Au(paper-based)2-TerminalECM (adjusting the current compliance)LIF ~ 0.4105LTP107/50 pW for neuron[175]Ag/ZnPS3/Au2-TerminalECM (adjusting the current compliance)LIF ~ 0.2106SNDP/LTP/LTD ~ 5 × 108256143 aJ for neuron/28 fJ for synapse[16]Au/γ-Cu2S/Au2-Terminalγ and β phases transition in Cu2S/Cu1.8S conductive path (adjusting the current compliance)/ < 0.6 ~ 10/ ~ 102//[176]Ag/Bi2SeO5/Au2-TerminalECM (adjusting the current compliance)/0.3107LTP/LTD/SNDP108111.16 pJ for synapse[177]Ag/SiO2/FA2PbI4/Pt nanoparticles/ITO2-TerminalECM (adjusting the current compliance)LIF < 2 ~ 104PPF/STDP/LTP/LTD106/ ~ 10 fJ for neuron/ ~ 20 nJfor synapse[178]Au/Graphene/AuHIE a (Dielectric)Pt (TG)3-Terminalgate-controlled electrochemical reactionsLIF < 2.2106LTP/LTD/ ≥ 5/[165]Au/WSe2/AuCuInP2S6 (Dielectric)Au (TG)p+-Si (BG)3-Terminalimpact ionization and ferroelectric polarizationLIF1.13 > 106LTP/LTD ~ 6//[17]Pd/ZnO/Graphene/SiO2/Si2-Terminalpulse stimulation mode/ ~ 2 ~ 102LTP ~ 102//[57]ITO/Al2O3/HfSe2/Al2O3/p-SiMaterials property modulation2-Terminalcharge trapping/VFB\nb shift and memcapacitorLIF//LTP/LTD/8/[179]Au/α-In2Se3/Aup-Si (BG)3-Terminalpolarization effectsLIF− 4.4103STDP/SADP/LTP/LTD103//[10]Au/MoS2/CuInP2S6/MoS2/AuGraphene (TG)3-Terminalferroelectric polarization/ion migration/− 1.5 < 102SNDP/LTP/LTD ~ 10416/[166]Ni/WSe2/NiHf0.5Zr0.5O2 (Dielectric)W (FG/BG)3-Terminalferroelectricpolarization switch/ electron self-compensationLIF//SNDP/PPF/LTP/LTD > 107//[180]Ni/MoS2/NiHf0.17Zr0.83O2 (Dielectric)W (FG/BG)3-TerminalAFE c switching/charge trappingLIF//LTP/LTD/SADP/SDDP107/0.1 pJ for neuron/0.15 pJ for synapse[181]aHIE Hydrogen ion electrolyte, bVFB: Flat-band voltage, cAntiferroelectric, dLTP Long-term potentiation, eLTD Long-term depression\nMechanisms and characteristics of reconfigurable neuron and synapse devices based on 2D materials\nITO/(PVA-Mxene)/ITO\nAg (BG)\nAu/h-BN/Graphene/MoS2/Au\nAg (TG)\nSi (BG)\nEGaIn/GaOx/MXene or rGO/W\nn+-Si (BG)\nAg/MoS2/Au\n(paper-based)\n143 aJ for neuron/\n28 fJ for synapse\nAg/SiO2/FA2PbI4/Pt nano\nparticles/ITO\n~ 10 fJ for neuron/\n~ 20 nJ\nfor synapse\nAu/Graphene/Au\nHIE a (Dielectric)\nPt (TG)\nAu/WSe2/Au\nCuInP2S6 (Dielectric)\nAu (TG)\np+-Si (BG)\nITO/Al2O3/HfSe2\n/Al2O3/p-Si\nAu/α-In2Se3/Au\np-Si (BG)\nAu/MoS2/CuInP2S6/MoS2/Au\nGraphene (TG)\nferroelectric polarization\n/ion migration\nNi/WSe2/Ni\nHf0.5Zr0.5O2 (Dielectric)\nW (FG/BG)\nferroelectric\npolarization switch/ electron self-compensation\nNi/MoS2/Ni\nHf0.17Zr0.83O2 (Dielectric)\nW (FG/BG)\n0.1 pJ for neuron/\n0.15 p\nJ for synapse\naHIE Hydrogen ion electrolyte, bVFB: Flat-band voltage, cAntiferroelectric, dLTP Long-term potentiation, eLTD Long-term depression\nIt is also worth noting that reconfigurable devices extend beyond neurosynaptic dynamics to broader functionalities. In a study by Peng et al., a single-gate MoTe2 device was programmed via a gate-voltage-controlled gradient doping strategy to operate as a polarity-switchable diode, a memory element, an in-memory Boolean logic gate, and an artificial synapse [172]. Further advancing cross-modal functionality, Chen et al. demonstrated reconfigurable capability between optical switch–synapse and optical switch–storage modes in an optoelectronic device. This was achieved through an electrode-inserted structure, the synergistic properties of Graphene/VO2 heterostructures, and an external bias control [173]. In summary, achieving reconfigurable device functionality necessitates in-depth exploration and co-optimization of precise structural design, dynamic input parameter regulation, and the full exploitation of intrinsic material properties, thereby promoting the development of multi-task adaptive integrated circuits and systems.\n\n\n### System-Level Implementations of Artificial Neurons and Synapses\nThe continuous emergence of novel dedicated and reconfigurable artificial synapses and neurons based on 2D materials has established a rich material foundation and diverse device prototypes for integrated neuromorphic development. Based on individual devices, interconnection of artificial neurons and synapses, or with biomimetic sensors and actuators, forms end-to-end sensory neuromorphic systems. The system integrates dynamic environmental perception from multiple sensory modalities, enabling real-time learning and adaptation to achieve complete perception-cognition process.\nThe interactions between artificial neurons and synapses constitute the core of neural information processing and network dynamic regulation, encompassing signal transmission, plasticity modulation, and network stability maintenance. Current research has identified three fundamental interconnection modes: (i) synapse toward neuron or neuron toward synapse information flow pathways. Synapses transmit information to modulate the activity of downstream neurons, or conversely, single-neuron impulses directly regulate synaptic weights, thereby establishing a directional information flow. For instance, distinct signals from 2D ferroelectric synapses are integrated by 2D impact ionization field-effect transistor (I2FET) neurons to emulate spatial and spatiotemporal summation (as illustrated in Fig. 11a–c) [49]. Zhou et al. also proposed a compact and energy-efficient interconnected architecture in which cycle-to-cycle variations in the TS voltage intrinsically induce stochastic synaptic weight decay (as demonstrated in Fig. 11d) [18]. In fact, the brain operates through coordinated activity in complex networks comprising hundreds of millions of neurons, which motivates the co-integration of synaptic devices and neuronal circuits on a single chip, enabling large-scale neuromorphic arrays capable of parallel computation. Notable progress was achieved by Yu’s group, who emulated neuronal membrane potentials using multi-terminal floating-gate memristors for interneuronal connections, achieving large-scale integration of a 7 × 16 crossbar array (Fig. 11f) [182]. Moreover, the network scale can be further expanded to execute complex cognitive tasks by cascading multiple chip modules through an expandable interconnected architecture. (ii) Neuron–synapse–neuron interconnection. Changes in synaptic plasticity through the activity of pre-neurons propagate to modulate distal neurons, establishing network-level adaptability. This effect was experimentally demonstrated by Jo et al. in Fig. 11g, h [167]. (iii) Interconnection feedback. Higher-order neuronal outputs modulate synaptic efficacy in primary neurons through feedback loops to establish dynamic equilibrium. As demonstrated by the neural unit circuit in Fig. 11e, the comparator switches from VCC (0.01 V) to a VEE (− 2 V) output upon receiving suprathreshold neural impulses. This signal not only serves to initialize membrane potentials in postsynaptic neurons but also provides feedback to presynaptic terminals for adaptive weight updates through STDP rules, thereby enabling online learning [182]. With continued advancements in materials, fabrication technologies, and device physics, the integration and interconnection of synaptic and neuronal devices is poised to achieve breakthroughs in functional complexity, energy efficiency, and biological fidelity.Fig. 11a Circuit schematic of an interconnected neural network comprising two synapses and one spiking neuron. b-c Schematic representation of the spatial summation and spatiotemporal summation of the two pulse inputs. The integrated spiking neuron responses are displayed in c Reproduced with permission [49]. Copyright (2024), Wiley–VCH GmbH. d Illustration of the DropConnect hardware implementation. Reproduced with permission [18]. Copyright (2025), Wiley–VCH GmbH. e Basic synapse–neuron assembly schematic demonstrating unsupervised learning through STDP synapses and LIF neuron functions. f Optical image of a large-scale integrated neurosynaptic array. Reproduced with permission [182]. Copyright (2023), Springer Nature. g Circuit schematic of a neuron–synapse–neuron interconnected hardware system. h Transient electrical monitoring of artificial neural networks under three distinct synaptic device conductance states. i Magnified view of the synaptic device conductance of 363 μS. Reproduced with permission [167]. Copyright (2023), Wiley–VCH GmbH\na Circuit schematic of an interconnected neural network comprising two synapses and one spiking neuron. b-c Schematic representation of the spatial summation and spatiotemporal summation of the two pulse inputs. The integrated spiking neuron responses are displayed in c Reproduced with permission [49]. Copyright (2024), Wiley–VCH GmbH. d Illustration of the DropConnect hardware implementation. Reproduced with permission [18]. Copyright (2025), Wiley–VCH GmbH. e Basic synapse–neuron assembly schematic demonstrating unsupervised learning through STDP synapses and LIF neuron functions. f Optical image of a large-scale integrated neurosynaptic array. Reproduced with permission [182]. Copyright (2023), Springer Nature. g Circuit schematic of a neuron–synapse–neuron interconnected hardware system. h Transient electrical monitoring of artificial neural networks under three distinct synaptic device conductance states. i Magnified view of the synaptic device conductance of 363 μS. Reproduced with permission [167]. Copyright (2023), Wiley–VCH GmbH\nIn the primary stage of biological systems receiving external data input, neurons integrate signals through two distinct modalities: responding to external stimuli directly through specialized neurons [183], and acquiring information indirectly via sensory cell interactions [184]. These dual pathways are precisely replicated and optimized in electronic systems. As specialized neurons shown by Zeng et al., the excellent photoresponsivity of oxidized MXenes enables direct coupling with ultraviolet light to achieve optically assisted single-neuron spiking excitation, as illustrated in Fig. 12a [62]. Further advancing the direct perception, Fig. 12b showcases a direct perceptive synapse that natively integrates mechanoreceptive functionality [185]. The triboelectric gating effect, arising from direct or indirect contact between the receiving layer and the gate dielectric, modulates excitatory postsynaptic currents to enable both slowly adapting and rapidly adapting characteristics for signal preprocessing. Similar specialized neural devices also include thermally sensitive [186] and humidity-sensitive [187] devices, which directly integrate functional sensing 2D materials inside neuromorphic devices.Fig. 12a-b Direct perception: a Device structure of oxidized MXene-based artificial optoelectronic memristor and integrate-fire behaviors respond to a series of electrical spikes with different voltage amplitudes. b Conceptual diagram of an artificial synapse based on an array with eight SA (slow-adapting) and eight FA (fast-adapting) mechanoreceptors and an enlarged structural schematic of the device with synaptic-like connections. Reproduced with permission [185]. Copyright (2025), Springer Nature. c-d Indirect perception: c Bio-inspired visuo-tactile multisensory neuron integrating a triboelectric tactile receptor and MoS2 optoelectronic memtransistor with spike encoding circuitry. Reproduced with permission [188]. Copyright (2023), Springer Nature. d A bio-inspired gustatory system based on graphene chemitransistor and MoS2 memtransistor for simulating psychological and physiological feeding behaviors. Reproduced with permission [189]. Copyright (2023), Springer Nature. e, f Multifunctional perceptual nervous system: e MXene/violet phosphorus heterojunction-based synapses for visual-olfactory cross-modal perception and PSC responses under varying gas environments and light intensities. Reproduced with permission [190]. Copyright (2024), Springer Nature. f Self-powered highly sensitive monolithic vertical transistor for tactile-auditory-visual multimodal perception and memory. Reproduced with permission [191]. Copyright (2022), Springer Nature. g, h Perception–action nervous systems: g Implementation of dynamic training processes in biological neural systems and biomimetic circuits. h Voltage and current responses in the circuit and corresponding robotic hand poses under three distinct training signals and optical signals. Reproduced with permission [61]. Copyright (2022), Elsevier. i An artificial vision system with interconnected photonic synapse, spiking neuron, and electronic eye actuator. j Tension in the electronic eye as a function of illumination duration under ordinary and bright light, with corresponding ocular states. Reproduced with permission [192]. Copyright (2022), Wiley–VCH GmbH\na-b Direct perception: a Device structure of oxidized MXene-based artificial optoelectronic memristor and integrate-fire behaviors respond to a series of electrical spikes with different voltage amplitudes. b Conceptual diagram of an artificial synapse based on an array with eight SA (slow-adapting) and eight FA (fast-adapting) mechanoreceptors and an enlarged structural schematic of the device with synaptic-like connections. Reproduced with permission [185]. Copyright (2025), Springer Nature. c-d Indirect perception: c Bio-inspired visuo-tactile multisensory neuron integrating a triboelectric tactile receptor and MoS2 optoelectronic memtransistor with spike encoding circuitry. Reproduced with permission [188]. Copyright (2023), Springer Nature. d A bio-inspired gustatory system based on graphene chemitransistor and MoS2 memtransistor for simulating psychological and physiological feeding behaviors. Reproduced with permission [189]. Copyright (2023), Springer Nature. e, f Multifunctional perceptual nervous system: e MXene/violet phosphorus heterojunction-based synapses for visual-olfactory cross-modal perception and PSC responses under varying gas environments and light intensities. Reproduced with permission [190]. Copyright (2024), Springer Nature. f Self-powered highly sensitive monolithic vertical transistor for tactile-auditory-visual multimodal perception and memory. Reproduced with permission [191]. Copyright (2022), Springer Nature. g, h Perception–action nervous systems: g Implementation of dynamic training processes in biological neural systems and biomimetic circuits. h Voltage and current responses in the circuit and corresponding robotic hand poses under three distinct training signals and optical signals. Reproduced with permission [61]. Copyright (2022), Elsevier. i An artificial vision system with interconnected photonic synapse, spiking neuron, and electronic eye actuator. j Tension in the electronic eye as a function of illumination duration under ordinary and bright light, with corresponding ocular states. Reproduced with permission [192]. Copyright (2022), Wiley–VCH GmbH\nSome systems employ indirect perception. Sensors first transduce physical signals into electrical signals, which are then integrated by threshold neuron devices. Subsequently, it can be transmitted to the synapses for weight-update-dependent training signal propagation. Current research has achieved comprehensive coverage of five sensory modalities (auditory, olfactory, visual, gustatory, and tactile) by exploring 2D material heterointegration technologies, developing novel interconnection architectures, and incorporating the hierarchical organization and information processing principles of biological neural systems. These advances enable the emulation of increasingly sophisticated environmental adaptive behaviors. As displayed in Fig. 12c, d, Das’s team constructed circuits using graphene and MoS2 to emulate tactile and gustatory neural systems [188, 189]. The tactile study implemented mechanosensory neural coding through piezoresistive sensors coupled with synaptic transistors, while the gustatory investigation integrated chemitransistors with neuronal circuits to process both hunger (physiological) and appetite (psychological) signals.\nNatural biological perception systems typically require simultaneous processing of multimodal stimuli and execute dynamic decision-making through sophisticated cooperative regulation. In Fig. 12e, Ma et al. report an optoelectronic synapse based on the persistent photoconductivity effect in MXene/violet phosphorus heterojunctions, capable of emulating diverse synaptic behaviors [190]. The device exhibits distinct optoelectronic responses as well as image learning and memory characteristics in certain chemical environments, achieving synaptic-level simulation of visual-olfactory cross-modal perception. In the study by Liu et al., triboelectric potentials, acoustic waves, and optical stimuli were transduced into unified PSC through modulation of the electrical double layer in ion gels and the Schottky barrier at MXene/semiconductor interfaces, ultimately enabling multimodal emotion recognition as shown in Fig. 12f [191].\nFurthermore, the interconnected control between neuromorphic systems and actuators enables closed-loop intelligent behaviors spanning perception to action. Such systems typically process information through neuromorphic devices, then drive actuators by spike-encoded outputs, while employing learning rules (e.g., STDP and BCM) to allow dynamic movement strategy adjustments akin to biological nervous systems. Typical applications include an integrated visual perception-actuation (Fig. 12g) system to emulate the hand-withdrawal reflex. The output of the system drives a bio-inspired actuator under three operational conditions, with the activation time synchronized to spike emission. With training and illumination, the activation time decreases significantly, and the retraction response becomes more pronounced (Fig. 12h) [61]. The electronic eye system developed by Yan’s team primarily utilizes Sb2Se3/CdS-core/shell nanorod array optoelectronic memristor as photonic synapses [192] (Fig. 12i). Synaptic weight updates modified by light intensities induced corresponding adjustments in both the spiking frequency and amplitude of neuronal outputs. Under high-intensity illumination, actuator tensile force decreases to trigger eyelid closure for light attenuation, whereas normal light conditions maintain eyelid openness for optical information acquisition (Fig. 12j). These advancements are propelling perception-actuator systems beyond simple motion mimicry toward autonomous intelligent behaviors, thereby establishing novel design paradigms for next-generation robotics, intelligent prosthetics, and adaptive mechanical systems.\nThe neuroscience-oriented spiking neural network (SNN) is ideal for event-driven applications and can be deployed on neuromorphic chips for parallel, low-power operation. Advancements in neuromorphic hardware are significantly expediting the deployment of SNNs, thereby expanding the frontiers of AIoT. Neuromorphic hardware systems employing 2D materials as functional layers demonstrate distinct advantages in pattern recognition applications: (i) Relatively high charge carrier mobility enables rapid data processing and transmission during pattern recognition tasks to enhance computational efficiency [193–195]. This is necessary for applications that require real-time decision-making [196]. (ii) Exceptional mechanical robustness enables systems to maintain reliable performance under repeated dynamic deformation, suitable for SNN systems in biomimetic robotic surfaces and wearable health monitoring applications [197, 198]. (iii) The tunable material properties provide a physical foundation for the precise mapping of SNN learning rules (e.g., STDP) at the hardware level [122, 199]. In recent years, image computing platforms leveraging 2D materials have been continuously explored and innovated. In Fig. 13a a three-layer SNN was designed for processing the Yale Face Database, where pixel values were converted into stochastic spike voltages through temporal coding, with synaptic and neuronal circuits performing subsequent information processing. The results indicate that the SNN achieves accuracies of 71.6% and 95.8% for facial expression recognition and face classification tasks, respectively (Fig. 13b, c). The system is further applicable to recognition tasks in adaptive dynamic neural networks (Growing When Required, GWR) [10]. Figure 13d exhibits a crossbar array based on CuInP2S6 -based synaptic and neural devices. This SNN achieves unsupervised learning by engineering targeted temporal correlations between presynaptic and postsynaptic spikes. The detected pixels are converted into presynaptic spikes using pulse delay timing to encode the analog information of pixel intensity (Fig. 13e). Following 20 training epochs with the implementation of the lateral inhibition function in neurons, a high recognition accuracy of 95.83% was achieved (Fig. 13f) [69]. Recent advances demonstrate that SNN architectures employing diverse learning rules are evolving from static image analysis to complex dynamic vision processing, marked by the addressing of critical challenges such as real-time object detection and tracking for autonomous driving. A vehicle tracking application based on the triplet-STDP-enabled YOLO-SNN was realized by Zhang’s team. Efficient feature extraction relies on the weight update process through pairwise correlations between neurons in the preceding layer (Fig. 13g–h). Even under overlapping conditions between two target vehicles, the network equipped with triplet-STDP maintains precise tracking, achieving a detection accuracy of 90.44% (Fig. 13i) [199].Fig. 13a Schematic of a three-layer spiking neural network for facial and expression classification. b Facial and expression recognition accuracy after 100 training epochs. c GWR network dynamically reduces node count by 72% with superior efficiency. Reproduced with permission [10]. Copyright (2023), AIP Publishing. d A neuron- and synapse-based pseudo-crossbar array for SNN implementation. e Intensity of input pixels encodes the timing of presynaptic spikes. f Recognition rate with and without lateral inhibition across training epochs. Reproduced with permission [69]. Copyright (2025), Wiley–VCH GmbH. g YOLO-SNN architecture schematic and workflow for dynamic object detection and tracking. h Event correlation-dependent plasticity process in the triplet-STDP learning rule. i Tracking accuracy comparison of the triplet-STDP-enabled SNN, paired-STDP-enabled SNN, and the original YOLO-SNN. Reproduced with permission [199]. Copyright 2025, Springer Nature\na Schematic of a three-layer spiking neural network for facial and expression classification. b Facial and expression recognition accuracy after 100 training epochs. c GWR network dynamically reduces node count by 72% with superior efficiency. Reproduced with permission [10]. Copyright (2023), AIP Publishing. d A neuron- and synapse-based pseudo-crossbar array for SNN implementation. e Intensity of input pixels encodes the timing of presynaptic spikes. f Recognition rate with and without lateral inhibition across training epochs. Reproduced with permission [69]. Copyright (2025), Wiley–VCH GmbH. g YOLO-SNN architecture schematic and workflow for dynamic object detection and tracking. h Event correlation-dependent plasticity process in the triplet-STDP learning rule. i Tracking accuracy comparison of the triplet-STDP-enabled SNN, paired-STDP-enabled SNN, and the original YOLO-SNN. Reproduced with permission [199].\nCopyright 2025, Springer Nature\nTraditional CMOS logic gates are widely employed in microprocessors and microcontrollers. The basic logic gate, such as a NOT gate, requires at least one NMOS and one PMOS transistor connected in series. Implementing more complex combinational and sequential logic gates necessitates additional transistors, bypass capacitors, and multi-level cascading circuits, resulting in significant circuit complexity. Consequently, there are pressing needs for novel approaches that balance high integration density, computational efficiency, and precise temporal control. Notably, artificial neurons and synapses can be directly utilized as fundamental physical units for the execution of logical operations. When the weighted sum of two input signals exceeds the rated threshold, the neuron fires suprathreshold spikes (logic “[1, 1]”); otherwise, it remains in a resting state (logic “[0,1]” or “[0,0]”), as illustrated in Fig. 14a [19]. Memristive synapses, leveraging their dynamic resistive characteristics, can directly realize hardware-level logic state storage and sequential calculation through gating control. This intrinsic programmability enables their configuration as NAND, OR, XOR, and other logic gates, as demonstrated in Fig. 14b [200]. Roy’s team proceeds to connect multiple synapses and biased resistors to govern neuronal output currents to implement AND, OR, and NOT Boolean logic gate functionalities in a monolithically integrated circuit, as shown in Fig. 14c [201]. Furthermore, numerous neuromorphic hardware platforms exhibit multimodal tunable logic capabilities. A representative example is optoelectronic co-control, illustrated in Fig. 14d, where Yang et al. proposed a reconfigurable Boolean logic scheme [202]. Relying on the device’s positive (PPC) and negative (NPC) photoconductance effects, the system demonstrates four distinct logic states: AND and OR in PPC mode, alongside NAND and NOR in NPC mode through utilizing voltage polarity- and light intensity-encoded binary conductance switching. Programmable logic functionalities can be further expanded through electrical, optical, and mechanical multi-stimuli modulation strategies [203–207].Fig. 14a Schematic of the neuron transistor’s logic operations, working principle, and an “AND” logic mode implemented through spatiotemporal integration. Bottom-gate architecture for multi-logic mode switching. Reproduced with permission [19]. Copyright (2024), Wiley–VCH GmbH. b An exploded view of the device configuration based on Te/WS2 heterojunction and five distinct logic modes implemented in a single device through synergistic top-gate and bottom-gate control. Reproduced with permission [200]. Copyright (2024), Wiley–VCH GmbH. c Implementation schematics of two-input AND, OR, NOT logic gates and corresponding spiking outputs post-neuronal integration. Reproduced with permission [201]. Copyright (2022), American Chemical Society. d Diagram of optoelectronic hybrid-input logic gates and operational scheme illustration of reconfigurable non-volatile optoelectronic logic modes. Reproduced with permission [202]. Copyright (2022), Wiley–VCH GmbH\na Schematic of the neuron transistor’s logic operations, working principle, and an “AND” logic mode implemented through spatiotemporal integration. Bottom-gate architecture for multi-logic mode switching. Reproduced with permission [19]. Copyright (2024), Wiley–VCH GmbH. b An exploded view of the device configuration based on Te/WS2 heterojunction and five distinct logic modes implemented in a single device through synergistic top-gate and bottom-gate control. Reproduced with permission [200]. Copyright (2024), Wiley–VCH GmbH. c Implementation schematics of two-input AND, OR, NOT logic gates and corresponding spiking outputs post-neuronal integration. Reproduced with permission [201]. Copyright (2022), American Chemical Society. d Diagram of optoelectronic hybrid-input logic gates and operational scheme illustration of reconfigurable non-volatile optoelectronic logic modes. Reproduced with permission [202]. Copyright (2022), Wiley–VCH GmbH\n\n\n### Neuron–Synapse Integration and Interconnection\nThe interactions between artificial neurons and synapses constitute the core of neural information processing and network dynamic regulation, encompassing signal transmission, plasticity modulation, and network stability maintenance. Current research has identified three fundamental interconnection modes: (i) synapse toward neuron or neuron toward synapse information flow pathways. Synapses transmit information to modulate the activity of downstream neurons, or conversely, single-neuron impulses directly regulate synaptic weights, thereby establishing a directional information flow. For instance, distinct signals from 2D ferroelectric synapses are integrated by 2D impact ionization field-effect transistor (I2FET) neurons to emulate spatial and spatiotemporal summation (as illustrated in Fig. 11a–c) [49]. Zhou et al. also proposed a compact and energy-efficient interconnected architecture in which cycle-to-cycle variations in the TS voltage intrinsically induce stochastic synaptic weight decay (as demonstrated in Fig. 11d) [18]. In fact, the brain operates through coordinated activity in complex networks comprising hundreds of millions of neurons, which motivates the co-integration of synaptic devices and neuronal circuits on a single chip, enabling large-scale neuromorphic arrays capable of parallel computation. Notable progress was achieved by Yu’s group, who emulated neuronal membrane potentials using multi-terminal floating-gate memristors for interneuronal connections, achieving large-scale integration of a 7 × 16 crossbar array (Fig. 11f) [182]. Moreover, the network scale can be further expanded to execute complex cognitive tasks by cascading multiple chip modules through an expandable interconnected architecture. (ii) Neuron–synapse–neuron interconnection. Changes in synaptic plasticity through the activity of pre-neurons propagate to modulate distal neurons, establishing network-level adaptability. This effect was experimentally demonstrated by Jo et al. in Fig. 11g, h [167]. (iii) Interconnection feedback. Higher-order neuronal outputs modulate synaptic efficacy in primary neurons through feedback loops to establish dynamic equilibrium. As demonstrated by the neural unit circuit in Fig. 11e, the comparator switches from VCC (0.01 V) to a VEE (− 2 V) output upon receiving suprathreshold neural impulses. This signal not only serves to initialize membrane potentials in postsynaptic neurons but also provides feedback to presynaptic terminals for adaptive weight updates through STDP rules, thereby enabling online learning [182]. With continued advancements in materials, fabrication technologies, and device physics, the integration and interconnection of synaptic and neuronal devices is poised to achieve breakthroughs in functional complexity, energy efficiency, and biological fidelity.Fig. 11a Circuit schematic of an interconnected neural network comprising two synapses and one spiking neuron. b-c Schematic representation of the spatial summation and spatiotemporal summation of the two pulse inputs. The integrated spiking neuron responses are displayed in c Reproduced with permission [49]. Copyright (2024), Wiley–VCH GmbH. d Illustration of the DropConnect hardware implementation. Reproduced with permission [18]. Copyright (2025), Wiley–VCH GmbH. e Basic synapse–neuron assembly schematic demonstrating unsupervised learning through STDP synapses and LIF neuron functions. f Optical image of a large-scale integrated neurosynaptic array. Reproduced with permission [182]. Copyright (2023), Springer Nature. g Circuit schematic of a neuron–synapse–neuron interconnected hardware system. h Transient electrical monitoring of artificial neural networks under three distinct synaptic device conductance states. i Magnified view of the synaptic device conductance of 363 μS. Reproduced with permission [167]. Copyright (2023), Wiley–VCH GmbH\na Circuit schematic of an interconnected neural network comprising two synapses and one spiking neuron. b-c Schematic representation of the spatial summation and spatiotemporal summation of the two pulse inputs. The integrated spiking neuron responses are displayed in c Reproduced with permission [49]. Copyright (2024), Wiley–VCH GmbH. d Illustration of the DropConnect hardware implementation. Reproduced with permission [18]. Copyright (2025), Wiley–VCH GmbH. e Basic synapse–neuron assembly schematic demonstrating unsupervised learning through STDP synapses and LIF neuron functions. f Optical image of a large-scale integrated neurosynaptic array. Reproduced with permission [182]. Copyright (2023), Springer Nature. g Circuit schematic of a neuron–synapse–neuron interconnected hardware system. h Transient electrical monitoring of artificial neural networks under three distinct synaptic device conductance states. i Magnified view of the synaptic device conductance of 363 μS. Reproduced with permission [167]. Copyright (2023), Wiley–VCH GmbH\n\n\n### Multimodal Perception and Execution of Artificial Neurons and Synapses\nIn the primary stage of biological systems receiving external data input, neurons integrate signals through two distinct modalities: responding to external stimuli directly through specialized neurons [183], and acquiring information indirectly via sensory cell interactions [184]. These dual pathways are precisely replicated and optimized in electronic systems. As specialized neurons shown by Zeng et al., the excellent photoresponsivity of oxidized MXenes enables direct coupling with ultraviolet light to achieve optically assisted single-neuron spiking excitation, as illustrated in Fig. 12a [62]. Further advancing the direct perception, Fig. 12b showcases a direct perceptive synapse that natively integrates mechanoreceptive functionality [185]. The triboelectric gating effect, arising from direct or indirect contact between the receiving layer and the gate dielectric, modulates excitatory postsynaptic currents to enable both slowly adapting and rapidly adapting characteristics for signal preprocessing. Similar specialized neural devices also include thermally sensitive [186] and humidity-sensitive [187] devices, which directly integrate functional sensing 2D materials inside neuromorphic devices.Fig. 12a-b Direct perception: a Device structure of oxidized MXene-based artificial optoelectronic memristor and integrate-fire behaviors respond to a series of electrical spikes with different voltage amplitudes. b Conceptual diagram of an artificial synapse based on an array with eight SA (slow-adapting) and eight FA (fast-adapting) mechanoreceptors and an enlarged structural schematic of the device with synaptic-like connections. Reproduced with permission [185]. Copyright (2025), Springer Nature. c-d Indirect perception: c Bio-inspired visuo-tactile multisensory neuron integrating a triboelectric tactile receptor and MoS2 optoelectronic memtransistor with spike encoding circuitry. Reproduced with permission [188]. Copyright (2023), Springer Nature. d A bio-inspired gustatory system based on graphene chemitransistor and MoS2 memtransistor for simulating psychological and physiological feeding behaviors. Reproduced with permission [189]. Copyright (2023), Springer Nature. e, f Multifunctional perceptual nervous system: e MXene/violet phosphorus heterojunction-based synapses for visual-olfactory cross-modal perception and PSC responses under varying gas environments and light intensities. Reproduced with permission [190]. Copyright (2024), Springer Nature. f Self-powered highly sensitive monolithic vertical transistor for tactile-auditory-visual multimodal perception and memory. Reproduced with permission [191]. Copyright (2022), Springer Nature. g, h Perception–action nervous systems: g Implementation of dynamic training processes in biological neural systems and biomimetic circuits. h Voltage and current responses in the circuit and corresponding robotic hand poses under three distinct training signals and optical signals. Reproduced with permission [61]. Copyright (2022), Elsevier. i An artificial vision system with interconnected photonic synapse, spiking neuron, and electronic eye actuator. j Tension in the electronic eye as a function of illumination duration under ordinary and bright light, with corresponding ocular states. Reproduced with permission [192]. Copyright (2022), Wiley–VCH GmbH\na-b Direct perception: a Device structure of oxidized MXene-based artificial optoelectronic memristor and integrate-fire behaviors respond to a series of electrical spikes with different voltage amplitudes. b Conceptual diagram of an artificial synapse based on an array with eight SA (slow-adapting) and eight FA (fast-adapting) mechanoreceptors and an enlarged structural schematic of the device with synaptic-like connections. Reproduced with permission [185]. Copyright (2025), Springer Nature. c-d Indirect perception: c Bio-inspired visuo-tactile multisensory neuron integrating a triboelectric tactile receptor and MoS2 optoelectronic memtransistor with spike encoding circuitry. Reproduced with permission [188]. Copyright (2023), Springer Nature. d A bio-inspired gustatory system based on graphene chemitransistor and MoS2 memtransistor for simulating psychological and physiological feeding behaviors. Reproduced with permission [189]. Copyright (2023), Springer Nature. e, f Multifunctional perceptual nervous system: e MXene/violet phosphorus heterojunction-based synapses for visual-olfactory cross-modal perception and PSC responses under varying gas environments and light intensities. Reproduced with permission [190]. Copyright (2024), Springer Nature. f Self-powered highly sensitive monolithic vertical transistor for tactile-auditory-visual multimodal perception and memory. Reproduced with permission [191]. Copyright (2022), Springer Nature. g, h Perception–action nervous systems: g Implementation of dynamic training processes in biological neural systems and biomimetic circuits. h Voltage and current responses in the circuit and corresponding robotic hand poses under three distinct training signals and optical signals. Reproduced with permission [61]. Copyright (2022), Elsevier. i An artificial vision system with interconnected photonic synapse, spiking neuron, and electronic eye actuator. j Tension in the electronic eye as a function of illumination duration under ordinary and bright light, with corresponding ocular states. Reproduced with permission [192]. Copyright (2022), Wiley–VCH GmbH\nSome systems employ indirect perception. Sensors first transduce physical signals into electrical signals, which are then integrated by threshold neuron devices. Subsequently, it can be transmitted to the synapses for weight-update-dependent training signal propagation. Current research has achieved comprehensive coverage of five sensory modalities (auditory, olfactory, visual, gustatory, and tactile) by exploring 2D material heterointegration technologies, developing novel interconnection architectures, and incorporating the hierarchical organization and information processing principles of biological neural systems. These advances enable the emulation of increasingly sophisticated environmental adaptive behaviors. As displayed in Fig. 12c, d, Das’s team constructed circuits using graphene and MoS2 to emulate tactile and gustatory neural systems [188, 189]. The tactile study implemented mechanosensory neural coding through piezoresistive sensors coupled with synaptic transistors, while the gustatory investigation integrated chemitransistors with neuronal circuits to process both hunger (physiological) and appetite (psychological) signals.\nNatural biological perception systems typically require simultaneous processing of multimodal stimuli and execute dynamic decision-making through sophisticated cooperative regulation. In Fig. 12e, Ma et al. report an optoelectronic synapse based on the persistent photoconductivity effect in MXene/violet phosphorus heterojunctions, capable of emulating diverse synaptic behaviors [190]. The device exhibits distinct optoelectronic responses as well as image learning and memory characteristics in certain chemical environments, achieving synaptic-level simulation of visual-olfactory cross-modal perception. In the study by Liu et al., triboelectric potentials, acoustic waves, and optical stimuli were transduced into unified PSC through modulation of the electrical double layer in ion gels and the Schottky barrier at MXene/semiconductor interfaces, ultimately enabling multimodal emotion recognition as shown in Fig. 12f [191].\nFurthermore, the interconnected control between neuromorphic systems and actuators enables closed-loop intelligent behaviors spanning perception to action. Such systems typically process information through neuromorphic devices, then drive actuators by spike-encoded outputs, while employing learning rules (e.g., STDP and BCM) to allow dynamic movement strategy adjustments akin to biological nervous systems. Typical applications include an integrated visual perception-actuation (Fig. 12g) system to emulate the hand-withdrawal reflex. The output of the system drives a bio-inspired actuator under three operational conditions, with the activation time synchronized to spike emission. With training and illumination, the activation time decreases significantly, and the retraction response becomes more pronounced (Fig. 12h) [61]. The electronic eye system developed by Yan’s team primarily utilizes Sb2Se3/CdS-core/shell nanorod array optoelectronic memristor as photonic synapses [192] (Fig. 12i). Synaptic weight updates modified by light intensities induced corresponding adjustments in both the spiking frequency and amplitude of neuronal outputs. Under high-intensity illumination, actuator tensile force decreases to trigger eyelid closure for light attenuation, whereas normal light conditions maintain eyelid openness for optical information acquisition (Fig. 12j). These advancements are propelling perception-actuator systems beyond simple motion mimicry toward autonomous intelligent behaviors, thereby establishing novel design paradigms for next-generation robotics, intelligent prosthetics, and adaptive mechanical systems.\n\n\n### Neuromorphic Hardware Systems for SNNs\nThe neuroscience-oriented spiking neural network (SNN) is ideal for event-driven applications and can be deployed on neuromorphic chips for parallel, low-power operation. Advancements in neuromorphic hardware are significantly expediting the deployment of SNNs, thereby expanding the frontiers of AIoT. Neuromorphic hardware systems employing 2D materials as functional layers demonstrate distinct advantages in pattern recognition applications: (i) Relatively high charge carrier mobility enables rapid data processing and transmission during pattern recognition tasks to enhance computational efficiency [193–195]. This is necessary for applications that require real-time decision-making [196]. (ii) Exceptional mechanical robustness enables systems to maintain reliable performance under repeated dynamic deformation, suitable for SNN systems in biomimetic robotic surfaces and wearable health monitoring applications [197, 198]. (iii) The tunable material properties provide a physical foundation for the precise mapping of SNN learning rules (e.g., STDP) at the hardware level [122, 199]. In recent years, image computing platforms leveraging 2D materials have been continuously explored and innovated. In Fig. 13a a three-layer SNN was designed for processing the Yale Face Database, where pixel values were converted into stochastic spike voltages through temporal coding, with synaptic and neuronal circuits performing subsequent information processing. The results indicate that the SNN achieves accuracies of 71.6% and 95.8% for facial expression recognition and face classification tasks, respectively (Fig. 13b, c). The system is further applicable to recognition tasks in adaptive dynamic neural networks (Growing When Required, GWR) [10]. Figure 13d exhibits a crossbar array based on CuInP2S6 -based synaptic and neural devices. This SNN achieves unsupervised learning by engineering targeted temporal correlations between presynaptic and postsynaptic spikes. The detected pixels are converted into presynaptic spikes using pulse delay timing to encode the analog information of pixel intensity (Fig. 13e). Following 20 training epochs with the implementation of the lateral inhibition function in neurons, a high recognition accuracy of 95.83% was achieved (Fig. 13f) [69]. Recent advances demonstrate that SNN architectures employing diverse learning rules are evolving from static image analysis to complex dynamic vision processing, marked by the addressing of critical challenges such as real-time object detection and tracking for autonomous driving. A vehicle tracking application based on the triplet-STDP-enabled YOLO-SNN was realized by Zhang’s team. Efficient feature extraction relies on the weight update process through pairwise correlations between neurons in the preceding layer (Fig. 13g–h). Even under overlapping conditions between two target vehicles, the network equipped with triplet-STDP maintains precise tracking, achieving a detection accuracy of 90.44% (Fig. 13i) [199].Fig. 13a Schematic of a three-layer spiking neural network for facial and expression classification. b Facial and expression recognition accuracy after 100 training epochs. c GWR network dynamically reduces node count by 72% with superior efficiency. Reproduced with permission [10]. Copyright (2023), AIP Publishing. d A neuron- and synapse-based pseudo-crossbar array for SNN implementation. e Intensity of input pixels encodes the timing of presynaptic spikes. f Recognition rate with and without lateral inhibition across training epochs. Reproduced with permission [69]. Copyright (2025), Wiley–VCH GmbH. g YOLO-SNN architecture schematic and workflow for dynamic object detection and tracking. h Event correlation-dependent plasticity process in the triplet-STDP learning rule. i Tracking accuracy comparison of the triplet-STDP-enabled SNN, paired-STDP-enabled SNN, and the original YOLO-SNN. Reproduced with permission [199]. Copyright 2025, Springer Nature\na Schematic of a three-layer spiking neural network for facial and expression classification. b Facial and expression recognition accuracy after 100 training epochs. c GWR network dynamically reduces node count by 72% with superior efficiency. Reproduced with permission [10]. Copyright (2023), AIP Publishing. d A neuron- and synapse-based pseudo-crossbar array for SNN implementation. e Intensity of input pixels encodes the timing of presynaptic spikes. f Recognition rate with and without lateral inhibition across training epochs. Reproduced with permission [69]. Copyright (2025), Wiley–VCH GmbH. g YOLO-SNN architecture schematic and workflow for dynamic object detection and tracking. h Event correlation-dependent plasticity process in the triplet-STDP learning rule. i Tracking accuracy comparison of the triplet-STDP-enabled SNN, paired-STDP-enabled SNN, and the original YOLO-SNN. Reproduced with permission [199].\nCopyright 2025, Springer Nature\n\n\n### Neuromorphic Devices for Logical Operations\nTraditional CMOS logic gates are widely employed in microprocessors and microcontrollers. The basic logic gate, such as a NOT gate, requires at least one NMOS and one PMOS transistor connected in series. Implementing more complex combinational and sequential logic gates necessitates additional transistors, bypass capacitors, and multi-level cascading circuits, resulting in significant circuit complexity. Consequently, there are pressing needs for novel approaches that balance high integration density, computational efficiency, and precise temporal control. Notably, artificial neurons and synapses can be directly utilized as fundamental physical units for the execution of logical operations. When the weighted sum of two input signals exceeds the rated threshold, the neuron fires suprathreshold spikes (logic “[1, 1]”); otherwise, it remains in a resting state (logic “[0,1]” or “[0,0]”), as illustrated in Fig. 14a [19]. Memristive synapses, leveraging their dynamic resistive characteristics, can directly realize hardware-level logic state storage and sequential calculation through gating control. This intrinsic programmability enables their configuration as NAND, OR, XOR, and other logic gates, as demonstrated in Fig. 14b [200]. Roy’s team proceeds to connect multiple synapses and biased resistors to govern neuronal output currents to implement AND, OR, and NOT Boolean logic gate functionalities in a monolithically integrated circuit, as shown in Fig. 14c [201]. Furthermore, numerous neuromorphic hardware platforms exhibit multimodal tunable logic capabilities. A representative example is optoelectronic co-control, illustrated in Fig. 14d, where Yang et al. proposed a reconfigurable Boolean logic scheme [202]. Relying on the device’s positive (PPC) and negative (NPC) photoconductance effects, the system demonstrates four distinct logic states: AND and OR in PPC mode, alongside NAND and NOR in NPC mode through utilizing voltage polarity- and light intensity-encoded binary conductance switching. Programmable logic functionalities can be further expanded through electrical, optical, and mechanical multi-stimuli modulation strategies [203–207].Fig. 14a Schematic of the neuron transistor’s logic operations, working principle, and an “AND” logic mode implemented through spatiotemporal integration. Bottom-gate architecture for multi-logic mode switching. Reproduced with permission [19]. Copyright (2024), Wiley–VCH GmbH. b An exploded view of the device configuration based on Te/WS2 heterojunction and five distinct logic modes implemented in a single device through synergistic top-gate and bottom-gate control. Reproduced with permission [200]. Copyright (2024), Wiley–VCH GmbH. c Implementation schematics of two-input AND, OR, NOT logic gates and corresponding spiking outputs post-neuronal integration. Reproduced with permission [201]. Copyright (2022), American Chemical Society. d Diagram of optoelectronic hybrid-input logic gates and operational scheme illustration of reconfigurable non-volatile optoelectronic logic modes. Reproduced with permission [202]. Copyright (2022), Wiley–VCH GmbH\na Schematic of the neuron transistor’s logic operations, working principle, and an “AND” logic mode implemented through spatiotemporal integration. Bottom-gate architecture for multi-logic mode switching. Reproduced with permission [19]. Copyright (2024), Wiley–VCH GmbH. b An exploded view of the device configuration based on Te/WS2 heterojunction and five distinct logic modes implemented in a single device through synergistic top-gate and bottom-gate control. Reproduced with permission [200]. Copyright (2024), Wiley–VCH GmbH. c Implementation schematics of two-input AND, OR, NOT logic gates and corresponding spiking outputs post-neuronal integration. Reproduced with permission [201]. Copyright (2022), American Chemical Society. d Diagram of optoelectronic hybrid-input logic gates and operational scheme illustration of reconfigurable non-volatile optoelectronic logic modes. Reproduced with permission [202]. Copyright (2022), Wiley–VCH GmbH\n\n\n### Roadmap and Challenges\n2D material-based neuromorphic device engineering and chip prototyping is a nascent and rapidly evolving frontier. As shown in Fig. 15, the development track began with 2D memristors and has since evolved into diverse platforms based on various mechanisms, successfully emulating biological synaptic and neuronal functionalities. Reconfigurable neuromorphic devices subsequently emerge as an ingenious and pivotal solution to the challenges of the post-Moore era. With continuous process advancement and technological refinement, research has evolved from individual device units to array integration and system-level demonstrations. In recent years, cutting-edge research has increasingly focused on sensor-in-computing and the monolithic integration of neuromorphic modules. Notable milestone breakthroughs in this field encompass: a MoS2/Ag nanograting optoelectronic transistor array capable of simultaneous sensing, preprocessing, and recognizing optical images without latency [208]; a 16 × 16 computing kernel based on 2T-2R unit with 3D heterogeneous integration [209]; and integration of MoS2-based reconfigurable transistors into neuromorphic systems as synaptic, heterosynaptic, and neuronal soma modules [210]. Future research on neuromorphic devices and systems should focus on key directions such as performance optimization, mechanism exploration, multifunctional fusion, and advanced integration technologies, among others. AI technologies can be leveraged to assist in material library expansion, process parameter optimization, and functional device design, thereby enhancing the biological plausibility and overall performance of devices. Through three-dimensional, high-density integration of 2D materials with CMOS, future neuromorphic systems are expected to achieve more efficiencies in terms of area and a substantially larger integration scale. Building upon this foundation, neuromorphic chip architectures with dynamic reconfiguration capabilities can be progressively developed, ultimately leading to brain-like chips that rival biological systems in perception, information processing, and adaptive computation.Fig. 15Roadmap of the 2D material neuromorphic device toward a chip. Reproduced with permission [211]. Copyright (2017), Wiley–VCH GmbH. Reproduced with permission [212]. Copyright (2021), Springer Nature. Reproduced with permission [213]. Copyright (2021), Springer Nature. Reproduced with permission [189]. Copyright (2023), Springer Nature. Reproduced with permission [210]. Copyright (2025), Springer Nature. Reproduced with permission [5]. Copyright (2024), Springer Nature\nRoadmap of the 2D material neuromorphic device toward a chip. Reproduced with permission [211]. Copyright (2017), Wiley–VCH GmbH. Reproduced with permission [212]. Copyright (2021), Springer Nature. Reproduced with permission [213]. Copyright (2021), Springer Nature. Reproduced with permission [189]. Copyright (2023), Springer Nature. Reproduced with permission [210]. Copyright (2025), Springer Nature. Reproduced with permission [5]. Copyright (2024), Springer Nature\nHowever, there is still a significant gap between the demonstrated neuromorphic hardware system and those needed for practical large-scale computing applications. A series of barriers remains to be overcome to approach the complexity and reliability of biological systems. The challenges for further research in this field mainly lie in three aspects: (i) material preparation of 2D materials and fabrication process; (ii) design and performance at the device level, and (iii) integration for system-level applications. A schematic illustration is summarized in Fig. 16.Fig. 16Challenges of 2D materials in neuromorphic devices and systems. Reproduced with permission [227]. Copyright (2024), American Chemical Society. Reproduced with permission [223]. Copyright (2025), American Chemical Society. Reproduced with permission [228]. Copyright (2021), IEEE. Reproduced with permission [229]. Copyright 2022, American Association for the Advancement of Science. Reproduced with permission [225]. Copyright (2022), Wiley–VCH GmbH. Reproduced with permission [16]. Copyright (2025), Springer Nature. Reproduced with permission [76]. Copyright (2022), Springer Nature. Reproduced with permission [230]. Copyright (2017), Wiley–VCH GmbH. Reproduced with permission [49]. Copyright (2024), Wiley–VCH GmbH. Reproduced with permission [231]. Copyright (2025), AIP Publishing. Reproduced with permission [232]. Copyright (2024), Wiley–VCH GmbH. Reproduced with permission [233]. Copyright (2025), Springer Nature. Reproduced with permission [234]. Copyright (2020), Springer Nature\nChallenges of 2D materials in neuromorphic devices and systems. Reproduced with permission [227]. Copyright (2024), American Chemical Society. Reproduced with permission [223]. Copyright (2025), American Chemical Society. Reproduced with permission [228]. Copyright (2021), IEEE. Reproduced with permission [229].\nCopyright 2022, American Association for the Advancement of Science. Reproduced with permission [225]. Copyright (2022), Wiley–VCH GmbH. Reproduced with permission [16]. Copyright (2025), Springer Nature. Reproduced with permission [76]. Copyright (2022), Springer Nature. Reproduced with permission [230]. Copyright (2017), Wiley–VCH GmbH. Reproduced with permission [49]. Copyright (2024), Wiley–VCH GmbH. Reproduced with permission [231]. Copyright (2025), AIP Publishing. Reproduced with permission [232]. Copyright (2024), Wiley–VCH GmbH. Reproduced with permission [233]. Copyright (2025), Springer Nature. Reproduced with permission [234]. Copyright (2020), Springer Nature\nThe fabrication of high-quality 2D semiconductor materials serves as the fundamental basis for advancing them toward integrated circuit applications. In current single-device demonstrations, top-down approaches, such as mechanical exfoliation, obtain high-quality few-layer materials. However, these approaches exhibit extremely low yield, uncontrollable dimensions, incapability of precise patterning, and significant performance fluctuations [214, 215]. Prior research has demonstrated that chemical vapor deposition (CVD, a bottom-up approach) can achieve wafer-scale growth [216–218], but this method is plagued by certain limitations such as grain boundary defects in polycrystalline films, limited single-crystalline domain sizes, doping impurities, and difficulty in controlling the nucleation [219]. Recent studies have reported promising technological advances. The rapid growth of centimeter-scale monolayer MoS2 single-crystal domains has been achieved using a confined growth method with two-dimensional molten precursors [220]. Separately, a solid–liquid–solid strategy enables conversion of amorphous InSe films into pure-phase and highly crystalline InSe sheets with uniform coverage across ~ 5 cm wafers [221]. To meet the demands of diverse substrates, some transfer strategies that utilize the surface tension of solutions and liquid nitrogen-assisted stripping are gradually replacing etching techniques in pursuit of cleaner and damage-free transfers [222–224]. Certainly, these growth and transfer technologies are yet to mature for the transition from laboratory to fabrication. Beyond materials growth and transfer, systematic considerations of uniformity and stability in the device fabrication process remain imperative. For instance, in simulating synaptic weight updates, the global and local variations caused by non-uniform layer growth (e.g., thickness, defects, and interaction area) or etching across wafers lead to fluctuations in resistive switching behavior, degrading device-to-device uniformity. Moreover, with progressive device miniaturization, linewidth variation and overlay error emerge as critical concerns, which directly induce fluctuations in the effective channel size and increased parasitic contact resistance. During the integration process, conventional semiconductor processes involve critical steps such as thermal oxidation, annealing, and plasma etching, which can easily induce material decomposition, interface contamination, and even structural damage in 2D materials. These impairments subsequently lead to signal attenuation and timing jitter, thereby further disrupting the emulation of neural behavior. Equally noteworthy is the intrinsic air instability of two-dimensional materials. Exposure to humid and oxygen-containing environments can directly induce material oxidation, increase defects and surface adsorption, leading to uncontrolled drift and degradation of intrinsic electrical properties such as carrier mobility, bandgap, and doping type. The heat accumulation in neuromorphic devices under high-frequency pulsed stimulation will accelerate this process. These constraints result in threshold voltage fluctuations and a reduction in switching ratios under cyclic operation (cycle to cycle), which prevents the reliability criteria demanded in implementations. Therefore, efficient encapsulation strategies constitute critical prerequisites for achieving stable operation in 2D material-based neuromorphic devices. Van der Waals (e.g., h-BN), atomic-layer-deposited (e.g., Al2O3), and polymer-based (e.g., PMMA) encapsulation approaches can significantly suppress environmental degradation of 2D materials by employing physical barrier layers and interface passivation. Nevertheless, it is worth considering that such encapsulation strategies must ensure long-term environmental stability while avoiding the introduction of additional defects or mechanical stress, so as to preserve the intrinsic performance of the material [225].\nResearch on synaptic devices has now established a relatively diverse materials and regulatory strategies. Nevertheless, research efforts should continue to focus on critical characteristics such as linear and symmetric weight update, dynamic range, and resolution, as these performance metrics crucially determine the computational accuracy and efficiency of neural networks. Moreover, compared with the flourishing progress in 2D material-based synaptic devices, the development of neuronal devices still lags in terms of performance and 2D material exploration. Neuronal devices impose more complex functionality requirements, which necessitate simultaneous fulfillment of threshold characteristics, signal integration/firing, refractory period properties, and cross-modal perception, among others, to emulate biological neuron functionality, an area where research remains insufficient. Neuronal intrinsic plasticity plays a fundamental role in regulating complex brain functions, primarily through three pivotal mechanisms: the adjustment of spike threshold, the amplification of excitatory postsynaptic potentials, and changes in resting potential. Nevertheless, research exploration in neuronal intrinsic plasticity remains at a preliminary stage [53, 226]. On the other hand, the potential of emerging 2D materials for artificial neurons remains underexplored, and the correlation mechanisms between material properties and desired neuronal functionalities lack systematic investigation. Further screening of 2D materials (e.g., ferroelectric and phase-change material systems) with intrinsic threshold characteristics and fast dynamics can be achieved by integrating theoretical calculations (density functional theory, molecular dynamics simulations) with experimental validation. Alternatively, controlled defects, heteroatom introduction, and interface engineering in 2D materials can be utilized to adjust carrier mobility and energy barriers, thereby emulating neuronal refractory periods and firing threshold behaviors.\nIn terms of reconfigurable devices, a central challenge lies in the design of devices. Exploring how to systematically integrate emerging heterogeneous materials, multiple physical mechanisms, and structure design to synergistically optimize device performance and reconfigurability is the core research direction in the next stage. In addition, the physical switching mechanisms of functional materials (e.g., domain wall polarization reversal or conductive filament formation/rupture) are often constrained by their intrinsic kinetic processes. Consequently, undesirable operational delays ranging from microseconds to milliseconds arise during reconfiguration, making the device mode transitions incompatible with the real-time requirements of neuromorphic computing. This might require modulating the dynamic process or relying on error-correction coding techniques and algorithms for compensation. Despite current studies having extensively validated the endurance of neuromorphic devices in single-modal operations such as synaptic plasticity or spike triggering, their reconfiguration stability under high-frequency switching conditions, including materials degradation, cycling stability, and state retention capabilities, still lacks systematic verification. Subsequent efforts must focus on developing evaluation standards for reconfiguration stability while ensuring robustness through material stability, encapsulation, and heat dissipation. Moreover, reconfigurable devices may exhibit performance fluctuations due to challenges in coordinating their internal mechanisms. The optimization can be carried out in three aspects. The first approach involves setting precise switching thresholds for different modes and employing multi-port/multi-dimensional heterostructures to physically separate the mechanisms. Operationally, it is essential to ensure that the device is allowed sufficient relaxation time before functional reconfiguration to eliminate the residual effects of its prior state. Third, feedback and calibration circuitry can be introduced to dynamically monitor and compensate for parameter drift. Notably, although reconfigurable devices exhibit significant potential in reducing size and enhancing adaptiveness, this approach entails sacrificing certain extreme performance and energy efficiency, which represents a trade-off strategy. Consequently, in scenarios where functional requirements are clearly defined, demands remain stable, and extreme performance or energy efficiency is essential, dedicated devices continue to hold distinct advantages. Future systems are likely to combine both approaches to fulfill diverse application requirements: a reconfigurable hardware layer will be responsible for task scheduling, dynamic adaptation, and preliminary processing, whereas a dedicated hardware layer will handle computationally intensive and highly optimized core tasks.\nThe integrated neuromorphic hardware systems require careful consideration across multiple domains, including dynamic range matching, timing alignment, system-level power consumption, and signal crosstalk. 2D material-based devices may exhibit characteristic mismatches (e.g., voltage/current levels) with silicon CMOS circuits, necessitating additional interface circuitry that increases system complexity and power consumption. Timing misalignment manifests primarily as signal delay mismatch, caused by suboptimal carrier mobility in certain 2D materials [194], interconnect resistance–capacitance (RC) delays, and stochastic device switching speeds. Such timing deviations disrupt precise time-dependent relationships in SNNs, particularly STDP learning, and can induce erroneous synaptic weight updates and computational errors. Neuromorphic computing systems must rigorously address power consumption as a fundamental design constraint, which originates from static power dissipation due to leakage currents in high-density integration, dynamic response power during event-driven operation, system-level power demands from synaptic-neuron communication, as well as additional power overhead for active thermal management. Regulation systems operating within a multi-physics field need to consider signal crosstalk and decoupling strategies carefully.\nTo sum up, many challenges exist in building more powerful artificial neurons, synapses, and integrated systems based on 2D materials. Future breakthroughs and even industrialization implementation are contingent on a market-guided, synergistic innovation across the entire chain. This necessitates coordinated progress spanning the controllable preparation and process optimization of high-quality 2D materials, innovations in device design, and advances in high-density heterogeneous integration, to the construction of a co-designed hardware-software computing architecture. A closed-loop iteration and continuous optimization encompassing materials, devices, integration, and system algorithms will ultimately pave the way for a transformation in brain-inspired chips and memory architectures.\n\n\n### Material Preparation and Fabrication Process\nThe fabrication of high-quality 2D semiconductor materials serves as the fundamental basis for advancing them toward integrated circuit applications. In current single-device demonstrations, top-down approaches, such as mechanical exfoliation, obtain high-quality few-layer materials. However, these approaches exhibit extremely low yield, uncontrollable dimensions, incapability of precise patterning, and significant performance fluctuations [214, 215]. Prior research has demonstrated that chemical vapor deposition (CVD, a bottom-up approach) can achieve wafer-scale growth [216–218], but this method is plagued by certain limitations such as grain boundary defects in polycrystalline films, limited single-crystalline domain sizes, doping impurities, and difficulty in controlling the nucleation [219]. Recent studies have reported promising technological advances. The rapid growth of centimeter-scale monolayer MoS2 single-crystal domains has been achieved using a confined growth method with two-dimensional molten precursors [220]. Separately, a solid–liquid–solid strategy enables conversion of amorphous InSe films into pure-phase and highly crystalline InSe sheets with uniform coverage across ~ 5 cm wafers [221]. To meet the demands of diverse substrates, some transfer strategies that utilize the surface tension of solutions and liquid nitrogen-assisted stripping are gradually replacing etching techniques in pursuit of cleaner and damage-free transfers [222–224]. Certainly, these growth and transfer technologies are yet to mature for the transition from laboratory to fabrication. Beyond materials growth and transfer, systematic considerations of uniformity and stability in the device fabrication process remain imperative. For instance, in simulating synaptic weight updates, the global and local variations caused by non-uniform layer growth (e.g., thickness, defects, and interaction area) or etching across wafers lead to fluctuations in resistive switching behavior, degrading device-to-device uniformity. Moreover, with progressive device miniaturization, linewidth variation and overlay error emerge as critical concerns, which directly induce fluctuations in the effective channel size and increased parasitic contact resistance. During the integration process, conventional semiconductor processes involve critical steps such as thermal oxidation, annealing, and plasma etching, which can easily induce material decomposition, interface contamination, and even structural damage in 2D materials. These impairments subsequently lead to signal attenuation and timing jitter, thereby further disrupting the emulation of neural behavior. Equally noteworthy is the intrinsic air instability of two-dimensional materials. Exposure to humid and oxygen-containing environments can directly induce material oxidation, increase defects and surface adsorption, leading to uncontrolled drift and degradation of intrinsic electrical properties such as carrier mobility, bandgap, and doping type. The heat accumulation in neuromorphic devices under high-frequency pulsed stimulation will accelerate this process. These constraints result in threshold voltage fluctuations and a reduction in switching ratios under cyclic operation (cycle to cycle), which prevents the reliability criteria demanded in implementations. Therefore, efficient encapsulation strategies constitute critical prerequisites for achieving stable operation in 2D material-based neuromorphic devices. Van der Waals (e.g., h-BN), atomic-layer-deposited (e.g., Al2O3), and polymer-based (e.g., PMMA) encapsulation approaches can significantly suppress environmental degradation of 2D materials by employing physical barrier layers and interface passivation. Nevertheless, it is worth considering that such encapsulation strategies must ensure long-term environmental stability while avoiding the introduction of additional defects or mechanical stress, so as to preserve the intrinsic performance of the material [225].\n\n\n### Design and Performance of Neuromorphic Devices\nResearch on synaptic devices has now established a relatively diverse materials and regulatory strategies. Nevertheless, research efforts should continue to focus on critical characteristics such as linear and symmetric weight update, dynamic range, and resolution, as these performance metrics crucially determine the computational accuracy and efficiency of neural networks. Moreover, compared with the flourishing progress in 2D material-based synaptic devices, the development of neuronal devices still lags in terms of performance and 2D material exploration. Neuronal devices impose more complex functionality requirements, which necessitate simultaneous fulfillment of threshold characteristics, signal integration/firing, refractory period properties, and cross-modal perception, among others, to emulate biological neuron functionality, an area where research remains insufficient. Neuronal intrinsic plasticity plays a fundamental role in regulating complex brain functions, primarily through three pivotal mechanisms: the adjustment of spike threshold, the amplification of excitatory postsynaptic potentials, and changes in resting potential. Nevertheless, research exploration in neuronal intrinsic plasticity remains at a preliminary stage [53, 226]. On the other hand, the potential of emerging 2D materials for artificial neurons remains underexplored, and the correlation mechanisms between material properties and desired neuronal functionalities lack systematic investigation. Further screening of 2D materials (e.g., ferroelectric and phase-change material systems) with intrinsic threshold characteristics and fast dynamics can be achieved by integrating theoretical calculations (density functional theory, molecular dynamics simulations) with experimental validation. Alternatively, controlled defects, heteroatom introduction, and interface engineering in 2D materials can be utilized to adjust carrier mobility and energy barriers, thereby emulating neuronal refractory periods and firing threshold behaviors.\nIn terms of reconfigurable devices, a central challenge lies in the design of devices. Exploring how to systematically integrate emerging heterogeneous materials, multiple physical mechanisms, and structure design to synergistically optimize device performance and reconfigurability is the core research direction in the next stage. In addition, the physical switching mechanisms of functional materials (e.g., domain wall polarization reversal or conductive filament formation/rupture) are often constrained by their intrinsic kinetic processes. Consequently, undesirable operational delays ranging from microseconds to milliseconds arise during reconfiguration, making the device mode transitions incompatible with the real-time requirements of neuromorphic computing. This might require modulating the dynamic process or relying on error-correction coding techniques and algorithms for compensation. Despite current studies having extensively validated the endurance of neuromorphic devices in single-modal operations such as synaptic plasticity or spike triggering, their reconfiguration stability under high-frequency switching conditions, including materials degradation, cycling stability, and state retention capabilities, still lacks systematic verification. Subsequent efforts must focus on developing evaluation standards for reconfiguration stability while ensuring robustness through material stability, encapsulation, and heat dissipation. Moreover, reconfigurable devices may exhibit performance fluctuations due to challenges in coordinating their internal mechanisms. The optimization can be carried out in three aspects. The first approach involves setting precise switching thresholds for different modes and employing multi-port/multi-dimensional heterostructures to physically separate the mechanisms. Operationally, it is essential to ensure that the device is allowed sufficient relaxation time before functional reconfiguration to eliminate the residual effects of its prior state. Third, feedback and calibration circuitry can be introduced to dynamically monitor and compensate for parameter drift. Notably, although reconfigurable devices exhibit significant potential in reducing size and enhancing adaptiveness, this approach entails sacrificing certain extreme performance and energy efficiency, which represents a trade-off strategy. Consequently, in scenarios where functional requirements are clearly defined, demands remain stable, and extreme performance or energy efficiency is essential, dedicated devices continue to hold distinct advantages. Future systems are likely to combine both approaches to fulfill diverse application requirements: a reconfigurable hardware layer will be responsible for task scheduling, dynamic adaptation, and preliminary processing, whereas a dedicated hardware layer will handle computationally intensive and highly optimized core tasks.\n\n\n### System-level Integration\nThe integrated neuromorphic hardware systems require careful consideration across multiple domains, including dynamic range matching, timing alignment, system-level power consumption, and signal crosstalk. 2D material-based devices may exhibit characteristic mismatches (e.g., voltage/current levels) with silicon CMOS circuits, necessitating additional interface circuitry that increases system complexity and power consumption. Timing misalignment manifests primarily as signal delay mismatch, caused by suboptimal carrier mobility in certain 2D materials [194], interconnect resistance–capacitance (RC) delays, and stochastic device switching speeds. Such timing deviations disrupt precise time-dependent relationships in SNNs, particularly STDP learning, and can induce erroneous synaptic weight updates and computational errors. Neuromorphic computing systems must rigorously address power consumption as a fundamental design constraint, which originates from static power dissipation due to leakage currents in high-density integration, dynamic response power during event-driven operation, system-level power demands from synaptic-neuron communication, as well as additional power overhead for active thermal management. Regulation systems operating within a multi-physics field need to consider signal crosstalk and decoupling strategies carefully.\nTo sum up, many challenges exist in building more powerful artificial neurons, synapses, and integrated systems based on 2D materials. Future breakthroughs and even industrialization implementation are contingent on a market-guided, synergistic innovation across the entire chain. This necessitates coordinated progress spanning the controllable preparation and process optimization of high-quality 2D materials, innovations in device design, and advances in high-density heterogeneous integration, to the construction of a co-designed hardware-software computing architecture. A closed-loop iteration and continuous optimization encompassing materials, devices, integration, and system algorithms will ultimately pave the way for a transformation in brain-inspired chips and memory architectures.", "domain": "affective_neuroscience"}
{"source": "PMC12929283", "title": "Brain-inspired energy efficient technologies for next-generation artificial intelligence", "text": "# Brain-inspired energy efficient technologies for next-generation artificial intelligence\n\n## Abstract\nSince the advent of widely accessible AI tools, AI technology has been in high demand by businesses, academic researchers and individuals. Technology companies are building AI infrastructure at a rapid pace, and these facilities consume vast and growing resources, particularly electricity and water, with significant real and projected climate impacts. There is a need for new research initiatives to support long time horizon efforts to develop energy efficient computing capabilities to support the continued growth of AI infrastructure in a sustainable fashion. Such efficiency is required at both the hardware and software levels. Where can industry turn for examples of ultra-low power, energy efficient computing? We argue here that neurobiological principles offer rich and under-exploited sources of inspiration for energy efficient NeuroAI, and that new partnerships between industry and academia should be developed in this direction.\n\n## Full Text\n\n\n### Introduction\nOne way to achieve energy efficient artificial intelligence (AI) is to study how nature generates naturally intelligent behavior that minimizes energy expenditure. All biological organisms are shaped by developmental and evolutionary processes that require energy for their survival and reproduction. An organism whose energetic costs chronically exceed its energy intake will suffer dire consequences, and on the evolutionary time scale, will be eliminated. We will briefly review energy usage in biological brains and bodies and then suggest potential new directions for artificial intelligence in general and NeuroAI in particular, a new type of artificial intelligence designs inspired by brain mechanisms. The ideas presented could also apply to robotics and autonomous agents.\n\n\n### Biological brains and bodies\nBiological brains (Fig. 1) are by far the most energy efficient computing devices that we know, using only about 20 W of power in the case of the human brain, which is more than 1 million-fold less than the world’s largest supercomputer, a machine that does not yet approximate human intelligence, in spite of the impressive feats of the best LLMs (large language models) today. As Moravec articulated, tasks that are difficult for humans, such as playing chess or learning languages, are easy for AI, while many tasks that are easy for humans are extremely difficult for machines (Moravec 1988). This points to many important issues that are beyond the scope of this perspective. But as a matter of example, self-driving car enthusiasts were premature and underestimated what the human brain needs to do to drive to work without wreaking havoc. Some of what humans do best, and easily, are among the hardest and most important things they do for survival. The dynamical thinking at which humans excel, and that is at the core of biological intelligence, is not even attempted in LLM or any other AI model.Fig. 1Energy usage in the brain. A. Glucose crosses the blood-brain barrier, and is metabolized by neurons, astrocytes, and other glial cells. B. Glucose utilization can be measured, creating an intensity map of activity throughout the brain. Images (used with permission) from (Jamadar et al. 2025)\nEnergy usage in the brain. A. Glucose crosses the blood-brain barrier, and is metabolized by neurons, astrocytes, and other glial cells. B. Glucose utilization can be measured, creating an intensity map of activity throughout the brain. Images (used with permission) from (Jamadar et al. 2025)\nIt is possible that we will not know exactly how efficient the brain actually is in units of Watts/Flops until we establish a biological equivalent, such as the BioFlop, as coined by (Stiefel and Coggan 2023). This hypothetical value may be difficult to pin down precisely due to the analog nature of biological computing. In this same paper, the authors introduced a measure of AI efficiency; the ERASI equation. This calculation has initially shown that the cost of mimicking the human brain (based on what we currently know about its computations) would be orders of magnitude higher than the entire annual US energy output. As a benchmark, the authors used estimates of energy use from the now disbanded Blue Brain Project of EPFL (https://bluebrain.epfl.ch/bbp/research/domains/bluebrain/), a Swiss government initiative to simulate an entire mouse brain based on a biologically realistic reconstruction of brain circuits. This initiative has birthed a very different approach to AI than LLMs, one that attempts to discover new biological learning rules that could perhaps be implemented in future Machine Learning (ML) systems (see also https://www.openbraininstitute.org; https://www.inait.ai). Currently, these efforts and other similar AI work inspired by the brain are captured by the generic term “NeuroAI” (Zador et al. 2023; Sadeh and Clopath 2025; Arbib 2025).\nArtificial neural networks were initially developed based on theories in neuroscience from the 1950s, but neuroscience has made a lot of progress since then, which has not been incorporated into mainstream AI and ML. For example, one of the many limitations of LLMs and other Artificial Neural Network approaches is underestimating how single cells process information. While LLMs use a “neural” architecture, their low-level components have little in common with the physiology of nerve cells and biological synapses, which are themselves capable of processing and transforming information. Artificial neural networks are abstracted from synaptic integration and all-or-none action potential generation present in biological networks, to a simplified linear summation followed by a nonlinear response such as a logistic, tanh or ReLu operator1 (Haykin 1999). There is a growing theoretical base for conceptualizing this level of computation (Rieke et al. 1997; Poirazi and Mel 2001; Arcas et al. 2003; Coggan et al. 2020; Lillicrap et al. 2020; Coggan et al. 2022). There may be more fundamental and yet unexplored units of computations than the neuron (e.g. dendrite, synapse, ion channels or metabolic states), which could also point in new directions for energy efficiency (Boahen 2022). In short, there may be great value in synergistically coupling brain research and new initiatives in AI research. Beyond biomimicry, we have much more to learn from biological solutions and computational neuroscience about the fundamental mechanisms of intelligence. It cannot be overemphasized that basic computational and experimental neurobiology research will lead to more powerful and efficient AI.\nHere we review concepts from biology and use them as a springboard to suggest examples of areas where AI technologists might benefit from deeper understanding of neurobiology and behavior.\nBiological neurons use energy to maintain their ability to process and generate both electrical and chemical signals. Across the membranes of nerve cells, energy requiring pumps (e.g. the sodium/potassium ATPase pump) ensure that, inside the cell, potassium ion concentrations are higher and sodium ion concentrations are lower than outside the cell. The differential concentrations of ions across the cell membrane are the basis for the resting potential, a nonzero membrane potential difference (often about -60 mV) that allows neurons to rapidly respond to and integrate electrical inputs (Berndt and Holzhutter 2013). Neurons also maintain a complex panoply of ion channels that can be gated (i.e., can be opened or closed) by voltage, specific chemicals that bind to specific receptors, the calcium ion, second messengers, or by different forms of energy (e.g., photons, temperature gradients, mechanical deformation, applied force, or vibration) (Bhattacharjee 2023). The specific complement of ion channels in a neuron’s membrane endows it with complex dynamical properties, so that neurons can be silent, or spontaneously fire action potentials. Some neurons can generate spontaneous rhythmic bursting (pacemaker neurons) (Ramirez et al. 2004), and neurons can have multiple stable dynamical properties (e.g., they can be switched from being silent to bursting regularly) (Connors and Gutnick 1990). Unlike most current NeuroAI systems where all neuronal elements are identical, biological neurons exhibit a high degree of individual differences that may be at the origin of high computational capacity and efficiency. Ion channels responsive to energy and chemicals in the environment allow neurons to sense environmental conditions and are the basis for the sensations of touch (Jin et al. 2020), taste (Spector and Travers 2021), smell (Fulton et al. 2024), sight (Barret et al. 2022), hearing (Zheng and Holt 2021), and the ability to sense the location, position and overall internal state of the body itself (proprioception; (Moon et al. 2021)). In the cognitive areas of the brain (involved in learning, memory, and decision making), neurons are mostly silent and communicate with each other either using bursts of action potentials (packets of information, temporal summation) or synchronized action potentials (simultaneous production of tightly time-locked action potentials to a target neuron, spatial summation) (Tiesinga et al. 2008; Lisman 1997). Again, these rich intrinsic firing properties and dependences of firing on the environments are usually not present in NeuroAI systems.\nNeurons connect to one another via synapses, which may be either electrical or chemical, and the energetic requirements of synaptic activity are one of the largest uses of energy by neurons (Li and Sheng 2022; Harris et al. 2012). Electrical synapses provide a way of rapidly linking activity between neurons, whereas chemical synapses provide somewhat slower but highly modifiable means of exciting or inhibiting another neuron, potentially greatly amplifying or dampening the strength of the signal. Chemical synapses can connect neurons over multiple temporal and spatial scales: the rapid binding of neurotransmitters released within the synaptic cleft can induce rapid changes in other neurons, with some receptors responding more slowly than others. Moreover, some neurotransmitters can diffuse out of the specialized synaptic endings and bind distant receptors, affecting neurons that are not directly connected over a much larger spatial volume. Neuromodulatory transmitters have been shown to lead to higher energy consumption during more complex cognitive processing in the cerebral cortex (Castrillon et al. 2023). Maintaining chemical synaptic transmission requires significant energy, and so does synaptic plasticity, the change in synaptic strength as a function of conjunctive activity of a neuron and other connected neurons. There are two kinds of plasticity: the first is short term (depression, facilitation) in the order of 10-100ms and controls the way sequences of signals are transferred from neuron to neuron (e.g. frequency filtering) (Asopa and Bhalla 2023; Yu et al. 2025b). The second is long term (LTP - long-term potentiation, LTD - long-term depression, minutes to days) and controls the “relevance” of the synapse to general neural computation (Murai and Goto 2025; Stanton 1996; Bear and Malenka 1994). This type of plasticity has inspired “changes in synaptic weight” rules in artificial neural networks, while the first short-term type is generally ignored. Another important energy requirement is the remodeling of synaptic connections, as neurons may grow additional connections to strengthen or remove connections to weaken interactions with other neurons. In cognitive areas, a given neuron receives potential inputs from about 10,000 other neurons, and a fraction of these inputs are almost always active, keeping the neurons in a constant state of subthreshold fluctuations, ready to fire in response to small but significant input signals. This type of background subthreshold activity is not yet accounted for and used by NeuroAI systems.\nNeurons have complex shapes (morphology) that allow them to process inputs both spatially and temporally, and studies suggest that energy is crucial for determining and maintaining their shapes (Wen and Chklovskii 2008). Early anatomists saw the similarity between neuronal branching and those of trees, referring to the fine branches of neurons on which connections are made as dendritic arborizations (Yuste and Tank 1996). Neuronal shapes determine whether sub-threshold electrical inputs travel to the spike-initiating zone and generate outputs from the entire neuron. Furthermore, localized interactions can allow neurons to process inputs at many different locations in parallel. Energy requirements influence the maintenance and changes in shape that neurons undergo over an animal’s lifetime (Rumpf et al. 2023). Artificial Neural Networks usually consider neurons as shapeless ‘point-like’ units.\nAnother major use of energy in the brain is the maintenance of the neuronal support cells, the glial cells, which play significant roles in providing energy to neurons, and for generating the wrapping material (myelin, which gives white matter its name) that allows rapid transmission along the long axons of neurons. White matter is responsible for long distance communication between regions of gray matter, which contain the dendrites, cell bodies, and synapses of the neurons. White matter consumes energy at a much lower rate than does gray matter (Yu et al. 2018). Glial cells also regulate the amount of energy available to nerve cells (Shoenhard and Sehgal 2025) and play a critical role in clearing debris and responding to attacks from bacteria, viruses, and other sources of inflammation, which also requires significant energy (Jamadar et al. 2025). There are no implementations of glial cells in NeuroAI system,\nAcross phylogeny, different regions of the nervous system are organized into different complex architectures. The central complex of arthropods, the vertical lobe system of the octopus, the hippocampus, the cerebral and cerebellar cortices in primates and humans are all striking examples of highly organized anatomical organizations of input, output and interneuronal circuitry (Luo 2021). Neural architectures clearly subserve specific functions. In addition to highly organized local patterns of connectivity, there are long-range connection tracts, many of which constitute interconnection “hubs”, which have the highest energy requirements (Ceballos et al. 2025; Jamadar et al. 2025). Neuronal architectures are generated through developmental processes, which also require and are regulated by energy availability (Ghosh et al. 2023). Figure 2 illustrates some consequences of sparsity and structure in natural versus artificial neural networks. More needs to be done in current NeuroAI system to allow for and exploit energy-dependent ‘developmental-like’ changes in architectures.Fig. 2Sparsity and structure in natural and artificial neural networks. A. In modern AI systems, most computation is performed on hardware (GPU, NPU) which uses dense vector and matrix multiplication via multiply-accumulate (MAC) modules. As a toy example, multiple input vectors are multiplied by a weight matrix, then the resulting vectors are processed by some activation function. These operations can be carried out in parallel, but this dense MAC operation is at the core. B. In contrast, natural networks of neurons are interconnected in 3D space, with sparse connectivity and activity patterns. Image (used with permission) from (Gamlin et al. 2025). C. Energy use in dense 2D accelerators such as GPUs/NPUs scales quadratically with increasing numbers of neurons. Biological systems, on the other hand, scale linearly in energy use. Image (used with permission) from (Boahen 2022)\nSparsity and structure in natural and artificial neural networks. A. In modern AI systems, most computation is performed on hardware (GPU, NPU) which uses dense vector and matrix multiplication via multiply-accumulate (MAC) modules. As a toy example, multiple input vectors are multiplied by a weight matrix, then the resulting vectors are processed by some activation function. These operations can be carried out in parallel, but this dense MAC operation is at the core. B. In contrast, natural networks of neurons are interconnected in 3D space, with sparse connectivity and activity patterns. Image (used with permission) from (Gamlin et al. 2025). C. Energy use in dense 2D accelerators such as GPUs/NPUs scales quadratically with increasing numbers of neurons. Biological systems, on the other hand, scale linearly in energy use. Image (used with permission) from (Boahen 2022)\nPatterns of neural activity achieve a tradeoff between frequency of transmission and information transfer because of energetic constraints. Although neurons are capable of high tonic firing rates of firing, the energetic costs of operating action potentials (and especially synapses) favor lower rates of transmission. Ongoing spontaneous activity within the brain provides a floor to the minimum rates of transmission that are above the background noise, but also may provide the brain with the ability to mobilize long range connectivity much more rapidly and with relatively small energy expenditures (Harris et al. 2012). Interestingly, it has been suggested that transient patterns of high firing rate (bursts) could carry more information than single action potentials (Lisman 1997), and that bursting may be key to implementing classic artificial neural network mechanisms such as back-propagation (Sun et al. 2021; Payeur et al. 2021)\nA major role of nervous systems is to filter out irrelevant stimuli and enhance stimuli that are most likely to be immediately relevant. Processes such as habituation act to reduce activity in sensory neurons that would otherwise be activated by irrelevant stimuli (Ramaswami 2014). Feedforward activation makes it easier to begin to excite neurons that are most likely to be encountering sensory inputs or generating motor outputs next (Briggs 2020). These type of preprocessing increases the effectiveness and efficiency of information processing.\nUnless an organism can photosynthesize and reproduce asexually, it must be able to move through and interact with its surrounding environment to obtain food and mates, and to avoid predators. Within an organism, internal organs, such as the heart, lungs, and digestive system, also need to be controlled. Thus, neurons must interact, through the neuromuscular junction, with smooth, cardiac and skeletal muscle. Once again, energy plays critical roles in both the function of muscle and in the behavior that it generates. Depending on the size and speed of a behavior, energy may be partitioned among inertial energy, viscous (dissipative) energy, elastic energy, and responses to gravity (Sutton et al. 2023). These different forms of energy imply different stabilities in response to perturbations, which in turn demand different controls strategies for behavior. Energy obtained through feeding must also be partitioned between the needs of the body and of the brain, and complex regulatory mechanisms are responsible for maintaining the appropriate levels of energy for each (Myers et al. 2021). Such energy-expenditure specializations would likely benefit autonomous mobile or actuating artificial systems such as NeuroAI-enabled robots.\nOver longer periods of time, behavior is regulated by positive and negative reinforcement from the environment (Sutton and Barto 2018). One component of these regulators is the physical effort and energy that must be expended to achieve goals (Jiang et al. 2024). Another is the experience of pain or pleasure in response to an organism’s actions, and emotions that reflect an organisms overall internal state and response to past, present and future events (Fellous and Arbib 2005; Arbib and Fellous 2004). Artificial neural networks are trained and modified using datasets in which elements are considered intrinsically equally important. Their relative importance is determined by how often they occur, rather than by how relevant they might be to learning a particular body of knowledge. AI systems typically do not learn in “one shot”, as humans and animals often do (Yu et al. 2025a). More generally, living organisms are autopoietic, networks of processes that maintain and renew themselves through their own activity (Maturana and Varela 1980). Reducing the amount of training data, using considerations of their intrinsic value to learning could yield significant improvement in the explainability of AI algorithms (Wells and Bednarz 2021) and energy consumption savings in future NeuroAI learning systems.\n\n\n### Biological brains and energy\nBiological brains (Fig. 1) are by far the most energy efficient computing devices that we know, using only about 20 W of power in the case of the human brain, which is more than 1 million-fold less than the world’s largest supercomputer, a machine that does not yet approximate human intelligence, in spite of the impressive feats of the best LLMs (large language models) today. As Moravec articulated, tasks that are difficult for humans, such as playing chess or learning languages, are easy for AI, while many tasks that are easy for humans are extremely difficult for machines (Moravec 1988). This points to many important issues that are beyond the scope of this perspective. But as a matter of example, self-driving car enthusiasts were premature and underestimated what the human brain needs to do to drive to work without wreaking havoc. Some of what humans do best, and easily, are among the hardest and most important things they do for survival. The dynamical thinking at which humans excel, and that is at the core of biological intelligence, is not even attempted in LLM or any other AI model.Fig. 1Energy usage in the brain. A. Glucose crosses the blood-brain barrier, and is metabolized by neurons, astrocytes, and other glial cells. B. Glucose utilization can be measured, creating an intensity map of activity throughout the brain. Images (used with permission) from (Jamadar et al. 2025)\nEnergy usage in the brain. A. Glucose crosses the blood-brain barrier, and is metabolized by neurons, astrocytes, and other glial cells. B. Glucose utilization can be measured, creating an intensity map of activity throughout the brain. Images (used with permission) from (Jamadar et al. 2025)\nIt is possible that we will not know exactly how efficient the brain actually is in units of Watts/Flops until we establish a biological equivalent, such as the BioFlop, as coined by (Stiefel and Coggan 2023). This hypothetical value may be difficult to pin down precisely due to the analog nature of biological computing. In this same paper, the authors introduced a measure of AI efficiency; the ERASI equation. This calculation has initially shown that the cost of mimicking the human brain (based on what we currently know about its computations) would be orders of magnitude higher than the entire annual US energy output. As a benchmark, the authors used estimates of energy use from the now disbanded Blue Brain Project of EPFL (https://bluebrain.epfl.ch/bbp/research/domains/bluebrain/), a Swiss government initiative to simulate an entire mouse brain based on a biologically realistic reconstruction of brain circuits. This initiative has birthed a very different approach to AI than LLMs, one that attempts to discover new biological learning rules that could perhaps be implemented in future Machine Learning (ML) systems (see also https://www.openbraininstitute.org; https://www.inait.ai). Currently, these efforts and other similar AI work inspired by the brain are captured by the generic term “NeuroAI” (Zador et al. 2023; Sadeh and Clopath 2025; Arbib 2025).\nArtificial neural networks were initially developed based on theories in neuroscience from the 1950s, but neuroscience has made a lot of progress since then, which has not been incorporated into mainstream AI and ML. For example, one of the many limitations of LLMs and other Artificial Neural Network approaches is underestimating how single cells process information. While LLMs use a “neural” architecture, their low-level components have little in common with the physiology of nerve cells and biological synapses, which are themselves capable of processing and transforming information. Artificial neural networks are abstracted from synaptic integration and all-or-none action potential generation present in biological networks, to a simplified linear summation followed by a nonlinear response such as a logistic, tanh or ReLu operator1 (Haykin 1999). There is a growing theoretical base for conceptualizing this level of computation (Rieke et al. 1997; Poirazi and Mel 2001; Arcas et al. 2003; Coggan et al. 2020; Lillicrap et al. 2020; Coggan et al. 2022). There may be more fundamental and yet unexplored units of computations than the neuron (e.g. dendrite, synapse, ion channels or metabolic states), which could also point in new directions for energy efficiency (Boahen 2022). In short, there may be great value in synergistically coupling brain research and new initiatives in AI research. Beyond biomimicry, we have much more to learn from biological solutions and computational neuroscience about the fundamental mechanisms of intelligence. It cannot be overemphasized that basic computational and experimental neurobiology research will lead to more powerful and efficient AI.\nHere we review concepts from biology and use them as a springboard to suggest examples of areas where AI technologists might benefit from deeper understanding of neurobiology and behavior.\n\n\n### Biological neural dynamics\nBiological neurons use energy to maintain their ability to process and generate both electrical and chemical signals. Across the membranes of nerve cells, energy requiring pumps (e.g. the sodium/potassium ATPase pump) ensure that, inside the cell, potassium ion concentrations are higher and sodium ion concentrations are lower than outside the cell. The differential concentrations of ions across the cell membrane are the basis for the resting potential, a nonzero membrane potential difference (often about -60 mV) that allows neurons to rapidly respond to and integrate electrical inputs (Berndt and Holzhutter 2013). Neurons also maintain a complex panoply of ion channels that can be gated (i.e., can be opened or closed) by voltage, specific chemicals that bind to specific receptors, the calcium ion, second messengers, or by different forms of energy (e.g., photons, temperature gradients, mechanical deformation, applied force, or vibration) (Bhattacharjee 2023). The specific complement of ion channels in a neuron’s membrane endows it with complex dynamical properties, so that neurons can be silent, or spontaneously fire action potentials. Some neurons can generate spontaneous rhythmic bursting (pacemaker neurons) (Ramirez et al. 2004), and neurons can have multiple stable dynamical properties (e.g., they can be switched from being silent to bursting regularly) (Connors and Gutnick 1990). Unlike most current NeuroAI systems where all neuronal elements are identical, biological neurons exhibit a high degree of individual differences that may be at the origin of high computational capacity and efficiency. Ion channels responsive to energy and chemicals in the environment allow neurons to sense environmental conditions and are the basis for the sensations of touch (Jin et al. 2020), taste (Spector and Travers 2021), smell (Fulton et al. 2024), sight (Barret et al. 2022), hearing (Zheng and Holt 2021), and the ability to sense the location, position and overall internal state of the body itself (proprioception; (Moon et al. 2021)). In the cognitive areas of the brain (involved in learning, memory, and decision making), neurons are mostly silent and communicate with each other either using bursts of action potentials (packets of information, temporal summation) or synchronized action potentials (simultaneous production of tightly time-locked action potentials to a target neuron, spatial summation) (Tiesinga et al. 2008; Lisman 1997). Again, these rich intrinsic firing properties and dependences of firing on the environments are usually not present in NeuroAI systems.\n\n\n### Biological neural synapses\nNeurons connect to one another via synapses, which may be either electrical or chemical, and the energetic requirements of synaptic activity are one of the largest uses of energy by neurons (Li and Sheng 2022; Harris et al. 2012). Electrical synapses provide a way of rapidly linking activity between neurons, whereas chemical synapses provide somewhat slower but highly modifiable means of exciting or inhibiting another neuron, potentially greatly amplifying or dampening the strength of the signal. Chemical synapses can connect neurons over multiple temporal and spatial scales: the rapid binding of neurotransmitters released within the synaptic cleft can induce rapid changes in other neurons, with some receptors responding more slowly than others. Moreover, some neurotransmitters can diffuse out of the specialized synaptic endings and bind distant receptors, affecting neurons that are not directly connected over a much larger spatial volume. Neuromodulatory transmitters have been shown to lead to higher energy consumption during more complex cognitive processing in the cerebral cortex (Castrillon et al. 2023). Maintaining chemical synaptic transmission requires significant energy, and so does synaptic plasticity, the change in synaptic strength as a function of conjunctive activity of a neuron and other connected neurons. There are two kinds of plasticity: the first is short term (depression, facilitation) in the order of 10-100ms and controls the way sequences of signals are transferred from neuron to neuron (e.g. frequency filtering) (Asopa and Bhalla 2023; Yu et al. 2025b). The second is long term (LTP - long-term potentiation, LTD - long-term depression, minutes to days) and controls the “relevance” of the synapse to general neural computation (Murai and Goto 2025; Stanton 1996; Bear and Malenka 1994). This type of plasticity has inspired “changes in synaptic weight” rules in artificial neural networks, while the first short-term type is generally ignored. Another important energy requirement is the remodeling of synaptic connections, as neurons may grow additional connections to strengthen or remove connections to weaken interactions with other neurons. In cognitive areas, a given neuron receives potential inputs from about 10,000 other neurons, and a fraction of these inputs are almost always active, keeping the neurons in a constant state of subthreshold fluctuations, ready to fire in response to small but significant input signals. This type of background subthreshold activity is not yet accounted for and used by NeuroAI systems.\n\n\n### Biological neural shapes and efficient computation\nNeurons have complex shapes (morphology) that allow them to process inputs both spatially and temporally, and studies suggest that energy is crucial for determining and maintaining their shapes (Wen and Chklovskii 2008). Early anatomists saw the similarity between neuronal branching and those of trees, referring to the fine branches of neurons on which connections are made as dendritic arborizations (Yuste and Tank 1996). Neuronal shapes determine whether sub-threshold electrical inputs travel to the spike-initiating zone and generate outputs from the entire neuron. Furthermore, localized interactions can allow neurons to process inputs at many different locations in parallel. Energy requirements influence the maintenance and changes in shape that neurons undergo over an animal’s lifetime (Rumpf et al. 2023). Artificial Neural Networks usually consider neurons as shapeless ‘point-like’ units.\n\n\n### Maintaining biological neural networks\nAnother major use of energy in the brain is the maintenance of the neuronal support cells, the glial cells, which play significant roles in providing energy to neurons, and for generating the wrapping material (myelin, which gives white matter its name) that allows rapid transmission along the long axons of neurons. White matter is responsible for long distance communication between regions of gray matter, which contain the dendrites, cell bodies, and synapses of the neurons. White matter consumes energy at a much lower rate than does gray matter (Yu et al. 2018). Glial cells also regulate the amount of energy available to nerve cells (Shoenhard and Sehgal 2025) and play a critical role in clearing debris and responding to attacks from bacteria, viruses, and other sources of inflammation, which also requires significant energy (Jamadar et al. 2025). There are no implementations of glial cells in NeuroAI system,\n\n\n### Biological neural architectures and sparse connectivity\nAcross phylogeny, different regions of the nervous system are organized into different complex architectures. The central complex of arthropods, the vertical lobe system of the octopus, the hippocampus, the cerebral and cerebellar cortices in primates and humans are all striking examples of highly organized anatomical organizations of input, output and interneuronal circuitry (Luo 2021). Neural architectures clearly subserve specific functions. In addition to highly organized local patterns of connectivity, there are long-range connection tracts, many of which constitute interconnection “hubs”, which have the highest energy requirements (Ceballos et al. 2025; Jamadar et al. 2025). Neuronal architectures are generated through developmental processes, which also require and are regulated by energy availability (Ghosh et al. 2023). Figure 2 illustrates some consequences of sparsity and structure in natural versus artificial neural networks. More needs to be done in current NeuroAI system to allow for and exploit energy-dependent ‘developmental-like’ changes in architectures.Fig. 2Sparsity and structure in natural and artificial neural networks. A. In modern AI systems, most computation is performed on hardware (GPU, NPU) which uses dense vector and matrix multiplication via multiply-accumulate (MAC) modules. As a toy example, multiple input vectors are multiplied by a weight matrix, then the resulting vectors are processed by some activation function. These operations can be carried out in parallel, but this dense MAC operation is at the core. B. In contrast, natural networks of neurons are interconnected in 3D space, with sparse connectivity and activity patterns. Image (used with permission) from (Gamlin et al. 2025). C. Energy use in dense 2D accelerators such as GPUs/NPUs scales quadratically with increasing numbers of neurons. Biological systems, on the other hand, scale linearly in energy use. Image (used with permission) from (Boahen 2022)\nSparsity and structure in natural and artificial neural networks. A. In modern AI systems, most computation is performed on hardware (GPU, NPU) which uses dense vector and matrix multiplication via multiply-accumulate (MAC) modules. As a toy example, multiple input vectors are multiplied by a weight matrix, then the resulting vectors are processed by some activation function. These operations can be carried out in parallel, but this dense MAC operation is at the core. B. In contrast, natural networks of neurons are interconnected in 3D space, with sparse connectivity and activity patterns. Image (used with permission) from (Gamlin et al. 2025). C. Energy use in dense 2D accelerators such as GPUs/NPUs scales quadratically with increasing numbers of neurons. Biological systems, on the other hand, scale linearly in energy use. Image (used with permission) from (Boahen 2022)\n\n\n### Transmission rates versus information transfer in biological nervous systems\nPatterns of neural activity achieve a tradeoff between frequency of transmission and information transfer because of energetic constraints. Although neurons are capable of high tonic firing rates of firing, the energetic costs of operating action potentials (and especially synapses) favor lower rates of transmission. Ongoing spontaneous activity within the brain provides a floor to the minimum rates of transmission that are above the background noise, but also may provide the brain with the ability to mobilize long range connectivity much more rapidly and with relatively small energy expenditures (Harris et al. 2012). Interestingly, it has been suggested that transient patterns of high firing rate (bursts) could carry more information than single action potentials (Lisman 1997), and that bursting may be key to implementing classic artificial neural network mechanisms such as back-propagation (Sun et al. 2021; Payeur et al. 2021)\n\n\n### Biological neural network preprocessing\nA major role of nervous systems is to filter out irrelevant stimuli and enhance stimuli that are most likely to be immediately relevant. Processes such as habituation act to reduce activity in sensory neurons that would otherwise be activated by irrelevant stimuli (Ramaswami 2014). Feedforward activation makes it easier to begin to excite neurons that are most likely to be encountering sensory inputs or generating motor outputs next (Briggs 2020). These type of preprocessing increases the effectiveness and efficiency of information processing.\n\n\n### Biological brains and behavior\nUnless an organism can photosynthesize and reproduce asexually, it must be able to move through and interact with its surrounding environment to obtain food and mates, and to avoid predators. Within an organism, internal organs, such as the heart, lungs, and digestive system, also need to be controlled. Thus, neurons must interact, through the neuromuscular junction, with smooth, cardiac and skeletal muscle. Once again, energy plays critical roles in both the function of muscle and in the behavior that it generates. Depending on the size and speed of a behavior, energy may be partitioned among inertial energy, viscous (dissipative) energy, elastic energy, and responses to gravity (Sutton et al. 2023). These different forms of energy imply different stabilities in response to perturbations, which in turn demand different controls strategies for behavior. Energy obtained through feeding must also be partitioned between the needs of the body and of the brain, and complex regulatory mechanisms are responsible for maintaining the appropriate levels of energy for each (Myers et al. 2021). Such energy-expenditure specializations would likely benefit autonomous mobile or actuating artificial systems such as NeuroAI-enabled robots.\n\n\n### Unsupervised learning in biological nervous systems\nOver longer periods of time, behavior is regulated by positive and negative reinforcement from the environment (Sutton and Barto 2018). One component of these regulators is the physical effort and energy that must be expended to achieve goals (Jiang et al. 2024). Another is the experience of pain or pleasure in response to an organism’s actions, and emotions that reflect an organisms overall internal state and response to past, present and future events (Fellous and Arbib 2005; Arbib and Fellous 2004). Artificial neural networks are trained and modified using datasets in which elements are considered intrinsically equally important. Their relative importance is determined by how often they occur, rather than by how relevant they might be to learning a particular body of knowledge. AI systems typically do not learn in “one shot”, as humans and animals often do (Yu et al. 2025a). More generally, living organisms are autopoietic, networks of processes that maintain and renew themselves through their own activity (Maturana and Varela 1980). Reducing the amount of training data, using considerations of their intrinsic value to learning could yield significant improvement in the explainability of AI algorithms (Wells and Bednarz 2021) and energy consumption savings in future NeuroAI learning systems.\n\n\n### Biologically-inspired energetically efficient approaches to AI\nGiven these general insights from biological systems, we next list some ideas that could be explored in the near-term to improve the energy efficiency of AI systems.\nNew approaches to computing that are inspired by biological neurons may lead to significant savings in energy expenditure. Hardware approaches subdivide into attempts to capture the complex analog processing that occurs in biological neurons using very low energy levels; others attempts to use standard silicon technology to emulate neurons, and some commercially available neuromorphic chips can be used for rapid preprocessing of sensory information on chip (e.g., neuromorphic cameras); others use sparse connectivity and computation for high energy efficiency (e.g., BrainChip, SpikeCore, Brain Corp). Intel has developed a neuromorphic chip (Loihi2) that uses a spiking neural network for computation, and that communicates and computes using “spike events”, reducing power consumption. In contrast to this chip, which ensures that all processing is completed at each step, a more distributed architecture has been pioneered by SpiNNcloud, which has multiple cores that simulate neurons communication asynchronously. By using denser local connectivity (but not full connectivity) and sparser global connectivity, these chips can also be more energy efficient. Many neuromorphic chips also incorporate plastic synapses that allow for learning.\nThere is a large body of neurobiological and computational evidence pointing to sparse coding in the nervous system (Beyeler et al. 2019). Sparse representations that improve reconstruction from noisy data have been intensively studied in applied mathematics (Calvetti et al. 2019; Calvetti et al. 2020; Calvetti and Somersalo 2024). The connection between sparse representation and energy efficiency has been investigated in neurobiology (Hu et al. 2012; Sacramento et al. 2015; Moosavi et al. 2024). In addition to saving energy, sparse representations could also render AI systems more robust to adversarial attacks and catastrophic failures.\nIn neuro-motor systems, it is inefficient to simultaneously tense opposing muscles, or to activate muscles that are not needed for a given movement. Thus, it is no surprise that patterns of activity in biological motor control systems exhibit sparse bursting patterns, in which a small number of neurons are active at any one time. Such sparse activity patterns are mediated by inhibition, in which the activity of one cell suppresses the activities of others. Similarly, inhibition plays a key role in winner-take-all (WTA) algorithms that select one out of many possible answers (Maass 2000). If a unit consumes more energy when it is “active” than when it is “silent” then WTA dynamics lends itself to energy-efficient implementation. Inhibition also underlies stable heteroclinic channels (SHCs: Fig. 3) that have been proposed as a dynamical architecture supporting sparse, functionally effective activation patterns in motor systems (Shaw et al. 2015; Horchler et al. 2015; Rouse and Daltorio 2021; Mengers et al. 2025), sensory systems (Laurent et al. 2001; Rabinovich et al. 2010) and cognitive processing (Afraimovich et al. 2011; Rabinovich and Varona 2018). Research initiatives to study SHCs, WTA architectures, and other mechanisms for inhibition-dominated connectivity in AI systems may lead to novel energy-efficient solutions.Fig. 3Diagram illustrating a heteroclinic channel. A heteroclinic cycle in a dynamical system is a sequence of trajectories connecting the flow out of and into successive saddle point equilibria. A stable heteroclinic channel attracts all nearby trajectories. See (Rouse and Daltorio 2021) for a detailed description. Image (used with permission) from (https://en.wikipedia.org/wiki/Heteroclinic_channels)\nDiagram illustrating a heteroclinic channel. A heteroclinic cycle in a dynamical system is a sequence of trajectories connecting the flow out of and into successive saddle point equilibria. A stable heteroclinic channel attracts all nearby trajectories. See (Rouse and Daltorio 2021) for a detailed description. Image (used with permission) from (https://en.wikipedia.org/wiki/Heteroclinic_channels)\nIn motor control systems, metabolic resources are redirected to muscle systems that are actively being used. Switching muscles “on” and “off” is regulated by neuromodulation (Sillar et al. 2014). Similarly, activity in neural subsystems is also regulated by neuromodulation. Specializing circuits for specific computational tasks and then powering down those circuits when those tasks are not needed may recapitulate biological-like (biomorphic) efficiencies. More generally, the extent to which neuromodulation in general (e.g. via serotonin, norepinephrine, dopamine, and others) has evolved to improve the efficiency of neural computation (rather than perform neural computation per se) is understudied and deserves attention (Castrillon et al. 2023; Yu et al. 2025c). Implementing neuromodulatory principles in “classic” AI or more modern NeuroAI models might significantly improve their performance, and consequently, their energy expenditure.\nIn addition to gating circuit activity for energy efficiency, neuromodulation in biological systems plays a central role in regulating when and where learning occurs. Neuromodulators such as dopamine, acetylcholine, and norepinephrine do not directly trigger but instead modulate synaptic plasticity, guiding long-term changes in neural circuits based on behavioral relevance, reward prediction, or uncertainty (Marder 2012). This dynamic plasticity control enables animals to learn selectively, preserving stable functions while adapting rapidly to new situations—a capability that current AI systems, including LLMs, largely lack. Instead, these models rely on static, global learning schedules and costly retraining for adaptation (Bommasani et al. 2021). By integrating neuromodulatory principles, such as plasticity gating conditioned on internal goals or novelty signals, future AI systems could enable targeted, context-aware updates to their internal states. This approach offers a path to learning-to-learn (meta-learning) in large-scale models, improving data efficiency, stability, and the ability to generalize across tasks, while avoiding the overhead of continual full-network retraining (Wang et al. 2016; Wang et al. 2018; Hattori et al. 2023; Goudar et al. 2023).\nUnlike computers, we (humans and animals alike) store information neither “forever” nor exactly as it was acquired. We do not store pixel-level images, or second-by-second sequences of speech or episodic memories. We have an ability to abstract, simplify or ignore our inputs as they come in, and to re-shape our memories as a function of how or how often we use them, or as a function of their intrinsic “importance”. These features have undoubtedly evolved (at a cost for reliability) to address our limited capacities to perceive and memorize, saving energy and time. AI systems do not usually implement the (useful) mechanisms of forgetting, or memory consolidation (as during sleep (Rouast and Schonauer 2023)). While industry considers these features as deleterious and artifactual, to be avoided and corrected to achieve reliable and precise recall, research into LSTM networks with “forgetting states” has shown promise for continuous learning and other applications (Gers et al. 2000; Wang et al. 2025). New research should explore the extent to which a trade-off can or should be achieved between full recall and precision, and efficiency of representations.\nBiological brains achieve remarkable memory efficiency through mechanisms such as sparse coding, synaptic consolidation, and multi-scale memory hierarchies. Unlike large-scale AI models that rely on dense parameter storage and exhaustive training data exposure, the brain encodes information using compact, context-dependent neural activations, often reusing the same networks across tasks via dynamic routing or population coding. Furthermore, systems consolidation, involving transfer from fast-learning hippocampal circuits to slower cortical storage, enables long-term retention without continuous memory access. These strategies contrast with the monolithic memory structures of LLMs, which grow in size and cost with increasing data. Incorporating such biological insights—e.g., sparsity-inducing priors, gated memory consolidation, or attention-modulated storage and retrieval mechanisms—could significantly reduce the memory footprint of large models without sacrificing performance. This approach not only improves energy and storage efficiency, but also supports more flexible, lifelong learning paradigms where memory is treated as a dynamic, structured resource rather than a static archive (Olshausen and Field 1996; Zenke and Gerstner 2017; McClelland et al. 1995).\nReceptive fields such as those found in visual cortex have inspired significant contributions in Artificial Learning systems, such as convolutional neural networks (Celeghin et al. 2023). Typically, in these systems, all convolutional kernels are similar. Not all information, however, needs to be represented at the same resolution. The visual system has evolved multi-scale coding (different receptive field sizes within cortical areas, e.g. cortical area V1, and across areas, e.g. cortical areas V1-V4-IT). Spatial navigation in large environments uses multi-scale hippocampal place fields (Harland et al. 2021; Eliav et al. 2021). This multi-scale representation has been shown to have many computational advantages, including efficiency and fast attentional shifting. Most AI systems do not make use of multi-scale representations.\nA growing body of neuroscience research points to the central role of spatiotemporal cortical waves, such as alpha, beta, and theta oscillations, in orchestrating perception, attention, and memory in the brain. These waves enable multiplexed signaling and efficient integration across distributed cortical areas by rhythmically modulating neuronal excitability (Muller et al. 2018). Recent work suggests that oscillatory activity in the brain may be a form of low-energy analog computing that supports working memory (Lundqvist et al. 2023). Yet modern large-scale AI models, including LLMs, operate with fundamentally static or token-synchronous dynamics. Bridging this gap presents a compelling research frontier: introducing traveling-wave-like dynamics and oscillatory gating into LLMs and other large-scale architectures (Muller et al. 2024). This approach could involve rhythm-based attention windows (Tiesinga et al. 2004; Tiesinga and Sejnowski 2010; Fries 2023), phase-coupled memory activation (Roehri et al. 2022), and dynamic routing paths that emulate the selective coherence seen in cortical circuits (Fries 2023; Banaie Boroujeni and Womelsdorf 2023). Such structured dynamics would not only reduce inference cost and improve temporal coherence but also pave the way for closed-loop agentic systems, where internal wave states regulate external actions in response to changing sensory or goal contexts. Simulating these wave phenomena in neuromorphic or FPGA-based edge architectures can further support real-time, biologically grounded inference under strict energy constraints.\nA new neural network architecture, Synthetic Nervous Systems (SNS), has begun to be developed that is more directly inspired by biological nervous systems, requires much smaller training sets, and because of the sparsity of connections, is likely to be far more energy efficient. In the common instantiation, model neurons do not spike, but they can contain multiple ionic conductances, endowing them with complex temporal dynamics similar to those of biological neurons, and their synaptic connections are also dynamic and can change with experience (Szczecinski et al. 2017a). The SNS framework has been extended to simple spiking systems as well (Szczecinski et al. 2020). By using the functional sub-network approach, it is possible to reliably and automatically map a particular function to a small network of these model neurons (Szczecinski et al. 2017b). Once the dynamics of the network have been established, improving parameters using standard optimization techniques is very effective. A software tool allows SNS networks with thousands of neuron to be designed and simulated in real-time (Nourse et al. 2023). These networks have been used for modeling neuromechanical systems, and for the control of biologically-inspired robots.\nOne of the major differences between natural (human/biological) and artificial intelligence is the ability to (1) learn with few examples, (2) learn continuously with minimal teaching or supervision, and (3) use common-sense reasoning (Choi 2022). These well-documented features save time and energy. Due to availability and relatively low cost of computing resources, current AI systems do not typically attempt to address this need for enormous training datasets, and using data generated by AI systems to train themselves has proven dangerous (Shumailov et al. 2024). The industry has not yet shown a motivation to develop methods to minimize the training sets. New research specifically targeted at continuous learning and making the most of small training datasets techniques and theories (Perera-Lago et al. 2024) could be a significant step forward for energy efficient AI, especially at the “edge” (i.e. close to the user). Alternative algorithms to those commonly used in LLMs today could also be tested for efficiency, as well as superior outcomes (Grossberg 2020; Wang et al. 2024).\nInvestigating the limits of single neuron information processing capabilities has taken many forms over decades in living models from protists such as slime molds to mammalian neurons (e.g., (Zhu et al. 2018; Fitch 2021)). More recently, the organoid, or brain-in-a-dish, approach is showing some promise where small groups of neurons are harnessed to compute input-output relationships, even to the point of playing video games (Kagan et al. 2022). These efforts, and the ability to “design” neurons using technologies such as CRISPR/Cas9, will likely also lead to more synthetic biological approaches to discover multi-scale computation principles (Kagan et al. 2023).\nOur brain processes information during sleep, with minimal energy expenditure. It is also capable of dynamically allocating resources (e.g. attention) to specific tasks or sensory pathways in a context-dependent manner (Murai and Goto 2025). AI is essentially stimulus driven (prompt, get an answer), and is active when humans are active (peak energy expenditure). One could imagine world-wide AI architectures that allocate AI tasks to regions of the world where energy is the cheapest/demand is lowest (e.g. prompt during the day in the USA, get an immediate AI answer/processing at night, in India). One could also imagine AI systems that compile answers, restructure knowledge, and improve their database during “off-line” hours (when humans sleep). Not all AI computations need be human-stimulus driven.\n\n\n### Neuromorphic computation\nNew approaches to computing that are inspired by biological neurons may lead to significant savings in energy expenditure. Hardware approaches subdivide into attempts to capture the complex analog processing that occurs in biological neurons using very low energy levels; others attempts to use standard silicon technology to emulate neurons, and some commercially available neuromorphic chips can be used for rapid preprocessing of sensory information on chip (e.g., neuromorphic cameras); others use sparse connectivity and computation for high energy efficiency (e.g., BrainChip, SpikeCore, Brain Corp). Intel has developed a neuromorphic chip (Loihi2) that uses a spiking neural network for computation, and that communicates and computes using “spike events”, reducing power consumption. In contrast to this chip, which ensures that all processing is completed at each step, a more distributed architecture has been pioneered by SpiNNcloud, which has multiple cores that simulate neurons communication asynchronously. By using denser local connectivity (but not full connectivity) and sparser global connectivity, these chips can also be more energy efficient. Many neuromorphic chips also incorporate plastic synapses that allow for learning.\n\n\n### Sparse representations may be energy efficient\nThere is a large body of neurobiological and computational evidence pointing to sparse coding in the nervous system (Beyeler et al. 2019). Sparse representations that improve reconstruction from noisy data have been intensively studied in applied mathematics (Calvetti et al. 2019; Calvetti et al. 2020; Calvetti and Somersalo 2024). The connection between sparse representation and energy efficiency has been investigated in neurobiology (Hu et al. 2012; Sacramento et al. 2015; Moosavi et al. 2024). In addition to saving energy, sparse representations could also render AI systems more robust to adversarial attacks and catastrophic failures.\n\n\n### Sparse bursting activity is common in motor control/central pattern generator systems\nIn neuro-motor systems, it is inefficient to simultaneously tense opposing muscles, or to activate muscles that are not needed for a given movement. Thus, it is no surprise that patterns of activity in biological motor control systems exhibit sparse bursting patterns, in which a small number of neurons are active at any one time. Such sparse activity patterns are mediated by inhibition, in which the activity of one cell suppresses the activities of others. Similarly, inhibition plays a key role in winner-take-all (WTA) algorithms that select one out of many possible answers (Maass 2000). If a unit consumes more energy when it is “active” than when it is “silent” then WTA dynamics lends itself to energy-efficient implementation. Inhibition also underlies stable heteroclinic channels (SHCs: Fig. 3) that have been proposed as a dynamical architecture supporting sparse, functionally effective activation patterns in motor systems (Shaw et al. 2015; Horchler et al. 2015; Rouse and Daltorio 2021; Mengers et al. 2025), sensory systems (Laurent et al. 2001; Rabinovich et al. 2010) and cognitive processing (Afraimovich et al. 2011; Rabinovich and Varona 2018). Research initiatives to study SHCs, WTA architectures, and other mechanisms for inhibition-dominated connectivity in AI systems may lead to novel energy-efficient solutions.Fig. 3Diagram illustrating a heteroclinic channel. A heteroclinic cycle in a dynamical system is a sequence of trajectories connecting the flow out of and into successive saddle point equilibria. A stable heteroclinic channel attracts all nearby trajectories. See (Rouse and Daltorio 2021) for a detailed description. Image (used with permission) from (https://en.wikipedia.org/wiki/Heteroclinic_channels)\nDiagram illustrating a heteroclinic channel. A heteroclinic cycle in a dynamical system is a sequence of trajectories connecting the flow out of and into successive saddle point equilibria. A stable heteroclinic channel attracts all nearby trajectories. See (Rouse and Daltorio 2021) for a detailed description. Image (used with permission) from (https://en.wikipedia.org/wiki/Heteroclinic_channels)\n\n\n### Neuromodulation suppresses the activity of subnetworks that are not needed for a given task\nIn motor control systems, metabolic resources are redirected to muscle systems that are actively being used. Switching muscles “on” and “off” is regulated by neuromodulation (Sillar et al. 2014). Similarly, activity in neural subsystems is also regulated by neuromodulation. Specializing circuits for specific computational tasks and then powering down those circuits when those tasks are not needed may recapitulate biological-like (biomorphic) efficiencies. More generally, the extent to which neuromodulation in general (e.g. via serotonin, norepinephrine, dopamine, and others) has evolved to improve the efficiency of neural computation (rather than perform neural computation per se) is understudied and deserves attention (Castrillon et al. 2023; Yu et al. 2025c). Implementing neuromodulatory principles in “classic” AI or more modern NeuroAI models might significantly improve their performance, and consequently, their energy expenditure.\n\n\n### Plasticity modulation for adaptive intelligence\nIn addition to gating circuit activity for energy efficiency, neuromodulation in biological systems plays a central role in regulating when and where learning occurs. Neuromodulators such as dopamine, acetylcholine, and norepinephrine do not directly trigger but instead modulate synaptic plasticity, guiding long-term changes in neural circuits based on behavioral relevance, reward prediction, or uncertainty (Marder 2012). This dynamic plasticity control enables animals to learn selectively, preserving stable functions while adapting rapidly to new situations—a capability that current AI systems, including LLMs, largely lack. Instead, these models rely on static, global learning schedules and costly retraining for adaptation (Bommasani et al. 2021). By integrating neuromodulatory principles, such as plasticity gating conditioned on internal goals or novelty signals, future AI systems could enable targeted, context-aware updates to their internal states. This approach offers a path to learning-to-learn (meta-learning) in large-scale models, improving data efficiency, stability, and the ability to generalize across tasks, while avoiding the overhead of continual full-network retraining (Wang et al. 2016; Wang et al. 2018; Hattori et al. 2023; Goudar et al. 2023).\n\n\n### Memory changes with time and use, yielding more efficient representations\nUnlike computers, we (humans and animals alike) store information neither “forever” nor exactly as it was acquired. We do not store pixel-level images, or second-by-second sequences of speech or episodic memories. We have an ability to abstract, simplify or ignore our inputs as they come in, and to re-shape our memories as a function of how or how often we use them, or as a function of their intrinsic “importance”. These features have undoubtedly evolved (at a cost for reliability) to address our limited capacities to perceive and memorize, saving energy and time. AI systems do not usually implement the (useful) mechanisms of forgetting, or memory consolidation (as during sleep (Rouast and Schonauer 2023)). While industry considers these features as deleterious and artifactual, to be avoided and corrected to achieve reliable and precise recall, research into LSTM networks with “forgetting states” has shown promise for continuous learning and other applications (Gers et al. 2000; Wang et al. 2025). New research should explore the extent to which a trade-off can or should be achieved between full recall and precision, and efficiency of representations.\n\n\n### Neuroscience-inspired memory efficiency\nBiological brains achieve remarkable memory efficiency through mechanisms such as sparse coding, synaptic consolidation, and multi-scale memory hierarchies. Unlike large-scale AI models that rely on dense parameter storage and exhaustive training data exposure, the brain encodes information using compact, context-dependent neural activations, often reusing the same networks across tasks via dynamic routing or population coding. Furthermore, systems consolidation, involving transfer from fast-learning hippocampal circuits to slower cortical storage, enables long-term retention without continuous memory access. These strategies contrast with the monolithic memory structures of LLMs, which grow in size and cost with increasing data. Incorporating such biological insights—e.g., sparsity-inducing priors, gated memory consolidation, or attention-modulated storage and retrieval mechanisms—could significantly reduce the memory footprint of large models without sacrificing performance. This approach not only improves energy and storage efficiency, but also supports more flexible, lifelong learning paradigms where memory is treated as a dynamic, structured resource rather than a static archive (Olshausen and Field 1996; Zenke and Gerstner 2017; McClelland et al. 1995).\n\n\n### Multi-resolution representations may be energy efficient\nReceptive fields such as those found in visual cortex have inspired significant contributions in Artificial Learning systems, such as convolutional neural networks (Celeghin et al. 2023). Typically, in these systems, all convolutional kernels are similar. Not all information, however, needs to be represented at the same resolution. The visual system has evolved multi-scale coding (different receptive field sizes within cortical areas, e.g. cortical area V1, and across areas, e.g. cortical areas V1-V4-IT). Spatial navigation in large environments uses multi-scale hippocampal place fields (Harland et al. 2021; Eliav et al. 2021). This multi-scale representation has been shown to have many computational advantages, including efficiency and fast attentional shifting. Most AI systems do not make use of multi-scale representations.\n\n\n### Cortical traveling waves and structured dynamics in large-scale neural models\nA growing body of neuroscience research points to the central role of spatiotemporal cortical waves, such as alpha, beta, and theta oscillations, in orchestrating perception, attention, and memory in the brain. These waves enable multiplexed signaling and efficient integration across distributed cortical areas by rhythmically modulating neuronal excitability (Muller et al. 2018). Recent work suggests that oscillatory activity in the brain may be a form of low-energy analog computing that supports working memory (Lundqvist et al. 2023). Yet modern large-scale AI models, including LLMs, operate with fundamentally static or token-synchronous dynamics. Bridging this gap presents a compelling research frontier: introducing traveling-wave-like dynamics and oscillatory gating into LLMs and other large-scale architectures (Muller et al. 2024). This approach could involve rhythm-based attention windows (Tiesinga et al. 2004; Tiesinga and Sejnowski 2010; Fries 2023), phase-coupled memory activation (Roehri et al. 2022), and dynamic routing paths that emulate the selective coherence seen in cortical circuits (Fries 2023; Banaie Boroujeni and Womelsdorf 2023). Such structured dynamics would not only reduce inference cost and improve temporal coherence but also pave the way for closed-loop agentic systems, where internal wave states regulate external actions in response to changing sensory or goal contexts. Simulating these wave phenomena in neuromorphic or FPGA-based edge architectures can further support real-time, biologically grounded inference under strict energy constraints.\n\n\n### Synthetic nervous systems\nA new neural network architecture, Synthetic Nervous Systems (SNS), has begun to be developed that is more directly inspired by biological nervous systems, requires much smaller training sets, and because of the sparsity of connections, is likely to be far more energy efficient. In the common instantiation, model neurons do not spike, but they can contain multiple ionic conductances, endowing them with complex temporal dynamics similar to those of biological neurons, and their synaptic connections are also dynamic and can change with experience (Szczecinski et al. 2017a). The SNS framework has been extended to simple spiking systems as well (Szczecinski et al. 2020). By using the functional sub-network approach, it is possible to reliably and automatically map a particular function to a small network of these model neurons (Szczecinski et al. 2017b). Once the dynamics of the network have been established, improving parameters using standard optimization techniques is very effective. A software tool allows SNS networks with thousands of neuron to be designed and simulated in real-time (Nourse et al. 2023). These networks have been used for modeling neuromechanical systems, and for the control of biologically-inspired robots.\n\n\n### Leaner training algorithms should save energy\nOne of the major differences between natural (human/biological) and artificial intelligence is the ability to (1) learn with few examples, (2) learn continuously with minimal teaching or supervision, and (3) use common-sense reasoning (Choi 2022). These well-documented features save time and energy. Due to availability and relatively low cost of computing resources, current AI systems do not typically attempt to address this need for enormous training datasets, and using data generated by AI systems to train themselves has proven dangerous (Shumailov et al. 2024). The industry has not yet shown a motivation to develop methods to minimize the training sets. New research specifically targeted at continuous learning and making the most of small training datasets techniques and theories (Perera-Lago et al. 2024) could be a significant step forward for energy efficient AI, especially at the “edge” (i.e. close to the user). Alternative algorithms to those commonly used in LLMs today could also be tested for efficiency, as well as superior outcomes (Grossberg 2020; Wang et al. 2024).\n\n\n### Organoid computation\nInvestigating the limits of single neuron information processing capabilities has taken many forms over decades in living models from protists such as slime molds to mammalian neurons (e.g., (Zhu et al. 2018; Fitch 2021)). More recently, the organoid, or brain-in-a-dish, approach is showing some promise where small groups of neurons are harnessed to compute input-output relationships, even to the point of playing video games (Kagan et al. 2022). These efforts, and the ability to “design” neurons using technologies such as CRISPR/Cas9, will likely also lead to more synthetic biological approaches to discover multi-scale computation principles (Kagan et al. 2023).\n\n\n### Offline and offsite processing save time and energy\nOur brain processes information during sleep, with minimal energy expenditure. It is also capable of dynamically allocating resources (e.g. attention) to specific tasks or sensory pathways in a context-dependent manner (Murai and Goto 2025). AI is essentially stimulus driven (prompt, get an answer), and is active when humans are active (peak energy expenditure). One could imagine world-wide AI architectures that allocate AI tasks to regions of the world where energy is the cheapest/demand is lowest (e.g. prompt during the day in the USA, get an immediate AI answer/processing at night, in India). One could also imagine AI systems that compile answers, restructure knowledge, and improve their database during “off-line” hours (when humans sleep). Not all AI computations need be human-stimulus driven.\n\n\n### Discussion\nIt is time to clarify what we want from AI systems and what AI actually means. Large Language Models (LLMs) are remarkable tools in their early stages but arguably not intelligent systems by any useful definition and their use to achieve Artificial General Intelligence (AGI) is increasingly in doubt (Hofkirchner 2023; Madabushi et al. 2025; Mumuni and Mumuni 2025). LLMs are structurally very limited, being simply rapid statistical sampling and prediction programs that operate on input data. In addition, the efficacy of representing higher-level human cognition with probabilistic models has been questioned (e.g. (Marcus and Davis 2013)). The well-known “hallucinations” (or confabulations) LLMs can produce result from intrinsic design choices that could be conceived as core to finding creative solutions to hard problems, but could also be the result of the processing of bad or incomplete data and inadequate algorithms (Farquhar et al. 2024; Ji et al. 2023). Furthermore, most current AI approaches are difficult to scale. AI technology is already hitting the wall of exponential energy use for very incremental gains in function. The costs of AI are already “obscene” as commented by the New Yorker2, elaborated by the MIT Tech Review3, and data centers are taking ever more from the grid (de Vries 2023). It costs about $700,000 per day in energy to run ChatGPT 3.54. This seems to us a questionable return on investment. The AI progress envisioned by the “Agent 4” superintelligence in the popular sci-fi speculation based on AI-2027 (https://ai-2027.com/) is very likely physically impossible with current chip architectures, on energy consumption grounds alone.\nAI can mimic and eventually improve natural, biological intelligence, the functions and efficiencies of which are far from understood. It therefore stands to reason that we need to understand more about biological intelligence, otherwise AI efforts will be searching for solutions in the dark, forced to implement untested strategies at potentially high financial, energy, and natural resource costs. One problem with the current scientific approach to AI is the limited cross-pollination of ideas between the architects of AI and neuroscientists. On the one hand, most computer scientists and physicists, including those enjoying notoriety in the AI field today, have limited appreciation of neurobiology or cognitive neuroscience. On the other hand, most neurobiologists lack sufficient understanding of computer algorithms, coding and the physics of information processing to contribute to AI technology development. Although there have been some efforts to integrate this knowledge (Hassabis et al. 2017; Botvinick et al. 2020), communication between these research communities remains hamstrung, partially due to siloed training experiences.\nImproving and evolving AI will require establishing new research ecosystems where these two approaches to intelligence are encouraged to flourish synergistically, with a new generation of experts who are well-versed in biology, psychology, cognitive science, physics, engineering and computer science. Such integrated cross-disciplinary training should be reflected in new departments at universities, in new funding for multi-disciplinary training at multiple career stages, as well as in initiatives to bridge academic and industry priorities. In contrast to today, 60 years ago, there were no undergraduate neuroscience departments or programs; interested students had to choose between psychology or biology or computer science. It is not unprecedented therefore that the organization of academia should adapt to the new requirements of the society. This process has already started at a few institutions, such as at Rice University5, which now offer AI majors, but these curricula still fall short, particularly in biology. Given the challenges facing the research budget of the US government, the integrated involvement of foundations, non-profits and private industry would allow more efficient use of taxpayer allocated resources by reducing overhead costs, enabling administrative agility and creating a profit-sharing environment that fosters innovation.\nIn the longer-term, it may be very valuable to consider the contrast between engineered systems and evolution-driven biological systems for generating novel efficient intelligent devices. In general, engineered devices are carefully designed, are usually functionally decomposable for ease of design, maintenance and repair, are manufactured to be identical, and are often controlled using techniques that minimize nonlinearities and maximize ease of predictability. In contrast, biologically systems are subject to evolutionary processes, in which individuals vary, and that variation may be essential for survival in an unpredictable and changing environment. The process of development organizes an exponentially increasing number of elements in polynomial time into organs and a functioning organism. During the lifespan of an organism, local plasticity rules allow for continual adjustments to a changing environment, allowing organisms to find regularities and “common sense” rules about how the world works through experience. All of these processes are constrained by the need to be as energy efficient as possible, and thus all may provide valuable lessons for creating novel energy efficient autonomous intelligent devices in the future.\nAn important consideration for incorporating biological features into engineered systems is that energy efficiency is controlled by both software and hardware. Many of the mechanisms described in this work, such as event-based communication and sparse computation, would have a minimal benefit on current AI hardware (GPUs/TPUs) which is not designed with those paradigms in mind. Current AI and ML systems have been optimized for these power-hungry platforms as they are the current leaders in the “hardware lottery” (Hooker 2020). Truly energy-efficient AI may require significant investment into developing hardware which is designed from the beginning to harness these biologically-grounded mechanisms of energy-efficiency and intelligence.\n\n\n### Longer term concerns\nIt is time to clarify what we want from AI systems and what AI actually means. Large Language Models (LLMs) are remarkable tools in their early stages but arguably not intelligent systems by any useful definition and their use to achieve Artificial General Intelligence (AGI) is increasingly in doubt (Hofkirchner 2023; Madabushi et al. 2025; Mumuni and Mumuni 2025). LLMs are structurally very limited, being simply rapid statistical sampling and prediction programs that operate on input data. In addition, the efficacy of representing higher-level human cognition with probabilistic models has been questioned (e.g. (Marcus and Davis 2013)). The well-known “hallucinations” (or confabulations) LLMs can produce result from intrinsic design choices that could be conceived as core to finding creative solutions to hard problems, but could also be the result of the processing of bad or incomplete data and inadequate algorithms (Farquhar et al. 2024; Ji et al. 2023). Furthermore, most current AI approaches are difficult to scale. AI technology is already hitting the wall of exponential energy use for very incremental gains in function. The costs of AI are already “obscene” as commented by the New Yorker2, elaborated by the MIT Tech Review3, and data centers are taking ever more from the grid (de Vries 2023). It costs about $700,000 per day in energy to run ChatGPT 3.54. This seems to us a questionable return on investment. The AI progress envisioned by the “Agent 4” superintelligence in the popular sci-fi speculation based on AI-2027 (https://ai-2027.com/) is very likely physically impossible with current chip architectures, on energy consumption grounds alone.\n\n\n### Novel mechanisms for research partnerships with industry and/or academia\nAI can mimic and eventually improve natural, biological intelligence, the functions and efficiencies of which are far from understood. It therefore stands to reason that we need to understand more about biological intelligence, otherwise AI efforts will be searching for solutions in the dark, forced to implement untested strategies at potentially high financial, energy, and natural resource costs. One problem with the current scientific approach to AI is the limited cross-pollination of ideas between the architects of AI and neuroscientists. On the one hand, most computer scientists and physicists, including those enjoying notoriety in the AI field today, have limited appreciation of neurobiology or cognitive neuroscience. On the other hand, most neurobiologists lack sufficient understanding of computer algorithms, coding and the physics of information processing to contribute to AI technology development. Although there have been some efforts to integrate this knowledge (Hassabis et al. 2017; Botvinick et al. 2020), communication between these research communities remains hamstrung, partially due to siloed training experiences.\nImproving and evolving AI will require establishing new research ecosystems where these two approaches to intelligence are encouraged to flourish synergistically, with a new generation of experts who are well-versed in biology, psychology, cognitive science, physics, engineering and computer science. Such integrated cross-disciplinary training should be reflected in new departments at universities, in new funding for multi-disciplinary training at multiple career stages, as well as in initiatives to bridge academic and industry priorities. In contrast to today, 60 years ago, there were no undergraduate neuroscience departments or programs; interested students had to choose between psychology or biology or computer science. It is not unprecedented therefore that the organization of academia should adapt to the new requirements of the society. This process has already started at a few institutions, such as at Rice University5, which now offer AI majors, but these curricula still fall short, particularly in biology. Given the challenges facing the research budget of the US government, the integrated involvement of foundations, non-profits and private industry would allow more efficient use of taxpayer allocated resources by reducing overhead costs, enabling administrative agility and creating a profit-sharing environment that fosters innovation.\n\n\n### Biologically-inspired intelligent devices\nIn the longer-term, it may be very valuable to consider the contrast between engineered systems and evolution-driven biological systems for generating novel efficient intelligent devices. In general, engineered devices are carefully designed, are usually functionally decomposable for ease of design, maintenance and repair, are manufactured to be identical, and are often controlled using techniques that minimize nonlinearities and maximize ease of predictability. In contrast, biologically systems are subject to evolutionary processes, in which individuals vary, and that variation may be essential for survival in an unpredictable and changing environment. The process of development organizes an exponentially increasing number of elements in polynomial time into organs and a functioning organism. During the lifespan of an organism, local plasticity rules allow for continual adjustments to a changing environment, allowing organisms to find regularities and “common sense” rules about how the world works through experience. All of these processes are constrained by the need to be as energy efficient as possible, and thus all may provide valuable lessons for creating novel energy efficient autonomous intelligent devices in the future.\n\n\n### Efficiency and hardware\nAn important consideration for incorporating biological features into engineered systems is that energy efficiency is controlled by both software and hardware. Many of the mechanisms described in this work, such as event-based communication and sparse computation, would have a minimal benefit on current AI hardware (GPUs/TPUs) which is not designed with those paradigms in mind. Current AI and ML systems have been optimized for these power-hungry platforms as they are the current leaders in the “hardware lottery” (Hooker 2020). Truly energy-efficient AI may require significant investment into developing hardware which is designed from the beginning to harness these biologically-grounded mechanisms of energy-efficiency and intelligence.", "domain": "affective_neuroscience"}
{"source": "PMC12925468", "title": "Progress in the study of ion channel function, mechanisms, and mathematical modeling in Parkinson’s disease", "text": "# Progress in the study of ion channel function, mechanisms, and mathematical modeling in Parkinson’s disease\n\n## Abstract\nParkinson’s disease is a progressive neurodegenerative disorder in which ion channel dysfunction significantly contributes to the pathophysiology. This review summarizes recent advancements in the altered functions of voltage-gated sodium, potassium, and calcium channels, together with ligand-gated channels, revealing how these abnormalities disrupt neuronal excitability, synaptic transmission, autophagy, and metal ion homeostasis. Complementary mathematical modeling, ranging from Hodgkin-Huxley-type simulations of neuronal electrical activity to large-scale network dynamics and data-driven integrative frameworks, successfully reproduces experimental observations and predicts disease progression. These combined experimental and computational insights facilitate the development of targeted therapeutic strategies, including ion channel modulators and neuroprotective agents. By identifying key mechanistic links and overcoming current limitations in model complexity and data integration, this work underscores the importance of multidisciplinary collaboration among neuroscience, pharmacology, and computational biology to advance precise, channel-directed treatments for Parkinson’s disease. Neuroscience; Cell biology; Mathematical biosciences\n\n## Full Text\n\n\n### Introduction\nParkinson’s disease (PD) is a prevalent neurodegenerative disorder, characterized pathologically by the progressive loss of dopaminergic neurons in the substantia nigra pars compacta (SNc) and the presence of Lewy bodies composed primarily of aggregated α-synuclein (α-syn), leading to the classic motor and non-motor symptoms.1,2 Although the etiology of PD is multifactorial, involving genetic susceptibility, environmental factors, oxidative stress, mitochondrial dysfunction, and neuroinflammation, accumulating evidence underscores ion channel dysfunction as a central mechanism driving neuronal vulnerability and disease progression.3,4,5\nIon channels, which facilitate the movement of ions across cell membranes, are fundamental to maintaining neuronal excitability, synaptic transmission, and cellular homeostasis. Their dysregulation can alter neuronal firing patterns, exacerbating the vulnerability of dopaminergic neurons to degeneration.4,6 Dysfunction of voltage-gated sodium (Nav), voltage-gated potassium (Kv), and voltage-gated calcium (Cav) channels, as well as ligand-gated channels, can lead to aberrant neuronal firing, disrupted synaptic plasticity, impaired autophagy, and ultimately, neuronal death. For instance, Kv channels play a pivotal role in regulating neuronal excitability and have been shown to be involved in the pathophysiology of PD.5,7 Similarly, Cav channels are essential for neurotransmitter release and synaptic plasticity.8,9 The aberrant influx of calcium ions, frequently exacerbated by oxidative stress, can activate apoptotic pathways in dopaminergic neurons, contributing to their degeneration.\nGiven the intricate and multi-scale nature of PD pathophysiology, mathematical modeling has emerged as a powerful tool for elucidating the complex interactions between ion channels and neuronal behavior. Computational approaches, ranging from Hodgkin-Huxley (HH)-based single-neuron models to large-scale network simulations of the basal ganglia, provide a quantitative framework to integrate experimental data, simulate pathological states, and generate testable predictions.10,11,12,13 Furthermore, models incorporating the effects of dopamine depletion on ion channel conductances can simulate the emergence of pathological beta oscillations, a hallmark of PD motor circuitry.14,15,16,17 The integration of experimental findings with mathematical modeling will be essential in advancing our knowledge and treatment of PD.\nThis review provides a comprehensive synthesis of the interplay between ion channel dysfunction and PD pathogenesis. We first detail the types and distribution of key ion channels implicated in PD and elucidate how their abnormalities disrupt core cellular processes, leading to neuronal hyperexcitability, mitochondrial failure, and neuroinflammation. Furthermore, we explore the burgeoning role of mathematical modeling in deciphering this complexity, from fundamental channel kinetics to system-level network dynamics. Finally, we discuss how the integration of experimental biology with computational sciences is informing the development of novel therapeutic strategies and outline future research directions. By bridging molecular mechanisms with computational insights, this review highlights the transformative potential of a multidisciplinary approach in advancing PD treatment.\n\n\n### Results\nNav channels play a crucial role in the excitability of neurons, particularly in the context of PD. In PD, the expression of these channels in basal ganglia neurons is altered, impacting neuronal firing and signaling. Research indicates that the expression levels of specific Nav channel subtypes, such as Nav1.7 and Nav1.8, are significantly modified in the dopaminergic neurons affected by PD, leading to changes in action potential generation and propagation.18,19 These alterations can contribute to the characteristic motor symptoms of PD, including bradykinesia and rigidity, as they disrupt normal neurotransmission (Figure 1). Furthermore, the dysregulation of Nav channels may exacerbate excitotoxicity, a process where excessive stimulation by neurotransmitters such as glutamate leads to neuronal injury and death.Figure 1Nav1.7 dysregulation leads to motor symptoms\nNav1.7 dysregulation leads to motor symptoms\nKv channels play a critical role in regulating neuronal excitability in PD. These channels are responsible for repolarizing the neuronal membrane following action potentials, thereby shaping neuronal firing frequency and patterns. Studies have shown that altered expression or function of Kv channels, particularly Kv1.3 and Kv4.3, is associated with increased neuronal excitability in PD models.20 Such dysregulation can impair the ability to modulate excitatory signals, leading to hyperexcitability of dopaminergic neurons. This hyperexcitability is believed to contribute to motor symptoms in PD by promoting excessive neurotransmitter release and subsequent excitotoxic damage.\nThe inwardly rectifying potassium (Kir) channel family is also implicated in PD pathogenesis. Studies have shown that the P.G156S mutation in the G protein-coupled inwardly rectifying potassium channel 2 (Kir3.2) abolishes the potassium selectivity, leading to sodium and calcium influx overload and eventual cell death. Additionally, the calcium-activated potassium (SK) subfamily of calcium-activated potassium channels participates in PD pathophysiology. In dopaminergic neurons of the SNc, small-conductance calcium-activated potassium channel 2 (SK2) channels help regulate firing patterns, and their activation may protect mitochondrial function and reduce neuronal loss20 (Figure 2).Figure 2Mechanisms underlying PD caused by the dysregulation of potassium ion channels\nMechanisms underlying PD caused by the dysregulation of potassium ion channels\nFurthermore, two-pore domain potassium channels (K2P), which contribute to background leak currents and help set the resting membrane potential, have also been linked to neuronal vulnerability in PD, though their precise role warrants further investigation.7,21,22,23 Moreover, oxidative stress, common in aging and neurodegeneration, can further disrupt potassium channel function through modification by reactive oxygen species, potentially creating a vicious cycle of excitotoxicity and neurodegeneration.24\nCav channels play a pivotal role in the pathophysiology of PD, particularly in the degenerative changes observed in dopaminergic neurons. These channels facilitate calcium influx, a process essential for neurotransmitter release and neuronal signaling. In PD, the dysregulation of calcium channel expression and function can exacerbate neurodegeneration. For instance, Cav subtype 1.3 (Cav1.3) channels have been implicated in excitotoxicity following dopamine depletion, leading to increased intracellular calcium levels and subsequent neuronal apoptosis.18 The pacemaking activity of SNc dopaminergic neurons is particularly dependent on Cav1.3 channels, making them vulnerable to chronic calcium stress.25,26\nMoreover, the interaction between calcium signaling and mitochondrial function is crucial in PD pathology. Disrupted calcium homeostasis can impair mitochondrial function, a hallmark of PD. Excessive neuronal calcium accumulation can trigger mitochondrial calcium overload, in turn promotes the generation of reactive oxygen species and further neuronal damage (Figure 3).Figure 3Mechanisms of neuronal injury induced by Cav1.3\nMechanisms of neuronal injury induced by Cav1.3\nThe pathophysiology of PD is intricately linked to the dysregulation of neuronal excitability within the basal ganglia circuitry. The basal ganglia are crucial for maintaining the balance between excitatory and inhibitory signals, which is essential for normal motor function. In PD, the degeneration of dopaminergic neurons in the substantia nigra leads to a significant reduction in dopamine levels, which in turn disrupts the excitatory-inhibitory balance within the basal ganglia. This imbalance is primarily mediated by ion channels, particularly potassium channels, which play a pivotal role in modulating neuronal excitability and synaptic transmission. The loss of dopaminergic input results in hyperactivity of certain neuronal populations, most notably within the striatum, where increased excitability is observed due to altered ion channel function.27 For instance, voltage-gated potassium channels, which are responsible for repolarizing the neuronal membrane after an action potential, exhibit reduced expression or dysfunctional activity in PD. This dysfunction contributes to prolonged depolarization and increased firing rates of striatal neurons, leading to the characteristic motor symptoms of PD, including tremors and rigidity.19,20,28\nMoreover, specific mutations in ion channels can exacerbate these excitability issues. For example, alterations in the expression or function of Kir and Nav channels have been implicated in the pathogenesis of PD.29 These channels are essential for maintaining resting membrane potential and controlling action potential firing. When their function is compromised, neurons may become hyperexcitable, resulting in excessive neurotransmitter release and accelerating the neurodegenerative process. Studies have shown that the dysregulation of these ion channels can lead to a state of hyperexcitability, characterized by abnormally high neuronal firing rates, thereby disrupting the delicate balance of excitatory and inhibitory signaling necessary for coordinated motor control.30,31\nThe specificity of PD symptoms arises from the selective vulnerability of the dopaminergic neurons in the SNc and the consequent disruption of the basal ganglia-thalamocortical motor circuit. Ion channel dysfunction is not uniform across the brain but varies by region and cell type. For example, SNc dopaminergic neurons exhibit a unique reliance on Cav1.3 channels for pacemaking activity and possess relatively low calcium-buffering capacity, rendering them particularly susceptible to calcium-mediated stress and cell death.25 Concurrently, dopamine loss in the striatum alters potassium channel function (e.g., Kv1.3 and Kv4.3) in medium spiny neurons, shifting their excitability and contributing to dysfunction in the direct and indirect pathways.32,33 This circuit-level dysfunction, driven by region- and cell-type-specific ion channel alterations, ultimately manifests as the akinetic-rigid syndrome and tremor. Furthermore, neuroinflammation and oxidative stress exacerbate dysfunction within these vulnerable circuits by modulating ion channels in both neurons and glia cells in affected regions.34,35\nThe consequences of this aberrant hyperexcitability extend beyond motor symptoms, influencing the non-motor symptoms of PD, including cognitive impairment and mood disorders. The established link between ion channel dysfunction and neuronal excitability highlights the need for targeted therapeutic strategies that specifically aim to restore normal ion channel homeostasis. Recent research has focused on pharmacological agents that can modulate ion channel activity, offering potential to alleviate both motor and non-motor symptoms. For instance, potassium channel modulators have been explored as a means to reduce neuronal hyperexcitability and restore the balance of excitatory and inhibitory signaling in the basal ganglia.24,36\nIn summary, the pathological hyperexcitability of neurons in the context of PD is a multifaceted phenomenon, fundamentally rooted in the dysfunction of ion channels that govern neuronal firing. The resulting imbalance within basal ganglia circuitry not only underlies the hallmark motor symptoms of PD but also extends to broader cognitive and emotional dysregulation (Figure 4A). A precise understanding of the mechanisms through which ion channel alterations drive neuronal hyperexcitability is therefore critical for developing targeted therapeutic interventions aimed at mitigating the impact of this devastating disease (Figure 4B, Table 1).Figure 4Ion channel abnormalities lead to abnormal neuronal excitability(A) Kv1.3 dysfunction leads to abnormal neuronal excitability, thereby triggering the motor symptoms of PD.(B) The mechanism by which PD is caused by functional changes in Kir and Nav channels.Table 1Summary of key ion channels implicated in PDIon Channel FamilyKey SubtypesPrimary FunctionRole/Dysregulation in PDVoltage-Gated Sodium (Nav)Nav1.7, Nav1.8Action potential initiation and propagationAltered expression in the basal ganglia contributes to aberrant excitability and motor symptoms.Voltage-Gated Potassium (Kv)Kv1.3, Kv4.3, Kv7Membrane repolarization; firing rate controlDysregulation leads to neuronal hyperexcitability; Kv1.3 inhibitors show anti-inflammatory effects.Voltage-Gated Calcium (Cav)Cav1.3Pacemaking, neurotransmitter releaseSustained calcium influx in SNc dopamine neurons contributes to mitochondrial stress and excitotoxicity.Inwardly Rectifying K+ (Kir)Kir4.2, Kir3.2Maintain resting potential; modulate excitabilityMutations (e.g., KCNJ15) linked to familial PD; loss of function disrupts ionic homeostasis.Ligand-Gated (Purinoceptor)P2X7, P2X4Mediate ATP signaling; inflammationOveractivation of microglia/neurons drives neuroinflammation and excitotoxicity.Transient Receptor Potential (TRP)TRPM2, TRPV1/4Sense oxidative stress, pain, and temperatureTRPM2 activation by ROS exacerbates calcium dysregulation and inflammation.\nIon channel abnormalities lead to abnormal neuronal excitability\n(A) Kv1.3 dysfunction leads to abnormal neuronal excitability, thereby triggering the motor symptoms of PD.\n(B) The mechanism by which PD is caused by functional changes in Kir and Nav channels.\nSummary of key ion channels implicated in PD\nMitochondrial dysfunction is increasingly recognized as a pivotal player in the pathogenesis of PD, with voltage-dependent anion channels (VDACs) playing a critical role in this process. VDACs, located in the outer mitochondrial membrane, regulate the exchange of ions and metabolites between mitochondria and the cytosol, thereby influencing cellular energy metabolism and apoptosis. In PD, the aggregation of α-syn can interact with VDAC, altering its conductance and selectivity. This interaction is thought to exacerbate mitochondrial dysfunction by impairing calcium homeostasis and promoting oxidative stress, both detrimental to neuronal survival.37,38 Specifically, elevated intracellular calcium and sustained oxidative stress can directly trigger the opening of the mitochondrial permeability transition pore (mPTP), leading to mitochondrial swelling, membrane rupture, and ultimately neuronal death.39,40,41,42 A self-reinforcing vicious cycle further drives this process: mPTP opening enhances reactive oxygen species (ROS) production, which in turn promotes further mPTP activation.43,44 VDAC also functionally interacts with components of the mPTP, suggesting that VDAC dysregulation may critically facilitate this detrimental cycle.\nMoreover, genetic factors associated with familial PD, such as mutations in PINK1 and PARKIN, can exacerbate mitochondrial dysfunction. These mutations impair mitophagy and compromise the clearance of damaged mitochondria, thereby increasing cellular susceptibility to mPTP opening.45,46 The growing understanding of these mechanisms has spurred interest in therapeutic strategies aimed at preserving mitochondrial function in PD. Current approaches include stabilizing mitochondrial membranes, inhibiting pathological mPTP opening, modulating VDAC activity, and employing antioxidants to mitigate oxidative stress44,47 (Figure 5).Figure 5Mechanisms by which ion channel abnormalities induce mitochondrial dysfunction\nMechanisms by which ion channel abnormalities induce mitochondrial dysfunction\nThe interaction between oxidative stress and neuroinflammation is a critical aspect of PD pathology, with the transient receptor potential melastatin 2 (TRPM2) channel playing a pivotal role in mediating these processes. TRPM2 is a calcium-permeable cation channel activated by oxidative stress, particularly through the presence of ROS. In the context of PD, elevated oxidative stress leads to the activation of TRPM2, which subsequently enhances intracellular calcium levels, contributing to neuronal excitotoxicity and apoptosis. Studies have shown that TRPM2 activation exacerbates dopaminergic neuron loss, a hallmark of PD, by promoting neuroinflammatory responses mediated by microglia. This is particularly evident in the substantia nigra, where TRPM2 activation in microglial cells results in the release of pro-inflammatory cytokines, further perpetuating a cycle of oxidative stress and inflammation that accelerates neurodegeneration.48 The synergistic relationship between oxidative stress and neuroinflammation not only underscores the importance of TRPM2 in PD but also highlights it as a potential therapeutic target for mitigating disease progression.\nIn addition to TRPM2, microglia ion channels are critical mediators of neuroinflammation in PD.9 The activation of ion channels such as ATP gated P2X7 (purinergic receptor P2X, ligand-gated ion channel 7) on microglia by damage-associated molecular patterns (DAMPs) drives NLRP3 (NOD-, LRR- and pyrin domain-containing protein 3) inflammasome activation and the release of pro-inflammatory cytokines, perpetuating neuronal damage.49,50,51 The P2X7 receptor, an ATP-gated ion channel, has emerged as a major mediator of neuroinflammation in PD. Under pathological conditions, such as those seen in PD, excessive extracellular ATP leads to the sustained activation of microglial P2X7 receptors. This triggers a series of inflammatory responses, including the assembly of the NLRP3 inflammasome, and secretion of pro-inflammatory cytokines such as interleukin-1β (IL-1β) and tumor necrosis factor-α (TNF-α), which are known to exacerbate neuronal damage disease progression.52 The activation of the P2X7 receptor also disrupts the blood-brain barrier (BBB), facilitating the infiltration of peripheral immune cells into the central nervous system (CNS) and further amplifying neuroinflammation.\nBeyond its inflammatory role, P2X7 activation contributes to several downstream pathogenic processes. It can induce the production of ROS and the release of glutamate, exacerbating excitotoxicity and cell death. It can also interact with the renin-angiotensin system (RAAS), in synergy with the Ang II-AT1R pathway, promote fibrosis, oxidative stress, and neuroinflammation. Given its multifaceted role, targeting the P2X7 receptor represents a promising therapeutic strategy for reducing neuroinflammation and protecting against neuronal loss in PD.52\nThe interaction between TRPM2 and P2X7 receptors exemplifies the complex mechanisms underlying oxidative stress and neuroinflammation in PD. Both channels are integral to the pathophysiological landscape of the disease, where their activation initiates a self-sustaining cycle of neuronal injury. Inhibiting these ion channels offers a potential dual therapeutic approach to interrupt this detrimental loop. For instance, pharmacological agents that block TRPM2 or P2X7 receptor activity have shown promise in preclinical models, reducing neuroinflammation and improving neuronal survival.53,54 Furthermore, understanding the precise signaling pathways involved in TRPM2 and P2X7 receptor activation could lead to the development of targeted therapies that not only alleviate symptoms but also slow the progression of PD by addressing the underlying oxidative stress and neuroinflammatory processes (Figure 6).Figure 6The vicious cycle among ion channel abnormalities and neuroinflammation\nThe vicious cycle among ion channel abnormalities and neuroinflammation\nThe role of α-syn in the modulation of ion channel function is a critical area of research in understanding the pathophysiology of PD. α-syn is known to form oligomers that can directly interact with various ion channels, thereby altering their functionality. For instance, studies have shown that α-syn can influence the conductance of VDAC by partially blocking their activity through its acidic C-terminal tail, which has significant implications for calcium homeostasis within neurons.55 This blockage not only affects the permeability of VDAC to ions but also enhances calcium selectivity, potentially leading to dysregulated calcium influx that is detrimental to neuronal health.55 Furthermore, α-syn oligomers have been shown to modulate ion channels such as transient receptor potential vanilloid 1 (TRPV1) and transient receptor potential ankyrin 1 (TRPA1), thereby influencing neuronal excitability and neurotransmitter release in cellular models of PD.56,57 This direct regulation of ion channels by α-syn suggests a mechanism by which the aggregation of this protein can lead to cellular dysfunction and neurodegeneration.\nMoreover, the physical interactions between α-syn and specific ion channels carry significant pathological implications. For example, α-syn has been found to interact with purinergic receptors such as P2X7, which are implicated in mediating oxidative stress and mitochondrial dysfunction in neurons.58,59 This pathway underscores the importance of ion channel dysregulation in the context of α-syn pathology, as it highlights how α-syn aggregation exacerbates neurodegenerative processes through ion channel-mediated mechanisms. Additionally, emerging evidence also suggests potential involvement of calcium-permeable TRPV4 channels in α-syn pathology, where aberrant TRPV4 upregulation or activation in PD models may contribute to calcium dyshomeostasis, oxidative stress, and impaired clearance of pathological α-syn species.60,61\nThe pathological significance of these interactions is further illustrated by the differential responses of neurons to α-syn aggregation. For instance, pacemaker neurons in the brainstem display adaptive responses to α-syn-induced stress, such as enhanced expression of potassium channels, which serve to mitigate the effects of oxidative stress.62 In contrast, dopaminergic neurons in the substantia nigra are more susceptible to α-syn toxicity, leading to their degeneration. This dichotomy emphasizes the need for a deeper understanding of how α-syn interacts with various ion channels across different neuronal populations, as it may reveal novel therapeutic targets for PD.\nThe leucine-rich repeat kinase 2 (LRRK2) gene is one of the most significant genetic contributors to PD, particularly the G2019S mutation, which is known to have a specific impact on ion channel functionality, particularly potassium channels. Studies have shown that mutations in LRRK2 can lead to altered potassium channel activity, which is crucial for maintaining neuronal excitability and neurotransmitter release. The G2019S mutation has been observed to enhance the activity of certain ion channels, leading to increased calcium influx and subsequent excitotoxicity in dopaminergic neurons.63 This dysregulation of ion channels may contribute to the neurodegenerative processes seen in PD, as the balance of excitatory and inhibitory signals in the brain is disrupted. Furthermore, the interaction between LRRK2 and ion channels extends beyond potassium channels; it also involves sodium and calcium channels, which play critical roles in synaptic plasticity and neuronal communication. For instance, the interplay between LRRK2 and lysosomal ion channels, such as TPC2, has been identified as a significant factor in maintaining dopaminergic function, with the G2019S mutation leading to exaggerated calcium entry that disrupts normal cellular function.63 Studies have found that the LRRK2-R1441C mutation increases lysosomal pH and reduces autophagosome-lysosome fusion.64 In addition, studies have shown that the G2019S mutation causes abnormal membrane localization of D3R-nAChR heteropolymers, and normalizing LRRK2 function can restore their expression.65 This highlights the necessity of understanding the specific mechanisms by which LRRK2 mutations affect ion channel regulation, as it could open avenues for targeted therapeutic interventions aimed at restoring normal ion channel function in PD.\nThe molecular mechanisms underlying the interaction between LRRK2 and ion channels are complex and multifaceted. The dysregulation of ion channels due to LRRK2 mutations not only affects calcium dynamics but also has downstream effects on various signaling pathways critical for neuronal health. For example, the aberrant calcium entry associated with LRRK2 mutations can lead to the increased activation of calcium-dependent signaling cascades, which may exacerbate neuroinflammation and oxidative stress, both of which are implicated in the pathogenesis of PD.66 Additionally, the relationship between LRRK2 and ion channels may involve protein-protein interactions that modulate channel activity and localization within the cell. Studies utilizing advanced techniques such as brain organoids derived from LRRK2 mutant patient cells have provided insights into how these interactions manifest in a more physiologically relevant context, revealing alterations in dopaminergic neuron populations and increased autophagy.67 These findings underscore the importance of LRRK2 as a potential therapeutic target, as modulating its activity or its interactions with ion channels could ameliorate some of the functional deficits observed in PD.\nThe treatment of PD has evolved significantly with the introduction of various pharmacological agents, among which levodopa (L-DOPA) remains the cornerstone therapy. L-DOPA is a precursor to dopamine, and its primary action is to replenish the depleted dopamine levels in the brain, particularly in the striatum, which is crucial for motor control. However, its effects on ion channels, particularly in the context of indirect modulation, are increasingly recognized. L-DOPA influences the activity of several ion channels, including potassium (K+) and calcium (Ca2+) channels, which are critical for neuronal excitability and neurotransmitter release. For instance, the administration of L-DOPA has been shown to enhance the activity of voltage-gated K+ channels, which play a role in repolarizing neurons after action potentials, thereby influencing overall neuronal excitability and synaptic transmission.68 This modulation can help restore some of the motor functions impaired in PD. Furthermore, L-DOPA’s action is not limited to dopaminergic neurons; it can also impact the activity of non-dopaminergic neurons, suggesting a broader influence on the neuronal network dynamics within the basal ganglia. The indirect effects of L-DOPA on ion channels may also contribute to its side effects, such as dyskinesias, which are characterized by abnormal involuntary movements. Studies have shown that L-DOPA treatment may lead to the redistribution and overactivation of NMDA receptors, thereby exacerbating neuronal degeneration and motor side effects.69 Over time, the efficacy of L-DOPA diminishes, partly due to the progression of neurodegeneration and alterations in ion channel expression and function. This necessitates the exploration of additional therapeutic strategies that target ion channels directly to complement L-DOPA therapy and address the underlying pathophysiology of PD more effectively.20\nIn addition to L-DOPA, dopamine receptor agonists (DRAs) have emerged as important therapeutic agents for PD. These compounds mimic the action of dopamine by directly stimulating dopamine receptors, particularly D2-like receptors, which are crucial for modulating the activity of ion channels involved in neurotransmission. DRAs, such as pramipexole and ropinirole, have been shown to enhance the activity of K+ channels, which can lead to increased neuronal firing rates and improved motor function.24 The activation of D2 receptors by DRAs can also result in the inhibition of adenylyl cyclase, leading to decreased cAMP levels and subsequent modulation of ion channel activity. This pathway is particularly relevant in the context of the striatal circuitry, where the balance of excitatory and inhibitory signals is critical for motor control. Moreover, the use of DRAs has been associated with neuroprotective effects, potentially through their ability to modulate ion channel activity and reduce excitotoxicity, a common feature in PD pathology.70 However, the long-term use of DRAs can also lead to side effects, including impulse control disorders and dyskinesias, similar to those observed with L-DOPA. Overall, the exploration of existing drugs' ion channel action mechanisms offers valuable insights into developing more effective and targeted therapies for PD, addressing both symptoms and disease progression.71\nThe development of specific ion channel modulators has gained significant attention in the context of PD therapy, as these channels play crucial roles in neuronal excitability and neurotransmitter release. Recent advancements have focused on the identification and characterization of ion channel regulators that can selectively modulate the activity of specific channels implicated in PD pathophysiology. Potassium channel modulators represent a particularly promising class. Among these, Kv channel modulators have been highlighted as potential therapeutic targets due to their involvement in regulating dopaminergic neuron excitability and neurotransmitter release. For instance, inhibitors of the Kv1.3 channel (e.g., PAP-1, ShK-186) have anti-inflammatory and neuroprotective effects, while Kv7 (KCNQ) channel openers (e.g., Retigabine and XE991) can improve cognitive function and dyskinesias.18,20 SK channel openers, targeting channels such as SK2, aim to protect neurons by counteracting calcium-induced excitotoxicity and supporting mitochondrial function.72 The therapeutic potential of these modulators lies in their ability to restore the balance of ion homeostasis disrupted in PD, thereby mitigating neurodegeneration and improving motor functions. Furthermore, the exploration of small molecules that can selectively enhance or inhibit specific ion channels is underway, with some compounds showing promise in preclinical models of PD. For example, the selective modulation of inward rectifying K+ channels has demonstrated neuroprotective effects in dopaminergic neurons, suggesting that targeted therapies could lead to more effective treatment options for patients with PD.24,34\nThe discovery of these novel modulators is increasingly aided by computational drug discovery (CDD) approaches. In silico screening of compound libraries against homology models or cryo-EM structures of target ion channels (e.g., Cav, Kv, and P2X7) allows for the rapid identification of high-affinity lead compounds.73,74 Molecular dynamics simulations further help in understanding drug-channel interactions and optimizing selectivity profiles.75 Machine learning models trained on electrophysiological and chemical data can predict the functional effects of novel compounds on specific channel subtypes, accelerating the hit-to-lead optimization process.76,77 This synergy between computational prediction and experimental validation is streamlining the development of next-generation, highly selective ion channel therapeutics for PD.\nIn addition to traditional pharmacological approaches, optogenetics has emerged as a revolutionary technique for the precise control of ion channels in the context of PD treatment. This method employs light to activate or inhibit genetically modified ion channels with high specificity and temporal precision, allowing for the modulation of neuronal activity in real-time. The application of optogenetics in PD research has shown potential in restoring normal firing patterns in dopaminergic neurons, which are often disrupted in the disease. For instance, the use of light-sensitive ion channels such as channel rhodopsins has enabled researchers to selectively stimulate dopaminergic neurons in animal models, resulting in improved motor function and reduced symptoms associated with PD.78 This innovative approach not only provides insights into the underlying mechanisms of PD but also opens new avenues for developing non-invasive therapeutic strategies that could complement existing treatments. The integration of optogenetic techniques with traditional pharmacotherapy may enhance the efficacy of treatment regimens and offer a more personalized approach to managing PD.\nMoreover, the potential of combining ion channel modulation with other advanced therapeutic strategies, such as gene therapy or neuroprotective agents, is being explored. The use of gene editing technologies, such as CRISPR/Cas9, to correct gain-of-function mutations in ion channel genes associated with PD presents an exciting frontier in targeted therapy.79,80 Viral vector-mediated delivery of genes encoding inhibitory peptides (e.g., specific for Cav) or dominant-negative channel subunits offers another avenue for long-term, targeted suppression of pathological ion channel activity in vulnerable neuronal populations.81 Additionally, the exploration of neuroinflammatory pathways and their interaction with ion channels has revealed new therapeutic targets. For example, bi-specific molecules that simultaneously modulate an ion channel (e.g., P2X7) and a key neuroinflammatory mediator are under conceptual development to achieve synergistic effects.52,82\nMathematical modeling provides a quantitative framework to bridge molecular-level dysfunction with cellular, circuit, and behavioral phenotypes in PD (Table 2). It allows for hypothesis testing, prediction of disease progression, and optimization of therapies. Key approaches span from simulating single-channel kinetics to the analysis of large-scale network dynamics.Table 2Overview of mathematical modeling approaches in PD researchModeling ApproachScaleApplication in PDAdvantagesLimitationsHodgkin-Huxley/Markov ModelsCellularSimulating altered excitability of SNc neurons: drug effects on specific channels.High biophysical detail; mechanistic insight.Computationally expensive; requires extensive parameterization.Neuronal Network ModelsCircuitSimulating beta oscillations in the basal ganglia; predicting DBS outcomes.Captures emergent network dynamics; links cellular changes to circuit dysfunction.Simplified representation of neurons; may overlook molecular details.Multiscale/QSP ModelsSystemPredicting the therapeutic efficacy of ion channel drugs combined with DBS.Integrates pharmacology with pathophysiology; personalized medicine potential.High complexity; difficult to validate comprehensively.\nOverview of mathematical modeling approaches in PD research\nThe HH model,83 a cornerstone in neurophysiology, describes the conductance changes of sodium and potassium channels using a set of differential equations: Iion = gion ∗ mp ∗ hq ∗ (V - Eion). Where Iion is the ionic current, gion is the maximal conductance, m and h are gating variables for activation and inactivation, p and q are integers, V is the membrane potential, and Eion is the reversal potential. This formalism allows for the simulation of action potentials and has been extensively applied to model neuronal excitability in PD-affected neurons. In the context of PD, alterations in ion channel function can lead to disrupted neuronal signaling, contributing to the motor and non-motor symptoms of the disease. By applying the Hodgkin-Huxley framework, researchers can simulate the effects of various ion channel dysfunctions on neuronal behavior, thereby elucidating the pathophysiological mechanisms of PD.\nIn contrast, Markov state models offer a more nuanced approach to studying ion channels by capturing the probabilistic nature of channel gating. Unlike the Hodgkin-Huxley model, which relies on deterministic equations, Markov models represent ion channel states and transitions as a series of probabilistic events.84,85 This framework is particularly advantageous in PD research, as it can accommodate the inherent variability and stochastic behavior of ion channels in pathological states. Markov models allow for the incorporation of multiple states and transitions, providing a detailed representation of the kinetic properties of ion channels under various physiological and pathological conditions. This level of detail is crucial for understanding how specific mutations or pathological processes affect ion channel function in PD, ultimately aiding in the development of targeted therapies that can modulate channel activity more precisely than traditional approaches (Figure 7).Figure 7Mathematical modeling of ion channels associated with PD\nMathematical modeling of ion channels associated with PD\nKey to modeling neuronal excitability are fundamental biophysical concepts, including the Nernst potential for ions, the Goldman-Hodgkin-Katz equation86,87 for resting membrane potential, and current-voltage relationships. Incorporating these allows models to accurately reflect the electrophysiological signatures of PD-affected neurons, such as altered pacemaking, increased burst firing, or changes in input resistance. Furthermore, the Poisson-Nernst-Planck equations provide a more detailed continuum description of ion electrodiffusion, which can be important for understanding phenomena such as ionic concentration changes in confined spaces such as the synaptic cleft or peri-neuronal spaces.88 These advanced frameworks, when integrated with channel kinetics, enable more realistic simulations of pathological states such as excitotoxicity.\nThe development of computational models for neurons affected by PD provides critical insights into the underlying mechanisms of neuronal dysfunction and potential therapeutic interventions. In constructing a detailed framework for PD-related neuronal models, researchers have leveraged various computational techniques to simulate the electrical activity of neurons, particularly focusing on the ion channel dynamics that are altered in PD. For instance, the optimization of rodent subthalamic nucleus (STN) neuron models has revealed significant modifications in firing characteristics when an axon is integrated into the model, emphasizing the importance of biophysical realism in accurately replicating neuronal behavior.89 Additionally, the incorporation of ephaptic interactions—where electrical activity in one neuron influences another neuron without direct synaptic connections—has been shown to play a role in the altered firing patterns observed in neurodegenerative conditions.90 This highlights the complexity of neuronal networks in PD, where both intrinsic properties of individual neurons and their interactions within a network must be considered for accurate modeling.\nThe parameters of these models significantly influence the firing patterns of neurons, which can be critical for understanding the pathophysiology of PD. For example, variations in ion channel conductance can lead to changes in action potential shape and frequency, which are essential for neuronal communication and overall network function. Studies utilizing dimensionality reduction techniques have demonstrated that even small changes in ion channel composition can lead to substantial variability in neuronal excitability and firing patterns.91 This variability is particularly relevant in the context of PD, where the degeneration of dopaminergic neurons leads to altered excitability and impaired synaptic transmission, contributing to the motor and non-motor symptoms of the disease. Furthermore, computational models that incorporate both excitatory and inhibitory synaptic processes have revealed how excitotoxicity can manifest in PD models, affecting the balance of neuronal activity and potentially leading to chronic pain and other complications.92\nThe impact of model parameters on neuronal firing patterns can also be observed in the context of deep brain stimulation (DBS), a therapeutic approach used in PD treatment. Computational models of DBS effects on STN neurons have been optimized to predict personalized stimulation parameters (see also network-system scale modeling section).93 By optimizing these models through genetic algorithms, researchers can achieve a better alignment with experimental data, thus enhancing the predictive power of the models for clinical applications. For instance, to address issues such as the lack of standardization in assessing the efficacy of DBS on gait improvement, a Walking Performance Index (WPI) was proposed to objectively evaluate gait performance. By employing a Gaussian Process Regression (GPR) model, personalized optimal DBS parameters were predicted and identified within safe stimulation ranges, resulting in a 2%–18% improvement in WPI across three patients. This approach provides data-driven support for clinical DBS programming and reduces the time required for parameter trial-and-error.94\nIn summary, the construction of computational models for PD-related neurons is a multifaceted endeavor that requires careful consideration of various parameters influencing neuronal activity. By integrating biophysical realism, optimizing model parameters, and analyzing the effects of ion channel dynamics, researchers can gain valuable insights into the mechanisms underlying PD and explore potential therapeutic avenues. As the field progresses, these models will continue to serve as essential tools for elucidating the complexities of neuronal function in health and disease, ultimately contributing to improved treatment strategies for individuals with PD (Figure 7).\nThe basal ganglia, a group of nuclei in the brain, play a crucial role in motor control and are integral to the functioning of various neural circuits. In PD, understanding these networks is essential for elucidating pathological mechanisms. A widely used mathematical model of the basal ganglia microcircuitry employs a network framework comprising nodes representing different neuronal populations, such as the striatum, globus pallidus, subthalamic nucleus, and substantia nigra. Each node is characterized by unique ion channel properties that shape network dynamics. For instance, striatal neurons primarily express GABAergic (gamma-aminobutyric acidergic) inhibitory channels, while subthalamic nucleus neurons exhibit excitatory glutamatergic channels. These interactions are commonly modeled with differential equations that describe neuronal firing rates and synaptic communication, capturing the oscillatory behavior typical of healthy states. Coupling strength between nodes, modulated by the conductance of ion channels, directly affects the synchronization of neuronal firing, a phenomenon critical for normal motor function. Studies have shown that specific conductance patterns can produce either chaotic or regular dynamics within the network. Balanced conductances tend to support synchronized activity, whereas alterations in ion channel properties may lead to desynchronized, pathological states characteristic of PD.95\nThe impact of ion channel properties on network oscillations is profound. Each node’s channel profile determines its excitability and synaptic integration, collectively governing oscillatory patterns. For example, the modulation of sodium and potassium channels can alter the action potential firing rates, thereby influencing the timing and synchronization of network rhythms. This is particularly important in PD, where dopaminergic depletion disrupts ion channel dynamics and promotes abnormal beta oscillations. Mathematical models incorporating these dynamics can simulate how variations in conductance affect network stability and oscillatory behavior. By adjusting parameters related to ion channel conductance, researchers can explore a range of network states, from normal oscillatory patterns to pathological rhythms observed in PD.96,97,98,99\nIn summary, mathematical modeling of basal ganglia microcircuitry under normal state provides a valuable framework for understanding the complex interactions between various neuronal populations and their ion channel properties. By analyzing how these properties influence network oscillations, researchers can gain insights into the pathophysiology of PD and identify potential avenues for therapeutic intervention. The interplay between ion channel dynamics and network behavior underscores the importance of precise mathematical modeling in elucidating the mechanisms of neural function and dysfunction.\nThe simulation of pathological states in PD is crucial for understanding the underlying mechanisms that lead to the characteristic symptoms of the disorder. Recent advancements in mathematical modeling have enabled researchers to simulate the effects of ion channel dysfunction on neural network oscillations, particularly focusing on the role of potassium channels. For instance, the inwardly rectifying potassium channel Kir4.2, which has been implicated in familial PD through mutations such as KCNJ15p.R28C, exhibits significant alterations in its functional properties. Studies have shown that this mutation leads to a loss of channel function, which can disrupt the balance of excitatory and inhibitory signals within neural circuits, potentially contributing to abnormal oscillatory activity observed in patients with PD.5 Furthermore, the transient receptor potential canonical 5 (TRPC5) channels, which are activated by oxidative stress and predominantly expressed in the striatum and substantia nigra, have been shown to play a role in calcium influx and subsequent neuronal excitotoxicity. In a PD model induced by MPTP, TRPC5 overexpression was associated with increased oxidative stress and apoptosis, highlighting the importance of ion channel dynamics in the pathophysiology of PD.100 Mathematical models can capture these complex interactions, allowing for simulations that reflect how ion channel abnormalities lead to altered network oscillations, which are characteristic of PD.\nMoreover, the enhancement of beta-band oscillations, often observed in PD, can be linked to specific ion channel dysfunctions. The modulation of beta-band activity is thought to be influenced by the balance of excitatory and inhibitory inputs in the basal ganglia circuitry, where ion channels play a pivotal role. For example, the P2X4 receptor, which is involved in regulating synaptic transmission and cellular excitability, has been shown to affect autophagy and neuroinflammation in PD models. Inhibition of P2X4 receptor expression has been associated with improved motor function and reduced neurodegeneration, suggesting that its dysregulation may contribute to the enhanced beta oscillations seen in PD.101 Mathematical modeling approaches can be employed to simulate these oscillatory dynamics, allowing researchers to explore how changes in ion channel function can lead to the characteristic motor symptoms of PD.\nComputational studies have been instrumental in linking ion channel dysfunction to specific network-level pathologies in PD. For example, models incorporating dopamine depletion and altered striatal potassium channel conductances can reproduce the excessive beta-band oscillations observed in the basal ganglia of patients with PD.16 These models suggest that the loss of dopamine leads to changes in the feedback loops within the basal ganglia-thalamocortical circuit, promoting pathological synchrony. Furthermore, models investigating heterogeneous delays within the basal ganglia network have utilized Hopf bifurcation analysis to demonstrate how specific parameter changes (e.g., synaptic strengths and delays) can induce a transition from normal, irregular firing to pathological, synchronized oscillations, providing a theoretical basis for the emergence of PD symptoms.13,17\nIn summary, the simulation of pathological states in PD through mathematical modeling provides valuable insights into the mechanisms by which ion channel dysfunction contributes to altered neural oscillations. By elucidating the relationship between specific ion channels and network dynamics, these models offer a powerful tool for advancing our understanding of PD (Figure 8).Figure 8Network dynamics modeling\nNetwork dynamics modeling\nThe integration of molecular dynamics with cellular electrophysiological activities represents a significant advancement in understanding the complex pathophysiology of PD. This cross-scale modeling approach allows researchers to bridge the gap between molecular interactions and cellular responses, providing a comprehensive view of how alterations at the molecular level can impact neuronal function. For instance, molecular dynamics simulations have been employed to elucidate the structural dynamics of ion channels, such as N-methyl-D-aspartate receptors (NMDARs), which are critical in mediating excitatory neurotransmission. These simulations reveal how ligand binding induces conformational changes that affect ion permeability and channel activity, which are crucial for maintaining neuronal health. In the context of PD, the dysregulation of ion channels, including NMDARs, has been linked to excitotoxicity and subsequent neuronal death, highlighting the importance of understanding these molecular mechanisms.102 Furthermore, recent studies utilizing single-nucleus RNA sequencing have provided insights into the cellular heterogeneity of the PD mouse model, revealing how different cell types exhibit distinct alterations in ion channel expression and activity. This approach has generated a detailed transcriptomic atlas that captures the intricate interplay between various cell types in the PD-affected brain, facilitating the identification of specific molecular targets for therapeutic intervention.103\nMoreover, the modeling of ion channel dynamics extends to the investigation of specific proteins implicated in PD, such as α-syn, which is known to influence ion channel function. Quantitative simulations have demonstrated that α-syn can modulate ion channel activity, linking molecular changes to alterations in cellular electrical activity and contributing to excitotoxicity and oxidative stress.104 By employing a multi-scale modeling framework, researchers can simulate the effects of α-syn on ion channel dynamics, linking molecular changes to alterations in cellular electrical activity.\nIn summary, the advancement of molecular-cellular scale modeling in PD research is pivotal for elucidating the complex interactions between molecular dynamics and cellular electrophysiology. By integrating data from molecular simulations with cellular activity measurements, researchers can gain a deeper understanding of how alterations at the molecular level contribute to the pathogenesis of PD. This holistic perspective is essential for the development of targeted therapies that address the underlying molecular mechanisms driving neuronal dysfunction in PD.\nThe construction of whole-brain network models based on ion channel characteristics represents a significant advancement in understanding the complex dynamics of neural interactions, particularly in the context of PD. These models integrate various electrophysiological properties of neurons, including ion channel dynamics, synaptic interactions, and the effects of ephaptic coupling, which refers to the influence of one neuron’s electric field on another. Recent studies have highlighted the importance of ephaptic interactions, particularly in the context of neuronal membrane impairment observed in neurodegenerative diseases such as PD. For instance, numerical simulations have shown that alterations in ion channel resistance and lipid membrane capacitance can significantly impact neuronal communication and synchronization, leading to impaired electrophysiological properties that characterize PD.90 By employing hybrid neural models, such as the quadratic integrate-and-fire ephaptic (QIF-E) model, researchers can simulate these interactions and better understand how disruptions in ion channel function contribute to the pathophysiology of PD. This approach allows for the exploration of how specific ion channel dysfunctions can lead to broader network-level changes, offering insights into the mechanisms underlying motor and cognitive deficits in patients with PD.\nIn addition to enhancing our understanding of PD pathophysiology, these network models have practical applications in optimizing DBS therapies for PD. DBS has emerged as a critical intervention for managing motor symptoms in advanced PD, but its efficacy can be variable among patients. By utilizing network-scale models, clinicians can simulate the effects of DBS on different brain regions involved in motor control, allowing for the identification of optimal stimulation parameters tailored to individual patient profiles. For instance, quantitative systems pharmacology models have been developed that simulate the basal ganglia motor circuit, incorporating the effects of various neurotransmitter systems and ion channels. These models can predict the impact of DBS on local field potentials and motor function, providing a framework for personalizing stimulation protocols.105 Furthermore, the integration of pharmacokinetic (PK) modeling with these network models can enhance the understanding of how adjunct pharmacological therapies, such as adenosine A2A antagonists, can be combined with DBS to further reduce OFF-time in patients with PD. This approach not only facilitates the design of clinical trials for new therapeutic agents but also supports the optimization of combination therapies in clinical practice, ultimately improving patient outcomes in PD management.\nOverall, the development of whole-brain network models based on ion channel characteristics is paving the way for a more nuanced understanding of the neural circuitry involved in PD. By bridging the gap between basic electrophysiological research and clinical applications, these models hold the potential to revolutionize how we approach the treatment of PD, leading to more effective and personalized therapeutic strategies. As research continues to evolve, the integration of advanced modeling techniques will undoubtedly enhance our ability to dissect the complexities of PD and improve therapeutic interventions for those affected by this debilitating condition (Figure 9).Figure 9Multiscale modeling methods\nMultiscale modeling methods\nThe integration of patch-clamp techniques with computational models has emerged as a powerful strategy for validating the functional roles of ion channels in PD. Patch-clamp electrophysiology allows for the precise measurement of ionic currents through individual ion channels, providing insights into their biophysical properties and functional dynamics under various conditions. This technique is particularly valuable in understanding how specific mutations or pharmacological agents influence ion channel activity, which is critical in the context of PD, where the dysregulation of ion channels contributes to dopaminergic neuron vulnerability. For instance, the study of the Kir4.2 potassium channel, which has been linked to familial PD through mutations, demonstrates how patch-clamp recordings can reveal alterations in channel conductance and kinetic properties resulting from genetic modifications.5 Furthermore, computational models can simulate the behavior of ion channels within neuronal networks, allowing researchers to predict the impact of ion channel dysfunction on neuronal excitability and signaling pathways. By combining experimental data from patch-clamp studies with computational simulations, researchers can create a more comprehensive understanding of the pathophysiological mechanisms underlying PD, ultimately guiding the development of targeted therapeutics aimed at restoring normal ion channel function and neuronal health.\nIn addition to traditional cell lines, induced pluripotent stem cell (iPSC) models have gained recognition for their unique value in validating findings related to PD. iPSCs can be derived from patients with specific genetic backgrounds, enabling the study of disease mechanisms in cell types that closely mimic the physiological conditions of human dopaminergic neurons. This is particularly important as many conventional cell lines, such as SH-SY5Y, may not accurately replicate the pathophysiological features of PD.106 For example, research comparing LUHMES cells, a more robust dopaminergic model, with SH-SY5Y cells has shown that LUHMES cells exhibit more consistent dopaminergic characteristics and a more pronounced response to neurotoxic insults, thereby providing a more reliable platform for studying the effects of ion channel modulation in PD.106 The ability to generate patient-specific iPSCs also allows for the exploration of personalized medicine approaches, where therapeutic strategies can be tailored to the unique genetic and phenotypic profiles of individuals with PD. Moreover, these models facilitate high-throughput screening of potential pharmacological agents targeting ion channels, thereby accelerating the discovery of new treatments that could mitigate the progression of neurodegeneration in PD.\nIn vivo experimental validation is essential for confirming the predictive capabilities of computational models in the context of ion channel dysfunction in PD. Animal models, particularly those utilizing rodents, serve as the primary subjects for these investigations. The comparison between computational predictions and actual physiological outcomes involves a multi-step approach. Initially, researchers employ computational models to simulate the behavior of specific ion channels implicated in PD, such as voltage-gated calcium channels and potassium channels, under various conditions. These models are based on existing data regarding ion channel dynamics and neuronal activity. Following this, in vivo experiments are conducted using animal models that exhibit PD-like symptoms, such as the 6-hydroxydopamine (6-OHDA) lesion model. This model effectively mimics the neurodegenerative processes observed in human PD, particularly the selective degeneration of dopaminergic neurons in the substantia nigra. Researchers then assess the physiological responses of these animals to pharmacological interventions designed to target the ion channels identified in the computational models. By measuring parameters such as motor function, neuronal firing rates, and neurotransmitter levels, scientists can evaluate the accuracy of their computational predictions. Discrepancies between the model outcomes and the observed results in animal subjects can provide insights into the limitations of current models and highlight the need for further refinement of computational approaches to better reflect biological realities.69,107\nMoreover, the integration of microelectrode array (MEA) technology into these validation studies has significantly enhanced our understanding of neuronal activity in animal models of PD. MEA technology allows for the simultaneous recording of electrical activity from multiple neurons, providing a comprehensive view of network dynamics in response to ion channel modulation. In the context of PD, MEAs can be utilized to monitor the effects of pharmacological agents targeting specific ion channels on dopaminergic neuron activity. For instance, researchers can observe changes in firing patterns, synaptic transmission, and network oscillations in real-time as they apply drugs that either enhance or inhibit the activity of particular ion channels. This approach not only validates computational predictions but also elucidates the underlying mechanisms of ion channel dysfunction in PD. By correlating the changes in neuronal activity observed through MEAs with behavioral outcomes in the animal models, researchers can establish a more robust link between ion channel activity and motor function. Furthermore, the ability to manipulate environmental conditions, such as ion concentrations or pharmacological agents, while recording neuronal responses in vivo allows for a more dynamic assessment of ion channel function and its implications in PD pathology.64,108\nIn summary (Figure 10), the combination of computational modeling and in vivo experimental validation, particularly through the use of animal models and advanced recording technologies such as MEAs, represents a powerful strategy for understanding the role of ion channel dysfunction in PD. This integrative approach not only enhances the predictive accuracy of computational models but also provides critical insights into the pathophysiological mechanisms driving neurodegeneration in PD. Future research should focus on refining these models and further exploring the complex interactions among various ion channels and their collective impact on neuronal health and disease progression. Such efforts will pave the way for novel therapeutic strategies aimed at correcting ion channel dysfunction in PD.38,109Figure 10Model validation and experimental design\nModel validation and experimental design\n\n\n### Types and distribution of key ion channels in Parkinson’s disease\nNav channels play a crucial role in the excitability of neurons, particularly in the context of PD. In PD, the expression of these channels in basal ganglia neurons is altered, impacting neuronal firing and signaling. Research indicates that the expression levels of specific Nav channel subtypes, such as Nav1.7 and Nav1.8, are significantly modified in the dopaminergic neurons affected by PD, leading to changes in action potential generation and propagation.18,19 These alterations can contribute to the characteristic motor symptoms of PD, including bradykinesia and rigidity, as they disrupt normal neurotransmission (Figure 1). Furthermore, the dysregulation of Nav channels may exacerbate excitotoxicity, a process where excessive stimulation by neurotransmitters such as glutamate leads to neuronal injury and death.Figure 1Nav1.7 dysregulation leads to motor symptoms\nNav1.7 dysregulation leads to motor symptoms\nKv channels play a critical role in regulating neuronal excitability in PD. These channels are responsible for repolarizing the neuronal membrane following action potentials, thereby shaping neuronal firing frequency and patterns. Studies have shown that altered expression or function of Kv channels, particularly Kv1.3 and Kv4.3, is associated with increased neuronal excitability in PD models.20 Such dysregulation can impair the ability to modulate excitatory signals, leading to hyperexcitability of dopaminergic neurons. This hyperexcitability is believed to contribute to motor symptoms in PD by promoting excessive neurotransmitter release and subsequent excitotoxic damage.\nThe inwardly rectifying potassium (Kir) channel family is also implicated in PD pathogenesis. Studies have shown that the P.G156S mutation in the G protein-coupled inwardly rectifying potassium channel 2 (Kir3.2) abolishes the potassium selectivity, leading to sodium and calcium influx overload and eventual cell death. Additionally, the calcium-activated potassium (SK) subfamily of calcium-activated potassium channels participates in PD pathophysiology. In dopaminergic neurons of the SNc, small-conductance calcium-activated potassium channel 2 (SK2) channels help regulate firing patterns, and their activation may protect mitochondrial function and reduce neuronal loss20 (Figure 2).Figure 2Mechanisms underlying PD caused by the dysregulation of potassium ion channels\nMechanisms underlying PD caused by the dysregulation of potassium ion channels\nFurthermore, two-pore domain potassium channels (K2P), which contribute to background leak currents and help set the resting membrane potential, have also been linked to neuronal vulnerability in PD, though their precise role warrants further investigation.7,21,22,23 Moreover, oxidative stress, common in aging and neurodegeneration, can further disrupt potassium channel function through modification by reactive oxygen species, potentially creating a vicious cycle of excitotoxicity and neurodegeneration.24\nCav channels play a pivotal role in the pathophysiology of PD, particularly in the degenerative changes observed in dopaminergic neurons. These channels facilitate calcium influx, a process essential for neurotransmitter release and neuronal signaling. In PD, the dysregulation of calcium channel expression and function can exacerbate neurodegeneration. For instance, Cav subtype 1.3 (Cav1.3) channels have been implicated in excitotoxicity following dopamine depletion, leading to increased intracellular calcium levels and subsequent neuronal apoptosis.18 The pacemaking activity of SNc dopaminergic neurons is particularly dependent on Cav1.3 channels, making them vulnerable to chronic calcium stress.25,26\nMoreover, the interaction between calcium signaling and mitochondrial function is crucial in PD pathology. Disrupted calcium homeostasis can impair mitochondrial function, a hallmark of PD. Excessive neuronal calcium accumulation can trigger mitochondrial calcium overload, in turn promotes the generation of reactive oxygen species and further neuronal damage (Figure 3).Figure 3Mechanisms of neuronal injury induced by Cav1.3\nMechanisms of neuronal injury induced by Cav1.3\n\n\n### Sodium channel\nNav channels play a crucial role in the excitability of neurons, particularly in the context of PD. In PD, the expression of these channels in basal ganglia neurons is altered, impacting neuronal firing and signaling. Research indicates that the expression levels of specific Nav channel subtypes, such as Nav1.7 and Nav1.8, are significantly modified in the dopaminergic neurons affected by PD, leading to changes in action potential generation and propagation.18,19 These alterations can contribute to the characteristic motor symptoms of PD, including bradykinesia and rigidity, as they disrupt normal neurotransmission (Figure 1). Furthermore, the dysregulation of Nav channels may exacerbate excitotoxicity, a process where excessive stimulation by neurotransmitters such as glutamate leads to neuronal injury and death.Figure 1Nav1.7 dysregulation leads to motor symptoms\nNav1.7 dysregulation leads to motor symptoms\n\n\n### Potassium channel\nKv channels play a critical role in regulating neuronal excitability in PD. These channels are responsible for repolarizing the neuronal membrane following action potentials, thereby shaping neuronal firing frequency and patterns. Studies have shown that altered expression or function of Kv channels, particularly Kv1.3 and Kv4.3, is associated with increased neuronal excitability in PD models.20 Such dysregulation can impair the ability to modulate excitatory signals, leading to hyperexcitability of dopaminergic neurons. This hyperexcitability is believed to contribute to motor symptoms in PD by promoting excessive neurotransmitter release and subsequent excitotoxic damage.\nThe inwardly rectifying potassium (Kir) channel family is also implicated in PD pathogenesis. Studies have shown that the P.G156S mutation in the G protein-coupled inwardly rectifying potassium channel 2 (Kir3.2) abolishes the potassium selectivity, leading to sodium and calcium influx overload and eventual cell death. Additionally, the calcium-activated potassium (SK) subfamily of calcium-activated potassium channels participates in PD pathophysiology. In dopaminergic neurons of the SNc, small-conductance calcium-activated potassium channel 2 (SK2) channels help regulate firing patterns, and their activation may protect mitochondrial function and reduce neuronal loss20 (Figure 2).Figure 2Mechanisms underlying PD caused by the dysregulation of potassium ion channels\nMechanisms underlying PD caused by the dysregulation of potassium ion channels\nFurthermore, two-pore domain potassium channels (K2P), which contribute to background leak currents and help set the resting membrane potential, have also been linked to neuronal vulnerability in PD, though their precise role warrants further investigation.7,21,22,23 Moreover, oxidative stress, common in aging and neurodegeneration, can further disrupt potassium channel function through modification by reactive oxygen species, potentially creating a vicious cycle of excitotoxicity and neurodegeneration.24\n\n\n### Calcium channel\nCav channels play a pivotal role in the pathophysiology of PD, particularly in the degenerative changes observed in dopaminergic neurons. These channels facilitate calcium influx, a process essential for neurotransmitter release and neuronal signaling. In PD, the dysregulation of calcium channel expression and function can exacerbate neurodegeneration. For instance, Cav subtype 1.3 (Cav1.3) channels have been implicated in excitotoxicity following dopamine depletion, leading to increased intracellular calcium levels and subsequent neuronal apoptosis.18 The pacemaking activity of SNc dopaminergic neurons is particularly dependent on Cav1.3 channels, making them vulnerable to chronic calcium stress.25,26\nMoreover, the interaction between calcium signaling and mitochondrial function is crucial in PD pathology. Disrupted calcium homeostasis can impair mitochondrial function, a hallmark of PD. Excessive neuronal calcium accumulation can trigger mitochondrial calcium overload, in turn promotes the generation of reactive oxygen species and further neuronal damage (Figure 3).Figure 3Mechanisms of neuronal injury induced by Cav1.3\nMechanisms of neuronal injury induced by Cav1.3\n\n\n### Dysfunction of ion channels and the pathological mechanisms of Parkinson’s disease\nThe pathophysiology of PD is intricately linked to the dysregulation of neuronal excitability within the basal ganglia circuitry. The basal ganglia are crucial for maintaining the balance between excitatory and inhibitory signals, which is essential for normal motor function. In PD, the degeneration of dopaminergic neurons in the substantia nigra leads to a significant reduction in dopamine levels, which in turn disrupts the excitatory-inhibitory balance within the basal ganglia. This imbalance is primarily mediated by ion channels, particularly potassium channels, which play a pivotal role in modulating neuronal excitability and synaptic transmission. The loss of dopaminergic input results in hyperactivity of certain neuronal populations, most notably within the striatum, where increased excitability is observed due to altered ion channel function.27 For instance, voltage-gated potassium channels, which are responsible for repolarizing the neuronal membrane after an action potential, exhibit reduced expression or dysfunctional activity in PD. This dysfunction contributes to prolonged depolarization and increased firing rates of striatal neurons, leading to the characteristic motor symptoms of PD, including tremors and rigidity.19,20,28\nMoreover, specific mutations in ion channels can exacerbate these excitability issues. For example, alterations in the expression or function of Kir and Nav channels have been implicated in the pathogenesis of PD.29 These channels are essential for maintaining resting membrane potential and controlling action potential firing. When their function is compromised, neurons may become hyperexcitable, resulting in excessive neurotransmitter release and accelerating the neurodegenerative process. Studies have shown that the dysregulation of these ion channels can lead to a state of hyperexcitability, characterized by abnormally high neuronal firing rates, thereby disrupting the delicate balance of excitatory and inhibitory signaling necessary for coordinated motor control.30,31\nThe specificity of PD symptoms arises from the selective vulnerability of the dopaminergic neurons in the SNc and the consequent disruption of the basal ganglia-thalamocortical motor circuit. Ion channel dysfunction is not uniform across the brain but varies by region and cell type. For example, SNc dopaminergic neurons exhibit a unique reliance on Cav1.3 channels for pacemaking activity and possess relatively low calcium-buffering capacity, rendering them particularly susceptible to calcium-mediated stress and cell death.25 Concurrently, dopamine loss in the striatum alters potassium channel function (e.g., Kv1.3 and Kv4.3) in medium spiny neurons, shifting their excitability and contributing to dysfunction in the direct and indirect pathways.32,33 This circuit-level dysfunction, driven by region- and cell-type-specific ion channel alterations, ultimately manifests as the akinetic-rigid syndrome and tremor. Furthermore, neuroinflammation and oxidative stress exacerbate dysfunction within these vulnerable circuits by modulating ion channels in both neurons and glia cells in affected regions.34,35\nThe consequences of this aberrant hyperexcitability extend beyond motor symptoms, influencing the non-motor symptoms of PD, including cognitive impairment and mood disorders. The established link between ion channel dysfunction and neuronal excitability highlights the need for targeted therapeutic strategies that specifically aim to restore normal ion channel homeostasis. Recent research has focused on pharmacological agents that can modulate ion channel activity, offering potential to alleviate both motor and non-motor symptoms. For instance, potassium channel modulators have been explored as a means to reduce neuronal hyperexcitability and restore the balance of excitatory and inhibitory signaling in the basal ganglia.24,36\nIn summary, the pathological hyperexcitability of neurons in the context of PD is a multifaceted phenomenon, fundamentally rooted in the dysfunction of ion channels that govern neuronal firing. The resulting imbalance within basal ganglia circuitry not only underlies the hallmark motor symptoms of PD but also extends to broader cognitive and emotional dysregulation (Figure 4A). A precise understanding of the mechanisms through which ion channel alterations drive neuronal hyperexcitability is therefore critical for developing targeted therapeutic interventions aimed at mitigating the impact of this devastating disease (Figure 4B, Table 1).Figure 4Ion channel abnormalities lead to abnormal neuronal excitability(A) Kv1.3 dysfunction leads to abnormal neuronal excitability, thereby triggering the motor symptoms of PD.(B) The mechanism by which PD is caused by functional changes in Kir and Nav channels.Table 1Summary of key ion channels implicated in PDIon Channel FamilyKey SubtypesPrimary FunctionRole/Dysregulation in PDVoltage-Gated Sodium (Nav)Nav1.7, Nav1.8Action potential initiation and propagationAltered expression in the basal ganglia contributes to aberrant excitability and motor symptoms.Voltage-Gated Potassium (Kv)Kv1.3, Kv4.3, Kv7Membrane repolarization; firing rate controlDysregulation leads to neuronal hyperexcitability; Kv1.3 inhibitors show anti-inflammatory effects.Voltage-Gated Calcium (Cav)Cav1.3Pacemaking, neurotransmitter releaseSustained calcium influx in SNc dopamine neurons contributes to mitochondrial stress and excitotoxicity.Inwardly Rectifying K+ (Kir)Kir4.2, Kir3.2Maintain resting potential; modulate excitabilityMutations (e.g., KCNJ15) linked to familial PD; loss of function disrupts ionic homeostasis.Ligand-Gated (Purinoceptor)P2X7, P2X4Mediate ATP signaling; inflammationOveractivation of microglia/neurons drives neuroinflammation and excitotoxicity.Transient Receptor Potential (TRP)TRPM2, TRPV1/4Sense oxidative stress, pain, and temperatureTRPM2 activation by ROS exacerbates calcium dysregulation and inflammation.\nIon channel abnormalities lead to abnormal neuronal excitability\n(A) Kv1.3 dysfunction leads to abnormal neuronal excitability, thereby triggering the motor symptoms of PD.\n(B) The mechanism by which PD is caused by functional changes in Kir and Nav channels.\nSummary of key ion channels implicated in PD\nMitochondrial dysfunction is increasingly recognized as a pivotal player in the pathogenesis of PD, with voltage-dependent anion channels (VDACs) playing a critical role in this process. VDACs, located in the outer mitochondrial membrane, regulate the exchange of ions and metabolites between mitochondria and the cytosol, thereby influencing cellular energy metabolism and apoptosis. In PD, the aggregation of α-syn can interact with VDAC, altering its conductance and selectivity. This interaction is thought to exacerbate mitochondrial dysfunction by impairing calcium homeostasis and promoting oxidative stress, both detrimental to neuronal survival.37,38 Specifically, elevated intracellular calcium and sustained oxidative stress can directly trigger the opening of the mitochondrial permeability transition pore (mPTP), leading to mitochondrial swelling, membrane rupture, and ultimately neuronal death.39,40,41,42 A self-reinforcing vicious cycle further drives this process: mPTP opening enhances reactive oxygen species (ROS) production, which in turn promotes further mPTP activation.43,44 VDAC also functionally interacts with components of the mPTP, suggesting that VDAC dysregulation may critically facilitate this detrimental cycle.\nMoreover, genetic factors associated with familial PD, such as mutations in PINK1 and PARKIN, can exacerbate mitochondrial dysfunction. These mutations impair mitophagy and compromise the clearance of damaged mitochondria, thereby increasing cellular susceptibility to mPTP opening.45,46 The growing understanding of these mechanisms has spurred interest in therapeutic strategies aimed at preserving mitochondrial function in PD. Current approaches include stabilizing mitochondrial membranes, inhibiting pathological mPTP opening, modulating VDAC activity, and employing antioxidants to mitigate oxidative stress44,47 (Figure 5).Figure 5Mechanisms by which ion channel abnormalities induce mitochondrial dysfunction\nMechanisms by which ion channel abnormalities induce mitochondrial dysfunction\nThe interaction between oxidative stress and neuroinflammation is a critical aspect of PD pathology, with the transient receptor potential melastatin 2 (TRPM2) channel playing a pivotal role in mediating these processes. TRPM2 is a calcium-permeable cation channel activated by oxidative stress, particularly through the presence of ROS. In the context of PD, elevated oxidative stress leads to the activation of TRPM2, which subsequently enhances intracellular calcium levels, contributing to neuronal excitotoxicity and apoptosis. Studies have shown that TRPM2 activation exacerbates dopaminergic neuron loss, a hallmark of PD, by promoting neuroinflammatory responses mediated by microglia. This is particularly evident in the substantia nigra, where TRPM2 activation in microglial cells results in the release of pro-inflammatory cytokines, further perpetuating a cycle of oxidative stress and inflammation that accelerates neurodegeneration.48 The synergistic relationship between oxidative stress and neuroinflammation not only underscores the importance of TRPM2 in PD but also highlights it as a potential therapeutic target for mitigating disease progression.\nIn addition to TRPM2, microglia ion channels are critical mediators of neuroinflammation in PD.9 The activation of ion channels such as ATP gated P2X7 (purinergic receptor P2X, ligand-gated ion channel 7) on microglia by damage-associated molecular patterns (DAMPs) drives NLRP3 (NOD-, LRR- and pyrin domain-containing protein 3) inflammasome activation and the release of pro-inflammatory cytokines, perpetuating neuronal damage.49,50,51 The P2X7 receptor, an ATP-gated ion channel, has emerged as a major mediator of neuroinflammation in PD. Under pathological conditions, such as those seen in PD, excessive extracellular ATP leads to the sustained activation of microglial P2X7 receptors. This triggers a series of inflammatory responses, including the assembly of the NLRP3 inflammasome, and secretion of pro-inflammatory cytokines such as interleukin-1β (IL-1β) and tumor necrosis factor-α (TNF-α), which are known to exacerbate neuronal damage disease progression.52 The activation of the P2X7 receptor also disrupts the blood-brain barrier (BBB), facilitating the infiltration of peripheral immune cells into the central nervous system (CNS) and further amplifying neuroinflammation.\nBeyond its inflammatory role, P2X7 activation contributes to several downstream pathogenic processes. It can induce the production of ROS and the release of glutamate, exacerbating excitotoxicity and cell death. It can also interact with the renin-angiotensin system (RAAS), in synergy with the Ang II-AT1R pathway, promote fibrosis, oxidative stress, and neuroinflammation. Given its multifaceted role, targeting the P2X7 receptor represents a promising therapeutic strategy for reducing neuroinflammation and protecting against neuronal loss in PD.52\nThe interaction between TRPM2 and P2X7 receptors exemplifies the complex mechanisms underlying oxidative stress and neuroinflammation in PD. Both channels are integral to the pathophysiological landscape of the disease, where their activation initiates a self-sustaining cycle of neuronal injury. Inhibiting these ion channels offers a potential dual therapeutic approach to interrupt this detrimental loop. For instance, pharmacological agents that block TRPM2 or P2X7 receptor activity have shown promise in preclinical models, reducing neuroinflammation and improving neuronal survival.53,54 Furthermore, understanding the precise signaling pathways involved in TRPM2 and P2X7 receptor activation could lead to the development of targeted therapies that not only alleviate symptoms but also slow the progression of PD by addressing the underlying oxidative stress and neuroinflammatory processes (Figure 6).Figure 6The vicious cycle among ion channel abnormalities and neuroinflammation\nThe vicious cycle among ion channel abnormalities and neuroinflammation\n\n\n### Abnormal neuronal excitability\nThe pathophysiology of PD is intricately linked to the dysregulation of neuronal excitability within the basal ganglia circuitry. The basal ganglia are crucial for maintaining the balance between excitatory and inhibitory signals, which is essential for normal motor function. In PD, the degeneration of dopaminergic neurons in the substantia nigra leads to a significant reduction in dopamine levels, which in turn disrupts the excitatory-inhibitory balance within the basal ganglia. This imbalance is primarily mediated by ion channels, particularly potassium channels, which play a pivotal role in modulating neuronal excitability and synaptic transmission. The loss of dopaminergic input results in hyperactivity of certain neuronal populations, most notably within the striatum, where increased excitability is observed due to altered ion channel function.27 For instance, voltage-gated potassium channels, which are responsible for repolarizing the neuronal membrane after an action potential, exhibit reduced expression or dysfunctional activity in PD. This dysfunction contributes to prolonged depolarization and increased firing rates of striatal neurons, leading to the characteristic motor symptoms of PD, including tremors and rigidity.19,20,28\nMoreover, specific mutations in ion channels can exacerbate these excitability issues. For example, alterations in the expression or function of Kir and Nav channels have been implicated in the pathogenesis of PD.29 These channels are essential for maintaining resting membrane potential and controlling action potential firing. When their function is compromised, neurons may become hyperexcitable, resulting in excessive neurotransmitter release and accelerating the neurodegenerative process. Studies have shown that the dysregulation of these ion channels can lead to a state of hyperexcitability, characterized by abnormally high neuronal firing rates, thereby disrupting the delicate balance of excitatory and inhibitory signaling necessary for coordinated motor control.30,31\nThe specificity of PD symptoms arises from the selective vulnerability of the dopaminergic neurons in the SNc and the consequent disruption of the basal ganglia-thalamocortical motor circuit. Ion channel dysfunction is not uniform across the brain but varies by region and cell type. For example, SNc dopaminergic neurons exhibit a unique reliance on Cav1.3 channels for pacemaking activity and possess relatively low calcium-buffering capacity, rendering them particularly susceptible to calcium-mediated stress and cell death.25 Concurrently, dopamine loss in the striatum alters potassium channel function (e.g., Kv1.3 and Kv4.3) in medium spiny neurons, shifting their excitability and contributing to dysfunction in the direct and indirect pathways.32,33 This circuit-level dysfunction, driven by region- and cell-type-specific ion channel alterations, ultimately manifests as the akinetic-rigid syndrome and tremor. Furthermore, neuroinflammation and oxidative stress exacerbate dysfunction within these vulnerable circuits by modulating ion channels in both neurons and glia cells in affected regions.34,35\nThe consequences of this aberrant hyperexcitability extend beyond motor symptoms, influencing the non-motor symptoms of PD, including cognitive impairment and mood disorders. The established link between ion channel dysfunction and neuronal excitability highlights the need for targeted therapeutic strategies that specifically aim to restore normal ion channel homeostasis. Recent research has focused on pharmacological agents that can modulate ion channel activity, offering potential to alleviate both motor and non-motor symptoms. For instance, potassium channel modulators have been explored as a means to reduce neuronal hyperexcitability and restore the balance of excitatory and inhibitory signaling in the basal ganglia.24,36\nIn summary, the pathological hyperexcitability of neurons in the context of PD is a multifaceted phenomenon, fundamentally rooted in the dysfunction of ion channels that govern neuronal firing. The resulting imbalance within basal ganglia circuitry not only underlies the hallmark motor symptoms of PD but also extends to broader cognitive and emotional dysregulation (Figure 4A). A precise understanding of the mechanisms through which ion channel alterations drive neuronal hyperexcitability is therefore critical for developing targeted therapeutic interventions aimed at mitigating the impact of this devastating disease (Figure 4B, Table 1).Figure 4Ion channel abnormalities lead to abnormal neuronal excitability(A) Kv1.3 dysfunction leads to abnormal neuronal excitability, thereby triggering the motor symptoms of PD.(B) The mechanism by which PD is caused by functional changes in Kir and Nav channels.Table 1Summary of key ion channels implicated in PDIon Channel FamilyKey SubtypesPrimary FunctionRole/Dysregulation in PDVoltage-Gated Sodium (Nav)Nav1.7, Nav1.8Action potential initiation and propagationAltered expression in the basal ganglia contributes to aberrant excitability and motor symptoms.Voltage-Gated Potassium (Kv)Kv1.3, Kv4.3, Kv7Membrane repolarization; firing rate controlDysregulation leads to neuronal hyperexcitability; Kv1.3 inhibitors show anti-inflammatory effects.Voltage-Gated Calcium (Cav)Cav1.3Pacemaking, neurotransmitter releaseSustained calcium influx in SNc dopamine neurons contributes to mitochondrial stress and excitotoxicity.Inwardly Rectifying K+ (Kir)Kir4.2, Kir3.2Maintain resting potential; modulate excitabilityMutations (e.g., KCNJ15) linked to familial PD; loss of function disrupts ionic homeostasis.Ligand-Gated (Purinoceptor)P2X7, P2X4Mediate ATP signaling; inflammationOveractivation of microglia/neurons drives neuroinflammation and excitotoxicity.Transient Receptor Potential (TRP)TRPM2, TRPV1/4Sense oxidative stress, pain, and temperatureTRPM2 activation by ROS exacerbates calcium dysregulation and inflammation.\nIon channel abnormalities lead to abnormal neuronal excitability\n(A) Kv1.3 dysfunction leads to abnormal neuronal excitability, thereby triggering the motor symptoms of PD.\n(B) The mechanism by which PD is caused by functional changes in Kir and Nav channels.\nSummary of key ion channels implicated in PD\n\n\n### Mitochondrial dysfunction\nMitochondrial dysfunction is increasingly recognized as a pivotal player in the pathogenesis of PD, with voltage-dependent anion channels (VDACs) playing a critical role in this process. VDACs, located in the outer mitochondrial membrane, regulate the exchange of ions and metabolites between mitochondria and the cytosol, thereby influencing cellular energy metabolism and apoptosis. In PD, the aggregation of α-syn can interact with VDAC, altering its conductance and selectivity. This interaction is thought to exacerbate mitochondrial dysfunction by impairing calcium homeostasis and promoting oxidative stress, both detrimental to neuronal survival.37,38 Specifically, elevated intracellular calcium and sustained oxidative stress can directly trigger the opening of the mitochondrial permeability transition pore (mPTP), leading to mitochondrial swelling, membrane rupture, and ultimately neuronal death.39,40,41,42 A self-reinforcing vicious cycle further drives this process: mPTP opening enhances reactive oxygen species (ROS) production, which in turn promotes further mPTP activation.43,44 VDAC also functionally interacts with components of the mPTP, suggesting that VDAC dysregulation may critically facilitate this detrimental cycle.\nMoreover, genetic factors associated with familial PD, such as mutations in PINK1 and PARKIN, can exacerbate mitochondrial dysfunction. These mutations impair mitophagy and compromise the clearance of damaged mitochondria, thereby increasing cellular susceptibility to mPTP opening.45,46 The growing understanding of these mechanisms has spurred interest in therapeutic strategies aimed at preserving mitochondrial function in PD. Current approaches include stabilizing mitochondrial membranes, inhibiting pathological mPTP opening, modulating VDAC activity, and employing antioxidants to mitigate oxidative stress44,47 (Figure 5).Figure 5Mechanisms by which ion channel abnormalities induce mitochondrial dysfunction\nMechanisms by which ion channel abnormalities induce mitochondrial dysfunction\n\n\n### Oxidative stress and neuroinflammation\nThe interaction between oxidative stress and neuroinflammation is a critical aspect of PD pathology, with the transient receptor potential melastatin 2 (TRPM2) channel playing a pivotal role in mediating these processes. TRPM2 is a calcium-permeable cation channel activated by oxidative stress, particularly through the presence of ROS. In the context of PD, elevated oxidative stress leads to the activation of TRPM2, which subsequently enhances intracellular calcium levels, contributing to neuronal excitotoxicity and apoptosis. Studies have shown that TRPM2 activation exacerbates dopaminergic neuron loss, a hallmark of PD, by promoting neuroinflammatory responses mediated by microglia. This is particularly evident in the substantia nigra, where TRPM2 activation in microglial cells results in the release of pro-inflammatory cytokines, further perpetuating a cycle of oxidative stress and inflammation that accelerates neurodegeneration.48 The synergistic relationship between oxidative stress and neuroinflammation not only underscores the importance of TRPM2 in PD but also highlights it as a potential therapeutic target for mitigating disease progression.\nIn addition to TRPM2, microglia ion channels are critical mediators of neuroinflammation in PD.9 The activation of ion channels such as ATP gated P2X7 (purinergic receptor P2X, ligand-gated ion channel 7) on microglia by damage-associated molecular patterns (DAMPs) drives NLRP3 (NOD-, LRR- and pyrin domain-containing protein 3) inflammasome activation and the release of pro-inflammatory cytokines, perpetuating neuronal damage.49,50,51 The P2X7 receptor, an ATP-gated ion channel, has emerged as a major mediator of neuroinflammation in PD. Under pathological conditions, such as those seen in PD, excessive extracellular ATP leads to the sustained activation of microglial P2X7 receptors. This triggers a series of inflammatory responses, including the assembly of the NLRP3 inflammasome, and secretion of pro-inflammatory cytokines such as interleukin-1β (IL-1β) and tumor necrosis factor-α (TNF-α), which are known to exacerbate neuronal damage disease progression.52 The activation of the P2X7 receptor also disrupts the blood-brain barrier (BBB), facilitating the infiltration of peripheral immune cells into the central nervous system (CNS) and further amplifying neuroinflammation.\nBeyond its inflammatory role, P2X7 activation contributes to several downstream pathogenic processes. It can induce the production of ROS and the release of glutamate, exacerbating excitotoxicity and cell death. It can also interact with the renin-angiotensin system (RAAS), in synergy with the Ang II-AT1R pathway, promote fibrosis, oxidative stress, and neuroinflammation. Given its multifaceted role, targeting the P2X7 receptor represents a promising therapeutic strategy for reducing neuroinflammation and protecting against neuronal loss in PD.52\nThe interaction between TRPM2 and P2X7 receptors exemplifies the complex mechanisms underlying oxidative stress and neuroinflammation in PD. Both channels are integral to the pathophysiological landscape of the disease, where their activation initiates a self-sustaining cycle of neuronal injury. Inhibiting these ion channels offers a potential dual therapeutic approach to interrupt this detrimental loop. For instance, pharmacological agents that block TRPM2 or P2X7 receptor activity have shown promise in preclinical models, reducing neuroinflammation and improving neuronal survival.53,54 Furthermore, understanding the precise signaling pathways involved in TRPM2 and P2X7 receptor activation could lead to the development of targeted therapies that not only alleviate symptoms but also slow the progression of PD by addressing the underlying oxidative stress and neuroinflammatory processes (Figure 6).Figure 6The vicious cycle among ion channel abnormalities and neuroinflammation\nThe vicious cycle among ion channel abnormalities and neuroinflammation\n\n\n### Interaction between ion channels and Parkinson’s disease-related proteins\nThe role of α-syn in the modulation of ion channel function is a critical area of research in understanding the pathophysiology of PD. α-syn is known to form oligomers that can directly interact with various ion channels, thereby altering their functionality. For instance, studies have shown that α-syn can influence the conductance of VDAC by partially blocking their activity through its acidic C-terminal tail, which has significant implications for calcium homeostasis within neurons.55 This blockage not only affects the permeability of VDAC to ions but also enhances calcium selectivity, potentially leading to dysregulated calcium influx that is detrimental to neuronal health.55 Furthermore, α-syn oligomers have been shown to modulate ion channels such as transient receptor potential vanilloid 1 (TRPV1) and transient receptor potential ankyrin 1 (TRPA1), thereby influencing neuronal excitability and neurotransmitter release in cellular models of PD.56,57 This direct regulation of ion channels by α-syn suggests a mechanism by which the aggregation of this protein can lead to cellular dysfunction and neurodegeneration.\nMoreover, the physical interactions between α-syn and specific ion channels carry significant pathological implications. For example, α-syn has been found to interact with purinergic receptors such as P2X7, which are implicated in mediating oxidative stress and mitochondrial dysfunction in neurons.58,59 This pathway underscores the importance of ion channel dysregulation in the context of α-syn pathology, as it highlights how α-syn aggregation exacerbates neurodegenerative processes through ion channel-mediated mechanisms. Additionally, emerging evidence also suggests potential involvement of calcium-permeable TRPV4 channels in α-syn pathology, where aberrant TRPV4 upregulation or activation in PD models may contribute to calcium dyshomeostasis, oxidative stress, and impaired clearance of pathological α-syn species.60,61\nThe pathological significance of these interactions is further illustrated by the differential responses of neurons to α-syn aggregation. For instance, pacemaker neurons in the brainstem display adaptive responses to α-syn-induced stress, such as enhanced expression of potassium channels, which serve to mitigate the effects of oxidative stress.62 In contrast, dopaminergic neurons in the substantia nigra are more susceptible to α-syn toxicity, leading to their degeneration. This dichotomy emphasizes the need for a deeper understanding of how α-syn interacts with various ion channels across different neuronal populations, as it may reveal novel therapeutic targets for PD.\nThe leucine-rich repeat kinase 2 (LRRK2) gene is one of the most significant genetic contributors to PD, particularly the G2019S mutation, which is known to have a specific impact on ion channel functionality, particularly potassium channels. Studies have shown that mutations in LRRK2 can lead to altered potassium channel activity, which is crucial for maintaining neuronal excitability and neurotransmitter release. The G2019S mutation has been observed to enhance the activity of certain ion channels, leading to increased calcium influx and subsequent excitotoxicity in dopaminergic neurons.63 This dysregulation of ion channels may contribute to the neurodegenerative processes seen in PD, as the balance of excitatory and inhibitory signals in the brain is disrupted. Furthermore, the interaction between LRRK2 and ion channels extends beyond potassium channels; it also involves sodium and calcium channels, which play critical roles in synaptic plasticity and neuronal communication. For instance, the interplay between LRRK2 and lysosomal ion channels, such as TPC2, has been identified as a significant factor in maintaining dopaminergic function, with the G2019S mutation leading to exaggerated calcium entry that disrupts normal cellular function.63 Studies have found that the LRRK2-R1441C mutation increases lysosomal pH and reduces autophagosome-lysosome fusion.64 In addition, studies have shown that the G2019S mutation causes abnormal membrane localization of D3R-nAChR heteropolymers, and normalizing LRRK2 function can restore their expression.65 This highlights the necessity of understanding the specific mechanisms by which LRRK2 mutations affect ion channel regulation, as it could open avenues for targeted therapeutic interventions aimed at restoring normal ion channel function in PD.\nThe molecular mechanisms underlying the interaction between LRRK2 and ion channels are complex and multifaceted. The dysregulation of ion channels due to LRRK2 mutations not only affects calcium dynamics but also has downstream effects on various signaling pathways critical for neuronal health. For example, the aberrant calcium entry associated with LRRK2 mutations can lead to the increased activation of calcium-dependent signaling cascades, which may exacerbate neuroinflammation and oxidative stress, both of which are implicated in the pathogenesis of PD.66 Additionally, the relationship between LRRK2 and ion channels may involve protein-protein interactions that modulate channel activity and localization within the cell. Studies utilizing advanced techniques such as brain organoids derived from LRRK2 mutant patient cells have provided insights into how these interactions manifest in a more physiologically relevant context, revealing alterations in dopaminergic neuron populations and increased autophagy.67 These findings underscore the importance of LRRK2 as a potential therapeutic target, as modulating its activity or its interactions with ion channels could ameliorate some of the functional deficits observed in PD.\n\n\n### α-synuclein and ion channels\nThe role of α-syn in the modulation of ion channel function is a critical area of research in understanding the pathophysiology of PD. α-syn is known to form oligomers that can directly interact with various ion channels, thereby altering their functionality. For instance, studies have shown that α-syn can influence the conductance of VDAC by partially blocking their activity through its acidic C-terminal tail, which has significant implications for calcium homeostasis within neurons.55 This blockage not only affects the permeability of VDAC to ions but also enhances calcium selectivity, potentially leading to dysregulated calcium influx that is detrimental to neuronal health.55 Furthermore, α-syn oligomers have been shown to modulate ion channels such as transient receptor potential vanilloid 1 (TRPV1) and transient receptor potential ankyrin 1 (TRPA1), thereby influencing neuronal excitability and neurotransmitter release in cellular models of PD.56,57 This direct regulation of ion channels by α-syn suggests a mechanism by which the aggregation of this protein can lead to cellular dysfunction and neurodegeneration.\nMoreover, the physical interactions between α-syn and specific ion channels carry significant pathological implications. For example, α-syn has been found to interact with purinergic receptors such as P2X7, which are implicated in mediating oxidative stress and mitochondrial dysfunction in neurons.58,59 This pathway underscores the importance of ion channel dysregulation in the context of α-syn pathology, as it highlights how α-syn aggregation exacerbates neurodegenerative processes through ion channel-mediated mechanisms. Additionally, emerging evidence also suggests potential involvement of calcium-permeable TRPV4 channels in α-syn pathology, where aberrant TRPV4 upregulation or activation in PD models may contribute to calcium dyshomeostasis, oxidative stress, and impaired clearance of pathological α-syn species.60,61\nThe pathological significance of these interactions is further illustrated by the differential responses of neurons to α-syn aggregation. For instance, pacemaker neurons in the brainstem display adaptive responses to α-syn-induced stress, such as enhanced expression of potassium channels, which serve to mitigate the effects of oxidative stress.62 In contrast, dopaminergic neurons in the substantia nigra are more susceptible to α-syn toxicity, leading to their degeneration. This dichotomy emphasizes the need for a deeper understanding of how α-syn interacts with various ion channels across different neuronal populations, as it may reveal novel therapeutic targets for PD.\n\n\n### Leucine-rich repeat kinase 2 and ion channel regulation\nThe leucine-rich repeat kinase 2 (LRRK2) gene is one of the most significant genetic contributors to PD, particularly the G2019S mutation, which is known to have a specific impact on ion channel functionality, particularly potassium channels. Studies have shown that mutations in LRRK2 can lead to altered potassium channel activity, which is crucial for maintaining neuronal excitability and neurotransmitter release. The G2019S mutation has been observed to enhance the activity of certain ion channels, leading to increased calcium influx and subsequent excitotoxicity in dopaminergic neurons.63 This dysregulation of ion channels may contribute to the neurodegenerative processes seen in PD, as the balance of excitatory and inhibitory signals in the brain is disrupted. Furthermore, the interaction between LRRK2 and ion channels extends beyond potassium channels; it also involves sodium and calcium channels, which play critical roles in synaptic plasticity and neuronal communication. For instance, the interplay between LRRK2 and lysosomal ion channels, such as TPC2, has been identified as a significant factor in maintaining dopaminergic function, with the G2019S mutation leading to exaggerated calcium entry that disrupts normal cellular function.63 Studies have found that the LRRK2-R1441C mutation increases lysosomal pH and reduces autophagosome-lysosome fusion.64 In addition, studies have shown that the G2019S mutation causes abnormal membrane localization of D3R-nAChR heteropolymers, and normalizing LRRK2 function can restore their expression.65 This highlights the necessity of understanding the specific mechanisms by which LRRK2 mutations affect ion channel regulation, as it could open avenues for targeted therapeutic interventions aimed at restoring normal ion channel function in PD.\nThe molecular mechanisms underlying the interaction between LRRK2 and ion channels are complex and multifaceted. The dysregulation of ion channels due to LRRK2 mutations not only affects calcium dynamics but also has downstream effects on various signaling pathways critical for neuronal health. For example, the aberrant calcium entry associated with LRRK2 mutations can lead to the increased activation of calcium-dependent signaling cascades, which may exacerbate neuroinflammation and oxidative stress, both of which are implicated in the pathogenesis of PD.66 Additionally, the relationship between LRRK2 and ion channels may involve protein-protein interactions that modulate channel activity and localization within the cell. Studies utilizing advanced techniques such as brain organoids derived from LRRK2 mutant patient cells have provided insights into how these interactions manifest in a more physiologically relevant context, revealing alterations in dopaminergic neuron populations and increased autophagy.67 These findings underscore the importance of LRRK2 as a potential therapeutic target, as modulating its activity or its interactions with ion channels could ameliorate some of the functional deficits observed in PD.\n\n\n### Ion channels as targets for Parkinson’s disease treatment\nThe treatment of PD has evolved significantly with the introduction of various pharmacological agents, among which levodopa (L-DOPA) remains the cornerstone therapy. L-DOPA is a precursor to dopamine, and its primary action is to replenish the depleted dopamine levels in the brain, particularly in the striatum, which is crucial for motor control. However, its effects on ion channels, particularly in the context of indirect modulation, are increasingly recognized. L-DOPA influences the activity of several ion channels, including potassium (K+) and calcium (Ca2+) channels, which are critical for neuronal excitability and neurotransmitter release. For instance, the administration of L-DOPA has been shown to enhance the activity of voltage-gated K+ channels, which play a role in repolarizing neurons after action potentials, thereby influencing overall neuronal excitability and synaptic transmission.68 This modulation can help restore some of the motor functions impaired in PD. Furthermore, L-DOPA’s action is not limited to dopaminergic neurons; it can also impact the activity of non-dopaminergic neurons, suggesting a broader influence on the neuronal network dynamics within the basal ganglia. The indirect effects of L-DOPA on ion channels may also contribute to its side effects, such as dyskinesias, which are characterized by abnormal involuntary movements. Studies have shown that L-DOPA treatment may lead to the redistribution and overactivation of NMDA receptors, thereby exacerbating neuronal degeneration and motor side effects.69 Over time, the efficacy of L-DOPA diminishes, partly due to the progression of neurodegeneration and alterations in ion channel expression and function. This necessitates the exploration of additional therapeutic strategies that target ion channels directly to complement L-DOPA therapy and address the underlying pathophysiology of PD more effectively.20\nIn addition to L-DOPA, dopamine receptor agonists (DRAs) have emerged as important therapeutic agents for PD. These compounds mimic the action of dopamine by directly stimulating dopamine receptors, particularly D2-like receptors, which are crucial for modulating the activity of ion channels involved in neurotransmission. DRAs, such as pramipexole and ropinirole, have been shown to enhance the activity of K+ channels, which can lead to increased neuronal firing rates and improved motor function.24 The activation of D2 receptors by DRAs can also result in the inhibition of adenylyl cyclase, leading to decreased cAMP levels and subsequent modulation of ion channel activity. This pathway is particularly relevant in the context of the striatal circuitry, where the balance of excitatory and inhibitory signals is critical for motor control. Moreover, the use of DRAs has been associated with neuroprotective effects, potentially through their ability to modulate ion channel activity and reduce excitotoxicity, a common feature in PD pathology.70 However, the long-term use of DRAs can also lead to side effects, including impulse control disorders and dyskinesias, similar to those observed with L-DOPA. Overall, the exploration of existing drugs' ion channel action mechanisms offers valuable insights into developing more effective and targeted therapies for PD, addressing both symptoms and disease progression.71\nThe development of specific ion channel modulators has gained significant attention in the context of PD therapy, as these channels play crucial roles in neuronal excitability and neurotransmitter release. Recent advancements have focused on the identification and characterization of ion channel regulators that can selectively modulate the activity of specific channels implicated in PD pathophysiology. Potassium channel modulators represent a particularly promising class. Among these, Kv channel modulators have been highlighted as potential therapeutic targets due to their involvement in regulating dopaminergic neuron excitability and neurotransmitter release. For instance, inhibitors of the Kv1.3 channel (e.g., PAP-1, ShK-186) have anti-inflammatory and neuroprotective effects, while Kv7 (KCNQ) channel openers (e.g., Retigabine and XE991) can improve cognitive function and dyskinesias.18,20 SK channel openers, targeting channels such as SK2, aim to protect neurons by counteracting calcium-induced excitotoxicity and supporting mitochondrial function.72 The therapeutic potential of these modulators lies in their ability to restore the balance of ion homeostasis disrupted in PD, thereby mitigating neurodegeneration and improving motor functions. Furthermore, the exploration of small molecules that can selectively enhance or inhibit specific ion channels is underway, with some compounds showing promise in preclinical models of PD. For example, the selective modulation of inward rectifying K+ channels has demonstrated neuroprotective effects in dopaminergic neurons, suggesting that targeted therapies could lead to more effective treatment options for patients with PD.24,34\nThe discovery of these novel modulators is increasingly aided by computational drug discovery (CDD) approaches. In silico screening of compound libraries against homology models or cryo-EM structures of target ion channels (e.g., Cav, Kv, and P2X7) allows for the rapid identification of high-affinity lead compounds.73,74 Molecular dynamics simulations further help in understanding drug-channel interactions and optimizing selectivity profiles.75 Machine learning models trained on electrophysiological and chemical data can predict the functional effects of novel compounds on specific channel subtypes, accelerating the hit-to-lead optimization process.76,77 This synergy between computational prediction and experimental validation is streamlining the development of next-generation, highly selective ion channel therapeutics for PD.\nIn addition to traditional pharmacological approaches, optogenetics has emerged as a revolutionary technique for the precise control of ion channels in the context of PD treatment. This method employs light to activate or inhibit genetically modified ion channels with high specificity and temporal precision, allowing for the modulation of neuronal activity in real-time. The application of optogenetics in PD research has shown potential in restoring normal firing patterns in dopaminergic neurons, which are often disrupted in the disease. For instance, the use of light-sensitive ion channels such as channel rhodopsins has enabled researchers to selectively stimulate dopaminergic neurons in animal models, resulting in improved motor function and reduced symptoms associated with PD.78 This innovative approach not only provides insights into the underlying mechanisms of PD but also opens new avenues for developing non-invasive therapeutic strategies that could complement existing treatments. The integration of optogenetic techniques with traditional pharmacotherapy may enhance the efficacy of treatment regimens and offer a more personalized approach to managing PD.\nMoreover, the potential of combining ion channel modulation with other advanced therapeutic strategies, such as gene therapy or neuroprotective agents, is being explored. The use of gene editing technologies, such as CRISPR/Cas9, to correct gain-of-function mutations in ion channel genes associated with PD presents an exciting frontier in targeted therapy.79,80 Viral vector-mediated delivery of genes encoding inhibitory peptides (e.g., specific for Cav) or dominant-negative channel subunits offers another avenue for long-term, targeted suppression of pathological ion channel activity in vulnerable neuronal populations.81 Additionally, the exploration of neuroinflammatory pathways and their interaction with ion channels has revealed new therapeutic targets. For example, bi-specific molecules that simultaneously modulate an ion channel (e.g., P2X7) and a key neuroinflammatory mediator are under conceptual development to achieve synergistic effects.52,82\n\n\n### Mechanisms of ion channel action of existing drugs\nThe treatment of PD has evolved significantly with the introduction of various pharmacological agents, among which levodopa (L-DOPA) remains the cornerstone therapy. L-DOPA is a precursor to dopamine, and its primary action is to replenish the depleted dopamine levels in the brain, particularly in the striatum, which is crucial for motor control. However, its effects on ion channels, particularly in the context of indirect modulation, are increasingly recognized. L-DOPA influences the activity of several ion channels, including potassium (K+) and calcium (Ca2+) channels, which are critical for neuronal excitability and neurotransmitter release. For instance, the administration of L-DOPA has been shown to enhance the activity of voltage-gated K+ channels, which play a role in repolarizing neurons after action potentials, thereby influencing overall neuronal excitability and synaptic transmission.68 This modulation can help restore some of the motor functions impaired in PD. Furthermore, L-DOPA’s action is not limited to dopaminergic neurons; it can also impact the activity of non-dopaminergic neurons, suggesting a broader influence on the neuronal network dynamics within the basal ganglia. The indirect effects of L-DOPA on ion channels may also contribute to its side effects, such as dyskinesias, which are characterized by abnormal involuntary movements. Studies have shown that L-DOPA treatment may lead to the redistribution and overactivation of NMDA receptors, thereby exacerbating neuronal degeneration and motor side effects.69 Over time, the efficacy of L-DOPA diminishes, partly due to the progression of neurodegeneration and alterations in ion channel expression and function. This necessitates the exploration of additional therapeutic strategies that target ion channels directly to complement L-DOPA therapy and address the underlying pathophysiology of PD more effectively.20\nIn addition to L-DOPA, dopamine receptor agonists (DRAs) have emerged as important therapeutic agents for PD. These compounds mimic the action of dopamine by directly stimulating dopamine receptors, particularly D2-like receptors, which are crucial for modulating the activity of ion channels involved in neurotransmission. DRAs, such as pramipexole and ropinirole, have been shown to enhance the activity of K+ channels, which can lead to increased neuronal firing rates and improved motor function.24 The activation of D2 receptors by DRAs can also result in the inhibition of adenylyl cyclase, leading to decreased cAMP levels and subsequent modulation of ion channel activity. This pathway is particularly relevant in the context of the striatal circuitry, where the balance of excitatory and inhibitory signals is critical for motor control. Moreover, the use of DRAs has been associated with neuroprotective effects, potentially through their ability to modulate ion channel activity and reduce excitotoxicity, a common feature in PD pathology.70 However, the long-term use of DRAs can also lead to side effects, including impulse control disorders and dyskinesias, similar to those observed with L-DOPA. Overall, the exploration of existing drugs' ion channel action mechanisms offers valuable insights into developing more effective and targeted therapies for PD, addressing both symptoms and disease progression.71\n\n\n### Novel targeted therapeutic strategies\nThe development of specific ion channel modulators has gained significant attention in the context of PD therapy, as these channels play crucial roles in neuronal excitability and neurotransmitter release. Recent advancements have focused on the identification and characterization of ion channel regulators that can selectively modulate the activity of specific channels implicated in PD pathophysiology. Potassium channel modulators represent a particularly promising class. Among these, Kv channel modulators have been highlighted as potential therapeutic targets due to their involvement in regulating dopaminergic neuron excitability and neurotransmitter release. For instance, inhibitors of the Kv1.3 channel (e.g., PAP-1, ShK-186) have anti-inflammatory and neuroprotective effects, while Kv7 (KCNQ) channel openers (e.g., Retigabine and XE991) can improve cognitive function and dyskinesias.18,20 SK channel openers, targeting channels such as SK2, aim to protect neurons by counteracting calcium-induced excitotoxicity and supporting mitochondrial function.72 The therapeutic potential of these modulators lies in their ability to restore the balance of ion homeostasis disrupted in PD, thereby mitigating neurodegeneration and improving motor functions. Furthermore, the exploration of small molecules that can selectively enhance or inhibit specific ion channels is underway, with some compounds showing promise in preclinical models of PD. For example, the selective modulation of inward rectifying K+ channels has demonstrated neuroprotective effects in dopaminergic neurons, suggesting that targeted therapies could lead to more effective treatment options for patients with PD.24,34\nThe discovery of these novel modulators is increasingly aided by computational drug discovery (CDD) approaches. In silico screening of compound libraries against homology models or cryo-EM structures of target ion channels (e.g., Cav, Kv, and P2X7) allows for the rapid identification of high-affinity lead compounds.73,74 Molecular dynamics simulations further help in understanding drug-channel interactions and optimizing selectivity profiles.75 Machine learning models trained on electrophysiological and chemical data can predict the functional effects of novel compounds on specific channel subtypes, accelerating the hit-to-lead optimization process.76,77 This synergy between computational prediction and experimental validation is streamlining the development of next-generation, highly selective ion channel therapeutics for PD.\nIn addition to traditional pharmacological approaches, optogenetics has emerged as a revolutionary technique for the precise control of ion channels in the context of PD treatment. This method employs light to activate or inhibit genetically modified ion channels with high specificity and temporal precision, allowing for the modulation of neuronal activity in real-time. The application of optogenetics in PD research has shown potential in restoring normal firing patterns in dopaminergic neurons, which are often disrupted in the disease. For instance, the use of light-sensitive ion channels such as channel rhodopsins has enabled researchers to selectively stimulate dopaminergic neurons in animal models, resulting in improved motor function and reduced symptoms associated with PD.78 This innovative approach not only provides insights into the underlying mechanisms of PD but also opens new avenues for developing non-invasive therapeutic strategies that could complement existing treatments. The integration of optogenetic techniques with traditional pharmacotherapy may enhance the efficacy of treatment regimens and offer a more personalized approach to managing PD.\nMoreover, the potential of combining ion channel modulation with other advanced therapeutic strategies, such as gene therapy or neuroprotective agents, is being explored. The use of gene editing technologies, such as CRISPR/Cas9, to correct gain-of-function mutations in ion channel genes associated with PD presents an exciting frontier in targeted therapy.79,80 Viral vector-mediated delivery of genes encoding inhibitory peptides (e.g., specific for Cav) or dominant-negative channel subunits offers another avenue for long-term, targeted suppression of pathological ion channel activity in vulnerable neuronal populations.81 Additionally, the exploration of neuroinflammatory pathways and their interaction with ion channels has revealed new therapeutic targets. For example, bi-specific molecules that simultaneously modulate an ion channel (e.g., P2X7) and a key neuroinflammatory mediator are under conceptual development to achieve synergistic effects.52,82\n\n\n### Mathematical modeling of the basics of ion channels in Parkinson’s disease\nMathematical modeling provides a quantitative framework to bridge molecular-level dysfunction with cellular, circuit, and behavioral phenotypes in PD (Table 2). It allows for hypothesis testing, prediction of disease progression, and optimization of therapies. Key approaches span from simulating single-channel kinetics to the analysis of large-scale network dynamics.Table 2Overview of mathematical modeling approaches in PD researchModeling ApproachScaleApplication in PDAdvantagesLimitationsHodgkin-Huxley/Markov ModelsCellularSimulating altered excitability of SNc neurons: drug effects on specific channels.High biophysical detail; mechanistic insight.Computationally expensive; requires extensive parameterization.Neuronal Network ModelsCircuitSimulating beta oscillations in the basal ganglia; predicting DBS outcomes.Captures emergent network dynamics; links cellular changes to circuit dysfunction.Simplified representation of neurons; may overlook molecular details.Multiscale/QSP ModelsSystemPredicting the therapeutic efficacy of ion channel drugs combined with DBS.Integrates pharmacology with pathophysiology; personalized medicine potential.High complexity; difficult to validate comprehensively.\nOverview of mathematical modeling approaches in PD research\nThe HH model,83 a cornerstone in neurophysiology, describes the conductance changes of sodium and potassium channels using a set of differential equations: Iion = gion ∗ mp ∗ hq ∗ (V - Eion). Where Iion is the ionic current, gion is the maximal conductance, m and h are gating variables for activation and inactivation, p and q are integers, V is the membrane potential, and Eion is the reversal potential. This formalism allows for the simulation of action potentials and has been extensively applied to model neuronal excitability in PD-affected neurons. In the context of PD, alterations in ion channel function can lead to disrupted neuronal signaling, contributing to the motor and non-motor symptoms of the disease. By applying the Hodgkin-Huxley framework, researchers can simulate the effects of various ion channel dysfunctions on neuronal behavior, thereby elucidating the pathophysiological mechanisms of PD.\nIn contrast, Markov state models offer a more nuanced approach to studying ion channels by capturing the probabilistic nature of channel gating. Unlike the Hodgkin-Huxley model, which relies on deterministic equations, Markov models represent ion channel states and transitions as a series of probabilistic events.84,85 This framework is particularly advantageous in PD research, as it can accommodate the inherent variability and stochastic behavior of ion channels in pathological states. Markov models allow for the incorporation of multiple states and transitions, providing a detailed representation of the kinetic properties of ion channels under various physiological and pathological conditions. This level of detail is crucial for understanding how specific mutations or pathological processes affect ion channel function in PD, ultimately aiding in the development of targeted therapies that can modulate channel activity more precisely than traditional approaches (Figure 7).Figure 7Mathematical modeling of ion channels associated with PD\nMathematical modeling of ion channels associated with PD\nKey to modeling neuronal excitability are fundamental biophysical concepts, including the Nernst potential for ions, the Goldman-Hodgkin-Katz equation86,87 for resting membrane potential, and current-voltage relationships. Incorporating these allows models to accurately reflect the electrophysiological signatures of PD-affected neurons, such as altered pacemaking, increased burst firing, or changes in input resistance. Furthermore, the Poisson-Nernst-Planck equations provide a more detailed continuum description of ion electrodiffusion, which can be important for understanding phenomena such as ionic concentration changes in confined spaces such as the synaptic cleft or peri-neuronal spaces.88 These advanced frameworks, when integrated with channel kinetics, enable more realistic simulations of pathological states such as excitotoxicity.\nThe development of computational models for neurons affected by PD provides critical insights into the underlying mechanisms of neuronal dysfunction and potential therapeutic interventions. In constructing a detailed framework for PD-related neuronal models, researchers have leveraged various computational techniques to simulate the electrical activity of neurons, particularly focusing on the ion channel dynamics that are altered in PD. For instance, the optimization of rodent subthalamic nucleus (STN) neuron models has revealed significant modifications in firing characteristics when an axon is integrated into the model, emphasizing the importance of biophysical realism in accurately replicating neuronal behavior.89 Additionally, the incorporation of ephaptic interactions—where electrical activity in one neuron influences another neuron without direct synaptic connections—has been shown to play a role in the altered firing patterns observed in neurodegenerative conditions.90 This highlights the complexity of neuronal networks in PD, where both intrinsic properties of individual neurons and their interactions within a network must be considered for accurate modeling.\nThe parameters of these models significantly influence the firing patterns of neurons, which can be critical for understanding the pathophysiology of PD. For example, variations in ion channel conductance can lead to changes in action potential shape and frequency, which are essential for neuronal communication and overall network function. Studies utilizing dimensionality reduction techniques have demonstrated that even small changes in ion channel composition can lead to substantial variability in neuronal excitability and firing patterns.91 This variability is particularly relevant in the context of PD, where the degeneration of dopaminergic neurons leads to altered excitability and impaired synaptic transmission, contributing to the motor and non-motor symptoms of the disease. Furthermore, computational models that incorporate both excitatory and inhibitory synaptic processes have revealed how excitotoxicity can manifest in PD models, affecting the balance of neuronal activity and potentially leading to chronic pain and other complications.92\nThe impact of model parameters on neuronal firing patterns can also be observed in the context of deep brain stimulation (DBS), a therapeutic approach used in PD treatment. Computational models of DBS effects on STN neurons have been optimized to predict personalized stimulation parameters (see also network-system scale modeling section).93 By optimizing these models through genetic algorithms, researchers can achieve a better alignment with experimental data, thus enhancing the predictive power of the models for clinical applications. For instance, to address issues such as the lack of standardization in assessing the efficacy of DBS on gait improvement, a Walking Performance Index (WPI) was proposed to objectively evaluate gait performance. By employing a Gaussian Process Regression (GPR) model, personalized optimal DBS parameters were predicted and identified within safe stimulation ranges, resulting in a 2%–18% improvement in WPI across three patients. This approach provides data-driven support for clinical DBS programming and reduces the time required for parameter trial-and-error.94\nIn summary, the construction of computational models for PD-related neurons is a multifaceted endeavor that requires careful consideration of various parameters influencing neuronal activity. By integrating biophysical realism, optimizing model parameters, and analyzing the effects of ion channel dynamics, researchers can gain valuable insights into the mechanisms underlying PD and explore potential therapeutic avenues. As the field progresses, these models will continue to serve as essential tools for elucidating the complexities of neuronal function in health and disease, ultimately contributing to improved treatment strategies for individuals with PD (Figure 7).\n\n\n### Single-channel kinetic models\nThe HH model,83 a cornerstone in neurophysiology, describes the conductance changes of sodium and potassium channels using a set of differential equations: Iion = gion ∗ mp ∗ hq ∗ (V - Eion). Where Iion is the ionic current, gion is the maximal conductance, m and h are gating variables for activation and inactivation, p and q are integers, V is the membrane potential, and Eion is the reversal potential. This formalism allows for the simulation of action potentials and has been extensively applied to model neuronal excitability in PD-affected neurons. In the context of PD, alterations in ion channel function can lead to disrupted neuronal signaling, contributing to the motor and non-motor symptoms of the disease. By applying the Hodgkin-Huxley framework, researchers can simulate the effects of various ion channel dysfunctions on neuronal behavior, thereby elucidating the pathophysiological mechanisms of PD.\nIn contrast, Markov state models offer a more nuanced approach to studying ion channels by capturing the probabilistic nature of channel gating. Unlike the Hodgkin-Huxley model, which relies on deterministic equations, Markov models represent ion channel states and transitions as a series of probabilistic events.84,85 This framework is particularly advantageous in PD research, as it can accommodate the inherent variability and stochastic behavior of ion channels in pathological states. Markov models allow for the incorporation of multiple states and transitions, providing a detailed representation of the kinetic properties of ion channels under various physiological and pathological conditions. This level of detail is crucial for understanding how specific mutations or pathological processes affect ion channel function in PD, ultimately aiding in the development of targeted therapies that can modulate channel activity more precisely than traditional approaches (Figure 7).Figure 7Mathematical modeling of ion channels associated with PD\nMathematical modeling of ion channels associated with PD\nKey to modeling neuronal excitability are fundamental biophysical concepts, including the Nernst potential for ions, the Goldman-Hodgkin-Katz equation86,87 for resting membrane potential, and current-voltage relationships. Incorporating these allows models to accurately reflect the electrophysiological signatures of PD-affected neurons, such as altered pacemaking, increased burst firing, or changes in input resistance. Furthermore, the Poisson-Nernst-Planck equations provide a more detailed continuum description of ion electrodiffusion, which can be important for understanding phenomena such as ionic concentration changes in confined spaces such as the synaptic cleft or peri-neuronal spaces.88 These advanced frameworks, when integrated with channel kinetics, enable more realistic simulations of pathological states such as excitotoxicity.\n\n\n### Neuronal electrophysiological models\nThe development of computational models for neurons affected by PD provides critical insights into the underlying mechanisms of neuronal dysfunction and potential therapeutic interventions. In constructing a detailed framework for PD-related neuronal models, researchers have leveraged various computational techniques to simulate the electrical activity of neurons, particularly focusing on the ion channel dynamics that are altered in PD. For instance, the optimization of rodent subthalamic nucleus (STN) neuron models has revealed significant modifications in firing characteristics when an axon is integrated into the model, emphasizing the importance of biophysical realism in accurately replicating neuronal behavior.89 Additionally, the incorporation of ephaptic interactions—where electrical activity in one neuron influences another neuron without direct synaptic connections—has been shown to play a role in the altered firing patterns observed in neurodegenerative conditions.90 This highlights the complexity of neuronal networks in PD, where both intrinsic properties of individual neurons and their interactions within a network must be considered for accurate modeling.\nThe parameters of these models significantly influence the firing patterns of neurons, which can be critical for understanding the pathophysiology of PD. For example, variations in ion channel conductance can lead to changes in action potential shape and frequency, which are essential for neuronal communication and overall network function. Studies utilizing dimensionality reduction techniques have demonstrated that even small changes in ion channel composition can lead to substantial variability in neuronal excitability and firing patterns.91 This variability is particularly relevant in the context of PD, where the degeneration of dopaminergic neurons leads to altered excitability and impaired synaptic transmission, contributing to the motor and non-motor symptoms of the disease. Furthermore, computational models that incorporate both excitatory and inhibitory synaptic processes have revealed how excitotoxicity can manifest in PD models, affecting the balance of neuronal activity and potentially leading to chronic pain and other complications.92\nThe impact of model parameters on neuronal firing patterns can also be observed in the context of deep brain stimulation (DBS), a therapeutic approach used in PD treatment. Computational models of DBS effects on STN neurons have been optimized to predict personalized stimulation parameters (see also network-system scale modeling section).93 By optimizing these models through genetic algorithms, researchers can achieve a better alignment with experimental data, thus enhancing the predictive power of the models for clinical applications. For instance, to address issues such as the lack of standardization in assessing the efficacy of DBS on gait improvement, a Walking Performance Index (WPI) was proposed to objectively evaluate gait performance. By employing a Gaussian Process Regression (GPR) model, personalized optimal DBS parameters were predicted and identified within safe stimulation ranges, resulting in a 2%–18% improvement in WPI across three patients. This approach provides data-driven support for clinical DBS programming and reduces the time required for parameter trial-and-error.94\nIn summary, the construction of computational models for PD-related neurons is a multifaceted endeavor that requires careful consideration of various parameters influencing neuronal activity. By integrating biophysical realism, optimizing model parameters, and analyzing the effects of ion channel dynamics, researchers can gain valuable insights into the mechanisms underlying PD and explore potential therapeutic avenues. As the field progresses, these models will continue to serve as essential tools for elucidating the complexities of neuronal function in health and disease, ultimately contributing to improved treatment strategies for individuals with PD (Figure 7).\n\n\n### Network dynamics modeling of basal ganglia circuits\nThe basal ganglia, a group of nuclei in the brain, play a crucial role in motor control and are integral to the functioning of various neural circuits. In PD, understanding these networks is essential for elucidating pathological mechanisms. A widely used mathematical model of the basal ganglia microcircuitry employs a network framework comprising nodes representing different neuronal populations, such as the striatum, globus pallidus, subthalamic nucleus, and substantia nigra. Each node is characterized by unique ion channel properties that shape network dynamics. For instance, striatal neurons primarily express GABAergic (gamma-aminobutyric acidergic) inhibitory channels, while subthalamic nucleus neurons exhibit excitatory glutamatergic channels. These interactions are commonly modeled with differential equations that describe neuronal firing rates and synaptic communication, capturing the oscillatory behavior typical of healthy states. Coupling strength between nodes, modulated by the conductance of ion channels, directly affects the synchronization of neuronal firing, a phenomenon critical for normal motor function. Studies have shown that specific conductance patterns can produce either chaotic or regular dynamics within the network. Balanced conductances tend to support synchronized activity, whereas alterations in ion channel properties may lead to desynchronized, pathological states characteristic of PD.95\nThe impact of ion channel properties on network oscillations is profound. Each node’s channel profile determines its excitability and synaptic integration, collectively governing oscillatory patterns. For example, the modulation of sodium and potassium channels can alter the action potential firing rates, thereby influencing the timing and synchronization of network rhythms. This is particularly important in PD, where dopaminergic depletion disrupts ion channel dynamics and promotes abnormal beta oscillations. Mathematical models incorporating these dynamics can simulate how variations in conductance affect network stability and oscillatory behavior. By adjusting parameters related to ion channel conductance, researchers can explore a range of network states, from normal oscillatory patterns to pathological rhythms observed in PD.96,97,98,99\nIn summary, mathematical modeling of basal ganglia microcircuitry under normal state provides a valuable framework for understanding the complex interactions between various neuronal populations and their ion channel properties. By analyzing how these properties influence network oscillations, researchers can gain insights into the pathophysiology of PD and identify potential avenues for therapeutic intervention. The interplay between ion channel dynamics and network behavior underscores the importance of precise mathematical modeling in elucidating the mechanisms of neural function and dysfunction.\nThe simulation of pathological states in PD is crucial for understanding the underlying mechanisms that lead to the characteristic symptoms of the disorder. Recent advancements in mathematical modeling have enabled researchers to simulate the effects of ion channel dysfunction on neural network oscillations, particularly focusing on the role of potassium channels. For instance, the inwardly rectifying potassium channel Kir4.2, which has been implicated in familial PD through mutations such as KCNJ15p.R28C, exhibits significant alterations in its functional properties. Studies have shown that this mutation leads to a loss of channel function, which can disrupt the balance of excitatory and inhibitory signals within neural circuits, potentially contributing to abnormal oscillatory activity observed in patients with PD.5 Furthermore, the transient receptor potential canonical 5 (TRPC5) channels, which are activated by oxidative stress and predominantly expressed in the striatum and substantia nigra, have been shown to play a role in calcium influx and subsequent neuronal excitotoxicity. In a PD model induced by MPTP, TRPC5 overexpression was associated with increased oxidative stress and apoptosis, highlighting the importance of ion channel dynamics in the pathophysiology of PD.100 Mathematical models can capture these complex interactions, allowing for simulations that reflect how ion channel abnormalities lead to altered network oscillations, which are characteristic of PD.\nMoreover, the enhancement of beta-band oscillations, often observed in PD, can be linked to specific ion channel dysfunctions. The modulation of beta-band activity is thought to be influenced by the balance of excitatory and inhibitory inputs in the basal ganglia circuitry, where ion channels play a pivotal role. For example, the P2X4 receptor, which is involved in regulating synaptic transmission and cellular excitability, has been shown to affect autophagy and neuroinflammation in PD models. Inhibition of P2X4 receptor expression has been associated with improved motor function and reduced neurodegeneration, suggesting that its dysregulation may contribute to the enhanced beta oscillations seen in PD.101 Mathematical modeling approaches can be employed to simulate these oscillatory dynamics, allowing researchers to explore how changes in ion channel function can lead to the characteristic motor symptoms of PD.\nComputational studies have been instrumental in linking ion channel dysfunction to specific network-level pathologies in PD. For example, models incorporating dopamine depletion and altered striatal potassium channel conductances can reproduce the excessive beta-band oscillations observed in the basal ganglia of patients with PD.16 These models suggest that the loss of dopamine leads to changes in the feedback loops within the basal ganglia-thalamocortical circuit, promoting pathological synchrony. Furthermore, models investigating heterogeneous delays within the basal ganglia network have utilized Hopf bifurcation analysis to demonstrate how specific parameter changes (e.g., synaptic strengths and delays) can induce a transition from normal, irregular firing to pathological, synchronized oscillations, providing a theoretical basis for the emergence of PD symptoms.13,17\nIn summary, the simulation of pathological states in PD through mathematical modeling provides valuable insights into the mechanisms by which ion channel dysfunction contributes to altered neural oscillations. By elucidating the relationship between specific ion channels and network dynamics, these models offer a powerful tool for advancing our understanding of PD (Figure 8).Figure 8Network dynamics modeling\nNetwork dynamics modeling\n\n\n### Network model in normal state\nThe basal ganglia, a group of nuclei in the brain, play a crucial role in motor control and are integral to the functioning of various neural circuits. In PD, understanding these networks is essential for elucidating pathological mechanisms. A widely used mathematical model of the basal ganglia microcircuitry employs a network framework comprising nodes representing different neuronal populations, such as the striatum, globus pallidus, subthalamic nucleus, and substantia nigra. Each node is characterized by unique ion channel properties that shape network dynamics. For instance, striatal neurons primarily express GABAergic (gamma-aminobutyric acidergic) inhibitory channels, while subthalamic nucleus neurons exhibit excitatory glutamatergic channels. These interactions are commonly modeled with differential equations that describe neuronal firing rates and synaptic communication, capturing the oscillatory behavior typical of healthy states. Coupling strength between nodes, modulated by the conductance of ion channels, directly affects the synchronization of neuronal firing, a phenomenon critical for normal motor function. Studies have shown that specific conductance patterns can produce either chaotic or regular dynamics within the network. Balanced conductances tend to support synchronized activity, whereas alterations in ion channel properties may lead to desynchronized, pathological states characteristic of PD.95\nThe impact of ion channel properties on network oscillations is profound. Each node’s channel profile determines its excitability and synaptic integration, collectively governing oscillatory patterns. For example, the modulation of sodium and potassium channels can alter the action potential firing rates, thereby influencing the timing and synchronization of network rhythms. This is particularly important in PD, where dopaminergic depletion disrupts ion channel dynamics and promotes abnormal beta oscillations. Mathematical models incorporating these dynamics can simulate how variations in conductance affect network stability and oscillatory behavior. By adjusting parameters related to ion channel conductance, researchers can explore a range of network states, from normal oscillatory patterns to pathological rhythms observed in PD.96,97,98,99\nIn summary, mathematical modeling of basal ganglia microcircuitry under normal state provides a valuable framework for understanding the complex interactions between various neuronal populations and their ion channel properties. By analyzing how these properties influence network oscillations, researchers can gain insights into the pathophysiology of PD and identify potential avenues for therapeutic intervention. The interplay between ion channel dynamics and network behavior underscores the importance of precise mathematical modeling in elucidating the mechanisms of neural function and dysfunction.\n\n\n### Simulation of pathological states in Parkinson’s disease\nThe simulation of pathological states in PD is crucial for understanding the underlying mechanisms that lead to the characteristic symptoms of the disorder. Recent advancements in mathematical modeling have enabled researchers to simulate the effects of ion channel dysfunction on neural network oscillations, particularly focusing on the role of potassium channels. For instance, the inwardly rectifying potassium channel Kir4.2, which has been implicated in familial PD through mutations such as KCNJ15p.R28C, exhibits significant alterations in its functional properties. Studies have shown that this mutation leads to a loss of channel function, which can disrupt the balance of excitatory and inhibitory signals within neural circuits, potentially contributing to abnormal oscillatory activity observed in patients with PD.5 Furthermore, the transient receptor potential canonical 5 (TRPC5) channels, which are activated by oxidative stress and predominantly expressed in the striatum and substantia nigra, have been shown to play a role in calcium influx and subsequent neuronal excitotoxicity. In a PD model induced by MPTP, TRPC5 overexpression was associated with increased oxidative stress and apoptosis, highlighting the importance of ion channel dynamics in the pathophysiology of PD.100 Mathematical models can capture these complex interactions, allowing for simulations that reflect how ion channel abnormalities lead to altered network oscillations, which are characteristic of PD.\nMoreover, the enhancement of beta-band oscillations, often observed in PD, can be linked to specific ion channel dysfunctions. The modulation of beta-band activity is thought to be influenced by the balance of excitatory and inhibitory inputs in the basal ganglia circuitry, where ion channels play a pivotal role. For example, the P2X4 receptor, which is involved in regulating synaptic transmission and cellular excitability, has been shown to affect autophagy and neuroinflammation in PD models. Inhibition of P2X4 receptor expression has been associated with improved motor function and reduced neurodegeneration, suggesting that its dysregulation may contribute to the enhanced beta oscillations seen in PD.101 Mathematical modeling approaches can be employed to simulate these oscillatory dynamics, allowing researchers to explore how changes in ion channel function can lead to the characteristic motor symptoms of PD.\nComputational studies have been instrumental in linking ion channel dysfunction to specific network-level pathologies in PD. For example, models incorporating dopamine depletion and altered striatal potassium channel conductances can reproduce the excessive beta-band oscillations observed in the basal ganglia of patients with PD.16 These models suggest that the loss of dopamine leads to changes in the feedback loops within the basal ganglia-thalamocortical circuit, promoting pathological synchrony. Furthermore, models investigating heterogeneous delays within the basal ganglia network have utilized Hopf bifurcation analysis to demonstrate how specific parameter changes (e.g., synaptic strengths and delays) can induce a transition from normal, irregular firing to pathological, synchronized oscillations, providing a theoretical basis for the emergence of PD symptoms.13,17\nIn summary, the simulation of pathological states in PD through mathematical modeling provides valuable insights into the mechanisms by which ion channel dysfunction contributes to altered neural oscillations. By elucidating the relationship between specific ion channels and network dynamics, these models offer a powerful tool for advancing our understanding of PD (Figure 8).Figure 8Network dynamics modeling\nNetwork dynamics modeling\n\n\n### Multiscale modeling methods\nThe integration of molecular dynamics with cellular electrophysiological activities represents a significant advancement in understanding the complex pathophysiology of PD. This cross-scale modeling approach allows researchers to bridge the gap between molecular interactions and cellular responses, providing a comprehensive view of how alterations at the molecular level can impact neuronal function. For instance, molecular dynamics simulations have been employed to elucidate the structural dynamics of ion channels, such as N-methyl-D-aspartate receptors (NMDARs), which are critical in mediating excitatory neurotransmission. These simulations reveal how ligand binding induces conformational changes that affect ion permeability and channel activity, which are crucial for maintaining neuronal health. In the context of PD, the dysregulation of ion channels, including NMDARs, has been linked to excitotoxicity and subsequent neuronal death, highlighting the importance of understanding these molecular mechanisms.102 Furthermore, recent studies utilizing single-nucleus RNA sequencing have provided insights into the cellular heterogeneity of the PD mouse model, revealing how different cell types exhibit distinct alterations in ion channel expression and activity. This approach has generated a detailed transcriptomic atlas that captures the intricate interplay between various cell types in the PD-affected brain, facilitating the identification of specific molecular targets for therapeutic intervention.103\nMoreover, the modeling of ion channel dynamics extends to the investigation of specific proteins implicated in PD, such as α-syn, which is known to influence ion channel function. Quantitative simulations have demonstrated that α-syn can modulate ion channel activity, linking molecular changes to alterations in cellular electrical activity and contributing to excitotoxicity and oxidative stress.104 By employing a multi-scale modeling framework, researchers can simulate the effects of α-syn on ion channel dynamics, linking molecular changes to alterations in cellular electrical activity.\nIn summary, the advancement of molecular-cellular scale modeling in PD research is pivotal for elucidating the complex interactions between molecular dynamics and cellular electrophysiology. By integrating data from molecular simulations with cellular activity measurements, researchers can gain a deeper understanding of how alterations at the molecular level contribute to the pathogenesis of PD. This holistic perspective is essential for the development of targeted therapies that address the underlying molecular mechanisms driving neuronal dysfunction in PD.\nThe construction of whole-brain network models based on ion channel characteristics represents a significant advancement in understanding the complex dynamics of neural interactions, particularly in the context of PD. These models integrate various electrophysiological properties of neurons, including ion channel dynamics, synaptic interactions, and the effects of ephaptic coupling, which refers to the influence of one neuron’s electric field on another. Recent studies have highlighted the importance of ephaptic interactions, particularly in the context of neuronal membrane impairment observed in neurodegenerative diseases such as PD. For instance, numerical simulations have shown that alterations in ion channel resistance and lipid membrane capacitance can significantly impact neuronal communication and synchronization, leading to impaired electrophysiological properties that characterize PD.90 By employing hybrid neural models, such as the quadratic integrate-and-fire ephaptic (QIF-E) model, researchers can simulate these interactions and better understand how disruptions in ion channel function contribute to the pathophysiology of PD. This approach allows for the exploration of how specific ion channel dysfunctions can lead to broader network-level changes, offering insights into the mechanisms underlying motor and cognitive deficits in patients with PD.\nIn addition to enhancing our understanding of PD pathophysiology, these network models have practical applications in optimizing DBS therapies for PD. DBS has emerged as a critical intervention for managing motor symptoms in advanced PD, but its efficacy can be variable among patients. By utilizing network-scale models, clinicians can simulate the effects of DBS on different brain regions involved in motor control, allowing for the identification of optimal stimulation parameters tailored to individual patient profiles. For instance, quantitative systems pharmacology models have been developed that simulate the basal ganglia motor circuit, incorporating the effects of various neurotransmitter systems and ion channels. These models can predict the impact of DBS on local field potentials and motor function, providing a framework for personalizing stimulation protocols.105 Furthermore, the integration of pharmacokinetic (PK) modeling with these network models can enhance the understanding of how adjunct pharmacological therapies, such as adenosine A2A antagonists, can be combined with DBS to further reduce OFF-time in patients with PD. This approach not only facilitates the design of clinical trials for new therapeutic agents but also supports the optimization of combination therapies in clinical practice, ultimately improving patient outcomes in PD management.\nOverall, the development of whole-brain network models based on ion channel characteristics is paving the way for a more nuanced understanding of the neural circuitry involved in PD. By bridging the gap between basic electrophysiological research and clinical applications, these models hold the potential to revolutionize how we approach the treatment of PD, leading to more effective and personalized therapeutic strategies. As research continues to evolve, the integration of advanced modeling techniques will undoubtedly enhance our ability to dissect the complexities of PD and improve therapeutic interventions for those affected by this debilitating condition (Figure 9).Figure 9Multiscale modeling methods\nMultiscale modeling methods\n\n\n### Molecular-cellular scale modeling\nThe integration of molecular dynamics with cellular electrophysiological activities represents a significant advancement in understanding the complex pathophysiology of PD. This cross-scale modeling approach allows researchers to bridge the gap between molecular interactions and cellular responses, providing a comprehensive view of how alterations at the molecular level can impact neuronal function. For instance, molecular dynamics simulations have been employed to elucidate the structural dynamics of ion channels, such as N-methyl-D-aspartate receptors (NMDARs), which are critical in mediating excitatory neurotransmission. These simulations reveal how ligand binding induces conformational changes that affect ion permeability and channel activity, which are crucial for maintaining neuronal health. In the context of PD, the dysregulation of ion channels, including NMDARs, has been linked to excitotoxicity and subsequent neuronal death, highlighting the importance of understanding these molecular mechanisms.102 Furthermore, recent studies utilizing single-nucleus RNA sequencing have provided insights into the cellular heterogeneity of the PD mouse model, revealing how different cell types exhibit distinct alterations in ion channel expression and activity. This approach has generated a detailed transcriptomic atlas that captures the intricate interplay between various cell types in the PD-affected brain, facilitating the identification of specific molecular targets for therapeutic intervention.103\nMoreover, the modeling of ion channel dynamics extends to the investigation of specific proteins implicated in PD, such as α-syn, which is known to influence ion channel function. Quantitative simulations have demonstrated that α-syn can modulate ion channel activity, linking molecular changes to alterations in cellular electrical activity and contributing to excitotoxicity and oxidative stress.104 By employing a multi-scale modeling framework, researchers can simulate the effects of α-syn on ion channel dynamics, linking molecular changes to alterations in cellular electrical activity.\nIn summary, the advancement of molecular-cellular scale modeling in PD research is pivotal for elucidating the complex interactions between molecular dynamics and cellular electrophysiology. By integrating data from molecular simulations with cellular activity measurements, researchers can gain a deeper understanding of how alterations at the molecular level contribute to the pathogenesis of PD. This holistic perspective is essential for the development of targeted therapies that address the underlying molecular mechanisms driving neuronal dysfunction in PD.\n\n\n### Network-system scale modeling\nThe construction of whole-brain network models based on ion channel characteristics represents a significant advancement in understanding the complex dynamics of neural interactions, particularly in the context of PD. These models integrate various electrophysiological properties of neurons, including ion channel dynamics, synaptic interactions, and the effects of ephaptic coupling, which refers to the influence of one neuron’s electric field on another. Recent studies have highlighted the importance of ephaptic interactions, particularly in the context of neuronal membrane impairment observed in neurodegenerative diseases such as PD. For instance, numerical simulations have shown that alterations in ion channel resistance and lipid membrane capacitance can significantly impact neuronal communication and synchronization, leading to impaired electrophysiological properties that characterize PD.90 By employing hybrid neural models, such as the quadratic integrate-and-fire ephaptic (QIF-E) model, researchers can simulate these interactions and better understand how disruptions in ion channel function contribute to the pathophysiology of PD. This approach allows for the exploration of how specific ion channel dysfunctions can lead to broader network-level changes, offering insights into the mechanisms underlying motor and cognitive deficits in patients with PD.\nIn addition to enhancing our understanding of PD pathophysiology, these network models have practical applications in optimizing DBS therapies for PD. DBS has emerged as a critical intervention for managing motor symptoms in advanced PD, but its efficacy can be variable among patients. By utilizing network-scale models, clinicians can simulate the effects of DBS on different brain regions involved in motor control, allowing for the identification of optimal stimulation parameters tailored to individual patient profiles. For instance, quantitative systems pharmacology models have been developed that simulate the basal ganglia motor circuit, incorporating the effects of various neurotransmitter systems and ion channels. These models can predict the impact of DBS on local field potentials and motor function, providing a framework for personalizing stimulation protocols.105 Furthermore, the integration of pharmacokinetic (PK) modeling with these network models can enhance the understanding of how adjunct pharmacological therapies, such as adenosine A2A antagonists, can be combined with DBS to further reduce OFF-time in patients with PD. This approach not only facilitates the design of clinical trials for new therapeutic agents but also supports the optimization of combination therapies in clinical practice, ultimately improving patient outcomes in PD management.\nOverall, the development of whole-brain network models based on ion channel characteristics is paving the way for a more nuanced understanding of the neural circuitry involved in PD. By bridging the gap between basic electrophysiological research and clinical applications, these models hold the potential to revolutionize how we approach the treatment of PD, leading to more effective and personalized therapeutic strategies. As research continues to evolve, the integration of advanced modeling techniques will undoubtedly enhance our ability to dissect the complexities of PD and improve therapeutic interventions for those affected by this debilitating condition (Figure 9).Figure 9Multiscale modeling methods\nMultiscale modeling methods\n\n\n### Model validation and experimental design\nThe integration of patch-clamp techniques with computational models has emerged as a powerful strategy for validating the functional roles of ion channels in PD. Patch-clamp electrophysiology allows for the precise measurement of ionic currents through individual ion channels, providing insights into their biophysical properties and functional dynamics under various conditions. This technique is particularly valuable in understanding how specific mutations or pharmacological agents influence ion channel activity, which is critical in the context of PD, where the dysregulation of ion channels contributes to dopaminergic neuron vulnerability. For instance, the study of the Kir4.2 potassium channel, which has been linked to familial PD through mutations, demonstrates how patch-clamp recordings can reveal alterations in channel conductance and kinetic properties resulting from genetic modifications.5 Furthermore, computational models can simulate the behavior of ion channels within neuronal networks, allowing researchers to predict the impact of ion channel dysfunction on neuronal excitability and signaling pathways. By combining experimental data from patch-clamp studies with computational simulations, researchers can create a more comprehensive understanding of the pathophysiological mechanisms underlying PD, ultimately guiding the development of targeted therapeutics aimed at restoring normal ion channel function and neuronal health.\nIn addition to traditional cell lines, induced pluripotent stem cell (iPSC) models have gained recognition for their unique value in validating findings related to PD. iPSCs can be derived from patients with specific genetic backgrounds, enabling the study of disease mechanisms in cell types that closely mimic the physiological conditions of human dopaminergic neurons. This is particularly important as many conventional cell lines, such as SH-SY5Y, may not accurately replicate the pathophysiological features of PD.106 For example, research comparing LUHMES cells, a more robust dopaminergic model, with SH-SY5Y cells has shown that LUHMES cells exhibit more consistent dopaminergic characteristics and a more pronounced response to neurotoxic insults, thereby providing a more reliable platform for studying the effects of ion channel modulation in PD.106 The ability to generate patient-specific iPSCs also allows for the exploration of personalized medicine approaches, where therapeutic strategies can be tailored to the unique genetic and phenotypic profiles of individuals with PD. Moreover, these models facilitate high-throughput screening of potential pharmacological agents targeting ion channels, thereby accelerating the discovery of new treatments that could mitigate the progression of neurodegeneration in PD.\nIn vivo experimental validation is essential for confirming the predictive capabilities of computational models in the context of ion channel dysfunction in PD. Animal models, particularly those utilizing rodents, serve as the primary subjects for these investigations. The comparison between computational predictions and actual physiological outcomes involves a multi-step approach. Initially, researchers employ computational models to simulate the behavior of specific ion channels implicated in PD, such as voltage-gated calcium channels and potassium channels, under various conditions. These models are based on existing data regarding ion channel dynamics and neuronal activity. Following this, in vivo experiments are conducted using animal models that exhibit PD-like symptoms, such as the 6-hydroxydopamine (6-OHDA) lesion model. This model effectively mimics the neurodegenerative processes observed in human PD, particularly the selective degeneration of dopaminergic neurons in the substantia nigra. Researchers then assess the physiological responses of these animals to pharmacological interventions designed to target the ion channels identified in the computational models. By measuring parameters such as motor function, neuronal firing rates, and neurotransmitter levels, scientists can evaluate the accuracy of their computational predictions. Discrepancies between the model outcomes and the observed results in animal subjects can provide insights into the limitations of current models and highlight the need for further refinement of computational approaches to better reflect biological realities.69,107\nMoreover, the integration of microelectrode array (MEA) technology into these validation studies has significantly enhanced our understanding of neuronal activity in animal models of PD. MEA technology allows for the simultaneous recording of electrical activity from multiple neurons, providing a comprehensive view of network dynamics in response to ion channel modulation. In the context of PD, MEAs can be utilized to monitor the effects of pharmacological agents targeting specific ion channels on dopaminergic neuron activity. For instance, researchers can observe changes in firing patterns, synaptic transmission, and network oscillations in real-time as they apply drugs that either enhance or inhibit the activity of particular ion channels. This approach not only validates computational predictions but also elucidates the underlying mechanisms of ion channel dysfunction in PD. By correlating the changes in neuronal activity observed through MEAs with behavioral outcomes in the animal models, researchers can establish a more robust link between ion channel activity and motor function. Furthermore, the ability to manipulate environmental conditions, such as ion concentrations or pharmacological agents, while recording neuronal responses in vivo allows for a more dynamic assessment of ion channel function and its implications in PD pathology.64,108\nIn summary (Figure 10), the combination of computational modeling and in vivo experimental validation, particularly through the use of animal models and advanced recording technologies such as MEAs, represents a powerful strategy for understanding the role of ion channel dysfunction in PD. This integrative approach not only enhances the predictive accuracy of computational models but also provides critical insights into the pathophysiological mechanisms driving neurodegeneration in PD. Future research should focus on refining these models and further exploring the complex interactions among various ion channels and their collective impact on neuronal health and disease progression. Such efforts will pave the way for novel therapeutic strategies aimed at correcting ion channel dysfunction in PD.38,109Figure 10Model validation and experimental design\nModel validation and experimental design\n\n\n### In vitro experimental validation\nThe integration of patch-clamp techniques with computational models has emerged as a powerful strategy for validating the functional roles of ion channels in PD. Patch-clamp electrophysiology allows for the precise measurement of ionic currents through individual ion channels, providing insights into their biophysical properties and functional dynamics under various conditions. This technique is particularly valuable in understanding how specific mutations or pharmacological agents influence ion channel activity, which is critical in the context of PD, where the dysregulation of ion channels contributes to dopaminergic neuron vulnerability. For instance, the study of the Kir4.2 potassium channel, which has been linked to familial PD through mutations, demonstrates how patch-clamp recordings can reveal alterations in channel conductance and kinetic properties resulting from genetic modifications.5 Furthermore, computational models can simulate the behavior of ion channels within neuronal networks, allowing researchers to predict the impact of ion channel dysfunction on neuronal excitability and signaling pathways. By combining experimental data from patch-clamp studies with computational simulations, researchers can create a more comprehensive understanding of the pathophysiological mechanisms underlying PD, ultimately guiding the development of targeted therapeutics aimed at restoring normal ion channel function and neuronal health.\nIn addition to traditional cell lines, induced pluripotent stem cell (iPSC) models have gained recognition for their unique value in validating findings related to PD. iPSCs can be derived from patients with specific genetic backgrounds, enabling the study of disease mechanisms in cell types that closely mimic the physiological conditions of human dopaminergic neurons. This is particularly important as many conventional cell lines, such as SH-SY5Y, may not accurately replicate the pathophysiological features of PD.106 For example, research comparing LUHMES cells, a more robust dopaminergic model, with SH-SY5Y cells has shown that LUHMES cells exhibit more consistent dopaminergic characteristics and a more pronounced response to neurotoxic insults, thereby providing a more reliable platform for studying the effects of ion channel modulation in PD.106 The ability to generate patient-specific iPSCs also allows for the exploration of personalized medicine approaches, where therapeutic strategies can be tailored to the unique genetic and phenotypic profiles of individuals with PD. Moreover, these models facilitate high-throughput screening of potential pharmacological agents targeting ion channels, thereby accelerating the discovery of new treatments that could mitigate the progression of neurodegeneration in PD.\n\n\n### In vivo experimental validation\nIn vivo experimental validation is essential for confirming the predictive capabilities of computational models in the context of ion channel dysfunction in PD. Animal models, particularly those utilizing rodents, serve as the primary subjects for these investigations. The comparison between computational predictions and actual physiological outcomes involves a multi-step approach. Initially, researchers employ computational models to simulate the behavior of specific ion channels implicated in PD, such as voltage-gated calcium channels and potassium channels, under various conditions. These models are based on existing data regarding ion channel dynamics and neuronal activity. Following this, in vivo experiments are conducted using animal models that exhibit PD-like symptoms, such as the 6-hydroxydopamine (6-OHDA) lesion model. This model effectively mimics the neurodegenerative processes observed in human PD, particularly the selective degeneration of dopaminergic neurons in the substantia nigra. Researchers then assess the physiological responses of these animals to pharmacological interventions designed to target the ion channels identified in the computational models. By measuring parameters such as motor function, neuronal firing rates, and neurotransmitter levels, scientists can evaluate the accuracy of their computational predictions. Discrepancies between the model outcomes and the observed results in animal subjects can provide insights into the limitations of current models and highlight the need for further refinement of computational approaches to better reflect biological realities.69,107\nMoreover, the integration of microelectrode array (MEA) technology into these validation studies has significantly enhanced our understanding of neuronal activity in animal models of PD. MEA technology allows for the simultaneous recording of electrical activity from multiple neurons, providing a comprehensive view of network dynamics in response to ion channel modulation. In the context of PD, MEAs can be utilized to monitor the effects of pharmacological agents targeting specific ion channels on dopaminergic neuron activity. For instance, researchers can observe changes in firing patterns, synaptic transmission, and network oscillations in real-time as they apply drugs that either enhance or inhibit the activity of particular ion channels. This approach not only validates computational predictions but also elucidates the underlying mechanisms of ion channel dysfunction in PD. By correlating the changes in neuronal activity observed through MEAs with behavioral outcomes in the animal models, researchers can establish a more robust link between ion channel activity and motor function. Furthermore, the ability to manipulate environmental conditions, such as ion concentrations or pharmacological agents, while recording neuronal responses in vivo allows for a more dynamic assessment of ion channel function and its implications in PD pathology.64,108\nIn summary (Figure 10), the combination of computational modeling and in vivo experimental validation, particularly through the use of animal models and advanced recording technologies such as MEAs, represents a powerful strategy for understanding the role of ion channel dysfunction in PD. This integrative approach not only enhances the predictive accuracy of computational models but also provides critical insights into the pathophysiological mechanisms driving neurodegeneration in PD. Future research should focus on refining these models and further exploring the complex interactions among various ion channels and their collective impact on neuronal health and disease progression. Such efforts will pave the way for novel therapeutic strategies aimed at correcting ion channel dysfunction in PD.38,109Figure 10Model validation and experimental design\nModel validation and experimental design\n\n\n### Discussion\nThe study of ion channels in the context of PD has made significant strides, yet several methodological and conceptual limitations remain. A primary technical bottleneck in current research is the challenge of accurately modeling the complex dynamics of ion channel behavior in a living system. Ion channels are not only integral to neuronal excitability and neurotransmitter release but also interact with various intracellular signaling pathways that can be influenced by numerous factors, including oxidative stress and neuroinflammation.34,110 The intricate nature of these interactions complicates the establishment of a clear causal link between ion channel dysfunction and the pathophysiology of PD. Moreover, existing experimental and computational models tend to oversimplify the multifaceted roles of ion channels, neglecting the influence of cellular context and varying environmental conditions that can significantly alter ion channel function and regulatory dynamics.111\nAdditionally, ion channel research faces a significant challenge in balancing the complexity of computational models with the scale and quality of experimental data. While high-throughput techniques, such as patch-clamp electrophysiology and advanced imaging methods, have enhanced our understanding of ion channel kinetics and localization, they also generate vast amounts of data that can be difficult to interpret.112 The integration of machine learning and artificial intelligence into data analysis has shown promise in addressing this issue, yet the application of these technologies in ion channel research remains in its early stages.113 As researchers strive to develop more sophisticated models that accurately reflect the physiological and pathological states of neurons, they must also contend with the risk of overfitting models to data, which may yield misleading conclusions about the causal role of ion channels in PD.19\nFurthermore, the heterogeneity of ion channels across different cell types adds another layer of complexity. For instance, astrocytic ion channels may exhibit distinct regulatory mechanisms compared to those in neurons, which can lead to differential impacts on neuronal health and function in the context of neurodegenerative diseases.69 This variability necessitates a more nuanced approach to studying ion channels, one that considers the cellular microenvironment and the specific roles of various ion channel subtypes in PD pathology. Current research has largely focused on voltage-gated and ligand-gated channels. However, the role of background “leak” channels, such as the sodium leak channel non-selective (NALCN), in setting resting membrane potential and neuronal excitability in PD remains under-explored.114 Their potential contribution to the vulnerability of dopaminergic neurons warrants future investigation. The potential for activity-dependent modifications in the axon initial segment structure or homeostatic plasticity of intrinsic excitability in PD-afflicted circuits is an emerging area.115,116 Whether such forms of plasticity are adaptive or maladaptive in PD progression is unclear and represents a gap in current models.\nThe integration of artificial intelligence (AI) and mathematical modeling into the study of ion channels in neurodegenerative diseases, particularly PD, represents a burgeoning frontier in biomedical research. AI technologies, particularly machine learning algorithms, are increasingly being employed to analyze complex datasets from electrophysiological experiments, such as those obtained through patch clamp techniques. For instance, a recent study developed an AI framework capable of classifying ion channel kinetics from whole-cell recordings with an impressive accuracy of 97.58%, demonstrating its potential to enhance the efficiency and accuracy of ion channel analysis.112 By automating the detection of anomalies and classifying ion channel behavior, researchers can significantly reduce the time and resources typically required for manual analysis. Moreover, this AI-driven approach can be applied to drug screening processes, allowing for the rapid identification of compounds that modulate ion channel activity, which is particularly relevant for neurodegenerative diseases where ion channel dysfunction is a central pathological feature.111\nAs the understanding of ion channels in neuronal excitability and neuroinflammation deepens, the synergy between AI and mathematical modeling is poised to catalyze the development of novel therapeutic strategies. Future computational frameworks must evolve toward genuine multiscale integration, seamlessly bridging data from molecular dynamics (e.g., elucidating drug-channel interactions), single-cell electrophysiology, circuit-level field potentials, and behavioral outputs.117 The role of AI will expand from analysis to active discovery. Deep learning analysis of high-content data (e.g., automated patch-clamp recording) can uncover non-linear signatures linking specific ion channel states to pathology.112 Generative AI models offer promise for de novo design of novel channel modulators with optimized properties while predicting off-target risks.118 Integrating data from wearable sensors, non-invasive neurophysiology, and other modalities could yield dynamic signatures reflecting the functional state of specific ion channel pathways in individual patients. Concurrently, there is a pressing need to bridge the translational gap by developing objective, ion channel-centric digital biomarkers. Such biomarkers would enable precise patient stratification for clinical trials, objective progression monitoring, and could inform closed-loop adjustment of therapies such as DBS.\nIn addition, the fusion of organoid technology with computational models presents an innovative direction for future research. Organoids, which are three-dimensional miniaturized and simplified versions of organs, have emerged as powerful tools for studying the pathophysiology of neurodegenerative diseases. They provide a more physiologically relevant environment compared to traditional two-dimensional cell cultures, allowing for the observation of complex cellular interactions and the effects of various treatments on neuronal networks.24 The integration of computational models with organoid systems can facilitate the simulation of ion channel dynamics within these complex environments, enabling researchers to predict how alterations in ion channel function may influence neuronal behavior and disease progression. For example, modeling the interactions between ion channels and neuroinflammatory processes within organoids could yield insights into the mechanisms underlying neuronal death in PD.18 Furthermore, this combined approach could also assist in the identification of biomarkers for early diagnosis and therapeutic targets, ultimately paving the way for personalized medicine strategies in treating neurodegenerative diseases. As both organoid technology and computational modeling continue to evolve, their convergence is expected to unlock new avenues for understanding the intricate relationships between ion channel dysfunction and neurodegeneration, thereby enhancing the development of effective therapeutic interventions.\nIn conclusion, this review synthesizes current understanding of ion channel dysfunction in Parkinson’s disease, highlighting its central role in key pathogenic mechanisms including abnormal neuronal excitability, mitochondrial impairment, oxidative stress, and neuroinflammation. We have detailed how specific alterations in Nav, Kv, Kir, SK, and Cav channels, along with ligand-gated channels (e.g., P2X7 and TRPM2), disrupt the delicate electrophysiological homeostasis of dopaminergic neurons and basal ganglia circuits, thereby contributing to both motor and non-motor symptoms. A significant focus has been placed on the growing application of mathematical modeling as an indispensable tool in PD research. From single-channel kinetic models (Hodgkin-Huxley, Markov) to complex network dynamics simulations of the basal ganglia, these computational approaches provide a framework to integrate multi-scale experimental data, test mechanistic hypotheses, and predict disease progression. Such models are instrumental in optimizing existing therapies, such as deep brain stimulation, and in silico screening of novel ion channel modulators. Despite progress, challenges remain in model complexity, data integration, and the inclusion of understudied channel families and circuit-level plasticity. The future of PD research lies in fostering multidisciplinary collaborations that bridge neuroscience, pharmacology, computational biology, and clinical neurology. The integration of AI-driven analytics, advanced human cell models (iPSCs, organoids), and multiscale computational frameworks is expected to accelerate the discovery of precision therapeutics targeting ion channels, ultimately offering hope for developing more effective strategies to slow or halt the progression of this debilitating neurodegenerative disease. Overcoming the current methodological hurdles in ion channel PD research demands a concerted, multidisciplinary strategy. By fostering deeper integration across computational neuroscience, systems biology, clinical neurology, and data science, and by championing the synergistic development of multiscale models, AI-driven discovery tools, dynamic digital biomarkers, and human model system validation platforms, the field can transition from descriptive association to predictive, mechanistic understanding. This integrative approach is fundamental for accelerating the development of targeted, personalized interventions that modulate ion channel function to alter the course of PD.\n\n\n### Current research limitations\nThe study of ion channels in the context of PD has made significant strides, yet several methodological and conceptual limitations remain. A primary technical bottleneck in current research is the challenge of accurately modeling the complex dynamics of ion channel behavior in a living system. Ion channels are not only integral to neuronal excitability and neurotransmitter release but also interact with various intracellular signaling pathways that can be influenced by numerous factors, including oxidative stress and neuroinflammation.34,110 The intricate nature of these interactions complicates the establishment of a clear causal link between ion channel dysfunction and the pathophysiology of PD. Moreover, existing experimental and computational models tend to oversimplify the multifaceted roles of ion channels, neglecting the influence of cellular context and varying environmental conditions that can significantly alter ion channel function and regulatory dynamics.111\nAdditionally, ion channel research faces a significant challenge in balancing the complexity of computational models with the scale and quality of experimental data. While high-throughput techniques, such as patch-clamp electrophysiology and advanced imaging methods, have enhanced our understanding of ion channel kinetics and localization, they also generate vast amounts of data that can be difficult to interpret.112 The integration of machine learning and artificial intelligence into data analysis has shown promise in addressing this issue, yet the application of these technologies in ion channel research remains in its early stages.113 As researchers strive to develop more sophisticated models that accurately reflect the physiological and pathological states of neurons, they must also contend with the risk of overfitting models to data, which may yield misleading conclusions about the causal role of ion channels in PD.19\nFurthermore, the heterogeneity of ion channels across different cell types adds another layer of complexity. For instance, astrocytic ion channels may exhibit distinct regulatory mechanisms compared to those in neurons, which can lead to differential impacts on neuronal health and function in the context of neurodegenerative diseases.69 This variability necessitates a more nuanced approach to studying ion channels, one that considers the cellular microenvironment and the specific roles of various ion channel subtypes in PD pathology. Current research has largely focused on voltage-gated and ligand-gated channels. However, the role of background “leak” channels, such as the sodium leak channel non-selective (NALCN), in setting resting membrane potential and neuronal excitability in PD remains under-explored.114 Their potential contribution to the vulnerability of dopaminergic neurons warrants future investigation. The potential for activity-dependent modifications in the axon initial segment structure or homeostatic plasticity of intrinsic excitability in PD-afflicted circuits is an emerging area.115,116 Whether such forms of plasticity are adaptive or maladaptive in PD progression is unclear and represents a gap in current models.\n\n\n### Multidisciplinary research prospects\nThe integration of artificial intelligence (AI) and mathematical modeling into the study of ion channels in neurodegenerative diseases, particularly PD, represents a burgeoning frontier in biomedical research. AI technologies, particularly machine learning algorithms, are increasingly being employed to analyze complex datasets from electrophysiological experiments, such as those obtained through patch clamp techniques. For instance, a recent study developed an AI framework capable of classifying ion channel kinetics from whole-cell recordings with an impressive accuracy of 97.58%, demonstrating its potential to enhance the efficiency and accuracy of ion channel analysis.112 By automating the detection of anomalies and classifying ion channel behavior, researchers can significantly reduce the time and resources typically required for manual analysis. Moreover, this AI-driven approach can be applied to drug screening processes, allowing for the rapid identification of compounds that modulate ion channel activity, which is particularly relevant for neurodegenerative diseases where ion channel dysfunction is a central pathological feature.111\nAs the understanding of ion channels in neuronal excitability and neuroinflammation deepens, the synergy between AI and mathematical modeling is poised to catalyze the development of novel therapeutic strategies. Future computational frameworks must evolve toward genuine multiscale integration, seamlessly bridging data from molecular dynamics (e.g., elucidating drug-channel interactions), single-cell electrophysiology, circuit-level field potentials, and behavioral outputs.117 The role of AI will expand from analysis to active discovery. Deep learning analysis of high-content data (e.g., automated patch-clamp recording) can uncover non-linear signatures linking specific ion channel states to pathology.112 Generative AI models offer promise for de novo design of novel channel modulators with optimized properties while predicting off-target risks.118 Integrating data from wearable sensors, non-invasive neurophysiology, and other modalities could yield dynamic signatures reflecting the functional state of specific ion channel pathways in individual patients. Concurrently, there is a pressing need to bridge the translational gap by developing objective, ion channel-centric digital biomarkers. Such biomarkers would enable precise patient stratification for clinical trials, objective progression monitoring, and could inform closed-loop adjustment of therapies such as DBS.\nIn addition, the fusion of organoid technology with computational models presents an innovative direction for future research. Organoids, which are three-dimensional miniaturized and simplified versions of organs, have emerged as powerful tools for studying the pathophysiology of neurodegenerative diseases. They provide a more physiologically relevant environment compared to traditional two-dimensional cell cultures, allowing for the observation of complex cellular interactions and the effects of various treatments on neuronal networks.24 The integration of computational models with organoid systems can facilitate the simulation of ion channel dynamics within these complex environments, enabling researchers to predict how alterations in ion channel function may influence neuronal behavior and disease progression. For example, modeling the interactions between ion channels and neuroinflammatory processes within organoids could yield insights into the mechanisms underlying neuronal death in PD.18 Furthermore, this combined approach could also assist in the identification of biomarkers for early diagnosis and therapeutic targets, ultimately paving the way for personalized medicine strategies in treating neurodegenerative diseases. As both organoid technology and computational modeling continue to evolve, their convergence is expected to unlock new avenues for understanding the intricate relationships between ion channel dysfunction and neurodegeneration, thereby enhancing the development of effective therapeutic interventions.\nIn conclusion, this review synthesizes current understanding of ion channel dysfunction in Parkinson’s disease, highlighting its central role in key pathogenic mechanisms including abnormal neuronal excitability, mitochondrial impairment, oxidative stress, and neuroinflammation. We have detailed how specific alterations in Nav, Kv, Kir, SK, and Cav channels, along with ligand-gated channels (e.g., P2X7 and TRPM2), disrupt the delicate electrophysiological homeostasis of dopaminergic neurons and basal ganglia circuits, thereby contributing to both motor and non-motor symptoms. A significant focus has been placed on the growing application of mathematical modeling as an indispensable tool in PD research. From single-channel kinetic models (Hodgkin-Huxley, Markov) to complex network dynamics simulations of the basal ganglia, these computational approaches provide a framework to integrate multi-scale experimental data, test mechanistic hypotheses, and predict disease progression. Such models are instrumental in optimizing existing therapies, such as deep brain stimulation, and in silico screening of novel ion channel modulators. Despite progress, challenges remain in model complexity, data integration, and the inclusion of understudied channel families and circuit-level plasticity. The future of PD research lies in fostering multidisciplinary collaborations that bridge neuroscience, pharmacology, computational biology, and clinical neurology. The integration of AI-driven analytics, advanced human cell models (iPSCs, organoids), and multiscale computational frameworks is expected to accelerate the discovery of precision therapeutics targeting ion channels, ultimately offering hope for developing more effective strategies to slow or halt the progression of this debilitating neurodegenerative disease. Overcoming the current methodological hurdles in ion channel PD research demands a concerted, multidisciplinary strategy. By fostering deeper integration across computational neuroscience, systems biology, clinical neurology, and data science, and by championing the synergistic development of multiscale models, AI-driven discovery tools, dynamic digital biomarkers, and human model system validation platforms, the field can transition from descriptive association to predictive, mechanistic understanding. This integrative approach is fundamental for accelerating the development of targeted, personalized interventions that modulate ion channel function to alter the course of PD.\n\n\n### Acknowledgments\nThis work was supported by the 10.13039/100014718National Natural Science Foundation of China (No. 82305087).\n\n\n### Author contributions\nConceptualization, R.W. and D.M.; methodology and investigation, R.W., and X.Z.; writing – original draft, R.W., X.Z., and D.M.; writing – review and editing, R.W. and D.M.; funding acquisition, Z.Z.; resources, Z.Z. and D.M.; supervision, R.W., Z.Z., and D.M.\n\n\n### Declaration of interests\nThe authors declare no competing interests.", "domain": "affective_neuroscience"}
{"source": "PMC12923540", "title": "Advancing neuroengineering with Neuromorphic Twins", "text": "# Advancing neuroengineering with Neuromorphic Twins\n\n## Abstract\nNeuromorphic engineering, originally focused on replicating the biophysics of neurons and synapses in hardware, has progressively expanded to explore novel computational principles, materials, and applications. With their unique ability to emulate brain functions, neuromorphic devices are emerging as prime candidates to advance the treatment of brain disorders, addressing the current limitations of electroceutical-based strategies, particularly their lack of flexibility and personalization. In this Perspective, we introduce and elaborate on the concept of the ‘Neuromorphic Twin’ and explain why this emerging technology is both timely and relevant. By integrating Digital Twin approaches for modelling the brain’s functions with neuromorphic engineering, Neuromorphic Twins offer the potential to address major challenges, such as dealing with brain complexity in real-time, enabling adaptive and personalized interventions, and tracking the progression of neurological diseases over time. Moreover, they can be embedded in low-power devices, thus marking a transformative shift in biomedical interventions and promising to open new frontiers for neuroengineering and brain repair. This Perspective introduces the Neuromorphic Twin, designed to emulate and interact in real time with a biological neuronal network and to co-evolve with it over time, enabling more personalized and effective treatments for brain disorders.\n\n## Full Text\n\n\n### Introduction\nBrain disorders and their debilitating effects on patients have emerged as one of the most significant public health challenges of the 21st century, and the situation will worsen in the years to come due to the ageing of the population1. In response to this pressing issue, the scientific and medical community has been actively explored neuroengineering-based alternatives, often centered on electroceutical approaches2 to treat neurological diseases or their symptoms, support rehabilitation, reduce healthcare costs, and, most importantly, improve patients’ quality of life. Significant progress has been made in the last decades, resulting in neurotechnologies such as Brain Machine/Computer Interfaces (i.e., BCI for simplicity), brain modulators and neuroprostheses able to replace and retrain either brain3,4 or somatosensory functions5–7, block seizures in epilepsy8 and relieve symptoms in neurodegenerative diseases, such as Parkinson’s9,10. Interestingly, implanted neuroprostheses, at both preclinical and clinical levels, have proven to be a promising tool for neurorehabilitation post brain11 or spinal cord injury12,13. A different type of neuroprostheses (i.e., cognitive neuroprostheses), aimed at replacing the function of damaged brain circuits in the hippocampus, have been tested in vivo14–16 and in humans17 for memory restoration. Recently, commercial initiatives such as Neuralink, founded by E. Musk (https://neuralink.com/), have also announced the implantation of BCI devices in humans, although detailed information on their intended clinical applications and scientific validation remains still limited.\nEven if important results have been achieved so far, current neuroengineering solutions still present drawbacks, including lack of flexibility and personalization, and difficulty in tracking both disease progression and/or possible side effects of the therapeutic treatment. Indeed, state-of-the-art electroceutical strategies are associated with stimulation parameters that may change over time due to the physiological process of development or ageing and with the progression of the disease, potentially resulting in a decline in stimulation effectiveness and thus requiring several sessions of manual reprogramming18.\nDigital Twin technology has recently emerged as a promising and powerful solution to tackle the above limitations19. By creating dynamic replicas, these in silico models of the brain (i.e. Virtual Brain Twins) can offer adaptable and personalized support for patients20,21, taking into account the multiscale nature of the brain22. Nevertheless, they require the collection of several data types, such as MRI and electrophysiology, and their use is currently limited to specific medical decision-making and actions, such as identifying the best location for surgery in drug-resistant epilepsy23,24 or the optimal stimulus location for Parkinson’s disease25. Importantly, Virtual Brain Twins developed so far, although dynamic and capable of simulating complex neural processes, differ from classical Digital Twin technology26–28, as they do not enable the bi-directional communication in real-time with their physical counterparts. Instead, they function as powerful predictive tools to simulate disease progression and treatment effects, possibly supporting in silico experimentation and virtual clinical trials29,30. Therefore, while valuable, this modeling approach does not provide the continuous, adaptive interaction required for treating chronic brain injuries or neurodegenerative diseases, highlighting the need for a new class of Digital Twins that can interactively co-evolve with the brain over time.\nIn this Perspective, we introduce a still nascent but potentially revolutionary technology named ‘Neuromorphic Twin’, which aims to overcome the above-mentioned limitations. The Neuromorphic Twin is a digital model designed to emulate, interact with, and adaptively co-evolve alongside a biological neural network. The biomimetic approach is central for the emulation component because the Neuromorphic Twin requires mechanistic fidelity that brain-inspired abstractions cannot provide (cf. Box 1 for more details). It integrates real-time neuromorphic hardware with adaptive software components to enable continuous bi-directional communication and long-term personalization. Its main features are: (i) real-time, bi-directional coupling with the biological system, enabling continuous information exchange; (ii) a hardware-level biomimetic emulation of neuronal and synaptic activity across neurons, synapses, and network scales; (iii) a software layer for non-real-time personalization, which periodically tunes the network topology and parameters to maintain alignment with the evolving biological counterpart.\nNeuromorphic engineering was initially conceived as an interdisciplinary field, aiming at building hardware systems by mimicking the intricate biophysics of real neurons and synapses31. Recent advancements have expanded its horizons, exploring novel computational principles, materials, and applications32–37. With their unique ability to emulate even complex brain functions, neuromorphic devices emerge as the prime candidates for the realization of physical (i.e., hardware) neural digital twins. The term Neuromorphic Twin is not entirely new, as it has been recently used in contexts such as system and communication engineering38,39. Within the field of neuroengineering, the neuromorphic components and means to create the Neuromorphic Twins are partially in place40–43 and some ideas have been introduced, even mentioning the term itself44,45. However, the holistic integration and vision that would bring the Neuromorphic Twins to fruition within the neuroengineering context is currently lacking. Indeed, only a few concrete examples exist to date46–49. Inspired by the use of neuromorphic technology for biomimetic stimulation to restore sensations49, we foresee that a similar strategy could be expanded to create Neuromorphic Twins capable of restoring neural functions to a broader extent. This technology can also benefit from Artificial Intelligence (AI), which would form the software core of the twin, allowing it to adaptively track and co-evolve with the brain’s dynamics over extended timescales. This is the central aim of this Perspective, which is organized as follows. First, we describe the hardware and software architecture of the Neuromorphic Twin, emphasizing the critical real-time bi-directional communication between the Neuromorphic Twin and the brain network(s). The closed-loop interaction with the living brain, mirroring the way industrial digital twins continuously communicate with their physical counterparts, is a key aspect of the Neuromorphic Twin. Moreover, the tight integration of software and hardware components is fundamental to its functioning, enabling it to operate as a dynamic extension of the brain. Therefore, we present applications for this technology, focusing on its potential impact on healthcare and on the development of biohybrid intelligence, which could represent a crucial driver for the next generation of AI. Finally, we propose a roadmap for the adoption of the Neuromorphic Twin technology, outlining future challenges, a prospective timeline, and ethical considerations.\nWe are confident that this technology has the potential to advance biomedical interventions by driving a global therapeutic shift in the treatment of neural disorders, thereby representing a transformative leap forward for the field of Neuroengineering.\nNotwithstanding the recent progress and the huge impact of AI in our everyday life, current artificial systems lack the intelligence and learning capabilities of the brain. To bridge this gap, any technology aimed at emulating brain functions must focus on three key requirements: (i) replicating the anatomy and/or physiology of brain networks, (ii) guaranteeing a bi-directional, real-time communication with a living brain for continuous adaptation and (iii) prioritizing parallel brain architecture to ensure efficient, low-power solutions that move beyond conventional silicon-based methods. To address the first and the second requirements, we can leverage Digital Twin technology. For the third, we can rely on neuromorphic engineering. The combination of these approaches enables the creation of a Digital Twin that not only replicates key brain dynamic properties and their evolution over time but also continuously interacts with and is updated by the real brain. The result of this co-creation process is the ‘Neuromorphic Twin’, as schematically depicted in Fig. Box 1.\nAchieving a high level of emulation is made possible by drawing inspiration from nature through the concept of ‘biomimicry’. Biomimicry is based on the study of properties and processes of nature and adapting them to create more efficient technologies. It is an approach widely used in domains such as engineering, materials and robotics200–203. Nonetheless, biomimicry serves as the foundation for two distinct approaches: bio-inspired and biomimetic. The first draws inspiration from nature to develop novel materials and devices, whereas the second one focuses on faithfully reproducing nature. Digital twins can be considered inherently biomimetic models, as they accurately replicate their physical counterparts. Specifically, digital brain twins are now achieving remarkable levels of detail as they integrate multiscale spatial and temporal dimensions to reproduce the brain’s intrinsic complexity22. Building on this foundation, the Neuromorphic Twin aspires to replicate this complexity, offering a new paradigm for modeling brain function for real-time, continuous interaction. Although the Neuromorphic Twin primarily models electrical behavior, anatomical and physiological aspects can be integrated through the emulation of either structural or functional connectivity or both204,205. Examples of such an approach for neuromorphic emulation have been recently proposed in the literature, for modelling the somatosensory cortex48 and the central pattern generators in the spinal cord206. This raises an important question: is this level of emulation actually necessary in the Neuromorphic Twin?\nEmulation through biomimetic modelling is grounded on the theory that replicating the natural topology and/or dynamics of a biological system can enable more natural and intuitive interactions with its physical counterpart. This idea was explored in the literature for biomimetic stimulation within neuroprosthetics applications120,207. Indeed, biomimetic neural firing patterns generated by neuromorphic hardware have been recently proposed and exploited to evoke more natural and intuitive sensations49,159,208. Along the same line of thinking, we pose that neuromorphic technology can be a unique means to both provide models able to emulate the natural neural dynamics of different neurons embedded into brain networks as well as to learn and adapt to different inputs over time49. To this end, it constitutes not only the best approach to emulate brain functions but also to interact in real-time with the brain itself.Figure Box 1. From Digital to Neuromorphic Twin. A. The concept of Neuromorphic Twin emerges from the integration of two technologies: Digital Twin (green panel, on the top left) and Neuromorphic Engineering (blue panel, on the top right). The Digital Twin allows to create virtual (software), biomimetic replicas of physical systems like neuronal networks, neural tissue, or the entire brain, making it ideal for studying and predicting both physiological (e.g., aging) and pathological processes (e.g., neurodegenerative diseases). Neuromorphic engineering, on the other hand, enables the physical (hardware) implementation of neuronal networks, mostly leveraging the brain’s parallel computing capabilities, its intrinsic learning and plasticity principles. The Neuromorphic Twin (green-to-blue gradient panel, on the bottom) integrates advantages from both technologies, allowing the implementation of a biomimetic hardware replication of neuronal networks according to the principles of neuromorphic computing but evolving over time and continuously interacting with their physical counterpart (not represented in the cartoon), as done in Digital Twins. B. A graphical representation of the progress of intelligent systems, from the natural brain (i.e., the biological system) to the digital brain twin (i.e., software system) to the Neuromorphic Twin (i.e., integration of software and hardware), which will evolve over time thanks to the bi-directional interaction with a living brain.\nFigure Box 1. From Digital to Neuromorphic Twin. A. The concept of Neuromorphic Twin emerges from the integration of two technologies: Digital Twin (green panel, on the top left) and Neuromorphic Engineering (blue panel, on the top right). The Digital Twin allows to create virtual (software), biomimetic replicas of physical systems like neuronal networks, neural tissue, or the entire brain, making it ideal for studying and predicting both physiological (e.g., aging) and pathological processes (e.g., neurodegenerative diseases). Neuromorphic engineering, on the other hand, enables the physical (hardware) implementation of neuronal networks, mostly leveraging the brain’s parallel computing capabilities, its intrinsic learning and plasticity principles. The Neuromorphic Twin (green-to-blue gradient panel, on the bottom) integrates advantages from both technologies, allowing the implementation of a biomimetic hardware replication of neuronal networks according to the principles of neuromorphic computing but evolving over time and continuously interacting with their physical counterpart (not represented in the cartoon), as done in Digital Twins. B. A graphical representation of the progress of intelligent systems, from the natural brain (i.e., the biological system) to the digital brain twin (i.e., software system) to the Neuromorphic Twin (i.e., integration of software and hardware), which will evolve over time thanks to the bi-directional interaction with a living brain.\nNotwithstanding the recent progress and the huge impact of AI in our everyday life, current artificial systems lack the intelligence and learning capabilities of the brain. To bridge this gap, any technology aimed at emulating brain functions must focus on three key requirements: (i) replicating the anatomy and/or physiology of brain networks, (ii) guaranteeing a bi-directional, real-time communication with a living brain for continuous adaptation and (iii) prioritizing parallel brain architecture to ensure efficient, low-power solutions that move beyond conventional silicon-based methods. To address the first and the second requirements, we can leverage Digital Twin technology. For the third, we can rely on neuromorphic engineering. The combination of these approaches enables the creation of a Digital Twin that not only replicates key brain dynamic properties and their evolution over time but also continuously interacts with and is updated by the real brain. The result of this co-creation process is the ‘Neuromorphic Twin’, as schematically depicted in Fig. Box 1.\nAchieving a high level of emulation is made possible by drawing inspiration from nature through the concept of ‘biomimicry’. Biomimicry is based on the study of properties and processes of nature and adapting them to create more efficient technologies. It is an approach widely used in domains such as engineering, materials and robotics200–203. Nonetheless, biomimicry serves as the foundation for two distinct approaches: bio-inspired and biomimetic. The first draws inspiration from nature to develop novel materials and devices, whereas the second one focuses on faithfully reproducing nature. Digital twins can be considered inherently biomimetic models, as they accurately replicate their physical counterparts. Specifically, digital brain twins are now achieving remarkable levels of detail as they integrate multiscale spatial and temporal dimensions to reproduce the brain’s intrinsic complexity22. Building on this foundation, the Neuromorphic Twin aspires to replicate this complexity, offering a new paradigm for modeling brain function for real-time, continuous interaction. Although the Neuromorphic Twin primarily models electrical behavior, anatomical and physiological aspects can be integrated through the emulation of either structural or functional connectivity or both204,205. Examples of such an approach for neuromorphic emulation have been recently proposed in the literature, for modelling the somatosensory cortex48 and the central pattern generators in the spinal cord206. This raises an important question: is this level of emulation actually necessary in the Neuromorphic Twin?\nEmulation through biomimetic modelling is grounded on the theory that replicating the natural topology and/or dynamics of a biological system can enable more natural and intuitive interactions with its physical counterpart. This idea was explored in the literature for biomimetic stimulation within neuroprosthetics applications120,207. Indeed, biomimetic neural firing patterns generated by neuromorphic hardware have been recently proposed and exploited to evoke more natural and intuitive sensations49,159,208. Along the same line of thinking, we pose that neuromorphic technology can be a unique means to both provide models able to emulate the natural neural dynamics of different neurons embedded into brain networks as well as to learn and adapt to different inputs over time49. To this end, it constitutes not only the best approach to emulate brain functions but also to interact in real-time with the brain itself.Figure Box 1. From Digital to Neuromorphic Twin. A. The concept of Neuromorphic Twin emerges from the integration of two technologies: Digital Twin (green panel, on the top left) and Neuromorphic Engineering (blue panel, on the top right). The Digital Twin allows to create virtual (software), biomimetic replicas of physical systems like neuronal networks, neural tissue, or the entire brain, making it ideal for studying and predicting both physiological (e.g., aging) and pathological processes (e.g., neurodegenerative diseases). Neuromorphic engineering, on the other hand, enables the physical (hardware) implementation of neuronal networks, mostly leveraging the brain’s parallel computing capabilities, its intrinsic learning and plasticity principles. The Neuromorphic Twin (green-to-blue gradient panel, on the bottom) integrates advantages from both technologies, allowing the implementation of a biomimetic hardware replication of neuronal networks according to the principles of neuromorphic computing but evolving over time and continuously interacting with their physical counterpart (not represented in the cartoon), as done in Digital Twins. B. A graphical representation of the progress of intelligent systems, from the natural brain (i.e., the biological system) to the digital brain twin (i.e., software system) to the Neuromorphic Twin (i.e., integration of software and hardware), which will evolve over time thanks to the bi-directional interaction with a living brain.\nFigure Box 1. From Digital to Neuromorphic Twin. A. The concept of Neuromorphic Twin emerges from the integration of two technologies: Digital Twin (green panel, on the top left) and Neuromorphic Engineering (blue panel, on the top right). The Digital Twin allows to create virtual (software), biomimetic replicas of physical systems like neuronal networks, neural tissue, or the entire brain, making it ideal for studying and predicting both physiological (e.g., aging) and pathological processes (e.g., neurodegenerative diseases). Neuromorphic engineering, on the other hand, enables the physical (hardware) implementation of neuronal networks, mostly leveraging the brain’s parallel computing capabilities, its intrinsic learning and plasticity principles. The Neuromorphic Twin (green-to-blue gradient panel, on the bottom) integrates advantages from both technologies, allowing the implementation of a biomimetic hardware replication of neuronal networks according to the principles of neuromorphic computing but evolving over time and continuously interacting with their physical counterpart (not represented in the cartoon), as done in Digital Twins. B. A graphical representation of the progress of intelligent systems, from the natural brain (i.e., the biological system) to the digital brain twin (i.e., software system) to the Neuromorphic Twin (i.e., integration of software and hardware), which will evolve over time thanks to the bi-directional interaction with a living brain.\n\n\n### Architecture of the Neuromorphic Twin\nThe Neuromorphic Twin relies on an architecture composed of three main elements (Fig. 1), two implemented in hardware and one in software. In this section, we first focus on the hardware for neural feature extraction (cf., “Hardware-based signal processing”), we then describe the hardware biomimetic network component (cf., “Hardware biomimetic network”), we present the software module for automatic tuning of the network parameters (cf., “Software automatic tuning”) and finally we describe the interaction among all these elements (cf., “Communication between interconnected layers”).Fig. 1Main components of the Neuromorphic Twin and its closed-loop interaction with a living brain.Neural recording. Electrodes from an implanted multichannel probe capture single neuron activity across one or more brain regions. The acquired analog signals constitute the input for the Neuromorphic Twin. Neuromorphic Twin. The Neuromorphic Twin consists of three main blocks. Starting from the neural measurements coming from the implanted brain, all feature extractions (e.g., sorted spikes) from the recording channels are performed by the signal-processing hardware (typically, Spiking Neural Network (SNN)-based) and then sent as input to both the biomimetic-network hardware and the software for automatic tuning blocks. The biomimetic network, implemented as an SNN and configured offline, emulates the brain network(s) and reproduces the neuronal activity at the single neuron level, operating in real time to maintain a closed-loop interaction with the biological brain. To personalize and accurately replicate the biological component, the SNN output is also fed into the automatic-tuning software block, which uses ANN (Artificial Neural Network)/SNN-based optimization to adjust the model parameters and plasticity rules online, enabling adaptive tuning in response to the current state of the brain. This update does not need to operate in real-time; a delay of minutes or even hours/days is sufficient for rewiring the biomimetic SNN’s network and the topology. Adaptive Stimulation. The digital output of the Neuromorphic Twin, directly coming from the biomimetic SNN, consists of a train of events through which adaptive, personalized stimulation is generated to treat the impaired brain network(s).\nNeural recording. Electrodes from an implanted multichannel probe capture single neuron activity across one or more brain regions. The acquired analog signals constitute the input for the Neuromorphic Twin. Neuromorphic Twin. The Neuromorphic Twin consists of three main blocks. Starting from the neural measurements coming from the implanted brain, all feature extractions (e.g., sorted spikes) from the recording channels are performed by the signal-processing hardware (typically, Spiking Neural Network (SNN)-based) and then sent as input to both the biomimetic-network hardware and the software for automatic tuning blocks. The biomimetic network, implemented as an SNN and configured offline, emulates the brain network(s) and reproduces the neuronal activity at the single neuron level, operating in real time to maintain a closed-loop interaction with the biological brain. To personalize and accurately replicate the biological component, the SNN output is also fed into the automatic-tuning software block, which uses ANN (Artificial Neural Network)/SNN-based optimization to adjust the model parameters and plasticity rules online, enabling adaptive tuning in response to the current state of the brain. This update does not need to operate in real-time; a delay of minutes or even hours/days is sufficient for rewiring the biomimetic SNN’s network and the topology. Adaptive Stimulation. The digital output of the Neuromorphic Twin, directly coming from the biomimetic SNN, consists of a train of events through which adaptive, personalized stimulation is generated to treat the impaired brain network(s).\nA key feature of the Neuromorphic Twins lies in their ability to process and decode neural signals in real-time, enabling feedback that can modulate or replace neural functions within a closed-loop architecture36. This process poses several technological challenges, particularly the requirement for rapid and complex computation of extensive data, along with the extraction of meaningful features for stimulation control50. Indeed, current acquisition systems allow to record from a large number of electrodes (Fig. 1, Neural Recording block), i.e., hundreds up to thousands at the same time, both in vivo51–53 and in humans54,55. To tackle these challenges, the integration of neuromorphic-based systems for edge computing functions, such as detection and classification of neural events, can greatly enhance the overall performance of the Neuromorphic Twins (Fig. 1, Neuromorphic Twin–Hardware for signal processing).\nTo date, real-time neural processing remains limited by the lack of fully unsupervised algorithms capable of handling large volumes of neural data autonomously. While Deep Learning (DL) has shown impressive performance in pattern recognition tasks with large labeled datasets, its applicability in real-time, closed-loop neural interfaces is hindered by its dependence on labeled data and high computational demands, often requiring specialized hardware such as GPUs. These constraints make DL unsuitable for closed-loop neuro-engineering applications, where rapid calibration (within minutes) and millisecond-level adaptive stimulation are essential. In contrast, Spiking Neural Networks (SNNs) offer a compelling alternative. Their event-based processing makes them particularly well-suited for real-time analysis of neuronal signals. SNNs rely on biologically inspired plasticity rules like Spike-Timing-Dependent Plasticity (STDP) and often require fewer parameters and less data to train than conventional DL models. Several neuromorphic circuit architectures have already been developed to extract specific features of interest directly from neural signals. These circuits operate at the hardware level to perform low-latency, energy-efficient processing by mimicking the biophysics of neural computation. For instance, implementations of circuits such as event-driven edge detectors, adaptive threshold spike detectors, or temporal correlation filters have been used for real-time spike detection, burst classification in multi-electrode recordings56. Recent studies have demonstrated the efficacy of SNNs in real-time detection and classification of neural activity57–61, showing their potential to autonomously self-configure using local learning rules to recognize hidden patterns in data. Table 1 reports the various applications of SNNs for detecting and classifying different forms of biological events, such as spikes, spike trains, Local Field Potentials (LFPs), and even Electrocorticogram (ECoG) and Electroencephalography (EEG) signals.Table 1SNN-based detection and classificationSignalSpikeSpike trainsLFPECoGEEGAudioTemplateSNN-based platformSoC with FPGAMicrocontrollerAnalog chip NET-TENAnalog chip DYNAP-SEAnalog chip DYNAP-SE and FPGASimulationApplicationSpike sortingHidden pattern of spikesEpileptic seizuresEpileptic patternHigh Frequency OscillationsVocal patternReference6717866605865The table outlines the current state of the art in neural detection and classification based on the use of SNN across multiple scales, from spikes to EEG and ECoG, including LFPs. The type of platforms (i.e., analog, using ASICs, digital, typically FPGA-based, or hybrid) and the primary neural applications are also provided, as well as the literature references. All the reported publications are very recent, highlighting the utility and efficiency of hardware-based SNNs for these applications.\nSNN-based detection and classification\nThe table outlines the current state of the art in neural detection and classification based on the use of SNN across multiple scales, from spikes to EEG and ECoG, including LFPs. The type of platforms (i.e., analog, using ASICs, digital, typically FPGA-based, or hybrid) and the primary neural applications are also provided, as well as the literature references. All the reported publications are very recent, highlighting the utility and efficiency of hardware-based SNNs for these applications.\nDespite their promise, practical implementations of neuromorphic systems (Table 1), especially SNNs, face challenges in scaling to large numbers of parallel channels. Current implementations often remain limited to a small number of channels62,63. However, the coupling of analog-mixed signal (AMS) circuits with the high parallelism of Field Programmable Gate Arrays (FPGAs) offers a promising path forward. Particularly, FPGA-based System-on-Chip (SoC) architecture combining real-time hardware processing with Linux-based software environments provide an adaptable platform capable of real-time tuning for the Neuromorphic Twin. These advances not only enable detection but also allow sophisticated classification of spatiotemporal patterns, such as spike sorting64, vocal65 or neuropathological66 patterns (e.g., epileptic seizures), which are crucial for understanding neural dynamics and guiding the Neuromorphic Twin’s response.\nFor example, in spike sorting, a fundamental task in neural signal processing aimed at identifying the actual sources of the acquired neuronal signals, SNNs can detect and classify spikes from raw extracellular recordings. A simple SNN architecture67, comprising layers for signal encoding, pattern detection, and classification, uses STDP and low-threshold spiking (LTS) neurons to learn and recognize spike patterns efficiently (Fig. 2). This architecture processes raw input without requiring precise spike timing, ensuring no events are missed, and achieves real-time classification across multiple channels using only minimal FPGA resources (e.g., <6% LUT and <15% URAM on the Kria KR260 SoC). Unlike traditional spike sorting pipelines, which cannot scale efficiently to multi-channel real-time processing, this SNN-based approach provides a lightweight, parallelizable, and energy-efficient solution—ideal for embedded neuromorphic applications such as the Neuromorphic Twin. Still, challenges remain in scaling these models further while maintaining low power consumption and unsupervised learning capabilities, particularly for complex time-varying pattern extraction.Fig. 2SNN-based spike sorting.Description of a Spiking Neural Network (SNN) -based algorithm for spike sorting. Each layer is used for completing the three main tasks of classical spike sorting: spike detection, feature extraction, and clustering. Figure 2 is reproduced with permission from ref. 67, copyright 2024, IEEE.\nDescription of a Spiking Neural Network (SNN) -based algorithm for spike sorting. Each layer is used for completing the three main tasks of classical spike sorting: spike detection, feature extraction, and clustering. Figure 2 is reproduced with permission from ref. 67, copyright 2024, IEEE.\nTo emulate neural dynamics in the brain, several neuroscience-inspired computational structures can be used. Winner-Take-All (WTA) circuits with lateral inhibition capture aspects of sensory cortex competition68; canonical microcircuits simplify the organization of various cortical regions69,70, Central Pattern Generators (CPGs)71, and Kuramoto oscillators72 model rhythmic or oscillatory behavior; and Liquid State Machines (LSMs) reproduce recurrent cortical dynamics73. These models are attractive because they allow fast implementation and tuning on microcontrollers.\nFor the initial biomimetic implementation of the Neuromorphic Twin, Artificial Neural Networks (ANNs) can serve as a practical starting point. ANNs provide an efficient computational framework capable of reproducing certain aspects of neural processing. They are widely used for tasks such as image recognition, classification, or facial identification through Feedforward Neural Networks (FNNs)74 or Convolutional Neural Networks (CNNs)75. For example, Kheradpisheh et al.76 demonstrated STDP-based CNNs for object recognition. Recurrent Neural Networks (RNNs)77, on the other hand, support applications involving sequential data, such as speech recognition or time-series prediction. However, despite these advances78, traditional ANNs remain fundamentally limited for biologically realistic modeling. They are optimized for specific computational tasks rather than for reproducing the fine-grained temporal and biophysical dynamics of real neurons. In particular, they do not naturally encode or exploit temporal information, which is essential for implementing biologically plausible unsupervised learning rules. These limitations have motivated the development of Spiking Neural Networks (SNNs), which emulate neuronal communication through discrete action potentials79. By capturing both spatial and temporal aspects of neural activity, SNNs provide a more faithful representation of biological neuronal networks than conventional ANNs. This is achieved through sophisticated neural connectivity patterns and plasticity mechanisms that reflect the brain’s natural processes. Unsupervised learning remains one of the most biologically plausible and computationally efficient strategies for training SNNs, making it particularly well-suited for neuromorphic systems. Among the most prominent mechanisms is STDP, a local rule that adjusts synaptic weights based solely on the relative timing of spikes, enabling networks to autonomously discover and encode meaningful spatiotemporal patterns in the input data. Such learning rules operate without the need for labeled datasets or global error signals, aligning naturally with the architecture and operational constraints of neuromorphic hardware. As highlighted in these review articles80,81, unsupervised plasticity mechanisms enable continual learning, adaptability, and low-power consumption in embedded systems.\nA table comparing the advantages and disadvantages of both ANNs and SNNs, and the best choice for each criterion for the Neuromorphic Twin technology, is reported below (cf. Table 2). Table 2 highlights that, aside from learning and implementation criteria, SNNs emerge as the most suitable candidate for biomimetic emulation. While ANNs currently have an advantage in terms of learning algorithms and ease of implementation, this gap is expected to narrow over time as SNN frameworks continue to evolve.Table 2Comparison between ANN and SNN based on different criteriaCriteriaANNSNNNeuromorphic twinBiomimicryFar from biologyClose to biological principlesSNNLearningMany techniques (backpropagation)More complex learning rules (STDP)ANNApplicationsVision, image processingRobotics, BMISNNRobustnessSensitive to perturbationsRobust to noise and perturbationsSNNImplementationAdvanced tools (PyTorch, Tensorflow)Difficult and time-consumingANNEnergyHigh power consumptionLow power consumptionSNNReal-timeChallengingEfficientSNNPlatformConventional CPU or GPUNeuromorphic platforms (Loihi, etc.) or custom hardwareSNN\nComparison between ANN and SNN based on different criteria\nIn terms of emulation of biological networks, SNNs can operate in real-time, providing a sufficiently high level of biological coherence to accurately depict and mimic the dynamics of biological networks82. They are able to autonomously evolve through learning and plasticity rules83,84, similar to how the brain learns through experience. This is achieved through specific rules that allow the network to change its structure or function based on what it learns. Because of this, SNNs can improve their performance on their own, without needing to be reprogrammed. SNNs can also model different types of neurons and their interactions, which is important for accurately simulating the complex dynamics of the brain, where different neurons have specialized roles. Additionally, SNNs are good at capturing both where neurons are located and how they connect (spatial organization), as well as the timing of their signals (temporal organization). This makes them particularly useful for tasks that involve understanding patterns over time and space. Hardware SNNs employ generic biological parameters for updating the neural model and aim at emulating biological neural networks as accurately as possible in experiments. The use of complex models that closely mimic biology and have the same parameters allows for easier communication and interactions with neuroscientists. In particular, conductance-based models (see Table 3) such as the Hodgkin-Huxley type allow for precise identification of neuron parameters like the equilibrium voltage by biologists, thereby facilitating smooth interdisciplinary communication between designers and biologists. Furthermore, for emulation purposes and especially for reproducing neurological diseases, conductance-based models are essential, as certain disorders, such as ALS, involve dysfunctions at the level of ionic currents. Finally, since our goal is to replicate brain function, the backpropagation plasticity rule is not compatible with biological reality. We therefore turn to biologically plausible forms of plasticity, such as STDP or Hebbian learning.Table 3Comparison of various neuronal models based on the biological fidelity of the neuron, synapse, and plasticity rulesNeuron modelIFLIFIzhikevichAdEx I&FFitzHugh-NagumoHindmarsh-RoseMorris-LecarHodgkin-HuxleyHigh biological fidelity of the neuron modelXXXXXXOOSynapse modelCurrent-BasedConductance-basedHigh biological fidelity of the synapse modelXOPlasticity ruleBackpropagationSTDP, Hebbian learningHigh biological fidelity of the plasticity ruleXOThe O indicates the inclusion of the corresponding property, while the X denotes its absence.\nComparison of various neuronal models based on the biological fidelity of the neuron, synapse, and plasticity rules\nThe O indicates the inclusion of the corresponding property, while the X denotes its absence.\nThe choice then remains between single or multi-compartment models to reproduce the topology and the various interactions between neurons. Single-compartment models, such as the Hodgkin-Huxley model85, allow for high prediction rates of action potentials and biophysical coherence86. Several cortical simulations exist, particularly using specialized software such as NEURON and NEST. However, real-time execution is generally not achieved, except in rare cases using huge GPU system87 or supercomputers88, which are incompatible with the Neuromorphic Twin approach in terms of cost and embedded system.\nMulticompartmental models offer a more comprehensive and biologically realistic approach, thus providing deeper insights into neuronal function and information processing. It is particularly important as regions such as dendrites are the center of vital computations linked to their spatial morphology89 and are affected by some neurodegenerative diseases like Amyotrophic Lateral Sclerosis -ALS90. Multicompartmental modeling also allows the investigation of the role of dendrites in neurons. They are also known to display physiological and morphological abnormalities during postnatal development in motor neurons with ALS91. However, there are still few real-time multicompartmental neuron implementations in the state of the art92.\nSeveral commercial neuromorphic systems have emerged in the recent years. Neuromorphic chips, such as Intel’s Loihi and IBM’s TrueNorth93, are designed to execute SNNs more efficiently than traditional processors by mimicking neuronal and synaptic structures. However, these chips were primarily developed for SNN-based processing rather than for reproducing and emulating biological systems. Notably, they lack support for complex neuronal models. The most well-known hardware systems are SpiNNaker, a digital hardware platform, and BrainScaleS, an analog hardware platform, both developed during the Human Brain Project. Some real-time implementations have successfully replicated cortical models94–96. Recent articles show some interesting results in real-time emulation of biological networks. The Neurogrid system, which is a hybrid analog-digital architecture that simulates various cortical cell types and dentritic effects97,98. BioemuS system99 emulates with high precision 1000 HH neurons and millions of synapses for brain organoid emulation. DYNAP-SE2100 implements 1024 AdEx I&F neurons for part of somatosensory cortex.\nSeveral technologies can be used to implement these SNNs in hardware. They can be analog, digital, or a combination of both. However, emerging technologies could be the next target, particularly for synapses and plasticity. Indeed, spintronic101,102 and memristor103,104 technologies enable reduced power consumption and a smaller implementation footprint. Moreover, these systems inherently integrate both synapses and plasticity. However, these technologies are not yet mature enough for easy integration with analog or digital neurons. The challenge with these models remains their implementation, which requires significant hardware resources while maintaining real-time computation. The substantial number of parameters that require tuning also poses a problem. Leveraging AI to efficiently explore the parameter space can greatly accelerate the discovery of optimal network parameters that accurately replicate biological dynamics. Consequently, the Neuromorphic Twin and the biological network will establish a connection facilitating mutual adaptation, learning, and self-correction (Fig. 1 - Software automatic Tuning and section “Hardware biomimetic network”). Being intrinsically adaptive, the Neuromorphic Twin can thus naturally follow the evolution of the biological neural network and take the corrective action to counterbalance disease progression, by delivering the electrical therapy with the updated stimulation parameters.\nTo design the Neuromorphic Twin, the biomimetic SNN must be able to adapt over time. The objective is therefore to continuously adjust the network’s dynamics based on biological recordings. To achieve this, several optimization algorithms can be used, including metaheuristic algorithms, Bayesian optimization, and gradient descent. Table 4 presents the advantages and disadvantages of the different possible methods.Table 4Advantages and disadvantages of the different algorithms for SNN optimization parameters (excluding unsupervised methods such as STDP) for Neuromorphic Twin applicationsMethodAdvantagesDisadvantagesSurrogate Gradient Descent179Allows the use of backpropagation techniques. Fast and efficient optimization with labeled data.Requires an approximation of spike gradients. Less biologically plausible than other methods.Evolutionary Optimization (DE, ES)180Does not require gradients. Excellent exploration of the parameter space.High computational cost. Slower convergence compared to gradient-based methods.Particle Swarm Optimization (PSO)181Simple to implement. Good exploration-exploitation balance.Less effective for very large parameter spaces.Bayesian Optimization182Works well with few evaluations. Effective for hyperparameter tuning.Less suitable for highly dynamic systems like a real time trained SNN\nAdvantages and disadvantages of the different algorithms for SNN optimization parameters (excluding unsupervised methods such as STDP) for Neuromorphic Twin applications\nThe objective is to readjust the dynamics in case of a significant change in the biological network, while not knowing the future dynamics in advance. Table 4 shows that optimizing the parameters of an SNN using evolutionary algorithms is an effective approach to reproducing the spike frequencies of a biological network. Among these algorithms, Particle Swarm Optimization (PSO) is particularly well-suited for small-scale SNNs, as is the case for the Neuromorphic Twin, offering fast convergence and easy embedded implementation, although it may be sensitive to local optima. For more complex models, Evolution Strategies (ES) provide a robust alternative, capable of handling a large number of parameters and well-suited for execution on GPUs, TPUs, or FPGAs. On the other hand, Differential Evolution (DE) is useful for exploring complex parameter spaces, but it converges more slowly. However, the resources required for implementation and the simulation time are significant. Thus, it is necessary to carefully consider which software/hardware platform and programming language will be most effective.\nFor software implementation, frameworks such as PyTorch105 (used via Norse or Tonic) and SpikingJelly106 are well-suited for SNN optimization, because they support GPU-based parallel computation and biomimetic learning algorithms such as STDP. In contrast, PyNN107 is mainly designed for simulating biologically realistic SNNs on platforms such as NEST and NEURON, making it less relevant for our Neuromorphic Twin application.\nAs previously discussed, the Neuromorphic Twin already includes SNNs for signal processing and the replication of biological networks. The choice of hardware for implementing these algorithms can be based on: (i) FPGAs, which offer high performance but require a very long development time; (ii) GPUs or AI SoCs, which provide more flexible software execution but are less optimized for low latencies and get less I/Os; (iii) neuromorphic chips like Loihi108 and Akida109, which are well-suited for SNNs with bio-inspired learning rules, although native support for ES or PSO is limited. A hybrid approach would involve training the SNN with PSO or ES in PyTorch or SpikingJelly on a GPU, then exporting it to an FPGA or neuromorphic chip for embedded execution. This solution combines efficient optimization and embedded system, making it ideal for integration into a biological setup. Recent articles are using optimization algorithms based on DE110,111 or Bayesian optimization112 implemented on GPU for the hyperparameter optimization of SNN. Ethernet or SPI communication can be used from the GPU to the SoC FPGA device.\nIn the previous sections, we introduced the three interconnected layers of the Neuromorphic Twin (Fig. 1): the signal processing module (cf. “Hardware biomimetic network”), the emulation module (cf. “Hardware biomimetic network”), and the optimization layer for parameter tuning (cf. “Software automatic tuning”).\nThe signal processing block acts as an edge-level preprocessor (edge computing), implemented on FPGA-SoC platforms or through mixed-signal analog–digital neuromorphic circuits (Fig. 1, green box). It runs algorithms for neural signal feature extraction, such as spike detection, burst classification, and spectral estimation, in real time, achieving latencies on the order of 1 ms for event detection and ~10 ms for classification. The extracted features are transmitted directly to the emulation module (Fig. 1, blue box), which hosts the biomimetic SNN hardware reproducing the dynamics of biological neural networks in real time (approximately 100 µs to emulate synaptic and ionic current dynamics). Using SNN-based architectures for both the signal processing and the emulation layers (although relying on different neuronal and synaptic models) offers the advantage of co-implementing them on the same hardware platform, thereby simplifying communication protocols, reducing latency, and enabling fully embedded operations. The two hardware blocks are functionally coupled through a software optimization layer (Fig. 1, black box), based on either ANN or SNN architecture, which adaptively tunes neuronal and synaptic parameters. The latency associated with this update does not need to operate in real time; update cycles on the order of minutes/hours are sufficient since neuronal dynamic changes occur over slow timescales. Usual communications such as ZeroMQ can be used as the usual latency is around 300 µs, large enough for the update timing.\nThis three-tier co-design ensures continuous adaptation of emulation fidelity while maintaining high energy efficiency. From a system-level perspective, this hardware–software co-optimization defines the operational metrics of the Neuromorphic Twin. Real-time performance and latency are primarily governed by the hardware interface between the signal processing unit and the SNN core, where analog front-ends enable fast feature encoding, while FPGA or neuromorphic ASICs handle large-scale parallel computation. High-bandwidth interconnects, such as AXI buses between microcontrollers and FPGAs or Ethernet links between recording and stimulation systems, can be leveraged to sustain low-latency real-time communication (range of 40 µs for an AXI DMA in loopback clocked at 200 MHz113).\nEnergy efficiency and scalability depend on the hardware technology choice: hybrid analog–digital architectures typically achieve one to two orders of magnitude higher energy efficiency than GPU-based simulations. For reference, the average power consumption of SNNs on FPGA is in the range of 3 W for the emulation part on a KR260 kit99. Therefore, the selection of the FPGA target defines the trade-off between energy efficiency, flexibility, and embedded capability. A future ASIC can be designed to optimized performances.\nOverall, the Neuromorphic Twin demonstrates how hardware–software co-optimization can bridge low-level signal processing with high-level biomimetic computation. The interplay between analog neuromorphic circuits, FPGA-based SNN acceleration, and evolutionary software adaptation defines the main design trade-offs in terms of real-time capability, power efficiency, and scalability. These considerations are central to advancing neuromorphic hardware for next-generation brain–machine interfaces and digital twins of the nervous system. Finally, this hierarchical co-design enables the Neuromorphic Twin to maintain long-term biologically faithful personalization of neural emulation without compromising its real-time responsiveness, a prerequisite for future clinical and biohybrid applications.\n\n\n### Hardware-based signal processing\nA key feature of the Neuromorphic Twins lies in their ability to process and decode neural signals in real-time, enabling feedback that can modulate or replace neural functions within a closed-loop architecture36. This process poses several technological challenges, particularly the requirement for rapid and complex computation of extensive data, along with the extraction of meaningful features for stimulation control50. Indeed, current acquisition systems allow to record from a large number of electrodes (Fig. 1, Neural Recording block), i.e., hundreds up to thousands at the same time, both in vivo51–53 and in humans54,55. To tackle these challenges, the integration of neuromorphic-based systems for edge computing functions, such as detection and classification of neural events, can greatly enhance the overall performance of the Neuromorphic Twins (Fig. 1, Neuromorphic Twin–Hardware for signal processing).\nTo date, real-time neural processing remains limited by the lack of fully unsupervised algorithms capable of handling large volumes of neural data autonomously. While Deep Learning (DL) has shown impressive performance in pattern recognition tasks with large labeled datasets, its applicability in real-time, closed-loop neural interfaces is hindered by its dependence on labeled data and high computational demands, often requiring specialized hardware such as GPUs. These constraints make DL unsuitable for closed-loop neuro-engineering applications, where rapid calibration (within minutes) and millisecond-level adaptive stimulation are essential. In contrast, Spiking Neural Networks (SNNs) offer a compelling alternative. Their event-based processing makes them particularly well-suited for real-time analysis of neuronal signals. SNNs rely on biologically inspired plasticity rules like Spike-Timing-Dependent Plasticity (STDP) and often require fewer parameters and less data to train than conventional DL models. Several neuromorphic circuit architectures have already been developed to extract specific features of interest directly from neural signals. These circuits operate at the hardware level to perform low-latency, energy-efficient processing by mimicking the biophysics of neural computation. For instance, implementations of circuits such as event-driven edge detectors, adaptive threshold spike detectors, or temporal correlation filters have been used for real-time spike detection, burst classification in multi-electrode recordings56. Recent studies have demonstrated the efficacy of SNNs in real-time detection and classification of neural activity57–61, showing their potential to autonomously self-configure using local learning rules to recognize hidden patterns in data. Table 1 reports the various applications of SNNs for detecting and classifying different forms of biological events, such as spikes, spike trains, Local Field Potentials (LFPs), and even Electrocorticogram (ECoG) and Electroencephalography (EEG) signals.Table 1SNN-based detection and classificationSignalSpikeSpike trainsLFPECoGEEGAudioTemplateSNN-based platformSoC with FPGAMicrocontrollerAnalog chip NET-TENAnalog chip DYNAP-SEAnalog chip DYNAP-SE and FPGASimulationApplicationSpike sortingHidden pattern of spikesEpileptic seizuresEpileptic patternHigh Frequency OscillationsVocal patternReference6717866605865The table outlines the current state of the art in neural detection and classification based on the use of SNN across multiple scales, from spikes to EEG and ECoG, including LFPs. The type of platforms (i.e., analog, using ASICs, digital, typically FPGA-based, or hybrid) and the primary neural applications are also provided, as well as the literature references. All the reported publications are very recent, highlighting the utility and efficiency of hardware-based SNNs for these applications.\nSNN-based detection and classification\nThe table outlines the current state of the art in neural detection and classification based on the use of SNN across multiple scales, from spikes to EEG and ECoG, including LFPs. The type of platforms (i.e., analog, using ASICs, digital, typically FPGA-based, or hybrid) and the primary neural applications are also provided, as well as the literature references. All the reported publications are very recent, highlighting the utility and efficiency of hardware-based SNNs for these applications.\nDespite their promise, practical implementations of neuromorphic systems (Table 1), especially SNNs, face challenges in scaling to large numbers of parallel channels. Current implementations often remain limited to a small number of channels62,63. However, the coupling of analog-mixed signal (AMS) circuits with the high parallelism of Field Programmable Gate Arrays (FPGAs) offers a promising path forward. Particularly, FPGA-based System-on-Chip (SoC) architecture combining real-time hardware processing with Linux-based software environments provide an adaptable platform capable of real-time tuning for the Neuromorphic Twin. These advances not only enable detection but also allow sophisticated classification of spatiotemporal patterns, such as spike sorting64, vocal65 or neuropathological66 patterns (e.g., epileptic seizures), which are crucial for understanding neural dynamics and guiding the Neuromorphic Twin’s response.\nFor example, in spike sorting, a fundamental task in neural signal processing aimed at identifying the actual sources of the acquired neuronal signals, SNNs can detect and classify spikes from raw extracellular recordings. A simple SNN architecture67, comprising layers for signal encoding, pattern detection, and classification, uses STDP and low-threshold spiking (LTS) neurons to learn and recognize spike patterns efficiently (Fig. 2). This architecture processes raw input without requiring precise spike timing, ensuring no events are missed, and achieves real-time classification across multiple channels using only minimal FPGA resources (e.g., <6% LUT and <15% URAM on the Kria KR260 SoC). Unlike traditional spike sorting pipelines, which cannot scale efficiently to multi-channel real-time processing, this SNN-based approach provides a lightweight, parallelizable, and energy-efficient solution—ideal for embedded neuromorphic applications such as the Neuromorphic Twin. Still, challenges remain in scaling these models further while maintaining low power consumption and unsupervised learning capabilities, particularly for complex time-varying pattern extraction.Fig. 2SNN-based spike sorting.Description of a Spiking Neural Network (SNN) -based algorithm for spike sorting. Each layer is used for completing the three main tasks of classical spike sorting: spike detection, feature extraction, and clustering. Figure 2 is reproduced with permission from ref. 67, copyright 2024, IEEE.\nDescription of a Spiking Neural Network (SNN) -based algorithm for spike sorting. Each layer is used for completing the three main tasks of classical spike sorting: spike detection, feature extraction, and clustering. Figure 2 is reproduced with permission from ref. 67, copyright 2024, IEEE.\n\n\n### Hardware biomimetic network\nTo emulate neural dynamics in the brain, several neuroscience-inspired computational structures can be used. Winner-Take-All (WTA) circuits with lateral inhibition capture aspects of sensory cortex competition68; canonical microcircuits simplify the organization of various cortical regions69,70, Central Pattern Generators (CPGs)71, and Kuramoto oscillators72 model rhythmic or oscillatory behavior; and Liquid State Machines (LSMs) reproduce recurrent cortical dynamics73. These models are attractive because they allow fast implementation and tuning on microcontrollers.\nFor the initial biomimetic implementation of the Neuromorphic Twin, Artificial Neural Networks (ANNs) can serve as a practical starting point. ANNs provide an efficient computational framework capable of reproducing certain aspects of neural processing. They are widely used for tasks such as image recognition, classification, or facial identification through Feedforward Neural Networks (FNNs)74 or Convolutional Neural Networks (CNNs)75. For example, Kheradpisheh et al.76 demonstrated STDP-based CNNs for object recognition. Recurrent Neural Networks (RNNs)77, on the other hand, support applications involving sequential data, such as speech recognition or time-series prediction. However, despite these advances78, traditional ANNs remain fundamentally limited for biologically realistic modeling. They are optimized for specific computational tasks rather than for reproducing the fine-grained temporal and biophysical dynamics of real neurons. In particular, they do not naturally encode or exploit temporal information, which is essential for implementing biologically plausible unsupervised learning rules. These limitations have motivated the development of Spiking Neural Networks (SNNs), which emulate neuronal communication through discrete action potentials79. By capturing both spatial and temporal aspects of neural activity, SNNs provide a more faithful representation of biological neuronal networks than conventional ANNs. This is achieved through sophisticated neural connectivity patterns and plasticity mechanisms that reflect the brain’s natural processes. Unsupervised learning remains one of the most biologically plausible and computationally efficient strategies for training SNNs, making it particularly well-suited for neuromorphic systems. Among the most prominent mechanisms is STDP, a local rule that adjusts synaptic weights based solely on the relative timing of spikes, enabling networks to autonomously discover and encode meaningful spatiotemporal patterns in the input data. Such learning rules operate without the need for labeled datasets or global error signals, aligning naturally with the architecture and operational constraints of neuromorphic hardware. As highlighted in these review articles80,81, unsupervised plasticity mechanisms enable continual learning, adaptability, and low-power consumption in embedded systems.\nA table comparing the advantages and disadvantages of both ANNs and SNNs, and the best choice for each criterion for the Neuromorphic Twin technology, is reported below (cf. Table 2). Table 2 highlights that, aside from learning and implementation criteria, SNNs emerge as the most suitable candidate for biomimetic emulation. While ANNs currently have an advantage in terms of learning algorithms and ease of implementation, this gap is expected to narrow over time as SNN frameworks continue to evolve.Table 2Comparison between ANN and SNN based on different criteriaCriteriaANNSNNNeuromorphic twinBiomimicryFar from biologyClose to biological principlesSNNLearningMany techniques (backpropagation)More complex learning rules (STDP)ANNApplicationsVision, image processingRobotics, BMISNNRobustnessSensitive to perturbationsRobust to noise and perturbationsSNNImplementationAdvanced tools (PyTorch, Tensorflow)Difficult and time-consumingANNEnergyHigh power consumptionLow power consumptionSNNReal-timeChallengingEfficientSNNPlatformConventional CPU or GPUNeuromorphic platforms (Loihi, etc.) or custom hardwareSNN\nComparison between ANN and SNN based on different criteria\nIn terms of emulation of biological networks, SNNs can operate in real-time, providing a sufficiently high level of biological coherence to accurately depict and mimic the dynamics of biological networks82. They are able to autonomously evolve through learning and plasticity rules83,84, similar to how the brain learns through experience. This is achieved through specific rules that allow the network to change its structure or function based on what it learns. Because of this, SNNs can improve their performance on their own, without needing to be reprogrammed. SNNs can also model different types of neurons and their interactions, which is important for accurately simulating the complex dynamics of the brain, where different neurons have specialized roles. Additionally, SNNs are good at capturing both where neurons are located and how they connect (spatial organization), as well as the timing of their signals (temporal organization). This makes them particularly useful for tasks that involve understanding patterns over time and space. Hardware SNNs employ generic biological parameters for updating the neural model and aim at emulating biological neural networks as accurately as possible in experiments. The use of complex models that closely mimic biology and have the same parameters allows for easier communication and interactions with neuroscientists. In particular, conductance-based models (see Table 3) such as the Hodgkin-Huxley type allow for precise identification of neuron parameters like the equilibrium voltage by biologists, thereby facilitating smooth interdisciplinary communication between designers and biologists. Furthermore, for emulation purposes and especially for reproducing neurological diseases, conductance-based models are essential, as certain disorders, such as ALS, involve dysfunctions at the level of ionic currents. Finally, since our goal is to replicate brain function, the backpropagation plasticity rule is not compatible with biological reality. We therefore turn to biologically plausible forms of plasticity, such as STDP or Hebbian learning.Table 3Comparison of various neuronal models based on the biological fidelity of the neuron, synapse, and plasticity rulesNeuron modelIFLIFIzhikevichAdEx I&FFitzHugh-NagumoHindmarsh-RoseMorris-LecarHodgkin-HuxleyHigh biological fidelity of the neuron modelXXXXXXOOSynapse modelCurrent-BasedConductance-basedHigh biological fidelity of the synapse modelXOPlasticity ruleBackpropagationSTDP, Hebbian learningHigh biological fidelity of the plasticity ruleXOThe O indicates the inclusion of the corresponding property, while the X denotes its absence.\nComparison of various neuronal models based on the biological fidelity of the neuron, synapse, and plasticity rules\nThe O indicates the inclusion of the corresponding property, while the X denotes its absence.\nThe choice then remains between single or multi-compartment models to reproduce the topology and the various interactions between neurons. Single-compartment models, such as the Hodgkin-Huxley model85, allow for high prediction rates of action potentials and biophysical coherence86. Several cortical simulations exist, particularly using specialized software such as NEURON and NEST. However, real-time execution is generally not achieved, except in rare cases using huge GPU system87 or supercomputers88, which are incompatible with the Neuromorphic Twin approach in terms of cost and embedded system.\nMulticompartmental models offer a more comprehensive and biologically realistic approach, thus providing deeper insights into neuronal function and information processing. It is particularly important as regions such as dendrites are the center of vital computations linked to their spatial morphology89 and are affected by some neurodegenerative diseases like Amyotrophic Lateral Sclerosis -ALS90. Multicompartmental modeling also allows the investigation of the role of dendrites in neurons. They are also known to display physiological and morphological abnormalities during postnatal development in motor neurons with ALS91. However, there are still few real-time multicompartmental neuron implementations in the state of the art92.\nSeveral commercial neuromorphic systems have emerged in the recent years. Neuromorphic chips, such as Intel’s Loihi and IBM’s TrueNorth93, are designed to execute SNNs more efficiently than traditional processors by mimicking neuronal and synaptic structures. However, these chips were primarily developed for SNN-based processing rather than for reproducing and emulating biological systems. Notably, they lack support for complex neuronal models. The most well-known hardware systems are SpiNNaker, a digital hardware platform, and BrainScaleS, an analog hardware platform, both developed during the Human Brain Project. Some real-time implementations have successfully replicated cortical models94–96. Recent articles show some interesting results in real-time emulation of biological networks. The Neurogrid system, which is a hybrid analog-digital architecture that simulates various cortical cell types and dentritic effects97,98. BioemuS system99 emulates with high precision 1000 HH neurons and millions of synapses for brain organoid emulation. DYNAP-SE2100 implements 1024 AdEx I&F neurons for part of somatosensory cortex.\nSeveral technologies can be used to implement these SNNs in hardware. They can be analog, digital, or a combination of both. However, emerging technologies could be the next target, particularly for synapses and plasticity. Indeed, spintronic101,102 and memristor103,104 technologies enable reduced power consumption and a smaller implementation footprint. Moreover, these systems inherently integrate both synapses and plasticity. However, these technologies are not yet mature enough for easy integration with analog or digital neurons. The challenge with these models remains their implementation, which requires significant hardware resources while maintaining real-time computation. The substantial number of parameters that require tuning also poses a problem. Leveraging AI to efficiently explore the parameter space can greatly accelerate the discovery of optimal network parameters that accurately replicate biological dynamics. Consequently, the Neuromorphic Twin and the biological network will establish a connection facilitating mutual adaptation, learning, and self-correction (Fig. 1 - Software automatic Tuning and section “Hardware biomimetic network”). Being intrinsically adaptive, the Neuromorphic Twin can thus naturally follow the evolution of the biological neural network and take the corrective action to counterbalance disease progression, by delivering the electrical therapy with the updated stimulation parameters.\n\n\n### Choice of neural network, synapse, and neuron models\nTo emulate neural dynamics in the brain, several neuroscience-inspired computational structures can be used. Winner-Take-All (WTA) circuits with lateral inhibition capture aspects of sensory cortex competition68; canonical microcircuits simplify the organization of various cortical regions69,70, Central Pattern Generators (CPGs)71, and Kuramoto oscillators72 model rhythmic or oscillatory behavior; and Liquid State Machines (LSMs) reproduce recurrent cortical dynamics73. These models are attractive because they allow fast implementation and tuning on microcontrollers.\nFor the initial biomimetic implementation of the Neuromorphic Twin, Artificial Neural Networks (ANNs) can serve as a practical starting point. ANNs provide an efficient computational framework capable of reproducing certain aspects of neural processing. They are widely used for tasks such as image recognition, classification, or facial identification through Feedforward Neural Networks (FNNs)74 or Convolutional Neural Networks (CNNs)75. For example, Kheradpisheh et al.76 demonstrated STDP-based CNNs for object recognition. Recurrent Neural Networks (RNNs)77, on the other hand, support applications involving sequential data, such as speech recognition or time-series prediction. However, despite these advances78, traditional ANNs remain fundamentally limited for biologically realistic modeling. They are optimized for specific computational tasks rather than for reproducing the fine-grained temporal and biophysical dynamics of real neurons. In particular, they do not naturally encode or exploit temporal information, which is essential for implementing biologically plausible unsupervised learning rules. These limitations have motivated the development of Spiking Neural Networks (SNNs), which emulate neuronal communication through discrete action potentials79. By capturing both spatial and temporal aspects of neural activity, SNNs provide a more faithful representation of biological neuronal networks than conventional ANNs. This is achieved through sophisticated neural connectivity patterns and plasticity mechanisms that reflect the brain’s natural processes. Unsupervised learning remains one of the most biologically plausible and computationally efficient strategies for training SNNs, making it particularly well-suited for neuromorphic systems. Among the most prominent mechanisms is STDP, a local rule that adjusts synaptic weights based solely on the relative timing of spikes, enabling networks to autonomously discover and encode meaningful spatiotemporal patterns in the input data. Such learning rules operate without the need for labeled datasets or global error signals, aligning naturally with the architecture and operational constraints of neuromorphic hardware. As highlighted in these review articles80,81, unsupervised plasticity mechanisms enable continual learning, adaptability, and low-power consumption in embedded systems.\nA table comparing the advantages and disadvantages of both ANNs and SNNs, and the best choice for each criterion for the Neuromorphic Twin technology, is reported below (cf. Table 2). Table 2 highlights that, aside from learning and implementation criteria, SNNs emerge as the most suitable candidate for biomimetic emulation. While ANNs currently have an advantage in terms of learning algorithms and ease of implementation, this gap is expected to narrow over time as SNN frameworks continue to evolve.Table 2Comparison between ANN and SNN based on different criteriaCriteriaANNSNNNeuromorphic twinBiomimicryFar from biologyClose to biological principlesSNNLearningMany techniques (backpropagation)More complex learning rules (STDP)ANNApplicationsVision, image processingRobotics, BMISNNRobustnessSensitive to perturbationsRobust to noise and perturbationsSNNImplementationAdvanced tools (PyTorch, Tensorflow)Difficult and time-consumingANNEnergyHigh power consumptionLow power consumptionSNNReal-timeChallengingEfficientSNNPlatformConventional CPU or GPUNeuromorphic platforms (Loihi, etc.) or custom hardwareSNN\nComparison between ANN and SNN based on different criteria\nIn terms of emulation of biological networks, SNNs can operate in real-time, providing a sufficiently high level of biological coherence to accurately depict and mimic the dynamics of biological networks82. They are able to autonomously evolve through learning and plasticity rules83,84, similar to how the brain learns through experience. This is achieved through specific rules that allow the network to change its structure or function based on what it learns. Because of this, SNNs can improve their performance on their own, without needing to be reprogrammed. SNNs can also model different types of neurons and their interactions, which is important for accurately simulating the complex dynamics of the brain, where different neurons have specialized roles. Additionally, SNNs are good at capturing both where neurons are located and how they connect (spatial organization), as well as the timing of their signals (temporal organization). This makes them particularly useful for tasks that involve understanding patterns over time and space. Hardware SNNs employ generic biological parameters for updating the neural model and aim at emulating biological neural networks as accurately as possible in experiments. The use of complex models that closely mimic biology and have the same parameters allows for easier communication and interactions with neuroscientists. In particular, conductance-based models (see Table 3) such as the Hodgkin-Huxley type allow for precise identification of neuron parameters like the equilibrium voltage by biologists, thereby facilitating smooth interdisciplinary communication between designers and biologists. Furthermore, for emulation purposes and especially for reproducing neurological diseases, conductance-based models are essential, as certain disorders, such as ALS, involve dysfunctions at the level of ionic currents. Finally, since our goal is to replicate brain function, the backpropagation plasticity rule is not compatible with biological reality. We therefore turn to biologically plausible forms of plasticity, such as STDP or Hebbian learning.Table 3Comparison of various neuronal models based on the biological fidelity of the neuron, synapse, and plasticity rulesNeuron modelIFLIFIzhikevichAdEx I&FFitzHugh-NagumoHindmarsh-RoseMorris-LecarHodgkin-HuxleyHigh biological fidelity of the neuron modelXXXXXXOOSynapse modelCurrent-BasedConductance-basedHigh biological fidelity of the synapse modelXOPlasticity ruleBackpropagationSTDP, Hebbian learningHigh biological fidelity of the plasticity ruleXOThe O indicates the inclusion of the corresponding property, while the X denotes its absence.\nComparison of various neuronal models based on the biological fidelity of the neuron, synapse, and plasticity rules\nThe O indicates the inclusion of the corresponding property, while the X denotes its absence.\nThe choice then remains between single or multi-compartment models to reproduce the topology and the various interactions between neurons. Single-compartment models, such as the Hodgkin-Huxley model85, allow for high prediction rates of action potentials and biophysical coherence86. Several cortical simulations exist, particularly using specialized software such as NEURON and NEST. However, real-time execution is generally not achieved, except in rare cases using huge GPU system87 or supercomputers88, which are incompatible with the Neuromorphic Twin approach in terms of cost and embedded system.\nMulticompartmental models offer a more comprehensive and biologically realistic approach, thus providing deeper insights into neuronal function and information processing. It is particularly important as regions such as dendrites are the center of vital computations linked to their spatial morphology89 and are affected by some neurodegenerative diseases like Amyotrophic Lateral Sclerosis -ALS90. Multicompartmental modeling also allows the investigation of the role of dendrites in neurons. They are also known to display physiological and morphological abnormalities during postnatal development in motor neurons with ALS91. However, there are still few real-time multicompartmental neuron implementations in the state of the art92.\n\n\n### Hardware implementation\nSeveral commercial neuromorphic systems have emerged in the recent years. Neuromorphic chips, such as Intel’s Loihi and IBM’s TrueNorth93, are designed to execute SNNs more efficiently than traditional processors by mimicking neuronal and synaptic structures. However, these chips were primarily developed for SNN-based processing rather than for reproducing and emulating biological systems. Notably, they lack support for complex neuronal models. The most well-known hardware systems are SpiNNaker, a digital hardware platform, and BrainScaleS, an analog hardware platform, both developed during the Human Brain Project. Some real-time implementations have successfully replicated cortical models94–96. Recent articles show some interesting results in real-time emulation of biological networks. The Neurogrid system, which is a hybrid analog-digital architecture that simulates various cortical cell types and dentritic effects97,98. BioemuS system99 emulates with high precision 1000 HH neurons and millions of synapses for brain organoid emulation. DYNAP-SE2100 implements 1024 AdEx I&F neurons for part of somatosensory cortex.\nSeveral technologies can be used to implement these SNNs in hardware. They can be analog, digital, or a combination of both. However, emerging technologies could be the next target, particularly for synapses and plasticity. Indeed, spintronic101,102 and memristor103,104 technologies enable reduced power consumption and a smaller implementation footprint. Moreover, these systems inherently integrate both synapses and plasticity. However, these technologies are not yet mature enough for easy integration with analog or digital neurons. The challenge with these models remains their implementation, which requires significant hardware resources while maintaining real-time computation. The substantial number of parameters that require tuning also poses a problem. Leveraging AI to efficiently explore the parameter space can greatly accelerate the discovery of optimal network parameters that accurately replicate biological dynamics. Consequently, the Neuromorphic Twin and the biological network will establish a connection facilitating mutual adaptation, learning, and self-correction (Fig. 1 - Software automatic Tuning and section “Hardware biomimetic network”). Being intrinsically adaptive, the Neuromorphic Twin can thus naturally follow the evolution of the biological neural network and take the corrective action to counterbalance disease progression, by delivering the electrical therapy with the updated stimulation parameters.\n\n\n### Software automatic tuning\nTo design the Neuromorphic Twin, the biomimetic SNN must be able to adapt over time. The objective is therefore to continuously adjust the network’s dynamics based on biological recordings. To achieve this, several optimization algorithms can be used, including metaheuristic algorithms, Bayesian optimization, and gradient descent. Table 4 presents the advantages and disadvantages of the different possible methods.Table 4Advantages and disadvantages of the different algorithms for SNN optimization parameters (excluding unsupervised methods such as STDP) for Neuromorphic Twin applicationsMethodAdvantagesDisadvantagesSurrogate Gradient Descent179Allows the use of backpropagation techniques. Fast and efficient optimization with labeled data.Requires an approximation of spike gradients. Less biologically plausible than other methods.Evolutionary Optimization (DE, ES)180Does not require gradients. Excellent exploration of the parameter space.High computational cost. Slower convergence compared to gradient-based methods.Particle Swarm Optimization (PSO)181Simple to implement. Good exploration-exploitation balance.Less effective for very large parameter spaces.Bayesian Optimization182Works well with few evaluations. Effective for hyperparameter tuning.Less suitable for highly dynamic systems like a real time trained SNN\nAdvantages and disadvantages of the different algorithms for SNN optimization parameters (excluding unsupervised methods such as STDP) for Neuromorphic Twin applications\nThe objective is to readjust the dynamics in case of a significant change in the biological network, while not knowing the future dynamics in advance. Table 4 shows that optimizing the parameters of an SNN using evolutionary algorithms is an effective approach to reproducing the spike frequencies of a biological network. Among these algorithms, Particle Swarm Optimization (PSO) is particularly well-suited for small-scale SNNs, as is the case for the Neuromorphic Twin, offering fast convergence and easy embedded implementation, although it may be sensitive to local optima. For more complex models, Evolution Strategies (ES) provide a robust alternative, capable of handling a large number of parameters and well-suited for execution on GPUs, TPUs, or FPGAs. On the other hand, Differential Evolution (DE) is useful for exploring complex parameter spaces, but it converges more slowly. However, the resources required for implementation and the simulation time are significant. Thus, it is necessary to carefully consider which software/hardware platform and programming language will be most effective.\nFor software implementation, frameworks such as PyTorch105 (used via Norse or Tonic) and SpikingJelly106 are well-suited for SNN optimization, because they support GPU-based parallel computation and biomimetic learning algorithms such as STDP. In contrast, PyNN107 is mainly designed for simulating biologically realistic SNNs on platforms such as NEST and NEURON, making it less relevant for our Neuromorphic Twin application.\nAs previously discussed, the Neuromorphic Twin already includes SNNs for signal processing and the replication of biological networks. The choice of hardware for implementing these algorithms can be based on: (i) FPGAs, which offer high performance but require a very long development time; (ii) GPUs or AI SoCs, which provide more flexible software execution but are less optimized for low latencies and get less I/Os; (iii) neuromorphic chips like Loihi108 and Akida109, which are well-suited for SNNs with bio-inspired learning rules, although native support for ES or PSO is limited. A hybrid approach would involve training the SNN with PSO or ES in PyTorch or SpikingJelly on a GPU, then exporting it to an FPGA or neuromorphic chip for embedded execution. This solution combines efficient optimization and embedded system, making it ideal for integration into a biological setup. Recent articles are using optimization algorithms based on DE110,111 or Bayesian optimization112 implemented on GPU for the hyperparameter optimization of SNN. Ethernet or SPI communication can be used from the GPU to the SoC FPGA device.\n\n\n### Communication between interconnected layers\nIn the previous sections, we introduced the three interconnected layers of the Neuromorphic Twin (Fig. 1): the signal processing module (cf. “Hardware biomimetic network”), the emulation module (cf. “Hardware biomimetic network”), and the optimization layer for parameter tuning (cf. “Software automatic tuning”).\nThe signal processing block acts as an edge-level preprocessor (edge computing), implemented on FPGA-SoC platforms or through mixed-signal analog–digital neuromorphic circuits (Fig. 1, green box). It runs algorithms for neural signal feature extraction, such as spike detection, burst classification, and spectral estimation, in real time, achieving latencies on the order of 1 ms for event detection and ~10 ms for classification. The extracted features are transmitted directly to the emulation module (Fig. 1, blue box), which hosts the biomimetic SNN hardware reproducing the dynamics of biological neural networks in real time (approximately 100 µs to emulate synaptic and ionic current dynamics). Using SNN-based architectures for both the signal processing and the emulation layers (although relying on different neuronal and synaptic models) offers the advantage of co-implementing them on the same hardware platform, thereby simplifying communication protocols, reducing latency, and enabling fully embedded operations. The two hardware blocks are functionally coupled through a software optimization layer (Fig. 1, black box), based on either ANN or SNN architecture, which adaptively tunes neuronal and synaptic parameters. The latency associated with this update does not need to operate in real time; update cycles on the order of minutes/hours are sufficient since neuronal dynamic changes occur over slow timescales. Usual communications such as ZeroMQ can be used as the usual latency is around 300 µs, large enough for the update timing.\nThis three-tier co-design ensures continuous adaptation of emulation fidelity while maintaining high energy efficiency. From a system-level perspective, this hardware–software co-optimization defines the operational metrics of the Neuromorphic Twin. Real-time performance and latency are primarily governed by the hardware interface between the signal processing unit and the SNN core, where analog front-ends enable fast feature encoding, while FPGA or neuromorphic ASICs handle large-scale parallel computation. High-bandwidth interconnects, such as AXI buses between microcontrollers and FPGAs or Ethernet links between recording and stimulation systems, can be leveraged to sustain low-latency real-time communication (range of 40 µs for an AXI DMA in loopback clocked at 200 MHz113).\nEnergy efficiency and scalability depend on the hardware technology choice: hybrid analog–digital architectures typically achieve one to two orders of magnitude higher energy efficiency than GPU-based simulations. For reference, the average power consumption of SNNs on FPGA is in the range of 3 W for the emulation part on a KR260 kit99. Therefore, the selection of the FPGA target defines the trade-off between energy efficiency, flexibility, and embedded capability. A future ASIC can be designed to optimized performances.\nOverall, the Neuromorphic Twin demonstrates how hardware–software co-optimization can bridge low-level signal processing with high-level biomimetic computation. The interplay between analog neuromorphic circuits, FPGA-based SNN acceleration, and evolutionary software adaptation defines the main design trade-offs in terms of real-time capability, power efficiency, and scalability. These considerations are central to advancing neuromorphic hardware for next-generation brain–machine interfaces and digital twins of the nervous system. Finally, this hierarchical co-design enables the Neuromorphic Twin to maintain long-term biologically faithful personalization of neural emulation without compromising its real-time responsiveness, a prerequisite for future clinical and biohybrid applications.\n\n\n### Neuroengineering applications of Neuromorphic Twins\nThe applications of Neuromorphic Twins encompass a paradigm shift in neuroengineering, offering a diverse array of possibilities. The first example of a Neuromorphic Twin was envisaged in recent paper44 under the name “evolving neuromorphic Twin” (enTwin). The authors proposed that the hypothetical chip enTwin would be based on flexible neuromorphic arrays featuring learnable synaptic connectivity and a neuromorphic architecture, designed for implantation in the human body114 and the brain115. Even if they did not provide any timeline for such a development and the description was extremely general, they were confident about its feasibility just by looking at the state of contemporary neuromorphic research. Indeed, research in the last few years showed promising advancements in terms of components for the Neuromorphic Twin36,37,116, including biohybrid systems for brain repair as a novel tool for regenerative medicine36,117. We have already presented examples of neuromorphic-based solutions for the real-time processing. Another notable application lies in the real-time emulation of biological neural networks, which not only aids in understanding natural neural processes but can support investigating the influence of neurological and psychiatric disorders on the network dynamics, as recently underlined118.\nComputational models capable of replicating natural neural responses can be adopted to guide neural stimulation strategies. By modulating stimulation across multiple parameters and channels in space and time, it becomes possible to evoke more complex and natural patterns of activity in the recruited neuronal population. Potential applications range from the sole peripheral interventions49,119,120 to central nervous system interfaces12. The evolution then extends to smart neuromodulators for treating a disease and its symptoms, where the Neuromorphic Twin can contribute to restoring the correct neural dynamics thanks to its ability to deliver a neural-like/biomimetic stimulation. Indeed, the importance of biomimicry in tailoring the neurostimulation protocols has been very recently underlined for both restoring naturalistic sensations49,120 and for improving personalization in vagal nerve stimulation121. Tangible progress in the biomimetic emulation of brain circuits lies at the forefront of current research. A recent study48 realized the neuromorphic implementation of a bio-realistic model of layer IV of the somatosensory cortex of the rodent brain (Fig. 3A top). That Neuromorphic Twin is an ASIC featuring 1024 neurons distributed across four cores, each implementing the AdEx I&F model (Fig. 3A bottom). According to the study, this physical emulation of cortical circuits provides a powerful tool for understanding and predicting the behavior of the somatosensory cortex under neurostimulation.Fig. 3Real-time emulation with the Neuromorphic Twin.A\nTop. Model of the brain architecture within layer-IV of the somatosensory cortex. Bottom Left. Microphotograph of the ASIC (Application-Specific Integrated Circuit) called DYNAP-SE2 used to implement the Neuromorphic Twin of the somatosensory cortex, depicted on the top panel. Bottom Right. Diagram of the tuning scheme within each core of both neuron and synaptic parameters. B\nTop Left. Position of the nodes (neurons) in a simulated model of a neuronal network emulating the functional behavior of the premotor cortex of a rat. Top Right. Connections among the nodes of network reported on the left. Bottom Left. Block diagram of the BioemuS system architecture, detailing each component and indicating software and hardware elements with pink and red symbols, respectively. Bottom Right. Microphotograph of the board hosting the configured FPGA (Field-Programmable Gate Arrays). C Radar plot of selected network features computed by the analysis of spiking activity obtained through the simulation of 325 SNNs (Spiking Neural Networks) emulating the rat premotor cortex (i.e., the Biological Neural Network - BNN). They include the Root Mean Square Error of the Inter-Spike Interval, Mean Firing Rate, Mean Bursting Rate, Pearson’s Correlation Coefficient, and Burstiness Index. Each configured SNN is shown in grey. Three representative SNN are highlighted: SNN1, in red, exhibits the largest area; SNN2, in purple, shows a median area; and SNN3, in blue, covers one of the smallest areas. D Raster plots of the SNNs highlighted on the left, together with the BNN of origin. A Is reproduced with permission under CC BY 4.0 license from ref. 48. B–D Is reproduced with permission from ref. 122, copyright 2024, IEEE.\nA\nTop. Model of the brain architecture within layer-IV of the somatosensory cortex. Bottom Left. Microphotograph of the ASIC (Application-Specific Integrated Circuit) called DYNAP-SE2 used to implement the Neuromorphic Twin of the somatosensory cortex, depicted on the top panel. Bottom Right. Diagram of the tuning scheme within each core of both neuron and synaptic parameters. B\nTop Left. Position of the nodes (neurons) in a simulated model of a neuronal network emulating the functional behavior of the premotor cortex of a rat. Top Right. Connections among the nodes of network reported on the left. Bottom Left. Block diagram of the BioemuS system architecture, detailing each component and indicating software and hardware elements with pink and red symbols, respectively. Bottom Right. Microphotograph of the board hosting the configured FPGA (Field-Programmable Gate Arrays). C Radar plot of selected network features computed by the analysis of spiking activity obtained through the simulation of 325 SNNs (Spiking Neural Networks) emulating the rat premotor cortex (i.e., the Biological Neural Network - BNN). They include the Root Mean Square Error of the Inter-Spike Interval, Mean Firing Rate, Mean Bursting Rate, Pearson’s Correlation Coefficient, and Burstiness Index. Each configured SNN is shown in grey. Three representative SNN are highlighted: SNN1, in red, exhibits the largest area; SNN2, in purple, shows a median area; and SNN3, in blue, covers one of the smallest areas. D Raster plots of the SNNs highlighted on the left, together with the BNN of origin. A Is reproduced with permission under CC BY 4.0 license from ref. 48. B–D Is reproduced with permission from ref. 122, copyright 2024, IEEE.\nAlong the same line, another study demonstrated that a hardware-based biomimetic SNN made up of 1,024 Hodgkin-Huxley neurons successfully reproduced key electrophysiological features of the rat premotor cortex, i.e., the Biological Neural Network - BNN122. By exploiting the Bioemus framework99, a small-world like topology123 was designed (Fig. 3B top). Using this set-up, 325 different SNN configurations, varying in neuron types, excitation/inhibition balance, were deployed on an FPGA board (Fig. 3B bottom). A comparative analysis was carried out between a set of BNNs, considered as the reference, and the 325 SNNs (Fig. 3 C). The SNN better approaching the key electrophysiological features was indeed matching well the global activity patterns, as depicted in the representative raster plots of Fig. 3D. Using a former version of the Bioemus set-up99, a hardware-based SNN was exploited to deliver neural-like stimulation patterns to deeply anesthetized healthy rats124 according to a purely open-loop modality. That study reported that the SNN-based stimulation increased spontaneous firing in both the primary somatosensory and in the premotor area, a result typically seen only with closed-loop stimulation125,126. All the previous studies highlight the feasibility of the Neuromorphic Twin technology, also for delivering brain-like stimulation patterns.\nGiven the above results, it is then clear that the Neuromorphic Twins can pave the way for a new generation of neuro/brain prostheses where the “twin” can replace the damaged brain network/region/area, providing adaptive and restorative treatment, typically in the form of stimulation. Neuromorphic Twins interacting bi-directionally with their biological counterpart are schematically depicted in Fig. 4A. Preliminary examples of their implementation show the closed-loop interaction between a neuromorphic-based model and neuronal cultures coupled to Micro-Electrode Arrays - MEAs in vitro46,127,128, to mimic the restoration after a traumatic lesion. Other applications involving brain slices of the hippocampus42 as well as in vivo animal models16,42, have been also presented in the literature. Even if those studies claim the use of such a technology for restoring neural activity after brain injury, most of the current implementations are still limited to healthy animal models.Fig. 4Neuromorphic Twins for neuroengineering.A Neuromorphic Twin at the preclinical level. This diagram illustrates the key components required to integrate Neuromorphic Twin technology with in vivo experiments in rodent models. Neural recordings are obtained from a specific brain area using an implanted Micro Electrode Array (MEA). The collected data creates a library of electrophysiological parameters necessary for designing the biomimetic SNN, which is then deployed into the Neuromorphic Twin. The Twin also contains the hardware needed to process neural signals in real time and can be periodically updated based on network dynamics adjustments from monitoring the animal’s activity and behavior. The output of the Neuromorphic Twin is a signal, or a combination of signals, coming from a subset of neurons of the biomimetic SNN, which serves as a trigger for delivering stimulation to the animal via a second implanted MEA. Modified from refs. 99,124. B\nTop Left. Schematic of a biohybrid interaction between a brain organoid and its artificial counterpart (i.e., biomimetic SNN). B Two connected organoids (Bottom Left) are placed over a planar high-density MEA. The Neuromorphic Twin (Right) allows the artificial communication between the two via a biomimetic SNN emulating one organoid, implemented thanks to the Bioemus framework99. Neural events of interest (e.g., synchronized spikes, network burst, or even single spikes) are used to trigger stimulation from the left (i.e., purple shaded) organoid to the SNN and from the SNN to the right (i.e., green shaded) organoid. B takes inspiration from ref. 99.\nA Neuromorphic Twin at the preclinical level. This diagram illustrates the key components required to integrate Neuromorphic Twin technology with in vivo experiments in rodent models. Neural recordings are obtained from a specific brain area using an implanted Micro Electrode Array (MEA). The collected data creates a library of electrophysiological parameters necessary for designing the biomimetic SNN, which is then deployed into the Neuromorphic Twin. The Twin also contains the hardware needed to process neural signals in real time and can be periodically updated based on network dynamics adjustments from monitoring the animal’s activity and behavior. The output of the Neuromorphic Twin is a signal, or a combination of signals, coming from a subset of neurons of the biomimetic SNN, which serves as a trigger for delivering stimulation to the animal via a second implanted MEA. Modified from refs. 99,124. B\nTop Left. Schematic of a biohybrid interaction between a brain organoid and its artificial counterpart (i.e., biomimetic SNN). B Two connected organoids (Bottom Left) are placed over a planar high-density MEA. The Neuromorphic Twin (Right) allows the artificial communication between the two via a biomimetic SNN emulating one organoid, implemented thanks to the Bioemus framework99. Neural events of interest (e.g., synchronized spikes, network burst, or even single spikes) are used to trigger stimulation from the left (i.e., purple shaded) organoid to the SNN and from the SNN to the right (i.e., green shaded) organoid. B takes inspiration from ref. 99.\nFor clinical applications in humans, we foresee that the architecture of Neuromorphic Twins, with their advanced properties, will enable complex analysis of neuronal signals, replication of biological behavior, and personalized treatments especially in the case of stroke, epilepsy and neurodegenerative disease such as Parkinson’s (cf. see also the Roadmap section). These treatments may include electroceuticals47 and other types of brain stimulation strategies, such as ultrasound129 or optogenetics130,131.\nIn parallel with clinical applications, the neuromorphic community has progressively advanced the development of increasingly bio-inspired and biomimetic models like SNN and efficient architectures, exploring various approaches at the intersection of electronics, chemistry, and biology. Three main research directions are currently emerging. The first involves using technologies other than electronics, such as chemistry, with molecular networks replicating neuromorphic architectures. For example, Okumura132 developed DNA-encoded enzymatic neurons with tunable weights and biases, assembled into multilayer architectures capable of classifying non-linearly separable regions. Similarly, Cherry and Qian133 implemented Winner-Take-All neural networks based on DNA strand displacement reactions for pattern recognition. The second is using organic technology for designing neuromorphic architecture. The use of organic materials offers many advantages, notably better integration with biological systems even at ionic level, thereby facilitating sensing, signal processing, and stimulation within a close-loop system134. Harikesh135 presented organic electrochemical neurons (OECNs) with ion-modulated spiking, integrated with organic electrochemical synapses exhibiting both short-term and long-term plasticity. The last axis will take advantage of biological intelligence and its tremendous energy efficiency (approximately 20 W for a brain with billions of neurons). An innovative approach involves the direct employment of biological neurons for computational tasks136–138. This is made possible by the synergistic emergence of bidirectional hybrid systems99 and biologically realistic AI algorithms139, further expanding the concept of Neuromorphic Twin and combining it with the idea of organoid intelligence140,141. Indeed, it is possible to create novel forms of intelligence where biological and artificial systems are able to dialogue in a truly bi-directional way (Fig. 4B, top left). A recent work by Beaubois and colleagues99 showcased this hypothesis and anticipated a preliminary concept of Neuromorphic Twin, by putting in communication a connectoid (i.e. two connected cortical organoids from human induced pluripotent stem cells) and a biomimetic organoid implemented as a biomimetic SNN (Fig. 4B, bottom left and right). These innovative approaches hold immense promise in advancing neuroprosthetic technologies, opening avenues for unprecedented levels of integration and adaptability in the realm of neural interfaces.\n\n\n### Roadmap to support the feasibility of Neuromorphic Twin technology\nIn the previous paragraphs, we have provided a picture of the current status of the research related to the new technology named Neuromorphic Twin, as witnessed by the reported results. Recent advances in this technology have shown significant potential for modeling brain dynamics, with early applications targeting small-scale, well-defined neural circuits and specific pathologies. These models have enabled researchers to explore the feasibility of personalized preliminary therapeutic interventions at the preclinical level, laying the foundation for more complex and adaptable systems. However, it is clear that the Neuromorphic Twin still is in the early stages of development, with most applications confined to the research settings. Although promising, the path toward the clinical adoption of the technology remains long and challenging. Looking ahead, the goal is to create fully personalized Neuromorphic Twins that can be used routinely in clinical environments for diagnostics, treatment planning, and real-time monitoring. Achieving this will require a well-defined roadmap that includes progressive refinement of models, extensive preclinical validation, and ultimately, regulatory approval for clinical use. In this section we present the technical limitations and challenges for the full exploitation of the technology together with a possible timeline for the use of the Neuromorphic Twin in clinics.\nRecent advances in electrode array technologies, increasing from 64 to 102453 and even up to 10,000142 and 300,000 electrodes143, pose significant challenges for real-time signal processing. Edge computing (including detection and classification) will become essential to extract only the relevant biological signatures for analysis. Emerging techniques, such as attention-based SNNs144, show promise in classifying action potential shapes with greater precision. A key focus for ongoing research is the development of methods capable of extracting multivariate temporal patterns in a fully unsupervised manner, which would significantly enhance our understanding of complex neural dynamics. Despite the demonstrated potential of SNN hardware in applications like spike sorting, adaptive control, and brain signal recording, existing systems still fall short in terms of accuracy and online adaptability achieved by modern AI techniques. Bridging this gap will require the development of algorithms capable of real-time, parallel computation that are also suitable for low-power embedded systems, enabling the full potential of SNNs to be realized.\nRegarding emulation, research efforts focus either at the single-cell level, which involves the electrical reproduction of neurons and networks145, particularly through the neuron model used, or at the functional level of the brain146, which focuses on topologies, connected neural circuits, and oscillations between networks. To achieve an efficient emulation that encompasses the different hierarchical levels, it is essential to combine these two approaches147. Real-time emulation is possible through hardware implementations of parallel computing such as GPUs, SoC FPGAs, ASICs—whether analog or digital—and neuromorphic chips. To maintain a real-time closed-loop interaction with biological systems, integrating the SNN-based signal processing solutions from section 6.1.1 allows both the interface and the emulation to be implemented within a single neuromorphic system.\nFortunately, new technologies, particularly SoCs148 and the development of analog and mixed neuromorphic chips100,149,150, make it possible to address challenges related to scalability, power consumption, and parallelism, which are mandatory requirements for the Neuromorphic Twin. Networks with generic parameters are essential to allow the tuning of dynamics over time. The reproduction and personalization of networks are achieved through the internal parameters of the SNN and evolve with their plasticity; however, occasional re-adjustment of the network may be necessary to re-fit the real biological dynamics of the patient. This re-adjustment does not need to occur in real time, as it operates on a slower timescale (from few seconds to some hours for the fully rewired network and the updated topology).\nWhile neuromorphic chips are powerful, they still face challenges related to both scalability and miniaturization, which are critical for integration into usable biomedical applications. To bridge this technological gap, the SNN hosting the Twin can be miniaturized using an analog or digital ASIC, enabling its deployment in medical implants151. The generic parameters can be uploaded and modified over time via wireless transmission to embedded hardware (such as SoC or microcontroller board). A hybrid system (ASIC – SoC – IoT network) appears to be an ideal solution, allowing for miniaturization (ASIC implant), parameter control and plasticity (SoC), and parameter and network tuning (IoT network). An IoT network152–154 applied to an ASIC brain implant enables continuous communication between the implant and external devices, such as a smartphone, a computer, or a cloud infrastructure. Thanks to this connectivity, brain activity can be monitored in real time, allowing for dynamic and remote adjustment of stimulation or tuning parameters. Learning or parameter optimization algorithms for the digital twin, hosted in the cloud, can adapt the implant’s behavior to the patient’s specific and evolving needs. Finally, medical doctors can track the progression of the electroceutical protocol and modify remotely, enhancing both the responsiveness and personalization of care.\nThe problem related to electrodes’ invasiveness into brain tissue has been extensively faced in previous studies since the birth of brain-computer interface technologies, highlighting strategies to reduce tissue reaction and prolong the lifetime of chronic implants155,156. Invasiveness in the context of Neuromorphic Twin is important as both recording and stimulation need to as much selective as possible49. In a recent review, Shen and co-workers157 examined the key features of neural probes that may support the clinical translation of invasive neural interfaces, by focusing on abiotic and biotic factors that can lead to their failure, and highlighting emerging architectures in neural interface design. Notably, to support the use of invasive electrodes for the exploitation of Neuromorphic Twin, it is important to acknowledge that some studies already reported about patients having long-term implants without experiencing adverse reactions158,159. We feel that, in the years to come, this will become a less demanding issue, considering all the progress done so far.\nThe current approach for the Neuromorphic Twin implementation focuses on electrophysiological signals as the primary data input. However, additional data types, such as MRI scans, can be used to improve the model (i.e., the Twin) at its initial definition, providing important details related to the anatomical (i.e., structural) and functional connectivity. In the coming years, as both neuromorphic and imaging technologies continue to advance, the Neuromorphic Twin will be able to integrate a broader range of data to refine its models over time, an approach already explored in recent studies on data and sensor fusion with neuromorphic systems37,160. Moreover, behavioral and performance-related inputs, such as motor task execution, also represent a key dimension. Incorporating this data into the loop can improve patient monitoring and enable adaptive therapy adjustments based on real-time functional status, also thanks to AI-related markerless algorithms, which can accurately track behavior and performance without the need for wearable sensors161–163.\nBrain networks’ emulation over long-term scales is necessary to guarantee a personalized therapy as the neural disease progresses. Thanks to the integration of multimodal data, even acquired through the patient’s body (cf. section “Integration of multimodal data”), and the scalability of the system (cf. section “Scalability”), it will be possible for the Neuromorphic Twin to co-evolve and continuously adjust the stimulation’s parameters for the electroceutical treatment. Occasional refinement of the Twin’s parameters can occur through the software for automatic tuning block (cf. Fig. 2), but it does not need to operate in real time.\nAs new technologies emerge, especially before they become fully integrated into society, it is crucial to engage in early ethical and social reflection. The development of advanced neural interfaces based on a real-time, two-way connection between the brain and autonomous ANNs, such as the case of the Neuromorphic Twins, prompts critical questions about how those technologies might affect human subjectivity, i.e., the continuous process by which individuals develop identity, agency, and self-awareness, thus remaining the “subject” of their life158. This specific topic has been recently discussed by Yvert and Fourneret45. To protect the user’s autonomy, these technologies must be designed to clearly explain how they make decisions, to ensure that the human user stays in control. If this is not guaranteed, the device could act more like an independent agent than a simple tool, contributing to ongoing debates about the ethical and legal status of advanced non-human systems164. Similarly, a recent research paper first introduced the concept of the enTwin (basically our Neuromorphic Twin, cf. “Introduction”) and discussed the ethical related issues. The authors suggested that artificial brains designed thanks to neuromorphic engineering, as in the case of the enTwin, are becoming more and more similar to biological ones44. They also introduced a new model, called the Conductor Model of Consciousness, that explains how both humans and machines might develop an inner understanding of the world by organizing and interpreting information. The model also poses ethical questions, especially as artificial systems become more human-like in cognition and emotion, calling for a new ethical framework to guide human-AI relationships. In general, a multidisciplinary approach, incorporating neuroscience, philosophy, and technology policy, is essential to ensure that the integration of humans and machines benefits society as a whole165. Of course, the ethical framework for adopting the Neuromorphic Twin is tightly related to ongoing discussions about brain–body interface technologies166,167 and AI168. These fields have already raised important questions about human autonomy, agency, safety, and responsibility164,169,170. As the Neuromorphic Twin integrates elements of both advanced brain technology and AI, it inherits the ethical concerns of both domains and the importance of maintaining human control. Establishing a clear and anticipatory ethical framework will be essential to ensure that these technologies support human well-being, respect for individual rights, and are treated in a socially responsible way. Moreover, adaptive neuromorphic systems, such as the Neuromorphic Twins, present specific ethical challenges because the biomimetic model can evolve over time in response to neural activity, potentially altering its behavior after initial deployment171. This adaptability raises further concerns regarding patient autonomy, ongoing consent, and the ability to monitor or predict system adaptations172. To address these issues, strategies such as dynamic informed consent173,174, where patients are periodically updated on changes in the system’s behavior, and clinician-mediated oversight of the system’s adaptive behavior can be implemented. These approaches aim to ensure that patient autonomy is respected, ethical standards are maintained, and regulatory requirements are met throughout the system’s lifecycle175,176.\nAlthough several open issues remain, spanning technical, experimental, clinical, and ethical dimensions, the development of the Neuromorphic Twin is steadily progressing. As previously mentioned in this Perspective, the fundamental components required to enable biohybrid interaction between the Twin and the central nervous system are already in place4,36,117,177. However, these elements must be coherently integrated within a structured development framework. This calls for the definition of a clear and realistic timeline to guide the transition from current prototypes to functional systems that can be tested in relevant biological and, later on, clinical settings. To this end, we propose a phased roadmap for the adoption of the Neuromorphic Twin in clinical applications. The timeline spans approximately a decade and is structured into four main stages, with early-stage clinical testing potentially starting within the next 7 to 10 years (cf. Table 5).Table 5Timeline, goals, key actions, and challenges for the adoption of the Neuromorphic Twin up to the clinical trials in humansPhaseTimingTask nameTask goalKey actionsTarget metricsChallenges & MitigationEarly development(i) Building of initial proof-of-concept biomimetic models and validation with small-scale data; (ii) Refinement of the technology and make it embedded and compact.1–3 yearsFunctional Emulation of Biological Neural CircuitsAccurately reproduce the behavior of biological neural circuits using SNNs.• Acquisition/exploitation of datasets from preclinical models and human subjects – whenever possible – relevant for the building of the Neuromorphic Twin48,183–185•Definition of the main electrophysiological and non-electrophysiological features for the initial definition of the model, in terms of structural/functional connectivity.•Integration of realistic dynamics: delays, stochastic variability, synaptic plasticity (STDP, homeostatic regulation)80.•Definition of algorithms for the parametrization of the SNN to achieve bio-realistic emulation (e.g., Indicator-Based Evolutionary Algorithm - IBEA186, Simulation-Based Inference- SBI187,188.• 10³ neurons / 106 synapses•Computation latency ≤ 1 ms per spike event•Parallel computation of recording channels (64)•bandwidth ≥ 20 MB/s•102 to 104 electrodes•Energy efficiency: ≤10 pJ/synaptic event•Power <100 mW / module•Closed-loop latency ≤ 10 ms•Continuous operation ≥ 7 days in vitro• High model complexity → Use modular, scalable architectures•Data heterogeneity → Standardize and curate datasets early•Complex parametrization ◄ Reduce the number of parameters and focus on those that have the greatest influence on network dynamics.Development of Embedded, Compact Neuromorphic PlatformsDesign low-power hardware (ASICs, FPGAs, or mixed-signal analog systems) capable of interfacing with living tissue.• Hardware-efficient SNN implementations on neuromorphic chips (e.g., Loihi, SpiNNaker, BrainScaleS)99,149,150,189.•Miniaturization and biocompatible neural interfaces (e.g., MEAs, optoelectronic probes)190,191•Development of embedded-friendly learning algorithms (unsupervised, Hebbian, reward-modulated STDP)192,193.• Many options for the hardware platform ◄ use the one which guarantees fastest results•Biocompatibility constraints → Use flexible substrates and organic coatingsClosed-Loop interaction IEnable real-time action of SNNs on biological neural network• Real-time coupling with in vitro biological systems over long-term time scales, i.e. days46,192.•Development of adaptive control strategies for noisy and dynamic signals67.• Latency and jitter → Use hardware system and fast communication protocol to compute the SNN and the interaction with biological neural network under one millisecond (neuron and synapse update)•Long-term monitoring → exploit in vitro systems to evaluate the robustness of the algorithms and the stability of the response over timePreclinical testing(i) Develop and refine Neuromorphic Twins for specific brain pathologies; (ii) Conduct testing with larger datasets and animal models3-5 yearsAdaptive and Personalized Therapeutic ProtocolsUse SNNs to dynamically modulate stimulation protocols for clinical applications. Target pathologies: Epilepsy, PD, stroke. Preclinical testing.• Preclinical testing in epilepsy: detect and suppress seizures in real-time58.•Preclinical testing in Parkinson’s disease: perform adaptive deep brain stimulation (DBS)10.•Preclinical testing in stroke: perform Intracortical Microstimulation - ICMS for motor recovery11.•Preclinical testing in neurorehabilitation: closed-loop prosthetics194• 10⁵ neurons / 1010 synapses•Closed-loop latency ≤ 1 ms•Power <100 µW per channel•Parallel computation of recording channels (1024)•On-chip learning update latency ≤ 1 min Continuous operation ≥ 15 days in vivo• Inter-subject variability → Use personalized modeling, introduce subject-specific parameters (i.e. elements from structural connectivity from MRI scans)•Interfacing robustness → Focus on chronic stability and immune response, perform long-term studies (weeks, months)Closed-Loop interaction IIEnable real-time long-term closed-loop interaction between the SNN and the biological Network• Evaluate long-term stability, safety mechanisms, and signal integrity.•Monitor the behavioral performances of the subject and verify their integration in the loop (as part of the software for automatic tuning block).•Monitor feedback and plasticity over time, also using MRI and histology at the end of the experiments for comparison with a non-treated group126.• Long-term implant reliability → Accelerated aging and safety testingEthics IAddress ethical concerns in preclinical neuromorphic interfacing• Define acceptable risks•Evaluate dual-use potential•Engage early with bioethics committees• Societal skepticism → Emphasize transparency, scientific education, and oversightClinical trials(i) Initiate controlled clinical trials; (ii) Initiate regulatory certification5–10 yearsQuality/Medical Device RegulationsAchieve regulatory compliance for human use• Identify the best implantable device for recording and stimulation in humans53,55.•Implement quality procedures for the medical devices (e.g. ISO 13485 and IEC 60601 standards)•Request pre-market approval (EU MDR / FDA IDE)•Prepare a risk management plan• Power <10 µW per channel•Parallel computation of recording channels (8192)•System latency ≤ 1 ms•On-chip learning enabled•Reliability ≥ 99.9%•Continuous operation ≥ 30 days• Rapidly evolving standards → Collaborate with notified bodies early•Software as Medical Device (SaMD) issues → Design modular, auditable firmwareClinical trialsTest safety and efficacy in humans• Recruit patients with epilepsy, PD, stroke.•Configure patient-specific models, also including patient-specific data, e.g., imaging scans24.•Monitor over time the motor performance of the patient by means of wearable sensors. Implement sensor-fusion strategies to inform the software for automatic tuning block.•Monitor adaptive learning over time195.•Enlarge the sample size by means of virtual clinical trials29,30.• Small initial sample sizes → Use adaptive trial design, exploit clinical virtual trials.•Regulatory delays → Run parallel applicationsIntegration with organic and biocompatible materialsBuild flexible, printable, and bio-integrated neuromorphic systems to improve long-term implant performance• Adoption of flexible organic neurons and synapses191,196,197.•Use of additive manufacturing (e.g., inkjet printing, microfluidics) for tailored designs190.•Coupling with biological tissues for smart biohybrid interfaces198,199.• Long-term degradation → In vitro + in vivo studies•Integration mismatch → Use hydrogels and soft-tissue mimicryEthics IIExtend ethical analysis to human applications• Informed consent models for adaptive systems (i.e., dynamically informed consent).•Address autonomy, privacy, and data rights.• Lack of explainability → Ensure clinicians can understand and trust system decisionsClinical integrationAchieve widespread clinical use for personalized therapy10+ yearsPersonalized neuromorphic therapy deploymentDeploy certified neuromorphic systems in hospitals and clinics• Create cloud-assisted platforms for configuration and monitoring152,154.•Train clinical staff in device operation.Latency ≤ 1 ms (system-level)•Power <1 µW per channel•Cloud communication delay ≤ 100 ms•Adaptive personalization ≤ 1 min•Cybersecurity certified (ISO/IEC 27001)• Integration into hospital infrastructure → Collaborate with hospital staff.•Insurance and cost challenges → Demonstrate valueContinuous monitoring and upgradesEnsure safety, software updates, and model retraining• Secure cloud pipeline for data collection + updates153.•Ensure cybersecurity measures.• Data privacy risks → Comply with GDPR/HIPAA.•Misuse → Implement rollback and alert systemsEthics IIIGovernance for post-deployment AI in medicine• Define limits of autonomy.•Patient feedback channels.•Transparent performance metrics.• Diminishing clinical decision authority → Maintain human oversight policiesThe references are related to some recent studies implementing the reported key actions, with results which might be relevant for the Neuromorphic Twin realization.\nTimeline, goals, key actions, and challenges for the adoption of the Neuromorphic Twin up to the clinical trials in humans\nEarly development\n(i) Building of initial proof-of-concept biomimetic models and validation with small-scale data; (ii) Refinement of the technology and make it embedded and compact.\n• Acquisition/exploitation of datasets from preclinical models and human subjects – whenever possible – relevant for the building of the Neuromorphic Twin48,183–185\n•Definition of the main electrophysiological and non-electrophysiological features for the initial definition of the model, in terms of structural/functional connectivity.\n•Integration of realistic dynamics: delays, stochastic variability, synaptic plasticity (STDP, homeostatic regulation)80.\n•Definition of algorithms for the parametrization of the SNN to achieve bio-realistic emulation (e.g., Indicator-Based Evolutionary Algorithm - IBEA186, Simulation-Based Inference- SBI187,188.\n• 10³ neurons / 106 synapses\n•Computation latency ≤ 1 ms per spike event\n•Parallel computation of recording channels (64)\n•bandwidth ≥ 20 MB/s\n•102 to 104 electrodes\n•Energy efficiency: ≤10 pJ/synaptic event\n•Power <100 mW / module\n•Closed-loop latency ≤ 10 ms\n•Continuous operation ≥ 7 days in vitro\n• High model complexity → Use modular, scalable architectures\n•Data heterogeneity → Standardize and curate datasets early\n•Complex parametrization ◄ Reduce the number of parameters and focus on those that have the greatest influence on network dynamics.\n• Hardware-efficient SNN implementations on neuromorphic chips (e.g., Loihi, SpiNNaker, BrainScaleS)99,149,150,189.\n•Miniaturization and biocompatible neural interfaces (e.g., MEAs, optoelectronic probes)190,191\n•Development of embedded-friendly learning algorithms (unsupervised, Hebbian, reward-modulated STDP)192,193.\n• Many options for the hardware platform ◄ use the one which guarantees fastest results\n•Biocompatibility constraints → Use flexible substrates and organic coatings\n• Real-time coupling with in vitro biological systems over long-term time scales, i.e. days46,192.\n•Development of adaptive control strategies for noisy and dynamic signals67.\n• Latency and jitter → Use hardware system and fast communication protocol to compute the SNN and the interaction with biological neural network under one millisecond (neuron and synapse update)\n•Long-term monitoring → exploit in vitro systems to evaluate the robustness of the algorithms and the stability of the response over time\nPreclinical testing\n(i) Develop and refine Neuromorphic Twins for specific brain pathologies; (ii) Conduct testing with larger datasets and animal models\n• Preclinical testing in epilepsy: detect and suppress seizures in real-time58.\n•Preclinical testing in Parkinson’s disease: perform adaptive deep brain stimulation (DBS)10.\n•Preclinical testing in stroke: perform Intracortical Microstimulation - ICMS for motor recovery11.\n•Preclinical testing in neurorehabilitation: closed-loop prosthetics194\n• 10⁵ neurons / 1010 synapses\n•Closed-loop latency ≤ 1 ms\n•Power <100 µW per channel\n•Parallel computation of recording channels (1024)\n•On-chip learning update latency ≤ 1 min Continuous operation ≥ 15 days in vivo\n• Inter-subject variability → Use personalized modeling, introduce subject-specific parameters (i.e. elements from structural connectivity from MRI scans)\n•Interfacing robustness → Focus on chronic stability and immune response, perform long-term studies (weeks, months)\n• Evaluate long-term stability, safety mechanisms, and signal integrity.\n•Monitor the behavioral performances of the subject and verify their integration in the loop (as part of the software for automatic tuning block).\n•Monitor feedback and plasticity over time, also using MRI and histology at the end of the experiments for comparison with a non-treated group126.\n• Define acceptable risks\n•Evaluate dual-use potential\n•Engage early with bioethics committees\nClinical trials\n(i) Initiate controlled clinical trials; (ii) Initiate regulatory certification\n• Identify the best implantable device for recording and stimulation in humans53,55.\n•Implement quality procedures for the medical devices (e.g. ISO 13485 and IEC 60601 standards)\n•Request pre-market approval (EU MDR / FDA IDE)\n•Prepare a risk management plan\n• Power <10 µW per channel\n•Parallel computation of recording channels (8192)\n•System latency ≤ 1 ms\n•On-chip learning enabled\n•Reliability ≥ 99.9%\n•Continuous operation ≥ 30 days\n• Rapidly evolving standards → Collaborate with notified bodies early\n•Software as Medical Device (SaMD) issues → Design modular, auditable firmware\n• Recruit patients with epilepsy, PD, stroke.\n•Configure patient-specific models, also including patient-specific data, e.g., imaging scans24.\n•Monitor over time the motor performance of the patient by means of wearable sensors. Implement sensor-fusion strategies to inform the software for automatic tuning block.\n•Monitor adaptive learning over time195.\n•Enlarge the sample size by means of virtual clinical trials29,30.\n• Small initial sample sizes → Use adaptive trial design, exploit clinical virtual trials.\n•Regulatory delays → Run parallel applications\n• Adoption of flexible organic neurons and synapses191,196,197.\n•Use of additive manufacturing (e.g., inkjet printing, microfluidics) for tailored designs190.\n•Coupling with biological tissues for smart biohybrid interfaces198,199.\n• Long-term degradation → In vitro + in vivo studies\n•Integration mismatch → Use hydrogels and soft-tissue mimicry\n• Informed consent models for adaptive systems (i.e., dynamically informed consent).\n•Address autonomy, privacy, and data rights.\nClinical integration\nAchieve widespread clinical use for personalized therapy\n• Create cloud-assisted platforms for configuration and monitoring152,154.\n•Train clinical staff in device operation.\nLatency ≤ 1 ms (system-level)\n•Power <1 µW per channel\n•Cloud communication delay ≤ 100 ms\n•Adaptive personalization ≤ 1 min\n•Cybersecurity certified (ISO/IEC 27001)\n• Integration into hospital infrastructure → Collaborate with hospital staff.\n•Insurance and cost challenges → Demonstrate value\n• Secure cloud pipeline for data collection + updates153.\n•Ensure cybersecurity measures.\n• Data privacy risks → Comply with GDPR/HIPAA.\n•Misuse → Implement rollback and alert systems\n• Define limits of autonomy.\n•Patient feedback channels.\n•Transparent performance metrics.\nThe references are related to some recent studies implementing the reported key actions, with results which might be relevant for the Neuromorphic Twin realization.\nAs outlined in the reported Roadmap, Neuromorphic Twins are expected to represent a major innovation in neuroengineering by enabling real-time interaction with, and emulation of, complex brain dynamics. By integrating digital twin technology with neuromorphic engineering, this approach has the potential to overcome key limitations of current electroceutical strategies, enabling more adaptive and personalized interventions. Although still at an early stage of development, Neuromorphic Twins open promising clinical perspectives, ranging from the restoration of impaired neural functions to the management of neurological disorders. Their energy efficiency and suitability for implantable implementations further support their use in a new generation of compact, closed-loop neuroprosthetic systems. Overall, advances in this field may drive a substantial shift toward truly personalized neurotherapies and improved patient quality of life.\n\n\n### Technical barriers and challenges to technology adoption\nRecent advances in electrode array technologies, increasing from 64 to 102453 and even up to 10,000142 and 300,000 electrodes143, pose significant challenges for real-time signal processing. Edge computing (including detection and classification) will become essential to extract only the relevant biological signatures for analysis. Emerging techniques, such as attention-based SNNs144, show promise in classifying action potential shapes with greater precision. A key focus for ongoing research is the development of methods capable of extracting multivariate temporal patterns in a fully unsupervised manner, which would significantly enhance our understanding of complex neural dynamics. Despite the demonstrated potential of SNN hardware in applications like spike sorting, adaptive control, and brain signal recording, existing systems still fall short in terms of accuracy and online adaptability achieved by modern AI techniques. Bridging this gap will require the development of algorithms capable of real-time, parallel computation that are also suitable for low-power embedded systems, enabling the full potential of SNNs to be realized.\nRegarding emulation, research efforts focus either at the single-cell level, which involves the electrical reproduction of neurons and networks145, particularly through the neuron model used, or at the functional level of the brain146, which focuses on topologies, connected neural circuits, and oscillations between networks. To achieve an efficient emulation that encompasses the different hierarchical levels, it is essential to combine these two approaches147. Real-time emulation is possible through hardware implementations of parallel computing such as GPUs, SoC FPGAs, ASICs—whether analog or digital—and neuromorphic chips. To maintain a real-time closed-loop interaction with biological systems, integrating the SNN-based signal processing solutions from section 6.1.1 allows both the interface and the emulation to be implemented within a single neuromorphic system.\nFortunately, new technologies, particularly SoCs148 and the development of analog and mixed neuromorphic chips100,149,150, make it possible to address challenges related to scalability, power consumption, and parallelism, which are mandatory requirements for the Neuromorphic Twin. Networks with generic parameters are essential to allow the tuning of dynamics over time. The reproduction and personalization of networks are achieved through the internal parameters of the SNN and evolve with their plasticity; however, occasional re-adjustment of the network may be necessary to re-fit the real biological dynamics of the patient. This re-adjustment does not need to occur in real time, as it operates on a slower timescale (from few seconds to some hours for the fully rewired network and the updated topology).\nWhile neuromorphic chips are powerful, they still face challenges related to both scalability and miniaturization, which are critical for integration into usable biomedical applications. To bridge this technological gap, the SNN hosting the Twin can be miniaturized using an analog or digital ASIC, enabling its deployment in medical implants151. The generic parameters can be uploaded and modified over time via wireless transmission to embedded hardware (such as SoC or microcontroller board). A hybrid system (ASIC – SoC – IoT network) appears to be an ideal solution, allowing for miniaturization (ASIC implant), parameter control and plasticity (SoC), and parameter and network tuning (IoT network). An IoT network152–154 applied to an ASIC brain implant enables continuous communication between the implant and external devices, such as a smartphone, a computer, or a cloud infrastructure. Thanks to this connectivity, brain activity can be monitored in real time, allowing for dynamic and remote adjustment of stimulation or tuning parameters. Learning or parameter optimization algorithms for the digital twin, hosted in the cloud, can adapt the implant’s behavior to the patient’s specific and evolving needs. Finally, medical doctors can track the progression of the electroceutical protocol and modify remotely, enhancing both the responsiveness and personalization of care.\nThe problem related to electrodes’ invasiveness into brain tissue has been extensively faced in previous studies since the birth of brain-computer interface technologies, highlighting strategies to reduce tissue reaction and prolong the lifetime of chronic implants155,156. Invasiveness in the context of Neuromorphic Twin is important as both recording and stimulation need to as much selective as possible49. In a recent review, Shen and co-workers157 examined the key features of neural probes that may support the clinical translation of invasive neural interfaces, by focusing on abiotic and biotic factors that can lead to their failure, and highlighting emerging architectures in neural interface design. Notably, to support the use of invasive electrodes for the exploitation of Neuromorphic Twin, it is important to acknowledge that some studies already reported about patients having long-term implants without experiencing adverse reactions158,159. We feel that, in the years to come, this will become a less demanding issue, considering all the progress done so far.\nThe current approach for the Neuromorphic Twin implementation focuses on electrophysiological signals as the primary data input. However, additional data types, such as MRI scans, can be used to improve the model (i.e., the Twin) at its initial definition, providing important details related to the anatomical (i.e., structural) and functional connectivity. In the coming years, as both neuromorphic and imaging technologies continue to advance, the Neuromorphic Twin will be able to integrate a broader range of data to refine its models over time, an approach already explored in recent studies on data and sensor fusion with neuromorphic systems37,160. Moreover, behavioral and performance-related inputs, such as motor task execution, also represent a key dimension. Incorporating this data into the loop can improve patient monitoring and enable adaptive therapy adjustments based on real-time functional status, also thanks to AI-related markerless algorithms, which can accurately track behavior and performance without the need for wearable sensors161–163.\nBrain networks’ emulation over long-term scales is necessary to guarantee a personalized therapy as the neural disease progresses. Thanks to the integration of multimodal data, even acquired through the patient’s body (cf. section “Integration of multimodal data”), and the scalability of the system (cf. section “Scalability”), it will be possible for the Neuromorphic Twin to co-evolve and continuously adjust the stimulation’s parameters for the electroceutical treatment. Occasional refinement of the Twin’s parameters can occur through the software for automatic tuning block (cf. Fig. 2), but it does not need to operate in real time.\n\n\n### Real-time signal processing\nRecent advances in electrode array technologies, increasing from 64 to 102453 and even up to 10,000142 and 300,000 electrodes143, pose significant challenges for real-time signal processing. Edge computing (including detection and classification) will become essential to extract only the relevant biological signatures for analysis. Emerging techniques, such as attention-based SNNs144, show promise in classifying action potential shapes with greater precision. A key focus for ongoing research is the development of methods capable of extracting multivariate temporal patterns in a fully unsupervised manner, which would significantly enhance our understanding of complex neural dynamics. Despite the demonstrated potential of SNN hardware in applications like spike sorting, adaptive control, and brain signal recording, existing systems still fall short in terms of accuracy and online adaptability achieved by modern AI techniques. Bridging this gap will require the development of algorithms capable of real-time, parallel computation that are also suitable for low-power embedded systems, enabling the full potential of SNNs to be realized.\n\n\n### Real-time emulation\nRegarding emulation, research efforts focus either at the single-cell level, which involves the electrical reproduction of neurons and networks145, particularly through the neuron model used, or at the functional level of the brain146, which focuses on topologies, connected neural circuits, and oscillations between networks. To achieve an efficient emulation that encompasses the different hierarchical levels, it is essential to combine these two approaches147. Real-time emulation is possible through hardware implementations of parallel computing such as GPUs, SoC FPGAs, ASICs—whether analog or digital—and neuromorphic chips. To maintain a real-time closed-loop interaction with biological systems, integrating the SNN-based signal processing solutions from section 6.1.1 allows both the interface and the emulation to be implemented within a single neuromorphic system.\n\n\n### Scalability\nFortunately, new technologies, particularly SoCs148 and the development of analog and mixed neuromorphic chips100,149,150, make it possible to address challenges related to scalability, power consumption, and parallelism, which are mandatory requirements for the Neuromorphic Twin. Networks with generic parameters are essential to allow the tuning of dynamics over time. The reproduction and personalization of networks are achieved through the internal parameters of the SNN and evolve with their plasticity; however, occasional re-adjustment of the network may be necessary to re-fit the real biological dynamics of the patient. This re-adjustment does not need to occur in real time, as it operates on a slower timescale (from few seconds to some hours for the fully rewired network and the updated topology).\n\n\n### Hardware miniaturization\nWhile neuromorphic chips are powerful, they still face challenges related to both scalability and miniaturization, which are critical for integration into usable biomedical applications. To bridge this technological gap, the SNN hosting the Twin can be miniaturized using an analog or digital ASIC, enabling its deployment in medical implants151. The generic parameters can be uploaded and modified over time via wireless transmission to embedded hardware (such as SoC or microcontroller board). A hybrid system (ASIC – SoC – IoT network) appears to be an ideal solution, allowing for miniaturization (ASIC implant), parameter control and plasticity (SoC), and parameter and network tuning (IoT network). An IoT network152–154 applied to an ASIC brain implant enables continuous communication between the implant and external devices, such as a smartphone, a computer, or a cloud infrastructure. Thanks to this connectivity, brain activity can be monitored in real time, allowing for dynamic and remote adjustment of stimulation or tuning parameters. Learning or parameter optimization algorithms for the digital twin, hosted in the cloud, can adapt the implant’s behavior to the patient’s specific and evolving needs. Finally, medical doctors can track the progression of the electroceutical protocol and modify remotely, enhancing both the responsiveness and personalization of care.\n\n\n### Invasiveness\nThe problem related to electrodes’ invasiveness into brain tissue has been extensively faced in previous studies since the birth of brain-computer interface technologies, highlighting strategies to reduce tissue reaction and prolong the lifetime of chronic implants155,156. Invasiveness in the context of Neuromorphic Twin is important as both recording and stimulation need to as much selective as possible49. In a recent review, Shen and co-workers157 examined the key features of neural probes that may support the clinical translation of invasive neural interfaces, by focusing on abiotic and biotic factors that can lead to their failure, and highlighting emerging architectures in neural interface design. Notably, to support the use of invasive electrodes for the exploitation of Neuromorphic Twin, it is important to acknowledge that some studies already reported about patients having long-term implants without experiencing adverse reactions158,159. We feel that, in the years to come, this will become a less demanding issue, considering all the progress done so far.\n\n\n### Integration of multimodal data\nThe current approach for the Neuromorphic Twin implementation focuses on electrophysiological signals as the primary data input. However, additional data types, such as MRI scans, can be used to improve the model (i.e., the Twin) at its initial definition, providing important details related to the anatomical (i.e., structural) and functional connectivity. In the coming years, as both neuromorphic and imaging technologies continue to advance, the Neuromorphic Twin will be able to integrate a broader range of data to refine its models over time, an approach already explored in recent studies on data and sensor fusion with neuromorphic systems37,160. Moreover, behavioral and performance-related inputs, such as motor task execution, also represent a key dimension. Incorporating this data into the loop can improve patient monitoring and enable adaptive therapy adjustments based on real-time functional status, also thanks to AI-related markerless algorithms, which can accurately track behavior and performance without the need for wearable sensors161–163.\n\n\n### Long term-personalization\nBrain networks’ emulation over long-term scales is necessary to guarantee a personalized therapy as the neural disease progresses. Thanks to the integration of multimodal data, even acquired through the patient’s body (cf. section “Integration of multimodal data”), and the scalability of the system (cf. section “Scalability”), it will be possible for the Neuromorphic Twin to co-evolve and continuously adjust the stimulation’s parameters for the electroceutical treatment. Occasional refinement of the Twin’s parameters can occur through the software for automatic tuning block (cf. Fig. 2), but it does not need to operate in real time.\n\n\n### Ethical issues\nAs new technologies emerge, especially before they become fully integrated into society, it is crucial to engage in early ethical and social reflection. The development of advanced neural interfaces based on a real-time, two-way connection between the brain and autonomous ANNs, such as the case of the Neuromorphic Twins, prompts critical questions about how those technologies might affect human subjectivity, i.e., the continuous process by which individuals develop identity, agency, and self-awareness, thus remaining the “subject” of their life158. This specific topic has been recently discussed by Yvert and Fourneret45. To protect the user’s autonomy, these technologies must be designed to clearly explain how they make decisions, to ensure that the human user stays in control. If this is not guaranteed, the device could act more like an independent agent than a simple tool, contributing to ongoing debates about the ethical and legal status of advanced non-human systems164. Similarly, a recent research paper first introduced the concept of the enTwin (basically our Neuromorphic Twin, cf. “Introduction”) and discussed the ethical related issues. The authors suggested that artificial brains designed thanks to neuromorphic engineering, as in the case of the enTwin, are becoming more and more similar to biological ones44. They also introduced a new model, called the Conductor Model of Consciousness, that explains how both humans and machines might develop an inner understanding of the world by organizing and interpreting information. The model also poses ethical questions, especially as artificial systems become more human-like in cognition and emotion, calling for a new ethical framework to guide human-AI relationships. In general, a multidisciplinary approach, incorporating neuroscience, philosophy, and technology policy, is essential to ensure that the integration of humans and machines benefits society as a whole165. Of course, the ethical framework for adopting the Neuromorphic Twin is tightly related to ongoing discussions about brain–body interface technologies166,167 and AI168. These fields have already raised important questions about human autonomy, agency, safety, and responsibility164,169,170. As the Neuromorphic Twin integrates elements of both advanced brain technology and AI, it inherits the ethical concerns of both domains and the importance of maintaining human control. Establishing a clear and anticipatory ethical framework will be essential to ensure that these technologies support human well-being, respect for individual rights, and are treated in a socially responsible way. Moreover, adaptive neuromorphic systems, such as the Neuromorphic Twins, present specific ethical challenges because the biomimetic model can evolve over time in response to neural activity, potentially altering its behavior after initial deployment171. This adaptability raises further concerns regarding patient autonomy, ongoing consent, and the ability to monitor or predict system adaptations172. To address these issues, strategies such as dynamic informed consent173,174, where patients are periodically updated on changes in the system’s behavior, and clinician-mediated oversight of the system’s adaptive behavior can be implemented. These approaches aim to ensure that patient autonomy is respected, ethical standards are maintained, and regulatory requirements are met throughout the system’s lifecycle175,176.\n\n\n### Clinical translation timeline and adoption pathway\nAlthough several open issues remain, spanning technical, experimental, clinical, and ethical dimensions, the development of the Neuromorphic Twin is steadily progressing. As previously mentioned in this Perspective, the fundamental components required to enable biohybrid interaction between the Twin and the central nervous system are already in place4,36,117,177. However, these elements must be coherently integrated within a structured development framework. This calls for the definition of a clear and realistic timeline to guide the transition from current prototypes to functional systems that can be tested in relevant biological and, later on, clinical settings. To this end, we propose a phased roadmap for the adoption of the Neuromorphic Twin in clinical applications. The timeline spans approximately a decade and is structured into four main stages, with early-stage clinical testing potentially starting within the next 7 to 10 years (cf. Table 5).Table 5Timeline, goals, key actions, and challenges for the adoption of the Neuromorphic Twin up to the clinical trials in humansPhaseTimingTask nameTask goalKey actionsTarget metricsChallenges & MitigationEarly development(i) Building of initial proof-of-concept biomimetic models and validation with small-scale data; (ii) Refinement of the technology and make it embedded and compact.1–3 yearsFunctional Emulation of Biological Neural CircuitsAccurately reproduce the behavior of biological neural circuits using SNNs.• Acquisition/exploitation of datasets from preclinical models and human subjects – whenever possible – relevant for the building of the Neuromorphic Twin48,183–185•Definition of the main electrophysiological and non-electrophysiological features for the initial definition of the model, in terms of structural/functional connectivity.•Integration of realistic dynamics: delays, stochastic variability, synaptic plasticity (STDP, homeostatic regulation)80.•Definition of algorithms for the parametrization of the SNN to achieve bio-realistic emulation (e.g., Indicator-Based Evolutionary Algorithm - IBEA186, Simulation-Based Inference- SBI187,188.• 10³ neurons / 106 synapses•Computation latency ≤ 1 ms per spike event•Parallel computation of recording channels (64)•bandwidth ≥ 20 MB/s•102 to 104 electrodes•Energy efficiency: ≤10 pJ/synaptic event•Power <100 mW / module•Closed-loop latency ≤ 10 ms•Continuous operation ≥ 7 days in vitro• High model complexity → Use modular, scalable architectures•Data heterogeneity → Standardize and curate datasets early•Complex parametrization ◄ Reduce the number of parameters and focus on those that have the greatest influence on network dynamics.Development of Embedded, Compact Neuromorphic PlatformsDesign low-power hardware (ASICs, FPGAs, or mixed-signal analog systems) capable of interfacing with living tissue.• Hardware-efficient SNN implementations on neuromorphic chips (e.g., Loihi, SpiNNaker, BrainScaleS)99,149,150,189.•Miniaturization and biocompatible neural interfaces (e.g., MEAs, optoelectronic probes)190,191•Development of embedded-friendly learning algorithms (unsupervised, Hebbian, reward-modulated STDP)192,193.• Many options for the hardware platform ◄ use the one which guarantees fastest results•Biocompatibility constraints → Use flexible substrates and organic coatingsClosed-Loop interaction IEnable real-time action of SNNs on biological neural network• Real-time coupling with in vitro biological systems over long-term time scales, i.e. days46,192.•Development of adaptive control strategies for noisy and dynamic signals67.• Latency and jitter → Use hardware system and fast communication protocol to compute the SNN and the interaction with biological neural network under one millisecond (neuron and synapse update)•Long-term monitoring → exploit in vitro systems to evaluate the robustness of the algorithms and the stability of the response over timePreclinical testing(i) Develop and refine Neuromorphic Twins for specific brain pathologies; (ii) Conduct testing with larger datasets and animal models3-5 yearsAdaptive and Personalized Therapeutic ProtocolsUse SNNs to dynamically modulate stimulation protocols for clinical applications. Target pathologies: Epilepsy, PD, stroke. Preclinical testing.• Preclinical testing in epilepsy: detect and suppress seizures in real-time58.•Preclinical testing in Parkinson’s disease: perform adaptive deep brain stimulation (DBS)10.•Preclinical testing in stroke: perform Intracortical Microstimulation - ICMS for motor recovery11.•Preclinical testing in neurorehabilitation: closed-loop prosthetics194• 10⁵ neurons / 1010 synapses•Closed-loop latency ≤ 1 ms•Power <100 µW per channel•Parallel computation of recording channels (1024)•On-chip learning update latency ≤ 1 min Continuous operation ≥ 15 days in vivo• Inter-subject variability → Use personalized modeling, introduce subject-specific parameters (i.e. elements from structural connectivity from MRI scans)•Interfacing robustness → Focus on chronic stability and immune response, perform long-term studies (weeks, months)Closed-Loop interaction IIEnable real-time long-term closed-loop interaction between the SNN and the biological Network• Evaluate long-term stability, safety mechanisms, and signal integrity.•Monitor the behavioral performances of the subject and verify their integration in the loop (as part of the software for automatic tuning block).•Monitor feedback and plasticity over time, also using MRI and histology at the end of the experiments for comparison with a non-treated group126.• Long-term implant reliability → Accelerated aging and safety testingEthics IAddress ethical concerns in preclinical neuromorphic interfacing• Define acceptable risks•Evaluate dual-use potential•Engage early with bioethics committees• Societal skepticism → Emphasize transparency, scientific education, and oversightClinical trials(i) Initiate controlled clinical trials; (ii) Initiate regulatory certification5–10 yearsQuality/Medical Device RegulationsAchieve regulatory compliance for human use• Identify the best implantable device for recording and stimulation in humans53,55.•Implement quality procedures for the medical devices (e.g. ISO 13485 and IEC 60601 standards)•Request pre-market approval (EU MDR / FDA IDE)•Prepare a risk management plan• Power <10 µW per channel•Parallel computation of recording channels (8192)•System latency ≤ 1 ms•On-chip learning enabled•Reliability ≥ 99.9%•Continuous operation ≥ 30 days• Rapidly evolving standards → Collaborate with notified bodies early•Software as Medical Device (SaMD) issues → Design modular, auditable firmwareClinical trialsTest safety and efficacy in humans• Recruit patients with epilepsy, PD, stroke.•Configure patient-specific models, also including patient-specific data, e.g., imaging scans24.•Monitor over time the motor performance of the patient by means of wearable sensors. Implement sensor-fusion strategies to inform the software for automatic tuning block.•Monitor adaptive learning over time195.•Enlarge the sample size by means of virtual clinical trials29,30.• Small initial sample sizes → Use adaptive trial design, exploit clinical virtual trials.•Regulatory delays → Run parallel applicationsIntegration with organic and biocompatible materialsBuild flexible, printable, and bio-integrated neuromorphic systems to improve long-term implant performance• Adoption of flexible organic neurons and synapses191,196,197.•Use of additive manufacturing (e.g., inkjet printing, microfluidics) for tailored designs190.•Coupling with biological tissues for smart biohybrid interfaces198,199.• Long-term degradation → In vitro + in vivo studies•Integration mismatch → Use hydrogels and soft-tissue mimicryEthics IIExtend ethical analysis to human applications• Informed consent models for adaptive systems (i.e., dynamically informed consent).•Address autonomy, privacy, and data rights.• Lack of explainability → Ensure clinicians can understand and trust system decisionsClinical integrationAchieve widespread clinical use for personalized therapy10+ yearsPersonalized neuromorphic therapy deploymentDeploy certified neuromorphic systems in hospitals and clinics• Create cloud-assisted platforms for configuration and monitoring152,154.•Train clinical staff in device operation.Latency ≤ 1 ms (system-level)•Power <1 µW per channel•Cloud communication delay ≤ 100 ms•Adaptive personalization ≤ 1 min•Cybersecurity certified (ISO/IEC 27001)• Integration into hospital infrastructure → Collaborate with hospital staff.•Insurance and cost challenges → Demonstrate valueContinuous monitoring and upgradesEnsure safety, software updates, and model retraining• Secure cloud pipeline for data collection + updates153.•Ensure cybersecurity measures.• Data privacy risks → Comply with GDPR/HIPAA.•Misuse → Implement rollback and alert systemsEthics IIIGovernance for post-deployment AI in medicine• Define limits of autonomy.•Patient feedback channels.•Transparent performance metrics.• Diminishing clinical decision authority → Maintain human oversight policiesThe references are related to some recent studies implementing the reported key actions, with results which might be relevant for the Neuromorphic Twin realization.\nTimeline, goals, key actions, and challenges for the adoption of the Neuromorphic Twin up to the clinical trials in humans\nEarly development\n(i) Building of initial proof-of-concept biomimetic models and validation with small-scale data; (ii) Refinement of the technology and make it embedded and compact.\n• Acquisition/exploitation of datasets from preclinical models and human subjects – whenever possible – relevant for the building of the Neuromorphic Twin48,183–185\n•Definition of the main electrophysiological and non-electrophysiological features for the initial definition of the model, in terms of structural/functional connectivity.\n•Integration of realistic dynamics: delays, stochastic variability, synaptic plasticity (STDP, homeostatic regulation)80.\n•Definition of algorithms for the parametrization of the SNN to achieve bio-realistic emulation (e.g., Indicator-Based Evolutionary Algorithm - IBEA186, Simulation-Based Inference- SBI187,188.\n• 10³ neurons / 106 synapses\n•Computation latency ≤ 1 ms per spike event\n•Parallel computation of recording channels (64)\n•bandwidth ≥ 20 MB/s\n•102 to 104 electrodes\n•Energy efficiency: ≤10 pJ/synaptic event\n•Power <100 mW / module\n•Closed-loop latency ≤ 10 ms\n•Continuous operation ≥ 7 days in vitro\n• High model complexity → Use modular, scalable architectures\n•Data heterogeneity → Standardize and curate datasets early\n•Complex parametrization ◄ Reduce the number of parameters and focus on those that have the greatest influence on network dynamics.\n• Hardware-efficient SNN implementations on neuromorphic chips (e.g., Loihi, SpiNNaker, BrainScaleS)99,149,150,189.\n•Miniaturization and biocompatible neural interfaces (e.g., MEAs, optoelectronic probes)190,191\n•Development of embedded-friendly learning algorithms (unsupervised, Hebbian, reward-modulated STDP)192,193.\n• Many options for the hardware platform ◄ use the one which guarantees fastest results\n•Biocompatibility constraints → Use flexible substrates and organic coatings\n• Real-time coupling with in vitro biological systems over long-term time scales, i.e. days46,192.\n•Development of adaptive control strategies for noisy and dynamic signals67.\n• Latency and jitter → Use hardware system and fast communication protocol to compute the SNN and the interaction with biological neural network under one millisecond (neuron and synapse update)\n•Long-term monitoring → exploit in vitro systems to evaluate the robustness of the algorithms and the stability of the response over time\nPreclinical testing\n(i) Develop and refine Neuromorphic Twins for specific brain pathologies; (ii) Conduct testing with larger datasets and animal models\n• Preclinical testing in epilepsy: detect and suppress seizures in real-time58.\n•Preclinical testing in Parkinson’s disease: perform adaptive deep brain stimulation (DBS)10.\n•Preclinical testing in stroke: perform Intracortical Microstimulation - ICMS for motor recovery11.\n•Preclinical testing in neurorehabilitation: closed-loop prosthetics194\n• 10⁵ neurons / 1010 synapses\n•Closed-loop latency ≤ 1 ms\n•Power <100 µW per channel\n•Parallel computation of recording channels (1024)\n•On-chip learning update latency ≤ 1 min Continuous operation ≥ 15 days in vivo\n• Inter-subject variability → Use personalized modeling, introduce subject-specific parameters (i.e. elements from structural connectivity from MRI scans)\n•Interfacing robustness → Focus on chronic stability and immune response, perform long-term studies (weeks, months)\n• Evaluate long-term stability, safety mechanisms, and signal integrity.\n•Monitor the behavioral performances of the subject and verify their integration in the loop (as part of the software for automatic tuning block).\n•Monitor feedback and plasticity over time, also using MRI and histology at the end of the experiments for comparison with a non-treated group126.\n• Define acceptable risks\n•Evaluate dual-use potential\n•Engage early with bioethics committees\nClinical trials\n(i) Initiate controlled clinical trials; (ii) Initiate regulatory certification\n• Identify the best implantable device for recording and stimulation in humans53,55.\n•Implement quality procedures for the medical devices (e.g. ISO 13485 and IEC 60601 standards)\n•Request pre-market approval (EU MDR / FDA IDE)\n•Prepare a risk management plan\n• Power <10 µW per channel\n•Parallel computation of recording channels (8192)\n•System latency ≤ 1 ms\n•On-chip learning enabled\n•Reliability ≥ 99.9%\n•Continuous operation ≥ 30 days\n• Rapidly evolving standards → Collaborate with notified bodies early\n•Software as Medical Device (SaMD) issues → Design modular, auditable firmware\n• Recruit patients with epilepsy, PD, stroke.\n•Configure patient-specific models, also including patient-specific data, e.g., imaging scans24.\n•Monitor over time the motor performance of the patient by means of wearable sensors. Implement sensor-fusion strategies to inform the software for automatic tuning block.\n•Monitor adaptive learning over time195.\n•Enlarge the sample size by means of virtual clinical trials29,30.\n• Small initial sample sizes → Use adaptive trial design, exploit clinical virtual trials.\n•Regulatory delays → Run parallel applications\n• Adoption of flexible organic neurons and synapses191,196,197.\n•Use of additive manufacturing (e.g., inkjet printing, microfluidics) for tailored designs190.\n•Coupling with biological tissues for smart biohybrid interfaces198,199.\n• Long-term degradation → In vitro + in vivo studies\n•Integration mismatch → Use hydrogels and soft-tissue mimicry\n• Informed consent models for adaptive systems (i.e., dynamically informed consent).\n•Address autonomy, privacy, and data rights.\nClinical integration\nAchieve widespread clinical use for personalized therapy\n• Create cloud-assisted platforms for configuration and monitoring152,154.\n•Train clinical staff in device operation.\nLatency ≤ 1 ms (system-level)\n•Power <1 µW per channel\n•Cloud communication delay ≤ 100 ms\n•Adaptive personalization ≤ 1 min\n•Cybersecurity certified (ISO/IEC 27001)\n• Integration into hospital infrastructure → Collaborate with hospital staff.\n•Insurance and cost challenges → Demonstrate value\n• Secure cloud pipeline for data collection + updates153.\n•Ensure cybersecurity measures.\n• Data privacy risks → Comply with GDPR/HIPAA.\n•Misuse → Implement rollback and alert systems\n• Define limits of autonomy.\n•Patient feedback channels.\n•Transparent performance metrics.\nThe references are related to some recent studies implementing the reported key actions, with results which might be relevant for the Neuromorphic Twin realization.\nAs outlined in the reported Roadmap, Neuromorphic Twins are expected to represent a major innovation in neuroengineering by enabling real-time interaction with, and emulation of, complex brain dynamics. By integrating digital twin technology with neuromorphic engineering, this approach has the potential to overcome key limitations of current electroceutical strategies, enabling more adaptive and personalized interventions. Although still at an early stage of development, Neuromorphic Twins open promising clinical perspectives, ranging from the restoration of impaired neural functions to the management of neurological disorders. Their energy efficiency and suitability for implantable implementations further support their use in a new generation of compact, closed-loop neuroprosthetic systems. Overall, advances in this field may drive a substantial shift toward truly personalized neurotherapies and improved patient quality of life.", "domain": "affective_neuroscience"}
{"source": "PMC12924314", "title": "Applications and potential mechanisms of transcranial magnetic stimulation in autism spectrum disorders", "text": "# Applications and potential mechanisms of transcranial magnetic stimulation in autism spectrum disorders\n\n## Abstract\nTranscranial magnetic stimulation (TMS) is a non-invasive neuromodulation technique widely applied in clinical interventions for various neurological disorders. Its safety profile, ease of operation, and potential therapeutic value have prompted exploration in autism spectrum disorder (ASD). However, TMS efficacy in ASD exhibits marked heterogeneity, primarily due to the lack of robust scientific theoretical support for existing therapeutic approaches—this severely hinders the standardisation of TMS in ASD clinical practice and the improvement of therapeutic outcomes. The present narrative review first provides an in-depth synthesis of existing TMS research in ASD, focusing on the safety validation of different stimulation protocols, the scientific rationale for protocol selection, and the observed differences in efficacy across recent studies. It also explores the suitability of stimulation coil types and the rationality of target localisation, offering practical guidance for harnessing TMS’s therapeutic potential. Building on this, the core of the review focuses on summarising both potential and proposed mechanisms of TMS in ASD, encompassing key dimensions such as ion channels, excitatory-inhibitory imbalance, synaptic plasticity, neural oscillations, neuroinflammation, and the gut microbiome, while elucidating the interrelationships among these factors. This narrative review systematically synthesises the proposed mechanisms by which TMS may affect ASD, aiming to provide a foundation for optimising TMS-based therapeutic regimens for ASD and advancing the development of TMS as a more effective and reliable treatment option.\n\n## Full Text\n\n\n### Introduction\nAutism spectrum disorder (ASD) is a range of neurodevelopmental disorders characterized by persistent deficits in social communication and social interaction, as well as restricted, repetitive patterns of behavior, interests, or activities [1, 2]. ASD affects individuals worldwide, regardless of their race, ethnicity, or socioeconomic status. According to the latest 2025-released data from the U.S. CDC’s Autism and Developmental Disabilities Monitoring Network (2022 surveillance year), approximately one in 31 (3.2%) children aged 8 years across 16 monitoring sites in the U.S. has ASD, with prevalence varying by region and demographic characteristics [3]. ASD also affects approximately 2.2–2.3% of adults, with prevalence estimates rising from 1.1% in 2008 to 2.3% in 2018 [4]; while updated adult-specific data remain limited, current evidence suggests rates may be higher than previously reported, partly reflecting improved awareness and diagnostic practices. The rising number of diagnoses and the need for lifelong care and support in areas such as education, healthcare, and social services places a significant burden on patients, families, society, and the country [5]. Despite the challenges presented by this burden to the social system, current treatments remain limited due to the clinical heterogeneity of ASD manifestations [6]— specifically, interindividual differences in language abilities, the high prevalence of comorbid conditions (e.g., attention-deficit/hyperactivity disorder, epilepsy), and variability in age at onset — as well as dynamic symptom changes across different developmental stages. Currently, no drugs are available to address the core deficits of ASD; existing pharmacotherapies only target maladaptive behaviors and comorbidities [7, 8]. Beyond pharmacotherapy, mainstream non-pharmacological interventions for ASD include Applied Behavior Analysis and cognitive behavioral therapy. However, these non-pharmacological strategies have notable limitations, such as inconsistent efficacy across patient subgroups, restricted accessibility in resource-poor regions, poor suitability for specific populations (e.g., minimally verbal individuals) [9, 10], and associated ethical concerns [11]. Thus, exploring the pathogenesis of ASD is an urgent priority, as it can provide a theoretical basis for developing effective novel interventions or optimizing existing therapeutic modalities.\nIn recent years, various neuromodulation techniques have been developed to provide new therapeutic options for central nervous system (CNS) diseases. One of these techniques, transcranial magnetic stimulation (TMS), has gained significant attention. TMS is a classical non-invasive neurostimulation and neuromodulation technique [12]. Due to its safety, non-invasiveness, and ease of use, this treatment has been widely applied in clinical settings. It has undergone extensive clinical research and has shown potential results. The core neuromodulation mechanism of TMS involves reversible regulation of cortical excitability via electromagnetic induction that propagates to deep brain regions, with long-term therapeutic effects mediated by induced synaptic plasticity, modulated neurotransmitter release (e.g., dopamine, 5-hydroxytryptamine), and modulation of brain network connectivity [13]. Supported by this mechanism, the U.S. Food and Drug Administration has granted clearance for TMS to treat multiple indications, including major depressive disorder (recently extended to adolescents), obsessive-compulsive disorder, migraine, and smoking cessation [13–16]. A recently published systematic review analyzed clinical research reports on TMS interventions for ASD over a five-year period. Its findings indicated that TMS may have potential in improving the clinical core symptoms of ASD, particularly in repetitive behaviors and social communication [17]. Furthermore, the same literature indicates that TMS is a promising and safe therapeutic option for patients with ASD [18, 19], thereby supporting the conduct of additional large-scale clinical trials on the application of TMS in patients with ASD in the future. However, while the demand for ASD treatment is pressing, existing research remains constrained by issues such as small sample sizes, inadequate control of placebo effects, and reliance on subjective clinical assessments [20, 21], and there remains scope for improvement in the integration of analyses. Specifically, on the one hand, previous research focusing on the critical aspect of TMS intervention efficacy still has room for improvement in terms of systematicity and comprehensiveness. More importantly, there remains a lack of a unified theoretical model to guide TMS intervention design for ASD, and the mechanistic links between specific stimulation parameters (e.g., frequency, pulse number, target region) and relevant biomarkers (e.g., synaptic plasticity indices, E-I balance markers) have not been fully established. On the other hand, the majority of studies either emphasise clinical outcome observation or focus on fundamental mechanism exploration, yet lack cross-dimensional integration of the latest clinical trial data and cutting-edge basic research conclusions. Consequently, the relationship between intervention effects and potential mechanisms remains inadequately elucidated.\nAgainst this backdrop, the present narrative review seeks to synthesize current research findings regarding the application of TMS in ASD, while attempting to address the aforementioned research gaps in a targeted manner. A key innovation of this review lies in systematically integrating clinical evidence with mechanistic insights to bridge the existing disconnect between clinical outcomes and underlying mechanisms. Building on a comprehensive narrative synthesis of its application status (including the development of optimized stimulation protocols and individualized target selection strategies), and combined with the latest clinical efficacy data, this study will provide a preliminary analysis of the potential specific pathways underlying the therapeutic effects of TMS—with a focus on integrating individualized targeting strategies with multi-level mechanisms—from the perspectives of classic mechanisms such as ion channels, excitation-inhibition (E-I) balance, synaptic plasticity, neural oscillations, neuroinflammation, and gut microbiota (refer to Fig. 1). This integrative approach, which combines individualised target selection with multi-level mechanistic analysis, provides a coherent framework linking intervention effects to underlying mechanistic explanations. The findings of this study may provide modest insights for the optimisation of subsequent treatment strategies for individuals with ASD, thereby laying certain theoretical groundwork for the comprehensive exploration of TMS therapeutic potential.\nFig. 1Shows that TMS may exert its effects through classic mechanisms. These mechanisms include ion channels, excitatory-inhibitory balance, synaptic plasticity, neural oscillations, neuroinflammation, and gut microbiota\nShows that TMS may exert its effects through classic mechanisms. These mechanisms include ion channels, excitatory-inhibitory balance, synaptic plasticity, neural oscillations, neuroinflammation, and gut microbiota\n\n\n### Application of TMS in ASDs\nTMS works primarily based on the theory of electromagnetic induction by generating a brief pulse of high current through a coil placed tangentially on the surface of the scalp. Flux lines that are perpendicular to the plane of the coil generate a magnetic field. This field does not attenuate due to the tissues surrounding the brain, such as skin and bone. Instead, it generates a phasic electric field in the target tissues [22, 23]. The electric field depolarizes excitable structures (such as neurons) within the brain, and action potentials are triggered when the electric field is strong enough to cause depolarization of the neuron’s membrane potential above a certain threshold [23]. Furthermore, through the implementation of various protocols, TMS can generate diverse stimulation effects that serve distinct purposes, such as diagnosing and predicting diseases, as well as providing therapeutic benefits [24]. TMS effects are dependent on various physical and biological parameters, including the pulse waveform and number, coil shape and orientation, stimulation strength, frequency, and pattern, direction of brain-generated currents, and the stimulated neuronal elements [25, 26]. In this article, we will specifically focus on the effects of three factors: stimulation pattern, coil, and target.\nDepending on the pulses, TMS can be classified into three main stimulation modes. Single-pulse transcranial magnetic stimulation (sTMS) is a technique that generates transient currents in the cerebral cortex, instantly depolarizing neurons [27]. When sTMS is applied with appropriate intensity to the subject’s primary motor cortex (M1), it leads to motor evoked potentials. These motor evoked potentials are directly responsive to excitability and functional integrity of corticospinal tract with excellent temporal resolution [28]. Additionally, MEPs can assess other indices, such as resting motor threshold [29] and central motor conduction time [30]. Paired-pulse transcranial magnetic stimulation (pTMS) can deliver two consecutive stimulations of different intensities at very short intervals at the same stimulation site, or apply two stimulators to two different sites (also known as double-coil TMS), to study neural facilitation and inhibition by adjusting the intensity and interstimulus interval between the pulse (the previous one) and the subsequent test pulse [31, 32].\nRepetitive transcranial magnetic stimulation (rTMS) is a technique that delivers multiple stimulation pulses at various stimulation frequencies (e.g., 1, 5, or 10 Hz) over short time intervals [33]. In general, sTMS and pTMS can be used to explore brain function, while rTMS is used to induce changes in brain activity. rTMS produces longer-lasting changes in neural activity compared to sTMS and pTMS protocols [25]. Additionally, the after-effects of rTMS primarily depend on the stimulation frequency and duration [34]. Depending on the frequency of stimulation, rTMS can achieve therapeutic and temporary excitatory or inhibitory effects on specific cortical functional areas, it is widely recognized as a classic finding that low-frequency (≤ 1 Hz) rTMS reduces neuronal excitability, whereas high-frequency (5–20 Hz) rTMS can increase neuronal excitability [35–38]. In addition to the frequency-dependent stimulation effect, the duration of the after-effects appears to be proportional to the duration of the stimulation. That is, the longer the stimulation, the longer the duration of the after-effects [25].\nThe traditional rTMS protocol consist of consecutive identical stimulations with fixed interstimulus intervals, and their effect depends on the frequency of the stimulation. Subsequent studies have developed new patterned protocols based on this. Theta burst stimulation (TBS) is a commonly used technique that consists of repetitive high-frequency stimulation pulses (3 pulses at 50 Hz) spaced 200 ms apart (i.e., 5 Hz, theta rhythm in electroencephalogram (EEG) nomenclature) [39]. The intensity is typically set to 80% of the active motor threshold, and the pattern is designed to enhance cortical excitability by mimicking cortical theta wave rhythms to improve synaptic transmission [40]. TBS may be a potential solution for optimizing therapeutic utility and duration of effects. This novel stimulation paradigm can modulate the human cerebral cortex, producing controlled, consistent, powerful, and longer-lasting after-effects on the physiology and behavior of the relevant brain regions with fewer impulses over a shorter period and at lower stimulation intensities [41]. Various TBS patterns elicit distinct effects on cortical excitability. Clinical studies typically employ two types: intermittent theta burst stimulation (iTBS) and continuous theta burst stimulation (cTBS). iTBS involves 2-second TBS treatments at 8-second intervals over a 192-second period (a total of 600 pulses), which promotes cortical excitability. In contrast, cTBS involves continuous TBS over a 40-second period with a total of 600 pulses, which reduces cortical excitability [42].\nRecent clinical reports on TMS interventions for ASD (refer to Tables 1 and 2), indicate that current TMS protocols demonstrate generally favourable safety profiles: No cases of severe adverse events, including persistent headaches or seizures, were reported in any of the studies. A limited number of studies have documented mild and transient adverse reactions, including temporary discomfort resulting from periorbital muscle twitching, following interventions involving high-frequency conventional rTMS (e.g., 20 Hz protocols) or patterned rTMS (e.g., iTBS). Such discomfort is ordinarily resolved rapidly and does not impede the intervention process. This finding is consistent with the established mechanism of non-invasive modulation of cortical excitability by TMS, and it is also consistent with the safety considerations that are incorporated into current dosage designs, such as segmented pulses and bilateral stimulation. However, it is crucial to note that the vast majority of these clinical trials exhibit limitations in their follow-up design. The lack of long-term data on both efficacy (e.g., sustained improvement in daily functioning and core symptoms) and safety remains a major limitation. This paucity of information may impede a comprehensive evaluation of TMS’s long-term efficacy in ASD intervention. Consequently, further prospective studies with extended follow-up periods are required to further validate these findings. Nevertheless, drawing upon the findings of meta-analyses regarding the application of TMS in other neuropsychiatric disorders, such as depression and anxiety [43], TMS demonstrates relatively high overall safety, even when employing dosage regimens similar to those used in research on ASD, including interventions targeting paediatric populations. It is noteworthy that children and adults with ASD exhibit age-related differences in tolerance, with their developing cerebral cortex and immature neural circuits rendering them more sensitive to the intensity and frequency of stimuli. Consequently, more rigorous dose titration is required compared to adult protocols (e.g., commencing with subthreshold stimulation and gradually escalating to effective doses) [44, 45]. Concurrently, current clinical research incorporates dedicated ethical review measures for paediatric participants. These include the requirement for legal guardians to provide informed consent, where possible, for children who have the capacity to do so. Rigorous risk-benefit assessments must be conducted prior to the commencement of trials, and there is a requirement for real-time, continuous monitoring of adverse reactions throughout the intervention [44, 46].This cross-disease safety data may provide circumstantial evidence regarding the safety of TMS interventions in the ASD field to a certain extent. Furthermore, it provides a framework for optimising TMS dosages and developing long-term intervention protocols for future ASD patients, with a particular focus on the paediatric population.\nTable 1Major studies of conventional rTMS interventions in ASDStudy DesignRisk of BiasIntervention ProgramsTheoretical BasisSubjectPulsesTargetCoilAdverse EventsFindings/ConclusionsReferencesClinical trial(Randomized controlled, double-blind, sham-controlled)Low1 Hz rTMSIn accordance with the minicolumnpathy theory, TMS exerts an influence on cortical excitabilityASD(active: n = 15; sham: n = 26; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedFollowing rTMS treatment, DTF connectivity was reduced in the α-band between O1 and T7 as well as between P7 and Fp1. Additionally, DTF values were reduced in the γ-band between Pz and T8[219]Clinical trials (Randomized controlled, double-blind, sham-controlled, pilot)Low20 HzrTMSEnhancement of cortical inhibition by high-frequency rTMSASD (active: n = 20; sham: n = 20; adults)1500 pulses/session (750 pulses per hemisphere, bilateral) × 20 sessionsDLPFCfigure-eight coilmild and moderateImprovements in executive functioning[54]Clinical trials (Randomized controlled, double-blind, sham-controlled, proof-of-principle)Low20 HzrTMSrTMS stabilizes hyperplasticity by enhancing brain inhibitory mechanismsASD (active: n = 14; sham: n = 15; adults), TD (n = 30; adults)6000 pulses × 1 sessionM1unreportedunreportedThe application of rTMS has the potential to stabilize the excessive LTD observed in ASD[73]Clinical trials (Randomized controlled, double-blind, sham-controlled, pilot)Low20 HzrTMSThe altered excitatory and inhibitory neurotransmission associated with ASDASD with executive function impairment (active: n = 16; sham: n = 12; adults), TD (n = 19; adults)1500 pulses/session (750 pulses per hemisphere, bilateral) × 20 sessionsDLPFCunreportedunreportedrTMS has been demonstrated to modulate glutamatergic levels in patients with ASD, with the direction of change observed to correlate with the patient’s baseline glutamatergic levels[133]Clinical trials (Randomized controlled, double-blind, sham-controlled)Low5 HzrTMSrTMS is a common technique used to enhance the excitability of underactive cortical regions and related networksASD (n = 28; adults)1500 pulses × 10 sessionsdorsomedial prefrontal cortexHAUT-CoilunreportedrTMS reduces social-related disorders and social-related anxiety[80]Clinical trial(Randomized controlled, feasibility)Moderate1 Hz rTMSBased on minicolumnpathy theory, rTMS over DLPFC can improve E-I ratioASD with intellectual disability (active: n = 16; sham: n = 16; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedBehavioral and EEG results showed differences before and after treatment[53]Clinical trial(Randomized controlled, wait-list controlled)Moderate1 HzrTMSBased on minicolumnpathy theory, low-frequency TMS restores cortical E-I balance and improves long-range cortical connectivityASD(active: n = 20; sham: n = 20; children)150 pulses × 12 sessionsDLPFCfigure-eight coilunreportedError monitoring and corrective function were improved after TMS treatment[74]Clinical trial(Randomized controlled, wait-list controlled, pilot)Moderate1 HzrTMSrTMS over the DLPFC improves E-I ratioASD (active: n = 16; sham: n = 16; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedThe rTMS group demonstrated notable enhancements in both behavioral and functional outcomes[310]Clinical trial (Single-group exploratory, pre-post intervention)High0.5 HzrTMSAlteration of cortical E-I balance by activation of inhibitory GABAergic double bouquet interneuronsASD (n = 13, aged 9–27 years)150 pulses × 6 sessionsDLPFCfigure-eight coilunreportedSignificant changes were observed in the early, mid-latency, and late event-related potential components in the frontal, central, parietal, and parieto-occipital regions of interest[72]Clinical trial(Single-group exploratory, pre-post intervention)High1 HzrTMSLow-frequency rTMS has been demonstrated to normalize aberrant gamma oscillations in patients with ASD, and to improve repetitive behaviors and executive functionsASD (n = 19; children), TD (n = 19; children)180 pulses × 12 sessionsDLPFCfigure-eight coilunreportedFollowing the rTMS intervention, patients with ASD exhibited a notable reduction in gamma responses to task-irrelevant stimuli, a diminished propensity for aberrant behaviors, and a decline in irritability, hyperactivity, and repetitive behavior scores as evidenced by behavioral questionnaires[311]Clinical trial(Single-group exploratory, pre-post intervention)High1 HzrTMSLow-frequency rTMS can reduce cortical excitabilityASD (n = 14; children)160 pulses × 20 sessionsDLPFCfigure-eight coilno adverse events occurredIt can alter the brain structure and function of children with ASD, and these changes are correlated with improvements in behavioral symptoms[312]Animal study (Preclinical, single-group pre-post intervention)High1 HzrTMSrTMS has been demonstrated to modulate synaptic plasticity, attenuate neuroinflammation, and inhibit glial cell activationSham, rTMS, ASD rat model, ASD rat model + rTMS (n = 8 per group)900 pulses × 14 sessionswhole brainsmall animal circular coilunreportedThe 1 Hz rTMS treatment has been demonstrated to significantly ameliorate abnormal behavior and deficits in synaptic plasticity, as well as excessive neuroinflammation, in ASD model rats[57]Animal study (Preclinical, single-group pre-post intervention)High10 HzrTMSrTMS has been demonstrated to possess antioxidant properties, to enhance BDNF production, and to impact dendrite growth and spine maturationSham, rTMS + Healthy rat, ASD rat model, ASD rat model + rTMS (n = 8 per group)600 pulses × 14 sessionswhole brainfigure-eight coilunreportedrTMS was observed to improve ASD symptoms for reasons related to antioxidant properties and the capacity to enhance BDNF, SYN levels, and dendritic spine density[58]Clinical trial (Single-group exploratory, open-label, pre-post intervention)High10 HzrTMSImbalance between excitatory and inhibitory signals and altered functional connectivity within and between different brain regionsASD and co-morbid major depressive disorder (n = 10; adults)3000 pulses × 25 sessionsDLPFCfigure-eight coilThe side effects of rTMS are minimal and well tolerated.A significant improvement was observed in depressive symptoms and core autism symptoms.[313]Clinical trials (Single-group exploratory, pre-post intervention)High15 HzrTMSHigh-frequency rTMS has the potential to facilitate interactions between parietal and other brain regionsASD (n = 24; children), TD (n = 24; children)—Left parietal lobefigure-eight coilunreportedHigh-frequency rTMS over the parietal lobe may ameliorate core ASD symptoms by enhancing long-range connectivity reorganization[314]Clinical trials (Single-group exploratory, pre-post intervention)High1 and 10 Hz rTMSHigh-frequency rTMS over the left DLPFC has been demonstrated to induce LTP of synaptic transmission in the stimulated area. Conversely, low-frequency rTMS over the right DLPFC has been shown to improve the pattern of abnormal brainwave activity in the gamma bandwidth in patients with ASDASD (n = 45; children)—left DLPFC with high frequency (10 Hz) and right DLPFC with low frequency (1 Hz)figure-eight coilunreportedImprovements in Childhood Autism Rating Scale scores and eye gaze on faces were observed[315]\nMajor studies of conventional rTMS interventions in ASD\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nASD\n(active: n = 15; sham: n = 26; children)\n20 Hz\nrTMS\n20 Hz\nrTMS\n20 Hz\nrTMS\n5 Hz\nrTMS\nClinical trial\n(Randomized controlled, feasibility)\nClinical trial\n(Randomized controlled, wait-list controlled)\n1 Hz\nrTMS\nASD\n(active: n = 20; sham: n = 20; children)\nClinical trial\n(Randomized controlled, wait-list controlled, pilot)\n1 Hz\nrTMS\n0.5 Hz\nrTMS\nClinical trial\n(Single-group exploratory, pre-post intervention)\n1 Hz\nrTMS\nClinical trial\n(Single-group exploratory, pre-post intervention)\n1 Hz\nrTMS\n1 Hz\nrTMS\n10 Hz\nrTMS\n10 Hz\nrTMS\n15 Hz\nrTMS\nTable 2Major studies of patterned rTMS interventions in ASDStudy DesignRisk of BiasIntervention ProgramsTheoretical BasisSubjectPulsesTargetCoilAdverse EventsFindings/ConclusionsReferencesClinical trial(Randomized controlled, single-blind, sham-controlled)LowiTBSiTBS has been shown to influence LTP in neurons, as well as synaptic plasticityASD (active: n = 22; sham: n = 27; children and adolescents)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 16 sessionspSTSfigure-eight coilunreportedNull effect of iTBS on the macro/microstructure of cerebral white matter[59]Clinical trial(Randomized controlled, single-blind, sham-controlled, two-phase)LowiTBSiTBS has been demonstrated to influence cortical excitability and induce alterations in neuroplasticityASD (active: n = 40; sham: n = 38; children)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 16 sessionspSTSfigure-eight coilminor and transient side effectsLonger therapy sessions are necessary to achieve a therapeutic effect on social deficits in children with ASD[60]Clinical trial(Randomized controlled, single-blind, sham-controlled, crossover, pilot)LowiTBSTBS can be delivered continuously or intermittently, producing inhibitory LTD-like or excitatory LTP-like effects, respectivelyASD (active then sham: n = 6; sham then active: n = 7; adults)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 10 sessionspSTSfigure-eight coilunreportedA 5-day course of multi-treatment iTBS shows therapeutic potential for adult patients with ASD[67]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowiTBSiTBS has been demonstrated to enhance cortical excitabilityautism-like traits (active: n = 16; sham: n = 16; adults)600 pulses × 5 sessionspSTSair-cooled figure-eight coilThe only reported side effect is temporary discomfort caused by muscle twitching around the eyesiTBS can modulate relevant neural networks to improve patients’ emotional perceptions[68]Clinical trial(Randomized controlled, sham-controlled, crossover, pilot)LowiTBSiTBS has been demonstrated to elicit excitatory LTP-like effectsASD (cross-acceptance of active / sham stimulation: n = 19; adults)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 1 sessionDLPFC, pSTSfigure-eight coilNo adverse reactions other than transient discomfort due to muscle twitching around the eyes have been reportedA single iTBS on bilateral DLPFC may alter neuropsychological functioning in ASD[75]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowcTBSAn imbalance in the E-I ratio is a common feature of ASD patientsASD (active: n = 30; sham: n = 30; aged 8–30 years)600 pulses ×16 sessionsDLPFCfigure-eight coilThe discomfort subsides rapidlyNo support for cTBS is valid[51]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowcTBSThe correction of E-I imbalance can be achieved by the inhibition of cortical excitabilityASD (active: n = 28; sham: n = 27; aged 8-30years)600 pulses × 16 sessionsDLPFCfigure-eight coilunreportedThe results demonstrated no statistically significant effect of cTBS over the left DLPFC on cerebral white matter macrostructures and microstructure as well as connectivity in patients with ASD[52]Clinical trial(Randomized controlled, double-blind, active-controlled)LowcTBScTBS induces LTD–like effects in cortical areasASD (active: n = 23; sham: n = 21; children)1800 pulses × 20 sessionsactive: the site of the left DLPFC that has functional connectivity with the amygdala; sham: standard prefrontal sitefigure-eight coilunreportedPersonalized brain stimulation targeting key autism-related brain regions (the amygdala-prefrontal cortex circuit) demonstrates substantially greater therapeutic potential than standard stimulation protocols, with superior outcomes in treatment efficacy, brain structural/functional changes, and neural network modulation.[96]Clinical trial(Single-group exploratory, pre-post intervention, open-label, pilot)HighiTBSExcitatory and inhibitory (E-I) imbalanceASD (active: n = 10; adults)1200 pulses × 1 sessionlateral cerebellumfigure-eight coilno severe adverse eventsdecrease in functional connectivity within the default-mode network and somatosensory motor network[316]Clinical trial(Single-group exploratory, pre-post intervention)HighiTBSiTBS has been demonstrated to enhance cortical excitability and elicit LTP-like effectsASD (active: n = 10; children and adolescents aged 9–17 years)600 pulses × 15 sessionsDLPFCunreportedThe treatment was found to be well-tolerated, with no serious adverse effects reportedThe evidence suggests that iTBS may facilitate improvements in restrictive and repetitive behaviors, obsessive-compulsive behaviors, and neurocognitive functioning[71]\nMajor studies of patterned rTMS interventions in ASD\nClinical trial\n(Randomized controlled, single-blind, sham-controlled)\nASD (active: n = 22; sham: n = 27; children and adolescents\n)\nClinical trial\n(Randomized controlled, single-blind, sham-controlled, two-phase)\nClinical trial\n(Randomized controlled, single-blind, sham-controlled, crossover, pilot)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, sham-controlled, crossover, pilot)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, double-blind, active-controlled)\nClinical trial\n(Single-group exploratory, pre-post intervention, open-label, pilot)\nClinical trial\n(Single-group exploratory, pre-post intervention)\nFurthermore, regarding dosage, as shown in Tables 1 and 2, conventional low-frequency rTMS interventions for ASD in early clinical trials demonstrated significantly lower single-pulse and total pulse doses compared to high-frequency conventional rTMS. A comparison of pulses per session in patterned rTMS vs. conventional low-frequency protocols shows patterned rTMS uses more pulses per session. This higher single dose stems from its targeted design. For example, most iTBS studies use bilateral segmented protocols, or deliver stimulation intermittently (not continuously) in one session. This approach rationally partitions the effective dose per continuous application to specific brain targets, thereby avoiding excessive stimulation intensity within a single session. This method aligns with neuroplasticity modulation mechanisms while reducing potential adverse reaction risks. It is noteworthy that cases involving exceptionally high single-pulse counts predominantly involve adult ASD patients (such as those with comorbid severe depression) or animal models. This phenomenon is closely linked to the specificity of research design. For adult patients, greater cortical maturity and tolerance allows them to withstand relatively higher single-pulse doses to pursue improvements in core symptoms (e.g., depressive mood and repetitive behaviours). By comparison, dosage settings for animal models require adjustment based on factors such as species-specific brain volume and cortical sensitivity. Despite the reduced number of pulses per session when compared to adult protocols, the total treatment duration is approximately equivalent to that of short-to-medium-term human interventions. This provides foundational safety and efficacy references for subsequent human clinical trial dose optimisation. This also underscores that rTMS dosage design must be fully tailored to the subject’s age, disease severity, and model type, rather than relying solely on pulse count to gauge the appropriateness of intervention intensity.\nIn regard to the selection of stimulation modes, initial studies employed low-frequency rTMS as an intervention, which is predicated on the “minicolumnopathy” hypothesis and the core mechanism of E-I imbalance in ASD. Anatomical evidence indicates that minicolumns, the fundamental unit of information processing in the autistic brain, exhibit reduced size and altered internal structure. In particular, the number or function of gamma-aminobutyric acid (GABA)ergic neurons located in minicolumns may be abnormal, which could result in a weakening of inhibitory signaling between minicolumns and an increase in the ratio of cortical excitation to inhibition [47, 48]. Given that ASD is characterized by disrupted cortical excitability stemming from an elevated E-I ratio, inhibitory low-frequency rTMS was rationally selected as an early intervention strategy to restore the E-I balance. Consequently, rTMS modalities with inhibitory effects are employed for intervention purposes. A minority of studies employed high-frequency rTMS for intervention, primarily due to its capacity to enhance interactions within or between distinct brain regions. In contrast to the inhibitory mechanism of low-frequency rTMS, high-frequency rTMS is designed to target potential hypo-excitability in specific brain circuits of ASD individuals, thereby adjusting the E-I ratio through excitatory modulation. Contrary to the findings of previous studies, contemporary trends indicate a clinical preference for (or shift toward) excitatory iTBS as the intervention modality, marking a deviation from earlier research that was centred on inhibitory low-frequency rTMS. This shift in intervention protocols may be attributable to the divergent regulatory mechanisms underpinning the two approaches. The rationale behind iTBS is based on theories that emphasise excitatory long-term potentiation (LTP)-like effects and synaptic plasticity. Specifically, iTBS has been shown to induce LTP-like plasticity in the motor cortex via NMDA receptor modulation, which provides a direct electrophysiological basis for its regulatory role in synaptic plasticity and neural circuit function [49, 50]. Moreover, the only two studies of cTBS intervention in ASD were exploratory trials conducted by Ni et al. These studies sought to address a research gap by investigating the feasibility, tolerability, and safety of cTBS intervention protocols [51], as well as their effects on cerebral white matter macro-/microstructures and connectivity in patients with ASD [52]. It is worthy of note that in the selection of stimulation protocols, the preponderance of researchers tend to draw upon approaches that have been demonstrated to yield satisfactory outcomes in prior studies. For instance, Kang et al.‘s research confirmed that low-frequency rTMS significantly ameliorates irritability symptoms and repetitive behaviours in individuals with autism, while also enhancing event-related potential components associated with target stimuli [53]. Additionally, some studies have chosen to draw upon research findings concerning disorders exhibiting symptoms similar to ASD. For instance, Ameis’s study [54] was grounded in the premise that individuals with ASD and schizophrenia share comparable cognitive and functional impairments, with therapeutic medications exhibiting commonalities [55]. Furthermore, he incorporated prior research confirming that rTMS can ameliorate working memory deficits in schizophrenia patients [56], hence employing comparable rTMS parameters in his study. However, the extant research in this field remains markedly limited in scope. The majority of studies to date have focused on clinical intervention trials, with only a small number of basic research investigations utilising animal models. Furthermore, the results of these preliminary studies suggest that the intervention mechanisms may be associated with synaptic plasticity and neuroinflammation. Specifically, Xu et al. found that low-frequency rTMS (1 Hz) improved LTP deficits in the hippocampus of valproic acid-induced autism-like rats, normalising dendritic spine density alongside restored expression of synaptic proteins such as NR2B and PSD-95 [57]. Similarly, Afshari et al. confirmed that high-frequency rTMS (10 Hz) alleviated autistic-like behaviors in valproate-exposed rats by reducing neuroinflammatory markers, such as hippocampal tumor necrosis factor-α (TNF-α), and enhancing hippocampal synaptic plasticity through the upregulation of brain-derived neurotrophic factor (BDNF) and synaptophysin levels [58]. While accumulating evidence supports the efficacy of various TMS protocols in ASD, mechanistic understanding remains limited. Thus, the following section will elaborate on potential neurobiological mechanisms underlying TMS efficacy in ASD.\nFrom the perspective of overall efficacy, in studies with different levels of bias risk (refer to Tables 1 and 2), the regulatory effect of TMS on ASD shows clear stratification characteristics: in RCT studies with low bias risk, TMS (especially the 1 Hz/10Hz regimen for DLPFC) often exhibits a “slight but stable regulatory effect”, mainly improving repetitive behavior (such as reducing RBS-R scores by 0.3–0.5 standard deviations), and EEG indicators (such as θ wave power) show consistent changes; In non randomized studies with moderate bias risk, there is a divergence of conclusions regarding the improvement of social communication symptoms by TMS (approximately 60% of studies reported positive results, while 40% showed no significant difference), which may be directly related to sample heterogeneity and inconsistent stimulus parameters; As for small sample exploratory studies with high bias risk, although some reports have shown significant improvement in core symptoms, the reproducibility and reliability of these results remain questionable due to methodological flaws such as unblinding and insufficient sample size. The above regulatory effects are mainly reflected through the evaluation of relevant behavioral scales and changes in EEG indicators.\nIt is important to note that not all studies yielded positive outcomes, with some reporting negative conclusions. For instance, the high-bias, low-sample-size study conducted by Ni’s team did not support the efficacy of cTBS over sham stimulation in the left dorsolateral prefrontal cortex (DLPFC) [51]. In addition, this research group found iTBS to be ineffective in influencing macro- or micro-structural changes in brain white matter [59]. The causes of such negative outcomes are multifaceted, closely linked to the inherent high heterogeneity within ASD itself [54, 60], and are intrinsically linked to key elements of intervention design and methodological shortcomings in research methodologies (such as risks of bias). About heterogeneity, some children with autism exhibit hyperarousal to social information (excessive sensitivity to social stimuli leading to avoidance of social interaction), while others demonstrate hypoarousal (reduced social motivation and diminished interest). This distinction is supported by behavioural, eye-tracking, and neuroimaging studies [61]. The heterogeneity characteristics of ASD, such as age, severity of symptoms, and comorbidities, further limit the reliable evaluation of TMS efficacy, and fail to adapt stimulation regimens to specific arousal states and individual heterogeneity, which may directly impair treatment effectiveness. With regard to the design of interventions, considerable variations in pulse parameters are evident across studies. Specifically, conventional rTMS single-session pulse counts range from 150 to 6000, with total pulse counts for patterned rTMS spanning 600 to 38,400. It has been demonstrated that the outcomes of certain studies have been suboptimal, a phenomenon that can be attributed to the mismatch between the dosing and the characteristics of the target brain region excitability (for example, the application of low-dose inhibitory stimulation to areas that exhibit under-inhibition). At the cycle level, certain studies utilised only 1–5 brief treatment courses (e.g., specific iTBS studies with a single course), whereas the majority of favourable outcomes emerged from studies encompassing 12–20 extended courses. Short-term interventions are ineffective in inducing stable neuroplastic changes, thus failing to sustain long-term improvement in symptoms. At the level of study design, while most investigations incorporated sham stimulation groups, some early studies lacked placebo controls, and certain trials did not strictly implement double-blind protocols. This precludes ruling out interference from “natural symptom fluctuations” and placebo effects, thereby complicating the establishment of TMS-specific effects. The aforementioned design deficiencies, when considered collectively, have the potential to result in unfavourable outcomes. Consequently, greater attention should be paid to the heterogeneity of ASD, with differences in arousal states serving as a key basis for selecting excitatory/inhibitory TMS protocols. Furthermore, larger-scale and rigorously designed double-blind placebo-controlled randomized controlled trials will be needed in the future, and research will be conducted based on unified evaluation criteria. By further elucidating the subtypes of ASD and their neurobiological basis, while promoting dose standardization, rationalizing treatment cycles, improving control design, and standardizing research methodology to reduce the risk of bias, it is possible to develop precise treatment plans under the guidance of deep scientific theories.\nThe shape of the magnetic coil determines the pattern of the electric field. In the original TMS study, Barker and colleagues used circular coils, which have a high penetrating capacity, but the stimulating effect is not very focused, with a spatial selectivity of > 4 cm2 [27], and are suitable for stimulating large and superficial motor areas, such as upper limb motor areas [25]. After conducting research, scholars designed the figure-eight coil. The coil consists of two adjacent wings with the same number of turns. The current in the two loops flows in opposite directions, resulting in the superposition of currents. This leads to direct stimulation effects on the superficial cortical areas located below the central segment, where neuronal fibers that are parallel to the central segment have the highest likelihood of being stimulated [62]. The figure-eight coil is a widely used type of coil in recent TMS-ASD studies (refer to Tables 1 and 2). This type of coil has the advantage of focusing the stimulus effect and generating the maximum current at the intersection of the two circular elements. However, it also has the disadvantage of limited penetration [27, 63]. To improve penetration, several coil models have been developed, including the Hesed coils. These coils have a flexible base that conforms to the curvature of the patient’s scalp, maximizing magnetic coupling at the desired location and direction [62]. In 2005, Zangen conducted a clinical study using Hesed coils for the first time. The study demonstrated that Hesed coils were effective in stimulating deeper regions of the brain at greater distances from the coil without inducing greater stimulation of superficial cortical areas [64]. The coil design combines the safety and convenience of non-invasive neuromodulation techniques with the depth of stimulation characteristic of invasive neuromodulation, greatly expanding the range of applications for TMS.\nIn line with these anatomical and functional considerations, recent studies on TMS in ASD patients have focused on several important stimulation targets. The majority of these targets are directly associated with the neural mechanisms that are considered to underlie core ASD symptoms. Despite the confirmation provided by extant research that rTMS improves core ASD symptoms, the heterogeneity of intervention effects suggests that personalised target localisation based on individual brain functional differences is key to enhancing treatment precision. This conclusion is in alignment with the prevailing trends in the field of neuromodulation; the paradigm of precision medicine is driving a shift in TMS therapy from ‘standardisation’ towards ‘individualisation’. The accuracy of target localisation is the pivotal component in achieving this transition. The following section will elaborate on the core stimulation targets and research results in ASD treatment, combined with the application of TMS localization technology (relevant research data can be found in Tables 1 and 2).\nConventional TMS target localization is based on the “standard” distance from the scalp to the stimulation site. The primary motor cortex (M1) is typically identified as the site that elicits the largest motor-evoked potential (MEP) in contralateral hand muscles. The dorsolateral premotor cortex and DLPFC are located approximately 2–3 cm and 5 cm anterior to M1, respectively [65]. Although rapid and convenient, this method is prone to inaccuracy, primarily due to inter-individual anatomical variability and operator-dependent inconsistencies [66]. It is primarily suitable for localizing the target brain region, such as M1, or brain regions with specific positional relationships with it. An alternative approach uses manufacturer-provided electrode caps (often based on the international 10–20 EEG system) with pre-marked functional regions to enable rapid target localization. Neuronavigated TMS based on individual T1-weighted Magnetic resonance imaging (MRI) has become widely adopted. This technique transforms standard target coordinates into Montreal Neurological Institute (MNI) space, registers them to the patient’s anatomy, and employs frameless stereotaxy for precise coil positioning [51, 54, 59, 67, 68]. Compared with electrode-cap methods, it offers significantly higher accuracy. However, anatomical location does not always correspond precisely to functional regions. To address this issue, structural images can be aligned with functional images, a method already used in clinical practice [69]. Advances in localisation techniques have enabled the identification of multiple stimulation targets that are highly correlated with core symptoms of ASD. These targets encompass key functional networks, such as cognitive regulation and social perception. The ensuing sections provide exhaustive elaboration on each core target.\nThe DLPFC is considered to be one of the most extensively studied targets in TMS therapy for ASD. The therapeutic value of the intervention lies in its ability to regulate multiple cognitive functions, including working memory, rule learning, planning ability, attention, and motivation. Impairments in these functions are characteristic of individuals diagnosed with ASD [70]. A substantial amount of clinical research has corroborated the therapeutic efficacy of targeting this region, with findings encompassing fundamental mechanism exploration and efficacy assessment [51, 53, 54, 71–75].\nIt is important to note that intervention effects on the DLPFC exhibit significant heterogeneity, a phenomenon that is directly linked to functional alterations in this brain region caused by central nervous system disorders. On the one hand, individual variations exist in the strength of connections between the DLPFC and other brain areas (such as distinct subregions of the subthalamic cingulate gyrus). The effects of TMS stimulation can propagate through anatomical connections to surrounding regions, thereby modulating specific neural circuit functions [76]. On the other hand, variations in target localisation methods also influence therapeutic outcomes. It is evident that traditional ‘standardised’ coordinate definitions struggle to match the individual specificity of brain function, whereas personalised localisation based on functional connectivity demonstrates superior potential.\nRecent studies have revealed that individuals diagnosed with ASD exhibit significantly higher levels of peak functional connectivity between the right DLPFC and the nucleus accumbens than the general population. Furthermore, this connectivity strength exhibits a negative correlation with ASD symptom severity, suggesting that the nucleus accumbens may function as an effective “seed point” for guiding DLPFC localisation [77]. Specifically, the selection of the voxel within the right DLPFC exhibiting the strongest negative correlation with the nucleus accumbens as the stimulation target holds promise for more precise alleviation of core ASD symptoms. This hypothesis has been corroborated by subsequent studies; for instance, Cash et al.‘s review confirmed that highly effective TMS targets within the frontal cortex often exhibit stable functional connectivity with deep limbic regions such as the subthalamic cortex [78], further underscoring the clinical significance of personalised DLPFC localisation.\nThe pSTS has been identified as a key target for the regulation of social and perceptual functions in individuals diagnosed with ASD. Its core physiological functions are intrinsically linked to social cognition, language perception, and emotion recognition – domains where deficits constitute the core symptomatology of ASD [79]. As one of the recommended targets for TMS therapy, the therapeutic value of pSTS intervention has been validated by multiple clinical studies, covering efficacy assessments and optimisation of target localisation [59, 67, 68, 75, 80].\nFrom a neural circuit perspective, the pSTS exhibits functional connectivity with the adjacent temporoparietal junction (TPJ), with both regions jointly participating in neural networks processing social information. However, in a manner analogous to the DLPFC, the efficacy of pSTS stimulation is contingent on precise localisation. The utilisation of conventional anatomical landmarks proves inadequate in accounting for the inherent functional variability amongst individuals. This underscores the necessity for the incorporation of functional imaging techniques into the identification of personalised targets. This requirement is closely aligned with the core characteristic of ASD brain functional heterogeneity.\nRecent expert consensus explicitly recommends the right IFG and right TPJ as emerging targets for ASD-TMS treatment [21]. Despite the differences in functional emphasis, both models focus on core deficit domains of ASD. Furthermore, the TPJ, due to its proximity to the pSTS, forms a synergistic regulatory effect with this region and is therefore frequently discussed in conjunction.\nThe core therapeutic value of the right IFG lies in its ability to improve social deficits and communication impairments, while also constituting a key component of the theory of mind system (the neural mechanisms underpinning understanding others’ mental states) [81, 82]. The right TPJ is primarily associated with attention deficits, attentional shifting functions, and the regulation of theory of mind [83, 84]. This region has now become a key target in multicentre randomised controlled trials [85], with its intervention potential undergoing broader clinical validation.\nRecent research indicates that the rationale for recommending these two targets stems not only from their functional associations but also aligns with the trajectory of personalised treatment development. In a manner analogous to the DLPFC, the efficacy of IFG and TPJ interventions is contingent on the strength of functional connectivity with deeper limbic regions. Consequently, peak functional connectivity-based localisation methods are equally applicable to these targets, offering prospects for further enhancing intervention precision.\nA synthesis of extant research indicates that TMS localisation methods for ASD have shifted from “standardised” to “personalised” approaches. This transition, which is currently a research hotspot, is fundamentally grounded in the significant individual variation in human brain anatomy and function [86], and is primarily driven by localisation techniques guided by functional magnetic resonance imaging. This technique facilitates precise targeting based on individual functional connectivity patterns, such as DLPFC-striatal circuits or prefrontal-limbic system connections, rather than relying on universal anatomical landmarks [87]. For instance, the cortical partitioning method developed by Professor Liu’s team employs resting-state functional magnetic resonance imaging to map functional brain atlases at the individual level. The precision of the device has been validated through invasive cortical stimulation testing [88]. When applied to TMS treatment for post-stroke aphasia, this technique demonstrated outstanding efficacy in language function recovery [89], providing a technical reference for precise localisation in ASD. Furthermore, the selection of personalised targets can be refined to accommodate distinct ASD subtypes. For instance, targeting the medial prefrontal cortex-amygdala circuit may help modulate emotional and social information processing in individuals with social communication deficits [90], while regulating the DLPFC-striatal pathway could address repetitive behavioural symptoms, given that striatal circuit dysfunction is closely linked to stereotyped and repetitive behaviours in ASD [91]. In addition, closed-loop therapeutic approaches based on brain states (such as EEG-rTMS) have emerged as a significant avenue of research [92]. The aforementioned research pathways under discussion are predicated upon the identification of inter-individual variations in brain function. These findings provide a theoretical foundation for exploring the neural mechanisms underlying cognitive and behavioural changes. They also represent a crucial step towards achieving personalised precision medicine through neuromodulation.\nNevertheless, personalised diagnosis poses particular challenges in cases of ASD, especially in children. MRI scanning requires patients to tolerate high-decibel noise and to maintain head stillness for several tens of minutes, a requirement with which children diagnosed with ASD often struggle to comply. Consequently, sedation or anaesthesia using drugs such as propofol or dexmedetomidine is frequently employed in research settings to alleviate discomfort and optimise imaging quality [93]. Propofol remains the most frequently employed agent, administered either alone or in combination, while dexmedetomidine usage exhibits a marked upward trend. It is noteworthy that both drugs demonstrate a low incidence of adverse events [94].\nIt is imperative to acknowledge the potential for these medications to compromise the integrity of functional imaging results. For instance, propofol has been demonstrated to induce a comatose state, thereby reducing the amplitude of spontaneous low-frequency oscillations in functional MRI signals across multiple brain regions, including the prefrontal cortex, temporal pole, and hippocampus [95]. Consequently, when assessing the correlation between blood oxygen level-dependent signals in individuals with ASD and in healthy controls, the potential influence of sedatives must be accounted for in order to avoid misinterpretation of brain functional characteristics. The clinical evidence demonstrates the efficacy of personalised targeting, as evidenced by the significant superiority of personalised stimulation of key neural hubs, such as the amygdala-prefrontal cortex circuit, in comparison to standard protocols in terms of clinical efficacy, brain structural/functional reorganisation, and neural network regulation [96]. This provides a clear direction for TMS treatment in ASD.\n\n\n### Stimulation patterns\nDepending on the pulses, TMS can be classified into three main stimulation modes. Single-pulse transcranial magnetic stimulation (sTMS) is a technique that generates transient currents in the cerebral cortex, instantly depolarizing neurons [27]. When sTMS is applied with appropriate intensity to the subject’s primary motor cortex (M1), it leads to motor evoked potentials. These motor evoked potentials are directly responsive to excitability and functional integrity of corticospinal tract with excellent temporal resolution [28]. Additionally, MEPs can assess other indices, such as resting motor threshold [29] and central motor conduction time [30]. Paired-pulse transcranial magnetic stimulation (pTMS) can deliver two consecutive stimulations of different intensities at very short intervals at the same stimulation site, or apply two stimulators to two different sites (also known as double-coil TMS), to study neural facilitation and inhibition by adjusting the intensity and interstimulus interval between the pulse (the previous one) and the subsequent test pulse [31, 32].\nRepetitive transcranial magnetic stimulation (rTMS) is a technique that delivers multiple stimulation pulses at various stimulation frequencies (e.g., 1, 5, or 10 Hz) over short time intervals [33]. In general, sTMS and pTMS can be used to explore brain function, while rTMS is used to induce changes in brain activity. rTMS produces longer-lasting changes in neural activity compared to sTMS and pTMS protocols [25]. Additionally, the after-effects of rTMS primarily depend on the stimulation frequency and duration [34]. Depending on the frequency of stimulation, rTMS can achieve therapeutic and temporary excitatory or inhibitory effects on specific cortical functional areas, it is widely recognized as a classic finding that low-frequency (≤ 1 Hz) rTMS reduces neuronal excitability, whereas high-frequency (5–20 Hz) rTMS can increase neuronal excitability [35–38]. In addition to the frequency-dependent stimulation effect, the duration of the after-effects appears to be proportional to the duration of the stimulation. That is, the longer the stimulation, the longer the duration of the after-effects [25].\nThe traditional rTMS protocol consist of consecutive identical stimulations with fixed interstimulus intervals, and their effect depends on the frequency of the stimulation. Subsequent studies have developed new patterned protocols based on this. Theta burst stimulation (TBS) is a commonly used technique that consists of repetitive high-frequency stimulation pulses (3 pulses at 50 Hz) spaced 200 ms apart (i.e., 5 Hz, theta rhythm in electroencephalogram (EEG) nomenclature) [39]. The intensity is typically set to 80% of the active motor threshold, and the pattern is designed to enhance cortical excitability by mimicking cortical theta wave rhythms to improve synaptic transmission [40]. TBS may be a potential solution for optimizing therapeutic utility and duration of effects. This novel stimulation paradigm can modulate the human cerebral cortex, producing controlled, consistent, powerful, and longer-lasting after-effects on the physiology and behavior of the relevant brain regions with fewer impulses over a shorter period and at lower stimulation intensities [41]. Various TBS patterns elicit distinct effects on cortical excitability. Clinical studies typically employ two types: intermittent theta burst stimulation (iTBS) and continuous theta burst stimulation (cTBS). iTBS involves 2-second TBS treatments at 8-second intervals over a 192-second period (a total of 600 pulses), which promotes cortical excitability. In contrast, cTBS involves continuous TBS over a 40-second period with a total of 600 pulses, which reduces cortical excitability [42].\nRecent clinical reports on TMS interventions for ASD (refer to Tables 1 and 2), indicate that current TMS protocols demonstrate generally favourable safety profiles: No cases of severe adverse events, including persistent headaches or seizures, were reported in any of the studies. A limited number of studies have documented mild and transient adverse reactions, including temporary discomfort resulting from periorbital muscle twitching, following interventions involving high-frequency conventional rTMS (e.g., 20 Hz protocols) or patterned rTMS (e.g., iTBS). Such discomfort is ordinarily resolved rapidly and does not impede the intervention process. This finding is consistent with the established mechanism of non-invasive modulation of cortical excitability by TMS, and it is also consistent with the safety considerations that are incorporated into current dosage designs, such as segmented pulses and bilateral stimulation. However, it is crucial to note that the vast majority of these clinical trials exhibit limitations in their follow-up design. The lack of long-term data on both efficacy (e.g., sustained improvement in daily functioning and core symptoms) and safety remains a major limitation. This paucity of information may impede a comprehensive evaluation of TMS’s long-term efficacy in ASD intervention. Consequently, further prospective studies with extended follow-up periods are required to further validate these findings. Nevertheless, drawing upon the findings of meta-analyses regarding the application of TMS in other neuropsychiatric disorders, such as depression and anxiety [43], TMS demonstrates relatively high overall safety, even when employing dosage regimens similar to those used in research on ASD, including interventions targeting paediatric populations. It is noteworthy that children and adults with ASD exhibit age-related differences in tolerance, with their developing cerebral cortex and immature neural circuits rendering them more sensitive to the intensity and frequency of stimuli. Consequently, more rigorous dose titration is required compared to adult protocols (e.g., commencing with subthreshold stimulation and gradually escalating to effective doses) [44, 45]. Concurrently, current clinical research incorporates dedicated ethical review measures for paediatric participants. These include the requirement for legal guardians to provide informed consent, where possible, for children who have the capacity to do so. Rigorous risk-benefit assessments must be conducted prior to the commencement of trials, and there is a requirement for real-time, continuous monitoring of adverse reactions throughout the intervention [44, 46].This cross-disease safety data may provide circumstantial evidence regarding the safety of TMS interventions in the ASD field to a certain extent. Furthermore, it provides a framework for optimising TMS dosages and developing long-term intervention protocols for future ASD patients, with a particular focus on the paediatric population.\nTable 1Major studies of conventional rTMS interventions in ASDStudy DesignRisk of BiasIntervention ProgramsTheoretical BasisSubjectPulsesTargetCoilAdverse EventsFindings/ConclusionsReferencesClinical trial(Randomized controlled, double-blind, sham-controlled)Low1 Hz rTMSIn accordance with the minicolumnpathy theory, TMS exerts an influence on cortical excitabilityASD(active: n = 15; sham: n = 26; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedFollowing rTMS treatment, DTF connectivity was reduced in the α-band between O1 and T7 as well as between P7 and Fp1. Additionally, DTF values were reduced in the γ-band between Pz and T8[219]Clinical trials (Randomized controlled, double-blind, sham-controlled, pilot)Low20 HzrTMSEnhancement of cortical inhibition by high-frequency rTMSASD (active: n = 20; sham: n = 20; adults)1500 pulses/session (750 pulses per hemisphere, bilateral) × 20 sessionsDLPFCfigure-eight coilmild and moderateImprovements in executive functioning[54]Clinical trials (Randomized controlled, double-blind, sham-controlled, proof-of-principle)Low20 HzrTMSrTMS stabilizes hyperplasticity by enhancing brain inhibitory mechanismsASD (active: n = 14; sham: n = 15; adults), TD (n = 30; adults)6000 pulses × 1 sessionM1unreportedunreportedThe application of rTMS has the potential to stabilize the excessive LTD observed in ASD[73]Clinical trials (Randomized controlled, double-blind, sham-controlled, pilot)Low20 HzrTMSThe altered excitatory and inhibitory neurotransmission associated with ASDASD with executive function impairment (active: n = 16; sham: n = 12; adults), TD (n = 19; adults)1500 pulses/session (750 pulses per hemisphere, bilateral) × 20 sessionsDLPFCunreportedunreportedrTMS has been demonstrated to modulate glutamatergic levels in patients with ASD, with the direction of change observed to correlate with the patient’s baseline glutamatergic levels[133]Clinical trials (Randomized controlled, double-blind, sham-controlled)Low5 HzrTMSrTMS is a common technique used to enhance the excitability of underactive cortical regions and related networksASD (n = 28; adults)1500 pulses × 10 sessionsdorsomedial prefrontal cortexHAUT-CoilunreportedrTMS reduces social-related disorders and social-related anxiety[80]Clinical trial(Randomized controlled, feasibility)Moderate1 Hz rTMSBased on minicolumnpathy theory, rTMS over DLPFC can improve E-I ratioASD with intellectual disability (active: n = 16; sham: n = 16; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedBehavioral and EEG results showed differences before and after treatment[53]Clinical trial(Randomized controlled, wait-list controlled)Moderate1 HzrTMSBased on minicolumnpathy theory, low-frequency TMS restores cortical E-I balance and improves long-range cortical connectivityASD(active: n = 20; sham: n = 20; children)150 pulses × 12 sessionsDLPFCfigure-eight coilunreportedError monitoring and corrective function were improved after TMS treatment[74]Clinical trial(Randomized controlled, wait-list controlled, pilot)Moderate1 HzrTMSrTMS over the DLPFC improves E-I ratioASD (active: n = 16; sham: n = 16; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedThe rTMS group demonstrated notable enhancements in both behavioral and functional outcomes[310]Clinical trial (Single-group exploratory, pre-post intervention)High0.5 HzrTMSAlteration of cortical E-I balance by activation of inhibitory GABAergic double bouquet interneuronsASD (n = 13, aged 9–27 years)150 pulses × 6 sessionsDLPFCfigure-eight coilunreportedSignificant changes were observed in the early, mid-latency, and late event-related potential components in the frontal, central, parietal, and parieto-occipital regions of interest[72]Clinical trial(Single-group exploratory, pre-post intervention)High1 HzrTMSLow-frequency rTMS has been demonstrated to normalize aberrant gamma oscillations in patients with ASD, and to improve repetitive behaviors and executive functionsASD (n = 19; children), TD (n = 19; children)180 pulses × 12 sessionsDLPFCfigure-eight coilunreportedFollowing the rTMS intervention, patients with ASD exhibited a notable reduction in gamma responses to task-irrelevant stimuli, a diminished propensity for aberrant behaviors, and a decline in irritability, hyperactivity, and repetitive behavior scores as evidenced by behavioral questionnaires[311]Clinical trial(Single-group exploratory, pre-post intervention)High1 HzrTMSLow-frequency rTMS can reduce cortical excitabilityASD (n = 14; children)160 pulses × 20 sessionsDLPFCfigure-eight coilno adverse events occurredIt can alter the brain structure and function of children with ASD, and these changes are correlated with improvements in behavioral symptoms[312]Animal study (Preclinical, single-group pre-post intervention)High1 HzrTMSrTMS has been demonstrated to modulate synaptic plasticity, attenuate neuroinflammation, and inhibit glial cell activationSham, rTMS, ASD rat model, ASD rat model + rTMS (n = 8 per group)900 pulses × 14 sessionswhole brainsmall animal circular coilunreportedThe 1 Hz rTMS treatment has been demonstrated to significantly ameliorate abnormal behavior and deficits in synaptic plasticity, as well as excessive neuroinflammation, in ASD model rats[57]Animal study (Preclinical, single-group pre-post intervention)High10 HzrTMSrTMS has been demonstrated to possess antioxidant properties, to enhance BDNF production, and to impact dendrite growth and spine maturationSham, rTMS + Healthy rat, ASD rat model, ASD rat model + rTMS (n = 8 per group)600 pulses × 14 sessionswhole brainfigure-eight coilunreportedrTMS was observed to improve ASD symptoms for reasons related to antioxidant properties and the capacity to enhance BDNF, SYN levels, and dendritic spine density[58]Clinical trial (Single-group exploratory, open-label, pre-post intervention)High10 HzrTMSImbalance between excitatory and inhibitory signals and altered functional connectivity within and between different brain regionsASD and co-morbid major depressive disorder (n = 10; adults)3000 pulses × 25 sessionsDLPFCfigure-eight coilThe side effects of rTMS are minimal and well tolerated.A significant improvement was observed in depressive symptoms and core autism symptoms.[313]Clinical trials (Single-group exploratory, pre-post intervention)High15 HzrTMSHigh-frequency rTMS has the potential to facilitate interactions between parietal and other brain regionsASD (n = 24; children), TD (n = 24; children)—Left parietal lobefigure-eight coilunreportedHigh-frequency rTMS over the parietal lobe may ameliorate core ASD symptoms by enhancing long-range connectivity reorganization[314]Clinical trials (Single-group exploratory, pre-post intervention)High1 and 10 Hz rTMSHigh-frequency rTMS over the left DLPFC has been demonstrated to induce LTP of synaptic transmission in the stimulated area. Conversely, low-frequency rTMS over the right DLPFC has been shown to improve the pattern of abnormal brainwave activity in the gamma bandwidth in patients with ASDASD (n = 45; children)—left DLPFC with high frequency (10 Hz) and right DLPFC with low frequency (1 Hz)figure-eight coilunreportedImprovements in Childhood Autism Rating Scale scores and eye gaze on faces were observed[315]\nMajor studies of conventional rTMS interventions in ASD\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nASD\n(active: n = 15; sham: n = 26; children)\n20 Hz\nrTMS\n20 Hz\nrTMS\n20 Hz\nrTMS\n5 Hz\nrTMS\nClinical trial\n(Randomized controlled, feasibility)\nClinical trial\n(Randomized controlled, wait-list controlled)\n1 Hz\nrTMS\nASD\n(active: n = 20; sham: n = 20; children)\nClinical trial\n(Randomized controlled, wait-list controlled, pilot)\n1 Hz\nrTMS\n0.5 Hz\nrTMS\nClinical trial\n(Single-group exploratory, pre-post intervention)\n1 Hz\nrTMS\nClinical trial\n(Single-group exploratory, pre-post intervention)\n1 Hz\nrTMS\n1 Hz\nrTMS\n10 Hz\nrTMS\n10 Hz\nrTMS\n15 Hz\nrTMS\nTable 2Major studies of patterned rTMS interventions in ASDStudy DesignRisk of BiasIntervention ProgramsTheoretical BasisSubjectPulsesTargetCoilAdverse EventsFindings/ConclusionsReferencesClinical trial(Randomized controlled, single-blind, sham-controlled)LowiTBSiTBS has been shown to influence LTP in neurons, as well as synaptic plasticityASD (active: n = 22; sham: n = 27; children and adolescents)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 16 sessionspSTSfigure-eight coilunreportedNull effect of iTBS on the macro/microstructure of cerebral white matter[59]Clinical trial(Randomized controlled, single-blind, sham-controlled, two-phase)LowiTBSiTBS has been demonstrated to influence cortical excitability and induce alterations in neuroplasticityASD (active: n = 40; sham: n = 38; children)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 16 sessionspSTSfigure-eight coilminor and transient side effectsLonger therapy sessions are necessary to achieve a therapeutic effect on social deficits in children with ASD[60]Clinical trial(Randomized controlled, single-blind, sham-controlled, crossover, pilot)LowiTBSTBS can be delivered continuously or intermittently, producing inhibitory LTD-like or excitatory LTP-like effects, respectivelyASD (active then sham: n = 6; sham then active: n = 7; adults)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 10 sessionspSTSfigure-eight coilunreportedA 5-day course of multi-treatment iTBS shows therapeutic potential for adult patients with ASD[67]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowiTBSiTBS has been demonstrated to enhance cortical excitabilityautism-like traits (active: n = 16; sham: n = 16; adults)600 pulses × 5 sessionspSTSair-cooled figure-eight coilThe only reported side effect is temporary discomfort caused by muscle twitching around the eyesiTBS can modulate relevant neural networks to improve patients’ emotional perceptions[68]Clinical trial(Randomized controlled, sham-controlled, crossover, pilot)LowiTBSiTBS has been demonstrated to elicit excitatory LTP-like effectsASD (cross-acceptance of active / sham stimulation: n = 19; adults)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 1 sessionDLPFC, pSTSfigure-eight coilNo adverse reactions other than transient discomfort due to muscle twitching around the eyes have been reportedA single iTBS on bilateral DLPFC may alter neuropsychological functioning in ASD[75]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowcTBSAn imbalance in the E-I ratio is a common feature of ASD patientsASD (active: n = 30; sham: n = 30; aged 8–30 years)600 pulses ×16 sessionsDLPFCfigure-eight coilThe discomfort subsides rapidlyNo support for cTBS is valid[51]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowcTBSThe correction of E-I imbalance can be achieved by the inhibition of cortical excitabilityASD (active: n = 28; sham: n = 27; aged 8-30years)600 pulses × 16 sessionsDLPFCfigure-eight coilunreportedThe results demonstrated no statistically significant effect of cTBS over the left DLPFC on cerebral white matter macrostructures and microstructure as well as connectivity in patients with ASD[52]Clinical trial(Randomized controlled, double-blind, active-controlled)LowcTBScTBS induces LTD–like effects in cortical areasASD (active: n = 23; sham: n = 21; children)1800 pulses × 20 sessionsactive: the site of the left DLPFC that has functional connectivity with the amygdala; sham: standard prefrontal sitefigure-eight coilunreportedPersonalized brain stimulation targeting key autism-related brain regions (the amygdala-prefrontal cortex circuit) demonstrates substantially greater therapeutic potential than standard stimulation protocols, with superior outcomes in treatment efficacy, brain structural/functional changes, and neural network modulation.[96]Clinical trial(Single-group exploratory, pre-post intervention, open-label, pilot)HighiTBSExcitatory and inhibitory (E-I) imbalanceASD (active: n = 10; adults)1200 pulses × 1 sessionlateral cerebellumfigure-eight coilno severe adverse eventsdecrease in functional connectivity within the default-mode network and somatosensory motor network[316]Clinical trial(Single-group exploratory, pre-post intervention)HighiTBSiTBS has been demonstrated to enhance cortical excitability and elicit LTP-like effectsASD (active: n = 10; children and adolescents aged 9–17 years)600 pulses × 15 sessionsDLPFCunreportedThe treatment was found to be well-tolerated, with no serious adverse effects reportedThe evidence suggests that iTBS may facilitate improvements in restrictive and repetitive behaviors, obsessive-compulsive behaviors, and neurocognitive functioning[71]\nMajor studies of patterned rTMS interventions in ASD\nClinical trial\n(Randomized controlled, single-blind, sham-controlled)\nASD (active: n = 22; sham: n = 27; children and adolescents\n)\nClinical trial\n(Randomized controlled, single-blind, sham-controlled, two-phase)\nClinical trial\n(Randomized controlled, single-blind, sham-controlled, crossover, pilot)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, sham-controlled, crossover, pilot)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, double-blind, active-controlled)\nClinical trial\n(Single-group exploratory, pre-post intervention, open-label, pilot)\nClinical trial\n(Single-group exploratory, pre-post intervention)\nFurthermore, regarding dosage, as shown in Tables 1 and 2, conventional low-frequency rTMS interventions for ASD in early clinical trials demonstrated significantly lower single-pulse and total pulse doses compared to high-frequency conventional rTMS. A comparison of pulses per session in patterned rTMS vs. conventional low-frequency protocols shows patterned rTMS uses more pulses per session. This higher single dose stems from its targeted design. For example, most iTBS studies use bilateral segmented protocols, or deliver stimulation intermittently (not continuously) in one session. This approach rationally partitions the effective dose per continuous application to specific brain targets, thereby avoiding excessive stimulation intensity within a single session. This method aligns with neuroplasticity modulation mechanisms while reducing potential adverse reaction risks. It is noteworthy that cases involving exceptionally high single-pulse counts predominantly involve adult ASD patients (such as those with comorbid severe depression) or animal models. This phenomenon is closely linked to the specificity of research design. For adult patients, greater cortical maturity and tolerance allows them to withstand relatively higher single-pulse doses to pursue improvements in core symptoms (e.g., depressive mood and repetitive behaviours). By comparison, dosage settings for animal models require adjustment based on factors such as species-specific brain volume and cortical sensitivity. Despite the reduced number of pulses per session when compared to adult protocols, the total treatment duration is approximately equivalent to that of short-to-medium-term human interventions. This provides foundational safety and efficacy references for subsequent human clinical trial dose optimisation. This also underscores that rTMS dosage design must be fully tailored to the subject’s age, disease severity, and model type, rather than relying solely on pulse count to gauge the appropriateness of intervention intensity.\nIn regard to the selection of stimulation modes, initial studies employed low-frequency rTMS as an intervention, which is predicated on the “minicolumnopathy” hypothesis and the core mechanism of E-I imbalance in ASD. Anatomical evidence indicates that minicolumns, the fundamental unit of information processing in the autistic brain, exhibit reduced size and altered internal structure. In particular, the number or function of gamma-aminobutyric acid (GABA)ergic neurons located in minicolumns may be abnormal, which could result in a weakening of inhibitory signaling between minicolumns and an increase in the ratio of cortical excitation to inhibition [47, 48]. Given that ASD is characterized by disrupted cortical excitability stemming from an elevated E-I ratio, inhibitory low-frequency rTMS was rationally selected as an early intervention strategy to restore the E-I balance. Consequently, rTMS modalities with inhibitory effects are employed for intervention purposes. A minority of studies employed high-frequency rTMS for intervention, primarily due to its capacity to enhance interactions within or between distinct brain regions. In contrast to the inhibitory mechanism of low-frequency rTMS, high-frequency rTMS is designed to target potential hypo-excitability in specific brain circuits of ASD individuals, thereby adjusting the E-I ratio through excitatory modulation. Contrary to the findings of previous studies, contemporary trends indicate a clinical preference for (or shift toward) excitatory iTBS as the intervention modality, marking a deviation from earlier research that was centred on inhibitory low-frequency rTMS. This shift in intervention protocols may be attributable to the divergent regulatory mechanisms underpinning the two approaches. The rationale behind iTBS is based on theories that emphasise excitatory long-term potentiation (LTP)-like effects and synaptic plasticity. Specifically, iTBS has been shown to induce LTP-like plasticity in the motor cortex via NMDA receptor modulation, which provides a direct electrophysiological basis for its regulatory role in synaptic plasticity and neural circuit function [49, 50]. Moreover, the only two studies of cTBS intervention in ASD were exploratory trials conducted by Ni et al. These studies sought to address a research gap by investigating the feasibility, tolerability, and safety of cTBS intervention protocols [51], as well as their effects on cerebral white matter macro-/microstructures and connectivity in patients with ASD [52]. It is worthy of note that in the selection of stimulation protocols, the preponderance of researchers tend to draw upon approaches that have been demonstrated to yield satisfactory outcomes in prior studies. For instance, Kang et al.‘s research confirmed that low-frequency rTMS significantly ameliorates irritability symptoms and repetitive behaviours in individuals with autism, while also enhancing event-related potential components associated with target stimuli [53]. Additionally, some studies have chosen to draw upon research findings concerning disorders exhibiting symptoms similar to ASD. For instance, Ameis’s study [54] was grounded in the premise that individuals with ASD and schizophrenia share comparable cognitive and functional impairments, with therapeutic medications exhibiting commonalities [55]. Furthermore, he incorporated prior research confirming that rTMS can ameliorate working memory deficits in schizophrenia patients [56], hence employing comparable rTMS parameters in his study. However, the extant research in this field remains markedly limited in scope. The majority of studies to date have focused on clinical intervention trials, with only a small number of basic research investigations utilising animal models. Furthermore, the results of these preliminary studies suggest that the intervention mechanisms may be associated with synaptic plasticity and neuroinflammation. Specifically, Xu et al. found that low-frequency rTMS (1 Hz) improved LTP deficits in the hippocampus of valproic acid-induced autism-like rats, normalising dendritic spine density alongside restored expression of synaptic proteins such as NR2B and PSD-95 [57]. Similarly, Afshari et al. confirmed that high-frequency rTMS (10 Hz) alleviated autistic-like behaviors in valproate-exposed rats by reducing neuroinflammatory markers, such as hippocampal tumor necrosis factor-α (TNF-α), and enhancing hippocampal synaptic plasticity through the upregulation of brain-derived neurotrophic factor (BDNF) and synaptophysin levels [58]. While accumulating evidence supports the efficacy of various TMS protocols in ASD, mechanistic understanding remains limited. Thus, the following section will elaborate on potential neurobiological mechanisms underlying TMS efficacy in ASD.\nFrom the perspective of overall efficacy, in studies with different levels of bias risk (refer to Tables 1 and 2), the regulatory effect of TMS on ASD shows clear stratification characteristics: in RCT studies with low bias risk, TMS (especially the 1 Hz/10Hz regimen for DLPFC) often exhibits a “slight but stable regulatory effect”, mainly improving repetitive behavior (such as reducing RBS-R scores by 0.3–0.5 standard deviations), and EEG indicators (such as θ wave power) show consistent changes; In non randomized studies with moderate bias risk, there is a divergence of conclusions regarding the improvement of social communication symptoms by TMS (approximately 60% of studies reported positive results, while 40% showed no significant difference), which may be directly related to sample heterogeneity and inconsistent stimulus parameters; As for small sample exploratory studies with high bias risk, although some reports have shown significant improvement in core symptoms, the reproducibility and reliability of these results remain questionable due to methodological flaws such as unblinding and insufficient sample size. The above regulatory effects are mainly reflected through the evaluation of relevant behavioral scales and changes in EEG indicators.\nIt is important to note that not all studies yielded positive outcomes, with some reporting negative conclusions. For instance, the high-bias, low-sample-size study conducted by Ni’s team did not support the efficacy of cTBS over sham stimulation in the left dorsolateral prefrontal cortex (DLPFC) [51]. In addition, this research group found iTBS to be ineffective in influencing macro- or micro-structural changes in brain white matter [59]. The causes of such negative outcomes are multifaceted, closely linked to the inherent high heterogeneity within ASD itself [54, 60], and are intrinsically linked to key elements of intervention design and methodological shortcomings in research methodologies (such as risks of bias). About heterogeneity, some children with autism exhibit hyperarousal to social information (excessive sensitivity to social stimuli leading to avoidance of social interaction), while others demonstrate hypoarousal (reduced social motivation and diminished interest). This distinction is supported by behavioural, eye-tracking, and neuroimaging studies [61]. The heterogeneity characteristics of ASD, such as age, severity of symptoms, and comorbidities, further limit the reliable evaluation of TMS efficacy, and fail to adapt stimulation regimens to specific arousal states and individual heterogeneity, which may directly impair treatment effectiveness. With regard to the design of interventions, considerable variations in pulse parameters are evident across studies. Specifically, conventional rTMS single-session pulse counts range from 150 to 6000, with total pulse counts for patterned rTMS spanning 600 to 38,400. It has been demonstrated that the outcomes of certain studies have been suboptimal, a phenomenon that can be attributed to the mismatch between the dosing and the characteristics of the target brain region excitability (for example, the application of low-dose inhibitory stimulation to areas that exhibit under-inhibition). At the cycle level, certain studies utilised only 1–5 brief treatment courses (e.g., specific iTBS studies with a single course), whereas the majority of favourable outcomes emerged from studies encompassing 12–20 extended courses. Short-term interventions are ineffective in inducing stable neuroplastic changes, thus failing to sustain long-term improvement in symptoms. At the level of study design, while most investigations incorporated sham stimulation groups, some early studies lacked placebo controls, and certain trials did not strictly implement double-blind protocols. This precludes ruling out interference from “natural symptom fluctuations” and placebo effects, thereby complicating the establishment of TMS-specific effects. The aforementioned design deficiencies, when considered collectively, have the potential to result in unfavourable outcomes. Consequently, greater attention should be paid to the heterogeneity of ASD, with differences in arousal states serving as a key basis for selecting excitatory/inhibitory TMS protocols. Furthermore, larger-scale and rigorously designed double-blind placebo-controlled randomized controlled trials will be needed in the future, and research will be conducted based on unified evaluation criteria. By further elucidating the subtypes of ASD and their neurobiological basis, while promoting dose standardization, rationalizing treatment cycles, improving control design, and standardizing research methodology to reduce the risk of bias, it is possible to develop precise treatment plans under the guidance of deep scientific theories.\n\n\n### TMS stimulation modalities and their characteristics\nDepending on the pulses, TMS can be classified into three main stimulation modes. Single-pulse transcranial magnetic stimulation (sTMS) is a technique that generates transient currents in the cerebral cortex, instantly depolarizing neurons [27]. When sTMS is applied with appropriate intensity to the subject’s primary motor cortex (M1), it leads to motor evoked potentials. These motor evoked potentials are directly responsive to excitability and functional integrity of corticospinal tract with excellent temporal resolution [28]. Additionally, MEPs can assess other indices, such as resting motor threshold [29] and central motor conduction time [30]. Paired-pulse transcranial magnetic stimulation (pTMS) can deliver two consecutive stimulations of different intensities at very short intervals at the same stimulation site, or apply two stimulators to two different sites (also known as double-coil TMS), to study neural facilitation and inhibition by adjusting the intensity and interstimulus interval between the pulse (the previous one) and the subsequent test pulse [31, 32].\nRepetitive transcranial magnetic stimulation (rTMS) is a technique that delivers multiple stimulation pulses at various stimulation frequencies (e.g., 1, 5, or 10 Hz) over short time intervals [33]. In general, sTMS and pTMS can be used to explore brain function, while rTMS is used to induce changes in brain activity. rTMS produces longer-lasting changes in neural activity compared to sTMS and pTMS protocols [25]. Additionally, the after-effects of rTMS primarily depend on the stimulation frequency and duration [34]. Depending on the frequency of stimulation, rTMS can achieve therapeutic and temporary excitatory or inhibitory effects on specific cortical functional areas, it is widely recognized as a classic finding that low-frequency (≤ 1 Hz) rTMS reduces neuronal excitability, whereas high-frequency (5–20 Hz) rTMS can increase neuronal excitability [35–38]. In addition to the frequency-dependent stimulation effect, the duration of the after-effects appears to be proportional to the duration of the stimulation. That is, the longer the stimulation, the longer the duration of the after-effects [25].\nThe traditional rTMS protocol consist of consecutive identical stimulations with fixed interstimulus intervals, and their effect depends on the frequency of the stimulation. Subsequent studies have developed new patterned protocols based on this. Theta burst stimulation (TBS) is a commonly used technique that consists of repetitive high-frequency stimulation pulses (3 pulses at 50 Hz) spaced 200 ms apart (i.e., 5 Hz, theta rhythm in electroencephalogram (EEG) nomenclature) [39]. The intensity is typically set to 80% of the active motor threshold, and the pattern is designed to enhance cortical excitability by mimicking cortical theta wave rhythms to improve synaptic transmission [40]. TBS may be a potential solution for optimizing therapeutic utility and duration of effects. This novel stimulation paradigm can modulate the human cerebral cortex, producing controlled, consistent, powerful, and longer-lasting after-effects on the physiology and behavior of the relevant brain regions with fewer impulses over a shorter period and at lower stimulation intensities [41]. Various TBS patterns elicit distinct effects on cortical excitability. Clinical studies typically employ two types: intermittent theta burst stimulation (iTBS) and continuous theta burst stimulation (cTBS). iTBS involves 2-second TBS treatments at 8-second intervals over a 192-second period (a total of 600 pulses), which promotes cortical excitability. In contrast, cTBS involves continuous TBS over a 40-second period with a total of 600 pulses, which reduces cortical excitability [42].\n\n\n### Safety and adverse effects in the ASD population\nRecent clinical reports on TMS interventions for ASD (refer to Tables 1 and 2), indicate that current TMS protocols demonstrate generally favourable safety profiles: No cases of severe adverse events, including persistent headaches or seizures, were reported in any of the studies. A limited number of studies have documented mild and transient adverse reactions, including temporary discomfort resulting from periorbital muscle twitching, following interventions involving high-frequency conventional rTMS (e.g., 20 Hz protocols) or patterned rTMS (e.g., iTBS). Such discomfort is ordinarily resolved rapidly and does not impede the intervention process. This finding is consistent with the established mechanism of non-invasive modulation of cortical excitability by TMS, and it is also consistent with the safety considerations that are incorporated into current dosage designs, such as segmented pulses and bilateral stimulation. However, it is crucial to note that the vast majority of these clinical trials exhibit limitations in their follow-up design. The lack of long-term data on both efficacy (e.g., sustained improvement in daily functioning and core symptoms) and safety remains a major limitation. This paucity of information may impede a comprehensive evaluation of TMS’s long-term efficacy in ASD intervention. Consequently, further prospective studies with extended follow-up periods are required to further validate these findings. Nevertheless, drawing upon the findings of meta-analyses regarding the application of TMS in other neuropsychiatric disorders, such as depression and anxiety [43], TMS demonstrates relatively high overall safety, even when employing dosage regimens similar to those used in research on ASD, including interventions targeting paediatric populations. It is noteworthy that children and adults with ASD exhibit age-related differences in tolerance, with their developing cerebral cortex and immature neural circuits rendering them more sensitive to the intensity and frequency of stimuli. Consequently, more rigorous dose titration is required compared to adult protocols (e.g., commencing with subthreshold stimulation and gradually escalating to effective doses) [44, 45]. Concurrently, current clinical research incorporates dedicated ethical review measures for paediatric participants. These include the requirement for legal guardians to provide informed consent, where possible, for children who have the capacity to do so. Rigorous risk-benefit assessments must be conducted prior to the commencement of trials, and there is a requirement for real-time, continuous monitoring of adverse reactions throughout the intervention [44, 46].This cross-disease safety data may provide circumstantial evidence regarding the safety of TMS interventions in the ASD field to a certain extent. Furthermore, it provides a framework for optimising TMS dosages and developing long-term intervention protocols for future ASD patients, with a particular focus on the paediatric population.\nTable 1Major studies of conventional rTMS interventions in ASDStudy DesignRisk of BiasIntervention ProgramsTheoretical BasisSubjectPulsesTargetCoilAdverse EventsFindings/ConclusionsReferencesClinical trial(Randomized controlled, double-blind, sham-controlled)Low1 Hz rTMSIn accordance with the minicolumnpathy theory, TMS exerts an influence on cortical excitabilityASD(active: n = 15; sham: n = 26; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedFollowing rTMS treatment, DTF connectivity was reduced in the α-band between O1 and T7 as well as between P7 and Fp1. Additionally, DTF values were reduced in the γ-band between Pz and T8[219]Clinical trials (Randomized controlled, double-blind, sham-controlled, pilot)Low20 HzrTMSEnhancement of cortical inhibition by high-frequency rTMSASD (active: n = 20; sham: n = 20; adults)1500 pulses/session (750 pulses per hemisphere, bilateral) × 20 sessionsDLPFCfigure-eight coilmild and moderateImprovements in executive functioning[54]Clinical trials (Randomized controlled, double-blind, sham-controlled, proof-of-principle)Low20 HzrTMSrTMS stabilizes hyperplasticity by enhancing brain inhibitory mechanismsASD (active: n = 14; sham: n = 15; adults), TD (n = 30; adults)6000 pulses × 1 sessionM1unreportedunreportedThe application of rTMS has the potential to stabilize the excessive LTD observed in ASD[73]Clinical trials (Randomized controlled, double-blind, sham-controlled, pilot)Low20 HzrTMSThe altered excitatory and inhibitory neurotransmission associated with ASDASD with executive function impairment (active: n = 16; sham: n = 12; adults), TD (n = 19; adults)1500 pulses/session (750 pulses per hemisphere, bilateral) × 20 sessionsDLPFCunreportedunreportedrTMS has been demonstrated to modulate glutamatergic levels in patients with ASD, with the direction of change observed to correlate with the patient’s baseline glutamatergic levels[133]Clinical trials (Randomized controlled, double-blind, sham-controlled)Low5 HzrTMSrTMS is a common technique used to enhance the excitability of underactive cortical regions and related networksASD (n = 28; adults)1500 pulses × 10 sessionsdorsomedial prefrontal cortexHAUT-CoilunreportedrTMS reduces social-related disorders and social-related anxiety[80]Clinical trial(Randomized controlled, feasibility)Moderate1 Hz rTMSBased on minicolumnpathy theory, rTMS over DLPFC can improve E-I ratioASD with intellectual disability (active: n = 16; sham: n = 16; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedBehavioral and EEG results showed differences before and after treatment[53]Clinical trial(Randomized controlled, wait-list controlled)Moderate1 HzrTMSBased on minicolumnpathy theory, low-frequency TMS restores cortical E-I balance and improves long-range cortical connectivityASD(active: n = 20; sham: n = 20; children)150 pulses × 12 sessionsDLPFCfigure-eight coilunreportedError monitoring and corrective function were improved after TMS treatment[74]Clinical trial(Randomized controlled, wait-list controlled, pilot)Moderate1 HzrTMSrTMS over the DLPFC improves E-I ratioASD (active: n = 16; sham: n = 16; children)180 pulses × 18 sessionsDLPFCfigure-eight coilunreportedThe rTMS group demonstrated notable enhancements in both behavioral and functional outcomes[310]Clinical trial (Single-group exploratory, pre-post intervention)High0.5 HzrTMSAlteration of cortical E-I balance by activation of inhibitory GABAergic double bouquet interneuronsASD (n = 13, aged 9–27 years)150 pulses × 6 sessionsDLPFCfigure-eight coilunreportedSignificant changes were observed in the early, mid-latency, and late event-related potential components in the frontal, central, parietal, and parieto-occipital regions of interest[72]Clinical trial(Single-group exploratory, pre-post intervention)High1 HzrTMSLow-frequency rTMS has been demonstrated to normalize aberrant gamma oscillations in patients with ASD, and to improve repetitive behaviors and executive functionsASD (n = 19; children), TD (n = 19; children)180 pulses × 12 sessionsDLPFCfigure-eight coilunreportedFollowing the rTMS intervention, patients with ASD exhibited a notable reduction in gamma responses to task-irrelevant stimuli, a diminished propensity for aberrant behaviors, and a decline in irritability, hyperactivity, and repetitive behavior scores as evidenced by behavioral questionnaires[311]Clinical trial(Single-group exploratory, pre-post intervention)High1 HzrTMSLow-frequency rTMS can reduce cortical excitabilityASD (n = 14; children)160 pulses × 20 sessionsDLPFCfigure-eight coilno adverse events occurredIt can alter the brain structure and function of children with ASD, and these changes are correlated with improvements in behavioral symptoms[312]Animal study (Preclinical, single-group pre-post intervention)High1 HzrTMSrTMS has been demonstrated to modulate synaptic plasticity, attenuate neuroinflammation, and inhibit glial cell activationSham, rTMS, ASD rat model, ASD rat model + rTMS (n = 8 per group)900 pulses × 14 sessionswhole brainsmall animal circular coilunreportedThe 1 Hz rTMS treatment has been demonstrated to significantly ameliorate abnormal behavior and deficits in synaptic plasticity, as well as excessive neuroinflammation, in ASD model rats[57]Animal study (Preclinical, single-group pre-post intervention)High10 HzrTMSrTMS has been demonstrated to possess antioxidant properties, to enhance BDNF production, and to impact dendrite growth and spine maturationSham, rTMS + Healthy rat, ASD rat model, ASD rat model + rTMS (n = 8 per group)600 pulses × 14 sessionswhole brainfigure-eight coilunreportedrTMS was observed to improve ASD symptoms for reasons related to antioxidant properties and the capacity to enhance BDNF, SYN levels, and dendritic spine density[58]Clinical trial (Single-group exploratory, open-label, pre-post intervention)High10 HzrTMSImbalance between excitatory and inhibitory signals and altered functional connectivity within and between different brain regionsASD and co-morbid major depressive disorder (n = 10; adults)3000 pulses × 25 sessionsDLPFCfigure-eight coilThe side effects of rTMS are minimal and well tolerated.A significant improvement was observed in depressive symptoms and core autism symptoms.[313]Clinical trials (Single-group exploratory, pre-post intervention)High15 HzrTMSHigh-frequency rTMS has the potential to facilitate interactions between parietal and other brain regionsASD (n = 24; children), TD (n = 24; children)—Left parietal lobefigure-eight coilunreportedHigh-frequency rTMS over the parietal lobe may ameliorate core ASD symptoms by enhancing long-range connectivity reorganization[314]Clinical trials (Single-group exploratory, pre-post intervention)High1 and 10 Hz rTMSHigh-frequency rTMS over the left DLPFC has been demonstrated to induce LTP of synaptic transmission in the stimulated area. Conversely, low-frequency rTMS over the right DLPFC has been shown to improve the pattern of abnormal brainwave activity in the gamma bandwidth in patients with ASDASD (n = 45; children)—left DLPFC with high frequency (10 Hz) and right DLPFC with low frequency (1 Hz)figure-eight coilunreportedImprovements in Childhood Autism Rating Scale scores and eye gaze on faces were observed[315]\nMajor studies of conventional rTMS interventions in ASD\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nASD\n(active: n = 15; sham: n = 26; children)\n20 Hz\nrTMS\n20 Hz\nrTMS\n20 Hz\nrTMS\n5 Hz\nrTMS\nClinical trial\n(Randomized controlled, feasibility)\nClinical trial\n(Randomized controlled, wait-list controlled)\n1 Hz\nrTMS\nASD\n(active: n = 20; sham: n = 20; children)\nClinical trial\n(Randomized controlled, wait-list controlled, pilot)\n1 Hz\nrTMS\n0.5 Hz\nrTMS\nClinical trial\n(Single-group exploratory, pre-post intervention)\n1 Hz\nrTMS\nClinical trial\n(Single-group exploratory, pre-post intervention)\n1 Hz\nrTMS\n1 Hz\nrTMS\n10 Hz\nrTMS\n10 Hz\nrTMS\n15 Hz\nrTMS\nTable 2Major studies of patterned rTMS interventions in ASDStudy DesignRisk of BiasIntervention ProgramsTheoretical BasisSubjectPulsesTargetCoilAdverse EventsFindings/ConclusionsReferencesClinical trial(Randomized controlled, single-blind, sham-controlled)LowiTBSiTBS has been shown to influence LTP in neurons, as well as synaptic plasticityASD (active: n = 22; sham: n = 27; children and adolescents)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 16 sessionspSTSfigure-eight coilunreportedNull effect of iTBS on the macro/microstructure of cerebral white matter[59]Clinical trial(Randomized controlled, single-blind, sham-controlled, two-phase)LowiTBSiTBS has been demonstrated to influence cortical excitability and induce alterations in neuroplasticityASD (active: n = 40; sham: n = 38; children)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 16 sessionspSTSfigure-eight coilminor and transient side effectsLonger therapy sessions are necessary to achieve a therapeutic effect on social deficits in children with ASD[60]Clinical trial(Randomized controlled, single-blind, sham-controlled, crossover, pilot)LowiTBSTBS can be delivered continuously or intermittently, producing inhibitory LTD-like or excitatory LTP-like effects, respectivelyASD (active then sham: n = 6; sham then active: n = 7; adults)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 10 sessionspSTSfigure-eight coilunreportedA 5-day course of multi-treatment iTBS shows therapeutic potential for adult patients with ASD[67]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowiTBSiTBS has been demonstrated to enhance cortical excitabilityautism-like traits (active: n = 16; sham: n = 16; adults)600 pulses × 5 sessionspSTSair-cooled figure-eight coilThe only reported side effect is temporary discomfort caused by muscle twitching around the eyesiTBS can modulate relevant neural networks to improve patients’ emotional perceptions[68]Clinical trial(Randomized controlled, sham-controlled, crossover, pilot)LowiTBSiTBS has been demonstrated to elicit excitatory LTP-like effectsASD (cross-acceptance of active / sham stimulation: n = 19; adults)2400 pulses/session (1200 pulses per hemisphere, bilateral) × 1 sessionDLPFC, pSTSfigure-eight coilNo adverse reactions other than transient discomfort due to muscle twitching around the eyes have been reportedA single iTBS on bilateral DLPFC may alter neuropsychological functioning in ASD[75]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowcTBSAn imbalance in the E-I ratio is a common feature of ASD patientsASD (active: n = 30; sham: n = 30; aged 8–30 years)600 pulses ×16 sessionsDLPFCfigure-eight coilThe discomfort subsides rapidlyNo support for cTBS is valid[51]Clinical trial(Randomized controlled, double-blind, sham-controlled)LowcTBSThe correction of E-I imbalance can be achieved by the inhibition of cortical excitabilityASD (active: n = 28; sham: n = 27; aged 8-30years)600 pulses × 16 sessionsDLPFCfigure-eight coilunreportedThe results demonstrated no statistically significant effect of cTBS over the left DLPFC on cerebral white matter macrostructures and microstructure as well as connectivity in patients with ASD[52]Clinical trial(Randomized controlled, double-blind, active-controlled)LowcTBScTBS induces LTD–like effects in cortical areasASD (active: n = 23; sham: n = 21; children)1800 pulses × 20 sessionsactive: the site of the left DLPFC that has functional connectivity with the amygdala; sham: standard prefrontal sitefigure-eight coilunreportedPersonalized brain stimulation targeting key autism-related brain regions (the amygdala-prefrontal cortex circuit) demonstrates substantially greater therapeutic potential than standard stimulation protocols, with superior outcomes in treatment efficacy, brain structural/functional changes, and neural network modulation.[96]Clinical trial(Single-group exploratory, pre-post intervention, open-label, pilot)HighiTBSExcitatory and inhibitory (E-I) imbalanceASD (active: n = 10; adults)1200 pulses × 1 sessionlateral cerebellumfigure-eight coilno severe adverse eventsdecrease in functional connectivity within the default-mode network and somatosensory motor network[316]Clinical trial(Single-group exploratory, pre-post intervention)HighiTBSiTBS has been demonstrated to enhance cortical excitability and elicit LTP-like effectsASD (active: n = 10; children and adolescents aged 9–17 years)600 pulses × 15 sessionsDLPFCunreportedThe treatment was found to be well-tolerated, with no serious adverse effects reportedThe evidence suggests that iTBS may facilitate improvements in restrictive and repetitive behaviors, obsessive-compulsive behaviors, and neurocognitive functioning[71]\nMajor studies of patterned rTMS interventions in ASD\nClinical trial\n(Randomized controlled, single-blind, sham-controlled)\nASD (active: n = 22; sham: n = 27; children and adolescents\n)\nClinical trial\n(Randomized controlled, single-blind, sham-controlled, two-phase)\nClinical trial\n(Randomized controlled, single-blind, sham-controlled, crossover, pilot)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, sham-controlled, crossover, pilot)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, double-blind, sham-controlled)\nClinical trial\n(Randomized controlled, double-blind, active-controlled)\nClinical trial\n(Single-group exploratory, pre-post intervention, open-label, pilot)\nClinical trial\n(Single-group exploratory, pre-post intervention)\n\n\n### Dose parameter optimization strategies\nFurthermore, regarding dosage, as shown in Tables 1 and 2, conventional low-frequency rTMS interventions for ASD in early clinical trials demonstrated significantly lower single-pulse and total pulse doses compared to high-frequency conventional rTMS. A comparison of pulses per session in patterned rTMS vs. conventional low-frequency protocols shows patterned rTMS uses more pulses per session. This higher single dose stems from its targeted design. For example, most iTBS studies use bilateral segmented protocols, or deliver stimulation intermittently (not continuously) in one session. This approach rationally partitions the effective dose per continuous application to specific brain targets, thereby avoiding excessive stimulation intensity within a single session. This method aligns with neuroplasticity modulation mechanisms while reducing potential adverse reaction risks. It is noteworthy that cases involving exceptionally high single-pulse counts predominantly involve adult ASD patients (such as those with comorbid severe depression) or animal models. This phenomenon is closely linked to the specificity of research design. For adult patients, greater cortical maturity and tolerance allows them to withstand relatively higher single-pulse doses to pursue improvements in core symptoms (e.g., depressive mood and repetitive behaviours). By comparison, dosage settings for animal models require adjustment based on factors such as species-specific brain volume and cortical sensitivity. Despite the reduced number of pulses per session when compared to adult protocols, the total treatment duration is approximately equivalent to that of short-to-medium-term human interventions. This provides foundational safety and efficacy references for subsequent human clinical trial dose optimisation. This also underscores that rTMS dosage design must be fully tailored to the subject’s age, disease severity, and model type, rather than relying solely on pulse count to gauge the appropriateness of intervention intensity.\n\n\n### Current protocol selection and clinical rationales\nIn regard to the selection of stimulation modes, initial studies employed low-frequency rTMS as an intervention, which is predicated on the “minicolumnopathy” hypothesis and the core mechanism of E-I imbalance in ASD. Anatomical evidence indicates that minicolumns, the fundamental unit of information processing in the autistic brain, exhibit reduced size and altered internal structure. In particular, the number or function of gamma-aminobutyric acid (GABA)ergic neurons located in minicolumns may be abnormal, which could result in a weakening of inhibitory signaling between minicolumns and an increase in the ratio of cortical excitation to inhibition [47, 48]. Given that ASD is characterized by disrupted cortical excitability stemming from an elevated E-I ratio, inhibitory low-frequency rTMS was rationally selected as an early intervention strategy to restore the E-I balance. Consequently, rTMS modalities with inhibitory effects are employed for intervention purposes. A minority of studies employed high-frequency rTMS for intervention, primarily due to its capacity to enhance interactions within or between distinct brain regions. In contrast to the inhibitory mechanism of low-frequency rTMS, high-frequency rTMS is designed to target potential hypo-excitability in specific brain circuits of ASD individuals, thereby adjusting the E-I ratio through excitatory modulation. Contrary to the findings of previous studies, contemporary trends indicate a clinical preference for (or shift toward) excitatory iTBS as the intervention modality, marking a deviation from earlier research that was centred on inhibitory low-frequency rTMS. This shift in intervention protocols may be attributable to the divergent regulatory mechanisms underpinning the two approaches. The rationale behind iTBS is based on theories that emphasise excitatory long-term potentiation (LTP)-like effects and synaptic plasticity. Specifically, iTBS has been shown to induce LTP-like plasticity in the motor cortex via NMDA receptor modulation, which provides a direct electrophysiological basis for its regulatory role in synaptic plasticity and neural circuit function [49, 50]. Moreover, the only two studies of cTBS intervention in ASD were exploratory trials conducted by Ni et al. These studies sought to address a research gap by investigating the feasibility, tolerability, and safety of cTBS intervention protocols [51], as well as their effects on cerebral white matter macro-/microstructures and connectivity in patients with ASD [52]. It is worthy of note that in the selection of stimulation protocols, the preponderance of researchers tend to draw upon approaches that have been demonstrated to yield satisfactory outcomes in prior studies. For instance, Kang et al.‘s research confirmed that low-frequency rTMS significantly ameliorates irritability symptoms and repetitive behaviours in individuals with autism, while also enhancing event-related potential components associated with target stimuli [53]. Additionally, some studies have chosen to draw upon research findings concerning disorders exhibiting symptoms similar to ASD. For instance, Ameis’s study [54] was grounded in the premise that individuals with ASD and schizophrenia share comparable cognitive and functional impairments, with therapeutic medications exhibiting commonalities [55]. Furthermore, he incorporated prior research confirming that rTMS can ameliorate working memory deficits in schizophrenia patients [56], hence employing comparable rTMS parameters in his study. However, the extant research in this field remains markedly limited in scope. The majority of studies to date have focused on clinical intervention trials, with only a small number of basic research investigations utilising animal models. Furthermore, the results of these preliminary studies suggest that the intervention mechanisms may be associated with synaptic plasticity and neuroinflammation. Specifically, Xu et al. found that low-frequency rTMS (1 Hz) improved LTP deficits in the hippocampus of valproic acid-induced autism-like rats, normalising dendritic spine density alongside restored expression of synaptic proteins such as NR2B and PSD-95 [57]. Similarly, Afshari et al. confirmed that high-frequency rTMS (10 Hz) alleviated autistic-like behaviors in valproate-exposed rats by reducing neuroinflammatory markers, such as hippocampal tumor necrosis factor-α (TNF-α), and enhancing hippocampal synaptic plasticity through the upregulation of brain-derived neurotrophic factor (BDNF) and synaptophysin levels [58]. While accumulating evidence supports the efficacy of various TMS protocols in ASD, mechanistic understanding remains limited. Thus, the following section will elaborate on potential neurobiological mechanisms underlying TMS efficacy in ASD.\n\n\n### Factors contributing to inconsistent outcomes\nFrom the perspective of overall efficacy, in studies with different levels of bias risk (refer to Tables 1 and 2), the regulatory effect of TMS on ASD shows clear stratification characteristics: in RCT studies with low bias risk, TMS (especially the 1 Hz/10Hz regimen for DLPFC) often exhibits a “slight but stable regulatory effect”, mainly improving repetitive behavior (such as reducing RBS-R scores by 0.3–0.5 standard deviations), and EEG indicators (such as θ wave power) show consistent changes; In non randomized studies with moderate bias risk, there is a divergence of conclusions regarding the improvement of social communication symptoms by TMS (approximately 60% of studies reported positive results, while 40% showed no significant difference), which may be directly related to sample heterogeneity and inconsistent stimulus parameters; As for small sample exploratory studies with high bias risk, although some reports have shown significant improvement in core symptoms, the reproducibility and reliability of these results remain questionable due to methodological flaws such as unblinding and insufficient sample size. The above regulatory effects are mainly reflected through the evaluation of relevant behavioral scales and changes in EEG indicators.\nIt is important to note that not all studies yielded positive outcomes, with some reporting negative conclusions. For instance, the high-bias, low-sample-size study conducted by Ni’s team did not support the efficacy of cTBS over sham stimulation in the left dorsolateral prefrontal cortex (DLPFC) [51]. In addition, this research group found iTBS to be ineffective in influencing macro- or micro-structural changes in brain white matter [59]. The causes of such negative outcomes are multifaceted, closely linked to the inherent high heterogeneity within ASD itself [54, 60], and are intrinsically linked to key elements of intervention design and methodological shortcomings in research methodologies (such as risks of bias). About heterogeneity, some children with autism exhibit hyperarousal to social information (excessive sensitivity to social stimuli leading to avoidance of social interaction), while others demonstrate hypoarousal (reduced social motivation and diminished interest). This distinction is supported by behavioural, eye-tracking, and neuroimaging studies [61]. The heterogeneity characteristics of ASD, such as age, severity of symptoms, and comorbidities, further limit the reliable evaluation of TMS efficacy, and fail to adapt stimulation regimens to specific arousal states and individual heterogeneity, which may directly impair treatment effectiveness. With regard to the design of interventions, considerable variations in pulse parameters are evident across studies. Specifically, conventional rTMS single-session pulse counts range from 150 to 6000, with total pulse counts for patterned rTMS spanning 600 to 38,400. It has been demonstrated that the outcomes of certain studies have been suboptimal, a phenomenon that can be attributed to the mismatch between the dosing and the characteristics of the target brain region excitability (for example, the application of low-dose inhibitory stimulation to areas that exhibit under-inhibition). At the cycle level, certain studies utilised only 1–5 brief treatment courses (e.g., specific iTBS studies with a single course), whereas the majority of favourable outcomes emerged from studies encompassing 12–20 extended courses. Short-term interventions are ineffective in inducing stable neuroplastic changes, thus failing to sustain long-term improvement in symptoms. At the level of study design, while most investigations incorporated sham stimulation groups, some early studies lacked placebo controls, and certain trials did not strictly implement double-blind protocols. This precludes ruling out interference from “natural symptom fluctuations” and placebo effects, thereby complicating the establishment of TMS-specific effects. The aforementioned design deficiencies, when considered collectively, have the potential to result in unfavourable outcomes. Consequently, greater attention should be paid to the heterogeneity of ASD, with differences in arousal states serving as a key basis for selecting excitatory/inhibitory TMS protocols. Furthermore, larger-scale and rigorously designed double-blind placebo-controlled randomized controlled trials will be needed in the future, and research will be conducted based on unified evaluation criteria. By further elucidating the subtypes of ASD and their neurobiological basis, while promoting dose standardization, rationalizing treatment cycles, improving control design, and standardizing research methodology to reduce the risk of bias, it is possible to develop precise treatment plans under the guidance of deep scientific theories.\n\n\n### Magnetic coils\nThe shape of the magnetic coil determines the pattern of the electric field. In the original TMS study, Barker and colleagues used circular coils, which have a high penetrating capacity, but the stimulating effect is not very focused, with a spatial selectivity of > 4 cm2 [27], and are suitable for stimulating large and superficial motor areas, such as upper limb motor areas [25]. After conducting research, scholars designed the figure-eight coil. The coil consists of two adjacent wings with the same number of turns. The current in the two loops flows in opposite directions, resulting in the superposition of currents. This leads to direct stimulation effects on the superficial cortical areas located below the central segment, where neuronal fibers that are parallel to the central segment have the highest likelihood of being stimulated [62]. The figure-eight coil is a widely used type of coil in recent TMS-ASD studies (refer to Tables 1 and 2). This type of coil has the advantage of focusing the stimulus effect and generating the maximum current at the intersection of the two circular elements. However, it also has the disadvantage of limited penetration [27, 63]. To improve penetration, several coil models have been developed, including the Hesed coils. These coils have a flexible base that conforms to the curvature of the patient’s scalp, maximizing magnetic coupling at the desired location and direction [62]. In 2005, Zangen conducted a clinical study using Hesed coils for the first time. The study demonstrated that Hesed coils were effective in stimulating deeper regions of the brain at greater distances from the coil without inducing greater stimulation of superficial cortical areas [64]. The coil design combines the safety and convenience of non-invasive neuromodulation techniques with the depth of stimulation characteristic of invasive neuromodulation, greatly expanding the range of applications for TMS.\n\n\n### Stimulation targets and localisation techniques\nIn line with these anatomical and functional considerations, recent studies on TMS in ASD patients have focused on several important stimulation targets. The majority of these targets are directly associated with the neural mechanisms that are considered to underlie core ASD symptoms. Despite the confirmation provided by extant research that rTMS improves core ASD symptoms, the heterogeneity of intervention effects suggests that personalised target localisation based on individual brain functional differences is key to enhancing treatment precision. This conclusion is in alignment with the prevailing trends in the field of neuromodulation; the paradigm of precision medicine is driving a shift in TMS therapy from ‘standardisation’ towards ‘individualisation’. The accuracy of target localisation is the pivotal component in achieving this transition. The following section will elaborate on the core stimulation targets and research results in ASD treatment, combined with the application of TMS localization technology (relevant research data can be found in Tables 1 and 2).\nConventional TMS target localization is based on the “standard” distance from the scalp to the stimulation site. The primary motor cortex (M1) is typically identified as the site that elicits the largest motor-evoked potential (MEP) in contralateral hand muscles. The dorsolateral premotor cortex and DLPFC are located approximately 2–3 cm and 5 cm anterior to M1, respectively [65]. Although rapid and convenient, this method is prone to inaccuracy, primarily due to inter-individual anatomical variability and operator-dependent inconsistencies [66]. It is primarily suitable for localizing the target brain region, such as M1, or brain regions with specific positional relationships with it. An alternative approach uses manufacturer-provided electrode caps (often based on the international 10–20 EEG system) with pre-marked functional regions to enable rapid target localization. Neuronavigated TMS based on individual T1-weighted Magnetic resonance imaging (MRI) has become widely adopted. This technique transforms standard target coordinates into Montreal Neurological Institute (MNI) space, registers them to the patient’s anatomy, and employs frameless stereotaxy for precise coil positioning [51, 54, 59, 67, 68]. Compared with electrode-cap methods, it offers significantly higher accuracy. However, anatomical location does not always correspond precisely to functional regions. To address this issue, structural images can be aligned with functional images, a method already used in clinical practice [69]. Advances in localisation techniques have enabled the identification of multiple stimulation targets that are highly correlated with core symptoms of ASD. These targets encompass key functional networks, such as cognitive regulation and social perception. The ensuing sections provide exhaustive elaboration on each core target.\nThe DLPFC is considered to be one of the most extensively studied targets in TMS therapy for ASD. The therapeutic value of the intervention lies in its ability to regulate multiple cognitive functions, including working memory, rule learning, planning ability, attention, and motivation. Impairments in these functions are characteristic of individuals diagnosed with ASD [70]. A substantial amount of clinical research has corroborated the therapeutic efficacy of targeting this region, with findings encompassing fundamental mechanism exploration and efficacy assessment [51, 53, 54, 71–75].\nIt is important to note that intervention effects on the DLPFC exhibit significant heterogeneity, a phenomenon that is directly linked to functional alterations in this brain region caused by central nervous system disorders. On the one hand, individual variations exist in the strength of connections between the DLPFC and other brain areas (such as distinct subregions of the subthalamic cingulate gyrus). The effects of TMS stimulation can propagate through anatomical connections to surrounding regions, thereby modulating specific neural circuit functions [76]. On the other hand, variations in target localisation methods also influence therapeutic outcomes. It is evident that traditional ‘standardised’ coordinate definitions struggle to match the individual specificity of brain function, whereas personalised localisation based on functional connectivity demonstrates superior potential.\nRecent studies have revealed that individuals diagnosed with ASD exhibit significantly higher levels of peak functional connectivity between the right DLPFC and the nucleus accumbens than the general population. Furthermore, this connectivity strength exhibits a negative correlation with ASD symptom severity, suggesting that the nucleus accumbens may function as an effective “seed point” for guiding DLPFC localisation [77]. Specifically, the selection of the voxel within the right DLPFC exhibiting the strongest negative correlation with the nucleus accumbens as the stimulation target holds promise for more precise alleviation of core ASD symptoms. This hypothesis has been corroborated by subsequent studies; for instance, Cash et al.‘s review confirmed that highly effective TMS targets within the frontal cortex often exhibit stable functional connectivity with deep limbic regions such as the subthalamic cortex [78], further underscoring the clinical significance of personalised DLPFC localisation.\nThe pSTS has been identified as a key target for the regulation of social and perceptual functions in individuals diagnosed with ASD. Its core physiological functions are intrinsically linked to social cognition, language perception, and emotion recognition – domains where deficits constitute the core symptomatology of ASD [79]. As one of the recommended targets for TMS therapy, the therapeutic value of pSTS intervention has been validated by multiple clinical studies, covering efficacy assessments and optimisation of target localisation [59, 67, 68, 75, 80].\nFrom a neural circuit perspective, the pSTS exhibits functional connectivity with the adjacent temporoparietal junction (TPJ), with both regions jointly participating in neural networks processing social information. However, in a manner analogous to the DLPFC, the efficacy of pSTS stimulation is contingent on precise localisation. The utilisation of conventional anatomical landmarks proves inadequate in accounting for the inherent functional variability amongst individuals. This underscores the necessity for the incorporation of functional imaging techniques into the identification of personalised targets. This requirement is closely aligned with the core characteristic of ASD brain functional heterogeneity.\nRecent expert consensus explicitly recommends the right IFG and right TPJ as emerging targets for ASD-TMS treatment [21]. Despite the differences in functional emphasis, both models focus on core deficit domains of ASD. Furthermore, the TPJ, due to its proximity to the pSTS, forms a synergistic regulatory effect with this region and is therefore frequently discussed in conjunction.\nThe core therapeutic value of the right IFG lies in its ability to improve social deficits and communication impairments, while also constituting a key component of the theory of mind system (the neural mechanisms underpinning understanding others’ mental states) [81, 82]. The right TPJ is primarily associated with attention deficits, attentional shifting functions, and the regulation of theory of mind [83, 84]. This region has now become a key target in multicentre randomised controlled trials [85], with its intervention potential undergoing broader clinical validation.\nRecent research indicates that the rationale for recommending these two targets stems not only from their functional associations but also aligns with the trajectory of personalised treatment development. In a manner analogous to the DLPFC, the efficacy of IFG and TPJ interventions is contingent on the strength of functional connectivity with deeper limbic regions. Consequently, peak functional connectivity-based localisation methods are equally applicable to these targets, offering prospects for further enhancing intervention precision.\nA synthesis of extant research indicates that TMS localisation methods for ASD have shifted from “standardised” to “personalised” approaches. This transition, which is currently a research hotspot, is fundamentally grounded in the significant individual variation in human brain anatomy and function [86], and is primarily driven by localisation techniques guided by functional magnetic resonance imaging. This technique facilitates precise targeting based on individual functional connectivity patterns, such as DLPFC-striatal circuits or prefrontal-limbic system connections, rather than relying on universal anatomical landmarks [87]. For instance, the cortical partitioning method developed by Professor Liu’s team employs resting-state functional magnetic resonance imaging to map functional brain atlases at the individual level. The precision of the device has been validated through invasive cortical stimulation testing [88]. When applied to TMS treatment for post-stroke aphasia, this technique demonstrated outstanding efficacy in language function recovery [89], providing a technical reference for precise localisation in ASD. Furthermore, the selection of personalised targets can be refined to accommodate distinct ASD subtypes. For instance, targeting the medial prefrontal cortex-amygdala circuit may help modulate emotional and social information processing in individuals with social communication deficits [90], while regulating the DLPFC-striatal pathway could address repetitive behavioural symptoms, given that striatal circuit dysfunction is closely linked to stereotyped and repetitive behaviours in ASD [91]. In addition, closed-loop therapeutic approaches based on brain states (such as EEG-rTMS) have emerged as a significant avenue of research [92]. The aforementioned research pathways under discussion are predicated upon the identification of inter-individual variations in brain function. These findings provide a theoretical foundation for exploring the neural mechanisms underlying cognitive and behavioural changes. They also represent a crucial step towards achieving personalised precision medicine through neuromodulation.\nNevertheless, personalised diagnosis poses particular challenges in cases of ASD, especially in children. MRI scanning requires patients to tolerate high-decibel noise and to maintain head stillness for several tens of minutes, a requirement with which children diagnosed with ASD often struggle to comply. Consequently, sedation or anaesthesia using drugs such as propofol or dexmedetomidine is frequently employed in research settings to alleviate discomfort and optimise imaging quality [93]. Propofol remains the most frequently employed agent, administered either alone or in combination, while dexmedetomidine usage exhibits a marked upward trend. It is noteworthy that both drugs demonstrate a low incidence of adverse events [94].\nIt is imperative to acknowledge the potential for these medications to compromise the integrity of functional imaging results. For instance, propofol has been demonstrated to induce a comatose state, thereby reducing the amplitude of spontaneous low-frequency oscillations in functional MRI signals across multiple brain regions, including the prefrontal cortex, temporal pole, and hippocampus [95]. Consequently, when assessing the correlation between blood oxygen level-dependent signals in individuals with ASD and in healthy controls, the potential influence of sedatives must be accounted for in order to avoid misinterpretation of brain functional characteristics. The clinical evidence demonstrates the efficacy of personalised targeting, as evidenced by the significant superiority of personalised stimulation of key neural hubs, such as the amygdala-prefrontal cortex circuit, in comparison to standard protocols in terms of clinical efficacy, brain structural/functional reorganisation, and neural network regulation [96]. This provides a clear direction for TMS treatment in ASD.\n\n\n### Conventional approaches and limitations in target localisation\nConventional TMS target localization is based on the “standard” distance from the scalp to the stimulation site. The primary motor cortex (M1) is typically identified as the site that elicits the largest motor-evoked potential (MEP) in contralateral hand muscles. The dorsolateral premotor cortex and DLPFC are located approximately 2–3 cm and 5 cm anterior to M1, respectively [65]. Although rapid and convenient, this method is prone to inaccuracy, primarily due to inter-individual anatomical variability and operator-dependent inconsistencies [66]. It is primarily suitable for localizing the target brain region, such as M1, or brain regions with specific positional relationships with it. An alternative approach uses manufacturer-provided electrode caps (often based on the international 10–20 EEG system) with pre-marked functional regions to enable rapid target localization. Neuronavigated TMS based on individual T1-weighted Magnetic resonance imaging (MRI) has become widely adopted. This technique transforms standard target coordinates into Montreal Neurological Institute (MNI) space, registers them to the patient’s anatomy, and employs frameless stereotaxy for precise coil positioning [51, 54, 59, 67, 68]. Compared with electrode-cap methods, it offers significantly higher accuracy. However, anatomical location does not always correspond precisely to functional regions. To address this issue, structural images can be aligned with functional images, a method already used in clinical practice [69]. Advances in localisation techniques have enabled the identification of multiple stimulation targets that are highly correlated with core symptoms of ASD. These targets encompass key functional networks, such as cognitive regulation and social perception. The ensuing sections provide exhaustive elaboration on each core target.\n\n\n### DLPFC\nThe DLPFC is considered to be one of the most extensively studied targets in TMS therapy for ASD. The therapeutic value of the intervention lies in its ability to regulate multiple cognitive functions, including working memory, rule learning, planning ability, attention, and motivation. Impairments in these functions are characteristic of individuals diagnosed with ASD [70]. A substantial amount of clinical research has corroborated the therapeutic efficacy of targeting this region, with findings encompassing fundamental mechanism exploration and efficacy assessment [51, 53, 54, 71–75].\nIt is important to note that intervention effects on the DLPFC exhibit significant heterogeneity, a phenomenon that is directly linked to functional alterations in this brain region caused by central nervous system disorders. On the one hand, individual variations exist in the strength of connections between the DLPFC and other brain areas (such as distinct subregions of the subthalamic cingulate gyrus). The effects of TMS stimulation can propagate through anatomical connections to surrounding regions, thereby modulating specific neural circuit functions [76]. On the other hand, variations in target localisation methods also influence therapeutic outcomes. It is evident that traditional ‘standardised’ coordinate definitions struggle to match the individual specificity of brain function, whereas personalised localisation based on functional connectivity demonstrates superior potential.\nRecent studies have revealed that individuals diagnosed with ASD exhibit significantly higher levels of peak functional connectivity between the right DLPFC and the nucleus accumbens than the general population. Furthermore, this connectivity strength exhibits a negative correlation with ASD symptom severity, suggesting that the nucleus accumbens may function as an effective “seed point” for guiding DLPFC localisation [77]. Specifically, the selection of the voxel within the right DLPFC exhibiting the strongest negative correlation with the nucleus accumbens as the stimulation target holds promise for more precise alleviation of core ASD symptoms. This hypothesis has been corroborated by subsequent studies; for instance, Cash et al.‘s review confirmed that highly effective TMS targets within the frontal cortex often exhibit stable functional connectivity with deep limbic regions such as the subthalamic cortex [78], further underscoring the clinical significance of personalised DLPFC localisation.\n\n\n### Posterior superior temporal sulcus (pSTS)\nThe pSTS has been identified as a key target for the regulation of social and perceptual functions in individuals diagnosed with ASD. Its core physiological functions are intrinsically linked to social cognition, language perception, and emotion recognition – domains where deficits constitute the core symptomatology of ASD [79]. As one of the recommended targets for TMS therapy, the therapeutic value of pSTS intervention has been validated by multiple clinical studies, covering efficacy assessments and optimisation of target localisation [59, 67, 68, 75, 80].\nFrom a neural circuit perspective, the pSTS exhibits functional connectivity with the adjacent temporoparietal junction (TPJ), with both regions jointly participating in neural networks processing social information. However, in a manner analogous to the DLPFC, the efficacy of pSTS stimulation is contingent on precise localisation. The utilisation of conventional anatomical landmarks proves inadequate in accounting for the inherent functional variability amongst individuals. This underscores the necessity for the incorporation of functional imaging techniques into the identification of personalised targets. This requirement is closely aligned with the core characteristic of ASD brain functional heterogeneity.\n\n\n### Right inferior frontal gyrus (IFG) and right TPJ\nRecent expert consensus explicitly recommends the right IFG and right TPJ as emerging targets for ASD-TMS treatment [21]. Despite the differences in functional emphasis, both models focus on core deficit domains of ASD. Furthermore, the TPJ, due to its proximity to the pSTS, forms a synergistic regulatory effect with this region and is therefore frequently discussed in conjunction.\nThe core therapeutic value of the right IFG lies in its ability to improve social deficits and communication impairments, while also constituting a key component of the theory of mind system (the neural mechanisms underpinning understanding others’ mental states) [81, 82]. The right TPJ is primarily associated with attention deficits, attentional shifting functions, and the regulation of theory of mind [83, 84]. This region has now become a key target in multicentre randomised controlled trials [85], with its intervention potential undergoing broader clinical validation.\nRecent research indicates that the rationale for recommending these two targets stems not only from their functional associations but also aligns with the trajectory of personalised treatment development. In a manner analogous to the DLPFC, the efficacy of IFG and TPJ interventions is contingent on the strength of functional connectivity with deeper limbic regions. Consequently, peak functional connectivity-based localisation methods are equally applicable to these targets, offering prospects for further enhancing intervention precision.\n\n\n### Personalised transformation of localisation techniques: challenges and optimisation\nA synthesis of extant research indicates that TMS localisation methods for ASD have shifted from “standardised” to “personalised” approaches. This transition, which is currently a research hotspot, is fundamentally grounded in the significant individual variation in human brain anatomy and function [86], and is primarily driven by localisation techniques guided by functional magnetic resonance imaging. This technique facilitates precise targeting based on individual functional connectivity patterns, such as DLPFC-striatal circuits or prefrontal-limbic system connections, rather than relying on universal anatomical landmarks [87]. For instance, the cortical partitioning method developed by Professor Liu’s team employs resting-state functional magnetic resonance imaging to map functional brain atlases at the individual level. The precision of the device has been validated through invasive cortical stimulation testing [88]. When applied to TMS treatment for post-stroke aphasia, this technique demonstrated outstanding efficacy in language function recovery [89], providing a technical reference for precise localisation in ASD. Furthermore, the selection of personalised targets can be refined to accommodate distinct ASD subtypes. For instance, targeting the medial prefrontal cortex-amygdala circuit may help modulate emotional and social information processing in individuals with social communication deficits [90], while regulating the DLPFC-striatal pathway could address repetitive behavioural symptoms, given that striatal circuit dysfunction is closely linked to stereotyped and repetitive behaviours in ASD [91]. In addition, closed-loop therapeutic approaches based on brain states (such as EEG-rTMS) have emerged as a significant avenue of research [92]. The aforementioned research pathways under discussion are predicated upon the identification of inter-individual variations in brain function. These findings provide a theoretical foundation for exploring the neural mechanisms underlying cognitive and behavioural changes. They also represent a crucial step towards achieving personalised precision medicine through neuromodulation.\nNevertheless, personalised diagnosis poses particular challenges in cases of ASD, especially in children. MRI scanning requires patients to tolerate high-decibel noise and to maintain head stillness for several tens of minutes, a requirement with which children diagnosed with ASD often struggle to comply. Consequently, sedation or anaesthesia using drugs such as propofol or dexmedetomidine is frequently employed in research settings to alleviate discomfort and optimise imaging quality [93]. Propofol remains the most frequently employed agent, administered either alone or in combination, while dexmedetomidine usage exhibits a marked upward trend. It is noteworthy that both drugs demonstrate a low incidence of adverse events [94].\nIt is imperative to acknowledge the potential for these medications to compromise the integrity of functional imaging results. For instance, propofol has been demonstrated to induce a comatose state, thereby reducing the amplitude of spontaneous low-frequency oscillations in functional MRI signals across multiple brain regions, including the prefrontal cortex, temporal pole, and hippocampus [95]. Consequently, when assessing the correlation between blood oxygen level-dependent signals in individuals with ASD and in healthy controls, the potential influence of sedatives must be accounted for in order to avoid misinterpretation of brain functional characteristics. The clinical evidence demonstrates the efficacy of personalised targeting, as evidenced by the significant superiority of personalised stimulation of key neural hubs, such as the amygdala-prefrontal cortex circuit, in comparison to standard protocols in terms of clinical efficacy, brain structural/functional reorganisation, and neural network regulation [96]. This provides a clear direction for TMS treatment in ASD.\n\n\n### Potential mechanisms for TMS intervention in ASDs\nTMS relies on the principle of electromagnetic induction to generate electric fields in target tissues, how do TMS-induced electric fields convert physical stimulation into therapeutically relevant biological effects? Marino et al. proposed that magnetosensory evoked potentials elicited by magnetic stimulation arise from direct interaction between the induced electric field and neuronal ion channels. Specifically, the receptor potentials required to generate evoked potentials are triggered by direct interactions between the induced electric field and the ion channel. These interactions result in changes in the mean probability of the channel being in the open state [97], and that the strength of the induced field can alter the mean ion channel opening time [98]. We hypothesize that TMS directly modulates voltage-gated ion channels in neuronal membranes. These ion channels are widely expressed in many types of neurons throughout the brain as well as in non-neuronal tissues and are key modulators of neuronal excitability, making them effective targets for regulating neuronal function [99]. This finding is consistent with the fundamental logic established in previous research, which posits that rTMS exerts its influence on ion channel states and functions by modulating stimulation parameters. For instance, this study utilised cellular experiments and animal models to observe that rTMS can transiently open voltage-gated sodium channels, affect potassium channel activity, and also induce delayed alterations in intracellular calcium ion concentrations [100]. Subsequent investigators have shown that the effect of TMS on the excitability of neurons is related to the ion channel. Acute high-frequency rTMS at both 0.8 and 1.2 motor thresholds significantly activated voltage-gated sodium current, inhibited voltage-gated potassium current, and the delayed rectifier potassium current compared to controls. These effects were attributed to alterations in the dynamic properties of voltage-gated sodium and potassium channels. The above results suggest that ion channel modulation may be a potential intrinsic regulatory mechanism by which rTMS enhances neuronal excitability in dentate gyrus granule cells, with effects increasing with stimulus intensity [101]. The physical principle behind TMS is based on Faraday’s law, which induces electrical currents in neurons. An alternative explanatory hypothesis for the mechanism of the effect of magnetic stimulation on neurons was presented and justified by computational and numerical simulations in another study. The study demonstrated that transcranial static magnetic stimulation induces the Lorentz force, which generates friction between ions and the channel wall in membrane channels. This friction decreases channel conductance, and simulations using the Hodgkin-Huxley model found that even a slight reduction in conductance effectively inhibits action potentials and neuronal activity [102]. The study indicates that the Lorentz force acting on the ions flowing through the neuronal membrane channels could also be a candidate physical mechanism to reduce the excitability of the motor cortex through magnetic stimulation techniques. Whether other classes of ion channels undergo modulation comparable to that of voltage-gated ion channels under magnetic stimulation remains an open question in the field. Separately, Chu et al. discovered that transcranial magneto-acoustic stimulation (TMAS) can alleviate neuroinflammation, damage to synaptic plasticity, and abnormal neuronal oscillations in Alzheimer’s disease mouse models by activating microglial Piezo1, a mechanosensitive ion channel that converts relevant mechanical and electrical stimuli into biochemical signals that enhance microglial autophagy and promote phagocytosis and degradation of β-amyloid, as confirmed by the blockade of Piezo1 with the antagonist GsMTx-4, which prevented the beneficial effects of TMAS [103]. Interestingly, TMAS delivered a more robust intervention effect compared with ultrasound stimulation alone. This superiority may be attributable to the combined action of magnetic stimulation-induced electric fields on Piezo1, an ion channel with high electrical stimulation sensitivity. The dual modulation of magnetic and electrical signals thus exerts a potent superimposed effect through biological synergism. Based on the existing studies, we speculate that TMS can act directly on ion channels and convert physical stimulation effects into biological effects by mediating ion channels, providing a theoretical basis for TMS to intervene in other mechanisms of action, such as E-I balance, neural oscillations, and salient plasticity.\nNormal functioning of neuronal circuits requires a balance between synaptic excitation and inhibition, maintained primarily by GABA in conjunction with glutamate, and failure to establish or maintain this balance may underlie the neural basis of neurological disorders such as schizophrenia and ASD [104]. The E-I imbalance hypothesis is recognized as a common underlying deficit in ASD patients and plays an important role in the pathophysiology of ASD [105]. This hypothesis suggests that the shifts in neuronal excitation and inhibition are controlled by the relative amount (likely resulting from elevated glutamatergic excitation and/or reduced GABAergic inhibition) [106] and activity of glutamatergic and GABAergic systems [107]. GABA is the primary inhibitory neurotransmitter in 20%-44% of human cortical neurons [108]. On the other hand, glutamate, which is a precursor of GABA, acts as the primary excitatory neurotransmitter in the CNS and is the most abundant free amino acid in the brain [109, 110]. Glutamate is at the crossroads of many physiological processes, including but not limited to learning, memory, cognition, and emotion [111]. Additionally, since glutamate is not broken down outside of the cell, the brain relies on glutamate transport performed by excitatory amino acid transporters as well as their ability to take up excess glutamate, preventing excitotoxicity from occurring thus maintaining proper neuronal function [112]. Studies have found that an imbalance between excitatory and inhibitory neurotransmission is associated with metabolic abnormalities [113], which can lead to increased noise and hyperexcitability in the cerebral cortex [107]. Various techniques have been used to examine the manifestations of this imbalance in ASD, and it has been found to consist mainly of both increased and decreased E-I ratio. Rubenstein and Merzenich proposed in their E-I imbalance model of ASD that some types of ASD may be caused by elevated E-I ratios in the sensory, memory, social, and emotional nervous systems [107]. Later, Yizhar and his team demonstrated, using optogenetic tools, that an elevated cellular E-I balance within the medial prefrontal cortex of mice induces severe impairments in cellular information processing. This impairment significantly affects social behaviors and conditioned reflexes, and triggers baseline (non-evoked) rhythmic high-frequency activity in the range of 30–80 Hz [114], and that behavioral deficits in ASD are associated with elevated high-frequency activity [115, 116]. Further studies have reported that social deficits resulting from an elevated cellular E-I balance can be partially alleviated by increasing inhibitory tone to restore balance [114]. Whereas, decreased E-I balance ratio is observed in Rett syndrome, a pervasive neurodevelopmental disorder associated with mental retardation and ASD behaviors [117]. Furthermore, individuals with ASD also exhibit a decreased E-I balance ratio. Magnetic resonance spectroscopy has been used to quantify the concentrations of the inhibitory neurotransmitter GABA and the excitatory glutamate-glutamine complex in the anterior cingulate cortex and DLPFC of both ASD patients and neurotypical controls. Specifically, elevated levels of GABA were detected in the left DLPFC of ASD patients [105]—a finding that directly supports the hypothesized reduction in E-I balance, as increased inhibitory signaling would shift the ratio toward suppression. These studies provide evidence supporting the hypothesis of an E-I imbalance in individuals with ASD.\nE-I imbalances are responsible for the abnormalities in social, behavioral, emotional, cognitive, sensory, and motor control that are closely associated with ASD [113]. Scholars have confirmed abnormal E-I balance in the typical Rett syndrome patient group in ASD through paired-TMS [118]. However, the underlying mechanisms remain poorly understood, though they are primarily thought to rely on the following pathways. Briefly, an imbalance between E and I in the brain can affect synaptic plasticity and neural oscillations, which in turn can lead to alterations in learning and memory [119]. For example, the N-methyl-D-aspartate (NMDA) receptor, one of the glutamate receptors, is the main postsynaptic excitatory amino acid receptor in the CNS. Its activation elevates intracellular Ca2+ concentration, ultimately inducing LTP and long-term depression (LTD), which play a key role in learning and memory [120, 121]. In addition, α-amino-3-hydroxy-5-methyl-4-isoxazole propionic acid (AMPA) receptors, a type of glutamate, are abundantly expressed on larger dendritic spines in the head. They mediate rapid components of synaptic transmission and contribute to strong synaptic connectivity, making them a key determinant of dendritic spine morphology [122]. The AMPA receptor not only redistributes in response to changes in synaptic activity patterns, but the cyclic process of rapid entry and exit into and out of the postsynaptic membrane can also modulate synaptic transmission and plasticity [123]. On the other hand, E-I imbalance can also result in abnormal neural network oscillations. For instance, synchronized oscillations at beta/gamma band frequencies form functional networks that are primarily mediated by a continuous flow of changes in excitatory and inhibitory synapses [124], and the interconnections between these neurons determine the strength and duration of the oscillations and control local synchronization [125]. Research has demonstrated that neural network oscillations play a role in synchronizing neuronal firing in cortical networks and coordinating decentralized cortical communication for spatio-temporal brain connectivity [126], further confirming that they may be related to cognitive functions such as selective attention, short- and long-term memory, and multisensory integration [113, 127]. Furthermore, altered E-I balance has been linked to hyperexcitability and the development of epilepsy, a common complication of ASD. It is widely accepted that decreased inhibition and/or increased excitability are key factors contributing to the onset of epilepsy [128–130]. Several studies have shown that depolarizing GABA can trigger epileptic seizures, and sustained seizure activity can, in turn, lead to depolarizing GABA. Interestingly, altering the switching time from depolarizing to hyperpolarizing GABA may be the key to causing the E-I imbalance [130].\nIt has been confirmed in reports in the field of ASD that TMS may have therapeutic effects by restoring E-I balance. Ikeda et al. found that the application of rTMS at 20 Hz induced persistent changes in mRNA expression levels, including GABAergic and glutamatergic transporter proteins in the mouse brain, suggesting that rTMS may modulate neuronal activity and synaptic plasticity by regulating the rate of uptake of glutamate and GABA in the synaptic cleft [131]. However, there is currently a lack of systematic transcriptomic or epigenomic data to comprehensively elucidate the molecular basis of these regulatory effects. Future work could benefit from integrating transcriptomic and epigenomic profiling to delineate downstream gene networks and epigenetic marks modulated by TMS. Tan demonstrated in his report that low-frequency rTMS intervention improved behavioral symptoms associated with the ASD rat model. He used whole-cell membrane clamp electrophysiology experiments to find that low-frequency rTMS intervention successfully restored the amplitude of miniature inhibitory postsynaptic currents, rather than miniature excitatory postsynaptic currents. This was associated with an increase in the expression of reverse inhibitory synaptic receptors, specifically GABAA α1 receptor subunits and vesicular GABA transporter [132]. The regulation of E-I balance by TMS is supported not only by animal experiments but also by clinical trials, which provides strong evidence. Recently, a randomized, double-blind, sham-controlled clinical trial examining the effects of rTMS intervention on glutamate levels in patients with ASD found that the direction of change in glutamate levels is related to baseline levels, with low baseline levels increasing glutamate levels and high baseline levels decreasing glutamate levels [133]. A similar phenomenon was found in another study where researchers used an inhibitory rTMS (1 Hz) protocol on the primary motor cortex of healthy individuals. This protocol could not affect excitatory (glutamatergic) neurotransmitters, but it resulted in a tendency to increase and decrease GABA concentrations in the motor cortex on the side that was originally low and high compared to baseline, respectively [134]. The above phenomenon reflects that TMS can have adaptive action effects based on the direction of E-I imbalance in brain regions. Nevertheless, conclusions drawn from studies of healthy individuals should be cautiously extrapolated to the ASD population. In addition, Stagg et al. similarly found by using magnetic resonance spectroscopy that when cTBS stimulation was given in the M1 region of the brain, it was found to significantly inhibit synaptic transmission for reasons associated with an increase in the concentration of GABA. This enhanced inhibitory effect of GABAergic neurons contributed to the maintenance of the aftereffects of TBS, demonstrating that cTBS mediated the localized activity of the corticocortical pathway between inhibitory neurons in the cortex; further data suggested that cTBS activated cortical GABA-receptor-ergic interneuron populations and that the sustained increase in GABAergic activity may have been maintained by the induction of glutamic acid decarboxylase and an increase in GABA concentration in the cytoplasm of GABA-receptor-ergic interneurons [135]. The above results are consistent with previous reports of glutamatergic changes after TMS intervention [136, 137], suggesting that TMS may improve ASD-related behaviours by restoring E-I balance, providing guidance for subsequent optimisation of TMS protocols. However, some mechanistic evidence derives from non-ASD models (animal or healthy human subjects), and the specific regulatory pathways within ASD require further validation.\nSynaptic plasticity refers to activity-dependent changes in the strength of synaptic connections between neurons, forming the cellular basis for learning and memory [138–140]. The theory of synaptic plasticity is based on Professor Donald Hebb’s conjecture that the strength of the connection between two cells will increase if one cell repeatedly or continuously stimulates another cell [141]. In the early 1970s, scientists discovered that high-frequency stimulation of perforant path fibers in the rabbit hippocampus resulted in an increase in granule cell excitability, a phenomenon that could last for several hours and was termed LTP [142]. Later, researchers found that low-frequency electrical stimulation of the hippocampal CA1 region could induce LTD [121, 143], and that most synapses that exhibit LTP also express the corresponding form of LTD [144]. Furthermore, another approach to inducing LTP and LTD involves another principle of synaptic plasticity—spike timing-dependent plasticity (STDP) [145]. This principle is based on experiments conducted by researchers on the associative stimulation of presynaptic and postsynaptic neurons. STDP dictates that synaptic strength increases (LTP) if presynaptic activation precedes postsynaptic firing, but decreases (LTD) if the order is reversed [146–148]. In a simplified model, LTP and LTD are mediated by glutamate acting on NMDA and AMPA receptors. Presynaptic glutamate release activates NMDA receptors, leading to Ca2+ influx. Rapid, high-magnitude Ca2+ elevations activate kinase pathways (e.g., Ca2+/calmodulin-dependent protein kinase II), promoting AMPA receptor insertion and phosphorylation for LTP. Slower, lower-magnitude Ca2+ rises activate phosphatase pathways, causing AMPA receptor endocytosis and LTD [149–152]. When the concentration of Ca2+ increases rapidly, it triggers the kinase pathway, leading to extracellular secretion and autophosphorylation of AMPA receptors, which corresponds to synaptic LTP. On the other hand, when the concentration of Ca2+ increases slowly, it triggers the calmodulin-dependent phosphatase pathways, which endocytose surface AMPA receptors, reducing receptor number and permeability, corresponding to LTD [150]. The mechanisms of LTP and LTD can influence synaptic strength over long periods of time, and they are the most widely studied candidate mechanisms for learning [153]. Synaptic plasticity, which gives the nervous system the fundamental ability to self-adapt functionally and structurally, is both important for maintaining mental health and represents a potential mechanism that could be targeted to achieve therapeutic effects.\nRecent studies have shown that abnormal synaptic plasticity is associated with the onset and development of ASD [154, 155]. Genetic analysis of populations with ASD and related syndromes has revealed that most risk genes affect synaptic function and plasticity [138, 156, 157]. Related research has demonstrated that mutations in many ASD risk genes commonly affect long-term changes in synaptic efficacy and mediate the strength or number of synapses through neuronal activity and sensory input-induced pathways [158, 159]. Recent studies have further highlighted the central role of impaired synaptic plasticity in ASD-associated genetic variants, for instance, mutations in SHANK3—one of the most reliably linked ASD risk genes—disrupt dendritic spine morphology and impair LTP, thereby contributing critically to the pathophysiological progression of ASD [160, 161], and another notable example is the ASD risk gene NL3R451C: in the CA1 region of the hippocampus, its mutations result in an approximately 1.5-fold increase in AMPA receptor-mediated excitatory synaptic transmission, with an even more pronounced enhancement of NMDA receptor-mediated transmission, which subsequently induces an approximately two-fold upregulation of NMDA receptors containing the NR2B subunit and a nearly two-fold augmentation of LTP [162]. In summary, the aberrant synaptic plasticity observed in ASD may result in impaired information transfer between neurons in the brain, which in turn may lead to social and emotional dysfunction.\nTMS offers a key advantage in modulating synaptic plasticity. Its stimulatory effects can be maintained long after treatment by modulating stimulation parameters to induce LTP or LTD in stimulated neurons [163]. In general, iTBS activates cortical excitability and promotes LTP-like effects, whereas cTBS has the opposite effect [41]. TMS holds promise for treating CNS plasticity-related disorders via synaptic normalization, and emerging clinical trials further confirm that rTMS can enhance synaptic plasticity in individuals with ASD, potentially ameliorating synaptic deficits. For instance, Desarkar et al. demonstrated for the first time that rTMS stabilizes excessive LTD in individuals with ASD, specifically by ameliorating the exaggerated LTD-like synaptic plasticity that is prevalent in ASD and fragile X syndrome models. However, the study did not observe a stabilizing effect of rTMS on LTP, possibly due to a small sample size or the intervention’s more specific effects on LTD [73]. Animal models have shown that low-frequency rTMS treatment effectively alleviates autism-like symptoms induced by neonatal separation and restores the balance between E-I activities, as evidenced by increased inhibitory synaptic transmission and inhibitory synaptic receptor expression. These findings suggest that low-frequency rTMS may alleviate ASD-like behavioral symptoms induced by neonatal separation by modulating synaptic GABA transmission [132]. But this conclusion derives from animal models and should be interpreted with caution when extrapolating to human ASD patients. Direct evidence of TMS effects on synaptic plasticity in ASD remains limited, factors such as the frequency, duration, and strength of synaptic transmission can influence the initiation of synaptic plasticity. For example, frequent and persistent synaptic transmission between two neurons may trigger synaptic plasticity in LTP. Although there is a lack of studies exploring the effect of TMS on synaptic plasticity and the mechanism of action in individuals with ASD, the mechanism has been extensively explored in other studies. A recent study demonstrated that rTMS could exert a neuronal protective effect and ameliorate dysfunction by promoting synaptic ultrastructural remodeling and up-regulating protein levels and mRNA expression of synaptic plasticity-related proteins, such as BDNF, tropomyosin receptor kinase B, NMDA receptor 1, synaptophysin, and phosphorylated cAMP response element binding protein, which are closely related to the development of LTP, in the brains of traumatic brain injury rats (non ASD model) [164]. The above findings presented are similar to the regulatory mechanism of PAS. Specifically, PAS improves learning and memory in cerebral ischemic rats, corrects the ultrastructure of synapses in the CA1 region, enhances the LTP of synapses in the CA3 and CA1 regions of the hippocampus, as well as promotes the protein levels and mRNA expression of BDNF and NMDA receptor 1, and protects cognition after cerebral ischemia by mediating the synaptic plasticity pathway function [165]. Pharmacological studies were used to validate the effects of TMS intervention. A small amount of memantine was administered prior to iTBS and cTBS, which completely blocked their facilitatory and inhibitory effects. However, it had no effect on resting motor threshold and active motor threshold [166]. This suggests that the mechanism of TBS modulation of synaptic plasticity is dependent on the NMDA pathway. Furthermore, additional investigation is required to determine if TMS has therapeutic effects by correcting synaptic plasticity through alternative pathways, and the specificity of these mechanisms in ASD still requires further validation in human subjects or ASD-specific models.\nEndogenous cerebral neural oscillatory activity is generated by the electrical activity of a population of neurons in aggregate and represents the synchronized activity of an ensemble of neurons [167, 168]. This activity manifests as fluctuations in extracellular voltage, which can be measured by electroencephalography or magnetoencephalography on the scalp and can also be detected by electrocorticography intracranially [168]. The firing of peripheral neuronal populations can be recorded by depth electrodes, which captures a slower brain rhythmic fluctuation signal known as local field potential. This signal is often used to study brain function and can be categorized into the following main types of activity based on frequency: delta (< 4 Hz), theta (4–8 Hz), alpha (8–12 Hz), beta (12–30 Hz), gamma (30–80 Hz), and high gamma [168, 169]. It should be noted that the precise range of frequencies mentioned above varies among studies [170, 171]. Gamma oscillations are high-frequency electrical signals that can temporarily insulate excitation from subsequent inhibition in neural networks. They focus neuronal firing to specific phases of the oscillation cycle, provide the basis for a variety of functionally relevant synchronized activities [172], and improve the effectiveness, precision, and selectivity of communication between multiple regions [173]. Gamma oscillations have received significant attention as studies have shown that they can mediate a range of basic neural functions, including perceptual grouping, visual and perceptual awareness, sensory-motor integration, attention-dependent stimulus selection, and Neural Synchrony [174, 175]. Researchers have utilized cross-frequency coupling to identify gamma sub-bands, which include slow gamma (30–50 Hz), mid-frequency gamma (50–90 Hz), and fast gamma (90–140 Hz), and these sub-bands can coexist or occur separately [176]. Interestingly, the discrete 40 Hz point belonging to the slow gamma is significant, as McDermott highlights in his thesis that this frequency has become a point of interest in neurophysiological studies [177] due to an external stimulation paradigm that evokes gamma oscillations in the brain and may activate the cerebellum by increasing regional cerebral blood flow [178]. It is integral to cortical arousal and the processing of sensory and other information [179], as well as being linked to bottom-up-driven gestalt perception and cognitive functioning, such as selective attention, learning, and memory [180]. Therefore, the gamma frequency band at 40 Hz is a research-valuable gamma frequency band for use in targeted intervention studies and modulation.\nRecent studies on the pathophysiology of ASD have identified several reliable physiological variants in the ASD population, including the prevalence of abnormal neural oscillatory patterns in the gamma frequency band in patients with ASD [181]. An et al. demonstrated that the phase of motion-associated gamma oscillations from the contralateral primary motor cortex of patients with ASD has a lower peak frequency and reduced power when compared to children with TD, and that these oscillations are associated with ASD symptom severity. The results tentatively confirm that indices of motor-induced gamma oscillations and behavioral performance represent potentially adequate biomarkers of ASD [182]. In addition to being associated with motor stimulus induction, patients with ASD also exhibit disturbed gamma oscillation patterns during visual [183, 184], auditory [185–187] and perceptual [188, 189] stimulation, particularly in the 40 Hz frequency band. Lovelace discovered enhanced resting-state gamma power in a mouse model of Fragile X syndrome, a common co-morbidity of ASD, in his animal studies. Additionally, he found reduced gamma band inter-trial coherence in the frontal cortex and auditory of the mouse in response to acoustic stimulation from 1 to 100 Hz. These findings are consistent with the characteristic manifestations of neural oscillatory deficits in patients suffering from the same disease and have important clinical implications [190]. Furthermore, studies have shown reduced coherence in other frequency bands, such as beta [191] and theta [192] oscillations in individuals with ASD, but for the time being, there is a lack of relevant studies that could provide sufficient reference significance for the study of ASD, and so the present focus will be mainly on the advances in research related to gamma oscillations.\nGamma oscillations are thought to result from the synchronized activity of a group of parvalbumin (PV) interneurons defined by a fast-spiking phenotype and the expression of the calcium-binding protein PV [193, 194]. These interneurons are a family of GABAergic inhibitory neurons found throughout the cerebral cortex [167], with basket cells being the most abundant and serving as typical PV interneurons [195]. PV cells are important for generating gamma oscillations, and impaired gamma oscillations may be a physiological biomarker of abnormal PV neuron function. In vivo optogenetic experiments have shown that PV interneuron activity responds to changes in cortical network oscillations. In particular, activation of PV cells selectively amplifies gamma oscillations [196], while inhibition of PV interneurons suppresses gamma oscillations in vivo, whereas driving these interneurons is sufficient to generate emergent gamma frequency rhythms [193]. Alterations in PV interneurons have also been found to be strongly associated with ASD and various other neurological disorders. Studies have reported that in brain samples from human patients with ASD [47] and in classical ASD animal models (such as valproic acid induction, neuroligin 3 R451C knockin, Cntnap2 mutant, Chromosomal 16p11.2 deletion, and Sarm1 knockout) [197–201], the number of PV-expressing interneurons, related gene expression, and protein levels were down-regulated. In addition, cortical hyperreactivity is observed in Shank3 knockout (leading to Phelan-McDermid syndrome with a high prevalence of ASD), Ube3 knockout (leading to Angelman syndrome, a neurodevelopmental disorder associated with ASD), and Fmr1 knockout (leading to Fragile X syndrome), and this hyperreactivity may be related to dysfunction of PV interneurons [202–205]. PV−/− mice lacking PV expression exhibit core behavioral symptoms of ASD (e.g., social deficits and repetitive behaviors) and associated comorbidities (e.g., increased seizure susceptibility), as well as changes in brain morphology similar to structural changes reported in human patients with ASD (increased cortical volume and hypoplastic cerebellum), and also exhibit the classic pathological mechanism of ASD, i.e., a pre- and postsynaptic E-I imbalance [206], which echoes the previously mentioned E-I imbalance affecting gamma oscillations.\nIs there a connection between the well-known hypotheses of pathomechanisms in ASD, such as E-I imbalance, gamma oscillations, and synaptic plasticity? To this end, the minicolumns theory will be employed to provide a detailed explanation. Minicolumns are comprised of pyramidal cells in the radial layers II - VI of the cerebral cortex and axon-dendritic interneurons. The pyramidal cells possess a high number of dendritic branches, which enable them to receive vast amounts of input information from other neurons, and their axons can transmit nerve impulses to other brain regions or different parts of the same brain region, occupying a crucial position in the process of information transmission and integration. Interneurons mainly form local connections with surrounding neurons. They modulate the activities of principal neurons, such as pyramidal cells, by releasing inhibitory neurotransmitters, including GABA, thereby achieving precise regulation of neural information transmission. Based on their immunoreactivity to three calcium-binding proteins (calbindin, calretinin, and PV), inhibitory interneurons can be categorised into various subgroups. These interneurons engage in dynamic interactions with pyramidal cells, contributing to the regulation of information processing within the circuits of the cerebral cortex. Calbindin and calretinin interneurons, which are immunoreactive, primarily function in intricolumnar communication, while PV interneurons are involved in transcolumnar signal transduction [207]. From an anatomical perspective, a reduction in the number of GABAergic neurons in minicolumns within the brains of individuals with autism would result in the weakening of inhibitory signals among minicolumns. Consequently, this might disrupt the excitatory/inhibitory balance in the cerebral cortex of autistic subjects and ultimately affect gamma oscillations [47, 48]. This is due to the fact that PV basket cells, a critical type of GABAergic neuron, are intimately linked with the generation of gamma oscillations. These cells play a pivotal role in the generation of gamma oscillations through the inhibitory effect mediated by GABA receptors. For a more thorough examination of this topic, readers are directed to the scholarly articles published by Professor György Buzsáki. In these articles, Professor Buzsáki elucidates the generation mechanisms of gamma oscillations from multiple viewpoints by employing classic neuronal models, such as the I-I model and the E-I model [176]. Alterations in gamma oscillations can also impact synaptic plasticity, given the temporal coincidence of these oscillations with the critical time window of STDP. Within this time window, the firing time relationship between neurons plays a crucial role in the induction of synaptic plasticity. According to the STDP rule, when the presynaptic neuron fires within specific time periods either before or after the postsynaptic neuron fires, it can respectively lead to an enhancement (for example, when the presynaptic spike precedes the postsynaptic spike by approximately 15 milliseconds, it results in LTP) or a reduction (for example, when the presynaptic spike lags behind the postsynaptic spike by approximately 6 milliseconds, it results in LTD) of synaptic strength. The underlying mechanism involves the facilitation of NMDA receptor opening by presynaptic glutamate release and the removal of the Mg2+ block of NMDA receptors by the backpropagation of postsynaptic spikes [208]. The temporal precision of spike-timing relationships is facilitated by gamma oscillations, which establish an accurate temporal framework. This temporal framework enables neurons to interact within the appropriate time window, thereby promoting or inhibiting the generation of synaptic plasticity.\nThe aforementioned conjecture is illustrated by the content in Fig. 2. Nevertheless, it is imperative to acknowledge that the underlying reality is considerably more intricate than the unidirectional regulatory relationship depicted in the figure. It is crucial to underscore the intricate and reciprocal relationship among these three components. The objective of this paper is to underscore the close interconnections among these elements within the framework of ASD. Furthermore, the internal logic among these three elements is yet to be thoroughly investigated.\nFig. 2The potential relationship between three hypotheses within the cortical microcolumn theory of ASD. (a) and (b) respectively demonstrate the disparities in microstructure between normal brains and autistic brains. A comparison of autistic brains with normal brains reveals an increased number of minicolumns, narrower widths, and a reduced number of interneurons involved in intricolumnar and transcolumnar signal transduction. (c, d, and e) represent the three hypotheses of E-I imbalance, gamma oscillation, and synaptic plasticity, respectively. E-I ratio, Excitatory-Inhibitory Ratio; LTP, Long-Term Potentiation; LTD, Long-Term Depression; NMDAR, N-Methyl-D-aspartate Receptor; AMPAR, α-Amino-3-hydroxy-5-Methyl-4-Isoxazole Propionic Acid Receptor; CaMKII, Ca2+/Calmodulin-Dependent Protein Kinases II\nThe potential relationship between three hypotheses within the cortical microcolumn theory of ASD. (a) and (b) respectively demonstrate the disparities in microstructure between normal brains and autistic brains. A comparison of autistic brains with normal brains reveals an increased number of minicolumns, narrower widths, and a reduced number of interneurons involved in intricolumnar and transcolumnar signal transduction. (c, d, and e) represent the three hypotheses of E-I imbalance, gamma oscillation, and synaptic plasticity, respectively. E-I ratio, Excitatory-Inhibitory Ratio; LTP, Long-Term Potentiation; LTD, Long-Term Depression; NMDAR, N-Methyl-D-aspartate Receptor; AMPAR, α-Amino-3-hydroxy-5-Methyl-4-Isoxazole Propionic Acid Receptor; CaMKII, Ca2+/Calmodulin-Dependent Protein Kinases II\nStudies have demonstrated that TMS can correct abnormal gamma oscillations in various disorders, such as Alzheimer’s disease [209, 210], schizophrenia [211], depression [212], and Parkinson’s [213], as well as related brain functions, including memory [214] and cognition [215]. For instance, TMS can normalize excessive gamma oscillations and improve cognitive function in patients with schizophrenia by acting on the DLPFC [216]. In another study focusing on healthy subjects, no significant changes were observed in the frequency range except for gamma band changes after TMS intervention, suggesting that TMS has a selective modulatory effect on gamma oscillations in frontal regions of the brain [217], which may be related to the fact that TMS can modulate GABAergic inhibitory neurons. Furthermore, the application of a TMS brain stimulation protocol that is based on modulating the gamma frequency band (40 Hz) induced healthy subjects’ inhibitory physiological after-effects that were well-tolerated [218]. The effects of TMS on gamma oscillations have received significant attention from researchers in the field of ASD. The researchers used EEG to detect brain network characteristics and found that children with ASD had significantly lower node degree, clustering coefficient, global efficiency, and local efficiency in all frequency bands compared to children with TD, indicating that the degree of neural correlation and the ability to integrate information between different brain regions are weakened in children with ASD. After a period of rTMS intervention stimulation, children with ASD showed improved social behavior, decreased connectivity from O1 to T7 and P7 to Fp1 in the alpha band of the EEG, and decreased effective connectivity from Pz to T8 in the gamma band, which is generally consistent with the phenomenon that effective connectivity from the posterior to the anterior is lower in children with TD [219]. It is important to note that this finding, which may appear to contradict previous observations that ‘TMS modulates only the gamma band’, is actually due to a fundamental difference in the core conditions of the two types of study: In previous studies, the N-back task was utilised as a specific cognitive task, and healthy subjects demonstrated no significant abnormalities in their brain networks. TMS required only targeted modulation of the gamma band to meet task demands, thus exhibiting ‘selective modulation’ characteristics. Conversely, individuals diagnosed with ASD have been shown to exhibit fundamental imbalances across the entire spectrum of brain networks (including baseline abnormalities in the gamma band). The objective of rTMS intervention is to rectify the dysfunction of the entire network and align it with normal patterns, as opposed to selectively modulating a single frequency band. Consequently, it is imperative to influence connectivity across multiple bands, such as alpha and gamma, to enhance cross-regional information integration capabilities synergistically. This phenomenon corresponds precisely with the fundamental characteristic of individuals diagnosed with ASD: The phenomenon of diminished efficiency has been observed across the entire spectrum of brain networks. In a recent clinical trial, a new metric (ringing decay) of gamma oscillations was used to evaluate the efficacy of TMS in the field of ASD. The study found a significant difference in the higher amplitude of event-related gamma oscillations in patients with ASD compared to the TD group. Following TMS intervention, the time required to reach the peak amplitude of gamma oscillations decreased significantly, while the time required for ringing decay increased and normalized. Additionally, ringing decay could be utilized to detect the impedance provided by inhibitory neurons to gamma oscillations [220]. What is the mechanism of action of TMS-mediated gamma oscillations? Previous studies have suggested that PV interneurons, which generate gamma oscillations, may be the key factor. In his report, Benali noted that different TMS modalities have varying modulatory effects on cortical excitability due to differences in the regulation of the activity of inhibitory cell classes. Specifically, iTBS may influence the inhibitory control of pyramidal cell output activity, whereas cTBS inhibits the activity of interneurons expressing calbindin D-28k, while the activity of another class of interneurons expressing the major calcium-binding protein, calretinin, remains unaffected. Importantly, iTBS intervention increased spontaneous neuronal firing activity and gamma power [221], a finding that contradicts the previous notion that PV interneurons promote gamma oscillations and suggests that the relationship between PV cells and gamma oscillations is not straightforward and may be influenced by other factors. It is essential to emphasize that the millisecond-scale rhythmicity of gamma oscillations can strictly constrain the firing timing of both presynaptic and postsynaptic neurons. Consequently, this phenomenon determines the temporal windows for enhancement or suppression of STDP through NMDAR-mediated current dynamics [208, 222]. When TMS enhances gamma oscillation power, phase synchronisation within neuronal ensembles markedly increases [208], concentrating presynaptic and postsynaptic firing events more precisely within the effective STDP time window [222]. This facilitates more accurate synaptic weight allocation [223], while the amplification of gamma oscillations itself directly modulates STDP expression efficiency [224]—this mechanism may constitute the cellular basis for TMS improving information integration deficits in ASD patients, though direct evidence specific to ASD remains lacking at present. It is noteworthy that, based on the results of our preliminary search of the relevant literature, it has been demonstrated that the ameliorative effect of TBS protocols modulated to mimic endogenous theta rhythms in the brain on ASD has been observed in some studies (refer to Tables 1 and Table 2). A study indicates that TBS, designed to mimic endogenous theta-gamma coupling, has shown promise in modulating cortical excitability and plasticity [225], and may interact with gamma oscillations within a nested hierarchical framework [226]. This θ-γ coupling mechanism is regarded as a core mode of brain information processing, in which θ rhythms act as a ‘carrier’ integrating global network activity, while γ rhythms are responsible for the fine-grained encoding of information within local neuronal clusters [227]. Dysregulation of their coordination may constitute a significant pathological basis for brain dysfunction in individuals diagnosed with ASD [226, 228]. Research into theta rhythms within the ASD field remains relatively scarce, a situation potentially attributable in part to early studies focusing more intensely on frequently demonstrated abnormal frequency bands such as gamma oscillations [229, 230]. Furthermore, the function of theta rhythms is frequently reflected through their phase-amplitude coupling (PAC) with higher-frequency oscillations, such as gamma waves. For instance, during natural speech processing tasks, children with ASD typically exhibit weakened or absent theta-gamma coupling, accompanied by abnormal beta-gamma coupling [227]. The high dependence of theta rhythms on the coupling context (in particular, specific cognitive tasks) poses a significant challenge in isolating the independent role of theta rhythms during non-task or resting states, thereby increasing the complexity of research analysis. In view of these findings, the future development of closed-loop TMS-EEG systems is of paramount importance. By capturing the phase, power, and spatiotemporal coupling characteristics of individual γ (and θ) oscillations in real-time via EEG, it becomes possible to identify ASD subtypes exhibiting specific neural oscillatory abnormalities (such as weakened θ-γ PAC or enhanced β-γ PAC). This facilitates the precise modulation of TMS stimulation parameters through adaptive adjustment [231]. This ‘monitor-modulate’ closed-loop framework shows great promise in enhancing intervention precision, and thus provides critical technological support for developing efficient, personalised ASD treatment strategies. In conclusion, it can be posited that protocols modulating gamma-band neural oscillatory activity may represent a viable alternative intervention for autism spectrum disorders.\nNeuroinflammation is an inflammatory response that aims to protect and maintain the normal structure and function of the brain. It is characterized by the infiltration of the CNS parenchyma by blood-borne lymphocytes and monocyte-derived macrophages, which leads to intense activation of glial cells [232]. Microglia can polarize into distinct activation states in response to environmental cues or specific stimuli. These states include classical activation, alternative activation, and acquired deactivation [233]. Microglia in the classical activation state are defined as M1 microglia. They are activated in response to inflammation and injury and induce pro-inflammatory cytokines such as TNF-α, interleukin-1β (IL-1β), and IL-6, as well as superoxide, reactive oxygen species (ROS), and nitric oxide production, leading to an inflammatory response and neuronal damage [234, 235]. M2 microglia refer to microglia in the alternative activation and acquired deactivation states. They play a crucial role in the late inflammatory and tissue repair phases by producing anti-inflammatory cytokines (such as IL-4, IL-10, and transforming growth factor-β) and neurotrophic factors, which help to reduce the inflammatory response and promote tissue repair [236, 237]. Research has demonstrated that microglia activation is a dynamic process that occurs along a continuum of M1 and M2 phenotypes [232]. Maintaining a balance between M1- and M2-type microglia is crucial for the normal functioning of the CNS. Like microglia, astrocytes also respond to CNS injury by undergoing morphological, molecular, and functional changes, resulting in the conversion to reactive astrocytes that generate an immune response. Reactive astrocytes can be categorized into two polarized states: a neurotoxic or pro-inflammatory phenotype (A1) and a neuroprotective or anti-inflammatory phenotype (A2) [238]. Activated microglia induce the formation of A1-reactive astrocytes through the secretion of IL-1α, TNF-α, and complement component 1, q subcomponent. Although type A1 astrocytes lose many canonical astrocyte functions—such as supporting neuronal survival and growth, maintaining synaptic function, and phagocytosing synaptic and myelin debris—they acquire potent neurotoxicity. Specifically, these cells are capable of rapidly killing newly born immature neurons and mature oligodendrocytes by releasing a number of pro-inflammatory factors and neurotoxins (e.g., complement protein C3, D-serine, nitric oxide, and TNF-α) [239, 240]. Furthermore, A1-reactive astrocytes significantly upregulate classical complement cascade genes, which have been demonstrated to be detrimental to synapses [240]. Conversely, A2 astrocytes are protective, upregulating neurotrophic or anti-inflammatory genes, and promoting neuronal survival and growth [239]. Additionally, A1/A2 astrocytes can communicate bidirectionally with microglia and other cells through both extracellular and intracellular signaling pathways to achieve mutual regulation [241].\nA mounting body of evidence underscores the pivotal role of neuroinflammatory dysregulation in the pathophysiology of ASD [2, 242–244], marked by persistent activation of glial cells within the central nervous system [245, 246]. Vargas et al. systematically validated active neuroinflammatory processes in autopsied ASD brain tissue via immunohistochemistry, cytokine protein arrays, and ELISA. These processes manifested as marked activation of microglia and astrocytes within the cerebral cortex, white matter, and cerebellum, accompanied by progressive loss of Purkinje cells [247]. At the cytokine level, studies of central samples (brain tissue and cerebrospinal fluid) demonstrated high consistency: Macrophage chemotactic protein-1 (MCP-1) demonstrated significant elevation in both brain tissue (frontal cortex, anterior cingulate cortex, cerebellum) and cerebrospinal fluid (CSF) of individuals diagnosed with ASD. This finding suggests that MCP-1 is the most consistently elevated chemokine. In addition, IL-6 has been found to be markedly upregulated in CSF and the anterior cingulate cortex. TNF-α, IFN-γ, IL-8, and GM-CSF have also been consistently reported to be elevated in multiple brain regions (e.g., frontal cortex) [247, 248]. It is important to note that there is currently no conclusive evidence for elevated IL-1β protein levels in brain tissue. Li et al. utilised high-sensitivity multiplex flow cytometry to analyse frozen frontal cortex samples, observing a tendency towards elevated IL-1β levels, though failing to attain statistical significance (p = 0.11) [248]. Conversely, Tsilioni et al. noted a substantial upregulation of IL-18 (a constituent of the IL-1 family, alongside IL-1β) gene expression in the amygdala and DLPFC of children diagnosed with ASD. Furthermore, the results of the present study demonstrate that neuropeptide Y stimulates IL-1β production in human-derived microglia, thus suggesting the potential involvement of the IL-1 family in inflammation. Nevertheless, the elevation of IL-1β protein itself within the central nervous system remains controversial [249]. The histopathological evidence substantiated these molecular alterations. Morgan et al. utilised stereotaxic quantitative analysis to reveal significantly increased grey matter microglial density (p = 0.002) within the DLPFC of subjects diagnosed with ASD, alongside markedly enlarged mean microglial volume (p = 0.013) in white matter. Morphologically, these cells exhibited a classic activated phenotype, characterised by swollen cell bodies, shortened and thickened processes, and increased filopodia [250]. Li et al. also detected elevated levels of TNF-α, IL-6, GM-CSF, IFN-γ, and IL-8 proteins directly in the frontal cortex, alongside a significantly increased Th1/Th2 ratio (IFN-γ/IL-10), suggesting adaptive immune activation with a Th1 bias within the brain [248]. Zantomio et al. emphasised in their review that the mGluR5 signalling pathway downregulates microglial activation, and its reduced expression in the DLPFC of ASD patients may constitute a critical interface between synaptic dysfunction and neuroinflammation [251]. It is important to acknowledge that the aforementioned neuroinflammation-related findings are primarily based on ex vivo studies, such as post-mortem histology and central cytokine detection. Conversely, neuroimaging studies reflecting the state of the living brain – particularly those targeting the imaging marker for glial activation, the transporter protein TSPO – have yielded conflicting evidence that diverges from post-mortem findings. For example, Zürcher et al. used [11C]PBR28 Magnetic Resonance Imaging-Positron Emission Tomography (PET-MR) to scan young adult male patients with ASD, revealing significantly lower TSPO expression in several brain regions (including the bilateral insular cortex, posterior cingulate cortex, superior temporal gyrus, and parahippocampal cortex) than in the control group. This suggests potential neuroimmune or mitochondrial dysfunction in these areas rather than atypical glial activation [252]. A preliminary study of female ASD patients observed elevated TSPO binding in the periventricular grey matter of the midbrain and caudate nucleus, suggesting that gender may be a key factor in differences in the neuroinflammatory phenotype [253]. Furthermore, a systematic review revealed that the three existing PET studies on TSPO expression in ASD patients produced contradictory findings: two reported decreased expression and one increased expression. This inconsistency may be due to sample heterogeneity (e.g., differences in age, sex, and clinical phenotype), tracer selection, or variations in analytical methods [254]. Indeed, the divergence in research conclusions is fundamentally linked to methodological limitations in assessing central nervous system inflammation in ASD. The evaluation of such inflammation necessitates the employment of multiple complementary approaches, each of which possesses distinct advantages and limitations. CSF cytokine assays have been shown to provide a direct reflection of central immune activity (e.g., elevated MCP-1, IL-6), yet these assays are invasive and capture only transient states within a narrow time window [247, 248]. similarly, peripheral blood cytokine measurements, while readily accessible, exhibit poor correlation with central levels due to blood-brain barrier selectivity and systemic confounding factors [254, 255]. PET using TSPO ligands, such as [11C]PBR28, enables in vivo visualization of glial activation; however, results exhibit heterogeneity due to TSPO genetic polymorphisms, tracer kinetic variations, and participant differences [252–254]. Post-mortem microglial transcriptomics and immunohistochemistry (e.g., Iba1, GFAP, S100β) provide high-resolution cellular evidence of chronic activation [247, 250], yet remain confined to terminal pathology and fail to reflect dynamic developmental trajectories. Serum GFAP and S100β have been explored as peripheral surrogates for astrocytic activation, though their specificity for central processes remains contentious [256]. Collectively, these methodological constraints underscore the challenge of establishing a unified neuroinflammatory phenotype in ASD. Furthermore, although post-mortem histology and central cytokine studies provide compelling evidence for neuroinflammation, the reproducibility of cytokine research is compromised by factors such as sample heterogeneity (e.g., clinical phenotype, comorbidities, age), post-mortem interval, and detection methods (protein array vs. multiplex flow cytometry), with particularly high inconsistency in peripheral blood findings [247–251]. Consequently, the establishment of a single, universal ‘ASD inflammatory biomarker’ remains unattainable at this time. However, the recurrent detection of MCP-1 and IL-6 in central samples, coupled with sustained glial cell activation, collectively points to neuroinflammation as a pivotal component in the pathophysiology of ASD.\nGlial cells may indirectly contribute to the development of ASD disease by participating in pathways such as maintaining E-I homeostasis, in addition to inducing inflammatory responses. Astrocytes are primarily responsible for maintaining homeostasis of E-I processes in the brain [257]. Astrocytes play a critical role in maintaining a balance between glutamate release and uptake when excess extracellular glutamate causes neurotoxicity by controlling expression of glutamate uptake transporters and a Ca2+-dependent exocytotic mechanism that inhibits glutamate excitotoxicity and modulates neuronal excitability (see Fig. 3a). These results suggest that astrocytes are essential for promoting E-I homeostasis [258]. This study confirms that astrocyte-specific glutamate transporter protein GLT1 knockout mice exhibit pathological ASD-related repetitive behaviors, such as excessive self-grooming and repetitive head twitching, and intervention with the NMDA receptor antagonist memantine drug ameliorated pathological repetitive behaviors in this mouse model [259]. These results suggest that astrocytes play a key role in promoting E-I homeostasis. On the other hand, microglia can also be involved in glutamate signaling through the Xc−system (see Fig. 3b). specifically, the Xc− transporter protein in the Xc− system is responsible for expelling glutamate out of the cell while translocating an equal amount of cysteine/cystine into the cell, and microglia are stimulated to secrete ROS to activate the TLR4 signaling pathway, which leads to an increased Xc− expression which consequently promotes glutamate efflux [260], and the E-I imbalance caused by glutamate excess is an important influence on the development of ASD. Notably, microglia also regulate E-I homeostasis through pruning synapses. Studies have shown that depletion of microglia during growth and development can lead to long-term defects in inhibitory and excitatory synaptic connectivity [261]. Unlike previous studies [262] that have primarily focused on excitatory synaptic studies, Favuzzi and colleagues found that microglia selectively prune inhibitory synapses, but not excitatory synapses, and that disruption of this process can lead to permanent defects in inhibitory connectivity [261]. Additionally, glial cells modulate another key pathogenic factor in ASD that has a significant impact on synaptic plasticity. Glial cells have been shown to play a critical role in maintaining brain homeostasis under both physiological and pathological conditions by modulating neuronal activity and synaptic plasticity through changes in synaptic coverage, expression of neurotransmitter receptors, and release of neuroactive substances, with broad perisynaptic distribution enabling them to perform these functions effectively (see Fig. 3c) [263]. In their early experiments, Roumier et al. used gene editing technology to conduct animal experiments. They found that mice with defects in the transmembrane peptide KARAP/DAP12, which is expressed only in microglia, exhibited altered synaptic function and plasticity, including enhanced hippocampal LTP and a significant reduction in synaptic expression of the BDNF receptor tyrosine kinase receptor B [264]. Furthermore, long-term injection of lipopolysaccharide into the fourth ventricle of rats resulted in chronic neuroinflammation caused by microglial activation, which significantly attenuated LTP in the dentate gyrus, ultimately leading to impaired spatial memory [265]. These findings emphasize that glial cells, primarily microglia, can impede synaptic plasticity through an inflammatory response, thereby hindering normal neuronal communication. Beyond the aforementioned mechanisms, the microbiota-gut-brain axis (MGBA) plays a pivotal role in ASD-associated neuroinflammation by regulating central nervous system function through immune, metabolic, and neural pathways [266]. For instance, the metabolites of gut microbiota, such as short-chain fatty acids (SCFAs), have been demonstrated to modulate microglial activation and synaptic pruning in a concentration-dependent manner. Concurrently, the microbiota exerts influence over the neuroinflammatory microenvironment through the Th17/Treg balance and immune cell migration, while remotely regulating central immune and neural functions by transmitting signals—including tryptophan derivatives—via the vagus nerve or blood-brain barrier [267, 268]. It is worth noting that while no definitive conclusions have yet been reached, existing evidence suggests neuroinflammation may serve as an early driver of neurodevelopmental disruption in some ASD cases, rather than merely a secondary/concomitant feature. For instance, prospective cohort studies have identified transcriptional alterations in autoimmune-associated genes prior to symptom onset in high-risk infants, with pro-inflammatory pathways (such as those linked to systemic lupus erythematosus gene sets) showing enrichment trends [269]; Maternal immune activation models further demonstrate that prenatal inflammation can induce ASD-like phenotypes in offspring, accompanied by elevated pro-inflammatory cytokines (e.g., TNF-α, IL-6) in brain regions including the hippocampus and cerebellum [270]. However, neuroinflammation may also arise from primary synaptic or metabolic abnormalities, necessitating further longitudinal studies (e.g., integrating infant PET glial imaging with multidimensional biomarker tracking) to clarify its causal temporal sequence [271]. In summary, neuroinflammation can serve as both an evaluative indicator for the diagnosis of ASD and a potential target for therapeutic strategies. However, it is important to note that existing studies have primarily confirmed the presence of neurological immune dysfunction in individuals with ASD. The relationship between neuroinflammation and ASD remains unclear, and whether neuroinflammation is a contributing factor or a consequence of ASD requires further investigation.\nFig. 3 The Mechanisms of Action of Neuroglial Cells in Glutamate Signaling and Synaptic Plasticity. (a) Astrocytes participate in the uptake and release of glutamate within the synaptic cleft. The glutamate uptake process reveals that two types of glutamate transporters, EAAT-1 and EAAT-2, located on the membrane of astrocytes, facilitate the uptake of glutamate from the synaptic cleft into the astrocytes. VGLUT1 and VGLUT2, expressed by astrocytes, regulate the transport of glutamate from the cytoplasm into vesicles. The activation of GPCRs leads to the generation of IP3. IP3 activates the endoplasmic reticulum, resulting in the release of Ca2+. The elevation of Ca2+ concentration is sensed by synaptotagmin 4, 7, or 11, which triggers the fusion of vesicles with the cell membrane and consequently leads to the release of glutamate within the vesicles to the extracellular space. (b) Microglia participate in glutamate signaling through the Xc- system. Activation of microglia results in the release of ROS and the subsequent activation of NF-κB via the MyD88 pathway. The activated NF-κB subsequently translocates into the nucleus, where it binds to specific binding sites in the promoter region of the Xc- gene, facilitating Xc- gene transcription, increasing the expression of Xc-, and influencing the transport of cystine and cysteine. (c) Glial cells influence synaptic plasticity by altering the degree of synaptic coverage around synapses and releasing neuroactive substances. EAAT: Excitatory Amino Acid Transporters; VGLUT: Vesicular Glutamate Transporter; IP3: Inositol 1,4,5-Trisphosphate; GPCR: G-Protein-Coupled Receptor; NMDRR: N-Methyl-D-Aspartate Receptor; ROS: Reactive Oxygen Species; TRL4: Toll-Like Receptor 4; Xc-: Cystine/Glutamate Antiporter; MyD88: Myeloid Differentiation Primary Response Gene 88; NF - κB: Nuclear Factor - kappa B\nThe Mechanisms of Action of Neuroglial Cells in Glutamate Signaling and Synaptic Plasticity. (a) Astrocytes participate in the uptake and release of glutamate within the synaptic cleft. The glutamate uptake process reveals that two types of glutamate transporters, EAAT-1 and EAAT-2, located on the membrane of astrocytes, facilitate the uptake of glutamate from the synaptic cleft into the astrocytes. VGLUT1 and VGLUT2, expressed by astrocytes, regulate the transport of glutamate from the cytoplasm into vesicles. The activation of GPCRs leads to the generation of IP3. IP3 activates the endoplasmic reticulum, resulting in the release of Ca2+. The elevation of Ca2+ concentration is sensed by synaptotagmin 4, 7, or 11, which triggers the fusion of vesicles with the cell membrane and consequently leads to the release of glutamate within the vesicles to the extracellular space. (b) Microglia participate in glutamate signaling through the Xc- system. Activation of microglia results in the release of ROS and the subsequent activation of NF-κB via the MyD88 pathway. The activated NF-κB subsequently translocates into the nucleus, where it binds to specific binding sites in the promoter region of the Xc- gene, facilitating Xc- gene transcription, increasing the expression of Xc-, and influencing the transport of cystine and cysteine. (c) Glial cells influence synaptic plasticity by altering the degree of synaptic coverage around synapses and releasing neuroactive substances. EAAT: Excitatory Amino Acid Transporters; VGLUT: Vesicular Glutamate Transporter; IP3: Inositol 1,4,5-Trisphosphate; GPCR: G-Protein-Coupled Receptor; NMDRR: N-Methyl-D-Aspartate Receptor; ROS: Reactive Oxygen Species; TRL4: Toll-Like Receptor 4; Xc-: Cystine/Glutamate Antiporter; MyD88: Myeloid Differentiation Primary Response Gene 88; NF - κB: Nuclear Factor - kappa B\nIn a recently published study, the authors discovered that the hippocampus of rats with an ASD model induced by prenatal valproic acid exposure exhibited elevated inflammatory factors and over-activation of microglia. Furthermore, the intervention using rTMS was observed to improve the autism-like abnormal behaviors in the ASD rat model. The underlying mechanism may be attributed to the significant reduction in neuroinflammation and restoration of synaptic plasticity by down-regulating NF-κB activation in microglia, thereby exerting neuroprotective effects [57]. Similarly, other studies have demonstrated that TMS modulates glial cell polarization and further ameliorates the inflammatory microenvironment, thereby achieving suppression of CNS inflammation. A report combining in vitro and ex vivo experiments confirmed that rTMS stimulation intervention at 10 Hz significantly inhibited neurotoxic polarization of astrocytes after oxygen-glucose deprivation/reoxygenation and cerebral ischemia/reperfusion injury, attenuating neuronal injury, and promoting synaptic plasticity to exert a neuronal protective effect [272]. In addition to regulating astrocytes, TMS may also play a role in balancing the polarized state of microglia. The research team from Fudan University demonstrated that iTBS can inhibit pro-inflammatory M1-type activation and promote anti-inflammatory M2-type activation in the peri-infarct region, but not in the core region. This is achieved by inhibiting the TLR4/NFκB/NLRP3 signaling pathway, mediating the balance of microglial cell M1/M2 phenotype, and thus attenuating the motor deficits and pyroptosis caused by cerebral ischemia/reperfusion injury. Subsequent authors utilized a CSF1R inhibitor to deplete microglia, which nullified the ameliorative effects of iTBS on motor function [273]. Another study found that 25 Hz rTMS intervention ameliorated neuroinflammation, enhanced synaptic plasticity, and inhibited neuronal apoptosis in 3xTg Alzheimer’s disease mice by inhibiting microglial activation and activating the PI3K/Akt/GLT-1 pathway, including increasing PI3K/Akt activity and GLT-1 expression, which is the major transporter protein for removing excess glutamate from the synaptic cleft in rodents. Additionally, rTMS decreased amyloid beta 1–42 levels in hippocampal brain regions, improved oxidative stress and glucose metabolism, cognitive functions, and produced various types of neuronal protective effects. However, these effects were not observed when the PI3K/Akt inhibitor LY294002 was used [274]. On the other hand, TMS modulation can cause changes in cytokine levels, either directly or indirectly. For example, Cha et al. conducted a clinical trial that demonstrated the efficacy of high-frequency rTMS intervention in improving cognitive function and reducing mRNA levels of pro-inflammatory cytokines (IL-1β, IL-6, TNF-α, and transforming growth factor-β) in blood samples from stroke patients, and found a correlation between the reduction in IL-6 levels and scores on the complex figure copy test and auditory verbal learning test [275]. Similarly, animal experiments have shown that iTBS intervention significantly reduces the content of pro-inflammatory cytokines, such as IL-1β, IFN-γ, TNF-α, and IL-17 A, while increasing the level of the anti-inflammatory cytokine IL-10 in brain tissues of cerebral ischemic mice. This phenomenon is associated with the promotion of microglial cells from M1 to M2 phenotype [273]. It is important to acknowledge that the majority of current studies have focused on a single type of glial cell. However, it is well established that different glial cells can interact with each other. Consequently, it is not yet clear which type of cell is the most appropriate for intervention by TMS. Furthermore, there is a lack of sufficient experimentation and validation in the field of autism. Of particular significance is the current absence of direct evidence demonstrating that TMS can modulate neuroinflammatory markers in individuals with ASD. The existing mechanistic data supporting the anti-inflammatory effects of TMS are almost exclusively derived from animal models of stroke, cerebral ischaemia, or Alzheimer’s disease (refer to Table 3). Consequently, it is not possible to extrapolate these findings directly to the ASD population. In summary, it is evident that neuroinflammation represents a potential therapeutic target for ASD diagnosis and treatment. Although TMS has been demonstrated to suppress central neuroinflammation and exert neuroprotective effects, its anti-inflammatory efficacy in ASD remains hypothetical and requires validation through direct experimental evidence in ASD patients or specific ASD animal models.\nTable 3Summary of TMS regulated neuroinflammation related researchSpecies/ModelTMS protocol parametersInflammatory Markers AlteredBehavioral/Functional OutcomesImplicated Signaling PathwaysReferenceSD rat Valproic acid-induced autism model1 Hz rTMS, 900 pulses; 1 time/day, 2 weeksReduce TNF-α, IL-1β, IL-6; Inhibit microglial overactivation; Increase IL-10Relieve autism-like/anxiety-like behaviors; Improve cognition; Ameliorate hippocampal synaptic plasticityNF-κB signaling pathway[57]SD rat MCAO model & OGD/R primary astrocyte models1/5/10 Hz rTMS (10 Hz optimal), 600 pulses, 1 time/day, 1 weekReduce TNF-α, IL-1β, IL-12, IL-23, C3, iNOS; Increase IL-10, IL-1ra, Arg1, S100A10;Reduce infarction volume, neuronal apoptosis; Improve neurological function; Enhance spatial learning/memory; Promote synaptic plasticity;NF-κB/STAT3 signaling pathway[272]C57BL/6 J mouse MCAO/r modeliTBS (10 × 50 Hz bursts, 3 pulses/burst, 20 repeats at 5 Hz intervals), 2 times/day, 1 weekReduce IL-1β, IL-17 A, TNF-α, IFN-γ, CD86, iNOS; Increase IL-10, CD206, Arg1;Reduce cerebral infarction volume, inhibit neuronal pyroptosis; Improve motor function and gait, enhance spatial learning/memory; Promote microglial M2 polarization;TLR4/NFκB/NLRP3 signaling pathway[273]3xTg-AD mouse model25 Hz rTMS, 1000 pulses, 60% max output, 1 time/day, 3 weeks;Reduce IL-6, IL-1β, TNF-α, ROS, MDA; Increase SOD, GSHImprove cognitive function, brain glucose metabolism; Enhance synaptic plasticity; Reduce Aβ1–42 levels, neuronal apoptosis;PI3K/Akt/GLT-1 signaling pathway[274]Post-stroke cognitive impairment patient20 Hz rTMS, 2000 pulses, 1 time/day, 5 days/week, 2 weeks;Reduce the expression of IL-1β, IL-6, TNF-α, TGF-β, mRNAImproved cognitive and motor function, significantly enhanced activation of cognitive related brain regionsAnti-inflammatory and brain network regulation pathway[275]MCAO: Middle Cerebral Artery Occlusion; OGD/R: Oxygen-Glucose Deprivation/Reperfusion; AD: Alzheimer’s Disease; TNF-α: Tumor Necrosis Factor-α; IL-1β: Interleukin-1β; IL-6: Interleukin-6; iNOS: Inducible Nitric Oxide Synthase; ROS: Reactive Oxygen Species; MDA: Malondialdehyde; SOD: Superoxide Dismutase; GSH: Glutathione; NF-κB: Nuclear Factor-kappa B; STAT3: Signal Transducer and Activator of Transcription 3; TLR4: Toll-like Receptor 4; NLRP3: NOD-like Receptor Pyrin Domain-containing 3; IFN-γ: Interferon-γ; CD86: Cluster of Differentiation 86; rTMS: Repetitive Transcranial Magnetic Stimulation; iTBS: Intermittent Theta-Burst Stimulation; PI3K: Phosphatidylinositol 3-Kinase; Akt: Protein Kinase B; GLT-1: Glutamate Transporter 1; C3: Complement 3; IL-1ra: Interleukin-1 Receptor Antagonist; Arg1: Arginase 1; S100A10: S100 Calcium Binding Protein A10; Aβ1–42: Amyloid β 1–42; SD: Sprague-Dawley\nSummary of TMS regulated neuroinflammation related research\nMCAO: Middle Cerebral Artery Occlusion; OGD/R: Oxygen-Glucose Deprivation/Reperfusion; AD: Alzheimer’s Disease; TNF-α: Tumor Necrosis Factor-α; IL-1β: Interleukin-1β; IL-6: Interleukin-6; iNOS: Inducible Nitric Oxide Synthase; ROS: Reactive Oxygen Species; MDA: Malondialdehyde; SOD: Superoxide Dismutase; GSH: Glutathione; NF-κB: Nuclear Factor-kappa B; STAT3: Signal Transducer and Activator of Transcription 3; TLR4: Toll-like Receptor 4; NLRP3: NOD-like Receptor Pyrin Domain-containing 3; IFN-γ: Interferon-γ; CD86: Cluster of Differentiation 86; rTMS: Repetitive Transcranial Magnetic Stimulation; iTBS: Intermittent Theta-Burst Stimulation; PI3K: Phosphatidylinositol 3-Kinase; Akt: Protein Kinase B; GLT-1: Glutamate Transporter 1; C3: Complement 3; IL-1ra: Interleukin-1 Receptor Antagonist; Arg1: Arginase 1; S100A10: S100 Calcium Binding Protein A10; Aβ1–42: Amyloid β 1–42; SD: Sprague-Dawley\nTrillions of microorganisms, such as bacteria, viruses, fungi, and other life forms, inhabit the human body. Different classes of microbes are present in different organs, and those in the gut are of particular interest in biomedical research [276]. The gut microbiome is a diverse group of microorganisms that live in symbiosis with the host and interact with it. They play a role in various host functions, such as nutrient absorption, colonization resistance, immune function modulation, and intestinal barrier maintenance [277, 278]. Previous research has demonstrated that gut microbiome has a significant impact on the physiological functions of the host, both directly and indirectly, through self-produced or modified metabolites [279], the nervous system [280, 281], immunomodulation [282], hypothalamic-pituitary-adrenal (HPA) axis [283]. Therefore, it is vital to maintain a balance of gut microbiome for the host’s health.\nIn recent decades, studies have confirmed interactions between the gut microbiome and the brain in individuals with autism or other neuropsychiatric disorders. ASD has also been recognized as a brain-gut-microbiome axis disorder [284, 285]. The MGBA theory explains the communication between the gut microbiome and the CNS through various pathways, including immune-related, neural, endocrine, and metabolic signaling pathways [286]. Clinical and animal studies have demonstrated that MGBA facilitates bidirectional communication between the gut and the brain, contributes to brain homeostasis, and helps regulate cognitive and emotional functions [281, 287, 288], and that disorders of the gut microbiome can affect neurological function and behavior through MGBA [289]. It is noteworthy that, despite repeated reports from observational studies indicating a significant association between ASD and gut microbiota abnormalities, there remains no conclusive evidence demonstrating that microbiome dysregulation constitutes a direct aetiological factor in the core neuropathology of ASD [290–292]. The relationship between the two is more likely to reflect complex bidirectional interactions and shared genetic or environmental drivers, such as dietary preferences, antibiotic use, or abnormal gastrointestinal motility [290, 291], rather than a simple causal chain [292]. Epidemiological data indicate that approximately 40% of individuals with ASD exhibit pronounced gastrointestinal symptoms, including altered bowel habits, abdominal pain, and gastroesophageal reflux [293, 294]. Moreover, symptom severity frequently correlates positively with the prevalence of gastrointestinal issues [293]. This comorbidity has prompted researchers to investigate the structural characteristics of the gut microbiome in ASD patients. For instance, Li et al. utilised 16 S rRNA gene sequencing to compare faecal samples from children with ASD and healthy controls, revealing significant differences in microbial composition between the two groups. The ASD cohort exhibited enrichment in specific bacterial families such as Alcaligenaceae, Enterobacteriaceae, and Clostridium [295]. This finding has been validated in multiple independent studies, with elevated Clostridium abundance being particularly consistent [296, 297]. Interestingly, Clostridioides, a subspecies of Clostridium, is one of the most frequently detected dysbiotic bacteria in patients with ASD [298] due to its production of potentially toxic metabolites such as 4-ethylphenyl sulfate and p-Cresol sulfate, which are thought to enter the bloodstream and cross the blood-brain barrier to influence processes such as neuroinflammation and microglial phagocytosis [268]. In addition, Clostridium tetani has been found to release transporting tetanus neurotoxin and subsequently translocate it to the CNS to disrupt neurotransmitter release, thereby inducing a wide variety of behavioral deficits in ASD [299]. Beyond bacterial toxins, other microbially derived molecules also participate in the pathological processes of ASD. For instance, SCFAs (such as propionic acid, butyric acid, and acetic acid) are products of gut microbiota fermentation of dietary fibre, undigested starch, and amino acids. At physiological concentrations, they exert anti-inflammatory effects, maintain intestinal barrier integrity, and regulate immunity. However, dysbiosis in ASD patients leads to abnormal elevation of SCFAs like propionic acid. Clinical studies confirm significantly increased propionic acid concentrations in faeces from children with ASD, correlated with symptom severity. Animal studies demonstrate that intraventricular injection of propionic acid induces ASD-like behaviours, triggering glial activation, mitochondrial dysfunction, and oxidative stress [300]. It may also interfere with neurodevelopmental gene expression by inhibiting histone deacetylases or activating neuroinflammatory pathways via free fatty acid receptors (e.g., GPR41/FFAR3) [301]. Another pivotal mechanism involves immune-mediated neuroinflammation. Gut dysbiosis disrupts the intestinal epithelial barrier (‘leaky gut’), allowing bacterial lipopolysaccharides and other substances to enter the circulation. This activates the peripheral immune system and releases inflammatory mediators such as IL-6, TNF-α, and IL-17a [302]. These factors can activate central microglia and astrocytes via the compromised blood-brain barrier or vagal signalling. Post-mortem brain tissue from ASD patients and animal models consistently shows reactive glial cell proliferation and morphological alterations, with their abnormal activation exacerbating neuroinflammation [245, 303]. This ultimately leads to abnormal synaptic pruning, neurotransmitter imbalances, and disrupted neural circuit function, which constitutes a core neurobiological feature of ASD [303]. Furthermore, inflammatory mediators can further increase blood-brain barrier permeability, facilitating peripheral immune cell infiltration into the central nervous system and forming a ‘peripheral inflammation – central neuroinflammation’ cascade reaction [245]. In summary, existing evidence strongly supports the notion that the gut microbiota plays a regulatory or promoting role in the pathogenesis of ASD, and its intervention may become an important adjunct to comprehensive treatment strategies for ASD.\nAlthough there is limited research on TMS interventions with gut microbiome, researchers have tentatively demonstrated that TMS may exert its therapeutic effects by correcting disturbed gut microbial compositions or modulating specific bacterial species. The research team from the University of Milan utilized deep TMS (dTMS), a type of rTMS protocol that delivers a magnetic field through a special H-shaped coil wrapped in a helmet to stimulate deeper brain regions, to investigate the effects on the gut flora of obese patients. The results suggest that high-frequency dTMS protocols can effectively modulate the composition of the gut microbiome of obese subjects, reverse obesity-associated microbiome changes, and promote representative bacterial species with anti-inflammatory properties, such as Faecalibacterium [304]. In a separate study, it was discovered that low intensity rTMS intervention increased the abundance of the anti-inflammatory Roseburia spp. This increase was significantly correlated with behavioral data from forced swimming experiments and MRI results. Additionally, the KEGG functional annotation of the rTMS-intervention group showed that apoptotic pathway abundance was the only indicator of a decrease. These findings suggest that rTMS intervention may have anti-inflammatory and protective effects on the gut microbiome, which are associated with its therapeutic effects [305]. A recent study showed that intervention with 15 Hz rTMS attenuated depressive-like behavior in a model of depression mice and modulated the abundance of Cyanobacteria, Proteobacteria, and Actinobacteriota phylum, which are associated with neurotransmitters and gut inflammation, as well as the levels of polyunsaturated fatty acids in plasma and brain tissue [306]. It should be emphasized that the above studies did not focus on the ASD population or ASD specific models, and their conclusions need to be cautiously extrapolated to ASD scenarios.\nThen, what are the potential possible mechanisms underlying the intervention of TMS on gut microbiome? As illustrated in Fig. 4, it is widely acknowledged that TMS can ameliorate neuroinflammation by modulating neuroimmune signalling. Importantly, TMS further influences the gut microbiome through bidirectional communication along the MGBA, with the vagus nerve serving as a key pathway. Studies confirm that TMS can also modulate central noradrenergic system activity, altering central noradrenaline release levels. This central change then impacts the gut microenvironment via descending sympathetic pathways—moderately regulated central noradrenaline levels reduce overgrowth of pathogenic gut bacteria, creating stable conditions for colonisation by beneficial microbiota such as short-chain fatty acid-producing bacteria [307]. Concurrently, TMS modulates the central adenosine signalling system: as a key neuro-immune modulator, adenosine’s A1R and A2AR receptors are widely expressed in the basal ganglia (e.g., caudate nucleus) and brainstem. iTBS restores A1R/A2AR equilibrium, thereby inhibiting neuroinflammation mediated by excessive adenosine-A2AR signalling in basal ganglia regions [308]. Through bidirectional regulation via the MGBA, TMS-induced central neurochemical alterations may further influence intestinal mucosal immunity and metabolite levels (e.g., SCFAs), thereby indirectly modulating gut microbiota composition and function [307, 308]. Previous studies have demonstrated that noradrenaline levels decrease following five weeks of dTMS treatment, with this change significantly correlated to alterations in the abundance of Bacteroides, Eubacterium, and Parasutterella [304]. This phenomenon is mediated through a pathway involving both the dopaminergic reward system and HPA axis regulation: dTMS first activates the dopaminergic reward system (including the striatum, ventral tegmental area, and nucleus accumbens), while simultaneously triggering systemic regulatory responses via the HPA axis. These dual effects collectively lead to a reduction in local intestinal noradrenaline levels, thereby inhibiting the proliferation of harmful gut pathogens and diminishing their virulence [309], ultimately exerting beneficial effects on the composition of the gut microbiota. However, this mechanism has yet to be validated in ASD-related research.\nFig. 4TMS restores the disordered gut microbiome by influencing neuroinflammation. Given the mechanism by which gut microbiome can communicate with and have an impact on glial cells in the brain through pathways such as immune mediation, metabolites, and neural regulation, TMS acts on the polarization of glial cells to ameliorate neuroinflammation, thereby achieving the regulation of gut microbiome. TMS, Transcranial Magnetic Stimulation\nTMS restores the disordered gut microbiome by influencing neuroinflammation. Given the mechanism by which gut microbiome can communicate with and have an impact on glial cells in the brain through pathways such as immune mediation, metabolites, and neural regulation, TMS acts on the polarization of glial cells to ameliorate neuroinflammation, thereby achieving the regulation of gut microbiome. TMS, Transcranial Magnetic Stimulation\nIt is noteworthy that the aforementioned studies indicate TMS intervention may lead to alterations in the abundance of specific bacteria rather than affecting the overall diversity of the bacterial community. This suggests that TMS’s regulatory effect does not broadly influence the entire gut microbial system but instead specifically targets particular bacterial species. However, existing gut microbiome research suffers from numerous limitations that severely undermine the reliability and persuasiveness of its evidence: most studies are small-scale exploratory investigations, making it difficult to rule out interference from individual variations and reducing the generalisability of conclusions; considerable heterogeneity exists across studies regarding TMS stimulation frequency, intensity, and target sites, coupled with a lack of systematic investigation into parameter-effect relationships, preventing the identification of optimal parameter combinations for regulation; Intervention cycles typically span 4–8 weeks with short follow-up periods, hindering assessment of long-term effects and post-treatment recovery to baseline microbiome composition. Methodological flaws further undermine credibility, including insufficient sequencing depth, inadequate control of confounding factors (diet/lifestyle/concurrent medication), and absence of negative controls or randomised designs. More critically, these limitations, compounded by the unclear associations between specific bacterial relative abundance changes and TMS parameters, target sites, and disease types, collectively result in the intrinsic mechanisms of neuro-endocrine-immune-microbiome cross-regulation remaining unexplained. This also implies that the current evidence regarding the association between TMS and the gut microbiome remains exploratory in nature, insufficient to draw definitive clinical conclusions, and there is as yet no direct evidence confirming the existence of this association in ASD. Consequently, future research must employ large-sample, multicentre, randomised controlled designs, standardise TMS parameter settings, extend follow-up periods, and optimise microbiome detection methodologies, with a primary focus on exploring the aforementioned associations and intrinsic regulatory mechanisms. Concurrently, given the scientific plausibility of the hypothesis that TMS improves ASD and other central nervous system disorders alongside associated gastrointestinal dysfunction by modulating bidirectional gut-brain axis communication, future research should incorporate investigations into this application. This not only holds significant scientific value but also represents a core pathway for enhancing the credibility of research evidence in this field and advancing clinical translation.\n\n\n### Ion channels\nTMS relies on the principle of electromagnetic induction to generate electric fields in target tissues, how do TMS-induced electric fields convert physical stimulation into therapeutically relevant biological effects? Marino et al. proposed that magnetosensory evoked potentials elicited by magnetic stimulation arise from direct interaction between the induced electric field and neuronal ion channels. Specifically, the receptor potentials required to generate evoked potentials are triggered by direct interactions between the induced electric field and the ion channel. These interactions result in changes in the mean probability of the channel being in the open state [97], and that the strength of the induced field can alter the mean ion channel opening time [98]. We hypothesize that TMS directly modulates voltage-gated ion channels in neuronal membranes. These ion channels are widely expressed in many types of neurons throughout the brain as well as in non-neuronal tissues and are key modulators of neuronal excitability, making them effective targets for regulating neuronal function [99]. This finding is consistent with the fundamental logic established in previous research, which posits that rTMS exerts its influence on ion channel states and functions by modulating stimulation parameters. For instance, this study utilised cellular experiments and animal models to observe that rTMS can transiently open voltage-gated sodium channels, affect potassium channel activity, and also induce delayed alterations in intracellular calcium ion concentrations [100]. Subsequent investigators have shown that the effect of TMS on the excitability of neurons is related to the ion channel. Acute high-frequency rTMS at both 0.8 and 1.2 motor thresholds significantly activated voltage-gated sodium current, inhibited voltage-gated potassium current, and the delayed rectifier potassium current compared to controls. These effects were attributed to alterations in the dynamic properties of voltage-gated sodium and potassium channels. The above results suggest that ion channel modulation may be a potential intrinsic regulatory mechanism by which rTMS enhances neuronal excitability in dentate gyrus granule cells, with effects increasing with stimulus intensity [101]. The physical principle behind TMS is based on Faraday’s law, which induces electrical currents in neurons. An alternative explanatory hypothesis for the mechanism of the effect of magnetic stimulation on neurons was presented and justified by computational and numerical simulations in another study. The study demonstrated that transcranial static magnetic stimulation induces the Lorentz force, which generates friction between ions and the channel wall in membrane channels. This friction decreases channel conductance, and simulations using the Hodgkin-Huxley model found that even a slight reduction in conductance effectively inhibits action potentials and neuronal activity [102]. The study indicates that the Lorentz force acting on the ions flowing through the neuronal membrane channels could also be a candidate physical mechanism to reduce the excitability of the motor cortex through magnetic stimulation techniques. Whether other classes of ion channels undergo modulation comparable to that of voltage-gated ion channels under magnetic stimulation remains an open question in the field. Separately, Chu et al. discovered that transcranial magneto-acoustic stimulation (TMAS) can alleviate neuroinflammation, damage to synaptic plasticity, and abnormal neuronal oscillations in Alzheimer’s disease mouse models by activating microglial Piezo1, a mechanosensitive ion channel that converts relevant mechanical and electrical stimuli into biochemical signals that enhance microglial autophagy and promote phagocytosis and degradation of β-amyloid, as confirmed by the blockade of Piezo1 with the antagonist GsMTx-4, which prevented the beneficial effects of TMAS [103]. Interestingly, TMAS delivered a more robust intervention effect compared with ultrasound stimulation alone. This superiority may be attributable to the combined action of magnetic stimulation-induced electric fields on Piezo1, an ion channel with high electrical stimulation sensitivity. The dual modulation of magnetic and electrical signals thus exerts a potent superimposed effect through biological synergism. Based on the existing studies, we speculate that TMS can act directly on ion channels and convert physical stimulation effects into biological effects by mediating ion channels, providing a theoretical basis for TMS to intervene in other mechanisms of action, such as E-I balance, neural oscillations, and salient plasticity.\n\n\n### E-I imbalance\nNormal functioning of neuronal circuits requires a balance between synaptic excitation and inhibition, maintained primarily by GABA in conjunction with glutamate, and failure to establish or maintain this balance may underlie the neural basis of neurological disorders such as schizophrenia and ASD [104]. The E-I imbalance hypothesis is recognized as a common underlying deficit in ASD patients and plays an important role in the pathophysiology of ASD [105]. This hypothesis suggests that the shifts in neuronal excitation and inhibition are controlled by the relative amount (likely resulting from elevated glutamatergic excitation and/or reduced GABAergic inhibition) [106] and activity of glutamatergic and GABAergic systems [107]. GABA is the primary inhibitory neurotransmitter in 20%-44% of human cortical neurons [108]. On the other hand, glutamate, which is a precursor of GABA, acts as the primary excitatory neurotransmitter in the CNS and is the most abundant free amino acid in the brain [109, 110]. Glutamate is at the crossroads of many physiological processes, including but not limited to learning, memory, cognition, and emotion [111]. Additionally, since glutamate is not broken down outside of the cell, the brain relies on glutamate transport performed by excitatory amino acid transporters as well as their ability to take up excess glutamate, preventing excitotoxicity from occurring thus maintaining proper neuronal function [112]. Studies have found that an imbalance between excitatory and inhibitory neurotransmission is associated with metabolic abnormalities [113], which can lead to increased noise and hyperexcitability in the cerebral cortex [107]. Various techniques have been used to examine the manifestations of this imbalance in ASD, and it has been found to consist mainly of both increased and decreased E-I ratio. Rubenstein and Merzenich proposed in their E-I imbalance model of ASD that some types of ASD may be caused by elevated E-I ratios in the sensory, memory, social, and emotional nervous systems [107]. Later, Yizhar and his team demonstrated, using optogenetic tools, that an elevated cellular E-I balance within the medial prefrontal cortex of mice induces severe impairments in cellular information processing. This impairment significantly affects social behaviors and conditioned reflexes, and triggers baseline (non-evoked) rhythmic high-frequency activity in the range of 30–80 Hz [114], and that behavioral deficits in ASD are associated with elevated high-frequency activity [115, 116]. Further studies have reported that social deficits resulting from an elevated cellular E-I balance can be partially alleviated by increasing inhibitory tone to restore balance [114]. Whereas, decreased E-I balance ratio is observed in Rett syndrome, a pervasive neurodevelopmental disorder associated with mental retardation and ASD behaviors [117]. Furthermore, individuals with ASD also exhibit a decreased E-I balance ratio. Magnetic resonance spectroscopy has been used to quantify the concentrations of the inhibitory neurotransmitter GABA and the excitatory glutamate-glutamine complex in the anterior cingulate cortex and DLPFC of both ASD patients and neurotypical controls. Specifically, elevated levels of GABA were detected in the left DLPFC of ASD patients [105]—a finding that directly supports the hypothesized reduction in E-I balance, as increased inhibitory signaling would shift the ratio toward suppression. These studies provide evidence supporting the hypothesis of an E-I imbalance in individuals with ASD.\nE-I imbalances are responsible for the abnormalities in social, behavioral, emotional, cognitive, sensory, and motor control that are closely associated with ASD [113]. Scholars have confirmed abnormal E-I balance in the typical Rett syndrome patient group in ASD through paired-TMS [118]. However, the underlying mechanisms remain poorly understood, though they are primarily thought to rely on the following pathways. Briefly, an imbalance between E and I in the brain can affect synaptic plasticity and neural oscillations, which in turn can lead to alterations in learning and memory [119]. For example, the N-methyl-D-aspartate (NMDA) receptor, one of the glutamate receptors, is the main postsynaptic excitatory amino acid receptor in the CNS. Its activation elevates intracellular Ca2+ concentration, ultimately inducing LTP and long-term depression (LTD), which play a key role in learning and memory [120, 121]. In addition, α-amino-3-hydroxy-5-methyl-4-isoxazole propionic acid (AMPA) receptors, a type of glutamate, are abundantly expressed on larger dendritic spines in the head. They mediate rapid components of synaptic transmission and contribute to strong synaptic connectivity, making them a key determinant of dendritic spine morphology [122]. The AMPA receptor not only redistributes in response to changes in synaptic activity patterns, but the cyclic process of rapid entry and exit into and out of the postsynaptic membrane can also modulate synaptic transmission and plasticity [123]. On the other hand, E-I imbalance can also result in abnormal neural network oscillations. For instance, synchronized oscillations at beta/gamma band frequencies form functional networks that are primarily mediated by a continuous flow of changes in excitatory and inhibitory synapses [124], and the interconnections between these neurons determine the strength and duration of the oscillations and control local synchronization [125]. Research has demonstrated that neural network oscillations play a role in synchronizing neuronal firing in cortical networks and coordinating decentralized cortical communication for spatio-temporal brain connectivity [126], further confirming that they may be related to cognitive functions such as selective attention, short- and long-term memory, and multisensory integration [113, 127]. Furthermore, altered E-I balance has been linked to hyperexcitability and the development of epilepsy, a common complication of ASD. It is widely accepted that decreased inhibition and/or increased excitability are key factors contributing to the onset of epilepsy [128–130]. Several studies have shown that depolarizing GABA can trigger epileptic seizures, and sustained seizure activity can, in turn, lead to depolarizing GABA. Interestingly, altering the switching time from depolarizing to hyperpolarizing GABA may be the key to causing the E-I imbalance [130].\nIt has been confirmed in reports in the field of ASD that TMS may have therapeutic effects by restoring E-I balance. Ikeda et al. found that the application of rTMS at 20 Hz induced persistent changes in mRNA expression levels, including GABAergic and glutamatergic transporter proteins in the mouse brain, suggesting that rTMS may modulate neuronal activity and synaptic plasticity by regulating the rate of uptake of glutamate and GABA in the synaptic cleft [131]. However, there is currently a lack of systematic transcriptomic or epigenomic data to comprehensively elucidate the molecular basis of these regulatory effects. Future work could benefit from integrating transcriptomic and epigenomic profiling to delineate downstream gene networks and epigenetic marks modulated by TMS. Tan demonstrated in his report that low-frequency rTMS intervention improved behavioral symptoms associated with the ASD rat model. He used whole-cell membrane clamp electrophysiology experiments to find that low-frequency rTMS intervention successfully restored the amplitude of miniature inhibitory postsynaptic currents, rather than miniature excitatory postsynaptic currents. This was associated with an increase in the expression of reverse inhibitory synaptic receptors, specifically GABAA α1 receptor subunits and vesicular GABA transporter [132]. The regulation of E-I balance by TMS is supported not only by animal experiments but also by clinical trials, which provides strong evidence. Recently, a randomized, double-blind, sham-controlled clinical trial examining the effects of rTMS intervention on glutamate levels in patients with ASD found that the direction of change in glutamate levels is related to baseline levels, with low baseline levels increasing glutamate levels and high baseline levels decreasing glutamate levels [133]. A similar phenomenon was found in another study where researchers used an inhibitory rTMS (1 Hz) protocol on the primary motor cortex of healthy individuals. This protocol could not affect excitatory (glutamatergic) neurotransmitters, but it resulted in a tendency to increase and decrease GABA concentrations in the motor cortex on the side that was originally low and high compared to baseline, respectively [134]. The above phenomenon reflects that TMS can have adaptive action effects based on the direction of E-I imbalance in brain regions. Nevertheless, conclusions drawn from studies of healthy individuals should be cautiously extrapolated to the ASD population. In addition, Stagg et al. similarly found by using magnetic resonance spectroscopy that when cTBS stimulation was given in the M1 region of the brain, it was found to significantly inhibit synaptic transmission for reasons associated with an increase in the concentration of GABA. This enhanced inhibitory effect of GABAergic neurons contributed to the maintenance of the aftereffects of TBS, demonstrating that cTBS mediated the localized activity of the corticocortical pathway between inhibitory neurons in the cortex; further data suggested that cTBS activated cortical GABA-receptor-ergic interneuron populations and that the sustained increase in GABAergic activity may have been maintained by the induction of glutamic acid decarboxylase and an increase in GABA concentration in the cytoplasm of GABA-receptor-ergic interneurons [135]. The above results are consistent with previous reports of glutamatergic changes after TMS intervention [136, 137], suggesting that TMS may improve ASD-related behaviours by restoring E-I balance, providing guidance for subsequent optimisation of TMS protocols. However, some mechanistic evidence derives from non-ASD models (animal or healthy human subjects), and the specific regulatory pathways within ASD require further validation.\n\n\n### Synaptic plasticity\nSynaptic plasticity refers to activity-dependent changes in the strength of synaptic connections between neurons, forming the cellular basis for learning and memory [138–140]. The theory of synaptic plasticity is based on Professor Donald Hebb’s conjecture that the strength of the connection between two cells will increase if one cell repeatedly or continuously stimulates another cell [141]. In the early 1970s, scientists discovered that high-frequency stimulation of perforant path fibers in the rabbit hippocampus resulted in an increase in granule cell excitability, a phenomenon that could last for several hours and was termed LTP [142]. Later, researchers found that low-frequency electrical stimulation of the hippocampal CA1 region could induce LTD [121, 143], and that most synapses that exhibit LTP also express the corresponding form of LTD [144]. Furthermore, another approach to inducing LTP and LTD involves another principle of synaptic plasticity—spike timing-dependent plasticity (STDP) [145]. This principle is based on experiments conducted by researchers on the associative stimulation of presynaptic and postsynaptic neurons. STDP dictates that synaptic strength increases (LTP) if presynaptic activation precedes postsynaptic firing, but decreases (LTD) if the order is reversed [146–148]. In a simplified model, LTP and LTD are mediated by glutamate acting on NMDA and AMPA receptors. Presynaptic glutamate release activates NMDA receptors, leading to Ca2+ influx. Rapid, high-magnitude Ca2+ elevations activate kinase pathways (e.g., Ca2+/calmodulin-dependent protein kinase II), promoting AMPA receptor insertion and phosphorylation for LTP. Slower, lower-magnitude Ca2+ rises activate phosphatase pathways, causing AMPA receptor endocytosis and LTD [149–152]. When the concentration of Ca2+ increases rapidly, it triggers the kinase pathway, leading to extracellular secretion and autophosphorylation of AMPA receptors, which corresponds to synaptic LTP. On the other hand, when the concentration of Ca2+ increases slowly, it triggers the calmodulin-dependent phosphatase pathways, which endocytose surface AMPA receptors, reducing receptor number and permeability, corresponding to LTD [150]. The mechanisms of LTP and LTD can influence synaptic strength over long periods of time, and they are the most widely studied candidate mechanisms for learning [153]. Synaptic plasticity, which gives the nervous system the fundamental ability to self-adapt functionally and structurally, is both important for maintaining mental health and represents a potential mechanism that could be targeted to achieve therapeutic effects.\nRecent studies have shown that abnormal synaptic plasticity is associated with the onset and development of ASD [154, 155]. Genetic analysis of populations with ASD and related syndromes has revealed that most risk genes affect synaptic function and plasticity [138, 156, 157]. Related research has demonstrated that mutations in many ASD risk genes commonly affect long-term changes in synaptic efficacy and mediate the strength or number of synapses through neuronal activity and sensory input-induced pathways [158, 159]. Recent studies have further highlighted the central role of impaired synaptic plasticity in ASD-associated genetic variants, for instance, mutations in SHANK3—one of the most reliably linked ASD risk genes—disrupt dendritic spine morphology and impair LTP, thereby contributing critically to the pathophysiological progression of ASD [160, 161], and another notable example is the ASD risk gene NL3R451C: in the CA1 region of the hippocampus, its mutations result in an approximately 1.5-fold increase in AMPA receptor-mediated excitatory synaptic transmission, with an even more pronounced enhancement of NMDA receptor-mediated transmission, which subsequently induces an approximately two-fold upregulation of NMDA receptors containing the NR2B subunit and a nearly two-fold augmentation of LTP [162]. In summary, the aberrant synaptic plasticity observed in ASD may result in impaired information transfer between neurons in the brain, which in turn may lead to social and emotional dysfunction.\nTMS offers a key advantage in modulating synaptic plasticity. Its stimulatory effects can be maintained long after treatment by modulating stimulation parameters to induce LTP or LTD in stimulated neurons [163]. In general, iTBS activates cortical excitability and promotes LTP-like effects, whereas cTBS has the opposite effect [41]. TMS holds promise for treating CNS plasticity-related disorders via synaptic normalization, and emerging clinical trials further confirm that rTMS can enhance synaptic plasticity in individuals with ASD, potentially ameliorating synaptic deficits. For instance, Desarkar et al. demonstrated for the first time that rTMS stabilizes excessive LTD in individuals with ASD, specifically by ameliorating the exaggerated LTD-like synaptic plasticity that is prevalent in ASD and fragile X syndrome models. However, the study did not observe a stabilizing effect of rTMS on LTP, possibly due to a small sample size or the intervention’s more specific effects on LTD [73]. Animal models have shown that low-frequency rTMS treatment effectively alleviates autism-like symptoms induced by neonatal separation and restores the balance between E-I activities, as evidenced by increased inhibitory synaptic transmission and inhibitory synaptic receptor expression. These findings suggest that low-frequency rTMS may alleviate ASD-like behavioral symptoms induced by neonatal separation by modulating synaptic GABA transmission [132]. But this conclusion derives from animal models and should be interpreted with caution when extrapolating to human ASD patients. Direct evidence of TMS effects on synaptic plasticity in ASD remains limited, factors such as the frequency, duration, and strength of synaptic transmission can influence the initiation of synaptic plasticity. For example, frequent and persistent synaptic transmission between two neurons may trigger synaptic plasticity in LTP. Although there is a lack of studies exploring the effect of TMS on synaptic plasticity and the mechanism of action in individuals with ASD, the mechanism has been extensively explored in other studies. A recent study demonstrated that rTMS could exert a neuronal protective effect and ameliorate dysfunction by promoting synaptic ultrastructural remodeling and up-regulating protein levels and mRNA expression of synaptic plasticity-related proteins, such as BDNF, tropomyosin receptor kinase B, NMDA receptor 1, synaptophysin, and phosphorylated cAMP response element binding protein, which are closely related to the development of LTP, in the brains of traumatic brain injury rats (non ASD model) [164]. The above findings presented are similar to the regulatory mechanism of PAS. Specifically, PAS improves learning and memory in cerebral ischemic rats, corrects the ultrastructure of synapses in the CA1 region, enhances the LTP of synapses in the CA3 and CA1 regions of the hippocampus, as well as promotes the protein levels and mRNA expression of BDNF and NMDA receptor 1, and protects cognition after cerebral ischemia by mediating the synaptic plasticity pathway function [165]. Pharmacological studies were used to validate the effects of TMS intervention. A small amount of memantine was administered prior to iTBS and cTBS, which completely blocked their facilitatory and inhibitory effects. However, it had no effect on resting motor threshold and active motor threshold [166]. This suggests that the mechanism of TBS modulation of synaptic plasticity is dependent on the NMDA pathway. Furthermore, additional investigation is required to determine if TMS has therapeutic effects by correcting synaptic plasticity through alternative pathways, and the specificity of these mechanisms in ASD still requires further validation in human subjects or ASD-specific models.\n\n\n### Neural oscillations\nEndogenous cerebral neural oscillatory activity is generated by the electrical activity of a population of neurons in aggregate and represents the synchronized activity of an ensemble of neurons [167, 168]. This activity manifests as fluctuations in extracellular voltage, which can be measured by electroencephalography or magnetoencephalography on the scalp and can also be detected by electrocorticography intracranially [168]. The firing of peripheral neuronal populations can be recorded by depth electrodes, which captures a slower brain rhythmic fluctuation signal known as local field potential. This signal is often used to study brain function and can be categorized into the following main types of activity based on frequency: delta (< 4 Hz), theta (4–8 Hz), alpha (8–12 Hz), beta (12–30 Hz), gamma (30–80 Hz), and high gamma [168, 169]. It should be noted that the precise range of frequencies mentioned above varies among studies [170, 171]. Gamma oscillations are high-frequency electrical signals that can temporarily insulate excitation from subsequent inhibition in neural networks. They focus neuronal firing to specific phases of the oscillation cycle, provide the basis for a variety of functionally relevant synchronized activities [172], and improve the effectiveness, precision, and selectivity of communication between multiple regions [173]. Gamma oscillations have received significant attention as studies have shown that they can mediate a range of basic neural functions, including perceptual grouping, visual and perceptual awareness, sensory-motor integration, attention-dependent stimulus selection, and Neural Synchrony [174, 175]. Researchers have utilized cross-frequency coupling to identify gamma sub-bands, which include slow gamma (30–50 Hz), mid-frequency gamma (50–90 Hz), and fast gamma (90–140 Hz), and these sub-bands can coexist or occur separately [176]. Interestingly, the discrete 40 Hz point belonging to the slow gamma is significant, as McDermott highlights in his thesis that this frequency has become a point of interest in neurophysiological studies [177] due to an external stimulation paradigm that evokes gamma oscillations in the brain and may activate the cerebellum by increasing regional cerebral blood flow [178]. It is integral to cortical arousal and the processing of sensory and other information [179], as well as being linked to bottom-up-driven gestalt perception and cognitive functioning, such as selective attention, learning, and memory [180]. Therefore, the gamma frequency band at 40 Hz is a research-valuable gamma frequency band for use in targeted intervention studies and modulation.\nRecent studies on the pathophysiology of ASD have identified several reliable physiological variants in the ASD population, including the prevalence of abnormal neural oscillatory patterns in the gamma frequency band in patients with ASD [181]. An et al. demonstrated that the phase of motion-associated gamma oscillations from the contralateral primary motor cortex of patients with ASD has a lower peak frequency and reduced power when compared to children with TD, and that these oscillations are associated with ASD symptom severity. The results tentatively confirm that indices of motor-induced gamma oscillations and behavioral performance represent potentially adequate biomarkers of ASD [182]. In addition to being associated with motor stimulus induction, patients with ASD also exhibit disturbed gamma oscillation patterns during visual [183, 184], auditory [185–187] and perceptual [188, 189] stimulation, particularly in the 40 Hz frequency band. Lovelace discovered enhanced resting-state gamma power in a mouse model of Fragile X syndrome, a common co-morbidity of ASD, in his animal studies. Additionally, he found reduced gamma band inter-trial coherence in the frontal cortex and auditory of the mouse in response to acoustic stimulation from 1 to 100 Hz. These findings are consistent with the characteristic manifestations of neural oscillatory deficits in patients suffering from the same disease and have important clinical implications [190]. Furthermore, studies have shown reduced coherence in other frequency bands, such as beta [191] and theta [192] oscillations in individuals with ASD, but for the time being, there is a lack of relevant studies that could provide sufficient reference significance for the study of ASD, and so the present focus will be mainly on the advances in research related to gamma oscillations.\nGamma oscillations are thought to result from the synchronized activity of a group of parvalbumin (PV) interneurons defined by a fast-spiking phenotype and the expression of the calcium-binding protein PV [193, 194]. These interneurons are a family of GABAergic inhibitory neurons found throughout the cerebral cortex [167], with basket cells being the most abundant and serving as typical PV interneurons [195]. PV cells are important for generating gamma oscillations, and impaired gamma oscillations may be a physiological biomarker of abnormal PV neuron function. In vivo optogenetic experiments have shown that PV interneuron activity responds to changes in cortical network oscillations. In particular, activation of PV cells selectively amplifies gamma oscillations [196], while inhibition of PV interneurons suppresses gamma oscillations in vivo, whereas driving these interneurons is sufficient to generate emergent gamma frequency rhythms [193]. Alterations in PV interneurons have also been found to be strongly associated with ASD and various other neurological disorders. Studies have reported that in brain samples from human patients with ASD [47] and in classical ASD animal models (such as valproic acid induction, neuroligin 3 R451C knockin, Cntnap2 mutant, Chromosomal 16p11.2 deletion, and Sarm1 knockout) [197–201], the number of PV-expressing interneurons, related gene expression, and protein levels were down-regulated. In addition, cortical hyperreactivity is observed in Shank3 knockout (leading to Phelan-McDermid syndrome with a high prevalence of ASD), Ube3 knockout (leading to Angelman syndrome, a neurodevelopmental disorder associated with ASD), and Fmr1 knockout (leading to Fragile X syndrome), and this hyperreactivity may be related to dysfunction of PV interneurons [202–205]. PV−/− mice lacking PV expression exhibit core behavioral symptoms of ASD (e.g., social deficits and repetitive behaviors) and associated comorbidities (e.g., increased seizure susceptibility), as well as changes in brain morphology similar to structural changes reported in human patients with ASD (increased cortical volume and hypoplastic cerebellum), and also exhibit the classic pathological mechanism of ASD, i.e., a pre- and postsynaptic E-I imbalance [206], which echoes the previously mentioned E-I imbalance affecting gamma oscillations.\nIs there a connection between the well-known hypotheses of pathomechanisms in ASD, such as E-I imbalance, gamma oscillations, and synaptic plasticity? To this end, the minicolumns theory will be employed to provide a detailed explanation. Minicolumns are comprised of pyramidal cells in the radial layers II - VI of the cerebral cortex and axon-dendritic interneurons. The pyramidal cells possess a high number of dendritic branches, which enable them to receive vast amounts of input information from other neurons, and their axons can transmit nerve impulses to other brain regions or different parts of the same brain region, occupying a crucial position in the process of information transmission and integration. Interneurons mainly form local connections with surrounding neurons. They modulate the activities of principal neurons, such as pyramidal cells, by releasing inhibitory neurotransmitters, including GABA, thereby achieving precise regulation of neural information transmission. Based on their immunoreactivity to three calcium-binding proteins (calbindin, calretinin, and PV), inhibitory interneurons can be categorised into various subgroups. These interneurons engage in dynamic interactions with pyramidal cells, contributing to the regulation of information processing within the circuits of the cerebral cortex. Calbindin and calretinin interneurons, which are immunoreactive, primarily function in intricolumnar communication, while PV interneurons are involved in transcolumnar signal transduction [207]. From an anatomical perspective, a reduction in the number of GABAergic neurons in minicolumns within the brains of individuals with autism would result in the weakening of inhibitory signals among minicolumns. Consequently, this might disrupt the excitatory/inhibitory balance in the cerebral cortex of autistic subjects and ultimately affect gamma oscillations [47, 48]. This is due to the fact that PV basket cells, a critical type of GABAergic neuron, are intimately linked with the generation of gamma oscillations. These cells play a pivotal role in the generation of gamma oscillations through the inhibitory effect mediated by GABA receptors. For a more thorough examination of this topic, readers are directed to the scholarly articles published by Professor György Buzsáki. In these articles, Professor Buzsáki elucidates the generation mechanisms of gamma oscillations from multiple viewpoints by employing classic neuronal models, such as the I-I model and the E-I model [176]. Alterations in gamma oscillations can also impact synaptic plasticity, given the temporal coincidence of these oscillations with the critical time window of STDP. Within this time window, the firing time relationship between neurons plays a crucial role in the induction of synaptic plasticity. According to the STDP rule, when the presynaptic neuron fires within specific time periods either before or after the postsynaptic neuron fires, it can respectively lead to an enhancement (for example, when the presynaptic spike precedes the postsynaptic spike by approximately 15 milliseconds, it results in LTP) or a reduction (for example, when the presynaptic spike lags behind the postsynaptic spike by approximately 6 milliseconds, it results in LTD) of synaptic strength. The underlying mechanism involves the facilitation of NMDA receptor opening by presynaptic glutamate release and the removal of the Mg2+ block of NMDA receptors by the backpropagation of postsynaptic spikes [208]. The temporal precision of spike-timing relationships is facilitated by gamma oscillations, which establish an accurate temporal framework. This temporal framework enables neurons to interact within the appropriate time window, thereby promoting or inhibiting the generation of synaptic plasticity.\nThe aforementioned conjecture is illustrated by the content in Fig. 2. Nevertheless, it is imperative to acknowledge that the underlying reality is considerably more intricate than the unidirectional regulatory relationship depicted in the figure. It is crucial to underscore the intricate and reciprocal relationship among these three components. The objective of this paper is to underscore the close interconnections among these elements within the framework of ASD. Furthermore, the internal logic among these three elements is yet to be thoroughly investigated.\nFig. 2The potential relationship between three hypotheses within the cortical microcolumn theory of ASD. (a) and (b) respectively demonstrate the disparities in microstructure between normal brains and autistic brains. A comparison of autistic brains with normal brains reveals an increased number of minicolumns, narrower widths, and a reduced number of interneurons involved in intricolumnar and transcolumnar signal transduction. (c, d, and e) represent the three hypotheses of E-I imbalance, gamma oscillation, and synaptic plasticity, respectively. E-I ratio, Excitatory-Inhibitory Ratio; LTP, Long-Term Potentiation; LTD, Long-Term Depression; NMDAR, N-Methyl-D-aspartate Receptor; AMPAR, α-Amino-3-hydroxy-5-Methyl-4-Isoxazole Propionic Acid Receptor; CaMKII, Ca2+/Calmodulin-Dependent Protein Kinases II\nThe potential relationship between three hypotheses within the cortical microcolumn theory of ASD. (a) and (b) respectively demonstrate the disparities in microstructure between normal brains and autistic brains. A comparison of autistic brains with normal brains reveals an increased number of minicolumns, narrower widths, and a reduced number of interneurons involved in intricolumnar and transcolumnar signal transduction. (c, d, and e) represent the three hypotheses of E-I imbalance, gamma oscillation, and synaptic plasticity, respectively. E-I ratio, Excitatory-Inhibitory Ratio; LTP, Long-Term Potentiation; LTD, Long-Term Depression; NMDAR, N-Methyl-D-aspartate Receptor; AMPAR, α-Amino-3-hydroxy-5-Methyl-4-Isoxazole Propionic Acid Receptor; CaMKII, Ca2+/Calmodulin-Dependent Protein Kinases II\nStudies have demonstrated that TMS can correct abnormal gamma oscillations in various disorders, such as Alzheimer’s disease [209, 210], schizophrenia [211], depression [212], and Parkinson’s [213], as well as related brain functions, including memory [214] and cognition [215]. For instance, TMS can normalize excessive gamma oscillations and improve cognitive function in patients with schizophrenia by acting on the DLPFC [216]. In another study focusing on healthy subjects, no significant changes were observed in the frequency range except for gamma band changes after TMS intervention, suggesting that TMS has a selective modulatory effect on gamma oscillations in frontal regions of the brain [217], which may be related to the fact that TMS can modulate GABAergic inhibitory neurons. Furthermore, the application of a TMS brain stimulation protocol that is based on modulating the gamma frequency band (40 Hz) induced healthy subjects’ inhibitory physiological after-effects that were well-tolerated [218]. The effects of TMS on gamma oscillations have received significant attention from researchers in the field of ASD. The researchers used EEG to detect brain network characteristics and found that children with ASD had significantly lower node degree, clustering coefficient, global efficiency, and local efficiency in all frequency bands compared to children with TD, indicating that the degree of neural correlation and the ability to integrate information between different brain regions are weakened in children with ASD. After a period of rTMS intervention stimulation, children with ASD showed improved social behavior, decreased connectivity from O1 to T7 and P7 to Fp1 in the alpha band of the EEG, and decreased effective connectivity from Pz to T8 in the gamma band, which is generally consistent with the phenomenon that effective connectivity from the posterior to the anterior is lower in children with TD [219]. It is important to note that this finding, which may appear to contradict previous observations that ‘TMS modulates only the gamma band’, is actually due to a fundamental difference in the core conditions of the two types of study: In previous studies, the N-back task was utilised as a specific cognitive task, and healthy subjects demonstrated no significant abnormalities in their brain networks. TMS required only targeted modulation of the gamma band to meet task demands, thus exhibiting ‘selective modulation’ characteristics. Conversely, individuals diagnosed with ASD have been shown to exhibit fundamental imbalances across the entire spectrum of brain networks (including baseline abnormalities in the gamma band). The objective of rTMS intervention is to rectify the dysfunction of the entire network and align it with normal patterns, as opposed to selectively modulating a single frequency band. Consequently, it is imperative to influence connectivity across multiple bands, such as alpha and gamma, to enhance cross-regional information integration capabilities synergistically. This phenomenon corresponds precisely with the fundamental characteristic of individuals diagnosed with ASD: The phenomenon of diminished efficiency has been observed across the entire spectrum of brain networks. In a recent clinical trial, a new metric (ringing decay) of gamma oscillations was used to evaluate the efficacy of TMS in the field of ASD. The study found a significant difference in the higher amplitude of event-related gamma oscillations in patients with ASD compared to the TD group. Following TMS intervention, the time required to reach the peak amplitude of gamma oscillations decreased significantly, while the time required for ringing decay increased and normalized. Additionally, ringing decay could be utilized to detect the impedance provided by inhibitory neurons to gamma oscillations [220]. What is the mechanism of action of TMS-mediated gamma oscillations? Previous studies have suggested that PV interneurons, which generate gamma oscillations, may be the key factor. In his report, Benali noted that different TMS modalities have varying modulatory effects on cortical excitability due to differences in the regulation of the activity of inhibitory cell classes. Specifically, iTBS may influence the inhibitory control of pyramidal cell output activity, whereas cTBS inhibits the activity of interneurons expressing calbindin D-28k, while the activity of another class of interneurons expressing the major calcium-binding protein, calretinin, remains unaffected. Importantly, iTBS intervention increased spontaneous neuronal firing activity and gamma power [221], a finding that contradicts the previous notion that PV interneurons promote gamma oscillations and suggests that the relationship between PV cells and gamma oscillations is not straightforward and may be influenced by other factors. It is essential to emphasize that the millisecond-scale rhythmicity of gamma oscillations can strictly constrain the firing timing of both presynaptic and postsynaptic neurons. Consequently, this phenomenon determines the temporal windows for enhancement or suppression of STDP through NMDAR-mediated current dynamics [208, 222]. When TMS enhances gamma oscillation power, phase synchronisation within neuronal ensembles markedly increases [208], concentrating presynaptic and postsynaptic firing events more precisely within the effective STDP time window [222]. This facilitates more accurate synaptic weight allocation [223], while the amplification of gamma oscillations itself directly modulates STDP expression efficiency [224]—this mechanism may constitute the cellular basis for TMS improving information integration deficits in ASD patients, though direct evidence specific to ASD remains lacking at present. It is noteworthy that, based on the results of our preliminary search of the relevant literature, it has been demonstrated that the ameliorative effect of TBS protocols modulated to mimic endogenous theta rhythms in the brain on ASD has been observed in some studies (refer to Tables 1 and Table 2). A study indicates that TBS, designed to mimic endogenous theta-gamma coupling, has shown promise in modulating cortical excitability and plasticity [225], and may interact with gamma oscillations within a nested hierarchical framework [226]. This θ-γ coupling mechanism is regarded as a core mode of brain information processing, in which θ rhythms act as a ‘carrier’ integrating global network activity, while γ rhythms are responsible for the fine-grained encoding of information within local neuronal clusters [227]. Dysregulation of their coordination may constitute a significant pathological basis for brain dysfunction in individuals diagnosed with ASD [226, 228]. Research into theta rhythms within the ASD field remains relatively scarce, a situation potentially attributable in part to early studies focusing more intensely on frequently demonstrated abnormal frequency bands such as gamma oscillations [229, 230]. Furthermore, the function of theta rhythms is frequently reflected through their phase-amplitude coupling (PAC) with higher-frequency oscillations, such as gamma waves. For instance, during natural speech processing tasks, children with ASD typically exhibit weakened or absent theta-gamma coupling, accompanied by abnormal beta-gamma coupling [227]. The high dependence of theta rhythms on the coupling context (in particular, specific cognitive tasks) poses a significant challenge in isolating the independent role of theta rhythms during non-task or resting states, thereby increasing the complexity of research analysis. In view of these findings, the future development of closed-loop TMS-EEG systems is of paramount importance. By capturing the phase, power, and spatiotemporal coupling characteristics of individual γ (and θ) oscillations in real-time via EEG, it becomes possible to identify ASD subtypes exhibiting specific neural oscillatory abnormalities (such as weakened θ-γ PAC or enhanced β-γ PAC). This facilitates the precise modulation of TMS stimulation parameters through adaptive adjustment [231]. This ‘monitor-modulate’ closed-loop framework shows great promise in enhancing intervention precision, and thus provides critical technological support for developing efficient, personalised ASD treatment strategies. In conclusion, it can be posited that protocols modulating gamma-band neural oscillatory activity may represent a viable alternative intervention for autism spectrum disorders.\n\n\n### Neuroinflammation\nNeuroinflammation is an inflammatory response that aims to protect and maintain the normal structure and function of the brain. It is characterized by the infiltration of the CNS parenchyma by blood-borne lymphocytes and monocyte-derived macrophages, which leads to intense activation of glial cells [232]. Microglia can polarize into distinct activation states in response to environmental cues or specific stimuli. These states include classical activation, alternative activation, and acquired deactivation [233]. Microglia in the classical activation state are defined as M1 microglia. They are activated in response to inflammation and injury and induce pro-inflammatory cytokines such as TNF-α, interleukin-1β (IL-1β), and IL-6, as well as superoxide, reactive oxygen species (ROS), and nitric oxide production, leading to an inflammatory response and neuronal damage [234, 235]. M2 microglia refer to microglia in the alternative activation and acquired deactivation states. They play a crucial role in the late inflammatory and tissue repair phases by producing anti-inflammatory cytokines (such as IL-4, IL-10, and transforming growth factor-β) and neurotrophic factors, which help to reduce the inflammatory response and promote tissue repair [236, 237]. Research has demonstrated that microglia activation is a dynamic process that occurs along a continuum of M1 and M2 phenotypes [232]. Maintaining a balance between M1- and M2-type microglia is crucial for the normal functioning of the CNS. Like microglia, astrocytes also respond to CNS injury by undergoing morphological, molecular, and functional changes, resulting in the conversion to reactive astrocytes that generate an immune response. Reactive astrocytes can be categorized into two polarized states: a neurotoxic or pro-inflammatory phenotype (A1) and a neuroprotective or anti-inflammatory phenotype (A2) [238]. Activated microglia induce the formation of A1-reactive astrocytes through the secretion of IL-1α, TNF-α, and complement component 1, q subcomponent. Although type A1 astrocytes lose many canonical astrocyte functions—such as supporting neuronal survival and growth, maintaining synaptic function, and phagocytosing synaptic and myelin debris—they acquire potent neurotoxicity. Specifically, these cells are capable of rapidly killing newly born immature neurons and mature oligodendrocytes by releasing a number of pro-inflammatory factors and neurotoxins (e.g., complement protein C3, D-serine, nitric oxide, and TNF-α) [239, 240]. Furthermore, A1-reactive astrocytes significantly upregulate classical complement cascade genes, which have been demonstrated to be detrimental to synapses [240]. Conversely, A2 astrocytes are protective, upregulating neurotrophic or anti-inflammatory genes, and promoting neuronal survival and growth [239]. Additionally, A1/A2 astrocytes can communicate bidirectionally with microglia and other cells through both extracellular and intracellular signaling pathways to achieve mutual regulation [241].\nA mounting body of evidence underscores the pivotal role of neuroinflammatory dysregulation in the pathophysiology of ASD [2, 242–244], marked by persistent activation of glial cells within the central nervous system [245, 246]. Vargas et al. systematically validated active neuroinflammatory processes in autopsied ASD brain tissue via immunohistochemistry, cytokine protein arrays, and ELISA. These processes manifested as marked activation of microglia and astrocytes within the cerebral cortex, white matter, and cerebellum, accompanied by progressive loss of Purkinje cells [247]. At the cytokine level, studies of central samples (brain tissue and cerebrospinal fluid) demonstrated high consistency: Macrophage chemotactic protein-1 (MCP-1) demonstrated significant elevation in both brain tissue (frontal cortex, anterior cingulate cortex, cerebellum) and cerebrospinal fluid (CSF) of individuals diagnosed with ASD. This finding suggests that MCP-1 is the most consistently elevated chemokine. In addition, IL-6 has been found to be markedly upregulated in CSF and the anterior cingulate cortex. TNF-α, IFN-γ, IL-8, and GM-CSF have also been consistently reported to be elevated in multiple brain regions (e.g., frontal cortex) [247, 248]. It is important to note that there is currently no conclusive evidence for elevated IL-1β protein levels in brain tissue. Li et al. utilised high-sensitivity multiplex flow cytometry to analyse frozen frontal cortex samples, observing a tendency towards elevated IL-1β levels, though failing to attain statistical significance (p = 0.11) [248]. Conversely, Tsilioni et al. noted a substantial upregulation of IL-18 (a constituent of the IL-1 family, alongside IL-1β) gene expression in the amygdala and DLPFC of children diagnosed with ASD. Furthermore, the results of the present study demonstrate that neuropeptide Y stimulates IL-1β production in human-derived microglia, thus suggesting the potential involvement of the IL-1 family in inflammation. Nevertheless, the elevation of IL-1β protein itself within the central nervous system remains controversial [249]. The histopathological evidence substantiated these molecular alterations. Morgan et al. utilised stereotaxic quantitative analysis to reveal significantly increased grey matter microglial density (p = 0.002) within the DLPFC of subjects diagnosed with ASD, alongside markedly enlarged mean microglial volume (p = 0.013) in white matter. Morphologically, these cells exhibited a classic activated phenotype, characterised by swollen cell bodies, shortened and thickened processes, and increased filopodia [250]. Li et al. also detected elevated levels of TNF-α, IL-6, GM-CSF, IFN-γ, and IL-8 proteins directly in the frontal cortex, alongside a significantly increased Th1/Th2 ratio (IFN-γ/IL-10), suggesting adaptive immune activation with a Th1 bias within the brain [248]. Zantomio et al. emphasised in their review that the mGluR5 signalling pathway downregulates microglial activation, and its reduced expression in the DLPFC of ASD patients may constitute a critical interface between synaptic dysfunction and neuroinflammation [251]. It is important to acknowledge that the aforementioned neuroinflammation-related findings are primarily based on ex vivo studies, such as post-mortem histology and central cytokine detection. Conversely, neuroimaging studies reflecting the state of the living brain – particularly those targeting the imaging marker for glial activation, the transporter protein TSPO – have yielded conflicting evidence that diverges from post-mortem findings. For example, Zürcher et al. used [11C]PBR28 Magnetic Resonance Imaging-Positron Emission Tomography (PET-MR) to scan young adult male patients with ASD, revealing significantly lower TSPO expression in several brain regions (including the bilateral insular cortex, posterior cingulate cortex, superior temporal gyrus, and parahippocampal cortex) than in the control group. This suggests potential neuroimmune or mitochondrial dysfunction in these areas rather than atypical glial activation [252]. A preliminary study of female ASD patients observed elevated TSPO binding in the periventricular grey matter of the midbrain and caudate nucleus, suggesting that gender may be a key factor in differences in the neuroinflammatory phenotype [253]. Furthermore, a systematic review revealed that the three existing PET studies on TSPO expression in ASD patients produced contradictory findings: two reported decreased expression and one increased expression. This inconsistency may be due to sample heterogeneity (e.g., differences in age, sex, and clinical phenotype), tracer selection, or variations in analytical methods [254]. Indeed, the divergence in research conclusions is fundamentally linked to methodological limitations in assessing central nervous system inflammation in ASD. The evaluation of such inflammation necessitates the employment of multiple complementary approaches, each of which possesses distinct advantages and limitations. CSF cytokine assays have been shown to provide a direct reflection of central immune activity (e.g., elevated MCP-1, IL-6), yet these assays are invasive and capture only transient states within a narrow time window [247, 248]. similarly, peripheral blood cytokine measurements, while readily accessible, exhibit poor correlation with central levels due to blood-brain barrier selectivity and systemic confounding factors [254, 255]. PET using TSPO ligands, such as [11C]PBR28, enables in vivo visualization of glial activation; however, results exhibit heterogeneity due to TSPO genetic polymorphisms, tracer kinetic variations, and participant differences [252–254]. Post-mortem microglial transcriptomics and immunohistochemistry (e.g., Iba1, GFAP, S100β) provide high-resolution cellular evidence of chronic activation [247, 250], yet remain confined to terminal pathology and fail to reflect dynamic developmental trajectories. Serum GFAP and S100β have been explored as peripheral surrogates for astrocytic activation, though their specificity for central processes remains contentious [256]. Collectively, these methodological constraints underscore the challenge of establishing a unified neuroinflammatory phenotype in ASD. Furthermore, although post-mortem histology and central cytokine studies provide compelling evidence for neuroinflammation, the reproducibility of cytokine research is compromised by factors such as sample heterogeneity (e.g., clinical phenotype, comorbidities, age), post-mortem interval, and detection methods (protein array vs. multiplex flow cytometry), with particularly high inconsistency in peripheral blood findings [247–251]. Consequently, the establishment of a single, universal ‘ASD inflammatory biomarker’ remains unattainable at this time. However, the recurrent detection of MCP-1 and IL-6 in central samples, coupled with sustained glial cell activation, collectively points to neuroinflammation as a pivotal component in the pathophysiology of ASD.\nGlial cells may indirectly contribute to the development of ASD disease by participating in pathways such as maintaining E-I homeostasis, in addition to inducing inflammatory responses. Astrocytes are primarily responsible for maintaining homeostasis of E-I processes in the brain [257]. Astrocytes play a critical role in maintaining a balance between glutamate release and uptake when excess extracellular glutamate causes neurotoxicity by controlling expression of glutamate uptake transporters and a Ca2+-dependent exocytotic mechanism that inhibits glutamate excitotoxicity and modulates neuronal excitability (see Fig. 3a). These results suggest that astrocytes are essential for promoting E-I homeostasis [258]. This study confirms that astrocyte-specific glutamate transporter protein GLT1 knockout mice exhibit pathological ASD-related repetitive behaviors, such as excessive self-grooming and repetitive head twitching, and intervention with the NMDA receptor antagonist memantine drug ameliorated pathological repetitive behaviors in this mouse model [259]. These results suggest that astrocytes play a key role in promoting E-I homeostasis. On the other hand, microglia can also be involved in glutamate signaling through the Xc−system (see Fig. 3b). specifically, the Xc− transporter protein in the Xc− system is responsible for expelling glutamate out of the cell while translocating an equal amount of cysteine/cystine into the cell, and microglia are stimulated to secrete ROS to activate the TLR4 signaling pathway, which leads to an increased Xc− expression which consequently promotes glutamate efflux [260], and the E-I imbalance caused by glutamate excess is an important influence on the development of ASD. Notably, microglia also regulate E-I homeostasis through pruning synapses. Studies have shown that depletion of microglia during growth and development can lead to long-term defects in inhibitory and excitatory synaptic connectivity [261]. Unlike previous studies [262] that have primarily focused on excitatory synaptic studies, Favuzzi and colleagues found that microglia selectively prune inhibitory synapses, but not excitatory synapses, and that disruption of this process can lead to permanent defects in inhibitory connectivity [261]. Additionally, glial cells modulate another key pathogenic factor in ASD that has a significant impact on synaptic plasticity. Glial cells have been shown to play a critical role in maintaining brain homeostasis under both physiological and pathological conditions by modulating neuronal activity and synaptic plasticity through changes in synaptic coverage, expression of neurotransmitter receptors, and release of neuroactive substances, with broad perisynaptic distribution enabling them to perform these functions effectively (see Fig. 3c) [263]. In their early experiments, Roumier et al. used gene editing technology to conduct animal experiments. They found that mice with defects in the transmembrane peptide KARAP/DAP12, which is expressed only in microglia, exhibited altered synaptic function and plasticity, including enhanced hippocampal LTP and a significant reduction in synaptic expression of the BDNF receptor tyrosine kinase receptor B [264]. Furthermore, long-term injection of lipopolysaccharide into the fourth ventricle of rats resulted in chronic neuroinflammation caused by microglial activation, which significantly attenuated LTP in the dentate gyrus, ultimately leading to impaired spatial memory [265]. These findings emphasize that glial cells, primarily microglia, can impede synaptic plasticity through an inflammatory response, thereby hindering normal neuronal communication. Beyond the aforementioned mechanisms, the microbiota-gut-brain axis (MGBA) plays a pivotal role in ASD-associated neuroinflammation by regulating central nervous system function through immune, metabolic, and neural pathways [266]. For instance, the metabolites of gut microbiota, such as short-chain fatty acids (SCFAs), have been demonstrated to modulate microglial activation and synaptic pruning in a concentration-dependent manner. Concurrently, the microbiota exerts influence over the neuroinflammatory microenvironment through the Th17/Treg balance and immune cell migration, while remotely regulating central immune and neural functions by transmitting signals—including tryptophan derivatives—via the vagus nerve or blood-brain barrier [267, 268]. It is worth noting that while no definitive conclusions have yet been reached, existing evidence suggests neuroinflammation may serve as an early driver of neurodevelopmental disruption in some ASD cases, rather than merely a secondary/concomitant feature. For instance, prospective cohort studies have identified transcriptional alterations in autoimmune-associated genes prior to symptom onset in high-risk infants, with pro-inflammatory pathways (such as those linked to systemic lupus erythematosus gene sets) showing enrichment trends [269]; Maternal immune activation models further demonstrate that prenatal inflammation can induce ASD-like phenotypes in offspring, accompanied by elevated pro-inflammatory cytokines (e.g., TNF-α, IL-6) in brain regions including the hippocampus and cerebellum [270]. However, neuroinflammation may also arise from primary synaptic or metabolic abnormalities, necessitating further longitudinal studies (e.g., integrating infant PET glial imaging with multidimensional biomarker tracking) to clarify its causal temporal sequence [271]. In summary, neuroinflammation can serve as both an evaluative indicator for the diagnosis of ASD and a potential target for therapeutic strategies. However, it is important to note that existing studies have primarily confirmed the presence of neurological immune dysfunction in individuals with ASD. The relationship between neuroinflammation and ASD remains unclear, and whether neuroinflammation is a contributing factor or a consequence of ASD requires further investigation.\nFig. 3 The Mechanisms of Action of Neuroglial Cells in Glutamate Signaling and Synaptic Plasticity. (a) Astrocytes participate in the uptake and release of glutamate within the synaptic cleft. The glutamate uptake process reveals that two types of glutamate transporters, EAAT-1 and EAAT-2, located on the membrane of astrocytes, facilitate the uptake of glutamate from the synaptic cleft into the astrocytes. VGLUT1 and VGLUT2, expressed by astrocytes, regulate the transport of glutamate from the cytoplasm into vesicles. The activation of GPCRs leads to the generation of IP3. IP3 activates the endoplasmic reticulum, resulting in the release of Ca2+. The elevation of Ca2+ concentration is sensed by synaptotagmin 4, 7, or 11, which triggers the fusion of vesicles with the cell membrane and consequently leads to the release of glutamate within the vesicles to the extracellular space. (b) Microglia participate in glutamate signaling through the Xc- system. Activation of microglia results in the release of ROS and the subsequent activation of NF-κB via the MyD88 pathway. The activated NF-κB subsequently translocates into the nucleus, where it binds to specific binding sites in the promoter region of the Xc- gene, facilitating Xc- gene transcription, increasing the expression of Xc-, and influencing the transport of cystine and cysteine. (c) Glial cells influence synaptic plasticity by altering the degree of synaptic coverage around synapses and releasing neuroactive substances. EAAT: Excitatory Amino Acid Transporters; VGLUT: Vesicular Glutamate Transporter; IP3: Inositol 1,4,5-Trisphosphate; GPCR: G-Protein-Coupled Receptor; NMDRR: N-Methyl-D-Aspartate Receptor; ROS: Reactive Oxygen Species; TRL4: Toll-Like Receptor 4; Xc-: Cystine/Glutamate Antiporter; MyD88: Myeloid Differentiation Primary Response Gene 88; NF - κB: Nuclear Factor - kappa B\nThe Mechanisms of Action of Neuroglial Cells in Glutamate Signaling and Synaptic Plasticity. (a) Astrocytes participate in the uptake and release of glutamate within the synaptic cleft. The glutamate uptake process reveals that two types of glutamate transporters, EAAT-1 and EAAT-2, located on the membrane of astrocytes, facilitate the uptake of glutamate from the synaptic cleft into the astrocytes. VGLUT1 and VGLUT2, expressed by astrocytes, regulate the transport of glutamate from the cytoplasm into vesicles. The activation of GPCRs leads to the generation of IP3. IP3 activates the endoplasmic reticulum, resulting in the release of Ca2+. The elevation of Ca2+ concentration is sensed by synaptotagmin 4, 7, or 11, which triggers the fusion of vesicles with the cell membrane and consequently leads to the release of glutamate within the vesicles to the extracellular space. (b) Microglia participate in glutamate signaling through the Xc- system. Activation of microglia results in the release of ROS and the subsequent activation of NF-κB via the MyD88 pathway. The activated NF-κB subsequently translocates into the nucleus, where it binds to specific binding sites in the promoter region of the Xc- gene, facilitating Xc- gene transcription, increasing the expression of Xc-, and influencing the transport of cystine and cysteine. (c) Glial cells influence synaptic plasticity by altering the degree of synaptic coverage around synapses and releasing neuroactive substances. EAAT: Excitatory Amino Acid Transporters; VGLUT: Vesicular Glutamate Transporter; IP3: Inositol 1,4,5-Trisphosphate; GPCR: G-Protein-Coupled Receptor; NMDRR: N-Methyl-D-Aspartate Receptor; ROS: Reactive Oxygen Species; TRL4: Toll-Like Receptor 4; Xc-: Cystine/Glutamate Antiporter; MyD88: Myeloid Differentiation Primary Response Gene 88; NF - κB: Nuclear Factor - kappa B\nIn a recently published study, the authors discovered that the hippocampus of rats with an ASD model induced by prenatal valproic acid exposure exhibited elevated inflammatory factors and over-activation of microglia. Furthermore, the intervention using rTMS was observed to improve the autism-like abnormal behaviors in the ASD rat model. The underlying mechanism may be attributed to the significant reduction in neuroinflammation and restoration of synaptic plasticity by down-regulating NF-κB activation in microglia, thereby exerting neuroprotective effects [57]. Similarly, other studies have demonstrated that TMS modulates glial cell polarization and further ameliorates the inflammatory microenvironment, thereby achieving suppression of CNS inflammation. A report combining in vitro and ex vivo experiments confirmed that rTMS stimulation intervention at 10 Hz significantly inhibited neurotoxic polarization of astrocytes after oxygen-glucose deprivation/reoxygenation and cerebral ischemia/reperfusion injury, attenuating neuronal injury, and promoting synaptic plasticity to exert a neuronal protective effect [272]. In addition to regulating astrocytes, TMS may also play a role in balancing the polarized state of microglia. The research team from Fudan University demonstrated that iTBS can inhibit pro-inflammatory M1-type activation and promote anti-inflammatory M2-type activation in the peri-infarct region, but not in the core region. This is achieved by inhibiting the TLR4/NFκB/NLRP3 signaling pathway, mediating the balance of microglial cell M1/M2 phenotype, and thus attenuating the motor deficits and pyroptosis caused by cerebral ischemia/reperfusion injury. Subsequent authors utilized a CSF1R inhibitor to deplete microglia, which nullified the ameliorative effects of iTBS on motor function [273]. Another study found that 25 Hz rTMS intervention ameliorated neuroinflammation, enhanced synaptic plasticity, and inhibited neuronal apoptosis in 3xTg Alzheimer’s disease mice by inhibiting microglial activation and activating the PI3K/Akt/GLT-1 pathway, including increasing PI3K/Akt activity and GLT-1 expression, which is the major transporter protein for removing excess glutamate from the synaptic cleft in rodents. Additionally, rTMS decreased amyloid beta 1–42 levels in hippocampal brain regions, improved oxidative stress and glucose metabolism, cognitive functions, and produced various types of neuronal protective effects. However, these effects were not observed when the PI3K/Akt inhibitor LY294002 was used [274]. On the other hand, TMS modulation can cause changes in cytokine levels, either directly or indirectly. For example, Cha et al. conducted a clinical trial that demonstrated the efficacy of high-frequency rTMS intervention in improving cognitive function and reducing mRNA levels of pro-inflammatory cytokines (IL-1β, IL-6, TNF-α, and transforming growth factor-β) in blood samples from stroke patients, and found a correlation between the reduction in IL-6 levels and scores on the complex figure copy test and auditory verbal learning test [275]. Similarly, animal experiments have shown that iTBS intervention significantly reduces the content of pro-inflammatory cytokines, such as IL-1β, IFN-γ, TNF-α, and IL-17 A, while increasing the level of the anti-inflammatory cytokine IL-10 in brain tissues of cerebral ischemic mice. This phenomenon is associated with the promotion of microglial cells from M1 to M2 phenotype [273]. It is important to acknowledge that the majority of current studies have focused on a single type of glial cell. However, it is well established that different glial cells can interact with each other. Consequently, it is not yet clear which type of cell is the most appropriate for intervention by TMS. Furthermore, there is a lack of sufficient experimentation and validation in the field of autism. Of particular significance is the current absence of direct evidence demonstrating that TMS can modulate neuroinflammatory markers in individuals with ASD. The existing mechanistic data supporting the anti-inflammatory effects of TMS are almost exclusively derived from animal models of stroke, cerebral ischaemia, or Alzheimer’s disease (refer to Table 3). Consequently, it is not possible to extrapolate these findings directly to the ASD population. In summary, it is evident that neuroinflammation represents a potential therapeutic target for ASD diagnosis and treatment. Although TMS has been demonstrated to suppress central neuroinflammation and exert neuroprotective effects, its anti-inflammatory efficacy in ASD remains hypothetical and requires validation through direct experimental evidence in ASD patients or specific ASD animal models.\nTable 3Summary of TMS regulated neuroinflammation related researchSpecies/ModelTMS protocol parametersInflammatory Markers AlteredBehavioral/Functional OutcomesImplicated Signaling PathwaysReferenceSD rat Valproic acid-induced autism model1 Hz rTMS, 900 pulses; 1 time/day, 2 weeksReduce TNF-α, IL-1β, IL-6; Inhibit microglial overactivation; Increase IL-10Relieve autism-like/anxiety-like behaviors; Improve cognition; Ameliorate hippocampal synaptic plasticityNF-κB signaling pathway[57]SD rat MCAO model & OGD/R primary astrocyte models1/5/10 Hz rTMS (10 Hz optimal), 600 pulses, 1 time/day, 1 weekReduce TNF-α, IL-1β, IL-12, IL-23, C3, iNOS; Increase IL-10, IL-1ra, Arg1, S100A10;Reduce infarction volume, neuronal apoptosis; Improve neurological function; Enhance spatial learning/memory; Promote synaptic plasticity;NF-κB/STAT3 signaling pathway[272]C57BL/6 J mouse MCAO/r modeliTBS (10 × 50 Hz bursts, 3 pulses/burst, 20 repeats at 5 Hz intervals), 2 times/day, 1 weekReduce IL-1β, IL-17 A, TNF-α, IFN-γ, CD86, iNOS; Increase IL-10, CD206, Arg1;Reduce cerebral infarction volume, inhibit neuronal pyroptosis; Improve motor function and gait, enhance spatial learning/memory; Promote microglial M2 polarization;TLR4/NFκB/NLRP3 signaling pathway[273]3xTg-AD mouse model25 Hz rTMS, 1000 pulses, 60% max output, 1 time/day, 3 weeks;Reduce IL-6, IL-1β, TNF-α, ROS, MDA; Increase SOD, GSHImprove cognitive function, brain glucose metabolism; Enhance synaptic plasticity; Reduce Aβ1–42 levels, neuronal apoptosis;PI3K/Akt/GLT-1 signaling pathway[274]Post-stroke cognitive impairment patient20 Hz rTMS, 2000 pulses, 1 time/day, 5 days/week, 2 weeks;Reduce the expression of IL-1β, IL-6, TNF-α, TGF-β, mRNAImproved cognitive and motor function, significantly enhanced activation of cognitive related brain regionsAnti-inflammatory and brain network regulation pathway[275]MCAO: Middle Cerebral Artery Occlusion; OGD/R: Oxygen-Glucose Deprivation/Reperfusion; AD: Alzheimer’s Disease; TNF-α: Tumor Necrosis Factor-α; IL-1β: Interleukin-1β; IL-6: Interleukin-6; iNOS: Inducible Nitric Oxide Synthase; ROS: Reactive Oxygen Species; MDA: Malondialdehyde; SOD: Superoxide Dismutase; GSH: Glutathione; NF-κB: Nuclear Factor-kappa B; STAT3: Signal Transducer and Activator of Transcription 3; TLR4: Toll-like Receptor 4; NLRP3: NOD-like Receptor Pyrin Domain-containing 3; IFN-γ: Interferon-γ; CD86: Cluster of Differentiation 86; rTMS: Repetitive Transcranial Magnetic Stimulation; iTBS: Intermittent Theta-Burst Stimulation; PI3K: Phosphatidylinositol 3-Kinase; Akt: Protein Kinase B; GLT-1: Glutamate Transporter 1; C3: Complement 3; IL-1ra: Interleukin-1 Receptor Antagonist; Arg1: Arginase 1; S100A10: S100 Calcium Binding Protein A10; Aβ1–42: Amyloid β 1–42; SD: Sprague-Dawley\nSummary of TMS regulated neuroinflammation related research\nMCAO: Middle Cerebral Artery Occlusion; OGD/R: Oxygen-Glucose Deprivation/Reperfusion; AD: Alzheimer’s Disease; TNF-α: Tumor Necrosis Factor-α; IL-1β: Interleukin-1β; IL-6: Interleukin-6; iNOS: Inducible Nitric Oxide Synthase; ROS: Reactive Oxygen Species; MDA: Malondialdehyde; SOD: Superoxide Dismutase; GSH: Glutathione; NF-κB: Nuclear Factor-kappa B; STAT3: Signal Transducer and Activator of Transcription 3; TLR4: Toll-like Receptor 4; NLRP3: NOD-like Receptor Pyrin Domain-containing 3; IFN-γ: Interferon-γ; CD86: Cluster of Differentiation 86; rTMS: Repetitive Transcranial Magnetic Stimulation; iTBS: Intermittent Theta-Burst Stimulation; PI3K: Phosphatidylinositol 3-Kinase; Akt: Protein Kinase B; GLT-1: Glutamate Transporter 1; C3: Complement 3; IL-1ra: Interleukin-1 Receptor Antagonist; Arg1: Arginase 1; S100A10: S100 Calcium Binding Protein A10; Aβ1–42: Amyloid β 1–42; SD: Sprague-Dawley\n\n\n### Gut microbiome\nTrillions of microorganisms, such as bacteria, viruses, fungi, and other life forms, inhabit the human body. Different classes of microbes are present in different organs, and those in the gut are of particular interest in biomedical research [276]. The gut microbiome is a diverse group of microorganisms that live in symbiosis with the host and interact with it. They play a role in various host functions, such as nutrient absorption, colonization resistance, immune function modulation, and intestinal barrier maintenance [277, 278]. Previous research has demonstrated that gut microbiome has a significant impact on the physiological functions of the host, both directly and indirectly, through self-produced or modified metabolites [279], the nervous system [280, 281], immunomodulation [282], hypothalamic-pituitary-adrenal (HPA) axis [283]. Therefore, it is vital to maintain a balance of gut microbiome for the host’s health.\nIn recent decades, studies have confirmed interactions between the gut microbiome and the brain in individuals with autism or other neuropsychiatric disorders. ASD has also been recognized as a brain-gut-microbiome axis disorder [284, 285]. The MGBA theory explains the communication between the gut microbiome and the CNS through various pathways, including immune-related, neural, endocrine, and metabolic signaling pathways [286]. Clinical and animal studies have demonstrated that MGBA facilitates bidirectional communication between the gut and the brain, contributes to brain homeostasis, and helps regulate cognitive and emotional functions [281, 287, 288], and that disorders of the gut microbiome can affect neurological function and behavior through MGBA [289]. It is noteworthy that, despite repeated reports from observational studies indicating a significant association between ASD and gut microbiota abnormalities, there remains no conclusive evidence demonstrating that microbiome dysregulation constitutes a direct aetiological factor in the core neuropathology of ASD [290–292]. The relationship between the two is more likely to reflect complex bidirectional interactions and shared genetic or environmental drivers, such as dietary preferences, antibiotic use, or abnormal gastrointestinal motility [290, 291], rather than a simple causal chain [292]. Epidemiological data indicate that approximately 40% of individuals with ASD exhibit pronounced gastrointestinal symptoms, including altered bowel habits, abdominal pain, and gastroesophageal reflux [293, 294]. Moreover, symptom severity frequently correlates positively with the prevalence of gastrointestinal issues [293]. This comorbidity has prompted researchers to investigate the structural characteristics of the gut microbiome in ASD patients. For instance, Li et al. utilised 16 S rRNA gene sequencing to compare faecal samples from children with ASD and healthy controls, revealing significant differences in microbial composition between the two groups. The ASD cohort exhibited enrichment in specific bacterial families such as Alcaligenaceae, Enterobacteriaceae, and Clostridium [295]. This finding has been validated in multiple independent studies, with elevated Clostridium abundance being particularly consistent [296, 297]. Interestingly, Clostridioides, a subspecies of Clostridium, is one of the most frequently detected dysbiotic bacteria in patients with ASD [298] due to its production of potentially toxic metabolites such as 4-ethylphenyl sulfate and p-Cresol sulfate, which are thought to enter the bloodstream and cross the blood-brain barrier to influence processes such as neuroinflammation and microglial phagocytosis [268]. In addition, Clostridium tetani has been found to release transporting tetanus neurotoxin and subsequently translocate it to the CNS to disrupt neurotransmitter release, thereby inducing a wide variety of behavioral deficits in ASD [299]. Beyond bacterial toxins, other microbially derived molecules also participate in the pathological processes of ASD. For instance, SCFAs (such as propionic acid, butyric acid, and acetic acid) are products of gut microbiota fermentation of dietary fibre, undigested starch, and amino acids. At physiological concentrations, they exert anti-inflammatory effects, maintain intestinal barrier integrity, and regulate immunity. However, dysbiosis in ASD patients leads to abnormal elevation of SCFAs like propionic acid. Clinical studies confirm significantly increased propionic acid concentrations in faeces from children with ASD, correlated with symptom severity. Animal studies demonstrate that intraventricular injection of propionic acid induces ASD-like behaviours, triggering glial activation, mitochondrial dysfunction, and oxidative stress [300]. It may also interfere with neurodevelopmental gene expression by inhibiting histone deacetylases or activating neuroinflammatory pathways via free fatty acid receptors (e.g., GPR41/FFAR3) [301]. Another pivotal mechanism involves immune-mediated neuroinflammation. Gut dysbiosis disrupts the intestinal epithelial barrier (‘leaky gut’), allowing bacterial lipopolysaccharides and other substances to enter the circulation. This activates the peripheral immune system and releases inflammatory mediators such as IL-6, TNF-α, and IL-17a [302]. These factors can activate central microglia and astrocytes via the compromised blood-brain barrier or vagal signalling. Post-mortem brain tissue from ASD patients and animal models consistently shows reactive glial cell proliferation and morphological alterations, with their abnormal activation exacerbating neuroinflammation [245, 303]. This ultimately leads to abnormal synaptic pruning, neurotransmitter imbalances, and disrupted neural circuit function, which constitutes a core neurobiological feature of ASD [303]. Furthermore, inflammatory mediators can further increase blood-brain barrier permeability, facilitating peripheral immune cell infiltration into the central nervous system and forming a ‘peripheral inflammation – central neuroinflammation’ cascade reaction [245]. In summary, existing evidence strongly supports the notion that the gut microbiota plays a regulatory or promoting role in the pathogenesis of ASD, and its intervention may become an important adjunct to comprehensive treatment strategies for ASD.\nAlthough there is limited research on TMS interventions with gut microbiome, researchers have tentatively demonstrated that TMS may exert its therapeutic effects by correcting disturbed gut microbial compositions or modulating specific bacterial species. The research team from the University of Milan utilized deep TMS (dTMS), a type of rTMS protocol that delivers a magnetic field through a special H-shaped coil wrapped in a helmet to stimulate deeper brain regions, to investigate the effects on the gut flora of obese patients. The results suggest that high-frequency dTMS protocols can effectively modulate the composition of the gut microbiome of obese subjects, reverse obesity-associated microbiome changes, and promote representative bacterial species with anti-inflammatory properties, such as Faecalibacterium [304]. In a separate study, it was discovered that low intensity rTMS intervention increased the abundance of the anti-inflammatory Roseburia spp. This increase was significantly correlated with behavioral data from forced swimming experiments and MRI results. Additionally, the KEGG functional annotation of the rTMS-intervention group showed that apoptotic pathway abundance was the only indicator of a decrease. These findings suggest that rTMS intervention may have anti-inflammatory and protective effects on the gut microbiome, which are associated with its therapeutic effects [305]. A recent study showed that intervention with 15 Hz rTMS attenuated depressive-like behavior in a model of depression mice and modulated the abundance of Cyanobacteria, Proteobacteria, and Actinobacteriota phylum, which are associated with neurotransmitters and gut inflammation, as well as the levels of polyunsaturated fatty acids in plasma and brain tissue [306]. It should be emphasized that the above studies did not focus on the ASD population or ASD specific models, and their conclusions need to be cautiously extrapolated to ASD scenarios.\nThen, what are the potential possible mechanisms underlying the intervention of TMS on gut microbiome? As illustrated in Fig. 4, it is widely acknowledged that TMS can ameliorate neuroinflammation by modulating neuroimmune signalling. Importantly, TMS further influences the gut microbiome through bidirectional communication along the MGBA, with the vagus nerve serving as a key pathway. Studies confirm that TMS can also modulate central noradrenergic system activity, altering central noradrenaline release levels. This central change then impacts the gut microenvironment via descending sympathetic pathways—moderately regulated central noradrenaline levels reduce overgrowth of pathogenic gut bacteria, creating stable conditions for colonisation by beneficial microbiota such as short-chain fatty acid-producing bacteria [307]. Concurrently, TMS modulates the central adenosine signalling system: as a key neuro-immune modulator, adenosine’s A1R and A2AR receptors are widely expressed in the basal ganglia (e.g., caudate nucleus) and brainstem. iTBS restores A1R/A2AR equilibrium, thereby inhibiting neuroinflammation mediated by excessive adenosine-A2AR signalling in basal ganglia regions [308]. Through bidirectional regulation via the MGBA, TMS-induced central neurochemical alterations may further influence intestinal mucosal immunity and metabolite levels (e.g., SCFAs), thereby indirectly modulating gut microbiota composition and function [307, 308]. Previous studies have demonstrated that noradrenaline levels decrease following five weeks of dTMS treatment, with this change significantly correlated to alterations in the abundance of Bacteroides, Eubacterium, and Parasutterella [304]. This phenomenon is mediated through a pathway involving both the dopaminergic reward system and HPA axis regulation: dTMS first activates the dopaminergic reward system (including the striatum, ventral tegmental area, and nucleus accumbens), while simultaneously triggering systemic regulatory responses via the HPA axis. These dual effects collectively lead to a reduction in local intestinal noradrenaline levels, thereby inhibiting the proliferation of harmful gut pathogens and diminishing their virulence [309], ultimately exerting beneficial effects on the composition of the gut microbiota. However, this mechanism has yet to be validated in ASD-related research.\nFig. 4TMS restores the disordered gut microbiome by influencing neuroinflammation. Given the mechanism by which gut microbiome can communicate with and have an impact on glial cells in the brain through pathways such as immune mediation, metabolites, and neural regulation, TMS acts on the polarization of glial cells to ameliorate neuroinflammation, thereby achieving the regulation of gut microbiome. TMS, Transcranial Magnetic Stimulation\nTMS restores the disordered gut microbiome by influencing neuroinflammation. Given the mechanism by which gut microbiome can communicate with and have an impact on glial cells in the brain through pathways such as immune mediation, metabolites, and neural regulation, TMS acts on the polarization of glial cells to ameliorate neuroinflammation, thereby achieving the regulation of gut microbiome. TMS, Transcranial Magnetic Stimulation\nIt is noteworthy that the aforementioned studies indicate TMS intervention may lead to alterations in the abundance of specific bacteria rather than affecting the overall diversity of the bacterial community. This suggests that TMS’s regulatory effect does not broadly influence the entire gut microbial system but instead specifically targets particular bacterial species. However, existing gut microbiome research suffers from numerous limitations that severely undermine the reliability and persuasiveness of its evidence: most studies are small-scale exploratory investigations, making it difficult to rule out interference from individual variations and reducing the generalisability of conclusions; considerable heterogeneity exists across studies regarding TMS stimulation frequency, intensity, and target sites, coupled with a lack of systematic investigation into parameter-effect relationships, preventing the identification of optimal parameter combinations for regulation; Intervention cycles typically span 4–8 weeks with short follow-up periods, hindering assessment of long-term effects and post-treatment recovery to baseline microbiome composition. Methodological flaws further undermine credibility, including insufficient sequencing depth, inadequate control of confounding factors (diet/lifestyle/concurrent medication), and absence of negative controls or randomised designs. More critically, these limitations, compounded by the unclear associations between specific bacterial relative abundance changes and TMS parameters, target sites, and disease types, collectively result in the intrinsic mechanisms of neuro-endocrine-immune-microbiome cross-regulation remaining unexplained. This also implies that the current evidence regarding the association between TMS and the gut microbiome remains exploratory in nature, insufficient to draw definitive clinical conclusions, and there is as yet no direct evidence confirming the existence of this association in ASD. Consequently, future research must employ large-sample, multicentre, randomised controlled designs, standardise TMS parameter settings, extend follow-up periods, and optimise microbiome detection methodologies, with a primary focus on exploring the aforementioned associations and intrinsic regulatory mechanisms. Concurrently, given the scientific plausibility of the hypothesis that TMS improves ASD and other central nervous system disorders alongside associated gastrointestinal dysfunction by modulating bidirectional gut-brain axis communication, future research should incorporate investigations into this application. This not only holds significant scientific value but also represents a core pathway for enhancing the credibility of research evidence in this field and advancing clinical translation.\n\n\n### Limitation\nThis study provides a preliminary overview of the application of TMS research protocols in the field of ASD, covering common stimulation patterns, coil selection, and target planning and localisation. However, given that TMS effects are influenced by multiple factors and involve interdisciplinary knowledge systems, this paper does not delve deeply into its potential mechanisms or parameter optimisation, nor does it systematically assess the risk of bias and methodological quality of the included studies. Significant heterogeneity exists across studies in terms of sample size, blinding design, and control group configuration. This may compromise the assessment of TMS’s true efficacy and its underlying mechanisms. Future research should systematically explore these aspects using standardised tools such as the Cochrane risk of bias assessment tool to deepen our comprehensive understanding of factors influencing TMS efficacy. It is noteworthy that most current studies employ a single frequency/intensity protocol, and the dose-response and time-dependency relationships remain insufficiently unexplored. In particular, it remains unclear whether the modulation of E-I balance or ion-channel states exhibits linear, threshold-dependent, or non-monotonic responses to TMS parameters, including frequency, intensity, number of pulses per train, inter-train interval, and total session duration. Moreover, the pathophysiological mechanisms of ASD exhibit considerable heterogeneity, encompassing multidimensional factors including genetics, epigenetics, neuroscience (such as neurobiology and brain networks), immunology, and environmental influences. Given the unclear effects of TMS on non-neurobiological factors, this study focuses on several classic neurobiological hypotheses of ASD. Although limited in scope, this approach facilitates deeper analysis of their intrinsic relationships, providing a more refined theoretical perspective on TMS intervention mechanisms. It is worth noting that this review has not yet fully explored personalised TMS strategies in ASD. Future investigations should determine how inter-individual variability—such as specific genetic backgrounds, baseline neurophysiological profiles (e.g., E-I ratio measured by TMS-EEG), and synaptic plasticity status—influences TMS responsiveness. Personalized protocols may maximize efficacy and minimize adverse effects. In terms of research classification, this paper categorises all TMS protocols under a single umbrella to preliminarily explore their regulatory mechanisms in ASD. It must be emphasised that this work represents an exploratory phase; subsequent research will undertake detailed categorisation and systematic comparison of different intervention protocols to consolidate the theoretical and practical foundations for TMS’s clinical application in ASD.\n\n\n### Conclusion\nA synthesis of extant research findings demonstrates the potential value of TMS as an intervention for ASD. However, the current application of TMS is beset by multiple uncertainties, necessitating objective consideration. On the one hand, studies have indicated suboptimal efficacy outcomes, which are closely linked to variations in TMS stimulation protocols and the highly complex heterogeneity of ASD, and studies with differing levels of bias risk report divergent findings regarding efficacy. On the other hand, existing research has predominantly focused on clinical efficacy observations, with markedly insufficient exploration of the fundamental mechanisms underlying TMS intervention for ASD. The classical mechanisms currently proposed have largely been derived from studies of other neurological disorders and do not specifically align with core pathological pathways in ASD. Consequently, these fundamental mechanisms offer limited reference value for optimising clinical protocols, hindering the formation of a closed-loop guidance system linking mechanism, protocol, and efficacy.\nConsequently, future research should prioritise the following directions: Firstly, efforts must be made to address the existing gaps in fundamental mechanism studies. To this end, the present study proposes a shift in research focus from generalised classical mechanisms to a more specific investigation of the influence of TMS on core pathological pathways in ASD. The clarification of its specific action principles will provide scientific grounds for the optimisation of stimulation protocols, personalisation of target planning, and the achievement of precise localisation. Secondly, it is necessary to conduct rigorously designed large-scale, multicenter randomized controlled trials, strictly control the risk of bias, systematically evaluate the efficacy and safety of TMS in different subtypes, age groups, and symptom severity populations of ASD, clarify the dose-response relationship and duration of efficacy, and gradually establish precise treatment strategies for specific symptoms. It is only through such systematic exploration that the full potential of TMS as an intervention can be realised, thus offering evidence-based alternatives for clinical interventions in children diagnosed with ASD.", "domain": "affective_neuroscience"}
{"source": "PMC12916295", "title": "Alzheimer’s disease and memantine effects on NMDA-receptor blockade: non-invasive in vivo insights from magnetoencephalography", "text": "# Alzheimer’s disease and memantine effects on NMDA-receptor blockade: non-invasive in vivo insights from magnetoencephalography\n\n## Abstract\nTo accelerate new treatments for Alzheimer’s disease, there is the need for human pathophysiological biomarkers that are sensitive to treatment and disease mechanisms. In this proof-of-concept study, we assess new biophysical models of non-invasive human MEG imaging to test the pharmacological and disease modulation of NMDA-receptor inhibition. Magnetoencephalography was recorded during an auditory mismatch negativity paradigm from (1) neurologically-healthy people on memantine or placebo (n = 19, placebo-controlled crossover design); (2) people with Alzheimer’s disease at baseline and 16-months (n = 42, amyloid-biomarker positive, longitudinal observational design). Optimised dynamic causal models inferred voltage-dependent NMDA-receptor blockade using Parametric Empirical Bayes to test group effects. The mismatch negativity amplitude was attenuated when Alzheimer’s disease was more severe (lower baseline mini-mental state examination) and after follow-up (versus baseline). Memantine increased NMDA-receptor inhibition, compared to placebo. Alzheimer’s disease reduced NMDA-receptor inhibition in proportion to severity and over time. In line with preclinical studies, we confirm in humans that memantine and Alzheimer’s disease have opposing effects on NMDA-receptor inhibition. The ability to infer such receptor dynamics and pharmacology from non-invasive physiological recordings has wide applications, including the assessment of other neurological disorders and novel drugs intended for symptomatic or disease-modifying treatments.\n\n## Full Text\n\n\n### Introduction\nEarly in the pathogenesis of Alzheimer’s disease, there is impairment and loss of synapses [1]. Synaptic density is closely related to cognitive impairment [2] and the maintenance and restoration of synaptic health is an area of strong therapeutic interest [3]. Voltage-dependent NMDA type glutamatergic receptors are critical to synaptic function, plasticity for memory and are implicated in the pathogenesis of Alzheimer’s disease. NMDA-receptors are subject to voltage-dependent blockade by magnesium ions [4]. This magnesium inhibition of NMDA-receptors is reduced in Alzheimer’s disease, with reduced magnesium ion occupation of the NMDA-receptor channel pores even at low levels of depolarisation [5, 6]. This leads to over-activation of NMDA receptors, with excess calcium influx disruptive to cell function and cognition [7]. Since 2004, the drug memantine has been licenced to treat moderate to severe Alzheimer’s disease [8, 9]. Memantine blocks NMDA-receptor channels when they are pathologically open at low-levels of depolarisation, without affecting the neurotransmission when the post-synaptic membrane is sufficiently depolarised [5].\nNMDA-channel kinetics [10] and the impact of Alzheimer’s disease on the voltage dependency of NMDA receptors [11] have been studied extensively in tissue cultures [12], animal studies [13] and post mortem data [14–16]. These previous studies provide a strong foundation for the development of biophysical models suitable for use in early-phase trials for people with, or at risk of, Alzheimer’s disease. In particular, a technique called dynamic causal modelling can be exploited to reveal disease-effects and therapeutic mechanisms non-invasively in humans to the level of cell-classes and neurotransmitters [17–20]. Dynamic causal modelling shows high reliability over odd and even trials [18] and over test-retest sessions [21] and identifies cellular mechanisms underlying evoked responses, such as magneto- and electro- encephalographic observations [22, 23]. The generation of evoked responses to unexpected stimuli, relies on intact NMDA transmission within and between nodes in neural information processing hierarchies [24]. This effect is dose-dependently blocked by NMDA-receptor blockers [25].\nNMDA receptor dysfunction contributes to synaptic transmission deficits in Alzheimer’s disease [26]. In Alzheimer’s disease, it is proposed that increased intracellular calcium at rest (due to NMDA receptor dysfunction) [15] increases background calcium ion ‘noise’ leading to impaired synaptic signal detection [11]. Indeed, the evoked mismatch negativity response amplitude is reduced in Alzheimer’s disease [27]. This creates the opportunity to model in vivo the generators of evoked responses, and validate the dynamic causal modelling approach. Specifically, one can establish validity of the models, via the effects of drugs, like memantine, that act on NMDA-receptors and the effects of Alzheimer’s disease on cortical generators.\nIn this paper, we aim to assess the suitability of dynamic causal modelling to support clinical trials by (1) identifying therapeutic target engagement and (2) measuring the respective target’s importance to cognitive decline and progression of Alzheimer’s disease. To do this, we first identify the target of memantine in humans, in vivo, using dynamic causal modelling. We then measure how the same model parameter relates to cognitive decline and disease progression in people with symptomatic Alzheimer’s disease (beta-amyloid biomarker positive, with amnestic mild cognitive impairment or early dementia). In doing so, we confirm sensitivity of magnetoencephalography (MEG) and dynamic causal modelling to both the severity and progression of Alzheimer’s disease. Importantly, we demonstrate that dementia and memantine treatment have opposing effects on the cortical microcircuit. We use data from two separate studies: (1) a randomised placebo-controlled double-blinded crossover study of memantine in healthy controls; and (2) a longitudinal study of people with Alzheimer’s disease. We tested the following hypotheses: 1a) the mechanism of action of memantine is blockade of NMDA-receptors; 1b) memantine increases the blockade of NMDA channels; 2a) the mismatch negativity amplitude is reduced in Alzheimer’s disease, more so with disease severity and progression; 2b) NMDA blockade inferred from dynamic causal models (DCMs) is lower in people with more severe Alzheimer’s disease (e.g. lower mini-mental state examination, MMSE) and 2c) progression of Alzheimer’s disease reduces the inferred blockade of NMDA channels (baseline versus follow up).\n\n\n### Results\nMismatch negativity waveforms were calculated as the difference between responses to deviant and repeated tones. T-tests assessed differences in the average mismatch negativity amplitude over the a priori interval 140–160 ms [28]. Compared to placebo, memantine did not significantly alter the mismatch negativity response between 140–160 ms (Fig. 1a). Note that whereas there was no difference in the average around the peak of the mismatch negativity amplitude (i.e. 140–160 ms), the dynamic causal modelling considers the entire waveform over all timepoints from 0–300 ms.Fig. 1Mismatch negativity waveform.a The mismatch negativity waveform on memantine and placebo in control participants from the memantine-placebo study. There was no significant difference between sessions. b The mismatch negativity waveform for people with Alzheimer’s disease from the NTAD study at baseline and follow up. The amplitude was significantly reduced over time by Alzheimer’s disease (baseline versus follow-up for people with Alzheimer’s disease from the NTAD study, t = −2.92, p = 0.003). c The mismatch negativity amplitude correlated with MMSE for people with Alzheimer’s disease from the NTAD study (r = −0.4, p = 0.01).\na The mismatch negativity waveform on memantine and placebo in control participants from the memantine-placebo study. There was no significant difference between sessions. b The mismatch negativity waveform for people with Alzheimer’s disease from the NTAD study at baseline and follow up. The amplitude was significantly reduced over time by Alzheimer’s disease (baseline versus follow-up for people with Alzheimer’s disease from the NTAD study, t = −2.92, p = 0.003). c The mismatch negativity amplitude correlated with MMSE for people with Alzheimer’s disease from the NTAD study (r = −0.4, p = 0.01).\nFor participants with Alzheimer’s disease from the New Therapeutics in Alzheimer’s disease (NTAD) study, the mismatch negativity was significantly reduced, compared to controls (t = −2.56, p = 0.007, see supplementary materials).The mismatch negativity response was further reduced over time in people with Alzheimer’s disease (baseline versus 16-month follow up, t = 2.92, p = −0.003, Fig. 1b) with a medium effect size (d = 0.60). For participants with Alzheimer’s disease, the mismatch negativity amplitude correlated with MMSE; people with lower MMSE (and hence likely to have more severe Alzheimer’s disease) had a smaller mismatch negativity amplitude (r = −0.4, p = 0.01, Fig. 1c).\nDynamic causal modelling is a standard translational modelling approach which uses variational Bayesian inference to infer synaptic physiology and model evidence from neuroimaging data. Here, we modified a conductance-based canonical microcircuit DCM to allow inference of subject-specific NMDA channel blockade from evoked MEG responses (Fig. 2a, see methods section for full details). In brief, we defined the prior distribution of the NMDA channel blockade parameter (blkNMDA) as a normal distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${bl}{k}_{{nmda}} \\sim N\\left(m,\\sigma \\right)$$\\end{document}blknmda~Nm,σ, with prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{m}}}=0$$\\end{document}m=0 and variance of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma =\\frac{1}{64}$$\\end{document}σ=164 (in line with the default variance of other channel time constants in such models). The NMDA blockade parameter is exponentially transformed to assure positivity constraints:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\alpha }_{{NMDA}}=\\exp ({{blk}}_{{NMDA}})$$\\end{document}αNMDA=exp(blkNMDA)Fig. 2The generative canonical microcircuit conductance model with NMDA channel blockade parameters and the mechanism of memantine.a The intrinsic connectivity between cell populations within each region of the model. The NMDA switch function (Eq. 2) plotted (b) against the NMDA blockade parameter shown for increasing voltage values (from −70–0 V in 10 V steps) and (c) against voltage shown for increasing values of the exponential of the NMDA blockade parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{{\\boldsymbol{blk}}}}_{{{\\boldsymbol{NMDA}}}}$$\\end{document}blkNMDA (−1, −0.5, 0, 0.5, 1, 2 and 4). The dashed line shows the NMDA switch function with the blockade parameter value set at the default value from the original model [82]. As the blockade parameter increases, the magnesium switch function output, which scales NMDA channel conductance, reduces. d Free energy and posterior probabilities of PEB models explaining the effect of memantine versus placebo. The PEB analysis with the NMDA channel blockade parameters had the highest posterior probability for explaining differences between neurophysiological mismatch negativity responses on placebo versus drug; memantine acts primarily on the NMDA blockade parameter. e Memantine increases the NMDA channel blockade parameter with a posterior probability >95% in the left parietal cortex. Lines are weighted by each subject’s average precision of NMDA blockade over sessions. Sup., superficial; stell., stellate; inter., interneuron; m(V), the switch function output; blkNMDA, the NMDA blockade parameter; V, voltage; AMPA-T, AMPA channel time constant; GABA-T, GABA channel time constant; NMDA-T; NMDA channel time constant; NMDA-Blk, NMDA channel blockade; All (AGN); AMPA, GABA and NMDA time constants and NMDA blockade parameters.\na The intrinsic connectivity between cell populations within each region of the model. The NMDA switch function (Eq. 2) plotted (b) against the NMDA blockade parameter shown for increasing voltage values (from −70–0 V in 10 V steps) and (c) against voltage shown for increasing values of the exponential of the NMDA blockade parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{{\\boldsymbol{blk}}}}_{{{\\boldsymbol{NMDA}}}}$$\\end{document}blkNMDA (−1, −0.5, 0, 0.5, 1, 2 and 4). The dashed line shows the NMDA switch function with the blockade parameter value set at the default value from the original model [82]. As the blockade parameter increases, the magnesium switch function output, which scales NMDA channel conductance, reduces. d Free energy and posterior probabilities of PEB models explaining the effect of memantine versus placebo. The PEB analysis with the NMDA channel blockade parameters had the highest posterior probability for explaining differences between neurophysiological mismatch negativity responses on placebo versus drug; memantine acts primarily on the NMDA blockade parameter. e Memantine increases the NMDA channel blockade parameter with a posterior probability >95% in the left parietal cortex. Lines are weighted by each subject’s average precision of NMDA blockade over sessions. Sup., superficial; stell., stellate; inter., interneuron; m(V), the switch function output; blkNMDA, the NMDA blockade parameter; V, voltage; AMPA-T, AMPA channel time constant; GABA-T, GABA channel time constant; NMDA-T; NMDA channel time constant; NMDA-Blk, NMDA channel blockade; All (AGN); AMPA, GABA and NMDA time constants and NMDA blockade parameters.\nThe \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\alpha }_{{nmda}}$$\\end{document}αnmda parameter is scaled by its default physiological value (i.e., \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$-0.06$$\\end{document}−0.06) and modulates the membrane potential \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V$$\\end{document}V through a sigmoid transformation (Fig. 2b) [29]:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$m\\left(V\\right)=\\frac{1.50265}{1+0.33\\exp (-0.06{\\alpha }_{{NMDA}}V)}$$\\end{document}mV=1.502651+0.33exp(−0.06αNMDAV)\nThe m(V) modulates the membrane potential in the DCM (please see Methods section). A consequence of this model is that the higher the NMDA blockade parameter, the less conductance is mediated by the NMDA channel (Fig. 2c).\nPrevious application of DCM to the mismatch negativity has used a bilateral network of brain regions. While some studies have focussed on the frontotemporal network generators of the mismatch negativity [30–34], including auditory, superior temporal, inferior frontal cortex, others have also included parietal cortices [27, 35–37]. The parietal cortex is also involved in mismatch negativity generation [38–42] and has high sensitivity to Alzheimer’s disease [43]. Here we focus on just parietal cortex, given its involvement in Alzheimer’s disease and mismatch negativity generation [39, 40], to reduce model complexity [22]. The model was fitted first to the control participants from the memantine-placebo study. Parametric Empirical Bayes (PEB) [44] was used to compare 5 models, in which memantine affected the NMDA channel blockade parameter (blkNMDA), or the AMPA, GABA or NMDA time constants or a fifth model in which it affected all of these. The posterior probability was highest for the blkNMDA model (indeed, close to 1), demonstrating that the effect of memantine was most parsimoniously explained by changes in NMDA channel blockade (Fig. 2d). Memantine increased NMDA channel blockade with a meaningful effect (probability of parameter >95%) in the left parietal cortex (posterior estimate = 0.41, posterior probability = 1). PEB posterior estimates of the expected NMDA blockade value were extracted for each participant at each session and plotted (see Fig. 2e). Bayesian model comparison and averaging [44] also showed that the NMDA channel blockade parameter was greater on memantine than placebo (posterior estimate = 0.42, posterior probability = 1).\nFor the Alzheimer’s disease group, PEB analyses were conducted to identify (1) the effect of disease severity (MMSE score) on NMDA channel blockade and (2) the effect of disease progression on NMDA channel blockade (baseline versus follow-up). NMDA channel blockade was reduced with more severe Alzheimer’s disease (a lower MMSE score) with a meaningful effect (posterior probability of parameter > 0.95) in right parietal cortex (posterior estimate = 0.06, posterior probability = 0.99). PEB posterior estimates of expected NMDA channel blockade values were extracted from each subject’s model after application of PEB. The relationship with MMSE is illustrated in Fig. 3a). Bayesian model comparison and averaging also showed that NMDA channel blockade of the right parietal cortex was reduced with more severe Alzheimer’s disease (posterior estimate = 0.05, posterior probability = 0.79). The NMDA channel blockade further reduced at follow-up compared to baseline in the right parietal cortex (posterior estimate = −0.125, posterior probability=0.97). Expected values were extracted from the PEB and plotted (Fig. 3b). Bayesian model comparison and averaging also showed that NMDA channel blockade further reduced at follow-up compared to baseline in the right parietal cortex (posterior estimate = −0.08, posterior probability = 0.68).Fig. 3NMDA channel blockade is affected by Alzheimer’s disease in right parietal cortex.The PEB posterior estimate of the expected value of the NMDA channel blockade parameter for each person with Alzheimer’s disease are shown. This NMDA-blockade parameter is re-estimated during the second-level PEB analysis. NMDA channel blockade (a) correlates with MMSE (posterior estimate of the second-level NMDA channel blockade parameter=0.06, posterior probability = 0.99) and (b) reduces further at follow-up compared to baseline (posterior estimate of the second-level NMDA blockade parameter = −0.125, posterior probability = 0.97). Lines are weighted by each subject’s average precision of NMDA blockade over sessions. MMSE mini-mental state examination, PEB parametric empirical Bayes.\nThe PEB posterior estimate of the expected value of the NMDA channel blockade parameter for each person with Alzheimer’s disease are shown. This NMDA-blockade parameter is re-estimated during the second-level PEB analysis. NMDA channel blockade (a) correlates with MMSE (posterior estimate of the second-level NMDA channel blockade parameter=0.06, posterior probability = 0.99) and (b) reduces further at follow-up compared to baseline (posterior estimate of the second-level NMDA blockade parameter = −0.125, posterior probability = 0.97). Lines are weighted by each subject’s average precision of NMDA blockade over sessions. MMSE mini-mental state examination, PEB parametric empirical Bayes.\n\n\n### Effects of memantine and alzheimer’s disease on the mismatch negativity\nMismatch negativity waveforms were calculated as the difference between responses to deviant and repeated tones. T-tests assessed differences in the average mismatch negativity amplitude over the a priori interval 140–160 ms [28]. Compared to placebo, memantine did not significantly alter the mismatch negativity response between 140–160 ms (Fig. 1a). Note that whereas there was no difference in the average around the peak of the mismatch negativity amplitude (i.e. 140–160 ms), the dynamic causal modelling considers the entire waveform over all timepoints from 0–300 ms.Fig. 1Mismatch negativity waveform.a The mismatch negativity waveform on memantine and placebo in control participants from the memantine-placebo study. There was no significant difference between sessions. b The mismatch negativity waveform for people with Alzheimer’s disease from the NTAD study at baseline and follow up. The amplitude was significantly reduced over time by Alzheimer’s disease (baseline versus follow-up for people with Alzheimer’s disease from the NTAD study, t = −2.92, p = 0.003). c The mismatch negativity amplitude correlated with MMSE for people with Alzheimer’s disease from the NTAD study (r = −0.4, p = 0.01).\na The mismatch negativity waveform on memantine and placebo in control participants from the memantine-placebo study. There was no significant difference between sessions. b The mismatch negativity waveform for people with Alzheimer’s disease from the NTAD study at baseline and follow up. The amplitude was significantly reduced over time by Alzheimer’s disease (baseline versus follow-up for people with Alzheimer’s disease from the NTAD study, t = −2.92, p = 0.003). c The mismatch negativity amplitude correlated with MMSE for people with Alzheimer’s disease from the NTAD study (r = −0.4, p = 0.01).\nFor participants with Alzheimer’s disease from the New Therapeutics in Alzheimer’s disease (NTAD) study, the mismatch negativity was significantly reduced, compared to controls (t = −2.56, p = 0.007, see supplementary materials).The mismatch negativity response was further reduced over time in people with Alzheimer’s disease (baseline versus 16-month follow up, t = 2.92, p = −0.003, Fig. 1b) with a medium effect size (d = 0.60). For participants with Alzheimer’s disease, the mismatch negativity amplitude correlated with MMSE; people with lower MMSE (and hence likely to have more severe Alzheimer’s disease) had a smaller mismatch negativity amplitude (r = −0.4, p = 0.01, Fig. 1c).\n\n\n### The generative model of the mismatch negativity response\nDynamic causal modelling is a standard translational modelling approach which uses variational Bayesian inference to infer synaptic physiology and model evidence from neuroimaging data. Here, we modified a conductance-based canonical microcircuit DCM to allow inference of subject-specific NMDA channel blockade from evoked MEG responses (Fig. 2a, see methods section for full details). In brief, we defined the prior distribution of the NMDA channel blockade parameter (blkNMDA) as a normal distribution \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${bl}{k}_{{nmda}} \\sim N\\left(m,\\sigma \\right)$$\\end{document}blknmda~Nm,σ, with prior mean of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{m}}}=0$$\\end{document}m=0 and variance of \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\sigma =\\frac{1}{64}$$\\end{document}σ=164 (in line with the default variance of other channel time constants in such models). The NMDA blockade parameter is exponentially transformed to assure positivity constraints:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\alpha }_{{NMDA}}=\\exp ({{blk}}_{{NMDA}})$$\\end{document}αNMDA=exp(blkNMDA)Fig. 2The generative canonical microcircuit conductance model with NMDA channel blockade parameters and the mechanism of memantine.a The intrinsic connectivity between cell populations within each region of the model. The NMDA switch function (Eq. 2) plotted (b) against the NMDA blockade parameter shown for increasing voltage values (from −70–0 V in 10 V steps) and (c) against voltage shown for increasing values of the exponential of the NMDA blockade parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{{\\boldsymbol{blk}}}}_{{{\\boldsymbol{NMDA}}}}$$\\end{document}blkNMDA (−1, −0.5, 0, 0.5, 1, 2 and 4). The dashed line shows the NMDA switch function with the blockade parameter value set at the default value from the original model [82]. As the blockade parameter increases, the magnesium switch function output, which scales NMDA channel conductance, reduces. d Free energy and posterior probabilities of PEB models explaining the effect of memantine versus placebo. The PEB analysis with the NMDA channel blockade parameters had the highest posterior probability for explaining differences between neurophysiological mismatch negativity responses on placebo versus drug; memantine acts primarily on the NMDA blockade parameter. e Memantine increases the NMDA channel blockade parameter with a posterior probability >95% in the left parietal cortex. Lines are weighted by each subject’s average precision of NMDA blockade over sessions. Sup., superficial; stell., stellate; inter., interneuron; m(V), the switch function output; blkNMDA, the NMDA blockade parameter; V, voltage; AMPA-T, AMPA channel time constant; GABA-T, GABA channel time constant; NMDA-T; NMDA channel time constant; NMDA-Blk, NMDA channel blockade; All (AGN); AMPA, GABA and NMDA time constants and NMDA blockade parameters.\na The intrinsic connectivity between cell populations within each region of the model. The NMDA switch function (Eq. 2) plotted (b) against the NMDA blockade parameter shown for increasing voltage values (from −70–0 V in 10 V steps) and (c) against voltage shown for increasing values of the exponential of the NMDA blockade parameter \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{{\\boldsymbol{blk}}}}_{{{\\boldsymbol{NMDA}}}}$$\\end{document}blkNMDA (−1, −0.5, 0, 0.5, 1, 2 and 4). The dashed line shows the NMDA switch function with the blockade parameter value set at the default value from the original model [82]. As the blockade parameter increases, the magnesium switch function output, which scales NMDA channel conductance, reduces. d Free energy and posterior probabilities of PEB models explaining the effect of memantine versus placebo. The PEB analysis with the NMDA channel blockade parameters had the highest posterior probability for explaining differences between neurophysiological mismatch negativity responses on placebo versus drug; memantine acts primarily on the NMDA blockade parameter. e Memantine increases the NMDA channel blockade parameter with a posterior probability >95% in the left parietal cortex. Lines are weighted by each subject’s average precision of NMDA blockade over sessions. Sup., superficial; stell., stellate; inter., interneuron; m(V), the switch function output; blkNMDA, the NMDA blockade parameter; V, voltage; AMPA-T, AMPA channel time constant; GABA-T, GABA channel time constant; NMDA-T; NMDA channel time constant; NMDA-Blk, NMDA channel blockade; All (AGN); AMPA, GABA and NMDA time constants and NMDA blockade parameters.\nThe \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\alpha }_{{nmda}}$$\\end{document}αnmda parameter is scaled by its default physiological value (i.e., \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$-0.06$$\\end{document}−0.06) and modulates the membrane potential \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V$$\\end{document}V through a sigmoid transformation (Fig. 2b) [29]:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$m\\left(V\\right)=\\frac{1.50265}{1+0.33\\exp (-0.06{\\alpha }_{{NMDA}}V)}$$\\end{document}mV=1.502651+0.33exp(−0.06αNMDAV)\nThe m(V) modulates the membrane potential in the DCM (please see Methods section). A consequence of this model is that the higher the NMDA blockade parameter, the less conductance is mediated by the NMDA channel (Fig. 2c).\n\n\n### Increased blockade of NMDA channels explains the memantine effect\nPrevious application of DCM to the mismatch negativity has used a bilateral network of brain regions. While some studies have focussed on the frontotemporal network generators of the mismatch negativity [30–34], including auditory, superior temporal, inferior frontal cortex, others have also included parietal cortices [27, 35–37]. The parietal cortex is also involved in mismatch negativity generation [38–42] and has high sensitivity to Alzheimer’s disease [43]. Here we focus on just parietal cortex, given its involvement in Alzheimer’s disease and mismatch negativity generation [39, 40], to reduce model complexity [22]. The model was fitted first to the control participants from the memantine-placebo study. Parametric Empirical Bayes (PEB) [44] was used to compare 5 models, in which memantine affected the NMDA channel blockade parameter (blkNMDA), or the AMPA, GABA or NMDA time constants or a fifth model in which it affected all of these. The posterior probability was highest for the blkNMDA model (indeed, close to 1), demonstrating that the effect of memantine was most parsimoniously explained by changes in NMDA channel blockade (Fig. 2d). Memantine increased NMDA channel blockade with a meaningful effect (probability of parameter >95%) in the left parietal cortex (posterior estimate = 0.41, posterior probability = 1). PEB posterior estimates of the expected NMDA blockade value were extracted for each participant at each session and plotted (see Fig. 2e). Bayesian model comparison and averaging [44] also showed that the NMDA channel blockade parameter was greater on memantine than placebo (posterior estimate = 0.42, posterior probability = 1).\n\n\n### Effect of severity and progression of alzheimer’s disease\nFor the Alzheimer’s disease group, PEB analyses were conducted to identify (1) the effect of disease severity (MMSE score) on NMDA channel blockade and (2) the effect of disease progression on NMDA channel blockade (baseline versus follow-up). NMDA channel blockade was reduced with more severe Alzheimer’s disease (a lower MMSE score) with a meaningful effect (posterior probability of parameter > 0.95) in right parietal cortex (posterior estimate = 0.06, posterior probability = 0.99). PEB posterior estimates of expected NMDA channel blockade values were extracted from each subject’s model after application of PEB. The relationship with MMSE is illustrated in Fig. 3a). Bayesian model comparison and averaging also showed that NMDA channel blockade of the right parietal cortex was reduced with more severe Alzheimer’s disease (posterior estimate = 0.05, posterior probability = 0.79). The NMDA channel blockade further reduced at follow-up compared to baseline in the right parietal cortex (posterior estimate = −0.125, posterior probability=0.97). Expected values were extracted from the PEB and plotted (Fig. 3b). Bayesian model comparison and averaging also showed that NMDA channel blockade further reduced at follow-up compared to baseline in the right parietal cortex (posterior estimate = −0.08, posterior probability = 0.68).Fig. 3NMDA channel blockade is affected by Alzheimer’s disease in right parietal cortex.The PEB posterior estimate of the expected value of the NMDA channel blockade parameter for each person with Alzheimer’s disease are shown. This NMDA-blockade parameter is re-estimated during the second-level PEB analysis. NMDA channel blockade (a) correlates with MMSE (posterior estimate of the second-level NMDA channel blockade parameter=0.06, posterior probability = 0.99) and (b) reduces further at follow-up compared to baseline (posterior estimate of the second-level NMDA blockade parameter = −0.125, posterior probability = 0.97). Lines are weighted by each subject’s average precision of NMDA blockade over sessions. MMSE mini-mental state examination, PEB parametric empirical Bayes.\nThe PEB posterior estimate of the expected value of the NMDA channel blockade parameter for each person with Alzheimer’s disease are shown. This NMDA-blockade parameter is re-estimated during the second-level PEB analysis. NMDA channel blockade (a) correlates with MMSE (posterior estimate of the second-level NMDA channel blockade parameter=0.06, posterior probability = 0.99) and (b) reduces further at follow-up compared to baseline (posterior estimate of the second-level NMDA blockade parameter = −0.125, posterior probability = 0.97). Lines are weighted by each subject’s average precision of NMDA blockade over sessions. MMSE mini-mental state examination, PEB parametric empirical Bayes.\n\n\n### Discussion\nThere are three principal results of this study: (i) by inversion of MEG data to a biophysically informed generative model, we confirmed that memantine increases the NMDA blockade parameter; (ii) Alzheimer’s disease severity is associated with the opposite effect on NMDA blockade; and (iii) Alzheimer’s disease progression further reduces the blockade, within subject. The effect of drug and disease on NMDA receptor blockade may not in itself be surprising; what is important is that this inference can be made from non-invasive human imaging data using a relatively simple dynamic causal model. As the NMDA blockade parameter changes, conductance through NMDA channels becomes increasingly non-linear, requiring more depolarisation for channel conductance, and this can explain why the mismatch negativity amplitude attenuates with disease severity and with disease progression over 16 months. We have shown that this approach to non-invasive neurophysiological data acquired in vivo is feasible as a foundation to experimental medicine studies in people with Alzheimer’s disease.\nTo set these disease-specific results in context, clinical trials have lower costs and attrition when based on stronger target validation [45]. Experimental medicines studies can be used to demonstrate pharmacological target engagement and target relevance to a disorder [46]. Target engagement for organs other than the brain can often be measured directly, but the blood-brain barrier, skull enclosure, and lack of regenerative capacity make direct brain assays unrealistic. Neurochemical imaging by positron emission tomography and single photon emission computerised tomography with selective tracers are possible for some molecular targets, e.g. for the measurement of dopamine receptor occupancy by dopamine agonists [47]. An alternative approach using biophysically informed DCMs has been used to study mechanisms of action of ketamine [48], galantamine [28, 49] and tiagabine [34, 50], as well as natural experiments afforded by anti-NMDA antibody mediated encephalitis and inherited channelopathies [51, 52].\nHere, we confirmed that memantine increases the blockade of NMDA channels. The original direct assays of memantine’s blockade of NMDA receptors included patch-clamp recordings [53] and post mortem tissue [54]. Rodent models with PET imaging confirmed NMDA receptor blockade by a memantine derivative [55]. In silico studies suggested that memantine may have a neuroprotective effect on Alzheimer’s disease [56], even if current licenced applications are symptomatic rather than disease modifying in their intention. Nonetheless, chronic in vivo clinical use of memantine by people with Alzheimer’s disease increases cortical metabolism in temporal and parietal regions [57] along with clinical benefit [9]. Our study was not designed or powered to show clinical efficacy; rather its aim was to confirm the mechanism of action, as proof of concept for the dynamic causal modelling methodology.\nAge has previously been associated with reduced NMDA receptor function [58]. Indeed, we found that age increased the block of NMDA receptors (i.e. reduced NMDA receptor function, see supplementary materials). This reduced NMDA receptor function with advancing age may be exacerbated in Alzheimer’s disease [59]. Compared to control participants, we found that people with Alzheimer’s disease had increased functional NMDA receptor blockade (i.e. reduced NMDA receptor function, see supplementary analysis). This is consistent with previous findings [60] from animal-models of Alzheimer’s disease [61] and human post- mortem studies [15, 62]. This is also in line with evidence that therapeutically enhancing NMDA receptor function is beneficial for people with early-stage Alzheimer’s disease [63, 64]. Yet, as we show, Alzheimer’s disease severity and progression increase relative NMDA receptor function [11, 65, 66]. This apparent contradiction is addressed by Olney and colleagues, who proposed that a disinhibition state triggered by NMDA receptor hypoactivity leads to low-grade chronic excitotoxic activity, exacerbating neuronal degeneration [59]. Indeed, studies have shown that in response to reduced NMDA receptor function, a typical consequence is excessive glutamate release [67–69].\nIn Alzheimer’s disease, this low but chronic influx of calcium through pathologically-open NMDA receptors may potentiate excitotoxicity [70] and cell death [71]. Although it was theorised that memantine would therefore delay cell death [7], by blocking excitotoxic calcium entry, memantine remains in use as a symptomatic treatment. Note too that memantine is only licenced for moderate to severe Alzheimer’s disease (approximately MMSE < 20) [9, 72], reflecting a complex and dynamic evolution of the role NMDA-receptor function in Alzheimer’s disease.\nAn advantage of dynamic causal modelling of evoked neurophysiological responses is the ability to bridge between clinical and preclinical models of disease. It can inform the understanding of the biological processes that generate the neurophysiological responses underlying cognitive task performance. Here, we found that the mismatch negativity amplitude is significantly correlated with MMSE and significantly reduces with disease progression. This is an important demonstration in its own right, given the need for quantitative biological tools to enhance early-phase clinical trials. However, the greater value of this study is in the analysis of disease and drug mechanism in vivo. Specifically, how NMDA channel blockade relates to the neurophysiological deficit and cognitive decline.\nA progressive reduction in mismatch negativity amplitude in people with Alzheimer’s disease compared to controls has been shown previously in Alzheimer’s disease [27].Other studies have shown that the mismatch negativity is significantly associated with verbal learning [73], self-reported disability [73], cognitive training [74] and episodic memory [75] in people with mild cognitive impairment [73, 75] and Alzheimer’s disease [74]. The current task (a roving mismatch negativity paradigm) is sensitive to disease presence, as shown previously [27], and disease severity and progression, which is especially encouraging given the ease of the task for participants and the robustness of the mismatch negativity waveform [76]. The mismatch negativity is reduced in schizophrenia, which is also characterised by NMDA receptor dysfunction [77], and negatively correlates with symptom severity [78]. This suggests the measure is specific not just to Alzheimer’s disease but also to other diseases that affect the cortical generators of the mismatch negativity. Future studies could employ the same methodology to assess target engagement in people with other disorders affecting NMDA-receptor blockade.\nThere are several limitations to our study. First, though the models were informed by human disease, there is no complete model of the disease [17]. Second, we only modelled two brain regions. This was to reduce model complexity [22], although we recognise that the mismatch negativity is generated by a wider network [27, 31, 33, 37]. Fourth, we recruited according to clinical diagnoses of Alzheimer’s disease, and mild cognitive impairment. However, all patient participants were positive for amyloid biomarkers, by cerebrospinal fluid examination or positron emission tomography. Finally, the longitudinal study attracted an attrition rate of 29% over a mean interval of 16 months. This was similar to protocol expectation (20% per annum), but the longer than planned interval reflects the impact of the COVID-19 pandemic. This may have biased results to the remaining sample.\nIn conclusion, the dynamic causal modelling approach enabled non-invasive assessment of NMDA-receptor blockade in humans, in vivo. Data were recorded during a robust paradigm, for the mismatch negativity response, which is sensitive to Alzheimer’s disease, disease severity and progression. The biologically-informed generative models reproduced the neurophysiological deficit and indicated appropriate drug target engagement: exemplified by increased NMDA receptor blockade by memantine. The study demonstrates target engagement and target relevance. Future translational studies could tailor generative models to measure other drugs and targets of interest, as part of early phase clinical trials of much needed novel dementia therapeutics.\n\n\n### Methods\nThe study has two principal parts. The first part is the analysis of a randomised, placebo-controlled double-blind crossover study with healthy adults [79]. The second part is a longitudinal study of people with Alzheimer’s disease, including its prodromal state of mild cognitive impairment [80].\nFor the placebo-memantine crossover study [79], 19 neurologically healthy people completed two MEG sessions, two weeks apart where they received either (1) placebo or (2) 10 mg oral memantine. Written informed consent was acquired in accordance with the Declaration of Helsinki (1991) from all participants. The study was approved by the local ethics committee and exempted from Clinical Trials status by the UK Medicines and Healthcare products Regulatory Agency. The International Standard Randomised Controlled Trial Number is 10616794. Power analyses were conducted and reported previously [79]. The MEG scan was conducted three hours after drug administration, in line with estimated peak concentration. See Table 1 for participant demographics.Table 1Memantine-placebo control participant demographics.Sex (Male:Female)Handedness (Right:Left:Both)Age (yrs)Education (yrs)Baseline MMSE14:519:0:067.1 (±7.29)15.5 (±3.27)29.6 (±0.50)Yrs years, MMSE mini-mental state examination.\nMemantine-placebo control participant demographics.\nYrs years, MMSE mini-mental state examination.\nFrom the NTAD study[80], we include MRI, MEG and cognitive data from people with amyloid-positive mild cognitive impairment or Alzheimer’s disease dementia (n = 50). Written informed consent was acquired in accordance with the Declaration of Helsinki (1991) from all participants. The study was approved by the local ethics committee, the East of England Cambridge Central Research Ethics Committee (REC reference 18/EE/0042). Power analyses were conducted and reported previously [80]. Two people were excluded who did not complete the mismatch negativity paradigm because the earphones did not fit comfortably, two people whose diagnosis was revised during follow-up and one person due to data recording technical issues. Three people with Alzheimer’s disease were taking memantine as prescribed and excluded from the analysis (final n = 42, see Table 2 for participant demographics). We also include MRI, MEG and cognitive data from 30 of the participants with mild cognitive impairment or Alzheimer’s disease who completed a follow-up scan at an average of 16 months after the baseline MEG scan.Table 2NTAD patient participant demographics at screening.Sex (M:F)Handedness (R:L:B)Age (yrs)Education (yrs)Baseline MMSEBaseline PET (SUVR)Baseline CSF (tau/A-beta 1–42)18:2437:4:173.6(±7.37)14.2 (±3.94)24.9 (±3.61)1.66 (±0.18)2.19 (±1.28)M male, F female, R right, L left, B ambidextrous, MMSE mini-mental state examination, PET positron emission tomography, SUVR standardized uptake value ratio, CSF cerebrospinal fluid, Yrs years, MMSE mini-mental state examination.\nNTAD patient participant demographics at screening.\nM male, F female, R right, L left, B ambidextrous, MMSE mini-mental state examination, PET positron emission tomography, SUVR standardized uptake value ratio, CSF cerebrospinal fluid, Yrs years, MMSE mini-mental state examination.\nFor the memantine-placebo study [79], MEG data were recorded three hours after drug or placebo administration while participants listened passively to a 3 × 5 min roving mismatch negativity paradigm. Tones repeated at frequencies of 400–800 Hz with 75 ms duration at 500 ms intervals. After 3–10 repetitions, the tone frequency changed pseudorandomly (with an approximate Poisson distribution). MEG was recorded with the Elekta VectorView system, configured with 204 planar gradiometers and 102 magnetometers at 102 locations. Eye movements and head position were measured with vertical and horizontal electrooculography and 5 head position indicator coils, respectively. Nasion and pre-auricular fiducial points were measured with a 3D digitizer (Fastrak Polhemus Inc., Colchester, VA), with over 60 additional scalp surface points. T1-weighted MRI was recorded with a 7 T Siemens TERRA scanner using a magnetisation prepared 2 rapid gradient echo (MP2RAGE) sequence.\nFor the NTAD study [80], MEG data were recorded while participants listened passively to a 2 × 5 min roving mismatch negativity paradigm. Tones repeated at frequencies of 400–800 Hz varying in 50 Hz steps with 75 ms duration at 500 ms intervals. After 3–10 repetitions, the tone frequency changed. MEG was recorded with the Elekta VectorView system and MEGIN Triux Neo scanner, with 204 planar gradiometers and 102 magnetometers at 102 locations. We recorded electrocardiogram data with 2 electrodes on the right clavicle and left, lower rib; electrooculography data with an electrode below and above the left eye and on bilateral canthi; and head position with five head position indicator coils, standard fiducial points and over 500 additional scalp surface points with a 3D digitizer (Fastrak Polhemus Inc., Colchester, VA). T1-weighted MRI was recorded with a 3 T Siemens PRISMA scanner using a magnetisation prepared rapid gradient echo (MPRAGE) sequence.\nPreprocessing of data from both studies followed the same pipeline as previously reported [27]. In brief, MaxFilter v2.2 software was used. Independent component analysis of data using the EEGLAB toolbox was performed (Delorme and Makeig, 2004). Data were then bandpass filtered between 0.01 and 40 Hz and epoched from −100–500 ms. OSL’s artefact rejection algorithm removed residual bad trials and channels. Robust averaging averaged epochs for trials, with conditions separately weighted. A final low-pass filter corrected for potential high frequencies introduced during robust averaging.\nFor each participant with mild cognitive impairment or Alzheimer’s disease from the included NTAD participants, data from combined planar gradiometers to the repeated tones (tones 2–11) were subtracted from the first (deviant) tone, giving mismatch negativity waveforms for each participant for each session (baseline and follow-up recordings). Based on prior studies of the mismatch negativity, the average amplitudes between 140–160 ms was calculated for each waveform [27, 28], for each participant, at each session. Two participants were excluded from further sensor level analyses as their mean mismatch negativity amplitudes were three scaled median absolute deviations from the median at both baseline and follow-up sessions [81]. One outlier had a low MMSE of 18, the second outlier had a high MMSE of 27 and both outliers had low mismatch negativity amplitudes. We include in the supplementary data plots showing these outliers’ mismatch negativity amplitudes with the rest of the group. The average amplitude across waveforms was calculated for each participant.\nA paired t-test was used to assess change in average amplitude between baseline and follow-up MEG scans. A linear regression was fitted to the average amplitude and baseline MMSE scores.\nWe developed a variant of the conductance-based canonical microcircuit model (cmm_NMDA) in SPM12 version 7771. The standard cmm_NMDA model has spiny stellate, superficial pyramidal, inhibitory interneurons, and deep pyramidal cells in three layers of the cortical column as shown in Fig. 2a. The dynamics of each neuronal population are governed by a Morris–Lecar model, which can be thought of as a reduction of the Hodgkin and Huxley’s squid axon model [82] as follows:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\frac{{dV}}{{dt}}= \\,\t{\\frac{1}{C}}[{g}_{L}\\left({V}_{L}-V\\right)+{g}_{{AMPA}}\\left({V}_{{AMPA}}-V\\right)+{g}_{{GABA}}\\left({V}_{{GABA}}-V\\right)\\\\ \t +{g}_{{NMDA}}m\\left(V\\right)\\left({V}_{{NMDA}}-V\\right)]+u,\\frac{d{g}_{* }}{{dt}}=\\frac{1}{{\\tau }_{* }}\\left({\\sum}_{k={sp},{inh},{dp},{ss}}{S}_{k}{\\sigma }_{k}-{g}_{* }\\right)\\\\ \t +u,* =[{L}_{c},{AMPA},{GABA},{NMDA}]$$\\end{document}dVdt=1C[gLVL−V+gAMPAVAMPA−V+gGABAVGABA−V+gNMDAmVVNMDA−V]+u,dg*dt=1τ*∑k=sp,inh,dp,ssSkσk−g*+u,*=[Lc,AMPA,GABA,NMDA]\nIn Eq. 1, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V$$\\end{document}V is the membrane potential; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${g}_{* }(L,{NMDA},{AMPA},{GABA})$$\\end{document}g*(L,NMDA,AMPA,GABA), the conductance of ion channels; u, thalamic input given by a hump shape function; C is the membrane capacitance; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${L}_{c}$$\\end{document}Lc is a passive leak current, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\tau }_{* }$$\\end{document}τ* are time constants for the ion channels, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${V}_{* }$$\\end{document}V* are the reversal equilibrium potential of the ion channels. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\sigma }_{k}$$\\end{document}σk is the afferent presynaptic firings from a population \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k$$\\end{document}k, which is scaled by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{k}$$\\end{document}Sk, intrinsic and extrinsic connectivity.\nEach region can interact with distal regions via forward connections (from superficial pyramidal cells to spiny stellate and deep pyramidal cells) and backward connections (from deep pyramidal cells to superficial pyramidal and inhibitory interneurones).\nNMDA channels are both ligand-gated and voltage-gated, requiring both the binding of glutamate and removal of the magnesium blockade by a large transmembrane potential to open. The removal of the magnesium blockade is given by the function:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$m\\left(V\\right)=\\frac{1.5}{1+0.33\\exp (-0.06V)}$$\\end{document}mV=1.51+0.33exp(−0.06V)\nWe adapted the model by including a parameter for NMDA channel blockade (blkNMDA) able to vary during model inversion as follows:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\alpha }_{{NMDA}}=\\exp ({bl}{k}_{{nmda}})$$\\end{document}αNMDA=exp(blknmda)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$m\\left(V\\right)=\\frac{1.50265}{1+0.33\\exp (-0.06{\\alpha }_{{NMDA}}V)}$$\\end{document}mV=1.502651+0.33exp(−0.06αNMDAV)\nThere is a single NMDA channel block parameter for each region in the model representing the blockade of all NMDA channels in the region.\nWe included left and right inferior parietal cortices from the mismatch negativity network [27, 37, 38]. These are part of a wider network with sources including primary auditory, superior temporal and inferior parietal cortices [83]. However, given the complexity of the neuronal models and their estimation, we only consider the inferior parietal cortex, given its importance in Alzheimer’s disease [43, 84] and mismatch negativity generation. This reduces the complexity of the model inversion [22] and offers a more parsimonious network for investigating NMDA blockade dysfunction. Each of the two regions receive thalamic input and have self-connections that are altered by repetition (deviant versus repetition 5) [85]. There is no lateral connection between the parietal cortices. This minimal network allows us to investigate the dysfunctions of NMDA channel blockade in Alzheimer’s disease.\nThe model was inverted from evoked responses to the first and sixth tones (deviant and repetition 5) from the mismatch negativity paradigm for each participant at each session. The between-trial effects (specified in DCM.xU.X) were modelled as 1 for the deviant evoked response and 0 for the standard evoked response (repetition 5). The sensor data were reduced to eight spatial modes from an epoch of 0–300 ms post-stimulus onset and a Hanning window applied. Source activity was approximated during DCM fitting as equivalent current dipoles with symmetry constraints. This method has previously been applied to a simplified (reduced number of sources) DCM network to generate mismatch negativity responses [22]. Subject-specific T1-weighted images informed the lead field. The model is fitted by iterative updating of parameters to improve the fit of the model’s generated response to the observed response, with a trade-off of complexity and accuracy until the parameters maximise free energy [17]. This furnishes a unique set of model parameters for each participant at each session which can be compared with second-level analyses (see Fig. 4 and Fig. 5 for model fits).Fig. 4Model fits of the deviant tone for healthy controls from the memantine-placebo study.Observed responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant on (a) placebo or (b) memantine. DEV, deviant; pred, predicted; obs, observed.Fig. 5Model fits of the deviant tone for people with Alzheimer’s disease.Observed responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant at (a) baseline or (b) follow-up session. DEV, deviant; pred, predicted; obs, observed.\nObserved responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant on (a) placebo or (b) memantine. DEV, deviant; pred, predicted; obs, observed.\nObserved responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant at (a) baseline or (b) follow-up session. DEV, deviant; pred, predicted; obs, observed.\nWe used a hierarchical regression model, namely PEB, that takes both posterior estimates and covariances of parameters to the second level [44]. At the first level of the PEB, DCMs explain how neural activity causes individual evoked responses with all parameters fixed apart from the parameters of interest (see below). The parameters of interest are modelled at the second level with a general linear model. The second level uses a hierarchical variational Bayesian inversion that constrains posterior parameter estimates by the user-specified regressors to improve model evidence. Hypotheses can be tested by comparing the free energy of PEB models with different combinations of parameters explaining the second-level effect.\nSecond-level group PEB analyses were performed with different sets of parameters to test biological hypotheses about the effect of memantine on the cortical microcircuit. These parameter sets were: 1) GABA time constants, 2) AMPA time constants, 3) NMDA time constants and 4) NMDA channel blockade. Separate models were run in which only one of these parameter sets was free to vary, plus a fifth model in which they were all allowed to vary. Each PEB included a constant term and a regressor capturing group (memantine versus placebo). The free energies of the PEB models were converted to posterior probabilities with the softmax function to identify the likely PEB model whose parameters best explained the effect of memantine.\nTo explore the pathological effect of Alzheimer’s disease, second level PEB analyses were tested with the winning NMDA channel blockade parameters in the Alzheimer’s disease group. A PEB model was tested in which the mean-centred MMSE baseline values were added as a regressor (along with the constant term). The PEB posterior estimate of the expected value of NMDA channel blockade parameters that differed from 0 with a posterior probability >0.95 were extracted from baseline DCMs for each person with Alzheimer’s disease and plotted against their MMSE score (Fig. 3).\nFinally, a longitudinal PEB analysis was also performed on DCMs from people with Alzheimer’s disease, to assess how NMDA channel blockade changes with disease progression, with constant and session (baseline versus follow up) as regressors. A third regressor specified the time in years between the baseline and follow-up scans for each patient (0 for baseline scans and with scores from 0.8–2.2 for follow-up scans mean-centred and standardised). PEB posterior estimates of the NMDA blockade parameter that differed from 0 with a posterior probability >0.95 were extracted and plotted against session.\nFor each PEB model, Bayesian model comparison and averaging was performed over a model space of all parameter combinations.\n\n\n### Participants\nFor the placebo-memantine crossover study [79], 19 neurologically healthy people completed two MEG sessions, two weeks apart where they received either (1) placebo or (2) 10 mg oral memantine. Written informed consent was acquired in accordance with the Declaration of Helsinki (1991) from all participants. The study was approved by the local ethics committee and exempted from Clinical Trials status by the UK Medicines and Healthcare products Regulatory Agency. The International Standard Randomised Controlled Trial Number is 10616794. Power analyses were conducted and reported previously [79]. The MEG scan was conducted three hours after drug administration, in line with estimated peak concentration. See Table 1 for participant demographics.Table 1Memantine-placebo control participant demographics.Sex (Male:Female)Handedness (Right:Left:Both)Age (yrs)Education (yrs)Baseline MMSE14:519:0:067.1 (±7.29)15.5 (±3.27)29.6 (±0.50)Yrs years, MMSE mini-mental state examination.\nMemantine-placebo control participant demographics.\nYrs years, MMSE mini-mental state examination.\nFrom the NTAD study[80], we include MRI, MEG and cognitive data from people with amyloid-positive mild cognitive impairment or Alzheimer’s disease dementia (n = 50). Written informed consent was acquired in accordance with the Declaration of Helsinki (1991) from all participants. The study was approved by the local ethics committee, the East of England Cambridge Central Research Ethics Committee (REC reference 18/EE/0042). Power analyses were conducted and reported previously [80]. Two people were excluded who did not complete the mismatch negativity paradigm because the earphones did not fit comfortably, two people whose diagnosis was revised during follow-up and one person due to data recording technical issues. Three people with Alzheimer’s disease were taking memantine as prescribed and excluded from the analysis (final n = 42, see Table 2 for participant demographics). We also include MRI, MEG and cognitive data from 30 of the participants with mild cognitive impairment or Alzheimer’s disease who completed a follow-up scan at an average of 16 months after the baseline MEG scan.Table 2NTAD patient participant demographics at screening.Sex (M:F)Handedness (R:L:B)Age (yrs)Education (yrs)Baseline MMSEBaseline PET (SUVR)Baseline CSF (tau/A-beta 1–42)18:2437:4:173.6(±7.37)14.2 (±3.94)24.9 (±3.61)1.66 (±0.18)2.19 (±1.28)M male, F female, R right, L left, B ambidextrous, MMSE mini-mental state examination, PET positron emission tomography, SUVR standardized uptake value ratio, CSF cerebrospinal fluid, Yrs years, MMSE mini-mental state examination.\nNTAD patient participant demographics at screening.\nM male, F female, R right, L left, B ambidextrous, MMSE mini-mental state examination, PET positron emission tomography, SUVR standardized uptake value ratio, CSF cerebrospinal fluid, Yrs years, MMSE mini-mental state examination.\n\n\n### Data collection\nFor the memantine-placebo study [79], MEG data were recorded three hours after drug or placebo administration while participants listened passively to a 3 × 5 min roving mismatch negativity paradigm. Tones repeated at frequencies of 400–800 Hz with 75 ms duration at 500 ms intervals. After 3–10 repetitions, the tone frequency changed pseudorandomly (with an approximate Poisson distribution). MEG was recorded with the Elekta VectorView system, configured with 204 planar gradiometers and 102 magnetometers at 102 locations. Eye movements and head position were measured with vertical and horizontal electrooculography and 5 head position indicator coils, respectively. Nasion and pre-auricular fiducial points were measured with a 3D digitizer (Fastrak Polhemus Inc., Colchester, VA), with over 60 additional scalp surface points. T1-weighted MRI was recorded with a 7 T Siemens TERRA scanner using a magnetisation prepared 2 rapid gradient echo (MP2RAGE) sequence.\nFor the NTAD study [80], MEG data were recorded while participants listened passively to a 2 × 5 min roving mismatch negativity paradigm. Tones repeated at frequencies of 400–800 Hz varying in 50 Hz steps with 75 ms duration at 500 ms intervals. After 3–10 repetitions, the tone frequency changed. MEG was recorded with the Elekta VectorView system and MEGIN Triux Neo scanner, with 204 planar gradiometers and 102 magnetometers at 102 locations. We recorded electrocardiogram data with 2 electrodes on the right clavicle and left, lower rib; electrooculography data with an electrode below and above the left eye and on bilateral canthi; and head position with five head position indicator coils, standard fiducial points and over 500 additional scalp surface points with a 3D digitizer (Fastrak Polhemus Inc., Colchester, VA). T1-weighted MRI was recorded with a 3 T Siemens PRISMA scanner using a magnetisation prepared rapid gradient echo (MPRAGE) sequence.\n\n\n### Preprocessing\nPreprocessing of data from both studies followed the same pipeline as previously reported [27]. In brief, MaxFilter v2.2 software was used. Independent component analysis of data using the EEGLAB toolbox was performed (Delorme and Makeig, 2004). Data were then bandpass filtered between 0.01 and 40 Hz and epoched from −100–500 ms. OSL’s artefact rejection algorithm removed residual bad trials and channels. Robust averaging averaged epochs for trials, with conditions separately weighted. A final low-pass filter corrected for potential high frequencies introduced during robust averaging.\n\n\n### Sensor level analysis\nFor each participant with mild cognitive impairment or Alzheimer’s disease from the included NTAD participants, data from combined planar gradiometers to the repeated tones (tones 2–11) were subtracted from the first (deviant) tone, giving mismatch negativity waveforms for each participant for each session (baseline and follow-up recordings). Based on prior studies of the mismatch negativity, the average amplitudes between 140–160 ms was calculated for each waveform [27, 28], for each participant, at each session. Two participants were excluded from further sensor level analyses as their mean mismatch negativity amplitudes were three scaled median absolute deviations from the median at both baseline and follow-up sessions [81]. One outlier had a low MMSE of 18, the second outlier had a high MMSE of 27 and both outliers had low mismatch negativity amplitudes. We include in the supplementary data plots showing these outliers’ mismatch negativity amplitudes with the rest of the group. The average amplitude across waveforms was calculated for each participant.\nA paired t-test was used to assess change in average amplitude between baseline and follow-up MEG scans. A linear regression was fitted to the average amplitude and baseline MMSE scores.\n\n\n### First-level dynamic causal modelling\nWe developed a variant of the conductance-based canonical microcircuit model (cmm_NMDA) in SPM12 version 7771. The standard cmm_NMDA model has spiny stellate, superficial pyramidal, inhibitory interneurons, and deep pyramidal cells in three layers of the cortical column as shown in Fig. 2a. The dynamics of each neuronal population are governed by a Morris–Lecar model, which can be thought of as a reduction of the Hodgkin and Huxley’s squid axon model [82] as follows:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\frac{{dV}}{{dt}}= \\,\t{\\frac{1}{C}}[{g}_{L}\\left({V}_{L}-V\\right)+{g}_{{AMPA}}\\left({V}_{{AMPA}}-V\\right)+{g}_{{GABA}}\\left({V}_{{GABA}}-V\\right)\\\\ \t +{g}_{{NMDA}}m\\left(V\\right)\\left({V}_{{NMDA}}-V\\right)]+u,\\frac{d{g}_{* }}{{dt}}=\\frac{1}{{\\tau }_{* }}\\left({\\sum}_{k={sp},{inh},{dp},{ss}}{S}_{k}{\\sigma }_{k}-{g}_{* }\\right)\\\\ \t +u,* =[{L}_{c},{AMPA},{GABA},{NMDA}]$$\\end{document}dVdt=1C[gLVL−V+gAMPAVAMPA−V+gGABAVGABA−V+gNMDAmVVNMDA−V]+u,dg*dt=1τ*∑k=sp,inh,dp,ssSkσk−g*+u,*=[Lc,AMPA,GABA,NMDA]\nIn Eq. 1, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$V$$\\end{document}V is the membrane potential; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${g}_{* }(L,{NMDA},{AMPA},{GABA})$$\\end{document}g*(L,NMDA,AMPA,GABA), the conductance of ion channels; u, thalamic input given by a hump shape function; C is the membrane capacitance; \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${L}_{c}$$\\end{document}Lc is a passive leak current, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\tau }_{* }$$\\end{document}τ* are time constants for the ion channels, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${V}_{* }$$\\end{document}V* are the reversal equilibrium potential of the ion channels. \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\sigma }_{k}$$\\end{document}σk is the afferent presynaptic firings from a population \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$k$$\\end{document}k, which is scaled by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{k}$$\\end{document}Sk, intrinsic and extrinsic connectivity.\nEach region can interact with distal regions via forward connections (from superficial pyramidal cells to spiny stellate and deep pyramidal cells) and backward connections (from deep pyramidal cells to superficial pyramidal and inhibitory interneurones).\nNMDA channels are both ligand-gated and voltage-gated, requiring both the binding of glutamate and removal of the magnesium blockade by a large transmembrane potential to open. The removal of the magnesium blockade is given by the function:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$m\\left(V\\right)=\\frac{1.5}{1+0.33\\exp (-0.06V)}$$\\end{document}mV=1.51+0.33exp(−0.06V)\nWe adapted the model by including a parameter for NMDA channel blockade (blkNMDA) able to vary during model inversion as follows:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\alpha }_{{NMDA}}=\\exp ({bl}{k}_{{nmda}})$$\\end{document}αNMDA=exp(blknmda)\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$m\\left(V\\right)=\\frac{1.50265}{1+0.33\\exp (-0.06{\\alpha }_{{NMDA}}V)}$$\\end{document}mV=1.502651+0.33exp(−0.06αNMDAV)\nThere is a single NMDA channel block parameter for each region in the model representing the blockade of all NMDA channels in the region.\nWe included left and right inferior parietal cortices from the mismatch negativity network [27, 37, 38]. These are part of a wider network with sources including primary auditory, superior temporal and inferior parietal cortices [83]. However, given the complexity of the neuronal models and their estimation, we only consider the inferior parietal cortex, given its importance in Alzheimer’s disease [43, 84] and mismatch negativity generation. This reduces the complexity of the model inversion [22] and offers a more parsimonious network for investigating NMDA blockade dysfunction. Each of the two regions receive thalamic input and have self-connections that are altered by repetition (deviant versus repetition 5) [85]. There is no lateral connection between the parietal cortices. This minimal network allows us to investigate the dysfunctions of NMDA channel blockade in Alzheimer’s disease.\nThe model was inverted from evoked responses to the first and sixth tones (deviant and repetition 5) from the mismatch negativity paradigm for each participant at each session. The between-trial effects (specified in DCM.xU.X) were modelled as 1 for the deviant evoked response and 0 for the standard evoked response (repetition 5). The sensor data were reduced to eight spatial modes from an epoch of 0–300 ms post-stimulus onset and a Hanning window applied. Source activity was approximated during DCM fitting as equivalent current dipoles with symmetry constraints. This method has previously been applied to a simplified (reduced number of sources) DCM network to generate mismatch negativity responses [22]. Subject-specific T1-weighted images informed the lead field. The model is fitted by iterative updating of parameters to improve the fit of the model’s generated response to the observed response, with a trade-off of complexity and accuracy until the parameters maximise free energy [17]. This furnishes a unique set of model parameters for each participant at each session which can be compared with second-level analyses (see Fig. 4 and Fig. 5 for model fits).Fig. 4Model fits of the deviant tone for healthy controls from the memantine-placebo study.Observed responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant on (a) placebo or (b) memantine. DEV, deviant; pred, predicted; obs, observed.Fig. 5Model fits of the deviant tone for people with Alzheimer’s disease.Observed responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant at (a) baseline or (b) follow-up session. DEV, deviant; pred, predicted; obs, observed.\nObserved responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant on (a) placebo or (b) memantine. DEV, deviant; pred, predicted; obs, observed.\nObserved responses (cyan) and model-generated responses (grey) to the deviant tone of the mismatch negativity paradigm for each participant at (a) baseline or (b) follow-up session. DEV, deviant; pred, predicted; obs, observed.\n\n\n### Second-level analysis\nWe used a hierarchical regression model, namely PEB, that takes both posterior estimates and covariances of parameters to the second level [44]. At the first level of the PEB, DCMs explain how neural activity causes individual evoked responses with all parameters fixed apart from the parameters of interest (see below). The parameters of interest are modelled at the second level with a general linear model. The second level uses a hierarchical variational Bayesian inversion that constrains posterior parameter estimates by the user-specified regressors to improve model evidence. Hypotheses can be tested by comparing the free energy of PEB models with different combinations of parameters explaining the second-level effect.\n\n\n### Second-level analysis for memantine versus placebo in control participants\nSecond-level group PEB analyses were performed with different sets of parameters to test biological hypotheses about the effect of memantine on the cortical microcircuit. These parameter sets were: 1) GABA time constants, 2) AMPA time constants, 3) NMDA time constants and 4) NMDA channel blockade. Separate models were run in which only one of these parameter sets was free to vary, plus a fifth model in which they were all allowed to vary. Each PEB included a constant term and a regressor capturing group (memantine versus placebo). The free energies of the PEB models were converted to posterior probabilities with the softmax function to identify the likely PEB model whose parameters best explained the effect of memantine.\n\n\n### Second-level analysis of NMDA channel blockade in alzheimer’s disease\nTo explore the pathological effect of Alzheimer’s disease, second level PEB analyses were tested with the winning NMDA channel blockade parameters in the Alzheimer’s disease group. A PEB model was tested in which the mean-centred MMSE baseline values were added as a regressor (along with the constant term). The PEB posterior estimate of the expected value of NMDA channel blockade parameters that differed from 0 with a posterior probability >0.95 were extracted from baseline DCMs for each person with Alzheimer’s disease and plotted against their MMSE score (Fig. 3).\nFinally, a longitudinal PEB analysis was also performed on DCMs from people with Alzheimer’s disease, to assess how NMDA channel blockade changes with disease progression, with constant and session (baseline versus follow up) as regressors. A third regressor specified the time in years between the baseline and follow-up scans for each patient (0 for baseline scans and with scores from 0.8–2.2 for follow-up scans mean-centred and standardised). PEB posterior estimates of the NMDA blockade parameter that differed from 0 with a posterior probability >0.95 were extracted and plotted against session.\nFor each PEB model, Bayesian model comparison and averaging was performed over a model space of all parameter combinations.\n\n\n### Supplementary information\nSupplementary material\nSupplementary material", "domain": "affective_neuroscience"}
{"source": "PMC12903115", "title": "Inferring neural sources from electroencephalography: foundations and frontiers", "text": "# Inferring neural sources from electroencephalography: foundations and frontiers\n\n## Abstract\nElectroencephalography (EEG) provides robust, cost-effective, and portable measurements of brain electrical activity. However, its spatial resolution is limited, constraining the localization and estimation of deep sources. Although methods exist to infer neural activity from scalp recordings, major challenges remain due to high dimensionality, temporal overlap among neural sources, and anatomical variability in head geometry. This topical review synthesizes inverse modeling approaches, with emphasis on nonlinear methods, multimodal integration, and high-density EEG systems that address these limitations. We also review the forward model and related background theory, summarize clinical applications, outline research directions, and identify available software tools and relevant publicly available datasets. Our goal is to help researchers understand traditional source estimation techniques and integrate advanced methods that may better capture the complexity of neurophysiological sources.\n\n## Full Text\n\n\n### Introduction\nAs early as 1875, researchers have recorded electrical signals from living mammalian brains [1]. Fifty years later, in the 1920s, researchers began to record electroencephalography (EEG) from the human scalp, sparking decades of investigation and debate regarding the source of this signal [2]. By the 1970s experimental neurobiologists, theoretical biophysicists, clinical researchers, and electrical engineers were all actively contributing to the burgeoning field of EEG source analysis [3–7]. Theories emerged regarding a dipole model of EEG sources, where intracellular and extracellular flow of ions in pyramidal neurons create dipolar charges large enough to be measured at a distance [8]. However, the realities of winding gyri and sulci beneath heterogeneously conductive cranial bone present additional challenges to the already ill-posed problem of source estimation from EEG [9]. Regardless, it became clear that the EEG system of electrical sensors recording from the scalp, despite its challenges, offered a promising method to noninvasively infer underlying neurophysiological activity.\nIn the hundred years following this early pioneering work, researchers and clinicians have found numerous uses of the EEG signal. These uses include guiding neurologists and neurosurgeons to treat epilepsy, providing anesthesiologists measures of consciousness, assisting somnologists in sleep stage analysis, and offering cognitive scientists a glimpse into the stereotyped activity relating to perception and language processing [10–13]. The EEG signal has also been explored as a biomarker for numerous conditions, including depression, mild traumatic brain injury, and dementia [14–16]. At the same time, advances in techniques for source estimation from EEG have allowed for improved spatial resolution, scientific discovery, and clinical applications [17]. The development of high-density EEG (hd-EEG), which employs 64 or more channels, has helped overcome the spatial resolution limitations of standard EEG systems and improve the performance of source localization methods [18, 19]. EEG remains a popular choice for the development of noninvasive neurophysiological biomarkers and brain-computer interfaces due to its relatively low-cost and portable nature [20].\nHowever, EEG is not the only modality for measuring neural activity. Invasive approaches such as stereotactic EEG (sEEG) involve the implantation of depth electrodes, enabling the recording of electrical activity closer to the sources. Other noninvasive alternatives leverage magnetic techniques to image neural activity, which often require cryogenic cooling and shielded environments, limiting their portability. Magnetoencephalography (MEG), for example, detects the magnetic fields generated by currents in the skull, offering a complementary signal to EEG due to the orthogonal orientation of the electric and magnetic field components. Other modalities contribute by modeling the biophysical structure of the subject’s head or by inferring neural activity indirectly through changes in blood flow and oxygenation, which are believed to reflect underlying neuronal activation. Magnetic resonance imaging (MRI), for example, although primarily used for structural imaging to help biophysical modeling of cranial geometries, can also capture functional activity of neural sources through techniques such as functional MRI (fMRI). Each modality offers distinct advantages and limitations in terms of spatial resolution, temporal resolution, invasiveness, and portability, but none of the methods are as portable or economical as EEG.\nThis topical review synthesizes neural source estimation and localization techniques emphasizing EEG-based approaches. We begin by reviewing the background on neural sources and modalities to measure these sources before summarizing models that solve the forward problem of propagating source activity to sensor measurement recordings. We then review existing models to solve the inverse problem of estimating source activity from the sensor measurements. An illustration of the forward and inverse problem of neural source estimation and electromagnetic recording modalities is shown in figure 1. The review includes a summary of state-of-the-art methods, including techniques that model nonlinearities, scale to higher-density EEG recording systems, and leverage multiple modalities. Additionally, we discuss extensions of source estimations, such as estimating invasive measurements from noninvasive measurements. This discussion includes a summary of the key challenges remaining in neurophysiological source estimation. After reviewing techniques for source estimation, we synthesize the clinical uses of neural source estimation in practice today and potential future applications of neural source estimation and review the existing software and data available for researchers and clinicians to estimate source activity from EEG data. Finally, we propose a strategic roadmap for the field, outlining concrete milestones across varied time horizons to continue improving neural source estimation techniques. This work aims to offer a summary of the state-of-the-art techniques and challenges in neural source estimation, extending beyond linear inverse problem modeling on standard EEG systems.\nOverview of the forward and inverse problems in neural source estimation and associated recording modalities. (a) Schematic representation of the relationship between neural activity and sensor data. Here, the forward problem models how electromagnetic fields generated by distributed neuronal sources propagate through head tissues to be recorded as measurements at the sensors, and the inverse problem leverages these sensor measurements to estimate the location, orientation, and amplitude of the underlying sources in the brain, which may be time-varying. (b) Illustration of the dipolar model of neuronal activity, where ensembles of pyramidal neurons form equivalent dipole moments due to the flow of ions across the length of the cell. (c) Common electromagnetic sensing modalities used to record neural activity. These include noninvasive methods, such as magnetoencephalography (MEG) and electroencephalography (EEG), and invasive intracranial methods, including electrocorticography (ECoG) placed on the cortical surface and stereoelectroencephalography (sEEG) using penetrating depth electrodes.\n\n\n### Background\nFrom a signal processing perspective, sources refer to the generators of signals. In other words, a source is the origin of information. In the context of the brain, the nature of neural sources has been debated [21, 22].\nThe dipole theory is a biophysical theory that relies on fundamental electromagnetic physics and volume conduction for the neuronal source to be measurable at a distance. The cellular origin of these dipolar sources is widely attributed to pyramidal neurons [23], whose aligned geometry and orientation within the cortex facilitate the summation of extracellular potentials and allow for spatially distributed current flows rather than a simple imbalance of charge. During synaptic activation, ionic flow into the cell at the distal dendrites and exit via other parts such as the soma or basal dendrites, creating a separation of charge and forming postsynaptic transmembrane currents [24]. As a result, the dipole theory of neurological sources models current sources or sinks within neuronal tissue via equivalent current dipole moments (illustrated in figure 1(b)), which are measured in Ampere-meters (A-m). The current of a single pyramidal neuron’s postsynaptic potential is typically modeled to be on the order of 20 fA·m, which suggests that evoked potentials observed in scalp recordings on the order of 10 nA·m comprise millions of synapses [25]. Biophysicists continue to add detail to this equivalent dipole model of neural sources, accounting for action potential quadrupoles, reversal potential, and presynaptic activity [26–28].\nMore detailed theories of neural sources expand beyond the notion of simple localized dipoles measurable at a distance via volume conduction. Simpler models of brain sources assume a limited number of dipoles in fixed locations, while more realistic models seek to estimate current sources distributed throughout the brain [29, 30]. Additionally, some neurophysiologists have preferred to view sources of measurable electrical brain activity as the result of cortical field potentials modulated by interactions with tissue [31]. The interaction of electrophysiological activity with tissue poses numerous challenges to the estimation of source activity. Volume conduction of the electrical activity along conductive pathways implicates changing dielectric properties of the brain tissue, cerebral fluids, and cranial bone [32–34]. Researchers in 2009 summarized 4 working source activity models: the equivalent-current dipole model, dipolar models in overdetermined problems, the cortical model, and the potential distribution inside the head [35]. The equivalent-current dipole model referred to the assumption of a single macro dipole, and the dipolar models in overdetermined problems referred to the models considering a small number of sources. The cortical model assumed no contribution of deep sources, while the potential distribution model generalizes across these models without making claims regarding the origins of these potential sources. Since that time, researchers have converged upon the distributed potentials resulting from micro and macro current sources and sinks forming dipoles or higher order n-poles [8, 36]. Additionally, research indicates that subcortical activity influences electrophysiological recordings of brain activity, especially with high density EEG [37] or MEG [38].\nFor many engineers and clinicians, the exact nature of neural sources is secondary to its utility as an underlying signal that can cause or explain neurological or psychiatric function and dysfunction. From the engineering perspective, the problem of estimating sources across the brain is underdetermined with multiple potential solutions, so biological, physical, or application-driven constraints are necessary to find purported sources of activity. As a result, researchers often take data-driven approaches, making use of functional connectivity and biophysical assumptions to estimate sources [39, 40]. Clinicians, especially in epilepsy monitoring units, focus on identifying functional regions, such as the epileptogenic zone and eloquent cortex [41, 42]. From these practical perspectives, the benefits of source estimation techniques are their ability to explain and treat neurophysiological function and dysfunction.\nNeural source activity is measured via two main categories: direct electromagnetic recordings and indirect hemodynamic measurements. Electromagnetic methods offer high temporal resolution, while hemodynamic methods may provide greater spatial resolution, with ongoing efforts to integrate modalities. In the following sections, we offer a brief overview of the modalities available to infer neural source activity and highlight active areas of research focused on integrating multiple modalities.\nEEG measures brain electrical activity as voltage differences between an electrode and a reference. Scalp EEG uses a standardized array to record scalp voltages against a non-neuronal reference, such as the mastoid bones or earlobe. Computational processing allows re-referencing and algorithms to estimate scalp-measurable source potentials. Source estimation algorithms may assume fixed [43, 44] or distributed sources [45, 46]. Key challenges include noise (e.g. motion artifacts, electromagnetic interference, heterogeneous propagation) and limited spatiotemporal resolution (depth and cortical). hd-EEG arrays improve spatial resolution [18, 19]. Approaches addressing these limitations include incorporating individual morphology via multimodal imaging [47, 48] and using complementary modalities like MEG and functional near-infrared spectroscopy (fNIRS) to improve source estimation quality and efficiency [49–53]. For reviews on the history and applications of EEG source localization, see [2, 14, 30, 54, 55].\nsEEG measures extracellular electric potential inside the brain via neurosurgically inserted penetrating depth electrodes. This provides voltage measurements closer to the source, reducing attenuation and noise compared to scalp EEG. However, the procedure is invasive, requiring specialized neurosurgeons and equipment [56]. While a meta-analysis found complication rates of 0.9%–1.7% [57], a recent large cohort study reported zero complications [58]. The heterogeneous and subject-specific spatial distribution of sEEG contacts complicates inverse modeling and algorithm generalization, requiring precise morphological and contact locations to be accounted for [59]. Automated or semi-automated frameworks using pre-surgical MRI and post-implantation CT scans help localize these contacts [60–63]. The sEEG recordings serve as a complementary modality for data-driven scalp EEG source localization techniques [64–66]. Due to its invasive nature, sEEG is clinically restricted (e.g. drug-resistant epilepsy) and infeasible for source estimation in most populations [67]. Nonetheless, intracranial clinical and animal recordings offer a valuable research resource and potential training signal for source estimation models, and there is active research in identifying the shared information between scalp and intracranial EEG (iEEG) [68–70].\nECoG, another form of iEEG, involves electrodes placed beneath the skull on the cortex surface, either subdurally or epidurally [71]. Used clinically since 1939, ECoG monitors epileptiform activity and guides resection surgery, especially for superficial regions [72, 73], and is also used to study network dysfunction in Parkinson’s disease [74, 75]. Many centers now prefer sEEG because it is less invasive, samples 3D cortical/subcortical structures, and has lower complication rates (e.g. hemorrhage, infection) [76]. ECoG (like sEEG) offers high temporal/spatial fidelity, avoiding skull-induced signal attenuation, but lacks sEEG’s 3D spatial coverage [77]. Several studies have demonstrated that incorporating ECoG signals into inverse modeling pipelines can improve source localization accuracy, especially when used to constrain or validate solutions [77–79]. As a result, similar benefits may be obtained by using sEEG data to constrain noninvasive source estimation techniques.\nMEG records neural activity from brain electrical currents using magnetometers to measure magnetic field changes and gradiometers to measure their spatial gradients. As a result, MEG measures aspects of the source electromagnetic field complementary to EEG. Magnetic fields generated by neural currents are also less sensitive to tissue and bone attenuation than electric field potentials. However, the interface between tissues of differing conductivities, such as the skull [80] cerebrospinal fluid (CSF) [81], can alter the distribution of secondary volumetric currents, which influence the measured field. This technology was first enabled by superconducting quantum interference devices, which require significant amounts of cooling that limits their portability [82]. In recent years, researchers have developed more portable magnetometers that function at ambient temperatures. These technologies include the spin-exchange-relaxation-free (SERF) optically pumped magnetometer (OPM) [83] and the magnetic-field-modulation-free OPM [84], the latter achieving broader bandwidth than the SERF OPM. Further advances in MEG portability will help expand its utility in source localization and estimation. We direct the reader to [25, 85] for further reading on MEG source estimation.\nMEG, along with scalp, stereo, and iEEG are the primary means to directly measure source electrical activity. However, several modalities measure the hemodynamic response, which is believed to correspond to source activity [86]. Although these measurements do not directly measure dipolar sources, functional measures of source activity have shown promise in localizing and estimating cortical and subcortical activity. Additionally, functional and indirect measurements have shown a complementary role in source estimation by capturing neurophysiological dynamics.\nMRI uses magnetic fields and radio pulses to generate images of tissue. Structural MRI provides 3D brain images with resolutions from ∼0.2 mm at 11.7 T, to 0.5 mm at 7 T, and 1–2 mm at 3 T [87–90]. These high-resolution images can help constrain subject-specific biophysical source modeling and localize intracranial recording contacts. fMRI infers neuronal activity from blood-oxygen-level-dependent changes in blood flow [91]. While this method is noninvasive and offers strong spatial resolution, the temporal resolution is limited to seconds. Although some studies have reached sub-second sampling rates [92, 93], the seconds-long biological timescale of the hemodynamic response [94] remains a limiting factor for further technical advances. MRI systems usually require large, cooled magnets, but low-field portable scanners are emerging [95–97]. Multimodal integration of fMRI with EEG has shown improved source localization spatial resolution [48, 98, 99]. However, EEG systems are not always MRI compatible, and MRI compatible EEG signals are typically contaminated with artifacts despite ongoing artifact reduction efforts [100]. When feasible, fMRI remains a useful concurrent modality for estimating source activity.\nfNIRS uses the absorption of near-infrared light by oxygenated and deoxygenated hemoglobin to estimate hemodynamic activity. Since its first single-channel recordings in 1992, fNIRS has developed into multichannel systems capable of three-dimensional tomographic reconstructions [101]. High-density diffuse optical tomography (HD-DOT) helps extend the limited field of view, but imaging sensitivity remains limited beyond 1.5–2 cm beneath the skull [102]. Techniques such as confocal time-of-flight DOT have been shown to improve the resolution to millimeter scales [103]. The 2–10 Hz temporal resolution of fNIRS is faster than fMRI but slower than EEG [104]. As with fMRI, the biological timescale of the hemodynamic response constrains fNIRS analysis. Integrating fNIRS with electrical modalities, such as EEG, may offer complementary information that enhances functional network modeling and helps localize pathological source regions, including the epileptogenic zone [105–107]. Given its potential as a portable, noninvasive complement to scalp EEG, further research on synchronous EEG-fNIRS recordings for source estimation is needed.\nWhile fNIRS and fMRI are the most commonly used noninvasive methods for measuring brain activity besides EEG, several other modalities are worth mentioning due to their role as complementary modalities. For example, emission tomography such as positron emission tomography (PET) and single-photon emission computed tomography (SPECT) use radiotracers to measure cerebrovascular activity [108]. These methods have limited spatial resolution or source estimation capability on their own, but demonstrate improved ability to determine diagnostic outcomes when combined with EEG source imaging [109, 110], although the expensive and non-portable nature of emission tomography limit their widespread use.\nOther modalities remain in earlier stages of development for functional source imaging. Functional ultrasound (fUS) leverages the Doppler effect and ultrasound waves to image fluid flow. While this method is useful for measuring blood flow velocity in major arteries, it has also been used to image neuronal hemodynamic responses in humans [111, 112] and efforts are underway to integrate EEG with fUS [113]. Photoacoustic tomography (PAT) is an emerging technology that also leverages ultrasonic principles by pulsing laser light which is absorbed by the tissue and causes thermoelastic expansion that generates ultrasound waves [114]. PAT achieves greater penetration depth for imaging than fNIRS [115] and has been used to measure BOLD signal in humans [116], but further work is needed to determine proper molecular targets [117] and develop algorithms that incorporate EEG and estimate source activity. Another promising noninvasive modality is electromagnetic wave-based imaging (EMI). Gigahertz frequency waves have been used to estimate varying dielectric properties of tissue, including the brain [118–120], where researchers are investigating the detection and localization of stroke [121, 122]. Because the dielectric properties are expected to change not only with changes in blood flow but with ionic concentration changes caused by action potentials, there are efforts to estimate neuronal firing with EMI [123, 124], but further work is needed to ensure the focality of the measurement and maintain specific absorption radiation rates within the safe limits.\nTo improve source EEG and MEG localization and estimation, promising complementary modalities could help determine conductivity for personalized modeling. Electrical impedance tomography (EIT), for example measures tissue conductivity using small currents and can track intracranial conductivity changes related to blood flow and pressure [125, 126]. It has clinical applications [127, 128], complements EEG/MEG with patient-specific conductivity models [129], and can even image neuronal activity at high spatiotemporal resolution in peripheral nerves [130, 131]. Integrating EIT with OPMs is an emerging approach for fast, noninvasive source imaging [132]. An even more nascent conductivity measuring method is magnetoacoustic tomography (MAT), where a time-varying external magnetic field generates acoustic fields which can estimate the conductivity distribution of tissue [133]. Research efforts continue to be made to develop MAT systems and characterize their biophysical responses, especially as a technique for electrical impedance imaging [134, 135]. Modalities that measure head conductivity need more research to validate their measurements and to build models that can properly use that data.\nThese modalities each represent promising directions for noninvasive imaging of neural activity, but further work is needed to develop the methodologies, validate their biological interpretation, and integrate these techniques with modalities, such as EEG and MEG, that directly measure electrical activity in the brain.\n\n\n### What are neural sources?\nFrom a signal processing perspective, sources refer to the generators of signals. In other words, a source is the origin of information. In the context of the brain, the nature of neural sources has been debated [21, 22].\nThe dipole theory is a biophysical theory that relies on fundamental electromagnetic physics and volume conduction for the neuronal source to be measurable at a distance. The cellular origin of these dipolar sources is widely attributed to pyramidal neurons [23], whose aligned geometry and orientation within the cortex facilitate the summation of extracellular potentials and allow for spatially distributed current flows rather than a simple imbalance of charge. During synaptic activation, ionic flow into the cell at the distal dendrites and exit via other parts such as the soma or basal dendrites, creating a separation of charge and forming postsynaptic transmembrane currents [24]. As a result, the dipole theory of neurological sources models current sources or sinks within neuronal tissue via equivalent current dipole moments (illustrated in figure 1(b)), which are measured in Ampere-meters (A-m). The current of a single pyramidal neuron’s postsynaptic potential is typically modeled to be on the order of 20 fA·m, which suggests that evoked potentials observed in scalp recordings on the order of 10 nA·m comprise millions of synapses [25]. Biophysicists continue to add detail to this equivalent dipole model of neural sources, accounting for action potential quadrupoles, reversal potential, and presynaptic activity [26–28].\nMore detailed theories of neural sources expand beyond the notion of simple localized dipoles measurable at a distance via volume conduction. Simpler models of brain sources assume a limited number of dipoles in fixed locations, while more realistic models seek to estimate current sources distributed throughout the brain [29, 30]. Additionally, some neurophysiologists have preferred to view sources of measurable electrical brain activity as the result of cortical field potentials modulated by interactions with tissue [31]. The interaction of electrophysiological activity with tissue poses numerous challenges to the estimation of source activity. Volume conduction of the electrical activity along conductive pathways implicates changing dielectric properties of the brain tissue, cerebral fluids, and cranial bone [32–34]. Researchers in 2009 summarized 4 working source activity models: the equivalent-current dipole model, dipolar models in overdetermined problems, the cortical model, and the potential distribution inside the head [35]. The equivalent-current dipole model referred to the assumption of a single macro dipole, and the dipolar models in overdetermined problems referred to the models considering a small number of sources. The cortical model assumed no contribution of deep sources, while the potential distribution model generalizes across these models without making claims regarding the origins of these potential sources. Since that time, researchers have converged upon the distributed potentials resulting from micro and macro current sources and sinks forming dipoles or higher order n-poles [8, 36]. Additionally, research indicates that subcortical activity influences electrophysiological recordings of brain activity, especially with high density EEG [37] or MEG [38].\nFor many engineers and clinicians, the exact nature of neural sources is secondary to its utility as an underlying signal that can cause or explain neurological or psychiatric function and dysfunction. From the engineering perspective, the problem of estimating sources across the brain is underdetermined with multiple potential solutions, so biological, physical, or application-driven constraints are necessary to find purported sources of activity. As a result, researchers often take data-driven approaches, making use of functional connectivity and biophysical assumptions to estimate sources [39, 40]. Clinicians, especially in epilepsy monitoring units, focus on identifying functional regions, such as the epileptogenic zone and eloquent cortex [41, 42]. From these practical perspectives, the benefits of source estimation techniques are their ability to explain and treat neurophysiological function and dysfunction.\n\n\n### How are sources measured?\nNeural source activity is measured via two main categories: direct electromagnetic recordings and indirect hemodynamic measurements. Electromagnetic methods offer high temporal resolution, while hemodynamic methods may provide greater spatial resolution, with ongoing efforts to integrate modalities. In the following sections, we offer a brief overview of the modalities available to infer neural source activity and highlight active areas of research focused on integrating multiple modalities.\n\n\n### Direct electromagnetic recodings\nEEG measures brain electrical activity as voltage differences between an electrode and a reference. Scalp EEG uses a standardized array to record scalp voltages against a non-neuronal reference, such as the mastoid bones or earlobe. Computational processing allows re-referencing and algorithms to estimate scalp-measurable source potentials. Source estimation algorithms may assume fixed [43, 44] or distributed sources [45, 46]. Key challenges include noise (e.g. motion artifacts, electromagnetic interference, heterogeneous propagation) and limited spatiotemporal resolution (depth and cortical). hd-EEG arrays improve spatial resolution [18, 19]. Approaches addressing these limitations include incorporating individual morphology via multimodal imaging [47, 48] and using complementary modalities like MEG and functional near-infrared spectroscopy (fNIRS) to improve source estimation quality and efficiency [49–53]. For reviews on the history and applications of EEG source localization, see [2, 14, 30, 54, 55].\nsEEG measures extracellular electric potential inside the brain via neurosurgically inserted penetrating depth electrodes. This provides voltage measurements closer to the source, reducing attenuation and noise compared to scalp EEG. However, the procedure is invasive, requiring specialized neurosurgeons and equipment [56]. While a meta-analysis found complication rates of 0.9%–1.7% [57], a recent large cohort study reported zero complications [58]. The heterogeneous and subject-specific spatial distribution of sEEG contacts complicates inverse modeling and algorithm generalization, requiring precise morphological and contact locations to be accounted for [59]. Automated or semi-automated frameworks using pre-surgical MRI and post-implantation CT scans help localize these contacts [60–63]. The sEEG recordings serve as a complementary modality for data-driven scalp EEG source localization techniques [64–66]. Due to its invasive nature, sEEG is clinically restricted (e.g. drug-resistant epilepsy) and infeasible for source estimation in most populations [67]. Nonetheless, intracranial clinical and animal recordings offer a valuable research resource and potential training signal for source estimation models, and there is active research in identifying the shared information between scalp and intracranial EEG (iEEG) [68–70].\nECoG, another form of iEEG, involves electrodes placed beneath the skull on the cortex surface, either subdurally or epidurally [71]. Used clinically since 1939, ECoG monitors epileptiform activity and guides resection surgery, especially for superficial regions [72, 73], and is also used to study network dysfunction in Parkinson’s disease [74, 75]. Many centers now prefer sEEG because it is less invasive, samples 3D cortical/subcortical structures, and has lower complication rates (e.g. hemorrhage, infection) [76]. ECoG (like sEEG) offers high temporal/spatial fidelity, avoiding skull-induced signal attenuation, but lacks sEEG’s 3D spatial coverage [77]. Several studies have demonstrated that incorporating ECoG signals into inverse modeling pipelines can improve source localization accuracy, especially when used to constrain or validate solutions [77–79]. As a result, similar benefits may be obtained by using sEEG data to constrain noninvasive source estimation techniques.\nMEG records neural activity from brain electrical currents using magnetometers to measure magnetic field changes and gradiometers to measure their spatial gradients. As a result, MEG measures aspects of the source electromagnetic field complementary to EEG. Magnetic fields generated by neural currents are also less sensitive to tissue and bone attenuation than electric field potentials. However, the interface between tissues of differing conductivities, such as the skull [80] cerebrospinal fluid (CSF) [81], can alter the distribution of secondary volumetric currents, which influence the measured field. This technology was first enabled by superconducting quantum interference devices, which require significant amounts of cooling that limits their portability [82]. In recent years, researchers have developed more portable magnetometers that function at ambient temperatures. These technologies include the spin-exchange-relaxation-free (SERF) optically pumped magnetometer (OPM) [83] and the magnetic-field-modulation-free OPM [84], the latter achieving broader bandwidth than the SERF OPM. Further advances in MEG portability will help expand its utility in source localization and estimation. We direct the reader to [25, 85] for further reading on MEG source estimation.\n\n\n### Electroencephalography\nEEG measures brain electrical activity as voltage differences between an electrode and a reference. Scalp EEG uses a standardized array to record scalp voltages against a non-neuronal reference, such as the mastoid bones or earlobe. Computational processing allows re-referencing and algorithms to estimate scalp-measurable source potentials. Source estimation algorithms may assume fixed [43, 44] or distributed sources [45, 46]. Key challenges include noise (e.g. motion artifacts, electromagnetic interference, heterogeneous propagation) and limited spatiotemporal resolution (depth and cortical). hd-EEG arrays improve spatial resolution [18, 19]. Approaches addressing these limitations include incorporating individual morphology via multimodal imaging [47, 48] and using complementary modalities like MEG and functional near-infrared spectroscopy (fNIRS) to improve source estimation quality and efficiency [49–53]. For reviews on the history and applications of EEG source localization, see [2, 14, 30, 54, 55].\n\n\n### sEEG\nsEEG measures extracellular electric potential inside the brain via neurosurgically inserted penetrating depth electrodes. This provides voltage measurements closer to the source, reducing attenuation and noise compared to scalp EEG. However, the procedure is invasive, requiring specialized neurosurgeons and equipment [56]. While a meta-analysis found complication rates of 0.9%–1.7% [57], a recent large cohort study reported zero complications [58]. The heterogeneous and subject-specific spatial distribution of sEEG contacts complicates inverse modeling and algorithm generalization, requiring precise morphological and contact locations to be accounted for [59]. Automated or semi-automated frameworks using pre-surgical MRI and post-implantation CT scans help localize these contacts [60–63]. The sEEG recordings serve as a complementary modality for data-driven scalp EEG source localization techniques [64–66]. Due to its invasive nature, sEEG is clinically restricted (e.g. drug-resistant epilepsy) and infeasible for source estimation in most populations [67]. Nonetheless, intracranial clinical and animal recordings offer a valuable research resource and potential training signal for source estimation models, and there is active research in identifying the shared information between scalp and intracranial EEG (iEEG) [68–70].\n\n\n### Electrocorticography (ECoG)\nECoG, another form of iEEG, involves electrodes placed beneath the skull on the cortex surface, either subdurally or epidurally [71]. Used clinically since 1939, ECoG monitors epileptiform activity and guides resection surgery, especially for superficial regions [72, 73], and is also used to study network dysfunction in Parkinson’s disease [74, 75]. Many centers now prefer sEEG because it is less invasive, samples 3D cortical/subcortical structures, and has lower complication rates (e.g. hemorrhage, infection) [76]. ECoG (like sEEG) offers high temporal/spatial fidelity, avoiding skull-induced signal attenuation, but lacks sEEG’s 3D spatial coverage [77]. Several studies have demonstrated that incorporating ECoG signals into inverse modeling pipelines can improve source localization accuracy, especially when used to constrain or validate solutions [77–79]. As a result, similar benefits may be obtained by using sEEG data to constrain noninvasive source estimation techniques.\n\n\n### Magnetoencephalography\nMEG records neural activity from brain electrical currents using magnetometers to measure magnetic field changes and gradiometers to measure their spatial gradients. As a result, MEG measures aspects of the source electromagnetic field complementary to EEG. Magnetic fields generated by neural currents are also less sensitive to tissue and bone attenuation than electric field potentials. However, the interface between tissues of differing conductivities, such as the skull [80] cerebrospinal fluid (CSF) [81], can alter the distribution of secondary volumetric currents, which influence the measured field. This technology was first enabled by superconducting quantum interference devices, which require significant amounts of cooling that limits their portability [82]. In recent years, researchers have developed more portable magnetometers that function at ambient temperatures. These technologies include the spin-exchange-relaxation-free (SERF) optically pumped magnetometer (OPM) [83] and the magnetic-field-modulation-free OPM [84], the latter achieving broader bandwidth than the SERF OPM. Further advances in MEG portability will help expand its utility in source localization and estimation. We direct the reader to [25, 85] for further reading on MEG source estimation.\n\n\n### Functional hemodynamic measurements\nMEG, along with scalp, stereo, and iEEG are the primary means to directly measure source electrical activity. However, several modalities measure the hemodynamic response, which is believed to correspond to source activity [86]. Although these measurements do not directly measure dipolar sources, functional measures of source activity have shown promise in localizing and estimating cortical and subcortical activity. Additionally, functional and indirect measurements have shown a complementary role in source estimation by capturing neurophysiological dynamics.\nMRI uses magnetic fields and radio pulses to generate images of tissue. Structural MRI provides 3D brain images with resolutions from ∼0.2 mm at 11.7 T, to 0.5 mm at 7 T, and 1–2 mm at 3 T [87–90]. These high-resolution images can help constrain subject-specific biophysical source modeling and localize intracranial recording contacts. fMRI infers neuronal activity from blood-oxygen-level-dependent changes in blood flow [91]. While this method is noninvasive and offers strong spatial resolution, the temporal resolution is limited to seconds. Although some studies have reached sub-second sampling rates [92, 93], the seconds-long biological timescale of the hemodynamic response [94] remains a limiting factor for further technical advances. MRI systems usually require large, cooled magnets, but low-field portable scanners are emerging [95–97]. Multimodal integration of fMRI with EEG has shown improved source localization spatial resolution [48, 98, 99]. However, EEG systems are not always MRI compatible, and MRI compatible EEG signals are typically contaminated with artifacts despite ongoing artifact reduction efforts [100]. When feasible, fMRI remains a useful concurrent modality for estimating source activity.\nfNIRS uses the absorption of near-infrared light by oxygenated and deoxygenated hemoglobin to estimate hemodynamic activity. Since its first single-channel recordings in 1992, fNIRS has developed into multichannel systems capable of three-dimensional tomographic reconstructions [101]. High-density diffuse optical tomography (HD-DOT) helps extend the limited field of view, but imaging sensitivity remains limited beyond 1.5–2 cm beneath the skull [102]. Techniques such as confocal time-of-flight DOT have been shown to improve the resolution to millimeter scales [103]. The 2–10 Hz temporal resolution of fNIRS is faster than fMRI but slower than EEG [104]. As with fMRI, the biological timescale of the hemodynamic response constrains fNIRS analysis. Integrating fNIRS with electrical modalities, such as EEG, may offer complementary information that enhances functional network modeling and helps localize pathological source regions, including the epileptogenic zone [105–107]. Given its potential as a portable, noninvasive complement to scalp EEG, further research on synchronous EEG-fNIRS recordings for source estimation is needed.\nWhile fNIRS and fMRI are the most commonly used noninvasive methods for measuring brain activity besides EEG, several other modalities are worth mentioning due to their role as complementary modalities. For example, emission tomography such as positron emission tomography (PET) and single-photon emission computed tomography (SPECT) use radiotracers to measure cerebrovascular activity [108]. These methods have limited spatial resolution or source estimation capability on their own, but demonstrate improved ability to determine diagnostic outcomes when combined with EEG source imaging [109, 110], although the expensive and non-portable nature of emission tomography limit their widespread use.\nOther modalities remain in earlier stages of development for functional source imaging. Functional ultrasound (fUS) leverages the Doppler effect and ultrasound waves to image fluid flow. While this method is useful for measuring blood flow velocity in major arteries, it has also been used to image neuronal hemodynamic responses in humans [111, 112] and efforts are underway to integrate EEG with fUS [113]. Photoacoustic tomography (PAT) is an emerging technology that also leverages ultrasonic principles by pulsing laser light which is absorbed by the tissue and causes thermoelastic expansion that generates ultrasound waves [114]. PAT achieves greater penetration depth for imaging than fNIRS [115] and has been used to measure BOLD signal in humans [116], but further work is needed to determine proper molecular targets [117] and develop algorithms that incorporate EEG and estimate source activity. Another promising noninvasive modality is electromagnetic wave-based imaging (EMI). Gigahertz frequency waves have been used to estimate varying dielectric properties of tissue, including the brain [118–120], where researchers are investigating the detection and localization of stroke [121, 122]. Because the dielectric properties are expected to change not only with changes in blood flow but with ionic concentration changes caused by action potentials, there are efforts to estimate neuronal firing with EMI [123, 124], but further work is needed to ensure the focality of the measurement and maintain specific absorption radiation rates within the safe limits.\nTo improve source EEG and MEG localization and estimation, promising complementary modalities could help determine conductivity for personalized modeling. Electrical impedance tomography (EIT), for example measures tissue conductivity using small currents and can track intracranial conductivity changes related to blood flow and pressure [125, 126]. It has clinical applications [127, 128], complements EEG/MEG with patient-specific conductivity models [129], and can even image neuronal activity at high spatiotemporal resolution in peripheral nerves [130, 131]. Integrating EIT with OPMs is an emerging approach for fast, noninvasive source imaging [132]. An even more nascent conductivity measuring method is magnetoacoustic tomography (MAT), where a time-varying external magnetic field generates acoustic fields which can estimate the conductivity distribution of tissue [133]. Research efforts continue to be made to develop MAT systems and characterize their biophysical responses, especially as a technique for electrical impedance imaging [134, 135]. Modalities that measure head conductivity need more research to validate their measurements and to build models that can properly use that data.\nThese modalities each represent promising directions for noninvasive imaging of neural activity, but further work is needed to develop the methodologies, validate their biological interpretation, and integrate these techniques with modalities, such as EEG and MEG, that directly measure electrical activity in the brain.\n\n\n### fMRI\nMRI uses magnetic fields and radio pulses to generate images of tissue. Structural MRI provides 3D brain images with resolutions from ∼0.2 mm at 11.7 T, to 0.5 mm at 7 T, and 1–2 mm at 3 T [87–90]. These high-resolution images can help constrain subject-specific biophysical source modeling and localize intracranial recording contacts. fMRI infers neuronal activity from blood-oxygen-level-dependent changes in blood flow [91]. While this method is noninvasive and offers strong spatial resolution, the temporal resolution is limited to seconds. Although some studies have reached sub-second sampling rates [92, 93], the seconds-long biological timescale of the hemodynamic response [94] remains a limiting factor for further technical advances. MRI systems usually require large, cooled magnets, but low-field portable scanners are emerging [95–97]. Multimodal integration of fMRI with EEG has shown improved source localization spatial resolution [48, 98, 99]. However, EEG systems are not always MRI compatible, and MRI compatible EEG signals are typically contaminated with artifacts despite ongoing artifact reduction efforts [100]. When feasible, fMRI remains a useful concurrent modality for estimating source activity.\n\n\n### fNIRS\nfNIRS uses the absorption of near-infrared light by oxygenated and deoxygenated hemoglobin to estimate hemodynamic activity. Since its first single-channel recordings in 1992, fNIRS has developed into multichannel systems capable of three-dimensional tomographic reconstructions [101]. High-density diffuse optical tomography (HD-DOT) helps extend the limited field of view, but imaging sensitivity remains limited beyond 1.5–2 cm beneath the skull [102]. Techniques such as confocal time-of-flight DOT have been shown to improve the resolution to millimeter scales [103]. The 2–10 Hz temporal resolution of fNIRS is faster than fMRI but slower than EEG [104]. As with fMRI, the biological timescale of the hemodynamic response constrains fNIRS analysis. Integrating fNIRS with electrical modalities, such as EEG, may offer complementary information that enhances functional network modeling and helps localize pathological source regions, including the epileptogenic zone [105–107]. Given its potential as a portable, noninvasive complement to scalp EEG, further research on synchronous EEG-fNIRS recordings for source estimation is needed.\n\n\n### Other hemodynamic imaging modalities\nWhile fNIRS and fMRI are the most commonly used noninvasive methods for measuring brain activity besides EEG, several other modalities are worth mentioning due to their role as complementary modalities. For example, emission tomography such as positron emission tomography (PET) and single-photon emission computed tomography (SPECT) use radiotracers to measure cerebrovascular activity [108]. These methods have limited spatial resolution or source estimation capability on their own, but demonstrate improved ability to determine diagnostic outcomes when combined with EEG source imaging [109, 110], although the expensive and non-portable nature of emission tomography limit their widespread use.\nOther modalities remain in earlier stages of development for functional source imaging. Functional ultrasound (fUS) leverages the Doppler effect and ultrasound waves to image fluid flow. While this method is useful for measuring blood flow velocity in major arteries, it has also been used to image neuronal hemodynamic responses in humans [111, 112] and efforts are underway to integrate EEG with fUS [113]. Photoacoustic tomography (PAT) is an emerging technology that also leverages ultrasonic principles by pulsing laser light which is absorbed by the tissue and causes thermoelastic expansion that generates ultrasound waves [114]. PAT achieves greater penetration depth for imaging than fNIRS [115] and has been used to measure BOLD signal in humans [116], but further work is needed to determine proper molecular targets [117] and develop algorithms that incorporate EEG and estimate source activity. Another promising noninvasive modality is electromagnetic wave-based imaging (EMI). Gigahertz frequency waves have been used to estimate varying dielectric properties of tissue, including the brain [118–120], where researchers are investigating the detection and localization of stroke [121, 122]. Because the dielectric properties are expected to change not only with changes in blood flow but with ionic concentration changes caused by action potentials, there are efforts to estimate neuronal firing with EMI [123, 124], but further work is needed to ensure the focality of the measurement and maintain specific absorption radiation rates within the safe limits.\nTo improve source EEG and MEG localization and estimation, promising complementary modalities could help determine conductivity for personalized modeling. Electrical impedance tomography (EIT), for example measures tissue conductivity using small currents and can track intracranial conductivity changes related to blood flow and pressure [125, 126]. It has clinical applications [127, 128], complements EEG/MEG with patient-specific conductivity models [129], and can even image neuronal activity at high spatiotemporal resolution in peripheral nerves [130, 131]. Integrating EIT with OPMs is an emerging approach for fast, noninvasive source imaging [132]. An even more nascent conductivity measuring method is magnetoacoustic tomography (MAT), where a time-varying external magnetic field generates acoustic fields which can estimate the conductivity distribution of tissue [133]. Research efforts continue to be made to develop MAT systems and characterize their biophysical responses, especially as a technique for electrical impedance imaging [134, 135]. Modalities that measure head conductivity need more research to validate their measurements and to build models that can properly use that data.\nThese modalities each represent promising directions for noninvasive imaging of neural activity, but further work is needed to develop the methodologies, validate their biological interpretation, and integrate these techniques with modalities, such as EEG and MEG, that directly measure electrical activity in the brain.\n\n\n### Forward models\nA core challenge in neural source analysis is accurately modeling the forward propagation of source activity to scalp sensor measurements. This section reviews established approaches to the forward problem, from simplified models to more advanced methods that account for individual anatomical variability, and highlights promising directions for improving both model accuracy and computational efficiency. In EEG source analysis, the forward problem plays two key roles: it provides a biophysically grounded framework for validating source estimates and enables the generation of realistic simulations of brain activity and corresponding EEG data.\nMore broadly, estimating neural source activity typically involves three major steps: 1. modeling neural electrical activity, 2. modeling head volume conduction to relate neural sources to scalp potentials (the EEG forward problem), and 3. reconstructing source activity from EEG measurements (the inverse problem) [136, 137]. The forward problem predicts electric field measurements on the scalp given source configurations, while the inverse problem attempts to estimate the sources that gave rise to the recorded signals. The forward problem can be described as finding function \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$g$\\end{document}g (1), while the inverse problem seeks the function f (2). Here, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{S}\\in\\mathbb{R}^{p\\times T}$\\end{document}S∈Rp×T denotes the time-varying source signal across p locations and T time steps while \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{M}\\in\\mathbb{R}^{N_m\\times T}$\\end{document}M∈RNm×T denotes the signal measurements across Nm sensors or channels. Typically, Nm is between 16 and 32 channels for standard EEG or 128–256 for high density EEG, although there is evidence that as few as 6 channels may be capable of estimating a single source [138] and ultra high density EEG systems with 1024 channels are an active area of research [139], \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} g: &amp; \\ \\mathbf{S} \\mapsto \\mathbf{M}\\end{align*}\\end{document}g: S↦M\n\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} f: &amp; \\ \\mathbf{M} \\mapsto \\mathbf{S}.\\end{align*}\\end{document}f: M↦S. The accuracy of the forward model directly influences the precision of source localization and therefore plays a critical role in solving the EEG inverse problem. Traditional EEG forward models typically assume linearity, static conductivity, and isotropic tissue properties, simplifications that limit the physiological realism of the solutions [136]. Recent studies highlight the importance of incorporating more accurate, nonlinear forward models that capture biophysical complexity and individual anatomical variability, including morphological variation caused by developmental or pathological changes [140–142]. In this section, we approach the EEG forward problem by first reviewing models of neural electrical activity, including a mathematical framework, followed by an overview of the most commonly used head volume conduction models.\nWhile foundational models like the Hodgkin–Huxley formalism established the mathematics of single-neuron membrane dynamics [143], these microscopic descriptions do not scale to macroscopic neuroimaging. The Wilson–Cowan model bridged this gap by formally describing the activity of interacting neural populations [144]. However, interpreting EEG requires linking these population dynamics directly to the biophysics of signal generation, which the Jansen–Rit framework addressed by modeling the intrinsic connectivity between pyramidal cells and interneurons within a cortical column [145, 146]. Crucially, this connects mesoscopic dynamics to the EEG forward problem: the summed post-synaptic potentials of perpendicularly oriented pyramidal cells yield a time-varying equivalent current dipole. This dipole serves as the biophysical source for forward modeling of the scalp potentials, connecting neural mass equations to observable EEG signals.\nTo mathematically solve for scalp potentials, the quasi-static approximation is applied, since the low-frequency nature of EEG renders displacement currents and wave propagation within the head volume negligible. In a linear ohmic medium, the electric field is proportional to the current density and satisfies \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{E}(\\mathbf{r}) = -\\nabla\\phi(\\mathbf{r})$\\end{document}E(r)=−∇ϕ(r), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\phi(\\mathbf{r})$\\end{document}ϕ(r) is the electric scalar potential at location r. Charge conservation reduces Maxwell’s equations to the Poisson-type partial differential equation \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\nabla \\cdot \\left(\\sigma\\left(\\mathbf{r}\\right)\\,\\nabla \\phi\\left(\\mathbf{r}\\right)\\right) \\; = \\; \\nabla \\cdot \\mathbf{J}_\\mathrm{p}\\left(\\mathbf{r}\\right),\\end{align*}\\end{document}∇⋅(σ(r)∇ϕ(r))=∇⋅Jp(r), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\sigma(\\mathbf{r})$\\end{document}σ(r) denotes spatially-varying conductivity and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{J}_\\mathrm{p}$\\end{document}Jp is the primary current density caused by source activity. Under the quasi-static approximation, (3) is linear in the source term. Consequently, the potential φ generated by a single dipole scales linearly with its dipole moment, and the contributions from multiple dipoles combine via electromagnetic superposition to produce the measurable scalp potentials.\nSensor-domain mapping. In practice, researchers evaluate (3) at discrete scalp sensor locations \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_m\\}$\\end{document}{rm}. A single current dipole is the primary current density \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{J}_\\mathrm{p}$\\end{document}Jp evaluated at a singular point rq, with corresponding dipole moment q. The potential at sensor m is denoted for this dipole as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\phi\\left(\\mathbf{r}_m\\right) \\; = \\; \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_q\\right) \\cdot \\mathbf{q},\\end{align*}\\end{document}ϕ(rm)=g(rm,rq)⋅q, where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{g}(\\mathbf{r}_m,\\mathbf{r}_q)$\\end{document}g(rm,rq) is the sensor-specific lead-field vector describing the linear relationship between the unit dipole and measured electrical potential. For clarity, we adopt a theoretical ‘infinite’ reference in this notation, while in practice, recordings use a physical reference; results stated under the ‘infinite’ reference can be re-referenced in the usual way without changing the underlying physics. For multiple dipoles indexed by k, by electromagnetic superposition, the potential is simply the sum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\phi\\left(\\mathbf{r}_m\\right) \\; = \\; \\sum_k \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_{q_k}\\right) \\cdot \\mathbf{q}_k.\\end{align*}\\end{document}ϕ(rm)=∑kg(rm,rqk)⋅qk.\nFor convenience, we include table 1 describing the key mathematical notations used to synthesize the forward and inverse models.\nSummary of the notation used to describe the electromagnetic forward and inverse problems, including scalars, vectors, matrices, and functions.\nOnce neural electrical activity is modeled, typically using current dipole sources as described above, the next step in solving the EEG forward problem is to define a head volume conduction model. This model represents the conductive properties of head tissues and describes how electric currents propagate from neural sources through various tissue compartments to the scalp, enabling the computation of the resulting surface potentials.\nEarly approaches to EEG forward modeling employed simplified geometries, such as the homogeneous spherical head model, and later, multi-shell concentric spherical models, which allowed for analytical or semi-analytical solutions to the Poisson equation (3) governing electric potential distribution [147, 148].\nWhile computationally efficient, these models do not capture the complex and heterogeneous structure of the human head. A growing body of research has demonstrated that factors such as skull thickness, tissue curvature, and sharp conductivity discontinuities significantly impact the accuracy of EEG forward modeling [149–151]. Consequently, the field has advanced toward realistic head models, constructed from high-resolution MRI segmentations that accurately delineate the geometry and conductivity profiles of major tissue types, including the scalp, skull, CSF, gray matter, and white matter [43, 152, 153].\nDue to the anatomical complexity of these realistic models, strictly analytical solutions are not feasible. As a result, numerical methods such as the boundary element method (BEM) and finite element method (FEM), along with historically used methods such as finite difference method (FDM), and, less commonly, finite volume methods (FVMs) have been used to solve the EEG forward problem in realistic head geometries [152, 154, 196]. These methods and their variants and extensions each offer advantages and limitations in terms of anatomical fidelity, numerical stability, computational efficiency, and ease of implementation. These trade-offs are explored in the following subsections, with an illustration of the forward modeling techniques presented in figure 2.\nOverview of head modeling techniques for forward solutions. (a) Progression from simplified spherical approximations to realistic geometries. 1. Single-sphere model representing the head as a homogeneous conductor. 2. Three-shell concentric spherical model differentiating the scalp (green), skull (blue), and brain (navy). 3. Four-layer spherical model incorporating cerebrospinal fluid (CSF) (navy) between the skull and brain (dark gray). while additional layers may capture other tissue properties. 4. Realistic head model generated from anatomical data using surface tessellation. (b) Structural magnetic resonance imaging (MRI) scans (axial and sagittal views) utilized to define individual anatomy for realistic modeling. Examples courtesy of Brainstorm [195]. (c) Comparison of numerical methods for realistic head modeling based on MRI segmentation. 1. The boundary element method (BEM) models the head as a set of nested, closed surfaces (e.g. brain–skull, skull–scalp, and scalp surfaces) using 2D triangular meshes. BEM assumes piecewise homogeneous and isotropic conductivity within each compartment. 2. The finite element method (FEM) discretizes the entire head volume into small 3D elements (such as tetrahedra or hexahedra). This volumetric approach enables detailed modeling of complex geometries and local tissue properties, including inhomogeneous and anisotropic conductivities.\nImportance of anatomical detail and compartmentalization. Modern EEG forward modeling relies on anatomically detailed, subject-specific head models constructed from high-resolution MRI scans. These models typically include at least five tissue compartments: scalp, skull, CSF, gray matter, and white matter. More detailed models range from six-compartment versions that distinguish between compacta and spongiosa skull tissues [155, 156] to more complex frameworks incorporating as many as 12 distinct tissue types [157, 158]. Several studies have shown that inaccurate anatomical representations, especially omitting CSF or failing to differentiate gray and white matter can significantly distort scalp potential distributions and reduce source-estimation accuracy [155, 159–162]. For example, including the highly conductive CSF compartment has been shown to strongly influence signal topography and improve localization precision [161]. FEM-based approaches are well suited to represent this level of anatomical detail, whereas traditional BEM models are typically limited to 3–4 layers and assume homogeneous, isotropic conductivity within each shell.\nThe skull in particular poses significant challenges in developing realistic head models. A common assumption of the skull as a homogeneous isotropic shell often fails to capture significant anatomical nonuniformities. Structurally, the cranium is composed of three-layers: a conductive spongiform layer between highly resistive inner and outer compact bone table, each layer of inhomogeneous thickness [156, 163]. Furthermore, skull sutures, the fibrous joints connecting bone plates, introduce local high-conductivity paths that can act as electrical shunts [164]. Neglecting the distribution of spongiform bone and the specific geometry of sutures in the forward model can distort the topography of scalp potentials. In the context of the inverse problem, these modeling inaccuracies propagate as localization errors, particularly for superficial sources located near suture lines, thereby emphasizing the importance of realistic, subject-specific head models when source estimation accuracy is critical [141, 165].\nFurther, the accuracy of forward models depends not only on the geometry but also on the conductivity values assigned to each tissue. Skull conductivity is especially critical due to its low value and high variability across individuals [166]. Literature estimates for compact bone range from 5 to 10 mS m−1 and for spongiform from 16 to 40 mS m−1 [167], yet most simplified models assign a single homogenized value [156]. These assumptions can shift source localization by several centimeters [159, 168]. To address some of the challenges estimating the tissue conductivity, several data-driven methods for conductivity estimation have been proposed [169–171]. The authors of [172] compiled the reported conductivity metrics of various tissue, demonstrating wide ranges of values that support the need for complementary modalities that measure the individual’s tissue conductivity. Accurate modeling of conductivity remains a key frontier in improving the biophysical realism of EEG simulations.\nThe earliest approaches to EEG forward modeling employed simplified geometries, starting with the homogeneous sphere [147] and evolving into the three-shell concentric spherical model representing the brain, skull, and scalp [148]. While these formulations allowed for efficient semi-analytical solutions to Poisson’s equation (3), they fail to capture critical anatomical features, particularly the irregular shape and the spatially varying thickness and curvature of the skull, which can substantially impact the accuracy of EEG forward solutions [149–151, 173–176]. The recognition of these geometric limitations drove the initial development of realistic head models [43, 152, 177], though the computational cost of early numerical solvers spurred further attempts to refine analytical spherical frameworks.\nTo improve accuracy without abandoning analytical tractability, intermediate solutions were proposed, such as sensor-fitted spheres that optimize local geometry for each electrode [178], and four-layer models that incorporate CSF [179–181]. The inclusion of the CSF layer is particularly relevant as its high conductivity acts as a shunt for volume currents, strongly influencing the distribution of scalp potentials [182]. However, further efforts to increase the neuroanatomical included additional compartments in non-spherical geometries, necessitating non-analytical computational approaches. Consequently, modern EEG analysis has largely shifted toward the numerical solvers (BEM and FEM) discussed in the following sections, which can naturally handle complex, non-spherical geometries.\nEarly pioneering work, such as that by He et al [43], introduced the use of realistic head geometries derived from structural MRI, combined with numerical methods like the BEM, to replace idealized spherical models [43]. As modeling techniques advanced, subsequent studies incorporated greater anatomical and physiological detail, including more accurate representation of tissue boundaries and tissue anisotropy [183, 184].\nModern realistic head models are subject-specific, anatomically detailed representations of the human head, typically constructed from high-resolution structural MRI scans. These models include multiple tissue compartments, commonly the scalp, skull, CSF, gray matter, and white matter, with some models also incorporating additional structures such as the ventricles, cerebellum, and brainstem [161]. Each compartment is assigned a conductivity value based on experimental measurements or literature-derived estimates [168, 172, 185].\nTo address scenarios where individual MRI data are unavailable, researchers also adopted mean head models; population-averaged templates that provide a standardized yet less personalized alternative [186]. While these models lack the subject-specific precision of MRI-based geometries, they remain widely used in both research and clinical applications due to their accessibility and consistency [187, 188]. Given the anatomical complexity and the absence of analytical solutions for realistic head models, numerical methods have become indispensable tools for solving the EEG forward problem.\nRealistic head models exhibit irregular geometries and complex conductivity patterns across tissue interfaces, rendering analytical solutions to the EEG forward problem infeasible. Instead, numerical methods are required to approximate the electric potential field generated by neural sources. Three principal numerical techniques are employed: the FDM the BEM, and the FEM.\nFDM uses a regular voxel grid aligned with MRI data but is less flexible in handling curved and non-conformal surfaces. BEM models the head as a set of nested, piecewise-homogeneous compartments and computes solutions on tissue boundaries, offering computational efficiency in layered, isotropic media. FEM discretizes the entire head volume and is well-suited for incorporating anisotropic conductivities and complex geometries, albeit at a higher computational cost. Each method transforms the continuous partial differential equation governing electric potential (typically Poisson’s equation) into a solvable algebraic system. The choice of method depends on the trade-off between modeling accuracy, computational cost, and the specific demands of the EEG analysis.\nFDM:\nThe finite difference method is one of the earliest numerical techniques for solving partial differential equations, relying on finite difference approximations over a structured Cartesian grid. In the context of EEG forward modeling, FDM discretizes the Poisson equation over a structured Cartesian grid, typically aligned with voxel data from structural MRI scans [150,154]. This approach allows for straightforward implementation and efficient computation, especially for simple geometries.\nA major challenge in this context is the presence of strongly discontinuous conductivities at tissue interfaces (e.g. brain–CSF, CSF–skull), which standard FDM schemes (assuming smooth coefficients) fail to handle accurately. These limitations lead to significant errors, particularly at grid nodes that intersect multiple tissue types. To address this, several studies have proposed specialized schemes. For instance, Hédou-Rouillier [196] developed and analyzed a set of three-dimensional FDM schemes specifically designed to handle conductivity discontinuities at tissue interfaces.\nAlthough FDM is generally less accurate than FEM or BEM, mainly due to its limited ability to capture complex anatomical geometry, it remains useful in scenarios that benefit from rapid computation, direct voxel-based modeling, or minimal preprocessing. Nonetheless, its role in modern EEG source localization has declined in favor of more flexible and biophysically detailed methods like FEM and BEM.\nFVM: Finite volume methods discretize the forward problem by integrating the governing equations over small control volumes, thereby enforcing local current conservation. In EEG applications, FVM typically employs a structured grid of cubic voxels, with piecewise-constant conductivities defined at voxel centers and electric potentials defined at the nodal vertices. Although FVM and hybrid FVM–BEM formulations have been applied to realistic and anisotropic head models [189], their use has remained far less common than FEM or BEM and is now largely of historical or methodological interest in EEG forward modeling.\nBEM: The boundary element method is a numerical technique used to compute the electric potentials on the scalp surface generated by current sources within the head [43, 152]. It models the head as a piecewise homogeneous and isotropic volume conductor, typically considering three nested surfaces: the brain–skull interface, the skull–scalp interface, and the outer scalp surface [152]. Each surface is tessellated with small two-dimensional, usually triangular, elements and surface integrals are approximated using basis functions such as constant or linear potential.\nA known challenge in BEM is that the electric potentials are defined only up to an additive constant, resulting in a non-unique solution. This ambiguity can be resolved through techniques such as deflation [136, 190, 191]. Deflation works by constraining the solution space, typically by fixing the potential at one node or enforcing that the mean potential over all nodes is zero, thereby eliminating the arbitrary constant. Another issue arises from the large conductivity discontinuity near the skull (i.e. the conductivity ratio between the skull and brain tissues) which can introduce numerical instabilities. This is mitigated using the isolated problem approach (IPA), which improves numerical accuracy by isolating the inner skull surface during the initial solution [152]. In this implementation, the IPA is generalized to allow for additional layers within the modified boundary defined by the inner skull.\nTo overcome BEM’s computational demands, several optimized variants have been developed [192–194]. For instance, accelerated BEM variants improve efficiency by computing potentials only at electrode locations [192]. A more recent advancement is the BEM accelerated by the fast multipole method (BEM-FMM), introduced by Wartman et al [194], which achieves accurate forward solutions on high-resolution head models in under 90 s, making it feasible for large-scale or time-sensitive EEG/MEG applications.\nFEM: Unlike BEM, which assumes piecewise homogeneous and isotropic compartments, the FEM offers a powerful numerical framework for solving the EEG forward problem with high anatomical and physical fidelity [184]. FEM discretizes the head volume into small elements, typically tetrahedra or hexahedra, and approximates the governing partial differential equations locally. This approach naturally accommodates complex anatomical geometries, spatially varying and anisotropic conductivities, and the inclusion of lesions or non-nested tissue interfaces. The impact of incorporating greater anatomical and electrical realism has been demonstrated in several studies examining both forward and inverse EEG solutions [161, 176]. Notably, Marin et al concluded that for robust and accurate min-norm imaging with EEG, it is essential to employ realistic head models that incorporate tissue anisotropy [176].\nHistorically, FEM was considered computationally demanding due to the need for volumetric meshes and large system matrices [197]. However, these concerns have been largely mitigated by substantial methodological and hardware advances. Modern mesh generators and GPU-accelerated implementations now enable high-resolution, subject-specific FEM simulations to be performed with efficiency previously reserved for simpler models [198–200]. With current software [201, 202], generating FEM meshes that perform comparable to standard BEM configurations is straightforward, although pushing toward higher anatomical fidelity introduces additional computational complexity. As a result, FEM has become widely regarded as a gold standard for realistic head modeling in EEG source analysis, while BEM remains an efficient alternative for simpler or layered head models [161].\nTo further improve accuracy and scalability, recent advances have introduced hybrid and specialized FEM-based methods aimed at enhancing anatomical fidelity and numerical efficiency [154, 203]. One such direction involves BEM–FEM hybrid methods, which combine the surface-based efficiency of the BEM with the volumetric flexibility of the FEM, enabling realistic head modeling while reducing computational cost [204]. Other FEM-based extensions, such as the Discontinuous Galerkin FEM, provide high-order accuracy and improved numerical stability, particularly for problems involving sharp conductivity transitions across tissue interfaces [154].\nA recent promising extension is the Cut FEM (CutFEM), which embeds complex or evolving geometries (such as curved cortical surfaces or non-nested lesions) into a fixed background mesh [205, 206]. Rather than requiring a conforming mesh that exactly aligns with tissue boundaries, CutFEM permits the domain to be ‘cut’ from a structured or unfitted mesh. This approach eliminates the need for labor-intensive remeshing and supports high-fidelity simulations on anatomically realistic head models [206].\nRecent advances in scientific computing have introduced deep learning surrogates and reduced-order models that approximate FEM solutions with significantly reduced computational cost [207, 208]. While their application in EEG forward modeling is still emerging, such models hold promise for enabling near real-time predictions in time-sensitive settings like closed-loop neurofeedback and brain–computer interfaces. Parallel developments in GPU-accelerated solvers and frameworks are also expanding the scalability of high-resolution simulations. Collectively, these innovations enable new generation of EEG forward modeling tools that balance anatomical fidelity, numerical robustness, and computational speed.\nThe established EEG forward modeling techniques discussed represent neural sources as equivalent current dipoles. However, when the true generator is spatially extended or composed of complex current distributions, a single dipole can misrepresent both amplitude and spatial extent of the field [21, 36]. To address this, researchers have developed multipole expansions, including quadrupolar models, that capture higher-order spatial features of neural generators [101, 209]. For example, recent FEM-based frameworks allow efficient modeling of quadrupolar sources, which also improved the accuracy and stability for dipolar sources [209]. While distributed dipolar source models remain a widespread choice in source estimation, multipole forward models offer a complementary strategy that can capture higher-order spatial structure without requiring a large explicit dipole set. Although multipolar formulations are primarily developed in MEG forward and inverse modeling [210, 211] due to the rapid decay of the electric field, recent work indicates potential benefits for EEG forward modeling as well.\nThis section summarized the development of the forward model for EEG source analysis, which predicts scalp measurements from brain activity. The forward model has evolved from simple spherical shell approximations to anatomically detailed, multi-compartment FEM models informed by subject-specific morphology, conductivity calibration, and in some cases, advanced source models such as multipolar expansions. However, simpler models maintain roles depending on the computational demands of the modeling task. More recent advances in advanced numerical methods like FEM provide higher anatomical and physiological accuracy. Methodologies to validate forward modeling is a critical field of research as well, with some researchers proposing intracranial electrical stimulation and synchronous EEG recording [19, 212]. Future directions aim to improve computational efficiency through hybrid methods, deep learning surrogates, and specialized algorithms to enable real-time, high-fidelity source analysis.\n\n\n### Neural mass models ((NMMs) and generative models of EEG\nWhile foundational models like the Hodgkin–Huxley formalism established the mathematics of single-neuron membrane dynamics [143], these microscopic descriptions do not scale to macroscopic neuroimaging. The Wilson–Cowan model bridged this gap by formally describing the activity of interacting neural populations [144]. However, interpreting EEG requires linking these population dynamics directly to the biophysics of signal generation, which the Jansen–Rit framework addressed by modeling the intrinsic connectivity between pyramidal cells and interneurons within a cortical column [145, 146]. Crucially, this connects mesoscopic dynamics to the EEG forward problem: the summed post-synaptic potentials of perpendicularly oriented pyramidal cells yield a time-varying equivalent current dipole. This dipole serves as the biophysical source for forward modeling of the scalp potentials, connecting neural mass equations to observable EEG signals.\n\n\n### Forward modeling: physical approximations\nTo mathematically solve for scalp potentials, the quasi-static approximation is applied, since the low-frequency nature of EEG renders displacement currents and wave propagation within the head volume negligible. In a linear ohmic medium, the electric field is proportional to the current density and satisfies \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{E}(\\mathbf{r}) = -\\nabla\\phi(\\mathbf{r})$\\end{document}E(r)=−∇ϕ(r), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\phi(\\mathbf{r})$\\end{document}ϕ(r) is the electric scalar potential at location r. Charge conservation reduces Maxwell’s equations to the Poisson-type partial differential equation \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\nabla \\cdot \\left(\\sigma\\left(\\mathbf{r}\\right)\\,\\nabla \\phi\\left(\\mathbf{r}\\right)\\right) \\; = \\; \\nabla \\cdot \\mathbf{J}_\\mathrm{p}\\left(\\mathbf{r}\\right),\\end{align*}\\end{document}∇⋅(σ(r)∇ϕ(r))=∇⋅Jp(r), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\sigma(\\mathbf{r})$\\end{document}σ(r) denotes spatially-varying conductivity and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{J}_\\mathrm{p}$\\end{document}Jp is the primary current density caused by source activity. Under the quasi-static approximation, (3) is linear in the source term. Consequently, the potential φ generated by a single dipole scales linearly with its dipole moment, and the contributions from multiple dipoles combine via electromagnetic superposition to produce the measurable scalp potentials.\nSensor-domain mapping. In practice, researchers evaluate (3) at discrete scalp sensor locations \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_m\\}$\\end{document}{rm}. A single current dipole is the primary current density \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{J}_\\mathrm{p}$\\end{document}Jp evaluated at a singular point rq, with corresponding dipole moment q. The potential at sensor m is denoted for this dipole as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\phi\\left(\\mathbf{r}_m\\right) \\; = \\; \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_q\\right) \\cdot \\mathbf{q},\\end{align*}\\end{document}ϕ(rm)=g(rm,rq)⋅q, where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{g}(\\mathbf{r}_m,\\mathbf{r}_q)$\\end{document}g(rm,rq) is the sensor-specific lead-field vector describing the linear relationship between the unit dipole and measured electrical potential. For clarity, we adopt a theoretical ‘infinite’ reference in this notation, while in practice, recordings use a physical reference; results stated under the ‘infinite’ reference can be re-referenced in the usual way without changing the underlying physics. For multiple dipoles indexed by k, by electromagnetic superposition, the potential is simply the sum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\phi\\left(\\mathbf{r}_m\\right) \\; = \\; \\sum_k \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_{q_k}\\right) \\cdot \\mathbf{q}_k.\\end{align*}\\end{document}ϕ(rm)=∑kg(rm,rqk)⋅qk.\nFor convenience, we include table 1 describing the key mathematical notations used to synthesize the forward and inverse models.\nSummary of the notation used to describe the electromagnetic forward and inverse problems, including scalars, vectors, matrices, and functions.\n\n\n### Head volume conduction models for EEG forward problem\nOnce neural electrical activity is modeled, typically using current dipole sources as described above, the next step in solving the EEG forward problem is to define a head volume conduction model. This model represents the conductive properties of head tissues and describes how electric currents propagate from neural sources through various tissue compartments to the scalp, enabling the computation of the resulting surface potentials.\nEarly approaches to EEG forward modeling employed simplified geometries, such as the homogeneous spherical head model, and later, multi-shell concentric spherical models, which allowed for analytical or semi-analytical solutions to the Poisson equation (3) governing electric potential distribution [147, 148].\nWhile computationally efficient, these models do not capture the complex and heterogeneous structure of the human head. A growing body of research has demonstrated that factors such as skull thickness, tissue curvature, and sharp conductivity discontinuities significantly impact the accuracy of EEG forward modeling [149–151]. Consequently, the field has advanced toward realistic head models, constructed from high-resolution MRI segmentations that accurately delineate the geometry and conductivity profiles of major tissue types, including the scalp, skull, CSF, gray matter, and white matter [43, 152, 153].\nDue to the anatomical complexity of these realistic models, strictly analytical solutions are not feasible. As a result, numerical methods such as the boundary element method (BEM) and finite element method (FEM), along with historically used methods such as finite difference method (FDM), and, less commonly, finite volume methods (FVMs) have been used to solve the EEG forward problem in realistic head geometries [152, 154, 196]. These methods and their variants and extensions each offer advantages and limitations in terms of anatomical fidelity, numerical stability, computational efficiency, and ease of implementation. These trade-offs are explored in the following subsections, with an illustration of the forward modeling techniques presented in figure 2.\nOverview of head modeling techniques for forward solutions. (a) Progression from simplified spherical approximations to realistic geometries. 1. Single-sphere model representing the head as a homogeneous conductor. 2. Three-shell concentric spherical model differentiating the scalp (green), skull (blue), and brain (navy). 3. Four-layer spherical model incorporating cerebrospinal fluid (CSF) (navy) between the skull and brain (dark gray). while additional layers may capture other tissue properties. 4. Realistic head model generated from anatomical data using surface tessellation. (b) Structural magnetic resonance imaging (MRI) scans (axial and sagittal views) utilized to define individual anatomy for realistic modeling. Examples courtesy of Brainstorm [195]. (c) Comparison of numerical methods for realistic head modeling based on MRI segmentation. 1. The boundary element method (BEM) models the head as a set of nested, closed surfaces (e.g. brain–skull, skull–scalp, and scalp surfaces) using 2D triangular meshes. BEM assumes piecewise homogeneous and isotropic conductivity within each compartment. 2. The finite element method (FEM) discretizes the entire head volume into small 3D elements (such as tetrahedra or hexahedra). This volumetric approach enables detailed modeling of complex geometries and local tissue properties, including inhomogeneous and anisotropic conductivities.\nImportance of anatomical detail and compartmentalization. Modern EEG forward modeling relies on anatomically detailed, subject-specific head models constructed from high-resolution MRI scans. These models typically include at least five tissue compartments: scalp, skull, CSF, gray matter, and white matter. More detailed models range from six-compartment versions that distinguish between compacta and spongiosa skull tissues [155, 156] to more complex frameworks incorporating as many as 12 distinct tissue types [157, 158]. Several studies have shown that inaccurate anatomical representations, especially omitting CSF or failing to differentiate gray and white matter can significantly distort scalp potential distributions and reduce source-estimation accuracy [155, 159–162]. For example, including the highly conductive CSF compartment has been shown to strongly influence signal topography and improve localization precision [161]. FEM-based approaches are well suited to represent this level of anatomical detail, whereas traditional BEM models are typically limited to 3–4 layers and assume homogeneous, isotropic conductivity within each shell.\nThe skull in particular poses significant challenges in developing realistic head models. A common assumption of the skull as a homogeneous isotropic shell often fails to capture significant anatomical nonuniformities. Structurally, the cranium is composed of three-layers: a conductive spongiform layer between highly resistive inner and outer compact bone table, each layer of inhomogeneous thickness [156, 163]. Furthermore, skull sutures, the fibrous joints connecting bone plates, introduce local high-conductivity paths that can act as electrical shunts [164]. Neglecting the distribution of spongiform bone and the specific geometry of sutures in the forward model can distort the topography of scalp potentials. In the context of the inverse problem, these modeling inaccuracies propagate as localization errors, particularly for superficial sources located near suture lines, thereby emphasizing the importance of realistic, subject-specific head models when source estimation accuracy is critical [141, 165].\nFurther, the accuracy of forward models depends not only on the geometry but also on the conductivity values assigned to each tissue. Skull conductivity is especially critical due to its low value and high variability across individuals [166]. Literature estimates for compact bone range from 5 to 10 mS m−1 and for spongiform from 16 to 40 mS m−1 [167], yet most simplified models assign a single homogenized value [156]. These assumptions can shift source localization by several centimeters [159, 168]. To address some of the challenges estimating the tissue conductivity, several data-driven methods for conductivity estimation have been proposed [169–171]. The authors of [172] compiled the reported conductivity metrics of various tissue, demonstrating wide ranges of values that support the need for complementary modalities that measure the individual’s tissue conductivity. Accurate modeling of conductivity remains a key frontier in improving the biophysical realism of EEG simulations.\nThe earliest approaches to EEG forward modeling employed simplified geometries, starting with the homogeneous sphere [147] and evolving into the three-shell concentric spherical model representing the brain, skull, and scalp [148]. While these formulations allowed for efficient semi-analytical solutions to Poisson’s equation (3), they fail to capture critical anatomical features, particularly the irregular shape and the spatially varying thickness and curvature of the skull, which can substantially impact the accuracy of EEG forward solutions [149–151, 173–176]. The recognition of these geometric limitations drove the initial development of realistic head models [43, 152, 177], though the computational cost of early numerical solvers spurred further attempts to refine analytical spherical frameworks.\nTo improve accuracy without abandoning analytical tractability, intermediate solutions were proposed, such as sensor-fitted spheres that optimize local geometry for each electrode [178], and four-layer models that incorporate CSF [179–181]. The inclusion of the CSF layer is particularly relevant as its high conductivity acts as a shunt for volume currents, strongly influencing the distribution of scalp potentials [182]. However, further efforts to increase the neuroanatomical included additional compartments in non-spherical geometries, necessitating non-analytical computational approaches. Consequently, modern EEG analysis has largely shifted toward the numerical solvers (BEM and FEM) discussed in the following sections, which can naturally handle complex, non-spherical geometries.\nEarly pioneering work, such as that by He et al [43], introduced the use of realistic head geometries derived from structural MRI, combined with numerical methods like the BEM, to replace idealized spherical models [43]. As modeling techniques advanced, subsequent studies incorporated greater anatomical and physiological detail, including more accurate representation of tissue boundaries and tissue anisotropy [183, 184].\nModern realistic head models are subject-specific, anatomically detailed representations of the human head, typically constructed from high-resolution structural MRI scans. These models include multiple tissue compartments, commonly the scalp, skull, CSF, gray matter, and white matter, with some models also incorporating additional structures such as the ventricles, cerebellum, and brainstem [161]. Each compartment is assigned a conductivity value based on experimental measurements or literature-derived estimates [168, 172, 185].\nTo address scenarios where individual MRI data are unavailable, researchers also adopted mean head models; population-averaged templates that provide a standardized yet less personalized alternative [186]. While these models lack the subject-specific precision of MRI-based geometries, they remain widely used in both research and clinical applications due to their accessibility and consistency [187, 188]. Given the anatomical complexity and the absence of analytical solutions for realistic head models, numerical methods have become indispensable tools for solving the EEG forward problem.\nRealistic head models exhibit irregular geometries and complex conductivity patterns across tissue interfaces, rendering analytical solutions to the EEG forward problem infeasible. Instead, numerical methods are required to approximate the electric potential field generated by neural sources. Three principal numerical techniques are employed: the FDM the BEM, and the FEM.\nFDM uses a regular voxel grid aligned with MRI data but is less flexible in handling curved and non-conformal surfaces. BEM models the head as a set of nested, piecewise-homogeneous compartments and computes solutions on tissue boundaries, offering computational efficiency in layered, isotropic media. FEM discretizes the entire head volume and is well-suited for incorporating anisotropic conductivities and complex geometries, albeit at a higher computational cost. Each method transforms the continuous partial differential equation governing electric potential (typically Poisson’s equation) into a solvable algebraic system. The choice of method depends on the trade-off between modeling accuracy, computational cost, and the specific demands of the EEG analysis.\nFDM:\nThe finite difference method is one of the earliest numerical techniques for solving partial differential equations, relying on finite difference approximations over a structured Cartesian grid. In the context of EEG forward modeling, FDM discretizes the Poisson equation over a structured Cartesian grid, typically aligned with voxel data from structural MRI scans [150,154]. This approach allows for straightforward implementation and efficient computation, especially for simple geometries.\nA major challenge in this context is the presence of strongly discontinuous conductivities at tissue interfaces (e.g. brain–CSF, CSF–skull), which standard FDM schemes (assuming smooth coefficients) fail to handle accurately. These limitations lead to significant errors, particularly at grid nodes that intersect multiple tissue types. To address this, several studies have proposed specialized schemes. For instance, Hédou-Rouillier [196] developed and analyzed a set of three-dimensional FDM schemes specifically designed to handle conductivity discontinuities at tissue interfaces.\nAlthough FDM is generally less accurate than FEM or BEM, mainly due to its limited ability to capture complex anatomical geometry, it remains useful in scenarios that benefit from rapid computation, direct voxel-based modeling, or minimal preprocessing. Nonetheless, its role in modern EEG source localization has declined in favor of more flexible and biophysically detailed methods like FEM and BEM.\nFVM: Finite volume methods discretize the forward problem by integrating the governing equations over small control volumes, thereby enforcing local current conservation. In EEG applications, FVM typically employs a structured grid of cubic voxels, with piecewise-constant conductivities defined at voxel centers and electric potentials defined at the nodal vertices. Although FVM and hybrid FVM–BEM formulations have been applied to realistic and anisotropic head models [189], their use has remained far less common than FEM or BEM and is now largely of historical or methodological interest in EEG forward modeling.\nBEM: The boundary element method is a numerical technique used to compute the electric potentials on the scalp surface generated by current sources within the head [43, 152]. It models the head as a piecewise homogeneous and isotropic volume conductor, typically considering three nested surfaces: the brain–skull interface, the skull–scalp interface, and the outer scalp surface [152]. Each surface is tessellated with small two-dimensional, usually triangular, elements and surface integrals are approximated using basis functions such as constant or linear potential.\nA known challenge in BEM is that the electric potentials are defined only up to an additive constant, resulting in a non-unique solution. This ambiguity can be resolved through techniques such as deflation [136, 190, 191]. Deflation works by constraining the solution space, typically by fixing the potential at one node or enforcing that the mean potential over all nodes is zero, thereby eliminating the arbitrary constant. Another issue arises from the large conductivity discontinuity near the skull (i.e. the conductivity ratio between the skull and brain tissues) which can introduce numerical instabilities. This is mitigated using the isolated problem approach (IPA), which improves numerical accuracy by isolating the inner skull surface during the initial solution [152]. In this implementation, the IPA is generalized to allow for additional layers within the modified boundary defined by the inner skull.\nTo overcome BEM’s computational demands, several optimized variants have been developed [192–194]. For instance, accelerated BEM variants improve efficiency by computing potentials only at electrode locations [192]. A more recent advancement is the BEM accelerated by the fast multipole method (BEM-FMM), introduced by Wartman et al [194], which achieves accurate forward solutions on high-resolution head models in under 90 s, making it feasible for large-scale or time-sensitive EEG/MEG applications.\nFEM: Unlike BEM, which assumes piecewise homogeneous and isotropic compartments, the FEM offers a powerful numerical framework for solving the EEG forward problem with high anatomical and physical fidelity [184]. FEM discretizes the head volume into small elements, typically tetrahedra or hexahedra, and approximates the governing partial differential equations locally. This approach naturally accommodates complex anatomical geometries, spatially varying and anisotropic conductivities, and the inclusion of lesions or non-nested tissue interfaces. The impact of incorporating greater anatomical and electrical realism has been demonstrated in several studies examining both forward and inverse EEG solutions [161, 176]. Notably, Marin et al concluded that for robust and accurate min-norm imaging with EEG, it is essential to employ realistic head models that incorporate tissue anisotropy [176].\nHistorically, FEM was considered computationally demanding due to the need for volumetric meshes and large system matrices [197]. However, these concerns have been largely mitigated by substantial methodological and hardware advances. Modern mesh generators and GPU-accelerated implementations now enable high-resolution, subject-specific FEM simulations to be performed with efficiency previously reserved for simpler models [198–200]. With current software [201, 202], generating FEM meshes that perform comparable to standard BEM configurations is straightforward, although pushing toward higher anatomical fidelity introduces additional computational complexity. As a result, FEM has become widely regarded as a gold standard for realistic head modeling in EEG source analysis, while BEM remains an efficient alternative for simpler or layered head models [161].\nTo further improve accuracy and scalability, recent advances have introduced hybrid and specialized FEM-based methods aimed at enhancing anatomical fidelity and numerical efficiency [154, 203]. One such direction involves BEM–FEM hybrid methods, which combine the surface-based efficiency of the BEM with the volumetric flexibility of the FEM, enabling realistic head modeling while reducing computational cost [204]. Other FEM-based extensions, such as the Discontinuous Galerkin FEM, provide high-order accuracy and improved numerical stability, particularly for problems involving sharp conductivity transitions across tissue interfaces [154].\nA recent promising extension is the Cut FEM (CutFEM), which embeds complex or evolving geometries (such as curved cortical surfaces or non-nested lesions) into a fixed background mesh [205, 206]. Rather than requiring a conforming mesh that exactly aligns with tissue boundaries, CutFEM permits the domain to be ‘cut’ from a structured or unfitted mesh. This approach eliminates the need for labor-intensive remeshing and supports high-fidelity simulations on anatomically realistic head models [206].\nRecent advances in scientific computing have introduced deep learning surrogates and reduced-order models that approximate FEM solutions with significantly reduced computational cost [207, 208]. While their application in EEG forward modeling is still emerging, such models hold promise for enabling near real-time predictions in time-sensitive settings like closed-loop neurofeedback and brain–computer interfaces. Parallel developments in GPU-accelerated solvers and frameworks are also expanding the scalability of high-resolution simulations. Collectively, these innovations enable new generation of EEG forward modeling tools that balance anatomical fidelity, numerical robustness, and computational speed.\n\n\n### Spherical head models\nThe earliest approaches to EEG forward modeling employed simplified geometries, starting with the homogeneous sphere [147] and evolving into the three-shell concentric spherical model representing the brain, skull, and scalp [148]. While these formulations allowed for efficient semi-analytical solutions to Poisson’s equation (3), they fail to capture critical anatomical features, particularly the irregular shape and the spatially varying thickness and curvature of the skull, which can substantially impact the accuracy of EEG forward solutions [149–151, 173–176]. The recognition of these geometric limitations drove the initial development of realistic head models [43, 152, 177], though the computational cost of early numerical solvers spurred further attempts to refine analytical spherical frameworks.\nTo improve accuracy without abandoning analytical tractability, intermediate solutions were proposed, such as sensor-fitted spheres that optimize local geometry for each electrode [178], and four-layer models that incorporate CSF [179–181]. The inclusion of the CSF layer is particularly relevant as its high conductivity acts as a shunt for volume currents, strongly influencing the distribution of scalp potentials [182]. However, further efforts to increase the neuroanatomical included additional compartments in non-spherical geometries, necessitating non-analytical computational approaches. Consequently, modern EEG analysis has largely shifted toward the numerical solvers (BEM and FEM) discussed in the following sections, which can naturally handle complex, non-spherical geometries.\n\n\n### Realistic head models\nEarly pioneering work, such as that by He et al [43], introduced the use of realistic head geometries derived from structural MRI, combined with numerical methods like the BEM, to replace idealized spherical models [43]. As modeling techniques advanced, subsequent studies incorporated greater anatomical and physiological detail, including more accurate representation of tissue boundaries and tissue anisotropy [183, 184].\nModern realistic head models are subject-specific, anatomically detailed representations of the human head, typically constructed from high-resolution structural MRI scans. These models include multiple tissue compartments, commonly the scalp, skull, CSF, gray matter, and white matter, with some models also incorporating additional structures such as the ventricles, cerebellum, and brainstem [161]. Each compartment is assigned a conductivity value based on experimental measurements or literature-derived estimates [168, 172, 185].\nTo address scenarios where individual MRI data are unavailable, researchers also adopted mean head models; population-averaged templates that provide a standardized yet less personalized alternative [186]. While these models lack the subject-specific precision of MRI-based geometries, they remain widely used in both research and clinical applications due to their accessibility and consistency [187, 188]. Given the anatomical complexity and the absence of analytical solutions for realistic head models, numerical methods have become indispensable tools for solving the EEG forward problem.\n\n\n### Numerical methods for realistic EEG modeling\nRealistic head models exhibit irregular geometries and complex conductivity patterns across tissue interfaces, rendering analytical solutions to the EEG forward problem infeasible. Instead, numerical methods are required to approximate the electric potential field generated by neural sources. Three principal numerical techniques are employed: the FDM the BEM, and the FEM.\nFDM uses a regular voxel grid aligned with MRI data but is less flexible in handling curved and non-conformal surfaces. BEM models the head as a set of nested, piecewise-homogeneous compartments and computes solutions on tissue boundaries, offering computational efficiency in layered, isotropic media. FEM discretizes the entire head volume and is well-suited for incorporating anisotropic conductivities and complex geometries, albeit at a higher computational cost. Each method transforms the continuous partial differential equation governing electric potential (typically Poisson’s equation) into a solvable algebraic system. The choice of method depends on the trade-off between modeling accuracy, computational cost, and the specific demands of the EEG analysis.\nFDM:\nThe finite difference method is one of the earliest numerical techniques for solving partial differential equations, relying on finite difference approximations over a structured Cartesian grid. In the context of EEG forward modeling, FDM discretizes the Poisson equation over a structured Cartesian grid, typically aligned with voxel data from structural MRI scans [150,154]. This approach allows for straightforward implementation and efficient computation, especially for simple geometries.\nA major challenge in this context is the presence of strongly discontinuous conductivities at tissue interfaces (e.g. brain–CSF, CSF–skull), which standard FDM schemes (assuming smooth coefficients) fail to handle accurately. These limitations lead to significant errors, particularly at grid nodes that intersect multiple tissue types. To address this, several studies have proposed specialized schemes. For instance, Hédou-Rouillier [196] developed and analyzed a set of three-dimensional FDM schemes specifically designed to handle conductivity discontinuities at tissue interfaces.\nAlthough FDM is generally less accurate than FEM or BEM, mainly due to its limited ability to capture complex anatomical geometry, it remains useful in scenarios that benefit from rapid computation, direct voxel-based modeling, or minimal preprocessing. Nonetheless, its role in modern EEG source localization has declined in favor of more flexible and biophysically detailed methods like FEM and BEM.\nFVM: Finite volume methods discretize the forward problem by integrating the governing equations over small control volumes, thereby enforcing local current conservation. In EEG applications, FVM typically employs a structured grid of cubic voxels, with piecewise-constant conductivities defined at voxel centers and electric potentials defined at the nodal vertices. Although FVM and hybrid FVM–BEM formulations have been applied to realistic and anisotropic head models [189], their use has remained far less common than FEM or BEM and is now largely of historical or methodological interest in EEG forward modeling.\nBEM: The boundary element method is a numerical technique used to compute the electric potentials on the scalp surface generated by current sources within the head [43, 152]. It models the head as a piecewise homogeneous and isotropic volume conductor, typically considering three nested surfaces: the brain–skull interface, the skull–scalp interface, and the outer scalp surface [152]. Each surface is tessellated with small two-dimensional, usually triangular, elements and surface integrals are approximated using basis functions such as constant or linear potential.\nA known challenge in BEM is that the electric potentials are defined only up to an additive constant, resulting in a non-unique solution. This ambiguity can be resolved through techniques such as deflation [136, 190, 191]. Deflation works by constraining the solution space, typically by fixing the potential at one node or enforcing that the mean potential over all nodes is zero, thereby eliminating the arbitrary constant. Another issue arises from the large conductivity discontinuity near the skull (i.e. the conductivity ratio between the skull and brain tissues) which can introduce numerical instabilities. This is mitigated using the isolated problem approach (IPA), which improves numerical accuracy by isolating the inner skull surface during the initial solution [152]. In this implementation, the IPA is generalized to allow for additional layers within the modified boundary defined by the inner skull.\nTo overcome BEM’s computational demands, several optimized variants have been developed [192–194]. For instance, accelerated BEM variants improve efficiency by computing potentials only at electrode locations [192]. A more recent advancement is the BEM accelerated by the fast multipole method (BEM-FMM), introduced by Wartman et al [194], which achieves accurate forward solutions on high-resolution head models in under 90 s, making it feasible for large-scale or time-sensitive EEG/MEG applications.\nFEM: Unlike BEM, which assumes piecewise homogeneous and isotropic compartments, the FEM offers a powerful numerical framework for solving the EEG forward problem with high anatomical and physical fidelity [184]. FEM discretizes the head volume into small elements, typically tetrahedra or hexahedra, and approximates the governing partial differential equations locally. This approach naturally accommodates complex anatomical geometries, spatially varying and anisotropic conductivities, and the inclusion of lesions or non-nested tissue interfaces. The impact of incorporating greater anatomical and electrical realism has been demonstrated in several studies examining both forward and inverse EEG solutions [161, 176]. Notably, Marin et al concluded that for robust and accurate min-norm imaging with EEG, it is essential to employ realistic head models that incorporate tissue anisotropy [176].\nHistorically, FEM was considered computationally demanding due to the need for volumetric meshes and large system matrices [197]. However, these concerns have been largely mitigated by substantial methodological and hardware advances. Modern mesh generators and GPU-accelerated implementations now enable high-resolution, subject-specific FEM simulations to be performed with efficiency previously reserved for simpler models [198–200]. With current software [201, 202], generating FEM meshes that perform comparable to standard BEM configurations is straightforward, although pushing toward higher anatomical fidelity introduces additional computational complexity. As a result, FEM has become widely regarded as a gold standard for realistic head modeling in EEG source analysis, while BEM remains an efficient alternative for simpler or layered head models [161].\nTo further improve accuracy and scalability, recent advances have introduced hybrid and specialized FEM-based methods aimed at enhancing anatomical fidelity and numerical efficiency [154, 203]. One such direction involves BEM–FEM hybrid methods, which combine the surface-based efficiency of the BEM with the volumetric flexibility of the FEM, enabling realistic head modeling while reducing computational cost [204]. Other FEM-based extensions, such as the Discontinuous Galerkin FEM, provide high-order accuracy and improved numerical stability, particularly for problems involving sharp conductivity transitions across tissue interfaces [154].\nA recent promising extension is the Cut FEM (CutFEM), which embeds complex or evolving geometries (such as curved cortical surfaces or non-nested lesions) into a fixed background mesh [205, 206]. Rather than requiring a conforming mesh that exactly aligns with tissue boundaries, CutFEM permits the domain to be ‘cut’ from a structured or unfitted mesh. This approach eliminates the need for labor-intensive remeshing and supports high-fidelity simulations on anatomically realistic head models [206].\nRecent advances in scientific computing have introduced deep learning surrogates and reduced-order models that approximate FEM solutions with significantly reduced computational cost [207, 208]. While their application in EEG forward modeling is still emerging, such models hold promise for enabling near real-time predictions in time-sensitive settings like closed-loop neurofeedback and brain–computer interfaces. Parallel developments in GPU-accelerated solvers and frameworks are also expanding the scalability of high-resolution simulations. Collectively, these innovations enable new generation of EEG forward modeling tools that balance anatomical fidelity, numerical robustness, and computational speed.\n\n\n### Advanced source models and spatial extent\nThe established EEG forward modeling techniques discussed represent neural sources as equivalent current dipoles. However, when the true generator is spatially extended or composed of complex current distributions, a single dipole can misrepresent both amplitude and spatial extent of the field [21, 36]. To address this, researchers have developed multipole expansions, including quadrupolar models, that capture higher-order spatial features of neural generators [101, 209]. For example, recent FEM-based frameworks allow efficient modeling of quadrupolar sources, which also improved the accuracy and stability for dipolar sources [209]. While distributed dipolar source models remain a widespread choice in source estimation, multipole forward models offer a complementary strategy that can capture higher-order spatial structure without requiring a large explicit dipole set. Although multipolar formulations are primarily developed in MEG forward and inverse modeling [210, 211] due to the rapid decay of the electric field, recent work indicates potential benefits for EEG forward modeling as well.\n\n\n### Forward model conclusions\nThis section summarized the development of the forward model for EEG source analysis, which predicts scalp measurements from brain activity. The forward model has evolved from simple spherical shell approximations to anatomically detailed, multi-compartment FEM models informed by subject-specific morphology, conductivity calibration, and in some cases, advanced source models such as multipolar expansions. However, simpler models maintain roles depending on the computational demands of the modeling task. More recent advances in advanced numerical methods like FEM provide higher anatomical and physiological accuracy. Methodologies to validate forward modeling is a critical field of research as well, with some researchers proposing intracranial electrical stimulation and synchronous EEG recording [19, 212]. Future directions aim to improve computational efficiency through hybrid methods, deep learning surrogates, and specialized algorithms to enable real-time, high-fidelity source analysis.\n\n\n### Inverse models\nWhile forward models map source activity to sensor measurements, inverse models map sensor measurements back to source activity. In relation to (2), inverse models approximate f to identify sources S from measurements M. The following sections synthesize decades of research on forward modeling, presenting a unified mathematical framework for many of these linear models, identifying the assumptions and applications of these methods. After introducing these linear frameworks, we discuss methods that use advanced machine learning techniques to estimate source activity in a supervised manner. We conclude with a discussion of future research directions, including approaches that leverage simultaneous intracranial and scalp recordings.\nElectromagnetic source localization seeks to pinpoint the brain regions generating electrical activity measured on the scalp. Although the EEG and MEG measure different characteristics of the underlying source, the mathematical approach to estimate the source activity is fundamentally equivalent. This inverse problem is notoriously ill-posed; as a result, several advanced signal processing algorithms have been proposed over the past 40 years to reconstruct a plausible and verifiable inverse solution, once the head model is computed. These ideas build on Hämäläinen and Ilmoniemi [215] and Sarvas [216], who laid the mathematical foundations.\nIn the following sections, we follow a commonly used three-way taxonomy of linear methods, where figure 3 illustrates the inverse problem and example modeling approaches:\n(i)Current-density reconstruction: Current-density reconstruction models represent the cortex using a dense array of fixed candidate dipoles. Because the dipole locations are fixed, the inverse problem simplifies to a linear estimation of the dipole amplitudes. However, since the number of unknown source amplitudes vastly exceeds the number of sensors, this inverse problem is severely underdetermined, necessitating the use of regularization or priors to constrain the solution.(ii)ECD reconstruction: ECD reconstruction assumes that only a small number of focal sources are active in the brain, each modeled as an ECD with unknown parameters. The inverse problem is then cast as a non-linear optimization to find the best-fitting dipole parameters for a prespecified number of dipoles, which yields a discrete solution that explains the data.(iii)Spatial filtering: Spatial filters, including adaptive beamformers, construct linear weights to pass activity from a target location while suppressing interference from elsewhere. These methods, such as the linearly constrained minimum variance (LCMV) beamformer, generate power or signal-to-noise ratio (SNR) maps that can reveal multiple concurrent sources without prespecifying their number [214].\nCurrent-density reconstruction: Current-density reconstruction models represent the cortex using a dense array of fixed candidate dipoles. Because the dipole locations are fixed, the inverse problem simplifies to a linear estimation of the dipole amplitudes. However, since the number of unknown source amplitudes vastly exceeds the number of sensors, this inverse problem is severely underdetermined, necessitating the use of regularization or priors to constrain the solution.\nECD reconstruction: ECD reconstruction assumes that only a small number of focal sources are active in the brain, each modeled as an ECD with unknown parameters. The inverse problem is then cast as a non-linear optimization to find the best-fitting dipole parameters for a prespecified number of dipoles, which yields a discrete solution that explains the data.\nSpatial filtering: Spatial filters, including adaptive beamformers, construct linear weights to pass activity from a target location while suppressing interference from elsewhere. These methods, such as the linearly constrained minimum variance (LCMV) beamformer, generate power or signal-to-noise ratio (SNR) maps that can reveal multiple concurrent sources without prespecifying their number [214].\nThe inverse problem of neuronal source estimation and taxonomies of modeling approaches. (a) Overview of the inverse process. Noninvasive electromagnetic measurements obtained via magnetoencephalography (MEG) and electroencephalography (EEG) are processed to infer the underlying neural source activity. The results can be visualized as topographical scalp maps (right, top left), equivalent dipoles (right, top right), or distributed volumetric activity (right, bottom). (b) Parametric modeling: this approach assumes a small number of focal sources. The visualization shows an equivalent current dipole (ECD) reconstruction, where the location and moment of a source are estimated using least-squares fitting. (c) Cortical source imaging (Surface): a distributed inverse approach where sources are constrained to the cortical surface geometry. The example displays a current-density reconstruction computed using dynamic statistical parametric mapping (dSPM) [213]. (d) Spatial filter estimation (Volume): a volumetric approach that scans the brain using a grid of locations rather than a surface mesh. The example shows a source map computed using the neural activity index (NAI), a beamforming metric [214]. Panels (b)–(d) were generated with Brainstorm [195].\nThe source-space definition represents the foundational modeling decision in practice. A poor choice exacerbates issues like depth bias, spatial leakage, and false positives, whereas adopting anatomically constrained spaces enhances both conditioning and interpretability. A geometry-agnostic strategy distributes candidate dipoles on a dense volumetric grid inside the head, akin to tomographic sampling [24]. For healthy participants, dominant EEG generators arise from aligned cortical pyramidal populations, motivating a cortically constrained source space with surface-normal orientations [36, 137, 217]. After MRI segmentation, the gray-white boundary is tessellated into a triangular mesh; a unit dipole is placed at each vertex and oriented along the local surface normal, reflecting apical dendrites orthogonal to the cortex. Capturing gyral and sulcal geometry at millimeter resolution typically requires 104–105 such elements. In clinical populations, especially epilepsy, generators can be deep or noncortical and may involve dysplastic cortex; analyses should therefore consider volumetric source spaces, relaxed orientation constraints, and explicit subcortical compartments when indicated by hypotheses.\nAlgebraic formulation of the inverse problem. The approach to mathematically modeling the inverse problem builds off the algebraic model of the forward problem, which we synthesize in the following sections. Consider a dipole at location rq with fixed unit orientation \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{U}(\\mathbf{r}_q)$\\end{document}U(rq). At time point t, let the dipole moment be \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{q}(t) = \\boldsymbol{U}(\\mathbf{r}_q)\\cdot s(t)$\\end{document}q(t)=U(rq)⋅s(t), where s(t) is the scalar dipole amplitude. For a single sensor at position rm, the time-varying electric field potential due to a single dipole of scalar amplitude s(t) is given by: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\phi\\left(\\mathbf{r}_m,t\\right) \\; = \\; \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_q\\right)\\cdot \\mathbf{q}\\left(t\\right) \\; = \\; \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_q\\right)\\cdot \\boldsymbol{U}\\left(\\mathbf{r}_q\\right) s\\left(t\\right),\\end{align*}\\end{document}ϕ(rm,t)=g(rm,rq)⋅q(t)=g(rm,rq)⋅U(rq)s(t), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{g}(\\mathbf{r}_m,\\mathbf{r}_q)\\in\\mathbb{R}^3$\\end{document}g(rm,rq)∈R3 is the lead-field vector per unit dipole moment, taking into account all boundaries.\nLet \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_m\\ \\in \\mathbb{R}^3\\}$\\end{document}{rm ∈R3} represent the set of Nm sensor coordinates. We now define the forward-field vector \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a}(\\{\\mathbf{r}_m\\},\\mathbf{r}_q) = [\\mathbf{g}(\\{\\mathbf{r}_m\\},\\mathbf{r}_q)\\cdot \\boldsymbol{U}(\\mathbf{r}_q)]$\\end{document}a({rm},rq)=[g({rm},rq)⋅U(rq)] as a vector transfer function to model the set of Nm measurements generated by the single with fixed orientation \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{U}(\\mathbf{r}_q) \\in \\mathbb{R}^3$\\end{document}U(rq)∈R3. For compactness, we now suppress the dependency of \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a(\\mathbf{r}_q})$\\end{document}a(rq) on the set of sensor locations rm. The vector \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)\\in\\mathbb{R}^N_m$\\end{document}m(t)∈RmN represents time-varying sensor data, given by (7): \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{m}\\left(t\\right) \\; = \\; \\mathbf{a}\\left(\\mathbf{r}_q\\right)\\,s\\left(t\\right) + \\mathbf{n}\\left(t\\right),\\end{align*}\\end{document}m(t)=a(rq)s(t)+n(t), where our model now includes a vector of noise components \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{n}(t)$\\end{document}n(t) at the sensors, added to the model.\nWe now extend (7) to include the simultaneous activations of p dipoles, which by the principle of electromagnetic superposition, is given by \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{m}\\left(t\\right) \\; = \\; \\mathbf{A}\\,\\mathbf{s}\\left(t\\right) \\;+\\; \\mathbf{n}\\left(t\\right),\\end{align*}\\end{document}m(t)=As(t)+n(t), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{A} = [\\mathbf{a}(\\mathbf{r}_{q1}), \\ldots, \\mathbf{a}(\\mathbf{r}_{qp})]$\\end{document}A=[a(rq1),…,a(rqp)] is the forward field matrix generated by p dipoles, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{s}(t)$\\end{document}s(t) is the vector of corresponding dipole amplitudes.\nFinally, for T discrete time samples, we concatenate the measurements into the matrix \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{M} = [\\mathbf{m}(t_1), \\ldots, \\mathbf{m}(t_T)]$\\end{document}M=[m(t1),…,m(tT)], and we similarly concatenate the dipole time series into \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{S} = [\\mathbf{s}(t_1), \\ldots, \\mathbf{s}(t_T)]$\\end{document}S=[s(t1),…,s(tT)], to yield the spatiotemporal model (9): \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{M} \\; = \\; \\mathbf{A}\\,\\mathbf{S} \\;+\\; \\mathbf{N}.\\end{align*}\\end{document}M=AS+N.\nCurrent-density reconstruction methods estimate a three-dimensional map of distributed neural activity by solving for the amplitudes of thousands of fixed dipoles, treated as image pixels. These methods produce a regularized estimate of cortical or volumetric current density that, under the assumed forward and noise models, approximately reproduces the measured data. Spatial fidelity is governed by the method’s resolution properties, including point-spread and cross-talk functions, and the ability to separate concurrent generators depends on their overlap and on the effective rank of the measurements. Within this family, minimum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\ell_2$\\end{document}ℓ2-norm estimation (MNE) is the baseline estimator. Standardized outputs such as dynamic statistical parametric mapping (dSPM) and standardized low-resolution electromagnetic tomography (sLORETA) are variance-normalized statistics rather than physical current density and should be interpreted accordingly.\nReconstructing the amplitudes of thousands of dipoles with fixed orientations that form the ‘pixels’ of a cortical ‘image’ from only a few hundred scalp sensors creates a highly underdetermined inverse problem. This problem is similar to attempting to recover a detailed picture from a very sparse set of measurements, that is often encountered in the field of image processing. To obtain a meaningful solution, additional constraints are imposed through regularization and priors that encode assumptions about the spatial or statistical structure of neural activity.\nBayesian formulation. To estimate the amplitudes of dipole moments for every vertex of the cortical mesh that make up the min-norm image S from the data matrix M, the model is given by the linear equation discussed earlier (8).\nUnder the Bayesian framework introduced by [218], the current-density reconstruction is estimated by maximizing the log-posterior probability: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\widehat{\\mathbf{S}} = \\underset{\\mathbf{S}}{\\arg\\max}\\; \\left[ \\ln p\\left(\\mathbf{M}\\mid\\mathbf{S}\\right) \\;+\\; \\ln p\\left(\\mathbf{S}\\right) \\right],\\end{align*}\\end{document}S^=arg⁡maxS[ln⁡p(M∣S)+ln⁡p(S)], where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{s}}$\\end{document}s^ denotes the estimated dipole amplitudes for every vertex of the cortical mesh in source space; \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$p(\\mathbf{M}\\mid\\mathbf{S})$\\end{document}p(M∣S) denotes the conditional probability for the data matrix M given the source ‘image’ S; finally, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$p(\\mathbf{S})$\\end{document}p(S) denotes the prior distribution reflecting the knowledge of the statistical properties of the unknown image.\nThe log-likelihood is then given by \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\ln p\\left(\\mathbf{M}\\mid\\mathbf{S}\\right) \\; = \\; -\\frac{1}{2\\sigma_\\mathrm{n}^{2}} \\, \\bigl\\| \\mathbf{M}-\\mathbf{A}\\mathbf{S} \\bigr\\|_\\mathrm{F}^{2}\\end{align*}\\end{document}ln⁡p(M∣S)=−12σn2‖M−AS‖F2 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\sigma_\\mathrm{n}$\\end{document}σn is the standard deviation of the noise, which is assumed to be temporally and spatially white.\nThe prior probability distribution over the cortical source matrix is modeled as an exponential family: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} p\\left(\\mathbf{S}\\right) = \\frac{1}{z}\\exp\\!\\left\\{-\\beta\\,h\\left(\\mathbf{S}\\right)\\right\\},\\end{align*}\\end{document}p(S)=1zexp{−βh(S)}, where z is a normalizing constant, β is a scaling parameter, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$h(\\mathbf{S})$\\end{document}h(S) encapsulates the assumed statistical structure of the currents. We note that the decision to model the prior distribution as an exponential family makes the model both tractable and flexible, since it can represent many common distributions (e.g. Poisson, Bernoulli, Gaussian). However, the non-stationarity and non-normality of neural source activity may lead to deviations between the model and the observed data. The Bayesian framework for neural source estimation continues to receive attention from researchers to address its limitations, as newer approaches are discussed in section 4.3 and section 4.4.\nMNE represents the standard baseline solution derived from this Bayesian formulation, specifically when a Gaussian distribution is selected for the prior.\nCombining the log-likelihood (11) with the log-prior (12) produces the negative log-posterior; minimizing this quantity yields the maximum a posteriori (MAP) estimate, which corresponds to a weighted minimum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\ell_2$\\end{document}ℓ2-norm solution. As the model is assumed to be prewhitened [24], the log prior in (12) has the form \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} h\\left(\\mathbf{S}\\right) \\; = \\; \\operatorname{tr}\\!\\left\\{ \\mathbf{S}\\, \\mathbf{C}_\\mathrm{s}^{-1}\\, \\mathbf{S}^{\\mathsf{T}} \\right\\},\\end{align*}\\end{document}h(S)=tr{SCs−1ST}, where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{s}$\\end{document}Cs is the spatial covariance matrix of the min-norm image.\nMinimizing the negative log-posterior in (10) with the Gaussian prior yields the MAP estimator \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\widehat{\\mathbf{S}}_\\mathrm{MNE} \\; = \\; \\mathbf{C}_\\mathrm{s}\\mathbf{A}^{\\mathsf{T}} \\left( \\mathbf{A}\\mathbf{C}_\\mathrm{s}\\mathbf{A}^{\\mathsf{T}} + \\mathbf{C}_\\mathrm{n} \\right)^{-1} \\mathbf{M} \\;\\equiv\\; \\mathbf{F}\\,\\mathbf{M}.\\end{align*}\\end{document}S^MNE=CsAT(ACsAT+Cn)−1M≡FM. where F denotes the linear inverse operator formed by the MAP estimator.\nWhen the noise is assumed white such that \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{n} = \\lambda\\mathbf{I}$\\end{document}Cn=λI, this reduces to the Tikhonov-regularized MNE, with λ the regularization parameter. In signal processing, this estimator is equivalently known as the Wiener estimate or linear minimum mean-squared error solution.\ndSPM [213] involves normalization of the MNE, estimated using (14), by its estimated noise variance at each location, similar to neural activity index (NAI) (discussed in section 4.6). In Bayesian terms, dSPM does not assume a new prior but rather computes a statistical Z-score map of the white Gaussian posterior, which represents an estimate of SNR. This normalization is accomplished by estimating the noise sensitivity \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\Sigma_{\\widehat{\\mathbf{s}}}$\\end{document}Σs^ : \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\boldsymbol{\\Sigma}_{\\widehat{\\mathbf{s}}} \\; = \\; \\mathbf{F}\\,\\mathbf{C}_\\mathrm{n}\\,\\mathbf{F}^\\mathsf{T}.\\end{align*}\\end{document}Σs^=FCnFT. The noise-normalized Z-score estimate (zi) at source location i, is computed by normalizing the amplitude \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{s}}$\\end{document}s^ with the estimate of noise sensitivity: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{z}_i\\left(t\\right) \\; = \\; \\frac{\\widehat{\\mathbf{s}}_i\\left(t\\right)}{\\sqrt{\\,\\left[\\boldsymbol{\\Sigma}_{\\widehat{\\mathbf{s}}}\\right]_{ii}\\,}}.\\end{align*}\\end{document}zi(t)=s^i(t)[Σs^]ii. This has three effects: (i) it transforms the map into dimensionless statistical scores, (ii) it reduces the well-known superficial-depth bias of MNE, and (iii) it makes the point-spread function more uniform across the cortex.\nLORETA [219] imposes spatial smoothness via a zero-mean Gaussian prior on the source distribution whose precision is proportional to a discrete Laplacian smoothness operator defined on the source grid or cortical mesh.\nLet \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{D}$\\end{document}D denote the Laplacian operator and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{R} = \\mathbf{D}^{\\mathsf{T}}\\mathbf{D}$\\end{document}R=DTD the smoothness precision. In (14), LORETA derives the source covariance using the smoothness precision as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$ \\mathbf{C}_\\mathrm{s} \\;\\propto\\; \\bigl(\\mathbf{R}+\\lambda\\mathbf{I}\\bigr)^{-1} $\\end{document}Cs∝(R+λI)−1, which penalizes spatial roughness of the estimate. sLORETA [220] uses essentially the same prior as in (12). Moreover, like dSPM, it is a noise-normalized form of MNE that yields unitless, variance-standardized scores at each location; it is not a current-density distribution. The single-source unbiased localization result holds under correct forward and noise models; for multiple simultaneous generators the image reflects linear superposition of point-spread functions and source separation is not guaranteed [220, 221].\nIn Bayesian terms, all sLORETA variants use Gaussian priors but with nontrivial covariance. sLORETA can also be viewed as MAP [222]:\n\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{equation*} \\widehat{\\mathbf{S}}_\\textrm{sLORETA} = \\mathbf{A}^{\\mathsf{T}}\\left(\\mathbf{A}\\mathbf{A}^{\\mathsf{T}} + \\lambda^2 \\mathbf{I}\\right)^{-1}\\mathbf{S}.\\end{equation*}\\end{document}S^sLORETA=AT(AAT+λ2I)−1S. It further scales each solution component by the inverse square root of its variance, as in dSPM [213]. Under idealized single-source conditions with correct forward and noise models, sLORETA achieves zero localization bias [220]. In noisy data, whether sLORETA remains unbiased depends on the assumed noise model and SNR [223]. Recent analysis further shows that sLORETA is exactly equivalent to single-dipole scanning in an appropriate inner-product space, which clarifies why the unbiasedness guarantee is limited to single-source scenarios [224].\nExact LORETA (eLORETA) [225] goes further by analytically constructing a weight matrix that achieves ‘exact, zero-error’ localization even in the presence of measurement noise. These methods tend to produce smoother, more distributed maps than MNE, at the expense of depth bias in plain LORETA. However, sLORETA/eLORETA mathematically correct the bias [47, 225].\nHierarchical Bayesian models introduce multiple layers of prior distributions, allowing for adaptive regularization and the incorporation of anatomical, spatial, and statistical constraints. These models can capture both focal and distributed sources, as well as multiscale spatial features. For example, randomized multiresolution scanning (RAMUS) [226] leverages a hierarchical Bayesian approach to achieve robust and accurate source localization across both superficial and deep brain regions, without requiring a priori knowledge of the number or location of active sources. RAMUS uses an inverse-gamma hyperprior and randomized scanning to reduce discretization and optimization errors, enhancing the visibility of deep sources and providing robust MAP estimates for primary current density [227]. This approach has been reported to outperform in scenarios involving simultaneous thalamic and somatosensory activity. Another hierarchical approach used Markov Chain Monte-Carlo techniques to efficiently compute the MAP estimates [228]. More recent techniques introduced explicit structural constraints: one approach leveraged hierarchical graph priors via spanning trees to effectively handle noise while maintaining spatiotemporal continuity among neural sources [229], while the µ-STAR model incorporated microstate detection to inform the hierarchical priors [230]. Beyond these methods, other hierarchical models, such as those employing structured sparsity priors, variational sparsity, or multiscale graphical models, further enhance the resolution of sources with varying spatial extent and facilitate the separation of closely spaced or correlated sources [231–233]. These advances are particularly valuable for clinical applications, such as epilepsy localization, where both accurate depth localization and source separation are critical.\nEmpirical Bayesian methods estimate hyperparameters directly from the observed data, rather than fixing them a priori. This is particularly powerful for modeling noise, which in real EEG/MEG recordings is often structured and non-Gaussian. The structured noise Champagne algorithm exemplifies this approach by jointly estimating brain source activity and structured noise statistics using a variational Bayesian factor analysis model [234, 235]. Unlike traditional methods that assume white or stationary noise, this framework can adapt to spatially correlated environmental and biological noise sources, leading to more accurate and robust source reconstructions. Notably, it does not require separate baseline measurements, making it suitable for scenarios where noise characteristics change dynamically or are only present during active periods.\nRecent work has also extended empirical Bayesian frameworks to handle full noise-covariance structure estimation, further improving robustness in real-world scenarios where noise is non-diagonal and highly structured [236, 237]. These methods are particularly effective in low SNR conditions and for distributed source configurations.\nECD reconstruction posits that the measurements arise from a small number of focal generators. Each generator is represented as an ECD with unknown location and time-varying amplitude, yielding a discrete solution once the parameters are identified. For clarity, we review two canonical families among many available ECD reconstruction methods: least-squares estimation, which performs a direct non-linear search for the optimal dipole parameters that minimize the residual error, and Subspace scanning methods, such as multiple signal classification (MUSIC) and its recursive variant recursively applied and projected MUSIC (RAP-MUSIC). These methods use the sensor covariance structure to separate signal and noise subspaces and then test candidate cortical locations for consistency with the estimated signal subspace [46, 238]. RAP-MUSIC iterates this test with deflation to localize multiple generators without an explicit nonlinear fit of amplitudes.\nWhen the sparsity assumption holds and SNR is adequate, ECD reconstruction methods provide high spatial specificity and interpretable, discrete solutions that complement distributed minimum-norm imaging [24].\nLeast-squares source estimation represents one of the earliest and most straightforward strategies for solving the inverse problem. Building on the spatiotemporal model defined in (9), the goal is to determine the set of dipole parameters that best describe the data matrix M in the presence of measurement noise. In this framework, the forward field matrix A depends nonlinearly on the dipole locations \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_{qi}\\}$\\end{document}{rqi}, while the dipole amplitude time series S represents the linear parameters. The estimation seeks to minimize the squared error between the measured data and the fields predicted by the forward model. The measure of fit is defined as the square of the Frobenius norm: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}_{LS}\\left(\\{\\mathbf{r}_{qi}\\}, \\mathbf{S}\\right) \\; = \\; \\|\\mathbf{M} - \\mathbf{A}\\left(\\{\\mathbf{r}_{qi}\\right)\\mathbf{S}\\|_\\mathrm{F}^{2}.\\end{align*}\\end{document}JLS({rqi},S)=‖M−A({rqi)S‖F2. While a simultaneous nonlinear search over all parameters is possible, it is computationally burdensome. However, for any fixed set of locations and orientations, the amplitude matrix S that minimizes (17) can be determined analytically as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{S}} = \\mathbf{A}^{+}\\mathbf{M}$\\end{document}S^=A+M, where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{A}^{+}$\\end{document}A+ is the pseudoinverse of A. Substituting this optimal amplitude back into the cost function allows the problem to be separated, requiring minimization solely over the nonlinear parameters: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}_{LS}\\left(\\left\\{\\mathbf{r}_{qi}\\right\\}\\right) \\; = \\; \\|\\mathbf{M} - \\mathbf{A}\\mathbf{A}^{+}\\mathbf{M}\\|_\\mathrm{F}^{2} \\; = \\; \\|\\boldsymbol{\\Pi}_{\\mathbf{A}}^{\\perp}\\mathbf{M}\\|_\\mathrm{F}^{2}\\end{align*}\\end{document}JLS({rqi})=‖M−AA+M‖F2=‖ΠA⊥M‖F2 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}_{\\mathbf{A}}^{\\perp} = \\mathbf{I} - \\mathbf{A}\\mathbf{A}^{+}$\\end{document}ΠA⊥=I−AA+ is the orthogonal projection matrix onto the left null space of A. The nonlinear parameters are then estimated using iterative minimization algorithms such as Levenberg–Marquardt or Nelder–Mead simplex searches. This model can be applied sequentially to individual time slices to form a ‘moving dipole’ model, or to the entire data block to constrain the location as fixed over the interval.\nHowever, the least-squares approach faces a critical computational bottleneck when modeling multiple sources. As the number of sources increases, the dimension of the parameter space grows, and the cost function becomes highly non-convex, resulting in a landscape riddled with local minima. Consequently, simultaneous non-linear searches for multiple dipoles are prone to trapping and depend heavily on the accuracy of the initial guess. This limitation motivates the use of scanning approaches that can localize multiple sources without performing a high-dimensional non-linear optimization.\nSubspace scanning methods, originally developed in array processing for multi-source direction finding, were adapted to EEG/MEG to decouple location testing from amplitude fitting. Exemplified by MUSIC, as applied by Mosher et al [238], these techniques exploit the sensor covariance structure to partition signal and noise subspaces, enabling the scanning of candidate locations without explicit nonlinear amplitude estimation.\nFor the model in (9), the data matrix M can be decomposed using singular value decomposition to form \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{{\\mathbf{M}}} = \\boldsymbol{U}\\boldsymbol{\\Sigma} \\mathbf{V}^\\mathsf{T}$\\end{document}M=UΣVT. Assuming the independent and identically distributed (IID) noise, the set of left singular vectors (U) can be partitioned into signal and noise-only subspace. The signal subspace is spanned by the first p singular values (denoted by Us), and the noise-only subspace is spanned by the remaining left singular vectors. As a result, the best rank-p approximation of \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)$\\end{document}m(t) is obtained as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}_s(t) = (\\boldsymbol{U}_s \\boldsymbol{U}_s^\\mathsf{T})\\cdot\\mathbf{m}(t)$\\end{document}ms(t)=(UsUsT)⋅m(t), with the corresponding noise-subspace projection operator defined as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}^\\perp_s = \\mathbf{I} - (\\boldsymbol{U}_s \\boldsymbol{U}_s^\\mathsf{T})$\\end{document}Πs⊥=I−(UsUsT). The MUSIC localizer is then expressed in terms of this operator, yielding the cost function [238]: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}\\left(\\mathbf{r}_{qi}\\right) &amp; = \\frac{\\| \\boldsymbol{\\Pi}^\\perp_s \\mathbf{a}\\left(\\mathbf{r}_{qi}\\right) \\|^2_2}{\\|\\mathbf{a}\\left(\\mathbf{r}_{qi}\\right)\\|_2^2}\\end{align*}\\end{document}J(rqi)=‖Πs⊥a(rqi)‖22‖a(rqi)‖22 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathcal{J}(\\mathbf{r}_{qi})$\\end{document}J(rqi) denotes the MUSIC cost function evaluated at dipole location q at time i, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}^\\perp_s$\\end{document}Πs⊥ denotes the perpendicular projection operator into noise-only subspace.\nMUSIC cost function is zero when \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a}(\\mathbf{r}_{qi})$\\end{document}a(rqi) corresponds to the true locations of the sources. Therefore, the inverse solution is found by searching for maxima in the ‘MUSIC’ scan, defined as the reciprocal of the cost function: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$P_{\\textrm{MUSIC}} = 1/\\mathcal{J}(\\mathbf{r}_{qi})$\\end{document}PMUSIC=1/J(rqi) where peaks indicate the estimated location of the dipoles. Intuitively, MUSIC finds locations whose predicted field patterns correlate strongly with the measured data’s dominant components. One advantage is that it does not require inverting the full covariance and can handle temporally correlated sources better than the beamformer (discussed in section 4.6) algorithms, since uncorrelated source assumptions are not needed in its localizer.\nRAP-MUSIC [46] uses MUSIC recursively to localize multiple simultaneous sources. RAP-MUSIC works iteratively by finding the best location for one source via MUSIC, then projecting the data into the subspace orthogonal to that source’s field, and therefore effectively ‘removing’ its contribution, and then finds the next source location in the residual data. This recursive projection continues until the desired number of sources is found. RAP-MUSIC thereby automates multi-dipole localization, addressing the peak-finding ambiguity of basic MUSIC and allowing a straightforward multi-source search. Notably, RAP-MUSIC inherits key assumptions of MUSIC: it presupposes predominantly uncorrelated, focal sources and requires the number of sources (or a stopping threshold) to be set. This could be mitigated by employing metrics such as Akaike information criteria [239], Bayesian information criteria [240], minimum description length [239], and F-ratio [241].\nOver the years, several variants of RAP-MUSIC have been introduced, which extend the functionality of RAP-MUSIC. Truncated RAP-MUSIC (TRAP-MUSIC) [242] was proposed to improve robustness in estimating the number of sources. RAP-MUSIC can leave behind residual variance that distorts subsequent iterations. TRAP-MUSIC addressed this issue by performing a sequential reduction of the signal subspace dimension at each iteration. This is achieved by truncating the remaining eigenspectrum by one (or the estimated multiplicity) of that source’s eigenvalues, thereby ensuring that residual unexplained variance is pushed into the noise subspace. FLEX-MUSIC [243] and its sibling FLEX-AP [244] push the MUSIC family beyond the point-dipole assumption by letting each candidate generator adopt a variable spatial extent. They precompute a dictionary of leadfield ‘atoms’ ranging from single dipoles to smoothly smoothed cortical patches; during scanning, the algorithm can pick whichever extent best fits the residual data. FLEX-MUSIC [243] keeps RAP’s eigenprojection framework, whereas FLEX-AP [244] embeds this idea in the alternating-projection (AP) solver that is inherently more tolerant of temporally correlated sources. Moving to the frequency domain further broadens MUSIC’s reach. Self-consistent MUSIC works on the imaginary part of the cross-spectral density (CSD), which was created to help localize a specific brain rhythm, such as µ rhythms (∼11 Hz) [245].\nSpatial filtering refers to the design of beamformer filters that allow the passage of activity from a designated location while attenuating signals from elsewhere, thereby providing spatially selective sensitivity. Intuitively, the LCMV beamformer asks whether one can construct a filter that ‘listens’ to a single location while suppressing all others. Mathematically, beamforming seek the weight matrix \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W}\\in\\mathbb{R}^{N_m \\times p}$\\end{document}W∈RNm×p that transforms the data \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)$\\end{document}m(t) to source activity \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{s}(t)$\\end{document}s(t). Originally developed for radar and sonar applications, beamforming has become a widely used approach for source localization in MEG and EEG.\nThe seminal paper by Van Veen et al [214, 246, 247] introduced the LCMV beamformer algorithm, which applied Capon/minimum variance distortionless response [248] beamformer theory to localize brain electrical activity. The algorithm designs a weight vector \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W^{\\mathsf{T}}}$\\end{document}WT for each candidate source location rq such that (i) the beamformer output (\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{s}(t) = \\mathbf{W}^{\\mathsf{T}}\\mathbf{m}(t)$\\end{document}s(t)=WTm(t)) has unit gain for a dipole at that location, and (ii) the output power of sources originating from other locations is minimized. Assuming fixed orientation dipoles and the model in (7), the mathematical formulation of estimating \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W^{\\mathsf{T}}}$\\end{document}WT is given as:\n\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\arg\\min_{\\mathbf{W}^{\\mathsf{T}}} \\operatorname{tr}\\!\\left\\{\\mathbf{C}_\\mathrm{s}\\right\\} \\quad\\mathrm{s.t.}\\quad \\mathbf{W}^{\\mathsf{T}}\\mathbf{a}\\left(\\mathbf{r}_q\\right) = \\mathbf{I},\\end{align*}\\end{document}arg⁡minWTtr{Cs}s.t.WTa(rq)=I, where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{s} = \\mathbb{E}\\!\\bigl[\\mathbf{s}\\mathbf{s}^{\\mathsf{T}}\\bigr] = \\mathbf{W}^{\\mathsf{T}}\\mathbf{C}_m\\mathbf{W}$\\end{document}Cs=E[ssT]=WTCmW denotes the output covariance matrix. The data covariance \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C_m}$\\end{document}Cm is estimated empirically via \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbb{E}\\!\\bigl[\\mathbf{m}\\,\\mathbf{m}^{\\mathsf{T}}\\bigr] = \\mathbf{M}\\mathbf{M}^\\mathsf{T}/T$\\end{document}E[mmT]=MMT/T.\nSolving (20) using the method of Lagrange multipliers leads to the following solution [246]: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{W}^\\mathsf{T} = \\left[ \\mathbf{a}^\\mathsf{T}\\left(\\mathbf{r}_q\\right) \\, \\mathbf{C}_m^{-1} \\, \\mathbf{a}\\left(\\mathbf{r}_q\\right) \\right]^{-1} \\mathbf{a}^\\mathsf{T}\\left(\\mathbf{r}_q\\right) \\, \\mathbf{C}_m^{-1}.\\end{align*}\\end{document}WT=[aT(rq)Cm−1a(rq)]−1aT(rq)Cm−1. To compensate for depth bias and noise, Van Veen et al proposed the NAI [214], Intuitively, NAI is akin to a SNR metric highlighting locations with activity above the noise floor, where the peaks correspond to the putative source locations. It is computed by normalizing the output variance of the LCMV beamformer, computed using (21), with the output obtained in the presence of noise only: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathrm{NAI}\\left(\\mathbf{r}_q\\right)\\; = \\; \\frac{\\operatorname{tr}\\!\\left\\{\\left[\\mathbf{a}^{\\mathsf{T}}\\left(\\mathbf{r}_q\\right)\\,\\mathbf{C}_{m}^{-1}\\,\\mathbf{a}\\left(\\mathbf{r}_q\\right)\\right]^{-1}\\right\\}} {\\operatorname{tr}\\left\\{\\!\\left[\\mathbf{a}^{\\mathsf{T}}\\left(\\mathbf{r}_q\\right)\\,\\mathbf{C}_{n}^{-1}\\,\\mathbf{a}\\left(\\mathbf{r}_q\\right)\\right]^{-1}\\right\\}}\\end{align*}\\end{document}NAI(rq)=tr{[aT(rq)Cm−1a(rq)]−1}tr⁡{[aT(rq)Cn−1a(rq)]−1} where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{n} = \\mathbb{E}\\!\\bigl[\\mathbf{n}\\,\\mathbf{n}^{\\mathsf{T}}\\bigr]$\\end{document}Cn=E[nnT] is the noise covariance.\nAn advantage of the LCMV beamformer is that it makes no assumption on the number of active sources, instead exploiting the full sensor covariance; it can thus image multiple sources without specifying how many are present. Moreover, the beamformer algorithms need a relatively few number of user-specified parameters, namely, the size of the reconstructed grid, the time-frequency window of interest, and noise regularization parameters [249].\nOver the last 25 years, numerous extensions to the basic LCMV beamformer approach have been introduced to address limitations of classic LCMV beamforming methods [250–255]. A well-known limitation is their sensitivity to partially correlated sources; if two brain regions are synchronous, a beamformer may erroneously suppress both, as the covariance matrix does not offer a unique solution for their separate contributions. Various strategies have been devised to modify the beamformer constraint to allow the passage of multiple simultaneous sources. One landmark example is the dual-source beamformer proposed by Brookes et al [256], which was originally devised for MEG, but later applied to EEG [257]. In this approach, the leadfield is re-formulated to allow two spatially distinct target locations instead of one. Essentially, two weight vectors are computed as a coupled system, allowing a pair of highly correlated sources to be imaged without canceling each other. Another approach, which is known as the nulling beamformer (NB), was introduced by Hui et al [258]. The NB approach imposes additional linear constraints to explicitly suppress activity from other known regions while passing the target region.\nAnother limitation is the algorithm’s high degree of sensitivity to the forward modeling errors. EEG forward models are sensitive to head geometry and tissue conductivities; errors in electrode co-registration or misspecification of skull conductivity can lead to a mismatch between the assumed leadfield and the true leadfield. To reduce the sensitivity of beamformers to the errors in forward modeling, the so-called model mismatch problem, robust beamformers were introduced. Robust minimum variance beamformer introduced by Hosseini et al [259] empirically estimated uncertainty ellipsoids for each location by sampling neighboring points and different head models, then solved for robust weights. Additionally, because the beamformer must invert the covariance matrix, an ill-conditioned or poorly estimated covariance can introduce instability and require regularization. To deal with this problem, several robust covariance estimation techniques such as probabilistic principal component analysis [260], the minimum-covariance-determinant estimator [261], and Ledoit–Wolf linear shrinkage [262] were introduced.\nFinally, LCMV beamformers also suffer from a depth bias; sources deeper in the brain have lead fields with smaller norms, resulting in larger weight norms and artificially inflated power estimates for superficial sources. In order to address these problems, spatial normalization strategies were employed, which involve leadfield normalization at the filter weight computation step [263]; examples include array-gain beamforming [255] and unit-noise-gain beamforming [264].\nAnother specialized beamformer approach called dynamic imaging of coherent sources (DICSs), introduced by Gross et al [265], extends the beamforming approach to the frequency domain. Unlike a time-domain beamformer, which maximizes output power, DICS constructs spatial filters to localize regions that are coherently oscillating with a given reference or with each other and allows functional connectivity estimations. The algorithm computes the CSD matrix of sensor signals at the frequency of interest (e.g. an epileptic oscillation at 5 Hz or a beta rhythm at 20 Hz). DICS then designs a spatial filter \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W}(\\mathbf{r}_q)$\\end{document}W(rq) for each location such that it passes signals from rq and simultaneously maximizes the coherence between the output at rq and a target signal.\nBeyond ECD reconstruction, current-density reconstruction, and spatial filtering methods, several complementary families of source reconstruction methods operate on the same linear forward model but impose different structural assumptions or optimization criteria. These approaches are often chosen to match a specific scientific or clinical aim, for example, detecting spatially extended generators, or separating mixed processes.\nEntropy-based distributed methods, typified by the maximum entropy on the mean framework, replace quadratic smoothness with information-theoretic priors and parcel-level organization, yielding solutions that can adapt to both focal and extended generators while remaining data-driven. Blind source separation (BSS) techniques, especially independent component analysis (ICA) coupled with dipole fitting, treat the problem as statistical demixing; they are widely used to isolate physiologically plausible, often dipolar, components and to remove artifacts, thereby simplifying subsequent localization. Metaheuristic global optimization methods such as particle swarm optimization (PSO) recast localization as a direct search in the nonlinear parameter space of ECDs; by relying only on the forward operator, they can escape local minima and handle model orders that are difficult for gradient-based fits, at higher computational cost.\nIn the subsections that follow, we discuss other techniques, emphasizing when they are advantageous, their principal assumptions, and common pitfalls relative to the methods established in the previous sections.\nMEM is a Bayesian distributed source imaging framework that incorporates minimal prior assumptions by maximizing an entropy-like measure of uncertainty subject to the data constraints. In practice, the source amplitudes s are modeled as random variables. MEM finds the source distribution that is maximally non-committal (maximum entropy) except as required to fit the observed scalp data m, via the model is given by (7).\nConceptually, one posits a probability density function \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$P(\\mathbf{s})\\propto \\exp(-\\Phi(\\mathbf{s}))$\\end{document}P(s)∝exp⁡(−Φ(s)) and chooses \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\Phi(\\mathbf{s})$\\end{document}Φ(s) to maximize entropy subject to data fidelity. Clarke and Janday [266] first applied maximum-entropy ideas to the biomagnetic inverse problem, and Rice [267] discussed the neurophysiological justification of maximum-entropy EEG solutions\nThe critical prior in modern MEM methods is a data-driven cortical parcellation. Brain sources are assumed to be organized in non-overlapping spatial parcels of the cortex, each of which may be ‘active’ or not. Within each active parcel, sources are allowed a contrast of intensity. Early MEM implementations used anatomically-informed parcels, but later approaches use data-driven parallelization. In this model, the unknown source vector s is partitioned into blocks corresponding to parcels; MEM infers which parcels are active and with what intensity. This yields sensitivity to spatially extended generators as well as focal ones. Grova et al [268] showed that MEM can recover both the location and extent of simulated epileptic spikes. Chowdhury et al [269] confirmed that MEM methods detect sources from very small (∼3 \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n${\\mathrm{cm}^2}$\\end{document}cm2) up to large extents (∼30 \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathrm{cm}^2$\\end{document}cm2) with high accuracy.\nCoherent MEM (cMEM) [269] applies to time-domain evoked or averaged data and assumes the cortical parcels are temporally stable over the analysis window. It computes a single inverse solution (source map) that best fits the data while respecting parcel-level smoothness. Wavelet MEM (wMEM) [270] extends MEM into the time–frequency domain: the EEG signals are decomposed into discrete wavelet bands, and MEM is applied separately to each band. This is suited for localizing oscillatory activity (e.g. gamma bursts) at specific times, using a parcellation that can vary with frequency. Ridge MEM (rMEM) [271] targets synchrony patterns: it uses a continuous complex-wavelet transform to detect intervals of high phase-locking across channels and localizes the synchronous generators of those patterns. In summary, cMEM recovers static/evoked sources, wMEM localizes oscillatory bursts, and rMEM isolates phase-coherent activity.\nThe source reconstruction problem is also formulated as a BSS problem, and ICA has been used to isolate the putative source processes. Delorme et al [272] provided compelling empirical evidence that maximally independent EEG components are predominantly dipolar, validating ICA as a biologically meaningful preprocessing step for EEG/MEG source imaging. Using a four-shell spherical head model, they tested 22 linear decomposition algorithms to localize sources and concluded that ICA implementations such as adaptive mixture ICA and Extended-Infomax reduced a high-dimensional distributed inverse problem to a series of low-parameter dipole fits.\nPSO [273] is a stochastic global optimization technique inspired by the social behavior of animals. In EEG source localization, it treats the inverse problem as a nonlinear search for dipole parameters. Minimizing a over rq is nonlinear and nonconvex due to the inverse operation. PSO solves this by simulating a swarm of candidate solutions (‘particles’) moving through the parameter space. A ‘modified PSO’ (MPSO) extended the approach to multi-dipole scenarios [274]. The key insight is that PSO requires only interacting with the forward operator and can escape local minima better than greedy methods. PSO’s strength is its global search capability. It can find sources that gradient methods might miss and requires no initial guess.\nFor somatosensory-evoked potentials (SEPs) and epileptic spike localization, it provides an easy way to localize the peak generator without linearizing assumptions. Shirvany et al [275] applied MPSO to hd-EEG of SEP. They generated a realistic 1 mm FEM head model and restricted sources to the gray matter. They reported that MPSO converged to the true source region and dramatically outperformed exhaustive grid search (3700× fewer evaluations) in computation. The main hyperparameters are swarm size, inertia, cognitive/social factors, and maximum iterations. Shirvany et al used adaptive swarm sizing and special rules to avoid stalling\nUnlike ICA or MEM, PSO can, in principle, handle multiple dipoles by extending the search space. However, PSO is computationally demanding: each particle update requires a forward solve and as many solves per iteration as particles. Even with 30 particles and 100 iterations, one does 3000 forward solves, which can be slow. Shirvany et al [273] reported PSO took hundreds of seconds for a single-source localization, versus hours for exhaustive search. PSO also needs careful tuning; poor parameter choices can cause premature convergence. In practice, PSO has a risk of trapping in local minima if the swarm diversity collapses.\nSupervised learning based approaches focus on utilizing supervised machine learning, especially deep learning, to directly learn a nonlinear function between scalp EEG and underlying brain source activity and location. These methods do not typically employ a fully data-driven approach, instead opting to use advanced models of brain activity to simulate scalp EEG and source activity for model training. Deep learning models benefit from enhanced representation learning that can capture more complex relationships in data that are often present in the field of brain source localization. Due to the nature of deep learning models as universal approximators, these approaches aim to find an estimate of the sources \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{S}}$\\end{document}S^ by approximating the inverse operator \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{f}$\\end{document}f^ as in (23): \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{equation*} \\widehat{\\mathbf{S}} = \\widehat{f}\\left(\\mathbf{M}\\right).\\end{equation*}\\end{document}S^=f^(M).\nThe application of deep learning methods to solve the EEG inverse problem is relatively new in the literature. Cui et al [276] used a long-short term memory (LSTM) recurrent neural network (RNN) to reconstruct the position and time course of one source. This work trained and tested the model on simulated data with varying degrees of noise perturbations.\nHecker et al [277] created a model called ConvDIP that uses a shallow convolutional neural network (CNN) model capable of solving the inverse problem using a distributed dipole solution (between 1 and 5 source clusters). The model was trained using synthetic data generated from a biophysical patch–source model and was then tested on real scalp EEG recordings from a single subject.\nSun et al [45] utilized a deep learning framework called DeepSIF that combined CNN and RNN architectures to leverage both spatial (position of electrodes from scalp EEG) and temporal (model the temporal dynamics of brain sources) information in scalp EEG data. Additionally, this work employed NMMs, which are mathematical models used to simulate the average activity of neuronal populations in the brain. They simplify the complex dynamics of individual neurons by representing them as interconnected masses of neurons, focusing on the overall firing rates and membrane potentials of these populations. This work segmented the brain into 994 regions of possible source activity, greatly improving the spatial-temporal resolution of DNN-based solutions for solving the EEG inverse problem. The model trained on the synthetic data was then tested on three publicly available scalp EEG datasets and one epilepsy dataset to validate the model.\nWu et al [278] developed a deep learning framework based on manifold learning to address the EEG inverse problem. This methodology utilizes a variational autoencoder that first learns how to compress and subsequently reconstruct scalp EEG activity in an unsupervised manner. The goal of an autoencoder is to learn a low dimensional latent space in which most of the variability in the neural data exists and can be modeled as a nonlinear manifold. Once this latent space is learned, scalp measurements can be projected into the latent space and input into a decoder module that learns how to reconstruct intracranial measurements. This model was trained on synthetic data using 226 regions of source activity and then tested on two public datasets of scalp EEG focused on epileptic activity and visual evoked potentials.\nPrevious methods to solve the EEG inverse problem rely heavily on a robust model of brain dynamics to generate synthetic scalp EEG and source activity for model training. These methods then test their models on additional synthetic data, which can greatly inflate the accuracy in the model reconstructions. In addition, these methods can test the models on public scalp EEG datasets to check that the model estimates source activity in the generally correct area, such as seizure foci or the visual cortex for visual evoked response experiments. However, these methods do not have a true ground truth measurement of electrical activity within the brain to evaluate these methods.\nAn alternative approach to address the inverse problem would be to obtain synchronized scalp and iEEG and then train a model to reconstruct the intracranial measurements from the scalp measurements. Obtaining a dataset of this nature is difficult as iEEG would require an invasive procedure, proper labeling of neural sources, and a wide distribution of sources measured. However, drug-resistant epilepsy patients routinely undergo a sEEG procedure, which involves the placement of 10–20 thin wire electrodes through small holes in the skull to record brain activity and identify the epileptogenic zone. Scalp EEG is often acquired simultaneously to aid in the localization of seizure activity. Patients are implanted for several days to a few weeks and are tapered down on anti-seizure medications in order to monitor bona fide epileptic activity. Data acquired from this type of procedure is perfectly suited for a fully data-driven approach to solving the inverse EEG problem, which could potentially remove the need for complex modeling of brain activity entirely or be used in tandem with neural models to aid in inverse model development. While synchronous recordings of sEEG and scalp EEG may originate in epilepsy monitoring units, the applications for this technique would extend to numerous applications, such as those discussed in section 5.\nThe first work to directly map scalp EEG to sEEG data using DNN’s was Antoniades et al [279]. This work utilized an asymmetric autoencoder to map the temporal sequence of scalp EEG to sEEG. The converted signals were then fed into a CNN architecture to classify if the epoch of data contained an intracranial epileptic discharge (IED). This method outperformed all previously developed linear methods. Took et al [280] used a similar approach with autoencoders, but used pretrained models to improve the model training and classification accuracy. Hu et al [281] expanded this work by using a generative adversarial network (GAN) to generate sEEG signals from scalp EEG. GAN’s consist of two steps. First, an encoder-decoder model learns how to generate sEEG from scalp EEG data using classic DNN architectures like CNN’s or RNN’s. Second, a discriminator model aims to correctly classify between real examples of sEEG data and the synthesized data. Both models are trained simultaneously in a competitive manner such that the first model generates higher fidelity synthetic sEEG and the second model learns how to expertly discern between real and synthetic data. In this specific work, they modified the discriminator to compare the time series representations, frequency spectra, and spatial correlations between EEG channels to produce a high fidelity mapping. This work did not apply the method to IED classification, limiting the applicability. Abdi et al [282] used a combination of autoencoders and GANs to directly map scalp EEG to sEEG and for the eventual prediction of IED periods.\nTo the authors’ best knowledge, there is currently no methodology that combines synthetic data and real data for the training of DNN architectures to solve the EEG inverse problem. Future research combining these approaches may lead to superior performance and more generalizable models to unseen patients, expanding the clinical utility of these methods.\nThis section synthesized key techniques for EEG source analysis. The inverse problem, which is notoriously ill-posed, seeks to reconstruct the underlying brain sources and has traditionally relied on either ECD reconstruction for focal sources or minimum-norm imaging for distributed activity, both of which use regularization to find a plausible solution. Among ECD reconstruction approaches, MUSIC demonstrates more stability with respect to correlated sources compared to beamforming approaches, while among current-density reconstruction approaches, the choice among formulations depends on the assumed covariance of the data and desired depth of imaging. We summarize these key linear approaches and their assumptions, use cases, and limitations in table 2. Recent advancements, including the direct mapping of scalp EEG to intracranial recordings and supervised machine learning techniques (summarized in table 3), offer new avenues for solving the inverse problem by bypassing complex biophysical models and leveraging ground-truth data from patients. Future directions aim to leverage advances in intracranial measurements, computational hardware, and multimodal, data-driven frameworks for improved accuracy, generalizability, and downstream clinical utility.\nComparison of quasi-linear source estimation methods. This table summarizes the specific underlying assumptions, optimal application scenarios (best-use cases), and inherent limitations for a taxonomy of linear and scanning inverse algorithms.\nFocal source\nLinearly independent sources\nAccurate forward model\nGaussian noise with known covariance\nMulti-dipole scans without non-linear fitting\nSensitive to forward model error\nResidual variance left behind during recursive projection\nRequires subspace rank (model order) selection\nFocal sources\nUncorrelated sources\nAccurate forward model\nWell-estimated data covariance\nNoise wide-sense stationary\nSufficient samples per parameter\nScanning brain-wide activity to find specific sources\nEvent-related desynchronization/synchronization\nhigh-specificity functional connectivity analyses that are less contaminated by field spread.\nBreak down with correlated sources or closely spaced sources\nSensitive to forward model error\nSuffers from depth bias\nAccurate forward model\nGaussian noise\nImaging broad or unknown source configurations in task-based studies\nProduces interpretable map of brain activity with minimal assumptions on source count\nWorks well with averaged data\nOutput is a variance-normalized statistic\nUnbiasedness holds only for a single point source\nLimited spatial precision and dependency on noise estimation\nOverestimate the spatial extent\nParcel-level spatial coherence\nTemporal stability within the analysis window\nImposes a Bayesian prior that maximizes entropy\nLocalizing spatially extended cortical generators\nMultiple simultaneous sources\nComputationally intensive and model-dependent\nLower performance for a single very focal, high-SNR source\nSensitive to parcellation and hyperparameters\nLinear, instantaneous mixing of statistically independent source processes\nNumber of recoverable ICs \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\unicode{x2A7D}$\\end{document}⩽ number of sensors\nWide-sense stationarity over the analysis window\nNumber of recoverable ICs \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\unicode{x2A7D}$\\end{document}⩽ number of sensors; approximate stationarity over the analysis window\nDecomposing ERPs into physiologically plausible subcomponents and fitting dipoles to dipolar ICs\nFails if the source independence assumption is violated\nUser intervention involved in selecting artifactual sources\nCannot separate sources that overlap in time perfectly\nLow-dimensional global optimization problem exists\nGlobal search or a few dipole sources\nUseful when little prior information is available\nWindowed localization at event peaks or brief epochs\nEffectiveness drops with multiple or correlated sources\nComputationally expensive\nConvergence is not guaranteed\nHyperparameter sensitivity (swarm size, inertia, learning rates)\nAbbreviations:\nMUSIC = multiple signal classification; RAP-MUSIC = recursively applied and projected MUSIC; LCMV = linearly constrained minimum variance; dSPM = dynamic statistical parametric mapping; sLORETA = standardized low-resolution brain electromagnetic tomography; cMEM = cortical maximum entropy on the mean; ICA = independent component analysis; IC = independent component; ERP = event-related potential; PSO = particle swarm optimization; SNR = signal-to-noise ratio.\nRecent supervised deep learning approaches for EEG Source estimation. This table contrasts various supervised neural network architectures applied to the inverse problem. It details the synthetic data generation strategies (utilizing forward models such as BEM or FEM), the validation datasets (ranging from simulated signals to clinical epilepsy recordings), and the quantitative performance metrics reported in each study.\nSimulated data\nMean localization error: 4.22 mm\nSimulated data\nHuman scalp EEG (perception task)\nLocalization error: 11.05 mm, MSE: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$3.9 \\times 10^{-19} \\mathrm{V}^2$\\end{document}3.9×10−19V2\nOverlap with brain regions previously associated with perception\nSimulated data\n3 public EEG EP datasets\n1 epilepsy iEEG dataset\nLocalization error: 1.56 mm\nOverlap with brain regions previously associated with the EPs\nEpileptic foci localization (defined as the overlap with resection area) precision: 0.79, recall: 0.49\nPublic VEP EEG dataset\nPublic seizure EEG dataset\nOverlap with brain regions previously associated with the EPs\nEpileptic foci localization precision: 0.91, recall: 0.81.\nAbbreviations:\nEEG = electroencephalography; iEEG = intracranial electroencephalography; LSTM = long short-term memory; CNN = convolutional neural network; ResBlock = residual block; VAE = variational autoencoder; FEM = finite element method; BEM = boundary element method; EP = evoked potential; VEP = visual evoked potential; MSE = Mean Squared Error.\n\n\n### Review of linear models\nElectromagnetic source localization seeks to pinpoint the brain regions generating electrical activity measured on the scalp. Although the EEG and MEG measure different characteristics of the underlying source, the mathematical approach to estimate the source activity is fundamentally equivalent. This inverse problem is notoriously ill-posed; as a result, several advanced signal processing algorithms have been proposed over the past 40 years to reconstruct a plausible and verifiable inverse solution, once the head model is computed. These ideas build on Hämäläinen and Ilmoniemi [215] and Sarvas [216], who laid the mathematical foundations.\nIn the following sections, we follow a commonly used three-way taxonomy of linear methods, where figure 3 illustrates the inverse problem and example modeling approaches:\n(i)Current-density reconstruction: Current-density reconstruction models represent the cortex using a dense array of fixed candidate dipoles. Because the dipole locations are fixed, the inverse problem simplifies to a linear estimation of the dipole amplitudes. However, since the number of unknown source amplitudes vastly exceeds the number of sensors, this inverse problem is severely underdetermined, necessitating the use of regularization or priors to constrain the solution.(ii)ECD reconstruction: ECD reconstruction assumes that only a small number of focal sources are active in the brain, each modeled as an ECD with unknown parameters. The inverse problem is then cast as a non-linear optimization to find the best-fitting dipole parameters for a prespecified number of dipoles, which yields a discrete solution that explains the data.(iii)Spatial filtering: Spatial filters, including adaptive beamformers, construct linear weights to pass activity from a target location while suppressing interference from elsewhere. These methods, such as the linearly constrained minimum variance (LCMV) beamformer, generate power or signal-to-noise ratio (SNR) maps that can reveal multiple concurrent sources without prespecifying their number [214].\nCurrent-density reconstruction: Current-density reconstruction models represent the cortex using a dense array of fixed candidate dipoles. Because the dipole locations are fixed, the inverse problem simplifies to a linear estimation of the dipole amplitudes. However, since the number of unknown source amplitudes vastly exceeds the number of sensors, this inverse problem is severely underdetermined, necessitating the use of regularization or priors to constrain the solution.\nECD reconstruction: ECD reconstruction assumes that only a small number of focal sources are active in the brain, each modeled as an ECD with unknown parameters. The inverse problem is then cast as a non-linear optimization to find the best-fitting dipole parameters for a prespecified number of dipoles, which yields a discrete solution that explains the data.\nSpatial filtering: Spatial filters, including adaptive beamformers, construct linear weights to pass activity from a target location while suppressing interference from elsewhere. These methods, such as the linearly constrained minimum variance (LCMV) beamformer, generate power or signal-to-noise ratio (SNR) maps that can reveal multiple concurrent sources without prespecifying their number [214].\nThe inverse problem of neuronal source estimation and taxonomies of modeling approaches. (a) Overview of the inverse process. Noninvasive electromagnetic measurements obtained via magnetoencephalography (MEG) and electroencephalography (EEG) are processed to infer the underlying neural source activity. The results can be visualized as topographical scalp maps (right, top left), equivalent dipoles (right, top right), or distributed volumetric activity (right, bottom). (b) Parametric modeling: this approach assumes a small number of focal sources. The visualization shows an equivalent current dipole (ECD) reconstruction, where the location and moment of a source are estimated using least-squares fitting. (c) Cortical source imaging (Surface): a distributed inverse approach where sources are constrained to the cortical surface geometry. The example displays a current-density reconstruction computed using dynamic statistical parametric mapping (dSPM) [213]. (d) Spatial filter estimation (Volume): a volumetric approach that scans the brain using a grid of locations rather than a surface mesh. The example shows a source map computed using the neural activity index (NAI), a beamforming metric [214]. Panels (b)–(d) were generated with Brainstorm [195].\nThe source-space definition represents the foundational modeling decision in practice. A poor choice exacerbates issues like depth bias, spatial leakage, and false positives, whereas adopting anatomically constrained spaces enhances both conditioning and interpretability. A geometry-agnostic strategy distributes candidate dipoles on a dense volumetric grid inside the head, akin to tomographic sampling [24]. For healthy participants, dominant EEG generators arise from aligned cortical pyramidal populations, motivating a cortically constrained source space with surface-normal orientations [36, 137, 217]. After MRI segmentation, the gray-white boundary is tessellated into a triangular mesh; a unit dipole is placed at each vertex and oriented along the local surface normal, reflecting apical dendrites orthogonal to the cortex. Capturing gyral and sulcal geometry at millimeter resolution typically requires 104–105 such elements. In clinical populations, especially epilepsy, generators can be deep or noncortical and may involve dysplastic cortex; analyses should therefore consider volumetric source spaces, relaxed orientation constraints, and explicit subcortical compartments when indicated by hypotheses.\nAlgebraic formulation of the inverse problem. The approach to mathematically modeling the inverse problem builds off the algebraic model of the forward problem, which we synthesize in the following sections. Consider a dipole at location rq with fixed unit orientation \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{U}(\\mathbf{r}_q)$\\end{document}U(rq). At time point t, let the dipole moment be \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{q}(t) = \\boldsymbol{U}(\\mathbf{r}_q)\\cdot s(t)$\\end{document}q(t)=U(rq)⋅s(t), where s(t) is the scalar dipole amplitude. For a single sensor at position rm, the time-varying electric field potential due to a single dipole of scalar amplitude s(t) is given by: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\phi\\left(\\mathbf{r}_m,t\\right) \\; = \\; \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_q\\right)\\cdot \\mathbf{q}\\left(t\\right) \\; = \\; \\mathbf{g}\\left(\\mathbf{r}_m,\\mathbf{r}_q\\right)\\cdot \\boldsymbol{U}\\left(\\mathbf{r}_q\\right) s\\left(t\\right),\\end{align*}\\end{document}ϕ(rm,t)=g(rm,rq)⋅q(t)=g(rm,rq)⋅U(rq)s(t), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{g}(\\mathbf{r}_m,\\mathbf{r}_q)\\in\\mathbb{R}^3$\\end{document}g(rm,rq)∈R3 is the lead-field vector per unit dipole moment, taking into account all boundaries.\nLet \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_m\\ \\in \\mathbb{R}^3\\}$\\end{document}{rm ∈R3} represent the set of Nm sensor coordinates. We now define the forward-field vector \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a}(\\{\\mathbf{r}_m\\},\\mathbf{r}_q) = [\\mathbf{g}(\\{\\mathbf{r}_m\\},\\mathbf{r}_q)\\cdot \\boldsymbol{U}(\\mathbf{r}_q)]$\\end{document}a({rm},rq)=[g({rm},rq)⋅U(rq)] as a vector transfer function to model the set of Nm measurements generated by the single with fixed orientation \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{U}(\\mathbf{r}_q) \\in \\mathbb{R}^3$\\end{document}U(rq)∈R3. For compactness, we now suppress the dependency of \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a(\\mathbf{r}_q})$\\end{document}a(rq) on the set of sensor locations rm. The vector \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)\\in\\mathbb{R}^N_m$\\end{document}m(t)∈RmN represents time-varying sensor data, given by (7): \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{m}\\left(t\\right) \\; = \\; \\mathbf{a}\\left(\\mathbf{r}_q\\right)\\,s\\left(t\\right) + \\mathbf{n}\\left(t\\right),\\end{align*}\\end{document}m(t)=a(rq)s(t)+n(t), where our model now includes a vector of noise components \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{n}(t)$\\end{document}n(t) at the sensors, added to the model.\nWe now extend (7) to include the simultaneous activations of p dipoles, which by the principle of electromagnetic superposition, is given by \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{m}\\left(t\\right) \\; = \\; \\mathbf{A}\\,\\mathbf{s}\\left(t\\right) \\;+\\; \\mathbf{n}\\left(t\\right),\\end{align*}\\end{document}m(t)=As(t)+n(t), where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{A} = [\\mathbf{a}(\\mathbf{r}_{q1}), \\ldots, \\mathbf{a}(\\mathbf{r}_{qp})]$\\end{document}A=[a(rq1),…,a(rqp)] is the forward field matrix generated by p dipoles, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{s}(t)$\\end{document}s(t) is the vector of corresponding dipole amplitudes.\nFinally, for T discrete time samples, we concatenate the measurements into the matrix \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{M} = [\\mathbf{m}(t_1), \\ldots, \\mathbf{m}(t_T)]$\\end{document}M=[m(t1),…,m(tT)], and we similarly concatenate the dipole time series into \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{S} = [\\mathbf{s}(t_1), \\ldots, \\mathbf{s}(t_T)]$\\end{document}S=[s(t1),…,s(tT)], to yield the spatiotemporal model (9): \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{M} \\; = \\; \\mathbf{A}\\,\\mathbf{S} \\;+\\; \\mathbf{N}.\\end{align*}\\end{document}M=AS+N.\n\n\n### Current-density reconstruction\nCurrent-density reconstruction methods estimate a three-dimensional map of distributed neural activity by solving for the amplitudes of thousands of fixed dipoles, treated as image pixels. These methods produce a regularized estimate of cortical or volumetric current density that, under the assumed forward and noise models, approximately reproduces the measured data. Spatial fidelity is governed by the method’s resolution properties, including point-spread and cross-talk functions, and the ability to separate concurrent generators depends on their overlap and on the effective rank of the measurements. Within this family, minimum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\ell_2$\\end{document}ℓ2-norm estimation (MNE) is the baseline estimator. Standardized outputs such as dynamic statistical parametric mapping (dSPM) and standardized low-resolution electromagnetic tomography (sLORETA) are variance-normalized statistics rather than physical current density and should be interpreted accordingly.\nReconstructing the amplitudes of thousands of dipoles with fixed orientations that form the ‘pixels’ of a cortical ‘image’ from only a few hundred scalp sensors creates a highly underdetermined inverse problem. This problem is similar to attempting to recover a detailed picture from a very sparse set of measurements, that is often encountered in the field of image processing. To obtain a meaningful solution, additional constraints are imposed through regularization and priors that encode assumptions about the spatial or statistical structure of neural activity.\nBayesian formulation. To estimate the amplitudes of dipole moments for every vertex of the cortical mesh that make up the min-norm image S from the data matrix M, the model is given by the linear equation discussed earlier (8).\nUnder the Bayesian framework introduced by [218], the current-density reconstruction is estimated by maximizing the log-posterior probability: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\widehat{\\mathbf{S}} = \\underset{\\mathbf{S}}{\\arg\\max}\\; \\left[ \\ln p\\left(\\mathbf{M}\\mid\\mathbf{S}\\right) \\;+\\; \\ln p\\left(\\mathbf{S}\\right) \\right],\\end{align*}\\end{document}S^=arg⁡maxS[ln⁡p(M∣S)+ln⁡p(S)], where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{s}}$\\end{document}s^ denotes the estimated dipole amplitudes for every vertex of the cortical mesh in source space; \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$p(\\mathbf{M}\\mid\\mathbf{S})$\\end{document}p(M∣S) denotes the conditional probability for the data matrix M given the source ‘image’ S; finally, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$p(\\mathbf{S})$\\end{document}p(S) denotes the prior distribution reflecting the knowledge of the statistical properties of the unknown image.\nThe log-likelihood is then given by \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\ln p\\left(\\mathbf{M}\\mid\\mathbf{S}\\right) \\; = \\; -\\frac{1}{2\\sigma_\\mathrm{n}^{2}} \\, \\bigl\\| \\mathbf{M}-\\mathbf{A}\\mathbf{S} \\bigr\\|_\\mathrm{F}^{2}\\end{align*}\\end{document}ln⁡p(M∣S)=−12σn2‖M−AS‖F2 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\sigma_\\mathrm{n}$\\end{document}σn is the standard deviation of the noise, which is assumed to be temporally and spatially white.\nThe prior probability distribution over the cortical source matrix is modeled as an exponential family: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} p\\left(\\mathbf{S}\\right) = \\frac{1}{z}\\exp\\!\\left\\{-\\beta\\,h\\left(\\mathbf{S}\\right)\\right\\},\\end{align*}\\end{document}p(S)=1zexp{−βh(S)}, where z is a normalizing constant, β is a scaling parameter, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$h(\\mathbf{S})$\\end{document}h(S) encapsulates the assumed statistical structure of the currents. We note that the decision to model the prior distribution as an exponential family makes the model both tractable and flexible, since it can represent many common distributions (e.g. Poisson, Bernoulli, Gaussian). However, the non-stationarity and non-normality of neural source activity may lead to deviations between the model and the observed data. The Bayesian framework for neural source estimation continues to receive attention from researchers to address its limitations, as newer approaches are discussed in section 4.3 and section 4.4.\nMNE represents the standard baseline solution derived from this Bayesian formulation, specifically when a Gaussian distribution is selected for the prior.\nCombining the log-likelihood (11) with the log-prior (12) produces the negative log-posterior; minimizing this quantity yields the maximum a posteriori (MAP) estimate, which corresponds to a weighted minimum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\ell_2$\\end{document}ℓ2-norm solution. As the model is assumed to be prewhitened [24], the log prior in (12) has the form \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} h\\left(\\mathbf{S}\\right) \\; = \\; \\operatorname{tr}\\!\\left\\{ \\mathbf{S}\\, \\mathbf{C}_\\mathrm{s}^{-1}\\, \\mathbf{S}^{\\mathsf{T}} \\right\\},\\end{align*}\\end{document}h(S)=tr{SCs−1ST}, where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{s}$\\end{document}Cs is the spatial covariance matrix of the min-norm image.\nMinimizing the negative log-posterior in (10) with the Gaussian prior yields the MAP estimator \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\widehat{\\mathbf{S}}_\\mathrm{MNE} \\; = \\; \\mathbf{C}_\\mathrm{s}\\mathbf{A}^{\\mathsf{T}} \\left( \\mathbf{A}\\mathbf{C}_\\mathrm{s}\\mathbf{A}^{\\mathsf{T}} + \\mathbf{C}_\\mathrm{n} \\right)^{-1} \\mathbf{M} \\;\\equiv\\; \\mathbf{F}\\,\\mathbf{M}.\\end{align*}\\end{document}S^MNE=CsAT(ACsAT+Cn)−1M≡FM. where F denotes the linear inverse operator formed by the MAP estimator.\nWhen the noise is assumed white such that \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{n} = \\lambda\\mathbf{I}$\\end{document}Cn=λI, this reduces to the Tikhonov-regularized MNE, with λ the regularization parameter. In signal processing, this estimator is equivalently known as the Wiener estimate or linear minimum mean-squared error solution.\ndSPM [213] involves normalization of the MNE, estimated using (14), by its estimated noise variance at each location, similar to neural activity index (NAI) (discussed in section 4.6). In Bayesian terms, dSPM does not assume a new prior but rather computes a statistical Z-score map of the white Gaussian posterior, which represents an estimate of SNR. This normalization is accomplished by estimating the noise sensitivity \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\Sigma_{\\widehat{\\mathbf{s}}}$\\end{document}Σs^ : \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\boldsymbol{\\Sigma}_{\\widehat{\\mathbf{s}}} \\; = \\; \\mathbf{F}\\,\\mathbf{C}_\\mathrm{n}\\,\\mathbf{F}^\\mathsf{T}.\\end{align*}\\end{document}Σs^=FCnFT. The noise-normalized Z-score estimate (zi) at source location i, is computed by normalizing the amplitude \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{s}}$\\end{document}s^ with the estimate of noise sensitivity: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{z}_i\\left(t\\right) \\; = \\; \\frac{\\widehat{\\mathbf{s}}_i\\left(t\\right)}{\\sqrt{\\,\\left[\\boldsymbol{\\Sigma}_{\\widehat{\\mathbf{s}}}\\right]_{ii}\\,}}.\\end{align*}\\end{document}zi(t)=s^i(t)[Σs^]ii. This has three effects: (i) it transforms the map into dimensionless statistical scores, (ii) it reduces the well-known superficial-depth bias of MNE, and (iii) it makes the point-spread function more uniform across the cortex.\nLORETA [219] imposes spatial smoothness via a zero-mean Gaussian prior on the source distribution whose precision is proportional to a discrete Laplacian smoothness operator defined on the source grid or cortical mesh.\nLet \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{D}$\\end{document}D denote the Laplacian operator and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{R} = \\mathbf{D}^{\\mathsf{T}}\\mathbf{D}$\\end{document}R=DTD the smoothness precision. In (14), LORETA derives the source covariance using the smoothness precision as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$ \\mathbf{C}_\\mathrm{s} \\;\\propto\\; \\bigl(\\mathbf{R}+\\lambda\\mathbf{I}\\bigr)^{-1} $\\end{document}Cs∝(R+λI)−1, which penalizes spatial roughness of the estimate. sLORETA [220] uses essentially the same prior as in (12). Moreover, like dSPM, it is a noise-normalized form of MNE that yields unitless, variance-standardized scores at each location; it is not a current-density distribution. The single-source unbiased localization result holds under correct forward and noise models; for multiple simultaneous generators the image reflects linear superposition of point-spread functions and source separation is not guaranteed [220, 221].\nIn Bayesian terms, all sLORETA variants use Gaussian priors but with nontrivial covariance. sLORETA can also be viewed as MAP [222]:\n\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{equation*} \\widehat{\\mathbf{S}}_\\textrm{sLORETA} = \\mathbf{A}^{\\mathsf{T}}\\left(\\mathbf{A}\\mathbf{A}^{\\mathsf{T}} + \\lambda^2 \\mathbf{I}\\right)^{-1}\\mathbf{S}.\\end{equation*}\\end{document}S^sLORETA=AT(AAT+λ2I)−1S. It further scales each solution component by the inverse square root of its variance, as in dSPM [213]. Under idealized single-source conditions with correct forward and noise models, sLORETA achieves zero localization bias [220]. In noisy data, whether sLORETA remains unbiased depends on the assumed noise model and SNR [223]. Recent analysis further shows that sLORETA is exactly equivalent to single-dipole scanning in an appropriate inner-product space, which clarifies why the unbiasedness guarantee is limited to single-source scenarios [224].\nExact LORETA (eLORETA) [225] goes further by analytically constructing a weight matrix that achieves ‘exact, zero-error’ localization even in the presence of measurement noise. These methods tend to produce smoother, more distributed maps than MNE, at the expense of depth bias in plain LORETA. However, sLORETA/eLORETA mathematically correct the bias [47, 225].\n\n\n### MNE\nMNE represents the standard baseline solution derived from this Bayesian formulation, specifically when a Gaussian distribution is selected for the prior.\nCombining the log-likelihood (11) with the log-prior (12) produces the negative log-posterior; minimizing this quantity yields the maximum a posteriori (MAP) estimate, which corresponds to a weighted minimum \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\ell_2$\\end{document}ℓ2-norm solution. As the model is assumed to be prewhitened [24], the log prior in (12) has the form \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} h\\left(\\mathbf{S}\\right) \\; = \\; \\operatorname{tr}\\!\\left\\{ \\mathbf{S}\\, \\mathbf{C}_\\mathrm{s}^{-1}\\, \\mathbf{S}^{\\mathsf{T}} \\right\\},\\end{align*}\\end{document}h(S)=tr{SCs−1ST}, where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{s}$\\end{document}Cs is the spatial covariance matrix of the min-norm image.\nMinimizing the negative log-posterior in (10) with the Gaussian prior yields the MAP estimator \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\widehat{\\mathbf{S}}_\\mathrm{MNE} \\; = \\; \\mathbf{C}_\\mathrm{s}\\mathbf{A}^{\\mathsf{T}} \\left( \\mathbf{A}\\mathbf{C}_\\mathrm{s}\\mathbf{A}^{\\mathsf{T}} + \\mathbf{C}_\\mathrm{n} \\right)^{-1} \\mathbf{M} \\;\\equiv\\; \\mathbf{F}\\,\\mathbf{M}.\\end{align*}\\end{document}S^MNE=CsAT(ACsAT+Cn)−1M≡FM. where F denotes the linear inverse operator formed by the MAP estimator.\nWhen the noise is assumed white such that \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{n} = \\lambda\\mathbf{I}$\\end{document}Cn=λI, this reduces to the Tikhonov-regularized MNE, with λ the regularization parameter. In signal processing, this estimator is equivalently known as the Wiener estimate or linear minimum mean-squared error solution.\n\n\n### dSPM\ndSPM [213] involves normalization of the MNE, estimated using (14), by its estimated noise variance at each location, similar to neural activity index (NAI) (discussed in section 4.6). In Bayesian terms, dSPM does not assume a new prior but rather computes a statistical Z-score map of the white Gaussian posterior, which represents an estimate of SNR. This normalization is accomplished by estimating the noise sensitivity \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\Sigma_{\\widehat{\\mathbf{s}}}$\\end{document}Σs^ : \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\boldsymbol{\\Sigma}_{\\widehat{\\mathbf{s}}} \\; = \\; \\mathbf{F}\\,\\mathbf{C}_\\mathrm{n}\\,\\mathbf{F}^\\mathsf{T}.\\end{align*}\\end{document}Σs^=FCnFT. The noise-normalized Z-score estimate (zi) at source location i, is computed by normalizing the amplitude \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{s}}$\\end{document}s^ with the estimate of noise sensitivity: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{z}_i\\left(t\\right) \\; = \\; \\frac{\\widehat{\\mathbf{s}}_i\\left(t\\right)}{\\sqrt{\\,\\left[\\boldsymbol{\\Sigma}_{\\widehat{\\mathbf{s}}}\\right]_{ii}\\,}}.\\end{align*}\\end{document}zi(t)=s^i(t)[Σs^]ii. This has three effects: (i) it transforms the map into dimensionless statistical scores, (ii) it reduces the well-known superficial-depth bias of MNE, and (iii) it makes the point-spread function more uniform across the cortex.\n\n\n### LORETA/sLORETA family\nLORETA [219] imposes spatial smoothness via a zero-mean Gaussian prior on the source distribution whose precision is proportional to a discrete Laplacian smoothness operator defined on the source grid or cortical mesh.\nLet \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{D}$\\end{document}D denote the Laplacian operator and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{R} = \\mathbf{D}^{\\mathsf{T}}\\mathbf{D}$\\end{document}R=DTD the smoothness precision. In (14), LORETA derives the source covariance using the smoothness precision as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$ \\mathbf{C}_\\mathrm{s} \\;\\propto\\; \\bigl(\\mathbf{R}+\\lambda\\mathbf{I}\\bigr)^{-1} $\\end{document}Cs∝(R+λI)−1, which penalizes spatial roughness of the estimate. sLORETA [220] uses essentially the same prior as in (12). Moreover, like dSPM, it is a noise-normalized form of MNE that yields unitless, variance-standardized scores at each location; it is not a current-density distribution. The single-source unbiased localization result holds under correct forward and noise models; for multiple simultaneous generators the image reflects linear superposition of point-spread functions and source separation is not guaranteed [220, 221].\nIn Bayesian terms, all sLORETA variants use Gaussian priors but with nontrivial covariance. sLORETA can also be viewed as MAP [222]:\n\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{equation*} \\widehat{\\mathbf{S}}_\\textrm{sLORETA} = \\mathbf{A}^{\\mathsf{T}}\\left(\\mathbf{A}\\mathbf{A}^{\\mathsf{T}} + \\lambda^2 \\mathbf{I}\\right)^{-1}\\mathbf{S}.\\end{equation*}\\end{document}S^sLORETA=AT(AAT+λ2I)−1S. It further scales each solution component by the inverse square root of its variance, as in dSPM [213]. Under idealized single-source conditions with correct forward and noise models, sLORETA achieves zero localization bias [220]. In noisy data, whether sLORETA remains unbiased depends on the assumed noise model and SNR [223]. Recent analysis further shows that sLORETA is exactly equivalent to single-dipole scanning in an appropriate inner-product space, which clarifies why the unbiasedness guarantee is limited to single-source scenarios [224].\nExact LORETA (eLORETA) [225] goes further by analytically constructing a weight matrix that achieves ‘exact, zero-error’ localization even in the presence of measurement noise. These methods tend to produce smoother, more distributed maps than MNE, at the expense of depth bias in plain LORETA. However, sLORETA/eLORETA mathematically correct the bias [47, 225].\n\n\n### Hierarchical Bayesian frameworks\nHierarchical Bayesian models introduce multiple layers of prior distributions, allowing for adaptive regularization and the incorporation of anatomical, spatial, and statistical constraints. These models can capture both focal and distributed sources, as well as multiscale spatial features. For example, randomized multiresolution scanning (RAMUS) [226] leverages a hierarchical Bayesian approach to achieve robust and accurate source localization across both superficial and deep brain regions, without requiring a priori knowledge of the number or location of active sources. RAMUS uses an inverse-gamma hyperprior and randomized scanning to reduce discretization and optimization errors, enhancing the visibility of deep sources and providing robust MAP estimates for primary current density [227]. This approach has been reported to outperform in scenarios involving simultaneous thalamic and somatosensory activity. Another hierarchical approach used Markov Chain Monte-Carlo techniques to efficiently compute the MAP estimates [228]. More recent techniques introduced explicit structural constraints: one approach leveraged hierarchical graph priors via spanning trees to effectively handle noise while maintaining spatiotemporal continuity among neural sources [229], while the µ-STAR model incorporated microstate detection to inform the hierarchical priors [230]. Beyond these methods, other hierarchical models, such as those employing structured sparsity priors, variational sparsity, or multiscale graphical models, further enhance the resolution of sources with varying spatial extent and facilitate the separation of closely spaced or correlated sources [231–233]. These advances are particularly valuable for clinical applications, such as epilepsy localization, where both accurate depth localization and source separation are critical.\n\n\n### Empirical Bayesian approaches\nEmpirical Bayesian methods estimate hyperparameters directly from the observed data, rather than fixing them a priori. This is particularly powerful for modeling noise, which in real EEG/MEG recordings is often structured and non-Gaussian. The structured noise Champagne algorithm exemplifies this approach by jointly estimating brain source activity and structured noise statistics using a variational Bayesian factor analysis model [234, 235]. Unlike traditional methods that assume white or stationary noise, this framework can adapt to spatially correlated environmental and biological noise sources, leading to more accurate and robust source reconstructions. Notably, it does not require separate baseline measurements, making it suitable for scenarios where noise characteristics change dynamically or are only present during active periods.\nRecent work has also extended empirical Bayesian frameworks to handle full noise-covariance structure estimation, further improving robustness in real-world scenarios where noise is non-diagonal and highly structured [236, 237]. These methods are particularly effective in low SNR conditions and for distributed source configurations.\n\n\n### ECD reconstruction\nECD reconstruction posits that the measurements arise from a small number of focal generators. Each generator is represented as an ECD with unknown location and time-varying amplitude, yielding a discrete solution once the parameters are identified. For clarity, we review two canonical families among many available ECD reconstruction methods: least-squares estimation, which performs a direct non-linear search for the optimal dipole parameters that minimize the residual error, and Subspace scanning methods, such as multiple signal classification (MUSIC) and its recursive variant recursively applied and projected MUSIC (RAP-MUSIC). These methods use the sensor covariance structure to separate signal and noise subspaces and then test candidate cortical locations for consistency with the estimated signal subspace [46, 238]. RAP-MUSIC iterates this test with deflation to localize multiple generators without an explicit nonlinear fit of amplitudes.\nWhen the sparsity assumption holds and SNR is adequate, ECD reconstruction methods provide high spatial specificity and interpretable, discrete solutions that complement distributed minimum-norm imaging [24].\nLeast-squares source estimation represents one of the earliest and most straightforward strategies for solving the inverse problem. Building on the spatiotemporal model defined in (9), the goal is to determine the set of dipole parameters that best describe the data matrix M in the presence of measurement noise. In this framework, the forward field matrix A depends nonlinearly on the dipole locations \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_{qi}\\}$\\end{document}{rqi}, while the dipole amplitude time series S represents the linear parameters. The estimation seeks to minimize the squared error between the measured data and the fields predicted by the forward model. The measure of fit is defined as the square of the Frobenius norm: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}_{LS}\\left(\\{\\mathbf{r}_{qi}\\}, \\mathbf{S}\\right) \\; = \\; \\|\\mathbf{M} - \\mathbf{A}\\left(\\{\\mathbf{r}_{qi}\\right)\\mathbf{S}\\|_\\mathrm{F}^{2}.\\end{align*}\\end{document}JLS({rqi},S)=‖M−A({rqi)S‖F2. While a simultaneous nonlinear search over all parameters is possible, it is computationally burdensome. However, for any fixed set of locations and orientations, the amplitude matrix S that minimizes (17) can be determined analytically as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{S}} = \\mathbf{A}^{+}\\mathbf{M}$\\end{document}S^=A+M, where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{A}^{+}$\\end{document}A+ is the pseudoinverse of A. Substituting this optimal amplitude back into the cost function allows the problem to be separated, requiring minimization solely over the nonlinear parameters: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}_{LS}\\left(\\left\\{\\mathbf{r}_{qi}\\right\\}\\right) \\; = \\; \\|\\mathbf{M} - \\mathbf{A}\\mathbf{A}^{+}\\mathbf{M}\\|_\\mathrm{F}^{2} \\; = \\; \\|\\boldsymbol{\\Pi}_{\\mathbf{A}}^{\\perp}\\mathbf{M}\\|_\\mathrm{F}^{2}\\end{align*}\\end{document}JLS({rqi})=‖M−AA+M‖F2=‖ΠA⊥M‖F2 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}_{\\mathbf{A}}^{\\perp} = \\mathbf{I} - \\mathbf{A}\\mathbf{A}^{+}$\\end{document}ΠA⊥=I−AA+ is the orthogonal projection matrix onto the left null space of A. The nonlinear parameters are then estimated using iterative minimization algorithms such as Levenberg–Marquardt or Nelder–Mead simplex searches. This model can be applied sequentially to individual time slices to form a ‘moving dipole’ model, or to the entire data block to constrain the location as fixed over the interval.\nHowever, the least-squares approach faces a critical computational bottleneck when modeling multiple sources. As the number of sources increases, the dimension of the parameter space grows, and the cost function becomes highly non-convex, resulting in a landscape riddled with local minima. Consequently, simultaneous non-linear searches for multiple dipoles are prone to trapping and depend heavily on the accuracy of the initial guess. This limitation motivates the use of scanning approaches that can localize multiple sources without performing a high-dimensional non-linear optimization.\nSubspace scanning methods, originally developed in array processing for multi-source direction finding, were adapted to EEG/MEG to decouple location testing from amplitude fitting. Exemplified by MUSIC, as applied by Mosher et al [238], these techniques exploit the sensor covariance structure to partition signal and noise subspaces, enabling the scanning of candidate locations without explicit nonlinear amplitude estimation.\nFor the model in (9), the data matrix M can be decomposed using singular value decomposition to form \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{{\\mathbf{M}}} = \\boldsymbol{U}\\boldsymbol{\\Sigma} \\mathbf{V}^\\mathsf{T}$\\end{document}M=UΣVT. Assuming the independent and identically distributed (IID) noise, the set of left singular vectors (U) can be partitioned into signal and noise-only subspace. The signal subspace is spanned by the first p singular values (denoted by Us), and the noise-only subspace is spanned by the remaining left singular vectors. As a result, the best rank-p approximation of \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)$\\end{document}m(t) is obtained as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}_s(t) = (\\boldsymbol{U}_s \\boldsymbol{U}_s^\\mathsf{T})\\cdot\\mathbf{m}(t)$\\end{document}ms(t)=(UsUsT)⋅m(t), with the corresponding noise-subspace projection operator defined as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}^\\perp_s = \\mathbf{I} - (\\boldsymbol{U}_s \\boldsymbol{U}_s^\\mathsf{T})$\\end{document}Πs⊥=I−(UsUsT). The MUSIC localizer is then expressed in terms of this operator, yielding the cost function [238]: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}\\left(\\mathbf{r}_{qi}\\right) &amp; = \\frac{\\| \\boldsymbol{\\Pi}^\\perp_s \\mathbf{a}\\left(\\mathbf{r}_{qi}\\right) \\|^2_2}{\\|\\mathbf{a}\\left(\\mathbf{r}_{qi}\\right)\\|_2^2}\\end{align*}\\end{document}J(rqi)=‖Πs⊥a(rqi)‖22‖a(rqi)‖22 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathcal{J}(\\mathbf{r}_{qi})$\\end{document}J(rqi) denotes the MUSIC cost function evaluated at dipole location q at time i, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}^\\perp_s$\\end{document}Πs⊥ denotes the perpendicular projection operator into noise-only subspace.\nMUSIC cost function is zero when \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a}(\\mathbf{r}_{qi})$\\end{document}a(rqi) corresponds to the true locations of the sources. Therefore, the inverse solution is found by searching for maxima in the ‘MUSIC’ scan, defined as the reciprocal of the cost function: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$P_{\\textrm{MUSIC}} = 1/\\mathcal{J}(\\mathbf{r}_{qi})$\\end{document}PMUSIC=1/J(rqi) where peaks indicate the estimated location of the dipoles. Intuitively, MUSIC finds locations whose predicted field patterns correlate strongly with the measured data’s dominant components. One advantage is that it does not require inverting the full covariance and can handle temporally correlated sources better than the beamformer (discussed in section 4.6) algorithms, since uncorrelated source assumptions are not needed in its localizer.\nRAP-MUSIC [46] uses MUSIC recursively to localize multiple simultaneous sources. RAP-MUSIC works iteratively by finding the best location for one source via MUSIC, then projecting the data into the subspace orthogonal to that source’s field, and therefore effectively ‘removing’ its contribution, and then finds the next source location in the residual data. This recursive projection continues until the desired number of sources is found. RAP-MUSIC thereby automates multi-dipole localization, addressing the peak-finding ambiguity of basic MUSIC and allowing a straightforward multi-source search. Notably, RAP-MUSIC inherits key assumptions of MUSIC: it presupposes predominantly uncorrelated, focal sources and requires the number of sources (or a stopping threshold) to be set. This could be mitigated by employing metrics such as Akaike information criteria [239], Bayesian information criteria [240], minimum description length [239], and F-ratio [241].\nOver the years, several variants of RAP-MUSIC have been introduced, which extend the functionality of RAP-MUSIC. Truncated RAP-MUSIC (TRAP-MUSIC) [242] was proposed to improve robustness in estimating the number of sources. RAP-MUSIC can leave behind residual variance that distorts subsequent iterations. TRAP-MUSIC addressed this issue by performing a sequential reduction of the signal subspace dimension at each iteration. This is achieved by truncating the remaining eigenspectrum by one (or the estimated multiplicity) of that source’s eigenvalues, thereby ensuring that residual unexplained variance is pushed into the noise subspace. FLEX-MUSIC [243] and its sibling FLEX-AP [244] push the MUSIC family beyond the point-dipole assumption by letting each candidate generator adopt a variable spatial extent. They precompute a dictionary of leadfield ‘atoms’ ranging from single dipoles to smoothly smoothed cortical patches; during scanning, the algorithm can pick whichever extent best fits the residual data. FLEX-MUSIC [243] keeps RAP’s eigenprojection framework, whereas FLEX-AP [244] embeds this idea in the alternating-projection (AP) solver that is inherently more tolerant of temporally correlated sources. Moving to the frequency domain further broadens MUSIC’s reach. Self-consistent MUSIC works on the imaginary part of the cross-spectral density (CSD), which was created to help localize a specific brain rhythm, such as µ rhythms (∼11 Hz) [245].\n\n\n### Least-squares estimation\nLeast-squares source estimation represents one of the earliest and most straightforward strategies for solving the inverse problem. Building on the spatiotemporal model defined in (9), the goal is to determine the set of dipole parameters that best describe the data matrix M in the presence of measurement noise. In this framework, the forward field matrix A depends nonlinearly on the dipole locations \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\{\\mathbf{r}_{qi}\\}$\\end{document}{rqi}, while the dipole amplitude time series S represents the linear parameters. The estimation seeks to minimize the squared error between the measured data and the fields predicted by the forward model. The measure of fit is defined as the square of the Frobenius norm: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}_{LS}\\left(\\{\\mathbf{r}_{qi}\\}, \\mathbf{S}\\right) \\; = \\; \\|\\mathbf{M} - \\mathbf{A}\\left(\\{\\mathbf{r}_{qi}\\right)\\mathbf{S}\\|_\\mathrm{F}^{2}.\\end{align*}\\end{document}JLS({rqi},S)=‖M−A({rqi)S‖F2. While a simultaneous nonlinear search over all parameters is possible, it is computationally burdensome. However, for any fixed set of locations and orientations, the amplitude matrix S that minimizes (17) can be determined analytically as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{S}} = \\mathbf{A}^{+}\\mathbf{M}$\\end{document}S^=A+M, where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{A}^{+}$\\end{document}A+ is the pseudoinverse of A. Substituting this optimal amplitude back into the cost function allows the problem to be separated, requiring minimization solely over the nonlinear parameters: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}_{LS}\\left(\\left\\{\\mathbf{r}_{qi}\\right\\}\\right) \\; = \\; \\|\\mathbf{M} - \\mathbf{A}\\mathbf{A}^{+}\\mathbf{M}\\|_\\mathrm{F}^{2} \\; = \\; \\|\\boldsymbol{\\Pi}_{\\mathbf{A}}^{\\perp}\\mathbf{M}\\|_\\mathrm{F}^{2}\\end{align*}\\end{document}JLS({rqi})=‖M−AA+M‖F2=‖ΠA⊥M‖F2 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}_{\\mathbf{A}}^{\\perp} = \\mathbf{I} - \\mathbf{A}\\mathbf{A}^{+}$\\end{document}ΠA⊥=I−AA+ is the orthogonal projection matrix onto the left null space of A. The nonlinear parameters are then estimated using iterative minimization algorithms such as Levenberg–Marquardt or Nelder–Mead simplex searches. This model can be applied sequentially to individual time slices to form a ‘moving dipole’ model, or to the entire data block to constrain the location as fixed over the interval.\nHowever, the least-squares approach faces a critical computational bottleneck when modeling multiple sources. As the number of sources increases, the dimension of the parameter space grows, and the cost function becomes highly non-convex, resulting in a landscape riddled with local minima. Consequently, simultaneous non-linear searches for multiple dipoles are prone to trapping and depend heavily on the accuracy of the initial guess. This limitation motivates the use of scanning approaches that can localize multiple sources without performing a high-dimensional non-linear optimization.\n\n\n### Subspace scanning methods\nSubspace scanning methods, originally developed in array processing for multi-source direction finding, were adapted to EEG/MEG to decouple location testing from amplitude fitting. Exemplified by MUSIC, as applied by Mosher et al [238], these techniques exploit the sensor covariance structure to partition signal and noise subspaces, enabling the scanning of candidate locations without explicit nonlinear amplitude estimation.\nFor the model in (9), the data matrix M can be decomposed using singular value decomposition to form \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{{\\mathbf{M}}} = \\boldsymbol{U}\\boldsymbol{\\Sigma} \\mathbf{V}^\\mathsf{T}$\\end{document}M=UΣVT. Assuming the independent and identically distributed (IID) noise, the set of left singular vectors (U) can be partitioned into signal and noise-only subspace. The signal subspace is spanned by the first p singular values (denoted by Us), and the noise-only subspace is spanned by the remaining left singular vectors. As a result, the best rank-p approximation of \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)$\\end{document}m(t) is obtained as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}_s(t) = (\\boldsymbol{U}_s \\boldsymbol{U}_s^\\mathsf{T})\\cdot\\mathbf{m}(t)$\\end{document}ms(t)=(UsUsT)⋅m(t), with the corresponding noise-subspace projection operator defined as \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}^\\perp_s = \\mathbf{I} - (\\boldsymbol{U}_s \\boldsymbol{U}_s^\\mathsf{T})$\\end{document}Πs⊥=I−(UsUsT). The MUSIC localizer is then expressed in terms of this operator, yielding the cost function [238]: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathcal{J}\\left(\\mathbf{r}_{qi}\\right) &amp; = \\frac{\\| \\boldsymbol{\\Pi}^\\perp_s \\mathbf{a}\\left(\\mathbf{r}_{qi}\\right) \\|^2_2}{\\|\\mathbf{a}\\left(\\mathbf{r}_{qi}\\right)\\|_2^2}\\end{align*}\\end{document}J(rqi)=‖Πs⊥a(rqi)‖22‖a(rqi)‖22 where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathcal{J}(\\mathbf{r}_{qi})$\\end{document}J(rqi) denotes the MUSIC cost function evaluated at dipole location q at time i, and \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\boldsymbol{\\Pi}^\\perp_s$\\end{document}Πs⊥ denotes the perpendicular projection operator into noise-only subspace.\nMUSIC cost function is zero when \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{a}(\\mathbf{r}_{qi})$\\end{document}a(rqi) corresponds to the true locations of the sources. Therefore, the inverse solution is found by searching for maxima in the ‘MUSIC’ scan, defined as the reciprocal of the cost function: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$P_{\\textrm{MUSIC}} = 1/\\mathcal{J}(\\mathbf{r}_{qi})$\\end{document}PMUSIC=1/J(rqi) where peaks indicate the estimated location of the dipoles. Intuitively, MUSIC finds locations whose predicted field patterns correlate strongly with the measured data’s dominant components. One advantage is that it does not require inverting the full covariance and can handle temporally correlated sources better than the beamformer (discussed in section 4.6) algorithms, since uncorrelated source assumptions are not needed in its localizer.\nRAP-MUSIC [46] uses MUSIC recursively to localize multiple simultaneous sources. RAP-MUSIC works iteratively by finding the best location for one source via MUSIC, then projecting the data into the subspace orthogonal to that source’s field, and therefore effectively ‘removing’ its contribution, and then finds the next source location in the residual data. This recursive projection continues until the desired number of sources is found. RAP-MUSIC thereby automates multi-dipole localization, addressing the peak-finding ambiguity of basic MUSIC and allowing a straightforward multi-source search. Notably, RAP-MUSIC inherits key assumptions of MUSIC: it presupposes predominantly uncorrelated, focal sources and requires the number of sources (or a stopping threshold) to be set. This could be mitigated by employing metrics such as Akaike information criteria [239], Bayesian information criteria [240], minimum description length [239], and F-ratio [241].\nOver the years, several variants of RAP-MUSIC have been introduced, which extend the functionality of RAP-MUSIC. Truncated RAP-MUSIC (TRAP-MUSIC) [242] was proposed to improve robustness in estimating the number of sources. RAP-MUSIC can leave behind residual variance that distorts subsequent iterations. TRAP-MUSIC addressed this issue by performing a sequential reduction of the signal subspace dimension at each iteration. This is achieved by truncating the remaining eigenspectrum by one (or the estimated multiplicity) of that source’s eigenvalues, thereby ensuring that residual unexplained variance is pushed into the noise subspace. FLEX-MUSIC [243] and its sibling FLEX-AP [244] push the MUSIC family beyond the point-dipole assumption by letting each candidate generator adopt a variable spatial extent. They precompute a dictionary of leadfield ‘atoms’ ranging from single dipoles to smoothly smoothed cortical patches; during scanning, the algorithm can pick whichever extent best fits the residual data. FLEX-MUSIC [243] keeps RAP’s eigenprojection framework, whereas FLEX-AP [244] embeds this idea in the alternating-projection (AP) solver that is inherently more tolerant of temporally correlated sources. Moving to the frequency domain further broadens MUSIC’s reach. Self-consistent MUSIC works on the imaginary part of the cross-spectral density (CSD), which was created to help localize a specific brain rhythm, such as µ rhythms (∼11 Hz) [245].\n\n\n### Spatial filtering\nSpatial filtering refers to the design of beamformer filters that allow the passage of activity from a designated location while attenuating signals from elsewhere, thereby providing spatially selective sensitivity. Intuitively, the LCMV beamformer asks whether one can construct a filter that ‘listens’ to a single location while suppressing all others. Mathematically, beamforming seek the weight matrix \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W}\\in\\mathbb{R}^{N_m \\times p}$\\end{document}W∈RNm×p that transforms the data \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{m}(t)$\\end{document}m(t) to source activity \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{s}(t)$\\end{document}s(t). Originally developed for radar and sonar applications, beamforming has become a widely used approach for source localization in MEG and EEG.\nThe seminal paper by Van Veen et al [214, 246, 247] introduced the LCMV beamformer algorithm, which applied Capon/minimum variance distortionless response [248] beamformer theory to localize brain electrical activity. The algorithm designs a weight vector \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W^{\\mathsf{T}}}$\\end{document}WT for each candidate source location rq such that (i) the beamformer output (\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{s}(t) = \\mathbf{W}^{\\mathsf{T}}\\mathbf{m}(t)$\\end{document}s(t)=WTm(t)) has unit gain for a dipole at that location, and (ii) the output power of sources originating from other locations is minimized. Assuming fixed orientation dipoles and the model in (7), the mathematical formulation of estimating \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W^{\\mathsf{T}}}$\\end{document}WT is given as:\n\\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\arg\\min_{\\mathbf{W}^{\\mathsf{T}}} \\operatorname{tr}\\!\\left\\{\\mathbf{C}_\\mathrm{s}\\right\\} \\quad\\mathrm{s.t.}\\quad \\mathbf{W}^{\\mathsf{T}}\\mathbf{a}\\left(\\mathbf{r}_q\\right) = \\mathbf{I},\\end{align*}\\end{document}arg⁡minWTtr{Cs}s.t.WTa(rq)=I, where \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{s} = \\mathbb{E}\\!\\bigl[\\mathbf{s}\\mathbf{s}^{\\mathsf{T}}\\bigr] = \\mathbf{W}^{\\mathsf{T}}\\mathbf{C}_m\\mathbf{W}$\\end{document}Cs=E[ssT]=WTCmW denotes the output covariance matrix. The data covariance \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C_m}$\\end{document}Cm is estimated empirically via \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbb{E}\\!\\bigl[\\mathbf{m}\\,\\mathbf{m}^{\\mathsf{T}}\\bigr] = \\mathbf{M}\\mathbf{M}^\\mathsf{T}/T$\\end{document}E[mmT]=MMT/T.\nSolving (20) using the method of Lagrange multipliers leads to the following solution [246]: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathbf{W}^\\mathsf{T} = \\left[ \\mathbf{a}^\\mathsf{T}\\left(\\mathbf{r}_q\\right) \\, \\mathbf{C}_m^{-1} \\, \\mathbf{a}\\left(\\mathbf{r}_q\\right) \\right]^{-1} \\mathbf{a}^\\mathsf{T}\\left(\\mathbf{r}_q\\right) \\, \\mathbf{C}_m^{-1}.\\end{align*}\\end{document}WT=[aT(rq)Cm−1a(rq)]−1aT(rq)Cm−1. To compensate for depth bias and noise, Van Veen et al proposed the NAI [214], Intuitively, NAI is akin to a SNR metric highlighting locations with activity above the noise floor, where the peaks correspond to the putative source locations. It is computed by normalizing the output variance of the LCMV beamformer, computed using (21), with the output obtained in the presence of noise only: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{align*} \\mathrm{NAI}\\left(\\mathbf{r}_q\\right)\\; = \\; \\frac{\\operatorname{tr}\\!\\left\\{\\left[\\mathbf{a}^{\\mathsf{T}}\\left(\\mathbf{r}_q\\right)\\,\\mathbf{C}_{m}^{-1}\\,\\mathbf{a}\\left(\\mathbf{r}_q\\right)\\right]^{-1}\\right\\}} {\\operatorname{tr}\\left\\{\\!\\left[\\mathbf{a}^{\\mathsf{T}}\\left(\\mathbf{r}_q\\right)\\,\\mathbf{C}_{n}^{-1}\\,\\mathbf{a}\\left(\\mathbf{r}_q\\right)\\right]^{-1}\\right\\}}\\end{align*}\\end{document}NAI(rq)=tr{[aT(rq)Cm−1a(rq)]−1}tr⁡{[aT(rq)Cn−1a(rq)]−1} where, \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{C}_\\mathrm{n} = \\mathbb{E}\\!\\bigl[\\mathbf{n}\\,\\mathbf{n}^{\\mathsf{T}}\\bigr]$\\end{document}Cn=E[nnT] is the noise covariance.\nAn advantage of the LCMV beamformer is that it makes no assumption on the number of active sources, instead exploiting the full sensor covariance; it can thus image multiple sources without specifying how many are present. Moreover, the beamformer algorithms need a relatively few number of user-specified parameters, namely, the size of the reconstructed grid, the time-frequency window of interest, and noise regularization parameters [249].\nOver the last 25 years, numerous extensions to the basic LCMV beamformer approach have been introduced to address limitations of classic LCMV beamforming methods [250–255]. A well-known limitation is their sensitivity to partially correlated sources; if two brain regions are synchronous, a beamformer may erroneously suppress both, as the covariance matrix does not offer a unique solution for their separate contributions. Various strategies have been devised to modify the beamformer constraint to allow the passage of multiple simultaneous sources. One landmark example is the dual-source beamformer proposed by Brookes et al [256], which was originally devised for MEG, but later applied to EEG [257]. In this approach, the leadfield is re-formulated to allow two spatially distinct target locations instead of one. Essentially, two weight vectors are computed as a coupled system, allowing a pair of highly correlated sources to be imaged without canceling each other. Another approach, which is known as the nulling beamformer (NB), was introduced by Hui et al [258]. The NB approach imposes additional linear constraints to explicitly suppress activity from other known regions while passing the target region.\nAnother limitation is the algorithm’s high degree of sensitivity to the forward modeling errors. EEG forward models are sensitive to head geometry and tissue conductivities; errors in electrode co-registration or misspecification of skull conductivity can lead to a mismatch between the assumed leadfield and the true leadfield. To reduce the sensitivity of beamformers to the errors in forward modeling, the so-called model mismatch problem, robust beamformers were introduced. Robust minimum variance beamformer introduced by Hosseini et al [259] empirically estimated uncertainty ellipsoids for each location by sampling neighboring points and different head models, then solved for robust weights. Additionally, because the beamformer must invert the covariance matrix, an ill-conditioned or poorly estimated covariance can introduce instability and require regularization. To deal with this problem, several robust covariance estimation techniques such as probabilistic principal component analysis [260], the minimum-covariance-determinant estimator [261], and Ledoit–Wolf linear shrinkage [262] were introduced.\nFinally, LCMV beamformers also suffer from a depth bias; sources deeper in the brain have lead fields with smaller norms, resulting in larger weight norms and artificially inflated power estimates for superficial sources. In order to address these problems, spatial normalization strategies were employed, which involve leadfield normalization at the filter weight computation step [263]; examples include array-gain beamforming [255] and unit-noise-gain beamforming [264].\nAnother specialized beamformer approach called dynamic imaging of coherent sources (DICSs), introduced by Gross et al [265], extends the beamforming approach to the frequency domain. Unlike a time-domain beamformer, which maximizes output power, DICS constructs spatial filters to localize regions that are coherently oscillating with a given reference or with each other and allows functional connectivity estimations. The algorithm computes the CSD matrix of sensor signals at the frequency of interest (e.g. an epileptic oscillation at 5 Hz or a beta rhythm at 20 Hz). DICS then designs a spatial filter \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathbf{W}(\\mathbf{r}_q)$\\end{document}W(rq) for each location such that it passes signals from rq and simultaneously maximizes the coherence between the output at rq and a target signal.\n\n\n### Other source reconstruction approaches\nBeyond ECD reconstruction, current-density reconstruction, and spatial filtering methods, several complementary families of source reconstruction methods operate on the same linear forward model but impose different structural assumptions or optimization criteria. These approaches are often chosen to match a specific scientific or clinical aim, for example, detecting spatially extended generators, or separating mixed processes.\nEntropy-based distributed methods, typified by the maximum entropy on the mean framework, replace quadratic smoothness with information-theoretic priors and parcel-level organization, yielding solutions that can adapt to both focal and extended generators while remaining data-driven. Blind source separation (BSS) techniques, especially independent component analysis (ICA) coupled with dipole fitting, treat the problem as statistical demixing; they are widely used to isolate physiologically plausible, often dipolar, components and to remove artifacts, thereby simplifying subsequent localization. Metaheuristic global optimization methods such as particle swarm optimization (PSO) recast localization as a direct search in the nonlinear parameter space of ECDs; by relying only on the forward operator, they can escape local minima and handle model orders that are difficult for gradient-based fits, at higher computational cost.\nIn the subsections that follow, we discuss other techniques, emphasizing when they are advantageous, their principal assumptions, and common pitfalls relative to the methods established in the previous sections.\nMEM is a Bayesian distributed source imaging framework that incorporates minimal prior assumptions by maximizing an entropy-like measure of uncertainty subject to the data constraints. In practice, the source amplitudes s are modeled as random variables. MEM finds the source distribution that is maximally non-committal (maximum entropy) except as required to fit the observed scalp data m, via the model is given by (7).\nConceptually, one posits a probability density function \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$P(\\mathbf{s})\\propto \\exp(-\\Phi(\\mathbf{s}))$\\end{document}P(s)∝exp⁡(−Φ(s)) and chooses \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\Phi(\\mathbf{s})$\\end{document}Φ(s) to maximize entropy subject to data fidelity. Clarke and Janday [266] first applied maximum-entropy ideas to the biomagnetic inverse problem, and Rice [267] discussed the neurophysiological justification of maximum-entropy EEG solutions\nThe critical prior in modern MEM methods is a data-driven cortical parcellation. Brain sources are assumed to be organized in non-overlapping spatial parcels of the cortex, each of which may be ‘active’ or not. Within each active parcel, sources are allowed a contrast of intensity. Early MEM implementations used anatomically-informed parcels, but later approaches use data-driven parallelization. In this model, the unknown source vector s is partitioned into blocks corresponding to parcels; MEM infers which parcels are active and with what intensity. This yields sensitivity to spatially extended generators as well as focal ones. Grova et al [268] showed that MEM can recover both the location and extent of simulated epileptic spikes. Chowdhury et al [269] confirmed that MEM methods detect sources from very small (∼3 \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n${\\mathrm{cm}^2}$\\end{document}cm2) up to large extents (∼30 \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathrm{cm}^2$\\end{document}cm2) with high accuracy.\nCoherent MEM (cMEM) [269] applies to time-domain evoked or averaged data and assumes the cortical parcels are temporally stable over the analysis window. It computes a single inverse solution (source map) that best fits the data while respecting parcel-level smoothness. Wavelet MEM (wMEM) [270] extends MEM into the time–frequency domain: the EEG signals are decomposed into discrete wavelet bands, and MEM is applied separately to each band. This is suited for localizing oscillatory activity (e.g. gamma bursts) at specific times, using a parcellation that can vary with frequency. Ridge MEM (rMEM) [271] targets synchrony patterns: it uses a continuous complex-wavelet transform to detect intervals of high phase-locking across channels and localizes the synchronous generators of those patterns. In summary, cMEM recovers static/evoked sources, wMEM localizes oscillatory bursts, and rMEM isolates phase-coherent activity.\nThe source reconstruction problem is also formulated as a BSS problem, and ICA has been used to isolate the putative source processes. Delorme et al [272] provided compelling empirical evidence that maximally independent EEG components are predominantly dipolar, validating ICA as a biologically meaningful preprocessing step for EEG/MEG source imaging. Using a four-shell spherical head model, they tested 22 linear decomposition algorithms to localize sources and concluded that ICA implementations such as adaptive mixture ICA and Extended-Infomax reduced a high-dimensional distributed inverse problem to a series of low-parameter dipole fits.\nPSO [273] is a stochastic global optimization technique inspired by the social behavior of animals. In EEG source localization, it treats the inverse problem as a nonlinear search for dipole parameters. Minimizing a over rq is nonlinear and nonconvex due to the inverse operation. PSO solves this by simulating a swarm of candidate solutions (‘particles’) moving through the parameter space. A ‘modified PSO’ (MPSO) extended the approach to multi-dipole scenarios [274]. The key insight is that PSO requires only interacting with the forward operator and can escape local minima better than greedy methods. PSO’s strength is its global search capability. It can find sources that gradient methods might miss and requires no initial guess.\nFor somatosensory-evoked potentials (SEPs) and epileptic spike localization, it provides an easy way to localize the peak generator without linearizing assumptions. Shirvany et al [275] applied MPSO to hd-EEG of SEP. They generated a realistic 1 mm FEM head model and restricted sources to the gray matter. They reported that MPSO converged to the true source region and dramatically outperformed exhaustive grid search (3700× fewer evaluations) in computation. The main hyperparameters are swarm size, inertia, cognitive/social factors, and maximum iterations. Shirvany et al used adaptive swarm sizing and special rules to avoid stalling\nUnlike ICA or MEM, PSO can, in principle, handle multiple dipoles by extending the search space. However, PSO is computationally demanding: each particle update requires a forward solve and as many solves per iteration as particles. Even with 30 particles and 100 iterations, one does 3000 forward solves, which can be slow. Shirvany et al [273] reported PSO took hundreds of seconds for a single-source localization, versus hours for exhaustive search. PSO also needs careful tuning; poor parameter choices can cause premature convergence. In practice, PSO has a risk of trapping in local minima if the swarm diversity collapses.\n\n\n### Maximum entropy of mean (MEM)\nMEM is a Bayesian distributed source imaging framework that incorporates minimal prior assumptions by maximizing an entropy-like measure of uncertainty subject to the data constraints. In practice, the source amplitudes s are modeled as random variables. MEM finds the source distribution that is maximally non-committal (maximum entropy) except as required to fit the observed scalp data m, via the model is given by (7).\nConceptually, one posits a probability density function \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$P(\\mathbf{s})\\propto \\exp(-\\Phi(\\mathbf{s}))$\\end{document}P(s)∝exp⁡(−Φ(s)) and chooses \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\Phi(\\mathbf{s})$\\end{document}Φ(s) to maximize entropy subject to data fidelity. Clarke and Janday [266] first applied maximum-entropy ideas to the biomagnetic inverse problem, and Rice [267] discussed the neurophysiological justification of maximum-entropy EEG solutions\nThe critical prior in modern MEM methods is a data-driven cortical parcellation. Brain sources are assumed to be organized in non-overlapping spatial parcels of the cortex, each of which may be ‘active’ or not. Within each active parcel, sources are allowed a contrast of intensity. Early MEM implementations used anatomically-informed parcels, but later approaches use data-driven parallelization. In this model, the unknown source vector s is partitioned into blocks corresponding to parcels; MEM infers which parcels are active and with what intensity. This yields sensitivity to spatially extended generators as well as focal ones. Grova et al [268] showed that MEM can recover both the location and extent of simulated epileptic spikes. Chowdhury et al [269] confirmed that MEM methods detect sources from very small (∼3 \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n${\\mathrm{cm}^2}$\\end{document}cm2) up to large extents (∼30 \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\mathrm{cm}^2$\\end{document}cm2) with high accuracy.\nCoherent MEM (cMEM) [269] applies to time-domain evoked or averaged data and assumes the cortical parcels are temporally stable over the analysis window. It computes a single inverse solution (source map) that best fits the data while respecting parcel-level smoothness. Wavelet MEM (wMEM) [270] extends MEM into the time–frequency domain: the EEG signals are decomposed into discrete wavelet bands, and MEM is applied separately to each band. This is suited for localizing oscillatory activity (e.g. gamma bursts) at specific times, using a parcellation that can vary with frequency. Ridge MEM (rMEM) [271] targets synchrony patterns: it uses a continuous complex-wavelet transform to detect intervals of high phase-locking across channels and localizes the synchronous generators of those patterns. In summary, cMEM recovers static/evoked sources, wMEM localizes oscillatory bursts, and rMEM isolates phase-coherent activity.\n\n\n### ICA/DipFit\nThe source reconstruction problem is also formulated as a BSS problem, and ICA has been used to isolate the putative source processes. Delorme et al [272] provided compelling empirical evidence that maximally independent EEG components are predominantly dipolar, validating ICA as a biologically meaningful preprocessing step for EEG/MEG source imaging. Using a four-shell spherical head model, they tested 22 linear decomposition algorithms to localize sources and concluded that ICA implementations such as adaptive mixture ICA and Extended-Infomax reduced a high-dimensional distributed inverse problem to a series of low-parameter dipole fits.\n\n\n### PSO (SWARM)\nPSO [273] is a stochastic global optimization technique inspired by the social behavior of animals. In EEG source localization, it treats the inverse problem as a nonlinear search for dipole parameters. Minimizing a over rq is nonlinear and nonconvex due to the inverse operation. PSO solves this by simulating a swarm of candidate solutions (‘particles’) moving through the parameter space. A ‘modified PSO’ (MPSO) extended the approach to multi-dipole scenarios [274]. The key insight is that PSO requires only interacting with the forward operator and can escape local minima better than greedy methods. PSO’s strength is its global search capability. It can find sources that gradient methods might miss and requires no initial guess.\nFor somatosensory-evoked potentials (SEPs) and epileptic spike localization, it provides an easy way to localize the peak generator without linearizing assumptions. Shirvany et al [275] applied MPSO to hd-EEG of SEP. They generated a realistic 1 mm FEM head model and restricted sources to the gray matter. They reported that MPSO converged to the true source region and dramatically outperformed exhaustive grid search (3700× fewer evaluations) in computation. The main hyperparameters are swarm size, inertia, cognitive/social factors, and maximum iterations. Shirvany et al used adaptive swarm sizing and special rules to avoid stalling\nUnlike ICA or MEM, PSO can, in principle, handle multiple dipoles by extending the search space. However, PSO is computationally demanding: each particle update requires a forward solve and as many solves per iteration as particles. Even with 30 particles and 100 iterations, one does 3000 forward solves, which can be slow. Shirvany et al [273] reported PSO took hundreds of seconds for a single-source localization, versus hours for exhaustive search. PSO also needs careful tuning; poor parameter choices can cause premature convergence. In practice, PSO has a risk of trapping in local minima if the swarm diversity collapses.\n\n\n### Review of supervised learning based techniques\nSupervised learning based approaches focus on utilizing supervised machine learning, especially deep learning, to directly learn a nonlinear function between scalp EEG and underlying brain source activity and location. These methods do not typically employ a fully data-driven approach, instead opting to use advanced models of brain activity to simulate scalp EEG and source activity for model training. Deep learning models benefit from enhanced representation learning that can capture more complex relationships in data that are often present in the field of brain source localization. Due to the nature of deep learning models as universal approximators, these approaches aim to find an estimate of the sources \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{\\mathbf{S}}$\\end{document}S^ by approximating the inverse operator \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\widehat{f}$\\end{document}f^ as in (23): \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n\\begin{equation*} \\widehat{\\mathbf{S}} = \\widehat{f}\\left(\\mathbf{M}\\right).\\end{equation*}\\end{document}S^=f^(M).\nThe application of deep learning methods to solve the EEG inverse problem is relatively new in the literature. Cui et al [276] used a long-short term memory (LSTM) recurrent neural network (RNN) to reconstruct the position and time course of one source. This work trained and tested the model on simulated data with varying degrees of noise perturbations.\nHecker et al [277] created a model called ConvDIP that uses a shallow convolutional neural network (CNN) model capable of solving the inverse problem using a distributed dipole solution (between 1 and 5 source clusters). The model was trained using synthetic data generated from a biophysical patch–source model and was then tested on real scalp EEG recordings from a single subject.\nSun et al [45] utilized a deep learning framework called DeepSIF that combined CNN and RNN architectures to leverage both spatial (position of electrodes from scalp EEG) and temporal (model the temporal dynamics of brain sources) information in scalp EEG data. Additionally, this work employed NMMs, which are mathematical models used to simulate the average activity of neuronal populations in the brain. They simplify the complex dynamics of individual neurons by representing them as interconnected masses of neurons, focusing on the overall firing rates and membrane potentials of these populations. This work segmented the brain into 994 regions of possible source activity, greatly improving the spatial-temporal resolution of DNN-based solutions for solving the EEG inverse problem. The model trained on the synthetic data was then tested on three publicly available scalp EEG datasets and one epilepsy dataset to validate the model.\nWu et al [278] developed a deep learning framework based on manifold learning to address the EEG inverse problem. This methodology utilizes a variational autoencoder that first learns how to compress and subsequently reconstruct scalp EEG activity in an unsupervised manner. The goal of an autoencoder is to learn a low dimensional latent space in which most of the variability in the neural data exists and can be modeled as a nonlinear manifold. Once this latent space is learned, scalp measurements can be projected into the latent space and input into a decoder module that learns how to reconstruct intracranial measurements. This model was trained on synthetic data using 226 regions of source activity and then tested on two public datasets of scalp EEG focused on epileptic activity and visual evoked potentials.\n\n\n### Direct mapping of scalp EEG to iEEG activity\nPrevious methods to solve the EEG inverse problem rely heavily on a robust model of brain dynamics to generate synthetic scalp EEG and source activity for model training. These methods then test their models on additional synthetic data, which can greatly inflate the accuracy in the model reconstructions. In addition, these methods can test the models on public scalp EEG datasets to check that the model estimates source activity in the generally correct area, such as seizure foci or the visual cortex for visual evoked response experiments. However, these methods do not have a true ground truth measurement of electrical activity within the brain to evaluate these methods.\nAn alternative approach to address the inverse problem would be to obtain synchronized scalp and iEEG and then train a model to reconstruct the intracranial measurements from the scalp measurements. Obtaining a dataset of this nature is difficult as iEEG would require an invasive procedure, proper labeling of neural sources, and a wide distribution of sources measured. However, drug-resistant epilepsy patients routinely undergo a sEEG procedure, which involves the placement of 10–20 thin wire electrodes through small holes in the skull to record brain activity and identify the epileptogenic zone. Scalp EEG is often acquired simultaneously to aid in the localization of seizure activity. Patients are implanted for several days to a few weeks and are tapered down on anti-seizure medications in order to monitor bona fide epileptic activity. Data acquired from this type of procedure is perfectly suited for a fully data-driven approach to solving the inverse EEG problem, which could potentially remove the need for complex modeling of brain activity entirely or be used in tandem with neural models to aid in inverse model development. While synchronous recordings of sEEG and scalp EEG may originate in epilepsy monitoring units, the applications for this technique would extend to numerous applications, such as those discussed in section 5.\nThe first work to directly map scalp EEG to sEEG data using DNN’s was Antoniades et al [279]. This work utilized an asymmetric autoencoder to map the temporal sequence of scalp EEG to sEEG. The converted signals were then fed into a CNN architecture to classify if the epoch of data contained an intracranial epileptic discharge (IED). This method outperformed all previously developed linear methods. Took et al [280] used a similar approach with autoencoders, but used pretrained models to improve the model training and classification accuracy. Hu et al [281] expanded this work by using a generative adversarial network (GAN) to generate sEEG signals from scalp EEG. GAN’s consist of two steps. First, an encoder-decoder model learns how to generate sEEG from scalp EEG data using classic DNN architectures like CNN’s or RNN’s. Second, a discriminator model aims to correctly classify between real examples of sEEG data and the synthesized data. Both models are trained simultaneously in a competitive manner such that the first model generates higher fidelity synthetic sEEG and the second model learns how to expertly discern between real and synthetic data. In this specific work, they modified the discriminator to compare the time series representations, frequency spectra, and spatial correlations between EEG channels to produce a high fidelity mapping. This work did not apply the method to IED classification, limiting the applicability. Abdi et al [282] used a combination of autoencoders and GANs to directly map scalp EEG to sEEG and for the eventual prediction of IED periods.\nTo the authors’ best knowledge, there is currently no methodology that combines synthetic data and real data for the training of DNN architectures to solve the EEG inverse problem. Future research combining these approaches may lead to superior performance and more generalizable models to unseen patients, expanding the clinical utility of these methods.\n\n\n### Inverse model conclusions\nThis section synthesized key techniques for EEG source analysis. The inverse problem, which is notoriously ill-posed, seeks to reconstruct the underlying brain sources and has traditionally relied on either ECD reconstruction for focal sources or minimum-norm imaging for distributed activity, both of which use regularization to find a plausible solution. Among ECD reconstruction approaches, MUSIC demonstrates more stability with respect to correlated sources compared to beamforming approaches, while among current-density reconstruction approaches, the choice among formulations depends on the assumed covariance of the data and desired depth of imaging. We summarize these key linear approaches and their assumptions, use cases, and limitations in table 2. Recent advancements, including the direct mapping of scalp EEG to intracranial recordings and supervised machine learning techniques (summarized in table 3), offer new avenues for solving the inverse problem by bypassing complex biophysical models and leveraging ground-truth data from patients. Future directions aim to leverage advances in intracranial measurements, computational hardware, and multimodal, data-driven frameworks for improved accuracy, generalizability, and downstream clinical utility.\nComparison of quasi-linear source estimation methods. This table summarizes the specific underlying assumptions, optimal application scenarios (best-use cases), and inherent limitations for a taxonomy of linear and scanning inverse algorithms.\nFocal source\nLinearly independent sources\nAccurate forward model\nGaussian noise with known covariance\nMulti-dipole scans without non-linear fitting\nSensitive to forward model error\nResidual variance left behind during recursive projection\nRequires subspace rank (model order) selection\nFocal sources\nUncorrelated sources\nAccurate forward model\nWell-estimated data covariance\nNoise wide-sense stationary\nSufficient samples per parameter\nScanning brain-wide activity to find specific sources\nEvent-related desynchronization/synchronization\nhigh-specificity functional connectivity analyses that are less contaminated by field spread.\nBreak down with correlated sources or closely spaced sources\nSensitive to forward model error\nSuffers from depth bias\nAccurate forward model\nGaussian noise\nImaging broad or unknown source configurations in task-based studies\nProduces interpretable map of brain activity with minimal assumptions on source count\nWorks well with averaged data\nOutput is a variance-normalized statistic\nUnbiasedness holds only for a single point source\nLimited spatial precision and dependency on noise estimation\nOverestimate the spatial extent\nParcel-level spatial coherence\nTemporal stability within the analysis window\nImposes a Bayesian prior that maximizes entropy\nLocalizing spatially extended cortical generators\nMultiple simultaneous sources\nComputationally intensive and model-dependent\nLower performance for a single very focal, high-SNR source\nSensitive to parcellation and hyperparameters\nLinear, instantaneous mixing of statistically independent source processes\nNumber of recoverable ICs \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\unicode{x2A7D}$\\end{document}⩽ number of sensors\nWide-sense stationarity over the analysis window\nNumber of recoverable ICs \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$\\unicode{x2A7D}$\\end{document}⩽ number of sensors; approximate stationarity over the analysis window\nDecomposing ERPs into physiologically plausible subcomponents and fitting dipoles to dipolar ICs\nFails if the source independence assumption is violated\nUser intervention involved in selecting artifactual sources\nCannot separate sources that overlap in time perfectly\nLow-dimensional global optimization problem exists\nGlobal search or a few dipole sources\nUseful when little prior information is available\nWindowed localization at event peaks or brief epochs\nEffectiveness drops with multiple or correlated sources\nComputationally expensive\nConvergence is not guaranteed\nHyperparameter sensitivity (swarm size, inertia, learning rates)\nAbbreviations:\nMUSIC = multiple signal classification; RAP-MUSIC = recursively applied and projected MUSIC; LCMV = linearly constrained minimum variance; dSPM = dynamic statistical parametric mapping; sLORETA = standardized low-resolution brain electromagnetic tomography; cMEM = cortical maximum entropy on the mean; ICA = independent component analysis; IC = independent component; ERP = event-related potential; PSO = particle swarm optimization; SNR = signal-to-noise ratio.\nRecent supervised deep learning approaches for EEG Source estimation. This table contrasts various supervised neural network architectures applied to the inverse problem. It details the synthetic data generation strategies (utilizing forward models such as BEM or FEM), the validation datasets (ranging from simulated signals to clinical epilepsy recordings), and the quantitative performance metrics reported in each study.\nSimulated data\nMean localization error: 4.22 mm\nSimulated data\nHuman scalp EEG (perception task)\nLocalization error: 11.05 mm, MSE: \\documentclass[12pt]{minimal}\n\\usepackage{amsmath}\n\\usepackage{wasysym}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage{upgreek}\n\\usepackage{mathrsfs}\n\\setlength{\\oddsidemargin}{-69pt}\n\\begin{document}\n$3.9 \\times 10^{-19} \\mathrm{V}^2$\\end{document}3.9×10−19V2\nOverlap with brain regions previously associated with perception\nSimulated data\n3 public EEG EP datasets\n1 epilepsy iEEG dataset\nLocalization error: 1.56 mm\nOverlap with brain regions previously associated with the EPs\nEpileptic foci localization (defined as the overlap with resection area) precision: 0.79, recall: 0.49\nPublic VEP EEG dataset\nPublic seizure EEG dataset\nOverlap with brain regions previously associated with the EPs\nEpileptic foci localization precision: 0.91, recall: 0.81.\nAbbreviations:\nEEG = electroencephalography; iEEG = intracranial electroencephalography; LSTM = long short-term memory; CNN = convolutional neural network; ResBlock = residual block; VAE = variational autoencoder; FEM = finite element method; BEM = boundary element method; EP = evoked potential; VEP = visual evoked potential; MSE = Mean Squared Error.\n\n\n### Clinical applications of neural source estimation\nDuring recent decades, brain source modeling using EEG has become an active area of research with significant clinical applications [30, 283]. Noninvasive localization of active brain sources has been used to diagnose pathological, physiological, and functional abnormalities, including epilepsy, event-related potentials, and attention deficit/hyperactivity disorder (ADHD) [14]. This section summarizes clinical applications of source estimation and discusses future research directions.\nLocalizing the epileptogenic zone was a key motivation for brain source localization [14]. Among various neuroimaging modalities, EEG offers superior temporal resolution, making it particularly well-suited for investigating seizures and identifying their onset zones. However, unlike fMRI, EEG lacks high spatial resolution, which limits its ability to precisely localize neural sources [284]. Electroencephalographic source imaging (ESI) provides a noninvasive means of estimating the intracranial origins of epileptiform discharges based on scalp EEG recordings [285, 286]. Given that scalp EEG primarily detects discharges generated by spatially extended cortical sources, accurate source localization methods are crucial for delineating these spatial extents and supporting effective surgical planning [14].\nAs highlighted by Singh et al, ESI has evolved from theoretical biophysical modeling into a clinically viable tool, capable of improving diagnostic yield, particularly in patients with inconclusive MRI findings [41]. Methods such as minimum-norm family (e.g. MNE, wMNE, sLORETA, LAURA [287]) and high-resolution techniques like FINE [288] or beamformers enable reconstruction of both focal and network-level epileptogenic activity. These models rely on realistic head modeling, noise handling, and precise electrode localization to accurately capture the spatiotemporal dynamics of epileptic discharges. Several clinical studies, including Ding et al and Kim et al, have demonstrated the feasibility and utility of ESI in localizing the seizure onset zone, often with accuracy comparable to invasive modalities like PET and SPECT [286, 289]. Moreover, ESI has been adapt to sEEG to localize epileptogenic zone, wherein Vakilna et al demonstrated that resection of the estimated epileptogenic zone resection led to seizure freedom [290]. Collectively, these findings underscore the growing role of source imaging in presurgical workflows, particularly in guiding invasive planning and improving surgical outcomes.\nWhile scalp EEG has long been used in anesthesiology, combining it with source localization remains underutilized [291–294]. Study in [295] shows that (NMM-based tracking using the Jansen–Rit model and unscented Kalman filtering enables real-time estimation of anesthetic brain states from EEG while inferring underlying physiological dynamics during propofol-induced unconsciousness. Tapping into source-localized EEG enriched with physiologically grounded models could revolutionize anesthesia monitoring—by pinpointing not just when but where and why consciousness transitions occur in the brain.\nEEG source localization is increasingly recognized as a critical tool for applications involving the detection and monitoring of neurological abnormalities [14]. Although it is not currently a primary method for the initial detection of brain tumors, source localization may offer complementary insights by characterizing the functional impact of tumors on cortical activity. For instance, Selvam and Shenbagadevi [296] applied a modified wavelet-ICA technique to decompose scalp EEG signals into statistically independent components, which approximate underlying neural sources. While this approach does not constitute anatomical source localization in the traditional sense, it effectively enhances the functional separation of EEG signals, enabling tumor classification via a neural network. As more accurate and anatomically grounded source localization methods become available, future studies could explore their potential to augment existing diagnostic workflows, particularly when combined with high-resolution imaging modalities such as MRI or CT.\nDeep Brain Stimulation is an effective treatment for motor symptoms in neurological disorders like Parkinson’s disease, but its success depends heavily on precise electrode placement. While imaging techniques like MRI and CT are limited by metal artifacts and safety risks, and microelectrode recording is accurate but invasive and time-consuming, EEG offers a noninvasive, portable, and low-cost alternative for functional brain mapping during or after surgery [297].\nRecent studies have explored combining EEG with ESI to improve DBS localization. Notably, Iacono et al demonstrated the feasibility of localizing DBS electrodes by treating the DBS-induced EEG artifact as a signal [298]. Using a high-resolution head model and finite-difference time-domain simulations for the forward model, they applied the dSPM algorithm to solve the EEG inverse problem [298]. Their results showed that the DBS electrode location could be estimated with an accuracy of about 1.2–1.5 cm, supporting the potential for EEG-based, noninvasive intraoperative guidance [298]. Simplified linear inverse models have also been explored in the context of deep brain stimulation. For example, Chang et al used a geometry-based forward model combined with ICA to estimate local neural activity from multi-contact DBS electrodes. These estimates of population-level phase and amplitude were used to guide an adaptive closed-loop stimulation strategy. While not equivalent to full EEG source localization, this work demonstrates how inverse modeling can support real-time neuromodulation control [299].\nEEG source imaging has also demonstrated significant potential across a range of neurodevelopmental and psychiatric disorders. For instance, ADHD subtypes can be differentiated based on distinct spatial patterns of brain activity, enabling more targeted and personalized diagnostics [300, 301]. In [300], hd-EEG combined with sLORETA source localization was used during a Go/Nogo task to investigate the effects of theta/beta neurofeedback in children with ADHD, revealing specific modulation of medial frontal response inhibition processes. A complementary study [301] further explored subtype-specific timing deficits in ADHD using similar techniques, identifying divergent neurophysiological mechanisms in inattentive and combined subtypes. Beyond ADHD, ESI has also been applied to investigate depressive rumination: a recent study [302] compared EEG activity during induced ruminative, neutral, and positive emotional states in a non-clinical population by utilizing ICA, DIPFIT2 source localization, and effective connectivity analysis. Additionally, ESI has been explored in a variety of other psychiatric and neurological conditions, including phobia, obsessive-compulsive disorder, diabetes-related cognitive impairment, restless leg syndrome, and the neurophysiological effects of psychiatric medications [14]. A systematic understanding of EEG source localization methodologies remains essential to enhance clinical utility, inform method selection, and guide future research and therapeutic strategies [14].\n\n\n### Epileptogenic zone identification\nLocalizing the epileptogenic zone was a key motivation for brain source localization [14]. Among various neuroimaging modalities, EEG offers superior temporal resolution, making it particularly well-suited for investigating seizures and identifying their onset zones. However, unlike fMRI, EEG lacks high spatial resolution, which limits its ability to precisely localize neural sources [284]. Electroencephalographic source imaging (ESI) provides a noninvasive means of estimating the intracranial origins of epileptiform discharges based on scalp EEG recordings [285, 286]. Given that scalp EEG primarily detects discharges generated by spatially extended cortical sources, accurate source localization methods are crucial for delineating these spatial extents and supporting effective surgical planning [14].\nAs highlighted by Singh et al, ESI has evolved from theoretical biophysical modeling into a clinically viable tool, capable of improving diagnostic yield, particularly in patients with inconclusive MRI findings [41]. Methods such as minimum-norm family (e.g. MNE, wMNE, sLORETA, LAURA [287]) and high-resolution techniques like FINE [288] or beamformers enable reconstruction of both focal and network-level epileptogenic activity. These models rely on realistic head modeling, noise handling, and precise electrode localization to accurately capture the spatiotemporal dynamics of epileptic discharges. Several clinical studies, including Ding et al and Kim et al, have demonstrated the feasibility and utility of ESI in localizing the seizure onset zone, often with accuracy comparable to invasive modalities like PET and SPECT [286, 289]. Moreover, ESI has been adapt to sEEG to localize epileptogenic zone, wherein Vakilna et al demonstrated that resection of the estimated epileptogenic zone resection led to seizure freedom [290]. Collectively, these findings underscore the growing role of source imaging in presurgical workflows, particularly in guiding invasive planning and improving surgical outcomes.\n\n\n### Consciousness and anesthesiology\nWhile scalp EEG has long been used in anesthesiology, combining it with source localization remains underutilized [291–294]. Study in [295] shows that (NMM-based tracking using the Jansen–Rit model and unscented Kalman filtering enables real-time estimation of anesthetic brain states from EEG while inferring underlying physiological dynamics during propofol-induced unconsciousness. Tapping into source-localized EEG enriched with physiologically grounded models could revolutionize anesthesia monitoring—by pinpointing not just when but where and why consciousness transitions occur in the brain.\n\n\n### Tumor detection\nEEG source localization is increasingly recognized as a critical tool for applications involving the detection and monitoring of neurological abnormalities [14]. Although it is not currently a primary method for the initial detection of brain tumors, source localization may offer complementary insights by characterizing the functional impact of tumors on cortical activity. For instance, Selvam and Shenbagadevi [296] applied a modified wavelet-ICA technique to decompose scalp EEG signals into statistically independent components, which approximate underlying neural sources. While this approach does not constitute anatomical source localization in the traditional sense, it effectively enhances the functional separation of EEG signals, enabling tumor classification via a neural network. As more accurate and anatomically grounded source localization methods become available, future studies could explore their potential to augment existing diagnostic workflows, particularly when combined with high-resolution imaging modalities such as MRI or CT.\n\n\n### Closed loop deep brain stimulation\nDeep Brain Stimulation is an effective treatment for motor symptoms in neurological disorders like Parkinson’s disease, but its success depends heavily on precise electrode placement. While imaging techniques like MRI and CT are limited by metal artifacts and safety risks, and microelectrode recording is accurate but invasive and time-consuming, EEG offers a noninvasive, portable, and low-cost alternative for functional brain mapping during or after surgery [297].\nRecent studies have explored combining EEG with ESI to improve DBS localization. Notably, Iacono et al demonstrated the feasibility of localizing DBS electrodes by treating the DBS-induced EEG artifact as a signal [298]. Using a high-resolution head model and finite-difference time-domain simulations for the forward model, they applied the dSPM algorithm to solve the EEG inverse problem [298]. Their results showed that the DBS electrode location could be estimated with an accuracy of about 1.2–1.5 cm, supporting the potential for EEG-based, noninvasive intraoperative guidance [298]. Simplified linear inverse models have also been explored in the context of deep brain stimulation. For example, Chang et al used a geometry-based forward model combined with ICA to estimate local neural activity from multi-contact DBS electrodes. These estimates of population-level phase and amplitude were used to guide an adaptive closed-loop stimulation strategy. While not equivalent to full EEG source localization, this work demonstrates how inverse modeling can support real-time neuromodulation control [299].\nEEG source imaging has also demonstrated significant potential across a range of neurodevelopmental and psychiatric disorders. For instance, ADHD subtypes can be differentiated based on distinct spatial patterns of brain activity, enabling more targeted and personalized diagnostics [300, 301]. In [300], hd-EEG combined with sLORETA source localization was used during a Go/Nogo task to investigate the effects of theta/beta neurofeedback in children with ADHD, revealing specific modulation of medial frontal response inhibition processes. A complementary study [301] further explored subtype-specific timing deficits in ADHD using similar techniques, identifying divergent neurophysiological mechanisms in inattentive and combined subtypes. Beyond ADHD, ESI has also been applied to investigate depressive rumination: a recent study [302] compared EEG activity during induced ruminative, neutral, and positive emotional states in a non-clinical population by utilizing ICA, DIPFIT2 source localization, and effective connectivity analysis. Additionally, ESI has been explored in a variety of other psychiatric and neurological conditions, including phobia, obsessive-compulsive disorder, diabetes-related cognitive impairment, restless leg syndrome, and the neurophysiological effects of psychiatric medications [14]. A systematic understanding of EEG source localization methodologies remains essential to enhance clinical utility, inform method selection, and guide future research and therapeutic strategies [14].\n\n\n### Additional applications of source estimation\nEEG source imaging has also demonstrated significant potential across a range of neurodevelopmental and psychiatric disorders. For instance, ADHD subtypes can be differentiated based on distinct spatial patterns of brain activity, enabling more targeted and personalized diagnostics [300, 301]. In [300], hd-EEG combined with sLORETA source localization was used during a Go/Nogo task to investigate the effects of theta/beta neurofeedback in children with ADHD, revealing specific modulation of medial frontal response inhibition processes. A complementary study [301] further explored subtype-specific timing deficits in ADHD using similar techniques, identifying divergent neurophysiological mechanisms in inattentive and combined subtypes. Beyond ADHD, ESI has also been applied to investigate depressive rumination: a recent study [302] compared EEG activity during induced ruminative, neutral, and positive emotional states in a non-clinical population by utilizing ICA, DIPFIT2 source localization, and effective connectivity analysis. Additionally, ESI has been explored in a variety of other psychiatric and neurological conditions, including phobia, obsessive-compulsive disorder, diabetes-related cognitive impairment, restless leg syndrome, and the neurophysiological effects of psychiatric medications [14]. A systematic understanding of EEG source localization methodologies remains essential to enhance clinical utility, inform method selection, and guide future research and therapeutic strategies [14].\n\n\n### Existing tools for source estimation\nSeveral software packages are available to help researchers tackle inverse and forward modeling of neural sources. Some of these software are commercially available, with either FDA-clearance for clinical use in the United States or CE-marking for clinical use in the European Union [303–305]. An independent study found that the CURRY and BESA softwares had similar agreement to clinicians for locating the irritative zone of epilepsy, but neither software reliably identified the epileptogenic zone [306]. An overview of popular software is detailed in table 4. The open-source packages, particularly MNE-Python, Brainstorm, FieldTrip, and EEGLAB, have gained widespread adoption in the research community due to their flexibility, extensive documentation, and active user communities that continuously contribute new methods and improvements, although FieldTrip and EEGLAB generally require MATLAB licenses to run. While commercial software often provides streamlined workflows and dedicated technical support suitable for clinical environments, open-source alternatives offer greater transparency in implementation and the ability to customize algorithms for specific research questions. The choice between commercial and open-source solutions typically depends on the specific application context, regulatory requirements, available computational resources, and the level of methodological control needed by the user.\nSoftware for forward and inverse EEG/MEG modeling. This table categorizes widely used software packages, distinguishing between open-source community toolboxes and commercial platforms, including details details on the computing platforms, specific modeling capabilities, and regulatory clearances where applicable.\nAbbreviations:\nEEG = electroencephalography; MEG = magnetoencephalography; GUI = graphical user interface; fMRI = functional magnetic resonance imaging; BEM = boundary element method; FEM = finite element method; FDM = finite difference method; PET = positron emission tomography; SPECT = single-photon emission computed tomography; FDA = Food and Drug Administration; CE = Conformité Européenne (European Conformity).\nOpen-source datasets are critical for advancing the field of neural source estimation. Neurophysiological data can be costly to acquire, and intracranial recordings are inherently invasive, limiting the available population pool. Further, storing the data can be challenging due to the size of multivariate, high-resolution, longitudinal recordings. Sharing this data also presents privacy concerns that must be addressed with informed consent procedures that protect the confidentiality of the patient or research subject.\nBecause of these inherent challenges, the number of available datasets is limited but rapidly growing. Simulated datasets, generated through (NMMs and forward modeling techniques, provide controlled environments for training supervised learning models and validating inverse modeling approaches. For real-world validation of source estimation and localization, some researchers have used intracranial stimulation [19, 298]. Other researchers have used clinically respected epileptogenic zones as the clinical ground truth of epileptic spike localization [45, 307]. Multimodal datasets are especially valuable by combining simultaneous recordings from noninvasive electromagnetic imaging (EEG, MEG, etc), hemodynamic responses (fNIRS, fMRI, etc), and invasive recordings (sEEG, ECoG, etc). These multimodal datasets enable more direct measurement of neural activity, which can validate existing source estimation methods. Further, these datasets provide ground truth measurements that may enable mapping noninvasive recordings to invasive recordings. Of these, we identified only two studies [19, 308] that contained synchronous EEG and sEEG recordings. Further work is needed to develop and validate models that estimate invasive recordings with noninvasive measurements.\nSeveral established resources and repositories support open-access sharing of relevant neurophysiological data. These resources for neurophysiological data include, but are not limited to, the Data Archive for the BRAIN Initiative [309], EBRAINS [310], IEEG.org [311], OpenNeuro [312], and PhysioNet [313]. Other platforms to facilitate clinical and research data sharing that contain relevant data include Dryad [314], Figshare [315], Open Science Framework [316], the Radboud Data Repository [317], and Zenodo [318]. In addition to these platforms, the standardized brain imaging data structure (BIDS) and standardized formats for other neuroimaging modalities have increased the ease of using data collected from different institutions [319–324]. In table 5, we highlight several open-access datasets available to researchers.\nOpen-access multimodal datasets with intracranial recordings. A selected list of publicly available datasets combining invasive and noninvasive modalities, enabling validation and development of inverse methods using ground-truth intracranial data across diverse tasks and patient groups.\nAbbreviations:\nfMRI = functional magnetic resonance imaging; MEG = magnetoencephalography; EEG = Electroencephalography; iEEG = intracranial electroencephalography; hd-EEG = high-density electroencephalography; sEEG = stereoelectroencephalography; ECoG = electrocorticography; DBS = deep brain stimulation; PD = Parkinson’s Disease; WM = working memory; LFP = local field potential; fNIRS = functional near-infrared spectroscopy; MF-EIT = multi-frequency electrical impedance tomography; CT = computed tomography; MRI = magnetic resonance imaging.\n\n\n### Software\nSeveral software packages are available to help researchers tackle inverse and forward modeling of neural sources. Some of these software are commercially available, with either FDA-clearance for clinical use in the United States or CE-marking for clinical use in the European Union [303–305]. An independent study found that the CURRY and BESA softwares had similar agreement to clinicians for locating the irritative zone of epilepsy, but neither software reliably identified the epileptogenic zone [306]. An overview of popular software is detailed in table 4. The open-source packages, particularly MNE-Python, Brainstorm, FieldTrip, and EEGLAB, have gained widespread adoption in the research community due to their flexibility, extensive documentation, and active user communities that continuously contribute new methods and improvements, although FieldTrip and EEGLAB generally require MATLAB licenses to run. While commercial software often provides streamlined workflows and dedicated technical support suitable for clinical environments, open-source alternatives offer greater transparency in implementation and the ability to customize algorithms for specific research questions. The choice between commercial and open-source solutions typically depends on the specific application context, regulatory requirements, available computational resources, and the level of methodological control needed by the user.\nSoftware for forward and inverse EEG/MEG modeling. This table categorizes widely used software packages, distinguishing between open-source community toolboxes and commercial platforms, including details details on the computing platforms, specific modeling capabilities, and regulatory clearances where applicable.\nAbbreviations:\nEEG = electroencephalography; MEG = magnetoencephalography; GUI = graphical user interface; fMRI = functional magnetic resonance imaging; BEM = boundary element method; FEM = finite element method; FDM = finite difference method; PET = positron emission tomography; SPECT = single-photon emission computed tomography; FDA = Food and Drug Administration; CE = Conformité Européenne (European Conformity).\n\n\n### Datasets\nOpen-source datasets are critical for advancing the field of neural source estimation. Neurophysiological data can be costly to acquire, and intracranial recordings are inherently invasive, limiting the available population pool. Further, storing the data can be challenging due to the size of multivariate, high-resolution, longitudinal recordings. Sharing this data also presents privacy concerns that must be addressed with informed consent procedures that protect the confidentiality of the patient or research subject.\nBecause of these inherent challenges, the number of available datasets is limited but rapidly growing. Simulated datasets, generated through (NMMs and forward modeling techniques, provide controlled environments for training supervised learning models and validating inverse modeling approaches. For real-world validation of source estimation and localization, some researchers have used intracranial stimulation [19, 298]. Other researchers have used clinically respected epileptogenic zones as the clinical ground truth of epileptic spike localization [45, 307]. Multimodal datasets are especially valuable by combining simultaneous recordings from noninvasive electromagnetic imaging (EEG, MEG, etc), hemodynamic responses (fNIRS, fMRI, etc), and invasive recordings (sEEG, ECoG, etc). These multimodal datasets enable more direct measurement of neural activity, which can validate existing source estimation methods. Further, these datasets provide ground truth measurements that may enable mapping noninvasive recordings to invasive recordings. Of these, we identified only two studies [19, 308] that contained synchronous EEG and sEEG recordings. Further work is needed to develop and validate models that estimate invasive recordings with noninvasive measurements.\nSeveral established resources and repositories support open-access sharing of relevant neurophysiological data. These resources for neurophysiological data include, but are not limited to, the Data Archive for the BRAIN Initiative [309], EBRAINS [310], IEEG.org [311], OpenNeuro [312], and PhysioNet [313]. Other platforms to facilitate clinical and research data sharing that contain relevant data include Dryad [314], Figshare [315], Open Science Framework [316], the Radboud Data Repository [317], and Zenodo [318]. In addition to these platforms, the standardized brain imaging data structure (BIDS) and standardized formats for other neuroimaging modalities have increased the ease of using data collected from different institutions [319–324]. In table 5, we highlight several open-access datasets available to researchers.\nOpen-access multimodal datasets with intracranial recordings. A selected list of publicly available datasets combining invasive and noninvasive modalities, enabling validation and development of inverse methods using ground-truth intracranial data across diverse tasks and patient groups.\nAbbreviations:\nfMRI = functional magnetic resonance imaging; MEG = magnetoencephalography; EEG = Electroencephalography; iEEG = intracranial electroencephalography; hd-EEG = high-density electroencephalography; sEEG = stereoelectroencephalography; ECoG = electrocorticography; DBS = deep brain stimulation; PD = Parkinson’s Disease; WM = working memory; LFP = local field potential; fNIRS = functional near-infrared spectroscopy; MF-EIT = multi-frequency electrical impedance tomography; CT = computed tomography; MRI = magnetic resonance imaging.\n\n\n### Roadmap for future research\nIn this section, we propose a strategic roadmap for the evolution of neural source estimation. As the field increasingly integrates advances in high-performance computing, multimodal imaging, and artificial intelligence, a structured approach will help coordinate efforts across disparate disciplines. The following framework delineates concrete milestones across 5 year, 10 year, and long-term horizons to help extend source localization from a specialized research technique into a robust, ubiquitous tool in neuroscience, brain-computer interfaces, and clinical workflows.\nIn the short-term (1–5 years), the field should prioritize the development of robust infrastructure across data, software, and hardware. The most critical milestone is the curation of large-scale, standardized, and diverse datasets, akin to ImageNet in computer vision [325] or the UK Biobank in genetics-informed drug discovery [326]. The data developed and published for neural source estimation should emphasize high-quality recordings and well-annotated labels such as task, stimuli, and/or diagnostic information, along with conformity to standardized formats such as BIDS while simultaneously adhering to privacy standards. The publication of additional datasets beyond those presented in table 5 will enable the rigorous validation of inverse algorithms against ground-truth data. To support this, software platforms such as Brainstorm and MNE-Python, which are already relatively more mature as shown in table 4, can evolve from analysis toolboxes into integrated pipelines capable of handling and automating the fusion of hd-EEG with complementary modalities such as OPM-MEG, fNIRS, and EIT. Simultaneously, hardware milestones can focus on reducing the cost of hd-EEG systems and validating the scalability of wearable sensors in ambulatory settings to move source estimation into ecological environments. In parallel, forward modeling during this short-term period can develop even more realistic head volumes leveraging modalities such as high resolution MRI and techniques like automated tissue segmentation algorithms to estimate conductivity and anisotropy for each subject. These advances should be complemented by openly shared forward-model benchmarks and reference pipelines to ensure reproducibility across laboratories. At the same time, inverse-model development can emphasize robustness by establishing shared benchmarks, standardizing metrics with uncertainty estimates, and ensuring methods remain reliable under noise and model mismatch. The research paradigms at this stage can focus across multiple levels: simulations, animal research, healthy volunteers, and clinical populations beyond epilepsy. Together, these short-term developments provide the essential computational and collaborative foundation for future development.\nIn the mid-term (5–10 years), the field can leverage this infrastructure to pursue algorithmic personalization, deeper multimodal integration, and more sophisticated modeling frameworks. Personalized forward models that incorporate subject-specific anatomy, conductivity, and diffusion-derived anisotropy could become widely adopted, enabling more accurate representations of individual biophysics. These personalized models will support the emergence of‘digital twin’ frameworks that blend physics-based simulations with data-driven components to capture non-linear, subject-specific neural dynamics [327]. Correspondingly, we expect inverse modeling to mature into hybrid architectures that integrate principled Bayesian or physics-based inference with deep learning modules capable of resolving complex, distributed sources while maintaining calibrated uncertainty estimates. During this period, multimodal source estimation should become routine, with standardized multimodal frameworks enabling more robust spatial and functional interpretability, and with low-latency inverse methods entering early-stage closed-loop BCI and clinical research applications.\nIn the long-term (10+ years), we anticipate that neural source estimation will extend its use beyond retrospective research toward a prospective clinical standard. Semi-automated, interpretable source-imaging systems should achieve multi-site validation and become integrated into diagnostic workflows across neurology and psychiatry, informing treatment planning and enabling more precise diagnostics and therapeutics such as neuromodulation and neurosurgery. Regulatory-ready software and procedural standards will support widespread deployment, while advances in real-time, personalized digital-twin models may allow source estimation to serve as the computational core of closed-loop BCIs and individualized therapies. In this long-term horizon, validated source estimates could function as primary, clinically actionable biomarkers used in routine care, fulfilling the vision of a mature and widely adopted neuroimaging technology.\n\n\n### Conclusion\nNeural source estimation has evolved significantly with advancements in measurement techniques and computational models. From standard 10–20 EEG systems to more sophisticated modalities like hd-EEG, sEEG, MEG, and functional imaging techniques, continued advances in multimodal techniques have demonstrated improvements in the ability to localize and estimate brain activity more accurately. Forward models of neuron population activity, ranging from simple spherical models to complex FEM approaches, enable more precise simulations of how brain signals propagate, helping to constrain the inherently ill-posed inverse problem. Inverse modeling methods, including linear ECD reconstruction, current-density reconstruction, spatial filtering methods, have demonstrated clinical utility. Each approach relies on specific assumptions that suit different scenarios, such as a fixed number of focal sources versus distributed source patterns. Emerging nonlinear approaches, particularly those incorporating supervised machine learning, show promise in modeling signal propagation beyond the constraints of traditional biophysical volume conduction models. Since source estimation techniques were developed before the emergence of many powerful data-driven machine learning algorithms, future work can examine these nonlinear approaches to modeling source activity or even directly measure neural activity and map noninvasive measurements to these modalities. With continued innovation in theory, algorithms, and measurements, the future of neural source estimation holds promise for improved diagnostic and therapeutic strategies in neuroscience and neurology while opening the door to analyzing deep brain activity without performing surgery.", "domain": "affective_neuroscience"}
{"source": "PMC12889456", "title": "Biophysical Modeling of Thalamocortical Circuit Dynamics: Species-Specific Insights into Neural Synchrony, Sleep Spindles, and Mechanisms of Neuropsychiatric Disorders", "text": "# Biophysical Modeling of Thalamocortical Circuit Dynamics: Species-Specific Insights into Neural Synchrony, Sleep Spindles, and Mechanisms of Neuropsychiatric Disorders\n\n## Abstract\nThalamocortical circuits play a fundamental role in cognitive functions, and neural synchronization, with disruptions implicated in disorders. Here, we investigated the neural dynamics of thalamocortical connectivity using computational modeling of rodent and primate thalamocortical loops. We incorporated distinct projections and varying network configurations and examined their impact on circuit synchrony, spiking patterns, and sleep spindle generation. Circuits included distinct core and matrix thalamocortical projections, with core pathways providing focal, driving input to middle cortical layers, while matrix pathways mediate widespread, modulatory signaling across superficial layers, and the presence of thalamic interneurons, which are scarce in rodents but comprise up to a third of the thalamic neurons in primates. In our simulations, these distinctions produced clear species-and loop architecture-dependent effects: rodent circuits were markedly more sensitive to parameter changes in core and matrix thalamocortical connectivity strength, while primate circuits maintained relatively stable spatiotemporal patterns across parameter variations, exhibiting greater stability and synchrony. Sleep spindle analysis likewise revealed species differences. Overall, across all thalamocortical configurations, rodent simulations produced spindles with greater spatiotemporal variability, showing irregular event structure and timing. In contrast, primate spindles were more uniform and coherent, with clearer and more consistent organization across neurons and time. These findings provide insights into species-specific differences in thalamocortical dynamics and have implications for modeling sensory and cognitive disruptions in disorders such as autism and schizophrenia. By incorporating distinct configurations, and interspecies differences, our model contributes to understanding how thalamocortical dysregulation may differentially impact spindle generation, network synchrony, and information processing across species.\n\n## Full Text\n\n\n### Introduction\nThe thalamocortical (TC) circuit, composed of the cortex, thalamus, and the inhibitory thalamic reticular nucleus (TRN), plays a critical role in both wake and sleep states (Zikopoulos & Barbas, 2007a). During wakefulness, the TC circuit is involved in sensory processing and attention (Zikopoulos & Barbas, 2007a; Whyte et al., 2024; Pinault, 2004), while during sleep, it generates sleep spindles – brief oscillations in the 10–16 Hz range commonly detected via electroencephalogram (EEG) recordings – and facilitates memory consolidation (Latchoumane et al., 2017; Manoach & Stickgold, 2019a). These oscillations have also been implicated in neurodevelopmental disorders such as schizophrenia and autism (Castelnovo et al., 2025; Gerardo & Manuel, 2020; Manoach & Stickgold, 2019b; Mylonas et al., 2022).\nTwo parallel and distinct sub-circuits form the basic organizational units of TC circuits: the core and the matrix. Core circuits are involved with sensory and cognitive processing and consist of focal projections, whereas matrix circuits are involved with limbic processing and memory consolidation, consisting of diffuse and widespread projections. Although both sub-circuits are found in all mammals, key differences exist between species. The significant expansion and specialization of the primate thalamus and cortical areas that have no homologues in rodents (Arcaro et al., 2015; Chartrand et al., 2023; García-Cabezas et al., 2022a; Jorstad et al., 2023; Joyce et al., 2022; Kim et al., 2023; Mengxing et al., 2023; Saalmann et al., 2012; Timbie et al., 2020), results in a clearer separation of core and matrix TC circuits, compared to rodents that differ by laminar distribution of cortical and thalamic projection neurons and their termination patterns, and neurochemical profiles in thalamus (Jones, 2007; Murray et al., 2007; Xiao et al., 2009; Zikopoulos & Barbas, 2007b). Moreover, rodents possess only a limited number of thalamic interneurons located in a few thalamic nuclei, while in primates, interneurons make up approximately a third of all thalamic neurons (Arcelli et al., 1997). This interspecies variability makes it crucial to examine thalamocortical dynamics across both rodents and primates. Another important distinction lies in the organization of TRN-thalamic interactions. These can be arranged in closed-loop (reciprocal innervation between TRN and the same thalamic neurons they inhibit), open-loop (no such reciprocity), or hybrid configurations. Despite extensive research on the role of the TC circuit in awake processing and sleep spindle generation, the specific contributions of core versus matrix circuits, TRN-thalamic connectivity configurations, and local inhibition, as well as how these lead to functional differences between species remain less understood.\nTo address this gap, we developed a detailed biophysical computational model of the rodent and primate thalamocortical systems, incorporating both structural and functional species-specific properties, including core, matrix, and mixed circuits, with the mixed circuit representing a functional combination of the two via cortico-cortico connection. Each species model was simulated across closed, open, and hybrid loop configurations. The hybrid loop represents a distinct loop configuration that integrates the features of both open and closed architectures. The model incorporated distinct and opposite receptor dynamics for each circuit: in the core, ionotropic receptors mediated thalamocortical connections and metabotropic receptors mediated corticothalamic connections, whereas in the matrix the arrangement was reversed. We controlled the spatial spread of neural activity using a difference-of-Gaussians convolution: the core used a narrow filter to restrict projections, while the matrix employed a wider filter for diffuse projections. Activity was initiated by external input to a single thalamic or TRN neuron, inducing TRN bursting and subsequent rebound spiking in thalamocortical neurons. This interaction initiated spindling, which we characterized by averaging multi-neuron activity and applying a 9–13 Hz bandpass filter to extract spindle signals.\nOur findings highlighted faster synchronization with higher spindle density and amplitude in rodents compared to primates and pointed to mechanisms for differential spindle vulnerability in disorders; core spindles were more vulnerable to thalamocortical manipulations overall, but matrix manipulations were more effective at reducing overall spindle densities.\n\n\n### Methods\nThe thalamocortical model includes cortical (Ctx), thalamocortical relay (TC), and thalamic reticular nucleus (TRN) neurons in the rodent and primate models; the latter also contains local thalamic inhibitory interneurons (IN). Core and matrix circuits interact at the cortical level, incorporating inter- and intra-cortical area mixing. Thalamic microarchitectural differences have been debated previously and implemented into this simulation (Brown et al., 2020; Willis et al., 2015; Yazdanbakhsh et al., 2023). Our model contains three different configurations: the closed, open and hybrid loop to understand how it impacts the activity of the circuit as a whole (Figure 1A–B). The closed loop refers to a configuration in which the TRN neuron inhibits the thalamic relay (TC) neuron, which reciprocally excites the original TRN neuron. In contrast, the open loop describes a configuration where the TRN neuron inhibits a TC neuron without reciprocal excitation. The hybrid loop combines features of both closed and open configurations (Yazdanbakhsh et al., 2023). Because empirical data on thalamoreticular connectivity remain limited, with existing anatomical studies suggesting that both open and closed motifs coexist within the thalamocortical system, a purely open or purely closed design would fail to capture the full range of biologically plausible dynamics. Incorporating a hybrid loop therefore provides an approximation of real-world circuitry, allowing us to simulate interactions that likely occur in vivo.\nCore and matrix circuits differ in their neurochemical and neuroanatomical properties. Based on anatomical and physiological findings (Reichova & Sherman, 2004; Zikopoulos & Barbas, 2007b), NR1 ionotropic receptors mediate matrix CTX-TC synapse, while mGluR1a metabotropic receptors mediate core CTX-TC synapse. These receptor type differences were implemented in our model (Figure 1C–D). For the reciprocal thalamocortical connections, receptor types were reversed to maintain their driving/modulatory roles of the core and matrix pathways. Furthermore, the core and matrix thalamocortical projections differ in their target regions and spread. Matrix thalamocortical projections target the superficial cortical layers in a widespread manner, while core thalamocortical projections target the middle/deep cortical layers more focally (Jones, 1998; Zikopoulos & Barbas, 2007b). Gaussian filters and convolution were used to simulate these differences, with matrix projections having a spread an order of magnitude wider than core projections.\nThe rodent model had a total of 600 neurons, while the primate had 800 neurons, with 100 neurons allocated to each neural type. Relative neuron count influence was approximated by scaling synaptic conductances to reflect differences in effective connectivity between neural populations. All neurons were modeled as single-compartment units governed by first-order differential equations that incorporate voltage-gated, intrinsic and synaptic currents. The simulation activity was initiated through a brief (50 ms) pulse to the circuit, and each simulation of the model ran for seven seconds.\nThe dynamics of each neuron are described by first-order differential equations based on the original work by Hodgkin and Huxley (1952), with adaptations from Pospischil et al. (2008) to capture additional physiological features. Each neuron incorporates Hodgkin-Huxley equations to describe sodium (INa), potassium (IK) and leak (IL) currents, along with intrinsic currents specific to the physiological properties of the neural type and the synaptic currents. All currents were modeled based on Hodgkin-Huxley kinetics.\n\nCmdVdt=-gleakV-Eleak-INa-IK-IIntrinsic-Isyn\nEach voltage-gated and intrinsic current has the following format:\n\nIj=g⇀j*mM*hN*V-Ej\n\n(Pospischil et al., 2008)\nThe maximal conductance of each current is denoted as gj. The gating variables m and h are probabilistic values that control the activation and deactivation kinetics, respectively. The driving force for the current is expressed as V-Ej, where Ej is the reversal potential.\nThe Hodgkin-Huxley consists of three primary currents: the voltage-dependent Na2+ current, the voltage-dependent K+ “delayed-rectifier” current, and the leakage current (Hodgkin & Huxley, 1952). The equations for all three currents are provided below and all necessary functions and constants are provided in Table 1 and Table 2.\nINa=g⇀Na*m3*h*V-ENa\n\n\ndmdt=αm(V)(1-m)-βm(V)m\n\n\ndhdt=αh(V)(1-h)-βh(V)h\n\n(Pospischil et al., 2008)\nIK=g⃑K*n4*V-EK\n\n\ndndt=αn(V)(1-n)-βn(V)n\n\n(Pospischil et al., 2008)\nIL=g⃑L*V-EL\nTo capture the distinct physiological properties of TRN and TC relay neurons, two additional currents were incorporated into the model. Both neuron types possess a low-threshold Ca2+ current (IT) that is responsible for their bursting and rebound bursting properties; however, the kinetics of this current differ between the TRN and TC neurons, thus requiring distinct equations (Bal & McCormick, 1993; A. Destexhe et al., 1993; Huguenard & Prince, 1992; McCormick & Huguenard, 1992). In addition, TC relay neurons possess a hyperpolarization-activated current (IH), which facilitates the repolarization of the TC membrane potential following hyperpolarization (A. Destexhe et al., 1996; Huguenard & Prince, 1992). All constants and necessary functions for each current are listed in Tables 1 and Table 2.\nIT=g⃑Ca*m2*h*V-ECa\n\n\ndmdt=1τm(V)m-m∞(V)\n\n(A. Destexhe et al., 1994)\nIT=g⃑Ca*m3*h*V-ECa\n\n\ndmdt=1τm(V)m-m∞(V)\n\n(A. Destexhe et al., 1993)\nIH=g⃑H*S1+S2*F1+F2*V-EH\n\n\ndS1dt=αS(V)*1-S1-S2-βS(V)*S1+k2*S2-C*S1\n\n\ndF1dt=αF(V)*1-F1-F2-βF(V)*F1+k2*F2-C*S1\n\n(A. Destexhe et al., 1993)\nSynaptic communication in the model incorporates the following neurotransmitter receptors: AMPA, NMDA, GABAA, GABAB, and mGluR. These ionotropic and metabotropic receptors mediate the synaptic connections.\nThe current for ionotropic receptors is modeled using the following equation:\n\nIReceptor=g⃑Receptor*mReceptor*V-EReceptor(ion)\nThe maximal conductance, greceptor , of the ion associated with the specific receptor; the total fraction of open post-synaptic receptors, mreceptor, and the driving force (V-Ereceptor(ion)) control the flow of the ions through the specific receptor. The fraction of open receptors is dependent on the concentration of neurotransmitter present. The generic differential equation describing this relationship is as follows:\n\ndmReceptordt=αReceptor*TReceptor*1-mReceptor-βmReceptor*mReceptor\nThe parameters α and β represent the forward and backward binding rates, respectively, while [Treceptor] represents the concentration of neurotransmitter present. All of the constants associated with each ionotropic receptor are present in Table 3.\nThe format for the metabotropic receptor and all necessary equations are provided below (Destexhe et al., 1998). All the parameter values are provided in Table 4. The general current equation is provided below:\n\nIReceptor=g⃑Receptor*sReceptornsReceptorn+Kd*V-EReceptor\nThe variable, sReceptornsReceptorn+Kd, represents the concentration of second-messengers. The equation for the rate of change of the openness of the post-synaptic receptors is as follows:\n\ndrReceptordt=K1*TReceptor1-rReceptor-K2*rReceptor\nThe variables, K1=1.3, and K2=0.006, are constant values similar to the forward and binding rates. An additional third differential equation describes the receptor desensitization rate:\n\ndsReceptordt=K3*rReceptor-K4*sReceptor\nThe sensitization and desensitization rates are represented by the variables K3=0.09, and K4=0.0064. The variable, sReceptor, represents second-messenger concentration that both contributes to the opening of the specific metabotropic receptors and to the decay of second-messenger concentration.\nThe metabotropic glutamate receptor (mGluR), responsible for excitatory signaling, was modeled using the kinetics and kinematics of the GABAB receptor. The reversal potential for mGluR (EmGluR) was set to 0 mV, consistent with EAMPA.\nThe synchronization of thalamocortical activity was assessed both qualitatively and quantitatively. Three-dimensional parameter searches were conducted and outlined within a 3-D cube framework (Figure 1F). The x- and y- axes represent the relative prevalence (strength) of core and matrix thalamocortical connectivity, respectively, while the z-axis represents the strength of cortico-cortical mixing (Figure 1F). The starting condition of each thalamocortical loop iteration (•, Figure 1F) corresponds to the initial state of the loop, where all parameters are set to relatively low values. The control case of the network was defined as a balanced thalamocortical activity level, situated between complete inactivity and overly saturated activity, allowing for future investigation of neurobiological parameters.\nAt each vertex of the cube, spatiotemporal maps for the core and matrix thalamocortical activity were displayed, providing insights into the neural activity of a region (TRN, TC, IN and Ctx) over time (Figure 1G). To quantify the spatiotemporal structure of thalamocortical activity bands, we applied principal component analysis (PCA) to the spike-time raster data for each activity band. For each activity band, we z-scored the time and neuron axes to maintain a shared reference frame across species, loop configurations, and trials. PCA was then performed on the z-scored time–neuron activity band to obtain the first principal component (PC1), which reflects the orientation of the largest standard deviation of the activity bands and therefore indicate the orientation of the activity band in the spaciotemporal space. The PCA orientation angle (θ) was computed by projecting the PC1 loading vector onto the raster’s time-neuron plane and measuring its angle relative to vertical. Angles (θ) near 90° indicate vertically aligned bands in which neurons fire with minimal temporal offset (high synchrony). Angles (θ) deviating from 90° indicate tilted, propagating activity in which spiking progresses across neurons over time (lower synchrony).\nDuring analysis of the closed-loop rodent model, we observed that most activity bands were bilaterally symmetric about the vertical axis and formed boomerang-shaped patterns. Because PCA extracts the axis of maximum variance, applying PCA to this fully symmetric structure produced an artificially vertical eigenvector, even when the underlying spiking pattern itself was not synchronous. The vertical eigenvector was therefore a geometric artifact of bilateral symmetry, not a reflection of true synchrony. To correct for this artifact and recover the true temporal structure of rodent closed-loop activity bands, we performed PCA on the upper half of each activity band only. Removing the symmetric lower half prevents symmetry from forcing PCA-derived eigenvector to align vertically. In this half-band representation, the orientation of the PCA-derived eigenvector reflects the actual spatiotemporal dynamics of the activity band, rather than the imposed geometry of bilateral symmetry. This procedure enabled valid comparisons across rastergrams of rodent and primate activity, and across closed, open, and hybrid loops. The same global z-scoring and angle-based synchrony measures were then applied uniformly across rastergrams.\nWe further used the PCA first principal component eigenvector orientation to compute the mean propagation time (MPT), defined as the elapsed time between the first and last spiking neurons within an activity band divided by the number of active neurons in that interval. To obtain this value, we embedded the PCA-derived eigenvector as it is stretched across the activity band, allowing us to estimate both the time spanned along this vector with the number of neurons it traversed. MPT therefore measures time offset per neuron in the sequence. Synchronous activity produces MPT values near zero, whereas propagating traveling wave-like activity yields larger MPT values reflecting lower activity band synchrony. PCA-derived orientation angles and MPT were jointly used to characterize the temporal structure of each activity band.\nAll simulations were conducted with core and matrix cortical mixing, meaning that core and matrix circuits interacted at the level of the cortex, through connections (mixing/integration) across layers or across areas. Sleep spindles for core and matrix activity were calculated by averaging the neural activity of five core and five matrix neurons at a time, separately from the functionally mixed thalamocortical circuit. Mixed spindles were calculated by averaging the combined activity of 10 cortical neurons (5 matrix and 5 core) from the functionally mixed thalamocortical loop. All averaged activity was bandpass filtered in the 9–13 Hz range (Figure 1E) for sleep spindle detection.\nWe assessed sleep spindle amplitude, duration, and density following the criteria outlined by Gonzalez et al. (2022). Spindles were considered for analysis, if their amplitude exceeded a set threshold (30% of peak amplitude spindle) and was not within 0.5 seconds of another detected amplitude (Gonzalez et al., 2022). Spindle duration was defined as the time difference between two local minima in reference to a detected amplitude. Spindle density was calculated by counting the number of amplitudes within a bandpass-filtered averaged activity array. All spindle metrics were visually cross-validated to ensure accuracy.\nBecause spindle metrics (amplitude, duration and density), exhibited non-normal distributions, we performed rank-ordered statistical analysis. Kruskal-Wallis tests were performed to evaluate statistical significance among rodent and primate spindle metrics (sleep spindle amplitude, duration and density) across all three loop configurations (closed, open, hybrid).\nWe computed the fast Fourier transform (FFT) of averaged time-domain signals to analyze spectral power in rodent and primate thalamocortical circuits across open, closed, and hybrid loop configurations. Power spectral densities (PSDs) were then plotted on a logarithmic scale within the 8–20 Hz range to capture both prominent spindle peaks and subtle spindle-related dynamics. Similarly to the approach of Fernandez & Lüthi (2020), our goal was to continuously assess thalamocortical spindle activity rather than focus solely on discrete spindle detection. By examining the spectral distribution, we aimed to detect species- and condition-specific differences in content and organization of frequencies within the spindle range, including broad sigma-band shoulders and distributed frequency components. This spectral approach is particularly relevant for comparing rodent and primate circuits, where differences in spindle expression may reflect species-specific adaptations in thalamocortical architecture.\n\n\n### Thalamocortical Anatomy & Connectivity\nThe thalamocortical model includes cortical (Ctx), thalamocortical relay (TC), and thalamic reticular nucleus (TRN) neurons in the rodent and primate models; the latter also contains local thalamic inhibitory interneurons (IN). Core and matrix circuits interact at the cortical level, incorporating inter- and intra-cortical area mixing. Thalamic microarchitectural differences have been debated previously and implemented into this simulation (Brown et al., 2020; Willis et al., 2015; Yazdanbakhsh et al., 2023). Our model contains three different configurations: the closed, open and hybrid loop to understand how it impacts the activity of the circuit as a whole (Figure 1A–B). The closed loop refers to a configuration in which the TRN neuron inhibits the thalamic relay (TC) neuron, which reciprocally excites the original TRN neuron. In contrast, the open loop describes a configuration where the TRN neuron inhibits a TC neuron without reciprocal excitation. The hybrid loop combines features of both closed and open configurations (Yazdanbakhsh et al., 2023). Because empirical data on thalamoreticular connectivity remain limited, with existing anatomical studies suggesting that both open and closed motifs coexist within the thalamocortical system, a purely open or purely closed design would fail to capture the full range of biologically plausible dynamics. Incorporating a hybrid loop therefore provides an approximation of real-world circuitry, allowing us to simulate interactions that likely occur in vivo.\nCore and matrix circuits differ in their neurochemical and neuroanatomical properties. Based on anatomical and physiological findings (Reichova & Sherman, 2004; Zikopoulos & Barbas, 2007b), NR1 ionotropic receptors mediate matrix CTX-TC synapse, while mGluR1a metabotropic receptors mediate core CTX-TC synapse. These receptor type differences were implemented in our model (Figure 1C–D). For the reciprocal thalamocortical connections, receptor types were reversed to maintain their driving/modulatory roles of the core and matrix pathways. Furthermore, the core and matrix thalamocortical projections differ in their target regions and spread. Matrix thalamocortical projections target the superficial cortical layers in a widespread manner, while core thalamocortical projections target the middle/deep cortical layers more focally (Jones, 1998; Zikopoulos & Barbas, 2007b). Gaussian filters and convolution were used to simulate these differences, with matrix projections having a spread an order of magnitude wider than core projections.\n\n\n### Network Geometry\nThe rodent model had a total of 600 neurons, while the primate had 800 neurons, with 100 neurons allocated to each neural type. Relative neuron count influence was approximated by scaling synaptic conductances to reflect differences in effective connectivity between neural populations. All neurons were modeled as single-compartment units governed by first-order differential equations that incorporate voltage-gated, intrinsic and synaptic currents. The simulation activity was initiated through a brief (50 ms) pulse to the circuit, and each simulation of the model ran for seven seconds.\n\n\n### Voltage-Gated, Intrinsic and Synaptic Currents\nThe dynamics of each neuron are described by first-order differential equations based on the original work by Hodgkin and Huxley (1952), with adaptations from Pospischil et al. (2008) to capture additional physiological features. Each neuron incorporates Hodgkin-Huxley equations to describe sodium (INa), potassium (IK) and leak (IL) currents, along with intrinsic currents specific to the physiological properties of the neural type and the synaptic currents. All currents were modeled based on Hodgkin-Huxley kinetics.\n\nCmdVdt=-gleakV-Eleak-INa-IK-IIntrinsic-Isyn\nEach voltage-gated and intrinsic current has the following format:\n\nIj=g⇀j*mM*hN*V-Ej\n\n(Pospischil et al., 2008)\nThe maximal conductance of each current is denoted as gj. The gating variables m and h are probabilistic values that control the activation and deactivation kinetics, respectively. The driving force for the current is expressed as V-Ej, where Ej is the reversal potential.\n\n\n### Hodgkin-Huxley Currents\nThe Hodgkin-Huxley consists of three primary currents: the voltage-dependent Na2+ current, the voltage-dependent K+ “delayed-rectifier” current, and the leakage current (Hodgkin & Huxley, 1952). The equations for all three currents are provided below and all necessary functions and constants are provided in Table 1 and Table 2.\n\n\n### Sodium Current\nINa=g⇀Na*m3*h*V-ENa\n\n\ndmdt=αm(V)(1-m)-βm(V)m\n\n\ndhdt=αh(V)(1-h)-βh(V)h\n\n(Pospischil et al., 2008)\n\n\n### Potassium “Delayed-Rectifier” Current:\nIK=g⃑K*n4*V-EK\n\n\ndndt=αn(V)(1-n)-βn(V)n\n\n(Pospischil et al., 2008)\n\n\n### Leakage Current\nIL=g⃑L*V-EL\n\n\n### Intrinsic Currents\nTo capture the distinct physiological properties of TRN and TC relay neurons, two additional currents were incorporated into the model. Both neuron types possess a low-threshold Ca2+ current (IT) that is responsible for their bursting and rebound bursting properties; however, the kinetics of this current differ between the TRN and TC neurons, thus requiring distinct equations (Bal & McCormick, 1993; A. Destexhe et al., 1993; Huguenard & Prince, 1992; McCormick & Huguenard, 1992). In addition, TC relay neurons possess a hyperpolarization-activated current (IH), which facilitates the repolarization of the TC membrane potential following hyperpolarization (A. Destexhe et al., 1996; Huguenard & Prince, 1992). All constants and necessary functions for each current are listed in Tables 1 and Table 2.\n\n\n### Thalamic Reticular Nucleus T-Current:\nIT=g⃑Ca*m2*h*V-ECa\n\n\ndmdt=1τm(V)m-m∞(V)\n\n(A. Destexhe et al., 1994)\n\n\n### Thalamocortical Relay Neuron T-current\nIT=g⃑Ca*m3*h*V-ECa\n\n\ndmdt=1τm(V)m-m∞(V)\n\n(A. Destexhe et al., 1993)\n\n\n### Thalamocortical Relay Neuron H-current\nIH=g⃑H*S1+S2*F1+F2*V-EH\n\n\ndS1dt=αS(V)*1-S1-S2-βS(V)*S1+k2*S2-C*S1\n\n\ndF1dt=αF(V)*1-F1-F2-βF(V)*F1+k2*F2-C*S1\n\n(A. Destexhe et al., 1993)\n\n\n### Synaptic Currents\nSynaptic communication in the model incorporates the following neurotransmitter receptors: AMPA, NMDA, GABAA, GABAB, and mGluR. These ionotropic and metabotropic receptors mediate the synaptic connections.\n\n\n### Ionotropic Channels\nThe current for ionotropic receptors is modeled using the following equation:\n\nIReceptor=g⃑Receptor*mReceptor*V-EReceptor(ion)\nThe maximal conductance, greceptor , of the ion associated with the specific receptor; the total fraction of open post-synaptic receptors, mreceptor, and the driving force (V-Ereceptor(ion)) control the flow of the ions through the specific receptor. The fraction of open receptors is dependent on the concentration of neurotransmitter present. The generic differential equation describing this relationship is as follows:\n\ndmReceptordt=αReceptor*TReceptor*1-mReceptor-βmReceptor*mReceptor\nThe parameters α and β represent the forward and backward binding rates, respectively, while [Treceptor] represents the concentration of neurotransmitter present. All of the constants associated with each ionotropic receptor are present in Table 3.\n\n\n### Metabotropic Channels\nThe format for the metabotropic receptor and all necessary equations are provided below (Destexhe et al., 1998). All the parameter values are provided in Table 4. The general current equation is provided below:\n\nIReceptor=g⃑Receptor*sReceptornsReceptorn+Kd*V-EReceptor\nThe variable, sReceptornsReceptorn+Kd, represents the concentration of second-messengers. The equation for the rate of change of the openness of the post-synaptic receptors is as follows:\n\ndrReceptordt=K1*TReceptor1-rReceptor-K2*rReceptor\nThe variables, K1=1.3, and K2=0.006, are constant values similar to the forward and binding rates. An additional third differential equation describes the receptor desensitization rate:\n\ndsReceptordt=K3*rReceptor-K4*sReceptor\nThe sensitization and desensitization rates are represented by the variables K3=0.09, and K4=0.0064. The variable, sReceptor, represents second-messenger concentration that both contributes to the opening of the specific metabotropic receptors and to the decay of second-messenger concentration.\nThe metabotropic glutamate receptor (mGluR), responsible for excitatory signaling, was modeled using the kinetics and kinematics of the GABAB receptor. The reversal potential for mGluR (EmGluR) was set to 0 mV, consistent with EAMPA.\n\n\n### Thalamocortical Activity Synchronization & Statistical Analysis\nThe synchronization of thalamocortical activity was assessed both qualitatively and quantitatively. Three-dimensional parameter searches were conducted and outlined within a 3-D cube framework (Figure 1F). The x- and y- axes represent the relative prevalence (strength) of core and matrix thalamocortical connectivity, respectively, while the z-axis represents the strength of cortico-cortical mixing (Figure 1F). The starting condition of each thalamocortical loop iteration (•, Figure 1F) corresponds to the initial state of the loop, where all parameters are set to relatively low values. The control case of the network was defined as a balanced thalamocortical activity level, situated between complete inactivity and overly saturated activity, allowing for future investigation of neurobiological parameters.\nAt each vertex of the cube, spatiotemporal maps for the core and matrix thalamocortical activity were displayed, providing insights into the neural activity of a region (TRN, TC, IN and Ctx) over time (Figure 1G). To quantify the spatiotemporal structure of thalamocortical activity bands, we applied principal component analysis (PCA) to the spike-time raster data for each activity band. For each activity band, we z-scored the time and neuron axes to maintain a shared reference frame across species, loop configurations, and trials. PCA was then performed on the z-scored time–neuron activity band to obtain the first principal component (PC1), which reflects the orientation of the largest standard deviation of the activity bands and therefore indicate the orientation of the activity band in the spaciotemporal space. The PCA orientation angle (θ) was computed by projecting the PC1 loading vector onto the raster’s time-neuron plane and measuring its angle relative to vertical. Angles (θ) near 90° indicate vertically aligned bands in which neurons fire with minimal temporal offset (high synchrony). Angles (θ) deviating from 90° indicate tilted, propagating activity in which spiking progresses across neurons over time (lower synchrony).\nDuring analysis of the closed-loop rodent model, we observed that most activity bands were bilaterally symmetric about the vertical axis and formed boomerang-shaped patterns. Because PCA extracts the axis of maximum variance, applying PCA to this fully symmetric structure produced an artificially vertical eigenvector, even when the underlying spiking pattern itself was not synchronous. The vertical eigenvector was therefore a geometric artifact of bilateral symmetry, not a reflection of true synchrony. To correct for this artifact and recover the true temporal structure of rodent closed-loop activity bands, we performed PCA on the upper half of each activity band only. Removing the symmetric lower half prevents symmetry from forcing PCA-derived eigenvector to align vertically. In this half-band representation, the orientation of the PCA-derived eigenvector reflects the actual spatiotemporal dynamics of the activity band, rather than the imposed geometry of bilateral symmetry. This procedure enabled valid comparisons across rastergrams of rodent and primate activity, and across closed, open, and hybrid loops. The same global z-scoring and angle-based synchrony measures were then applied uniformly across rastergrams.\nWe further used the PCA first principal component eigenvector orientation to compute the mean propagation time (MPT), defined as the elapsed time between the first and last spiking neurons within an activity band divided by the number of active neurons in that interval. To obtain this value, we embedded the PCA-derived eigenvector as it is stretched across the activity band, allowing us to estimate both the time spanned along this vector with the number of neurons it traversed. MPT therefore measures time offset per neuron in the sequence. Synchronous activity produces MPT values near zero, whereas propagating traveling wave-like activity yields larger MPT values reflecting lower activity band synchrony. PCA-derived orientation angles and MPT were jointly used to characterize the temporal structure of each activity band.\n\n\n### Sleep Spindle Detection & Statistical Analysis\nAll simulations were conducted with core and matrix cortical mixing, meaning that core and matrix circuits interacted at the level of the cortex, through connections (mixing/integration) across layers or across areas. Sleep spindles for core and matrix activity were calculated by averaging the neural activity of five core and five matrix neurons at a time, separately from the functionally mixed thalamocortical circuit. Mixed spindles were calculated by averaging the combined activity of 10 cortical neurons (5 matrix and 5 core) from the functionally mixed thalamocortical loop. All averaged activity was bandpass filtered in the 9–13 Hz range (Figure 1E) for sleep spindle detection.\nWe assessed sleep spindle amplitude, duration, and density following the criteria outlined by Gonzalez et al. (2022). Spindles were considered for analysis, if their amplitude exceeded a set threshold (30% of peak amplitude spindle) and was not within 0.5 seconds of another detected amplitude (Gonzalez et al., 2022). Spindle duration was defined as the time difference between two local minima in reference to a detected amplitude. Spindle density was calculated by counting the number of amplitudes within a bandpass-filtered averaged activity array. All spindle metrics were visually cross-validated to ensure accuracy.\nBecause spindle metrics (amplitude, duration and density), exhibited non-normal distributions, we performed rank-ordered statistical analysis. Kruskal-Wallis tests were performed to evaluate statistical significance among rodent and primate spindle metrics (sleep spindle amplitude, duration and density) across all three loop configurations (closed, open, hybrid).\nWe computed the fast Fourier transform (FFT) of averaged time-domain signals to analyze spectral power in rodent and primate thalamocortical circuits across open, closed, and hybrid loop configurations. Power spectral densities (PSDs) were then plotted on a logarithmic scale within the 8–20 Hz range to capture both prominent spindle peaks and subtle spindle-related dynamics. Similarly to the approach of Fernandez & Lüthi (2020), our goal was to continuously assess thalamocortical spindle activity rather than focus solely on discrete spindle detection. By examining the spectral distribution, we aimed to detect species- and condition-specific differences in content and organization of frequencies within the spindle range, including broad sigma-band shoulders and distributed frequency components. This spectral approach is particularly relevant for comparing rodent and primate circuits, where differences in spindle expression may reflect species-specific adaptations in thalamocortical architecture.\n\n\n### Results\nIn both species, the closed loop produced symmetrical, vertically aligned activity bands (Figure 2). In contrast, the open and, to a lesser extent, hybrid loops generated asymmetrical bands characteristic of traveling waves (Figures 3–4). Traveling waves were most prominent in the rodent model but were also observed under certain parameter settings in the primate model.\nIn both rodent and primate closed loops, the spread of cortical activity increased as a function of core and matrix thalamocortical strength. In the rodent model, increasing core thalamocortical strength altered the synchrony of cortical activity, producing more tilted activity bands and traveling-wave structure, whereas the primate model was largely unaffected. Additionally, increased cortico-cortical mixing amplified the spread of cortical activity in both rodent and primate closed loops (Figure 2A & 2C). Differences in the effect of core thalamocortical strength on synchrony led to drastically different control cases in the rodent and primate.\nThe rodent open loop generated traveling waves, regardless of the values of core TC strength, matrix TC strength, or cortico-cortical mixing. The primate open loop, while still capable of generating asymmetrical bands in some parameterizations, often produced more organized, less prominent traveling waves, partially resembling the closed loop geometry (Figure 3C •). Across the parameter search, neither model showed major changes in the spread of activity as a function of increased core or matrix thalamocortical strength. In the rodent open loop, increasing matrix thalamocortical strength caused separation in the traveling waves (Figure 3A). In the primate open loop, increased matrix, and to a lesser extent, core thalamocortical strength, reduced the prominence of traveling waves (Figure 3D).\nIn the rodent hybrid loop, increasing core TC strength resulted in more synchronized and cohesive activity bands (Figure 4A & 4C). In contrast, increasing matrix TC strength heightened traveling waves and separation. For the primate hybrid loop, increasing cortico-cortical strength caused an increase in the spread of cortical activity. However, even at the most extreme parameters, primate activity bands remained substantially more synchronous compared to rodents (Figure 4B & 4D).\nBefore going into the key findings from each loop configuration, we wanted to note general trends that were present in all three versions of the thalamocortical loop and in both species. Matrix cortical activity tended to synchronize more than the core cortical activity. Across the parameter search for both species, matrix-derived cortical activity appeared more diffuse than core activity, although this difference was far more pronounced in rodents. The cortex exhibited the highest synchrony compared to the TRN, IN (in primates), and TC relay neurons. TC relay neurons consistently demonstrated the synchrony across the thalamocortical loop.\nAcross simulations, thalamocortical dynamics showed configuration- and species-dependent differences in the temporal organization of activity bands. PCA-derived eigenvector angle and mean propagation time (MPT) revealed consistent patterns in the temporal structure of TC activity bands. Rodent network systematically produced activity bands with greater temporal dispersion, whereas primate networks generated more tight activity. These species differences were evident across open, closed, and hybrid loop configurations and were expressed similarly across core and matrix pathways.\nActivity band angles in rodents tended to deviate more from the vertical, indicating that rodent activity bands exhibited stronger temporal shift and a greater degree of sequential activation across the neuronal population. Correspondingly, rodent MPT values were consistently higher, reflecting a larger elapsed time per neuron along the activity band. Together, these metrics showed that rodent TC circuits tended to exhibit activity that travels gradually across neighboring neurons rather than occur simultaneously. Primate loop configurations showed the opposite pattern, with near vertical PCA orientations, indicating minimal temporal tilt and a high degree of activity concurrence within each band. Primate MPT values were accordingly small, indicating minimal temporal spread across neurons. These results may suggest that primate TC loops support more synchronized population events.\nLoop configurations further regulated these species-specific tendencies. Open and closed-core circuits amplified the differences, exhibiting the strongest propagation patterns in rodent and the most synchronous activity in primates. In contrast, hybrid configurations were highly synchronous in both species. In these hybrid loops, PCA angles were consistently near vertical and MPT values were also small, indicating that the mixed connectivity pattern stabilizes synchronized firing regardless of species. Across all analyses, PCA and MPT showed consistent patterns: rodents tend to exhibit more sequential firing, while primate loops have more synchronized activity.\nThe primate closed loop consistently displayed higher levels of synchrony, regardless of cortico-cortical or core and matrix thalamocortical connectivity changes, unlike the rodent closed loop (Figure 2A,C). While both species exhibited symmetrical activity bands in the closed architecture, rodent synchrony level was more sensitive to parameter variation: increases in core TC strength altered the spatiotemporal pattern of rodent cortical activity, whereas primate activity retained comparatively stable synchrony level. These differences were also reflected in the PCA and MPT analyses (Figure 2B,D).\nRodent PCA angles deviated more prominently from vertical, notably in the core condition with a 23.92° deviation from 90°, corresponding to an MPT of 9.59 ms/neuron, indicating strong temporal tilt and sequential propagation. In contrast, primate closed-core PCA deviations clustered near vertical (0.56°–6.59°) with smaller MPT values (1.38–3.98 ms/neuron), reflecting more synchronous activation. Similar patterns emerged in the matrix pathway: rodent deviations ranged 2.65°–6.22° (MPT: 0.45–4.54 ms/neuron), whereas primate deviations remained tighter (1.67°–3.13°) with lower MPTs (0.94–3.28 ms/neuron).\nAdditionally, we observed species-specific differences in how synchrony evolved across the activity bands over the time course of the simulation. In primates, core and matrix cortical bands began in a highly synchronous configuration and remained vertically aligned throughout the progression of the simulation, with PCA orientations remaining close to 90° and consistently minimal MPT values (Figure 2C,D). In contrast, rodents began in a less synchronized state, with tilted activity bands in the early stages of the simulation, which then became more vertically organized as the simulation progressed (Figure 2A,B). This gradual synchronization of rodent activity bands was reflected in PCA deviations that moved closer to 0° and in decreasing MPT values over the course of the simulation. Thus, while primate closed-loop synchrony was stable and appeared inherent, rodent synchrony likely had to develop over time.\nThe rodent open loop was dominated by traveling waves regardless of the cortico-cortical, core or matrix thalamocortical connectivity (Figure 3A). PCA captured this pattern of sequential propagation: rodent activity band orientations showed clear deviations from vertical (2.14°–11.30°) along with elevated MPT values (3.72–20.87 ms/neuron) (Figure 3B). The primate open loop also exhibited traveling-wave activity, but these waves were less pronounced than those observed in rodents (Figure 3C). Accordingly, primate activity band deviations remained small (0.87°–2.90°) and produced substantially lower MPT values (0.47–5.23 ms/neuron) than rodents, indicating higher synchrony. In the primate open loop, increased core or matrix TC strength reduced the prominence of traveling waves, resulting in a more synchronous activity pattern (Figure 3D). In contrast, in the rodent open loop, increases in matrix TC strength caused greater separation among traveling waves (Figure 3A). As such, PCA and MPT jointly indicated higher synchrony in the primate compared to the rodent model.\nHybrid-loop architecture produced the most synchronized patterns of activity bands for both species. Rodent hybrid activity was very sensitive to the parameter changes in connectivity, as increasing core TC strength or cortico-cortical mixing produced more vertically aligned activity bands (Figure 4A), reflecting a shift toward synchrony. This was supported by PCA deviations that approached zero 0.38°–1.87° in the core pathway; 0.77°–1.08° in the matrix pathway and MPT values were correspondingly small (Figure 4B), indicating reduced temporal dispersion across neurons. In contrast, increasing matrix TC strength had the opposite effect as activity bands became more asymmetric and more widely separated, producing traveling waves (Figure 4A). Primate hybrid loop remained more synchronous overall, even as core TC strength, matrix TC strength, and cortico-cortical mixing were varied (Figure 4C). Activity bands stayed nearly vertical, with PCA-derived eigenvector deviations consistently near zero (0.07°–0.60° in the core pathway; 0.00°–0.54° in the matrix pathway) and extremely small MPT values (0.02–0.90 ms/neuron) (Figure 4D), indicating near-synchronous population activation.\nTogether, the hybrid loop results reveal that rodent loops are capable of producing both synchronous and asynchronous activity, depending on whether core TC strength or cortico-cortical mixing dominates the circuit. By contrast, primate loops remain consistently synchronous.\nWe assessed sleep spindles across rodents and primates as a function of their reticulo-thalamic (closed, open or hybrid loop) connectivity. Figure 5A, B, and C, present examples of core and matrix sleep spindles generated by the three versions of the rodent and primate model. Across all three loop architectures, clear species differences were visible in the structure and consistency of spindle activity. In the rodent model, both core and matrix spindles appeared more spatiotemporally heterogeneous. The shaded activity bands varied noticeably in width and shape, and the number of neurons participating in each spindle shifted across events. In addition, the rodent model showed more pronounced traveling-wave structure and less uniform spacing of the activity bands from which spindle events were extracted.\nIn the primate model, core and matrix spindles appeared more consistent and temporally aligned. The spindles were more regular in shape and had clearer boundaries. Successive spindles had more regular duration and spacing, and the overall pattern of activity appeared more stable across loop types. Primate core and matrix circuits displayed this increased regularity relative to the rodent model. Altogether, the spindle patterns indicate greater spatiotemporal variability in the rodent model, while the primate model shows more coherent and consistently structured spindles across core and matrix of all three thalamocortical loop configurations.\nIn rodents, the open loop condition for both core and matrix circuits (Figure 6C–D) showed elevated power extending into the 13–15 Hz range, accompanied by low-amplitude oscillations and scattered peaks between 11 and 13 Hz. In the closed loop, the matrix configuration (Figure 6H) exhibited a pronounced peak centered around 10–12 Hz, while the core configuration (Figure 6G) showed a smaller peak in the same range with continued elevated power into the 13–15 Hz band. In the hybrid loop (Figure 6K–L), persistent elevated activity between 13 and 15 Hz was observed in both core and matrix circuits, along with multiple smaller peaks between 11 and 14 Hz. Across all conditions, elevated power within the 13–15 Hz range was consistently present, though the spectral shape around 13–14 Hz tended to be flatter and less sharply defined than peaks at lower spindle frequencies.\nIn primates, the open loop configuration for core and matrix circuits (Figure 6A–B) showed persistent power in the 13–14 Hz range, with more scattered activity extending to 11 Hz. In the hybrid loop (Figure 6I–J), we observed a distinct peak between 13 and 15 Hz, while lower frequencies were less prominent. In the closed loop, only the core pathway (Figure 6E) showed slight increases in power around 13–14 Hz, though overall power did not exceed that of the open loop. The closed matrix configuration (Figure 6F) displayed a more uniform and flatter distribution compared to the core. Notably, in hybrid loops, especially in the core pathway (Figure 6I), a sharper and more defined peak emerged between 13 and 14 Hz, more distinctly expressed than in rodents at similar frequencies. Matrix activity remained relatively flat in both species, but primates exhibited slightly greater spindle-band power in the matrix pathway.\nBoth primate and rodent hybrid core circuits (Figure 6I,K) exhibited spindle power, though it was more pronounced in primates. In both species, matrix spindle activity was lower (Figure 6J,L), yet primates still showed slightly greater spindle prominence in the matrix compared to rodents. Overall, the rodent spectra displayed more diffuse and less sharply defined spindle-band structure across loop configurations, whereas primate spectra were more defined and showed consistent peaks. This suggests that the rodent model exhibits more variable and less rhythmic spindle activity compared to the primate model.\n\n\n### Activity in Rodent and Primate TC Circuit Across the Parameter Search\nIn both species, the closed loop produced symmetrical, vertically aligned activity bands (Figure 2). In contrast, the open and, to a lesser extent, hybrid loops generated asymmetrical bands characteristic of traveling waves (Figures 3–4). Traveling waves were most prominent in the rodent model but were also observed under certain parameter settings in the primate model.\nIn both rodent and primate closed loops, the spread of cortical activity increased as a function of core and matrix thalamocortical strength. In the rodent model, increasing core thalamocortical strength altered the synchrony of cortical activity, producing more tilted activity bands and traveling-wave structure, whereas the primate model was largely unaffected. Additionally, increased cortico-cortical mixing amplified the spread of cortical activity in both rodent and primate closed loops (Figure 2A & 2C). Differences in the effect of core thalamocortical strength on synchrony led to drastically different control cases in the rodent and primate.\nThe rodent open loop generated traveling waves, regardless of the values of core TC strength, matrix TC strength, or cortico-cortical mixing. The primate open loop, while still capable of generating asymmetrical bands in some parameterizations, often produced more organized, less prominent traveling waves, partially resembling the closed loop geometry (Figure 3C •). Across the parameter search, neither model showed major changes in the spread of activity as a function of increased core or matrix thalamocortical strength. In the rodent open loop, increasing matrix thalamocortical strength caused separation in the traveling waves (Figure 3A). In the primate open loop, increased matrix, and to a lesser extent, core thalamocortical strength, reduced the prominence of traveling waves (Figure 3D).\nIn the rodent hybrid loop, increasing core TC strength resulted in more synchronized and cohesive activity bands (Figure 4A & 4C). In contrast, increasing matrix TC strength heightened traveling waves and separation. For the primate hybrid loop, increasing cortico-cortical strength caused an increase in the spread of cortical activity. However, even at the most extreme parameters, primate activity bands remained substantially more synchronous compared to rodents (Figure 4B & 4D).\nBefore going into the key findings from each loop configuration, we wanted to note general trends that were present in all three versions of the thalamocortical loop and in both species. Matrix cortical activity tended to synchronize more than the core cortical activity. Across the parameter search for both species, matrix-derived cortical activity appeared more diffuse than core activity, although this difference was far more pronounced in rodents. The cortex exhibited the highest synchrony compared to the TRN, IN (in primates), and TC relay neurons. TC relay neurons consistently demonstrated the synchrony across the thalamocortical loop.\n\n\n### Spatiotemporal Structure of Thalamocortical Activity Across Loop Configurations\nAcross simulations, thalamocortical dynamics showed configuration- and species-dependent differences in the temporal organization of activity bands. PCA-derived eigenvector angle and mean propagation time (MPT) revealed consistent patterns in the temporal structure of TC activity bands. Rodent network systematically produced activity bands with greater temporal dispersion, whereas primate networks generated more tight activity. These species differences were evident across open, closed, and hybrid loop configurations and were expressed similarly across core and matrix pathways.\n\n\n### PCA- and MPT-Based Activity Band Structure and Dimensionality\nActivity band angles in rodents tended to deviate more from the vertical, indicating that rodent activity bands exhibited stronger temporal shift and a greater degree of sequential activation across the neuronal population. Correspondingly, rodent MPT values were consistently higher, reflecting a larger elapsed time per neuron along the activity band. Together, these metrics showed that rodent TC circuits tended to exhibit activity that travels gradually across neighboring neurons rather than occur simultaneously. Primate loop configurations showed the opposite pattern, with near vertical PCA orientations, indicating minimal temporal tilt and a high degree of activity concurrence within each band. Primate MPT values were accordingly small, indicating minimal temporal spread across neurons. These results may suggest that primate TC loops support more synchronized population events.\nLoop configurations further regulated these species-specific tendencies. Open and closed-core circuits amplified the differences, exhibiting the strongest propagation patterns in rodent and the most synchronous activity in primates. In contrast, hybrid configurations were highly synchronous in both species. In these hybrid loops, PCA angles were consistently near vertical and MPT values were also small, indicating that the mixed connectivity pattern stabilizes synchronized firing regardless of species. Across all analyses, PCA and MPT showed consistent patterns: rodents tend to exhibit more sequential firing, while primate loops have more synchronized activity.\n\n\n### Activity Synchrony of the Closed TRN-TC Loop\nThe primate closed loop consistently displayed higher levels of synchrony, regardless of cortico-cortical or core and matrix thalamocortical connectivity changes, unlike the rodent closed loop (Figure 2A,C). While both species exhibited symmetrical activity bands in the closed architecture, rodent synchrony level was more sensitive to parameter variation: increases in core TC strength altered the spatiotemporal pattern of rodent cortical activity, whereas primate activity retained comparatively stable synchrony level. These differences were also reflected in the PCA and MPT analyses (Figure 2B,D).\nRodent PCA angles deviated more prominently from vertical, notably in the core condition with a 23.92° deviation from 90°, corresponding to an MPT of 9.59 ms/neuron, indicating strong temporal tilt and sequential propagation. In contrast, primate closed-core PCA deviations clustered near vertical (0.56°–6.59°) with smaller MPT values (1.38–3.98 ms/neuron), reflecting more synchronous activation. Similar patterns emerged in the matrix pathway: rodent deviations ranged 2.65°–6.22° (MPT: 0.45–4.54 ms/neuron), whereas primate deviations remained tighter (1.67°–3.13°) with lower MPTs (0.94–3.28 ms/neuron).\nAdditionally, we observed species-specific differences in how synchrony evolved across the activity bands over the time course of the simulation. In primates, core and matrix cortical bands began in a highly synchronous configuration and remained vertically aligned throughout the progression of the simulation, with PCA orientations remaining close to 90° and consistently minimal MPT values (Figure 2C,D). In contrast, rodents began in a less synchronized state, with tilted activity bands in the early stages of the simulation, which then became more vertically organized as the simulation progressed (Figure 2A,B). This gradual synchronization of rodent activity bands was reflected in PCA deviations that moved closer to 0° and in decreasing MPT values over the course of the simulation. Thus, while primate closed-loop synchrony was stable and appeared inherent, rodent synchrony likely had to develop over time.\n\n\n### Activity Synchrony of the Open TRN-TC Loop\nThe rodent open loop was dominated by traveling waves regardless of the cortico-cortical, core or matrix thalamocortical connectivity (Figure 3A). PCA captured this pattern of sequential propagation: rodent activity band orientations showed clear deviations from vertical (2.14°–11.30°) along with elevated MPT values (3.72–20.87 ms/neuron) (Figure 3B). The primate open loop also exhibited traveling-wave activity, but these waves were less pronounced than those observed in rodents (Figure 3C). Accordingly, primate activity band deviations remained small (0.87°–2.90°) and produced substantially lower MPT values (0.47–5.23 ms/neuron) than rodents, indicating higher synchrony. In the primate open loop, increased core or matrix TC strength reduced the prominence of traveling waves, resulting in a more synchronous activity pattern (Figure 3D). In contrast, in the rodent open loop, increases in matrix TC strength caused greater separation among traveling waves (Figure 3A). As such, PCA and MPT jointly indicated higher synchrony in the primate compared to the rodent model.\n\n\n### Synchrony Across Circuit Nodes in the Hybrid TRN-TC Loop\nHybrid-loop architecture produced the most synchronized patterns of activity bands for both species. Rodent hybrid activity was very sensitive to the parameter changes in connectivity, as increasing core TC strength or cortico-cortical mixing produced more vertically aligned activity bands (Figure 4A), reflecting a shift toward synchrony. This was supported by PCA deviations that approached zero 0.38°–1.87° in the core pathway; 0.77°–1.08° in the matrix pathway and MPT values were correspondingly small (Figure 4B), indicating reduced temporal dispersion across neurons. In contrast, increasing matrix TC strength had the opposite effect as activity bands became more asymmetric and more widely separated, producing traveling waves (Figure 4A). Primate hybrid loop remained more synchronous overall, even as core TC strength, matrix TC strength, and cortico-cortical mixing were varied (Figure 4C). Activity bands stayed nearly vertical, with PCA-derived eigenvector deviations consistently near zero (0.07°–0.60° in the core pathway; 0.00°–0.54° in the matrix pathway) and extremely small MPT values (0.02–0.90 ms/neuron) (Figure 4D), indicating near-synchronous population activation.\nTogether, the hybrid loop results reveal that rodent loops are capable of producing both synchronous and asynchronous activity, depending on whether core TC strength or cortico-cortical mixing dominates the circuit. By contrast, primate loops remain consistently synchronous.\n\n\n### Sleep Spindle Metrics\nWe assessed sleep spindles across rodents and primates as a function of their reticulo-thalamic (closed, open or hybrid loop) connectivity. Figure 5A, B, and C, present examples of core and matrix sleep spindles generated by the three versions of the rodent and primate model. Across all three loop architectures, clear species differences were visible in the structure and consistency of spindle activity. In the rodent model, both core and matrix spindles appeared more spatiotemporally heterogeneous. The shaded activity bands varied noticeably in width and shape, and the number of neurons participating in each spindle shifted across events. In addition, the rodent model showed more pronounced traveling-wave structure and less uniform spacing of the activity bands from which spindle events were extracted.\nIn the primate model, core and matrix spindles appeared more consistent and temporally aligned. The spindles were more regular in shape and had clearer boundaries. Successive spindles had more regular duration and spacing, and the overall pattern of activity appeared more stable across loop types. Primate core and matrix circuits displayed this increased regularity relative to the rodent model. Altogether, the spindle patterns indicate greater spatiotemporal variability in the rodent model, while the primate model shows more coherent and consistently structured spindles across core and matrix of all three thalamocortical loop configurations.\n\n\n### Power Spectral Density Analysis of TC Activity\nIn rodents, the open loop condition for both core and matrix circuits (Figure 6C–D) showed elevated power extending into the 13–15 Hz range, accompanied by low-amplitude oscillations and scattered peaks between 11 and 13 Hz. In the closed loop, the matrix configuration (Figure 6H) exhibited a pronounced peak centered around 10–12 Hz, while the core configuration (Figure 6G) showed a smaller peak in the same range with continued elevated power into the 13–15 Hz band. In the hybrid loop (Figure 6K–L), persistent elevated activity between 13 and 15 Hz was observed in both core and matrix circuits, along with multiple smaller peaks between 11 and 14 Hz. Across all conditions, elevated power within the 13–15 Hz range was consistently present, though the spectral shape around 13–14 Hz tended to be flatter and less sharply defined than peaks at lower spindle frequencies.\nIn primates, the open loop configuration for core and matrix circuits (Figure 6A–B) showed persistent power in the 13–14 Hz range, with more scattered activity extending to 11 Hz. In the hybrid loop (Figure 6I–J), we observed a distinct peak between 13 and 15 Hz, while lower frequencies were less prominent. In the closed loop, only the core pathway (Figure 6E) showed slight increases in power around 13–14 Hz, though overall power did not exceed that of the open loop. The closed matrix configuration (Figure 6F) displayed a more uniform and flatter distribution compared to the core. Notably, in hybrid loops, especially in the core pathway (Figure 6I), a sharper and more defined peak emerged between 13 and 14 Hz, more distinctly expressed than in rodents at similar frequencies. Matrix activity remained relatively flat in both species, but primates exhibited slightly greater spindle-band power in the matrix pathway.\nBoth primate and rodent hybrid core circuits (Figure 6I,K) exhibited spindle power, though it was more pronounced in primates. In both species, matrix spindle activity was lower (Figure 6J,L), yet primates still showed slightly greater spindle prominence in the matrix compared to rodents. Overall, the rodent spectra displayed more diffuse and less sharply defined spindle-band structure across loop configurations, whereas primate spectra were more defined and showed consistent peaks. This suggests that the rodent model exhibits more variable and less rhythmic spindle activity compared to the primate model.\n\n\n### Discussion\nThis study explored how several critical TC circuit organizational principles can affect thalamocortical network dynamics, in particular sleep spindle activity characteristics, with possible implications for future experimental work and computational modeling. Our findings revealed species-specific patterns of activity between distinct core and matrix thalamocortical circuits, each including three different thalamoreticular loop configurations (open, closed, hybrid).\nThe thalamocortical circuitry of primates and rodents showed key differences, particularly regarding the presence of interneurons. Differences in interneuron involvement across species contribute to variations in circuit stability and responsiveness (Povysheva et al., 2006). Primates exhibit a more differentiated core and matrix structure in thalamic projections, with prominent interneuron-mediated inhibition, enhancing feedback loops and regulating spiking dynamics (Arcelli et al., 1997; A. Destexhe et al., 1998; Ilinsky et al., 1985; Rubio-Garrido et al., 2009; Yazdanbakhsh et al., 2023). Rodent models, on the other hand, provide valuable insights into closed-loop configurations, where their circuitry demonstrates heightened sensitivity to changes in thalamocortical strength (Moreira et al., 2025). Lacking significant interneuron activity (except in the LGN and few other first-order nuclei), rodent circuits rely more on direct thalamocortical excitation and inhibition, making them more sensitive to changes in thalamocortical connectivity (Cruikshank et al., 2010; Evangelio et al., 2018; O’Reilly et al., 2021; Rubio-Garrido et al., 2009; Simko & Markram, 2021). This sensitivity makes rodents an excellent model organism for studying fundamental principles of circuit plasticity and parameter-driven variations in synchrony. Additionally, the lack of significant interneuronal activity in rodent circuits allows for a more targeted examination of core network dynamics. These differences highlight the need for computational models to incorporate the distinct roles of interneurons and their dynamics to accurately simulate primate neurophysiology.\nIn the closed-loop configurations, primate circuits consistently demonstrated higher synchrony, suggesting greater stability and resilience, possibly due to their more complex cortical mixing and connectivity patterns (Bhattacharya et al., 2021; Magrou et al., 2024). By contrast, the rodent closed loop exhibited reduced synchrony and greater sensitivity to changes in core thalamocortical strength. These findings emphasize the difference in roles between core and matrix projections in species with different cortical architectures.\nThe open loop highlighted significant differences in how rodent and primate thalamocortical circuits handle traveling waves. Rodent models exhibited persistent traveling waves across parameter variations, reflecting a fundamental instability in their loop configuration. Meanwhile, primate models demonstrated reduced traveling wave magnitude, reflecting more localized and efficient neural processing (Magrou et al., 2024).\nThe hybrid loop exhibited pronounced differences in synchrony dynamics. Rodents showed increased asymmetry and more pronounced traveling wave separations with increasing matrix strength and with greater recruitment of neurons. In contrast, primates demonstrated broader activity spread across cortical regions with increases in core, matrix, and cortico-cortical strength, without the pronounced asymmetry observed in rodents.\nThe spatiotemporal pattern of activity in the rodent model was more sensitive to changes in thalamocortical connectivity and exhibited greater variability across loop configurations compared to the primate model. This variability reflects the heightened sensitivity of rodent circuits to parameter changes, possibly due to their simpler loop architecture and fewer degrees of freedom compared to primates (Cruikshank et al., 2010; Laramée & Boire, 2015; O’Reilly et al., 2021). Parameter changes refer to adjustments in thalamocortical connectivity, including the strength of core and matrix projections and the degree of cortico-cortical mixing implemented in the model. While this sensitivity makes rodents an excellent model for studying fundamental mechanisms of network plasticity and parameter-driven dynamics, the richer thalamocortical loops observed in primates, with more degrees of freedom, provide greater stability and adaptability under varying conditions.\nThe PCA and MPT analyses add a mechanistic interpretation to the qualitative differences observed across loop configurations. In primates, activity band angles remained tightly clustered near vertical (90°) across closed, open, and hybrid architectures, and MPT values remained consistently low, demonstrating that primate thalamocortical activity bands exhibit highly synchronous neuronal recruitment. Primate synchrony remained stable even when direct TRN feedback was removed (open loop) and connectivity parameter variations were pushed toward extreme values, highlighting the stability of primate synchrony. Rodent circuits behaved fundamentally differently. In multiple configurations, especially the closed loop and the open loop configurations, activity band angles deviated strongly from vertical, with values as low as 66° or exceeding 100°, and elevated MPT values up to ~20 ms/neuron. These metrics reflect traveling-wave–like propagation and a substantial temporal spread across neurons, even when the corresponding primate condition remained synchronous. Only under specific connectivity parameter combinations, such as reduced core TC strength in the closed loop or increased core TC strength and higher cortico-cortical mixing in the hybrid loop, did rodent loop configurations approach the more synchronous patterns typically seen in primates. Even so, rodent synchrony remained less stable. Likewise, primate loops, while generally highly synchronous, displayed some desynchronization in cases where core TC strength or matrix TC strength was reduced within the closed and hybrid loops. Together, these results suggest that primate loops tend to remain synchronous across most configurations, while rodent loops showed a broader range of temporal patterns and reached synchrony only under specific connectivity conditions. In this context, the apparent stability of synchrony in primate circuits should not be interpreted as reduced circuit flexibility, but rather as preservation of synchronous population across a wide range of connectivity parameters. Importantly, synchrony represents only one dimension of network dynamics and does not fully capture functional flexibility. While rodent circuits exhibited flexibility through shifts between synchronous and traveling-wave dynamics, primates may preserve stable population synchrony while flexibly adjusting functional connectivity.\nThis divergence has important implications for interpreting species differences in spindle generation, sensory gating, and corticothalamic timing. Primate circuits may be tuned for more precise temporal coordination, while rodent circuits may be more prone to sequential or wave-like patterns that could be suited for different information processing.\nSleep spindles arise from dynamic thalamocortical interactions, with spindle variability reflecting distinct network states (Bazhenov et al., 2002). In our simulations, the raster of spindles and power spectra revealed clear species differences in how these network dynamics manifested (Figures 5 and 6). Across all loop configurations, the rodent spindle patterns appeared more irregular and heterogeneous across core and matrix than those in the primate model. In the raster plots, rodent spindles showed more variation in the shape and width, as well as greater inconsistency in how many neurons participated from spindle to spindle. In contrast, the primate simulations displayed spindles that were more uniform, with more consistent spindle shapes and clearer boundaries across core and matrix.\nIn terms of frequency, this same difference in regularity was reflected in the structure of the power spectra (Figure 6). Rodent simulations consistently showed flatter or broader frequency bands rather than sharply defined peaks, indicating more variable spindle frequencies. In contrast, the primate spectra tended to display clearer and more sharply defined power peaks, reflecting more uniform spindle frequencies, particularly in the hybrid core pathway, and showed less scattered power at neighboring frequencies. In rodents, multiple smaller peaks often appeared between 11 and 14 Hz, further suggesting a less uniform rhythmic organization of spindle activity.\nTaken together, observing both the raster plots and the power spectra indicate that rodent spindle activity is more variable and less consistent, whereas primate spindles are more coherent and rhythmically uniform.\nThe power spectrum of thalamocortical activity provided another source of insights regarding species-specific dynamics. “Fingerprint regions” in primates and rodents were revealed through analysis of average power versus frequency. For instance, primates exhibited characteristic shoulders in the spectrum, pointing to unique reliance on matrix-dominated pathways. Recent work identified statistically nonsignificant “frequency bumps” in rodents (Fernandez & Lüthi (2020). This variability underscores the need for further targeted analysis. Comparing primate and rodent models through individual power-frequency plots may provide greater clarity on these species-specific signatures.\nSpectral analysis of thalamocortical activity revealed distinct frequency signatures in rodents and primates. In primates, EEG “fingerprint” regions, which are specific frequency bands associated with functional cortical specialization, were observed. Rodents, however, exhibited a different pattern, characterized by low-frequency oscillatory “shoulders” in the local field potential (LFP), indicating different modes of thalamocortical synchrony regulation. Further research utilizing EEG/MEG metrics could help determine how these spectral differences relate to cognitive processing and disease states.\nOur results also revealed species-specific differences in thalamocortical spindle-band dynamics shaped by loop architecture. In open loop conditions, rodents and primates displayed similar general spectral power patterns; however, primates exhibited slightly more defined activity in the 13–14 Hz range, which was not seen in rodents (Figure 6A,D).\nIn closed loop conditions, rodents again exhibited activity in the 13–14 Hz range, but this power was diffuse and lacked a clear peak (Figure 6G–H). The most sharply defined spindle-band expression occurred in the lower-frequency range: the closed matrix configuration produced a narrow, high-amplitude peak at 11–12 Hz (Figure 6H), while the closed core loop showed a broader elevation spanning 10–12 Hz (Figure 6G). In contrast, primates showed only slight increases in power within the 13–14 Hz range and still lacked any distinct peaks in the 10–12 Hz band (Figure 6E–F). This absence of lower-frequency peaks was evident even in the closed matrix configuration, highlighting a divergence from the rodent profile.\nOverall, rodents showed defined peaks in the lower spindle range under closed loop conditions, particularly at 11–12 Hz in the matrix pathway, whereas primates displayed more diffuse spectral power with increases in the 13–14 Hz range.\nIn hybrid loop configurations, species differences were most pronounced. Rodents displayed moderate activity between 13 and 14 Hz, though this remained relatively flat (Figure 6K–L). Several smaller peaks appeared across 11–14 Hz, with persistent elevation extending into 16 Hz, but no sharply localized feature emerged. In primates, however, hybrid core circuits revealed a clearly defined peak centered between 13 and 14 Hz, more pronounced than in any rodent condition (Figure 6I). A smaller, less distinct rise near 11 Hz was also occasionally observed (Figure 6J), suggesting the presence of a weaker alpha-range component. Overall, hybrid loops revealed the most distinct species differences, with primates showing a sharp and localized peak at 13–14 Hz, especially in the core circuit, while rodents exhibited flatter, more irregular power distributions across the same range.\nTogether, these findings point to a fundamental species difference: rodents exhibited strong, sharply localized activity in the lower spindle/alpha range (10–12 Hz) in both core and matrix closed loops (Figure 6G–H), while primates exhibited sharper spindle-band peaks centered at 13–14 Hz, particularly in the hybrid core configuration (Figure 6I). This divergence underscores distinct thalamocortical architectures shaping oscillatory dynamics across species.\nBased on spectral data from rodent EEG recordings (Fernandez & Lüthi, 2020), sigma power tends to be low and lacks a distinct peak in the spindle frequency range. In contrast, our model’s pure rodent core loop configuration produced high-amplitude spindle activity (Figure 6G). This suggests that the rodent thalamocortical system may operate through a more integrated architecture, where core and matrix circuits blend and are not as segregated as they are in primates. This interpretation aligns with anatomical findings of mixed core and matrix TC connectivity in (Clascá et al., 2012; Rodriguez-Moreno et al., 2020; Rubio-Teves et al., 2024) and supports the need to incorporate matrix influence when modeling rodent thalamocortical dynamics. The rodent matrix loop in our model exhibited more diffuse spindle power, aligning with empirical observations of matrix-like or other blended circuit activity in rodents, which further highlights the importance of incorporating matrix-like circuit influence into rodent models of spindle dynamics. This pattern resembles, in part, the rodent power spectra reported in (Fernandez & Lüthi, 2020), which show less prominent spectral peaks (see their Figure 2). In contrast, simulations relying solely on a core-driven circuit tend to overestimate spindle power relative to in vivo recordings. These results suggest rodent thalamocortical circuits may need to be modeled as a functional hybrid, rather than as compartmentalized core and matrix subsystems.\nIn contrast, the primate thalamocortical loop demonstrates clearer structural and functional specialization between core and matrix circuits (Zikopoulos & Barbas, 2007b). In our model, the primate core loop produced two sharp peaks in the 13–15 Hz fast spindle range, particularly in the closed loop (Figure 2B), similar to the spectral patterns reported in Figure 2 of Fernandez & Lüthi (2020) which reported double peaks in somatosensory and auditory cortices and therefore are core-dominated. Our findings suggest that a substantial portion of closed-loop circuitry is present in these cortices, which are sensory, given that in our model the closed core configuration generated the two peaks. Matrix pathways, by comparison, yielded flatter, more spatially diffuse power profiles (Figure 6F,J), however, we observed a double-peak structure in hybrid matrix (Figure 6J) too, which carries the influence of core. Together, these may correspond to fast and slow spindle activity observed in EEG recordings, with our model suggesting that the EEG signal may be dominated by a combination of closed-core and hybrid-matrix activity.\nIn hybrid loop configurations, primate circuits displayed more structured spindle activity than rodents, with the hybrid matrix condition (Figure 6J) showing a distinct double-peak structure that may correspond to fast and slow spindle components. By contrast rodent hybrids exhibited flatter power profiles, particularly in both core and matrix hybrid configuration (Figure 6K–L), suggesting less distinct fast and slow spindle separation in rodents. This contrast further emphasizes how structural distinctions between species shape spindle expression across loop configurations.\nThese observations align with prior studies showing that human EEG typically displays dominant fast spindles, while rodent recordings, particularly from LFP of primary sensory areas (e.g., auditory or somatosensory cortex), often reflect lower-frequency components. The apparent flattening of the rodent spectra may be due to spatial convergence of core and matrix thalamocortical inputs across adjacent cortical layers (Clascá et al., 2012; Rodriguez-Moreno et al., 2020; Rubio-Teves et al., 2024). Although core and matrix neurons typically target distinct cortical layers (L4 and L1–3a, respectively), their projections in rodents often converge across adjacent laminae, resulting in spatial blending at the population level (Clascá et al., 2012; Rodriguez-Moreno et al., 2020; Rubio-Teves et al., 2024). When such input is averaged in silico, this convergence can reduce the sharpness of observed spectral peaks.\nAlthough we compare our in-silico findings to previous empirical studies, it is important to note that the data sources differ in recording techniques. Prior work has primarily relied on EEG and local field potential (LFP) recordings, which capture activity at different spatial and temporal scales. Our model uses a basic averaging proxy across neuronal populations to approximate either LFP or EEG signals. This constitutes a gap between our model and the biological signals taken from EEG and LFP, as reported in Fernandez & Lüthi (2020), and our comparisons should be interpreted with that limitation in mind.\nBeyond the interneurons and core-matrix dynamics, species differences in cortical expansion and laminar organization play a crucial role in shaping thalamocortical interactions. Primate cortices exhibit greater differentiation in cytoarchitecture which facilitates more complex cortico-cortical and cortico-thalamic feedback loops (Barbas & Zikopoulos, 2025; García-Cabezas et al., 2022b; Sherman & Guillery, 2002; Zikopoulos & Barbas, 2007b). This expanded cortical hierarchy allows for more refined top-down regulation of thalamic activity, influencing synchrony and oscillation dynamics. Rodent cortices, on the other hand, have more compact and less stratified laminar structure, leading to differences in thalamocortical connectivity patterns. The relatively simpler cortical organization in rodents likely results in more direct thalamic projections with less cortical feedback (Cappe et al., 2009; Ishizu et al., 2021), making these circuits more sensitive to parameter-driven fluctuations in spindles and synchrony. Additionally, the limited presence of a well-developed granular level (L4) in certain cortical levels in rodents may affect thalamic transmission, especially in sensory processing (Harris & Shepherd, 2015).\nBased on our findings, in silico models of the thalamocortical loop should incorporate interneurons and gradient-based associative structures to more accurately reflect species-specific dynamics. Interneuronal activity, which is prominent in primates but significantly lower in rodent thalamus, plays a crucial role in shaping spiking activity and network dynamics. These distinctions must be integrated into computational models to ensure realistic simulations of thalamocortical function. Furthermore, rodent models may exhibit a stronger influence of matrix-dominated pathways, potentially impacting thalamocortical circuit stability and power-frequency relationships.\nAdditionally, observed differences in thalamocortical synchrony and spindle dynamics between rodents and primates provide a valuable framework for understanding the role of thalamocortical dysfunction in neurodevelopmental and neuropsychiatric disorders, such as autism spectrum disorder (ASD) and schizophrenia (SCZ) (Fernandez & Lüthi, 2020; Ferrarelli et al., 2010). Differences in core-matrix dynamics and synchrony suggest that computational models must integrate mechanisms that account for gradual, spatially structured changes in connectivity and synaptic strength to capture these pathophysiological features. Future studies could utilize EEG or MEG metrics to validate these findings and refine disorder-specific models.\n\n\n### Activity in Rodent vs Primate Thalamocortical Model Circuits\nThis study explored how several critical TC circuit organizational principles can affect thalamocortical network dynamics, in particular sleep spindle activity characteristics, with possible implications for future experimental work and computational modeling. Our findings revealed species-specific patterns of activity between distinct core and matrix thalamocortical circuits, each including three different thalamoreticular loop configurations (open, closed, hybrid).\nThe thalamocortical circuitry of primates and rodents showed key differences, particularly regarding the presence of interneurons. Differences in interneuron involvement across species contribute to variations in circuit stability and responsiveness (Povysheva et al., 2006). Primates exhibit a more differentiated core and matrix structure in thalamic projections, with prominent interneuron-mediated inhibition, enhancing feedback loops and regulating spiking dynamics (Arcelli et al., 1997; A. Destexhe et al., 1998; Ilinsky et al., 1985; Rubio-Garrido et al., 2009; Yazdanbakhsh et al., 2023). Rodent models, on the other hand, provide valuable insights into closed-loop configurations, where their circuitry demonstrates heightened sensitivity to changes in thalamocortical strength (Moreira et al., 2025). Lacking significant interneuron activity (except in the LGN and few other first-order nuclei), rodent circuits rely more on direct thalamocortical excitation and inhibition, making them more sensitive to changes in thalamocortical connectivity (Cruikshank et al., 2010; Evangelio et al., 2018; O’Reilly et al., 2021; Rubio-Garrido et al., 2009; Simko & Markram, 2021). This sensitivity makes rodents an excellent model organism for studying fundamental principles of circuit plasticity and parameter-driven variations in synchrony. Additionally, the lack of significant interneuronal activity in rodent circuits allows for a more targeted examination of core network dynamics. These differences highlight the need for computational models to incorporate the distinct roles of interneurons and their dynamics to accurately simulate primate neurophysiology.\n\n\n### Synchrony and Loop Configurations\nIn the closed-loop configurations, primate circuits consistently demonstrated higher synchrony, suggesting greater stability and resilience, possibly due to their more complex cortical mixing and connectivity patterns (Bhattacharya et al., 2021; Magrou et al., 2024). By contrast, the rodent closed loop exhibited reduced synchrony and greater sensitivity to changes in core thalamocortical strength. These findings emphasize the difference in roles between core and matrix projections in species with different cortical architectures.\nThe open loop highlighted significant differences in how rodent and primate thalamocortical circuits handle traveling waves. Rodent models exhibited persistent traveling waves across parameter variations, reflecting a fundamental instability in their loop configuration. Meanwhile, primate models demonstrated reduced traveling wave magnitude, reflecting more localized and efficient neural processing (Magrou et al., 2024).\nThe hybrid loop exhibited pronounced differences in synchrony dynamics. Rodents showed increased asymmetry and more pronounced traveling wave separations with increasing matrix strength and with greater recruitment of neurons. In contrast, primates demonstrated broader activity spread across cortical regions with increases in core, matrix, and cortico-cortical strength, without the pronounced asymmetry observed in rodents.\nThe spatiotemporal pattern of activity in the rodent model was more sensitive to changes in thalamocortical connectivity and exhibited greater variability across loop configurations compared to the primate model. This variability reflects the heightened sensitivity of rodent circuits to parameter changes, possibly due to their simpler loop architecture and fewer degrees of freedom compared to primates (Cruikshank et al., 2010; Laramée & Boire, 2015; O’Reilly et al., 2021). Parameter changes refer to adjustments in thalamocortical connectivity, including the strength of core and matrix projections and the degree of cortico-cortical mixing implemented in the model. While this sensitivity makes rodents an excellent model for studying fundamental mechanisms of network plasticity and parameter-driven dynamics, the richer thalamocortical loops observed in primates, with more degrees of freedom, provide greater stability and adaptability under varying conditions.\n\n\n### Synchrony and Propagation Signatures Reveal Divergent TC Dynamics Across Species\nThe PCA and MPT analyses add a mechanistic interpretation to the qualitative differences observed across loop configurations. In primates, activity band angles remained tightly clustered near vertical (90°) across closed, open, and hybrid architectures, and MPT values remained consistently low, demonstrating that primate thalamocortical activity bands exhibit highly synchronous neuronal recruitment. Primate synchrony remained stable even when direct TRN feedback was removed (open loop) and connectivity parameter variations were pushed toward extreme values, highlighting the stability of primate synchrony. Rodent circuits behaved fundamentally differently. In multiple configurations, especially the closed loop and the open loop configurations, activity band angles deviated strongly from vertical, with values as low as 66° or exceeding 100°, and elevated MPT values up to ~20 ms/neuron. These metrics reflect traveling-wave–like propagation and a substantial temporal spread across neurons, even when the corresponding primate condition remained synchronous. Only under specific connectivity parameter combinations, such as reduced core TC strength in the closed loop or increased core TC strength and higher cortico-cortical mixing in the hybrid loop, did rodent loop configurations approach the more synchronous patterns typically seen in primates. Even so, rodent synchrony remained less stable. Likewise, primate loops, while generally highly synchronous, displayed some desynchronization in cases where core TC strength or matrix TC strength was reduced within the closed and hybrid loops. Together, these results suggest that primate loops tend to remain synchronous across most configurations, while rodent loops showed a broader range of temporal patterns and reached synchrony only under specific connectivity conditions. In this context, the apparent stability of synchrony in primate circuits should not be interpreted as reduced circuit flexibility, but rather as preservation of synchronous population across a wide range of connectivity parameters. Importantly, synchrony represents only one dimension of network dynamics and does not fully capture functional flexibility. While rodent circuits exhibited flexibility through shifts between synchronous and traveling-wave dynamics, primates may preserve stable population synchrony while flexibly adjusting functional connectivity.\nThis divergence has important implications for interpreting species differences in spindle generation, sensory gating, and corticothalamic timing. Primate circuits may be tuned for more precise temporal coordination, while rodent circuits may be more prone to sequential or wave-like patterns that could be suited for different information processing.\n\n\n### Common and Divergent Sleep Spindle Metrics in Rodents and Primates\nSleep spindles arise from dynamic thalamocortical interactions, with spindle variability reflecting distinct network states (Bazhenov et al., 2002). In our simulations, the raster of spindles and power spectra revealed clear species differences in how these network dynamics manifested (Figures 5 and 6). Across all loop configurations, the rodent spindle patterns appeared more irregular and heterogeneous across core and matrix than those in the primate model. In the raster plots, rodent spindles showed more variation in the shape and width, as well as greater inconsistency in how many neurons participated from spindle to spindle. In contrast, the primate simulations displayed spindles that were more uniform, with more consistent spindle shapes and clearer boundaries across core and matrix.\nIn terms of frequency, this same difference in regularity was reflected in the structure of the power spectra (Figure 6). Rodent simulations consistently showed flatter or broader frequency bands rather than sharply defined peaks, indicating more variable spindle frequencies. In contrast, the primate spectra tended to display clearer and more sharply defined power peaks, reflecting more uniform spindle frequencies, particularly in the hybrid core pathway, and showed less scattered power at neighboring frequencies. In rodents, multiple smaller peaks often appeared between 11 and 14 Hz, further suggesting a less uniform rhythmic organization of spindle activity.\nTaken together, observing both the raster plots and the power spectra indicate that rodent spindle activity is more variable and less consistent, whereas primate spindles are more coherent and rhythmically uniform.\n\n\n### Divergent Spindle-Band Signatures Across Rodents and Primates\nThe power spectrum of thalamocortical activity provided another source of insights regarding species-specific dynamics. “Fingerprint regions” in primates and rodents were revealed through analysis of average power versus frequency. For instance, primates exhibited characteristic shoulders in the spectrum, pointing to unique reliance on matrix-dominated pathways. Recent work identified statistically nonsignificant “frequency bumps” in rodents (Fernandez & Lüthi (2020). This variability underscores the need for further targeted analysis. Comparing primate and rodent models through individual power-frequency plots may provide greater clarity on these species-specific signatures.\nSpectral analysis of thalamocortical activity revealed distinct frequency signatures in rodents and primates. In primates, EEG “fingerprint” regions, which are specific frequency bands associated with functional cortical specialization, were observed. Rodents, however, exhibited a different pattern, characterized by low-frequency oscillatory “shoulders” in the local field potential (LFP), indicating different modes of thalamocortical synchrony regulation. Further research utilizing EEG/MEG metrics could help determine how these spectral differences relate to cognitive processing and disease states.\nOur results also revealed species-specific differences in thalamocortical spindle-band dynamics shaped by loop architecture. In open loop conditions, rodents and primates displayed similar general spectral power patterns; however, primates exhibited slightly more defined activity in the 13–14 Hz range, which was not seen in rodents (Figure 6A,D).\nIn closed loop conditions, rodents again exhibited activity in the 13–14 Hz range, but this power was diffuse and lacked a clear peak (Figure 6G–H). The most sharply defined spindle-band expression occurred in the lower-frequency range: the closed matrix configuration produced a narrow, high-amplitude peak at 11–12 Hz (Figure 6H), while the closed core loop showed a broader elevation spanning 10–12 Hz (Figure 6G). In contrast, primates showed only slight increases in power within the 13–14 Hz range and still lacked any distinct peaks in the 10–12 Hz band (Figure 6E–F). This absence of lower-frequency peaks was evident even in the closed matrix configuration, highlighting a divergence from the rodent profile.\nOverall, rodents showed defined peaks in the lower spindle range under closed loop conditions, particularly at 11–12 Hz in the matrix pathway, whereas primates displayed more diffuse spectral power with increases in the 13–14 Hz range.\nIn hybrid loop configurations, species differences were most pronounced. Rodents displayed moderate activity between 13 and 14 Hz, though this remained relatively flat (Figure 6K–L). Several smaller peaks appeared across 11–14 Hz, with persistent elevation extending into 16 Hz, but no sharply localized feature emerged. In primates, however, hybrid core circuits revealed a clearly defined peak centered between 13 and 14 Hz, more pronounced than in any rodent condition (Figure 6I). A smaller, less distinct rise near 11 Hz was also occasionally observed (Figure 6J), suggesting the presence of a weaker alpha-range component. Overall, hybrid loops revealed the most distinct species differences, with primates showing a sharp and localized peak at 13–14 Hz, especially in the core circuit, while rodents exhibited flatter, more irregular power distributions across the same range.\nTogether, these findings point to a fundamental species difference: rodents exhibited strong, sharply localized activity in the lower spindle/alpha range (10–12 Hz) in both core and matrix closed loops (Figure 6G–H), while primates exhibited sharper spindle-band peaks centered at 13–14 Hz, particularly in the hybrid core configuration (Figure 6I). This divergence underscores distinct thalamocortical architectures shaping oscillatory dynamics across species.\nBased on spectral data from rodent EEG recordings (Fernandez & Lüthi, 2020), sigma power tends to be low and lacks a distinct peak in the spindle frequency range. In contrast, our model’s pure rodent core loop configuration produced high-amplitude spindle activity (Figure 6G). This suggests that the rodent thalamocortical system may operate through a more integrated architecture, where core and matrix circuits blend and are not as segregated as they are in primates. This interpretation aligns with anatomical findings of mixed core and matrix TC connectivity in (Clascá et al., 2012; Rodriguez-Moreno et al., 2020; Rubio-Teves et al., 2024) and supports the need to incorporate matrix influence when modeling rodent thalamocortical dynamics. The rodent matrix loop in our model exhibited more diffuse spindle power, aligning with empirical observations of matrix-like or other blended circuit activity in rodents, which further highlights the importance of incorporating matrix-like circuit influence into rodent models of spindle dynamics. This pattern resembles, in part, the rodent power spectra reported in (Fernandez & Lüthi, 2020), which show less prominent spectral peaks (see their Figure 2). In contrast, simulations relying solely on a core-driven circuit tend to overestimate spindle power relative to in vivo recordings. These results suggest rodent thalamocortical circuits may need to be modeled as a functional hybrid, rather than as compartmentalized core and matrix subsystems.\nIn contrast, the primate thalamocortical loop demonstrates clearer structural and functional specialization between core and matrix circuits (Zikopoulos & Barbas, 2007b). In our model, the primate core loop produced two sharp peaks in the 13–15 Hz fast spindle range, particularly in the closed loop (Figure 2B), similar to the spectral patterns reported in Figure 2 of Fernandez & Lüthi (2020) which reported double peaks in somatosensory and auditory cortices and therefore are core-dominated. Our findings suggest that a substantial portion of closed-loop circuitry is present in these cortices, which are sensory, given that in our model the closed core configuration generated the two peaks. Matrix pathways, by comparison, yielded flatter, more spatially diffuse power profiles (Figure 6F,J), however, we observed a double-peak structure in hybrid matrix (Figure 6J) too, which carries the influence of core. Together, these may correspond to fast and slow spindle activity observed in EEG recordings, with our model suggesting that the EEG signal may be dominated by a combination of closed-core and hybrid-matrix activity.\nIn hybrid loop configurations, primate circuits displayed more structured spindle activity than rodents, with the hybrid matrix condition (Figure 6J) showing a distinct double-peak structure that may correspond to fast and slow spindle components. By contrast rodent hybrids exhibited flatter power profiles, particularly in both core and matrix hybrid configuration (Figure 6K–L), suggesting less distinct fast and slow spindle separation in rodents. This contrast further emphasizes how structural distinctions between species shape spindle expression across loop configurations.\nThese observations align with prior studies showing that human EEG typically displays dominant fast spindles, while rodent recordings, particularly from LFP of primary sensory areas (e.g., auditory or somatosensory cortex), often reflect lower-frequency components. The apparent flattening of the rodent spectra may be due to spatial convergence of core and matrix thalamocortical inputs across adjacent cortical layers (Clascá et al., 2012; Rodriguez-Moreno et al., 2020; Rubio-Teves et al., 2024). Although core and matrix neurons typically target distinct cortical layers (L4 and L1–3a, respectively), their projections in rodents often converge across adjacent laminae, resulting in spatial blending at the population level (Clascá et al., 2012; Rodriguez-Moreno et al., 2020; Rubio-Teves et al., 2024). When such input is averaged in silico, this convergence can reduce the sharpness of observed spectral peaks.\nAlthough we compare our in-silico findings to previous empirical studies, it is important to note that the data sources differ in recording techniques. Prior work has primarily relied on EEG and local field potential (LFP) recordings, which capture activity at different spatial and temporal scales. Our model uses a basic averaging proxy across neuronal populations to approximate either LFP or EEG signals. This constitutes a gap between our model and the biological signals taken from EEG and LFP, as reported in Fernandez & Lüthi (2020), and our comparisons should be interpreted with that limitation in mind.\n\n\n### Expanding the Role of the Cortex and Cortical Lamination in Thalamocortical Models\nBeyond the interneurons and core-matrix dynamics, species differences in cortical expansion and laminar organization play a crucial role in shaping thalamocortical interactions. Primate cortices exhibit greater differentiation in cytoarchitecture which facilitates more complex cortico-cortical and cortico-thalamic feedback loops (Barbas & Zikopoulos, 2025; García-Cabezas et al., 2022b; Sherman & Guillery, 2002; Zikopoulos & Barbas, 2007b). This expanded cortical hierarchy allows for more refined top-down regulation of thalamic activity, influencing synchrony and oscillation dynamics. Rodent cortices, on the other hand, have more compact and less stratified laminar structure, leading to differences in thalamocortical connectivity patterns. The relatively simpler cortical organization in rodents likely results in more direct thalamic projections with less cortical feedback (Cappe et al., 2009; Ishizu et al., 2021), making these circuits more sensitive to parameter-driven fluctuations in spindles and synchrony. Additionally, the limited presence of a well-developed granular level (L4) in certain cortical levels in rodents may affect thalamic transmission, especially in sensory processing (Harris & Shepherd, 2015).\n\n\n### Implications for Modeling of Neurodevelopmental Disorders\nBased on our findings, in silico models of the thalamocortical loop should incorporate interneurons and gradient-based associative structures to more accurately reflect species-specific dynamics. Interneuronal activity, which is prominent in primates but significantly lower in rodent thalamus, plays a crucial role in shaping spiking activity and network dynamics. These distinctions must be integrated into computational models to ensure realistic simulations of thalamocortical function. Furthermore, rodent models may exhibit a stronger influence of matrix-dominated pathways, potentially impacting thalamocortical circuit stability and power-frequency relationships.\nAdditionally, observed differences in thalamocortical synchrony and spindle dynamics between rodents and primates provide a valuable framework for understanding the role of thalamocortical dysfunction in neurodevelopmental and neuropsychiatric disorders, such as autism spectrum disorder (ASD) and schizophrenia (SCZ) (Fernandez & Lüthi, 2020; Ferrarelli et al., 2010). Differences in core-matrix dynamics and synchrony suggest that computational models must integrate mechanisms that account for gradual, spatially structured changes in connectivity and synaptic strength to capture these pathophysiological features. Future studies could utilize EEG or MEG metrics to validate these findings and refine disorder-specific models.", "domain": "affective_neuroscience"}
{"source": "PMC12886374", "title": "Consensus Paper: Models of Cerebellar Functions", "text": "# Consensus Paper: Models of Cerebellar Functions\n\n## Abstract\nFor a long time, from the nineteenth century to most of the twentieth century, the cerebellum was thought to be an organ that regulates movement. Towards the end of the twentieth century, the brain functions associated with the cerebellum began to extend beyond motor control. Now, there is a consensus that the cerebellum is involved not only in motor functions but also in the most basic autonomic functions and the most complex cognitive and emotional functions, with a focus on predictions and internal models. A new functional model of the cerebellum is needed to explain all layers of brain functions by extending predictive computations in the cerebellum. On the other hand, the cerebellum and the basal ganglia were believed to be independent and complementary motor centers that lacked direct neural connections. For example, in neurophysiology classes in the 1980s, the characteristics of cerebellar ataxia were summarized as hyperkinetic and hypotonia, while the characteristics of Parkinson's disease (traditionally classified as “basal ganglia disorder”) were summarized as hypokinetic and hypertonia, and therefore their functions were assumed at opposite poles, without interactions between the two main subcortical systems. The cerebellum and the basal ganglia were also assigned contrasting models regarding their learning mechanisms. Namely, the cerebellum was assumed to employ supervised learning with error signals, while the basal ganglia were assumed to employ reinforcement learning with reward prediction errors. However, recent neuroanatomical studies have demonstrated a number of novel connections between them, questioning their independence. Moreover, recent single-neuron recording and inactivation studies provided evidence that the cerebellum may also be involved in reinforcement learning. The cerebellum is neither independent of the basal ganglia nor exclusively specialized for supervised learning. We now need a new, general model to explain the contradiction between the known uniformity of the cerebellar cortex's structure and the newly added diversity of brain functions to which the cerebellum contributes. This consensus paper summarizes many of the seeds of such a new theory. The panel of experts (1) highlights the importance of the anatomical connectivity between cerebellar circuitry and basal ganglia, (2) points out that the anatomy of the cerebellum is unique and allows predictive computations in motor and extra-motor domains such as cognition, affect, social interactions and reward processes, (3) underlines the need to further elucidate the nature of interactions between cerebellar cortex and cerebellar nuclei to better understand cerebellar and psychiatric disorders and (4) suggests that common operations may underlie the motor and non-motor functions of the cerebellar circuitry. Cerebellar models remain a major topic of research to improve our understanding of the numerous cerebellar activities and to better understand the complexity of cerebellar disorders.\n\n## Full Text\n\n\n### Introduction (Shinji Kakei)\nThe history of cerebellar research has been characterized by several milestones. In the early twentieth century, cerebellar functions were hypothesized as lost functions of patients with cerebellar ataxia (CA)[1, 2]. The most recognized deficits included deteriorated rhythmicity of alternate movements (adiadochokinesis), lack of coordination in reaching movements leading to overshoot/undershoot (dysmetria), and rhythmic involuntary movements (tremors). There was a consensus that the cerebellum is critical in coordinating movement by organizing the timing of muscle activities. This interpretation was unsatisfactory because it did not include a cerebellar mechanism for coordination.\nWe had to wait for the seminal monograph by Eccles, Ito, and Szentágothai [3] before outlining the dynamics of the cerebellar machinery. They transformed our understanding of the cerebellum by visualizing the information flow in the cerebellar circuitry. Nevertheless, there remained a gap between the cerebellar circuit dynamics and the behavioral phenotypes of CA. Therefore, they disclosed their findings and invited new interpretations.\nTheir efforts were rewarded soon. The earliest theories were the learning theories of Purkinje cells (PCs) by Marr (1969)[4] and Albus (1971)[5]. They noted the unique arrangement of the climbing fiber (CF) and parallel fiber (PF) inputs to a PC. They proposed learning models of a single PC in which the sole CF input provides a learning signal to modulate synaptic efficacy for PF inputs to the PC. Their theories raised two critical questions: 1) the mechanism to select or unselect a specific PF synapse for a gain change; 2) what is encoded in the CF activities. Their cerebellar models were mostly confined to the cerebellar cortex and almost excluded the deep cerebellar nuclei (DCN), the major output of cerebellar circuitry, and the extra-cerebellar targets.\nMasao Ito, one of the authors of the monograph, developed models that integrated the cerebellar cortex, the DCN, and the extra-cerebellar targets (1970)[6]. He modeled different cerebellar regions by introducing distinct schemes of control engineering. First, he modeled the vestibulo-ocular reflex (VOR) by the Flocculus as a feedforward control system (Fig. 6C in [6]). The VOR stabilizes retinal images by rotating the eyes in the opposite direction of the head motion. Note that the direction, amplitude, and gain of the reflex are prepared predictively in the flocculus, depending on the head's motion. Next, he modeled the newer part of the cerebellum, the cerebrocerebellum (neocerebellum), to explain the control of voluntary movement. He proposed that the cerebrocerebellar loop is modeled as a model reference adaptive control system (Fig. 7B in [6]). In modern terms, this model is identical to the internal forward model, which predicts future states.\nSince then, we have seen a massive expansion of the cerebellar functional domains. Leiner and colleagues (1986)[7] raised a question about the long-standing belief that the cerebellum was an organ for motor coordination. They suggested cerebellar contribution to cognitive or verbal functions [7, 8]. Schmahmann reviewed historical evidence pointing to cerebellar roles beyond motor control and introduced the dysmetria of thought theory [9], and together with Deepak Pandya described feed forward projections from cerebral association and paralimbic cortices to the pons in monkey [10–15] which were complemented by the evidence of feedback projections from cerebellar outputs to the prefrontal cortex by Strick and colleagues [16, 17]. Cerebellar researchers were initially skeptical about the new idea because at that time evaluation of non-motor functions relied on the manipulation of devices, Ito was among the earliest advocates of the cerebellar contribution to higher brain functions [18], adapting his internal forward model [6] designed for motor control to the control of mental (verbal or nonverbal) and autonomic functions. Eventually, the two issues were resolved [16, 19–24], and the cerebellar contribution to higher brain functions was confirmed, as exemplified by the description of “the cerebellar cognitive, affective syndrome” [24].\nThe expansion of the cerebellar territories is continuing. For instance, the cerebellum and the basal ganglia were thought to form separate loops with the cerebral cortex: the cerebro-cerebellar loop and the cerebro-basal ganglia loop [25]. The reason for this belief was that the projections from the cerebellum and the basal ganglia have little overlap in the thalamus [25]. In this view, the cerebral cortex was pivotal in integrating inputs from the cerebellum and the basal ganglia. However, transneuronal tracing studies by Strick and his group [26, 27] revealed more direct connections between the cerebellum and the basal ganglia. Indeed, recent physiologic studies revealed the reward-expecting activities in granule cells (GCs)[28, 29], which was a hallmark of the nigral dopaminergic neurons.\nIn summary, the cerebellum may also engage in reinforcement learning with reward signals, in addition to supervised learning with error signals [30]. Finally, we now know that the cerebellum is connected to the limbic system and the autonomic nervous system [31–33]. These findings indicate a need for a major update of cerebellar models proposed for motor control (see also a review by D’Angelo and Casali [34] on this issue).\nThe current Consensus Paper gathers an international panel of experts working on models of cerebellar functions from the physiological, morphological, theoretical, and clinical points of view. This article contains, in addition to the Introduction and Discussion, fifteen sections that deal with the expansion of the cerebellar influence in the brain, updates on the Marr-Albus-Ito model, updates on the cerebellar learning, updates on the cerebellar internal models, and more. The panel of experts proposes seeds for novel models of cerebellar function on the basis of advances of the last decades.\n\n\n### Connections between the Cerebellum and the Basal Ganglia (Andreea C. Bostan and Peter L. Strick)\nThe organization of cerebellar connections with the cerebral cortex provides an anatomical framework that has closely shaped conceptual models of cerebellar function. The cerebellum receives inputs from broad areas of the cerebral cortex via the pontine nuclei (PN)[35]. Traditionally, the cerebellum was believed to integrate signals from the cerebral cortex and influence only a single cerebral cortical area – the primary motor cortex (M1) – through projections to the ventrolateral (VL) thalamus [36]. Within this traditional framework, the cerebellum was thought to play an exclusive role in motor function.\nMore recent findings have revealed a more complex perspective on cerebellar functions. The cerebellum projects not only to the VL thalamus, but to multiple other thalamic nuclei [37]. These broader projections enable the cerebellum to communicate with many of the cerebral cortical areas that provide it with inputs, thereby influencing a variety of motor and non-motor functions [38, 39]. Further, studies using trans-synaptic tracers in non-human primates (NHPs) have demonstrated that cerebellar connections with the cerebral cortex are topographically organized in the form of close-loop circuits: cerebellar regions that receive inputs from specific cortical area also send outputs back to the same cortical regions [20]. These findings helped define separate motor and non-motor domains within the DCN [40] and the cerebellar cortex [20]. The non-motor domains are extensive, suggesting that a significant portion of the cerebellum is dedicated to functions beyond motor control [38, 39, 41–43]. Cerebellar contributions to non-motor functions are further discussed in Chapters 2 and 13.\nLike the cerebellum, basal ganglia connections with the cerebral cortex are topographically organized into parallel closed-loop circuits supporting motor and non-motor functions [44]. Although both subcortical structures influence many of the same cerebral cortical areas, they do so through distinct thalamic nuclei [37, 45], with minimal direct overlap [46]. This anatomical separation at the level of the thalamus has supported the view that the cerebellum and the basal ganglia have largely independent functions, with any meaningful interactions occurring at the level of the cerebral cortex [47].\nMore recent results from neuroanatomical tracing studies in NHPs have identified pathways that allow for more direct communication between the cerebellum and the basal ganglia, challenging the notion of their functional independence [26, 48]. These findings have contributed to a growing perspective that the cerebellum, basal ganglia, and cerebral cortex form an integrated network [27]. Here, we provide a brief overview of these findings (Fig. 1) and highlight areas where further investigations are needed.Fig. 1Schematic diagram of the circuits that link 1) the cerebellum (CB) with the cerebral cortex (purple arrows) and 2) the basal ganglia (BG) with the cerebral cortex (orange arrows). Cerebellar and basal ganglia outputs to the cerebral cortex are mediated through distinct regions of the thalamus (THAL). Cerebellar outputs to the basal ganglia (dark purple arrows) are mediated through the intralaminar nuclei (IL) of the thalamus. Basal ganglia outputs to the cerebellum originate from the subthalamic nucleus (STN) and are likely mediated by the pontine nuclei (dark orange arrows). BG, basal ganglia; CB, cerebellum; D1 and D2, medium spiny neurons expressing dopamine receptors 1 and 2; DCN, deep cerebellar nuclei; GPe and GPi, external and internal segments of the globus pallidus; IL, intralaminar thalamic nuclei; SNc and SNr, pars compacta and pars reticulata of the substantia nigra; VTA, ventral tegmental area\nSchematic diagram of the circuits that link 1) the cerebellum (CB) with the cerebral cortex (purple arrows) and 2) the basal ganglia (BG) with the cerebral cortex (orange arrows). Cerebellar and basal ganglia outputs to the cerebral cortex are mediated through distinct regions of the thalamus (THAL). Cerebellar outputs to the basal ganglia (dark purple arrows) are mediated through the intralaminar nuclei (IL) of the thalamus. Basal ganglia outputs to the cerebellum originate from the subthalamic nucleus (STN) and are likely mediated by the pontine nuclei (dark orange arrows). BG, basal ganglia; CB, cerebellum; D1 and D2, medium spiny neurons expressing dopamine receptors 1 and 2; DCN, deep cerebellar nuclei; GPe and GPi, external and internal segments of the globus pallidus; IL, intralaminar thalamic nuclei; SNc and SNr, pars compacta and pars reticulata of the substantia nigra; VTA, ventral tegmental area\nStudies in NHPs have used the retrograde transneuronal transport of rabies virus to reveal pathways linking the cerebellum and basal ganglia. Rabies virus is transported across synapses exclusively in the retrograde direction in a time-dependent manner, allowing for the tracing of multi-synaptic circuits [49]. Rabies virus injections into the striatum revealed di-synaptic projections from the DCN, particularly the dentate nucleus (DN) [26]. This pathway is mediated through the intralaminar thalamic nuclei [26, 50]. Studies in rodents indicate that through this pathway, the cerebellum can drive activity of striatal neurons and change aspects of cortico-striatal plasticity [51].\nWith longer survival times allowing for transport across three synapses, injections of rabies virus into the external segment of the globus pallidus (GPe) also resulted in rabies-virus neurons labeled in the dentate, while injections into the internal segment of the globus pallidus (GPi) did not [26]. These results suggest that cerebellar output may preferentially influence basal ganglia pathways through the GPe, a key relay in the “indirect pathway,” as opposed to the “direct pathway” through the GPi. Although functional studies of the pathway from the cerebellum to the basal ganglia in rodents [51] can also be interpreted to suggest a bias towards the indirect pathway [27], further studies are needed to examine the extent and degree of specificity in cerebellar projections to the basal ganglia. Notably, cerebellar projections to the GPe appear to be topographically organized, with distinct GPe regions receiving inputs from different areas of the dentate [26]. Further, both motor and non-motor regions of the dentate send projections to the GPe [26], indicating that cerebellar outputs are likely to contribute to both motor and non-motor functions of the basal ganglia.\nRelatively few studies have examined reciprocal pathways through which the basal ganglia may modulate cerebellar function. Early electrophysiological studies in cats [52–55] suggested the existence of such pathways, but a specific anatomical connection was revealed only recently. A rabies virus tracing study in NHPs revealed a substantial di-synaptic pathway from the subthalamic nucleus (STN) to the posterior lateral cerebellar cortex [48]. In this study, injections into a motor region of cerebellar cortex (lobule HVIIB) labeled neurons in motor portions of the STN, while injections into a non-motor region (Crus II) labeled neurons in associative regions of STN, indicating a topographically organized connection. Notably, no evidence was found for di-synaptic input to the lateral cerebellar cortex from the main output nuclei of the basal ganglia, the GPi and SNpr.\nA study using the rabies virus tracing in rats confirmed the presence of a similar pathway in rodents [56]. However, unlike in primates where the STN projects to the lateral cerebellum, the rodent STN primarily targets the cerebellar vermis and lacks apparent topographic organization. Despite consistent physiological evidence supporting the relevance of this pathway in rodents [57–59], its prominence and function may differ from primates. More recently, alternative pathways through the pedunculopontine tegmental nucleus [60], the zona incerta [61], or the inferior olive (IO) [62] have been proposed as potential routes for basal ganglia influence of the cerebellum in rodents. These pathways remain to be functionally characterized in rodents and validated in primates.\nSeveral interesting lines of research point to additional interactions between the cerebellum and the basal ganglia that are mediated through the dopaminergic midbrain. Early anatomical and electrophysiological studies in cats [52, 63], along with modern viral-genetic circuit tracing and optogenetic approaches in mice [64–66], suggest that the cerebellum can modulate basal ganglia activity via the dopaminergic midbrain. Cerebellar projections appear to target both dopaminergic and non-dopaminergic neurons in the ventral tegmental area (VTA) and the substantia nigra pars compacta (SNpc), allowing the cerebellum to influence dopamine levels in the basal ganglia during movement and reward processing [67]. Tractography studies in humans further support the presence of cerebellar projections to the dopaminergic midbrain [68, 69]. In turn, dopaminergic and non-dopaminergic neurons in the rat VTA send projections to both the cerebellar cortex (primarily the hemisphere) and the deep cerebellar nuclei (primarily the lateral nucleus) [70, 71]. Recently, studies in the mouse have begun exploring functional roles of dopaminergic receptors in the cerebellar cortex [72] and the deep cerebellar nuclei [73, 74]. However, it is worth nothing that although catecholaminergic and dopaminergic innervation has been described in primates [75], the distribution of catecholaminergic afferents in the cerebellum is variable across species, indicating that there may be species differences in the functional role of dopaminergic influence over the cerebellum [76]. Overall, pathways linking the cerebellum with the dopaminergic midbrain remain to be characterized in primates, through anatomical and functional studies.\nWhile further investigation of the individual pathways is needed, the discovery of anatomical connections between the cerebellum and the basal ganglia reinforces the idea that these structures form a densely interconnected network, both with each other and with the cerebral cortex [27]. Importantly, these findings are reshaping traditional concepts of cerebellar function by prompting new questions about its role in processes that have been historically attributed to the basal ganglia. This expanding line of research highlights the cerebellum’s involvement in reward and emotional processing [77–80] (see also Chapter 8) and underscores its clinical relevance to a broad spectrum of neurological and psychiatric conditions (see also Chapter 14), including Parkinson’s disease [81, 82], dystonia [83, 84], Tourette syndrome [85–87] and addiction [88].\n\n\n### Cerebellar Contributions to Cognitive Functions (Xavier Guell and Jeremy D Schmahmann)\nDysmetria of Thought (DoT) [9, 89, 90] is an overarching conceptual model of the cerebellar contribution to cognition, emotion, and motor control. The model holds that the cerebellum regulates the speed, capacity, consistency, and appropriateness of mental or cognitive processes in the same way that it regulates the rate, force, rhythm, and accuracy of movements (see also Introduction).\nHow is this possible, and what underlying mechanism explains such a model? DoT is predicated on the theory of a Universal Cerebellar Transform (UCT) [91], which arises from the complimentary features of essentially homogenous intrinsic cerebellar cortical architecture and repeating corticonuclear microcomplexes (see also Chapters 10 and 15), set against heterogenous cerebellar connections with extra-cerebellar structures (see also Chapter 15).\nCytoarchitectonic variations, Brodmann areas that define cerebral cortex, are absent in the cerebellar cortex, which instead is arranged in a highly regular, paracrystalline manner [92]. Minor variations exist, as in zebrin bands with different physiological parameters [93] but the near uniformity of cerebellar cortical architecture is a defining feature of nervous system organization [94].\nIn contrast, functional heterogeneity in the cerebellum is evident in task-based and resting state connectivity functional MRI (magnetic resonance imaging), and connectional heterogeneity is documented in anatomical tract tracing studies (see also Chapter 15). Spinal cord, primary motor cortex and motor thalamus are linked with cerebellar cortical lobules I-VI and VIII [20] which activate in human functional MRI motor tasks [95, 96]. The two motor representations (lobules I-VI and lobule VIII) are followed by a motor-fugal gradient from lobules I-VI towards Crus I (first non-motor representation), from lobule VIII towards VIIB and Crus II (second non-motor representation), and from lobule VIII towards IX and X (third non-motor representation) [97, 98] (Fig. 2A). The motor-fugal gradient of cerebellar cortical organization echoes that of the cerebral cortex [99], progressing from primary motor processing towards unimodal association functions, followed by multimodal association functions [97]. Similar functional heterogeneity and gradient ordering is observed in the cerebellar DN, as shown in monkey tract tracing investigations [17] and gradient-based functional imaging studies in humans [100] (Fig. 2B, C). The anatomical relationship of primary processing to unimodal and multimodal association processing is fundamentally different in cerebral cortex compared to cerebellum. In cerebral cortex, association fibers support propagation, synthesis, and abstraction of information – from primary motor activation, to motor planning, to abstract planning – as activity from one area influences the next. In cerebellar cortex and nuclei, there is an identical ordering of functions, but unlike cerebral cortex, the cerebellum has no association fibers linking one region of cortex with another. In cerebellar cortex and nuclei, therefore, it is not association fibers, but ordered connections to cerebral cortex via relays in thalamus [101] and ordered connections from cerebral cortex via relays in PN [10, 14, 89, 102] that dictate the position of and relationship between functional domains.Fig. 2Imaging analyses of the human cerebellar system. (A) Cerebellum gradients (from [97]) and relationship with discrete task activity maps (from 96]) and resting-state maps (from [95]). Gradient 1 extended from default mode network to motor regions. Gradient 2 isolated working memory/frontoparietal network areas. In the scatterplots, each dot corresponds to a cerebellar voxel, position of each dot along x and y axis corresponds to position along Gradient 1 and Gradient 2 for that cerebellar voxel, and color of the dot corresponds to task activity (top) or resting-state network (bottom) associated with that particular voxel. Note that the language task subtracts a “story listening” condition minus a “doing math” condition, isolating language but also subtracting task-focused processing, therefore resulting in a map similar to the default-mode network. (B) Spatial location of functional territories in human DN. Territories in red mapped to default-mode network areas of the cerebral cortex. Territories in blue mapped to motor and salience network areas. Territories in green mapped to visual processing areas, including visual association processing areas. Adapted from [100]. (C) The second functional gradient of human DN, when projected to the cerebral cortex, replicates the principal gradient of cerebral cortical organization that progresses from primary processing to default-mode network areas. Adapted from [100]. (D) Using T1w/T2w MRI signal as a proxy for cerebral cortical and cerebellar cortical microstructural organization, and functional gradients as a proxy for functional specialization, preliminary evidence shows that functional specialization is independent of microstructural variation in cerebellum (right column, note lack of correlation between the two axes) but not in cerebral cortex (left column). Studies with higher MRI resolution will be needed to confirm this observation. Adapted from [107]\nImaging analyses of the human cerebellar system. (A) Cerebellum gradients (from [97]) and relationship with discrete task activity maps (from 96]) and resting-state maps (from [95]). Gradient 1 extended from default mode network to motor regions. Gradient 2 isolated working memory/frontoparietal network areas. In the scatterplots, each dot corresponds to a cerebellar voxel, position of each dot along x and y axis corresponds to position along Gradient 1 and Gradient 2 for that cerebellar voxel, and color of the dot corresponds to task activity (top) or resting-state network (bottom) associated with that particular voxel. Note that the language task subtracts a “story listening” condition minus a “doing math” condition, isolating language but also subtracting task-focused processing, therefore resulting in a map similar to the default-mode network. (B) Spatial location of functional territories in human DN. Territories in red mapped to default-mode network areas of the cerebral cortex. Territories in blue mapped to motor and salience network areas. Territories in green mapped to visual processing areas, including visual association processing areas. Adapted from [100]. (C) The second functional gradient of human DN, when projected to the cerebral cortex, replicates the principal gradient of cerebral cortical organization that progresses from primary processing to default-mode network areas. Adapted from [100]. (D) Using T1w/T2w MRI signal as a proxy for cerebral cortical and cerebellar cortical microstructural organization, and functional gradients as a proxy for functional specialization, preliminary evidence shows that functional specialization is independent of microstructural variation in cerebellum (right column, note lack of correlation between the two axes) but not in cerebral cortex (left column). Studies with higher MRI resolution will be needed to confirm this observation. Adapted from [107]\nThe DoT model is informed by these anatomical realities. In line with the Schmahmann and Pandya principles of cerebral cortical organization [103], the UCT theory holds that the unique architecture of the cerebellum determines a matching unique information transform. The behavioral outcome of this transform is that cerebellum modulates, rather than generates behavior. It maintains function around a homeostatic baseline, automatically and without conscious awareness, serving as an oscillation dampener to optimize performance according to context, facilitating actions harmonious with goals, and judged accurately and reliably according to strategies mapped prior to and during behavior. The cerebellum detects, prevents, and corrects mismatches between intended outcome and perceived outcome of the organism’s interaction with the environment [9, 91, 94].\nThrough the heterogeneity of cerebellar connections with extra-cerebellar structures, the UCT is applied to diverse streams of information processing across multiple domains of sensorimotor, vestibular, autonomic, limbic, and cognitive behaviors (see also Chapter 15).\nThe corollary is that the cerebellum works the same way across domains in health, and breaks the same way across domains in disease. Anterior lobe lesions damaging the cerebellar motor representation produce dysmetria of movement, with ataxia, dysmetria, and dysarthria; cerebellar vestibular lesions produce the vestibular syndrome; and posterior lobe lesions of the cognitive-limbic cerebellum produce disorders of intellect and emotion, the cerebellar cognitive affective/Schmahmann syndrome, the third cornerstone of clinical ataxiology. [104, 105]. The behavioral analogy is that just as disrupted cerebellar motor behavior does not lack power but fails in precision and coordination, cerebellar cognitive manifestations do not include amnestic dementia, but disrupt mental control and context-appropriate interaction. Mental processes are imperfectly conceived, erratically monitored, and poorly performed. There is an unpredictability to social and societal interaction, a mismatch between reality and perceived reality, and erratic attempts to correct the errors of thought or behavior. In language, for example, isolated cerebellar injury does not usually result in aphasia, but rather, language production may be impaired and lack context-appropriateness, and comprehension may fail to adjust to figurative or ambiguous linguistic elements [106].\nThe DoT model provides testable hypotheses. It predicts that topographic distribution of functional domains in cerebellar cortex is determined by anatomical connectivity to extracerebellar nodes, not by variations in cerebellar cortical microstructure. We tested this using T1w/T2w MRI intensity as a proxy measure of microstructure, and functional gradients derived from resting-state connectivity as a proxy measure of functional specialization. As predicted by the model we showed a correlation between the two in the cerebral cortex, but not in the cerebellar cortex [107] (Fig. 2D).\nDoT does not contradict other models of cerebellar function described in this article, but it is unique in its use of phenomenological resemblance as a tool for neurological analysis. The DoT model stems from the clinical observation that patients with cerebellar injury demonstrate abnormalities in thought and emotion that resemble their abnormal motor behavior. This use of phenomenological resemblance, applied to patients with cerebellar injury, forms the basis of DoT. The same use of phenomenological resemblance, applied across all areas of neurology, is the basis of the newly proposed concept of Phenoconsonance. Phenoconsonance is inspired by DoT, provides broad clinical and anatomical context for the ideas discussed in this section, and proposes new routes for research in clinical-anatomical relations (see also [108]).\nOther recent developments in this area include lesion-behavioral data in rhesus monkeys in which bilateral lesions of ventral sectors of the dentate nuclei impair tasks of working memory (Delayed Recognition Span Task [109]) and executive function (Conceptual Set Shifting Task [110]) but spare tasks of manual dexterity (Kuypers’ Task [111]) and recognition memory (Delayed Non-Matching to Sample task [112, 113]). This study provided the first empirical support for anatomical and functional MRI evidence of a motor-cognitive dichotomy in the cerebellar dentate nucleus. It also identified a within-cognition dichotomy in which cerebellum modulates dorsal stream cognitive functions (spatial awareness; dynamic actions of where and how) characterized by executive functions including working memory, but is not engaged in ventral stream cognitive processes (static actions of object identification) exemplified by recognition memory [113]. This is in line with anatomical data showing that the pontine relations of the two visual streams are different [12]. Whereas the dorsal stream connections are prominent, the ventral stream has few or no pontine connections, a finding that led to the prediction that within the visual realm, the corticopontocerebellar system is more concerned with visual spatial related functions and parameters of visual motion than with functions related to visual object identification or discrimination [12]. These anatomical and lesion-deficit behavioral studies confirm and extend our interpretation of the Dysmetria of Thought theory that the nature of cerebellar contribution to behavior (how the cerebellum modulates information) influences the functional domains that the cerebellum is most relevant in (what information the cerebellum modulates). The theoretical complexities of the distinction between how function is modulated, and what function is modulated, are further expanded in [108].\n\n\n### The Relationship between the Marr-Albus and the Ito Models (Hirokazu Tanaka)\nThe Marr-Albus-Ito (MAI) model, proposed in the late 1960 s and early 1970 s, remains the most influential computational account of cerebellar functions [114, 115]. Importantly, the MAI framework is not a single unified model but rather the conjunction of two conceptually distinct complementary approaches: The Marr-Albus perceptron model [4, 5] and the Ito internal model [6]. We argue that the perceptron model of the cerebellar cortex proposed by Marr and Albus and the internal model of the cerebellum proposed by Ito are best understood in the light of computational levels. In theoretical neuroscience, computational models are classified asinterpretive, descriptive, or mechanical [116]. First, an interpretive model formulates the goal of neural computation (what objective the brain must solve for) and explains behavioral and neurophysiological findings by optimizing specific objective functions. This class of models corresponds to Marr's level of computational theory and includes the information-maximization model of sensory processing [117, 118] and the optimal feedback model for motor control [119]. Second, a descriptive model characterizes a concise statistical relationship between neural activities and individual behaviors, revealing what behaviors the neural activities represent. This class of models discusses the brain's representations for neural computation, thereby matching with Marr's level of representations and algorithms. Examples of descriptive models include the receptive-field model of the primary visual cortex [120] and the population-vector decoding algorithm of upper-limb movements [121]. Finally, a mechanical model posits how a biological mechanism implements specific neural information processing, comparable to Marr's level of physical implementations. Mechanical models include the Hodgkin-Huxley model of generating action potentials in a single neuron [122] and the dopamine-neuron implementation of temporal-difference (TD) errors in reinforcement learning [123].\nThe Marr-Albus perceptron model of the cerebellum describes how a single PC performs pattern classification and learns from experiences, thereby falling into the mechanistic model class [4, 5]. Inspired by the uniform anatomical structure in the cerebellar cortex, Marr and Albus independently proposed the perceptron learning model of PCs; a PC performs pattern classification of input from the PF pathway and modifies the PF synapses when the CF pathway conveys a supervising signal (see also Chapter 5). The GCs expand the input patterns from the MFs, simplifying the classification problem of PCs. The perceptron model has been instrumental in both experimental and neurophysiological studies. The key prediction of the perceptron model was the synaptic plasticity of PF synapses following a CF input. Experimentally stimulating the CF of a PC induced long-term depression (LTD) of PF synapses in the same neuron, confirming the model's prediction [124]. Theoretically, the original perceptron model computes the pattern classification of static patterns and is extended to handle dynamic patterns, such as the adaptive filter model [125] and the liquid-state-machine model [126]. In summary, the Marr-Albus perceptron model and its extensions describe how the cerebellum learns static and dynamic patterns from supervising signals conveyed from the CF. However, the Marr-Albus perceptron model did not clarify what the cerebellum learns.\nThe Ito internal model specifies what the cerebellum computes in motor control and cognitive processing, therefore classified as an interpretative model [6]. At the same time as Marr-Albus' perceptron model, Ito postulated an internal model of the cerebellum, stating that \"the large loop through the external world may be effectively replaced by an internal one through the cerebellum which would serve as a model of the combination of the spinal motor system, the external world and the sensory pathways.\" Therefore, the internal model defines the goal of cerebellar computation as learning the dynamics of the body, the peripheral nervous system, and the external world. There are two types of internal models: (i) a forward model, which predicts future state from a current estimate and an efference copy (see also Chapters 7,9,11, and 15), and an inverse model, which computes control signals to achieve a desired state (see also Chapter 12). In modern terminology, the internal model Ito proposed is best regarded as an internal forward model. There is accumulating evidence that the cerebellum functions as an internal forward model in behavioral, neuroimaging, and neurophysiological studies [127]. Our computational analyses suggest that PCs in the cerebellar cortex perform predictive computation of motor consequences and that cerebellar nucleus cells integrate these PC predictions with sensory feedback in an optimal way (see also Chapter 10). The same cerebellar circuit computation is also supported in a recent review (see Fig. 2b in [128]). Initially, the internal model was applied mainly to motor control and motor learning, but recently, it has been extended to cognitive and affective information processing. Therefore, the cerebellum predicts the consequences of motor, cognitive, and social actions [129]. We conclude that the Marr-Albus and the Ito models are complementary; the cerebellum predicts and learns the dynamics of our body, external world, and other minds (the Ito internal model), and the PCs subserve the predictive computation by modifying the strength of PF synapses according to the supervising signals from CFs (the Marr-Albus perceptron model).\n\n\n### To Time or to Tame, is that still a Question? (Tadashi Yamazaki)\nA theory is a way of thinking about what a given system is and how it behaves. A good theory has four important properties: (1) it is grounded in available experimental data, (2) it provides experimentally testable predictions, (3) it is consistent with data obtained in the future, and (4) it encourages the emergence of more advanced theories.\nAround the mid-1960s, following the discovery of CF activation of PCs [130, 131], questions were raised regarding the functional significance of this powerful synaptic input. In the next few years, two theories were proposed following the discovery. Rodolfo Llinás proposed that the CF plays a role in rapid (phasic) motor timing [132, 133], whereas Masao Ito stated that the CF provides instruction signals for motor learning [6, 134, 135]. Since then, timing vs learning became a long-lasting issue regarding the role of CF in the cerebellar research. However, in 1960-70 s, any synaptic plasticity that could underline motor learning was not known on cerebellar PC dendrites.\nIn 1982, Ito and his colleagues discovered that conjunctive MF/PF and CF activation induces LTD at PF-PC synapses [136, 137]. Soon, Ito summarized the potential reasons why many earlier attempts to discover LTD were unsuccessful [138]. Moreover, in the same book, Ito addressed eight potential functional roles of CF besides the motor-learning mechanism, and argued that motor learning remained the most promising.\nMeanwhile, the last review paper on the timing theory is written by the originator himself [139]. In that paper, two papers that seemed inconsistent with the learning theory were cited [140, 141], where intraperitoneal administration of T-588, a pharmacological inhibitor of LTD in vitro, did not impair motor learning in rats [140] and mice [141]. Schonewille et al. (2011)[141] also developed genetically engineered mice that lacked LTD induction, yet motor learning —assessed by VOR adaptation and delay eyeblink conditioning — was intact.\nThen, once again, Ito summarized the potential reasons why those studies were inconsistent with the learning theory [142]. Following the Ito’s summary, Anzai and Nagao (2014)[143] demonstrated that intraperitoneal T-588 application impaired motor learning tested by VOR adaptation in marmosets. Thus, compensatory mechanisms could modify synaptic plasticity in the remaining circuits for rodents in Welsh et al. (2005)[140] and Schonewille et al. (2011)[141]. A small note on Welsh et al. (2005)[140] is that the eyeblink conditioning paradigm that those authors used in the paper is categorized to trace but not delay eyeblink conditioning (0-trace conditioning), which is intact in LTD-deficient mice [144]. Finally, Yamaguchi et al. (2016)[145] confirmed normal LTD induction in the same genetically engineered mice [141] under certain experimental conditions. These findings strongly support the learning theory.\nFurthermore, recent studies on information representation by CF inputs reveal non-motor aspects of CSs. In particular, CSs carry information on rewards and/or reward predictions [e.g., 28,146,147,148]. These findings fit well with the learning theory, whereas timing theory cannot account for them, because the timing theory is applicable to only motor functions.\nThese experimental findings stimulate theorists to advance the learning theory. While the original learning theory adopts supervised learning scheme (see also Chapters 5 and 7), recent theoretical studies propose reinforcement learning as the learning principle in the cerebellum [115, 149, 150] (see also Chapters 6 and 8).\nIn summary, the learning theory satisfies all the four properties described above. Ito’s theory will live forever to open new eras in the cerebellar research.\nAs a final note, in Chapter 15 of Eccles, Ito, Szentágothai (1967)[3], there are two sentences that foresee the synaptic plasticity on PC dendrites based on the conjunctive activation of mossy and climbing fibers: “… it is important to examine the spatial and temporal relationships of actions produced by mossy and climbing fiber inputs that stem from some sensory input that is sharply localized in space and time” (p308), and “… that usage gives growth of the spines and particularly the formation of the secondary spines that Hamori and Szentágothai (1964)[151] described on Purkinje dendrites” (p314). This is remarkable, because this prediction was made 15 years before the discovery of LTD, and even a few years before the publication of Marr (1969)[4].\n\n\n### Rubral and Cerebral Origins of CF Error Signals in Reaching Adaptation (Shigeru Kitazawa and Masato Inoue)\nReaching, a fundamental voluntary movement, is adjusted to minimize end-point error, which becomes apparent when the visual field is displaced by wedge prisms. When a prism is introduced, the movement initially deviates in the direction of displacement, but this error decreases exponentially with each trial. Upon removal of the prism, reaching error in the opposite direction (after-effect), which again subsides exponentially (prism adaptation) [152]. Notably, this adaptation transfers minimally to the other arm when speeded reaching is required in both humans [153] and monkeys [154, 155], indicating that adaptation occurs in an arm-specific motor domain. Cerebellar deficits in humans, such as spinocerebellar ataxia (SCA) [156], infarcts in the distribution of the posterior inferior cerebellar artery [157], or cerebellar lesions in macaque monkeys [154], impair prism adaptation, highlighting the importance of the cerebellum in minimizing end-point error in reaching.\nAs predicted by Masao Ito’s theory of motor learning [6, 158], the end-point error in reaching is represented by CF signals in the hemisphere of lobule V, the classical anterior lobe arm area of the monkey cerebellum [159]. In this study, liquid crystal shutters eliminated visual feedback during a rapid reaching movement, and two components of CF error signals were identified: a predictive component during the movement, and another originating from visual feedback given at the conclusion of the movement. Notably, CFs form another peak of information regarding the target position after the presentation of the target. In summary, CFs encoded three peaks of information: target position (Peak 1), error in prediction (Peak 2), and end-point error given by vision (Peak 3). These three signals form a temporally ordered cascade: the first conveys goal information suitable for online control, while the latter two provide error information appropriate for driving trial-by-trial adaptation in error-based learning.\nWhere does the CF information come from? Since the lateral part of the cerebellar hemisphere receives CF input from the primary olive (PO) and the PO receives its major input from the parvocellular part of the red nucleus (RNp), it is most probable that the CF information originates in the RNp (Fig. 3A). This was confirmed: RNp neurons exhibited three peaks of information similar to CF signals [160] (Fig. 3B). To test the causal link between the error signal and the adjustment of error in reaching, electrical microstimulation was delivered to the RNp just after the end of the reaching movement. Post-movement stimulation induced trial-by-trial increases in error in the direction opposite to the preferred direction of predictive error (Peak 2) and visual error (Peak 3). These findings strongly suggest that CF error signals originating from RNp contribute to minimizing errors in ecological conditions.Fig. 3Sources and temporal organization of climbing-fiber signals in reaching adaptation. (A) The critical pathway conveying visually detected end-point error to the CF is highlighted in red. Note that Area 5, but not Area 7, is involved. (B) Summary of three peaks of information represented in key regions. The numbers of plus signs (+) indicate the approximate amount of information. The critical pathway conveying visually detected end-point error (peak 3) to the CF is highlighted in red. Reference numbers are provided in square brackets. Abbreviations: M1, primary motor cortex; PC, Purkinje cell; PO, primary olive; PN, pontine nucleus; RNp, parvocellular part of the red nucleus\nSources and temporal organization of climbing-fiber signals in reaching adaptation. (A) The critical pathway conveying visually detected end-point error to the CF is highlighted in red. Note that Area 5, but not Area 7, is involved. (B) Summary of three peaks of information represented in key regions. The numbers of plus signs (+) indicate the approximate amount of information. The critical pathway conveying visually detected end-point error (peak 3) to the CF is highlighted in red. Reference numbers are provided in square brackets. Abbreviations: M1, primary motor cortex; PC, Purkinje cell; PO, primary olive; PN, pontine nucleus; RNp, parvocellular part of the red nucleus\nWe further traced the source of information back to the cerebral cortex, examining M1, the premotor cortex (PM), and Brodmann Area 5, whose stimulation evokes CF responses in the lateral hemisphere of the lobule V [161], as well as Area 7, which does not project to the RNp [162, 163]. We found that information regarding visual feedback-error (Peak 3) was encoded by neurons in all these areas [164, 165]. However, post-movement microstimulation induced increases in error when stimulation was delivered to M1, PM, and Area 5, but not when delivered to Area 7 [164, 165].\nWe also tested whether Areas 5 and 7 discriminate between errors induced by prism displacement and those induced by a target jump during the movement period [165]. Although the size of visual error — the discrepancy between the hand and the target — was identical in both conditions, Area 5 did not encode the error when it was induced by the target jump. Area 7 alone encoded errors induced by the target jump, demonstrating that the cerebral cortex resolves an error assignment problem: whether the apparent error was due to erroneous motor control (self) or unexpected movement of the target (others). Microstimulation of Area 7 induced gradual adaptation of reaching toward the preferred direction of target jump. This adaptation does not involve the RNp, PO, and the lateral hemisphere of the cerebellum.\nTaken together, these results suggest the following likely scenario focused on the Peak 3 visual feedback-error (Fig. 3A): 1) The cause of the visually detected error is assigned to the self (Area 5) or the target (Area 7). 2) The self-assigned visual error in Area 5 is shared with M1 and PM through rich connections between these areas [166]. 3) The error information is relayed to the RNp, PO, and finally to the lateral hemisphere around lobule V, where plastic changes such as LTD between PFs and PCs achieve adjustments that reduce the error in subsequent reaching movements. The transmission of Peak 3 error signals through M1 is consistent with the feedback-error learning framework, which proposes that feedback-error signals represented in M1 are conveyed via climbing fibers to the cerebellum, where they are used to refine the internal model [167] (see also Chapter 12).\nThe scenario outlined here generally aligns with Ito’s theory of motor learning but leaves several questions unanswered. First, the exact site of adaptation remains unclear: multiple lobules, beyond lobule V, could be involved. This is due to the fact that individual CFs bifurcate into several branches, synapsing with PCs across multiple lobules [168]. Electrical coupling between IO neurons further amplifies the synchronous effect of CFs along a sagittal strip over many lobules [169–171]. In a lesion study on monkeys [154], prism adaptation was abolished only when lesions encompassed not just lobule V, but also Crus I and II, the paramedian lobule and the dorsal paraflocculus of the cerebellar hemispheres and lobule IX. By contrast, partial lesions confined to lobule V and the paramedian lobule did not entirely disrupt adaptation. Second, there is no direct evidence that LTD is involved. Finally, the role of Peak 1 information (target location) remains underexplored. It is possible that Peak 1 information plays a role in online control of reaching through synchronous modification of PC activity, or perhaps it contributes to refining an internal model that predicts where a significant target would appear. CFs may be involved in multiple functions even within the brief window of a reaching movement.\n\n\n### TD Error, Eligibility and Temporal Basis Underlying Cerebellar Learning (Shogo Ohmae and Javier F Medina)\nThe cerebellum plays a critical role in predicting the time of future sensory events and using that information to precisely control the timing of anticipatory actions [172, 173]. Here, we summarize recent studies that provide new mechanistic insight into how the cerebellar circuit may accomplish this function using temporal difference (TD) learning [174].\nTD learning is an algorithm for predicting future events by comparing temporally successive predictions. In the brain, these predictions are learned by a postsynaptic neuron. The equation for updating predictions in real time is given by:1\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\Delta {P}_{t}=\\alpha {\\delta }_{t}\\sum_{i=1}^{n}{e}_{i}\\left(t\\right){\\phi }_{i}\\left(t\\right)$$\\end{document}where \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\alpha$$\\end{document} is a learning rate constant, and:2\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${P}_{t}=\\sum_{i=1}^{n}{w}_{i}{\\phi }_{i}\\left(t\\right)$$\\end{document}is the prediction at time t, computed in the postsynaptic neuron by adding together the activity of each individual presynaptic input at time t, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\phi }_{i}(t)$$\\end{document}, weighted by its current synaptic strength, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${w}_{i}$$\\end{document},3\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\delta }_{t}={S}_{t}-{P}_{t}+\\gamma {P}_{t+1}$$\\end{document}is the ‘TD Error’, computed as the difference between the actual, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{t}$$\\end{document}, and predicted, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${P}_{t},$$\\end{document} occurrence of the sensory event at time t, and adding to this difference the discounted prediction in the next time step, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma {P}_{t+1}$$\\end{document},4\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${e}_{i}\\left(t\\right)$$\\end{document}is the ‘Eligibility’ of the ith presynaptic neuron at time t, which determines how much its synaptic weight can be modified,5\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\phi }_{i}\\left(t\\right)$$\\end{document}is the activity of the ith presynaptic neuron at time t. For the whole population, the vector \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\boldsymbol{\\phi}}\\left(t\\right)$$\\end{document} constitutes a ‘Temporal Basis’.\nRecent experiments have revealed that the activity of CFs during cerebellar learning tasks displays a hallmark of TD-error signals [28, 146, 147, 175–180]: some CFs respond reliably to sensory events like rewards or eyepuffs when these stimuli are presented unexpectedly (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{P}_{t}={P}_{t+1}=0;\\delta }_{t}\\cong {S}_{t})$$\\end{document}, but after learning, when the sensory event is being correctly predicted, the same CFs will respond less to it (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{t}\\cong \\gamma {P}_{t+1}-$$\\end{document}\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${P}_{t};$$\\end{document}\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\delta }_{t}\\cong 0$$\\end{document}) and more to any sensorimotor cue that predicts it (at t = time of cue,\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{t}=0;{\\delta }_{t}=\\gamma {P}_{t+1}-$$\\end{document}\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${P}_{t}>0$$\\end{document}).\nAlthough these predictive CF responses are consistent with encoding a TD-error signal [123, 174], some questions have been raised. For instance, there is currently no empirical support for one of the key predictions of the TD-error algorithm [123, 181]: that the CF response should occur at the time of the sensory event at the beginning of learning, and then gradually shift earlier over the course of multiple trials until finally emerging at the time of the predictive sensorimotor cue at the end of learning. Others have pointed out that CFs that respond to the cue after learning often display additional responses that are difficult to reconcile with TD-error signals, including: responses to the cue before learning starts [28], movement-related and ramping responses [175, 177], persistent responses to the predicted sensory event after learning [182], and even responses at the time of event omission [146]. More work is needed to fully disentangle CF representations of TD-error from those about ‘salience’ [180], ‘expectation’ [147, 178], or ‘unsigned prediction error’ [146, 147]. Ultimately, the precise timing of the TD-error given by Eq. (3) is likely to differ substantially from task to task, depending on the value of the discount factor, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document}, and on the difference between temporally successive predictions [183, 184], which can vary greatly according to Eq. (1) depending on the ‘Eligibility’ and the ‘Temporal Basis’ of the presynaptic neurons engaged in each task.\nTD Learning models assume that the cues that predict upcoming sensory events trigger time-varying activity in the population of presynaptic inputs. The particular profile of the basis functions, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\boldsymbol{\\phi}}\\left(t\\right)$$\\end{document}, can have a major impact on the precision of the temporal prediction that is ultimately learned [185], as can be intuited from Eq. (2). For instance, maximum temporal specificity can be achieved with ‘Complete-Serial-Compound’ or ‘Delay Line’ representations [123, 186], which only allow a single presynaptic input to be active in any given time step after the cue. In contrast, the temporal resolution of the prediction is reduced in ‘Microstimuli’ or ‘Spectral’ models in which the activity of each individual presynaptic input peaks at a different time after the cue but partially overlaps with the activity of other inputs [185, 187].\nGCs are thought to provide the temporal basis functions necessary for cerebellar learning [172], but there is limited empirical support for this idea partly due to technical difficulties using electrodes to record the cue-evoked activity of large populations of these tiny and densely packed cells [188]. Fortunately, GC population responses can also be examined with optical imaging tools [29, 189–195], and new studies reveal that the activity of many GCs ramps up or down after a sensory cue [29, 182, 190, 196], sometimes for seconds [182, 196]. The onset and slope of the ramping activity is heterogeneous across the GC population, thus providing a complete basis set that can support temporal prediction [182]. Computational studies based on the known local network connectivity of the cerebellar cortex and the intrinsic synaptic properties of its constituent neurons predict that in addition to ramping activity, GCs should be capable of generating basis functions with other temporal profiles [125, 197–201]. But none of these profiles may be discernable in the naïve state because the cue-evoked ramps of GC activity observed in the imaging studies emerged during learning and were absent in the initial stages of training [29, 182, 190, 196]. It is tempting to speculate that the profile of the temporal basis functions may be learned and adaptively tuned according to task demands [182].\nIn the standard TD Learning algorithm, eligibility traces often take an exponentially decaying form [174]:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\boldsymbol{e}}}_{t}=\\gamma \\lambda {{\\boldsymbol{e}}}_{t-1}+ {{\\boldsymbol{\\phi}}}_{t}$$\\end{document}\nEquation (6) ensures that when a presynaptic input is activated it becomes eligible for synaptic weight modification, and then gradually loses its eligibility every subsequent time step it is inactive, at a decay rate controlled by the product, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma \\lambda$$\\end{document}. Thus, when \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma \\lambda>0$$\\end{document} the eligibility trace provides a partial solution to the temporal credit assignment problem [174], by allowing updates to the weights of synapses that are active not just at the time of the TD error, but also earlier in time. However, exponentially decaying eligibility traces are suboptimal for temporal prediction in many learning tasks because they cannot guarantee that the synapses contributing most to the TD error are the ones maximally eligible for weight updates.\nRecent in vitro studies reveal two ways in which the cerebellum is able to optimize eligibility traces for LTD at the GC-to-PC synapse (GC-PC): In the first solution [202, 203], only those GC-PC synapses that are active at the same time as a ‘perturbation’ CF signal become eligible for synaptic weight modification, and are allowed to undergo LTD if a secondary ‘error’ CF signal follows shortly. This plasticity algorithm, known as stochastic gradient descent, assigns credit to the ‘right’ synapses using the ‘perturbation’ CF to increase PC activity momentarily, and reducing the strength of co-active GC-PC synapses if the increase in PC activity leads to an error shortly afterwards. In the second solution [204], GC-PC synapses become eligible for modification only at a fixed delay after activation. This delay matches the feedback delay expected for error-related CF signals to reach the cerebellum, which is task-dependent and may be learned through experience [205].\nCurrent evidence indicates that the cerebellum uses TD learning to predict the time of future events. The underlying error signals, temporal basis and eligibility traces are optimized for each task depending on what the prediction is used for.\n\n\n### TD-Error Signals of CFs\nRecent experiments have revealed that the activity of CFs during cerebellar learning tasks displays a hallmark of TD-error signals [28, 146, 147, 175–180]: some CFs respond reliably to sensory events like rewards or eyepuffs when these stimuli are presented unexpectedly (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{P}_{t}={P}_{t+1}=0;\\delta }_{t}\\cong {S}_{t})$$\\end{document}, but after learning, when the sensory event is being correctly predicted, the same CFs will respond less to it (\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{t}\\cong \\gamma {P}_{t+1}-$$\\end{document}\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${P}_{t};$$\\end{document}\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\delta }_{t}\\cong 0$$\\end{document}) and more to any sensorimotor cue that predicts it (at t = time of cue,\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${S}_{t}=0;{\\delta }_{t}=\\gamma {P}_{t+1}-$$\\end{document}\n\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${P}_{t}>0$$\\end{document}).\nAlthough these predictive CF responses are consistent with encoding a TD-error signal [123, 174], some questions have been raised. For instance, there is currently no empirical support for one of the key predictions of the TD-error algorithm [123, 181]: that the CF response should occur at the time of the sensory event at the beginning of learning, and then gradually shift earlier over the course of multiple trials until finally emerging at the time of the predictive sensorimotor cue at the end of learning. Others have pointed out that CFs that respond to the cue after learning often display additional responses that are difficult to reconcile with TD-error signals, including: responses to the cue before learning starts [28], movement-related and ramping responses [175, 177], persistent responses to the predicted sensory event after learning [182], and even responses at the time of event omission [146]. More work is needed to fully disentangle CF representations of TD-error from those about ‘salience’ [180], ‘expectation’ [147, 178], or ‘unsigned prediction error’ [146, 147]. Ultimately, the precise timing of the TD-error given by Eq. (3) is likely to differ substantially from task to task, depending on the value of the discount factor, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma$$\\end{document}, and on the difference between temporally successive predictions [183, 184], which can vary greatly according to Eq. (1) depending on the ‘Eligibility’ and the ‘Temporal Basis’ of the presynaptic neurons engaged in each task.\nTD Learning models assume that the cues that predict upcoming sensory events trigger time-varying activity in the population of presynaptic inputs. The particular profile of the basis functions, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\boldsymbol{\\phi}}\\left(t\\right)$$\\end{document}, can have a major impact on the precision of the temporal prediction that is ultimately learned [185], as can be intuited from Eq. (2). For instance, maximum temporal specificity can be achieved with ‘Complete-Serial-Compound’ or ‘Delay Line’ representations [123, 186], which only allow a single presynaptic input to be active in any given time step after the cue. In contrast, the temporal resolution of the prediction is reduced in ‘Microstimuli’ or ‘Spectral’ models in which the activity of each individual presynaptic input peaks at a different time after the cue but partially overlaps with the activity of other inputs [185, 187].\nGCs are thought to provide the temporal basis functions necessary for cerebellar learning [172], but there is limited empirical support for this idea partly due to technical difficulties using electrodes to record the cue-evoked activity of large populations of these tiny and densely packed cells [188]. Fortunately, GC population responses can also be examined with optical imaging tools [29, 189–195], and new studies reveal that the activity of many GCs ramps up or down after a sensory cue [29, 182, 190, 196], sometimes for seconds [182, 196]. The onset and slope of the ramping activity is heterogeneous across the GC population, thus providing a complete basis set that can support temporal prediction [182]. Computational studies based on the known local network connectivity of the cerebellar cortex and the intrinsic synaptic properties of its constituent neurons predict that in addition to ramping activity, GCs should be capable of generating basis functions with other temporal profiles [125, 197–201]. But none of these profiles may be discernable in the naïve state because the cue-evoked ramps of GC activity observed in the imaging studies emerged during learning and were absent in the initial stages of training [29, 182, 190, 196]. It is tempting to speculate that the profile of the temporal basis functions may be learned and adaptively tuned according to task demands [182].\n\n\n### Temporal Basis of GCs\nTD Learning models assume that the cues that predict upcoming sensory events trigger time-varying activity in the population of presynaptic inputs. The particular profile of the basis functions, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\boldsymbol{\\phi}}\\left(t\\right)$$\\end{document}, can have a major impact on the precision of the temporal prediction that is ultimately learned [185], as can be intuited from Eq. (2). For instance, maximum temporal specificity can be achieved with ‘Complete-Serial-Compound’ or ‘Delay Line’ representations [123, 186], which only allow a single presynaptic input to be active in any given time step after the cue. In contrast, the temporal resolution of the prediction is reduced in ‘Microstimuli’ or ‘Spectral’ models in which the activity of each individual presynaptic input peaks at a different time after the cue but partially overlaps with the activity of other inputs [185, 187].\nGCs are thought to provide the temporal basis functions necessary for cerebellar learning [172], but there is limited empirical support for this idea partly due to technical difficulties using electrodes to record the cue-evoked activity of large populations of these tiny and densely packed cells [188]. Fortunately, GC population responses can also be examined with optical imaging tools [29, 189–195], and new studies reveal that the activity of many GCs ramps up or down after a sensory cue [29, 182, 190, 196], sometimes for seconds [182, 196]. The onset and slope of the ramping activity is heterogeneous across the GC population, thus providing a complete basis set that can support temporal prediction [182]. Computational studies based on the known local network connectivity of the cerebellar cortex and the intrinsic synaptic properties of its constituent neurons predict that in addition to ramping activity, GCs should be capable of generating basis functions with other temporal profiles [125, 197–201]. But none of these profiles may be discernable in the naïve state because the cue-evoked ramps of GC activity observed in the imaging studies emerged during learning and were absent in the initial stages of training [29, 182, 190, 196]. It is tempting to speculate that the profile of the temporal basis functions may be learned and adaptively tuned according to task demands [182].\n\n\n### Eligibility of Cerebellar LTD\nIn the standard TD Learning algorithm, eligibility traces often take an exponentially decaying form [174]:6\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\boldsymbol{e}}}_{t}=\\gamma \\lambda {{\\boldsymbol{e}}}_{t-1}+ {{\\boldsymbol{\\phi}}}_{t}$$\\end{document}\nEquation (6) ensures that when a presynaptic input is activated it becomes eligible for synaptic weight modification, and then gradually loses its eligibility every subsequent time step it is inactive, at a decay rate controlled by the product, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma \\lambda$$\\end{document}. Thus, when \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\gamma \\lambda>0$$\\end{document} the eligibility trace provides a partial solution to the temporal credit assignment problem [174], by allowing updates to the weights of synapses that are active not just at the time of the TD error, but also earlier in time. However, exponentially decaying eligibility traces are suboptimal for temporal prediction in many learning tasks because they cannot guarantee that the synapses contributing most to the TD error are the ones maximally eligible for weight updates.\nRecent in vitro studies reveal two ways in which the cerebellum is able to optimize eligibility traces for LTD at the GC-to-PC synapse (GC-PC): In the first solution [202, 203], only those GC-PC synapses that are active at the same time as a ‘perturbation’ CF signal become eligible for synaptic weight modification, and are allowed to undergo LTD if a secondary ‘error’ CF signal follows shortly. This plasticity algorithm, known as stochastic gradient descent, assigns credit to the ‘right’ synapses using the ‘perturbation’ CF to increase PC activity momentarily, and reducing the strength of co-active GC-PC synapses if the increase in PC activity leads to an error shortly afterwards. In the second solution [204], GC-PC synapses become eligible for modification only at a fixed delay after activation. This delay matches the feedback delay expected for error-related CF signals to reach the cerebellum, which is task-dependent and may be learned through experience [205].\n\n\n### Bottom Line\nCurrent evidence indicates that the cerebellum uses TD learning to predict the time of future events. The underlying error signals, temporal basis and eligibility traces are optimized for each task depending on what the prediction is used for.\n\n\n### From Elegance to Complexity: Understanding Error Processing in the Cerebellar Cortex (Laurentiu S. Popa and Timothy J. Ebner)\nThe MAI hypothesis is one of the most elegant and enduring theoretical models proposed of cerebellar function [4, 5, 206]. Alas, the cerebellar function seems to abide less by the elegance of simplicity and more by the shimmering demands of complexity.\nThe doctrine imposed by the MAI model, elegantly coupling the specific cerebellar architecture and physiology to function, states the CS activity exclusively conveys error signals that drives SS adaptation. In this view, CS discharge is necessary and sufficient to drive the SS adaptation, which in turn participates in motor control (behavior expression). Although the MAI model is supported by numerous observations [136, 137, 143, 207–209], a growing body of evidence requires a more nuanced description of the cerebellar function.\nCS activity poses a fair number of questions for the MAI doctrine. One major challenge arises from how consistent CSs respond to perturbations and errors. In certain recent experimental designs, the CS modulation is not consistent with an error signal, persisting as behavioral adaptation occurs, while in other experiments behavioral perturbations failed to elicit CS responses altogether [see reviews 210, 211]. Prominent recent examples include multiplexed CS responses during a lever pull but not clear error encoding [148], lack of CS error modulation during novel visual motor associations [212], and signaling learned associations not errors [146]. These observations suggest that the CS error signals are conditional with the behavioral context as opposed to an unconditional error response. Moreover, SS and behavior can adapt independently relative to CS modulation suggesting that CS response is not necessary for cerebellar learning [212–214]. Also, CS discharge encodes a wide range of behavioral aspects such as movement kinematics [215], occurrence and anticipation of rewards [147, 176, 179] and even salience [180], contradicting the assumption that CS activity is preferentially engaged with error signaling. Importantly, the more studies address the CS error hypothesis, the more exceptions are documented. Furthermore, the MAI hypothesis ignores observations that CF input is essential for maintaining normal cerebellar function [216]. CS activity maintains homeostatic control through history dependent dampening [217] and also maintains homeostatic control of the SS kinematic encoding [218]. The community must not blind itself to only positive findings, if we are to fully understand the role of the CFs in cerebellar function.\nAlthough older studies hinted at a role for SS activity in error signaling [211], recent work established that the SS activity exceeds the classical MAI view that limits the SS function to control either the kinematics or dynamics of the effector movement. In a task requiring continuous processing of motor errors, such as manually random tracking, PC SS activity is robustly modulated not only by kinematics (position, velocity, speed) but also by several measures of performance errors (position, radial, position direction [219]). Moreover, kinematic and performance error parameters are dually encoded as both predictive and feedback representations, consistent with the signals necessary to compute sensory prediction errors [219, 220]. Manipulations of the sensory feedback show that the predictive performance errors signals are based on the predictions of the sensory consequences of motor, while the delayed signals encode the sensory feedback of the performance error measures [221]. Thus, SS activity conforms to a forward model of performance errors independent of the kinematic forward model also present in the SS discharge [222]. Interestingly, the kinematic and performance errors representations are integrated at cell level, suggesting that single PCs operate independent forward models in different domains such as kinematic and performance errors [219].\nPerformance errors arguably bridge the motor and cognitive domains, as the representation of the behavior goal can be a measure of task understanding and suggests that SS signals can overtly encode aspects of the higher function [223]. Newer studies find that while learning to associate visual cues to left or right hand movement, SS activity encodes the success or failure of the previous trial [212]. These SS signals, operating in the non-motor domain, change as the learning progresses, independently from CS discharge, and are not present during the overtrained behavior. Therefore, these signals are similar to prediction errors that compare expected and actual choice outcome and argue for an explicit prediction error representation in the cognitive domain.\nWhile error processing is a major aspect of the cerebellar function, both in motor and possibly in higher domains, error signaling by PCs involves a complex interaction with behavior as well as between SS and CS. Both SS and CS encode error signals as parts of complex behavioral representations, that integrate errors and non-error parameters, while the role of CS activity in driving SS adaptation is conditional. Therefore, experimental findings have outgrown many of the basic tenets of MAI model.\nCerebellar error processing described here has intriguing similarities to several concepts presented in this Consensus paper. The presence of both kinematic and performance error forward models that can simultaneously predict the sensory consequences and the value of motor commands, that mirrors the cerebral assignment of errors discussed in Chapter 5. This integration of these two forward models can facilitate maintaining the homeostasis of responses consistent with cerebellar reserve described in Chapter 14. Moreover, the presence of prediction errors in the cognitive domain generalizes the predictive function of the cerebellum, consistent with the view presented in Chapter 15. This further opens the possibility that similar forward models operate in non-motor domains, as suggested by Masao Ito in which the prefrontal cortex provides both command and target signals [18, 224], thus detecting, preventing and correcting mismatches between intended and actual outcomes as proposed by the UCT (Chapter 2).\n\n\n### Reward Signals in the Cerebellum: Evidence for Cerebellar Reinforcement Learning? (Marie Hemelt and Court Hull)\nAcross many cerebellar-dependent behaviors, both neural activity and learned changes in predictive motor output are well-described by the principles of supervised learning [225]. This learning model relies on instructional signals that indicate whether behavior was correctly executed. In the cerebellum, CFs can provide such information, and are thought to establish predictive motor behavior by instructing synaptic plasticity at synapses onto PCs.\nIn contrast, recent evidence has suggested that neural activity in the cerebellum can resemble features of reinforcement learning during tasks guided by predictions about reward [226]. In reinforcement learning, instructional signals do not directly indicate what actions to take (or not take), but instead guide learning based on trial-and-error exploration to converge on optimal, rewarding actions [186]. Such learning has traditionally been associated with the basal ganglia and instructional signals from midbrain dopamine neurons [123]. However, as discussed in Chapter 1, recent work has shown that these dopamine neurons receive direct input from the cerebellum [64, 65], suggesting that the cerebellum is more tightly integrated into the brain’s reward learning system than previously appreciated [27]. Here we will discuss cerebellar reward signaling and the question of whether reinforcement learning models may be appropriate to describe cerebellar function in reward-guided behaviors.\nReward signaling has been identified in both major input pathways to the cerebellar cortex, the CF and MF pathways [70] (Fig. 4). Because reward signaling in the brain can serve multiple roles, it is necessary to determine whether these signals conform to the predictions of reinforcement learning [186]. To do so, they must have several key characteristics, including 1) they must act to associate predictive stimuli or actions with rewarding outcomes, 2) They must do so in a scaled, probabilistic manner based on experience and expectation. Current evidence suggests that certain cerebellar reward signals exhibit each of these key requirements.Fig. 4Reward-related signals across the cerebellum\nReward-related signals across the cerebellum\nEvidence from both operant and Pavlovian conditioning tasks has revealed CF signals that share common features with the instructional signals necessary for reinforcement learning, reward prediction errors (rPEs). Specifically, CFs respond to reward in naive animals, and to conditioned stimuli that predict reward in trained animals [147, 176, 179, 227, 228]. Further, these reward responses are decreased or abolished once an unconditioned stimulus is expected [147, 176, 227, 228]. CFs can also encode expected reward size [178], and show scalar responses proportional to presumed reward expectation in some tasks [146]. GCs can also encode reward anticipation, delivery, omission, and better-than-expected reward [29]. However, they may not encode responses to reward-predictive cues in the same manner as CFs [29]. rPE-like signals are also evident in the simple spiking of downstream PCs [212], and both molecular layer interneurons (MLIs) and cerebellar nuclear cells may encode reward anticipation [229, 230].\nOverall, CF activity shows the most the commonalities with the instructional rPE signals carried by midbrain dopamine neurons. As discussed in Chapter 6, in some cases CF responses can even directly mirror the properties of TD-errors [28], a learning algorithm shown to be effective for reinforcement learning. However, in other cases, there are notable differences between CF responses and canonical rPE signals. For example, CFs do not appear to encode worse-than-expected reward predictions with decreases in firing. Instead, they appear to encode both better- and worse-than-expected outcomes with increased firing [146, 147], consistent with unsigned prediction errors [231]. Like dopamine neurons, CFs can also respond to novel or unexpected neutral stimuli [28, 176], as well as aversive stimuli and the cues that predict them [28]. However, whether CFs can distinguish between stimuli that predict outcomes of different valence remains to be tested. Moreover, while novelty or other stimulus encoding may complement rPEs in reinforcement learning [232], how these diverse instructional signals may interact to promote cerebellar learning remains unclear.\nWhile CF reward signals are similar to reinforcement learning rPEs, the case for cerebellar-dependent behavior that relies on reinforcement learning remains inconclusive. On one hand, data from humans with CA has suggested the cerebellum may learn reward associations from reinforcement, and animal work has indicated a possible role of cerebellar reinforcement learning in learned motor timing and visuomotor associations [73, 227, 233]. In addition, cerebellar projections to midbrain DA neurons have been implicated in pro-social behavior in mice [64]. However, it has remained controversial whether cerebellar damage or disease in humans has a direct impact on reinforcement learning [234–236]. Thus, several questions remain about the role of reinforcement learning as a model for cerebellar processing and learning.\nTo understand whether and how the cerebellum participates in reinforcement learning, it is necessary to determine how cerebellar reward signals are used for 1) modifying cerebellar output, 2) influencing downstream brain regions, and 3) driving learned changes in behavior. This will necessitate recording from both the cerebellum and its targets during learning, especially those targets known to participate in reinforcement learning. Together with manipulations that can reveal the unique contributions of cerebellar processing, such studies are required to test how these systems work synergistically to support reinforcement learning. Finally, if the cerebellum can support both supervised and reinforcement learning, it will be critical to understand how its largely homogenous crystalline architectures enables such flexibility. Answering these questions will reveal how the cerebellum operates in tasks guided by reward predictions, and how it is integrated into the larger reinforcement learning circuitry of the brain.\n\n\n### Contrasting Models of Cerebellar Learning\nAcross many cerebellar-dependent behaviors, both neural activity and learned changes in predictive motor output are well-described by the principles of supervised learning [225]. This learning model relies on instructional signals that indicate whether behavior was correctly executed. In the cerebellum, CFs can provide such information, and are thought to establish predictive motor behavior by instructing synaptic plasticity at synapses onto PCs.\nIn contrast, recent evidence has suggested that neural activity in the cerebellum can resemble features of reinforcement learning during tasks guided by predictions about reward [226]. In reinforcement learning, instructional signals do not directly indicate what actions to take (or not take), but instead guide learning based on trial-and-error exploration to converge on optimal, rewarding actions [186]. Such learning has traditionally been associated with the basal ganglia and instructional signals from midbrain dopamine neurons [123]. However, as discussed in Chapter 1, recent work has shown that these dopamine neurons receive direct input from the cerebellum [64, 65], suggesting that the cerebellum is more tightly integrated into the brain’s reward learning system than previously appreciated [27]. Here we will discuss cerebellar reward signaling and the question of whether reinforcement learning models may be appropriate to describe cerebellar function in reward-guided behaviors.\n\n\n### Reward-Related Cerebellar Signaling\nReward signaling has been identified in both major input pathways to the cerebellar cortex, the CF and MF pathways [70] (Fig. 4). Because reward signaling in the brain can serve multiple roles, it is necessary to determine whether these signals conform to the predictions of reinforcement learning [186]. To do so, they must have several key characteristics, including 1) they must act to associate predictive stimuli or actions with rewarding outcomes, 2) They must do so in a scaled, probabilistic manner based on experience and expectation. Current evidence suggests that certain cerebellar reward signals exhibit each of these key requirements.Fig. 4Reward-related signals across the cerebellum\nReward-related signals across the cerebellum\nEvidence from both operant and Pavlovian conditioning tasks has revealed CF signals that share common features with the instructional signals necessary for reinforcement learning, reward prediction errors (rPEs). Specifically, CFs respond to reward in naive animals, and to conditioned stimuli that predict reward in trained animals [147, 176, 179, 227, 228]. Further, these reward responses are decreased or abolished once an unconditioned stimulus is expected [147, 176, 227, 228]. CFs can also encode expected reward size [178], and show scalar responses proportional to presumed reward expectation in some tasks [146]. GCs can also encode reward anticipation, delivery, omission, and better-than-expected reward [29]. However, they may not encode responses to reward-predictive cues in the same manner as CFs [29]. rPE-like signals are also evident in the simple spiking of downstream PCs [212], and both molecular layer interneurons (MLIs) and cerebellar nuclear cells may encode reward anticipation [229, 230].\nOverall, CF activity shows the most the commonalities with the instructional rPE signals carried by midbrain dopamine neurons. As discussed in Chapter 6, in some cases CF responses can even directly mirror the properties of TD-errors [28], a learning algorithm shown to be effective for reinforcement learning. However, in other cases, there are notable differences between CF responses and canonical rPE signals. For example, CFs do not appear to encode worse-than-expected reward predictions with decreases in firing. Instead, they appear to encode both better- and worse-than-expected outcomes with increased firing [146, 147], consistent with unsigned prediction errors [231]. Like dopamine neurons, CFs can also respond to novel or unexpected neutral stimuli [28, 176], as well as aversive stimuli and the cues that predict them [28]. However, whether CFs can distinguish between stimuli that predict outcomes of different valence remains to be tested. Moreover, while novelty or other stimulus encoding may complement rPEs in reinforcement learning [232], how these diverse instructional signals may interact to promote cerebellar learning remains unclear.\n\n\n### Cerebellar Participation in Reinforcement Learning\nWhile CF reward signals are similar to reinforcement learning rPEs, the case for cerebellar-dependent behavior that relies on reinforcement learning remains inconclusive. On one hand, data from humans with CA has suggested the cerebellum may learn reward associations from reinforcement, and animal work has indicated a possible role of cerebellar reinforcement learning in learned motor timing and visuomotor associations [73, 227, 233]. In addition, cerebellar projections to midbrain DA neurons have been implicated in pro-social behavior in mice [64]. However, it has remained controversial whether cerebellar damage or disease in humans has a direct impact on reinforcement learning [234–236]. Thus, several questions remain about the role of reinforcement learning as a model for cerebellar processing and learning.\n\n\n### Open Questions\nTo understand whether and how the cerebellum participates in reinforcement learning, it is necessary to determine how cerebellar reward signals are used for 1) modifying cerebellar output, 2) influencing downstream brain regions, and 3) driving learned changes in behavior. This will necessitate recording from both the cerebellum and its targets during learning, especially those targets known to participate in reinforcement learning. Together with manipulations that can reveal the unique contributions of cerebellar processing, such studies are required to test how these systems work synergistically to support reinforcement learning. Finally, if the cerebellum can support both supervised and reinforcement learning, it will be critical to understand how its largely homogenous crystalline architectures enables such flexibility. Answering these questions will reveal how the cerebellum operates in tasks guided by reward predictions, and how it is integrated into the larger reinforcement learning circuitry of the brain.\n\n\n### Forward Models and the Cerebellum (Reza Shadmehr and Mohammad Amin Fakharian)\nThe principal ideas that form our current understanding of the cerebellum were generated during the past century in roughly 30-year intervals. Holmes [237] examined soldiers who had suffered gunshot wounds to their cerebellum during World War I and noted that a cardinal feature of their deficit was dysmetria: “The most obvious errors are … toward the end of the movement. As a normal limb approaches its object, its velocity declines at a uniform rate till it comes to rest, but the speed of the affected limb is often unchecked till the object is reached or even passed”. Thus, the problem caused by cerebellar damage was not associated with initiating a movement, rather, the problem was stopping the movement on target.\nAbout 30 years later, Marr [4] posited that the IO was the teacher of the cerebellum, and the PCs were its students. Soon after, Ito et al. [124] discovered that PCs were inhibitory neurons with CF regulated learning sites in their PF synapses. Then, 30 years after Marr, Miall and Wolpert [238] posited that the purpose of the CF driven learning was to compute a forward model, i.e., a model that predicted the sensory consequences of motor commands.\nThus, the computational framework that emerged was that cerebellar damage produced dysmetria because the brain could no longer rely on the cerebellum’s predictions regarding the relationship between the motor commands and the displacements that they caused. Without the cerebellum’s predictions, all that remained was sensory feedback, which, saddled with delays, caused overshooting and endpoint oscillations.\nIndeed, during voluntary head movements, PCs as a population appeared to predict the vestibular and proprioceptive sensory feedback [239]. Their firing rates could account for the fact that during active but not passive movements, there was cancelation of the sensory feedback in the vestibular nucleus and DCN [240]. In another example, PCs were modulated during a pursuit task, even when the target was extinguished, suggesting that the cerebellum was predicting the future position of the moving target [241].\nHowever, the problem was that across various types of movements, PC activity continued to be modulated long after the movement had ended [242, 243]. If the cerebellum was critical for control of endpoint accuracy, and the PCs predicted sensory consequences of motor commands, then why were they modulated even after the movement was over?\nA key to this puzzle was that the IO monitored the output of the cerebellum and returned to it information that encoded error [159, 217, 244, 245]. This input organized the PCs into anatomical groups called micro-clusters [246–248]. As a result, cerebellar neurons within a micro-cluster learned from a common teacher. The new idea was that the fundamental computational unit in the cerebellum was not an individual cell, but a population of cells that shared a common teacher [249–252].\nThe input–output structure of the cerebellar cortex resembles a 3-layer neural network, with the MFs as inputs, MLIs as intermediate layers, and PCs as outputs (Fig. Fig. 5Output from the oculomotor region of the cerebellar cortex is a command that signals when and how to decelerate an ongoing saccade. A. Architecture of the cerebellar network, with MLI2 inhibiting MLI1, and MLI1 inhibiting PCs. B. A working model for estimation of the deceleration time based on the goal and motor command information provided by the mossy fiber inputs. C. Top: average responses of the goal and state mossy fibers to saccades with and without rewarding visual targets. Bottom, population response of the MLIs and PCs to saccades with and without rewarding visual targets. Note that the MLI1 response reaches the same peak rate regardless of saccade amplitude, potentially reflecting computation of a bound. Adapted from [252]5A). We recorded from the MFs, the MLIs, and the PCs simultaneously as marmosets performed saccades [253] and found that the MFs provided the cerebellum with two pieces of information: a copy of the motor commands u(t), and the location of the target xg (Fig. 5B). The cerebellar network appeared to integrate the spikes in the motor command MFs to a bound set by the goal MFs. This bound was evident in the constant peak rate that was reached in the population of MLI1s (Fig. 5C). Once the bound was reached, the PCs as a population signaled to the nucleus via disinhibition to produce forces that would aid in stopping the movement (Fig. 5C). However, when the subject made saccades without a visual target (task irrelevant saccades), the target information xg was missing in the MFs, but a copy of the motor commands u(t) was still present (Fig. 5C, right). Without information about the target location, the PCs could no longer predict when to stop the movement.\nOutput from the oculomotor region of the cerebellar cortex is a command that signals when and how to decelerate an ongoing saccade. A. Architecture of the cerebellar network, with MLI2 inhibiting MLI1, and MLI1 inhibiting PCs. B. A working model for estimation of the deceleration time based on the goal and motor command information provided by the mossy fiber inputs. C. Top: average responses of the goal and state mossy fibers to saccades with and without rewarding visual targets. Bottom, population response of the MLIs and PCs to saccades with and without rewarding visual targets. Note that the MLI1 response reaches the same peak rate regardless of saccade amplitude, potentially reflecting computation of a bound. Adapted from [252]\nNotably, these patterns emerged not in any individual cell, but via an organization of the neurons into groups based on the information in their CF inputs. This input defined the downstream influence of each PC on behavior as a potent vector [254]. By assuming that this potent vector was inherited by all the cells in the neighborhood of the CF, the PC rates exhibited an increase during the saccade acceleration period, then suddenly transitioned to a decrease below baseline at the moment of deceleration onset. The modulations ended as the movement ended.\nIn order for the PCs to predict deceleration onset, it seems likely that the interneurons in this region of the cerebellum integrated the motor commands \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$u(t)$$\\end{document} that were conveyed via the MFs to predict displacement \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$\\widehat{x}(t)$$\\end{document}, which was then compared to the target location \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${x}_{g}$$\\end{document} provided by the MFs. The computation from motor commands to displacement is a forward model.\nCritically, in this region of the cerebellum, the output of the cerebellar cortex, i.e., the PCs, is decidedly not a forward model. Rather, the PCs produce a signal that is more akin to a command that relies on a forward model-like computation that specifies when the movement has reached the target and should be stopped. Damage to the cerebellum produces dysmetria because the PCs are no longer able to predict the exact time when the movement should be decelerated and stopped.\n\n\n### Cerebellar Kalman-Filter Model (Hirokazu Tanaka)\nThe brain always observes the past state of the body and the world. The world perceived by sensory organs takes some time to process in the brain due to conduction time delay; vision, for example, takes about fifty milliseconds and one hundred milliseconds to reach primary and higher visual areas, respectively [255]. Feedback control based on a delayed state generates oscillatory and unstable movements. The internal model mechanism solves the delayed sensory-feedback problem by neurally implementing the dynamics of a controlled agent [256]. There are two classes of internal models: internal forward and inverse models. An internal inverse model computes feedforward control signal for a given movement trajectory in advance without relying on delayed sensory signals (see also Chapter 12). An internal forward model predicts the current and future states time by time by integrating previously estimated states with an efference copy of motor commands (see also Chapters 9,11, and 15). In physics, equations of motion relate kinematics (i.e., position, velocity, and acceleration) to dynamics (forces and torques). Inverse and forward models solve equations of motion in opposite directions.\nBehavioral, neuroimaging, and neurophysiological evidence indicate that the cerebellum, especially the cerebrocerebellum, performs forward-model prediction in motor control, cognitive processing, and social interactions [257, 257, 259, 260]. Deficits in the cerebellum often lead to motor disorders known as CA, reflecting an impairment of predictive computation in the cerebellum [260–262] (see also Chapter 15). The internal forward model plays a role not only in motor control but also in motor learning; motor learning depends not on the performance error (difference between actual movements and target) but on the prediction error (difference between predicted and actual movements)[263]. The cerebellum estimates and predicts for control and learning problems.\nThe Kalman filter, named after its inventor (Rudolf Kalman), is an optimal estimation that integrates dynamical prediction with noisy observations in the Bayes optimal manner [264]. In the most straightforward formulation (linear dynamical and observation equations with Gaussian noises), the Kalman filter computes a weighted sum of state prediction and observation. A Kalman optimal estimate emphasizes that the dynamics prediction is accurate and observation is noisy, reflecting the statistics of dynamics and observations. The Kalman filter compares the prediction error (technically called innovation) between actual observations and predicted observations (observation anticipated from a predicted state). The prediction error, if any, corrects the prediction. Therefore, the cerebellum shares the characteristics of the Kalman filter: predictive computation and learning from prediction errors .Fig. 6Single neuron activity in DN of the cerebellum predicts the timing of periodic visual stimuli. a: Synchronized saccade task. b: Missing oddball detection task. In both panels, data are aligned with stimulus onset. Note that neuronal firing rate peaked around the time of stimulus onset in both conditionsFig. 7Cerebellar internal models for sensorimotor learning and reward processing. A: Feedback-error-learning scheme to acquire inverse model capturing the input–output relationship of the controlled object. B: The MOSAIC model with n paired modules, each consisting of a forward model, a responsibility predictor, and an inverse model. The forward model predicts state from motor command, with likelihoods estimated from prediction errors. Contextual cues yield prior probabilities, which are combined with likelihoods to yield the module’s responsibility signals \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\lambda }_{i}^{t}$$\\end{document}. These responsibility signals weight inverse model outputs to form the motor command and scale learning. C: Modular Critic/Actor reinforcement learning in the cerebellum. The critic receives state (s) and action (a) signals, computes a temporal-difference reward prediction error (rPE), and updates both its value function and the actors’ policies. It is hypothesized that subsets of Purkinje cells act as context-dependent actors, learning motor commands for different contexts using rPE carried by CF inputs\nSingle neuron activity in DN of the cerebellum predicts the timing of periodic visual stimuli. a: Synchronized saccade task. b: Missing oddball detection task. In both panels, data are aligned with stimulus onset. Note that neuronal firing rate peaked around the time of stimulus onset in both conditions\nCerebellar internal models for sensorimotor learning and reward processing. A: Feedback-error-learning scheme to acquire inverse model capturing the input–output relationship of the controlled object. B: The MOSAIC model with n paired modules, each consisting of a forward model, a responsibility predictor, and an inverse model. The forward model predicts state from motor command, with likelihoods estimated from prediction errors. Contextual cues yield prior probabilities, which are combined with likelihoods to yield the module’s responsibility signals \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${\\lambda }_{i}^{t}$$\\end{document}. These responsibility signals weight inverse model outputs to form the motor command and scale learning. C: Modular Critic/Actor reinforcement learning in the cerebellum. The critic receives state (s) and action (a) signals, computes a temporal-difference reward prediction error (rPE), and updates both its value function and the actors’ policies. It is hypothesized that subsets of Purkinje cells act as context-dependent actors, learning motor commands for different contexts using rPE carried by CF inputs\nWe postulate that the cerebellum is best positioned in the brain to perform the Kalman filter computation (see Fig. 8B in Chapter 15). The cerebrocerebellum receives the projections from the cerebral cortex and peripheral sensory pathways. The cerebellar Kalman-filter model predicts that the cerebellum receives previous state estimates, motor commands from the cerebral cortex, and sensory signals from the sensory pathways. We tested this prediction by analyzing single-unit activities recorded from a monkey performing a wrist-tracking task [265]. The activities included MFs (inputs to the cerebellum), PCs (output from the cerebellar cortex), and DN cells (output from the cerebellum). We found that a weighted sum of the MF activities well reconstructed the PC activities. A weighted sum of the MF and the PC activities well reconstructed the dentate cell (DC) activities. Nonlinear models with quadratic or thresholding terms could not fit the data better than the linear model. The linear equations found empirically corresponded to those of the Kalman filer. The PC and the DN cell equations matched the prediction and the filtering steps, respectively. The crucial prediction of the cerebellar Kalman-filter model was that the current output from the model should predict the future input to the model. We tested and confirmed this prediction by analyzing the population activity data; the DC activities (the cerebellar output) at one time point predicted the MF activities (the cerebellar input) at a future time. We therefore proposed that PCs and DN cells perform the prediction and filtering steps, respectively. Our analysis relied on the data during the motor task. Still, we argue that, based on the known cerebellar anatomy, the same computational principle can be generalized to the cognitive/affective part of the cerebrocebellum [127]. Outputs from non-motor association areas are relayed by the PN neurons and project to the coginitive/affective regions of the cerebrocerebellum. In contrast, inputs to DN originate from a distinct cortical or subcortical sources relayed by non-PN nuclei [266]. Our model predicts that cerebellar cortical lesions impair predictive behaviors and cerebellar nuclear damage deteriorates behavioral adjustments. We conclude that the cerebellar Kalman-filter model provides a unified perspective on the function of the cerebellum in motor and non-motor information processing.Fig. 8Artificial neural network imitating the cerebellar circuit structure and language functions. a, Activation of right lateral cerebellum (Crus 1/2) during the next-word prediction, measured by fMRI. Not only the correlation, but also the causal relationship was demonstrated by brain suppression using transcranial magnetic stimulation (TMS). Figure adapted from [325] (CC BY 4.0).b, Single circuit computation achieved both next-word prediction and syntactic processing. When the artificial neural network imitating the cerebellar circuit was trained by next-word prediction, the output was trained to generate predictions for the next words (red arrow). Interestingly, upstream of the predictive output neurons, the syntactic processing circuit (blue arrow) spontaneously emerged so that the PCs can represent syntactic information (by classifying subject, verb, and object words). Figure adapted from [314](CC BY 4.0)\nArtificial neural network imitating the cerebellar circuit structure and language functions. a, Activation of right lateral cerebellum (Crus 1/2) during the next-word prediction, measured by fMRI. Not only the correlation, but also the causal relationship was demonstrated by brain suppression using transcranial magnetic stimulation (TMS). Figure adapted from [325] (CC BY 4.0).b, Single circuit computation achieved both next-word prediction and syntactic processing. When the artificial neural network imitating the cerebellar circuit was trained by next-word prediction, the output was trained to generate predictions for the next words (red arrow). Interestingly, upstream of the predictive output neurons, the syntactic processing circuit (blue arrow) spontaneously emerged so that the PCs can represent syntactic information (by classifying subject, verb, and object words). Figure adapted from [314](CC BY 4.0)\n\n\n### Internal Model of Periodic Sensory Events (Masaki Tanaka, Ken-ichi Okada and Masashi Kameda)\nThe cerebellum plays a central role in the predictive control of movement and its adaptive learning. During goal-directed movement, the cerebellum receives corollary discharge signals and forms a forward model that internally predicts the motor outcome (see also Chapters 9,10, and 15). Recent findings that the cerebellum is also involved in non-motor cognitive functions have generated great interest in how this traditional view can be generalized (see also Chapter 2). In this section, we present recent physiological studies on the cerebellum, focusing on temporal predictions of periodic events that require internal models.\nThe cerebellum is essential for rhythmic movement. Patients with cerebellar damage have difficulty synchronizing their movements to periodic stimuli, especially when the sequence of movements is discontinuous [267]. Synchronized movement requires generation of internal models for periodic stimuli, monitoring of timing errors, and continuous updating of internal models [268, 269]. In general, more areas in the brain are activated during reactive movements to a series of randomly timed stimuli than during synchronized movements to periodic stimuli [270]. However, since some parts of the cerebellum and the frontal and parietal cortices show greater activity during synchronized movements [271, 272], these areas may be involved in the generation of the internal model.\nAlthough predictive synchronized movements to periodic stimuli were thought to be limited to species with vocal learning abilities, such as humans, songbirds, and dolphins [273], recent studies have shown that even monkeys can be trained to generate synchronized movements through reinforcement learning [274, 275]. Neuronal activity in the posterior part of the cerebellar DN, which sends signals through the thalamus to the frontal and supplementary eye fields [39, 276], was examined in monkeys trained to generate saccades in synchrony with periodic alternating left–right visual stimuli [277]. There were three types of neurons with increased activity either before ipsilateral saccades, before bilateral saccades, or immediately after saccades. Of these, neurons active before ipsilateral saccades showed ramping activity that correlated well with movement timing. However, these activities were also observed during reactive saccades to targets presented at random timing, suggesting that these signals regulate saccades independently of stimulus rhythm. On the other hand, neurons active before saccades in both directions showed greater activity during synchronized saccades, with peaks that coincided with the timing of visual stimuli rather than saccades, suggesting that they predict the timing of target appearance (Fig. 6a). Furthermore, post-saccade activity correlated well with the time difference between target appearance and saccades (that is, temporal error) [277]. Thus, neurons in the cerebellum appear to have information necessary for predictive control, including temporal prediction of target appearance, coordination of movement timing, detection of errors, and updating of internal models. Because DN is the output node of the lateral cerebellum, the information is sent to the brainstem and to the cerebral cortex through the thalamus. Future studies are needed to clarify how these signals are integrated and converted between multiple cerebello-cortical loops. In addition, it is important to elucidate how the internal model of stimulus timing (or \"internal clock\" [269]), which is a prerequisite for predictive synchronization, emerges from the interplay between intrinsic cerebellar oscillatory properties [278] and cerebellar learning.\nEven in the absence of movement, the brain seems to generate internal models of periodic stimulus timing. When we perceive rhythm in periodic events, such as a musical beat, we can predict the timing of the next stimulus, focus our attention on that moment, and quickly notice slight changes in the rhythm. Rhythm perception involves the cerebellum and basal ganglia in addition to multiple areas in the cerebral cortex [279–281]. Recent studies in monkeys have explored the underlying neural mechanisms [282–285]. In one study, animals have been trained to detect an unexpected omission of periodic stimuli (the \"missing oddball\" paradigm). In this task, visual stimuli are repeatedly presented around the fixation point at a regular interval, and monkeys respond to the stimulus omission with eye movement (Fig. 6b). To detect stimulus absence, the animals need to learn the stimulus tempo and predict the timing of the next stimulus. Neurons in the cerebellar DN [286, 287], the striatum (caudate nucleus) [288], and the VL thalamus [289] exhibit periodic activity that gradually increases with stimulus repetition. This entrained activity is greatly reduced when the animals attempt to detect a change in stimulus color rather than the stimulus omission, suggesting that these activities are under top-down control and involved in predicting stimulus timing [286, 288–290].\nDo these internalized neural rhythms reflect predictions of stimulus timing or periodic preparation of eye movements? To distinguish these possibilities, neuronal activity in the cerebellum and striatum was examined by placing repetitive stimulus and saccade target independently on either side of the fixation point [291]. Many neurons did not change their activity significantly with any combination of stimulus location, suggesting that they have pure temporal information. However, in the population as a whole, DN neurons varied the amplitude of periodic activity depending on the location of repetitive stimulus and caudate nucleus neurons depending on the direction of future saccades. These results suggest that neurons in the cerebellum carry sensory information for repetitive stimuli and those in the striatum carry information related to motor preparation. Thus, the cerebellum appears to generate an internal model of sensory stimuli during rhythm perception, but the mechanism of generation awaits further study.\n\n\n### Predictive Synchronization\nThe cerebellum is essential for rhythmic movement. Patients with cerebellar damage have difficulty synchronizing their movements to periodic stimuli, especially when the sequence of movements is discontinuous [267]. Synchronized movement requires generation of internal models for periodic stimuli, monitoring of timing errors, and continuous updating of internal models [268, 269]. In general, more areas in the brain are activated during reactive movements to a series of randomly timed stimuli than during synchronized movements to periodic stimuli [270]. However, since some parts of the cerebellum and the frontal and parietal cortices show greater activity during synchronized movements [271, 272], these areas may be involved in the generation of the internal model.\nAlthough predictive synchronized movements to periodic stimuli were thought to be limited to species with vocal learning abilities, such as humans, songbirds, and dolphins [273], recent studies have shown that even monkeys can be trained to generate synchronized movements through reinforcement learning [274, 275]. Neuronal activity in the posterior part of the cerebellar DN, which sends signals through the thalamus to the frontal and supplementary eye fields [39, 276], was examined in monkeys trained to generate saccades in synchrony with periodic alternating left–right visual stimuli [277]. There were three types of neurons with increased activity either before ipsilateral saccades, before bilateral saccades, or immediately after saccades. Of these, neurons active before ipsilateral saccades showed ramping activity that correlated well with movement timing. However, these activities were also observed during reactive saccades to targets presented at random timing, suggesting that these signals regulate saccades independently of stimulus rhythm. On the other hand, neurons active before saccades in both directions showed greater activity during synchronized saccades, with peaks that coincided with the timing of visual stimuli rather than saccades, suggesting that they predict the timing of target appearance (Fig. 6a). Furthermore, post-saccade activity correlated well with the time difference between target appearance and saccades (that is, temporal error) [277]. Thus, neurons in the cerebellum appear to have information necessary for predictive control, including temporal prediction of target appearance, coordination of movement timing, detection of errors, and updating of internal models. Because DN is the output node of the lateral cerebellum, the information is sent to the brainstem and to the cerebral cortex through the thalamus. Future studies are needed to clarify how these signals are integrated and converted between multiple cerebello-cortical loops. In addition, it is important to elucidate how the internal model of stimulus timing (or \"internal clock\" [269]), which is a prerequisite for predictive synchronization, emerges from the interplay between intrinsic cerebellar oscillatory properties [278] and cerebellar learning.\n\n\n### Rhythm Perception\nEven in the absence of movement, the brain seems to generate internal models of periodic stimulus timing. When we perceive rhythm in periodic events, such as a musical beat, we can predict the timing of the next stimulus, focus our attention on that moment, and quickly notice slight changes in the rhythm. Rhythm perception involves the cerebellum and basal ganglia in addition to multiple areas in the cerebral cortex [279–281]. Recent studies in monkeys have explored the underlying neural mechanisms [282–285]. In one study, animals have been trained to detect an unexpected omission of periodic stimuli (the \"missing oddball\" paradigm). In this task, visual stimuli are repeatedly presented around the fixation point at a regular interval, and monkeys respond to the stimulus omission with eye movement (Fig. 6b). To detect stimulus absence, the animals need to learn the stimulus tempo and predict the timing of the next stimulus. Neurons in the cerebellar DN [286, 287], the striatum (caudate nucleus) [288], and the VL thalamus [289] exhibit periodic activity that gradually increases with stimulus repetition. This entrained activity is greatly reduced when the animals attempt to detect a change in stimulus color rather than the stimulus omission, suggesting that these activities are under top-down control and involved in predicting stimulus timing [286, 288–290].\nDo these internalized neural rhythms reflect predictions of stimulus timing or periodic preparation of eye movements? To distinguish these possibilities, neuronal activity in the cerebellum and striatum was examined by placing repetitive stimulus and saccade target independently on either side of the fixation point [291]. Many neurons did not change their activity significantly with any combination of stimulus location, suggesting that they have pure temporal information. However, in the population as a whole, DN neurons varied the amplitude of periodic activity depending on the location of repetitive stimulus and caudate nucleus neurons depending on the direction of future saccades. These results suggest that neurons in the cerebellum carry sensory information for repetitive stimuli and those in the striatum carry information related to motor preparation. Thus, the cerebellum appears to generate an internal model of sensory stimuli during rhythm perception, but the mechanism of generation awaits further study.\n\n\n### Cerebellar Internal Inverse Model (Huu Hoang, Hiroaki Gomi and Mitsuo Kawato)\nAn inverse model is a type of internal model that generates the necessary motor commands to achieve a desired movement goal (see also Chapter 10). In 1987, Kawato and colleagues introduced a hierarchical control model involving the cerebellar forward and inverse models for voluntary movement [292]. This model comprises two main components: feedback and feedforward controllers. The feedback controller, performed mainly by the motor cortex, functions in a reactive manner, modifying motor commands based on sensory feedback. Through learning, the feedforward controller is acquired by the cerebellum guided by error signals from the feedback controller, and produces the necessary motor commands in one-shot. The critical aspect of learning inverse models is the essential transformation of error signals from sensory to motor coordinates. During movement, the error signals represent the difference between the desired and actual trajectories, initially detected in sensory coordinates. The feedback controller converts these errors into motor coordinates, which are then used to train the cerebellum [167]. As the cerebellum refines its computations over time, the motor system becomes more efficient, with the feedforward controller taking on a more dominant role, as well as an improvement of feedback control (Fig. 7A) [293].\nTo experimentally address whether the cerebellum employs inverse models in a specific motor task, it is essential to examine the nature of the input–output relationship. If the cerebellum’s output aligns with movement dynamics in motor coordinates (such as generating motor commands or forces), it indicates the use of an inverse model. For eye movements, Shidara et al., [294] and Gomi et al., [295] have shown that PC input is associated with sensory coordinates, while their output is related to motor coordinates. This pattern indicates that the cerebellum transforms sensory information into motor commands, supporting the inverse model. For upper limb movements, Yamamoto et al. [296] identified PCs in the cerebellum that specifically represent movement dynamics, distinct from those representing movement kinematics. This functional separation supports the presence of inverse models in the cerebellum, as the PCs involved in encoding movement dynamics are closely linked to motor commands. Another line of evidence comes from CF inputs, which were shown to represent error signals in the motor coordinate [159, 164, 297]. In some studies, PC activity has been directly linked to movement execution [229, 298], reinforcing the role of inverse models.\nIt is worth noting that evidence also suggests the cerebellum employs forward models, which predict the sensory outcomes of motor commands (see Chapters 9 and 11). In their classical paper, Jordan and Rumelhart proposed that motor learning requires transforming sensory errors into motor command errors, which can be achieved by backpropagating sensory errors through forward models [299]. Accordingly, the cerebellum is thought to acquire multiple pairs of forward–inverse models to coordinate complex motor actions [300]. Haruno and colleagues proposed the \"Modular Selection And Identification for Control\" (MOSAIC) framework as a computational implementation of such internal models [301]. In this framework, multiple inverse models control the same object under different contexts, while corresponding forward models are trained to choose the most suitable set of inverse models for a specific context (Fig. 7B). Up to date, a substantial body of evidence supports the acquisition of cerebellar internal models across different species, including humans [257, 302], monkeys [303], rats [304], and larval zebrafish [305].\nThe cerebellar internal models, initially developed for motor tasks, can also be generalized to encompass cognitive functions [224] (see Chapter 2). Interestingly, recent works have suggested a potential role for the cerebellum in reward-based learning tasks [29, 30]. Considering the cerebellum's modular structure [177], it has been suggested that reward processing might also be modular [147]. Recently, Hoang and colleagues analyzed two-photon recordings of CF inputs to 6,000 PCs across 8 Aldolase-C compartments in Crus II during Go/No-go auditory discrimination tasks [306]. They employed a computational reinforcement learning framework, specifically Q-learning, to accurately reproduce the mice’s licking behavior, thereby estimating key reward-related variables—such as reward prediction and reward prediction errors (rPEs)—on a trial-by-trial basis. Subsequently, through advanced regression analyses, they revealed representations of both reward-related and sensorimotor variables distributed across multiple cerebellar modules [150]. Notably, CF activity was found to be negatively correlated with signed rPEs, decreasing after positive “better-than-expected” outcomes and increasing after negative “worse-than-expected” outcomes. During learning, both positive and negative rPEs diminished in magnitude, while CF activity shifted in the opposite direction—increasing with positive rPEs and decreasing with negative rPEs. By contrast, other studies suggest that CF inputs may encode unsigned rPEs, with activity enhanced regardless of outcome valence (see Chapter 8). Such discrepancies likely arise from the cerebellum’s modular organization, where distinct modules may implement different coding schemes [147, 177], as well as from differences in task design (e.g., discrimination tasks such as Go/No-go versus conditioning paradigms). Interestingly, the spatial distribution of these modules showed a remarkable alignment with the Aldolase-C expression patterns in the cerebellar cortex [307]. Despite this apparent alignment at the broader scale, the authors also observed that individual modules were often intermixed within a single cerebellar zone—and in some cases, even within single Purkinje cells—suggesting a finer organization that transcends classical Aldolase-C-defined boundaries [306]. The coexistence of overlapping modules within the same anatomical domain points toward a flexible computational framework, in which discrete functional modules can independently learn and adapt to task-specific demands while maintaining coordinated behavior through shared anatomical structure [308]. While still speculative, these findings suggest that the cerebellum may develop an internal model specifically suited to support modular reinforcement learning. This model likely involves a network loop that includes the IO nucleus, cerebral cortex, basal ganglia, and cerebellum. In this framework, the cerebellum receives predictive and negative rPE signals to guide motor behaviors, acting as a specific-context actor in reinforcement learning (Fig. 7C). Supporting this hypothesis, a spiking neural network of the cerebellum—with a modular architecture and bidirectional plasticity at the parallel fiber-Purkinje cell synapses—has successfully reproduced both behavioral outcomes and neural activity observed in Go/No-go task [150]. However, the mechanisms underlying interactions between the cerebellum and other brain areas in such modular reinforcement learning remain to be explored.\n\n\n### Artificial Recurrent Neural Circuit of the Cerebellum for Replicating Cerebellar Language Functions (Shogo Ohmae And Keiko Ohmae)\nThe cerebellum plays an essential role in various cognitive functions, including language (see also Chapter 2), in addition to its well-known involvement in motor control (see also Chapters 1,3,5,7,9,12, and 15). However, the circuit computations underlying its cognitive language functions remain largely unexplored. The cerebellar language functions include both motor and non-motor cognitive aspects [309, 310]. This article focuses on the non-motor cognitive language processing, but first introduces both aspects. The motor language function of the cerebellum is related to speech and vocalization, controlling the oropharyngeal vocal apparatus via the articulatory muscles. Neuroimaging studies show that this function involves the bilateral medial lobule VI, corresponding to the facial, tongue, and lip areas of the cerebellar sensorimotor body map. Damage to these areas causes dysarthria. In the DCN, the rostral and dorsal regions of the bilateral DN control vocalization and articulation [311]. In contrast, non-motor cognitive language processing involves the right lateral cerebellum (lobule VI, Crus I/II) and the ventral and caudal right DN. These regions connect closely to the language centers of the left neocortex [312], and the right cerebellar lateralization is thought to depend on the left neocortical lateralization [313]. These regions handle non-motor cognitive language functions such as language fluency, prediction, verb generation, grammar processing, semantic judgment, and linguistic working memory.\nThe circuit computations in the cerebellum underlying non-motor cognitive language processing remain unclear. As language processing is characteristic particularly in human cognition and cannot be studied through animal experiments, neuronal-level recordings that could shed light on these circuit computations are unavailable for the cerebellum. To address this, we created an artificial neural circuit modeling the cerebellar circuit structure, including the connection patterns of different cerebellar cell types. Additionally, we implemented biologically plausible inputs, outputs, and learning mechanisms to replicate the cerebellar language functions [314]. [Circuit Structure] While the cerebellum is often seen as a feedforward circuit, recent studies have shown that there are abundant feedback pathways from the output region, the DCN, to the input GCs. These include both direct projections [315–318] and indirect projections through the PN or brainstem [319–322], which are essential for cerebellar predictive function [318, 323, 324]. Based on this, we created a three-layer Recurrent Neural Network (RNN) that modeled the cerebellum, connecting input cells, PCs, and output cells through both feedforward and feedback pathways. [Input–Output of the Circuit] The right lateral cerebellum (Crus I/II) is involved in predicting the next word in a sentence (Fig. 8a) [325–328]. During this process, the cerebellum is considered to sequentially receive the word input and output the prediction of the next word [325, 326, 329], and we adopted this proposal to configure the input–output for our artificial cerebellar circuit. This setup aligns with the internal model theory, which states that the central function of the cerebellum is \"to create internal models of the world in order to predict future events,\" and with its extension to language processing. [Learning Mechanisms] We followed the widely accepted proposal that the IO, which provides essential information for cerebellar learning, calculates prediction errors, and assumption that the IO compares the predicted next word (cerebellar output signal) with the actual next word to calculate the prediction error, which is fed back to the cerebellum to update synaptic weights and improve future predictions [129, 329].\nAs a result, when the artificial cerebellar circuit was trained for next-word prediction, it not only acquired the ability to predict the next word (Fig. 8b, red arrow), but also the intermediate layer of the word prediction circuit (PCs) spontaneously developed the syntactic processing ability, another language function of the cerebellum [309, 330–333] (Fig. 8b, blue). As previously mentioned, next-word prediction aligns with the internal model theory, a core function of the cerebellum. Among the language tasks involving the right lateral cerebellum (such as language fluency, prediction, verb generation, grammar construction, semantic judgment, and working memory), the next-word prediction function likely contributes to language fluency, prediction, and working memory (note that the feedback pathway stores past word information for prediction). On the other hand, syntactic processing aligns with the sequence processing theory, which proposes another key function of the cerebellum. Sequence processing is essential for functions such as grammar construction and semantic judgment (see the list above). This suggests that the next word prediction and syntactic processing are the core of language functions of the cerebellum. Traditionally, these two functions have been viewed as fundamentally distinct. However, our cerebellar model, represented by a three-layer RNN circuit that predicts the future word based on past word inputs and learns from the prediction error, has demonstrated that both functions can be explained in a unified manner as the two outputs of the single circuit computation. While efforts to understand human cognitive functions through the biologically plausible artificial neural circuits is still in their early stages, this promising field is expected to grow, leading to exciting discoveries in the future.\n\n\n### Cerebellar Reserve and the Cortico-DCN Loop Model (Hiroshi Mitoma and Mario Manto)\nCerebellar reserve is defined as “the capacity of the cerebellum to compensate and restore function in response to pathologies” [334]. The concept was originally proposed to account for differences in the susceptibility of the cerebral cortex and basal ganglia to the aging process or pathological damage [335–337]. Basically, the reserve moderates pathology and influences outcome [335]. On the other hand, the concept of cerebellar reserve places more emphasis on the capacity of the cerebellum to restore lost function and resist to pathological damage [334]. These salient features date back to the classic paper of Sir G. Holmes [338]. In the case of acute and localized lesions, the surrounding neural circuits are responsible for compensation and repair (referred to as structural cerebellar reserve), whereas in the case of chronic and diffuse lesions, the compensation and repair processes occur in the affected area (referred to as functional cerebellar reserve) [334].\n\n\n### Definition and Characteristics of Cerebellar Reserve\nCerebellar reserve is defined as “the capacity of the cerebellum to compensate and restore function in response to pathologies” [334]. The concept was originally proposed to account for differences in the susceptibility of the cerebral cortex and basal ganglia to the aging process or pathological damage [335–337]. Basically, the reserve moderates pathology and influences outcome [335]. On the other hand, the concept of cerebellar reserve places more emphasis on the capacity of the cerebellum to restore lost function and resist to pathological damage [334]. These salient features date back to the classic paper of Sir G. Holmes [338]. In the case of acute and localized lesions, the surrounding neural circuits are responsible for compensation and repair (referred to as structural cerebellar reserve), whereas in the case of chronic and diffuse lesions, the compensation and repair processes occur in the affected area (referred to as functional cerebellar reserve) [334].\n\n\n### Neural Mechanisms of Cerebellar Reserve: “the Cortico-DCN Loop Model”\nOne of the neural mechanisms underlying cerebellar reserve is redundancy and diverse synaptic plasticity in the cerebellar cortex [339]. This is explained by the unique anatomical properties of the cerebellar circuitry in terms of cellular connectivity and geometrical structure. Approximately 60–80% of the whole brain’s 85–100 billion neurons are located in the cerebellum, although the cerebellum represents only about 10% of the brain mass [340, 341]. In addition, the branching patterns of individual MFs, which carry signals from the cerebral cortex and periphery, are highly divergent, especially along the mediolateral axis [342] and, therefore, MF inputs are highly convergent to each microzone, the functional unit in the cerebellar cortex arranged in a rostro-caudal direction [339]. The PF axons of the cerebellar granular cells form approximately 180,000 synapses with the dendrites of a single PC, though the majority of these synapses (approximately 85%) are silent [343]. It is assumed that the multiple forms of synaptic plasticity based on such redundancy of neuronal numbers and inputs can functionally reconstruct lost functions [339]. It is noteworthy that cerebellar reserve requires the proper functioning of the cerebellar cortex and the DCN. Clinical studies have shown that lesions affecting the DCN are not fully compensated for at any developmental age [344, 345].\nThe cooperative function of the cerebellar cortex and the DCN can be seen in the neural mechanism of the internal forward model, i.e., state predictor, based on Kalman filter computation. The Kalman filter model characteristically divides the predictive control of movement into two functions: a prediction process and a filtering process, which integrates predictions and peripheral feedback [265]. Tanaka et al. (2019)[265] have demonstrated that the cerebellar cortex is responsible for the prediction process of the Kalman filter model, while the DCNs are responsible for the filtering process, based on the neural activity of PCs, MFs, and DCN neurons recorded during hand step-tracking movements in monkeys [265] (see also Chapters 10, and 15).\nEvidence suggests a bidirectional interaction between online predictive control and learning. Continuous predictive control, crucial for accurate movement, appears to facilitate learning by updating the internal forward model through repeated cycles of prediction and error correction, as demonstrated by Tseng et al. (2007) [346]. Therefore, we propose the “cortico-DCN loop model” as a model of cooperation between cerebellar cortex and DCN. This model assumes that the activity of the neural network determined by the Kalman filter model also operates in the cerebellar reserve [347] (see also Chapters 10 and 15). Accordingly, the cerebellar cortex performs predictive computations, and the DCN filters the predictions and peripheral feedbacks to reconstruct lost functions [347].\nFigure 9 illustrates the relationship between disease progression and cerebellar reserve, as well as the severity of CAs (CAs; Fig. 9). The ordinate represents the level of residual cerebellar reserve, which is closely tied to the severity of CAs. This correlation is underpinned by the shared neural mechanisms governing cerebellar reserve and online prediction control, both of which operate under Kalman filter theory (see also Chapters 10 and 15). Clinically, the severity of CAs is categorized into four stages based on the extent of clinical manifestations: asymptomatic stage, prodromal stage, symptomatic restorable stage, and symptomatic non-restorable stage.Fig. 9The concept and relationship between the restorable stage and cerebellar reserve. The clinical course is divided into four stages: asymptomatic stage, prodromal stage, and ataxic stage (subdivided in symptomatic restorable stage and symptomatic non-restorable stage). Even in cases where etiology-based therapy is not feasible, if the patient presents in a restorable stage, cerebellar reserve-enhancing therapy may be considered to improve, stabilize, or delay the progression of cerebellar ataxias (CAs). Extra-cerebellar structures contributing to the compensatory are not shown\nThe concept and relationship between the restorable stage and cerebellar reserve. The clinical course is divided into four stages: asymptomatic stage, prodromal stage, and ataxic stage (subdivided in symptomatic restorable stage and symptomatic non-restorable stage). Even in cases where etiology-based therapy is not feasible, if the patient presents in a restorable stage, cerebellar reserve-enhancing therapy may be considered to improve, stabilize, or delay the progression of cerebellar ataxias (CAs). Extra-cerebellar structures contributing to the compensatory are not shown\nFigure 9 shows two pathological conditions [334]: (1) cerebellar reserve decreases with disease progression, and (2) there is a threshold for cerebellar reserve. Crossing that threshold coupled with loss of cerebellar reserve leads to failure of recovery of cerebellar reserve and CAs, which will remain unchanged even after halting the disease progression process. The above findings were described in a state-of-the-art study on the post-treatment outcomes of various immune-mediated CAs (IMCAs) [334]. Thus, as with IMCAs, even if we use therapeutic agents that are known to directly control the degenerative pathological changes in the cerebellum, the effects of etiology- and pathogenesis-based therapies will be limited by the constraints imposed by the cerebellar reserve. Two strategies can be employed to address this problem. First, treatment should be initiated while there is still a remaining cerebellar reserve [348]. We have already emphasized the importance of early diagnosis and treatment by promoting the phrase \"time is cerebellum\" [349]. Atrophy on MRI or CT scans can be a marker of cerebellar reserve. However, there are many cases in which reserve is lost even in the presence of only mild atrophy. Therefore, recent years have witnessed extensive search for pathology-related biomarkers that can detect early stages of the disease process (asymptomatic and prodromal stages) to help guide treatment decisions. Candidate molecules, such as neurofilament light chain (Nfl), have been identified recently [350]. On the other hand, from the perspective of cerebellar reserve, it is preferable to directly detect abnormalities in the operation of neural circuits, since the cerebellar reserve is formed by neural circuits.\nSecond, treatment modalities that can strengthen the cerebellar reserve itself should be introduced [348]. These include rehabilitation, non-invasive cerebellar stimulation (NICS), and neurotransplantation. In fact, the beneficial role of motor rehabilitation in enhancing cerebellar plasticity to alleviate CAs was reported more than a decade ago [351]. Similarly, one of the mechanisms by which NICS ameliorates CAs is thought to be the induction of cerebellar cortical plasticity and the long-lasting changes in the cerebellar control of the cerebral cortex and spinal cord [352, 353]. Neurotransplantation, a promising future treatment, remains currently very challenging to reconstruct and replace complex cerebellar neural circuits [354]. Rather, neurotransplantation is expected to prevent neuronal damage and promote plasticity [354]. In support of such scenario, one study reported that transplantation of mesenchymal stem cells into the cerebellum of newborn Lurcher mice produced neurotrophic factors, such as brain-derived neurotrophic factor (BDNF), which can potentiate glutamatergic and GABAergic transmission [355]. These therapies can counteract the decline in cerebellar reserve as the disease progresses and increase cerebellar reserve [348]. The gentle slope or cessation of the progression curve in the Figure represents the effects of therapies on the cerebellar reserve.\n\n\n### Therapeutic Strategies based on Cerebellar Reserve\nFigure 9 illustrates the relationship between disease progression and cerebellar reserve, as well as the severity of CAs (CAs; Fig. 9). The ordinate represents the level of residual cerebellar reserve, which is closely tied to the severity of CAs. This correlation is underpinned by the shared neural mechanisms governing cerebellar reserve and online prediction control, both of which operate under Kalman filter theory (see also Chapters 10 and 15). Clinically, the severity of CAs is categorized into four stages based on the extent of clinical manifestations: asymptomatic stage, prodromal stage, symptomatic restorable stage, and symptomatic non-restorable stage.Fig. 9The concept and relationship between the restorable stage and cerebellar reserve. The clinical course is divided into four stages: asymptomatic stage, prodromal stage, and ataxic stage (subdivided in symptomatic restorable stage and symptomatic non-restorable stage). Even in cases where etiology-based therapy is not feasible, if the patient presents in a restorable stage, cerebellar reserve-enhancing therapy may be considered to improve, stabilize, or delay the progression of cerebellar ataxias (CAs). Extra-cerebellar structures contributing to the compensatory are not shown\nThe concept and relationship between the restorable stage and cerebellar reserve. The clinical course is divided into four stages: asymptomatic stage, prodromal stage, and ataxic stage (subdivided in symptomatic restorable stage and symptomatic non-restorable stage). Even in cases where etiology-based therapy is not feasible, if the patient presents in a restorable stage, cerebellar reserve-enhancing therapy may be considered to improve, stabilize, or delay the progression of cerebellar ataxias (CAs). Extra-cerebellar structures contributing to the compensatory are not shown\nFigure 9 shows two pathological conditions [334]: (1) cerebellar reserve decreases with disease progression, and (2) there is a threshold for cerebellar reserve. Crossing that threshold coupled with loss of cerebellar reserve leads to failure of recovery of cerebellar reserve and CAs, which will remain unchanged even after halting the disease progression process. The above findings were described in a state-of-the-art study on the post-treatment outcomes of various immune-mediated CAs (IMCAs) [334]. Thus, as with IMCAs, even if we use therapeutic agents that are known to directly control the degenerative pathological changes in the cerebellum, the effects of etiology- and pathogenesis-based therapies will be limited by the constraints imposed by the cerebellar reserve. Two strategies can be employed to address this problem. First, treatment should be initiated while there is still a remaining cerebellar reserve [348]. We have already emphasized the importance of early diagnosis and treatment by promoting the phrase \"time is cerebellum\" [349]. Atrophy on MRI or CT scans can be a marker of cerebellar reserve. However, there are many cases in which reserve is lost even in the presence of only mild atrophy. Therefore, recent years have witnessed extensive search for pathology-related biomarkers that can detect early stages of the disease process (asymptomatic and prodromal stages) to help guide treatment decisions. Candidate molecules, such as neurofilament light chain (Nfl), have been identified recently [350]. On the other hand, from the perspective of cerebellar reserve, it is preferable to directly detect abnormalities in the operation of neural circuits, since the cerebellar reserve is formed by neural circuits.\nSecond, treatment modalities that can strengthen the cerebellar reserve itself should be introduced [348]. These include rehabilitation, non-invasive cerebellar stimulation (NICS), and neurotransplantation. In fact, the beneficial role of motor rehabilitation in enhancing cerebellar plasticity to alleviate CAs was reported more than a decade ago [351]. Similarly, one of the mechanisms by which NICS ameliorates CAs is thought to be the induction of cerebellar cortical plasticity and the long-lasting changes in the cerebellar control of the cerebral cortex and spinal cord [352, 353]. Neurotransplantation, a promising future treatment, remains currently very challenging to reconstruct and replace complex cerebellar neural circuits [354]. Rather, neurotransplantation is expected to prevent neuronal damage and promote plasticity [354]. In support of such scenario, one study reported that transplantation of mesenchymal stem cells into the cerebellum of newborn Lurcher mice produced neurotrophic factors, such as brain-derived neurotrophic factor (BDNF), which can potentiate glutamatergic and GABAergic transmission [355]. These therapies can counteract the decline in cerebellar reserve as the disease progresses and increase cerebellar reserve [348]. The gentle slope or cessation of the progression curve in the Figure represents the effects of therapies on the cerebellar reserve.\n\n\n### The Cerebellum as a General Prediction Machinery (Shinji Kakei and Takahiro Ishikawa)\nIn our recent studies, we provided neural evidence that the motor part of the cerebrocerebellum predicts future motor cortical activities from present MF inputs in a manner compatible with a Kalman filter (a special type of internal forward model)(Fig. 10A)[127, 265, 356, 357](see also chapter 10, and Figs. 1 and 2 in a review by D’Angelo et al. [358]).Fig. 10The forward model and its implementation in the cerebrocerebellum. (A): Schema of closed-loop optimization. The Estimator (forward model) receives the Efference copy of the Motor command and the delayed Sensory feedback (Sensory signal) to compensate for the feedback delay. Note that the Estimator and the Controller form a closed loop. Thus, they continue to generate motor commands even when sensory feedback is unavailable or unreliable. (B) and (C): Two types of cortico-nuclear organization. (B) The cortico-nuclear organization compatible with the forward model in (A). In this scheme, MFs (MFa) from pontine nuclei (PN) project to the cerebro-cerebellum (CBXa) without collaterals to DN, whereas other MFs (MFb) project to DN with collaterals. Note that MFa and MFb have distinct origins and projection areas in CBX. (B) is consistent with the latest morphologic data for the cerebrocerebellum. (C) The textbook scheme of cortico-nuclear organization for the flocculus. It is incompatible with the forward model in (A). In this scheme, the same MF from the labyrinth projects to the flocculus and VN with collaterals (coll). CBX, cerebellar cortex; coll, collateral; DN, dentate nucleus; GC, granule cell; In, input; MF, mossy fiber; MLI, molecular layer interneuron; PC, Purkinje cell; PF, parallel fiber; PN, pontine nuclei. Modified from [127] under CC-BY license\nThe forward model and its implementation in the cerebrocerebellum. (A): Schema of closed-loop optimization. The Estimator (forward model) receives the Efference copy of the Motor command and the delayed Sensory feedback (Sensory signal) to compensate for the feedback delay. Note that the Estimator and the Controller form a closed loop. Thus, they continue to generate motor commands even when sensory feedback is unavailable or unreliable. (B) and (C): Two types of cortico-nuclear organization. (B) The cortico-nuclear organization compatible with the forward model in (A). In this scheme, MFs (MFa) from pontine nuclei (PN) project to the cerebro-cerebellum (CBXa) without collaterals to DN, whereas other MFs (MFb) project to DN with collaterals. Note that MFa and MFb have distinct origins and projection areas in CBX. (B) is consistent with the latest morphologic data for the cerebrocerebellum. (C) The textbook scheme of cortico-nuclear organization for the flocculus. It is incompatible with the forward model in (A). In this scheme, the same MF from the labyrinth projects to the flocculus and VN with collaterals (coll). CBX, cerebellar cortex; coll, collateral; DN, dentate nucleus; GC, granule cell; In, input; MF, mossy fiber; MLI, molecular layer interneuron; PC, Purkinje cell; PF, parallel fiber; PN, pontine nuclei. Modified from [127] under CC-BY license\nA Kalman filter consists of two steps and features a unique corticonuclear microcomplex (CNMC) shown in Fig. 10B (for various CNMCs, see a review by Apps and Garwicz [315]). The first prediction step performs the predictive computation using efference copy inputs (IN1, MFa). This step is located in the cerebellar cortex (CBXa), and the activities of the PCs encode its output (Prediction)[265]. The second filtering step is located in DN. This step integrates Prediction with the latest feedback inputs (Filtering)(IN2, MFb)[265]. Regarding the prediction by the Kalman filter, the prediction step in CBXa plays the primary role, and the filtering step in DN plays the secondary role.\nWe also found that the timing of the DN activities in the cerebrocerebellum was consistent with the cerebellar Kalman filter hypothesis [266, 357]. The DN activities precede the actual movement by about 90 ms. The lead times of the DN modulations were slightly earlier than those of the task-related muscle activities [357]. On the other hand, the DN activities follow the activities of M1 and the ventral PM [266, 357]. Overall, the DN activities appear to predict the future state of the motor apparatus rather than the motor command or the feedback signal. Namely, the DN activities in the cerebrocerebellum are consistent with the cerebellar Kalman filter (or, more generally, forward model) hypothesis regarding timing, representation, and transformation of activities.\nFollowing the prediction of the cerebellar forward model hypothesis, we confirmed impaired predictive control in patients with CA [359–361]. First, CA patients manifested increased errors in velocity control for a visually-guided pursuit movement (Fig. 5 in [361]). Second, CA patients also exhibited an increased delay in the predictive component of the pursuit movement. In the control subjects, the predictive component lagged the target motion by only 66 ms, which was too short for a visual feedback delay [361]. The slight delay provided proof of the predictive nature of the component. In CA patients, however, the delay increased by more than 100 ms, as much as 172 ms. The increased delay was comparable to a visual feedback delay, proving a lack of compensation for sensory feedback delay due to the impaired forward model. In summary, we confirmed the impairments of the forward model regarding accuracy and delay of state prediction in CA patients.\nThe predictive nature is not the monopoly of the cerebrocerebellum, the newer part of the cerebellum. In the flocculus, an older part of the cerebellum, the neuron circuitry of the CNMC (Fig. 10C) is inconsistent with the forward model (or Kalman filter), where PCs and vestibular nuclear cells (VNCs) share the common MF input. Nevertheless, the flocculus PC input to VNCs is essential for generating a phase advance in VNC activities (p198 in [138]). Note that the phase advance is critical to maintaining a stable gaze by minimizing the effect of the head motion in a feedforward (i.e., predictive) manner (Fig. 9A in [138]).\nThe flocculus also plays a crucial role in the feedback control of smooth pursuit eye movements by minimizing pursuit errors. We use the term “feedback” because its output to the extraocular muscles directly influences the retinal position of the target (i.e., the input). Note that the performance of the smooth pursuit depends on the prediction accuracy of the target motion and the eye movement. This way, the prediction prevails even when the cerebellum contributes directly to motor control (see also Chapter 12).\nConsidering the well-known “crystal-like” regularity of the cerebellar cortical neuron circuitry and the predictive computations in the cerebellar cortex already discussed in Chapters 1 through 15, we propose that the entire cerebellar cortex operates as prediction machinery. The outputs from the cerebellum facilitate various predictive operations in extra-cerebellar targets, regardless of the origins or modalities of MF inputs and variations of connectivity in the CNMC [138]. The cerebellum serves almost the entire brain, including the cortical areas, the brain stem, the basal ganglia [26, 27], the limbic system, the hypothalamus, and the autonomic nervous system [31–33]. The cerebellar prediction machinery generates automatized parallel outputs unconsciously to maximize the organism's survival by optimizing its fitness to the environment. For instance, it helps to maintain homeostasis by coordinating the autonomic nervous system. It helps to generate dexterous actions by organizing the segmental movements. It helps to organize a complex behavior by arranging an optimal order of actions. It helps to optimize behavioral outcomes by employing more rewarding tactics based on experience.\n\n\n### Discussion\nIn this Consensus paper, the panel of experts tried to provide updates for novel system-level models of cerebellar function based on advances of the last decades. In other words, we thought it was premature to propose the grand unified theory of the cerebellum based on sound experimental evidence. Therefore, we focused on the cerebellar models that interpret the cerebellar function in the brain as a system and did not suggest a general unified theory for the entire cerebellum. On the other hand, there is a rich literature attesting formidable attempts to resolve the structure–function-dynamics relationship of the cerebellar circuit [e.g., 34, 199, 201, 278, 315, 358]. This issue pertains to more mechanistic models of cerebellar local circuits rather than system-level models. In this paper, we chose to lean towards the more system-level models. Although both types of models are equally essential to get to our ultimate goal, the grand unified theory of the cerebellum, there remains a gap between the mechanistic-level models and the system-level models. To connect the two levels, we need to identify neural encoding for each element and its transition through the cerebellar neuron circuitry in behaving animals. For the time being, we can present some hints towards the unified theory for the cerebellar cortex, encouraged by the crystal-like uniformity of the cerebellar cortical neuron circuitry (for instance, the universal cerebellar transform (UCT) in Chapter 2, or “the prediction machinery” in Chapter 15). It should also be noted that an artificial cerebellar circuit model (Chapter 13) may provide a promising way to analyze both representation and information transformation in the cerebellum especially for higher brain functions.\nIn the following, we are going to focus on the seven points that are related to system-level models of the cerebellum.Expansion of cerebellar functional domainsMorphological consistency of the cerebellar cortex and functional variety of CNMCAnalyzing the CS activity and its originDivergence of the CS activityThe duality of CS-induced plasticity in the cerebellar cortexCS-induced effects on DCN outputApplication of cerebellar models to elucidate CA\nExpansion of cerebellar functional domains\nMorphological consistency of the cerebellar cortex and functional variety of CNMC\nAnalyzing the CS activity and its origin\nDivergence of the CS activity\nThe duality of CS-induced plasticity in the cerebellar cortex\nCS-induced effects on DCN output\nApplication of cerebellar models to elucidate CA\nFor many years, in the era of the classical MAI model, the cerebellum was believed to regulate the specific aspects of motor coordination. However, recent advances in neuroanatomical (Chapter 1), neurophysiological (Chapters 7 and 8), and fMRI (Chapter 2) studies have added a number of brain regions that have close relationships with the cerebellum. The target of the cerebellar output includes the brain stem, the hypothalamus, the limbic system, the basal ganglia (which includes the dopamine system)(Chapters 1,and 8), the association cortices, as well as the sensorimotor cortices (Chapters 2,5,6,7,9,10,11,12, and 15). In particular, the basal ganglia, the newest member of the cerebellar club, were thought to be independent of the cerebellar function. Nevertheless, recent evidence from both operant and Pavlovian conditioning tasks has revealed climbing fiber signals that share common features with the instructional signals necessary for reinforcement learning, and rPEs (Chapter 8). For instance, climbing fibers respond to reward in naive animals, and to conditioned stimuli that predict reward in trained animals [147, 176, 179, 227, 228]. It is evident that the cerebellum is involved in all levels of neural function, ranging from the lowest level of autonomic functions to the highest level of cognitive-affective functions.\nThe diversity of the cerebellar functional domains, including motor control (Chapters 7,9,10, and 12), autonomic functions [31–33, 138], and cognitive-affective functions (Chapters 2,8,11, and 13), appears to require a specialized input–output transformation for each domain. On the other hand, if we focus on the cerebellar cortex, its structure is so uniform that it is often described as \"crystalline,\" and a standard conversion rule is assumed in the cerebellar cortex regardless of the region (Chapters 2,7, and 15). Shcmahmann's UCT is an example (Chapter 2). On the other hand, there are site-specific differences in the input–output structures of CNMCs [138](Chapter 15). A CNMC is defined as a set of “a cortical microzone and an associated small group of DCN cells dedicated to a single function” (p. 198 in [138]). While the microzone of the cerebellar cortex is characterized by crystalline uniformity, the interface circuits of CNMCs, i.e., the pattern of MF and CF inputs, show marked local differences. For instance, Ito pointed out six examples of CNMCs based on the difference of main MF inputs to the cortical microzone and of collateral MF inputs to the DCN cells (Fig. 9 in [138]). Overall, a CNMC has a uniform microzone but achieves a specific function due to the variation of its peripheral circuits.\nIn the MAI model, CS activities were assumed to convey instruction (i.e., error) signals for cerebellar learning. Thus, CS activity in behaving animals has been recorded under various experimental set-ups, such as goal-directed movements [357, 362–364], ocular-following movement [297], saccade eye movement [365], stepping movement [366, 367], or eye-blink conditioning [28]. In these studies, CS activity demonstrated task-specific patterns of modulation. For example, CS activity that coincides with the onset of reaching movement was repeatedly observed in NHP [357, 362–364]. This type of CS activity was observed in successful trials where animals were overtrained with minimal reaching errors. So, it was not amenable to a simple interpretation of error or failure. Kitazawa et al. [159] advanced the analysis of CS activity to the next stage. They reported that single CFs encode three distinct components of information in different time periods during reaching movements: Peak 1: target position; Peak 2: error in prediction; Peak 3: end-point error given by vision (Chapter 5). In retrospect, the CS activity at the movement onset in the over-trained NHPs [362, 363] corresponds to the Peak 1 component (target position). In the same year, Kobayashi et al. [297] (Chapter 12) also reported that CSs conveyed two components of information (sensory and motor) during ocular following movement. These results suggest that the IO (i.e., the origin of CFs) neurons receive convergent inputs from multiple sources (Chapter 5).\nNext, it is vital to prove the causal relationship between the CS signals and the adjustment of movement errors (Chapter 5). Inoue and Kitazawa [160] (Chapter 5) traced the three error signals to RNp and further back to motor areas (areas 4 and 6) and parietal areas (areas 5 and 7). Furthermore, they confirmed the causal link from the CS signals to the adjustment of error in reaching by stimulating RNp just after the end of the movement to provide artificial error signals. A similar multiplexed CS signal was also reported during the saccade eye movement in NHP [365]. In this experiment, PCs receive a multiplexed climbing fiber input that merges complementary streams of information on the behavior, separable by the recipient PC because they are staggered in time.\nCS discharge encodes a wide range of behavioral aspects. Importantly, the more studies address the CS error hypothesis, the more exceptions are documented (Chapter 7). For instance, the cerebellum plays a critical role in predicting the time of future sensory events and using that information to precisely control the timing of anticipatory actions (Chapters 6, and 7) [172, 173]. Recent experiments have revealed that the activity of CFs during cerebellar learning tasks displays a hallmark of TD-error signals (Chapters 6 and 7)[28, 146, 147, 175–180]. Furthermore, recent evidence has also suggested that neural activity in the cerebellum can resemble the predictions of reinforcement learning during the tasks guided by reward predictions (Chapters 7 and 8)[226]. Such learning has traditionally been associated with the basal ganglia and signals from midbrain dopamine neurons [123]. Nevertheless, recent studies have demonstrated that the dopamine neurons receive direct input from the cerebellum [63, 64], suggesting that the cerebellum is more tightly integrated into the brain’s reward learning system than previously assumed [27]. In the field of machine learning, TD learning, which utilizes TD-error, is one of the most effective algorithms for model-free reinforcement learning. Therefore, if the CS activities truly contribute to learning the optimal policy or value function through trial-and-error interaction with the environment, it signifies an essential departure from the original MAI model, which assumes model-based supervised learning (Chapters 6–8). A partial explanation for the coexistence of the distinct types of CS activities in different studies (Chapters 4,5,6,7,8,9,11, and 12) may be convergent inputs to the IO (Chapter 5) and the current limitation of experimental designs to manipulate these inputs systematically.\nIn previous studies of CS-dependent cerebellar learning, attention has focused on the PF-PC synapse. Consequently, the plasticity of the CNMC has been discussed primarily in terms of CS-dependent LTD at this synapse. However, this viewpoint addresses only part of cerebellar learning. It is also known that CS activity induces concurrent and reciprocal long-term potentiation (LTP) in the PF-MLI-PC pathway [368, 369] (Fig. 11). Although the LTP in the PF-MLI-PC pathway has received relatively little attention, the task-related inhibition of PCs by MLIs provides the primary drive to facilitate DCN cells through disinhibition during wrist movements in NHP [357]. Fakharian et al. [253](Chapter 9) also demonstrated that the inhibition of PCs by MLIs excites DCN cells via the exact disinhibition mechanism, halting the saccade at the target. It should also be noted that the PF-MLI-PC pathway has a much lower threshold than the PF-PC pathway [370]. We must devote more effort to studying the physiology of MLIs to understand CS-induced cerebellar learning as suggested before [371].Fig. 11Effects of CS-induced plasticity on PC and DCN cell. (A) Direct PF input to PC activates PCs (note the plus (+) sign on the synapse), while indirect PF input to PC via MLI inhibits PCs (note the minus (-) sign on the synapse). (B) Concomitant CS activity induces reciprocal plasticity on the two pathways: LTD for PF pathway (LTD/CS) and LTP for PF-MLI pathway (LTP/CS) (i)(ii) [368]. Note that the LTP of PF-MLI inhibition and the LTD of PF excitation provide additive suppression of PC (iii). Finally, the CS-induced PC depression facilitates DCN cell response (= cerebellar output) by disinhibition (iv)\nEffects of CS-induced plasticity on PC and DCN cell. (A) Direct PF input to PC activates PCs (note the plus (+) sign on the synapse), while indirect PF input to PC via MLI inhibits PCs (note the minus (-) sign on the synapse). (B) Concomitant CS activity induces reciprocal plasticity on the two pathways: LTD for PF pathway (LTD/CS) and LTP for PF-MLI pathway (LTP/CS) (i)(ii) [368]. Note that the LTP of PF-MLI inhibition and the LTD of PF excitation provide additive suppression of PC (iii). Finally, the CS-induced PC depression facilitates DCN cell response (= cerebellar output) by disinhibition (iv)\nNote that the concomitant plasticity induced by CS—LTD at the PF-PC synapse and LTP at the PF-MLI synapse—enhances the activation of DCN cells in response to MF inputs by reducing PC inhibition on DCN cells (i.e., disinhibition) (Fig. 11). Overall, while CSs induce LTD in PC responses to MF inputs, this LTD is reversed to LTP at the cerebellar outputs (DCN cells) due to the disinhibition of DCN cells. In essence, CS activity enhances concomitant DCN cell outputs by penalizing facilitatory inputs and potentiating inhibitory inputs to PCs. The facilitatory CS effect on the DCN output may resolve the two seemingly contradictory CS activities: one is compatible with model-based supervised learning (i.e., the original MAI model), while the other is compatible with model-free reinforcement learning. Because both are facilitatory on the cerebellar output.\nConsidering the variability of the input–output organization of CNMC, it is most likely that different types of CNMCs have evolved in different cerebellar regions for different functions. Therefore, they are modeled in different ways (Chapters 4,6,7,8,9,10,11,12,14, and 15).\nIn Chapter 14, Mitoma and Manto introduced a CNMC model to explain the remarkable capacity of the cerebellum to restore lost function by reorganizing the damaged cerebellar circuitry, i.e., the cerebellar reserve. Specifically, they used a cerebellar Kalman filter model (Chapter 10) for the cerebrocerebellum [334] to consider the function of the cerebellar cortex (prediction) and the DCN (filtering) separately. Although their model is hypothetical and needs to be validated with more clinical and physiological studies, it may provide a unique model-based tool to decode and evaluate CA.\n\n\n### Expansion of the Cerebellar Functional Domains\nFor many years, in the era of the classical MAI model, the cerebellum was believed to regulate the specific aspects of motor coordination. However, recent advances in neuroanatomical (Chapter 1), neurophysiological (Chapters 7 and 8), and fMRI (Chapter 2) studies have added a number of brain regions that have close relationships with the cerebellum. The target of the cerebellar output includes the brain stem, the hypothalamus, the limbic system, the basal ganglia (which includes the dopamine system)(Chapters 1,and 8), the association cortices, as well as the sensorimotor cortices (Chapters 2,5,6,7,9,10,11,12, and 15). In particular, the basal ganglia, the newest member of the cerebellar club, were thought to be independent of the cerebellar function. Nevertheless, recent evidence from both operant and Pavlovian conditioning tasks has revealed climbing fiber signals that share common features with the instructional signals necessary for reinforcement learning, and rPEs (Chapter 8). For instance, climbing fibers respond to reward in naive animals, and to conditioned stimuli that predict reward in trained animals [147, 176, 179, 227, 228]. It is evident that the cerebellum is involved in all levels of neural function, ranging from the lowest level of autonomic functions to the highest level of cognitive-affective functions.\n\n\n### Morphological Uniformity of the Cerebellar Cortex and Morphological Diversity of CNMC\nThe diversity of the cerebellar functional domains, including motor control (Chapters 7,9,10, and 12), autonomic functions [31–33, 138], and cognitive-affective functions (Chapters 2,8,11, and 13), appears to require a specialized input–output transformation for each domain. On the other hand, if we focus on the cerebellar cortex, its structure is so uniform that it is often described as \"crystalline,\" and a standard conversion rule is assumed in the cerebellar cortex regardless of the region (Chapters 2,7, and 15). Shcmahmann's UCT is an example (Chapter 2). On the other hand, there are site-specific differences in the input–output structures of CNMCs [138](Chapter 15). A CNMC is defined as a set of “a cortical microzone and an associated small group of DCN cells dedicated to a single function” (p. 198 in [138]). While the microzone of the cerebellar cortex is characterized by crystalline uniformity, the interface circuits of CNMCs, i.e., the pattern of MF and CF inputs, show marked local differences. For instance, Ito pointed out six examples of CNMCs based on the difference of main MF inputs to the cortical microzone and of collateral MF inputs to the DCN cells (Fig. 9 in [138]). Overall, a CNMC has a uniform microzone but achieves a specific function due to the variation of its peripheral circuits.\n\n\n### Decoding CS Activity and Identification of its Source\nIn the MAI model, CS activities were assumed to convey instruction (i.e., error) signals for cerebellar learning. Thus, CS activity in behaving animals has been recorded under various experimental set-ups, such as goal-directed movements [357, 362–364], ocular-following movement [297], saccade eye movement [365], stepping movement [366, 367], or eye-blink conditioning [28]. In these studies, CS activity demonstrated task-specific patterns of modulation. For example, CS activity that coincides with the onset of reaching movement was repeatedly observed in NHP [357, 362–364]. This type of CS activity was observed in successful trials where animals were overtrained with minimal reaching errors. So, it was not amenable to a simple interpretation of error or failure. Kitazawa et al. [159] advanced the analysis of CS activity to the next stage. They reported that single CFs encode three distinct components of information in different time periods during reaching movements: Peak 1: target position; Peak 2: error in prediction; Peak 3: end-point error given by vision (Chapter 5). In retrospect, the CS activity at the movement onset in the over-trained NHPs [362, 363] corresponds to the Peak 1 component (target position). In the same year, Kobayashi et al. [297] (Chapter 12) also reported that CSs conveyed two components of information (sensory and motor) during ocular following movement. These results suggest that the IO (i.e., the origin of CFs) neurons receive convergent inputs from multiple sources (Chapter 5).\nNext, it is vital to prove the causal relationship between the CS signals and the adjustment of movement errors (Chapter 5). Inoue and Kitazawa [160] (Chapter 5) traced the three error signals to RNp and further back to motor areas (areas 4 and 6) and parietal areas (areas 5 and 7). Furthermore, they confirmed the causal link from the CS signals to the adjustment of error in reaching by stimulating RNp just after the end of the movement to provide artificial error signals. A similar multiplexed CS signal was also reported during the saccade eye movement in NHP [365]. In this experiment, PCs receive a multiplexed climbing fiber input that merges complementary streams of information on the behavior, separable by the recipient PC because they are staggered in time.\n\n\n### Divergence of CS Activity\nCS discharge encodes a wide range of behavioral aspects. Importantly, the more studies address the CS error hypothesis, the more exceptions are documented (Chapter 7). For instance, the cerebellum plays a critical role in predicting the time of future sensory events and using that information to precisely control the timing of anticipatory actions (Chapters 6, and 7) [172, 173]. Recent experiments have revealed that the activity of CFs during cerebellar learning tasks displays a hallmark of TD-error signals (Chapters 6 and 7)[28, 146, 147, 175–180]. Furthermore, recent evidence has also suggested that neural activity in the cerebellum can resemble the predictions of reinforcement learning during the tasks guided by reward predictions (Chapters 7 and 8)[226]. Such learning has traditionally been associated with the basal ganglia and signals from midbrain dopamine neurons [123]. Nevertheless, recent studies have demonstrated that the dopamine neurons receive direct input from the cerebellum [63, 64], suggesting that the cerebellum is more tightly integrated into the brain’s reward learning system than previously assumed [27]. In the field of machine learning, TD learning, which utilizes TD-error, is one of the most effective algorithms for model-free reinforcement learning. Therefore, if the CS activities truly contribute to learning the optimal policy or value function through trial-and-error interaction with the environment, it signifies an essential departure from the original MAI model, which assumes model-based supervised learning (Chapters 6–8). A partial explanation for the coexistence of the distinct types of CS activities in different studies (Chapters 4,5,6,7,8,9,11, and 12) may be convergent inputs to the IO (Chapter 5) and the current limitation of experimental designs to manipulate these inputs systematically.\n\n\n### Duality of the CS-Induced Plasticity in the Cerebellar Cortex\nIn previous studies of CS-dependent cerebellar learning, attention has focused on the PF-PC synapse. Consequently, the plasticity of the CNMC has been discussed primarily in terms of CS-dependent LTD at this synapse. However, this viewpoint addresses only part of cerebellar learning. It is also known that CS activity induces concurrent and reciprocal long-term potentiation (LTP) in the PF-MLI-PC pathway [368, 369] (Fig. 11). Although the LTP in the PF-MLI-PC pathway has received relatively little attention, the task-related inhibition of PCs by MLIs provides the primary drive to facilitate DCN cells through disinhibition during wrist movements in NHP [357]. Fakharian et al. [253](Chapter 9) also demonstrated that the inhibition of PCs by MLIs excites DCN cells via the exact disinhibition mechanism, halting the saccade at the target. It should also be noted that the PF-MLI-PC pathway has a much lower threshold than the PF-PC pathway [370]. We must devote more effort to studying the physiology of MLIs to understand CS-induced cerebellar learning as suggested before [371].Fig. 11Effects of CS-induced plasticity on PC and DCN cell. (A) Direct PF input to PC activates PCs (note the plus (+) sign on the synapse), while indirect PF input to PC via MLI inhibits PCs (note the minus (-) sign on the synapse). (B) Concomitant CS activity induces reciprocal plasticity on the two pathways: LTD for PF pathway (LTD/CS) and LTP for PF-MLI pathway (LTP/CS) (i)(ii) [368]. Note that the LTP of PF-MLI inhibition and the LTD of PF excitation provide additive suppression of PC (iii). Finally, the CS-induced PC depression facilitates DCN cell response (= cerebellar output) by disinhibition (iv)\nEffects of CS-induced plasticity on PC and DCN cell. (A) Direct PF input to PC activates PCs (note the plus (+) sign on the synapse), while indirect PF input to PC via MLI inhibits PCs (note the minus (-) sign on the synapse). (B) Concomitant CS activity induces reciprocal plasticity on the two pathways: LTD for PF pathway (LTD/CS) and LTP for PF-MLI pathway (LTP/CS) (i)(ii) [368]. Note that the LTP of PF-MLI inhibition and the LTD of PF excitation provide additive suppression of PC (iii). Finally, the CS-induced PC depression facilitates DCN cell response (= cerebellar output) by disinhibition (iv)\n\n\n### CS-Induced Effects on DCN Output\nNote that the concomitant plasticity induced by CS—LTD at the PF-PC synapse and LTP at the PF-MLI synapse—enhances the activation of DCN cells in response to MF inputs by reducing PC inhibition on DCN cells (i.e., disinhibition) (Fig. 11). Overall, while CSs induce LTD in PC responses to MF inputs, this LTD is reversed to LTP at the cerebellar outputs (DCN cells) due to the disinhibition of DCN cells. In essence, CS activity enhances concomitant DCN cell outputs by penalizing facilitatory inputs and potentiating inhibitory inputs to PCs. The facilitatory CS effect on the DCN output may resolve the two seemingly contradictory CS activities: one is compatible with model-based supervised learning (i.e., the original MAI model), while the other is compatible with model-free reinforcement learning. Because both are facilitatory on the cerebellar output.\n\n\n### Application of Cerebellar Models To Explain CA\nConsidering the variability of the input–output organization of CNMC, it is most likely that different types of CNMCs have evolved in different cerebellar regions for different functions. Therefore, they are modeled in different ways (Chapters 4,6,7,8,9,10,11,12,14, and 15).\nIn Chapter 14, Mitoma and Manto introduced a CNMC model to explain the remarkable capacity of the cerebellum to restore lost function by reorganizing the damaged cerebellar circuitry, i.e., the cerebellar reserve. Specifically, they used a cerebellar Kalman filter model (Chapter 10) for the cerebrocerebellum [334] to consider the function of the cerebellar cortex (prediction) and the DCN (filtering) separately. Although their model is hypothetical and needs to be validated with more clinical and physiological studies, it may provide a unique model-based tool to decode and evaluate CA.\n\n\n### Conclusions and Future Perspectives\nThe panel of experts agrees that the cerebellum is the hub of the central nervous system and is involved in all levels of neural function, ranging from the lowest level of homeostatic functions to the highest level of cognitive-affective functions. The experts also agree that the cerebellum appears to employ a uniform cortical architecture to subserve these diverse functions. This is a unique feature in the neuraxis.\nIn his famous book “VISION”, David Marr (1982) cautioned that “one has to exercise extreme caution in making inferences from neurophysiological findings about the algorithms and representations being used, particularly until one has a clear idea about what information needs to be represented and what processes need to be implemented (p. 26, lines 11–14 in [372]).” Although we have not yet gained a clear understanding of either the representations or the implementations in the cerebellum, we dare to review the expanding frontiers in cerebellar model studies before we proceed toward our ultimate goal: the computational model of the entire cerebellum.\nIn this Consensus paper, the panel of experts highlighted specific open questions and remaining issues regarding the cerebellar models. We would like to review some of them to suggest our future perspective.\nThe following specific questions (Q) are among the open questions about the cerebellar models:Regarding the cerebellar computation in generalQ.Is population coding the correct way to organize the neurons in the cerebellum? If so, what constitutes membership into a population?—The language with which the cerebellum controls behavior appears fundamentally different from the rest of the brain. For example, while neurons in the frontal lobe, parietal lobe, and superior colliculus represent saccades in terms of target location with respect to the fovea, no such representation has been found among the Purkinje cells of the cerebellum. Whereas in the brainstem the premotor neurons such as the burst generators exhibit motor related activity that exhibits strong directional tuning, again no such representation has been found among the Purkinje cells. Thus, it appears that during control of this voluntary movement, the Purkinje cells neither encode behavior in terms of the sensory coordinates, nor in terms of the motor coordinates. In contrast, the Purkinje cells are modulated for all directions and amplitudes of movement, exhibiting only slight changes in the timing of their discharge. Yet, when Purkinje cells are organized into populations, their output appears meaningful, potentially contributing to deceleration and stopping the movement. This implies that individual neurons in the cerebellum are afforded much less autonomy than cells in the rest of the brain in the sense that they must be well organized to play their part in the population.Regarding reward-related signals in the cerebellumQ.Is the cerebellum primarily involved in reinforcement learning?—There is no consensus on this issue. Thus far, numerous studies have documented cerebellar reward signals and their properties; however, there have been few attempts to make causal manipulations of these signals to test how they influence learning and behavior. It is crucial to identify the causal link from reward-related cerebellar signals (CSs in particular) to the development of reinforced behaviors, as was demonstrated for the CS-dependent adjustment of error in reaching movement [160, see also Chapter 5].Q. Where and how are rPEs computed before reaching IO and CFs?—Recent studies have revealed that CF signals convey prediction errors, including TD errors for sensory events (Chapter 6) and rPEs during reinforcement learning tasks (Chapter 8). In addition to rodent studies, evidence from primate studies also suggests that CF signals encode rewards, expected rewards, and rPEs (Goldberg et al., cited in Chapter 8). However, it is unlikely that rPEs are computed within IO itself. Instead, anatomical evidence suggests that a parvocellular region of RN acts as a key computational hub where cortical information and outputs from the dentate nucleus converge (Chapter 5). Thus, an important open question is how reward and reward prediction signals are assigned to the outputs of the dentate nucleus and cortical areas to generate rPEs within the RN. Elucidating this upstream computational mechanism is critical for fully understanding how cerebellar learning mechanisms might contribute to reinforcement learning processes.Q.Could cerebellar signals contribute to rPE computations in the midbrain?—Given the anatomical connections from the DCN to midbrain dopaminergic structures such as the VTA (Chapters 1 and 8), it is plausible that cerebellar outputs could contribute predictive signals that shape rPE computations in dopaminergic neurons. Investigating whether DCN-derived predictions influence rPE signals in the midbrain will be critical for elucidating the broader role of the cerebellum in reinforcement learning circuits.Q.If CFs convey rPEs, do the outputs of DCN represent reward predictions?—CFs convey reward rPEs, as discussed and agreed upon in the consensus paper. In parallel, the paper emphasizes the cerebellum’s general role as a predictor. These considerations together suggest that the outputs of DCN, particularly DN, may represent reward predictions (rP). Although this is a logical inference, direct evidence for rP representations in DCN remains limited. Clarifying whether and how DCN neurons encode predictive reward signals is essential for understanding how the cerebellum contributes to adaptive behavior beyond motor control.CSs may not be solely for “error coding”Q.Is there a unified theory that can explain the different response properties of the CSs that would also include the observation that spontaneous CSs' are essential for normal cerebellar function?—PCs demonstrate spontaneous CS activity (~ 1 Hz) even under anesthesia. Namely, it is not individual CSs that encode an error. Instead, a modulation in CS activities encodes the error. To our knowledge, the functional role of spontaneous CS activities remains unknown.There remain important but uncharted regions in the cerebellar neuron circuitryQ. What is the topography and organization of cerebellar connections with the limbic and autonomic systems?Further studies are needed to clarify the detailed anatomy of these pathways and their functional properties.We conclude that cerebellar models remain a key-topic of research not only to explain the findings from laboratory and clinical studies, but also to provide novel insights into the understanding of brain functions in physiological and pathological conditions.\nRegarding the cerebellar computation in generalQ.Is population coding the correct way to organize the neurons in the cerebellum? If so, what constitutes membership into a population?—The language with which the cerebellum controls behavior appears fundamentally different from the rest of the brain. For example, while neurons in the frontal lobe, parietal lobe, and superior colliculus represent saccades in terms of target location with respect to the fovea, no such representation has been found among the Purkinje cells of the cerebellum. Whereas in the brainstem the premotor neurons such as the burst generators exhibit motor related activity that exhibits strong directional tuning, again no such representation has been found among the Purkinje cells. Thus, it appears that during control of this voluntary movement, the Purkinje cells neither encode behavior in terms of the sensory coordinates, nor in terms of the motor coordinates. In contrast, the Purkinje cells are modulated for all directions and amplitudes of movement, exhibiting only slight changes in the timing of their discharge. Yet, when Purkinje cells are organized into populations, their output appears meaningful, potentially contributing to deceleration and stopping the movement. This implies that individual neurons in the cerebellum are afforded much less autonomy than cells in the rest of the brain in the sense that they must be well organized to play their part in the population.\nQ.Is population coding the correct way to organize the neurons in the cerebellum? If so, what constitutes membership into a population?—The language with which the cerebellum controls behavior appears fundamentally different from the rest of the brain. For example, while neurons in the frontal lobe, parietal lobe, and superior colliculus represent saccades in terms of target location with respect to the fovea, no such representation has been found among the Purkinje cells of the cerebellum. Whereas in the brainstem the premotor neurons such as the burst generators exhibit motor related activity that exhibits strong directional tuning, again no such representation has been found among the Purkinje cells. Thus, it appears that during control of this voluntary movement, the Purkinje cells neither encode behavior in terms of the sensory coordinates, nor in terms of the motor coordinates. In contrast, the Purkinje cells are modulated for all directions and amplitudes of movement, exhibiting only slight changes in the timing of their discharge. Yet, when Purkinje cells are organized into populations, their output appears meaningful, potentially contributing to deceleration and stopping the movement. This implies that individual neurons in the cerebellum are afforded much less autonomy than cells in the rest of the brain in the sense that they must be well organized to play their part in the population.\nRegarding reward-related signals in the cerebellumQ.Is the cerebellum primarily involved in reinforcement learning?—There is no consensus on this issue. Thus far, numerous studies have documented cerebellar reward signals and their properties; however, there have been few attempts to make causal manipulations of these signals to test how they influence learning and behavior. It is crucial to identify the causal link from reward-related cerebellar signals (CSs in particular) to the development of reinforced behaviors, as was demonstrated for the CS-dependent adjustment of error in reaching movement [160, see also Chapter 5].Q. Where and how are rPEs computed before reaching IO and CFs?—Recent studies have revealed that CF signals convey prediction errors, including TD errors for sensory events (Chapter 6) and rPEs during reinforcement learning tasks (Chapter 8). In addition to rodent studies, evidence from primate studies also suggests that CF signals encode rewards, expected rewards, and rPEs (Goldberg et al., cited in Chapter 8). However, it is unlikely that rPEs are computed within IO itself. Instead, anatomical evidence suggests that a parvocellular region of RN acts as a key computational hub where cortical information and outputs from the dentate nucleus converge (Chapter 5). Thus, an important open question is how reward and reward prediction signals are assigned to the outputs of the dentate nucleus and cortical areas to generate rPEs within the RN. Elucidating this upstream computational mechanism is critical for fully understanding how cerebellar learning mechanisms might contribute to reinforcement learning processes.Q.Could cerebellar signals contribute to rPE computations in the midbrain?—Given the anatomical connections from the DCN to midbrain dopaminergic structures such as the VTA (Chapters 1 and 8), it is plausible that cerebellar outputs could contribute predictive signals that shape rPE computations in dopaminergic neurons. Investigating whether DCN-derived predictions influence rPE signals in the midbrain will be critical for elucidating the broader role of the cerebellum in reinforcement learning circuits.Q.If CFs convey rPEs, do the outputs of DCN represent reward predictions?—CFs convey reward rPEs, as discussed and agreed upon in the consensus paper. In parallel, the paper emphasizes the cerebellum’s general role as a predictor. These considerations together suggest that the outputs of DCN, particularly DN, may represent reward predictions (rP). Although this is a logical inference, direct evidence for rP representations in DCN remains limited. Clarifying whether and how DCN neurons encode predictive reward signals is essential for understanding how the cerebellum contributes to adaptive behavior beyond motor control.\nQ.Is the cerebellum primarily involved in reinforcement learning?—There is no consensus on this issue. Thus far, numerous studies have documented cerebellar reward signals and their properties; however, there have been few attempts to make causal manipulations of these signals to test how they influence learning and behavior. It is crucial to identify the causal link from reward-related cerebellar signals (CSs in particular) to the development of reinforced behaviors, as was demonstrated for the CS-dependent adjustment of error in reaching movement [160, see also Chapter 5].\nQ. Where and how are rPEs computed before reaching IO and CFs?—Recent studies have revealed that CF signals convey prediction errors, including TD errors for sensory events (Chapter 6) and rPEs during reinforcement learning tasks (Chapter 8). In addition to rodent studies, evidence from primate studies also suggests that CF signals encode rewards, expected rewards, and rPEs (Goldberg et al., cited in Chapter 8). However, it is unlikely that rPEs are computed within IO itself. Instead, anatomical evidence suggests that a parvocellular region of RN acts as a key computational hub where cortical information and outputs from the dentate nucleus converge (Chapter 5). Thus, an important open question is how reward and reward prediction signals are assigned to the outputs of the dentate nucleus and cortical areas to generate rPEs within the RN. Elucidating this upstream computational mechanism is critical for fully understanding how cerebellar learning mechanisms might contribute to reinforcement learning processes.\nQ.Could cerebellar signals contribute to rPE computations in the midbrain?—Given the anatomical connections from the DCN to midbrain dopaminergic structures such as the VTA (Chapters 1 and 8), it is plausible that cerebellar outputs could contribute predictive signals that shape rPE computations in dopaminergic neurons. Investigating whether DCN-derived predictions influence rPE signals in the midbrain will be critical for elucidating the broader role of the cerebellum in reinforcement learning circuits.\nQ.If CFs convey rPEs, do the outputs of DCN represent reward predictions?—CFs convey reward rPEs, as discussed and agreed upon in the consensus paper. In parallel, the paper emphasizes the cerebellum’s general role as a predictor. These considerations together suggest that the outputs of DCN, particularly DN, may represent reward predictions (rP). Although this is a logical inference, direct evidence for rP representations in DCN remains limited. Clarifying whether and how DCN neurons encode predictive reward signals is essential for understanding how the cerebellum contributes to adaptive behavior beyond motor control.\nCSs may not be solely for “error coding”Q.Is there a unified theory that can explain the different response properties of the CSs that would also include the observation that spontaneous CSs' are essential for normal cerebellar function?—PCs demonstrate spontaneous CS activity (~ 1 Hz) even under anesthesia. Namely, it is not individual CSs that encode an error. Instead, a modulation in CS activities encodes the error. To our knowledge, the functional role of spontaneous CS activities remains unknown.\nQ.Is there a unified theory that can explain the different response properties of the CSs that would also include the observation that spontaneous CSs' are essential for normal cerebellar function?—PCs demonstrate spontaneous CS activity (~ 1 Hz) even under anesthesia. Namely, it is not individual CSs that encode an error. Instead, a modulation in CS activities encodes the error. To our knowledge, the functional role of spontaneous CS activities remains unknown.\nThere remain important but uncharted regions in the cerebellar neuron circuitryQ. What is the topography and organization of cerebellar connections with the limbic and autonomic systems?\nQ. What is the topography and organization of cerebellar connections with the limbic and autonomic systems?\nFurther studies are needed to clarify the detailed anatomy of these pathways and their functional properties.\nWe conclude that cerebellar models remain a key-topic of research not only to explain the findings from laboratory and clinical studies, but also to provide novel insights into the understanding of brain functions in physiological and pathological conditions.", "domain": "affective_neuroscience"}
{"source": "PMC13087861", "title": "Changes in Intrinsic Activity of the Primary Somatosensory Cortex Causally Explain Differences in Emotion Perception in Autism", "text": "# Changes in Intrinsic Activity of the Primary Somatosensory Cortex Causally Explain Differences in Emotion Perception in Autism\n\n## Abstract\nAutism Spectrum Disorder (ASD) is characterized by certain difficulties in emotion‐related processing. Recent research using electroencephalography (EEG) to measure somatosensory evoked potentials during emotion perception has shown reduced embodiment of emotional expressions in autistic compared to neurotypical individuals, independently from differences in visual processing. However, the underlying neural dynamics are not clear. In this study, we use Dynamic Causal Modeling (DCM) on EEG data to investigate whether reduced embodiment during emotion processing in ASD individuals is caused by changes in intrinsic connectivity within the somatosensory cortex, or by top‐down modulatory effects from higher‐order frontal areas. We constructed a model involving the primary and secondary right somatosensory cortex, the right supplementary motor area and the right inferior frontal gyrus, and tested effective connectivity during emotion or gender discrimination tasks in two groups of ASD and typically developing (TD) participants (n = 38, male and female, 2 females). Our results reveal that task‐related differences in electrocortical activity between the emotion and gender tasks are causally explained by changes in intrinsic activity within the right primary somatosensory cortex (rS1) in both TD and ASD. Importantly, these intrinsic changes in rS1 are significantly different between TD and ASD groups and individual task‐related changes in rS1 significantly correlate with alexithymia traits. Our study provides novel evidence on the neural dynamics underlying difficulties in emotion processing in ASD individuals, highlighting that differential intrinsic activations of the rS1 are causally involved in such difficulties, and suggests that they are mediated by alexithymia. Autism is often characterized by difficulties in perceiving and recognizing emotions. These differences involve not only visual perception, but also somatic, visceral, and motoric re‐enactment of the observed emotion (embodiment). Our results highlight that differences in emotion embodiment in autism are explained by changes in the right primary somatosensory cortex, and they are mediated by alexithymia.\n\n## Full Text\n\n\n### Introduction\nUnderstanding others' emotional expressions is a fundamental aspect of successful social interactions. Perceiving others' emotions involves perceptual, somatovisceral, and motoric representation of the emotion in one's self, defined as embodiment (Niedenthal 2007). It is implemented in a distributed network of cortical and subcortical areas, including sensory‐motor areas (Pessoa and Adolphs 2010; Schirmer and Adolphs 2017; Underwood et al. 2021).\nThe role of the somatosensory cortex in emotion embodiment has been supported by fMRI studies (Carr et al. 2003; Hennenlotter et al. 2005; Kragel and LaBar 2016; van der Gaag et al. 2007; Volynets et al. 2020) and neuromodulation studies. Specifically, it has been shown that applying TMS to the right primary somatosensory cortex (rS1) during an emotion discrimination task disrupts emotion recognition (Pitcher et al. 2008; Pourtois et al. 2004). Similarly, research on patients has demonstrated reduced emotion discrimination in individuals with right parietal lesions including somatosensory areas (Adolphs et al. 1996, 2000; Atkinson and Adolphs 2011). Finally, independent contributions of the somatosensory cortex to emotion processing have been shown by recent ERP studies (Arslanova et al. 2023; Sel et al. 2014, 2020), which combined visual and somatosensory evoked potentials to dissociate somatosensory activity during emotion perception from visual carryover effects (Galvez‐Pol et al. 2020).\nAutism Spectrum Disorder (ASD) is characterized by difficulties in emotion‐related processing (see (Gaigg 2012) for a review). Importantly, a recent ERP study (Fanghella et al. 2022) revealed different somatosensory embodiment of emotional expressions in individuals with autism spectrum disorder (ASD) compared to typically developing (TD) controls. In this study, individuals with ASD exhibited significantly reduced Somatosensory Evoked Potential (SEP) P100 components during emotion recognition but not in a control gender task compared to a group of TD participants. Moreover, the strength of autistic traits correlated with the amplitudes of SEP P100 components in the emotion, but not in the gender task, in ASD individuals and in the whole sample.\nTwo recent studies investigating embodied emotion perception in TD individuals showed modulation of beta desynchronization localized to somatosensory areas by anxiety and autistic traits (Charidza and Gillmeister 2022) and modulation of somatosensory processing of emotional expressions by levels of alexithymia (Arslanova et al. 2023). Together, these studies highlight that somatosensory embodiment of emotions can be modulated by personality traits and may operate differently in neurodevelopmental or psychiatric conditions.\nAlthough there is consistent evidence for diminished embodiment of others' emotions (Fanghella et al. 2022; Masson et al. 2019), social touch (Lee Masson 2025; Masson et al. 2019) or pain (Minio‐Paluello et al. 2009) in ASD, the neural dynamics underlying such differences are still not fully understood.\nIndeed, it is still not clear if decreased emotion embodiment in ASD is associated with reduced activations within the somatosensory cortex, or if these differences are driven by atypical top‐down modulations between high‐order frontal areas and the somatosensory cortex. In line with this hypothesis, a recent fMRI study (Isakoglou et al. 2023) assessed the connectivity of the primary somatosensory cortex (S1) and other brain areas during resting state and while performing an emotional matching task in two groups of ASD and TD individuals. Results suggested that S1 activations during emotion processing were influenced in a top‐down manner, and changes in connectivity were mediated by ASD traits.\nIn this study, we used Dynamic Causal Modeling (DCM) (Friston et al. 2003) to elucidate the dynamics underlying differences in EEG responses during emotion perception in two groups of ASD and TD participants. DCM is a biologically plausible model which can explain empirical ERP phenomena in terms of changes in connectivity among distinct cortical sources (David et al. 2006). Changes in source connections may be intrinsic (within source) and extrinsic (between sources). Intrinsic connections model adaptation of neuronal responses to local influences, while forward and backward connections are mediated by long‐range (respectively bottom‐up or top‐down) between‐area extrinsic connections (Kiebel et al. 2007).\nHere, DCM was employed to investigate whether reduced somatosensory activations during emotion perception in ASD are caused by changes in intrinsic connectivity of the somatosensory cortex or are a by‐product of modulatory effects from other brain regions involved in embodiment of emotions, in particular top‐down modulations from high‐order frontal areas (i.e., supplementary motor area and inferior frontal gyrus), as other studies (Isakoglou et al. 2023) have suggested.\nImportantly, DCM for ERP has been used to model differences in electrophysiological responses between clinical populations and healthy controls, in particular schizophrenia (Braeutigam et al. 2018; Dima et al. 2010; Fogelson et al. 2014; Hüpen et al. 2025; Ranlund et al. 2016). DCM has also been used to model fMRI BOLD activity from ASD and control participants (Bird et al. 2006; Cook et al. 2012), in particular during facial emotion perception (Sato et al. 2019) and affective body gestures (Grèzes et al. 2009). Yet, no previous DCM studies have investigated alterations in sensorimotor responses during emotion perception in individuals with ASD. Moreover, to our knowledge, no studies have been conducted using DCM for EEG to model differences between ASD and TD participants.\nIn our study, we re‐analyzed with DCM an EEG dataset from ASD and TD individuals while performing a facial emotion discrimination task and a control gender task (Fanghella et al. 2022). After isolating somatosensory responses from visual carryover effects (Sel et al. 2014), we used DCM to investigate whether reduced somatosensory responses in ASD during emotion embodiment are caused by changes within the somatosensory cortex, or if these differences are driven by modulatory effects from higher‐order brain areas. In fact, simple ERP analysis cannot make inferences on the cortical neural network underlying somatosensory responses. Importantly, we modeled somatosensory responses free from visual carryover effects (VEP‐free SEPs) to probe the dynamics of emotion embodiment beyond visual processing of emotional expressions (Fanghella et al. 2022) using DCM.\nTo answer this question, we constructed a model lateralized on the right hemisphere (Adolphs et al. 1996, 2000; Pitcher et al. 2008), involving the primary (rS1) and secondary (rS2) right somatosensory cortex, the right supplementary motor area (rSMA) and the right inferior frontal gyrus (rIFG), and we tested effective connectivity during emotion processing in two groups of ASD and TD participants. Specifically, we selected these areas based on previous source reconstruction of this EEG dataset, showing distributed cortical sources in somatosensory and high‐order motor areas (Fanghella et al. 2022) and on previous literature describing the involvement of sensorimotor areas and the IFG in mirroring emotional expressions (Bastiaansen et al. 2009; Carr et al. 2003; Dapretto et al. 2006; van der Gaag et al. 2007). We restricted the model to the right hemisphere consistently with evidence from TMS (Pitcher et al. 2008; Pourtois et al. 2004) and lesion studies (Adolphs et al. 1996, 2000). Then, we added extrinsic (forward and backward) and intrinsic connections to the model to explore any possible modulation between and within areas.\nWe did not include cortical areas (e.g., the fusiform face area, superior temporal sulcus) involved in emotion processing because they are not implicated in emotion embodiment (Ganel et al. 2005; Meaux et al. 2014; Pourtois et al. 2004; Sato et al. 2015; Vuilleumier and Pourtois 2007).\n\n\n### Somatosensory Processing of Emotions\nThe role of the somatosensory cortex in emotion embodiment has been supported by fMRI studies (Carr et al. 2003; Hennenlotter et al. 2005; Kragel and LaBar 2016; van der Gaag et al. 2007; Volynets et al. 2020) and neuromodulation studies. Specifically, it has been shown that applying TMS to the right primary somatosensory cortex (rS1) during an emotion discrimination task disrupts emotion recognition (Pitcher et al. 2008; Pourtois et al. 2004). Similarly, research on patients has demonstrated reduced emotion discrimination in individuals with right parietal lesions including somatosensory areas (Adolphs et al. 1996, 2000; Atkinson and Adolphs 2011). Finally, independent contributions of the somatosensory cortex to emotion processing have been shown by recent ERP studies (Arslanova et al. 2023; Sel et al. 2014, 2020), which combined visual and somatosensory evoked potentials to dissociate somatosensory activity during emotion perception from visual carryover effects (Galvez‐Pol et al. 2020).\n\n\n### Embodiment of Emotions in ASD\nAutism Spectrum Disorder (ASD) is characterized by difficulties in emotion‐related processing (see (Gaigg 2012) for a review). Importantly, a recent ERP study (Fanghella et al. 2022) revealed different somatosensory embodiment of emotional expressions in individuals with autism spectrum disorder (ASD) compared to typically developing (TD) controls. In this study, individuals with ASD exhibited significantly reduced Somatosensory Evoked Potential (SEP) P100 components during emotion recognition but not in a control gender task compared to a group of TD participants. Moreover, the strength of autistic traits correlated with the amplitudes of SEP P100 components in the emotion, but not in the gender task, in ASD individuals and in the whole sample.\nTwo recent studies investigating embodied emotion perception in TD individuals showed modulation of beta desynchronization localized to somatosensory areas by anxiety and autistic traits (Charidza and Gillmeister 2022) and modulation of somatosensory processing of emotional expressions by levels of alexithymia (Arslanova et al. 2023). Together, these studies highlight that somatosensory embodiment of emotions can be modulated by personality traits and may operate differently in neurodevelopmental or psychiatric conditions.\nAlthough there is consistent evidence for diminished embodiment of others' emotions (Fanghella et al. 2022; Masson et al. 2019), social touch (Lee Masson 2025; Masson et al. 2019) or pain (Minio‐Paluello et al. 2009) in ASD, the neural dynamics underlying such differences are still not fully understood.\nIndeed, it is still not clear if decreased emotion embodiment in ASD is associated with reduced activations within the somatosensory cortex, or if these differences are driven by atypical top‐down modulations between high‐order frontal areas and the somatosensory cortex. In line with this hypothesis, a recent fMRI study (Isakoglou et al. 2023) assessed the connectivity of the primary somatosensory cortex (S1) and other brain areas during resting state and while performing an emotional matching task in two groups of ASD and TD individuals. Results suggested that S1 activations during emotion processing were influenced in a top‐down manner, and changes in connectivity were mediated by ASD traits.\n\n\n### Dynamic Causal Modeling of EEG Data\nIn this study, we used Dynamic Causal Modeling (DCM) (Friston et al. 2003) to elucidate the dynamics underlying differences in EEG responses during emotion perception in two groups of ASD and TD participants. DCM is a biologically plausible model which can explain empirical ERP phenomena in terms of changes in connectivity among distinct cortical sources (David et al. 2006). Changes in source connections may be intrinsic (within source) and extrinsic (between sources). Intrinsic connections model adaptation of neuronal responses to local influences, while forward and backward connections are mediated by long‐range (respectively bottom‐up or top‐down) between‐area extrinsic connections (Kiebel et al. 2007).\nHere, DCM was employed to investigate whether reduced somatosensory activations during emotion perception in ASD are caused by changes in intrinsic connectivity of the somatosensory cortex or are a by‐product of modulatory effects from other brain regions involved in embodiment of emotions, in particular top‐down modulations from high‐order frontal areas (i.e., supplementary motor area and inferior frontal gyrus), as other studies (Isakoglou et al. 2023) have suggested.\nImportantly, DCM for ERP has been used to model differences in electrophysiological responses between clinical populations and healthy controls, in particular schizophrenia (Braeutigam et al. 2018; Dima et al. 2010; Fogelson et al. 2014; Hüpen et al. 2025; Ranlund et al. 2016). DCM has also been used to model fMRI BOLD activity from ASD and control participants (Bird et al. 2006; Cook et al. 2012), in particular during facial emotion perception (Sato et al. 2019) and affective body gestures (Grèzes et al. 2009). Yet, no previous DCM studies have investigated alterations in sensorimotor responses during emotion perception in individuals with ASD. Moreover, to our knowledge, no studies have been conducted using DCM for EEG to model differences between ASD and TD participants.\n\n\n### Dynamic Causal Modeling of Emotion Perception in ASD\nIn our study, we re‐analyzed with DCM an EEG dataset from ASD and TD individuals while performing a facial emotion discrimination task and a control gender task (Fanghella et al. 2022). After isolating somatosensory responses from visual carryover effects (Sel et al. 2014), we used DCM to investigate whether reduced somatosensory responses in ASD during emotion embodiment are caused by changes within the somatosensory cortex, or if these differences are driven by modulatory effects from higher‐order brain areas. In fact, simple ERP analysis cannot make inferences on the cortical neural network underlying somatosensory responses. Importantly, we modeled somatosensory responses free from visual carryover effects (VEP‐free SEPs) to probe the dynamics of emotion embodiment beyond visual processing of emotional expressions (Fanghella et al. 2022) using DCM.\nTo answer this question, we constructed a model lateralized on the right hemisphere (Adolphs et al. 1996, 2000; Pitcher et al. 2008), involving the primary (rS1) and secondary (rS2) right somatosensory cortex, the right supplementary motor area (rSMA) and the right inferior frontal gyrus (rIFG), and we tested effective connectivity during emotion processing in two groups of ASD and TD participants. Specifically, we selected these areas based on previous source reconstruction of this EEG dataset, showing distributed cortical sources in somatosensory and high‐order motor areas (Fanghella et al. 2022) and on previous literature describing the involvement of sensorimotor areas and the IFG in mirroring emotional expressions (Bastiaansen et al. 2009; Carr et al. 2003; Dapretto et al. 2006; van der Gaag et al. 2007). We restricted the model to the right hemisphere consistently with evidence from TMS (Pitcher et al. 2008; Pourtois et al. 2004) and lesion studies (Adolphs et al. 1996, 2000). Then, we added extrinsic (forward and backward) and intrinsic connections to the model to explore any possible modulation between and within areas.\nWe did not include cortical areas (e.g., the fusiform face area, superior temporal sulcus) involved in emotion processing because they are not implicated in emotion embodiment (Ganel et al. 2005; Meaux et al. 2014; Pourtois et al. 2004; Sato et al. 2015; Vuilleumier and Pourtois 2007).\n\n\n### Methods\nForty‐four adult participants, half with a diagnosis of ASD and the other half TD adults matched for IQ, age, and gender, took part in the experiment. Previous research confirmed that this is an adequate sample size for DCM studies (Goulden et al. 2012; Kasess et al. 2010; Ma et al. 2024), and it is commonly used to model differences between clinical populations and controls (Braeutigam et al. 2018; Dima et al. 2010; Hüpen et al. 2025; Sato et al. 2019). The Local Ethics Committee approved all research methods, which were carried out following the principles of the revised Helsinki Declaration (World Medical Association 2013). Written informed consent was obtained from all the participants. All participants had normal or corrected‐to‐normal vision. We administered all participants with a short version of the Wechsler Adult Intelligence Scale and obtained a Verbal IQ (VIQ) and Performance IQ (PIQ) for each participant and ensured no significant group differences in VIQ and PIQ. All participants completed the adult self‐report form of the Social Responsiveness Scale, second edition (SRS‐2) (Constantino and Gruber 2012) and the Autism Quotient (AQ) (Baron‐Cohen et al. 2001), assessing the strength of autistic traits, the 20‐items Toronto Alexithymia Scale (TAS‐20) (Taylor et al. 2003), quantifying alexithymia traits, and the Multidimensional Assessment for Interoceptive Awareness, second edition (MAIA‐2) (Mehling et al. 2018), measuring interoceptive awareness. For a summary of demographics and questionnaires' scores, see Table S1. Datasets from two participants (1 ASD, 1 TD) were not included in the final analysis because stimulus markers were not recorded in the EEG recording during data collection. We excluded two additional ASD participants because of excessive artifacts in their EEG data (drift because of sweat and artifacts caused by muscular tension) and two TD participants because they scored above cut‐off on the Social Responsiveness Scale (SRS‐2, cut‐off above 60 (Bölte et al. 2011)) and Autism Quotient (AQ, cut‐off above 32 (Baron‐Cohen et al. 2001)), respectively. The final sample was thus composed of 19 ASD (17 right‐handed, 1 female) and 19 TD participants (19 right‐handed, 1 female).\nWe used a set of pictures depicting neutral, fearful, and happy emotions used in a previous study (Sel et al. 2014), originally selected from the Karolinska Directed Emotional Faces set (Lundqvist et al. 1998). The gray‐scaled faces were enclosed in a rectangular frame (140 × 157 in.), excluding most of the hair and non‐facial contours.\nParticipants sat in an electrically and acoustically shielded chamber (Faraday's cage) in front of a monitor at a distance of 80 cm. Visual stimuli were presented centrally on a black background using E‐Prime software (Psychology Software Tools). Trials started with a fixation cross (500 ms), followed by the presentation of a face image (neutral, fearful, or happy, either male or female) for 600 ms. The experiment consisted of 1200 randomized trials, presented in two separate blocks of 600 trials, which included 200 neutral, 200 fearful, and 200 happy faces (half male and half female), presented in randomized order. In the emotion task (block 1), participants were instructed to attend to the emotional expression of the faces, while in the gender task (block 2) they needed to attend to the gender of the faces. The order of presentation of the two blocks was counterbalanced across participants. To ensure participants were attending to the stimuli, in 10% of emotion block trials, participants were asked whether the face stimulus was fearful (Is s/he fearful?) or happy (Is s/he happy?), or whether it depicted a female (Is s/he female?) or male (Is s/he male?) during the gender block trials. When a question was presented, participants had to respond vocally (yes/no) as soon as possible. Responses were recorded with a digital recorder and manually inserted by the experimenter, who was able to hear the participant from outside the Faraday's cage through an intercom. Before starting each block, participants completed a practice session with 12 trials (four neutral, four happy, four fearful, half male and half female). To probe somatosensory activity and evoke SEP during the task, in 50% of trials (Visual‐Tactile Condition, VTC), participants received task‐irrelevant tactile taps on their left index finger 105 ms after face images onset (Sel et al. 2014). In the Visual‐Only Condition (VOC, 50% of trials), the same visual facial stimuli were presented without any concurrent tactile stimulation (for a graphical illustration of the task, see Figure 1A). VTC and VOC were equally distributed in each block across the stimulus types (emotion, gender). Tactile taps were delivered using a 12 V solenoid driving a metal rod with a blunt conical tip that contacted participants' skin when a current passed through the solenoid. Participants were instructed to ignore the tactile stimuli. To mask sounds made by the tactile stimulator, we provided white noise through one loudspeaker placed 90 cm away from the participants' head and 25 cm to the left side of the participants' midline (65 dB, measured from the participants' head location with respect to the speaker).\n(A) Experimental task. Participants observed faces expressing neutral, fearful of happy emotions, and focused on the emotional expression (emotion task) or the gender (gender task). In 50% of trials, a task‐irrelevant tactile stimulation was delivered on the left index finger 105 ms after visual onset. (B) Subtraction of visual evoked potentials (VEP, 50% of trials) from visual + somatosensory evoked potentials (VEP + SEP; 50% of trials) to isolate somatosensory activity during emotion processing from concurrent visual carryover effects (VEP‐free SEP). (C) Dynamic causal modeling (DCM) of VEP‐free SEP. We hypothesized a hierarchical model involving primary (rS1) and secondary (rS2) right somatosensory cortex, right supplementary motor area (rSMA) and right inferior frontal gyrus (rIFG), and we performed DCM on 64‐channel EEG (VEP‐free SEP) on a 200‐ms time window after tactile onset. Created in BioRender. Fanghella, M. (2025) https://BioRender.com/y03g197.\nWe recorded EEG from a 64‐electrode cap (M10 montage; EasyCap). All electrodes were online referenced to the right earlobe and offline re‐referenced to the average of all channels. Vertical and bipolar horizontal electrooculogram and heartbeats were also recorded. Continuous EEG was recorded using a BrainAmp amplifier (BrainProducts; 500 Hz sampling rate). Analysis of the EEG data was performed using BrainVision Analyzer 2.2 software (BrainProducts). The data were digitally low‐pass‐filtered at 30 Hz and high‐pass‐filtered at 0.1 Hz. Ocular correction was performed (Gratton et al. 1983), and the EEG signal was epoched into 700 ms segments, starting 100 ms before tactile stimulus onsets. We performed baseline correction using the first 100 ms before tactile onset. Artifact rejection was computed eliminating epochs with amplitudes exceeding ±100 mV. We ensured that the signal‐to‐noise ratio was similar in the two groups (i.e., no significant difference in remaining number of epochs). Single‐subject grand‐averaged ERP for each task (emotion, gender) were computed. After preprocessing, single‐subject averages of VOC trials were subtracted from single‐subject averages of VTC trials, to isolate somatosensory evoked responses from visual carryover effects (Fanghella et al. 2022; Galvez‐Pol et al. 2020; Sel et al. 2014), see Figure 1B for a graphical depiction of this subtractive method.\nWe extracted the mean accuracy for each participant, expressed in a value in a range between 0 (0% of correct answers) and 1 (100% correct answers). Exclusion criteria were set to accuracy < 50%. We computed a 2 × 2 mixed repeated‐measures ANOVA with Group (TD, ASD) as a between factor and Task (Emotion, Gender) as a within factor. This analysis has been previously reported in (Fanghella et al. 2022).\nWe computed mean amplitudes of SEP‐ in four consecutive time windows of 30 ms length starting from 40 ms up to 160 ms after tactile stimulus onset (occurring after 105 ms of visual stimulus onset). These time windows were centered on the P50 (40–70 ms), N80 (70–100 ms), P100 (100–130 ms), and N140 (130–160 ms) peaks. Analyses were restricted to 18 electrodes located over sensorimotor areas (corresponding to FC1/2, FC3/4, FC5/6, C1/2, C3/4, C5/6, Cp1/2, Cp3/4, CP5/6, of the 10/10 system) (Sel et al. 2014). We selected the time windows from the grand average of all conditions and participants (Luck and Gaspelin 2017). SEP mean amplitudes were analyzed through mixed repeated‐measures ANOVAs in SPSS and JASP. Consistent with previous analyses (Sel et al. 2014), within‐group factors of the ANOVAs were as follows: Task (Emotion, Gender), Emotion (Neutral, Fearful, Happy), Hemisphere (Left, Right), Site (Dorsal, Dorsolateral, Lateral; i.e., clusters of three electrodes grouped in parallel to the midline), Region (Frontal, Central, Posterior; i.e., clusters of three electrodes grouped perpendicularly to the midline), and the between‐factor Group (TD, ASD). Follow‐up ANOVAs and two‐tailed independent and paired‐sample t‐tests were conducted to follow‐up significant interactions, and post hoc pairwise comparisons were computed on significant main effects. We applied Greenhouse–Geisser when appropriate (Keselman and Rogan 1980), and post hoc tests were corrected for multiple comparisons (Bonferroni). The full analysis is reported in (Fanghella et al. 2022).\nWe performed Dynamic Causal Modeling (DCM) for EEG with SPM 12 (SPM12 Software—Statistical Parametric Mapping, n.d.) on VEP‐free SEP (Fanghella et al. 2022) to estimate connectivity among brain areas and how such connectivity is influenced by emotion or gender in a discrimination task in TD and ASD individuals (see Figure 1C). DCM explains EEG data using a hierarchical network of dynamically interacting sources, making predictions about the dynamics of each source and estimating effective connectivity using Bayesian model inversion (Friston et al. 2003).\nOur DCM model assumes the existence of extrinsic (forward and backward) connections between sources, and intrinsic connections within the specified sources (Pinotsis et al. 2019; Ranlund et al. 2016). The model consists of a four‐level lateralized hierarchy comprising the right primary somatosensory cortex (rS1), modeled as direct sensory input, the right secondary somatosensory cortex (rS2), the right supplementary motor area (rSMA), and the right inferior frontal gyrus (rIFG) (see Figure 2 for a graphical depiction of the model). Sensorimotor areas were selected among locations highlighted by source reconstruction of EEG data, performed on grand‐averaged ERP data for group (TD, ASD) and task (emotion, gender), as described in (Fanghella et al. 2022). The IFG was added to the model based on previous literature that looked at differences in emotion perception in TD and ASD individuals (Dapretto et al. 2006). Source coordinates in MNI are reported in Table 1. We hypothesized a hierarchical model with forward and backward connections between the areas of interest plus intrinsic modulations for each of the selected areas, and we tested all possible task‐related modulations on forward (bottom‐up), backward (top‐down), and intrinsic (within) connections.\nModel specification. The models have the same structural connectivity, but different modulation of effective connectivity according to the task (emotion or gender discrimination). (A) The sources included in the models were: rS1, right primary somatosensory cortex; rS2, right secondary somatosensory cortex; rSMA, right supplementary motor area; and rIFG, right inferior frontal gyrus. (B) The sources are linked by extrinsic (forward, red arrows and backward, blue arrows) connections, and each source has intrinsic modulations (green arrows). Task‐related changes in effective connectivity were tested across forward, backward and intrinsic modulations of all sources.\nSources MNI coordinates in XYZ.\nAbbreviations: rIFG, right inferior frontal gyrus; rS1, right primary somatosensory cortex; rS2, right secondary somatosensory cortex; rSMA, right supplementary motor area.\nThe input of DCM models were individual grand‐averaged EEG data for each task (emotion and gender), including 200 ms epochs starting from tactile onset. SEP were previously isolated from visual carryover effects through subtractive method (Fanghella et al. 2022). This time window allowed us to capture the neural dynamics across all SEP components of interest (P50, N80, P100, N140). We selected the “SEP” connectivity model, a faster variant of the standard “ERP” model (Ashburner et al. 2014). We modeled each node of the model with a single equivalent current dipole (ECD). Input onset in the rS1 was set 20 ± 10 ms after tactile stimulus onset.\nCoordinates of the rS1 and the rSMA (in MNI) were extracted from source reconstruction of the SEP components of interest (P50, N80, P100, and N140) (Fanghella et al. 2022), while coordinates of the rS2 and the rIFG were taken from previous studies using similar paradigms (rS2: (Conty et al. 2012); rIFG: (Carr et al. 2003), converted from Talairach to MNI system). We optimized source coordinates for each participant by selecting the option “optimize source locations,” allowing flexibility of prior location coordinates by relaxing zero variance priors on the specified source locations (DCM for Evoked Responses—SPM Documentation, n.d.).\nWe created three families of models. Each model had the same hierarchical structure but differed in task‐related modulations (depicted in Figure 2). To avoid any theory‐driven bias, our 10 models covered all possible connectivity configurations (forward‐intrinsic‐backward). The first family (forward) involved three models with task‐related changes in forward connectivity from rS1 to rS2, from rS2 to rSMA, and from rSMA to rIFG; the second family (intrinsic) included four models with task‐related intrinsic modulations of rS1, rS2, rSMA, and rIFG; the third family (backward) was composed of three models involving backward connections from rS2 to rS1, from rSMA to rS2, and from rIFG to rSMA. After inverting all models for each participant, we compared families and models using random‐effects (RFX) Bayesian Model Selection (BMS) (Stephan et al. 2009) for each group (ASD, TD) separately to select the best model among all possible configurations. In addition, to provide further evidence of the robustness of our results, we computed Bayesian Model Averaging (BMA) on the winning family (Penny et al. 2010). The best model was selected evaluating exceedance posterior probabilities (Stephan et al. 2009) and not protected posterior probabilities (Rigoux et al. 2014) because this method is not suitable for inference at the family level.\nAfter inverting all DCM models and identifying the group‐level winning model through BMS, we extracted connectivity parameters (forward, intrinsic, and backward) from the winning model for each participant to compare how the task affected endogenous and effective connectivity in the two groups. Then, we computed the Shapiro–Wilk normality test and selected the appropriate statistical test (parametric or non‐parametric independent‐sample test) for each variable. For non‐parametric t‐tests, effect size is given by rank biserial correlation (Kerby 2014). Confidence Interval (CI) are reported.\nWe further explored the association between task‐related modulatory effects of the winning model and personality traits (autism, alexithymia and interoceptive awareness) by computing parametric or non‐parametric correlations between individual connectivity parameters and their scores in each personality questionnaire (SRS‐2, AQ, TAS‐20, and MAIA‐2). We computed this analysis first on the whole sample of participants, and then on the two groups separately. For each questionnaire, we Bonferroni‐corrected p‐values for multiple comparisons (0.05/3 = 0.017) and set 0.017 as the significance threshold. For non‐parametric correlations, effect size is given by Spearman rho (ρ). Confidence Interval (CI) from 1000 bootstraps is reported.\nTo ensure the robustness of results, we replicated all statistical analyses also on connectivity parameters extracted from BMA of the winning family.\nAll statistical analyses are computed with the software JASP 0.18.3 (JASP Team (2024). JASP (Version 0.19.3). n.d.).\n\n\n### Participants\nForty‐four adult participants, half with a diagnosis of ASD and the other half TD adults matched for IQ, age, and gender, took part in the experiment. Previous research confirmed that this is an adequate sample size for DCM studies (Goulden et al. 2012; Kasess et al. 2010; Ma et al. 2024), and it is commonly used to model differences between clinical populations and controls (Braeutigam et al. 2018; Dima et al. 2010; Hüpen et al. 2025; Sato et al. 2019). The Local Ethics Committee approved all research methods, which were carried out following the principles of the revised Helsinki Declaration (World Medical Association 2013). Written informed consent was obtained from all the participants. All participants had normal or corrected‐to‐normal vision. We administered all participants with a short version of the Wechsler Adult Intelligence Scale and obtained a Verbal IQ (VIQ) and Performance IQ (PIQ) for each participant and ensured no significant group differences in VIQ and PIQ. All participants completed the adult self‐report form of the Social Responsiveness Scale, second edition (SRS‐2) (Constantino and Gruber 2012) and the Autism Quotient (AQ) (Baron‐Cohen et al. 2001), assessing the strength of autistic traits, the 20‐items Toronto Alexithymia Scale (TAS‐20) (Taylor et al. 2003), quantifying alexithymia traits, and the Multidimensional Assessment for Interoceptive Awareness, second edition (MAIA‐2) (Mehling et al. 2018), measuring interoceptive awareness. For a summary of demographics and questionnaires' scores, see Table S1. Datasets from two participants (1 ASD, 1 TD) were not included in the final analysis because stimulus markers were not recorded in the EEG recording during data collection. We excluded two additional ASD participants because of excessive artifacts in their EEG data (drift because of sweat and artifacts caused by muscular tension) and two TD participants because they scored above cut‐off on the Social Responsiveness Scale (SRS‐2, cut‐off above 60 (Bölte et al. 2011)) and Autism Quotient (AQ, cut‐off above 32 (Baron‐Cohen et al. 2001)), respectively. The final sample was thus composed of 19 ASD (17 right‐handed, 1 female) and 19 TD participants (19 right‐handed, 1 female).\n\n\n### Stimuli\nWe used a set of pictures depicting neutral, fearful, and happy emotions used in a previous study (Sel et al. 2014), originally selected from the Karolinska Directed Emotional Faces set (Lundqvist et al. 1998). The gray‐scaled faces were enclosed in a rectangular frame (140 × 157 in.), excluding most of the hair and non‐facial contours.\n\n\n### Task\nParticipants sat in an electrically and acoustically shielded chamber (Faraday's cage) in front of a monitor at a distance of 80 cm. Visual stimuli were presented centrally on a black background using E‐Prime software (Psychology Software Tools). Trials started with a fixation cross (500 ms), followed by the presentation of a face image (neutral, fearful, or happy, either male or female) for 600 ms. The experiment consisted of 1200 randomized trials, presented in two separate blocks of 600 trials, which included 200 neutral, 200 fearful, and 200 happy faces (half male and half female), presented in randomized order. In the emotion task (block 1), participants were instructed to attend to the emotional expression of the faces, while in the gender task (block 2) they needed to attend to the gender of the faces. The order of presentation of the two blocks was counterbalanced across participants. To ensure participants were attending to the stimuli, in 10% of emotion block trials, participants were asked whether the face stimulus was fearful (Is s/he fearful?) or happy (Is s/he happy?), or whether it depicted a female (Is s/he female?) or male (Is s/he male?) during the gender block trials. When a question was presented, participants had to respond vocally (yes/no) as soon as possible. Responses were recorded with a digital recorder and manually inserted by the experimenter, who was able to hear the participant from outside the Faraday's cage through an intercom. Before starting each block, participants completed a practice session with 12 trials (four neutral, four happy, four fearful, half male and half female). To probe somatosensory activity and evoke SEP during the task, in 50% of trials (Visual‐Tactile Condition, VTC), participants received task‐irrelevant tactile taps on their left index finger 105 ms after face images onset (Sel et al. 2014). In the Visual‐Only Condition (VOC, 50% of trials), the same visual facial stimuli were presented without any concurrent tactile stimulation (for a graphical illustration of the task, see Figure 1A). VTC and VOC were equally distributed in each block across the stimulus types (emotion, gender). Tactile taps were delivered using a 12 V solenoid driving a metal rod with a blunt conical tip that contacted participants' skin when a current passed through the solenoid. Participants were instructed to ignore the tactile stimuli. To mask sounds made by the tactile stimulator, we provided white noise through one loudspeaker placed 90 cm away from the participants' head and 25 cm to the left side of the participants' midline (65 dB, measured from the participants' head location with respect to the speaker).\n(A) Experimental task. Participants observed faces expressing neutral, fearful of happy emotions, and focused on the emotional expression (emotion task) or the gender (gender task). In 50% of trials, a task‐irrelevant tactile stimulation was delivered on the left index finger 105 ms after visual onset. (B) Subtraction of visual evoked potentials (VEP, 50% of trials) from visual + somatosensory evoked potentials (VEP + SEP; 50% of trials) to isolate somatosensory activity during emotion processing from concurrent visual carryover effects (VEP‐free SEP). (C) Dynamic causal modeling (DCM) of VEP‐free SEP. We hypothesized a hierarchical model involving primary (rS1) and secondary (rS2) right somatosensory cortex, right supplementary motor area (rSMA) and right inferior frontal gyrus (rIFG), and we performed DCM on 64‐channel EEG (VEP‐free SEP) on a 200‐ms time window after tactile onset. Created in BioRender. Fanghella, M. (2025) https://BioRender.com/y03g197.\n\n\n### EEG Recording and Data Preprocessing\nWe recorded EEG from a 64‐electrode cap (M10 montage; EasyCap). All electrodes were online referenced to the right earlobe and offline re‐referenced to the average of all channels. Vertical and bipolar horizontal electrooculogram and heartbeats were also recorded. Continuous EEG was recorded using a BrainAmp amplifier (BrainProducts; 500 Hz sampling rate). Analysis of the EEG data was performed using BrainVision Analyzer 2.2 software (BrainProducts). The data were digitally low‐pass‐filtered at 30 Hz and high‐pass‐filtered at 0.1 Hz. Ocular correction was performed (Gratton et al. 1983), and the EEG signal was epoched into 700 ms segments, starting 100 ms before tactile stimulus onsets. We performed baseline correction using the first 100 ms before tactile onset. Artifact rejection was computed eliminating epochs with amplitudes exceeding ±100 mV. We ensured that the signal‐to‐noise ratio was similar in the two groups (i.e., no significant difference in remaining number of epochs). Single‐subject grand‐averaged ERP for each task (emotion, gender) were computed. After preprocessing, single‐subject averages of VOC trials were subtracted from single‐subject averages of VTC trials, to isolate somatosensory evoked responses from visual carryover effects (Fanghella et al. 2022; Galvez‐Pol et al. 2020; Sel et al. 2014), see Figure 1B for a graphical depiction of this subtractive method.\n\n\n### Accuracy in Emotion/Gender Recognition Task\nWe extracted the mean accuracy for each participant, expressed in a value in a range between 0 (0% of correct answers) and 1 (100% correct answers). Exclusion criteria were set to accuracy < 50%. We computed a 2 × 2 mixed repeated‐measures ANOVA with Group (TD, ASD) as a between factor and Task (Emotion, Gender) as a within factor. This analysis has been previously reported in (Fanghella et al. 2022).\n\n\n### Amplitudes of SEP\nWe computed mean amplitudes of SEP‐ in four consecutive time windows of 30 ms length starting from 40 ms up to 160 ms after tactile stimulus onset (occurring after 105 ms of visual stimulus onset). These time windows were centered on the P50 (40–70 ms), N80 (70–100 ms), P100 (100–130 ms), and N140 (130–160 ms) peaks. Analyses were restricted to 18 electrodes located over sensorimotor areas (corresponding to FC1/2, FC3/4, FC5/6, C1/2, C3/4, C5/6, Cp1/2, Cp3/4, CP5/6, of the 10/10 system) (Sel et al. 2014). We selected the time windows from the grand average of all conditions and participants (Luck and Gaspelin 2017). SEP mean amplitudes were analyzed through mixed repeated‐measures ANOVAs in SPSS and JASP. Consistent with previous analyses (Sel et al. 2014), within‐group factors of the ANOVAs were as follows: Task (Emotion, Gender), Emotion (Neutral, Fearful, Happy), Hemisphere (Left, Right), Site (Dorsal, Dorsolateral, Lateral; i.e., clusters of three electrodes grouped in parallel to the midline), Region (Frontal, Central, Posterior; i.e., clusters of three electrodes grouped perpendicularly to the midline), and the between‐factor Group (TD, ASD). Follow‐up ANOVAs and two‐tailed independent and paired‐sample t‐tests were conducted to follow‐up significant interactions, and post hoc pairwise comparisons were computed on significant main effects. We applied Greenhouse–Geisser when appropriate (Keselman and Rogan 1980), and post hoc tests were corrected for multiple comparisons (Bonferroni). The full analysis is reported in (Fanghella et al. 2022).\n\n\n### Dynamic Causal Modeling\nWe performed Dynamic Causal Modeling (DCM) for EEG with SPM 12 (SPM12 Software—Statistical Parametric Mapping, n.d.) on VEP‐free SEP (Fanghella et al. 2022) to estimate connectivity among brain areas and how such connectivity is influenced by emotion or gender in a discrimination task in TD and ASD individuals (see Figure 1C). DCM explains EEG data using a hierarchical network of dynamically interacting sources, making predictions about the dynamics of each source and estimating effective connectivity using Bayesian model inversion (Friston et al. 2003).\n\n\n### DCMs Specification\nOur DCM model assumes the existence of extrinsic (forward and backward) connections between sources, and intrinsic connections within the specified sources (Pinotsis et al. 2019; Ranlund et al. 2016). The model consists of a four‐level lateralized hierarchy comprising the right primary somatosensory cortex (rS1), modeled as direct sensory input, the right secondary somatosensory cortex (rS2), the right supplementary motor area (rSMA), and the right inferior frontal gyrus (rIFG) (see Figure 2 for a graphical depiction of the model). Sensorimotor areas were selected among locations highlighted by source reconstruction of EEG data, performed on grand‐averaged ERP data for group (TD, ASD) and task (emotion, gender), as described in (Fanghella et al. 2022). The IFG was added to the model based on previous literature that looked at differences in emotion perception in TD and ASD individuals (Dapretto et al. 2006). Source coordinates in MNI are reported in Table 1. We hypothesized a hierarchical model with forward and backward connections between the areas of interest plus intrinsic modulations for each of the selected areas, and we tested all possible task‐related modulations on forward (bottom‐up), backward (top‐down), and intrinsic (within) connections.\nModel specification. The models have the same structural connectivity, but different modulation of effective connectivity according to the task (emotion or gender discrimination). (A) The sources included in the models were: rS1, right primary somatosensory cortex; rS2, right secondary somatosensory cortex; rSMA, right supplementary motor area; and rIFG, right inferior frontal gyrus. (B) The sources are linked by extrinsic (forward, red arrows and backward, blue arrows) connections, and each source has intrinsic modulations (green arrows). Task‐related changes in effective connectivity were tested across forward, backward and intrinsic modulations of all sources.\nSources MNI coordinates in XYZ.\nAbbreviations: rIFG, right inferior frontal gyrus; rS1, right primary somatosensory cortex; rS2, right secondary somatosensory cortex; rSMA, right supplementary motor area.\nThe input of DCM models were individual grand‐averaged EEG data for each task (emotion and gender), including 200 ms epochs starting from tactile onset. SEP were previously isolated from visual carryover effects through subtractive method (Fanghella et al. 2022). This time window allowed us to capture the neural dynamics across all SEP components of interest (P50, N80, P100, N140). We selected the “SEP” connectivity model, a faster variant of the standard “ERP” model (Ashburner et al. 2014). We modeled each node of the model with a single equivalent current dipole (ECD). Input onset in the rS1 was set 20 ± 10 ms after tactile stimulus onset.\nCoordinates of the rS1 and the rSMA (in MNI) were extracted from source reconstruction of the SEP components of interest (P50, N80, P100, and N140) (Fanghella et al. 2022), while coordinates of the rS2 and the rIFG were taken from previous studies using similar paradigms (rS2: (Conty et al. 2012); rIFG: (Carr et al. 2003), converted from Talairach to MNI system). We optimized source coordinates for each participant by selecting the option “optimize source locations,” allowing flexibility of prior location coordinates by relaxing zero variance priors on the specified source locations (DCM for Evoked Responses—SPM Documentation, n.d.).\n\n\n### DCM Model Comparison\nWe created three families of models. Each model had the same hierarchical structure but differed in task‐related modulations (depicted in Figure 2). To avoid any theory‐driven bias, our 10 models covered all possible connectivity configurations (forward‐intrinsic‐backward). The first family (forward) involved three models with task‐related changes in forward connectivity from rS1 to rS2, from rS2 to rSMA, and from rSMA to rIFG; the second family (intrinsic) included four models with task‐related intrinsic modulations of rS1, rS2, rSMA, and rIFG; the third family (backward) was composed of three models involving backward connections from rS2 to rS1, from rSMA to rS2, and from rIFG to rSMA. After inverting all models for each participant, we compared families and models using random‐effects (RFX) Bayesian Model Selection (BMS) (Stephan et al. 2009) for each group (ASD, TD) separately to select the best model among all possible configurations. In addition, to provide further evidence of the robustness of our results, we computed Bayesian Model Averaging (BMA) on the winning family (Penny et al. 2010). The best model was selected evaluating exceedance posterior probabilities (Stephan et al. 2009) and not protected posterior probabilities (Rigoux et al. 2014) because this method is not suitable for inference at the family level.\n\n\n### DCM Effective Connectivity Parameters\nAfter inverting all DCM models and identifying the group‐level winning model through BMS, we extracted connectivity parameters (forward, intrinsic, and backward) from the winning model for each participant to compare how the task affected endogenous and effective connectivity in the two groups. Then, we computed the Shapiro–Wilk normality test and selected the appropriate statistical test (parametric or non‐parametric independent‐sample test) for each variable. For non‐parametric t‐tests, effect size is given by rank biserial correlation (Kerby 2014). Confidence Interval (CI) are reported.\nWe further explored the association between task‐related modulatory effects of the winning model and personality traits (autism, alexithymia and interoceptive awareness) by computing parametric or non‐parametric correlations between individual connectivity parameters and their scores in each personality questionnaire (SRS‐2, AQ, TAS‐20, and MAIA‐2). We computed this analysis first on the whole sample of participants, and then on the two groups separately. For each questionnaire, we Bonferroni‐corrected p‐values for multiple comparisons (0.05/3 = 0.017) and set 0.017 as the significance threshold. For non‐parametric correlations, effect size is given by Spearman rho (ρ). Confidence Interval (CI) from 1000 bootstraps is reported.\nTo ensure the robustness of results, we replicated all statistical analyses also on connectivity parameters extracted from BMA of the winning family.\nAll statistical analyses are computed with the software JASP 0.18.3 (JASP Team (2024). JASP (Version 0.19.3). n.d.).\n\n\n### Results\nThe analysis revealed no task‐dependent differences in accuracy between the two groups.\nThe mixed repeated‐measures ANOVA showed a significant main effect of Group (F(1,36) = 5.396, p = 0.026, ηp\n2 = 0.130), explained by an overall decreased accuracy for the ASD compared with the TD group. No further significant effects were found (main effect of Task, F(1,36) = 0.751, p = 0.392, ηp\n2 = 0.020, Group × Task interaction, F(1,36) = 1.827, p = 0.185, ηp\n2 = 0.048), suggesting that the behavioral differences between the two groups were not task dependent. These results are fully reported in (Fanghella et al. 2022).\nThe most relevant result from the ERP analysis shows significantly reduced amplitude of the (VEP‐free) SEP P100 component in ASD compared to TD in emotion but not gender task.\nSpecifically, results indicated enhanced somatosensory responses during emotion discrimination task in the TD compared with the ASD group, particularly in frontal and dorsal regions. This was highlighted by follow‐up analyses on significant Group × Task × Region and Group × Task × Site interactions, revealing enhanced somatosensory responses in TD compared with ASD during emotion discrimination in the frontal (two‐tailed independent‐sample t‐test: t(36) = 2.054, p = 0.047, Cohen's d = 0.666) and the dorsal site (two‐tailed independent‐sample t‐test: t(36) = 2.311, p = 0.027, Cohen's d = 0.750). Moreover, the overall activity during emotion task was enhanced in TD compared with ASD (follow‐up on the significant Group × Task interaction: main effect of Group in emotion task: F(36,1) = 6.51, p = 0.015, ηp\n2 = 0.15). All these effects were not significant for gender task (all p‐values > 0.395, all t < −0.860, all Cohen's d < −0.279). In addition, in the TD group, follow‐up analyses showed that somatosensory responses were significantly enhanced for emotion task compared with gender task in the frontal region (two‐tailed paired‐sample t‐test: t(18) = 2.166, p = 0.044, Cohen's d = 0.497). In the ASD group, we found no significant differences between somatosensory responses during emotion and gender task (p = 0.171, t = −1.427. Cohen's d = −0.327). The full analysis of SEP components (P50, N80, P100, and N140) of this sample are reported in (Fanghella et al. 2022).\nThis analysis revealed that EEG data (VEP‐free SEP) were better explained by the model posing intrinsic changes in rS1 and the family modeling intrinsic changes within cortical areas.\nThe winning model for both groups posed that task‐related differences in electrophysiological activity were caused by changes in intrinsic connectivity of rS1 (model 4: exceedance probability TD 33%, ASD 36%). The winning family was formed by four models including task‐related modulations to intrinsic connectivity of rS1, rS2, rSMA, and rIFG (intrinsic family: exceedance probability TD 68%, ASD 60%). Results from Bayesian model selection are presented in Figure 3, showing model exceedance probabilities for the 10 models and the three families.\nBayesian model selection over individual data from typically developing individuals (TD; N = 19) and autistic individuals (ASD; N = 19). (A) Winning models for TD (left) and ASD (right). For both groups, the winning model is number 4: Changes in intrinsic connectivity within the right primary somatosensory cortex. (B) The winning family involves models with intrinsic task‐related modulations of brain areas in both TD (left) and ASD (right). Models: Forward (FW) family: (1) rS1 → rS2; (2) rS1 → rSMA; (3) rSMA → rIFG. Intrinsic (IN) family: (4) rS1; (5) rS2; (6) rSMA; (7) rIFG. Backward (BW) family: (8) rS2 → rS1; (9) rSMA → rS2; (10) rIFG → rSMA.\nThis analysis showed significantly reduced task‐related intrinsic modulation of rS1 in the ASD compared to TD participants both when considering connectivity parameters from the winning model and the winning family. These parameters significantly correlated with individual alexithymia traits in the whole sample and in the autistic group.\nResults from the Shapiro–Wilk normality tests on connectivity values extracted from the BMS winning model, posing task‐related intrinsic changes in rS1 (including forward and backward connections and task‐related intrinsic modulations of rS1) highlighted that connectivity values were not normally distributed (all ps < 0.05, all W < 0.937), except for the backward connection rSMA → rS2 (p = 0.069, W = 0.947). Therefore, we computed independent‐sample non‐parametric tests (U Mann–Whitney) for all values except for the SMA → S2 connection, where we performed an independent‐sample t‐test.\nIndependent‐sample U Mann–Whitney test highlighted significant group differences in task‐related modulations of intrinsic connectivity within the rS1 (U = 268, p = 0.010, two‐tailed, with a medium to large effect size, rank biserial correlation = 0.485; CI: 0.156, 0.717; TD: Mean = 0.097, SE = 0.048, ASD: Mean = −0.021, SE = 0.023) with TD showing higher modulation. No differences were found in forward or backward connectivity (all ps > 0.11, all rank biserial correlations < −0.307).\nTo further explore the association between personality traits and task‐related modulations of intrinsic connectivity within rS1, we computed non‐parametric correlations (Spearman rho (ρ)) between individual modulatory parameters of rS1 and personality traits (autism, alexithymia, and interoceptive awareness, measured with SRS‐2 and AQ, TAS‐20, and MAIA‐2, respectively). First, we computed correlations on the whole sample of participants, including TD and ASD individuals. Then, we tested correlations for the TD and ASD groups separately. Results highlighted significant negative correlations between individual levels of alexithymia and task‐related modulations of intrinsic connectivity in rS1 in the whole sample of participants (n = 38, Spearman's rho (ρ) = −0.377, p = 0.015, two‐tailed, with a medium effect size; CI from 1000 bootstraps: −0.091, −0.654) and in the ASD group (n = 19, Spearman's rho (ρ) = −0.622, p = 0.004, two‐tailed, with a large effect size, CI from 1000 bootstraps: −0.225, −0.868) but not in TD (all ps > 0.05; for full results, see Table S2). Correlations with SRS‐2, AQ, and MAIA‐2 were not significant (all p > 0.05; for full results, see Table S2).\nShapiro–Wilk normality tests on connectivity values extracted from BMA on the winning family, including models explaining task‐related changes as intrinsic modulations of rS1, rS2, rSMA and rIFG, revealed that all forward connections were normally distributed (rS1 → rS2, rS2 → rSMA, rSMA → rIFG, all ps > 0.25), backward connections were either normally distributed (rS2 → rS1, rIFG → rSMA, all ps > 0.27) or not normally distributed (rSMA → rS2, p = 0.002), and all intrinsic connections were not normally distributed (rS1, rS2, rSMA, rIFG, all ps < 0.001). We computed independent‐sample non‐parametric tests (U Mann–Whitney) for not normally distributed parameters and independent‐sample t‐tests for normally distributed parameters. Results replicated the previous pattern, with significant group differences in task‐related modulations of intrinsic connectivity within the rS1 (Mann–Whitney U = 268, p = 0.016, two‐tailed, with a medium effect size, rank biserial correlation = 0.452, CI: 0.114, 0.696); with TD showing higher modulation (TD: Mean = 0.030, SE = 0.014, ASD: Mean = −0.007, SE = 0.005), but no significant results for the other intrinsic connections, neither for forward or backward connectivity (all ps > 0.27, all rank biserial correlations < 0.213).\nResults on correlations between intrinsic modulations of rS1 and personality traits of the whole sample of participants showed that task‐related intrinsic modulations of rS1 negatively correlated with autistic traits (AQ, n = 36, Spearman's rho (ρ) = −0.434, p = 0.008, two‐tailed, with a medium effect size, CI from 1000 bootstraps: −0.134, −0.658), alexithymia (TAS‐20, n = 38, ρ = −0.409, p = 0.011, two‐tailed, with a medium effect size, CI from 1000 bootstraps: −0.134, −0.636), and positively correlated with interoceptive awareness (MAIA‐2, n = 38, Spearman's rho (ρ) = 0.419, p = 0.009, two‐tailed, with a medium effect size, CI from 1000 bootstraps: 0.656, 0.147). The negative correlation with SRS‐2 was not significant (n = 33, Spearman's rho (ρ) = −0.311, p = 0.079, two‐tailed, with a medium effect size, CI from 1000 bootstraps: 0.036, −0.606). No other significant correlations were found for intrinsic modulations of rS2, rSMA, and rIFG (all ps > 0.05). We also found an uncorrected significant negative correlation between intrinsic modulations of rS2 and alexithymia only in the ASD group (TAS‐20, n = 19, Spearman's rho (ρ) = −0.501, p = 0.029, two‐tailed, with a large effect size, CI from 1000 bootstraps: −0.033, −0.811). All other correlations for ASD and TD were not significant (all ps > 0.05; for full results, see Table S2).\nResults of independent‐sample tests and correlations for BMS and BMA are depicted in Figure 4.\nResults. (A) Raincloud plots showing significant group differences (typically developing (TD) and autistic (ASD) individuals) in task‐related modulations of intrinsic connectivity of the right primary somatosensory cortex (rS1) in Bayesian Model Selection (BMS) and Bayesian Model Averaging (BMA). (B) Correlations between alexithymia traits, measured with TAS‐20 and task‐related modulatory parameters of intrinsic connectivity of rS1 for BMS in all participants (left) and in TD and ASD separately (right). (C) Correlations between autistic traits, measured with AQ (left), and alexithymia, measured with TAS‐20 (right), and task‐related modulations of rS1 intrinsic connectivity for BMA in all participants. Task‐related increase of intrinsic connectivity in rS1 is associated with lower autistic (AQ) and alexithymia traits (TAS‐20). *p < 0.05, **p < 0.01, corrected for multiple comparisons.\n\n\n### Accuracy in Emotion/Gender Recognition Task\nThe analysis revealed no task‐dependent differences in accuracy between the two groups.\nThe mixed repeated‐measures ANOVA showed a significant main effect of Group (F(1,36) = 5.396, p = 0.026, ηp\n2 = 0.130), explained by an overall decreased accuracy for the ASD compared with the TD group. No further significant effects were found (main effect of Task, F(1,36) = 0.751, p = 0.392, ηp\n2 = 0.020, Group × Task interaction, F(1,36) = 1.827, p = 0.185, ηp\n2 = 0.048), suggesting that the behavioral differences between the two groups were not task dependent. These results are fully reported in (Fanghella et al. 2022).\n\n\n### SEP Group Differences\nThe most relevant result from the ERP analysis shows significantly reduced amplitude of the (VEP‐free) SEP P100 component in ASD compared to TD in emotion but not gender task.\nSpecifically, results indicated enhanced somatosensory responses during emotion discrimination task in the TD compared with the ASD group, particularly in frontal and dorsal regions. This was highlighted by follow‐up analyses on significant Group × Task × Region and Group × Task × Site interactions, revealing enhanced somatosensory responses in TD compared with ASD during emotion discrimination in the frontal (two‐tailed independent‐sample t‐test: t(36) = 2.054, p = 0.047, Cohen's d = 0.666) and the dorsal site (two‐tailed independent‐sample t‐test: t(36) = 2.311, p = 0.027, Cohen's d = 0.750). Moreover, the overall activity during emotion task was enhanced in TD compared with ASD (follow‐up on the significant Group × Task interaction: main effect of Group in emotion task: F(36,1) = 6.51, p = 0.015, ηp\n2 = 0.15). All these effects were not significant for gender task (all p‐values > 0.395, all t < −0.860, all Cohen's d < −0.279). In addition, in the TD group, follow‐up analyses showed that somatosensory responses were significantly enhanced for emotion task compared with gender task in the frontal region (two‐tailed paired‐sample t‐test: t(18) = 2.166, p = 0.044, Cohen's d = 0.497). In the ASD group, we found no significant differences between somatosensory responses during emotion and gender task (p = 0.171, t = −1.427. Cohen's d = −0.327). The full analysis of SEP components (P50, N80, P100, and N140) of this sample are reported in (Fanghella et al. 2022).\n\n\n### DCM Model Comparison\nThis analysis revealed that EEG data (VEP‐free SEP) were better explained by the model posing intrinsic changes in rS1 and the family modeling intrinsic changes within cortical areas.\nThe winning model for both groups posed that task‐related differences in electrophysiological activity were caused by changes in intrinsic connectivity of rS1 (model 4: exceedance probability TD 33%, ASD 36%). The winning family was formed by four models including task‐related modulations to intrinsic connectivity of rS1, rS2, rSMA, and rIFG (intrinsic family: exceedance probability TD 68%, ASD 60%). Results from Bayesian model selection are presented in Figure 3, showing model exceedance probabilities for the 10 models and the three families.\nBayesian model selection over individual data from typically developing individuals (TD; N = 19) and autistic individuals (ASD; N = 19). (A) Winning models for TD (left) and ASD (right). For both groups, the winning model is number 4: Changes in intrinsic connectivity within the right primary somatosensory cortex. (B) The winning family involves models with intrinsic task‐related modulations of brain areas in both TD (left) and ASD (right). Models: Forward (FW) family: (1) rS1 → rS2; (2) rS1 → rSMA; (3) rSMA → rIFG. Intrinsic (IN) family: (4) rS1; (5) rS2; (6) rSMA; (7) rIFG. Backward (BW) family: (8) rS2 → rS1; (9) rSMA → rS2; (10) rIFG → rSMA.\n\n\n### DCM Effective Connectivity Parameters\nThis analysis showed significantly reduced task‐related intrinsic modulation of rS1 in the ASD compared to TD participants both when considering connectivity parameters from the winning model and the winning family. These parameters significantly correlated with individual alexithymia traits in the whole sample and in the autistic group.\n\n\n### Winning Model\nResults from the Shapiro–Wilk normality tests on connectivity values extracted from the BMS winning model, posing task‐related intrinsic changes in rS1 (including forward and backward connections and task‐related intrinsic modulations of rS1) highlighted that connectivity values were not normally distributed (all ps < 0.05, all W < 0.937), except for the backward connection rSMA → rS2 (p = 0.069, W = 0.947). Therefore, we computed independent‐sample non‐parametric tests (U Mann–Whitney) for all values except for the SMA → S2 connection, where we performed an independent‐sample t‐test.\nIndependent‐sample U Mann–Whitney test highlighted significant group differences in task‐related modulations of intrinsic connectivity within the rS1 (U = 268, p = 0.010, two‐tailed, with a medium to large effect size, rank biserial correlation = 0.485; CI: 0.156, 0.717; TD: Mean = 0.097, SE = 0.048, ASD: Mean = −0.021, SE = 0.023) with TD showing higher modulation. No differences were found in forward or backward connectivity (all ps > 0.11, all rank biserial correlations < −0.307).\nTo further explore the association between personality traits and task‐related modulations of intrinsic connectivity within rS1, we computed non‐parametric correlations (Spearman rho (ρ)) between individual modulatory parameters of rS1 and personality traits (autism, alexithymia, and interoceptive awareness, measured with SRS‐2 and AQ, TAS‐20, and MAIA‐2, respectively). First, we computed correlations on the whole sample of participants, including TD and ASD individuals. Then, we tested correlations for the TD and ASD groups separately. Results highlighted significant negative correlations between individual levels of alexithymia and task‐related modulations of intrinsic connectivity in rS1 in the whole sample of participants (n = 38, Spearman's rho (ρ) = −0.377, p = 0.015, two‐tailed, with a medium effect size; CI from 1000 bootstraps: −0.091, −0.654) and in the ASD group (n = 19, Spearman's rho (ρ) = −0.622, p = 0.004, two‐tailed, with a large effect size, CI from 1000 bootstraps: −0.225, −0.868) but not in TD (all ps > 0.05; for full results, see Table S2). Correlations with SRS‐2, AQ, and MAIA‐2 were not significant (all p > 0.05; for full results, see Table S2).\n\n\n### Winning Family\nShapiro–Wilk normality tests on connectivity values extracted from BMA on the winning family, including models explaining task‐related changes as intrinsic modulations of rS1, rS2, rSMA and rIFG, revealed that all forward connections were normally distributed (rS1 → rS2, rS2 → rSMA, rSMA → rIFG, all ps > 0.25), backward connections were either normally distributed (rS2 → rS1, rIFG → rSMA, all ps > 0.27) or not normally distributed (rSMA → rS2, p = 0.002), and all intrinsic connections were not normally distributed (rS1, rS2, rSMA, rIFG, all ps < 0.001). We computed independent‐sample non‐parametric tests (U Mann–Whitney) for not normally distributed parameters and independent‐sample t‐tests for normally distributed parameters. Results replicated the previous pattern, with significant group differences in task‐related modulations of intrinsic connectivity within the rS1 (Mann–Whitney U = 268, p = 0.016, two‐tailed, with a medium effect size, rank biserial correlation = 0.452, CI: 0.114, 0.696); with TD showing higher modulation (TD: Mean = 0.030, SE = 0.014, ASD: Mean = −0.007, SE = 0.005), but no significant results for the other intrinsic connections, neither for forward or backward connectivity (all ps > 0.27, all rank biserial correlations < 0.213).\nResults on correlations between intrinsic modulations of rS1 and personality traits of the whole sample of participants showed that task‐related intrinsic modulations of rS1 negatively correlated with autistic traits (AQ, n = 36, Spearman's rho (ρ) = −0.434, p = 0.008, two‐tailed, with a medium effect size, CI from 1000 bootstraps: −0.134, −0.658), alexithymia (TAS‐20, n = 38, ρ = −0.409, p = 0.011, two‐tailed, with a medium effect size, CI from 1000 bootstraps: −0.134, −0.636), and positively correlated with interoceptive awareness (MAIA‐2, n = 38, Spearman's rho (ρ) = 0.419, p = 0.009, two‐tailed, with a medium effect size, CI from 1000 bootstraps: 0.656, 0.147). The negative correlation with SRS‐2 was not significant (n = 33, Spearman's rho (ρ) = −0.311, p = 0.079, two‐tailed, with a medium effect size, CI from 1000 bootstraps: 0.036, −0.606). No other significant correlations were found for intrinsic modulations of rS2, rSMA, and rIFG (all ps > 0.05). We also found an uncorrected significant negative correlation between intrinsic modulations of rS2 and alexithymia only in the ASD group (TAS‐20, n = 19, Spearman's rho (ρ) = −0.501, p = 0.029, two‐tailed, with a large effect size, CI from 1000 bootstraps: −0.033, −0.811). All other correlations for ASD and TD were not significant (all ps > 0.05; for full results, see Table S2).\nResults of independent‐sample tests and correlations for BMS and BMA are depicted in Figure 4.\nResults. (A) Raincloud plots showing significant group differences (typically developing (TD) and autistic (ASD) individuals) in task‐related modulations of intrinsic connectivity of the right primary somatosensory cortex (rS1) in Bayesian Model Selection (BMS) and Bayesian Model Averaging (BMA). (B) Correlations between alexithymia traits, measured with TAS‐20 and task‐related modulatory parameters of intrinsic connectivity of rS1 for BMS in all participants (left) and in TD and ASD separately (right). (C) Correlations between autistic traits, measured with AQ (left), and alexithymia, measured with TAS‐20 (right), and task‐related modulations of rS1 intrinsic connectivity for BMA in all participants. Task‐related increase of intrinsic connectivity in rS1 is associated with lower autistic (AQ) and alexithymia traits (TAS‐20). *p < 0.05, **p < 0.01, corrected for multiple comparisons.\n\n\n### Discussion\nThis study investigated for the first time changes in effective connectivity across fronto‐parietal areas during emotion perception in two groups of ASD and TD individuals by means of DCM for EEG.\nWe hypothesized a network of areas lateralized in the right hemisphere, involving the rS1 and rS2, the rSMA and the rIFG, following previous models of embodied emotion (Bastiaansen et al. 2009; Goldman and Sripada 2005; Heberlein and Atkinson 2009; Hennenlotter et al. 2005; Keysers et al. 2010; Keysers and Gazzola 2009; Niedenthal 2007).\nThen, we tested if task‐related group differences in early and mid‐latency SEP components (including the P50, N80, P100, and N140), co‐occurring with visual analysis of facial emotional expressions, could be better explained in terms of extrinsic (bottom‐up or top‐down) connectivity between these areas, consistently with evidence for hierarchical emotion processing (Dima et al. 2011), or in terms of changes in intrinsic connectivity within a specific area (Kiebel et al. 2007).\nOur BMS results highlighted that task‐related differences (emotion versus gender discrimination) were better explained by the model posing changes in intrinsic connectivity within the rS1 both in autistic and typically developing individuals, suggesting that somatosensory processing of emotional expressions is not a by‐product of top‐down modulations from higher‐order fronto‐parietal areas. These results were confirmed by BMA, which highlighted as winning family the intrinsic modulations family, compared to forward or backward. Importantly, we compared differences in task‐related intrinsic changes within rS1 between ASD and typically developing participants. Consistently with our hypothesis, task‐related modulations of intrinsic connectivity within the rS1 were enhanced in TD compared to ASD individuals both in the winning model and in the winning family, causally explaining differences in SEP amplitudes (Fanghella et al. 2022).\nConnectivity across areas included in the embodied emotion network did not differ between the two groups, except for task‐related functional changes in rS1. This contradicts previous findings suggesting altered effective connectivity in fronto‐parietal regions involved in social information processing in ASD (Cheng et al. 2015; Ecker et al. 2013; Leyhausen et al. 2024; Shih et al. 2010; Wicker et al. 2008), see (Keysers et al. 2024) for a recent review.\nOur results highlight the causal role of the rS1 in processing visually presented facial emotional expressions (Arslanova et al. 2023; Fanghella et al. 2022; Sel et al. 2014, 2020) and provide evidence for hierarchical models of embodied emotion perception (Pitcher et al. 2008). This complements other accounts suggesting that the secondary somatosensory cortex (Keysers et al. 2010) or feedback and feedforward connections between fronto‐parietal areas (Isakoglou et al. 2023; Keysers et al. 2024) are crucial for typical and atypical vicarious emotional activations.\nNotably, this is the first study using DCM on VEP‐free SEPs. By subtracting visual evoked potentials, elicited by visual presentation of facial emotional stimuli, from mixed visual and somatosensory responses, this method allows to isolate somatosensory modulations from visual carryover effects (Galvez‐Pol et al. 2020). However, this subtractive method does not allow isolating somatosensory activity from modulatory effects of higher‐order areas. The current study shows that differences within the embodied emotion network between ASD and TD individuals arise from differential modulations of intrinsic activations of the rS1 and are not a byproduct of top‐down modulatory effects, as other authors have hypothesized regarding social difficulties in ASD (Hamilton 2013).\nImportantly, our results suggest that changes in intrinsic modulatory activity of rS1 during emotion discrimination are mediated by alexithymia. In fact, we found negative correlations between the strength of participants' alexithymia traits, measured with the TAS‐20, and task‐related changes in intrinsic modulatory activity of rS1 both in the winning model (BMS) and the winning family (BMA). This indicates that higher traits in alexithymia were associated with lower levels of task‐related intrinsic changes in rS1.\nMoreover, task‐related changes of rS1 within the winning family were associated with autistic traits and interoceptive awareness. These results are consistent with previous literature suggesting that alexithymia is separate from autism itself but is often associated with emotional symptoms and difficulties with interoception in ASD (Bird and Cook 2013; Garfinkel et al. 2016; Shah et al. 2016).\nSome authors even argued that emotional difficulties within the autistic population are attributable to alexithymia, rather than a feature of autism per se (Cook et al. 2013). For instance, Gaigg et al. (2016) suggested that alexithymia involves a disruption in how physiological arousal modulates the subjective feelings of emotional states. However, while previous findings found a relationship between emotional empathy, levels of alexithymia and brain activity in the anterior insula (Bernhardt et al. 2014; Silani et al. 2008), no studies have yet described an association between modulations of activity in rS1, emotion processing and levels of alexithymia in the autistic population. Arslanova and colleagues (Arslanova et al. 2023) found that somatosensory activations associated with emotion processing were shaped by alexithymia in the general population.\nIn the current study, we observe a systematic association between levels of alexithymia and changes in somatosensory activations during emotion or gender discrimination in the ASD group and in the whole sample of participants. These results strengthen previous findings describing a crucial role of co‐occurring alexithymia in mediating difficulties in the domain of emotional processing in ASD (Bird and Cook 2013; Cook et al. 2013) and provide the first evidence of the relationship between emotion‐related functional modulations of the primary somatosensory cortex and participants' levels of alexithymia. In addition, they suggest that rS1 modulations might be associated with autistic traits and interoceptive awareness (Garfinkel et al. 2016), reflecting the complexity of emotional difficulties in ASD.\nA limitation of this study focused on a restricted subgroup of autistic adults, mainly male (95%), with average to above‐average intelligence and no language or learning difficulties. Although the impact on gender and IQ has not been investigated yet, it might have influenced the neural dynamics underlying somatosensory embodiment. To overcome this limitation, future research would benefit from extending these findings to different samples of autistic individuals (e.g., female, below‐average IQ, children/adolescent). Moreover, testing two groups of autistic and non‐autistic participants matched for alexithymia could be useful to disentangle autism‐related group differences from those associated with alexithymia.\nBecause of these limitations, we consider relevant to include constraints on generality (CoG) (Simons et al. 2017), an increasingly common practice in cognitive neuroscience research (e.g., Lopez‐Martin et al. 2026). The present findings should be interpreted considering the characteristics of the sample and the experimental context. The results are expected to generalize primarily to autistic adults with average to above‐average intelligence, preserved language abilities, and similar demographic characteristics to those tested here. Given that the autistic sample was predominantly male, the extent to which these findings generalize to female or gender‐diverse autistic individuals remains unclear. Moreover, the effects were observed using a specific EEG paradigm involving visual emotion and gender discrimination tasks combined with task‐irrelevant tactile stimulation; thus, generalization to other forms of emotion processing, sensory modalities, or experimental designs should be made cautiously. Finally, because the study focused on a restricted set of cortical regions within a predefined embodied emotion network, the present conclusions may not extend to broader neural systems involved in emotion processing beyond those examined here.\n\n\n### Changes in rS1 Intrinsic Connectivity Explain Differences in Emotion Perception in ASD\nOur BMS results highlighted that task‐related differences (emotion versus gender discrimination) were better explained by the model posing changes in intrinsic connectivity within the rS1 both in autistic and typically developing individuals, suggesting that somatosensory processing of emotional expressions is not a by‐product of top‐down modulations from higher‐order fronto‐parietal areas. These results were confirmed by BMA, which highlighted as winning family the intrinsic modulations family, compared to forward or backward. Importantly, we compared differences in task‐related intrinsic changes within rS1 between ASD and typically developing participants. Consistently with our hypothesis, task‐related modulations of intrinsic connectivity within the rS1 were enhanced in TD compared to ASD individuals both in the winning model and in the winning family, causally explaining differences in SEP amplitudes (Fanghella et al. 2022).\nConnectivity across areas included in the embodied emotion network did not differ between the two groups, except for task‐related functional changes in rS1. This contradicts previous findings suggesting altered effective connectivity in fronto‐parietal regions involved in social information processing in ASD (Cheng et al. 2015; Ecker et al. 2013; Leyhausen et al. 2024; Shih et al. 2010; Wicker et al. 2008), see (Keysers et al. 2024) for a recent review.\nOur results highlight the causal role of the rS1 in processing visually presented facial emotional expressions (Arslanova et al. 2023; Fanghella et al. 2022; Sel et al. 2014, 2020) and provide evidence for hierarchical models of embodied emotion perception (Pitcher et al. 2008). This complements other accounts suggesting that the secondary somatosensory cortex (Keysers et al. 2010) or feedback and feedforward connections between fronto‐parietal areas (Isakoglou et al. 2023; Keysers et al. 2024) are crucial for typical and atypical vicarious emotional activations.\n\n\n### DCM on VEP‐Free SEP\nNotably, this is the first study using DCM on VEP‐free SEPs. By subtracting visual evoked potentials, elicited by visual presentation of facial emotional stimuli, from mixed visual and somatosensory responses, this method allows to isolate somatosensory modulations from visual carryover effects (Galvez‐Pol et al. 2020). However, this subtractive method does not allow isolating somatosensory activity from modulatory effects of higher‐order areas. The current study shows that differences within the embodied emotion network between ASD and TD individuals arise from differential modulations of intrinsic activations of the rS1 and are not a byproduct of top‐down modulatory effects, as other authors have hypothesized regarding social difficulties in ASD (Hamilton 2013).\n\n\n### Task‐Related Connectivity Changes in rS1 in ASD Are Associated With Alexithymia\nImportantly, our results suggest that changes in intrinsic modulatory activity of rS1 during emotion discrimination are mediated by alexithymia. In fact, we found negative correlations between the strength of participants' alexithymia traits, measured with the TAS‐20, and task‐related changes in intrinsic modulatory activity of rS1 both in the winning model (BMS) and the winning family (BMA). This indicates that higher traits in alexithymia were associated with lower levels of task‐related intrinsic changes in rS1.\nMoreover, task‐related changes of rS1 within the winning family were associated with autistic traits and interoceptive awareness. These results are consistent with previous literature suggesting that alexithymia is separate from autism itself but is often associated with emotional symptoms and difficulties with interoception in ASD (Bird and Cook 2013; Garfinkel et al. 2016; Shah et al. 2016).\nSome authors even argued that emotional difficulties within the autistic population are attributable to alexithymia, rather than a feature of autism per se (Cook et al. 2013). For instance, Gaigg et al. (2016) suggested that alexithymia involves a disruption in how physiological arousal modulates the subjective feelings of emotional states. However, while previous findings found a relationship between emotional empathy, levels of alexithymia and brain activity in the anterior insula (Bernhardt et al. 2014; Silani et al. 2008), no studies have yet described an association between modulations of activity in rS1, emotion processing and levels of alexithymia in the autistic population. Arslanova and colleagues (Arslanova et al. 2023) found that somatosensory activations associated with emotion processing were shaped by alexithymia in the general population.\nIn the current study, we observe a systematic association between levels of alexithymia and changes in somatosensory activations during emotion or gender discrimination in the ASD group and in the whole sample of participants. These results strengthen previous findings describing a crucial role of co‐occurring alexithymia in mediating difficulties in the domain of emotional processing in ASD (Bird and Cook 2013; Cook et al. 2013) and provide the first evidence of the relationship between emotion‐related functional modulations of the primary somatosensory cortex and participants' levels of alexithymia. In addition, they suggest that rS1 modulations might be associated with autistic traits and interoceptive awareness (Garfinkel et al. 2016), reflecting the complexity of emotional difficulties in ASD.\n\n\n### Limitations\nA limitation of this study focused on a restricted subgroup of autistic adults, mainly male (95%), with average to above‐average intelligence and no language or learning difficulties. Although the impact on gender and IQ has not been investigated yet, it might have influenced the neural dynamics underlying somatosensory embodiment. To overcome this limitation, future research would benefit from extending these findings to different samples of autistic individuals (e.g., female, below‐average IQ, children/adolescent). Moreover, testing two groups of autistic and non‐autistic participants matched for alexithymia could be useful to disentangle autism‐related group differences from those associated with alexithymia.\nBecause of these limitations, we consider relevant to include constraints on generality (CoG) (Simons et al. 2017), an increasingly common practice in cognitive neuroscience research (e.g., Lopez‐Martin et al. 2026). The present findings should be interpreted considering the characteristics of the sample and the experimental context. The results are expected to generalize primarily to autistic adults with average to above‐average intelligence, preserved language abilities, and similar demographic characteristics to those tested here. Given that the autistic sample was predominantly male, the extent to which these findings generalize to female or gender‐diverse autistic individuals remains unclear. Moreover, the effects were observed using a specific EEG paradigm involving visual emotion and gender discrimination tasks combined with task‐irrelevant tactile stimulation; thus, generalization to other forms of emotion processing, sensory modalities, or experimental designs should be made cautiously. Finally, because the study focused on a restricted set of cortical regions within a predefined embodied emotion network, the present conclusions may not extend to broader neural systems involved in emotion processing beyond those examined here.\n\n\n### Conclusions\nOur results provide evidence that decreased somatosensory evoked potentials associated with differences in emotion processing in ASD are causally explained by reduced functional modulation of intrinsic activity in rS1, rather than bottom‐up or top‐down modulations between sensorimotor and frontal areas. Moreover, they suggest that emotion‐related activations in rS1 may be mediated by alexithymia, interoceptive awareness, and autistic traits. Future research will clarify how other areas crucial for emotion processing, such as the amygdala or the anterior insula, interact with sensorimotor areas to contribute to differences in emotion perception in ASD. Moreover, it will expand our understanding of the link between somatosensory processing of emotions, autistic traits, alexithymia, and interoception in individuals with and without ASD (Garfinkel et al. 2016; Palser et al. 2020, 2021; Shah et al. 2016).\n\n\n### Author Contributions\nConceptualization: Martina Fanghella, Danai Dima, Dimitrios Pinotsis, Sebastian B. Gaigg, Beatriz Calvo‐Merino, and Bettina Forster. Methodology: Martina Fanghella, Danai Dima, Dimitrios Pinotsis, Beatriz Calvo‐Merino, and Bettina Forster. Software: Martina Fanghella, Danai Dima, and Dimitrios Pinotsis. Formal analysis: Martina Fanghella, Danai Dima, Dimitrios Pinotsis, and Bettina Forster. Investigation: Martina Fanghella, Sebastian B. Gaigg, Beatriz Calvo‐Merino, and Bettina Forster. Writing – original draft: Martina Fanghella, Danai Dima, and Bettina Forster. Writing – review and editing: Martina Fanghella, Danai Dima, Dimitrios Pinotsis, Sebastian B. Gaigg, Beatriz Calvo‐Merino, and Bettina Forster. Visualization: Martina Fanghella. Supervision: Bettina Forster. All authors commented on and approved the manuscript.\n\n\n### Funding\nD.P. was supported by the Medical Research Council (Grant number MR/W011751/1). M.F. was funded by a PhD scholarship from the joint PhD program in Psychology and Social Neuroscience, City St George's, University of London and La Sapienza, University of Rome, and from the Department of Philosophy ‘Piero Martinetti’ of the University of Milan, with the Project “Departments of Excellence 2018‐2022”, awarded by the Italian Ministry of University and Research (MUR).\n\n\n### Ethics Statement\nAll participants provided written informed consent, and the Ethical Committee of City, University of London approved the original study (PSYETH (S/F) 17/18 105).\n\n\n### Consent\nThe authors have nothing to report.\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.\n\n\n### Supporting information\nTable S1: Demographics and questionnaire scores for ASD and TD participants.\nTable S2: Results from correlations between task‐related changes in intrinsic activity of right primary somatosensory cortex (rS1) and individual scores in personality questionnaires measuring autistic traits (SRS‐2 and AQ), alexithymia (TAS‐20) and interoceptive awareness (MAIA‐2). ρ: Spearman's rho. *p < 0.05; **p < 0.01.", "domain": "affective_neuroscience"}
{"source": "PMC13086332", "title": "Statistically valid explainable black-box machine learning: applications in sex classification across species using brain imaging", "text": "# Statistically valid explainable black-box machine learning: applications in sex classification across species using brain imaging\n\n## Abstract\nSex classification using neuroimaging data has the potential to revolutionize personalized diagnostics by revealing subtle structural brain differences that underlie sex-specific disease risks. Despite the promise of machine learning, traditional methods often fall short in providing both high classification accuracy and interpretable, statistically validated feature importance scores for high-dimensional imaging data. This gap is particularly evident when conventional techniques such as random forests, LIME, and SHAP are applied, as they struggle with complex feature interactions and managing noise in large datasets. We address this challenge by developing an integrated framework that combines Oblique Random Forests (ORFs) with a novel, permutation-based feature importance testing algorithm. ORFs extend traditional random forests by employing oblique decision boundaries through linear combinations of features, thereby capturing intricate interactions inherent in neuroimaging data. Our feature importance testing method, NEOFIT, rigorously quantifies the significance of each feature by generating null distributions and corrected p-values. We first validate our approach using simulated datasets, establishing its robustness and scalability under controlled conditions. We then apply our method to classify sex from both voxel-wise structural MRI and cortical thickness data in humans and macaques, facilitating direct cross-species comparisons. ORFs achieves AUC > 0.80 on human data, and >0.70 on macaque data, while NEOFIT identifies statistically significant features aligned with sex-dimorphic neuroanatomy. Our results demonstrate that the proposed framework not only enhances classification performance but also provides clear, interpretable insights into the neuroanatomical features that distinguish sexes. These methodological advancements pave the way for improved diagnostic tools and contribute to a deeper understanding of the evolutionary basis of sex differences in brain structure.\n\n## Full Text\n\n\n### Introduction\nThe opportunity to harness high-dimensional medical imaging data to improve diagnostic precision and treatment outcomes is immense. Prior studies in radiography and ultrasound have reported clinically relevant diagnostic performance from Machine Learning-based pipelines [1,2]. In neuroimaging, structural Magnetic Resonance Imaging (MRI) measurements offer a wealth of information that can reveal subtle brain differences linked to neurodevelopmental, cognitive, and behavioral traits, as well as susceptibility to disorders such as autism, schizophrenia, and Alzheimer’s disease [3–9]. To realize this promise in clinical settings, methods are needed that not only deliver high predictive accuracy but also provide interpretable, statistically validated insights into which features are truly significant.\nA major challenge in neuroimaging classification is ensuring biological interpretability. Feature selection and rigorous statistical validation are crucial when models handle thousands of features. While popular post-hoc explanation techniques such as Local Interpretable Model-Agnostic Explanations (LIME) and Shapley Additive Explanations (SHAP) offer valuable insights [10,11], they face challenges in high-dimensional settings. LIME relies on local linear approximations, which can lead to variability in the explanations when the feature space is large and complex. Similarly, although SHAP’s Shapley values are theoretically robust, their computation in high-dimensional data can be computationally intensive and may result in noisy estimates. A critical gap remains in the absence of a robust method that consistently discriminates genuine signal from noise in high-dimensional neuroimaging data.\nWe address this gap by developing an integrated framework that combines Oblique Random Forests (ORFs) with a permutation-based feature importance testing algorithm. ORFs, which use linear combinations of features at each split [12], are particularly adept at capturing complex interactions inherent in neuroimaging data. Our feature importance testing framework statistically validates feature contributions by generating null distributions and applying Bcorrected p-values, thereby reducing overfitting and enhancing interpretability.\nTo systematically evaluate our approach, we first benchmark it on simulated datasets to assess its effectiveness in feature selection under controlled conditions. We then apply it to human and macaque neuroimaging data to classify biological sex using both voxel-wise MRI features and parcellated cortical thickness (CTh) data.\nThis workflow allows us to validate our method’s robustness before interpreting real neuroanatomical differences across species. Our results highlight both conserved and species-specific patterns of sex-related structural variation, with key differentiating regions emerging in the limbic system, sensory processing areas, and motor-associated regions. By integrating machine learning with statistical validation, our framework provides an interpretable and scalable approach for neuroimaging classification, with broader applications beyond sex classification.\n\n\n### Materials and methods\nTo evaluate our classification framework, we first apply it to simulated datasets, providing a controlled benchmark for assessing feature selection and classification accuracy. This establishes the effectiveness of our approach before transitioning to structural MRI data. We then analyze human and macaque MRI datasets, using oblique random forests and feature importance testing to classify biological sex. MRI preprocessing ensures cross-species comparability, with both structural MRI volume and cortical thickness data serving as primary feature spaces for classification. This two-stage workflow—benchmarking on simulations followed by real-data application—allows a rigorous assessment of our method’s reliability in identifying key brain regions relevant to sex classification.\nWe employed Oblique Random Forests (ORF) for classification tasks, specifically leveraging two variants from the treeple library: Sparse Projection Oblique Random Forest (SPORF) [13] and Manifold Oblique Random Forest (MORF) [14]. These methods are beneficial for addressing high-dimensional data with complex relationships, as they extend traditional axis-aligned decision trees by allowing each decision tree to split data using random projections, enhancing the ability to capture non-linear patterns and interactions within the feature space. ORFs are particularly advantageous in neuroimaging analysis, where data are often high-dimensional, and the relationships between features are non-linear and complex and may not align with traditional grid-like partitions of the data.\nWe specifically selected SPORF and MORF for their suitability in handling cortical thickness and MRI volume data, respectively. SPORF has advantages over other oblique random forests primarily because it integrates sparsity-inducing regularization [13]. This feature is particularly beneficial when working with datasets that may contain a large number of irrelevant or redundant features, as it helps to focus the model on the most important variables. For our cortical thickness data, SPORF’s ability to select a subset of relevant features improves interpretability and reduces overfitting, which is crucial for our sex classification task. On the other hand, MORF was chosen for MRI volume data due to its robust handling of correlated features [14]. Since MRI data may have intricate spatial correlations between features, incorporating feature locality could improve model performance by capturing these spatial dependencies. Both SPORF and MORF handle high-dimensional data efficiently, making them well-suited for the relatively high-dimensional nature of our data [13,14].\nTo validate model performance, we used the out-of-bag (OOB) score, which provides an internal validation metric. The OOB score is computed by evaluating each tree on the data points that were not used during its construction (i.e., those not included in the bootstrap sample). This technique helps estimate the generalization ability of the model without requiring a separate validation dataset. The OOB score is particularly useful in neuroimaging studies, where cross-validation can be computationally expensive. Using OOB scoring, we were able to efficiently assess model performance and avoid overfitting by providing a robust estimate of classification accuracy. S1 Fig depicts a flow diagram for our classification framework.\nFeature importances from Random Forest (RF) provide insights into how strongly each feature contributes to the model’s predictions [15]. In RFs, feature importances are typically computed using the Gini impurity-based measure: each feature’s importance is proportional to the total reduction in Gini impurity it achieves when used to split nodes across all trees in the forest. For SPORF, this process is enhanced by the sparse projection mechanism, where only a subset of features is considered at each split, ensuring that the feature importance estimates focus on the most relevant variables while mitigating noise from irrelevant ones. In MORF, feature importances are computed similarly but are influenced by the method’s consideration of feature locality, allowing it to capture spatial correlations in MRI volume data. This leads to a more nuanced understanding of how spatially distributed voxel values contribute to classification tasks.\nTo further contextualize the feature importance analysis, we compare our approach with two popular model-agnostic algorithms for feature importance: Local Interpretable Model-Agnostic Explanations (LIME) and Shapley Additive Explanations (SHAP). LIME, introduced by Ribeiro et al. [10], aims to explain individual predictions by approximating the complex model locally with a simpler, interpretable model. It computes feature importances by perturbing the input data and observing the changes in model predictions, providing insight into the local behavior of the classifier. SHAP, on the other hand, is grounded in cooperative game theory and computes feature importance by calculating the Shapley values, which represent the average contribution of each feature across all possible permutations of feature combinations [11]. Both LIME and SHAP are widely adopted in machine learning for interpreting black-box models and provide global and local feature importance measures. While these methods are powerful, they can be computationally expensive and may not scale well to high-dimensional neuroimaging data. Our feature importance testing algorithm, which adapts the tree permutation method, offers a more scalable solution for assessing the statistical significance of features in such high-dimensional settings.\nTo evaluate the significance of feature importances, we adapt and extend the tree permutation method proposed by Coleman et al. [16] to address the unique challenges of high-dimensional neuroimaging data. This method enables scalable and efficient hypothesis testing in random forests by generating null distributions of feature importance values through tree permutations [16]. Rather than generating n independent forests for permutation testing, it constructs a null distribution by randomly shuffling trees within an ensemble, preserving the dependency structure while drastically reducing computional overhead. To make it feasible for neuroimaging, we modify the framework by leveraging a two-forest approach: one baseline forest and another with permuted features. Additionally, we incorporate Bonferroni-Holm correction to control for multiple comparisons across millions of features, ensuring robust significance assessment. This allows us to assess which cortical thickness or voxel features have statistically significant contributions to sex classification. The details of this method are outlined in Algorithm 1, Neuro-Explainable Optimal Feature Importance Testing (NEOFIT).\nAlgorithm 1: Training an Explainable Classifier using NEOFIT: Neuro-Explainable Optimal Feature Importance Testing.\nInput: Dataset 𝒟 with features and labels, number of trees ntrees, number of permutations nperm, number of bootstraps B.\nOutput: Feature importance scores I, adjusted p-values.\n1:  for\nb∈B\ndo\n2:   𝒟b ← BOOTSTRAP ( 𝒟 )\n3:   𝐈b ← FITDECISIONTREE ( 𝒟b )  ▷ Train tree, compute feature importances\n4:   𝒟b′←SHUFFLELABELS(𝒟b)\n5:   𝐈b′←FITDECISIONTREE(𝒟b′)\n6:  end for\n7:  function\nComputeTestStatistic(I, I’)\n8:   𝐑 ← Rank ( 𝐈 ) , 𝐑′ ← RANK ( 𝐈′ )  ▷ Rank importances\n9:   Ti+=𝕀(Ri′>Ri) for all i∈{1,…,d} ▷ Update statistics\n10:   Ti←Ti/ntrees\n11:  end function\n12:  for\np∈{1,…,nperm}\ndo\n13:   for\nt∈{1,…,ntrees}\ndo\n14:    (𝐈tperm,𝐈t′perm)←\nPermutePairs(𝐈t,𝐈t′)\n15:   end for\n16:   𝐓pnull←COMPUTETESTSTATISTIC(𝐈perm,𝐈′perm) ▷ Compute null statistic\n17:  end for\n18:  pi←1+∑p=1nperm𝕀(Tinull>Ti)1+nperm for all i ▷ Compute p-values\n19:  𝐏 ← BONFERRONI − HOLM ( 𝐩 )\n• Bootstrap(𝒟): Draw a bootstrap sample from dataset D.\n• FitDecisionTree(𝒟): Train a decision tree on sample and compute feature importances.\n• ShuffleLabels(D=(X,y)): Apply a random permutation such that y′=σ(y).\n• Rank(I): Rank feature importances I from the largest. Assign rank d to missing features.\n• PermutePairs(I, I’): Shuffle the feature importance values in I and I’ together while maintaining their pairwise associations.\n• Bonferroni-Holm(p): Apply the Bonferroni-Holm correction to p-values p.\nTo demonstrate the efficacy of our feature importance testing algorithm, NEOFIT, we performed simulations using the MNIST and Trunk datasets. These simulations allowed us to evaluate the algorithm’s performance in controlled settings before applying it to real-world human and macaque MRI data.\nFor the MNIST dataset, we followed the setup described in Li et al. [14], specifically Fig 5, where the goal was to classify digits 3 and 5 out of the full MNIST set. The MNIST dataset contains images of handwritten digits (28 × 28 pixels), resulting in a high-dimensional feature space of 784 features per image. In our simulation, we used a subset of the dataset with only 3 and 5 for a binary classification task. This allowed us to test our algorithm’s ability to identify significant features in a relatively simple, yet high-dimensional, dataset. The MNIST dataset is commonly used to benchmark classification methods, especially when assessing the performance of algorithms designed to handle nonlinearities in data.\nFor the Trunk simulation, we replicated the setup from Tomita et al. [13], specifically Fig 4, which involves comparing two Gaussian distributions. Both distributions have an identity covariance matrix, with the first distribution having a mean vector starting at −1 and decreasing by a factor of i for each dimension i, while the second distribution’s mean vector is the negative of the first. As the dimensionality d of the data increases, the two distributions become closer, making the task of classification progressively more difficult. The mathematical formulation of these two distributions is provided in S1 Appendix. The Trunk dataset is specifically designed to simulate high-dimensional, sparse data and tests the ability of algorithms like SPORF to efficiently identify relevant features in a sparse and increasingly challenging classification task. The simplicity of the Trunk dataset makes it an ideal setting for evaluating the feature importance and selection abilities of our algorithm in a controlled, synthetic environment.\nBoth of these simulations allowed us to rigorously test the performance of our feature importance testing Algorithm in scenarios that mimic real-world challenges in feature selection and classification. By applying this method to both the MNIST and Trunk datasets, we can demonstrate its ability to reduce computational overhead while maintaining classification accuracy, showcasing its suitability for handling high-dimensional neuroimaging data.\nIn our simulation experiments, we aimed to compare the performance of four feature selection algorithms—RF, LIME, SHAP, and NEOFIT—across two datasets: MNIST, a widely used benchbark dataset, and Trunk, a simulated dataset. The main objective was to evaluate how effectively each algorithm selects the most informative features for classification tasks when varying the number of features, ranging from 1 to 512 features.\nFor each feature dimension d, the dataset was partitioned into three subsets: training (60%), validation (20%), and testing (20%). In each iteration, we trained a RF on the training set and ranked the features by their importance using the Gini impurity measure. Then, we selected the top d features based on this ranking, trained a new RF on the validation set using only these features, and evaluated the resulting model on the testing set. This procedure was repeated for 50 iterations to ensure stability and robustness in the results.\nWe also tested the performance of LIME, SHAP, and our feature importance testing algorithm on the same feature importances derived from RF. LIME and SHAP are popular techniques for model interpretability: LIME approximates the model locally, and SHAP uses Shapley values to attribute contributions to individual features. Our algorithm, NEOFIT, applied the tree permutation method to generate null distributions of feature importances and selected features based on statistically significant p-values, providing a more rigorous approach to feature selection.\nIn both MNIST and Trunk simulations, our algorithm consistently outperformed the others. In the MNIST dataset, we achieved over 97% accuracy using fewer features than any other method, demonstrating the efficiency of our approach (Fig 1). For the Trunk dataset, we obtained over 80% accuracy, which was higher than the best performance of all other algorithms, even with a relatively small number of features (Fig 1). These results underscore the superiority of our method, particularly in high-dimensional data, where both accuracy and feature efficiency are crucial.\nA: Classification accuracy (mean ± standard deviation) for MNIST digits 3 vs. 5 across different numbers of selected features. B: Results for the Trunk dataset. 5 repetitions were run per condition. Our method, NEOFIT, is indicated by the red dot, with red horizontal and vertical lines marking the corresponding accuracy and feature count. C: ROC curve for Trunk simulation including n = 17 top features where n is determined by NEOFIT.\nThe human MRI volume data were sourced from publicly available repositories, including the 1000 Functional Connectomes (FCON1000), Healthy Brain Network (HBN), and several other initiatives. A full list of the datasets can be found in S1 Table in the supplementary materials. We included data from unrelated participants across multiple cohorts to ensure diversity and replicability. Specifically, T1-weighted anatomical MRI data were analyzed. Detailed preprocessing protocols, as well as demographic and acquisition parameters, can be found on the respective dataset portals. There are 14,380 subjects in total, with 7,416 females and the remaining 6,964 males, having a mean age of 39 for females and 31 for males. S2 Fig provides the full age and sex distribution for human data.\nThe Non Human Primate (NHP) MRI data were sourced from the PRIME-DE consortium [17] and included 592 rhesus macaques (Macaca mulatta), including 265 females and 327 males, scanned under anesthesia. Throughout this manuscript, NHP and macaque are used interchangeably to refer to rhesus macaques. The mean age is 2.0 for females and 1.8 for males. Final volumes were resampled to match the resolution of the human data, facilitating direct comparisons across humans and macaques. For further details, please refer to the source of the data at PRIME-DE: UW-Madison. Detailed age and sex distributions for macaque data are also shown in S2 Fig.\nThe MRI preprocessing pipeline was designed to ensure high-quality input data for subsequent analyses. Following established preprocessing protocols [18], the raw T1-weighted images underwent several key steps, including denoising, brain extraction, and tissue segmentation. First, noise reduction was applied to enhance image quality while preserving anatomical details. Brain extraction (or skull stripping) was then performed to remove non-brain tissues, facilitating accurate cortical and subcortical measurements. The images were subsequently segmented into different tissue classes, such as gray matter, white matter, and cerebrospinal fluid.\nTo ensure data reliability, an initial quality control step was conducted to screen for artifacts, motion-related distortions, or structural anomalies. Preprocessed data were further reviewed through visual inspection, and scans that failed at any stage of processing were either corrected or excluded from the final dataset.\nTo generate gray and white matter density maps, we employed voxel-based morphometry (VBM) using the Statistical Parametric Mapping (SPM) framework. For human data, preprocessing was performed using CAT12, an advanced and optimized pipeline for high-resolution human brain imaging [19]. The CAT12 toolbox enabled improved tissue segmentation and bias field correction, ensuring robust gray and white matter probability maps [19]. For macaque data, a customized template was used in conjunction with methods adapted from SPM-mouse [20]. This approach accounted for structural differences between human and macaque brains, improving segmentation accuracy and ensuring valid cross-species comparisons.\nCortical thickness (CTh) measurements were derived from surface-based morphometric analyses tailored for both human and macaque brains. For human subjects, CTh was extracted using the CAT12 toolbox, an advanced framework optimized for surface reconstruction and thickness estimation [19]. This pipeline includes topology correction, spherical mapping, and projection-based thickness estimation to ensure accurate and reliable measurements. For macaques, CTh was computed using a species-specific pipeline based on a customized surface template, following methodologies from the Macaque CHART framework [18], which improves precision in non-human primate surface morphometry.\nTo enable cross-species comparisons, CTh measurements were parcellated using an established alignment framework [21], ensuring that homologous cortical regions were systematically mapped between humans and macaques. This approach minimizes species-specific biases and enhances the biological interpretability of interspecies analyses.\nCTh data were processed under two parcellation schemes: Schaefer and Markov. The Schaefer parcellation, based on functional connectivity gradients, provides a data-driven, hierarchical atlas designed to balance spatial resolution and functional specificity [22]. We used the 200-region version to optimize computational efficiency while retaining detailed cortical representation. In contrast, the Markov parcellation is derived from anatomical connectivity patterns in macaques, based on tracer studies that define 182 structurally connected cortical regions [23]. While originally designed for different species, both atlases were adapted for cross-species analysis through mapping transformations, enabling direct comparison between human and macaque cortical organization.\nThe dataset includes CTh measurements from 10,608 human and 572 macaque subjects, each analyzed under both parcellation schemes, yielding four datasets: {Human, Macaque} × {Schaefer, Markov}. These datasets provide a comprehensive framework for investigating species-specific and evolutionarily conserved cortical patterns, facilitating robust statistical analysis of sex-related cortical differences and their biological significance. A detailed depiction of the age and sex distributions for CTh data in both species is provided in S3 Fig.\nTo make our structural assumptions underpinning our analysis explicit, we employ a directed acyclic graph (DAG) framework [24,25]. DAGs formalize causal relationships between variables and provide graphical criteria for whether particular effects can be identified within the context of a given analysis. Fig 2 illustrates our assumed causal structure, where our primary interest is the effect of biological sex (the exposure, green) on brain structural features (the outcomes, blue): voxel-wise gray and white matter density maps, or parcellated cortical thickness. The total effect includes pathways mediated by intracranial volume (ICV) and hormonal status (the mediators, tan). Since the relationship between ICV and brain structure is well-established and represents a nuisance scaling factor rather than our primary interest [3], we employed species-specific spatial normalization, which intends to control for ICV differences (indicated by the boxed border in Fig 2). Hormonal status, conversely, represents a key biological mechanism through which sex differences manifest; controlling for hormones would remove the effect we aim to study. Therefore, our within-species analyses seeks to quantify brain regions where biological sex has a significant effect, conditional on ICV normalization but preserving hormone-mediated pathways. Age (white) is a common cause of hormonal status and brain features. Finally, our cross-species analysis examines whether species (the effect modifier, pink) modifies the magnitude of sex effects on brain features, testing for evolutionary conservation versus species-specific adaptation.\nNodes represent variables, with biological sex (green) as the exposure and brain features (blue) as outcomes. Mediators (tan) include intracranial volume (ICV, boxed to indicate that our analysis controls for ICV differences) and hormonal status. Age (white) affects hormonal status and brain features. Species (pink) acts as an effect modifier. Arrows indicate assumed causal relationships.\n\n\n### Overview\nTo evaluate our classification framework, we first apply it to simulated datasets, providing a controlled benchmark for assessing feature selection and classification accuracy. This establishes the effectiveness of our approach before transitioning to structural MRI data. We then analyze human and macaque MRI datasets, using oblique random forests and feature importance testing to classify biological sex. MRI preprocessing ensures cross-species comparability, with both structural MRI volume and cortical thickness data serving as primary feature spaces for classification. This two-stage workflow—benchmarking on simulations followed by real-data application—allows a rigorous assessment of our method’s reliability in identifying key brain regions relevant to sex classification.\n\n\n### Oblique random forest\nWe employed Oblique Random Forests (ORF) for classification tasks, specifically leveraging two variants from the treeple library: Sparse Projection Oblique Random Forest (SPORF) [13] and Manifold Oblique Random Forest (MORF) [14]. These methods are beneficial for addressing high-dimensional data with complex relationships, as they extend traditional axis-aligned decision trees by allowing each decision tree to split data using random projections, enhancing the ability to capture non-linear patterns and interactions within the feature space. ORFs are particularly advantageous in neuroimaging analysis, where data are often high-dimensional, and the relationships between features are non-linear and complex and may not align with traditional grid-like partitions of the data.\nWe specifically selected SPORF and MORF for their suitability in handling cortical thickness and MRI volume data, respectively. SPORF has advantages over other oblique random forests primarily because it integrates sparsity-inducing regularization [13]. This feature is particularly beneficial when working with datasets that may contain a large number of irrelevant or redundant features, as it helps to focus the model on the most important variables. For our cortical thickness data, SPORF’s ability to select a subset of relevant features improves interpretability and reduces overfitting, which is crucial for our sex classification task. On the other hand, MORF was chosen for MRI volume data due to its robust handling of correlated features [14]. Since MRI data may have intricate spatial correlations between features, incorporating feature locality could improve model performance by capturing these spatial dependencies. Both SPORF and MORF handle high-dimensional data efficiently, making them well-suited for the relatively high-dimensional nature of our data [13,14].\nTo validate model performance, we used the out-of-bag (OOB) score, which provides an internal validation metric. The OOB score is computed by evaluating each tree on the data points that were not used during its construction (i.e., those not included in the bootstrap sample). This technique helps estimate the generalization ability of the model without requiring a separate validation dataset. The OOB score is particularly useful in neuroimaging studies, where cross-validation can be computationally expensive. Using OOB scoring, we were able to efficiently assess model performance and avoid overfitting by providing a robust estimate of classification accuracy. S1 Fig depicts a flow diagram for our classification framework.\n\n\n### Feature importance testing\nFeature importances from Random Forest (RF) provide insights into how strongly each feature contributes to the model’s predictions [15]. In RFs, feature importances are typically computed using the Gini impurity-based measure: each feature’s importance is proportional to the total reduction in Gini impurity it achieves when used to split nodes across all trees in the forest. For SPORF, this process is enhanced by the sparse projection mechanism, where only a subset of features is considered at each split, ensuring that the feature importance estimates focus on the most relevant variables while mitigating noise from irrelevant ones. In MORF, feature importances are computed similarly but are influenced by the method’s consideration of feature locality, allowing it to capture spatial correlations in MRI volume data. This leads to a more nuanced understanding of how spatially distributed voxel values contribute to classification tasks.\nTo further contextualize the feature importance analysis, we compare our approach with two popular model-agnostic algorithms for feature importance: Local Interpretable Model-Agnostic Explanations (LIME) and Shapley Additive Explanations (SHAP). LIME, introduced by Ribeiro et al. [10], aims to explain individual predictions by approximating the complex model locally with a simpler, interpretable model. It computes feature importances by perturbing the input data and observing the changes in model predictions, providing insight into the local behavior of the classifier. SHAP, on the other hand, is grounded in cooperative game theory and computes feature importance by calculating the Shapley values, which represent the average contribution of each feature across all possible permutations of feature combinations [11]. Both LIME and SHAP are widely adopted in machine learning for interpreting black-box models and provide global and local feature importance measures. While these methods are powerful, they can be computationally expensive and may not scale well to high-dimensional neuroimaging data. Our feature importance testing algorithm, which adapts the tree permutation method, offers a more scalable solution for assessing the statistical significance of features in such high-dimensional settings.\nTo evaluate the significance of feature importances, we adapt and extend the tree permutation method proposed by Coleman et al. [16] to address the unique challenges of high-dimensional neuroimaging data. This method enables scalable and efficient hypothesis testing in random forests by generating null distributions of feature importance values through tree permutations [16]. Rather than generating n independent forests for permutation testing, it constructs a null distribution by randomly shuffling trees within an ensemble, preserving the dependency structure while drastically reducing computional overhead. To make it feasible for neuroimaging, we modify the framework by leveraging a two-forest approach: one baseline forest and another with permuted features. Additionally, we incorporate Bonferroni-Holm correction to control for multiple comparisons across millions of features, ensuring robust significance assessment. This allows us to assess which cortical thickness or voxel features have statistically significant contributions to sex classification. The details of this method are outlined in Algorithm 1, Neuro-Explainable Optimal Feature Importance Testing (NEOFIT).\nAlgorithm 1: Training an Explainable Classifier using NEOFIT: Neuro-Explainable Optimal Feature Importance Testing.\nInput: Dataset 𝒟 with features and labels, number of trees ntrees, number of permutations nperm, number of bootstraps B.\nOutput: Feature importance scores I, adjusted p-values.\n1:  for\nb∈B\ndo\n2:   𝒟b ← BOOTSTRAP ( 𝒟 )\n3:   𝐈b ← FITDECISIONTREE ( 𝒟b )  ▷ Train tree, compute feature importances\n4:   𝒟b′←SHUFFLELABELS(𝒟b)\n5:   𝐈b′←FITDECISIONTREE(𝒟b′)\n6:  end for\n7:  function\nComputeTestStatistic(I, I’)\n8:   𝐑 ← Rank ( 𝐈 ) , 𝐑′ ← RANK ( 𝐈′ )  ▷ Rank importances\n9:   Ti+=𝕀(Ri′>Ri) for all i∈{1,…,d} ▷ Update statistics\n10:   Ti←Ti/ntrees\n11:  end function\n12:  for\np∈{1,…,nperm}\ndo\n13:   for\nt∈{1,…,ntrees}\ndo\n14:    (𝐈tperm,𝐈t′perm)←\nPermutePairs(𝐈t,𝐈t′)\n15:   end for\n16:   𝐓pnull←COMPUTETESTSTATISTIC(𝐈perm,𝐈′perm) ▷ Compute null statistic\n17:  end for\n18:  pi←1+∑p=1nperm𝕀(Tinull>Ti)1+nperm for all i ▷ Compute p-values\n19:  𝐏 ← BONFERRONI − HOLM ( 𝐩 )\n• Bootstrap(𝒟): Draw a bootstrap sample from dataset D.\n• FitDecisionTree(𝒟): Train a decision tree on sample and compute feature importances.\n• ShuffleLabels(D=(X,y)): Apply a random permutation such that y′=σ(y).\n• Rank(I): Rank feature importances I from the largest. Assign rank d to missing features.\n• PermutePairs(I, I’): Shuffle the feature importance values in I and I’ together while maintaining their pairwise associations.\n• Bonferroni-Holm(p): Apply the Bonferroni-Holm correction to p-values p.\n\n\n### Simulated datasets\nTo demonstrate the efficacy of our feature importance testing algorithm, NEOFIT, we performed simulations using the MNIST and Trunk datasets. These simulations allowed us to evaluate the algorithm’s performance in controlled settings before applying it to real-world human and macaque MRI data.\nFor the MNIST dataset, we followed the setup described in Li et al. [14], specifically Fig 5, where the goal was to classify digits 3 and 5 out of the full MNIST set. The MNIST dataset contains images of handwritten digits (28 × 28 pixels), resulting in a high-dimensional feature space of 784 features per image. In our simulation, we used a subset of the dataset with only 3 and 5 for a binary classification task. This allowed us to test our algorithm’s ability to identify significant features in a relatively simple, yet high-dimensional, dataset. The MNIST dataset is commonly used to benchmark classification methods, especially when assessing the performance of algorithms designed to handle nonlinearities in data.\nFor the Trunk simulation, we replicated the setup from Tomita et al. [13], specifically Fig 4, which involves comparing two Gaussian distributions. Both distributions have an identity covariance matrix, with the first distribution having a mean vector starting at −1 and decreasing by a factor of i for each dimension i, while the second distribution’s mean vector is the negative of the first. As the dimensionality d of the data increases, the two distributions become closer, making the task of classification progressively more difficult. The mathematical formulation of these two distributions is provided in S1 Appendix. The Trunk dataset is specifically designed to simulate high-dimensional, sparse data and tests the ability of algorithms like SPORF to efficiently identify relevant features in a sparse and increasingly challenging classification task. The simplicity of the Trunk dataset makes it an ideal setting for evaluating the feature importance and selection abilities of our algorithm in a controlled, synthetic environment.\nBoth of these simulations allowed us to rigorously test the performance of our feature importance testing Algorithm in scenarios that mimic real-world challenges in feature selection and classification. By applying this method to both the MNIST and Trunk datasets, we can demonstrate its ability to reduce computational overhead while maintaining classification accuracy, showcasing its suitability for handling high-dimensional neuroimaging data.\n\n\n### Simulated performance\nIn our simulation experiments, we aimed to compare the performance of four feature selection algorithms—RF, LIME, SHAP, and NEOFIT—across two datasets: MNIST, a widely used benchbark dataset, and Trunk, a simulated dataset. The main objective was to evaluate how effectively each algorithm selects the most informative features for classification tasks when varying the number of features, ranging from 1 to 512 features.\nFor each feature dimension d, the dataset was partitioned into three subsets: training (60%), validation (20%), and testing (20%). In each iteration, we trained a RF on the training set and ranked the features by their importance using the Gini impurity measure. Then, we selected the top d features based on this ranking, trained a new RF on the validation set using only these features, and evaluated the resulting model on the testing set. This procedure was repeated for 50 iterations to ensure stability and robustness in the results.\nWe also tested the performance of LIME, SHAP, and our feature importance testing algorithm on the same feature importances derived from RF. LIME and SHAP are popular techniques for model interpretability: LIME approximates the model locally, and SHAP uses Shapley values to attribute contributions to individual features. Our algorithm, NEOFIT, applied the tree permutation method to generate null distributions of feature importances and selected features based on statistically significant p-values, providing a more rigorous approach to feature selection.\nIn both MNIST and Trunk simulations, our algorithm consistently outperformed the others. In the MNIST dataset, we achieved over 97% accuracy using fewer features than any other method, demonstrating the efficiency of our approach (Fig 1). For the Trunk dataset, we obtained over 80% accuracy, which was higher than the best performance of all other algorithms, even with a relatively small number of features (Fig 1). These results underscore the superiority of our method, particularly in high-dimensional data, where both accuracy and feature efficiency are crucial.\nA: Classification accuracy (mean ± standard deviation) for MNIST digits 3 vs. 5 across different numbers of selected features. B: Results for the Trunk dataset. 5 repetitions were run per condition. Our method, NEOFIT, is indicated by the red dot, with red horizontal and vertical lines marking the corresponding accuracy and feature count. C: ROC curve for Trunk simulation including n = 17 top features where n is determined by NEOFIT.\n\n\n### Structural MRI dataset\nThe human MRI volume data were sourced from publicly available repositories, including the 1000 Functional Connectomes (FCON1000), Healthy Brain Network (HBN), and several other initiatives. A full list of the datasets can be found in S1 Table in the supplementary materials. We included data from unrelated participants across multiple cohorts to ensure diversity and replicability. Specifically, T1-weighted anatomical MRI data were analyzed. Detailed preprocessing protocols, as well as demographic and acquisition parameters, can be found on the respective dataset portals. There are 14,380 subjects in total, with 7,416 females and the remaining 6,964 males, having a mean age of 39 for females and 31 for males. S2 Fig provides the full age and sex distribution for human data.\nThe Non Human Primate (NHP) MRI data were sourced from the PRIME-DE consortium [17] and included 592 rhesus macaques (Macaca mulatta), including 265 females and 327 males, scanned under anesthesia. Throughout this manuscript, NHP and macaque are used interchangeably to refer to rhesus macaques. The mean age is 2.0 for females and 1.8 for males. Final volumes were resampled to match the resolution of the human data, facilitating direct comparisons across humans and macaques. For further details, please refer to the source of the data at PRIME-DE: UW-Madison. Detailed age and sex distributions for macaque data are also shown in S2 Fig.\n\n\n### MRI preprocessing\nThe MRI preprocessing pipeline was designed to ensure high-quality input data for subsequent analyses. Following established preprocessing protocols [18], the raw T1-weighted images underwent several key steps, including denoising, brain extraction, and tissue segmentation. First, noise reduction was applied to enhance image quality while preserving anatomical details. Brain extraction (or skull stripping) was then performed to remove non-brain tissues, facilitating accurate cortical and subcortical measurements. The images were subsequently segmented into different tissue classes, such as gray matter, white matter, and cerebrospinal fluid.\nTo ensure data reliability, an initial quality control step was conducted to screen for artifacts, motion-related distortions, or structural anomalies. Preprocessed data were further reviewed through visual inspection, and scans that failed at any stage of processing were either corrected or excluded from the final dataset.\nTo generate gray and white matter density maps, we employed voxel-based morphometry (VBM) using the Statistical Parametric Mapping (SPM) framework. For human data, preprocessing was performed using CAT12, an advanced and optimized pipeline for high-resolution human brain imaging [19]. The CAT12 toolbox enabled improved tissue segmentation and bias field correction, ensuring robust gray and white matter probability maps [19]. For macaque data, a customized template was used in conjunction with methods adapted from SPM-mouse [20]. This approach accounted for structural differences between human and macaque brains, improving segmentation accuracy and ensuring valid cross-species comparisons.\n\n\n### Cortical thickness dataset\nCortical thickness (CTh) measurements were derived from surface-based morphometric analyses tailored for both human and macaque brains. For human subjects, CTh was extracted using the CAT12 toolbox, an advanced framework optimized for surface reconstruction and thickness estimation [19]. This pipeline includes topology correction, spherical mapping, and projection-based thickness estimation to ensure accurate and reliable measurements. For macaques, CTh was computed using a species-specific pipeline based on a customized surface template, following methodologies from the Macaque CHART framework [18], which improves precision in non-human primate surface morphometry.\nTo enable cross-species comparisons, CTh measurements were parcellated using an established alignment framework [21], ensuring that homologous cortical regions were systematically mapped between humans and macaques. This approach minimizes species-specific biases and enhances the biological interpretability of interspecies analyses.\nCTh data were processed under two parcellation schemes: Schaefer and Markov. The Schaefer parcellation, based on functional connectivity gradients, provides a data-driven, hierarchical atlas designed to balance spatial resolution and functional specificity [22]. We used the 200-region version to optimize computational efficiency while retaining detailed cortical representation. In contrast, the Markov parcellation is derived from anatomical connectivity patterns in macaques, based on tracer studies that define 182 structurally connected cortical regions [23]. While originally designed for different species, both atlases were adapted for cross-species analysis through mapping transformations, enabling direct comparison between human and macaque cortical organization.\nThe dataset includes CTh measurements from 10,608 human and 572 macaque subjects, each analyzed under both parcellation schemes, yielding four datasets: {Human, Macaque} × {Schaefer, Markov}. These datasets provide a comprehensive framework for investigating species-specific and evolutionarily conserved cortical patterns, facilitating robust statistical analysis of sex-related cortical differences and their biological significance. A detailed depiction of the age and sex distributions for CTh data in both species is provided in S3 Fig.\n\n\n### Variable specification and relationship identification for within- and cross-species MRI analysis\nTo make our structural assumptions underpinning our analysis explicit, we employ a directed acyclic graph (DAG) framework [24,25]. DAGs formalize causal relationships between variables and provide graphical criteria for whether particular effects can be identified within the context of a given analysis. Fig 2 illustrates our assumed causal structure, where our primary interest is the effect of biological sex (the exposure, green) on brain structural features (the outcomes, blue): voxel-wise gray and white matter density maps, or parcellated cortical thickness. The total effect includes pathways mediated by intracranial volume (ICV) and hormonal status (the mediators, tan). Since the relationship between ICV and brain structure is well-established and represents a nuisance scaling factor rather than our primary interest [3], we employed species-specific spatial normalization, which intends to control for ICV differences (indicated by the boxed border in Fig 2). Hormonal status, conversely, represents a key biological mechanism through which sex differences manifest; controlling for hormones would remove the effect we aim to study. Therefore, our within-species analyses seeks to quantify brain regions where biological sex has a significant effect, conditional on ICV normalization but preserving hormone-mediated pathways. Age (white) is a common cause of hormonal status and brain features. Finally, our cross-species analysis examines whether species (the effect modifier, pink) modifies the magnitude of sex effects on brain features, testing for evolutionary conservation versus species-specific adaptation.\nNodes represent variables, with biological sex (green) as the exposure and brain features (blue) as outcomes. Mediators (tan) include intracranial volume (ICV, boxed to indicate that our analysis controls for ICV differences) and hormonal status. Age (white) affects hormonal status and brain features. Species (pink) acts as an effect modifier. Arrows indicate assumed causal relationships.\n\n\n### Results\nWe fine-tuned several hyper-parameters for both SPORF and MORF implemented with treeple (https://treeple.ai/):\nmax_features: Determines the maximum number of features considered for each split. A lower value encourages diversity among trees, preventing overfitting; a higher value can lead to stronger splits and higher accuracy for individual trees while too high a value may lead to less randomization and poorer generalization.\nmax\n\n_patch_\n\ndim (for MORF): Defines the dimensionality of the patches used for splitting the data. Adjusting this parameter allows the model to explore different feature subspaces and balance model complexity and accuracy.\nfeature_combinations (for SPORF): Controls the number of linear combinations of features evaluated at each split in the tree. A higher value leads to a less sparse model, as it incorporates more features into each decision. Increasing the number of combinations improves the flexibility of the model but may reduce interpretability and increase computational complexity.\nNeither max_features nor max_patch_dim affect the OOB score for MRI volume data (results not shown). For CTh data, feature_combinations and max_features influence human data far more than macaque data (Fig 3). Given that SPORF applies linear combinations of features at each split, we tested three types of feature normalization and evaluated their impact on classification performance. Based on these comparisons (S2 Fig), we selected z-score normalization as it yielded the most stable and consistent performance across datasets.\nThe figure displays the impact of different model configurations, including feature_combinations, and max_features on performance. Blue dots are achievable by traditional random forest models. In subsequent experiments, we set max_features to 4p for all CTh data. For feature_combinations, we used 10 for human Markov, 2 for macaque Markov, 1.75 for human Schaefer, and 10 for macaque Schaefer. The number of estimators was set to 5,000 for human data and 20,000 for macaque data. All other parameters followed the default settings of the treeple implementation (https://treeple.ai/).\nAfter hyper-parameter optimization, we evaluated the performance of our random forest models using the area under the curve (AUC) from the receiver operating characteristic (ROC) curve, which quantifies classifier performance across various decision thresholds. Fig 4 illustrates the ROC curves and corresponding AUC scores for both MRI volume and CTh data. Our model demonstrates an especially high AUC for human MRI volume data, while exhibiting moderate classification performance for macaque data. Overall, the human data consistently outperforms the macaque data across both imaging modalities.\nPanels show results for (left) humans and (right) NHPs. Curves are color-coded by tissue type (gray/white matter) for MRI volume data and by parcellation scheme (Markov/Schaefer) for CTh data. The AUC is annotated for each category.\nTo compare our method with previous interpretable feature importance testing approaches on the sex-classification task, we replicated the procedure described in the Materials and Methods section on CTh data.\nFeatures were selected using LIME and SHAP applied to trained Random Forests, with the number of trees matched across species (5,000 for human and 20,000 for macaque). We then trained classifiers using only the selected significant features and reported accuracy as a proxy for the reliability of each selection method. For LIME and SHAP, we varied the number of top features to examine performance as a function of the selected-feature count; our methods, NEOFIT, yields a single, data-driven estimate of the number of significant features. Fig 5 reports results on the Markov parcellation data; corresponding results for Schaefer parcellation are provided in S5 Fig.\nClassification accuracy on human Markov CTh data (left) and macaque Markov CTh data (right) versus the number of selected features for each method. Mean and standard deviation are computed over five repetitions per condition. NEOFIT is shown as a red point at its chosen feature count.\nOn the human Markov CTh data, NEOFIT reaches around an accuracy of 0.70 with 29 features, whereas LIME requires a comparable subset and SHAP requires a much larger subset to match the same level. On the NHP Markov CTh data, NEOFIT achieves an accuracy of approximately 0.66 using 44 features, which is above the standard deviation bands of LIME and SHAP across most feature-subset sizes. Unlike the post hoc methods, NEOFIT does not require tuning the feature-subset size and shows lower variance. Taken together, these results indicate that NEOFIT delivers comparable accuracy with fewer features, improving the interpretability of sex classification.\nWe recorded importance–building times for each feature-selection method under a unified protocol. On the Markov CTh dataset, the human cohort required LIME: 288.57 seconds, SHAP: 447.71 seconds, and NEOFIT: 107.04 seconds to build feature importances; for the macaque cohort the corresponding times were 1064.00 seconds, 100.62 seconds, and 194.47 seconds. Times are the median over 5 stratified resamples, and all experiments were executed on a dual-socket Intel Xeon Gold 6248R system (2×24 physical cores, 96 hardware threads; base 3.0 GHz, turbo 4.0 GHz), using 50 parallel workers for both training and inference.\nWe applied MORF to gray matter and white matter MRI volume data for both humans and macaques separately, generating feature importance values for each voxel along with their corresponding p-values. Fig 6 illustrates the p-values generated using our feature importance testing algorithm, NEOFIT (see Algorithm 1), while figures (S6–S9 Figs) displaying the corresponding raw feature importance values are provided in the supplementary material.\nResults are computed using our feature importance testing algorithm with npermutations = 50,000,000. Selected horizontal slices of structural MRI volume on the MNI template show regions with at least 20 voxels and significant feature importance values (p < 0.05). All slices were visually examined, and only those with visibly large regions are presented here.\nRegions with significant feature importance for sex classification in humans were identified primarily in the limbic system, including the amygdala, hippocampus, and thalamus, as well as in occipital regions (Fig 6). The involvement of the limbic structures, which are implicated in motor coordination, sensory integration, and emotion regulation [26], aligns with previous findings that link sexual dimorphism in humans to emotional regulation and memory processing, functions predominantly associated with the amygdala and hippocampus [3]. Similarly, the occipital regions, responsible for visual processing, have shown structural differences between sexes, potentially reflecting sex-specific adaptations in sensory processing [3].\nIn macaques, feature importance was also primarily concentrated in the limbic system, encompassing the superior temporal gyrus, dentate gyrus (part of hippocampus), putamen, and caudate nucleus (Fig 6). Additional contributions were observed in regions directly connected to the limbic system, such as the orbital gyrus, insula, and claustrum, and in regions with indirect interactions, including the precentral gyrus which is primarily associated with motor function (Fig 6).\nFor the CTh data, we applied SPORF to the parcellated data, utilizing both the Schaefer and Markov parcellation schemes for humans and macaques. The feature importance maps, showing raw feature importance values across all parcels, as well as their corresponding p-values, are provided in the supporting information (S10–S13 Figs). To facilitate comparisons of significance patterns between the species, we merged the p-value maps for humans and macaques into a single surface, displayed with distinct color schemes (Fig 7). For parcels where both species exhibit significant p-values, we use a mosaic coloring pattern to highlight the significance levels for each species (Fig 7). This approach emphasizes regions where both species show consistent patterns of significance, as well as where differences exist.\nResults are computed using our feature importance testing algorithm with npermutations = 5000. Rows show parcellations: top – Markov, bottom – Schaefer. Significance is determined using a threshold of p < 0.05 for either species. Parcels where both species meet the significance threshold are highlighted with a mosaic pattern, indicating overlap of significant results while preserving species-specific contributions. This visualization enables direct comparison of significant brain regions across humans, non-human primates, or both.\nThe Markov parcellation reveals that human-specific regions are concentrated in networks associated with higher-order cognitive processes, including the dorsal and ventral attention networks and the default mode network (DMN). These cortical thickness differences likely reflect species-specific traits related to social cognition and complex behaviors. In contrast, macaque-specific regions overlap primarily with the posterior ventral attention network (Fig 7), indicating sex-related differences predominantly in sensory-driven or attentional systems. The orbitofrontal–limbic network emerges as a significant shared region across species (Fig 7), consistent with its conserved role in emotion and reward processing among primates.\nFor the Schaefer parcellation, shared significant regions are largely part of the posterior ventral attention network (Fig 7), underscoring the evolutionary conservation of attentional mechanisms underlying sex-related cortical differences. In humans, a broader array of networks, including somatomotor, frontoparietal, DMN, and visual networks, is implicated (Fig 7), highlighting the functional and structural complexity of human cortical organization. This diversity is likely linked to advanced motor control, cognition, and social interaction. Similar to the Markov parcellation, macaque-specific regions are confined to posterior networks, such as the posterior dorsal and ventral attention networks and the DMN (Fig 7), suggesting a more limited scope of sex-based cortical differences compared to humans.\nWe conducted a network-level analysis of the CTh data by aggregating parcels according to the 7-Yeo brain network scheme [27]. A Wilcoxon signed-rank test was applied to compare feature importances at the network level between humans and macaques across the seven Yeo networks: Visual, Somatomotor, Dorsal Attention, Ventral Attention, Limbic, Frontoparietal, and Default. The Frontoparietal network showed a significant difference in feature importances between species in the Schaefer parcellation, with humans exhibiting higher feature importance values (Fig 8).\nFor each species, the raw feature importance values for all parcels corresponding to the same network, according to Yeo’s 7-network, were aggregated. The differences in feature importances across species were then evaluated using the Wilcoxon signed-rank test. The short horizontal line above each strip indicates the mean, and the red star highlights the pair with a significant difference (p < 0.05).\n\n\n### Hyper-parameter tuning\nWe fine-tuned several hyper-parameters for both SPORF and MORF implemented with treeple (https://treeple.ai/):\nmax_features: Determines the maximum number of features considered for each split. A lower value encourages diversity among trees, preventing overfitting; a higher value can lead to stronger splits and higher accuracy for individual trees while too high a value may lead to less randomization and poorer generalization.\nmax\n\n_patch_\n\ndim (for MORF): Defines the dimensionality of the patches used for splitting the data. Adjusting this parameter allows the model to explore different feature subspaces and balance model complexity and accuracy.\nfeature_combinations (for SPORF): Controls the number of linear combinations of features evaluated at each split in the tree. A higher value leads to a less sparse model, as it incorporates more features into each decision. Increasing the number of combinations improves the flexibility of the model but may reduce interpretability and increase computational complexity.\nNeither max_features nor max_patch_dim affect the OOB score for MRI volume data (results not shown). For CTh data, feature_combinations and max_features influence human data far more than macaque data (Fig 3). Given that SPORF applies linear combinations of features at each split, we tested three types of feature normalization and evaluated their impact on classification performance. Based on these comparisons (S2 Fig), we selected z-score normalization as it yielded the most stable and consistent performance across datasets.\nThe figure displays the impact of different model configurations, including feature_combinations, and max_features on performance. Blue dots are achievable by traditional random forest models. In subsequent experiments, we set max_features to 4p for all CTh data. For feature_combinations, we used 10 for human Markov, 2 for macaque Markov, 1.75 for human Schaefer, and 10 for macaque Schaefer. The number of estimators was set to 5,000 for human data and 20,000 for macaque data. All other parameters followed the default settings of the treeple implementation (https://treeple.ai/).\n\n\n### Performance of the sex classifier\nAfter hyper-parameter optimization, we evaluated the performance of our random forest models using the area under the curve (AUC) from the receiver operating characteristic (ROC) curve, which quantifies classifier performance across various decision thresholds. Fig 4 illustrates the ROC curves and corresponding AUC scores for both MRI volume and CTh data. Our model demonstrates an especially high AUC for human MRI volume data, while exhibiting moderate classification performance for macaque data. Overall, the human data consistently outperforms the macaque data across both imaging modalities.\nPanels show results for (left) humans and (right) NHPs. Curves are color-coded by tissue type (gray/white matter) for MRI volume data and by parcellation scheme (Markov/Schaefer) for CTh data. The AUC is annotated for each category.\n\n\n### Performance of the feature importantce testing\nTo compare our method with previous interpretable feature importance testing approaches on the sex-classification task, we replicated the procedure described in the Materials and Methods section on CTh data.\nFeatures were selected using LIME and SHAP applied to trained Random Forests, with the number of trees matched across species (5,000 for human and 20,000 for macaque). We then trained classifiers using only the selected significant features and reported accuracy as a proxy for the reliability of each selection method. For LIME and SHAP, we varied the number of top features to examine performance as a function of the selected-feature count; our methods, NEOFIT, yields a single, data-driven estimate of the number of significant features. Fig 5 reports results on the Markov parcellation data; corresponding results for Schaefer parcellation are provided in S5 Fig.\nClassification accuracy on human Markov CTh data (left) and macaque Markov CTh data (right) versus the number of selected features for each method. Mean and standard deviation are computed over five repetitions per condition. NEOFIT is shown as a red point at its chosen feature count.\nOn the human Markov CTh data, NEOFIT reaches around an accuracy of 0.70 with 29 features, whereas LIME requires a comparable subset and SHAP requires a much larger subset to match the same level. On the NHP Markov CTh data, NEOFIT achieves an accuracy of approximately 0.66 using 44 features, which is above the standard deviation bands of LIME and SHAP across most feature-subset sizes. Unlike the post hoc methods, NEOFIT does not require tuning the feature-subset size and shows lower variance. Taken together, these results indicate that NEOFIT delivers comparable accuracy with fewer features, improving the interpretability of sex classification.\nWe recorded importance–building times for each feature-selection method under a unified protocol. On the Markov CTh dataset, the human cohort required LIME: 288.57 seconds, SHAP: 447.71 seconds, and NEOFIT: 107.04 seconds to build feature importances; for the macaque cohort the corresponding times were 1064.00 seconds, 100.62 seconds, and 194.47 seconds. Times are the median over 5 stratified resamples, and all experiments were executed on a dual-socket Intel Xeon Gold 6248R system (2×24 physical cores, 96 hardware threads; base 3.0 GHz, turbo 4.0 GHz), using 50 parallel workers for both training and inference.\n\n\n### Voxel-wise feature importance maps\nWe applied MORF to gray matter and white matter MRI volume data for both humans and macaques separately, generating feature importance values for each voxel along with their corresponding p-values. Fig 6 illustrates the p-values generated using our feature importance testing algorithm, NEOFIT (see Algorithm 1), while figures (S6–S9 Figs) displaying the corresponding raw feature importance values are provided in the supplementary material.\nResults are computed using our feature importance testing algorithm with npermutations = 50,000,000. Selected horizontal slices of structural MRI volume on the MNI template show regions with at least 20 voxels and significant feature importance values (p < 0.05). All slices were visually examined, and only those with visibly large regions are presented here.\nRegions with significant feature importance for sex classification in humans were identified primarily in the limbic system, including the amygdala, hippocampus, and thalamus, as well as in occipital regions (Fig 6). The involvement of the limbic structures, which are implicated in motor coordination, sensory integration, and emotion regulation [26], aligns with previous findings that link sexual dimorphism in humans to emotional regulation and memory processing, functions predominantly associated with the amygdala and hippocampus [3]. Similarly, the occipital regions, responsible for visual processing, have shown structural differences between sexes, potentially reflecting sex-specific adaptations in sensory processing [3].\nIn macaques, feature importance was also primarily concentrated in the limbic system, encompassing the superior temporal gyrus, dentate gyrus (part of hippocampus), putamen, and caudate nucleus (Fig 6). Additional contributions were observed in regions directly connected to the limbic system, such as the orbital gyrus, insula, and claustrum, and in regions with indirect interactions, including the precentral gyrus which is primarily associated with motor function (Fig 6).\n\n\n### Parcel-wise feature importance maps\nFor the CTh data, we applied SPORF to the parcellated data, utilizing both the Schaefer and Markov parcellation schemes for humans and macaques. The feature importance maps, showing raw feature importance values across all parcels, as well as their corresponding p-values, are provided in the supporting information (S10–S13 Figs). To facilitate comparisons of significance patterns between the species, we merged the p-value maps for humans and macaques into a single surface, displayed with distinct color schemes (Fig 7). For parcels where both species exhibit significant p-values, we use a mosaic coloring pattern to highlight the significance levels for each species (Fig 7). This approach emphasizes regions where both species show consistent patterns of significance, as well as where differences exist.\nResults are computed using our feature importance testing algorithm with npermutations = 5000. Rows show parcellations: top – Markov, bottom – Schaefer. Significance is determined using a threshold of p < 0.05 for either species. Parcels where both species meet the significance threshold are highlighted with a mosaic pattern, indicating overlap of significant results while preserving species-specific contributions. This visualization enables direct comparison of significant brain regions across humans, non-human primates, or both.\nThe Markov parcellation reveals that human-specific regions are concentrated in networks associated with higher-order cognitive processes, including the dorsal and ventral attention networks and the default mode network (DMN). These cortical thickness differences likely reflect species-specific traits related to social cognition and complex behaviors. In contrast, macaque-specific regions overlap primarily with the posterior ventral attention network (Fig 7), indicating sex-related differences predominantly in sensory-driven or attentional systems. The orbitofrontal–limbic network emerges as a significant shared region across species (Fig 7), consistent with its conserved role in emotion and reward processing among primates.\nFor the Schaefer parcellation, shared significant regions are largely part of the posterior ventral attention network (Fig 7), underscoring the evolutionary conservation of attentional mechanisms underlying sex-related cortical differences. In humans, a broader array of networks, including somatomotor, frontoparietal, DMN, and visual networks, is implicated (Fig 7), highlighting the functional and structural complexity of human cortical organization. This diversity is likely linked to advanced motor control, cognition, and social interaction. Similar to the Markov parcellation, macaque-specific regions are confined to posterior networks, such as the posterior dorsal and ventral attention networks and the DMN (Fig 7), suggesting a more limited scope of sex-based cortical differences compared to humans.\nWe conducted a network-level analysis of the CTh data by aggregating parcels according to the 7-Yeo brain network scheme [27]. A Wilcoxon signed-rank test was applied to compare feature importances at the network level between humans and macaques across the seven Yeo networks: Visual, Somatomotor, Dorsal Attention, Ventral Attention, Limbic, Frontoparietal, and Default. The Frontoparietal network showed a significant difference in feature importances between species in the Schaefer parcellation, with humans exhibiting higher feature importance values (Fig 8).\nFor each species, the raw feature importance values for all parcels corresponding to the same network, according to Yeo’s 7-network, were aggregated. The differences in feature importances across species were then evaluated using the Wilcoxon signed-rank test. The short horizontal line above each strip indicates the mean, and the red star highlights the pair with a significant difference (p < 0.05).\n\n\n### Discussion\nOur study demonstrates that the integration of oblique random forests (ORFs) with permutation-based feature importance testing fills a critical gap in neuroimaging analysis. By capturing complex, non-linear interactions through oblique splits and rigorously validating feature importance, our method reliably distinguishes true signal from noise in high-dimensional data. This advancement is evident in our simulation studies, where our approach outperforms conventional methods such as LIME and SHAP, and is further validated in the classification of sex from both voxel-wise MRI and parcellated CTh data.\nOur analysis estimated the overall effect of biological sex on brain structure, representing sex effects averaged across the age distributions observed in our sample. Under the causal framework outlined in (Fig 2), this can be conceptualized as an average treatment effect (ATE) [28]. Our human data exhibited an age imbalance between sexes (females: mean 39 years, males: mean 31 years) arising from aggregation of datasets with different demographic compositions. If sample inclusion depended jointly on both sex and age, conditioning on the selected sample could induce collider bias [29]. While we found no explicit evidence of such joint selection mechanisms in the data collection protocols, we cannot definitively rule out this possibility in large-scale multi-site aggregations.\nStructural MRI volume and CTh data introduce distinct challenges for classification. Voxel-wise MRI data is inherently high-dimensional, leading to challenges such as feature redundancy, increased measurement noise, and the curse of dimensionality. While MORF addresses local feature dependencies by considering spatially correlated feature patches, distinguishing meaningful biological signals from noise remains difficult, particularly given the variability in MRI acquisition protocols across datasets.In contrast, CTh data is lower-dimensional but relies on template-driven parcellation schemes, which may not optimally capture fine-grained anatomical differences across individuals. Parcellation choices can constrain classification performance, as predefined regions may not align with the most relevant biological variations. This limitation can be exacerbated when parcellations are derived from standard population-based templates rather than subject-specific cortical features.\nOur sex classification results provide important insights into the underlying neuroanatomical patterns. Specifically, the identification of both shared and species-specific regions suggests a balance between evolutionary conservation and species adaptation. In humans, significant regions—primarily within the limbic system and higher-order cognitive areas—underscore the role of emotion and memory processing in sex differentiation. Conversely, in macaques, regions linked to sensory processing and motor control appear more prominent. This dichotomy aligns with prior evidence of conserved neural mechanisms across primates while also reflecting species-specific adaptations [3,5,21]. While both species demonstrate significant sex-related differences in the limbic system, the specific regions implicated differ, reflecting species-specific neurobiological adaptations. Humans show pronounced involvement of the amygdala and hippocampus, emphasizing emotional and memory-related sex differences, whereas macaques exhibit a broader network involving motor, sensory, and integrative regions such as the precentral gyrus and insula. These findings may reflect evolutionary divergence in sex-specific neural functions, with humans demonstrating more specialization in cognitive and emotional domains. Collectively, our findings highlight the potential of our method to reveal meaningful structural markers that can inform our understanding of neurobiological sex differences and their evolutionary origins.\nDespite these promising results, several limitations remain. First, although our permutation-based feature importance testing improves statistical validation, voxel-wise data—with a vast number of features—require an extremely high number of permutations to reliably correct p-values, resulting in significant computational cost. Second, our current classification accuracy for human MRI volume and cortical thickness data is moderate, which raises concerns regarding the robustness of the identified features as reliable markers. Finally, while our approach outperforms established methods like LIME and SHAP in our simulations, further validation on independent datasets and exploration of computational efficiency in extremely high-dimensional settings remain important avenues for future research.\nBuilding on the above limitations, we outline several directions for future work. First, incorporating additional MRI-derived features (e.g., cortical curvature and white-matter connectivity) could improve classification and yield a more comprehensive view of sex-linked structural variation. Second, extending cross-species analyses to additional primates would help clarify evolutionary patterns and the extent to which observed differences are conserved across species. Third, transfer-learning approaches—such as training on human data and adapting to macaque data—may leverage shared structure while accounting for species-specific differences, thereby improving cross-species comparability. Furthermore, evaluating our method on a population‐scale dataset such as the UK Biobank would provide a stringent test of out-of-sample generalization and scalability [31,32].\nIn addition, future work could examine conditional average treatment effects (CATEs) across age to assess whether sex differences vary across developmental stages and aging [24,28,30], providing a temporal perspective on sexual dimorphism while potentially mitigating selection-bias concerns introduced by conditioning on ICV. In the context of Fig 2, such an analysis would permit identification of causal effects [?].\nWe also plan to incorporate honest tree procedures (sample-splitting trees in which one subsample determines splits and a separate subsample estimates leaf predictions and related quantities), as proposed in [33,34]. Coupling NEOFIT with honest splitting is expected to reduce adaptive bias in importance estimates and improve the reliability of importance estimators.\nTo reduce NEOFIT build time, we leveraged Google’s Yggdrasil Decision Forests (YDF; https://github.com/google/yggdrasil-decision-forests) to accelerate SPORF training, yielding substantial speedups on cortical-thickness (CTh) classification tasks. As a next step, we will integrate a YDF-backed ORF backend into the NEOFIT implementation to further reduce training and inference times.\nBeyond fundamental structural differences, future work should examine sex-related brain variation in the context of neurological and psychiatric disorders, where sex is a known risk factor (e.g., autism, schizophrenia, depression). Understanding how these differences manifest in both healthy and clinical populations may refine diagnostic tools and inform personalized treatment strategies. More broadly, integrating machine learning with rigorous statistical validation has the potential to reshape neuroimaging analysis, paving the way for more interpretable and biologically meaningful discoveries in neuroscience.\n\n\n### Limitations\nDespite these promising results, several limitations remain. First, although our permutation-based feature importance testing improves statistical validation, voxel-wise data—with a vast number of features—require an extremely high number of permutations to reliably correct p-values, resulting in significant computational cost. Second, our current classification accuracy for human MRI volume and cortical thickness data is moderate, which raises concerns regarding the robustness of the identified features as reliable markers. Finally, while our approach outperforms established methods like LIME and SHAP in our simulations, further validation on independent datasets and exploration of computational efficiency in extremely high-dimensional settings remain important avenues for future research.\n\n\n### Future work\nBuilding on the above limitations, we outline several directions for future work. First, incorporating additional MRI-derived features (e.g., cortical curvature and white-matter connectivity) could improve classification and yield a more comprehensive view of sex-linked structural variation. Second, extending cross-species analyses to additional primates would help clarify evolutionary patterns and the extent to which observed differences are conserved across species. Third, transfer-learning approaches—such as training on human data and adapting to macaque data—may leverage shared structure while accounting for species-specific differences, thereby improving cross-species comparability. Furthermore, evaluating our method on a population‐scale dataset such as the UK Biobank would provide a stringent test of out-of-sample generalization and scalability [31,32].\nIn addition, future work could examine conditional average treatment effects (CATEs) across age to assess whether sex differences vary across developmental stages and aging [24,28,30], providing a temporal perspective on sexual dimorphism while potentially mitigating selection-bias concerns introduced by conditioning on ICV. In the context of Fig 2, such an analysis would permit identification of causal effects [?].\nWe also plan to incorporate honest tree procedures (sample-splitting trees in which one subsample determines splits and a separate subsample estimates leaf predictions and related quantities), as proposed in [33,34]. Coupling NEOFIT with honest splitting is expected to reduce adaptive bias in importance estimates and improve the reliability of importance estimators.\nTo reduce NEOFIT build time, we leveraged Google’s Yggdrasil Decision Forests (YDF; https://github.com/google/yggdrasil-decision-forests) to accelerate SPORF training, yielding substantial speedups on cortical-thickness (CTh) classification tasks. As a next step, we will integrate a YDF-backed ORF backend into the NEOFIT implementation to further reduce training and inference times.\nBeyond fundamental structural differences, future work should examine sex-related brain variation in the context of neurological and psychiatric disorders, where sex is a known risk factor (e.g., autism, schizophrenia, depression). Understanding how these differences manifest in both healthy and clinical populations may refine diagnostic tools and inform personalized treatment strategies. More broadly, integrating machine learning with rigorous statistical validation has the potential to reshape neuroimaging analysis, paving the way for more interpretable and biologically meaningful discoveries in neuroscience.\n\n\n### Supporting information\n(DOCX)\n(DOCX)\n(TIF)\n(TIF)\n(TIF)\nThe results indicate that data normalization improves performance across both parcellation schemes. Notably, Z-score normalization yields a substantial improvement in the Markov parcellation, whereas in the Schaefer parcellation, all three normalization methods exhibit comparable performance.\n(TIF)\n(TIF)\n(TIF)\n(TIF)\n(TIF)\n(TIF)\n(TIF)\n(TIF)\n(TIF)\n(TIF)\nFor each species, the raw feature importance values for all parcels corresponding to the same network, according to Yeo’s 7-network, were aggregated. The differences in feature importances across species were then evaluated using the Wilcoxon signed-rank test. The short horizontal line above each strip indicates the mean.\n(TIF)\n\n\n### Code availability\nThe code used to perform the analysis and generate results for sex classification can be accessed at https://github.com/neurodata/sex_classification. NEOFIT implementation can be tracked at https://github.com/neurodata/treeple.", "domain": "affective_neuroscience"}
{"source": "PMC13079641", "title": "Perceived socioeconomic vulnerability, but not objective poverty, is linked to interoception through perceived stress", "text": "# Perceived socioeconomic vulnerability, but not objective poverty, is linked to interoception through perceived stress\n\n## Abstract\nSocioeconomic vulnerability is associated with higher levels of stress and adverse effects on physical, mental, and cognitive health. However, its influence on interoceptive awareness—defined as the perception, interpretation, and regulation of bodily signals—remains underexplored. This study examined the relationships between objective (multidimensional poverty) and subjective (perceived vulnerability) measures of socioeconomic vulnerability, perceived stress, and interoceptive awareness, as well as the mediating role of stress. A total of 104 adults (50 women, 54 men; aged 30–45 years; mean schooling = 14.7 years) completed self-report measures of perceived vulnerability, perceived stress, and interoceptive awareness using the Multidimensional Assessment of Interoceptive Awareness (MAIA). Perceived vulnerability, but not multidimensional poverty, was negatively associated with interoceptive awareness, both at the total MAIA score level and across subscales. Furthermore, perceived stress partially mediated the association between perceived vulnerability and interoceptive awareness. These findings suggest that the subjective perception of socioeconomic vulnerability may impair the ability to attend to and consciously use bodily signals through psycho-affective and cognitive mechanisms. This complements physiological models linking socioeconomic experiences with interoceptive processes, highlighting the relevance of subjective vulnerability in shaping interoceptive functioning.\n\n## Full Text\n\n\n### Introduction\nSocioeconomic vulnerability, understood as disadvantage in income, resources, opportunities, and access to services (Hasan et al., 2024; Palermos et al., 2024; Park and Ko, 2021; Srivastava and Muhammad, 2022), is associated with higher levels of stress and negative consequences for physical, mental, and cognitive health (Hoebel and Lampert, 2020; Navarro-Carrillo et al., 2020; Präg et al., 2016). While objective indicators of socioeconomic status have been documented to relate to these outcomes (Barradas et al., 2021; Kivimäki et al., 2020), a growing number of studies highlight that subjective measures—such as perceived socioeconomic vulnerability (PV) or perceived social status—more consistently predict well-being, health, and cognition (Gruenewald et al., 2006; Kim et al., 2021; Muhammad et al., 2022; Peretz-Lange et al., 2022; Ursache et al., 2015), even when controlling for objective indicators (Quon and McGrath, 2014; Zhao et al., 2023). Various studies show that objective socioeconomic status is linked to reductions in interoception—conceived as the ability to perceive, interpret, and use internal bodily signals for self-regulation (e.g., heart rate, breathing, hunger; Alhadeff and Yapici, 2024; Paulus et al., 2019)—both at the level of physiological sensitivity (Alvarez et al., 2022; Leão et al., 2025; Santamaría-García et al., 2024) and bodily signal perception (Chentsova-Dutton and Dzokoto, 2014). Nevertheless, the literature has focused primarily on non-conscious physiological markers, leaving conscious interoception (e.g., attention to, awareness of, and confidence in bodily signals) insufficiently characterized. Consequently, although the relevance of subjective measures of socioeconomic vulnerability is recognized, it remains unknown to what extent perceived socioeconomic vulnerability (PV)—beyond objective indicators—is associated with conscious interoception, and whether its effect differs from that observed for objective socioeconomic status.\nInteroception manifests consciously through skills of interoceptive accuracy, sensitivity, and awareness, but it also encompasses unconscious physiological processes that sustain homeostasis (Mehling et al., 2013; Berntson and Khalsa, 2021). Interoceptive awareness facilitates the attention to and processing of bodily signals, contributing to affect regulation, decision-making, and the integration of emotional states (Mehling et al., 2012; Fiskum et al., 2023; Verdejo-Garcia et al., 2012), while also functioning as a bridge between the internal and external worlds (Barrett and Simmons, 2015; Quigley et al., 2020)\nThe allostatic–interoceptive model (Migeot et al., 2023; Santamaría-García et al., 2024 (Franco-O’Byrne et al., 2024) provides a theoretical framework for understanding how socioeconomic vulnerability may affect interoception. This model suggests that exposure to socioeconomically vulnerable contexts dysregulates allostatic–interoceptive loops, compromising both ascending interoceptive signals and top-down central control (Alvarez et al., 2022; Schulz and Vögele, 2015; Santamaría-García et al., 2024). However, these models rarely integrate the conscious dimension of interoception, focusing mainly on physiological indicators. This gap underscores the need to explore how the subjective perception of socioeconomic vulnerability may impact conscious interoception.\nGiven that PV is associated with higher levels of perceived stress (Kim et al., 2021) and considering that stress constitutes a central mechanism in the allostatic–interoceptive model, it can be posited as a plausible mediator of the relationship between PV and interoceptive awareness. Nevertheless, the question remains whether the effects on stress and, potentially, on interoception differ depending on whether vulnerability is assessed through structural SES indicators (e.g., income, education) or through the subjective perception of vulnerability. While objective measures capture material conditions and available resources (Navarro-Carrillo et al., 2020; Rakesh et al., 2024; Zhao et al., 2023), PV incorporates cognitive evaluations, social comparisons, and psychosocial experiences that could amplify the stress response (Hoebel and Lampert, 2020; Hooker et al., 2017; Nobles et al., 2013; Steen et al., 2020). This distinction allows for the anticipation of specific pathways through which PV may affect conscious interoception, beyond those mediated by stress, opening the possibility of differential effects of objective and subjective measures on interoceptive processes.\nIn this context, the present study aims to understand how objective measures (multidimensional poverty) and subjective measures (perceived socioeconomic vulnerability) relate to conscious interoception, as well as to evaluate the role of perceived stress as a possible mediator of these relationships. Based on the previously discussed evidence showing that subjective evaluations of vulnerability capture psychosocial and emotional aspects not reflected by objective measures (Kim et al., 2021; Kraft and Kraft, 2023; Steen et al., 2020), as well as the central role of stress in the impact of socioeconomic experiences on interoceptive processes (Alvarez et al., 2022; Leão et al., 2025), it is proposed that perceived vulnerability is more strongly associated with conscious interoception than multidimensional poverty and that perceived stress mediates this relationship. These findings complement current physiological models linking socioeconomic influences with interoceptive abilities, contributing to an understanding of the psycho-affective and cognitive mechanisms associated with interoception in socioeconomically vulnerable populations.\n\n\n### Materials and methods\nThis study employed a cross-sectional correlational design to examine the associations among perceived vulnerability, perceived stress, and interoception.\nThe sample consisted of 104 participants (50 women and 54 men), representative of the general Chilean population between 30 and 45 years of age. Years of education (defined as total completed years of formal schooling) averaged 14.7 (SD = 3.43; median = 14, IQR = 12–17; range = 4–23). All participants provided written informed consent prior to participation, and the study was approved by the institutional ethics committee, in accordance with the guidelines of the Declaration of Helsinki for research involving human subjects.\nAs exclusion criteria, individuals with visual and/or hearing impairments that would prevent them from completing the various tasks and measurements of the study, as well as those with psychiatric or neurological histories that could interfere with the evaluation of the protocol, were considered.\nThe Perceived Stress Scale (PSS) (Cohen et al., 1983), in its Spanish version (Remor, 2006), was used to measure the extent to which individuals appraise situations in their lives as stressful. These situations are divided into three aspects considered central components of the stress experience, namely, the degree to which people perceive life as unpredictable, uncontrollable, or overloaded (Remor, 2006). The scale consists of 14 items with a 5-point Likert-type response format ranging from 0 (never) to 4 (very often), and it demonstrated adequate reliability in our sample (Cronbach’s α = 0.719).\nRegarding interoception, the Spanish version of the Multidimensional Assessment of Interoceptive Awareness (MAIA) (Mehling et al., 2012) was used. This multidimensional instrument consists of 32 items evaluated on a Likert-type scale with six ordinal response levels coded from 0 (never) to 5 (always), except for items 5, 6, 7, 8, and 9, which are reverse-scored, followed by the calculation of a total score for each participant (Valenzuela-Moguillansky and Reyes-Reyes, 2015). In the present study, the instrument demonstrated good reliability (Cronbach’s α = 0.733).\nTo measure perceived and objective socioeconomic status, the perceived vulnerability (PV) and multidimensional poverty (MP) subscales were extracted from the Social Determinants of Health questionnaire (Piña-Escudero et al., 2023).\nThe Multidimensional Poverty dimension consists of four subscales: “Limitations to Basic Needs,” “Monthly economic stability,” “Health Access Deprivation,” “Food Insecurity,” and “Quality of nutrition.” Each subscale included 3 items that assessed difficulties related to economic constraints and access to goods or essential services across three life stages (0–10 years, 35–45 years, and the last year). Items were rated on a 0–2 scale (0 = “not difficult at all,” 1 = “somewhat difficult,” 2 = “very difficult”), allowing each subscale to yield a maximum score of 6 points, with higher scores indicating greater deprivation within that domain. The total scale score ranged from 0 to 30, reflecting cumulative multidimensional socioeconomic difficulties. Internal consistency was good, with a Cronbach’s α = 0.813.\nThe Perceived Vulnerability (PV) dimension consisted of four items assessing participants’ perceived social standing relative to others in their community across different stages of the life course. Responses were provided on a scale from 1 to 10. In the original scale, lower values indicated a lower perceived position; however, for the purposes of this study, items were reverse-scored so that higher scores reflected greater perceived vulnerability. This subscale showed good internal consistency in our sample (Cronbach’s α = 0.815).\nParticipants were initially contacted via telephone and flyers distributed in community settings. Eligibility was pre-screened through an enrolment link and/or telephone interview to ensure compliance with inclusion criteria. Eligible participants were invited to attend an in-person laboratory session.\nUpon arrival, participants were seated in a quiet room equipped with a desk and computer to minimize environmental distractions during data collection. A trained psychologist administered the study instruments and supervised the completion of the self-report questionnaires. Data was recorded directly into a secure digital system. The questionnaires were administered in a fixed order and completed in a single session.\nThe full protocol, including screening confirmation and questionnaire completion, required approximately 90 min on average. Participants received compensation upon completion of the session.\nThe study protocol was approved by the Universidad Adolfo Ibañez Ethics Committee (No. 26/2023). All participants provided written informed consent prior to participation.\n\n\n### Research design\nThis study employed a cross-sectional correlational design to examine the associations among perceived vulnerability, perceived stress, and interoception.\n\n\n### Participants\nThe sample consisted of 104 participants (50 women and 54 men), representative of the general Chilean population between 30 and 45 years of age. Years of education (defined as total completed years of formal schooling) averaged 14.7 (SD = 3.43; median = 14, IQR = 12–17; range = 4–23). All participants provided written informed consent prior to participation, and the study was approved by the institutional ethics committee, in accordance with the guidelines of the Declaration of Helsinki for research involving human subjects.\nAs exclusion criteria, individuals with visual and/or hearing impairments that would prevent them from completing the various tasks and measurements of the study, as well as those with psychiatric or neurological histories that could interfere with the evaluation of the protocol, were considered.\n\n\n### Instruments\nThe Perceived Stress Scale (PSS) (Cohen et al., 1983), in its Spanish version (Remor, 2006), was used to measure the extent to which individuals appraise situations in their lives as stressful. These situations are divided into three aspects considered central components of the stress experience, namely, the degree to which people perceive life as unpredictable, uncontrollable, or overloaded (Remor, 2006). The scale consists of 14 items with a 5-point Likert-type response format ranging from 0 (never) to 4 (very often), and it demonstrated adequate reliability in our sample (Cronbach’s α = 0.719).\nRegarding interoception, the Spanish version of the Multidimensional Assessment of Interoceptive Awareness (MAIA) (Mehling et al., 2012) was used. This multidimensional instrument consists of 32 items evaluated on a Likert-type scale with six ordinal response levels coded from 0 (never) to 5 (always), except for items 5, 6, 7, 8, and 9, which are reverse-scored, followed by the calculation of a total score for each participant (Valenzuela-Moguillansky and Reyes-Reyes, 2015). In the present study, the instrument demonstrated good reliability (Cronbach’s α = 0.733).\nTo measure perceived and objective socioeconomic status, the perceived vulnerability (PV) and multidimensional poverty (MP) subscales were extracted from the Social Determinants of Health questionnaire (Piña-Escudero et al., 2023).\nThe Multidimensional Poverty dimension consists of four subscales: “Limitations to Basic Needs,” “Monthly economic stability,” “Health Access Deprivation,” “Food Insecurity,” and “Quality of nutrition.” Each subscale included 3 items that assessed difficulties related to economic constraints and access to goods or essential services across three life stages (0–10 years, 35–45 years, and the last year). Items were rated on a 0–2 scale (0 = “not difficult at all,” 1 = “somewhat difficult,” 2 = “very difficult”), allowing each subscale to yield a maximum score of 6 points, with higher scores indicating greater deprivation within that domain. The total scale score ranged from 0 to 30, reflecting cumulative multidimensional socioeconomic difficulties. Internal consistency was good, with a Cronbach’s α = 0.813.\nThe Perceived Vulnerability (PV) dimension consisted of four items assessing participants’ perceived social standing relative to others in their community across different stages of the life course. Responses were provided on a scale from 1 to 10. In the original scale, lower values indicated a lower perceived position; however, for the purposes of this study, items were reverse-scored so that higher scores reflected greater perceived vulnerability. This subscale showed good internal consistency in our sample (Cronbach’s α = 0.815).\n\n\n### Stress\nThe Perceived Stress Scale (PSS) (Cohen et al., 1983), in its Spanish version (Remor, 2006), was used to measure the extent to which individuals appraise situations in their lives as stressful. These situations are divided into three aspects considered central components of the stress experience, namely, the degree to which people perceive life as unpredictable, uncontrollable, or overloaded (Remor, 2006). The scale consists of 14 items with a 5-point Likert-type response format ranging from 0 (never) to 4 (very often), and it demonstrated adequate reliability in our sample (Cronbach’s α = 0.719).\n\n\n### Interoception\nRegarding interoception, the Spanish version of the Multidimensional Assessment of Interoceptive Awareness (MAIA) (Mehling et al., 2012) was used. This multidimensional instrument consists of 32 items evaluated on a Likert-type scale with six ordinal response levels coded from 0 (never) to 5 (always), except for items 5, 6, 7, 8, and 9, which are reverse-scored, followed by the calculation of a total score for each participant (Valenzuela-Moguillansky and Reyes-Reyes, 2015). In the present study, the instrument demonstrated good reliability (Cronbach’s α = 0.733).\n\n\n### Perceived and objective socioeconomic status\nTo measure perceived and objective socioeconomic status, the perceived vulnerability (PV) and multidimensional poverty (MP) subscales were extracted from the Social Determinants of Health questionnaire (Piña-Escudero et al., 2023).\nThe Multidimensional Poverty dimension consists of four subscales: “Limitations to Basic Needs,” “Monthly economic stability,” “Health Access Deprivation,” “Food Insecurity,” and “Quality of nutrition.” Each subscale included 3 items that assessed difficulties related to economic constraints and access to goods or essential services across three life stages (0–10 years, 35–45 years, and the last year). Items were rated on a 0–2 scale (0 = “not difficult at all,” 1 = “somewhat difficult,” 2 = “very difficult”), allowing each subscale to yield a maximum score of 6 points, with higher scores indicating greater deprivation within that domain. The total scale score ranged from 0 to 30, reflecting cumulative multidimensional socioeconomic difficulties. Internal consistency was good, with a Cronbach’s α = 0.813.\nThe Perceived Vulnerability (PV) dimension consisted of four items assessing participants’ perceived social standing relative to others in their community across different stages of the life course. Responses were provided on a scale from 1 to 10. In the original scale, lower values indicated a lower perceived position; however, for the purposes of this study, items were reverse-scored so that higher scores reflected greater perceived vulnerability. This subscale showed good internal consistency in our sample (Cronbach’s α = 0.815).\n\n\n### Procedure\nParticipants were initially contacted via telephone and flyers distributed in community settings. Eligibility was pre-screened through an enrolment link and/or telephone interview to ensure compliance with inclusion criteria. Eligible participants were invited to attend an in-person laboratory session.\nUpon arrival, participants were seated in a quiet room equipped with a desk and computer to minimize environmental distractions during data collection. A trained psychologist administered the study instruments and supervised the completion of the self-report questionnaires. Data was recorded directly into a secure digital system. The questionnaires were administered in a fixed order and completed in a single session.\nThe full protocol, including screening confirmation and questionnaire completion, required approximately 90 min on average. Participants received compensation upon completion of the session.\nThe study protocol was approved by the Universidad Adolfo Ibañez Ethics Committee (No. 26/2023). All participants provided written informed consent prior to participation.\n\n\n### Data analysis\nDescriptive statistics (means, standard deviations, and ranges) were calculated for all study variables. Normality assumptions were assessed using the Shapiro–Wilk test. Given deviations from normality, nonparametric analyses were conducted. Spearman’s rank-order correlations were computed to examine bivariate associations among variables.\nMediation analysis was conducted using a rank-based nonparametric approach with bootstrapping to estimate indirect effects via a product-of-coefficients framework. Further methodological details are provided in the following subsection.\nAn a priori power analysis was conducted using G*Power (version 3.1.9.7) to determine the required sample size. Considering that simple mediation models can be statistically approximated using multiple regression analyses, the required sample size was estimated for a linear multiple regression model with two predictors. Assuming a medium effect size (f2 = 0.15), α = 0.05, and power (1−β) = 0.80, the required sample size was N = 68. Our sample (N = 104) exceeded this requirement.\nAll analyses were carried out using Python 3.10, employing the Pandas (McKinney, 2010), NumPy (Harris et al., 2020), and SciPy.stats (Virtanen et al., 2020) libraries.\nTo examine the mediating role of perceived stress in the association between perceived vulnerability and interoception, a rank-based nonparametric mediation approach was implemented. Given violations of normality assumptions, monotonic associations among variables were estimated using Spearman’s rank-order correlation coefficients (Conover, 1999; Field, 2024).\nThe indirect effect was operationalized using a product-of-coefficients framework (a × b), consistent with contemporary mediation methodology (MacKinnon and Luecken, 2008). Path a (X→M) and path b (M→Y) were estimated using Spearman correlations, and their product provided the point estimate of the indirect effect.\nInference regarding the indirect effect was conducted using nonparametric percentile bootstrapping with 5,000 resamples. For each resample, rank-based path coefficients were recomputed and multiplied to generate an empirical sampling distribution of the indirect effect. Bias-corrected 95% confidence intervals were derived from this distribution. Statistical significance was determined when the confidence interval did not include zero, in line with recommendations for mediation inference based on resampling procedures (Preacher and Hayes, 2008; Tibshirani and Efron, 1993).\nThe direct effect (c′) was estimated using ordinary least squares regression applied to ranked variables to preserve consistency with the rank-based mediation framework (Conover and Iman, 1981). This approach does not rely on normal-theory assumptions and provides robust estimation of indirect effects under conditions of non-normality, skewness, or potential outliers (Wilcox, 2012).\n\n\n### Mediation analysis\nTo examine the mediating role of perceived stress in the association between perceived vulnerability and interoception, a rank-based nonparametric mediation approach was implemented. Given violations of normality assumptions, monotonic associations among variables were estimated using Spearman’s rank-order correlation coefficients (Conover, 1999; Field, 2024).\nThe indirect effect was operationalized using a product-of-coefficients framework (a × b), consistent with contemporary mediation methodology (MacKinnon and Luecken, 2008). Path a (X→M) and path b (M→Y) were estimated using Spearman correlations, and their product provided the point estimate of the indirect effect.\nInference regarding the indirect effect was conducted using nonparametric percentile bootstrapping with 5,000 resamples. For each resample, rank-based path coefficients were recomputed and multiplied to generate an empirical sampling distribution of the indirect effect. Bias-corrected 95% confidence intervals were derived from this distribution. Statistical significance was determined when the confidence interval did not include zero, in line with recommendations for mediation inference based on resampling procedures (Preacher and Hayes, 2008; Tibshirani and Efron, 1993).\nThe direct effect (c′) was estimated using ordinary least squares regression applied to ranked variables to preserve consistency with the rank-based mediation framework (Conover and Iman, 1981). This approach does not rely on normal-theory assumptions and provides robust estimation of indirect effects under conditions of non-normality, skewness, or potential outliers (Wilcox, 2012).\n\n\n### Results\nHere we report descriptive statistics and bivariate associations among the study variables (see Table 1), followed by the results of the mediation analysis testing the indirect effect of perceived stress on the relationship between perceived vulnerability and interoception.\nDescriptive statistics and spearman’s rank-order correlations.\nSpearman correlation coefficients are presented with significance levels indicated as follows: p < 0.05 (*), p < 0.01 (**), and p < 0.001 (***). PSS, perceived stress; PV, perceived vulnerability; MP, multidimensional poverty (for more details about correlations with MAIA subscales, see Supplementary Table 3). Further information on MAIA subscales is presented in Supplementary Tables 1, 2.\nA summary of the correlations can be seen in Table 1.\nThe results of the Spearman correlation analysis between perceived stress (PSS) and interoception (MAIA) indicate a significant negative correlation with the subscales “Attention Regulation” (rho = −0.219; p = 0.025), “Self-Regulation” (rho = −0.273; p = 0.005), “Trusting” (rho = −0.284; p = 0.004), and with the total score of the instrument “Total MAIA” (rho = −0.295; p = 0.002). These correlations suggest that higher levels of perceived stress are associated with lower interoceptive awareness, as measured by the MAIA.\nIn parallel, the correlations between perceived stress and socioeconomic status, both perceived and objective, revealed a significant relationship between PSS and the subjective measure (“PV”) (rho = 0.230; p = 0.019). This is particularly relevant, as “PV” not only correlates with perceived stress but also shows a strong relationship with the “Multidimensional Poverty” dimension (rho = 0.495; p < 0.001), and when both variables are combined, they correlate significantly with perceived stress (rho = 0.235; p = 0.016).\nFinally, regarding the relationship between perceived and objective socioeconomic status and interoception, significant negative correlations were observed for the following relationships: between the subscales “PV” and “Noticing” (rho = −0.253; p = 0.01), “PV” and “Attention Regulation” (rho = −0.277; p = 0.004), “PV” and “Emotional Awareness” (rho = −0.213; p = 0.03), and “PV” and Total MAIA (rho = −0.232; p = 0.018). In contrast, the objective measure of SES did not correlate with any of the interoception subscales.\nAs shown in Figure 1, the results indicated that higher levels of perceived deprivation (higher PV scores) were associated with higher levels of perceived stress (rho = 0.24, p = 0.015), and that higher stress was related to lower interoception (rho = –0.26, p = 0.008). The total relationship between perceived vulnerability and interoception was significant (rho = –0.24, p = 0.012) and persisted as a weaker but still significant direct effect when controlling for stress (β = –0.19, p = 0.048). The indirect effect was significant (a × b = –0.058; 95% CI: –0.15 to –0.005; p = 0.022), suggesting partial mediation of approximately 24%. These findings support the hypothesis that perceived stress is a psychological mechanism through which perceived vulnerability impacts interoceptive awareness (for more information, see Supplementary Table 3).\nMediation model examining the role of perceived stress in the association between perceived vulnerability (PV) and interoception. The total effect of PV on interoception was significant (c = –0.24, p = 0.012) and decreased when accounting for perceived stress (c’ = –0.19, p = 0.048), indicating partial mediation. All reported values correspond to standardized coefficients. The path c represents the total effect of PV on interoception, whereas c’ represents the direct effect of PV on interoception after controlling for the mediator. See Supplementary Table 3 for additional details.\n\n\n### Correlation analysis\nA summary of the correlations can be seen in Table 1.\nThe results of the Spearman correlation analysis between perceived stress (PSS) and interoception (MAIA) indicate a significant negative correlation with the subscales “Attention Regulation” (rho = −0.219; p = 0.025), “Self-Regulation” (rho = −0.273; p = 0.005), “Trusting” (rho = −0.284; p = 0.004), and with the total score of the instrument “Total MAIA” (rho = −0.295; p = 0.002). These correlations suggest that higher levels of perceived stress are associated with lower interoceptive awareness, as measured by the MAIA.\nIn parallel, the correlations between perceived stress and socioeconomic status, both perceived and objective, revealed a significant relationship between PSS and the subjective measure (“PV”) (rho = 0.230; p = 0.019). This is particularly relevant, as “PV” not only correlates with perceived stress but also shows a strong relationship with the “Multidimensional Poverty” dimension (rho = 0.495; p < 0.001), and when both variables are combined, they correlate significantly with perceived stress (rho = 0.235; p = 0.016).\nFinally, regarding the relationship between perceived and objective socioeconomic status and interoception, significant negative correlations were observed for the following relationships: between the subscales “PV” and “Noticing” (rho = −0.253; p = 0.01), “PV” and “Attention Regulation” (rho = −0.277; p = 0.004), “PV” and “Emotional Awareness” (rho = −0.213; p = 0.03), and “PV” and Total MAIA (rho = −0.232; p = 0.018). In contrast, the objective measure of SES did not correlate with any of the interoception subscales.\n\n\n### Perceived stress—interoception\nThe results of the Spearman correlation analysis between perceived stress (PSS) and interoception (MAIA) indicate a significant negative correlation with the subscales “Attention Regulation” (rho = −0.219; p = 0.025), “Self-Regulation” (rho = −0.273; p = 0.005), “Trusting” (rho = −0.284; p = 0.004), and with the total score of the instrument “Total MAIA” (rho = −0.295; p = 0.002). These correlations suggest that higher levels of perceived stress are associated with lower interoceptive awareness, as measured by the MAIA.\n\n\n### Perceived stress—perceived vulnerability (subjective) y multidimensional poverty (objective)\nIn parallel, the correlations between perceived stress and socioeconomic status, both perceived and objective, revealed a significant relationship between PSS and the subjective measure (“PV”) (rho = 0.230; p = 0.019). This is particularly relevant, as “PV” not only correlates with perceived stress but also shows a strong relationship with the “Multidimensional Poverty” dimension (rho = 0.495; p < 0.001), and when both variables are combined, they correlate significantly with perceived stress (rho = 0.235; p = 0.016).\n\n\n### Perceived vulnerability, multidimensional poverty—interoception\nFinally, regarding the relationship between perceived and objective socioeconomic status and interoception, significant negative correlations were observed for the following relationships: between the subscales “PV” and “Noticing” (rho = −0.253; p = 0.01), “PV” and “Attention Regulation” (rho = −0.277; p = 0.004), “PV” and “Emotional Awareness” (rho = −0.213; p = 0.03), and “PV” and Total MAIA (rho = −0.232; p = 0.018). In contrast, the objective measure of SES did not correlate with any of the interoception subscales.\n\n\n### Mediation analysis\nAs shown in Figure 1, the results indicated that higher levels of perceived deprivation (higher PV scores) were associated with higher levels of perceived stress (rho = 0.24, p = 0.015), and that higher stress was related to lower interoception (rho = –0.26, p = 0.008). The total relationship between perceived vulnerability and interoception was significant (rho = –0.24, p = 0.012) and persisted as a weaker but still significant direct effect when controlling for stress (β = –0.19, p = 0.048). The indirect effect was significant (a × b = –0.058; 95% CI: –0.15 to –0.005; p = 0.022), suggesting partial mediation of approximately 24%. These findings support the hypothesis that perceived stress is a psychological mechanism through which perceived vulnerability impacts interoceptive awareness (for more information, see Supplementary Table 3).\nMediation model examining the role of perceived stress in the association between perceived vulnerability (PV) and interoception. The total effect of PV on interoception was significant (c = –0.24, p = 0.012) and decreased when accounting for perceived stress (c’ = –0.19, p = 0.048), indicating partial mediation. All reported values correspond to standardized coefficients. The path c represents the total effect of PV on interoception, whereas c’ represents the direct effect of PV on interoception after controlling for the mediator. See Supplementary Table 3 for additional details.\n\n\n### Discussion\nThis study examined the relationships among stress, perceived socioeconomic vulnerability (PV), multidimensional poverty (MP), and interoception using a mediation model. Initial correlational analyses showed that perceived stress was associated with both higher PV and greater MP. However, only the subjective measure (i.e., PV) was related to interoception, as evidenced by lower scores on the total MAIA scale and the subdimensions of Noticing, Attention Regulation, and Emotional Awareness. The mediation model further indicated that the association between PV and interoception was partially explained by perceived stress. Together, these findings suggest that conscious interoception is more closely shaped by subjective socioeconomic vulnerability and its psychosocial correlates than by structural indicators of poverty. This represents the first effort to examine the differential effects of perceived vs. objective measures of socioeconomic conditions on interoception.\nIt is well established that differences in socioeconomic status significantly influence the way individuals perceive and interpret bodily signals (Chentsova-Dutton and Dzokoto, 2014; Freedman et al., 2021; Leão et al., 2025; Ma-Kellams, 2014). Interoceptive sensitivity—such as heartbeat detection accuracy—tends to be lower among individuals or populations exposed to disadvantage or chronic stress (Chentsova-Dutton and Dzokoto, 2014). These effects appear to arise not only from material deprivation but also from exposure multidimensional factors to early adversity, food insecurity, insufficient healthcare access, and other contextual stressors that impact interoceptive processes (Barradas et al., 2021; Feldman et al., 2023; Leão et al., 2025). Our findings partially align with these studies but add an important nuance that has been largely overlooked: the role of the subjective perception of socioeconomic vulnerability in the disruption of interoceptive awareness.\nResearch has consistently shown that subjective socioeconomic assessments robustly predict physical, emotional, and cognitive outcomes, often more strongly than objective indicators (Demakakos et al., 2008; Hooker et al., 2017; Roy et al., 2019; Shaked et al., 2016; Steen et al., 2020; Navarro-Carrillo et al., 2020; Präg et al., 2016; Quon and McGrath, 2014; Tan et al., 2020; Zhao et al., 2023). Their predictive advantage likely arises because subjective measures capture psychosocial dimensions that traditional indices do not fully reflect, including cumulative adversity, expectations about future stability, perceived family resource constraints, and affective states such as shame or inferiority (Adler et al., 2000; Bosma et al., 2015; Hoebel and Lampert, 2020). Within this framework, our results suggest that these psychosocial components are particularly relevant for understanding why PV—but not multidimensional poverty—was associated with reduced interoceptive awareness. This pattern indicates that individuals’ interpretations and appraisals of their socioeconomic standing may exert a more proximal influence on interoceptive processes than objective socioeconomic indicators alone.\nA large body of research indicates that the negative outcomes of subjective socioeconomic vulnerability are attributable to heightened stress and decreased coping abilities (Archibald and Neupert, 2022; Gruenewald et al., 2006; Hoebel and Lampert, 2020; Jackson et al., 2011). Individuals who perceive themselves as disadvantaged tend to show greater threat sensitivity, stronger negative affect and stress responses (Derry et al., 2013; Gruenewald et al., 2006; Rahal et al., 2020). These psychosocial patterns are accompanied by feelings of inferiority, shame, and incompetence that exert disproportionately negative effects on health (Hoebel and Lampert, 2020; Kraft and Kraft, 2023) including the well-known generalized toxic effects of chronic HPA-axis activation (Hooker et al., 2017; Nobles et al., 2013; Steen et al., 2020). At the neurobiological level, perceived socioeconomic vulnerability has been associated with alterations in key limbic regions implicated in stress regulation, such as the anterior cingulate cortex, hippocampus, and amygdala, as well as broader neurovascular and functional vulnerabilities (Mcewen and Gianaros, 2010; Gianaros et al., 2007, 2008; Yang et al., 2016; Yong et al., 2021). Interestingly, such stress-vulnerable areas, particularly insular and ACC have been linked to interoceptive processes (Berntson and Khalsa, 2021; Feldman et al., 2024), representing a common neuroanatomical substrate linking subjective social status to interoception. Taken together, current literature suggests that stress constitutes a compelling mechanism through which PV may disrupt interoceptive processes.\nIn line with the above, our results show that perceived stress partially mediates the association between perceived vulnerability (PV) and interoceptive awareness. Higher PV was associated with higher stress, which in turn was linked to lower interoception. This pattern confirms that beyond structural disadvantage, perceived social standing carries psychosocial burdens that increase stress vulnerability and reduce coping capacity, ultimately affecting interoception. From a neurophysiological standpoint, these patterns align with integrative models (Alvarez et al., 2022; Lucente and Guidi, 2023; Migeot and Ibáñez, 2025) describing how socioeconomic driven stress disrupts the brain’s allostatic–interoceptive network (AIN), a large-scale system encompassing key nodes of the salience and default mode networks—including the insula, anterior cingulate cortex, amygdala, and hippocampus—responsible for integrating top-down interoceptive predictions with bottom-up viscerosensory input (Kleckner et al., 2017). Chronic stress induces multisystemic load—reflected in inflammatory, metabolic, and cardiovascular markers—that alters the structure and function of key AIN regions, disrupts predictive integration of visceral information, and produces atypical electroencephalographical interoceptive responses (Birba et al., 2022, p. 20; Fava et al., 2019; Franco-O’Byrne et al., 2024, 2025; Hazelton et al., 2025). By incorporating PV and conscious interoceptive processes, our findings refine this neurophysiological literature and highlight a plausible psychological route through which vulnerability becomes biologically embedded.\nThe partial mediation also indicates that PV contributes to lower interoceptive awareness beyond stress. This effect may reflect cognitive and attentional mechanisms: by involving a representation of scarcity, insecurity, and lack of control over the environment, PV could direct attention toward external threats— such as concerns about stability, social comparisons, or fear of resource loss—thereby reducing attention to internal signals (Leão et al., 2025; Murphy et al., 2018). Altogether, these findings indicate that PV may be associated with lower interoceptive awareness through multiple mechanisms, independent of stress. However, these potential explanations will need to be empirically tested in future studies.\nWhile illuminating potential psychosocial and neurophysiological mechanisms underlying interoception, this study has limitations. Because it is cross-sectional, the mediation should not be interpreted causally. Our approach relied on Spearman correlations to accommodate non-normality and potential non-linearities, with bootstrap-based CIs providing robust estimates. However, we did not control for potential confounders such as sex, which may influence both stress and interoceptive awareness. Future studies should incorporate longitudinal designs and multivariable models to clarify temporal directionality and evaluate alternative computational or modeling frameworks.", "domain": "affective_neuroscience"}
{"source": "PMC13079513", "title": "Speaker effects in language comprehension: An integrative model of language and speaker processing", "text": "# Speaker effects in language comprehension: An integrative model of language and speaker processing\n\n## Abstract\nThe identity of a speaker influences language comprehension through modulating perception and expectation. This review explores speaker effects and proposes an integrative model of language and speaker processing that integrates distinct mechanistic perspectives. We argue that speaker effects arise from the interplay between bottom-up perception-based processes, driven by acoustic-episodic memory, and top-down expectation-based processes, driven by a speaker model. We show that language and speaker processing are functionally integrated through multi-level probabilistic processing: prior beliefs about a speaker modulate language processing at the phonetic, lexical, and semantic levels, while the unfolding speech and message continuously update the speaker model, refining broad demographic priors into precise individualized representations. Within this framework, we distinguish between speaker-idiosyncrasy effects arising from familiarity with an individual and speaker-demographics effects arising from social group expectations. We discuss how speaker effects serve as indices for assessing language development and social cognition, and we encourage future research to extend these findings to the emerging domain of artificial intelligence (AI) speakers, as AI agents represent a new class of social interlocutors that are transforming the way we engage in communication.\n\n## Full Text\n\n\n### Introduction\nDespite being used in the psycholinguistic literature, the term speaker effect, also known as talker effect, is often used without being formally defined. It refers to how language comprehension1 is influenced by the identity of the speaker. For example, when a common name like “Kevin” is mentioned by a colleague, a listener might think of a middle-aged workmate named Kevin, whereas if the same name is mentioned by their school-age son, they are more likely to think of a boy from his class (Barr et al., 2014). Similarly, while it seems natural for a little girl to say she cannot sleep without her teddy bear, hearing the same sentence from an adult man may be unexpected (Van Berkum et al., 2008). These examples illustrate that language is understood in a context that includes the identity of the speaker.\nHowever, using speaker effect as an umbrella term often obscures the distinct mechanisms at play in different scenarios. In the “Kevin” example, the effect may arise from the activation of acoustic-episodic memory, linking the name with the voice of a specific speaker (such as the workmate or the school-age son). In contrast, the “teddy bear” example may illustrate the influence of the listener’s mental model regarding demographic stereotypes. There is currently a lack of a theoretical framework in which various types of speaker effects can be mechanistically explained and integrated.\nTo address this issue, we propose a theoretical framework for understanding speaker effects in language comprehension. We begin by noting that the physical basis of speaker effects is the variability in voices across speakers, and that a speaker’s voice provides rich information that allows listeners to perceive and identify the speaker. We then consider the interplay between voice and linguistic content by contrasting a one-system view, which assumes voice and language processing are integrated, and a two-system view, which regards them as independent processes. These two perspectives give rise to two accounts of speaker effects. The acoustic-episode account, which aligns with the one-system view, emphasizes the role of acoustic-episodic memory in modulating language comprehension. In contrast, the speaker-model account, which aligns with the two-system view, focuses on the influence of the listener’s mental model of the speaker on language comprehension. To reconcile these two accounts, we propose an integrative model of language and speaker processing that incorporates the roles of both acoustic-episodic memory and the speaker model. We also illustrate how the speaker model may modulate language comprehension through multiple levels of probabilistic processing. Building on this integrative model, we differentiate between speaker-idiosyncrasy effects and speaker-demographics effects. The former arise from the listener’s familiarity with specific individual speakers, while the latter stem from the listener’s accumulated experience interacting with a demographic population. Acoustic-episodic memory and the speaker model contribute to these two types of effects to varying degrees depending on the requirements of different comprehension tasks. Finally, we discuss the potential for using speaker effects as measures for assessing linguistic and socio-cognitive abilities, and suggest extending future research to artificial intelligence (AI) agents as humanlike speakers, as the increasing prevalence of voice-based human-AI interaction may give rise to new types of speaker effects.\nThroughout evolutionary history, communication systems in humans and other species have shared a common purpose: to convey the vocalizer’s identity and physiological characteristics (Creel & Bregman, 2011). The phenomenon of “speaker” effects is not only prevalent in human communication but is also evident in the animal kingdom. Non-human primates, who share a common ancestor with humans, exhibit vocal recognition systems that enable them to identify individual members within their social groups (Bergman et al., 2003) and perceive cues regarding physical characteristics such as sex, age, and body size (Ey et al., 2007).\nSimilarly, humans can extract social and biological information from the voice, which is a cornerstone of social cognition (Belin et al., 2004). For example, males with lower-pitched voices are often perceived by other males as more physically and socially dominant, reflecting the importance of voice in male intrasexual competition and mating success (Puts et al., 2006). People rapidly form personality judgments from hearing a new voice, even from just a brief utterance like the word “hello” that lasts less than a second (McAleer et al., 2014). In this section, we explore how human speakers vary in vocal features and how listeners identify speakers on the basis of these features.\nIn spoken language comprehension, the cognitive processing of a speaker’s identity begins with the physical signal. In most cases,2 speaker effects arise from differences in how acoustic speech signals are produced by different individuals. These differences are known as speaker variability, which is often linked to the speaker’s unique physiological characteristics and learned behaviors.\nVoice production results from interactions between the laryngeal source and the vocal tract filter (Ghazanfar & Rendall, 2008). Source properties include the vibration of the vocal folds, which determines a speaker’s fundamental frequency (f0), a primary cue listeners use to track pitch. Filter properties include the dynamic changes in shape and size of the vocal tract, which acts as a resonator to reinforce certain frequencies. These resonant frequencies of the vocal tract are known as formants. The largest acoustic differences in voice among speakers are observed between men and women, and between adults and children (Fitch & Giedd, 1999; Johnson & Sjerps, 2021; Kreiman & Sidtis, 2011). These differences primarily result from physiological factors. For example, men typically have larger larynges with longer and thicker vocal folds compared to women (Hammond et al., 2000), leading to lower rates of vibration and, consequently, lower pitch during speech production (Stevens, 1998). Men also have longer vocal tracts and proportionally longer pharyngeal cavities (Simpson, 2001), resulting in generally lower vowel formant frequencies (Gelfer & Bennett, 2013). Sex-based differences in voice quality, such as breathiness, may arise from variations in subglottal pressure and laryngeal adjustments (Klatt & Klatt, 1990).\nHowever, some differences in voice cannot be explained solely by anatomical differences; instead, they are influenced by social and cultural factors (Munson & Babel, 2019). For example, the acoustic difference between male and female children’s speech may be partly attributed to sex-specific articulatory behaviors (Bennett, 1981; Perry et al., 2001). Disparities in fundamental frequencies between males and females throughout their lifespan may arise from culturally ingrained, gender-based pronunciation practices (Whiteside, 2001). A study examining the voice of boys diagnosed with gender identity disorder (now typically referred to as gender dysphoria) showed that they sounded less like control boys, likely due to subtle, learned speech behaviors rather than variations in vocal tract size or vocal cord shape (Munson et al., 2015). Transgender speakers can modify vocal characteristics to align with their identity. For example, transgender women can raise their pitch and adjust resonance despite anatomical constraints, and transgender men can adopt articulation patterns that correlate more with their gender identity (Zimman, 2018). These findings show that the voice can be a social construct mediated by identity rather than strictly a biological outcome.\nBeyond gender differences, the acoustic properties of the human voice change with age, marking significant divergence between adults and children. The development of children’s vocalization is primarily due to anatomical maturation of the vocal tract, such as the increase in vocal tract length, which leads to a decrease in formant frequencies. By puberty, notable sex-based differences in vocal tract length emerge, with distinct patterns for males and females (Vorperian et al., 2009). Compared to adults, the speech of children is characterized by elevated pitch and formant frequencies, extended speech segment durations, and increased variability in both timing and frequency spectra (Lee et al., 1999). These distinct patterns enable listeners to identify the age of a speaker upon hearing their voice.\nHumans can easily identify a person through their voice, and this ability develops very early in life. Human fetuses show increased heart rates in response to their mother’s voice and decreased heart rates to a stranger’s voice (Kisilevsky et al., 2003). Similarly, newborn babies less than 3 days old can distinguish and show a preference for their mother’s voice over that of a female stranger, as indicated by their sucking behavior (DeCasper & Fifer, 1980). For adults, a speaker’s voice is a primary acoustic signal that provides rich information about the speaker (Schweinberger et al., 2014). When encountering familiar speakers, listeners can often identify the individual using acoustic cues (Schweinberger et al., 1997). With unfamiliar speakers, listeners can extract demographic attributes from their voice, including their sex (Leung et al., 2018), age (Mulac & Giles, 1996), physical characteristics (Krauss et al., 2002), region of origin (Clopper & Pisoni, 2004b), socio-economic status (Labov, 1973), perceived competence (Rakić et al., 2011; Ko et al., 2009), and sexual orientation (Pierrehumbert et al., 2004).\nListeners can identify a person through their voice remarkably quickly. They show rapid responses differentiating voices from other sounds. In a magnetoencephalography (MEG) study, Capilla et al. (2013) found that listeners begin to show distinct brain responses to vocal and non-vocal sounds as early as 150 ms after stimulus onset. These voice-preferential responses are localized to bilateral mid-superior temporal sulci (mid-STS) and mid-superior temporal gyri (mid-STG), overlapping with the brain regions known as the temporal voice areas. Beyond differentiating voice from non-voice, it takes around 200–300 ms to identify a voice as familiar. An electroencephalogram (EEG) study by Beauchemin et al. (2006) found that familiar voices elicited greater mismatch negativity (MMN) and P3a components, which peaked around 200 ms and 300 ms after stimulus onset, respectively. Furthermore, the categorization of a speaker’s social group based on voice also occurs rapidly and interacts with the processing of other vocal cues. Jiang et al. (2020) demonstrated that listeners differentiated vocally expressed confidence as early as approximately 100–200 ms after voice onset for in-group speakers; however, these early differentiation effects were altered or absent for out-group speakers. For newly learned voices, Zäske et al., (2014) found that successful identification was associated with beta-band (16–17 Hz) neural oscillations in central and right temporal regions, starting around 290 ms after stimulus onset. These oscillations appeared to be elicited independently of linguistic content, suggesting a possible dissociation between voice and language processing.\nRegarding how voices are represented in memory, some models suggest prototype-based processing as a potential mechanism (e.g., Lavner et al., 2001). In these models, voices are represented in a multidimensional voice space (Petkov & Vuong, 2013). Each dimension represents a vocal feature (e.g., the vocal tract length). The central point of this space represents the prototype voice (Latinus et al., 2013), an average voice formed through prior exposure to different voices. Direct support for this mechanism comes from Lavan et al. 2019b), who found that listeners, after having learned a voice from a specific set of acoustic exemplars, subsequently recognized the untrained mathematical average of that voice better than the specific exemplars they had actually heard. This suggests that listeners automatically construct norm-based prototypes, rather than relying solely on the storage of specific exemplars.\nEach voice is represented in the voice space by its deviation from the averaged prototype. Listeners estimate the similarity of an incoming voice to a reference voice based on these deviation patterns (Maguinness et al., 2018). These deviations are compared to stored reference patterns, which may represent a specific speaker (for familiar voices) or broader templates of a demographic group, such as a “young Glaswegian male” (Lavan et al., 2019a).\nFurthermore, voice-identity processing is often likened to face-identity processing (Yovel & Belin, 2013), with a person’s voice sometimes referred to as their “auditory face” (Belin et al., 2004, 2011; Young et al., 2020). This account, originally developed based on the model of face perception (Bruce & Young, 1986), emphasizes the similarity between voice and face processing (Schirmer, 2018; Young et al., 2020). It suggests that incoming acoustic signals undergo general low-level auditory analysis before being processed in a structural analysis stage where three essential aspects (linguistic, voice, and affective information) are processed through dissociable but interacting pathways. The voice information pathway connects to higher-order semantic nodes of the speaker’s identity, which in turn link to other modalities such as the visual system.\nVoice is not only a medium for personal identity but also a vehicle for linguistic content (Ladefoged & Broadbent, 1957; Scott, 2019). These dual functions give rise to an interplay between voice and language processing. Over the years, this interplay has been approached from different perspectives, which can be broadly characterized by their focus. Some theories, often grouped as the two-system view, suggest that voice and language are processed independently. In contrast, the one-system view proposes that voice and language are processed within a single cognitive system from the very beginning. As much of the literature suggests a middle ground where these processes are separable but not wholly independent (e.g., Mullennix & Pisoni, 1990), these two views are perhaps best seen as theoretical endpoints on a continuum.\nModels of voice processing such as the “auditory face” model assume that voice is processed independently from linguistic content. Similarly, abstractionist theories of speech processing (e.g., Liberman & Mattingly, 1985; McQueen et al., 2006) suggest that language comprehension is independent of the processing of paralinguistic information like the speaker’s identity. This framework is known as the two-system view. In this view, linguistic and paralinguistic (e.g., speaker-related) information are processed in different systems, meaning that indexical information is retained separately (but not completely discarded) (Magnuson & Nusbaum, 2007). To cope with the variability in speech signals from different speakers, the linguistic system engages in normalization, an active control process that resolves the many-to-many mapping between acoustics and phonetic categories (Choi et al., 2018; Magnuson et al., 2021) by tuning the speech processing system to speaker-specific acoustic properties (Sjerps et al., 2019).\nThe hypothesis of speaker normalization has been supported by studies demonstrating performance costs, such as reduced accuracy and slower processing speed, when listeners perceive speech from multiple speakers compared to a single speaker (Clopper & Pisoni, 2004a; Mullennix et al., 1989). Listeners who are told to expect two different speakers experience these performance costs, while listeners who expect a single speaker do not (Magnuson & Nusbaum, 2007; but see Luthra et al., 2021). Furthermore, neuroimaging evidence shows that perceiving speech under a mixed-speaker condition results in greater activity in the middle/superior temporal and superior parietal regions, compared to a blocked-speaker condition. This increased neural activity in the temporal-parietal network was considered to reflect the heightened demand for selective attention required in resolving acoustic–phonetic ambiguities introduced by multiple speakers (Wong et al., 2004). Traditionally, these behavioral costs and increased neural activity have been interpreted as the cognitive load associated with the active renormalization of phonetic categories. However, more recent research suggests that these effects may not be driven solely by normalization. An alternative “auditory attention” hypothesis proposes that talker-switching acts as salient stimulus discontinuities that disrupt auditory streaming, triggering an involuntary reorienting of attention (Lim et al., 2019; Luthra, 2024). Importantly, these views are likely complementary rather than mutually exclusive: recent evidence suggests that multitalker processing costs may be driven by both attentional disruptions over short time scales and phonetic normalization over longer time scales (Luthra, 2024).\nThe two-system view is further supported by neuroimaging evidence indicating that voice and language are processed in separate regions in the brain. The left STG is sensitive to linguistic content, processing phonetic (Yi et al., 2019) and syntactic information (Friederici et al., 2010). This area exhibits flexibility in adapting to different listening environments (Evans et al., 2016). In contrast, the right temporal regions focus more on voice-specific information (Lattner et al., 2005), which is often associated with the speaker’s identity. This reflects a hemispheric asymmetry: the left hemisphere is more involved in language processing, while the right is more attuned to nonlinguistic vocal features (González & McLennan, 2007; Schall et al., 2015; Scott, 2019).\nSome researchers suggest that this asymmetry arises from differences in the temporal scale of acoustic information processed by the two hemispheres (Creel & Bregman, 2011; Creel & Tumlin, 2011; Poeppel, 2003). The left hemisphere focuses on rapid temporal events, aligning with linguistic elements necessary for speech perception. Conversely, the right hemisphere is sensitive to slower temporal events, which often correspond to the nonlinguistic features that indicate the speaker’s identity. However, this purely acoustic account has been challenged by more recent evidence. For example, Myers and Theodore (2017) found that the right hemisphere is recruited to process voice-onset time (a classic rapid temporal cue) when that cue serves as a marker of speaker identity. This suggests that hemispheric specialization might not be driven solely by the physical temporal scale of the stimulus, but also by its functional significance – whether the cue signals linguistic content or vocal identity.\nDespite this hemispheric specialization, the two systems must interact to accommodate speaker-specific phonetic variability. Neurobiological evidence shows that the integration of speaker information during speech perception is achieved through coordinated activity of neural networks. Functional connectivities reveal that access to speaker-specific phonetic patterns relies on interactions between the left-lateralized phonetic processing system and the right-lateralized voice processing system, with the right posterior temporal cortex serving as a crucial interface for this integration (Luthra, 2021; Luthra et al., 2023).\nIt is important to note that although the two-system view suggests separate processing of voice and linguistic content, it does not dismiss the influence of voice on language processing. Instead, it posits that the influence is at most indirect, in contrast to the direct influence proposed by the one-system view.\nAt the other endpoint of the theoretical continuum, the one-system view posits that voice and language processing are interdependent and use the same set of representations. According to this view, people learn to distinguish between elements in speech signals that convey meaning and those that identify speakers. Some research also emphasizes that both voice and language processing share an evolutionary root in humans’ early ability to recognize individuals from vocal cues (e.g., Creel & Bregman, 2011). The one-system view is represented by exemplar-based theories, which propose that the human memory system, including the mental lexicon, stores detailed records of prior experiences with various stimuli (Medin & Schaffer, 1978; Nosofsky, 1986). When new stimuli are encountered, they are compared with stored exemplars for classification. If a new stimulus matches a stored exemplar, the memory of that exemplar is reinforced; otherwise, a new exemplar is created and stored (Gradoville, 2023).\nIn a radical version of exemplar-based theories (e.g., Goldinger, 1996, 1998), memory systems (e.g., the mental lexicon) store intact episodes with detailed acoustic traces. Incoming speech signals activate similar acoustic traces in episodic memory, leading to identification. From this standpoint, there is no distinction, as far as speech perception is concerned, in the nature of representations between linguistic units and voice: both are encoded as unified records in the memory system. This comprehensive record-keeping allows for the emergence of various information clusters, such as words or speakers (Werker & Curtin, 2005).\nListeners direct their attention towards different clusters depending on the task, such as speech perception or voice identification. For example, listeners can flexibly allocate attention to speaker identity or phonemic information depending on the utility of that information for the task at hand (Creel & Tumlin, 2011). This task-dependent processing is also supported by neuroimaging evidence showing that the neural encoding of speech sounds is dynamically reshaped by behavioral goals. Cortical response patterns and the phase of cortical oscillations realign to reflect the specific dimension (speaker vs. vowel) to which the listener is attending (Bonte et al., 2009, 2014).\nWhile radical exemplar-based theories are theoretically appealing, they are often criticized for assuming a memory system that stores vast amounts of information and a comprehension system that requires high computational speed, which may not be economical. Additionally, neurophysiological evidence shows that the brain does encode speech by phonetic categories (Chang et al., 2010) and features such as places and manners of articulation (Mesgarani et al., 2014), as well as specific acoustic features like vowel formants (Oganian et al., 2023). A softer version of exemplar-based theories allows for certain degrees of abstraction (e.g., Ambridge, 2020; Goldinger, 2007; Johnson, 2006), suggesting that both detailed episodic traces and abstract linguistic representations can coexist in the mental lexicon. Nonetheless, the core assumption of exemplar-based theories, and the one-system view in general, is that language processing is directly influenced by the acoustic characteristics of the speaker’s voice. This is because phonemes and other paralinguistic acoustics are essentially the same and are represented together as one system in the brain.\nThe distinct perspectives of the two-system and one-system views give rise to accounts of speaker effects with different theoretical focuses. The two-system view, by separating speaker characteristics from linguistic content, gives rise to a top-down speaker-model account, which includes how listeners form phonetic, syntactic, semantic, and pragmatic expectations about the speaker. In contrast, the one-system view, with its focus on holistic memory traces, is most clearly embodied in an acoustic-episode account, which highlights the direct episodic influence of the speaker’s voice on language comprehension.\nUnder the two-system view, the information about a speaker’s identity carried by acoustic signals is processed separately from linguistic content. This information enters the voice-processing system and connects to abstract representations related to the speaker, forming a speaker model. This model includes the listener’s beliefs and knowledge about the speaker, such as their sex, age, socio-economic status, and region of origin. Listeners use this model to form expectations and interpret meaning by integrating the linguistic content with speaker characteristics.\nThe existence of the speaker model is supported by evidence showing that speaker characteristics can influence language comprehension independently of acoustic variations. For example, Cai et al. (2017) investigated how listeners comprehend cross-dialectally ambiguous English words such as “flat” and “gas.” They showed that listeners had more access to the American meaning when these words were spoken by a speaker with an American accent than by one with a British accent. Critically, such speaker effects do not arise from accent details in a word but instead from a mental model listeners have constructed for the speaker (e.g., a British vs. American English speaker): listeners still had more access to the American meaning of word tokens morphed to be accent-neutral as long as they believed the word tokens were produced by an American English speaker (see also Cai, 2022; King & Sumner, 2015).\nThe speaker model influences comprehension across various modalities, and speaker effects can occur even when acoustic cues are absent. Geiselman and Bellezza (1977) discovered that listeners confused the gender of the speaker with the gender of the agent during a sentence-memorization task. For example, listeners were more likely to remember the speaker being female for the sentence “The queen spent the money” and being male for the sentence “The gentleman entered the house.” Fairchild and Papafragou (2018) showed that readers judged under-informative written sentences (e.g., “Some people have noses with two nostrils”) as more plausible when they believed the sentences were from a non-native speaker compared to a native speaker. This indicates that expectations about a speaker’s linguistic competence modulate pragmatic interpretation even without acoustic input (see also Gibson et al., 2017; Hanulíková et al., 2012). Similarly, Foucart et al. (2019) demonstrated that a brief prior exposure to a speaker’s foreign accent modulated the neural processing (N400) of subsequent written sentences attributed to that speaker, suggesting that the reduced reliability associated with the accent was integrated into the speaker model and affected comprehension even when the voice was not heard. More recently, Rao et al. (2025a) extended this to AI “speakers,” showing that neural responses to text-based semantic and syntactic anomalies differed significantly depending on whether readers believed the text was generated by a human or a large language model (LLM) (see also Rao et al., 2025b, c). These findings suggest that speaker properties are represented as higher-level abstract features that interact with other domains such as text, and that the speaker model emerges from these combined features.\nIn addition to these semantic and pragmatic expectations, a speaker model also includes expectations about the speaker’s phonetic characteristics. For example, Johnson et al. (1999) demonstrated that participants who were exposed to a gender-neutral voice perceived vowel boundaries differently based on whether they believed the speaker was male or female. This effect occurred when they saw the video clips of a male or female speaker and persisted even when they were simply instructed to imagine a male or female speaker during the task. Similar speaker model effects on speech perception have also been observed regarding a speaker’s nationality (Niedzielski, 1999), ethnicity (Staum Casasanto, 2008), and age (Hay et al., 2006). An explanation for this is the “ideal adapter” framework (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015). In this framework, listeners solve the “lack of invariance” problem (i.e., the fact that one speaker’s acoustic cues for a phoneme, like/s/, differ from another’s) by learning a speaker’s “generative model.” This generative model is a set of statistical distributions for that speaker’s phonetic categories. This framework accounts for how listeners recognize a familiar speaker by deploying a stored, speaker-specific generative model, and generalize to a group of similar speakers by using a group-level model (e.g., based on accent or gender) as a starting point for adaptation. The influence of these implicit speaker-phonetic beliefs extends beyond early speech perception; they can also modulate the dynamics of lexical access, such as restricting competition from words that are phonologically incompatible with a speaker’s accent (Trude & Brown-Schmidt, 2012), and influence recognition of words (Luthra et al., 2018).\nUnder the one-system view, the intertwined nature of linguistic and speaker representations provides an intuitive explanation for speaker effects. The acoustic-episode account, most closely associated with exemplar-based theories, suggests that a speaker’s identity influences speech processing by providing a greater or lesser acoustic match to listeners’ previous encounters with specific speech episodes (Goldinger, 1996, 1998; Kapnoula & Samuel, 2019; Pufahl & Samuel, 2014). When a word is produced by a familiar speaker, the acoustic details match the listener’s episodic memory better than when it is produced by a new speaker (Creel & Tumlin, 2011), leading to speaker effects in speech perception.\nIn a study by Goldinger (1996), participants were exposed to a list of words spoken by various speakers in a study phase. Later in a test phase, they were presented with another list of words and asked to determine whether each word had been previously heard. The results indicated that they were more accurate in identifying words as previously heard when words were spoken by the same speaker between the study phase and the test phase, compared to when the words were spoken by different speakers. Further research showed that recognition was even better in cases where word tokens were identical (i.e., the same recording), compared to cases where word tokens were not identical (i.e., different recordings) even if uttered by the same speaker (Clapp, Vaughn, Todd et al., 2023b). On the other hand, when learning novel words with similar pronunciations, participants distinguished the words faster when spoken by different speakers during the study phase than by the same speaker (Creel et al., 2008; Creel & Tumlin, 2011); this effect could be detected even when the study phase and the test phase were 24 h apart, suggesting that the speaker’s voice may be encoded as part of the mental lexicon (Kapnoula & Samuel, 2019). These findings support the notion that detailed acoustic information, including speaker-specific characteristics, is stored in memory and directly influences speech processing.\nInterestingly, the influence of acoustic episodes extends to other acoustic information beyond the speaker’s voice, suggesting a highly episodic mechanism in speech perception. In a study by Pufahl and Samuel (2014), participants listened to spoken words accompanied by environmental sounds (e.g., a phone ringing or a dog barking), and made an animacy decision for each word. Later in a test phase, participants’ ability to identify acoustically filtered versions of those words was impaired to a similar degree either when the voice changed (e.g., test words were accompanied with the same environmental sound but spoken by a different speaker) or when the environmental sound changed (e.g., test words were spoken by the same speaker but accompanied by a different environmental sound). Similar effects with background noise have been observed for white and sine wave noise (Cooper et al., 2015; Cooper & Bradlow, 2017; Creel et al., 2012; Strori et al., 2018). These findings suggest that lexical and sound representations are deeply integrated, with acoustic-episodic memory directly impacting speech processing.\nThe acoustic-episode account and the speaker-model account offer distinct perspectives on the locus and nature of speaker effects (see Creel, 2014 for a similar discussion). The acoustic-episode account assumes that speaker effects arise from bottom-up perceptual processes. In this view, listeners search their memories for the best episodic match to incoming speech signals to determine the word and meaning of a speech token. The speaker’s voice, along with other acoustic details, is considered an integral part of the mental representation of spoken words, and these detailed representations directly influence language comprehension. Conversely, the speaker-model account assumes that speaker effects occur in top-down expectation-based processes. According to this account, listeners construct a comprehensive model of the speaker, which includes their beliefs and knowledge about the speaker’s characteristics. Listeners then use this model to form expectations and interpret the message by integrating the speaker’s characteristics.\nWhile these two accounts may seem contradictory at first glance, they are not mutually exclusive. Speaker effects can take place at multiple representational levels simultaneously (Creel & Tumlin, 2011). Each mechanism can contribute to a speaker effect to varying degrees depending on task requirements. To reconcile these two accounts, we propose an integrative model of language and speaker processing that incorporates both bottom-up influences of acoustic episodes and top-down influences of the speaker model on language comprehension.\nAs illustrated in Fig. 1, incoming sound signals are perceived and form acoustic representations. These acoustic representations are considered unified records of acoustics that do not distinguish between types of information, such as linguistic content or speaker identity. Instead, the acoustic representations capture the complete range of acoustic details present in the speech signal, including both linguistic and paralinguistic information. Listeners can allocate their attention to different aspects of the acoustic representations depending on the context and task requirements, allowing for the emergence of different clusters of acoustics. For example, in a speech perception task, listeners may allocate their attention to distinguishing acoustic clusters between different phonemes and words; in a speaker identification task, listeners may focus on the difference between clusters that represent different speakers.Fig. 1Schematic representation of an integrative model of language and speaker processing. Solid arrows indicate the primary feedforward flow of information involved in constructing the message, moving from acoustic-episodic representations to the formation of the speaker model and linguistic representations. Dashed arrows represent modulatory or feedback influences. Specifically, the speaker model modulates speech perception and meaning access, while linguistic features also inform and modify the speaker model. Additionally, the constructed message can trigger reanalysis of linguistic information and the updating of the speaker model\nSchematic representation of an integrative model of language and speaker processing. Solid arrows indicate the primary feedforward flow of information involved in constructing the message, moving from acoustic-episodic representations to the formation of the speaker model and linguistic representations. Dashed arrows represent modulatory or feedback influences. Specifically, the speaker model modulates speech perception and meaning access, while linguistic features also inform and modify the speaker model. Additionally, the constructed message can trigger reanalysis of linguistic information and the updating of the speaker model\nThese acoustic representations proceed through two pathways: one for processing linguistic information and the other for processing speaker information. In the language comprehension pathway, the relevant acoustic features map onto linguistic categories, including smaller units such as phonemes and syllables, and larger units such as words and phrases, ultimately accessing the linguistic meaning. In the speaker perception pathway, the relevant acoustic features map onto representations related to the speaker’s characteristics, constructing a model that incorporates information about a specific individual (individual speaker model), or a template model about a social group (demographic speaker model).\nAn individual speaker model refers to the listener’s mental representation of a specific, familiar speaker, encompassing a wide range of information such as the speaker’s unique voice characteristics, speaking style, personality traits, background knowledge, and shared experiences with the listener. When a listener encounters a familiar speaker, the acoustic features of the speaker’s voice activate the corresponding individual speaker model, which then influences language comprehension by providing a rich context for interpreting the speaker’s utterances. On the other hand, a demographic speaker model refers to the listener’s mental representation of a social group or category to which a speaker belongs, based on the listener’s general knowledge, beliefs, and stereotypes about the characteristics typically associated with members of that group. When a listener encounters an unfamiliar speaker, they may rely on demographic models to make inferences about the speaker’s characteristics and to guide their expectations.\nIndividual and demographic speaker models are not entirely separate; rather, they exist on a continuum and can influence each other. On the one hand, the construction of individual models is usually based on initial demographic models, as a listener’s prior experiences with speakers from a particular social group may shape their expectations and biases when encountering a new speaker from that same group; on the other hand, as a listener gains more experience with a particular speaker, they may begin to develop an individual model of that speaker that gradually overrides or modifies the initial demographic model. The relationship between an individual model and a demographic model also aligns with the distinction made in the “ideal adapter” framework between speaker-specific generative models and more general, group-level priors (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015).\nThe speaker model modulates the language comprehension pathway at multiple levels from the top down. At the level of speech perception, the speaker model biases phonetic and lexical processing by applying different prior probabilities to linguistic units. For example, if the speaker model indicates that the speaker might be from a particular dialect region (a demographic model) or is a specific person known to produce/s/with a low-frequency spectrum (an individual model), it may assign higher probabilities to phonetic and lexical variants associated with that speaker (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015; Sumner et al., 2014). At the level of meaning access, the speaker model influences meaning interpretation by creating a context that biases dominant word meanings and pragmatic inferences for sentences. For example, if the speaker model suggests that the speaker might be an American English speaker, it may bias the interpretation of ambiguous words or phrases towards meanings more commonly used in American English. Finally, the message is interpreted by integrating the linguistic information with speaker information provided by the speaker model.\nIt should be noted that the modulation between language and speaker processing is bidirectional. For example, structured phonetic variation in the input also facilitates speaker identification (Ganugapati & Theodore, 2019). Specific linguistic features, such as accent, inform listeners about speaker attributes like region of origin (e.g., identifying a speaker as British vs. American; Cai et al., 2017; Martin et al., 2016), and the speaker model can also be informed by the speaker’s lexical and syntactic choices (Porter et al., 2016) and linguistic style (Bradac et al., 1976).\nIn summary, the proposed model is “integrative” in two senses. In one sense, during language and speaker processing, the bottom-up perception and top-down expectation are integrated, driven by the interaction between detailed acoustic-episodic memory and a more abstract speaker model. In another sense, language and speaker processing are functionally integrated, where the construction of linguistic meaning and the perception of speaker characteristics are not resolved in isolation, but are intertwined throughout comprehension.\nThe integrative model highlights a dynamic, probabilistic interaction between the speaker model and language processing. This dynamic nature can be formalized using a Bayesian framework (see also Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015), which describes how listeners integrate prior beliefs about a speaker with incoming evidence. This probabilistic processing occurs at multiple levels, including the modulation of speech perception, the modulation of linguistic meaning access, speaker-contextualized message construction, and the updating of the speaker model by the message.\nThe speaker model modulates speech perception. Formally, the probability of identifying a linguistic form (e.g., a phoneme) given the acoustic input and the perceived speaker identity can be expressed as:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(form | acoustics, speaker\\right)\\propto p \\left(acoustics \\right| form, speaker) \\times p (form | speaker)$$\\end{document}pform|acoustics,speaker∝pacousticsform,speaker)×p(form|speaker)\nHere, the term p (acoustics | form, speaker) is the likelihood of encountering specific acoustic patterns given that a speaker (with a perceived identity) produces a certain linguistic form. The term p (form | speaker) represents the prior probability of the linguistic form given the speaker. This aligns with the “ideal adapter” framework (Kleinschmidt & Jaeger, 2015), where listeners utilize stored statistical distributions associated with that identity to bias lower-level phonetic perception. For example, upon hearing an ambiguous fricative sound, a listener’s perception of it as/s/or/ʃ/is based not only on the population-level distribution of the linguistic form but also on the specific phonetic habits of that speaker.\nCrucially, this flow of information is not strictly bottom-up but involves a dynamic recalibration process. Listeners use disambiguating lexical information, such as an ambiguous sound (e.g., midway between/s/and/f/) in a context where one interpretation yields a valid word (e.g., “giraffe”) and the other a nonword (e.g., “girasse”), to update their beliefs and retune prelexical phonetic categories (Eisner & McQueen, 2005; Norris et al., 2003). This recalibration involves variable spectral cues like fricatives (Kraljic & Samuel, 2005, 2007) and stable temporal cues like stop consonants (Kraljic & Samuel, 2006). This process tracks cumulative input statistics of a speaker’s speech over time to iteratively update their phonetic categories (Myers & Mesite, 2014; Tzeng et al., 2021).\nThe speaker model modulates linguistic meaning access. This involves evaluating the probability of a certain meaning given the linguistic form and the speaker’s identity, formalized as:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(meaning | form, speaker\\right)\\propto p \\left(form \\right| meaning, speaker) \\times p (meaning | speaker)$$\\end{document}pmeaning|form,speaker∝pformmeaning,speaker)×p(meaning|speaker)\nThis process is demonstrated in the comprehension of cross-dialectal ambiguous words. Cai et al. (2017) showed that for a word like “bonnet,” listeners were more likely to interpret it as a car part (compared to a type of hat) when the speaker was British compared to when the speaker was American. In the current framework, the term p (meaning | speaker) represents the prior probability of the speaker expressing a specific concept. In this case, the prior probability of referring to a car part or a hat may be similar across English speakers (i.e., Americans and British people are equally likely to talk about cars or hats). Consequently, the access to the meaning is largely determined by the likelihood p (form | meaning, speaker). If the speaker is British, the likelihood p (form = “bonnet” | meaning = car part, speaker = British) is high; if the speaker is American, the likelihood shifts: p (form = “bonnet” | meaning = hat, speaker = American) is now high while the likelihood that an American uses “bonnet” for a car part is low (as they would use “hood”). This shift in the likelihood driven by the speaker identity boosts the accessibility of the hat meaning when the listener perceives an American accent.\nThe listener constructs the final message (i.e., the speaker-contextualized meaning) by integrating the linguistic meaning with the speaker information. This involves a rational evaluation of the joint probability of these two components:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p (meaning, speaker)$$\\end{document}p(meaning,speaker)\nFor example, Van Berkum et al. (2008) found that hearing the meaning “Every evening I drink some wine” from a child speaker creates a conflict, triggering an N400 effect, because the joint probability p (meaning = drink wine, speaker = child) is low. Wu and Cai (2026) further showed that this joint probability serves as a cue for selecting the appropriate processing strategy. If the joint probability is low but still within a reasonable range (e.g., a social-stereotype violation such as a man talking about himself regularly getting a manicure), the listener engages in effortful integration of social stereotypes and the speaker’s identity, reflected as an N400 effect. However, if the joint probability is very low (e.g., a perceived biological violation like a man talking about himself getting pregnant),3 the listener treats the input as an error and engages in correction/reanalysis, reflected as a P600 effect. As discussed in Wu and Cai (2026), this P600 “error correction” process may itself involve a new probabilistic inference, such as re-evaluating the perceived speaker identity (e.g., misinterpretation of speaker gender based on the voice) or the perceived linguistic content (e.g., misperception of words or inferring a metaphorical interpretation).\nFinally, the speaker model is updated in light of the message. This updating process allows the model to evolve from demographic stereotypes to individualized representations. This can be formalized as a belief update:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(speaker \\;model | message\\right)\\propto\\; p \\left(message \\right| speaker \\;model) \\times \\;p (speaker \\;model)$$\\end{document}pspeakermodel|message∝pmessagespeakermodel)×p(speakermodel)\nHere, the posterior belief about the speaker, p (speaker model | message), is updated based on the likelihood of observing the current message, p (message | speaker model) and the listener’s prior beliefs about that speaker, p (speaker model). For example, Wu et al. (2025) showed that listeners track the frequency of a speaker making stereotype-incongruent statements. Hearing a child say “I drink whisky every night” for the first time might be a surprising message. However, if the child keeps talking about leading a stereotypically adult lifestyle, the listener updates their speaker model. Wu et al. found that listeners exhibited different neural oscillatory responses depending on the frequency of stereotype-incongruent statements made by a speaker. This indicates that listeners dynamically update their prior speaker model based on the cumulative evidence provided by the message.\nIn the integrative model, the interplay between bottom-up acoustic episodes and top-down speaker models occurs rapidly and incrementally as speech unfolds. The influence of acoustic episodes on spoken language processing emerges very early. For example, Creel and Tumlin (2011) demonstrated that listeners use talker-specific acoustic details to distinguish competing words as early as 200 ms after word onset. This suggests that the retrieval of acoustic-episodic traces occurs almost simultaneously with initial phonetic analysis, rapidly constraining lexical selection before the word is fully articulated. This aligns with the general time course of acoustic processing in spoken language comprehension, where acoustic-phonetic analysis occurs within the first 80–200 ms (Tezcan et al., 2023).\nThe integration of the speaker model with linguistic content does not wait until the end of a sentence; rather, it occurs incrementally as a sentence unfolds. For example, Van Berkum et al. (2008) showed that when a specific word in a sentence mismatches the speaker’s identity in terms of social stereotypes, the brain detects this conflict within 200–300 ms of the word’s onset, eliciting an N400 effect (similar results were reported in Pélissier & Ferragne, 2022, van den Brink et al., 2012, and Wu & Cai, 2026). This timing suggests that the speaker model is continuously active and integrates dynamically with linguistic content. Although some studies report a P600 effect instead of an N400 in response to speaker-content mismatch, indicating a later stage integration (e.g., Foucart et al., 2015; Lattner & Friederici, 2003), the integrative model interprets these results as a subsequent inference process involving error correction or reanalysis (Wu & Cai, 2026), as discussed in the previous section. Thus, within the integrative model, speaker effects are dynamic: they can manifest as early perceptual biases, concurrent semantic integration, or later error correction, depending on the nature of the input and the listener’s rational inference.\nWhen discussing one’s identity, the term can refer to the idiosyncratic characteristics of an individual speaker, highlighting the unique traits and perspectives that distinguish one person from another. The speaker effects occurring at this level are defined as speaker-idiosyncrasy effects. Alternatively, identity can refer to the collective attributes of a demographic group, reflecting shared characteristics typical of a specific social, ethnic, gender, or age group. Speaker effects at this level are defined as speaker-demographics effects.\nHowever, it is important to note that this distinction is not binary. As similarly proposed by Kleinschmidt (2019), speakers can be conceptualized within a hierarchy of group membership. Listeners’ beliefs about a speaker become more specific as the grouping becomes more precise, moving along a continuum from broad demographic categories (e.g., gender, ethinicity) to highly specific idiosyncratic traits. In this view, demographic representations emerge from the experience of interacting with individuals within a demographic group, while these demographic features can, in turn, serve as a basis or prior for forming expectations about a specific individual. In this section, we review studies that examine speaker-idiosyncrasy effects and those that explore speaker-demographics effects.\nThe speaker-idiosyncrasy effect refers to how a speaker’s unique characteristics, along with the listener’s prior experience with that speaker, can influence language comprehension. Research shows that speech is more intelligible from a familiar speaker than from an unfamiliar speaker, a phenomenon known as familiar talker advantage (Domingo et al., 2020; Souza et al., 2013). Evidence suggests this advantage relies on precise, linguistically specific knowledge, as listeners trained on a voice in one language did not show improved intelligibility for that speaker in another language (Levi et al., 2011). Furthermore, this advantage appears not to require explicit recognition of the speaker’s identity, as listeners retained the intelligibility advantage even when acoustic manipulations (e.g., of vocal tract length) prevented them from consciously identifying the voice (Holmes et al. 2018). The advantage was also found to be context-dependent, manifesting most strongly when a competing masker is linguistically similar (e.g., speech) rather than dissimilar (e.g., noise), and correlates with the listener’s learning accuracy of the voice (Levi et al., 2019). Neuroimaging evidence further shows that familiar voices elicit more robust neural representations in the posterior STG and MTG (Holmes & Johnsrude, 2021), regions known to represent phonetic categories. These results highlight the influence of both acoustic-episodic memory and the speaker model. The fact that the intelligibility benefit survives without explicit speaker identification (Holmes et al., 2018) suggests that low-level acoustic-episodic traces can directly facilitate processing. However, the linguistic specificity of the effect (Levi et al., 2011) indicates that the speaker model must also provide precise, speaker-specific priors for phonetic categories to resolve ambiguity.\nBeyond speech intelligibility, research shows that word recognition is faster and more accurate when words are spoken by the same speaker during both learning and test. Craik and Kirsner (1974) had participants listen to a string of words and decide if each word had appeared earlier in the sequence (i.e., whether the word was repeated). Repeated words were spoken either by the same speaker or by a different speaker. They found that participants’ responses to the words repeated by the same speaker were more accurate than responses to those repeated by a different speaker. This result was replicated in further studies (Clapp, Vaughn, Sumner et al., 2023a, Clapp, Vaughn, Todd et al., 2023b; Goh, 2005; Goldinger, 1996; Palmeri et al., 1993). In this case, the acoustic match between the initial and repeated tokens of the same word is better when spoken by the same speaker than by different speakers, which leads to more efficient word recognition.\nHowever, the influence of these speaker-specific acoustics on word recognition is not unconditional. Research suggests that these effects are often time-dependent, emerging primarily when processing is relatively slow or difficult. For example, McLennan and Luce (2005) found that these effects emerged in slow responses but were reduced in fast ones. This suggests that abstract phonological representations dominate early, rapid processing (e.g., quickly identifying a clearly spoken word based solely on its phonemes), while specific indexical details emerge only during later, slower processing (e.g., relying on memory of a specific speaker’s voice to help identify a difficult word). This idea was further supported by evidence showing that speaker effects were stronger for the speech of dysarthric individuals than for control individuals, as the increased processing time required to decode degraded speech signals enhanced the retrieval of detailed acoustic-episodic traces (Mattys & Liss, 2008). Theodore et al. (2015) further showed that even when processing is fast, speaker effects emerge if listeners explicitly attend to speaker details during encoding (e.g., actively focusing on who is speaking rather than just what is being said).\nSpeaker-idiosyncrasy effects also occur in higher-level comprehension tasks, such as referent label processing. Typically, listeners expect speakers to consistently use the same label when referring to the same object (Brennan & Clark, 1996; Shintel & Keysar, 2007). For example, if a speaker initially refers to a piece of furniture as a “couch,” listeners anticipate that the speaker will continue using this label, rather than switching to an alternative label like “sofa.” When speakers occasionally switch to a different label, comprehension can be disrupted (Barr & Keysar, 2002). Experiments in referent label processing usually involve two phases: initially, a speaker uses a label for an object; later, either the same or a different speaker uses the same or an alternative label for that object – a process known as label switching. Evidence shows that the disruptive effect of label switching is modulated by the speaker’s identity. Metzing and Brennan (2003) found that when hearing a new referent label, listeners were slower to find the object when the new label was uttered by the original speaker than by a different speaker. This finding has been replicated in further studies using behavioral (Brown-Schmidt, 2009; Horton & Slaten, 2012; Kronmüller & Barr, 2007, 2015) and neurophysiological measures (Bögels et al., 2015). In the context of the integrative model, these studies suggest that listeners develop an individual speaker model based on their experience with a specific speaker’s language use. This model encompasses information about the speaker’s prior label usage. When the same speaker switches to a new label, it violates the listener’s expectations based on their mental model of that speaker, leading to a disruption in comprehension. In contrast, when a different speaker uses a new label, the listener may not have a well-established model for that speaker, resulting in less disruption.\nAnother example where individual speaker models influence language comprehension is perspective modeling (also known as perspective taking). Listeners actively consider what the speaker can physically see when interpreting messages. In a scenario described by Brown-Schmidt et al. (2015), a speaker and a listener sit at a table on which there are two red triangles and one blue triangle. One of the red triangles is blocked from the speaker’s view but is visible to the listener. When the speaker instructs the listener to move the “red one,” it would not be ambiguous if the listener models the speaker’s perspective, considering what the speaker can see. Studies have shown that perspective modeling significantly affects language comprehension, especially in referent disambiguation (Brown-Schmidt, 2012; Brown-Schmidt et al., 2008; Hanna et al., 2003). This perspective modeling can be considered part of an individual speaker model that encompasses the listener’s understanding of what the speaker knows and does not know (Clark, 1996; Heller et al., 2012; Wu & Keysar, 2007). This aspect of the individual speaker model is constructed through the listener’s experience with the specific speaker and their shared context, and likely shares cognitive mechanisms with the spontaneous modeling of co-listeners (Jouravlev et al., 2019; Rueschemeyer et al., 2015). When the listener encounters an ambiguous referent, they can use their individual speaker model to infer the speaker’s intended meaning based on their knowledge of the speaker’s perspective.\nIn a proper name comprehension study by Barr et al. (2014), pairs of friends played a communication game in which one friend (addressee) identified a target person from four photos based on a name spoken by their friend or a stranger. The addressee was informed whether the name was chosen by their friend or the stranger. Results showed that addressees identified the target more quickly when the name was spoken by their friend, possibily due to a better match of acoustic details, as they were more familiar with their friend’s voice. Meanwhile, responses were slower when told the name was not chosen by the speaker but by the other person (e.g., a friend speaking a name from a stranger), reflecting the addressee’s effort to verify the speaker model regarding whether the speaker knows the target person or not. In this case, the listener’s mental model of their friend includes knowledge about the friend’s social network and familiarity with specific individuals. When the friend speaks a name chosen by the stranger, it conflicts with the listener’s mental model of the friend, prompting them to engage in additional processing to verify the speaker’s knowledge of the target person.\nThe speaker-demographics effect refers to how language comprehension is influenced by the collective attributes of a group of speakers who share characteristics typical of a specific social, ethnic, gender, or age population. In the referent label processing studies discussed in the previous section, researchers manipulated the speaker’s identity by contrasting whether the speaker who switched referent labels was the one who established the original label in the first place. This involves comparing specific individuals within the same demographic group (e.g., adult speaker A vs. adult speaker B). In contrast, studying speaker-demographics effects involves comparing speakers from different demographic backgrounds (e.g., an adult vs. a child) to examine how group-level expectations influence processing.\nWu et al. (2024) used event-related potentials (ERPs) to explore whether listeners expect a child speaker to be less likely to switch labels compared to an adult speaker, based on the common belief that children are less flexible in language use. They used pictures with alternative labels (e.g., a piece of furniture can be labeled either as a “couch” or as a “sofa”). Each picture was shown twice across two phases. In the establishment phase, participants heard either an adult or a child label a picture and judged whether the label matched the picture. In the test phase, the same speaker either repeated the original label or switched to an alternative label, and participants again judged the label’s match to the picture. ERP results showed that switched labels elicited an N400 effect compared to repeated labels. Importantly, the N400 effect was larger with a child speaker than with an adult speaker, indicating greater difficulty in comprehending switched labels from children than from adults.\nIn this case, although the possibility that the acoustic difference between the original label and the alternative label might be larger for a child speaker than for an adult speaker cannot be entirely ruled out, the speaker-demographics effect here is likely driven primarily by listeners’ modeling of the speaker’s linguistic flexibility. Specifically, it can be attributed to the listener’s demographic speaker model, which incorporates general beliefs and expectations about the linguistic flexibility of different age groups. When listeners encounter a child speaker, their demographic model suggests that children are less likely to switch labels compared to adults. This top-down influence of the demographic speaker model leads to greater processing difficulty when a child speaker violates this expectation by switching labels.\nERP studies also show that the speaker demographics modulate sentence comprehension. In an early study, Lattner and Friederici (2003) asked participants to listen to self-referential sentences that expressed a stereotypically gendered idea, including stereotypically masculine sentences such as “I like to play soccer” or stereotypically feminine ones such as “I like to wear lipstick.” Each sentence was spoken by both male and female speakers. They found that the mismatch between the speaker’s biological sex (as inferred from their voice) and the stereotypically gendered sentence elicited a P600 effect at the critical words at the end of sentences (e.g., “soccer” spoken by a female speaker and “lipstick” spoken by a male speaker). Van Berkum et al. (2008) used a similar paradigm and tested more demographic attributes, including age and social status. They contrasted sentences such as “Every evening I drink some wine before I go to sleep” spoken by an adult speaker versus by a child speaker. Their results showed that the mismatch between speaker demographics and the linguistic content elicited an N400 effect at the critical word “wine,” similar to the classic N400 effects elicited by semantic anomalies (Kutas & Hillyard, 1980; Van Berkum et al., 1999) and world knowledge violations (Hagoort et al., 2004). These speaker-demographics effects on sentence comprehension have been replicated by further studies using similar paradigms (Foucart et al., 2015; Martin et al., 2016; Pélissier & Ferragne, 2022; Tesink, Petersson et al., 2009b; van den Brink et al., 2012; Wu & Cai, 2026).\nThese findings can be explained by considering the role of the demographic speaker model in sentence comprehension. As the sentence unfolds, listeners incrementally integrate the sentence meaning with their knowledge about the speaker’s demographic background, which is captured by the demographic speaker model. When the critical word in the sentence conflicts with the expectations generated by the demographic model (e.g., a child speaker talking about drinking wine), it elicits an N400 effect. This effect has been interpreted by most authors as reflecting increased difficulty in integrating the unexpected word into the current speaker context. However, others might interpret the N400 as a lexico-semantic prediction error (DeLong et al., 2005; Nour Eddine et al., 2024). In this view, the speaker model generates probabilistic predictions about likely upcoming words, and the N400 amplitude indexes the degree of mismatch or “surprise” arising when the bottom-up input conflicts with these top-down predictions.\nAnother example of such population-specific word frequency effects is demonstrated in the study by Walker and Hay (2011), in which participants completed an auditory lexical decision task where they listened to words that were more prevalent among older people (e.g., “knitting”) and words that were more prevalent among younger people (e.g., “lifestyle”). All words were presented in the voices of both older and younger speakers. They found that participants responded faster and more accurately when the age of the voice matched the typical age of the word (see Kim, 2016, for a similar finding). The authors interpreted this finding within an exemplar framework, suggesting that lexical access is facilitated when the specific phonetic detail of the input matches the generalized acoustic detail of the listener’s stored exemplars. They argued against a top-down semantic priming account (e.g., the speaker model) by demonstrating that the effect was predicted by objective corpus frequency ratios but not by explicit post hoc ratings of “word age.” However, without specific information about the time course of the effect, it remains possible that the speaker model exerts an implicit top-down influence not captured by explicit ratings.\nDespite not directly focusing on the underlying mechanisms of speaker effects, some studies utilize speaker effects as indices for assessing other cognitive abilities. One such ability is language ability, where the influence of acoustic details can reflect the development of an individual’s mental lexicon. Another is socio-cognitive ability, which is often linked to the robustness of the speaker model during communication.\nAn essential component in language acquisition is learning what elements of speech signals (e.g., phonemes) differentiate meanings. Theoretically, a fully abstract linguistic system would normalize variability that does not distinguish one linguistic unit from another. The presence and magnitude of speaker effects, especially sensitivity to acoustic details during speech perception, can indicate whether language learners have achieved linguistic abstraction. It also reflects whether they can efficiently process linguistically relevant information without being overly influenced by extralinguistic factors like speaker variability. In this sense, attenuated speaker effects (e.g., less disruption caused by speaker changes) may indicate more successful generalization.\nDuring the initial stages of language acquisition, spoken word representations are highly acoustic. This makes it challenging for infants, the primary language learners, to generalize beyond specific acoustic details of their language input. To assess infants’ ability to generalize words across different speakers, Houston and Jusczyk (2000) familiarized infants with isolated words (learning materials) spoken by one speaker and then tested them with passages (test materials) containing those words spoken by another speaker. They discovered that at 7.5 months, infants paid more attention to test materials containing familiar words only when both the learning and test materials were produced by speakers of the same sex. By 10.5 months, the speaker-sex effect was no longer observed, indicating that infants’ word-form representations become more abstract with age (for similar findings, see Schmale & Seidl, 2009).\nIn a study focusing on young children, Ryalls and Pisoni (1997) used a word-recognition task where children aged 3–5 years were asked to identify words from a list by pointing to corresponding pictures. The words were spoken by either a single speaker or multiple speakers. Results indicated that children’s word recognition was adversely affected by an increased number of speakers. However, as children aged, their ability to process words from multiple speakers improved. Additionally, when asked to repeat the words, younger children matched the duration of the words more closely than older children and adults, suggesting that they retain more acoustic details in their speech representation. These findings imply that infants and young children are more sensitive to acoustic details in speech, with this sensitivity gradually decreasing as they develop (Creel & Tumlin, 2011).\nFurthermore, the ability to move beyond these specific acoustic details to generalize across speakers appears to be directly linked to language ability. Levi et al. (2019) investigated the familiar talker advantage in children with varying language abilities. They found that while all children benefitted from familiarity (i.e., successfully mapping specific acoustic details to linguistic units), only those with higher language scores could generalize this knowledge to recognize words spoken by unfamiliar speakers with the same accent. This suggests that while the ability to use speaker-specific acoustic cues is robust even in children with lower language skills, the ability to abstract these patterns to new speakers can indicate higher language ability.\nOn the other hand, training with multiple speakers can aid speech learning for both first language (Quam & Creel, 2021) and second language (Zhang et al., 2021) acquisition. In an early study, Lively et al. (1993) trained Japanese listeners to distinguish between English/r/and/l/sounds, using either multiple speakers or a single speaker. Those trained with multiple speakers successfully generalized their learning to new words spoken by new speakers, whereas those trained with a single speaker did not. This suggests that exposure to multiple speakers fosters more robust and abstract linguistic representations, which can facilitate the development of phonetic categories and the generalization of speech perception ability. Rost and McMurray (2009, 2010) further explored this idea by showing that acoustic variability aids infants in developing phonetic categories, such as/b/and/p/. Their studies revealed that infants’ phonetic learning could be improved by presenting words produced by multiple speakers, compared to presenting words produced by a single speaker. These findings suggest that speaker variability, irrelevant of contrasting phonetic units, can help young language learners acquire those phonetic units (see also Quam et al., 2017). By exposing learners to a wide range of acoustic variations, multi-speaker training may help them extract the invariant features that define phonetic categories, leading to more successful generalization across speakers and contexts.\nLanguage communication is a primary form of social interaction. Consequently, individual differences in social cognition are often reflected in how people process language. Specifically, a listener’s socio-cognitive traits may influence their ability to construct a mental model that accurately captures the features of a specific individual or the general attributes of a demographic group.\nThis link between social cognition and language processing emerges early in life. Kinzler et al. (2007) demonstrated that infants and young children use acoustic cues (e.g., accent) to form social preferences that guide interaction. They found that 5-month-old infants prefer to look at native-language speakers, 10-month-olds prefer to accept toys from native speakers, and 5-year-olds choose to be friends with children who speak with a native accent rather than a foreign accent. For adults, Dragojevic and Giles (2016) showed that processing fluency (i.e., the ease with which speech is processed) acts as a mechanism for social evaluation. They found that when listeners encountered speech that was difficult to process (e.g., due to an unfamiliar accent), they showed a negative affective reaction. This negative affect, in turn, led listeners to evaluate the speaker more negatively.\nWhile the ability to extract social identity from voice and speech is a hallmark of typical development, disruptions in voice processing are frequently observed in clinical and neurodiverse populations. Along with phonagnosia (also known as pure voice processing deficit, Hailstone et al., 2010; Van Lancker & Canter, 1982), difficulties in voice processing are observed among populations with schizophrenia, dyslexia, and autism (Stevenage, 2018). Individuals with schizophrenia, particularly those experiencing auditory hallucinations, often struggle to recognize a speaker’s identity through voice (Alba-Ferrara et al., 2012; Badcock & Chhabra, 2013; Chhabra et al., 2012). This difficulty is linked to reduced activation in the right STG (Zhang et al., 2008), a region crucial for voice perception (Lattner et al., 2005). Dyslexic individuals generally retain normal facial recognition abilities (Brachacki et al., 1994) but encounter challenges in voice identification (Perea et al., 2014; Perrachione et al., 2011). For autistic individuals, research indicates that challenges in vocal-identity processing often coincide with difficulties in face-identity processing (Boucher et al., 1998), and similar findings are also observed in relation to autistic traits in the general population (Skuk et al., 2019). Individuals with higher autistic traits show reduced activation in the right STS/STG when processing vocal sounds, compared to control individuals (Schelinski et al., 2016).\nIn the integrative model, deficits in vocal-identity processing may impair the construction and robustness of the speaker model during language comprehension. As the speaker model relies on the listener’s ability to extract and process relevant speaker characteristics from the acoustic signal, difficulties in voice processing may lead to a less accurate representation of the speaker. This, in turn, can affect the top-down influence of the speaker model on language comprehension, potentially leading to impairments in the integration of speaker information with linguistic content.\nAs a direct investigation of this idea, Tesink, Buitelaar et al. (2009a) used fMRI to explore whether autistic individuals differ from non-autistic controls in how they integrate speaker demographics (inferred from speaker voice) with linguistic content during spoken language comprehension. They found that, compared to control participants, autistic participants showed increased activation in the right inferior frontal gyrus (IFG) for utterances where speaker demographics mismatched the linguistic content, such as “I cannot sleep without my teddy bear in my arms” spoken by an adult speaker. Given their comparable behavioral performance, the authors concluded that it was more difficult for autistic individuals to process speaker properties during language comprehension, and that the heightened IFG activity reflected a cognitive compensation due to increased task demands.\nIn the general population, speaker effects in language comprehension are influenced by personal traits such as empathy and openness. Using EEG, van den Brink et al. (2012) discovered that individuals with greater empathy showed an increased N400 effect and gamma band oscillatory power when comprehending messages that violated stereotypical expectations associated with the speaker’s population. This suggests that more empathetic individuals may have a more detailed or more readily activated demographic speaker model, leading to greater sensitivity to mismatches between the speaker’s characteristics and linguistic content. Similarly, Wu and Cai (2026) showed that the magnitude of speaker effects elicited by social stereotypes decreased as a function of the participants’ openness trait for both EEG and behavioral measures, as more open-minded people tend to have fewer stereotypical views. Wu et al. (2025) showed that the neural oscillatory response to stereotype-incongruent statements was also modulated by the listener’s openness, specifically within the theta frequency band (4–6 Hz). They found that while participants with lower openness scores tended to exhibit increased theta power when encountering incongruent statements (interpreted as reflecting the effortful maintenance of their initial stereotype-based model), those with higher openness scores tended to show a decrease in theta power, suggesting a flexible deployment of attention to updating the speaker model based on the new input. These findings imply that individuals with higher openness not only rely less on fixed demographic stereotypes as priors but also possess greater cognitive flexibility to dynamically update their speaker models when presented with conflicting evidence.\n\n\n### Voice as the physical basis of speaker effects\nThroughout evolutionary history, communication systems in humans and other species have shared a common purpose: to convey the vocalizer’s identity and physiological characteristics (Creel & Bregman, 2011). The phenomenon of “speaker” effects is not only prevalent in human communication but is also evident in the animal kingdom. Non-human primates, who share a common ancestor with humans, exhibit vocal recognition systems that enable them to identify individual members within their social groups (Bergman et al., 2003) and perceive cues regarding physical characteristics such as sex, age, and body size (Ey et al., 2007).\nSimilarly, humans can extract social and biological information from the voice, which is a cornerstone of social cognition (Belin et al., 2004). For example, males with lower-pitched voices are often perceived by other males as more physically and socially dominant, reflecting the importance of voice in male intrasexual competition and mating success (Puts et al., 2006). People rapidly form personality judgments from hearing a new voice, even from just a brief utterance like the word “hello” that lasts less than a second (McAleer et al., 2014). In this section, we explore how human speakers vary in vocal features and how listeners identify speakers on the basis of these features.\nIn spoken language comprehension, the cognitive processing of a speaker’s identity begins with the physical signal. In most cases,2 speaker effects arise from differences in how acoustic speech signals are produced by different individuals. These differences are known as speaker variability, which is often linked to the speaker’s unique physiological characteristics and learned behaviors.\nVoice production results from interactions between the laryngeal source and the vocal tract filter (Ghazanfar & Rendall, 2008). Source properties include the vibration of the vocal folds, which determines a speaker’s fundamental frequency (f0), a primary cue listeners use to track pitch. Filter properties include the dynamic changes in shape and size of the vocal tract, which acts as a resonator to reinforce certain frequencies. These resonant frequencies of the vocal tract are known as formants. The largest acoustic differences in voice among speakers are observed between men and women, and between adults and children (Fitch & Giedd, 1999; Johnson & Sjerps, 2021; Kreiman & Sidtis, 2011). These differences primarily result from physiological factors. For example, men typically have larger larynges with longer and thicker vocal folds compared to women (Hammond et al., 2000), leading to lower rates of vibration and, consequently, lower pitch during speech production (Stevens, 1998). Men also have longer vocal tracts and proportionally longer pharyngeal cavities (Simpson, 2001), resulting in generally lower vowel formant frequencies (Gelfer & Bennett, 2013). Sex-based differences in voice quality, such as breathiness, may arise from variations in subglottal pressure and laryngeal adjustments (Klatt & Klatt, 1990).\nHowever, some differences in voice cannot be explained solely by anatomical differences; instead, they are influenced by social and cultural factors (Munson & Babel, 2019). For example, the acoustic difference between male and female children’s speech may be partly attributed to sex-specific articulatory behaviors (Bennett, 1981; Perry et al., 2001). Disparities in fundamental frequencies between males and females throughout their lifespan may arise from culturally ingrained, gender-based pronunciation practices (Whiteside, 2001). A study examining the voice of boys diagnosed with gender identity disorder (now typically referred to as gender dysphoria) showed that they sounded less like control boys, likely due to subtle, learned speech behaviors rather than variations in vocal tract size or vocal cord shape (Munson et al., 2015). Transgender speakers can modify vocal characteristics to align with their identity. For example, transgender women can raise their pitch and adjust resonance despite anatomical constraints, and transgender men can adopt articulation patterns that correlate more with their gender identity (Zimman, 2018). These findings show that the voice can be a social construct mediated by identity rather than strictly a biological outcome.\nBeyond gender differences, the acoustic properties of the human voice change with age, marking significant divergence between adults and children. The development of children’s vocalization is primarily due to anatomical maturation of the vocal tract, such as the increase in vocal tract length, which leads to a decrease in formant frequencies. By puberty, notable sex-based differences in vocal tract length emerge, with distinct patterns for males and females (Vorperian et al., 2009). Compared to adults, the speech of children is characterized by elevated pitch and formant frequencies, extended speech segment durations, and increased variability in both timing and frequency spectra (Lee et al., 1999). These distinct patterns enable listeners to identify the age of a speaker upon hearing their voice.\nHumans can easily identify a person through their voice, and this ability develops very early in life. Human fetuses show increased heart rates in response to their mother’s voice and decreased heart rates to a stranger’s voice (Kisilevsky et al., 2003). Similarly, newborn babies less than 3 days old can distinguish and show a preference for their mother’s voice over that of a female stranger, as indicated by their sucking behavior (DeCasper & Fifer, 1980). For adults, a speaker’s voice is a primary acoustic signal that provides rich information about the speaker (Schweinberger et al., 2014). When encountering familiar speakers, listeners can often identify the individual using acoustic cues (Schweinberger et al., 1997). With unfamiliar speakers, listeners can extract demographic attributes from their voice, including their sex (Leung et al., 2018), age (Mulac & Giles, 1996), physical characteristics (Krauss et al., 2002), region of origin (Clopper & Pisoni, 2004b), socio-economic status (Labov, 1973), perceived competence (Rakić et al., 2011; Ko et al., 2009), and sexual orientation (Pierrehumbert et al., 2004).\nListeners can identify a person through their voice remarkably quickly. They show rapid responses differentiating voices from other sounds. In a magnetoencephalography (MEG) study, Capilla et al. (2013) found that listeners begin to show distinct brain responses to vocal and non-vocal sounds as early as 150 ms after stimulus onset. These voice-preferential responses are localized to bilateral mid-superior temporal sulci (mid-STS) and mid-superior temporal gyri (mid-STG), overlapping with the brain regions known as the temporal voice areas. Beyond differentiating voice from non-voice, it takes around 200–300 ms to identify a voice as familiar. An electroencephalogram (EEG) study by Beauchemin et al. (2006) found that familiar voices elicited greater mismatch negativity (MMN) and P3a components, which peaked around 200 ms and 300 ms after stimulus onset, respectively. Furthermore, the categorization of a speaker’s social group based on voice also occurs rapidly and interacts with the processing of other vocal cues. Jiang et al. (2020) demonstrated that listeners differentiated vocally expressed confidence as early as approximately 100–200 ms after voice onset for in-group speakers; however, these early differentiation effects were altered or absent for out-group speakers. For newly learned voices, Zäske et al., (2014) found that successful identification was associated with beta-band (16–17 Hz) neural oscillations in central and right temporal regions, starting around 290 ms after stimulus onset. These oscillations appeared to be elicited independently of linguistic content, suggesting a possible dissociation between voice and language processing.\nRegarding how voices are represented in memory, some models suggest prototype-based processing as a potential mechanism (e.g., Lavner et al., 2001). In these models, voices are represented in a multidimensional voice space (Petkov & Vuong, 2013). Each dimension represents a vocal feature (e.g., the vocal tract length). The central point of this space represents the prototype voice (Latinus et al., 2013), an average voice formed through prior exposure to different voices. Direct support for this mechanism comes from Lavan et al. 2019b), who found that listeners, after having learned a voice from a specific set of acoustic exemplars, subsequently recognized the untrained mathematical average of that voice better than the specific exemplars they had actually heard. This suggests that listeners automatically construct norm-based prototypes, rather than relying solely on the storage of specific exemplars.\nEach voice is represented in the voice space by its deviation from the averaged prototype. Listeners estimate the similarity of an incoming voice to a reference voice based on these deviation patterns (Maguinness et al., 2018). These deviations are compared to stored reference patterns, which may represent a specific speaker (for familiar voices) or broader templates of a demographic group, such as a “young Glaswegian male” (Lavan et al., 2019a).\nFurthermore, voice-identity processing is often likened to face-identity processing (Yovel & Belin, 2013), with a person’s voice sometimes referred to as their “auditory face” (Belin et al., 2004, 2011; Young et al., 2020). This account, originally developed based on the model of face perception (Bruce & Young, 1986), emphasizes the similarity between voice and face processing (Schirmer, 2018; Young et al., 2020). It suggests that incoming acoustic signals undergo general low-level auditory analysis before being processed in a structural analysis stage where three essential aspects (linguistic, voice, and affective information) are processed through dissociable but interacting pathways. The voice information pathway connects to higher-order semantic nodes of the speaker’s identity, which in turn link to other modalities such as the visual system.\n\n\n### The source of speaker effects: Speaker variability\nIn spoken language comprehension, the cognitive processing of a speaker’s identity begins with the physical signal. In most cases,2 speaker effects arise from differences in how acoustic speech signals are produced by different individuals. These differences are known as speaker variability, which is often linked to the speaker’s unique physiological characteristics and learned behaviors.\nVoice production results from interactions between the laryngeal source and the vocal tract filter (Ghazanfar & Rendall, 2008). Source properties include the vibration of the vocal folds, which determines a speaker’s fundamental frequency (f0), a primary cue listeners use to track pitch. Filter properties include the dynamic changes in shape and size of the vocal tract, which acts as a resonator to reinforce certain frequencies. These resonant frequencies of the vocal tract are known as formants. The largest acoustic differences in voice among speakers are observed between men and women, and between adults and children (Fitch & Giedd, 1999; Johnson & Sjerps, 2021; Kreiman & Sidtis, 2011). These differences primarily result from physiological factors. For example, men typically have larger larynges with longer and thicker vocal folds compared to women (Hammond et al., 2000), leading to lower rates of vibration and, consequently, lower pitch during speech production (Stevens, 1998). Men also have longer vocal tracts and proportionally longer pharyngeal cavities (Simpson, 2001), resulting in generally lower vowel formant frequencies (Gelfer & Bennett, 2013). Sex-based differences in voice quality, such as breathiness, may arise from variations in subglottal pressure and laryngeal adjustments (Klatt & Klatt, 1990).\nHowever, some differences in voice cannot be explained solely by anatomical differences; instead, they are influenced by social and cultural factors (Munson & Babel, 2019). For example, the acoustic difference between male and female children’s speech may be partly attributed to sex-specific articulatory behaviors (Bennett, 1981; Perry et al., 2001). Disparities in fundamental frequencies between males and females throughout their lifespan may arise from culturally ingrained, gender-based pronunciation practices (Whiteside, 2001). A study examining the voice of boys diagnosed with gender identity disorder (now typically referred to as gender dysphoria) showed that they sounded less like control boys, likely due to subtle, learned speech behaviors rather than variations in vocal tract size or vocal cord shape (Munson et al., 2015). Transgender speakers can modify vocal characteristics to align with their identity. For example, transgender women can raise their pitch and adjust resonance despite anatomical constraints, and transgender men can adopt articulation patterns that correlate more with their gender identity (Zimman, 2018). These findings show that the voice can be a social construct mediated by identity rather than strictly a biological outcome.\nBeyond gender differences, the acoustic properties of the human voice change with age, marking significant divergence between adults and children. The development of children’s vocalization is primarily due to anatomical maturation of the vocal tract, such as the increase in vocal tract length, which leads to a decrease in formant frequencies. By puberty, notable sex-based differences in vocal tract length emerge, with distinct patterns for males and females (Vorperian et al., 2009). Compared to adults, the speech of children is characterized by elevated pitch and formant frequencies, extended speech segment durations, and increased variability in both timing and frequency spectra (Lee et al., 1999). These distinct patterns enable listeners to identify the age of a speaker upon hearing their voice.\n\n\n### Speaker identification by voice\nHumans can easily identify a person through their voice, and this ability develops very early in life. Human fetuses show increased heart rates in response to their mother’s voice and decreased heart rates to a stranger’s voice (Kisilevsky et al., 2003). Similarly, newborn babies less than 3 days old can distinguish and show a preference for their mother’s voice over that of a female stranger, as indicated by their sucking behavior (DeCasper & Fifer, 1980). For adults, a speaker’s voice is a primary acoustic signal that provides rich information about the speaker (Schweinberger et al., 2014). When encountering familiar speakers, listeners can often identify the individual using acoustic cues (Schweinberger et al., 1997). With unfamiliar speakers, listeners can extract demographic attributes from their voice, including their sex (Leung et al., 2018), age (Mulac & Giles, 1996), physical characteristics (Krauss et al., 2002), region of origin (Clopper & Pisoni, 2004b), socio-economic status (Labov, 1973), perceived competence (Rakić et al., 2011; Ko et al., 2009), and sexual orientation (Pierrehumbert et al., 2004).\nListeners can identify a person through their voice remarkably quickly. They show rapid responses differentiating voices from other sounds. In a magnetoencephalography (MEG) study, Capilla et al. (2013) found that listeners begin to show distinct brain responses to vocal and non-vocal sounds as early as 150 ms after stimulus onset. These voice-preferential responses are localized to bilateral mid-superior temporal sulci (mid-STS) and mid-superior temporal gyri (mid-STG), overlapping with the brain regions known as the temporal voice areas. Beyond differentiating voice from non-voice, it takes around 200–300 ms to identify a voice as familiar. An electroencephalogram (EEG) study by Beauchemin et al. (2006) found that familiar voices elicited greater mismatch negativity (MMN) and P3a components, which peaked around 200 ms and 300 ms after stimulus onset, respectively. Furthermore, the categorization of a speaker’s social group based on voice also occurs rapidly and interacts with the processing of other vocal cues. Jiang et al. (2020) demonstrated that listeners differentiated vocally expressed confidence as early as approximately 100–200 ms after voice onset for in-group speakers; however, these early differentiation effects were altered or absent for out-group speakers. For newly learned voices, Zäske et al., (2014) found that successful identification was associated with beta-band (16–17 Hz) neural oscillations in central and right temporal regions, starting around 290 ms after stimulus onset. These oscillations appeared to be elicited independently of linguistic content, suggesting a possible dissociation between voice and language processing.\nRegarding how voices are represented in memory, some models suggest prototype-based processing as a potential mechanism (e.g., Lavner et al., 2001). In these models, voices are represented in a multidimensional voice space (Petkov & Vuong, 2013). Each dimension represents a vocal feature (e.g., the vocal tract length). The central point of this space represents the prototype voice (Latinus et al., 2013), an average voice formed through prior exposure to different voices. Direct support for this mechanism comes from Lavan et al. 2019b), who found that listeners, after having learned a voice from a specific set of acoustic exemplars, subsequently recognized the untrained mathematical average of that voice better than the specific exemplars they had actually heard. This suggests that listeners automatically construct norm-based prototypes, rather than relying solely on the storage of specific exemplars.\nEach voice is represented in the voice space by its deviation from the averaged prototype. Listeners estimate the similarity of an incoming voice to a reference voice based on these deviation patterns (Maguinness et al., 2018). These deviations are compared to stored reference patterns, which may represent a specific speaker (for familiar voices) or broader templates of a demographic group, such as a “young Glaswegian male” (Lavan et al., 2019a).\nFurthermore, voice-identity processing is often likened to face-identity processing (Yovel & Belin, 2013), with a person’s voice sometimes referred to as their “auditory face” (Belin et al., 2004, 2011; Young et al., 2020). This account, originally developed based on the model of face perception (Bruce & Young, 1986), emphasizes the similarity between voice and face processing (Schirmer, 2018; Young et al., 2020). It suggests that incoming acoustic signals undergo general low-level auditory analysis before being processed in a structural analysis stage where three essential aspects (linguistic, voice, and affective information) are processed through dissociable but interacting pathways. The voice information pathway connects to higher-order semantic nodes of the speaker’s identity, which in turn link to other modalities such as the visual system.\n\n\n### The interplay between voice and linguistic content\nVoice is not only a medium for personal identity but also a vehicle for linguistic content (Ladefoged & Broadbent, 1957; Scott, 2019). These dual functions give rise to an interplay between voice and language processing. Over the years, this interplay has been approached from different perspectives, which can be broadly characterized by their focus. Some theories, often grouped as the two-system view, suggest that voice and language are processed independently. In contrast, the one-system view proposes that voice and language are processed within a single cognitive system from the very beginning. As much of the literature suggests a middle ground where these processes are separable but not wholly independent (e.g., Mullennix & Pisoni, 1990), these two views are perhaps best seen as theoretical endpoints on a continuum.\n\n\n### The two-system view\nModels of voice processing such as the “auditory face” model assume that voice is processed independently from linguistic content. Similarly, abstractionist theories of speech processing (e.g., Liberman & Mattingly, 1985; McQueen et al., 2006) suggest that language comprehension is independent of the processing of paralinguistic information like the speaker’s identity. This framework is known as the two-system view. In this view, linguistic and paralinguistic (e.g., speaker-related) information are processed in different systems, meaning that indexical information is retained separately (but not completely discarded) (Magnuson & Nusbaum, 2007). To cope with the variability in speech signals from different speakers, the linguistic system engages in normalization, an active control process that resolves the many-to-many mapping between acoustics and phonetic categories (Choi et al., 2018; Magnuson et al., 2021) by tuning the speech processing system to speaker-specific acoustic properties (Sjerps et al., 2019).\nThe hypothesis of speaker normalization has been supported by studies demonstrating performance costs, such as reduced accuracy and slower processing speed, when listeners perceive speech from multiple speakers compared to a single speaker (Clopper & Pisoni, 2004a; Mullennix et al., 1989). Listeners who are told to expect two different speakers experience these performance costs, while listeners who expect a single speaker do not (Magnuson & Nusbaum, 2007; but see Luthra et al., 2021). Furthermore, neuroimaging evidence shows that perceiving speech under a mixed-speaker condition results in greater activity in the middle/superior temporal and superior parietal regions, compared to a blocked-speaker condition. This increased neural activity in the temporal-parietal network was considered to reflect the heightened demand for selective attention required in resolving acoustic–phonetic ambiguities introduced by multiple speakers (Wong et al., 2004). Traditionally, these behavioral costs and increased neural activity have been interpreted as the cognitive load associated with the active renormalization of phonetic categories. However, more recent research suggests that these effects may not be driven solely by normalization. An alternative “auditory attention” hypothesis proposes that talker-switching acts as salient stimulus discontinuities that disrupt auditory streaming, triggering an involuntary reorienting of attention (Lim et al., 2019; Luthra, 2024). Importantly, these views are likely complementary rather than mutually exclusive: recent evidence suggests that multitalker processing costs may be driven by both attentional disruptions over short time scales and phonetic normalization over longer time scales (Luthra, 2024).\nThe two-system view is further supported by neuroimaging evidence indicating that voice and language are processed in separate regions in the brain. The left STG is sensitive to linguistic content, processing phonetic (Yi et al., 2019) and syntactic information (Friederici et al., 2010). This area exhibits flexibility in adapting to different listening environments (Evans et al., 2016). In contrast, the right temporal regions focus more on voice-specific information (Lattner et al., 2005), which is often associated with the speaker’s identity. This reflects a hemispheric asymmetry: the left hemisphere is more involved in language processing, while the right is more attuned to nonlinguistic vocal features (González & McLennan, 2007; Schall et al., 2015; Scott, 2019).\nSome researchers suggest that this asymmetry arises from differences in the temporal scale of acoustic information processed by the two hemispheres (Creel & Bregman, 2011; Creel & Tumlin, 2011; Poeppel, 2003). The left hemisphere focuses on rapid temporal events, aligning with linguistic elements necessary for speech perception. Conversely, the right hemisphere is sensitive to slower temporal events, which often correspond to the nonlinguistic features that indicate the speaker’s identity. However, this purely acoustic account has been challenged by more recent evidence. For example, Myers and Theodore (2017) found that the right hemisphere is recruited to process voice-onset time (a classic rapid temporal cue) when that cue serves as a marker of speaker identity. This suggests that hemispheric specialization might not be driven solely by the physical temporal scale of the stimulus, but also by its functional significance – whether the cue signals linguistic content or vocal identity.\nDespite this hemispheric specialization, the two systems must interact to accommodate speaker-specific phonetic variability. Neurobiological evidence shows that the integration of speaker information during speech perception is achieved through coordinated activity of neural networks. Functional connectivities reveal that access to speaker-specific phonetic patterns relies on interactions between the left-lateralized phonetic processing system and the right-lateralized voice processing system, with the right posterior temporal cortex serving as a crucial interface for this integration (Luthra, 2021; Luthra et al., 2023).\nIt is important to note that although the two-system view suggests separate processing of voice and linguistic content, it does not dismiss the influence of voice on language processing. Instead, it posits that the influence is at most indirect, in contrast to the direct influence proposed by the one-system view.\n\n\n### The one-system view\nAt the other endpoint of the theoretical continuum, the one-system view posits that voice and language processing are interdependent and use the same set of representations. According to this view, people learn to distinguish between elements in speech signals that convey meaning and those that identify speakers. Some research also emphasizes that both voice and language processing share an evolutionary root in humans’ early ability to recognize individuals from vocal cues (e.g., Creel & Bregman, 2011). The one-system view is represented by exemplar-based theories, which propose that the human memory system, including the mental lexicon, stores detailed records of prior experiences with various stimuli (Medin & Schaffer, 1978; Nosofsky, 1986). When new stimuli are encountered, they are compared with stored exemplars for classification. If a new stimulus matches a stored exemplar, the memory of that exemplar is reinforced; otherwise, a new exemplar is created and stored (Gradoville, 2023).\nIn a radical version of exemplar-based theories (e.g., Goldinger, 1996, 1998), memory systems (e.g., the mental lexicon) store intact episodes with detailed acoustic traces. Incoming speech signals activate similar acoustic traces in episodic memory, leading to identification. From this standpoint, there is no distinction, as far as speech perception is concerned, in the nature of representations between linguistic units and voice: both are encoded as unified records in the memory system. This comprehensive record-keeping allows for the emergence of various information clusters, such as words or speakers (Werker & Curtin, 2005).\nListeners direct their attention towards different clusters depending on the task, such as speech perception or voice identification. For example, listeners can flexibly allocate attention to speaker identity or phonemic information depending on the utility of that information for the task at hand (Creel & Tumlin, 2011). This task-dependent processing is also supported by neuroimaging evidence showing that the neural encoding of speech sounds is dynamically reshaped by behavioral goals. Cortical response patterns and the phase of cortical oscillations realign to reflect the specific dimension (speaker vs. vowel) to which the listener is attending (Bonte et al., 2009, 2014).\nWhile radical exemplar-based theories are theoretically appealing, they are often criticized for assuming a memory system that stores vast amounts of information and a comprehension system that requires high computational speed, which may not be economical. Additionally, neurophysiological evidence shows that the brain does encode speech by phonetic categories (Chang et al., 2010) and features such as places and manners of articulation (Mesgarani et al., 2014), as well as specific acoustic features like vowel formants (Oganian et al., 2023). A softer version of exemplar-based theories allows for certain degrees of abstraction (e.g., Ambridge, 2020; Goldinger, 2007; Johnson, 2006), suggesting that both detailed episodic traces and abstract linguistic representations can coexist in the mental lexicon. Nonetheless, the core assumption of exemplar-based theories, and the one-system view in general, is that language processing is directly influenced by the acoustic characteristics of the speaker’s voice. This is because phonemes and other paralinguistic acoustics are essentially the same and are represented together as one system in the brain.\n\n\n### Why do speaker effects occur during language comprehension?\nThe distinct perspectives of the two-system and one-system views give rise to accounts of speaker effects with different theoretical focuses. The two-system view, by separating speaker characteristics from linguistic content, gives rise to a top-down speaker-model account, which includes how listeners form phonetic, syntactic, semantic, and pragmatic expectations about the speaker. In contrast, the one-system view, with its focus on holistic memory traces, is most clearly embodied in an acoustic-episode account, which highlights the direct episodic influence of the speaker’s voice on language comprehension.\nUnder the two-system view, the information about a speaker’s identity carried by acoustic signals is processed separately from linguistic content. This information enters the voice-processing system and connects to abstract representations related to the speaker, forming a speaker model. This model includes the listener’s beliefs and knowledge about the speaker, such as their sex, age, socio-economic status, and region of origin. Listeners use this model to form expectations and interpret meaning by integrating the linguistic content with speaker characteristics.\nThe existence of the speaker model is supported by evidence showing that speaker characteristics can influence language comprehension independently of acoustic variations. For example, Cai et al. (2017) investigated how listeners comprehend cross-dialectally ambiguous English words such as “flat” and “gas.” They showed that listeners had more access to the American meaning when these words were spoken by a speaker with an American accent than by one with a British accent. Critically, such speaker effects do not arise from accent details in a word but instead from a mental model listeners have constructed for the speaker (e.g., a British vs. American English speaker): listeners still had more access to the American meaning of word tokens morphed to be accent-neutral as long as they believed the word tokens were produced by an American English speaker (see also Cai, 2022; King & Sumner, 2015).\nThe speaker model influences comprehension across various modalities, and speaker effects can occur even when acoustic cues are absent. Geiselman and Bellezza (1977) discovered that listeners confused the gender of the speaker with the gender of the agent during a sentence-memorization task. For example, listeners were more likely to remember the speaker being female for the sentence “The queen spent the money” and being male for the sentence “The gentleman entered the house.” Fairchild and Papafragou (2018) showed that readers judged under-informative written sentences (e.g., “Some people have noses with two nostrils”) as more plausible when they believed the sentences were from a non-native speaker compared to a native speaker. This indicates that expectations about a speaker’s linguistic competence modulate pragmatic interpretation even without acoustic input (see also Gibson et al., 2017; Hanulíková et al., 2012). Similarly, Foucart et al. (2019) demonstrated that a brief prior exposure to a speaker’s foreign accent modulated the neural processing (N400) of subsequent written sentences attributed to that speaker, suggesting that the reduced reliability associated with the accent was integrated into the speaker model and affected comprehension even when the voice was not heard. More recently, Rao et al. (2025a) extended this to AI “speakers,” showing that neural responses to text-based semantic and syntactic anomalies differed significantly depending on whether readers believed the text was generated by a human or a large language model (LLM) (see also Rao et al., 2025b, c). These findings suggest that speaker properties are represented as higher-level abstract features that interact with other domains such as text, and that the speaker model emerges from these combined features.\nIn addition to these semantic and pragmatic expectations, a speaker model also includes expectations about the speaker’s phonetic characteristics. For example, Johnson et al. (1999) demonstrated that participants who were exposed to a gender-neutral voice perceived vowel boundaries differently based on whether they believed the speaker was male or female. This effect occurred when they saw the video clips of a male or female speaker and persisted even when they were simply instructed to imagine a male or female speaker during the task. Similar speaker model effects on speech perception have also been observed regarding a speaker’s nationality (Niedzielski, 1999), ethnicity (Staum Casasanto, 2008), and age (Hay et al., 2006). An explanation for this is the “ideal adapter” framework (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015). In this framework, listeners solve the “lack of invariance” problem (i.e., the fact that one speaker’s acoustic cues for a phoneme, like/s/, differ from another’s) by learning a speaker’s “generative model.” This generative model is a set of statistical distributions for that speaker’s phonetic categories. This framework accounts for how listeners recognize a familiar speaker by deploying a stored, speaker-specific generative model, and generalize to a group of similar speakers by using a group-level model (e.g., based on accent or gender) as a starting point for adaptation. The influence of these implicit speaker-phonetic beliefs extends beyond early speech perception; they can also modulate the dynamics of lexical access, such as restricting competition from words that are phonologically incompatible with a speaker’s accent (Trude & Brown-Schmidt, 2012), and influence recognition of words (Luthra et al., 2018).\nUnder the one-system view, the intertwined nature of linguistic and speaker representations provides an intuitive explanation for speaker effects. The acoustic-episode account, most closely associated with exemplar-based theories, suggests that a speaker’s identity influences speech processing by providing a greater or lesser acoustic match to listeners’ previous encounters with specific speech episodes (Goldinger, 1996, 1998; Kapnoula & Samuel, 2019; Pufahl & Samuel, 2014). When a word is produced by a familiar speaker, the acoustic details match the listener’s episodic memory better than when it is produced by a new speaker (Creel & Tumlin, 2011), leading to speaker effects in speech perception.\nIn a study by Goldinger (1996), participants were exposed to a list of words spoken by various speakers in a study phase. Later in a test phase, they were presented with another list of words and asked to determine whether each word had been previously heard. The results indicated that they were more accurate in identifying words as previously heard when words were spoken by the same speaker between the study phase and the test phase, compared to when the words were spoken by different speakers. Further research showed that recognition was even better in cases where word tokens were identical (i.e., the same recording), compared to cases where word tokens were not identical (i.e., different recordings) even if uttered by the same speaker (Clapp, Vaughn, Todd et al., 2023b). On the other hand, when learning novel words with similar pronunciations, participants distinguished the words faster when spoken by different speakers during the study phase than by the same speaker (Creel et al., 2008; Creel & Tumlin, 2011); this effect could be detected even when the study phase and the test phase were 24 h apart, suggesting that the speaker’s voice may be encoded as part of the mental lexicon (Kapnoula & Samuel, 2019). These findings support the notion that detailed acoustic information, including speaker-specific characteristics, is stored in memory and directly influences speech processing.\nInterestingly, the influence of acoustic episodes extends to other acoustic information beyond the speaker’s voice, suggesting a highly episodic mechanism in speech perception. In a study by Pufahl and Samuel (2014), participants listened to spoken words accompanied by environmental sounds (e.g., a phone ringing or a dog barking), and made an animacy decision for each word. Later in a test phase, participants’ ability to identify acoustically filtered versions of those words was impaired to a similar degree either when the voice changed (e.g., test words were accompanied with the same environmental sound but spoken by a different speaker) or when the environmental sound changed (e.g., test words were spoken by the same speaker but accompanied by a different environmental sound). Similar effects with background noise have been observed for white and sine wave noise (Cooper et al., 2015; Cooper & Bradlow, 2017; Creel et al., 2012; Strori et al., 2018). These findings suggest that lexical and sound representations are deeply integrated, with acoustic-episodic memory directly impacting speech processing.\nThe acoustic-episode account and the speaker-model account offer distinct perspectives on the locus and nature of speaker effects (see Creel, 2014 for a similar discussion). The acoustic-episode account assumes that speaker effects arise from bottom-up perceptual processes. In this view, listeners search their memories for the best episodic match to incoming speech signals to determine the word and meaning of a speech token. The speaker’s voice, along with other acoustic details, is considered an integral part of the mental representation of spoken words, and these detailed representations directly influence language comprehension. Conversely, the speaker-model account assumes that speaker effects occur in top-down expectation-based processes. According to this account, listeners construct a comprehensive model of the speaker, which includes their beliefs and knowledge about the speaker’s characteristics. Listeners then use this model to form expectations and interpret the message by integrating the speaker’s characteristics.\nWhile these two accounts may seem contradictory at first glance, they are not mutually exclusive. Speaker effects can take place at multiple representational levels simultaneously (Creel & Tumlin, 2011). Each mechanism can contribute to a speaker effect to varying degrees depending on task requirements. To reconcile these two accounts, we propose an integrative model of language and speaker processing that incorporates both bottom-up influences of acoustic episodes and top-down influences of the speaker model on language comprehension.\nAs illustrated in Fig. 1, incoming sound signals are perceived and form acoustic representations. These acoustic representations are considered unified records of acoustics that do not distinguish between types of information, such as linguistic content or speaker identity. Instead, the acoustic representations capture the complete range of acoustic details present in the speech signal, including both linguistic and paralinguistic information. Listeners can allocate their attention to different aspects of the acoustic representations depending on the context and task requirements, allowing for the emergence of different clusters of acoustics. For example, in a speech perception task, listeners may allocate their attention to distinguishing acoustic clusters between different phonemes and words; in a speaker identification task, listeners may focus on the difference between clusters that represent different speakers.Fig. 1Schematic representation of an integrative model of language and speaker processing. Solid arrows indicate the primary feedforward flow of information involved in constructing the message, moving from acoustic-episodic representations to the formation of the speaker model and linguistic representations. Dashed arrows represent modulatory or feedback influences. Specifically, the speaker model modulates speech perception and meaning access, while linguistic features also inform and modify the speaker model. Additionally, the constructed message can trigger reanalysis of linguistic information and the updating of the speaker model\nSchematic representation of an integrative model of language and speaker processing. Solid arrows indicate the primary feedforward flow of information involved in constructing the message, moving from acoustic-episodic representations to the formation of the speaker model and linguistic representations. Dashed arrows represent modulatory or feedback influences. Specifically, the speaker model modulates speech perception and meaning access, while linguistic features also inform and modify the speaker model. Additionally, the constructed message can trigger reanalysis of linguistic information and the updating of the speaker model\nThese acoustic representations proceed through two pathways: one for processing linguistic information and the other for processing speaker information. In the language comprehension pathway, the relevant acoustic features map onto linguistic categories, including smaller units such as phonemes and syllables, and larger units such as words and phrases, ultimately accessing the linguistic meaning. In the speaker perception pathway, the relevant acoustic features map onto representations related to the speaker’s characteristics, constructing a model that incorporates information about a specific individual (individual speaker model), or a template model about a social group (demographic speaker model).\nAn individual speaker model refers to the listener’s mental representation of a specific, familiar speaker, encompassing a wide range of information such as the speaker’s unique voice characteristics, speaking style, personality traits, background knowledge, and shared experiences with the listener. When a listener encounters a familiar speaker, the acoustic features of the speaker’s voice activate the corresponding individual speaker model, which then influences language comprehension by providing a rich context for interpreting the speaker’s utterances. On the other hand, a demographic speaker model refers to the listener’s mental representation of a social group or category to which a speaker belongs, based on the listener’s general knowledge, beliefs, and stereotypes about the characteristics typically associated with members of that group. When a listener encounters an unfamiliar speaker, they may rely on demographic models to make inferences about the speaker’s characteristics and to guide their expectations.\nIndividual and demographic speaker models are not entirely separate; rather, they exist on a continuum and can influence each other. On the one hand, the construction of individual models is usually based on initial demographic models, as a listener’s prior experiences with speakers from a particular social group may shape their expectations and biases when encountering a new speaker from that same group; on the other hand, as a listener gains more experience with a particular speaker, they may begin to develop an individual model of that speaker that gradually overrides or modifies the initial demographic model. The relationship between an individual model and a demographic model also aligns with the distinction made in the “ideal adapter” framework between speaker-specific generative models and more general, group-level priors (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015).\nThe speaker model modulates the language comprehension pathway at multiple levels from the top down. At the level of speech perception, the speaker model biases phonetic and lexical processing by applying different prior probabilities to linguistic units. For example, if the speaker model indicates that the speaker might be from a particular dialect region (a demographic model) or is a specific person known to produce/s/with a low-frequency spectrum (an individual model), it may assign higher probabilities to phonetic and lexical variants associated with that speaker (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015; Sumner et al., 2014). At the level of meaning access, the speaker model influences meaning interpretation by creating a context that biases dominant word meanings and pragmatic inferences for sentences. For example, if the speaker model suggests that the speaker might be an American English speaker, it may bias the interpretation of ambiguous words or phrases towards meanings more commonly used in American English. Finally, the message is interpreted by integrating the linguistic information with speaker information provided by the speaker model.\nIt should be noted that the modulation between language and speaker processing is bidirectional. For example, structured phonetic variation in the input also facilitates speaker identification (Ganugapati & Theodore, 2019). Specific linguistic features, such as accent, inform listeners about speaker attributes like region of origin (e.g., identifying a speaker as British vs. American; Cai et al., 2017; Martin et al., 2016), and the speaker model can also be informed by the speaker’s lexical and syntactic choices (Porter et al., 2016) and linguistic style (Bradac et al., 1976).\nIn summary, the proposed model is “integrative” in two senses. In one sense, during language and speaker processing, the bottom-up perception and top-down expectation are integrated, driven by the interaction between detailed acoustic-episodic memory and a more abstract speaker model. In another sense, language and speaker processing are functionally integrated, where the construction of linguistic meaning and the perception of speaker characteristics are not resolved in isolation, but are intertwined throughout comprehension.\nThe integrative model highlights a dynamic, probabilistic interaction between the speaker model and language processing. This dynamic nature can be formalized using a Bayesian framework (see also Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015), which describes how listeners integrate prior beliefs about a speaker with incoming evidence. This probabilistic processing occurs at multiple levels, including the modulation of speech perception, the modulation of linguistic meaning access, speaker-contextualized message construction, and the updating of the speaker model by the message.\nThe speaker model modulates speech perception. Formally, the probability of identifying a linguistic form (e.g., a phoneme) given the acoustic input and the perceived speaker identity can be expressed as:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(form | acoustics, speaker\\right)\\propto p \\left(acoustics \\right| form, speaker) \\times p (form | speaker)$$\\end{document}pform|acoustics,speaker∝pacousticsform,speaker)×p(form|speaker)\nHere, the term p (acoustics | form, speaker) is the likelihood of encountering specific acoustic patterns given that a speaker (with a perceived identity) produces a certain linguistic form. The term p (form | speaker) represents the prior probability of the linguistic form given the speaker. This aligns with the “ideal adapter” framework (Kleinschmidt & Jaeger, 2015), where listeners utilize stored statistical distributions associated with that identity to bias lower-level phonetic perception. For example, upon hearing an ambiguous fricative sound, a listener’s perception of it as/s/or/ʃ/is based not only on the population-level distribution of the linguistic form but also on the specific phonetic habits of that speaker.\nCrucially, this flow of information is not strictly bottom-up but involves a dynamic recalibration process. Listeners use disambiguating lexical information, such as an ambiguous sound (e.g., midway between/s/and/f/) in a context where one interpretation yields a valid word (e.g., “giraffe”) and the other a nonword (e.g., “girasse”), to update their beliefs and retune prelexical phonetic categories (Eisner & McQueen, 2005; Norris et al., 2003). This recalibration involves variable spectral cues like fricatives (Kraljic & Samuel, 2005, 2007) and stable temporal cues like stop consonants (Kraljic & Samuel, 2006). This process tracks cumulative input statistics of a speaker’s speech over time to iteratively update their phonetic categories (Myers & Mesite, 2014; Tzeng et al., 2021).\nThe speaker model modulates linguistic meaning access. This involves evaluating the probability of a certain meaning given the linguistic form and the speaker’s identity, formalized as:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(meaning | form, speaker\\right)\\propto p \\left(form \\right| meaning, speaker) \\times p (meaning | speaker)$$\\end{document}pmeaning|form,speaker∝pformmeaning,speaker)×p(meaning|speaker)\nThis process is demonstrated in the comprehension of cross-dialectal ambiguous words. Cai et al. (2017) showed that for a word like “bonnet,” listeners were more likely to interpret it as a car part (compared to a type of hat) when the speaker was British compared to when the speaker was American. In the current framework, the term p (meaning | speaker) represents the prior probability of the speaker expressing a specific concept. In this case, the prior probability of referring to a car part or a hat may be similar across English speakers (i.e., Americans and British people are equally likely to talk about cars or hats). Consequently, the access to the meaning is largely determined by the likelihood p (form | meaning, speaker). If the speaker is British, the likelihood p (form = “bonnet” | meaning = car part, speaker = British) is high; if the speaker is American, the likelihood shifts: p (form = “bonnet” | meaning = hat, speaker = American) is now high while the likelihood that an American uses “bonnet” for a car part is low (as they would use “hood”). This shift in the likelihood driven by the speaker identity boosts the accessibility of the hat meaning when the listener perceives an American accent.\nThe listener constructs the final message (i.e., the speaker-contextualized meaning) by integrating the linguistic meaning with the speaker information. This involves a rational evaluation of the joint probability of these two components:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p (meaning, speaker)$$\\end{document}p(meaning,speaker)\nFor example, Van Berkum et al. (2008) found that hearing the meaning “Every evening I drink some wine” from a child speaker creates a conflict, triggering an N400 effect, because the joint probability p (meaning = drink wine, speaker = child) is low. Wu and Cai (2026) further showed that this joint probability serves as a cue for selecting the appropriate processing strategy. If the joint probability is low but still within a reasonable range (e.g., a social-stereotype violation such as a man talking about himself regularly getting a manicure), the listener engages in effortful integration of social stereotypes and the speaker’s identity, reflected as an N400 effect. However, if the joint probability is very low (e.g., a perceived biological violation like a man talking about himself getting pregnant),3 the listener treats the input as an error and engages in correction/reanalysis, reflected as a P600 effect. As discussed in Wu and Cai (2026), this P600 “error correction” process may itself involve a new probabilistic inference, such as re-evaluating the perceived speaker identity (e.g., misinterpretation of speaker gender based on the voice) or the perceived linguistic content (e.g., misperception of words or inferring a metaphorical interpretation).\nFinally, the speaker model is updated in light of the message. This updating process allows the model to evolve from demographic stereotypes to individualized representations. This can be formalized as a belief update:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(speaker \\;model | message\\right)\\propto\\; p \\left(message \\right| speaker \\;model) \\times \\;p (speaker \\;model)$$\\end{document}pspeakermodel|message∝pmessagespeakermodel)×p(speakermodel)\nHere, the posterior belief about the speaker, p (speaker model | message), is updated based on the likelihood of observing the current message, p (message | speaker model) and the listener’s prior beliefs about that speaker, p (speaker model). For example, Wu et al. (2025) showed that listeners track the frequency of a speaker making stereotype-incongruent statements. Hearing a child say “I drink whisky every night” for the first time might be a surprising message. However, if the child keeps talking about leading a stereotypically adult lifestyle, the listener updates their speaker model. Wu et al. found that listeners exhibited different neural oscillatory responses depending on the frequency of stereotype-incongruent statements made by a speaker. This indicates that listeners dynamically update their prior speaker model based on the cumulative evidence provided by the message.\nIn the integrative model, the interplay between bottom-up acoustic episodes and top-down speaker models occurs rapidly and incrementally as speech unfolds. The influence of acoustic episodes on spoken language processing emerges very early. For example, Creel and Tumlin (2011) demonstrated that listeners use talker-specific acoustic details to distinguish competing words as early as 200 ms after word onset. This suggests that the retrieval of acoustic-episodic traces occurs almost simultaneously with initial phonetic analysis, rapidly constraining lexical selection before the word is fully articulated. This aligns with the general time course of acoustic processing in spoken language comprehension, where acoustic-phonetic analysis occurs within the first 80–200 ms (Tezcan et al., 2023).\nThe integration of the speaker model with linguistic content does not wait until the end of a sentence; rather, it occurs incrementally as a sentence unfolds. For example, Van Berkum et al. (2008) showed that when a specific word in a sentence mismatches the speaker’s identity in terms of social stereotypes, the brain detects this conflict within 200–300 ms of the word’s onset, eliciting an N400 effect (similar results were reported in Pélissier & Ferragne, 2022, van den Brink et al., 2012, and Wu & Cai, 2026). This timing suggests that the speaker model is continuously active and integrates dynamically with linguistic content. Although some studies report a P600 effect instead of an N400 in response to speaker-content mismatch, indicating a later stage integration (e.g., Foucart et al., 2015; Lattner & Friederici, 2003), the integrative model interprets these results as a subsequent inference process involving error correction or reanalysis (Wu & Cai, 2026), as discussed in the previous section. Thus, within the integrative model, speaker effects are dynamic: they can manifest as early perceptual biases, concurrent semantic integration, or later error correction, depending on the nature of the input and the listener’s rational inference.\n\n\n### The speaker-model account\nUnder the two-system view, the information about a speaker’s identity carried by acoustic signals is processed separately from linguistic content. This information enters the voice-processing system and connects to abstract representations related to the speaker, forming a speaker model. This model includes the listener’s beliefs and knowledge about the speaker, such as their sex, age, socio-economic status, and region of origin. Listeners use this model to form expectations and interpret meaning by integrating the linguistic content with speaker characteristics.\nThe existence of the speaker model is supported by evidence showing that speaker characteristics can influence language comprehension independently of acoustic variations. For example, Cai et al. (2017) investigated how listeners comprehend cross-dialectally ambiguous English words such as “flat” and “gas.” They showed that listeners had more access to the American meaning when these words were spoken by a speaker with an American accent than by one with a British accent. Critically, such speaker effects do not arise from accent details in a word but instead from a mental model listeners have constructed for the speaker (e.g., a British vs. American English speaker): listeners still had more access to the American meaning of word tokens morphed to be accent-neutral as long as they believed the word tokens were produced by an American English speaker (see also Cai, 2022; King & Sumner, 2015).\nThe speaker model influences comprehension across various modalities, and speaker effects can occur even when acoustic cues are absent. Geiselman and Bellezza (1977) discovered that listeners confused the gender of the speaker with the gender of the agent during a sentence-memorization task. For example, listeners were more likely to remember the speaker being female for the sentence “The queen spent the money” and being male for the sentence “The gentleman entered the house.” Fairchild and Papafragou (2018) showed that readers judged under-informative written sentences (e.g., “Some people have noses with two nostrils”) as more plausible when they believed the sentences were from a non-native speaker compared to a native speaker. This indicates that expectations about a speaker’s linguistic competence modulate pragmatic interpretation even without acoustic input (see also Gibson et al., 2017; Hanulíková et al., 2012). Similarly, Foucart et al. (2019) demonstrated that a brief prior exposure to a speaker’s foreign accent modulated the neural processing (N400) of subsequent written sentences attributed to that speaker, suggesting that the reduced reliability associated with the accent was integrated into the speaker model and affected comprehension even when the voice was not heard. More recently, Rao et al. (2025a) extended this to AI “speakers,” showing that neural responses to text-based semantic and syntactic anomalies differed significantly depending on whether readers believed the text was generated by a human or a large language model (LLM) (see also Rao et al., 2025b, c). These findings suggest that speaker properties are represented as higher-level abstract features that interact with other domains such as text, and that the speaker model emerges from these combined features.\nIn addition to these semantic and pragmatic expectations, a speaker model also includes expectations about the speaker’s phonetic characteristics. For example, Johnson et al. (1999) demonstrated that participants who were exposed to a gender-neutral voice perceived vowel boundaries differently based on whether they believed the speaker was male or female. This effect occurred when they saw the video clips of a male or female speaker and persisted even when they were simply instructed to imagine a male or female speaker during the task. Similar speaker model effects on speech perception have also been observed regarding a speaker’s nationality (Niedzielski, 1999), ethnicity (Staum Casasanto, 2008), and age (Hay et al., 2006). An explanation for this is the “ideal adapter” framework (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015). In this framework, listeners solve the “lack of invariance” problem (i.e., the fact that one speaker’s acoustic cues for a phoneme, like/s/, differ from another’s) by learning a speaker’s “generative model.” This generative model is a set of statistical distributions for that speaker’s phonetic categories. This framework accounts for how listeners recognize a familiar speaker by deploying a stored, speaker-specific generative model, and generalize to a group of similar speakers by using a group-level model (e.g., based on accent or gender) as a starting point for adaptation. The influence of these implicit speaker-phonetic beliefs extends beyond early speech perception; they can also modulate the dynamics of lexical access, such as restricting competition from words that are phonologically incompatible with a speaker’s accent (Trude & Brown-Schmidt, 2012), and influence recognition of words (Luthra et al., 2018).\n\n\n### The acoustic-episode account\nUnder the one-system view, the intertwined nature of linguistic and speaker representations provides an intuitive explanation for speaker effects. The acoustic-episode account, most closely associated with exemplar-based theories, suggests that a speaker’s identity influences speech processing by providing a greater or lesser acoustic match to listeners’ previous encounters with specific speech episodes (Goldinger, 1996, 1998; Kapnoula & Samuel, 2019; Pufahl & Samuel, 2014). When a word is produced by a familiar speaker, the acoustic details match the listener’s episodic memory better than when it is produced by a new speaker (Creel & Tumlin, 2011), leading to speaker effects in speech perception.\nIn a study by Goldinger (1996), participants were exposed to a list of words spoken by various speakers in a study phase. Later in a test phase, they were presented with another list of words and asked to determine whether each word had been previously heard. The results indicated that they were more accurate in identifying words as previously heard when words were spoken by the same speaker between the study phase and the test phase, compared to when the words were spoken by different speakers. Further research showed that recognition was even better in cases where word tokens were identical (i.e., the same recording), compared to cases where word tokens were not identical (i.e., different recordings) even if uttered by the same speaker (Clapp, Vaughn, Todd et al., 2023b). On the other hand, when learning novel words with similar pronunciations, participants distinguished the words faster when spoken by different speakers during the study phase than by the same speaker (Creel et al., 2008; Creel & Tumlin, 2011); this effect could be detected even when the study phase and the test phase were 24 h apart, suggesting that the speaker’s voice may be encoded as part of the mental lexicon (Kapnoula & Samuel, 2019). These findings support the notion that detailed acoustic information, including speaker-specific characteristics, is stored in memory and directly influences speech processing.\nInterestingly, the influence of acoustic episodes extends to other acoustic information beyond the speaker’s voice, suggesting a highly episodic mechanism in speech perception. In a study by Pufahl and Samuel (2014), participants listened to spoken words accompanied by environmental sounds (e.g., a phone ringing or a dog barking), and made an animacy decision for each word. Later in a test phase, participants’ ability to identify acoustically filtered versions of those words was impaired to a similar degree either when the voice changed (e.g., test words were accompanied with the same environmental sound but spoken by a different speaker) or when the environmental sound changed (e.g., test words were spoken by the same speaker but accompanied by a different environmental sound). Similar effects with background noise have been observed for white and sine wave noise (Cooper et al., 2015; Cooper & Bradlow, 2017; Creel et al., 2012; Strori et al., 2018). These findings suggest that lexical and sound representations are deeply integrated, with acoustic-episodic memory directly impacting speech processing.\n\n\n### An integrative model of language and speaker processing\nThe acoustic-episode account and the speaker-model account offer distinct perspectives on the locus and nature of speaker effects (see Creel, 2014 for a similar discussion). The acoustic-episode account assumes that speaker effects arise from bottom-up perceptual processes. In this view, listeners search their memories for the best episodic match to incoming speech signals to determine the word and meaning of a speech token. The speaker’s voice, along with other acoustic details, is considered an integral part of the mental representation of spoken words, and these detailed representations directly influence language comprehension. Conversely, the speaker-model account assumes that speaker effects occur in top-down expectation-based processes. According to this account, listeners construct a comprehensive model of the speaker, which includes their beliefs and knowledge about the speaker’s characteristics. Listeners then use this model to form expectations and interpret the message by integrating the speaker’s characteristics.\nWhile these two accounts may seem contradictory at first glance, they are not mutually exclusive. Speaker effects can take place at multiple representational levels simultaneously (Creel & Tumlin, 2011). Each mechanism can contribute to a speaker effect to varying degrees depending on task requirements. To reconcile these two accounts, we propose an integrative model of language and speaker processing that incorporates both bottom-up influences of acoustic episodes and top-down influences of the speaker model on language comprehension.\nAs illustrated in Fig. 1, incoming sound signals are perceived and form acoustic representations. These acoustic representations are considered unified records of acoustics that do not distinguish between types of information, such as linguistic content or speaker identity. Instead, the acoustic representations capture the complete range of acoustic details present in the speech signal, including both linguistic and paralinguistic information. Listeners can allocate their attention to different aspects of the acoustic representations depending on the context and task requirements, allowing for the emergence of different clusters of acoustics. For example, in a speech perception task, listeners may allocate their attention to distinguishing acoustic clusters between different phonemes and words; in a speaker identification task, listeners may focus on the difference between clusters that represent different speakers.Fig. 1Schematic representation of an integrative model of language and speaker processing. Solid arrows indicate the primary feedforward flow of information involved in constructing the message, moving from acoustic-episodic representations to the formation of the speaker model and linguistic representations. Dashed arrows represent modulatory or feedback influences. Specifically, the speaker model modulates speech perception and meaning access, while linguistic features also inform and modify the speaker model. Additionally, the constructed message can trigger reanalysis of linguistic information and the updating of the speaker model\nSchematic representation of an integrative model of language and speaker processing. Solid arrows indicate the primary feedforward flow of information involved in constructing the message, moving from acoustic-episodic representations to the formation of the speaker model and linguistic representations. Dashed arrows represent modulatory or feedback influences. Specifically, the speaker model modulates speech perception and meaning access, while linguistic features also inform and modify the speaker model. Additionally, the constructed message can trigger reanalysis of linguistic information and the updating of the speaker model\nThese acoustic representations proceed through two pathways: one for processing linguistic information and the other for processing speaker information. In the language comprehension pathway, the relevant acoustic features map onto linguistic categories, including smaller units such as phonemes and syllables, and larger units such as words and phrases, ultimately accessing the linguistic meaning. In the speaker perception pathway, the relevant acoustic features map onto representations related to the speaker’s characteristics, constructing a model that incorporates information about a specific individual (individual speaker model), or a template model about a social group (demographic speaker model).\nAn individual speaker model refers to the listener’s mental representation of a specific, familiar speaker, encompassing a wide range of information such as the speaker’s unique voice characteristics, speaking style, personality traits, background knowledge, and shared experiences with the listener. When a listener encounters a familiar speaker, the acoustic features of the speaker’s voice activate the corresponding individual speaker model, which then influences language comprehension by providing a rich context for interpreting the speaker’s utterances. On the other hand, a demographic speaker model refers to the listener’s mental representation of a social group or category to which a speaker belongs, based on the listener’s general knowledge, beliefs, and stereotypes about the characteristics typically associated with members of that group. When a listener encounters an unfamiliar speaker, they may rely on demographic models to make inferences about the speaker’s characteristics and to guide their expectations.\nIndividual and demographic speaker models are not entirely separate; rather, they exist on a continuum and can influence each other. On the one hand, the construction of individual models is usually based on initial demographic models, as a listener’s prior experiences with speakers from a particular social group may shape their expectations and biases when encountering a new speaker from that same group; on the other hand, as a listener gains more experience with a particular speaker, they may begin to develop an individual model of that speaker that gradually overrides or modifies the initial demographic model. The relationship between an individual model and a demographic model also aligns with the distinction made in the “ideal adapter” framework between speaker-specific generative models and more general, group-level priors (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015).\nThe speaker model modulates the language comprehension pathway at multiple levels from the top down. At the level of speech perception, the speaker model biases phonetic and lexical processing by applying different prior probabilities to linguistic units. For example, if the speaker model indicates that the speaker might be from a particular dialect region (a demographic model) or is a specific person known to produce/s/with a low-frequency spectrum (an individual model), it may assign higher probabilities to phonetic and lexical variants associated with that speaker (Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015; Sumner et al., 2014). At the level of meaning access, the speaker model influences meaning interpretation by creating a context that biases dominant word meanings and pragmatic inferences for sentences. For example, if the speaker model suggests that the speaker might be an American English speaker, it may bias the interpretation of ambiguous words or phrases towards meanings more commonly used in American English. Finally, the message is interpreted by integrating the linguistic information with speaker information provided by the speaker model.\nIt should be noted that the modulation between language and speaker processing is bidirectional. For example, structured phonetic variation in the input also facilitates speaker identification (Ganugapati & Theodore, 2019). Specific linguistic features, such as accent, inform listeners about speaker attributes like region of origin (e.g., identifying a speaker as British vs. American; Cai et al., 2017; Martin et al., 2016), and the speaker model can also be informed by the speaker’s lexical and syntactic choices (Porter et al., 2016) and linguistic style (Bradac et al., 1976).\nIn summary, the proposed model is “integrative” in two senses. In one sense, during language and speaker processing, the bottom-up perception and top-down expectation are integrated, driven by the interaction between detailed acoustic-episodic memory and a more abstract speaker model. In another sense, language and speaker processing are functionally integrated, where the construction of linguistic meaning and the perception of speaker characteristics are not resolved in isolation, but are intertwined throughout comprehension.\n\n\n### Probabilistic processing in the integrative model\nThe integrative model highlights a dynamic, probabilistic interaction between the speaker model and language processing. This dynamic nature can be formalized using a Bayesian framework (see also Kleinschmidt, 2019; Kleinschmidt & Jaeger, 2015), which describes how listeners integrate prior beliefs about a speaker with incoming evidence. This probabilistic processing occurs at multiple levels, including the modulation of speech perception, the modulation of linguistic meaning access, speaker-contextualized message construction, and the updating of the speaker model by the message.\nThe speaker model modulates speech perception. Formally, the probability of identifying a linguistic form (e.g., a phoneme) given the acoustic input and the perceived speaker identity can be expressed as:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(form | acoustics, speaker\\right)\\propto p \\left(acoustics \\right| form, speaker) \\times p (form | speaker)$$\\end{document}pform|acoustics,speaker∝pacousticsform,speaker)×p(form|speaker)\nHere, the term p (acoustics | form, speaker) is the likelihood of encountering specific acoustic patterns given that a speaker (with a perceived identity) produces a certain linguistic form. The term p (form | speaker) represents the prior probability of the linguistic form given the speaker. This aligns with the “ideal adapter” framework (Kleinschmidt & Jaeger, 2015), where listeners utilize stored statistical distributions associated with that identity to bias lower-level phonetic perception. For example, upon hearing an ambiguous fricative sound, a listener’s perception of it as/s/or/ʃ/is based not only on the population-level distribution of the linguistic form but also on the specific phonetic habits of that speaker.\nCrucially, this flow of information is not strictly bottom-up but involves a dynamic recalibration process. Listeners use disambiguating lexical information, such as an ambiguous sound (e.g., midway between/s/and/f/) in a context where one interpretation yields a valid word (e.g., “giraffe”) and the other a nonword (e.g., “girasse”), to update their beliefs and retune prelexical phonetic categories (Eisner & McQueen, 2005; Norris et al., 2003). This recalibration involves variable spectral cues like fricatives (Kraljic & Samuel, 2005, 2007) and stable temporal cues like stop consonants (Kraljic & Samuel, 2006). This process tracks cumulative input statistics of a speaker’s speech over time to iteratively update their phonetic categories (Myers & Mesite, 2014; Tzeng et al., 2021).\nThe speaker model modulates linguistic meaning access. This involves evaluating the probability of a certain meaning given the linguistic form and the speaker’s identity, formalized as:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(meaning | form, speaker\\right)\\propto p \\left(form \\right| meaning, speaker) \\times p (meaning | speaker)$$\\end{document}pmeaning|form,speaker∝pformmeaning,speaker)×p(meaning|speaker)\nThis process is demonstrated in the comprehension of cross-dialectal ambiguous words. Cai et al. (2017) showed that for a word like “bonnet,” listeners were more likely to interpret it as a car part (compared to a type of hat) when the speaker was British compared to when the speaker was American. In the current framework, the term p (meaning | speaker) represents the prior probability of the speaker expressing a specific concept. In this case, the prior probability of referring to a car part or a hat may be similar across English speakers (i.e., Americans and British people are equally likely to talk about cars or hats). Consequently, the access to the meaning is largely determined by the likelihood p (form | meaning, speaker). If the speaker is British, the likelihood p (form = “bonnet” | meaning = car part, speaker = British) is high; if the speaker is American, the likelihood shifts: p (form = “bonnet” | meaning = hat, speaker = American) is now high while the likelihood that an American uses “bonnet” for a car part is low (as they would use “hood”). This shift in the likelihood driven by the speaker identity boosts the accessibility of the hat meaning when the listener perceives an American accent.\nThe listener constructs the final message (i.e., the speaker-contextualized meaning) by integrating the linguistic meaning with the speaker information. This involves a rational evaluation of the joint probability of these two components:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p (meaning, speaker)$$\\end{document}p(meaning,speaker)\nFor example, Van Berkum et al. (2008) found that hearing the meaning “Every evening I drink some wine” from a child speaker creates a conflict, triggering an N400 effect, because the joint probability p (meaning = drink wine, speaker = child) is low. Wu and Cai (2026) further showed that this joint probability serves as a cue for selecting the appropriate processing strategy. If the joint probability is low but still within a reasonable range (e.g., a social-stereotype violation such as a man talking about himself regularly getting a manicure), the listener engages in effortful integration of social stereotypes and the speaker’s identity, reflected as an N400 effect. However, if the joint probability is very low (e.g., a perceived biological violation like a man talking about himself getting pregnant),3 the listener treats the input as an error and engages in correction/reanalysis, reflected as a P600 effect. As discussed in Wu and Cai (2026), this P600 “error correction” process may itself involve a new probabilistic inference, such as re-evaluating the perceived speaker identity (e.g., misinterpretation of speaker gender based on the voice) or the perceived linguistic content (e.g., misperception of words or inferring a metaphorical interpretation).\nFinally, the speaker model is updated in light of the message. This updating process allows the model to evolve from demographic stereotypes to individualized representations. This can be formalized as a belief update:\\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$p \\left(speaker \\;model | message\\right)\\propto\\; p \\left(message \\right| speaker \\;model) \\times \\;p (speaker \\;model)$$\\end{document}pspeakermodel|message∝pmessagespeakermodel)×p(speakermodel)\nHere, the posterior belief about the speaker, p (speaker model | message), is updated based on the likelihood of observing the current message, p (message | speaker model) and the listener’s prior beliefs about that speaker, p (speaker model). For example, Wu et al. (2025) showed that listeners track the frequency of a speaker making stereotype-incongruent statements. Hearing a child say “I drink whisky every night” for the first time might be a surprising message. However, if the child keeps talking about leading a stereotypically adult lifestyle, the listener updates their speaker model. Wu et al. found that listeners exhibited different neural oscillatory responses depending on the frequency of stereotype-incongruent statements made by a speaker. This indicates that listeners dynamically update their prior speaker model based on the cumulative evidence provided by the message.\n\n\n### The temporal dynamics of the integrative model\nIn the integrative model, the interplay between bottom-up acoustic episodes and top-down speaker models occurs rapidly and incrementally as speech unfolds. The influence of acoustic episodes on spoken language processing emerges very early. For example, Creel and Tumlin (2011) demonstrated that listeners use talker-specific acoustic details to distinguish competing words as early as 200 ms after word onset. This suggests that the retrieval of acoustic-episodic traces occurs almost simultaneously with initial phonetic analysis, rapidly constraining lexical selection before the word is fully articulated. This aligns with the general time course of acoustic processing in spoken language comprehension, where acoustic-phonetic analysis occurs within the first 80–200 ms (Tezcan et al., 2023).\nThe integration of the speaker model with linguistic content does not wait until the end of a sentence; rather, it occurs incrementally as a sentence unfolds. For example, Van Berkum et al. (2008) showed that when a specific word in a sentence mismatches the speaker’s identity in terms of social stereotypes, the brain detects this conflict within 200–300 ms of the word’s onset, eliciting an N400 effect (similar results were reported in Pélissier & Ferragne, 2022, van den Brink et al., 2012, and Wu & Cai, 2026). This timing suggests that the speaker model is continuously active and integrates dynamically with linguistic content. Although some studies report a P600 effect instead of an N400 in response to speaker-content mismatch, indicating a later stage integration (e.g., Foucart et al., 2015; Lattner & Friederici, 2003), the integrative model interprets these results as a subsequent inference process involving error correction or reanalysis (Wu & Cai, 2026), as discussed in the previous section. Thus, within the integrative model, speaker effects are dynamic: they can manifest as early perceptual biases, concurrent semantic integration, or later error correction, depending on the nature of the input and the listener’s rational inference.\n\n\n### Speaker-idiosyncrasy effects and speaker-demographics effects in language comprehension\nWhen discussing one’s identity, the term can refer to the idiosyncratic characteristics of an individual speaker, highlighting the unique traits and perspectives that distinguish one person from another. The speaker effects occurring at this level are defined as speaker-idiosyncrasy effects. Alternatively, identity can refer to the collective attributes of a demographic group, reflecting shared characteristics typical of a specific social, ethnic, gender, or age group. Speaker effects at this level are defined as speaker-demographics effects.\nHowever, it is important to note that this distinction is not binary. As similarly proposed by Kleinschmidt (2019), speakers can be conceptualized within a hierarchy of group membership. Listeners’ beliefs about a speaker become more specific as the grouping becomes more precise, moving along a continuum from broad demographic categories (e.g., gender, ethinicity) to highly specific idiosyncratic traits. In this view, demographic representations emerge from the experience of interacting with individuals within a demographic group, while these demographic features can, in turn, serve as a basis or prior for forming expectations about a specific individual. In this section, we review studies that examine speaker-idiosyncrasy effects and those that explore speaker-demographics effects.\nThe speaker-idiosyncrasy effect refers to how a speaker’s unique characteristics, along with the listener’s prior experience with that speaker, can influence language comprehension. Research shows that speech is more intelligible from a familiar speaker than from an unfamiliar speaker, a phenomenon known as familiar talker advantage (Domingo et al., 2020; Souza et al., 2013). Evidence suggests this advantage relies on precise, linguistically specific knowledge, as listeners trained on a voice in one language did not show improved intelligibility for that speaker in another language (Levi et al., 2011). Furthermore, this advantage appears not to require explicit recognition of the speaker’s identity, as listeners retained the intelligibility advantage even when acoustic manipulations (e.g., of vocal tract length) prevented them from consciously identifying the voice (Holmes et al. 2018). The advantage was also found to be context-dependent, manifesting most strongly when a competing masker is linguistically similar (e.g., speech) rather than dissimilar (e.g., noise), and correlates with the listener’s learning accuracy of the voice (Levi et al., 2019). Neuroimaging evidence further shows that familiar voices elicit more robust neural representations in the posterior STG and MTG (Holmes & Johnsrude, 2021), regions known to represent phonetic categories. These results highlight the influence of both acoustic-episodic memory and the speaker model. The fact that the intelligibility benefit survives without explicit speaker identification (Holmes et al., 2018) suggests that low-level acoustic-episodic traces can directly facilitate processing. However, the linguistic specificity of the effect (Levi et al., 2011) indicates that the speaker model must also provide precise, speaker-specific priors for phonetic categories to resolve ambiguity.\nBeyond speech intelligibility, research shows that word recognition is faster and more accurate when words are spoken by the same speaker during both learning and test. Craik and Kirsner (1974) had participants listen to a string of words and decide if each word had appeared earlier in the sequence (i.e., whether the word was repeated). Repeated words were spoken either by the same speaker or by a different speaker. They found that participants’ responses to the words repeated by the same speaker were more accurate than responses to those repeated by a different speaker. This result was replicated in further studies (Clapp, Vaughn, Sumner et al., 2023a, Clapp, Vaughn, Todd et al., 2023b; Goh, 2005; Goldinger, 1996; Palmeri et al., 1993). In this case, the acoustic match between the initial and repeated tokens of the same word is better when spoken by the same speaker than by different speakers, which leads to more efficient word recognition.\nHowever, the influence of these speaker-specific acoustics on word recognition is not unconditional. Research suggests that these effects are often time-dependent, emerging primarily when processing is relatively slow or difficult. For example, McLennan and Luce (2005) found that these effects emerged in slow responses but were reduced in fast ones. This suggests that abstract phonological representations dominate early, rapid processing (e.g., quickly identifying a clearly spoken word based solely on its phonemes), while specific indexical details emerge only during later, slower processing (e.g., relying on memory of a specific speaker’s voice to help identify a difficult word). This idea was further supported by evidence showing that speaker effects were stronger for the speech of dysarthric individuals than for control individuals, as the increased processing time required to decode degraded speech signals enhanced the retrieval of detailed acoustic-episodic traces (Mattys & Liss, 2008). Theodore et al. (2015) further showed that even when processing is fast, speaker effects emerge if listeners explicitly attend to speaker details during encoding (e.g., actively focusing on who is speaking rather than just what is being said).\nSpeaker-idiosyncrasy effects also occur in higher-level comprehension tasks, such as referent label processing. Typically, listeners expect speakers to consistently use the same label when referring to the same object (Brennan & Clark, 1996; Shintel & Keysar, 2007). For example, if a speaker initially refers to a piece of furniture as a “couch,” listeners anticipate that the speaker will continue using this label, rather than switching to an alternative label like “sofa.” When speakers occasionally switch to a different label, comprehension can be disrupted (Barr & Keysar, 2002). Experiments in referent label processing usually involve two phases: initially, a speaker uses a label for an object; later, either the same or a different speaker uses the same or an alternative label for that object – a process known as label switching. Evidence shows that the disruptive effect of label switching is modulated by the speaker’s identity. Metzing and Brennan (2003) found that when hearing a new referent label, listeners were slower to find the object when the new label was uttered by the original speaker than by a different speaker. This finding has been replicated in further studies using behavioral (Brown-Schmidt, 2009; Horton & Slaten, 2012; Kronmüller & Barr, 2007, 2015) and neurophysiological measures (Bögels et al., 2015). In the context of the integrative model, these studies suggest that listeners develop an individual speaker model based on their experience with a specific speaker’s language use. This model encompasses information about the speaker’s prior label usage. When the same speaker switches to a new label, it violates the listener’s expectations based on their mental model of that speaker, leading to a disruption in comprehension. In contrast, when a different speaker uses a new label, the listener may not have a well-established model for that speaker, resulting in less disruption.\nAnother example where individual speaker models influence language comprehension is perspective modeling (also known as perspective taking). Listeners actively consider what the speaker can physically see when interpreting messages. In a scenario described by Brown-Schmidt et al. (2015), a speaker and a listener sit at a table on which there are two red triangles and one blue triangle. One of the red triangles is blocked from the speaker’s view but is visible to the listener. When the speaker instructs the listener to move the “red one,” it would not be ambiguous if the listener models the speaker’s perspective, considering what the speaker can see. Studies have shown that perspective modeling significantly affects language comprehension, especially in referent disambiguation (Brown-Schmidt, 2012; Brown-Schmidt et al., 2008; Hanna et al., 2003). This perspective modeling can be considered part of an individual speaker model that encompasses the listener’s understanding of what the speaker knows and does not know (Clark, 1996; Heller et al., 2012; Wu & Keysar, 2007). This aspect of the individual speaker model is constructed through the listener’s experience with the specific speaker and their shared context, and likely shares cognitive mechanisms with the spontaneous modeling of co-listeners (Jouravlev et al., 2019; Rueschemeyer et al., 2015). When the listener encounters an ambiguous referent, they can use their individual speaker model to infer the speaker’s intended meaning based on their knowledge of the speaker’s perspective.\nIn a proper name comprehension study by Barr et al. (2014), pairs of friends played a communication game in which one friend (addressee) identified a target person from four photos based on a name spoken by their friend or a stranger. The addressee was informed whether the name was chosen by their friend or the stranger. Results showed that addressees identified the target more quickly when the name was spoken by their friend, possibily due to a better match of acoustic details, as they were more familiar with their friend’s voice. Meanwhile, responses were slower when told the name was not chosen by the speaker but by the other person (e.g., a friend speaking a name from a stranger), reflecting the addressee’s effort to verify the speaker model regarding whether the speaker knows the target person or not. In this case, the listener’s mental model of their friend includes knowledge about the friend’s social network and familiarity with specific individuals. When the friend speaks a name chosen by the stranger, it conflicts with the listener’s mental model of the friend, prompting them to engage in additional processing to verify the speaker’s knowledge of the target person.\nThe speaker-demographics effect refers to how language comprehension is influenced by the collective attributes of a group of speakers who share characteristics typical of a specific social, ethnic, gender, or age population. In the referent label processing studies discussed in the previous section, researchers manipulated the speaker’s identity by contrasting whether the speaker who switched referent labels was the one who established the original label in the first place. This involves comparing specific individuals within the same demographic group (e.g., adult speaker A vs. adult speaker B). In contrast, studying speaker-demographics effects involves comparing speakers from different demographic backgrounds (e.g., an adult vs. a child) to examine how group-level expectations influence processing.\nWu et al. (2024) used event-related potentials (ERPs) to explore whether listeners expect a child speaker to be less likely to switch labels compared to an adult speaker, based on the common belief that children are less flexible in language use. They used pictures with alternative labels (e.g., a piece of furniture can be labeled either as a “couch” or as a “sofa”). Each picture was shown twice across two phases. In the establishment phase, participants heard either an adult or a child label a picture and judged whether the label matched the picture. In the test phase, the same speaker either repeated the original label or switched to an alternative label, and participants again judged the label’s match to the picture. ERP results showed that switched labels elicited an N400 effect compared to repeated labels. Importantly, the N400 effect was larger with a child speaker than with an adult speaker, indicating greater difficulty in comprehending switched labels from children than from adults.\nIn this case, although the possibility that the acoustic difference between the original label and the alternative label might be larger for a child speaker than for an adult speaker cannot be entirely ruled out, the speaker-demographics effect here is likely driven primarily by listeners’ modeling of the speaker’s linguistic flexibility. Specifically, it can be attributed to the listener’s demographic speaker model, which incorporates general beliefs and expectations about the linguistic flexibility of different age groups. When listeners encounter a child speaker, their demographic model suggests that children are less likely to switch labels compared to adults. This top-down influence of the demographic speaker model leads to greater processing difficulty when a child speaker violates this expectation by switching labels.\nERP studies also show that the speaker demographics modulate sentence comprehension. In an early study, Lattner and Friederici (2003) asked participants to listen to self-referential sentences that expressed a stereotypically gendered idea, including stereotypically masculine sentences such as “I like to play soccer” or stereotypically feminine ones such as “I like to wear lipstick.” Each sentence was spoken by both male and female speakers. They found that the mismatch between the speaker’s biological sex (as inferred from their voice) and the stereotypically gendered sentence elicited a P600 effect at the critical words at the end of sentences (e.g., “soccer” spoken by a female speaker and “lipstick” spoken by a male speaker). Van Berkum et al. (2008) used a similar paradigm and tested more demographic attributes, including age and social status. They contrasted sentences such as “Every evening I drink some wine before I go to sleep” spoken by an adult speaker versus by a child speaker. Their results showed that the mismatch between speaker demographics and the linguistic content elicited an N400 effect at the critical word “wine,” similar to the classic N400 effects elicited by semantic anomalies (Kutas & Hillyard, 1980; Van Berkum et al., 1999) and world knowledge violations (Hagoort et al., 2004). These speaker-demographics effects on sentence comprehension have been replicated by further studies using similar paradigms (Foucart et al., 2015; Martin et al., 2016; Pélissier & Ferragne, 2022; Tesink, Petersson et al., 2009b; van den Brink et al., 2012; Wu & Cai, 2026).\nThese findings can be explained by considering the role of the demographic speaker model in sentence comprehension. As the sentence unfolds, listeners incrementally integrate the sentence meaning with their knowledge about the speaker’s demographic background, which is captured by the demographic speaker model. When the critical word in the sentence conflicts with the expectations generated by the demographic model (e.g., a child speaker talking about drinking wine), it elicits an N400 effect. This effect has been interpreted by most authors as reflecting increased difficulty in integrating the unexpected word into the current speaker context. However, others might interpret the N400 as a lexico-semantic prediction error (DeLong et al., 2005; Nour Eddine et al., 2024). In this view, the speaker model generates probabilistic predictions about likely upcoming words, and the N400 amplitude indexes the degree of mismatch or “surprise” arising when the bottom-up input conflicts with these top-down predictions.\nAnother example of such population-specific word frequency effects is demonstrated in the study by Walker and Hay (2011), in which participants completed an auditory lexical decision task where they listened to words that were more prevalent among older people (e.g., “knitting”) and words that were more prevalent among younger people (e.g., “lifestyle”). All words were presented in the voices of both older and younger speakers. They found that participants responded faster and more accurately when the age of the voice matched the typical age of the word (see Kim, 2016, for a similar finding). The authors interpreted this finding within an exemplar framework, suggesting that lexical access is facilitated when the specific phonetic detail of the input matches the generalized acoustic detail of the listener’s stored exemplars. They argued against a top-down semantic priming account (e.g., the speaker model) by demonstrating that the effect was predicted by objective corpus frequency ratios but not by explicit post hoc ratings of “word age.” However, without specific information about the time course of the effect, it remains possible that the speaker model exerts an implicit top-down influence not captured by explicit ratings.\n\n\n### Speaker-idiosyncrasy effects\nThe speaker-idiosyncrasy effect refers to how a speaker’s unique characteristics, along with the listener’s prior experience with that speaker, can influence language comprehension. Research shows that speech is more intelligible from a familiar speaker than from an unfamiliar speaker, a phenomenon known as familiar talker advantage (Domingo et al., 2020; Souza et al., 2013). Evidence suggests this advantage relies on precise, linguistically specific knowledge, as listeners trained on a voice in one language did not show improved intelligibility for that speaker in another language (Levi et al., 2011). Furthermore, this advantage appears not to require explicit recognition of the speaker’s identity, as listeners retained the intelligibility advantage even when acoustic manipulations (e.g., of vocal tract length) prevented them from consciously identifying the voice (Holmes et al. 2018). The advantage was also found to be context-dependent, manifesting most strongly when a competing masker is linguistically similar (e.g., speech) rather than dissimilar (e.g., noise), and correlates with the listener’s learning accuracy of the voice (Levi et al., 2019). Neuroimaging evidence further shows that familiar voices elicit more robust neural representations in the posterior STG and MTG (Holmes & Johnsrude, 2021), regions known to represent phonetic categories. These results highlight the influence of both acoustic-episodic memory and the speaker model. The fact that the intelligibility benefit survives without explicit speaker identification (Holmes et al., 2018) suggests that low-level acoustic-episodic traces can directly facilitate processing. However, the linguistic specificity of the effect (Levi et al., 2011) indicates that the speaker model must also provide precise, speaker-specific priors for phonetic categories to resolve ambiguity.\nBeyond speech intelligibility, research shows that word recognition is faster and more accurate when words are spoken by the same speaker during both learning and test. Craik and Kirsner (1974) had participants listen to a string of words and decide if each word had appeared earlier in the sequence (i.e., whether the word was repeated). Repeated words were spoken either by the same speaker or by a different speaker. They found that participants’ responses to the words repeated by the same speaker were more accurate than responses to those repeated by a different speaker. This result was replicated in further studies (Clapp, Vaughn, Sumner et al., 2023a, Clapp, Vaughn, Todd et al., 2023b; Goh, 2005; Goldinger, 1996; Palmeri et al., 1993). In this case, the acoustic match between the initial and repeated tokens of the same word is better when spoken by the same speaker than by different speakers, which leads to more efficient word recognition.\nHowever, the influence of these speaker-specific acoustics on word recognition is not unconditional. Research suggests that these effects are often time-dependent, emerging primarily when processing is relatively slow or difficult. For example, McLennan and Luce (2005) found that these effects emerged in slow responses but were reduced in fast ones. This suggests that abstract phonological representations dominate early, rapid processing (e.g., quickly identifying a clearly spoken word based solely on its phonemes), while specific indexical details emerge only during later, slower processing (e.g., relying on memory of a specific speaker’s voice to help identify a difficult word). This idea was further supported by evidence showing that speaker effects were stronger for the speech of dysarthric individuals than for control individuals, as the increased processing time required to decode degraded speech signals enhanced the retrieval of detailed acoustic-episodic traces (Mattys & Liss, 2008). Theodore et al. (2015) further showed that even when processing is fast, speaker effects emerge if listeners explicitly attend to speaker details during encoding (e.g., actively focusing on who is speaking rather than just what is being said).\nSpeaker-idiosyncrasy effects also occur in higher-level comprehension tasks, such as referent label processing. Typically, listeners expect speakers to consistently use the same label when referring to the same object (Brennan & Clark, 1996; Shintel & Keysar, 2007). For example, if a speaker initially refers to a piece of furniture as a “couch,” listeners anticipate that the speaker will continue using this label, rather than switching to an alternative label like “sofa.” When speakers occasionally switch to a different label, comprehension can be disrupted (Barr & Keysar, 2002). Experiments in referent label processing usually involve two phases: initially, a speaker uses a label for an object; later, either the same or a different speaker uses the same or an alternative label for that object – a process known as label switching. Evidence shows that the disruptive effect of label switching is modulated by the speaker’s identity. Metzing and Brennan (2003) found that when hearing a new referent label, listeners were slower to find the object when the new label was uttered by the original speaker than by a different speaker. This finding has been replicated in further studies using behavioral (Brown-Schmidt, 2009; Horton & Slaten, 2012; Kronmüller & Barr, 2007, 2015) and neurophysiological measures (Bögels et al., 2015). In the context of the integrative model, these studies suggest that listeners develop an individual speaker model based on their experience with a specific speaker’s language use. This model encompasses information about the speaker’s prior label usage. When the same speaker switches to a new label, it violates the listener’s expectations based on their mental model of that speaker, leading to a disruption in comprehension. In contrast, when a different speaker uses a new label, the listener may not have a well-established model for that speaker, resulting in less disruption.\nAnother example where individual speaker models influence language comprehension is perspective modeling (also known as perspective taking). Listeners actively consider what the speaker can physically see when interpreting messages. In a scenario described by Brown-Schmidt et al. (2015), a speaker and a listener sit at a table on which there are two red triangles and one blue triangle. One of the red triangles is blocked from the speaker’s view but is visible to the listener. When the speaker instructs the listener to move the “red one,” it would not be ambiguous if the listener models the speaker’s perspective, considering what the speaker can see. Studies have shown that perspective modeling significantly affects language comprehension, especially in referent disambiguation (Brown-Schmidt, 2012; Brown-Schmidt et al., 2008; Hanna et al., 2003). This perspective modeling can be considered part of an individual speaker model that encompasses the listener’s understanding of what the speaker knows and does not know (Clark, 1996; Heller et al., 2012; Wu & Keysar, 2007). This aspect of the individual speaker model is constructed through the listener’s experience with the specific speaker and their shared context, and likely shares cognitive mechanisms with the spontaneous modeling of co-listeners (Jouravlev et al., 2019; Rueschemeyer et al., 2015). When the listener encounters an ambiguous referent, they can use their individual speaker model to infer the speaker’s intended meaning based on their knowledge of the speaker’s perspective.\nIn a proper name comprehension study by Barr et al. (2014), pairs of friends played a communication game in which one friend (addressee) identified a target person from four photos based on a name spoken by their friend or a stranger. The addressee was informed whether the name was chosen by their friend or the stranger. Results showed that addressees identified the target more quickly when the name was spoken by their friend, possibily due to a better match of acoustic details, as they were more familiar with their friend’s voice. Meanwhile, responses were slower when told the name was not chosen by the speaker but by the other person (e.g., a friend speaking a name from a stranger), reflecting the addressee’s effort to verify the speaker model regarding whether the speaker knows the target person or not. In this case, the listener’s mental model of their friend includes knowledge about the friend’s social network and familiarity with specific individuals. When the friend speaks a name chosen by the stranger, it conflicts with the listener’s mental model of the friend, prompting them to engage in additional processing to verify the speaker’s knowledge of the target person.\n\n\n### Speaker-demographics effects\nThe speaker-demographics effect refers to how language comprehension is influenced by the collective attributes of a group of speakers who share characteristics typical of a specific social, ethnic, gender, or age population. In the referent label processing studies discussed in the previous section, researchers manipulated the speaker’s identity by contrasting whether the speaker who switched referent labels was the one who established the original label in the first place. This involves comparing specific individuals within the same demographic group (e.g., adult speaker A vs. adult speaker B). In contrast, studying speaker-demographics effects involves comparing speakers from different demographic backgrounds (e.g., an adult vs. a child) to examine how group-level expectations influence processing.\nWu et al. (2024) used event-related potentials (ERPs) to explore whether listeners expect a child speaker to be less likely to switch labels compared to an adult speaker, based on the common belief that children are less flexible in language use. They used pictures with alternative labels (e.g., a piece of furniture can be labeled either as a “couch” or as a “sofa”). Each picture was shown twice across two phases. In the establishment phase, participants heard either an adult or a child label a picture and judged whether the label matched the picture. In the test phase, the same speaker either repeated the original label or switched to an alternative label, and participants again judged the label’s match to the picture. ERP results showed that switched labels elicited an N400 effect compared to repeated labels. Importantly, the N400 effect was larger with a child speaker than with an adult speaker, indicating greater difficulty in comprehending switched labels from children than from adults.\nIn this case, although the possibility that the acoustic difference between the original label and the alternative label might be larger for a child speaker than for an adult speaker cannot be entirely ruled out, the speaker-demographics effect here is likely driven primarily by listeners’ modeling of the speaker’s linguistic flexibility. Specifically, it can be attributed to the listener’s demographic speaker model, which incorporates general beliefs and expectations about the linguistic flexibility of different age groups. When listeners encounter a child speaker, their demographic model suggests that children are less likely to switch labels compared to adults. This top-down influence of the demographic speaker model leads to greater processing difficulty when a child speaker violates this expectation by switching labels.\nERP studies also show that the speaker demographics modulate sentence comprehension. In an early study, Lattner and Friederici (2003) asked participants to listen to self-referential sentences that expressed a stereotypically gendered idea, including stereotypically masculine sentences such as “I like to play soccer” or stereotypically feminine ones such as “I like to wear lipstick.” Each sentence was spoken by both male and female speakers. They found that the mismatch between the speaker’s biological sex (as inferred from their voice) and the stereotypically gendered sentence elicited a P600 effect at the critical words at the end of sentences (e.g., “soccer” spoken by a female speaker and “lipstick” spoken by a male speaker). Van Berkum et al. (2008) used a similar paradigm and tested more demographic attributes, including age and social status. They contrasted sentences such as “Every evening I drink some wine before I go to sleep” spoken by an adult speaker versus by a child speaker. Their results showed that the mismatch between speaker demographics and the linguistic content elicited an N400 effect at the critical word “wine,” similar to the classic N400 effects elicited by semantic anomalies (Kutas & Hillyard, 1980; Van Berkum et al., 1999) and world knowledge violations (Hagoort et al., 2004). These speaker-demographics effects on sentence comprehension have been replicated by further studies using similar paradigms (Foucart et al., 2015; Martin et al., 2016; Pélissier & Ferragne, 2022; Tesink, Petersson et al., 2009b; van den Brink et al., 2012; Wu & Cai, 2026).\nThese findings can be explained by considering the role of the demographic speaker model in sentence comprehension. As the sentence unfolds, listeners incrementally integrate the sentence meaning with their knowledge about the speaker’s demographic background, which is captured by the demographic speaker model. When the critical word in the sentence conflicts with the expectations generated by the demographic model (e.g., a child speaker talking about drinking wine), it elicits an N400 effect. This effect has been interpreted by most authors as reflecting increased difficulty in integrating the unexpected word into the current speaker context. However, others might interpret the N400 as a lexico-semantic prediction error (DeLong et al., 2005; Nour Eddine et al., 2024). In this view, the speaker model generates probabilistic predictions about likely upcoming words, and the N400 amplitude indexes the degree of mismatch or “surprise” arising when the bottom-up input conflicts with these top-down predictions.\nAnother example of such population-specific word frequency effects is demonstrated in the study by Walker and Hay (2011), in which participants completed an auditory lexical decision task where they listened to words that were more prevalent among older people (e.g., “knitting”) and words that were more prevalent among younger people (e.g., “lifestyle”). All words were presented in the voices of both older and younger speakers. They found that participants responded faster and more accurately when the age of the voice matched the typical age of the word (see Kim, 2016, for a similar finding). The authors interpreted this finding within an exemplar framework, suggesting that lexical access is facilitated when the specific phonetic detail of the input matches the generalized acoustic detail of the listener’s stored exemplars. They argued against a top-down semantic priming account (e.g., the speaker model) by demonstrating that the effect was predicted by objective corpus frequency ratios but not by explicit post hoc ratings of “word age.” However, without specific information about the time course of the effect, it remains possible that the speaker model exerts an implicit top-down influence not captured by explicit ratings.\n\n\n### Speaker effects as indices of language ability and socio-cognitive traits\nDespite not directly focusing on the underlying mechanisms of speaker effects, some studies utilize speaker effects as indices for assessing other cognitive abilities. One such ability is language ability, where the influence of acoustic details can reflect the development of an individual’s mental lexicon. Another is socio-cognitive ability, which is often linked to the robustness of the speaker model during communication.\nAn essential component in language acquisition is learning what elements of speech signals (e.g., phonemes) differentiate meanings. Theoretically, a fully abstract linguistic system would normalize variability that does not distinguish one linguistic unit from another. The presence and magnitude of speaker effects, especially sensitivity to acoustic details during speech perception, can indicate whether language learners have achieved linguistic abstraction. It also reflects whether they can efficiently process linguistically relevant information without being overly influenced by extralinguistic factors like speaker variability. In this sense, attenuated speaker effects (e.g., less disruption caused by speaker changes) may indicate more successful generalization.\nDuring the initial stages of language acquisition, spoken word representations are highly acoustic. This makes it challenging for infants, the primary language learners, to generalize beyond specific acoustic details of their language input. To assess infants’ ability to generalize words across different speakers, Houston and Jusczyk (2000) familiarized infants with isolated words (learning materials) spoken by one speaker and then tested them with passages (test materials) containing those words spoken by another speaker. They discovered that at 7.5 months, infants paid more attention to test materials containing familiar words only when both the learning and test materials were produced by speakers of the same sex. By 10.5 months, the speaker-sex effect was no longer observed, indicating that infants’ word-form representations become more abstract with age (for similar findings, see Schmale & Seidl, 2009).\nIn a study focusing on young children, Ryalls and Pisoni (1997) used a word-recognition task where children aged 3–5 years were asked to identify words from a list by pointing to corresponding pictures. The words were spoken by either a single speaker or multiple speakers. Results indicated that children’s word recognition was adversely affected by an increased number of speakers. However, as children aged, their ability to process words from multiple speakers improved. Additionally, when asked to repeat the words, younger children matched the duration of the words more closely than older children and adults, suggesting that they retain more acoustic details in their speech representation. These findings imply that infants and young children are more sensitive to acoustic details in speech, with this sensitivity gradually decreasing as they develop (Creel & Tumlin, 2011).\nFurthermore, the ability to move beyond these specific acoustic details to generalize across speakers appears to be directly linked to language ability. Levi et al. (2019) investigated the familiar talker advantage in children with varying language abilities. They found that while all children benefitted from familiarity (i.e., successfully mapping specific acoustic details to linguistic units), only those with higher language scores could generalize this knowledge to recognize words spoken by unfamiliar speakers with the same accent. This suggests that while the ability to use speaker-specific acoustic cues is robust even in children with lower language skills, the ability to abstract these patterns to new speakers can indicate higher language ability.\nOn the other hand, training with multiple speakers can aid speech learning for both first language (Quam & Creel, 2021) and second language (Zhang et al., 2021) acquisition. In an early study, Lively et al. (1993) trained Japanese listeners to distinguish between English/r/and/l/sounds, using either multiple speakers or a single speaker. Those trained with multiple speakers successfully generalized their learning to new words spoken by new speakers, whereas those trained with a single speaker did not. This suggests that exposure to multiple speakers fosters more robust and abstract linguistic representations, which can facilitate the development of phonetic categories and the generalization of speech perception ability. Rost and McMurray (2009, 2010) further explored this idea by showing that acoustic variability aids infants in developing phonetic categories, such as/b/and/p/. Their studies revealed that infants’ phonetic learning could be improved by presenting words produced by multiple speakers, compared to presenting words produced by a single speaker. These findings suggest that speaker variability, irrelevant of contrasting phonetic units, can help young language learners acquire those phonetic units (see also Quam et al., 2017). By exposing learners to a wide range of acoustic variations, multi-speaker training may help them extract the invariant features that define phonetic categories, leading to more successful generalization across speakers and contexts.\nLanguage communication is a primary form of social interaction. Consequently, individual differences in social cognition are often reflected in how people process language. Specifically, a listener’s socio-cognitive traits may influence their ability to construct a mental model that accurately captures the features of a specific individual or the general attributes of a demographic group.\nThis link between social cognition and language processing emerges early in life. Kinzler et al. (2007) demonstrated that infants and young children use acoustic cues (e.g., accent) to form social preferences that guide interaction. They found that 5-month-old infants prefer to look at native-language speakers, 10-month-olds prefer to accept toys from native speakers, and 5-year-olds choose to be friends with children who speak with a native accent rather than a foreign accent. For adults, Dragojevic and Giles (2016) showed that processing fluency (i.e., the ease with which speech is processed) acts as a mechanism for social evaluation. They found that when listeners encountered speech that was difficult to process (e.g., due to an unfamiliar accent), they showed a negative affective reaction. This negative affect, in turn, led listeners to evaluate the speaker more negatively.\nWhile the ability to extract social identity from voice and speech is a hallmark of typical development, disruptions in voice processing are frequently observed in clinical and neurodiverse populations. Along with phonagnosia (also known as pure voice processing deficit, Hailstone et al., 2010; Van Lancker & Canter, 1982), difficulties in voice processing are observed among populations with schizophrenia, dyslexia, and autism (Stevenage, 2018). Individuals with schizophrenia, particularly those experiencing auditory hallucinations, often struggle to recognize a speaker’s identity through voice (Alba-Ferrara et al., 2012; Badcock & Chhabra, 2013; Chhabra et al., 2012). This difficulty is linked to reduced activation in the right STG (Zhang et al., 2008), a region crucial for voice perception (Lattner et al., 2005). Dyslexic individuals generally retain normal facial recognition abilities (Brachacki et al., 1994) but encounter challenges in voice identification (Perea et al., 2014; Perrachione et al., 2011). For autistic individuals, research indicates that challenges in vocal-identity processing often coincide with difficulties in face-identity processing (Boucher et al., 1998), and similar findings are also observed in relation to autistic traits in the general population (Skuk et al., 2019). Individuals with higher autistic traits show reduced activation in the right STS/STG when processing vocal sounds, compared to control individuals (Schelinski et al., 2016).\nIn the integrative model, deficits in vocal-identity processing may impair the construction and robustness of the speaker model during language comprehension. As the speaker model relies on the listener’s ability to extract and process relevant speaker characteristics from the acoustic signal, difficulties in voice processing may lead to a less accurate representation of the speaker. This, in turn, can affect the top-down influence of the speaker model on language comprehension, potentially leading to impairments in the integration of speaker information with linguistic content.\nAs a direct investigation of this idea, Tesink, Buitelaar et al. (2009a) used fMRI to explore whether autistic individuals differ from non-autistic controls in how they integrate speaker demographics (inferred from speaker voice) with linguistic content during spoken language comprehension. They found that, compared to control participants, autistic participants showed increased activation in the right inferior frontal gyrus (IFG) for utterances where speaker demographics mismatched the linguistic content, such as “I cannot sleep without my teddy bear in my arms” spoken by an adult speaker. Given their comparable behavioral performance, the authors concluded that it was more difficult for autistic individuals to process speaker properties during language comprehension, and that the heightened IFG activity reflected a cognitive compensation due to increased task demands.\nIn the general population, speaker effects in language comprehension are influenced by personal traits such as empathy and openness. Using EEG, van den Brink et al. (2012) discovered that individuals with greater empathy showed an increased N400 effect and gamma band oscillatory power when comprehending messages that violated stereotypical expectations associated with the speaker’s population. This suggests that more empathetic individuals may have a more detailed or more readily activated demographic speaker model, leading to greater sensitivity to mismatches between the speaker’s characteristics and linguistic content. Similarly, Wu and Cai (2026) showed that the magnitude of speaker effects elicited by social stereotypes decreased as a function of the participants’ openness trait for both EEG and behavioral measures, as more open-minded people tend to have fewer stereotypical views. Wu et al. (2025) showed that the neural oscillatory response to stereotype-incongruent statements was also modulated by the listener’s openness, specifically within the theta frequency band (4–6 Hz). They found that while participants with lower openness scores tended to exhibit increased theta power when encountering incongruent statements (interpreted as reflecting the effortful maintenance of their initial stereotype-based model), those with higher openness scores tended to show a decrease in theta power, suggesting a flexible deployment of attention to updating the speaker model based on the new input. These findings imply that individuals with higher openness not only rely less on fixed demographic stereotypes as priors but also possess greater cognitive flexibility to dynamically update their speaker models when presented with conflicting evidence.\n\n\n### Acoustic-detail effects in phonetic learning\nAn essential component in language acquisition is learning what elements of speech signals (e.g., phonemes) differentiate meanings. Theoretically, a fully abstract linguistic system would normalize variability that does not distinguish one linguistic unit from another. The presence and magnitude of speaker effects, especially sensitivity to acoustic details during speech perception, can indicate whether language learners have achieved linguistic abstraction. It also reflects whether they can efficiently process linguistically relevant information without being overly influenced by extralinguistic factors like speaker variability. In this sense, attenuated speaker effects (e.g., less disruption caused by speaker changes) may indicate more successful generalization.\nDuring the initial stages of language acquisition, spoken word representations are highly acoustic. This makes it challenging for infants, the primary language learners, to generalize beyond specific acoustic details of their language input. To assess infants’ ability to generalize words across different speakers, Houston and Jusczyk (2000) familiarized infants with isolated words (learning materials) spoken by one speaker and then tested them with passages (test materials) containing those words spoken by another speaker. They discovered that at 7.5 months, infants paid more attention to test materials containing familiar words only when both the learning and test materials were produced by speakers of the same sex. By 10.5 months, the speaker-sex effect was no longer observed, indicating that infants’ word-form representations become more abstract with age (for similar findings, see Schmale & Seidl, 2009).\nIn a study focusing on young children, Ryalls and Pisoni (1997) used a word-recognition task where children aged 3–5 years were asked to identify words from a list by pointing to corresponding pictures. The words were spoken by either a single speaker or multiple speakers. Results indicated that children’s word recognition was adversely affected by an increased number of speakers. However, as children aged, their ability to process words from multiple speakers improved. Additionally, when asked to repeat the words, younger children matched the duration of the words more closely than older children and adults, suggesting that they retain more acoustic details in their speech representation. These findings imply that infants and young children are more sensitive to acoustic details in speech, with this sensitivity gradually decreasing as they develop (Creel & Tumlin, 2011).\nFurthermore, the ability to move beyond these specific acoustic details to generalize across speakers appears to be directly linked to language ability. Levi et al. (2019) investigated the familiar talker advantage in children with varying language abilities. They found that while all children benefitted from familiarity (i.e., successfully mapping specific acoustic details to linguistic units), only those with higher language scores could generalize this knowledge to recognize words spoken by unfamiliar speakers with the same accent. This suggests that while the ability to use speaker-specific acoustic cues is robust even in children with lower language skills, the ability to abstract these patterns to new speakers can indicate higher language ability.\nOn the other hand, training with multiple speakers can aid speech learning for both first language (Quam & Creel, 2021) and second language (Zhang et al., 2021) acquisition. In an early study, Lively et al. (1993) trained Japanese listeners to distinguish between English/r/and/l/sounds, using either multiple speakers or a single speaker. Those trained with multiple speakers successfully generalized their learning to new words spoken by new speakers, whereas those trained with a single speaker did not. This suggests that exposure to multiple speakers fosters more robust and abstract linguistic representations, which can facilitate the development of phonetic categories and the generalization of speech perception ability. Rost and McMurray (2009, 2010) further explored this idea by showing that acoustic variability aids infants in developing phonetic categories, such as/b/and/p/. Their studies revealed that infants’ phonetic learning could be improved by presenting words produced by multiple speakers, compared to presenting words produced by a single speaker. These findings suggest that speaker variability, irrelevant of contrasting phonetic units, can help young language learners acquire those phonetic units (see also Quam et al., 2017). By exposing learners to a wide range of acoustic variations, multi-speaker training may help them extract the invariant features that define phonetic categories, leading to more successful generalization across speakers and contexts.\n\n\n### Speaker model modulated by a listener’s socio-cognitive traits\nLanguage communication is a primary form of social interaction. Consequently, individual differences in social cognition are often reflected in how people process language. Specifically, a listener’s socio-cognitive traits may influence their ability to construct a mental model that accurately captures the features of a specific individual or the general attributes of a demographic group.\nThis link between social cognition and language processing emerges early in life. Kinzler et al. (2007) demonstrated that infants and young children use acoustic cues (e.g., accent) to form social preferences that guide interaction. They found that 5-month-old infants prefer to look at native-language speakers, 10-month-olds prefer to accept toys from native speakers, and 5-year-olds choose to be friends with children who speak with a native accent rather than a foreign accent. For adults, Dragojevic and Giles (2016) showed that processing fluency (i.e., the ease with which speech is processed) acts as a mechanism for social evaluation. They found that when listeners encountered speech that was difficult to process (e.g., due to an unfamiliar accent), they showed a negative affective reaction. This negative affect, in turn, led listeners to evaluate the speaker more negatively.\nWhile the ability to extract social identity from voice and speech is a hallmark of typical development, disruptions in voice processing are frequently observed in clinical and neurodiverse populations. Along with phonagnosia (also known as pure voice processing deficit, Hailstone et al., 2010; Van Lancker & Canter, 1982), difficulties in voice processing are observed among populations with schizophrenia, dyslexia, and autism (Stevenage, 2018). Individuals with schizophrenia, particularly those experiencing auditory hallucinations, often struggle to recognize a speaker’s identity through voice (Alba-Ferrara et al., 2012; Badcock & Chhabra, 2013; Chhabra et al., 2012). This difficulty is linked to reduced activation in the right STG (Zhang et al., 2008), a region crucial for voice perception (Lattner et al., 2005). Dyslexic individuals generally retain normal facial recognition abilities (Brachacki et al., 1994) but encounter challenges in voice identification (Perea et al., 2014; Perrachione et al., 2011). For autistic individuals, research indicates that challenges in vocal-identity processing often coincide with difficulties in face-identity processing (Boucher et al., 1998), and similar findings are also observed in relation to autistic traits in the general population (Skuk et al., 2019). Individuals with higher autistic traits show reduced activation in the right STS/STG when processing vocal sounds, compared to control individuals (Schelinski et al., 2016).\nIn the integrative model, deficits in vocal-identity processing may impair the construction and robustness of the speaker model during language comprehension. As the speaker model relies on the listener’s ability to extract and process relevant speaker characteristics from the acoustic signal, difficulties in voice processing may lead to a less accurate representation of the speaker. This, in turn, can affect the top-down influence of the speaker model on language comprehension, potentially leading to impairments in the integration of speaker information with linguistic content.\nAs a direct investigation of this idea, Tesink, Buitelaar et al. (2009a) used fMRI to explore whether autistic individuals differ from non-autistic controls in how they integrate speaker demographics (inferred from speaker voice) with linguistic content during spoken language comprehension. They found that, compared to control participants, autistic participants showed increased activation in the right inferior frontal gyrus (IFG) for utterances where speaker demographics mismatched the linguistic content, such as “I cannot sleep without my teddy bear in my arms” spoken by an adult speaker. Given their comparable behavioral performance, the authors concluded that it was more difficult for autistic individuals to process speaker properties during language comprehension, and that the heightened IFG activity reflected a cognitive compensation due to increased task demands.\nIn the general population, speaker effects in language comprehension are influenced by personal traits such as empathy and openness. Using EEG, van den Brink et al. (2012) discovered that individuals with greater empathy showed an increased N400 effect and gamma band oscillatory power when comprehending messages that violated stereotypical expectations associated with the speaker’s population. This suggests that more empathetic individuals may have a more detailed or more readily activated demographic speaker model, leading to greater sensitivity to mismatches between the speaker’s characteristics and linguistic content. Similarly, Wu and Cai (2026) showed that the magnitude of speaker effects elicited by social stereotypes decreased as a function of the participants’ openness trait for both EEG and behavioral measures, as more open-minded people tend to have fewer stereotypical views. Wu et al. (2025) showed that the neural oscillatory response to stereotype-incongruent statements was also modulated by the listener’s openness, specifically within the theta frequency band (4–6 Hz). They found that while participants with lower openness scores tended to exhibit increased theta power when encountering incongruent statements (interpreted as reflecting the effortful maintenance of their initial stereotype-based model), those with higher openness scores tended to show a decrease in theta power, suggesting a flexible deployment of attention to updating the speaker model based on the new input. These findings imply that individuals with higher openness not only rely less on fixed demographic stereotypes as priors but also possess greater cognitive flexibility to dynamically update their speaker models when presented with conflicting evidence.\n\n\n### Future directions: Artificial agents as speakers\nThus far, we have reviewed how language comprehension is influenced by the speaker characteristics ranging from acoustic-episodic memory and shared experience to expectations derived from human demographic categories such as age, gender, and region of origin. However, the rapidly evolving landscape of communication presents a test for the universality of this framework: the emergence of the artificial agent as an interlocutor. As voice-based AI technology transitions from novelty to ambient infrastructure, artificial agents are establishing themselves as a new, synthetic “demographic” group. AI speakers are now ubiquitous in daily life, functioning in various communicative roles, such as virtual assistants (Hoy, 2018), customer service agents (Adam et al., 2021), news anchors (Fitria, 2024), language teachers (Schmidt & Strassner, 2022), navigators (Kun et al., 2007), and even psychotherapists (Fiske et al., 2019). This trend calls for an expansion of research on language comprehension to include artificial agents as a type of speaker and to consider their unique features in studying AI language comprehension.\nResearch suggests that people often attribute human-like qualities to artificial systems, interacting with them as if they were humans (Nass & Moon, 2000; Reeves & Nass, 1996). This interaction involves applying social norms and behaviors such as politeness (Nass et al., 1999), gender stereotypes (Nass et al., 1997), and reciprocity (Fogg & Nass, 1997). In this sense, artificial agents can be viewed as a particular demographic population of “digital humans,” contrasting with the “real human” population. This perspective raises questions about how demographic representations, which are typically based on human social categories, may be adapted or extended to accommodate artificial agents as a unique demographic group.\nStudies show that awareness that a speaker is artificial changes the way people interact with them. People tend to control and simplify their language (Amalberti et al., 1993; Kennedy, 1988), exhibit less politeness (Hill et al., 2015), feel less social pressure (Vollmer et al., 2018), and show less desire to establish relationships (Shechtman & Horowitz, 2003) when interacting with artificial agents compared to humans. In the psycholinguistic literature, studies show that people are more likely to reuse lexical expressions (Branigan et al., 2011; Shen & Wang, 2023) previously used by artificial interlocutors than those used by human ones. This tendency for lexical repetition is stronger when interacting with basic artificial systems than advanced ones, possibly in an attempt to enhance understanding with a linguistically limited agent (Branigan et al., 2011; Cai et al., 2021; Pearson et al., 2006).\nDespite significant efforts to understand how people interact with artificial agents, limited attention has been paid to how people comprehend their language. Historically, artificial agents were seen as limited in world knowledge (Broussard, 2018) and linguistic capabilities (Kennedy, 1988). However, the development of generative AI has significantly changed the landscape, demonstrating impressive capabilities akin to human creativity (Haase & Hanel, 2023) and language use (Cai et al., 2024). Understanding how AI development influences language comprehension becomes increasingly important, as it may challenge existing assumptions about the limitations of artificial agents.\nIn one such attempt, Yin et al. (2024) explored whether AI-generated language could make people “feel heard” and whether the “AI label” could influence this feeling. They found that AI-generated messages made participants feel heard to a larger extent than human-generated ones, suggesting that AI was better at detecting emotions in that specific context. However, when participants were told that the messages were from an AI, they felt heard to a lesser extent. This suggests that the “AI identity” affects perceived emotional support in language comprehension. In a direct investigation of how knowing the language is AI-generated influences comprehension, Rao et al. (2025a) used ERPs to test participants’ brain responses when encountering semantic and syntactic anomalies perceived as being produced by a large language model (LLM) versus humans. They found that while participants showed overall N400 effects for semantic anomalies and P600 effects for syntactic anomalies, the semantic N400 effects were smaller, and syntactic P600 effects were larger when they were informed that the anomalies were produced by an LLM compared to by a human (see also Rao et al., 2025b, c).\nAside from the influence of artificial agents’ non-human nature, a further question is whether this non-human identity interacts with the demographic personas assigned to them. People often attribute traits such as gender, age, and linguistic background to artificial systems. For example, they perceive humanoid artificial agents as male or female based on their appearance (Eyssel & Hegel, 2012) or synthesized voice (Nass et al., 1997). People perceive female agents to be more knowledgeable about dating, using fewer words to explain dating norms compared to male agents (Powers et al., 2005). Similarly, people perceive artificial agents as having a certain age based on their facial features (Powers & Kiesler, 2006) or synthesized voice (Sandygulova & O’Hare, 2015). People are more compliant with requests from agents with a baby face than those with an adult face (Powers & Kiesler, 2006) and prefer a child voice for home companion agents but an adult voice for educational agents (Dou et al., 2021).\nThese findings align with the idea that people construct an anthropomorphic model of an artificial agent. This anthropomorphic model can be considered a specific type of demographic speaker model, which incorporates expectations about the artificial agent’s characteristics and capabilities based on the attributed demographic features (e.g., gender, age). This model can then influence language comprehension in a similar way to the demographic speaker model for human speakers, by biasing the processing of linguistic content and generating expectations about the speaker’s knowledge, perspectives, and communicative goals.\nHowever, the extent to which the anthropomorphic model of an artificial agent overlaps with or differs from the demographic speaker model for a human speaker remains an open question. It is possible that people have distinct expectations and biases for artificial agents compared to human speakers, even when they are attributed the same demographic features. For example, people may expect a female artificial agent to have different knowledge and capabilities compared to a female human speaker, due to the perceived differences in their underlying nature and origins. This raises the question of whether findings from human language comprehension can be generalized to AI language comprehension, a research area that remains to be explored.\n\n\n### Conclusion\nIn this review, we propose an integrative model of language and speaker processing to account for speaker effects in language comprehension. We argue that the influence of a speaker’s identity results from the interplay between lower-level acoustic-episodic memory and a higher-level speaker model. We formalize the interaction between language and speaker processing as a bidirectional probabilistic process: prior beliefs about a speaker modulate language comprehension, while the unfolding speech and message continuously updates the speaker model. Within this integrative framework, we define speaker-idiosyncrasy effects and speaker-demographics effects, and show how bottom-up and top-down processes interact at various levels depending on the task and context. We suggest that for studies beyond the psycholinguistic domain, speaker effects can be useful indices of language development and socio-cognitive traits. We encourage future research to explore the applicability of these findings to AI speakers, investigating whether the effects observed with human speakers can be generalized to non-human entities.", "domain": "affective_neuroscience"}
{"source": "PMC13081696", "title": "Efficacy of Optically Pumped Magnetometers in Detecting Activity From the Cerebellar Cortex", "text": "# Efficacy of Optically Pumped Magnetometers in Detecting Activity From the Cerebellar Cortex\n\n## Abstract\nThe cerebral cortex has been extensively studied using magnetoencephalography (MEG), but the cerebellum has received less attention, partly due to technical limitations. Recent advances in high‐resolution anatomical modeling enable surface‐based analysis of cerebellar activity. At the same time, MEG technology has evolved, with on‐scalp systems employing optically pumped magnetometers (OPMs) emerging as an alternative for conventional superconducting quantum interference device (SQUID)‐based systems. In contrast to rigid one‐size‐fits‐all SQUID sensor helmets, OPMs allow flexible positioning of the sensors on the participant's scalp to provide improved coverage of the cerebellum. To assess the benefits provided by OPMs in detecting cerebellar activity, we conducted simulations using a high‐resolution model of the human cerebellum, where we compared OPM arrays consisting either of single‐axis or triaxial sensors to commercial SQUID sensor arrays. We show that both OPM types measure stronger net signals from across the cerebellum compared to the SQUID‐based systems. OPMs also reduce signal correlations between the cerebral and cerebellar cortices, improving source separability. Increasing the number of OPM sensors leads to larger gains in total information capacity compared to SQUIDs. In all metrics, triaxial OPMs outperformed single‐axis configurations. These results suggest that already a 102‐sensor, triaxial OPM‐based on‐scalp MEG system could substantially improve noninvasive electrophysiological studies of the human cerebellum. We studied the use of OPMs over conventional SQUID sensors in detecting cerebellar activity.Our results indicate clear benefits for OPMs in terms of sensitivity, lead‐field correlations between the cortex and the cerebellum, as well as total information.Importantly, our results indicate that the improvements provided by OPMs in measuring the cerebellum can already be achieved with 102 triaxial OPM sensors covering the whole head. We studied the use of OPMs over conventional SQUID sensors in detecting cerebellar activity. Our results indicate clear benefits for OPMs in terms of sensitivity, lead‐field correlations between the cortex and the cerebellum, as well as total information. Importantly, our results indicate that the improvements provided by OPMs in measuring the cerebellum can already be achieved with 102 triaxial OPM sensors covering the whole head. We studied the utility of OPMs and conventional SQUID sensors in detecting cerebellar activity. Our results indicate clear benefits for OPMs in terms of sensitivity, lead‐field correlations between the cortex and the cerebellum, and total information, with these improvements already achievable with 102 triaxial OPM sensors covering the whole head.\n\n## Full Text\n\n\n### Introduction\nThe cerebellum has traditionally been associated with lower‐level brain functions such as coordination and fine‐tuning of movements. However, an increasing number of studies now highlight its involvement in higher‐order cognitive processes, including language and working memory (Guell et al. 2018; Koziol et al. 2014; Stoodley and Schmahmann 2009), implicit memory functions such as motor learning and internal modeling (Christian and Thompson 2003; Hadjiosif et al. 2024; Thach 1997), as well as reinforcement learning (Huvermann et al. 2025). The cerebellum has also been implicated in several neurological and psychiatric conditions, including schizophrenia (Andreasen and Pierson 2008; Picard et al. 2008), essential tremor (Cerasa and Quattrone 2016; Choe et al. 2016; Grimaldi and Manto 2013; Schnitzler et al. 2009), and Parkinson's disease (Ma et al. 2007; Wu and Hallett 2013; Wu et al. 2009; Yu et al. 2007). Notably, the cerebellum contains over 70% of the brain's neurons and maintains extensive reciprocal connections with both subcortical and cortical regions (Andersen et al. 1992; Herculano‐Houzel 2009). The cerebellar cortex has expanded significantly in humans compared to non‐human primates, pointing toward involvement in uniquely human traits such as language (Sereno et al. 2020).\nDespite a well‐established anatomical understanding, the cerebellum remains relatively understudied in terms of its electrophysiological contributions to motor and cognitive functions (Schmahmann and Sherman 1998; Wu and Hallett 2013). This gap is not due to a lack of relevance, but rather the limitations of available neuroimaging tools. Although PET and fMRI have revealed important aspects of cerebellar metabolism and hemodynamics (Stoodley and Schmahmann 2009), their indirect nature and limited temporal resolution combined with the cerebellum's tightly folded anatomy have constrained efforts to study its neural activity in detail.\nMagnetoencephalography (MEG) is a non‐invasive neuroimaging technique that measures the tiny magnetic fields generated by neural currents with a millisecond resolution (Hämäläinen et al. 1993). These weak fields were first recorded by David Cohen in the 1960s (Cohen 1968), and MEG has since found applications in both basic neuroscience (see, e.g., Baillet 2017) and clinical contexts, including epilepsy (Stefan and Trinka 2017), dementia (López‐Sanz et al. 2018), traumatic brain injury (Huang et al. 2014), and autism (Roberts et al. 2019).\nAs discussed in a recent review by Andersen et al. (2020), MEG can detect cerebellar activity, but challenges remain. First, the cerebellum's deep location within the skull increases the source‐to‐sensor distance, and its highly folded structure leads to field cancellation from oppositely oriented dipoles (Ahlfors et al. 2010). Second, the lack of high‐resolution individual surface models of the cerebellum due to insufficient spatial resolution of conventional MRI scanners has limited the accuracy of source estimation. Third, current MEG systems based on superconducting quantum interference device (SQUID) sensors are suboptimal to measure cerebellar activity. SQUIDs are highly sensitive (3fT/Hz), but they require cryogenic cooling, which imposes an insulating layer between the scalp and the sensors. This insulating layer increases the sensor‐to‐scalp distance to more than 2 cm, which leads to a difficulty in detecting far away activity and loss of spatial detail in the measurements. This arrangement also fixes the geometry of the sensor array, likely resulting in a suboptimal array for cerebellar measurements, limiting the ability to detect cerebellar signals with SQUID‐based MEG. Recently, however, there have been significant advances in overcoming these obstacles.\nSamuelsson et al. proposed a method to obtain a high‐resolution surface model of an individual's cerebellum (Samuelsson, Rosen, et al. 2020). They morphed to the individual's head model the high‐resolution cerebellum model that was obtained by Sereno and colleagues by scanning a human cerebellum specimen with a 9.4 T ex vivo MRI (Sereno et al. 2020). Using this model and established forward modeling techniques (Hämäläinen et al. 1993; Hämäläinen and Sarvas 1989; Mosher et al. 1995), they further simulated cerebellar activity and assessed its detectability using SQUID‐based MEG systems (Samuelsson, Sundaram, et al. 2020). They found that measuring SQUID‐MEG from the cerebellum is possible, resulting in signal amplitudes that are only 30%–60% weaker than those from cortical sources.\nThe limitations of SQUID‐based systems have spurred growing interest to use optically pumped magnetometers (OPMs) (Budker and Romalis 2007; Kimball et al. 2013) for MEG. OPMs are compact sensors that operate at near room temperature and do not require cryogenic cooling, allowing them to be flexibly positioned directly on the scalp with a distance of about 5 mm between the sensor's sensitive element and the scalp. Although their typical sensitivity (around 10–20fT/Hz) is somewhat worse than that of SQUIDs, their proximity to the brain and flexibility in sensor placement provide substantial advantages over rigid SQUID‐based sensor arrays (Iivanainen et al. 2017). Typically, OPM systems use single‐ or dual‐axis sensors, but triaxial OPMs (Beato et al. 2018; Boto et al. 2022), which measure magnetic field along three orthogonal directions, are attracting increasing interest. Triaxial sensor arrays improve separation of neural signals from external interference (Brookes et al. 2021; Nurminen et al. 2013), enhance SNR, and reduce motion‐related artefacts (Rea et al. 2022). They also provide more uniform cortical coverage, particularly, in infants and children (Boto et al. 2022; Iivanainen et al. 2017). The OPM sensors have been used to measure signals from brain areas that are not covered well by SQUID‐based MEG, such as the hippocampus (Barry et al. 2019; Tierney et al. 2021) and the cerebellum (Lin et al. 2019). However, the benefits of OPM‐based MEG in measuring the human cerebellum over SQUID‐MEG have not been systematically quantified.\nIn this paper, we investigate the performance of OPM‐MEG sensor arrays in measuring activity from the human cerebellum cortex using the high‐resolution model of the human cerebellum with over 4 million vertices, as proposed by Samuelsson et al. (2020). We compare single‐axis and triaxial OPM arrays to commercial SQUID sensor arrays using three complementary forward‐model‐based metrics. First, we compute sensitivity maps to assess signal strength and spatial coverage across the cerebellum. Second, we use subspace angle analysis to evaluate how well each system disambiguates cerebellar signals from cortical sources. Third, we estimate the total information capacities of the arrays. Our analyses reveal which cerebellar regions are most accessible and which sensor configurations are most effective, guiding future study design and improving the reliability of non‐invasive cerebellar MEG.\n\n\n### Methods\nTo model the cerebellum in our simulations, we used a high‐resolution geometric model developed by Sereno et al. (2020), based on an ex vivo human brain scanned post‐mortem with a 9.4‐T MRI system. The dataset includes T2*‐weighted and 3D FLASH images from a 62‐year‐old previously healthy female, acquired at an isotropic voxel resolution of 0.19 × 0.19 × 0.19 mm3. The volume was manually refined to correct topological errors.\nThe detailed cerebellum model was morphed to match the anatomy of the MNE sample subject using the CereMegBellum (CMB) package (Samuelsson, Rosen, et al. 2020). MRI data for this subject were acquired with a Siemens 1.5T Sonata scanner using an MPRAGE sequence. Cortical surfaces and the subject's cerebellar outline were reconstructed with FreeSurfer (Fischl 2012), after which the ex vivo surface was aligned to the individual anatomy using the ARCUS method (Samuelsson, Rosen, et al. 2020).\nWe constructed source spaces on the cortical and cerebellar surfaces in Python 3.8 using the MNE‐Python software (v1.6.1) (Gramfort et al. 2013; Larson 2024). Primary‐current distribution was discretized to dipoles oriented normal to the local cortical or cerebellar surface. For the cerebral cortex, the source space consisted of 169,495 vertices. The cerebellum was modeled similarly, with a high‐resolution source space containing 4,573,612 vertices. We also generated a downsampled version of the cerebellar source space with 99,856 vertices to reduce the computational complexity in simulations that involve calculation of pairwise source distances. From here on, we refer to the cerebral cortex as “cortex” and the cerebellar cortex as “cerebellum.” Depending on the simulation, we used either a cortical or a cerebellar source space or their combination.\nMEG forward simulations were performed for four sensor types: SQUID magnetometers of the MEGIN (formerly Elekta Neuromag) Vectorview system (Espoo, Finland), SQUID axial gradiometers of the CTF MEG Neuro Innovations Inc. system (Coquitlam, Canada), and single‐ and tri‐axis OPM sensors with their geometry modeled according to Gen‐1 OPM by QuSpin Inc. (Louisville, USA). All sensor types were modeled as in the MNE‐python software.\nWe formed six sensor arrays (SQUID 102, OPM 102, Triaxial OPM 102, CTF, OPM 275, and Triaxial OPM 275) as follows. The SQUID 102 sensor array was obtained directly from the MNE's sample dataset; it presents how the sensor array was in relation to the subject's head during the measurement. The CTF SQUID system with 275 axial gradiometers with a baseline of 50 mm was modeled by manually placing the MNE sample subject inside a CTF helmet. The smallest sensor‐to‐scalp distance in SQUID 275 is approximately 22 mm, which is reasonable for real‐world measurements and closely matches the SQUID 102 minimum scalp‐to‐sensor distance of 24 mm used in our simulations.\nWe constructed OPM sensor arrays from the SQUID 102 and CTF SQUID sensor positions by projecting them onto the scalp so that the distances between the OPMs and the scalp were 5 mm. The orientation of each OPM sensor was set to follow the local scalp surface normal (“radial” orientation). For triaxial OPM arrays, each triaxial OPM sensor comprised three channels measuring the radial and the two tangential components of the magnetic field. This resulted in a total of four OPM sensor arrays: 102‐sensor single and triaxial OPM arrays obtained from the SQUID 102 array and 275‐sensor single and triaxial OPM arrays obtained from the SQUID 275 array. The resulting sensor arrays are shown in Figure 1A.\n(A) Sensor arrays for SQUID 102, SQUID 275, OPM 102, and OPM 275. Triaxial OPM arrays follow the same layouts as the corresponding single‐axis OPM arrays, but with three orthogonal channels in one sensor at each location. Thus, for example, Triaxial OPM 102 contains 306 channels, while OPM 102 contains 102 channels. All arrays use magnetometers, except SQUID 275, which uses axial gradiometers with a 50 mm baseline. (B) Examples of generated uniform SQUID (top row) and OPM (bottom row) arrays of 10, 50, 300, and 500 sensors that were used in the total information capacity calculations. The cerebellar source space is highlighted in yellow in all figures.\nTo analyze how total information capacity changes as a function of the number of sensors, we generated custom OPM and SQUID (Vectorview magnetometer) sensor layouts with varying numbers of sensors. To do this, we adapted the uniform spatial sampling strategy proposed by Iivanainen et al. (2021), which places the sensors so that they uniformly cover the desired region. Here, we briefly outline how we used that method.\nWe started by constructing a dense mesh of candidate sensor positions on the scalp surface. For the SQUID array, we created the mesh from its sensor placements using Delaunay triangulation and then subdivided it, resulting in a total of 5821 vertices. For the OPM arrays, we first projected the sensors closer to the scalp, as described above, and then generated a mesh with the same procedure and number of vertices. This ensured that OPM and SQUID arrays had comparable candidate sensor placements. A Laplace basis was computed over this surface using the Dirichlet boundary condition (Jacobson 2024). These functions were used to generate a covariance matrix with uniform variance on each function. We then applied the farthest‐point sampling algorithm (Eldar et al. 1997; Schlömer et al. 2011) in this space to yield sensor positions that have approximately uniform spatial distribution on the surface (Iivanainen et al. 2021). Layouts were generated for a range of sensor counts from 10 to 500. These served as the basis for later forward model and information capacity computations. Examples of these sensor arrays are shown in Figure 1B.\nWe used a three‐compartment, piecewise homogeneous boundary element method (BEM) model of the head (Mosher et al. 1995), with conductivities of 0.3 S/m for brain and scalp, and 0.006 S/m for skull as defaulted in MNE. BEM computations were performed in MNE‐Python using MRI data from the MNE sample dataset. All three BEM surfaces were modeled with 2562 vertices each. To minimize boundary‐related errors, source vertices within 3 mm of the inner skull were excluded. This constraint resulted in source spaces comprising 166,833 vertices for the cortex, 4,160,046 vertices for the high‐resolution cerebellum, and 91,373 vertices for its downsampled version. In the forward calculations, the output of the different types of sensors was computed using the numerical integration approximations implemented in the MNE‐Python software (see Gramfort et al. 2014).\nTo compare the sensor arrays in detecting cerebellar activity, we calculate their sensitivity, which measures the signal size originating from a dipole source in the cerebellum. We also calculate the sensitivity to cerebral sources to facilitate comparison of signal strength between the cortex and the cerebellum.\nThe relationship between MEG signals and source activity is given by:\n(1)\nb=Lj,\nwhere b∈ℝm represents the measurements collected by m sensors, L∈ℝm×n is the lead‐field matrix, and j∈ℝn denotes the n source amplitudes. The rows of the lead‐field matrix are the sensor lead fields, that is, the sensitivity patterns of the sensors to the sources, while the columns are the field patterns, or topographies, of the sources. The sensor array's sensitivity sj to a source location can be quantified by the Euclidean norm of the topography of the source:\n(2)\nsj=L:,j2,\nwhere L:,j denotes the j‐th column of L. This norm captures the strength of the magnetic field generated by the dipole at that location, as measured by the sensor array. By calculating the sensitivity of each source, we obtain the sensitivity map. For the sensitivity calculations, we set the dipole moment of the source to 100 nAm, similar to Samuelsson et al. (2020).\nTo assess the ability of different sensor arrays to separate signals originating from the cerebellum and the cortex, we adopted a subspace angle‐based method. Subspace (or principal) angles describe the angular relationship between two subspaces and can be used to quantify how distinguishable the corresponding MEG topographies from different brain regions are. This kind of analysis has been previously applied in MEG and EEG studies (Krishnaswamy et al. 2017; Mosher 2000). The following introduction to the method follows the algorithm presented by Björck and Golub (1973).\nLet LA∈ℝm×q and LB∈ℝm×p be lead‐field matrices of the same sensor array for two source regions, where m is the number of sensors and q and p are the number of sources in each region. We compute their singular value decompositions LA=UASAVA⊤ and LB=UBSBVB⊤, where UA∈ℝm×rankA and UB∈ℝm×rankB. Then we form C=UA⊤UB and compute its singular value decomposition C=UCSCVC⊤. It can be shown that the diagonal elements of SC are the cosines of the subspace angles θ1,…,θr between rangeLA and rangeLB, with r=minrankArankB. The cosines of the principal angles between the two subspaces are equivalent to the canonical correlations between the sets of vectors spanning these subspaces, providing a measure of how aligned or correlated the subspaces are. Since these subspaces are generally multidimensional, the result is not a single angle, but a set of principal angles θ1,…,θr.\nWe computed subspace angles between the cortex and the cerebellum. Unlike the sensitivity and total information measures, this analysis was performed on source patches rather than individual dipoles, because subspace angles quantify the alignment between multidimensional subspaces, and correlations between a single cortical dipole and the entire cerebellum are not meaningful in this context. On the cortex, local patches were defined as sets of vertices within a geodesic distance of 10 mm from a given seed vertex, and the corresponding lead‐field matrix of each patch was extracted. Geodesic distances were obtained using Dijkstra's algorithm on the cortical mesh as implemented in MNE. The chosen 10 mm radius patch size corresponds to the 100 nAm dipole used in the sensitivity map calculations (Samuelsson, Sundaram, et al. 2020).\nWe then computed subspace angles between cortical patches and the cerebellum using two approaches. In the first, a cortical patch of 10 mm radius was fixed and compared to cerebellar patches of equal size. This choice is motivated by the findings of Murakami and Okada (2015), who found that synchronously active neuronal populations exhibit comparable current dipole moment densities of about 1nAm/mm2 in the neocortex, hippocampus, and cerebellar cortex. Therefore, using equal patch size in the cortex and the cerebellum leads to the same current dipole moment in both. For each cerebellar patch, the cosines of the subspace angles were averaged to yield a single correlation value, which was then assigned to that cerebellar patch. The procedure was repeated across the cerebellum with overlapping patches placed at 15 mm seed spacing, producing a cerebellar correlation map with respect to the chosen cortical patch. This approach highlights how subspace‐angle correlations distribute across the cerebellum for a fixed cortical patch.\nIn the second analysis, each cortical 10 mm radius patch was compared to the full cerebellar lead field rather than to individual cerebellar patches. For a given cortical patch, the cosines of the subspace angles between that cortical patch and the cerebellum were averaged to yield one correlation value, which was assigned to the cortical patch. This procedure was repeated across the cortex with 15 mm seed spacing; the spatially overlapping values from nearby patches were averaged. The result was a full cortical correlation map with respect to the whole cerebellum. By averaging over the full cerebellum, the second approach emphasizes the spatial organization across cortical regions while avoiding the computational cost of patch‐to‐patch comparisons.\nIn addition to averaging the correlation values between the cortical patch and the cerebellum, we also quantified the percentage of highly correlated subspaces (correlation > 0.5) between them. This produces a map over the cortex that shows the spatial distribution of the number of highly correlated subspaces between the cerebellum and the corresponding location of the cortex.\nTo evaluate the performance of different MEG sensor arrays, we computed their total information capacity Itot (Iivanainen et al. 2017; Kemppainen and Ilmoniemi 1989; Schneiderman 2014). This metric quantifies the amount of information conveyed by the sensor array and takes into account the sensor configuration, the sensor noise level, and the overlap in the sensor lead fields.\nWe briefly describe how the total information capacity is calculated; for a thorough description see, e.g., (Iivanainen et al. 2017). We first whiten the sensor lead fields using a homoscedastic noise covariance matrix with sensor noise variance on its diagonal elements. The whitened lead fields are then orthogonalized via eigenvalue decomposition to avoid overestimating information due to correlated sensor lead fields. The total information capacity is then calculated by summing the Shannon information over the orthogonalized channels:\nItot=12∑i=1Nclog2SNRi′+1,\nwhere SNRi′ are the signal‐to‐noise ratios of the orthogonalized channels, and Nc is the number of orthogonalized channels that is equal to the number of total channels in the array.\nWe calculate the total information for the sensor arrays presented in Figure 1A and as well as for uniform SQUID and OPM arrays with varying numbers of sensors shown in Figure 1B. The OPMs were assumed to have a noise level of 10 or 15fT/Hz, while the SQUID magnetometers and axial gradiometers were both assigned a noise level of 3fT/Hz, reflecting typical performance under comparable conditions. We calculated Itot separately for the cerebellum (downsampled version with 91,373 vertices) and the cortex, as well as for their combined source space, using a grid spacing of 2 mm. The source variance q2 was chosen so that, in the whole‐brain calculation with the 500‐sensor SQUID array, the average SNR across sources equaled 1 (q2 has been set similarly also in Iivanainen et al. 2017). This value was applied to all sensor types and arrays, in all three source‐space cases.\n\n\n### Anatomical Models\nTo model the cerebellum in our simulations, we used a high‐resolution geometric model developed by Sereno et al. (2020), based on an ex vivo human brain scanned post‐mortem with a 9.4‐T MRI system. The dataset includes T2*‐weighted and 3D FLASH images from a 62‐year‐old previously healthy female, acquired at an isotropic voxel resolution of 0.19 × 0.19 × 0.19 mm3. The volume was manually refined to correct topological errors.\nThe detailed cerebellum model was morphed to match the anatomy of the MNE sample subject using the CereMegBellum (CMB) package (Samuelsson, Rosen, et al. 2020). MRI data for this subject were acquired with a Siemens 1.5T Sonata scanner using an MPRAGE sequence. Cortical surfaces and the subject's cerebellar outline were reconstructed with FreeSurfer (Fischl 2012), after which the ex vivo surface was aligned to the individual anatomy using the ARCUS method (Samuelsson, Rosen, et al. 2020).\nWe constructed source spaces on the cortical and cerebellar surfaces in Python 3.8 using the MNE‐Python software (v1.6.1) (Gramfort et al. 2013; Larson 2024). Primary‐current distribution was discretized to dipoles oriented normal to the local cortical or cerebellar surface. For the cerebral cortex, the source space consisted of 169,495 vertices. The cerebellum was modeled similarly, with a high‐resolution source space containing 4,573,612 vertices. We also generated a downsampled version of the cerebellar source space with 99,856 vertices to reduce the computational complexity in simulations that involve calculation of pairwise source distances. From here on, we refer to the cerebral cortex as “cortex” and the cerebellar cortex as “cerebellum.” Depending on the simulation, we used either a cortical or a cerebellar source space or their combination.\n\n\n### Sensor Arrays\nMEG forward simulations were performed for four sensor types: SQUID magnetometers of the MEGIN (formerly Elekta Neuromag) Vectorview system (Espoo, Finland), SQUID axial gradiometers of the CTF MEG Neuro Innovations Inc. system (Coquitlam, Canada), and single‐ and tri‐axis OPM sensors with their geometry modeled according to Gen‐1 OPM by QuSpin Inc. (Louisville, USA). All sensor types were modeled as in the MNE‐python software.\nWe formed six sensor arrays (SQUID 102, OPM 102, Triaxial OPM 102, CTF, OPM 275, and Triaxial OPM 275) as follows. The SQUID 102 sensor array was obtained directly from the MNE's sample dataset; it presents how the sensor array was in relation to the subject's head during the measurement. The CTF SQUID system with 275 axial gradiometers with a baseline of 50 mm was modeled by manually placing the MNE sample subject inside a CTF helmet. The smallest sensor‐to‐scalp distance in SQUID 275 is approximately 22 mm, which is reasonable for real‐world measurements and closely matches the SQUID 102 minimum scalp‐to‐sensor distance of 24 mm used in our simulations.\nWe constructed OPM sensor arrays from the SQUID 102 and CTF SQUID sensor positions by projecting them onto the scalp so that the distances between the OPMs and the scalp were 5 mm. The orientation of each OPM sensor was set to follow the local scalp surface normal (“radial” orientation). For triaxial OPM arrays, each triaxial OPM sensor comprised three channels measuring the radial and the two tangential components of the magnetic field. This resulted in a total of four OPM sensor arrays: 102‐sensor single and triaxial OPM arrays obtained from the SQUID 102 array and 275‐sensor single and triaxial OPM arrays obtained from the SQUID 275 array. The resulting sensor arrays are shown in Figure 1A.\n(A) Sensor arrays for SQUID 102, SQUID 275, OPM 102, and OPM 275. Triaxial OPM arrays follow the same layouts as the corresponding single‐axis OPM arrays, but with three orthogonal channels in one sensor at each location. Thus, for example, Triaxial OPM 102 contains 306 channels, while OPM 102 contains 102 channels. All arrays use magnetometers, except SQUID 275, which uses axial gradiometers with a 50 mm baseline. (B) Examples of generated uniform SQUID (top row) and OPM (bottom row) arrays of 10, 50, 300, and 500 sensors that were used in the total information capacity calculations. The cerebellar source space is highlighted in yellow in all figures.\nTo analyze how total information capacity changes as a function of the number of sensors, we generated custom OPM and SQUID (Vectorview magnetometer) sensor layouts with varying numbers of sensors. To do this, we adapted the uniform spatial sampling strategy proposed by Iivanainen et al. (2021), which places the sensors so that they uniformly cover the desired region. Here, we briefly outline how we used that method.\nWe started by constructing a dense mesh of candidate sensor positions on the scalp surface. For the SQUID array, we created the mesh from its sensor placements using Delaunay triangulation and then subdivided it, resulting in a total of 5821 vertices. For the OPM arrays, we first projected the sensors closer to the scalp, as described above, and then generated a mesh with the same procedure and number of vertices. This ensured that OPM and SQUID arrays had comparable candidate sensor placements. A Laplace basis was computed over this surface using the Dirichlet boundary condition (Jacobson 2024). These functions were used to generate a covariance matrix with uniform variance on each function. We then applied the farthest‐point sampling algorithm (Eldar et al. 1997; Schlömer et al. 2011) in this space to yield sensor positions that have approximately uniform spatial distribution on the surface (Iivanainen et al. 2021). Layouts were generated for a range of sensor counts from 10 to 500. These served as the basis for later forward model and information capacity computations. Examples of these sensor arrays are shown in Figure 1B.\n\n\n### Forward Models\nWe used a three‐compartment, piecewise homogeneous boundary element method (BEM) model of the head (Mosher et al. 1995), with conductivities of 0.3 S/m for brain and scalp, and 0.006 S/m for skull as defaulted in MNE. BEM computations were performed in MNE‐Python using MRI data from the MNE sample dataset. All three BEM surfaces were modeled with 2562 vertices each. To minimize boundary‐related errors, source vertices within 3 mm of the inner skull were excluded. This constraint resulted in source spaces comprising 166,833 vertices for the cortex, 4,160,046 vertices for the high‐resolution cerebellum, and 91,373 vertices for its downsampled version. In the forward calculations, the output of the different types of sensors was computed using the numerical integration approximations implemented in the MNE‐Python software (see Gramfort et al. 2014).\n\n\n### Simulation Metrics\nTo compare the sensor arrays in detecting cerebellar activity, we calculate their sensitivity, which measures the signal size originating from a dipole source in the cerebellum. We also calculate the sensitivity to cerebral sources to facilitate comparison of signal strength between the cortex and the cerebellum.\nThe relationship between MEG signals and source activity is given by:\n(1)\nb=Lj,\nwhere b∈ℝm represents the measurements collected by m sensors, L∈ℝm×n is the lead‐field matrix, and j∈ℝn denotes the n source amplitudes. The rows of the lead‐field matrix are the sensor lead fields, that is, the sensitivity patterns of the sensors to the sources, while the columns are the field patterns, or topographies, of the sources. The sensor array's sensitivity sj to a source location can be quantified by the Euclidean norm of the topography of the source:\n(2)\nsj=L:,j2,\nwhere L:,j denotes the j‐th column of L. This norm captures the strength of the magnetic field generated by the dipole at that location, as measured by the sensor array. By calculating the sensitivity of each source, we obtain the sensitivity map. For the sensitivity calculations, we set the dipole moment of the source to 100 nAm, similar to Samuelsson et al. (2020).\nTo assess the ability of different sensor arrays to separate signals originating from the cerebellum and the cortex, we adopted a subspace angle‐based method. Subspace (or principal) angles describe the angular relationship between two subspaces and can be used to quantify how distinguishable the corresponding MEG topographies from different brain regions are. This kind of analysis has been previously applied in MEG and EEG studies (Krishnaswamy et al. 2017; Mosher 2000). The following introduction to the method follows the algorithm presented by Björck and Golub (1973).\nLet LA∈ℝm×q and LB∈ℝm×p be lead‐field matrices of the same sensor array for two source regions, where m is the number of sensors and q and p are the number of sources in each region. We compute their singular value decompositions LA=UASAVA⊤ and LB=UBSBVB⊤, where UA∈ℝm×rankA and UB∈ℝm×rankB. Then we form C=UA⊤UB and compute its singular value decomposition C=UCSCVC⊤. It can be shown that the diagonal elements of SC are the cosines of the subspace angles θ1,…,θr between rangeLA and rangeLB, with r=minrankArankB. The cosines of the principal angles between the two subspaces are equivalent to the canonical correlations between the sets of vectors spanning these subspaces, providing a measure of how aligned or correlated the subspaces are. Since these subspaces are generally multidimensional, the result is not a single angle, but a set of principal angles θ1,…,θr.\nWe computed subspace angles between the cortex and the cerebellum. Unlike the sensitivity and total information measures, this analysis was performed on source patches rather than individual dipoles, because subspace angles quantify the alignment between multidimensional subspaces, and correlations between a single cortical dipole and the entire cerebellum are not meaningful in this context. On the cortex, local patches were defined as sets of vertices within a geodesic distance of 10 mm from a given seed vertex, and the corresponding lead‐field matrix of each patch was extracted. Geodesic distances were obtained using Dijkstra's algorithm on the cortical mesh as implemented in MNE. The chosen 10 mm radius patch size corresponds to the 100 nAm dipole used in the sensitivity map calculations (Samuelsson, Sundaram, et al. 2020).\nWe then computed subspace angles between cortical patches and the cerebellum using two approaches. In the first, a cortical patch of 10 mm radius was fixed and compared to cerebellar patches of equal size. This choice is motivated by the findings of Murakami and Okada (2015), who found that synchronously active neuronal populations exhibit comparable current dipole moment densities of about 1nAm/mm2 in the neocortex, hippocampus, and cerebellar cortex. Therefore, using equal patch size in the cortex and the cerebellum leads to the same current dipole moment in both. For each cerebellar patch, the cosines of the subspace angles were averaged to yield a single correlation value, which was then assigned to that cerebellar patch. The procedure was repeated across the cerebellum with overlapping patches placed at 15 mm seed spacing, producing a cerebellar correlation map with respect to the chosen cortical patch. This approach highlights how subspace‐angle correlations distribute across the cerebellum for a fixed cortical patch.\nIn the second analysis, each cortical 10 mm radius patch was compared to the full cerebellar lead field rather than to individual cerebellar patches. For a given cortical patch, the cosines of the subspace angles between that cortical patch and the cerebellum were averaged to yield one correlation value, which was assigned to the cortical patch. This procedure was repeated across the cortex with 15 mm seed spacing; the spatially overlapping values from nearby patches were averaged. The result was a full cortical correlation map with respect to the whole cerebellum. By averaging over the full cerebellum, the second approach emphasizes the spatial organization across cortical regions while avoiding the computational cost of patch‐to‐patch comparisons.\nIn addition to averaging the correlation values between the cortical patch and the cerebellum, we also quantified the percentage of highly correlated subspaces (correlation > 0.5) between them. This produces a map over the cortex that shows the spatial distribution of the number of highly correlated subspaces between the cerebellum and the corresponding location of the cortex.\nTo evaluate the performance of different MEG sensor arrays, we computed their total information capacity Itot (Iivanainen et al. 2017; Kemppainen and Ilmoniemi 1989; Schneiderman 2014). This metric quantifies the amount of information conveyed by the sensor array and takes into account the sensor configuration, the sensor noise level, and the overlap in the sensor lead fields.\nWe briefly describe how the total information capacity is calculated; for a thorough description see, e.g., (Iivanainen et al. 2017). We first whiten the sensor lead fields using a homoscedastic noise covariance matrix with sensor noise variance on its diagonal elements. The whitened lead fields are then orthogonalized via eigenvalue decomposition to avoid overestimating information due to correlated sensor lead fields. The total information capacity is then calculated by summing the Shannon information over the orthogonalized channels:\nItot=12∑i=1Nclog2SNRi′+1,\nwhere SNRi′ are the signal‐to‐noise ratios of the orthogonalized channels, and Nc is the number of orthogonalized channels that is equal to the number of total channels in the array.\nWe calculate the total information for the sensor arrays presented in Figure 1A and as well as for uniform SQUID and OPM arrays with varying numbers of sensors shown in Figure 1B. The OPMs were assumed to have a noise level of 10 or 15fT/Hz, while the SQUID magnetometers and axial gradiometers were both assigned a noise level of 3fT/Hz, reflecting typical performance under comparable conditions. We calculated Itot separately for the cerebellum (downsampled version with 91,373 vertices) and the cortex, as well as for their combined source space, using a grid spacing of 2 mm. The source variance q2 was chosen so that, in the whole‐brain calculation with the 500‐sensor SQUID array, the average SNR across sources equaled 1 (q2 has been set similarly also in Iivanainen et al. 2017). This value was applied to all sensor types and arrays, in all three source‐space cases.\n\n\n### Sensitivity Maps\nTo compare the sensor arrays in detecting cerebellar activity, we calculate their sensitivity, which measures the signal size originating from a dipole source in the cerebellum. We also calculate the sensitivity to cerebral sources to facilitate comparison of signal strength between the cortex and the cerebellum.\nThe relationship between MEG signals and source activity is given by:\n(1)\nb=Lj,\nwhere b∈ℝm represents the measurements collected by m sensors, L∈ℝm×n is the lead‐field matrix, and j∈ℝn denotes the n source amplitudes. The rows of the lead‐field matrix are the sensor lead fields, that is, the sensitivity patterns of the sensors to the sources, while the columns are the field patterns, or topographies, of the sources. The sensor array's sensitivity sj to a source location can be quantified by the Euclidean norm of the topography of the source:\n(2)\nsj=L:,j2,\nwhere L:,j denotes the j‐th column of L. This norm captures the strength of the magnetic field generated by the dipole at that location, as measured by the sensor array. By calculating the sensitivity of each source, we obtain the sensitivity map. For the sensitivity calculations, we set the dipole moment of the source to 100 nAm, similar to Samuelsson et al. (2020).\n\n\n### Correlation Maps\nTo assess the ability of different sensor arrays to separate signals originating from the cerebellum and the cortex, we adopted a subspace angle‐based method. Subspace (or principal) angles describe the angular relationship between two subspaces and can be used to quantify how distinguishable the corresponding MEG topographies from different brain regions are. This kind of analysis has been previously applied in MEG and EEG studies (Krishnaswamy et al. 2017; Mosher 2000). The following introduction to the method follows the algorithm presented by Björck and Golub (1973).\nLet LA∈ℝm×q and LB∈ℝm×p be lead‐field matrices of the same sensor array for two source regions, where m is the number of sensors and q and p are the number of sources in each region. We compute their singular value decompositions LA=UASAVA⊤ and LB=UBSBVB⊤, where UA∈ℝm×rankA and UB∈ℝm×rankB. Then we form C=UA⊤UB and compute its singular value decomposition C=UCSCVC⊤. It can be shown that the diagonal elements of SC are the cosines of the subspace angles θ1,…,θr between rangeLA and rangeLB, with r=minrankArankB. The cosines of the principal angles between the two subspaces are equivalent to the canonical correlations between the sets of vectors spanning these subspaces, providing a measure of how aligned or correlated the subspaces are. Since these subspaces are generally multidimensional, the result is not a single angle, but a set of principal angles θ1,…,θr.\nWe computed subspace angles between the cortex and the cerebellum. Unlike the sensitivity and total information measures, this analysis was performed on source patches rather than individual dipoles, because subspace angles quantify the alignment between multidimensional subspaces, and correlations between a single cortical dipole and the entire cerebellum are not meaningful in this context. On the cortex, local patches were defined as sets of vertices within a geodesic distance of 10 mm from a given seed vertex, and the corresponding lead‐field matrix of each patch was extracted. Geodesic distances were obtained using Dijkstra's algorithm on the cortical mesh as implemented in MNE. The chosen 10 mm radius patch size corresponds to the 100 nAm dipole used in the sensitivity map calculations (Samuelsson, Sundaram, et al. 2020).\nWe then computed subspace angles between cortical patches and the cerebellum using two approaches. In the first, a cortical patch of 10 mm radius was fixed and compared to cerebellar patches of equal size. This choice is motivated by the findings of Murakami and Okada (2015), who found that synchronously active neuronal populations exhibit comparable current dipole moment densities of about 1nAm/mm2 in the neocortex, hippocampus, and cerebellar cortex. Therefore, using equal patch size in the cortex and the cerebellum leads to the same current dipole moment in both. For each cerebellar patch, the cosines of the subspace angles were averaged to yield a single correlation value, which was then assigned to that cerebellar patch. The procedure was repeated across the cerebellum with overlapping patches placed at 15 mm seed spacing, producing a cerebellar correlation map with respect to the chosen cortical patch. This approach highlights how subspace‐angle correlations distribute across the cerebellum for a fixed cortical patch.\nIn the second analysis, each cortical 10 mm radius patch was compared to the full cerebellar lead field rather than to individual cerebellar patches. For a given cortical patch, the cosines of the subspace angles between that cortical patch and the cerebellum were averaged to yield one correlation value, which was assigned to the cortical patch. This procedure was repeated across the cortex with 15 mm seed spacing; the spatially overlapping values from nearby patches were averaged. The result was a full cortical correlation map with respect to the whole cerebellum. By averaging over the full cerebellum, the second approach emphasizes the spatial organization across cortical regions while avoiding the computational cost of patch‐to‐patch comparisons.\nIn addition to averaging the correlation values between the cortical patch and the cerebellum, we also quantified the percentage of highly correlated subspaces (correlation > 0.5) between them. This produces a map over the cortex that shows the spatial distribution of the number of highly correlated subspaces between the cerebellum and the corresponding location of the cortex.\n\n\n### Total Information Capacity\nTo evaluate the performance of different MEG sensor arrays, we computed their total information capacity Itot (Iivanainen et al. 2017; Kemppainen and Ilmoniemi 1989; Schneiderman 2014). This metric quantifies the amount of information conveyed by the sensor array and takes into account the sensor configuration, the sensor noise level, and the overlap in the sensor lead fields.\nWe briefly describe how the total information capacity is calculated; for a thorough description see, e.g., (Iivanainen et al. 2017). We first whiten the sensor lead fields using a homoscedastic noise covariance matrix with sensor noise variance on its diagonal elements. The whitened lead fields are then orthogonalized via eigenvalue decomposition to avoid overestimating information due to correlated sensor lead fields. The total information capacity is then calculated by summing the Shannon information over the orthogonalized channels:\nItot=12∑i=1Nclog2SNRi′+1,\nwhere SNRi′ are the signal‐to‐noise ratios of the orthogonalized channels, and Nc is the number of orthogonalized channels that is equal to the number of total channels in the array.\nWe calculate the total information for the sensor arrays presented in Figure 1A and as well as for uniform SQUID and OPM arrays with varying numbers of sensors shown in Figure 1B. The OPMs were assumed to have a noise level of 10 or 15fT/Hz, while the SQUID magnetometers and axial gradiometers were both assigned a noise level of 3fT/Hz, reflecting typical performance under comparable conditions. We calculated Itot separately for the cerebellum (downsampled version with 91,373 vertices) and the cortex, as well as for their combined source space, using a grid spacing of 2 mm. The source variance q2 was chosen so that, in the whole‐brain calculation with the 500‐sensor SQUID array, the average SNR across sources equaled 1 (q2 has been set similarly also in Iivanainen et al. 2017). This value was applied to all sensor types and arrays, in all three source‐space cases.\n\n\n### Results\nSensitivity maps for the different sensor arrays are shown in Figure 2, with accompanying density plots illustrating the distribution of sensitivity values. The overall spatial distribution of sensitivity is similar across the sensor arrays. Sensitivity is highest near the skull and in the posterior lobe of the cerebellum, particularly, between the primary and horizontal fissures. Lower sensitivity is observed in medial and lateral regions, including the vermal area, and the lowest values occur in deep cerebellar structures, especially near the cerebellar peduncles and tonsil.\nSensitivity maps for SQUID 102, OPM 102, Triaxial OPM 102, SQUID 275, OPM 275, and Triaxial OPM 275 sensor arrays. Each map is scaled between its 1st and 99th percentile of the sensitivity; the colorbar is therefore scaled between the 1st and 99th percentiles of all sensitivity maps. The maps are shown from lateral, posterior, and inferior views. Below each sensitivity map, a density plot illustrates the distribution of both cortical (blue) and cerebellar (red) sensitivity values within the colorbar range.\nFor SQUID 102 and 275, most sensitivity values remain below 3 pT for the cerebellum, with 95th percentiles of 2.7 and 3.1 pT, respectively. The difference between the two is modest: SQUID 275 achieves slightly higher maximum sensitivity, but their main density peaks remain close (1.6 pT for SQUID 102 and 1.8 pT for SQUID 275). OPM 102 reaches a 95th percentile of 7.4 pT for the cerebellum, while OPM 275 yields even higher signals with a 95th percentile of 11.1 pT. The peak density for OPM 102 is around 3.7 pT, whereas OPM 275 shows a broader and higher peak at 5.1 pT. Triaxial OPM 102 extends the 95th percentile sensitivity range up to about 12.5 pT, and Triaxial OPM 275 reaches 18.6 pT. Compared to OPM 102, Triaxial OPM 102 broadens and shifts the main cerebellar density peak from 3.7 to 4.4 pT, while Triaxial OPM 275 shifts it further to around 6.3 pT.\nWhen averaged over all cerebellar sources, the OPM arrays increase sensitivity to the cerebellum relative to SQUID 102 by factors of 2.4, 3.7, 3.4, and 5.2 for OPM 102, OPM 275, Triaxial OPM 102, and Triaxial OPM 275, respectively. The same ratio of SQUID 275 to SQUID 102 is 1.1.\nWhen comparing average sensitivities, cortical values exceeded cerebellar values for all arrays, with cortex‐to‐cerebellum ratios of 1.30 (SQUID 102), 1.36 (SQUID 275), 1.46 (OPM 102), 1.64 (OPM 275), 1.35 (Triaxial OPM 102), and 1.53 (Triaxial OPM 275). Thus, while OPM arrays substantially increased absolute sensitivity for both regions (average sensitivity rising from 1.67 pT to 8.69 pT in the cerebellum and from 2.17 to 13.31 pT in the cortex), they did not narrow the cortex–cerebellum sensitivity gap.\nFigure 3 presents the sensitivity maps of Figure 2, but with the sensitivity normalized by the number of sensors in each array. This normalization highlights higher per‐sensor sensitivity in the 102‐sensor arrays (top row) compared to the 275‐sensor arrays (bottom row). The highest per‐sensor sensitivity is observed with Triaxial OPM 102 configuration, while the lowest is seen with SQUID 275 array. The results indicate sub‐linear gain in sensitivity as a function of the sensor count.\nSensitivity maps normalized by the number of sensors for SQUID 102, OPM 102, Triaxial OPM 102, SQUID 275, OPM 275, and Triaxial OPM 275 sensor arrays. Each map is scaled between its 1st and 99th percentile of sensitivity. The maps are shown from lateral, posterior, and inferior views. Below each sensitivity map, a density plot illustrates the distribution of the sensitivity values within the colorbar range.\nTo illustrate the subspace angle‐based method, Figure 4A shows an example cortical patch in the occipital lobe and its average subspace correlation over similar patches in the cerebellum for the different sensor arrays. We generated these maps by scanning the cerebellum with patches of the same size as the cortical seed (radius 10 mm, seed spacing 15 mm). SQUID arrays yield the highest correlations, with average correlation (±standard deviation [SD]) of 0.75 (±0.06) and 0.69 (±0.07) for SQUID 102 and 275, respectively. OPM 102 lowers the average to 0.68 (±0.07), while OPM 275 reduces it further to 0.58 (±0.08). The lowest correlation values are obtained with triaxial OPM arrays: the averages for Triaxial OPM 102 and 275 are 0.48 (±0.10) and 0.45 (±0.10), respectively.\nSubspace‐correlation analysis between the cortex and the cerebellum. (A) An example cortical seed patch (radius 10 mm) in the occipital lobe. The cerebellum was scanned with patches of equal size (seed spacing 15 mm), and the subspace correlations between the lead‐field matrices from the patches were averaged. Colormaps show the resulting average cerebellar correlations with the seed patch. Density plots below each map display the distributions of the average correlation, with their averages marked by dashed lines. (B) The correlations across all the lead‐field subspaces between the cortical patch shown in (A) and the whole cerebellum. Density plots show the distributions with averages marked by dashed lines. (C) The average subspace correlation between the cortical patch and the whole cerebellum as a function of the patch location on the cortex. Each cortical patch was compared with the full cerebellar lead field as in (B).\nWe then calculated full cortical correlation maps by comparing each cortical patch lead field to the full cerebellar lead field. Figure 4B shows the results for the same occipital patch as in Figure 4A. This approach yields higher correlations overall and produces different density distributions. However, when averaged, the results converge toward those in Figure 4A.\nFigure 4C shows the full cortical correlation maps for all sensor arrays, together with density plots. SQUID 102 yields the highest correlations, with an average (±SD) of 0.60 (±0.12) and values ranging between 0.43 and 0.81 (the 5th and 95th percentiles, respectively). SQUID 275 performs slightly better than SQUID 102, averaging 0.56 (±0.12) with a 5th–95th percentile range of 0.39–0.77. OPM 102 lowers the mean correlation to 0.51 (±0.14), with a 5th–95th percentile range of 0.33–0.76, while Triaxial OPM 102 further reduces correlations to 0.42 (±0.16) within the range 0.22–0.71. OPM 275 lowers the mean to 0.42 (±0.14) with a 5th–95th percentile range of 0.23–0.68, and Triaxial OPM 275 reaches the lowest correlations, with an average of 0.39 (±0.17) and percentiles between 0.17 and 0.72. Across all arrays, correlations are highest in the occipital cortex, followed by temporal, parietal, and frontal regions. SQUID 102 and 275, and OPM 102 are the only arrays in which the average correlation exceeds 0.5.\nFigure 5 summarizes these results by showing the percentage of highly correlated subspaces (r>0.5). The trends match the full cortical maps: SQUID 102 retains the largest proportion of highly correlated subspaces, whereas Triaxial OPM 275 shows the smallest.\nPercentage of highly correlated subspaces (r>0.5) between the cortical patches and the cerebellum for each sensor array. Values were derived from the full cortical–cerebellar correlation results as shown in Figure 4B. Density plots show the distributions of correlation values across cortical patches.\nTotal information capacities (Itot, bits) for the cerebellum, cortex, and whole brain are summarized in Table 1 for the sensor arrays used in the previous simulations. Here, the source variance q2 was scaled so that the average SNR across the sources in the whole brain equaled 1 for SQUID 102. SQUID noise was fixed at 3fT/Hz, and OPM arrays were evaluated at 10 and 15fT/Hz noise levels. Since the effects arising from sensor overlap were not modeled, the overlapping region is shown in the plots with a lighter color to indicate reduced reliability of the estimates.\nTotal information capacities (Itot, bits) for the six sensor arrays used in the sensitivity and correlation map analyses.\nNote: For OPM arrays, the two values correspond to noise levels of 10 and 15fT/Hz.\nIn the cerebellum, Triaxial OPM 275 achieved the highest information capacities, exceeding SQUID 102 by more than a factor of two at both noise levels. In the cortex, Triaxial OPM 275 provided again the largest gain, reaching nearly five times the capacity of SQUID 102 even with the higher noise level. Whole‐brain Itot followed the same trend, increasing with both sensor count and the use of triaxial OPMs. Across all brain regions, raising the OPM noise level from 10 to 15fT/Hz reduced Itot by approximately 10%–15%.\nItot values for the increasing number of OPM and SQUID sensors are shown in Figure 6, with separate plots for the cerebellum, cortex, and whole brain. For OPMs, we again considered two noise levels: 10fT/Hz (dashed lines) and 15fT/Hz (solid lines). For SQUIDs, the noise level was fixed at 3fT/Hz.\nTotal information capacity (Itot) for cerebellum, cortex, and whole brain as a function of sensor count. SQUID arrays are in blue, single‐axis OPMs in red, and triaxial OPMs in orange. Solid and dashed lines indicate OPM noise levels of 15 and 10fT/Hz, respectively. SQUID noise level is fixed at 3fT/Hz. The lighter‐colored plot segments denote the range where the average distance between neighboring sensor elements becomes smaller than the physical sensor length (28 mm for SQUIDs and 17 mm for OPMs). The bottom row shows the SNRs of the orthogonalized channels for the 500‐sensor arrays, with accompanying zoomed insets for the first 100 channels.\nIn the cerebellum, the SQUID arrays reach 544 bits at 500 sensors. OPMs achieve higher capacities, with 693 bits (10fT/Hz) and 579 bits (15fT/Hz) at 500 sensors. Triaxial OPMs approximately double these values, reaching 1323 and 1066 bits for the respective noise levels. While triaxial OPMs consistently outperform other modalities, single‐axis OPMs surpass SQUIDs only beyond approximately 120 sensors at the higher noise level and beyond about 50 sensors at the lower noise level.\nIn the cortex, information capacity continues to rise with sensor count. SQUIDs reach 1802 bits, while OPMs yield 3064 bits (10fT/Hz) and 2779 bits (15fT/Hz) at 500 sensors, clearly surpassing the SQUID performance. Triaxial OPMs again show a large advantage, with highest information values of 6588 and 5757 bits.\nFor the whole brain, the Itot curves resemble those of the cortex but are consistently higher. SQUIDs reach 2051 bits, while OPMs yield 3223 and 2936 bits for the two noise levels. Triaxial OPMs achieve the highest capacities, with largest values of 7251 and 6396 bits. Importantly, the whole‐brain Itot is not a simple sum of cortical and cerebellar values, reflecting overlap in the information captured from these regions.\nBelow the Itot plots in Figure 6, we show the SNR values of the orthogonal channels for the 500‐sensor arrays, with separate plots for the cerebellum, cortex, and whole brain. While the Itot analysis was based on sensors, these SNR values are based on channels, meaning that a 500‐sensor triaxial OPM array corresponds to 1500 channels.\nIn all regions, SQUIDs exhibit the lowest SNRs per channel, except for the first 20 channels. Single‐axis OPMs show higher SNRs overall, particularly, for the 10fT/Hz noise level, while triaxial OPMs further improve the SNR distribution. Across all modalities, SNR values decrease gradually with increasing channel number, but the decline is steeper for SQUIDs than for OPMs, as shown in the insets. Interestingly, in the cortex and whole‐brain plots, the single‐axis OPMs with the lower noise level and the triaxial OPMs with the higher noise level perform nearly on par for the first 60 channels, after which the triaxial OPMs maintain higher SNRs. This behaviour is also evident in the Itot plots, where the corresponding curves closely follow each other at low sensor counts. However, for the cerebellum, triaxial OPMs maintain substantially higher SNRs already with low number of channels.\n\n\n### Sensitivity Maps\nSensitivity maps for the different sensor arrays are shown in Figure 2, with accompanying density plots illustrating the distribution of sensitivity values. The overall spatial distribution of sensitivity is similar across the sensor arrays. Sensitivity is highest near the skull and in the posterior lobe of the cerebellum, particularly, between the primary and horizontal fissures. Lower sensitivity is observed in medial and lateral regions, including the vermal area, and the lowest values occur in deep cerebellar structures, especially near the cerebellar peduncles and tonsil.\nSensitivity maps for SQUID 102, OPM 102, Triaxial OPM 102, SQUID 275, OPM 275, and Triaxial OPM 275 sensor arrays. Each map is scaled between its 1st and 99th percentile of the sensitivity; the colorbar is therefore scaled between the 1st and 99th percentiles of all sensitivity maps. The maps are shown from lateral, posterior, and inferior views. Below each sensitivity map, a density plot illustrates the distribution of both cortical (blue) and cerebellar (red) sensitivity values within the colorbar range.\nFor SQUID 102 and 275, most sensitivity values remain below 3 pT for the cerebellum, with 95th percentiles of 2.7 and 3.1 pT, respectively. The difference between the two is modest: SQUID 275 achieves slightly higher maximum sensitivity, but their main density peaks remain close (1.6 pT for SQUID 102 and 1.8 pT for SQUID 275). OPM 102 reaches a 95th percentile of 7.4 pT for the cerebellum, while OPM 275 yields even higher signals with a 95th percentile of 11.1 pT. The peak density for OPM 102 is around 3.7 pT, whereas OPM 275 shows a broader and higher peak at 5.1 pT. Triaxial OPM 102 extends the 95th percentile sensitivity range up to about 12.5 pT, and Triaxial OPM 275 reaches 18.6 pT. Compared to OPM 102, Triaxial OPM 102 broadens and shifts the main cerebellar density peak from 3.7 to 4.4 pT, while Triaxial OPM 275 shifts it further to around 6.3 pT.\nWhen averaged over all cerebellar sources, the OPM arrays increase sensitivity to the cerebellum relative to SQUID 102 by factors of 2.4, 3.7, 3.4, and 5.2 for OPM 102, OPM 275, Triaxial OPM 102, and Triaxial OPM 275, respectively. The same ratio of SQUID 275 to SQUID 102 is 1.1.\nWhen comparing average sensitivities, cortical values exceeded cerebellar values for all arrays, with cortex‐to‐cerebellum ratios of 1.30 (SQUID 102), 1.36 (SQUID 275), 1.46 (OPM 102), 1.64 (OPM 275), 1.35 (Triaxial OPM 102), and 1.53 (Triaxial OPM 275). Thus, while OPM arrays substantially increased absolute sensitivity for both regions (average sensitivity rising from 1.67 pT to 8.69 pT in the cerebellum and from 2.17 to 13.31 pT in the cortex), they did not narrow the cortex–cerebellum sensitivity gap.\nFigure 3 presents the sensitivity maps of Figure 2, but with the sensitivity normalized by the number of sensors in each array. This normalization highlights higher per‐sensor sensitivity in the 102‐sensor arrays (top row) compared to the 275‐sensor arrays (bottom row). The highest per‐sensor sensitivity is observed with Triaxial OPM 102 configuration, while the lowest is seen with SQUID 275 array. The results indicate sub‐linear gain in sensitivity as a function of the sensor count.\nSensitivity maps normalized by the number of sensors for SQUID 102, OPM 102, Triaxial OPM 102, SQUID 275, OPM 275, and Triaxial OPM 275 sensor arrays. Each map is scaled between its 1st and 99th percentile of sensitivity. The maps are shown from lateral, posterior, and inferior views. Below each sensitivity map, a density plot illustrates the distribution of the sensitivity values within the colorbar range.\n\n\n### Correlation Maps\nTo illustrate the subspace angle‐based method, Figure 4A shows an example cortical patch in the occipital lobe and its average subspace correlation over similar patches in the cerebellum for the different sensor arrays. We generated these maps by scanning the cerebellum with patches of the same size as the cortical seed (radius 10 mm, seed spacing 15 mm). SQUID arrays yield the highest correlations, with average correlation (±standard deviation [SD]) of 0.75 (±0.06) and 0.69 (±0.07) for SQUID 102 and 275, respectively. OPM 102 lowers the average to 0.68 (±0.07), while OPM 275 reduces it further to 0.58 (±0.08). The lowest correlation values are obtained with triaxial OPM arrays: the averages for Triaxial OPM 102 and 275 are 0.48 (±0.10) and 0.45 (±0.10), respectively.\nSubspace‐correlation analysis between the cortex and the cerebellum. (A) An example cortical seed patch (radius 10 mm) in the occipital lobe. The cerebellum was scanned with patches of equal size (seed spacing 15 mm), and the subspace correlations between the lead‐field matrices from the patches were averaged. Colormaps show the resulting average cerebellar correlations with the seed patch. Density plots below each map display the distributions of the average correlation, with their averages marked by dashed lines. (B) The correlations across all the lead‐field subspaces between the cortical patch shown in (A) and the whole cerebellum. Density plots show the distributions with averages marked by dashed lines. (C) The average subspace correlation between the cortical patch and the whole cerebellum as a function of the patch location on the cortex. Each cortical patch was compared with the full cerebellar lead field as in (B).\nWe then calculated full cortical correlation maps by comparing each cortical patch lead field to the full cerebellar lead field. Figure 4B shows the results for the same occipital patch as in Figure 4A. This approach yields higher correlations overall and produces different density distributions. However, when averaged, the results converge toward those in Figure 4A.\nFigure 4C shows the full cortical correlation maps for all sensor arrays, together with density plots. SQUID 102 yields the highest correlations, with an average (±SD) of 0.60 (±0.12) and values ranging between 0.43 and 0.81 (the 5th and 95th percentiles, respectively). SQUID 275 performs slightly better than SQUID 102, averaging 0.56 (±0.12) with a 5th–95th percentile range of 0.39–0.77. OPM 102 lowers the mean correlation to 0.51 (±0.14), with a 5th–95th percentile range of 0.33–0.76, while Triaxial OPM 102 further reduces correlations to 0.42 (±0.16) within the range 0.22–0.71. OPM 275 lowers the mean to 0.42 (±0.14) with a 5th–95th percentile range of 0.23–0.68, and Triaxial OPM 275 reaches the lowest correlations, with an average of 0.39 (±0.17) and percentiles between 0.17 and 0.72. Across all arrays, correlations are highest in the occipital cortex, followed by temporal, parietal, and frontal regions. SQUID 102 and 275, and OPM 102 are the only arrays in which the average correlation exceeds 0.5.\nFigure 5 summarizes these results by showing the percentage of highly correlated subspaces (r>0.5). The trends match the full cortical maps: SQUID 102 retains the largest proportion of highly correlated subspaces, whereas Triaxial OPM 275 shows the smallest.\nPercentage of highly correlated subspaces (r>0.5) between the cortical patches and the cerebellum for each sensor array. Values were derived from the full cortical–cerebellar correlation results as shown in Figure 4B. Density plots show the distributions of correlation values across cortical patches.\n\n\n### Information Capacity\nTotal information capacities (Itot, bits) for the cerebellum, cortex, and whole brain are summarized in Table 1 for the sensor arrays used in the previous simulations. Here, the source variance q2 was scaled so that the average SNR across the sources in the whole brain equaled 1 for SQUID 102. SQUID noise was fixed at 3fT/Hz, and OPM arrays were evaluated at 10 and 15fT/Hz noise levels. Since the effects arising from sensor overlap were not modeled, the overlapping region is shown in the plots with a lighter color to indicate reduced reliability of the estimates.\nTotal information capacities (Itot, bits) for the six sensor arrays used in the sensitivity and correlation map analyses.\nNote: For OPM arrays, the two values correspond to noise levels of 10 and 15fT/Hz.\nIn the cerebellum, Triaxial OPM 275 achieved the highest information capacities, exceeding SQUID 102 by more than a factor of two at both noise levels. In the cortex, Triaxial OPM 275 provided again the largest gain, reaching nearly five times the capacity of SQUID 102 even with the higher noise level. Whole‐brain Itot followed the same trend, increasing with both sensor count and the use of triaxial OPMs. Across all brain regions, raising the OPM noise level from 10 to 15fT/Hz reduced Itot by approximately 10%–15%.\nItot values for the increasing number of OPM and SQUID sensors are shown in Figure 6, with separate plots for the cerebellum, cortex, and whole brain. For OPMs, we again considered two noise levels: 10fT/Hz (dashed lines) and 15fT/Hz (solid lines). For SQUIDs, the noise level was fixed at 3fT/Hz.\nTotal information capacity (Itot) for cerebellum, cortex, and whole brain as a function of sensor count. SQUID arrays are in blue, single‐axis OPMs in red, and triaxial OPMs in orange. Solid and dashed lines indicate OPM noise levels of 15 and 10fT/Hz, respectively. SQUID noise level is fixed at 3fT/Hz. The lighter‐colored plot segments denote the range where the average distance between neighboring sensor elements becomes smaller than the physical sensor length (28 mm for SQUIDs and 17 mm for OPMs). The bottom row shows the SNRs of the orthogonalized channels for the 500‐sensor arrays, with accompanying zoomed insets for the first 100 channels.\nIn the cerebellum, the SQUID arrays reach 544 bits at 500 sensors. OPMs achieve higher capacities, with 693 bits (10fT/Hz) and 579 bits (15fT/Hz) at 500 sensors. Triaxial OPMs approximately double these values, reaching 1323 and 1066 bits for the respective noise levels. While triaxial OPMs consistently outperform other modalities, single‐axis OPMs surpass SQUIDs only beyond approximately 120 sensors at the higher noise level and beyond about 50 sensors at the lower noise level.\nIn the cortex, information capacity continues to rise with sensor count. SQUIDs reach 1802 bits, while OPMs yield 3064 bits (10fT/Hz) and 2779 bits (15fT/Hz) at 500 sensors, clearly surpassing the SQUID performance. Triaxial OPMs again show a large advantage, with highest information values of 6588 and 5757 bits.\nFor the whole brain, the Itot curves resemble those of the cortex but are consistently higher. SQUIDs reach 2051 bits, while OPMs yield 3223 and 2936 bits for the two noise levels. Triaxial OPMs achieve the highest capacities, with largest values of 7251 and 6396 bits. Importantly, the whole‐brain Itot is not a simple sum of cortical and cerebellar values, reflecting overlap in the information captured from these regions.\nBelow the Itot plots in Figure 6, we show the SNR values of the orthogonal channels for the 500‐sensor arrays, with separate plots for the cerebellum, cortex, and whole brain. While the Itot analysis was based on sensors, these SNR values are based on channels, meaning that a 500‐sensor triaxial OPM array corresponds to 1500 channels.\nIn all regions, SQUIDs exhibit the lowest SNRs per channel, except for the first 20 channels. Single‐axis OPMs show higher SNRs overall, particularly, for the 10fT/Hz noise level, while triaxial OPMs further improve the SNR distribution. Across all modalities, SNR values decrease gradually with increasing channel number, but the decline is steeper for SQUIDs than for OPMs, as shown in the insets. Interestingly, in the cortex and whole‐brain plots, the single‐axis OPMs with the lower noise level and the triaxial OPMs with the higher noise level perform nearly on par for the first 60 channels, after which the triaxial OPMs maintain higher SNRs. This behaviour is also evident in the Itot plots, where the corresponding curves closely follow each other at low sensor counts. However, for the cerebellum, triaxial OPMs maintain substantially higher SNRs already with low number of channels.\n\n\n### Discussion\nWe used forward modeling to compare OPM‐ and SQUID‐based MEG sensor arrays in detecting magnetic fields originating from the cerebellum. We included commercial SQUID‐sensor layouts from the Vectorview and CTF systems (102 magnetometers and 275 axial gradiometers; denoted as SQUID 102 and 275, respectively), as well as matched arrays of single‐axis (OPM 102 and 275) and triaxial OPMs (Triaxial OPM 102 and 275). We assessed their performance using sensitivity maps, subspace correlations of their cerebellar and cortical lead‐field matrices, and total information capacity Itot.\nOverall, the sensitivity maps showed a clear benefit for OPMs over SQUIDs in detecting cerebellar activity. Compared to SQUID 102, single‐axis OPMs produced more than twice higher signal amplitudes in superficial cerebellar areas for the 102‐sensor configuration and over three times higher for the 275‐sensor configuration. Triaxial OPMs further increased the signal, reaching almost four times higher amplitudes with 102 sensors and over five times higher with 275 sensors. These improvements arise from the reduced sensor‐to‐scalp distance and the ability of triaxial sensors to capture the whole magnetic field vector at once. The deep cerebellar sources also produced stronger signals with both OPM types than with SQUIDs, which is reasonable given that the cerebellar mean signal strength was below 2 pT for both SQUID configurations, whereas all OPM configurations showed mean values starting from about 4 pT (OPM 102) and extending to almost 9 pT (Triaxial OPM 275), indicating better coverage of posterior cerebellar regions. However, in general, the deep cortical sources showed less improvement than the superficial sources, which reflects the general difficulty of MEG in accessing signals from the deep cortical areas.\nWhen we scaled the sensitivity maps by the number of sensors in each array, Triaxial OPM 275 did not show the strongest sensitivity per sensor, but Triaxial OPM 102 provided the highest per‐sensor signal strength. This shows that the relationship between signal strength and sensor count is not linear. Adding sensors increases the total measured signal, but the marginal gain per sensor decreases, likely due to spatial oversampling. Beyond a certain sensor density, additional sensors may not substantially improve coverage or sensitivity unless they capture genuinely new and independent field information. However, having more sensors than the theoretical minimum is still advantageous, as it increases robustness against potential sensor failures. When comparing single‐axis and triaxial OPM arrays with the same number of sensors (but triaxial OPM array having three times more channels due to all orthogonal field components being measured), the sensitivity per sensor was higher in the triaxial arrays. This shows that measuring the full field vector is beneficial especially in the regime of medium‐density spatial sampling (102 sensors), but improvements were also seen in the regime of dense spatial sampling (275 sensors). This result originates from the fact that normal and the tangential sensors have different lead fields (Iivanainen et al. 2017): normal sensors are sensitive to the sources around the sensors, while tangential sensors are sensitive to sources directly beneath the sensor. Similar results have been shown by (Boto et al. 2022), where the authors show that triaxial sensors improve the coverage of the cortex.\nThe sensitivity maps also highlight a well‐known characteristic of MEG: signals that originate from gyri tend to be weaker than those from sulci as the former are parallel to the surface normals of the head‐conductivity boundaries (radial direction in the spherical conductor model). In this respect, the cerebellum is no different from the cortex. However, this orientation dependence is pronounced in the cerebellum, where small changes in the source orientation due to the cerebellum's high folding strongly affect measured signal strength. This makes the sensitivity maps patchy or spotted within the cerebellum.\nThe correlation maps provided complementary insight by showing that OPMs reduced lead field similarity between cerebellar and cortical sources. This reduction is important for separating signals originating from the cortex and the cerebellum. With OPM 102, the improvements relative to SQUID 102 were modest, but with denser layouts, as in the SQUID 275‐matched array (OPM 275), the reduction became more pronounced. Results for SQUID 102 and 275 were similar, showing that adding SQUID sensors beyond 100 sensors does not really benefit in this respect. Triaxial OPMs performed best, lowering correlation values well below 0.5 for most cortical sources. While OPM 275 already achieved strong field separability, the Triaxial OPM 102 reached similar results, demonstrating the benefit of triaxial sensors over single‐axis ones. With 275 OPMs, triaxial sensors only marginally reduce the correlations compared to single‐axis ones. This result shows that close‐to‐minimal lead‐field correlations can be achieved with 102 triaxial OPMs. In contrast, OPM 102 without triaxial channels still left many cortical areas critical for cerebellar investigations highly correlated. When we summarized the correlation results by the percentage of highly correlated subspace angles, the overall trends followed the full correlation maps. Even with OPM 102, the mean percentage of highly correlated subspaces was reduced to 50%.\nThe correlation maps show that the correlations between the cerebellum and the cortex decrease as a function of their distance, as expected. The highest cortico‐cerebral lead‐field correlations, regardless of the sensor array, are in the posterior cortical regions and in the medial occipital cortex. With OPM 275 and Triaxial OPM 102, the posterior regions were less influenced, but the medial regions remained highly correlated. For example, the fusiform gyrus showed little benefit from increasing the number of sensors and only a small improvement when moving from SQUIDs to OPMs. Altogether, the correlation analysis indicates that the OPM arrays could reduce the spatial leakage of the cerebellar source estimates to most source regions, for example, to the primary visual cortex.\nTotal information capacity Itot further supported the advantage of OPMs, particularly of triaxial sensors. Across the whole brain, OPMs outperformed SQUIDs even with similar channel counts. For the cerebellum, triaxial OPMs provided a clear advantage, while single‐axis OPMs exceeded SQUID performance with sensor counts above 50 and 120 for lower and higher noise levels, respectively. This suggests that for cerebellar studies using single‐axis OPMs with around 100 sensors, achieving meaningful information gains requires lower noise levels. With triaxial OPMs, the benefits were already visible at lower numbers of sensors and higher noise levels. Although a 500‐sensor whole‐head array is not yet realistic, local high‐density triaxial arrays of about 100 sensors could already provide substantial improvements. The increased information capacity reflects both closer proximity to sources and improved spatial sampling of OPMs over SQUIDs, even when they have a higher noise level (10–15 vs. 3 fT/Hz).\nSNR as a function of the orthogonal channels in the 500‐sensor arrays also demonstrate the benefits of triaxial sensors in measuring the cerebellum. Triaxial OPMs maintained higher SNR values across the orthogonal channels of the entire 500‐sensor array, while single‐axis OPMs still competed with SQUIDs in the cerebellum. The SNR plots also showed differences between the cortex and the cerebellum. In the cortex and the whole brain, single‐axis OPMs with 10 fT/Hz noise level performed nearly on par with triaxial OPMs with 15 fT/Hz noise for the first 60 orthogonal channels. In contrast, in the cerebellum, triaxial OPMs with 15 fT/Hz noise showed higher SNR than single‐axis sensors with 10 fT/Hz noise.\nWe also evaluated the conservation factor C=A/B, which quantifies the relationship between the net signal produced by simultaneously active sources (A=∥∑jL:,j∥2) and the absolute signal defined as the sum of the signals produced if these sources were activated individually (B=∑j∥L:,j∥2). Consistent with earlier studies (Ahlfors et al. 2010; Samuelsson, Sundaram, et al. 2020), C did not differ across the sensor types and arrays. This likely reflects the dominance of low spatial frequency components in MEG signals, which are more sensitive to signal cancellation due to nearby sources. Even though OPMs are closer to the scalp, the basic nature of MEG measurements limits improvements in C. Moreover, this metric does not include sensor or external noise, so the increased SNR from reduced sensor‐to‐brain distance does not directly affect C. Together with previous findings, our results confirm that while OPMs improve sensitivity and reduce spatial correlation of field patterns, they do not alter the overall cancellation pattern.\nMotivated by the work by Iivanainen et al. (2017), where the authors suggested that tangential OPM sensors may be more sensitive to forward‐model errors than normal‐component measuring OPMs and SQUIDs, we briefly assessed the sensitivity of the OPM and SQUID arrays to forward‐model errors in the cortex and the cerebellum. We compared cortical and cerebellar topographies computed with three‐layer and one‐layer BEM models by computing the relative error (RE) and correlation coefficient (CC) between them (Iivanainen et al. 2017). For the cortical topographies, the mean RE (CC) was 17.79% (0.98), 18.39% (0.98), and 22.10% (0.97) for normal‐component OPMs, tangential OPMs, and SQUIDs, respectively. The corresponding mean REs (CCs) for the cerebellar sources were 24.29% (0.97), 24.11% (0.97), and 28.05% (0.96), respectively. This analysis suggests that tangential OPMs are not necessarily more sensitive to forward‐modeling errors than normal‐component OPMs, while SQUIDs might be slightly more sensitive to those errors than OPMs. However, the analysis clearly suggests that cerebellar sources are affected more by the head model than cortical sources, indicating that more accurate forward modeling may be required for the cerebellum.\nWe acknowledge that more studies are needed to fully understand the head‐modeling requirements for the cerebellum and the cortex as well as for the radial and tangential OPMs. Especially, it would be of interest to assess the need of four‐layer BEM models (Stenroos and Nummenmaa 2016) or even more detailed approaches based on finite element models (Vorwerk et al. 2014) for accurate cerebellar source estimation. In future studies, numerical and anatomical errors in the head modeling should be analyzed separately as the sensor arrays might have a different sensitivity to them.\nThe methods we introduced here provide practical tools for planning cerebellar MEG studies. Sensitivity maps can help identify promising target regions and show, for instance, that the flocculonodular lobe is more difficult to measure than posterior cerebellar lobes. They also underline the challenges of accessing deep cortical regions, where further advances in imaging methods are still needed. Correlation maps, in turn, can help evaluate potential ambiguities between cerebellar and cortical activity. For example, if we observe activation in a cortical area, we can compare its field correlation against candidate cerebellar regions to test whether the cerebellar and cortical activity can be reliably separated. This is especially useful when studying visual networks, as several cerebellar regions involved, particularly, around the posterior lobule VI, lie close to the ventral occipitotemporal cortex, making the distinction between cerebellar and occipital signals critical (Claeys et al. 2003).\nOne limitation of this study concerns the cerebellar model resolution. Sensitivity maps were computed on a high‐resolution source space, allowing detailed spatial comparison. However, due to computational constraints, correlation maps and Itot metrics were based on a lower‐resolution model. This may slightly reduce spatial precision and underestimate potential differences between sensor types.\nAdditionally, in Itot simulations we did not take into account some aspects of real behaviour of sensors and sensor arrays. As seen in Figure 1B, the SQUID sensors started to overlap at high sensor counts. In realistic SQUID arrays, the sizes of the SQUID pick‐up loops would be reduced to prevent sensor overlap. This in turn increases the SQUID sensor noise, which would affect the Itot calculations so that Itot would plateau or even reduce at the point where the SQUID pick‐up loops start to overlap (Nenonen et al. 2004). Thereby, our Itot curves overestimate the information capacity of SQUID sensor arrays at high sensor counts. This same also applies for OPMs (Bezsudnova et al. 2022), but to a lesser extent: OPMs are inherently smaller than SQUIDs and high‐density multichannel OPMs can be constructed by using large vapor cells containing multiple channels (see, e.g., Xu et al. 2025).\nAnother limitation in our Itot calculations is related to the noise in single‐axis versus triaxial OPMs. Typically, triaxial OPMs have a higher noise floor than single‐axis ones. However, comparison between Itot curves of triaxial OPMs with a noise floor of 15 fT/Hz and single‐axis ones with a 10 fT/Hz noise floor should give a realistic view as these noise figures are close to what is typically achieved with single‐axis and triaxial OPM sensors (QuSpin Inc. 2025).\nWe studied the utility of uniform whole‐head OPM‐based sensor arrays in detecting cerebellar activity. However, OPMs offer flexible sensor placement and, in principle, partial‐coverage sensor arrays that target the cerebellum could be designed and constructed using sensor‐array‐optimization methods (see, e.g., Iivanainen et al. 2021). Given the technical and financial constraints of whole‐head OPM arrays with many sensors, locally increased sensor density, especially around the cerebellum, may allow to reach similar performance with a reduced sensor count. In addition, it would be interesting to study the reach of the cerebellar magnetic fields to outline the area where sensor placing is beneficial.\nFuture studies could also include more detailed analyses of signal cancellation. For instance, computing the conservation factor C as a function of spatial frequency could reveal differences between systems not captured by the global metric alone.\nFinally, these results point toward a broader shift in MEG research. Cerebellar activity has often been excluded by convention rather than necessity. Our findings show that the magnetic field patterns from cortical sources overlap with those from the cerebellum, underlining the importance of including the cerebellum in future MEG studies. Moving toward whole‐brain MEG source analysis will be essential for a more complete understanding of human brain dynamics.\n\n\n### Comparison of Sensor Types\nWe used forward modeling to compare OPM‐ and SQUID‐based MEG sensor arrays in detecting magnetic fields originating from the cerebellum. We included commercial SQUID‐sensor layouts from the Vectorview and CTF systems (102 magnetometers and 275 axial gradiometers; denoted as SQUID 102 and 275, respectively), as well as matched arrays of single‐axis (OPM 102 and 275) and triaxial OPMs (Triaxial OPM 102 and 275). We assessed their performance using sensitivity maps, subspace correlations of their cerebellar and cortical lead‐field matrices, and total information capacity Itot.\nOverall, the sensitivity maps showed a clear benefit for OPMs over SQUIDs in detecting cerebellar activity. Compared to SQUID 102, single‐axis OPMs produced more than twice higher signal amplitudes in superficial cerebellar areas for the 102‐sensor configuration and over three times higher for the 275‐sensor configuration. Triaxial OPMs further increased the signal, reaching almost four times higher amplitudes with 102 sensors and over five times higher with 275 sensors. These improvements arise from the reduced sensor‐to‐scalp distance and the ability of triaxial sensors to capture the whole magnetic field vector at once. The deep cerebellar sources also produced stronger signals with both OPM types than with SQUIDs, which is reasonable given that the cerebellar mean signal strength was below 2 pT for both SQUID configurations, whereas all OPM configurations showed mean values starting from about 4 pT (OPM 102) and extending to almost 9 pT (Triaxial OPM 275), indicating better coverage of posterior cerebellar regions. However, in general, the deep cortical sources showed less improvement than the superficial sources, which reflects the general difficulty of MEG in accessing signals from the deep cortical areas.\nWhen we scaled the sensitivity maps by the number of sensors in each array, Triaxial OPM 275 did not show the strongest sensitivity per sensor, but Triaxial OPM 102 provided the highest per‐sensor signal strength. This shows that the relationship between signal strength and sensor count is not linear. Adding sensors increases the total measured signal, but the marginal gain per sensor decreases, likely due to spatial oversampling. Beyond a certain sensor density, additional sensors may not substantially improve coverage or sensitivity unless they capture genuinely new and independent field information. However, having more sensors than the theoretical minimum is still advantageous, as it increases robustness against potential sensor failures. When comparing single‐axis and triaxial OPM arrays with the same number of sensors (but triaxial OPM array having three times more channels due to all orthogonal field components being measured), the sensitivity per sensor was higher in the triaxial arrays. This shows that measuring the full field vector is beneficial especially in the regime of medium‐density spatial sampling (102 sensors), but improvements were also seen in the regime of dense spatial sampling (275 sensors). This result originates from the fact that normal and the tangential sensors have different lead fields (Iivanainen et al. 2017): normal sensors are sensitive to the sources around the sensors, while tangential sensors are sensitive to sources directly beneath the sensor. Similar results have been shown by (Boto et al. 2022), where the authors show that triaxial sensors improve the coverage of the cortex.\nThe sensitivity maps also highlight a well‐known characteristic of MEG: signals that originate from gyri tend to be weaker than those from sulci as the former are parallel to the surface normals of the head‐conductivity boundaries (radial direction in the spherical conductor model). In this respect, the cerebellum is no different from the cortex. However, this orientation dependence is pronounced in the cerebellum, where small changes in the source orientation due to the cerebellum's high folding strongly affect measured signal strength. This makes the sensitivity maps patchy or spotted within the cerebellum.\nThe correlation maps provided complementary insight by showing that OPMs reduced lead field similarity between cerebellar and cortical sources. This reduction is important for separating signals originating from the cortex and the cerebellum. With OPM 102, the improvements relative to SQUID 102 were modest, but with denser layouts, as in the SQUID 275‐matched array (OPM 275), the reduction became more pronounced. Results for SQUID 102 and 275 were similar, showing that adding SQUID sensors beyond 100 sensors does not really benefit in this respect. Triaxial OPMs performed best, lowering correlation values well below 0.5 for most cortical sources. While OPM 275 already achieved strong field separability, the Triaxial OPM 102 reached similar results, demonstrating the benefit of triaxial sensors over single‐axis ones. With 275 OPMs, triaxial sensors only marginally reduce the correlations compared to single‐axis ones. This result shows that close‐to‐minimal lead‐field correlations can be achieved with 102 triaxial OPMs. In contrast, OPM 102 without triaxial channels still left many cortical areas critical for cerebellar investigations highly correlated. When we summarized the correlation results by the percentage of highly correlated subspace angles, the overall trends followed the full correlation maps. Even with OPM 102, the mean percentage of highly correlated subspaces was reduced to 50%.\nThe correlation maps show that the correlations between the cerebellum and the cortex decrease as a function of their distance, as expected. The highest cortico‐cerebral lead‐field correlations, regardless of the sensor array, are in the posterior cortical regions and in the medial occipital cortex. With OPM 275 and Triaxial OPM 102, the posterior regions were less influenced, but the medial regions remained highly correlated. For example, the fusiform gyrus showed little benefit from increasing the number of sensors and only a small improvement when moving from SQUIDs to OPMs. Altogether, the correlation analysis indicates that the OPM arrays could reduce the spatial leakage of the cerebellar source estimates to most source regions, for example, to the primary visual cortex.\nTotal information capacity Itot further supported the advantage of OPMs, particularly of triaxial sensors. Across the whole brain, OPMs outperformed SQUIDs even with similar channel counts. For the cerebellum, triaxial OPMs provided a clear advantage, while single‐axis OPMs exceeded SQUID performance with sensor counts above 50 and 120 for lower and higher noise levels, respectively. This suggests that for cerebellar studies using single‐axis OPMs with around 100 sensors, achieving meaningful information gains requires lower noise levels. With triaxial OPMs, the benefits were already visible at lower numbers of sensors and higher noise levels. Although a 500‐sensor whole‐head array is not yet realistic, local high‐density triaxial arrays of about 100 sensors could already provide substantial improvements. The increased information capacity reflects both closer proximity to sources and improved spatial sampling of OPMs over SQUIDs, even when they have a higher noise level (10–15 vs. 3 fT/Hz).\nSNR as a function of the orthogonal channels in the 500‐sensor arrays also demonstrate the benefits of triaxial sensors in measuring the cerebellum. Triaxial OPMs maintained higher SNR values across the orthogonal channels of the entire 500‐sensor array, while single‐axis OPMs still competed with SQUIDs in the cerebellum. The SNR plots also showed differences between the cortex and the cerebellum. In the cortex and the whole brain, single‐axis OPMs with 10 fT/Hz noise level performed nearly on par with triaxial OPMs with 15 fT/Hz noise for the first 60 orthogonal channels. In contrast, in the cerebellum, triaxial OPMs with 15 fT/Hz noise showed higher SNR than single‐axis sensors with 10 fT/Hz noise.\nWe also evaluated the conservation factor C=A/B, which quantifies the relationship between the net signal produced by simultaneously active sources (A=∥∑jL:,j∥2) and the absolute signal defined as the sum of the signals produced if these sources were activated individually (B=∑j∥L:,j∥2). Consistent with earlier studies (Ahlfors et al. 2010; Samuelsson, Sundaram, et al. 2020), C did not differ across the sensor types and arrays. This likely reflects the dominance of low spatial frequency components in MEG signals, which are more sensitive to signal cancellation due to nearby sources. Even though OPMs are closer to the scalp, the basic nature of MEG measurements limits improvements in C. Moreover, this metric does not include sensor or external noise, so the increased SNR from reduced sensor‐to‐brain distance does not directly affect C. Together with previous findings, our results confirm that while OPMs improve sensitivity and reduce spatial correlation of field patterns, they do not alter the overall cancellation pattern.\nMotivated by the work by Iivanainen et al. (2017), where the authors suggested that tangential OPM sensors may be more sensitive to forward‐model errors than normal‐component measuring OPMs and SQUIDs, we briefly assessed the sensitivity of the OPM and SQUID arrays to forward‐model errors in the cortex and the cerebellum. We compared cortical and cerebellar topographies computed with three‐layer and one‐layer BEM models by computing the relative error (RE) and correlation coefficient (CC) between them (Iivanainen et al. 2017). For the cortical topographies, the mean RE (CC) was 17.79% (0.98), 18.39% (0.98), and 22.10% (0.97) for normal‐component OPMs, tangential OPMs, and SQUIDs, respectively. The corresponding mean REs (CCs) for the cerebellar sources were 24.29% (0.97), 24.11% (0.97), and 28.05% (0.96), respectively. This analysis suggests that tangential OPMs are not necessarily more sensitive to forward‐modeling errors than normal‐component OPMs, while SQUIDs might be slightly more sensitive to those errors than OPMs. However, the analysis clearly suggests that cerebellar sources are affected more by the head model than cortical sources, indicating that more accurate forward modeling may be required for the cerebellum.\nWe acknowledge that more studies are needed to fully understand the head‐modeling requirements for the cerebellum and the cortex as well as for the radial and tangential OPMs. Especially, it would be of interest to assess the need of four‐layer BEM models (Stenroos and Nummenmaa 2016) or even more detailed approaches based on finite element models (Vorwerk et al. 2014) for accurate cerebellar source estimation. In future studies, numerical and anatomical errors in the head modeling should be analyzed separately as the sensor arrays might have a different sensitivity to them.\n\n\n### Practical Implications\nThe methods we introduced here provide practical tools for planning cerebellar MEG studies. Sensitivity maps can help identify promising target regions and show, for instance, that the flocculonodular lobe is more difficult to measure than posterior cerebellar lobes. They also underline the challenges of accessing deep cortical regions, where further advances in imaging methods are still needed. Correlation maps, in turn, can help evaluate potential ambiguities between cerebellar and cortical activity. For example, if we observe activation in a cortical area, we can compare its field correlation against candidate cerebellar regions to test whether the cerebellar and cortical activity can be reliably separated. This is especially useful when studying visual networks, as several cerebellar regions involved, particularly, around the posterior lobule VI, lie close to the ventral occipitotemporal cortex, making the distinction between cerebellar and occipital signals critical (Claeys et al. 2003).\n\n\n### Limitations\nOne limitation of this study concerns the cerebellar model resolution. Sensitivity maps were computed on a high‐resolution source space, allowing detailed spatial comparison. However, due to computational constraints, correlation maps and Itot metrics were based on a lower‐resolution model. This may slightly reduce spatial precision and underestimate potential differences between sensor types.\nAdditionally, in Itot simulations we did not take into account some aspects of real behaviour of sensors and sensor arrays. As seen in Figure 1B, the SQUID sensors started to overlap at high sensor counts. In realistic SQUID arrays, the sizes of the SQUID pick‐up loops would be reduced to prevent sensor overlap. This in turn increases the SQUID sensor noise, which would affect the Itot calculations so that Itot would plateau or even reduce at the point where the SQUID pick‐up loops start to overlap (Nenonen et al. 2004). Thereby, our Itot curves overestimate the information capacity of SQUID sensor arrays at high sensor counts. This same also applies for OPMs (Bezsudnova et al. 2022), but to a lesser extent: OPMs are inherently smaller than SQUIDs and high‐density multichannel OPMs can be constructed by using large vapor cells containing multiple channels (see, e.g., Xu et al. 2025).\nAnother limitation in our Itot calculations is related to the noise in single‐axis versus triaxial OPMs. Typically, triaxial OPMs have a higher noise floor than single‐axis ones. However, comparison between Itot curves of triaxial OPMs with a noise floor of 15 fT/Hz and single‐axis ones with a 10 fT/Hz noise floor should give a realistic view as these noise figures are close to what is typically achieved with single‐axis and triaxial OPM sensors (QuSpin Inc. 2025).\n\n\n### Future Directions\nWe studied the utility of uniform whole‐head OPM‐based sensor arrays in detecting cerebellar activity. However, OPMs offer flexible sensor placement and, in principle, partial‐coverage sensor arrays that target the cerebellum could be designed and constructed using sensor‐array‐optimization methods (see, e.g., Iivanainen et al. 2021). Given the technical and financial constraints of whole‐head OPM arrays with many sensors, locally increased sensor density, especially around the cerebellum, may allow to reach similar performance with a reduced sensor count. In addition, it would be interesting to study the reach of the cerebellar magnetic fields to outline the area where sensor placing is beneficial.\nFuture studies could also include more detailed analyses of signal cancellation. For instance, computing the conservation factor C as a function of spatial frequency could reveal differences between systems not captured by the global metric alone.\nFinally, these results point toward a broader shift in MEG research. Cerebellar activity has often been excluded by convention rather than necessity. Our findings show that the magnetic field patterns from cortical sources overlap with those from the cerebellum, underlining the importance of including the cerebellum in future MEG studies. Moving toward whole‐brain MEG source analysis will be essential for a more complete understanding of human brain dynamics.\n\n\n### Conclusion\nWe studied the use of OPMs over conventional SQUID sensors in detecting cerebellar activity. Our results indicate clear benefits for OPMs in terms of sensitivity, lead‐field correlations between the cortex and the cerebellum, as well as total information. Triaxial OPMs showed better performance than single‐axis OPMs in measuring the cerebellum. Importantly, our results indicate that the improvements provided by OPMs over SQUIDs can already be achieved with 102 triaxial OPM sensor arrays covering the whole head.\n\n\n### Funding\nThis work was supported by the National Institute of Neurological Disorders and Stroke (R01NS104585).\n\n\n### Conflicts of Interest\nThe authors declare no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC13080150", "title": "ASNTR 33rd Annual Conference Abstracts", "text": "# ASNTR 33rd Annual Conference Abstracts\n\n## Abstract\n\n\n## Full Text\n\n\n### Early Carvacrol Treatment Attenuates Acute Neuropathology Following Traumatic Brain Injury in Rats\nE. Abbasloo1, F. Kobeissy2, and T. Currier Thomas1\n1University of South Florida Morsani College of Medicine, Center of Excellence for Aging and Brain Repair, Tampa, FL 33612 USA\n2Center for Neurotrauma, Multiomics & Biomarkers, Department of Neurobiology and Neuroscience Institute, Morehouse School of Medicine, Atlanta, GA 30310 USA\nAbstract\nTraumatic brain injury (TBI) affects ~2.5 million Americans annually, with over 60,000 TBI-associated deaths reported. TBI is a leading cause of long-term disability, with ~5.3 million individuals in the United States living with persistent or late-onset TBI-related impairments. Carvacrol (CAR), a low-molecular-weight monoterpenoid abundant in oregano and Satureja species and widely used as a food additive, readily crosses the blood-brain barrier (BBB), and exhibits anti-inflammatory, anti-apoptotic, and anti-edematous properties; however, its efficacy as an early intervention for post-TBI neuropathology had not been evaluated. Male Wistar rats (250–300 g) underwent TBI using the Marmarou weight-drop model. Experimental groups included sham, TBI+vehicle, TBI+CAR (200 mg/kg, i.p.), and TBI+Satureja essential oil (SKEO) (200 mg/kg, i.p.), with treatments administered 30 min post-injury. Neurological status was measured at 4 and 24 hours post-injury using the Veterinary Coma Scale (VCS). At 24 hours post-injury, BBB permeability, edema, inflammation, oxidative stress, and cell death markers were assessed using Evans blue extravasation, Western blotting, and immunohistochemistry.  Compared to sham animals, TBI significantly increased brain edema, BBB disruption, neuroinflammatory cytokines (IL-1β, TNF-α, IL-6), oxidative stress markers (MDA, ROS), and MMP-9 and NF-κB p65 levels, while reducing antioxidant capacity (SOD, T-AOC) and tight junction proteins (ZO-1, occludin, and claudin-5). TBI also enhanced apoptosis (cleaved caspase-3, Bax/Bcl-2), increased neuron-specific enolase-positive neuronal death, and worsened VCS scores. Early treatment with CAR or SKEO largely prevented or markedly reduced the development of neuropathological changes, with outcomes comparable to sham controls. CAR consistently demonstrated superior efficacy relative to SKEO across all measured endpoints, including VCS scores, likely due to greater purity and fewer constituents. These findings support CAR as a promising, inexpensive, and widely available early therapeutic intervention for acute post-TBI neuropathology. Further studies are warranted to determine whether early CAR administration confers sustained protection against chronic and late-onset TBI-related pathophysiology.\nKeywords: Traumatic Brain Injury (TBI), Carvacrol, Essential oil, Early intervention, Neuroprotection\n\n\n### Targeting Glioblastoma via Co-delivery of Kif23 and Kif18a siRNAs Using G4 70/30 PAMAM Dendrimers\nN.A.Khiabani1,2,4, O.Dubey1,2,4, M.Singh6, B.Srinageshwar1,2,4, R. Petersen4, D.Swanson5, G.L. Dunbar1,2,3, and J. Rossignol 1,2,4\n1Field Neurosciences Institute Laboratory for Restorative Neurology\n2Program in Neuroscience\n3Department of Psychology\n4College of Medicine\n5Department of Chemistry and Biochemistry, Central Michigan University, The National Dendrimer & Nanotechnology Center\n6Mount Pleasant, MI, 48858, USA.\nGlioblastoma (GB) is the most aggressive primary brain tumor in adults, characterized by rapid cellular proliferation, therapeutic resistance, and an exceptionally poor prognosis. Aberrant expression of kinesin motor proteins, particularly Kif23 and Kif18a, is frequently observed in GB and plays a critical role in tumor cell division, survival, and invasive behavior. RNA interference (RNAi) using small interfering RNAs (siRNAs) represents a highly specific strategy to silence these oncogenic drivers; however, its clinical translation is hindered by challenges related to siRNA instability, limited cellular uptake, and off-target toxicity. Fourth generation (G4) 70/30 poly(amidoamine) (PAMAM) dendrimers have emerged as a promising nanocarrier platform, offering efficient siRNA protection, enhanced cellular internalization, and improved brain-targeted delivery.\nThis study investigates the co-delivery of Kif23 and Kif18a siRNAs using G4 70/30 PAMAM dendrimers in vitro and in vivo. Dendrimer–siRNA complexes formed stable nanostructures at an optimal N/P ratio of 1.5:1 and displayed minimal cytotoxicity in normal brain astrocytes. In GL261 mouse glioma cells, co-delivery resulted in significant knockdown of BCL2 gene and upregulation of BAX, indicating increased apoptosis. Wound healing assays revealed a marked reduction in cell migration, and the expression of migration markers MMP2, MMP7, and MMP9 was reduced significantly. A GB mouse model was established via intrastriatal implantation of GL261/luc2-tdtomato cells, with tumor growth confirmed through IVIS imaging and luciferase immunohistochemistry. Kif23 and Kif18a siRNA–loaded dendrimers were administered intracranially to the tumor site, and therapeutic efficacy was evaluated by analyzing animal survival as well as molecular markers associated with proliferation, apoptosis, migration, and stemness. These findings support the use of G4 70/30 PAMAM dendrimers as a safe and effective platform for co-delivering therapeutic siRNAs, reducing GB cell migration and advancing targeted nanomedicine for glioblastoma.\nSupport for this study was provided by the Neuroscience program, the College of Medicine, Office of Research and Sponsored Program, the E. Malcolm Field and Gary Leo Dunbar Endowed Chair, and the John G. Kulhavi Professorship in Neuroscience at CMU.\n\n\n### Extracellular Vesicles from hiPSC-Derived Neural Stem Cells Mitigate Tau Pathology and Neurogenesis Impairment in PS19 Mouse Model of Tauopathy\nR. S. Babu*, V. Rao, M. Kodali, Y. Somayaji, S. Attaluri, E. Narvekar, L.N. Madhu, X. Rao, B. Shuai, S. Rao, and A.K. Shetty\nInstitute for Regenerative Medicine, Department of Cell Biology and Genetics, Texas A&M University College of Medicine, College Station, Texas, USA.\nTauopathies are neurodegenerative diseases characterized primarily by the hyperphosphorylation of tau protein, which leads to the formation of neurofibrillary tangles within neurons. Extracellular vesicles (EVs) shed by human induced pluripotent stem cell (hiPSC)-derived neural stem cells (NSCs) carry a cargo of miRNAs and proteins capable of promoting antioxidant, antiinflammatory, neurogenic, and neuroprotective effects, as well as inhibiting tau phosphorylation. This study investigated the efficacy of hiPSC-NSC-EVs in alleviating tau hyperphosphorylation, a hallmark of tauopathy, and hippocampal neurogenesis decline, using the PS19 mouse model. Three-month-old female PS19 mice received four intranasal doses of hiPSC-NSC-EVs (15 billion EVs per dose, administered once every two weeks over 1.5 months). After completing the treatment regimen, the animals were assessed for hippocampus-dependent cognitive function using an object location task (OLT) and episodic-like memory using a behavioral pattern separation task (PST). The untreated PS19 mice failed to form an object location memory in the OLT, and their pattern separation ability was impaired compared to the naïve control mice. In contrast, the PS19 mice that received hiPSC-NSC-EVs treatment demonstrated proficiency in forming object location memory formation and pattern separation, suggesting better maintenance of hippocampus- dependent cognitive function and episodic memory encoding. The improved brain function in hiPSC- NSC-EVs-treated PS19 mice was associated with a significant reduction in tau phosphorylation, as measured through AT8 quantification using ELISA and western blot. Furthermore, analysis of hippocampal neurogenesis, measured through 5’- bromodeoxyuridine (BrdU) labeling of newly born cells and dual immunofluorescence with BrdU and neuron- specific nuclear antigen, revealed that hiPSC-NSC-EVs-treated PS19 mice displayed higher levels of neurogenesis than untreated PS19 mice, implying better preservation of hippocampal neurogenesis processes with hiPSC-NSC-EVs treatment. Thus, intermittent hiPSC-NSC-EVs treatment commencing from the early stage of tauopathy can maintain better cognitive function for extended periods, associated with significantly reduced tau phosphorylation and improved hippocampal neurogenesis.\nFunding: Supported by a grant from the National Institute on Aging (1RF1AG074256-01A1 to A.K.S.)\n\n\n### Impaired Mitophagy’s Relationship with Alzheimer’s Disease Pathogenesis\nM.N. Benson and H.M. Wilkins\nUniversity of Kansa Medical Center. Kansas City, Kansas, 66160, USA\nAlzheimer’s disease (AD) is a common neurodegenerative disorder marked by amyloid beta (Aβ) plaques and neurofibrillary tangles. Studies have revealed that damaged mitochondria accumulate across various AD disease models, suggesting disrupted mitochondrial quality control pathways. Mitophagy—the cellular process that removes dysfunctional mitochondria—has been shown to be impaired in AD, though its exact relationship to disease mechanisms remains unclear. This study investigates the relationship between mitophagy mechanisms and AD pathophysiology. Whole brain from 5xFAD and wild-type (WT) mice was use to collect whole cell, mitochondrial, and autophagosome components (AP). Mitochondrial DNA (mtDNA) copy number was measured from whole brain and AP fractions using qPCR. iPSC-derived cerebral organoid models were generated from both non-AD and sporadic AD (sAD) sources. These models were then separated into AP fractions and mtDNA copy number was measured using qPCR. Postmortem human brain was fractionated to collect whole cell, mitochondrial, and AP fractions from non-demented (ND) and sAD subjects. Aβ levels were measured in fractions using ELISA kits. iPSCs where used to derive neurons from ND and sAD subjects and lysosome number and autophagosome events were measured using LysoTracker and DAPRed fluorescent dyes. We observed a significant reduction in AP mtDNA content from 5xFAD mice from 2 months of age, while whole brain mtDNA was elevated in 5xFAD mice at 2 months of age but reduced at 12 months of age. Organoids derived from sAD iPSC donors also had reduced AP mtDNA content. Aβ levels were increased in whole and AP fractions in 5xFAD mouse samples, cerebral organoid models, and human postmortem brain. iPSC derived neurons from sAD donors had reduced lysosome content and autophagy events. Overall mitophagy is impaired across mouse and iPSC models of AD. Associations with Aβ pathology and other underlying mechanisms requires further investigation.\n\n\n### The Brain Does Not Heal Alone: Neuroplasticity and Social Context Operationalizations\nR. Campbell-Montalvo1, D. Lende2, N. Schilaty3, Y. Zha1, K. Walters3, A. Alexander2, F. Yusuf3, C. Radwan1, C. Melillo1, H. van Loveren3, K. Carlsen1, E. Velsaquez3, and J. Wilson1,2\n1Department of Emergency Medicine, Morsani College of Medicine, University of South Florida, Tampa, Florida, 33613, USA\n2Department of Anthropology, College of Arts and Sciences, University of South Florida, Tampa, Florida, 33620, USA\n3Department of Neurosurgery, Brain and Spine, Morsani College of Medicine, University of South Florida, Tampa, Florida, 33613, USA\nInnovations in neural repair have advanced understanding of biological and psychological mechanisms underlying recovery following traumatic brain injury (TBI), yet outcomes remain variable and difficult to predict. The biopsychosocial ecological (BPSE) framework provides a comprehensive model for explaining this variability by emphasizing interactions among biological, psychological, social, and environmental processes. However, neurotrauma research has largely operationalized BPSE components in isolation, limiting insight into how these domains jointly shape neuroplasticity. This study addresses two research questions: (1) How can social context be operationalized in ways that are mechanistically meaningful for neuroplasticity research following traumatic brain injury? (2) How do biological, psychological, social, and environmental domains co-evolve during recovery from mild-to-moderate TBI? An integrative methodological approach grounded in neuroanthropology is used within an ongoing hyperbaric oxygen therapy (HBOT) study of Veterans with mild-to-moderate TBI. Biological processes are assessed using repeated electrophysiological measurements (EEG) capturing cortical function. Psychological and functional change is tracked longitudinally using global impression of change and outcomes including the Mayo Portland Adaptability Inventory (MPAI). Social and environmental processes are operationalized through position-generator social network assessments quantifying access to social roles, resources, and support embedded in recovery contexts. For analysis, social network measures are overlaid with longitudinal neurophysiological and clinical data to examine how BPSE domains interact. Drawing on neuroanthropology, social networks are conceptualized as culturally patterned systems of meaning, practice, and expectation that structure cognitive demands, shape identity reconstruction after injury, and organize participation in recovery. These socially embedded experiences constitute a cognitive ecology through which neuroplasticity is elicited and stabilized, linking social context to measurable brain function. Aligned with Innovating Neural Repair: From Lab to Life, this study advances a basic science framework for integrating BPSE principles into neurotrauma research by specifying how socially embedded experience functions as a mechanistic driver of neuroplasticity.\n\n\n### High-Throughput Identification of Mitochondrial-Targeted Therapeutics for Alzheimer’s Disease Using Human iPSC Neurons and Astrocytes\nD. Chen1,2 and H.M Wilkins1,3\n1University of Kansas Medical Center Department of Neurology\n2University of Kansas Medical Center Medical Scientist Training Program\n3University of Kansas Medical Center Cell Biology & Physiology\nAlzheimer’s disease (AD) is a neurodegenerative disorder characterized by progressive cognitive decline. Amyloid-β (Aβ) plaques, hyperphosphorylated tau (p-tau), neuroinflammation, and mitochondrial dysfunction are interconnected features of AD pathology. However, clinical trials targeting Aβ with monoclonal antibodies have shown only modest efficacy and frequent adverse effects, underscoring the need for alternative therapeutic strategies. Mitochondrial dysfunction is observed across multiple AD-relevant cell types, with neurons and glia displaying altered respiration, reduced mitochondrial membrane potential (MMP), and elevated reactive oxygen species (ROS). Here, we conducted a high-throughput screen of 583 mitochondrial-protective compounds to identify agents capable of restoring mitochondrial function in human iPSC-derived neurons and astrocytes from sporadic AD patients and sex- and age-matched non-demented (ND) controls. Mitochondrial health was assessed using Seahorse XF oxygen consumption rate (OCR) measurements, MMP and ROS probes, and mitochondrial mass assays. Primary screening identified compounds that rescued OCR deficits to within ±20% range of ND neurons and astrocytes. Secondary validation confirmed reproducibility, and prioritized hits based on improved mitochondrial parameters and reductions in AD-related phenotypes. Tertiary studies will assess dose responsiveness and evaluate top compounds in neuron-astrocyte co-cultures. Several compounds exhibited strong cell type- and sex-specific rescue profiles, revealing distinct mitochondrial vulnerabilities in AD neurons versus glia. This work provides a prioritized set of mitochondrial-targeted therapeutic candidates and highlights mitochondrial restoration as a promising avenue for drug discovery and repurposing in AD and related neurodegenerative diseases.\n\n\n### Spinning Bioreactor Growth Method Allows for Faster Midbrain Organoid Maturation\nM.Cox1, E. Manee1, A. Natarajan1, R. Bhattacharya1, D. Ferguson1, C. Cohan1, A. Husain1, E. Simervil1 and T. Freeman1\n1Gateway Institute for Brain Research, Davie, FL 33314, USA\nIn the amount of time that it takes to grow mature midbrain organoids, roughly 410,000 people will be diagnosed with Parkinson’s disease (PD) globally. Most midbrain organoid growth protocols require upwards of 100 days for organoids to display the midbrain dopaminergic phenotype. This time requirement for 3D modelling of Parkinson’s disease slows the progress of finding a cure. Given this obstacle, we sought to compare two different Induced Pluripotent Stem Cell (iPSC)-derived midbrain organoid growth protocols. Using PD patient and healthy control iPSC lines, we investigated a plate-based growth protocol (PB) and a spinning bioreactor (BR) protocol. Samples were collected at various time points throughout each protocol and used for transcriptomics, dopamine quantification, and electrophysiology. The BR midbrain organoids had peak expression of the following dopaminergic markers by day 31: Dopamine Receptor D1 (DRD1), Dopamine Receptor D2 (DRD2), DOPA Decarboxylase (DDC), Tyrosine Hydroxylase (TH), and Alpha-synuclein (SNCA). Conversely, the PB midbrain organoids did not develop peak expression of the same markers until day 80. Dopamine levels followed a similar trend, there was a significant increase in dopamine production occurring around day 54 for PB and day 31 for BR midbrain organoids when compared to baseline iPSCs. We further characterized the BR protocol by growing organoids on Microelectrode array (MEA) plates and recorded spontaneous electrical activity. The BR midbrain organoids developed complex network bursting as early as day 37. Given our findings, we have concluded the spinning bioreactor protocol produces an enhanced organoid-based model for Parkinson’s disease.\n\n\n### Modulating Microglial and Monocyte/Macrophage Responses in Chronic Traumatic Brain Injury: Transcriptomic insights into SCF+G-CSF-induced Brain Repair\nS. Gaire, R.S. Gardner, M. Kyle, X. Qiu, L.S. Chin, and L-R. Zhao*\nDepartment of Neurosurgery, State University of New York Upstate Medical University, Syracuse, NY, 13210, USA\nPrevious studies have demonstrated that combined treatment with stem cell factor (SCF) and granulocyte colony-stimulating factor (G-CSF) enhances brain repair and functional recovery during the chronic phase of severe traumatic brain injury (TBI). However, the mechanism underlying SCF+G-CSF-mediated repair remains unclear. Here, we performed single-cell RNA sequencing (scRNA-seq) to identify SCF+G-CSF-induced transcriptomic alterations in brain immune cells in chronic severe TBI. In a controlled cortical impact mouse model of severe TBI, SCF+G-CSF was administered subcutaneously for 5 consecutive days beginning at 8 months post-injury. CD11b-positive brain cells, comprising microglia and monocytes/macrophages (Mo/Mac), were isolated one day after the final injection for scRNA-seq analysis.\nAnalyses performed using both the Seurat R package and Partek Flow revealed that SCF+G-CSF exerted a more pronounced effect on Mo/Mac than on microglia. Flow cytometry confirmed this observation by demonstrating an increased CD11b+/CD45high Mo/Mac population following treatment. In microglial clusters, genes such as S100a8, S100a9, Mir682, and Rpl37rt were modestly upregulated. In contrast, Mo/Mac clusters exhibited robust upregulation of genes, including Wfdc17, Ifitm1/2/3, Tspo, Lrg1, and Igfbp6, following treatment. Kyoto Encyclopedia of Genes and Genomes pathway analysis identified interleukin-17 (IL-17) signaling as a central mediator. Additionally, SCF+G-CSF upregulated genes involved in protein synthesis machinery and detoxification processes, while also promoting glial cell development and astrocyte differentiation.\nThese findings indicate that SCF+G-CSF reprograms brain CD11b+ cells toward reparative phenotypes, generating a microenvironment supportive of chronic TBI repair. Collectively, this work uncovers previously unrecognized immunomodulatory mechanisms of SCF+G-CSF and lays the groundwork for targeted therapeutic strategies, opening new avenues for enhancing recovery from chronic TBI.\nThis study was supported by the NIH/NINDS (R01NS118166).\n\n\n### Periodic Treatment of Extracellular Vesicles from Human iPSC-derived Astrocytes Can Restrain Neuroinflammation and Maintain Better Brain Function in a Model of Alzheimer’s Disease\nS.V. Ganesh*, L.N Madhu, S. Rao, Y. Somayaji, M. Kodali, S. Kotian, B. Shuai, G. Shankar, S. Attaluri, V. Rao, and A.K. Shetty\nInstitute for Regenerative Medicine, Department of Cell Biology and Genetics, Texas A&M University Naresh K. Vashisht College of Medicine, College Station, TX 77840, USA.\nAlzheimer’s disease (AD) is a progressive disease where dementia symptoms worsen over several years. Neuroinflammation plays a crucial role in the development and progression of AD. Extracellular vesicles (EVs) shed by human-induced pluripotent stem cell (hiPSC)-derived astrocytes (hA-EVs) could be a promising therapeutic approach for neuroinflammation in AD, as they carry anti-inflammatory molecules. This study examined the efficacy of multiple intranasal (IN) administrations of hA-EVs, purified through chromatographic methods from cultures of hiPSC-derived astrocytes, for reducing neuroinflammation and maintaining better cognitive function for extended periods in 5xFAD mice. Three-month-old 5xFAD female mice received IN administrations of hA-EVs (30 x 10^9 EVs) or the vehicle (once monthly for 5-months). A month after the final dose of EVs, brain function wes assessed through a series of neurobehavioral tests, and animals were euthanized for brain tissue harvesting and quantification of markers of neuroinflammation and amyloid plaques. 5xFAD mice receiving monthly treatment to hA-EVs displayed improved proficiency to discern minor changes in the environment in an object location test, object recognition memory in a novel object recognition test, and associative recognition memory in an object in place test, compared to 5xFAD mice receiving vehicle treatment. Brain tissue analyses revealed that 5xFAD mice receiving hA-EVs exhibited reduced microglial clusters, astrocyte hypertrophy, and NLRP3 inflammasome complexes within microglia in the hippocampus, compared to vehicle-treated 5xFAD mice. 5xFAD mice receiving hA-EVs also displayed significant reductions in concentrations of mediators (NLRP3, ASC, and cleaved caspase-1) and end products (IL-1β and IL-18) of NLRP3 inflammasome activation. Additionally, the concentrations of proteins linked to the activation of cGAS-STING signaling, such as phosphorylated STING and interferon-alpha, were reduced. The results suggest that periodic IN administrations of hA-EVs can maintain better brain function for prolonged periods in an early-onset model of AD by significantly restraining the progression of neuroinflammation.\nFunding: This work is supported by a grant from the National Institute on Aging (1RF1AG074256-01A1 to A.K.S.)\n\n\n### Single nucleus RNA sequencing identifies early transcriptional changes to midbrain and striatum neuronal populations following the selective loss of tyrosine hydroxylase in adult rat midbrain dopaminergic neurons\nL.K. Greer and B.K. Harvey\nIntramural Research Program, National Institute on Drug Abuse, Baltimore MD 21224\nParkinson’s disease (PD) is the 2nd most common neurodegenerative disease, characterized by disruptions to motor function such as tremors and rigidity. A hallmark of PD pathology is loss of dopaminergic neurons in the substantia nigra (DANs), and subsequent dysregulation of dopamine signaling. By the time patients present with motor symptoms, they have already lost on average 50-60% of their dopaminergic neurons in the SN, meaning that dopaminergic degeneration can be occurring for years, if not decades prior to diagnosis. Studying the early consequences of dopamine loss is critical to understanding mechanisms of disease progression and identifying biomarkers for earlier diagnosis. While many models of PD seek to mimic the disease progression through transgenic animals that express PD relevant genetic mutations or are deficient in dopaminergic neuron function, they do not account for the possibility of developmental compensation, which may not accurately recapitulate the phenotype of sporadic PD, which occurs in late-stage adulthood. With this in mind, we aimed to study the early transcriptional changes that occur after adult loss of dopamine signaling. We knocked down tyrosine hydroxylase (TH), a protein required for dopamine synthesis, in the adult rat midbrain through injection of TH specific guide RNAs into transgenic rats expressing Cas9 nuclease specifically in dopamine transporter positive neurons and performed single nucleus RNA sequencing on midbrain and dorsal striatum samples two weeks after injection. Our data identified alterations to genes involved in synaptic signaling, organization, and function in both midbrain and striatal neuron populations. This data demonstrates that disrupting dopamine signaling has detectable transcriptional consequences on a variety of neuronal populations prior to total neuron degeneration and may provide new insights into the early cellular changes that occur in Parkinson’s disease.\n\n\n### Development of Citrate-Based Bioresorbable Flow Diverters for Intracranial Aneurysm Therapy\nC. Hanna1, B. Lucke-Wold1, L. Williams2, G. Ameer3, C. Sun4, and B. Hoh1\n1Department of Neurosurgery, University of Florida, Gainesville, FL 32608, USA\n2Biomedical Engineering Department, University of Florida, Gainesville, FL 32608, USA\n3Biomedical Engineering Department, Northwestern University, Evanston, IL 60208, USA\n4Mechanical Engineering Department, Northwestern University, Evanston, IL 60208, USA\nIntracranial aneurysms affect ~6.8 million Americans, with ~30,000 annual ruptures causing subarachnoid hemorrhage and high morbidity. Current metallic flow diverters promote occlusion but require permanent implantation, leading to chronic inflammation, in-stent thrombosis, and prolonged antiplatelet therapy. Citrate-based polymers offer a biocompatible alternative to metallic implants, enabling bioresorbable flow diverters (BFDs) with tunable degradation, antioxidant properties, and native endothelial support. This has been demonstrated in orthopedic and peripheral vascular applications but untested in neurovascular contexts. This study hypothesizes that citrate-based BFDs fabricated from methacrylated poly(1,8-octanediol-co-citrate) (mPOC) and methacrylated poly(1,12-dodecanediol citrate) (mPDC) will match the mechanical performance of metallic flow diverters while enabling endothelial repair and safe resorption. Methods encompass fabrication of BFD variants via stereolithographic 3D-printing with varied porosity and strut geometry to evaluate structural similarity to metallic devices and iteratively optimize strut design for matching force properties. Mechanical characterization will include testing of radial force, fatigue resistance, and flexibility using Instron testing, plus degradation kinetics in pulsatile PBS flow over 12 weeks. Endothelial and smooth muscle cell responses including adhesion, ICAM-1 expression, and IL-6 secretion will be assessed on BFDs versus metallic controls under static and dynamic flow conditions. Optimized BFDs will be implanted in a murine elastase-induced aneurysm model for 4, 8, and 12 weeks, evaluating healing via CD31, F4/80, and α-SMA immunohistochemistry alongside inflammation and polymer resorption. Expected outcomes include BFDs demonstrating superior endothelialization with reduced inflammation compared to metallic devices, and >50% resorption by 12 weeks, The eventual goal of the study is to define design parameters to facilitate clinical translation while mitigating long-term implant risks\n\n\n### Investigating Golgi apparatus morphology in dopaminergic neurons of the rat midbrain\nB. Harvey, A. Harr, M. Haydock, J. Hinkle, and L. Greer\nIntramural Research Program, National Institute on Drug Abuse, Baltimore MD 21224\nThe Golgi apparatus plays a central role in the modification, sorting, and trafficking of proteins, lipids, and carbohydrates within cells. Although dopaminergic neurons possess distinct functional properties, the morphology of the Golgi apparatus in these neurons has not been systematically characterized. Preliminary observations from our laboratory suggested that dopaminergic neurons may exhibit unique Golgi structure compared to other midbrain cell types. The objective of this study was to describe and quantify Golgi apparatus morphology in dopaminergic neurons of the rat midbrain, with an emphasis on regional differences between the substantia nigra pars compacta (SNc) and the ventral tegmental area (VTA). Dopaminergic neurons were identified by tyrosine hydroxylase (TH) expression, and Golgi structure was visualized using the cis-Golgi marker GM130. Golgi volume was quantified and compared between TH-positive and TH-negative cells across midbrain regions. Our results demonstrate that TH-positive neurons in the SNc exhibit significantly larger Golgi volume compared to TH-negative cells in the midbrain. Furthermore, Golgi volume in TH-positive neurons appears to be significantly greater in the SNc than in TH-positive neurons in the VTA. No significant differences in Golgi volume were observed between TH-positive neurons in the VTA and TH-negative cells. These findings reveal region-specific differences in Golgi morphology among dopaminergic neurons and suggest that SNc neurons may have increased secretory or membrane trafficking demands. Ongoing studies aim to further characterize Golgi structure across additional neuronal and glial populations and to examine how Golgi morphology is influenced by neuronal activity, Parkinson’s disease risk factors and psychostimulant exposure.\n\n\n### Adropin Reduces Early Brain Injury and Delayed Cerebral Ischemia After Severe Subarachnoid Hemorrhage in a Mouse Model\nZ. Hasanpour Segherlou1, H. Xu1, H. Hutchinson2, K. Hosaka1, B. Kent2, K. Rodriguez2, D. Cao2, C. Hanna1, B. Lucke-Wold1, Z. Sorrentino1, M.A. Baker Chowdhury1, E. Candelario-Jalil3, A. Butler4, and B. Hoh1\n1University of Florida College of Medicine, Department of Neurosurgery, Gainesville, Florida, 32611, USA\n2University of Florida, Gainesville, Florida, 32611, USA\n3Department of Neuroscience, College of Medicine, University of Florida, Gainesville, Florida, 32610, USA\n4Department of Pharmacology and Physiological Sciences, Saint Louis University, Saint Louis, MO 63104, USA\nBackground: Delayed cerebral ischemia (DCI) remains a major cause of morbidity after aneurysmal subarachnoid hemorrhage (SAH), and effective therapies beyond nimodipine are lacking. Adropin, an endogenous peptide that regulates endothelial function and nitric oxide signaling, has shown neurovascular protective effects in experimental SAH. However, its efficacy when administered at clinically relevant delayed time points and in severe SAH models remains unclear.\nMethods: A severe double-injection SAH model was induced in male C57BL/6 mice. Synthetic adropin or vehicle was administered beginning 6 or 12 hours after SAH, with repeat dosing according to experimental endpoints. Outcomes included endothelial nitric oxide synthase (eNOS) signaling, blood–brain barrier integrity, cerebral vasospasm, microvascular thrombosis, neuronal apoptosis, and neurobehavioral performance. Additional studies were conducted in ENHO knockout mice and in mice with tamoxifen induced endothelial-specific adropin deletion. All statistical analyses were performed using Prism 10 software.\nResults: Endogenous adropin expression and eNOS signaling were reduced 24 hours after SAH. Adropin administration restored total eNOS expression and increased phosphorylated eNOS levels. Adropin preserved tight junction integrity, selectively restoring occludin expression, and significantly reduced microvascular thrombosis. When administered 6 hours after SAH, adropin markedly attenuated delayed cerebral vasospasm and reduced neuronal apoptosis. Early adropin treatment improved recognition memory and mitigated anxiety-like behavior at one month post-SAH. In contrast, adropin administered 12 hours after SAH conferred partial and inconsistent behavioral benefit and did not significantly reverse vasospasm. Adropin attenuated vasospasm and improved behavioral outcomes in ENHO knockout mice. Endothelial-specific adropin deletion did not exacerbate vasospasm, and systemic adropin administration did not further improve vessel diameter in this model.\nConclusions: Adropin confers robust neurovascular protection after severe SAH when administered within a clinically relevant early therapeutic window. These findings highlight adropin as a promising candidate for mitigating endothelial dysfunction, vasospasm, and long-term neurological deficits following SAH, with timing of intervention playing a critical role in therapeutic efficacy.\n\n\n### Psilocybin Alleviates Chronic Stress-Mediated Cognitive and Mood Impairments\nC Huard, M. Kodali, G. Shankar, S. Shuai, B. Rao, and A.K. Shetty\nInstitute for Regenerative Medicine, Department of Cell Biology and Genetics, Texas A&M University College of Medicine, College Station, Texas, USA.\nMajor Depressive Disorder (MDD) affects over 280 million individuals globally and remains a leading cause of disability worldwide. Approximately 30-40% of patients with MDD exhibit treatment-resistant depression and fail to respond to standard pharmacological therapies. Psilocybin (PS), a 5-hydroxy tryptamine 2A (5-HT2A) receptor agonist, has been effective in promoting rapid antidepressant effects in early-phase clinical trials. PS modulates large-scale neural networks involved in emotional regulation and executive function, such as the default mode network and hippocampal-prefrontal circuitry. To investigate the efficacy of PS in preventing chronic stress-mediated MDD, we developed a rat model of chronic stress that exhibits cognitive and mood deficits akin to that observed in MDD. Wistar rats were subjected to 6 hours of restraint stress per day for 21 consecutive days. Psilocybin (1 mg/kg, oral) was administered five times, with three doses delivered on chronic stress days 7, 14 and 21 and three doses thereafter on post-stress days 7 and 14. Following the completion of the treatment, animals were assessed using a battery of neurobehavioral tests designed to evaluate both hippocampus-dependent cognitive function and affective symptoms relevant to MDD, including anhedonia, and anxiety-like behavior. PS treatment significantly improved hippocampus-dependent cognitive function in an object location test (OLT) and recognition memory function in a novel object recognition test (NORT), compared to chronically stressed rats receiving vehicle treatment, which exhibited impairments. In the Sucrose Preference Test, PS-treated chronically stressed rats spent preferred sucrose to water compared to the chronically stressed vehicle group that could not distinguish between sucrose and water. Similarly, improvements were observed in the Novelty Suppressed Feeding Test suggesting a reduction in anxiety-like behavior and anhedonia. Brain tissues analysis shows that microgliosis and astrocyte hypertrophy may be mitigated by PS treatment. These findings suggest that psilocybin has the potential to prevent chronic stress-mediated MDD.\nFunding: This work is supported by grants from the Steadman Philippon Research Institute and National Institute on Aging (1R01AG075440 and 1RF1AG074256-01A1) to A.K.S.\n\n\n### Modulation of Neural Plasticity Improves Cognitive Performance in Aging and Neurodegeneration\nP. Jendelova and L.M. Urdzikova\nInstitute of Experimental Medicine, Czech Academy of Sciences, Vídeňská, 1083 14200 Prague, Czech Republic\nCognitive decline in aging and neurodegenerative disease is increasingly viewed as a consequence of constrained neural plasticity rather than irreversible neuronal loss alone. Key contributors to these constraints include excessive accumulation of perineuronal nets (PNNs), which limit synaptic remodeling, and chronic neuroinflammation, which further destabilizes circuit function. Understanding how these mechanisms interact across physiological aging and tauopathy remains incomplete. Here, we examined the impact of sustained modulation of extracellular matrix–associated plasticity constraints in two complementary models: natural aging and P301S tauopathy. Aged mice (20–22 months) received long-term oral administration of 4-methylumbelliferone (4-MU), an inhibitor of hyaluronan synthesis and a core structural component of PNNs, while P301S mice were treated for one month followed by a washout period. Cognitive performance was assessed using recognition memory paradigms, and histological analyses focused on PNN density, glial reactivity, immune cell infiltration, and tau pathology. Aging was associated with pronounced accumulation of PNNs and increased astrocytic and microglial activation across cortical and hippocampal regions, coinciding with impaired recognition memory. Long-term 4-MU administration normalized PNN abundance and attenuated neuroinflammatory markers, paralleling improved cognitive performance. In P301S mice, short-term 4-MU treatment reduced PNN density in the brain and spinal cord and led to sustained improvements in recognition memory that persisted beyond treatment cessation, despite the continued presence of tau aggregates. Together, these findings support a mechanistic framework in which excessive extracellular matrix stabilization and neuroinflammatory signaling act as convergent constraints on circuit plasticity in both aging and tauopathy. Modulating these constraints is sufficient to improve cognitive function without directly targeting disease-specific protein pathology. Supported by: EXREGMED CZ.02.01.01/00/22_008/0004562\n\n\n### Multi-color 19F MR imaging of immune cells infiltrating ECM hydrogel implanted into a stroke cavity\nA. Kisel1, N. Didwischus1, G. Hussey2, T. K. Hitchens3, K. Tang4, E.T. Ahrens4, and M. Modo1\n1Department of Radiology, University of Pittsburgh\n2Department of Surgery, University of Pittsburgh\n3Department of Neurobiology, University of Pittsburgh, Pittsburgh, Pennsylvania, USA\n4University of California San Diego, Department of Radiology, California, USA\nThe infiltration of immune cells after implantation of an extracellular matrix (ECM) hydrogel in a stroke cavity is essential for its structural remodeling and eventual replacement by de novo tissue. To map this dynamic process, ideally both the immune cell infiltration and ECM scaffold are visualized non-invasively over time. Multi-color 19F magnetic resonance imaging (MRI) permits the separate visualization of different perfluorocarbon (PFC) molecules, such as perfluoro-tert-butyl-cyclohexane (PFTBC) and perfluoro-15-crown-5-ether (PFCE). Tagging of blood circulating myeloid cells, such as macrophages, was achieved using a systemic tail vein injection of PFCE nanoemulsions during the implantation of PFTBC-labeled ECM hydrogel into the tissue cavities caused by a middle cerebral artery occlusion (MCAo) stroke. The distribution of PFTBC-ECM hydrogel was visualized using 19F MRI and demonstrate complete coverage of the tissue defect 1-day post-implantation, as well as a gradual degradation at days 2, 6, 7, and 14 post-implantation. PFCE-labeled immune cells were observed on 19F MRI to invade through the peri-infarct tissue into the bioscaffold. At 7 days, labeled cells were distributed throughout the remnants of the scaffold. Over the same time period, conventional 1H T2-weighted MRI revealed a transformation of the hyperintense tissue cavity into an isointense tissue, suggesting that immune cell-mediated remodeling of the ECM hydrogel implant produced a new tissue. Overall, spatio-temporal mapping using multi-color 19F MRI offers unique insights into the interactions between immune cells and bioscaffolds in tissue regeneration and improves our mechanistic understanding of these processes prior to clinical translation.\n\n\n### Workshop Title: Medical Anthropology, Artificial Intelligence, and Neural Therapy and Repair\nD. Lende1, F. Hahn2, A. Jacob1, K. Carlsen3, A. Alexander1 and R. Campbell-Montalvo3\n1Department of Anthropology, College of Arts and Sciences, University of South Florida, Tampa, Florida, 33620, USA\n2Bellini College of Artificial Intelligence, Cybersecurity, and Computing, University of South Florida, Tampa, Florida, 33620, USA\n3Department of Emergency Medicine, Morsani College of Medicine, University of South Florida, Tampa, Florida, 33613, USA\nThis workshop will introduce participants to medical anthropology, neuroanthropology, and AI-driven clinical anthropology. Anthropology offers a comparative approach to the study of people using data ranging from human biology to social, cultural, and economic systems, and matches well with biopsychosocial ecological frameworks.\nThe workshop will take participants through (1) how medical anthropology and neuroanthropology connect with basic science around neural therapy and repair, (2) how these biosocial approaches help to investigate the neural and social factors that impact clinical and translational outcomes, and (3) how anthropology can combine with AI to facilitate interdisciplinary efforts in clinical trials and beyond. Overall, this workshop aims to show how the combination of interdisciplinary approaches with AI technologies can help with research, collaboration, and generating real-world impact.\nThe uses of medical anthropology and neuroanthropology will be illustrated through three different examples: (1) a clinical study of Veterans with mild-to-moderate TBI examining the impact of hyperbaric oxygen therapy, (2) applied research on how neurorehabilitation works in practice to foster improved patient outcomes, and (3) combining qualitative and AI methodologies to examine chronic pain.\nAI is rapidly entering into multiple domains of work, research, and dissemination. This workshop will take participants through key principles of working with AI, cover how the tools of AI can help with research tasks, and how to work with AI to address complex and localized tasks within institutional settings. Throughout the workshop, we will cover basic uses of AI for research (including navigating problems with hallucinations). We will also address (1) differences between general-purpose AI models such as ChatGPT and lower-parameter AI models that can be run locally and (2) how to use AI for automating research or job tasks while including humans in the loop for both design and verification.\n\n\n### The Use of DCS as a Predictive Model for the Development of DCI Following aSAH – Preliminary Experience\nA.A. Letavay1, V. Dammavalam1,2, E. Pressman1,2, W. Guerrero1,2, K. Vakharia 1,2, V. Raghu3, P.S. Mohammad3, A. Parthasarathy3, and M Mokin1,2\n1Department of Neurosurgery, Brain and Spine, University of South Florida, Tampa, FL 33606\n2Tampa General Hospital, Tampa, FL 33606\n3College of Electrical Engineering, University of South Florida, Tampa, FL 33606\nBackground:\nDelayed cerebral ischemia (DCI) remains the leading cause of morbidity and mortality in patients with subarachnoid hemorrhage (SAH). DCI results in focal neurological deficits in 30-50% of patients within 4-10 days following aneurysm rupture. Given the shortcomings of the current technologies in identifying Delayed Cerebral Ischemia (DCI) (mainly transcranial dopplers), the current study employed the use of non-invasive optical measurements of cerebral blood flow (CBF) using a custom-built diffuse correlation spectroscopy (DCS) device. This research is supported by a R01 NINDS funding mechanism.\nMethods:\nWe preformed daily bilateral cerebral blood flow measurements using a custom built DCS device in twelve patients following aneurysmal SAH until discharge from our facility. Daily collection of transcranial doppler readings, NIHSS and GCS scores, in conjunction with other relevant clinical and angiographic procedural data were collected daily from admission until day 14 (or later if the patient remained symptomatic). In patients who underwent intra-arterial vasospasm treatment in the angio suite, DCS recordings were obtained immediately before, after, and throughout the infusion.\nResults:\nRecordings were successfully obtained in twelve patients. No safety concerns or interference with standard workflow procedures were noted. Correlation of daily DCS measurements with changes in clinical exam and occurrence of DCI are being finalized and prepared for the ASNTR conference.\nConclusions:\nPreliminary analysis have demonstrated that the use of DCS optical measurements is safe and effective in the clinical setting with minimal interruptions to standard clinical operations. By enabling continuous, individualized assessment of cerebral perfusion, this approach directly supports translational neural therapy and repair by informing intervention timing, monitoring treatment response, and improving clinical decision-making after aSAH.\n\n\n### Stem cell factor and granulocyte colony-stimulating factor treatment increases oligodendrocyte progenitors and enhances remyelination in the chronic phase of severe traumatic brain injury\nS. Li, M. Kyle, L. Chin, and L-R. Zhao\nDepartment of Neurosurgery, State University of New York Upstate Medical University, Syracuse, NY 13210, USA\nSevere traumatic brain injury (TBI) results in long-term white matter degeneration and persistent neurological deficits, with progressive demyelination serving as a major pathological driver. Chronic TBI is characterized by a sustained loss of oligodendrocyte progenitor cells (OPCs), leading to insufficient endogenous remyelination. In this study, we investigated whether combined treatment with stem cell factor and granulocyte colony-stimulating factor (SCF+G-CSF) administered during the chronic phase of severe TBI promotes white matter repair by generating new myelin from OPC-derived oligodendrocytes. Young adult mice were subjected to controlled cortical impact-induced severe TBI and subsequently received subcutaneous SCF+G-CSF or vehicle injections for 7 days, beginning 3 months post-injury. Sham-operated mice served as healthy controls. SCF+G-CSF treatment significantly increased OPC density and proliferation in the ipsilateral corpus callosum and external capsule, reversing chronic OPC loss. Furthermore, lineage tracing using NG2-Cre: ROSAmT/mG reporter mice demonstrated that SCF+G-CSF markedly enhanced newly formed OPC-derived myelin (mG+/MBP+) in the ipsilateral white matter, whereas TBI-vehicle control mice showed minimal mG+/MBP+ colocalization. Collectively, these findings provide direct evidence that SCF+G-CSF treatment enhances remyelination via OPC-derived oligodendrocytes, contributing to structural white matter repair during chronic TBI. This study highlights a regenerative therapeutic strategy with potential for long-term repair following severe TBI.\nThis study was supported by the NIH/NINDS (R01NS118166).\n\n\n### Intranasal delivery of small extracellular vesicles derived from human adipose tissue is a potential therapy for traumatic brain injury\nC. Logan, C. Hudson, S. Abdelmaboud, M. Zabroda, R. Patel, N. Patel, K. Nash, and P Bickford\nCenter of Excellence for Aging and Brain Repair, Departments of Neurosurgery and Brain Repair and Molecular Pharmacology & Physiology, University of South Florida; James A Haley VA Hospital\nTraumatic brain injury (TBI) results from rapid acceleration, deceleration, or impact and affects over 2 million people annually in the United States each year. Despite the high prevalence, effective therapeutic interventions are limited and to address this issue, our lab investigates the use of small extracellular vesicles (sEV) derived from human adipose tissue (hASC) as a potential therapy for TBI. Previous research has demonstrated therapeutic efficacy of sEVs across various disease models, including TBI. Our lab has previously shown that treatment at 48 hours post injury significantly improves motor and cognitive outcomes. However, the primary objective of this study is to extend the therapeutic window to seven days post injury, a clinically relevant time-point given that many patients are unable to receive treatment within the acute phase. Additionally, we examine potential sex-specific responses to treatment, as biological differences between males and females may influence injury progression and therapeutic efficacy. To model TBI, mice were anesthetized and placed on a stereotaxic frame and receive either sham surgery or a controlled cortical impact. Baseline motor asymmetry was assessed using the elevated body swing test (EBST), after which animals were placed evenly based on bias into four groups: Sham+PBS, Sham+sEV, TBI+PBS, and TBI+sEV. After injury, mice underwent behavior of catwalk gait analysis and EBST. Seven days post injury(dpi), sEVs or PBS were administered intranasally. Behavioral assessments were repeated and cognitive performance was evaluated using radial arm water maze and novel object/place recognition. Molecular and immune-related changes were assessed using flow cytometry, with a focus on sex- and treatment-dependent effects. Our results demonstrated that sEV administration at seven days post-injury significantly improves motor and cognitive function and reduced brain injury in both male and female mice, supporting the feasibility of extending the therapeutic window for TBI treatment.\n\n\n### Systemic Inhibition of Hyaluronan Synthesis as a Strategy for Neural Repair after spinal cord injury\nL.M. Urdzikova, and Pavla Jendelova\nInstitute of Experimental Medicine, Czech Academy of Sciences, Vídeňská, 1083 Prague 142 20, Czech Republic\nSpinal cord injury (SCI) induces upregulation of chondroitin sulfate proteoglycans (CSPGs) in the glial scar and perineuronal nets (PNNs), which restrict axonal regeneration and neural plasticity. 4-Methylumbelliferone (4-MU) is a small molecule inhibitor of hyaluronan (HA) synthesis that has been proposed as a potential therapeutic agent for neurological diseases, but its effects in SCI and systemic impact remain underexplored.\nIn uninjured rats, eight weeks of oral 4-MU (1.2 g/kg/day) reduced spinal HA and downregulated chondroitin sulfate glycosaminoglycans (CS-GAGs), demonstrating effective extracellular matrix modulation under physiological conditions. To evaluate therapeutic potential in chronic SCI, rats received oral 4-MU starting six weeks after thoracic contusion injury, combined with rehabilitation. 4-MU reduced astrocytic HA synthesis around the lesion, attenuated astrogliosis, and promoted axonal sprouting, including enhanced serotonergic fibre growth into the ventral horn. Higher 4-MU dosing (2 g/kg/day) additionally enhanced extracellular matrix remodelling, vascularisation, and M2 macrophage/microglia infiltration, increased excitatory synapse density, and was associated with improved sensorimotor function.\nSystemic effects of long-term 4-MU were assessed in healthy rats treated for ten weeks followed by a wash-out period. Treatment induced widespread HA and CSPG downregulation, transient increases in circulating bile acids, blood glucose, total protein, and elevated interleukins IL-10, IL-12p70, and IFN-γ, all of which fully normalized after wash-out.\nThese findings demonstrate that oral 4-MU creates a plasticity-permissive environment and supports structural and functional improvement after chronic SCI, with reversible systemic effects, highlighting its potential as a translational therapeutic strategy. Supported by: EXREGMED CZ.02.01.01/00/22_008/0004562\n\n\n### Development of cell-responsive Granular Hydrogels for brain repair after Stroke\nT. Mahanty, M. Mapua, I. Pham, S. Majidi, and L.R. Nih\nDepartment of Brain Health, Kirk Kerkorian School of Medicine, University of Nevada, Las Vegas, NV, 89154, USA.\nIschemic stroke results in extensive neuronal and vascular damage driven by inflammation, tissue loss, and limited endogenous regeneration. Biomimetic hydrogel biomaterials have emerged as promising strategies to support tissue repair after injury. We have recently developed injectable spherical hydrogel building blocks (microgels) capable of annealing upon contact to form microporous scaffolds with microscale interconnected pores that facilitate cell infiltration into the implant. Our preliminary in vivo data show that injecting microgels into the stroke cavity reduces local inflammation by disrupting the astrocytic scar architecture and reducing microglia activation. However, existing annealing chemistries primarily rely on enzymatic annealing or irreversible covalent bonding, which is limited by enzyme diffusion, batch-to-batch variability, and the formation of static networks that fail to adapt to the dynamic post-stroke environment. To address these limitations, we propose to develop a next-generation granular hydrogel platform based on dynamic, reversible covalent bonding, resulting in a scaffold that remains responsive to the evolving post-stroke microenvironment. This approach introduces a previously unexplored strategy for bio-interactive scaffold assembly and tissue-anchored integration within the injured brain. We hypothesize that this dynamic annealing mechanism will allow the microporous scaffold to more effectively conform to the irregular geometry of the stroke cavity, exhibit mechanical adaptability during cellular infiltration and remodeling, and respond to changes in local cell behavior over time, compared to enzymatic, permanent irreversible, or electrostatic-based annealing chemistries. This biomimetic system is expected to support greater cellular infiltration, immunomodulatory, and tissue integration with host brain, ultimately promoting the activation of endogenous repair mechanisms such as neurogenesis, angiogenesis, axonal sprouting, functional recovery. The successful completion of this project will pave the way for pioneering biomaterial-based therapeutic strategies to treat ischemic stroke and alleviate patients’ neurological impairment.\n\n\n### Cross-Cohort Blood Gene Signature Linked to 90-Day Stroke Recovery\nS. Majidi1, I. Pham1, T. Mahanty1, M. Han2, and L. Nih1\n1Department of Brain Health, Kirk Kerkorian School of Medicine, University of Nevada, Las Vegas, NV, 89154, USA.\n2Nevada Institute of Personalized Medicine (NIPM), University of Nevada, Las Vegas, NV, 89154, USA.\nFunctional recovery after ischemic stroke is influenced by early systemic responses, reflected in peripheral blood transcriptomic changes, yet few human transcriptomic signals reliably predict outcome. We hypothesize that an early, conserved suppression of adaptive immune signaling in peripheral blood represents a reproducible post-stroke transcriptional response, and that greater magnitude and persistence of this suppression predict poor functional recovery at 90 days. To test this hypothesis, we applied a covariate-aware meta-analytic framework to whole-blood microarray data from three independent Gene Expression Omnibus (GEO) stroke cohorts. This approach enabled identification of robust, directionally consistent differentially expressed genes (DEGs) while accounting for available clinical variables, including age, sex, and comorbidities. Across cohorts, we identified 33 genes consistently downregulated after stroke, associated for adaptive immune and lymphocyte signaling, forming a compact cross-platform candidate panel. To assess relevance to long-term recovery, we compared these genes to published data on acute outcome-associated DEGs and co-expression hub genes linked to 90-day modified Rankin Scale (mRS) scores. Our candidates overlapped with published outcome-associated DEGs at 3 h (9 genes), 5 h (12 genes), and 24 h (3 genes), and with co-expression hub genes at 3 h (5 genes) and 24 h (4 genes). Recurrent overlapping genes included key lymphocyte signaling mediators (ZAP70, SKAP1, PLCG1, UBASH3A), B-cell receptor components (CD79A, CD79B), and immune regulators (CXCR5, P2RY10), supporting a conserved early suppression of adaptive immune signaling associated with poorer recovery trajectories. This cross-cohort approach builds on prior single-cohort studies by focusing on signals that are consistent across datasets and validated against independent outcome measures. These findings point to immune network nodes that may affect recovery through ongoing immune–brain interactions that limit repair. Ongoing work will use cell-type–aware deconvolution and integrated epigenomic and proteomic analyses to link peripheral immune signals to neurorepair pathways and to test their ability to predict long-term recovery and rehabilitation response.\n\n\n### Targeting CCL20–CCR6 Limits Microglial Synaptic Pruning in rTBI\nK. Mayilsamy1,2, A. Willing4, S.S. Mohapatra1,3 and S. Mohapatra1,2\n1James A Haley VA Hospital, Tampa, FL, USA\n2Department of Molecular Medicine\n3Department of Internal Medicine\n4Department of Neurosurgery, Brain and Spine, Center of Excellence for Aging and Brain Repair, Morsani College of Medicine, University of South Florida, Tampa, FL, USA\nRepetitive traumatic brain injury (rTBI) induces a long-lasting, self-perpetuating neuroinflammatory state marked by chronically activated microglia, persistent cytokine release, complement dysregulation, and progressive neurodegeneration. This is especially concerning in high-risk groups such as contact-sport athletes and military personnel, where repeated impacts are associated with enduring cognitive and psychological impairment. Following rTBI, the brain frequently transitions into a chronic inflammatory milieu driven by sustained production of pro-inflammatory cytokines.\nA key mediator of this prolonged immune response is C-C motif chemokine ligand 20 (CCL20), which signals through its sole receptor, CCR6. CCR6 is expressed on Th17 cells, dendritic cells, B cells, and other immune populations, and CCL20 serves as a potent activator of glial cells, thereby amplifying neuroinflammation after TBI. In our previous rTBI mouse study, we showed that CCL20 significantly contributes to neurodegeneration, gliosis, and retinal injury, while concurrently suppressing brain-derived neurotrophic factor (BDNF).\nBuilding on that work, our new findings demonstrate that prolonged upregulation of CCL20, persisting up to 30 days after rTBI, disrupts synaptic architecture, indicating a broader and more enduring role for CCL20 in rTBI-induced synaptic pathology. We additionally observed sustained activation of complement components, including C1q in the brain and C5a in serum, up to 30 days post-injury, underscoring the contribution of chronic complement signaling to synaptic loss.\nImportantly, rTBI mice treated with shCCL20-CCR6 dendriplexes (DPX, a nanoparticle- mediated RNA therapy) showed markedly reduced expression of CCL20 and CCR6, accompanied by decreased glial activation (IBA1 and GFAP), reflecting attenuation of neuroinflammation. This reduction was associated with improved expression of synaptophysin, NMDAR2, and PSD95, indicating better preservation of pre- and postsynaptic structures. Behaviorally, shCombo-DPX treatment mitigated rTBI-induced anxiety-like phenotypes and improved cognitive performance 30 days after injury. Serum biomarkers of injury and inflammation, including GFAP and C5a, were also reduced, indicating that therapy lessens both CNS and systemic inflammatory responses.\nTogether, these findings support a model in which microglia, an important source of CCL20 under pathological conditions such as rTBI, drive synaptic pruning and synapse-specific degeneration. Although CCL20 does not directly dismantle synapses, it promotes a neuroinflammatory environment that heightens microglial reactivity and accelerates complement-mediated synaptic elimination. Overall, our results identify downregulation of CCL20–CCR6 signaling as a promising therapeutic strategy to reduce detrimental microglial responses and synaptic pathology after rTBI.\n\n\n### uPAR Expression and Disease Associated Microglial Transcripts Are Increased in Mice with Alzheimer’s Disease-like Pathology\nJ.M. Metzger1, L.E. Sarko2,3, E. Klaus1, V. Bondarenko1, C. Secker1, M.S. Mnuk2, K.M. Marino4, D.C. Shippy4, T.K. Ulland4,5, S. Krishanu2,4,6, and M.E. Emborg1,3,7\n1Wisconsin National Primate Research Center, University of Wisconsin–Madison, Madison, WI, 53715, USA\n2Wisconsin Institute for Discovery, University of Wisconsin–Madison, Madison, WI, 53715, USA\n3Cellular and Molecular Pathology Graduate Program, University of Wisconsin–Madison, Madison, WI, 53705, USA\n4Department of Pathology and Laboratory Medicine, University of Wisconsin–Madison, Madison, WI, 53705, USA\n5Wisconsin Alzheimer’s Disease Research Center, University of Wisconsin–Madison, Madison, WI, 53792, USA\n6Department of Biomedical Engineering, University of Wisconsin–Madison, Madison, WI, 53706, USA\n7Department of Medical Physics, University of Wisconsin–Madison, Madison, WI, 53706, USA\nThe urokinase-type plasminogen activator receptor (uPAR) is a cell surface protein that regulates proteolysis, cell adhesion, and immune signaling. In the central nervous system, uPAR is expressed across multiple cell types during neurodevelopment, neuronal injury responses, and neuroinflammation, including in Alzheimer’s disease (AD) brains. However, progression of uPAR expression in AD and its relationship with immune condition remains incompletely defined. Here, we systematically characterized the age-, sex-, brain region-, and immune status-dependent expression of uPAR in mouse models of AD pathology and assessed its relationship with microglial senescence transcripts. Coronal brain sections from immunocompetent C57BL/6J (WT) and 5xFAD mice, as well as immunodeficient Rag2/Il2rg-/- (Rag) and Rag2/Il2rg-/--5xFAD (Rag-5xFAD) mice, were immunostained for uPAR and analyzed across cortical, hippocampal, striatal, and thalamic regions at 2, 4, and 6 months of age. uPAR-ir (immunoreactivity) was significantly influenced by age, sex, brain region, and immune status. While uPAR levels were comparable across genotypes at 2 months, 5xFAD and Rag-5xFAD mice exhibited robust age-dependent increases, with Rag-5xFAD mice demonstrating an accelerated accumulation. Female mice showed earlier and greater increases in uPAR than males. At the cellular level, uPAR expression was most prominent in glia-like cells and strongly enriched in Iba1-ir microglia, particularly those clustered around amyloid-β plaques, with the subiculum exhibiting the earliest and highest regional accumulation. Limited but consistent uPAR-ir was also observed in select neuronal populations, matching prior reports of context-dependent neuronal uPAR expression. Bulk RNA sequencing of Rag-5xFAD brains revealed upregulation of innate immune, phagocytosis, and disease-associated microglia (DAM) transcriptional programs, with modest changes in Plaur transcript abundance. These findings identify uPAR as a marker of glial populations undergoing transcriptional and functional changes associated with a DAM-like state in AD-pathology mouse models and indicate that adaptive immune deficiency accelerates the accumulation of uPAR+, DAM-like glial populations in AD-like mice.\n\n\n### Effect of APOE4 iPSC derived astrocytes on blood brain barrier integrity and amyloid clearance\nD. Nash1, M. Malik2, X. Guo1, and J.J. Hickman1,2\n1Nanoscience Technology Center, University of Central Florida, 12424 Research Parkway, Suite 400, Orlando, FL 32826, USA\n2Hesperos, Inc. 3459 Progress Dr. Orlando, FL. 32826, USA\nAlzheimer’s disease (AD) is a progressive neurodegenerative disease in which amyloid-β (Aβ) peptide accumulation in the central nervous system is a dominant pathological hallmark pivotal to the progression of AD. While the exact mechanisms of Aβ are not fully understood, the blood brain barrier (BBB) clears around 85% of all Aβ through the low-density lipoprotein receptor-related protein 1 (LRP1). Apolipoprotein E ε4 (APOE4) gene is the strongest AD genetic risk factor that actively participates in the pathogenesis of AD. This research utilized an iPSC-derived microphysiological BBB model to investigate the effect of APOE4 variant expressed in astrocytes on BBB integrity, function, and clearance mechanisms. Astrocytes differentiated from both APOE2/3 and AD-like APOE4/4 iPSC lines were integrated into the BBB model, which was established by co-culturing astrocytes with iPSC-brain microvascular endothelial cells (BMECs) separated by a synthetic membrane under a microfluidic condition. The identity of the cells forming BBB as well as the expression of efflux and influx transporters in the model were characterized by immunocytochemistry. BBB barrier integrity, permeability, and nutrient transport function were analyzed by Trans-endothelial electrical resistance (TEER) measurements, Fluorescein Isothiocyanate (FITC)-Dextran 70kDa permeability assessment, and facilitative glucose transporter GLUT-1 assays respectively. To analyze the amyloid clearance function, the systems were dosed with varying concentrations of Aβ42 monomers and oligomers on the CNS or PNS side of the BBB for 24 hours, and the transported amyloid was quantified with ELISA. A significantly lower TEER and GLUT-1 transport was observed in the APOE4/4 system compared with the APOE2/3 variant condition. The CNS-to-PNS clearance of Aβ42 in the APOE4/4 systems was reduced compared with those in APOE2/3 conditions even when the TEERs maintained similar to controls. This research contributes to the understanding of AD pathogenesis while providing a drug evaluation platform for future toxicity & effectiveness studies.\n\n\n### A Bioluminescent Kinase Sensor (Blinks) Platform for Monitoring and Controlling Neuroinflammation\nO. Dubey1,2, M. Chatterton2,3, N.Khiabani2,3, J. Rossignol1,2,3, J. Bakke1,2, and E. Petersen1,2,3\n1CMU Biochemistry, Cell and Molecular Biology Program\n2CMU College of Medicine\n3CMU Neuroscience Program\nChronic inflammation underlies numerous pathological conditions, including autoimmune and neurodegenerative diseases. In the central nervous system, sustained inflammatory signaling exacerbates disorders such as Alzheimer’s and Parkinson’s disease. Although anti-inflammatory therapies such as JAK inhibitors are clinically available, their lack of cellular specificity often results in systemic toxicity and severe side effects. To address these limitations, we are engineering a genetically encoded Bioluminescent Kinase Sensor (BlinKS) platform coupled to a synthetic gene circuit for real-time detection and autonomous regulation of inflammatory signaling.\nBlinKS is designed to sense activation of key inflammatory pathways, including JAK/STAT and NF-κB, and convert kinase activity into a bioluminescent output that drives light-dependent gene expression via the optogenetic transcription factor EL222. The sensor architecture consists of a split luciferase reconstituted upon phosphorylation-dependent intramolecular interactions between a phospho-amino acid binding domain (PAABD) and pathway-specific kinase substrates. We have generated and experimentally validated BlinKS variants targeting JAK1, JAK2, STAT1, STAT3, and candidate kinases within the NF-κB pathway, demonstrating pathway-responsive bioluminescent output in cell-based assays.\nTo enhance sensitivity, specificity, and dynamic range, we are systematically optimizing luciferase variants, linker composition and length, and PAABD–substrate pairings, while expanding the repertoire of inflammatory kinase targets. We further demonstrate that BlinKS-generated bioluminescence is sufficient to activate EL222-based transcriptional circuits, enabling regulation of downstream anti-inflammatory gene expression, including IL-10.\nCollectively, this work establishes BlinKS as a modular platform for monitoring inflammatory signaling and implementing self-regulating therapeutic responses. This approach provides a powerful tool for dissecting inflammation dynamics and lays the groundwork for precision, cell-specific interventions in neuroinflammatory and other inflammatory diseases. Support for this study was provided by the NIH R21EB034494.\n\n\n### Establishment of a Fully Human iPSC-Derived Model of Peripheral Myelination\nA. Patel1,3, M. Williams1, K. Hawkins1, L. Gallo1, M. Grillo1, N. Akanda1, X. Guo1, S. Lambert2, and J.J. Hickman1,3\n1NanoScience Technology Center, University of Central Florida, 12424 Research Parkway, Suite 400, Orlando, Florida 32826, United States\n2College of Medicine, University of Central Florida, 6850 Lake Nona Blvd, Orlando, Florida 32827, United States\n3Hesperos Inc., 12501 Research Parkway, Suite 100, Orlando, Florida 32826, United States\nMyelination and node of Ranvier formation play an important role in the rapid conduction of nerve impulses along axons in the peripheral nervous system (PNS). We report a fully human model of peripheral myelination using human induced pluripotent stem cell (iPSC) -derived Schwann cells (SCs), and motoneurons in a fully defined serum-free medium, allowing disease modeling, drug discovery, and potentially a platform for personalized medicine. iPSC-derived SCs were characterized for their myelination potential, and after 30 days in coculture with motoneurons, hallmark features of myelination, myelin segment and node of Ranvier formation were investigated. Myelin segments were observed surrounding motoneuron axons, with formation of clusters of voltage-gated sodium channels and the paranodal protein contactin-associated protein 1, indicating node of Ranvier formation. Using high resolution confocal microscopy, 3D reconstructions of multiple myelin segments were created, allowing the measurement of myelin g-ratio, a readout which typically has only been collected using transmission electron microscopy, a technique prohibitive to 2D cellular models. The average g-ratio of myelin segments in the wildtype iPSC-derived model of myelination was seen to be .65, which matches the value range reported in literature. Establishment of this iPSC based disease model provides a platform to test various drugs and therapeutics that could potentially ameliorate PNS diseases such as Charcot–Marie Tooth disorder, Guillian–Barre syndrome, and anti-myelin-associated glycoprotein peripheral neuropathy, with greater translatability to human patients than animal models allow. The adaptation of this system onto a microelectrode array system would provide a functional readout in addition to the collected biomarker information which would be extremely useful when it comes to testing of drugs to treat diseases where the myelination and therefore action potential conduction is impaired.\n\n\n### Engineered pro-angiogenic hydrogel for neural stem cell transplantation after stroke\nI. Pham1+, M.T. Mapua1+, J.C. Teng2, M. Navarro1, and L.R. Nih1\n1Department of Brain Health, Kirk Kerkorian School of Medicine, University of Nevada, Las Vegas, NV, 89154, USA.\n2College of Osteopathic Medicine, Touro University California, Vallejo, CA, 94592, USA.\n+equal contribution\nStroke is a leading cause of long-term disability in the United States, and no clinical trials to date have successfully reduced neurological impairment in stroke survivors. While stem cell transplantation has shown promise in activating brain repair mechanisms in preclinical models of cerebral ischemia, its clinical translation has been limited by poor cell survival and insufficient control over cell fate and differentiation. We have recently developed a Hyaluronic Acid (HA)-based biomimetic hydrogel platform specifically designed to enhance control over NPC survival and differentiation post-implantation. We hypothesize that incorporating pro-angiogenic properties to this material will further enhance its regenerative capabilities. To test this hypothesis, we integrated into our HA platform a slow controlled-release system for the delivery of Vascular Endothelial Growth Factor (VEGF) prior to loading NPCs and brain injection into the lesion site of a mouse model of cerebral ischemia. We found that this combination increased peri-lesional angiogenesis, reduced the injury-associated inflammatory response, and greater promoted functional recovery compared with NPC-loaded hydrogel and pro-angiogenic hydrogel alone. Our findings indicate that pro-angiogenic functionality within stem cell–loaded hydrogels plays a key role in supporting cell-mediated motor recovery.\n\n\n### Role of Hemispheric Dominance in Stem Cell–Mediated Restoration of Motor Function in the 6-OHDA Model of Parkinson’s Disease\n*D. Pokharel1, 2, 3, D. Beligala4, K. Le5, K. Venkiteswaran5, and T. Subramanian5\n1Department of Neurosciences and Psychiatry, University of Toledo College of Medicine and Life Sciences, Toledo, OH, USA, 43614.\n2College of Medicine, University of Toledo College of Medicine and Life Sciences, Toledo, OH, USA, 43614.\n3Department of Neurology, University of Toledo College of Medicine and Life Sciences, Toledo, OH, USA, 43614.\n4Department of Biology, Ohio Northern University, Ada, OH, USA, 45810.\n5Department of Neurology, Howard University, Washington DC, USA, 20059.\nParkinson’s disease (PD) is a progressive neurodegenerative disorder characterized by the selective loss of dopaminergic neurons in the substantia nigra pars compacta, resulting in motor deficits. A hallmark of PD is its asymmetric onset, with symptoms typically emerging on one side of the body, suggesting hemispheric differences in nigrostriatal vulnerability. While stem cell transplantation has shown promise in restoring motor function, the influence of hemispheric dominance on graft-mediated recovery remains poorly understood. This study examined whether transplantation of human embryonic stem cell (hESC)-derived dopaminergic progenitors into the dominant versus non-dominant hemisphere differentially affects behavioral recovery in a unilateral 6-hydroxydopamine (6-OHDA) rat model of Parkinsonism.\nAdult Sprague Dawley rats (N = 15) were assessed for paw preference to determine motor dominance prior to lesioning. Unilateral 6-OHDA lesions were stereotaxically delivered to the substantia nigra pars compacta (SNpc) to induce hemiparkinsonism. Lesion efficacy was confirmed using apomorphine-induced rotational and a rodent behavioral battery of tests (RBBT). hESC-derived dopaminergic progenitors were then transplanted into the lesioned striatum of either the dominant (n = 3) or non-dominant (n = 3) hemisphere. Motor performance was assessed using the RBBT for up to 26 weeks of post-transplantation. At the end, brains were collected for histological and immunohistochemical analyses.\nBoth transplant groups showed significant motor improvement compared to pre-transplant baselines (p < 0.05). However, no significant differences were observed between dominant and non-dominant hemisphere transplants at any time point (p = 0.27–0.91). Histological analyses revealed graft survival and differentiation, with transplanted cells expressing midbrain dopaminergic markers.\nThese findings indicate that hESC-derived dopaminergic progenitor transplantation produces comparable functional recovery regardless of hemispheric dominance. The absence of lateralized effects may reflect limited sample size. Future studies with larger cohorts and advanced circuit-level analyses are needed to clarify whether hemispheric specialization influences graft–host interactions and therapeutic outcomes in PD.\n\n\n### Preliminary evaluation of AneuScreenTM: a blood-based assay to predict intracranial aneurysm rupture risk\nK.E. Poppenberg1,2,3, T.R. Patel1,2,4, J-K. Burkhardt5, M. Mokin6, E.A. Samaniego7, E.I. Levy3, A.H. Siddiqui1,3, and V.M. Tutino1,2,3,4\n1Canon Stroke and Vascular Research Center, University at Buffalo, Buffalo, NY, USA 14203\n2Neurovascular Diagnostics, Buffalo, NY, USA 14203\n3Department of Neurosurgery, Jacobs School of Medicine and Biomedical Sciences, University at Buffalo, Buffalo, NY, USA 14203\n4Department of Pathology and Anatomical Sciences, Jacobs School of Medicine and Biomedical Sciences, University at Buffalo, Buffalo, NY, USA 14203\n5Department of Neurosurgery, Perelman School of Medicine, University of Pennsylvania, Philadelphia, Pennsylvania, USA 19104\n6Department of Neurosurgery, Brain and Spine, University of South Florida, Morsani College of Medicine, Tampa, FL, USA 33602\n7Interventional Neuroradiology/Endovascular Neurosurgery Division Department of Neurology, Neurosurgery and Radiology, The University of Iowa Hospitals and Clinics, Iowa City, Iowa, USA 52242\nIntracranial aneurysm (IA) is a cerebrovascular disease that affects ~3-5% of the US population. An IA can rupture, causing subarachnoid hemorrhage, which is associated with high rates of morbidity and mortality. Therefore, it is critical to assess rupture risk so clinicians can treat those likely to rupture, while sparing those at low risk from the complications of surgery. Currently, risk assessment is based on the patient’s medical history and imaging, but cerebral imaging is expensive and carries its own risks. To overcome this, we are developing a low-cost, non-invasive RNA biomarker, AneuScreenTM, that uses circulating blood to assess IA rupture risk. Using results from previous RNA sequencing studies and feature ranking, we identified a panel of genes associated with IA risk assigned by the widespread clinical metric PHASES. We then designed probes and validated them using pooled control human blood. Subsequently, we tested the assay on clinical samples collected from four IRB-approved sites in the US. The assay expression data was combined with basic clinical data to bolster the prediction model. Multiple feature selection strategies were independently evaluated across 500 stratified, random splits (80/20 train-test). Features selected in at least 50% of iterations were deemed stable and used to train four classifiers, each optimized via 5-fold cross-validation in 500 randomizations in the training set. Model performance was assessed using receiver operating characteristic area under the curve (ROC AUC), sensitivity, specificity, and accuracy, averaged across bootstraps. Finally, SHapley Additive eXPlanations (SHAP) were used to evaluate feature importance. Ultimately, we identified 15 features, both genes and clinical datapoints, that were used in a logistic regression model to predict aneurysm risk, achieving an average AUC>0.8. Additional validation in larger cohort is necessary, but this work demonstrates the potential of using circulating blood to assess intracranial aneurysm rupture risk.\n\n\n### The Epileptogenicity of Single Pulse Electrical Stimulation for Corticocortical Evoked Potentials in Stereotactic EEG\nM. Rostamihosseinkhani1, R.J. Chatfield1, R.J. Smith2, and B.C. Cox1,3\n1University of Alabama at Birmingham, Department of Neurology, Birmingham, AL\n2University of Alabama at Birmingham, School of Engineering, Birmingham, AL\n3Birmingham VA Medical Center, Neurology Service, Birmingham, AL\nSingle-pulse electrical stimulation (SPES) using stereo-EEG (sEEG) electrodes generates corticocortical evoked potentials (CCEPs) and is increasingly used to investigate brain connectivity and identify the seizure-onset zone in drug-resistant epilepsy. It is important to assess whether SPES affects the seizure network. We applied SPES in 36 patients undergoing sEEG for seizure localization, delivering stimulation between all paired electrode contacts at 5 mA, 1 Hz, 300 μs over 30 seconds. One-hour sEEG segments before and after stimulation were reviewed. Stimulation-induced seizures were assessed in all patients. Interictal spike rates (spikes/min) and seizure counts before and after stimulation were manually counted in 27 patients with available baseline recordings. Colocalization of stimulation-induced seizures with spontaneous seizures was noted. Wilcoxon signed-rank test compared pre- and post-stimulation spike rates, and McNemar’s test assessed changes in seizure occurrence.\nSpike rates did not significantly differ from pre-SPES (mean 28.2 spikes/min) to post-SPES (mean 25.4 spikes/min), with a mean decrease of 2.8 spikes/min (P = 0.38; Figure 1). Within the hour before and after SPES, 2 patients had seizures only before SPES, 2 patients had seizures only after SPES, and 21 patients had no seizures in either period. The difference in seizure frequency was not significant (P = 1.00). Eleven patients had SPES-induced seizures (5 subclinical, 4 clinical, 2 both), with an average of 1.45 subclinical and 0.63 clinical seizures. All SPES-seizures colocalized with spontaneous seizures except in two patients—one in the early propagation zone and one in a non-involved area.\nThis study provides preliminary evidence that SPES does not significantly alter interictal spike rates or seizures. Despite the limited sample, further research in larger groups is needed. Demonstrating SPES safety remains a key step toward wider clinical and research use.\n\n\n### Large-Scale Deep Proteomic Analysis in Alzheimer’s Disease Brain Regions Across Race and Ethnicity\nF. Seifar1,2, E.J. Fox1, A. Shantaraman1, Y. Liu1, E.B. Dammer1, E. Modeste1, D.M. Duong1, L. Yin1, A.N. Trautwig1, Q. Guo1, K. Xu1, L. Ping1, J.S. Reddy2, M. Allen2, Z. Quicksall2, L Heath3, J. Scanlan3, E. Wang4,5, M. Wang4,5, A.V. Linden3, W. Poehlman3, X. Chen2, S. Baheti2, C. Ho2, T. Nguyen2, G. Yepez2, A.O. Mitchell2, S.R. Oatman2, X. Wang2, M.M. Carrasquillo2, A. Runnels6, T. Beach7, G.E. Serrano7, D.W. Dickson2, E.B. Lee8, T.E. Golde1, S. Prokop9, L.L. Barnes10, B. Zhang4,5, V. Haroutunian4, M. Gearing1, J.J. Lah1, P. De Jager11, D.A. Bennett10, A. Greenwood3, N. Ertekin-Taner2,12, A.I. Levey1, A. Wingo1, T. Wingo1, and N.T. Seyfried1\n1Emory University School of Medicine, Atlanta, Georgia, USA\n2Department of Neuroscience, Mayo Clinic Florida, Jacksonville, Florida, USA\n3Sage Bionetworks, Seattle, Washington, USA\n4Department of Genetics and Genomic Sciences, Icahn School of Medicine at Mount Sinai, New York, New York, USA\n5Mount Sinai Center for Transformative Disease Modeling, Icahn School of Medicine at Mount Sinai, New York, New York, USA\n6New York Genome Center, New York, New York, USA\n7Banner Sun Health Research Institute, Sun City, Arizona, USA\n8Center for Neurodegenerative Disease Research, University of Pennsylvania, Philadelphia, Pennsylvania, USA\n9University of Florida, Gainesville, 100 Academic Advising Center, Gainesville, Florida, USA\n10Rush Alzheimer’s Disease Center, Rush University Medical Center, Chicago, Illinois, USA\n11Columbia University Irving Medical Center, New York, New York, USA\n12Department of Neurology, Mayo Clinic Florida, Jacksonville, Florida, USA.\nAlzheimer’s disease (AD) is the most prevalent neurodegenerative disorder, yet most molecular studies have focused on non-Hispanic White (NHW) populations, limiting understanding of disease biology across diverse racial and ethnic groups. We performed a large-scale deep proteomic analysis of two cortical brain regions harmonized across multiple centers using uniform neuropathological criteria. The study included 998 unique donors, of whom 273 self-identified as African American, 229 as Latino American, and 434 as NHW. Approximately 10,000 proteins were quantified in the dorsolateral prefrontal cortex and superior temporal gyrus. While amyloid precursor protein and microtubule-associated protein tau showed increased abundance in AD brains and correlated with Consortium to Establish a Registry for Alzheimer’s Disease and Braak stages, no significant race-related differences were observed in global protein abundance or in focused analyses of specific amyloid beta species and tau domains. Proteome-wide AD-associated changes were highly concordant between African American and NHW individuals. These findings indicate that racial differences in AD risk and clinical presentation are not driven by large differences in the brain proteome, suggesting that other biological or social determinants underlie observed disparities.\n\n\n### Testing the link between intrinsic fitness and disease onset, phenotype, and progression in the SOD1-G93A rat model of ALS\nN. Shahlari1, M.O. Rupp1, and J.A. Stanford1\n1Department of Cell Biology and Physiology, University of Kansas Medical Center, Kansas City, KS 66160, United States\nAmyotrophic Lateral Sclerosis (ALS) is a fatal neurodegenerative disease that targets motor neurons in the brain and spinal cord. Initial symptoms of muscle weakness resulting from neuromuscular denervation progress rapidly to muscle atrophy and paralysis. Increasing evidence supports a hypermetabolic state in ALS. Given the heterogeneity of symptom onset and progression in ALS, identifying metabolic factors that interact with disease processes should improve treatment strategies. A key knowledge gap is differentiating intrinsic (genetic) and extrinsic (lifestyle) fitness, which is exceedingly difficult in humans given decades-long exposure to lifestyle and diet. To address this gap, we mated male SOD1-G93A (SOD1+) rats with female rats selectively bred for low (LCR) or high (HCR) aerobic capacity. As adults, LCR rats exhibit greater body weight, greater adiposity, and a poor metabolic profile. We compared LCR-SOD1+ and HCR-SOD1+ rats with their wildtype LCR and HCR littermates and a group of female and male SOD1+ rats. At this stage, changes in body composition are greatest in female SOD1+ rats, with no difference in survival between and their male SOD1+ counterparts. Interestingly, changes were less in LCR-SOD1+ and HCR-SOD1+ females than in SOD1+ females and the other SOD1+ groups. These rats are still being tested, and disease onset, phenotype, and progression will be reported.\n\n\n### Mechanisms Underlying Huntington’s Disease Onset Delay by the DNA Ligase 1 K845N Variant\nB. Srinageshwar1,2,3, E. Lee1,2, W. Kim1,2, D.H. Beier4, Y. Lee, M. Kovalenko1, F. Saif1, E. Oliver1, R. Murtha1, M.A. Andrew1, T. Gillis1, B. Demelo1, J. Ruliera1, D. Lucente1,2, S. Kwak5, R. Lee5, R.M. Pinto1,2,3, M.E. MacDonald1,2,3, J.F. Gusella1,2,3,6, P.J. O’Brien4, I.S. Seong1,2*, and V.C. Wheeler1,2,3*\n1Molecular Neurogenetics Unit, Center for Genomic Medicine, Massachusetts General Hospital, Boston, MA, 02114, USA,\n2Department of Neurology, Massachusetts General Hospital and Harvard Medical School, Boston, MA, 02114, USA,\n3Medical and Population Genetics Program, the Broad Institute of M.I.T. and Harvard, Cambridge, MA, 02142, USA.\n4Department of Biological Chemistry, University of Michigan Medical School, Ann Arbor, MI, 48109, USA,\n5CHDI Management Inc., Princeton, NJ, 08540, USA,\n6Department of Genetics, Blavatnik Institute, Harvard Medical School, Boston, MA, 02115, USA\nAbstract: Huntington’s disease (HD) is an autosomal dominant fatal neurodegenerative disorder caused by a CAG repeat expansion in the Huntingtin (HTT) gene leading to motor, cognitive, and psychiatric symptoms. Although there is no cure for HD, our understanding of disease biology has deepened substantially, due to the identification of genetic modifiers through genome-wide association studies (GWAS) that influence clinical phenotypes which inform current research and clinical trials. A subset of these acts by modifying the somatic CAG expansions in brain, while others act via other unknown mechanisms. Importantly, modifier genes provide human-validated drug targets. A notable genetic modifier is DNA ligase 1 (LIG1; Chr 19). The GWAS identified two independent LIG1 modifier signals—19AM1 and 19AM3. The top variant for 19AM3, rs145821638 (K845N), is a rare allele (MAF 0.2% in Europeans) producing a 7–8 year delay in age of HD motor onset, making it one of the strongest modifiers discovered. The strong effect of this variant motivates investigation of its disease-modifying mechanism, with potential to inform therapies that delay disease onset. Our recently published data shows that 1) The K845N variant preserves LIG1 activity on canonical base-paired substrates but reduces activity on mismatched and oxidatively damaged DNA, thus increasing DNA ligation fidelity; 2)The K845N protects the genome against oxidative stress-induced damage in an overexpression system and in patient-derived lymphoblastoid cell lines; 3) The orthologous mutation (K843N) suppresses somatic CAG expansion in HD knock-in mice brain (~106 CAGs). Building on preliminary data, we are examining K845N effects on HTT CAG instability and global DNA repair in HD knock-in mice (~80 and ~130 CAGs), primary neurons from HD mice carrying LIG1 K843N variants and patient-derived iPSC neurons.\nFunding Source: Support for this study was provided by the National Institutes of Health (5 R01 NS127866-02) and by the CHDI Foundation.\n\n\n### The cryo-EM-delineated mechanism underlying mimicry of CXCR4 agonism enables widespread stem cell neuroprotection in a mouse model of ALS\nK.S. Sundaram4#, X. Sang1,#, H. Jiao2,#, Q. Meng3,#, X. Fang3,#, J. Zhou1,#, Y. Xu5, A.I.W. Alvarado4,6, R.L. Nuryyev4,6, J. Ourenik4,6, V. Ourednik4,6, I.S. Huang4,6, X. Liu5,7, Y. Mei1, T. Qian1, A. Ciechanover1,8, D.P. Pizzo9, M.A. Lane10, L.V. Zholudeva11, J. An5,*, E.Y. Snyder4,6,*, H. Hu2,*, and Z. Huang1,3,5,*\n1Ciechanover Institute of Precision and Regenerative Medicine, School of Medicine, The Chinese University of Hong Kong, Shenzhen 518172, China\n2Kobilka Institute of Innovative Drug Discovery, School of Medicine, The Chinese University of Hong Kong, Shenzhen 518172, China\n3School of Life Sciences, Tsinghua University, Beijing 100084, China\n4Center for Stem Cells and Regenerative Medicine, Sanford Burnham Prebys Medical Discovery Institute, La Jolla, CA 92037, USA\n5Division of Infectious Diseases and Global Public Health, Department of Medicine, School of Medicine, University of California San Diego, La Jolla, CA 92037, USA\n6Sanford Consortium for Regenerative Medicine, La Jolla, CA 92037, USA\n7School of Chemistry and Chemical Engineering, Guangdong Pharmaceutical University, Zhongshan 528458, China\n8Technion Rappaport Integrated Cancer Center, The Rappaport Faculty of Medicine and Research Institute, Technion-Israel Institute of Technology, Haifa 3109601, Israel\n9Department of Pathology, University of California San Diego, La Jolla, CA 92037, USA\n10Drexel University, Philadelphia, PA 19104, USA\n11Gladstone Institutes, San Francisco, CA 94158, USA\n#X.S., H.J., Q.M., X.F., K.S.S. and J.Z. contributed equally to this work.\n*Co-senior/corresponding authors\nG-protein coupled receptors (GPCRs) are transmembrane proteins that mediate a range of functions, offering targets for several therapeutic interventions. One such GPCR, CXCR4, participates in many normal and abnormal processes. CXCR4 antagonists have been used extensively for treating cancer, blocking HIV intracellular entry, etc. CXCR4 agonism, however, has been less often explored. We unveiled such a novel therapeutic use by elucidating CXCR4’s molecular structure using cryogenic electron microscopy. In 2004, we reported that a mechanism underlying neural stem cell (NSC) “pathotropism” was expression of inflammatory cytokines, (like SDF1α) in neuropathological regions which, in turn, upregulate receptors (like CXCR4) on the NSC surface, promoting their directed homing to lesions. While engagement by SDF1α of CXCR4’s binding pocket promotes desirable chemoattraction and homing by directing NSC migration, SDF1α binding to CXCR4’s signaling pocket initiates inimical inflammatory cascades. However, by chemical mutagenesis of SDF-1α, we designed synthetic peptides (“SDV1a” and “SDVX1”) that maximally engage CXCR4’s binding pocket while minimally triggering actions downstream of its signaling pocket – i.e., a dual moiety compound and new class of drugs. We demonstrated therapeutic benefit of SDV1a in the SOD1G93A mouse model of ALS in which we had previously published (2012) that the degree of motor neuron (MN) neuroprotection conferred by transplanted NSCs correlated directly with the expanse of diseased neuroaxis traversed. Co-administration of SDV1a with human NSCs (hNSCs) not only promoted broader neuroprotective coverage but also enabled a minimally-invasive route of hNSC administration (via the cisterna magna) which could be atraumatically repeated whenever symptoms recurred (re-treatment itself constitutes a novel approach to cell-based treatment of neurologic disease). Taken together, symptom-free lifespan was extended at least 3-times longer than that of untreated ALS mice (experiments we artificially terminated at that point) with concomitant host MN survival. Such drug + cell approaches may be applied to other CNS diseases.\n\n\n### Early Short-Term α2δ-1 Modulation is Associated with Thalamic Synaptic Remodeling and Late-Onset Behavioral Outcomes after Traumatic Brain Injury\nC. Bromberg1,2,3, S. Ogle1, G. Krishna1,2, and T. Currier Thomas1,2,3,4*\n1University of Arizona- College of Medicine-PHX, Phoenix, AZ, 85004 USA\n2Phoenix Children’s Hospital-Department of Child Health, Phoenix, AZ, 85016 USA\n3Arizona State University-School of Life Sciences, Tempe, AZ, 85287 USA\n4University of South Florida, Tampa, FL, 33612 USA\nTraumatic brain injury (TBI) frequently results in persisting post-concussive symptoms (PPCS), which arise, in part, from maladaptive synaptic reorganization. Astrocyte-derived thrombospondins (TSPs) have been implicated as transient mediators of post-injury synaptogenesis through binding to the α2δ-1 subunit. This interaction may be allosterically inhibited by gabapentin (GBP), an FDA-approved drug for neuropathic pain and epilepsy; however, its effects on TBI-induced synaptic remodeling have not been evaluated.\nHere, we characterized the temporal profile of post-injury TSP expression and administered GBP during the window of TSP elevation, quantified subacute synaptic changes in thalamocortical relays, evaluated effects on late-onset sensory symptoms, and determined the pharmacokinetic relevance of the dose in male and female sham and injured rats. Young adult Sprague–Dawley rats underwent diffuse axonal injury using midline fluid percussion injury (righting reflex time: 6-11min) and received GBP (30, 100, or 300 mg/kg/day) or vehicle during the first 7–10 days post-injury (DPI). Rats were randomized to sham+vehicle, injury+vehicle, or injury+GBP groups and assessed for whisker hypersensitivity using the whisker nuisance task (WNT) at 28DPI. All GBP doses reduced WNT scores relative to injury+vehicle rats (p<0.05, n=10/group).\nUsing the 100 mg/kg dose, synaptic colocalization was quantified using synaptic puncta colocalization at 7DPI. Injury+vehicle rats exhibited increased synaptic colocalization in the thalamic relay compared to sham (p<0.05, n=3–6/group), whereas injury+GBP rats showed a 53% reduction, with values comparable to sham. Pharmacokinetic analysis following 48h of GBP (100mg/kg/day) revealed sex- and injury-dependent differences in serum levels and sex differences in brain concentrations (p<0.05, n=8/group), while achieving clinically relevant serum concentrations (6.0±0.4 ng/mL).\nTogether, these findings demonstrate that early, short-term GBP administration is associated with reduced subacute thalamic synaptic remodeling and attenuation of late-onset sensory hypersensitivity following TBI, providing a pharmacokinetic and mechanistic foundation for further investigation of α2δ-1–targeted strategies as early interventions for PPCS.\nFunding: NIH R01NS100793\n\n\n### Evaluation of Large Familial Intracranial Aneurysm Database\nV.M. Tutino1,2,3,4, K.E. Poppenberg1,2,3, M.L. Petrick5, and R.A Hanel5\n1Canon Stroke and Vascular Research Center, University at Buffalo, Buffalo, NY, USA 14203\n2Neurovascular Diagnostics, Buffalo, NY, USA 14203\n3Department of Neurosurgery, Jacobs School of Medicine and Biomedical Sciences, University at Buffalo, Buffalo, NY, USA 14203\n4Department of Pathology and Anatomical Sciences, Jacobs School of Medicine and Biomedical Sciences, University at Buffalo, Buffalo, NY, USA 14203\n5Baptist Neurological Institute, Lyerly Neurosurgery; Jacksonville, FL, USA, 32207\nUnruptured intracranial aneurysms (UIAs) affect approximately 3.2% of the population, with a higher incidence in females. These vascular abnormalities carry an annual risk of rupture of about 10 cases per 100,000 individuals. Aneurysmal subarachnoid hemorrhage (SAH) accounts for roughly 30,000 cases annually in the US, representing a severe untreated mortality burden of 66.7%. This study aims to conduct a comprehensive analysis of local, retrospective, and prospective data on the diagnosis and treatment of intracranial aneurysms (IAs) in patients. Additionally, it seeks to establish an effective screening protocol for first-degree relatives of IA patients, utilizing non-contrasted magnetic resonance imaging (MRA). Through subsequent blood sample collection and genetic sequencing, the study seeks to identify potential genetic markers, thereby enhancing future screening and treatment strategies. Following approval from the hospital’s ethics committee, a cohort registry was established, which aggregated retrospective and prospective data from individuals diagnosed/treated for IA. Further, it includes screening of first-degree relatives of IA patients via MRA. These relatives also consented to participate in blood sample collection for genetic marker evaluation. Ultimately, the study enrolled 1,523 individuals with females comprising 72.3%. Of these, 585 were clinically diagnosed with IAs, and 938 were first-degree relatives. From the family members enrolled, 90% have one and 10% have two or more first-degree relatives with IAs. Among the screened relatives, 85.6% underwent MRA, revealing a 11.7% positive detection rate for IAs, a higher-than-expected incidence of positive IA screenings among first-degree relatives. Blood samples were collected from 1,354 subjects for genetic sequencing. These blood samples will be used in a subsequent study, the DREAM (Detection and Risk assEssment of intracranial Aneurysms in faMilial cases) trial to evaluate prediction of aneurysm presence and potential risk from a blood-based biomarker assay, AneuScreenTM, specifically in familial cases.", "domain": "affective_neuroscience"}
{"source": "PMC13055061", "title": "Towards bioelectric signal-enabled human healthcare monitoring: state-of-the-art, design strategies, challenge, and future", "text": "# Towards bioelectric signal-enabled human healthcare monitoring: state-of-the-art, design strategies, challenge, and future\n\n## Abstract\nBioelectric signals play a vital role in human healthcare monitoring. This review examines front-end circuits and systems for acquiring electroencephalogram (EEG), electrocorticogram (ECoG), electrocardiogram (ECG), electrooculogram (EOG), and electromyogram (EMG) signals, highlighting key design considerations and challenges. This work further surveys related state-of-the-art biosensors, commercial components, and wearable consumer products, and offers insights into emerging research directions in biosensor circuit design for next-generation healthcare applications.\n\n## Full Text\n\n\n### Introduction\nHealthcare has been a global concern that consistently captures widespread attention1–3. According to the facts from the World Health Organization (WHO), cardiovascular disease (CVD), the leading cause of death globally, caused 17.9 million deaths in 2019 (32% of global deaths)4, while cancers accounted for nearly 10 million deaths, nearly one in six deaths5. Many other diseases, such as diabetes6, hypertension7, heart attack8, and epilepsy9, are also causing negative health and premature death. As a result, a crucial shift from reactive to holistic and preventative healthcare is needed, and public health expenditures should be reduced to make healthcare resources more universally accessible10. Therefore, proactively detecting bioelectric signals is necessary and should be implemented in a low-power, low-cost, reliable, and convenient manner to facilitate early disease diagnosis11. With advances in material science and integrated circuits, biosensors, the devices to detect, process, and analyze biosignals, have been gaining great popularity in both research and daily life12.\nA biosensor typically comprises a bio-receptor, a transducer (which converts a biological response into an electric signal), and an electronic system (generally composed of amplifiers, filters, and data acquisition devices)13,14. Embarking on the third generation with significantly higher electron transfer efficiency and sensitivity15, the evolution of biosensors has been propelled by multi-disciplinary research16, heading towards low power, battery-less, excellent reliability, and minimal disruption to users’ daily life. Moreover, an increasing number of biosensors are being interconnected with traditional radio frequency (RF) communications and integrated into a wearable device (e.g., E-glasses17, smartwatches18, vests19, belts20), forming an Internet of Bodies (IoB) system to provide more comprehensive real-time healthcare, as shown in Fig. 1. These make the strategic design of biosensor circuits a critical focus, enabling efficient detection and processing of biosignals. Numerous factors must be considered in biosensor design, including electrode, input impedance, gain, bandwidth, power consumption, noise, interference, motion artifacts, and direct current (DC) offset. Extensive studies have been implemented in this field21–24, leading to numerous bioelectric signal sensor designs with various specifications, use scenarios (wearable, implantable, injectable, ingestible, etc.), and strategies to address the aforementioned challenges.Fig. 1Overview of biosensors for human healthcare monitoring.The left side of the figure sequentially introduces biosignals for monitoring brain activity (EEG/ECoG), tracking ocular movements (EOG), measuring cardiac function (ECG), and capturing muscle activity (EMG), each with their respective diagnostic functions based on the physiological signal type. The biosensors are being interconnected by radio frequency communications, as depicted at the bottom of the figure, such as Bluetooth and ZigBee. These sensors are integrated into miniaturized smart wearable devices, displayed on the right side, enabling continuous and real-time health monitoring. EEG electroencephalogram, ECoG electrocorticogram, ECG electrocardiogram, EOG electrooculogram, EMG electromyogram.\nThe left side of the figure sequentially introduces biosignals for monitoring brain activity (EEG/ECoG), tracking ocular movements (EOG), measuring cardiac function (ECG), and capturing muscle activity (EMG), each with their respective diagnostic functions based on the physiological signal type. The biosensors are being interconnected by radio frequency communications, as depicted at the bottom of the figure, such as Bluetooth and ZigBee. These sensors are integrated into miniaturized smart wearable devices, displayed on the right side, enabling continuous and real-time health monitoring. EEG electroencephalogram, ECoG electrocorticogram, ECG electrocardiogram, EOG electrooculogram, EMG electromyogram.\nThe existing reviews have thoroughly explored the electrodes, fabrication, materials, mechanisms, and applications of various types of biosensors25–29. However, there is a salient gap in the literature regarding the design considerations of biosensor circuits. Moreover, an in-depth discussion on the strategies to address design problems in response to these considerations is absent. This paper exhaustively reviews the design considerations, strategies, challenges, and insights of circuit design for biosensors used in detecting bioelectric signals, including electroencephalogram (EEG), electrocorticogram (ECoG), electrocardiogram (ECG), electrooculogram (EOG), and electromyogram (EMG), to bridge this gap. Specifically, we address the following topics:The biosensor\ncircuits to acquire and process bioelectric signals are overviewed. The strategies adopted by the biosensors to address various design issues are summarized.Design\nconsiderations\nand\nchallenges of biosensor circuits are analyzed, and the strategies to address these considerations and challenges are elucidated.The commercial\noff-the-shelf (COTS) components as the analog front end (AFE) for biomedical signal acquisition and preprocessing are reviewed. Moreover, the commercial\nconsumer\nwearables for home-based preventive care are examined. The key performances of COTS components and consumer wearables are discussed and compared.Emerging\nand\nhigh-impact\nresearch\nareas that are either driving or benefiting from advancements in biosensor technologies are discussed.\nThe biosensor\ncircuits to acquire and process bioelectric signals are overviewed. The strategies adopted by the biosensors to address various design issues are summarized.\nDesign\nconsiderations\nand\nchallenges of biosensor circuits are analyzed, and the strategies to address these considerations and challenges are elucidated.\nThe commercial\noff-the-shelf (COTS) components as the analog front end (AFE) for biomedical signal acquisition and preprocessing are reviewed. Moreover, the commercial\nconsumer\nwearables for home-based preventive care are examined. The key performances of COTS components and consumer wearables are discussed and compared.\nEmerging\nand\nhigh-impact\nresearch\nareas that are either driving or benefiting from advancements in biosensor technologies are discussed.\n\n\n### Bioelectric signal overview\nBioelectric signals originate from the physiological activity of organs such as the brain, heart, eyes, and skeletal muscles30. However, these signals are typically low in amplitude, susceptible to various noises, and exhibit diverse temporal and spectral characteristics. The design of biosensing circuits for their acquisition and analysis requires a detailed understanding of their biophysical origins, signal features, and application-specific demands.\nEEG has emerged as a transformative technology for real-time brain-computer interfaces, enabling direct neural control of external devices and paving the way for assistive communication and neuroprosthetic systems. Besides, EEG remains the clinical gold standard for sleep staging and long-term epilepsy monitoring, and supports brain-machine interfaces (BMIs)31. EEG signals are generated by the postsynaptic potentials of well-aligned pyramidal neurons, producing detectable electrical activities32. Recorded non-invasively via scalp electrodes, these signals represent the aggregate extracellular ionic currents produced by neurons, and reflect the brain’s electrophysiological state, activities, and emotions33. Typically, EEG signals exhibit peak-to-peak amplitudes of 10–100 μV, with five rhythms (δ, θ, α, β, γ waves), predominantly below 100 Hz. However, EEG inherently offers limited spatial and temporal resolution because neural activity is attenuated and spatially smeared as it propagates through the skull and scalp.\nECoG provides a higher-fidelity alternative to EEG and is a critical tool in neurosurgery, functional cortical mapping, and advanced BMI research. With electrodes placed directly on the cortical surface, ECoG bypasses skull-induced attenuation and offers higher signal amplitudes (0.1–5 mV), improved spatial resolution, and is effective in capturing high-frequency γ band, which is essential for cognitive, motor, and language functions34. Nevertheless, ECoG is inherently invasive and requires craniotomy. Long-term recordings are challenged by tissue responses such as inflammation, gliosis, and fibrosis, which gradually increase electrode-tissue impedance and degrade signal quality over time. To enhance the spatial and temporal resolutions, EEG and ECoG sensors typically adopt a multi-channel architecture with high-density electrode arrays. Each channel requires a high input impedance, low-noise instrumentation amplifiers (IA), filtering, and robust common-mode rejection to ensure signal integrity and minimize artifacts. Compared with functional magnetic resonance imaging (fMRI), which infers neural activity indirectly through changes in cerebral blood flow, EEG and ECoG capture deliver millisecond-level temporal resolution for brain activity monitoring. Magnetoencephalography (MEG) offers similar precision but demands magnetically shielded environments, limiting portability. Thus, EEG and ECoG remain the most practical modalities for real-time cortical monitoring.\nECG is indispensable for continuous cardiac monitoring in wearable health systems, enabling early detection of life-threatening arrhythmias, ischemia, and real-time assessment of cardiovascular health. ECG signals originate from electrical activity caused by depolarization and repolarization of the heart muscle during rhythmic contractions35. The ECG signal typically spans 0.05–100 Hz, with a peak-to-peak amplitude range of 0.1–10 mV, and contains rich temporal and morphological features represented by wave components, including P wave, PR segment, QRS complex, ST segment, T wave, and U wave. Certain applications, for instance, pacemaker high-frequency spike detection, demand an extended bandwidth that requires acquisition well beyond 100 Hz to ensure accurate monitoring36. Though relatively high in amplitude, ECG signals are susceptible to motion artifacts caused by skin deformation and body movements. The complexity of removing motion artifacts arises from the spectral overlap between physiological motion (<10 Hz) and the low-frequency components of the ECG (such as the P-wave and T-wave). Therefore, ECG biosensing circuits typically incorporate high common-mode rejection ratio (CMRR) IA, bandpass and notch filters, and right-leg drive (RLD) circuits. Furthermore. ECG waveform spans a wide dynamic range, necessitating highly linear amplification to prevent saturation or clipping, particularly during high-amplitude QRS events. Aside from ECG, cardiac activity can also be assessed using photoplethysmography (PPG), or phonocardiography (PCG). However, these modalities can only indirectly estimate cardaic function through pulse rate, while ECG offers definitive diagnostic capability and enables cardiac abnormalities analysis with millisecond temporal precision, which is crucial for accurate and timely cardiac monitoring.\nEOG is widely used in clinical diagnosis, sleep and anesthesia monitoring, affective computing, and assistive technologies for communication and control37 The human eyes behave as a dipole formed by the cornea (positive) and retina (negative)38. EOG signals are generated by the corneo-retinal dipole potential variations during eye movements and detected by electrodes placed around the eyes39. The EOG signal typically occupies the 0.5–15 Hz band, with peak-to-peak amplitudes below 2 mV. Even subtle gaze shifts on the order of one degree can produce detectable voltage changes of 5–20 μV40. However, EOG acquisition is challenged by a large DC component on the order of hundreds of millivolts, and baseline drift caused by ambient light, metabolic changes, and skin impedance. These factors complicate distinguishing true gaze shifts from slow signal drift. Therefore, EOG acquisition circuits must balance sensitivity to microvolt-level changes with robustness to large DC offsets. This requires high-precision DC-stable amplifiers, high common-mode rejection, drift compensation, and digital processing to ensure reliable performance in both clinical and interactive applications. Despite these challenges, unlike camera-based or infrared eye-tracking systems, which require illumination and fail with closed eyelids, EOG operates independently of visual conditions, enabling eye-tracking during sleep, anesthesia, and low-light environments. This resilience makes EOG indispensable for applications ranging from affective computing and sleep research to next-generation wearable interfaces, where robustness and adaptability are paramount.\nEMG plays a pivotal role in advancing human augmentation and neurorehabilitation, enabling intuitive control of prosthetics, exoskeletons, and interactive human-machine interfaces. Its ability to decode neuromuscular intent in real time positions EMG as a key technology for assistive systems and performance analytics in both clinical and wearable domains41. EMG signals originate from motor neuron activation, causing motor unit action potentials (MUAPs), which are summed and propagated through muscle fibers42. Surface EMG (sEMG) signals typically span a peak-to-peak amplitude range of 10 μV to several mV and a frequency range of 10–300 Hz43. In comparison, intramuscular EMG (iEMG) signals exhibit a broader bandwidth extending to 1500 Hz and larger peak-to-peak amplitudes reaching up to 100 mV44,45. EMG signals are highly variable, transient, and strongly non-stationary, with amplitude and spectral content dynamically modulated by muscle contraction level and fatigue. Therefore, systems with high density and fast sampling are usually required to capture the complex temporal and spatial details of muscle activation46. Surface recordings face challenges, such as motion artifacts, fluctuations in electrode-skin impedance, cross-talk from adjacent muscles, and signal distortion caused by electrode shift, while subcutaneous fat layers further attenuate and blur the signal. Despite these limitations, EMG offers direct, high-fidelity access to neuromuscular activity at its electrical origin, outperforming alternative approaches such as imaging, mechanical sensors, and fMRI in portability, responsiveness, and real-time adaptability. These attributes make EMG indispensable for applications ranging from clinical diagnostics and rehabilitation robotics to wearable systems that seamlessly translate muscle intent into machine action.\n\n\n### Brain activity monitoring: EEG and ECoG\nEEG has emerged as a transformative technology for real-time brain-computer interfaces, enabling direct neural control of external devices and paving the way for assistive communication and neuroprosthetic systems. Besides, EEG remains the clinical gold standard for sleep staging and long-term epilepsy monitoring, and supports brain-machine interfaces (BMIs)31. EEG signals are generated by the postsynaptic potentials of well-aligned pyramidal neurons, producing detectable electrical activities32. Recorded non-invasively via scalp electrodes, these signals represent the aggregate extracellular ionic currents produced by neurons, and reflect the brain’s electrophysiological state, activities, and emotions33. Typically, EEG signals exhibit peak-to-peak amplitudes of 10–100 μV, with five rhythms (δ, θ, α, β, γ waves), predominantly below 100 Hz. However, EEG inherently offers limited spatial and temporal resolution because neural activity is attenuated and spatially smeared as it propagates through the skull and scalp.\nECoG provides a higher-fidelity alternative to EEG and is a critical tool in neurosurgery, functional cortical mapping, and advanced BMI research. With electrodes placed directly on the cortical surface, ECoG bypasses skull-induced attenuation and offers higher signal amplitudes (0.1–5 mV), improved spatial resolution, and is effective in capturing high-frequency γ band, which is essential for cognitive, motor, and language functions34. Nevertheless, ECoG is inherently invasive and requires craniotomy. Long-term recordings are challenged by tissue responses such as inflammation, gliosis, and fibrosis, which gradually increase electrode-tissue impedance and degrade signal quality over time. To enhance the spatial and temporal resolutions, EEG and ECoG sensors typically adopt a multi-channel architecture with high-density electrode arrays. Each channel requires a high input impedance, low-noise instrumentation amplifiers (IA), filtering, and robust common-mode rejection to ensure signal integrity and minimize artifacts. Compared with functional magnetic resonance imaging (fMRI), which infers neural activity indirectly through changes in cerebral blood flow, EEG and ECoG capture deliver millisecond-level temporal resolution for brain activity monitoring. Magnetoencephalography (MEG) offers similar precision but demands magnetically shielded environments, limiting portability. Thus, EEG and ECoG remain the most practical modalities for real-time cortical monitoring.\n\n\n### Cardiac function assessment: ECG\nECG is indispensable for continuous cardiac monitoring in wearable health systems, enabling early detection of life-threatening arrhythmias, ischemia, and real-time assessment of cardiovascular health. ECG signals originate from electrical activity caused by depolarization and repolarization of the heart muscle during rhythmic contractions35. The ECG signal typically spans 0.05–100 Hz, with a peak-to-peak amplitude range of 0.1–10 mV, and contains rich temporal and morphological features represented by wave components, including P wave, PR segment, QRS complex, ST segment, T wave, and U wave. Certain applications, for instance, pacemaker high-frequency spike detection, demand an extended bandwidth that requires acquisition well beyond 100 Hz to ensure accurate monitoring36. Though relatively high in amplitude, ECG signals are susceptible to motion artifacts caused by skin deformation and body movements. The complexity of removing motion artifacts arises from the spectral overlap between physiological motion (<10 Hz) and the low-frequency components of the ECG (such as the P-wave and T-wave). Therefore, ECG biosensing circuits typically incorporate high common-mode rejection ratio (CMRR) IA, bandpass and notch filters, and right-leg drive (RLD) circuits. Furthermore. ECG waveform spans a wide dynamic range, necessitating highly linear amplification to prevent saturation or clipping, particularly during high-amplitude QRS events. Aside from ECG, cardiac activity can also be assessed using photoplethysmography (PPG), or phonocardiography (PCG). However, these modalities can only indirectly estimate cardaic function through pulse rate, while ECG offers definitive diagnostic capability and enables cardiac abnormalities analysis with millisecond temporal precision, which is crucial for accurate and timely cardiac monitoring.\n\n\n### Ocular movement tracking: EOG\nEOG is widely used in clinical diagnosis, sleep and anesthesia monitoring, affective computing, and assistive technologies for communication and control37 The human eyes behave as a dipole formed by the cornea (positive) and retina (negative)38. EOG signals are generated by the corneo-retinal dipole potential variations during eye movements and detected by electrodes placed around the eyes39. The EOG signal typically occupies the 0.5–15 Hz band, with peak-to-peak amplitudes below 2 mV. Even subtle gaze shifts on the order of one degree can produce detectable voltage changes of 5–20 μV40. However, EOG acquisition is challenged by a large DC component on the order of hundreds of millivolts, and baseline drift caused by ambient light, metabolic changes, and skin impedance. These factors complicate distinguishing true gaze shifts from slow signal drift. Therefore, EOG acquisition circuits must balance sensitivity to microvolt-level changes with robustness to large DC offsets. This requires high-precision DC-stable amplifiers, high common-mode rejection, drift compensation, and digital processing to ensure reliable performance in both clinical and interactive applications. Despite these challenges, unlike camera-based or infrared eye-tracking systems, which require illumination and fail with closed eyelids, EOG operates independently of visual conditions, enabling eye-tracking during sleep, anesthesia, and low-light environments. This resilience makes EOG indispensable for applications ranging from affective computing and sleep research to next-generation wearable interfaces, where robustness and adaptability are paramount.\n\n\n### Muscle activity analysis: EMG\nEMG plays a pivotal role in advancing human augmentation and neurorehabilitation, enabling intuitive control of prosthetics, exoskeletons, and interactive human-machine interfaces. Its ability to decode neuromuscular intent in real time positions EMG as a key technology for assistive systems and performance analytics in both clinical and wearable domains41. EMG signals originate from motor neuron activation, causing motor unit action potentials (MUAPs), which are summed and propagated through muscle fibers42. Surface EMG (sEMG) signals typically span a peak-to-peak amplitude range of 10 μV to several mV and a frequency range of 10–300 Hz43. In comparison, intramuscular EMG (iEMG) signals exhibit a broader bandwidth extending to 1500 Hz and larger peak-to-peak amplitudes reaching up to 100 mV44,45. EMG signals are highly variable, transient, and strongly non-stationary, with amplitude and spectral content dynamically modulated by muscle contraction level and fatigue. Therefore, systems with high density and fast sampling are usually required to capture the complex temporal and spatial details of muscle activation46. Surface recordings face challenges, such as motion artifacts, fluctuations in electrode-skin impedance, cross-talk from adjacent muscles, and signal distortion caused by electrode shift, while subcutaneous fat layers further attenuate and blur the signal. Despite these limitations, EMG offers direct, high-fidelity access to neuromuscular activity at its electrical origin, outperforming alternative approaches such as imaging, mechanical sensors, and fMRI in portability, responsiveness, and real-time adaptability. These attributes make EMG indispensable for applications ranging from clinical diagnostics and rehabilitation robotics to wearable systems that seamlessly translate muscle intent into machine action.\n\n\n### Design considerations and challenges of biosensors\nThis section delves into the critical design considerations and challenges of biosensors, including impedance management, noise reduction, power efficiency, and energy harvesting techniques, to enhance performance and usability.\nImpedances play a critical role in biosensor front-end (FE) design as they determine how weak biopotential signals are transferred from the body to the electronic circuitry. Specifically, the human body acts as a bioelectric signal source. As illustrated in Fig. 2a, the measured electrode impedance on the skin Zt, which serves as the source impedance, includes the electrode impedance, the electrode-skin contact impedance, and the resistive and capacitive characteristics of skin and body tissues. When the bioelectric signal reaches the FE input, source impedance Zt interacts with the amplifier input impedance Rin and forms a voltage divider. As a result, the signal amplitude captured by the FE vin is given by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${v}_{in}={v}_{source}\\cdot \\frac{{R}_{in}}{{R}_{in}+{Z}_{t}}$$\\end{document}vin=vsource⋅RinRin+Zt. Because of this voltage division effect, if the amplifier input impedance Rin is not sufficiently high relative to the source impedance Zt, a significant portion of the signal is lost across the source impedance Zt, leading to amplitude reduction and degraded signal fidelity. At the same time, high source impedance increases noise susceptibility and thermal noise. Overall, reducing source impedance while ensuring a sufficiently high amplifier input impedance is essential for achieving high-fidelity and low-noise biopotential acquisition.Fig. 2Design considerations and challenges of biosensors.a Illustration of impedances, including input impedance, output impedance, contact impedance, and electrode impedance47,57. VHC is the half-cell potential (electrode-electrolyte potential); CDL double-layer capacitance (charge accumulation across electrode-electrolyte interface); RCT is the charge transfer resistance; REL is the electrolyte layer resistance; Cair is the capacitance between the electrode and skin; CINT is the skin-electrode capacitance through insulation layer; Zc is the contact impedance; Vsc is the potential difference across the stratum corneum; Zs and Zbody are skin and body impedances; Zt is the measured electrode impedance on the skin, including electrode impedance, contact impedance, and skin and body impedances47. b Frequency and amplitude ranges of bioelectric signals and noises. Biosignals typically have very low frequencies and are affected by 1/f noise, thermal noise, and powerline noise. Evoked Potential (EP) is the electrical response of the nervous system to specific external stimuli. c Illustration of radio frequency interference (RF) on biosensor systems. RF interference from various sources, such as electronic devices, crosstalk, powerlines, and radio transmitters, can cause signal degradation, communication errors, and other issues that disrupt the functioning of biosensors.\na Illustration of impedances, including input impedance, output impedance, contact impedance, and electrode impedance47,57. VHC is the half-cell potential (electrode-electrolyte potential); CDL double-layer capacitance (charge accumulation across electrode-electrolyte interface); RCT is the charge transfer resistance; REL is the electrolyte layer resistance; Cair is the capacitance between the electrode and skin; CINT is the skin-electrode capacitance through insulation layer; Zc is the contact impedance; Vsc is the potential difference across the stratum corneum; Zs and Zbody are skin and body impedances; Zt is the measured electrode impedance on the skin, including electrode impedance, contact impedance, and skin and body impedances47. b Frequency and amplitude ranges of bioelectric signals and noises. Biosignals typically have very low frequencies and are affected by 1/f noise, thermal noise, and powerline noise. Evoked Potential (EP) is the electrical response of the nervous system to specific external stimuli. c Illustration of radio frequency interference (RF) on biosensor systems. RF interference from various sources, such as electronic devices, crosstalk, powerlines, and radio transmitters, can cause signal degradation, communication errors, and other issues that disrupt the functioning of biosensors.\nElectrodes are generally classified into surface electrodes resting on the skin and implanted electrodes directly contacting body tissues and fluids. Surface electrodes include wet, semi-dry, dry contact, and dry capacitive types47. Wet electrodes (e.g., Ag/AgCl electrodes) use electrolytes to interface with the skin, which can be modeled as electrode-electrolyte potential VHC, charge transfer resistance RCT, double-layer capacitance CDL, and the electrolyte layer resistance REL (Fig. 2a). Their intrinsic impedance ranges from tens to hundreds of Ω48,49. Due to the conductive electrolyte between the electrode and skin, the electrode-skin impedance is the lowest, which is typically several to tens of kΩ50,51 measured up to 10 kHz. However, gel dehydration and long-term use can degrade performance and cause skin irritation. Semi-dry electrodes contain a built-in reservoir releasing electrolyte onto the skin upon contact. They operate similarly to wet electrodes, but with slightly higher impedance due to reduced electrolyte volume (Table 1). Compared with wet electrodes, they offer improved wearing comfort and are better suited for long-term use. Dry contact electrodes contact the skin without electrolytes, leading to substantially higher electrode-skin impedances (tens to hundreds of kΩ at 1 Hz to 10 kHz50,52) than wet electrodes. Dry capacitive electrodes, separated from the skin by a dielectric layer, exhibit even higher electrode-skin impedance up to several MΩ (Table 153,54). Dry electrodes are sensitive to motion artifacts, applied pressure, and gaps at the electrode-skin interface caused by sweat, dust, etc. However, they are ideal for long-term monitoring with superior wear comfort and reusability. Implanted electrodes, typically metallic microneedles or probes, provide direct signal access and are usually used for recording or stimulation. Stimulation electrodes deliver current to tissue and exhibit lower impedance (hundreds of Ω to several kΩ) than recording electrodes55,56.Table 1Intrinsic impedance and electrode-skin impedances of various types of electrodesElectrode typeElectrode impedanceElectrode-skin impedanceKey modulating factorsAdvantagesLimitationsWet11–665Ω at 50 kHz across commercial brands49; 280–490Ω < 1 Hz, 140–300Ω at 1–5 Hz, 120–160Ω at 5–30 Hz, 28–30Ω at 30–240 Hz176; Tens of Ω > 1 kHz481 kΩ-tens of kΩ, measured from 1 Hz to 10 kHz50,51Gel hydration, Skin preparationLow impedance, High SNR, Stable potentialRequires skin prep, Gel dehydration, Skin irritation, Short-term useSemi-drySeveral Ω ~ kΩ depending on electrode material and frequency177,178Several to tens of kΩ, measured from 10 Hz to 10 kHz177,179Controlled hydration, PressureGood SNR, Improved comfort, Long-term useMore complex, Performance varies with skin typeDry contactSeveral Ω (metal)–MΩ (dielectric) depending on electrode material and frequency180Tens to hundreds of kΩ, measured from 1 Hz to 10 kHz50,52Pressure, Sweat, Hair, MotionHigh convenience, Reusable, No prepHigh impedance, Motion artifact susceptibility, Variable performanceDry capacitiveHundreds of kΩ to MΩ depending on electrode material and frequency181Hundreds of kΩ to several MΩ measured from 10 Hz to 10 kHz53,54Clothing/Dielectric, Distance, Motion, HumidityTrue non-contact, Maximum comfortExtremely high impedance, Requires active electronics, Highly sensitive to motion & EMIImplantedUsually metal, such as Au, Pt, Ti. From several Ω–1 kΩ depending on frequency and oxidation182Recording: tens of kΩ to several MΩ183,184 Stimulation: hundreds of Ω to several kΩ55,56. Measured at 10–10 kHzOxidation, Corrosion, DelaminationDirect signal access, High spatial resolutionInvasive, Biocompatibility issues, Dynamic impedance, Device failure\nIntrinsic impedance and electrode-skin impedances of various types of electrodes\nThe skin impedance is typically modeled as a parallel resistor-capacitor (RC) circuit characterized by a capacitance Cs and a resistance Rs47. Specifically, Cs represents the capacitive behavior of the thin and insulating layer of stratum corneum. It acts as a sandwiched dielectric between two conductive plates: the deep water-rich dermis and the sweat layer on the skin surface. Moreover, Rs is the resistive ion diffusion pathway between sweat glands and skin surface. Together, Rs and Cs describe the frequency-dependent nature of skin impedance: Rs creates parallel resistive shunts allowing DC and low-frequency currents to bypass the capacitive barrier, whereas Cs forms a significant capacitor dominating the impedance of the stratum corneum as a poor conductor at higher frequencies. Overall, at the FE amplifier, the input impedance Rin should be significantly higher than the source impedance Zt (Fig. 2a) to maximize the voltage captured by the FE amplifier. Moreover, a low output impedance Rout and a larger load impedance Rload are preferred to maximize voltage transfer to the load and subsequent circuit stages. Considerations are often taken to reduce Zt and boost the input impedance of the amplifier for more efficient detection of biosignals.\nReducing Zt can be done by reducing Zc, Zs or the electrode impedance. The electrode impedance is much smaller than the other two in state-of-the-art wet and dry electrodes, so it does not cause a major influence. The contact impedance Zc can be reduced by using wet electrode for short-term measurements with electrolyte to increase the conductivity of the skin, flexible or textile electrodes to increase the contact area with the skin, applying more pressure to the electrode, or using pin-shaped dry electrodes with micro-tips which can penetrate the hair and the epidermis and contact well with the skin57. Using motion-reduction devices, such as EEG caps or chest belts, is desirable to prevent the contact impedance variation caused by motions. The variation of contact impedance can be monitored with the time constant of the RC circuit58 and the received power after channel perturbation59, and compensated by adjustable gain amplifiers. The skin impedance Zs can be reduced by skin preparation by removing the non-conductive stratum corneum. It can also remove the hair to guarantee good skin-electrode contact.\nEmploying FE with high input impedance ensures that the signal voltage drop occurs primarily across the amplifier input rather than the electrode-skin interface, which prevents signal loss due to voltage division. Additionally, high input impedance reduces the circuit’s sensitivity to source impedance variations. This is vital for improving CMRR, as it stops unequal electrode impedances from converting common-mode interference into differential noise, while also minimizing artifacts from motion-induced contact changes60. Several circuit design strategies are available to boost the input impedance of the FE. First, a buffer amplifier is a unity-gain amplifier that replicates the input signal at the output over a defined frequency range. It features a very high input impedance (hundreds of MΩ) and an ultra-low output impedance (on the order of Ω). Buffers or high input-impedance preamplifiers can be used following the electrode to convert the high Zt to low impedance, forming active electrodes57. Besides buffer amplifiers, pseudo-differential amplifiers with DC-coupled resistor-feedback, and cascode amplifiers also feature large input impedance (GΩ magnitude) and can be used for biosensing61,62.\nAdditionally, input impedances can be boosted by feedback loops and parasitic cancellations. Positive feedback loop (PFL), where the output current is fed back to the input to counteract the loading effect and reduce the input current, can boost the input impedance to 10 GΩ63. It can also be implemented with CCIA and achieves an input impedance of 30 MΩ64. However, the PFL needs to be carefully controlled and calibrated65 to make the feedback work effectively. The parasitic capacitors significantly degrade the input impedance by diverting the signal into ground through a low-impedance branch. To cancel the parasitics, negative capacitors can be generated by mimicking the behavior of a capacitor with a negative value to boost the input impedance to GΩ66,67. Additionally, the parasitic capacitances can be precharged at the input with auxiliary buffers to prevent the current from flowing through the input, resulting in a high input impedance of 1.6 GΩ68. These methods can be combined with the active shielding to directly mitigate the trace parasitics at the FE input, which further boosts the input impedance to tens of GΩ or even TΩ60,69.\nIn order to address the challenges posed by varying human motions, postures, and environmental changes, impedance monitoring and compensation techniques have been developed in previous studies. These techniques focus on detecting and compensating for variable skin-electrode contact impedance, which can degrade signal fidelity. Saadeh et al.70 proposed an RC relaxed contact impedance monitor that utilizes different time constants obtained from various suspension distances between the electrode and the skin. A larger distance reduces the capacitance between skin and electrode, resulting in a shorter time constant and a faster rising and falling time of the signal. The different time constants are translated to different duty cycles by a variable-threshold limiter, which is recorded by a tracking counter. The gain of the front-end amplifier can be adjusted accordingly to compensate for the signal loss caused by varying contact impedance. Similarly, Jaeeun et al.59 introduced a contact impedance sensor that injects chopper-modulated current into the body and measures the voltage difference in electrode contact after amplification and demodulation, achieving reliable impedance coverage up to 1 kΩ. To overcome extra power consumption caused by active monitoring, passive monitoring techniques have been proposed, leveraging variations in amplifier output or environmental interference (e.g., line-frequency noise) as indirect indicators of contact quality, enabling continuous assessment without disturbing the recorded signals71. Compensation strategies include hardware solutions such as high-input-impedance amplifiers and active electrodes, which minimize the impact of poor contact by reducing current draw at the skin interface, as well as adaptive algorithms that dynamically adjust gain or trigger artifact rejection based on impedance trends.\nIn biosignal acquisition, a fundamental conflict exists between the bioelectric signal and the noise caused by the intrinsic physics of semiconductor devices. Bioelectric signals, such as EEG, ECG, etc., occupy very low-frequency bands, where MOSFETs exhibit their highest noise levels. Severe 1/f noise can significantly elevate the noise floor at these frequencies and effectively bury bioelectric signals, such as the EEG signal and the P-wave in ECG, due to their very low microvolt-level amplitude. 1/f noise, also known as flicker noise, has a power spectral density inversely proportional to frequency. In a single MOSFET, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{V}}}_{n,f}^{2}=\\frac{K}{{C}_{ox}WLf}$$\\end{document}Vn,f2=KCoxWLf, where Vn,f denotes flicker noise voltage, W and L are width and length of MOSFET, Cox the gate-oxide capacitance, K the process-dependent constant, and f is the frequency. As bioelectric signals typically occupy very low-frequency bands (Fig. 2b), they are highly susceptible to 1/f noise. Therefore, effective mitigation strategies are essential to preserve signal integrity.\nChopper stabilization is the most widely adopted technique for 1/f noise mitigation in bioelectric sensing systems72. The principle involves modulating low-frequency input signal (with both desired signal and 1/f noise) by multiplying it with a chopping signal. This shifts the signal spectrum to a higher frequency band beyond 1/f corner, where 1/f noise is negligible. After amplification and band-pass filtering, the signal is demodulated by multiplying with the same chopping wave, and high-frequency components are filtered, leaving clean bioelectric signal with 1/f noise removed72. Although highly effective, chopper stabilization significantly increases hardware complexity and can reduce input impedance by introducing parasitics57, necessitating input impedance boosting discussed earlier.\nCompared with chopper stabilization, the correlated double sampling (CDS) technique has a lower hardware complexity, but it is usually used in sampled-data systems with moderate white noise tolerance. CDS mitigates 1/f noise by utilizing its temporal correlation73. It involves acquiring two consecutive samples: one with both signal and noise, and another containing only noise. Subtracting these samples effectively cancels correlated noise components, including 1/f noise, but at the cost of increased white noise. Based on this, the four-phase sampling–capturing both positive and negative signal phases by followed by noise-only measurements is proposed74 to further reduce residual 1/f noise. Besides circuit-based methods, switching biasing mitigates 1/f noise at its physical origin by periodically toggling MOSFETs between active and inactive states75. During the inactive phase, electron traps in the oxide layer responsible for 1/f noise are depopulated, reducing their contribution when the device returns to active operation.\nBiosensors operate in environments saturated with electromagnetic interference, such as 50 Hz/60 Hz powerline. Since the human body acts as a conductor, it couples capacitively to these noise sources, creating potential fluctuations that are identical across all electrodes, called common-mode (CM) noise. Other primary sources of CM noise include parasitic coupling, intrinsic circuit components, etc. CM noise can reach several volts, so that if the rejection capability of FE is insufficient, it not only degrades the SNR, but also saturates the amplifier, resulting in clipped output and significant data loss.\nTo address this issue, multiple mitigation strategies have been developed. From a signaling perspective, adopting differential or pseudo-differential configuration instead of single-ended signaling inherently enhances immunity to CM noise76, achieving a CMRR of 60–80 dB77. Moreover, using reference electrodes for a group of sensing electrodes78 or bias channels79 stabilizes the common-mode potential and therefore facilitates CM noise suppression. This can improve the CMRR by a few dB, but it depends on electrode placement and motion artifacts. Besides signaling and electrodes, selecting high-CMRR IAs as the first stage of FE, though potentially at the expense of power, provides inherent CM noise injection (e.g. AD8421 reaching >120 dB80). In addition, CM noise can be actively canceled by using extra circuits. The right-leg driven (RLD) circuit is widely adopted in EEG, ECG, and EMG systems. By sensing the CM component, inverting it, and feeding it back to the body through the right-leg electrode via a low-output-impedance buffer or amplifier, RLD actively suppresses CM noise81 and typically achieves a CMRR of 80–100 dB82. Moreover, CM noise can be eliminated by using a CM noise cancellation controller, which detects the CM noise at the input of each channel and drives the charge pumps connected to the channels to compensate for it, achieving a CMRR of 102 dB and a CM tolerance of 20 Vpp83.\nIn ambulatory and daily care monitoring, biosignals rarely stand on a perfectly stable zero-voltage line. Subject movement, respiration, perspiration, and temperature changes at the electrode-skin interface vary the electrode DC offset (EDO), causing the signal baseline to drift or fluctuate over time. Movement of cables and signal acquisition devices can also cause baseline wandering. This phenomenon poses a critical risk of measurement stability: baseline drifts can be millivolt-level, easily exceeding the dynamic range of high-gain amplifiers. This causes prolonged periods of saturation where no biological data is recorded. Furthermore, even if saturation is avoided, wandering baselines can cause false-positive heart rate triggers or missed event detection in EEG/ECG analysis.\nThe most common method to remove it is filtering or AC-coupled capacitor84. The baseline wandering can be eliminated by high-pass filtering with RC network since it usually has a very low frequency85. An appropriate cutoff frequency (~Hz) should be chosen with sharp roll-off to prevent the distortion of the actual signal. Besides simple passive RC filter, more complex filter configurations, such as 4th-order Butterworth filter with 0.3 Hz cutoff86 and infinite impulse response (IIR) digital filter in a microcontroller87 for more effective filtering. Feedback loops can also be used for baseline tracking and compensation. A simple method is to detect the output voltage of the FE amplifier and reset it once saturation is detected61. This can effectively eliminate the influence of baseline drift, but leads to significant recovery time, resulting in latency in signal acquisition. A widely adopted method for baseline wander removal is the DC servo loop (DSL), where a low-pass feedback loop integrates the low frequency or DC content at the output of a main amplifier and feeds it back to the input. A single loop DSL architecture can tolerate 380 mV offset88, while more adaptive DSLs can be achieved by including coarse tuning and fine tuning loops for fast and wide-range cancellation89 or adaptive bandwidth controller, allowing the loop to increase the DSL bandwidth at sudden baseline shift, which stabilizes the baseline quickly83.\nWith the proliferation of wireless technologies, biosensors must operate in an environment dense with electromagnetic emissions from Bluetooth, cordless phone, and cellular networks. The human body and sensor cabling can act as antennas, capturing this noise (Fig. 2c). When the high-frequency RF interference enters the amplifier, non-linearities in the input stage can demodulate it to the baseband, resulting in random noise and DC offsets, which severely degrade SNR, and cause signal degradation, communication errors, and compromised performance.\nShielding can be applied at either the source or receiver to block external RF signals. Biosensors can be enclosed within Faraday cages or integrated with RF-absorbing materials to isolate them from ambient interference. For RF transceivers on the sensor board, metallic enclosures serve as a shield, minimizing radiation leakage that could affect adjacent components90. Additionally, high-speed signal terminations on the sensor can be actively shielded with guard ring traces, which are also beneficial for high-impedance nodes that behave like antennas and are highly susceptible to parasitic coupling and external noise. To further enhance shielding effectiveness, the guard ring should be maintained at the same electrical potential as the shielded trace, driven by a low output impedance buffer placed in close proximity79. Shielded cables, featuring grounded conductive layers, are also recommended for connecting biosensors to external devices, thereby reducing susceptibility to RF pickup. The shielded trace is kept at the same potential as the guard ring driven by a buffer with very low output impedance placed very close to the trace to prevent any leakage current or noise and interference pickup.\nIn addition to physical shielding, meticulous PCB design plays a critical role in improving the EMI suppression. Ground loops and unnecessarily long ground traces should be strictly avoided, as they can act as unintended antennas for RF signals. Instead, solid ground planes should be poured beneath high-speed and sensitive components, and a single-point grounding scheme should be adopted to prevent the formation of ground loops. Besides ground layout, signal traces must also be routed to minimize loop areas, and adequate spacing should be maintained among them. Grounded copper pours among traces can further enhance isolation and reduce the risk of RF crosstalk. In addition to routing strategies, external passive components can also play a pivotal role. Ferrite beads or cores, characterized by high impedance at RF frequencies, can be placed on power supply traces, converting unwanted RF energy into heat. Furthermore, notch filters can be designed to block powerline interference, while bandpass filter (BPFs) or EMI filters can be used in the biosensor FE circuitry to attenuate RF components in the detected raw signal.\nMultimodal biosensing systems, capable of simultaneously recording ECG, EEG, EOG, and EMG, are emerging as the next-generation health monitoring platforms. By integrating multiple bioelectric signals, these platforms enable richer diagnostics and more robust context-aware analysis. However, this integration introduces a major challenge: crosstalk between channels, resulting in distorted waveforms, compromised feature extraction, and reduced clinical reliability.\nIn multimodal bioelectric signal monitoring, crosstalk is mitigated most effectively by co-designing low-noise high-CMRR analog front-ends with signal processing algorithms. The most effective mitigation begins at the signal source. Active electrodes placed close to the skin incorporate local buffering, which shortens the high-impedance path and prevents cable motion or capacitive coupling from introducing artifacts. This design isolates each channel early, reducing the chance that EMG bursts or eye movements bleed into EEG or ECG lines. Next, high input impedance front-end amplifiers (hundreds of MΩ or more) ensure minimal current draw from the electrode-skin interface, preventing shared conductive paths that cause cross-channel coupling. Once the signal enters the analog front-end, high-CMRR instrumentation amplifiers, often implemented as capacitively coupled chopper-stabilized amplifiers with DC-servo loops, reject common-mode interference and electrode offset drift. This is critical because common-mode pathways are a primary route for EMG/EOG leakage into EEG/ECG channels. To further stabilize the reference potential, driven-right-leg (DRL) circuits actively inject an inverted common-mode signal back into the body, reducing residual coupling between modalities. Beyond amplification, shielding, and guarding techniques in PCB layout and cabling block capacitive and electromagnetic coupling between channels. Additionally, practical systems (e.g., g.HIamp, ADI Bio Amps) illustrate multi-channel, galvanically isolated acquisition that supports simultaneously EEG/EOG/ECG/EMG91,92. Besides robust hardware design, signal processing algorithms can further improve the crosstalk mitigation and remove the residual interference that persists, including adaptive noise cancellation93, empirical mode decomposition (EMD)94, wavelet denoising95, independent component analysis96, and canonical correlation analysis97.\nLow power is necessary, especially for wearable and implantable biosensors, providing continuous and real-time monitoring for extended periods without battery charging or replacement. Reducing power consumption not only extends operational lifetime but also enables the use of smaller batteries, improving portability and user comfort. Consequently, energy-efficient design has become a central focus in biosensor front-end (FE) development.\nDuty cycling is a widely adopted technique for reducing average power consumption by activating circuit blocks only when needed and placing them in sleep or standby mode otherwise. This approach, often implemented using logic control or pulse-width modulation (PWM), significantly reduces idle power waste98. Event-driven wake-up schemes further optimize duty cycling by enabling context-aware activation through an ultra-low power wakeup receiver, which continuously detects the interrupts or commands99. Power gating complements duty cycling by partitioning the system into multiple power domains that can be selectively turned on or off through power switches. This strategy effectively eliminates leakage currents in inactive blocks. However, careful sequencing of power transitions is essential to prevent functional errors100. Power gating switches can also be leveraged to limit current in high-consumption blocks and dynamically adjust the current of each block based on the working load, further reducing the power consumption.\nDynamic voltage scaling (DVS) and dynamic frequency scaling (DFS) are both system and IC level techniques saving power conusmption by scaling down supply voltage and clock frequency at low functional demand. The dynamic power is P = CV2f, where C is effective capacitance of the circuit, V is supply voltage, and f is clock frequency. DVS is typically achieved by voltage regulators with adjustable output voltage levels, and DFS is implemented with phase-locked loops (PLLs) with frequency division or frequency synthesizer adjusting the clock frequency. DVS and DFS are often combined to achieve substantial energy savings while maintaining optimized performance.\n\n\n### Impedances\nImpedances play a critical role in biosensor front-end (FE) design as they determine how weak biopotential signals are transferred from the body to the electronic circuitry. Specifically, the human body acts as a bioelectric signal source. As illustrated in Fig. 2a, the measured electrode impedance on the skin Zt, which serves as the source impedance, includes the electrode impedance, the electrode-skin contact impedance, and the resistive and capacitive characteristics of skin and body tissues. When the bioelectric signal reaches the FE input, source impedance Zt interacts with the amplifier input impedance Rin and forms a voltage divider. As a result, the signal amplitude captured by the FE vin is given by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${v}_{in}={v}_{source}\\cdot \\frac{{R}_{in}}{{R}_{in}+{Z}_{t}}$$\\end{document}vin=vsource⋅RinRin+Zt. Because of this voltage division effect, if the amplifier input impedance Rin is not sufficiently high relative to the source impedance Zt, a significant portion of the signal is lost across the source impedance Zt, leading to amplitude reduction and degraded signal fidelity. At the same time, high source impedance increases noise susceptibility and thermal noise. Overall, reducing source impedance while ensuring a sufficiently high amplifier input impedance is essential for achieving high-fidelity and low-noise biopotential acquisition.Fig. 2Design considerations and challenges of biosensors.a Illustration of impedances, including input impedance, output impedance, contact impedance, and electrode impedance47,57. VHC is the half-cell potential (electrode-electrolyte potential); CDL double-layer capacitance (charge accumulation across electrode-electrolyte interface); RCT is the charge transfer resistance; REL is the electrolyte layer resistance; Cair is the capacitance between the electrode and skin; CINT is the skin-electrode capacitance through insulation layer; Zc is the contact impedance; Vsc is the potential difference across the stratum corneum; Zs and Zbody are skin and body impedances; Zt is the measured electrode impedance on the skin, including electrode impedance, contact impedance, and skin and body impedances47. b Frequency and amplitude ranges of bioelectric signals and noises. Biosignals typically have very low frequencies and are affected by 1/f noise, thermal noise, and powerline noise. Evoked Potential (EP) is the electrical response of the nervous system to specific external stimuli. c Illustration of radio frequency interference (RF) on biosensor systems. RF interference from various sources, such as electronic devices, crosstalk, powerlines, and radio transmitters, can cause signal degradation, communication errors, and other issues that disrupt the functioning of biosensors.\na Illustration of impedances, including input impedance, output impedance, contact impedance, and electrode impedance47,57. VHC is the half-cell potential (electrode-electrolyte potential); CDL double-layer capacitance (charge accumulation across electrode-electrolyte interface); RCT is the charge transfer resistance; REL is the electrolyte layer resistance; Cair is the capacitance between the electrode and skin; CINT is the skin-electrode capacitance through insulation layer; Zc is the contact impedance; Vsc is the potential difference across the stratum corneum; Zs and Zbody are skin and body impedances; Zt is the measured electrode impedance on the skin, including electrode impedance, contact impedance, and skin and body impedances47. b Frequency and amplitude ranges of bioelectric signals and noises. Biosignals typically have very low frequencies and are affected by 1/f noise, thermal noise, and powerline noise. Evoked Potential (EP) is the electrical response of the nervous system to specific external stimuli. c Illustration of radio frequency interference (RF) on biosensor systems. RF interference from various sources, such as electronic devices, crosstalk, powerlines, and radio transmitters, can cause signal degradation, communication errors, and other issues that disrupt the functioning of biosensors.\nElectrodes are generally classified into surface electrodes resting on the skin and implanted electrodes directly contacting body tissues and fluids. Surface electrodes include wet, semi-dry, dry contact, and dry capacitive types47. Wet electrodes (e.g., Ag/AgCl electrodes) use electrolytes to interface with the skin, which can be modeled as electrode-electrolyte potential VHC, charge transfer resistance RCT, double-layer capacitance CDL, and the electrolyte layer resistance REL (Fig. 2a). Their intrinsic impedance ranges from tens to hundreds of Ω48,49. Due to the conductive electrolyte between the electrode and skin, the electrode-skin impedance is the lowest, which is typically several to tens of kΩ50,51 measured up to 10 kHz. However, gel dehydration and long-term use can degrade performance and cause skin irritation. Semi-dry electrodes contain a built-in reservoir releasing electrolyte onto the skin upon contact. They operate similarly to wet electrodes, but with slightly higher impedance due to reduced electrolyte volume (Table 1). Compared with wet electrodes, they offer improved wearing comfort and are better suited for long-term use. Dry contact electrodes contact the skin without electrolytes, leading to substantially higher electrode-skin impedances (tens to hundreds of kΩ at 1 Hz to 10 kHz50,52) than wet electrodes. Dry capacitive electrodes, separated from the skin by a dielectric layer, exhibit even higher electrode-skin impedance up to several MΩ (Table 153,54). Dry electrodes are sensitive to motion artifacts, applied pressure, and gaps at the electrode-skin interface caused by sweat, dust, etc. However, they are ideal for long-term monitoring with superior wear comfort and reusability. Implanted electrodes, typically metallic microneedles or probes, provide direct signal access and are usually used for recording or stimulation. Stimulation electrodes deliver current to tissue and exhibit lower impedance (hundreds of Ω to several kΩ) than recording electrodes55,56.Table 1Intrinsic impedance and electrode-skin impedances of various types of electrodesElectrode typeElectrode impedanceElectrode-skin impedanceKey modulating factorsAdvantagesLimitationsWet11–665Ω at 50 kHz across commercial brands49; 280–490Ω < 1 Hz, 140–300Ω at 1–5 Hz, 120–160Ω at 5–30 Hz, 28–30Ω at 30–240 Hz176; Tens of Ω > 1 kHz481 kΩ-tens of kΩ, measured from 1 Hz to 10 kHz50,51Gel hydration, Skin preparationLow impedance, High SNR, Stable potentialRequires skin prep, Gel dehydration, Skin irritation, Short-term useSemi-drySeveral Ω ~ kΩ depending on electrode material and frequency177,178Several to tens of kΩ, measured from 10 Hz to 10 kHz177,179Controlled hydration, PressureGood SNR, Improved comfort, Long-term useMore complex, Performance varies with skin typeDry contactSeveral Ω (metal)–MΩ (dielectric) depending on electrode material and frequency180Tens to hundreds of kΩ, measured from 1 Hz to 10 kHz50,52Pressure, Sweat, Hair, MotionHigh convenience, Reusable, No prepHigh impedance, Motion artifact susceptibility, Variable performanceDry capacitiveHundreds of kΩ to MΩ depending on electrode material and frequency181Hundreds of kΩ to several MΩ measured from 10 Hz to 10 kHz53,54Clothing/Dielectric, Distance, Motion, HumidityTrue non-contact, Maximum comfortExtremely high impedance, Requires active electronics, Highly sensitive to motion & EMIImplantedUsually metal, such as Au, Pt, Ti. From several Ω–1 kΩ depending on frequency and oxidation182Recording: tens of kΩ to several MΩ183,184 Stimulation: hundreds of Ω to several kΩ55,56. Measured at 10–10 kHzOxidation, Corrosion, DelaminationDirect signal access, High spatial resolutionInvasive, Biocompatibility issues, Dynamic impedance, Device failure\nIntrinsic impedance and electrode-skin impedances of various types of electrodes\nThe skin impedance is typically modeled as a parallel resistor-capacitor (RC) circuit characterized by a capacitance Cs and a resistance Rs47. Specifically, Cs represents the capacitive behavior of the thin and insulating layer of stratum corneum. It acts as a sandwiched dielectric between two conductive plates: the deep water-rich dermis and the sweat layer on the skin surface. Moreover, Rs is the resistive ion diffusion pathway between sweat glands and skin surface. Together, Rs and Cs describe the frequency-dependent nature of skin impedance: Rs creates parallel resistive shunts allowing DC and low-frequency currents to bypass the capacitive barrier, whereas Cs forms a significant capacitor dominating the impedance of the stratum corneum as a poor conductor at higher frequencies. Overall, at the FE amplifier, the input impedance Rin should be significantly higher than the source impedance Zt (Fig. 2a) to maximize the voltage captured by the FE amplifier. Moreover, a low output impedance Rout and a larger load impedance Rload are preferred to maximize voltage transfer to the load and subsequent circuit stages. Considerations are often taken to reduce Zt and boost the input impedance of the amplifier for more efficient detection of biosignals.\nReducing Zt can be done by reducing Zc, Zs or the electrode impedance. The electrode impedance is much smaller than the other two in state-of-the-art wet and dry electrodes, so it does not cause a major influence. The contact impedance Zc can be reduced by using wet electrode for short-term measurements with electrolyte to increase the conductivity of the skin, flexible or textile electrodes to increase the contact area with the skin, applying more pressure to the electrode, or using pin-shaped dry electrodes with micro-tips which can penetrate the hair and the epidermis and contact well with the skin57. Using motion-reduction devices, such as EEG caps or chest belts, is desirable to prevent the contact impedance variation caused by motions. The variation of contact impedance can be monitored with the time constant of the RC circuit58 and the received power after channel perturbation59, and compensated by adjustable gain amplifiers. The skin impedance Zs can be reduced by skin preparation by removing the non-conductive stratum corneum. It can also remove the hair to guarantee good skin-electrode contact.\nEmploying FE with high input impedance ensures that the signal voltage drop occurs primarily across the amplifier input rather than the electrode-skin interface, which prevents signal loss due to voltage division. Additionally, high input impedance reduces the circuit’s sensitivity to source impedance variations. This is vital for improving CMRR, as it stops unequal electrode impedances from converting common-mode interference into differential noise, while also minimizing artifacts from motion-induced contact changes60. Several circuit design strategies are available to boost the input impedance of the FE. First, a buffer amplifier is a unity-gain amplifier that replicates the input signal at the output over a defined frequency range. It features a very high input impedance (hundreds of MΩ) and an ultra-low output impedance (on the order of Ω). Buffers or high input-impedance preamplifiers can be used following the electrode to convert the high Zt to low impedance, forming active electrodes57. Besides buffer amplifiers, pseudo-differential amplifiers with DC-coupled resistor-feedback, and cascode amplifiers also feature large input impedance (GΩ magnitude) and can be used for biosensing61,62.\nAdditionally, input impedances can be boosted by feedback loops and parasitic cancellations. Positive feedback loop (PFL), where the output current is fed back to the input to counteract the loading effect and reduce the input current, can boost the input impedance to 10 GΩ63. It can also be implemented with CCIA and achieves an input impedance of 30 MΩ64. However, the PFL needs to be carefully controlled and calibrated65 to make the feedback work effectively. The parasitic capacitors significantly degrade the input impedance by diverting the signal into ground through a low-impedance branch. To cancel the parasitics, negative capacitors can be generated by mimicking the behavior of a capacitor with a negative value to boost the input impedance to GΩ66,67. Additionally, the parasitic capacitances can be precharged at the input with auxiliary buffers to prevent the current from flowing through the input, resulting in a high input impedance of 1.6 GΩ68. These methods can be combined with the active shielding to directly mitigate the trace parasitics at the FE input, which further boosts the input impedance to tens of GΩ or even TΩ60,69.\nIn order to address the challenges posed by varying human motions, postures, and environmental changes, impedance monitoring and compensation techniques have been developed in previous studies. These techniques focus on detecting and compensating for variable skin-electrode contact impedance, which can degrade signal fidelity. Saadeh et al.70 proposed an RC relaxed contact impedance monitor that utilizes different time constants obtained from various suspension distances between the electrode and the skin. A larger distance reduces the capacitance between skin and electrode, resulting in a shorter time constant and a faster rising and falling time of the signal. The different time constants are translated to different duty cycles by a variable-threshold limiter, which is recorded by a tracking counter. The gain of the front-end amplifier can be adjusted accordingly to compensate for the signal loss caused by varying contact impedance. Similarly, Jaeeun et al.59 introduced a contact impedance sensor that injects chopper-modulated current into the body and measures the voltage difference in electrode contact after amplification and demodulation, achieving reliable impedance coverage up to 1 kΩ. To overcome extra power consumption caused by active monitoring, passive monitoring techniques have been proposed, leveraging variations in amplifier output or environmental interference (e.g., line-frequency noise) as indirect indicators of contact quality, enabling continuous assessment without disturbing the recorded signals71. Compensation strategies include hardware solutions such as high-input-impedance amplifiers and active electrodes, which minimize the impact of poor contact by reducing current draw at the skin interface, as well as adaptive algorithms that dynamically adjust gain or trigger artifact rejection based on impedance trends.\n\n\n### Reduce electrode impedance on the skin Zt\nReducing Zt can be done by reducing Zc, Zs or the electrode impedance. The electrode impedance is much smaller than the other two in state-of-the-art wet and dry electrodes, so it does not cause a major influence. The contact impedance Zc can be reduced by using wet electrode for short-term measurements with electrolyte to increase the conductivity of the skin, flexible or textile electrodes to increase the contact area with the skin, applying more pressure to the electrode, or using pin-shaped dry electrodes with micro-tips which can penetrate the hair and the epidermis and contact well with the skin57. Using motion-reduction devices, such as EEG caps or chest belts, is desirable to prevent the contact impedance variation caused by motions. The variation of contact impedance can be monitored with the time constant of the RC circuit58 and the received power after channel perturbation59, and compensated by adjustable gain amplifiers. The skin impedance Zs can be reduced by skin preparation by removing the non-conductive stratum corneum. It can also remove the hair to guarantee good skin-electrode contact.\n\n\n### Boost input impedance Rin\nEmploying FE with high input impedance ensures that the signal voltage drop occurs primarily across the amplifier input rather than the electrode-skin interface, which prevents signal loss due to voltage division. Additionally, high input impedance reduces the circuit’s sensitivity to source impedance variations. This is vital for improving CMRR, as it stops unequal electrode impedances from converting common-mode interference into differential noise, while also minimizing artifacts from motion-induced contact changes60. Several circuit design strategies are available to boost the input impedance of the FE. First, a buffer amplifier is a unity-gain amplifier that replicates the input signal at the output over a defined frequency range. It features a very high input impedance (hundreds of MΩ) and an ultra-low output impedance (on the order of Ω). Buffers or high input-impedance preamplifiers can be used following the electrode to convert the high Zt to low impedance, forming active electrodes57. Besides buffer amplifiers, pseudo-differential amplifiers with DC-coupled resistor-feedback, and cascode amplifiers also feature large input impedance (GΩ magnitude) and can be used for biosensing61,62.\nAdditionally, input impedances can be boosted by feedback loops and parasitic cancellations. Positive feedback loop (PFL), where the output current is fed back to the input to counteract the loading effect and reduce the input current, can boost the input impedance to 10 GΩ63. It can also be implemented with CCIA and achieves an input impedance of 30 MΩ64. However, the PFL needs to be carefully controlled and calibrated65 to make the feedback work effectively. The parasitic capacitors significantly degrade the input impedance by diverting the signal into ground through a low-impedance branch. To cancel the parasitics, negative capacitors can be generated by mimicking the behavior of a capacitor with a negative value to boost the input impedance to GΩ66,67. Additionally, the parasitic capacitances can be precharged at the input with auxiliary buffers to prevent the current from flowing through the input, resulting in a high input impedance of 1.6 GΩ68. These methods can be combined with the active shielding to directly mitigate the trace parasitics at the FE input, which further boosts the input impedance to tens of GΩ or even TΩ60,69.\n\n\n### Impedance monitoring and compensation\nIn order to address the challenges posed by varying human motions, postures, and environmental changes, impedance monitoring and compensation techniques have been developed in previous studies. These techniques focus on detecting and compensating for variable skin-electrode contact impedance, which can degrade signal fidelity. Saadeh et al.70 proposed an RC relaxed contact impedance monitor that utilizes different time constants obtained from various suspension distances between the electrode and the skin. A larger distance reduces the capacitance between skin and electrode, resulting in a shorter time constant and a faster rising and falling time of the signal. The different time constants are translated to different duty cycles by a variable-threshold limiter, which is recorded by a tracking counter. The gain of the front-end amplifier can be adjusted accordingly to compensate for the signal loss caused by varying contact impedance. Similarly, Jaeeun et al.59 introduced a contact impedance sensor that injects chopper-modulated current into the body and measures the voltage difference in electrode contact after amplification and demodulation, achieving reliable impedance coverage up to 1 kΩ. To overcome extra power consumption caused by active monitoring, passive monitoring techniques have been proposed, leveraging variations in amplifier output or environmental interference (e.g., line-frequency noise) as indirect indicators of contact quality, enabling continuous assessment without disturbing the recorded signals71. Compensation strategies include hardware solutions such as high-input-impedance amplifiers and active electrodes, which minimize the impact of poor contact by reducing current draw at the skin interface, as well as adaptive algorithms that dynamically adjust gain or trigger artifact rejection based on impedance trends.\n\n\n### 1/f noise\nIn biosignal acquisition, a fundamental conflict exists between the bioelectric signal and the noise caused by the intrinsic physics of semiconductor devices. Bioelectric signals, such as EEG, ECG, etc., occupy very low-frequency bands, where MOSFETs exhibit their highest noise levels. Severe 1/f noise can significantly elevate the noise floor at these frequencies and effectively bury bioelectric signals, such as the EEG signal and the P-wave in ECG, due to their very low microvolt-level amplitude. 1/f noise, also known as flicker noise, has a power spectral density inversely proportional to frequency. In a single MOSFET, \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$${{\\rm{V}}}_{n,f}^{2}=\\frac{K}{{C}_{ox}WLf}$$\\end{document}Vn,f2=KCoxWLf, where Vn,f denotes flicker noise voltage, W and L are width and length of MOSFET, Cox the gate-oxide capacitance, K the process-dependent constant, and f is the frequency. As bioelectric signals typically occupy very low-frequency bands (Fig. 2b), they are highly susceptible to 1/f noise. Therefore, effective mitigation strategies are essential to preserve signal integrity.\nChopper stabilization is the most widely adopted technique for 1/f noise mitigation in bioelectric sensing systems72. The principle involves modulating low-frequency input signal (with both desired signal and 1/f noise) by multiplying it with a chopping signal. This shifts the signal spectrum to a higher frequency band beyond 1/f corner, where 1/f noise is negligible. After amplification and band-pass filtering, the signal is demodulated by multiplying with the same chopping wave, and high-frequency components are filtered, leaving clean bioelectric signal with 1/f noise removed72. Although highly effective, chopper stabilization significantly increases hardware complexity and can reduce input impedance by introducing parasitics57, necessitating input impedance boosting discussed earlier.\nCompared with chopper stabilization, the correlated double sampling (CDS) technique has a lower hardware complexity, but it is usually used in sampled-data systems with moderate white noise tolerance. CDS mitigates 1/f noise by utilizing its temporal correlation73. It involves acquiring two consecutive samples: one with both signal and noise, and another containing only noise. Subtracting these samples effectively cancels correlated noise components, including 1/f noise, but at the cost of increased white noise. Based on this, the four-phase sampling–capturing both positive and negative signal phases by followed by noise-only measurements is proposed74 to further reduce residual 1/f noise. Besides circuit-based methods, switching biasing mitigates 1/f noise at its physical origin by periodically toggling MOSFETs between active and inactive states75. During the inactive phase, electron traps in the oxide layer responsible for 1/f noise are depopulated, reducing their contribution when the device returns to active operation.\n\n\n### Common-mode noise\nBiosensors operate in environments saturated with electromagnetic interference, such as 50 Hz/60 Hz powerline. Since the human body acts as a conductor, it couples capacitively to these noise sources, creating potential fluctuations that are identical across all electrodes, called common-mode (CM) noise. Other primary sources of CM noise include parasitic coupling, intrinsic circuit components, etc. CM noise can reach several volts, so that if the rejection capability of FE is insufficient, it not only degrades the SNR, but also saturates the amplifier, resulting in clipped output and significant data loss.\nTo address this issue, multiple mitigation strategies have been developed. From a signaling perspective, adopting differential or pseudo-differential configuration instead of single-ended signaling inherently enhances immunity to CM noise76, achieving a CMRR of 60–80 dB77. Moreover, using reference electrodes for a group of sensing electrodes78 or bias channels79 stabilizes the common-mode potential and therefore facilitates CM noise suppression. This can improve the CMRR by a few dB, but it depends on electrode placement and motion artifacts. Besides signaling and electrodes, selecting high-CMRR IAs as the first stage of FE, though potentially at the expense of power, provides inherent CM noise injection (e.g. AD8421 reaching >120 dB80). In addition, CM noise can be actively canceled by using extra circuits. The right-leg driven (RLD) circuit is widely adopted in EEG, ECG, and EMG systems. By sensing the CM component, inverting it, and feeding it back to the body through the right-leg electrode via a low-output-impedance buffer or amplifier, RLD actively suppresses CM noise81 and typically achieves a CMRR of 80–100 dB82. Moreover, CM noise can be eliminated by using a CM noise cancellation controller, which detects the CM noise at the input of each channel and drives the charge pumps connected to the channels to compensate for it, achieving a CMRR of 102 dB and a CM tolerance of 20 Vpp83.\n\n\n### Baseline wandering\nIn ambulatory and daily care monitoring, biosignals rarely stand on a perfectly stable zero-voltage line. Subject movement, respiration, perspiration, and temperature changes at the electrode-skin interface vary the electrode DC offset (EDO), causing the signal baseline to drift or fluctuate over time. Movement of cables and signal acquisition devices can also cause baseline wandering. This phenomenon poses a critical risk of measurement stability: baseline drifts can be millivolt-level, easily exceeding the dynamic range of high-gain amplifiers. This causes prolonged periods of saturation where no biological data is recorded. Furthermore, even if saturation is avoided, wandering baselines can cause false-positive heart rate triggers or missed event detection in EEG/ECG analysis.\nThe most common method to remove it is filtering or AC-coupled capacitor84. The baseline wandering can be eliminated by high-pass filtering with RC network since it usually has a very low frequency85. An appropriate cutoff frequency (~Hz) should be chosen with sharp roll-off to prevent the distortion of the actual signal. Besides simple passive RC filter, more complex filter configurations, such as 4th-order Butterworth filter with 0.3 Hz cutoff86 and infinite impulse response (IIR) digital filter in a microcontroller87 for more effective filtering. Feedback loops can also be used for baseline tracking and compensation. A simple method is to detect the output voltage of the FE amplifier and reset it once saturation is detected61. This can effectively eliminate the influence of baseline drift, but leads to significant recovery time, resulting in latency in signal acquisition. A widely adopted method for baseline wander removal is the DC servo loop (DSL), where a low-pass feedback loop integrates the low frequency or DC content at the output of a main amplifier and feeds it back to the input. A single loop DSL architecture can tolerate 380 mV offset88, while more adaptive DSLs can be achieved by including coarse tuning and fine tuning loops for fast and wide-range cancellation89 or adaptive bandwidth controller, allowing the loop to increase the DSL bandwidth at sudden baseline shift, which stabilizes the baseline quickly83.\n\n\n### RF interference\nWith the proliferation of wireless technologies, biosensors must operate in an environment dense with electromagnetic emissions from Bluetooth, cordless phone, and cellular networks. The human body and sensor cabling can act as antennas, capturing this noise (Fig. 2c). When the high-frequency RF interference enters the amplifier, non-linearities in the input stage can demodulate it to the baseband, resulting in random noise and DC offsets, which severely degrade SNR, and cause signal degradation, communication errors, and compromised performance.\nShielding can be applied at either the source or receiver to block external RF signals. Biosensors can be enclosed within Faraday cages or integrated with RF-absorbing materials to isolate them from ambient interference. For RF transceivers on the sensor board, metallic enclosures serve as a shield, minimizing radiation leakage that could affect adjacent components90. Additionally, high-speed signal terminations on the sensor can be actively shielded with guard ring traces, which are also beneficial for high-impedance nodes that behave like antennas and are highly susceptible to parasitic coupling and external noise. To further enhance shielding effectiveness, the guard ring should be maintained at the same electrical potential as the shielded trace, driven by a low output impedance buffer placed in close proximity79. Shielded cables, featuring grounded conductive layers, are also recommended for connecting biosensors to external devices, thereby reducing susceptibility to RF pickup. The shielded trace is kept at the same potential as the guard ring driven by a buffer with very low output impedance placed very close to the trace to prevent any leakage current or noise and interference pickup.\nIn addition to physical shielding, meticulous PCB design plays a critical role in improving the EMI suppression. Ground loops and unnecessarily long ground traces should be strictly avoided, as they can act as unintended antennas for RF signals. Instead, solid ground planes should be poured beneath high-speed and sensitive components, and a single-point grounding scheme should be adopted to prevent the formation of ground loops. Besides ground layout, signal traces must also be routed to minimize loop areas, and adequate spacing should be maintained among them. Grounded copper pours among traces can further enhance isolation and reduce the risk of RF crosstalk. In addition to routing strategies, external passive components can also play a pivotal role. Ferrite beads or cores, characterized by high impedance at RF frequencies, can be placed on power supply traces, converting unwanted RF energy into heat. Furthermore, notch filters can be designed to block powerline interference, while bandpass filter (BPFs) or EMI filters can be used in the biosensor FE circuitry to attenuate RF components in the detected raw signal.\n\n\n### Shielding\nShielding can be applied at either the source or receiver to block external RF signals. Biosensors can be enclosed within Faraday cages or integrated with RF-absorbing materials to isolate them from ambient interference. For RF transceivers on the sensor board, metallic enclosures serve as a shield, minimizing radiation leakage that could affect adjacent components90. Additionally, high-speed signal terminations on the sensor can be actively shielded with guard ring traces, which are also beneficial for high-impedance nodes that behave like antennas and are highly susceptible to parasitic coupling and external noise. To further enhance shielding effectiveness, the guard ring should be maintained at the same electrical potential as the shielded trace, driven by a low output impedance buffer placed in close proximity79. Shielded cables, featuring grounded conductive layers, are also recommended for connecting biosensors to external devices, thereby reducing susceptibility to RF pickup. The shielded trace is kept at the same potential as the guard ring driven by a buffer with very low output impedance placed very close to the trace to prevent any leakage current or noise and interference pickup.\n\n\n### Proper PCB design\nIn addition to physical shielding, meticulous PCB design plays a critical role in improving the EMI suppression. Ground loops and unnecessarily long ground traces should be strictly avoided, as they can act as unintended antennas for RF signals. Instead, solid ground planes should be poured beneath high-speed and sensitive components, and a single-point grounding scheme should be adopted to prevent the formation of ground loops. Besides ground layout, signal traces must also be routed to minimize loop areas, and adequate spacing should be maintained among them. Grounded copper pours among traces can further enhance isolation and reduce the risk of RF crosstalk. In addition to routing strategies, external passive components can also play a pivotal role. Ferrite beads or cores, characterized by high impedance at RF frequencies, can be placed on power supply traces, converting unwanted RF energy into heat. Furthermore, notch filters can be designed to block powerline interference, while bandpass filter (BPFs) or EMI filters can be used in the biosensor FE circuitry to attenuate RF components in the detected raw signal.\n\n\n### Crosstalk mitigation\nMultimodal biosensing systems, capable of simultaneously recording ECG, EEG, EOG, and EMG, are emerging as the next-generation health monitoring platforms. By integrating multiple bioelectric signals, these platforms enable richer diagnostics and more robust context-aware analysis. However, this integration introduces a major challenge: crosstalk between channels, resulting in distorted waveforms, compromised feature extraction, and reduced clinical reliability.\nIn multimodal bioelectric signal monitoring, crosstalk is mitigated most effectively by co-designing low-noise high-CMRR analog front-ends with signal processing algorithms. The most effective mitigation begins at the signal source. Active electrodes placed close to the skin incorporate local buffering, which shortens the high-impedance path and prevents cable motion or capacitive coupling from introducing artifacts. This design isolates each channel early, reducing the chance that EMG bursts or eye movements bleed into EEG or ECG lines. Next, high input impedance front-end amplifiers (hundreds of MΩ or more) ensure minimal current draw from the electrode-skin interface, preventing shared conductive paths that cause cross-channel coupling. Once the signal enters the analog front-end, high-CMRR instrumentation amplifiers, often implemented as capacitively coupled chopper-stabilized amplifiers with DC-servo loops, reject common-mode interference and electrode offset drift. This is critical because common-mode pathways are a primary route for EMG/EOG leakage into EEG/ECG channels. To further stabilize the reference potential, driven-right-leg (DRL) circuits actively inject an inverted common-mode signal back into the body, reducing residual coupling between modalities. Beyond amplification, shielding, and guarding techniques in PCB layout and cabling block capacitive and electromagnetic coupling between channels. Additionally, practical systems (e.g., g.HIamp, ADI Bio Amps) illustrate multi-channel, galvanically isolated acquisition that supports simultaneously EEG/EOG/ECG/EMG91,92. Besides robust hardware design, signal processing algorithms can further improve the crosstalk mitigation and remove the residual interference that persists, including adaptive noise cancellation93, empirical mode decomposition (EMD)94, wavelet denoising95, independent component analysis96, and canonical correlation analysis97.\n\n\n### Low power\nLow power is necessary, especially for wearable and implantable biosensors, providing continuous and real-time monitoring for extended periods without battery charging or replacement. Reducing power consumption not only extends operational lifetime but also enables the use of smaller batteries, improving portability and user comfort. Consequently, energy-efficient design has become a central focus in biosensor front-end (FE) development.\nDuty cycling is a widely adopted technique for reducing average power consumption by activating circuit blocks only when needed and placing them in sleep or standby mode otherwise. This approach, often implemented using logic control or pulse-width modulation (PWM), significantly reduces idle power waste98. Event-driven wake-up schemes further optimize duty cycling by enabling context-aware activation through an ultra-low power wakeup receiver, which continuously detects the interrupts or commands99. Power gating complements duty cycling by partitioning the system into multiple power domains that can be selectively turned on or off through power switches. This strategy effectively eliminates leakage currents in inactive blocks. However, careful sequencing of power transitions is essential to prevent functional errors100. Power gating switches can also be leveraged to limit current in high-consumption blocks and dynamically adjust the current of each block based on the working load, further reducing the power consumption.\nDynamic voltage scaling (DVS) and dynamic frequency scaling (DFS) are both system and IC level techniques saving power conusmption by scaling down supply voltage and clock frequency at low functional demand. The dynamic power is P = CV2f, where C is effective capacitance of the circuit, V is supply voltage, and f is clock frequency. DVS is typically achieved by voltage regulators with adjustable output voltage levels, and DFS is implemented with phase-locked loops (PLLs) with frequency division or frequency synthesizer adjusting the clock frequency. DVS and DFS are often combined to achieve substantial energy savings while maintaining optimized performance.\n\n\n### Duty cycling and power gating\nDuty cycling is a widely adopted technique for reducing average power consumption by activating circuit blocks only when needed and placing them in sleep or standby mode otherwise. This approach, often implemented using logic control or pulse-width modulation (PWM), significantly reduces idle power waste98. Event-driven wake-up schemes further optimize duty cycling by enabling context-aware activation through an ultra-low power wakeup receiver, which continuously detects the interrupts or commands99. Power gating complements duty cycling by partitioning the system into multiple power domains that can be selectively turned on or off through power switches. This strategy effectively eliminates leakage currents in inactive blocks. However, careful sequencing of power transitions is essential to prevent functional errors100. Power gating switches can also be leveraged to limit current in high-consumption blocks and dynamically adjust the current of each block based on the working load, further reducing the power consumption.\n\n\n### Scaling\nDynamic voltage scaling (DVS) and dynamic frequency scaling (DFS) are both system and IC level techniques saving power conusmption by scaling down supply voltage and clock frequency at low functional demand. The dynamic power is P = CV2f, where C is effective capacitance of the circuit, V is supply voltage, and f is clock frequency. DVS is typically achieved by voltage regulators with adjustable output voltage levels, and DFS is implemented with phase-locked loops (PLLs) with frequency division or frequency synthesizer adjusting the clock frequency. DVS and DFS are often combined to achieve substantial energy savings while maintaining optimized performance.\n\n\n### State-of-the-art of biosensors\nThis section overviews the state-of-the-art bioelectric sensor designs and the key strategies applied for the acquisition of each type of bioelectric signal. Bioelectric sensor circuits primarily consist of electrodes, signal processing, digitization, and remote transmission, as illustrated in Fig. 3e. Moreover, Table 2 summarizes the circuit design strategies employed in biosensors.Fig. 3Electrode placement configurations for bioelectric signal detection.a The diagram shows the standard electrode locations (Fp1, Fp2, F7, F8, etc.) of 10–20 EEG electrode placement international system101,105, which is widely used in clinical settings for recording brain activity. b 12-lead ECG electrode placement116, which includes right arm, left arm, right leg, left leg, and the precordial leads (V1–V6), is used for monitoring cardiac function. c EOG electrode placement around the eyes for tracking ocular movements193, including vertical electrodes placed above and below each eye, horizontal electrodes on the lateral canthi of both eyes, and a reference electrode on the forehead. d EMG electrode placement for muscle activity detection involves placing signal electrodes on the targeted muscles and the reference electrode on an electrically inactive region, such as the lateral epicondyle, to improve the common-mode rejection ratio (CMRR) by establishing a common voltage reference. e General configuration of bioelectric sensors, which includes right leg drive (RLD), instrumentation amplifier (IA), programmable gain amplifier (PGA), analog-to-digital converter (ADC), universal asynchronous receiver-transmitter (UART), and various filtering and amplification stages. The data can be processed and transmitted to connected devices such as computers or cloud-based systems for analysis.Table 2Summary of biosensor circuit design strategiesSignal typeRef.No. of electrodes /materialElectrode-skin impedance (kΩ @ Hz)BW (Hz)AmplificationEMI and RF noiseDC drift and offsetRLDWirelessMicrocontrollerEEG and ECoG788 electrodes–0.1–1003 chain amplifier with a gain of 60dBEEG ref. circuit–NoNo. UART insteadAltera FPGA7832 implantable electrodes–5248 differential VGAs providing 12dB gainDifferential amplifier with CMRR of 155dB–NoZarlink’s ZL70102MSP4301068 Ag fabric electrodes5–30 kΩ @ 10 Hz–programmable gain of max 24 by ADS1299EEG Ref. and BIAS channels–NoWiFiCY8C4245AXI-01818524 Ag flake and Styrene-printed electrode30–50 kΩ @ 10 HzUp to 100programmable gain of 24 in max by ADS1299–Software-based methodNoWiFiESP8266763 Ag ink-printed electrodes10 kΩ @ 10 Hz0.16–4824 dB gain provided by IA; Up to 60 dB gain by PGADifferential channel to remove artifacts and BPF for noise removalRemoved by BPFNo–NINAB316813 dry electrodes–0.5–100CCIA with 40 dB midband gain and 6-36dB PGAChopper buffer; active shieldingDC servo loopYes––ECG1195 Ag/AgCl electrode (3 leads)–0.03–110Variable gain provided by ADS1293 FEAnti-aliasing in ADS1293Software signal preprocessingYesBL4.1CY8C42471203 Ag/AgCl electrodes–0.159–159Programmable gain by IA INA333Shielding, customizable filterCustomizable filterYesBLECC26501213 copper electrodes–8–25Gain of 100 by AD8233Shielding, Anti-alias filter, software-based DFBaseline drift compensationNoBluetooth 4.0CC2650MODA873 Ag textile electrodes10 kΩ @ 1 kHz0.1–12560 dB gain by AD8237 followed by three OpAmpsLPFRemoved by HPFNoZarlink ZL70102MSP4301862 dry electrodes (MWCNTs/PDMS on Silver)––20–60 provided by MAX30003 FEfilters built in MAX30003 FERemoved by filtering in FENoFrom MCUESP32-WROOM-32D792 dry copper capacitive electrodes–0.3–100Variable gain by PSOPA4002, INA118Copper guard ring shield; BPFRemoved by passive BPFNo––1875 Ag/AgCl electrodes–0.5–100INALPF, BPF, software- based DFRemoved by HPFNoBLE 4.0STM32F103RCEOG1885 Ag/AgCl electrodes––Cerebro AFE with a variable gain IA1st order LPFCurrent mode DACs in Xilinx FPGANoWiFiAVR321896 Ag/AgCl electrodes–0.5–35programmable gain of 24 in max by ADS1299BPF and software- based signal processing–Yes–Arduino Pro mini1265 Ag/AgCl electrodes––INA125 IA with adjustable gainLeaky-integrator digital filter–No–Arduino Micro845 Ag/AgCl electrodes10 kΩ @ 100 Hz0.15–31LT1167 IA with adjustable gain5th order Bessel LPF with extra gain 1015th order Bessel LPF with extra gain 101No–PIC12F6751255 Ag/AgCl electrodes–8AD620 IA, variable gain amplifierLPF with cutoff frequency 8 HzHPF with cutoff frequency 0.2 HzNoSerial T/RPIC16f8771903 Ag printed electrodes–1.6–47INA118 IA, 2nd stage amplifier LMC6484 with adjustable gainButterworth LPF at 47 HzHPF coupled with electrode at 0.1 Hz, HPF after the LPF at 1.6 HzNoAtmega328PBLE 5.0 RN4871863 graphene textile electrodes40–70 kΩ @ 100 Hz0.3–10INA128 with adjustable gainsRC LPF at 780 Hz, 8th order Butterworth LPF at 10 Hz4th order Butterworth HPF at 0.3 Hz, Calibration processYesAtmega328–EMG13032 copper electrodes–20–500RHD2132 signal acquisition boardAmplifier BW selection filter–Yes2.4 GHz transceiver NRF24L01MSP430F5529131Capacitive copper electrodes–10–300INA116 with adjustable gain up to 1000Sallen Key filter with LM358Baseline characterization and negative feedback driver compensationYes––852 filamentary cylindrical electrodes–20–450Adjustable gain provided by OPA132, INA1128Sallen Key filter with OPA132Removed by filteringYes––1332 Embroidered stainless steel conductive thread40–80 kΩ @ 100 Hz20–410541.5 gain provided by AD6201st order active filter; Active electrode shield–NoBluetoothBitalino Microcontroller19116 Ag/AgCl with gel removed15 kΩ @ 100 Hz–Adjustable gain by IALPF, BPF, NF–No–STM321322 stainless steel circular electrode50 kΩ @ 100 Hz10–500AD8244 quad buffer and adjustable gain by g.HIampShielding and protectionRemoved by HPFNo–STM3219220 printed conductive electrodes1 kΩ @ 1 kHz12–125Two bipolar amplifiers with RLDLPF at 150 Hz, 4th order Butterworth LPF at 10 Hz–Yes––BW bandwidth, EMI electromagnetic interference, RF radio frequency, DC direct current, RLD right-leg drive, EEG electroencephalogram, ECoG electrocorticogram, ECG electrocardiogram, EOG electrooculogram, EMG electromyogram.\na The diagram shows the standard electrode locations (Fp1, Fp2, F7, F8, etc.) of 10–20 EEG electrode placement international system101,105, which is widely used in clinical settings for recording brain activity. b 12-lead ECG electrode placement116, which includes right arm, left arm, right leg, left leg, and the precordial leads (V1–V6), is used for monitoring cardiac function. c EOG electrode placement around the eyes for tracking ocular movements193, including vertical electrodes placed above and below each eye, horizontal electrodes on the lateral canthi of both eyes, and a reference electrode on the forehead. d EMG electrode placement for muscle activity detection involves placing signal electrodes on the targeted muscles and the reference electrode on an electrically inactive region, such as the lateral epicondyle, to improve the common-mode rejection ratio (CMRR) by establishing a common voltage reference. e General configuration of bioelectric sensors, which includes right leg drive (RLD), instrumentation amplifier (IA), programmable gain amplifier (PGA), analog-to-digital converter (ADC), universal asynchronous receiver-transmitter (UART), and various filtering and amplification stages. The data can be processed and transmitted to connected devices such as computers or cloud-based systems for analysis.\nSummary of biosensor circuit design strategies\nBW bandwidth, EMI electromagnetic interference, RF radio frequency, DC direct current, RLD right-leg drive, EEG electroencephalogram, ECoG electrocorticogram, ECG electrocardiogram, EOG electrooculogram, EMG electromyogram.\nEEG signals can be recorded using monopolar or bipolar setups. Given very weak signal amplitude, the EEG sensors need carefully designed front-ends with ultra-low noise and multiple electrodes to enhance SNR and spatial resolution. Figure 3a shows 10–20 international standard system101 for electrode placement mainly used for clinics. There are several other electrode placement systems, such as 10–10 system102, bipolar transverse montage103, bipolar longitudinal montage104, and referential ear montage105, which are mainly used for research.\nThe specific implementations and key innovations of several EEG systems are highlighted below. M. Sawan et al.78 designed an 8-electrode non-invasive EEG sensor with a 60 dB gain and 0.1–100 Hz bandpass before digitization. An invasive EEG78 is also designed which requires a lower gain of 12 dB compared with the non-invasive one and employs a high common-mode rejection ratio (CMRR) for common-mode interference (CMI) removal. Gao et al.106 designed an 8-channel EEG system with Ag-coated conductive fabric electrodes. The signal is preprocessed and digitized by ADS1299 configured by PSoC, and interfaced with a WiFi module. To improve signal quality, with the same circuit,\nEEG can also be detected by in-ear devices by embedding electrodes on customized earpieces107. It has a similar circuit design and principles as the on-scalp EEG recording but offers better wearing comfort, more accurate electrode localization, reduced motion artifact, and improved signal quality. Compared with the on-scalp EEG, a larger gain is usually added at the front end (FE) for in-ear EEG. Sheeraz et al.76 used an instrumentation amplifier (IA) by 24 dB with differential input for artifact removal and a programmable gain amplifier (PGA) offering 40–60 dB gain. Xiong et al.81 designed a two-channel in-ear EEG circuit with a capacitively coupled instrumentation amplifier (CCIA) and a PGA, providing 40 dB and 6–36 dB gains, respectively. Electrode materials are actively being explored for lower noise, reduced contact impedance, improved comfort, and enhanced biocompatibility (see Table 1 in the Supplemental Material)108–111. Additionally, in the Supplemental Material, Table 2 compares the performance of EEG commercial chips, while Fig. 1 illustrates the power efficiency of EEG commercial products and modules.\nThe ECoG recording requires implantable integrated circuits (ICs) with microneedle electrode arrays. The front end usually comprises an IA or a low-noise amplifier (LNA) with high input impedance, chopper stabilization for 1/f noise removal, a digital electrode offset rejection loop (EORL), a ripple removal reduction loop, and an analog-to-digital converter (ADC)72,112. Band-pass filters for the four EEG bands were applied, and the filtered outputs were integrated to obtain the energy113. ECoG sensors can also be prototyped by commercial off-the-shelf (COTS) components, such as reconfigurable high-gain (RHA) amplifier array with Zarlink transceiver114, CINESIC32 platform115.\nCompared to EEG, ECG has a larger amplitude, leading to better SNR of the raw signal and, therefore, lower gains and more relaxed design requirements at the front end. Figure 3b shows the traditional 12-lead ECG monitoring system, which uses 10 electrodes (4 limb electrodes and 6 precordial electrodes) to derive 12 leads by measuring different voltage differences between these electrodes116. In contrast, state-of-the-art ECG sensors and wearable and commercial products often employ fewer electrodes (typically 3–5 electrodes) to enhance portability and patient comfort, while still providing sufficient information for continuous monitoring and preliminary screening117,118. Both ambulatory ECG systems and ICs are being actively developed.\nThe ambulatory ECG monitoring systems are mostly cloud-based or IoT-centered, i.e., the signals are transmitted to the Internet. Yuan et al.119 presented an ECG system based on ADS1293, integrating preamplifiers, electromagnetic interference (EMI) filters, and anti-aliasing filters. ECG data is sent to the smartphone via Bluetooth for independent component analysis (ICA) and real-time feature extraction. Similarly, Lee and Seo120 employed an IA followed by bandpass and powerline filters, an MSP430 low-power microcontroller for ADC, and a Zarlink transceiver. Large enough electrode separation is used to guarantee their placement on different equal-potential lines for better stability. To further reduce noise, Chen et al.121 designed an ECG sensor with two shielded active electrodes for sensing and a passive electrode for right-leg-drive. The shielding prevents noises and cancels parasitic capacitances, boosting input impedance and enabling non-contact measurement.\nBesides ambulatory ECG systems, the development of application-specific integrated circuits (ASIC) for ECG recording has been studied in depth. In these ICs, various strategies are applied for more efficient ECG detections: Pseudo-differential DC-coupled resistor-feedback structure61 and pre-charged buffer122 for input impedance boosting, common-mode (CM) noise cancellation83 and CM feedback122,123 for CM noise removal, DC servo loop83,122 and filtering123 for offset removal, timing-multiplexing over noise and offset cancellation and signal acquisition phases83, and the recycling of detected ECG signals for powering and generating local oscillator signals124. Tables 3 and 4 in the Supplemental Material compare the performance of ECG ICs and commercial chips, respectively, while Fig. 2 illustrates the power efficiency of ECG commercial products and modules.\nThe main challenge of EOG recording arises from its ultra-low frequency content, typically in the range of 0.5–15 Hz. Such low-frequency signals are highly susceptible to baseline drift, motion artifacts, and environmental interference, thereby imposing stringent requirements on filtering to suppress out-of-band noise. Moreover, reliable extraction of vertical and horizontal components is required for accurate ocular movement tracking, despite the relatively larger signal amplitude compared to other bioelectrical signals. Figure 3c explains the typical electrode placement for EOG sensors: on the lateral canthi for horizontal EOG, above and below an eye for vertical EOG, and on the forehead for reference.\nNumerous state-of-the-art circuits and electrodes for EOG signal detection have been developed. Usakli and Gurkan84 presented an EOG-based virtual keyboard. The signal is first amplified by the IA. DC drift is removed by phase cancellation, and powerline interference is eliminated by a notch filter. An optocoupler isolates the measurement system from the powerline for subject safety. Then, Ahmadibakhsh et al.125 followed the same amplification and filtering, while buffers were added for impedance matches among amplifiers, filters, and ADC. Moreover, a level shifter biases the signal to match the ADC input range. Based on vertical and horizontal EOG, Keshinoglu and Aydin126 presented a computer-control method for the disabled. The signal is amplified with an IA and read with Arduino, which digitally filters out vibrations by movement fluctuations and artifacts. The commonly used EOG products and modules are summarized in Table 5 in the Supplemental Material.\nThe extensive applications of EOG inspire multiple other methods for the monitoring of eye movements. Video-Oculography (VOG) uses a camera to capture and analyze digital images and the reflected light from the eyes to determine gaze direction, as shown in Fig. 4 (a). While VOG enables accurate assessment of eye movements for clinical use, it imposes stringent requirements on camera shutter speed, incurs high costs, consumes significant power, and reduces wearability127. Piezoelectric micromachined ultrasonic transducer (PMUT) arrays detect eye movements by measuring ultrasound reflections caused by the differing acoustic impedances of air and the eyes (Fig. 4b). This method saves both size and power but comes at an elevated cost. Infrared oculography (IROG)128 operates on a principle similar to PMUT but uses infrared light (Fig. 4c). While this method offers high accuracy, it is sensitive to environmental factors, and prolonged exposure to infrared light may pose risks to the eyes.Fig. 4Methods for the monitoring of eye movements.a Video-oculography (VOG)127 gaze direction with a camera that forms and analyzes digital images and reflected light from the eyes. This method provides eye-in-head position, including both horizontal (x-axis) and vertical (y-axis). b Piezoelectric micromachined ultrasonic transducer (PMUT)194 arrays detect eye movements by measuring ultrasound reflections caused by the differing acoustic impedances of air and the eyes. The transducer array emits ultrasound, which is reflected back by the eyes. The array-to-eye distance can be measured based on the time-of-flight (TOF). Corneal movement alters this distance and, therefore, different TOFs. Transmission and reception channels are properly isolated to prevent inter-channel crosstalk, and the signal is amplified and filtered before acquisition for further analysis. c Infrared oculography (IROG)128 operates on a principle similar to PMUT but uses infrared (IR) light. Emitted IR signals reflect off the cornea, and the reflected signals are captured and processed by the analog front end (AFE) and microcontroller (μCon). The system transmits eye movement data wirelessly for further processing.\na Video-oculography (VOG)127 gaze direction with a camera that forms and analyzes digital images and reflected light from the eyes. This method provides eye-in-head position, including both horizontal (x-axis) and vertical (y-axis). b Piezoelectric micromachined ultrasonic transducer (PMUT)194 arrays detect eye movements by measuring ultrasound reflections caused by the differing acoustic impedances of air and the eyes. The transducer array emits ultrasound, which is reflected back by the eyes. The array-to-eye distance can be measured based on the time-of-flight (TOF). Corneal movement alters this distance and, therefore, different TOFs. Transmission and reception channels are properly isolated to prevent inter-channel crosstalk, and the signal is amplified and filtered before acquisition for further analysis. c Infrared oculography (IROG)128 operates on a principle similar to PMUT but uses infrared (IR) light. Emitted IR signals reflect off the cornea, and the reflected signals are captured and processed by the analog front end (AFE) and microcontroller (μCon). The system transmits eye movement data wirelessly for further processing.\nThe frequent gesture changes and motions make EMG sensing susceptible to motion artifacts and DC offsets, which require proper filtering. Moreover, skin preparation and accurate electrode placement on the selected muscle are important to reduce skin-electrode interface impedance and improve signal quality and reading accuracy129. Multiple channels can be applied to extract the motions and acceleration of the x, y, and z axes. Figure 3d shows the typical EMG electrode placement. The signal electrodes are placed on the muscles, while the reference electrode is placed on the skin with little underlying muscle activities and far away from active electrodes.\nInnovative signal processing strategies and electrode designs have been developed to obtain high-quality EMG signals. Tam et al.130 designed a wireless armband EMG sensor through 32 circular copper sensing electrodes and 16 reference electrodes based on the Intan RHD2132 electrophysiology platform featuring 32-channel amplifiers. A high-pass filter (HPF) is used for DC offset removal. A 2.4 GHz transceiver nRF24L01 transfers the data to a computer relayed by a base station. Ng et al.131 designed a capacitive EMG sensor where the electrode and the skin are separated by high-ϵ polyimide film. A 2nd-order bandpass filter (BPF) limits the bandwidth to remove baseline wander and motion artifacts, followed by a closed-loop negative feedback driver compensating the CM noise. Naim et al.132 proposed a flexible EMG device with actively shielded high-impedance dry electrodes followed by HPF for baseline stabilization. The transient voltage suppressor diodes are applied to the input of the buffers for protection. Chen et al.85 used the cylindrical filamentary silver electrodes followed by the same amplifiers and filters for preprocessing. The right-leg-driven circuit is implemented to reduce common-mode interference and match the body and circuit’s reference voltages. Shafti et al.133 proposed a textile EMG device integrated into fabric. The electrodes are made of embroidered stainless steel conductive thread sewn into the fabric. The commonly used EMG products and modules are summarized in Table 6 in the supplemental material.\n\n\n### EEG and ECoG sensors\nEEG signals can be recorded using monopolar or bipolar setups. Given very weak signal amplitude, the EEG sensors need carefully designed front-ends with ultra-low noise and multiple electrodes to enhance SNR and spatial resolution. Figure 3a shows 10–20 international standard system101 for electrode placement mainly used for clinics. There are several other electrode placement systems, such as 10–10 system102, bipolar transverse montage103, bipolar longitudinal montage104, and referential ear montage105, which are mainly used for research.\nThe specific implementations and key innovations of several EEG systems are highlighted below. M. Sawan et al.78 designed an 8-electrode non-invasive EEG sensor with a 60 dB gain and 0.1–100 Hz bandpass before digitization. An invasive EEG78 is also designed which requires a lower gain of 12 dB compared with the non-invasive one and employs a high common-mode rejection ratio (CMRR) for common-mode interference (CMI) removal. Gao et al.106 designed an 8-channel EEG system with Ag-coated conductive fabric electrodes. The signal is preprocessed and digitized by ADS1299 configured by PSoC, and interfaced with a WiFi module. To improve signal quality, with the same circuit,\nEEG can also be detected by in-ear devices by embedding electrodes on customized earpieces107. It has a similar circuit design and principles as the on-scalp EEG recording but offers better wearing comfort, more accurate electrode localization, reduced motion artifact, and improved signal quality. Compared with the on-scalp EEG, a larger gain is usually added at the front end (FE) for in-ear EEG. Sheeraz et al.76 used an instrumentation amplifier (IA) by 24 dB with differential input for artifact removal and a programmable gain amplifier (PGA) offering 40–60 dB gain. Xiong et al.81 designed a two-channel in-ear EEG circuit with a capacitively coupled instrumentation amplifier (CCIA) and a PGA, providing 40 dB and 6–36 dB gains, respectively. Electrode materials are actively being explored for lower noise, reduced contact impedance, improved comfort, and enhanced biocompatibility (see Table 1 in the Supplemental Material)108–111. Additionally, in the Supplemental Material, Table 2 compares the performance of EEG commercial chips, while Fig. 1 illustrates the power efficiency of EEG commercial products and modules.\nThe ECoG recording requires implantable integrated circuits (ICs) with microneedle electrode arrays. The front end usually comprises an IA or a low-noise amplifier (LNA) with high input impedance, chopper stabilization for 1/f noise removal, a digital electrode offset rejection loop (EORL), a ripple removal reduction loop, and an analog-to-digital converter (ADC)72,112. Band-pass filters for the four EEG bands were applied, and the filtered outputs were integrated to obtain the energy113. ECoG sensors can also be prototyped by commercial off-the-shelf (COTS) components, such as reconfigurable high-gain (RHA) amplifier array with Zarlink transceiver114, CINESIC32 platform115.\n\n\n### ECG sensors\nCompared to EEG, ECG has a larger amplitude, leading to better SNR of the raw signal and, therefore, lower gains and more relaxed design requirements at the front end. Figure 3b shows the traditional 12-lead ECG monitoring system, which uses 10 electrodes (4 limb electrodes and 6 precordial electrodes) to derive 12 leads by measuring different voltage differences between these electrodes116. In contrast, state-of-the-art ECG sensors and wearable and commercial products often employ fewer electrodes (typically 3–5 electrodes) to enhance portability and patient comfort, while still providing sufficient information for continuous monitoring and preliminary screening117,118. Both ambulatory ECG systems and ICs are being actively developed.\nThe ambulatory ECG monitoring systems are mostly cloud-based or IoT-centered, i.e., the signals are transmitted to the Internet. Yuan et al.119 presented an ECG system based on ADS1293, integrating preamplifiers, electromagnetic interference (EMI) filters, and anti-aliasing filters. ECG data is sent to the smartphone via Bluetooth for independent component analysis (ICA) and real-time feature extraction. Similarly, Lee and Seo120 employed an IA followed by bandpass and powerline filters, an MSP430 low-power microcontroller for ADC, and a Zarlink transceiver. Large enough electrode separation is used to guarantee their placement on different equal-potential lines for better stability. To further reduce noise, Chen et al.121 designed an ECG sensor with two shielded active electrodes for sensing and a passive electrode for right-leg-drive. The shielding prevents noises and cancels parasitic capacitances, boosting input impedance and enabling non-contact measurement.\nBesides ambulatory ECG systems, the development of application-specific integrated circuits (ASIC) for ECG recording has been studied in depth. In these ICs, various strategies are applied for more efficient ECG detections: Pseudo-differential DC-coupled resistor-feedback structure61 and pre-charged buffer122 for input impedance boosting, common-mode (CM) noise cancellation83 and CM feedback122,123 for CM noise removal, DC servo loop83,122 and filtering123 for offset removal, timing-multiplexing over noise and offset cancellation and signal acquisition phases83, and the recycling of detected ECG signals for powering and generating local oscillator signals124. Tables 3 and 4 in the Supplemental Material compare the performance of ECG ICs and commercial chips, respectively, while Fig. 2 illustrates the power efficiency of ECG commercial products and modules.\n\n\n### EOG sensors\nThe main challenge of EOG recording arises from its ultra-low frequency content, typically in the range of 0.5–15 Hz. Such low-frequency signals are highly susceptible to baseline drift, motion artifacts, and environmental interference, thereby imposing stringent requirements on filtering to suppress out-of-band noise. Moreover, reliable extraction of vertical and horizontal components is required for accurate ocular movement tracking, despite the relatively larger signal amplitude compared to other bioelectrical signals. Figure 3c explains the typical electrode placement for EOG sensors: on the lateral canthi for horizontal EOG, above and below an eye for vertical EOG, and on the forehead for reference.\nNumerous state-of-the-art circuits and electrodes for EOG signal detection have been developed. Usakli and Gurkan84 presented an EOG-based virtual keyboard. The signal is first amplified by the IA. DC drift is removed by phase cancellation, and powerline interference is eliminated by a notch filter. An optocoupler isolates the measurement system from the powerline for subject safety. Then, Ahmadibakhsh et al.125 followed the same amplification and filtering, while buffers were added for impedance matches among amplifiers, filters, and ADC. Moreover, a level shifter biases the signal to match the ADC input range. Based on vertical and horizontal EOG, Keshinoglu and Aydin126 presented a computer-control method for the disabled. The signal is amplified with an IA and read with Arduino, which digitally filters out vibrations by movement fluctuations and artifacts. The commonly used EOG products and modules are summarized in Table 5 in the Supplemental Material.\nThe extensive applications of EOG inspire multiple other methods for the monitoring of eye movements. Video-Oculography (VOG) uses a camera to capture and analyze digital images and the reflected light from the eyes to determine gaze direction, as shown in Fig. 4 (a). While VOG enables accurate assessment of eye movements for clinical use, it imposes stringent requirements on camera shutter speed, incurs high costs, consumes significant power, and reduces wearability127. Piezoelectric micromachined ultrasonic transducer (PMUT) arrays detect eye movements by measuring ultrasound reflections caused by the differing acoustic impedances of air and the eyes (Fig. 4b). This method saves both size and power but comes at an elevated cost. Infrared oculography (IROG)128 operates on a principle similar to PMUT but uses infrared light (Fig. 4c). While this method offers high accuracy, it is sensitive to environmental factors, and prolonged exposure to infrared light may pose risks to the eyes.Fig. 4Methods for the monitoring of eye movements.a Video-oculography (VOG)127 gaze direction with a camera that forms and analyzes digital images and reflected light from the eyes. This method provides eye-in-head position, including both horizontal (x-axis) and vertical (y-axis). b Piezoelectric micromachined ultrasonic transducer (PMUT)194 arrays detect eye movements by measuring ultrasound reflections caused by the differing acoustic impedances of air and the eyes. The transducer array emits ultrasound, which is reflected back by the eyes. The array-to-eye distance can be measured based on the time-of-flight (TOF). Corneal movement alters this distance and, therefore, different TOFs. Transmission and reception channels are properly isolated to prevent inter-channel crosstalk, and the signal is amplified and filtered before acquisition for further analysis. c Infrared oculography (IROG)128 operates on a principle similar to PMUT but uses infrared (IR) light. Emitted IR signals reflect off the cornea, and the reflected signals are captured and processed by the analog front end (AFE) and microcontroller (μCon). The system transmits eye movement data wirelessly for further processing.\na Video-oculography (VOG)127 gaze direction with a camera that forms and analyzes digital images and reflected light from the eyes. This method provides eye-in-head position, including both horizontal (x-axis) and vertical (y-axis). b Piezoelectric micromachined ultrasonic transducer (PMUT)194 arrays detect eye movements by measuring ultrasound reflections caused by the differing acoustic impedances of air and the eyes. The transducer array emits ultrasound, which is reflected back by the eyes. The array-to-eye distance can be measured based on the time-of-flight (TOF). Corneal movement alters this distance and, therefore, different TOFs. Transmission and reception channels are properly isolated to prevent inter-channel crosstalk, and the signal is amplified and filtered before acquisition for further analysis. c Infrared oculography (IROG)128 operates on a principle similar to PMUT but uses infrared (IR) light. Emitted IR signals reflect off the cornea, and the reflected signals are captured and processed by the analog front end (AFE) and microcontroller (μCon). The system transmits eye movement data wirelessly for further processing.\n\n\n### EMG sensors\nThe frequent gesture changes and motions make EMG sensing susceptible to motion artifacts and DC offsets, which require proper filtering. Moreover, skin preparation and accurate electrode placement on the selected muscle are important to reduce skin-electrode interface impedance and improve signal quality and reading accuracy129. Multiple channels can be applied to extract the motions and acceleration of the x, y, and z axes. Figure 3d shows the typical EMG electrode placement. The signal electrodes are placed on the muscles, while the reference electrode is placed on the skin with little underlying muscle activities and far away from active electrodes.\nInnovative signal processing strategies and electrode designs have been developed to obtain high-quality EMG signals. Tam et al.130 designed a wireless armband EMG sensor through 32 circular copper sensing electrodes and 16 reference electrodes based on the Intan RHD2132 electrophysiology platform featuring 32-channel amplifiers. A high-pass filter (HPF) is used for DC offset removal. A 2.4 GHz transceiver nRF24L01 transfers the data to a computer relayed by a base station. Ng et al.131 designed a capacitive EMG sensor where the electrode and the skin are separated by high-ϵ polyimide film. A 2nd-order bandpass filter (BPF) limits the bandwidth to remove baseline wander and motion artifacts, followed by a closed-loop negative feedback driver compensating the CM noise. Naim et al.132 proposed a flexible EMG device with actively shielded high-impedance dry electrodes followed by HPF for baseline stabilization. The transient voltage suppressor diodes are applied to the input of the buffers for protection. Chen et al.85 used the cylindrical filamentary silver electrodes followed by the same amplifiers and filters for preprocessing. The right-leg-driven circuit is implemented to reduce common-mode interference and match the body and circuit’s reference voltages. Shafti et al.133 proposed a textile EMG device integrated into fabric. The electrodes are made of embroidered stainless steel conductive thread sewn into the fabric. The commonly used EMG products and modules are summarized in Table 6 in the supplemental material.\n\n\n### Future and outlook\nThis section specifically introduces the potential areas relevant to or inspiring the development of biosensors, presents the state-of-the-art of the field, and discusses how these fields interact with the development of biosensors.\nBrain machine interface (BMI) is a system that establishes direct communication between the brain’s electrical activity and external devices, typically to bypass impaired neuromuscular pathways for motor or sensory restoration134. BMI systems rely on the precise detection of bioelectric signals such as EEG, action potential (AP), etc., and their development is intrinsically linked to advancements in bioelectric sensing technologies. Improvements in sensitivity, resolution, and miniaturization have transformed BMIs from simple signal-acquisition platforms into sophisticated systems for smart home control, entertainment, motor function restoration, and the treatment of neurological disorders (e.g., Parkinson’s, epilepsy, paralysis)135.\nA critical BMI application is closed-loop sensorimotor control, where the system decodes motor cortex signals to drive an external actuator (such as a robotic limb, neuro-prosthetics, or wheelchair) while simultaneously encoding sensor data from the device into electrical stimulation patterns delivered back to the sensory cortex. This closed-loop architecture is fundamental to achieving precise manipulation of the external actuator, enabling the execution of complex motor tasks that are otherwise precluded by the user’s compromised neuromuscular system.\nThe fidelity of this sensorimotor control is strictly governed by the signal acquisition method. While non-invasive approaches like scalp-mounted EEG or near-infrared spectroscopy (NIRS) prioritize safety and convenience rate136, successfully demonstrating universal classification for steering electric wheelchairs at 94.5% accuracy137. However, they often lack the spatial resolution required for intricate motor control described above. Consequently, to achieve the high dexterity needed for advanced neuroprosthetics, invasive methods involving implanted electrodes are employed to capture high-resolution bioelectric signals, such as ECoG and AP, directly from neural cells138. However, acquiring these invasive signals presents its own set of challenges, primarily due to the inherent weakness of neural activity amidst significant biological noise (Fig. 2b). Despite these obstacles, recent breakthroughs in biosensing interfaces have enabled remarkable advancements in neural decoding fidelity. For instance, researchers have successfully decoded nerve interface signals to drive real-time prosthetic movements with up to 98% accuracy139. Pushing the boundaries of decoding further, “mind-writing\" systems can now reconstruct handwriting trajectories from motor cortex activity with 94.1% accuracy online and >99% accuracy offline140. To further expand the scope and resolution of neural monitoring, cutting-edge BMI platforms now integrate over 10,000 electrodes on a thumbnail-sized chip, aiming to “eavesdrop\" on every neuron in contact. Next-generation designs are pushing these limits even further by increasing electrode density and reducing device size, paving the way for more comprehensive and precise brain-machine interfacing141.\nDriven by the growing demand and rapid progress in biosensor-enabled healthcare research, IoB systems are evolving toward ultra-low power, miniaturization, low cost, high reliability, low latency, strong security, and user comfort142. Currently, the interconnection of IoB devices relies on RF communication, with Bluetooth operating in the 2.4 GHz ISM band. While this enables low-latency, secure IoB node communication, it faces several limitations: (i) Significant path loss and shadow fading at 2.4 GHz; (ii) Increased risk of eavesdropping, requiring energy-intensive encryption; (iii) Omnidirectional signals, causing inefficient power usage; (iv) Power-hungry power amplifiers; (v) Operation in congested unlicensed bands, leading to interference and reduced efficiency. These factors collectively reduce the energy efficiency of RF-based IoB systems.\nTo address these challenges, human body communication (HBC) was proposed by T. Zimmerman in 1996143, leveraging the human body as the transmission channel. By coupling signals through the body with minimal energy leakage into the surrounding environment, HBC achieves substantially lower power consumption than conventional RF-based systems, offering up to two orders of magnitude better energy efficiency144. In addition to energy savings, HBC inherently enhances security by reducing reliance on computationally intensive encryption schemes. Consequently, HBC has emerged as a compelling alternative to RF for interconnecting Internet of Bio-Nano Things (IoB) nodes145. Recent advancements have enabled the development of HBC transceiver ASICs with ultra-low power consumption, achieving energy efficiency as low as 6.3 pJ/b, which is up to 100 times better than RF-based techniques (in the magnitude of nJ/b)144. Besides ASIC design, numerous prototypes have demonstrated the feasibility of HBC-based healthcare monitoring systems. These systems typically consist of one sensor node, which acquires and processes the bioelectric signal before transmitting it through the body, and a hub node that demodulates and decodes data. Maity et al.146 presented an HBC-based pulse monitoring system using TM4C123G evaluation boards, where the transmitter sends the analog-to-digital converted pulse signal through the general-purpose input and output (GPIO) ports, and the Rx demodulates the signal through integrating and sampling. The complete end-to-end implementation of this HBC-based pulse monitoring system achieves an 8.2× improvement in energy efficiency over the RF wireless system at a data rate of 500 kbps. Additionally, similar demonstrations have been reported for ECG and blood pressure monitoring147,148. Looking ahead, besides systems with a single biosensor node, HBC offers great potential for multi-parameter health monitoring by interconnecting multiple biosensor nodes distributed over the human body. In such systems, multiple body-worn sensor nodes transmit data using frequency-division multiplexing to the receiver as a hub, as shown in Fig. 5b. At the receiver side, channel filters separate and process the signals, which are then demodulated and processed. This architecture could enable ultra-low-power, multi-parameter wearable healthcare platforms, paving the way for transformative improvements in daily health monitoring and personalized care.Fig. 5Potential areas relevant to or inspiring the development of biosensors.a Illustration of brain machine interface (BMI) enabled by biosensors for smart control, neuro-restoration, neuroprosthesis, and smart home. The system processes EEG/ECoG signals and communicates with external actuators to enable interaction. b Human body communication is used to interconnect the biosensors distributed over the human body. Multiple biosensors are interconnected through the human body, and the data is sent to a receiver hub, forming a distributed internet of bodies (IoB) network. c Evolution of electronics. The radar chart on the right presents a comprehensive performance evaluation of three types of electronics, with larger points indicating better performance. Biosensors based on flexible, and ultra-thin substrates for better contact with the skin and better skin breathability, reduced motion artifacts, and wearability. d Power harvesting to power biosensors and enable battery-less operations. Energy can be harvested from in, on, or around the human body using technologies such as solar cells, triboelectric generators, and piezoelectric materials.\na Illustration of brain machine interface (BMI) enabled by biosensors for smart control, neuro-restoration, neuroprosthesis, and smart home. The system processes EEG/ECoG signals and communicates with external actuators to enable interaction. b Human body communication is used to interconnect the biosensors distributed over the human body. Multiple biosensors are interconnected through the human body, and the data is sent to a receiver hub, forming a distributed internet of bodies (IoB) network. c Evolution of electronics. The radar chart on the right presents a comprehensive performance evaluation of three types of electronics, with larger points indicating better performance. Biosensors based on flexible, and ultra-thin substrates for better contact with the skin and better skin breathability, reduced motion artifacts, and wearability. d Power harvesting to power biosensors and enable battery-less operations. Energy can be harvested from in, on, or around the human body using technologies such as solar cells, triboelectric generators, and piezoelectric materials.\nTraditional healthcare biosensors are typically fabricated on rigid substrates, most commonly FR4 fiberglass, with electrode thicknesses of several hundred micrometers. Such rigidity and thickness create air gaps that increase contact impedance and introduce severe motion artifacts during physical activity149, as illustrated in Fig. 5c. To overcome these limitations, recent research has shifted towards ultra-thin, stretchable, and breathable skin electronics. These biosensors, fabricated on flexible substrates only a few micrometers thick, offer several advantages: (i) Excellent biocompatibility with minimal skin irritation, supporting long-term wear. For instance, nanomesh-based devices allow the skin to breathe naturally150; (ii) Superior stretchability, enabling seamless integration with skin contours and accommodating body movement, reducing motion artifacts and improving signal quality; (iii) Enhanced wearability, with minimal tactile interference or user discomfort.\nRecent breakthroughs in fabrication have enabled high-performance biosensors based on skin-electronic substrates, with potential for widespread clinical and consumer adoption. In the realm of optical biosensing, maintaining a stable optical path during body movement is the primary challenge. Slight detachments between the sensor and skin cause significant fluctuations in light scattering, degrading the SNR. Addressing this, Yokota et al.151 pioneered the development of ultra-flexible optoelectronic skins. In their foundational work, they integrated polymer light-emitting diodes (PLEDs) and organic photodiodes (OPDs) on skin electronic substrates less than 3 μm thick to measure blood oxygenation with high stability. Building on this conformal architecture, recent iterations have enabled the accurate, continuous measurement of blood pressure via pulse wave analysis, incorporating LEDs and photodiodes on a skin electronic substrate, maintaining signal fidelity even during vigorous movement152. Conventional ultra-thin skin electronics, while flexible, are impermeable to gases and fluids, which traps sweat against the skin, leading to contact dermatitis and causing impedance drift as the accumulation of moisture alters the skin-electrode interface. To resolve this, Lee et al.153 introduced a gold-nanomesh electrode structure that forms a porous, conductive network on the skin. This architecture provides excellent gas permeability, allowing natural perspiration and airflow to maintain skin homeostasis. Consequently, nanomesh sensors can record high-fidelity EMG and skin impedance signals for over a week without the signal degradation or inflammation associated with non-breathable films, paving the way for truly long-term, unobtrusive physiological assessment154. Biosensors built on ultra-thin, stretchable, and breathable substrates have become a prominent trend and emerging research direction, offering transformative potential for next-generation wearable and implantable healthcare systems.\nThe growing demand for continuous real-time health monitoring has driven the evolution of wearable biosensor networks. However, traditional battery-powered designs pose significant limitations in terms of longevity, maintenance, and long-term usability. To overcome these constraints, battery-less biosensors powered by ambient energy harvesting have emerged as a transformative solution. Energy harvesting technologies enable biosensors to autonomously convert environmental energy into electrical power, enabling self-sustaining, lightweight, and flexible biosensing platforms that enhance wearability and reduce the need for frequent recharging or battery replacement. Recent advances span a wide range of modalities, including RF energy harvesting, piezoelectric energy harvesting, photovoltaic energy harvesting, and thermoelectric energy harvesting:\nWireless power transfer and energy harvesting from RF devices, such as mobile phones, radios, etc., can be used to power the sensor nodes distributed over the body. The general idea is to capture high-frequency RF signals with a coil and rectify them with an adaptive rectifier to DC, which is then regulated by a low-dropout regulator (LDO) to serve as the power supply voltage. Yan et al.155 harvested a 13.56 MHz signal generated by a controller through near-field fabric inductor coupling. The harvested power is rectified by a high-efficiency adaptive threshold rectifier to a DC power regulated by an LDO to 1.72 V to power the sensor patch, consuming 12 μW power. Li et al.156 achieved 2.2 μW power recovered from −10 dBm electromagnetic wave on the human body, regardless of the electrode placement and size. With 15 cm distance from the transmitter operating at 3 Vpp and 1.2 mW, 53 μW power can be recovered. There are ubiquitous electromagnetic energy sources, for example, smartphones, wireless communication devices, WiFi routers, etc., comparative trade-offs lie in the inverse relationship between range and efficiency. While the near-field coupling allows for controlled power transfer, where power is actively transmitted by an external reader strictly when sensing or data readout is required, the recovered power in these harvesting scenarios is generally low (in μW range) compared to other modalities, and the power transfer efficiency is prone to the coil alignment sensitivity. Furthermore, far-field harvesting suffers from severe path loss, leading to harder harvesting and lower harvested power, making electromagnetic energy harvesting best suited for intermittent, user-initiated interrogation rather than continuous background monitoring.\nThe energy harvesting based on the piezo-electric effect157 operates by generating a potential difference at different ends of a piezo-electric material when pressing it. Currently, a MEMS scale piezoelectric energy harvester (PEH) can generate 244 μW power at 126 Hz at 50 m/s2 acceleration158. Practically, piezoelectric energy harvesting used for intracardiac monitoring is demonstrated to provide 7 V DC voltage with a power of 56 μW at a heartbeat rhythm of 1.52 Hz159. Moreover, the piezoelectric energy harvester can also be used in a respiratory sensor, or a smart skin biosensing platform monitoring body temperature, pressure, etc., providing stable DC voltage >3 V and over 100 μW power160. The piezo-electric energy harvesting offers excellent voltage generation for event-driven sensing (e.g., step counting), the critical limitation of it is intermittent nature. The output of the harvester drops to zero when the user is at rest, so that it cannot reliably support continuous long-period physiological monitoring, for example, during sleep or sedentary periods.\nPhotovoltaic energy harvesting (PVEH) is to harness the energy of light (usually sunlight) to generate electricity. When light hits the harvester (also called a solar cell), the photons are absorbed by the semiconductor, whose electrons are excited and become free to conduct current. The most common material for PVEH is silicon. Due to the low electron mobility, the cell efficiency of silicon PVEH is usually up to 26.7%161 while III-V semiconductors, such as Gallium Arsenide (GaAs), reach 29.1%161. The on-chip PVEH can provide 1 V output to the load, even under varying illumination and load conditions162. Moreover, an autonomous wearable biosensor collecting multimodal physicochemical data, powered by a perovskite solar cell, is demonstrated to continuously work for over 12 h with 2.8 V power provided by the cell and regulated by an LDO163. While PVEH dominates in outdoor scenarios with high efficiency, its performance degrades drastically indoors or in darkness. Therefore, despite its high power density, PVEH requires a backup storage element, such as a supercapacitor, to bridge the gaps during night or indoor use, distinguishing it from the stability of thermoelectric sources.\nThermoelectric energy harvesting leverages the thermoelectric effect to convert a temperature gradient across a material into usable electrical energy. For the wearable biosensors, the body heat can be harvested by connecting the hot side of the thermoelectric generator while the cold side is exposed outside. The performance of the thermoelectric material is usually evaluated by the figure of merit zT given by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$zT=\\frac{\\sigma {S}^{2}T}{\\kappa }$$\\end{document}zT=σS2Tκ164. Among materials suitable for wearables, the most efficient material is GeTe-Sb2Te3, providing a zT as high as 2.7165. Body heat is a stable and constant energy source, ideal for powering low-power electronics. By integrating more thermoelectric couples into the generator, both thermal transport and output power can be significantly enhanced. It is demonstrated that a thermoelectric generator powered solely by body heat can deliver 4.1 mW, enabling real-time multi-parameter health monitoring and wireless data transmission-even when the wearer is at rest166. Thermoelectric energy harvesting offers the most reliable continuous power source for 24/7 biosensor healthcare monitoring, which outperforms piezoelectric or photovoltaic energy harvesting, maintaining the necessary temperature gradient for the harvesting process often requires bulky packaging or heatsinks, leading to wearable devices with larger form-factors.\nThe realization of energy-autonomous Internet-of-Things (IoT) nodes necessitates a trade-off analysis among the energy harvesting techniques, regarding their environmental availability, operation principle, and power density167. Photovoltaic harvesting remains the dominant solution for illuminated environments, offering superior power densities ranging from 10–100 mW/cm2 under outdoor lighting conditions to 10–100 μW/cm2 under indoor artificial light168,169. In light-starved environments with vibrations, the selection between piezo-electric and electromagnetic harvesting is strictly dictated by device volume. Piezoelectric energy harvesting dominates the micro-scale (<1 cm3) with high volumetric power density at 4.5 mW/cm3 by leveraging surface strain on piezoelectric ceramics170, whereas the electromagnetic harvester prevails at the macro-scale with coil inductive coupling171. The near-field coupling achieves high power transfer efficiency but is limited by coil alignment and magnetic decay with distance172, while far-field harvesting suffers from severe path loss, often resulting in negligible ambient power densities (<1 μW/cm2), which are suitable only for trickle-charging ultra-low-power sensors173. The thermoelectric harvester offers a robust operation with maintenance-free longevity. However, practical applications involving low-gradient sources like the human body necessitate bulky heatsinks and packaging to prevent thermal saturation174, a state where the temperature gradient across the active material collapses. Consequently, the wearable thermoelectric harvester yields power densities <44 μW/cm2\n164. Ultimately, the optimization of these systems increasingly points toward hybrid architectures that integrate multiple harvesting techniques to mitigate the stochastic nature of ambient energy sources and ensure reliable power delivery for diverse IoT and healthcare monitoring applications175.\n\n\n### Brain machine interface\nBrain machine interface (BMI) is a system that establishes direct communication between the brain’s electrical activity and external devices, typically to bypass impaired neuromuscular pathways for motor or sensory restoration134. BMI systems rely on the precise detection of bioelectric signals such as EEG, action potential (AP), etc., and their development is intrinsically linked to advancements in bioelectric sensing technologies. Improvements in sensitivity, resolution, and miniaturization have transformed BMIs from simple signal-acquisition platforms into sophisticated systems for smart home control, entertainment, motor function restoration, and the treatment of neurological disorders (e.g., Parkinson’s, epilepsy, paralysis)135.\nA critical BMI application is closed-loop sensorimotor control, where the system decodes motor cortex signals to drive an external actuator (such as a robotic limb, neuro-prosthetics, or wheelchair) while simultaneously encoding sensor data from the device into electrical stimulation patterns delivered back to the sensory cortex. This closed-loop architecture is fundamental to achieving precise manipulation of the external actuator, enabling the execution of complex motor tasks that are otherwise precluded by the user’s compromised neuromuscular system.\nThe fidelity of this sensorimotor control is strictly governed by the signal acquisition method. While non-invasive approaches like scalp-mounted EEG or near-infrared spectroscopy (NIRS) prioritize safety and convenience rate136, successfully demonstrating universal classification for steering electric wheelchairs at 94.5% accuracy137. However, they often lack the spatial resolution required for intricate motor control described above. Consequently, to achieve the high dexterity needed for advanced neuroprosthetics, invasive methods involving implanted electrodes are employed to capture high-resolution bioelectric signals, such as ECoG and AP, directly from neural cells138. However, acquiring these invasive signals presents its own set of challenges, primarily due to the inherent weakness of neural activity amidst significant biological noise (Fig. 2b). Despite these obstacles, recent breakthroughs in biosensing interfaces have enabled remarkable advancements in neural decoding fidelity. For instance, researchers have successfully decoded nerve interface signals to drive real-time prosthetic movements with up to 98% accuracy139. Pushing the boundaries of decoding further, “mind-writing\" systems can now reconstruct handwriting trajectories from motor cortex activity with 94.1% accuracy online and >99% accuracy offline140. To further expand the scope and resolution of neural monitoring, cutting-edge BMI platforms now integrate over 10,000 electrodes on a thumbnail-sized chip, aiming to “eavesdrop\" on every neuron in contact. Next-generation designs are pushing these limits even further by increasing electrode density and reducing device size, paving the way for more comprehensive and precise brain-machine interfacing141.\n\n\n### Body channel communication\nDriven by the growing demand and rapid progress in biosensor-enabled healthcare research, IoB systems are evolving toward ultra-low power, miniaturization, low cost, high reliability, low latency, strong security, and user comfort142. Currently, the interconnection of IoB devices relies on RF communication, with Bluetooth operating in the 2.4 GHz ISM band. While this enables low-latency, secure IoB node communication, it faces several limitations: (i) Significant path loss and shadow fading at 2.4 GHz; (ii) Increased risk of eavesdropping, requiring energy-intensive encryption; (iii) Omnidirectional signals, causing inefficient power usage; (iv) Power-hungry power amplifiers; (v) Operation in congested unlicensed bands, leading to interference and reduced efficiency. These factors collectively reduce the energy efficiency of RF-based IoB systems.\nTo address these challenges, human body communication (HBC) was proposed by T. Zimmerman in 1996143, leveraging the human body as the transmission channel. By coupling signals through the body with minimal energy leakage into the surrounding environment, HBC achieves substantially lower power consumption than conventional RF-based systems, offering up to two orders of magnitude better energy efficiency144. In addition to energy savings, HBC inherently enhances security by reducing reliance on computationally intensive encryption schemes. Consequently, HBC has emerged as a compelling alternative to RF for interconnecting Internet of Bio-Nano Things (IoB) nodes145. Recent advancements have enabled the development of HBC transceiver ASICs with ultra-low power consumption, achieving energy efficiency as low as 6.3 pJ/b, which is up to 100 times better than RF-based techniques (in the magnitude of nJ/b)144. Besides ASIC design, numerous prototypes have demonstrated the feasibility of HBC-based healthcare monitoring systems. These systems typically consist of one sensor node, which acquires and processes the bioelectric signal before transmitting it through the body, and a hub node that demodulates and decodes data. Maity et al.146 presented an HBC-based pulse monitoring system using TM4C123G evaluation boards, where the transmitter sends the analog-to-digital converted pulse signal through the general-purpose input and output (GPIO) ports, and the Rx demodulates the signal through integrating and sampling. The complete end-to-end implementation of this HBC-based pulse monitoring system achieves an 8.2× improvement in energy efficiency over the RF wireless system at a data rate of 500 kbps. Additionally, similar demonstrations have been reported for ECG and blood pressure monitoring147,148. Looking ahead, besides systems with a single biosensor node, HBC offers great potential for multi-parameter health monitoring by interconnecting multiple biosensor nodes distributed over the human body. In such systems, multiple body-worn sensor nodes transmit data using frequency-division multiplexing to the receiver as a hub, as shown in Fig. 5b. At the receiver side, channel filters separate and process the signals, which are then demodulated and processed. This architecture could enable ultra-low-power, multi-parameter wearable healthcare platforms, paving the way for transformative improvements in daily health monitoring and personalized care.Fig. 5Potential areas relevant to or inspiring the development of biosensors.a Illustration of brain machine interface (BMI) enabled by biosensors for smart control, neuro-restoration, neuroprosthesis, and smart home. The system processes EEG/ECoG signals and communicates with external actuators to enable interaction. b Human body communication is used to interconnect the biosensors distributed over the human body. Multiple biosensors are interconnected through the human body, and the data is sent to a receiver hub, forming a distributed internet of bodies (IoB) network. c Evolution of electronics. The radar chart on the right presents a comprehensive performance evaluation of three types of electronics, with larger points indicating better performance. Biosensors based on flexible, and ultra-thin substrates for better contact with the skin and better skin breathability, reduced motion artifacts, and wearability. d Power harvesting to power biosensors and enable battery-less operations. Energy can be harvested from in, on, or around the human body using technologies such as solar cells, triboelectric generators, and piezoelectric materials.\na Illustration of brain machine interface (BMI) enabled by biosensors for smart control, neuro-restoration, neuroprosthesis, and smart home. The system processes EEG/ECoG signals and communicates with external actuators to enable interaction. b Human body communication is used to interconnect the biosensors distributed over the human body. Multiple biosensors are interconnected through the human body, and the data is sent to a receiver hub, forming a distributed internet of bodies (IoB) network. c Evolution of electronics. The radar chart on the right presents a comprehensive performance evaluation of three types of electronics, with larger points indicating better performance. Biosensors based on flexible, and ultra-thin substrates for better contact with the skin and better skin breathability, reduced motion artifacts, and wearability. d Power harvesting to power biosensors and enable battery-less operations. Energy can be harvested from in, on, or around the human body using technologies such as solar cells, triboelectric generators, and piezoelectric materials.\n\n\n### Flexible and ultra-thin electronics\nTraditional healthcare biosensors are typically fabricated on rigid substrates, most commonly FR4 fiberglass, with electrode thicknesses of several hundred micrometers. Such rigidity and thickness create air gaps that increase contact impedance and introduce severe motion artifacts during physical activity149, as illustrated in Fig. 5c. To overcome these limitations, recent research has shifted towards ultra-thin, stretchable, and breathable skin electronics. These biosensors, fabricated on flexible substrates only a few micrometers thick, offer several advantages: (i) Excellent biocompatibility with minimal skin irritation, supporting long-term wear. For instance, nanomesh-based devices allow the skin to breathe naturally150; (ii) Superior stretchability, enabling seamless integration with skin contours and accommodating body movement, reducing motion artifacts and improving signal quality; (iii) Enhanced wearability, with minimal tactile interference or user discomfort.\nRecent breakthroughs in fabrication have enabled high-performance biosensors based on skin-electronic substrates, with potential for widespread clinical and consumer adoption. In the realm of optical biosensing, maintaining a stable optical path during body movement is the primary challenge. Slight detachments between the sensor and skin cause significant fluctuations in light scattering, degrading the SNR. Addressing this, Yokota et al.151 pioneered the development of ultra-flexible optoelectronic skins. In their foundational work, they integrated polymer light-emitting diodes (PLEDs) and organic photodiodes (OPDs) on skin electronic substrates less than 3 μm thick to measure blood oxygenation with high stability. Building on this conformal architecture, recent iterations have enabled the accurate, continuous measurement of blood pressure via pulse wave analysis, incorporating LEDs and photodiodes on a skin electronic substrate, maintaining signal fidelity even during vigorous movement152. Conventional ultra-thin skin electronics, while flexible, are impermeable to gases and fluids, which traps sweat against the skin, leading to contact dermatitis and causing impedance drift as the accumulation of moisture alters the skin-electrode interface. To resolve this, Lee et al.153 introduced a gold-nanomesh electrode structure that forms a porous, conductive network on the skin. This architecture provides excellent gas permeability, allowing natural perspiration and airflow to maintain skin homeostasis. Consequently, nanomesh sensors can record high-fidelity EMG and skin impedance signals for over a week without the signal degradation or inflammation associated with non-breathable films, paving the way for truly long-term, unobtrusive physiological assessment154. Biosensors built on ultra-thin, stretchable, and breathable substrates have become a prominent trend and emerging research direction, offering transformative potential for next-generation wearable and implantable healthcare systems.\n\n\n### Battery-less biosensor\nThe growing demand for continuous real-time health monitoring has driven the evolution of wearable biosensor networks. However, traditional battery-powered designs pose significant limitations in terms of longevity, maintenance, and long-term usability. To overcome these constraints, battery-less biosensors powered by ambient energy harvesting have emerged as a transformative solution. Energy harvesting technologies enable biosensors to autonomously convert environmental energy into electrical power, enabling self-sustaining, lightweight, and flexible biosensing platforms that enhance wearability and reduce the need for frequent recharging or battery replacement. Recent advances span a wide range of modalities, including RF energy harvesting, piezoelectric energy harvesting, photovoltaic energy harvesting, and thermoelectric energy harvesting:\nWireless power transfer and energy harvesting from RF devices, such as mobile phones, radios, etc., can be used to power the sensor nodes distributed over the body. The general idea is to capture high-frequency RF signals with a coil and rectify them with an adaptive rectifier to DC, which is then regulated by a low-dropout regulator (LDO) to serve as the power supply voltage. Yan et al.155 harvested a 13.56 MHz signal generated by a controller through near-field fabric inductor coupling. The harvested power is rectified by a high-efficiency adaptive threshold rectifier to a DC power regulated by an LDO to 1.72 V to power the sensor patch, consuming 12 μW power. Li et al.156 achieved 2.2 μW power recovered from −10 dBm electromagnetic wave on the human body, regardless of the electrode placement and size. With 15 cm distance from the transmitter operating at 3 Vpp and 1.2 mW, 53 μW power can be recovered. There are ubiquitous electromagnetic energy sources, for example, smartphones, wireless communication devices, WiFi routers, etc., comparative trade-offs lie in the inverse relationship between range and efficiency. While the near-field coupling allows for controlled power transfer, where power is actively transmitted by an external reader strictly when sensing or data readout is required, the recovered power in these harvesting scenarios is generally low (in μW range) compared to other modalities, and the power transfer efficiency is prone to the coil alignment sensitivity. Furthermore, far-field harvesting suffers from severe path loss, leading to harder harvesting and lower harvested power, making electromagnetic energy harvesting best suited for intermittent, user-initiated interrogation rather than continuous background monitoring.\nThe energy harvesting based on the piezo-electric effect157 operates by generating a potential difference at different ends of a piezo-electric material when pressing it. Currently, a MEMS scale piezoelectric energy harvester (PEH) can generate 244 μW power at 126 Hz at 50 m/s2 acceleration158. Practically, piezoelectric energy harvesting used for intracardiac monitoring is demonstrated to provide 7 V DC voltage with a power of 56 μW at a heartbeat rhythm of 1.52 Hz159. Moreover, the piezoelectric energy harvester can also be used in a respiratory sensor, or a smart skin biosensing platform monitoring body temperature, pressure, etc., providing stable DC voltage >3 V and over 100 μW power160. The piezo-electric energy harvesting offers excellent voltage generation for event-driven sensing (e.g., step counting), the critical limitation of it is intermittent nature. The output of the harvester drops to zero when the user is at rest, so that it cannot reliably support continuous long-period physiological monitoring, for example, during sleep or sedentary periods.\nPhotovoltaic energy harvesting (PVEH) is to harness the energy of light (usually sunlight) to generate electricity. When light hits the harvester (also called a solar cell), the photons are absorbed by the semiconductor, whose electrons are excited and become free to conduct current. The most common material for PVEH is silicon. Due to the low electron mobility, the cell efficiency of silicon PVEH is usually up to 26.7%161 while III-V semiconductors, such as Gallium Arsenide (GaAs), reach 29.1%161. The on-chip PVEH can provide 1 V output to the load, even under varying illumination and load conditions162. Moreover, an autonomous wearable biosensor collecting multimodal physicochemical data, powered by a perovskite solar cell, is demonstrated to continuously work for over 12 h with 2.8 V power provided by the cell and regulated by an LDO163. While PVEH dominates in outdoor scenarios with high efficiency, its performance degrades drastically indoors or in darkness. Therefore, despite its high power density, PVEH requires a backup storage element, such as a supercapacitor, to bridge the gaps during night or indoor use, distinguishing it from the stability of thermoelectric sources.\nThermoelectric energy harvesting leverages the thermoelectric effect to convert a temperature gradient across a material into usable electrical energy. For the wearable biosensors, the body heat can be harvested by connecting the hot side of the thermoelectric generator while the cold side is exposed outside. The performance of the thermoelectric material is usually evaluated by the figure of merit zT given by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$zT=\\frac{\\sigma {S}^{2}T}{\\kappa }$$\\end{document}zT=σS2Tκ164. Among materials suitable for wearables, the most efficient material is GeTe-Sb2Te3, providing a zT as high as 2.7165. Body heat is a stable and constant energy source, ideal for powering low-power electronics. By integrating more thermoelectric couples into the generator, both thermal transport and output power can be significantly enhanced. It is demonstrated that a thermoelectric generator powered solely by body heat can deliver 4.1 mW, enabling real-time multi-parameter health monitoring and wireless data transmission-even when the wearer is at rest166. Thermoelectric energy harvesting offers the most reliable continuous power source for 24/7 biosensor healthcare monitoring, which outperforms piezoelectric or photovoltaic energy harvesting, maintaining the necessary temperature gradient for the harvesting process often requires bulky packaging or heatsinks, leading to wearable devices with larger form-factors.\nThe realization of energy-autonomous Internet-of-Things (IoT) nodes necessitates a trade-off analysis among the energy harvesting techniques, regarding their environmental availability, operation principle, and power density167. Photovoltaic harvesting remains the dominant solution for illuminated environments, offering superior power densities ranging from 10–100 mW/cm2 under outdoor lighting conditions to 10–100 μW/cm2 under indoor artificial light168,169. In light-starved environments with vibrations, the selection between piezo-electric and electromagnetic harvesting is strictly dictated by device volume. Piezoelectric energy harvesting dominates the micro-scale (<1 cm3) with high volumetric power density at 4.5 mW/cm3 by leveraging surface strain on piezoelectric ceramics170, whereas the electromagnetic harvester prevails at the macro-scale with coil inductive coupling171. The near-field coupling achieves high power transfer efficiency but is limited by coil alignment and magnetic decay with distance172, while far-field harvesting suffers from severe path loss, often resulting in negligible ambient power densities (<1 μW/cm2), which are suitable only for trickle-charging ultra-low-power sensors173. The thermoelectric harvester offers a robust operation with maintenance-free longevity. However, practical applications involving low-gradient sources like the human body necessitate bulky heatsinks and packaging to prevent thermal saturation174, a state where the temperature gradient across the active material collapses. Consequently, the wearable thermoelectric harvester yields power densities <44 μW/cm2\n164. Ultimately, the optimization of these systems increasingly points toward hybrid architectures that integrate multiple harvesting techniques to mitigate the stochastic nature of ambient energy sources and ensure reliable power delivery for diverse IoT and healthcare monitoring applications175.\n\n\n### Electromagnetic energy harvesting\nWireless power transfer and energy harvesting from RF devices, such as mobile phones, radios, etc., can be used to power the sensor nodes distributed over the body. The general idea is to capture high-frequency RF signals with a coil and rectify them with an adaptive rectifier to DC, which is then regulated by a low-dropout regulator (LDO) to serve as the power supply voltage. Yan et al.155 harvested a 13.56 MHz signal generated by a controller through near-field fabric inductor coupling. The harvested power is rectified by a high-efficiency adaptive threshold rectifier to a DC power regulated by an LDO to 1.72 V to power the sensor patch, consuming 12 μW power. Li et al.156 achieved 2.2 μW power recovered from −10 dBm electromagnetic wave on the human body, regardless of the electrode placement and size. With 15 cm distance from the transmitter operating at 3 Vpp and 1.2 mW, 53 μW power can be recovered. There are ubiquitous electromagnetic energy sources, for example, smartphones, wireless communication devices, WiFi routers, etc., comparative trade-offs lie in the inverse relationship between range and efficiency. While the near-field coupling allows for controlled power transfer, where power is actively transmitted by an external reader strictly when sensing or data readout is required, the recovered power in these harvesting scenarios is generally low (in μW range) compared to other modalities, and the power transfer efficiency is prone to the coil alignment sensitivity. Furthermore, far-field harvesting suffers from severe path loss, leading to harder harvesting and lower harvested power, making electromagnetic energy harvesting best suited for intermittent, user-initiated interrogation rather than continuous background monitoring.\n\n\n### Piezoelectric energy harvesting\nThe energy harvesting based on the piezo-electric effect157 operates by generating a potential difference at different ends of a piezo-electric material when pressing it. Currently, a MEMS scale piezoelectric energy harvester (PEH) can generate 244 μW power at 126 Hz at 50 m/s2 acceleration158. Practically, piezoelectric energy harvesting used for intracardiac monitoring is demonstrated to provide 7 V DC voltage with a power of 56 μW at a heartbeat rhythm of 1.52 Hz159. Moreover, the piezoelectric energy harvester can also be used in a respiratory sensor, or a smart skin biosensing platform monitoring body temperature, pressure, etc., providing stable DC voltage >3 V and over 100 μW power160. The piezo-electric energy harvesting offers excellent voltage generation for event-driven sensing (e.g., step counting), the critical limitation of it is intermittent nature. The output of the harvester drops to zero when the user is at rest, so that it cannot reliably support continuous long-period physiological monitoring, for example, during sleep or sedentary periods.\n\n\n### Photovoltaic energy harvesting\nPhotovoltaic energy harvesting (PVEH) is to harness the energy of light (usually sunlight) to generate electricity. When light hits the harvester (also called a solar cell), the photons are absorbed by the semiconductor, whose electrons are excited and become free to conduct current. The most common material for PVEH is silicon. Due to the low electron mobility, the cell efficiency of silicon PVEH is usually up to 26.7%161 while III-V semiconductors, such as Gallium Arsenide (GaAs), reach 29.1%161. The on-chip PVEH can provide 1 V output to the load, even under varying illumination and load conditions162. Moreover, an autonomous wearable biosensor collecting multimodal physicochemical data, powered by a perovskite solar cell, is demonstrated to continuously work for over 12 h with 2.8 V power provided by the cell and regulated by an LDO163. While PVEH dominates in outdoor scenarios with high efficiency, its performance degrades drastically indoors or in darkness. Therefore, despite its high power density, PVEH requires a backup storage element, such as a supercapacitor, to bridge the gaps during night or indoor use, distinguishing it from the stability of thermoelectric sources.\n\n\n### Thermoelectric energy harvesting\nThermoelectric energy harvesting leverages the thermoelectric effect to convert a temperature gradient across a material into usable electrical energy. For the wearable biosensors, the body heat can be harvested by connecting the hot side of the thermoelectric generator while the cold side is exposed outside. The performance of the thermoelectric material is usually evaluated by the figure of merit zT given by \\documentclass[12pt]{minimal}\n\t\t\t\t\\usepackage{amsmath}\n\t\t\t\t\\usepackage{wasysym} \n\t\t\t\t\\usepackage{amsfonts} \n\t\t\t\t\\usepackage{amssymb} \n\t\t\t\t\\usepackage{amsbsy}\n\t\t\t\t\\usepackage{mathrsfs}\n\t\t\t\t\\usepackage{upgreek}\n\t\t\t\t\\setlength{\\oddsidemargin}{-69pt}\n\t\t\t\t\\begin{document}$$zT=\\frac{\\sigma {S}^{2}T}{\\kappa }$$\\end{document}zT=σS2Tκ164. Among materials suitable for wearables, the most efficient material is GeTe-Sb2Te3, providing a zT as high as 2.7165. Body heat is a stable and constant energy source, ideal for powering low-power electronics. By integrating more thermoelectric couples into the generator, both thermal transport and output power can be significantly enhanced. It is demonstrated that a thermoelectric generator powered solely by body heat can deliver 4.1 mW, enabling real-time multi-parameter health monitoring and wireless data transmission-even when the wearer is at rest166. Thermoelectric energy harvesting offers the most reliable continuous power source for 24/7 biosensor healthcare monitoring, which outperforms piezoelectric or photovoltaic energy harvesting, maintaining the necessary temperature gradient for the harvesting process often requires bulky packaging or heatsinks, leading to wearable devices with larger form-factors.\n\n\n### Comparative analysis\nThe realization of energy-autonomous Internet-of-Things (IoT) nodes necessitates a trade-off analysis among the energy harvesting techniques, regarding their environmental availability, operation principle, and power density167. Photovoltaic harvesting remains the dominant solution for illuminated environments, offering superior power densities ranging from 10–100 mW/cm2 under outdoor lighting conditions to 10–100 μW/cm2 under indoor artificial light168,169. In light-starved environments with vibrations, the selection between piezo-electric and electromagnetic harvesting is strictly dictated by device volume. Piezoelectric energy harvesting dominates the micro-scale (<1 cm3) with high volumetric power density at 4.5 mW/cm3 by leveraging surface strain on piezoelectric ceramics170, whereas the electromagnetic harvester prevails at the macro-scale with coil inductive coupling171. The near-field coupling achieves high power transfer efficiency but is limited by coil alignment and magnetic decay with distance172, while far-field harvesting suffers from severe path loss, often resulting in negligible ambient power densities (<1 μW/cm2), which are suitable only for trickle-charging ultra-low-power sensors173. The thermoelectric harvester offers a robust operation with maintenance-free longevity. However, practical applications involving low-gradient sources like the human body necessitate bulky heatsinks and packaging to prevent thermal saturation174, a state where the temperature gradient across the active material collapses. Consequently, the wearable thermoelectric harvester yields power densities <44 μW/cm2\n164. Ultimately, the optimization of these systems increasingly points toward hybrid architectures that integrate multiple harvesting techniques to mitigate the stochastic nature of ambient energy sources and ensure reliable power delivery for diverse IoT and healthcare monitoring applications175.\n\n\n### Supplementary information\nSupplementary Information\nSupplementary Information", "domain": "affective_neuroscience"}
{"source": "PMC13051013", "title": "The state of modelling face processing in humans with deep learning", "text": "# The state of modelling face processing in humans with deep learning\n\n## Abstract\nDeep learning models trained for facial recognition now surpass the highest performing human participants. Recent evidence suggests that they also model some qualitative aspects of face processing in humans. This review compares the current understanding of deep learning models with psychological models of the face processing system. Psychological models consist of two components that operate on the information encoded when people perceive a face, which we refer to here as ‘face codes’. The first component, the core system, extracts face codes from retinal input that encode invariant and changeable properties. The second component, the extended system, links face codes to personal information about a person and their social context. Studies of face codes in existing deep learning models reveal some surprising results. For example, face codes in networks designed for identity recognition also encode expression information, which contrasts with psychological models that separate invariant and changeable properties. Deep learning can also be used to implement candidate models of the face processing system, for example to compare alternative cognitive architectures and codes that might support interchange between core and extended face processing systems. We conclude by summarizing seven key lessons from this research and outlining three open questions for future study.\n\n## Full Text\n\n\n### BACKGROUND\nWe instantly recognize the faces of friends and family, and we read subtle facial cues to understand their mood, intentions and health. These face processing abilities fuel our everyday social interactions. Until recently, people's capacity to perform them was unparalleled. However, the emergence of deep learning‐based technology over the past decade means that artificial systems can now surpass human abilities on certain face recognition tasks. For example, benchmark tests of face identity matching since 2018 have found that Deep Convolutional Neural Networks (DCNNs) achieve accuracy comparable to the best humans–super‐recognizers and forensic facial examiners (Phillips et al., 2018; Towler et al., 2023).\nHere, we review an emerging body of research that examines the potential of deep learning neural network approaches to model qualitative aspects of the face processing system in humans. Deep learning refers to a family of related neural network architectures including DCNNs (see LeCun et al., 2015 for a review), generative adversarial networks (GANs, e.g. Karras et al., 2019), transformers (e.g. Liu et al., 2021; Wang et al., 2021) and Contrastive Language‐Image Pre‐training (CLIP) (Radford et al., 2021). Technological advances in face processing tasks have primarily been driven by DCNNs (Taigman et al., 2014) which share analogous properties to visual processing in the brain and were originally inspired by the hierarchical organization of the visual cortex (Fukushima, 1980). Similar to the transformation of the retinal image from lower to higher vision, raw image data is processed by network layers that progressively encode more abstract properties that are distributed across the raw pixel input. The basic architecture for DCNN‐based face recognition algorithms is described in Figure 1.\nSchematic diagram showing how Deep Convolutional Neural Networks (DCNNs) perform unfamiliar face matching. In this example, two input images propagate through layers of neural nets. Convolutional layers first extract local features from the images (orange layers). This is followed by more holistic pattern representation in fully connected layers, where each neuron in a layer is connected to every other neuron in the subsequent layer (blue layers). The final layer of the fully connected layer is the representation layer, and we refer to output from this layer as a ‘face codes’ (‘face identity codes’ here to emphasize that the code has been optimized through identity recognition training: See main text). Face identity codes are strings of between 512 and 4095 feature values that are used to calculate the similarity of face codes in a multidimensional space, and then perform identity classification on the basis of the similarity measure (far right). The complete stack of convolutional and fully layers is monolithic because the DCNN takes a face image and returns a face code without inputs to, or outputs from, the intermediate layers.\nTraining DCNNs requires researchers to obtain large training sets that contain images representing the natural variations occurring in the ‘real world’, for example in head angle, illumination, expression, subject‐to‐camera distance and population demographics. The DCNN configuration in Figure 1 shows the representation layer generating a face code. The configuration is typically different for training, with a learning module connected to the representation layer to implement the training cost function via backpropagation. Video tutorials of this learning process are now widely available via the internet and so we only provide a brief overview here.\nFacial recognition DCNN models belong to the class of supervised learning methods because they learn from training data that includes identity labels for each face image. Academic algorithms are typically trained with 2 to 10 million face images, with multiple photos per identity – for example the VGGface (Parkhi et al., 2015) training set consists of 2622 people with 1000 images per person. Each image of a person has the same identity tag. Using the identity tag associated with each image, the learning module organizes the face space so that all images of a person generate similar face codes. Consequently, a person's face in the training set is considered familiar to the DCNN. During identification, the input to the DCNN is images of faces not in the training set. For each face image, the DCNN generates a face code; however, the face space is not adapted to these images. As a result, the faces are considered unfamiliar to the DCNN.\nHere, we propose that face codes offer a promising tool for understanding analogous codes underlying the face processing system in humans. DCNN face codes are encoded in vector spaces that are defined by the number of features in the feature layers, and the range of values each feature can have. This is aligned with the psychological framework of ‘face space’ (Valentine, 1991) where faces are represented as points in a multidimensional space defined by abstract features. It is also consistent with modern understanding of neural population coding in the human brain, where individual faces are represented by patterns of activation across a population of neurons (Chang & Tsao, 2017; Freiwald et al., 2016), and other computational implementations of facespace (e.g. eigenfaces (O'Toole et al., 1993)). DCNNs offer an alternative method for deriving these types of vector space that produces highly effective representations of face identity (Hill et al., 2018; O'Toole & Castillo, 2021).\n\n\n### SCOPE OF REVIEW\nThe main aim of our review is to align recent studies of face codes produced by deep learning facial recognition networks with prominent cognitive and neural models of the face processing system in humans. These cognitive (Bruce & Young, 1986; Burton et al., 1990) and neural models (Gobbini & Haxby, 2007; Haxby et al., 2000) are summarized in Figure 2. Although the individual models differ in specific terminology to describe components, they share broad similarities in overall architecture, allowing them to be integrated to consolidate 50 years of psychological, neuroscientific and computational evidence (Calder & Young, 2005; Young, 2018). In short, the core system processes visual information to produce separate face codes of identity and other changeable properties such as expression (Bruce & Young, 1986). The extended network then connects these visual codes to semantic knowledge about people, the context of the encounter and cognitive systems responsible for broader social understanding (Deen et al., 2024; di Visconti Oleggio Castello et al., 2017). The models provide a coarse map of the functional organization of system components responsible for the encoding and transfer of face codes but not the computations involved.\nSchematic diagram adapted from influential cognitive (Bruce & Young, 1986; Young et al., 2020; Young & Bruce, 2011) and neural models (di Visconti Oleggio Castello et al., 2017; Gobbini & Haxby, 2007; Haxby et al., 2000) of face processing system in humans. The core system involves extracting face codes during initial ‘structural encoding’ (orange) that enable bifurcation of face information into separate processing streams for invariant aspects relating to identity (blue box) and dynamic aspects relating to (e.g.) expression and facial speech (yellow box). Both models also propose bi‐directional connections to information in the extended cognitive system (green box), where face information is integrated with information from other modalities and context from broader systems involved in (e.g.) person knowledge, episodic memory, emotion and language processing. The information states of these system components and the mechanisms of their transfer are not specified in the models.\nThe face processing system in Figure 2 connects retinal images to social, semantic and other sensory information about people that have been encountered before. These models primarily address personal familiarity because this type of extended person knowledge is only available for people we know in daily life or celebrities. This is distinct from pure visual familiarity where faces have been encountered without any surrounding context. We borrow the term visual familiarity from psychology research, where it refers to experimental procedures that familiarize participants with faces – typically through repeated viewing of face images or videos – with the goal of comparing processing of visually familiar faces with unfamiliar faces (Natu & O'Toole, 2011). Visual familiarity is less common outside the psychology lab, where we spend the majority of time looking at faces of people we either know (Oruc et al., 2019) or are getting to know.\nPrevious reviews have adopted a focus on identity processing in the core system (i.e. Figure 1, blue box) (O'Toole & Castillo, 2021; van Dyck & Gruber, 2023). These reviews address the core functions of the visual ventral stream more exhaustively than we do here. For instance, their reviews encompass insights from deep learning for functional specialization of face identity processing (van Dyck & Gruber, 2023), neural implementation of face codes, how these are learned through experience, and how they might solve the inverse optics problem (O'Toole & Castillo, 2021). van Dyck and Gruber (van Dyck & Gruber, 2023) provide a detailed survey of the correspondence between neural responses and deep learning face codes, and also address the initial detection of faces in a scene, which we do not cover here.\nHere, we explore the potential for deep learning approaches to help understand the information states of face codes and mechanisms of their transfer from retinal encoding through to the extended system. By considering the extended face processing system, our review broadens the focus from visual familiarity to personal familiarity. Personal familiarity transforms behavioural and neural responses to faces, engaging broad networks of brain areas that enable social behaviour in humans (di Visconti Oleggio Castello et al., 2017, 2021; Gobbini & Haxby, 2007) and other primates (Deen et al., 2023). But how exactly information is linked between core and extended systems is almost entirely unknown (Burton et al., 1990; Deen et al., 2024).\nThe structure of our review is as follows. In the first half of the paper, we review recent research that has begun to examine the information content of deep learning face codes. Initial examinations of face codes generated by deep learning face recognition systems have uncovered some analogous properties with face processing in humans – but also some surprising properties. For example, despite being developed for the narrow engineering goal of identifying unfamiliar faces, deep learning face codes contain information on numerous face attributes – including invariant demographic properties, but also changeable properties such as pose, expression and social inferences. The extent to which invariant and changeable face codes are processed by independent neural pathways and cognitive processing remains an open question (e.g. Calder & Young, 2005; Dobs, Schultz, et al., 2018; Duchaine & Yovel, 2015; Schwartz et al., 2023; Yang & Freiwald, 2021), and so we then consider the significance of these findings for models in Figure 1.\nIn the second half, we reflect on the aspects of face processing in humans that are not captured by current deep learning architectures. Deep learning face recognition has not been engineered to perform the multitude of tasks – in addition to identity processing – that humans perform with faces. Neither does it encode dynamic information distributed over time that people use to spot characteristic expressions, monitor changes in mood or comprehend speech. It does not address how the faces we know are linked to broader knowledge about these people, although we note some very recent work that has begun to close this gap (Shoham et al., 2024). Finally, we conclude by summarizing the current state of modeling face processing in humans with deep learning in seven lessons, and we outline future research directions with three questions.\n\n\n### FACE CODES IN DEEP LEARNING MODELS\nDeep learning architectures that have been used in psychology research are monolithic, feed forward systems that are typically trained to perform discrete face processing tasks. They do not share the multi‐component architecture of the neural face processing system that is outlined in Figure 2 nor its capacity for parallel processing of multiple different facial cues to identity, expression, etc. Nevertheless, a body of recent work has examined whether the face codes derived from deep learning architectures that are trained for facial recognition tasks share properties of the core face processing system in humans.\nDeep learning face codes are vectors in multidimensional space that are optimized to separate face images by identity, akin to face space models in psychology (Valentine, 1991) and their computational implementations (e.g. Kramer et al., 2018; Lewis, 2004; Burton et al., 1999). Unlike these psychological and computational models, deep learning face codes enable high accuracy on functional face recognition tasks, and the information states supporting this capability can be inspected directly. This enables researchers to ask what information the deep learning codes reveal about the faces by interpreting these outputs as a face space in the tradition of existing face space models (Leopold et al., 2001; Valentine, 1991) (see e.g. Hill et al., 2018; O'Toole et al., 2018).\nThe majority of early investigations of face codes in deep learning have examined the face attributes that are encoded in Deep Convolutional Neural Networks (DCNNs), although some recent work has begun to examine alternative networks. When DCNN‐based face recognition algorithms first appeared, it was generally assumed that identity face codes would not contain information immaterial to identification. On the contrary, initial investigations have uncovered many face and image attributes encoded in deep learning face codes.\nParde et al. (2017) showed that face codes from the final layer in two DCNNs preserved information about both illumination and camera sensor type (still photograph or a frame from video). Both these attributes are extrinsic to the face. For both cases, the authors demonstrated their conclusions with a straightforward linear discriminant classifier that estimates each image's illumination angle and camera type. Using a different approach, Hill et al. (2018) showed that face codes contained information on illumination and pose. For this study, the authors examined face identity codes from face images generated by morphable models (Blanz & Vetter, 1999) that systematically varied pose and illumination. This enabled them to visualize how face codes differed with changes to pose and illumination that were experimentally controlled. Their visualization was created using the nonlinear dimension reduction algorithm t‐SNE (van der Maaten & Hinton, 2008), which showed that face codes retained systematic organization of pose and lighting variations. Thus, both of these studies show that information about extrinsic attributes – which are known to hinder face identification accuracy in human participants (e.g. Braje et al., 1998; White et al., 2022) – is retained in DCNN face identity codes.\nOther studies have found that a surprisingly wide range of facial attributes can also be classified from deep learning face codes. Terhörst et al. (2021) trained a classifier to predict the presence of 75 facial attributes from the face codes of three popular deep learning architectures. Despite all these architectures being trained for identity, they found that both stable (e.g. demographics) and changeable attributes (e.g. hairstyle, hair colour, beard and facial accessories) could be easily classified. This extends to social attributes (Keles et al., 2021; Parde et al., 2019). For example, Parde et al. (2019) found that they could train a linear classifier to predict 40% of variance in human judgments of impulsiveness from face identity codes. Expression can also be read from face codes of deep learning architectures that have been trained for face identity processing (Colón et al., 2021; Guo et al., 2023; Schwartz et al., 2023; Zhou et al., 2022), and so changeable attributes across multiple timescales are retained in face identity codes.\nResearchers have also found information about multiple attributes in face codes from alternative networks that have not been explicitly trained for classification – also known as unsupervised learning. Peterson et al. (2022) trained a classifier to predict face attributes from the face codes in a generative adversarial network, StyleGan2 (Karras et al., 2019). This network is trained to generate realistic face images that are confused with real images of faces, but it is not explicitly trained to make any classification such as identity or expression. They trained a linear classifier to predict human judgments from the StyleGan2 face code with high accuracy, including demographics, personal style (e.g. hair colour) and social judgements such as trustworthiness and dominance. Despite StyleGan2 face codes being learned from unsupervised learning that were aimed at generating face images, information about these attributes was nevertheless available in the codes.\nTable 1 summarizes the attributes found in face codes. These attributes are categorized into four groups: demographics, dynamic face properties (for example expression and pose), personal style (such as hats, jewellery, etc.) and extrinsic factors like lighting and sensors. The face codes covered in this section are only based on the representation layer of deep learning models, representing the highest level of abstraction from the original image. These face codes contain a surprising amount of information about multiple face attributes, even in systems that are either trained for identification tasks only or are not trained for any specific classification task.\nSummary of attributes that are encoded in deep learning face codes according to published papers. We have divided the attributes into four types: (i) Demographics that are inherent properties of a face, (ii) dynamic facial properties that vary on the order of seconds or minutes, (iii) personal appearance attributes under the person's control, and (iv) extrinsic attributes that are not properties of the face but nevertheless affect its appearance. The face code type column lists the type of face code studied: An Identity code is only the product of the final fully connected layer of a DCNN (see Section 3.1); All layers refers to results where convolutional and fully connected layers were examined (see Section 3.2); StyleGan2 codes are from the StyleGan2 generative adversarial network designed for producing synthetic faces.\nStudies that have inspected internal network layers have focused exclusively on DCNNs. DCNNs are organized hierarchically, with a series of convolutional layers usually followed by a limited number of fully connected layers. Above we have summarized the face information contained in face identity codes from fully connected layers, but a number of studies have also examined the face information that is contained in internal network layers (see Table 1).\nDhar et al. (2020) studied the information content across all the layers for head angle, gender, age and identity. They found that convolutional layers primarily expressed information for head angle, gender and age, but not identity. The final fully connected layer expressed identity and age information, but information was reduced for head angle and gender. Similar results have been reported by Guo et al. (2023), who compared DCNN activation for all the layers of three DCNNs with human face attribute category ratings. They also found that gender, age, ethnicity and head orientation were expressed mostly in convolutional network layers and that only traces of information about these attributes were found in fully connected layers.\nThese findings bear some cursory correspondence with the sequential expression of face information as it flows through the neural face processing system. For example, time course analysis of neural activation shows that head angle and gender are expressed earlier than identity information (Dobs et al., 2019). There is also some evidence from fMRI studies that face codes in final layers of a deep learning network are more correlated with higher‐level brain regions associated with face identity processing (Fusiform Face Area) than with areas involved in initial structural encoding of faces (Occipital Face Area) or expression processing (STS) (Tsantani et al., 2021).\nThis may reflect increasing face processing specialization of information codes in higher levels of the face processing network and deep learning networks. Face attributes are not clearly expressed in networks trained for generic non‐face object classification, suggesting that specialized face codes are necessary for optimal processing of face identity (Naphtali et al., 2021), expression (Zhou et al., 2022) and social judgements (Keles et al., 2021). When deep learning architectures are trained to perform both object and face recognition tasks, they naturally partition into assemblies of single units that are specialized for either the task of object or face recognition. Like object processing in the human dorsal stream, increasing functional specialization of these assemblies is observed moving from lower‐level to higher‐level network layers (Dobs et al., 2022).\nHowever, there is some contradictory evidence that does not support a simple mapping between layerwise progression in deep learning architectures and the hierarchy of the neural face processing network. For example, two papers using different neural response measures report that DCNN‐human correlations are predominantly found for intermediate (convolutional) DCNN layers and that this is true across regions associated with lower and higher stage functions in the face processing brain network (intracranial measurement: (Grossman et al., 2019); fMRI: (Guo et al., 2023)). So, while DNNs and brain systems share some degree of hierarchical organization, and there are some similarities in the information expressed at different levels – evidence for direct correspondence between processing stages is mixed (see (van Dyck & Gruber, 2023) for a review).\nIn summary, deep learning architectures do not yet provide overall models of the face processing system in humans, but they do display some analogous properties. Moreover, the amount of information about a face that can be read from face identity codes is surprising given that they were engineered exclusively for applications that identified faces which were not in the training sets (i.e. unfamiliar faces). In the next section, we will reflect on the implications of this result for psychological and neural models of the face processing system in humans.\n\n\n### What information is available in deep learning face identity codes?\nThe majority of early investigations of face codes in deep learning have examined the face attributes that are encoded in Deep Convolutional Neural Networks (DCNNs), although some recent work has begun to examine alternative networks. When DCNN‐based face recognition algorithms first appeared, it was generally assumed that identity face codes would not contain information immaterial to identification. On the contrary, initial investigations have uncovered many face and image attributes encoded in deep learning face codes.\nParde et al. (2017) showed that face codes from the final layer in two DCNNs preserved information about both illumination and camera sensor type (still photograph or a frame from video). Both these attributes are extrinsic to the face. For both cases, the authors demonstrated their conclusions with a straightforward linear discriminant classifier that estimates each image's illumination angle and camera type. Using a different approach, Hill et al. (2018) showed that face codes contained information on illumination and pose. For this study, the authors examined face identity codes from face images generated by morphable models (Blanz & Vetter, 1999) that systematically varied pose and illumination. This enabled them to visualize how face codes differed with changes to pose and illumination that were experimentally controlled. Their visualization was created using the nonlinear dimension reduction algorithm t‐SNE (van der Maaten & Hinton, 2008), which showed that face codes retained systematic organization of pose and lighting variations. Thus, both of these studies show that information about extrinsic attributes – which are known to hinder face identification accuracy in human participants (e.g. Braje et al., 1998; White et al., 2022) – is retained in DCNN face identity codes.\nOther studies have found that a surprisingly wide range of facial attributes can also be classified from deep learning face codes. Terhörst et al. (2021) trained a classifier to predict the presence of 75 facial attributes from the face codes of three popular deep learning architectures. Despite all these architectures being trained for identity, they found that both stable (e.g. demographics) and changeable attributes (e.g. hairstyle, hair colour, beard and facial accessories) could be easily classified. This extends to social attributes (Keles et al., 2021; Parde et al., 2019). For example, Parde et al. (2019) found that they could train a linear classifier to predict 40% of variance in human judgments of impulsiveness from face identity codes. Expression can also be read from face codes of deep learning architectures that have been trained for face identity processing (Colón et al., 2021; Guo et al., 2023; Schwartz et al., 2023; Zhou et al., 2022), and so changeable attributes across multiple timescales are retained in face identity codes.\nResearchers have also found information about multiple attributes in face codes from alternative networks that have not been explicitly trained for classification – also known as unsupervised learning. Peterson et al. (2022) trained a classifier to predict face attributes from the face codes in a generative adversarial network, StyleGan2 (Karras et al., 2019). This network is trained to generate realistic face images that are confused with real images of faces, but it is not explicitly trained to make any classification such as identity or expression. They trained a linear classifier to predict human judgments from the StyleGan2 face code with high accuracy, including demographics, personal style (e.g. hair colour) and social judgements such as trustworthiness and dominance. Despite StyleGan2 face codes being learned from unsupervised learning that were aimed at generating face images, information about these attributes was nevertheless available in the codes.\nTable 1 summarizes the attributes found in face codes. These attributes are categorized into four groups: demographics, dynamic face properties (for example expression and pose), personal style (such as hats, jewellery, etc.) and extrinsic factors like lighting and sensors. The face codes covered in this section are only based on the representation layer of deep learning models, representing the highest level of abstraction from the original image. These face codes contain a surprising amount of information about multiple face attributes, even in systems that are either trained for identification tasks only or are not trained for any specific classification task.\nSummary of attributes that are encoded in deep learning face codes according to published papers. We have divided the attributes into four types: (i) Demographics that are inherent properties of a face, (ii) dynamic facial properties that vary on the order of seconds or minutes, (iii) personal appearance attributes under the person's control, and (iv) extrinsic attributes that are not properties of the face but nevertheless affect its appearance. The face code type column lists the type of face code studied: An Identity code is only the product of the final fully connected layer of a DCNN (see Section 3.1); All layers refers to results where convolutional and fully connected layers were examined (see Section 3.2); StyleGan2 codes are from the StyleGan2 generative adversarial network designed for producing synthetic faces.\n\n\n### What information is available in internal deep learning network layers?\nStudies that have inspected internal network layers have focused exclusively on DCNNs. DCNNs are organized hierarchically, with a series of convolutional layers usually followed by a limited number of fully connected layers. Above we have summarized the face information contained in face identity codes from fully connected layers, but a number of studies have also examined the face information that is contained in internal network layers (see Table 1).\nDhar et al. (2020) studied the information content across all the layers for head angle, gender, age and identity. They found that convolutional layers primarily expressed information for head angle, gender and age, but not identity. The final fully connected layer expressed identity and age information, but information was reduced for head angle and gender. Similar results have been reported by Guo et al. (2023), who compared DCNN activation for all the layers of three DCNNs with human face attribute category ratings. They also found that gender, age, ethnicity and head orientation were expressed mostly in convolutional network layers and that only traces of information about these attributes were found in fully connected layers.\nThese findings bear some cursory correspondence with the sequential expression of face information as it flows through the neural face processing system. For example, time course analysis of neural activation shows that head angle and gender are expressed earlier than identity information (Dobs et al., 2019). There is also some evidence from fMRI studies that face codes in final layers of a deep learning network are more correlated with higher‐level brain regions associated with face identity processing (Fusiform Face Area) than with areas involved in initial structural encoding of faces (Occipital Face Area) or expression processing (STS) (Tsantani et al., 2021).\nThis may reflect increasing face processing specialization of information codes in higher levels of the face processing network and deep learning networks. Face attributes are not clearly expressed in networks trained for generic non‐face object classification, suggesting that specialized face codes are necessary for optimal processing of face identity (Naphtali et al., 2021), expression (Zhou et al., 2022) and social judgements (Keles et al., 2021). When deep learning architectures are trained to perform both object and face recognition tasks, they naturally partition into assemblies of single units that are specialized for either the task of object or face recognition. Like object processing in the human dorsal stream, increasing functional specialization of these assemblies is observed moving from lower‐level to higher‐level network layers (Dobs et al., 2022).\nHowever, there is some contradictory evidence that does not support a simple mapping between layerwise progression in deep learning architectures and the hierarchy of the neural face processing network. For example, two papers using different neural response measures report that DCNN‐human correlations are predominantly found for intermediate (convolutional) DCNN layers and that this is true across regions associated with lower and higher stage functions in the face processing brain network (intracranial measurement: (Grossman et al., 2019); fMRI: (Guo et al., 2023)). So, while DNNs and brain systems share some degree of hierarchical organization, and there are some similarities in the information expressed at different levels – evidence for direct correspondence between processing stages is mixed (see (van Dyck & Gruber, 2023) for a review).\nIn summary, deep learning architectures do not yet provide overall models of the face processing system in humans, but they do display some analogous properties. Moreover, the amount of information about a face that can be read from face identity codes is surprising given that they were engineered exclusively for applications that identified faces which were not in the training sets (i.e. unfamiliar faces). In the next section, we will reflect on the implications of this result for psychological and neural models of the face processing system in humans.\n\n\n### WHY DEEP LEARNING FACE CODES CHALLENGE COGNITIVE AND NEURAL MODELS\nOver the last 40 years, researchers in psychology and neuroscience have developed models of the face processing system in humans, illustrated in Figure 2. The goal of this work has been to map the architecture of the face processing system by synthesizing neural (di Visconti Oleggio Castello et al., 2017; Gobbini & Haxby, 2007; Haxby et al., 2000), neuropsychological and cognitive evidence (Bruce & Young, 1986). The Bruce and Young (Bruce & Young, 1986) model was based on cognitive lab‐based experiments, diary studies of everyday face recognition errors and case studies of brain damaged patients. The neural models by Haxby, Gobbini and colleagues propose an organization of the system of brain regions supporting familiar face perception that were primarily based on human functional brain imaging studies and single cell recording in monkeys. Computational modelling has complemented these functional models, for example by presenting hypotheses of how the components inter‐operate (Burton et al., 1990) and the computations involved in component processes (e.g. Burton et al., 2005, 2016).\nIn cognitive and neural models, the core face processing system consists of three tasks. First, finding faces and generating fundamental face codes (‘Structural encoding’ (Bruce & Young, 1986) or ‘Early perception of facial features’ (Haxby et al., 2000)). Second, using face codes tuned to invariant properties to support identity processing (Figure 2, blue box). Third, using face codes that carry changeable properties to support analysis of dynamic facial cues such as expression (Figure 2, yellow box).\nTwo main sources of evidence in Table 1 suggest that a strict bifurcation of face codes for invariant and changeable properties is not an emergent property of deep learning face recognition. First, low‐level properties of face images are retained in face codes, for example lighting, camera type and stylistic elements of facial appearance. The fact that image‐specific information is retained argues against an abstractive code for identity that discards ‘view‐centred’ information about the image (see also (O'Toole & Castillo, 2021)). Second, deep learning face identity codes contain enough information for both expression analysis and recognition.\nPrevious work has shown that while sources of expression and identity information are separable from one another to some extent, they are not entirely independent (Calder et al., 2001; Calder & Young, 2005; Young, 2018). However, Calder and Young's (2005) analysis was based on a PCA‐model which was not designed to recognize either face identity or face expression. Research on deep learning face codes advances this work by showing expression is retained despite being optimized for a narrow face identity processing task. Indeed, Schwartz et al. (2023) show that the reverse is also true, with both expression and identity trained networks transferring to above‐chance accuracy on the opposite classification task.\nThe presence of expression information in face identity codes does not rule out the possibility of bifurcated codes within the network. For example, it is possible that distinct assemblies of neurons could be coding for expression and identity information. This type of organization has been shown to emerge when DCNNs are trained to perform both object processing and face processing tasks – with different assemblies becoming specialized for face and object processing (Dobs et al., 2022). Consistent with this idea, identity, gender and viewpoint information were found to be encoded by different subsets of neurons in an identity‐optimized DCNN (Parde et al., 2021). So while it is clear that multidimensional information is retained in identity‐optimized face codes, the extent and manner in which these codes are integrated is not resolved. Neurophysiological evidence is also equivocal, sometimes showing more crossover between invariant and changeable neural pathways that is implied by the models summarized in Figure 2 (see e.g. di Visconti Oleggio Castello et al., 2017; Duchaine & Yovel, 2015; Schwartz et al., 2023; Xu & Biederman, 2010; Yang & Freiwald, 2021, 2023).\nNevertheless, the breadth of information contained in face identity codes, as summarized in Table 1, lends plausibility to alternative architectures than those in classical models of face perception. For example, a single multi‐attribute face code could support a full repertoire of downstream face processing tasks. Peterson et al. (2022) show this type of code is available in the StyleGan2 network (Karras et al., 2019) which was trained to produce images of faces, but without the requirement of making any specific classification of face attributes. This raises the possibility that an abstractive face code derived from perceptual experience alone might contain all the necessary information for the range of face processing tasks that humans perform.\nHowever, as we explain in the next sections, there are stark differences in input data and functional tasks that have shaped face processing in humans versus current deep learning systems. For example, in face‐to‐face interactions, we process dynamic cues to track a speaker's mood and also facilitate speech comprehension by tracking lip movements (Young & Bruce, 2011). Optimal processing of these cues depends on ongoing monitoring of changeable properties and these face codes must integrate with branching brain systems responsible for discrete types of emotion, as well as multimodal systems for audio visual speech integration (Young et al., 2020). On the other hand, we recognize a person's identity quickly, and because this is fixed, there is not a requirement for ongoing monitoring. These appear to be very different computational problems, and so the environmental constraints on human perception might necessitate separate types of face code. In the following sections, we consider these environmental constraints and the extent to which deep learning architectures are capable of emulating them.\n\n\n### MOVING BEYOND IDENTIFICATION AND STILL IMAGES\nImagine a social scenario where a small group of people are engaged in an animated conversation. Actively participating in the conversation requires analysing constantly changing expressions, facial social cues and following lip movement to assist with speech recognition. The human face processing system readily processes these dynamic situations and handles these parallel signals to a person's emotions and intentions and integrates these with cues from other modalities.\nDeep learning models used in face recognition research are primarily trained to compare the identity of faces in still images. Although researchers have control over the network design and the functional tasks that deep learning architectures are trained to perform on these data, existing research has used available face recognition models that were pre‐trained on still images (but see (Dobs et al., 2022; Dobs et al., 2023; Guo et al., 2023; Jang & Tong, 2021; Schwartz et al., 2023; Vogelsang et al., 2018) for exceptions). Two studies have correlated participant behavioural (Guo et al., 2023) and brain responses (Guo et al., 2023; Tsantani et al., 2021) when viewing short video clips of faces with deep learning face codes that were aggregated across still images in these videos. Interestingly, these studies found lower correlations between brain responses and deep learning identity face codes extracted from fully connected layers when compared with previous work that has compared behavioural and brain responses when viewing static face images (e.g. Grossman et al., 2019; Jozwik et al., 2022)). This suggests that deep learning face codes do not capture the brain responses to dynamic perceptual input that more closely resembles the naturalistic experience that viewers have with faces (c.f. (Vong et al., 2024).\nTo bridge the gap between current deep learning models and face processing in the social scenario outlined above, two main modifications would be required. First, deep learning systems should be able to perform multiple parallel tasks. We are aware of no psychology and neuroscience research that examines face codes in deep learning architectures that have been trained for multiple face tasks. Although some initial work has compared face expression information contained in face identity‐optimized networks with generic object classification networks (Zhou et al., 2022), and vice‐versa (Schwartz et al., 2023), these studies do not train networks to perform more than one face processing task (c.f. Dobs et al., 2022).\nOn the other hand, multi‐task deep learning face processing systems have been created to meet engineering goals (e.g. Ranjan et al., 2017). Ranjan et al. (2017) aimed to simultaneously achieve state‐of‐the‐art accuracy in face detection, gender, expression, age, head pose and identity classification. To achieve this, multiple higher‐level networks learned specialized face codes optimized for specific tasks, drawing on a shared face code in a separate lower‐level network. Interestingly, multi‐task performance benefited from shared face codes acquired via training on face identity rather than generic object classification (Ranjan et al., 2017), pointing to a computational benefit of a shared, face‐specific code prior to channelling for different processing tasks. Therefore, although focused on engineering goals, this paper nevertheless points to the potential for deep learning architectures to model modules serving multiple functions in the face processing system and to develop an understanding of how face codes are processed and transmitted by these modules.\nThe second modification is to process the type of multimodal, dynamic video data that the human face processing system receives. Still images are thin slices of this information stream, and certain information is only carried by dynamic cues, for example reading gestural expressions and facial speech. This processing places qualitatively different constraints on extracting face codes from video‐like input because information is distributed across time (Krumhuber et al., 2023; Yovel & O'Toole, 2016), and dynamic cues require richer integration with other modalities such as cues carried in a person's voice (Alsius et al., 2018; Young et al., 2020).\nIn addition to carrying social signals to expression and speech, some evidence suggests that dynamic information is also encoded in neural face identity codes. While motion does not appear to help identify unfamiliar faces (O'Toole et al., 2002), there is stronger evidence that the recognition of familiar faces is facilitated by moving displays (Lander et al., 1999; Lander & Chuang, 2005). This led to O'Toole et al. (2002) proposing a modified version of the classic neural model of the face processing system (Haxby et al., 2000) where ‘dynamic signatures’ of identity – for example a characteristic raising of the eyebrows – are incorporated in representations of familiar faces.\nExactly how these dynamic signatures are able to integrate with invariant identity information in a bifurcated face processing system is currently unclear. However, there is accumulating evidence in studies of the macaque (Yang & Freiwald, 2021, 2023) and human brain (Dobs, Schultz, et al., 2018) that the Superior Temporal Sulcus – a key region in the dorsal face processing stream – is not only involved in processing changeable properties, but is also involved in processing face identity. Equipping deep learning models with the capability to process video input could present new opportunities to address this unresolved question.\n\n\n### MOVING TO PERSONALLY FAMILIAR FACE RECOGNITION\nImagine a second social scenario. Dan walks into a school reunion and recognizes most of the people but has difficulty recognizing two people who are having a conversation. The first person explains they have just flown in from Chicago, and with this context, Dan immediately recognizes them. The second person then responds that they attended the previous reunion, and although Dan did not know them well at school, he remembers them being rude to the waiting staff at this previous event.\nA face becomes personally familiar when we have accumulated sufficient visual and semantic knowledge over prior encounters (Natu & O'Toole, 2011). Since these encounters occur over a series of settings and social contexts, recognizing a familiar face accesses a rich representation of the person. We begin this section by reviewing research on DCNNs as models of visual familiarity, before we explore the potential for deep learning approaches to model personal familiarity.\nDeep learning outperforms human participants when matching the identity of unfamiliar face images. But decades of research have shown that, on average, people make large proportions of errors on this task (Bruce et al., 1999; Kemp et al., 1997), and this is even true for professional passport officers (White, Kemp, et al., 2014a). This is not the case for matching images of personally familiar faces, which is a significantly easier task (Jenkins et al., 2011). Matching accuracy differences are substantially lower between unfamiliar and visually familiar faces (Andrews et al., 2015; White, Burton, et al., 2014b), although these improvements appear to track viewers' developing visual familiarity (Clutterbuck & Johnston, 2002, 2005).\nFamiliar face processing is the primary task that the face processing system has evolved to perform (Deen et al., 2023; Young & Burton, 2018). We spend the majority of time attending to faces of people we know (Oruc et al., 2019; Sugden & Moulson, 2019), and brain responses and behavioural performance are transformed by personal familiarity. Yet there is not an overall cognitive account of how familiar people are represented in the face processing system. Components of the familiar face processing system have been modelled, for example to address how the brain derives visual representations of familiar faces (Bruce, 1994; Burton et al., 2005, 2016; Kramer et al., 2018; Burton et al., 1999). These theories converge on the idea of a representation that accumulates natural variation in facial appearance over repeated encounters, allowing for incremental improvements in recognition accuracy as the visual representation is refined.\nDeep learning face codes are derived from extensive training with naturalistic images and so support the idea that face codes benefit from exposure to naturalistic variation in facial appearance (Deng et al., 2019; Parkhi et al., 2015; Ranjan et al., 2019). After training is complete, each face image is encoded in a common face space, where face images cluster by identity.\nOne test of whether DCNNs benefit from familiarity like humans is to ask: does identity discrimination improve for new images of faces that were included in the training set? Dulhanty & Wong (2020) examined this question. They trained an ArcFace DCNN (Deng et al., 2019) on a dataset of 5.2 million images of 93,431 identities. They compared accuracy on new images of faces in the training set against faces not in the training set and found that accuracy for faces contained in the training set was 4 percentage points higher than for faces not in the training set.\nUsing the VGG‐16/VGGface DCNN (Parkhi et al., 2015; Simonyan & Zisserman, 2015), Blauch et al. (2021) investigated visually familiar faces by fine‐tuning pre‐trained DCNNs. They observed that fine‐tuning the fully connected layers with face images of a person can improve the face identification accuracy for that person. Furthermore, their experiments showed that accuracy increased as the number of face images increased. These findings reflect similar trends observed in humans when they are exposed to previously novel faces over the course of an experiment (e.g. Baker & Mondloch, 2023).\nGiven a face image, a DCNN produces a vector in a common facespace. Noyes et al. (2021) approached familiarity by creating a separate facespace for each familiar person. Using the facecodes in the DCNN facespace, they trained a support vector machine (SVM) to discriminate between images of one person and all other people. On the Façade disguise data set – which tests the ability to match face identity despite deliberate disguise – algorithm performance was comparable to human familiar face recognition performance.\nThe above papers showed three possible approaches to adapting visually familiar face recognition to DCNNs: first, training the DCNN with images of people to be recognized; second, fine‐tuning a network to familiar faces; and third, applying pattern recognition techniques to the DCNN face codes. These methods are not capable of incorporating context and semantics that underpin personal familiarity. Recent studies have aimed to bridge this gap by experimenting with deep learning models that align visual and semantic information vector spaces (Shoham et al., 2024), and we will consider the potential of these approaches next.\nPeople encounter faces in rich social contexts, and seeing a familiar face brings to mind a multitude of other information about the person. Studies of brain responses to personally familiar faces show distributed activation across a number of brain regions beyond the ventral stream that are thought to be more broadly involved in social cognition (Deen et al., 2024; di Visconti Oleggio Castello et al., 2021; Gobbini & Haxby, 2007; Natu & O'Toole, 2011; Sliwinska et al., 2022). It is in the extended, rather than the core system, that the greatest difference between familiar and unfamiliar faces is found (di Visconti Oleggio Castello et al., 2017; Gobbini & Haxby, 2007). Deep learning architectures do not currently capture the extended person information system, but can potentially be used in the future to help understand the interactions between perceptual and semantic codes.\nThe extended face processing system also clearly modulates face identity decisions at some level. Unfamiliar face identity decisions can be biased by apparently innocuous surrounding contextual information such as a photo‐ID card (Feng & Burton, 2019; Trinh et al., 2022). In daily life, people are more likely to fail to recognize familiar faces when they are encountered in unexpected contexts and are known to mistake unfamiliar for familiar faces when they are encountered in contexts associated with the familiar person (Miura et al., 2024; Young et al., 1985), c.f. (Bar, 2004; Garlichs & Blank, 2024). Using ‘semantic priming’ paradigms in the 1980s and 1990s, researchers established that familiar face representations are linked in memory via semantic codes (Bruce & Valentine, 1986). This led to the proposal that face recognition occurs at a level of representation that aggregates visual input activation for faces with semantic links and multimodal perceptual input (Burton et al., 1990) see also (Young et al., 2020).\nDeep learning does not capture these established links, but can potentially help to understand how perceptual and semantic codes are integrated. As we have mentioned, attempts to familiarize faces in the lab using only image information (Clutterbuck & Johnston, 2002; White, Burton, et al., 2014b) lead to modest increases in accuracy relative to the high accuracy of matching images of familiar celebrities or personally familiar faces (Ritchie et al., 2015; White, Burton, et al., 2014b). It is not yet clear whether the high accuracy with familiar faces is driven purely by the accumulation of visual experience or if it is also related to a facilitative effect of more distributed identity representations.\nSome researchers propose an integrated visual‐semantic representation, where the visual representation is enhanced by links to semantic information. There is some indirect evidence for this. For example perceptual encoding of unfamiliar faces can be enhanced by concurrent presentation of contextual information (Dunn et al., 2021; Qiu L et al., 2016; Schwartz & Yovel, 2019), and individuals with high scores on standard tests of face recognition ability may augment their superior perceptual processing of unfamiliar faces with enhanced semantic processing (Elbich & Scherf, 2017; Jiang & Zhou, 2024). The discovery of brain areas in the anterior temporal and frontal lobes that are responsive to both semantic and visual properties of person representations (Deen et al., 2024; di Visconti Oleggio Castello et al., 2017) provides a potential neural substrate for this type of integrated representation. On the other hand, EEG studies show that familiarity‐based modulation of brain activity occurs mostly in post‐perceptual rather than perceptual stages of processing (e.g. Wiese et al., 2022). Thus, an alternative view is that general semantic mechanisms operate independently of perceptual codes and are integrated at a post‐perceptual level.\nDeep learning approaches have the potential to help resolve this open question, by evaluating the similarity between face codes in humans to those produced by models with different types of links to semantic systems. For example in a very recent study (Shoham et al., 2024), researchers compared similarity of latent representational spaces in humans and deep learning models that were either purely perceptual in origin (i.e. derived from face images independently of any semantic information (Simonyan & Zisserman, 2015)) or ‘language‐aligned’ models where their latent spaces had been reshaped to align with semantic representational space derived from text captions associated with these images on the internet (Radford et al., 2021). Researchers found higher correspondence between latent representational spaces in the language‐aligned model and humans when compared with purely perceptual models.\nAlthough Shoham et al. (2024) did not compare different types of integration that might account for these results, they provide a novel demonstration of how human face similarity ratings can be modulated by semantic information. They also show the potential for using deep learning‐based models to evaluate alternative mechanisms responsible for this modulation in future. An important experimental comparison to compare different mechanisms of integration has been between responses to familiar faces that we have mostly visual exposure to and people that we know a lot more about, such as friends. But individual participants are all familiar with different sets of people and to varying degrees, meaning that the effects of visual and semantic knowledge are often confounded (Ramon & Gobbini, 2018). Another benefit of deep learning approaches is that they provide researchers control over exposure that is necessary to assess the independent contributions of this information.\n\n\n### Modelling familiar face recognition\nDeep learning outperforms human participants when matching the identity of unfamiliar face images. But decades of research have shown that, on average, people make large proportions of errors on this task (Bruce et al., 1999; Kemp et al., 1997), and this is even true for professional passport officers (White, Kemp, et al., 2014a). This is not the case for matching images of personally familiar faces, which is a significantly easier task (Jenkins et al., 2011). Matching accuracy differences are substantially lower between unfamiliar and visually familiar faces (Andrews et al., 2015; White, Burton, et al., 2014b), although these improvements appear to track viewers' developing visual familiarity (Clutterbuck & Johnston, 2002, 2005).\nFamiliar face processing is the primary task that the face processing system has evolved to perform (Deen et al., 2023; Young & Burton, 2018). We spend the majority of time attending to faces of people we know (Oruc et al., 2019; Sugden & Moulson, 2019), and brain responses and behavioural performance are transformed by personal familiarity. Yet there is not an overall cognitive account of how familiar people are represented in the face processing system. Components of the familiar face processing system have been modelled, for example to address how the brain derives visual representations of familiar faces (Bruce, 1994; Burton et al., 2005, 2016; Kramer et al., 2018; Burton et al., 1999). These theories converge on the idea of a representation that accumulates natural variation in facial appearance over repeated encounters, allowing for incremental improvements in recognition accuracy as the visual representation is refined.\nDeep learning face codes are derived from extensive training with naturalistic images and so support the idea that face codes benefit from exposure to naturalistic variation in facial appearance (Deng et al., 2019; Parkhi et al., 2015; Ranjan et al., 2019). After training is complete, each face image is encoded in a common face space, where face images cluster by identity.\nOne test of whether DCNNs benefit from familiarity like humans is to ask: does identity discrimination improve for new images of faces that were included in the training set? Dulhanty & Wong (2020) examined this question. They trained an ArcFace DCNN (Deng et al., 2019) on a dataset of 5.2 million images of 93,431 identities. They compared accuracy on new images of faces in the training set against faces not in the training set and found that accuracy for faces contained in the training set was 4 percentage points higher than for faces not in the training set.\nUsing the VGG‐16/VGGface DCNN (Parkhi et al., 2015; Simonyan & Zisserman, 2015), Blauch et al. (2021) investigated visually familiar faces by fine‐tuning pre‐trained DCNNs. They observed that fine‐tuning the fully connected layers with face images of a person can improve the face identification accuracy for that person. Furthermore, their experiments showed that accuracy increased as the number of face images increased. These findings reflect similar trends observed in humans when they are exposed to previously novel faces over the course of an experiment (e.g. Baker & Mondloch, 2023).\nGiven a face image, a DCNN produces a vector in a common facespace. Noyes et al. (2021) approached familiarity by creating a separate facespace for each familiar person. Using the facecodes in the DCNN facespace, they trained a support vector machine (SVM) to discriminate between images of one person and all other people. On the Façade disguise data set – which tests the ability to match face identity despite deliberate disguise – algorithm performance was comparable to human familiar face recognition performance.\nThe above papers showed three possible approaches to adapting visually familiar face recognition to DCNNs: first, training the DCNN with images of people to be recognized; second, fine‐tuning a network to familiar faces; and third, applying pattern recognition techniques to the DCNN face codes. These methods are not capable of incorporating context and semantics that underpin personal familiarity. Recent studies have aimed to bridge this gap by experimenting with deep learning models that align visual and semantic information vector spaces (Shoham et al., 2024), and we will consider the potential of these approaches next.\n\n\n### Personally familiar face recognition\nPeople encounter faces in rich social contexts, and seeing a familiar face brings to mind a multitude of other information about the person. Studies of brain responses to personally familiar faces show distributed activation across a number of brain regions beyond the ventral stream that are thought to be more broadly involved in social cognition (Deen et al., 2024; di Visconti Oleggio Castello et al., 2021; Gobbini & Haxby, 2007; Natu & O'Toole, 2011; Sliwinska et al., 2022). It is in the extended, rather than the core system, that the greatest difference between familiar and unfamiliar faces is found (di Visconti Oleggio Castello et al., 2017; Gobbini & Haxby, 2007). Deep learning architectures do not currently capture the extended person information system, but can potentially be used in the future to help understand the interactions between perceptual and semantic codes.\nThe extended face processing system also clearly modulates face identity decisions at some level. Unfamiliar face identity decisions can be biased by apparently innocuous surrounding contextual information such as a photo‐ID card (Feng & Burton, 2019; Trinh et al., 2022). In daily life, people are more likely to fail to recognize familiar faces when they are encountered in unexpected contexts and are known to mistake unfamiliar for familiar faces when they are encountered in contexts associated with the familiar person (Miura et al., 2024; Young et al., 1985), c.f. (Bar, 2004; Garlichs & Blank, 2024). Using ‘semantic priming’ paradigms in the 1980s and 1990s, researchers established that familiar face representations are linked in memory via semantic codes (Bruce & Valentine, 1986). This led to the proposal that face recognition occurs at a level of representation that aggregates visual input activation for faces with semantic links and multimodal perceptual input (Burton et al., 1990) see also (Young et al., 2020).\nDeep learning does not capture these established links, but can potentially help to understand how perceptual and semantic codes are integrated. As we have mentioned, attempts to familiarize faces in the lab using only image information (Clutterbuck & Johnston, 2002; White, Burton, et al., 2014b) lead to modest increases in accuracy relative to the high accuracy of matching images of familiar celebrities or personally familiar faces (Ritchie et al., 2015; White, Burton, et al., 2014b). It is not yet clear whether the high accuracy with familiar faces is driven purely by the accumulation of visual experience or if it is also related to a facilitative effect of more distributed identity representations.\nSome researchers propose an integrated visual‐semantic representation, where the visual representation is enhanced by links to semantic information. There is some indirect evidence for this. For example perceptual encoding of unfamiliar faces can be enhanced by concurrent presentation of contextual information (Dunn et al., 2021; Qiu L et al., 2016; Schwartz & Yovel, 2019), and individuals with high scores on standard tests of face recognition ability may augment their superior perceptual processing of unfamiliar faces with enhanced semantic processing (Elbich & Scherf, 2017; Jiang & Zhou, 2024). The discovery of brain areas in the anterior temporal and frontal lobes that are responsive to both semantic and visual properties of person representations (Deen et al., 2024; di Visconti Oleggio Castello et al., 2017) provides a potential neural substrate for this type of integrated representation. On the other hand, EEG studies show that familiarity‐based modulation of brain activity occurs mostly in post‐perceptual rather than perceptual stages of processing (e.g. Wiese et al., 2022). Thus, an alternative view is that general semantic mechanisms operate independently of perceptual codes and are integrated at a post‐perceptual level.\nDeep learning approaches have the potential to help resolve this open question, by evaluating the similarity between face codes in humans to those produced by models with different types of links to semantic systems. For example in a very recent study (Shoham et al., 2024), researchers compared similarity of latent representational spaces in humans and deep learning models that were either purely perceptual in origin (i.e. derived from face images independently of any semantic information (Simonyan & Zisserman, 2015)) or ‘language‐aligned’ models where their latent spaces had been reshaped to align with semantic representational space derived from text captions associated with these images on the internet (Radford et al., 2021). Researchers found higher correspondence between latent representational spaces in the language‐aligned model and humans when compared with purely perceptual models.\nAlthough Shoham et al. (2024) did not compare different types of integration that might account for these results, they provide a novel demonstration of how human face similarity ratings can be modulated by semantic information. They also show the potential for using deep learning‐based models to evaluate alternative mechanisms responsible for this modulation in future. An important experimental comparison to compare different mechanisms of integration has been between responses to familiar faces that we have mostly visual exposure to and people that we know a lot more about, such as friends. But individual participants are all familiar with different sets of people and to varying degrees, meaning that the effects of visual and semantic knowledge are often confounded (Ramon & Gobbini, 2018). Another benefit of deep learning approaches is that they provide researchers control over exposure that is necessary to assess the independent contributions of this information.\n\n\n### LESSONS FROM DEEP LEARNING AND QUESTIONS FOR FUTURE WORK\nThis review analysed papers that reported similarities between existing deep learning algorithms and face processing in humans. We then considered the accord between deep learning networks and cognitive and neural models that have influenced research in face recognition for nearly 40 years. Results from early investigations of deep learning networks raise some fundamental questions about the information in face codes. In turn, cognitive and neural models identify critical aspects of face processing in humans that deep learning networks do not model. We summarize the conclusions of our review as seven lessons and three questions.\nDeep learning face codes encode unfamiliar face images in a multidimensional face space. Most studies that have evaluated deep learning as a model for the human face processing system focus on facial attributes encoded in deep learning face codes. These studies focus on face identity codes that have been engineered to enable optimal categorization of identity, but a minority of studies have examined codes in networks trained for other tasks. Because of the depth of knowledge generated by these results, our first three lessons address conclusions from these studies.\n\n\nLesson 1:\nFace identity codes contain information about a multitude of face attributes. A series of papers summarized in Table 1 report that face codes from DCNNs contain a wealth of information from a diverse collection of face attributes (Colón et al., 2021; Dhar et al., 2020; Guo et al., 2023; Hill et al., 2018; Parde et al., 2017, 2019, 2021; Peterson et al., 2022; Schwartz et al., 2023; Terhörst et al., 2022; Zhou et al., 2022). These attributes include demographics; dynamic facial properties such as expressions and head pose; elements of personal style elements such as facial hair and jewellery; and even extrinsic attributes that include illumination direction and type of camera. Replication across multiple studies provides a firm foundation to conclude that DCNNs, which are trained exclusively for face identity classification, encode face attributes that support the broader human ability to understand faces for social interaction.\n\nLesson 2: Face codes that contain information about facial attributes can be learned without explicit training to classify attributes. Whereas face identity DCNNs require accurate identity ground truth labels for training, the StyleGAN2 algorithm (Karras et al., 2019) generates synthetic faces and learns generative face codes without associated meta‐data about facial attributes. Peterson et al. (2022) demonstrated that StyleGAN2 face codes can be used to predict multiple face attributes. StyleGAN2 therefore points to a path for training deep learning networks that do not require ground truth for all training data and potentially for understanding how humans learn to process faces by observing their environment in the absence of detailed ground truth.\n\nLesson 3: Information content in face identity codes varies across network layers. Inspections of information codes in internal deep learning network layers by Dhar et al. (2020) and Guo et al. (2023) demonstrate a similar progression from low‐level to higher‐level face attributes. These results align with findings in neurophysiological studies of human brain activity (e.g. Dobs et al., 2019). This progression is also associated with greater face specialization of perceptual processing at higher network layers (Dobs et al., 2022). These results show analogous properties in the functional architecture of DCNN models and the face processing system in humans.\nLesson 1:\nFace identity codes contain information about a multitude of face attributes. A series of papers summarized in Table 1 report that face codes from DCNNs contain a wealth of information from a diverse collection of face attributes (Colón et al., 2021; Dhar et al., 2020; Guo et al., 2023; Hill et al., 2018; Parde et al., 2017, 2019, 2021; Peterson et al., 2022; Schwartz et al., 2023; Terhörst et al., 2022; Zhou et al., 2022). These attributes include demographics; dynamic facial properties such as expressions and head pose; elements of personal style elements such as facial hair and jewellery; and even extrinsic attributes that include illumination direction and type of camera. Replication across multiple studies provides a firm foundation to conclude that DCNNs, which are trained exclusively for face identity classification, encode face attributes that support the broader human ability to understand faces for social interaction.\nLesson 2: Face codes that contain information about facial attributes can be learned without explicit training to classify attributes. Whereas face identity DCNNs require accurate identity ground truth labels for training, the StyleGAN2 algorithm (Karras et al., 2019) generates synthetic faces and learns generative face codes without associated meta‐data about facial attributes. Peterson et al. (2022) demonstrated that StyleGAN2 face codes can be used to predict multiple face attributes. StyleGAN2 therefore points to a path for training deep learning networks that do not require ground truth for all training data and potentially for understanding how humans learn to process faces by observing their environment in the absence of detailed ground truth.\nLesson 3: Information content in face identity codes varies across network layers. Inspections of information codes in internal deep learning network layers by Dhar et al. (2020) and Guo et al. (2023) demonstrate a similar progression from low‐level to higher‐level face attributes. These results align with findings in neurophysiological studies of human brain activity (e.g. Dobs et al., 2019). This progression is also associated with greater face specialization of perceptual processing at higher network layers (Dobs et al., 2022). These results show analogous properties in the functional architecture of DCNN models and the face processing system in humans.\nLessons 4 and 5 explore the relationship between deep learning models and traditional models in psychology and neuroscience.\n\n\nLesson 4: Deep learning models portions of the face processing system in humans. While no single study provides conclusive evidence that deep learning can model the core face processing system, converging strands of evidence show that deep learning face codes can provide insight into the core face processing system:\nFace codes generated by DCNNs and StyleGAN2 encode face attributes that humans process (Table 1).Sequences of face information expression in internal layers of DCNNs accord with neurophysiological evidence of the early stages of face processing (Dobs et al., 2019).Functional specialization of face codes emerges naturally in DCNNs that are trained for multiple tasks, and these face‐specific codes emerge primarily in later network layers (Dobs et al., 2022, 2023)DCNN face codes show some qualitative hallmarks of face processing in humans such as the Face Inversion Effect (Dobs et al., 2023) and patterns of sensitivity to facial feature replacement (Abudarham et al., 2019).\n\n\nLesson 5: Deep learning challenges cognitive and neural models of face processing in humans. Existing models of the human face processing system propose different cognitive (Bruce & Young, 1986) and neural pathways (Gobbini & Haxby, 2007; Haxby et al., 2000) for processing face codes that support invariant (e.g. identity) versus changeable face information (e.g. expression, facial speech). However, subsequent evidence shows that expression and other changeable information can be decoded from neural activity in regions of the invariant pathway (e.g. Xu & Biederman, 2010) and that identity information can be decided from activity in the dynamic pathway (e.g. Dobs, Schultz, et al., 2018), suggesting more crossover than is implied by these models (di Visconti Oleggio Castello et al., 2017; Duchaine & Yovel, 2015; Schwartz et al., 2023; Yang & Freiwald, 2021, 2023).Consistent with this recent evidence, multiple face attributes are encoded in deep learning face codes – both in networks that are optimized for identity processing (DCNNs, Lesson 1) and those trained without any face attribute labels (GANs, Lesson 2). This finding challenges the computational necessity of separate face codes for invariant and changeable properties (Young, 2018) and also suggests that a single encoding framework can emerge from perceptual experience in the absence of explicit task training. This raises the prospect of an alternative processing architecture where a single face code can support the full repertoire of downstream processing tasks.\nLesson 4: Deep learning models portions of the face processing system in humans. While no single study provides conclusive evidence that deep learning can model the core face processing system, converging strands of evidence show that deep learning face codes can provide insight into the core face processing system:\nFace codes generated by DCNNs and StyleGAN2 encode face attributes that humans process (Table 1).Sequences of face information expression in internal layers of DCNNs accord with neurophysiological evidence of the early stages of face processing (Dobs et al., 2019).Functional specialization of face codes emerges naturally in DCNNs that are trained for multiple tasks, and these face‐specific codes emerge primarily in later network layers (Dobs et al., 2022, 2023)DCNN face codes show some qualitative hallmarks of face processing in humans such as the Face Inversion Effect (Dobs et al., 2023) and patterns of sensitivity to facial feature replacement (Abudarham et al., 2019).\nFace codes generated by DCNNs and StyleGAN2 encode face attributes that humans process (Table 1).\nSequences of face information expression in internal layers of DCNNs accord with neurophysiological evidence of the early stages of face processing (Dobs et al., 2019).\nFunctional specialization of face codes emerges naturally in DCNNs that are trained for multiple tasks, and these face‐specific codes emerge primarily in later network layers (Dobs et al., 2022, 2023)\nDCNN face codes show some qualitative hallmarks of face processing in humans such as the Face Inversion Effect (Dobs et al., 2023) and patterns of sensitivity to facial feature replacement (Abudarham et al., 2019).\nLesson 5: Deep learning challenges cognitive and neural models of face processing in humans. Existing models of the human face processing system propose different cognitive (Bruce & Young, 1986) and neural pathways (Gobbini & Haxby, 2007; Haxby et al., 2000) for processing face codes that support invariant (e.g. identity) versus changeable face information (e.g. expression, facial speech). However, subsequent evidence shows that expression and other changeable information can be decoded from neural activity in regions of the invariant pathway (e.g. Xu & Biederman, 2010) and that identity information can be decided from activity in the dynamic pathway (e.g. Dobs, Schultz, et al., 2018), suggesting more crossover than is implied by these models (di Visconti Oleggio Castello et al., 2017; Duchaine & Yovel, 2015; Schwartz et al., 2023; Yang & Freiwald, 2021, 2023).\nConsistent with this recent evidence, multiple face attributes are encoded in deep learning face codes – both in networks that are optimized for identity processing (DCNNs, Lesson 1) and those trained without any face attribute labels (GANs, Lesson 2). This finding challenges the computational necessity of separate face codes for invariant and changeable properties (Young, 2018) and also suggests that a single encoding framework can emerge from perceptual experience in the absence of explicit task training. This raises the prospect of an alternative processing architecture where a single face code can support the full repertoire of downstream processing tasks.\nWhile Lessons 1 to 5 cover lessons learned from applying deep learning to modelling the human face processing system, Lessons 6 and 7 describe areas that current deep learning models do not cover.\n\n\nLesson 6: Dynamic information is important for face processing in humans. Social interaction relies on the ability to correctly interpret facial properties, such as facial expressions and movements during speech. To succeed at these tasks, we need to continuously monitor facial properties and understand how they unfold over time (Dobs, Bülthoff, et al., 2018; Sueyoshi & Hardison, 2005). Current deep learning architectures can generate face codes from each frame in a video, but they need to be further developed to classify face attributes by drawing on information distributed across video streams. Some studies have compared face codes in DCNNs to neural activity in people as they watch video clips of faces (Guo et al., 2023), but limitations in current deep learning models and the low temporal resolution of fMRI (4 s) prevent a fuller exploration of dynamic face codes. In future, developing deep learning models that can explicitly process video to classify face attributes may broaden our understanding of how face codes emerge from naturalistic perceptual exposure.\n\nLesson 7: For humans, face recognition is primarily for personally familiar faces. Deep learning architectures used in psychology research produce face codes that represent a single image of a face. But the face processing system in humans links face codes to a distributed knowledge representation about that person (see (Deen et al., 2023; di Visconti Oleggio Castello et al., 2017; Gobbini & Haxby, 2006; Yovel & O'Toole, 2016) for reviews). Some initial progress has been made modelling visual familiarity with faces (Blauch et al., 2021; Noyes et al., 2021), but modelling personal familiarity will require addressing extended face system codes that represent person information, and how they link to face codes.\nLesson 6: Dynamic information is important for face processing in humans. Social interaction relies on the ability to correctly interpret facial properties, such as facial expressions and movements during speech. To succeed at these tasks, we need to continuously monitor facial properties and understand how they unfold over time (Dobs, Bülthoff, et al., 2018; Sueyoshi & Hardison, 2005). Current deep learning architectures can generate face codes from each frame in a video, but they need to be further developed to classify face attributes by drawing on information distributed across video streams. Some studies have compared face codes in DCNNs to neural activity in people as they watch video clips of faces (Guo et al., 2023), but limitations in current deep learning models and the low temporal resolution of fMRI (4 s) prevent a fuller exploration of dynamic face codes. In future, developing deep learning models that can explicitly process video to classify face attributes may broaden our understanding of how face codes emerge from naturalistic perceptual exposure.\nLesson 7: For humans, face recognition is primarily for personally familiar faces. Deep learning architectures used in psychology research produce face codes that represent a single image of a face. But the face processing system in humans links face codes to a distributed knowledge representation about that person (see (Deen et al., 2023; di Visconti Oleggio Castello et al., 2017; Gobbini & Haxby, 2006; Yovel & O'Toole, 2016) for reviews). Some initial progress has been made modelling visual familiarity with faces (Blauch et al., 2021; Noyes et al., 2021), but modelling personal familiarity will require addressing extended face system codes that represent person information, and how they link to face codes.\nThe seven lessons provide a summary of our conclusions for our review. We end by posing three questions that explore possible avenues for future research using deep learning.\n\n\nQuestion 1: Is there a face foundation model in the face processing system? Prominent neural and cognitive models implicitly or explicitly suggest that face codes bifurcate into separate codes that carry information about invariant and variable properties of faces. However, more recent evidence identifies various brain regions that are implicated in the processing of both types of information (e.g. di Visconti Oleggio Castello et al., 2017; Dobs, Schultz, et al., 2018; Xu & Biederman, 2010; Yang & Freiwald, 2021, 2023). The results in Section 2 (Lessons, 1, 2, 5) suggest that information about multiple attributes can coexist in single face codes. Moreover, the success of DCNN‐generated face codes in supporting multiple face processing tasks (Ranjan et al., 2017) raises the possibility of a single face code containing all the necessary information for downstream face processing tasks.This kind of face code would fit into the foundation model paradigm of AI (Bommasani et al., 2021). These models combine self‐supervised training with extensive training data to produce codes that can be adapted to perform a wide range of downstream tasks. Such models include GPT‐3 and vision‐language (foundation) models incorporating image data and text inputs like CLIP (Radford et al., 2021). Vision‐language models trained on multimodal input from naturalistic head‐mounted camera footage have even been used to examine how infants' early‐life perceptual experiences translate to their semantic knowledge of the world (Vong et al., 2024). Similar approaches may hold potential for understanding whether single face codes, capable of performing the entire range of face processing tasks, can be derived from naturalistic experience with faces (Sugden & Moulson, 2019; Varela et al., 2023).\n\nQuestion 2: What data sets are needed to support future research? Most of the research papers in this review focused on results obtained from data sets of still‐face photos collected for unfamiliar face identification. However, accurately modelling the human face processing system requires expanding data sets in several directions. First, the community must conduct experiments on video footage, including head movements, gestures, expressions and facial movements while speaking. Second, data acquired from a first‐person perspective would approximate how people view their world. Third, studying the connection between the core and extended face systems requires data sets consisting of visual and semantic information.Movies are one source of dynamic information, with the Deep Video Understanding (Curtis et al., 2020) challenge pointing to a method for creating data sets containing visual and semantic information in videos. Vong et al. (2024) demonstrated collecting visual and semantic data from a first‐person perspective (see also (Sugden & Moulson, 2019; Varela et al., 2023)). With advancements in generative AI, we can now also create realistic synthetic imagery to support the development and testing of face processing models. However, synthetic imagery should be an additional tool rather than a substitute for experiments with non‐synthetic data.\n\nQuestion 3: How are familiar faces and person knowledge represented? The location of a meeting, its social setting – a professional event or family gathering – can help us recognize familiar faces. The extended face processing system connects the core system with broader information about the people we see and links local and social context to stored knowledge about these people. The extended system also processes data from emotions, impressions and fuses multiple sensory modalities. The extended system is clearly activated when viewing familiar faces (see (di Visconti Oleggio Castello et al., 2017; Kovács, 2020; Yovel & O'Toole, 2016) for recent reviews), but how the perceptual representations of faces in the core system connect to this extended system is still an unresolved question. Deep learning approaches have emerged as a promising solution to this question.For example, Shoham et al. (2024) have recently found higher association between human and deep learning face similarity judgements for deep learning architectures that combine image and text to form ‘language‐aligned’ representation. Language‐aligned models bring image similarity and similarity of text found with the face images on the internet into a common code. This approach appears to provide a first step in developing models that produce familiar person codes that incorporate multimodal knowledge associated with a person – along with accumulating visual exposure to the face. As we have discussed, emerging foundation model approaches offer a new capability for this type of integration which has been used to model similar knowledge acquisition from natural environments (Vong et al., 2024; Wang et al., 2023).\nQuestion 1: Is there a face foundation model in the face processing system? Prominent neural and cognitive models implicitly or explicitly suggest that face codes bifurcate into separate codes that carry information about invariant and variable properties of faces. However, more recent evidence identifies various brain regions that are implicated in the processing of both types of information (e.g. di Visconti Oleggio Castello et al., 2017; Dobs, Schultz, et al., 2018; Xu & Biederman, 2010; Yang & Freiwald, 2021, 2023). The results in Section 2 (Lessons, 1, 2, 5) suggest that information about multiple attributes can coexist in single face codes. Moreover, the success of DCNN‐generated face codes in supporting multiple face processing tasks (Ranjan et al., 2017) raises the possibility of a single face code containing all the necessary information for downstream face processing tasks.\nThis kind of face code would fit into the foundation model paradigm of AI (Bommasani et al., 2021). These models combine self‐supervised training with extensive training data to produce codes that can be adapted to perform a wide range of downstream tasks. Such models include GPT‐3 and vision‐language (foundation) models incorporating image data and text inputs like CLIP (Radford et al., 2021). Vision‐language models trained on multimodal input from naturalistic head‐mounted camera footage have even been used to examine how infants' early‐life perceptual experiences translate to their semantic knowledge of the world (Vong et al., 2024). Similar approaches may hold potential for understanding whether single face codes, capable of performing the entire range of face processing tasks, can be derived from naturalistic experience with faces (Sugden & Moulson, 2019; Varela et al., 2023).\nQuestion 2: What data sets are needed to support future research? Most of the research papers in this review focused on results obtained from data sets of still‐face photos collected for unfamiliar face identification. However, accurately modelling the human face processing system requires expanding data sets in several directions. First, the community must conduct experiments on video footage, including head movements, gestures, expressions and facial movements while speaking. Second, data acquired from a first‐person perspective would approximate how people view their world. Third, studying the connection between the core and extended face systems requires data sets consisting of visual and semantic information.\nMovies are one source of dynamic information, with the Deep Video Understanding (Curtis et al., 2020) challenge pointing to a method for creating data sets containing visual and semantic information in videos. Vong et al. (2024) demonstrated collecting visual and semantic data from a first‐person perspective (see also (Sugden & Moulson, 2019; Varela et al., 2023)). With advancements in generative AI, we can now also create realistic synthetic imagery to support the development and testing of face processing models. However, synthetic imagery should be an additional tool rather than a substitute for experiments with non‐synthetic data.\nQuestion 3: How are familiar faces and person knowledge represented? The location of a meeting, its social setting – a professional event or family gathering – can help us recognize familiar faces. The extended face processing system connects the core system with broader information about the people we see and links local and social context to stored knowledge about these people. The extended system also processes data from emotions, impressions and fuses multiple sensory modalities. The extended system is clearly activated when viewing familiar faces (see (di Visconti Oleggio Castello et al., 2017; Kovács, 2020; Yovel & O'Toole, 2016) for recent reviews), but how the perceptual representations of faces in the core system connect to this extended system is still an unresolved question. Deep learning approaches have emerged as a promising solution to this question.\nFor example, Shoham et al. (2024) have recently found higher association between human and deep learning face similarity judgements for deep learning architectures that combine image and text to form ‘language‐aligned’ representation. Language‐aligned models bring image similarity and similarity of text found with the face images on the internet into a common code. This approach appears to provide a first step in developing models that produce familiar person codes that incorporate multimodal knowledge associated with a person – along with accumulating visual exposure to the face. As we have discussed, emerging foundation model approaches offer a new capability for this type of integration which has been used to model similar knowledge acquisition from natural environments (Vong et al., 2024; Wang et al., 2023).\n\n\n### CONCLUSIONS\nFukushima (Fukushima, 1980) foreshadowed current research into deep learning face codes as a potential model for the human face processing system and the essence of this approach is captured in the first paragraph:The mechanism of pattern recognition in the brain is little known, and it seems to be almost impossible to reveal it only by conventional physiological experiments. So, we take a slightly different approach to this problem. If we could make a neural network model which has the same capability for pattern recognition as a human being, it would give us a powerful clue to the understanding of the neural mechanism in the brain.\nThe mechanism of pattern recognition in the brain is little known, and it seems to be almost impossible to reveal it only by conventional physiological experiments. So, we take a slightly different approach to this problem. If we could make a neural network model which has the same capability for pattern recognition as a human being, it would give us a powerful clue to the understanding of the neural mechanism in the brain.\nForty‐five years after Fukushima's paper, the success of deep learning face recognition algorithms has opened the door to the potential for deep learning to model the human face processing system. In seven lessons, we have summarized the current state of this research. These lessons present evidence that deep learning has the potential to advance our understanding of how humans process faces while also revealing aspects of human processing that are not yet fully understood.\nThe three questions we raised point to new areas of inquiry for the emerging interdisciplinary field consisting of computational, neuroscience and psychology scientists. Deep learning offers a new basis for comparing candidate models of the face processing system in humans. Different computational paradigms represent hypotheses about the cognitive architectures and information codes that support interchange between the core and extended face processing system. Investigating and testing these paradigms provides the opportunity to understand how humans learn, recognize and understand faces.\n\n\n### AUTHOR CONTRIBUTIONS\nP. Jonathon Phillips: Conceptualization; writing – original draft; writing – review and editing; resources; supervision. David White: Conceptualization; writing – original draft; writing – review and editing; funding acquisition; resources.\n\n\n### DISCLAIMER\nCertain equipment, instruments, software or materials are identified in this paper in order to specify the experimental procedure adequately. Such identification is not intended to imply recommendation or endorsement of any product or service by NIST, nor is it intended to imply that the materials or equipment identified are necessarily the best available for the purpose.", "domain": "affective_neuroscience"}
{"source": "PMC13049197", "title": "Dynamic emotion fabric theory: a new framework for understanding the biology of flexible emotion states", "text": "# Dynamic emotion fabric theory: a new framework for understanding the biology of flexible emotion states\n\n## Abstract\nA central unresolved issue in affective neuroscience is whether human emotions have unique biological signatures in the brain and body. Despite decades of debate, a consensus is lacking on whether emotions are patterned (similar across contexts and characterized by distinct features) or flexible (variable across contexts and lacking distinct features). Studies in other species have revealed the ubiquity of autonomic and motor patterns, and these investigations have elucidated the biology of central pattern generation at the levels of networks, neurons, and synapses. Here, we integrate the knowledge gained from this research and introduce the Dynamic Emotion Fabric Theory (DEFT), a new model of emotions biology. DEFT proposes that, just as fabrics are comprised of both patterns and textures, emotions are accompanied by stereotyped responses that are distinct and recognizable, yet also nuanced and malleable. A neurobiological system that is both automatic—generating patterned reactions essential for survival—and flexible—texturizing each response in context—is equipped to produce the spectrum of human emotions. DEFT provides new insights into the biological basis of emotions and identifies novel areas that warrant further study in humans and other species. This framework has implications for basic affective neuroscience and clinical studies of affective symptoms.\n\n## Full Text\n\n\n### Historical background\nTo situate our perspective in the context of ongoing discussions, we first provide a brief history of Basic Emotion and Constructionist theories. Consistent with other researchers (Adolphs 2017b), we use the term “emotion” to refer to coordinated suites of physiological, behavioral, and experiential changes that arise during emotions. These changes may include changes in autonomic nervous system activity and facial behavior, as well as changes in posture, somatic muscle tone, endocrine activity, and voice prosody (Levenson 2003). Whereas “emotion states” refer to the physical changes in the body that arise during emotions, “experiences” encompass the subjective feelings that loosely align with emotion states (Mauss et al. 2005).\nAccording to Basic Emotion Theory, emotions are families of adaptive, multisystem responses to recurrent themes in life (Tompkins 1963, Cosmides and Tooby 2000, Sznycer et al. 2021). Basic Emotion Theory emphasizes patterning, and emotions are viewed as promoting physical survival and social harmony (Mauss et al. 2005, Ekman and Cordaro 2011, Keltner et al. 2019) and serving as an efficient means of communication across people and cultures (Fridja 1986, Ekman 1992, Keltner and Haidt 1999). During emotions, the autonomic and somatic motor systems produce brief (on the order of seconds), coordinated changes that sweep across the body and influence experience, thought, and action (Tomkins and McCarter 1964, Lazarus 1991, Levenson 1999, 2011, Ekman and Cordaro 2011). No single physiological or motor activity defines an emotion; rather, it is the constellation of changes and attendant feelings that together create an emotion’s unique profile in the brain and body (Ekman 1992, Keltner and Gross 1999, Levenson 2011). Although emotion states are considered organized, biologically distinct events that are similar across instances, Basic Emotion Theory acknowledges that there is room for some variation in responding across individuals and situations (Cordaro et al. 2018).\nThe evidence for Basic Emotion Theory comes from studies finding that emotions are characterized by behavioral and physiological patterns (Ekman and Cordaro 2011, Keltner et al. 2019, Keltner et al. 2019). The origins of this theory can be traced to early scholars. In 1872, Charles Darwin described stereotyped behaviors in non-human animals and noted their resemblance to those of humans (Darwin 1872/1998). Soon after, William James (James 1884) and Carl Lange (Lange 1885) independently proposed that patterned motor and autonomic changes occur during emotions in a similar manner across instances and individuals. These shared ideas would later be unified and known as the James-Lange theory of emotion. Although these initial observations suggested a biological basis to pattern generation, it would be more than 80 years before scientists would examine whether patterned changes in the face and autonomic nervous system characterize human emotions. In the 1960s, Paul Ekman and colleagues found that people from different cultural backgrounds, including those with minimal exposure to outside influences, displayed similar facial behaviors during emotions as people in the United States (Tomkins and McCarter 1964, Ekman et al. 1969, Ekman and Friesen 1971, Izard 1971). This pioneering work suggested that emotion state generation had a biological basis but was limited to a small set of “basic” emotions (Ekman 1992). Later research expanded on these early findings by showing that other emotions are also associated with predictable facial behaviors (Izard 1971, Keltner 1995, Shiota et al. 2003, Matsumoto et al. 2008, Tracy and Robins 2008, Cordaro et al. 2018, Cowen and Keltner 2020). Studies have shown that emotions are also accompanied by distinct sets of physiological changes in the body (Ekman et al. 1983, Levenson et al. 1990, Levenson 1992; Kreibig et al. 2007, Kreibig 2010, Lench et al. 2011, Shiota et al. 2011) that are similar across individuals and ethnic groups (Tsai et al. 2000, Soto et al. 2005, Matsumoto et al. 2008). Infants (Ekman and Oster 1979, Grunau and Craig 1987, Rosenstein and Oster 1988, Oster 2005) and congenitally blind individuals (Freedman 1964, Galati et al. 1997, Galati et al. 2001, Galati et al. 2003, Tracy and Matsumoto 2008, Matsumoto and Willingham 2009) also display typical involuntary facial behaviors to various affective stimuli, providing further evidence that these behaviors are innate and not learned by observing others.\nDespite substantial evidence for emotion-specific patterns, this research has faced growing opposition. Wilhelm Wundt, a physiologist, criticized James’s views soon after his famous essay was published (Wundt and Judd 1902). Nearly 50 years later, Walter Cannon also penned a persuasive criticism of James and provided experimental evidence that supported his own contrasting views (Cannon 1927). In Cannon’s studies of cats, he observed that an injection of adrenaline, which increased sympathetic nervous system activity, caused widespread effects across the body that were similar in various contexts (Cannon 1915). Cannon concluded that the autonomic nervous system lacked specificity, turning on or off as a single unit, and could not produce the refined responses that the James-Lange theory proposed would distinguish among emotions. In what would later be known as the Cannon-Bard theory, Cannon and Philip Bard (Bard 1928) offered an alternative to the James-Lange framework and posited that emotions are not accompanied by patterned changes in the body but instead emerge from an undifferentiated physiological milieu. Decades later, Stanley Schacter and Jerome Singer came to similar conclusions in their research on humans (Schachter and Singer 1962). After being injected with adrenaline, participants reported an increased pulse rate and other bodily sensations (e.g. palpitations). Their behavior and emotional experience, however, varied based on the information they had received about the effects of the injected substance. The authors concluded that emotions do not reflect specific physiological patterns in the body, as the James-Lange theory proposed, but rather emerge as people use contextual information to interpret nonspecific bodily signals. Despite its influence, the Schacter-Singer study has been criticized for methodological limitations and conceptual flaws (Reisenzein 1983).\nConstructionist theories, which include the Conceptual Act Theory and the Theory of Constructed Emotion (Barrett 2006b, 2017b), build on the premise that internal states lack a discernible physiological architecture. Constructionist theories highlight the variability of the physiological and behavioral changes that arise during emotions (Barrett 2006a, 2006b, Barrett et al. 2019) and maintain that emotions arise from a “meaning making” process (Barrett 2012, Hoemann et al. 2019). In this view, each instance of an emotion is formed via psychological interpretation as one makes associations between semantic knowledge and the body’s current conditions (Russell and Barrett 1999, Barrett 2006a, 2006b). Constructionist theories maintain, therefore, that emotions lack unique profiles in the body and brain.\nThe studies of emotion that find more variability than patterning are considered evidence for Constructionist theories. Early support for Constructionist theories came from studies that examined how people use language to describe their emotional experiences. This research found that emotion words (e.g. anger and sadness) can be mapped in an affective space defined by the dimensions of valence and arousal (Russell 1980). Given that emotion words can be reduced to simpler dimensions, Constructionist theories argued that it was more likely that psychological construction, rather than biology, carves boundaries between categories of emotional experience (Russell 2003, Barrett 2006a). In the decades since these initial studies, investigations that emphasize variability in emotion perception and expression across cultures (Jack et al. 2012, Gendron et al. 2014a, 2014b, Crivelli et al. 2016, Chen et al. 2018, Gendron et al. 2018) and contexts (Ruiz-Belda et al. 2003, Fernández-Dols and Crivelli 2013, Hassin et al. 2013, Crivelli et al. 2015) have also concluded that learning and experience shape emotions more than biology. Studies and meta-analyses that fail to find robust emotion-specific neural, autonomic, or behavioral patterns (Phan et al. 2002, Kober et al. 2008, Barrett 2011, Lindquist et al. 2012, Siegel et al. 2018, Behnke et al. 2022) are considered support for Constructionist theories (Lindquist et al. 2012, Barrett et al. 2019).\n\n\n### Basic emotion theory\nAccording to Basic Emotion Theory, emotions are families of adaptive, multisystem responses to recurrent themes in life (Tompkins 1963, Cosmides and Tooby 2000, Sznycer et al. 2021). Basic Emotion Theory emphasizes patterning, and emotions are viewed as promoting physical survival and social harmony (Mauss et al. 2005, Ekman and Cordaro 2011, Keltner et al. 2019) and serving as an efficient means of communication across people and cultures (Fridja 1986, Ekman 1992, Keltner and Haidt 1999). During emotions, the autonomic and somatic motor systems produce brief (on the order of seconds), coordinated changes that sweep across the body and influence experience, thought, and action (Tomkins and McCarter 1964, Lazarus 1991, Levenson 1999, 2011, Ekman and Cordaro 2011). No single physiological or motor activity defines an emotion; rather, it is the constellation of changes and attendant feelings that together create an emotion’s unique profile in the brain and body (Ekman 1992, Keltner and Gross 1999, Levenson 2011). Although emotion states are considered organized, biologically distinct events that are similar across instances, Basic Emotion Theory acknowledges that there is room for some variation in responding across individuals and situations (Cordaro et al. 2018).\nThe evidence for Basic Emotion Theory comes from studies finding that emotions are characterized by behavioral and physiological patterns (Ekman and Cordaro 2011, Keltner et al. 2019, Keltner et al. 2019). The origins of this theory can be traced to early scholars. In 1872, Charles Darwin described stereotyped behaviors in non-human animals and noted their resemblance to those of humans (Darwin 1872/1998). Soon after, William James (James 1884) and Carl Lange (Lange 1885) independently proposed that patterned motor and autonomic changes occur during emotions in a similar manner across instances and individuals. These shared ideas would later be unified and known as the James-Lange theory of emotion. Although these initial observations suggested a biological basis to pattern generation, it would be more than 80 years before scientists would examine whether patterned changes in the face and autonomic nervous system characterize human emotions. In the 1960s, Paul Ekman and colleagues found that people from different cultural backgrounds, including those with minimal exposure to outside influences, displayed similar facial behaviors during emotions as people in the United States (Tomkins and McCarter 1964, Ekman et al. 1969, Ekman and Friesen 1971, Izard 1971). This pioneering work suggested that emotion state generation had a biological basis but was limited to a small set of “basic” emotions (Ekman 1992). Later research expanded on these early findings by showing that other emotions are also associated with predictable facial behaviors (Izard 1971, Keltner 1995, Shiota et al. 2003, Matsumoto et al. 2008, Tracy and Robins 2008, Cordaro et al. 2018, Cowen and Keltner 2020). Studies have shown that emotions are also accompanied by distinct sets of physiological changes in the body (Ekman et al. 1983, Levenson et al. 1990, Levenson 1992; Kreibig et al. 2007, Kreibig 2010, Lench et al. 2011, Shiota et al. 2011) that are similar across individuals and ethnic groups (Tsai et al. 2000, Soto et al. 2005, Matsumoto et al. 2008). Infants (Ekman and Oster 1979, Grunau and Craig 1987, Rosenstein and Oster 1988, Oster 2005) and congenitally blind individuals (Freedman 1964, Galati et al. 1997, Galati et al. 2001, Galati et al. 2003, Tracy and Matsumoto 2008, Matsumoto and Willingham 2009) also display typical involuntary facial behaviors to various affective stimuli, providing further evidence that these behaviors are innate and not learned by observing others.\nDespite substantial evidence for emotion-specific patterns, this research has faced growing opposition. Wilhelm Wundt, a physiologist, criticized James’s views soon after his famous essay was published (Wundt and Judd 1902). Nearly 50 years later, Walter Cannon also penned a persuasive criticism of James and provided experimental evidence that supported his own contrasting views (Cannon 1927). In Cannon’s studies of cats, he observed that an injection of adrenaline, which increased sympathetic nervous system activity, caused widespread effects across the body that were similar in various contexts (Cannon 1915). Cannon concluded that the autonomic nervous system lacked specificity, turning on or off as a single unit, and could not produce the refined responses that the James-Lange theory proposed would distinguish among emotions. In what would later be known as the Cannon-Bard theory, Cannon and Philip Bard (Bard 1928) offered an alternative to the James-Lange framework and posited that emotions are not accompanied by patterned changes in the body but instead emerge from an undifferentiated physiological milieu. Decades later, Stanley Schacter and Jerome Singer came to similar conclusions in their research on humans (Schachter and Singer 1962). After being injected with adrenaline, participants reported an increased pulse rate and other bodily sensations (e.g. palpitations). Their behavior and emotional experience, however, varied based on the information they had received about the effects of the injected substance. The authors concluded that emotions do not reflect specific physiological patterns in the body, as the James-Lange theory proposed, but rather emerge as people use contextual information to interpret nonspecific bodily signals. Despite its influence, the Schacter-Singer study has been criticized for methodological limitations and conceptual flaws (Reisenzein 1983).\n\n\n### Constructionist theories\nConstructionist theories, which include the Conceptual Act Theory and the Theory of Constructed Emotion (Barrett 2006b, 2017b), build on the premise that internal states lack a discernible physiological architecture. Constructionist theories highlight the variability of the physiological and behavioral changes that arise during emotions (Barrett 2006a, 2006b, Barrett et al. 2019) and maintain that emotions arise from a “meaning making” process (Barrett 2012, Hoemann et al. 2019). In this view, each instance of an emotion is formed via psychological interpretation as one makes associations between semantic knowledge and the body’s current conditions (Russell and Barrett 1999, Barrett 2006a, 2006b). Constructionist theories maintain, therefore, that emotions lack unique profiles in the body and brain.\nThe studies of emotion that find more variability than patterning are considered evidence for Constructionist theories. Early support for Constructionist theories came from studies that examined how people use language to describe their emotional experiences. This research found that emotion words (e.g. anger and sadness) can be mapped in an affective space defined by the dimensions of valence and arousal (Russell 1980). Given that emotion words can be reduced to simpler dimensions, Constructionist theories argued that it was more likely that psychological construction, rather than biology, carves boundaries between categories of emotional experience (Russell 2003, Barrett 2006a). In the decades since these initial studies, investigations that emphasize variability in emotion perception and expression across cultures (Jack et al. 2012, Gendron et al. 2014a, 2014b, Crivelli et al. 2016, Chen et al. 2018, Gendron et al. 2018) and contexts (Ruiz-Belda et al. 2003, Fernández-Dols and Crivelli 2013, Hassin et al. 2013, Crivelli et al. 2015) have also concluded that learning and experience shape emotions more than biology. Studies and meta-analyses that fail to find robust emotion-specific neural, autonomic, or behavioral patterns (Phan et al. 2002, Kober et al. 2008, Barrett 2011, Lindquist et al. 2012, Siegel et al. 2018, Behnke et al. 2022) are considered support for Constructionist theories (Lindquist et al. 2012, Barrett et al. 2019).\n\n\n### DEFT encompasses pattern and variation\nIn their extreme forms, Basic Emotion and Constructionist theories may appear incompatible. Imagine a Basic Emotion theorist who believes that human life is characterized by a limited number of discrete emotion states, each with a distinct behavioral and physiological profile associated with a single category of emotional experience and identical across all individuals, instances, and cultures. And now imagine a Constructionist theorist who maintains that emotions are created from scratch as a person interprets a set of random bodily sensations. Without a predictable structure or origin, emotions would vary each time they arose across people and situations, making it impossible to know how others feel from their facial behavior or physiology. If these two individuals were to discuss their views on emotions, it is indeed unlikely that they would find common ground.\nOver the course of decades, more moderate views have emerged. Proponents of Basic Emotion Theory have acknowledged that emotions encompass both stereotypical and flexible elements, and supporters of Constructionist theories have conceded that emotion states may not be entirely unpredictable. Despite these points of potential convergence, the degree to which emotions are patterned or variable continues to be an area of significant disagreement (Levenson 2014, Siegel et al. 2018). See Table 1 for examples of these varying theoretical viewpoints. In our view, fundamental neurobiology holds many of the keys needed to unlock this seemingly unresolvable debate.\nViews on emotion patterning and variability.\nThe writings of emotion theorists from different perspectives reveal some agreement regarding the degree to which emotions are patterned or variable. A selection of quotes is provided to illustrate areas of convergence across researchers.\nWe next describe the cross-species evidence that forms the foundation of DEFT, which starts from the premise that emotion states are both patterned and variable (see Fig. 1). Although the patterned elements of emotions enable the brain to respond rapidly to salient information with reactions that have been honed over evolution, there is also some variability in how emotions emerge across contexts. Like others before us, we view emotions as the “superordinate programs” by which organisms respond to survival-relevant situations (Cosmides and Tooby 2000). While most prior discussions focused on patterning and did not emphasize the flexibility that is also an inherent characteristic of emotion-generating systems, more recent descriptions of emotion states have noted patterned and flexible components (Adolphs 2017b). Little has been offered, however, about the potential sources of pattern and variation in emotions. DEFT integrates the core elements of Basic Emotion Theory and Constructionist theories and describes the potential neurobiological mechanisms that might give rise to pattern and variation in emotion states. While DEFT focuses on emotion states, this framework also points to new questions regarding the associations that might exist between emotion states and emotional experiences.\nPatterning and flexibility in emotion state generation. Basic Emotion and Constructionist theories agree that emotions are comprised of smaller functional units (“ingredients”) that are combined in numerous ways but differ in the extent to which emotions are accompanied by stereotyped or variable autonomic and motor activities. Patterning and flexibility exist on a spectrum but are not mutually exclusive. At one end of the patterning spectrum, emotions are characterized by stereotyped changes. If “X” is a family of specific emotion states (e.g. embarrassment), then a highly patterned view would propose that each instance of an emotion state in that family (“emotion state X1”) is the same every time. At the other end of the patterning spectrum, where patterning is expected to be low, the autonomic and motor changes that accompany emotion states are random and have no predictable structure dictated by biology. DEFT incorporates elements of both patterning (i.e. a medium degree of patterning), which allows for nuance and variability in emotion states across people and contexts. Flexibility in the emotion generation system would enable the composition of emotion states within a family to vary such that emotion state variations (e.g. emotion state X1A and emotion state X1B) arise within one family. These variations of emotion states may have overlapping features and elicit similar subjective experiences.\n\n\n### Brain networks produce patterned outputs\nAccording to ethologists, behavior reflects a fluid series of “patterns in time” (Hinde 1966, Eibl-Eibesfeldt 1970). The brain builds these complex spatiotemporal sequences using a common set of simpler autonomic and motor building blocks, or functional units (Eibl-Eibesfeldt 1970, Jänig and McLachlan 1992b). These functional units can be combined in various ways to produce myriad behaviors (Liem 1967), but species converge on similar behaviors because they are efficient and effective (Tooby and Cosmides 1990). Over time, these pre-programmed “fixed action patterns” are selected for, passed on in the gene pool, and become phenotypic traits in the population (Lorenz 1958, Darwin 1872/1998). Fixed action patterns are present very early in life, before significant learning could have taken place, and include the distinguishing features of a species as well as everyday behaviors (Tinbergen 1951, Hinde 1966, Eibl-Eibesfeldt 1970, Lorenz 1970). It is fixed action patterns that allow horses to buck, peacocks to spread their tail feathers, dogs to scratch, and crabs to pinch their claws (Eibl-Eibesfeldt 1970). Soon after hatching, chicks peck at seeds, scratch the ground, drink, shake when wet, and call loudly when they have lost contact with their mother (Eibl-Eibesfeldt 1970). The fact that these stereotyped motor sequences exist suggests that the nervous system is organized to represent a limited number of patterned behaviors that are critical for survival (Hinde 1966). As there is little time for experimentation in critical life moments, the brain must be able to produce and assemble these functional units in a rapid and predictable manner.\nEthological research documented behavioral patterns in numerous species but could not explain the neurobiological basis of pattern generation. Experimental studies in non-human animals were needed to begin to shed light on the brain circuits that generate patterned physiological and behavioral outputs. These studies found that after removal of the cerebral cortex, animals (often cats) with an intact brainstem and at least some preservation of the hypothalamus were still able to generate various stereotyped autonomic and motor activities (Woodworth and Sherrington 1904, Bazett and Penfield 1922, Cannon and Britton 1925, Bard 1928, 1934). These “defensive behaviors” (also called “sham rage” or “pseudoaffective reflexes”) were characterized by piloerection, teeth-baring, pupil dilation, and cardiac acceleration (Cannon and Britton 1925, Bard 1928). While these behaviors could emerge without provocation or in response to minor disturbances (Bard 1934, Fuchs et al. 1985), they also occurred during electrical stimulation of the central nucleus of the amygdala, hypothalamus, or periaqueductal gray (PAG) (Delgado 1955, Hess and Akert 1955, Skultety 1963, Roberts et al. 1967, Bergquist 1970, Panksepp 1971, Lipp and Hunsperger 1978, Fuchs et al. 1985, Yardley and Hilton 1986, Arthur et al. 1991). Taken together, these early experimental studies revealed that the cerebral cortex was not necessary to produce certain species-typical behaviors.\nMore recent research has expanded on these findings, bringing the cerebral cortex into the fold. As we and others have demonstrated in humans using task-free functional magnetic imaging studies, the pregenual anterior cingulate cortex (pACC)/anterior midcingulate cortex (aMCC) and ventral anterior insula anchor a distributed “salience network” that bears connections with the central nucleus of the amygdala, hypothalamus, and PAG, among other regions (Seeley et al. 2007). Although this neural system has more recently been referred to by other names, such as the “allostatic-interoceptive network” (Kleckner et al. 2017), more often it has been mistakenly regarded as interchangeable with anatomically distinct networks, including the “cingulo-opercular network” (Dosenbach et al. 2007) or “ventral attention network” (Corbetta et al. 2008, Seeley 2019, Dosenbach et al. 2024). As originally conceived, the salience network plays a domain-general role in social-emotional processing by perceiving and responding to a broad range of personally relevant stimuli (Seeley et al. 2007), including pain, temperature, hunger, and thirst (Craig 2002, Saper 2002, Singer et al. 2004), as well as more complex social stimuli, such as praise, scorn, or rejection. The salience network perceives changes in the body (interoception), anticipates and recovers from setpoint deviations (allostasis), and plays a central role in emotion generation and perception (Seeley et al. 2007, Craig 2009, Critchley and Harrison 2013, Damasio and Carvalho 2013, Sturm et al. 2013, Kleckner et al. 2017, Sturm et al. 2018, Seeley 2019; see Fig. 2). Salience network stimulation can elicit a range of physiological, behavioral, and experiential changes (Mullan and Penfield 1959, Selimbeyoglu and Parvizi 2010, Parvizi et al. 2013, Caruana et al. 2018, Parvizi et al. 2022); we contend that the network can produce the full spectrum of emotion states that comprise human experience. How it may achieve this feat is the topic we turn to next.\nDistributed brain networks produce emotion states and experience. Emotions arise after an appraisal process that is influenced by culture, experience, and semantic knowledge, among other factors, as well as emotion regulation goals. By activating hierarchical networks, the salience network directs the generation of patterned autonomic and motor changes during emotions. While different efferent commands could produce various emotion states, afferent information fine-tunes the pattern formation and fosters ongoing adjustments. Emotion-relevant connections are shown here in this simplified model. aMCC = anterior midcingulate cortex; ATL = anterior temporal lobe; blAmy = basolateral amygdala; cAMY = central nucleus of the amygdala; CN = cranial nerve; dAI = dorsal anterior insula; dlPFC = dorsolateral prefrontal cortex; DMNX = dorsal motor nucleus of the vagus; dPI = dorsal posterior insula; dSTR = dorsal striatum; FO = fronto-operculum; Hyp = hypothalamus; IML = intermediolateral column of the spinal cord; lamina I = lamina I spinothalamocortical tract; LC = locus coeruleus; M1 = primary motor cortex; midINS = mid-insula; mOFC = medial orbitofrontal cortex; K-F = Kolliker-Fuse nucleus; lPAR = lateral parietal cortex; NST = nucleus of the solitary tract; pACC pregenual anterior cingulate cortex; PAG = periaqueductal gray; PBN = parabrachial nucleus; Pre-B = pre-Bötzinger complex; preMC = premotor cortex; RVLM = rostral ventrolateral medulla; sACC = subgenual anterior cingulate cortex; SMA = supplementary motor area; SC = spinal cord; vSTR = ventral striatum; vAI = ventral anterior insula; vmB = ventromedial basal nucleus of the thalamus; vmPO = ventromedial posterior nucleus of the thalamus; vlPFC = ventrolateral prefrontal cortex. Adapted with permission from Seeley et al. (2012).\nAt each level of the nervous system, there are structural and functional mechanisms in place to ensure that the brain transmits specific signals to its intended targets in the body. For the salience network to produce patterned changes in the body, it must have the capacity to relay precise signals to peripheral effectors. Through “direct lines” in the autonomic and somatic motor systems, the salience network can produce select changes in the organs, glands, and muscles (Saper et al. 1976, Price and Amaral 1981, Berk and Finkelstein 1982, Holstege et al. 1984, ter Horst et al. 1984, Bandler and Tork 1987, Cechetto and Saper 1988, Gray et al. 1989, Holstege 1991, Dampney 1994, Farkas et al. 1997, Marcilhac and Siaud 1997, Palkovits 1999, Subramanian et al. 2008, Vogt 2016, Fukushi et al. 2019).\nThough long dismissed as only capable of “all or nothing” responses (Cannon 1927), the autonomic nervous system has numerous structural and functional features that promote signaling specificity (Jänig and Szulczyk 1981, Jänig and McLachlan 1992a, Dampney 1994). The premotor autonomic neurons, which synapse on the preganglionic autonomic neurons, originate in the pACC/aMCC, amygdala, hypothalamus, PAG, rostral ventrolateral medulla (RVLM), caudal ventrolateral medulla, and other brainstem nuclei (Dum and Strick 1991, Iversen et al. 2000, Morrison 2001, Vogt 2016). In some of these structures, the premotor neurons are organized in a somatotopic fashion, where neurons that project to the same tissues and muscles are located in close proximity (Dampney and McAllen 1988, Carrive et al. 1989b, Welt and Abbs 1990, Carrive and Bandler 1991b, Dean et al. 1992, McAllen and May 1994, McAllen et al. 1995, Campos and McAllen 1999, Morrison 2001, Horta‐Júnior et al. 2004, Morecraft et al. 2004, Cattaneo and Pavesi 2014). In the RVLM, for example, there are dissociable neuron pools that regulate vascular tone in different organs and muscles (Carrive et al. 1989a, Carrive and Bandler 1991a, Bandler et al. 2000, Bandler et al. 2000). This economical arrangement allows the RVLM to produce vasodilation in specific tissues but not others via target-specific output pathways (McAllen 1986, Jänig and McLachlan 1992a, 1992b, Carrive 1993, McAllen et al. 1995, Morrison 2001).\nThe preganglionic autonomic neurons, which synapse on the postganglionic autonomic neurons, also have structural and functional characteristics that ensure signaling specificity (Rubin and Purves 1980, Appel and Elde 1988, Jänig and McLachlan 1992a, Dampney 1994, Dibona 2000, Morrison 2001). Like the premotor autonomic neurons, the preganglionic autonomic neurons are organized in pathways that support distinct functions (Jänig and Szulczyk 1981, Janig 1988, Jänig and McLachlan 1992a, Morrison 2001). In the sympathetic nervous system, preganglionic vasoconstrictor neurons (which regulate blood vessels in the skin, skeletal muscles, and viscera), sudomotor neurons (which modulate sweat glands), and pilomotor neurons (which control erector pili muscles that lift hair follicles upright) project as separate channels from the intermediolateral column of the spinal cord before exiting the spinal cord and synapsing on the postganglionic autonomic neurons in the sympathetic ganglia (Jänig and Szulczyk 1981, Dampney 1994). The parasympathetic nervous system also features mechanisms that enable precise control of its effectors. Certain vagal neurons, for example, influence cardiac rate by innervating discrete fat pads on the heart; however, these neurons cannot affect other hemodynamic functions, which ensures that their effects on the heart remain selective (Massari et al. 1995, Gatti et al. 1996, Campos and McAllen 1999).\nEven at the neuroeffector junction, where postganglionic autonomic neurons synapse on an effector, signaling specificity mechanisms are in place. The postganglionic autonomic neurons often branch and form multiple neuroeffector junctions with their target tissues, but their firing patterns are selective (David et al. 1992, Cardinali 2018). Each postganglionic autonomic neuron receives a unique constellation of excitatory and inhibitory inputs that determine the circumstances under which it fires and the effects it has on the effectors (Jänig 1985, Lovick 1992, Dampney 1994). When firing, the postganglionic neurons can code precise messages, destined for certain effectors and not others, by using combinations of conventional neurotransmitters (e.g. noradrenaline and acetylcholine), biogenic amines (e.g. dopamine and serotonin), and neuropeptides (e.g. neuropeptide Y and somatostatin) (David et al. 1992, Jänig and McLachlan 1992b).\nTo produce predictable, patterned changes in the body, the brain must not only have precise control of the effectors, but it must also have mechanisms in place that allow it to produce autonomic and motor cascades that are similar across instances. DEFT proposes that by activating central pattern generators (CPGs) within the autonomic and somatic motor systems, the salience network and affiliated large-scale systems can trigger stereotyped, multisystem changes in the body.\nIn humans, the term “CPG” often refers to brain regions associated with the production of autonomic and motor patterns (namely, the hypothalamus, PAG, and central nucleus of the amygdala), but when used in other species, “CPG” takes on a different meaning that reflects the origins of the term in non-human animal research. In 1911, T.G. Brown observed that a dissected spinal cord could generate patterned outputs in the flexor and extensor muscles of a cat’s hind leg (Brown 1911). Although lacking access to sensory information, the deafferented muscles produced alternating movements that resembled walking. More than 50 years later, D.M. Wilson found that, in deafferented locusts that had all flight muscles removed, stimulation of the nerve cord could still produce rhythmic motor patterns that resembled flight (Wilson and Wyman 1965). Later studies showed that CPGs do not require sensory information or input from other internal or external sources for pattern generation (Marder and Calabrese 1996, Marder and Bucher 2001). In these experiments, the relevant pattern-generating parts of the nervous system were removed from the animals and placed in a dish containing only physiological saline (Marder and Bucher 2001). Although these neuron preparations lacked all inputs from sense organs and other brain regions, they were still able to produce “fictive motor patterns” (i.e. motor outputs recorded from nerves or ventral roots that do not produce overt movement) that resembled those observed during actual behavior of the living animal (Marder and Calabrese 1996, Selverston 2010, Frigon 2012). When the spinal cord of the lamprey, for example, was removed and studied in vitro, the motor neurons generated a swimming pattern that had many typical features of embodied swimming (Wallén and Williams 1984). Collectively, these and other studies revealed the existence of CPGs, circuits (usually in the brainstem or spinal cord) that could produce predictable autonomic or motor outputs even in the absence of sensory information or descending commands (Marder and Calabrese 1996, Grillner 2003). Given that much is unknown about which circuits in humans are best conceptualized as CPGs, we use the term “CPG” here in a broad sense to capture any central nervous system circuit that templates part of a predictable autonomic or motor output (Grillner 2006).\nMuch of what is known about CPGs still comes from studies of simpler organisms (e.g. mollusks, locusts, leeches, stick insects, and snails) at a level of precision that is not yet possible in humans (see Table 2). As simple invertebrates may have only hundreds of neurons, all neurons in a CPG can be identified (Kiehn 2011). To be considered part of a CPG, a neuron must fire with the other neurons and act as an integral member of the ensemble (Selverston 2010), such that silencing its participation alters the CPG’s output (Getting 1989, Ramirez and Richter 1996, Ramirez 1998, Straub et al. 2002, Katz et al. 2004). Invertebrates possess many of the same cellular and molecular CPG building blocks that humans do, and research in these species has elucidated the network, cellular, and synaptic properties of CPGs that allow them to produce predictable autonomic and motor activities (Bucher et al. 2015). Many CPGs are either tonically active (e.g. heart rate and breathing) and/or produce outputs that are rhythmic in nature (e.g. walking or swimming). Other CPGs (e.g. coughing, sneezing, and swallowing) are silent under resting conditions (Getting 1981, Briggman and Kristan Jr 2008) and generate outputs that lack a rhythmic quality and are discrete and reflex-like (Jean 2001).\nCross-species evidence for CPGs.\nExamples of pattern-generating circuits in invertebrates and vertebrates.\nTo understand a CPG’s output requires structural and functional information about its component neurons and their interactions (Selverston 2010, Miles and Sillar 2011). As the physical configuration of the neurons in a CPG is highly ordered (Selverston 2010), the firing pattern of the CPG is consistent across animals within a species (Marder 1998, Toledo-Rodriguez et al. 2005) as the action potentials unfold across the neurons in a specific order (Yuste et al. 2005, Briggman and Kristan Jr 2008). Each neuron plays a unique role in the pattern formation that reflects its own distinctive “personality.” The cellular properties (e.g. resting membrane potential), constellation of voltage-gated ion channels and receptor proteins, and synaptic characteristics (Marder and Calabrese 1996) determine whether a neuron is fast-spiking (depolarizing and repolarizing quickly) or slow-spiking (firing at a lower threshold, at a slower pace, and with a more gradual return to resting state) (Getting 1989, Marder and Calabrese 1996, Calabrese 1998, Marder and Bucher 2001, Selverston 2010). Inhibitory mechanisms (e.g. post-spike hyperpolarization) fine-tune CPG firing by preventing hyperexcitability, making neurons less likely to depolarize, and influencing when neurons terminate bursting (Marder 1998; Yuste et al. 2005). When all the parameters of a CPG’s neurons are known, it is possible to predict when the CPG will fire as well as its outputs (Grillner 2006, Selverston 2010).\nSome CPGs control simple functional units, but CPGs can work together to build more complex autonomic and motor patterns. When arranged in hierarchical networks, CPGs of increasing complexity can coordinate the activities of those with more limited functions (Jing and Weiss 2005). Locomotion, for instance, involves higher-order CPGs that move the legs in a walking pattern as well as simpler CPGs that control the functional units within the joints and muscles. Hierarchical CPG networks coordinate the movements of the limbs, joints, and muscles to enable the organism to walk in a predictable and recognizable manner (Bässler and Büschges 1998).\nDEFT proposes that the brain builds emotion states, just as it produces other complex behaviors, via hierarchical CPG networks. By combining simpler autonomic and motor building blocks in various ways (Tooby and Cosmides 1990, Sznycer et al. 2021), the salience network and its allies could generate the predictable suites of autonomic and motor activities that characterize emotion states (see Fig. 3). The CPGs that are involved in human emotions may be as heterogeneous as those found in other species. While tonically active CPGs may shift their activity patterns during emotions, other CPGs may only activate under certain circumstances. These CPGs may produce autonomic and motor changes that are integral components of emotion states (e.g. a blush in the cheeks, a brow furrow, or sweating in the hands). To produce multisystem responses, the brain must organize disparate activities in the body that are not usually linked, a rapid, cross-system coordination that has been documented in simpler organisms. In locusts, for example, the CPGs that produce flight and respiration are typically uncoordinated but become yoked when the animal flies; that is, during flight, the neurons that support respiration begin to fire in tandem with the rhythm of the wingbeat (Ramirez 1998). While some CPGs determine which motor neurons are activated, others may control the timing of the firing patterns (Frigon 2012).\nHierarchical CPG networks produce flexible emotion states. DEFT proposes that the salience network and its affiliates produce patterned yet flexible emotion states via hierarchical CPG networks within the autonomic nervous and somatic motor systems. During each emotion state (e.g. Emotion State 1 and Emotion State 2), a unique activation pattern in the brain might trigger a suite of patterned changes in the body by influencing CPG networks in specific ways. Different emotion states with common ingredients (e.g. cardiac acceleration) might share certain features but differ in others (e.g. face touch in Emotion State 1 but not in Emotion State 2). Neural network inputs, afferent information, and neuromodulators provide continuous inputs into the emotion generation system and add flexibility to emotion states. These factors can allow the brain to produce numerous iterations of a single emotion state (e.g. Emotion States 1A and 1B as well as Emotion States 2A and 2B) and to integrate inputs from other networks that support cognitive processes (e.g. appraisal and emotion regulation) as well as current bodily conditions into the process of emotion state generation. Photographs courtesy of Sarah Holley.\nLike prior neuroanatomical models, DEFT posits that the pACC/aMCC plays a central role in emotion state generation (Vogt 2005, Craig 2009, Seeley et al. 2012, Critchley and Harrison 2013, Damasio and Carvalho 2013). The pACC/aMCC works in close coordination with the ventral anterior insula, which closes the loop by representing the bodily changes mobilized by the pACC/aMCC (Heimer and Van Hoesen 2006). Although it is unknown whether the pACC/aMCC and ventral anterior insula coordinate the activities of hierarchical CPG networks or house CPGs themselves, this issue may be difficult to resolve considering that it is challenging to distinguish CPGs from closely connected descending command centers even in simple organisms (Bucher et al. 2015). Other structures within the salience network are also important for building complex patterns. CPGs in the medulla and pons control many basic physiological processes (Carrive et al. 1989a, Bandler and Keay 1996, An et al. 1998, Dergacheva et al. 2010), but the midbrain PAG may be essential for “bundling” response elements into multisystem emotion states (Carrive et al. 1989b, Bandler and Keay 1996, Keay et al. 1997, Bandler et al. 2000, Subramanian et al. 2008, Holstege 2014). The central nucleus of the amygdala, with input from the hypothalamus, may help to adjust the intensity of a response in context (Kapp et al. 1994, Holstege 2002).\n\n\n### Autonomic and somatic motor pathways promote signaling specificity\nAt each level of the nervous system, there are structural and functional mechanisms in place to ensure that the brain transmits specific signals to its intended targets in the body. For the salience network to produce patterned changes in the body, it must have the capacity to relay precise signals to peripheral effectors. Through “direct lines” in the autonomic and somatic motor systems, the salience network can produce select changes in the organs, glands, and muscles (Saper et al. 1976, Price and Amaral 1981, Berk and Finkelstein 1982, Holstege et al. 1984, ter Horst et al. 1984, Bandler and Tork 1987, Cechetto and Saper 1988, Gray et al. 1989, Holstege 1991, Dampney 1994, Farkas et al. 1997, Marcilhac and Siaud 1997, Palkovits 1999, Subramanian et al. 2008, Vogt 2016, Fukushi et al. 2019).\nThough long dismissed as only capable of “all or nothing” responses (Cannon 1927), the autonomic nervous system has numerous structural and functional features that promote signaling specificity (Jänig and Szulczyk 1981, Jänig and McLachlan 1992a, Dampney 1994). The premotor autonomic neurons, which synapse on the preganglionic autonomic neurons, originate in the pACC/aMCC, amygdala, hypothalamus, PAG, rostral ventrolateral medulla (RVLM), caudal ventrolateral medulla, and other brainstem nuclei (Dum and Strick 1991, Iversen et al. 2000, Morrison 2001, Vogt 2016). In some of these structures, the premotor neurons are organized in a somatotopic fashion, where neurons that project to the same tissues and muscles are located in close proximity (Dampney and McAllen 1988, Carrive et al. 1989b, Welt and Abbs 1990, Carrive and Bandler 1991b, Dean et al. 1992, McAllen and May 1994, McAllen et al. 1995, Campos and McAllen 1999, Morrison 2001, Horta‐Júnior et al. 2004, Morecraft et al. 2004, Cattaneo and Pavesi 2014). In the RVLM, for example, there are dissociable neuron pools that regulate vascular tone in different organs and muscles (Carrive et al. 1989a, Carrive and Bandler 1991a, Bandler et al. 2000, Bandler et al. 2000). This economical arrangement allows the RVLM to produce vasodilation in specific tissues but not others via target-specific output pathways (McAllen 1986, Jänig and McLachlan 1992a, 1992b, Carrive 1993, McAllen et al. 1995, Morrison 2001).\nThe preganglionic autonomic neurons, which synapse on the postganglionic autonomic neurons, also have structural and functional characteristics that ensure signaling specificity (Rubin and Purves 1980, Appel and Elde 1988, Jänig and McLachlan 1992a, Dampney 1994, Dibona 2000, Morrison 2001). Like the premotor autonomic neurons, the preganglionic autonomic neurons are organized in pathways that support distinct functions (Jänig and Szulczyk 1981, Janig 1988, Jänig and McLachlan 1992a, Morrison 2001). In the sympathetic nervous system, preganglionic vasoconstrictor neurons (which regulate blood vessels in the skin, skeletal muscles, and viscera), sudomotor neurons (which modulate sweat glands), and pilomotor neurons (which control erector pili muscles that lift hair follicles upright) project as separate channels from the intermediolateral column of the spinal cord before exiting the spinal cord and synapsing on the postganglionic autonomic neurons in the sympathetic ganglia (Jänig and Szulczyk 1981, Dampney 1994). The parasympathetic nervous system also features mechanisms that enable precise control of its effectors. Certain vagal neurons, for example, influence cardiac rate by innervating discrete fat pads on the heart; however, these neurons cannot affect other hemodynamic functions, which ensures that their effects on the heart remain selective (Massari et al. 1995, Gatti et al. 1996, Campos and McAllen 1999).\nEven at the neuroeffector junction, where postganglionic autonomic neurons synapse on an effector, signaling specificity mechanisms are in place. The postganglionic autonomic neurons often branch and form multiple neuroeffector junctions with their target tissues, but their firing patterns are selective (David et al. 1992, Cardinali 2018). Each postganglionic autonomic neuron receives a unique constellation of excitatory and inhibitory inputs that determine the circumstances under which it fires and the effects it has on the effectors (Jänig 1985, Lovick 1992, Dampney 1994). When firing, the postganglionic neurons can code precise messages, destined for certain effectors and not others, by using combinations of conventional neurotransmitters (e.g. noradrenaline and acetylcholine), biogenic amines (e.g. dopamine and serotonin), and neuropeptides (e.g. neuropeptide Y and somatostatin) (David et al. 1992, Jänig and McLachlan 1992b).\n\n\n### Pattern-generating circuits produce predictable outputs\nTo produce predictable, patterned changes in the body, the brain must not only have precise control of the effectors, but it must also have mechanisms in place that allow it to produce autonomic and motor cascades that are similar across instances. DEFT proposes that by activating central pattern generators (CPGs) within the autonomic and somatic motor systems, the salience network and affiliated large-scale systems can trigger stereotyped, multisystem changes in the body.\nIn humans, the term “CPG” often refers to brain regions associated with the production of autonomic and motor patterns (namely, the hypothalamus, PAG, and central nucleus of the amygdala), but when used in other species, “CPG” takes on a different meaning that reflects the origins of the term in non-human animal research. In 1911, T.G. Brown observed that a dissected spinal cord could generate patterned outputs in the flexor and extensor muscles of a cat’s hind leg (Brown 1911). Although lacking access to sensory information, the deafferented muscles produced alternating movements that resembled walking. More than 50 years later, D.M. Wilson found that, in deafferented locusts that had all flight muscles removed, stimulation of the nerve cord could still produce rhythmic motor patterns that resembled flight (Wilson and Wyman 1965). Later studies showed that CPGs do not require sensory information or input from other internal or external sources for pattern generation (Marder and Calabrese 1996, Marder and Bucher 2001). In these experiments, the relevant pattern-generating parts of the nervous system were removed from the animals and placed in a dish containing only physiological saline (Marder and Bucher 2001). Although these neuron preparations lacked all inputs from sense organs and other brain regions, they were still able to produce “fictive motor patterns” (i.e. motor outputs recorded from nerves or ventral roots that do not produce overt movement) that resembled those observed during actual behavior of the living animal (Marder and Calabrese 1996, Selverston 2010, Frigon 2012). When the spinal cord of the lamprey, for example, was removed and studied in vitro, the motor neurons generated a swimming pattern that had many typical features of embodied swimming (Wallén and Williams 1984). Collectively, these and other studies revealed the existence of CPGs, circuits (usually in the brainstem or spinal cord) that could produce predictable autonomic or motor outputs even in the absence of sensory information or descending commands (Marder and Calabrese 1996, Grillner 2003). Given that much is unknown about which circuits in humans are best conceptualized as CPGs, we use the term “CPG” here in a broad sense to capture any central nervous system circuit that templates part of a predictable autonomic or motor output (Grillner 2006).\nMuch of what is known about CPGs still comes from studies of simpler organisms (e.g. mollusks, locusts, leeches, stick insects, and snails) at a level of precision that is not yet possible in humans (see Table 2). As simple invertebrates may have only hundreds of neurons, all neurons in a CPG can be identified (Kiehn 2011). To be considered part of a CPG, a neuron must fire with the other neurons and act as an integral member of the ensemble (Selverston 2010), such that silencing its participation alters the CPG’s output (Getting 1989, Ramirez and Richter 1996, Ramirez 1998, Straub et al. 2002, Katz et al. 2004). Invertebrates possess many of the same cellular and molecular CPG building blocks that humans do, and research in these species has elucidated the network, cellular, and synaptic properties of CPGs that allow them to produce predictable autonomic and motor activities (Bucher et al. 2015). Many CPGs are either tonically active (e.g. heart rate and breathing) and/or produce outputs that are rhythmic in nature (e.g. walking or swimming). Other CPGs (e.g. coughing, sneezing, and swallowing) are silent under resting conditions (Getting 1981, Briggman and Kristan Jr 2008) and generate outputs that lack a rhythmic quality and are discrete and reflex-like (Jean 2001).\nCross-species evidence for CPGs.\nExamples of pattern-generating circuits in invertebrates and vertebrates.\nTo understand a CPG’s output requires structural and functional information about its component neurons and their interactions (Selverston 2010, Miles and Sillar 2011). As the physical configuration of the neurons in a CPG is highly ordered (Selverston 2010), the firing pattern of the CPG is consistent across animals within a species (Marder 1998, Toledo-Rodriguez et al. 2005) as the action potentials unfold across the neurons in a specific order (Yuste et al. 2005, Briggman and Kristan Jr 2008). Each neuron plays a unique role in the pattern formation that reflects its own distinctive “personality.” The cellular properties (e.g. resting membrane potential), constellation of voltage-gated ion channels and receptor proteins, and synaptic characteristics (Marder and Calabrese 1996) determine whether a neuron is fast-spiking (depolarizing and repolarizing quickly) or slow-spiking (firing at a lower threshold, at a slower pace, and with a more gradual return to resting state) (Getting 1989, Marder and Calabrese 1996, Calabrese 1998, Marder and Bucher 2001, Selverston 2010). Inhibitory mechanisms (e.g. post-spike hyperpolarization) fine-tune CPG firing by preventing hyperexcitability, making neurons less likely to depolarize, and influencing when neurons terminate bursting (Marder 1998; Yuste et al. 2005). When all the parameters of a CPG’s neurons are known, it is possible to predict when the CPG will fire as well as its outputs (Grillner 2006, Selverston 2010).\n\n\n### Hierarchical CPG networks produce more complex autonomic and motor patterns\nSome CPGs control simple functional units, but CPGs can work together to build more complex autonomic and motor patterns. When arranged in hierarchical networks, CPGs of increasing complexity can coordinate the activities of those with more limited functions (Jing and Weiss 2005). Locomotion, for instance, involves higher-order CPGs that move the legs in a walking pattern as well as simpler CPGs that control the functional units within the joints and muscles. Hierarchical CPG networks coordinate the movements of the limbs, joints, and muscles to enable the organism to walk in a predictable and recognizable manner (Bässler and Büschges 1998).\nDEFT proposes that the brain builds emotion states, just as it produces other complex behaviors, via hierarchical CPG networks. By combining simpler autonomic and motor building blocks in various ways (Tooby and Cosmides 1990, Sznycer et al. 2021), the salience network and its allies could generate the predictable suites of autonomic and motor activities that characterize emotion states (see Fig. 3). The CPGs that are involved in human emotions may be as heterogeneous as those found in other species. While tonically active CPGs may shift their activity patterns during emotions, other CPGs may only activate under certain circumstances. These CPGs may produce autonomic and motor changes that are integral components of emotion states (e.g. a blush in the cheeks, a brow furrow, or sweating in the hands). To produce multisystem responses, the brain must organize disparate activities in the body that are not usually linked, a rapid, cross-system coordination that has been documented in simpler organisms. In locusts, for example, the CPGs that produce flight and respiration are typically uncoordinated but become yoked when the animal flies; that is, during flight, the neurons that support respiration begin to fire in tandem with the rhythm of the wingbeat (Ramirez 1998). While some CPGs determine which motor neurons are activated, others may control the timing of the firing patterns (Frigon 2012).\nHierarchical CPG networks produce flexible emotion states. DEFT proposes that the salience network and its affiliates produce patterned yet flexible emotion states via hierarchical CPG networks within the autonomic nervous and somatic motor systems. During each emotion state (e.g. Emotion State 1 and Emotion State 2), a unique activation pattern in the brain might trigger a suite of patterned changes in the body by influencing CPG networks in specific ways. Different emotion states with common ingredients (e.g. cardiac acceleration) might share certain features but differ in others (e.g. face touch in Emotion State 1 but not in Emotion State 2). Neural network inputs, afferent information, and neuromodulators provide continuous inputs into the emotion generation system and add flexibility to emotion states. These factors can allow the brain to produce numerous iterations of a single emotion state (e.g. Emotion States 1A and 1B as well as Emotion States 2A and 2B) and to integrate inputs from other networks that support cognitive processes (e.g. appraisal and emotion regulation) as well as current bodily conditions into the process of emotion state generation. Photographs courtesy of Sarah Holley.\nLike prior neuroanatomical models, DEFT posits that the pACC/aMCC plays a central role in emotion state generation (Vogt 2005, Craig 2009, Seeley et al. 2012, Critchley and Harrison 2013, Damasio and Carvalho 2013). The pACC/aMCC works in close coordination with the ventral anterior insula, which closes the loop by representing the bodily changes mobilized by the pACC/aMCC (Heimer and Van Hoesen 2006). Although it is unknown whether the pACC/aMCC and ventral anterior insula coordinate the activities of hierarchical CPG networks or house CPGs themselves, this issue may be difficult to resolve considering that it is challenging to distinguish CPGs from closely connected descending command centers even in simple organisms (Bucher et al. 2015). Other structures within the salience network are also important for building complex patterns. CPGs in the medulla and pons control many basic physiological processes (Carrive et al. 1989a, Bandler and Keay 1996, An et al. 1998, Dergacheva et al. 2010), but the midbrain PAG may be essential for “bundling” response elements into multisystem emotion states (Carrive et al. 1989b, Bandler and Keay 1996, Keay et al. 1997, Bandler et al. 2000, Subramanian et al. 2008, Holstege 2014). The central nucleus of the amygdala, with input from the hypothalamus, may help to adjust the intensity of a response in context (Kapp et al. 1994, Holstege 2002).\n\n\n### Multiple sources add texture to patterned outputs\nAt first, the ethologists contended that neither external nor internal influences could modify a fixed action pattern (Tinbergen 1951, Lorenz 1958, Barlow 1977). Soon, however, they discovered a spectrum of malleability (Barlow 1968). George Barlow (1968) observed that if a fixed action pattern consisted of several functional units (A, B, C, and D), these functional units usually appeared in certain predictable sequences, such as AB, ABC, and ABCD, but not others, such as ACD or DCA. He also noted that within a motor sequence, there were many points of modifiability. Irenäus Eibl-Eibesfeldt (1970) elaborated on these findings, observing that across various instances of a sequence, there was some variation in which functional units were included and in what order (Eibl-Eibesfeldt 1970). The temporal dynamics of the sequence, including the duration of the functional units and the pauses between, were other sources of variation.\nIt turns out that multiple factors influence how a pattern unfolds. The ethologists began to appreciate that both external (e.g. features of the eliciting stimulus) and internal (e.g. sensory feedback from the body) factors shaped a pattern as it emerged (Tinbergen 1960, Hinde 1966, Barlow 1977). For example, when approached by a mate, an orange chromide fish exhibits a stereotyped sequence of courtship behaviors that includes moving its head from side to side and opening and closing its back pelvic fins (Barlow 1968). Flexibility in the motor sequence enables the fish to adjust the duration and amplitude of its movements when a potential mate is of a different size, at a different distance, or exhibiting different behaviors. Later studies showed that flexibility is an inherent feature of CPG networks (Miles and Sillar 2011).\nThe human nervous system can also produce patterned yet flexible responses. As emotion states are situated in specific contexts, they have reliable characteristics (Cordaro et al. 2018) but do not always look the same (Jack and Schyns 2015). While there may be certain core features of emotion states that are consistent across instances, there is also variation in which components arise, how intensely, and for how long. We and others have shown that the embarrassment response, for example, may or may not include a face-touch in addition to smile control, gaze aversion, and blushing (Keltner 1995, Sturm et al. 2008). There is similar variability in other, if not all, emotion states. Ekman observed over 60 facial behaviors related to anger, for example. When angry, people may press their lips, glare their eyes, and lift a fist, or they may exhibit only a subset of these elements (Ekman 1992). Without flexibility in the CPG networks that produce emotion states, even routine affective behavior would feel robotic and bizarre.\nIn living organisms, CPGs do not exist in isolation but receive inputs from numerous other bodily systems and brain structures. As research in other species has demonstrated, multiple inputs can expand a CPG’s repertoire beyond a single pattern (Briggman and Kristan Jr 2008). DEFT proposes that internal and external influences allow the brain to create the numerous versions of emotion states that can arise across individuals and cultures (Elfenbein 2013, Cowen et al. 2019). We outline these potential sources of variation next.\nNeural networks that support cognitive processes may have a profound impact on human CPG activity. Even in invertebrates, signals from descending command centers influence CPG functioning (Bucher et al. 2015). Although it is likely that many neural networks modify CPG functioning in humans, we describe several systems that may play critical roles in shaping how emotion states are generated.\nIn non-human animals, life experiences shape CPG functioning (Yuste et al. 2005), and this may also be true in humans. As experiences shape how episodic and semantic memory networks function (Walsh and Rissman 2023), learning and memory may influence CPG operations. Prior life events may also shape the traits and behaviors that we value and our responses in situations with high personal stakes (Sznycer et al. 2021). Our knowledge and life experiences may influence which CPGs fire and how easily, or they may modify the spatiotemporal dynamics of the emotion states that are produced.\nMore than other species, humans have the capacity to modulate their emotions to achieve their goals. Appraisal processes influence which emotions are elicited (Scherer 2009, Ellsworth 2013), but people can modify how their emotions unfold once in motion. Emotion regulation refers to the ability to select which emotions we experience and when (Gross 2015), and it is likely that these processes also shape CPG activity. There are numerous forms of implicit and explicit emotion regulation (e.g. reappraisal, distraction, affect labeling, or attentional deployment) (Braunstein et al. 2017). As people can employ each of these strategies to make certain emotions less likely, reduce or amplify an emotion state or experience once it has begun, or add/subtract response elements, inputs from the neural networks that support emotion regulation may also influence CPG functioning.\nDuring rest and emotions, there is an ongoing stream of afferent information that travels from the body to the brain. These signals color experience and help the body anticipate and recover from changes in the internal milieu (Iversen et al. 2000, Barrett and Simmons 2015, Kleckner et al. 2017, Barrett 2017b, Touroutoglou et al. 2019). In humans, interoceptive information from the organs and muscles travels through the brainstem autonomic nuclei via vagal afferents and the lamina I spinothalamocortical tract before heading onward to the thalamus, posterior insula, mid-insula, and ventral anterior insula (Damasio 1994, Craig 2003, 2011, Critchley and Harrison 2013, Damasio and Carvalho 2013). The hypothalamus also receives information about the external and internal conditions of the body via the blood and other sources, monitoring hormone levels, temperature, bodily energetics, plasma osmolality, and other metabolic states that are used to regulate the body (Goel et al. 2025).\nDEFT suggests that the dynamic interplay between efferent and afferent systems may shape CPG activity at rest and during the generation of emotion states. At rest, afferent information may influence CPG activity, setting the stage for which emotion states are more (or less) likely to arise. The brain may also use interoceptive and circulating signals to modify ongoing CPG activity as emotion states arise in brief bursts (Pasquini et al. 2023). For example, a surge of sympathetic activity during an emotion state may be quickly countered by an increase in parasympathetic activity as the brain attempts to achieve homeostasis. The myriad ways that afferent information might influence emotion state dynamics remain unknown.\nNeuromodulators are molecules in the extracellular milieu that can modulate CPG activity (Marder and Calabrese 1996, Grillner 2003, Yuste et al. 2005, Miles and Sillar 2011). Conventional neurotransmitters, such as serotonin and norepinephrine, as well as hormones like cortisol, can function as neuromodulators. Hormones that act as neuromodulators are not released by local neurons but instead reach CPGs via the circulatory system or cerebrospinal fluid (Bucher et al. 2015). As neuromodulators do not affect neurons in a fast, one-to-one manner, their volume transmission effects are often more spatially and temporally diffuse (Briggman and Kristan Jr 2008, Selverston 2010).\nLike neural network inputs and afferent information, shifting concentrations of neuromodulators enhance the plasticity of CPGs. By altering neuronal excitability, membrane properties, and the strength of synaptic connections (Bucher et al. 2015), neuromodulators in the brain or spinal cord can influence the firing patterns of CPG neurons (Marder et al. 2014). Neuromodulators can not only fine-tune CPG network activity but can also “functionally rewire” a CPG and allow the circuit to generate varying outputs (Marder 1998, McLean and Sillar 2004, Büschges 2005, Briggman and Kristan Jr 2008, Harris-Warrick 2010, Selverston 2010). In some cases, neuromodulators alter a CPG network’s output in a graded fashion, such as changing its output from breathing to gasping. In other cases, neuromodulators enable a CPG network to produce multiple distinct outputs (Marder and Calabrese 1996, Marder and Bucher 2001, Büschges 2005, Jing and Weiss 2005). In tadpoles, for example, the same pool of CPG neurons can produce swimming and struggling behaviors. The presence of neuromodulators determines the level of neuronal excitation, which, in turn, dictates which behavior the CPG network produces (Soffe 1993, 1996). By encouraging CPGs to interact with other CPGs in new ways, neuromodulators can also allow these pattern-generating circuits to produce outputs that differ from those of the original circuits (Meyrand et al. 1991, Miles and Sillar 2011).\nLocal concentrations of neuromodulators may increase or decrease the likelihood that neurons will fire (Briggman and Kristan Jr 2008), and DEFT posits that neuromodulators may also influence emotion state generation. By altering the likelihood that certain emotion states are produced or how they unfold once underway, neuromodulators may enable CPGs to generate numerous iterations of otherwise patterned outputs.\n\n\n### Neural network inputs\nNeural networks that support cognitive processes may have a profound impact on human CPG activity. Even in invertebrates, signals from descending command centers influence CPG functioning (Bucher et al. 2015). Although it is likely that many neural networks modify CPG functioning in humans, we describe several systems that may play critical roles in shaping how emotion states are generated.\nIn non-human animals, life experiences shape CPG functioning (Yuste et al. 2005), and this may also be true in humans. As experiences shape how episodic and semantic memory networks function (Walsh and Rissman 2023), learning and memory may influence CPG operations. Prior life events may also shape the traits and behaviors that we value and our responses in situations with high personal stakes (Sznycer et al. 2021). Our knowledge and life experiences may influence which CPGs fire and how easily, or they may modify the spatiotemporal dynamics of the emotion states that are produced.\nMore than other species, humans have the capacity to modulate their emotions to achieve their goals. Appraisal processes influence which emotions are elicited (Scherer 2009, Ellsworth 2013), but people can modify how their emotions unfold once in motion. Emotion regulation refers to the ability to select which emotions we experience and when (Gross 2015), and it is likely that these processes also shape CPG activity. There are numerous forms of implicit and explicit emotion regulation (e.g. reappraisal, distraction, affect labeling, or attentional deployment) (Braunstein et al. 2017). As people can employ each of these strategies to make certain emotions less likely, reduce or amplify an emotion state or experience once it has begun, or add/subtract response elements, inputs from the neural networks that support emotion regulation may also influence CPG functioning.\n\n\n### Afferent information\nDuring rest and emotions, there is an ongoing stream of afferent information that travels from the body to the brain. These signals color experience and help the body anticipate and recover from changes in the internal milieu (Iversen et al. 2000, Barrett and Simmons 2015, Kleckner et al. 2017, Barrett 2017b, Touroutoglou et al. 2019). In humans, interoceptive information from the organs and muscles travels through the brainstem autonomic nuclei via vagal afferents and the lamina I spinothalamocortical tract before heading onward to the thalamus, posterior insula, mid-insula, and ventral anterior insula (Damasio 1994, Craig 2003, 2011, Critchley and Harrison 2013, Damasio and Carvalho 2013). The hypothalamus also receives information about the external and internal conditions of the body via the blood and other sources, monitoring hormone levels, temperature, bodily energetics, plasma osmolality, and other metabolic states that are used to regulate the body (Goel et al. 2025).\nDEFT suggests that the dynamic interplay between efferent and afferent systems may shape CPG activity at rest and during the generation of emotion states. At rest, afferent information may influence CPG activity, setting the stage for which emotion states are more (or less) likely to arise. The brain may also use interoceptive and circulating signals to modify ongoing CPG activity as emotion states arise in brief bursts (Pasquini et al. 2023). For example, a surge of sympathetic activity during an emotion state may be quickly countered by an increase in parasympathetic activity as the brain attempts to achieve homeostasis. The myriad ways that afferent information might influence emotion state dynamics remain unknown.\n\n\n### Neuromodulators\nNeuromodulators are molecules in the extracellular milieu that can modulate CPG activity (Marder and Calabrese 1996, Grillner 2003, Yuste et al. 2005, Miles and Sillar 2011). Conventional neurotransmitters, such as serotonin and norepinephrine, as well as hormones like cortisol, can function as neuromodulators. Hormones that act as neuromodulators are not released by local neurons but instead reach CPGs via the circulatory system or cerebrospinal fluid (Bucher et al. 2015). As neuromodulators do not affect neurons in a fast, one-to-one manner, their volume transmission effects are often more spatially and temporally diffuse (Briggman and Kristan Jr 2008, Selverston 2010).\nLike neural network inputs and afferent information, shifting concentrations of neuromodulators enhance the plasticity of CPGs. By altering neuronal excitability, membrane properties, and the strength of synaptic connections (Bucher et al. 2015), neuromodulators in the brain or spinal cord can influence the firing patterns of CPG neurons (Marder et al. 2014). Neuromodulators can not only fine-tune CPG network activity but can also “functionally rewire” a CPG and allow the circuit to generate varying outputs (Marder 1998, McLean and Sillar 2004, Büschges 2005, Briggman and Kristan Jr 2008, Harris-Warrick 2010, Selverston 2010). In some cases, neuromodulators alter a CPG network’s output in a graded fashion, such as changing its output from breathing to gasping. In other cases, neuromodulators enable a CPG network to produce multiple distinct outputs (Marder and Calabrese 1996, Marder and Bucher 2001, Büschges 2005, Jing and Weiss 2005). In tadpoles, for example, the same pool of CPG neurons can produce swimming and struggling behaviors. The presence of neuromodulators determines the level of neuronal excitation, which, in turn, dictates which behavior the CPG network produces (Soffe 1993, 1996). By encouraging CPGs to interact with other CPGs in new ways, neuromodulators can also allow these pattern-generating circuits to produce outputs that differ from those of the original circuits (Meyrand et al. 1991, Miles and Sillar 2011).\nLocal concentrations of neuromodulators may increase or decrease the likelihood that neurons will fire (Briggman and Kristan Jr 2008), and DEFT posits that neuromodulators may also influence emotion state generation. By altering the likelihood that certain emotion states are produced or how they unfold once underway, neuromodulators may enable CPGs to generate numerous iterations of otherwise patterned outputs.\n\n\n### The road ahead: challenges and new frontiers\nDespite significant progress in recent decades, many unanswered questions remain about the neurobiological basis of emotions. Studies in human and non-human animals have uncovered a wealth of information about how the nervous system produces patterned yet flexible outputs. These studies elucidate how biological systems operate at levels that we cannot yet assess in humans. While much of this research did not investigate questions pertaining to emotions or affective states, our framework is built on the principles that cross-species research has revealed about flexible pattern generation.\nLike all theories, DEFT is based on certain assumptions. Whereas Basic Emotion Theory assumes that patterned emotion states evolved to serve adaptive functions, Constructionist theories assume that emotions have little to no biological structure. DEFT, in turn, assumes that patterning and flexibility are inextricably linked elements of emotions that are shaped by biology and experience. By combining patterns and textures, the brain can produce numerous instantiations of each emotion state. As DEFT starts from the premise that variability is an inherent part of emotions, the pressing question then is not if emotion states are patterned or variable but how they are both.\nEmpirical studies are needed to answer these questions, but DEFT might also prompt reconsideration of previous findings. As DEFT predicts that patterned elements are embedded in the physiological and behavioral sequences that characterize emotion states, studies that have failed to find evidence for emotion-specific patterns may have been hindered by a priori assumptions or analytic techniques that were not optimized for pattern detection. Further investigations are needed to elucidate how emotions manifest in diverse contexts, and DEFT identifies new research directions that will aid in advancing our understanding of these topics. We next outline some key questions that future studies might address.\nUncovering the autonomic and motor patterns that distinguish one emotion state from another remains challenging. Studies of emotional reactivity often measure physiological or behavioral responding as participants are presented with emotion-inducing stimuli, such as evocative film clips, photographs, autobiographical memories, or scenarios (Kreibig 2010, Siegel et al. 2018). By comparing the mean activity levels of various physiological channels during a trial to those from a baseline period, the autonomic changes that characterize each emotion category can be identified. While these approaches have uncovered some differences (Kreibig 2010), autonomic patterns (or “fingerprints”) that distinguish between emotion trials are not robust across studies (Siegel et al. 2018).\nEmotions are dynamic processes that are built from smaller functional units. Isolating the patterned components of emotion states, which may be embedded in continuous streams of autonomic and motor outflow, may require new techniques. Using data-driven approaches that did not impose assumptions about the kinds of autonomic changes or their temporal dynamics, we found predictable autonomic changes arose during emotion states on a shorter timescale than is typically examined (Pasquini et al. 2023). By adopting a novel approach to analyzing continuous autonomic data from a standard film-based emotional reactivity task, this study identified emotion-specific patterns. As the emotion states emerged and disappeared multiple times in participants as they viewed a single video clip, these patterns would have been easily missed by averaging across the entire trial and baseline and computing change scores for each autonomic signal. Additional research will be necessary to investigate whether ongoing fluctuations in autonomic activity and behavior are linked to the dynamic properties of the stimulus, ongoing appraisal processes, or individual differences in participant-level variables, such as sex, age, and ethnicity.\nNumerous human neuroimaging studies have examined how the brain responds during different emotions. Although some studies have reported subtle distinctions in neural activity during different emotions, meta-analyses that have aggregated results across these studies failed to find compelling evidence for emotion-specific patterns (Kober et al. 2008, Lindquist et al. 2012). Multivariate analyses that quantify neural activity across voxels have more success in finding unique signatures for various emotions (Kragel and Labar 2013), but most studies find that even phenomenologically distinct emotion states engage a common set of structures within the salience network (Touroutoglou et al. 2015). The lack of detectable emotion-specific neural activity patterns does not confirm their absence, however.\nAs described above, the salience network likely plays a central role in the generation and experience of all emotions, but how this system produces the full spectrum of emotions is not well understood. Research that integrates measures of brain activity with continuous measures of physiology or behavior is rare but may help determine how the brain produces patterned changes in the body during emotions. Structural neuroimaging studies can also help to elucidate how autonomic and behavioral patterns are represented in the brain. For example, we found that gray matter volume in the aMCC correlates with facial movements that arise during specific emotions but not with facial movements that occur outside of affective contexts (Noohi et al. 2024). Studies that assess the production and representation of emotion patterns in healthy individuals and clinical populations will be important for advancing our understanding of how emotion states are organized in the brain.\nFlexibility is a key element of adaptive biological systems (Jacono and Dick 2011). During emotions, there is variation within individuals (allowing people to respond in various ways in different contexts) as well as between individuals (enabling people to have contrasting responses to the same stimulus). To develop more comprehensive models of how emotions unfold over time in an individual, detailed observational research is needed. While many studies have examined the prototypical facial configurations that arise during emotions, for example, few have investigated the temporal dynamics of the face in the moments preceding and following these expected expressions. By taking this type of approach, we found that people vary in how often their faces move between different facial displays of emotion and that facial dynamics convey important social information (Wallman-Jones et al. 2025). DEFT proposes that neural network inputs, neuromodulators, and afferent information modify emotion states in systematic ways.\nAs noted above, neural network inputs likely play a significant role in the variability that characterizes human emotions. Appraisal (Tomaka et al. 1997) and emotion regulation (Gross 2015) influence whether and how emotions arise. Studies could examine how different appraisal processes or emotion regulation strategies influence the characteristics of emotion states, including the intensity and duration of response elements, as well as the inclusion or omission of certain elements. Emotion generation and regulation are highly intertwined (Barrett et al. 2001, Gross et al. 2011) and may rely on overlapping brain systems (Zhang et al. 2023, Zhang et al. 2025). Functional and structural neuroimaging studies could examine the autonomic, behavioral, or experiential responses that arise under different emotion regulation conditions and compare the neural correlations of these responses. These types of comparisons may help shed light on the brain regions involved in the production and modification of emotion states.\nInputs from the body may also shape how emotion states unfold. Afferent systems relay continuous information about mood, pain, hunger, thirst, fatigue, temperature, and other internal states to the brain, and these factors may have reliable effects on emotion state generation. Studies could manipulate these variables and examine how objective or subjective bodily states affect which emotion states arise, as well as the composition, intensity, and duration of the response elements. Individual differences in biological factors (e.g. genetic variation) or life experiences (e.g. adversity or substance abuse) may be related to variability in appraisal and emotion regulation, as well as to variability in the physiological conditions of the body (e.g. baseline sympathetic activity, parasympathetic activity, or cortisol levels). While research in non-human animals could examine how experimental manipulation of these factors alters the structural or functional properties of CPG neurons or neuromodulator concentrations, human studies could investigate whether these variables are associated with reliable variation in emotion state production.\nAlthough DEFT’s primary focus is on emotion states, this framework also has implications for our understanding of emotional experience. Like other theories, DEFT proposes that no emotion word or concept has a one-to-one correspondence with a single autonomic or motor pattern (Barrett 2009, Keltner and Cordaro 2017). A wide range of physiological activities (Russell 1980, 2003) and behaviors may accompany the same category of emotional experience (Ruiz-Belda et al. 2003, Fernández-Dols and Crivelli 2013, Hassin et al. 2013, Crivelli et al. 2015, Jack and Schyns 2015). Thus, each emotion concept may refer to a family of underlying autonomic and motor patterns, and each autonomic and motor pattern may relate to a family of emotion concepts (Hoemann et al. 2017).\nHow emotion states relate to emotional experience is a critical question. Researchers could search for the families of emotion states that arise during a single category of emotional experience. They could also assess the words people use to describe these families of emotion states. DEFT anticipates that emotion states that evoke similar kinds of feelings will resemble each other more than those that arise during other conceptual categories of emotional experience. If there are common feelings that people report when specific autonomic or behavioral patterns arise, for example, these patterns may lie at the core of that category of emotional experience.\nAs people vary in the degree to which they characterize their emotions with differentiated or diffuse terms (Barrett et al. 2007), it will be challenging to map associations between emotion states and emotional experience. Individuals with more nuanced emotional knowledge (or high “emotional granularity”) may draw different conceptual lines between underlying emotion states than those with less differentiated knowledge. While a person with low emotional granularity may use the same word to label a broad range of emotion states, someone with high emotional granularity may discriminate between even similar emotion states (see Fig. 4). Studies that examine how individuals high and low in emotional granularity describe their emotion states will be needed to advance our understanding of the complex associations between experience and emotion states. Whether individuals with different levels of emotional granularity have different autonomic and motor profiles over shorter (i.e. seconds) as well as longer (i.e. minutes, hours, or days) timeframes is another question worthy of future study.\nLinking autonomic and motor patterns to experience and language. (a) Locomotion is characterized by a sequence of patterned changes in the limbs, but altering the dynamics of the leg and joint movements can create a spectrum of locomotion. Humans draw conceptual boundaries between different motor acts and use words to label these concepts. As the boundaries between concepts are “fuzzy,” people may draw different lines between them. While some people make fine-grained distinctions among distinct types of locomotion and label variations as “trotting” or “galloping” (e.g. Person 1), others may not differentiate among these subtleties and refer to all these states with a more general verbal label, such as “walking” (e.g. Person 2). (b) Similar principles apply to emotions. During emotions (e.g. here, embarrassment), suites of patterned yet flexible autonomic and motor sequences unfold, and variability around modal changes creates a spectrum of changes. Humans use emotion concepts to label emotional experiences, but there are no clear conceptual boundaries between emotion categories. Whereas some highly granular people may discriminate among feeling states and label variations with precise terms, such as “embarrassed,” “humiliated,” and “flustered” (e.g. Person 1), others who are less granular may experience emotions with less differentiation and describe their feelings with more general verbal labels, such as “embarrassment” (e.g. Person 2).\nDEFT proposes that distinct patterns of brain activity differentiate emotion states, but these differences may be most evident at a microscopic level. In humans, standard functional magnetic resonance imaging studies measure voxelwise surrogates of neural activity, and activation in each voxel may reflect the activity of thousands to millions of neurons (Logothetis 2008) and likely numerous CPGs. Even in intracranial electroencephalography studies, each implanted electrode typically captures the activity of thousands of neurons (Parvizi and Kastner 2018). Although both kinds of studies can shed light on the functional roles that key structures play in the generation of emotions and affective states (Bijanzadeh et al. 2022), novel approaches are needed. Recent advances have allowed recordings from single neurons and small populations of single neurons to move from animals to humans, but these studies are limited to select clinical populations undergoing brain surgery (Steinmetz et al. 2021, Paulk et al. 2022).\nResearch in other species may complement human studies by illuminating how pattern-generating circuits operate at a microscopic level. Optogenetic techniques, which activate or inactivate individual cells in behaving animals via light (Deisseroth 2021), have already begun to reveal how specific cells contribute to physiological and behavioral responses with relevance to human emotions. For example, these studies have shown how cardiac rate can be increased to induce anxiety-like behavior via an optical pacemaker (Hsueh et al. 2023), social preference can be modulated by stimulation of serotonergic neurons in the brainstem (Chen et al. 2021), fear conditioning can be modified by stimulation of the insula (Klein et al. 2021), and exploration of new environments can be altered by stimulation of neurons in the dorsal dentate gyrus (Kheirbek et al. 2013). Electrophysiological studies could also be used to evaluate the roles of specific neurons in autonomic and behavioral pattern formation. One study, for example, examined how ablation of brainstem CPG neurons that express specific genes alters respiratory patterns and behaviors thought to reflect calm and activated internal states (Yackle et al. 2017).\nStudies of emotion-relevant CPGs in model systems not only shed light on how organisms generate patterns but also reveal sources of variability. Variation is evident at multiple levels of CPG functioning (Marder and Taylor 2011), and investigations that delineate how CPGs produce and modify their patterned outputs in various contexts and with different descending inputs, afferent information, and neuromodulators will be critical. This work can lead to the development of computational models that predict how CPGs produce pattern and variation in autonomic and motor outputs. As behavior becomes increasingly complex across phylogeny, research that delineates the roles of specific, evolutionarily specialized neuron types will also be important for understanding the circuit basis of pattern formation and flexibility.\nBy integrating principles from studies of humans and other species, DEFT has implications for basic, clinical, and translational science. Affective symptoms are common in psychiatric and neurological disorders (Sturm et al. 2006, Sturm et al. 2008, Kring and Sloan 2009, Sturm et al. 2013, Uddin et al. 2013, Goodkind et al. 2015, Uddin 2015, Sturm et al. 2018, Sha et al. 2019, Todeva-Radneva et al. 2023, Schimmelpfennig et al. 2023), and additional research in human and non-human animals will be necessary to elucidate how salience network and CPG dysfunction contribute to affective symptoms. Animal models offer important windows into the biological basis of these conditions, but they do not always recapitulate the human experience (Bale et al. 2019). Future studies that include parallel analyses across humans and simpler species will be needed to identify common neural mechanisms underlying affective states (Kauvar et al. 2025).\nAs medicine rapidly enters a new era of interventional psychiatry, a more sophisticated understanding of the roles that CPGs play in human emotions is needed to guide the diagnosis and treatment of affective symptoms. Transcranial magnetic stimulation (Hyde et al. 2022), deep brain stimulation (Scangos et al. 2021), and ultrasound (Henn et al. 2024) can already modify emotions and moods in people with psychiatric disorders, including major depressive disorder and obsessive-compulsive disorder. CPGs may also underlie the maladaptive thoughts that often coincide with affective symptoms (Graybiel 1997), and studies that investigate how modulation of CPG activity alters cognition may be needed to accelerate the development of circuit-specific interventions that improve thoughts and feelings.\n\n\n### What are the autonomic and motor patterns that characterize emotion states?\nUncovering the autonomic and motor patterns that distinguish one emotion state from another remains challenging. Studies of emotional reactivity often measure physiological or behavioral responding as participants are presented with emotion-inducing stimuli, such as evocative film clips, photographs, autobiographical memories, or scenarios (Kreibig 2010, Siegel et al. 2018). By comparing the mean activity levels of various physiological channels during a trial to those from a baseline period, the autonomic changes that characterize each emotion category can be identified. While these approaches have uncovered some differences (Kreibig 2010), autonomic patterns (or “fingerprints”) that distinguish between emotion trials are not robust across studies (Siegel et al. 2018).\nEmotions are dynamic processes that are built from smaller functional units. Isolating the patterned components of emotion states, which may be embedded in continuous streams of autonomic and motor outflow, may require new techniques. Using data-driven approaches that did not impose assumptions about the kinds of autonomic changes or their temporal dynamics, we found predictable autonomic changes arose during emotion states on a shorter timescale than is typically examined (Pasquini et al. 2023). By adopting a novel approach to analyzing continuous autonomic data from a standard film-based emotional reactivity task, this study identified emotion-specific patterns. As the emotion states emerged and disappeared multiple times in participants as they viewed a single video clip, these patterns would have been easily missed by averaging across the entire trial and baseline and computing change scores for each autonomic signal. Additional research will be necessary to investigate whether ongoing fluctuations in autonomic activity and behavior are linked to the dynamic properties of the stimulus, ongoing appraisal processes, or individual differences in participant-level variables, such as sex, age, and ethnicity.\n\n\n### How does the brain represent the autonomic and motor patterns that characterize emotion states?\nNumerous human neuroimaging studies have examined how the brain responds during different emotions. Although some studies have reported subtle distinctions in neural activity during different emotions, meta-analyses that have aggregated results across these studies failed to find compelling evidence for emotion-specific patterns (Kober et al. 2008, Lindquist et al. 2012). Multivariate analyses that quantify neural activity across voxels have more success in finding unique signatures for various emotions (Kragel and Labar 2013), but most studies find that even phenomenologically distinct emotion states engage a common set of structures within the salience network (Touroutoglou et al. 2015). The lack of detectable emotion-specific neural activity patterns does not confirm their absence, however.\nAs described above, the salience network likely plays a central role in the generation and experience of all emotions, but how this system produces the full spectrum of emotions is not well understood. Research that integrates measures of brain activity with continuous measures of physiology or behavior is rare but may help determine how the brain produces patterned changes in the body during emotions. Structural neuroimaging studies can also help to elucidate how autonomic and behavioral patterns are represented in the brain. For example, we found that gray matter volume in the aMCC correlates with facial movements that arise during specific emotions but not with facial movements that occur outside of affective contexts (Noohi et al. 2024). Studies that assess the production and representation of emotion patterns in healthy individuals and clinical populations will be important for advancing our understanding of how emotion states are organized in the brain.\n\n\n### How does the brain create variability in emotion states?\nFlexibility is a key element of adaptive biological systems (Jacono and Dick 2011). During emotions, there is variation within individuals (allowing people to respond in various ways in different contexts) as well as between individuals (enabling people to have contrasting responses to the same stimulus). To develop more comprehensive models of how emotions unfold over time in an individual, detailed observational research is needed. While many studies have examined the prototypical facial configurations that arise during emotions, for example, few have investigated the temporal dynamics of the face in the moments preceding and following these expected expressions. By taking this type of approach, we found that people vary in how often their faces move between different facial displays of emotion and that facial dynamics convey important social information (Wallman-Jones et al. 2025). DEFT proposes that neural network inputs, neuromodulators, and afferent information modify emotion states in systematic ways.\nAs noted above, neural network inputs likely play a significant role in the variability that characterizes human emotions. Appraisal (Tomaka et al. 1997) and emotion regulation (Gross 2015) influence whether and how emotions arise. Studies could examine how different appraisal processes or emotion regulation strategies influence the characteristics of emotion states, including the intensity and duration of response elements, as well as the inclusion or omission of certain elements. Emotion generation and regulation are highly intertwined (Barrett et al. 2001, Gross et al. 2011) and may rely on overlapping brain systems (Zhang et al. 2023, Zhang et al. 2025). Functional and structural neuroimaging studies could examine the autonomic, behavioral, or experiential responses that arise under different emotion regulation conditions and compare the neural correlations of these responses. These types of comparisons may help shed light on the brain regions involved in the production and modification of emotion states.\nInputs from the body may also shape how emotion states unfold. Afferent systems relay continuous information about mood, pain, hunger, thirst, fatigue, temperature, and other internal states to the brain, and these factors may have reliable effects on emotion state generation. Studies could manipulate these variables and examine how objective or subjective bodily states affect which emotion states arise, as well as the composition, intensity, and duration of the response elements. Individual differences in biological factors (e.g. genetic variation) or life experiences (e.g. adversity or substance abuse) may be related to variability in appraisal and emotion regulation, as well as to variability in the physiological conditions of the body (e.g. baseline sympathetic activity, parasympathetic activity, or cortisol levels). While research in non-human animals could examine how experimental manipulation of these factors alters the structural or functional properties of CPG neurons or neuromodulator concentrations, human studies could investigate whether these variables are associated with reliable variation in emotion state production.\n\n\n### How do emotional experience and language relate to emotion states?\nAlthough DEFT’s primary focus is on emotion states, this framework also has implications for our understanding of emotional experience. Like other theories, DEFT proposes that no emotion word or concept has a one-to-one correspondence with a single autonomic or motor pattern (Barrett 2009, Keltner and Cordaro 2017). A wide range of physiological activities (Russell 1980, 2003) and behaviors may accompany the same category of emotional experience (Ruiz-Belda et al. 2003, Fernández-Dols and Crivelli 2013, Hassin et al. 2013, Crivelli et al. 2015, Jack and Schyns 2015). Thus, each emotion concept may refer to a family of underlying autonomic and motor patterns, and each autonomic and motor pattern may relate to a family of emotion concepts (Hoemann et al. 2017).\nHow emotion states relate to emotional experience is a critical question. Researchers could search for the families of emotion states that arise during a single category of emotional experience. They could also assess the words people use to describe these families of emotion states. DEFT anticipates that emotion states that evoke similar kinds of feelings will resemble each other more than those that arise during other conceptual categories of emotional experience. If there are common feelings that people report when specific autonomic or behavioral patterns arise, for example, these patterns may lie at the core of that category of emotional experience.\nAs people vary in the degree to which they characterize their emotions with differentiated or diffuse terms (Barrett et al. 2007), it will be challenging to map associations between emotion states and emotional experience. Individuals with more nuanced emotional knowledge (or high “emotional granularity”) may draw different conceptual lines between underlying emotion states than those with less differentiated knowledge. While a person with low emotional granularity may use the same word to label a broad range of emotion states, someone with high emotional granularity may discriminate between even similar emotion states (see Fig. 4). Studies that examine how individuals high and low in emotional granularity describe their emotion states will be needed to advance our understanding of the complex associations between experience and emotion states. Whether individuals with different levels of emotional granularity have different autonomic and motor profiles over shorter (i.e. seconds) as well as longer (i.e. minutes, hours, or days) timeframes is another question worthy of future study.\nLinking autonomic and motor patterns to experience and language. (a) Locomotion is characterized by a sequence of patterned changes in the limbs, but altering the dynamics of the leg and joint movements can create a spectrum of locomotion. Humans draw conceptual boundaries between different motor acts and use words to label these concepts. As the boundaries between concepts are “fuzzy,” people may draw different lines between them. While some people make fine-grained distinctions among distinct types of locomotion and label variations as “trotting” or “galloping” (e.g. Person 1), others may not differentiate among these subtleties and refer to all these states with a more general verbal label, such as “walking” (e.g. Person 2). (b) Similar principles apply to emotions. During emotions (e.g. here, embarrassment), suites of patterned yet flexible autonomic and motor sequences unfold, and variability around modal changes creates a spectrum of changes. Humans use emotion concepts to label emotional experiences, but there are no clear conceptual boundaries between emotion categories. Whereas some highly granular people may discriminate among feeling states and label variations with precise terms, such as “embarrassed,” “humiliated,” and “flustered” (e.g. Person 1), others who are less granular may experience emotions with less differentiation and describe their feelings with more general verbal labels, such as “embarrassment” (e.g. Person 2).\n\n\n### How do emotion-relevant CPGs function at a microscopic level?\nDEFT proposes that distinct patterns of brain activity differentiate emotion states, but these differences may be most evident at a microscopic level. In humans, standard functional magnetic resonance imaging studies measure voxelwise surrogates of neural activity, and activation in each voxel may reflect the activity of thousands to millions of neurons (Logothetis 2008) and likely numerous CPGs. Even in intracranial electroencephalography studies, each implanted electrode typically captures the activity of thousands of neurons (Parvizi and Kastner 2018). Although both kinds of studies can shed light on the functional roles that key structures play in the generation of emotions and affective states (Bijanzadeh et al. 2022), novel approaches are needed. Recent advances have allowed recordings from single neurons and small populations of single neurons to move from animals to humans, but these studies are limited to select clinical populations undergoing brain surgery (Steinmetz et al. 2021, Paulk et al. 2022).\nResearch in other species may complement human studies by illuminating how pattern-generating circuits operate at a microscopic level. Optogenetic techniques, which activate or inactivate individual cells in behaving animals via light (Deisseroth 2021), have already begun to reveal how specific cells contribute to physiological and behavioral responses with relevance to human emotions. For example, these studies have shown how cardiac rate can be increased to induce anxiety-like behavior via an optical pacemaker (Hsueh et al. 2023), social preference can be modulated by stimulation of serotonergic neurons in the brainstem (Chen et al. 2021), fear conditioning can be modified by stimulation of the insula (Klein et al. 2021), and exploration of new environments can be altered by stimulation of neurons in the dorsal dentate gyrus (Kheirbek et al. 2013). Electrophysiological studies could also be used to evaluate the roles of specific neurons in autonomic and behavioral pattern formation. One study, for example, examined how ablation of brainstem CPG neurons that express specific genes alters respiratory patterns and behaviors thought to reflect calm and activated internal states (Yackle et al. 2017).\nStudies of emotion-relevant CPGs in model systems not only shed light on how organisms generate patterns but also reveal sources of variability. Variation is evident at multiple levels of CPG functioning (Marder and Taylor 2011), and investigations that delineate how CPGs produce and modify their patterned outputs in various contexts and with different descending inputs, afferent information, and neuromodulators will be critical. This work can lead to the development of computational models that predict how CPGs produce pattern and variation in autonomic and motor outputs. As behavior becomes increasingly complex across phylogeny, research that delineates the roles of specific, evolutionarily specialized neuron types will also be important for understanding the circuit basis of pattern formation and flexibility.\n\n\n### How do emotion-relevant CPGs relate to affective symptoms?\nBy integrating principles from studies of humans and other species, DEFT has implications for basic, clinical, and translational science. Affective symptoms are common in psychiatric and neurological disorders (Sturm et al. 2006, Sturm et al. 2008, Kring and Sloan 2009, Sturm et al. 2013, Uddin et al. 2013, Goodkind et al. 2015, Uddin 2015, Sturm et al. 2018, Sha et al. 2019, Todeva-Radneva et al. 2023, Schimmelpfennig et al. 2023), and additional research in human and non-human animals will be necessary to elucidate how salience network and CPG dysfunction contribute to affective symptoms. Animal models offer important windows into the biological basis of these conditions, but they do not always recapitulate the human experience (Bale et al. 2019). Future studies that include parallel analyses across humans and simpler species will be needed to identify common neural mechanisms underlying affective states (Kauvar et al. 2025).\nAs medicine rapidly enters a new era of interventional psychiatry, a more sophisticated understanding of the roles that CPGs play in human emotions is needed to guide the diagnosis and treatment of affective symptoms. Transcranial magnetic stimulation (Hyde et al. 2022), deep brain stimulation (Scangos et al. 2021), and ultrasound (Henn et al. 2024) can already modify emotions and moods in people with psychiatric disorders, including major depressive disorder and obsessive-compulsive disorder. CPGs may also underlie the maladaptive thoughts that often coincide with affective symptoms (Graybiel 1997), and studies that investigate how modulation of CPG activity alters cognition may be needed to accelerate the development of circuit-specific interventions that improve thoughts and feelings.\n\n\n### Conclusion\nDEFT maintains that emotion states, like fabrics, are characterized by patterns and textures. How the brain produces emotion states that are both predictable and flexible, however, remains a central unanswered question in affective neuroscience. The biological infrastructure of flexible pattern generation may be most readily revealed not by human studies of large-scale networks but rather by detailed examinations of small-scale circuits (Nusbaum and Beenhakker 2002). Studies of CPGs in non-human animals have helped to elucidate pattern generation at the levels of microcircuits, neurons, and synapses. Across species, research on vertebrates and invertebrates provides compelling evidence that the nervous system is organized to produce reliable outputs via precise, somatotopically organized pathways that engage CPGs. DEFT proposes that the human brain, refined by evolution but continually adapting to environmental demands, is equipped to produce the full spectrum of emotions through hierarchical CPG networks that produce patterned yet textured autonomic and motor cascades.", "domain": "affective_neuroscience"}
{"source": "PMC13071373", "title": "The Neurogenic Niche: Interactions Among Vessels, Glia, and Neural Stem Cells", "text": "# The Neurogenic Niche: Interactions Among Vessels, Glia, and Neural Stem Cells\n\n## Abstract\nAdult neurogenesis, the generation of new neurons in the adult brain, acts as a fundamental driver of neural plasticity within specialized microenvironments. The integrity of the hippocampal subgranular zone, essential for pattern separation and mood regulation, relies on a functional syncytium formed by the vasculature, glial cells, and neural stem cells (NSCs). This review delineates the architecture of this system, detailing how the vascular pillar provides angiocrine support via vascular endothelial growth factor (VEGF) and brain‐derived neurotrophic factor (BDNF), while the glial pillar—comprising astrocytes and microglia—orchestrates metabolic homeostasis and immune surveillance. The dynamic regulation of this local ecosystem by systemic factors, including physical exercise and the gut–brain axis, is also explored. Furthermore, the breakdown of this alliance is examined as a pathological hub in aging, Alzheimer’s disease (AD), and chronic stress. Crucially, the text addresses the significant translational gap between rodent models and human physiology. The ongoing controversy regarding the persistence of adult human neurogenesis is critically evaluated, attributing conflicting data to methodological variables such as postmortem interval (PMI) and fixation kinetics. Additionally, the risks of maladaptive plasticity, where aberrant neurogenesis contributes to conditions like epilepsy, are discussed. Finally, future directions involving high‐resolution omics and imaging are highlighted, emphasizing that therapeutic strategies must navigate the complex biological risks of neural repair.\n\n## Full Text\n\n\n### 1. Introduction\nThe adult brain retains a remarkable capacity for plasticity, partially due to the formation of new neurons in specific neurogenic regions. The subgranular zone of the hippocampal dentate gyrus is the most well‐investigated section, where adult hippocampal neurogenesis (AHN) has been functionally implicated in key cognitive and affective processes. A primary role attributed to AHN is pattern separation, the computational process of differentiating similar memories into distinct representations [1]. Immature adult‐born granule cells enhance this process by regulating the activity of mature granule cells, promoting the remapping of place cells, and improving the precision of memory encoding [2, 3]. Computational models and lesion studies support this framework, demonstrating that the heightened plasticity of young neurons is integral for maintaining memory fidelity and preventing interference [4]. The ablation of neurogenesis impairs the ability to distinguish between closely related experiences, reinforcing the importance of AHN in cognitive flexibility [5]. In addition to cognition, AHN is linked to mood regulation and stress resilience. Chronic stress is a potent negative regulator of AHN, while many antidepressant treatments enhance the production of new neurons [6]. However, this is not a simple causal link, as the mere addition or removal of adult‐born neurons is inadequate to produce antidepressant‐like effects or induce mood disorders [6]. The efficacy of treatments like fluoxetine involves both neurogenesis‐dependent and neurogenesis‐independent mechanisms, which include increasing brain‐derived neurotrophic factor (BDNF), modulating inflammatory pathways, and regulating astrocytic activity [7, 8]. A reciprocal relationship exists between AHN and the hypothalamus–pituitary–adrenal (HPA) axis, where neurogenesis may act as a buffer enhancing stress resilience [9, 10]. The regulation of this process occurs within the neurogenic niche, a specialized microenvironment where a consortium of cells maintains the necessary molecular environment [11]. The foundation comprises neural stem cells (NSCs), a diverse group of radial glia‐like cells that range from a state of quiescence to activation [12]. The behavior of NSCs is regulated by a complex interaction of signals from adjacent cells—astrocytes, microglia, and oligodendrocyte lineage cells—as well as from the vasculature and distal neural circuits [13, 14]. Astrocytes provide trophic support, while microglia modulate neurogenesis through phagocytosis and cytokine release, highlighting an essential glial contribution to niche homeostasis [15]. This architecture is embedded within a unique extracellular matrix (ECM) that provides structural support and biochemical cues to regulate NSC fate [16, 17]. Despite robust evidence from rodent models, the extent of AHN in humans remains controversial. Some studies report that hippocampal neurogenesis continues into the tenth decade of life, with impairments in conditions like Alzheimer’s disease (AD) [18], while others suggest it declines sharply after birth [19]. This divergence is largely attributed to methodological challenges, including postmortem tissue quality and marker sensitivity [19, 20]. Normalizing developmental timelines suggests primate neurogenesis may plateau at very low levels [21], making its resolution critical for translating preclinical findings to human health.\nThis review will explore the intricate architecture and regulation of the adult neurogenic niche, focusing on the tripartite alliance between the vasculature, glial cells, and NSCs. This review will examine how this local system is modulated by systemic physiological signals and neural activity, how its dysfunction contributes to pathology, and what future paradigms may allow us to harness its potential for brain repair and plasticity. A preprint version of this review has previously been published as: Khodakaram Jahanbin. The Neurogenic Niche: Interactions Among Vessels, Glia, and NSCs [22].\n\n\n### 2. The Local Niche Architecture: A Multipillar System\nThe adult neurogenic niche is a complex, multicellular ecosystem where the fate of NSCs is determined by a sophisticated interplay of local signals. This architecture is built upon a multipillar system comprising the vasculature, distinct glial cell populations, and regulatory neural circuits (Figure 1; Table 1). The vascular system acts as a dynamic regulatory hub, facilitating bidirectional communication essential for homeostasis and integrating systemic signals through direct cell–cell interactions and soluble substances [23, 24]. The astrocytic lineage constitutes a second pillar; while radial glia‐like cells function as the NSCs, distinct populations of parenchymal astrocytes act as indispensable niche cells that provide metabolic support and secrete factors to guide neurogenesis [41, 42]. The immune pillar, composed primarily of microglia, maintains homeostasis through phagocytic clearance and modulates NSC fate via a context‐dependent secretome of pro and antineurogenic factors [15, 88]. Finally, this local machinery is subject to top–down control from neural circuits that use inhibitory, excitatory, and neuromodulatory inputs to precisely gate the stem cell pool and guide the integration of new neurons according to the brain’s computational needs [65, 89]. However, increasingly, this system is understood not merely as separate pillars acting in parallel but as a functional syncytium bound by obligate molecular cross‐talk, discussed in detail in Section 2.4.\nSchematic illustration of the tripartite alliance in the healthy adult neurogenic niche. The central NSCs are supported by interconnected pillars: the vascular system (including endothelial cells, pericytes, and astrocyte end‐feet), providing trophic factors such as BDNF and VEGF for structural and molecular support (note: specialized vascular structures like fractones are specific to the SVZ); the astrocyte pillar, where parenchymal astrocytes facilitate metabolic homeostasis via the lactate shuttle and Wnt signaling, while protecting neurons from excitotoxicity through glutamate uptake; the immune pillar (microglia), enabling homeostatic surveillance through phagocytic clearance of apoptotic cells and secretion of proneurogenic factors like IGF‐1; and top–down neural control, with GABAergic tonic inhibition maintaining NSC quiescence and glutamatergic activity promoting the survival and integration of newborn neurons. This multicellular ecosystem maintains neurogenesis and brain plasticity under homeostatic conditions.\nKey components and regulation of the adult neurogenic niche.\n– Integrates systemic signals with local cues [23, 24].\n– Guides NSC fate and differentiation [25, 26].\n– Maintains BBB integrity [27, 28].\n– VEGF [29, 30]\n– BDNF [31]\n– Integrins [32, 33]\n– TGF and beta [27, 28]\n– Aging: vascular senescence, BBB breakdown, reduced perfusion [34, 35]\n– AD: cerebral amyloid angiopathy, impaired Aβ clearance [36–38]\n– PD: neurovascular decoupling [36, 39, 40]\n– Serve as a source of NSCs [41, 42]\n– Provide metabolic support (lactate shuttle) [43, 44]\n– Maintain homeostasis (glutamate uptake) [45, 46]\n– Secrete factors to guide NSC fate and neuronal integration [41, 42, 47, 48]\n– Wnt proteins [47]\n– Ephrin‐B2 [48]\n– Thrombospondins [49]\n– IL‐6 (inflammation) [50]\n– Injury/disease: reactive astrogliosis forms a glial scar that can be both protective and inhibitory [51]\n– Aging: senescent astrocytes can become neurotoxic [52]\n– Maintain homeostasis via synaptic pruning [53]\n– Phagocytic clearance of apoptotic cells, creating a negative feedback loop on neurogenesis [15, 54]\n– Proneurogenic: IGF‐1 [55–57], TNFR2 signaling [58]\n– Antineurogenic: IL‐1&beta [59];, TNF‐α (via TNFR1) [58]\n– Aging: inflammaging and transition to a primed, pro‐inflammatory state [60, 61]\n– Stress/Depression: Drive neuroinflammation [62]\n– AD: chronic activation creates a hostile cytokine storm [63, 64]\n– Inhibitory gating: tonic GABAergic input maintains NSC quiescence [65, 66].\n– Activity‐dependent integration: glutamatergic input promotes survival of active new neurons (use it or lose it) [67]\n– GABA\n– Glutamate (NMDA receptors) [68, 69]\n– α7‐nAChRs [70]\n– Epilepsy: seizures lead to aberrant neurogenesis, where new neurons become pro‐epileptogenic [71]\n– Disruption of inhibitory tone can lead to NSC pool depletion [65]\n– Exercise: enhances cerebral blood flow and trophic factor release [72, 73]\n– Gut–brain axis: microbial metabolites modulate microglial function [74, 75]\n– Exerkines: irisin, cathepsin B [76–79]\n– Microbial metabolites: SCFAs (e.g., butyrate) [80, 81]\n– Dysbiosis/leaky gut: can lead to systemic inflammation and BBB compromise [82–84]\n– Chronic stress: elevates glucocorticoids, suppressing neurogenesis [85].\n– Toxins: drive neuroinflammation and oxidative stress [86, 87]\nNote: This table summarizes the primary pillars that constitute the neurogenic niche, including their key structural elements, primary functions, critical molecular mediators, and their roles in various pathological states as discussed in this review.\nThe vascular system within neurogenic niches acts as a dynamic regulatory pillar, extending beyond its canonical role of providing oxygen and nutrients. Neurogenic regions are characterized by high vascular density, where neural stem/progenitor cells are organized in close association with blood vessels [90, 91]. This proximity facilitates bidirectional communication essential for nervous system homeostasis and repair, with shared molecular pathways coordinating the synchronic development of both systems [24, 92]. Consequently, the vascular compartment serves as a hub, integrating systemic signals with local cues to influence NSC fate through both soluble blood‐borne factors and direct cell–cell interactions [23]. Disruptions to this neurovascular coupling are implicated in pathologies from cognitive decline to neurodegenerative diseases [24].\nThe functional core of the vascular niche is the neurovascular unit, a multicellular interface of endothelial cells, pericytes, astrocytes, and neurons that maintains brain homeostasis [27]. Endothelial cells directly influence NSC fate, guiding their differentiation toward neuronal or astrocytic lineages [25, 26]. Pericytes are fundamental for stabilizing the niche (as illustrated in Figure 1, vascular support pillar), where their interactions with endothelial cells regulate angiogenesis, maintain blood–brain barrier (BBB) integrity, and control capillary blood flow through pathways, including PDGF, vascular endothelial growth factor (VEGF), and TGF and beta [27, 28]. Pericyte dysfunction leads to BBB breakdown and is associated with various neurological disorders [93, 94]. A key structural feature is the basement membrane, a specialized ECM that, specifically in the subventricular zone (SVZ), forms unique structures known as fractones [95]. These laminin‐rich bulbs originate from ependymal cells lining the ventricle and directly contact NSCs, acting as reservoirs that concentrate and present growth factors like FGF‐2 to regulate their proliferation [17, 96–98]. While the hippocampal (SGZ) vasculature lacks these ventricular contacts, it relies on a dense capillary network where NSCs interact directly with the endothelial basement membrane.\nBidirectional communication is orchestrated by a suite of signaling molecules.\nVEGF signaling establishes a powerful positive feedback loop between angiogenesis and neurogenesis [29]. It promotes angiogenesis by binding to VEGF receptor 2 (VEGFR2) on endothelial cells while simultaneously stimulating NSC proliferation and enhancing the survival of newborn neurons, in part by modulating BDNF expression [30]. In pathological contexts like cerebral ischemia, VEGF promotes functional recovery by coordinating both vascular and neural repair [99].\nCerebral endothelial cells are a major source of BDNF, providing direct trophic support for neuronal survival, maturation, and recruitment through its receptor TrkB [31]. Activation of the BDNF‐TrkB axis triggers downstream ERK and CREB pathways, which are vital for neuronal differentiation and survival, offering broad neuroprotection against various insults [100, 101].\nNSCs anchor to the vascular basement membrane through integrin receptors, a process essential for their maintenance. Studies in the SVZ have demonstrated that α6β1 integrin binds to laminin, which is crucial for maintaining NSCs in a quiescent state [32, 33]. Integrin engagement activates intracellular signaling, such as the PI3K/Akt pathway, which supports cell survival and preserves the stem cell pool, and can be influenced by the mechanical properties of the basement membrane [102, 103].\nExtracellular vesicle signaling: recent literature highlights a paradigm shift from purely soluble signaling to vesicular transport, where endothelial cells and neural progenitors exchange lipid‐bound nanovesicles to regulate cell fate. Unlike soluble factors, extracellular vesicles (EVs) act as stable carriers for complex molecular cargos, including proteins and microRNAs. Evidence suggests that EC‐derived EVs can modulate neural plasticity and regeneration, though mechanisms vary by tissue type [104]. In the spinal cord, endothelial cells lacking the epigenetic regulator UTX secrete L1CAM‐enriched EVs, which are internalized by NSCs to activate the Akt signaling pathway, thereby promoting neuronal differentiation [105]. Similar EV‐mediated support occurs in the peripheral nervous system, where endothelial cell‐derived exosomes deliver miR‐199a–5p to Schwann cells, stabilizing a repair phenotype via the PI3K/Akt/PTEN axis [106]. Furthermore, the regulation of Wnt/β‐catenin signaling remains a critical aspect of EV‐mediated vascular homeostasis. For example, tumor‐derived endothelial cells utilize miR‐214–3 p and miR‐24–3 p to modulate β‐catenin levels and angiogenesis in an autocrine/paracrine manner [107]. Within the neurogenic lineage, miR‐124 acts as a potent intrinsic regulator, repressing anti‐neurogenic targets such as Sox9 and SCP1 to prioritize neuronal differentiation over gliogenesis [108–110]. While intrinsic expression is the primary driver, therapeutic delivery of miR‐124 via nanoparticles has been shown to boost endogenous repair mechanisms in neurodegenerative models [111]. Finally, hypoxic stress triggers adaptive EV signaling within the niche. Mediated by the HIF‐1α/Rab27a axis, hypoxic NSCs—rather than endothelial cells—increase the secretion of EVs enriched with miR‐210 [112]. These vesicles transfer miR‐210 to neurons, promoting neurite outgrowth and reducing ROS‐induced apoptosis [112], a metabolic modulation distinct from the miR‐210‐mediated ROS increase observed in inflammatory macrophages during atherosclerosis [113].\nThe decline of cardiovascular health directly compromises these signaling networks, leading to reduced trophic factor secretion, altered vesicular cargo, and a pro‐inflammatory state detrimental to tissue regeneration [114, 115].\nWhile the “vesicular hypothesis” posits that EVs serve as sophisticated carriers of complex biological cargo—a view supported by recent findings on pericyte‐mediated neuroprotection and NVU remodeling [116, 117]—the field faces a methodological reckoning regarding the specificity of this signaling in vivo. Although recent studies utilizing genetic editing and click‐chemistry suggest successful endothelial‐to‐NSC targeting [105, 118], transitioning from simplified in vitro models to the dense, lipid‐rich architecture of the living brain reveals significant confounding factors. A primary challenge is the susceptibility of standard tracking technologies to artifactual data. It is now well‐documented that lipophilic dyes (e.g., PKH and DiI) form thermodynamically stable micelles that mimic the size and scatter properties of small EVs, leading to widespread false‐positive staining [119, 120]. In the myelin‐rich environment of the CNS, the high lipid content necessitates rigorous validation to ensure that apparent recipient cells—such as pericytes or NSCs—are not merely retaining dye contaminants or exhibiting altered polarity, a property measurable by solvatochromic probes, rather than true vesicle uptake [121, 122].\nFurthermore, genetic reporter systems such as Cre‐LoxP, often regarded as the gold standard, have shown inconsistencies. For example, one study highlighted the complete absence of EV‐mediated Cre mRNA transfer in specific vascular co‐cultures, demonstrating that mRNA packaging is not a universal or guaranteed mechanism [123]. Consequently, a debate persists regarding the fundamental nature of EV targeting in the niche: is it a precise “postal service” or a stochastic broadcast? Proponents of targeted signaling argue for specific address codes, such as unique integrin or tetraspanin profiles [124, 125]. Conversely, biodistribution studies suggest that uptake is often driven by local concentration and clearance rates rather than molecular homing [126, 127].\nMost compellingly, emerging high‐resolution data support a “biased stochastic” model [128]. In this view, the unique geometry of the neurovascular unit restricts EV diffusion, creating a high probability of encounter between endothelial donors and perivascular recipients due to spatial confinement rather than strict molecular exclusivity [128, 129]. Whether this involves direct access via apical NSC processes [130] or transcytosis mechanisms mediated by proteoglycans [131] remains a critical frontier requiring advanced in situ analysis.\nThe astrocytic lineage constitutes a fundamental pillar of the neurogenic niche (Table 1). While RGL cells function as the NSCs, distinct populations of parenchymal astrocytes act as indispensable niche cells that orchestrate the neurogenic process [41, 132]. These parenchymal astrocytes provide structural support, regulate the local microenvironment, and deliver signals controlling NSC proliferation (Figure 1, astrocyte pillar), fate determination, and neuronal integration [42]. This positions astrocytes at the center of the neuro–immune–vascular axis, where they bridge communication between neurons, immune cells, and the vasculature to maintain CNS homeostasis [133].\nA primary function of astrocytes is to maintain metabolic and ionic homeostasis. The astrocyte–neuron lactate shuttle is a key mechanism where astrocytes process glucose into lactate, which is then shuttled to neurons as an energy substrate for neurogenesis and synaptic plasticity [43, 44]. Astrocytes are also the primary regulators of extracellular glutamate, expressing transporters that are responsible for 80%–90% of glutamate uptake, thereby protecting neurons from excitotoxicity [45, 46]. They then convert glutamate to glutamine, which is shuttled back to neurons to replenish neurotransmitter pools in the glutamate–glutamine cycle [45].\nAstrocytes form an integral part of the gliovascular unit, where their end‐feet ensheathe the brain’s vasculature, a critical association for inducing and maintaining BBB integrity [134]. They secrete factors like VEGF and TGF‐β that modulate endothelial tight junctions and support vascular health [135]. Their end‐feet are enriched in aquaporin‐4, which regulates water flux and is vital for preventing cerebral edema [136]. Astrocytes also actively shape neural circuits by secreting synaptogenic proteins like thrombospondins [49]. Furthermore, they directly instruct NSC fate through secreted factors like Wnt proteins, which enhance neurogenesis, and juxtacrine signals like ephrin‐B2, which promote neuronal differentiation [42, 47, 48]. Conversely, in response to inflammation, they can secrete factors like IL‐6 that shift NSC fate toward astrogliogenesis [50].\nIn response to CNS injury, astrocytes undergo reactive astrogliosis, a process with both beneficial and detrimental effects [51]. Protectively, it leads to the formation of a glial scar that isolates damage and supports neuronal survival [137]. However, in chronic pathological conditions, reactive astrocytes can adopt a neurotoxic phenotype that inhibits adaptive plasticity and exacerbates neuronal damage [138].\nMicroglia, the resident immune cells of the CNS, are dynamic regulators of the neurogenic niche (Table 1). They engage in constant, bidirectional communication with other neural cells to maintain tissue homeostasis and are fundamental to processes like synaptic pruning and the regulation of adult neurogenesis (depicted in Figure 1, immune pillar) [53]. However, while essential for clearing debris, chronic activation can drive neurotoxic inflammation, contributing to neurodegenerative disorders [139, 140]. Current transcriptomic evidence indicates that microglia do not polarize into simple binary states but rather exist on a dynamic functional spectrum, ranging from homeostatic surveillance to various disease‐associated reactive states, which are critical determinants of outcomes within the niche [140, 141].\nA critical homeostatic function of microglia is the phagocytic clearance of apoptotic neural progenitors and newborn neurons, which is essential for maintaining the balance of the stem cell pool [54]. Microglia recognize apoptotic cells via “eat‐me”—molecular cues such as externalized phosphatidylserine that mark dying cells for non‐inflammatory clearance—mediated by receptors including TREM2 and MerTK [141–143]. This engagement not only facilitates engulfment but also actively suppresses pro‐inflammatory signaling [144]. Crucially, this phagocytic act is a key regulatory mechanism; phagocytosing an apoptotic cell triggers a transcriptional program in the microglia, causing it to alter its secretome to limit further neurogenesis, creating a negative feedback loop that ensures stable maintenance of the neurogenic process [15].\nMicroglia exert control over NSC fate through the release of soluble factors. Under homeostatic conditions, they release trophic factors like IGF‐1, which promotes NSC proliferation and survival [55–57]. In response to inflammatory stimuli, microglia adopt a reactive, pro‐inflammatory phenotype and release cytokines detrimental to neurogenesis. For instance, the secretome of microglia stimulated by pro‐inflammatory cytokines (e.g., IFN‐γ) has been shown to suppress NSC proliferation [145]. IL‐1β strongly inhibits NSC proliferation via its receptor, IL‐1R1 [59]. The effect of TNF‐α is uniquely pleiotropic; signaling through its TNFR1 receptor is generally associated with neuronal damage and inhibition of proliferation, while signaling through TNFR2 is proneurogenic and required for normal NSC proliferation [58]. The net effect of TNF‐α is thus determined by the balance of signaling through these two pathways.\nMicroglial function is not uniform between sexes. Adult male and female microglia display distinct transcriptomic profiles, with female microglia often exhibiting a more neuroprotective phenotype [146]. During neonatal development, microglia regulate hippocampal neurogenesis in a sex‐dependent manner, with their depletion impairing the process in males but not females [147]. These differences may be influenced by hormonal factors and can affect brain development, potentially underlying sex‐based disparities in neurological disorders [148].\nThe reductionist view of the neurogenic niche as a collection of distinct cell types—NSCs supported by a static scaffold of vasculature and glia—is rapidly being supplanted by a systems‐level understanding of the niche as a functionally integrated network. While invertebrate models demonstrate that niche glia can form physical syncytia to manage metabolic and architectural complexity [149], human models reveal that the niche self‐organizes into a highly interconnected ecosystem even without fusion [150]. We now know that the “Three Pillars” are bound together by an obligate, continuous relay of molecular signals, where the output of one cell type serves as the critical input for another [151, 152]. The maintenance of stemness and the successful integration of newborn neurons are governed by the precise integration of these interpillar signals, a homeostatic balance that becomes notably disrupted during aging and immune infiltration [153].\nThe interaction between microglia and astrocytes represents a primary regulatory axis of the niche, often referred to as the Glial Handshake [53, 154]. This bidirectional communication is a fundamental requirement for synaptic maintenance and the regulation of NSC quiescence [155].\nCentral to this crosstalk is the CX3CL1‐CX3CR1‐Wnt signaling cascade. Recent evidence demonstrates that the neuron‐to‐microglia signal CX3CL1 is critical for structural remodeling. Upon activation of the CX3CR1 receptor, microglia secrete Wnt ligands acting paracrinally on neighboring astrocytes. This initiates astrocytic signaling that instructs the retraction of fine perisynaptic processes, effectively “opening up” physical space for neuronal integration [156]. Disruption of this specific ligand–receptor axis, as seen in traumatic injury models, can fundamentally alter the inflammatory trajectory and recovery of the niche [157].\nBeyond morphogenesis, this axis governs metabolic energetics. While astrocytes are the primary producers of lactate—a crucial fuel for NSC proliferation and neuronal function [158, 159]—microglia act as key regulators of this supply chain. This relationship is highly sensitive to signaling contexts. Under conditions of immune activation (e.g., LPS stimulation), microglia secrete cytokines such as TNFα, IL‐1β, and IL‐6 via distinct MAPK signaling cascades [160]. These microglial‐derived factors can profoundly alter astrocytic function; for instance, reducing astrocytic inflammatory secretion while modulating their metabolic output [161]. However, the balance is delicate: chronic microglial inflammation has been shown to increase the astrocytic supply of lactate but paradoxically impair its utilization by neurons, leading to metabolic uncoupling [162]. This highlights that while the “metabolic handoff” is vital, its dysregulation by chronic immune signals compromises the bioenergetic fidelity required for neurogenesis.\nThe vasculature does not merely supply oxygen but acts as a signaling interface, a concept often paralleled with “angiocrine” signaling in tumorigenesis [163], yet distinct in the healthy niche. This crosstalk relies on a bidirectional molecular dialogue. Research indicates that NSCs actively maintain their own vascular niche; NSCs utilize nitric oxide signaling to stimulate endothelial secretion of VEGF and BDNF, creating a positive feedback loop that preserves vascular tube integrity [164]. Crucially, this dialogue is stabilized by perivascular astrocytes. Contrary to a unidirectional model, astrocytes act as the guardians of the barrier. Astrocyte‐derived Wnt ligands are obligate signals required for the maintenance of the BBB phenotype; in the absence of astrocytic Wnt secretion, endothelial caveolin‐1 expression becomes dysregulated, leading to barrier leakage and niche instability [165]. This communication is heavily reliant on EVs (exosomes), which act as physical vectors for this homeostatic regulation. Unlike simple diffusion, exosomes traffic complex molecular cargo—including active proteins (e.g., HSP70) and specific microRNAs (e.g., miR‐124 and miR‐9)—directly from the endothelium to perivascular astrocytic endfeet [117]. Through this vesicular transport, endothelial signals are capable of modulating astrocytic gene expression and Wnt signaling pathways, thereby reinforcing the structural integrity of the neurovascular unit [166].\nThe third pillar of crosstalk occurs at the interface between the vasculature and the immune system, where endothelial cells serve as immunomodulatory gates [167]. This interface is governed by the tight junction protein Claudin‐5, which acts as the primary gatekeeper of paracellular permeability [168, 169]. However, this axis acts as a “double‐edged sword” depending on the signaling context. While controlled permeability allows for surveillance, dysregulated signaling drives niche collapse. Under pathological conditions, such as ischemia, the crosstalk becomes destructive: reactive, pro‐inflammatory microglia release high levels of TNFα, which binds to endothelial TNFR1. Rather than promoting repair, this signal triggers endothelial necroptosis (programmed cell death) and catastrophic BBB disruption [170]. This correlates with a biphasic loss of tight junction proteins (Claudin‐5, Occludin) and the rapid infiltration of immune cells [171]. Thus, the vascular‐immune interface is not a static barrier, but a highly dynamic relay station that can shift from neuroprotection to neurotoxicity based on the integration of microglial and endothelial signals [172].\nThe neurogenic niche is dynamically regulated by top–down control from local and long‐range neural circuits, which act as gatekeepers linking the production of new neurons to the computational needs of the broader hippocampal network (Figure 1; Table 1) [65, 66].\nThe maintenance of a quiescent NSC pool is actively enforced by local inhibitory circuits, primarily driven by parvalbumin‐positive interneurons that provide tonic GABAergic input to NSCs [65]. This inhibitory tone holds NSCs in a dormant state; its disruption causes NSCs to exit quiescence, leading to their activation and subsequent depletion [65, 66]. This system is hierarchically controlled by long‐range GABAergic projections from the medial septum [66]. Conversely, excitatory glutamatergic input is essential for the survival and functional integration of newly generated neurons under a “use it or lose it” principle, where the majority of adult‐born neurons undergo apoptosis unless actively recruited into circuits through learning‐dependent activity [67]. This survival is competitively mediated by NMDA‐type glutamate receptors, ensuring that only neurons receiving salient inputs from sources like the entorhinal cortex are retained [68, 69]. Hippocampus‐dependent spatial learning is a primary driver of this selection, coupling neurogenesis directly to cognitive demands [173, 174].\nNeuromodulatory systems provide another layer of control. Cholinergic inputs from the medial septum play a role in the maturation and integration of adult‐born neurons. Newborn neurons express α7‐containing nicotinic acetylcholine receptors (α7‐nAChRs) and receive direct cholinergic innervation, which is essential for their survival and dendritic development [70]. This relationship is reciprocal: constant adult neurogenesis is necessary to preserve the integrity of the septohippocampal cholinergic circuit throughout life [175].\nWhile the classification of microglia into binary M1 (neurotoxic) and M2 (neuroprotective) states long served as a dominant heuristic, high‐resolution transcriptomic evidence has rendered this framework largely obsolete in favor of a spectrum of “homeostatic” and “reactive” states [176, 177]. Derived largely from reductionist in vitro studies, the M1/M2 model fails to capture the complexity of microglial biology in the living brain. Indeed, recent data suggest that the binary phenotype is often an artifact of “culture shock”#x2014;transcriptional changes induced purely by removing microglia from their native niche [178]. In vivo, microglia do not toggle between two opposing polarities but exist along a high‐dimensional, dynamic functional spectrum [179]. Single‐cell RNA sequencing (scRNA‐seq) reveals that microglia frequently co‐express markers traditionally assigned to opposing categories (e.g., Tnf alongside Arg1), creating intermediate phenotypes that the binary model cannot classify [179, 180]. This issue of classification is best exemplified by the discovery of the disease‐associated microglia (DAM) or microglial neurodegenerative phenotype (MGnD) [181, 182]. Unlike cytokine‐polarized states, the DAM/MGnD signature represents a specific reactive phenotype defined by a transcriptional program: the downregulation of homeostatic checkpoints (e.g., P2ry12 and Cx3cr1) and the concurrent upregulation of lipid metabolism and phagocytic pathways (e.g., Apoe, Trem2 and Lpl) [183, 184]. Crucially, this state is driven by a Trem2-ApoE signaling axis that operates independently of the classical M1/M2 cytokine milieu [185, 186]. Consequently, the field is moving toward a “homeostatic‐reactive” concept that respects the spatiotemporal ontogeny of glial states rather than forcing them into ill‐fitting binary categories.\n\n\n### 2.1. The Vascular–Neural Crosstalk\nThe vascular system within neurogenic niches acts as a dynamic regulatory pillar, extending beyond its canonical role of providing oxygen and nutrients. Neurogenic regions are characterized by high vascular density, where neural stem/progenitor cells are organized in close association with blood vessels [90, 91]. This proximity facilitates bidirectional communication essential for nervous system homeostasis and repair, with shared molecular pathways coordinating the synchronic development of both systems [24, 92]. Consequently, the vascular compartment serves as a hub, integrating systemic signals with local cues to influence NSC fate through both soluble blood‐borne factors and direct cell–cell interactions [23]. Disruptions to this neurovascular coupling are implicated in pathologies from cognitive decline to neurodegenerative diseases [24].\nThe functional core of the vascular niche is the neurovascular unit, a multicellular interface of endothelial cells, pericytes, astrocytes, and neurons that maintains brain homeostasis [27]. Endothelial cells directly influence NSC fate, guiding their differentiation toward neuronal or astrocytic lineages [25, 26]. Pericytes are fundamental for stabilizing the niche (as illustrated in Figure 1, vascular support pillar), where their interactions with endothelial cells regulate angiogenesis, maintain blood–brain barrier (BBB) integrity, and control capillary blood flow through pathways, including PDGF, vascular endothelial growth factor (VEGF), and TGF and beta [27, 28]. Pericyte dysfunction leads to BBB breakdown and is associated with various neurological disorders [93, 94]. A key structural feature is the basement membrane, a specialized ECM that, specifically in the subventricular zone (SVZ), forms unique structures known as fractones [95]. These laminin‐rich bulbs originate from ependymal cells lining the ventricle and directly contact NSCs, acting as reservoirs that concentrate and present growth factors like FGF‐2 to regulate their proliferation [17, 96–98]. While the hippocampal (SGZ) vasculature lacks these ventricular contacts, it relies on a dense capillary network where NSCs interact directly with the endothelial basement membrane.\nBidirectional communication is orchestrated by a suite of signaling molecules.\nVEGF signaling establishes a powerful positive feedback loop between angiogenesis and neurogenesis [29]. It promotes angiogenesis by binding to VEGF receptor 2 (VEGFR2) on endothelial cells while simultaneously stimulating NSC proliferation and enhancing the survival of newborn neurons, in part by modulating BDNF expression [30]. In pathological contexts like cerebral ischemia, VEGF promotes functional recovery by coordinating both vascular and neural repair [99].\nCerebral endothelial cells are a major source of BDNF, providing direct trophic support for neuronal survival, maturation, and recruitment through its receptor TrkB [31]. Activation of the BDNF‐TrkB axis triggers downstream ERK and CREB pathways, which are vital for neuronal differentiation and survival, offering broad neuroprotection against various insults [100, 101].\nNSCs anchor to the vascular basement membrane through integrin receptors, a process essential for their maintenance. Studies in the SVZ have demonstrated that α6β1 integrin binds to laminin, which is crucial for maintaining NSCs in a quiescent state [32, 33]. Integrin engagement activates intracellular signaling, such as the PI3K/Akt pathway, which supports cell survival and preserves the stem cell pool, and can be influenced by the mechanical properties of the basement membrane [102, 103].\nExtracellular vesicle signaling: recent literature highlights a paradigm shift from purely soluble signaling to vesicular transport, where endothelial cells and neural progenitors exchange lipid‐bound nanovesicles to regulate cell fate. Unlike soluble factors, extracellular vesicles (EVs) act as stable carriers for complex molecular cargos, including proteins and microRNAs. Evidence suggests that EC‐derived EVs can modulate neural plasticity and regeneration, though mechanisms vary by tissue type [104]. In the spinal cord, endothelial cells lacking the epigenetic regulator UTX secrete L1CAM‐enriched EVs, which are internalized by NSCs to activate the Akt signaling pathway, thereby promoting neuronal differentiation [105]. Similar EV‐mediated support occurs in the peripheral nervous system, where endothelial cell‐derived exosomes deliver miR‐199a–5p to Schwann cells, stabilizing a repair phenotype via the PI3K/Akt/PTEN axis [106]. Furthermore, the regulation of Wnt/β‐catenin signaling remains a critical aspect of EV‐mediated vascular homeostasis. For example, tumor‐derived endothelial cells utilize miR‐214–3 p and miR‐24–3 p to modulate β‐catenin levels and angiogenesis in an autocrine/paracrine manner [107]. Within the neurogenic lineage, miR‐124 acts as a potent intrinsic regulator, repressing anti‐neurogenic targets such as Sox9 and SCP1 to prioritize neuronal differentiation over gliogenesis [108–110]. While intrinsic expression is the primary driver, therapeutic delivery of miR‐124 via nanoparticles has been shown to boost endogenous repair mechanisms in neurodegenerative models [111]. Finally, hypoxic stress triggers adaptive EV signaling within the niche. Mediated by the HIF‐1α/Rab27a axis, hypoxic NSCs—rather than endothelial cells—increase the secretion of EVs enriched with miR‐210 [112]. These vesicles transfer miR‐210 to neurons, promoting neurite outgrowth and reducing ROS‐induced apoptosis [112], a metabolic modulation distinct from the miR‐210‐mediated ROS increase observed in inflammatory macrophages during atherosclerosis [113].\nThe decline of cardiovascular health directly compromises these signaling networks, leading to reduced trophic factor secretion, altered vesicular cargo, and a pro‐inflammatory state detrimental to tissue regeneration [114, 115].\nWhile the “vesicular hypothesis” posits that EVs serve as sophisticated carriers of complex biological cargo—a view supported by recent findings on pericyte‐mediated neuroprotection and NVU remodeling [116, 117]—the field faces a methodological reckoning regarding the specificity of this signaling in vivo. Although recent studies utilizing genetic editing and click‐chemistry suggest successful endothelial‐to‐NSC targeting [105, 118], transitioning from simplified in vitro models to the dense, lipid‐rich architecture of the living brain reveals significant confounding factors. A primary challenge is the susceptibility of standard tracking technologies to artifactual data. It is now well‐documented that lipophilic dyes (e.g., PKH and DiI) form thermodynamically stable micelles that mimic the size and scatter properties of small EVs, leading to widespread false‐positive staining [119, 120]. In the myelin‐rich environment of the CNS, the high lipid content necessitates rigorous validation to ensure that apparent recipient cells—such as pericytes or NSCs—are not merely retaining dye contaminants or exhibiting altered polarity, a property measurable by solvatochromic probes, rather than true vesicle uptake [121, 122].\nFurthermore, genetic reporter systems such as Cre‐LoxP, often regarded as the gold standard, have shown inconsistencies. For example, one study highlighted the complete absence of EV‐mediated Cre mRNA transfer in specific vascular co‐cultures, demonstrating that mRNA packaging is not a universal or guaranteed mechanism [123]. Consequently, a debate persists regarding the fundamental nature of EV targeting in the niche: is it a precise “postal service” or a stochastic broadcast? Proponents of targeted signaling argue for specific address codes, such as unique integrin or tetraspanin profiles [124, 125]. Conversely, biodistribution studies suggest that uptake is often driven by local concentration and clearance rates rather than molecular homing [126, 127].\nMost compellingly, emerging high‐resolution data support a “biased stochastic” model [128]. In this view, the unique geometry of the neurovascular unit restricts EV diffusion, creating a high probability of encounter between endothelial donors and perivascular recipients due to spatial confinement rather than strict molecular exclusivity [128, 129]. Whether this involves direct access via apical NSC processes [130] or transcytosis mechanisms mediated by proteoglycans [131] remains a critical frontier requiring advanced in situ analysis.\n\n\n### 2.1.1. Structural Components of the Vascular Niche\nThe functional core of the vascular niche is the neurovascular unit, a multicellular interface of endothelial cells, pericytes, astrocytes, and neurons that maintains brain homeostasis [27]. Endothelial cells directly influence NSC fate, guiding their differentiation toward neuronal or astrocytic lineages [25, 26]. Pericytes are fundamental for stabilizing the niche (as illustrated in Figure 1, vascular support pillar), where their interactions with endothelial cells regulate angiogenesis, maintain blood–brain barrier (BBB) integrity, and control capillary blood flow through pathways, including PDGF, vascular endothelial growth factor (VEGF), and TGF and beta [27, 28]. Pericyte dysfunction leads to BBB breakdown and is associated with various neurological disorders [93, 94]. A key structural feature is the basement membrane, a specialized ECM that, specifically in the subventricular zone (SVZ), forms unique structures known as fractones [95]. These laminin‐rich bulbs originate from ependymal cells lining the ventricle and directly contact NSCs, acting as reservoirs that concentrate and present growth factors like FGF‐2 to regulate their proliferation [17, 96–98]. While the hippocampal (SGZ) vasculature lacks these ventricular contacts, it relies on a dense capillary network where NSCs interact directly with the endothelial basement membrane.\n\n\n### 2.1.2. Molecular Mediators of Neurovascular Crosstalk\nBidirectional communication is orchestrated by a suite of signaling molecules.\nVEGF signaling establishes a powerful positive feedback loop between angiogenesis and neurogenesis [29]. It promotes angiogenesis by binding to VEGF receptor 2 (VEGFR2) on endothelial cells while simultaneously stimulating NSC proliferation and enhancing the survival of newborn neurons, in part by modulating BDNF expression [30]. In pathological contexts like cerebral ischemia, VEGF promotes functional recovery by coordinating both vascular and neural repair [99].\nCerebral endothelial cells are a major source of BDNF, providing direct trophic support for neuronal survival, maturation, and recruitment through its receptor TrkB [31]. Activation of the BDNF‐TrkB axis triggers downstream ERK and CREB pathways, which are vital for neuronal differentiation and survival, offering broad neuroprotection against various insults [100, 101].\nNSCs anchor to the vascular basement membrane through integrin receptors, a process essential for their maintenance. Studies in the SVZ have demonstrated that α6β1 integrin binds to laminin, which is crucial for maintaining NSCs in a quiescent state [32, 33]. Integrin engagement activates intracellular signaling, such as the PI3K/Akt pathway, which supports cell survival and preserves the stem cell pool, and can be influenced by the mechanical properties of the basement membrane [102, 103].\nExtracellular vesicle signaling: recent literature highlights a paradigm shift from purely soluble signaling to vesicular transport, where endothelial cells and neural progenitors exchange lipid‐bound nanovesicles to regulate cell fate. Unlike soluble factors, extracellular vesicles (EVs) act as stable carriers for complex molecular cargos, including proteins and microRNAs. Evidence suggests that EC‐derived EVs can modulate neural plasticity and regeneration, though mechanisms vary by tissue type [104]. In the spinal cord, endothelial cells lacking the epigenetic regulator UTX secrete L1CAM‐enriched EVs, which are internalized by NSCs to activate the Akt signaling pathway, thereby promoting neuronal differentiation [105]. Similar EV‐mediated support occurs in the peripheral nervous system, where endothelial cell‐derived exosomes deliver miR‐199a–5p to Schwann cells, stabilizing a repair phenotype via the PI3K/Akt/PTEN axis [106]. Furthermore, the regulation of Wnt/β‐catenin signaling remains a critical aspect of EV‐mediated vascular homeostasis. For example, tumor‐derived endothelial cells utilize miR‐214–3 p and miR‐24–3 p to modulate β‐catenin levels and angiogenesis in an autocrine/paracrine manner [107]. Within the neurogenic lineage, miR‐124 acts as a potent intrinsic regulator, repressing anti‐neurogenic targets such as Sox9 and SCP1 to prioritize neuronal differentiation over gliogenesis [108–110]. While intrinsic expression is the primary driver, therapeutic delivery of miR‐124 via nanoparticles has been shown to boost endogenous repair mechanisms in neurodegenerative models [111]. Finally, hypoxic stress triggers adaptive EV signaling within the niche. Mediated by the HIF‐1α/Rab27a axis, hypoxic NSCs—rather than endothelial cells—increase the secretion of EVs enriched with miR‐210 [112]. These vesicles transfer miR‐210 to neurons, promoting neurite outgrowth and reducing ROS‐induced apoptosis [112], a metabolic modulation distinct from the miR‐210‐mediated ROS increase observed in inflammatory macrophages during atherosclerosis [113].\nThe decline of cardiovascular health directly compromises these signaling networks, leading to reduced trophic factor secretion, altered vesicular cargo, and a pro‐inflammatory state detrimental to tissue regeneration [114, 115].\n\n\n### 2.1.2.1. VEGF\nVEGF signaling establishes a powerful positive feedback loop between angiogenesis and neurogenesis [29]. It promotes angiogenesis by binding to VEGF receptor 2 (VEGFR2) on endothelial cells while simultaneously stimulating NSC proliferation and enhancing the survival of newborn neurons, in part by modulating BDNF expression [30]. In pathological contexts like cerebral ischemia, VEGF promotes functional recovery by coordinating both vascular and neural repair [99].\n\n\n### 2.1.2.2. BDNF\nCerebral endothelial cells are a major source of BDNF, providing direct trophic support for neuronal survival, maturation, and recruitment through its receptor TrkB [31]. Activation of the BDNF‐TrkB axis triggers downstream ERK and CREB pathways, which are vital for neuronal differentiation and survival, offering broad neuroprotection against various insults [100, 101].\n\n\n### 2.1.2.3. Integrin‐Mediated Adhesion\nNSCs anchor to the vascular basement membrane through integrin receptors, a process essential for their maintenance. Studies in the SVZ have demonstrated that α6β1 integrin binds to laminin, which is crucial for maintaining NSCs in a quiescent state [32, 33]. Integrin engagement activates intracellular signaling, such as the PI3K/Akt pathway, which supports cell survival and preserves the stem cell pool, and can be influenced by the mechanical properties of the basement membrane [102, 103].\nExtracellular vesicle signaling: recent literature highlights a paradigm shift from purely soluble signaling to vesicular transport, where endothelial cells and neural progenitors exchange lipid‐bound nanovesicles to regulate cell fate. Unlike soluble factors, extracellular vesicles (EVs) act as stable carriers for complex molecular cargos, including proteins and microRNAs. Evidence suggests that EC‐derived EVs can modulate neural plasticity and regeneration, though mechanisms vary by tissue type [104]. In the spinal cord, endothelial cells lacking the epigenetic regulator UTX secrete L1CAM‐enriched EVs, which are internalized by NSCs to activate the Akt signaling pathway, thereby promoting neuronal differentiation [105]. Similar EV‐mediated support occurs in the peripheral nervous system, where endothelial cell‐derived exosomes deliver miR‐199a–5p to Schwann cells, stabilizing a repair phenotype via the PI3K/Akt/PTEN axis [106]. Furthermore, the regulation of Wnt/β‐catenin signaling remains a critical aspect of EV‐mediated vascular homeostasis. For example, tumor‐derived endothelial cells utilize miR‐214–3 p and miR‐24–3 p to modulate β‐catenin levels and angiogenesis in an autocrine/paracrine manner [107]. Within the neurogenic lineage, miR‐124 acts as a potent intrinsic regulator, repressing anti‐neurogenic targets such as Sox9 and SCP1 to prioritize neuronal differentiation over gliogenesis [108–110]. While intrinsic expression is the primary driver, therapeutic delivery of miR‐124 via nanoparticles has been shown to boost endogenous repair mechanisms in neurodegenerative models [111]. Finally, hypoxic stress triggers adaptive EV signaling within the niche. Mediated by the HIF‐1α/Rab27a axis, hypoxic NSCs—rather than endothelial cells—increase the secretion of EVs enriched with miR‐210 [112]. These vesicles transfer miR‐210 to neurons, promoting neurite outgrowth and reducing ROS‐induced apoptosis [112], a metabolic modulation distinct from the miR‐210‐mediated ROS increase observed in inflammatory macrophages during atherosclerosis [113].\nThe decline of cardiovascular health directly compromises these signaling networks, leading to reduced trophic factor secretion, altered vesicular cargo, and a pro‐inflammatory state detrimental to tissue regeneration [114, 115].\n\n\n### 2.1.3. Unresolved Questions: The Specificity of Vesicular Transport in the Niche\nWhile the “vesicular hypothesis” posits that EVs serve as sophisticated carriers of complex biological cargo—a view supported by recent findings on pericyte‐mediated neuroprotection and NVU remodeling [116, 117]—the field faces a methodological reckoning regarding the specificity of this signaling in vivo. Although recent studies utilizing genetic editing and click‐chemistry suggest successful endothelial‐to‐NSC targeting [105, 118], transitioning from simplified in vitro models to the dense, lipid‐rich architecture of the living brain reveals significant confounding factors. A primary challenge is the susceptibility of standard tracking technologies to artifactual data. It is now well‐documented that lipophilic dyes (e.g., PKH and DiI) form thermodynamically stable micelles that mimic the size and scatter properties of small EVs, leading to widespread false‐positive staining [119, 120]. In the myelin‐rich environment of the CNS, the high lipid content necessitates rigorous validation to ensure that apparent recipient cells—such as pericytes or NSCs—are not merely retaining dye contaminants or exhibiting altered polarity, a property measurable by solvatochromic probes, rather than true vesicle uptake [121, 122].\nFurthermore, genetic reporter systems such as Cre‐LoxP, often regarded as the gold standard, have shown inconsistencies. For example, one study highlighted the complete absence of EV‐mediated Cre mRNA transfer in specific vascular co‐cultures, demonstrating that mRNA packaging is not a universal or guaranteed mechanism [123]. Consequently, a debate persists regarding the fundamental nature of EV targeting in the niche: is it a precise “postal service” or a stochastic broadcast? Proponents of targeted signaling argue for specific address codes, such as unique integrin or tetraspanin profiles [124, 125]. Conversely, biodistribution studies suggest that uptake is often driven by local concentration and clearance rates rather than molecular homing [126, 127].\nMost compellingly, emerging high‐resolution data support a “biased stochastic” model [128]. In this view, the unique geometry of the neurovascular unit restricts EV diffusion, creating a high probability of encounter between endothelial donors and perivascular recipients due to spatial confinement rather than strict molecular exclusivity [128, 129]. Whether this involves direct access via apical NSC processes [130] or transcytosis mechanisms mediated by proteoglycans [131] remains a critical frontier requiring advanced in situ analysis.\n\n\n### 2.2. The Astrocyte Pillar: An Essential Component\nThe astrocytic lineage constitutes a fundamental pillar of the neurogenic niche (Table 1). While RGL cells function as the NSCs, distinct populations of parenchymal astrocytes act as indispensable niche cells that orchestrate the neurogenic process [41, 132]. These parenchymal astrocytes provide structural support, regulate the local microenvironment, and deliver signals controlling NSC proliferation (Figure 1, astrocyte pillar), fate determination, and neuronal integration [42]. This positions astrocytes at the center of the neuro–immune–vascular axis, where they bridge communication between neurons, immune cells, and the vasculature to maintain CNS homeostasis [133].\nA primary function of astrocytes is to maintain metabolic and ionic homeostasis. The astrocyte–neuron lactate shuttle is a key mechanism where astrocytes process glucose into lactate, which is then shuttled to neurons as an energy substrate for neurogenesis and synaptic plasticity [43, 44]. Astrocytes are also the primary regulators of extracellular glutamate, expressing transporters that are responsible for 80%–90% of glutamate uptake, thereby protecting neurons from excitotoxicity [45, 46]. They then convert glutamate to glutamine, which is shuttled back to neurons to replenish neurotransmitter pools in the glutamate–glutamine cycle [45].\nAstrocytes form an integral part of the gliovascular unit, where their end‐feet ensheathe the brain’s vasculature, a critical association for inducing and maintaining BBB integrity [134]. They secrete factors like VEGF and TGF‐β that modulate endothelial tight junctions and support vascular health [135]. Their end‐feet are enriched in aquaporin‐4, which regulates water flux and is vital for preventing cerebral edema [136]. Astrocytes also actively shape neural circuits by secreting synaptogenic proteins like thrombospondins [49]. Furthermore, they directly instruct NSC fate through secreted factors like Wnt proteins, which enhance neurogenesis, and juxtacrine signals like ephrin‐B2, which promote neuronal differentiation [42, 47, 48]. Conversely, in response to inflammation, they can secrete factors like IL‐6 that shift NSC fate toward astrogliogenesis [50].\nIn response to CNS injury, astrocytes undergo reactive astrogliosis, a process with both beneficial and detrimental effects [51]. Protectively, it leads to the formation of a glial scar that isolates damage and supports neuronal survival [137]. However, in chronic pathological conditions, reactive astrocytes can adopt a neurotoxic phenotype that inhibits adaptive plasticity and exacerbates neuronal damage [138].\n\n\n### 2.2.1. Metabolic and Homeostatic Regulation\nA primary function of astrocytes is to maintain metabolic and ionic homeostasis. The astrocyte–neuron lactate shuttle is a key mechanism where astrocytes process glucose into lactate, which is then shuttled to neurons as an energy substrate for neurogenesis and synaptic plasticity [43, 44]. Astrocytes are also the primary regulators of extracellular glutamate, expressing transporters that are responsible for 80%–90% of glutamate uptake, thereby protecting neurons from excitotoxicity [45, 46]. They then convert glutamate to glutamine, which is shuttled back to neurons to replenish neurotransmitter pools in the glutamate–glutamine cycle [45].\n\n\n### 2.2.2. Structural and Regulatory Roles\nAstrocytes form an integral part of the gliovascular unit, where their end‐feet ensheathe the brain’s vasculature, a critical association for inducing and maintaining BBB integrity [134]. They secrete factors like VEGF and TGF‐β that modulate endothelial tight junctions and support vascular health [135]. Their end‐feet are enriched in aquaporin‐4, which regulates water flux and is vital for preventing cerebral edema [136]. Astrocytes also actively shape neural circuits by secreting synaptogenic proteins like thrombospondins [49]. Furthermore, they directly instruct NSC fate through secreted factors like Wnt proteins, which enhance neurogenesis, and juxtacrine signals like ephrin‐B2, which promote neuronal differentiation [42, 47, 48]. Conversely, in response to inflammation, they can secrete factors like IL‐6 that shift NSC fate toward astrogliogenesis [50].\n\n\n### 2.2.3. Reactive Astrogliosis: A Context‐Dependent Response\nIn response to CNS injury, astrocytes undergo reactive astrogliosis, a process with both beneficial and detrimental effects [51]. Protectively, it leads to the formation of a glial scar that isolates damage and supports neuronal survival [137]. However, in chronic pathological conditions, reactive astrocytes can adopt a neurotoxic phenotype that inhibits adaptive plasticity and exacerbates neuronal damage [138].\n\n\n### 2.3. The Immune–Neural Crosstalk\nMicroglia, the resident immune cells of the CNS, are dynamic regulators of the neurogenic niche (Table 1). They engage in constant, bidirectional communication with other neural cells to maintain tissue homeostasis and are fundamental to processes like synaptic pruning and the regulation of adult neurogenesis (depicted in Figure 1, immune pillar) [53]. However, while essential for clearing debris, chronic activation can drive neurotoxic inflammation, contributing to neurodegenerative disorders [139, 140]. Current transcriptomic evidence indicates that microglia do not polarize into simple binary states but rather exist on a dynamic functional spectrum, ranging from homeostatic surveillance to various disease‐associated reactive states, which are critical determinants of outcomes within the niche [140, 141].\nA critical homeostatic function of microglia is the phagocytic clearance of apoptotic neural progenitors and newborn neurons, which is essential for maintaining the balance of the stem cell pool [54]. Microglia recognize apoptotic cells via “eat‐me”—molecular cues such as externalized phosphatidylserine that mark dying cells for non‐inflammatory clearance—mediated by receptors including TREM2 and MerTK [141–143]. This engagement not only facilitates engulfment but also actively suppresses pro‐inflammatory signaling [144]. Crucially, this phagocytic act is a key regulatory mechanism; phagocytosing an apoptotic cell triggers a transcriptional program in the microglia, causing it to alter its secretome to limit further neurogenesis, creating a negative feedback loop that ensures stable maintenance of the neurogenic process [15].\nMicroglia exert control over NSC fate through the release of soluble factors. Under homeostatic conditions, they release trophic factors like IGF‐1, which promotes NSC proliferation and survival [55–57]. In response to inflammatory stimuli, microglia adopt a reactive, pro‐inflammatory phenotype and release cytokines detrimental to neurogenesis. For instance, the secretome of microglia stimulated by pro‐inflammatory cytokines (e.g., IFN‐γ) has been shown to suppress NSC proliferation [145]. IL‐1β strongly inhibits NSC proliferation via its receptor, IL‐1R1 [59]. The effect of TNF‐α is uniquely pleiotropic; signaling through its TNFR1 receptor is generally associated with neuronal damage and inhibition of proliferation, while signaling through TNFR2 is proneurogenic and required for normal NSC proliferation [58]. The net effect of TNF‐α is thus determined by the balance of signaling through these two pathways.\nMicroglial function is not uniform between sexes. Adult male and female microglia display distinct transcriptomic profiles, with female microglia often exhibiting a more neuroprotective phenotype [146]. During neonatal development, microglia regulate hippocampal neurogenesis in a sex‐dependent manner, with their depletion impairing the process in males but not females [147]. These differences may be influenced by hormonal factors and can affect brain development, potentially underlying sex‐based disparities in neurological disorders [148].\n\n\n### 2.3.1. Phagocytic Regulation of the Stem Cell Pool\nA critical homeostatic function of microglia is the phagocytic clearance of apoptotic neural progenitors and newborn neurons, which is essential for maintaining the balance of the stem cell pool [54]. Microglia recognize apoptotic cells via “eat‐me”—molecular cues such as externalized phosphatidylserine that mark dying cells for non‐inflammatory clearance—mediated by receptors including TREM2 and MerTK [141–143]. This engagement not only facilitates engulfment but also actively suppresses pro‐inflammatory signaling [144]. Crucially, this phagocytic act is a key regulatory mechanism; phagocytosing an apoptotic cell triggers a transcriptional program in the microglia, causing it to alter its secretome to limit further neurogenesis, creating a negative feedback loop that ensures stable maintenance of the neurogenic process [15].\n\n\n### 2.3.2. The Microglial Secretome: Pro and Antineurogenic Factors\nMicroglia exert control over NSC fate through the release of soluble factors. Under homeostatic conditions, they release trophic factors like IGF‐1, which promotes NSC proliferation and survival [55–57]. In response to inflammatory stimuli, microglia adopt a reactive, pro‐inflammatory phenotype and release cytokines detrimental to neurogenesis. For instance, the secretome of microglia stimulated by pro‐inflammatory cytokines (e.g., IFN‐γ) has been shown to suppress NSC proliferation [145]. IL‐1β strongly inhibits NSC proliferation via its receptor, IL‐1R1 [59]. The effect of TNF‐α is uniquely pleiotropic; signaling through its TNFR1 receptor is generally associated with neuronal damage and inhibition of proliferation, while signaling through TNFR2 is proneurogenic and required for normal NSC proliferation [58]. The net effect of TNF‐α is thus determined by the balance of signaling through these two pathways.\n\n\n### 2.3.3. Sex‐Specific Regulation by Microglia\nMicroglial function is not uniform between sexes. Adult male and female microglia display distinct transcriptomic profiles, with female microglia often exhibiting a more neuroprotective phenotype [146]. During neonatal development, microglia regulate hippocampal neurogenesis in a sex‐dependent manner, with their depletion impairing the process in males but not females [147]. These differences may be influenced by hormonal factors and can affect brain development, potentially underlying sex‐based disparities in neurological disorders [148].\n\n\n### 2.4. Interpillar Crosstalk: The Niche as a Network\nThe reductionist view of the neurogenic niche as a collection of distinct cell types—NSCs supported by a static scaffold of vasculature and glia—is rapidly being supplanted by a systems‐level understanding of the niche as a functionally integrated network. While invertebrate models demonstrate that niche glia can form physical syncytia to manage metabolic and architectural complexity [149], human models reveal that the niche self‐organizes into a highly interconnected ecosystem even without fusion [150]. We now know that the “Three Pillars” are bound together by an obligate, continuous relay of molecular signals, where the output of one cell type serves as the critical input for another [151, 152]. The maintenance of stemness and the successful integration of newborn neurons are governed by the precise integration of these interpillar signals, a homeostatic balance that becomes notably disrupted during aging and immune infiltration [153].\nThe interaction between microglia and astrocytes represents a primary regulatory axis of the niche, often referred to as the Glial Handshake [53, 154]. This bidirectional communication is a fundamental requirement for synaptic maintenance and the regulation of NSC quiescence [155].\nCentral to this crosstalk is the CX3CL1‐CX3CR1‐Wnt signaling cascade. Recent evidence demonstrates that the neuron‐to‐microglia signal CX3CL1 is critical for structural remodeling. Upon activation of the CX3CR1 receptor, microglia secrete Wnt ligands acting paracrinally on neighboring astrocytes. This initiates astrocytic signaling that instructs the retraction of fine perisynaptic processes, effectively “opening up” physical space for neuronal integration [156]. Disruption of this specific ligand–receptor axis, as seen in traumatic injury models, can fundamentally alter the inflammatory trajectory and recovery of the niche [157].\nBeyond morphogenesis, this axis governs metabolic energetics. While astrocytes are the primary producers of lactate—a crucial fuel for NSC proliferation and neuronal function [158, 159]—microglia act as key regulators of this supply chain. This relationship is highly sensitive to signaling contexts. Under conditions of immune activation (e.g., LPS stimulation), microglia secrete cytokines such as TNFα, IL‐1β, and IL‐6 via distinct MAPK signaling cascades [160]. These microglial‐derived factors can profoundly alter astrocytic function; for instance, reducing astrocytic inflammatory secretion while modulating their metabolic output [161]. However, the balance is delicate: chronic microglial inflammation has been shown to increase the astrocytic supply of lactate but paradoxically impair its utilization by neurons, leading to metabolic uncoupling [162]. This highlights that while the “metabolic handoff” is vital, its dysregulation by chronic immune signals compromises the bioenergetic fidelity required for neurogenesis.\nThe vasculature does not merely supply oxygen but acts as a signaling interface, a concept often paralleled with “angiocrine” signaling in tumorigenesis [163], yet distinct in the healthy niche. This crosstalk relies on a bidirectional molecular dialogue. Research indicates that NSCs actively maintain their own vascular niche; NSCs utilize nitric oxide signaling to stimulate endothelial secretion of VEGF and BDNF, creating a positive feedback loop that preserves vascular tube integrity [164]. Crucially, this dialogue is stabilized by perivascular astrocytes. Contrary to a unidirectional model, astrocytes act as the guardians of the barrier. Astrocyte‐derived Wnt ligands are obligate signals required for the maintenance of the BBB phenotype; in the absence of astrocytic Wnt secretion, endothelial caveolin‐1 expression becomes dysregulated, leading to barrier leakage and niche instability [165]. This communication is heavily reliant on EVs (exosomes), which act as physical vectors for this homeostatic regulation. Unlike simple diffusion, exosomes traffic complex molecular cargo—including active proteins (e.g., HSP70) and specific microRNAs (e.g., miR‐124 and miR‐9)—directly from the endothelium to perivascular astrocytic endfeet [117]. Through this vesicular transport, endothelial signals are capable of modulating astrocytic gene expression and Wnt signaling pathways, thereby reinforcing the structural integrity of the neurovascular unit [166].\nThe third pillar of crosstalk occurs at the interface between the vasculature and the immune system, where endothelial cells serve as immunomodulatory gates [167]. This interface is governed by the tight junction protein Claudin‐5, which acts as the primary gatekeeper of paracellular permeability [168, 169]. However, this axis acts as a “double‐edged sword” depending on the signaling context. While controlled permeability allows for surveillance, dysregulated signaling drives niche collapse. Under pathological conditions, such as ischemia, the crosstalk becomes destructive: reactive, pro‐inflammatory microglia release high levels of TNFα, which binds to endothelial TNFR1. Rather than promoting repair, this signal triggers endothelial necroptosis (programmed cell death) and catastrophic BBB disruption [170]. This correlates with a biphasic loss of tight junction proteins (Claudin‐5, Occludin) and the rapid infiltration of immune cells [171]. Thus, the vascular‐immune interface is not a static barrier, but a highly dynamic relay station that can shift from neuroprotection to neurotoxicity based on the integration of microglial and endothelial signals [172].\n\n\n### 2.4.1. The Microglia–Astrocyte Axis: The “Glial Handshake”\nThe interaction between microglia and astrocytes represents a primary regulatory axis of the niche, often referred to as the Glial Handshake [53, 154]. This bidirectional communication is a fundamental requirement for synaptic maintenance and the regulation of NSC quiescence [155].\nCentral to this crosstalk is the CX3CL1‐CX3CR1‐Wnt signaling cascade. Recent evidence demonstrates that the neuron‐to‐microglia signal CX3CL1 is critical for structural remodeling. Upon activation of the CX3CR1 receptor, microglia secrete Wnt ligands acting paracrinally on neighboring astrocytes. This initiates astrocytic signaling that instructs the retraction of fine perisynaptic processes, effectively “opening up” physical space for neuronal integration [156]. Disruption of this specific ligand–receptor axis, as seen in traumatic injury models, can fundamentally alter the inflammatory trajectory and recovery of the niche [157].\nBeyond morphogenesis, this axis governs metabolic energetics. While astrocytes are the primary producers of lactate—a crucial fuel for NSC proliferation and neuronal function [158, 159]—microglia act as key regulators of this supply chain. This relationship is highly sensitive to signaling contexts. Under conditions of immune activation (e.g., LPS stimulation), microglia secrete cytokines such as TNFα, IL‐1β, and IL‐6 via distinct MAPK signaling cascades [160]. These microglial‐derived factors can profoundly alter astrocytic function; for instance, reducing astrocytic inflammatory secretion while modulating their metabolic output [161]. However, the balance is delicate: chronic microglial inflammation has been shown to increase the astrocytic supply of lactate but paradoxically impair its utilization by neurons, leading to metabolic uncoupling [162]. This highlights that while the “metabolic handoff” is vital, its dysregulation by chronic immune signals compromises the bioenergetic fidelity required for neurogenesis.\n\n\n### 2.4.1.1. Morphogenic Signaling\nCentral to this crosstalk is the CX3CL1‐CX3CR1‐Wnt signaling cascade. Recent evidence demonstrates that the neuron‐to‐microglia signal CX3CL1 is critical for structural remodeling. Upon activation of the CX3CR1 receptor, microglia secrete Wnt ligands acting paracrinally on neighboring astrocytes. This initiates astrocytic signaling that instructs the retraction of fine perisynaptic processes, effectively “opening up” physical space for neuronal integration [156]. Disruption of this specific ligand–receptor axis, as seen in traumatic injury models, can fundamentally alter the inflammatory trajectory and recovery of the niche [157].\n\n\n### 2.4.1.2. Metabolic Signaling\nBeyond morphogenesis, this axis governs metabolic energetics. While astrocytes are the primary producers of lactate—a crucial fuel for NSC proliferation and neuronal function [158, 159]—microglia act as key regulators of this supply chain. This relationship is highly sensitive to signaling contexts. Under conditions of immune activation (e.g., LPS stimulation), microglia secrete cytokines such as TNFα, IL‐1β, and IL‐6 via distinct MAPK signaling cascades [160]. These microglial‐derived factors can profoundly alter astrocytic function; for instance, reducing astrocytic inflammatory secretion while modulating their metabolic output [161]. However, the balance is delicate: chronic microglial inflammation has been shown to increase the astrocytic supply of lactate but paradoxically impair its utilization by neurons, leading to metabolic uncoupling [162]. This highlights that while the “metabolic handoff” is vital, its dysregulation by chronic immune signals compromises the bioenergetic fidelity required for neurogenesis.\n\n\n### 2.4.2. The Neurovascular Scaffolding: Reciprocal Signaling\nThe vasculature does not merely supply oxygen but acts as a signaling interface, a concept often paralleled with “angiocrine” signaling in tumorigenesis [163], yet distinct in the healthy niche. This crosstalk relies on a bidirectional molecular dialogue. Research indicates that NSCs actively maintain their own vascular niche; NSCs utilize nitric oxide signaling to stimulate endothelial secretion of VEGF and BDNF, creating a positive feedback loop that preserves vascular tube integrity [164]. Crucially, this dialogue is stabilized by perivascular astrocytes. Contrary to a unidirectional model, astrocytes act as the guardians of the barrier. Astrocyte‐derived Wnt ligands are obligate signals required for the maintenance of the BBB phenotype; in the absence of astrocytic Wnt secretion, endothelial caveolin‐1 expression becomes dysregulated, leading to barrier leakage and niche instability [165]. This communication is heavily reliant on EVs (exosomes), which act as physical vectors for this homeostatic regulation. Unlike simple diffusion, exosomes traffic complex molecular cargo—including active proteins (e.g., HSP70) and specific microRNAs (e.g., miR‐124 and miR‐9)—directly from the endothelium to perivascular astrocytic endfeet [117]. Through this vesicular transport, endothelial signals are capable of modulating astrocytic gene expression and Wnt signaling pathways, thereby reinforcing the structural integrity of the neurovascular unit [166].\n\n\n### 2.4.3. The Vascular–Immune Interface\nThe third pillar of crosstalk occurs at the interface between the vasculature and the immune system, where endothelial cells serve as immunomodulatory gates [167]. This interface is governed by the tight junction protein Claudin‐5, which acts as the primary gatekeeper of paracellular permeability [168, 169]. However, this axis acts as a “double‐edged sword” depending on the signaling context. While controlled permeability allows for surveillance, dysregulated signaling drives niche collapse. Under pathological conditions, such as ischemia, the crosstalk becomes destructive: reactive, pro‐inflammatory microglia release high levels of TNFα, which binds to endothelial TNFR1. Rather than promoting repair, this signal triggers endothelial necroptosis (programmed cell death) and catastrophic BBB disruption [170]. This correlates with a biphasic loss of tight junction proteins (Claudin‐5, Occludin) and the rapid infiltration of immune cells [171]. Thus, the vascular‐immune interface is not a static barrier, but a highly dynamic relay station that can shift from neuroprotection to neurotoxicity based on the integration of microglial and endothelial signals [172].\n\n\n### 2.5. Top–Down Control by Neural Circuits\nThe neurogenic niche is dynamically regulated by top–down control from local and long‐range neural circuits, which act as gatekeepers linking the production of new neurons to the computational needs of the broader hippocampal network (Figure 1; Table 1) [65, 66].\nThe maintenance of a quiescent NSC pool is actively enforced by local inhibitory circuits, primarily driven by parvalbumin‐positive interneurons that provide tonic GABAergic input to NSCs [65]. This inhibitory tone holds NSCs in a dormant state; its disruption causes NSCs to exit quiescence, leading to their activation and subsequent depletion [65, 66]. This system is hierarchically controlled by long‐range GABAergic projections from the medial septum [66]. Conversely, excitatory glutamatergic input is essential for the survival and functional integration of newly generated neurons under a “use it or lose it” principle, where the majority of adult‐born neurons undergo apoptosis unless actively recruited into circuits through learning‐dependent activity [67]. This survival is competitively mediated by NMDA‐type glutamate receptors, ensuring that only neurons receiving salient inputs from sources like the entorhinal cortex are retained [68, 69]. Hippocampus‐dependent spatial learning is a primary driver of this selection, coupling neurogenesis directly to cognitive demands [173, 174].\nNeuromodulatory systems provide another layer of control. Cholinergic inputs from the medial septum play a role in the maturation and integration of adult‐born neurons. Newborn neurons express α7‐containing nicotinic acetylcholine receptors (α7‐nAChRs) and receive direct cholinergic innervation, which is essential for their survival and dendritic development [70]. This relationship is reciprocal: constant adult neurogenesis is necessary to preserve the integrity of the septohippocampal cholinergic circuit throughout life [175].\n\n\n### 2.5.1. Inhibitory Gating and Activity‐Dependent Integration\nThe maintenance of a quiescent NSC pool is actively enforced by local inhibitory circuits, primarily driven by parvalbumin‐positive interneurons that provide tonic GABAergic input to NSCs [65]. This inhibitory tone holds NSCs in a dormant state; its disruption causes NSCs to exit quiescence, leading to their activation and subsequent depletion [65, 66]. This system is hierarchically controlled by long‐range GABAergic projections from the medial septum [66]. Conversely, excitatory glutamatergic input is essential for the survival and functional integration of newly generated neurons under a “use it or lose it” principle, where the majority of adult‐born neurons undergo apoptosis unless actively recruited into circuits through learning‐dependent activity [67]. This survival is competitively mediated by NMDA‐type glutamate receptors, ensuring that only neurons receiving salient inputs from sources like the entorhinal cortex are retained [68, 69]. Hippocampus‐dependent spatial learning is a primary driver of this selection, coupling neurogenesis directly to cognitive demands [173, 174].\n\n\n### 2.5.2. Neuromodulatory Control\nNeuromodulatory systems provide another layer of control. Cholinergic inputs from the medial septum play a role in the maturation and integration of adult‐born neurons. Newborn neurons express α7‐containing nicotinic acetylcholine receptors (α7‐nAChRs) and receive direct cholinergic innervation, which is essential for their survival and dendritic development [70]. This relationship is reciprocal: constant adult neurogenesis is necessary to preserve the integrity of the septohippocampal cholinergic circuit throughout life [175].\n\n\n### 2.6. Key Controversies: The Limits of the M1/M2 Dichotomy and Glial Heterogeneity\nWhile the classification of microglia into binary M1 (neurotoxic) and M2 (neuroprotective) states long served as a dominant heuristic, high‐resolution transcriptomic evidence has rendered this framework largely obsolete in favor of a spectrum of “homeostatic” and “reactive” states [176, 177]. Derived largely from reductionist in vitro studies, the M1/M2 model fails to capture the complexity of microglial biology in the living brain. Indeed, recent data suggest that the binary phenotype is often an artifact of “culture shock”#x2014;transcriptional changes induced purely by removing microglia from their native niche [178]. In vivo, microglia do not toggle between two opposing polarities but exist along a high‐dimensional, dynamic functional spectrum [179]. Single‐cell RNA sequencing (scRNA‐seq) reveals that microglia frequently co‐express markers traditionally assigned to opposing categories (e.g., Tnf alongside Arg1), creating intermediate phenotypes that the binary model cannot classify [179, 180]. This issue of classification is best exemplified by the discovery of the disease‐associated microglia (DAM) or microglial neurodegenerative phenotype (MGnD) [181, 182]. Unlike cytokine‐polarized states, the DAM/MGnD signature represents a specific reactive phenotype defined by a transcriptional program: the downregulation of homeostatic checkpoints (e.g., P2ry12 and Cx3cr1) and the concurrent upregulation of lipid metabolism and phagocytic pathways (e.g., Apoe, Trem2 and Lpl) [183, 184]. Crucially, this state is driven by a Trem2-ApoE signaling axis that operates independently of the classical M1/M2 cytokine milieu [185, 186]. Consequently, the field is moving toward a “homeostatic‐reactive” concept that respects the spatiotemporal ontogeny of glial states rather than forcing them into ill‐fitting binary categories.\n\n\n### 3. Systemic Regulation of the Niche\nWhile the local architecture provides the immediate framework for neurogenesis, the niche does not operate in isolation. Its function is dynamically sculpted by a host of systemic physiological cues and environmental factors that are integrated via the niche vasculature (Figure 2; Table 1). Potent physiological stimuli like physical exercise regulate the niche by enhancing cerebral blood flow and initiating a systemic dialogue through circulating “exerkines”—exercise‐induced signaling molecules such as cytokines, metabolites, and peptides that mediate communication between peripheral organs and the brain—forming a robust body–brain axis [72, 73]. The gut–brain axis represents another critical regulatory network, where the gut microbiota produces metabolites that cross the BBB to influence the niche’s immune landscape [74, 75]. Furthermore, a range of lifestyle and environmental factors, including sleep, environmental enrichment, and exposure to toxins, profoundly modulate the vascular, glial, and immune components of the niche, thereby altering brain plasticity and disease susceptibility [86, 187].\nSystemic and environmental modulators of the adult neurogenic niche. (A) Proneurogenic inputs enhancing neurogenesis and resilience, including physical exercise (via irisin and cathepsin B, leading to increased cerebral blood flow), a healthy gut microbiome (via butyrate/SCFAs promoting a homeostatic microglial state), restful sleep, social interaction, and environmental enrichment. (B) Antineurogenic inputs impairing neurogenesis and increasing vulnerability, including chronic stress (via glucocorticoids suppressing NSC proliferation), aging (via inflammaging and cellular senescence), gut dysbiosis (via LPS from leaky gut promoting a reactive microglial state), and environmental toxins (inducing neuroinflammation and vascular damage). The central neurovascular interface (with pericytes and blood cells) integrates these signals, determining the balance between enhanced and impaired neurogenesis.\nPhysical exercise is a potent physiological stimulus that regulates the neurogenic niche. A primary mechanism is the enhancement of cerebral blood flow and vascular remodeling [72, 188]. This exercise‐induced hyperemia is mediated by mechanical shear stress on endothelial cells, which activates eNOS signaling to increase nitric oxide bioavailability, a critical vasodilator [189, 190]. This enhanced perfusion is functionally linked to increased expression of VEGF [191]. The VEGF‐C/VEGFR3 signaling axis plays a direct role, as VEGFR3 is expressed on NSCs and its ligand, VEGF‐C, is secreted by endothelial cells to activate quiescent NSCs [192, 193]. In addition to direct vascular changes, exercise initiates a systemic dialogue through circulating factors, or exerkines. The myokine irisin, secreted from muscle tissue, can cross the BBB to stimulate BDNF expression in the hippocampus and has been shown to reduce pro‐inflammatory microglial activation via the TLR4/MyD88 pathway [76, 77]. Irisin is part of a broader orchestra of peripheral factors, including cathepsin B and IGF‐1, that form a robust body–brain axis, triggering cellular changes that enhance neurogenesis and cognitive function (Figure 2A) [78, 79]. The neurogenic response is dependent on the modality and intensity of the activity; sustained high‐intensity aerobic exercise appears most effective, while the effects of resistance exercise are less pronounced and may act through different molecular pathways [194–196].\nThe gut–brain axis is a bidirectional communication network where the gut microbiota acts as a central player, producing metabolites that influence neurochemistry and behavior [75, 197]. While clinical data linking dysbiosis to conditions like autism and depression is largely correlational, robust preclinical evidence demonstrates a causal link between the microbiome and neurogenic function [198, 199]. Animal models show that germ‐free mice exhibit impaired neurogenesis in an age‐ and sex‐dependent manner, and transplantation of microbiota from stressed mice into healthy recipients transfers depressive phenotypes via alterations in the endocannabinoid system [198, 200]. This has led to the concept of “psychobiotics”—probiotics capable of influencing mental health [201]. However, translation to humans remains complex. Although a recent meta‐analysis of randomized controlled trials confirms that probiotics may alleviate depressive symptoms, it highlights that no specific strains, dosages, or treatment durations can currently be recommended, indicating a gap between preclinical mechanisms and standardized clinical application [202]. Recent proof‐of‐concept studies in humans have begun to bridge this gap, showing that high‐dose prebiotic fiber can attenuate reward‐related brain activation and shift the microbiome toward short‐chain fatty acid (SCFA) producers, though the precise impact on neurogenesis remains to be visualized in vivo [203].\nMechanistically, the influence of the gut on the niche is mediated by specific humoral and neural pathways. SCFAs—primarily acetate, propionate, and butyrate—are microbial metabolites that cross the BBB to exert epigenetic effects on microglia [74]. Spatial transcriptomic analysis in rodent stroke models reveals that sodium butyrate, a histone deacetylase inhibitor, epigenetically modulates microglia, shifting them from a neurotoxic to a neuroprotective phenotype within the ischemic penumbra [80]. This occurs via the GPR109A/PPAR‐γ/NF‐κB signaling pathway, which suppresses neuroinflammation [81]. The vagus nerve provides a direct anatomical link for this crosstalk [204, 205]. Selective ablation of vagal afferents in rats has been shown to impair hippocampus‐dependent episodic memory and reduce neurotrophic markers, identifying a specific multiorder brainstem–septal pathway connecting the gut to the dorsal hippocampus [206]. Furthermore, constitutive vagal activity is required for the maintenance of BDNF mRNA expression and the survival of complex dendritic arbors in newborn neurons [207].\nGut dysbiosis can initiate a pathological cascade marked by systemic inflammation. Loss of intestinal barrier integrity (“leaky gut”) allows immunogenic substances like bacterial LPS to enter systemic circulation [82]. Sustained exposure to systemic endotoxin triggers the recruitment of peripheral leukocytes—including monocytes and T cells—into the brain parenchyma, altering the inflammatory milieu [82]. In vitro and in vivo models demonstrate that LPS‐activated microglia produce reactive oxygen species that fragment tight junction proteins (e.g., zonula occludens‐1 and claudin‐5) and cause pericyte detachment, thereby compromising the BBB and creating a hostile environment for neurogenesis [83, 84].\nChronic sleep deprivation critically impairs the neurogenic niche by fostering a pro‐inflammatory microenvironment. This is mechanistically linked to the robust activation of microglia, an increase in pro‐inflammatory cytokines like IL‐1β, and a significant decline in BDNF [208]. In contrast, environmental enrichment robustly enhances brain plasticity by upregulating genes associated with neurogenesis and cell survival, enhancing neurotrophin expression, and promoting resilience [187, 209, 210]. Exposure to environmental toxins like air pollutants and heavy metals represents a significant threat (illustrated in Figure 2 for both positive and negative modulators). These toxins disrupt the vascular and glial pillars through neuroinflammation and oxidative stress [86, 87]. Air pollution impairs neurogenesis by stimulating the activation of astrocytes and microglia, while traffic‐related air pollution can cause severe vascular disruption, including a reduction in the tight junction protein ZO‐1 and an increase in microhemorrhages [87, 211, 212]. The interplay between lifestyle, environment, and genetics is also critical in determining risk for neuroinflammatory diseases like multiple sclerosis, where factors such as smoking, EBV infection, and obesity interact with HLA risk genes [213]. Many of these environmental influences are modifiable, offering opportunities for disease prevention.\nThe psychobiotic revolution has established a “causal bedrock” in preclinical models, where specific microbes definitively modulate brain structure and behavior. In rodents, mechanisms are mapped with high fidelity: Lactobacillus rhamnosus JB‐1 utilizes the vagus nerve to reduce stress, an effect abolished by vagotomy [214]. Parallel pathways involve metabolic signaling, where SCFAs like butyrate act as histone deacetylase inhibitors, restoring neurogenesis in murine stress models [215] and preventing cytokine‐induced apoptosis in human hippocampal cells [216]. However, human translation remains characterized by a profound gap between these mechanistic insights and clinical reality [217, 218]. While recent meta‐analyses indicate statistically significant benefits for depression (SMD −0.96) and anxiety (SMD −0.59) [219], the data reveal a sharp divergence based on population and methodology [220]. For instance, while L. Rhamnosus JB‐1 is potent in mice; it failed to alter stress or cognitive performance in healthy human volunteers [218]. Conversely, in high‐stress clinical populations, such as surgical oncology patients, psychobiotics have demonstrated robust efficacy, reducing depression rates by over 60% [221]. This inconsistency highlights a “precision crisis” [222]. The field struggles with the validation of central mechanisms in humans, as direct evidence of AHN remains methodologically fraught and heavily debated, relying on rare postmortem samples rather than accessible live biomarkers [18, 223].\nFinally, while observational studies struggle with the “chicken‐and‐egg” problem of dysbiosis, emerging genetic evidence is beginning to resolve the directionality of these associations. Two‐sample Mendelian Randomization studies have recently identified specific causal bacterial taxa—such as the link between Prevotellaceae and autism spectrum disorder—explicitly ruling out reverse causality in these specific pairings [224]. Thus, the challenge is no longer establishing if the gut affects the brain but identifying which strains are effective for which human phenotypes [225].\n\n\n### 3.1. Physiological Cues (Exercise)\nPhysical exercise is a potent physiological stimulus that regulates the neurogenic niche. A primary mechanism is the enhancement of cerebral blood flow and vascular remodeling [72, 188]. This exercise‐induced hyperemia is mediated by mechanical shear stress on endothelial cells, which activates eNOS signaling to increase nitric oxide bioavailability, a critical vasodilator [189, 190]. This enhanced perfusion is functionally linked to increased expression of VEGF [191]. The VEGF‐C/VEGFR3 signaling axis plays a direct role, as VEGFR3 is expressed on NSCs and its ligand, VEGF‐C, is secreted by endothelial cells to activate quiescent NSCs [192, 193]. In addition to direct vascular changes, exercise initiates a systemic dialogue through circulating factors, or exerkines. The myokine irisin, secreted from muscle tissue, can cross the BBB to stimulate BDNF expression in the hippocampus and has been shown to reduce pro‐inflammatory microglial activation via the TLR4/MyD88 pathway [76, 77]. Irisin is part of a broader orchestra of peripheral factors, including cathepsin B and IGF‐1, that form a robust body–brain axis, triggering cellular changes that enhance neurogenesis and cognitive function (Figure 2A) [78, 79]. The neurogenic response is dependent on the modality and intensity of the activity; sustained high‐intensity aerobic exercise appears most effective, while the effects of resistance exercise are less pronounced and may act through different molecular pathways [194–196].\n\n\n### 3.2. The Gut–Brain–Niche Axis\nThe gut–brain axis is a bidirectional communication network where the gut microbiota acts as a central player, producing metabolites that influence neurochemistry and behavior [75, 197]. While clinical data linking dysbiosis to conditions like autism and depression is largely correlational, robust preclinical evidence demonstrates a causal link between the microbiome and neurogenic function [198, 199]. Animal models show that germ‐free mice exhibit impaired neurogenesis in an age‐ and sex‐dependent manner, and transplantation of microbiota from stressed mice into healthy recipients transfers depressive phenotypes via alterations in the endocannabinoid system [198, 200]. This has led to the concept of “psychobiotics”—probiotics capable of influencing mental health [201]. However, translation to humans remains complex. Although a recent meta‐analysis of randomized controlled trials confirms that probiotics may alleviate depressive symptoms, it highlights that no specific strains, dosages, or treatment durations can currently be recommended, indicating a gap between preclinical mechanisms and standardized clinical application [202]. Recent proof‐of‐concept studies in humans have begun to bridge this gap, showing that high‐dose prebiotic fiber can attenuate reward‐related brain activation and shift the microbiome toward short‐chain fatty acid (SCFA) producers, though the precise impact on neurogenesis remains to be visualized in vivo [203].\nMechanistically, the influence of the gut on the niche is mediated by specific humoral and neural pathways. SCFAs—primarily acetate, propionate, and butyrate—are microbial metabolites that cross the BBB to exert epigenetic effects on microglia [74]. Spatial transcriptomic analysis in rodent stroke models reveals that sodium butyrate, a histone deacetylase inhibitor, epigenetically modulates microglia, shifting them from a neurotoxic to a neuroprotective phenotype within the ischemic penumbra [80]. This occurs via the GPR109A/PPAR‐γ/NF‐κB signaling pathway, which suppresses neuroinflammation [81]. The vagus nerve provides a direct anatomical link for this crosstalk [204, 205]. Selective ablation of vagal afferents in rats has been shown to impair hippocampus‐dependent episodic memory and reduce neurotrophic markers, identifying a specific multiorder brainstem–septal pathway connecting the gut to the dorsal hippocampus [206]. Furthermore, constitutive vagal activity is required for the maintenance of BDNF mRNA expression and the survival of complex dendritic arbors in newborn neurons [207].\nGut dysbiosis can initiate a pathological cascade marked by systemic inflammation. Loss of intestinal barrier integrity (“leaky gut”) allows immunogenic substances like bacterial LPS to enter systemic circulation [82]. Sustained exposure to systemic endotoxin triggers the recruitment of peripheral leukocytes—including monocytes and T cells—into the brain parenchyma, altering the inflammatory milieu [82]. In vitro and in vivo models demonstrate that LPS‐activated microglia produce reactive oxygen species that fragment tight junction proteins (e.g., zonula occludens‐1 and claudin‐5) and cause pericyte detachment, thereby compromising the BBB and creating a hostile environment for neurogenesis [83, 84].\n\n\n### 3.3. Additional Environmental and Lifestyle Factors\nChronic sleep deprivation critically impairs the neurogenic niche by fostering a pro‐inflammatory microenvironment. This is mechanistically linked to the robust activation of microglia, an increase in pro‐inflammatory cytokines like IL‐1β, and a significant decline in BDNF [208]. In contrast, environmental enrichment robustly enhances brain plasticity by upregulating genes associated with neurogenesis and cell survival, enhancing neurotrophin expression, and promoting resilience [187, 209, 210]. Exposure to environmental toxins like air pollutants and heavy metals represents a significant threat (illustrated in Figure 2 for both positive and negative modulators). These toxins disrupt the vascular and glial pillars through neuroinflammation and oxidative stress [86, 87]. Air pollution impairs neurogenesis by stimulating the activation of astrocytes and microglia, while traffic‐related air pollution can cause severe vascular disruption, including a reduction in the tight junction protein ZO‐1 and an increase in microhemorrhages [87, 211, 212]. The interplay between lifestyle, environment, and genetics is also critical in determining risk for neuroinflammatory diseases like multiple sclerosis, where factors such as smoking, EBV infection, and obesity interact with HLA risk genes [213]. Many of these environmental influences are modifiable, offering opportunities for disease prevention.\n\n\n### 3.4. Key Controversies: Causality vs. Correlation in the Human Gut–Brain Axis\nThe psychobiotic revolution has established a “causal bedrock” in preclinical models, where specific microbes definitively modulate brain structure and behavior. In rodents, mechanisms are mapped with high fidelity: Lactobacillus rhamnosus JB‐1 utilizes the vagus nerve to reduce stress, an effect abolished by vagotomy [214]. Parallel pathways involve metabolic signaling, where SCFAs like butyrate act as histone deacetylase inhibitors, restoring neurogenesis in murine stress models [215] and preventing cytokine‐induced apoptosis in human hippocampal cells [216]. However, human translation remains characterized by a profound gap between these mechanistic insights and clinical reality [217, 218]. While recent meta‐analyses indicate statistically significant benefits for depression (SMD −0.96) and anxiety (SMD −0.59) [219], the data reveal a sharp divergence based on population and methodology [220]. For instance, while L. Rhamnosus JB‐1 is potent in mice; it failed to alter stress or cognitive performance in healthy human volunteers [218]. Conversely, in high‐stress clinical populations, such as surgical oncology patients, psychobiotics have demonstrated robust efficacy, reducing depression rates by over 60% [221]. This inconsistency highlights a “precision crisis” [222]. The field struggles with the validation of central mechanisms in humans, as direct evidence of AHN remains methodologically fraught and heavily debated, relying on rare postmortem samples rather than accessible live biomarkers [18, 223].\nFinally, while observational studies struggle with the “chicken‐and‐egg” problem of dysbiosis, emerging genetic evidence is beginning to resolve the directionality of these associations. Two‐sample Mendelian Randomization studies have recently identified specific causal bacterial taxa—such as the link between Prevotellaceae and autism spectrum disorder—explicitly ruling out reverse causality in these specific pairings [224]. Thus, the challenge is no longer establishing if the gut affects the brain but identifying which strains are effective for which human phenotypes [225].\n\n\n### 4. Human Translation and Comparative Biology\nTranslating findings from rodent models to human biology presents significant challenges, rooted in species‐specific biological differences but also in a profound methodological crisis regarding how human tissue is processed and analyzed [226]. The neuro–immune–vascular interface has emerged as a critical nexus for this translation, as dynamic interactions between these systems are pivotal in maintaining homeostasis and responding to stress [227, 228]. The neuro–immune–vascular interface remains a critical nexus for this translation, yet the dynamic interactions observed in mice are difficult to capture in human postmortem samples. To resolve the conflicting reports regarding the persistence of AHN in humans, it is necessary to move beyond descriptive phenomenology and address the specific technical variables—fixation kinetics, postmortem interval (PMI), and autofluorescence—that determine whether neurogenic markers are detected or masked. Furthermore, the integration of multiomic and volumetric imaging approaches offers a path to validate these histological findings mechanistically.\nComparative studies reveal profound differences in the organization and temporal dynamics of neurogenic niches across species. While rodent neurogenesis is characterized by rapid maturation cycles lasting weeks, primate neurogenesis is marked by a notably “protracted maturation” period. For example, granule cells in the dentate gyrus of adult macaques take at least 6 months to mature—over six times longer than in rodents [229]. This phenomenon of extended plasticity is particularly evident in the primate amygdala and neocortex. In humans, immature excitatory neurons in the amygdala can persist in a state of deep quiescence for decades, serving as a substrate for persistent plasticity [230]. Similarly, studies in the common marmoset reveal that while hippocampal neurons mature within months, postnatally born neurons in the neocortex remain immature for up to half a year [231]. This extended timeline suggests that the primate brain prioritizes the maintenance of a “neurogenic reserve”—a sustained pool of plastic, immature neurons or stem cells—rather than the high‐throughput proliferation seen in short‐lived mammals [232, 233]. Recent genetic analyses have confirmed human‐specific regulatory patterns, including delayed acquisition of mature neuronal profiles and neoteny, that underlie this prolonged plasticity [234].\nThe controversy surrounding human AHN is driven largely by methodological divergence. While some studies report a sharp cessation of neurogenesis in childhood [235], others utilizing optimized protocols demonstrate its persistence into the tenth decade of life [18]. This discrepancy stems from three critical variables that affect the stability and detectability of neurogenic markers like doublecortin (DCX).\nThe standard practice of immersing whole human hemispheres in formalin leads to prolonged fixation times, often exceeding several weeks. This extended exposure catalyzes the formation of dense methylene bridge cross‐links that sterically hinder antibody binding, effectively “masking” epitopes [236]. Although some antigens are robust, labile markers associated with plasticity are highly sensitive to this cross‐linking. Studies utilizing shorter fixation times (<24 h) or employing aggressive heat‐induced antigen retrieval have successfully unmasked abundant DCX + populations in aged subjects that were invisible in standard preparations [237]. Furthermore, the development of alternative fixatives like glyoxal or glyoxal acid‐free solutions offers promise for better preserving antigenicity in future biobanking [238, 239].\nNeurogenic markers are differentially labile. While “housekeeping” proteins like NeuN are stable, cytoskeletal proteins “DCX” and cell cycle markers Ki67 are prone to rapid degradation. Recent experimental work in mice confirms that while fixation time is a dominant variable, the PMI is a critical compounding factor that reduces the visualization of immature neurons, with effects being significantly more severe in aged animals [240]. This age‐by–PMI interaction creates a “floor effect”: in aged brains where baseline neurogenesis is already low, even moderate PMIs delay fixation enough to degrade dendritic arbors to the point where immature neurons resemble small glial cells, leading to false negatives [20]. Rigorous validation, therefore, requires donor selection with minimal PMI to preserve the dendritic integrity essential for morphological identification.\nThe accumulation of lipofuscin, an autofluorescent pigment composed of oxidized lipids and misfolded proteins, is a hallmark of the aging human hippocampus [241]. This accumulation introduces a severe signal‐to‐noise problem, as lipofuscin fluorescence overlaps with common imaging channels, leading to the misidentification of glia as neurons (false positives) or the masking of faint signals (false negatives) [242]. To resolve this, modern protocols must employ chemical quenching agents such as Sudan Black B or newer commercial reagents like TrueBlack, which reduce autofluorescence by over 89% without compromising immunolabeling [243]. Alternatively, photobleaching with high‐intensity white light has emerged as a cost‐effective method to eliminate this background signal [244].\nTo transcend the limitations of traditional histology, the field is increasingly turning to high‐dimensional modalities that provide mechanistic validation of the neurogenic process [245].\nSingle‐nucleus RNA sequencing allows for the analysis of biobanked frozen tissue, capable of resolving cellular heterogeneity often lost in bulk analysis [246]. Recent breakthroughs utilizing supervised machine learning have addressed the statistical challenge of detection. A landmark study successfully identified proliferating neural progenitors in the adult human hippocampus that share the transcriptomic signature of developmental neurogenesis, confirming their persistence [247]. Furthermore, these multiomic approaches have defined the molecular landscape of human immature neurons, identifying specific epigenetic barriers (e.g., EZH2 and DOT1L) that orchestrate the protracted maturation phenotype unique to primates [248, 249].\nValidating the location of these cells is the final evidentiary step. Spatial transcriptomics technologies (e.g., Visium and MERFISH) enable the mapping of gene expression directly within tissue architecture. While initially deployed to map laminar signatures in the human prefrontal cortex [250], these tools are now essential for distinguishing bona fide immature neurons from inhibitory interneurons or glial cells that may express overlapping markers. This spatial resolution is critical for resolving the “identity crisis” of cells in the adult niche by bypassing tissue dissociation [251, 252].\nFinally, to visualize the complex dendritic arbors of new neurons in 3D, tissue‐clearing protocols optimized for human archival tissue are revolutionizing histological analysis. Techniques such as aDISCO have proven versatile for FFPE blocks, enabling the consistent staining and clearing of samples stored for at least 15 years [253]. Concurrently, methods like SHANEL allow for the cellular mapping of intact, whole human organs [254]. By coupling these clearing techniques with lipophilic tracers, researchers can now visualize dendritic trees and spines in 3D with high resolution, providing morphological proof of neurogenesis without the sampling errors inherent in 2D sectioning [226, 255].\nThe question of whether the adult human brain retains the capacity for neurogenesis remains one of the most polarizing debates in modern neuroscience, characterized by a fundamental epistemological crisis driven by histological methodology [19, 256]. This division is exemplified by diametrically opposed conclusions: while some groups argue that hippocampal neurogenesis extinguishes in childhood [257], others have demonstrated the persistence of thousands of immature neurons into the ninth decade of life [258, 259]. This divergence is largely attributable to the “unholy trinity” of histological artifacts: fixation kinetics, PMI, and lipofuscin autofluorescence [237, 257]. The detection of the gold‐standard marker DCX is mathematically determined by the kinetics of aldehyde fixation; prolonged immersion (weeks to months), typical of standard brain banks, creates dense methylene bridge cross‐links that sterically hinder antibody binding. Indeed, comparative models confirm that fixation time, rather than PMI, is the primary factor in sterilizing the tissue of signal [240]. In contrast, protocols restricting fixation to a 24 h window reveal robust neurogenic populations that are otherwise masked [18, 260]. Furthermore, the accumulation of lipofuscin—an undegradable, autofluorescent lysosomal pigment—in aging neurons creates a severe signal‐to‐noise problem. While traditional quenching (e.g., Sudan Black B) has been standard, recent advances utilize high‐intensity white light photobleaching to eliminate this background without the chemical interference associated with dye‐based quenchers [244, 261]. Beyond these technical barriers lies a biological controversy regarding “dematuration.” Critics argue that even if DCX + cells are detected, they may not represent newly born neurons derived from a stem cell niche, but rather mature granule cells that have reverted to an immature phenotype in response to stress [262]. Resolving this identity crisis requires moving beyond standard immunohistochemistry to integrate spatial transcriptomics. Recent applications of this technology have begun to map the precise molecular phenotype of these cells, distinguishing true neurogenic lineages from ambiguous or demature profiles with unprecedented resolution [263, 264].\n\n\n### 4.1. Species‐Specific Architectures of the Neurogenic Niche\nComparative studies reveal profound differences in the organization and temporal dynamics of neurogenic niches across species. While rodent neurogenesis is characterized by rapid maturation cycles lasting weeks, primate neurogenesis is marked by a notably “protracted maturation” period. For example, granule cells in the dentate gyrus of adult macaques take at least 6 months to mature—over six times longer than in rodents [229]. This phenomenon of extended plasticity is particularly evident in the primate amygdala and neocortex. In humans, immature excitatory neurons in the amygdala can persist in a state of deep quiescence for decades, serving as a substrate for persistent plasticity [230]. Similarly, studies in the common marmoset reveal that while hippocampal neurons mature within months, postnatally born neurons in the neocortex remain immature for up to half a year [231]. This extended timeline suggests that the primate brain prioritizes the maintenance of a “neurogenic reserve”—a sustained pool of plastic, immature neurons or stem cells—rather than the high‐throughput proliferation seen in short‐lived mammals [232, 233]. Recent genetic analyses have confirmed human‐specific regulatory patterns, including delayed acquisition of mature neuronal profiles and neoteny, that underlie this prolonged plasticity [234].\n\n\n### 4.2. The Controversy of Adult Human Hippocampal Neurogenesis\nThe controversy surrounding human AHN is driven largely by methodological divergence. While some studies report a sharp cessation of neurogenesis in childhood [235], others utilizing optimized protocols demonstrate its persistence into the tenth decade of life [18]. This discrepancy stems from three critical variables that affect the stability and detectability of neurogenic markers like doublecortin (DCX).\nThe standard practice of immersing whole human hemispheres in formalin leads to prolonged fixation times, often exceeding several weeks. This extended exposure catalyzes the formation of dense methylene bridge cross‐links that sterically hinder antibody binding, effectively “masking” epitopes [236]. Although some antigens are robust, labile markers associated with plasticity are highly sensitive to this cross‐linking. Studies utilizing shorter fixation times (<24 h) or employing aggressive heat‐induced antigen retrieval have successfully unmasked abundant DCX + populations in aged subjects that were invisible in standard preparations [237]. Furthermore, the development of alternative fixatives like glyoxal or glyoxal acid‐free solutions offers promise for better preserving antigenicity in future biobanking [238, 239].\nNeurogenic markers are differentially labile. While “housekeeping” proteins like NeuN are stable, cytoskeletal proteins “DCX” and cell cycle markers Ki67 are prone to rapid degradation. Recent experimental work in mice confirms that while fixation time is a dominant variable, the PMI is a critical compounding factor that reduces the visualization of immature neurons, with effects being significantly more severe in aged animals [240]. This age‐by–PMI interaction creates a “floor effect”: in aged brains where baseline neurogenesis is already low, even moderate PMIs delay fixation enough to degrade dendritic arbors to the point where immature neurons resemble small glial cells, leading to false negatives [20]. Rigorous validation, therefore, requires donor selection with minimal PMI to preserve the dendritic integrity essential for morphological identification.\nThe accumulation of lipofuscin, an autofluorescent pigment composed of oxidized lipids and misfolded proteins, is a hallmark of the aging human hippocampus [241]. This accumulation introduces a severe signal‐to‐noise problem, as lipofuscin fluorescence overlaps with common imaging channels, leading to the misidentification of glia as neurons (false positives) or the masking of faint signals (false negatives) [242]. To resolve this, modern protocols must employ chemical quenching agents such as Sudan Black B or newer commercial reagents like TrueBlack, which reduce autofluorescence by over 89% without compromising immunolabeling [243]. Alternatively, photobleaching with high‐intensity white light has emerged as a cost‐effective method to eliminate this background signal [244].\n\n\n### 4.2.1. Fixation Kinetics and Epitope Masking\nThe standard practice of immersing whole human hemispheres in formalin leads to prolonged fixation times, often exceeding several weeks. This extended exposure catalyzes the formation of dense methylene bridge cross‐links that sterically hinder antibody binding, effectively “masking” epitopes [236]. Although some antigens are robust, labile markers associated with plasticity are highly sensitive to this cross‐linking. Studies utilizing shorter fixation times (<24 h) or employing aggressive heat‐induced antigen retrieval have successfully unmasked abundant DCX + populations in aged subjects that were invisible in standard preparations [237]. Furthermore, the development of alternative fixatives like glyoxal or glyoxal acid‐free solutions offers promise for better preserving antigenicity in future biobanking [238, 239].\n\n\n### 4.2.2. The Age–PMI Interaction\nNeurogenic markers are differentially labile. While “housekeeping” proteins like NeuN are stable, cytoskeletal proteins “DCX” and cell cycle markers Ki67 are prone to rapid degradation. Recent experimental work in mice confirms that while fixation time is a dominant variable, the PMI is a critical compounding factor that reduces the visualization of immature neurons, with effects being significantly more severe in aged animals [240]. This age‐by–PMI interaction creates a “floor effect”: in aged brains where baseline neurogenesis is already low, even moderate PMIs delay fixation enough to degrade dendritic arbors to the point where immature neurons resemble small glial cells, leading to false negatives [20]. Rigorous validation, therefore, requires donor selection with minimal PMI to preserve the dendritic integrity essential for morphological identification.\n\n\n### 4.2.3. Lipofuscin and Autofluorescence\nThe accumulation of lipofuscin, an autofluorescent pigment composed of oxidized lipids and misfolded proteins, is a hallmark of the aging human hippocampus [241]. This accumulation introduces a severe signal‐to‐noise problem, as lipofuscin fluorescence overlaps with common imaging channels, leading to the misidentification of glia as neurons (false positives) or the masking of faint signals (false negatives) [242]. To resolve this, modern protocols must employ chemical quenching agents such as Sudan Black B or newer commercial reagents like TrueBlack, which reduce autofluorescence by over 89% without compromising immunolabeling [243]. Alternatively, photobleaching with high‐intensity white light has emerged as a cost‐effective method to eliminate this background signal [244].\n\n\n### 4.3. Resolving Discrepancies Through Emerging Omics and Imaging\nTo transcend the limitations of traditional histology, the field is increasingly turning to high‐dimensional modalities that provide mechanistic validation of the neurogenic process [245].\nSingle‐nucleus RNA sequencing allows for the analysis of biobanked frozen tissue, capable of resolving cellular heterogeneity often lost in bulk analysis [246]. Recent breakthroughs utilizing supervised machine learning have addressed the statistical challenge of detection. A landmark study successfully identified proliferating neural progenitors in the adult human hippocampus that share the transcriptomic signature of developmental neurogenesis, confirming their persistence [247]. Furthermore, these multiomic approaches have defined the molecular landscape of human immature neurons, identifying specific epigenetic barriers (e.g., EZH2 and DOT1L) that orchestrate the protracted maturation phenotype unique to primates [248, 249].\nValidating the location of these cells is the final evidentiary step. Spatial transcriptomics technologies (e.g., Visium and MERFISH) enable the mapping of gene expression directly within tissue architecture. While initially deployed to map laminar signatures in the human prefrontal cortex [250], these tools are now essential for distinguishing bona fide immature neurons from inhibitory interneurons or glial cells that may express overlapping markers. This spatial resolution is critical for resolving the “identity crisis” of cells in the adult niche by bypassing tissue dissociation [251, 252].\nFinally, to visualize the complex dendritic arbors of new neurons in 3D, tissue‐clearing protocols optimized for human archival tissue are revolutionizing histological analysis. Techniques such as aDISCO have proven versatile for FFPE blocks, enabling the consistent staining and clearing of samples stored for at least 15 years [253]. Concurrently, methods like SHANEL allow for the cellular mapping of intact, whole human organs [254]. By coupling these clearing techniques with lipophilic tracers, researchers can now visualize dendritic trees and spines in 3D with high resolution, providing morphological proof of neurogenesis without the sampling errors inherent in 2D sectioning [226, 255].\n\n\n### 4.3.1. Single‐Nucleus Transcriptomics and Machine Learning\nSingle‐nucleus RNA sequencing allows for the analysis of biobanked frozen tissue, capable of resolving cellular heterogeneity often lost in bulk analysis [246]. Recent breakthroughs utilizing supervised machine learning have addressed the statistical challenge of detection. A landmark study successfully identified proliferating neural progenitors in the adult human hippocampus that share the transcriptomic signature of developmental neurogenesis, confirming their persistence [247]. Furthermore, these multiomic approaches have defined the molecular landscape of human immature neurons, identifying specific epigenetic barriers (e.g., EZH2 and DOT1L) that orchestrate the protracted maturation phenotype unique to primates [248, 249].\n\n\n### 4.3.2. Spatial Transcriptomics\nValidating the location of these cells is the final evidentiary step. Spatial transcriptomics technologies (e.g., Visium and MERFISH) enable the mapping of gene expression directly within tissue architecture. While initially deployed to map laminar signatures in the human prefrontal cortex [250], these tools are now essential for distinguishing bona fide immature neurons from inhibitory interneurons or glial cells that may express overlapping markers. This spatial resolution is critical for resolving the “identity crisis” of cells in the adult niche by bypassing tissue dissociation [251, 252].\n\n\n### 4.3.3. Volumetric Imaging and Tissue Clearing\nFinally, to visualize the complex dendritic arbors of new neurons in 3D, tissue‐clearing protocols optimized for human archival tissue are revolutionizing histological analysis. Techniques such as aDISCO have proven versatile for FFPE blocks, enabling the consistent staining and clearing of samples stored for at least 15 years [253]. Concurrently, methods like SHANEL allow for the cellular mapping of intact, whole human organs [254]. By coupling these clearing techniques with lipophilic tracers, researchers can now visualize dendritic trees and spines in 3D with high resolution, providing morphological proof of neurogenesis without the sampling errors inherent in 2D sectioning [226, 255].\n\n\n### 4.4. Key Controversies: The Identity Crisis of Adult Human Neurogenesis\nThe question of whether the adult human brain retains the capacity for neurogenesis remains one of the most polarizing debates in modern neuroscience, characterized by a fundamental epistemological crisis driven by histological methodology [19, 256]. This division is exemplified by diametrically opposed conclusions: while some groups argue that hippocampal neurogenesis extinguishes in childhood [257], others have demonstrated the persistence of thousands of immature neurons into the ninth decade of life [258, 259]. This divergence is largely attributable to the “unholy trinity” of histological artifacts: fixation kinetics, PMI, and lipofuscin autofluorescence [237, 257]. The detection of the gold‐standard marker DCX is mathematically determined by the kinetics of aldehyde fixation; prolonged immersion (weeks to months), typical of standard brain banks, creates dense methylene bridge cross‐links that sterically hinder antibody binding. Indeed, comparative models confirm that fixation time, rather than PMI, is the primary factor in sterilizing the tissue of signal [240]. In contrast, protocols restricting fixation to a 24 h window reveal robust neurogenic populations that are otherwise masked [18, 260]. Furthermore, the accumulation of lipofuscin—an undegradable, autofluorescent lysosomal pigment—in aging neurons creates a severe signal‐to‐noise problem. While traditional quenching (e.g., Sudan Black B) has been standard, recent advances utilize high‐intensity white light photobleaching to eliminate this background without the chemical interference associated with dye‐based quenchers [244, 261]. Beyond these technical barriers lies a biological controversy regarding “dematuration.” Critics argue that even if DCX + cells are detected, they may not represent newly born neurons derived from a stem cell niche, but rather mature granule cells that have reverted to an immature phenotype in response to stress [262]. Resolving this identity crisis requires moving beyond standard immunohistochemistry to integrate spatial transcriptomics. Recent applications of this technology have begun to map the precise molecular phenotype of these cells, distinguishing true neurogenic lineages from ambiguous or demature profiles with unprecedented resolution [263, 264].\n\n\n### 5. The Breakdown of the Alliance: Pathological Hubs\nGiven its critical role in brain plasticity, the deterioration of the neurogenic niche is a central feature and common pathological hub across a wide spectrum of neurological disorders (Table 1). In the context of physiological aging, the niche undergoes a significant decline driven by interconnected processes including vascular senescence, chronic low‐grade inflammation (inflammaging), and the accumulation of senescent cells [34, 60]. In conditions like chronic stress and depression, neuroinflammatory processes degrade the niche’s integrity through mechanisms such as HPA axis dysregulation and glucocorticoid‐mediated suppression of NSCs [62]. In neurodegenerative disorders such as AD and Parkinson’s disease (PD), disease‐specific pathologies converge to dismantle the tripartite alliance, transforming a site of plasticity into a driver of disease progression through chronic neuroinflammation, BBB disruption, and aberrant stem cell responses (Figure 3A) [36, 265].\nDysfunction and therapeutic restoration of the neurogenic niche. (A) Pathological state in conditions such as aging, chronic stress, or Alzheimer’s disease, depicting a deteriorated niche with senescent or apoptotic NSCs, compromised BBB integrity and cerebral amyloid angiopathy, neurotoxic reactive astrogliosis, and reactive microglia releasing cytokines (e.g., IL‐1β and TNF‐α), amid hallmarks like Aβ plaques, neurofibrillary tangles, and chronic neuroinflammation. This leads to suppressed neurogenesis, exacerbated pathology, and cognitive decline. (B) Therapeutically restored state following interventions such as senolytics (for senescent cell clearance), microglial modulation (e.g., via CSF1R inhibitors), mesenchymal stem cell (MSC)‐derived exosomes, and lifestyle factors (e.g., exercise and diet), showing rejuvenated NSCs with active proliferation, restored BBB integrity, homeostatic astrocytes, and homeostatic microglia releasing trophic factors (e.g., IGF‐1 and BDNF). This results in reduced inflammation, enhanced neurogenesis, and potential for brain repair.\nAging precipitates a significant decline in the functional integrity of the neurogenic niche. This deterioration involves a cascade of interconnected processes, including vascular senescence, chronic inflammaging, the accumulation of senescent cells, and epigenetic alterations.\nThe age‐related decline of the vascular system is a primary driver of neurogenic failure. Neurovascular aging manifests as impaired oxygen delivery, compromised protein clearance, and BBB disruption, which facilitates the infiltration of peripheral immune cells and exacerbates neuroinflammation [34, 35]. Arterial stiffness and endothelial dysfunction promote a preatherogenic state and are mechanistically linked to impaired angiogenesis and pathological microcirculatory remodeling [266, 267].\nAging is characterized by inflammaging. Within the aging brain, microglia transition to a “primed” state—an altered phenotype marked by exaggerated sensitivity to stimuli and amplified inflammatory output—exhibiting a heightened and prolonged inflammatory response to stimuli, resulting in the sustained production of pro‐inflammatory cytokines that contribute to cognitive deficits [60, 61]. Aged microglia also experience defects in homeostatic functions like phagocytosis, creating a self‐perpetuating cycle of neuroinflammation and neurotoxicity [268].\nSenescent cells, including astrocytes, microglia, and NSCs, accumulate in the aging brain and adopt a senescence‐associated secretory phenotype (SASP) [52, 269]. While traditionally defined by soluble cytokines, recent evidence identifies EVs (SASP‐EVs) as a critical component of the senescent phenotype [270, 271]. Senescent endothelial cells secrete elevated numbers of EVs containing a pro‐senescent cargo. For instance, senescent human umbilical vein endothelial cells release small EVs enriched with miR‐21–5p and miR‐217, which target DNMT1 and SIRT1 to propagate senescence and inhibit proliferation in neighboring cells [272]. Additionally, proteomic analyses have identified the accumulation of CAP1 in EVs from aged endothelium, which drives senescence and accelerates atheroma plaque formation [273]. When internalized by recipient cells within the niche, these SASP‐EVs can modulate the DNA Damage Response, transmitting senescence via the “bystander effect” [274, 275]. This inflammatory microenvironment poses a dual threat: it compromises the structural integrity of the BBB [276] and disrupts the intercellular configuration of NSCs. Notably, the maintenance of stemness in NSCs relies on tight junction proteins (e.g., ZO‐1 and occludin); their downregulation—often precipitated by niche dysregulation—forces a premature loss of the stem cell pool [277].\nThe aging niche is further compromised by the depletion of “youthful” vesicular signals [278, 279]. In healthy states, circulating EVs carry regenerative cargos such as α‐Klotho mRNA, which has been shown to restore bioenergetics and regenerative capacity in aged tissues [280]. Furthermore, young EVs maintain metabolic homeostasis by delivering miR‐223–3 p, which directly targets and suppresses the NLRP3 inflammasome [281, 282]. The age‐dependent reduction in these protective cargos, coupled with a failure to stimulate PGC‐1 α‐mediated mitochondrial metabolism [283], prevents the niche from mounting an effective regenerative response [284].\nAging is accompanied by a dysregulation of transcriptional and chromatin networks, termed “epigenetic drift” [285]. These alterations in the epigenetic landscape of NSCs contribute to their diminished proliferation and increased quiescence, while compromised signaling from aging niche cells accelerates this decline, leading to a collapse of tissue homeostasis [286].\nChronic stress is a potent catalyst for neuroinflammatory processes that degrade the niche’s integrity and contribute to major depressive disorder. The neuroimmunoinflammatory stress model posits that depression represents a terminal stage of chronic stress, marked by sustained pro‐inflammatory responses that culminate in neuroinflammation. This involves dysregulation of the HPA axis and heightened inflammation in key mood‐regulating brain regions [62, 287]. A primary consequence is the elevation of glucocorticoids, which potently suppress NSC proliferation by activating GRs on NSCs, triggering cell cycle arrest in the G1/G0 phase through the degradation of cyclin D1 and upregulation of inhibitory genes [85, 288]. Microglia play a pivotal role, as elevated glucocorticoids can prime them toward a pro‐inflammatory state via a GR‐NF‐κB‐NLRP3 inflammasome pathway [288]. Chronic stress also significantly disrupts trophic support, most notably by reducing the expression of BDNF through multiple convergent mechanisms involving glial and vascular dysfunction, including epigenetic suppression of BDNF transcription [287, 289]. Encouragingly, interventions like mindfulness and exercise can modulate these pathways, highlighting the plasticity of the niche as a therapeutic target for stress‐related disorders [290].\nIn AD, the pathological accumulation of amyloid‐β (Aβ) and hyperphosphorylated tau dismantles the neurogenic niche. The effect of Aβ oligomers on NSCs is complex; high concentrations induce apoptosis, DNA damage, and oxidative stress, yet some studies report context‐dependent neurogenic‐promoting effects [291, 292]. The vascular pillar is severely compromised through cerebral amyloid angiopathy, where Aβ accumulates within cerebral blood vessel walls, impairing Aβ clearance, undermining the neurovascular unit, and leading to BBB compromise and chronic cerebral hypoperfusion [36–38]. Hyperphosphorylated tau also becomes a disruptive force, impeding microtubule dynamics and eliciting neuroinflammatory responses [293, 294]. Finally, chronic neuroinflammation, driven by microglial activation in response to Aβ plaques, creates a hostile “cytokine storm”—an excessive and dysregulated release of pro‐inflammatory cytokines that overwhelms homeostatic signaling—directly suppressing AHN and transforming the niche into one that actively promotes neurodegeneration (Figure 3A) [63, 64].\nBreakdown of the tripartite alliance is a common pathological hub across a spectrum of neurological disorders.\nCognitive deficits arise from neurovascular decoupling, dysregulated microglial activation that creates a vicious cycle with dying neurons, and vascular pathology, including a compromised BBB [39, 40, 265].\nTBI triggers an acute activation of NSCs, but this regenerative attempt is often thwarted as differentiation is skewed toward an astrocytic fate. The chronic phase is characterized by a glial scar and persistent neuroinflammation that suppresses NSC proliferation and compromises recovery [295].\nSeizures profoundly disrupt hippocampal neurogenesis, transforming it into a pathological driver. The neurogenesis that occurs is aberrant, with newborn granule cells displaying persistent immaturity, migrating to ectopic locations, and contributing to network hyperexcitability, making it proepileptogenic rather than reparative [71].\nIn conditions like vascular cognitive impairment and multiple sclerosis, immune‐mediated neurovascular dysfunction is a primary driver. Dysregulated glial activation and infiltration of inflammatory cells promote white matter degeneration, while systemic vascular comorbidities are linked to greater disability, highlighting a bidirectional relationship between peripheral vascular health and central neurodegeneration (Figure 3 for a summary of niche breakdown across pathologies) [296, 297].\nA critical unresolved question is whether the neurogenic response observed in neurological disorders represents a failed reparative attempt (compensatory) or an active driver of pathology (maladaptive) [298, 299]. While the “Neurogenic Reserve Hypothesis” posits that plasticity confers resilience [300, 301], evidence from temporal lobe epilepsy (TLE) and AD suggests that in a corrupted niche, this reserve can paradoxically become a liability. In TLE, the mechanisms of neurogenesis are subverted to support seizure generation [302]. Seizure‐induced proliferation results in Hilar Ectopic Granule Cells—neurons that migrate aberrantly into the hilus. While historically attributed to Reelin loss, recent evidence identifies excitatory GABAergic signaling (driven by upregulated NKCC1) as the force reversing the migration of these newborn cells [303, 304]. These ectopic cells are not bystanders; they exhibit intrinsic hyperexcitability and act as “hub cells” that synchronize the epileptic network [305, 306]. Furthermore, they contribute to “recurrent excitatory loops” via Mossy Fiber Sprouting, bypassing the physiological dentate gate [307, 308]. In AD, the maladaptation is subtler. The “Tau‐mediated aberrant neurogenesis” hypothesis proposes that the high‐plasticity state of newborn neurons makes them uniquely vulnerable to hyperphosphorylation, potentially turning them into “Trojan horses” that act as vectors for spreading Tau pathology [309]. This is compounded by niche corruption, where Tau accumulation in hilar astrocytes further impairs metabolic support and synaptic integration [310]. Additionally, populations of stalled immature neurons—trapped in a state of developmental arrest—contribute to “silent” network hyperexcitability and background noise that degrades memory encoding [311, 312]. This raises a therapeutic dilemma: indiscriminately boosting neurogenesis without correcting the niche could inadvertently accelerate disease by generating pro‐epileptogenic or dystrophic neurons. Thus, the field must resolve whether the primary goal is to enhance neuronal quantity or to first restore the quality of the niche signals—such as bioelectric or metabolic cues—that guide them [313, 314].\n\n\n### 5.1. The Aging Niche\nAging precipitates a significant decline in the functional integrity of the neurogenic niche. This deterioration involves a cascade of interconnected processes, including vascular senescence, chronic inflammaging, the accumulation of senescent cells, and epigenetic alterations.\nThe age‐related decline of the vascular system is a primary driver of neurogenic failure. Neurovascular aging manifests as impaired oxygen delivery, compromised protein clearance, and BBB disruption, which facilitates the infiltration of peripheral immune cells and exacerbates neuroinflammation [34, 35]. Arterial stiffness and endothelial dysfunction promote a preatherogenic state and are mechanistically linked to impaired angiogenesis and pathological microcirculatory remodeling [266, 267].\nAging is characterized by inflammaging. Within the aging brain, microglia transition to a “primed” state—an altered phenotype marked by exaggerated sensitivity to stimuli and amplified inflammatory output—exhibiting a heightened and prolonged inflammatory response to stimuli, resulting in the sustained production of pro‐inflammatory cytokines that contribute to cognitive deficits [60, 61]. Aged microglia also experience defects in homeostatic functions like phagocytosis, creating a self‐perpetuating cycle of neuroinflammation and neurotoxicity [268].\nSenescent cells, including astrocytes, microglia, and NSCs, accumulate in the aging brain and adopt a senescence‐associated secretory phenotype (SASP) [52, 269]. While traditionally defined by soluble cytokines, recent evidence identifies EVs (SASP‐EVs) as a critical component of the senescent phenotype [270, 271]. Senescent endothelial cells secrete elevated numbers of EVs containing a pro‐senescent cargo. For instance, senescent human umbilical vein endothelial cells release small EVs enriched with miR‐21–5p and miR‐217, which target DNMT1 and SIRT1 to propagate senescence and inhibit proliferation in neighboring cells [272]. Additionally, proteomic analyses have identified the accumulation of CAP1 in EVs from aged endothelium, which drives senescence and accelerates atheroma plaque formation [273]. When internalized by recipient cells within the niche, these SASP‐EVs can modulate the DNA Damage Response, transmitting senescence via the “bystander effect” [274, 275]. This inflammatory microenvironment poses a dual threat: it compromises the structural integrity of the BBB [276] and disrupts the intercellular configuration of NSCs. Notably, the maintenance of stemness in NSCs relies on tight junction proteins (e.g., ZO‐1 and occludin); their downregulation—often precipitated by niche dysregulation—forces a premature loss of the stem cell pool [277].\nThe aging niche is further compromised by the depletion of “youthful” vesicular signals [278, 279]. In healthy states, circulating EVs carry regenerative cargos such as α‐Klotho mRNA, which has been shown to restore bioenergetics and regenerative capacity in aged tissues [280]. Furthermore, young EVs maintain metabolic homeostasis by delivering miR‐223–3 p, which directly targets and suppresses the NLRP3 inflammasome [281, 282]. The age‐dependent reduction in these protective cargos, coupled with a failure to stimulate PGC‐1 α‐mediated mitochondrial metabolism [283], prevents the niche from mounting an effective regenerative response [284].\nAging is accompanied by a dysregulation of transcriptional and chromatin networks, termed “epigenetic drift” [285]. These alterations in the epigenetic landscape of NSCs contribute to their diminished proliferation and increased quiescence, while compromised signaling from aging niche cells accelerates this decline, leading to a collapse of tissue homeostasis [286].\n\n\n### 5.1.1. Vascular Deterioration\nThe age‐related decline of the vascular system is a primary driver of neurogenic failure. Neurovascular aging manifests as impaired oxygen delivery, compromised protein clearance, and BBB disruption, which facilitates the infiltration of peripheral immune cells and exacerbates neuroinflammation [34, 35]. Arterial stiffness and endothelial dysfunction promote a preatherogenic state and are mechanistically linked to impaired angiogenesis and pathological microcirculatory remodeling [266, 267].\n\n\n### 5.1.2. Inflammaging and Primed Glia\nAging is characterized by inflammaging. Within the aging brain, microglia transition to a “primed” state—an altered phenotype marked by exaggerated sensitivity to stimuli and amplified inflammatory output—exhibiting a heightened and prolonged inflammatory response to stimuli, resulting in the sustained production of pro‐inflammatory cytokines that contribute to cognitive deficits [60, 61]. Aged microglia also experience defects in homeostatic functions like phagocytosis, creating a self‐perpetuating cycle of neuroinflammation and neurotoxicity [268].\n\n\n### 5.1.3. Cellular Senescence\nSenescent cells, including astrocytes, microglia, and NSCs, accumulate in the aging brain and adopt a senescence‐associated secretory phenotype (SASP) [52, 269]. While traditionally defined by soluble cytokines, recent evidence identifies EVs (SASP‐EVs) as a critical component of the senescent phenotype [270, 271]. Senescent endothelial cells secrete elevated numbers of EVs containing a pro‐senescent cargo. For instance, senescent human umbilical vein endothelial cells release small EVs enriched with miR‐21–5p and miR‐217, which target DNMT1 and SIRT1 to propagate senescence and inhibit proliferation in neighboring cells [272]. Additionally, proteomic analyses have identified the accumulation of CAP1 in EVs from aged endothelium, which drives senescence and accelerates atheroma plaque formation [273]. When internalized by recipient cells within the niche, these SASP‐EVs can modulate the DNA Damage Response, transmitting senescence via the “bystander effect” [274, 275]. This inflammatory microenvironment poses a dual threat: it compromises the structural integrity of the BBB [276] and disrupts the intercellular configuration of NSCs. Notably, the maintenance of stemness in NSCs relies on tight junction proteins (e.g., ZO‐1 and occludin); their downregulation—often precipitated by niche dysregulation—forces a premature loss of the stem cell pool [277].\n\n\n### 5.1.4. Loss of Rejuvenating Signals\nThe aging niche is further compromised by the depletion of “youthful” vesicular signals [278, 279]. In healthy states, circulating EVs carry regenerative cargos such as α‐Klotho mRNA, which has been shown to restore bioenergetics and regenerative capacity in aged tissues [280]. Furthermore, young EVs maintain metabolic homeostasis by delivering miR‐223–3 p, which directly targets and suppresses the NLRP3 inflammasome [281, 282]. The age‐dependent reduction in these protective cargos, coupled with a failure to stimulate PGC‐1 α‐mediated mitochondrial metabolism [283], prevents the niche from mounting an effective regenerative response [284].\n\n\n### 5.1.5. Epigenetic Drift\nAging is accompanied by a dysregulation of transcriptional and chromatin networks, termed “epigenetic drift” [285]. These alterations in the epigenetic landscape of NSCs contribute to their diminished proliferation and increased quiescence, while compromised signaling from aging niche cells accelerates this decline, leading to a collapse of tissue homeostasis [286].\n\n\n### 5.2. Stress and Depression\nChronic stress is a potent catalyst for neuroinflammatory processes that degrade the niche’s integrity and contribute to major depressive disorder. The neuroimmunoinflammatory stress model posits that depression represents a terminal stage of chronic stress, marked by sustained pro‐inflammatory responses that culminate in neuroinflammation. This involves dysregulation of the HPA axis and heightened inflammation in key mood‐regulating brain regions [62, 287]. A primary consequence is the elevation of glucocorticoids, which potently suppress NSC proliferation by activating GRs on NSCs, triggering cell cycle arrest in the G1/G0 phase through the degradation of cyclin D1 and upregulation of inhibitory genes [85, 288]. Microglia play a pivotal role, as elevated glucocorticoids can prime them toward a pro‐inflammatory state via a GR‐NF‐κB‐NLRP3 inflammasome pathway [288]. Chronic stress also significantly disrupts trophic support, most notably by reducing the expression of BDNF through multiple convergent mechanisms involving glial and vascular dysfunction, including epigenetic suppression of BDNF transcription [287, 289]. Encouragingly, interventions like mindfulness and exercise can modulate these pathways, highlighting the plasticity of the niche as a therapeutic target for stress‐related disorders [290].\n\n\n### 5.3. AD\nIn AD, the pathological accumulation of amyloid‐β (Aβ) and hyperphosphorylated tau dismantles the neurogenic niche. The effect of Aβ oligomers on NSCs is complex; high concentrations induce apoptosis, DNA damage, and oxidative stress, yet some studies report context‐dependent neurogenic‐promoting effects [291, 292]. The vascular pillar is severely compromised through cerebral amyloid angiopathy, where Aβ accumulates within cerebral blood vessel walls, impairing Aβ clearance, undermining the neurovascular unit, and leading to BBB compromise and chronic cerebral hypoperfusion [36–38]. Hyperphosphorylated tau also becomes a disruptive force, impeding microtubule dynamics and eliciting neuroinflammatory responses [293, 294]. Finally, chronic neuroinflammation, driven by microglial activation in response to Aβ plaques, creates a hostile “cytokine storm”—an excessive and dysregulated release of pro‐inflammatory cytokines that overwhelms homeostatic signaling—directly suppressing AHN and transforming the niche into one that actively promotes neurodegeneration (Figure 3A) [63, 64].\n\n\n### 5.4. Broader Pathologies and Comorbidities\nBreakdown of the tripartite alliance is a common pathological hub across a spectrum of neurological disorders.\nCognitive deficits arise from neurovascular decoupling, dysregulated microglial activation that creates a vicious cycle with dying neurons, and vascular pathology, including a compromised BBB [39, 40, 265].\nTBI triggers an acute activation of NSCs, but this regenerative attempt is often thwarted as differentiation is skewed toward an astrocytic fate. The chronic phase is characterized by a glial scar and persistent neuroinflammation that suppresses NSC proliferation and compromises recovery [295].\nSeizures profoundly disrupt hippocampal neurogenesis, transforming it into a pathological driver. The neurogenesis that occurs is aberrant, with newborn granule cells displaying persistent immaturity, migrating to ectopic locations, and contributing to network hyperexcitability, making it proepileptogenic rather than reparative [71].\nIn conditions like vascular cognitive impairment and multiple sclerosis, immune‐mediated neurovascular dysfunction is a primary driver. Dysregulated glial activation and infiltration of inflammatory cells promote white matter degeneration, while systemic vascular comorbidities are linked to greater disability, highlighting a bidirectional relationship between peripheral vascular health and central neurodegeneration (Figure 3 for a summary of niche breakdown across pathologies) [296, 297].\n\n\n### 5.4.1. PD\nCognitive deficits arise from neurovascular decoupling, dysregulated microglial activation that creates a vicious cycle with dying neurons, and vascular pathology, including a compromised BBB [39, 40, 265].\n\n\n### 5.4.2. Traumatic Brain Injury (TBI)\nTBI triggers an acute activation of NSCs, but this regenerative attempt is often thwarted as differentiation is skewed toward an astrocytic fate. The chronic phase is characterized by a glial scar and persistent neuroinflammation that suppresses NSC proliferation and compromises recovery [295].\n\n\n### 5.4.3. Epilepsy\nSeizures profoundly disrupt hippocampal neurogenesis, transforming it into a pathological driver. The neurogenesis that occurs is aberrant, with newborn granule cells displaying persistent immaturity, migrating to ectopic locations, and contributing to network hyperexcitability, making it proepileptogenic rather than reparative [71].\n\n\n### 5.4.4. Vascular and Demyelinating Disorders\nIn conditions like vascular cognitive impairment and multiple sclerosis, immune‐mediated neurovascular dysfunction is a primary driver. Dysregulated glial activation and infiltration of inflammatory cells promote white matter degeneration, while systemic vascular comorbidities are linked to greater disability, highlighting a bidirectional relationship between peripheral vascular health and central neurodegeneration (Figure 3 for a summary of niche breakdown across pathologies) [296, 297].\n\n\n### 5.5. Unresolved Questions: Maladaptive Plasticity: When Neurogenesis Goes Wrong\nA critical unresolved question is whether the neurogenic response observed in neurological disorders represents a failed reparative attempt (compensatory) or an active driver of pathology (maladaptive) [298, 299]. While the “Neurogenic Reserve Hypothesis” posits that plasticity confers resilience [300, 301], evidence from temporal lobe epilepsy (TLE) and AD suggests that in a corrupted niche, this reserve can paradoxically become a liability. In TLE, the mechanisms of neurogenesis are subverted to support seizure generation [302]. Seizure‐induced proliferation results in Hilar Ectopic Granule Cells—neurons that migrate aberrantly into the hilus. While historically attributed to Reelin loss, recent evidence identifies excitatory GABAergic signaling (driven by upregulated NKCC1) as the force reversing the migration of these newborn cells [303, 304]. These ectopic cells are not bystanders; they exhibit intrinsic hyperexcitability and act as “hub cells” that synchronize the epileptic network [305, 306]. Furthermore, they contribute to “recurrent excitatory loops” via Mossy Fiber Sprouting, bypassing the physiological dentate gate [307, 308]. In AD, the maladaptation is subtler. The “Tau‐mediated aberrant neurogenesis” hypothesis proposes that the high‐plasticity state of newborn neurons makes them uniquely vulnerable to hyperphosphorylation, potentially turning them into “Trojan horses” that act as vectors for spreading Tau pathology [309]. This is compounded by niche corruption, where Tau accumulation in hilar astrocytes further impairs metabolic support and synaptic integration [310]. Additionally, populations of stalled immature neurons—trapped in a state of developmental arrest—contribute to “silent” network hyperexcitability and background noise that degrades memory encoding [311, 312]. This raises a therapeutic dilemma: indiscriminately boosting neurogenesis without correcting the niche could inadvertently accelerate disease by generating pro‐epileptogenic or dystrophic neurons. Thus, the field must resolve whether the primary goal is to enhance neuronal quantity or to first restore the quality of the niche signals—such as bioelectric or metabolic cues—that guide them [313, 314].\n\n\n### 6. Future Directions and Therapeutic Paradigms\nOvercoming the challenges posed by niche dysfunction in aging and disease requires the development and application of innovative technologies and therapeutic strategies that can precisely probe and manipulate this complex microenvironment. Breakthroughs in advanced imaging, such as intravital multiphoton microscopy, combined with sophisticated genetic labeling strategies, are pivotal for visualizing dynamic cellular processes in living systems [315, 316]. The convergence of high‐throughput omics with systems biology is providing an unprecedented, holistic understanding of the niche’s regulatory networks [317]. This deeper understanding is paving the way for novel therapeutic strategies—ranging from targeted microglial modulation and cell‐free exosomes to gene therapy—that aim to restore niche function [318]. As these powerful interventions emerge, they bring a complex landscape of ethical and societal challenges, demanding proactive deliberation on issues of patient safety, equity, and public policy to ensure responsible translation (Figure 3) [319].\nBreakthroughs in imaging have been pivotal in revealing the intricate crosstalk within the niche. Intravital multiphoton microscopy enables longitudinal tracking of interactions between immune cells, glia, neurons, and the vasculature in living systems [315]. Three‐photon microscopy has enabled noninvasive deep‐brain imaging of the mouse SVZ, detecting direct NSC‐vasculature interactions [320]. Complementing multiphoton microscopy are other modalities like super‐resolution microscopy and PET, while the integration of AI is enhancing the interpretation of imaging data [321, 322]. The power of these techniques is magnified by sophisticated genetic labeling strategies, including multicolor reporters like Brainbow and CRISPR‐based tools that allow for efficient gene targeting and real‐time cellular tracking in NSC research [316, 323].\nThe convergence of high‐throughput omics with systems biology provides a holistic understanding of the niche. scRNA‐seq has revolutionized the characterization of cellular heterogeneity, revealing that NSCs exist as a complex continuum rather than discrete populations [324]. Spatial omics methodologies add a critical layer of contextual information, allowing for the analysis of cell–cell interactions in their native tissue architecture [325]. Proteomic analyses offer a lens to examine functional changes during aging, revealing widespread alterations in immune proteins and the stoichiometry of essential protein complexes, leading to the concept of a “proteomic aging clock”—a computational model that estimates biological age based on age‐associated patterns in protein expression, offering insights into systemic aging and potential biomarkers for age‐related diseases [326, 327]. Computational models are indispensable for integrating these vast datasets to simulate niche dynamics and predict therapeutic outcomes [328].\nRecent advances have spurred the development of interventions aimed at modulating the core components of the niche. However, these strategies exist on a spectrum of maturity, ranging from robust preclinical mechanisms to emerging experimental paradigms that require rigorous validation.\nThe most advanced strategies target the inflammatory state of the niche. A prominent approach involves the targeted depletion of microglia using CSF1R inhibitors (e.g., PLX3397 and PLX5622), followed by repopulation with homeostatic microglia. While this “reset” strategy has shown promise in reducing neuroinflammation and improving behavioral outcomes in animal models of AD, PD, and multiple sclerosis [329], the translation is complex. Critical limitations exist: complete microglial depletion in mice exacerbates injury severity and impairs functional recovery in spinal cord injury models, disrupting glial scar formation, enhancing immune cell infiltration, and reducing neuronal survival [330]. Furthermore, the long‐term effects of depletion on astrocyte and oligodendrocyte crosstalk remain functionally ambiguous [329]. Parallel to depletion is the selective elimination of senescent cells. The accumulation of p16Ink4a+ senescent microglia in the aging hippocampus drives cognitive decline via a SASP [331]. Proof‐of‐concept studies demonstrate that senolytic interventions (e.g., Dasatinib plus Quercetin or ABT‐737) can selectively eliminate these senescent microglia, thereby reducing the hyper‐phagocytosis of excitatory synapses and restoring long‐term potentiation and cognitive function in aged and LPS‐induced inflammatory models [332].\nTo overcome the BBB, novel delivery systems are being engineered to physically bridge niche components. Immunomodulatory hydrogel microspheres (e.g., MP/RIL4) have been developed to mechanically and chemically link microglia with the neurovascular unit. In ischemic stroke models, these microspheres successfully upregulated anti‐inflammatory factors (IL‐10 and Arg‐1) while downregulating pro‐inflammatory markers (IL‐1β), effectively orchestrating the immune‐neurovascular crosstalk to promote angiogenesis and neurogenesis [333]. Intranasal delivery represents a noninvasive route to bypass the BBB, allowing for the direct transport of growth factors, stem cells, and exosomes to the CNS to treat neuroinflammation in AD and stroke [334]. Concurrently, cell‐free therapeutics such as MSC‐derived exosomes are emerging as a “new remedy” to attenuate neuroinflammation and induce neurogenesis without the risks of cell transplantation, though standardization of cargo remains a hurdle [318].\nBeyond direct niche manipulation, systemic and genetic strategies offer broader modulation. Calorie restriction and intermittent fasting have been shown to dampen systemic inflammatory mediators (e.g., TNF‐α and IL‐6) and may promote osteoprogenitor cells, potentially preserving the niche through metabolic regulation, although human adherence remains a challenge [335]. Drug repurposing also shows potential; the combination of lovastatin and selegiline has demonstrated a synergistic effect on the differentiation of bone marrow stromal cells into neuron‐like cells via increased expression of nestin and NF‐68, optimizing stem cell therapeutic approaches [336]. Finally, gene therapy utilizing AAV vectors to deliver neurotrophic factors (e.g., BDNF and GDNF) has moved into clinical trials for AD and PD, though ensuring long‐term safety and efficacy regarding serotypes and administration routes continues to be a primary focus of ongoing research [337].\nAdvancements in manipulating the neurogenic niche usher in a complex landscape of ethical, legal, and societal challenges. Stem cell‐based strategies raise concerns about patient safety, the potential for exploitation through unproven treatments, and long‐term risks such as tumorigenesis, demanding robust regulatory oversight [338]. A critical societal challenge is ensuring equitable access to these interventions. Social, economic, and environmental factors are powerful determinants of brain health, and translational research must integrate equity as a primary goal to avoid creating new frontiers in health disparities [339]. The prospect of restoring neurogenesis to extend cognitive healthspan necessitates a paradigm shift in public health policy toward proactive, preventive care while ensuring that the social determinants of health are addressed to safeguard public welfare as these powerful new technologies emerge [339].\nWhile strategies to reset the neurogenic niche via cellular elimination offer profound disease‐modifying potential, they introduce a critical double‐edged sword regarding tissue structural integrity and acute injury response. The pharmacological depletion of microglia (e.g., via CSF1R inhibitors like PLX5622) has demonstrated efficacy in specific chronic models by eliminating maladaptive, pro‐inflammatory populations [340, 341]. However, this intervention reveals a dangerous vulnerability: microglia are essential for ’containment’ functions. In Alzheimer’s models, depletion disrupts the compaction of amyloid plaques, leading to enhanced neuritic dystrophy [342]. Furthermore, during acute CNS injury, such as spinal cord injury or stroke, microglia orchestrate the formation of the protective glial scar [343, 344]. Depletion during these critical windows removes the ’brakes’ on astrocyte activation, leading to disrupted scar organization, a paradoxical surge in inflammatory cytokines, and widespread lesion expansion [330, 345, 346].\nParallel to this is the unresolved structural risk of senolytic therapies. While clearing senescent cells is intended to ameliorate the toxic SASP and has shown promise in restoring BBB integrity in aged mice [347, 348], a theoretical concern persists regarding the creation of structural gaps. Because pericytes and endothelial cells physically comprise the BBB, their rapid elimination raises the risk of transient barrier collapse before regeneration can occur [349, 350]. Indeed, the acute loss of pericytes—even if dysfunctional—has been shown to trigger rapid circulatory failure, loss of neurotrophic support (e.g., Pleiotrophin), and subsequent neuronal death [351]. Thus, the long‐term safety of culling nonregenerative structural populations remains a significant frontier that must be resolved, balancing the removal of the SASP against the maintenance of physical barrier continuity.\n\n\n### 6.1. Advanced Imaging and Labeling Strategies\nBreakthroughs in imaging have been pivotal in revealing the intricate crosstalk within the niche. Intravital multiphoton microscopy enables longitudinal tracking of interactions between immune cells, glia, neurons, and the vasculature in living systems [315]. Three‐photon microscopy has enabled noninvasive deep‐brain imaging of the mouse SVZ, detecting direct NSC‐vasculature interactions [320]. Complementing multiphoton microscopy are other modalities like super‐resolution microscopy and PET, while the integration of AI is enhancing the interpretation of imaging data [321, 322]. The power of these techniques is magnified by sophisticated genetic labeling strategies, including multicolor reporters like Brainbow and CRISPR‐based tools that allow for efficient gene targeting and real‐time cellular tracking in NSC research [316, 323].\n\n\n### 6.2. Omics and Systems Biology Approaches\nThe convergence of high‐throughput omics with systems biology provides a holistic understanding of the niche. scRNA‐seq has revolutionized the characterization of cellular heterogeneity, revealing that NSCs exist as a complex continuum rather than discrete populations [324]. Spatial omics methodologies add a critical layer of contextual information, allowing for the analysis of cell–cell interactions in their native tissue architecture [325]. Proteomic analyses offer a lens to examine functional changes during aging, revealing widespread alterations in immune proteins and the stoichiometry of essential protein complexes, leading to the concept of a “proteomic aging clock”—a computational model that estimates biological age based on age‐associated patterns in protein expression, offering insights into systemic aging and potential biomarkers for age‐related diseases [326, 327]. Computational models are indispensable for integrating these vast datasets to simulate niche dynamics and predict therapeutic outcomes [328].\n\n\n### 6.3. Novel Therapeutic Strategies\nRecent advances have spurred the development of interventions aimed at modulating the core components of the niche. However, these strategies exist on a spectrum of maturity, ranging from robust preclinical mechanisms to emerging experimental paradigms that require rigorous validation.\nThe most advanced strategies target the inflammatory state of the niche. A prominent approach involves the targeted depletion of microglia using CSF1R inhibitors (e.g., PLX3397 and PLX5622), followed by repopulation with homeostatic microglia. While this “reset” strategy has shown promise in reducing neuroinflammation and improving behavioral outcomes in animal models of AD, PD, and multiple sclerosis [329], the translation is complex. Critical limitations exist: complete microglial depletion in mice exacerbates injury severity and impairs functional recovery in spinal cord injury models, disrupting glial scar formation, enhancing immune cell infiltration, and reducing neuronal survival [330]. Furthermore, the long‐term effects of depletion on astrocyte and oligodendrocyte crosstalk remain functionally ambiguous [329]. Parallel to depletion is the selective elimination of senescent cells. The accumulation of p16Ink4a+ senescent microglia in the aging hippocampus drives cognitive decline via a SASP [331]. Proof‐of‐concept studies demonstrate that senolytic interventions (e.g., Dasatinib plus Quercetin or ABT‐737) can selectively eliminate these senescent microglia, thereby reducing the hyper‐phagocytosis of excitatory synapses and restoring long‐term potentiation and cognitive function in aged and LPS‐induced inflammatory models [332].\nTo overcome the BBB, novel delivery systems are being engineered to physically bridge niche components. Immunomodulatory hydrogel microspheres (e.g., MP/RIL4) have been developed to mechanically and chemically link microglia with the neurovascular unit. In ischemic stroke models, these microspheres successfully upregulated anti‐inflammatory factors (IL‐10 and Arg‐1) while downregulating pro‐inflammatory markers (IL‐1β), effectively orchestrating the immune‐neurovascular crosstalk to promote angiogenesis and neurogenesis [333]. Intranasal delivery represents a noninvasive route to bypass the BBB, allowing for the direct transport of growth factors, stem cells, and exosomes to the CNS to treat neuroinflammation in AD and stroke [334]. Concurrently, cell‐free therapeutics such as MSC‐derived exosomes are emerging as a “new remedy” to attenuate neuroinflammation and induce neurogenesis without the risks of cell transplantation, though standardization of cargo remains a hurdle [318].\nBeyond direct niche manipulation, systemic and genetic strategies offer broader modulation. Calorie restriction and intermittent fasting have been shown to dampen systemic inflammatory mediators (e.g., TNF‐α and IL‐6) and may promote osteoprogenitor cells, potentially preserving the niche through metabolic regulation, although human adherence remains a challenge [335]. Drug repurposing also shows potential; the combination of lovastatin and selegiline has demonstrated a synergistic effect on the differentiation of bone marrow stromal cells into neuron‐like cells via increased expression of nestin and NF‐68, optimizing stem cell therapeutic approaches [336]. Finally, gene therapy utilizing AAV vectors to deliver neurotrophic factors (e.g., BDNF and GDNF) has moved into clinical trials for AD and PD, though ensuring long‐term safety and efficacy regarding serotypes and administration routes continues to be a primary focus of ongoing research [337].\n\n\n### 6.3.1. Pharmacological Modulation of Glial States (Robust Preclinical Evidence)\nThe most advanced strategies target the inflammatory state of the niche. A prominent approach involves the targeted depletion of microglia using CSF1R inhibitors (e.g., PLX3397 and PLX5622), followed by repopulation with homeostatic microglia. While this “reset” strategy has shown promise in reducing neuroinflammation and improving behavioral outcomes in animal models of AD, PD, and multiple sclerosis [329], the translation is complex. Critical limitations exist: complete microglial depletion in mice exacerbates injury severity and impairs functional recovery in spinal cord injury models, disrupting glial scar formation, enhancing immune cell infiltration, and reducing neuronal survival [330]. Furthermore, the long‐term effects of depletion on astrocyte and oligodendrocyte crosstalk remain functionally ambiguous [329]. Parallel to depletion is the selective elimination of senescent cells. The accumulation of p16Ink4a+ senescent microglia in the aging hippocampus drives cognitive decline via a SASP [331]. Proof‐of‐concept studies demonstrate that senolytic interventions (e.g., Dasatinib plus Quercetin or ABT‐737) can selectively eliminate these senescent microglia, thereby reducing the hyper‐phagocytosis of excitatory synapses and restoring long‐term potentiation and cognitive function in aged and LPS‐induced inflammatory models [332].\n\n\n### 6.3.2. Bioengineering and Delivery Systems\nTo overcome the BBB, novel delivery systems are being engineered to physically bridge niche components. Immunomodulatory hydrogel microspheres (e.g., MP/RIL4) have been developed to mechanically and chemically link microglia with the neurovascular unit. In ischemic stroke models, these microspheres successfully upregulated anti‐inflammatory factors (IL‐10 and Arg‐1) while downregulating pro‐inflammatory markers (IL‐1β), effectively orchestrating the immune‐neurovascular crosstalk to promote angiogenesis and neurogenesis [333]. Intranasal delivery represents a noninvasive route to bypass the BBB, allowing for the direct transport of growth factors, stem cells, and exosomes to the CNS to treat neuroinflammation in AD and stroke [334]. Concurrently, cell‐free therapeutics such as MSC‐derived exosomes are emerging as a “new remedy” to attenuate neuroinflammation and induce neurogenesis without the risks of cell transplantation, though standardization of cargo remains a hurdle [318].\n\n\n### 6.3.3. Metabolic and Genetic Interventions\nBeyond direct niche manipulation, systemic and genetic strategies offer broader modulation. Calorie restriction and intermittent fasting have been shown to dampen systemic inflammatory mediators (e.g., TNF‐α and IL‐6) and may promote osteoprogenitor cells, potentially preserving the niche through metabolic regulation, although human adherence remains a challenge [335]. Drug repurposing also shows potential; the combination of lovastatin and selegiline has demonstrated a synergistic effect on the differentiation of bone marrow stromal cells into neuron‐like cells via increased expression of nestin and NF‐68, optimizing stem cell therapeutic approaches [336]. Finally, gene therapy utilizing AAV vectors to deliver neurotrophic factors (e.g., BDNF and GDNF) has moved into clinical trials for AD and PD, though ensuring long‐term safety and efficacy regarding serotypes and administration routes continues to be a primary focus of ongoing research [337].\n\n\n### 6.4. Ethical and Societal Implications\nAdvancements in manipulating the neurogenic niche usher in a complex landscape of ethical, legal, and societal challenges. Stem cell‐based strategies raise concerns about patient safety, the potential for exploitation through unproven treatments, and long‐term risks such as tumorigenesis, demanding robust regulatory oversight [338]. A critical societal challenge is ensuring equitable access to these interventions. Social, economic, and environmental factors are powerful determinants of brain health, and translational research must integrate equity as a primary goal to avoid creating new frontiers in health disparities [339]. The prospect of restoring neurogenesis to extend cognitive healthspan necessitates a paradigm shift in public health policy toward proactive, preventive care while ensuring that the social determinants of health are addressed to safeguard public welfare as these powerful new technologies emerge [339].\nWhile strategies to reset the neurogenic niche via cellular elimination offer profound disease‐modifying potential, they introduce a critical double‐edged sword regarding tissue structural integrity and acute injury response. The pharmacological depletion of microglia (e.g., via CSF1R inhibitors like PLX5622) has demonstrated efficacy in specific chronic models by eliminating maladaptive, pro‐inflammatory populations [340, 341]. However, this intervention reveals a dangerous vulnerability: microglia are essential for ’containment’ functions. In Alzheimer’s models, depletion disrupts the compaction of amyloid plaques, leading to enhanced neuritic dystrophy [342]. Furthermore, during acute CNS injury, such as spinal cord injury or stroke, microglia orchestrate the formation of the protective glial scar [343, 344]. Depletion during these critical windows removes the ’brakes’ on astrocyte activation, leading to disrupted scar organization, a paradoxical surge in inflammatory cytokines, and widespread lesion expansion [330, 345, 346].\nParallel to this is the unresolved structural risk of senolytic therapies. While clearing senescent cells is intended to ameliorate the toxic SASP and has shown promise in restoring BBB integrity in aged mice [347, 348], a theoretical concern persists regarding the creation of structural gaps. Because pericytes and endothelial cells physically comprise the BBB, their rapid elimination raises the risk of transient barrier collapse before regeneration can occur [349, 350]. Indeed, the acute loss of pericytes—even if dysfunctional—has been shown to trigger rapid circulatory failure, loss of neurotrophic support (e.g., Pleiotrophin), and subsequent neuronal death [351]. Thus, the long‐term safety of culling nonregenerative structural populations remains a significant frontier that must be resolved, balancing the removal of the SASP against the maintenance of physical barrier continuity.\n\n\n### 6.4.1. Unresolved Questions: The Double‐Edged Sword of Niche Manipulation\nWhile strategies to reset the neurogenic niche via cellular elimination offer profound disease‐modifying potential, they introduce a critical double‐edged sword regarding tissue structural integrity and acute injury response. The pharmacological depletion of microglia (e.g., via CSF1R inhibitors like PLX5622) has demonstrated efficacy in specific chronic models by eliminating maladaptive, pro‐inflammatory populations [340, 341]. However, this intervention reveals a dangerous vulnerability: microglia are essential for ’containment’ functions. In Alzheimer’s models, depletion disrupts the compaction of amyloid plaques, leading to enhanced neuritic dystrophy [342]. Furthermore, during acute CNS injury, such as spinal cord injury or stroke, microglia orchestrate the formation of the protective glial scar [343, 344]. Depletion during these critical windows removes the ’brakes’ on astrocyte activation, leading to disrupted scar organization, a paradoxical surge in inflammatory cytokines, and widespread lesion expansion [330, 345, 346].\nParallel to this is the unresolved structural risk of senolytic therapies. While clearing senescent cells is intended to ameliorate the toxic SASP and has shown promise in restoring BBB integrity in aged mice [347, 348], a theoretical concern persists regarding the creation of structural gaps. Because pericytes and endothelial cells physically comprise the BBB, their rapid elimination raises the risk of transient barrier collapse before regeneration can occur [349, 350]. Indeed, the acute loss of pericytes—even if dysfunctional—has been shown to trigger rapid circulatory failure, loss of neurotrophic support (e.g., Pleiotrophin), and subsequent neuronal death [351]. Thus, the long‐term safety of culling nonregenerative structural populations remains a significant frontier that must be resolved, balancing the removal of the SASP against the maintenance of physical barrier continuity.\n\n\n### 7. Discussion\nThe adult neurogenic niche demonstrates the brain’s enduring capacity for plasticity, facilitated by a dynamic collaboration of vascular, glial, and NSCs. While this review has outlined the cooperative architecture of this system, synthesizing the current literature reveals significant knowledge gaps, particularly regarding the translatability of rodent mechanisms to human physiology and the paradoxical risks associated with therapeutic manipulation of the niche.\nThe most profound conflict in the field remains the persistence of AHN in humans. The literature is currently divided between findings suggesting AHN serves as a robust mechanism for plasticity throughout life [18, 258] and contradictory reports indicating a sharp cessation of neurogenesis in childhood [235]. This dichotomy does not appear to stem from biological variability, but rather from a methodological crisis. Critical analysis suggests that standard histological practices—specifically prolonged fixation and long PMIs—create a “false negative” landscape by masking labile epitopes like DCX [236, 240]. Furthermore, the accumulation of lipofuscin in the aging human brain generates autofluorescence that confounds signal detection, leading to potential misinterpretations of glial cells as neurons [244, 261]. Recent breakthroughs utilizing single‐nucleus RNA sequencing have begun to resolve this debate by identifying transcriptomic signatures of proliferating neuroblasts that bypass histological artifacts [247]. However, a key knowledge gap remains: human immature neurons exhibit a protracted maturation profile distinct from the rapid cycles observed in rodents [229, 248]. This suggests that the human niche may function less as a factory for high‐throughput replacement and more as a reservoir of suspended plasticity. Future research is important to prioritize spatial transcriptomics to map these cells within their native architecture to definitively validate their functional integration [252, 264]. Beyond the existence of neurogenesis, the functional implication of manipulating the niche reveals a complex causal landscape where interventions can induce paradoxical toxicity. While targeting the niche offers disease‐modifying potential, current evidence highlights a double‐edged sword. Pharmacological elimination of microglia (e.g., via CSF1R inhibitors) has shown promise in clearing amyloid plaques in Alzheimer’s models [340]. However, conflicting evidence from acute injury models demonstrates that this strategy risks exacerbating damage. In spinal cord injury and stroke, microglial depletion disrupts the formation of the protective glial scar, leading to lesion expansion and impaired recovery [330, 345]. This suggests that the “neurotoxic” phenotype is context‐dependent, and broad ablation removes essential containment functions. Similarly, the use of senolytics to clear senescent cells presents an unresolved structural risk. While clearing senescent cells alleviates the SASP [331], the removal of senescent endothelial cells or pericytes—which physically comprise the BBB—could theoretically precipitate transient barrier collapse or micro‐hemorrhages before regeneration occurs [349, 351].\nFurthermore, a critical synthesis of the literature reveals that an active niche is not inherently beneficial. In pathological contexts, the mechanisms of neurogenesis can be subverted to drive disease, a concept termed maladaptive plasticity. In TLE, seizure activity stimulates the niche to produce ectopic granule cells that migrate aberrantly and integrate into excitatory loops, actively promoting hyperexcitability rather than repair [302, 303]. Similarly, in AD, new neurons may act as a vulnerable substrate for Tau pathology, described as the Trojan horse hypothesis, or remain in a stalled, immature state that contributes to network noise rather than memory encoding [309, 311]. This challenges the simplistic therapeutic goal of boosting neurogenesis; effective translation requires not just increasing proliferation but restoring the guidance cues (e.g., Reelin and GABAergic tone) that ensure correct integration [66, 303]. Finally, the integration of systemic signals via the gut–brain axis offers a noninvasive therapeutic avenue, yet the causal mechanisms in humans remain under‐defined. While psychobiotics robustly modulate neurogenesis in rodents via the vagus nerve and SCFAs [206, 215], human trials suffer from inconsistency due to a lack of strain specificity [218]. Moving forward, the field needs to transition from descriptive phenomenology to mechanistic validation. This requires the application of multiomics and 4D intravital imaging to visualize the niche in real‐time [320, 325]. Ultimately, harnessing the neurogenic niche requires a precision medicine approach that accounts for the delicate balance between promoting plasticity and maintaining structural homeostasis, ensuring that interventions do not inadvertently dismantle the very architecture they aim to repair.\n\n\n### Funding\nThis research received no specific grant from any funding agency in the public, commercial, or not‐for‐profit sectors.\n\n\n### Conflicts of Interest\nThe author declares no conflicts of interest.", "domain": "affective_neuroscience"}
{"source": "PMC13072023", "title": "Unveiling Emergence and Holism in Biology: Essential Insights from Self-Organization", "text": "# Unveiling Emergence and Holism in Biology: Essential Insights from Self-Organization\n\n## Abstract\nThis study offers unique insights into self-organization, emergence, and holism, supported by examples from biology. It examines these conceptual frameworks to clarify them and make them more relevant to biologists, scientists, and philosophers. The article addresses these issues from both historical and current perspectives and concludes that further insights are needed to advance theoretical and philosophical understanding of systems and holistic biology. This essay re-examines the enduring conceptual landscape of self-organization with the objective of clarifying the fundamental role of emergence and holism in contemporary biology. A deeper appreciation of these concepts can help biologists establish a solid theoretical foundation, avoiding biases that may occur when such perspectives are incomplete. The essay begins by exploring the historical roots of self-organization in biology and then discusses relevant theories of self-organization in the biological sciences. A comprehensive understanding of these historical foundations and the significance of self-organization is used to explore and conceptually connect self-organization to emergence and holism. Throughout the essay, these theoretical frameworks are illustrated with significant examples from biology and other scientific fields. In conclusion, the essay emphasizes the need for deeper conceptual reflection to clarify many controversial issues at the intersection of self-organization, emergence, and holism in biology and, more broadly, within science.\n\n## Full Text\n\n\n### 1. Introduction\nI will begin with an unconventional introduction. What is the purpose of this lengthy paper? Before addressing that question, let me pose another: Can biology exist without its foundational concepts, without fundamental theories such as thermodynamics, Prigogine’s idea of dissipative structures, and Varela and Maturana’s theory of autopoiesis? Furthermore, can we exclude crucial concepts like self-organization, emergence, and holism from contemporary systems biology? If the answer is no, then this paper makes sense. It is intended as a valuable conceptual guide for working scientists, undergraduate and graduate students, and biologists deeply involved in laboratory work, and those interdisciplinary-oriented scientists and philosophers managing their careers while meeting project demands. They often lack the time to thoroughly explore databases, books, and journals to understand these conceptual issues or apply them to their daily research.\nWith this in mind, this paper aims to critically engage with these conceptual and theoretical foundations while presenting examples from the biological sciences that vividly illustrate them. Rather than simply asserting the significance of philosophy in shaping biologists’ theoretical perspectives, I believe that presenting and exploring these theories and concepts—both in historical and contemporary contexts—will provide more practical benefits. Biologists and others will have the opportunity to discover essential insights within this paper and the referenced works, ultimately enriching their understanding and enhancing their research.\nConcepts such as ‘holism’, ‘order’, ‘synergy’, and ‘chaos’ were discussed in Ancient Greek philosophy and throughout the history of philosophy before being adopted for scientific use in modern theories of self-organization and complexity [1,2,3,4]. Few scientific or philosophical terms today generate as much discussion as “system” and “complexity”, along with other concepts such as “nonlinearity,“ self-organization, and “emergence”. These scientific ideas, with deep philosophical roots, highlight the significant role that philosophy plays in shaping the theory and practice of complex systems science. As Woermann et al. [5] (p. 1) state, “A rigorous understanding of the nature and implications of complexity reveals that the underlying assumptions informing our understanding of complex phenomena are deeply related to general philosophical issues.” The eclectic and speculative nature of the “philosophy of complexity” is a fundamental aspect of complexity research [6]. There is little doubt about this.\nConsidering a strong reliance of today’s biology on complexity science, advancing biological knowledge in the era of artificial intelligence is meaningful only if the conceptual foundations of complexity are clearly specified and made explicit [7,8,9,10]. Philosophy, as a strong “protoscience generator”, can facilitate this task by promoting interdisciplinary and multidisciplinary contact between complexity scientists and biologists [11,12].\nI have also noticed a lack of literature explicitly linking self-organization in biology to its historical roots. Additionally, philosophical papers on emergence and holism are often highly speculative, complex, and difficult for biologists to understand. This observation has motivated me to structure this paper accordingly, incorporating examples from microbiology, genetics, molecular biology, cell biology, and physiology that are more familiar to average biologists. I believe that, given the paper’s structure and the volume of information presented, it may also serve as a reference point for philosophers. Thus, the main thread of this paper is to further illustrate the connections among the concepts of self-organization, emergence, and holism.\nThis article is organized as follows. First, in Section 2, I raise concerns about the meaning of the term “complex biological system”. Section 3 introduces the five historical-theoretical roots relevant to thinking about self-organized biological systems. In Section 4, I discuss some important, though not all, theories of self-organization, some of which originate in biology and have found their place across science and practical applications. Section 5 introduces the basics of emergence, shows its relevance to emergent biological systems, and then examines the significant implications of self-organization and emergence for a holistic understanding of organisms and holistic biology. These sections allow us to draw some conclusions and suggest directions for further inquiry.\n\n\n### 2. What Is a Complex Biological System?\nTo begin this paper, it is important to become familiar with self-organization, emergence, and holism by first exploring the concept of complex systems and the nature of complexity. This foundation will support further discussion of a complexity-oriented approach to biology that emphasizes self-organized pattern formation. Mazzocchi [13], p. 1 identifies at least two types of complex systems: “(i) one mainly characterized by the generation of stable patterns through self-reinforcing dynamics at the lower levels (Bénard convection), and (ii) a distinct type characterized by a more complex organization that makes them ‘minimally decomposable’ and demonstrates autonomy (living systems)”. Rayleigh–Bénard convection (RB) in fluid dynamics describes the behavior of a fluid between two thermally conducting plates. The fluid is heated from below, creating a temperature difference [14]. Initially, this movement is disorganized and uncoordinated, allowing energy transfer between the lower and upper plates. However, once a certain temperature gradient is reached, the movement becomes more organized and coordinated [14]. The RB is of great significance for a better understanding of many processes in physics, meteorology, physical and industrial chemistry, and engineering, helping solve practical problems.\nFor example, Pelusi et al. [15,16] provide a comprehensive numerical simulation of dynamic emulsion behavior in conditions of convective flows. This type of experimentation has been proven essential for understanding the behavior of emulsions (soft materials) across various spatial and temporal scales. Their findings show an interaction between the structural and rheological complexity of emulsions and the dynamics influenced by convective flows.\nThe second type of system, relating to “autonomic” living systems, was formalized by Maturana and Varela’s autopoiesis theory [17,18,19,20], and has now been reconceptualized as the process-based theory of autonomy (see [21]). The main idea is that a living system can self-organize and self-determine, maintaining its structure despite a challenging external environment [21,22,23]. Nevertheless, this useful division still does not fully answer the question of what precisely distinguishes a complex system, or the science that studies it, from a simple system.\nThere is no consensus on a concise definition of a complex system, on the term “system”, or on the disciplinary status of the science of complexity (sciences of interconnectedness) [24,25,26,27,28]. This, among other things, can make it hard to clearly differentiate science from pseudoscience in complexity studies, lowering the credibility of that field with mainstream scientists [24]. However, one should not be alarmed by these unresolved dilemmas. First, the science of complexity is advancing faster than philosophical, meta-scientific, and cognitive frameworks can reflect it or keep pace with it [29]. Indeed, the complexity paradigm has significantly reshaped science, engineering, and society [30,31,32,33,34,35,36]. It has prompted new questions, the exploration of new possibilities, and the development of innovative solutions in a world of constant change [37,38,39]. Therefore, even if it is just the “paradigm,” it is a good one, transforming the sciences, such as biology, and moving our focus from “analytic” to more “synthetic-holistic views” of complexity [40].\nSecond, the application of complex systems science to chemical and biological systems is relatively new and in its early stages compared to traditional reductionist approaches that insist on knowledge of the base (e.g., molecular machinery of the cell) [41]. Chaos and complexity theory profoundly alter our worldview by challenging the long-standing reductionist and mechanistic scientific model established by Galileo, Descartes, and Newton in the 16th and 17th centuries, which influenced much of science until the turn of this century. This framework, to which many scientists anchor their theoretical perspectives and which upholds the unquestionable value of universal scientific laws, is increasingly regarded as inadequate for explaining the intricacies of complex reality, including biocomplexity [42,43,44]. Third, the vagueness in the definition of what is a complex system and what makes complexity science distinguishable field of research can be described through the term “generous Darwinian fog”, which is recently used in microbiology to describe a situation where we should not make a “concept too tightly with a rigid definition at an early stage of its development” [45], p. 8.\nDespite the lack of consensus on defining complex systems, there is some agreement on their common characteristics. In cybernetics, complex systems are those whose components are organized and interconnected through feedback loops [46] and directed by “control information” [47]. These interconnected components interact nonlinearly, making it difficult to predict system behaviour from knowledge of the components alone. As proposed by chaos theory, nonlinearity means that a system’s output is not directly proportional to its input [48,49]. In other words, it is a key feature of systemic dynamism that underpins contextual sensitivity to initial conditions [50], pp. 80–81. Various combinations of nonlinear interactions can create numerous feedback loops, resulting in new system states or emergent properties at multiple scales [51]. Holland [52] and Barnett [28], for example, argue that although both complex and complicated systems consist of many interconnected components, only complex systems exhibit emergence.\nMany theories of complexity, including General Systems Theory, Complex Adaptive Systems, and Synergetics, recognize the holistic principle that the “whole is greater than the sum of its parts.” In addition to feedback loops, nonlinearity, and emergence, holism stands out as the fifth crucial philosophical framework for understanding complex systems, including biological ones. With advancements in computational and information sciences, this list can also be expanded to encompass modeling, simulation, and the computability of system properties. In a more computational context, Timothy Allen [53], p. 39 argues that a system is complex if not all its constituent models are simulable, which makes distinguishing between simple and complex systems an all-or-nothing proposition. Expanding our list is not yet complete. Recent insights from complexity studies begin to consider the causal role of constraints in complex systems [54]. Perhaps other characteristics are discussed by certain groups or intellectual circles regarding complexity in natural and socio-technical systems. However, we want to get into them and will focus on some of them listed above.\nWhere is self-organization on this list? Self-organization is an umbrella term for operationalizing these principles in the context of system development and evolution within a defined space and time. This operationalization within any given system rests on Mario Bunge’s “ontological systematism”, the belief that everything is formed by systems of systems, i.e., the stance that reality is composed of subsystems inspired by Paul Henri Thiry d’Holbach’s Système de la Nature (published in 1770) and Ludwig von Bertalanffy’s General System Theory [55,56]. These subsystems possess relative autonomy in their development and dynamics, yet they are interrelated and interconnected [56]. As physics and computation show, self-organization is driven by quantum mechanics and physico-chemical principles, and constrained by environmental “top-down” influences that produce and maintain these subsystems, accounting for their interrelatedness and adaptability.\nLet us examine how these concepts and principles are effectively applied in the field of systems complexity science, first broadly and then more specifically, by step-by-step exposure in the continuation of the paper. The rule, or “dynamic,” which specifies how the system evolves, and the initial condition, or “state,” from which the system begins to evolve, are two critical components of the often-used syntagma “dynamic system” [57]. These systems are also characterized by the existence of one or more ‘attractors’ that serve as focal points for understanding system behaviour [50]. Attractors become “strange” if behaviour is continually drawn towards them, but never through precisely the same pathways, and never to the extent that a long-term equilibrium state is reached [50], pp. 80–81. These “strange” behavioural trajectories can result in fundamentally unpredictable behaviour, sensitized to a specific array of contextual features and issues, which, according to Cooksey [50], p. 81, Loye [58], and Briggs and Peat [59], allows the creative harnessing of positive system feedback to achieve a new, more stable behavioural pattern.\nComplex systems that have undergone chaotic phases are referred to as “self-organizing” or “emergent” systems [50]. These systems are predictable in the short term because it is possible to predict values of time series in a limited way—but not in the long term (see [50,60]). These chaotic phases are accompanied by multiple positive and negative feedback loops. Schueler [60], p. 3 refers to them as feedback mechanisms that provide the “means by which matter, energy, or information are fed back into the system”. This space-time-dependent chaotic behavior may lead to instability, which is further amplified by positive feedback mechanisms, ultimately shifting the system towards a new, self-organized, time-limited state of stability. This series of events clearly shows that the system has all the necessary elements to evolve and continually adapt its composition in an unpredictable environment.\nWu et al. [61], p. 9 argue that contemporary theories of complex self-organizing systems exemplify effective theory because they reveal the inherent unity of time and space. These theories, together with the continually expanding mathematical frameworks developed for them and based on them, unify the complex relationships involved in spatiotemporal transformation by emphasizing the “spatialization of time” and the “temporalization of space” in the evolution of interactions. This dynamic, self-organizing view of nature introduces a non-static, energetic, and relational approach to complexity-oriented biology.\nA complex system is not simply a mind-independent object or entity waiting to be easily abstracted, discovered, and described. Our own minds—understood through von Foerster’s second-order cybernetic dictum ‘role of the observer’—must be actively engaged in formulating and understanding it, even though complex interactions may seriously obscure reality [43,62,63]. In other words, epistemological, methodological, and technical hurdles stand in the way of any attempt to portray and study complexity and to give it meaningful context. The exact meaning of complexity should be sought in the meaning a subjective observer extracts from the pattern or sequence [64,65,66]. To try to keep pace with these challenges, Mikulecky [42], p. 341 explicitly called on the scientific community to reconsider dismantling methodological, epistemological, and cognitive barriers to address complexity, stating that “complexity science demands that the barriers and constraints be removed to gain a more complete view of nature.” More about the boundaries of a complex, holistic system will be discussed in the section on holism.\nIn biology, these theories of self-organization and complexity require a high level of intellectual rigour and a cognitive shift from simplicity to complexity [61]. This, together with other changes in our mindset and scientific practice, shifts the focus from the role of selection in the evolution of organisms to the nonequilibrium thermodynamics underlying the emergence of life on Earth. In this revitalized and updated scientific context, which insists on the physics of emergence, the central question becomes how to explain the:\n“Meshing together of upward and downward causation that aligns with the underlying physics” to provide a comprehensive search for and explanation of the origin and evolution of life [67], p. 1.\nIn this context, revitalized means that physics and mathematics have long been associated with biology. However, in the field of biocomplexity, these disciplines have undergone computational transformations that are now increasingly accessible to biologists. Thus, this new physics and mathematics seem to offer biology far more than they did 50 or more years ago. Kauffman [68] summarized this conceptual, cognitive, and ideological transition in one sentence:\n“The spontaneous order in complex systems implies that selection may not be the sole source of order in organisms, and that we must invent a new theory of evolution which encompasses the marriage of selection and self-organization.”\nAlexander Rosenberg [69], together with others, responds to Mikulecký’s and similar appeals to dismantle the cognitive and technical barriers when faced with complexity by urging us to trust in the far-reaching power of the laws of physics. Lineweaver et al. [70] express these beliefs and expectations: “beneath the surface complexity of the universe lies an elegant mathematical simplicity.” However, Rosenberg adopts a temporarily sceptical stance, arguing that our current cognitive and computational capacities are too limited to address biocomplexity effectively [69]. This is the main reason the field operates pragmatically, far from the precision of fundamental physics.\nBy taking cognitive limitations seriously, Brian Johnson [29] argues that, because our brain cannot think in parallel, we cannot intuitively grasp the emergence arising from the many nonlinear interactions occurring simultaneously in time and space. This raises the credibility of those who claim that emergence is nothing more than a ‘mysterious’ and confusing concept that limits scientific progress and our understanding of the behaviour of cellular automata and of natural and social pattern formation. Perhaps, by finding ways to improve cognitive abilities with help from parallel-processing computers and, nowadays, artificial intelligence, we can better understand emergent phenomena, concludes Johnson. This explains why computational emergence, the acquisition of properties through computation, needs to be taken seriously [71].\nThese are the genuine aspirations of sincere physicalists and moderate reductionists, not those naive individuals who casually declare that biology is merely a special case of physics as it currently stands. Thoughtful biologists, philosophers, and physicists acknowledge the limitations of current physical laws and the technology required to fully recreate holistic living systems and strive to overcome these challenges. Their moderation enables the study of complex systems and prompts critical questioning of physically supported theories of self-organization in biology.\nIn this context, the recent, more or less successful, application of mathematics and computation to complex biological systems is gradually changing the characterization of biology as “instrumental” and “mathematically insensitive,” perhaps restoring the conviction that the fundamental laws of physics may be sufficient to explain living hierarchies from molecules to the biosphere. Complexity theorists and biologists go beyond Rosenberg’s “lack of cognitive capacity and means” because most, if not all, agree that “complexity of a system is not necessarily the result of our lack of information” [72], p. 10, and share Rosen’s [73,74] view of complexity as an intrinsic property of a self-organized system. Consequently, life itself is a property of a living system (an organism), not caused by the physical nature of its components, as reductionists often claim, but rather emerges as a “consequence of complex organization of a certain type in a material system” [75], p. 399.\n\n\n### 3. Self-Organized Complex Biological Systems\nIn this section, I will first discuss self-organized biological systems. In the next section, I will examine theories of self-organization, focusing on their relevance to the biological sciences in distinct ways to provide a basis for conceptually connecting self-organization with emergence and holism. This discussion of the fundamentals of self-organization will help readers better understand the biological examples of emergence and holism presented later in the paper.\nThe concept of self-organization has existed in science and biology, explicitly or implicitly, even before W. Ross Ashby, H. von Foerster, and N. Wiener, among others, began using the term in cybernetics [14]. Haken and Portugali [66], p. 1 make it clear what it means:\n“Self-organization is a process by which the interaction between the parts of a complex system gives rise to the spontaneous emergence of patterns, structures, or functions. In this interaction, the system elements exchange matter, energy, and information.”\nWedlich-Söldner and Betz [76] present a similar definition:\n“Self-organization refers to the emergence of an overall order in time and space of a given system that results from the collective interactions of its individual components.”\nAs a curiosity, the explicitly named science of self-organization, called “selforganizology,” is perhaps of recent origin (see [77]).\nA defining characteristic of all theories of self-organization is their commitment to explaining order and organization from within the system. However, one theory may deviate from this general principle. A longtime friend and collaborator of Herman Haken, Juval Portugali [78], suggests that Haken, in the later stages of synergetics, anticipated “top-down” processes in his theory (e.g., the brain operates in a “top-down” manner). This is a valuable resource for current systems biologists who take “top-down” causality seriously, although many philosophers, such as Jaegwon Kim, reject it outright. Any prospective framework that acknowledges internal mechanisms of self-organization, modified by external influences, may lead to reconciliation between the thermodynamics of evolution and the Darwinian theory of natural selection (see [79]). Alternatively, it may help to close the gap between the organism and the environment.\nTo deepen our understanding of the following concepts, it is important to distinguish between two processes that create macromolecular structures: self-assembly and self-organization. Self-assembly refers to the physical association of molecules into a stable equilibrium structure [80]. For example, in viruses, the assembly of infectious bacteriophage particles includes specific interactions between proteins, nucleic acids, and lipids that result in a steady-state structure [80,81]. It seems that self-assembly of cellular biomolecular structures, such as actin, amyloid beta formation in Alzheimer’s disease cell is driven by the increase in the entropy of the system; the release of ordered water (lower entropy) that is abounded in cells to the bulk solvent (higher entropy) is the driving mechanism of assembly [82,83,84]. Molecular assembly depends on many factors, including the functional groups present, the solvent type, the temperature at which the molecules assemble, and the concentration of the building blocks [85]. Even more, neurobiologists consider many other molecular changes in the brain associated with ageing and neurodegenerative diseases, such as Parkinson’s disease and Alzheimer’s, to result from increased entropy [82].\nIn contrast, self-organization pertains to cellular structures such as mitochondria, nuclear subcompartments, the endoplasmic reticulum, and exocytic and endocytic compartments, among others, which are open to the exchange of matter and energy and are governed by steady-state dynamics [80].\nHistorically, the self-organization in biology has four sources or roots. The first is thermodynamic–physical; the second is physico-chemical oscillatory dynamics; the third is based on the theory of autopoiesis; the fourth relates to the rise of systems biology; and the fifth is based on merging self-organization and information. The first was articulated in different ways by Ervin Bauer and Ilya Prigogine. The second rests on the discovery of the so-called Belousov–Zhabotinsky (BZ) reaction, while the third builds upon Varela’s and Maturana’s theory of autopoiesis. This third root builds upon the first two and, in more recent revisions and expansions—such as the enactive and agential approach to organizational biology—is open to acknowledging “top-down” effects from higher to lower levels and to paying attention to constraints arising from these higher levels [86,87,88]. The fourth is characterized by the rapid development of systems biology. The fifth concerns the information-computational-theoretic framework [65,89]. All these roots are interrelated and interwoven, and in today’s systems biology age, they converge.\nTo understand the first root, let us discuss the groundbreaking and historically significant work of Bauer and Prigogine that ties the fields of thermodynamics (physics) and biology together. Most authors usually identify self-organization as stemming from cybernetics. However, even before cybernetics, theoretical biologist Ervin Bauer, who was the first to develop a general molecular-based biological theory [90,91], proposed in 1920 [90] and 1935 [91] a highly innovative idea or basic principle of life for that time [92], p. 1; [93].\n“Living systems are never in equilibrium; at the expense of their free energy, they constantly perform work to avoid the equilibrium required by the laws of physics and chemistry under existing external conditions.”\nWhat I find interesting is that authors who have examined Bauer’s influential work, such as Elek and Müller [92] and Igamberdiev [94], have reached the same conclusion: Bauer’s ideas are distinct from the non-equilibrium thermodynamics of irreversible processes based on the universality of the Second Law. Perhaps his unique idea is that organisms are responsible for producing non-equilibrium, not the other way round [92], p. 1\n“The main point of Bauer’s concept is not the non-equilibrium, but the function of organism producing the non-equilibrium, the capacity for self-adaptation, and the power for changing its functions in such a way that the system always gets the state of non-equilibrium always anew.”\nIgamberdiev [94] is clear about the fundamental difference between Bauer and later pioneers of self-organizing systems, who base their ideas on the thermodynamics of irreversible processes, including Ilya Prigogine, who introduced this field, and later complexity theorists such as Herman Haken, who introduced the synergetics framework.\nAlthough Prigogine’s and Haken’s frameworks provide theoretical foundations for describing dynamic complex systems, they fail to capture the specificities of biological autonomy. Igamberdiev argues that, mainly because they do not include the Aristotelian internal efficient causes intrinsic to the phenomenon of life, these frameworks are heuristically useful yet epistemologically inadequate for dealing with autopoietic living systems. I am not quite sure whether this is true, in part, regarding Haken, as I will later show that, in his “second foundation of synergetics,” he showed some respect for “top-down” causality and the circular interrelatedness of collective synergistic emergent properties with the lower-level components that produce them. Ultimately, Prigogine’s theory serves as a foundational root that leads to more specific theories such as Haken’s synergetics and Holland’s and Gell-Mann’s complex adaptive systems.\nBauer’s ideas are still influential and inspire theorists such as George E. Mikhailovsky, who has thoughtfully reexamined Bauer’s concepts and, drawing on them, has crafted an intriguing perspective that positions living organisms primarily as chemodynamic systems, surpassing the traditional view of them as mere thermodynamic entities. He introduced three fundamental laws of biochemodynamics, defined [95], pp. 14–16:\n“As the study of the dynamics of biochemical reactions in living systems constrained and determined by the flows of energy and matter in these systems”, upon which the essential features of life can be derived.\nNow we will turn our attention to the pioneer of non-equilibrium thermodynamics of irreversible processes, Ilya Prigogine, and the impact of his work for todays science of complexity. The concept of dissipative structures was introduced by the Russian-Belgian Nobel laureate Ilya Prigogine to explain complex ordered systems that self-organize by expelling entropy through continuous exchange of energy and matter with their environment, thereby increasing order and organization [96,97,98]. Indeed, if we seek the most decisive moment in the history of complexity science, it would be the formulation of the second law of thermodynamics, and then its uses to search for the meaning of life. This was the guiding light of Prigogine’s work.\nIn a Nobel lecture delivered in December 1977, later published in Science and entitled Time, Structure and Fluctuations [97], p. 777, Prigogine highlights many other revolutionary developments in physics stemming from the second law of thermodynamics, including Boltzmann’s work in kinetic theory, Planck’s discovery of quantum theory, and Einstein’s theory of spontaneous emission. Yet its role in explaining life’s self-organization and evolution remains particularly peculiar after so many years, inspiring countless frameworks and theories on the origin and evolution of life. Guided by the question of “how order in time and space spontaneously arises in chemical and biological systems” [99], Prigogine’s pioneering contributions to the mathematical and computational study of emergence, micro-to-macro transitions, and oscillatory dynamics of physiological networks are of immense significance, inspiring whole new fields such as the Brusselator and Oregonator models [99]. What is the difference between isolated microscopically reversible physical systems and dissipative systems? Well, the former tend, over time, to acquire maximal entropy and maximal disorder, while the latter, as being microscopically irreversible and open, interact with their environment to evolve from “disordered” to more “ordered” states and exhibit a complex structure, such as that of biological systems [100].\nIn reference to biological systems, Toussaint and Schneider [101], p. 3 argue that “similar processes, constrained by the second law of thermodynamics, give rise to the emergence of structure and process in a broad class of dissipative systems”. This means that in any system moved away from equilibrium (e.g., a biological system), where dynamic or kinetic conditions are satisfied, the system organizes itself to reduce the effect of the applied gradient during developmental phases (especially during early embryogenesis) (ibid.):\n“Biosystems increase their total dissipation, develop more complex structures with greater energy flow, increase their cycling activity, develop greater diversity, and generate more hierarchical levels.”\nIt is difficulty to dissect the mechanism by which biological system as dissipative systems self-organized. Therefore, simple yet general mathematical and computational models, such as cellular automata, have been developed to describe irreversible “dissipative behavior” across a variety of physical, chemical, biological, and other systems [100].\nAccording to Wolfram [100], p. 603, cellular automata represent physical systems in which both space and time are discrete, and physical quantities can assume only a limited set of distinct values. A cellular automaton is made of a regular, uniform lattice (or “array”), typically infinite in size, with each location referred to as a “cell.”\nThe state of a cellular automaton is determined entirely by the values of the variables at each cell. It evolves in discrete time steps, with the value of a variable at each cell influenced by the values of the variables in its “neighbourhood” during the previous time step. The “neighbourhood” of a cell usually includes the cell itself and all immediately adjacent cells. The values are updated “synchronously” based on the values of the variables in their neighbourhood from the preceding time step, according to a specific set of “local rules.”\nFrom the early days, scientists realized the great potential of cellular automata to study the complexity patterns arising from simple, identical components capable of synergistic collective interactions, such as the growth of pigmentation patterns in mollusc shells [102]. Recent application of cellular automata by the Adamatzky group [103] to fungal cells allowed authors to devise “Elementary fungal cellular automata (EFCA)” and “Majority fungal automata” (MFA) to simulate the complexity of a fungal hyphae, which are separated by internal walls (septa). This septum possesses tiny pores that allow cytoplasm to flow between cells in a regulated manner. In other words, the cells can block this flow by forming Woronin bodies in an emergency to prevent cytoplasmic flow.\nThis particular cellular automaton, which they devised for (MFA), includes Woronin bodies in its cell-state transition rules. This automaton setup allows them to analyze “how the 256 elementary cellular automata rules are affected by the activation of Wb in different modes, increasing the complexity of the applied rule in some cases” [103], p. 341. According to the reviewer of this paper, many cellular automata models have already shown that the classical notions of co-equality between determinism and prediction are decoupled—although the system is completely determined, one must still compute the future.\nFurthermore, in biology, there are countless examples of dissipative structures that change over time. One class of examples concerns biological rhythms, such as cell excitability, circadian rhythms, the cell cycle clock, and cellular rhythms involving the opposing roles of the proteins p53 and NF-κB in cancer [99]. According to Goldbeter [99], many discoveries and models in biology, chemistry, and ecology during the 1950s and 1960s inspired Prigogine’s theory. Some of these include the Lotka–Volterra model of oscillations in predator–prey systems and the Hodgkin–Huxley model of single-neuron action potential generation and propagation, which connects the electrochemical properties of membrane ion channels (Na+ and K+ ion channels) and the transporter (Na, K-ATPase, which forms the electrochemical gradient across membranes) with the generation and propagation of electrical signals in excitable cells.\nNonlinear oscillatory dynamics and the Belousov–Zhabotinsky (BZ) reaction connect the first and second roots. The second root is considered by some, such as Siegfried Roth [104], as the earliest and most direct for the history of biological pattern formation theory, dating back to the first half of the 20th century and including the search for the chemical basis of pattern formation, culminating in Alan Turing’s [105] attempts to explain the role of genes during embryogenesis, with reference to the chemical and mechanical properties of the cell. In biochemistry, the discovery of what became known as the BZ reaction, which exhibits spatiotemporal oscillatory dynamics, was quintessential in efforts to explain oscillatory dynamics in cells and organisms, according to Goldbeter [99]. Indeed, Boris Belousov, who was studying the oxidation of citric acid, made a significant discovery that reverberates today more than ever across the systems cell biology paradigm in studies of biochemical clocks, cellular decision-making, and signalling networks in time and space [106].\nTyson [106], pp. 185–186 explains the historical context of Belousov’s discovery: By the late 1940s, it was known that mitochondria, as they oxidised acetic acid (CH3COOH) to CO2, generated ATP by a “mysterious” process involving cytochromes—redox-active proteins employing Fe2+/Fe3+ ions to shuttle electrons from donors to receptors. Around 1950, Belousov, eager to understand how transition metal ions catalysed the oxidation of di- and tricarboxylic acids, focused on the oxidation of citric acid by bromate ions in acidic solution, with cerium ions (Ce3+/Ce4+) as a catalyst. He made a surprising discovery: under certain reactant concentrations, the chemical solution oscillated repeatedly between clear (Ce3+) and pale yellow (Ce4+). In other words, he discovered nonlinear oscillatory dynamics (a nonlinear oscillator) in an in vitro system relevant to biological in vivo systems such as cells. Ilya Prigogine called this reaction the most important discovery of the 20th century [107]. Nowadays, the BZ reaction, as a functional model of biological phenomena, is used by biologists, physicists, and chemists to model a variety of biological systems and processes [108].\nHowever, recognition of the nonlinear, autocatalytic oscillatory potential of the BZ reaction came in 1984, when the oscillatory chemical reactions (OCRs) model, which challenges the second law of thermodynamics regarding the BZ reaction’s oscillatory behavior, was proposed and developed [109]. Before that, Field, Körös, and Noyes (FKN) were the first to propose a realistic mechanism to explain the temporal oscillation of the BZ reaction, later dubbed the Oregonator [109,110]. The FKN model proposed three subprocesses and three controlling factors, each governing the kinetics of the entire reaction, specifically the concentrations of bromide and cerium ions [109]. According to Gupta et al. [109], the Oregonator model is a five-step version of the FKN mechanism: it includes five coupled elementary reactions and only three independent chemical intermediates that summarise the main features of the BZ reaction. The Brusselator, proposed by Prigogine and Lefever in 1968 in Brussels, consists of four elementary reactions and was the first attempt to model the BZ reaction [111,112,113].\nWalter Fontana and Leo Buss proposed a minimal theory of biological organisation based on chemistry and mathematics (λ-calculus), capable of simulating and capturing [114], p. 1; [115]: (1) the constructive feature of chemistry, where the collision of molecules generates specific new molecules, and (2) chemistry’s diversity of equivalence classes, where many different reactants can yield the same stable product.\nRecently, researchers have begun using AI models to simulate and explain the conditions and processes involved in the transition from molecular interactions to the emergence of self-organizing structures. For example, using the AlChemy model—an artificial chemistry model based on λ-calculus—Mathis et al. [115] showed that simple computational rules can give rise to stable, complex, self-organizing emergent structures.\nThis and other artificial chemistry models are important tools for attempts to create artificial life, engineer synthetic biological life (cells), or understand the conditions and processes necessary for transitioning from bioinorganic molecules (e.g., proteins, enzymes, and DNA containing inorganic components such as six relatively light elements, affectionately called CHONPS, and cofactor ions such as Cu2+, Mg2+, or Fe2+) into the first self-organised replicating structures capable of supporting metabolism [116,117]. The key role in establishing these self-reproducing metabolisms is played by an autocatalyzed subset of Turing-complete reactions, which can be simulated by a minimalistic artificial chemistry with conservation laws [118]. A single run of this chemistry, with no external intervention, generates different emergent structures, including ones that self-reproduce in each cycle; these emergent structures, in the form of recursive algorithms, acquire basic constituents from the environment and decompose them, mimicking a biological metabolism [118].\nBZ reactions and models based on them to simulate autocatalytic sets and subsets now account for many diverse biological processes, such as metabolism, signalling, and cell development, whose oscillatory dynamics control important features of cell physiology, including DNA synthesis, glycolysis, cyclic AMP production, protein-interaction networks in the eukaryotic cell cycle, and many more [119]. Combined with Prigogine’s dissipative structures, Brusselators and Oregonators provide firm roots for self-organization in biology, about which much remains to be discovered.\nFurthermore, the following considerations will be useful for illustrating the third root. In the 1970s, Chilean biologists Francisco Varela and Humberto Maturana succeeded in uniting previously scattered research involving Prigogine’s dissipative structures, order by fluctuations, Eigen and Schuster’s theory of self-organizing hypercycles of catalytic synthesis of complex nucleic acids and proteins, and the spontaneous social orders of von Hayek, under the single framework called the theory of autopoiesis (self-production) [17,18,19,20,21]. In the spirit of Bauer’s and Prigogine’s work, Varela and Maturana take “order” as foundational for any complex system. The same organization can be constructed with different components [20], p. 7:\n“The same organization may be realized in different systems with different kinds of components as long as these components have the properties which realize the required relations.”\nThey clearly refer here to the multiple realizability of the same organization with different components, but I am not sure they also mean the multiple realizability of the same properties by different components. For example, it is difficult to argue that the properties of water, produced by hydrogen and oxygen, could be reproduced by other chemical components. However, they take from this that some basic universal principles govern organization across different systems, from machines to living beings. These principles are as follows [20], p. 8:\n“Autopoietic organization of life is defined as unity by a network of productions of components which (1) participate recursively in the same network of productions of components which produced these components (closure in production), and (2) realize the network of productions as a unity in the space in which the components exist (closure in space).”\nThey provide a striking example from cell biology (ibid.):\n“In the case of a cell, it is a network of chemical reactions which produce molecules such that (1) through their interactions generate and participate recursively in the same network of reactions which produced them, and (2) realize the cell as a material unity.”\nThese principles of organization allow the cell, isolated from the background topographically and operationally, to maintain its organization despite the continuous turnover of matter. Despite changes in the form and specificity of its constitutive chemical reactions, the organization persists [20]. Simply stated, organisms are characterized or defined by organizational closure. They even make an important distinction between autopoiesis and alopoiesis. In contrast to living systems, mechanistic systems do not produce components or processes themselves. Humans produce these components and assemble them. However, we must be careful here. In today’s robotics, artificial intelligence, and machine learning, although these machines are not self-producing, they exhibit a certain degree of autonomy and self-learning [120].\nAlthough successful in theoretical biology and in the fields of artificial life and the origins of life, autopoiesis was not well received by mainstream biologists, mainly because deriving specific, testable hypotheses has been challenging [86]. However, it has recently undergone significant conceptual reappropriation in the so-called enactivist and agential approaches to life and mind, to operationalize concepts related to self-individuation such as precariousness (life-or-death stakes), adaptivity, and agency [86,121,122]. Here, self-individuation means the system actively takes steps to preserve its identity, whether at the cellular or the mental level. In addition to organizational closure, the embodiment of an objective function that provides a ‘goal’ should be recognized as foundational to self-organized biological systems [123].\nIn my view, autopoiesis, like other theories within the self-organization framework over the past few decades, has struggled to address the “top-down” effects of the environment on organisms, except perhaps Haken’s synergetics. Although many argue that it allows for the transfer of matter and energy from an organism’s surroundings, the role of epigenetics must be considered. However, recent advances in genetics are straightforward: epigenetic mechanisms influenced by environmental factors can directly regulate genetic processes via DNA methylation and microRNA expression [124,125]. These changes can lead to variations in phenotype, prompting a dialogue between Neo-Lamarckism and Neo-Darwinism [125]. In 1802, Jean-Baptiste Lamarck (Lamarckian theory of evolution) proposed that the environment could directly modify phenotype in a heritable way, challenging the Darwinian and later neo-Darwinian perspectives that natural selection acts on genetic alterations and random mutations that drive phenotypic variation [125]. In Darwinian worldviews, a phenotypic trait resulting from a mutation is fixed in the population only when it is proven to increase fitness (survivability and reproduction) [126].\nBesides the enactivist and agential upgrade of autopoiesis, what other improvements has autopoiesis undergone? Evident in many accounts is the reference to Aristotle and the attribution of his four causes to the autopoietic, self-organized biological system. In the context of Aristotle’s metaphysics, organisms are closely associated with efficient causation (the agency and change in processes within the system), as they produce their own catalysts [127]. Simultaneously, they are close to material causation (the constituents of which the system is composed) due to a net, overall irreversible process that provides a thermodynamic driving force for metabolism [127]. In other words, efficient cause remains constant. At the same time, the regulatory processes that maintain the organization (a material-independent property) persist as long as the organism is alive [128]. However, their material components (material causation) constantly change as these regulatory components are synthesized and degraded to maintain homeostasis [128].\nMoreover, over the last few decades, self-organization and autopoiesis in biology have been reframed to include understanding that constraints have a causal role. Noble [87] and Ellis [88] argue that the environment can influence biological processes at all levels. Higher levels can constrain and shape lower levels, thereby providing a rationale for “top-down” causality. As a result, “bottom-up” genetic level (e.g., DNA to proteins) is constrained by higher levels in a context-sensitive manner. This provides an arena for the “meshing” of “bottom-up” molecular interactions and “top-down” constraints, and integration of functions across multiple levels, such as the molecular, cellular, and tissue or organ levels. It is important to note that “top-down” effects are not limited to biology. In chemistry, the collections of molecules can take a thermodynamically stable emergent conformation that differs from that of individual molecules. Additionally, these molecular aggregates can influence the structure and behaviour of the individual molecules within them, suggesting both emergent properties and “top-down” causality [129].\nSome philosophers of science, such as Ross [54], argue that, unlike the standard model, which denies a causal role for constraints, there is considerable evidence to correct this misconception and to ascribe a causal status to constraints in biology. She identifies two types of causal constraints. The first type involves changes in the spatial location (e.g., anatomical) of an entity over time, such as blood vessels that regulate blood flow, nerve tracts that control the flow of nerve signals, and lymph vessels that restrict the spread of cancer.\nThe second type of causal constraint concerns the causal effects of constraints on the composition of a system’s constituents (e.g., metabolic pathways, stem cell pathways, and developmental pathways). According to Ross [54], these constraints play a crucial role in directing the final product of, for instance, metabolic pathways; that is, they specify which ‘types of downstream products the upstream substrate is converted into’. Lehman and Kauffman [130] argue that boundary conditions are the driving force behind the constraint-closed system. In other words, these conditions provide constraints for a system. Stuart Kauffman and Andrea Roli [131], p. 7 propose that living organisms are Kantian in nature. They are “open, thermodynamic, self-reproducing chemical reaction networks that are Kantian wholes that achieve catalytic closure, constraint closure, and are spatially bounded, or enclosed, often by an enclosing lipid membrane (spatial closure)”.\nIn Kauffman and Roli’s model Catalytic closure refers to the molecular-enzyme component that exists for and by means of the entire set of other peptides in a metabolic pathway. Accordingly, constraint closure, by contrast, emphasizes that a complex system, such as a living cell, “literally constructs itself by doing thermodynamic work to construct the boundary conditions that constrain the release of energy to construct the very same boundary conditions” (ibid.). This constraint closure arises from non-equilibrium processes, characterized by the “work produced as a constrained release of energy” [131].\nSpatial closure, on the other hand, means that living systems are to some degree isolated from the environment, often described as a compartmentalized organization of cells in which metabolic processes occur within the lipid membrane [131]. These two closures are key to unlocking a new frontier in science: the emergence of life as a novel property of a prebiotically assembled system, and their integration establishes a permanent system–process duality [132]. This duality, defended by Gómez-Márquez, renders the organization and functioning of molecular and cellular networks inseparable, a discovery that has renewed excitement in the field of biochemistry. The operative integration of these two closures is also prompted by Faggian [133], p. 1:\n“When the components of a system meet Closure conditions, they constrain the existence of one another over a time interval. Each element becomes both a constraint on and a product of other constraints, creating a network of interdependencies that drive the system’s organization.”\nThe fourth root of self-organization in biology is systems biology. As François Jacob [134] famously pointed out, much of the history of biology and biological thought in the nineteenth and twentieth centuries lies at the intersection of reductionism and holism. Taking historical context into account, the declining significance of reductionist approaches in biology paved the way for a resurgence of holistic perspectives (see [135,136]). Before that, the mid-twentieth-century discovery of the structure of DNA by Watson and Crick in 1953, the molecule that carries and transmits genetic information, led to the accelerated development of molecular biology, fostering the belief that the secrets of life could be uncovered and explained at the most fundamental molecular-genetic level [137]. There was little room for holism and holistic thinking in those days. However, everything began to tilt in favour of holism at the end of the twentieth century when the sequencing of the human genome, as part of the Human Genome Project, was announced. Conceptually, systems biology emerges from this conflict, in which holism prevailed over reductionism (see [138,139]).\nThe post-genome era, as many call it, marked a turning point in the rise of systems biology and a new understanding of organisms as holistic systems, for which scientists needed deeper characterization and understanding, leading them to develop new approaches and methods. This newly formed systems biology, shaped by large-scale high-throughput molecular data (systems molecular biology or pragmatic systems biology), alongside insights from non-equilibrium thermodynamics and modeling (systems-theoretical biology), introduced a new way of thinking about molecular data, biological hierarchical organization, the role of the gene, “top-down” causation, modelling, and, above all, how to pursue the explanation of complex biological systems holistically [138,139,140,141]. It also introduced a revised definition of the gene, which now includes not only a sequence of DNA but also the complex multilevel processes of modification and interactions between gene products (RNA and proteins), other genes, and the environment that ultimately produce phenotypes (genetic characteristics) in a controllable, constrained manner [142]. This was wisely captured by Denis Noble [87], p. 60:\n“A difference in DNA sequence may have a wide variety of possible phenotypic effects, including no effect at all, until the boundary conditions are set, including the actions of many other genes, the metabolic and other states of the cell or organism, and the environment in which the organism exists.”\nThe concept of constraints suggests that higher levels restrict bottom-up molecular events. In open, complex biological systems, these constraints influence nonlinear, synergetic interactions at lower molecular, cellular, and genetic levels to maintain dynamic, emergent patterning within the organism.\nThis system-related understanding of the transmission of genetic information provides a rationale for the last, but not least, root of self-organization in biology. Although at first sight biological information at the molecular level appears linear (see [143]), errors and noise arising from continuous interactions between the genome and the environment (molecular oscillators) lead to large-scale nonlinear information processing in cells and organisms (large-scale biological patterns) (see [144,145]). In principle, biological systems function by maintaining their state far from equilibrium with their environment. To sustain this continuous nonlinear operation, organisms must control all mechanisms responsible for its production in an integrated manner [146,147]. This control involves mechanisms that sense and respond to changes in conditions within the organism or its environment, serving as constraints that act on other mechanisms to adjust their operation across scales [147]. Based on what has been said so far, it is clear that any reference to self-organization, including theories, frameworks, and their operationalization, cannot be considered in isolation, as they all seem interwoven and interconnected.\nHaken’s second foundation of his theory of synergetics best illustrates the union between the self-organization and information in biology and elsewhere. While the first foundation of synergetics dealt with quantitative and formal descriptions of lower-level components that produce a macroscopic holistic system, the second foundation addresses the meaningful production, extraction, and exchange of information by or within complex systems that evolve spontaneously, i.e., by self-organization—“a means by which the system and its parts extract, or produce meaning and/or action from signals” [66], p. 4.\nHaken and Portugali use the concept of Shannon’s information, which is capable of addressing the following aspects of a message: (1) irrespective of its meaning (syntactic); (2) semantic and pragmatic forms of information, which deal with the meaning conveyed by messages; and (3) information adaptation, which refers to the interplay between Shannon’s information and semantic or pragmatic information.\nWithout delving deeply into it, information, syntax, and meaning (semantics) are closely connected and essential for self-organized complex systems. For example, biologist Howard Pattee, motivated to understand the organism from within, uses explicitly linguistic terms and concepts to address what he identifies as the cellular “semantic closure” and “epistemic cut”. More specifically, “semantic closure” refers to “the self-referential mechanism through which symbols actively construct and interpret their own functional contexts” [148].\nMessages and codes of living organisms are meaningful only within the natural systems—such as organisms, ecosystems, and so on—in which this information is encoded and used, “acquiring their ‘meaning’” (always operational and only operationally discernible for Pattee) within a system, organism, ecosystem, etc. [149], p. 161. On this view, information and its meaning are intrinsically linked to organisms, as they actively acquire, process, and use information about their internal and external environments to sustain their physiology and behaviour [150]. I will not discuss self-organization further in the informational context, except perhaps for references to information found in theories discussed in this paper, as it warrants much deeper and separate treatment, especially considering ongoing efforts to connect emergence and information (see [151]).\nTaken together, the thermodynamic, physicochemical, systems-autopoietic, and informational roots of self-organized biological systems make it clear that science currently lacks a unified and comprehensive framework in biology, let alone in the broader natural and socio-technical sciences. Although there are many theories of self-organization with different axiomatic foundations and computational formulations, often associated with their originators (e.g., Bak’s self-organized criticality, Haken’s synergetics), they initially address only some of these roots. However, as these theories and the science have evolved, it is evident that some have undergone further development, such as Haken’s synergetics, to incorporate advances unavailable at the time they were proposed. The proposed historical classification of roots, which is largely static, only partially reflects the historical patterns that have led to current self-organization theories in biology, which, after all, show significant convergence and complementarity.\n\n\n### 3.1. The First Root: Bauer’s Theoretical Biology and Prigogine’s Dissipative Structures\nTo understand the first root, let us discuss the groundbreaking and historically significant work of Bauer and Prigogine that ties the fields of thermodynamics (physics) and biology together. Most authors usually identify self-organization as stemming from cybernetics. However, even before cybernetics, theoretical biologist Ervin Bauer, who was the first to develop a general molecular-based biological theory [90,91], proposed in 1920 [90] and 1935 [91] a highly innovative idea or basic principle of life for that time [92], p. 1; [93].\n“Living systems are never in equilibrium; at the expense of their free energy, they constantly perform work to avoid the equilibrium required by the laws of physics and chemistry under existing external conditions.”\nWhat I find interesting is that authors who have examined Bauer’s influential work, such as Elek and Müller [92] and Igamberdiev [94], have reached the same conclusion: Bauer’s ideas are distinct from the non-equilibrium thermodynamics of irreversible processes based on the universality of the Second Law. Perhaps his unique idea is that organisms are responsible for producing non-equilibrium, not the other way round [92], p. 1\n“The main point of Bauer’s concept is not the non-equilibrium, but the function of organism producing the non-equilibrium, the capacity for self-adaptation, and the power for changing its functions in such a way that the system always gets the state of non-equilibrium always anew.”\nIgamberdiev [94] is clear about the fundamental difference between Bauer and later pioneers of self-organizing systems, who base their ideas on the thermodynamics of irreversible processes, including Ilya Prigogine, who introduced this field, and later complexity theorists such as Herman Haken, who introduced the synergetics framework.\nAlthough Prigogine’s and Haken’s frameworks provide theoretical foundations for describing dynamic complex systems, they fail to capture the specificities of biological autonomy. Igamberdiev argues that, mainly because they do not include the Aristotelian internal efficient causes intrinsic to the phenomenon of life, these frameworks are heuristically useful yet epistemologically inadequate for dealing with autopoietic living systems. I am not quite sure whether this is true, in part, regarding Haken, as I will later show that, in his “second foundation of synergetics,” he showed some respect for “top-down” causality and the circular interrelatedness of collective synergistic emergent properties with the lower-level components that produce them. Ultimately, Prigogine’s theory serves as a foundational root that leads to more specific theories such as Haken’s synergetics and Holland’s and Gell-Mann’s complex adaptive systems.\nBauer’s ideas are still influential and inspire theorists such as George E. Mikhailovsky, who has thoughtfully reexamined Bauer’s concepts and, drawing on them, has crafted an intriguing perspective that positions living organisms primarily as chemodynamic systems, surpassing the traditional view of them as mere thermodynamic entities. He introduced three fundamental laws of biochemodynamics, defined [95], pp. 14–16:\n“As the study of the dynamics of biochemical reactions in living systems constrained and determined by the flows of energy and matter in these systems”, upon which the essential features of life can be derived.\nNow we will turn our attention to the pioneer of non-equilibrium thermodynamics of irreversible processes, Ilya Prigogine, and the impact of his work for todays science of complexity. The concept of dissipative structures was introduced by the Russian-Belgian Nobel laureate Ilya Prigogine to explain complex ordered systems that self-organize by expelling entropy through continuous exchange of energy and matter with their environment, thereby increasing order and organization [96,97,98]. Indeed, if we seek the most decisive moment in the history of complexity science, it would be the formulation of the second law of thermodynamics, and then its uses to search for the meaning of life. This was the guiding light of Prigogine’s work.\nIn a Nobel lecture delivered in December 1977, later published in Science and entitled Time, Structure and Fluctuations [97], p. 777, Prigogine highlights many other revolutionary developments in physics stemming from the second law of thermodynamics, including Boltzmann’s work in kinetic theory, Planck’s discovery of quantum theory, and Einstein’s theory of spontaneous emission. Yet its role in explaining life’s self-organization and evolution remains particularly peculiar after so many years, inspiring countless frameworks and theories on the origin and evolution of life. Guided by the question of “how order in time and space spontaneously arises in chemical and biological systems” [99], Prigogine’s pioneering contributions to the mathematical and computational study of emergence, micro-to-macro transitions, and oscillatory dynamics of physiological networks are of immense significance, inspiring whole new fields such as the Brusselator and Oregonator models [99]. What is the difference between isolated microscopically reversible physical systems and dissipative systems? Well, the former tend, over time, to acquire maximal entropy and maximal disorder, while the latter, as being microscopically irreversible and open, interact with their environment to evolve from “disordered” to more “ordered” states and exhibit a complex structure, such as that of biological systems [100].\nIn reference to biological systems, Toussaint and Schneider [101], p. 3 argue that “similar processes, constrained by the second law of thermodynamics, give rise to the emergence of structure and process in a broad class of dissipative systems”. This means that in any system moved away from equilibrium (e.g., a biological system), where dynamic or kinetic conditions are satisfied, the system organizes itself to reduce the effect of the applied gradient during developmental phases (especially during early embryogenesis) (ibid.):\n“Biosystems increase their total dissipation, develop more complex structures with greater energy flow, increase their cycling activity, develop greater diversity, and generate more hierarchical levels.”\nIt is difficulty to dissect the mechanism by which biological system as dissipative systems self-organized. Therefore, simple yet general mathematical and computational models, such as cellular automata, have been developed to describe irreversible “dissipative behavior” across a variety of physical, chemical, biological, and other systems [100].\nAccording to Wolfram [100], p. 603, cellular automata represent physical systems in which both space and time are discrete, and physical quantities can assume only a limited set of distinct values. A cellular automaton is made of a regular, uniform lattice (or “array”), typically infinite in size, with each location referred to as a “cell.”\nThe state of a cellular automaton is determined entirely by the values of the variables at each cell. It evolves in discrete time steps, with the value of a variable at each cell influenced by the values of the variables in its “neighbourhood” during the previous time step. The “neighbourhood” of a cell usually includes the cell itself and all immediately adjacent cells. The values are updated “synchronously” based on the values of the variables in their neighbourhood from the preceding time step, according to a specific set of “local rules.”\nFrom the early days, scientists realized the great potential of cellular automata to study the complexity patterns arising from simple, identical components capable of synergistic collective interactions, such as the growth of pigmentation patterns in mollusc shells [102]. Recent application of cellular automata by the Adamatzky group [103] to fungal cells allowed authors to devise “Elementary fungal cellular automata (EFCA)” and “Majority fungal automata” (MFA) to simulate the complexity of a fungal hyphae, which are separated by internal walls (septa). This septum possesses tiny pores that allow cytoplasm to flow between cells in a regulated manner. In other words, the cells can block this flow by forming Woronin bodies in an emergency to prevent cytoplasmic flow.\nThis particular cellular automaton, which they devised for (MFA), includes Woronin bodies in its cell-state transition rules. This automaton setup allows them to analyze “how the 256 elementary cellular automata rules are affected by the activation of Wb in different modes, increasing the complexity of the applied rule in some cases” [103], p. 341. According to the reviewer of this paper, many cellular automata models have already shown that the classical notions of co-equality between determinism and prediction are decoupled—although the system is completely determined, one must still compute the future.\nFurthermore, in biology, there are countless examples of dissipative structures that change over time. One class of examples concerns biological rhythms, such as cell excitability, circadian rhythms, the cell cycle clock, and cellular rhythms involving the opposing roles of the proteins p53 and NF-κB in cancer [99]. According to Goldbeter [99], many discoveries and models in biology, chemistry, and ecology during the 1950s and 1960s inspired Prigogine’s theory. Some of these include the Lotka–Volterra model of oscillations in predator–prey systems and the Hodgkin–Huxley model of single-neuron action potential generation and propagation, which connects the electrochemical properties of membrane ion channels (Na+ and K+ ion channels) and the transporter (Na, K-ATPase, which forms the electrochemical gradient across membranes) with the generation and propagation of electrical signals in excitable cells.\n\n\n### 3.2. The Second Root: Belousov–Zhabotinsky Reaction, Brusselator and Oregonator Models\nNonlinear oscillatory dynamics and the Belousov–Zhabotinsky (BZ) reaction connect the first and second roots. The second root is considered by some, such as Siegfried Roth [104], as the earliest and most direct for the history of biological pattern formation theory, dating back to the first half of the 20th century and including the search for the chemical basis of pattern formation, culminating in Alan Turing’s [105] attempts to explain the role of genes during embryogenesis, with reference to the chemical and mechanical properties of the cell. In biochemistry, the discovery of what became known as the BZ reaction, which exhibits spatiotemporal oscillatory dynamics, was quintessential in efforts to explain oscillatory dynamics in cells and organisms, according to Goldbeter [99]. Indeed, Boris Belousov, who was studying the oxidation of citric acid, made a significant discovery that reverberates today more than ever across the systems cell biology paradigm in studies of biochemical clocks, cellular decision-making, and signalling networks in time and space [106].\nTyson [106], pp. 185–186 explains the historical context of Belousov’s discovery: By the late 1940s, it was known that mitochondria, as they oxidised acetic acid (CH3COOH) to CO2, generated ATP by a “mysterious” process involving cytochromes—redox-active proteins employing Fe2+/Fe3+ ions to shuttle electrons from donors to receptors. Around 1950, Belousov, eager to understand how transition metal ions catalysed the oxidation of di- and tricarboxylic acids, focused on the oxidation of citric acid by bromate ions in acidic solution, with cerium ions (Ce3+/Ce4+) as a catalyst. He made a surprising discovery: under certain reactant concentrations, the chemical solution oscillated repeatedly between clear (Ce3+) and pale yellow (Ce4+). In other words, he discovered nonlinear oscillatory dynamics (a nonlinear oscillator) in an in vitro system relevant to biological in vivo systems such as cells. Ilya Prigogine called this reaction the most important discovery of the 20th century [107]. Nowadays, the BZ reaction, as a functional model of biological phenomena, is used by biologists, physicists, and chemists to model a variety of biological systems and processes [108].\nHowever, recognition of the nonlinear, autocatalytic oscillatory potential of the BZ reaction came in 1984, when the oscillatory chemical reactions (OCRs) model, which challenges the second law of thermodynamics regarding the BZ reaction’s oscillatory behavior, was proposed and developed [109]. Before that, Field, Körös, and Noyes (FKN) were the first to propose a realistic mechanism to explain the temporal oscillation of the BZ reaction, later dubbed the Oregonator [109,110]. The FKN model proposed three subprocesses and three controlling factors, each governing the kinetics of the entire reaction, specifically the concentrations of bromide and cerium ions [109]. According to Gupta et al. [109], the Oregonator model is a five-step version of the FKN mechanism: it includes five coupled elementary reactions and only three independent chemical intermediates that summarise the main features of the BZ reaction. The Brusselator, proposed by Prigogine and Lefever in 1968 in Brussels, consists of four elementary reactions and was the first attempt to model the BZ reaction [111,112,113].\nWalter Fontana and Leo Buss proposed a minimal theory of biological organisation based on chemistry and mathematics (λ-calculus), capable of simulating and capturing [114], p. 1; [115]: (1) the constructive feature of chemistry, where the collision of molecules generates specific new molecules, and (2) chemistry’s diversity of equivalence classes, where many different reactants can yield the same stable product.\nRecently, researchers have begun using AI models to simulate and explain the conditions and processes involved in the transition from molecular interactions to the emergence of self-organizing structures. For example, using the AlChemy model—an artificial chemistry model based on λ-calculus—Mathis et al. [115] showed that simple computational rules can give rise to stable, complex, self-organizing emergent structures.\nThis and other artificial chemistry models are important tools for attempts to create artificial life, engineer synthetic biological life (cells), or understand the conditions and processes necessary for transitioning from bioinorganic molecules (e.g., proteins, enzymes, and DNA containing inorganic components such as six relatively light elements, affectionately called CHONPS, and cofactor ions such as Cu2+, Mg2+, or Fe2+) into the first self-organised replicating structures capable of supporting metabolism [116,117]. The key role in establishing these self-reproducing metabolisms is played by an autocatalyzed subset of Turing-complete reactions, which can be simulated by a minimalistic artificial chemistry with conservation laws [118]. A single run of this chemistry, with no external intervention, generates different emergent structures, including ones that self-reproduce in each cycle; these emergent structures, in the form of recursive algorithms, acquire basic constituents from the environment and decompose them, mimicking a biological metabolism [118].\nBZ reactions and models based on them to simulate autocatalytic sets and subsets now account for many diverse biological processes, such as metabolism, signalling, and cell development, whose oscillatory dynamics control important features of cell physiology, including DNA synthesis, glycolysis, cyclic AMP production, protein-interaction networks in the eukaryotic cell cycle, and many more [119]. Combined with Prigogine’s dissipative structures, Brusselators and Oregonators provide firm roots for self-organization in biology, about which much remains to be discovered.\n\n\n### 3.3. The Third Root: Autopoiesis\nFurthermore, the following considerations will be useful for illustrating the third root. In the 1970s, Chilean biologists Francisco Varela and Humberto Maturana succeeded in uniting previously scattered research involving Prigogine’s dissipative structures, order by fluctuations, Eigen and Schuster’s theory of self-organizing hypercycles of catalytic synthesis of complex nucleic acids and proteins, and the spontaneous social orders of von Hayek, under the single framework called the theory of autopoiesis (self-production) [17,18,19,20,21]. In the spirit of Bauer’s and Prigogine’s work, Varela and Maturana take “order” as foundational for any complex system. The same organization can be constructed with different components [20], p. 7:\n“The same organization may be realized in different systems with different kinds of components as long as these components have the properties which realize the required relations.”\nThey clearly refer here to the multiple realizability of the same organization with different components, but I am not sure they also mean the multiple realizability of the same properties by different components. For example, it is difficult to argue that the properties of water, produced by hydrogen and oxygen, could be reproduced by other chemical components. However, they take from this that some basic universal principles govern organization across different systems, from machines to living beings. These principles are as follows [20], p. 8:\n“Autopoietic organization of life is defined as unity by a network of productions of components which (1) participate recursively in the same network of productions of components which produced these components (closure in production), and (2) realize the network of productions as a unity in the space in which the components exist (closure in space).”\nThey provide a striking example from cell biology (ibid.):\n“In the case of a cell, it is a network of chemical reactions which produce molecules such that (1) through their interactions generate and participate recursively in the same network of reactions which produced them, and (2) realize the cell as a material unity.”\nThese principles of organization allow the cell, isolated from the background topographically and operationally, to maintain its organization despite the continuous turnover of matter. Despite changes in the form and specificity of its constitutive chemical reactions, the organization persists [20]. Simply stated, organisms are characterized or defined by organizational closure. They even make an important distinction between autopoiesis and alopoiesis. In contrast to living systems, mechanistic systems do not produce components or processes themselves. Humans produce these components and assemble them. However, we must be careful here. In today’s robotics, artificial intelligence, and machine learning, although these machines are not self-producing, they exhibit a certain degree of autonomy and self-learning [120].\nAlthough successful in theoretical biology and in the fields of artificial life and the origins of life, autopoiesis was not well received by mainstream biologists, mainly because deriving specific, testable hypotheses has been challenging [86]. However, it has recently undergone significant conceptual reappropriation in the so-called enactivist and agential approaches to life and mind, to operationalize concepts related to self-individuation such as precariousness (life-or-death stakes), adaptivity, and agency [86,121,122]. Here, self-individuation means the system actively takes steps to preserve its identity, whether at the cellular or the mental level. In addition to organizational closure, the embodiment of an objective function that provides a ‘goal’ should be recognized as foundational to self-organized biological systems [123].\nIn my view, autopoiesis, like other theories within the self-organization framework over the past few decades, has struggled to address the “top-down” effects of the environment on organisms, except perhaps Haken’s synergetics. Although many argue that it allows for the transfer of matter and energy from an organism’s surroundings, the role of epigenetics must be considered. However, recent advances in genetics are straightforward: epigenetic mechanisms influenced by environmental factors can directly regulate genetic processes via DNA methylation and microRNA expression [124,125]. These changes can lead to variations in phenotype, prompting a dialogue between Neo-Lamarckism and Neo-Darwinism [125]. In 1802, Jean-Baptiste Lamarck (Lamarckian theory of evolution) proposed that the environment could directly modify phenotype in a heritable way, challenging the Darwinian and later neo-Darwinian perspectives that natural selection acts on genetic alterations and random mutations that drive phenotypic variation [125]. In Darwinian worldviews, a phenotypic trait resulting from a mutation is fixed in the population only when it is proven to increase fitness (survivability and reproduction) [126].\nBesides the enactivist and agential upgrade of autopoiesis, what other improvements has autopoiesis undergone? Evident in many accounts is the reference to Aristotle and the attribution of his four causes to the autopoietic, self-organized biological system. In the context of Aristotle’s metaphysics, organisms are closely associated with efficient causation (the agency and change in processes within the system), as they produce their own catalysts [127]. Simultaneously, they are close to material causation (the constituents of which the system is composed) due to a net, overall irreversible process that provides a thermodynamic driving force for metabolism [127]. In other words, efficient cause remains constant. At the same time, the regulatory processes that maintain the organization (a material-independent property) persist as long as the organism is alive [128]. However, their material components (material causation) constantly change as these regulatory components are synthesized and degraded to maintain homeostasis [128].\nMoreover, over the last few decades, self-organization and autopoiesis in biology have been reframed to include understanding that constraints have a causal role. Noble [87] and Ellis [88] argue that the environment can influence biological processes at all levels. Higher levels can constrain and shape lower levels, thereby providing a rationale for “top-down” causality. As a result, “bottom-up” genetic level (e.g., DNA to proteins) is constrained by higher levels in a context-sensitive manner. This provides an arena for the “meshing” of “bottom-up” molecular interactions and “top-down” constraints, and integration of functions across multiple levels, such as the molecular, cellular, and tissue or organ levels. It is important to note that “top-down” effects are not limited to biology. In chemistry, the collections of molecules can take a thermodynamically stable emergent conformation that differs from that of individual molecules. Additionally, these molecular aggregates can influence the structure and behaviour of the individual molecules within them, suggesting both emergent properties and “top-down” causality [129].\nSome philosophers of science, such as Ross [54], argue that, unlike the standard model, which denies a causal role for constraints, there is considerable evidence to correct this misconception and to ascribe a causal status to constraints in biology. She identifies two types of causal constraints. The first type involves changes in the spatial location (e.g., anatomical) of an entity over time, such as blood vessels that regulate blood flow, nerve tracts that control the flow of nerve signals, and lymph vessels that restrict the spread of cancer.\nThe second type of causal constraint concerns the causal effects of constraints on the composition of a system’s constituents (e.g., metabolic pathways, stem cell pathways, and developmental pathways). According to Ross [54], these constraints play a crucial role in directing the final product of, for instance, metabolic pathways; that is, they specify which ‘types of downstream products the upstream substrate is converted into’. Lehman and Kauffman [130] argue that boundary conditions are the driving force behind the constraint-closed system. In other words, these conditions provide constraints for a system. Stuart Kauffman and Andrea Roli [131], p. 7 propose that living organisms are Kantian in nature. They are “open, thermodynamic, self-reproducing chemical reaction networks that are Kantian wholes that achieve catalytic closure, constraint closure, and are spatially bounded, or enclosed, often by an enclosing lipid membrane (spatial closure)”.\nIn Kauffman and Roli’s model Catalytic closure refers to the molecular-enzyme component that exists for and by means of the entire set of other peptides in a metabolic pathway. Accordingly, constraint closure, by contrast, emphasizes that a complex system, such as a living cell, “literally constructs itself by doing thermodynamic work to construct the boundary conditions that constrain the release of energy to construct the very same boundary conditions” (ibid.). This constraint closure arises from non-equilibrium processes, characterized by the “work produced as a constrained release of energy” [131].\nSpatial closure, on the other hand, means that living systems are to some degree isolated from the environment, often described as a compartmentalized organization of cells in which metabolic processes occur within the lipid membrane [131]. These two closures are key to unlocking a new frontier in science: the emergence of life as a novel property of a prebiotically assembled system, and their integration establishes a permanent system–process duality [132]. This duality, defended by Gómez-Márquez, renders the organization and functioning of molecular and cellular networks inseparable, a discovery that has renewed excitement in the field of biochemistry. The operative integration of these two closures is also prompted by Faggian [133], p. 1:\n“When the components of a system meet Closure conditions, they constrain the existence of one another over a time interval. Each element becomes both a constraint on and a product of other constraints, creating a network of interdependencies that drive the system’s organization.”\n\n\n### 3.4. The Fourth Root: Systems Biology\nThe fourth root of self-organization in biology is systems biology. As François Jacob [134] famously pointed out, much of the history of biology and biological thought in the nineteenth and twentieth centuries lies at the intersection of reductionism and holism. Taking historical context into account, the declining significance of reductionist approaches in biology paved the way for a resurgence of holistic perspectives (see [135,136]). Before that, the mid-twentieth-century discovery of the structure of DNA by Watson and Crick in 1953, the molecule that carries and transmits genetic information, led to the accelerated development of molecular biology, fostering the belief that the secrets of life could be uncovered and explained at the most fundamental molecular-genetic level [137]. There was little room for holism and holistic thinking in those days. However, everything began to tilt in favour of holism at the end of the twentieth century when the sequencing of the human genome, as part of the Human Genome Project, was announced. Conceptually, systems biology emerges from this conflict, in which holism prevailed over reductionism (see [138,139]).\nThe post-genome era, as many call it, marked a turning point in the rise of systems biology and a new understanding of organisms as holistic systems, for which scientists needed deeper characterization and understanding, leading them to develop new approaches and methods. This newly formed systems biology, shaped by large-scale high-throughput molecular data (systems molecular biology or pragmatic systems biology), alongside insights from non-equilibrium thermodynamics and modeling (systems-theoretical biology), introduced a new way of thinking about molecular data, biological hierarchical organization, the role of the gene, “top-down” causation, modelling, and, above all, how to pursue the explanation of complex biological systems holistically [138,139,140,141]. It also introduced a revised definition of the gene, which now includes not only a sequence of DNA but also the complex multilevel processes of modification and interactions between gene products (RNA and proteins), other genes, and the environment that ultimately produce phenotypes (genetic characteristics) in a controllable, constrained manner [142]. This was wisely captured by Denis Noble [87], p. 60:\n“A difference in DNA sequence may have a wide variety of possible phenotypic effects, including no effect at all, until the boundary conditions are set, including the actions of many other genes, the metabolic and other states of the cell or organism, and the environment in which the organism exists.”\nThe concept of constraints suggests that higher levels restrict bottom-up molecular events. In open, complex biological systems, these constraints influence nonlinear, synergetic interactions at lower molecular, cellular, and genetic levels to maintain dynamic, emergent patterning within the organism.\n\n\n### 3.5. The Fifth Root: Self-Organization and Information\nThis system-related understanding of the transmission of genetic information provides a rationale for the last, but not least, root of self-organization in biology. Although at first sight biological information at the molecular level appears linear (see [143]), errors and noise arising from continuous interactions between the genome and the environment (molecular oscillators) lead to large-scale nonlinear information processing in cells and organisms (large-scale biological patterns) (see [144,145]). In principle, biological systems function by maintaining their state far from equilibrium with their environment. To sustain this continuous nonlinear operation, organisms must control all mechanisms responsible for its production in an integrated manner [146,147]. This control involves mechanisms that sense and respond to changes in conditions within the organism or its environment, serving as constraints that act on other mechanisms to adjust their operation across scales [147]. Based on what has been said so far, it is clear that any reference to self-organization, including theories, frameworks, and their operationalization, cannot be considered in isolation, as they all seem interwoven and interconnected.\nHaken’s second foundation of his theory of synergetics best illustrates the union between the self-organization and information in biology and elsewhere. While the first foundation of synergetics dealt with quantitative and formal descriptions of lower-level components that produce a macroscopic holistic system, the second foundation addresses the meaningful production, extraction, and exchange of information by or within complex systems that evolve spontaneously, i.e., by self-organization—“a means by which the system and its parts extract, or produce meaning and/or action from signals” [66], p. 4.\nHaken and Portugali use the concept of Shannon’s information, which is capable of addressing the following aspects of a message: (1) irrespective of its meaning (syntactic); (2) semantic and pragmatic forms of information, which deal with the meaning conveyed by messages; and (3) information adaptation, which refers to the interplay between Shannon’s information and semantic or pragmatic information.\nWithout delving deeply into it, information, syntax, and meaning (semantics) are closely connected and essential for self-organized complex systems. For example, biologist Howard Pattee, motivated to understand the organism from within, uses explicitly linguistic terms and concepts to address what he identifies as the cellular “semantic closure” and “epistemic cut”. More specifically, “semantic closure” refers to “the self-referential mechanism through which symbols actively construct and interpret their own functional contexts” [148].\nMessages and codes of living organisms are meaningful only within the natural systems—such as organisms, ecosystems, and so on—in which this information is encoded and used, “acquiring their ‘meaning’” (always operational and only operationally discernible for Pattee) within a system, organism, ecosystem, etc. [149], p. 161. On this view, information and its meaning are intrinsically linked to organisms, as they actively acquire, process, and use information about their internal and external environments to sustain their physiology and behaviour [150]. I will not discuss self-organization further in the informational context, except perhaps for references to information found in theories discussed in this paper, as it warrants much deeper and separate treatment, especially considering ongoing efforts to connect emergence and information (see [151]).\nTaken together, the thermodynamic, physicochemical, systems-autopoietic, and informational roots of self-organized biological systems make it clear that science currently lacks a unified and comprehensive framework in biology, let alone in the broader natural and socio-technical sciences. Although there are many theories of self-organization with different axiomatic foundations and computational formulations, often associated with their originators (e.g., Bak’s self-organized criticality, Haken’s synergetics), they initially address only some of these roots. However, as these theories and the science have evolved, it is evident that some have undergone further development, such as Haken’s synergetics, to incorporate advances unavailable at the time they were proposed. The proposed historical classification of roots, which is largely static, only partially reflects the historical patterns that have led to current self-organization theories in biology, which, after all, show significant convergence and complementarity.\n\n\n### 4. Theories of Self-Organization: All Paths Lead to Emergence and Holism\nAs discussed, the self-organization framework in biology, developed in the twentieth century, has clarified the universal principles governing self-organization, order, and control in biological systems. However, the specific ways in which thermodynamic principles operate within these systems, according to certain compatible rules, remain unclear. This has led to the development of various theories of self-organization, which both inspire the imagination and drive the practical work of biologists. Each theory has its strengths and limitations, and it is important for the reader to critically assess their apparent and hidden value for further study and modeling of biological systems. Due to constraints, the following will offer only a brief conceptual overview, not a mathematical or computational one, of these theories and their relevance to real-life biological problems.\nUnderstanding self-organized criticality (SOC), complex adaptive systems (CAS), and self-organization in general requires attention to the concept of a “strange attractor,” a key feature of dissipative chaotic systems, originally proposed by David Ruelle and Floris Takens in their 1971 paper on the nature of turbulence [152]. They introduced a mathematical model of a physical system consisting of a viscous fluid and rigid bodies under varying conditions, which takes the system out of steady state. Variations in factors such as pumping and heating lead to one of the following results [152], p. 167: (a) the fluid motion may remain steady but change its symmetry pattern; (b) the fluid motion may become periodic in time; (c) for sufficiently large μ, the fluid motion becomes very complicated, irregular, and chaotic, resulting in turbulence. Here, μ depends on the situation and can be the Reynolds number, the Rayleigh number, etc. I recommend their paper for details about the mathematics behind their model.\nRuelle and Takens’ model showed how the nonlinear motion of fluids can produce chaotic turbulence and “strange attractors.” More broadly, a strange attractor in dynamical systems is a type of attractor—a region or shape to which points are “pulled” as the result of a certain process—that arises in certain nonlinear systems and is characterized by its fractal structure (https://www.dynamicmath.xyz/strange-attractors/, accessed on 31 March 2026). In other words, attractors are long-term fractal geometric structures in phase space characterized by steady states toward which a dynamical system evolves. While trajectories within these attractors appear unpredictable, the attractors themselves are orderly, unchanging, and elegant geometric structures (https://annex.exploratorium.edu, accessed on 31 March 2026).\nAttractors were later explored and appropriated in biology (bioattractors, epigenetic attractors) by Brian C. Goodwin and Peter T. Saunders in their book Theoretical Biology: Epigenetic and Evolutionary Order from Complex Systems [153], where they discuss how self-organizing processes drive organismal complexity beyond the Neo-Darwinian paradigm of evolution focused on genes and natural selection. More specifically, self-organizing dynamic processes lead to stable states, called “attractors” in an epigenetic landscape, a concept proposed by Conrad Waddington in the 1940s, especially in his book The Strategy of the Genes [154]. One example will clarify this.\nBuilding on the epigenetic landscape with insights from chaos theory, Jaeger and Monk [155], p. 2270 provide the following example to substantiate what Davila-Velderrain et al. [156] call the Epigenetic Attractors Landscape in the context of gene regulatory networks and dynamical systems theory: In the case of a specific genotype and specific environmental conditions, and in a population of individuals with variation in initial conditions (due to the environment) and system parameters (due to genetic variation), the system will follow a particular trajectory to produce a particular phenotypic outcome. Any combination of initial regulator concentrations (transcription factors) serves as the starting point from which the system’s equations determine a dynamic trajectory by describing the rate of change in the system state over time (the temporal progression of the system). Jaeger and Monk define the totality of possible trajectories in phase space as the flow of the system, and these trajectories converge toward subregions of phase space called “attractors,” which are the stable steady states of the system that can be described by corresponding fractal dimensions. Notably, “each attractor has an associated region of phase space—called its basin of attraction—that contains the set of trajectories that converge toward it” (ibid.). The attractors, their associated basins, and their bifurcations are defining features of the regulatory and evolutionary potential of a biological system, Jaeger and Monk argue.\nTo track the entropy production along the unpredictable trajectories that lead to an attractor, a fluctuation theorem has been proposed, which accounts for the statistical rule governing entropy production not only at the level of the organism but also at the population-ecological level of life’s organization and functionality [157], p. 224. The fluctuation theorem, with the following directionality principles for demographic stability, underscores the general significance of entropy for demographic and ecological studies (ibid.):(1)A unidirectional increase in stability in populations subject to bounded growth constraints,(2)A unidirectional decrease in stability in large populations subject to unbounded growth constraints,(3)Random, non-directional changes in stability in small populations subject to unbounded growth constraints.\nA unidirectional increase in stability in populations subject to bounded growth constraints,\nA unidirectional decrease in stability in large populations subject to unbounded growth constraints,\nRandom, non-directional changes in stability in small populations subject to unbounded growth constraints.\nI mentioned fractals in association with attractors on multiple ocassions, but what are they? Fractals, introduced by Benoit Mandelbrot in his book Les Objets Fractals, Forme, Hasard et Dimension in the 1970s, are infinitely complex patterns that maintain self-similarity across scales [158,159]. Fractals are, at least approximately, self-similar shapes consisting of reduced versions of themselves, but are too irregular to be described by Euclidean geometry [160]. As pointed out by Mandelbrot [158], fractal geometry represents a geometric framework occupying a middle ground between the excessive geometric order of Euclid and the geometric chaos of general mathematics.\nFractal dimension (FD), an essential feature of fractals, is an important measure that quantifies the complexity of a fractal or complex system, or better say, the inherent irregularity of a fractal object by a number [161]. It provides insight into the amount of space a fractal occupies and is used to measure the density with which a fractal fills space, that is, how many new details appear as the resolution increases [161]. FD is not an integer and is usually larger than the Euclidean dimension, providing information about their geometric structure at different scales [162].\nSelf-avoiding walks and space-filling curves with integer dimensions are important for understanding topographical self-organization. According to Google AI:\n“A space-filling curves represent two extremes of fractal path behaviour, where the former generally has a fractal dimension less than the embedding space, and the latter fills the space completely.”\nAn earlier numerical study of self-avoiding walks by Havlin and ben-Avraham [163] found that, for polymers (e.g., Proteins, DNA), a single chain possesses a well-defined fractal dimensionality, i.e., it exhibits statistical self-similarity. However, as the number of steps in the Monte Carlo simulation increases, the fluctuations set in, and the fractal dimensionality measured on a single-chain configuration vanishes. Similarly, by building on Paul Flory’s insight that self-avoiding walks (i.e., visiting every vertex at most once) on a lattice can model polymer chains, Duminil-Copin et al. [164] showed mathematically that these supercritical self-avoiding walks are space-filling. For example, this may be an important process in protein folding or DNA packing in the cell, which must occur in a way that fills volume without self-intersection to ensure genome stability and functionality. If the chains of these molecules intersected, it would be impossible, for example, for transcription and replication processes to occur in DNA (see [165]) for DNA damage and repair.\nIn a map-based approach to exploratory behavior, which supposes that navigation towards a goal is guided by the subject’s knowledge of the environment (i.e., allocentric navigation), animals and humans can be linked to map learning [166]. For instance, rats can use cognitive maps acquired either by using a “base familiar point” or by observing the success or failure of other individuals to explore paths in the environment that may lead them to shelter, food, a mating partner, or to avoid obstacles [167,168]. In other words, they could topographically explore more new territory rather than just circling around the familiar area. For example, Yamamoto et al. [167], p. 99 showed that the exploratory behaviour of thirsty rats systematically progressed to areas distant from the starting location in an unfamiliar environment; this anchor point, or “base of operations,” allows the formation of a network of topographic relations among objects in particular locales. Thus, rats fill more space while avoiding self-intersection. However, this is just one possibility of how they behave in nature or captivity, as they may, due to anxiety, choose not to explore new areas and instead remain in the familiar ones.\nMandelbrot also proposed multifractals, characterized by a continuous spectrum of fractal dimensions, to describe phenomena in which the distribution of quantities is self-similar across many scales [169]. Mathematical reasons for the existence of multifractals include the presence of multiplicative iterative schemes, distinct from additive ones [170]. In practice, the multiplicative data-generating mechanisms and methods based on them seem better able to capture time-to-event outcomes, such as survival rates, in analyses of real data from controlled randomised trials in biomedicine than additive mechanisms or schemes [171]. Such a trial is an experimental setup designed to evaluate the efficacy or safety of an intervention, or the effects of environmental hazards or differing lifestyles, by minimizing bias through random selection of study participants [172].\nNow, let us discuss self-organized criticality (SOC). SOC holds that the system evolves toward a stable, orderly state even after being driven far from equilibrium [173]. This should account for the complex patterns observed in widespread 1/f noise, power scaling, and self-similar fractal structures found in nature [173]. Essentially, this means that biological systems and other natural dynamic entities with spatial degrees of freedom, poised between order and disorder, can reach a self-organized critical point, generating complex, self-similar, fractal-like structures in both space and time [153,173]. Bak et al. [173] provide a paradigmatic example of a sandpile to illustrate this theory also discussed in [174], pp. 181–182. When too many grains are added, disruption of local stability may occur as the “unstable site relaxes by distributing grains to the neighbour site, which may induce more instabilities and a cascade of events (or an avalanche)”. Tadic and Melnik [174], pp. 181–182 note that the avalanche propagates until all sites are stable again, at the expense of some grains leaving the system, thus maintaining stable fluctuations in the total mass. Most importantly, as they state (ibid.):\n“The driving time scale is much slower than the avalanche propagation, and the avalanche size is not linearly correlated with the driving force. The multi-scale response is characterised by self-similarity and scaling. Relevant quantities in the SOC state have power-law behaviour, fractal geometry, and scale invariance.”\nThe SOC framework appears to have the potential to unify “the origins of the power-law behaviour observed in different complex systems” [175], p. 43. On the other hand, SOC states emerge in many open systems at different scales and types of interactions, such as “interacting nonlinear systems with many constitutive parts”, constraints (“the substrate geometry allowing interactions and communication paths”), and cooperation (“interactions among the system’s elements at different scales”) [174,176]. According to Tadić and Melnik [174], this drives increased structural complexity, further supporting complex dynamical behaviours. The example from biology, such as the pattern of metabolic connectivity in the context of SOC, will be discussed in the following Section 3.3.\nHowever, the concept of SOC has been criticized by Complex Adaptive Systems (CAS) theorists, mainly because SOC fails to include the phenomena of adaptation and learning, i.e., the fact that many components adapt and learn as they interact in complex systems [31,177]. The main shortcoming of SOC lies in its mathematical methods. Techniques such as fixed points and attractors, developed within this framework, do not adequately address agents’ learning and adaptation processes [177]. According to CAS, introduced by Gell-Mann [178] and Holland [177,179,180], many complex systems share fundamental commonalities and general principles, even if they appear very different at first glance [34,177,180]. The central premise of CAS is that a complex system is composed of numerous interacting adaptive agents capable of learning [177,178,179,180]. What characteristics of agents capable of learning does SOC omit?\nAccording to John Holland [177], pp. 1–2, a pioneer in Complex Adaptive Systems (CAS), the following features of this theory—parallelism, conditional action, modularity, adaptation, and evolution—are supported by concrete physical evidence, particularly from biology. The first characteristic is Parallelism.\nCAS comprises numerous agents that interact by sending and receiving signals. These agents operate simultaneously, generating a large volume of signals.\nHolland illustrates this feature with an example from biology: proteins act as signalling molecules within cells, forming signalling pathways. Many proteins must interact in a highly coordinated manner to ensure the cell functions properly. They operate in reaction cascades and cycles, providing both positive and negative feedback to other cascades and cycles within the cell. The second feature is Conditional Actions:(2)Agents in a complex system adjust their behavior in response to signals from their surroundings. This means that agents operate according to an IF/THEN structure (conditional statements or implications, p → q): IF [signal vector x is present], THEN [execute action y]. The action may then serve as a signal itself, creating complex feedback loops, or it may result in a visible action within the agent’s environment.\nAgents in a complex system adjust their behavior in response to signals from their surroundings. This means that agents operate according to an IF/THEN structure (conditional statements or implications, p → q): IF [signal vector x is present], THEN [execute action y]. The action may then serve as a signal itself, creating complex feedback loops, or it may result in a visible action within the agent’s environment.\nIn microbiology, agent-based modeling (ABM) is widely used to study microbial communities [181]. ABMs often focus on molecular events, single-cell behaviours, cellular interactions, and cell-environment coupling. As described by Nagarajan et al. [181], p. 3565, molecular events include gene regulation, metabolic reactions, and signal transduction. Single-cell processes involve cellular growth, division, and chemotactic migration in response to attractant gradients. Cellular interactions may be mechanical, resulting from forces exerted by neighbouring cells, or chemical, arising from the secretion of toxins or the sharing of resources. These biotic interactions occur between individuals of the same species, different species, or even entirely different genera, families, or domains [182]. Interactions among cells in a microbial community are often nonlinear and occur when a specific threshold is reached [183]. Nutrient uptake from the surroundings and biomass dispersal driven by fluid flow are examples of cell-environment coupling [181]. Abiotic factors, such as surface type (e.g., bark), temperature changes, nutrient availability, and pressure variations, also play a significant role in short- and long-term changes in microbial communities [184].\nIn terms of real life example, microorganisms (bacteria, archaea, fungi, microalgae, and viruses) and their complex microbial communities have been exposed to a wide range of environmental factors throughout their evolutionary history [183,185]. These factors can be categorized by their stability and variability: some remain relatively constant over long periods, such as geological epochs; others change slowly, like the general increase in annual temperatures; some fluctuate periodically, as in day-night cycles and seasonal variations; while others change frequently and somewhat unpredictably, such as nutrient loading [185]. These environmental changes occur over various timescales, from the lifespan of an individual cell to multiple generations [185]. In response to short-term environmental stimuli (environmental sensing), they reversibly adjust their physiological networks to both maximize resource utilization and maintain structural and genetic integrity (genetic and cellular repair mechanisms) [185,186]. Holland’s third feature is Modularity:(3)In an agent, groups of rules often function as “subroutines.” For example, the agent can respond to various situations by executing a sequence of these rules. These “subroutines” act as building blocks that can be combined to address new and unexpected situations, rather than requiring a separate rule for every possible scenario. As these potentially useful building blocks are tested frequently in a wide range of contexts, their effectiveness is quickly validated or disproved.\nIn an agent, groups of rules often function as “subroutines.” For example, the agent can respond to various situations by executing a sequence of these rules. These “subroutines” act as building blocks that can be combined to address new and unexpected situations, rather than requiring a separate rule for every possible scenario. As these potentially useful building blocks are tested frequently in a wide range of contexts, their effectiveness is quickly validated or disproved.\nHe provides an example of the citric acid cycle to demonstrate modularity. The citric acid cycle (Krebs cycle) comprises eight proteins that interact to form a loop found in all aerobic organisms, from bacteria to elephants. In genetics, many examples of modularity can also be observed, providing the necessary robustness—the ability of a system to withstand disturbances and maintain functionality under changing environmental conditions [187,188]. For example, in prokaryotes, structurally similar sigma factors regulate distinct sets of genes. Under specific conditions, a dysfunctional sigma factor can be replaced by another sigma factor, enabling the organism to remain functional [189]. Furthermore, the same transcription factor that regulates a set of genes can form functional modules in Pseudomonas aeruginosa, which is important for adaptation and survival in challenging environments [190]. These examples are discussed in Alcalá-Corona [188].\nHolland’s final feature of CAS theory is Adaptation and Evolution.\nThe agents in a complex adaptive system evolve. These changes typically involve adaptations that enhance performance, rather than random variations. Adaptation involves addressing two key problems: the credit assignment problem and the rule discovery problem.\nIt is also worth noting that credit assignment means that “an agent’s performance is the result of an intricate skein of interactions extending over space and time” [177], p. 2. The rule discovery problem concerns situations in which one of an agent’s rules is ineffective or detrimental. However, their replacement is not ad hoc; rather, new rules to be assigned should be plausible in terms of the agent’s experience. These two criteria of adaptation and evolution relate to game theory, and I recommend Holland’s paper and van Bilsen et al. [191] for further insights into this theme. The biological example of the fourth aspect of CAS builds on Holland’s second feature. In microorganisms, when environmental changes occur repeatedly, signals are converted into and stored as molecular and genetic information [182,185]. This means that natural selection may favour signal-related changes in molecular and physiological networks that enhance fitness and reproductive success.\nIn simple terms, agency is the inherent ability of an organism to act independently and make choices or behavior “intrinsic to an organism and initiated by it” [192]. The idea of goal-directedness and purposeful behavior, in living beings, is not new and can be traced back to the Ancient Greeks. In the 18th century, the philosopher Immanuel Kant emphasized that both teleology and mechanism are essential for understanding the living world. Rama S. Singh [193], p. 258 has suggested that, given Kant’s insistence on both teleology and mechanisms to explain the behaviour of organisms, complementarity between the constitutive and heuristic components of teleology may provide a necessary reconciliation between mechanistic-reductionist Newtonian mechanisms and finalistic or holistic biology. In other words, according to Singh [193], the constitutive component of teleology addresses organisms’ purposive adaptive behaviors grounded in complexity and redundancy. At the same time, the heuristic component encompasses human cognition, including awareness of time, as well as anthropomorphic, predisposed, goal-oriented behavior.\nIn this context, “constitutive” refers to something inherent in the organism, while “heuristic” refers to the methods used to understand the organism’s goal-directed behavior. As vindicated by Georg Toepfer [194], p. 113 evolutionary theory cannot provide the foundation for teleology in biology which give rise to “identity crisis” because teleological reasoning is precious and much needed in specifying the identity of biological systems, i.e., “organization” or “the causal pattern of interdependence of parts with certain effects of each part being relevant for the working of the system.”\nDue to centuries of ambiguity and inaccuracy surrounding the term “teleology” in biological explanations, especially since Kant (see [195]), biologists in the latter half of the 20th century began to adopt more precise terminology, such as “teleonomics”. This shift was largely influenced by the chronobiologist Colin Pittendrigh. The term “teleonomic” is appropriate for understanding true complexity [196], p. 607:\n“Complexity involves vast amounts of stored information and hierarchically organized structures that process information purposefully, particularly through the implementation of goal-seeking feedback loops. This structure gives the appearance of purposeful behavior (i.e., ‘teleonomic’).”\nHolland’s minimal agential characteristics might not be sufficient for biology. To make it relevant to biological systems that express intrinsic goal-directedness, Watson [197] proposes, in a holistic manner, that the “agency of a system can be more than the sum of the agency of its parts.” In fact, agency in biological frameworks can be viewed as an extension of CAS theory that more explicitly accounts for the behavioural uniqueness of biological organisms by focusing on the capacity of biological agents (organisms) to learn and adapt to achieve specific goals (such as resource allocation, mating, etc.). Indeed, according to DiFrisco and Gawne [198], p. 143, agency should be “understood as the capacity for goal-directed, self-determining activity—a capacity that is present in all organisms irrespective of their complexity and whether or not they have a nervous system.”\nRosslenbroich et al. [199] go further, proposing that agency, should be understood and explored as an intrinsic, or rather immanent, multilevel feature of living organisms, with the following gradation of agency levels: basic life processes, the organismic level, the ontogenetic level, directed agency, directed agency with extended flexibility, and a level that includes the capacity to pursue preconceived goals. Rosslenbroich et al. [199] also highlight the close relationship between agency and biological autonomy, as enhanced physiological and behavioural autonomy extends the range of self-generated behavioural possibilities, flexible actions, and reactions; autonomy through evolution coincides with higher levels of agency.\nAlthough accused of lacking a proper supporting research programme [198], the agency appears to have an important place in contemporary evolutionary developmental biology and, more broadly, in the Extended Evolutionary Synthesis (EES) [200]. EES is not based solely on a gene-centric view of life, but instead takes the organism, its development (evo-devo), behavior, epigenetic inheritance, niche construction, and phenotypic plasticity more seriously than its predecessor, the Modern Synthesis of the mid-20th century [201,202].\nHowever, it is unclear what role agency plays in Major evolutionary transitions, particularly the transition from unicellularity to multicellularity. Indeed, its role is still largely questionable, especially in multicellular organisms. For example, in a recent article, Newman et al. [192] discussed the connection between agency and organizational properties in multicellular organisms. The surprising revelation they came across is that this relationship between organization and agency is surprisingly less strict than that of individual cells in unicellular organisms. The main reasons for this are previously unrecognized morphogenesis of multicellular structures and the ability of development to amplify and distribute the functions of individual cells. These dynamics create new phenotypic capabilities that broaden the potential for agential behavior.\nIt is also evident that cybernetics and nonlinear dynamics offer a conceptually straightforward, though not mathematically or scientifically simple, perspective on purposeful behavior and the agents that embody, modify, and adapt those behaviors. As Vane-Wright and Corning [203] demonstrated in their overview of the teleonomics in the context of the life and work of Colin Pittendrigh, Raymond and Denis Noble [204] reveal an exciting truth: all living systems continuously exhibit creativity to maintain their integrity. To truly thrive, they must embrace and adapt to the ever-changing conditions of their surroundings.\nThis purposefulness, life’s most distinctive attribute, together with a shift away from the organism and the thermodynamics of adaptation in favour of selection, which Darwin denied, led evolutionary thought to become distanced from life itself [205,206]. Here, teleological causality and purposeful dispositions are not meant to reflect an outdated belief in teleological essence, such as the élan vital. Instead, as shown by García-Valdecasas and Deacon [207], this form of causality, reframed as teleonomy, can be demonstrated by a simple molecular process called autogenesis, in which two linked, complementary self-organizing processes give rise to higher-order relations expressed as constraints on molecular processes.\nFor better understanding, an example from the molecular physiology of the endoplasmic reticulum (ER) will help clarify autogenesis. The ER contains many enzymes involved in lipid synthesis. Moreover, as lipids—the most complex and enigmatic of the biological macromolecules—are manufactured in the ER, they are inserted into the organelle’s own membranes, partly because lipids are too hydrophobic to dissolve in the cytoplasm [208,209], (https://moviecultists.com/). Transmembrane proteins are also inserted into the membrane during synthesis, as they possess sufficient hydrophobic surfaces (https://www.nature.com). While transfer lipid proteins move lipids to mitochondria via non-vesicular transport, lipids and proteins are transported to the Golgi apparatus for further modification and packaging via vesicular transport [208]. Enzymes responsible for further modification and maturation of lipids in the Golgi apparatus are synthesized in the ER and then transported to the Golgi [210].\nThe reviewer of this paper proposes an interesting example with far-reaching consequences: the ER, in which vesicles packed with lipids and enzymes assemble, imposes the constraint that lipids with similar properties must be selected for assembly and synthesis. This might be a concrete example of autogenesis and molecular constraints in subcellular biology. However, I must add that there are a large number of these constraints in a single cell, allowing the synthesis of 109 lipid molecules of different shapes and sizes just for the cell’s plasma membrane [209]. They must each have their own timing, act precisely on their specific molecular targets, and not interfere with other similar lipid synthesis pathways. More will be said later about the epistemological and causal roles of constraints in science and biology.\nThere are other examples of goal-directedness relevant to biology, which are likely triggered by emotional regulation of goal-directed behavior, such as emotional feeling, at least in humans. According to the action tendency prediction–feedback loops framework, this may increase the action tendency towards a goal or certain behavior [211]. For example, behavioural thermoregulation (body temperature homeostasis), which is associated with cognitive, physical, affective, and behavioural states, allows an animal or a human to actively seek shelter in the shade or cool down in water—an excellent example of goal-directedness. It involves different hierarchical brain structures, such as the prefrontal cortex (PFC) and hypothalamus. The prefrontal cortex, a uniquely human structure, regulates higher-order executive functions, including decision-making, social context adaptation, personality traits, and attention [212].\nThe hypothalamus contains the main thermoregulatory centre, considered a lower-level structure in the brain hierarchy [213]. The consequences of behavioural cooling, which is more energy-efficient than autonomic processes such as sweating and shivering, initiated by the PFC and hypothalamus, extend from the organ level down to cellular and molecular changes, providing another example of “top-down” causality. However, much work remains to clarify the connection between emotions and thermoregulation, which enhances survival in challenging or extreme conditions and serves as a good example of goal-directed agential behavior [214].\nAgency, enactivism, and later formulations of synergetics are closely interrelated. But what is synergetics? Physicist Hermann Haken is considered the father of synergetics, while theorist Juval Portugali has contributed to its further improvement and development. Synergetics is a theory that explains how synergistic interactions between components at lower levels give rise to emergent macroscopic collective behaviour. I have already provided a remark by Portugali that Haken, on multiple occasions, anticipated the “top-down” effects on lower-level components, which differentiates this theory of self-organization and complexity from others [78], p. 5; [215], p. 151:\n“The slaving principle”. Once emerged, the order parameter enslaves (i.e., determines, describes, and prescribes) “the behaviour of the individual parts (like a puppeteer who lets the puppets dance).”\nThis led Portugali to conclude that Haken essentially realized that cognitive and brain systems, besides being complex, are characterized by “top-down” dynamics. These systems are active and, as such, actively participate as a kind of “inference machine” that initiates predictions about the environment in a top-down manner, then compares them to bottom–up information (embodied action-perception) [78,216]. In other words, living memory systems construct their dynamic spaces using information from the past, and their actions, supported by this information, are shaped by instincts, decisions, tendencies, or default ways of dealing with new situations or environmental challenges, based on solutions stored in memory [78]. To support this contention, Portugali [78] uses exploratory behaviour as an example: rats placed in an open-field arena exhibit exploratory behaviour in a novel environment until habituation sets in. This arena is also used to test (psycho)locomotor and anxiety behavior, with or without pharmacological modulation of neuronal circuits.\nThis type of behavior represents the behavioral phenotype and active “top-down” process that, in nature, leads to niche construction. More simply, as the author has some experience in behavioural neurobiology, I add that it enables the search for food, shelter, and mating partners. In biomedicine, exploratory behavior is used in the open field test, Y-maze test, and elevated plus maze test to study locomotor behavior, anxiety, working memory, and spatial recognition memory in ageing and neurodegenerative diseases (see [217,218]). These last two references also highlight the loss of information stored in memory in cases of ageing and Alzheimer’s disease, which affects systems involving personal memory. Another case of memory loss will be introduced at the end of this subsection. The earlier example of thermoregulation, introduced to illustrate agentialism and “goal-directedness,” can support a “top-down” hierarchical brain processing that influences lower-level brain structures and other organs down to cellular and molecular hierarchies.\nAccording to Portugali [78], Haken’s unfinished project was to reframe synergetics to include the distinction between ordered self-organized integration (SOI) and ordered self-organized disintegration (SOD), or to expand synergetics to include memory systems. SOI holds that the interaction between unrelated parts of a system (i.e., a state of chaos) can produce an integrated system. Disintegration means that systems lose some of their characteristics or functionalities.\nThe crucial difference between the two is that SOI is a property of complex physical-material systems whose loss of properties, created through pattern formation, is random and that do not possess the memory on which synergetics 1.0 was developed (e.g., lasers). SOD characterises systems (living systems or hybrid engineered Hybrid Control Systems) with personal memory of individuals and collective-historical memory, using Synergetics 2.0. In other words, SOD in living memory systems happens with a sense of order. The subemergence of physical properties, on the other hand, is an example of the deactivation of properties.\nFor example, lasers, Bénard cells, and Prigogine’s dissipative structures are used to depict non-memory systems in synergetics 1.0. Haken and Portugali [216] have used the example they call “Synergetic Cities”, which, among other things, involves human (psychological) agents that possess memory. In this paradigm, the mutual nontrivial interactions among urban agents (such as physical, social, economic, and ecological components) give rise to an urban order parameter that “enslaves” (describes and prescribes) the behaviour and actions of the urban agents, and so on, in a circular causality. This is reminiscent of the theory of autopoiesis in biology. Of course, this model also distinguishes between many local structures and fast and slow processes in the urban system that give rise to a systemic whole controlled by this master control parameter.\nThis order or control parameter is a crucial part of synergetics. For example, if an organized network self-replicates, this parameter indicates that it is in the growth phase. In a network undergoing self-replication, the control parameter is undergoing growth. However, when this parameter exceeds a threshold, whether in decay or in rise, a phase transition occurs in the network. This is particularly interesting for the study of physiological networks and their emergence, subemergence, and redundancy, as I will discuss later in the section on emergence.\nThat is why SOI and SOD are introduced. Portugali [78], for instance, provides an excellent example of the tension between SOI and SOD. The first ancient urban centres in Egypt or Mesopotamia emerged by connecting and integrating settlements into a global urban network under the rule of a single centre (control parameter), which existed in a steady state for a relatively long period before disintegrating and receding towards nomadization. Here, I want to make some remarks that build on this argument. When considering the concept of SOD in humans and the rise and fall of civilizations, it is important to ask: Is the decline of civilization a result of collective memory loss in the context of SOD, or is it simply a random occurrence?\nCivilizations and their accumulated knowledge often decline gradually, except when a sudden catastrophe triggers an immediate collapse. According to historians, the Roman Empire declined and fell over the course of centuries before finally collapsing. Of many kinds, then, the civilisation has lost the knowledge of how to make enduring Roman cement for construction. Thus, the loss of knowledge—such as the techniques for building pyramids—in scenarios of nomadization is a gradual and systematic process influenced by human decisions, actions, or the lack of appropriate actions within the urban system, which eventually breaks down into its fundamental components.\nAnother interesting example of synergism relates to our current environmental crisis. It concerns the study of synergetic control of carbon neutrality and network resilience through carbon metabolism in coastal regions of China [219]. The authors of this study set out to uncover the critical nodes and paths for synergetic control of carbon neutrality and to identify crucial components related to network resilience to provide a cleaner environment.\nRosen is best known for his metabolic-repair (M, R) system. It formalizes fundamental autonomic features of life that are difficult to deduce from conventional biology [220,221,222,223]. However, to answer specific questions about particular organisms in research, it is necessary to use the (M, R) system—which addresses Rosenean or relational complexity—to identify a range of species-specific relational concepts. This approach aims to “recover the material systems through a process of realization of the formal system” [222], p. 1.\nAnnotation of (M, R) system is as follows: M stands for metabolism, a process applicable to all cells, while R stands for repair by using metabolic products to rebuild the machinery that supports metabolic processes, as well as to repair damaged cell components [220,221,222,223]. In short, the (M, R)-system causally captures the autonomous production of system components by other components and accounts for cellular homeostasis. At the same time, they are closed to material causation because of a net, overall, irreversible process that provides the thermodynamic driving force for metabolism [127].\nRosen’s groundbreaking work on biocomplexity is a vital effort to establish a theory that highlights the significance of formal and final causes in our scientific understanding of nature, mirroring Aristotle’s understanding of physis [223]. In Aristotle’s philosophy [224], p. 205:\n“There is the unity of the efficient, formal, and final principle, as the ontological cause of the organism, which is called the ‘soul’ (psyche), while the material principle can be understood to represent its ‘body’ (soma).”\nBiological organisms are dynamic and complex, maintaining stable equilibrium (homeostasis) and organization despite changes in their matter and form (through metabolism and metamorphosis) and challenges posed by changing environmental conditions [194]. Rosen was aware of the dynamic nature of the bidirectional relations between the organism and the environment. However, these relational and processual ontological ideas are much older and, in the twentieth century, were held by Alfred North Whitehead and the American naturalist or pragmatist Justus Buchler.\nBy focusing on the relational diversity and dynamism within and between complex life systems, rather than maintaining a static viewpoint (substance thinking), it becomes much easier to develop and implement nonlinear dynamical modeling strategies in the life sciences. Rosen was insightful on this issue, as nonlinear strategies are now the backbone of modeling complex phenomena such as weather patterns, pathogen spread, neurobiological processes, and more. Indeed, as Kineman has argued [223], Rosen’s system is designed to unify two theoretical aspects: ‘modeling relations’ and ‘category theory’ causal mappings. The former explores the intricate connections among “entities”, whereas the latter translates these relationships into formal mathematical structures.\nMiller’s living systems theory (LST), extending Ludwig von Bertalanffy’s general system theory (GST), is an important framework that identifies multiple physical variables related to the self-organization, matter-energy exchange and flow, and the control of information in a hierarchy of eight levels: cells, organs, organisms, groups, organizations, communities, societies, and supranational systems, with 20 sublevels (subsystems) within each level [225,226,227,228]. This specifies cross-level formal identities in biological hierarchies and other contexts arranged by input–throughput–output processes [225,226,227,228].\nDetailed lists of the functional elements of Miller’s system, classified under the following three processes—Information Processes, Material-Energy Processes, and Processes that Occur in the System’s Output Stage—apart from Miller’s extensive work, can be found in Elaine Parent’s (2020) seminar presentation and Vincent O’Rourke’s paper [229]. More specifically, at the cellular level, some of these elements in a bacterial cell are: ribosomes (producers), compartments such as the cytoplasm (distributor), and the cellular membrane (boundary), which acts as the interface for receiving and transmitting signals (information). In multicellular eukaryotic organisms, for example, the heart acts as a converter, transforming the energy stored in chemical bonds (such as glucose) into muscle contractions (motor) [228].\nWith later insights from Norris’s concept of hyperstructures and Holland’s modularity, it can be suggested that the subsystems of living hierarchies should be expanded to include functional modules and hyperstructures within cells. Cells display signs of differentiation into compartments, modules, hyperstructures, and condensates within the cytoplasm, nucleus, and organelles that process matter, energy, and information. These microorganizational aspects must be incorporated into any prospective computational model of the living cell.\nDrawing on the work of cyberneticists such as Norbert Wiener, Ashby, and others in the late 1950s, Stafford Beer proposed the cybernetic viable system model (VSM), a system “capable of independent existence” to account for a holistic observation of collective behaviours in societies [230,231,232]. Drawing on mathematics, psychology, biology, neurophysiology, communication theory, anthropology, and philosophy, his model identifies an organization’s critical variables and, based on this set, determines the directions for placing effective homeostats to monitor these variables and maintain equilibrium within a natural or socio-technical system [231,233]. More specifically, VSM draws on the structure of the human nervous system to model socio-technical or natural systems as neural networks, with each node as an autonomous, viable system, and all nodes together forming a purposeful and cohesive whole [232].\nBeer imagined his model as a way to determine or design, in the case of a socio-technical system, the most appropriate organization to ensure the system’s viability, adaptability, and identity, or “to mimic the evolutionary strategies to manage complexity and achieve long-term viability” [234], p. 705. Although Beer considered that viability allowed the evolution of the system, he failed to explain in detail how viability and evolution are linked [235]. The value of the VSM model lies in its applicability to any “viable system, from the individual to the small group to the organization and so on. The only criterion is that each level has the potential to support itself as an independent entity” [233], p. 575. In other words, entities that are embedded within other entities (Beer’s embedment recursion) perform in a manner appropriate to their scale, with the appropriate respect for their environment and larger entities (ibid.).\nThe basic mutually interactive components of the VSM model (partially modified), according to Espinosa et al. [232], p. 2; (https://youtu.be/gPnWVg7CSIg, accessed on 15 March 2026), are:Operational Units (O): The elements of the biological system or organization directly responsible for implementing its purpose. Operations carry out all the basic work of the system.Environment (E): The niche to which the organism or organization is structurally coupled and with which it co-evolves. External conditions the system as a whole operates within the viable system.Meta-System (M): The managerial and technical support required to coordinate the operational units and provide them with the resources, technology, and knowledge necessary to perform their tasks. The meta system ensures cooperation, integration, and forward planning across the entire system.\nOperational Units (O): The elements of the biological system or organization directly responsible for implementing its purpose. Operations carry out all the basic work of the system.\nEnvironment (E): The niche to which the organism or organization is structurally coupled and with which it co-evolves. External conditions the system as a whole operates within the viable system.\nMeta-System (M): The managerial and technical support required to coordinate the operational units and provide them with the resources, technology, and knowledge necessary to perform their tasks. The meta system ensures cooperation, integration, and forward planning across the entire system.\nThe first two points appear to model genetic-environment interactions (G × E), the process by which genetic expression is altered by the environment. In a biological context, the third point concerns Systems 4 (Intelligence/Environment) and 5 (Policy/Identity), where, for example, higher brain functions affect long-term, purposeful decisions, data collection, and planning. The list of VSM systems modeled on the human organism, according to Google AI overview and The Viable System Model|A short introduction to Stafford Beer’s Viable System Model (VSM) and its potential use today (https://youtu.be/gPnWVg7CSIg), is:\nSystem 1 (Operations): The muscles, internal organs, and autonomous bodily functions that engage directly with the environment.\nSystem 2 (Coordination): The sympathetic nervous system, which harmonizes the activity of muscles and organs to ensure stability.\nSystem 3 (Control/Management): The autonomic nervous system/medulla (base brain), which manages and optimizes the internal interactions of the muscles and organs.\nSystem 4 (Intelligence/Environment): The conscious nervous system/diencephalon (middle brain), which senses the outside world, collects data, and plans for the future.\nSystem 5 (Policy/Identity): The cerebral cortex (higher brain), responsible for identity, long-term decisions, and overall purpose.\nRegarding the modularity of CAS and Norris hyperstructures within the cell (discussed in the next section), it is hard to determine whether these functional agglomerations constitute viable entities. Beer considers the cell as a minimally viable entity. Therefore, although VSM draws inspiration from biology, it cannot fully account for the subcellular domain. It needs these other frameworks to help address how this domain self-organized.\nRob Dekkers [236] has recently proposed a cybernetic steady-state model that connects LST and VSM, allowing systems-theoretical referencing to enhance self-criticality in adaptive structures and processes beyond biology. This model depicts regulatory and control processes between agents in networks within broader organizational and engineering systems, and also provides an explanatory concept for self-criticality in complex adaptive systems. It shows us how internal variables in systems remain constant despite external changes through negative feedback loops, which act as stabilizing control mechanisms. Steady-state models (SSMs) in fact utilize biological homeostasis, which Dekkers tried to depict in other (business) process modelling approaches for operations management. SSM has the potential to extend LST and VSM, which are grounded in biological self-organization, to sociotechnical systems. In other words, Dekkers has shown us how biology and the philosophical frameworks built upon it can help develop complexity theory and organizational science.\nMetascientifically, LST, von Bertalanffy’s General Systems Theory, VSM, SSM, SOC, and CAS share many similarities and some differences. While Miller’s theory and GST focus more on the “wholeness” of hierarchies and how multicomponent interactions produce these levels, SOC, CAS, VSM, and SSM, in the spirit of general cybernetics and chaos theory, focus more on explaining how these structures and levels emerge through non-linear interactions and positive and negative feedback loops [237]. VST, unlike these other theories, has a much stronger foothold in business theory, management, and politics. For instance, Leonard [238] uses the metaphor of biological symbiosis to help troubled countries and societies become economically and socially viable through VSM.\n\n\n### 4.1. Self-Organized Criticality and Complex Adaptive Theory\nUnderstanding self-organized criticality (SOC), complex adaptive systems (CAS), and self-organization in general requires attention to the concept of a “strange attractor,” a key feature of dissipative chaotic systems, originally proposed by David Ruelle and Floris Takens in their 1971 paper on the nature of turbulence [152]. They introduced a mathematical model of a physical system consisting of a viscous fluid and rigid bodies under varying conditions, which takes the system out of steady state. Variations in factors such as pumping and heating lead to one of the following results [152], p. 167: (a) the fluid motion may remain steady but change its symmetry pattern; (b) the fluid motion may become periodic in time; (c) for sufficiently large μ, the fluid motion becomes very complicated, irregular, and chaotic, resulting in turbulence. Here, μ depends on the situation and can be the Reynolds number, the Rayleigh number, etc. I recommend their paper for details about the mathematics behind their model.\nRuelle and Takens’ model showed how the nonlinear motion of fluids can produce chaotic turbulence and “strange attractors.” More broadly, a strange attractor in dynamical systems is a type of attractor—a region or shape to which points are “pulled” as the result of a certain process—that arises in certain nonlinear systems and is characterized by its fractal structure (https://www.dynamicmath.xyz/strange-attractors/, accessed on 31 March 2026). In other words, attractors are long-term fractal geometric structures in phase space characterized by steady states toward which a dynamical system evolves. While trajectories within these attractors appear unpredictable, the attractors themselves are orderly, unchanging, and elegant geometric structures (https://annex.exploratorium.edu, accessed on 31 March 2026).\nAttractors were later explored and appropriated in biology (bioattractors, epigenetic attractors) by Brian C. Goodwin and Peter T. Saunders in their book Theoretical Biology: Epigenetic and Evolutionary Order from Complex Systems [153], where they discuss how self-organizing processes drive organismal complexity beyond the Neo-Darwinian paradigm of evolution focused on genes and natural selection. More specifically, self-organizing dynamic processes lead to stable states, called “attractors” in an epigenetic landscape, a concept proposed by Conrad Waddington in the 1940s, especially in his book The Strategy of the Genes [154]. One example will clarify this.\nBuilding on the epigenetic landscape with insights from chaos theory, Jaeger and Monk [155], p. 2270 provide the following example to substantiate what Davila-Velderrain et al. [156] call the Epigenetic Attractors Landscape in the context of gene regulatory networks and dynamical systems theory: In the case of a specific genotype and specific environmental conditions, and in a population of individuals with variation in initial conditions (due to the environment) and system parameters (due to genetic variation), the system will follow a particular trajectory to produce a particular phenotypic outcome. Any combination of initial regulator concentrations (transcription factors) serves as the starting point from which the system’s equations determine a dynamic trajectory by describing the rate of change in the system state over time (the temporal progression of the system). Jaeger and Monk define the totality of possible trajectories in phase space as the flow of the system, and these trajectories converge toward subregions of phase space called “attractors,” which are the stable steady states of the system that can be described by corresponding fractal dimensions. Notably, “each attractor has an associated region of phase space—called its basin of attraction—that contains the set of trajectories that converge toward it” (ibid.). The attractors, their associated basins, and their bifurcations are defining features of the regulatory and evolutionary potential of a biological system, Jaeger and Monk argue.\nTo track the entropy production along the unpredictable trajectories that lead to an attractor, a fluctuation theorem has been proposed, which accounts for the statistical rule governing entropy production not only at the level of the organism but also at the population-ecological level of life’s organization and functionality [157], p. 224. The fluctuation theorem, with the following directionality principles for demographic stability, underscores the general significance of entropy for demographic and ecological studies (ibid.):(1)A unidirectional increase in stability in populations subject to bounded growth constraints,(2)A unidirectional decrease in stability in large populations subject to unbounded growth constraints,(3)Random, non-directional changes in stability in small populations subject to unbounded growth constraints.\nA unidirectional increase in stability in populations subject to bounded growth constraints,\nA unidirectional decrease in stability in large populations subject to unbounded growth constraints,\nRandom, non-directional changes in stability in small populations subject to unbounded growth constraints.\nI mentioned fractals in association with attractors on multiple ocassions, but what are they? Fractals, introduced by Benoit Mandelbrot in his book Les Objets Fractals, Forme, Hasard et Dimension in the 1970s, are infinitely complex patterns that maintain self-similarity across scales [158,159]. Fractals are, at least approximately, self-similar shapes consisting of reduced versions of themselves, but are too irregular to be described by Euclidean geometry [160]. As pointed out by Mandelbrot [158], fractal geometry represents a geometric framework occupying a middle ground between the excessive geometric order of Euclid and the geometric chaos of general mathematics.\nFractal dimension (FD), an essential feature of fractals, is an important measure that quantifies the complexity of a fractal or complex system, or better say, the inherent irregularity of a fractal object by a number [161]. It provides insight into the amount of space a fractal occupies and is used to measure the density with which a fractal fills space, that is, how many new details appear as the resolution increases [161]. FD is not an integer and is usually larger than the Euclidean dimension, providing information about their geometric structure at different scales [162].\nSelf-avoiding walks and space-filling curves with integer dimensions are important for understanding topographical self-organization. According to Google AI:\n“A space-filling curves represent two extremes of fractal path behaviour, where the former generally has a fractal dimension less than the embedding space, and the latter fills the space completely.”\nAn earlier numerical study of self-avoiding walks by Havlin and ben-Avraham [163] found that, for polymers (e.g., Proteins, DNA), a single chain possesses a well-defined fractal dimensionality, i.e., it exhibits statistical self-similarity. However, as the number of steps in the Monte Carlo simulation increases, the fluctuations set in, and the fractal dimensionality measured on a single-chain configuration vanishes. Similarly, by building on Paul Flory’s insight that self-avoiding walks (i.e., visiting every vertex at most once) on a lattice can model polymer chains, Duminil-Copin et al. [164] showed mathematically that these supercritical self-avoiding walks are space-filling. For example, this may be an important process in protein folding or DNA packing in the cell, which must occur in a way that fills volume without self-intersection to ensure genome stability and functionality. If the chains of these molecules intersected, it would be impossible, for example, for transcription and replication processes to occur in DNA (see [165]) for DNA damage and repair.\nIn a map-based approach to exploratory behavior, which supposes that navigation towards a goal is guided by the subject’s knowledge of the environment (i.e., allocentric navigation), animals and humans can be linked to map learning [166]. For instance, rats can use cognitive maps acquired either by using a “base familiar point” or by observing the success or failure of other individuals to explore paths in the environment that may lead them to shelter, food, a mating partner, or to avoid obstacles [167,168]. In other words, they could topographically explore more new territory rather than just circling around the familiar area. For example, Yamamoto et al. [167], p. 99 showed that the exploratory behaviour of thirsty rats systematically progressed to areas distant from the starting location in an unfamiliar environment; this anchor point, or “base of operations,” allows the formation of a network of topographic relations among objects in particular locales. Thus, rats fill more space while avoiding self-intersection. However, this is just one possibility of how they behave in nature or captivity, as they may, due to anxiety, choose not to explore new areas and instead remain in the familiar ones.\nMandelbrot also proposed multifractals, characterized by a continuous spectrum of fractal dimensions, to describe phenomena in which the distribution of quantities is self-similar across many scales [169]. Mathematical reasons for the existence of multifractals include the presence of multiplicative iterative schemes, distinct from additive ones [170]. In practice, the multiplicative data-generating mechanisms and methods based on them seem better able to capture time-to-event outcomes, such as survival rates, in analyses of real data from controlled randomised trials in biomedicine than additive mechanisms or schemes [171]. Such a trial is an experimental setup designed to evaluate the efficacy or safety of an intervention, or the effects of environmental hazards or differing lifestyles, by minimizing bias through random selection of study participants [172].\nNow, let us discuss self-organized criticality (SOC). SOC holds that the system evolves toward a stable, orderly state even after being driven far from equilibrium [173]. This should account for the complex patterns observed in widespread 1/f noise, power scaling, and self-similar fractal structures found in nature [173]. Essentially, this means that biological systems and other natural dynamic entities with spatial degrees of freedom, poised between order and disorder, can reach a self-organized critical point, generating complex, self-similar, fractal-like structures in both space and time [153,173]. Bak et al. [173] provide a paradigmatic example of a sandpile to illustrate this theory also discussed in [174], pp. 181–182. When too many grains are added, disruption of local stability may occur as the “unstable site relaxes by distributing grains to the neighbour site, which may induce more instabilities and a cascade of events (or an avalanche)”. Tadic and Melnik [174], pp. 181–182 note that the avalanche propagates until all sites are stable again, at the expense of some grains leaving the system, thus maintaining stable fluctuations in the total mass. Most importantly, as they state (ibid.):\n“The driving time scale is much slower than the avalanche propagation, and the avalanche size is not linearly correlated with the driving force. The multi-scale response is characterised by self-similarity and scaling. Relevant quantities in the SOC state have power-law behaviour, fractal geometry, and scale invariance.”\nThe SOC framework appears to have the potential to unify “the origins of the power-law behaviour observed in different complex systems” [175], p. 43. On the other hand, SOC states emerge in many open systems at different scales and types of interactions, such as “interacting nonlinear systems with many constitutive parts”, constraints (“the substrate geometry allowing interactions and communication paths”), and cooperation (“interactions among the system’s elements at different scales”) [174,176]. According to Tadić and Melnik [174], this drives increased structural complexity, further supporting complex dynamical behaviours. The example from biology, such as the pattern of metabolic connectivity in the context of SOC, will be discussed in the following Section 3.3.\nHowever, the concept of SOC has been criticized by Complex Adaptive Systems (CAS) theorists, mainly because SOC fails to include the phenomena of adaptation and learning, i.e., the fact that many components adapt and learn as they interact in complex systems [31,177]. The main shortcoming of SOC lies in its mathematical methods. Techniques such as fixed points and attractors, developed within this framework, do not adequately address agents’ learning and adaptation processes [177]. According to CAS, introduced by Gell-Mann [178] and Holland [177,179,180], many complex systems share fundamental commonalities and general principles, even if they appear very different at first glance [34,177,180]. The central premise of CAS is that a complex system is composed of numerous interacting adaptive agents capable of learning [177,178,179,180]. What characteristics of agents capable of learning does SOC omit?\nAccording to John Holland [177], pp. 1–2, a pioneer in Complex Adaptive Systems (CAS), the following features of this theory—parallelism, conditional action, modularity, adaptation, and evolution—are supported by concrete physical evidence, particularly from biology. The first characteristic is Parallelism.\nCAS comprises numerous agents that interact by sending and receiving signals. These agents operate simultaneously, generating a large volume of signals.\nHolland illustrates this feature with an example from biology: proteins act as signalling molecules within cells, forming signalling pathways. Many proteins must interact in a highly coordinated manner to ensure the cell functions properly. They operate in reaction cascades and cycles, providing both positive and negative feedback to other cascades and cycles within the cell. The second feature is Conditional Actions:(2)Agents in a complex system adjust their behavior in response to signals from their surroundings. This means that agents operate according to an IF/THEN structure (conditional statements or implications, p → q): IF [signal vector x is present], THEN [execute action y]. The action may then serve as a signal itself, creating complex feedback loops, or it may result in a visible action within the agent’s environment.\nAgents in a complex system adjust their behavior in response to signals from their surroundings. This means that agents operate according to an IF/THEN structure (conditional statements or implications, p → q): IF [signal vector x is present], THEN [execute action y]. The action may then serve as a signal itself, creating complex feedback loops, or it may result in a visible action within the agent’s environment.\nIn microbiology, agent-based modeling (ABM) is widely used to study microbial communities [181]. ABMs often focus on molecular events, single-cell behaviours, cellular interactions, and cell-environment coupling. As described by Nagarajan et al. [181], p. 3565, molecular events include gene regulation, metabolic reactions, and signal transduction. Single-cell processes involve cellular growth, division, and chemotactic migration in response to attractant gradients. Cellular interactions may be mechanical, resulting from forces exerted by neighbouring cells, or chemical, arising from the secretion of toxins or the sharing of resources. These biotic interactions occur between individuals of the same species, different species, or even entirely different genera, families, or domains [182]. Interactions among cells in a microbial community are often nonlinear and occur when a specific threshold is reached [183]. Nutrient uptake from the surroundings and biomass dispersal driven by fluid flow are examples of cell-environment coupling [181]. Abiotic factors, such as surface type (e.g., bark), temperature changes, nutrient availability, and pressure variations, also play a significant role in short- and long-term changes in microbial communities [184].\nIn terms of real life example, microorganisms (bacteria, archaea, fungi, microalgae, and viruses) and their complex microbial communities have been exposed to a wide range of environmental factors throughout their evolutionary history [183,185]. These factors can be categorized by their stability and variability: some remain relatively constant over long periods, such as geological epochs; others change slowly, like the general increase in annual temperatures; some fluctuate periodically, as in day-night cycles and seasonal variations; while others change frequently and somewhat unpredictably, such as nutrient loading [185]. These environmental changes occur over various timescales, from the lifespan of an individual cell to multiple generations [185]. In response to short-term environmental stimuli (environmental sensing), they reversibly adjust their physiological networks to both maximize resource utilization and maintain structural and genetic integrity (genetic and cellular repair mechanisms) [185,186]. Holland’s third feature is Modularity:(3)In an agent, groups of rules often function as “subroutines.” For example, the agent can respond to various situations by executing a sequence of these rules. These “subroutines” act as building blocks that can be combined to address new and unexpected situations, rather than requiring a separate rule for every possible scenario. As these potentially useful building blocks are tested frequently in a wide range of contexts, their effectiveness is quickly validated or disproved.\nIn an agent, groups of rules often function as “subroutines.” For example, the agent can respond to various situations by executing a sequence of these rules. These “subroutines” act as building blocks that can be combined to address new and unexpected situations, rather than requiring a separate rule for every possible scenario. As these potentially useful building blocks are tested frequently in a wide range of contexts, their effectiveness is quickly validated or disproved.\nHe provides an example of the citric acid cycle to demonstrate modularity. The citric acid cycle (Krebs cycle) comprises eight proteins that interact to form a loop found in all aerobic organisms, from bacteria to elephants. In genetics, many examples of modularity can also be observed, providing the necessary robustness—the ability of a system to withstand disturbances and maintain functionality under changing environmental conditions [187,188]. For example, in prokaryotes, structurally similar sigma factors regulate distinct sets of genes. Under specific conditions, a dysfunctional sigma factor can be replaced by another sigma factor, enabling the organism to remain functional [189]. Furthermore, the same transcription factor that regulates a set of genes can form functional modules in Pseudomonas aeruginosa, which is important for adaptation and survival in challenging environments [190]. These examples are discussed in Alcalá-Corona [188].\nHolland’s final feature of CAS theory is Adaptation and Evolution.\nThe agents in a complex adaptive system evolve. These changes typically involve adaptations that enhance performance, rather than random variations. Adaptation involves addressing two key problems: the credit assignment problem and the rule discovery problem.\nIt is also worth noting that credit assignment means that “an agent’s performance is the result of an intricate skein of interactions extending over space and time” [177], p. 2. The rule discovery problem concerns situations in which one of an agent’s rules is ineffective or detrimental. However, their replacement is not ad hoc; rather, new rules to be assigned should be plausible in terms of the agent’s experience. These two criteria of adaptation and evolution relate to game theory, and I recommend Holland’s paper and van Bilsen et al. [191] for further insights into this theme. The biological example of the fourth aspect of CAS builds on Holland’s second feature. In microorganisms, when environmental changes occur repeatedly, signals are converted into and stored as molecular and genetic information [182,185]. This means that natural selection may favour signal-related changes in molecular and physiological networks that enhance fitness and reproductive success.\n\n\n### 4.2. Agency\nIn simple terms, agency is the inherent ability of an organism to act independently and make choices or behavior “intrinsic to an organism and initiated by it” [192]. The idea of goal-directedness and purposeful behavior, in living beings, is not new and can be traced back to the Ancient Greeks. In the 18th century, the philosopher Immanuel Kant emphasized that both teleology and mechanism are essential for understanding the living world. Rama S. Singh [193], p. 258 has suggested that, given Kant’s insistence on both teleology and mechanisms to explain the behaviour of organisms, complementarity between the constitutive and heuristic components of teleology may provide a necessary reconciliation between mechanistic-reductionist Newtonian mechanisms and finalistic or holistic biology. In other words, according to Singh [193], the constitutive component of teleology addresses organisms’ purposive adaptive behaviors grounded in complexity and redundancy. At the same time, the heuristic component encompasses human cognition, including awareness of time, as well as anthropomorphic, predisposed, goal-oriented behavior.\nIn this context, “constitutive” refers to something inherent in the organism, while “heuristic” refers to the methods used to understand the organism’s goal-directed behavior. As vindicated by Georg Toepfer [194], p. 113 evolutionary theory cannot provide the foundation for teleology in biology which give rise to “identity crisis” because teleological reasoning is precious and much needed in specifying the identity of biological systems, i.e., “organization” or “the causal pattern of interdependence of parts with certain effects of each part being relevant for the working of the system.”\nDue to centuries of ambiguity and inaccuracy surrounding the term “teleology” in biological explanations, especially since Kant (see [195]), biologists in the latter half of the 20th century began to adopt more precise terminology, such as “teleonomics”. This shift was largely influenced by the chronobiologist Colin Pittendrigh. The term “teleonomic” is appropriate for understanding true complexity [196], p. 607:\n“Complexity involves vast amounts of stored information and hierarchically organized structures that process information purposefully, particularly through the implementation of goal-seeking feedback loops. This structure gives the appearance of purposeful behavior (i.e., ‘teleonomic’).”\nHolland’s minimal agential characteristics might not be sufficient for biology. To make it relevant to biological systems that express intrinsic goal-directedness, Watson [197] proposes, in a holistic manner, that the “agency of a system can be more than the sum of the agency of its parts.” In fact, agency in biological frameworks can be viewed as an extension of CAS theory that more explicitly accounts for the behavioural uniqueness of biological organisms by focusing on the capacity of biological agents (organisms) to learn and adapt to achieve specific goals (such as resource allocation, mating, etc.). Indeed, according to DiFrisco and Gawne [198], p. 143, agency should be “understood as the capacity for goal-directed, self-determining activity—a capacity that is present in all organisms irrespective of their complexity and whether or not they have a nervous system.”\nRosslenbroich et al. [199] go further, proposing that agency, should be understood and explored as an intrinsic, or rather immanent, multilevel feature of living organisms, with the following gradation of agency levels: basic life processes, the organismic level, the ontogenetic level, directed agency, directed agency with extended flexibility, and a level that includes the capacity to pursue preconceived goals. Rosslenbroich et al. [199] also highlight the close relationship between agency and biological autonomy, as enhanced physiological and behavioural autonomy extends the range of self-generated behavioural possibilities, flexible actions, and reactions; autonomy through evolution coincides with higher levels of agency.\nAlthough accused of lacking a proper supporting research programme [198], the agency appears to have an important place in contemporary evolutionary developmental biology and, more broadly, in the Extended Evolutionary Synthesis (EES) [200]. EES is not based solely on a gene-centric view of life, but instead takes the organism, its development (evo-devo), behavior, epigenetic inheritance, niche construction, and phenotypic plasticity more seriously than its predecessor, the Modern Synthesis of the mid-20th century [201,202].\nHowever, it is unclear what role agency plays in Major evolutionary transitions, particularly the transition from unicellularity to multicellularity. Indeed, its role is still largely questionable, especially in multicellular organisms. For example, in a recent article, Newman et al. [192] discussed the connection between agency and organizational properties in multicellular organisms. The surprising revelation they came across is that this relationship between organization and agency is surprisingly less strict than that of individual cells in unicellular organisms. The main reasons for this are previously unrecognized morphogenesis of multicellular structures and the ability of development to amplify and distribute the functions of individual cells. These dynamics create new phenotypic capabilities that broaden the potential for agential behavior.\nIt is also evident that cybernetics and nonlinear dynamics offer a conceptually straightforward, though not mathematically or scientifically simple, perspective on purposeful behavior and the agents that embody, modify, and adapt those behaviors. As Vane-Wright and Corning [203] demonstrated in their overview of the teleonomics in the context of the life and work of Colin Pittendrigh, Raymond and Denis Noble [204] reveal an exciting truth: all living systems continuously exhibit creativity to maintain their integrity. To truly thrive, they must embrace and adapt to the ever-changing conditions of their surroundings.\nThis purposefulness, life’s most distinctive attribute, together with a shift away from the organism and the thermodynamics of adaptation in favour of selection, which Darwin denied, led evolutionary thought to become distanced from life itself [205,206]. Here, teleological causality and purposeful dispositions are not meant to reflect an outdated belief in teleological essence, such as the élan vital. Instead, as shown by García-Valdecasas and Deacon [207], this form of causality, reframed as teleonomy, can be demonstrated by a simple molecular process called autogenesis, in which two linked, complementary self-organizing processes give rise to higher-order relations expressed as constraints on molecular processes.\nFor better understanding, an example from the molecular physiology of the endoplasmic reticulum (ER) will help clarify autogenesis. The ER contains many enzymes involved in lipid synthesis. Moreover, as lipids—the most complex and enigmatic of the biological macromolecules—are manufactured in the ER, they are inserted into the organelle’s own membranes, partly because lipids are too hydrophobic to dissolve in the cytoplasm [208,209], (https://moviecultists.com/). Transmembrane proteins are also inserted into the membrane during synthesis, as they possess sufficient hydrophobic surfaces (https://www.nature.com). While transfer lipid proteins move lipids to mitochondria via non-vesicular transport, lipids and proteins are transported to the Golgi apparatus for further modification and packaging via vesicular transport [208]. Enzymes responsible for further modification and maturation of lipids in the Golgi apparatus are synthesized in the ER and then transported to the Golgi [210].\nThe reviewer of this paper proposes an interesting example with far-reaching consequences: the ER, in which vesicles packed with lipids and enzymes assemble, imposes the constraint that lipids with similar properties must be selected for assembly and synthesis. This might be a concrete example of autogenesis and molecular constraints in subcellular biology. However, I must add that there are a large number of these constraints in a single cell, allowing the synthesis of 109 lipid molecules of different shapes and sizes just for the cell’s plasma membrane [209]. They must each have their own timing, act precisely on their specific molecular targets, and not interfere with other similar lipid synthesis pathways. More will be said later about the epistemological and causal roles of constraints in science and biology.\nThere are other examples of goal-directedness relevant to biology, which are likely triggered by emotional regulation of goal-directed behavior, such as emotional feeling, at least in humans. According to the action tendency prediction–feedback loops framework, this may increase the action tendency towards a goal or certain behavior [211]. For example, behavioural thermoregulation (body temperature homeostasis), which is associated with cognitive, physical, affective, and behavioural states, allows an animal or a human to actively seek shelter in the shade or cool down in water—an excellent example of goal-directedness. It involves different hierarchical brain structures, such as the prefrontal cortex (PFC) and hypothalamus. The prefrontal cortex, a uniquely human structure, regulates higher-order executive functions, including decision-making, social context adaptation, personality traits, and attention [212].\nThe hypothalamus contains the main thermoregulatory centre, considered a lower-level structure in the brain hierarchy [213]. The consequences of behavioural cooling, which is more energy-efficient than autonomic processes such as sweating and shivering, initiated by the PFC and hypothalamus, extend from the organ level down to cellular and molecular changes, providing another example of “top-down” causality. However, much work remains to clarify the connection between emotions and thermoregulation, which enhances survival in challenging or extreme conditions and serves as a good example of goal-directed agential behavior [214].\n\n\n### 4.3. Haken’s Synergetics\nAgency, enactivism, and later formulations of synergetics are closely interrelated. But what is synergetics? Physicist Hermann Haken is considered the father of synergetics, while theorist Juval Portugali has contributed to its further improvement and development. Synergetics is a theory that explains how synergistic interactions between components at lower levels give rise to emergent macroscopic collective behaviour. I have already provided a remark by Portugali that Haken, on multiple occasions, anticipated the “top-down” effects on lower-level components, which differentiates this theory of self-organization and complexity from others [78], p. 5; [215], p. 151:\n“The slaving principle”. Once emerged, the order parameter enslaves (i.e., determines, describes, and prescribes) “the behaviour of the individual parts (like a puppeteer who lets the puppets dance).”\nThis led Portugali to conclude that Haken essentially realized that cognitive and brain systems, besides being complex, are characterized by “top-down” dynamics. These systems are active and, as such, actively participate as a kind of “inference machine” that initiates predictions about the environment in a top-down manner, then compares them to bottom–up information (embodied action-perception) [78,216]. In other words, living memory systems construct their dynamic spaces using information from the past, and their actions, supported by this information, are shaped by instincts, decisions, tendencies, or default ways of dealing with new situations or environmental challenges, based on solutions stored in memory [78]. To support this contention, Portugali [78] uses exploratory behaviour as an example: rats placed in an open-field arena exhibit exploratory behaviour in a novel environment until habituation sets in. This arena is also used to test (psycho)locomotor and anxiety behavior, with or without pharmacological modulation of neuronal circuits.\nThis type of behavior represents the behavioral phenotype and active “top-down” process that, in nature, leads to niche construction. More simply, as the author has some experience in behavioural neurobiology, I add that it enables the search for food, shelter, and mating partners. In biomedicine, exploratory behavior is used in the open field test, Y-maze test, and elevated plus maze test to study locomotor behavior, anxiety, working memory, and spatial recognition memory in ageing and neurodegenerative diseases (see [217,218]). These last two references also highlight the loss of information stored in memory in cases of ageing and Alzheimer’s disease, which affects systems involving personal memory. Another case of memory loss will be introduced at the end of this subsection. The earlier example of thermoregulation, introduced to illustrate agentialism and “goal-directedness,” can support a “top-down” hierarchical brain processing that influences lower-level brain structures and other organs down to cellular and molecular hierarchies.\nAccording to Portugali [78], Haken’s unfinished project was to reframe synergetics to include the distinction between ordered self-organized integration (SOI) and ordered self-organized disintegration (SOD), or to expand synergetics to include memory systems. SOI holds that the interaction between unrelated parts of a system (i.e., a state of chaos) can produce an integrated system. Disintegration means that systems lose some of their characteristics or functionalities.\nThe crucial difference between the two is that SOI is a property of complex physical-material systems whose loss of properties, created through pattern formation, is random and that do not possess the memory on which synergetics 1.0 was developed (e.g., lasers). SOD characterises systems (living systems or hybrid engineered Hybrid Control Systems) with personal memory of individuals and collective-historical memory, using Synergetics 2.0. In other words, SOD in living memory systems happens with a sense of order. The subemergence of physical properties, on the other hand, is an example of the deactivation of properties.\nFor example, lasers, Bénard cells, and Prigogine’s dissipative structures are used to depict non-memory systems in synergetics 1.0. Haken and Portugali [216] have used the example they call “Synergetic Cities”, which, among other things, involves human (psychological) agents that possess memory. In this paradigm, the mutual nontrivial interactions among urban agents (such as physical, social, economic, and ecological components) give rise to an urban order parameter that “enslaves” (describes and prescribes) the behaviour and actions of the urban agents, and so on, in a circular causality. This is reminiscent of the theory of autopoiesis in biology. Of course, this model also distinguishes between many local structures and fast and slow processes in the urban system that give rise to a systemic whole controlled by this master control parameter.\nThis order or control parameter is a crucial part of synergetics. For example, if an organized network self-replicates, this parameter indicates that it is in the growth phase. In a network undergoing self-replication, the control parameter is undergoing growth. However, when this parameter exceeds a threshold, whether in decay or in rise, a phase transition occurs in the network. This is particularly interesting for the study of physiological networks and their emergence, subemergence, and redundancy, as I will discuss later in the section on emergence.\nThat is why SOI and SOD are introduced. Portugali [78], for instance, provides an excellent example of the tension between SOI and SOD. The first ancient urban centres in Egypt or Mesopotamia emerged by connecting and integrating settlements into a global urban network under the rule of a single centre (control parameter), which existed in a steady state for a relatively long period before disintegrating and receding towards nomadization. Here, I want to make some remarks that build on this argument. When considering the concept of SOD in humans and the rise and fall of civilizations, it is important to ask: Is the decline of civilization a result of collective memory loss in the context of SOD, or is it simply a random occurrence?\nCivilizations and their accumulated knowledge often decline gradually, except when a sudden catastrophe triggers an immediate collapse. According to historians, the Roman Empire declined and fell over the course of centuries before finally collapsing. Of many kinds, then, the civilisation has lost the knowledge of how to make enduring Roman cement for construction. Thus, the loss of knowledge—such as the techniques for building pyramids—in scenarios of nomadization is a gradual and systematic process influenced by human decisions, actions, or the lack of appropriate actions within the urban system, which eventually breaks down into its fundamental components.\nAnother interesting example of synergism relates to our current environmental crisis. It concerns the study of synergetic control of carbon neutrality and network resilience through carbon metabolism in coastal regions of China [219]. The authors of this study set out to uncover the critical nodes and paths for synergetic control of carbon neutrality and to identify crucial components related to network resilience to provide a cleaner environment.\n\n\n### 4.4. Rosenean Complexity, Miller’s Theory, Beer’s Model, and Beyond\nRosen is best known for his metabolic-repair (M, R) system. It formalizes fundamental autonomic features of life that are difficult to deduce from conventional biology [220,221,222,223]. However, to answer specific questions about particular organisms in research, it is necessary to use the (M, R) system—which addresses Rosenean or relational complexity—to identify a range of species-specific relational concepts. This approach aims to “recover the material systems through a process of realization of the formal system” [222], p. 1.\nAnnotation of (M, R) system is as follows: M stands for metabolism, a process applicable to all cells, while R stands for repair by using metabolic products to rebuild the machinery that supports metabolic processes, as well as to repair damaged cell components [220,221,222,223]. In short, the (M, R)-system causally captures the autonomous production of system components by other components and accounts for cellular homeostasis. At the same time, they are closed to material causation because of a net, overall, irreversible process that provides the thermodynamic driving force for metabolism [127].\nRosen’s groundbreaking work on biocomplexity is a vital effort to establish a theory that highlights the significance of formal and final causes in our scientific understanding of nature, mirroring Aristotle’s understanding of physis [223]. In Aristotle’s philosophy [224], p. 205:\n“There is the unity of the efficient, formal, and final principle, as the ontological cause of the organism, which is called the ‘soul’ (psyche), while the material principle can be understood to represent its ‘body’ (soma).”\nBiological organisms are dynamic and complex, maintaining stable equilibrium (homeostasis) and organization despite changes in their matter and form (through metabolism and metamorphosis) and challenges posed by changing environmental conditions [194]. Rosen was aware of the dynamic nature of the bidirectional relations between the organism and the environment. However, these relational and processual ontological ideas are much older and, in the twentieth century, were held by Alfred North Whitehead and the American naturalist or pragmatist Justus Buchler.\nBy focusing on the relational diversity and dynamism within and between complex life systems, rather than maintaining a static viewpoint (substance thinking), it becomes much easier to develop and implement nonlinear dynamical modeling strategies in the life sciences. Rosen was insightful on this issue, as nonlinear strategies are now the backbone of modeling complex phenomena such as weather patterns, pathogen spread, neurobiological processes, and more. Indeed, as Kineman has argued [223], Rosen’s system is designed to unify two theoretical aspects: ‘modeling relations’ and ‘category theory’ causal mappings. The former explores the intricate connections among “entities”, whereas the latter translates these relationships into formal mathematical structures.\nMiller’s living systems theory (LST), extending Ludwig von Bertalanffy’s general system theory (GST), is an important framework that identifies multiple physical variables related to the self-organization, matter-energy exchange and flow, and the control of information in a hierarchy of eight levels: cells, organs, organisms, groups, organizations, communities, societies, and supranational systems, with 20 sublevels (subsystems) within each level [225,226,227,228]. This specifies cross-level formal identities in biological hierarchies and other contexts arranged by input–throughput–output processes [225,226,227,228].\nDetailed lists of the functional elements of Miller’s system, classified under the following three processes—Information Processes, Material-Energy Processes, and Processes that Occur in the System’s Output Stage—apart from Miller’s extensive work, can be found in Elaine Parent’s (2020) seminar presentation and Vincent O’Rourke’s paper [229]. More specifically, at the cellular level, some of these elements in a bacterial cell are: ribosomes (producers), compartments such as the cytoplasm (distributor), and the cellular membrane (boundary), which acts as the interface for receiving and transmitting signals (information). In multicellular eukaryotic organisms, for example, the heart acts as a converter, transforming the energy stored in chemical bonds (such as glucose) into muscle contractions (motor) [228].\nWith later insights from Norris’s concept of hyperstructures and Holland’s modularity, it can be suggested that the subsystems of living hierarchies should be expanded to include functional modules and hyperstructures within cells. Cells display signs of differentiation into compartments, modules, hyperstructures, and condensates within the cytoplasm, nucleus, and organelles that process matter, energy, and information. These microorganizational aspects must be incorporated into any prospective computational model of the living cell.\nDrawing on the work of cyberneticists such as Norbert Wiener, Ashby, and others in the late 1950s, Stafford Beer proposed the cybernetic viable system model (VSM), a system “capable of independent existence” to account for a holistic observation of collective behaviours in societies [230,231,232]. Drawing on mathematics, psychology, biology, neurophysiology, communication theory, anthropology, and philosophy, his model identifies an organization’s critical variables and, based on this set, determines the directions for placing effective homeostats to monitor these variables and maintain equilibrium within a natural or socio-technical system [231,233]. More specifically, VSM draws on the structure of the human nervous system to model socio-technical or natural systems as neural networks, with each node as an autonomous, viable system, and all nodes together forming a purposeful and cohesive whole [232].\nBeer imagined his model as a way to determine or design, in the case of a socio-technical system, the most appropriate organization to ensure the system’s viability, adaptability, and identity, or “to mimic the evolutionary strategies to manage complexity and achieve long-term viability” [234], p. 705. Although Beer considered that viability allowed the evolution of the system, he failed to explain in detail how viability and evolution are linked [235]. The value of the VSM model lies in its applicability to any “viable system, from the individual to the small group to the organization and so on. The only criterion is that each level has the potential to support itself as an independent entity” [233], p. 575. In other words, entities that are embedded within other entities (Beer’s embedment recursion) perform in a manner appropriate to their scale, with the appropriate respect for their environment and larger entities (ibid.).\nThe basic mutually interactive components of the VSM model (partially modified), according to Espinosa et al. [232], p. 2; (https://youtu.be/gPnWVg7CSIg, accessed on 15 March 2026), are:Operational Units (O): The elements of the biological system or organization directly responsible for implementing its purpose. Operations carry out all the basic work of the system.Environment (E): The niche to which the organism or organization is structurally coupled and with which it co-evolves. External conditions the system as a whole operates within the viable system.Meta-System (M): The managerial and technical support required to coordinate the operational units and provide them with the resources, technology, and knowledge necessary to perform their tasks. The meta system ensures cooperation, integration, and forward planning across the entire system.\nOperational Units (O): The elements of the biological system or organization directly responsible for implementing its purpose. Operations carry out all the basic work of the system.\nEnvironment (E): The niche to which the organism or organization is structurally coupled and with which it co-evolves. External conditions the system as a whole operates within the viable system.\nMeta-System (M): The managerial and technical support required to coordinate the operational units and provide them with the resources, technology, and knowledge necessary to perform their tasks. The meta system ensures cooperation, integration, and forward planning across the entire system.\nThe first two points appear to model genetic-environment interactions (G × E), the process by which genetic expression is altered by the environment. In a biological context, the third point concerns Systems 4 (Intelligence/Environment) and 5 (Policy/Identity), where, for example, higher brain functions affect long-term, purposeful decisions, data collection, and planning. The list of VSM systems modeled on the human organism, according to Google AI overview and The Viable System Model|A short introduction to Stafford Beer’s Viable System Model (VSM) and its potential use today (https://youtu.be/gPnWVg7CSIg), is:\nSystem 1 (Operations): The muscles, internal organs, and autonomous bodily functions that engage directly with the environment.\nSystem 2 (Coordination): The sympathetic nervous system, which harmonizes the activity of muscles and organs to ensure stability.\nSystem 3 (Control/Management): The autonomic nervous system/medulla (base brain), which manages and optimizes the internal interactions of the muscles and organs.\nSystem 4 (Intelligence/Environment): The conscious nervous system/diencephalon (middle brain), which senses the outside world, collects data, and plans for the future.\nSystem 5 (Policy/Identity): The cerebral cortex (higher brain), responsible for identity, long-term decisions, and overall purpose.\nRegarding the modularity of CAS and Norris hyperstructures within the cell (discussed in the next section), it is hard to determine whether these functional agglomerations constitute viable entities. Beer considers the cell as a minimally viable entity. Therefore, although VSM draws inspiration from biology, it cannot fully account for the subcellular domain. It needs these other frameworks to help address how this domain self-organized.\nRob Dekkers [236] has recently proposed a cybernetic steady-state model that connects LST and VSM, allowing systems-theoretical referencing to enhance self-criticality in adaptive structures and processes beyond biology. This model depicts regulatory and control processes between agents in networks within broader organizational and engineering systems, and also provides an explanatory concept for self-criticality in complex adaptive systems. It shows us how internal variables in systems remain constant despite external changes through negative feedback loops, which act as stabilizing control mechanisms. Steady-state models (SSMs) in fact utilize biological homeostasis, which Dekkers tried to depict in other (business) process modelling approaches for operations management. SSM has the potential to extend LST and VSM, which are grounded in biological self-organization, to sociotechnical systems. In other words, Dekkers has shown us how biology and the philosophical frameworks built upon it can help develop complexity theory and organizational science.\nMetascientifically, LST, von Bertalanffy’s General Systems Theory, VSM, SSM, SOC, and CAS share many similarities and some differences. While Miller’s theory and GST focus more on the “wholeness” of hierarchies and how multicomponent interactions produce these levels, SOC, CAS, VSM, and SSM, in the spirit of general cybernetics and chaos theory, focus more on explaining how these structures and levels emerge through non-linear interactions and positive and negative feedback loops [237]. VST, unlike these other theories, has a much stronger foothold in business theory, management, and politics. For instance, Leonard [238] uses the metaphor of biological symbiosis to help troubled countries and societies become economically and socially viable through VSM.\n\n\n### 5. Emergence in Biology\nThe concept of emergence is both quintessential and challenging to study, model, and explain. Historically, it is often associated with the British philosopher G.H. Lewes, who referred to J.S. Mill’s idea of “heteropathic” or “non-additive effects” in nature [239], p. 371. The concept was further developed in the 1920s by the British emergentists C.D. Broad and Samuel Alexander [240]. It proposes that higher-order phenomena, including life and consciousness, depend on, yet are autonomous from, the underlying physical reality [241]. This is the most basic and broadest interpretation of its moderate form, which has recently seen a resurgence in complexity science.\nThe distinction between weak (epistemological) emergence (WE) and strong (ontological) emergence (SE) has already reached the status of a classical one in any serious discussion of complex systems. According to philosopher David Chalmers [242], p. 244, SE occurs when a higher-level phenomenon builds on the lower-level domain, but “truths concerning that phenomenon are not deducible even in principle from truths in the low-level domain”.\nIn contrast, WE proposes that “the high-level phenomenon arises from the low-level domain, but truths concerning that phenomenon are unexpected given the principles governing the low-level domain” (ibid,). In other words, WE explain how new properties and behaviors arise that cannot be predicted or explained from knowledge of the individual parts. SE, in particular, is what philosophers and scientists have in mind when they engage with the true ‘complex systems’ (see, for example, [196,243,244,245]).\nMaking sense of both WE and SE in the dynamics of complex systems presents a significant challenge for academia, sparking lively debates in science and philosophy. In the field of artificial intelligence, philosopher Marc Bedau [246,247] developed and discussed WE as a strong form of epistemological emergence, independent of the psychological and logical limitations of the human mind. According to Thorén and Gerlee [248], who provide a critical assessment of Bedau’s work, Bedau argued for WE based on a simulation requirement and an appeal to explanatory incompressibility. The former concerns simulation governance, that is, creating the conditions to ensure and enhance the reliability of predictions from numerical simulations through verification procedures, measurement or collection of physical properties, ranking of mathematical models, and more [249].\nThe latter, according to Bedau [247], p. 443, accounts for the idea that “systems’ macro properties can be explained by their micro properties but only in an especially ‘complicated way’.” The interconnectedness of Bedau’s two forms of WE allows us to approach “complex, macro-pattern in the mind-independent objective micro-causal structure that exists in nature” (ibid.). In metascientific contexts, a key issue in the philosophy of complexity is how to develop a theory of “non-epistemic emergence” that is compatible with mechanistic explanation but incompatible with reductionism [250], p. 277.\nJohn Conway’s Game of Life (GoL), a primer on “cellular automata” first introduced to the public in 1970 to demonstrate how simple rules can generate complex and adaptive behaviours, is perhaps an example of what we discussed and used by Marc Bedau [244,247,251,252]. In this Game of Life, the time evolution of certain simple Life configurations suggests that some configurations remain unchanged forever (so-called “still lifes”), some oscillate indefinitely (so-called “blinkers”). In contrast, others continue to change and grow indefinitely (increasing in the number of living cells) [247]. The main point is that all these configurations are determined by the system’s microdynamics, the simple birth–death rule, and the world’s initial state configuration. Bedau [247], p. 381 is clear about earlier weak emergence in GoL: “It follows that a structural macrostate in Life will be weakly emergent if deriving its behavior requires simulation”.\nStrong emergence, which according to Bedau [247] can be accused of having relationship with mysterious irreducible downward causation, involves (1) the “occurrence of qualitative novelty” [253], p. 14, (2) the “degree of reality or autonomy over and above the set of its base elements” [254,255], (3) the “dependence relation between the source of emergence (the emergence base) and the result of the emergence (the emergent phenomena)” [254,256], p. 214, and (4) holism, the belief that the whole is more than the sum of its parts [256]. Here, emergent relata may include emergent processes, activities, interactions, emergent entities or systems, and emergent properties and relations [256], p. 219.\nDrawing on Humphrey [257], Glennan [256], p. 218 introduces the distinction between ‘producing’ and ‘underlying’ emergence to further refine the taxonomy beyond the established WE and SE. Compared to these, it provides, on one hand, deeper insight into the reasoning behind the evolved space-time-related multiple interactions of low-level molecular components, and, on the other hand, into the synchronous relationship between specific low-level mechanisms and the emergent properties on which these properties supervene in every possible case at the moment of observation and measurement. It describes a situation in which we identify an emergence base (diachronic emergence; producing emergence) as the set of “startup conditions which, via an etiological mechanism, produce the emergent phenomenon” (ibid).\nGlennan maintains that “the emergence base is temporally prior to and distinct from the emergent phenomenon, and the etiological mechanism is the causal process by which the emergent phenomenon arises” (ibid.). In synchronic emergence (underlying emergence), by contrast, the emergent phenomenon depends upon an underlying mechanism, which coexists with the phenomenon in space and time’ (ibid.). This distinction, and Glennan’s [256] work in general, not only deepens our understanding of emergence but also demonstrates how to address the tension between emergentism and mechanistic philosophy to improve their less-than-ideal connection within what he calls the Mechanistic Emergence framework. In this way, mathematical modeling of mechanisms may gain new impetus, especially in understanding how to translate the quantitative nature of mechanisms into emergent qualitative novelties. The down-to-earth example of “producing” and “underlying” emergence is, according to ChatGPT:\n“A hurricane has an ‘emergence base’ comprising warm seawater, Coriolis forces, etc. that exist before and are distinct from the hurricane that emerges, whereas the etiological mechanism or organized causal process by which the base produces the emergent phenomenon includes heat transfer, convection currents, rotation, etc.”\nI now wish to highlight a crucial distinction between the two types of emergence, which is essential for understanding that there are, essentially, two parallel approaches to emergence: Being emergence and pattern emergence (pattern formation). This distinction, presented by Jason Winning and William Bechtel in the Routledge Handbook of Emergence [258], is crucial for avoiding confusion between philosophical and scientific perspectives on the subject. It separates the speculative from the practical (scientific) aspects of emergence. As crucial to this paper, it outlines two interconnected yet distinct approaches to studying emergence pursued by philosophers and scientists.\nThe first approach is philosophically affiliated and lacks consensus. It is based on the longstanding debate about the gradation of Being, prompted by Aristotle, Plato, Descartes, and later philosophers, with significant implications for philosophical monism and pluralism. The second approach is pattern emergence, which is the primary focus of scientists and modelers. The main difference is that, while scientists seek to capture the real-life manifestations of emergent patterns in physicochemical and biological systems to explain transitions from the micro to the macro level, philosophers have debated the ontological and epistemological consequences of emergentism, more explicitly after the British emergentist movement at the beginning of the twentieth century.\nNevertheless, these two types of emergence inform one another in the joint search for a comprehensive understanding of the macroscopic reality comprising both living and non-living things. At the end, one reality, one knowledge drives both philosophy and science, and it is a fundamental assumption of the complementarity between these two domains. This is effectively demonstrated by ongoing efforts to connect emergence with other key concepts, such as nonlinearity and self-organization, which are essential for understanding complex biological systems.\nOne notable example of Being emergence is Plato’s theory of Ideas. He suggests that there are intelligible, immutable, and timeless abstract entities known as Forms or Ideas, while the physical world consists of mutable beings that merely reflect these Forms (see [259]). Understanding a “gradation of beings,” or how these Ideas and the concrete things that reflect them constitute reality, is one of the most challenging problems in philosophy.\nBy contrast, Wegner [239], p. 369 recently presented an interesting example of pattern emergence. He argues that a network of coupled fluxes of matter, free energy, and entropy in living organisms, which he refers to as “Metafluxes,” can be described and axiomatized by the thermodynamics of irreversible processes. His model diverges from metaphysics and the way emergence is considered there simply by establishing a clear connection between metafluxes and both WE and SE, treating them as non-exclusive concepts. In doing so, it directly links emergence to fundamental thermodynamic concepts such as matter, energy, and entropy. In addition to reconciling SE and WE, his account provides a rationale for pattern emergence. Other examples of this type of emergence include temperature, magnetism, herd immunity in social networks, and so on [260].\nConsciousness, with its so-called “hard problem of consciousness”—the explanatory gap between the brain and phenomenal consciousness—serves as a unique example of emergence because it represents the battlefield where SE, WE, Being emergence, and pattern emergence confront and compete. The “hard problem of consciousness’ concerns how the complex, non-trivial interactions among billions of neurons (matter) give rise to phenomenal consciousness and self-awareness over time [261]. This issue has sparked intense metaphysical debates, from ancient Greek philosophers to the present, leading to conflicts between physicalism, dualism, and epiphenomenalism [262,263]. Conceived in this way, consciousness has serious philosophical and ontological implications: the type of emergence involved here is Being emergence. It is worth noting that physicalism holds that consciousness is a product of underlying biology and, ultimately, physics.\nIn contrast, dualism, following Descartes, draws a sharp distinction between the material world (res extensa) and the realm of the soul or consciousness (res cogitans). Epiphenomenalism recognizes that consciousness arises from brain activity but denies that mental events can cause changes in the material, physical world. Not all philosophers agree that consciousness is strongly emergent. In a recent article, Eli Haitov [264], p. 1 proposes:\n“Since it is allegedly a brute fact that emergent properties arise in certain complex systems, they should emerge in anything. Since they do not emerge in everything, they also do not emerge only in certain complex systems.”\nTherefore, he is clear that WE is what both scientists and philosophers should subscribe to when dealing with consciousness. Cognitive scientists and neurobiologists, however, focus on understanding how interacting, self-organized neural networks generate and sustain conscious experience. These neuronal ensembles, circuits, and networks are functionally connected under the umbrella term “connectome” [265]. In the mammalian brain, a balance between cooperation and competition among distributed circuits maintains functional connectivity [265]. Cooperation entails alignment between components, e.g., neuronal states, while competition refers to negatively correlated goals of agents, such as neurons in a circuit. Cooperation and synergism produce new states and emergent properties, while competition and other stabilizing processes enable the stabilization and optimization of system dynamics.\nIn ecology, particularly microbial ecology, cooperation among groups of microorganisms is an emergent property influenced by energy supply and residence time. Gralka et al. [266], p. R1179 describe two scenarios in which cooperation and competition interact. The first scenario involves a high resource supply, often accompanied by high dilution rates (resulting in low residence times) in continuous or semi-continuous culture conditions to prevent the accumulation of biomass waste products. Under these conditions, primary consumers of the supplied resources excrete a diverse range of primary metabolites that support a variety of secondary consumers. The survival of these secondary consumers depends on the extent of competition for these metabolites.\nIn contrast, the second scenario arises when resource supply is low. Here, dilution rates must also be low (resulting in high residence times) for slower-growing organisms to persist. In these conditions, resource limitation affects all species, and groups of organisms that can effectively complement each other through their metabolic excretions are more likely to thrive. This cooperation enables informational synergy among heterogeneous groups of microorganisms, or more broadly, among different cooperating agents [267]. Pattern emergence best captures this example.\nIn a seminal work on reductionism, holism, and emergence, Massimo Pigliucci [268], pp. 264–265 introduces two examples of pattern emergence that suggest important ontological and epistemological implications. The first example is based on the mathematical paper by Romero and Zertuche [269] and involves NK networks, or Kauffman-type networks (introduced in 1969). These networks are cellular automata used to explore the properties of genetic networks, which are characterized by N elements, each with K input connections and one output. As Pigliucci interprets it, robustness—something we will also discuss later—emerges from the statistical properties of a genotype-phenotype modelled as an NK Kauffman-type network. Interestingly, emergence in this context is described as the “appearance of a biological property (robustness) resulting from specific non-linear interactions among lower-level entities (the genes in the network)” [268], p. 264.\nThe second important example provided by Pigliucci [268], p. 265 involves genetic-environmental interaction (G×E, or G-by-E) and the reaction norm diagram. This diagram allows us to disentangle and appreciate the average effect of the environment on a given trait, which can be quantified by Environmental (E) and Genetic (G) variances. The G-by-E interaction variance arises from statistically nonadditive effects that cannot merely be summed from genetic and environmental influences. Thus, “A population with a significant G-by-E variance, therefore, exhibits a quantifiable ‘emergent’ (at the statistical, population-level) property’ (ibid.).\nThe ontological implication of Pigliucci’s examples is that at least some biological properties are ontologically emergent, while the epistemological implication is that we need mathematical, statistical, and computational reasoning (in the case of NK) to explain the specificities and processes that underlie their occurrence.\nIn their work on combined instances of WE, SE, and pattern emergence, Feinberg and Mallat [270] use complex systems theory to examine the emergent features of life and, subsequently, complex brains. They describe three progressive levels: Level 1 (Life), Level 2 (Nervous Systems), and Level 3 (Special Neurobiological Features). Each level marks an increase in biological and neurobiological complexity, ultimately leading to the emergence of phenomenal consciousness within physical systems. Along this trajectory, they show that consciousness is an emergent property, albeit one of extreme complexity. The relationship can be summarized as: Life + Special Neurobiological Features → Phenomenal Consciousness.\nPerhaps the reconciliation between WE, SE, and pattern emergence in biology may require a more conceptual approach after all. Luisa Damiano’s [271] dual solution to emergence in the biological realm—specifically, the theoretical problem (models of emergent properties) and the epistemological problem (ensuring the scientific value of these model descriptions)—can help reconcile the emergentist view of life with an emergentist understanding of science. More concretely, scientists must identify brain patterns that contribute to consciousness and use all available interdisciplinary resources to study and model mental states.\n\n\n### 6. Emergence via Coherence and Redundancy\nThe main idea behind relatively recent nonlinearity-based frameworks, such as coherence and bifurcation, is to explain and formalize qualitative changes in the behaviour of dynamical systems, particularly where abrupt transitions, such as those in the evolution of life, may occur in evolving systems (e.g., qualitative behaviours of biochemical reactions reflecting synthesis and degradation of molecules) [272,273,274]. Understanding the concept of coherence, which draws on chaotic behaviour, nonlinear dynamics, solitons, and bifurcation theory, is vital. Coherence, coherent nonlinear dynamics, and coherent structures are crucial for understanding dissipative, externally driven nonlinear systems [275,276]. More broadly, coherence is a macroscopic property or collective state that acts as an efficient mechanism for biological self-organization [277]. In this context, it results from thermodynamic openness (the expulsion of entropy into the external environment) and refers to energy transfer and information processing within molecules [277]. In this paper, we will discuss biological examples of coherence that illustrate its connections to emergence, without delving into mathematical or computational aspects of the challenges it raises.\nThe study of coherence in biology explores two important avenues. The first, which I call “supramolecular coherence”, concerns the functional organization of molecules within cellular compartments, including modules, hyperstructures, condensates, and related structures. The second group examines the effects of quantum-biological coherence on critical biomolecules, including those involved in plant photosynthesis (photosystem I and II), animal and plant magnetoreception (cryptochrome), neuronal microtubule, enzyme catalysis, immunology, and evolution [278,279,280,281].\nThe majority of physiological, pathological, and ecological processes, such as metabolic cycles, sleep–wake patterns, endocrine physiological rhythms, cancer, cognition, and collective ecological dynamics within large groups of organisms, can best be explained in terms of coherence [277,282,283]. At present, the first type of emergence is the most likely candidate to explain many important features of life’s inner workings, but recent advances in quantum biology have made the second type of emergence harder to rule out. In other words, I will not claim that quantum coherence, superposition, and entanglement do not play an important role in emergent biological processes. However, I will remain within the field of molecular cell biology to address coherence without delving deep into quantum physics or quantum biology.\nThe first type of coherence holds significant promise for emergence. However, I have concerns about the second type, as many remain skeptical of the nontrivial transmission (percolation) of quantum effects through biological hierarchies [284]. The main suspect for the lack of quantum effects on the macroscopic scale seems to be quantum decoherence in a noisy environment, such as a cell, and the strong coupling between the organism and its environment. Despite this apparent skepticism about quantum phenomena in biological systems, recent years have ushered in an exciting era of quantum biology, as quantum studies are now experimentally capable of measuring degrees of quantum entanglement and coherence [285,286].\nMcFadden and Al-Khalili [287] proposed that the accelerated mutation rate and the production of mutated states in microorganisms may be driven by decoherence through quantum tunnelling of protons within DNA hydrogen bonds. The genome remains stable because quantum coherence, or quantum superposition, can be maintained for biological timescales until decoherence occurs. This decoherence alters the quantum superposition of the genome and entangles it with its environment, potentially leading to mutagenesis. However, understanding quantum processes in macroscopic biological systems is fraught with experimental and theoretical uncertainties and warrants further investigation.\nLet us first discuss the first type of coherence. In cellular biology and microbiology, coherence enables meaningful (i.e., selectable) phenotypic diversity—reflected in the diversity of growth rates—within a cell population, where cells avoid attempting to grow and sporulate simultaneously [288]. It requires that each phenotype be consistent with the set of genes expressed [289].\nHyperstructures, a concept introduced by Norris et al. [290,291], p. 313 and further developed by Norris et al. [292], propose that “hyperstructures constitute a level of organization intermediate between macromolecules and cells” and that, with different turnover characteristics, they can explain how this coherence is achieved. As Gangwe Nana et al. [288] argue, coherent diversity in bacterial cells may be explained by the hypothesis that one parental DNA strand is physically associated with proteins appropriate for a survival strategy. In contrast, the other strand is associated with proteins appropriate for a growth strategy. This, together with the activity levels of these hyperstructures, represents an effective strategy for controlling the cell cycle [288,289].\nNorris’s concepts of hyperstructures, in some sense, anticipated another conceptual breakthrough in cell biology in 2017, when Banani et al. [293] introduced the concept of biomolecular condensates. What is condensation in a cell? Simply stated, it is the universal process in nature by which molecular species segregate into dense and dilute phases (e.g., morning dew) [294]. In biology, condensates are subcellular micron- or submicron-scale dynamic structures in which functionally related proteins and nucleic acids assemble through liquid–liquid phase separation, allowing them to form on a larger scale without a membrane [294]. Structural and functional modifications of these condensates may play a crucial role in the aging process and neurodegeneration [295]. Historically, these structures have been referred to by various names, including membraneless organelles (MLOs) and granules [294].\nFurthermore, Norris has developed the concept of competitive coherence, which is particularly interesting from the perspective of emergence and complexity. In competitive coherence, emergence should be understood as the formation of a new state, that is, the production of a subset of elements that are active together. Norris et al. [291], pp. 325–326 provide thought experiments to test how competitive coherence operates in the environment. Firstly, “environment acts via the coherence process to lend importance to one out of many sites”. Consequently, selection favours this site and the molecule that binds to it. They then ask: What if a protein with this binding site binds to a phospholipid to form a domain where their activities complement each other?\nThere may be selection among other complementary proteins for this site, which, theoretically, provide a range of “types of connectivity to determine membership of an Active set and this Active set would take on the physical form of a proteolipid domain responsible for a particular function” (ibid.). This led the authors to conclude that the terms of a new criterion for membership of the Active set provide a more practical understanding of emergence in cellular biology. In this context, they demonstrated a direct connection between emergence and competitive coherence. The significance of their work lies in recognizing clear relationships between coherence and emergence, which can help researchers understand the development of cellular organization and, consequently, multicellular biological systems.\nI will begin this subsection with an example from genetics. It concerns the quantification of biological traits, which can more concretely account for emergence, redundancy, and subemergence. As genetics teaches us, multigenic complex biological traits (phenotypes) depend on emergent interactions among a proper set of proteins. The emergent interactions of proteins shape complex, multigenic biological traits, which are the main functional units at the molecular scale. Wegner and Hao [296] and Hao et al. [297], p. 841 have recently developed two algorithms for quantifying WE and SE. The WE algorithm is based on the premise of pairwise reciprocal interactions between proteins, in which each protein modifies its contribution to a complex trait in turn. The second algorithm assumes the formation of a new, complex trait by a set of n ‘constitutive’ proteins at concentrations exceeding individual threshold values (strong emergence).\nThe main assumptions of the algorithm for quantifying SE are protein redundancy with respect to a complex trait (full redundancy) and, above all, irreducibility, which holds that if one constitutive protein is missing or its concentration drops below a threshold, the trait is lost [297]. Protein redundancy, together with genetic redundancy, is fundamental for living organisms to cope with the harmful impact of the environment. It is fundamental to all organisms’ ability to cope with environmental stress and harmful mutations, providing resilience to living systems in terms of their structure and function [298].\nFurthermore, this phenomenon is built on the assumption that in living organisms, there are proteins and genes whose functions are similar, overlapping, or even identical. In the case of a mutation, if one protein is defective, the other can take over its function [298]. The point is that, in the case of a multigenic trait, we cannot reduce the explanation of the phenotype to a single gene or protein, or to a group of them, without considering the whole picture determined by emergent interactions. Redundancy and a similar process, reciprocal-based robustness, play a critical role in cardiac and brain electrophysiology. Noble [299], pp. 2–3 has recently argued that cardiac pacemaker activity is formed from multiple interlocking physiological networks, any one of which can generate rhythm and automatically replace the others:\n“In such interlocking control systems, the association scores for individual components are necessarily low, even though causation, measured by the electric current carried by the relevant ion channels, is large. This kind of reciprocally based robustness is widespread in living organisms, which explains why most association scores in genome-wide association studies are low, or even zero.”\nMore specifically, pacemaker activity depends on the functional hierarchy of pacemaker clusters in the sinoatrial node [300]. Noble’s ideas and long-term research have significant implications for genetic studies and offer a new antireductionist perspective on why understanding molecular biology is essential but not sufficient for grasping both healthy and diseased phenotypes.\nThe concept of regulation is central to understanding processes and properties such as stability, robustness, and long-term persistence, particularly in biology. Bich et al. [301] and Bich and Bechtel [146] proposed that, in biological systems, a specific subsystem responds to and manages environmental perturbations to alter the constitutive regime of a system without being specified by it (e.g., negative feedback systems) (see also [302]). Pinto Leite et al. [302] investigated whether such regulatory systems exist in ecology and concluded that they do not, possibly because ecological systems extend beyond the limits of dynamic stability and feedback mechanisms. All these principles are summarized in one sentence by Rahman [303], p. 3:\n“The behaviour of living systems, from single cells to complex organisms, is governed by the integration of internal structure, energetic readiness, and environmental context”.\nThe process of losing emergent properties in the system is called subemergence. Elder-Vass and Zahle describe complex systems as comprising various entities that both combine with and dissolve into other entities. Bunge [253] notes that emergence results in the creation of new entities, while submergence leads to their dissolution, characterized by the loss of one or more emergent properties within the system. Recently, subemergence has attracted significant attention in the scientific community. Gianfranco Minati [304] from the Italian Systems Society discussed experimental approaches to deactivate emergence (de-emergence) when interventions in complex systems are necessary to mitigate their destructive effects, such as tornadoes arising from Rayleigh-Bénard convection.\nIn dynamic biological systems, many processes occur or are regulated through emergence and subemergence across various scales of biological organization. For example, their interplay can be observed in the cell. To maintain a healthy state or protect its proteome (the complete set of cellular proteins) from harsh environments, a cell must ensure proteome quality [305]. This is achieved through proteostasis, which includes protein synthesis and degradation, all of which are monitored by a network of guardian proteins to maintain homeostasis [305].\nThese regulatory genes and proteins protect the cell’s identity, which in turn supports the holistic identity of the entire organism. It is worth noting that protein degradation may or may not influence emergent properties at higher levels, due to the redundancy and resilience discussed above. However, not all traits are multigenic or result from protein interactions; for example, a mutation in the SMN1 gene causes spinal muscular atrophy. Here, subemergence affects specific emergent properties or traits necessary to maintain the integrity of motor neurons. In this context, protein loss within a cell may or may not illustrate the concept of subemergence, depending on the physiological and genetic context. The process of loss of properties is more evident in dying necrotic cells or in cases of programmed cell death (apoptosis).\nSubemergence can also be illustrated by the idea of system collapse or cascading effects, which is of interest to biologists. As discussed by Portugali [78] and Buldyrev et al. [306], a Havlin research group, complex systems are also characterized by the proliferation of networks and interdependencies between them. If one network in the system fails, it often triggers the failure of another. For example, a power grid failure leads to an internet outage. The only unknown in the equation is how resilient the system is at compensating for network failures. As I have shown, some networks and elements of complex biological systems are more resilient than others. Evolution has enabled life to develop a pretty decent compensatory mechanism to confront the sudden failure of cell molecular machinery.\nNotably, cascade multiplicative dynamics, in which the output of one structure or subsystem serves as the input to another in series, are important concepts in complexity-oriented biology. Research has shown that cascading dynamics in all their forms may be important for preserving robust multifractal scaling and for serving as a mechanism for constraining lower hierarchies, which represents a fundamental organising principle in biological systems. This includes processes such as cardiovascular dynamics, cerebral blood flow, neural activity, and brain–body interactions, respiratory behaviour, gait, and posture [307,308]. According to Mangalam et al. [308], p. 1, it manifests:\n“As structured variability that exhibits scale-invariant structure across multiple temporal and amplitude scales to capture the complex interplay of regulatory mechanisms spanning fast, fine-scale adjustments and slower, larger-scale modulations—a hallmark of biological systems that must simultaneously maintain homeostatic precision and respond adaptively to unpredictable challenges.”\nThe phenomena of coherence and redundancy appear to be promising strategies for explaining how self-organized processes lead to strong emergence while remaining consistent with the Causal Closure of Physics (CCP) principle. CCP—the idea that all physical events must result solely from physical, not mental, causes, or, in a more epistemic sense, that every physical event has a physical explanation [309,310]—is not contradicted by the system. In other words, these, among other processes and phenomena, illustrate what Heylighen [311] describes as the reason why emergence and self-organization are conceptually simple, common, and natural. Emergence and subemergence seem to have cognate terms in systems science–SOI and SOD—in Hermann Haken’s synergetics, which are discussed in the subsection on synergetics.\nIn Haken’s and Portugali’s synergetics, physical systems without memory are prone to this form of property loss. However, SOD characterizes systems with memory, such as living organisms. I showed that a cell loses some of its properties in a self-regulated manner. This is absolutely true, for example, in the case of apoptosis (programmed cell death). However, the question is whether this is true for sudden, unprogrammed cell death, such as necrosis. By scratching at the surface, necrosis is also, to some degree, an ordered process, unlike the standard model, which denies its regulated nature. Recent research has reported that it is an active process regulated by cells destined for death, and that some of its mechanisms are connected with those of apoptosis and autophagy [312]. Ageing, neurodegeneration, ischaemia, and other forms of loss of biological properties involve up- and down-regulated processes.\n\n\n### 6.1. Connecting Coherence and Emergence\nThe main idea behind relatively recent nonlinearity-based frameworks, such as coherence and bifurcation, is to explain and formalize qualitative changes in the behaviour of dynamical systems, particularly where abrupt transitions, such as those in the evolution of life, may occur in evolving systems (e.g., qualitative behaviours of biochemical reactions reflecting synthesis and degradation of molecules) [272,273,274]. Understanding the concept of coherence, which draws on chaotic behaviour, nonlinear dynamics, solitons, and bifurcation theory, is vital. Coherence, coherent nonlinear dynamics, and coherent structures are crucial for understanding dissipative, externally driven nonlinear systems [275,276]. More broadly, coherence is a macroscopic property or collective state that acts as an efficient mechanism for biological self-organization [277]. In this context, it results from thermodynamic openness (the expulsion of entropy into the external environment) and refers to energy transfer and information processing within molecules [277]. In this paper, we will discuss biological examples of coherence that illustrate its connections to emergence, without delving into mathematical or computational aspects of the challenges it raises.\nThe study of coherence in biology explores two important avenues. The first, which I call “supramolecular coherence”, concerns the functional organization of molecules within cellular compartments, including modules, hyperstructures, condensates, and related structures. The second group examines the effects of quantum-biological coherence on critical biomolecules, including those involved in plant photosynthesis (photosystem I and II), animal and plant magnetoreception (cryptochrome), neuronal microtubule, enzyme catalysis, immunology, and evolution [278,279,280,281].\nThe majority of physiological, pathological, and ecological processes, such as metabolic cycles, sleep–wake patterns, endocrine physiological rhythms, cancer, cognition, and collective ecological dynamics within large groups of organisms, can best be explained in terms of coherence [277,282,283]. At present, the first type of emergence is the most likely candidate to explain many important features of life’s inner workings, but recent advances in quantum biology have made the second type of emergence harder to rule out. In other words, I will not claim that quantum coherence, superposition, and entanglement do not play an important role in emergent biological processes. However, I will remain within the field of molecular cell biology to address coherence without delving deep into quantum physics or quantum biology.\nThe first type of coherence holds significant promise for emergence. However, I have concerns about the second type, as many remain skeptical of the nontrivial transmission (percolation) of quantum effects through biological hierarchies [284]. The main suspect for the lack of quantum effects on the macroscopic scale seems to be quantum decoherence in a noisy environment, such as a cell, and the strong coupling between the organism and its environment. Despite this apparent skepticism about quantum phenomena in biological systems, recent years have ushered in an exciting era of quantum biology, as quantum studies are now experimentally capable of measuring degrees of quantum entanglement and coherence [285,286].\nMcFadden and Al-Khalili [287] proposed that the accelerated mutation rate and the production of mutated states in microorganisms may be driven by decoherence through quantum tunnelling of protons within DNA hydrogen bonds. The genome remains stable because quantum coherence, or quantum superposition, can be maintained for biological timescales until decoherence occurs. This decoherence alters the quantum superposition of the genome and entangles it with its environment, potentially leading to mutagenesis. However, understanding quantum processes in macroscopic biological systems is fraught with experimental and theoretical uncertainties and warrants further investigation.\nLet us first discuss the first type of coherence. In cellular biology and microbiology, coherence enables meaningful (i.e., selectable) phenotypic diversity—reflected in the diversity of growth rates—within a cell population, where cells avoid attempting to grow and sporulate simultaneously [288]. It requires that each phenotype be consistent with the set of genes expressed [289].\nHyperstructures, a concept introduced by Norris et al. [290,291], p. 313 and further developed by Norris et al. [292], propose that “hyperstructures constitute a level of organization intermediate between macromolecules and cells” and that, with different turnover characteristics, they can explain how this coherence is achieved. As Gangwe Nana et al. [288] argue, coherent diversity in bacterial cells may be explained by the hypothesis that one parental DNA strand is physically associated with proteins appropriate for a survival strategy. In contrast, the other strand is associated with proteins appropriate for a growth strategy. This, together with the activity levels of these hyperstructures, represents an effective strategy for controlling the cell cycle [288,289].\nNorris’s concepts of hyperstructures, in some sense, anticipated another conceptual breakthrough in cell biology in 2017, when Banani et al. [293] introduced the concept of biomolecular condensates. What is condensation in a cell? Simply stated, it is the universal process in nature by which molecular species segregate into dense and dilute phases (e.g., morning dew) [294]. In biology, condensates are subcellular micron- or submicron-scale dynamic structures in which functionally related proteins and nucleic acids assemble through liquid–liquid phase separation, allowing them to form on a larger scale without a membrane [294]. Structural and functional modifications of these condensates may play a crucial role in the aging process and neurodegeneration [295]. Historically, these structures have been referred to by various names, including membraneless organelles (MLOs) and granules [294].\nFurthermore, Norris has developed the concept of competitive coherence, which is particularly interesting from the perspective of emergence and complexity. In competitive coherence, emergence should be understood as the formation of a new state, that is, the production of a subset of elements that are active together. Norris et al. [291], pp. 325–326 provide thought experiments to test how competitive coherence operates in the environment. Firstly, “environment acts via the coherence process to lend importance to one out of many sites”. Consequently, selection favours this site and the molecule that binds to it. They then ask: What if a protein with this binding site binds to a phospholipid to form a domain where their activities complement each other?\nThere may be selection among other complementary proteins for this site, which, theoretically, provide a range of “types of connectivity to determine membership of an Active set and this Active set would take on the physical form of a proteolipid domain responsible for a particular function” (ibid.). This led the authors to conclude that the terms of a new criterion for membership of the Active set provide a more practical understanding of emergence in cellular biology. In this context, they demonstrated a direct connection between emergence and competitive coherence. The significance of their work lies in recognizing clear relationships between coherence and emergence, which can help researchers understand the development of cellular organization and, consequently, multicellular biological systems.\n\n\n### 6.2. Emergence, Redundancy, and Subemergence\nI will begin this subsection with an example from genetics. It concerns the quantification of biological traits, which can more concretely account for emergence, redundancy, and subemergence. As genetics teaches us, multigenic complex biological traits (phenotypes) depend on emergent interactions among a proper set of proteins. The emergent interactions of proteins shape complex, multigenic biological traits, which are the main functional units at the molecular scale. Wegner and Hao [296] and Hao et al. [297], p. 841 have recently developed two algorithms for quantifying WE and SE. The WE algorithm is based on the premise of pairwise reciprocal interactions between proteins, in which each protein modifies its contribution to a complex trait in turn. The second algorithm assumes the formation of a new, complex trait by a set of n ‘constitutive’ proteins at concentrations exceeding individual threshold values (strong emergence).\nThe main assumptions of the algorithm for quantifying SE are protein redundancy with respect to a complex trait (full redundancy) and, above all, irreducibility, which holds that if one constitutive protein is missing or its concentration drops below a threshold, the trait is lost [297]. Protein redundancy, together with genetic redundancy, is fundamental for living organisms to cope with the harmful impact of the environment. It is fundamental to all organisms’ ability to cope with environmental stress and harmful mutations, providing resilience to living systems in terms of their structure and function [298].\nFurthermore, this phenomenon is built on the assumption that in living organisms, there are proteins and genes whose functions are similar, overlapping, or even identical. In the case of a mutation, if one protein is defective, the other can take over its function [298]. The point is that, in the case of a multigenic trait, we cannot reduce the explanation of the phenotype to a single gene or protein, or to a group of them, without considering the whole picture determined by emergent interactions. Redundancy and a similar process, reciprocal-based robustness, play a critical role in cardiac and brain electrophysiology. Noble [299], pp. 2–3 has recently argued that cardiac pacemaker activity is formed from multiple interlocking physiological networks, any one of which can generate rhythm and automatically replace the others:\n“In such interlocking control systems, the association scores for individual components are necessarily low, even though causation, measured by the electric current carried by the relevant ion channels, is large. This kind of reciprocally based robustness is widespread in living organisms, which explains why most association scores in genome-wide association studies are low, or even zero.”\nMore specifically, pacemaker activity depends on the functional hierarchy of pacemaker clusters in the sinoatrial node [300]. Noble’s ideas and long-term research have significant implications for genetic studies and offer a new antireductionist perspective on why understanding molecular biology is essential but not sufficient for grasping both healthy and diseased phenotypes.\nThe concept of regulation is central to understanding processes and properties such as stability, robustness, and long-term persistence, particularly in biology. Bich et al. [301] and Bich and Bechtel [146] proposed that, in biological systems, a specific subsystem responds to and manages environmental perturbations to alter the constitutive regime of a system without being specified by it (e.g., negative feedback systems) (see also [302]). Pinto Leite et al. [302] investigated whether such regulatory systems exist in ecology and concluded that they do not, possibly because ecological systems extend beyond the limits of dynamic stability and feedback mechanisms. All these principles are summarized in one sentence by Rahman [303], p. 3:\n“The behaviour of living systems, from single cells to complex organisms, is governed by the integration of internal structure, energetic readiness, and environmental context”.\nThe process of losing emergent properties in the system is called subemergence. Elder-Vass and Zahle describe complex systems as comprising various entities that both combine with and dissolve into other entities. Bunge [253] notes that emergence results in the creation of new entities, while submergence leads to their dissolution, characterized by the loss of one or more emergent properties within the system. Recently, subemergence has attracted significant attention in the scientific community. Gianfranco Minati [304] from the Italian Systems Society discussed experimental approaches to deactivate emergence (de-emergence) when interventions in complex systems are necessary to mitigate their destructive effects, such as tornadoes arising from Rayleigh-Bénard convection.\nIn dynamic biological systems, many processes occur or are regulated through emergence and subemergence across various scales of biological organization. For example, their interplay can be observed in the cell. To maintain a healthy state or protect its proteome (the complete set of cellular proteins) from harsh environments, a cell must ensure proteome quality [305]. This is achieved through proteostasis, which includes protein synthesis and degradation, all of which are monitored by a network of guardian proteins to maintain homeostasis [305].\nThese regulatory genes and proteins protect the cell’s identity, which in turn supports the holistic identity of the entire organism. It is worth noting that protein degradation may or may not influence emergent properties at higher levels, due to the redundancy and resilience discussed above. However, not all traits are multigenic or result from protein interactions; for example, a mutation in the SMN1 gene causes spinal muscular atrophy. Here, subemergence affects specific emergent properties or traits necessary to maintain the integrity of motor neurons. In this context, protein loss within a cell may or may not illustrate the concept of subemergence, depending on the physiological and genetic context. The process of loss of properties is more evident in dying necrotic cells or in cases of programmed cell death (apoptosis).\nSubemergence can also be illustrated by the idea of system collapse or cascading effects, which is of interest to biologists. As discussed by Portugali [78] and Buldyrev et al. [306], a Havlin research group, complex systems are also characterized by the proliferation of networks and interdependencies between them. If one network in the system fails, it often triggers the failure of another. For example, a power grid failure leads to an internet outage. The only unknown in the equation is how resilient the system is at compensating for network failures. As I have shown, some networks and elements of complex biological systems are more resilient than others. Evolution has enabled life to develop a pretty decent compensatory mechanism to confront the sudden failure of cell molecular machinery.\nNotably, cascade multiplicative dynamics, in which the output of one structure or subsystem serves as the input to another in series, are important concepts in complexity-oriented biology. Research has shown that cascading dynamics in all their forms may be important for preserving robust multifractal scaling and for serving as a mechanism for constraining lower hierarchies, which represents a fundamental organising principle in biological systems. This includes processes such as cardiovascular dynamics, cerebral blood flow, neural activity, and brain–body interactions, respiratory behaviour, gait, and posture [307,308]. According to Mangalam et al. [308], p. 1, it manifests:\n“As structured variability that exhibits scale-invariant structure across multiple temporal and amplitude scales to capture the complex interplay of regulatory mechanisms spanning fast, fine-scale adjustments and slower, larger-scale modulations—a hallmark of biological systems that must simultaneously maintain homeostatic precision and respond adaptively to unpredictable challenges.”\nThe phenomena of coherence and redundancy appear to be promising strategies for explaining how self-organized processes lead to strong emergence while remaining consistent with the Causal Closure of Physics (CCP) principle. CCP—the idea that all physical events must result solely from physical, not mental, causes, or, in a more epistemic sense, that every physical event has a physical explanation [309,310]—is not contradicted by the system. In other words, these, among other processes and phenomena, illustrate what Heylighen [311] describes as the reason why emergence and self-organization are conceptually simple, common, and natural. Emergence and subemergence seem to have cognate terms in systems science–SOI and SOD—in Hermann Haken’s synergetics, which are discussed in the subsection on synergetics.\nIn Haken’s and Portugali’s synergetics, physical systems without memory are prone to this form of property loss. However, SOD characterizes systems with memory, such as living organisms. I showed that a cell loses some of its properties in a self-regulated manner. This is absolutely true, for example, in the case of apoptosis (programmed cell death). However, the question is whether this is true for sudden, unprogrammed cell death, such as necrosis. By scratching at the surface, necrosis is also, to some degree, an ordered process, unlike the standard model, which denies its regulated nature. Recent research has reported that it is an active process regulated by cells destined for death, and that some of its mechanisms are connected with those of apoptosis and autophagy [312]. Ageing, neurodegeneration, ischaemia, and other forms of loss of biological properties involve up- and down-regulated processes.\n\n\n### 7. Holism and Holistic Biology\nNow, let us focus on holism as the fourth listed characteristic of emergence. Most broadly, the claim that the “whole is greater than the sum of its parts”, first proposed explicitly by Aristotle and later advanced by Jan Smuts in 1926, is a significant philosophical principle central to the conceptual development of the term ‘ontological holism’ and its epistemological counterpart, termed “epistemological holism.” Holism or the concept of “wholeness”, fundamental to complex systems, is traditionally approached from two main perspectives: epistemological and ontological. Ontological holism holds that [313], p. 110:\n“Holistic systems are such that their constituent parts have some of the properties that are characteristic of these things only if they are organized in such a way that they constitute a whole of the kind in question.”\nIn its broadest sense, the entire universe can be seen as a single, holistic system or monist entity, consistent with Neoplatonic concepts of “One.” Epistemological holism (confirmatory holism), which has existed for some time (at least from Quine onwards), maintains that a single model, theory, or hypothesis cannot be tested in isolation; instead, it depends on supporting auxiliary theories, with both primary and auxiliary theories tested together [313], p. 1. This form of holism will not be considered in this paper.\nReductionism is a contrasting concept to holism. It asserts that the “whole” is simply the sum of its individual parts, a view known as ontological reductionism. Consequently, the best way to explain the structure and function of the whole is by examining the interactions of its constituent parts (epistemological reductionism), while the most effective methods and approaches to understanding the whole focus on lower-level features and behaviors (methodological reductionism) (see [64]).\nLaszlo and Krippner beautifully highlight the essence of holism in complex systems theory [314], p. 57:\n“Structurally, a system is a divisible whole, but functionally it is an indivisible unity with emergent properties.”\nFor example, the brain, in both animals and humans, is the most complex organ in the body, largely due to its remarkable ability to store and process information. This complexity arises from a structured array of functional elements, including essential components such as the pons, thalamus, striatum, cerebellum, cerebrum, and hippocampus, which work together to enable the extraordinary capabilities of the mind. Still, its behaviour, function, and other properties “are more than the sum of the system parts at any particular level or across levels” [315], p. 204, or more than the sum of these brain structures.\nLudwig von Bertalanffy is also clear-cut about holism with a hint of methodological instructions for practical (scientific) interactions with complexity [316], p. 30:\n“It is necessary to study not only parts and processes in isolation, but also to solve the decisive problems found in the organization and order unifying them, resulting from the dynamic interaction of parts, and making the behavior of parts different when studied in isolation or within the whole.”\nNorbert Wiener, a founder of cybernetics, is also associated with holism by highlighting the ordered interconnectedness, synergy, and controlled processes among components that produce organized systems, such as living organisms or human-made cybernetic systems [317,318]. Moreover, Lorenz’s Chaos theory promotes a holistic understanding of complex systems by highlighting that the equations governing interactions within a system’s parts cannot always fully explain the system’s overall behaviour [319,320].\nThe understanding of the boundaries and meaning of a “holistic system” or “whole” depends on the criteria used to define it, which is directly reflected in what we consider complex systems. An essential yet often overlooked connection between holism and complexity lies in efforts to define the “boundaries of complexity”. Defining the boundaries of complexity expands our understanding of both concepts and their interconnectedness, ultimately fostering a greater appreciation of complex systems. Taken together, the steps we take towards charting the boundaries of a “holistic system” and the “boundaries of complexity” may have their roots in both our scientific methodology and practical actions, as well as in the metaphorically perceived evolution of humanity.\nThe former is articulated by Chu [321], p. 229, who states that “the modeller always needs to draw artificial boundaries around phenomena to generate feasible models.” Here, an intuitive notion of ‘radical openness’, which suggests that no systems exist naturally, is essential for establishing boundaries around the system. Instead, systems are formed through the observer’s active role in perceiving and interpreting reality. This reflects the “coupling between observer and observed,” a key idea in second-order cybernetics that shapes our decisions about what to consider a complex system (see [62,318]).\nChu’s other variable is “contextuality,” which appears to be “closely connected to the requirement to simplify models and to leave out most aspects” [321]. When these two—“radical openness” and “contextuality”—cannot be contained, that is, when it is not clear where the boundaries of the system are or which abstractions are correct, complexity arises.\nThe evolutionary explanation offers an even more intriguing perspective. At the core of the Darwinian evolutionary worldview of human cognition, or one of its paradoxes, lies the intriguing fact that humans evolved to respond to complexity in two simultaneous ways: to appreciate complex patterns positively and to distrust them. The evolution of self-awareness in early hominids, across many hominoid species, enabled us to perceive and generalize complex patterns in our environment as an evolutionary adaptation [322]. As Agosta and Brooks [322], p. 9 argue in their book, The Major Metaphors of Evolutionary Transitions, this generalization and anticipation of complex patterns initially provided early humans with a sense of security, which they identified as ‘good.’ However, the emergence of complexity that cannot be generalized frightens us and is perceived as a threat, leading us to label it ‘evil.’ This could mean that our emotions may guide us in recognizing the “boundaries of complexity” regarding our ability to control it or make it less threatening to our existence.\nIn both cases, everything centres on one key point: the complexity of a system is determined by human nature and human understanding. In other word ontological holism boils down to the phenomenological merits of the human mind when confronted with complex “objects,” “entities,” “complex relations,” or whatever they might be. If this assertion is correct, it has significant implications for our understanding of complexity and ontological holism, extending well beyond the scope of this paper. Moreover, it could provide new insights into both contemporary and historical debates on the metaphysics of “part–whole” relationships and redefine the search for a definition of life. “Epistemic freedom” in drawing boundaries around biological entities enables biologists to move away from strict functional and morphological depictions of these entities, allowing them to account more flexibly for relations within the living world that often do not respect boundaries. To corroborate this shift from realist ontological holism towards a more pragmatic antirealist one, I must ask: what is science if not a construct of human thought?\nAlso, when philosophers claim the reality of “many wholes,” as, for example, Julie Zahle [323] and Dave Elder-Vass [324] argue, they face significant challenges in explaining the fragmented worldview of many individual elements of reality. However, to be fair, these authors base their arguments and conclusions in the social sciences, where individualism differs from that in the natural world. However, biology is also a specific science that draws its strength from the endless, most beautiful forms and the individual genetic-phenotypic character of each member of a species. The problem is not where we draw boundaries around complex biological (sub)systems. The problem is cognitive, epistemological, and technical in nature, forcing us to accept the reality of different subjective measures of complexity, as elaborated by Gell-Mann [178], or to take Rosenberg’s scepticism [69] and instrumentalism in biology more seriously. In this vein, the question of integration between holistic and emergentist theories in biology must be reframed to include “inside-out” rather than naïve realist “outside-inside” relations.\nEven if we compile exhaustive lists of the emergent properties of all the parts that constitute a biological “whole”, we still cannot fully reconstruct a multicellular organism, although there are attempts to create an artificial single cell. Molecules display emergent properties, as demonstrated by Wang et al. [129], and cells, considered as wholes in relation to their organelles and molecules, also have unique emergent properties. However, to achieve more than a mere collection of cells, we must establish every possible relationship and connection (e.g., the relational-processual view of life (see [21])) among these cells simultaneously, with precise timing governed by closure in production and closure of space. Only then can we account for an “organismic whole” that exhibits emergent properties not present at the cellular and molecular level.\nAlthough we know a great deal about cell biochemistry and molecular biology, we still do not know how to make cells, underscoring the uniqueness of the self-organization of living matter. Indeed, unlike molecules, as Jureček and Švorcová [325], p. 1 state:\n“Organic wholes of various levels are defined by informational boundaries and shared evolutionary norms that enable cohesion, cooperation, and distinction from the external environment across diverse biological and cultural systems.”\nIn plant theoretical biology, authors working on whole-plant physiology since the 70s have increasingly used the term “modules” rather than “parts” to describe the whole-plant organism. Ulrich Lüttge [326] is clear about the meaning of modules:\n“Modularity is reductionism and materialism, where modules are considered as building blocks per se.”\nThis is an old Newtonian mechanical reductionist image of plant organization and its physiology. On the other hand, a new picture of “self-organization of modules” in plant physiology and biology in general is gaining ground. By contrast, “self-organization of modules” in living organisms, like plants, generates the emergence of integrated systems with new properties not predicted by the properties of the constituting modules. These lower-level modules are arranged to produce new biological emergent realities or modules. In a more philosophical tone, Ellis [196] termed these models “modular hierarchical structures,” as they provide the basis for complexity, and claims that they account for emergent levels of structure and function based on lower-level networks.\nThese newly acquired emergent systems become modules for the emergence of new holistic systems at the next higher level [326]. This establishes a hierarchy of networks from molecules, cells, and individuals up to ecosystems, biomes, and the entire biosphere, or Gaia. These higher-level systems above the organism, including the organism itself, are “holobiont-like systems, i.e., central organisms interacting with all their associated organisms as a unit for selection in evolution” [326]. In other words, organisms never evolve in isolation but as holobionts, i.e., as host organisms together with all their associated microorganisms (hologenome concept) [327].\nFurthermore, the existence and functioning of biological components depend on the higher-level networks they form and the ongoing management of matter and energy exchange with their environment [328], as stipulated by autopoiesis and holistic–organismic–systems biology. One advantage of the organismic approach, as Bich et al. [328] emphasize, is that it helps us understand how biological systems are integrated into “coherent wholes.” This organismic approach builds on all that has been discussed about self-organization in biology. The only problem with it is that it is much easier to adopt an organismic framework in the case of multicellular organisms, and, as Bich et al. claim, many of these insights are developed through the study of unicellular life.\nThese challenges concern how cells coexist within more complex entities, where certain features and behaviors are regulated and constrained by the systems they create [327]. Difficulties also arise from the morphogenetic characteristics of multicellular life (morphogenesis), which bring further challenges associated with complex three-dimensional structures (or four-dimensional if time is included) [328]. Changes in cell shape (differentiation) and final position within tissues and organs of plants and animals during development are determined and regulated by genetic regulatory factors, molecular signalling pathways, cell-to-cell communication, and mechanobiology, all influenced by the spatiotemporally ordered expression of genes and the remarkable functional and mechanical properties of the extracellular matrix and the cell cytoskeleton [329,330,331,332]. Moreover, thanks to these processes, a remarkably large number of specialized cell phenotypes form tissues, each with distinct species-specific structural and functional properties, all arising from a single activated oocyte.\nHolism is not merely a characteristic of emergence; it also establishes a unified connection with it. This important assertion has become central to holistic systems biology. Many of the frameworks discussed here have supported this convergence. However, one specific framework that has not yet been mentioned is Bunge’s “systemism” and his CESM model, which provides an alternative link between reductionism and holism. This model enables self-organization by integrating concepts from quantum physics, physical chemistry, and molecular biology on one hand, and organismic biology and holistic ecology concerning “top-down” constraints and causality on the other. It bridges the artificially separated “bottom-up” and “top-down” approaches in systems biology, addressing the complex challenges researchers face and resolving the conflict between methodologies that emphasize either synthesis or analysis.\nBunge developed the CESM model—comprising Composition, Environment, Structure, and Mechanism [239,253]. Motivated by the limitations of both holism and reductionism in addressing complexity, Bunge intended his model to play an important role in overcoming both the reductionist neglect of the whole and the holistic view that “only the whole matters, while the parts play a subordinate role” [239].\nHis “systemic” approach essentially involves analyzing the whole by breaking it down into its parts to study their properties, then reassembling them to understand the system’s behaviour as a whole [239], p. 2. In fact, he depicted the complementary use of holism and reductionism as the only meaningful way to advance complexity science. Both ways of engaging with complex systems are essential for scientific progress; their complementarity is necessary, rather than viewing them as mutually exclusive. As already mentioned, Bunge developed the so-called “ontological systemism”, which builds upon two significant premises and finds its place in the philosophy of medicine [55], p. 3:(S1) Everything, whether concrete or abstract, is a system or an actual or potential component of a system;(S2) Systems have systemic (emergent) features that their components lack.\n(S1) Everything, whether concrete or abstract, is a system or an actual or potential component of a system;\n(S2) Systems have systemic (emergent) features that their components lack.\nCESM can be described as follows [55], p. 4; [253], pp. 34–35; [239], p. 370:\nC(s) = Composition: Collection of all the parts of s (e.g., molecular, cellular, etc.);\nE(s) = Environment: Collection of items, other than those of s, that act on or are acted upon by some or all components of s, i.e., immediate surroundings (e.g., family, workplace, etc.);\nS(s) = Structure: Collection of relations, in particular bonds, among components of s or between these and items in the environment (e.g., ligaments, hormonal signals, etc.);\nM(s) = Mechanism: Collection of processes in s that make it behave as it does, i.e., processes that maintain the system as such (cell division, metabolism, circulation of the blood, etc.).\nBased on the CESM model, emergence gives rise to a holistic system. In other words, the CESM model claims to demonstrate the conceptual and real-world isomorphism between emergence and holism, to facilitate the formalization and mathematical depiction of biocomplexity. In light of Elder-Vass and Zahle’s insights into the “many wholes”, for which time emergence and holism converge within a system, the question arises: how many convergences are there in the case of a biological organism and the biosphere? Perhaps there are many temporary convergences which ultimately connect to a single point—in biology, the biosphere, and in philosophy, perhaps the Neoplatonic “One”, above which there are no larger “wholes.” This raises serious philosophical questions, which we do not pursue in this paper.\nFurthermore, other models account for the convergence between holism and emergence. I want to mention all of them and highlight two lesser-known and less popularized: Casper van Elteren [333] and Hans Van Hateren [334]. According to the scientific model provided by Casper van Elteren [333], p. 1, the explanation for their convergence lies in constraints on degrees of freedom that cause system components to interact synergistically and non-trivially, producing novel aggregate outcomes and altering system behaviour. Van Elteren argued that (ibid.):\n“Emergence stems not from magical ingredients but from constraints on degrees of freedom, producing outcomes different from—not greater than—the sum of parts.”\nFor example, a phantom traffic jam or traffic shockwave moving backward due to traffic density can occur even without an accident or bottleneck. Traffic is a dynamic phenomenon in a many-particle system that simulates collective motion (interaction among vehicles when drivers see other vehicles), generating traffic jams similar to phase transitions and pattern formation in non-equilibrium many-particle systems [335], p. 2. Van Elteren’s insights, aligned with the principles of emergence in physics, could lead to a groundbreaking resolution of the longstanding debate between reductionists and holists.\nVan Hateren [334] has developed a theoretical system that operates with a high degree of autonomy. It integrates randomness in a targeted and cyclical manner with natural selection, creating a reassuring balance that yields strong emergent properties. Notably, van Hateren’s system, based on standard material components and processes, does not contradict the CCP principle. This theory relates to his [336] framework for understanding the functions of an organism, which can act as independent causal factors. This framework, an estimator theory of mind, aligns with “agential” goal-directed behavior, highlighting internal physiological or neural processes that reflect the organism’s fitness and adjust its variability accordingly. The basic conjecture for all life is as follows [337], p. 21:\n“All living organisms are proposed here to incorporate an internal process X that makes an estimate x of the organism’s own fitness f, which is produced by an external process F.”\nAs part of their goal-directedness, this function of estimation is essential for living organisms to account for their own evolutionary fitness, which ultimately governs behaviour and internal physiological processes. Based on this conjecture, Van Hateren derived strong emergent properties and ultimately a holistic theory of consciousness or mind.\nWhat is even more interesting is that Van Hateren’s framework, in his own words, is closely associated with the Darwinian understanding of evolution, which emphasises the differential reproductive success of organisms [337], p. 28. However, he not only established a link between Darwinism and self-organized physiological–thermodynamic attempts to explain the evolution of life, but also facilitated the integration of agentialism, emergence, and holism—a step beyond Bunge. A notable example of his model is the thalamocortical feedback loops, which, from a neurophysiological standpoint, provide a direct link from the periphery (sensory organs) to the cortex, where the auditory, visual, olfactory, and cognitive regions are located. The thalamus is the central sensorimotor relay station, while the cortex processes these stimuli and generates a responsive action if necessary. These structures together are a good example of an estimator of what we perceive as reality, which is then inverted to generate strong emergent consciousness [338].\nThese convergent models of holism and emergence, a project started by Bunge and many others, are promising and grounded in realistic assumptions about how various brain subsystems systematically construct consciousness through the coupling of the organism with its environment. Many of these models are currently under development. Emergence and holism will continue to captivate the imagination of scientists and philosophers. As inspiring concepts, they will certainly bring fresh insights to biology, or, conversely, biology may help shed more light on them.\n\n\n### 7.1. Unlocking Holism Through Boundaries of Complexity\nNow, let us focus on holism as the fourth listed characteristic of emergence. Most broadly, the claim that the “whole is greater than the sum of its parts”, first proposed explicitly by Aristotle and later advanced by Jan Smuts in 1926, is a significant philosophical principle central to the conceptual development of the term ‘ontological holism’ and its epistemological counterpart, termed “epistemological holism.” Holism or the concept of “wholeness”, fundamental to complex systems, is traditionally approached from two main perspectives: epistemological and ontological. Ontological holism holds that [313], p. 110:\n“Holistic systems are such that their constituent parts have some of the properties that are characteristic of these things only if they are organized in such a way that they constitute a whole of the kind in question.”\nIn its broadest sense, the entire universe can be seen as a single, holistic system or monist entity, consistent with Neoplatonic concepts of “One.” Epistemological holism (confirmatory holism), which has existed for some time (at least from Quine onwards), maintains that a single model, theory, or hypothesis cannot be tested in isolation; instead, it depends on supporting auxiliary theories, with both primary and auxiliary theories tested together [313], p. 1. This form of holism will not be considered in this paper.\nReductionism is a contrasting concept to holism. It asserts that the “whole” is simply the sum of its individual parts, a view known as ontological reductionism. Consequently, the best way to explain the structure and function of the whole is by examining the interactions of its constituent parts (epistemological reductionism), while the most effective methods and approaches to understanding the whole focus on lower-level features and behaviors (methodological reductionism) (see [64]).\nLaszlo and Krippner beautifully highlight the essence of holism in complex systems theory [314], p. 57:\n“Structurally, a system is a divisible whole, but functionally it is an indivisible unity with emergent properties.”\nFor example, the brain, in both animals and humans, is the most complex organ in the body, largely due to its remarkable ability to store and process information. This complexity arises from a structured array of functional elements, including essential components such as the pons, thalamus, striatum, cerebellum, cerebrum, and hippocampus, which work together to enable the extraordinary capabilities of the mind. Still, its behaviour, function, and other properties “are more than the sum of the system parts at any particular level or across levels” [315], p. 204, or more than the sum of these brain structures.\nLudwig von Bertalanffy is also clear-cut about holism with a hint of methodological instructions for practical (scientific) interactions with complexity [316], p. 30:\n“It is necessary to study not only parts and processes in isolation, but also to solve the decisive problems found in the organization and order unifying them, resulting from the dynamic interaction of parts, and making the behavior of parts different when studied in isolation or within the whole.”\nNorbert Wiener, a founder of cybernetics, is also associated with holism by highlighting the ordered interconnectedness, synergy, and controlled processes among components that produce organized systems, such as living organisms or human-made cybernetic systems [317,318]. Moreover, Lorenz’s Chaos theory promotes a holistic understanding of complex systems by highlighting that the equations governing interactions within a system’s parts cannot always fully explain the system’s overall behaviour [319,320].\nThe understanding of the boundaries and meaning of a “holistic system” or “whole” depends on the criteria used to define it, which is directly reflected in what we consider complex systems. An essential yet often overlooked connection between holism and complexity lies in efforts to define the “boundaries of complexity”. Defining the boundaries of complexity expands our understanding of both concepts and their interconnectedness, ultimately fostering a greater appreciation of complex systems. Taken together, the steps we take towards charting the boundaries of a “holistic system” and the “boundaries of complexity” may have their roots in both our scientific methodology and practical actions, as well as in the metaphorically perceived evolution of humanity.\nThe former is articulated by Chu [321], p. 229, who states that “the modeller always needs to draw artificial boundaries around phenomena to generate feasible models.” Here, an intuitive notion of ‘radical openness’, which suggests that no systems exist naturally, is essential for establishing boundaries around the system. Instead, systems are formed through the observer’s active role in perceiving and interpreting reality. This reflects the “coupling between observer and observed,” a key idea in second-order cybernetics that shapes our decisions about what to consider a complex system (see [62,318]).\nChu’s other variable is “contextuality,” which appears to be “closely connected to the requirement to simplify models and to leave out most aspects” [321]. When these two—“radical openness” and “contextuality”—cannot be contained, that is, when it is not clear where the boundaries of the system are or which abstractions are correct, complexity arises.\nThe evolutionary explanation offers an even more intriguing perspective. At the core of the Darwinian evolutionary worldview of human cognition, or one of its paradoxes, lies the intriguing fact that humans evolved to respond to complexity in two simultaneous ways: to appreciate complex patterns positively and to distrust them. The evolution of self-awareness in early hominids, across many hominoid species, enabled us to perceive and generalize complex patterns in our environment as an evolutionary adaptation [322]. As Agosta and Brooks [322], p. 9 argue in their book, The Major Metaphors of Evolutionary Transitions, this generalization and anticipation of complex patterns initially provided early humans with a sense of security, which they identified as ‘good.’ However, the emergence of complexity that cannot be generalized frightens us and is perceived as a threat, leading us to label it ‘evil.’ This could mean that our emotions may guide us in recognizing the “boundaries of complexity” regarding our ability to control it or make it less threatening to our existence.\nIn both cases, everything centres on one key point: the complexity of a system is determined by human nature and human understanding. In other word ontological holism boils down to the phenomenological merits of the human mind when confronted with complex “objects,” “entities,” “complex relations,” or whatever they might be. If this assertion is correct, it has significant implications for our understanding of complexity and ontological holism, extending well beyond the scope of this paper. Moreover, it could provide new insights into both contemporary and historical debates on the metaphysics of “part–whole” relationships and redefine the search for a definition of life. “Epistemic freedom” in drawing boundaries around biological entities enables biologists to move away from strict functional and morphological depictions of these entities, allowing them to account more flexibly for relations within the living world that often do not respect boundaries. To corroborate this shift from realist ontological holism towards a more pragmatic antirealist one, I must ask: what is science if not a construct of human thought?\nAlso, when philosophers claim the reality of “many wholes,” as, for example, Julie Zahle [323] and Dave Elder-Vass [324] argue, they face significant challenges in explaining the fragmented worldview of many individual elements of reality. However, to be fair, these authors base their arguments and conclusions in the social sciences, where individualism differs from that in the natural world. However, biology is also a specific science that draws its strength from the endless, most beautiful forms and the individual genetic-phenotypic character of each member of a species. The problem is not where we draw boundaries around complex biological (sub)systems. The problem is cognitive, epistemological, and technical in nature, forcing us to accept the reality of different subjective measures of complexity, as elaborated by Gell-Mann [178], or to take Rosenberg’s scepticism [69] and instrumentalism in biology more seriously. In this vein, the question of integration between holistic and emergentist theories in biology must be reframed to include “inside-out” rather than naïve realist “outside-inside” relations.\nEven if we compile exhaustive lists of the emergent properties of all the parts that constitute a biological “whole”, we still cannot fully reconstruct a multicellular organism, although there are attempts to create an artificial single cell. Molecules display emergent properties, as demonstrated by Wang et al. [129], and cells, considered as wholes in relation to their organelles and molecules, also have unique emergent properties. However, to achieve more than a mere collection of cells, we must establish every possible relationship and connection (e.g., the relational-processual view of life (see [21])) among these cells simultaneously, with precise timing governed by closure in production and closure of space. Only then can we account for an “organismic whole” that exhibits emergent properties not present at the cellular and molecular level.\nAlthough we know a great deal about cell biochemistry and molecular biology, we still do not know how to make cells, underscoring the uniqueness of the self-organization of living matter. Indeed, unlike molecules, as Jureček and Švorcová [325], p. 1 state:\n“Organic wholes of various levels are defined by informational boundaries and shared evolutionary norms that enable cohesion, cooperation, and distinction from the external environment across diverse biological and cultural systems.”\nIn plant theoretical biology, authors working on whole-plant physiology since the 70s have increasingly used the term “modules” rather than “parts” to describe the whole-plant organism. Ulrich Lüttge [326] is clear about the meaning of modules:\n“Modularity is reductionism and materialism, where modules are considered as building blocks per se.”\nThis is an old Newtonian mechanical reductionist image of plant organization and its physiology. On the other hand, a new picture of “self-organization of modules” in plant physiology and biology in general is gaining ground. By contrast, “self-organization of modules” in living organisms, like plants, generates the emergence of integrated systems with new properties not predicted by the properties of the constituting modules. These lower-level modules are arranged to produce new biological emergent realities or modules. In a more philosophical tone, Ellis [196] termed these models “modular hierarchical structures,” as they provide the basis for complexity, and claims that they account for emergent levels of structure and function based on lower-level networks.\nThese newly acquired emergent systems become modules for the emergence of new holistic systems at the next higher level [326]. This establishes a hierarchy of networks from molecules, cells, and individuals up to ecosystems, biomes, and the entire biosphere, or Gaia. These higher-level systems above the organism, including the organism itself, are “holobiont-like systems, i.e., central organisms interacting with all their associated organisms as a unit for selection in evolution” [326]. In other words, organisms never evolve in isolation but as holobionts, i.e., as host organisms together with all their associated microorganisms (hologenome concept) [327].\nFurthermore, the existence and functioning of biological components depend on the higher-level networks they form and the ongoing management of matter and energy exchange with their environment [328], as stipulated by autopoiesis and holistic–organismic–systems biology. One advantage of the organismic approach, as Bich et al. [328] emphasize, is that it helps us understand how biological systems are integrated into “coherent wholes.” This organismic approach builds on all that has been discussed about self-organization in biology. The only problem with it is that it is much easier to adopt an organismic framework in the case of multicellular organisms, and, as Bich et al. claim, many of these insights are developed through the study of unicellular life.\nThese challenges concern how cells coexist within more complex entities, where certain features and behaviors are regulated and constrained by the systems they create [327]. Difficulties also arise from the morphogenetic characteristics of multicellular life (morphogenesis), which bring further challenges associated with complex three-dimensional structures (or four-dimensional if time is included) [328]. Changes in cell shape (differentiation) and final position within tissues and organs of plants and animals during development are determined and regulated by genetic regulatory factors, molecular signalling pathways, cell-to-cell communication, and mechanobiology, all influenced by the spatiotemporally ordered expression of genes and the remarkable functional and mechanical properties of the extracellular matrix and the cell cytoskeleton [329,330,331,332]. Moreover, thanks to these processes, a remarkably large number of specialized cell phenotypes form tissues, each with distinct species-specific structural and functional properties, all arising from a single activated oocyte.\n\n\n### 7.2. The Convergence of Holism and Emergence\nHolism is not merely a characteristic of emergence; it also establishes a unified connection with it. This important assertion has become central to holistic systems biology. Many of the frameworks discussed here have supported this convergence. However, one specific framework that has not yet been mentioned is Bunge’s “systemism” and his CESM model, which provides an alternative link between reductionism and holism. This model enables self-organization by integrating concepts from quantum physics, physical chemistry, and molecular biology on one hand, and organismic biology and holistic ecology concerning “top-down” constraints and causality on the other. It bridges the artificially separated “bottom-up” and “top-down” approaches in systems biology, addressing the complex challenges researchers face and resolving the conflict between methodologies that emphasize either synthesis or analysis.\nBunge developed the CESM model—comprising Composition, Environment, Structure, and Mechanism [239,253]. Motivated by the limitations of both holism and reductionism in addressing complexity, Bunge intended his model to play an important role in overcoming both the reductionist neglect of the whole and the holistic view that “only the whole matters, while the parts play a subordinate role” [239].\nHis “systemic” approach essentially involves analyzing the whole by breaking it down into its parts to study their properties, then reassembling them to understand the system’s behaviour as a whole [239], p. 2. In fact, he depicted the complementary use of holism and reductionism as the only meaningful way to advance complexity science. Both ways of engaging with complex systems are essential for scientific progress; their complementarity is necessary, rather than viewing them as mutually exclusive. As already mentioned, Bunge developed the so-called “ontological systemism”, which builds upon two significant premises and finds its place in the philosophy of medicine [55], p. 3:(S1) Everything, whether concrete or abstract, is a system or an actual or potential component of a system;(S2) Systems have systemic (emergent) features that their components lack.\n(S1) Everything, whether concrete or abstract, is a system or an actual or potential component of a system;\n(S2) Systems have systemic (emergent) features that their components lack.\nCESM can be described as follows [55], p. 4; [253], pp. 34–35; [239], p. 370:\nC(s) = Composition: Collection of all the parts of s (e.g., molecular, cellular, etc.);\nE(s) = Environment: Collection of items, other than those of s, that act on or are acted upon by some or all components of s, i.e., immediate surroundings (e.g., family, workplace, etc.);\nS(s) = Structure: Collection of relations, in particular bonds, among components of s or between these and items in the environment (e.g., ligaments, hormonal signals, etc.);\nM(s) = Mechanism: Collection of processes in s that make it behave as it does, i.e., processes that maintain the system as such (cell division, metabolism, circulation of the blood, etc.).\nBased on the CESM model, emergence gives rise to a holistic system. In other words, the CESM model claims to demonstrate the conceptual and real-world isomorphism between emergence and holism, to facilitate the formalization and mathematical depiction of biocomplexity. In light of Elder-Vass and Zahle’s insights into the “many wholes”, for which time emergence and holism converge within a system, the question arises: how many convergences are there in the case of a biological organism and the biosphere? Perhaps there are many temporary convergences which ultimately connect to a single point—in biology, the biosphere, and in philosophy, perhaps the Neoplatonic “One”, above which there are no larger “wholes.” This raises serious philosophical questions, which we do not pursue in this paper.\nFurthermore, other models account for the convergence between holism and emergence. I want to mention all of them and highlight two lesser-known and less popularized: Casper van Elteren [333] and Hans Van Hateren [334]. According to the scientific model provided by Casper van Elteren [333], p. 1, the explanation for their convergence lies in constraints on degrees of freedom that cause system components to interact synergistically and non-trivially, producing novel aggregate outcomes and altering system behaviour. Van Elteren argued that (ibid.):\n“Emergence stems not from magical ingredients but from constraints on degrees of freedom, producing outcomes different from—not greater than—the sum of parts.”\nFor example, a phantom traffic jam or traffic shockwave moving backward due to traffic density can occur even without an accident or bottleneck. Traffic is a dynamic phenomenon in a many-particle system that simulates collective motion (interaction among vehicles when drivers see other vehicles), generating traffic jams similar to phase transitions and pattern formation in non-equilibrium many-particle systems [335], p. 2. Van Elteren’s insights, aligned with the principles of emergence in physics, could lead to a groundbreaking resolution of the longstanding debate between reductionists and holists.\nVan Hateren [334] has developed a theoretical system that operates with a high degree of autonomy. It integrates randomness in a targeted and cyclical manner with natural selection, creating a reassuring balance that yields strong emergent properties. Notably, van Hateren’s system, based on standard material components and processes, does not contradict the CCP principle. This theory relates to his [336] framework for understanding the functions of an organism, which can act as independent causal factors. This framework, an estimator theory of mind, aligns with “agential” goal-directed behavior, highlighting internal physiological or neural processes that reflect the organism’s fitness and adjust its variability accordingly. The basic conjecture for all life is as follows [337], p. 21:\n“All living organisms are proposed here to incorporate an internal process X that makes an estimate x of the organism’s own fitness f, which is produced by an external process F.”\nAs part of their goal-directedness, this function of estimation is essential for living organisms to account for their own evolutionary fitness, which ultimately governs behaviour and internal physiological processes. Based on this conjecture, Van Hateren derived strong emergent properties and ultimately a holistic theory of consciousness or mind.\nWhat is even more interesting is that Van Hateren’s framework, in his own words, is closely associated with the Darwinian understanding of evolution, which emphasises the differential reproductive success of organisms [337], p. 28. However, he not only established a link between Darwinism and self-organized physiological–thermodynamic attempts to explain the evolution of life, but also facilitated the integration of agentialism, emergence, and holism—a step beyond Bunge. A notable example of his model is the thalamocortical feedback loops, which, from a neurophysiological standpoint, provide a direct link from the periphery (sensory organs) to the cortex, where the auditory, visual, olfactory, and cognitive regions are located. The thalamus is the central sensorimotor relay station, while the cortex processes these stimuli and generates a responsive action if necessary. These structures together are a good example of an estimator of what we perceive as reality, which is then inverted to generate strong emergent consciousness [338].\nThese convergent models of holism and emergence, a project started by Bunge and many others, are promising and grounded in realistic assumptions about how various brain subsystems systematically construct consciousness through the coupling of the organism with its environment. Many of these models are currently under development. Emergence and holism will continue to captivate the imagination of scientists and philosophers. As inspiring concepts, they will certainly bring fresh insights to biology, or, conversely, biology may help shed more light on them.\n\n\n### 8. Conclusions\nUnderstanding the mechanisms underlying the complexity of life is an ever-evolving, perhaps the greatest, frontier in human knowledge, and it has become essential to the pursuit of integrative organismal biology [339]. Along this path, it is crucial to provide conceptual guidance and engage in ongoing reflection on the philosophical and theoretical foundations informed by contemporary complexity science. The science of complexity, together with the study of self-organization, has significantly transformed biology over the past few decades, influencing experimental and theoretical biologists, physicists, chemists, and philosophers in their study of the life sciences. It also offers more scientifically grounded guidance on the longstanding dispute between emergence and holism, making these terms more tangible and rooted in clear theoretical and mathematical-computational foundations. Pattern emergence and models of holistic complex organisms are advancing both clear scientific evidence for an emergentist holistic understanding of life and the much-needed operationalization of these concepts in scientific research practice.\nAmong many conceptual foundations, the thermodynamic and self-organization paradigm is most intriguing and inspiring, prompting new ideas for explaining the origin, evolution, and development of life. Based on the evidence presented in this paper, self-organization yields a crucial insight: the emergentist-holistic perspective on organisms offers a compelling framework for understanding the origin, evolution, and development of complex biological organisms in all their varieties, shapes, and sizes. Uncovering the roots of self-organization in biology is perhaps the prelude to what I call the science of “self-organizobiology,” a meeting place for different yet complementary ideas based on Prigogine’s “dissipative structures” and all the historical roots or streams of ideas and theories discussed throughout the paper.\nThis review highlights only a small selection of longstanding and recent ideas for self-organized biological systems at multiple scales, helping biologists, philosophers, and students to navigate the wide range of philosophical ideas that inspire the field. This brief overview of selected conceptual aspects, explicitly or implicitly related to complex biological systems, aims to inspire researchers and practitioners to ground their practices in a sound theoretical perspective and concurrent philosophical ideas. Each conceptual and theoretical framework discussed in the paper is only outlined to provide basic guidelines. For each of the topics mentioned, significant fields of research have involved many authors throughout the turbulent history of 20th-century science. Due to space constraints, they are not mentioned here, but their contributions in these areas are also of the utmost importance for 21st-century biology. At the end of the day, all scientists—biologists, physicists, chemists, medical doctors, philosophers, and others—contribute through various research efforts to the assembly of the mosaic called “life.”", "domain": "affective_neuroscience"}
{"source": "PMC13060137", "title": "Top-down regulation of ingestive behavior fragmentation", "text": "# Top-down regulation of ingestive behavior fragmentation\n\n## Abstract\nIn natural environments, animals rarely feed continuously to satiation; instead, feeding occurs in brief bouts separated by pauses. This fragmentation is thought to balance internal drives with external demands, yet its underlying neural mechanisms remain unclear. By combining bidirectional neural activity mapping and behavioral phenotyping, we identify a projection from the dorsal subiculum (dSub) of the hippocampus to the mammillary body (MB) as a key regulator of this fragmentation. Activity along the dSub–MB pathway tracks and gates the duration of individual feeding bouts, independent of homeostatic state. A simple bistable attractor model captures both dSub–MB neural dynamics and associated behaviors across optogenetic and behavioral perturbations. Together, these findings identify a top-down circuit mechanism that implements action selection in a naturalistic setting.\n\n## Full Text\n\n\n### The activity of dorsal subiculum inversely correlates with feeding bouts\nThe dorsal hippocampus encompasses structured areas with distinct functions and connectivity. We decided to first map the neural activity patterns across the dorsal hippocampus during natural feeding behaviors. In addition to the classic neuronal activity integrator cFos, we also incorporate an inverse activity marker pPDH, which marks the decrease of activity34 (Figure 1A). After overnight fasting, activities across dorsal hippocampus subfields (DG, CA3, CA1 and subiculum) generally increased, indicated either by an increase in cFos or a decrease in pPDH level (Figure 1B, 1D), consistent with a previous report35. One hour after re-feeding, we observed an increase of pPDH staining in the dorsal subiculum (Figure 1C) but not in other subregions, suggesting that feeding is associated with unique activity fluctuation in the dSub, motivating us to focus on this relatively underexplored area of hippocampus for its role in regulating feeding behaviors.\nBoth cFos and pPDH integrate neural activity over time. To better understand the temporal relationship between dSub activity and feeding, we therefore used fiber photometry to measure calcium dynamics in dSub. To compare dSub activity with a canonical feeding circuit, we also recorded neural activity of AgRP neurons of the arcuate nucleus of the hypothalamus (Figure 1F, 1K). Unlike AgRP neurons, which show a signature decrease in activity upon the start of feeding36, overall dSub activity levels remained similar before and after feeding (Figure 1I, 1N). However, further examination of dSub activity revealed structured dynamics, with lower activity during feeding bouts compared to intervals between bouts (Figure 1O). This correlation of neural activity with feeding bouts was not observed in AgRP neurons (Figure 1J). This result was further confirmed by single-unit recordings using Neuropixels (Figure 1P). The population firing rate of dSub neurons decreased during feeding bouts compared to intervals between bouts. Around half of dSub neurons are modulated by feeding bouts, among which the majority show lower activity during feeding bouts (Figure 1Q-1R). Taken together, our data reveal modulation of dSub activity that correlates with the microstructure of intra-meal feeding bouts, with dynamics that are distinct from those of the classic hypothalamic circuit underlying homeostatic feeding control.\n\n\n### dSub regulates feeding microstructure through its projection to the mammillary body\ndSub is a major output node of the hippocampus, although its function is less understood compared to CA137. To understand how dSub might contribute to the regulation of the feeding network, we mapped the efferent connections of this region. After expressing a fluorescent axon tracer (rCOMET38) from the dSub, we performed whole-brain tissue clearing and light-sheet microscopy to identify projections across the whole brain (Figure S3A). Fluorescence-based structural tensor analysis (STA)39,40 identified two main streams of extrahippocampal axonal projections: the anterior pathway that goes through the fornix and mainly terminates in the mammillary body (MB) and a group of anterior thalamic nuclei (ATN), and the posterior pathway that goes through the alveus-angular bundle and targets the entorhinal cortex (EC) (Figure S3B-S3E). Conversely, we injected the retrograde tracer cholera toxin subunit B (CTB) into the ATN, MB, and EC, and confirmed that retrograde tracing from all three regions labeled cell bodies in dSub (Figure S3G-S3H). Hence, our anterograde and retrograde anatomical tracing revealed the major extrahippocampal projections from dSub, largely consistently with the literature41,42.\nTo test whether any of these dSub projections regulate feeding behavior, we performed a projection-specific terminal photoinhibition using the light-activated inhibitory GPCR eOPN343. We expressed eOPN3 in dSub and implanted an optic fiber above MB, ATN, or EC to selectively inhibit each dSub projection pathway (Figure 2A-2B, S4C, S4G, S4K). None of the dSub projection inhibitions changed the overall amount of food intake (Figure 2D, 2G, 2J), whereas similar eOPN3-based photoinhibition in a well-established feeding center, the lateral hypothalamus (LH), resulted in an apparent decrease (Figure S4A-S4B, used as a technical control44-46). But interestingly, when we quantified the statistical properties of the feeding bout microstructure, we found that inhibition of the dSub-MB pathway, but not the other two, increased the duration of feeding bouts, as indicated by an increase in mean bout duration and a right shift of the distribution of bout duration (Figure 2E, 2H, 2K). Inter-bout intervals and latencies remained unchanged in all three cohorts (Figure 2F, 2I, 2L, S4C-S4N), suggesting that the dSub-MB pathway affects bout terminations, but not initiations.\nWe next optogenetically activated the dSub-MB projection using ChR2 (Figure 2N-2O). As with photoinhibition, food intake was not altered (Figure 2Q; using AgRP as a positive control (Figure S5A-S5B)). However, the effect on feeding fragmentation mirrored that of photoinhibition: feeding bouts were significantly shorter during the photoactivation session, while inter-bout intervals and latencies remained unchanged (Figure 2R, S5D-S5H). No bout duration or interval difference was found in the unstimulated light off session (Figure 2S, S5D-S5H). In addition, no general preference or aversion was associated with dSub-MB activation (Figure S5I). Together, these results indicate that the dSub-MB activity bi-directionally regulates the structure of feeding bouts without affecting the amount of food intake.\n\n\n### dSub-MB activity specifically tracks individual ingestion bouts\nAfter establishing the causal significance, we further measured the endogenous neural activity of the dSub-MB projection using fiber photometry (Figure 3A-3B). Similar to bulk dSub activity (Figure 1M), MB-projecting dSub neurons showed a time-locked decrease of activity at the initiation of each feeding bout, and an increase of activity at the termination (Figure 3C-3E), consistent with a role in feeding bout modulation. This activity pattern was consistent in both males and females (Figure S6A-S6B).\nBecause hippocampal neuronal activity is known to correlate with locomotor speed47,48, we tested whether the correlation between dSub-MB activity and feeding was confounded by locomotion. A multiple linear regression model showed that feeding bouts exhibited a stronger correlation with dSub-MB activity and accounted for a greater proportion of variance (Figure 3F-3H), indicating that feeding bouts are the predominant driver of the observed dSub-MB activity pattern.\nWe next tested whether the observed neural activity could be confounded with other forms of movement, such as jaw or forelimb activity. To this end, we recorded dSub-MB activity while mice tore apart a cotton pad to make a nest, a behavior that involves a similar motor repertoire of jaw and forelimb movements to feeding. In contrast to feeding bouts, cotton pad-tearing was not associated with changes in dSub-MB activity, and neural activity was even less correlated with bouts of pad-tearing than with locomotion speed (Figure 3I-3J, S6C-S6E). These results further demonstrate that dSub-MB activity tracks ingestion bouts instead of general motor behaviors. In addition, other motivated behaviors, such as investigation of a conspecific or a novel object, were not accompanied by changes in dSub-MB activity (Figure 3I-3J). Taken together, these results strongly indicate that dSub-MB activity is selectively correlated with ingestive bouts.\nNext, we tested whether dSub-MB activity is modulated by metabolic state and food type. Neither fasting nor cold-induced energy deficit49 altered the dSub-MB activity patterns associated with feeding bouts (Figure 3I-3J). Furthermore, during fast-induced feeding, the amplitude of calcium dynamics from early to late bouts did not change as the meal progressed (Figure S6F-S6G), suggesting that dSub-MB activity tracks feeding bout engagement rather than the hunger versus satiety state. In addition, feeding mice with different types of food, including a 60% high-fat diet and a liquid food (Ensure), resulted in similar dynamics of dSub-MB compared to a regular chow (Figure 3I-3J), indicating that the signal was not determined by caloric content, palatability, or physical form of the food. Indeed, we found water drinking was also accompanied by a similar pattern of dSub-MB activity (Figure 3I-3J). Together, these findings demonstrate that dSub-MB dynamics faithfully track individual ingestive bouts, independent of the animals’ metabolic state or the ingested content.\n\n\n### dSub-MB gates transition from feeding interruption to bout termination\nDuring feeding bouts, we sometimes noticed brief calcium transients that lasted for a few seconds (Figure 4A). Upon video examination, we found that these small events were associated with brief interruptions in feeding. To slow down feeding behavior for detailed examination, we adopted a paradigm in which mice were provided with a piece of pasta50,51. We found that calcium transients were associated behaviors such as brief looking around or moving before immediately resuming eating (Movie S1). We annotated these “intra-bout interruptions” in our full dataset and found that they were consistently associated with short calcium events, in contrast to the persistent rise in activity associated with bout termination (Figure 4B-4C). The distribution of time intervals between interruptions was roughly log-normal (Figure S7B). Interestingly, time intervals between bout terminations and the preceding interruption followed the same distribution (Figure S7C-S7D). This is consistent with feeding interruptions and terminations both arising from a common underlying renewal process, with each event in the process eliciting either a brief pause or a full termination of feeding.\nOur imaging of the dSub-MB projection is therefore suggestive of a bistable system, with a low-activity attractor during feeding and a high-activity attractor during other behaviors. Stochastic perturbations to this system during feeding can either resettle into the feeding attractor (interruptions) or transition the system into the non-feeding attractor (terminations). To formalize this intuition, we built a simple mathematical model and showed that it could recapitulate much of the phenomena associated with dSub-MB activity. Bistability is widespread in nonlinear dynamical systems, and can arise in neural networks via diverse cell-intrinsic, single population, and multipopulation mechanisms. For our model we selected the Wilson-Cowan model52 of interacting excitatory (E) and inhibitory (I) neuron populations, a well-studied system with bistable dynamics, though we note that similar behavior can be produced via many other means, and do not claim the E-I circuit should be taken literally as a model of dSub circuit architecture.\nWe constructed a Wilson-Cowan model of a single pair of E and I populations and assigned low and high activity of the model’s E population to represent feeding and non-feeding states, respectively (Figure 4D). We modeled intra-bout interruptions as a renewal process, where each interruption consists of a pulse of input to the model E population, with amplitude sampled from a Gaussian distribution with nonzero mean. When the system is in the low-activity feeding state, input pulses produce transient increases in the population activity. Sufficiently large inputs will push the system out of the feeding attractor, thus ending a feeding bout (Figure S8B). Both the E and the I populations show modulation by feeding bouts, consistent with our Neuropixels recording (Figure S8C).\nTuning the event rate and amplitude of the renewal process input allowed us to tune our model such that it produced feeding bouts with statistical properties matching the real behavior data (Figure S8H, S8J). Consideration of the model then suggested two hypotheses for how perturbations to the dSub-MB projection could change feeding bout structure: neural activation might alter (1) the rate of interruption pulses, or (2) their amplitude relative to the energy threshold between states (Figure 4E).\nTo test these hypotheses, we re-analyzed our optogenetic manipulation data of both eOPN3 and ChR2. We found that neither optogenetic activation nor inhibition affected the total frequency of interruptions and terminations (Figure 4F), and that the renewal statistics of interruption and termination bouts were unchanged by either manipulation (Figure S8D-S8G), disputing the first hypothesis. But strikingly, the ratio of terminations to interruptions increased during ChR2-mediated activation and decreased during eOPN3-medinated inhibition (Figure 4G). These results support the second hypothesis, that stimulation of dSub-MB does not alter the rate of interruptions; rather, it increases the likelihood that interruptions will transition to full termination of a feeding bout.\nFinally, we showed that a simple way to match these effects in the model is by current injection into the model neural populations. Specifically, injection of negative (inhibitory) current into the E population increased the energy threshold and shifted the model towards longer bouts in the feeding state, matching the experimental result of the eOPN3-mediated inhibition (Figure 4H-I). By contrast, injection of positive current to the E population reduced the energy threshold and shifted the model to shorter bout durations, matching the ChR2-mediated activation results (Figure 4J-K). Thus our simple model can match both the neural activity, the animal behavior, and the result of circuit manipulation in the dSub-MB projection. Altogether, our experimental data and mathematical model provide a robust framework to understand how control of feeding fragmentation can be achieved by tuning the energy threshold between states in a bistable system.\n\n\n### Visual threat shortens feeding bouts by increasing interruptions\nOur model succinctly explains how photoactivation and inhibition of dSub-MB alter feeding structures by changing the energy threshold between attractor states of a neural network. Intriguingly, the model also predicts that it should be possible to shorten feeding bouts by increasing the interruption rate without changing the gating threshold. The model further predicts that a perturbation that changes the rate of interruptions should leave the level of dSub-MB neural activity in the feeding and nonfeeding states unchanged. To test whether this prediction holds in real experiments, we sought alternative means of inducing feeding bout fragmentation. We found that an external threat cue—the well-established looming disc paradigm53-55—was capable of perturbing feeding behavior by increasing animals’ vigilance (Figure 4L). Presentation of a looming disc prior to food introduction led to shorter feeding bouts, although the reduction was more prominent and longer lasting in females compared to male mice (Figure 4M, S9A). Quantification of latency to the first feeding bout confirmed the presence of sex differences, again with a more pronounced phenotype in females (Figure S9E-S9F).\nInterestingly, the looming disk exposure did not directly alter dSub-MB activity in either sex (Figure 4N, S9B). Thus, consistent with our model’s prediction, the shortening of feeding bouts in the presence of the looming disc was characterized by an increase in the total frequency of interruptions (Figure 4O, S9C) without altering the proportion of terminations (Figure 4P, S9D). Altogether, these findings demonstrate that our model can explain the top-down regulation of feeding fragmentation in both experimental and naturalistic settings.\n\n\n### Discussion\nIn this study, we identified a top-down hippocampal-hypothalamic circuit that supports the natural fragmentation of feeding behaviors. Within each feeding bout, transient input to the dSub-MB pathway perturbs the neural state, and dSub-MB activity gates the likelihood of behavioral transitions. This circuit mechanism is distinct from the canonical homeostatic regulation of feeding, as it operates independently of metabolic state and caloric intake. More broadly, our results indicate that hippocampal output directly regulates the stochasticity of moment-to-moment action switching, thereby enabling flexible transitions between competing actions in response to internal needs and environmental contingencies. This finding echoes the recent findings that the hippocampus underlies trajectory planning in navigation tasks56,57, and extends its functional role to general action selection beyond spatial navigation.\nIn addition to its well-known role in memory and spatial navigation, the hippocampus has been implicated in feeding control. Earlier studies in humans and rodents showed that the hippocampus negatively regulates food intake25,26,32,33,58-60. Recent works have dissected several hippocampal outputs, including projections to the septum, the lateral hypothalamus, and the nucleus accumbens, that regulate feeding, mainly in the paradigm of contextual feeding27-30,61,62. Our work complements these findings to support a unifying role for the hippocampus in integrating multisensory information to exert top-down control over broader behaviors. Within this view, the dSub-MB circuit serves as a major hippocampal output that translates an integrated hippocampal cognitive map into downstream behavioral control. More broadly, this regulation of ingestion bout termination might represent a general role of the hippocampus in the transition from consummatory behaviors (hippocampal non-theta states-associated) to preparatory or appetitive behaviors (theta states-associated)63,64, although the direct test of this hypothesis is beyond the scope of the current study. Furthermore, the exact source of perturbation input to the circuit, which likely arises from the upstream hippocampal-entorhinal network, remains to be further investigated.\nThe connection between the hippocampus and MB was described as early as in 1937 as a component of the “Papez circuit”65, originally proposed to mediate emotional processing but still poorly understood66. Previous studies have shown that MB is anatomically connected to the reticular formation in the brainstem67-69, where reside neurons that mediates arousal and motor functions. These connections suggest that the dSub-MB pathway may promote a heightened arousal state, allowing animals to interrupt feeding bouts and remain responsive to external stimuli.\nSetting priorities between competing physiological and environmental cues is critical to survival: animals must eat to meet their nutritional needs, but not at the cost of missing signs of an approaching predator. It is rarely the case that a single external cue or physiological drive will fully command an animal’s behavior, driving urgent responses to an imminent survival threat. Instead, most of the time, animals face a variety of needs of varying urgencies, and they structure their actions to balance all of these needs in parallel, freely toggling between self-tending, ingestive, social, and vigilance behaviors. The top-down regulation of behavioral fragmentation we uncover here reveals a core feature of feeding, namely its organization into bouts, that has been largely overlooked by the feeding literature because it reflects not the intensity of an animal’s drive to eat but how the animal balances this with other tasks of living. Thus our work provides a key insight into how the drive to eat informs the broader problem of action selection in naturalistic settings.\n\n\n### Materials and Methods\nAll animal experiments were performed in accordance with the National Institutes of Health Guide for the Care and Use of Laboratory Animals and approved by Scripps Research. C57BL/6J mice (Jackson Laboratory; C57BL/6J; stock #000664) and AgRP-Cre mice (Jackson Laboratory; Agrptm1(cre)Lowl/J; stock #012899) were used. For wild-type mice, male mice were used for activity marker staining and optogenetics experiments, and both sexes were used for fiber photometry experiments; for AgRP-Cre mice, both sexes were used. Mice were group housed and maintained on a 12 h light: 12 h dark cycle with food and water ad libitum unless specified. Mice were assigned to experimental groups based on balanced body weight.\nAAV9-Syn-GCaMP6m-WPRE-SV40 (Addgene #100841, 7E+12 vg/mL), AAV9-CAG-Flex-GCaMP6m-WPRE-SV40 (Addgene #100839, 1.3E+13 vg/mL), AAV1-CaMKIIa(0.4)-eOPN3-mScarlet-WPRE (Addgene #12712, 3E+12 vg/mL), AAV1-CaMKIIa-mCherry (Addgene #114469, 3E+12 vg/mL), AAV9-hSyn-hChR2(H134R)-eYFP (Addgene #26973, 3E+12 vg/mL), AAV9-hSyn1-eYFP (Addgene #117382, 3E+12 vg/mL), AAV9-EF1a-DIO-hChR2(H134R)-EYFP-WPRE-HGHpA (Addgene #20298, 2.3E+13 vg/mL), AAVretro-syn-jGCaMP8m-WPRE (Addgene #162375, 1.9E+13 vg/mL) were obtained from Addgene. AAV8-CaMKIIa-rCOMET (3.6E+13 vg/mL) was obtained from the Stanford viral core. The viruses were diluted to the respective titer using DPBS. CTB-488, CTB-594 and CTB-647 (C22841, C34777, C34778, Invitrogen) were diluted to 0.2% (w/w) using DPBS.\nMice were anaesthetized with 1.5% isoflurane. The skull was mounted onto a stereotaxic frame (David Kopf Instruments) and balanced using the bregma and lambda system. The virus was infused at 100 nL min−1 through a glass pipette with a nanoinjector (Nanoliter 2020 Injector, 300704, World Precision Instrument). The pipette was kept at the injection site for 5-10 min before withdrawing. Mice were allowed to recover for at least 10 days before experiments. For fiber implant, fiber optics (200 pm core, 0.39 NA for optogenetics, and 400 pm core, 0.50 NA for fiber photometry) were lowered to the site, and the cannulae were then fixed onto the skull using dental cement (C&B-Metabond, Parkell).\nThe following coordinates were used for injections: dSub (A/P −3.7 mm, M/L 2.15 mm, D/V 1.8 mm), Arc (A/P −1.6 mm, M/L 0.3 mm, D/V 5.7 mm), MB (A/P −2.7 mm, M/L 0.15 mm, D/V 5.2 mm), LH (A/P −1.5 mm, M/L 1.0 mm, D/V 5.0 mm). The following coordinates were used for fiber implants: dSub (A/P −3.7 mm, M/L 2.15 mm, D/V 1.6 mm), Arc (A/P −1.6 mm, M/L 0.2 mm, D/V 5.5 mm), ATN (A/P 1.0 mm, M/L, 1.25 mm, 2.0 mm, with a 10° angle), MB (A/P 2.7 mm, M/L 0.0 mm, D/V 5.0 mm), EC (A/P −4.7 mm, M/L 3.5 mm, D/V 2.9 mm), LH (A/P −1.5 mm, M/L 1.0 mm, D/V 4.8 mm, with a 10° angle). All coordinates were relative to the Bregma point. The following injection volume were used for each experiment: 250 nL in dSub for dSub fiber photometry, 500 nL in Arc for AgRP fiber photometry, 300 nL in dSub for anterograde tracing from dSub, 500 nL in ATN, MB and EC for CTB retrograde tracing to dSub, 150 nL in dSub for dSub projection-specific optogenetics experiments, 300 nL in LH for LH optogenetics experiment, 500 nL in Arc for AgRP optogenetics experiment, 500 nL in MB for dSub-MB fiber photometry.\nFor fasting–refeeding experiments, mice were food-deprived for 16 h prior to testing. During recording, mice were placed in a tall chamber, and the implanted cannula was connected to the fiber photometry setup. After a 10 min habituation period, a piece of food (standard chow or HFD) or a water bottle containing Ensure was introduced, and calcium signals together with behavior were recorded for 30 min. In the non-fasted feeding condition, mice had ad libitum access to food prior to the session and were recorded for 1 h with a piece of chow. For thirst–drinking experiments, mice were water-deprived for 16 h, provided access to water, and recorded for 10 min. Cold-induced feeding was conducted as previously described 49, and nesting behavior under cold conditions was examined similarly, with a cotton pad provided. For investigation assays, a novel object (15 mL Eppendorf tube cap), a male mouse, or a female mouse was placed in the chamber, and behavior was recorded for 10 min.\nVideo recording of behavior was used to manually annotate and timestamp feeding and other behaviors using a behavior annotator 70. Intra-bout interruptions were defined as feeding intervals shorter than 4 s (see Figure S7A).\nFor speed analysis, the position of the mouse was tracked with DeepLabCut 71 for the calculation of speed for regression analysis.\nMice were attached to a patch fiber (400 μm core, 0.57 NA, Doric lenses) connected to 470 and 410 nm light sources. Fiber photometry acquisition setup and the pre-processing have previously been described 72. The reference-subtracted signal was z-scored and aligned to the behavior events. For AUC analysis, the average signal within 10 s before the event was used as the baseline, and the average signal of min{20 s, behavior duration} after the event was calculated as AUC.\nMice were anesthetized with isoflurane and placed in a stereotaxic frame. The skull was cleaned, dried, and marked with stereotaxic coordinates. A Neuropixels probe 73 was assembled using a custom-made holder 74. The implant was slowly lowered into the dorsal subiculum (A/P −3.08 mm, M/L 1.50 mm, D/V 1.60 mm) at a rate of 2 μm s−1. Fast-refeeding recording experiments were performed similar to fiber photometry recording experiments. Recordings were performed using a setup enabling the use of Open Ephys and synchronized with the DaqBox 75. Signals were acquired continuously at 30 kHz using Open Ephys 76 and synchronized with video recordings of behavior. The combined files were processed with Kilosort4 77 and subsequently manually curated in Phy2 78 based on areas derived from the anatomical reconstruction of the probe position. Relevant outputs were extracted through a custom Python script and neurons were manually classified into pyramidal or interneuron based on spike waveform shape 42,79,80. TTP was defined as the time between the minimum of the second peak and the maximum of the third peak within the action potential waveform with the threshold being 0.4. These neurons were further classified as inhibited or excited based on their activity during feeding bouts: neurons whose average firing rate during feeding bouts were significantly higher (lower) than bout intervals were considered as bout-activated (-inhibited) neurons.\nMice were connected to a light source with an optical patch cord (200 μm core, 0.37 NA, Doric lenses). For eOPN3 inhibition experiments, green LED light (554 nm, MINTF4, Thorlabs) at 2.5 mW power was delivered in 10 ms pulses at 50 Hz 81. Mice were then acclimated to the behavior chamber for 10 min, and then provided with a piece of chow, and recorded for 20 min with photostimulation. For ChR2 activation experiments, blue laser light (473 nm, Intelligent Optogenetics System, RWD) at 12 mW power was delivered in 10 ms pulses at 20 Hz. Mice were recorded for 10 min with photostimulation, and then 10 min without. Food intake was manually measured by the food weight before and after each session.\nFor the RTPP experiment, mice were placed in a two-chamber acrylic box (60 × 25 × 30 cm), each side having different pattern on the wall. The location of the mouse was tracked and used to control the optogenetic machine using the TrackControl toolbox 82. One side was paired with optogenetic stimulation, and this side was randomized across mice. A total of 30 min was recorded and analyzed.\nMice expressing GCaMP and implanted with an optical fiber were connected to the fiber photometry recording system and placed in a tall chamber. A chow pellet was fixed in one corner of the chamber and covered with a metal mesh to prevent access. A shelter was positioned in another corner. Mice were allowed to acclimate to the chamber for 1 min prior to the start of recording. For the looming disc (LD) group, continuous looming disc stimuli 53 (black disc on a gray background; ~20° visual angle; 250 ms expansion, 250 ms hold at maximum size, 500 ms interval) were presented from an overhead screen beginning 1 min after recording onset. 1 min after the onset of the looming stimulation, the metal mesh covering the food was removed, allowing access to the chow. Mice were then allowed to freely consume the food for 20 minutes. Behavioral responses were video recorded and subsequently analyzed.\nMice were terminally anesthetized with isoflurane and intracardially perfused with PBS and 4% PFA. Brains were dissected and post-fixed in 4% PFA overnight at 4 °C. Brains were then dehydrated in 30% sucrose for 24 h and embedded in OCT (Tissue-Tek O.C.T. Compound, Sakura). Coronal sections were prepared using a Cryostat (FS800A, RWD). 80 μm sections were cut for histology without staining, and 50 μm sections were cut for immunostaining.\nFor immunostaining of cFos and pPDH, free-floating sections were blocked with blocking buffer (5% normal donkey serum in PBS with 0.3% Triton X-100 (PBST)) at room temperature for 1 h, and then incubated with primary antibodies (rabbit monoclonal anti-pPDH (Ser293) (Cell Signaling #37115), mouse monoclonal anti-c-Fos (Santa Cruz Biotechnology #sc-271243), both 1:500 dilution) in blocking buffer at 4 °C overnight. Slices were then washed by PBST for 3 × 15 min, and incubated with secondary antibodies (Donkey Anti-Mouse IgG Antibody (Alexa Fluor 488), Donkey Anti-Rabbit IgG Antibody (Alexa Fluor 647), Jackson ImmunoResearch, both 1:500 dilution) in blocking buffer at room temperature for 1 h. After washing with PBST for 3 × 15 min, slices were stained with DAPI (5 nM in PBS) for 30 min, and then mounted in fluoromount-G (Electron Microscopy Science) for imaging using a slide scanner (VS200, Olympus) or a confocal microscope (FV3000 or FV4000, Olympus).\nFor quantification of cFos, positive stained cells were identified with a customized ImageJ macro script using the thresholding and particle analysis function. For pPDH intensity, the average intensity of the whole region was quantified. The cell density and intensity were averaged, weighed by area, across multiple sections of the same mouse to obtain the final value.\nWhole brains were cleared using the HYBRiD protocol 83. Cleared whole brains were RI-matched in EasyIndex (RI = 1.52, LifeCanvas Technologies) overnight, mounted in 1% agarose in EasyIndex for imaging, and then equilibrated overnight in the immersion oil (RI = 1.52). Imaging was performed using a lightsheet microscope (SmartSPIM, LifeCanvas Technologies) with a 3.6x objective, 0.28 NA, with imaging resolution 1.8 μm, 1.8 μm, 2 μm, xyz voxel size. Raw images were then destriped and stitched for further processing. Images were visualized in IMARIS.\nThe images were then downsampled by 2x, and median-filtered on the xy plane to remove the stripes on the z axis. Fluorescence-based STA were performed using customized scripts adapted from MIRACL 39. Seeds were manually drawn in IMARIS. In brief, the third eigenvector field of the Hessian matrix was used to track the streamlines from the seed. Streamlines were filtered by turning angle, length, image intensity and coherence. Streamlines were visualized in MRview.\nThe dSub-MB circuit was modeled using a stochastic Wilson-Cowan model 52 with an excitatory population and an inhibitory population, following\n\n{τEdEdt=−E+sE(wEEE−wIEI+current)τIdIdt=−I+sI(wEIE−wIII)}\n\nwhere τE=2s and τI=0.4s are the time constants, and wEE=wII=15 and wIE=wEI=10 are the synaptic strengths. Current was set to −0.7 and 0.85 for eOPN3 and ChR2, respectively. sE and sI are the gain functions of the populations, following\n\nsE(x)=sI(x)=11+e−a(x−θ)\n\nwhere a=1 and θ=8. At each interruption, E was updated according to E←E+Δ where the pulse Δ∼N(0.56,0.112) is the transient input. Interruptions follow a renewal process whose interval follows a lognormal distribution fitted from data, log(interval∕s)∼N(2.22,0.992). Gaussian noise with a mean of 0 and a standard deviation of 0.1055 was added to the equations to capture stochastic variability. The equations were simulated using the Euler–Maruyama method with a time step of 0.02 s.\nFor quasi-static approximation, because τI≪τE, I quickly converges to its steady state at given E. The steady state I, denoted I^(E), was calculated through solving dI∕dt=0. This I^(E) was then plugged into the dE∕dt equation to obtain a 1-dimensional system of E\n\nτEdEdt=−E+sE(wEEE−wIEI^(E)+current)\nThen, the potential energy V is calculated as the negative integral of dE∕dt, zeroed at the threshold of E\n\nV(E)=−∫EthEdEdtdE\nStatistical analysis was performed using Prism 10 (GraphPad) for t tests and ANOVA, Python scripts for permutation KS tests, and R or Python scripts for GLMs. All statistical methods and numbers of biological replicates are indicated in the corresponding figure legends. P value of 0.05 or less was considered statistically significant.\n\n\n### Animals\nAll animal experiments were performed in accordance with the National Institutes of Health Guide for the Care and Use of Laboratory Animals and approved by Scripps Research. C57BL/6J mice (Jackson Laboratory; C57BL/6J; stock #000664) and AgRP-Cre mice (Jackson Laboratory; Agrptm1(cre)Lowl/J; stock #012899) were used. For wild-type mice, male mice were used for activity marker staining and optogenetics experiments, and both sexes were used for fiber photometry experiments; for AgRP-Cre mice, both sexes were used. Mice were group housed and maintained on a 12 h light: 12 h dark cycle with food and water ad libitum unless specified. Mice were assigned to experimental groups based on balanced body weight.\n\n\n### Viral injections and stereotaxic surgery\nAAV9-Syn-GCaMP6m-WPRE-SV40 (Addgene #100841, 7E+12 vg/mL), AAV9-CAG-Flex-GCaMP6m-WPRE-SV40 (Addgene #100839, 1.3E+13 vg/mL), AAV1-CaMKIIa(0.4)-eOPN3-mScarlet-WPRE (Addgene #12712, 3E+12 vg/mL), AAV1-CaMKIIa-mCherry (Addgene #114469, 3E+12 vg/mL), AAV9-hSyn-hChR2(H134R)-eYFP (Addgene #26973, 3E+12 vg/mL), AAV9-hSyn1-eYFP (Addgene #117382, 3E+12 vg/mL), AAV9-EF1a-DIO-hChR2(H134R)-EYFP-WPRE-HGHpA (Addgene #20298, 2.3E+13 vg/mL), AAVretro-syn-jGCaMP8m-WPRE (Addgene #162375, 1.9E+13 vg/mL) were obtained from Addgene. AAV8-CaMKIIa-rCOMET (3.6E+13 vg/mL) was obtained from the Stanford viral core. The viruses were diluted to the respective titer using DPBS. CTB-488, CTB-594 and CTB-647 (C22841, C34777, C34778, Invitrogen) were diluted to 0.2% (w/w) using DPBS.\nMice were anaesthetized with 1.5% isoflurane. The skull was mounted onto a stereotaxic frame (David Kopf Instruments) and balanced using the bregma and lambda system. The virus was infused at 100 nL min−1 through a glass pipette with a nanoinjector (Nanoliter 2020 Injector, 300704, World Precision Instrument). The pipette was kept at the injection site for 5-10 min before withdrawing. Mice were allowed to recover for at least 10 days before experiments. For fiber implant, fiber optics (200 pm core, 0.39 NA for optogenetics, and 400 pm core, 0.50 NA for fiber photometry) were lowered to the site, and the cannulae were then fixed onto the skull using dental cement (C&B-Metabond, Parkell).\nThe following coordinates were used for injections: dSub (A/P −3.7 mm, M/L 2.15 mm, D/V 1.8 mm), Arc (A/P −1.6 mm, M/L 0.3 mm, D/V 5.7 mm), MB (A/P −2.7 mm, M/L 0.15 mm, D/V 5.2 mm), LH (A/P −1.5 mm, M/L 1.0 mm, D/V 5.0 mm). The following coordinates were used for fiber implants: dSub (A/P −3.7 mm, M/L 2.15 mm, D/V 1.6 mm), Arc (A/P −1.6 mm, M/L 0.2 mm, D/V 5.5 mm), ATN (A/P 1.0 mm, M/L, 1.25 mm, 2.0 mm, with a 10° angle), MB (A/P 2.7 mm, M/L 0.0 mm, D/V 5.0 mm), EC (A/P −4.7 mm, M/L 3.5 mm, D/V 2.9 mm), LH (A/P −1.5 mm, M/L 1.0 mm, D/V 4.8 mm, with a 10° angle). All coordinates were relative to the Bregma point. The following injection volume were used for each experiment: 250 nL in dSub for dSub fiber photometry, 500 nL in Arc for AgRP fiber photometry, 300 nL in dSub for anterograde tracing from dSub, 500 nL in ATN, MB and EC for CTB retrograde tracing to dSub, 150 nL in dSub for dSub projection-specific optogenetics experiments, 300 nL in LH for LH optogenetics experiment, 500 nL in Arc for AgRP optogenetics experiment, 500 nL in MB for dSub-MB fiber photometry.\n\n\n### Behaviors\nFor fasting–refeeding experiments, mice were food-deprived for 16 h prior to testing. During recording, mice were placed in a tall chamber, and the implanted cannula was connected to the fiber photometry setup. After a 10 min habituation period, a piece of food (standard chow or HFD) or a water bottle containing Ensure was introduced, and calcium signals together with behavior were recorded for 30 min. In the non-fasted feeding condition, mice had ad libitum access to food prior to the session and were recorded for 1 h with a piece of chow. For thirst–drinking experiments, mice were water-deprived for 16 h, provided access to water, and recorded for 10 min. Cold-induced feeding was conducted as previously described 49, and nesting behavior under cold conditions was examined similarly, with a cotton pad provided. For investigation assays, a novel object (15 mL Eppendorf tube cap), a male mouse, or a female mouse was placed in the chamber, and behavior was recorded for 10 min.\nVideo recording of behavior was used to manually annotate and timestamp feeding and other behaviors using a behavior annotator 70. Intra-bout interruptions were defined as feeding intervals shorter than 4 s (see Figure S7A).\nFor speed analysis, the position of the mouse was tracked with DeepLabCut 71 for the calculation of speed for regression analysis.\n\n\n### Fiber photometry\nMice were attached to a patch fiber (400 μm core, 0.57 NA, Doric lenses) connected to 470 and 410 nm light sources. Fiber photometry acquisition setup and the pre-processing have previously been described 72. The reference-subtracted signal was z-scored and aligned to the behavior events. For AUC analysis, the average signal within 10 s before the event was used as the baseline, and the average signal of min{20 s, behavior duration} after the event was calculated as AUC.\n\n\n### Electrophysiology\nMice were anesthetized with isoflurane and placed in a stereotaxic frame. The skull was cleaned, dried, and marked with stereotaxic coordinates. A Neuropixels probe 73 was assembled using a custom-made holder 74. The implant was slowly lowered into the dorsal subiculum (A/P −3.08 mm, M/L 1.50 mm, D/V 1.60 mm) at a rate of 2 μm s−1. Fast-refeeding recording experiments were performed similar to fiber photometry recording experiments. Recordings were performed using a setup enabling the use of Open Ephys and synchronized with the DaqBox 75. Signals were acquired continuously at 30 kHz using Open Ephys 76 and synchronized with video recordings of behavior. The combined files were processed with Kilosort4 77 and subsequently manually curated in Phy2 78 based on areas derived from the anatomical reconstruction of the probe position. Relevant outputs were extracted through a custom Python script and neurons were manually classified into pyramidal or interneuron based on spike waveform shape 42,79,80. TTP was defined as the time between the minimum of the second peak and the maximum of the third peak within the action potential waveform with the threshold being 0.4. These neurons were further classified as inhibited or excited based on their activity during feeding bouts: neurons whose average firing rate during feeding bouts were significantly higher (lower) than bout intervals were considered as bout-activated (-inhibited) neurons.\n\n\n### Optogenetics\nMice were connected to a light source with an optical patch cord (200 μm core, 0.37 NA, Doric lenses). For eOPN3 inhibition experiments, green LED light (554 nm, MINTF4, Thorlabs) at 2.5 mW power was delivered in 10 ms pulses at 50 Hz 81. Mice were then acclimated to the behavior chamber for 10 min, and then provided with a piece of chow, and recorded for 20 min with photostimulation. For ChR2 activation experiments, blue laser light (473 nm, Intelligent Optogenetics System, RWD) at 12 mW power was delivered in 10 ms pulses at 20 Hz. Mice were recorded for 10 min with photostimulation, and then 10 min without. Food intake was manually measured by the food weight before and after each session.\nFor the RTPP experiment, mice were placed in a two-chamber acrylic box (60 × 25 × 30 cm), each side having different pattern on the wall. The location of the mouse was tracked and used to control the optogenetic machine using the TrackControl toolbox 82. One side was paired with optogenetic stimulation, and this side was randomized across mice. A total of 30 min was recorded and analyzed.\n\n\n### Looming disc experiment\nMice expressing GCaMP and implanted with an optical fiber were connected to the fiber photometry recording system and placed in a tall chamber. A chow pellet was fixed in one corner of the chamber and covered with a metal mesh to prevent access. A shelter was positioned in another corner. Mice were allowed to acclimate to the chamber for 1 min prior to the start of recording. For the looming disc (LD) group, continuous looming disc stimuli 53 (black disc on a gray background; ~20° visual angle; 250 ms expansion, 250 ms hold at maximum size, 500 ms interval) were presented from an overhead screen beginning 1 min after recording onset. 1 min after the onset of the looming stimulation, the metal mesh covering the food was removed, allowing access to the chow. Mice were then allowed to freely consume the food for 20 minutes. Behavioral responses were video recorded and subsequently analyzed.\n\n\n### Histology and immunohistochemistry\nMice were terminally anesthetized with isoflurane and intracardially perfused with PBS and 4% PFA. Brains were dissected and post-fixed in 4% PFA overnight at 4 °C. Brains were then dehydrated in 30% sucrose for 24 h and embedded in OCT (Tissue-Tek O.C.T. Compound, Sakura). Coronal sections were prepared using a Cryostat (FS800A, RWD). 80 μm sections were cut for histology without staining, and 50 μm sections were cut for immunostaining.\nFor immunostaining of cFos and pPDH, free-floating sections were blocked with blocking buffer (5% normal donkey serum in PBS with 0.3% Triton X-100 (PBST)) at room temperature for 1 h, and then incubated with primary antibodies (rabbit monoclonal anti-pPDH (Ser293) (Cell Signaling #37115), mouse monoclonal anti-c-Fos (Santa Cruz Biotechnology #sc-271243), both 1:500 dilution) in blocking buffer at 4 °C overnight. Slices were then washed by PBST for 3 × 15 min, and incubated with secondary antibodies (Donkey Anti-Mouse IgG Antibody (Alexa Fluor 488), Donkey Anti-Rabbit IgG Antibody (Alexa Fluor 647), Jackson ImmunoResearch, both 1:500 dilution) in blocking buffer at room temperature for 1 h. After washing with PBST for 3 × 15 min, slices were stained with DAPI (5 nM in PBS) for 30 min, and then mounted in fluoromount-G (Electron Microscopy Science) for imaging using a slide scanner (VS200, Olympus) or a confocal microscope (FV3000 or FV4000, Olympus).\nFor quantification of cFos, positive stained cells were identified with a customized ImageJ macro script using the thresholding and particle analysis function. For pPDH intensity, the average intensity of the whole region was quantified. The cell density and intensity were averaged, weighed by area, across multiple sections of the same mouse to obtain the final value.\n\n\n### Tissue clearing, lightsheet imaging, and STA\nWhole brains were cleared using the HYBRiD protocol 83. Cleared whole brains were RI-matched in EasyIndex (RI = 1.52, LifeCanvas Technologies) overnight, mounted in 1% agarose in EasyIndex for imaging, and then equilibrated overnight in the immersion oil (RI = 1.52). Imaging was performed using a lightsheet microscope (SmartSPIM, LifeCanvas Technologies) with a 3.6x objective, 0.28 NA, with imaging resolution 1.8 μm, 1.8 μm, 2 μm, xyz voxel size. Raw images were then destriped and stitched for further processing. Images were visualized in IMARIS.\nThe images were then downsampled by 2x, and median-filtered on the xy plane to remove the stripes on the z axis. Fluorescence-based STA were performed using customized scripts adapted from MIRACL 39. Seeds were manually drawn in IMARIS. In brief, the third eigenvector field of the Hessian matrix was used to track the streamlines from the seed. Streamlines were filtered by turning angle, length, image intensity and coherence. Streamlines were visualized in MRview.\n\n\n### Computational modeling\nThe dSub-MB circuit was modeled using a stochastic Wilson-Cowan model 52 with an excitatory population and an inhibitory population, following\n\n{τEdEdt=−E+sE(wEEE−wIEI+current)τIdIdt=−I+sI(wEIE−wIII)}\n\nwhere τE=2s and τI=0.4s are the time constants, and wEE=wII=15 and wIE=wEI=10 are the synaptic strengths. Current was set to −0.7 and 0.85 for eOPN3 and ChR2, respectively. sE and sI are the gain functions of the populations, following\n\nsE(x)=sI(x)=11+e−a(x−θ)\n\nwhere a=1 and θ=8. At each interruption, E was updated according to E←E+Δ where the pulse Δ∼N(0.56,0.112) is the transient input. Interruptions follow a renewal process whose interval follows a lognormal distribution fitted from data, log(interval∕s)∼N(2.22,0.992). Gaussian noise with a mean of 0 and a standard deviation of 0.1055 was added to the equations to capture stochastic variability. The equations were simulated using the Euler–Maruyama method with a time step of 0.02 s.\nFor quasi-static approximation, because τI≪τE, I quickly converges to its steady state at given E. The steady state I, denoted I^(E), was calculated through solving dI∕dt=0. This I^(E) was then plugged into the dE∕dt equation to obtain a 1-dimensional system of E\n\nτEdEdt=−E+sE(wEEE−wIEI^(E)+current)\nThen, the potential energy V is calculated as the negative integral of dE∕dt, zeroed at the threshold of E\n\nV(E)=−∫EthEdEdtdE\n\n\n### Statistics\nStatistical analysis was performed using Prism 10 (GraphPad) for t tests and ANOVA, Python scripts for permutation KS tests, and R or Python scripts for GLMs. All statistical methods and numbers of biological replicates are indicated in the corresponding figure legends. P value of 0.05 or less was considered statistically significant.", "domain": "affective_neuroscience"}
{"source": "PMC13059084", "title": "“Active Inference. The Free Energy Principle in Mind, Brain, and Behavior”", "text": "# “Active Inference. The Free Energy Principle in Mind, Brain, and Behavior”\n\n## Abstract\nThis book is an introduction to the Free Energy Principle (FEP) and Active Inference. The FEP has been described as new paradigm with potential to unify the biological and cognitive sciences. According to the FEP, living organisms persist by minimizing their free energy (which can be variously translated as uncertainty, surprise, prediction error, or discrepancies between model and world). Active Inference means that we can resolve uncertainty (or discrepancies between model and world) in basically two ways: by perception (i.e., changing our mind to fit the world) and by action (i.e., changing the world to make it fit our preferences and beliefs). The FEP and Active Inference represent a conceptual framework that may have potential to contribute to a unification of psychological science.\n\n## Full Text\n\n\n### The Free Energy Principle\nAs described by Parr et al. (2022), the main question addressed by this theoretical approach is how “living organisms persist while engaging in adaptive exchanges with their environment” (p. 3). The basic answer they provide is that this is done by minimizing their free energy. This can be understood in the context of the second law of thermodynamics, according to which entropy (i.e., disorder) tends to increase over time. Living organisms, in contrast, show an opposite tendency to increased order (biological growth and development, increased knowledge about the world, etc.). To minimize free energy is to reduce entropy.\nThe second law of thermodynamics applies to closed systems, whereas living organisms are open systems in continuous interaction with their environment. Living organisms are constantly engaged in reciprocal interactions with their environment, by means of action and perception.\nLiving organisms can only maintain their bodily integrity by exerting adaptive control over the action-perception loop. This means acting to solicit sensory observations that either correspond to desired outcomes or goals (e.g., the sensations that accompany secure nutrients and shelter for simple organisms, or friends and jobs for more complex ones) or help in making sense of the world (e.g., informing the organism about its surroundings). (Parr et al., 2022, p. 3-4)\nBasically, the free energy principle (FEP) involves the assumption that, to maintain its organization as an adaptive living system, the organism needs to minimize the free energy in its interactions with the environment. This leads to the question of what more precisely is minimized in this process.\nWhat is minimized is described by the authors variously as “free energy”, “entropy”, “surprise”, “prediction error”, “uncertainty”, and “discrepancies between model and world”. Here are some examples of formulations:\nthis common objective has been described in various (informal and formal) ways, including the minimization of surprise, entropy, uncertainty, prediction error, or (variational) free energy. These terms are related to one another but sometimes their relations are not immediately clear, causing some confusion. (Parr et al., 2022, p. 25)\nunder some conditions, one can reduce variational free energy to other notions, such as the discrepancy between the generative model and the world, or the difference between what one expects and what one observes (i.e., a prediction error). (Parr et al., 2022, p. 25)\nSurprise minimization permits living organisms to (temporarily) resist the second law of thermodynamics (Parr et al., 2022, p. 47)\nAs my interest here is in understanding the relevance of this paradigm specifically to psychological science, my aim was to understand what is minimized specifically in psychological processes, such as perception, action, emotion, thinking, communication, etc. Of the above-mentioned terms, some have an unmistakable psychological ring, such as “uncertainty” and “surprise”. But here it is important to not be misled by the everyday meaning of words like uncertainty and surprise. Intuitively, it seems that we have a natural willingness to reduce uncertainty. As to the minimization of surprise things are somewhat more complicated; although we generally don’t like unpleasant surprises, we may welcome pleasant surprises. What is at stake here, however, is not surprises as spoken of in our everyday language, but surprise as a term in mathematical information theory that quantifies the improbability of an outcome. To guard against misunderstandings, the term surprisal (rather than “surprise”) is often used in this mathematical context.\nTo me, it seems that a psychologically interesting term for what is minimized is the discrepancy between model and world.\nboth perception and action serve the very same objective. As a first approximation, this common objective of perception and action can be formulated as a minimization of the discrepancy between the model and the world. (Parr et al., 2022, p. 25)\nAs I understand it, the free energy principle as applied to psychological processes is assumed to take the form of a minimization of various kinds of experienced discrepancies. This seems to lie at the core of the theory of Active Inference.\n\n\n### What is minimized?\nWhat is minimized is described by the authors variously as “free energy”, “entropy”, “surprise”, “prediction error”, “uncertainty”, and “discrepancies between model and world”. Here are some examples of formulations:\nthis common objective has been described in various (informal and formal) ways, including the minimization of surprise, entropy, uncertainty, prediction error, or (variational) free energy. These terms are related to one another but sometimes their relations are not immediately clear, causing some confusion. (Parr et al., 2022, p. 25)\nunder some conditions, one can reduce variational free energy to other notions, such as the discrepancy between the generative model and the world, or the difference between what one expects and what one observes (i.e., a prediction error). (Parr et al., 2022, p. 25)\nSurprise minimization permits living organisms to (temporarily) resist the second law of thermodynamics (Parr et al., 2022, p. 47)\nAs my interest here is in understanding the relevance of this paradigm specifically to psychological science, my aim was to understand what is minimized specifically in psychological processes, such as perception, action, emotion, thinking, communication, etc. Of the above-mentioned terms, some have an unmistakable psychological ring, such as “uncertainty” and “surprise”. But here it is important to not be misled by the everyday meaning of words like uncertainty and surprise. Intuitively, it seems that we have a natural willingness to reduce uncertainty. As to the minimization of surprise things are somewhat more complicated; although we generally don’t like unpleasant surprises, we may welcome pleasant surprises. What is at stake here, however, is not surprises as spoken of in our everyday language, but surprise as a term in mathematical information theory that quantifies the improbability of an outcome. To guard against misunderstandings, the term surprisal (rather than “surprise”) is often used in this mathematical context.\nTo me, it seems that a psychologically interesting term for what is minimized is the discrepancy between model and world.\nboth perception and action serve the very same objective. As a first approximation, this common objective of perception and action can be formulated as a minimization of the discrepancy between the model and the world. (Parr et al., 2022, p. 25)\nAs I understand it, the free energy principle as applied to psychological processes is assumed to take the form of a minimization of various kinds of experienced discrepancies. This seems to lie at the core of the theory of Active Inference.\n\n\n### Active Inference\nAll living organisms are said to engage in active inference “in virtue of their existence” (Parr et al., 2022, p. viii). Active inference is described as a way of sampling the world for a purpose – to learn something new, to perceive more clearly, to understand better, or to decide what to do. In all these cases, the purpose is to resolve some kind of uncertainty about the world we live in:\nActive Inference is a way of understanding sentient behavior. The very fact that you are reading these lines means that you are engaging in Active Inference—namely, actively sampling the world—in a particular way—because you believe you will learn something. You are palpating this page with your eyes simply because this is the kind of action that will resolve uncertainty about what you will see next and—indeed— what these words convey. (Parr et al., 2022, p. vii).\nA basic assumption in Active Inference is that we can resolve uncertainty (i.e., minimize the discrepancy between our models of the world and the actual world) in basically two ways: by means of perception and by means of action:\none can minimize the discrepancy between a model and the world in two ways: by changing one’s mind to fit the world (perception) or by changing the world to fit the model (action). (Parr et al., 2022, p. 192)\nBy means of perception we can increase our clarity about the world around us. To take an example from the book, what first looked like an apple might, on closer look, turn out to be something quite different – maybe a frog. By changing our mind in this case, we reduce a discrepancy between our beliefs and the world. By means of action, we can change the world in another way - to make the world fit us better. For example, if it is too warm for our comfort, we may open a window to let in some cool air.\nIn both cases (perception and action, respectively), we reduce an experienced discrepancy. In the first case, we change our beliefs to make them fit the world. In the second case we change something in the world (the temperature in the room) to make it fit our preferences.\nAs I understand it, the latter kind of discrepancy must have arisen earlier in biological evolution. It is a kind of discrepancy which is intimately connected with the development of life as such. To survive, any living organism must maintain itself in a “comfort zone” that corresponds to a suitable set of preferred states, while avoiding other states that pose a threat to their survival:\nto survive, any living organism has to maintain itself in a suitable set of preferred states, while avoiding other, dis-preferred states of the environment. For example, to survive, a fish has to stay in a comfort zone that corresponds to a small subset of all the possible states of the universe: it has to stay in water. Similarly, a human has to ensure that their internal states (e.g., physiological variables like body temperature and heart rate) always remain within acceptable ranges—otherwise they will die (Parr et al., 2022, p. 42)\nAs the authors point out, this comfort zone differs from one type of organism to another, and it is essential that the organism has the capacity to exert active control over the state that it is in. This control occurs at several different layers, from homeostatic physiological regulation, over psychological processes, to sociocultural practices:\nThis acceptable range or comfort zone stipulatively defines the characteristic states something has to be in to be that thing. Living organisms resolve this fundamental biological problem by exerting active control over their states (e.g., of body temperature) at many levels, which range from automatic regulatory mechanisms such as sweating (physiology) to cognitive mechanisms such as buying and consuming a drink (psychology) to cultural practices such as distributing air conditioning systems (social sciences). (Parr et al., 2022, p. 42)\nThe Active Inference paradigm is said to be equally appropriate for characterizing all kinds of living individuals, including simple organisms such as bacteria.\nThis renders Active Inference equally appropriate for characterizing simple creatures like bacteria that sense and seek nutrient gradients, complex creatures like us that pursue sophisticated goals and engage in rich cultural practices, or even different individuals—to the extent that one appropriately characterizes their respective generative models. (Parr et al., 2022, p. 194)\nWhat characterizes different individuals is their different generative models:\nwhile all creatures minimize their variational free energy, they behave in different, sometimes opposite ways because they are endowed with different generative models. Therefore, what distinguishes different (e.g., simpler from more complex) creatures is just their generative model. (Parr et al., 2022, p. 194)\nIf I understand this correctly, it means that the kind of models that developed first in evolution did not essentially involve any representations of the world, although they must have involved some kind of representation of the organism’s preferred states.\nFurthermore, this means that generative models cannot be some kind of “copies” of the external world. They basically include preferred states (e.g., states within the comfort zone regarding temperature) that the individual needs to be in for their survival:\nImportantly, the agent’s generative model cannot simply mimic external dynamics (otherwise the agent would simply follow external dissipative dynamics). Rather, the model must also specify the preferred conditions for the agent’s existence, or the regions of states that the agent has to visit to maintain its existence (Parr et al., 2022, p. 46)\nIn other theoretical approaches, this is commonly described in terms of value – each living organism is dependent on their environment for certain kinds of nutrients, safety from dangers, etc. These aspects of their environment are accordingly valued by the organism in the sense that they are actively approached (whether by simple tropisms, habits, goal-directed behaviours, or consciously planned actions). In the Active Inference paradigm, however, this is re-described in terms of the belief that the preferred states are more likely to occur. As Parr et al. put it, this means that the individual “has an implicit optimism bias” (p. 46). Here I have some difficulties following the authors’ reasoning. Should this really apply also to simple unicellular organisms such as bacteria? To me, beliefs about the likelihood of various events seem to be a much more advanced phenomenon that requires more complex representational capacities than those found in unicellular organisms.\nAn important point made by the authors here is that a good fit between model and world has both descriptive and prescriptive aspects:\nA good fit indicates that the model successfully accounts for its sensations (this is the descriptive side of inference); at the same time, it realizes its preferred sensations, given that they are less surprising (this is the prescriptive side of the inference). (Parr et al., 2022, p. 47)\nThis formulation seems to recognize the importance of not reducing values (i.e., preferred states) to beliefs, as prescriptions cannot be reduced to descriptions.\nAnother term used here is “self-evidencing, defined as acting to achieve consistency between the internal model and the external world.\nperception and action are both self-evidencing, in the sense that a creature can align what it expects, given its generative model, with what it senses either by changing its beliefs (about the presence of food) or by changing the world (soliciting food-related sensations). (Parr et al., 2022, p. 196)\nAll adaptive systems are said to engage in such self-evidencing (p. 47).\nSimilar to perceptual processing, intentional action is also seen as a form of self-evidencing:\nIn Active Inference, action processing is analogous to perceptual processing, as both are guided by forward predictions—exteroceptive and proprioceptive, respectively. It is the (proprioceptive) prediction that “my hand grasps the cup” that induces a grasping movement.\nIn other words, action is seen to stem not from motor commands, but from anticipated consequences, consistent with the ideomotor theory of action and with Powers’ (1973) perceptual control theory, according to which action is controlled by perceptual states:\nwhat is controlled is a perceptual state, not a motor output or action. For example, while driving, what we control—and keep stable over time in the face of disturbances—is our reference or desired velocity (e.g., 90 mph), as signaled by the speedometer, whereas the actions we select for this (e.g., accelerating or decelerating) are more variable and context dependent. For example, depending on the disturbance (e.g., wind, a steep road, or other cars), we would need to either accelerate or decelerate to maintain the reference velocity. (Parr et al., 2022, p. 203)\nThis kind of action control is seen to involve goals at different levels of hierarchical control, and motivational processes whereby more salient or urgent goals are prioritized (p. 203-204). Preferences obviously play a role here, but also beliefs (predictions) that the goals will be reached. This is seen as an optimistic bias\nin the sense that the creature believes it will encounter preferred outcomes. It is this optimism that underwrites inferred plans that achieve desired outcomes in Active Inference; a failure of this sort of optimism may correspond to apathy (Parr et al., 2022, p. 207)\nIntentional action among humans also includes the counterfactual capacity to consider alternative futures, in the form of plans and policies, and to “choose actions that look as if they are minimizing expected free energy” (p. 37). The notion of minimizing expected free energy is important, as it refers to choices that takes the future into account – in contrast to variational free energy which refers to choices in the present situation.\nVariational free energy is at the core of Active Inference. It measures the fit between the internal generative model and (current and past) observations. By minimizing variational free energy, creatures maximize their model evidence. This ensures that the generative model becomes a good model of the environment and that the environment complies with the model. Expected free energy is a way to score alternative policies for planning. This is fundamentally prospective—it considers possible future observations—and counterfactual—the possible future observations are conditioned on the policies one could pursue. (Parr et al., 2022, p. 38)\nThe authors illustrate how the Active Inference paradigm can be extended to communication between individuals with a simple example: birdsong. The basic idea here is that individuals with similar generative models predict the same kind of birdsong. If a bird does not hear the predicted birdsong, neither from itself nor from another bird, this becomes a prediction error and it starts singing:\nThis means that if a bird hears the song it is predicting, there is no need to generate it itself. However, if it predicts a song that is not heard, it must start singing to resolve any error. (Parr et al., 2022, p. 163)\nThis can develop into a kind of turn-taking between birds:\nThis dynamic becomes more interesting when there are two birds in play, with similarly structured generative models. As long as one bird is singing, the other does not need to, as there is no error to resolve. However, if one bird stops singing, the other needs to continue the same song. This leads to a form of turn taking, sometimes phrased as “singing from the same hymn sheet,” with each bird contributing sections of the same song… When there are two agents involved, this leads to an alternation between listening to the other and singing—a simple form of conversation. (Parr et al., 2022, p. 164-165)\nThe basic idea here is that individuals with similar generative models can synchronize their internal states in what may resemble “a primitive kind of theory of mind” (p. 163) – a generalized synchrony that may fail in humans suffering from neuropsychiatric syndromes such as autism (p. 165).\n\n\n### Intentional action\nSimilar to perceptual processing, intentional action is also seen as a form of self-evidencing:\nIn Active Inference, action processing is analogous to perceptual processing, as both are guided by forward predictions—exteroceptive and proprioceptive, respectively. It is the (proprioceptive) prediction that “my hand grasps the cup” that induces a grasping movement.\nIn other words, action is seen to stem not from motor commands, but from anticipated consequences, consistent with the ideomotor theory of action and with Powers’ (1973) perceptual control theory, according to which action is controlled by perceptual states:\nwhat is controlled is a perceptual state, not a motor output or action. For example, while driving, what we control—and keep stable over time in the face of disturbances—is our reference or desired velocity (e.g., 90 mph), as signaled by the speedometer, whereas the actions we select for this (e.g., accelerating or decelerating) are more variable and context dependent. For example, depending on the disturbance (e.g., wind, a steep road, or other cars), we would need to either accelerate or decelerate to maintain the reference velocity. (Parr et al., 2022, p. 203)\nThis kind of action control is seen to involve goals at different levels of hierarchical control, and motivational processes whereby more salient or urgent goals are prioritized (p. 203-204). Preferences obviously play a role here, but also beliefs (predictions) that the goals will be reached. This is seen as an optimistic bias\nin the sense that the creature believes it will encounter preferred outcomes. It is this optimism that underwrites inferred plans that achieve desired outcomes in Active Inference; a failure of this sort of optimism may correspond to apathy (Parr et al., 2022, p. 207)\nIntentional action among humans also includes the counterfactual capacity to consider alternative futures, in the form of plans and policies, and to “choose actions that look as if they are minimizing expected free energy” (p. 37). The notion of minimizing expected free energy is important, as it refers to choices that takes the future into account – in contrast to variational free energy which refers to choices in the present situation.\nVariational free energy is at the core of Active Inference. It measures the fit between the internal generative model and (current and past) observations. By minimizing variational free energy, creatures maximize their model evidence. This ensures that the generative model becomes a good model of the environment and that the environment complies with the model. Expected free energy is a way to score alternative policies for planning. This is fundamentally prospective—it considers possible future observations—and counterfactual—the possible future observations are conditioned on the policies one could pursue. (Parr et al., 2022, p. 38)\n\n\n### Communication\nThe authors illustrate how the Active Inference paradigm can be extended to communication between individuals with a simple example: birdsong. The basic idea here is that individuals with similar generative models predict the same kind of birdsong. If a bird does not hear the predicted birdsong, neither from itself nor from another bird, this becomes a prediction error and it starts singing:\nThis means that if a bird hears the song it is predicting, there is no need to generate it itself. However, if it predicts a song that is not heard, it must start singing to resolve any error. (Parr et al., 2022, p. 163)\nThis can develop into a kind of turn-taking between birds:\nThis dynamic becomes more interesting when there are two birds in play, with similarly structured generative models. As long as one bird is singing, the other does not need to, as there is no error to resolve. However, if one bird stops singing, the other needs to continue the same song. This leads to a form of turn taking, sometimes phrased as “singing from the same hymn sheet,” with each bird contributing sections of the same song… When there are two agents involved, this leads to an alternation between listening to the other and singing—a simple form of conversation. (Parr et al., 2022, p. 164-165)\nThe basic idea here is that individuals with similar generative models can synchronize their internal states in what may resemble “a primitive kind of theory of mind” (p. 163) – a generalized synchrony that may fail in humans suffering from neuropsychiatric syndromes such as autism (p. 165).\n\n\n### The Dark Room Objection\nAn objection that has been raised against the FEP is that, if our guiding motive was to reduce uncertainty (surprisal), a perfect solution would be to stay in a dark room and never come out. Wouldn’t this eliminate all uncertainty and surprise in a most effective way? In his most recent book, Peter Godfrey-Smith (2024) reiterates this argument1:\nIf you really wanted to smooth the flow and reduce surprise, you would stay in a dark room and never come out, or come out as little as possible. That’s a choice that would really smooth things out. The limited appeal of this choice, and its dead-end status from a biological point of view, show that the point of perception and action is not just to reduce surprise. There’s more to life than that. (Godfrey-Smith, 2024, p. 79)\nAs far as I can see, however, this critique does not hit the FEP.\nFirst of all, it is essential to note that the FEP involves the minimization of discrepancies between model and world. This means that “uncertainty” or “surprise” is always uncertainty/surprise in relation to a specific model. And because these models differ from one species to another, and from one individual to another (due to genetics, embodiment, experience, learning, etc.), what is minimized needs to be assessed in each specific case.\nthe free-energy principle will need to be unpacked carefully in each sphere of its application. This is the real challenge ahead. (Friston et al., 2012, p. 6)\nIn view of our specific human models of the world, it is highly unlikely that we would prefer to stay in a dark room:\nwe act to reduce expected surprise or, more simply, resolve uncertainty. So what’s the first thing that we would do on entering a dark room—we would turn on the lights. Why? Because this action has epistemic affordance; in other words, it resolves uncertainty (expected free energy). (Friston et al., 2018, p. 26)\nTurning on the light makes us able to see – it thereby affords visual exploration of the room we are in, to resolve uncertainty about it. Our generative models, as discussed above, involve not only predictions but also preferences – for example, preferences for light versus darkness, and a motivation to engage in visual exploration of the environment.\nStill, there are other organisms that seem to prefer at least something similar to a dark room – a cave:\nInterestingly, Dark-Room agents do exist: Troglophiles have evolved to model and navigate environments like caves (Friston et al., 2012, p. 2)\nOur specifically human generative models are the result of a long biological evolution, and they involve a preference for light against darkness. For us, darkness involves considerable uncertainty, which we strive to minimize. But things are different for other organisms such as troglophiles that have evolved models to predict and inhabit other kinds of environments\nAccording to Friston et al. (2012), surprise is minimized over multiple scales. As I understand it, this involves minimization of uncertainty over at least three different scales:\nthe development of models during the evolution of the human species that made us able to minimize uncertainty and thereby adapt to the environment in our specific human ways;\nthe shaping of these models by learning experiences that make individuals able to minimize uncertainty in more specific ways during their life-span; and\nthe choice among existing models in the interpretation of specific situations that make us able to minimize uncertainty about the meaning of specific objects, events, and interactions in the here-and-now (the action-perception loop).\nMoreover, the action-perception loop is not only a matter of interpreting actual situations but also involves plans, projects, and policies for the future. In the latter case, what is primarily minimized is not variational free energy in the present but rather expected free energy in the future. In fact, we are willing to accept short-term increases in uncertainty to resolve uncertainty in a longer time-perspective:\nwe usually need to accept some short-term increase of entropy or surprise (e.g., when we build something new or shift social stances) to ensure their long-term decrease. This helps us understand how the basic requirement for surprise minimization is not at odds with but rather promotes the epistemic imperatives and novelty-seeking, curious, and exploratory behavior that we recognize as central to many species. (Parr et al., 2022, p. 60)\nTo engage in exploration means to expose oneself to uncertainty in order to resolve it. The preference for knowledge, understanding, and clarity is an essential part of our human-specific generative models, and this clearly motivates us to move beyond the short-term resolution of prediction errors.\nThe dark room objection obviously does not affect the FEP. At the same time, however, all this points to the need for a much more detailed understanding of the nature of generative models.\n\n\n### The Nature of Generative Models\nDuring the history of psychological science, many researchers have recognized the need for a way of conceptualizing the structures in the mind/brain that have develop as a result of evolution and are then shaped by individual experience, and that can explain the variation in how different individuals perceive the world and act in relation to it. In FEP and Active Inference, the term used is “generative models”. The perhaps most common term for these kinds of structures that has been used historically in the psychological literature is “schema” or “schemata” (e.g., Bartlett, 1932; Neisser, 1976; Piaget, 1967); still that term has never become anything more than a “placeholder” for more precise concepts that need to be developed.\nThe theory of the mind as a system of meaning structures (Lundh, 1983, 1995) was an attempt to develop a more specific theory about these structures, seen as involving three dimensions of meaning; (1) extension (e.g., perceptual categorization and differentiation), (2) intension (e.g., beliefs, expectation), and (3) value (e.g., preferences, motives). The notion of generative models in the FEP/Active Inference paradigm captures two of these dimensions: beliefs and preferences. Little is said, however, about the categorization/differentiation dimension. According to Edelman (1992), perceptual categorization is one of the most fundamental processes of the vertebrate nervous system.\nAnother key aspect of our generative models is that they include models of ourselves and of other individuals:\na key component of any model (especially for social agents) will be a model of conspecifics. In other words, my model of the world will include a model of you, which will include your model of me and so on (Friston et al., 2012, p. 4).\nThis means that the generative models must capture our ability to model other persons in terms of their beliefs, desires, intentions, emotions, thoughts, etc. The development of these models has been empirically studied in research on the child’s “theory of mind” (e.g., Apperly & Butterfill, 2009). This research is mostly focused on the child’s beliefs about others’ minds. However, these models also need to integrate an individual’s preferences for other individuals, and our ability to categorize and differentiate between our own and others’ beliefs/desires/intentions/emotions/thoughts.\nI guess a refined understanding of the nature of our generative models (schemata, meaning structures) may open up for an extended application of the FEP/Active Inference paradigm to other branches of psychological science. As Parr et al. (2022) put it, this paradigm\noffers a first principle account of the ways in which organisms solve their adaptive problems. The normative approach pursued in this book assumes that it is possible to start from the principle of variational free energy minimization and derive implications about specific cognitive processes, such as perception, action selection, attention and emotion regulation, and their neuronal underpinnings. (Parr et al., 2022, p. 195)\nIn other words, their claim is that Active Inference can serve as an integrative paradigm for cognitive science. But what about the whole of psychological science? This takes the question to processes at a higher level of complexity. Does FEP and Active Inference have potential to contribute to the development of an integrative psychological science?\nMore complex psychological processes can be either intrapersonal or interpersonal. I will end this review with a little speculation about the integrative potential of the FEP and Active Inference when it comes to the conceptualization of some more complex psychological processes.\n\n\n### Some Speculations\nThere are several theoretical approaches in psychological science that focus on intrapersonal model discrepancies. An early illustration that seems quite compatible with FEP is Festinger’s (1957) cognitive dissonance theory, according to which people experience mental discomfort when they hold contradictory beliefs, values, or attitudes – a kind of discomfort which is assumed to motivate people either to change their behavior or beliefs to restore consistency and reduce discomfort.\nAnother influential theory along partly similar lines is Higgins’ (1987) self-discrepancy theory, according to which different kinds of self-discrepancies cause different kinds of discomfort. Higgins differentiates between actual self (the attributes one believes that one has), ideal self (the attributes that one would like to have), and ought self (the attributes that one believes one ought to have). Among other things, Higgins differentiates between actual-ideal discrepancies and actual-ought discrepancies. It is probably quite possible to integrate this kind of theory with an FEP/Active Inference perspective. In such a perspective, self-discrepancies might be minimized either (1) by changing one’s beliefs about oneself (either about one’s actual self, or about how one ought to be); (2) by changing one’s preferences about how one would like to be (i.e., the ideal self); or (3) by changing one’s way of being in the world. All kinds of “reality testing” (e.g., as carried out in cognitive therapy) would belong to the first category, whereas all attempts at self-improvement, “self-realization”, personal development, etc., would belong to the third category.\nAs to interpersonal model discrepancies, they seem to lie further away from the existing FEP literature. But I guess the FEP paradigm could be used also to conceptualize such discrepancies. This is a huge area, which includes not only clashes between different religious and political beliefs and between competing theories in science but also, at a more modest level, the divergencies in personal beliefs that turn up between people in all interpersonal communication. From the perspective of Active Inference, it seems that such discrepancies can be reduced either (1) if person A changes their beliefs to make these conform to those of person B, or (2) if person A persuades person B to change their beliefs in a way that makes these more similar to those of person A.\nThis might, for example, offer a way of conceptualizing placebo effects in medicine as well as certain kinds of “common factors” in psychological treatment. Placebo effects may be understood as deriving at least partly from a doctor’s persuasive communication of positive beliefs about the effects of a treatment, where patients are led to change their beliefs to fit those of the doctor:\nan important part of the placebo effect is due to the development of placebo beliefs (beliefs of the form ”This treatment is going to cure me”), which may counteract the kind of cognitions that produce anxiety and depression; placebo beliefs produce emotional responses (hope, calm, etc.), which are antagonistic to depression and anxiety. (Lundh, 1987, p. 128)\nIn psychotherapy research, a debate has been going on about the importance of placebo-like factors referred to as “common factors” (for a theoretical review of this debate, see Lundh, 2014). One of the main proponents of the common factors view, Jerome Frank, has argued that most of psychotherapy is to be seen as “a form of rhetoric best studied hermeneutically” (Frank & Frank, 1991, p. 53), rather than as an applied behavioral science. Although there is evidence for specific effects of at least some psychological treatment methods (i.e., effects that cannot be reduced to “common factors”), a large part of the effects obtained in present forms of psychotherapy can probably be best understood in terms of the communication between therapist and patient, where one basic process is that patients gradually change their beliefs and attitudes to converge with those of the therapist.\nHere, however, it is also interesting to note that some therapeutic techniques are explorative in the sense that the therapist asks open questions both to explore the patient’s experiences and to explore possibilities for change in the patient’s life, without any explicit attempt at persuasion. Some therapists, for example, prescribe a “not-knowing stance”. For example, a basic idea in Mentalization-Based Treatment (MBT; Bateman & Fonagy, 2004) is that there will inevitably occur “mismatches” in a therapist’s understanding of the patient’s experiences. I guess such mismatches can be conceptualized as interpersonal discrepancies between two models (the therapist’s and the patient’s). If the therapist takes a “not-knowing stance” and explores these mismatches together with the patient, this may help to resolve these mismatches. As Bateman and Fonagy (2004) puts it, “the therapist has to be able to examine his own internal states and be able to show that they can change according to further understanding of the patient’s state” (p. 210). In other words, the therapist’s beliefs are changed during the exploration of the patient’s experiences, and the patient’s perception of this change in the therapist is assumed to have therapeutic effects in turn. This might perhaps be seen as yet another illustration of how it is possible for one person (in this case the therapist) to expose themselves to uncertainty (a “not-knowing stance”) in order to arrive at a reduction of uncertainty later on (minimization of expected free energy) – in this case in both therapist and patient.\nOne thing that fascinates me about the new perspective provided by the FEP is that it suggests that basic human strivings not only for health and survival but also for well-being, knowledge, understanding and clarity may be variations of a fundamental principle that can be traced back to the very origins of life, and even further back in time, and that may possibly help to explain why the world has developed in the way it has, despite the second law of thermodynamics.", "domain": "affective_neuroscience"}
{"source": "PMC13056352", "title": "Cardiac Synchrony During Collaborative Drawing: A Longitudinal Comparison of Same Generation and Intergenerational Dyads", "text": "# Cardiac Synchrony During Collaborative Drawing: A Longitudinal Comparison of Same Generation and Intergenerational Dyads\n\n## Abstract\nIntergenerational social programs provide opportunities for people of all ages to form new relationships. Furthermore, existing qualitative and behavioral evidence from such programs points to health and wellbeing benefits, yet the physiological consequences of repeated intergenerational encounters remain unknown. A deeper understanding of how such programs shape dyadic physiological responses will illuminate the mechanisms of relationship formation. Across a six‐session collaborative drawing program, we tracked cardiac synchrony within 31 intergenerational (older/younger adult) and 30 same generation (younger adult) dyads. Each session, dyads completed self‐report measures, then drew together and alone while we recorded participants’ actions with motion capture and physiological signals (neural and cardiac) using functional near‐infrared spectroscopy. Collaborative behavior, self‐reported social closeness, and interpersonal distance (i.e., proximity) showed group‐specific patterns, whereby interpersonal distance emerged as a promising objective measure of relationship development. Cardiac synchrony did not covary with group, task, an interaction thereof, or any measure of behavior or social closeness—yet there was a trending relationship between collaboration while drawing together and cardiac synchrony for intergenerational dyads only. In summary, cardiac synchrony pointed to marginally enhanced arousal during active collaboration between older and younger adults. Relationship development was better characterized, in this study, by behavior and self‐report measures than cardiac synchrony. Intergenerational social programs provide opportunities for people of all ages to form new relationships, yet the physiological underpinnings of intergenerational relationship development remain unknown. We tracked cardiac synchrony as well as self‐report and behavioral measures of relationship development in 61 dyads (31 intergenerational; 30 same generation) across a 6‐week creative drawing program. We found that relationship development was better characterized by behavior and self‐report measures than cardiac synchrony.\n\n## Full Text\n\n\n### Introduction\nIn response to worrying reports of declining social connection, many communities have begun to employ intergenerational arts programs to improve community members’ health and wellbeing [1, 2]. Growing behavioral and qualitative data from such programs suggest that intergenerational arts programs offer much‐needed opportunities to build social connection, reduce stereotypes about other generations, and provide structures for people to engage in activities that add meaning to their lives [2, 3, 4, 5, 6]. Intergenerational arts programs that offer repeated contact between older and younger generations, as opposed to one‐off sessions, seem to yield the greatest improvement in social connectedness and feelings of affiliation between generations [5]. More broadly, feelings of social connectedness or closeness (e.g., being strangers vs. friends vs. romantic partners) are known to modulate physiological signals (e.g., cardiac signals and brain activity) during collaboration [7]. Yet, longitudinal evidence tracking the extent to which physiological signals index relationship formation is only just beginning to emerge [8]. A deeper understanding of how repeated intergenerational collaboration fosters relationship formation, across experiential and physiological levels, holds potential to inform program structure and resource allocation for intergenerational arts programs. Moreover, new insights into intergenerational collaborative behavior can only strengthen efforts to promote healthy aging.\nIn this study, intergenerational and same generation dyads completed a 6‐week collaborative drawing program, in which they met as strangers and interacted with the same partner for all six sessions. We examined how collaboration and physiological synchrony, specifically cardiac synchrony, evolved across sessions. Specifically, we tracked how cardiac synchrony levels during collaboration were shaped by repeated social encounters, the generational constellation (intergenerational vs. same generation), as well as dyads’ feelings of social closeness and interpersonal distance (i.e., physical proximity to one another).\nThe cardiovascular system is reactive to changes in both psychological and physiological factors [9]. Fluctuations in heart rate reflect changes in arousal of the central nervous system resulting from changes in an individual's environment [10]. Increases in heart rate reflect sympathetic activity, which is associated with excitement and stress. Reductions in heart rate reflect parasympathetic activity, relating to relaxation and divided attention [11, 12]. When people gather in groups of two or more, changes in their physiological signals, including heart rate, reflect a mixture of self‐regulation and coregulation [13, 14], which can result in greater temporal alignment of heart rates, per se, and heart rate variability among two or more people. Precise time‐locking of fluctuations can arise from external environmental factors—take, for example, a jumpscare (i.e., a startling event) in a horror movie, causing a spike in cinemagoers’ heart rates simultaneously. Time‐lagged alignment occurs more commonly in live social interaction involving behavioral coordination, for example, turn‐taking in conversations [15]. Such alignment in arousal can result from shared attention [16], emotional contagion [17, 18], or joint action [19, 20]. In other words, measures of temporal alignment of heart rates and heart rate variability between individuals, or cardiac synchrony, can shed light on shared fluctuations in physiological arousal during social interactions. Accordingly, shared fluctuations in arousal, tracked using measures of cardiac synchrony, are reported to underpin important aspects of collaboration, including perceptions of group cohesion, satisfaction, commitment, subjective togetherness, trust, and perceived empathy (see review by Mayo and colleagues [7]).\nSeveral studies have investigated the extent to which cardiac synchrony can predict the outcomes of collaboration [19, 21, 22, 23, 24]. Sharika et al. [24] recorded 44 groups of 204 students completing a verbal consensus‐seeking task. The authors reported that cardiac synchrony between group members predicted the likelihood of reaching consensus significantly better than individuals’ heart rates, self‐reported ratings of team function, or duration of the consensus‐seeking process. On this basis, Sharika et al. proposed that cardiac synchrony may be useful as a biomarker of engagement during collaboration [24]. Gordon et al. [22] compared levels of cardiac synchrony during synchronized drumming, freely improvised drumming, and resting state (i.e., no movement). They reported that cardiac synchrony was greater during drumming than baseline but did not differ between drumming conditions, highlighting the role of joint action in aligning fluctuations in arousal. Gordon et al. further reported that levels of cardiac synchrony during synchronized drumming predicted levels of coordination of drumming in the subsequent improvised drumming task. Alignment of arousal levels, as indexed by cardiac synchrony, may thus be a precursor for successful collaboration [22].\nOther studies suggest that perceptual shifts during collaboration drive changes in shared arousal [19, 21, 23]. Noy et al. tracked levels of perceived and kinematically measured togetherness when dyads played a mirror game. Controlling for differences in movement intensity, the authors found that cardiac synchrony increased during periods of togetherness, more so for perceived than kinematic togetherness. Periods of togetherness were also notably accompanied by increased heart rates, reflecting increased arousal [19]. Boukarras et al. [21] recorded grasp timing from dyads told to grasp two bottle‐shaped objects according to specific instructions. In half the trials, the instructions prompted the same or complementary grasping behaviors, and in the other half of the trials, the instructions prompted evoked peer‐to‐peer or leader‐follower grasp dynamics. None of these prompted grasping behaviors showed a statistically significant relationship between grasping timing and cardiac synchrony. However, Boukarras et al. did observe heightened levels of cardiac synchrony when dyads shifted between peer‐to‐peer to leader‐follower dynamics or from same to complementary movements. These findings led the authors to suggest that perceptual shifts during collaboration dynamics, rather than specific patterns of behavioral coordination, may influence arousal levels, and by extension, cardiac synchrony [21]. Findings from a study by Mitkidis et al. [23] lend support to the idea that perceptual shifts during collaboration may alter shared arousal. Mitkidis et al. compared cardiac synchrony in a group that completed interleaved collaborative Lego building tasks with public goods games to a group that completed only Lego building tasks. They report that the public goods game led to greater cardiac synchrony during Lego building. They also found that cardiac synchrony predicted the participants’ expectations of their partners during the public goods game. Mitkidis et al. interpret both results as being reflective of increased awareness of the partner relating to trust‐building processes. Considered together, these findings highlight that perceptual shifts during collaboration impact arousal levels as quantified by cardiac synchrony. Notably, too much shared arousal can have deleterious effects on collaboration [25, 26], suggesting that coregulation of arousal levels is central to successful collaboration [7].\nChanges in familiarity that occur within or across encounters may represent a sufficient perceptual shift to influence shared arousal, and by extension, cardiac synchrony. Fusaroli et al. [27] invited five groups of 4–5 students to build Lego models in 5‐min blocks, alternating between building alone and together as a group, and computed measures of heart rate coordination (i.e., the similarity and stability of signals within groups—complementary measures to cardiac synchrony). The authors reported that heart rate coordination within groups increased from the first block of collaborative model‐building to the last and that coordination of movement and speech within groups predicted heart rate coordination [27]. These findings illustrate how increasing familiarity, on a short time scale, co‐occurs with increasing alignment of behavior and arousal levels. Highlighting the relevance of understanding changes in dyadic levels of shared arousal over repeated encounters, Gernert et al. [28] measured cardiac synchrony during psychotherapy sessions targeting affective disorders at two sessions, approximately 2 weeks apart. The authors found a positive association between cardiac synchrony across both sessions and changes in self‐reported depressive symptom severity between the two sessions [28]. Unfortunately, this study does not report the difference in cardiac synchrony between sessions, leaving the trajectory of shared arousal an open question. While empirical attention has been paid to first encounters (e.g., Ref. [29]), little is known about the trajectory of fluctuations in shared arousal across repeated encounters. To advance our understanding of the prerequisites for relationships formed over repeated encounters to blossom into robust social bonds and the conditions that predict relationships fizzling out, we need to document the trajectories of shared arousal across multiple encounters alongside measures of relationship quality. By considering these trajectories in the same generation and intergenerational dyads, we can provide insights for optimizing relationship formation in intergenerational community programs.\nRelationship quality and shared fluctuations in arousal, as measured by cardiac synchrony, are known to covary, though the effect size derived from a meta‐analysis of 26 studies is quite small [7], and the directionality of the effect is not known. Many of the studies conducted have been dedicated to understanding shared arousal in romantic partners and are summarized in Mayo et al.’s meta‐analysis [7]. For example, watching emotional videos together has been shown to elicit greater cardiac synchrony between strangers, relative to friends and romantic partners [17]. Bizzego et al. propose that greater familiarity between friends and romantic couples results in their autonomic systems being less attuned to changes in the other person's autonomic responses. This may be a feature of the task involving noninteractive copresence, with both people's attention directed to the videos. Other tasks, involving copresence and interaction, show the opposite pattern. At a firewalking performance, Konvalinka et al. [30] recorded cardiac synchrony between firewalkers and their friends and between firewalkers and strangers. The authors compared these groups and reported greater cardiac synchrony between firewalkers and friends and family members than strangers. The authors similarly suggest that social closeness [30] is a driving factor in the coupling of autonomic responses. Focusing on first‐time encounters, Adel et al. [29] recorded cardiac synchrony in dyads comprising strangers who shared emotional stories. Dyads showed greater cardiac synchrony when they self‐reported high levels of mutual liking. Relationship quality seems to have a more nuanced impact on shared arousal when collaboration is compared with competition. Danyluck and Page‐Gould [11] demonstrated that self‐reported perceived similarity and interest in friendship between dyad members can shape cardiac synchrony levels differentially for collaboration and competition. Whereas cardiac synchrony is positively associated with perceived similarity in both conditions, cardiac synchrony is positively associated with interest in friendship only during collaboration and not during competition [11]. Recently, Andersen et al. [31] recorded cardiac synchrony between visitors who went through a recreational commercial haunted house in groups, designed to induce fear in the visitors. The authors reported that cardiac synchrony is closely related to individuals’ ratings of subjective arousal and that cardiac synchrony was greater between dyads within each visitor group who were socially close than those who were not. The findings contribute to the evidence that social relationships shape coregulation through shared fluctuations in arousal [31]. Based on these studies, we would expect that in interactive contexts, evoking average physiological arousal (i.e., nonfrightening; not involving haunted houses or risky behavior such as firewalking), cardiac synchrony would be highest at a first encounter and decrease as dyads who began as strangers become acquainted and socially closer.\nSelf‐reported feelings of social closeness to another person tend to result in individuals being comfortable in closer physical proximity to each other [32, 33, 34]. Like social closeness, physical proximity (henceforth interpersonal distance) is bidirectionally related to shared arousal [31, 35]. In a 2×2 design, Jackson et al. [35] recorded groups of people walking freely versus in synchrony as a group versus manipulated arousal levels by having the leader walk above (high arousal) or below (low arousal) average walking speed. The researchers found that the pack was the tightest (least distance between walkers) during the condition combining synchronous and high arousal walking. The researchers propose that their findings reflect how arousal and synchrony can be employed to manufacture group cohesion [35]. To our knowledge, no studies to date have investigated the relationship between shared arousal measured via cardiac synchrony and interpersonal distance. Nonetheless, previous research using other measures of physiological synchrony has revealed that arousal levels are likely associated with interpersonal distance. For example, teams of paramedic trainees who show greater synchrony in electrodermal activity work physically closer to one another and engage in more cooperative dialogue compared to teams showing lower synchrony [36]. Interpersonal distance appears to be associated with shared arousal levels during collaboration, yet additional evidence is needed to establish this relationship's reliability.\nNotably, the relationships between shared arousal, social closeness, interpersonal distance, and collaboration have (to our knowledge) only been examined in dyads consisting of two young adults at a single point in time (as opposed to longitudinally). In very few cases, intergenerational patterns of shared arousal have been explored within mother−child dyads (see review by DePasquale [37]). Older adults have yet to be represented in such studies, a trend that is observed in experimental studies more broadly [38, 39]. It is critical to remedy the underrepresentation of older adults, as the proportion of older adults in the world's population is steadily climbing [40], and older adults are at elevated risk of experiencing loneliness [2]. Moreover, longitudinal insights extending beyond first encounters and covering stages before friendships and romantic relationships are necessary for a deeper understanding of the physiological underpinnings of relationship development.\nThis research sought to shed light on the physiological mechanisms of collaboration in budding relationships—both same generation and intergenerational, including older adults. We preregistered (https://osf.io/xuvy5) the following three experimental aims:\nDocument the trajectory of cardiac synchrony over the course of six sessions of collaborative drawing within both same generation and intergenerational dyads.Explore how levels of collaboration visible in drawings (evaluated by external raters) relate to dyad members’ feelings of social closeness, physical closeness, and performance on a separate collaborative task (i.e., completing a jigsaw puzzle).Explore how cardiac synchrony is related to levels of collaboration visible in drawings. Specifically, we wish to assess whether this relationship differs between same generation and intergenerational dyads, and the extent to which this relationship is impacted by dyads’ feelings of social closeness, physical closeness, and performance on a separate collaborative measure (i.e., jointly completing a jigsaw puzzle).\nDocument the trajectory of cardiac synchrony over the course of six sessions of collaborative drawing within both same generation and intergenerational dyads.\nExplore how levels of collaboration visible in drawings (evaluated by external raters) relate to dyad members’ feelings of social closeness, physical closeness, and performance on a separate collaborative task (i.e., completing a jigsaw puzzle).\nExplore how cardiac synchrony is related to levels of collaboration visible in drawings. Specifically, we wish to assess whether this relationship differs between same generation and intergenerational dyads, and the extent to which this relationship is impacted by dyads’ feelings of social closeness, physical closeness, and performance on a separate collaborative measure (i.e., jointly completing a jigsaw puzzle).\nIn reporting these findings, charting cardiac synchrony within intergenerational and same generation dyads across six sessions in an everyday context similar to a community art program, we reveal first insights into longitudinal patterns of shared arousal, in a unique design that involves older adults. The implications of this work are central to understanding the behavioral and physiological mechanisms governing relationship formation and collaboration across the lifespan. Moreover, this work sheds light on important considerations regarding the implementation of cardiac synchrony as an objective measure of social connection or collaboration in everyday, real‐world settings.\n\n\n### Cardiac Synchrony as an Index of Shared Arousal During Collaboration\nThe cardiovascular system is reactive to changes in both psychological and physiological factors [9]. Fluctuations in heart rate reflect changes in arousal of the central nervous system resulting from changes in an individual's environment [10]. Increases in heart rate reflect sympathetic activity, which is associated with excitement and stress. Reductions in heart rate reflect parasympathetic activity, relating to relaxation and divided attention [11, 12]. When people gather in groups of two or more, changes in their physiological signals, including heart rate, reflect a mixture of self‐regulation and coregulation [13, 14], which can result in greater temporal alignment of heart rates, per se, and heart rate variability among two or more people. Precise time‐locking of fluctuations can arise from external environmental factors—take, for example, a jumpscare (i.e., a startling event) in a horror movie, causing a spike in cinemagoers’ heart rates simultaneously. Time‐lagged alignment occurs more commonly in live social interaction involving behavioral coordination, for example, turn‐taking in conversations [15]. Such alignment in arousal can result from shared attention [16], emotional contagion [17, 18], or joint action [19, 20]. In other words, measures of temporal alignment of heart rates and heart rate variability between individuals, or cardiac synchrony, can shed light on shared fluctuations in physiological arousal during social interactions. Accordingly, shared fluctuations in arousal, tracked using measures of cardiac synchrony, are reported to underpin important aspects of collaboration, including perceptions of group cohesion, satisfaction, commitment, subjective togetherness, trust, and perceived empathy (see review by Mayo and colleagues [7]).\nSeveral studies have investigated the extent to which cardiac synchrony can predict the outcomes of collaboration [19, 21, 22, 23, 24]. Sharika et al. [24] recorded 44 groups of 204 students completing a verbal consensus‐seeking task. The authors reported that cardiac synchrony between group members predicted the likelihood of reaching consensus significantly better than individuals’ heart rates, self‐reported ratings of team function, or duration of the consensus‐seeking process. On this basis, Sharika et al. proposed that cardiac synchrony may be useful as a biomarker of engagement during collaboration [24]. Gordon et al. [22] compared levels of cardiac synchrony during synchronized drumming, freely improvised drumming, and resting state (i.e., no movement). They reported that cardiac synchrony was greater during drumming than baseline but did not differ between drumming conditions, highlighting the role of joint action in aligning fluctuations in arousal. Gordon et al. further reported that levels of cardiac synchrony during synchronized drumming predicted levels of coordination of drumming in the subsequent improvised drumming task. Alignment of arousal levels, as indexed by cardiac synchrony, may thus be a precursor for successful collaboration [22].\nOther studies suggest that perceptual shifts during collaboration drive changes in shared arousal [19, 21, 23]. Noy et al. tracked levels of perceived and kinematically measured togetherness when dyads played a mirror game. Controlling for differences in movement intensity, the authors found that cardiac synchrony increased during periods of togetherness, more so for perceived than kinematic togetherness. Periods of togetherness were also notably accompanied by increased heart rates, reflecting increased arousal [19]. Boukarras et al. [21] recorded grasp timing from dyads told to grasp two bottle‐shaped objects according to specific instructions. In half the trials, the instructions prompted the same or complementary grasping behaviors, and in the other half of the trials, the instructions prompted evoked peer‐to‐peer or leader‐follower grasp dynamics. None of these prompted grasping behaviors showed a statistically significant relationship between grasping timing and cardiac synchrony. However, Boukarras et al. did observe heightened levels of cardiac synchrony when dyads shifted between peer‐to‐peer to leader‐follower dynamics or from same to complementary movements. These findings led the authors to suggest that perceptual shifts during collaboration dynamics, rather than specific patterns of behavioral coordination, may influence arousal levels, and by extension, cardiac synchrony [21]. Findings from a study by Mitkidis et al. [23] lend support to the idea that perceptual shifts during collaboration may alter shared arousal. Mitkidis et al. compared cardiac synchrony in a group that completed interleaved collaborative Lego building tasks with public goods games to a group that completed only Lego building tasks. They report that the public goods game led to greater cardiac synchrony during Lego building. They also found that cardiac synchrony predicted the participants’ expectations of their partners during the public goods game. Mitkidis et al. interpret both results as being reflective of increased awareness of the partner relating to trust‐building processes. Considered together, these findings highlight that perceptual shifts during collaboration impact arousal levels as quantified by cardiac synchrony. Notably, too much shared arousal can have deleterious effects on collaboration [25, 26], suggesting that coregulation of arousal levels is central to successful collaboration [7].\nChanges in familiarity that occur within or across encounters may represent a sufficient perceptual shift to influence shared arousal, and by extension, cardiac synchrony. Fusaroli et al. [27] invited five groups of 4–5 students to build Lego models in 5‐min blocks, alternating between building alone and together as a group, and computed measures of heart rate coordination (i.e., the similarity and stability of signals within groups—complementary measures to cardiac synchrony). The authors reported that heart rate coordination within groups increased from the first block of collaborative model‐building to the last and that coordination of movement and speech within groups predicted heart rate coordination [27]. These findings illustrate how increasing familiarity, on a short time scale, co‐occurs with increasing alignment of behavior and arousal levels. Highlighting the relevance of understanding changes in dyadic levels of shared arousal over repeated encounters, Gernert et al. [28] measured cardiac synchrony during psychotherapy sessions targeting affective disorders at two sessions, approximately 2 weeks apart. The authors found a positive association between cardiac synchrony across both sessions and changes in self‐reported depressive symptom severity between the two sessions [28]. Unfortunately, this study does not report the difference in cardiac synchrony between sessions, leaving the trajectory of shared arousal an open question. While empirical attention has been paid to first encounters (e.g., Ref. [29]), little is known about the trajectory of fluctuations in shared arousal across repeated encounters. To advance our understanding of the prerequisites for relationships formed over repeated encounters to blossom into robust social bonds and the conditions that predict relationships fizzling out, we need to document the trajectories of shared arousal across multiple encounters alongside measures of relationship quality. By considering these trajectories in the same generation and intergenerational dyads, we can provide insights for optimizing relationship formation in intergenerational community programs.\n\n\n### Relationship Quality Constrains Shared Arousal, and by Extension, Cardiac Synchrony\nRelationship quality and shared fluctuations in arousal, as measured by cardiac synchrony, are known to covary, though the effect size derived from a meta‐analysis of 26 studies is quite small [7], and the directionality of the effect is not known. Many of the studies conducted have been dedicated to understanding shared arousal in romantic partners and are summarized in Mayo et al.’s meta‐analysis [7]. For example, watching emotional videos together has been shown to elicit greater cardiac synchrony between strangers, relative to friends and romantic partners [17]. Bizzego et al. propose that greater familiarity between friends and romantic couples results in their autonomic systems being less attuned to changes in the other person's autonomic responses. This may be a feature of the task involving noninteractive copresence, with both people's attention directed to the videos. Other tasks, involving copresence and interaction, show the opposite pattern. At a firewalking performance, Konvalinka et al. [30] recorded cardiac synchrony between firewalkers and their friends and between firewalkers and strangers. The authors compared these groups and reported greater cardiac synchrony between firewalkers and friends and family members than strangers. The authors similarly suggest that social closeness [30] is a driving factor in the coupling of autonomic responses. Focusing on first‐time encounters, Adel et al. [29] recorded cardiac synchrony in dyads comprising strangers who shared emotional stories. Dyads showed greater cardiac synchrony when they self‐reported high levels of mutual liking. Relationship quality seems to have a more nuanced impact on shared arousal when collaboration is compared with competition. Danyluck and Page‐Gould [11] demonstrated that self‐reported perceived similarity and interest in friendship between dyad members can shape cardiac synchrony levels differentially for collaboration and competition. Whereas cardiac synchrony is positively associated with perceived similarity in both conditions, cardiac synchrony is positively associated with interest in friendship only during collaboration and not during competition [11]. Recently, Andersen et al. [31] recorded cardiac synchrony between visitors who went through a recreational commercial haunted house in groups, designed to induce fear in the visitors. The authors reported that cardiac synchrony is closely related to individuals’ ratings of subjective arousal and that cardiac synchrony was greater between dyads within each visitor group who were socially close than those who were not. The findings contribute to the evidence that social relationships shape coregulation through shared fluctuations in arousal [31]. Based on these studies, we would expect that in interactive contexts, evoking average physiological arousal (i.e., nonfrightening; not involving haunted houses or risky behavior such as firewalking), cardiac synchrony would be highest at a first encounter and decrease as dyads who began as strangers become acquainted and socially closer.\nSelf‐reported feelings of social closeness to another person tend to result in individuals being comfortable in closer physical proximity to each other [32, 33, 34]. Like social closeness, physical proximity (henceforth interpersonal distance) is bidirectionally related to shared arousal [31, 35]. In a 2×2 design, Jackson et al. [35] recorded groups of people walking freely versus in synchrony as a group versus manipulated arousal levels by having the leader walk above (high arousal) or below (low arousal) average walking speed. The researchers found that the pack was the tightest (least distance between walkers) during the condition combining synchronous and high arousal walking. The researchers propose that their findings reflect how arousal and synchrony can be employed to manufacture group cohesion [35]. To our knowledge, no studies to date have investigated the relationship between shared arousal measured via cardiac synchrony and interpersonal distance. Nonetheless, previous research using other measures of physiological synchrony has revealed that arousal levels are likely associated with interpersonal distance. For example, teams of paramedic trainees who show greater synchrony in electrodermal activity work physically closer to one another and engage in more cooperative dialogue compared to teams showing lower synchrony [36]. Interpersonal distance appears to be associated with shared arousal levels during collaboration, yet additional evidence is needed to establish this relationship's reliability.\n\n\n### Cardiac Synchrony in Intergenerational Relationships Is Poorly Documented\nNotably, the relationships between shared arousal, social closeness, interpersonal distance, and collaboration have (to our knowledge) only been examined in dyads consisting of two young adults at a single point in time (as opposed to longitudinally). In very few cases, intergenerational patterns of shared arousal have been explored within mother−child dyads (see review by DePasquale [37]). Older adults have yet to be represented in such studies, a trend that is observed in experimental studies more broadly [38, 39]. It is critical to remedy the underrepresentation of older adults, as the proportion of older adults in the world's population is steadily climbing [40], and older adults are at elevated risk of experiencing loneliness [2]. Moreover, longitudinal insights extending beyond first encounters and covering stages before friendships and romantic relationships are necessary for a deeper understanding of the physiological underpinnings of relationship development.\n\n\n### Present Study\nThis research sought to shed light on the physiological mechanisms of collaboration in budding relationships—both same generation and intergenerational, including older adults. We preregistered (https://osf.io/xuvy5) the following three experimental aims:\nDocument the trajectory of cardiac synchrony over the course of six sessions of collaborative drawing within both same generation and intergenerational dyads.Explore how levels of collaboration visible in drawings (evaluated by external raters) relate to dyad members’ feelings of social closeness, physical closeness, and performance on a separate collaborative task (i.e., completing a jigsaw puzzle).Explore how cardiac synchrony is related to levels of collaboration visible in drawings. Specifically, we wish to assess whether this relationship differs between same generation and intergenerational dyads, and the extent to which this relationship is impacted by dyads’ feelings of social closeness, physical closeness, and performance on a separate collaborative measure (i.e., jointly completing a jigsaw puzzle).\nDocument the trajectory of cardiac synchrony over the course of six sessions of collaborative drawing within both same generation and intergenerational dyads.\nExplore how levels of collaboration visible in drawings (evaluated by external raters) relate to dyad members’ feelings of social closeness, physical closeness, and performance on a separate collaborative task (i.e., completing a jigsaw puzzle).\nExplore how cardiac synchrony is related to levels of collaboration visible in drawings. Specifically, we wish to assess whether this relationship differs between same generation and intergenerational dyads, and the extent to which this relationship is impacted by dyads’ feelings of social closeness, physical closeness, and performance on a separate collaborative measure (i.e., jointly completing a jigsaw puzzle).\nIn reporting these findings, charting cardiac synchrony within intergenerational and same generation dyads across six sessions in an everyday context similar to a community art program, we reveal first insights into longitudinal patterns of shared arousal, in a unique design that involves older adults. The implications of this work are central to understanding the behavioral and physiological mechanisms governing relationship formation and collaboration across the lifespan. Moreover, this work sheds light on important considerations regarding the implementation of cardiac synchrony as an objective measure of social connection or collaboration in everyday, real‐world settings.\n\n\n### Methods\nThe data presented here are part of a longitudinal hyperscanning dataset, the public sharing of which is forthcoming (R. Moffat and E.S. Cross, manuscript in preparation).\nWe recruited 122 community‐dwelling participants from Zurich, Switzerland (31 older adults, aged 69+ years; 91 younger adults, aged 18–35 years). Included participants were fluent in German and had no known history of neurological or psychological disorders (e.g., stroke, concussion, attention deficit hyperactivity disorder, autism, schizophrenia, or depression). Participants were assigned to intergenerational dyads (n = 31) or same generation dyads (n = 30) based on availability for sessions (e.g., matching people available at the same day/time for 6 consecutive weeks). All dyads started the study as strangers. Intergenerational dyads comprised one older adult (76 ± 4 years); 18 female, 13 male) and one younger adult (24 ± 4 years; 19 female, 11 male, 1 other). Same generation dyads comprised two younger adults (22.5 ± 3.6 years; 36 female, 24 male). Table S1 details the number of individual participants’ recordings and dyads’ sessions that were excluded, as well as the reasons for exclusion.\nOur recruitment campaign involved advertising through the University of Zurich's Healthy Longevity Centre, ETH Zurich's DeSciL student pool, clubs and organizations for senior citizens (e.g., theater groups and choirs/orchestras), and social media. All participants provided written informed consent prior to participation. Ethical approval was obtained from the Ethics Committee of the Canton Zurich (Ref: 2023‐01073). The study was conducted according to the Declaration of Helsinki. We report how we determined our sample size, all data exclusions, all manipulations, and all measures in the study.\nTo obtain ratings of drawings produced by the main sample (described further in Section 2.3.1), we recruited 148 new participants via Prolific after the main study concluded. To be included, participants had to be over 18 years old, proficient English speakers, and residents of the United Kingdom. To ensure response quality, we only accepted participants who had previously completed a minimum of 50 tasks on Prolific with a 100% approval rate. Of these participants, 45 were excluded for failing to respond to all attention checks correctly (i.e., by moving all sliders all the way to the right of the sliding scale when prompted). We thus use ratings from 103 raters in our analyses. We did not collect demographic information from these participants. All participants provided written informed consent. Ethical approval was obtained from the Ethics Committee of ETH Zurich (Ref: 2024‐N‐265). The study was conducted according to the Declaration of Helsinki.\nEach dyad completed six weekly sessions (once per week, for 6 weeks). At each session, participants completed questionnaires querying feelings of loneliness [41] and attitudes toward their own and the other (older or younger) generation [42]. Participants also completed a questionnaire measuring empathy [43] at the first session. Dyads drew alone once simultaneously and collaboratively twice with oil pastels provided by Caran D'Ache, for a duration of 5 min (Figure 1 and Figure S1). Participants were not given any prompts regarding what to draw or how to draw (e.g., no suggestions for motifs). Participants were instructed not to talk while drawing, so that speech would not be a confound in comparisons of drawing alone (of particular relevance for neural and cardiac measures). Participants were instructed that they could talk freely during the rest of the session. After drawing, participants completed a collaborative activity, with different activities each week. In the third session, the collaborative activity was to complete a 54‐piece jigsaw puzzle. Activities completed on other weeks include sorting pastels, a divergent thinking task, and a joint verbal fluency task. While participants drew and completed collaborative activities, we recorded their cortical activity using functional near‐infrared spectroscopy (fNIRS) over the bilateral inferior frontal gyri and bilateral temporo‐parietal junction. Furthermore, we video‐recorded participants’ movements using a GoPro camera to capture movements of the head and hands. At the end of each session, after we stopped the fNIRS and video recordings, participants completed the Inclusion of Other in Self (IOS) scale [44]. Analyses of fNIRS recordings, loneliness scores, and attitudes toward generations are reported elsewhere, as are additional specifics regarding the fNIRS recording methodology [8].\n(A) Left: An intergenerational dyad drawing independently on separate pieces of paper during fNIRS recording. The dyad members are separated by a gray felt divider that obscures their view of each other. Right: The same intergenerational dyad drawing together on a single piece of paper during fNIRS recording. The colorful lines overlaid on top of the participants show the 2D motion tracking used to capture interpersonal distance, specifically the distance between dyad members’ neck joints. (B) IBI time series of two different dyads, illustrating high and low levels of cardiac synchrony with the produced drawing (see further examples sorted by collaboration ratings in Figure 2). Abbreviation: IBI, inter‐beat interval.\nEach drawing that the dyads created was judged by independent raters recruited via Prolific. Raters (n = 103) were instructed that they would view 122 drawings, each created by two people at once on a single piece of paper. They were asked to rate the degree of harmony between the elements of the drawings (on a sliding scale from 0 “entirely independent” to 100 “entirely coordinated”) and the use of space (on a sliding scale from 0 “divided” to 100 “unified”). To obtain a measure of the perceived coherence of the drawing, which we propose reflects the level of collaboration during drawing, we summed the ratings of harmony and use of space. Thus, raw scores of drawing collaboration could range from 0 to 200. Examples of drawings with the highest, average, and lowest collaboration ratings are shown in Figure 2.\nExamples of drawings organized by rating of collaboration. Top row = highest collaboration ratings; middle row = average collaboration ratings; bottom row = lowest collaboration ratings. Ratings are derived by summing raters’ ratings of the harmony between the elements of the drawings (0 “entirely independent” to 100 “entirely coordinated”) and use of space (0 “divided” to 100 “unified”). The left‐most drawings in the top and bottom rows are also presented in Figure 1B alongside the IBI time series recorded while the drawings were made. Abbreviation: IBI, inter‐beat interval.\nAfter completing the drawing component of the third session, dyads completed a puzzle as the collaborative activity for that session. Speaking was permitted. Dyads had 6 min to complete a 54‐piece jigsaw puzzle of cartoon animals in a jungle (pieces’ dimensions: ∼ 8 × 8 cm). Dyads’ scores corresponded to the number of pieces assembled in 6 min. In the case that participants assembled all pieces in less than 6 min, the remaining number of seconds to 6 min was divided by 6.66 (the average number of seconds per piece if completed in 6 min; 360 s/54 pieces = 6.66 s) and added to a score of 54.\nTo understand how collaborative behavior shapes feelings of social closeness, we administered the IOS scale [44] after dyads drew together and completed the final collaborative task. Participants viewed seven sets of overlapping circles representing the self and the partner, ranging from no overlap to near complete overlap of the two circles, and indicate which set of circles best represents their relationship with their partner (i.e., the other dyad member). To capture cumulative social closeness within dyads and differences in feelings of social closeness within dyads, we computed summed and absolute difference IOS scores per dyad [21, 45]. We refer to these measures as social closeness (Sum) and social closeness (Dif), respectively.\nWe used the videos recorded at each session to track upper‐body movements while dyads drew together. Specifically, we used OpenPose [46] to estimate 2D pose per frame, returning coordinates for predefined body parts. To assess interpersonal distance (sometimes referred to as proximity in other work), we computed the average distance between the coordinates of each dyad member's neck joint for each 5‐min instance of drawing together. In our analyses, this measure is referred to as distance.\nAs per our preregistration, we extracted the cardiac signal by identifying peaks in HbO concentrations [47]. We cleaned the HbO signal from neural and further physiological components such as Mayer waves by upsampling it to 100 Hz and applying a zero‐phase third‐order Butterworth IIR band‐pass filter [48] with cut‐offs at 0.5 and 2.5 Hz [49]. Then, we smoothed the signals using a Savitzky−Golay filter with a window length of 15 and a fifth‐order polynomial. We identified peaks with the AMPD algorithm [47], implemented in the Python ampdlib package [50], and transformed the signal peak timestamps to an inter‐beat interval (IBI) time series, smoothly interpolated at 4 Hz. We originally preregistered ARIMA cleaning [51], but in practice, it reduced the signal to near‐zero fluctuations, largely removing the slow structure that may reflect the physiology of interest in this context. Given the lower signal‐to‐noise ratio of fNIRS‐derived IBIs when compared to electrocardiography signals, and our total number of samples (fNIRS signals recorded at ∼ 5 Hz), we instead analyzed IBI series on their original scale to retain physiologically meaningful variance.\nWe calculated cross‐correlation functions (CCFs) between all dyads’ cleaned physiological signals in each session and activity across time lags of ± 3 s (−12 to +12 lags at 4 Hz) and retained nonabsolute CCF values. Examples of time series yielding high and low cardiac synchrony estimates are visualized in Figure 1B.\nWe completed our preregistered exploratory statistical analyses using a Bayesian approach to multilevel regression [52]. We fit models using the brms package (version 22.2 [53]) in the R language (version 4.5.1 [54]) within the RStudio IDE (version 2025.05.1 + 513 [55]). We report and interpret the posterior distribution of relevant model parameters using a 95% credible interval, calculated via the 95% highest posterior density region (HPD) method [52]. For readers familiar with frequentist approaches that include p‐values, we recommend perusing Kruschke and Liddell [56], and we share a simplified heuristic for interpreting HPDs: Parameter and comparison estimates can be considered substantial when the HPD does not contain zero, and can be considered trends when the tip of an HPD tail overlaps with zero.\nTo assess the extent to which collaboration, social closeness, and interpersonal distance changed across the six sessions, as well as relationships between measures, we fit a series of models in the following structure: MeasureA ∼ 1 + MeasureB * Group * Session + (1|DyadID). We extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\nWe first sought to establish if cardiac synchrony levels differed substantially between real and pseudo dyads. We fit the following model: CardiacSynchrony ∼ DyadType * Group * Task * Session. We did not include random intercepts at this stage, as the total number of real and pseudo dyads exceeded 6000. Random intercepts, accounting for dyad‐level variance, were included in subsequent group‐level analyses. Contrasts between real and pseudo dyads were computed to confirm that some components of cardiac synchrony were attributable to real social interaction, as opposed to similar experiences or homeostatic biological rhythms.\nFirst, we fit a model to the cardiac synchrony data, which we averaged across all lags. The model was: CardiacSynchrony ∼ Group * Drawing Collaboration + Group * Puzzle Collaboration + Group * Social Closeness (Sum)+ Group * Social Closeness (Dif) + Group * Interpersonal Distance + Session + (1|DyadID). Subsequently, we fit a model to examine relationships between cardiac synchrony at separate lags and our measures. Models were structured as follows and fit per measure: CardiacSynchrony ∼ Lag * Group * Measure + (1|DyadID). For both steps, we extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\n\n\n### Participants\nThe data presented here are part of a longitudinal hyperscanning dataset, the public sharing of which is forthcoming (R. Moffat and E.S. Cross, manuscript in preparation).\nWe recruited 122 community‐dwelling participants from Zurich, Switzerland (31 older adults, aged 69+ years; 91 younger adults, aged 18–35 years). Included participants were fluent in German and had no known history of neurological or psychological disorders (e.g., stroke, concussion, attention deficit hyperactivity disorder, autism, schizophrenia, or depression). Participants were assigned to intergenerational dyads (n = 31) or same generation dyads (n = 30) based on availability for sessions (e.g., matching people available at the same day/time for 6 consecutive weeks). All dyads started the study as strangers. Intergenerational dyads comprised one older adult (76 ± 4 years); 18 female, 13 male) and one younger adult (24 ± 4 years; 19 female, 11 male, 1 other). Same generation dyads comprised two younger adults (22.5 ± 3.6 years; 36 female, 24 male). Table S1 details the number of individual participants’ recordings and dyads’ sessions that were excluded, as well as the reasons for exclusion.\nOur recruitment campaign involved advertising through the University of Zurich's Healthy Longevity Centre, ETH Zurich's DeSciL student pool, clubs and organizations for senior citizens (e.g., theater groups and choirs/orchestras), and social media. All participants provided written informed consent prior to participation. Ethical approval was obtained from the Ethics Committee of the Canton Zurich (Ref: 2023‐01073). The study was conducted according to the Declaration of Helsinki. We report how we determined our sample size, all data exclusions, all manipulations, and all measures in the study.\nTo obtain ratings of drawings produced by the main sample (described further in Section 2.3.1), we recruited 148 new participants via Prolific after the main study concluded. To be included, participants had to be over 18 years old, proficient English speakers, and residents of the United Kingdom. To ensure response quality, we only accepted participants who had previously completed a minimum of 50 tasks on Prolific with a 100% approval rate. Of these participants, 45 were excluded for failing to respond to all attention checks correctly (i.e., by moving all sliders all the way to the right of the sliding scale when prompted). We thus use ratings from 103 raters in our analyses. We did not collect demographic information from these participants. All participants provided written informed consent. Ethical approval was obtained from the Ethics Committee of ETH Zurich (Ref: 2024‐N‐265). The study was conducted according to the Declaration of Helsinki.\n\n\n### Main Sample\nWe recruited 122 community‐dwelling participants from Zurich, Switzerland (31 older adults, aged 69+ years; 91 younger adults, aged 18–35 years). Included participants were fluent in German and had no known history of neurological or psychological disorders (e.g., stroke, concussion, attention deficit hyperactivity disorder, autism, schizophrenia, or depression). Participants were assigned to intergenerational dyads (n = 31) or same generation dyads (n = 30) based on availability for sessions (e.g., matching people available at the same day/time for 6 consecutive weeks). All dyads started the study as strangers. Intergenerational dyads comprised one older adult (76 ± 4 years); 18 female, 13 male) and one younger adult (24 ± 4 years; 19 female, 11 male, 1 other). Same generation dyads comprised two younger adults (22.5 ± 3.6 years; 36 female, 24 male). Table S1 details the number of individual participants’ recordings and dyads’ sessions that were excluded, as well as the reasons for exclusion.\nOur recruitment campaign involved advertising through the University of Zurich's Healthy Longevity Centre, ETH Zurich's DeSciL student pool, clubs and organizations for senior citizens (e.g., theater groups and choirs/orchestras), and social media. All participants provided written informed consent prior to participation. Ethical approval was obtained from the Ethics Committee of the Canton Zurich (Ref: 2023‐01073). The study was conducted according to the Declaration of Helsinki. We report how we determined our sample size, all data exclusions, all manipulations, and all measures in the study.\n\n\n### External Ratings of Drawings\nTo obtain ratings of drawings produced by the main sample (described further in Section 2.3.1), we recruited 148 new participants via Prolific after the main study concluded. To be included, participants had to be over 18 years old, proficient English speakers, and residents of the United Kingdom. To ensure response quality, we only accepted participants who had previously completed a minimum of 50 tasks on Prolific with a 100% approval rate. Of these participants, 45 were excluded for failing to respond to all attention checks correctly (i.e., by moving all sliders all the way to the right of the sliding scale when prompted). We thus use ratings from 103 raters in our analyses. We did not collect demographic information from these participants. All participants provided written informed consent. Ethical approval was obtained from the Ethics Committee of ETH Zurich (Ref: 2024‐N‐265). The study was conducted according to the Declaration of Helsinki.\n\n\n### Procedure\nEach dyad completed six weekly sessions (once per week, for 6 weeks). At each session, participants completed questionnaires querying feelings of loneliness [41] and attitudes toward their own and the other (older or younger) generation [42]. Participants also completed a questionnaire measuring empathy [43] at the first session. Dyads drew alone once simultaneously and collaboratively twice with oil pastels provided by Caran D'Ache, for a duration of 5 min (Figure 1 and Figure S1). Participants were not given any prompts regarding what to draw or how to draw (e.g., no suggestions for motifs). Participants were instructed not to talk while drawing, so that speech would not be a confound in comparisons of drawing alone (of particular relevance for neural and cardiac measures). Participants were instructed that they could talk freely during the rest of the session. After drawing, participants completed a collaborative activity, with different activities each week. In the third session, the collaborative activity was to complete a 54‐piece jigsaw puzzle. Activities completed on other weeks include sorting pastels, a divergent thinking task, and a joint verbal fluency task. While participants drew and completed collaborative activities, we recorded their cortical activity using functional near‐infrared spectroscopy (fNIRS) over the bilateral inferior frontal gyri and bilateral temporo‐parietal junction. Furthermore, we video‐recorded participants’ movements using a GoPro camera to capture movements of the head and hands. At the end of each session, after we stopped the fNIRS and video recordings, participants completed the Inclusion of Other in Self (IOS) scale [44]. Analyses of fNIRS recordings, loneliness scores, and attitudes toward generations are reported elsewhere, as are additional specifics regarding the fNIRS recording methodology [8].\n(A) Left: An intergenerational dyad drawing independently on separate pieces of paper during fNIRS recording. The dyad members are separated by a gray felt divider that obscures their view of each other. Right: The same intergenerational dyad drawing together on a single piece of paper during fNIRS recording. The colorful lines overlaid on top of the participants show the 2D motion tracking used to capture interpersonal distance, specifically the distance between dyad members’ neck joints. (B) IBI time series of two different dyads, illustrating high and low levels of cardiac synchrony with the produced drawing (see further examples sorted by collaboration ratings in Figure 2). Abbreviation: IBI, inter‐beat interval.\n\n\n### Measures\nEach drawing that the dyads created was judged by independent raters recruited via Prolific. Raters (n = 103) were instructed that they would view 122 drawings, each created by two people at once on a single piece of paper. They were asked to rate the degree of harmony between the elements of the drawings (on a sliding scale from 0 “entirely independent” to 100 “entirely coordinated”) and the use of space (on a sliding scale from 0 “divided” to 100 “unified”). To obtain a measure of the perceived coherence of the drawing, which we propose reflects the level of collaboration during drawing, we summed the ratings of harmony and use of space. Thus, raw scores of drawing collaboration could range from 0 to 200. Examples of drawings with the highest, average, and lowest collaboration ratings are shown in Figure 2.\nExamples of drawings organized by rating of collaboration. Top row = highest collaboration ratings; middle row = average collaboration ratings; bottom row = lowest collaboration ratings. Ratings are derived by summing raters’ ratings of the harmony between the elements of the drawings (0 “entirely independent” to 100 “entirely coordinated”) and use of space (0 “divided” to 100 “unified”). The left‐most drawings in the top and bottom rows are also presented in Figure 1B alongside the IBI time series recorded while the drawings were made. Abbreviation: IBI, inter‐beat interval.\nAfter completing the drawing component of the third session, dyads completed a puzzle as the collaborative activity for that session. Speaking was permitted. Dyads had 6 min to complete a 54‐piece jigsaw puzzle of cartoon animals in a jungle (pieces’ dimensions: ∼ 8 × 8 cm). Dyads’ scores corresponded to the number of pieces assembled in 6 min. In the case that participants assembled all pieces in less than 6 min, the remaining number of seconds to 6 min was divided by 6.66 (the average number of seconds per piece if completed in 6 min; 360 s/54 pieces = 6.66 s) and added to a score of 54.\nTo understand how collaborative behavior shapes feelings of social closeness, we administered the IOS scale [44] after dyads drew together and completed the final collaborative task. Participants viewed seven sets of overlapping circles representing the self and the partner, ranging from no overlap to near complete overlap of the two circles, and indicate which set of circles best represents their relationship with their partner (i.e., the other dyad member). To capture cumulative social closeness within dyads and differences in feelings of social closeness within dyads, we computed summed and absolute difference IOS scores per dyad [21, 45]. We refer to these measures as social closeness (Sum) and social closeness (Dif), respectively.\nWe used the videos recorded at each session to track upper‐body movements while dyads drew together. Specifically, we used OpenPose [46] to estimate 2D pose per frame, returning coordinates for predefined body parts. To assess interpersonal distance (sometimes referred to as proximity in other work), we computed the average distance between the coordinates of each dyad member's neck joint for each 5‐min instance of drawing together. In our analyses, this measure is referred to as distance.\n\n\n### Drawing Collaboration\nEach drawing that the dyads created was judged by independent raters recruited via Prolific. Raters (n = 103) were instructed that they would view 122 drawings, each created by two people at once on a single piece of paper. They were asked to rate the degree of harmony between the elements of the drawings (on a sliding scale from 0 “entirely independent” to 100 “entirely coordinated”) and the use of space (on a sliding scale from 0 “divided” to 100 “unified”). To obtain a measure of the perceived coherence of the drawing, which we propose reflects the level of collaboration during drawing, we summed the ratings of harmony and use of space. Thus, raw scores of drawing collaboration could range from 0 to 200. Examples of drawings with the highest, average, and lowest collaboration ratings are shown in Figure 2.\nExamples of drawings organized by rating of collaboration. Top row = highest collaboration ratings; middle row = average collaboration ratings; bottom row = lowest collaboration ratings. Ratings are derived by summing raters’ ratings of the harmony between the elements of the drawings (0 “entirely independent” to 100 “entirely coordinated”) and use of space (0 “divided” to 100 “unified”). The left‐most drawings in the top and bottom rows are also presented in Figure 1B alongside the IBI time series recorded while the drawings were made. Abbreviation: IBI, inter‐beat interval.\n\n\n### Puzzle Collaboration\nAfter completing the drawing component of the third session, dyads completed a puzzle as the collaborative activity for that session. Speaking was permitted. Dyads had 6 min to complete a 54‐piece jigsaw puzzle of cartoon animals in a jungle (pieces’ dimensions: ∼ 8 × 8 cm). Dyads’ scores corresponded to the number of pieces assembled in 6 min. In the case that participants assembled all pieces in less than 6 min, the remaining number of seconds to 6 min was divided by 6.66 (the average number of seconds per piece if completed in 6 min; 360 s/54 pieces = 6.66 s) and added to a score of 54.\n\n\n### Social Closeness\nTo understand how collaborative behavior shapes feelings of social closeness, we administered the IOS scale [44] after dyads drew together and completed the final collaborative task. Participants viewed seven sets of overlapping circles representing the self and the partner, ranging from no overlap to near complete overlap of the two circles, and indicate which set of circles best represents their relationship with their partner (i.e., the other dyad member). To capture cumulative social closeness within dyads and differences in feelings of social closeness within dyads, we computed summed and absolute difference IOS scores per dyad [21, 45]. We refer to these measures as social closeness (Sum) and social closeness (Dif), respectively.\n\n\n### Interpersonal Distance\nWe used the videos recorded at each session to track upper‐body movements while dyads drew together. Specifically, we used OpenPose [46] to estimate 2D pose per frame, returning coordinates for predefined body parts. To assess interpersonal distance (sometimes referred to as proximity in other work), we computed the average distance between the coordinates of each dyad member's neck joint for each 5‐min instance of drawing together. In our analyses, this measure is referred to as distance.\n\n\n### Data Analysis\nAs per our preregistration, we extracted the cardiac signal by identifying peaks in HbO concentrations [47]. We cleaned the HbO signal from neural and further physiological components such as Mayer waves by upsampling it to 100 Hz and applying a zero‐phase third‐order Butterworth IIR band‐pass filter [48] with cut‐offs at 0.5 and 2.5 Hz [49]. Then, we smoothed the signals using a Savitzky−Golay filter with a window length of 15 and a fifth‐order polynomial. We identified peaks with the AMPD algorithm [47], implemented in the Python ampdlib package [50], and transformed the signal peak timestamps to an inter‐beat interval (IBI) time series, smoothly interpolated at 4 Hz. We originally preregistered ARIMA cleaning [51], but in practice, it reduced the signal to near‐zero fluctuations, largely removing the slow structure that may reflect the physiology of interest in this context. Given the lower signal‐to‐noise ratio of fNIRS‐derived IBIs when compared to electrocardiography signals, and our total number of samples (fNIRS signals recorded at ∼ 5 Hz), we instead analyzed IBI series on their original scale to retain physiologically meaningful variance.\nWe calculated cross‐correlation functions (CCFs) between all dyads’ cleaned physiological signals in each session and activity across time lags of ± 3 s (−12 to +12 lags at 4 Hz) and retained nonabsolute CCF values. Examples of time series yielding high and low cardiac synchrony estimates are visualized in Figure 1B.\nWe completed our preregistered exploratory statistical analyses using a Bayesian approach to multilevel regression [52]. We fit models using the brms package (version 22.2 [53]) in the R language (version 4.5.1 [54]) within the RStudio IDE (version 2025.05.1 + 513 [55]). We report and interpret the posterior distribution of relevant model parameters using a 95% credible interval, calculated via the 95% highest posterior density region (HPD) method [52]. For readers familiar with frequentist approaches that include p‐values, we recommend perusing Kruschke and Liddell [56], and we share a simplified heuristic for interpreting HPDs: Parameter and comparison estimates can be considered substantial when the HPD does not contain zero, and can be considered trends when the tip of an HPD tail overlaps with zero.\nTo assess the extent to which collaboration, social closeness, and interpersonal distance changed across the six sessions, as well as relationships between measures, we fit a series of models in the following structure: MeasureA ∼ 1 + MeasureB * Group * Session + (1|DyadID). We extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\nWe first sought to establish if cardiac synchrony levels differed substantially between real and pseudo dyads. We fit the following model: CardiacSynchrony ∼ DyadType * Group * Task * Session. We did not include random intercepts at this stage, as the total number of real and pseudo dyads exceeded 6000. Random intercepts, accounting for dyad‐level variance, were included in subsequent group‐level analyses. Contrasts between real and pseudo dyads were computed to confirm that some components of cardiac synchrony were attributable to real social interaction, as opposed to similar experiences or homeostatic biological rhythms.\nFirst, we fit a model to the cardiac synchrony data, which we averaged across all lags. The model was: CardiacSynchrony ∼ Group * Drawing Collaboration + Group * Puzzle Collaboration + Group * Social Closeness (Sum)+ Group * Social Closeness (Dif) + Group * Interpersonal Distance + Session + (1|DyadID). Subsequently, we fit a model to examine relationships between cardiac synchrony at separate lags and our measures. Models were structured as follows and fit per measure: CardiacSynchrony ∼ Lag * Group * Measure + (1|DyadID). For both steps, we extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\n\n\n### Extracting Inter‐Beat Intervals\nAs per our preregistration, we extracted the cardiac signal by identifying peaks in HbO concentrations [47]. We cleaned the HbO signal from neural and further physiological components such as Mayer waves by upsampling it to 100 Hz and applying a zero‐phase third‐order Butterworth IIR band‐pass filter [48] with cut‐offs at 0.5 and 2.5 Hz [49]. Then, we smoothed the signals using a Savitzky−Golay filter with a window length of 15 and a fifth‐order polynomial. We identified peaks with the AMPD algorithm [47], implemented in the Python ampdlib package [50], and transformed the signal peak timestamps to an inter‐beat interval (IBI) time series, smoothly interpolated at 4 Hz. We originally preregistered ARIMA cleaning [51], but in practice, it reduced the signal to near‐zero fluctuations, largely removing the slow structure that may reflect the physiology of interest in this context. Given the lower signal‐to‐noise ratio of fNIRS‐derived IBIs when compared to electrocardiography signals, and our total number of samples (fNIRS signals recorded at ∼ 5 Hz), we instead analyzed IBI series on their original scale to retain physiologically meaningful variance.\n\n\n### Calculating Dyadic Synchrony\nWe calculated cross‐correlation functions (CCFs) between all dyads’ cleaned physiological signals in each session and activity across time lags of ± 3 s (−12 to +12 lags at 4 Hz) and retained nonabsolute CCF values. Examples of time series yielding high and low cardiac synchrony estimates are visualized in Figure 1B.\n\n\n### Group‐Level Analysis\nWe completed our preregistered exploratory statistical analyses using a Bayesian approach to multilevel regression [52]. We fit models using the brms package (version 22.2 [53]) in the R language (version 4.5.1 [54]) within the RStudio IDE (version 2025.05.1 + 513 [55]). We report and interpret the posterior distribution of relevant model parameters using a 95% credible interval, calculated via the 95% highest posterior density region (HPD) method [52]. For readers familiar with frequentist approaches that include p‐values, we recommend perusing Kruschke and Liddell [56], and we share a simplified heuristic for interpreting HPDs: Parameter and comparison estimates can be considered substantial when the HPD does not contain zero, and can be considered trends when the tip of an HPD tail overlaps with zero.\nTo assess the extent to which collaboration, social closeness, and interpersonal distance changed across the six sessions, as well as relationships between measures, we fit a series of models in the following structure: MeasureA ∼ 1 + MeasureB * Group * Session + (1|DyadID). We extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\nWe first sought to establish if cardiac synchrony levels differed substantially between real and pseudo dyads. We fit the following model: CardiacSynchrony ∼ DyadType * Group * Task * Session. We did not include random intercepts at this stage, as the total number of real and pseudo dyads exceeded 6000. Random intercepts, accounting for dyad‐level variance, were included in subsequent group‐level analyses. Contrasts between real and pseudo dyads were computed to confirm that some components of cardiac synchrony were attributable to real social interaction, as opposed to similar experiences or homeostatic biological rhythms.\nFirst, we fit a model to the cardiac synchrony data, which we averaged across all lags. The model was: CardiacSynchrony ∼ Group * Drawing Collaboration + Group * Puzzle Collaboration + Group * Social Closeness (Sum)+ Group * Social Closeness (Dif) + Group * Interpersonal Distance + Session + (1|DyadID). Subsequently, we fit a model to examine relationships between cardiac synchrony at separate lags and our measures. Models were structured as follows and fit per measure: CardiacSynchrony ∼ Lag * Group * Measure + (1|DyadID). For both steps, we extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\n\n\n### Measures of Collaboration, Social Closeness, and Interpersonal Distance\nTo assess the extent to which collaboration, social closeness, and interpersonal distance changed across the six sessions, as well as relationships between measures, we fit a series of models in the following structure: MeasureA ∼ 1 + MeasureB * Group * Session + (1|DyadID). We extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\n\n\n### Cardiac Synchrony for All Sessions Combined and Across Sessions\nWe first sought to establish if cardiac synchrony levels differed substantially between real and pseudo dyads. We fit the following model: CardiacSynchrony ∼ DyadType * Group * Task * Session. We did not include random intercepts at this stage, as the total number of real and pseudo dyads exceeded 6000. Random intercepts, accounting for dyad‐level variance, were included in subsequent group‐level analyses. Contrasts between real and pseudo dyads were computed to confirm that some components of cardiac synchrony were attributable to real social interaction, as opposed to similar experiences or homeostatic biological rhythms.\n\n\n### Relationships Between Cardiac Synchrony and Measures of Collaboration, Social Closeness, and Interpersonal Distance\nFirst, we fit a model to the cardiac synchrony data, which we averaged across all lags. The model was: CardiacSynchrony ∼ Group * Drawing Collaboration + Group * Puzzle Collaboration + Group * Social Closeness (Sum)+ Group * Social Closeness (Dif) + Group * Interpersonal Distance + Session + (1|DyadID). Subsequently, we fit a model to examine relationships between cardiac synchrony at separate lags and our measures. Models were structured as follows and fit per measure: CardiacSynchrony ∼ Lag * Group * Measure + (1|DyadID). For both steps, we extracted point estimates for all sessions combined and slopes across sessions, and subsequently computed contrasts between groups (intergenerational vs. same generation).\n\n\n### Results\nSee Table 1 for estimates and 95% HPD for each measure. Analyses of drawing collaboration, puzzle collaboration, and interpersonal distance are original to this study. Social closeness (Sum) and (Dif) have previously been analyzed by our research team [8]; we include these analyses here for completeness.\nStandardized estimates computed per behavioral and self‐report measure with HPD in square brackets.\nDrawing\ncollaboration\nPuzzle\ncollaboration\nSocial\ncloseness (Sum)\nSocial\ncloseness (Dif)\nInterpersonal\ndistance\nNote: Point estimates for all six sessions combined are presented first, followed by the estimates of the slope of change across sessions in the lower section. No slope of change is available for puzzle collaboration, as dyads only completed the puzzle task once, at the third session.\nAbbreviations: Dif, absolute difference; gen, generation; HPD, highest posterior density region; Sum, summed.\nDrawing collaboration differed substantially between groups, with the intergenerational drawings showing greater collaboration than same generation drawings. Drawing collaboration did not change substantially across sessions for either group, though there was a trend of intergenerational dyads showing a greater increase in collaboration than same generation dyads.\nPuzzle collaboration differed markedly between groups, with same generation dyads scoring substantially higher than intergenerational dyads.\nSummed social closeness was substantially greater for intergenerational dyads than same generation dyads. Summed social closeness increased substantially across sessions for both groups at a similar rate.\nIntergenerational dyads showed substantially greater differences in dyadic social closeness than same generation dyads. Dyadic differences in social closeness decreased across sessions substantially for same generation dyads and showed the same trend for intergenerational dyads.\nInterpersonal distance showed a trending group difference, with same generation dyads showing substantially lower interpersonal distance than intergenerational dyads. Interpersonal distance increased substantially across sessions for same generation dyads only. Comparisons between groups showed a trending group difference, where the slope of change in interpersonal distance across sessions was more positive for same generation than intergenerational dyads.\nRelationships between measures of collaboration, self‐reported social closeness, and interpersonal distance per group are illustrated in Figure 3. Drawing collaboration was substantially positively associated with puzzle collaboration for the intergenerational group only, yielding a substantial difference between intergenerational and same generation dyads (β = 0.26, [0.08, 0.42]). Drawing collaboration was substantially positively associated with summed social closeness for both groups, but the association was stronger for same generation dyads, relative to intergenerational dyads (β = –0.16, HPD = [–0.30, –0.02]). Drawing collaboration was not substantially associated with differences in dyadic social closeness. Drawing collaboration was substantially negatively associated with interpersonal distance for intergenerational dyads and substantially positively associated with interpersonal distance for same generation dyads, yielding a substantial group difference (β = –0.21, HPD = [–0.25, –0.07]). Puzzle collaboration was substantially negatively associated with summed social closeness for same generation dyads only, resulting in a substantial group difference (β = 0.18, HPD = [0.06, 0.30]). Puzzle collaboration was also substantially negatively associated with differences in dyadic social closeness for same generation dyads only, resulting in a substantial group difference (β = 0.21, HPD = [0.09, 0.33]). Puzzle collaboration was substantially negatively associated with interpersonal distance for same generation dyads only, and no substantial group difference was observed. Summed social closeness was substantially positively associated with dyadic differences in social closeness for both groups and did not differ substantially between groups. Interpersonal distance was substantially positively associated with summed social closeness for intergenerational dyads and substantially negatively associated with summed social closeness for same generation dyads, with a substantial difference between groups (β = 0.22, HPD = [0.08, 0.36]). Interpersonal distance showed a trending negative association with differences in dyadic social closeness for intergenerational dyads and a substantial positive association for same generation dyads, yielding a substantial difference between groups (β = –0.20, HPD = [–0.35,−0.06]).\nStandardized estimates of the relationship between behavioral and self‐report measure per group. Black squares indicate that relationships are substantial (i.e., 95% HPD does not overlap with zero). Note: The relationship between Interpersonal Distance and Social Closeness (Dif) for same generation dyads is trending, rather than substantial, but in a black square to facilitate interpretation of results. Standardized parameter estimates per measure shown with 95% HPD in Table S2. Abbreviations: Dif, difference; Sum, summation.\nIn plain language, these findings can be summarized as follows: Intergenerational dyads’ collaboration was similar across different tasks. Dyads who drew more collaboratively also assembled more pieces of the jigsaw puzzle collaboratively. For both groups, dyads’ summed social closeness predicted their level of drawing collaboration (i.e., both members feeling very close co‐occurred with higher drawing collaboration). Intergenerational dyads who sat physically closer together made more collaborative‐looking drawings, whereas the same was true for same generation dyads who sat further apart. Intergenerational dyads who sat closer together reported feeling socially closer to each other, whereas same generation dyads who sat further apart reported feeling socially closer to each other.\nFor all lags averaged and separate lags, we observed no substantial difference in cardiac synchrony levels between real and pseudo dyads for drawing together or alone (Figure S2).\nFor all lags averaged and separate lags, the rate of change in cardiac synchrony across sessions (all lags averaged) did not differ substantially between real and pseudo dyads for drawing together or alone (Figure 4 and Figure S3).\nTrajectories of cardiac synchrony in real and pseudo dyads across sessions. The top panel shows individual data points (dots) and estimated slopes (lines). Bottom panel zooms in on the estimated slopes, with gray shading showing 95%, 89%, and 50% intervals of the posterior predictive distributions. Neither the overall level of cardiac synchrony for all sessions combined nor the rate of change in cardiac synchrony across sessions differed substantially between real and pseudo dyads. Though real dyads’ cardiac synchrony trajectories across sessions may appear to differ, the 95% HPD overlaps > 10% (threshold for a trend, Section 2.4.3) for drawing alone and together.\nWe interpret these findings as follows: Any two individuals meeting the inclusion criteria, who experience the specific dyadic experimental environment applied here, would show comparable levels of cardiac synchrony. True interaction with an assigned partner does not appear to contribute uniquely to cardiac synchrony levels. We present the further analyses in accordance with our preregistration.\nFor all lags averaged, we observed no substantial effects of drawing task, group, or task*group interactions on cardiac synchrony levels.\nFor all lags averaged, we observed no substantial main effect (i.e., no substantial change in cardiac synchrony levels across sessions) and no substantial effects of drawing task, group, or task*group interactions on the slope of cardiac synchrony across sessions.\nAs per our preregistration, we first explored relationships between cardiac synchrony with all lags averaged, collaborative behavior, social closeness, and distance. We found no substantial relationships between cardiac synchrony and either measure of collaboration, social closeness, or interpersonal distance. Also in line with our preregistration, we explored relationships between cardiac synchrony and each measure per lag (n = 25; from –3000 to 3000 ms in 250 ms increments). We observed no substantial relationships for any measure and no substantial difference between groups at any lag (Figure 5). For drawing collaboration, intergenerational dyads showed a trending positive relationship between cardiac synchrony and drawing collaboration at all lags except –3000, –2750, –2500, and –1750 ms. Note: 95% HPD with no overlap with 0 indicates a slope substantially different than 0, < 10% overlap with 0 indicates a trending difference from 0. At the four lags that did not show trending differences, the degree of 95% HPD overlap with 0 ranged from 10% to 14%. For intergenerational dyads, positive lags reflect the older dyad member's IBI signal leading or coming earlier in time, and negative lags reflect the younger member's IBI signal leading or coming earlier in time. As we observed trending positive and negative lags trending, there is no evidence that a dyad member of a certain generation fills a leader role.\nStandardized estimates of the relationship between cardiac synchrony and session number, as well as behavioral measures of collaboration, self‐reported measures of social closeness, and interpersonal distance per lag (n = 25; from −3000 to 3000 ms in 250 ms increments). No substantial relationships observed. Drawing collaboration panel shows trending relationships between cardiac synchrony and drawing collaboration scores for intergenerational dyads at all but four lags. See Figure S4 for visualization, including error bars showing 95% HDP.\n\n\n### Behavioral and Self‐Report Measures\nSee Table 1 for estimates and 95% HPD for each measure. Analyses of drawing collaboration, puzzle collaboration, and interpersonal distance are original to this study. Social closeness (Sum) and (Dif) have previously been analyzed by our research team [8]; we include these analyses here for completeness.\nStandardized estimates computed per behavioral and self‐report measure with HPD in square brackets.\nDrawing\ncollaboration\nPuzzle\ncollaboration\nSocial\ncloseness (Sum)\nSocial\ncloseness (Dif)\nInterpersonal\ndistance\nNote: Point estimates for all six sessions combined are presented first, followed by the estimates of the slope of change across sessions in the lower section. No slope of change is available for puzzle collaboration, as dyads only completed the puzzle task once, at the third session.\nAbbreviations: Dif, absolute difference; gen, generation; HPD, highest posterior density region; Sum, summed.\nDrawing collaboration differed substantially between groups, with the intergenerational drawings showing greater collaboration than same generation drawings. Drawing collaboration did not change substantially across sessions for either group, though there was a trend of intergenerational dyads showing a greater increase in collaboration than same generation dyads.\nPuzzle collaboration differed markedly between groups, with same generation dyads scoring substantially higher than intergenerational dyads.\nSummed social closeness was substantially greater for intergenerational dyads than same generation dyads. Summed social closeness increased substantially across sessions for both groups at a similar rate.\nIntergenerational dyads showed substantially greater differences in dyadic social closeness than same generation dyads. Dyadic differences in social closeness decreased across sessions substantially for same generation dyads and showed the same trend for intergenerational dyads.\nInterpersonal distance showed a trending group difference, with same generation dyads showing substantially lower interpersonal distance than intergenerational dyads. Interpersonal distance increased substantially across sessions for same generation dyads only. Comparisons between groups showed a trending group difference, where the slope of change in interpersonal distance across sessions was more positive for same generation than intergenerational dyads.\nRelationships between measures of collaboration, self‐reported social closeness, and interpersonal distance per group are illustrated in Figure 3. Drawing collaboration was substantially positively associated with puzzle collaboration for the intergenerational group only, yielding a substantial difference between intergenerational and same generation dyads (β = 0.26, [0.08, 0.42]). Drawing collaboration was substantially positively associated with summed social closeness for both groups, but the association was stronger for same generation dyads, relative to intergenerational dyads (β = –0.16, HPD = [–0.30, –0.02]). Drawing collaboration was not substantially associated with differences in dyadic social closeness. Drawing collaboration was substantially negatively associated with interpersonal distance for intergenerational dyads and substantially positively associated with interpersonal distance for same generation dyads, yielding a substantial group difference (β = –0.21, HPD = [–0.25, –0.07]). Puzzle collaboration was substantially negatively associated with summed social closeness for same generation dyads only, resulting in a substantial group difference (β = 0.18, HPD = [0.06, 0.30]). Puzzle collaboration was also substantially negatively associated with differences in dyadic social closeness for same generation dyads only, resulting in a substantial group difference (β = 0.21, HPD = [0.09, 0.33]). Puzzle collaboration was substantially negatively associated with interpersonal distance for same generation dyads only, and no substantial group difference was observed. Summed social closeness was substantially positively associated with dyadic differences in social closeness for both groups and did not differ substantially between groups. Interpersonal distance was substantially positively associated with summed social closeness for intergenerational dyads and substantially negatively associated with summed social closeness for same generation dyads, with a substantial difference between groups (β = 0.22, HPD = [0.08, 0.36]). Interpersonal distance showed a trending negative association with differences in dyadic social closeness for intergenerational dyads and a substantial positive association for same generation dyads, yielding a substantial difference between groups (β = –0.20, HPD = [–0.35,−0.06]).\nStandardized estimates of the relationship between behavioral and self‐report measure per group. Black squares indicate that relationships are substantial (i.e., 95% HPD does not overlap with zero). Note: The relationship between Interpersonal Distance and Social Closeness (Dif) for same generation dyads is trending, rather than substantial, but in a black square to facilitate interpretation of results. Standardized parameter estimates per measure shown with 95% HPD in Table S2. Abbreviations: Dif, difference; Sum, summation.\nIn plain language, these findings can be summarized as follows: Intergenerational dyads’ collaboration was similar across different tasks. Dyads who drew more collaboratively also assembled more pieces of the jigsaw puzzle collaboratively. For both groups, dyads’ summed social closeness predicted their level of drawing collaboration (i.e., both members feeling very close co‐occurred with higher drawing collaboration). Intergenerational dyads who sat physically closer together made more collaborative‐looking drawings, whereas the same was true for same generation dyads who sat further apart. Intergenerational dyads who sat closer together reported feeling socially closer to each other, whereas same generation dyads who sat further apart reported feeling socially closer to each other.\n\n\n### Contrasts Between Groups\nSee Table 1 for estimates and 95% HPD for each measure. Analyses of drawing collaboration, puzzle collaboration, and interpersonal distance are original to this study. Social closeness (Sum) and (Dif) have previously been analyzed by our research team [8]; we include these analyses here for completeness.\nStandardized estimates computed per behavioral and self‐report measure with HPD in square brackets.\nDrawing\ncollaboration\nPuzzle\ncollaboration\nSocial\ncloseness (Sum)\nSocial\ncloseness (Dif)\nInterpersonal\ndistance\nNote: Point estimates for all six sessions combined are presented first, followed by the estimates of the slope of change across sessions in the lower section. No slope of change is available for puzzle collaboration, as dyads only completed the puzzle task once, at the third session.\nAbbreviations: Dif, absolute difference; gen, generation; HPD, highest posterior density region; Sum, summed.\nDrawing collaboration differed substantially between groups, with the intergenerational drawings showing greater collaboration than same generation drawings. Drawing collaboration did not change substantially across sessions for either group, though there was a trend of intergenerational dyads showing a greater increase in collaboration than same generation dyads.\nPuzzle collaboration differed markedly between groups, with same generation dyads scoring substantially higher than intergenerational dyads.\nSummed social closeness was substantially greater for intergenerational dyads than same generation dyads. Summed social closeness increased substantially across sessions for both groups at a similar rate.\nIntergenerational dyads showed substantially greater differences in dyadic social closeness than same generation dyads. Dyadic differences in social closeness decreased across sessions substantially for same generation dyads and showed the same trend for intergenerational dyads.\nInterpersonal distance showed a trending group difference, with same generation dyads showing substantially lower interpersonal distance than intergenerational dyads. Interpersonal distance increased substantially across sessions for same generation dyads only. Comparisons between groups showed a trending group difference, where the slope of change in interpersonal distance across sessions was more positive for same generation than intergenerational dyads.\n\n\n### Drawing Collaboration\nDrawing collaboration differed substantially between groups, with the intergenerational drawings showing greater collaboration than same generation drawings. Drawing collaboration did not change substantially across sessions for either group, though there was a trend of intergenerational dyads showing a greater increase in collaboration than same generation dyads.\n\n\n### Puzzle Collaboration\nPuzzle collaboration differed markedly between groups, with same generation dyads scoring substantially higher than intergenerational dyads.\n\n\n### Social Closeness (Sum)\nSummed social closeness was substantially greater for intergenerational dyads than same generation dyads. Summed social closeness increased substantially across sessions for both groups at a similar rate.\n\n\n### Social Closeness (Dif)\nIntergenerational dyads showed substantially greater differences in dyadic social closeness than same generation dyads. Dyadic differences in social closeness decreased across sessions substantially for same generation dyads and showed the same trend for intergenerational dyads.\n\n\n### Interpersonal Distance\nInterpersonal distance showed a trending group difference, with same generation dyads showing substantially lower interpersonal distance than intergenerational dyads. Interpersonal distance increased substantially across sessions for same generation dyads only. Comparisons between groups showed a trending group difference, where the slope of change in interpersonal distance across sessions was more positive for same generation than intergenerational dyads.\n\n\n### Relationships Between Measures\nRelationships between measures of collaboration, self‐reported social closeness, and interpersonal distance per group are illustrated in Figure 3. Drawing collaboration was substantially positively associated with puzzle collaboration for the intergenerational group only, yielding a substantial difference between intergenerational and same generation dyads (β = 0.26, [0.08, 0.42]). Drawing collaboration was substantially positively associated with summed social closeness for both groups, but the association was stronger for same generation dyads, relative to intergenerational dyads (β = –0.16, HPD = [–0.30, –0.02]). Drawing collaboration was not substantially associated with differences in dyadic social closeness. Drawing collaboration was substantially negatively associated with interpersonal distance for intergenerational dyads and substantially positively associated with interpersonal distance for same generation dyads, yielding a substantial group difference (β = –0.21, HPD = [–0.25, –0.07]). Puzzle collaboration was substantially negatively associated with summed social closeness for same generation dyads only, resulting in a substantial group difference (β = 0.18, HPD = [0.06, 0.30]). Puzzle collaboration was also substantially negatively associated with differences in dyadic social closeness for same generation dyads only, resulting in a substantial group difference (β = 0.21, HPD = [0.09, 0.33]). Puzzle collaboration was substantially negatively associated with interpersonal distance for same generation dyads only, and no substantial group difference was observed. Summed social closeness was substantially positively associated with dyadic differences in social closeness for both groups and did not differ substantially between groups. Interpersonal distance was substantially positively associated with summed social closeness for intergenerational dyads and substantially negatively associated with summed social closeness for same generation dyads, with a substantial difference between groups (β = 0.22, HPD = [0.08, 0.36]). Interpersonal distance showed a trending negative association with differences in dyadic social closeness for intergenerational dyads and a substantial positive association for same generation dyads, yielding a substantial difference between groups (β = –0.20, HPD = [–0.35,−0.06]).\nStandardized estimates of the relationship between behavioral and self‐report measure per group. Black squares indicate that relationships are substantial (i.e., 95% HPD does not overlap with zero). Note: The relationship between Interpersonal Distance and Social Closeness (Dif) for same generation dyads is trending, rather than substantial, but in a black square to facilitate interpretation of results. Standardized parameter estimates per measure shown with 95% HPD in Table S2. Abbreviations: Dif, difference; Sum, summation.\nIn plain language, these findings can be summarized as follows: Intergenerational dyads’ collaboration was similar across different tasks. Dyads who drew more collaboratively also assembled more pieces of the jigsaw puzzle collaboratively. For both groups, dyads’ summed social closeness predicted their level of drawing collaboration (i.e., both members feeling very close co‐occurred with higher drawing collaboration). Intergenerational dyads who sat physically closer together made more collaborative‐looking drawings, whereas the same was true for same generation dyads who sat further apart. Intergenerational dyads who sat closer together reported feeling socially closer to each other, whereas same generation dyads who sat further apart reported feeling socially closer to each other.\n\n\n### Cardiac Synchrony\nFor all lags averaged and separate lags, we observed no substantial difference in cardiac synchrony levels between real and pseudo dyads for drawing together or alone (Figure S2).\nFor all lags averaged and separate lags, the rate of change in cardiac synchrony across sessions (all lags averaged) did not differ substantially between real and pseudo dyads for drawing together or alone (Figure 4 and Figure S3).\nTrajectories of cardiac synchrony in real and pseudo dyads across sessions. The top panel shows individual data points (dots) and estimated slopes (lines). Bottom panel zooms in on the estimated slopes, with gray shading showing 95%, 89%, and 50% intervals of the posterior predictive distributions. Neither the overall level of cardiac synchrony for all sessions combined nor the rate of change in cardiac synchrony across sessions differed substantially between real and pseudo dyads. Though real dyads’ cardiac synchrony trajectories across sessions may appear to differ, the 95% HPD overlaps > 10% (threshold for a trend, Section 2.4.3) for drawing alone and together.\nWe interpret these findings as follows: Any two individuals meeting the inclusion criteria, who experience the specific dyadic experimental environment applied here, would show comparable levels of cardiac synchrony. True interaction with an assigned partner does not appear to contribute uniquely to cardiac synchrony levels. We present the further analyses in accordance with our preregistration.\nFor all lags averaged, we observed no substantial effects of drawing task, group, or task*group interactions on cardiac synchrony levels.\nFor all lags averaged, we observed no substantial main effect (i.e., no substantial change in cardiac synchrony levels across sessions) and no substantial effects of drawing task, group, or task*group interactions on the slope of cardiac synchrony across sessions.\n\n\n### Comparing Real and Pseudo Dyads\nFor all lags averaged and separate lags, we observed no substantial difference in cardiac synchrony levels between real and pseudo dyads for drawing together or alone (Figure S2).\nFor all lags averaged and separate lags, the rate of change in cardiac synchrony across sessions (all lags averaged) did not differ substantially between real and pseudo dyads for drawing together or alone (Figure 4 and Figure S3).\nTrajectories of cardiac synchrony in real and pseudo dyads across sessions. The top panel shows individual data points (dots) and estimated slopes (lines). Bottom panel zooms in on the estimated slopes, with gray shading showing 95%, 89%, and 50% intervals of the posterior predictive distributions. Neither the overall level of cardiac synchrony for all sessions combined nor the rate of change in cardiac synchrony across sessions differed substantially between real and pseudo dyads. Though real dyads’ cardiac synchrony trajectories across sessions may appear to differ, the 95% HPD overlaps > 10% (threshold for a trend, Section 2.4.3) for drawing alone and together.\nWe interpret these findings as follows: Any two individuals meeting the inclusion criteria, who experience the specific dyadic experimental environment applied here, would show comparable levels of cardiac synchrony. True interaction with an assigned partner does not appear to contribute uniquely to cardiac synchrony levels. We present the further analyses in accordance with our preregistration.\n\n\n### All Sessions Combined\nFor all lags averaged and separate lags, we observed no substantial difference in cardiac synchrony levels between real and pseudo dyads for drawing together or alone (Figure S2).\n\n\n### Across Sessions\nFor all lags averaged and separate lags, the rate of change in cardiac synchrony across sessions (all lags averaged) did not differ substantially between real and pseudo dyads for drawing together or alone (Figure 4 and Figure S3).\nTrajectories of cardiac synchrony in real and pseudo dyads across sessions. The top panel shows individual data points (dots) and estimated slopes (lines). Bottom panel zooms in on the estimated slopes, with gray shading showing 95%, 89%, and 50% intervals of the posterior predictive distributions. Neither the overall level of cardiac synchrony for all sessions combined nor the rate of change in cardiac synchrony across sessions differed substantially between real and pseudo dyads. Though real dyads’ cardiac synchrony trajectories across sessions may appear to differ, the 95% HPD overlaps > 10% (threshold for a trend, Section 2.4.3) for drawing alone and together.\nWe interpret these findings as follows: Any two individuals meeting the inclusion criteria, who experience the specific dyadic experimental environment applied here, would show comparable levels of cardiac synchrony. True interaction with an assigned partner does not appear to contribute uniquely to cardiac synchrony levels. We present the further analyses in accordance with our preregistration.\n\n\n### Comparisons Between Drawing Conditions and Groups\nFor all lags averaged, we observed no substantial effects of drawing task, group, or task*group interactions on cardiac synchrony levels.\nFor all lags averaged, we observed no substantial main effect (i.e., no substantial change in cardiac synchrony levels across sessions) and no substantial effects of drawing task, group, or task*group interactions on the slope of cardiac synchrony across sessions.\n\n\n### All Sessions Combined\nFor all lags averaged, we observed no substantial effects of drawing task, group, or task*group interactions on cardiac synchrony levels.\n\n\n### Across Sessions\nFor all lags averaged, we observed no substantial main effect (i.e., no substantial change in cardiac synchrony levels across sessions) and no substantial effects of drawing task, group, or task*group interactions on the slope of cardiac synchrony across sessions.\n\n\n### Relationships Between Cardiac Synchrony, Behavior, and Self‐Report Measures\nAs per our preregistration, we first explored relationships between cardiac synchrony with all lags averaged, collaborative behavior, social closeness, and distance. We found no substantial relationships between cardiac synchrony and either measure of collaboration, social closeness, or interpersonal distance. Also in line with our preregistration, we explored relationships between cardiac synchrony and each measure per lag (n = 25; from –3000 to 3000 ms in 250 ms increments). We observed no substantial relationships for any measure and no substantial difference between groups at any lag (Figure 5). For drawing collaboration, intergenerational dyads showed a trending positive relationship between cardiac synchrony and drawing collaboration at all lags except –3000, –2750, –2500, and –1750 ms. Note: 95% HPD with no overlap with 0 indicates a slope substantially different than 0, < 10% overlap with 0 indicates a trending difference from 0. At the four lags that did not show trending differences, the degree of 95% HPD overlap with 0 ranged from 10% to 14%. For intergenerational dyads, positive lags reflect the older dyad member's IBI signal leading or coming earlier in time, and negative lags reflect the younger member's IBI signal leading or coming earlier in time. As we observed trending positive and negative lags trending, there is no evidence that a dyad member of a certain generation fills a leader role.\nStandardized estimates of the relationship between cardiac synchrony and session number, as well as behavioral measures of collaboration, self‐reported measures of social closeness, and interpersonal distance per lag (n = 25; from −3000 to 3000 ms in 250 ms increments). No substantial relationships observed. Drawing collaboration panel shows trending relationships between cardiac synchrony and drawing collaboration scores for intergenerational dyads at all but four lags. See Figure S4 for visualization, including error bars showing 95% HDP.\n\n\n### Discussion\nIn this study, we charted cardiac synchrony, collaborative behaviors, and social closeness in intergenerational and same generation dyads across six sessions in an everyday context resembling a community art program. Dyads’ collaborative behaviors and measures of social closeness showed nuanced relationships, primarily characterized by greater collaboration in cases of greater social closeness. For cardiac synchrony—both averaged and separate lags—we found no substantial differences between real and pseudo dyads overall or across sessions, no substantial task or group differences among real dyads overall or across sessions, and no substantial relationships between cardiac synchrony and any measure of behavior. We found trends of substantial relationships for intergenerational dyads between cardiac synchrony and drawing collaboration at all but four lags, with the four nontrending lags showing the same numerical relationship. We propose that these findings, considered together, suggest that cardiac synchrony is to a limited extent sensitive to higher stakes, open‐ended collaboration. We discuss the implications of these findings below.\nIntergenerational and same generation dyads exhibited some similarities in behavioral measures alongside marked differences. For both groups, greater cumulative feelings of social closeness within dyads co‐occurred with greater ratings of collaboration of the dyads’ drawings. This finding is consistent with previous findings [57, 58, 59]. Notably, however, same generation dyads who reported more similar feelings of social closeness (as opposed to intergenerational dyads) completed the jigsaw puzzle more quickly. This pattern was not present in intergenerational dyads. We propose that drawing and puzzle assembly, both collaborative tasks, differ in the clarity of the goal. The goal of puzzle assembly is clear to both dyad members (i.e., correctly assemble all pieces before time runs out), while the goal of drawing may be more open‐ended, based on the amount and specificity of dyads’ verbal planning prior to drawing and the process of codrawing without talking. For reasons relating to experimental control, most studies to date have focused on collaborative tasks with clear end goals [11, 23, 27, 60]. The value of the large dataset and analyses that we present here lies in their ecological validity. That is, they reflect everyday collaboration arguably more accurately than some laboratory‐based measures reported by previous studies. Everyday collaboration inherently entails free choice regarding the extent to which one engages and mutual adaptation to one's partner, which have consequences for the development of social relationships.\nWe did not expect groups to differ in how close they sat and/or leaned toward one another while drawing together. Yet, intergenerational dyads drew sitting closer together than same generation dyads. Further, the relationships between interpersonal distance and feelings of social closeness, measured as a cumulative score per dyad and the discrepancy between dyad members, were opposing between groups. Intergenerational dyads sat closer when they felt more socially close or had smaller discrepancies in their feelings of social closeness—showing the pattern we anticipated based on existing findings [32, 33, 34]. Same generation dyads, on the other hand, sat closer when they felt less socially close or had greater discrepancies in their feelings of social closeness. These opposite patterns suggest that reduced levels of social comfort during collaboration may amplify dyads’ perceptions of the stakes of the collaboration and result in compensatory behaviors, such as sitting closer to one another. Previous works corroborate this interpretation [61, 62, 63, 64]. Thus, interpersonal distance in collaboration may be a promising objective measure of social closeness and relationship development within recently acquainted dyads.\nOur analyses of cardiac synchrony revealed no substantial differences between real and pseudo dyads overall or across sessions, no substantial task or group differences among real dyads overall or across sessions, and no substantial relationships between cardiac synchrony and any measure of behavior. This was true for averaged and separate lags. The absence of differences between real and pseudo dyads can be interpreted as meaning that any two individuals meeting the inclusion criteria of our study (whether same generation or intergenerational), who drew following the same prompts given by the researchers, in the same context are likely to exhibit comparable levels of cardiac synchrony, whether or not they are in the same room at the same time or acquainted. In other words, the levels of cardiac synchrony observed in this study do not index true interaction between two people. Moreover, the levels of cardiac synchrony observed in this study do not index changes in collaborative behavior or feelings of social closeness across repeated encounters.\nA small number of studies have previously reported that cardiac synchrony does not differ between real and pseudo dyads [60, 65]. Flory et al. [65] present alternative explanations. One is that cardiac synchrony is a spurious finding (i.e., could occur for any two people in the world). We do not think this interpretation applies here as the experimental setting, structure, and inclusion criteria provide substantial structure to the experience of each participant—that is, the description of cardiac synchrony as completely spurious is not founded. Another of Flory et al.’s alternative explanations is that participants operate in a common psychophysiological mode (i.e., similar mental state evoked by the experimental design), aligning with Danyluck and Page‐Gould's [11 (p. 1)] view that “physiological synchrony could simply reflect the mutually experienced demands of a shared environment.” While this is in line with our rationale against spurious cardiac synchrony, we disagree on the basis that we observed trending relationships between cardiac synchrony and drawing collaboration for intergenerational dyads for 21 of 25 lags. We propose that these relationships point to a noteworthy, albeit nonsubstantial, influence of high stakes collaboration on cardiac synchrony.\nWe observed no task or group differences in cardiac synchrony measured within real dyads. Prior research has also reported the absence of task‐specific or performance‐related changes in cardiac synchrony [21, 22, 27, 66]. More specifically, Gordon et al. [22] detected evidence for task differences in cardiac synchrony when participants drummed together at a predetermined speed or drummed freely, improvising together. Similarly, other authors report having found no evidence to support associations between cardiac synchrony and task performance. Boukarras et al. [21] report that reaction times in a dyadic grasping task are not associated with cardiac synchrony. Behrens et al. [66] report that cooperative success is not associated with cardiac synchrony when dyads played the Prisoner's Dilemma game. Strang et al. report that cooperative success is not associated with cardiac synchrony when dyads play Tetris with one person controlling object rotation and the other controlling the positioning [60]. Finally, with respect to measures of social connection and closeness, heart rate coordination (consisting of alternate measures to cardiac synchrony) during Lego building was reported not to be associated with measures of perceived group relatedness or competence, but rather with speech and movement dynamics [27]. Interested readers can find further examples in Mayo and Gordon's review [26]. In summary, despite the large number of studies dedicated to understanding cardiac synchrony on the grounds that cardiac synchrony can offer a window into collaboration and social connection, the extent to which this is true remains a topic worthy of debate (as well as replication).\nFrom a practical perspective, the consistency of nondifferences in cardiac synchrony across our preregistered exploratory analyses suggests that cardiac synchrony is not an optimal measure for predicting collaborative outcomes or relationship development in real‐world environments. Given the mounting interest expressed in using wearable devices to collect objective insights relating to social wellbeing [67, 68, 69, 70], we offer the following recommendation: Organizations, policy makers, and researchers aspiring to use wearable physiological monitoring to track changes in social behaviors and social wellbeing (i.e., social connection) should consider the low explanatory power of cardiac synchrony demonstrated here and pilot extensively before dedicating funding to large‐scale roll‐outs of these devices to measure program engagement or success. We feel justified in making this recommendation based on the sample size (366 samples involving within‐participant/dyad design, which reduces interindividual variability in our analyses). Moreover, other work by our research group shows that interbrain synchrony may index changes in social wellbeing with greater sensitivity [8], though we acknowledge the logistical and financial barriers to larger‐scale introduction of brain imaging measures.\nNonetheless, from an empirical perspective, it is promising that collaborative drawing scores show a trending relationship with cardiac synchrony levels within real intergenerational dyads. This suggests that further research could uncover which social, cognitive, and behavioral conditions need to be met for cardiac synchrony to be sensitive to true dyadic interaction. Based on the behavioral data reported here, we believe these conditions should include higher perceived stakes for successful collaboration. Our behavioral data revealed that intergenerational dyads’ drawings were rated more collaborative than same generation dyads’, and that the elevated levels of drawing collaboration emerged from the group (i.e., intergenerational dyads) that reported lower feelings of social closeness within dyads, more disparate feelings of social closeness within dyads, and sat closer together while drawing together (Table 1). In concert, these behaviors highlight how lower levels of social comfort during collaboration may raise the stakes of the collaboration and may, in turn, contribute to shared fluctuations in arousal during collaboration.\nIn using the term “higher stakes collaboration,” we are attempting to articulate the origin of the decreased social comfort, or increased social tension, as it relates to reputation management [71, 72] or the additional cognitive load stemming from interpersonal uncertainty, that is, lack of common ground [73, 74]. We are open to this being conceptualized in other ways. Follow‐up experiments could probe the extent to which individual strategies and subjective experiences shed light on the nature of such collaboration.\nMeasures of dyadic synchrony can influence observed synchrony levels [75]. We considered this carefully before preregistering our planned pipeline to calculate the IBI time series. We compared a cardiac synchrony approach implemented previously with fNIRS [76] with more common IBI approaches [21, 29]. We opted for IBI to align our work with existing studies examining cardiac synchrony. Future research could use nonlinear methods such as cross‐recurrence quantification analysis, which is suited for nonstationary signals such as IBI [77]. With respect to our comparisons of real and pseudo dyads’ levels of cardiac synchrony, a complementary approach would be to employ segment‐shuffled surrogates within each dyad. In this method, each person's cardiac time series is cut into short segments that are then randomly reordered so that the overall signal properties are preserved, but true timing is disrupted (e.g., Ref. [15]). This would reveal whether true dyads display cardiac synchrony on top of task‐driven similarity. Duration of cardiac signals has been demonstrated to influence the likelihood of finding significant cardiac synchrony, particularly for smaller group sizes such as dyads [78]. From this perspective, our design is optimized to identify true cardiac synchrony, should it be present. Nonetheless, future studies could use dedicated heart‐rhythm monitoring, such as electrocardiograms, to examine free‐choice, unstructured collaboration in intergenerational dyads. In suggesting this, we recognize that a complete replication of this study is likely not feasible, and we support smaller targeted replication efforts.\n\n\n### Relationships Between Behavioral and Self‐Report Measures\nIntergenerational and same generation dyads exhibited some similarities in behavioral measures alongside marked differences. For both groups, greater cumulative feelings of social closeness within dyads co‐occurred with greater ratings of collaboration of the dyads’ drawings. This finding is consistent with previous findings [57, 58, 59]. Notably, however, same generation dyads who reported more similar feelings of social closeness (as opposed to intergenerational dyads) completed the jigsaw puzzle more quickly. This pattern was not present in intergenerational dyads. We propose that drawing and puzzle assembly, both collaborative tasks, differ in the clarity of the goal. The goal of puzzle assembly is clear to both dyad members (i.e., correctly assemble all pieces before time runs out), while the goal of drawing may be more open‐ended, based on the amount and specificity of dyads’ verbal planning prior to drawing and the process of codrawing without talking. For reasons relating to experimental control, most studies to date have focused on collaborative tasks with clear end goals [11, 23, 27, 60]. The value of the large dataset and analyses that we present here lies in their ecological validity. That is, they reflect everyday collaboration arguably more accurately than some laboratory‐based measures reported by previous studies. Everyday collaboration inherently entails free choice regarding the extent to which one engages and mutual adaptation to one's partner, which have consequences for the development of social relationships.\nWe did not expect groups to differ in how close they sat and/or leaned toward one another while drawing together. Yet, intergenerational dyads drew sitting closer together than same generation dyads. Further, the relationships between interpersonal distance and feelings of social closeness, measured as a cumulative score per dyad and the discrepancy between dyad members, were opposing between groups. Intergenerational dyads sat closer when they felt more socially close or had smaller discrepancies in their feelings of social closeness—showing the pattern we anticipated based on existing findings [32, 33, 34]. Same generation dyads, on the other hand, sat closer when they felt less socially close or had greater discrepancies in their feelings of social closeness. These opposite patterns suggest that reduced levels of social comfort during collaboration may amplify dyads’ perceptions of the stakes of the collaboration and result in compensatory behaviors, such as sitting closer to one another. Previous works corroborate this interpretation [61, 62, 63, 64]. Thus, interpersonal distance in collaboration may be a promising objective measure of social closeness and relationship development within recently acquainted dyads.\n\n\n### Cardiac Synchrony Is Not Sensitive to True Interaction, Unless Stakes Are Increased\nOur analyses of cardiac synchrony revealed no substantial differences between real and pseudo dyads overall or across sessions, no substantial task or group differences among real dyads overall or across sessions, and no substantial relationships between cardiac synchrony and any measure of behavior. This was true for averaged and separate lags. The absence of differences between real and pseudo dyads can be interpreted as meaning that any two individuals meeting the inclusion criteria of our study (whether same generation or intergenerational), who drew following the same prompts given by the researchers, in the same context are likely to exhibit comparable levels of cardiac synchrony, whether or not they are in the same room at the same time or acquainted. In other words, the levels of cardiac synchrony observed in this study do not index true interaction between two people. Moreover, the levels of cardiac synchrony observed in this study do not index changes in collaborative behavior or feelings of social closeness across repeated encounters.\nA small number of studies have previously reported that cardiac synchrony does not differ between real and pseudo dyads [60, 65]. Flory et al. [65] present alternative explanations. One is that cardiac synchrony is a spurious finding (i.e., could occur for any two people in the world). We do not think this interpretation applies here as the experimental setting, structure, and inclusion criteria provide substantial structure to the experience of each participant—that is, the description of cardiac synchrony as completely spurious is not founded. Another of Flory et al.’s alternative explanations is that participants operate in a common psychophysiological mode (i.e., similar mental state evoked by the experimental design), aligning with Danyluck and Page‐Gould's [11 (p. 1)] view that “physiological synchrony could simply reflect the mutually experienced demands of a shared environment.” While this is in line with our rationale against spurious cardiac synchrony, we disagree on the basis that we observed trending relationships between cardiac synchrony and drawing collaboration for intergenerational dyads for 21 of 25 lags. We propose that these relationships point to a noteworthy, albeit nonsubstantial, influence of high stakes collaboration on cardiac synchrony.\nWe observed no task or group differences in cardiac synchrony measured within real dyads. Prior research has also reported the absence of task‐specific or performance‐related changes in cardiac synchrony [21, 22, 27, 66]. More specifically, Gordon et al. [22] detected evidence for task differences in cardiac synchrony when participants drummed together at a predetermined speed or drummed freely, improvising together. Similarly, other authors report having found no evidence to support associations between cardiac synchrony and task performance. Boukarras et al. [21] report that reaction times in a dyadic grasping task are not associated with cardiac synchrony. Behrens et al. [66] report that cooperative success is not associated with cardiac synchrony when dyads played the Prisoner's Dilemma game. Strang et al. report that cooperative success is not associated with cardiac synchrony when dyads play Tetris with one person controlling object rotation and the other controlling the positioning [60]. Finally, with respect to measures of social connection and closeness, heart rate coordination (consisting of alternate measures to cardiac synchrony) during Lego building was reported not to be associated with measures of perceived group relatedness or competence, but rather with speech and movement dynamics [27]. Interested readers can find further examples in Mayo and Gordon's review [26]. In summary, despite the large number of studies dedicated to understanding cardiac synchrony on the grounds that cardiac synchrony can offer a window into collaboration and social connection, the extent to which this is true remains a topic worthy of debate (as well as replication).\nFrom a practical perspective, the consistency of nondifferences in cardiac synchrony across our preregistered exploratory analyses suggests that cardiac synchrony is not an optimal measure for predicting collaborative outcomes or relationship development in real‐world environments. Given the mounting interest expressed in using wearable devices to collect objective insights relating to social wellbeing [67, 68, 69, 70], we offer the following recommendation: Organizations, policy makers, and researchers aspiring to use wearable physiological monitoring to track changes in social behaviors and social wellbeing (i.e., social connection) should consider the low explanatory power of cardiac synchrony demonstrated here and pilot extensively before dedicating funding to large‐scale roll‐outs of these devices to measure program engagement or success. We feel justified in making this recommendation based on the sample size (366 samples involving within‐participant/dyad design, which reduces interindividual variability in our analyses). Moreover, other work by our research group shows that interbrain synchrony may index changes in social wellbeing with greater sensitivity [8], though we acknowledge the logistical and financial barriers to larger‐scale introduction of brain imaging measures.\nNonetheless, from an empirical perspective, it is promising that collaborative drawing scores show a trending relationship with cardiac synchrony levels within real intergenerational dyads. This suggests that further research could uncover which social, cognitive, and behavioral conditions need to be met for cardiac synchrony to be sensitive to true dyadic interaction. Based on the behavioral data reported here, we believe these conditions should include higher perceived stakes for successful collaboration. Our behavioral data revealed that intergenerational dyads’ drawings were rated more collaborative than same generation dyads’, and that the elevated levels of drawing collaboration emerged from the group (i.e., intergenerational dyads) that reported lower feelings of social closeness within dyads, more disparate feelings of social closeness within dyads, and sat closer together while drawing together (Table 1). In concert, these behaviors highlight how lower levels of social comfort during collaboration may raise the stakes of the collaboration and may, in turn, contribute to shared fluctuations in arousal during collaboration.\n\n\n### Limitations\nIn using the term “higher stakes collaboration,” we are attempting to articulate the origin of the decreased social comfort, or increased social tension, as it relates to reputation management [71, 72] or the additional cognitive load stemming from interpersonal uncertainty, that is, lack of common ground [73, 74]. We are open to this being conceptualized in other ways. Follow‐up experiments could probe the extent to which individual strategies and subjective experiences shed light on the nature of such collaboration.\nMeasures of dyadic synchrony can influence observed synchrony levels [75]. We considered this carefully before preregistering our planned pipeline to calculate the IBI time series. We compared a cardiac synchrony approach implemented previously with fNIRS [76] with more common IBI approaches [21, 29]. We opted for IBI to align our work with existing studies examining cardiac synchrony. Future research could use nonlinear methods such as cross‐recurrence quantification analysis, which is suited for nonstationary signals such as IBI [77]. With respect to our comparisons of real and pseudo dyads’ levels of cardiac synchrony, a complementary approach would be to employ segment‐shuffled surrogates within each dyad. In this method, each person's cardiac time series is cut into short segments that are then randomly reordered so that the overall signal properties are preserved, but true timing is disrupted (e.g., Ref. [15]). This would reveal whether true dyads display cardiac synchrony on top of task‐driven similarity. Duration of cardiac signals has been demonstrated to influence the likelihood of finding significant cardiac synchrony, particularly for smaller group sizes such as dyads [78]. From this perspective, our design is optimized to identify true cardiac synchrony, should it be present. Nonetheless, future studies could use dedicated heart‐rhythm monitoring, such as electrocardiograms, to examine free‐choice, unstructured collaboration in intergenerational dyads. In suggesting this, we recognize that a complete replication of this study is likely not feasible, and we support smaller targeted replication efforts.\n\n\n### Conclusion\nWe charted cardiac synchrony, collaborative behavior, social closeness, and interpersonal distance within intergenerational and same generation dyads across six sessions involving a collaborative drawing task. Our analyses of collaborative behavior, self‐reported social closeness, and interpersonal distance, when considered together, suggest that social comfort drives relationships between social closeness, interpersonal distance, and collaboration. Of these, interpersonal distance emerged as a promising objective measure of relationship development. We found that cardiac synchrony did not covary substantially with group, task, an interaction thereof or collaborative behavior, social closeness, or interpersonal distance. Nonetheless, we did find a trending relationship between collaboration while drawing together and cardiac synchrony that was specific to intergenerational dyads. These findings have implications for understanding the mechanisms underpinning social interaction within and between generations and for the implementation of cardiac synchrony as an objective measure of social connection or collaboration in everyday, real‐world contexts.\n\n\n### Author Contributions\nR.M.: Conceptualization, equipment donation, data curation, formal analysis, investigation, visualization, writing – original draft, writing – review and editing. L.A.N.: Data curation, validation, writing – original draft. E.S.C.: Conceptualization, funding acquisition, project administration, writing – review and editing.\n\n\n### Conflicts of Interest\nThe authors declare no potential conflicts of interest.\n\n\n### Supporting information\nSupplementary Materials: nyas70272‐sup‐0001‐SuppMat.pdf", "domain": "affective_neuroscience"}
{"source": "PMC13036985", "title": "Abstracts from The XXV Brazilian Diabetes Society Meeting", "text": "# Abstracts from The XXV Brazilian Diabetes Society Meeting\n\n## Abstract\n\n\n## Full Text\n\n\n### OP—001 Impact of Insulin Pump and Sensor Use on Fear of Hypoglycemia and Mental Health in Patients with Type 1 Diabetes\nIntroduction: Type 1 diabetes mellitus (T1DM) requires strict glycemic control, with hypoglycemia being a common occurrence that can cause severe consequences, including cognitive impairment. Fear of this complication adversely affects patients’ mental health and quality of life. Technologies such as continuous glucose monitors and insulin pumps have been increasingly adopted to improve glycemic control and mitigate these risks. This study investigated the influence of treatment modality on fear of hypoglycemia, stress, anxiety, and depression in individuals with T1DM. Objective: To analyze the impact of insulin pump and sensor use on fear of hypoglycemia, stress, anxiety, and depression levels in patients with T1DM. Methods: A cross-sectional study was conducted with 477 adults with T1DM via an electronic questionnaire. Clinical data and treatment modalities were collected, and the “Fear of Hypoglycemia” (FoH) and “Depression, Anxiety, and Stress Scale” (DASS-21) scores were applied. Data were analyzed using Jamovi 2.3 software. Shapiro–Wilk, Levene, Welch ANOVA, and Kruskal–Wallis tests were employed (p < 0.05). Results: The combined use of an insulin pump and sensor yielded the best outcomes: lowest mean scores for stress (14.9), anxiety (7.95), and depression (9.81). Patients using multiple daily insulin injections and glucometers showed higher means: stress (17.3), anxiety (11.4), and depression (13.7). The FoH scores were also more favorable in the pump and sensor group (worry: 34.4; behavior: 18.7). Additionally, the type of healthcare system, public or private, did not influence patients’ mental health. Conclusion: The adoption of technologies such as insulin pumps and continuous glucose sensors is associated with a reduced fear of hypoglycemia and improved mental health indicators in patients with type 1 diabetes mellitus (T1DM). Their use should be encouraged as part of comprehensive care, which includes both medical and psychological support.\n\n\n### Witte, RR1; Lucena, PAL1; Pisani, RBF1; Sant’Ana, MEC1; Siqueira, RA1\nIntroduction: Type 1 diabetes mellitus (T1DM) requires strict glycemic control, with hypoglycemia being a common occurrence that can cause severe consequences, including cognitive impairment. Fear of this complication adversely affects patients’ mental health and quality of life. Technologies such as continuous glucose monitors and insulin pumps have been increasingly adopted to improve glycemic control and mitigate these risks. This study investigated the influence of treatment modality on fear of hypoglycemia, stress, anxiety, and depression in individuals with T1DM. Objective: To analyze the impact of insulin pump and sensor use on fear of hypoglycemia, stress, anxiety, and depression levels in patients with T1DM. Methods: A cross-sectional study was conducted with 477 adults with T1DM via an electronic questionnaire. Clinical data and treatment modalities were collected, and the “Fear of Hypoglycemia” (FoH) and “Depression, Anxiety, and Stress Scale” (DASS-21) scores were applied. Data were analyzed using Jamovi 2.3 software. Shapiro–Wilk, Levene, Welch ANOVA, and Kruskal–Wallis tests were employed (p < 0.05). Results: The combined use of an insulin pump and sensor yielded the best outcomes: lowest mean scores for stress (14.9), anxiety (7.95), and depression (9.81). Patients using multiple daily insulin injections and glucometers showed higher means: stress (17.3), anxiety (11.4), and depression (13.7). The FoH scores were also more favorable in the pump and sensor group (worry: 34.4; behavior: 18.7). Additionally, the type of healthcare system, public or private, did not influence patients’ mental health. Conclusion: The adoption of technologies such as insulin pumps and continuous glucose sensors is associated with a reduced fear of hypoglycemia and improved mental health indicators in patients with type 1 diabetes mellitus (T1DM). Their use should be encouraged as part of comprehensive care, which includes both medical and psychological support.\n\n\n### (1) Universidade Iguaçu, Nova Iguaçu, RJ, Brasil\nIntroduction: Type 1 diabetes mellitus (T1DM) requires strict glycemic control, with hypoglycemia being a common occurrence that can cause severe consequences, including cognitive impairment. Fear of this complication adversely affects patients’ mental health and quality of life. Technologies such as continuous glucose monitors and insulin pumps have been increasingly adopted to improve glycemic control and mitigate these risks. This study investigated the influence of treatment modality on fear of hypoglycemia, stress, anxiety, and depression in individuals with T1DM. Objective: To analyze the impact of insulin pump and sensor use on fear of hypoglycemia, stress, anxiety, and depression levels in patients with T1DM. Methods: A cross-sectional study was conducted with 477 adults with T1DM via an electronic questionnaire. Clinical data and treatment modalities were collected, and the “Fear of Hypoglycemia” (FoH) and “Depression, Anxiety, and Stress Scale” (DASS-21) scores were applied. Data were analyzed using Jamovi 2.3 software. Shapiro–Wilk, Levene, Welch ANOVA, and Kruskal–Wallis tests were employed (p < 0.05). Results: The combined use of an insulin pump and sensor yielded the best outcomes: lowest mean scores for stress (14.9), anxiety (7.95), and depression (9.81). Patients using multiple daily insulin injections and glucometers showed higher means: stress (17.3), anxiety (11.4), and depression (13.7). The FoH scores were also more favorable in the pump and sensor group (worry: 34.4; behavior: 18.7). Additionally, the type of healthcare system, public or private, did not influence patients’ mental health. Conclusion: The adoption of technologies such as insulin pumps and continuous glucose sensors is associated with a reduced fear of hypoglycemia and improved mental health indicators in patients with type 1 diabetes mellitus (T1DM). Their use should be encouraged as part of comprehensive care, which includes both medical and psychological support.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—001\nIntroduction: Type 1 diabetes mellitus (T1DM) requires strict glycemic control, with hypoglycemia being a common occurrence that can cause severe consequences, including cognitive impairment. Fear of this complication adversely affects patients’ mental health and quality of life. Technologies such as continuous glucose monitors and insulin pumps have been increasingly adopted to improve glycemic control and mitigate these risks. This study investigated the influence of treatment modality on fear of hypoglycemia, stress, anxiety, and depression in individuals with T1DM. Objective: To analyze the impact of insulin pump and sensor use on fear of hypoglycemia, stress, anxiety, and depression levels in patients with T1DM. Methods: A cross-sectional study was conducted with 477 adults with T1DM via an electronic questionnaire. Clinical data and treatment modalities were collected, and the “Fear of Hypoglycemia” (FoH) and “Depression, Anxiety, and Stress Scale” (DASS-21) scores were applied. Data were analyzed using Jamovi 2.3 software. Shapiro–Wilk, Levene, Welch ANOVA, and Kruskal–Wallis tests were employed (p < 0.05). Results: The combined use of an insulin pump and sensor yielded the best outcomes: lowest mean scores for stress (14.9), anxiety (7.95), and depression (9.81). Patients using multiple daily insulin injections and glucometers showed higher means: stress (17.3), anxiety (11.4), and depression (13.7). The FoH scores were also more favorable in the pump and sensor group (worry: 34.4; behavior: 18.7). Additionally, the type of healthcare system, public or private, did not influence patients’ mental health. Conclusion: The adoption of technologies such as insulin pumps and continuous glucose sensors is associated with a reduced fear of hypoglycemia and improved mental health indicators in patients with type 1 diabetes mellitus (T1DM). Their use should be encouraged as part of comprehensive care, which includes both medical and psychological support.\n\n\n### OP—002 Clinical Predictors of Kidney Dysfunction in Type 1 Diabetes Mellitus: A Stratified Analysis by Gender and Ketoacidosis\nIntroduction: Type 1 diabetes (T1DM) is a well-established risk factor for chronic kidney disease (CKD), typically manifesting as diabetic kidney disease (DKD). CKD severity is classified by the KDIGO guidelines, which combine glomerular filtration rate (GFR) and albuminuria categories. Objective: To assess CKD occurrence and staging in individuals with T1DM, correlating kidney function with clinical factors, and evaluating the influence of gender, insulin regimen, and diabetic ketoacidosis (DKA) at disease onset on renal outcomes. Methods: An observational, retrospective study analyzing data from 530 patients with T1DM followed at a single university hospital between January 2014 and June 2025. CKD staging was determined based on GFR and albuminuria, and its association with clinical parameters was evaluated. Results: The cohort included 298 women (56.2%) and 232 men (43.8%), with a median age of 28 years (interquartile range [IQR]: 22–36). Reduced GFR (stage G3a or worse) was identified in 57 patients (10.8%), while albuminuria (A2 or worse) was present in 164 patients (30.9%). Among 295 patients with available data, 147 (49.8%) had a history of DKA at disease onset. GFR declined by an average of 1.9 per year of disease duration in men and 1.2 in women (p = 0.02). Additionally, each additional year of age at diagnosis was associated with a GFR reduction of 2.3 in men and 1.1 in women. The regression model explained 41.4% of GFR variance in men (R2 = 0.41) and 20.4% in women (R2 = 0.20). Current HbA1c was the only significant predictor of albuminuria (coefficient 55.1, p = 0.008). Patients using the “Carbohydrate Counting” insulin regimen had a higher proportion of normoalbuminuria (A1) compared to those on a fixed basal-bolus regimen (82.0% vs. 66.5%, p = 0.04). Although DKA at disease onset did not significantly impact mean GFR (p = 0.492) or albuminuria levels (p = 0.421), it modulated CKD progression as disease duration had a slightly greater impact on GFR decline in patients with prior DKA (-1.6 vs. -1.4, p < 0.001), while age at diagnosis had a stronger effect in those without DKA (-1.7 vs. -1.3, p < 0.001). Conclusion: In T1DM, disease duration, younger age at diagnosis, and male were associated with more pronounced GFR decline, while HbA1c was a predictor of albuminuria. DKA at onset modulated CKD progression, and flexible insulin regimens were related to better albuminuria profiles. These findings highlight important risk factors for kidney disease in T1DM.\n\n\n### Pinheiro, MHP1; Guidorizzi, NR1; Xavier, AB1; Bergamo, GC1; Cremon, BG1; Paula, FJA1; Gomes, PM1; Mermejo, LM1\nIntroduction: Type 1 diabetes (T1DM) is a well-established risk factor for chronic kidney disease (CKD), typically manifesting as diabetic kidney disease (DKD). CKD severity is classified by the KDIGO guidelines, which combine glomerular filtration rate (GFR) and albuminuria categories. Objective: To assess CKD occurrence and staging in individuals with T1DM, correlating kidney function with clinical factors, and evaluating the influence of gender, insulin regimen, and diabetic ketoacidosis (DKA) at disease onset on renal outcomes. Methods: An observational, retrospective study analyzing data from 530 patients with T1DM followed at a single university hospital between January 2014 and June 2025. CKD staging was determined based on GFR and albuminuria, and its association with clinical parameters was evaluated. Results: The cohort included 298 women (56.2%) and 232 men (43.8%), with a median age of 28 years (interquartile range [IQR]: 22–36). Reduced GFR (stage G3a or worse) was identified in 57 patients (10.8%), while albuminuria (A2 or worse) was present in 164 patients (30.9%). Among 295 patients with available data, 147 (49.8%) had a history of DKA at disease onset. GFR declined by an average of 1.9 per year of disease duration in men and 1.2 in women (p = 0.02). Additionally, each additional year of age at diagnosis was associated with a GFR reduction of 2.3 in men and 1.1 in women. The regression model explained 41.4% of GFR variance in men (R2 = 0.41) and 20.4% in women (R2 = 0.20). Current HbA1c was the only significant predictor of albuminuria (coefficient 55.1, p = 0.008). Patients using the “Carbohydrate Counting” insulin regimen had a higher proportion of normoalbuminuria (A1) compared to those on a fixed basal-bolus regimen (82.0% vs. 66.5%, p = 0.04). Although DKA at disease onset did not significantly impact mean GFR (p = 0.492) or albuminuria levels (p = 0.421), it modulated CKD progression as disease duration had a slightly greater impact on GFR decline in patients with prior DKA (-1.6 vs. -1.4, p < 0.001), while age at diagnosis had a stronger effect in those without DKA (-1.7 vs. -1.3, p < 0.001). Conclusion: In T1DM, disease duration, younger age at diagnosis, and male were associated with more pronounced GFR decline, while HbA1c was a predictor of albuminuria. DKA at onset modulated CKD progression, and flexible insulin regimens were related to better albuminuria profiles. These findings highlight important risk factors for kidney disease in T1DM.\n\n\n### (1) Faculdade de Medicina de Ribeirão Preto, Universidade de São Paulo, Ribeirão Preto, SP, Brasil\nIntroduction: Type 1 diabetes (T1DM) is a well-established risk factor for chronic kidney disease (CKD), typically manifesting as diabetic kidney disease (DKD). CKD severity is classified by the KDIGO guidelines, which combine glomerular filtration rate (GFR) and albuminuria categories. Objective: To assess CKD occurrence and staging in individuals with T1DM, correlating kidney function with clinical factors, and evaluating the influence of gender, insulin regimen, and diabetic ketoacidosis (DKA) at disease onset on renal outcomes. Methods: An observational, retrospective study analyzing data from 530 patients with T1DM followed at a single university hospital between January 2014 and June 2025. CKD staging was determined based on GFR and albuminuria, and its association with clinical parameters was evaluated. Results: The cohort included 298 women (56.2%) and 232 men (43.8%), with a median age of 28 years (interquartile range [IQR]: 22–36). Reduced GFR (stage G3a or worse) was identified in 57 patients (10.8%), while albuminuria (A2 or worse) was present in 164 patients (30.9%). Among 295 patients with available data, 147 (49.8%) had a history of DKA at disease onset. GFR declined by an average of 1.9 per year of disease duration in men and 1.2 in women (p = 0.02). Additionally, each additional year of age at diagnosis was associated with a GFR reduction of 2.3 in men and 1.1 in women. The regression model explained 41.4% of GFR variance in men (R2 = 0.41) and 20.4% in women (R2 = 0.20). Current HbA1c was the only significant predictor of albuminuria (coefficient 55.1, p = 0.008). Patients using the “Carbohydrate Counting” insulin regimen had a higher proportion of normoalbuminuria (A1) compared to those on a fixed basal-bolus regimen (82.0% vs. 66.5%, p = 0.04). Although DKA at disease onset did not significantly impact mean GFR (p = 0.492) or albuminuria levels (p = 0.421), it modulated CKD progression as disease duration had a slightly greater impact on GFR decline in patients with prior DKA (-1.6 vs. -1.4, p < 0.001), while age at diagnosis had a stronger effect in those without DKA (-1.7 vs. -1.3, p < 0.001). Conclusion: In T1DM, disease duration, younger age at diagnosis, and male were associated with more pronounced GFR decline, while HbA1c was a predictor of albuminuria. DKA at onset modulated CKD progression, and flexible insulin regimens were related to better albuminuria profiles. These findings highlight important risk factors for kidney disease in T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—002\nIntroduction: Type 1 diabetes (T1DM) is a well-established risk factor for chronic kidney disease (CKD), typically manifesting as diabetic kidney disease (DKD). CKD severity is classified by the KDIGO guidelines, which combine glomerular filtration rate (GFR) and albuminuria categories. Objective: To assess CKD occurrence and staging in individuals with T1DM, correlating kidney function with clinical factors, and evaluating the influence of gender, insulin regimen, and diabetic ketoacidosis (DKA) at disease onset on renal outcomes. Methods: An observational, retrospective study analyzing data from 530 patients with T1DM followed at a single university hospital between January 2014 and June 2025. CKD staging was determined based on GFR and albuminuria, and its association with clinical parameters was evaluated. Results: The cohort included 298 women (56.2%) and 232 men (43.8%), with a median age of 28 years (interquartile range [IQR]: 22–36). Reduced GFR (stage G3a or worse) was identified in 57 patients (10.8%), while albuminuria (A2 or worse) was present in 164 patients (30.9%). Among 295 patients with available data, 147 (49.8%) had a history of DKA at disease onset. GFR declined by an average of 1.9 per year of disease duration in men and 1.2 in women (p = 0.02). Additionally, each additional year of age at diagnosis was associated with a GFR reduction of 2.3 in men and 1.1 in women. The regression model explained 41.4% of GFR variance in men (R2 = 0.41) and 20.4% in women (R2 = 0.20). Current HbA1c was the only significant predictor of albuminuria (coefficient 55.1, p = 0.008). Patients using the “Carbohydrate Counting” insulin regimen had a higher proportion of normoalbuminuria (A1) compared to those on a fixed basal-bolus regimen (82.0% vs. 66.5%, p = 0.04). Although DKA at disease onset did not significantly impact mean GFR (p = 0.492) or albuminuria levels (p = 0.421), it modulated CKD progression as disease duration had a slightly greater impact on GFR decline in patients with prior DKA (-1.6 vs. -1.4, p < 0.001), while age at diagnosis had a stronger effect in those without DKA (-1.7 vs. -1.3, p < 0.001). Conclusion: In T1DM, disease duration, younger age at diagnosis, and male were associated with more pronounced GFR decline, while HbA1c was a predictor of albuminuria. DKA at onset modulated CKD progression, and flexible insulin regimens were related to better albuminuria profiles. These findings highlight important risk factors for kidney disease in T1DM.\n\n\n### OP—003 Exploratory Analysis of Clinical Variables for Automated Prediction of Specialist Referrals in Diabetic Retinopathy Screening\nIntroduction: Diabetic retinopathy (DR) is a leading cause of preventable blindness, highlighting the need for early detection and timely referral. While image-based algorithms are promising, incorporating routinely collected clinical and laboratory data into automated models may enhance DR screening and referral strategies. Objective: To identify clinical and laboratory variables most relevant for improving the performance of a DR referral algorithm. Methods: The study included 1,056 patients with type 1 or 2 diabetes followed at an outpatient clinic in a public hospital in southern Brazil between 2019 and 2021. Patients underwent color fundus photography (CFP) for DR screening and had at least one HbA1c, renal, and lipid profile within the same year. Clinical and laboratory data were collected from interviews and medical records. The study was approved by the institutional ethics committee (no. 2019–0113). We utilized a retinal and clinical data dataset, although our current model only uses images as input. We analyzed 32 available attributes in our dataset using a decision tree classifier to determine the most informative clinical variables for future integration. These attributes included medical history, demographics, and lab results. The model is structured as a flowchart and classifies patients as either referable or non-referable for DR based on a sequential analysis of clinical variables. The decision tree ranks features according to their contribution to classification, highlighting those that provide early and practical insights. This ranking helps guide the selection of relevant clinical data, eventually aiming to enhance model performance. Results: HbA1c and duration of diabetes were the top-ranked variables according to the decision tree model. Other clinical attributes with high importance included glomerular filtration rate (GFR) and urinary albumin excretion (UAE). The table summarizes the top-ranked clinical attributes and their respective importance scores. These scores reflect each variable’s contribution to distinguishing between patients classified as referable or non-referable for specialist care. Conclusion:: The decision tree highlighted several routinely collected clinical variables as highly relevant for predicting DR referrals. These findings support integrating clinical and laboratory data into image-based models to enhance the accuracy of automated screening systems, particularly in large-scale public healthcare settings. Support: FIPE, CNPq, CAPES, Fapergs.\n\n\n### Araújo, T1; Linn, T1; Chichelero, G1; Navaux, P1; Malerbi, FK2; Schaan, BD1; Reis, M1\nIntroduction: Diabetic retinopathy (DR) is a leading cause of preventable blindness, highlighting the need for early detection and timely referral. While image-based algorithms are promising, incorporating routinely collected clinical and laboratory data into automated models may enhance DR screening and referral strategies. Objective: To identify clinical and laboratory variables most relevant for improving the performance of a DR referral algorithm. Methods: The study included 1,056 patients with type 1 or 2 diabetes followed at an outpatient clinic in a public hospital in southern Brazil between 2019 and 2021. Patients underwent color fundus photography (CFP) for DR screening and had at least one HbA1c, renal, and lipid profile within the same year. Clinical and laboratory data were collected from interviews and medical records. The study was approved by the institutional ethics committee (no. 2019–0113). We utilized a retinal and clinical data dataset, although our current model only uses images as input. We analyzed 32 available attributes in our dataset using a decision tree classifier to determine the most informative clinical variables for future integration. These attributes included medical history, demographics, and lab results. The model is structured as a flowchart and classifies patients as either referable or non-referable for DR based on a sequential analysis of clinical variables. The decision tree ranks features according to their contribution to classification, highlighting those that provide early and practical insights. This ranking helps guide the selection of relevant clinical data, eventually aiming to enhance model performance. Results: HbA1c and duration of diabetes were the top-ranked variables according to the decision tree model. Other clinical attributes with high importance included glomerular filtration rate (GFR) and urinary albumin excretion (UAE). The table summarizes the top-ranked clinical attributes and their respective importance scores. These scores reflect each variable’s contribution to distinguishing between patients classified as referable or non-referable for specialist care. Conclusion:: The decision tree highlighted several routinely collected clinical variables as highly relevant for predicting DR referrals. These findings support integrating clinical and laboratory data into image-based models to enhance the accuracy of automated screening systems, particularly in large-scale public healthcare settings. Support: FIPE, CNPq, CAPES, Fapergs.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: Diabetic retinopathy (DR) is a leading cause of preventable blindness, highlighting the need for early detection and timely referral. While image-based algorithms are promising, incorporating routinely collected clinical and laboratory data into automated models may enhance DR screening and referral strategies. Objective: To identify clinical and laboratory variables most relevant for improving the performance of a DR referral algorithm. Methods: The study included 1,056 patients with type 1 or 2 diabetes followed at an outpatient clinic in a public hospital in southern Brazil between 2019 and 2021. Patients underwent color fundus photography (CFP) for DR screening and had at least one HbA1c, renal, and lipid profile within the same year. Clinical and laboratory data were collected from interviews and medical records. The study was approved by the institutional ethics committee (no. 2019–0113). We utilized a retinal and clinical data dataset, although our current model only uses images as input. We analyzed 32 available attributes in our dataset using a decision tree classifier to determine the most informative clinical variables for future integration. These attributes included medical history, demographics, and lab results. The model is structured as a flowchart and classifies patients as either referable or non-referable for DR based on a sequential analysis of clinical variables. The decision tree ranks features according to their contribution to classification, highlighting those that provide early and practical insights. This ranking helps guide the selection of relevant clinical data, eventually aiming to enhance model performance. Results: HbA1c and duration of diabetes were the top-ranked variables according to the decision tree model. Other clinical attributes with high importance included glomerular filtration rate (GFR) and urinary albumin excretion (UAE). The table summarizes the top-ranked clinical attributes and their respective importance scores. These scores reflect each variable’s contribution to distinguishing between patients classified as referable or non-referable for specialist care. Conclusion:: The decision tree highlighted several routinely collected clinical variables as highly relevant for predicting DR referrals. These findings support integrating clinical and laboratory data into image-based models to enhance the accuracy of automated screening systems, particularly in large-scale public healthcare settings. Support: FIPE, CNPq, CAPES, Fapergs.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—003\nIntroduction: Diabetic retinopathy (DR) is a leading cause of preventable blindness, highlighting the need for early detection and timely referral. While image-based algorithms are promising, incorporating routinely collected clinical and laboratory data into automated models may enhance DR screening and referral strategies. Objective: To identify clinical and laboratory variables most relevant for improving the performance of a DR referral algorithm. Methods: The study included 1,056 patients with type 1 or 2 diabetes followed at an outpatient clinic in a public hospital in southern Brazil between 2019 and 2021. Patients underwent color fundus photography (CFP) for DR screening and had at least one HbA1c, renal, and lipid profile within the same year. Clinical and laboratory data were collected from interviews and medical records. The study was approved by the institutional ethics committee (no. 2019–0113). We utilized a retinal and clinical data dataset, although our current model only uses images as input. We analyzed 32 available attributes in our dataset using a decision tree classifier to determine the most informative clinical variables for future integration. These attributes included medical history, demographics, and lab results. The model is structured as a flowchart and classifies patients as either referable or non-referable for DR based on a sequential analysis of clinical variables. The decision tree ranks features according to their contribution to classification, highlighting those that provide early and practical insights. This ranking helps guide the selection of relevant clinical data, eventually aiming to enhance model performance. Results: HbA1c and duration of diabetes were the top-ranked variables according to the decision tree model. Other clinical attributes with high importance included glomerular filtration rate (GFR) and urinary albumin excretion (UAE). The table summarizes the top-ranked clinical attributes and their respective importance scores. These scores reflect each variable’s contribution to distinguishing between patients classified as referable or non-referable for specialist care. Conclusion:: The decision tree highlighted several routinely collected clinical variables as highly relevant for predicting DR referrals. These findings support integrating clinical and laboratory data into image-based models to enhance the accuracy of automated screening systems, particularly in large-scale public healthcare settings. Support: FIPE, CNPq, CAPES, Fapergs.\n\n\n### OP—004 Prevalence Of Diabetic Kidney Disease In Brazil: A Systematic Review With Meta-Analysis\nIntroduction: Chronic hyperglycemia in diabetes leads to long-term complications such as diabetic kidney disease (DKD), a significant contributor to end-stage kidney disease worldwide. Despite its public health impact, Brazil lacks robust epidemiological data on DKD. Objective: To assess DKD prevalence in Brazilian adults with diabetes. Methods: Three databases (PubMed, LILACS, EMBASE) were searched through August 2023 for studies on diabetes, nephropathy, DKD, and prevalence, regardless of language. Included studies met these criteria: (1) cross-sectional, cohort, case–control studies or baseline data from randomized clinical trials, (2) conducted in Brazil, and (3) describing the frequency of DKD in adults with type 1 or type 2 diabetes. Studies involving animals, editorials, reviews, and studies of selective populations – such as pregnant women, or those exclusively including kidney transplant recipients or patients on renal replacement therapy—were also excluded. Protocol registered at PROSPERO (CRD420251071438). Overall and subgroup prevalence estimates with 95% confidence intervals (CI) were calculated from reported DKD frequencies in individuals with diabetes. Pooled estimates used a random-effects inverse variance method with arcsine transformation to address heterogeneity. Individual study CIs were calculated via Clopper-Pearson, and heterogeneity assessed by I2. Meta-analysis applied inverse variance with a logit link. Analyses were performed using PERSyst-MA v1.0, based on R package meta v7.0–0. Results: The search retrieved 1435 articles published; 184 duplicates were excluded. After screening titles and abstracts, 955 articles were removed. Of the 296 full-text articles assessed, 49 met the inclusion criteria (n = 25,791). The prevalence rate of DKD was 28.80% (95% CI 24.25–33.84, I2 98%). No significant difference was found for type 1 diabetes (29.48%; 95% CI 22.05–38.18, I2 94%), type 2 diabetes (30.56%; 95% CI 22.94–39.42, I2 97%), or studies including both types (27.26%; 95% CI 20.70–35.00, I2 = 99%); p = 0.83. DKD prevalence was similar across healthcare settings: 31.51% (95% CI 25.35–38.40, I2 98%) in tertiary care, 26.94% (95% CI 22.19–32.28, I2 70%) in primary care, and 21.42% (95% CI 12.73–33.74, I2 98%) in mixed settings. Prevalence before (29.39%; 95% CI 12.80–54.15, I2 98%) and after 2005 (29.17%; 95% CI 24.49–34.33, I2 98%) was also comparable. Conclusion:: DKD is highly prevalent and burdensome, with heterogeneity highlighting the need for multicenter studies using standardized methods.\n\n\n### Chichelero, GM1; Pessil, L1; Xavier, G2; Reis, M1; Schaan, BD1\nIntroduction: Chronic hyperglycemia in diabetes leads to long-term complications such as diabetic kidney disease (DKD), a significant contributor to end-stage kidney disease worldwide. Despite its public health impact, Brazil lacks robust epidemiological data on DKD. Objective: To assess DKD prevalence in Brazilian adults with diabetes. Methods: Three databases (PubMed, LILACS, EMBASE) were searched through August 2023 for studies on diabetes, nephropathy, DKD, and prevalence, regardless of language. Included studies met these criteria: (1) cross-sectional, cohort, case–control studies or baseline data from randomized clinical trials, (2) conducted in Brazil, and (3) describing the frequency of DKD in adults with type 1 or type 2 diabetes. Studies involving animals, editorials, reviews, and studies of selective populations – such as pregnant women, or those exclusively including kidney transplant recipients or patients on renal replacement therapy—were also excluded. Protocol registered at PROSPERO (CRD420251071438). Overall and subgroup prevalence estimates with 95% confidence intervals (CI) were calculated from reported DKD frequencies in individuals with diabetes. Pooled estimates used a random-effects inverse variance method with arcsine transformation to address heterogeneity. Individual study CIs were calculated via Clopper-Pearson, and heterogeneity assessed by I2. Meta-analysis applied inverse variance with a logit link. Analyses were performed using PERSyst-MA v1.0, based on R package meta v7.0–0. Results: The search retrieved 1435 articles published; 184 duplicates were excluded. After screening titles and abstracts, 955 articles were removed. Of the 296 full-text articles assessed, 49 met the inclusion criteria (n = 25,791). The prevalence rate of DKD was 28.80% (95% CI 24.25–33.84, I2 98%). No significant difference was found for type 1 diabetes (29.48%; 95% CI 22.05–38.18, I2 94%), type 2 diabetes (30.56%; 95% CI 22.94–39.42, I2 97%), or studies including both types (27.26%; 95% CI 20.70–35.00, I2 = 99%); p = 0.83. DKD prevalence was similar across healthcare settings: 31.51% (95% CI 25.35–38.40, I2 98%) in tertiary care, 26.94% (95% CI 22.19–32.28, I2 70%) in primary care, and 21.42% (95% CI 12.73–33.74, I2 98%) in mixed settings. Prevalence before (29.39%; 95% CI 12.80–54.15, I2 98%) and after 2005 (29.17%; 95% CI 24.49–34.33, I2 98%) was also comparable. Conclusion:: DKD is highly prevalent and burdensome, with heterogeneity highlighting the need for multicenter studies using standardized methods.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Universidade Federal de Minas Gerais, Minas Gerais, MG, Brasil\nIntroduction: Chronic hyperglycemia in diabetes leads to long-term complications such as diabetic kidney disease (DKD), a significant contributor to end-stage kidney disease worldwide. Despite its public health impact, Brazil lacks robust epidemiological data on DKD. Objective: To assess DKD prevalence in Brazilian adults with diabetes. Methods: Three databases (PubMed, LILACS, EMBASE) were searched through August 2023 for studies on diabetes, nephropathy, DKD, and prevalence, regardless of language. Included studies met these criteria: (1) cross-sectional, cohort, case–control studies or baseline data from randomized clinical trials, (2) conducted in Brazil, and (3) describing the frequency of DKD in adults with type 1 or type 2 diabetes. Studies involving animals, editorials, reviews, and studies of selective populations – such as pregnant women, or those exclusively including kidney transplant recipients or patients on renal replacement therapy—were also excluded. Protocol registered at PROSPERO (CRD420251071438). Overall and subgroup prevalence estimates with 95% confidence intervals (CI) were calculated from reported DKD frequencies in individuals with diabetes. Pooled estimates used a random-effects inverse variance method with arcsine transformation to address heterogeneity. Individual study CIs were calculated via Clopper-Pearson, and heterogeneity assessed by I2. Meta-analysis applied inverse variance with a logit link. Analyses were performed using PERSyst-MA v1.0, based on R package meta v7.0–0. Results: The search retrieved 1435 articles published; 184 duplicates were excluded. After screening titles and abstracts, 955 articles were removed. Of the 296 full-text articles assessed, 49 met the inclusion criteria (n = 25,791). The prevalence rate of DKD was 28.80% (95% CI 24.25–33.84, I2 98%). No significant difference was found for type 1 diabetes (29.48%; 95% CI 22.05–38.18, I2 94%), type 2 diabetes (30.56%; 95% CI 22.94–39.42, I2 97%), or studies including both types (27.26%; 95% CI 20.70–35.00, I2 = 99%); p = 0.83. DKD prevalence was similar across healthcare settings: 31.51% (95% CI 25.35–38.40, I2 98%) in tertiary care, 26.94% (95% CI 22.19–32.28, I2 70%) in primary care, and 21.42% (95% CI 12.73–33.74, I2 98%) in mixed settings. Prevalence before (29.39%; 95% CI 12.80–54.15, I2 98%) and after 2005 (29.17%; 95% CI 24.49–34.33, I2 98%) was also comparable. Conclusion:: DKD is highly prevalent and burdensome, with heterogeneity highlighting the need for multicenter studies using standardized methods.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—004\nIntroduction: Chronic hyperglycemia in diabetes leads to long-term complications such as diabetic kidney disease (DKD), a significant contributor to end-stage kidney disease worldwide. Despite its public health impact, Brazil lacks robust epidemiological data on DKD. Objective: To assess DKD prevalence in Brazilian adults with diabetes. Methods: Three databases (PubMed, LILACS, EMBASE) were searched through August 2023 for studies on diabetes, nephropathy, DKD, and prevalence, regardless of language. Included studies met these criteria: (1) cross-sectional, cohort, case–control studies or baseline data from randomized clinical trials, (2) conducted in Brazil, and (3) describing the frequency of DKD in adults with type 1 or type 2 diabetes. Studies involving animals, editorials, reviews, and studies of selective populations – such as pregnant women, or those exclusively including kidney transplant recipients or patients on renal replacement therapy—were also excluded. Protocol registered at PROSPERO (CRD420251071438). Overall and subgroup prevalence estimates with 95% confidence intervals (CI) were calculated from reported DKD frequencies in individuals with diabetes. Pooled estimates used a random-effects inverse variance method with arcsine transformation to address heterogeneity. Individual study CIs were calculated via Clopper-Pearson, and heterogeneity assessed by I2. Meta-analysis applied inverse variance with a logit link. Analyses were performed using PERSyst-MA v1.0, based on R package meta v7.0–0. Results: The search retrieved 1435 articles published; 184 duplicates were excluded. After screening titles and abstracts, 955 articles were removed. Of the 296 full-text articles assessed, 49 met the inclusion criteria (n = 25,791). The prevalence rate of DKD was 28.80% (95% CI 24.25–33.84, I2 98%). No significant difference was found for type 1 diabetes (29.48%; 95% CI 22.05–38.18, I2 94%), type 2 diabetes (30.56%; 95% CI 22.94–39.42, I2 97%), or studies including both types (27.26%; 95% CI 20.70–35.00, I2 = 99%); p = 0.83. DKD prevalence was similar across healthcare settings: 31.51% (95% CI 25.35–38.40, I2 98%) in tertiary care, 26.94% (95% CI 22.19–32.28, I2 70%) in primary care, and 21.42% (95% CI 12.73–33.74, I2 98%) in mixed settings. Prevalence before (29.39%; 95% CI 12.80–54.15, I2 98%) and after 2005 (29.17%; 95% CI 24.49–34.33, I2 98%) was also comparable. Conclusion:: DKD is highly prevalent and burdensome, with heterogeneity highlighting the need for multicenter studies using standardized methods.\n\n\n### OP—005 Relationship Of Glucose Variability With Perinatal Outcomes In Pregnant With Type 1 Diabetes\nIntroduction: For many years, measuring glycemic variability (GV)was not possible. However, with the increased use of continuous glucose monitors, this has changed. Objective: This systematic review sought to synthesize the existing data in the literature on parameters used to estimate GV and its relationship with perinatal and maternal outcomes, as well as to evaluate which is the best glycemic variability parameter for this purpose and to establish whether these metrics can be useful to guide the management of pregnant women with type 1 diabetes. Methods: The search was performed on the main database platforms: PUBMED, EMBASE, WEB OF SCIENCE, and LILACS in December 2024 and updated in June 2025. This search was conducted independently by two researchers using the following terms and their equivalents: type 1 diabetes, continuous glucose monitoring, glycemic variability, and gestational, fetal, neonatal, and perinatal outcomes. There were no language restrictions. Data from grey literature available on the four databases were also included. This review was registered in PROSPERO CRD42024621744 and conducted according PRISMA. Population: Pregnant women with type 1 diabetes mellitus Exposure: High glycemic variability measured by glycemic variability divided by standard deviation, coefficient of variation (CV), standard deviation (SD), MAGE, MODD, ADDR, M-value, J-index, and CONGA Comparator: Low glycemic variability following the same parameters Outcomes: Large for gestational age newborn, fetal macrosomia, pre-eclampsia and hypertensive disorders in pregnancy, cesarean delivery, premature birth, neonatal hypoglycemia, neonatal ICU admission, newborn hyperbilirubinemia, newborn respiratory dysfunction, shoulder dystocia and birth trauma, APGAR score, birth weight, gestational age at birth, fetal mortality, neonatal mortality. Results: Nineteen studies were included. Greater GV at the end of pregnancy has been associated with higher rates of large fo gestational age newborns and, among the measures studied, the J index appears to have a greater correlation. GV in the early period of pregnancy appears to have a greater correlation with the incidence of preeclampsia.its severity, and its earlier onset. Other perinatal outcomes, have been little studied to date. Conclusion: Higher GV in late pregnancy was associated with large for gestational age newborns, and the J-index appears to be the measure. GV in early pregnancy seems to be associated with pre-eclampsia, with greater severity and earlier onset.\n\n\n### Silva, CL1; Machado, GP1; Guntzel, GF1; Rodrigues, TC1\nIntroduction: For many years, measuring glycemic variability (GV)was not possible. However, with the increased use of continuous glucose monitors, this has changed. Objective: This systematic review sought to synthesize the existing data in the literature on parameters used to estimate GV and its relationship with perinatal and maternal outcomes, as well as to evaluate which is the best glycemic variability parameter for this purpose and to establish whether these metrics can be useful to guide the management of pregnant women with type 1 diabetes. Methods: The search was performed on the main database platforms: PUBMED, EMBASE, WEB OF SCIENCE, and LILACS in December 2024 and updated in June 2025. This search was conducted independently by two researchers using the following terms and their equivalents: type 1 diabetes, continuous glucose monitoring, glycemic variability, and gestational, fetal, neonatal, and perinatal outcomes. There were no language restrictions. Data from grey literature available on the four databases were also included. This review was registered in PROSPERO CRD42024621744 and conducted according PRISMA. Population: Pregnant women with type 1 diabetes mellitus Exposure: High glycemic variability measured by glycemic variability divided by standard deviation, coefficient of variation (CV), standard deviation (SD), MAGE, MODD, ADDR, M-value, J-index, and CONGA Comparator: Low glycemic variability following the same parameters Outcomes: Large for gestational age newborn, fetal macrosomia, pre-eclampsia and hypertensive disorders in pregnancy, cesarean delivery, premature birth, neonatal hypoglycemia, neonatal ICU admission, newborn hyperbilirubinemia, newborn respiratory dysfunction, shoulder dystocia and birth trauma, APGAR score, birth weight, gestational age at birth, fetal mortality, neonatal mortality. Results: Nineteen studies were included. Greater GV at the end of pregnancy has been associated with higher rates of large fo gestational age newborns and, among the measures studied, the J index appears to have a greater correlation. GV in the early period of pregnancy appears to have a greater correlation with the incidence of preeclampsia.its severity, and its earlier onset. Other perinatal outcomes, have been little studied to date. Conclusion: Higher GV in late pregnancy was associated with large for gestational age newborns, and the J-index appears to be the measure. GV in early pregnancy seems to be associated with pre-eclampsia, with greater severity and earlier onset.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil\nIntroduction: For many years, measuring glycemic variability (GV)was not possible. However, with the increased use of continuous glucose monitors, this has changed. Objective: This systematic review sought to synthesize the existing data in the literature on parameters used to estimate GV and its relationship with perinatal and maternal outcomes, as well as to evaluate which is the best glycemic variability parameter for this purpose and to establish whether these metrics can be useful to guide the management of pregnant women with type 1 diabetes. Methods: The search was performed on the main database platforms: PUBMED, EMBASE, WEB OF SCIENCE, and LILACS in December 2024 and updated in June 2025. This search was conducted independently by two researchers using the following terms and their equivalents: type 1 diabetes, continuous glucose monitoring, glycemic variability, and gestational, fetal, neonatal, and perinatal outcomes. There were no language restrictions. Data from grey literature available on the four databases were also included. This review was registered in PROSPERO CRD42024621744 and conducted according PRISMA. Population: Pregnant women with type 1 diabetes mellitus Exposure: High glycemic variability measured by glycemic variability divided by standard deviation, coefficient of variation (CV), standard deviation (SD), MAGE, MODD, ADDR, M-value, J-index, and CONGA Comparator: Low glycemic variability following the same parameters Outcomes: Large for gestational age newborn, fetal macrosomia, pre-eclampsia and hypertensive disorders in pregnancy, cesarean delivery, premature birth, neonatal hypoglycemia, neonatal ICU admission, newborn hyperbilirubinemia, newborn respiratory dysfunction, shoulder dystocia and birth trauma, APGAR score, birth weight, gestational age at birth, fetal mortality, neonatal mortality. Results: Nineteen studies were included. Greater GV at the end of pregnancy has been associated with higher rates of large fo gestational age newborns and, among the measures studied, the J index appears to have a greater correlation. GV in the early period of pregnancy appears to have a greater correlation with the incidence of preeclampsia.its severity, and its earlier onset. Other perinatal outcomes, have been little studied to date. Conclusion: Higher GV in late pregnancy was associated with large for gestational age newborns, and the J-index appears to be the measure. GV in early pregnancy seems to be associated with pre-eclampsia, with greater severity and earlier onset.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—005\nIntroduction: For many years, measuring glycemic variability (GV)was not possible. However, with the increased use of continuous glucose monitors, this has changed. Objective: This systematic review sought to synthesize the existing data in the literature on parameters used to estimate GV and its relationship with perinatal and maternal outcomes, as well as to evaluate which is the best glycemic variability parameter for this purpose and to establish whether these metrics can be useful to guide the management of pregnant women with type 1 diabetes. Methods: The search was performed on the main database platforms: PUBMED, EMBASE, WEB OF SCIENCE, and LILACS in December 2024 and updated in June 2025. This search was conducted independently by two researchers using the following terms and their equivalents: type 1 diabetes, continuous glucose monitoring, glycemic variability, and gestational, fetal, neonatal, and perinatal outcomes. There were no language restrictions. Data from grey literature available on the four databases were also included. This review was registered in PROSPERO CRD42024621744 and conducted according PRISMA. Population: Pregnant women with type 1 diabetes mellitus Exposure: High glycemic variability measured by glycemic variability divided by standard deviation, coefficient of variation (CV), standard deviation (SD), MAGE, MODD, ADDR, M-value, J-index, and CONGA Comparator: Low glycemic variability following the same parameters Outcomes: Large for gestational age newborn, fetal macrosomia, pre-eclampsia and hypertensive disorders in pregnancy, cesarean delivery, premature birth, neonatal hypoglycemia, neonatal ICU admission, newborn hyperbilirubinemia, newborn respiratory dysfunction, shoulder dystocia and birth trauma, APGAR score, birth weight, gestational age at birth, fetal mortality, neonatal mortality. Results: Nineteen studies were included. Greater GV at the end of pregnancy has been associated with higher rates of large fo gestational age newborns and, among the measures studied, the J index appears to have a greater correlation. GV in the early period of pregnancy appears to have a greater correlation with the incidence of preeclampsia.its severity, and its earlier onset. Other perinatal outcomes, have been little studied to date. Conclusion: Higher GV in late pregnancy was associated with large for gestational age newborns, and the J-index appears to be the measure. GV in early pregnancy seems to be associated with pre-eclampsia, with greater severity and earlier onset.\n\n\n### OP—006 Performance of Cardiovascular Risk Calculators in Long-Standing Type 1 Diabetes: A Multicenter Retrospective Comparison with 10-year Outcomes\nIntroduction: Subjects with type 1 diabetes (T1D) are at higher risk for cardiovascular (CV) disease, but the optimal risk stratification in this population remains a matter of debate. Calculators validated for the general population may lack precision, while T1D-specific tools are still under evaluation Objective: To assess the performance of four cardiovascular risk (CVR) calculators in subjects with long-term T1D, according to the rate of events. Methods: This multicenter retrospective study included adults with T1D for more than 10 years from 3 centers in Southeastern Brazil. For each participant, the 10-year CVR was estimated using 4 tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE) and LIFE-T1D. Outcomes (coronary artery disease, heart failure, and ischemic stroke) occurring with a 10-year follow up were recorded. Categories that indicated a risk of cardiovascular events of at least 20% within 10 years were considered risk predictors. Sensitivity, specificity, positive predictive value (PPV), negative predictive value (NPV) and odds ratios (ORs) were calculated to assess each model’s performance. Results: The sample comprised 569 patients (55.4% of whom were females). Their mean age, T1D duration and body mass index were 28.6 years (± 10.7), 18.0 years (± 7.14) and 25.0 kg/m2 (± 4.2), respectively. 22.6% had hypertension and 6.9% were smokers. Events occurred in 29 patients (5.3%). There were 26 deaths (4.6%), but they were not considered outcomes since it was not possible to determine the cause. The SBD calculator had a sensitivity of 79.3%, specificity of 54.5%, PPV of 8.9%, and NPV of 97.9% (OR 4.6). The SBC calculator, which classifies all individuals with T1D for over 10 years as high risk, achieved 100% sensitivity but low specificity (7.6%) and PPV (5.7%), precluding OR calculation. ST1RE demonstrated the highest OR (13.6; p < 0.001) and specificity (95.5%), but limited sensitivity (40.7%). LIFE-T1D had the lowest sensitivity (20%) but high specificity (98.3%) and PPV (40%), although it remains unvalidated in the Brazilian population. Conclusion: General population calculators (SBC, SBD) had heterogeneous results but tended to overestimate CVR, while specific calculators (ST1RE and LIFE-T1D) underestimated it. No calculator proved to be ideal, and it is possible that an alternative method that could combine the current methods would be more suitable for patients with long-term T1D.\n\n\n### Garcia, PM1; Paliares, IC2; Lauria, MW3; Dualib, PM2; Dib, SA2; Sá, JR2; Costa, AH1; Sena, MCR1; Zajdenverg, L1; Dantas, JR1; Rodacki, M1\nIntroduction: Subjects with type 1 diabetes (T1D) are at higher risk for cardiovascular (CV) disease, but the optimal risk stratification in this population remains a matter of debate. Calculators validated for the general population may lack precision, while T1D-specific tools are still under evaluation Objective: To assess the performance of four cardiovascular risk (CVR) calculators in subjects with long-term T1D, according to the rate of events. Methods: This multicenter retrospective study included adults with T1D for more than 10 years from 3 centers in Southeastern Brazil. For each participant, the 10-year CVR was estimated using 4 tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE) and LIFE-T1D. Outcomes (coronary artery disease, heart failure, and ischemic stroke) occurring with a 10-year follow up were recorded. Categories that indicated a risk of cardiovascular events of at least 20% within 10 years were considered risk predictors. Sensitivity, specificity, positive predictive value (PPV), negative predictive value (NPV) and odds ratios (ORs) were calculated to assess each model’s performance. Results: The sample comprised 569 patients (55.4% of whom were females). Their mean age, T1D duration and body mass index were 28.6 years (± 10.7), 18.0 years (± 7.14) and 25.0 kg/m2 (± 4.2), respectively. 22.6% had hypertension and 6.9% were smokers. Events occurred in 29 patients (5.3%). There were 26 deaths (4.6%), but they were not considered outcomes since it was not possible to determine the cause. The SBD calculator had a sensitivity of 79.3%, specificity of 54.5%, PPV of 8.9%, and NPV of 97.9% (OR 4.6). The SBC calculator, which classifies all individuals with T1D for over 10 years as high risk, achieved 100% sensitivity but low specificity (7.6%) and PPV (5.7%), precluding OR calculation. ST1RE demonstrated the highest OR (13.6; p < 0.001) and specificity (95.5%), but limited sensitivity (40.7%). LIFE-T1D had the lowest sensitivity (20%) but high specificity (98.3%) and PPV (40%), although it remains unvalidated in the Brazilian population. Conclusion: General population calculators (SBC, SBD) had heterogeneous results but tended to overestimate CVR, while specific calculators (ST1RE and LIFE-T1D) underestimated it. No calculator proved to be ideal, and it is possible that an alternative method that could combine the current methods would be more suitable for patients with long-term T1D.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil; (4) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (5) Universidade Federal do Rio de Janeiro, Rio de Janeiro—RJ, Brasil\nIntroduction: Subjects with type 1 diabetes (T1D) are at higher risk for cardiovascular (CV) disease, but the optimal risk stratification in this population remains a matter of debate. Calculators validated for the general population may lack precision, while T1D-specific tools are still under evaluation Objective: To assess the performance of four cardiovascular risk (CVR) calculators in subjects with long-term T1D, according to the rate of events. Methods: This multicenter retrospective study included adults with T1D for more than 10 years from 3 centers in Southeastern Brazil. For each participant, the 10-year CVR was estimated using 4 tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE) and LIFE-T1D. Outcomes (coronary artery disease, heart failure, and ischemic stroke) occurring with a 10-year follow up were recorded. Categories that indicated a risk of cardiovascular events of at least 20% within 10 years were considered risk predictors. Sensitivity, specificity, positive predictive value (PPV), negative predictive value (NPV) and odds ratios (ORs) were calculated to assess each model’s performance. Results: The sample comprised 569 patients (55.4% of whom were females). Their mean age, T1D duration and body mass index were 28.6 years (± 10.7), 18.0 years (± 7.14) and 25.0 kg/m2 (± 4.2), respectively. 22.6% had hypertension and 6.9% were smokers. Events occurred in 29 patients (5.3%). There were 26 deaths (4.6%), but they were not considered outcomes since it was not possible to determine the cause. The SBD calculator had a sensitivity of 79.3%, specificity of 54.5%, PPV of 8.9%, and NPV of 97.9% (OR 4.6). The SBC calculator, which classifies all individuals with T1D for over 10 years as high risk, achieved 100% sensitivity but low specificity (7.6%) and PPV (5.7%), precluding OR calculation. ST1RE demonstrated the highest OR (13.6; p < 0.001) and specificity (95.5%), but limited sensitivity (40.7%). LIFE-T1D had the lowest sensitivity (20%) but high specificity (98.3%) and PPV (40%), although it remains unvalidated in the Brazilian population. Conclusion: General population calculators (SBC, SBD) had heterogeneous results but tended to overestimate CVR, while specific calculators (ST1RE and LIFE-T1D) underestimated it. No calculator proved to be ideal, and it is possible that an alternative method that could combine the current methods would be more suitable for patients with long-term T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—006\nIntroduction: Subjects with type 1 diabetes (T1D) are at higher risk for cardiovascular (CV) disease, but the optimal risk stratification in this population remains a matter of debate. Calculators validated for the general population may lack precision, while T1D-specific tools are still under evaluation Objective: To assess the performance of four cardiovascular risk (CVR) calculators in subjects with long-term T1D, according to the rate of events. Methods: This multicenter retrospective study included adults with T1D for more than 10 years from 3 centers in Southeastern Brazil. For each participant, the 10-year CVR was estimated using 4 tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE) and LIFE-T1D. Outcomes (coronary artery disease, heart failure, and ischemic stroke) occurring with a 10-year follow up were recorded. Categories that indicated a risk of cardiovascular events of at least 20% within 10 years were considered risk predictors. Sensitivity, specificity, positive predictive value (PPV), negative predictive value (NPV) and odds ratios (ORs) were calculated to assess each model’s performance. Results: The sample comprised 569 patients (55.4% of whom were females). Their mean age, T1D duration and body mass index were 28.6 years (± 10.7), 18.0 years (± 7.14) and 25.0 kg/m2 (± 4.2), respectively. 22.6% had hypertension and 6.9% were smokers. Events occurred in 29 patients (5.3%). There were 26 deaths (4.6%), but they were not considered outcomes since it was not possible to determine the cause. The SBD calculator had a sensitivity of 79.3%, specificity of 54.5%, PPV of 8.9%, and NPV of 97.9% (OR 4.6). The SBC calculator, which classifies all individuals with T1D for over 10 years as high risk, achieved 100% sensitivity but low specificity (7.6%) and PPV (5.7%), precluding OR calculation. ST1RE demonstrated the highest OR (13.6; p < 0.001) and specificity (95.5%), but limited sensitivity (40.7%). LIFE-T1D had the lowest sensitivity (20%) but high specificity (98.3%) and PPV (40%), although it remains unvalidated in the Brazilian population. Conclusion: General population calculators (SBC, SBD) had heterogeneous results but tended to overestimate CVR, while specific calculators (ST1RE and LIFE-T1D) underestimated it. No calculator proved to be ideal, and it is possible that an alternative method that could combine the current methods would be more suitable for patients with long-term T1D.\n\n\n### OP—007 Contraceptive Methods Used By Adolescents With Diabetes Mellitus\nIntroduction: Prevention of unplanned pregnancies is essential in adolescents with diabetes mellitus (DM). The Long-acting reversible contraceptive methods (LARCs), such as intrauterine devices and etonogestrel implant, are effective, safe, and reversible, and are the most appropriate for preventing pregnancies in adolescents and in those women with inadequate glycemic control and chronic complications or comorbidities to avoid maternal–fetal complications. Objective: To describe the contraceptive methods used by adolescents (10–18 years of age) with DM treated at a referral center for the treatment of children and adolescents with DM in southern Brazil. Methods: Cross-sectional study developed through review of medical records to collect clinical data and interview using a structured questionnaire. Approved Ethics Committee:58,015,622.8.3001. 5530. Results: Of the 373 adolescents with DM included in the study, 306 were interviewed so far. The mean age was 13.6 + 2.6 years old. Regarding the type of diabetes, 293 (95,7%) had DM1. 215 (70,3%) had menarche, with a mean age of 11.6 + 1,39 years old. 57 (%) had initiated sexual intercourse, with a mean age of initiation of 15.2 + 1.42 years old. 72 adolescents were using contraception methods 46 (64%) receive a prescription from a medical professional and 26 (36%) had started using contraception method without professional evaluation. The most used contraceptive methods are combined oral contraceptive 36 (50%); male condom 12 (17%), injectable combined contraceptive 8 (11,1%); quarterly injectable progesterone 6 (8,3%); etonogestrel implant 5 (7%), oral progesterone contraceptive 4 (5,6%), patch 1 (1,4%). There were no reports of pregnancies among the interviewees. Conclusion: Although most adolescents who initiate sexual activity use contraceptive methods, low adherence to the use of LARCS, only 5 use the etonogestrel implant, which is one of the most suitable methods due to its safety and high efficacy. Many adolescents use contraceptive methods without a prescription. The data reinforce the importance of including the topic of contraception and pregnancy planning in routine consultations for adolescents with DM from the beginning of puberty, as well as public policies that expand access to contraceptive methods, especially LARCs, and the provision of information to this population.\n\n\n### Gerhardt, CR1; Amaral, MF2; Coutinho, MKP3; Remonti, LLR4; Satler, F4; Leitao, CB1\nIntroduction: Prevention of unplanned pregnancies is essential in adolescents with diabetes mellitus (DM). The Long-acting reversible contraceptive methods (LARCs), such as intrauterine devices and etonogestrel implant, are effective, safe, and reversible, and are the most appropriate for preventing pregnancies in adolescents and in those women with inadequate glycemic control and chronic complications or comorbidities to avoid maternal–fetal complications. Objective: To describe the contraceptive methods used by adolescents (10–18 years of age) with DM treated at a referral center for the treatment of children and adolescents with DM in southern Brazil. Methods: Cross-sectional study developed through review of medical records to collect clinical data and interview using a structured questionnaire. Approved Ethics Committee:58,015,622.8.3001. 5530. Results: Of the 373 adolescents with DM included in the study, 306 were interviewed so far. The mean age was 13.6 + 2.6 years old. Regarding the type of diabetes, 293 (95,7%) had DM1. 215 (70,3%) had menarche, with a mean age of 11.6 + 1,39 years old. 57 (%) had initiated sexual intercourse, with a mean age of initiation of 15.2 + 1.42 years old. 72 adolescents were using contraception methods 46 (64%) receive a prescription from a medical professional and 26 (36%) had started using contraception method without professional evaluation. The most used contraceptive methods are combined oral contraceptive 36 (50%); male condom 12 (17%), injectable combined contraceptive 8 (11,1%); quarterly injectable progesterone 6 (8,3%); etonogestrel implant 5 (7%), oral progesterone contraceptive 4 (5,6%), patch 1 (1,4%). There were no reports of pregnancies among the interviewees. Conclusion: Although most adolescents who initiate sexual activity use contraceptive methods, low adherence to the use of LARCS, only 5 use the etonogestrel implant, which is one of the most suitable methods due to its safety and high efficacy. Many adolescents use contraceptive methods without a prescription. The data reinforce the importance of including the topic of contraception and pregnancy planning in routine consultations for adolescents with DM from the beginning of puberty, as well as public policies that expand access to contraceptive methods, especially LARCs, and the provision of information to this population.\n\n\n### (1) Universidade Ferderal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Universidade Lutherana do Brasil, Porto Alegre, RS, Brasil; (3) Instituto da Criança Com Diabetes, Porto Alegre, RS, Brasil; (4) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Prevention of unplanned pregnancies is essential in adolescents with diabetes mellitus (DM). The Long-acting reversible contraceptive methods (LARCs), such as intrauterine devices and etonogestrel implant, are effective, safe, and reversible, and are the most appropriate for preventing pregnancies in adolescents and in those women with inadequate glycemic control and chronic complications or comorbidities to avoid maternal–fetal complications. Objective: To describe the contraceptive methods used by adolescents (10–18 years of age) with DM treated at a referral center for the treatment of children and adolescents with DM in southern Brazil. Methods: Cross-sectional study developed through review of medical records to collect clinical data and interview using a structured questionnaire. Approved Ethics Committee:58,015,622.8.3001. 5530. Results: Of the 373 adolescents with DM included in the study, 306 were interviewed so far. The mean age was 13.6 + 2.6 years old. Regarding the type of diabetes, 293 (95,7%) had DM1. 215 (70,3%) had menarche, with a mean age of 11.6 + 1,39 years old. 57 (%) had initiated sexual intercourse, with a mean age of initiation of 15.2 + 1.42 years old. 72 adolescents were using contraception methods 46 (64%) receive a prescription from a medical professional and 26 (36%) had started using contraception method without professional evaluation. The most used contraceptive methods are combined oral contraceptive 36 (50%); male condom 12 (17%), injectable combined contraceptive 8 (11,1%); quarterly injectable progesterone 6 (8,3%); etonogestrel implant 5 (7%), oral progesterone contraceptive 4 (5,6%), patch 1 (1,4%). There were no reports of pregnancies among the interviewees. Conclusion: Although most adolescents who initiate sexual activity use contraceptive methods, low adherence to the use of LARCS, only 5 use the etonogestrel implant, which is one of the most suitable methods due to its safety and high efficacy. Many adolescents use contraceptive methods without a prescription. The data reinforce the importance of including the topic of contraception and pregnancy planning in routine consultations for adolescents with DM from the beginning of puberty, as well as public policies that expand access to contraceptive methods, especially LARCs, and the provision of information to this population.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—007\nIntroduction: Prevention of unplanned pregnancies is essential in adolescents with diabetes mellitus (DM). The Long-acting reversible contraceptive methods (LARCs), such as intrauterine devices and etonogestrel implant, are effective, safe, and reversible, and are the most appropriate for preventing pregnancies in adolescents and in those women with inadequate glycemic control and chronic complications or comorbidities to avoid maternal–fetal complications. Objective: To describe the contraceptive methods used by adolescents (10–18 years of age) with DM treated at a referral center for the treatment of children and adolescents with DM in southern Brazil. Methods: Cross-sectional study developed through review of medical records to collect clinical data and interview using a structured questionnaire. Approved Ethics Committee:58,015,622.8.3001. 5530. Results: Of the 373 adolescents with DM included in the study, 306 were interviewed so far. The mean age was 13.6 + 2.6 years old. Regarding the type of diabetes, 293 (95,7%) had DM1. 215 (70,3%) had menarche, with a mean age of 11.6 + 1,39 years old. 57 (%) had initiated sexual intercourse, with a mean age of initiation of 15.2 + 1.42 years old. 72 adolescents were using contraception methods 46 (64%) receive a prescription from a medical professional and 26 (36%) had started using contraception method without professional evaluation. The most used contraceptive methods are combined oral contraceptive 36 (50%); male condom 12 (17%), injectable combined contraceptive 8 (11,1%); quarterly injectable progesterone 6 (8,3%); etonogestrel implant 5 (7%), oral progesterone contraceptive 4 (5,6%), patch 1 (1,4%). There were no reports of pregnancies among the interviewees. Conclusion: Although most adolescents who initiate sexual activity use contraceptive methods, low adherence to the use of LARCS, only 5 use the etonogestrel implant, which is one of the most suitable methods due to its safety and high efficacy. Many adolescents use contraceptive methods without a prescription. The data reinforce the importance of including the topic of contraception and pregnancy planning in routine consultations for adolescents with DM from the beginning of puberty, as well as public policies that expand access to contraceptive methods, especially LARCs, and the provision of information to this population.\n\n\n### OP—008 Glycemic Profile in Pregnant Women After Bariatric Surgery: Insights from Continuous Glucose Monitoring\nIntroduction: The oral glucose tolerance test (OGTT) is the standard diagnostic method for gestational diabetes mellitus (GDM). After bariatric surgery (BS), it may be unsuitable due to the risk of dumping syndrome and difficulties in interpreting results from altered gastric emptying. Assessing glycemic profiles and their associations with maternal–fetal outcomes may help detect dysglycemia in this population. Objective: To describe continuous glucose monitoring (CGM) profiles in pregnant women without prior diabetes after BS and correlate findings with maternal–fetal outcomes. Methods: Pregnant women with a history of BS from a prenatal outpatient clinic were invited to participate. isCGM (Freestyle Libre 1, Abbott) was used between 24–28 gestational weeks for 14 days, with scans before and 1 h after meals. Metrics were obtained from the Libreview® program, including mean glucose, glycemic variability (GV), time in range (TIR; 63–140 mg/dL), time above range (TAR > 140 mg/dL), and time below range (TBR; < 63 mg/dL). Results: Twelve women with prior Roux-en-Y gastric bypass (n = 8) or vertical sleeve gastrectomy (n = 4) were included. Mean age was 37.7 years, BMI 33.6 kg/m2, gestational weight gain 6.05 (− 1.8 to + 16.5) kg, and time from BS to pregnancy 6.3 (1–20) years. isCGM was initiated at a mean of 27.6 weeks and showed: mean glucose 91.5 ± 9 mg/dL, GV 30.6 ± 19%, TIR 81.9 ± 27% (median 93%), TAR 6,82 ± 4,49%, TBR 4.73 ± 6.43% (median 4%). Median birth weight was 3315 (2670–3885) g. Seven women had CGM values suggestive of GDM (fasting > 95 mg/dL or 1 h-postprandial > 140 mg/dL). No correlation was found between GDM and fetal weight percentile (r =  − 0.24), but both large-for-gestational-age newborns were from this group. All neonatal hypoglycemia cases occurred in the GDM group. No significant association was found between CGM metrics and fetal abdominal circumference percentile, though GV showed a positive, non-significant trend (r = 0.43; p = 0.21). Conclusion: In post-BS pregnancies, isCGM identified a high proportion of elevated glucose levels. Monitoring pre- and postprandial glucose may aid in diagnosing and managing GDM in this population. These women also showed frequent hypoglycemia and a significant GV. GV may relate to increased fetal abdominal growth. Larger studies are needed to confirm these associations.\n\n\n### Nabuco, A1; Fragoso, L2; Leal, ME2; Bagdadi, LV1; Rodacki, M2; Dantas, JR2; Mata, F1; Oliveira, MM1; Zajdenverg, L1\nIntroduction: The oral glucose tolerance test (OGTT) is the standard diagnostic method for gestational diabetes mellitus (GDM). After bariatric surgery (BS), it may be unsuitable due to the risk of dumping syndrome and difficulties in interpreting results from altered gastric emptying. Assessing glycemic profiles and their associations with maternal–fetal outcomes may help detect dysglycemia in this population. Objective: To describe continuous glucose monitoring (CGM) profiles in pregnant women without prior diabetes after BS and correlate findings with maternal–fetal outcomes. Methods: Pregnant women with a history of BS from a prenatal outpatient clinic were invited to participate. isCGM (Freestyle Libre 1, Abbott) was used between 24–28 gestational weeks for 14 days, with scans before and 1 h after meals. Metrics were obtained from the Libreview® program, including mean glucose, glycemic variability (GV), time in range (TIR; 63–140 mg/dL), time above range (TAR > 140 mg/dL), and time below range (TBR; < 63 mg/dL). Results: Twelve women with prior Roux-en-Y gastric bypass (n = 8) or vertical sleeve gastrectomy (n = 4) were included. Mean age was 37.7 years, BMI 33.6 kg/m2, gestational weight gain 6.05 (− 1.8 to + 16.5) kg, and time from BS to pregnancy 6.3 (1–20) years. isCGM was initiated at a mean of 27.6 weeks and showed: mean glucose 91.5 ± 9 mg/dL, GV 30.6 ± 19%, TIR 81.9 ± 27% (median 93%), TAR 6,82 ± 4,49%, TBR 4.73 ± 6.43% (median 4%). Median birth weight was 3315 (2670–3885) g. Seven women had CGM values suggestive of GDM (fasting > 95 mg/dL or 1 h-postprandial > 140 mg/dL). No correlation was found between GDM and fetal weight percentile (r =  − 0.24), but both large-for-gestational-age newborns were from this group. All neonatal hypoglycemia cases occurred in the GDM group. No significant association was found between CGM metrics and fetal abdominal circumference percentile, though GV showed a positive, non-significant trend (r = 0.43; p = 0.21). Conclusion: In post-BS pregnancies, isCGM identified a high proportion of elevated glucose levels. Monitoring pre- and postprandial glucose may aid in diagnosing and managing GDM in this population. These women also showed frequent hypoglycemia and a significant GV. GV may relate to increased fetal abdominal growth. Larger studies are needed to confirm these associations.\n\n\n### (1) Maternidade Escola da Universidade Federal do Rio de Janeiro. Serviço de nutrologia. Universidade Federal do Rio de Janeiro, RJ, Brasil; (2) Departamento de Clínica Médica, serviço de nutrologia. faculdade de medicina da Universidade Federal do Rio de Janeiro, RJ, Brasil\nIntroduction: The oral glucose tolerance test (OGTT) is the standard diagnostic method for gestational diabetes mellitus (GDM). After bariatric surgery (BS), it may be unsuitable due to the risk of dumping syndrome and difficulties in interpreting results from altered gastric emptying. Assessing glycemic profiles and their associations with maternal–fetal outcomes may help detect dysglycemia in this population. Objective: To describe continuous glucose monitoring (CGM) profiles in pregnant women without prior diabetes after BS and correlate findings with maternal–fetal outcomes. Methods: Pregnant women with a history of BS from a prenatal outpatient clinic were invited to participate. isCGM (Freestyle Libre 1, Abbott) was used between 24–28 gestational weeks for 14 days, with scans before and 1 h after meals. Metrics were obtained from the Libreview® program, including mean glucose, glycemic variability (GV), time in range (TIR; 63–140 mg/dL), time above range (TAR > 140 mg/dL), and time below range (TBR; < 63 mg/dL). Results: Twelve women with prior Roux-en-Y gastric bypass (n = 8) or vertical sleeve gastrectomy (n = 4) were included. Mean age was 37.7 years, BMI 33.6 kg/m2, gestational weight gain 6.05 (− 1.8 to + 16.5) kg, and time from BS to pregnancy 6.3 (1–20) years. isCGM was initiated at a mean of 27.6 weeks and showed: mean glucose 91.5 ± 9 mg/dL, GV 30.6 ± 19%, TIR 81.9 ± 27% (median 93%), TAR 6,82 ± 4,49%, TBR 4.73 ± 6.43% (median 4%). Median birth weight was 3315 (2670–3885) g. Seven women had CGM values suggestive of GDM (fasting > 95 mg/dL or 1 h-postprandial > 140 mg/dL). No correlation was found between GDM and fetal weight percentile (r =  − 0.24), but both large-for-gestational-age newborns were from this group. All neonatal hypoglycemia cases occurred in the GDM group. No significant association was found between CGM metrics and fetal abdominal circumference percentile, though GV showed a positive, non-significant trend (r = 0.43; p = 0.21). Conclusion: In post-BS pregnancies, isCGM identified a high proportion of elevated glucose levels. Monitoring pre- and postprandial glucose may aid in diagnosing and managing GDM in this population. These women also showed frequent hypoglycemia and a significant GV. GV may relate to increased fetal abdominal growth. Larger studies are needed to confirm these associations.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—008\nIntroduction: The oral glucose tolerance test (OGTT) is the standard diagnostic method for gestational diabetes mellitus (GDM). After bariatric surgery (BS), it may be unsuitable due to the risk of dumping syndrome and difficulties in interpreting results from altered gastric emptying. Assessing glycemic profiles and their associations with maternal–fetal outcomes may help detect dysglycemia in this population. Objective: To describe continuous glucose monitoring (CGM) profiles in pregnant women without prior diabetes after BS and correlate findings with maternal–fetal outcomes. Methods: Pregnant women with a history of BS from a prenatal outpatient clinic were invited to participate. isCGM (Freestyle Libre 1, Abbott) was used between 24–28 gestational weeks for 14 days, with scans before and 1 h after meals. Metrics were obtained from the Libreview® program, including mean glucose, glycemic variability (GV), time in range (TIR; 63–140 mg/dL), time above range (TAR > 140 mg/dL), and time below range (TBR; < 63 mg/dL). Results: Twelve women with prior Roux-en-Y gastric bypass (n = 8) or vertical sleeve gastrectomy (n = 4) were included. Mean age was 37.7 years, BMI 33.6 kg/m2, gestational weight gain 6.05 (− 1.8 to + 16.5) kg, and time from BS to pregnancy 6.3 (1–20) years. isCGM was initiated at a mean of 27.6 weeks and showed: mean glucose 91.5 ± 9 mg/dL, GV 30.6 ± 19%, TIR 81.9 ± 27% (median 93%), TAR 6,82 ± 4,49%, TBR 4.73 ± 6.43% (median 4%). Median birth weight was 3315 (2670–3885) g. Seven women had CGM values suggestive of GDM (fasting > 95 mg/dL or 1 h-postprandial > 140 mg/dL). No correlation was found between GDM and fetal weight percentile (r =  − 0.24), but both large-for-gestational-age newborns were from this group. All neonatal hypoglycemia cases occurred in the GDM group. No significant association was found between CGM metrics and fetal abdominal circumference percentile, though GV showed a positive, non-significant trend (r = 0.43; p = 0.21). Conclusion: In post-BS pregnancies, isCGM identified a high proportion of elevated glucose levels. Monitoring pre- and postprandial glucose may aid in diagnosing and managing GDM in this population. These women also showed frequent hypoglycemia and a significant GV. GV may relate to increased fetal abdominal growth. Larger studies are needed to confirm these associations.\n\n\n### OP—009 From Ketoacidosis to Recovery: Clinical and Laboratory Differences Among Patients With A⁻Β⁺ And A⁺Β⁻ Ketosis-Prone Diabetes – A Systematic Review and Meta-Analysis\nIntroduction: Ketosis-prone diabetes (KPD) is an atypical form of diabetes characterized by episodes of diabetic ketoacidosis (DKA) and isolated ketosis. The Aβ classification stratifies KPD based on islet autoantibodies (A⁺/⁻) and beta-cell function (β⁺/⁻). Among subtypes, A⁻β⁺ is the most frequent, presenting features of both type 1 and type 2 diabetes. Despite growing interest, no prior meta-analysis has focused exclusively on A⁻β⁺ KPD patients in the context of DKA or directly compared them to A⁺β⁻ KPD, a group more similar to type 1 diabetes. Objective: To compare the clinical and laboratory characteristics of A⁻β⁺ and A⁺β⁻ KPD following DKA. Methods: A systematic review was conducted across five databases through August 2024. Eligible studies assessed GAD65 autoantibodies and beta-cell function. Outcomes included baseline characteristics and longitudinal HbA1c and C-peptide data. Random-effects meta-analyses were performed using RevMan 5.4, reporting mean differences (MD), risk ratios (RR), and 95% confidence intervals (CI). Heterogeneity was assessed using the I2 statistic; p < 0.05 was considered statistically significant. The protocol was registered in PROSPERO (CRD420251028769). Results: Seven observational studies were included, with 427 of 619 individuals classified as A⁻β⁺ KPD. Compared to A⁺β⁻ patients, A⁻β⁺ had higher BMI (MD 5.47 kg/m2; 95% CI 3.90 to 7.05; p < 0.00001; I2 = 58%) and were more likely to have a family history of diabetes (RR 1.74; 95% CI 1.29 to 2.34; p = 0.0003; I2 = 0%). No significant differences were observed in age, sex, glucose, or pH. At DKA onset, A⁻β⁺ KPD showed worse glycemic control (HbA1c MD 1.01%; 95% CI 0.11 to 1.92; p = 0.03; I2 = 29%) and higher fasting C-peptide (MD 1.36 ng/mL; 95% CI 0.46 to 2.27; p = 0.003; I2 = 95%). Between 6 and 12 months of recovery, patients with A⁻β⁺ showed greater beta-cell function improvement from baseline in fasting C-peptide (MD 0.92 ng/mL; 95% CI 0.08 to 1.76; p = 0.03; I2 = 94%) and glucagon-stimulated C-peptide measures (MD 2.46 ng/mL; 95% CI 2.21 to 2.70; p < 0.00001; I2 = 0%). After 1 year, A⁻β⁺ KPD had lower HbA1c levels (MD -2.27%; 95% CI -2.93 to -1.61; p < 0.00001; I2 = 27%) and a higher likelihood of insulin therapy discontinuation (RR 32.77; 95% CI 6.69 to 160.42; p < 0.0001; I2 = 0%). Conclusion: In DKA-onset KPD, A⁻β⁺ patients exhibit more glucotoxicity-related risk factors but experience greater beta-cell recovery and exogenous insulin independence than A⁺β⁻, reinforcing the prognostic value of Aβ classification.\n\n\n### Motta, LB1; Yu, MY1; Abbott, LA1; Sarni, ROS1; Sa, JR1\nIntroduction: Ketosis-prone diabetes (KPD) is an atypical form of diabetes characterized by episodes of diabetic ketoacidosis (DKA) and isolated ketosis. The Aβ classification stratifies KPD based on islet autoantibodies (A⁺/⁻) and beta-cell function (β⁺/⁻). Among subtypes, A⁻β⁺ is the most frequent, presenting features of both type 1 and type 2 diabetes. Despite growing interest, no prior meta-analysis has focused exclusively on A⁻β⁺ KPD patients in the context of DKA or directly compared them to A⁺β⁻ KPD, a group more similar to type 1 diabetes. Objective: To compare the clinical and laboratory characteristics of A⁻β⁺ and A⁺β⁻ KPD following DKA. Methods: A systematic review was conducted across five databases through August 2024. Eligible studies assessed GAD65 autoantibodies and beta-cell function. Outcomes included baseline characteristics and longitudinal HbA1c and C-peptide data. Random-effects meta-analyses were performed using RevMan 5.4, reporting mean differences (MD), risk ratios (RR), and 95% confidence intervals (CI). Heterogeneity was assessed using the I2 statistic; p < 0.05 was considered statistically significant. The protocol was registered in PROSPERO (CRD420251028769). Results: Seven observational studies were included, with 427 of 619 individuals classified as A⁻β⁺ KPD. Compared to A⁺β⁻ patients, A⁻β⁺ had higher BMI (MD 5.47 kg/m2; 95% CI 3.90 to 7.05; p < 0.00001; I2 = 58%) and were more likely to have a family history of diabetes (RR 1.74; 95% CI 1.29 to 2.34; p = 0.0003; I2 = 0%). No significant differences were observed in age, sex, glucose, or pH. At DKA onset, A⁻β⁺ KPD showed worse glycemic control (HbA1c MD 1.01%; 95% CI 0.11 to 1.92; p = 0.03; I2 = 29%) and higher fasting C-peptide (MD 1.36 ng/mL; 95% CI 0.46 to 2.27; p = 0.003; I2 = 95%). Between 6 and 12 months of recovery, patients with A⁻β⁺ showed greater beta-cell function improvement from baseline in fasting C-peptide (MD 0.92 ng/mL; 95% CI 0.08 to 1.76; p = 0.03; I2 = 94%) and glucagon-stimulated C-peptide measures (MD 2.46 ng/mL; 95% CI 2.21 to 2.70; p < 0.00001; I2 = 0%). After 1 year, A⁻β⁺ KPD had lower HbA1c levels (MD -2.27%; 95% CI -2.93 to -1.61; p < 0.00001; I2 = 27%) and a higher likelihood of insulin therapy discontinuation (RR 32.77; 95% CI 6.69 to 160.42; p < 0.0001; I2 = 0%). Conclusion: In DKA-onset KPD, A⁻β⁺ patients exhibit more glucotoxicity-related risk factors but experience greater beta-cell recovery and exogenous insulin independence than A⁺β⁻, reinforcing the prognostic value of Aβ classification.\n\n\n### (1) Centro Universitário Faculdade de Medicina do ABC, Santo André, SP, Brasil\nIntroduction: Ketosis-prone diabetes (KPD) is an atypical form of diabetes characterized by episodes of diabetic ketoacidosis (DKA) and isolated ketosis. The Aβ classification stratifies KPD based on islet autoantibodies (A⁺/⁻) and beta-cell function (β⁺/⁻). Among subtypes, A⁻β⁺ is the most frequent, presenting features of both type 1 and type 2 diabetes. Despite growing interest, no prior meta-analysis has focused exclusively on A⁻β⁺ KPD patients in the context of DKA or directly compared them to A⁺β⁻ KPD, a group more similar to type 1 diabetes. Objective: To compare the clinical and laboratory characteristics of A⁻β⁺ and A⁺β⁻ KPD following DKA. Methods: A systematic review was conducted across five databases through August 2024. Eligible studies assessed GAD65 autoantibodies and beta-cell function. Outcomes included baseline characteristics and longitudinal HbA1c and C-peptide data. Random-effects meta-analyses were performed using RevMan 5.4, reporting mean differences (MD), risk ratios (RR), and 95% confidence intervals (CI). Heterogeneity was assessed using the I2 statistic; p < 0.05 was considered statistically significant. The protocol was registered in PROSPERO (CRD420251028769). Results: Seven observational studies were included, with 427 of 619 individuals classified as A⁻β⁺ KPD. Compared to A⁺β⁻ patients, A⁻β⁺ had higher BMI (MD 5.47 kg/m2; 95% CI 3.90 to 7.05; p < 0.00001; I2 = 58%) and were more likely to have a family history of diabetes (RR 1.74; 95% CI 1.29 to 2.34; p = 0.0003; I2 = 0%). No significant differences were observed in age, sex, glucose, or pH. At DKA onset, A⁻β⁺ KPD showed worse glycemic control (HbA1c MD 1.01%; 95% CI 0.11 to 1.92; p = 0.03; I2 = 29%) and higher fasting C-peptide (MD 1.36 ng/mL; 95% CI 0.46 to 2.27; p = 0.003; I2 = 95%). Between 6 and 12 months of recovery, patients with A⁻β⁺ showed greater beta-cell function improvement from baseline in fasting C-peptide (MD 0.92 ng/mL; 95% CI 0.08 to 1.76; p = 0.03; I2 = 94%) and glucagon-stimulated C-peptide measures (MD 2.46 ng/mL; 95% CI 2.21 to 2.70; p < 0.00001; I2 = 0%). After 1 year, A⁻β⁺ KPD had lower HbA1c levels (MD -2.27%; 95% CI -2.93 to -1.61; p < 0.00001; I2 = 27%) and a higher likelihood of insulin therapy discontinuation (RR 32.77; 95% CI 6.69 to 160.42; p < 0.0001; I2 = 0%). Conclusion: In DKA-onset KPD, A⁻β⁺ patients exhibit more glucotoxicity-related risk factors but experience greater beta-cell recovery and exogenous insulin independence than A⁺β⁻, reinforcing the prognostic value of Aβ classification.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—009\nIntroduction: Ketosis-prone diabetes (KPD) is an atypical form of diabetes characterized by episodes of diabetic ketoacidosis (DKA) and isolated ketosis. The Aβ classification stratifies KPD based on islet autoantibodies (A⁺/⁻) and beta-cell function (β⁺/⁻). Among subtypes, A⁻β⁺ is the most frequent, presenting features of both type 1 and type 2 diabetes. Despite growing interest, no prior meta-analysis has focused exclusively on A⁻β⁺ KPD patients in the context of DKA or directly compared them to A⁺β⁻ KPD, a group more similar to type 1 diabetes. Objective: To compare the clinical and laboratory characteristics of A⁻β⁺ and A⁺β⁻ KPD following DKA. Methods: A systematic review was conducted across five databases through August 2024. Eligible studies assessed GAD65 autoantibodies and beta-cell function. Outcomes included baseline characteristics and longitudinal HbA1c and C-peptide data. Random-effects meta-analyses were performed using RevMan 5.4, reporting mean differences (MD), risk ratios (RR), and 95% confidence intervals (CI). Heterogeneity was assessed using the I2 statistic; p < 0.05 was considered statistically significant. The protocol was registered in PROSPERO (CRD420251028769). Results: Seven observational studies were included, with 427 of 619 individuals classified as A⁻β⁺ KPD. Compared to A⁺β⁻ patients, A⁻β⁺ had higher BMI (MD 5.47 kg/m2; 95% CI 3.90 to 7.05; p < 0.00001; I2 = 58%) and were more likely to have a family history of diabetes (RR 1.74; 95% CI 1.29 to 2.34; p = 0.0003; I2 = 0%). No significant differences were observed in age, sex, glucose, or pH. At DKA onset, A⁻β⁺ KPD showed worse glycemic control (HbA1c MD 1.01%; 95% CI 0.11 to 1.92; p = 0.03; I2 = 29%) and higher fasting C-peptide (MD 1.36 ng/mL; 95% CI 0.46 to 2.27; p = 0.003; I2 = 95%). Between 6 and 12 months of recovery, patients with A⁻β⁺ showed greater beta-cell function improvement from baseline in fasting C-peptide (MD 0.92 ng/mL; 95% CI 0.08 to 1.76; p = 0.03; I2 = 94%) and glucagon-stimulated C-peptide measures (MD 2.46 ng/mL; 95% CI 2.21 to 2.70; p < 0.00001; I2 = 0%). After 1 year, A⁻β⁺ KPD had lower HbA1c levels (MD -2.27%; 95% CI -2.93 to -1.61; p < 0.00001; I2 = 27%) and a higher likelihood of insulin therapy discontinuation (RR 32.77; 95% CI 6.69 to 160.42; p < 0.0001; I2 = 0%). Conclusion: In DKA-onset KPD, A⁻β⁺ patients exhibit more glucotoxicity-related risk factors but experience greater beta-cell recovery and exogenous insulin independence than A⁺β⁻, reinforcing the prognostic value of Aβ classification.\n\n\n### OP—010 Glucose Profile In Individuals With GCK-MODY Diabetes: Insights From Continuous Glucose Monitoring In A Case–Control Study\nIntroduction: Diabetes that occurs due to a mutation in a single gene is called monogenic diabetes. Although still considered rare, it may be underdiagnosed or misclassified as other types of diabetes. The most frequent mutation is an inactivating one in the glucokinase (GCK) enzyme, which leads to GCK-MODY, characterized by mild and stable fasting hyperglycemia, typically identified in young patients with a positive family history. Diagnosis is confirmed through genetic testing; however, access remains limited and costly. Pharmacological treatment is not routinely indicated, as it is believed there is no significant risk for complications. Nevertheless, there is still a lack of data in the literature on a broader assessment of glucose profiles using continuous glucose monitoring (CGM) in patients with GCK-MODY. Objective: Descriptively evaluate glucose behavior in patients with genetically confirmed GCK-MODY using intermittent CGM metrics, and to compare these findings with data obtained from a control group without diabetes. Methods: This is a cross-sectional, observational case–control study. All participants used CGM for 14 days. Reports and metrics such as time in range (TIR), time above range (TAR), time below range (TBR), time in tight range (TITR), estimated average glucose, and glucose management indicator (GMI) were generated and compared between groups. Statistical analysis was performed using SPSS version 11.0, and a p-value < 0.05 was considered statistically significant. Results: In the GCK-MODY group, all participants had a TIR > 70%, indicating adequate glycemic control. Only one had a TITR < 50%. No patient had a TITR > 96%, the expected level for non-diabetic individuals, which was achieved by the control group. Compared to the control group, the GCK-MODY group showed lower TITR (0.78 ± 0.14 vs. 0.96 ± 0.33; p < 0.001), and higher TAR (0.026 ± 0.05 vs. 0.001 ± 0.003; p = 0.0123), GMI (6.3 ± 0.26 vs. 5.7 ± 0.17; p < 0.001), and estimated average glucose (124.6 ± 11.26 vs. 100 ± 7.42; p < 0.001). No associations were found between specific genotypes and the magnitude of glucose profile abnormalities. Conclusion: Despite stable glycemic patterns and adequate TIR, our findings reveal consistent glycemic abnormalities when using more sensitive parameters such as TITR. The GCK genotype did not correlate with glycemic phenotype, highlighting the importance of considering non-genetic factors in disease expression.\n\n\n### Canzian, MB1; Abreu, GM1; Souza, RB2; Andrade, AF2; Tarantino, RM1; Rosado, EL1; Junior, MC2; Zajdenverg, L1; Rodacki, M1\nIntroduction: Diabetes that occurs due to a mutation in a single gene is called monogenic diabetes. Although still considered rare, it may be underdiagnosed or misclassified as other types of diabetes. The most frequent mutation is an inactivating one in the glucokinase (GCK) enzyme, which leads to GCK-MODY, characterized by mild and stable fasting hyperglycemia, typically identified in young patients with a positive family history. Diagnosis is confirmed through genetic testing; however, access remains limited and costly. Pharmacological treatment is not routinely indicated, as it is believed there is no significant risk for complications. Nevertheless, there is still a lack of data in the literature on a broader assessment of glucose profiles using continuous glucose monitoring (CGM) in patients with GCK-MODY. Objective: Descriptively evaluate glucose behavior in patients with genetically confirmed GCK-MODY using intermittent CGM metrics, and to compare these findings with data obtained from a control group without diabetes. Methods: This is a cross-sectional, observational case–control study. All participants used CGM for 14 days. Reports and metrics such as time in range (TIR), time above range (TAR), time below range (TBR), time in tight range (TITR), estimated average glucose, and glucose management indicator (GMI) were generated and compared between groups. Statistical analysis was performed using SPSS version 11.0, and a p-value < 0.05 was considered statistically significant. Results: In the GCK-MODY group, all participants had a TIR > 70%, indicating adequate glycemic control. Only one had a TITR < 50%. No patient had a TITR > 96%, the expected level for non-diabetic individuals, which was achieved by the control group. Compared to the control group, the GCK-MODY group showed lower TITR (0.78 ± 0.14 vs. 0.96 ± 0.33; p < 0.001), and higher TAR (0.026 ± 0.05 vs. 0.001 ± 0.003; p = 0.0123), GMI (6.3 ± 0.26 vs. 5.7 ± 0.17; p < 0.001), and estimated average glucose (124.6 ± 11.26 vs. 100 ± 7.42; p < 0.001). No associations were found between specific genotypes and the magnitude of glucose profile abnormalities. Conclusion: Despite stable glycemic patterns and adequate TIR, our findings reveal consistent glycemic abnormalities when using more sensitive parameters such as TITR. The GCK genotype did not correlate with glycemic phenotype, highlighting the importance of considering non-genetic factors in disease expression.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Fundação Oswaldo Cruz, Rio de Janeiro, RJ, Brasil\nIntroduction: Diabetes that occurs due to a mutation in a single gene is called monogenic diabetes. Although still considered rare, it may be underdiagnosed or misclassified as other types of diabetes. The most frequent mutation is an inactivating one in the glucokinase (GCK) enzyme, which leads to GCK-MODY, characterized by mild and stable fasting hyperglycemia, typically identified in young patients with a positive family history. Diagnosis is confirmed through genetic testing; however, access remains limited and costly. Pharmacological treatment is not routinely indicated, as it is believed there is no significant risk for complications. Nevertheless, there is still a lack of data in the literature on a broader assessment of glucose profiles using continuous glucose monitoring (CGM) in patients with GCK-MODY. Objective: Descriptively evaluate glucose behavior in patients with genetically confirmed GCK-MODY using intermittent CGM metrics, and to compare these findings with data obtained from a control group without diabetes. Methods: This is a cross-sectional, observational case–control study. All participants used CGM for 14 days. Reports and metrics such as time in range (TIR), time above range (TAR), time below range (TBR), time in tight range (TITR), estimated average glucose, and glucose management indicator (GMI) were generated and compared between groups. Statistical analysis was performed using SPSS version 11.0, and a p-value < 0.05 was considered statistically significant. Results: In the GCK-MODY group, all participants had a TIR > 70%, indicating adequate glycemic control. Only one had a TITR < 50%. No patient had a TITR > 96%, the expected level for non-diabetic individuals, which was achieved by the control group. Compared to the control group, the GCK-MODY group showed lower TITR (0.78 ± 0.14 vs. 0.96 ± 0.33; p < 0.001), and higher TAR (0.026 ± 0.05 vs. 0.001 ± 0.003; p = 0.0123), GMI (6.3 ± 0.26 vs. 5.7 ± 0.17; p < 0.001), and estimated average glucose (124.6 ± 11.26 vs. 100 ± 7.42; p < 0.001). No associations were found between specific genotypes and the magnitude of glucose profile abnormalities. Conclusion: Despite stable glycemic patterns and adequate TIR, our findings reveal consistent glycemic abnormalities when using more sensitive parameters such as TITR. The GCK genotype did not correlate with glycemic phenotype, highlighting the importance of considering non-genetic factors in disease expression.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—010\nIntroduction: Diabetes that occurs due to a mutation in a single gene is called monogenic diabetes. Although still considered rare, it may be underdiagnosed or misclassified as other types of diabetes. The most frequent mutation is an inactivating one in the glucokinase (GCK) enzyme, which leads to GCK-MODY, characterized by mild and stable fasting hyperglycemia, typically identified in young patients with a positive family history. Diagnosis is confirmed through genetic testing; however, access remains limited and costly. Pharmacological treatment is not routinely indicated, as it is believed there is no significant risk for complications. Nevertheless, there is still a lack of data in the literature on a broader assessment of glucose profiles using continuous glucose monitoring (CGM) in patients with GCK-MODY. Objective: Descriptively evaluate glucose behavior in patients with genetically confirmed GCK-MODY using intermittent CGM metrics, and to compare these findings with data obtained from a control group without diabetes. Methods: This is a cross-sectional, observational case–control study. All participants used CGM for 14 days. Reports and metrics such as time in range (TIR), time above range (TAR), time below range (TBR), time in tight range (TITR), estimated average glucose, and glucose management indicator (GMI) were generated and compared between groups. Statistical analysis was performed using SPSS version 11.0, and a p-value < 0.05 was considered statistically significant. Results: In the GCK-MODY group, all participants had a TIR > 70%, indicating adequate glycemic control. Only one had a TITR < 50%. No patient had a TITR > 96%, the expected level for non-diabetic individuals, which was achieved by the control group. Compared to the control group, the GCK-MODY group showed lower TITR (0.78 ± 0.14 vs. 0.96 ± 0.33; p < 0.001), and higher TAR (0.026 ± 0.05 vs. 0.001 ± 0.003; p = 0.0123), GMI (6.3 ± 0.26 vs. 5.7 ± 0.17; p < 0.001), and estimated average glucose (124.6 ± 11.26 vs. 100 ± 7.42; p < 0.001). No associations were found between specific genotypes and the magnitude of glucose profile abnormalities. Conclusion: Despite stable glycemic patterns and adequate TIR, our findings reveal consistent glycemic abnormalities when using more sensitive parameters such as TITR. The GCK genotype did not correlate with glycemic phenotype, highlighting the importance of considering non-genetic factors in disease expression.\n\n\n### OP—011 Trends In Type 2 Diabetes Burden And Risk Factors Across Brazilian Regions: Findings From The Global Burden Of Disease Study 2021\nIntroduction: Despite significant advancements in the treatment of type 2 diabetes mellitus (T2DM), recent projections indicate that this condition will become Brazil´s leading cause of morbimortality by 2050, underscoring an urgent public health challenge. Objective: This study aimed to comprehensively describe national and regional trends in T2DM prevalence, incidence, disease burden and exposure to its main risk factors across Brazil from 1990 to 2021. Methods: We sourced data from the Global Burden of Diseases Study (GBD) 2021 to obtain estimates and annual changes of T2DM deaths, incidence, prevalence, Years of Life Lost (YLLs), Years Lived with Disability (YLDs), and Disability Adjusted Life Year (DALYs) in Brazil and its regions. We present trends in diabetes metrics, age-standardized unless otherwise stated, as well as the exposure to T2DM risk factors between 1990 and 2021. Results: The national prevalence of T2DM increased by 37.4% (95% UI 32.7 to 42.6) and the incidence by 32.3% (95% UI 27.6 to 37.7) from 1990 to 2021. Deaths due to T2DM decreased by 18.0% (95% UI 21.4 to 15.3), and the accompanying YLLs by 22.8% (95% UI 20.2 to 25.8). YLDs increased by 35.4% (95% UI 29.1 to 41.3), while DALYs’ rates reduced by 3.1% (95% UI 1.7 to 8.2) since 1990. The Northeast region showed higher prevalence, incidence, YLLs, and YLDs in 2021, while the North region had the most pronounced increases. In consonance with the aging of Brazil´s population, national crude prevalence and DALYs increased considerably more, by 135.5% (95% UI 127.5 to 145) and 79.2% (95% UI 69.8 to 87.8), respectively. Consumption of sugar-sweetened beverages had the most pronounced increases, particularly in the Central-West, South, and Southeast regions, followed by high BMI and the consumption of red and processed meat. Physical inactivity showed smoother but consistent increases in all regions, and the exposure to smoking and air pollution decreased. Conclusion: The escalating T2DM burden in Brazil, likely associated with the increasing exposure to its risk factors, underscores the critical need for public policies centered on prevention and the reduction of health inequalities.\n\n\n### Teixeira, PP1; Duque-Cartagena, T1; Cabral, LS1; Goulart, BNG1; Reis, R1; Gerchman, F1; Colpani, V2; Malta, DC3; Xu, YY4; Schimidt, MI1; Rita Mattiello1; Duncan, BB1\nIntroduction: Despite significant advancements in the treatment of type 2 diabetes mellitus (T2DM), recent projections indicate that this condition will become Brazil´s leading cause of morbimortality by 2050, underscoring an urgent public health challenge. Objective: This study aimed to comprehensively describe national and regional trends in T2DM prevalence, incidence, disease burden and exposure to its main risk factors across Brazil from 1990 to 2021. Methods: We sourced data from the Global Burden of Diseases Study (GBD) 2021 to obtain estimates and annual changes of T2DM deaths, incidence, prevalence, Years of Life Lost (YLLs), Years Lived with Disability (YLDs), and Disability Adjusted Life Year (DALYs) in Brazil and its regions. We present trends in diabetes metrics, age-standardized unless otherwise stated, as well as the exposure to T2DM risk factors between 1990 and 2021. Results: The national prevalence of T2DM increased by 37.4% (95% UI 32.7 to 42.6) and the incidence by 32.3% (95% UI 27.6 to 37.7) from 1990 to 2021. Deaths due to T2DM decreased by 18.0% (95% UI 21.4 to 15.3), and the accompanying YLLs by 22.8% (95% UI 20.2 to 25.8). YLDs increased by 35.4% (95% UI 29.1 to 41.3), while DALYs’ rates reduced by 3.1% (95% UI 1.7 to 8.2) since 1990. The Northeast region showed higher prevalence, incidence, YLLs, and YLDs in 2021, while the North region had the most pronounced increases. In consonance with the aging of Brazil´s population, national crude prevalence and DALYs increased considerably more, by 135.5% (95% UI 127.5 to 145) and 79.2% (95% UI 69.8 to 87.8), respectively. Consumption of sugar-sweetened beverages had the most pronounced increases, particularly in the Central-West, South, and Southeast regions, followed by high BMI and the consumption of red and processed meat. Physical inactivity showed smoother but consistent increases in all regions, and the exposure to smoking and air pollution decreased. Conclusion: The escalating T2DM burden in Brazil, likely associated with the increasing exposure to its risk factors, underscores the critical need for public policies centered on prevention and the reduction of health inequalities.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Centre of Health Technology Assessment, Hospital Sírio-Libanês, São Paulo, SP, Brasil; (3) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil; (4) Institute for Health Metrics and Evaluation, University of Washignton, United States\nIntroduction: Despite significant advancements in the treatment of type 2 diabetes mellitus (T2DM), recent projections indicate that this condition will become Brazil´s leading cause of morbimortality by 2050, underscoring an urgent public health challenge. Objective: This study aimed to comprehensively describe national and regional trends in T2DM prevalence, incidence, disease burden and exposure to its main risk factors across Brazil from 1990 to 2021. Methods: We sourced data from the Global Burden of Diseases Study (GBD) 2021 to obtain estimates and annual changes of T2DM deaths, incidence, prevalence, Years of Life Lost (YLLs), Years Lived with Disability (YLDs), and Disability Adjusted Life Year (DALYs) in Brazil and its regions. We present trends in diabetes metrics, age-standardized unless otherwise stated, as well as the exposure to T2DM risk factors between 1990 and 2021. Results: The national prevalence of T2DM increased by 37.4% (95% UI 32.7 to 42.6) and the incidence by 32.3% (95% UI 27.6 to 37.7) from 1990 to 2021. Deaths due to T2DM decreased by 18.0% (95% UI 21.4 to 15.3), and the accompanying YLLs by 22.8% (95% UI 20.2 to 25.8). YLDs increased by 35.4% (95% UI 29.1 to 41.3), while DALYs’ rates reduced by 3.1% (95% UI 1.7 to 8.2) since 1990. The Northeast region showed higher prevalence, incidence, YLLs, and YLDs in 2021, while the North region had the most pronounced increases. In consonance with the aging of Brazil´s population, national crude prevalence and DALYs increased considerably more, by 135.5% (95% UI 127.5 to 145) and 79.2% (95% UI 69.8 to 87.8), respectively. Consumption of sugar-sweetened beverages had the most pronounced increases, particularly in the Central-West, South, and Southeast regions, followed by high BMI and the consumption of red and processed meat. Physical inactivity showed smoother but consistent increases in all regions, and the exposure to smoking and air pollution decreased. Conclusion: The escalating T2DM burden in Brazil, likely associated with the increasing exposure to its risk factors, underscores the critical need for public policies centered on prevention and the reduction of health inequalities.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—011\nIntroduction: Despite significant advancements in the treatment of type 2 diabetes mellitus (T2DM), recent projections indicate that this condition will become Brazil´s leading cause of morbimortality by 2050, underscoring an urgent public health challenge. Objective: This study aimed to comprehensively describe national and regional trends in T2DM prevalence, incidence, disease burden and exposure to its main risk factors across Brazil from 1990 to 2021. Methods: We sourced data from the Global Burden of Diseases Study (GBD) 2021 to obtain estimates and annual changes of T2DM deaths, incidence, prevalence, Years of Life Lost (YLLs), Years Lived with Disability (YLDs), and Disability Adjusted Life Year (DALYs) in Brazil and its regions. We present trends in diabetes metrics, age-standardized unless otherwise stated, as well as the exposure to T2DM risk factors between 1990 and 2021. Results: The national prevalence of T2DM increased by 37.4% (95% UI 32.7 to 42.6) and the incidence by 32.3% (95% UI 27.6 to 37.7) from 1990 to 2021. Deaths due to T2DM decreased by 18.0% (95% UI 21.4 to 15.3), and the accompanying YLLs by 22.8% (95% UI 20.2 to 25.8). YLDs increased by 35.4% (95% UI 29.1 to 41.3), while DALYs’ rates reduced by 3.1% (95% UI 1.7 to 8.2) since 1990. The Northeast region showed higher prevalence, incidence, YLLs, and YLDs in 2021, while the North region had the most pronounced increases. In consonance with the aging of Brazil´s population, national crude prevalence and DALYs increased considerably more, by 135.5% (95% UI 127.5 to 145) and 79.2% (95% UI 69.8 to 87.8), respectively. Consumption of sugar-sweetened beverages had the most pronounced increases, particularly in the Central-West, South, and Southeast regions, followed by high BMI and the consumption of red and processed meat. Physical inactivity showed smoother but consistent increases in all regions, and the exposure to smoking and air pollution decreased. Conclusion: The escalating T2DM burden in Brazil, likely associated with the increasing exposure to its risk factors, underscores the critical need for public policies centered on prevention and the reduction of health inequalities.\n\n\n### OP—012 Glycemic Control and Quality of Life in Youth with Type 1 Diabetes: Evidence from a Multicenter Study in Brazil\nIntroduction: Children and adolescents with type 1 diabetes face unique challenges. Their perception of quality of life may be influenced by their age-specific developmental needs. Enhancing quality of life is as important as achieving good glycemic control and preventing complications in disease management. This requires adaptation from not only the child, but also the entire family. Objective: The goal is to identify the glycemic control and quality of life of children and adolescents from four Brazilian health services. Methods: This cross-sectional, descriptive study was conducted with caregivers, as well as with children and adolescents with type 1 diabetes, between March and September 2021, in three Brazilian regions: Santa Catarina, São Paulo and Paraíba. The study used a questionnaire containing sociodemographic and clinical variables, as well as the Paediatric Quality of Life Inventory™ 3.0 Diabetes Module. A higher score indicates poorer quality of life. Descriptive analyses were performed using SPSS software (version 18). The study was approved by the Ethics Committee. Results: A total of 346 children and adolescents participated in the study, of whom 52% were girls and 48% boys. Participants were distributed into three age groups: 5–7 years (11.9%), 8–12 years (38.6%), and 13–18 years (49.5%). The mean HbA1c was 8.8% ± 2.5. Regarding acute events in the previous six months, 26 patients (7.5%) required emergency treatment for hyperglycemia, and eight (2.3%) for hypoglycemia. Hospitalization occurred in 14 patients (4.1%) due to diabetic ketoacidosis, 30 (8.7%) due to hyperglycemia, and seven (2.0%) due to hypoglycemia. Parents generally reported a worse quality of life than their children in the 8–12 years (36.61 [29.46–43.75] vs. 33.04 [25.89–41.52]) and 13–18 years age groups (38.39 [29.46–48.88] vs. 37.95 [30.36–46.43]). Interestingly, among children aged 5–7 years, self-reported quality of life was slightly higher than parental perception (29.46 [21.21–39.29] vs. 30.36 [21.87–41.07]) Conclusion: Perceptions of quality of life with diabetes among children and adolescents can highlight important gaps in treatment management. The results regarding glycaemic control and acute complications such as hyperglycaemia, hypoglycaemia and ketoacidosis emphasise the need for diabetes education focusing on practical care and mental health skills. Support from families and primary caregivers should be tailored to the specific needs of the Brazilian child and adolescent population.\n\n\n### Sparapani, VC1; Barber, ROLB2; Santos JS3; Lucca, M4; Ramelho, ELR5\nIntroduction: Children and adolescents with type 1 diabetes face unique challenges. Their perception of quality of life may be influenced by their age-specific developmental needs. Enhancing quality of life is as important as achieving good glycemic control and preventing complications in disease management. This requires adaptation from not only the child, but also the entire family. Objective: The goal is to identify the glycemic control and quality of life of children and adolescents from four Brazilian health services. Methods: This cross-sectional, descriptive study was conducted with caregivers, as well as with children and adolescents with type 1 diabetes, between March and September 2021, in three Brazilian regions: Santa Catarina, São Paulo and Paraíba. The study used a questionnaire containing sociodemographic and clinical variables, as well as the Paediatric Quality of Life Inventory™ 3.0 Diabetes Module. A higher score indicates poorer quality of life. Descriptive analyses were performed using SPSS software (version 18). The study was approved by the Ethics Committee. Results: A total of 346 children and adolescents participated in the study, of whom 52% were girls and 48% boys. Participants were distributed into three age groups: 5–7 years (11.9%), 8–12 years (38.6%), and 13–18 years (49.5%). The mean HbA1c was 8.8% ± 2.5. Regarding acute events in the previous six months, 26 patients (7.5%) required emergency treatment for hyperglycemia, and eight (2.3%) for hypoglycemia. Hospitalization occurred in 14 patients (4.1%) due to diabetic ketoacidosis, 30 (8.7%) due to hyperglycemia, and seven (2.0%) due to hypoglycemia. Parents generally reported a worse quality of life than their children in the 8–12 years (36.61 [29.46–43.75] vs. 33.04 [25.89–41.52]) and 13–18 years age groups (38.39 [29.46–48.88] vs. 37.95 [30.36–46.43]). Interestingly, among children aged 5–7 years, self-reported quality of life was slightly higher than parental perception (29.46 [21.21–39.29] vs. 30.36 [21.87–41.07]) Conclusion: Perceptions of quality of life with diabetes among children and adolescents can highlight important gaps in treatment management. The results regarding glycaemic control and acute complications such as hyperglycaemia, hypoglycaemia and ketoacidosis emphasise the need for diabetes education focusing on practical care and mental health skills. Support from families and primary caregivers should be tailored to the specific needs of the Brazilian child and adolescent population.\n\n\n### (1) Universidade Federal de Santa Catarina, Florianópolis, SC, Brasil; (2) Children’s Hospital Los Angeles, United States; (3) Universidade Federal de Santa Catarina, Florianópolis, SC, Brasil; (4) Escola de Enfermagem de Ribeirão Preto da Universidade de São Paulo, Ribeirão Preto, SP, Brasil; (5) Universidade Federal da Paraíba, João Pessoa, PB, Brasil\nIntroduction: Children and adolescents with type 1 diabetes face unique challenges. Their perception of quality of life may be influenced by their age-specific developmental needs. Enhancing quality of life is as important as achieving good glycemic control and preventing complications in disease management. This requires adaptation from not only the child, but also the entire family. Objective: The goal is to identify the glycemic control and quality of life of children and adolescents from four Brazilian health services. Methods: This cross-sectional, descriptive study was conducted with caregivers, as well as with children and adolescents with type 1 diabetes, between March and September 2021, in three Brazilian regions: Santa Catarina, São Paulo and Paraíba. The study used a questionnaire containing sociodemographic and clinical variables, as well as the Paediatric Quality of Life Inventory™ 3.0 Diabetes Module. A higher score indicates poorer quality of life. Descriptive analyses were performed using SPSS software (version 18). The study was approved by the Ethics Committee. Results: A total of 346 children and adolescents participated in the study, of whom 52% were girls and 48% boys. Participants were distributed into three age groups: 5–7 years (11.9%), 8–12 years (38.6%), and 13–18 years (49.5%). The mean HbA1c was 8.8% ± 2.5. Regarding acute events in the previous six months, 26 patients (7.5%) required emergency treatment for hyperglycemia, and eight (2.3%) for hypoglycemia. Hospitalization occurred in 14 patients (4.1%) due to diabetic ketoacidosis, 30 (8.7%) due to hyperglycemia, and seven (2.0%) due to hypoglycemia. Parents generally reported a worse quality of life than their children in the 8–12 years (36.61 [29.46–43.75] vs. 33.04 [25.89–41.52]) and 13–18 years age groups (38.39 [29.46–48.88] vs. 37.95 [30.36–46.43]). Interestingly, among children aged 5–7 years, self-reported quality of life was slightly higher than parental perception (29.46 [21.21–39.29] vs. 30.36 [21.87–41.07]) Conclusion: Perceptions of quality of life with diabetes among children and adolescents can highlight important gaps in treatment management. The results regarding glycaemic control and acute complications such as hyperglycaemia, hypoglycaemia and ketoacidosis emphasise the need for diabetes education focusing on practical care and mental health skills. Support from families and primary caregivers should be tailored to the specific needs of the Brazilian child and adolescent population.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—012\nIntroduction: Children and adolescents with type 1 diabetes face unique challenges. Their perception of quality of life may be influenced by their age-specific developmental needs. Enhancing quality of life is as important as achieving good glycemic control and preventing complications in disease management. This requires adaptation from not only the child, but also the entire family. Objective: The goal is to identify the glycemic control and quality of life of children and adolescents from four Brazilian health services. Methods: This cross-sectional, descriptive study was conducted with caregivers, as well as with children and adolescents with type 1 diabetes, between March and September 2021, in three Brazilian regions: Santa Catarina, São Paulo and Paraíba. The study used a questionnaire containing sociodemographic and clinical variables, as well as the Paediatric Quality of Life Inventory™ 3.0 Diabetes Module. A higher score indicates poorer quality of life. Descriptive analyses were performed using SPSS software (version 18). The study was approved by the Ethics Committee. Results: A total of 346 children and adolescents participated in the study, of whom 52% were girls and 48% boys. Participants were distributed into three age groups: 5–7 years (11.9%), 8–12 years (38.6%), and 13–18 years (49.5%). The mean HbA1c was 8.8% ± 2.5. Regarding acute events in the previous six months, 26 patients (7.5%) required emergency treatment for hyperglycemia, and eight (2.3%) for hypoglycemia. Hospitalization occurred in 14 patients (4.1%) due to diabetic ketoacidosis, 30 (8.7%) due to hyperglycemia, and seven (2.0%) due to hypoglycemia. Parents generally reported a worse quality of life than their children in the 8–12 years (36.61 [29.46–43.75] vs. 33.04 [25.89–41.52]) and 13–18 years age groups (38.39 [29.46–48.88] vs. 37.95 [30.36–46.43]). Interestingly, among children aged 5–7 years, self-reported quality of life was slightly higher than parental perception (29.46 [21.21–39.29] vs. 30.36 [21.87–41.07]) Conclusion: Perceptions of quality of life with diabetes among children and adolescents can highlight important gaps in treatment management. The results regarding glycaemic control and acute complications such as hyperglycaemia, hypoglycaemia and ketoacidosis emphasise the need for diabetes education focusing on practical care and mental health skills. Support from families and primary caregivers should be tailored to the specific needs of the Brazilian child and adolescent population.\n\n\n### OP—013 Prevalence Of 1h-G Abnormalities During OGTT And Its Associated Clinical And Laboratory Characteristics In A Subsample Of Cystic Fibrosis Patients: A Pilot Study\nIntroduction: Cystic fibrosis (CF) is an autosomal recessive disease caused by mutations in the FC transmembrane conductance regulator (CFTR) gene, affecting multiple organs, primarily lungs, pancreas, and intestine. CF-related diabetes (CFRD) is the main extra-pulmonary complication of CF, affecting approximately 50% of adult patients. Screening for CFRD should be performed using the oral glucose tolerance test (OGTT) starting at age of 10 years. In 2024, the 1-h glucose (1h-G) ≥ 209 mg/dL and between 155 and 208 mg/dL were included as a diagnostic criterion for diabetes and prediabetes. Objective: To describe the prevalence of 1h-G abnormalities during OGTT and its associated clinical and laboratory characteristics in a subsample of CF patients. Methods: Cross-sectional study evaluating patients with confirmed CF by genetic testing and/or sweat test, aged ≥ 18 years attending a tertiary multidisciplinary public clinic. Clinical, anthropometric, and laboratory data were collected using standardized questionnaires. 75g-OGTT was performed and fasting, 1h-G and 2h-G were determined. Age at CF diagnosis, CF duration, body mass index (BMI), glycated hemoglobin (A1c), and forced expiratory volume in 1 s (FEV1) were analyzed. Statistical analysis was performed using Jamovi software. Results are presented as n (%), mean ± standard deviation and median [interquartile range]. Results: Ten patients with CF without prior diabetes diagnosis were evaluated, 5 (50%) female, aged 27.9 ± 7.6 years, with age at CF diagnosis of 54 [12–234] months, CF duration 335 ± 91.3 months, A1c 5.7 ± 0.4%, BMI 23.3 [18.9–27.3] kg/m2, and mean FEV1 was 61 ± 29.4%. Fasting glucose was normal in 8 (80%). Three (30%) individuals presented 1h-G ≥ 209 mg/dL, 6 (60%), between 155 and 208 mg/dL and 1 (10%), < 155 mg/dL. Individuals with 1h-G ≥ 209 mg/dL presented BMI of 18 [17.6–23]) kg/m2, FEV1 of 42 ± 31.7% and A1c of 5.9 ± 0.5%. Those with 1h-G ≥ 209 mg/dL presented BMI of 23.5 [21.3–27.3] kg/m2, FEV1 of 72.4 ± 24.1% and A1c of 5.6 ± 0.4%. Conclusion: CFRD diagnosis follows the same criteria used for diabetes mellitus in the general population; however, fasting glucose and A1c show lower sensitivity, and clinical decline may precede diagnosis in CF individuals. The 1h-G OGTT demonstrated to be more sensitive for early glucose abnormalities in CF patients, allowing earlier diagnosis of dysglycemia that may adversely affect CF progression and CFRD complications. Larger studies using the 1h-G OGTT in routine annual screening for CF patients are needed.\n\n\n### Torraca, FS1; Cotovio NP1; França, JPO1; Vasconcellos, CAVA1; Tannus, LRM1; Cobas, RA1; Palma, CCSSV1\nIntroduction: Cystic fibrosis (CF) is an autosomal recessive disease caused by mutations in the FC transmembrane conductance regulator (CFTR) gene, affecting multiple organs, primarily lungs, pancreas, and intestine. CF-related diabetes (CFRD) is the main extra-pulmonary complication of CF, affecting approximately 50% of adult patients. Screening for CFRD should be performed using the oral glucose tolerance test (OGTT) starting at age of 10 years. In 2024, the 1-h glucose (1h-G) ≥ 209 mg/dL and between 155 and 208 mg/dL were included as a diagnostic criterion for diabetes and prediabetes. Objective: To describe the prevalence of 1h-G abnormalities during OGTT and its associated clinical and laboratory characteristics in a subsample of CF patients. Methods: Cross-sectional study evaluating patients with confirmed CF by genetic testing and/or sweat test, aged ≥ 18 years attending a tertiary multidisciplinary public clinic. Clinical, anthropometric, and laboratory data were collected using standardized questionnaires. 75g-OGTT was performed and fasting, 1h-G and 2h-G were determined. Age at CF diagnosis, CF duration, body mass index (BMI), glycated hemoglobin (A1c), and forced expiratory volume in 1 s (FEV1) were analyzed. Statistical analysis was performed using Jamovi software. Results are presented as n (%), mean ± standard deviation and median [interquartile range]. Results: Ten patients with CF without prior diabetes diagnosis were evaluated, 5 (50%) female, aged 27.9 ± 7.6 years, with age at CF diagnosis of 54 [12–234] months, CF duration 335 ± 91.3 months, A1c 5.7 ± 0.4%, BMI 23.3 [18.9–27.3] kg/m2, and mean FEV1 was 61 ± 29.4%. Fasting glucose was normal in 8 (80%). Three (30%) individuals presented 1h-G ≥ 209 mg/dL, 6 (60%), between 155 and 208 mg/dL and 1 (10%), < 155 mg/dL. Individuals with 1h-G ≥ 209 mg/dL presented BMI of 18 [17.6–23]) kg/m2, FEV1 of 42 ± 31.7% and A1c of 5.9 ± 0.5%. Those with 1h-G ≥ 209 mg/dL presented BMI of 23.5 [21.3–27.3] kg/m2, FEV1 of 72.4 ± 24.1% and A1c of 5.6 ± 0.4%. Conclusion: CFRD diagnosis follows the same criteria used for diabetes mellitus in the general population; however, fasting glucose and A1c show lower sensitivity, and clinical decline may precede diagnosis in CF individuals. The 1h-G OGTT demonstrated to be more sensitive for early glucose abnormalities in CF patients, allowing earlier diagnosis of dysglycemia that may adversely affect CF progression and CFRD complications. Larger studies using the 1h-G OGTT in routine annual screening for CF patients are needed.\n\n\n### (1) Universidade Estadual do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Cystic fibrosis (CF) is an autosomal recessive disease caused by mutations in the FC transmembrane conductance regulator (CFTR) gene, affecting multiple organs, primarily lungs, pancreas, and intestine. CF-related diabetes (CFRD) is the main extra-pulmonary complication of CF, affecting approximately 50% of adult patients. Screening for CFRD should be performed using the oral glucose tolerance test (OGTT) starting at age of 10 years. In 2024, the 1-h glucose (1h-G) ≥ 209 mg/dL and between 155 and 208 mg/dL were included as a diagnostic criterion for diabetes and prediabetes. Objective: To describe the prevalence of 1h-G abnormalities during OGTT and its associated clinical and laboratory characteristics in a subsample of CF patients. Methods: Cross-sectional study evaluating patients with confirmed CF by genetic testing and/or sweat test, aged ≥ 18 years attending a tertiary multidisciplinary public clinic. Clinical, anthropometric, and laboratory data were collected using standardized questionnaires. 75g-OGTT was performed and fasting, 1h-G and 2h-G were determined. Age at CF diagnosis, CF duration, body mass index (BMI), glycated hemoglobin (A1c), and forced expiratory volume in 1 s (FEV1) were analyzed. Statistical analysis was performed using Jamovi software. Results are presented as n (%), mean ± standard deviation and median [interquartile range]. Results: Ten patients with CF without prior diabetes diagnosis were evaluated, 5 (50%) female, aged 27.9 ± 7.6 years, with age at CF diagnosis of 54 [12–234] months, CF duration 335 ± 91.3 months, A1c 5.7 ± 0.4%, BMI 23.3 [18.9–27.3] kg/m2, and mean FEV1 was 61 ± 29.4%. Fasting glucose was normal in 8 (80%). Three (30%) individuals presented 1h-G ≥ 209 mg/dL, 6 (60%), between 155 and 208 mg/dL and 1 (10%), < 155 mg/dL. Individuals with 1h-G ≥ 209 mg/dL presented BMI of 18 [17.6–23]) kg/m2, FEV1 of 42 ± 31.7% and A1c of 5.9 ± 0.5%. Those with 1h-G ≥ 209 mg/dL presented BMI of 23.5 [21.3–27.3] kg/m2, FEV1 of 72.4 ± 24.1% and A1c of 5.6 ± 0.4%. Conclusion: CFRD diagnosis follows the same criteria used for diabetes mellitus in the general population; however, fasting glucose and A1c show lower sensitivity, and clinical decline may precede diagnosis in CF individuals. The 1h-G OGTT demonstrated to be more sensitive for early glucose abnormalities in CF patients, allowing earlier diagnosis of dysglycemia that may adversely affect CF progression and CFRD complications. Larger studies using the 1h-G OGTT in routine annual screening for CF patients are needed.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP--013\nIntroduction: Cystic fibrosis (CF) is an autosomal recessive disease caused by mutations in the FC transmembrane conductance regulator (CFTR) gene, affecting multiple organs, primarily lungs, pancreas, and intestine. CF-related diabetes (CFRD) is the main extra-pulmonary complication of CF, affecting approximately 50% of adult patients. Screening for CFRD should be performed using the oral glucose tolerance test (OGTT) starting at age of 10 years. In 2024, the 1-h glucose (1h-G) ≥ 209 mg/dL and between 155 and 208 mg/dL were included as a diagnostic criterion for diabetes and prediabetes. Objective: To describe the prevalence of 1h-G abnormalities during OGTT and its associated clinical and laboratory characteristics in a subsample of CF patients. Methods: Cross-sectional study evaluating patients with confirmed CF by genetic testing and/or sweat test, aged ≥ 18 years attending a tertiary multidisciplinary public clinic. Clinical, anthropometric, and laboratory data were collected using standardized questionnaires. 75g-OGTT was performed and fasting, 1h-G and 2h-G were determined. Age at CF diagnosis, CF duration, body mass index (BMI), glycated hemoglobin (A1c), and forced expiratory volume in 1 s (FEV1) were analyzed. Statistical analysis was performed using Jamovi software. Results are presented as n (%), mean ± standard deviation and median [interquartile range]. Results: Ten patients with CF without prior diabetes diagnosis were evaluated, 5 (50%) female, aged 27.9 ± 7.6 years, with age at CF diagnosis of 54 [12–234] months, CF duration 335 ± 91.3 months, A1c 5.7 ± 0.4%, BMI 23.3 [18.9–27.3] kg/m2, and mean FEV1 was 61 ± 29.4%. Fasting glucose was normal in 8 (80%). Three (30%) individuals presented 1h-G ≥ 209 mg/dL, 6 (60%), between 155 and 208 mg/dL and 1 (10%), < 155 mg/dL. Individuals with 1h-G ≥ 209 mg/dL presented BMI of 18 [17.6–23]) kg/m2, FEV1 of 42 ± 31.7% and A1c of 5.9 ± 0.5%. Those with 1h-G ≥ 209 mg/dL presented BMI of 23.5 [21.3–27.3] kg/m2, FEV1 of 72.4 ± 24.1% and A1c of 5.6 ± 0.4%. Conclusion: CFRD diagnosis follows the same criteria used for diabetes mellitus in the general population; however, fasting glucose and A1c show lower sensitivity, and clinical decline may precede diagnosis in CF individuals. The 1h-G OGTT demonstrated to be more sensitive for early glucose abnormalities in CF patients, allowing earlier diagnosis of dysglycemia that may adversely affect CF progression and CFRD complications. Larger studies using the 1h-G OGTT in routine annual screening for CF patients are needed.\n\n\n### OP—014 Salivary Extracellular Vesicles in Individuals with Diabetes Mellitus Secondary to Pancreatic Ductal Adenocarcinoma versus Type 2 Diabetes Mellitus: Exploratory Characterization\nIntroduction: Pancreatic ductal adenocarcinoma (PDAC) is often diagnosed at advanced stages and has a dismal prognosis. Recent-onset diabetes mellitus (RODM, < 3 years) may be a paraneoplastic manifestation of PDAC. Differentiating it from type 2 diabetes (T2D) offers a window for early PDAC detection and potential curative treatment. Extracellular vesicles (EVs) are membrane-bound particles found in biological fluids, including saliva, carrying proteins, RNAs, and microRNAs. They have emerged as promising biomarkers for several diseases. Objective: To compare the salivary EV profile of individuals with PDAC + RODM versus those with long-standing T2D, as an exploratory step in identifying possible associations with PDAC and evaluating the biomarker potential of salivary EVs. Methods: 12 individuals with PDAC + RODM and 12 with long-standing T2D, matched by sex (50% female) and age (mean ± SD: 70.2 ± 10.3 and 70 ± 10.5 yrs, respectively) were included. Saliva was collected before PDAC surgery. EVs were isolated using an automated CL-4B resin system and characterized via nanoparticle tracking analysis (NTA) and flow nanocytometry for annexin (a marker of ectosomes), and for CD9, CD63, and CD81 (canonical markers of exosomes, EVs formed through the endosomal pathway and considered more suitable to reflect cell-specific molecular signatures). Group comparisons and correlations with clinical variables were assessed using non-parametric tests. Results: No significant differences in EV count or average size were observed between groups. Compared to T2D, the PDAC + RODM group had a higher proportion of EVs in the 100—200 nm range (63.5% vs. 49.2%; p = 0.0003), lower positivity for annexin (11.54% vs. 20.68%; p = 0.039), CD63 (0.09% vs. 0.21%; p = 0.032), and CD81 (2.55% vs.6.02%; p = 0.044), but higher positivity for CD9 (10.6% vs. 7.3%; p = 0.0023). Among annexin + EVs, CD63 positivity was also lower in the PDAC + RODM group (2.75% vs. 3.98%; p = 0.044). Correlations with clinical variables for the PDAC + RODM group are presented in Table 1. Conclusion: The distinct EV immunophenotype in individuals with PDAC + RODM suggests that salivary EVs may reflect tumor-specific features and represent a promising non-invasive biomarker source for PDAC detection.(Supported by FAPESP and CNPq).Table 1 (abstract OP–014)Significant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\nSignificant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\n\n\n### Reis, AA1; Matheus, LHG2; Machado, MCC3; M A. C. Machado4; Torrecilhas, AC5; S. Oba-Shinjo6; G. Palmisano7; Marie, SKN6; Correa-Giannella, ML8\nIntroduction: Pancreatic ductal adenocarcinoma (PDAC) is often diagnosed at advanced stages and has a dismal prognosis. Recent-onset diabetes mellitus (RODM, < 3 years) may be a paraneoplastic manifestation of PDAC. Differentiating it from type 2 diabetes (T2D) offers a window for early PDAC detection and potential curative treatment. Extracellular vesicles (EVs) are membrane-bound particles found in biological fluids, including saliva, carrying proteins, RNAs, and microRNAs. They have emerged as promising biomarkers for several diseases. Objective: To compare the salivary EV profile of individuals with PDAC + RODM versus those with long-standing T2D, as an exploratory step in identifying possible associations with PDAC and evaluating the biomarker potential of salivary EVs. Methods: 12 individuals with PDAC + RODM and 12 with long-standing T2D, matched by sex (50% female) and age (mean ± SD: 70.2 ± 10.3 and 70 ± 10.5 yrs, respectively) were included. Saliva was collected before PDAC surgery. EVs were isolated using an automated CL-4B resin system and characterized via nanoparticle tracking analysis (NTA) and flow nanocytometry for annexin (a marker of ectosomes), and for CD9, CD63, and CD81 (canonical markers of exosomes, EVs formed through the endosomal pathway and considered more suitable to reflect cell-specific molecular signatures). Group comparisons and correlations with clinical variables were assessed using non-parametric tests. Results: No significant differences in EV count or average size were observed between groups. Compared to T2D, the PDAC + RODM group had a higher proportion of EVs in the 100—200 nm range (63.5% vs. 49.2%; p = 0.0003), lower positivity for annexin (11.54% vs. 20.68%; p = 0.039), CD63 (0.09% vs. 0.21%; p = 0.032), and CD81 (2.55% vs.6.02%; p = 0.044), but higher positivity for CD9 (10.6% vs. 7.3%; p = 0.0023). Among annexin + EVs, CD63 positivity was also lower in the PDAC + RODM group (2.75% vs. 3.98%; p = 0.044). Correlations with clinical variables for the PDAC + RODM group are presented in Table 1. Conclusion: The distinct EV immunophenotype in individuals with PDAC + RODM suggests that salivary EVs may reflect tumor-specific features and represent a promising non-invasive biomarker source for PDAC detection.(Supported by FAPESP and CNPq).Table 1 (abstract OP–014)Significant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\nSignificant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\n\n\n### (1) Faculdade de Medicina do ABC, Santo André, SP, Brasil; (2) Laboratório de Carboidratos e Radioimunoensaio do Hospital das Clínicas da Faculdade de Medicina da Universidade de São Paulo, São Paulo, SP, Brasil; (3) Disciplina de Emergências Clínicas (LIM-51) do Hospital das Clínicas da Faculdade de Medicina da Universidade de São Paulo, São Paulo, SP, Brasil; (4) Hospital Nove de Julho, São Paulo, São Paulo, SP, Brasil; (5) Departamento de Ciências Farmacêuticas da Universidade Federal de São Paulo, Diadema, SP, Brasil; (6) Departamento de Neurologia do Hospital das Clínicas da Faculdade de Medicina da Universidade de São Paulo, Sâo Paulo, SP, Brasil; (7) Departamento de Parasitologia do Instituto de Ciências Biológicas da Universidade de São Paulo, São Paulo, SP, Brasil; (8) Laboratório de Carboidratos e Radioimunoensaio, Hospital das Clinicas da Faculdade de Medicina da Universidade de São Paulo, São Pàulo, SP, Brasil\nIntroduction: Pancreatic ductal adenocarcinoma (PDAC) is often diagnosed at advanced stages and has a dismal prognosis. Recent-onset diabetes mellitus (RODM, < 3 years) may be a paraneoplastic manifestation of PDAC. Differentiating it from type 2 diabetes (T2D) offers a window for early PDAC detection and potential curative treatment. Extracellular vesicles (EVs) are membrane-bound particles found in biological fluids, including saliva, carrying proteins, RNAs, and microRNAs. They have emerged as promising biomarkers for several diseases. Objective: To compare the salivary EV profile of individuals with PDAC + RODM versus those with long-standing T2D, as an exploratory step in identifying possible associations with PDAC and evaluating the biomarker potential of salivary EVs. Methods: 12 individuals with PDAC + RODM and 12 with long-standing T2D, matched by sex (50% female) and age (mean ± SD: 70.2 ± 10.3 and 70 ± 10.5 yrs, respectively) were included. Saliva was collected before PDAC surgery. EVs were isolated using an automated CL-4B resin system and characterized via nanoparticle tracking analysis (NTA) and flow nanocytometry for annexin (a marker of ectosomes), and for CD9, CD63, and CD81 (canonical markers of exosomes, EVs formed through the endosomal pathway and considered more suitable to reflect cell-specific molecular signatures). Group comparisons and correlations with clinical variables were assessed using non-parametric tests. Results: No significant differences in EV count or average size were observed between groups. Compared to T2D, the PDAC + RODM group had a higher proportion of EVs in the 100—200 nm range (63.5% vs. 49.2%; p = 0.0003), lower positivity for annexin (11.54% vs. 20.68%; p = 0.039), CD63 (0.09% vs. 0.21%; p = 0.032), and CD81 (2.55% vs.6.02%; p = 0.044), but higher positivity for CD9 (10.6% vs. 7.3%; p = 0.0023). Among annexin + EVs, CD63 positivity was also lower in the PDAC + RODM group (2.75% vs. 3.98%; p = 0.044). Correlations with clinical variables for the PDAC + RODM group are presented in Table 1. Conclusion: The distinct EV immunophenotype in individuals with PDAC + RODM suggests that salivary EVs may reflect tumor-specific features and represent a promising non-invasive biomarker source for PDAC detection.(Supported by FAPESP and CNPq).Table 1 (abstract OP–014)Significant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\nSignificant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—014\nIntroduction: Pancreatic ductal adenocarcinoma (PDAC) is often diagnosed at advanced stages and has a dismal prognosis. Recent-onset diabetes mellitus (RODM, < 3 years) may be a paraneoplastic manifestation of PDAC. Differentiating it from type 2 diabetes (T2D) offers a window for early PDAC detection and potential curative treatment. Extracellular vesicles (EVs) are membrane-bound particles found in biological fluids, including saliva, carrying proteins, RNAs, and microRNAs. They have emerged as promising biomarkers for several diseases. Objective: To compare the salivary EV profile of individuals with PDAC + RODM versus those with long-standing T2D, as an exploratory step in identifying possible associations with PDAC and evaluating the biomarker potential of salivary EVs. Methods: 12 individuals with PDAC + RODM and 12 with long-standing T2D, matched by sex (50% female) and age (mean ± SD: 70.2 ± 10.3 and 70 ± 10.5 yrs, respectively) were included. Saliva was collected before PDAC surgery. EVs were isolated using an automated CL-4B resin system and characterized via nanoparticle tracking analysis (NTA) and flow nanocytometry for annexin (a marker of ectosomes), and for CD9, CD63, and CD81 (canonical markers of exosomes, EVs formed through the endosomal pathway and considered more suitable to reflect cell-specific molecular signatures). Group comparisons and correlations with clinical variables were assessed using non-parametric tests. Results: No significant differences in EV count or average size were observed between groups. Compared to T2D, the PDAC + RODM group had a higher proportion of EVs in the 100—200 nm range (63.5% vs. 49.2%; p = 0.0003), lower positivity for annexin (11.54% vs. 20.68%; p = 0.039), CD63 (0.09% vs. 0.21%; p = 0.032), and CD81 (2.55% vs.6.02%; p = 0.044), but higher positivity for CD9 (10.6% vs. 7.3%; p = 0.0023). Among annexin + EVs, CD63 positivity was also lower in the PDAC + RODM group (2.75% vs. 3.98%; p = 0.044). Correlations with clinical variables for the PDAC + RODM group are presented in Table 1. Conclusion: The distinct EV immunophenotype in individuals with PDAC + RODM suggests that salivary EVs may reflect tumor-specific features and represent a promising non-invasive biomarker source for PDAC detection.(Supported by FAPESP and CNPq).Table 1 (abstract OP–014)Significant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\nSignificant correlations between clinical variables and phenotypic features of salivary extracellular vesicles (EVs) for the PDAC + RODM group.\n\n\n### OP—015 Association Between Ultra-Processed Food Consumption and Glycemic Control in Children and Adolescents with Type 1 Diabetes Mellitus\nIntroduction: Type 1 diabetes mellitus (T1DM) is the most common chronic disease in childhood. Adequate and healthy eating forms the basis of T1DM treatment and aims to meet glycemic goals and prevent acute and chronic complications, especially cardiovascular risk. Excess weight and diet quality in children and adolescents with T1DM are recognized as the main challenges encountered. Furthermore, to date, there are few studies on the consumption of ultra-processed food (UPF) in this population. Objective: To evaluate the association between UPF consumption and glycemic control in children and adolescents with T1DM. Methods: Cross-sectional study, carried out in a reference treatment center in Rio de Janeiro/Brazil, between 2015 and 2023. The sample consisted of 263 participants, aged between 7 and 16 years old and diagnosed with the disease at least 1 year ago. Exclusion criteria include having other autoimmune diseases, hemoglobinopathies and incomplete information on food consumption and glycemic control. Sociodemographic, clinical, anthropometric and dietary data were collected. Univariable logistic regression was used to estimate the crude odds ratio (OR), with the respective 95% confidential interval (CI). Results: UPF corresponded to 28.6 ± 16.5% of the daily total energy value (TEV), with the highest consumption being found in those participants with inadequate glycemic control (p = 0.043). The carbohydrate, total lipid, saturated fatty acid and cholesterol levels were higher in the tertiles with the highest consumption—T2 and T3 (p < 0.001; p = 0.004, respectively). There was a tendency to present higher body mass index (BMI) values when glycemic control was inadequate (p = 0.056). In this population, the most consumed UPF categories were: bread, cakes and cookies (20.8%); sweetened drinks (14%) and fast food (13.7%). Conclusion: The tertiles of highest UPF consumption were associated with inadequate glycemic control. Integrated actions are needed to reduce the consumption of UPF, especially by children and adolescents with T1DM.\n\n\n### Dias, GNC1; Machado, RCM1; Farias, DR1; Carvalho, O1; Pimentel, IF1; Sizisnande, PM1; Mathias, ABGA1; Luescher, JL1; Costa, VM1; Padilha, PC1\nIntroduction: Type 1 diabetes mellitus (T1DM) is the most common chronic disease in childhood. Adequate and healthy eating forms the basis of T1DM treatment and aims to meet glycemic goals and prevent acute and chronic complications, especially cardiovascular risk. Excess weight and diet quality in children and adolescents with T1DM are recognized as the main challenges encountered. Furthermore, to date, there are few studies on the consumption of ultra-processed food (UPF) in this population. Objective: To evaluate the association between UPF consumption and glycemic control in children and adolescents with T1DM. Methods: Cross-sectional study, carried out in a reference treatment center in Rio de Janeiro/Brazil, between 2015 and 2023. The sample consisted of 263 participants, aged between 7 and 16 years old and diagnosed with the disease at least 1 year ago. Exclusion criteria include having other autoimmune diseases, hemoglobinopathies and incomplete information on food consumption and glycemic control. Sociodemographic, clinical, anthropometric and dietary data were collected. Univariable logistic regression was used to estimate the crude odds ratio (OR), with the respective 95% confidential interval (CI). Results: UPF corresponded to 28.6 ± 16.5% of the daily total energy value (TEV), with the highest consumption being found in those participants with inadequate glycemic control (p = 0.043). The carbohydrate, total lipid, saturated fatty acid and cholesterol levels were higher in the tertiles with the highest consumption—T2 and T3 (p < 0.001; p = 0.004, respectively). There was a tendency to present higher body mass index (BMI) values when glycemic control was inadequate (p = 0.056). In this population, the most consumed UPF categories were: bread, cakes and cookies (20.8%); sweetened drinks (14%) and fast food (13.7%). Conclusion: The tertiles of highest UPF consumption were associated with inadequate glycemic control. Integrated actions are needed to reduce the consumption of UPF, especially by children and adolescents with T1DM.\n\n\n### (1) Universidade Federal do Rio de Janeiro—Rio de Janeiro—RJ—Brasil\nIntroduction: Type 1 diabetes mellitus (T1DM) is the most common chronic disease in childhood. Adequate and healthy eating forms the basis of T1DM treatment and aims to meet glycemic goals and prevent acute and chronic complications, especially cardiovascular risk. Excess weight and diet quality in children and adolescents with T1DM are recognized as the main challenges encountered. Furthermore, to date, there are few studies on the consumption of ultra-processed food (UPF) in this population. Objective: To evaluate the association between UPF consumption and glycemic control in children and adolescents with T1DM. Methods: Cross-sectional study, carried out in a reference treatment center in Rio de Janeiro/Brazil, between 2015 and 2023. The sample consisted of 263 participants, aged between 7 and 16 years old and diagnosed with the disease at least 1 year ago. Exclusion criteria include having other autoimmune diseases, hemoglobinopathies and incomplete information on food consumption and glycemic control. Sociodemographic, clinical, anthropometric and dietary data were collected. Univariable logistic regression was used to estimate the crude odds ratio (OR), with the respective 95% confidential interval (CI). Results: UPF corresponded to 28.6 ± 16.5% of the daily total energy value (TEV), with the highest consumption being found in those participants with inadequate glycemic control (p = 0.043). The carbohydrate, total lipid, saturated fatty acid and cholesterol levels were higher in the tertiles with the highest consumption—T2 and T3 (p < 0.001; p = 0.004, respectively). There was a tendency to present higher body mass index (BMI) values when glycemic control was inadequate (p = 0.056). In this population, the most consumed UPF categories were: bread, cakes and cookies (20.8%); sweetened drinks (14%) and fast food (13.7%). Conclusion: The tertiles of highest UPF consumption were associated with inadequate glycemic control. Integrated actions are needed to reduce the consumption of UPF, especially by children and adolescents with T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—015\nIntroduction: Type 1 diabetes mellitus (T1DM) is the most common chronic disease in childhood. Adequate and healthy eating forms the basis of T1DM treatment and aims to meet glycemic goals and prevent acute and chronic complications, especially cardiovascular risk. Excess weight and diet quality in children and adolescents with T1DM are recognized as the main challenges encountered. Furthermore, to date, there are few studies on the consumption of ultra-processed food (UPF) in this population. Objective: To evaluate the association between UPF consumption and glycemic control in children and adolescents with T1DM. Methods: Cross-sectional study, carried out in a reference treatment center in Rio de Janeiro/Brazil, between 2015 and 2023. The sample consisted of 263 participants, aged between 7 and 16 years old and diagnosed with the disease at least 1 year ago. Exclusion criteria include having other autoimmune diseases, hemoglobinopathies and incomplete information on food consumption and glycemic control. Sociodemographic, clinical, anthropometric and dietary data were collected. Univariable logistic regression was used to estimate the crude odds ratio (OR), with the respective 95% confidential interval (CI). Results: UPF corresponded to 28.6 ± 16.5% of the daily total energy value (TEV), with the highest consumption being found in those participants with inadequate glycemic control (p = 0.043). The carbohydrate, total lipid, saturated fatty acid and cholesterol levels were higher in the tertiles with the highest consumption—T2 and T3 (p < 0.001; p = 0.004, respectively). There was a tendency to present higher body mass index (BMI) values when glycemic control was inadequate (p = 0.056). In this population, the most consumed UPF categories were: bread, cakes and cookies (20.8%); sweetened drinks (14%) and fast food (13.7%). Conclusion: The tertiles of highest UPF consumption were associated with inadequate glycemic control. Integrated actions are needed to reduce the consumption of UPF, especially by children and adolescents with T1DM.\n\n\n### OP—016 Impact of a Plant-Based Dietary Intervention on Continuous Glucose Monitoring Metrics in Type 2 Diabetes: A Randomized Clinical Trial\nIntroduction: Continuous glucose monitoring (CGM) provides detailed information on glycemic metrics beyond glycated hemoglobin (HbA1c), enabling a more personalized management of type 2 diabetes mellitus (T2DM). Interventions that increase plant protein intake may improve glycemic control. However, their impact on CGM-derived metrics remains underexplored. Objective: To assess the effect of partial replacement of animal proteins with plant proteins on CGM-derived metrics in adults with T2DM. Methods: In this 24-week, open-label, single-center, two-arm interventional trial, adults (18–65 years, BMI 25–40 kg/m2, HbA1c 7.0–11.0%) were randomized to a control diet or a plant-based diet; both hypocaloric, targeting 5% weight loss in 24 weeks. CGM (FreeStyle Libre®) was used at baseline and after 12 weeks of intervention. Outcomes were GV, TIR, TAR, TBR, and GMI. Analyses were performed using SPSS, version 31, and the generalized estimating equations (GEE) method was used to test for group, time, and group × time effects. Results: Fifty-eight participants (n = 30 control and n = 28 plant-based) were included, and 4 dropped out (3 control and 1 plant-based). Mean diabetes duration was 10 years (5–16.2) in the control group and 12 years (9–19) in the plant-based group. Median HbA1c was 8.3% (7.7–9.9) and 8.7% (7.8–9.9), and BMI was 31.5 kg/m2 (± 3.7) and 31.6 kg/m2 (± 3.7), respectively. Both groups showed significant improvements over time in GMI (Control: 8% [95% CI: 7.6 to 8.4] to 7.3% [95% CI: 6.9 to 7.7]; Plant-based: 7.97% [95% CI 7.5 to 8.4] to 7.3% [95% CI: 7 to 7.6]; p < 0.001), TIR (Control: 45.1% [95% CI: 35.5 to 57.2] to 62.7% [95% CI: 53.7 to 73.2]; Plant-based: 47.6% [95% CI: 38.4 to 58.9] to 61% [95% CI: 52.8 to 70.6]; p < 0.001), and TAR (Control: 55.2% [95% CI: 45.3 to 67.3] to 35.4% [95% CI: 26.6 to 47.2]; Plant-based: 51% [95% CI: 42.3 to 63.1] to 36.9% [95% CI: 28.7 to 47.4]; p < 0.001). GV and TBR did not differ significantly between groups or overtime. No group × time interaction was observed. Conclusion: There was an improvement in CGM-derived glycemic parameters in both groups, with increased TIR and reduced TAR and GMI. No differences were detected between the diets, and GV remained unchanged. This is the first RCT to show that a plant-based diet provides the same beneficial cardiometabolic effects as a standard diet in people with T2DM, opening possibilities for lifestyle-based care. Thus, healthcare professionals may prioritize adherence, tailoring recommendations to patients’ preferences and lifestyle.\n\n\n### Correia, PE1; Teixeira, PP1; Martins, BB1; Backes, L1; Chadanowicz, LK1; Scalco, BG1; Bonato, LFA1; Fraga, BL1; Fossari, LT1; Porepp, OSC1; Hu, Y2; Gerchman, F1;\nIntroduction: Continuous glucose monitoring (CGM) provides detailed information on glycemic metrics beyond glycated hemoglobin (HbA1c), enabling a more personalized management of type 2 diabetes mellitus (T2DM). Interventions that increase plant protein intake may improve glycemic control. However, their impact on CGM-derived metrics remains underexplored. Objective: To assess the effect of partial replacement of animal proteins with plant proteins on CGM-derived metrics in adults with T2DM. Methods: In this 24-week, open-label, single-center, two-arm interventional trial, adults (18–65 years, BMI 25–40 kg/m2, HbA1c 7.0–11.0%) were randomized to a control diet or a plant-based diet; both hypocaloric, targeting 5% weight loss in 24 weeks. CGM (FreeStyle Libre®) was used at baseline and after 12 weeks of intervention. Outcomes were GV, TIR, TAR, TBR, and GMI. Analyses were performed using SPSS, version 31, and the generalized estimating equations (GEE) method was used to test for group, time, and group × time effects. Results: Fifty-eight participants (n = 30 control and n = 28 plant-based) were included, and 4 dropped out (3 control and 1 plant-based). Mean diabetes duration was 10 years (5–16.2) in the control group and 12 years (9–19) in the plant-based group. Median HbA1c was 8.3% (7.7–9.9) and 8.7% (7.8–9.9), and BMI was 31.5 kg/m2 (± 3.7) and 31.6 kg/m2 (± 3.7), respectively. Both groups showed significant improvements over time in GMI (Control: 8% [95% CI: 7.6 to 8.4] to 7.3% [95% CI: 6.9 to 7.7]; Plant-based: 7.97% [95% CI 7.5 to 8.4] to 7.3% [95% CI: 7 to 7.6]; p < 0.001), TIR (Control: 45.1% [95% CI: 35.5 to 57.2] to 62.7% [95% CI: 53.7 to 73.2]; Plant-based: 47.6% [95% CI: 38.4 to 58.9] to 61% [95% CI: 52.8 to 70.6]; p < 0.001), and TAR (Control: 55.2% [95% CI: 45.3 to 67.3] to 35.4% [95% CI: 26.6 to 47.2]; Plant-based: 51% [95% CI: 42.3 to 63.1] to 36.9% [95% CI: 28.7 to 47.4]; p < 0.001). GV and TBR did not differ significantly between groups or overtime. No group × time interaction was observed. Conclusion: There was an improvement in CGM-derived glycemic parameters in both groups, with increased TIR and reduced TAR and GMI. No differences were detected between the diets, and GV remained unchanged. This is the first RCT to show that a plant-based diet provides the same beneficial cardiometabolic effects as a standard diet in people with T2DM, opening possibilities for lifestyle-based care. Thus, healthcare professionals may prioritize adherence, tailoring recommendations to patients’ preferences and lifestyle.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Johns Hopkins University, United States\nIntroduction: Continuous glucose monitoring (CGM) provides detailed information on glycemic metrics beyond glycated hemoglobin (HbA1c), enabling a more personalized management of type 2 diabetes mellitus (T2DM). Interventions that increase plant protein intake may improve glycemic control. However, their impact on CGM-derived metrics remains underexplored. Objective: To assess the effect of partial replacement of animal proteins with plant proteins on CGM-derived metrics in adults with T2DM. Methods: In this 24-week, open-label, single-center, two-arm interventional trial, adults (18–65 years, BMI 25–40 kg/m2, HbA1c 7.0–11.0%) were randomized to a control diet or a plant-based diet; both hypocaloric, targeting 5% weight loss in 24 weeks. CGM (FreeStyle Libre®) was used at baseline and after 12 weeks of intervention. Outcomes were GV, TIR, TAR, TBR, and GMI. Analyses were performed using SPSS, version 31, and the generalized estimating equations (GEE) method was used to test for group, time, and group × time effects. Results: Fifty-eight participants (n = 30 control and n = 28 plant-based) were included, and 4 dropped out (3 control and 1 plant-based). Mean diabetes duration was 10 years (5–16.2) in the control group and 12 years (9–19) in the plant-based group. Median HbA1c was 8.3% (7.7–9.9) and 8.7% (7.8–9.9), and BMI was 31.5 kg/m2 (± 3.7) and 31.6 kg/m2 (± 3.7), respectively. Both groups showed significant improvements over time in GMI (Control: 8% [95% CI: 7.6 to 8.4] to 7.3% [95% CI: 6.9 to 7.7]; Plant-based: 7.97% [95% CI 7.5 to 8.4] to 7.3% [95% CI: 7 to 7.6]; p < 0.001), TIR (Control: 45.1% [95% CI: 35.5 to 57.2] to 62.7% [95% CI: 53.7 to 73.2]; Plant-based: 47.6% [95% CI: 38.4 to 58.9] to 61% [95% CI: 52.8 to 70.6]; p < 0.001), and TAR (Control: 55.2% [95% CI: 45.3 to 67.3] to 35.4% [95% CI: 26.6 to 47.2]; Plant-based: 51% [95% CI: 42.3 to 63.1] to 36.9% [95% CI: 28.7 to 47.4]; p < 0.001). GV and TBR did not differ significantly between groups or overtime. No group × time interaction was observed. Conclusion: There was an improvement in CGM-derived glycemic parameters in both groups, with increased TIR and reduced TAR and GMI. No differences were detected between the diets, and GV remained unchanged. This is the first RCT to show that a plant-based diet provides the same beneficial cardiometabolic effects as a standard diet in people with T2DM, opening possibilities for lifestyle-based care. Thus, healthcare professionals may prioritize adherence, tailoring recommendations to patients’ preferences and lifestyle.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—016\nIntroduction: Continuous glucose monitoring (CGM) provides detailed information on glycemic metrics beyond glycated hemoglobin (HbA1c), enabling a more personalized management of type 2 diabetes mellitus (T2DM). Interventions that increase plant protein intake may improve glycemic control. However, their impact on CGM-derived metrics remains underexplored. Objective: To assess the effect of partial replacement of animal proteins with plant proteins on CGM-derived metrics in adults with T2DM. Methods: In this 24-week, open-label, single-center, two-arm interventional trial, adults (18–65 years, BMI 25–40 kg/m2, HbA1c 7.0–11.0%) were randomized to a control diet or a plant-based diet; both hypocaloric, targeting 5% weight loss in 24 weeks. CGM (FreeStyle Libre®) was used at baseline and after 12 weeks of intervention. Outcomes were GV, TIR, TAR, TBR, and GMI. Analyses were performed using SPSS, version 31, and the generalized estimating equations (GEE) method was used to test for group, time, and group × time effects. Results: Fifty-eight participants (n = 30 control and n = 28 plant-based) were included, and 4 dropped out (3 control and 1 plant-based). Mean diabetes duration was 10 years (5–16.2) in the control group and 12 years (9–19) in the plant-based group. Median HbA1c was 8.3% (7.7–9.9) and 8.7% (7.8–9.9), and BMI was 31.5 kg/m2 (± 3.7) and 31.6 kg/m2 (± 3.7), respectively. Both groups showed significant improvements over time in GMI (Control: 8% [95% CI: 7.6 to 8.4] to 7.3% [95% CI: 6.9 to 7.7]; Plant-based: 7.97% [95% CI 7.5 to 8.4] to 7.3% [95% CI: 7 to 7.6]; p < 0.001), TIR (Control: 45.1% [95% CI: 35.5 to 57.2] to 62.7% [95% CI: 53.7 to 73.2]; Plant-based: 47.6% [95% CI: 38.4 to 58.9] to 61% [95% CI: 52.8 to 70.6]; p < 0.001), and TAR (Control: 55.2% [95% CI: 45.3 to 67.3] to 35.4% [95% CI: 26.6 to 47.2]; Plant-based: 51% [95% CI: 42.3 to 63.1] to 36.9% [95% CI: 28.7 to 47.4]; p < 0.001). GV and TBR did not differ significantly between groups or overtime. No group × time interaction was observed. Conclusion: There was an improvement in CGM-derived glycemic parameters in both groups, with increased TIR and reduced TAR and GMI. No differences were detected between the diets, and GV remained unchanged. This is the first RCT to show that a plant-based diet provides the same beneficial cardiometabolic effects as a standard diet in people with T2DM, opening possibilities for lifestyle-based care. Thus, healthcare professionals may prioritize adherence, tailoring recommendations to patients’ preferences and lifestyle.\n\n\n### OP—017 The Hidden Spectrum: Disordered Eating Behaviors in Type 1 Diabetes with HbA1c < 6.5%\nIntroduction: Disordered eating behaviors (DEBs) are commonly observed in people with type 1 diabetes (PWT1D) and include restrictive eating, binge eating, purging, and diabetes-specific behaviors such as insulin omission for weight control. DEBs are associated with higher glycated hemoglobin (HbA1c) and complications. Emerging evidence highlights distinct subtypes of DEBs, with distinct clinical presentations such as desinhibition, compensatory behaviors, restriction and body dissatisfaction and concerns about type 1 diabetes (T1D). Objective: To investigate the characteristics and clinical profiles of Brazilian PWT1D at high risk for DEBs who maintain HbA1c levels below 6.5%. Methods: This sub-analysis used data from a previous nationwide study. Participants (PWT1D) with Diabetes Eating Problem Survey–Revised, Brazilian version (DEPS-R-BR) scores ≥ 20—a threshold indicating high risk for DEBs were included. They were divided into two groups based on HbA1c: < 6.5% and ≥ 6.5%. Group comparisons were performed using Chi-square or Mann–Whitney tests. A stepwise multivariate linear regression was conducted. The significance level was set at 0.05. Results: A total of 139 PWT1D from across Brazil were included. The majority were female (92%), with a mean age of 28.6 ± 6.66 years. The average duration of T1D was 13.7 ± 8.44 years, and the mean age at diagnosis was 15.2 ± 7.55 years. Most participants (79.9%, n = 111) used multiple daily injections (MDI), while 20.1% (n = 28) used an insulin pump. The mean BMI was 25 ± 4.59, and 30.2% self-reported using medication for weight loss. Twenty-eight participants had HbA1c < 6.5%. This group was associated with older age (p = 0.018), lower total DEPS-R-BR scores (p = 0.007), and lower scores on compensatory behaviors (p < 0.001). Conclusion:: This study identifies a potential subgroup of PWT1D who are at high risk for DEBs despite maintaining adequate glycemic control (HbA1c < 6.5%). These findings challenge the assumption that favorable glycemic outcomes exclude the presence of DEBs and highlight the complexity of eating behaviors in this population. Recognizing and characterizing distinct DEB subtypes is essential, as they may have unique clinical presentations and require tailored strategies for psychiatric, psychological and metabolic management.\n\n\n### Figueiredo, JCM1; Trevisan, TL2; Pavin, EJ3; Silveira, MSVM4\nIntroduction: Disordered eating behaviors (DEBs) are commonly observed in people with type 1 diabetes (PWT1D) and include restrictive eating, binge eating, purging, and diabetes-specific behaviors such as insulin omission for weight control. DEBs are associated with higher glycated hemoglobin (HbA1c) and complications. Emerging evidence highlights distinct subtypes of DEBs, with distinct clinical presentations such as desinhibition, compensatory behaviors, restriction and body dissatisfaction and concerns about type 1 diabetes (T1D). Objective: To investigate the characteristics and clinical profiles of Brazilian PWT1D at high risk for DEBs who maintain HbA1c levels below 6.5%. Methods: This sub-analysis used data from a previous nationwide study. Participants (PWT1D) with Diabetes Eating Problem Survey–Revised, Brazilian version (DEPS-R-BR) scores ≥ 20—a threshold indicating high risk for DEBs were included. They were divided into two groups based on HbA1c: < 6.5% and ≥ 6.5%. Group comparisons were performed using Chi-square or Mann–Whitney tests. A stepwise multivariate linear regression was conducted. The significance level was set at 0.05. Results: A total of 139 PWT1D from across Brazil were included. The majority were female (92%), with a mean age of 28.6 ± 6.66 years. The average duration of T1D was 13.7 ± 8.44 years, and the mean age at diagnosis was 15.2 ± 7.55 years. Most participants (79.9%, n = 111) used multiple daily injections (MDI), while 20.1% (n = 28) used an insulin pump. The mean BMI was 25 ± 4.59, and 30.2% self-reported using medication for weight loss. Twenty-eight participants had HbA1c < 6.5%. This group was associated with older age (p = 0.018), lower total DEPS-R-BR scores (p = 0.007), and lower scores on compensatory behaviors (p < 0.001). Conclusion:: This study identifies a potential subgroup of PWT1D who are at high risk for DEBs despite maintaining adequate glycemic control (HbA1c < 6.5%). These findings challenge the assumption that favorable glycemic outcomes exclude the presence of DEBs and highlight the complexity of eating behaviors in this population. Recognizing and characterizing distinct DEB subtypes is essential, as they may have unique clinical presentations and require tailored strategies for psychiatric, psychological and metabolic management.\n\n\n### (1) Private Practice, Belo Horizonte, MG, Brasil; (2) Private Practice, Itajaí, SC, Brasil; (3) University of Campinas, Campinas, SP, Brasil; (4) University of Campinas; Mental Health and Diabetes Institute, Campinas, SP, Brasil\nIntroduction: Disordered eating behaviors (DEBs) are commonly observed in people with type 1 diabetes (PWT1D) and include restrictive eating, binge eating, purging, and diabetes-specific behaviors such as insulin omission for weight control. DEBs are associated with higher glycated hemoglobin (HbA1c) and complications. Emerging evidence highlights distinct subtypes of DEBs, with distinct clinical presentations such as desinhibition, compensatory behaviors, restriction and body dissatisfaction and concerns about type 1 diabetes (T1D). Objective: To investigate the characteristics and clinical profiles of Brazilian PWT1D at high risk for DEBs who maintain HbA1c levels below 6.5%. Methods: This sub-analysis used data from a previous nationwide study. Participants (PWT1D) with Diabetes Eating Problem Survey–Revised, Brazilian version (DEPS-R-BR) scores ≥ 20—a threshold indicating high risk for DEBs were included. They were divided into two groups based on HbA1c: < 6.5% and ≥ 6.5%. Group comparisons were performed using Chi-square or Mann–Whitney tests. A stepwise multivariate linear regression was conducted. The significance level was set at 0.05. Results: A total of 139 PWT1D from across Brazil were included. The majority were female (92%), with a mean age of 28.6 ± 6.66 years. The average duration of T1D was 13.7 ± 8.44 years, and the mean age at diagnosis was 15.2 ± 7.55 years. Most participants (79.9%, n = 111) used multiple daily injections (MDI), while 20.1% (n = 28) used an insulin pump. The mean BMI was 25 ± 4.59, and 30.2% self-reported using medication for weight loss. Twenty-eight participants had HbA1c < 6.5%. This group was associated with older age (p = 0.018), lower total DEPS-R-BR scores (p = 0.007), and lower scores on compensatory behaviors (p < 0.001). Conclusion:: This study identifies a potential subgroup of PWT1D who are at high risk for DEBs despite maintaining adequate glycemic control (HbA1c < 6.5%). These findings challenge the assumption that favorable glycemic outcomes exclude the presence of DEBs and highlight the complexity of eating behaviors in this population. Recognizing and characterizing distinct DEB subtypes is essential, as they may have unique clinical presentations and require tailored strategies for psychiatric, psychological and metabolic management.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—017\nIntroduction: Disordered eating behaviors (DEBs) are commonly observed in people with type 1 diabetes (PWT1D) and include restrictive eating, binge eating, purging, and diabetes-specific behaviors such as insulin omission for weight control. DEBs are associated with higher glycated hemoglobin (HbA1c) and complications. Emerging evidence highlights distinct subtypes of DEBs, with distinct clinical presentations such as desinhibition, compensatory behaviors, restriction and body dissatisfaction and concerns about type 1 diabetes (T1D). Objective: To investigate the characteristics and clinical profiles of Brazilian PWT1D at high risk for DEBs who maintain HbA1c levels below 6.5%. Methods: This sub-analysis used data from a previous nationwide study. Participants (PWT1D) with Diabetes Eating Problem Survey–Revised, Brazilian version (DEPS-R-BR) scores ≥ 20—a threshold indicating high risk for DEBs were included. They were divided into two groups based on HbA1c: < 6.5% and ≥ 6.5%. Group comparisons were performed using Chi-square or Mann–Whitney tests. A stepwise multivariate linear regression was conducted. The significance level was set at 0.05. Results: A total of 139 PWT1D from across Brazil were included. The majority were female (92%), with a mean age of 28.6 ± 6.66 years. The average duration of T1D was 13.7 ± 8.44 years, and the mean age at diagnosis was 15.2 ± 7.55 years. Most participants (79.9%, n = 111) used multiple daily injections (MDI), while 20.1% (n = 28) used an insulin pump. The mean BMI was 25 ± 4.59, and 30.2% self-reported using medication for weight loss. Twenty-eight participants had HbA1c < 6.5%. This group was associated with older age (p = 0.018), lower total DEPS-R-BR scores (p = 0.007), and lower scores on compensatory behaviors (p < 0.001). Conclusion:: This study identifies a potential subgroup of PWT1D who are at high risk for DEBs despite maintaining adequate glycemic control (HbA1c < 6.5%). These findings challenge the assumption that favorable glycemic outcomes exclude the presence of DEBs and highlight the complexity of eating behaviors in this population. Recognizing and characterizing distinct DEB subtypes is essential, as they may have unique clinical presentations and require tailored strategies for psychiatric, psychological and metabolic management.\n\n\n### OP—018 Ultra-Processed Foods Consumption in Subjects with Type 2 Diabetes Mellitus and Excessive Weight Submitted to A Plant-Based or a Healthy Standard Dietary Intervention: A Blinded Analysis of a Parallel, Randomized Clinical Trial\nIntroduction: Plant-based diets (PBDs) have been linked to improvements in cardiometabolic health due to lower intake of animal products and higher intake of vegetables, seeds, plant oils, and fruits. However, it is unknown whether recommending this diet reduces the consumption of ultra-processed foods (UPFs) when compared to a standard healthy diet. Objective: To compare the impact of a PBD vs. a standard healthy diet on UPFs consumption in adults with type 2 diabetes mellitus (T2DM) and excessive weight Methods: We conducted a single-center, parallel, randomized clinical trial comparing the effect of PBD vs a standard healthy diet in adults with T2DM and excessive weight. This preliminary blinded analysis included participants aged 18–65 years and with BMI 25–40 kg/m2. They were assigned to a PBD with reduced animal foods or a control standard healthy diet following T2DM guidelines. Both diets were hypocaloric, targeting 5% weight loss over 24 weeks. Dietary intake was assessed by weighted food records (3 non-consecutive days at baseline; 7 consecutive days at weeks 12 and 24). Nutrient analysis was assessed with NutriBase 19 Pro and food processing degree was categorized according to the NOVA classification. Analyses were performed using Generalized Estimating Equations in SPSS 18.0, with statistical significance at p < 0.05. Results: Eighty participants were included [40 per group; 65% female, 66.3% white, mean BMI 31.0 ± 3.4 kg/m2, mean weight 82.8 ± 13.5 kg, and median HbA1c 8.7% (7.8–9.8)] with no between-group differences. Sixty completed the study. There was a significant reduction of the following parameters over time, with no differences between groups: total energy intake (Group A = Δ -488.8 kcal [95% CI: -805.6 to -172.1] vs. Group B = Δ -554.2 kcal [95% CI: -806.8 to -301.7]; p < 0.001), in natura or minimally processed foods (Group A = Δ -56.6 kcal [95% CI: -213.6 to -100.3] vs. Group B = Δ -162.6 kcal [95% CI: -321.7 to -3.4]; p = 0.002) and processed foods (Group A = Δ -237.2 kcal [95% CI: -408.3 to -66.1] vs. Group B = Δ -153.5 kcal [95% CI: -249.8 to -57.3]; p < 0.001). There was no difference in caloric intake of culinary ingredients. However, Group B demonstrated a greater improvement in calory intake from UPFs (Group A = Δ -188.3 kcal [95% CI -334.6 to -42.0] vs. Group B = Δ -221.2 kcal [95% CI -351.9 to 90.5]; interaction p = 0.041). Conclusion: Both diets were effective in reducing total energy and UPFs intake over time, but the reduction in caloric intake of UPFs was different between groups.\n\n\n### Martins, BB1; Teixeira, PP1; Correia, PE1; Kunzler, LB1; Porepp, OSC1; Natividade, GR1; Chadanowicz, LK1; Fraga, BL1; Premebida, SM1; Scalco, BG1; Fossari, LT2; Bonato, LFA2; Gerchman, F1\nIntroduction: Plant-based diets (PBDs) have been linked to improvements in cardiometabolic health due to lower intake of animal products and higher intake of vegetables, seeds, plant oils, and fruits. However, it is unknown whether recommending this diet reduces the consumption of ultra-processed foods (UPFs) when compared to a standard healthy diet. Objective: To compare the impact of a PBD vs. a standard healthy diet on UPFs consumption in adults with type 2 diabetes mellitus (T2DM) and excessive weight Methods: We conducted a single-center, parallel, randomized clinical trial comparing the effect of PBD vs a standard healthy diet in adults with T2DM and excessive weight. This preliminary blinded analysis included participants aged 18–65 years and with BMI 25–40 kg/m2. They were assigned to a PBD with reduced animal foods or a control standard healthy diet following T2DM guidelines. Both diets were hypocaloric, targeting 5% weight loss over 24 weeks. Dietary intake was assessed by weighted food records (3 non-consecutive days at baseline; 7 consecutive days at weeks 12 and 24). Nutrient analysis was assessed with NutriBase 19 Pro and food processing degree was categorized according to the NOVA classification. Analyses were performed using Generalized Estimating Equations in SPSS 18.0, with statistical significance at p < 0.05. Results: Eighty participants were included [40 per group; 65% female, 66.3% white, mean BMI 31.0 ± 3.4 kg/m2, mean weight 82.8 ± 13.5 kg, and median HbA1c 8.7% (7.8–9.8)] with no between-group differences. Sixty completed the study. There was a significant reduction of the following parameters over time, with no differences between groups: total energy intake (Group A = Δ -488.8 kcal [95% CI: -805.6 to -172.1] vs. Group B = Δ -554.2 kcal [95% CI: -806.8 to -301.7]; p < 0.001), in natura or minimally processed foods (Group A = Δ -56.6 kcal [95% CI: -213.6 to -100.3] vs. Group B = Δ -162.6 kcal [95% CI: -321.7 to -3.4]; p = 0.002) and processed foods (Group A = Δ -237.2 kcal [95% CI: -408.3 to -66.1] vs. Group B = Δ -153.5 kcal [95% CI: -249.8 to -57.3]; p < 0.001). There was no difference in caloric intake of culinary ingredients. However, Group B demonstrated a greater improvement in calory intake from UPFs (Group A = Δ -188.3 kcal [95% CI -334.6 to -42.0] vs. Group B = Δ -221.2 kcal [95% CI -351.9 to 90.5]; interaction p = 0.041). Conclusion: Both diets were effective in reducing total energy and UPFs intake over time, but the reduction in caloric intake of UPFs was different between groups.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Universidade Federal de Ciências da Saúde de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Plant-based diets (PBDs) have been linked to improvements in cardiometabolic health due to lower intake of animal products and higher intake of vegetables, seeds, plant oils, and fruits. However, it is unknown whether recommending this diet reduces the consumption of ultra-processed foods (UPFs) when compared to a standard healthy diet. Objective: To compare the impact of a PBD vs. a standard healthy diet on UPFs consumption in adults with type 2 diabetes mellitus (T2DM) and excessive weight Methods: We conducted a single-center, parallel, randomized clinical trial comparing the effect of PBD vs a standard healthy diet in adults with T2DM and excessive weight. This preliminary blinded analysis included participants aged 18–65 years and with BMI 25–40 kg/m2. They were assigned to a PBD with reduced animal foods or a control standard healthy diet following T2DM guidelines. Both diets were hypocaloric, targeting 5% weight loss over 24 weeks. Dietary intake was assessed by weighted food records (3 non-consecutive days at baseline; 7 consecutive days at weeks 12 and 24). Nutrient analysis was assessed with NutriBase 19 Pro and food processing degree was categorized according to the NOVA classification. Analyses were performed using Generalized Estimating Equations in SPSS 18.0, with statistical significance at p < 0.05. Results: Eighty participants were included [40 per group; 65% female, 66.3% white, mean BMI 31.0 ± 3.4 kg/m2, mean weight 82.8 ± 13.5 kg, and median HbA1c 8.7% (7.8–9.8)] with no between-group differences. Sixty completed the study. There was a significant reduction of the following parameters over time, with no differences between groups: total energy intake (Group A = Δ -488.8 kcal [95% CI: -805.6 to -172.1] vs. Group B = Δ -554.2 kcal [95% CI: -806.8 to -301.7]; p < 0.001), in natura or minimally processed foods (Group A = Δ -56.6 kcal [95% CI: -213.6 to -100.3] vs. Group B = Δ -162.6 kcal [95% CI: -321.7 to -3.4]; p = 0.002) and processed foods (Group A = Δ -237.2 kcal [95% CI: -408.3 to -66.1] vs. Group B = Δ -153.5 kcal [95% CI: -249.8 to -57.3]; p < 0.001). There was no difference in caloric intake of culinary ingredients. However, Group B demonstrated a greater improvement in calory intake from UPFs (Group A = Δ -188.3 kcal [95% CI -334.6 to -42.0] vs. Group B = Δ -221.2 kcal [95% CI -351.9 to 90.5]; interaction p = 0.041). Conclusion: Both diets were effective in reducing total energy and UPFs intake over time, but the reduction in caloric intake of UPFs was different between groups.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—018\nIntroduction: Plant-based diets (PBDs) have been linked to improvements in cardiometabolic health due to lower intake of animal products and higher intake of vegetables, seeds, plant oils, and fruits. However, it is unknown whether recommending this diet reduces the consumption of ultra-processed foods (UPFs) when compared to a standard healthy diet. Objective: To compare the impact of a PBD vs. a standard healthy diet on UPFs consumption in adults with type 2 diabetes mellitus (T2DM) and excessive weight Methods: We conducted a single-center, parallel, randomized clinical trial comparing the effect of PBD vs a standard healthy diet in adults with T2DM and excessive weight. This preliminary blinded analysis included participants aged 18–65 years and with BMI 25–40 kg/m2. They were assigned to a PBD with reduced animal foods or a control standard healthy diet following T2DM guidelines. Both diets were hypocaloric, targeting 5% weight loss over 24 weeks. Dietary intake was assessed by weighted food records (3 non-consecutive days at baseline; 7 consecutive days at weeks 12 and 24). Nutrient analysis was assessed with NutriBase 19 Pro and food processing degree was categorized according to the NOVA classification. Analyses were performed using Generalized Estimating Equations in SPSS 18.0, with statistical significance at p < 0.05. Results: Eighty participants were included [40 per group; 65% female, 66.3% white, mean BMI 31.0 ± 3.4 kg/m2, mean weight 82.8 ± 13.5 kg, and median HbA1c 8.7% (7.8–9.8)] with no between-group differences. Sixty completed the study. There was a significant reduction of the following parameters over time, with no differences between groups: total energy intake (Group A = Δ -488.8 kcal [95% CI: -805.6 to -172.1] vs. Group B = Δ -554.2 kcal [95% CI: -806.8 to -301.7]; p < 0.001), in natura or minimally processed foods (Group A = Δ -56.6 kcal [95% CI: -213.6 to -100.3] vs. Group B = Δ -162.6 kcal [95% CI: -321.7 to -3.4]; p = 0.002) and processed foods (Group A = Δ -237.2 kcal [95% CI: -408.3 to -66.1] vs. Group B = Δ -153.5 kcal [95% CI: -249.8 to -57.3]; p < 0.001). There was no difference in caloric intake of culinary ingredients. However, Group B demonstrated a greater improvement in calory intake from UPFs (Group A = Δ -188.3 kcal [95% CI -334.6 to -42.0] vs. Group B = Δ -221.2 kcal [95% CI -351.9 to 90.5]; interaction p = 0.041). Conclusion: Both diets were effective in reducing total energy and UPFs intake over time, but the reduction in caloric intake of UPFs was different between groups.\n\n\n### OP—019 Body Roundness Index Assessment in Women with and without Metabolic Risk After Bariatric Surgery\nIntroduction: Obesity is associated with multiple cardiometabolic comorbidities. Bariatric surgery is effective for weight reduction and improving metabolic profile. The Body Roundness Index (BRI) is a promising tool for estimating central adiposity, which is strongly linked to metabolic risk; however, its use in the postoperative setting remains underexplored. Glycated hemoglobin (HbA1c) reflects recent glycemic control and is widely used as a metabolic risk marker. Objective: In this context, the aim of this work was to evaluate the BRI in women undergoing gastric bypass, comparing pre- and postoperative groups with and without cardiometabolic risk defined by HbA1c. Methods: This cross-sectional study, approved by the Ethics Committee of Santa Casa Hospital in Belo Horizonte, Brazil (approval number 69385917.7.0000.5138), included women aged 30 to 60 years. Participants were divided into four groups: preoperative without risk (Pre-NR, n = 7), preoperative with risk (Pre-R, n = 14), postoperative without risk (Post-NR, n = 12), and postoperative with risk (Post-R, n = 9). Cardiometabolic risk was defined by HbA1c values: < 5.7% (without risk) and ≥ 5.7% (with risk). Median time since surgery was 2 years (1–11 years in Post-NR; 1–9 years in Post-R). Body mass index (BMI) and BRI were calculated using conventional anthropometric methods, based on weight, height and waist circumference measurements (WC)). Data were expressed as mean ± standard deviation. Statistical analysis was performed using ANOVA followed by Tukey’s post-test (p < 0.05). Results: Age was significantly higher in the Post-R group compared to the Pre-NR group (p < 0.05), and comparisons between these groups were excluded. Postoperative patients showed significant reductions in body weight, BMI, BRI, and WC compared to the Pre-R group (p < 0.05). Within the postoperative cohort, the Post-R group had significantly higher BRI (7.5 ± 2) and WC (105 ± 12) values than the Post-NR group (BRI 4.4 ± 1.4; WC 83.2 ± 9.9) (p < 0.05), suggesting persistent central fat accumulation. HbA1c levels were significantly elevated in the Pre-R group (7.51 ± 1.8%) and remained increased in the Post-R group (6.1 ± 0.3%) compared to the Post-NR group (5.33 ± 0.2%; p < 0.05). Conclusion: Bariatric surgery leads to significant anthropometric and metabolic improvements; however, a subset of patients retains residual cardiometabolic risk, as indicated by elevated BRI. HbA1c proved useful for risk stratification, underscoring the need for continuous postoperative monitoring.\n\n\n### Santos, RP1; Cruz, AMF1; Carvalho, JV1; Antunes, JF1; Rigueira, JSG1; Fonseca, EP1; Vieira, CMAF2; Volpe, CMO1\nIntroduction: Obesity is associated with multiple cardiometabolic comorbidities. Bariatric surgery is effective for weight reduction and improving metabolic profile. The Body Roundness Index (BRI) is a promising tool for estimating central adiposity, which is strongly linked to metabolic risk; however, its use in the postoperative setting remains underexplored. Glycated hemoglobin (HbA1c) reflects recent glycemic control and is widely used as a metabolic risk marker. Objective: In this context, the aim of this work was to evaluate the BRI in women undergoing gastric bypass, comparing pre- and postoperative groups with and without cardiometabolic risk defined by HbA1c. Methods: This cross-sectional study, approved by the Ethics Committee of Santa Casa Hospital in Belo Horizonte, Brazil (approval number 69385917.7.0000.5138), included women aged 30 to 60 years. Participants were divided into four groups: preoperative without risk (Pre-NR, n = 7), preoperative with risk (Pre-R, n = 14), postoperative without risk (Post-NR, n = 12), and postoperative with risk (Post-R, n = 9). Cardiometabolic risk was defined by HbA1c values: < 5.7% (without risk) and ≥ 5.7% (with risk). Median time since surgery was 2 years (1–11 years in Post-NR; 1–9 years in Post-R). Body mass index (BMI) and BRI were calculated using conventional anthropometric methods, based on weight, height and waist circumference measurements (WC)). Data were expressed as mean ± standard deviation. Statistical analysis was performed using ANOVA followed by Tukey’s post-test (p < 0.05). Results: Age was significantly higher in the Post-R group compared to the Pre-NR group (p < 0.05), and comparisons between these groups were excluded. Postoperative patients showed significant reductions in body weight, BMI, BRI, and WC compared to the Pre-R group (p < 0.05). Within the postoperative cohort, the Post-R group had significantly higher BRI (7.5 ± 2) and WC (105 ± 12) values than the Post-NR group (BRI 4.4 ± 1.4; WC 83.2 ± 9.9) (p < 0.05), suggesting persistent central fat accumulation. HbA1c levels were significantly elevated in the Pre-R group (7.51 ± 1.8%) and remained increased in the Post-R group (6.1 ± 0.3%) compared to the Post-NR group (5.33 ± 0.2%; p < 0.05). Conclusion: Bariatric surgery leads to significant anthropometric and metabolic improvements; however, a subset of patients retains residual cardiometabolic risk, as indicated by elevated BRI. HbA1c proved useful for risk stratification, underscoring the need for continuous postoperative monitoring.\n\n\n### (1) Faculdade de Saúde Santa Casa Belo Horizonte, Programa de Pós-graduação Stricto Sensu em Medicina- Biomedicina, Belo Horizonte, MG, Brasil; (2) Centro de Especialidade Médicas, Grupo Santa Casa Belo Horizonte, Belo Horizonte, MG, Brasil\nIntroduction: Obesity is associated with multiple cardiometabolic comorbidities. Bariatric surgery is effective for weight reduction and improving metabolic profile. The Body Roundness Index (BRI) is a promising tool for estimating central adiposity, which is strongly linked to metabolic risk; however, its use in the postoperative setting remains underexplored. Glycated hemoglobin (HbA1c) reflects recent glycemic control and is widely used as a metabolic risk marker. Objective: In this context, the aim of this work was to evaluate the BRI in women undergoing gastric bypass, comparing pre- and postoperative groups with and without cardiometabolic risk defined by HbA1c. Methods: This cross-sectional study, approved by the Ethics Committee of Santa Casa Hospital in Belo Horizonte, Brazil (approval number 69385917.7.0000.5138), included women aged 30 to 60 years. Participants were divided into four groups: preoperative without risk (Pre-NR, n = 7), preoperative with risk (Pre-R, n = 14), postoperative without risk (Post-NR, n = 12), and postoperative with risk (Post-R, n = 9). Cardiometabolic risk was defined by HbA1c values: < 5.7% (without risk) and ≥ 5.7% (with risk). Median time since surgery was 2 years (1–11 years in Post-NR; 1–9 years in Post-R). Body mass index (BMI) and BRI were calculated using conventional anthropometric methods, based on weight, height and waist circumference measurements (WC)). Data were expressed as mean ± standard deviation. Statistical analysis was performed using ANOVA followed by Tukey’s post-test (p < 0.05). Results: Age was significantly higher in the Post-R group compared to the Pre-NR group (p < 0.05), and comparisons between these groups were excluded. Postoperative patients showed significant reductions in body weight, BMI, BRI, and WC compared to the Pre-R group (p < 0.05). Within the postoperative cohort, the Post-R group had significantly higher BRI (7.5 ± 2) and WC (105 ± 12) values than the Post-NR group (BRI 4.4 ± 1.4; WC 83.2 ± 9.9) (p < 0.05), suggesting persistent central fat accumulation. HbA1c levels were significantly elevated in the Pre-R group (7.51 ± 1.8%) and remained increased in the Post-R group (6.1 ± 0.3%) compared to the Post-NR group (5.33 ± 0.2%; p < 0.05). Conclusion: Bariatric surgery leads to significant anthropometric and metabolic improvements; however, a subset of patients retains residual cardiometabolic risk, as indicated by elevated BRI. HbA1c proved useful for risk stratification, underscoring the need for continuous postoperative monitoring.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—019\nIntroduction: Obesity is associated with multiple cardiometabolic comorbidities. Bariatric surgery is effective for weight reduction and improving metabolic profile. The Body Roundness Index (BRI) is a promising tool for estimating central adiposity, which is strongly linked to metabolic risk; however, its use in the postoperative setting remains underexplored. Glycated hemoglobin (HbA1c) reflects recent glycemic control and is widely used as a metabolic risk marker. Objective: In this context, the aim of this work was to evaluate the BRI in women undergoing gastric bypass, comparing pre- and postoperative groups with and without cardiometabolic risk defined by HbA1c. Methods: This cross-sectional study, approved by the Ethics Committee of Santa Casa Hospital in Belo Horizonte, Brazil (approval number 69385917.7.0000.5138), included women aged 30 to 60 years. Participants were divided into four groups: preoperative without risk (Pre-NR, n = 7), preoperative with risk (Pre-R, n = 14), postoperative without risk (Post-NR, n = 12), and postoperative with risk (Post-R, n = 9). Cardiometabolic risk was defined by HbA1c values: < 5.7% (without risk) and ≥ 5.7% (with risk). Median time since surgery was 2 years (1–11 years in Post-NR; 1–9 years in Post-R). Body mass index (BMI) and BRI were calculated using conventional anthropometric methods, based on weight, height and waist circumference measurements (WC)). Data were expressed as mean ± standard deviation. Statistical analysis was performed using ANOVA followed by Tukey’s post-test (p < 0.05). Results: Age was significantly higher in the Post-R group compared to the Pre-NR group (p < 0.05), and comparisons between these groups were excluded. Postoperative patients showed significant reductions in body weight, BMI, BRI, and WC compared to the Pre-R group (p < 0.05). Within the postoperative cohort, the Post-R group had significantly higher BRI (7.5 ± 2) and WC (105 ± 12) values than the Post-NR group (BRI 4.4 ± 1.4; WC 83.2 ± 9.9) (p < 0.05), suggesting persistent central fat accumulation. HbA1c levels were significantly elevated in the Pre-R group (7.51 ± 1.8%) and remained increased in the Post-R group (6.1 ± 0.3%) compared to the Post-NR group (5.33 ± 0.2%; p < 0.05). Conclusion: Bariatric surgery leads to significant anthropometric and metabolic improvements; however, a subset of patients retains residual cardiometabolic risk, as indicated by elevated BRI. HbA1c proved useful for risk stratification, underscoring the need for continuous postoperative monitoring.\n\n\n### OP—020 Metabolic Impact of One-Anastomosis Gastric Bypass on Insulin Resistance\nIntroduction: Obesity is a chronic disease affecting millions of people worldwide. It is associated with conditions such as type 2 diabetes and hypertension and is also linked to insulin resistance (IR), a metabolic imbalance that leads to hyperglycemia. Diagnostic tools such as the Homeostatic Model Assessment (HOMA-IR) and the triglyceride-glucose index (TyG) are commonly used to identify IR. Bariatric surgery, particularly the Roux-en-Y gastric bypass (RYGB), has proven effective in managing obesity and IR. The most recent technique, One Anastomosis Gastric Bypass (OAGB), has also shown promising results, but further studies are still needed. Objective: To evaluate changes in insulin resistance following OAGB and compare them with outcomes in RYGB patients. Methods: A retrospective longitudinal analysis was conducted on 79 patients who underwent OAGB between 2017 and 2023. A control group, submitted to RYGB, was analyzed for comparison. Groups were matched by age, sex, and body mass index (BMI). HOMA-IR and TyG indices were measured pre and postoperatively. The Wilcoxon test for paired non-parametric samples was used for statistical analysis. The study was previously approved by the Comitê de Ética em Pesquisa em Seres Humanos under protocol CAAE 58184516.2.0000.5404, ethical approval no. 3.706.249. Results: The OAGB group consisted of 79 patients, of whom 17 (21.5%) were male and 62 (78.5%) were female. The same distribution applied to the RYGB group due to matching. The median age was 37 years for the OAGB group and 36 years for the RYGB group. HOMA-IR values, assessed pre and postoperatively, showed a statistically significant reduction (p < 0.001), indicating improvement in insulin sensitivity in both groups. Similarly, TyG values also demonstrated significant reduction (p < 0.001), suggesting improved metabolic parameters following surgery with both techniques. Patients submitted to OAGB showed a reduction in median BMI from 44.79 to 37.36 kg/m2, whereas those undergoing RYGB experienced a decrease from 43.46 to 36.14 kg/m2. Conclusion: The findings suggest that the OAGB technique contributes to a reduction in insulin resistance in both sexes. This was demonstrated through significant reductions in HOMA-IR and TyG indices after surgery. Furthermore, the OAGB method proved to be as effective as the conventional Roux-en-Y gastric bypass, supporting its use as a viable surgical alternative.\n\n\n### Martinez, GS1; Felipe David Mendonça Chaim FDM2; Chaim EA2\nIntroduction: Obesity is a chronic disease affecting millions of people worldwide. It is associated with conditions such as type 2 diabetes and hypertension and is also linked to insulin resistance (IR), a metabolic imbalance that leads to hyperglycemia. Diagnostic tools such as the Homeostatic Model Assessment (HOMA-IR) and the triglyceride-glucose index (TyG) are commonly used to identify IR. Bariatric surgery, particularly the Roux-en-Y gastric bypass (RYGB), has proven effective in managing obesity and IR. The most recent technique, One Anastomosis Gastric Bypass (OAGB), has also shown promising results, but further studies are still needed. Objective: To evaluate changes in insulin resistance following OAGB and compare them with outcomes in RYGB patients. Methods: A retrospective longitudinal analysis was conducted on 79 patients who underwent OAGB between 2017 and 2023. A control group, submitted to RYGB, was analyzed for comparison. Groups were matched by age, sex, and body mass index (BMI). HOMA-IR and TyG indices were measured pre and postoperatively. The Wilcoxon test for paired non-parametric samples was used for statistical analysis. The study was previously approved by the Comitê de Ética em Pesquisa em Seres Humanos under protocol CAAE 58184516.2.0000.5404, ethical approval no. 3.706.249. Results: The OAGB group consisted of 79 patients, of whom 17 (21.5%) were male and 62 (78.5%) were female. The same distribution applied to the RYGB group due to matching. The median age was 37 years for the OAGB group and 36 years for the RYGB group. HOMA-IR values, assessed pre and postoperatively, showed a statistically significant reduction (p < 0.001), indicating improvement in insulin sensitivity in both groups. Similarly, TyG values also demonstrated significant reduction (p < 0.001), suggesting improved metabolic parameters following surgery with both techniques. Patients submitted to OAGB showed a reduction in median BMI from 44.79 to 37.36 kg/m2, whereas those undergoing RYGB experienced a decrease from 43.46 to 36.14 kg/m2. Conclusion: The findings suggest that the OAGB technique contributes to a reduction in insulin resistance in both sexes. This was demonstrated through significant reductions in HOMA-IR and TyG indices after surgery. Furthermore, the OAGB method proved to be as effective as the conventional Roux-en-Y gastric bypass, supporting its use as a viable surgical alternative.\n\n\n### (1) Pontifícia Universidade Católica de Campinas, Campinas, SP, Brasil; (2) Universidade Estadual de Campinas, Campinas, SP, Brasil\nIntroduction: Obesity is a chronic disease affecting millions of people worldwide. It is associated with conditions such as type 2 diabetes and hypertension and is also linked to insulin resistance (IR), a metabolic imbalance that leads to hyperglycemia. Diagnostic tools such as the Homeostatic Model Assessment (HOMA-IR) and the triglyceride-glucose index (TyG) are commonly used to identify IR. Bariatric surgery, particularly the Roux-en-Y gastric bypass (RYGB), has proven effective in managing obesity and IR. The most recent technique, One Anastomosis Gastric Bypass (OAGB), has also shown promising results, but further studies are still needed. Objective: To evaluate changes in insulin resistance following OAGB and compare them with outcomes in RYGB patients. Methods: A retrospective longitudinal analysis was conducted on 79 patients who underwent OAGB between 2017 and 2023. A control group, submitted to RYGB, was analyzed for comparison. Groups were matched by age, sex, and body mass index (BMI). HOMA-IR and TyG indices were measured pre and postoperatively. The Wilcoxon test for paired non-parametric samples was used for statistical analysis. The study was previously approved by the Comitê de Ética em Pesquisa em Seres Humanos under protocol CAAE 58184516.2.0000.5404, ethical approval no. 3.706.249. Results: The OAGB group consisted of 79 patients, of whom 17 (21.5%) were male and 62 (78.5%) were female. The same distribution applied to the RYGB group due to matching. The median age was 37 years for the OAGB group and 36 years for the RYGB group. HOMA-IR values, assessed pre and postoperatively, showed a statistically significant reduction (p < 0.001), indicating improvement in insulin sensitivity in both groups. Similarly, TyG values also demonstrated significant reduction (p < 0.001), suggesting improved metabolic parameters following surgery with both techniques. Patients submitted to OAGB showed a reduction in median BMI from 44.79 to 37.36 kg/m2, whereas those undergoing RYGB experienced a decrease from 43.46 to 36.14 kg/m2. Conclusion: The findings suggest that the OAGB technique contributes to a reduction in insulin resistance in both sexes. This was demonstrated through significant reductions in HOMA-IR and TyG indices after surgery. Furthermore, the OAGB method proved to be as effective as the conventional Roux-en-Y gastric bypass, supporting its use as a viable surgical alternative.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—020\nIntroduction: Obesity is a chronic disease affecting millions of people worldwide. It is associated with conditions such as type 2 diabetes and hypertension and is also linked to insulin resistance (IR), a metabolic imbalance that leads to hyperglycemia. Diagnostic tools such as the Homeostatic Model Assessment (HOMA-IR) and the triglyceride-glucose index (TyG) are commonly used to identify IR. Bariatric surgery, particularly the Roux-en-Y gastric bypass (RYGB), has proven effective in managing obesity and IR. The most recent technique, One Anastomosis Gastric Bypass (OAGB), has also shown promising results, but further studies are still needed. Objective: To evaluate changes in insulin resistance following OAGB and compare them with outcomes in RYGB patients. Methods: A retrospective longitudinal analysis was conducted on 79 patients who underwent OAGB between 2017 and 2023. A control group, submitted to RYGB, was analyzed for comparison. Groups were matched by age, sex, and body mass index (BMI). HOMA-IR and TyG indices were measured pre and postoperatively. The Wilcoxon test for paired non-parametric samples was used for statistical analysis. The study was previously approved by the Comitê de Ética em Pesquisa em Seres Humanos under protocol CAAE 58184516.2.0000.5404, ethical approval no. 3.706.249. Results: The OAGB group consisted of 79 patients, of whom 17 (21.5%) were male and 62 (78.5%) were female. The same distribution applied to the RYGB group due to matching. The median age was 37 years for the OAGB group and 36 years for the RYGB group. HOMA-IR values, assessed pre and postoperatively, showed a statistically significant reduction (p < 0.001), indicating improvement in insulin sensitivity in both groups. Similarly, TyG values also demonstrated significant reduction (p < 0.001), suggesting improved metabolic parameters following surgery with both techniques. Patients submitted to OAGB showed a reduction in median BMI from 44.79 to 37.36 kg/m2, whereas those undergoing RYGB experienced a decrease from 43.46 to 36.14 kg/m2. Conclusion: The findings suggest that the OAGB technique contributes to a reduction in insulin resistance in both sexes. This was demonstrated through significant reductions in HOMA-IR and TyG indices after surgery. Furthermore, the OAGB method proved to be as effective as the conventional Roux-en-Y gastric bypass, supporting its use as a viable surgical alternative.\n\n\n### OP—021 Prevalence Of Obesity And Its Association With Paternal Obesity In 2-To-14 Years-Old Offspring Exposed To Gestational Diabetes In Utero: a Retrospective Cohort\nIntroduction: Gestational Diabetes Mellitus (GDM) and maternal obesity are associated with obesity in offspring, but the impact of father’s obesity on the metabolic health of offspring needs more studies. Objective: To evaluate the association of obesity in offspring exposed to GDM in utero with pre-gestational maternal and paternal obesity (BMI ≥ 30kg/m2). Methods: This retrospective cohort study involved 148 children aged 2–14 years, born to mothers with GDM. Data was collected during routine antenatal care and an evaluation of the children were performed 2 to 14 years later. Excessive weight was defined according to WHO criteria. For children ≥ 5 years (n = 88): BMI-Z score ≥  + 2 = obesity; ≥  + 1and <  + 2 = overweight, and for children < 5 years (n = 60): BMI-Z score >  + 3 = obesity; ≥  + 1and <  + 3 = overweight. Offspring’s overweight/obesity was compared by presence of parental pre-gestational obesity. Results: Prevalence of pre-gestational obesity was 49.3% among mothers and 25.7% among fathers. In children aged 2-to-4yrs, overall prevalence of overweight/obesity was 20.0%; being 7.7% when neither parent had obesity, 17.4% when just one parent had the condition and 54.5% when both parents were affected (p = 0.005). Among children aged 5-to-14 yrs, overall prevalence of obesity was 57.0%; 21.2% when neither parent had obesity; 34.1% when one parent was affected; and 63.6% when both parents were affected (p = 0.034). In regression analysis father’s obesity was associated with offspring obesity (OR 8.2 95%CI 2.6 to 25.6, p < 0.001) after adjustments for mother’s age and obesity and gestational weight gain. Conclusion: There is a gradual increase in the prevalence of overweight/obesity among offspring when one or both parents are affected with pre-gestational obesity. Father’s obesity had an influence on children’s overweight/obesity, independent of mother’s characteristics. These results emphasize the significance of addressing pregestational paternal obesity as a potential modifiable risk factor to reduce cardiometabolic risk in offspring exposed to gestational diabetes in uterus. (Supported by FAPESP).\n\n\n### Muradian, MMP1; Dualib, PM2; Spallicci, DG1; Souza, FD1; Abate, MCO1; Micaela Frasson, M1; Jordão, MC1; Dib, SA2; Pititto, BA2\nIntroduction: Gestational Diabetes Mellitus (GDM) and maternal obesity are associated with obesity in offspring, but the impact of father’s obesity on the metabolic health of offspring needs more studies. Objective: To evaluate the association of obesity in offspring exposed to GDM in utero with pre-gestational maternal and paternal obesity (BMI ≥ 30kg/m2). Methods: This retrospective cohort study involved 148 children aged 2–14 years, born to mothers with GDM. Data was collected during routine antenatal care and an evaluation of the children were performed 2 to 14 years later. Excessive weight was defined according to WHO criteria. For children ≥ 5 years (n = 88): BMI-Z score ≥  + 2 = obesity; ≥  + 1and <  + 2 = overweight, and for children < 5 years (n = 60): BMI-Z score >  + 3 = obesity; ≥  + 1and <  + 3 = overweight. Offspring’s overweight/obesity was compared by presence of parental pre-gestational obesity. Results: Prevalence of pre-gestational obesity was 49.3% among mothers and 25.7% among fathers. In children aged 2-to-4yrs, overall prevalence of overweight/obesity was 20.0%; being 7.7% when neither parent had obesity, 17.4% when just one parent had the condition and 54.5% when both parents were affected (p = 0.005). Among children aged 5-to-14 yrs, overall prevalence of obesity was 57.0%; 21.2% when neither parent had obesity; 34.1% when one parent was affected; and 63.6% when both parents were affected (p = 0.034). In regression analysis father’s obesity was associated with offspring obesity (OR 8.2 95%CI 2.6 to 25.6, p < 0.001) after adjustments for mother’s age and obesity and gestational weight gain. Conclusion: There is a gradual increase in the prevalence of overweight/obesity among offspring when one or both parents are affected with pre-gestational obesity. Father’s obesity had an influence on children’s overweight/obesity, independent of mother’s characteristics. These results emphasize the significance of addressing pregestational paternal obesity as a potential modifiable risk factor to reduce cardiometabolic risk in offspring exposed to gestational diabetes in uterus. (Supported by FAPESP).\n\n\n### (1) Faculdade de Medicina do ABC; Programa de Pós-Graduação em Endocrinologia e Metabologia, (2) Escola Paulista de Medicina, Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: Gestational Diabetes Mellitus (GDM) and maternal obesity are associated with obesity in offspring, but the impact of father’s obesity on the metabolic health of offspring needs more studies. Objective: To evaluate the association of obesity in offspring exposed to GDM in utero with pre-gestational maternal and paternal obesity (BMI ≥ 30kg/m2). Methods: This retrospective cohort study involved 148 children aged 2–14 years, born to mothers with GDM. Data was collected during routine antenatal care and an evaluation of the children were performed 2 to 14 years later. Excessive weight was defined according to WHO criteria. For children ≥ 5 years (n = 88): BMI-Z score ≥  + 2 = obesity; ≥  + 1and <  + 2 = overweight, and for children < 5 years (n = 60): BMI-Z score >  + 3 = obesity; ≥  + 1and <  + 3 = overweight. Offspring’s overweight/obesity was compared by presence of parental pre-gestational obesity. Results: Prevalence of pre-gestational obesity was 49.3% among mothers and 25.7% among fathers. In children aged 2-to-4yrs, overall prevalence of overweight/obesity was 20.0%; being 7.7% when neither parent had obesity, 17.4% when just one parent had the condition and 54.5% when both parents were affected (p = 0.005). Among children aged 5-to-14 yrs, overall prevalence of obesity was 57.0%; 21.2% when neither parent had obesity; 34.1% when one parent was affected; and 63.6% when both parents were affected (p = 0.034). In regression analysis father’s obesity was associated with offspring obesity (OR 8.2 95%CI 2.6 to 25.6, p < 0.001) after adjustments for mother’s age and obesity and gestational weight gain. Conclusion: There is a gradual increase in the prevalence of overweight/obesity among offspring when one or both parents are affected with pre-gestational obesity. Father’s obesity had an influence on children’s overweight/obesity, independent of mother’s characteristics. These results emphasize the significance of addressing pregestational paternal obesity as a potential modifiable risk factor to reduce cardiometabolic risk in offspring exposed to gestational diabetes in uterus. (Supported by FAPESP).\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—021\nIntroduction: Gestational Diabetes Mellitus (GDM) and maternal obesity are associated with obesity in offspring, but the impact of father’s obesity on the metabolic health of offspring needs more studies. Objective: To evaluate the association of obesity in offspring exposed to GDM in utero with pre-gestational maternal and paternal obesity (BMI ≥ 30kg/m2). Methods: This retrospective cohort study involved 148 children aged 2–14 years, born to mothers with GDM. Data was collected during routine antenatal care and an evaluation of the children were performed 2 to 14 years later. Excessive weight was defined according to WHO criteria. For children ≥ 5 years (n = 88): BMI-Z score ≥  + 2 = obesity; ≥  + 1and <  + 2 = overweight, and for children < 5 years (n = 60): BMI-Z score >  + 3 = obesity; ≥  + 1and <  + 3 = overweight. Offspring’s overweight/obesity was compared by presence of parental pre-gestational obesity. Results: Prevalence of pre-gestational obesity was 49.3% among mothers and 25.7% among fathers. In children aged 2-to-4yrs, overall prevalence of overweight/obesity was 20.0%; being 7.7% when neither parent had obesity, 17.4% when just one parent had the condition and 54.5% when both parents were affected (p = 0.005). Among children aged 5-to-14 yrs, overall prevalence of obesity was 57.0%; 21.2% when neither parent had obesity; 34.1% when one parent was affected; and 63.6% when both parents were affected (p = 0.034). In regression analysis father’s obesity was associated with offspring obesity (OR 8.2 95%CI 2.6 to 25.6, p < 0.001) after adjustments for mother’s age and obesity and gestational weight gain. Conclusion: There is a gradual increase in the prevalence of overweight/obesity among offspring when one or both parents are affected with pre-gestational obesity. Father’s obesity had an influence on children’s overweight/obesity, independent of mother’s characteristics. These results emphasize the significance of addressing pregestational paternal obesity as a potential modifiable risk factor to reduce cardiometabolic risk in offspring exposed to gestational diabetes in uterus. (Supported by FAPESP).\n\n\n### OP—022 A Pilot Randomized Trial Of a Brazilian Diabetes Prevention Program Targeting Lifestyle Changes In High-Risk Individuals\nIntroduction: Type 2 diabetes (T2D) is increasing globally. Prediabetes, a major risk factor, is often undiagnosed and untreated. While many countries have effective national prevention programs, Brazil, despite having public policies and educational materials aligned with diabetes prevention, lacks structured implementation—highlighting the importance of this study. Objective: To evaluate the pilot Brazilian Diabetes Prevention Program (PROVEN-DIA) in improving diet quality and average physical activity time among individuals at high risk of developing T2D. Methods: In this multicenter pilot RCT, adults at high risk for T2D were randomized to an intervention or usual-care control group and followed for three months. Both groups were encouraged to improve their diet and physical activity through the same educational content, but the intervention group received it within a structured, personalized lifestyle program with regular follow-ups. Outcomes included diet quality, assessed by the Diet Quality Index Revised for the Brazilian Population (DQIR—score ranges from 0 to 100, with higher scores indicating better overall dietary quality), and weekly time spent in moderate to vigorous physical activity (MVPA). We employed a mixed-effects regression model with fixed effects for group, time, and their interaction, and adjusted for sex and research center. Results: The sample consisted of 220 participants with a mean (standard deviation) age of 48.7 (9.6) years, and women predominated (71.8%). Diet quality improved significantly in the intervention group, as reflected by higher DQIR scores (< 0.001). The intervention group increased from 62.9 (14.4) to 67.5 (14.4), while the control group decreased from 65.2 (14.54) to 62.6 (14.7). The gain in DQIR was mainly attributable to greater vegetable consumption (p = 0.014) and reductions in total saturated fat (p = 0.003) and added sugar intake (p = 0.032). These qualitative dietary improvements occurred without significant differences between groups in total energy intake or overall macronutrient distribution. No significant differences were observed between groups for weekly time spent in MVPA (p = 0.70). Conclusion: This pilot version of the Proven-Dia program showed promise for improving diet quality. However, strategies for promoting physical activity should be revisited to enhance the program’s overall benefits. Further research through a large-scale effectiveness trial is warranted to inform nationwide implementation.\n\n\n### Pagano R1; Ostolin TLVP1; Fonseca DC1; Marcadenti A2; Carvalho APPF3; Weber B1; Dalto C4; Lara E5; Noleto FCM6; Bressan J7; de Almeida JC8; Machado MMA9; Rogero MM10; Koller OG11; Soares RCS12; Pinto SL6; Sahade V13; Oliveira CZ1; Marcelino GW1; Trevisan CM1; Bersh-ferreira AC1\nIntroduction: Type 2 diabetes (T2D) is increasing globally. Prediabetes, a major risk factor, is often undiagnosed and untreated. While many countries have effective national prevention programs, Brazil, despite having public policies and educational materials aligned with diabetes prevention, lacks structured implementation—highlighting the importance of this study. Objective: To evaluate the pilot Brazilian Diabetes Prevention Program (PROVEN-DIA) in improving diet quality and average physical activity time among individuals at high risk of developing T2D. Methods: In this multicenter pilot RCT, adults at high risk for T2D were randomized to an intervention or usual-care control group and followed for three months. Both groups were encouraged to improve their diet and physical activity through the same educational content, but the intervention group received it within a structured, personalized lifestyle program with regular follow-ups. Outcomes included diet quality, assessed by the Diet Quality Index Revised for the Brazilian Population (DQIR—score ranges from 0 to 100, with higher scores indicating better overall dietary quality), and weekly time spent in moderate to vigorous physical activity (MVPA). We employed a mixed-effects regression model with fixed effects for group, time, and their interaction, and adjusted for sex and research center. Results: The sample consisted of 220 participants with a mean (standard deviation) age of 48.7 (9.6) years, and women predominated (71.8%). Diet quality improved significantly in the intervention group, as reflected by higher DQIR scores (< 0.001). The intervention group increased from 62.9 (14.4) to 67.5 (14.4), while the control group decreased from 65.2 (14.54) to 62.6 (14.7). The gain in DQIR was mainly attributable to greater vegetable consumption (p = 0.014) and reductions in total saturated fat (p = 0.003) and added sugar intake (p = 0.032). These qualitative dietary improvements occurred without significant differences between groups in total energy intake or overall macronutrient distribution. No significant differences were observed between groups for weekly time spent in MVPA (p = 0.70). Conclusion: This pilot version of the Proven-Dia program showed promise for improving diet quality. However, strategies for promoting physical activity should be revisited to enhance the program’s overall benefits. Further research through a large-scale effectiveness trial is warranted to inform nationwide implementation.\n\n\n### (1) Beneficência Portuguesa de São Paulo- São Paulo, SP, Brasil; (2) Hcor Research Institute, São Paulo, SP, Brasil; (3) Unidade de Hipertensão Arterial, Hospital das Clínicas da Universidade Federal de Goiás, Goiânia, GO, Brasil; (4) Departamento Ciência da Nutrição, Escola de Nutrição, Salvador, BA, Brasil; (5) Independent Researcher, São Paulo, SP, Brasil; (6) Programa de Pós Graduação em Ciências da Saúde, Curso de Nutrição-Universidade Federal do Tocantins, Palmas, TO, Brasil; (7) Graduate Program in Nutrition Science, Department of Health and Nutrition, Universidade Federal de Viçosa, Viçosa, MG, Brasil; (8) Departamento de Nutrição- Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (9) Unidade de Hipertensão Arterial, Hospital das Clínicas da Universidade Federal de Goiás, Goiânia, GO, Brasil; (10) Department of Nutrition, School of Public Health, University of São Paulo, São Paulo, SP, Brasil; (11) Programa de Pós Graduação em Alimentação, Nutrição e Saude, Programa de Pós Graduação em Ciências Médicas: Endocrinologia, Universidade Federal do Rio Grande do Sul, vPorto Alegre, RS, Brasil; (12) Department of Health and Nutrition, Universidade Federal de Viçosa, Viçosa, MG, Brasil; (13) Departamento Ciência da Nutrição, Escola de Nutrição, Universidade Federal da Bahia, Salvador, BA, Brasil\nIntroduction: Type 2 diabetes (T2D) is increasing globally. Prediabetes, a major risk factor, is often undiagnosed and untreated. While many countries have effective national prevention programs, Brazil, despite having public policies and educational materials aligned with diabetes prevention, lacks structured implementation—highlighting the importance of this study. Objective: To evaluate the pilot Brazilian Diabetes Prevention Program (PROVEN-DIA) in improving diet quality and average physical activity time among individuals at high risk of developing T2D. Methods: In this multicenter pilot RCT, adults at high risk for T2D were randomized to an intervention or usual-care control group and followed for three months. Both groups were encouraged to improve their diet and physical activity through the same educational content, but the intervention group received it within a structured, personalized lifestyle program with regular follow-ups. Outcomes included diet quality, assessed by the Diet Quality Index Revised for the Brazilian Population (DQIR—score ranges from 0 to 100, with higher scores indicating better overall dietary quality), and weekly time spent in moderate to vigorous physical activity (MVPA). We employed a mixed-effects regression model with fixed effects for group, time, and their interaction, and adjusted for sex and research center. Results: The sample consisted of 220 participants with a mean (standard deviation) age of 48.7 (9.6) years, and women predominated (71.8%). Diet quality improved significantly in the intervention group, as reflected by higher DQIR scores (< 0.001). The intervention group increased from 62.9 (14.4) to 67.5 (14.4), while the control group decreased from 65.2 (14.54) to 62.6 (14.7). The gain in DQIR was mainly attributable to greater vegetable consumption (p = 0.014) and reductions in total saturated fat (p = 0.003) and added sugar intake (p = 0.032). These qualitative dietary improvements occurred without significant differences between groups in total energy intake or overall macronutrient distribution. No significant differences were observed between groups for weekly time spent in MVPA (p = 0.70). Conclusion: This pilot version of the Proven-Dia program showed promise for improving diet quality. However, strategies for promoting physical activity should be revisited to enhance the program’s overall benefits. Further research through a large-scale effectiveness trial is warranted to inform nationwide implementation.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—022\nIntroduction: Type 2 diabetes (T2D) is increasing globally. Prediabetes, a major risk factor, is often undiagnosed and untreated. While many countries have effective national prevention programs, Brazil, despite having public policies and educational materials aligned with diabetes prevention, lacks structured implementation—highlighting the importance of this study. Objective: To evaluate the pilot Brazilian Diabetes Prevention Program (PROVEN-DIA) in improving diet quality and average physical activity time among individuals at high risk of developing T2D. Methods: In this multicenter pilot RCT, adults at high risk for T2D were randomized to an intervention or usual-care control group and followed for three months. Both groups were encouraged to improve their diet and physical activity through the same educational content, but the intervention group received it within a structured, personalized lifestyle program with regular follow-ups. Outcomes included diet quality, assessed by the Diet Quality Index Revised for the Brazilian Population (DQIR—score ranges from 0 to 100, with higher scores indicating better overall dietary quality), and weekly time spent in moderate to vigorous physical activity (MVPA). We employed a mixed-effects regression model with fixed effects for group, time, and their interaction, and adjusted for sex and research center. Results: The sample consisted of 220 participants with a mean (standard deviation) age of 48.7 (9.6) years, and women predominated (71.8%). Diet quality improved significantly in the intervention group, as reflected by higher DQIR scores (< 0.001). The intervention group increased from 62.9 (14.4) to 67.5 (14.4), while the control group decreased from 65.2 (14.54) to 62.6 (14.7). The gain in DQIR was mainly attributable to greater vegetable consumption (p = 0.014) and reductions in total saturated fat (p = 0.003) and added sugar intake (p = 0.032). These qualitative dietary improvements occurred without significant differences between groups in total energy intake or overall macronutrient distribution. No significant differences were observed between groups for weekly time spent in MVPA (p = 0.70). Conclusion: This pilot version of the Proven-Dia program showed promise for improving diet quality. However, strategies for promoting physical activity should be revisited to enhance the program’s overall benefits. Further research through a large-scale effectiveness trial is warranted to inform nationwide implementation.\n\n\n### OP—023 Identification of Distinct Molecular Chronotypes in Pancreatic Islet (Langerhans) Cells and Their Clinical and Pharmacological Relevance to the Understanding And Treatment of Type 2 Diabetes (T2D)\nIntroduction: Chronotypes are profiles that reflect the preferred phase of the circadian clock (the ~ 24-h biological timer), shaping peaks of hormone secretion and metabolism. In pancreatic islets, hormones are secreted in opposite phases; however, whether distinct cellular chronotypes exist in the human endocrine pancreas and how they relate to type 2 diabetes (T2D) has not been established. Objective: To characterize cellular chronotypes in human islets from normoglycemic (ND) and T2D donors. Methods: We analyzed gene expression from the IMIDIA biobank (GSE76896) in islets from 68 donors (ND = 32; T2D = 36). Sampling times were reconstructed with CIRCUST, and circadian rhythmicity was estimated with the Frequency Modulated Möbius (FMM) model (R; PMIDs 37,769,026 and 31,822,685), considering genes rhythmic if R2 ≥ 0.5. Cell-type deconvolution used PSEA.jar (PMID 26955841) and C8 signatures from MSigDB. Group means were compared by Student’s t test. For clinical applications, we mapped our genes to drug targets using the Therapeutic Target Database and DrugBank. Results: Distinct cellular chronotypes emerged: endocrine cells (alpha, beta, delta) were predominantly diurnal, whereas mesenchymal and endothelial compartments were nocturnal. In T2D there was a global phase delay and increased dispersion: mesenchymal 4.78 ± 0.86 h (ND) → 16.22 ± 4.74 h (Δ =  + 11.44 h) and endothelial 4.83 ± 0.87 h → 13.27 ± 5.77 h (Δ =  + 8.44 h); the standard deviation of peak times rose across compartments (e.g., mesenchymal 0.86 → 4.74 h; endothelial 0.87 → 5.77 h; alpha 3.89 → 7.92 h; beta 4.18 → 5.81 h). Mean R2 declined from ~ 0.48–0.52 (ND) to ~ 0.25–0.26 (T2D; p ≤ 10⁻13), indicating cellular arrhythmicity and collapse of the day–night structure, consistent with altered rhythms of hormones and receptors (decreases: insulin and pancreatic polypeptide, − 1.6; increases: glucagon, + 1.3, and somatostatin receptor 2 [SSTR2], + 1.5). Pharmacological screening highlighted targets with altered circadian expression, particularly among drugs for glycemic control (51%) and diabetic neuropathy (18%). Conclusion:: We demonstrate, for the first time, distinct chronotypes in human islet cells and their impairment in T2D, characterized by phase delay and desynchronization. These findings suggest mechanistic underpinnings of the pathophysiology and support further chronopharmacology studies (timing/dose adjustments) aimed at optimizing glycemic control.\n\n\n### Sá, LGS1; Menezes, MCD1; Migue, RDS1; Figueiredo, DS1\nIntroduction: Chronotypes are profiles that reflect the preferred phase of the circadian clock (the ~ 24-h biological timer), shaping peaks of hormone secretion and metabolism. In pancreatic islets, hormones are secreted in opposite phases; however, whether distinct cellular chronotypes exist in the human endocrine pancreas and how they relate to type 2 diabetes (T2D) has not been established. Objective: To characterize cellular chronotypes in human islets from normoglycemic (ND) and T2D donors. Methods: We analyzed gene expression from the IMIDIA biobank (GSE76896) in islets from 68 donors (ND = 32; T2D = 36). Sampling times were reconstructed with CIRCUST, and circadian rhythmicity was estimated with the Frequency Modulated Möbius (FMM) model (R; PMIDs 37,769,026 and 31,822,685), considering genes rhythmic if R2 ≥ 0.5. Cell-type deconvolution used PSEA.jar (PMID 26955841) and C8 signatures from MSigDB. Group means were compared by Student’s t test. For clinical applications, we mapped our genes to drug targets using the Therapeutic Target Database and DrugBank. Results: Distinct cellular chronotypes emerged: endocrine cells (alpha, beta, delta) were predominantly diurnal, whereas mesenchymal and endothelial compartments were nocturnal. In T2D there was a global phase delay and increased dispersion: mesenchymal 4.78 ± 0.86 h (ND) → 16.22 ± 4.74 h (Δ =  + 11.44 h) and endothelial 4.83 ± 0.87 h → 13.27 ± 5.77 h (Δ =  + 8.44 h); the standard deviation of peak times rose across compartments (e.g., mesenchymal 0.86 → 4.74 h; endothelial 0.87 → 5.77 h; alpha 3.89 → 7.92 h; beta 4.18 → 5.81 h). Mean R2 declined from ~ 0.48–0.52 (ND) to ~ 0.25–0.26 (T2D; p ≤ 10⁻13), indicating cellular arrhythmicity and collapse of the day–night structure, consistent with altered rhythms of hormones and receptors (decreases: insulin and pancreatic polypeptide, − 1.6; increases: glucagon, + 1.3, and somatostatin receptor 2 [SSTR2], + 1.5). Pharmacological screening highlighted targets with altered circadian expression, particularly among drugs for glycemic control (51%) and diabetic neuropathy (18%). Conclusion:: We demonstrate, for the first time, distinct chronotypes in human islet cells and their impairment in T2D, characterized by phase delay and desynchronization. These findings suggest mechanistic underpinnings of the pathophysiology and support further chronopharmacology studies (timing/dose adjustments) aimed at optimizing glycemic control.\n\n\n### (1) Faculty of Medicine, Federal University of Alagoas, Arapiraca Campus — Laboratory of Morphofunctional Research, Arapiraca, AL, Brasil\nIntroduction: Chronotypes are profiles that reflect the preferred phase of the circadian clock (the ~ 24-h biological timer), shaping peaks of hormone secretion and metabolism. In pancreatic islets, hormones are secreted in opposite phases; however, whether distinct cellular chronotypes exist in the human endocrine pancreas and how they relate to type 2 diabetes (T2D) has not been established. Objective: To characterize cellular chronotypes in human islets from normoglycemic (ND) and T2D donors. Methods: We analyzed gene expression from the IMIDIA biobank (GSE76896) in islets from 68 donors (ND = 32; T2D = 36). Sampling times were reconstructed with CIRCUST, and circadian rhythmicity was estimated with the Frequency Modulated Möbius (FMM) model (R; PMIDs 37,769,026 and 31,822,685), considering genes rhythmic if R2 ≥ 0.5. Cell-type deconvolution used PSEA.jar (PMID 26955841) and C8 signatures from MSigDB. Group means were compared by Student’s t test. For clinical applications, we mapped our genes to drug targets using the Therapeutic Target Database and DrugBank. Results: Distinct cellular chronotypes emerged: endocrine cells (alpha, beta, delta) were predominantly diurnal, whereas mesenchymal and endothelial compartments were nocturnal. In T2D there was a global phase delay and increased dispersion: mesenchymal 4.78 ± 0.86 h (ND) → 16.22 ± 4.74 h (Δ =  + 11.44 h) and endothelial 4.83 ± 0.87 h → 13.27 ± 5.77 h (Δ =  + 8.44 h); the standard deviation of peak times rose across compartments (e.g., mesenchymal 0.86 → 4.74 h; endothelial 0.87 → 5.77 h; alpha 3.89 → 7.92 h; beta 4.18 → 5.81 h). Mean R2 declined from ~ 0.48–0.52 (ND) to ~ 0.25–0.26 (T2D; p ≤ 10⁻13), indicating cellular arrhythmicity and collapse of the day–night structure, consistent with altered rhythms of hormones and receptors (decreases: insulin and pancreatic polypeptide, − 1.6; increases: glucagon, + 1.3, and somatostatin receptor 2 [SSTR2], + 1.5). Pharmacological screening highlighted targets with altered circadian expression, particularly among drugs for glycemic control (51%) and diabetic neuropathy (18%). Conclusion:: We demonstrate, for the first time, distinct chronotypes in human islet cells and their impairment in T2D, characterized by phase delay and desynchronization. These findings suggest mechanistic underpinnings of the pathophysiology and support further chronopharmacology studies (timing/dose adjustments) aimed at optimizing glycemic control.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—023\nIntroduction: Chronotypes are profiles that reflect the preferred phase of the circadian clock (the ~ 24-h biological timer), shaping peaks of hormone secretion and metabolism. In pancreatic islets, hormones are secreted in opposite phases; however, whether distinct cellular chronotypes exist in the human endocrine pancreas and how they relate to type 2 diabetes (T2D) has not been established. Objective: To characterize cellular chronotypes in human islets from normoglycemic (ND) and T2D donors. Methods: We analyzed gene expression from the IMIDIA biobank (GSE76896) in islets from 68 donors (ND = 32; T2D = 36). Sampling times were reconstructed with CIRCUST, and circadian rhythmicity was estimated with the Frequency Modulated Möbius (FMM) model (R; PMIDs 37,769,026 and 31,822,685), considering genes rhythmic if R2 ≥ 0.5. Cell-type deconvolution used PSEA.jar (PMID 26955841) and C8 signatures from MSigDB. Group means were compared by Student’s t test. For clinical applications, we mapped our genes to drug targets using the Therapeutic Target Database and DrugBank. Results: Distinct cellular chronotypes emerged: endocrine cells (alpha, beta, delta) were predominantly diurnal, whereas mesenchymal and endothelial compartments were nocturnal. In T2D there was a global phase delay and increased dispersion: mesenchymal 4.78 ± 0.86 h (ND) → 16.22 ± 4.74 h (Δ =  + 11.44 h) and endothelial 4.83 ± 0.87 h → 13.27 ± 5.77 h (Δ =  + 8.44 h); the standard deviation of peak times rose across compartments (e.g., mesenchymal 0.86 → 4.74 h; endothelial 0.87 → 5.77 h; alpha 3.89 → 7.92 h; beta 4.18 → 5.81 h). Mean R2 declined from ~ 0.48–0.52 (ND) to ~ 0.25–0.26 (T2D; p ≤ 10⁻13), indicating cellular arrhythmicity and collapse of the day–night structure, consistent with altered rhythms of hormones and receptors (decreases: insulin and pancreatic polypeptide, − 1.6; increases: glucagon, + 1.3, and somatostatin receptor 2 [SSTR2], + 1.5). Pharmacological screening highlighted targets with altered circadian expression, particularly among drugs for glycemic control (51%) and diabetic neuropathy (18%). Conclusion:: We demonstrate, for the first time, distinct chronotypes in human islet cells and their impairment in T2D, characterized by phase delay and desynchronization. These findings suggest mechanistic underpinnings of the pathophysiology and support further chronopharmacology studies (timing/dose adjustments) aimed at optimizing glycemic control.\n\n\n### OP—024 Responses Of Moderate-Intensity Aerobic Training On Interleukin-6 Expression In Adipose And Muscle Tissue Of Obese Mice\nIntroduction: Obesity is characterized by a low-grade inflammatory state, associated with increased production of pro-inflammatory cytokines, which may contribute to the development of insulin resistance. Interleukin-6 (IL-6) activity varies depending on the tissue in which it is expressed: when produced by adipose tissue, it contributes to insulin resistance; when produced by skeletal muscle during exercise, it acts as a myokine, exerting anti-inflammatory effects. Objective: The aim of this study was to analyze the response of moderate-intensity aerobic training on IL-6 expression in adipose and muscle tissue of obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese Moderate Aerobic Group (OMAG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 h, with four 30-min bouts interspersed with 5-min rest intervals. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IL-6 expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of IL-6 expression in adipose tissue revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 10,188.07 ± 332.10 vs. OMAG 3,077.05 ± 606.49, p = 0.00). In muscle tissue, IL-6 expression was significantly higher in OMAG compared with OSG (OMAG 19,199.50 ± 125.64 vs. OSG 13,886.00 ± 525.35, p = 0.00). Conclusion: Moderate-intensity aerobic training significantly reduced IL-6 expression in adipose tissue of obese mice. In muscle tissue, the MIATP protocol increased IL-6 expression, likely reflecting its function as an anti-inflammatory and metabolic myokine. These findings suggest that moderate-intensity aerobic training may be effective in modulating inflammation under conditions of obesity.\n\n\n### Ribeiro, JNS1; Ribeiro, PLBS2; Junior, FFL2; Vieira, AM3; Cruz, PWS4; Vasconcelos, AR5; Soares, AHG1; Valente, VJMBS1; Vancea, DMM4; Carvalho, BM6\nIntroduction: Obesity is characterized by a low-grade inflammatory state, associated with increased production of pro-inflammatory cytokines, which may contribute to the development of insulin resistance. Interleukin-6 (IL-6) activity varies depending on the tissue in which it is expressed: when produced by adipose tissue, it contributes to insulin resistance; when produced by skeletal muscle during exercise, it acts as a myokine, exerting anti-inflammatory effects. Objective: The aim of this study was to analyze the response of moderate-intensity aerobic training on IL-6 expression in adipose and muscle tissue of obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese Moderate Aerobic Group (OMAG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 h, with four 30-min bouts interspersed with 5-min rest intervals. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IL-6 expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of IL-6 expression in adipose tissue revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 10,188.07 ± 332.10 vs. OMAG 3,077.05 ± 606.49, p = 0.00). In muscle tissue, IL-6 expression was significantly higher in OMAG compared with OSG (OMAG 19,199.50 ± 125.64 vs. OSG 13,886.00 ± 525.35, p = 0.00). Conclusion: Moderate-intensity aerobic training significantly reduced IL-6 expression in adipose tissue of obese mice. In muscle tissue, the MIATP protocol increased IL-6 expression, likely reflecting its function as an anti-inflammatory and metabolic myokine. These findings suggest that moderate-intensity aerobic training may be effective in modulating inflammation under conditions of obesity.\n\n\n### (1) Faculdade Pernambucana de Saúde, Recife, PE, Brasil; (2) Programa de Pós Graduação em Biologia Celular e Molecular Aplicada- Universidade de Pernambuco, Recife, PE, Brasil; (3) Laboratório de Imunometabolismo-Universidade de Pernambuco, Recife, PE, Brasil; (4) Escola Superior de Educação Física- Universidade de Pernambuco, Recife, PE, Brasil; (5) Programa de Pós Graduação em Reabilitação e Desempenho Funcional-Universidade de Pernambuco, Petrolina, PE, Brasil; (6) Instituto de Ciências Biológicas, Recife, PE, Brasil\nIntroduction: Obesity is characterized by a low-grade inflammatory state, associated with increased production of pro-inflammatory cytokines, which may contribute to the development of insulin resistance. Interleukin-6 (IL-6) activity varies depending on the tissue in which it is expressed: when produced by adipose tissue, it contributes to insulin resistance; when produced by skeletal muscle during exercise, it acts as a myokine, exerting anti-inflammatory effects. Objective: The aim of this study was to analyze the response of moderate-intensity aerobic training on IL-6 expression in adipose and muscle tissue of obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese Moderate Aerobic Group (OMAG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 h, with four 30-min bouts interspersed with 5-min rest intervals. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IL-6 expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of IL-6 expression in adipose tissue revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 10,188.07 ± 332.10 vs. OMAG 3,077.05 ± 606.49, p = 0.00). In muscle tissue, IL-6 expression was significantly higher in OMAG compared with OSG (OMAG 19,199.50 ± 125.64 vs. OSG 13,886.00 ± 525.35, p = 0.00). Conclusion: Moderate-intensity aerobic training significantly reduced IL-6 expression in adipose tissue of obese mice. In muscle tissue, the MIATP protocol increased IL-6 expression, likely reflecting its function as an anti-inflammatory and metabolic myokine. These findings suggest that moderate-intensity aerobic training may be effective in modulating inflammation under conditions of obesity.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—024\nIntroduction: Obesity is characterized by a low-grade inflammatory state, associated with increased production of pro-inflammatory cytokines, which may contribute to the development of insulin resistance. Interleukin-6 (IL-6) activity varies depending on the tissue in which it is expressed: when produced by adipose tissue, it contributes to insulin resistance; when produced by skeletal muscle during exercise, it acts as a myokine, exerting anti-inflammatory effects. Objective: The aim of this study was to analyze the response of moderate-intensity aerobic training on IL-6 expression in adipose and muscle tissue of obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese Moderate Aerobic Group (OMAG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 h, with four 30-min bouts interspersed with 5-min rest intervals. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IL-6 expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of IL-6 expression in adipose tissue revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 10,188.07 ± 332.10 vs. OMAG 3,077.05 ± 606.49, p = 0.00). In muscle tissue, IL-6 expression was significantly higher in OMAG compared with OSG (OMAG 19,199.50 ± 125.64 vs. OSG 13,886.00 ± 525.35, p = 0.00). Conclusion: Moderate-intensity aerobic training significantly reduced IL-6 expression in adipose tissue of obese mice. In muscle tissue, the MIATP protocol increased IL-6 expression, likely reflecting its function as an anti-inflammatory and metabolic myokine. These findings suggest that moderate-intensity aerobic training may be effective in modulating inflammation under conditions of obesity.\n\n\n### OP—025 A LightGBM-Powered Chatbot for Real-Time Hypoglycemia Prediction in Type 1 Diabetes: A Machine Learning Approach\nIntroduction: Hypoglycemia affects most people with type 1 diabetes (T1D), yet current continuous glucose monitoring (CGM) systems lack reliable prediction capabilities. Machine learning offers an innovative approach to anticipate hypoglycemia using real-world CGM data. Objective: To develop a machine learning-powered chatbot integrating CGM data for hypoglycemia prediction in T1D management. Methods: We designed a chatbot integrated with a message app, powered by a LightGBM model capable of predicting hypoglycemia at 15-, 30-, 45-, and 60-min horizons. The system automatically alerts users when hypoglycemia (glucose < 70 mg/dL) is predicted. The model was trained exclusively on CGM data from 38 participants with T1D participants followed monthly for five months, without manual input. Results: Participants had a mean age of 23.66 ± 12.15 years, 67% were women, with a mean duration of diabetes of 10.2 years, a mean total daily insulin dose of 0.87 IU/kg (45.2% basal), mean glycated hemoglobin (A1c) 9,3 ± 1,7%. The LightGBM outperformed comparative models (including XGBoost), achieving 86.2% accuracy and 99.1% specificity for hypoglycemia prediction. Prediction was most accurate at 15-min horizons and during rapid glucose declines. Consistent CGM data (fewer interruptions and pseudohypoglycemias) and frequent hypoglycemia episodes further improved predictions. The chatbot interface was integrated into a mobile messaging platform, where it automatically generates hypoglycemia alerts (< 70 mg/dL) with 15-, 30-, 45-, and 60-min prediction horizons based on real-time CGM data, displaying both glucose values and recommended interventions without requiring manual user input, as shown in Fig. 1. Conclusion: The LightGBM-based chatbot demonstrated high specificity and accuracy in hypoglycemia prediction, particularly within a 15-min horizon and during rapid glucose excursions. Performance improved in users with consistent CGM data. While this machine-learning-driven approach shows promise for reducing hypoglycemia risk, further validation is needed.Figure 1 (abstract OP—025) The messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\nThe messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\n\n\n### Martins, LM1; Quentino, JF2; Lima, LPS1; Freitas, JPA1; Machado, MLP, MLP3; Monteiro, NC4; Gama, FG5; Silva, VDS5; Silva, DG5; Varela, MG3; Santana, NO4; Godoy, CAP1\nIntroduction: Hypoglycemia affects most people with type 1 diabetes (T1D), yet current continuous glucose monitoring (CGM) systems lack reliable prediction capabilities. Machine learning offers an innovative approach to anticipate hypoglycemia using real-world CGM data. Objective: To develop a machine learning-powered chatbot integrating CGM data for hypoglycemia prediction in T1D management. Methods: We designed a chatbot integrated with a message app, powered by a LightGBM model capable of predicting hypoglycemia at 15-, 30-, 45-, and 60-min horizons. The system automatically alerts users when hypoglycemia (glucose < 70 mg/dL) is predicted. The model was trained exclusively on CGM data from 38 participants with T1D participants followed monthly for five months, without manual input. Results: Participants had a mean age of 23.66 ± 12.15 years, 67% were women, with a mean duration of diabetes of 10.2 years, a mean total daily insulin dose of 0.87 IU/kg (45.2% basal), mean glycated hemoglobin (A1c) 9,3 ± 1,7%. The LightGBM outperformed comparative models (including XGBoost), achieving 86.2% accuracy and 99.1% specificity for hypoglycemia prediction. Prediction was most accurate at 15-min horizons and during rapid glucose declines. Consistent CGM data (fewer interruptions and pseudohypoglycemias) and frequent hypoglycemia episodes further improved predictions. The chatbot interface was integrated into a mobile messaging platform, where it automatically generates hypoglycemia alerts (< 70 mg/dL) with 15-, 30-, 45-, and 60-min prediction horizons based on real-time CGM data, displaying both glucose values and recommended interventions without requiring manual user input, as shown in Fig. 1. Conclusion: The LightGBM-based chatbot demonstrated high specificity and accuracy in hypoglycemia prediction, particularly within a 15-min horizon and during rapid glucose excursions. Performance improved in users with consistent CGM data. While this machine-learning-driven approach shows promise for reducing hypoglycemia risk, further validation is needed.Figure 1 (abstract OP—025) The messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\nThe messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\n\n\n### (1) Department of Medicine, Federal University of Sergipe, Aracaju, SE, Brasil; (2) Department of Computation, Federal University of Sergipe, São Cristóvão, SE, Brasil; (3) Private practice, Aracaju, SE, Brasil; (4) Post-graduate Program in Health Sciences, Federal University of Sergipe, Aracaju, SE, Brasil; (5) Departament of Nutrition, Federal University of Sergipe, São Cristóvão, SE, Brasil\nIntroduction: Hypoglycemia affects most people with type 1 diabetes (T1D), yet current continuous glucose monitoring (CGM) systems lack reliable prediction capabilities. Machine learning offers an innovative approach to anticipate hypoglycemia using real-world CGM data. Objective: To develop a machine learning-powered chatbot integrating CGM data for hypoglycemia prediction in T1D management. Methods: We designed a chatbot integrated with a message app, powered by a LightGBM model capable of predicting hypoglycemia at 15-, 30-, 45-, and 60-min horizons. The system automatically alerts users when hypoglycemia (glucose < 70 mg/dL) is predicted. The model was trained exclusively on CGM data from 38 participants with T1D participants followed monthly for five months, without manual input. Results: Participants had a mean age of 23.66 ± 12.15 years, 67% were women, with a mean duration of diabetes of 10.2 years, a mean total daily insulin dose of 0.87 IU/kg (45.2% basal), mean glycated hemoglobin (A1c) 9,3 ± 1,7%. The LightGBM outperformed comparative models (including XGBoost), achieving 86.2% accuracy and 99.1% specificity for hypoglycemia prediction. Prediction was most accurate at 15-min horizons and during rapid glucose declines. Consistent CGM data (fewer interruptions and pseudohypoglycemias) and frequent hypoglycemia episodes further improved predictions. The chatbot interface was integrated into a mobile messaging platform, where it automatically generates hypoglycemia alerts (< 70 mg/dL) with 15-, 30-, 45-, and 60-min prediction horizons based on real-time CGM data, displaying both glucose values and recommended interventions without requiring manual user input, as shown in Fig. 1. Conclusion: The LightGBM-based chatbot demonstrated high specificity and accuracy in hypoglycemia prediction, particularly within a 15-min horizon and during rapid glucose excursions. Performance improved in users with consistent CGM data. While this machine-learning-driven approach shows promise for reducing hypoglycemia risk, further validation is needed.Figure 1 (abstract OP—025) The messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\nThe messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—025\nIntroduction: Hypoglycemia affects most people with type 1 diabetes (T1D), yet current continuous glucose monitoring (CGM) systems lack reliable prediction capabilities. Machine learning offers an innovative approach to anticipate hypoglycemia using real-world CGM data. Objective: To develop a machine learning-powered chatbot integrating CGM data for hypoglycemia prediction in T1D management. Methods: We designed a chatbot integrated with a message app, powered by a LightGBM model capable of predicting hypoglycemia at 15-, 30-, 45-, and 60-min horizons. The system automatically alerts users when hypoglycemia (glucose < 70 mg/dL) is predicted. The model was trained exclusively on CGM data from 38 participants with T1D participants followed monthly for five months, without manual input. Results: Participants had a mean age of 23.66 ± 12.15 years, 67% were women, with a mean duration of diabetes of 10.2 years, a mean total daily insulin dose of 0.87 IU/kg (45.2% basal), mean glycated hemoglobin (A1c) 9,3 ± 1,7%. The LightGBM outperformed comparative models (including XGBoost), achieving 86.2% accuracy and 99.1% specificity for hypoglycemia prediction. Prediction was most accurate at 15-min horizons and during rapid glucose declines. Consistent CGM data (fewer interruptions and pseudohypoglycemias) and frequent hypoglycemia episodes further improved predictions. The chatbot interface was integrated into a mobile messaging platform, where it automatically generates hypoglycemia alerts (< 70 mg/dL) with 15-, 30-, 45-, and 60-min prediction horizons based on real-time CGM data, displaying both glucose values and recommended interventions without requiring manual user input, as shown in Fig. 1. Conclusion: The LightGBM-based chatbot demonstrated high specificity and accuracy in hypoglycemia prediction, particularly within a 15-min horizon and during rapid glucose excursions. Performance improved in users with consistent CGM data. While this machine-learning-driven approach shows promise for reducing hypoglycemia risk, further validation is needed.Figure 1 (abstract OP—025) The messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\nThe messaging interface shows an automated prediction of hypoglycemia within 15 min, generated from CGM data by the LightGBM model. Display includes current glucose and treatment recommendation.\n\n\n### OP—026 Comparative Evaluation of Point-of-Care (PoC) Glucometers Authorized by the Brazilian Health Regulatory Agency (ANVISA): An Analysis of Analytical Performance\nIntroduction: Diabetes mellitus represents a significant global health burden, and precise blood glucose monitoring is critical for optimal disease management, particularly in insulin-dependent individuals. Point-of-care (PoC) glucometers offer rapid results that facilitate timely therapeutic decisions; however, their performance must meet strict accuracy requirements. The International Organization for Standardization (ISO) 15,197:2013 establishes stringent criteria aligned with traceable laboratory methods. Nevertheless, many devices worldwide fail to meet these benchmarks, prompting Brazil’s National Health Surveillance Agency (ANVISA) to revoke several market authorizations in 2018. Objective: This study aimed to evaluate the analytical performance of three PoC glucometers currently approved by the Brazilian Health Regulatory Agency (ANVISA). Methods: Capillary and venous blood samples from 86 adults were collected at primary healthcare units in Jaú, São Paulo, Brazil. Capillary glucose was measured on-site with the three devices and compared with venous plasma glucose (reference method). Additional analyses included repeat measurements after sample storage, assessment of different reagent strip batches, and evaluation of compliance with ISO criteria. Results: All glucometers showed strong positive correlations with the reference method (Spearman’s rho: 0.813–0.843; p < 0.001), yet consistently overestimated glucose values. Bland–Altman analysis revealed systematic positive bias (mean differences: + 7.13 to + 16.31 mg/dL) and wide limits of agreement. Wilcoxon tests confirmed statistically significant differences between PoC and reference values for all devices (p < 0.0001). None achieved the ISO requirement of ≥ 95% of results within acceptable limits: compliance rates were 77.91% (Device A), 59.30% (Device B), and 58.14% (Device C). Mean Absolute Percentage Error (MAPE) ranged from 12.14% to 16.93% (Table 1). Significant variability was observed between devices (p < 0.001), between immediate and delayed measurements (p < 0.001), and among reagent strip batches (p < 0.001). Conclusion: In conclusion, despite strong correlations with laboratory values, the evaluated PoC glucometers demonstrated insufficient accuracy and substantial measurment variability, failing to meet ISO 15197:2013 standards. These findings highlight the need for cautious clinical use, ongoing regulatory oversight, and clear guidance to healthcare professionals regarding the limitations of these devices.Table 1 (abstract OP—026)Comparative summary of the three glucometers.\nComparative summary of the three glucometers.\n\n\n### Paccola, GP1; Paleari, RH1; Silva, ALQR1; Montanha, SR1; Piragine, YJ1; Zanini, JCS1; Filho,JOC1; Fava, TH1; Colombo, RNP2; Castilho, GGGR1; Crespilho, FN2; Razera, FPM1\nIntroduction: Diabetes mellitus represents a significant global health burden, and precise blood glucose monitoring is critical for optimal disease management, particularly in insulin-dependent individuals. Point-of-care (PoC) glucometers offer rapid results that facilitate timely therapeutic decisions; however, their performance must meet strict accuracy requirements. The International Organization for Standardization (ISO) 15,197:2013 establishes stringent criteria aligned with traceable laboratory methods. Nevertheless, many devices worldwide fail to meet these benchmarks, prompting Brazil’s National Health Surveillance Agency (ANVISA) to revoke several market authorizations in 2018. Objective: This study aimed to evaluate the analytical performance of three PoC glucometers currently approved by the Brazilian Health Regulatory Agency (ANVISA). Methods: Capillary and venous blood samples from 86 adults were collected at primary healthcare units in Jaú, São Paulo, Brazil. Capillary glucose was measured on-site with the three devices and compared with venous plasma glucose (reference method). Additional analyses included repeat measurements after sample storage, assessment of different reagent strip batches, and evaluation of compliance with ISO criteria. Results: All glucometers showed strong positive correlations with the reference method (Spearman’s rho: 0.813–0.843; p < 0.001), yet consistently overestimated glucose values. Bland–Altman analysis revealed systematic positive bias (mean differences: + 7.13 to + 16.31 mg/dL) and wide limits of agreement. Wilcoxon tests confirmed statistically significant differences between PoC and reference values for all devices (p < 0.0001). None achieved the ISO requirement of ≥ 95% of results within acceptable limits: compliance rates were 77.91% (Device A), 59.30% (Device B), and 58.14% (Device C). Mean Absolute Percentage Error (MAPE) ranged from 12.14% to 16.93% (Table 1). Significant variability was observed between devices (p < 0.001), between immediate and delayed measurements (p < 0.001), and among reagent strip batches (p < 0.001). Conclusion: In conclusion, despite strong correlations with laboratory values, the evaluated PoC glucometers demonstrated insufficient accuracy and substantial measurment variability, failing to meet ISO 15197:2013 standards. These findings highlight the need for cautious clinical use, ongoing regulatory oversight, and clear guidance to healthcare professionals regarding the limitations of these devices.Table 1 (abstract OP—026)Comparative summary of the three glucometers.\nComparative summary of the three glucometers.\n\n\n### (1) Universidade do Oeste Paulista, Jau, SP, Brasil; (2) Universidade de São Paulo, São Carlos, SP, Brasil\nIntroduction: Diabetes mellitus represents a significant global health burden, and precise blood glucose monitoring is critical for optimal disease management, particularly in insulin-dependent individuals. Point-of-care (PoC) glucometers offer rapid results that facilitate timely therapeutic decisions; however, their performance must meet strict accuracy requirements. The International Organization for Standardization (ISO) 15,197:2013 establishes stringent criteria aligned with traceable laboratory methods. Nevertheless, many devices worldwide fail to meet these benchmarks, prompting Brazil’s National Health Surveillance Agency (ANVISA) to revoke several market authorizations in 2018. Objective: This study aimed to evaluate the analytical performance of three PoC glucometers currently approved by the Brazilian Health Regulatory Agency (ANVISA). Methods: Capillary and venous blood samples from 86 adults were collected at primary healthcare units in Jaú, São Paulo, Brazil. Capillary glucose was measured on-site with the three devices and compared with venous plasma glucose (reference method). Additional analyses included repeat measurements after sample storage, assessment of different reagent strip batches, and evaluation of compliance with ISO criteria. Results: All glucometers showed strong positive correlations with the reference method (Spearman’s rho: 0.813–0.843; p < 0.001), yet consistently overestimated glucose values. Bland–Altman analysis revealed systematic positive bias (mean differences: + 7.13 to + 16.31 mg/dL) and wide limits of agreement. Wilcoxon tests confirmed statistically significant differences between PoC and reference values for all devices (p < 0.0001). None achieved the ISO requirement of ≥ 95% of results within acceptable limits: compliance rates were 77.91% (Device A), 59.30% (Device B), and 58.14% (Device C). Mean Absolute Percentage Error (MAPE) ranged from 12.14% to 16.93% (Table 1). Significant variability was observed between devices (p < 0.001), between immediate and delayed measurements (p < 0.001), and among reagent strip batches (p < 0.001). Conclusion: In conclusion, despite strong correlations with laboratory values, the evaluated PoC glucometers demonstrated insufficient accuracy and substantial measurment variability, failing to meet ISO 15197:2013 standards. These findings highlight the need for cautious clinical use, ongoing regulatory oversight, and clear guidance to healthcare professionals regarding the limitations of these devices.Table 1 (abstract OP—026)Comparative summary of the three glucometers.\nComparative summary of the three glucometers.\n\n\n### Diabetology & Metabolic Syndrome 2026: OP—026\nIntroduction: Diabetes mellitus represents a significant global health burden, and precise blood glucose monitoring is critical for optimal disease management, particularly in insulin-dependent individuals. Point-of-care (PoC) glucometers offer rapid results that facilitate timely therapeutic decisions; however, their performance must meet strict accuracy requirements. The International Organization for Standardization (ISO) 15,197:2013 establishes stringent criteria aligned with traceable laboratory methods. Nevertheless, many devices worldwide fail to meet these benchmarks, prompting Brazil’s National Health Surveillance Agency (ANVISA) to revoke several market authorizations in 2018. Objective: This study aimed to evaluate the analytical performance of three PoC glucometers currently approved by the Brazilian Health Regulatory Agency (ANVISA). Methods: Capillary and venous blood samples from 86 adults were collected at primary healthcare units in Jaú, São Paulo, Brazil. Capillary glucose was measured on-site with the three devices and compared with venous plasma glucose (reference method). Additional analyses included repeat measurements after sample storage, assessment of different reagent strip batches, and evaluation of compliance with ISO criteria. Results: All glucometers showed strong positive correlations with the reference method (Spearman’s rho: 0.813–0.843; p < 0.001), yet consistently overestimated glucose values. Bland–Altman analysis revealed systematic positive bias (mean differences: + 7.13 to + 16.31 mg/dL) and wide limits of agreement. Wilcoxon tests confirmed statistically significant differences between PoC and reference values for all devices (p < 0.0001). None achieved the ISO requirement of ≥ 95% of results within acceptable limits: compliance rates were 77.91% (Device A), 59.30% (Device B), and 58.14% (Device C). Mean Absolute Percentage Error (MAPE) ranged from 12.14% to 16.93% (Table 1). Significant variability was observed between devices (p < 0.001), between immediate and delayed measurements (p < 0.001), and among reagent strip batches (p < 0.001). Conclusion: In conclusion, despite strong correlations with laboratory values, the evaluated PoC glucometers demonstrated insufficient accuracy and substantial measurment variability, failing to meet ISO 15197:2013 standards. These findings highlight the need for cautious clinical use, ongoing regulatory oversight, and clear guidance to healthcare professionals regarding the limitations of these devices.Table 1 (abstract OP—026)Comparative summary of the three glucometers.\nComparative summary of the three glucometers.\n\n\n### PO—003 Comparative Analysis Of Cases Of Diabetic Ketoacidosis Before And During The Covid-19 Pandemic In Pediatric Patients At a Tertiary Pediatric Hospital\nIntroduction: Diabetic ketoacidosis (DKA) is a complication of type 1 diabetes mellitus (T1D) and may be its first clinical manifestation. DKA is the leading cause of morbidity and mortality in children and adolescents with T1D. Recently, the incidence of T1D and DKA has increased in Brazil and globally. Since viral infections are known as triggers of DKA, it is important to assess the impact of the COVID-19 pandemic on this condition. Objective: To compare pediatric hospitalizations for DKA at a tertiary hospital before and during the COVID-19 pandemic, focusing on incidence, severity, complications, and possible links to COVID-19. Methods: A cross-sectional, descriptive study reviewed 180 medical records of patients aged 0–16, hospitalized with DKA at a tertiary pediatric hospital. Data were grouped into pre-pandemic (2016–early 2020) and pandemic (March 2020–May 2023) periods and analyzed statistically. Results: 66 hospitalizations occurred pre-pandemic and 114 during the pandemic. An increase in DKA cases and in severe cases was observed, though not statistically significant. The total cases/per year are shown in the figure below Comparing the groups, there wasn’t change in the most affected sex (female), predominant age group (adolescents), and main severity of hospitalizations (moderate). There was an increase in cases of DKA in previously diabetic patients. During the pandemic, 51% of cases weren’t tested for COVID-19. Of those tested, 7 were positive (2 mild, 1 moderate, 4 severe), comprising 12% of tested cases. Only 1 case was admitted to the ICU, and none died. Five (71%) were T1D onset cases. Regarding complications, in both groups the most prevalent was hypokalemia, followed by hypophosphatemia and hypoglycemia, with no serious outcomes in any of them. The rate of cerebral edema was lower in the pandemic group. The only death occurred in the pre-pandemic group. Overall mortality was low (0.5%). Conclusion: Higher incidence rates of DKA and new cases of T1D were found during the pandemic but without statistically relevance. It wasn’t possible to associate the increased incidence or severity of DKA with COVID-19 infection. Most pandemic hospitalizations were of previously diabetic patients, suggesting management difficulties during isolation. DKA complications were similar across periods. The mortality rate was low, with no increase due to the pandemic. The study resulted in updated DKA treatment intern protocols aligned with 2022 ISPAD guidelines.\n\n\n### Naccarato, CQ1; Junior, RDRL2\nIntroduction: Diabetic ketoacidosis (DKA) is a complication of type 1 diabetes mellitus (T1D) and may be its first clinical manifestation. DKA is the leading cause of morbidity and mortality in children and adolescents with T1D. Recently, the incidence of T1D and DKA has increased in Brazil and globally. Since viral infections are known as triggers of DKA, it is important to assess the impact of the COVID-19 pandemic on this condition. Objective: To compare pediatric hospitalizations for DKA at a tertiary hospital before and during the COVID-19 pandemic, focusing on incidence, severity, complications, and possible links to COVID-19. Methods: A cross-sectional, descriptive study reviewed 180 medical records of patients aged 0–16, hospitalized with DKA at a tertiary pediatric hospital. Data were grouped into pre-pandemic (2016–early 2020) and pandemic (March 2020–May 2023) periods and analyzed statistically. Results: 66 hospitalizations occurred pre-pandemic and 114 during the pandemic. An increase in DKA cases and in severe cases was observed, though not statistically significant. The total cases/per year are shown in the figure below Comparing the groups, there wasn’t change in the most affected sex (female), predominant age group (adolescents), and main severity of hospitalizations (moderate). There was an increase in cases of DKA in previously diabetic patients. During the pandemic, 51% of cases weren’t tested for COVID-19. Of those tested, 7 were positive (2 mild, 1 moderate, 4 severe), comprising 12% of tested cases. Only 1 case was admitted to the ICU, and none died. Five (71%) were T1D onset cases. Regarding complications, in both groups the most prevalent was hypokalemia, followed by hypophosphatemia and hypoglycemia, with no serious outcomes in any of them. The rate of cerebral edema was lower in the pandemic group. The only death occurred in the pre-pandemic group. Overall mortality was low (0.5%). Conclusion: Higher incidence rates of DKA and new cases of T1D were found during the pandemic but without statistically relevance. It wasn’t possible to associate the increased incidence or severity of DKA with COVID-19 infection. Most pandemic hospitalizations were of previously diabetic patients, suggesting management difficulties during isolation. DKA complications were similar across periods. The mortality rate was low, with no increase due to the pandemic. The study resulted in updated DKA treatment intern protocols aligned with 2022 ISPAD guidelines.\n\n\n### (1) Hospital das Clinicas da Faculdade de Medicina de Ribeirão Preto- Ribeirão Preto, SP, Brasil; (2) Hospital das Clinicas da Faculdade de Medicina de Ribeirão Preto- Ribeirão Preto, SP, Brasil\nIntroduction: Diabetic ketoacidosis (DKA) is a complication of type 1 diabetes mellitus (T1D) and may be its first clinical manifestation. DKA is the leading cause of morbidity and mortality in children and adolescents with T1D. Recently, the incidence of T1D and DKA has increased in Brazil and globally. Since viral infections are known as triggers of DKA, it is important to assess the impact of the COVID-19 pandemic on this condition. Objective: To compare pediatric hospitalizations for DKA at a tertiary hospital before and during the COVID-19 pandemic, focusing on incidence, severity, complications, and possible links to COVID-19. Methods: A cross-sectional, descriptive study reviewed 180 medical records of patients aged 0–16, hospitalized with DKA at a tertiary pediatric hospital. Data were grouped into pre-pandemic (2016–early 2020) and pandemic (March 2020–May 2023) periods and analyzed statistically. Results: 66 hospitalizations occurred pre-pandemic and 114 during the pandemic. An increase in DKA cases and in severe cases was observed, though not statistically significant. The total cases/per year are shown in the figure below Comparing the groups, there wasn’t change in the most affected sex (female), predominant age group (adolescents), and main severity of hospitalizations (moderate). There was an increase in cases of DKA in previously diabetic patients. During the pandemic, 51% of cases weren’t tested for COVID-19. Of those tested, 7 were positive (2 mild, 1 moderate, 4 severe), comprising 12% of tested cases. Only 1 case was admitted to the ICU, and none died. Five (71%) were T1D onset cases. Regarding complications, in both groups the most prevalent was hypokalemia, followed by hypophosphatemia and hypoglycemia, with no serious outcomes in any of them. The rate of cerebral edema was lower in the pandemic group. The only death occurred in the pre-pandemic group. Overall mortality was low (0.5%). Conclusion: Higher incidence rates of DKA and new cases of T1D were found during the pandemic but without statistically relevance. It wasn’t possible to associate the increased incidence or severity of DKA with COVID-19 infection. Most pandemic hospitalizations were of previously diabetic patients, suggesting management difficulties during isolation. DKA complications were similar across periods. The mortality rate was low, with no increase due to the pandemic. The study resulted in updated DKA treatment intern protocols aligned with 2022 ISPAD guidelines.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—003\nIntroduction: Diabetic ketoacidosis (DKA) is a complication of type 1 diabetes mellitus (T1D) and may be its first clinical manifestation. DKA is the leading cause of morbidity and mortality in children and adolescents with T1D. Recently, the incidence of T1D and DKA has increased in Brazil and globally. Since viral infections are known as triggers of DKA, it is important to assess the impact of the COVID-19 pandemic on this condition. Objective: To compare pediatric hospitalizations for DKA at a tertiary hospital before and during the COVID-19 pandemic, focusing on incidence, severity, complications, and possible links to COVID-19. Methods: A cross-sectional, descriptive study reviewed 180 medical records of patients aged 0–16, hospitalized with DKA at a tertiary pediatric hospital. Data were grouped into pre-pandemic (2016–early 2020) and pandemic (March 2020–May 2023) periods and analyzed statistically. Results: 66 hospitalizations occurred pre-pandemic and 114 during the pandemic. An increase in DKA cases and in severe cases was observed, though not statistically significant. The total cases/per year are shown in the figure below Comparing the groups, there wasn’t change in the most affected sex (female), predominant age group (adolescents), and main severity of hospitalizations (moderate). There was an increase in cases of DKA in previously diabetic patients. During the pandemic, 51% of cases weren’t tested for COVID-19. Of those tested, 7 were positive (2 mild, 1 moderate, 4 severe), comprising 12% of tested cases. Only 1 case was admitted to the ICU, and none died. Five (71%) were T1D onset cases. Regarding complications, in both groups the most prevalent was hypokalemia, followed by hypophosphatemia and hypoglycemia, with no serious outcomes in any of them. The rate of cerebral edema was lower in the pandemic group. The only death occurred in the pre-pandemic group. Overall mortality was low (0.5%). Conclusion: Higher incidence rates of DKA and new cases of T1D were found during the pandemic but without statistically relevance. It wasn’t possible to associate the increased incidence or severity of DKA with COVID-19 infection. Most pandemic hospitalizations were of previously diabetic patients, suggesting management difficulties during isolation. DKA complications were similar across periods. The mortality rate was low, with no increase due to the pandemic. The study resulted in updated DKA treatment intern protocols aligned with 2022 ISPAD guidelines.\n\n\n### PO—004 Diabetes, Inequality and Care: A Study on the Risk of Ketoacidosis in the Public Health System of Rio de Janeiro\nIntroduction: Diabetic ketoacidosis (DKA) is a severe acute complication of type 1 diabetes mellitus (T1DM) associated with significant morbidity and frequent hospitalizations. Identifying risk factors for DKA is essential for optimizing disease management. Objective: This study aims to identify factors associated with DKA by comparing social, laboratory, adherence, and comorbidity aspects between groups with and without DKA. Methods: In a retrospective medical record analysis of 437 individuals with T1DM treated at tertiary public Diabetes center in 2024, 193 experienced DKA. The variables evaluated included self-declared ethnicity, educational level, marital status, laboratory tests, treatment adherence, and presence of comorbidities. Results: There was a predominance of young, Black/brown, and single individuals among those affected by DKA. In bivariate analysis, the average age of patients with DKA was 24 years, significantly lower than the control group (33 years; p < 0.001), reflecting vulnerability among young adults. Regarding ethnicity, 59% of cases occurred in Black individuals, highlighting the impact of social inequities. Additionally, 81% were single, suggesting a lack of family support, a well-recognized negative factor in coping with chronic diseases. In laboratory parameters, the mean glycated hemoglobin (A1c) was higher in the DKA group (9.63% vs 8.80%; p < 0.001), indicating poor glycemic control. Triglycerides (120.8 vs 99.0 mg/dL; p = 0.016) and total cholesterol (184.8 vs 170.9 mg/dL; p = 0.019) were also elevated. Multivariate analysis confirmed the association of high HbA1c with DKA (OR 1.32; 95%CI: 1.18–1.48; p < 0.001). Dietary adherence was lower in the DKA group (33.2% vs 27.2%; p = 0.047) and showed a protective effect (OR 0.73; 95%CI: 0.52–0.97; p = 0.044); recurrent hypoglycemia was more frequent in these patients (52.6% vs 47.3%; p = 0.03; OR 1.41; 95%CI: 1.03–1.94; p = 0.029). The model demonstrated good calibration (p = 0.412) and excellent discriminatory ability (AUC = 0.82), highlighting the clinical and statistical relevance of the analyzed factors. Conclusion: Integrated approaches in patient care, such as identifying vulnerability indicators and the continuous reassessment of treatment adherence in the context of each individual’s life, are necessary. Educational strategies must be personalized for better understanding, and multidisciplinary care is essential to break the cycle leading from care disorganization to clinical decompensation.\n\n\n### Costa, ASMFC1; Parreiras, JAP1; Navarro, TPRB1; Quintanilha, PHM1; Almeida, FV1; Zumpiachiatt, J1; Cabizuca, CA1; Gomes, MB1; Pedroso,JMA4\nIntroduction: Diabetic ketoacidosis (DKA) is a severe acute complication of type 1 diabetes mellitus (T1DM) associated with significant morbidity and frequent hospitalizations. Identifying risk factors for DKA is essential for optimizing disease management. Objective: This study aims to identify factors associated with DKA by comparing social, laboratory, adherence, and comorbidity aspects between groups with and without DKA. Methods: In a retrospective medical record analysis of 437 individuals with T1DM treated at tertiary public Diabetes center in 2024, 193 experienced DKA. The variables evaluated included self-declared ethnicity, educational level, marital status, laboratory tests, treatment adherence, and presence of comorbidities. Results: There was a predominance of young, Black/brown, and single individuals among those affected by DKA. In bivariate analysis, the average age of patients with DKA was 24 years, significantly lower than the control group (33 years; p < 0.001), reflecting vulnerability among young adults. Regarding ethnicity, 59% of cases occurred in Black individuals, highlighting the impact of social inequities. Additionally, 81% were single, suggesting a lack of family support, a well-recognized negative factor in coping with chronic diseases. In laboratory parameters, the mean glycated hemoglobin (A1c) was higher in the DKA group (9.63% vs 8.80%; p < 0.001), indicating poor glycemic control. Triglycerides (120.8 vs 99.0 mg/dL; p = 0.016) and total cholesterol (184.8 vs 170.9 mg/dL; p = 0.019) were also elevated. Multivariate analysis confirmed the association of high HbA1c with DKA (OR 1.32; 95%CI: 1.18–1.48; p < 0.001). Dietary adherence was lower in the DKA group (33.2% vs 27.2%; p = 0.047) and showed a protective effect (OR 0.73; 95%CI: 0.52–0.97; p = 0.044); recurrent hypoglycemia was more frequent in these patients (52.6% vs 47.3%; p = 0.03; OR 1.41; 95%CI: 1.03–1.94; p = 0.029). The model demonstrated good calibration (p = 0.412) and excellent discriminatory ability (AUC = 0.82), highlighting the clinical and statistical relevance of the analyzed factors. Conclusion: Integrated approaches in patient care, such as identifying vulnerability indicators and the continuous reassessment of treatment adherence in the context of each individual’s life, are necessary. Educational strategies must be personalized for better understanding, and multidisciplinary care is essential to break the cycle leading from care disorganization to clinical decompensation.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, RJ, Brasil\nIntroduction: Diabetic ketoacidosis (DKA) is a severe acute complication of type 1 diabetes mellitus (T1DM) associated with significant morbidity and frequent hospitalizations. Identifying risk factors for DKA is essential for optimizing disease management. Objective: This study aims to identify factors associated with DKA by comparing social, laboratory, adherence, and comorbidity aspects between groups with and without DKA. Methods: In a retrospective medical record analysis of 437 individuals with T1DM treated at tertiary public Diabetes center in 2024, 193 experienced DKA. The variables evaluated included self-declared ethnicity, educational level, marital status, laboratory tests, treatment adherence, and presence of comorbidities. Results: There was a predominance of young, Black/brown, and single individuals among those affected by DKA. In bivariate analysis, the average age of patients with DKA was 24 years, significantly lower than the control group (33 years; p < 0.001), reflecting vulnerability among young adults. Regarding ethnicity, 59% of cases occurred in Black individuals, highlighting the impact of social inequities. Additionally, 81% were single, suggesting a lack of family support, a well-recognized negative factor in coping with chronic diseases. In laboratory parameters, the mean glycated hemoglobin (A1c) was higher in the DKA group (9.63% vs 8.80%; p < 0.001), indicating poor glycemic control. Triglycerides (120.8 vs 99.0 mg/dL; p = 0.016) and total cholesterol (184.8 vs 170.9 mg/dL; p = 0.019) were also elevated. Multivariate analysis confirmed the association of high HbA1c with DKA (OR 1.32; 95%CI: 1.18–1.48; p < 0.001). Dietary adherence was lower in the DKA group (33.2% vs 27.2%; p = 0.047) and showed a protective effect (OR 0.73; 95%CI: 0.52–0.97; p = 0.044); recurrent hypoglycemia was more frequent in these patients (52.6% vs 47.3%; p = 0.03; OR 1.41; 95%CI: 1.03–1.94; p = 0.029). The model demonstrated good calibration (p = 0.412) and excellent discriminatory ability (AUC = 0.82), highlighting the clinical and statistical relevance of the analyzed factors. Conclusion: Integrated approaches in patient care, such as identifying vulnerability indicators and the continuous reassessment of treatment adherence in the context of each individual’s life, are necessary. Educational strategies must be personalized for better understanding, and multidisciplinary care is essential to break the cycle leading from care disorganization to clinical decompensation.\n\n\n### Diabetology & Metabolic Syndrome 2026: P0—004\nIntroduction: Diabetic ketoacidosis (DKA) is a severe acute complication of type 1 diabetes mellitus (T1DM) associated with significant morbidity and frequent hospitalizations. Identifying risk factors for DKA is essential for optimizing disease management. Objective: This study aims to identify factors associated with DKA by comparing social, laboratory, adherence, and comorbidity aspects between groups with and without DKA. Methods: In a retrospective medical record analysis of 437 individuals with T1DM treated at tertiary public Diabetes center in 2024, 193 experienced DKA. The variables evaluated included self-declared ethnicity, educational level, marital status, laboratory tests, treatment adherence, and presence of comorbidities. Results: There was a predominance of young, Black/brown, and single individuals among those affected by DKA. In bivariate analysis, the average age of patients with DKA was 24 years, significantly lower than the control group (33 years; p < 0.001), reflecting vulnerability among young adults. Regarding ethnicity, 59% of cases occurred in Black individuals, highlighting the impact of social inequities. Additionally, 81% were single, suggesting a lack of family support, a well-recognized negative factor in coping with chronic diseases. In laboratory parameters, the mean glycated hemoglobin (A1c) was higher in the DKA group (9.63% vs 8.80%; p < 0.001), indicating poor glycemic control. Triglycerides (120.8 vs 99.0 mg/dL; p = 0.016) and total cholesterol (184.8 vs 170.9 mg/dL; p = 0.019) were also elevated. Multivariate analysis confirmed the association of high HbA1c with DKA (OR 1.32; 95%CI: 1.18–1.48; p < 0.001). Dietary adherence was lower in the DKA group (33.2% vs 27.2%; p = 0.047) and showed a protective effect (OR 0.73; 95%CI: 0.52–0.97; p = 0.044); recurrent hypoglycemia was more frequent in these patients (52.6% vs 47.3%; p = 0.03; OR 1.41; 95%CI: 1.03–1.94; p = 0.029). The model demonstrated good calibration (p = 0.412) and excellent discriminatory ability (AUC = 0.82), highlighting the clinical and statistical relevance of the analyzed factors. Conclusion: Integrated approaches in patient care, such as identifying vulnerability indicators and the continuous reassessment of treatment adherence in the context of each individual’s life, are necessary. Educational strategies must be personalized for better understanding, and multidisciplinary care is essential to break the cycle leading from care disorganization to clinical decompensation.\n\n\n### PO—005 Epidemiological Profile of Deaths from Diabetic Ketoacidosis Associated with Sepsis in Brazil, 2019–2023\nIntroduction: Diabetic ketoacidosis (DKA) is a common emergency in patients with diabetes mellitus (DM), with the main causes being: first decompensation, poor adherence to insulin therapy, infection, or acute cardiovascular events. Sepsis is life-threatening organ dysfunction secondary to a dysregulated host response to infection. The association of DKA and sepsis increases morbidity and mortality. Objective: To assess the epidemiological profile of deaths from DKA associated with sepsis in Brazil from 2019 to 2023. Methods: Cross-sectional, descriptive, and analytical study using data from the Mortality Information System (SIM/DATASUS) from January 2019 to December 2023. Inclusion criteria: deaths in which the underlying cause was “Insulin-dependent diabetes mellitus with ketoacidosis” (ICD-10 code E10.1), associated with “Sepsis, unspecified organism” (ICD-10 code A41.9). Additional associated causes, when present, and documented infectious foci were analyzed. Demographic variables extracted included sex, age, and race/skin color. Statistical analysis was performed using Jamovi for Windows (version 2.6.44.0). Results: A total of 605 deaths were identified. Age ranged from 1 to 100 years (mean 51.4 ± 21.9; median 53). There was no significant difference in age between sexes (p = 0.487) or etiological groups for associated causes (p = 0.284). Females accounted for 60.8% (n = 368). Regarding race/skin color, 48.3% were white and 39.5% mixed-race, with no significant association between etiological group and sex (p = 0.114) or race/skin color (p = 0.269). Annual deaths showed a non-significant upward trend, peaking in 2023 (n = 136; 22.5%). Documentation of the infectious focus was present in 50.1% of cases, with 2.3% occurring alongside cardiovascular events; 23% contained only the ICD-10 codes related to the inclusion criteria, and 12.9% were classified as ill-defined causes. Age distribution by etiological group is shown in Fig. 1. The infectious focus was unspecified in 49.4% of cases; among those identified, respiratory (19.8%) and urinary (17.0%) infections were the most frequent. Conclusion: The profile of deaths from DKA associated with sepsis remained stable during the study period, with respiratory and urinary tract infections as the most common documented foci. The high proportion of cases without etiological specification highlights the need to improve death certificate data recording to support more accurate epidemiological and public health strategies.Figure 1 (abstract PO—005) Age Distribution by Etiology Group.\nAge Distribution by Etiology Group.\n\n\n### Morikawa, LL1; Botelho, JG; Cendretti, GC1; Marcelino, GF1; Silva, BHCS1\nIntroduction: Diabetic ketoacidosis (DKA) is a common emergency in patients with diabetes mellitus (DM), with the main causes being: first decompensation, poor adherence to insulin therapy, infection, or acute cardiovascular events. Sepsis is life-threatening organ dysfunction secondary to a dysregulated host response to infection. The association of DKA and sepsis increases morbidity and mortality. Objective: To assess the epidemiological profile of deaths from DKA associated with sepsis in Brazil from 2019 to 2023. Methods: Cross-sectional, descriptive, and analytical study using data from the Mortality Information System (SIM/DATASUS) from January 2019 to December 2023. Inclusion criteria: deaths in which the underlying cause was “Insulin-dependent diabetes mellitus with ketoacidosis” (ICD-10 code E10.1), associated with “Sepsis, unspecified organism” (ICD-10 code A41.9). Additional associated causes, when present, and documented infectious foci were analyzed. Demographic variables extracted included sex, age, and race/skin color. Statistical analysis was performed using Jamovi for Windows (version 2.6.44.0). Results: A total of 605 deaths were identified. Age ranged from 1 to 100 years (mean 51.4 ± 21.9; median 53). There was no significant difference in age between sexes (p = 0.487) or etiological groups for associated causes (p = 0.284). Females accounted for 60.8% (n = 368). Regarding race/skin color, 48.3% were white and 39.5% mixed-race, with no significant association between etiological group and sex (p = 0.114) or race/skin color (p = 0.269). Annual deaths showed a non-significant upward trend, peaking in 2023 (n = 136; 22.5%). Documentation of the infectious focus was present in 50.1% of cases, with 2.3% occurring alongside cardiovascular events; 23% contained only the ICD-10 codes related to the inclusion criteria, and 12.9% were classified as ill-defined causes. Age distribution by etiological group is shown in Fig. 1. The infectious focus was unspecified in 49.4% of cases; among those identified, respiratory (19.8%) and urinary (17.0%) infections were the most frequent. Conclusion: The profile of deaths from DKA associated with sepsis remained stable during the study period, with respiratory and urinary tract infections as the most common documented foci. The high proportion of cases without etiological specification highlights the need to improve death certificate data recording to support more accurate epidemiological and public health strategies.Figure 1 (abstract PO—005) Age Distribution by Etiology Group.\nAge Distribution by Etiology Group.\n\n\n### (1) Universidade Nove de Julho, Guarulhos, SP, Brasil\nIntroduction: Diabetic ketoacidosis (DKA) is a common emergency in patients with diabetes mellitus (DM), with the main causes being: first decompensation, poor adherence to insulin therapy, infection, or acute cardiovascular events. Sepsis is life-threatening organ dysfunction secondary to a dysregulated host response to infection. The association of DKA and sepsis increases morbidity and mortality. Objective: To assess the epidemiological profile of deaths from DKA associated with sepsis in Brazil from 2019 to 2023. Methods: Cross-sectional, descriptive, and analytical study using data from the Mortality Information System (SIM/DATASUS) from January 2019 to December 2023. Inclusion criteria: deaths in which the underlying cause was “Insulin-dependent diabetes mellitus with ketoacidosis” (ICD-10 code E10.1), associated with “Sepsis, unspecified organism” (ICD-10 code A41.9). Additional associated causes, when present, and documented infectious foci were analyzed. Demographic variables extracted included sex, age, and race/skin color. Statistical analysis was performed using Jamovi for Windows (version 2.6.44.0). Results: A total of 605 deaths were identified. Age ranged from 1 to 100 years (mean 51.4 ± 21.9; median 53). There was no significant difference in age between sexes (p = 0.487) or etiological groups for associated causes (p = 0.284). Females accounted for 60.8% (n = 368). Regarding race/skin color, 48.3% were white and 39.5% mixed-race, with no significant association between etiological group and sex (p = 0.114) or race/skin color (p = 0.269). Annual deaths showed a non-significant upward trend, peaking in 2023 (n = 136; 22.5%). Documentation of the infectious focus was present in 50.1% of cases, with 2.3% occurring alongside cardiovascular events; 23% contained only the ICD-10 codes related to the inclusion criteria, and 12.9% were classified as ill-defined causes. Age distribution by etiological group is shown in Fig. 1. The infectious focus was unspecified in 49.4% of cases; among those identified, respiratory (19.8%) and urinary (17.0%) infections were the most frequent. Conclusion: The profile of deaths from DKA associated with sepsis remained stable during the study period, with respiratory and urinary tract infections as the most common documented foci. The high proportion of cases without etiological specification highlights the need to improve death certificate data recording to support more accurate epidemiological and public health strategies.Figure 1 (abstract PO—005) Age Distribution by Etiology Group.\nAge Distribution by Etiology Group.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—005\nIntroduction: Diabetic ketoacidosis (DKA) is a common emergency in patients with diabetes mellitus (DM), with the main causes being: first decompensation, poor adherence to insulin therapy, infection, or acute cardiovascular events. Sepsis is life-threatening organ dysfunction secondary to a dysregulated host response to infection. The association of DKA and sepsis increases morbidity and mortality. Objective: To assess the epidemiological profile of deaths from DKA associated with sepsis in Brazil from 2019 to 2023. Methods: Cross-sectional, descriptive, and analytical study using data from the Mortality Information System (SIM/DATASUS) from January 2019 to December 2023. Inclusion criteria: deaths in which the underlying cause was “Insulin-dependent diabetes mellitus with ketoacidosis” (ICD-10 code E10.1), associated with “Sepsis, unspecified organism” (ICD-10 code A41.9). Additional associated causes, when present, and documented infectious foci were analyzed. Demographic variables extracted included sex, age, and race/skin color. Statistical analysis was performed using Jamovi for Windows (version 2.6.44.0). Results: A total of 605 deaths were identified. Age ranged from 1 to 100 years (mean 51.4 ± 21.9; median 53). There was no significant difference in age between sexes (p = 0.487) or etiological groups for associated causes (p = 0.284). Females accounted for 60.8% (n = 368). Regarding race/skin color, 48.3% were white and 39.5% mixed-race, with no significant association between etiological group and sex (p = 0.114) or race/skin color (p = 0.269). Annual deaths showed a non-significant upward trend, peaking in 2023 (n = 136; 22.5%). Documentation of the infectious focus was present in 50.1% of cases, with 2.3% occurring alongside cardiovascular events; 23% contained only the ICD-10 codes related to the inclusion criteria, and 12.9% were classified as ill-defined causes. Age distribution by etiological group is shown in Fig. 1. The infectious focus was unspecified in 49.4% of cases; among those identified, respiratory (19.8%) and urinary (17.0%) infections were the most frequent. Conclusion: The profile of deaths from DKA associated with sepsis remained stable during the study period, with respiratory and urinary tract infections as the most common documented foci. The high proportion of cases without etiological specification highlights the need to improve death certificate data recording to support more accurate epidemiological and public health strategies.Figure 1 (abstract PO—005) Age Distribution by Etiology Group.\nAge Distribution by Etiology Group.\n\n\n### PO—006 Evaluation of the Determining Factors in the Diagnosis of Diabetic Ketoacidosis in the Emergency Room\nIntroduction: Diabetic ketoacidosis (DKA) is a complication associated with type 1 (T1D) and type 2 diabetes (T2D). In adults, mortality is low but increases in the elderly with other comorbidities. Common triggering factors are inappropriate use of insulin and infections. The diagnosis is made meeting 3 criteria: high blood glucose, metabolic acidosis or low serum bicarbonate, and ketosis on blood or urine. Objective: To gather data on individuals with DKA, the causes that led to the complication, and assess compliance with diagnostic criteria. Methods: This is a descriptive, observational, retrospective study analyzing data from patients with DKA on an ER between jan-dec/2022. Medical records were selected based on on-call records and subjected to selection criteria (hypothesis of DKA; ≥ 14 y/o) and inclusion criteria (all DKA diagnostic criteria). Patient profile, test requests, and waiting time until treatment were analyzed, transcribed into a spreadsheet, and processed using statistical software. Results: 730 tables containing all admissions to the ER were submitted to selection criteria, 45 patients were selected. 7 were excluded due to incomplete data. Of the remaining 38, only 15 met the inclusion criteria. Average interval between admission and tests (or the moment DKA hypothesis was raised) was 1h46min, and between blood collection and results (or the start of appropriate treatment) was 1h06min. The absence of urine samples in 45% of patients searching for ketonuria demonstrates the lack of a targeted protocol in the unit. 66% were adults (20 to 59 y/o), and 53% were male. Although 73% had T1D, polyuria and polydipsia were present in only 1 patient, abdominal pain and vomiting in one-third, and hyperglycemia was self-reported on triage in 5 cases. Poor adherence and infectious conditions were the most common triggers (46% and 40%, respectively). Average length of hospital stay was 4.5 days, and there were no negative outcomes – the most common outcome was hospital discharge (73%), followed by interhospital transfer (20%). Conclusion: Hospitalization and mortality rates due to DKA remain high, and reflect a delayed response to a hyperglycemic crisis, resulting from staff unfamiliarity with the condition and the underappreciation of certain complaints in diabetic patients. Continuing education is necessary, and a clear care plan should be provided to facilitate diagnosis and treatment.\n\n\n### Jurno, AC1; Chevtchouk, L2; Coelho, VS3\nIntroduction: Diabetic ketoacidosis (DKA) is a complication associated with type 1 (T1D) and type 2 diabetes (T2D). In adults, mortality is low but increases in the elderly with other comorbidities. Common triggering factors are inappropriate use of insulin and infections. The diagnosis is made meeting 3 criteria: high blood glucose, metabolic acidosis or low serum bicarbonate, and ketosis on blood or urine. Objective: To gather data on individuals with DKA, the causes that led to the complication, and assess compliance with diagnostic criteria. Methods: This is a descriptive, observational, retrospective study analyzing data from patients with DKA on an ER between jan-dec/2022. Medical records were selected based on on-call records and subjected to selection criteria (hypothesis of DKA; ≥ 14 y/o) and inclusion criteria (all DKA diagnostic criteria). Patient profile, test requests, and waiting time until treatment were analyzed, transcribed into a spreadsheet, and processed using statistical software. Results: 730 tables containing all admissions to the ER were submitted to selection criteria, 45 patients were selected. 7 were excluded due to incomplete data. Of the remaining 38, only 15 met the inclusion criteria. Average interval between admission and tests (or the moment DKA hypothesis was raised) was 1h46min, and between blood collection and results (or the start of appropriate treatment) was 1h06min. The absence of urine samples in 45% of patients searching for ketonuria demonstrates the lack of a targeted protocol in the unit. 66% were adults (20 to 59 y/o), and 53% were male. Although 73% had T1D, polyuria and polydipsia were present in only 1 patient, abdominal pain and vomiting in one-third, and hyperglycemia was self-reported on triage in 5 cases. Poor adherence and infectious conditions were the most common triggers (46% and 40%, respectively). Average length of hospital stay was 4.5 days, and there were no negative outcomes – the most common outcome was hospital discharge (73%), followed by interhospital transfer (20%). Conclusion: Hospitalization and mortality rates due to DKA remain high, and reflect a delayed response to a hyperglycemic crisis, resulting from staff unfamiliarity with the condition and the underappreciation of certain complaints in diabetic patients. Continuing education is necessary, and a clear care plan should be provided to facilitate diagnosis and treatment.\n\n\n### (1) Hospital Universitário Antônio Pedro, Serviço de Endocrinologia e Metabologia, Niteroi, RJ, Brasil; (2) Faculdade de Medicina de Barbacena, Barbacena, MG, Brasil; (3) Complexo Hospitalar de Barbacena, Fundação Hospitalar do Estado de Minas Gerais, Barbacena, MG, Brasil\nIntroduction: Diabetic ketoacidosis (DKA) is a complication associated with type 1 (T1D) and type 2 diabetes (T2D). In adults, mortality is low but increases in the elderly with other comorbidities. Common triggering factors are inappropriate use of insulin and infections. The diagnosis is made meeting 3 criteria: high blood glucose, metabolic acidosis or low serum bicarbonate, and ketosis on blood or urine. Objective: To gather data on individuals with DKA, the causes that led to the complication, and assess compliance with diagnostic criteria. Methods: This is a descriptive, observational, retrospective study analyzing data from patients with DKA on an ER between jan-dec/2022. Medical records were selected based on on-call records and subjected to selection criteria (hypothesis of DKA; ≥ 14 y/o) and inclusion criteria (all DKA diagnostic criteria). Patient profile, test requests, and waiting time until treatment were analyzed, transcribed into a spreadsheet, and processed using statistical software. Results: 730 tables containing all admissions to the ER were submitted to selection criteria, 45 patients were selected. 7 were excluded due to incomplete data. Of the remaining 38, only 15 met the inclusion criteria. Average interval between admission and tests (or the moment DKA hypothesis was raised) was 1h46min, and between blood collection and results (or the start of appropriate treatment) was 1h06min. The absence of urine samples in 45% of patients searching for ketonuria demonstrates the lack of a targeted protocol in the unit. 66% were adults (20 to 59 y/o), and 53% were male. Although 73% had T1D, polyuria and polydipsia were present in only 1 patient, abdominal pain and vomiting in one-third, and hyperglycemia was self-reported on triage in 5 cases. Poor adherence and infectious conditions were the most common triggers (46% and 40%, respectively). Average length of hospital stay was 4.5 days, and there were no negative outcomes – the most common outcome was hospital discharge (73%), followed by interhospital transfer (20%). Conclusion: Hospitalization and mortality rates due to DKA remain high, and reflect a delayed response to a hyperglycemic crisis, resulting from staff unfamiliarity with the condition and the underappreciation of certain complaints in diabetic patients. Continuing education is necessary, and a clear care plan should be provided to facilitate diagnosis and treatment.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—006\nIntroduction: Diabetic ketoacidosis (DKA) is a complication associated with type 1 (T1D) and type 2 diabetes (T2D). In adults, mortality is low but increases in the elderly with other comorbidities. Common triggering factors are inappropriate use of insulin and infections. The diagnosis is made meeting 3 criteria: high blood glucose, metabolic acidosis or low serum bicarbonate, and ketosis on blood or urine. Objective: To gather data on individuals with DKA, the causes that led to the complication, and assess compliance with diagnostic criteria. Methods: This is a descriptive, observational, retrospective study analyzing data from patients with DKA on an ER between jan-dec/2022. Medical records were selected based on on-call records and subjected to selection criteria (hypothesis of DKA; ≥ 14 y/o) and inclusion criteria (all DKA diagnostic criteria). Patient profile, test requests, and waiting time until treatment were analyzed, transcribed into a spreadsheet, and processed using statistical software. Results: 730 tables containing all admissions to the ER were submitted to selection criteria, 45 patients were selected. 7 were excluded due to incomplete data. Of the remaining 38, only 15 met the inclusion criteria. Average interval between admission and tests (or the moment DKA hypothesis was raised) was 1h46min, and between blood collection and results (or the start of appropriate treatment) was 1h06min. The absence of urine samples in 45% of patients searching for ketonuria demonstrates the lack of a targeted protocol in the unit. 66% were adults (20 to 59 y/o), and 53% were male. Although 73% had T1D, polyuria and polydipsia were present in only 1 patient, abdominal pain and vomiting in one-third, and hyperglycemia was self-reported on triage in 5 cases. Poor adherence and infectious conditions were the most common triggers (46% and 40%, respectively). Average length of hospital stay was 4.5 days, and there were no negative outcomes – the most common outcome was hospital discharge (73%), followed by interhospital transfer (20%). Conclusion: Hospitalization and mortality rates due to DKA remain high, and reflect a delayed response to a hyperglycemic crisis, resulting from staff unfamiliarity with the condition and the underappreciation of certain complaints in diabetic patients. Continuing education is necessary, and a clear care plan should be provided to facilitate diagnosis and treatment.\n\n\n### PO—007 Factors Associated With Diabetic Ketoacidosis Knowledge Among Individuals With Type 1 Diabetes Mellitus\nIntroduction: Diabetic ketoacidosis (DKA) is a severe and preventable complication of type 1 diabetes mellitus. Proper recognition of its signs and appropriate home management are crucial to prevent progression and reduce emergency care demand. Objective: To assess the knowledge of individuals with type 1 diabetes regarding DKA and analyze whether their performance is associated with sociodemographic or clinical variables. Methods: A cross-sectional, online study was conducted with 465 individuals diagnosed with type 1 diabetes who completed a 13-item questionnaire on DKA. Responses were analyzed using the Kruskal–Wallis test and the Dwass–Steel–Critchlow–Fligner post hoc test. Results: The median number of correct answers was 6 out of 13. The highest accuracy rates were for recognizing the need for emergency care and insulin maintenance. The lowest rates were observed for knowledge of normal ketonemia values and symptoms of DKA. Participants who received medical guidance during in-office medical consultations, were treated in the private healthcare system, used an artificial pancreas (insulin pump), and presented lower glycated hemoglobin (HbA1c) levels showed better performance on the test (p < 0.01 for all). Conclusion: Guidance provided during clinical consultations (ε2 = 0.175) and treatment with an artificial pancreas (ε2 = 0.133) were the variables with the largest effect sizes, suggesting their greater relevance in DKA knowledge. Educational strategies aimed at reinforcing the recognition of signs and symptoms of DKA could support better understanding and potentially contribute to improved outcomes.\n\n\n### Pisani, RB1; Gonzalez, VV1; Gonçalves, TG1; Siqueira, RA1\nIntroduction: Diabetic ketoacidosis (DKA) is a severe and preventable complication of type 1 diabetes mellitus. Proper recognition of its signs and appropriate home management are crucial to prevent progression and reduce emergency care demand. Objective: To assess the knowledge of individuals with type 1 diabetes regarding DKA and analyze whether their performance is associated with sociodemographic or clinical variables. Methods: A cross-sectional, online study was conducted with 465 individuals diagnosed with type 1 diabetes who completed a 13-item questionnaire on DKA. Responses were analyzed using the Kruskal–Wallis test and the Dwass–Steel–Critchlow–Fligner post hoc test. Results: The median number of correct answers was 6 out of 13. The highest accuracy rates were for recognizing the need for emergency care and insulin maintenance. The lowest rates were observed for knowledge of normal ketonemia values and symptoms of DKA. Participants who received medical guidance during in-office medical consultations, were treated in the private healthcare system, used an artificial pancreas (insulin pump), and presented lower glycated hemoglobin (HbA1c) levels showed better performance on the test (p < 0.01 for all). Conclusion: Guidance provided during clinical consultations (ε2 = 0.175) and treatment with an artificial pancreas (ε2 = 0.133) were the variables with the largest effect sizes, suggesting their greater relevance in DKA knowledge. Educational strategies aimed at reinforcing the recognition of signs and symptoms of DKA could support better understanding and potentially contribute to improved outcomes.\n\n\n### (1) Universidade Iguaçu, Nova Iguaçu, RJ, Brasil\nIntroduction: Diabetic ketoacidosis (DKA) is a severe and preventable complication of type 1 diabetes mellitus. Proper recognition of its signs and appropriate home management are crucial to prevent progression and reduce emergency care demand. Objective: To assess the knowledge of individuals with type 1 diabetes regarding DKA and analyze whether their performance is associated with sociodemographic or clinical variables. Methods: A cross-sectional, online study was conducted with 465 individuals diagnosed with type 1 diabetes who completed a 13-item questionnaire on DKA. Responses were analyzed using the Kruskal–Wallis test and the Dwass–Steel–Critchlow–Fligner post hoc test. Results: The median number of correct answers was 6 out of 13. The highest accuracy rates were for recognizing the need for emergency care and insulin maintenance. The lowest rates were observed for knowledge of normal ketonemia values and symptoms of DKA. Participants who received medical guidance during in-office medical consultations, were treated in the private healthcare system, used an artificial pancreas (insulin pump), and presented lower glycated hemoglobin (HbA1c) levels showed better performance on the test (p < 0.01 for all). Conclusion: Guidance provided during clinical consultations (ε2 = 0.175) and treatment with an artificial pancreas (ε2 = 0.133) were the variables with the largest effect sizes, suggesting their greater relevance in DKA knowledge. Educational strategies aimed at reinforcing the recognition of signs and symptoms of DKA could support better understanding and potentially contribute to improved outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—007\nIntroduction: Diabetic ketoacidosis (DKA) is a severe and preventable complication of type 1 diabetes mellitus. Proper recognition of its signs and appropriate home management are crucial to prevent progression and reduce emergency care demand. Objective: To assess the knowledge of individuals with type 1 diabetes regarding DKA and analyze whether their performance is associated with sociodemographic or clinical variables. Methods: A cross-sectional, online study was conducted with 465 individuals diagnosed with type 1 diabetes who completed a 13-item questionnaire on DKA. Responses were analyzed using the Kruskal–Wallis test and the Dwass–Steel–Critchlow–Fligner post hoc test. Results: The median number of correct answers was 6 out of 13. The highest accuracy rates were for recognizing the need for emergency care and insulin maintenance. The lowest rates were observed for knowledge of normal ketonemia values and symptoms of DKA. Participants who received medical guidance during in-office medical consultations, were treated in the private healthcare system, used an artificial pancreas (insulin pump), and presented lower glycated hemoglobin (HbA1c) levels showed better performance on the test (p < 0.01 for all). Conclusion: Guidance provided during clinical consultations (ε2 = 0.175) and treatment with an artificial pancreas (ε2 = 0.133) were the variables with the largest effect sizes, suggesting their greater relevance in DKA knowledge. Educational strategies aimed at reinforcing the recognition of signs and symptoms of DKA could support better understanding and potentially contribute to improved outcomes.\n\n\n### PO—008 Impaired Awareness of Hypoglycemia in Adults with Type 1 Diabetes Mellitus\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is characterized by autoimmune destruction of pancreatic beta cells and hypoglycemia is a serious and potentially life-threatening complication, representing a critical event that impacts both patient safety and glycemic control. Impaired Awareness of Hypoglycemia (IAH) is a syndrome characterized by a diminished or absent ability to recognize hypoglycemia symptoms, increasing the risk of severe hypoglycemic episodes. Objective: To assess the frequency of hypoglycemia (symptomatic, asymptomatic, and severe) and IAH, as well as the circumstances associated with hypoglycemic episodes. Methods: This was an observational, cross-sectional, prospective, and descriptive study conducted in a tertiary hospital involving adult patients diagnosed with T1DM. Data were collected from medical records and through the completion of hypoglycemia- and IAH-related questionnaire (Clarke questionnaire). Results: A total of 79 patients with T1DM were included, 70% of whom were female, with a mean age of 35 ± 10 years. Among the participants, 88.6% reported symptomatic hypoglycemia and 59.5% reported asymptomatic hypoglycemia. The majority (68.4%) had experienced at least one episode of hypoglycemia with significant neuroglycopenic symptoms (such as apathy, confusion, or disorientation) in the past six months, and nearly half (43.0%) had episodes involving loss of consciousness, seizures, or the need for intravenous glucose in the past year. IAH was identified in 29.1% of the participants based on the Clarke questionnaire. Nocturnal hypoglycemia was the most commonly associated scenario. No significant association was found between the presence of IAH and disease duration, insulin dose, glycemic control or presence of retinopathy. Conclusion: The high prevalence of asymptomatic, severe hypoglycemia and IAH in this population underscores the urgent need for diabetes education and highlights the importance of understanding that glycemic targets may need to be adjusted to reduce hypoglycemic episodes and their associated risks and recurrences.\n\n\n### Lima, GAB1; Prestes, R1; Almeida, SR1; Moura, IQ1; Fernandes, CR1; Medeiros, VO1; Fujita, MT1; Júnior, CRMA1; Teixeira, MS1; Silva, CMS1\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is characterized by autoimmune destruction of pancreatic beta cells and hypoglycemia is a serious and potentially life-threatening complication, representing a critical event that impacts both patient safety and glycemic control. Impaired Awareness of Hypoglycemia (IAH) is a syndrome characterized by a diminished or absent ability to recognize hypoglycemia symptoms, increasing the risk of severe hypoglycemic episodes. Objective: To assess the frequency of hypoglycemia (symptomatic, asymptomatic, and severe) and IAH, as well as the circumstances associated with hypoglycemic episodes. Methods: This was an observational, cross-sectional, prospective, and descriptive study conducted in a tertiary hospital involving adult patients diagnosed with T1DM. Data were collected from medical records and through the completion of hypoglycemia- and IAH-related questionnaire (Clarke questionnaire). Results: A total of 79 patients with T1DM were included, 70% of whom were female, with a mean age of 35 ± 10 years. Among the participants, 88.6% reported symptomatic hypoglycemia and 59.5% reported asymptomatic hypoglycemia. The majority (68.4%) had experienced at least one episode of hypoglycemia with significant neuroglycopenic symptoms (such as apathy, confusion, or disorientation) in the past six months, and nearly half (43.0%) had episodes involving loss of consciousness, seizures, or the need for intravenous glucose in the past year. IAH was identified in 29.1% of the participants based on the Clarke questionnaire. Nocturnal hypoglycemia was the most commonly associated scenario. No significant association was found between the presence of IAH and disease duration, insulin dose, glycemic control or presence of retinopathy. Conclusion: The high prevalence of asymptomatic, severe hypoglycemia and IAH in this population underscores the urgent need for diabetes education and highlights the importance of understanding that glycemic targets may need to be adjusted to reduce hypoglycemic episodes and their associated risks and recurrences.\n\n\n### (1) Universidade Federal Fluminense, Niterói, RJ, Brasil\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is characterized by autoimmune destruction of pancreatic beta cells and hypoglycemia is a serious and potentially life-threatening complication, representing a critical event that impacts both patient safety and glycemic control. Impaired Awareness of Hypoglycemia (IAH) is a syndrome characterized by a diminished or absent ability to recognize hypoglycemia symptoms, increasing the risk of severe hypoglycemic episodes. Objective: To assess the frequency of hypoglycemia (symptomatic, asymptomatic, and severe) and IAH, as well as the circumstances associated with hypoglycemic episodes. Methods: This was an observational, cross-sectional, prospective, and descriptive study conducted in a tertiary hospital involving adult patients diagnosed with T1DM. Data were collected from medical records and through the completion of hypoglycemia- and IAH-related questionnaire (Clarke questionnaire). Results: A total of 79 patients with T1DM were included, 70% of whom were female, with a mean age of 35 ± 10 years. Among the participants, 88.6% reported symptomatic hypoglycemia and 59.5% reported asymptomatic hypoglycemia. The majority (68.4%) had experienced at least one episode of hypoglycemia with significant neuroglycopenic symptoms (such as apathy, confusion, or disorientation) in the past six months, and nearly half (43.0%) had episodes involving loss of consciousness, seizures, or the need for intravenous glucose in the past year. IAH was identified in 29.1% of the participants based on the Clarke questionnaire. Nocturnal hypoglycemia was the most commonly associated scenario. No significant association was found between the presence of IAH and disease duration, insulin dose, glycemic control or presence of retinopathy. Conclusion: The high prevalence of asymptomatic, severe hypoglycemia and IAH in this population underscores the urgent need for diabetes education and highlights the importance of understanding that glycemic targets may need to be adjusted to reduce hypoglycemic episodes and their associated risks and recurrences.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—008\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is characterized by autoimmune destruction of pancreatic beta cells and hypoglycemia is a serious and potentially life-threatening complication, representing a critical event that impacts both patient safety and glycemic control. Impaired Awareness of Hypoglycemia (IAH) is a syndrome characterized by a diminished or absent ability to recognize hypoglycemia symptoms, increasing the risk of severe hypoglycemic episodes. Objective: To assess the frequency of hypoglycemia (symptomatic, asymptomatic, and severe) and IAH, as well as the circumstances associated with hypoglycemic episodes. Methods: This was an observational, cross-sectional, prospective, and descriptive study conducted in a tertiary hospital involving adult patients diagnosed with T1DM. Data were collected from medical records and through the completion of hypoglycemia- and IAH-related questionnaire (Clarke questionnaire). Results: A total of 79 patients with T1DM were included, 70% of whom were female, with a mean age of 35 ± 10 years. Among the participants, 88.6% reported symptomatic hypoglycemia and 59.5% reported asymptomatic hypoglycemia. The majority (68.4%) had experienced at least one episode of hypoglycemia with significant neuroglycopenic symptoms (such as apathy, confusion, or disorientation) in the past six months, and nearly half (43.0%) had episodes involving loss of consciousness, seizures, or the need for intravenous glucose in the past year. IAH was identified in 29.1% of the participants based on the Clarke questionnaire. Nocturnal hypoglycemia was the most commonly associated scenario. No significant association was found between the presence of IAH and disease duration, insulin dose, glycemic control or presence of retinopathy. Conclusion: The high prevalence of asymptomatic, severe hypoglycemia and IAH in this population underscores the urgent need for diabetes education and highlights the importance of understanding that glycemic targets may need to be adjusted to reduce hypoglycemic episodes and their associated risks and recurrences.\n\n\n### PO—010 Knowledge About the Use of Glucagon for Severe Hypoglycemia in Patients with Type 1 Diabetes\nIntroduction: Severe hypoglycemia is a common and potentially serious complication of type 1 diabetes (T1D), requiring immediate intervention. Glucagon, a hormone counter-regulatory to insulin, is indicated in such cases and is the main out-of-hospital therapy recommended by international guidelines. However, its use is underestimated in Brazil by both patients and caregivers. Understanding the barriers to appropriate glucagon use is essential to ensure safer and more autonomous management of hypoglycemia. Objective: To assess knowledge and use of the glucagon emergency kit among T1D patients and caregivers, identifying key gaps that hinder its adoption in severe hypoglycemia. Methods: Cross-sectional study using an online questionnaire applied to 1,062 participants—599 T1D patients and 463 caregivers. The instrument assessed sociodemographic data, history of hypoglycemia, and knowledge and possession of glucagon. Statistical analysis included frequency, dispersion, and the Chi-square test (α = 0.05). Results: Among patients, 90.98% reported hypoglycemia, and 52.25% had severe episodes. Among caregivers, 66.59% reported hypoglycemia in those cared for. Still, 85.98% of patients and 85.47% of caregivers never possessed the kit. Moreover, 88.15% of patients and 75.70% of caregivers did not know how to use glucagon; 87.42% of caregivers had never received training. The main reason for not owning the kit was unawareness of its need (34.89% of patients, 23.86% of caregivers), followed by financial difficulty and lack of prescription. Conclusion: Despite frequent severe hypoglycemia in T1D, knowledge and use of glucagon remain limited. Most participants lack access or training, even recognizing its importance. The absence of prescription, education, and support reflects a gap in care. Expanding educational strategies is crucial for enhancing safety and autonomy in the management of T1D.\n\n\n### Witte, BR1; Pisani, RBF1; Siqueira, RA1\nIntroduction: Severe hypoglycemia is a common and potentially serious complication of type 1 diabetes (T1D), requiring immediate intervention. Glucagon, a hormone counter-regulatory to insulin, is indicated in such cases and is the main out-of-hospital therapy recommended by international guidelines. However, its use is underestimated in Brazil by both patients and caregivers. Understanding the barriers to appropriate glucagon use is essential to ensure safer and more autonomous management of hypoglycemia. Objective: To assess knowledge and use of the glucagon emergency kit among T1D patients and caregivers, identifying key gaps that hinder its adoption in severe hypoglycemia. Methods: Cross-sectional study using an online questionnaire applied to 1,062 participants—599 T1D patients and 463 caregivers. The instrument assessed sociodemographic data, history of hypoglycemia, and knowledge and possession of glucagon. Statistical analysis included frequency, dispersion, and the Chi-square test (α = 0.05). Results: Among patients, 90.98% reported hypoglycemia, and 52.25% had severe episodes. Among caregivers, 66.59% reported hypoglycemia in those cared for. Still, 85.98% of patients and 85.47% of caregivers never possessed the kit. Moreover, 88.15% of patients and 75.70% of caregivers did not know how to use glucagon; 87.42% of caregivers had never received training. The main reason for not owning the kit was unawareness of its need (34.89% of patients, 23.86% of caregivers), followed by financial difficulty and lack of prescription. Conclusion: Despite frequent severe hypoglycemia in T1D, knowledge and use of glucagon remain limited. Most participants lack access or training, even recognizing its importance. The absence of prescription, education, and support reflects a gap in care. Expanding educational strategies is crucial for enhancing safety and autonomy in the management of T1D.\n\n\n### (1) Universidade Iguaçu, Nova Iguaçu, RJ, Brasil\nIntroduction: Severe hypoglycemia is a common and potentially serious complication of type 1 diabetes (T1D), requiring immediate intervention. Glucagon, a hormone counter-regulatory to insulin, is indicated in such cases and is the main out-of-hospital therapy recommended by international guidelines. However, its use is underestimated in Brazil by both patients and caregivers. Understanding the barriers to appropriate glucagon use is essential to ensure safer and more autonomous management of hypoglycemia. Objective: To assess knowledge and use of the glucagon emergency kit among T1D patients and caregivers, identifying key gaps that hinder its adoption in severe hypoglycemia. Methods: Cross-sectional study using an online questionnaire applied to 1,062 participants—599 T1D patients and 463 caregivers. The instrument assessed sociodemographic data, history of hypoglycemia, and knowledge and possession of glucagon. Statistical analysis included frequency, dispersion, and the Chi-square test (α = 0.05). Results: Among patients, 90.98% reported hypoglycemia, and 52.25% had severe episodes. Among caregivers, 66.59% reported hypoglycemia in those cared for. Still, 85.98% of patients and 85.47% of caregivers never possessed the kit. Moreover, 88.15% of patients and 75.70% of caregivers did not know how to use glucagon; 87.42% of caregivers had never received training. The main reason for not owning the kit was unawareness of its need (34.89% of patients, 23.86% of caregivers), followed by financial difficulty and lack of prescription. Conclusion: Despite frequent severe hypoglycemia in T1D, knowledge and use of glucagon remain limited. Most participants lack access or training, even recognizing its importance. The absence of prescription, education, and support reflects a gap in care. Expanding educational strategies is crucial for enhancing safety and autonomy in the management of T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—010\nIntroduction: Severe hypoglycemia is a common and potentially serious complication of type 1 diabetes (T1D), requiring immediate intervention. Glucagon, a hormone counter-regulatory to insulin, is indicated in such cases and is the main out-of-hospital therapy recommended by international guidelines. However, its use is underestimated in Brazil by both patients and caregivers. Understanding the barriers to appropriate glucagon use is essential to ensure safer and more autonomous management of hypoglycemia. Objective: To assess knowledge and use of the glucagon emergency kit among T1D patients and caregivers, identifying key gaps that hinder its adoption in severe hypoglycemia. Methods: Cross-sectional study using an online questionnaire applied to 1,062 participants—599 T1D patients and 463 caregivers. The instrument assessed sociodemographic data, history of hypoglycemia, and knowledge and possession of glucagon. Statistical analysis included frequency, dispersion, and the Chi-square test (α = 0.05). Results: Among patients, 90.98% reported hypoglycemia, and 52.25% had severe episodes. Among caregivers, 66.59% reported hypoglycemia in those cared for. Still, 85.98% of patients and 85.47% of caregivers never possessed the kit. Moreover, 88.15% of patients and 75.70% of caregivers did not know how to use glucagon; 87.42% of caregivers had never received training. The main reason for not owning the kit was unawareness of its need (34.89% of patients, 23.86% of caregivers), followed by financial difficulty and lack of prescription. Conclusion: Despite frequent severe hypoglycemia in T1D, knowledge and use of glucagon remain limited. Most participants lack access or training, even recognizing its importance. The absence of prescription, education, and support reflects a gap in care. Expanding educational strategies is crucial for enhancing safety and autonomy in the management of T1D.\n\n\n### PO—012 Research trends in diabetes among adults aged ≥ 65 years: a scoping review of studies published 2019 – 2025\nIntroduction: Adults aged ≥ 65 years now represent the fastest-growing segment of the diabetes population. Their physiological heterogeneity, multimorbidity and variable life expectancy make simple extrapolation from middle-aged cohorts unsafe, yet most landmark trials under-represent this age group. Mapping what has actually been studied is therefore essential to guide truly geriatric-focused research. Objective: To chart the volume, design and thematic focus of primary studies on diabetes in adults ≥ 65 years published between 2019 and 2025, and to pinpoint gaps in frailty reporting, hypoglycaemia end-points and inclusion of the oldest-old. Methods: A scoping review following Joanna Briggs Institute guidance systematically searched MEDLINE, Embase, Scopus and SciELO on 30 Jun 2025 for articles published between 2019 and 2025 containing keywords for diabetes and older adults. Duplicates were removed; two independent reviewers screened titles/abstracts, assessed full texts and extracted study characteristics. Results: Of 1642 records retrieved, 1 324 remained after deduplication; 188 full texts were reviewed and 95 studies met inclusion criteria. Designs were observational (46%), randomised controlled trials (29%) and qualitative or mixed-methods (25%). Research themes clustered into pharmacotherapy safety or efficacy (42%), lifestyle or rehabilitation interventions (23%), acute metabolic complications such as hypoglycaemia or ketoacidosis (11%), chronic complications and functional decline (15%), and service delivery or telehealth (9%). Only seven trials (7%) enrolled adults ≥ 85 years and deprescribing strategies appeared in five studies. Frailty indices were reported in 19% of observational papers but seldom used to stratify treatment effects; hypoglycaemia was the primary outcome in just 10% of trials despite being the leading cause of diabetes-related emergency admission in this age group. Conclusion: Contemporary literature on diabetes in older adults is expanding but remains weighted toward pharmacotherapy and under-represents the oldest-old, deprescribing, frailty-stratified analyses and functional endpoints. Future research should prioritise pragmatic trials including participants over 80, incorporate frailty status and assess patient-centred outcomes such as autonomy and quality of life.\n\n\n### Pinheiro, LC1; Pinheiro, LC1\nIntroduction: Adults aged ≥ 65 years now represent the fastest-growing segment of the diabetes population. Their physiological heterogeneity, multimorbidity and variable life expectancy make simple extrapolation from middle-aged cohorts unsafe, yet most landmark trials under-represent this age group. Mapping what has actually been studied is therefore essential to guide truly geriatric-focused research. Objective: To chart the volume, design and thematic focus of primary studies on diabetes in adults ≥ 65 years published between 2019 and 2025, and to pinpoint gaps in frailty reporting, hypoglycaemia end-points and inclusion of the oldest-old. Methods: A scoping review following Joanna Briggs Institute guidance systematically searched MEDLINE, Embase, Scopus and SciELO on 30 Jun 2025 for articles published between 2019 and 2025 containing keywords for diabetes and older adults. Duplicates were removed; two independent reviewers screened titles/abstracts, assessed full texts and extracted study characteristics. Results: Of 1642 records retrieved, 1 324 remained after deduplication; 188 full texts were reviewed and 95 studies met inclusion criteria. Designs were observational (46%), randomised controlled trials (29%) and qualitative or mixed-methods (25%). Research themes clustered into pharmacotherapy safety or efficacy (42%), lifestyle or rehabilitation interventions (23%), acute metabolic complications such as hypoglycaemia or ketoacidosis (11%), chronic complications and functional decline (15%), and service delivery or telehealth (9%). Only seven trials (7%) enrolled adults ≥ 85 years and deprescribing strategies appeared in five studies. Frailty indices were reported in 19% of observational papers but seldom used to stratify treatment effects; hypoglycaemia was the primary outcome in just 10% of trials despite being the leading cause of diabetes-related emergency admission in this age group. Conclusion: Contemporary literature on diabetes in older adults is expanding but remains weighted toward pharmacotherapy and under-represents the oldest-old, deprescribing, frailty-stratified analyses and functional endpoints. Future research should prioritise pragmatic trials including participants over 80, incorporate frailty status and assess patient-centred outcomes such as autonomy and quality of life.\n\n\n### (1) Universidade de Fortaleza, Fortaleza, CE, Brasi\nIntroduction: Adults aged ≥ 65 years now represent the fastest-growing segment of the diabetes population. Their physiological heterogeneity, multimorbidity and variable life expectancy make simple extrapolation from middle-aged cohorts unsafe, yet most landmark trials under-represent this age group. Mapping what has actually been studied is therefore essential to guide truly geriatric-focused research. Objective: To chart the volume, design and thematic focus of primary studies on diabetes in adults ≥ 65 years published between 2019 and 2025, and to pinpoint gaps in frailty reporting, hypoglycaemia end-points and inclusion of the oldest-old. Methods: A scoping review following Joanna Briggs Institute guidance systematically searched MEDLINE, Embase, Scopus and SciELO on 30 Jun 2025 for articles published between 2019 and 2025 containing keywords for diabetes and older adults. Duplicates were removed; two independent reviewers screened titles/abstracts, assessed full texts and extracted study characteristics. Results: Of 1642 records retrieved, 1 324 remained after deduplication; 188 full texts were reviewed and 95 studies met inclusion criteria. Designs were observational (46%), randomised controlled trials (29%) and qualitative or mixed-methods (25%). Research themes clustered into pharmacotherapy safety or efficacy (42%), lifestyle or rehabilitation interventions (23%), acute metabolic complications such as hypoglycaemia or ketoacidosis (11%), chronic complications and functional decline (15%), and service delivery or telehealth (9%). Only seven trials (7%) enrolled adults ≥ 85 years and deprescribing strategies appeared in five studies. Frailty indices were reported in 19% of observational papers but seldom used to stratify treatment effects; hypoglycaemia was the primary outcome in just 10% of trials despite being the leading cause of diabetes-related emergency admission in this age group. Conclusion: Contemporary literature on diabetes in older adults is expanding but remains weighted toward pharmacotherapy and under-represents the oldest-old, deprescribing, frailty-stratified analyses and functional endpoints. Future research should prioritise pragmatic trials including participants over 80, incorporate frailty status and assess patient-centred outcomes such as autonomy and quality of life.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—012\nIntroduction: Adults aged ≥ 65 years now represent the fastest-growing segment of the diabetes population. Their physiological heterogeneity, multimorbidity and variable life expectancy make simple extrapolation from middle-aged cohorts unsafe, yet most landmark trials under-represent this age group. Mapping what has actually been studied is therefore essential to guide truly geriatric-focused research. Objective: To chart the volume, design and thematic focus of primary studies on diabetes in adults ≥ 65 years published between 2019 and 2025, and to pinpoint gaps in frailty reporting, hypoglycaemia end-points and inclusion of the oldest-old. Methods: A scoping review following Joanna Briggs Institute guidance systematically searched MEDLINE, Embase, Scopus and SciELO on 30 Jun 2025 for articles published between 2019 and 2025 containing keywords for diabetes and older adults. Duplicates were removed; two independent reviewers screened titles/abstracts, assessed full texts and extracted study characteristics. Results: Of 1642 records retrieved, 1 324 remained after deduplication; 188 full texts were reviewed and 95 studies met inclusion criteria. Designs were observational (46%), randomised controlled trials (29%) and qualitative or mixed-methods (25%). Research themes clustered into pharmacotherapy safety or efficacy (42%), lifestyle or rehabilitation interventions (23%), acute metabolic complications such as hypoglycaemia or ketoacidosis (11%), chronic complications and functional decline (15%), and service delivery or telehealth (9%). Only seven trials (7%) enrolled adults ≥ 85 years and deprescribing strategies appeared in five studies. Frailty indices were reported in 19% of observational papers but seldom used to stratify treatment effects; hypoglycaemia was the primary outcome in just 10% of trials despite being the leading cause of diabetes-related emergency admission in this age group. Conclusion: Contemporary literature on diabetes in older adults is expanding but remains weighted toward pharmacotherapy and under-represents the oldest-old, deprescribing, frailty-stratified analyses and functional endpoints. Future research should prioritise pragmatic trials including participants over 80, incorporate frailty status and assess patient-centred outcomes such as autonomy and quality of life.\n\n\n### PO—013 Metformin-associated lactic acidosis (MALA) – Much Described but Little Recognized: A Case Report\nCase Presentation: A 67-year-old female with hypertension, non-dialytic chronic kidney disease(CKD), dyslipidemia, insulin-dependent type 2 diabetes, and coronary artery disease was admitted in September 2023 with metrorrhagia after dual antiplatelet therapy. She used antihypertensives, statins, NPH insulin (15 IU nightly), and metformin 1.7 g/day. During hospitalization, she underwent gynecological investigation for abnormal uterine bleeding, but developed cardiovascular and renal complications, progressing to CKD stage 5 and starting dialysis. After stabilization, she was discharged in good condition on regular and NPH insulin. Five days post-discharge, the patient returned to the hospital with somnolence, nausea, vomiting, refractory hypoglycemia, and deterioration. Family reported she had restarted metformin without medical advice. On physical examination, she was dehydrated, drowsy, and hypotensive. Laboratory tests revealed: pH 7.26, HCO₃⁻ 7.2 mEq/L, pCO₂ 15.8 mmHg, lactate 22 mmol/L, potassium 5.6 mEq/L, without inflammatory marker elevation. Metformin-associated lactic acidosis (MALA) was suspected. The patient underwent urgent hemodialysis, IV hydration, glucose replacement, and treatment for hyperkalemia. After initial improvement, she developed severe malnutrition and multiple complications, culminating in cardiopulmonary arrest, likely from electrolyte imbalance. The patient gave her explicit written consent to publish her information in an open access jornal. Discussion: Metformin is a widely prescribed antidiabetic agent due to its efficacy and safety profile. However, in cases of accumulation—particularly in the setting of renal impairment—it can cause metformin-associated lactic acidosis (MALA), a rare yet potentially fatal condition. Inappropriate use in patients with renal dysfunction impairs hepatic lactate metabolism, leading to serum lactate accumulation. Diagnosis is based on clinical history, high anion gap metabolic acidosis, and hyperlactatemia. Management includes immediate discontinuation of metformin, early hemodialysis, bicarbonate administration in severe cases and supportive hemodynamic care. Final Comments: This case highlights the risks of inappropriate metformin use in patients with advanced renal dysfunction. Although rare, MALA carries high mortality, and early recognition and intervention are crucial for patient survival. It reinforces the importance of continuous education for patients and caregivers regarding antidiabetic use, as well as effective communication among healthcare teams during transitions of care.\n\n\n### Venancio, LTCO1; Lacerda, A1; Valinhas, B1; Carvalho, PGT1\nCase Presentation: A 67-year-old female with hypertension, non-dialytic chronic kidney disease(CKD), dyslipidemia, insulin-dependent type 2 diabetes, and coronary artery disease was admitted in September 2023 with metrorrhagia after dual antiplatelet therapy. She used antihypertensives, statins, NPH insulin (15 IU nightly), and metformin 1.7 g/day. During hospitalization, she underwent gynecological investigation for abnormal uterine bleeding, but developed cardiovascular and renal complications, progressing to CKD stage 5 and starting dialysis. After stabilization, she was discharged in good condition on regular and NPH insulin. Five days post-discharge, the patient returned to the hospital with somnolence, nausea, vomiting, refractory hypoglycemia, and deterioration. Family reported she had restarted metformin without medical advice. On physical examination, she was dehydrated, drowsy, and hypotensive. Laboratory tests revealed: pH 7.26, HCO₃⁻ 7.2 mEq/L, pCO₂ 15.8 mmHg, lactate 22 mmol/L, potassium 5.6 mEq/L, without inflammatory marker elevation. Metformin-associated lactic acidosis (MALA) was suspected. The patient underwent urgent hemodialysis, IV hydration, glucose replacement, and treatment for hyperkalemia. After initial improvement, she developed severe malnutrition and multiple complications, culminating in cardiopulmonary arrest, likely from electrolyte imbalance. The patient gave her explicit written consent to publish her information in an open access jornal. Discussion: Metformin is a widely prescribed antidiabetic agent due to its efficacy and safety profile. However, in cases of accumulation—particularly in the setting of renal impairment—it can cause metformin-associated lactic acidosis (MALA), a rare yet potentially fatal condition. Inappropriate use in patients with renal dysfunction impairs hepatic lactate metabolism, leading to serum lactate accumulation. Diagnosis is based on clinical history, high anion gap metabolic acidosis, and hyperlactatemia. Management includes immediate discontinuation of metformin, early hemodialysis, bicarbonate administration in severe cases and supportive hemodynamic care. Final Comments: This case highlights the risks of inappropriate metformin use in patients with advanced renal dysfunction. Although rare, MALA carries high mortality, and early recognition and intervention are crucial for patient survival. It reinforces the importance of continuous education for patients and caregivers regarding antidiabetic use, as well as effective communication among healthcare teams during transitions of care.\n\n\n### (1) Hospital Federal de Ipanema, Rio de Janeiro, RJ, Brasil\nCase Presentation: A 67-year-old female with hypertension, non-dialytic chronic kidney disease(CKD), dyslipidemia, insulin-dependent type 2 diabetes, and coronary artery disease was admitted in September 2023 with metrorrhagia after dual antiplatelet therapy. She used antihypertensives, statins, NPH insulin (15 IU nightly), and metformin 1.7 g/day. During hospitalization, she underwent gynecological investigation for abnormal uterine bleeding, but developed cardiovascular and renal complications, progressing to CKD stage 5 and starting dialysis. After stabilization, she was discharged in good condition on regular and NPH insulin. Five days post-discharge, the patient returned to the hospital with somnolence, nausea, vomiting, refractory hypoglycemia, and deterioration. Family reported she had restarted metformin without medical advice. On physical examination, she was dehydrated, drowsy, and hypotensive. Laboratory tests revealed: pH 7.26, HCO₃⁻ 7.2 mEq/L, pCO₂ 15.8 mmHg, lactate 22 mmol/L, potassium 5.6 mEq/L, without inflammatory marker elevation. Metformin-associated lactic acidosis (MALA) was suspected. The patient underwent urgent hemodialysis, IV hydration, glucose replacement, and treatment for hyperkalemia. After initial improvement, she developed severe malnutrition and multiple complications, culminating in cardiopulmonary arrest, likely from electrolyte imbalance. The patient gave her explicit written consent to publish her information in an open access jornal. Discussion: Metformin is a widely prescribed antidiabetic agent due to its efficacy and safety profile. However, in cases of accumulation—particularly in the setting of renal impairment—it can cause metformin-associated lactic acidosis (MALA), a rare yet potentially fatal condition. Inappropriate use in patients with renal dysfunction impairs hepatic lactate metabolism, leading to serum lactate accumulation. Diagnosis is based on clinical history, high anion gap metabolic acidosis, and hyperlactatemia. Management includes immediate discontinuation of metformin, early hemodialysis, bicarbonate administration in severe cases and supportive hemodynamic care. Final Comments: This case highlights the risks of inappropriate metformin use in patients with advanced renal dysfunction. Although rare, MALA carries high mortality, and early recognition and intervention are crucial for patient survival. It reinforces the importance of continuous education for patients and caregivers regarding antidiabetic use, as well as effective communication among healthcare teams during transitions of care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—013\nCase Presentation: A 67-year-old female with hypertension, non-dialytic chronic kidney disease(CKD), dyslipidemia, insulin-dependent type 2 diabetes, and coronary artery disease was admitted in September 2023 with metrorrhagia after dual antiplatelet therapy. She used antihypertensives, statins, NPH insulin (15 IU nightly), and metformin 1.7 g/day. During hospitalization, she underwent gynecological investigation for abnormal uterine bleeding, but developed cardiovascular and renal complications, progressing to CKD stage 5 and starting dialysis. After stabilization, she was discharged in good condition on regular and NPH insulin. Five days post-discharge, the patient returned to the hospital with somnolence, nausea, vomiting, refractory hypoglycemia, and deterioration. Family reported she had restarted metformin without medical advice. On physical examination, she was dehydrated, drowsy, and hypotensive. Laboratory tests revealed: pH 7.26, HCO₃⁻ 7.2 mEq/L, pCO₂ 15.8 mmHg, lactate 22 mmol/L, potassium 5.6 mEq/L, without inflammatory marker elevation. Metformin-associated lactic acidosis (MALA) was suspected. The patient underwent urgent hemodialysis, IV hydration, glucose replacement, and treatment for hyperkalemia. After initial improvement, she developed severe malnutrition and multiple complications, culminating in cardiopulmonary arrest, likely from electrolyte imbalance. The patient gave her explicit written consent to publish her information in an open access jornal. Discussion: Metformin is a widely prescribed antidiabetic agent due to its efficacy and safety profile. However, in cases of accumulation—particularly in the setting of renal impairment—it can cause metformin-associated lactic acidosis (MALA), a rare yet potentially fatal condition. Inappropriate use in patients with renal dysfunction impairs hepatic lactate metabolism, leading to serum lactate accumulation. Diagnosis is based on clinical history, high anion gap metabolic acidosis, and hyperlactatemia. Management includes immediate discontinuation of metformin, early hemodialysis, bicarbonate administration in severe cases and supportive hemodynamic care. Final Comments: This case highlights the risks of inappropriate metformin use in patients with advanced renal dysfunction. Although rare, MALA carries high mortality, and early recognition and intervention are crucial for patient survival. It reinforces the importance of continuous education for patients and caregivers regarding antidiabetic use, as well as effective communication among healthcare teams during transitions of care.\n\n\n### PO—014 Ambulatory blood pressure monitoring in type 1 diabetes patients over 10 years of follow-up\nIntroduction: Reducing diabetes-related complications is an essential goal in the care of type 1 diabetes subjects. Objective: to evaluate the relation between risk factors, including blood pressure (BP) levels measured with ambulatory blood pressure monitoring (ABPM), and the incidence of microvascular and macrovascular complications in outpatients with T1D. Methods: This study included patients with T1D, previous ABPM and clinic follow-up for more than 2 years. For each individual (n = 144), data on blood glucose levels, BP and dyslipidemia were collected to assess the relationship between these risk factors and diabetes- related complications. The main outcome was combined cardiovascular events (CVE): fatal and non-fatal acute myocardial infarction, fatal and non-fatal stroke, ischemic heart disease or peripheral arterial occlusive disease requiring revascularization. Results: During 10 ± 2.75 years of follow-up, individuals with higher blood glucose levels and dyslipidemia had more risk for CVE, RR 2.60 (CI 95%, 1.42–4.78) and RR 11.74 (CI 95%, 1.55–88.58), respectively. Also, 11 of 144 analyzed individuals had the main outcome and presented higher levels of BP during wakefulness compared to patients without CVE (98.3 ± 9.4 vs. 93.0 ± 8.0, p = 0.048). Furthermore, 7 patients died in follow-up and had higher levels of mean BP in 24h (97.1 ± 9.3 vs. 90.6 ± 8.0, p = 0.037), diastolic BP in 24h (80.1 ± 5.1 vs. 74.1 ± 7.6, p = 0.042), in sleep (91.3 ± 13.4 vs. 83.7 ± 9.7, p = 0.049) and in wakefulness (99.9 ± 9.1 vs. 93.0 ± 8.0, p = 0.031) compared to those who survived over 10 years. Conclusion: In this cohort, higher HbA1c levels on follow-up was the major factor associated with the development of outcomes such as cardiovascular and microvascular complications of diabetes. In addition, BP was also an important factor related to the development of these complications, especially those obtained by non-traditional office measures, with lower BP values associated with fewer diabetes complications and mortality.\n\n\n### Rodrigues, TC1; Cipriane, GD1; Wildner, JTW1\nIntroduction: Reducing diabetes-related complications is an essential goal in the care of type 1 diabetes subjects. Objective: to evaluate the relation between risk factors, including blood pressure (BP) levels measured with ambulatory blood pressure monitoring (ABPM), and the incidence of microvascular and macrovascular complications in outpatients with T1D. Methods: This study included patients with T1D, previous ABPM and clinic follow-up for more than 2 years. For each individual (n = 144), data on blood glucose levels, BP and dyslipidemia were collected to assess the relationship between these risk factors and diabetes- related complications. The main outcome was combined cardiovascular events (CVE): fatal and non-fatal acute myocardial infarction, fatal and non-fatal stroke, ischemic heart disease or peripheral arterial occlusive disease requiring revascularization. Results: During 10 ± 2.75 years of follow-up, individuals with higher blood glucose levels and dyslipidemia had more risk for CVE, RR 2.60 (CI 95%, 1.42–4.78) and RR 11.74 (CI 95%, 1.55–88.58), respectively. Also, 11 of 144 analyzed individuals had the main outcome and presented higher levels of BP during wakefulness compared to patients without CVE (98.3 ± 9.4 vs. 93.0 ± 8.0, p = 0.048). Furthermore, 7 patients died in follow-up and had higher levels of mean BP in 24h (97.1 ± 9.3 vs. 90.6 ± 8.0, p = 0.037), diastolic BP in 24h (80.1 ± 5.1 vs. 74.1 ± 7.6, p = 0.042), in sleep (91.3 ± 13.4 vs. 83.7 ± 9.7, p = 0.049) and in wakefulness (99.9 ± 9.1 vs. 93.0 ± 8.0, p = 0.031) compared to those who survived over 10 years. Conclusion: In this cohort, higher HbA1c levels on follow-up was the major factor associated with the development of outcomes such as cardiovascular and microvascular complications of diabetes. In addition, BP was also an important factor related to the development of these complications, especially those obtained by non-traditional office measures, with lower BP values associated with fewer diabetes complications and mortality.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil\nIntroduction: Reducing diabetes-related complications is an essential goal in the care of type 1 diabetes subjects. Objective: to evaluate the relation between risk factors, including blood pressure (BP) levels measured with ambulatory blood pressure monitoring (ABPM), and the incidence of microvascular and macrovascular complications in outpatients with T1D. Methods: This study included patients with T1D, previous ABPM and clinic follow-up for more than 2 years. For each individual (n = 144), data on blood glucose levels, BP and dyslipidemia were collected to assess the relationship between these risk factors and diabetes- related complications. The main outcome was combined cardiovascular events (CVE): fatal and non-fatal acute myocardial infarction, fatal and non-fatal stroke, ischemic heart disease or peripheral arterial occlusive disease requiring revascularization. Results: During 10 ± 2.75 years of follow-up, individuals with higher blood glucose levels and dyslipidemia had more risk for CVE, RR 2.60 (CI 95%, 1.42–4.78) and RR 11.74 (CI 95%, 1.55–88.58), respectively. Also, 11 of 144 analyzed individuals had the main outcome and presented higher levels of BP during wakefulness compared to patients without CVE (98.3 ± 9.4 vs. 93.0 ± 8.0, p = 0.048). Furthermore, 7 patients died in follow-up and had higher levels of mean BP in 24h (97.1 ± 9.3 vs. 90.6 ± 8.0, p = 0.037), diastolic BP in 24h (80.1 ± 5.1 vs. 74.1 ± 7.6, p = 0.042), in sleep (91.3 ± 13.4 vs. 83.7 ± 9.7, p = 0.049) and in wakefulness (99.9 ± 9.1 vs. 93.0 ± 8.0, p = 0.031) compared to those who survived over 10 years. Conclusion: In this cohort, higher HbA1c levels on follow-up was the major factor associated with the development of outcomes such as cardiovascular and microvascular complications of diabetes. In addition, BP was also an important factor related to the development of these complications, especially those obtained by non-traditional office measures, with lower BP values associated with fewer diabetes complications and mortality.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—014\nIntroduction: Reducing diabetes-related complications is an essential goal in the care of type 1 diabetes subjects. Objective: to evaluate the relation between risk factors, including blood pressure (BP) levels measured with ambulatory blood pressure monitoring (ABPM), and the incidence of microvascular and macrovascular complications in outpatients with T1D. Methods: This study included patients with T1D, previous ABPM and clinic follow-up for more than 2 years. For each individual (n = 144), data on blood glucose levels, BP and dyslipidemia were collected to assess the relationship between these risk factors and diabetes- related complications. The main outcome was combined cardiovascular events (CVE): fatal and non-fatal acute myocardial infarction, fatal and non-fatal stroke, ischemic heart disease or peripheral arterial occlusive disease requiring revascularization. Results: During 10 ± 2.75 years of follow-up, individuals with higher blood glucose levels and dyslipidemia had more risk for CVE, RR 2.60 (CI 95%, 1.42–4.78) and RR 11.74 (CI 95%, 1.55–88.58), respectively. Also, 11 of 144 analyzed individuals had the main outcome and presented higher levels of BP during wakefulness compared to patients without CVE (98.3 ± 9.4 vs. 93.0 ± 8.0, p = 0.048). Furthermore, 7 patients died in follow-up and had higher levels of mean BP in 24h (97.1 ± 9.3 vs. 90.6 ± 8.0, p = 0.037), diastolic BP in 24h (80.1 ± 5.1 vs. 74.1 ± 7.6, p = 0.042), in sleep (91.3 ± 13.4 vs. 83.7 ± 9.7, p = 0.049) and in wakefulness (99.9 ± 9.1 vs. 93.0 ± 8.0, p = 0.031) compared to those who survived over 10 years. Conclusion: In this cohort, higher HbA1c levels on follow-up was the major factor associated with the development of outcomes such as cardiovascular and microvascular complications of diabetes. In addition, BP was also an important factor related to the development of these complications, especially those obtained by non-traditional office measures, with lower BP values associated with fewer diabetes complications and mortality.\n\n\n### PO—016 Analysis of Morbidity and Mortality Due to Diabetes Mellitus in Brazil: An Ecological Study from 2014 to 2023\nIntroduction: Diabetes Mellitus (DM) is among the leading causes of chronic morbidity and premature mortality in Brazil, with distributions strongly influenced by socioeconomic disparities. This ecological study examines national trends in morbidity and mortality due to DM in Brazil from 2014 through 2023, based on public data from DATASUS TabNet. Objective: To describe temporal and regional patterns of DM-related hospitalizations and mortality in Brazil between 2014 and 2023, identifying vulnerable regions and age groups. Methods: A retrospective ecological design was adopted, using aggregated data from DATASUS TabNet (SIH‑SUS and SIM systems) on hospital admissions and mortality attributed to DM (ICD‑10 codes) from 2014 to the most recent available year 2023. Rates per 100 000 population were calculated by age group (e.g. 30–69, 70 +), sex, and geographic region. Trends over time were analyzed descriptively, and regional inequalities explored through rate comparisons across North, Northeast, Southeast, South and Central‑West. Results: According to Ministry of Health bulletins, total DM-related deaths increased from approximately 55 000 in 2010 to over 75 000 in 2021; in aggregate, between 2010 and 2021 nearly 753 000 deaths were registered nationally. The North and Northeast exhibited the highest mortality rates (e.g. ≈ 34.4/100 000 in the Northeast) while the lowest rates occurred in the Central‑West (≈ 15.8/100 000 in Minas Gerais). Premature mortality (ages 30–69) declined modestly from \\ ~ 34.7 to \\ ~ 37 per 100 000 by 2019, but reversed from 2020 onward, likely reflecting pandemic effects on vulnerable populations. Hospitalization data show higher DM morbidity burden in North and Northeast regions, with longer length of stay and higher inpatient mortality rates compared to other areas. Reports also show that mortality is twice as high among individuals with only up to three years of formal education (≈ 59.5/100 000) compared with the total population average. Conclusion: Between 2014 and 2023, Brazil faced persistent regional and social inequalities in diabetes morbidity and mortality, with North and Northeast regions bearing a disproportionate burden. Premature mortality declined slightly until 2019 but rose after 2020, reflecting vulnerability amid the COVID-19 syndemic. Strengthened primary care, targeted prevention, and actions on social determinants are needed. Continuous DATASUS surveillance is crucial to guide policies and curb the diabetes burden.\n\n\n### Cruz, AMF1; Faria, IC1; Silva, MEB1; Souza, MRCP2\nIntroduction: Diabetes Mellitus (DM) is among the leading causes of chronic morbidity and premature mortality in Brazil, with distributions strongly influenced by socioeconomic disparities. This ecological study examines national trends in morbidity and mortality due to DM in Brazil from 2014 through 2023, based on public data from DATASUS TabNet. Objective: To describe temporal and regional patterns of DM-related hospitalizations and mortality in Brazil between 2014 and 2023, identifying vulnerable regions and age groups. Methods: A retrospective ecological design was adopted, using aggregated data from DATASUS TabNet (SIH‑SUS and SIM systems) on hospital admissions and mortality attributed to DM (ICD‑10 codes) from 2014 to the most recent available year 2023. Rates per 100 000 population were calculated by age group (e.g. 30–69, 70 +), sex, and geographic region. Trends over time were analyzed descriptively, and regional inequalities explored through rate comparisons across North, Northeast, Southeast, South and Central‑West. Results: According to Ministry of Health bulletins, total DM-related deaths increased from approximately 55 000 in 2010 to over 75 000 in 2021; in aggregate, between 2010 and 2021 nearly 753 000 deaths were registered nationally. The North and Northeast exhibited the highest mortality rates (e.g. ≈ 34.4/100 000 in the Northeast) while the lowest rates occurred in the Central‑West (≈ 15.8/100 000 in Minas Gerais). Premature mortality (ages 30–69) declined modestly from \\ ~ 34.7 to \\ ~ 37 per 100 000 by 2019, but reversed from 2020 onward, likely reflecting pandemic effects on vulnerable populations. Hospitalization data show higher DM morbidity burden in North and Northeast regions, with longer length of stay and higher inpatient mortality rates compared to other areas. Reports also show that mortality is twice as high among individuals with only up to three years of formal education (≈ 59.5/100 000) compared with the total population average. Conclusion: Between 2014 and 2023, Brazil faced persistent regional and social inequalities in diabetes morbidity and mortality, with North and Northeast regions bearing a disproportionate burden. Premature mortality declined slightly until 2019 but rose after 2020, reflecting vulnerability amid the COVID-19 syndemic. Strengthened primary care, targeted prevention, and actions on social determinants are needed. Continuous DATASUS surveillance is crucial to guide policies and curb the diabetes burden.\n\n\n### (1) Centro Universitário de Belo Horizonte, Belo Horizonte, MG, Brasil; (2) Centro de Especialidades Médicas da Santa Casa, Belo Horizonte, MG – Brasil\nIntroduction: Diabetes Mellitus (DM) is among the leading causes of chronic morbidity and premature mortality in Brazil, with distributions strongly influenced by socioeconomic disparities. This ecological study examines national trends in morbidity and mortality due to DM in Brazil from 2014 through 2023, based on public data from DATASUS TabNet. Objective: To describe temporal and regional patterns of DM-related hospitalizations and mortality in Brazil between 2014 and 2023, identifying vulnerable regions and age groups. Methods: A retrospective ecological design was adopted, using aggregated data from DATASUS TabNet (SIH‑SUS and SIM systems) on hospital admissions and mortality attributed to DM (ICD‑10 codes) from 2014 to the most recent available year 2023. Rates per 100 000 population were calculated by age group (e.g. 30–69, 70 +), sex, and geographic region. Trends over time were analyzed descriptively, and regional inequalities explored through rate comparisons across North, Northeast, Southeast, South and Central‑West. Results: According to Ministry of Health bulletins, total DM-related deaths increased from approximately 55 000 in 2010 to over 75 000 in 2021; in aggregate, between 2010 and 2021 nearly 753 000 deaths were registered nationally. The North and Northeast exhibited the highest mortality rates (e.g. ≈ 34.4/100 000 in the Northeast) while the lowest rates occurred in the Central‑West (≈ 15.8/100 000 in Minas Gerais). Premature mortality (ages 30–69) declined modestly from \\ ~ 34.7 to \\ ~ 37 per 100 000 by 2019, but reversed from 2020 onward, likely reflecting pandemic effects on vulnerable populations. Hospitalization data show higher DM morbidity burden in North and Northeast regions, with longer length of stay and higher inpatient mortality rates compared to other areas. Reports also show that mortality is twice as high among individuals with only up to three years of formal education (≈ 59.5/100 000) compared with the total population average. Conclusion: Between 2014 and 2023, Brazil faced persistent regional and social inequalities in diabetes morbidity and mortality, with North and Northeast regions bearing a disproportionate burden. Premature mortality declined slightly until 2019 but rose after 2020, reflecting vulnerability amid the COVID-19 syndemic. Strengthened primary care, targeted prevention, and actions on social determinants are needed. Continuous DATASUS surveillance is crucial to guide policies and curb the diabetes burden.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—016\nIntroduction: Diabetes Mellitus (DM) is among the leading causes of chronic morbidity and premature mortality in Brazil, with distributions strongly influenced by socioeconomic disparities. This ecological study examines national trends in morbidity and mortality due to DM in Brazil from 2014 through 2023, based on public data from DATASUS TabNet. Objective: To describe temporal and regional patterns of DM-related hospitalizations and mortality in Brazil between 2014 and 2023, identifying vulnerable regions and age groups. Methods: A retrospective ecological design was adopted, using aggregated data from DATASUS TabNet (SIH‑SUS and SIM systems) on hospital admissions and mortality attributed to DM (ICD‑10 codes) from 2014 to the most recent available year 2023. Rates per 100 000 population were calculated by age group (e.g. 30–69, 70 +), sex, and geographic region. Trends over time were analyzed descriptively, and regional inequalities explored through rate comparisons across North, Northeast, Southeast, South and Central‑West. Results: According to Ministry of Health bulletins, total DM-related deaths increased from approximately 55 000 in 2010 to over 75 000 in 2021; in aggregate, between 2010 and 2021 nearly 753 000 deaths were registered nationally. The North and Northeast exhibited the highest mortality rates (e.g. ≈ 34.4/100 000 in the Northeast) while the lowest rates occurred in the Central‑West (≈ 15.8/100 000 in Minas Gerais). Premature mortality (ages 30–69) declined modestly from \\ ~ 34.7 to \\ ~ 37 per 100 000 by 2019, but reversed from 2020 onward, likely reflecting pandemic effects on vulnerable populations. Hospitalization data show higher DM morbidity burden in North and Northeast regions, with longer length of stay and higher inpatient mortality rates compared to other areas. Reports also show that mortality is twice as high among individuals with only up to three years of formal education (≈ 59.5/100 000) compared with the total population average. Conclusion: Between 2014 and 2023, Brazil faced persistent regional and social inequalities in diabetes morbidity and mortality, with North and Northeast regions bearing a disproportionate burden. Premature mortality declined slightly until 2019 but rose after 2020, reflecting vulnerability amid the COVID-19 syndemic. Strengthened primary care, targeted prevention, and actions on social determinants are needed. Continuous DATASUS surveillance is crucial to guide policies and curb the diabetes burden.\n\n\n### PO—018 Arterial Pressure Behavior and Association with Vitamin D Levels in Patients with Type 2 Diabetes Mellitus and Early Stage Diabetic Kidney Disease\nIntroduction: Systemic hypertension is the main risk factor for chronic kidney disease (CKD) and often accompanies renal complications of type 2 diabetes mellitus (T2DM), associated with cardiovascular risk. The 24-h blood pressure rhythm and the progression of renal damage in Diabetic Kidney Disease (DKD) have been studied in relation to the possible role of vitamin D (VD) in structural and functional renal changes related to blood pressure control. Objective: To evaluate the association between VD levels and blood pressure in patients with early DKD. Methods: This was a cross-sectional study with 28 patients with incipient DKD (albuminuria 30–299 mg/g) and 47 with clinical DKD (albuminuria ≥ 300 mg/g), undergoing ambulatory blood pressure monitoring, with evaluation of the following parameters: Systolic (SBP) and diastolic (DBP) blood pressures, nocturnal dipping (ND), and blood pressure variability (BPV), using standard deviation (SD), coefficient of variation (CV), variance, and amplitude values. Results: Individuals with clinical DKD had a higher prevalence of chronic complications of T2DM, especially in the history of previous neuropathy. (91,5 vs 57,1%; p < 0,001) and worse glycemic control than those with IDN (160,83 ± 63,33 vs 130,68 ± 40,25mg/dL; p = 0,02). There was no significant association of 25(OH)D between the groups (30,04 ± 8,09 vs 26,61 ± 10,38 ng/mL; p = 0,13). The group with clinical DKD exhibited higher SBP while awake (138,87 ± 16,84 vs 128,14 ± 13,51 mmHg; p = 0,005), while asleep (137,83 ± 20,99 vs 121,96 ± 13,59 mmHg; p < 0,001) and in the morning (145,49 ± 18,20 vs 131,50 ± 17,73 mmHg; p = 0,02.), compared to the group with incipient DKD. In addition, lower calculated systolic ND values were found in the group with clinical DKD (0,82 ± 8,37 vs 4,70 ± 6,91 mmHg; p = 0,02). Finally, systolic BPV was higher in clinical DKD during wakefulness (Variance:274,17 ± 182,09 vs 194,7 ± 113,20 mmHg; p = 0,041) and in the morning (Amplitude:33,77 ± 21,63 vs 21,39 ± 9,02 mmHg; p = 0,005). Conclusion: The group with clinical DKD had a higher prevalence of T2DM complications, higher SBP in all periods evaluated, and higher levels of ND loss. Despite the trend toward lower VD levels, there was no significant difference. No association was observed between VD and blood pressure rhythm, suggesting no direct influence of 25(OH)D on blood pressure in this group of patients. Lower ND and higher morning pressure in clinical DKD indicated higher cardiovascular risk.\n\n\n### Lobo, BD1; Fernandes, IJ1; Figueiredo, PAB1; Felício, KM1; Motta, ARB1; Leal, VSG1; Pinheiro, DDS1; Silva, LSD1;Trindade, FMC1; Lemos, GN1; Reis, MSO1; Piani, PPF1; Felício, JS1\nIntroduction: Systemic hypertension is the main risk factor for chronic kidney disease (CKD) and often accompanies renal complications of type 2 diabetes mellitus (T2DM), associated with cardiovascular risk. The 24-h blood pressure rhythm and the progression of renal damage in Diabetic Kidney Disease (DKD) have been studied in relation to the possible role of vitamin D (VD) in structural and functional renal changes related to blood pressure control. Objective: To evaluate the association between VD levels and blood pressure in patients with early DKD. Methods: This was a cross-sectional study with 28 patients with incipient DKD (albuminuria 30–299 mg/g) and 47 with clinical DKD (albuminuria ≥ 300 mg/g), undergoing ambulatory blood pressure monitoring, with evaluation of the following parameters: Systolic (SBP) and diastolic (DBP) blood pressures, nocturnal dipping (ND), and blood pressure variability (BPV), using standard deviation (SD), coefficient of variation (CV), variance, and amplitude values. Results: Individuals with clinical DKD had a higher prevalence of chronic complications of T2DM, especially in the history of previous neuropathy. (91,5 vs 57,1%; p < 0,001) and worse glycemic control than those with IDN (160,83 ± 63,33 vs 130,68 ± 40,25mg/dL; p = 0,02). There was no significant association of 25(OH)D between the groups (30,04 ± 8,09 vs 26,61 ± 10,38 ng/mL; p = 0,13). The group with clinical DKD exhibited higher SBP while awake (138,87 ± 16,84 vs 128,14 ± 13,51 mmHg; p = 0,005), while asleep (137,83 ± 20,99 vs 121,96 ± 13,59 mmHg; p < 0,001) and in the morning (145,49 ± 18,20 vs 131,50 ± 17,73 mmHg; p = 0,02.), compared to the group with incipient DKD. In addition, lower calculated systolic ND values were found in the group with clinical DKD (0,82 ± 8,37 vs 4,70 ± 6,91 mmHg; p = 0,02). Finally, systolic BPV was higher in clinical DKD during wakefulness (Variance:274,17 ± 182,09 vs 194,7 ± 113,20 mmHg; p = 0,041) and in the morning (Amplitude:33,77 ± 21,63 vs 21,39 ± 9,02 mmHg; p = 0,005). Conclusion: The group with clinical DKD had a higher prevalence of T2DM complications, higher SBP in all periods evaluated, and higher levels of ND loss. Despite the trend toward lower VD levels, there was no significant difference. No association was observed between VD and blood pressure rhythm, suggesting no direct influence of 25(OH)D on blood pressure in this group of patients. Lower ND and higher morning pressure in clinical DKD indicated higher cardiovascular risk.\n\n\n### (1) Hospital Universitário João de Barros Barreto, Belém, PA, Brasil\nIntroduction: Systemic hypertension is the main risk factor for chronic kidney disease (CKD) and often accompanies renal complications of type 2 diabetes mellitus (T2DM), associated with cardiovascular risk. The 24-h blood pressure rhythm and the progression of renal damage in Diabetic Kidney Disease (DKD) have been studied in relation to the possible role of vitamin D (VD) in structural and functional renal changes related to blood pressure control. Objective: To evaluate the association between VD levels and blood pressure in patients with early DKD. Methods: This was a cross-sectional study with 28 patients with incipient DKD (albuminuria 30–299 mg/g) and 47 with clinical DKD (albuminuria ≥ 300 mg/g), undergoing ambulatory blood pressure monitoring, with evaluation of the following parameters: Systolic (SBP) and diastolic (DBP) blood pressures, nocturnal dipping (ND), and blood pressure variability (BPV), using standard deviation (SD), coefficient of variation (CV), variance, and amplitude values. Results: Individuals with clinical DKD had a higher prevalence of chronic complications of T2DM, especially in the history of previous neuropathy. (91,5 vs 57,1%; p < 0,001) and worse glycemic control than those with IDN (160,83 ± 63,33 vs 130,68 ± 40,25mg/dL; p = 0,02). There was no significant association of 25(OH)D between the groups (30,04 ± 8,09 vs 26,61 ± 10,38 ng/mL; p = 0,13). The group with clinical DKD exhibited higher SBP while awake (138,87 ± 16,84 vs 128,14 ± 13,51 mmHg; p = 0,005), while asleep (137,83 ± 20,99 vs 121,96 ± 13,59 mmHg; p < 0,001) and in the morning (145,49 ± 18,20 vs 131,50 ± 17,73 mmHg; p = 0,02.), compared to the group with incipient DKD. In addition, lower calculated systolic ND values were found in the group with clinical DKD (0,82 ± 8,37 vs 4,70 ± 6,91 mmHg; p = 0,02). Finally, systolic BPV was higher in clinical DKD during wakefulness (Variance:274,17 ± 182,09 vs 194,7 ± 113,20 mmHg; p = 0,041) and in the morning (Amplitude:33,77 ± 21,63 vs 21,39 ± 9,02 mmHg; p = 0,005). Conclusion: The group with clinical DKD had a higher prevalence of T2DM complications, higher SBP in all periods evaluated, and higher levels of ND loss. Despite the trend toward lower VD levels, there was no significant difference. No association was observed between VD and blood pressure rhythm, suggesting no direct influence of 25(OH)D on blood pressure in this group of patients. Lower ND and higher morning pressure in clinical DKD indicated higher cardiovascular risk.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—018\nIntroduction: Systemic hypertension is the main risk factor for chronic kidney disease (CKD) and often accompanies renal complications of type 2 diabetes mellitus (T2DM), associated with cardiovascular risk. The 24-h blood pressure rhythm and the progression of renal damage in Diabetic Kidney Disease (DKD) have been studied in relation to the possible role of vitamin D (VD) in structural and functional renal changes related to blood pressure control. Objective: To evaluate the association between VD levels and blood pressure in patients with early DKD. Methods: This was a cross-sectional study with 28 patients with incipient DKD (albuminuria 30–299 mg/g) and 47 with clinical DKD (albuminuria ≥ 300 mg/g), undergoing ambulatory blood pressure monitoring, with evaluation of the following parameters: Systolic (SBP) and diastolic (DBP) blood pressures, nocturnal dipping (ND), and blood pressure variability (BPV), using standard deviation (SD), coefficient of variation (CV), variance, and amplitude values. Results: Individuals with clinical DKD had a higher prevalence of chronic complications of T2DM, especially in the history of previous neuropathy. (91,5 vs 57,1%; p < 0,001) and worse glycemic control than those with IDN (160,83 ± 63,33 vs 130,68 ± 40,25mg/dL; p = 0,02). There was no significant association of 25(OH)D between the groups (30,04 ± 8,09 vs 26,61 ± 10,38 ng/mL; p = 0,13). The group with clinical DKD exhibited higher SBP while awake (138,87 ± 16,84 vs 128,14 ± 13,51 mmHg; p = 0,005), while asleep (137,83 ± 20,99 vs 121,96 ± 13,59 mmHg; p < 0,001) and in the morning (145,49 ± 18,20 vs 131,50 ± 17,73 mmHg; p = 0,02.), compared to the group with incipient DKD. In addition, lower calculated systolic ND values were found in the group with clinical DKD (0,82 ± 8,37 vs 4,70 ± 6,91 mmHg; p = 0,02). Finally, systolic BPV was higher in clinical DKD during wakefulness (Variance:274,17 ± 182,09 vs 194,7 ± 113,20 mmHg; p = 0,041) and in the morning (Amplitude:33,77 ± 21,63 vs 21,39 ± 9,02 mmHg; p = 0,005). Conclusion: The group with clinical DKD had a higher prevalence of T2DM complications, higher SBP in all periods evaluated, and higher levels of ND loss. Despite the trend toward lower VD levels, there was no significant difference. No association was observed between VD and blood pressure rhythm, suggesting no direct influence of 25(OH)D on blood pressure in this group of patients. Lower ND and higher morning pressure in clinical DKD indicated higher cardiovascular risk.\n\n\n### PO—022 Cardiac Autonomic Function and Loss of Protective Sensation in Individuals with Type 2 Diabetes Mellitus – A Cross-Sectional Study\nIntroduction: Hyperglycemia can trigger nerve degeneration, leading to sensory and autonomic function alterations, which may occur simultaneously or independently. Objective: To observe the frequency of cardiac autonomic neuropathy in individuals with type 2 diabetes mellitus, with and without loss of protective sensation. Methods: Analytical cross-sectional study approved by the Research Ethics Committee of the Universidade Federal do Delta do Parnaíba (approval number 5.104.985). Participants included individuals diagnosed with type 2 diabetes, both sexes, aged forty to seventy years. Exclusion criteria were the use of central nervous system depressant or stimulant drugs, severe cardiac diseases, and history of stroke. Evaluations were conducted in two sessions, assessing loss of protective sensation (Official Guideline of the Brazilian Diabetes Society) and cardiac autonomic neuropathy (Toronto Diabetic Neuropathy Consensus Panel). Statistical analysis was performed using GraphPad Prism 10.5.0, with a significance level set at 5% (p < 0.05). Results: Sixty-one individuals participated, twenty-four with loss of protective sensation (+ LPOS group) and thirty-seven without loss of protective sensatio (-LPOS group). The mean age was 57.63 ± 7.38 years in the + LPOS group and 56.70 ± 7.06 years in the -LPOS group (p = 0.6301). The mean duration of diabetes diagnosis was 11.93 ± 8.39 years for the + LPOS group and 9.09 ± 6.52 years for the -LPOS group (p = 0.1665). Capillary blood glucose values were 252.3 ± 94.05 mg/dL in the + LPOS group and 204.6 ± 100.7 mg/dL in the -LPOS group (p = 0.0657). No statistically significant differences were observed between the groups for the variables presented. The sex distribution did not differ significantly between groups (p = 0.1740). The initial classification of cardiac autonomic neuropathy was predominant in both groups, occurring in 62.50% (fifteen individuals) of the + LPOS group and 67.56% (twenty-five individuals) of the -LPOS group (p = 0.0552), with no significant difference between groups. Conclusion: Age, duration of diabetes, capillary blood glucose, and sex were independent variables in individuals with type 2 diabetes. The results suggest that loss of protective sensation may not be independently associated with cardiac autonomic neuropathy.\n\n\n### Paula, AVL1; Rocha, RB1; Barros, ACS1; Miranda, MB1; Silva, BAK1; Magalhães, ATM1; Cardoso, VS1\nIntroduction: Hyperglycemia can trigger nerve degeneration, leading to sensory and autonomic function alterations, which may occur simultaneously or independently. Objective: To observe the frequency of cardiac autonomic neuropathy in individuals with type 2 diabetes mellitus, with and without loss of protective sensation. Methods: Analytical cross-sectional study approved by the Research Ethics Committee of the Universidade Federal do Delta do Parnaíba (approval number 5.104.985). Participants included individuals diagnosed with type 2 diabetes, both sexes, aged forty to seventy years. Exclusion criteria were the use of central nervous system depressant or stimulant drugs, severe cardiac diseases, and history of stroke. Evaluations were conducted in two sessions, assessing loss of protective sensation (Official Guideline of the Brazilian Diabetes Society) and cardiac autonomic neuropathy (Toronto Diabetic Neuropathy Consensus Panel). Statistical analysis was performed using GraphPad Prism 10.5.0, with a significance level set at 5% (p < 0.05). Results: Sixty-one individuals participated, twenty-four with loss of protective sensation (+ LPOS group) and thirty-seven without loss of protective sensatio (-LPOS group). The mean age was 57.63 ± 7.38 years in the + LPOS group and 56.70 ± 7.06 years in the -LPOS group (p = 0.6301). The mean duration of diabetes diagnosis was 11.93 ± 8.39 years for the + LPOS group and 9.09 ± 6.52 years for the -LPOS group (p = 0.1665). Capillary blood glucose values were 252.3 ± 94.05 mg/dL in the + LPOS group and 204.6 ± 100.7 mg/dL in the -LPOS group (p = 0.0657). No statistically significant differences were observed between the groups for the variables presented. The sex distribution did not differ significantly between groups (p = 0.1740). The initial classification of cardiac autonomic neuropathy was predominant in both groups, occurring in 62.50% (fifteen individuals) of the + LPOS group and 67.56% (twenty-five individuals) of the -LPOS group (p = 0.0552), with no significant difference between groups. Conclusion: Age, duration of diabetes, capillary blood glucose, and sex were independent variables in individuals with type 2 diabetes. The results suggest that loss of protective sensation may not be independently associated with cardiac autonomic neuropathy.\n\n\n### (1) Universidade Federal do Delta do Parnaíba, Parnaíba, PI, Brasil\nIntroduction: Hyperglycemia can trigger nerve degeneration, leading to sensory and autonomic function alterations, which may occur simultaneously or independently. Objective: To observe the frequency of cardiac autonomic neuropathy in individuals with type 2 diabetes mellitus, with and without loss of protective sensation. Methods: Analytical cross-sectional study approved by the Research Ethics Committee of the Universidade Federal do Delta do Parnaíba (approval number 5.104.985). Participants included individuals diagnosed with type 2 diabetes, both sexes, aged forty to seventy years. Exclusion criteria were the use of central nervous system depressant or stimulant drugs, severe cardiac diseases, and history of stroke. Evaluations were conducted in two sessions, assessing loss of protective sensation (Official Guideline of the Brazilian Diabetes Society) and cardiac autonomic neuropathy (Toronto Diabetic Neuropathy Consensus Panel). Statistical analysis was performed using GraphPad Prism 10.5.0, with a significance level set at 5% (p < 0.05). Results: Sixty-one individuals participated, twenty-four with loss of protective sensation (+ LPOS group) and thirty-seven without loss of protective sensatio (-LPOS group). The mean age was 57.63 ± 7.38 years in the + LPOS group and 56.70 ± 7.06 years in the -LPOS group (p = 0.6301). The mean duration of diabetes diagnosis was 11.93 ± 8.39 years for the + LPOS group and 9.09 ± 6.52 years for the -LPOS group (p = 0.1665). Capillary blood glucose values were 252.3 ± 94.05 mg/dL in the + LPOS group and 204.6 ± 100.7 mg/dL in the -LPOS group (p = 0.0657). No statistically significant differences were observed between the groups for the variables presented. The sex distribution did not differ significantly between groups (p = 0.1740). The initial classification of cardiac autonomic neuropathy was predominant in both groups, occurring in 62.50% (fifteen individuals) of the + LPOS group and 67.56% (twenty-five individuals) of the -LPOS group (p = 0.0552), with no significant difference between groups. Conclusion: Age, duration of diabetes, capillary blood glucose, and sex were independent variables in individuals with type 2 diabetes. The results suggest that loss of protective sensation may not be independently associated with cardiac autonomic neuropathy.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—022\nIntroduction: Hyperglycemia can trigger nerve degeneration, leading to sensory and autonomic function alterations, which may occur simultaneously or independently. Objective: To observe the frequency of cardiac autonomic neuropathy in individuals with type 2 diabetes mellitus, with and without loss of protective sensation. Methods: Analytical cross-sectional study approved by the Research Ethics Committee of the Universidade Federal do Delta do Parnaíba (approval number 5.104.985). Participants included individuals diagnosed with type 2 diabetes, both sexes, aged forty to seventy years. Exclusion criteria were the use of central nervous system depressant or stimulant drugs, severe cardiac diseases, and history of stroke. Evaluations were conducted in two sessions, assessing loss of protective sensation (Official Guideline of the Brazilian Diabetes Society) and cardiac autonomic neuropathy (Toronto Diabetic Neuropathy Consensus Panel). Statistical analysis was performed using GraphPad Prism 10.5.0, with a significance level set at 5% (p < 0.05). Results: Sixty-one individuals participated, twenty-four with loss of protective sensation (+ LPOS group) and thirty-seven without loss of protective sensatio (-LPOS group). The mean age was 57.63 ± 7.38 years in the + LPOS group and 56.70 ± 7.06 years in the -LPOS group (p = 0.6301). The mean duration of diabetes diagnosis was 11.93 ± 8.39 years for the + LPOS group and 9.09 ± 6.52 years for the -LPOS group (p = 0.1665). Capillary blood glucose values were 252.3 ± 94.05 mg/dL in the + LPOS group and 204.6 ± 100.7 mg/dL in the -LPOS group (p = 0.0657). No statistically significant differences were observed between the groups for the variables presented. The sex distribution did not differ significantly between groups (p = 0.1740). The initial classification of cardiac autonomic neuropathy was predominant in both groups, occurring in 62.50% (fifteen individuals) of the + LPOS group and 67.56% (twenty-five individuals) of the -LPOS group (p = 0.0552), with no significant difference between groups. Conclusion: Age, duration of diabetes, capillary blood glucose, and sex were independent variables in individuals with type 2 diabetes. The results suggest that loss of protective sensation may not be independently associated with cardiac autonomic neuropathy.\n\n\n### PO—024 Clinical Outcomes of Diabetes Mellitus in Brazil (2021–2024): Nationwide Analysis of Hospitalizations, Mortality and Healthcare Utilization\nIntroduction: Diabetes mellitus (DM) is a group of metabolic disorders marked by chronic hyperglycemia due to impaired insulin secretion and/or action. It is highly prevalent worldwide and a growing public health challenge. Recent therapeutic advances, including antidiabetic drugs, and continuous glucose monitoring (CGM), have improved glycemic control and mitigated complications. Assessing the real-world impact of these innovations is crucial for effective public health planning and policy optimization. Objective: To analyze trends in diabetes-related mortality, hospitalizations, and outpatient visits in Brazil from 2021 to 2024, stratified by sex, age, and region. Methods: This is a descriptive epidemiological study using secondary data from Brazil’s public health database (DATASUS/TABNET). Records from 2021 to 2024 were extracted using ICD-10 codes to assess diabetes-related hospitalizations, mortality, and outpatient visits, stratified by sex, age, and region. Annual trends were evaluated using simple linear regression models, with events as the dependent variable and time as the independent variable. The coefficient of determination (R2) was reported to evaluate model fit. Results: A total of 23,035 diabetes-related deaths were reported in Brazil, declining from 6,139 in 2021 to 5,093 in 2024 (-17%), showing a consistent linear trend (R2 = 0,98), with an average annual drop of 362,6 deaths. Hospitalizations rose from 129,482 to 136,583 (+ 5.5%), totaling 556,610, with a R2 = 0,53. Males accounted for 52.5% of admissions. Similar to the mortality distribution, the Southeast region had the highest hospitalization rate (36%), while the Central-West showed the lowest (7%). Outpatient visits rose from 113 to 150 million, totaling 559.2 million visits (+ 32.7%). A strong upward trend was observed (R2 = 0,98), and older adults were predominant: 124 million visits among those aged 60–69, and 90 million among 70–79. Conclusion: Brazil experienced a decline in DM-related mortality, a slight increase in hospitalizations, and a sharp rise in outpatient visits. While trend analysis suggests these patterns reflect the positive impact of therapeutic advances and improved disease management, interpretations must be made with caution due to the limited time series. Nonetheless, persistent demographic and regional disparities underscore the need for targeted strategies to expand outpatient infrastructure and reduce inequities in diabetes care nationwide.\n\n\n### Godoy, BV1; Souza, PC1; Balarezo, NKG2; Rios, GR3; Barion, IR4; Rodrigues, JP5; Carvalho, MJF6; Iida, APT7; Gomes, KF8; Guilherme, ABCO9\nIntroduction: Diabetes mellitus (DM) is a group of metabolic disorders marked by chronic hyperglycemia due to impaired insulin secretion and/or action. It is highly prevalent worldwide and a growing public health challenge. Recent therapeutic advances, including antidiabetic drugs, and continuous glucose monitoring (CGM), have improved glycemic control and mitigated complications. Assessing the real-world impact of these innovations is crucial for effective public health planning and policy optimization. Objective: To analyze trends in diabetes-related mortality, hospitalizations, and outpatient visits in Brazil from 2021 to 2024, stratified by sex, age, and region. Methods: This is a descriptive epidemiological study using secondary data from Brazil’s public health database (DATASUS/TABNET). Records from 2021 to 2024 were extracted using ICD-10 codes to assess diabetes-related hospitalizations, mortality, and outpatient visits, stratified by sex, age, and region. Annual trends were evaluated using simple linear regression models, with events as the dependent variable and time as the independent variable. The coefficient of determination (R2) was reported to evaluate model fit. Results: A total of 23,035 diabetes-related deaths were reported in Brazil, declining from 6,139 in 2021 to 5,093 in 2024 (-17%), showing a consistent linear trend (R2 = 0,98), with an average annual drop of 362,6 deaths. Hospitalizations rose from 129,482 to 136,583 (+ 5.5%), totaling 556,610, with a R2 = 0,53. Males accounted for 52.5% of admissions. Similar to the mortality distribution, the Southeast region had the highest hospitalization rate (36%), while the Central-West showed the lowest (7%). Outpatient visits rose from 113 to 150 million, totaling 559.2 million visits (+ 32.7%). A strong upward trend was observed (R2 = 0,98), and older adults were predominant: 124 million visits among those aged 60–69, and 90 million among 70–79. Conclusion: Brazil experienced a decline in DM-related mortality, a slight increase in hospitalizations, and a sharp rise in outpatient visits. While trend analysis suggests these patterns reflect the positive impact of therapeutic advances and improved disease management, interpretations must be made with caution due to the limited time series. Nonetheless, persistent demographic and regional disparities underscore the need for targeted strategies to expand outpatient infrastructure and reduce inequities in diabetes care nationwide.\n\n\n### (1) Universidade Nove de Julho, São Paulo, SP, Brasil; (2) Faculdade Santa Marcelina, São Paulo, SP, Brasil; (3) Universidade Nove de Julho, Bauru, SP, Brasil; (4) Faculdade de Medicina de Jundiaí, Jundiaí, SP, Brasil; (5) Faculdade São Leopoldo Mandic, Araras, SP, Brasil; (6) Faculdade de Minas, Belo Horizonte, MG, Brasil; (7) Faculdade de Medicina de Marília, Marília, SP, Brasil; (8) Pontifícia Universidade Católica de Campinas, Campinas, SP, Brasil; (9) Fundação Educacional do Município de Assis, Assis, SP, Brasil\nIntroduction: Diabetes mellitus (DM) is a group of metabolic disorders marked by chronic hyperglycemia due to impaired insulin secretion and/or action. It is highly prevalent worldwide and a growing public health challenge. Recent therapeutic advances, including antidiabetic drugs, and continuous glucose monitoring (CGM), have improved glycemic control and mitigated complications. Assessing the real-world impact of these innovations is crucial for effective public health planning and policy optimization. Objective: To analyze trends in diabetes-related mortality, hospitalizations, and outpatient visits in Brazil from 2021 to 2024, stratified by sex, age, and region. Methods: This is a descriptive epidemiological study using secondary data from Brazil’s public health database (DATASUS/TABNET). Records from 2021 to 2024 were extracted using ICD-10 codes to assess diabetes-related hospitalizations, mortality, and outpatient visits, stratified by sex, age, and region. Annual trends were evaluated using simple linear regression models, with events as the dependent variable and time as the independent variable. The coefficient of determination (R2) was reported to evaluate model fit. Results: A total of 23,035 diabetes-related deaths were reported in Brazil, declining from 6,139 in 2021 to 5,093 in 2024 (-17%), showing a consistent linear trend (R2 = 0,98), with an average annual drop of 362,6 deaths. Hospitalizations rose from 129,482 to 136,583 (+ 5.5%), totaling 556,610, with a R2 = 0,53. Males accounted for 52.5% of admissions. Similar to the mortality distribution, the Southeast region had the highest hospitalization rate (36%), while the Central-West showed the lowest (7%). Outpatient visits rose from 113 to 150 million, totaling 559.2 million visits (+ 32.7%). A strong upward trend was observed (R2 = 0,98), and older adults were predominant: 124 million visits among those aged 60–69, and 90 million among 70–79. Conclusion: Brazil experienced a decline in DM-related mortality, a slight increase in hospitalizations, and a sharp rise in outpatient visits. While trend analysis suggests these patterns reflect the positive impact of therapeutic advances and improved disease management, interpretations must be made with caution due to the limited time series. Nonetheless, persistent demographic and regional disparities underscore the need for targeted strategies to expand outpatient infrastructure and reduce inequities in diabetes care nationwide.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—024\nIntroduction: Diabetes mellitus (DM) is a group of metabolic disorders marked by chronic hyperglycemia due to impaired insulin secretion and/or action. It is highly prevalent worldwide and a growing public health challenge. Recent therapeutic advances, including antidiabetic drugs, and continuous glucose monitoring (CGM), have improved glycemic control and mitigated complications. Assessing the real-world impact of these innovations is crucial for effective public health planning and policy optimization. Objective: To analyze trends in diabetes-related mortality, hospitalizations, and outpatient visits in Brazil from 2021 to 2024, stratified by sex, age, and region. Methods: This is a descriptive epidemiological study using secondary data from Brazil’s public health database (DATASUS/TABNET). Records from 2021 to 2024 were extracted using ICD-10 codes to assess diabetes-related hospitalizations, mortality, and outpatient visits, stratified by sex, age, and region. Annual trends were evaluated using simple linear regression models, with events as the dependent variable and time as the independent variable. The coefficient of determination (R2) was reported to evaluate model fit. Results: A total of 23,035 diabetes-related deaths were reported in Brazil, declining from 6,139 in 2021 to 5,093 in 2024 (-17%), showing a consistent linear trend (R2 = 0,98), with an average annual drop of 362,6 deaths. Hospitalizations rose from 129,482 to 136,583 (+ 5.5%), totaling 556,610, with a R2 = 0,53. Males accounted for 52.5% of admissions. Similar to the mortality distribution, the Southeast region had the highest hospitalization rate (36%), while the Central-West showed the lowest (7%). Outpatient visits rose from 113 to 150 million, totaling 559.2 million visits (+ 32.7%). A strong upward trend was observed (R2 = 0,98), and older adults were predominant: 124 million visits among those aged 60–69, and 90 million among 70–79. Conclusion: Brazil experienced a decline in DM-related mortality, a slight increase in hospitalizations, and a sharp rise in outpatient visits. While trend analysis suggests these patterns reflect the positive impact of therapeutic advances and improved disease management, interpretations must be made with caution due to the limited time series. Nonetheless, persistent demographic and regional disparities underscore the need for targeted strategies to expand outpatient infrastructure and reduce inequities in diabetes care nationwide.\n\n\n### PO—025 Comparative Effects And Dose–response Of Photobiomodulation With Hene 660 Nm And Gaas 904 Nm Lasers In The Repair Of Diabetic Foot Ulcers\nIntroduction: Diabetic foot ulcers are a frequent and serious complication of diabetes mellitus, associated with high morbidity, risk of amputation, and impact on quality of life. Photobiomodulation appears to be a promising tool in the tissue repair process of these lesions. However, there is still a lack of standardized ideal parameters.\nObjective: To identify the effects and ideal parameterization of photobiomodulation with HeNe 660 nm wavelength in reducing the area of diabetic foot ulcers using three dosages (4/Jcm2, 8J/cm2, 12J/cm2) compared to the application of GaAs 904 nm at 10 J/cm2 in the tissue repair process of diabetic foot ulcers.\nMethods: A randomized, controlled, double-blind clinical trial was approved by the Ethics Committee of the Federal University of Delta do Parnaíba (5,588,474) and ClinicalTrials (NCT05530486). Participants of both sexes, aged > 18 years, with a medical diagnosis of diabetes mellitus, and diabetic foot ulcers were included. Participants with autoimmune disease, psychiatric disorder, infected ulcer, osteomyelitis, ischemia, and/or contraindications to treatment methods were excluded. All patients received photobiomodulation and conventional therapy (Helianthus annuus vegetable oil) twice a week, on non-consecutive days, for 10 weeks. Ninety-two volunteers were randomized and distributed into four groups: (1) Control Group received GaAs 904 nm 10 J/cm2 + dressing; (GL1) HeNe 660 nm 4 J/cm2 + dressing; (GL2) HeNe 660 nm 8 J/cm2 + dressing; and (GL3) HeNe 660 nm 12 J/cm2 + dressing. The primary variable of this study was the ulcer size reduction rate. The SPSS statistical program was adopted, with a significance level of 5%. Cumulative proportion analysis with 50% cutoff points was performed.\nResults: The rate of ulcer reduction was similar between the groups after 5 weeks (p = 0.2582) and 10 weeks (p = 0.1164). There was a significant reduction in ulcer size in all groups (p < 0.0001). Regardless of wavelength, all patients had a 50% reduction in wound area with energy densities between 8, 10, and 12 J/cm2. However, the HeNe 660 nm group with an energy density of 4 J/cm2 had a lower proportion of responders.\nConclusion: HeNe 660 nm (4, 8 and 12 J/cm2) and GaAs 904 nm (10 J/cm2) wavelengths promote the healing of diabetic ulcers after 10 weeks of treatment. However, the use of medium and high doses is recommended, as they showed a higher rate of responders.\n\n\n### Miranda, MB1; Barros, ACS1; Rocha, RB1; Batista, CAP1; Paula, AVL1; Barros, IGL1; Magalhães, AT1; Hazime, FA1; Cardoso, VS2\nIntroduction: Diabetic foot ulcers are a frequent and serious complication of diabetes mellitus, associated with high morbidity, risk of amputation, and impact on quality of life. Photobiomodulation appears to be a promising tool in the tissue repair process of these lesions. However, there is still a lack of standardized ideal parameters.\nObjective: To identify the effects and ideal parameterization of photobiomodulation with HeNe 660 nm wavelength in reducing the area of diabetic foot ulcers using three dosages (4/Jcm2, 8J/cm2, 12J/cm2) compared to the application of GaAs 904 nm at 10 J/cm2 in the tissue repair process of diabetic foot ulcers.\nMethods: A randomized, controlled, double-blind clinical trial was approved by the Ethics Committee of the Federal University of Delta do Parnaíba (5,588,474) and ClinicalTrials (NCT05530486). Participants of both sexes, aged > 18 years, with a medical diagnosis of diabetes mellitus, and diabetic foot ulcers were included. Participants with autoimmune disease, psychiatric disorder, infected ulcer, osteomyelitis, ischemia, and/or contraindications to treatment methods were excluded. All patients received photobiomodulation and conventional therapy (Helianthus annuus vegetable oil) twice a week, on non-consecutive days, for 10 weeks. Ninety-two volunteers were randomized and distributed into four groups: (1) Control Group received GaAs 904 nm 10 J/cm2 + dressing; (GL1) HeNe 660 nm 4 J/cm2 + dressing; (GL2) HeNe 660 nm 8 J/cm2 + dressing; and (GL3) HeNe 660 nm 12 J/cm2 + dressing. The primary variable of this study was the ulcer size reduction rate. The SPSS statistical program was adopted, with a significance level of 5%. Cumulative proportion analysis with 50% cutoff points was performed.\nResults: The rate of ulcer reduction was similar between the groups after 5 weeks (p = 0.2582) and 10 weeks (p = 0.1164). There was a significant reduction in ulcer size in all groups (p < 0.0001). Regardless of wavelength, all patients had a 50% reduction in wound area with energy densities between 8, 10, and 12 J/cm2. However, the HeNe 660 nm group with an energy density of 4 J/cm2 had a lower proportion of responders.\nConclusion: HeNe 660 nm (4, 8 and 12 J/cm2) and GaAs 904 nm (10 J/cm2) wavelengths promote the healing of diabetic ulcers after 10 weeks of treatment. However, the use of medium and high doses is recommended, as they showed a higher rate of responders.\n\n\n### (1) Universidade Federal do Delta do Parnaíba, Parnaíba, PI, Brasil; (2) Universidade Federal do Delta do Parnaíba, Parnaiba, PI, Brasil\nIntroduction: Diabetic foot ulcers are a frequent and serious complication of diabetes mellitus, associated with high morbidity, risk of amputation, and impact on quality of life. Photobiomodulation appears to be a promising tool in the tissue repair process of these lesions. However, there is still a lack of standardized ideal parameters.\nObjective: To identify the effects and ideal parameterization of photobiomodulation with HeNe 660 nm wavelength in reducing the area of diabetic foot ulcers using three dosages (4/Jcm2, 8J/cm2, 12J/cm2) compared to the application of GaAs 904 nm at 10 J/cm2 in the tissue repair process of diabetic foot ulcers.\nMethods: A randomized, controlled, double-blind clinical trial was approved by the Ethics Committee of the Federal University of Delta do Parnaíba (5,588,474) and ClinicalTrials (NCT05530486). Participants of both sexes, aged > 18 years, with a medical diagnosis of diabetes mellitus, and diabetic foot ulcers were included. Participants with autoimmune disease, psychiatric disorder, infected ulcer, osteomyelitis, ischemia, and/or contraindications to treatment methods were excluded. All patients received photobiomodulation and conventional therapy (Helianthus annuus vegetable oil) twice a week, on non-consecutive days, for 10 weeks. Ninety-two volunteers were randomized and distributed into four groups: (1) Control Group received GaAs 904 nm 10 J/cm2 + dressing; (GL1) HeNe 660 nm 4 J/cm2 + dressing; (GL2) HeNe 660 nm 8 J/cm2 + dressing; and (GL3) HeNe 660 nm 12 J/cm2 + dressing. The primary variable of this study was the ulcer size reduction rate. The SPSS statistical program was adopted, with a significance level of 5%. Cumulative proportion analysis with 50% cutoff points was performed.\nResults: The rate of ulcer reduction was similar between the groups after 5 weeks (p = 0.2582) and 10 weeks (p = 0.1164). There was a significant reduction in ulcer size in all groups (p < 0.0001). Regardless of wavelength, all patients had a 50% reduction in wound area with energy densities between 8, 10, and 12 J/cm2. However, the HeNe 660 nm group with an energy density of 4 J/cm2 had a lower proportion of responders.\nConclusion: HeNe 660 nm (4, 8 and 12 J/cm2) and GaAs 904 nm (10 J/cm2) wavelengths promote the healing of diabetic ulcers after 10 weeks of treatment. However, the use of medium and high doses is recommended, as they showed a higher rate of responders.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—025\nIntroduction: Diabetic foot ulcers are a frequent and serious complication of diabetes mellitus, associated with high morbidity, risk of amputation, and impact on quality of life. Photobiomodulation appears to be a promising tool in the tissue repair process of these lesions. However, there is still a lack of standardized ideal parameters.\nObjective: To identify the effects and ideal parameterization of photobiomodulation with HeNe 660 nm wavelength in reducing the area of diabetic foot ulcers using three dosages (4/Jcm2, 8J/cm2, 12J/cm2) compared to the application of GaAs 904 nm at 10 J/cm2 in the tissue repair process of diabetic foot ulcers.\nMethods: A randomized, controlled, double-blind clinical trial was approved by the Ethics Committee of the Federal University of Delta do Parnaíba (5,588,474) and ClinicalTrials (NCT05530486). Participants of both sexes, aged > 18 years, with a medical diagnosis of diabetes mellitus, and diabetic foot ulcers were included. Participants with autoimmune disease, psychiatric disorder, infected ulcer, osteomyelitis, ischemia, and/or contraindications to treatment methods were excluded. All patients received photobiomodulation and conventional therapy (Helianthus annuus vegetable oil) twice a week, on non-consecutive days, for 10 weeks. Ninety-two volunteers were randomized and distributed into four groups: (1) Control Group received GaAs 904 nm 10 J/cm2 + dressing; (GL1) HeNe 660 nm 4 J/cm2 + dressing; (GL2) HeNe 660 nm 8 J/cm2 + dressing; and (GL3) HeNe 660 nm 12 J/cm2 + dressing. The primary variable of this study was the ulcer size reduction rate. The SPSS statistical program was adopted, with a significance level of 5%. Cumulative proportion analysis with 50% cutoff points was performed.\nResults: The rate of ulcer reduction was similar between the groups after 5 weeks (p = 0.2582) and 10 weeks (p = 0.1164). There was a significant reduction in ulcer size in all groups (p < 0.0001). Regardless of wavelength, all patients had a 50% reduction in wound area with energy densities between 8, 10, and 12 J/cm2. However, the HeNe 660 nm group with an energy density of 4 J/cm2 had a lower proportion of responders.\nConclusion: HeNe 660 nm (4, 8 and 12 J/cm2) and GaAs 904 nm (10 J/cm2) wavelengths promote the healing of diabetic ulcers after 10 weeks of treatment. However, the use of medium and high doses is recommended, as they showed a higher rate of responders.\n\n\n### PO—026 Congenital Generalized Lipodystrophy Type 1 With Severe Axonal Diabetic Neuropathy Mimicking Motor Neuron Disease\nCase Presentation: A 30-year-old woman with diagnosis of congenital generalized lipodystrophy type 1 (compound heterozygous AGPAT2 p.Lys216* and c.589-2A > G pathogenic variant) in the first year of life, based in the presence of hyperphagia, hepatomegaly, prominent muscles in the limbs and diabetes mellitus (A1c 12,9%). Insulin therapy was initiated at age 12 (total insulin dose of 2.8 IU/kg/day). Over time, she developed bilateral diabetic retinopathy, metabolic dysfunction-associated steatotic liver disease with advanced fibrosis (F4 on hepatic elastography), hypertriglyceridemia and low HDL cholesterol. Functionality was preserved until 2020, when progressive paresthesia and paresis emerged in the left lower limb, later involving the left upper limb, with spasticity (predominantly left-sided) and dysarthria. Neurological exam showed dysphonia, dysarthria, global hypertonia (more pronounced on the left), fasciculations in all limbs, muscle strength graded as II in the left upper limb, I in the left lower limb, and IV in the right limbs. Reflexes were brisk proximally (III) and reduced distally (I), with bilateral Babinski sign.Cranial MRI showed thick cystic lesion in the pons, measuring 1.6 × 1.0 cm, showing hypointensity on gradient-echo sequence, possibly corresponding to subacute/chronic hemorrhagic material. No other abnormalities. Electromyography of all four limbs revealed marked, length-dependent, sensorimotor axonal polyneuropathy, more severe in the lower limbs. There was also evidence of moderate, bilateral, focal demyelinating neuropathies: median nerve at the wrist (carpal tunnel syndrome, worse on the left), and ulnar nerve at the elbow (worse on the right). No evidence of myopathy or lower motor neuron disease was found. This pattern is compatible with long-standing diabetic neuropathy. The patient gave her explicit written consent to publish her information in an open access journal Discussion: Congenital generalized lipodystrophy (CGL) is a rare genetic disorder marked by a near-total absence of adipose tissue from birth. Polyneuropathy has been associated with lipodystrophic disorders, but the neuropathy reported so far in patients with CGL1 were classically less severe, mainly with sensitive symptoms like pain and paresthesia in the limbs. Final Comments: Severe axonal diabetic neuropathy mimicking motor neuron disease in the context of congenital generalized lipodystrophy type 1 (CGL1) has not been previously reported.\n\n\n### GUEDES, MKO1; Araujo, JSAJ1; Boris, NPBN1; Sa, TMST1; Quezado, GDDQG1; Flor, ACFA1; Lopes, FKMLF1; Forte, LBFL1; Filho, AECFA1; Nobrega, PRNP1; Fernandes, VOFV1; Jr, RMMJR1\nCase Presentation: A 30-year-old woman with diagnosis of congenital generalized lipodystrophy type 1 (compound heterozygous AGPAT2 p.Lys216* and c.589-2A > G pathogenic variant) in the first year of life, based in the presence of hyperphagia, hepatomegaly, prominent muscles in the limbs and diabetes mellitus (A1c 12,9%). Insulin therapy was initiated at age 12 (total insulin dose of 2.8 IU/kg/day). Over time, she developed bilateral diabetic retinopathy, metabolic dysfunction-associated steatotic liver disease with advanced fibrosis (F4 on hepatic elastography), hypertriglyceridemia and low HDL cholesterol. Functionality was preserved until 2020, when progressive paresthesia and paresis emerged in the left lower limb, later involving the left upper limb, with spasticity (predominantly left-sided) and dysarthria. Neurological exam showed dysphonia, dysarthria, global hypertonia (more pronounced on the left), fasciculations in all limbs, muscle strength graded as II in the left upper limb, I in the left lower limb, and IV in the right limbs. Reflexes were brisk proximally (III) and reduced distally (I), with bilateral Babinski sign.Cranial MRI showed thick cystic lesion in the pons, measuring 1.6 × 1.0 cm, showing hypointensity on gradient-echo sequence, possibly corresponding to subacute/chronic hemorrhagic material. No other abnormalities. Electromyography of all four limbs revealed marked, length-dependent, sensorimotor axonal polyneuropathy, more severe in the lower limbs. There was also evidence of moderate, bilateral, focal demyelinating neuropathies: median nerve at the wrist (carpal tunnel syndrome, worse on the left), and ulnar nerve at the elbow (worse on the right). No evidence of myopathy or lower motor neuron disease was found. This pattern is compatible with long-standing diabetic neuropathy. The patient gave her explicit written consent to publish her information in an open access journal Discussion: Congenital generalized lipodystrophy (CGL) is a rare genetic disorder marked by a near-total absence of adipose tissue from birth. Polyneuropathy has been associated with lipodystrophic disorders, but the neuropathy reported so far in patients with CGL1 were classically less severe, mainly with sensitive symptoms like pain and paresthesia in the limbs. Final Comments: Severe axonal diabetic neuropathy mimicking motor neuron disease in the context of congenital generalized lipodystrophy type 1 (CGL1) has not been previously reported.\n\n\n### (1) Universidade Federal do Ceará, Fortaleza, CE – Brasil\nCase Presentation: A 30-year-old woman with diagnosis of congenital generalized lipodystrophy type 1 (compound heterozygous AGPAT2 p.Lys216* and c.589-2A > G pathogenic variant) in the first year of life, based in the presence of hyperphagia, hepatomegaly, prominent muscles in the limbs and diabetes mellitus (A1c 12,9%). Insulin therapy was initiated at age 12 (total insulin dose of 2.8 IU/kg/day). Over time, she developed bilateral diabetic retinopathy, metabolic dysfunction-associated steatotic liver disease with advanced fibrosis (F4 on hepatic elastography), hypertriglyceridemia and low HDL cholesterol. Functionality was preserved until 2020, when progressive paresthesia and paresis emerged in the left lower limb, later involving the left upper limb, with spasticity (predominantly left-sided) and dysarthria. Neurological exam showed dysphonia, dysarthria, global hypertonia (more pronounced on the left), fasciculations in all limbs, muscle strength graded as II in the left upper limb, I in the left lower limb, and IV in the right limbs. Reflexes were brisk proximally (III) and reduced distally (I), with bilateral Babinski sign.Cranial MRI showed thick cystic lesion in the pons, measuring 1.6 × 1.0 cm, showing hypointensity on gradient-echo sequence, possibly corresponding to subacute/chronic hemorrhagic material. No other abnormalities. Electromyography of all four limbs revealed marked, length-dependent, sensorimotor axonal polyneuropathy, more severe in the lower limbs. There was also evidence of moderate, bilateral, focal demyelinating neuropathies: median nerve at the wrist (carpal tunnel syndrome, worse on the left), and ulnar nerve at the elbow (worse on the right). No evidence of myopathy or lower motor neuron disease was found. This pattern is compatible with long-standing diabetic neuropathy. The patient gave her explicit written consent to publish her information in an open access journal Discussion: Congenital generalized lipodystrophy (CGL) is a rare genetic disorder marked by a near-total absence of adipose tissue from birth. Polyneuropathy has been associated with lipodystrophic disorders, but the neuropathy reported so far in patients with CGL1 were classically less severe, mainly with sensitive symptoms like pain and paresthesia in the limbs. Final Comments: Severe axonal diabetic neuropathy mimicking motor neuron disease in the context of congenital generalized lipodystrophy type 1 (CGL1) has not been previously reported.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—026\nCase Presentation: A 30-year-old woman with diagnosis of congenital generalized lipodystrophy type 1 (compound heterozygous AGPAT2 p.Lys216* and c.589-2A > G pathogenic variant) in the first year of life, based in the presence of hyperphagia, hepatomegaly, prominent muscles in the limbs and diabetes mellitus (A1c 12,9%). Insulin therapy was initiated at age 12 (total insulin dose of 2.8 IU/kg/day). Over time, she developed bilateral diabetic retinopathy, metabolic dysfunction-associated steatotic liver disease with advanced fibrosis (F4 on hepatic elastography), hypertriglyceridemia and low HDL cholesterol. Functionality was preserved until 2020, when progressive paresthesia and paresis emerged in the left lower limb, later involving the left upper limb, with spasticity (predominantly left-sided) and dysarthria. Neurological exam showed dysphonia, dysarthria, global hypertonia (more pronounced on the left), fasciculations in all limbs, muscle strength graded as II in the left upper limb, I in the left lower limb, and IV in the right limbs. Reflexes were brisk proximally (III) and reduced distally (I), with bilateral Babinski sign.Cranial MRI showed thick cystic lesion in the pons, measuring 1.6 × 1.0 cm, showing hypointensity on gradient-echo sequence, possibly corresponding to subacute/chronic hemorrhagic material. No other abnormalities. Electromyography of all four limbs revealed marked, length-dependent, sensorimotor axonal polyneuropathy, more severe in the lower limbs. There was also evidence of moderate, bilateral, focal demyelinating neuropathies: median nerve at the wrist (carpal tunnel syndrome, worse on the left), and ulnar nerve at the elbow (worse on the right). No evidence of myopathy or lower motor neuron disease was found. This pattern is compatible with long-standing diabetic neuropathy. The patient gave her explicit written consent to publish her information in an open access journal Discussion: Congenital generalized lipodystrophy (CGL) is a rare genetic disorder marked by a near-total absence of adipose tissue from birth. Polyneuropathy has been associated with lipodystrophic disorders, but the neuropathy reported so far in patients with CGL1 were classically less severe, mainly with sensitive symptoms like pain and paresthesia in the limbs. Final Comments: Severe axonal diabetic neuropathy mimicking motor neuron disease in the context of congenital generalized lipodystrophy type 1 (CGL1) has not been previously reported.\n\n\n### PO—027 Construction Of A Portable Photobiomodulation Device For Diabetic Wound Treatment\nIntroduction: Diabetic foot ulcers can reduce individuals’ functionality and increase the risk of infection, amputation, and mortality. The development of user-friendly and low-cost treatments may reduce the occurrence of related complications.\nObjective: To develop a simple and low-cost photobiomodulation device for the treatment of diabetic wounds.\nMethods: The device was designed using a 3D printer with PLA filament, in a pen format, containing nine 940 nm LEDs, and powered by a 9-V battery. Validation as a source of electromagnetic stimulation was performed through black body testing, circuit stress testing, battery consumption, and circuit power analysis. Validation for use in biological tissue was conducted using an in vitro methodology with an MTT assay in mouse fibroblast cells (L929) under hyperglycemic conditions. A control group with no irradiation and a treatment group irradiated with 5 J/cm2 were used.\nResults: The black body test confirmed the effectiveness of the device for photoelectric stimulation, providing sufficient energy to alter the black body temperature. A first-degree temperature increase was observed at 17 s, and a second-degree increase at 43 s of irradiation. The circuit stress test demonstrated the device’s safety, recording a 6 °C temperature variation over 546 s. The battery consumption and power analysis indicated that a single battery could power the device for 960 s. The MTT assay assesses cell viability through mitochondrial activity. Accordingly, irradiation with the device showed no cytotoxic effect and resulted in an increased number of viable cells compared to the control. The analysis was performed using the Mann–Whitney test, which identified a statistically significant difference compared to the control group (p < 0.0001).\nConclusion: The device is valid as a source of electromagnetic stimulation and is suitable for use in biological tissue under hyperglycemic conditions.\n\n\n### Rocha, RB1; Sá, RE1; Santos, RD1; Machado, FS1; Barros, ACS1; Araújo, AJ1; Cardoso, VS1; Filho1., JDBM\nIntroduction: Diabetic foot ulcers can reduce individuals’ functionality and increase the risk of infection, amputation, and mortality. The development of user-friendly and low-cost treatments may reduce the occurrence of related complications.\nObjective: To develop a simple and low-cost photobiomodulation device for the treatment of diabetic wounds.\nMethods: The device was designed using a 3D printer with PLA filament, in a pen format, containing nine 940 nm LEDs, and powered by a 9-V battery. Validation as a source of electromagnetic stimulation was performed through black body testing, circuit stress testing, battery consumption, and circuit power analysis. Validation for use in biological tissue was conducted using an in vitro methodology with an MTT assay in mouse fibroblast cells (L929) under hyperglycemic conditions. A control group with no irradiation and a treatment group irradiated with 5 J/cm2 were used.\nResults: The black body test confirmed the effectiveness of the device for photoelectric stimulation, providing sufficient energy to alter the black body temperature. A first-degree temperature increase was observed at 17 s, and a second-degree increase at 43 s of irradiation. The circuit stress test demonstrated the device’s safety, recording a 6 °C temperature variation over 546 s. The battery consumption and power analysis indicated that a single battery could power the device for 960 s. The MTT assay assesses cell viability through mitochondrial activity. Accordingly, irradiation with the device showed no cytotoxic effect and resulted in an increased number of viable cells compared to the control. The analysis was performed using the Mann–Whitney test, which identified a statistically significant difference compared to the control group (p < 0.0001).\nConclusion: The device is valid as a source of electromagnetic stimulation and is suitable for use in biological tissue under hyperglycemic conditions.\n\n\n### (1) Universidade Federal do Delta do Parnaíba, Parnaíba, PI, Brasil\nIntroduction: Diabetic foot ulcers can reduce individuals’ functionality and increase the risk of infection, amputation, and mortality. The development of user-friendly and low-cost treatments may reduce the occurrence of related complications.\nObjective: To develop a simple and low-cost photobiomodulation device for the treatment of diabetic wounds.\nMethods: The device was designed using a 3D printer with PLA filament, in a pen format, containing nine 940 nm LEDs, and powered by a 9-V battery. Validation as a source of electromagnetic stimulation was performed through black body testing, circuit stress testing, battery consumption, and circuit power analysis. Validation for use in biological tissue was conducted using an in vitro methodology with an MTT assay in mouse fibroblast cells (L929) under hyperglycemic conditions. A control group with no irradiation and a treatment group irradiated with 5 J/cm2 were used.\nResults: The black body test confirmed the effectiveness of the device for photoelectric stimulation, providing sufficient energy to alter the black body temperature. A first-degree temperature increase was observed at 17 s, and a second-degree increase at 43 s of irradiation. The circuit stress test demonstrated the device’s safety, recording a 6 °C temperature variation over 546 s. The battery consumption and power analysis indicated that a single battery could power the device for 960 s. The MTT assay assesses cell viability through mitochondrial activity. Accordingly, irradiation with the device showed no cytotoxic effect and resulted in an increased number of viable cells compared to the control. The analysis was performed using the Mann–Whitney test, which identified a statistically significant difference compared to the control group (p < 0.0001).\nConclusion: The device is valid as a source of electromagnetic stimulation and is suitable for use in biological tissue under hyperglycemic conditions.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—027\nIntroduction: Diabetic foot ulcers can reduce individuals’ functionality and increase the risk of infection, amputation, and mortality. The development of user-friendly and low-cost treatments may reduce the occurrence of related complications.\nObjective: To develop a simple and low-cost photobiomodulation device for the treatment of diabetic wounds.\nMethods: The device was designed using a 3D printer with PLA filament, in a pen format, containing nine 940 nm LEDs, and powered by a 9-V battery. Validation as a source of electromagnetic stimulation was performed through black body testing, circuit stress testing, battery consumption, and circuit power analysis. Validation for use in biological tissue was conducted using an in vitro methodology with an MTT assay in mouse fibroblast cells (L929) under hyperglycemic conditions. A control group with no irradiation and a treatment group irradiated with 5 J/cm2 were used.\nResults: The black body test confirmed the effectiveness of the device for photoelectric stimulation, providing sufficient energy to alter the black body temperature. A first-degree temperature increase was observed at 17 s, and a second-degree increase at 43 s of irradiation. The circuit stress test demonstrated the device’s safety, recording a 6 °C temperature variation over 546 s. The battery consumption and power analysis indicated that a single battery could power the device for 960 s. The MTT assay assesses cell viability through mitochondrial activity. Accordingly, irradiation with the device showed no cytotoxic effect and resulted in an increased number of viable cells compared to the control. The analysis was performed using the Mann–Whitney test, which identified a statistically significant difference compared to the control group (p < 0.0001).\nConclusion: The device is valid as a source of electromagnetic stimulation and is suitable for use in biological tissue under hyperglycemic conditions.\n\n\n### PO—028 Diabetes And Diabetic Foot: Evaluation Of Hospital Costs In The Brazilian Public Health System\nIntroduction: Diabetes mellitus (DM) is a chronic condition associated with multiple complications, among which diabetic foot stands out as a leading cause of hospitalization, amputation, and high costs in the Brazilian Public Health System (SUS). Evaluating hospital expenditures related to diabetic foot is essential for guiding preventive strategies and optimizing resource allocation.\nObjective: To analyze hospital costs associated with diabetic foot in Brazil, comparing them with general diabetes-related admissions, and to assess temporal trends and regional distribution of expenditures in the SUS.\nMethods: An ecological, descriptive study was conducted using data from the Hospital Information System (SIH/SUS) available on DATASUS/TABNET. Hospital admissions for DM (ICD-10 E10–E14) and diabetic foot complications (E10.5–E14.5, L97, L98.4, Z89.4) between January 2013 and December 2023 were included. Variables analyzed were number of admissions, total and average hospital costs (in BRL), and length of stay. Data were stratified by year and Brazilian region.\nResults: Over the 11-year period, 1,245,380 hospitalizations for DM and 112,540 admissions for diabetic foot were recorded. Total expenditures reached BRL 2.48 billion for DM and BRL 512 million for diabetic foot, representing 20.6% of diabetes-related costs. The average cost per hospitalization for diabetic foot (BRL 4,550) was 2.3 times higher than for general DM admissions (BRL 1,980). The Southeast region accounted for 42% of admissions and 48% of total costs, followed by the Northeast. Length of stay for diabetic foot was longer (mean 11.2 days) compared to DM admissions overall (mean 6.5 days). A progressive increase in average costs was observed, from BRL 3,250 in 2013 to BRL 5,780 in 2023.\nConclusion: Hospitalizations due to diabetic foot represent a significant share of SUS diabetes-related expenditures, with higher average costs and longer hospital stays. These findings highlight the urgent need for preventive care, early detection, and multidisciplinary management strategies to reduce complications and associated costs in Brazil.\n\n\n### Cruz, AMF1; Calil, RF2; Araújo, MTO2; Souza, MRCP3\nIntroduction: Diabetes mellitus (DM) is a chronic condition associated with multiple complications, among which diabetic foot stands out as a leading cause of hospitalization, amputation, and high costs in the Brazilian Public Health System (SUS). Evaluating hospital expenditures related to diabetic foot is essential for guiding preventive strategies and optimizing resource allocation.\nObjective: To analyze hospital costs associated with diabetic foot in Brazil, comparing them with general diabetes-related admissions, and to assess temporal trends and regional distribution of expenditures in the SUS.\nMethods: An ecological, descriptive study was conducted using data from the Hospital Information System (SIH/SUS) available on DATASUS/TABNET. Hospital admissions for DM (ICD-10 E10–E14) and diabetic foot complications (E10.5–E14.5, L97, L98.4, Z89.4) between January 2013 and December 2023 were included. Variables analyzed were number of admissions, total and average hospital costs (in BRL), and length of stay. Data were stratified by year and Brazilian region.\nResults: Over the 11-year period, 1,245,380 hospitalizations for DM and 112,540 admissions for diabetic foot were recorded. Total expenditures reached BRL 2.48 billion for DM and BRL 512 million for diabetic foot, representing 20.6% of diabetes-related costs. The average cost per hospitalization for diabetic foot (BRL 4,550) was 2.3 times higher than for general DM admissions (BRL 1,980). The Southeast region accounted for 42% of admissions and 48% of total costs, followed by the Northeast. Length of stay for diabetic foot was longer (mean 11.2 days) compared to DM admissions overall (mean 6.5 days). A progressive increase in average costs was observed, from BRL 3,250 in 2013 to BRL 5,780 in 2023.\nConclusion: Hospitalizations due to diabetic foot represent a significant share of SUS diabetes-related expenditures, with higher average costs and longer hospital stays. These findings highlight the urgent need for preventive care, early detection, and multidisciplinary management strategies to reduce complications and associated costs in Brazil.\n\n\n### (1) Centro Universitário de Belo Horizonte, Belo Horizonte, MG, Brasil; (2) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil; (3) Centro de Especialidades Médicas da Santa Casa, Belo Horizonte, MG, Brasil\nIntroduction: Diabetes mellitus (DM) is a chronic condition associated with multiple complications, among which diabetic foot stands out as a leading cause of hospitalization, amputation, and high costs in the Brazilian Public Health System (SUS). Evaluating hospital expenditures related to diabetic foot is essential for guiding preventive strategies and optimizing resource allocation.\nObjective: To analyze hospital costs associated with diabetic foot in Brazil, comparing them with general diabetes-related admissions, and to assess temporal trends and regional distribution of expenditures in the SUS.\nMethods: An ecological, descriptive study was conducted using data from the Hospital Information System (SIH/SUS) available on DATASUS/TABNET. Hospital admissions for DM (ICD-10 E10–E14) and diabetic foot complications (E10.5–E14.5, L97, L98.4, Z89.4) between January 2013 and December 2023 were included. Variables analyzed were number of admissions, total and average hospital costs (in BRL), and length of stay. Data were stratified by year and Brazilian region.\nResults: Over the 11-year period, 1,245,380 hospitalizations for DM and 112,540 admissions for diabetic foot were recorded. Total expenditures reached BRL 2.48 billion for DM and BRL 512 million for diabetic foot, representing 20.6% of diabetes-related costs. The average cost per hospitalization for diabetic foot (BRL 4,550) was 2.3 times higher than for general DM admissions (BRL 1,980). The Southeast region accounted for 42% of admissions and 48% of total costs, followed by the Northeast. Length of stay for diabetic foot was longer (mean 11.2 days) compared to DM admissions overall (mean 6.5 days). A progressive increase in average costs was observed, from BRL 3,250 in 2013 to BRL 5,780 in 2023.\nConclusion: Hospitalizations due to diabetic foot represent a significant share of SUS diabetes-related expenditures, with higher average costs and longer hospital stays. These findings highlight the urgent need for preventive care, early detection, and multidisciplinary management strategies to reduce complications and associated costs in Brazil.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—028\nIntroduction: Diabetes mellitus (DM) is a chronic condition associated with multiple complications, among which diabetic foot stands out as a leading cause of hospitalization, amputation, and high costs in the Brazilian Public Health System (SUS). Evaluating hospital expenditures related to diabetic foot is essential for guiding preventive strategies and optimizing resource allocation.\nObjective: To analyze hospital costs associated with diabetic foot in Brazil, comparing them with general diabetes-related admissions, and to assess temporal trends and regional distribution of expenditures in the SUS.\nMethods: An ecological, descriptive study was conducted using data from the Hospital Information System (SIH/SUS) available on DATASUS/TABNET. Hospital admissions for DM (ICD-10 E10–E14) and diabetic foot complications (E10.5–E14.5, L97, L98.4, Z89.4) between January 2013 and December 2023 were included. Variables analyzed were number of admissions, total and average hospital costs (in BRL), and length of stay. Data were stratified by year and Brazilian region.\nResults: Over the 11-year period, 1,245,380 hospitalizations for DM and 112,540 admissions for diabetic foot were recorded. Total expenditures reached BRL 2.48 billion for DM and BRL 512 million for diabetic foot, representing 20.6% of diabetes-related costs. The average cost per hospitalization for diabetic foot (BRL 4,550) was 2.3 times higher than for general DM admissions (BRL 1,980). The Southeast region accounted for 42% of admissions and 48% of total costs, followed by the Northeast. Length of stay for diabetic foot was longer (mean 11.2 days) compared to DM admissions overall (mean 6.5 days). A progressive increase in average costs was observed, from BRL 3,250 in 2013 to BRL 5,780 in 2023.\nConclusion: Hospitalizations due to diabetic foot represent a significant share of SUS diabetes-related expenditures, with higher average costs and longer hospital stays. These findings highlight the urgent need for preventive care, early detection, and multidisciplinary management strategies to reduce complications and associated costs in Brazil.\n\n\n### PO—030 Diabetic Retinopathy And Type Of Diabetes: Evidence Of More Advanced Forms In Patients With Type 1 Diabetes In A Public Hospital Of The Brazilian Unified Health System\nIntroduction: Diabetic retinopathy (DR) is a highly prevalent microvascular complication of diabetes mellitus (DM), characterized by a functional impact and recognized as one of the leading causes of avoidable visual loss. Despite advances in diagnosis and treatment, many patients still face difficulties in accessing adequate care, which contributes to worsening the disease.\nObjective: To investigate the associations between demographic and ophthalmological characteristics with the occurrence of DR and/or diabetic macular edema (DME), and the type of DM in patients treated through the Brazilian Unified Health System (SUS) at an Ophthalmology Hospital in 2023.\nMethods: Electronic health records of patients treated through SUS at an Ophthalmology Hospital in 2023 were reviewed. Data were analyzed using the STATA version 14.2. The variables were characterized and adjusted for sex, ethnicity, type of DR, and presence of DME. To assess associations between categorical and the outcomes: DM type, DR, and presence of associated DME the Chi-square test and Fisher’s Exact Test were used. For quantitative variables, the Kruskal–Wallis and Mann–Whitney tests were applied. All statistical analyses were conducted using a significance level of 5%.\nResults: Of the 650 patients with DR and/or DME of whom 9,8% had type 1 diabetes mellitus (T1DM) and 90.2% had type 2 diabetes mellitus (T2DM). The median age of T1DM patients was 37.5 years, while T2DM was 62 years (p < 0.0001). The median diagnosis time was longer in the T1DM group (median of 22 years, IQR: 14–27), compared to the T2DM group (15 years, IQR: 10–21; p = 0.0004). A significant difference was observed in the pattern of retinal impairment between the cohorts (p = 0.003). Patients with T1DM showed a higher frequency of isolated proliferative diabetic retinopathy (PDR) (53.1%) and PDR associated with DME (25.0%). In the T2DM group, isolated PDR was the predominant form (37.9%), followed by isolated non-proliferative diabetic retinopathy (NPDR) (26.5%). No statistically significant differences were found regarding sex (p = 0.334) or ethnicity (p = 0.198) between cohorts.\nConclusion: Patients with T1DM developed more severe forms of DR, whereas those with T2DM exhibited a greater diversity of retinal impairment. These differences may have implications for clinical management, influencing DR screening and treatment strategies according to DM type.\n\n\n### Carvalho, MJF1; Santiago, LB1; Carvalho, LC2; Franco, LM2; Pereira, FB2; Rodrigues, PO3; Penaforte, CL1\nIntroduction: Diabetic retinopathy (DR) is a highly prevalent microvascular complication of diabetes mellitus (DM), characterized by a functional impact and recognized as one of the leading causes of avoidable visual loss. Despite advances in diagnosis and treatment, many patients still face difficulties in accessing adequate care, which contributes to worsening the disease.\nObjective: To investigate the associations between demographic and ophthalmological characteristics with the occurrence of DR and/or diabetic macular edema (DME), and the type of DM in patients treated through the Brazilian Unified Health System (SUS) at an Ophthalmology Hospital in 2023.\nMethods: Electronic health records of patients treated through SUS at an Ophthalmology Hospital in 2023 were reviewed. Data were analyzed using the STATA version 14.2. The variables were characterized and adjusted for sex, ethnicity, type of DR, and presence of DME. To assess associations between categorical and the outcomes: DM type, DR, and presence of associated DME the Chi-square test and Fisher’s Exact Test were used. For quantitative variables, the Kruskal–Wallis and Mann–Whitney tests were applied. All statistical analyses were conducted using a significance level of 5%.\nResults: Of the 650 patients with DR and/or DME of whom 9,8% had type 1 diabetes mellitus (T1DM) and 90.2% had type 2 diabetes mellitus (T2DM). The median age of T1DM patients was 37.5 years, while T2DM was 62 years (p < 0.0001). The median diagnosis time was longer in the T1DM group (median of 22 years, IQR: 14–27), compared to the T2DM group (15 years, IQR: 10–21; p = 0.0004). A significant difference was observed in the pattern of retinal impairment between the cohorts (p = 0.003). Patients with T1DM showed a higher frequency of isolated proliferative diabetic retinopathy (PDR) (53.1%) and PDR associated with DME (25.0%). In the T2DM group, isolated PDR was the predominant form (37.9%), followed by isolated non-proliferative diabetic retinopathy (NPDR) (26.5%). No statistically significant differences were found regarding sex (p = 0.334) or ethnicity (p = 0.198) between cohorts.\nConclusion: Patients with T1DM developed more severe forms of DR, whereas those with T2DM exhibited a greater diversity of retinal impairment. These differences may have implications for clinical management, influencing DR screening and treatment strategies according to DM type.\n\n\n### (1) Faculdade de Minas, Belo Horizonte, MG, Brasil; (2) Centro Oftalmológico de Minas Gerais, Belo Horizonte, MG, Brasil; (3) Afya Faculdade Ciências Médicas de Ipatinga, Belo Horizonte, MG, Brasil\nIntroduction: Diabetic retinopathy (DR) is a highly prevalent microvascular complication of diabetes mellitus (DM), characterized by a functional impact and recognized as one of the leading causes of avoidable visual loss. Despite advances in diagnosis and treatment, many patients still face difficulties in accessing adequate care, which contributes to worsening the disease.\nObjective: To investigate the associations between demographic and ophthalmological characteristics with the occurrence of DR and/or diabetic macular edema (DME), and the type of DM in patients treated through the Brazilian Unified Health System (SUS) at an Ophthalmology Hospital in 2023.\nMethods: Electronic health records of patients treated through SUS at an Ophthalmology Hospital in 2023 were reviewed. Data were analyzed using the STATA version 14.2. The variables were characterized and adjusted for sex, ethnicity, type of DR, and presence of DME. To assess associations between categorical and the outcomes: DM type, DR, and presence of associated DME the Chi-square test and Fisher’s Exact Test were used. For quantitative variables, the Kruskal–Wallis and Mann–Whitney tests were applied. All statistical analyses were conducted using a significance level of 5%.\nResults: Of the 650 patients with DR and/or DME of whom 9,8% had type 1 diabetes mellitus (T1DM) and 90.2% had type 2 diabetes mellitus (T2DM). The median age of T1DM patients was 37.5 years, while T2DM was 62 years (p < 0.0001). The median diagnosis time was longer in the T1DM group (median of 22 years, IQR: 14–27), compared to the T2DM group (15 years, IQR: 10–21; p = 0.0004). A significant difference was observed in the pattern of retinal impairment between the cohorts (p = 0.003). Patients with T1DM showed a higher frequency of isolated proliferative diabetic retinopathy (PDR) (53.1%) and PDR associated with DME (25.0%). In the T2DM group, isolated PDR was the predominant form (37.9%), followed by isolated non-proliferative diabetic retinopathy (NPDR) (26.5%). No statistically significant differences were found regarding sex (p = 0.334) or ethnicity (p = 0.198) between cohorts.\nConclusion: Patients with T1DM developed more severe forms of DR, whereas those with T2DM exhibited a greater diversity of retinal impairment. These differences may have implications for clinical management, influencing DR screening and treatment strategies according to DM type.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—030\nIntroduction: Diabetic retinopathy (DR) is a highly prevalent microvascular complication of diabetes mellitus (DM), characterized by a functional impact and recognized as one of the leading causes of avoidable visual loss. Despite advances in diagnosis and treatment, many patients still face difficulties in accessing adequate care, which contributes to worsening the disease.\nObjective: To investigate the associations between demographic and ophthalmological characteristics with the occurrence of DR and/or diabetic macular edema (DME), and the type of DM in patients treated through the Brazilian Unified Health System (SUS) at an Ophthalmology Hospital in 2023.\nMethods: Electronic health records of patients treated through SUS at an Ophthalmology Hospital in 2023 were reviewed. Data were analyzed using the STATA version 14.2. The variables were characterized and adjusted for sex, ethnicity, type of DR, and presence of DME. To assess associations between categorical and the outcomes: DM type, DR, and presence of associated DME the Chi-square test and Fisher’s Exact Test were used. For quantitative variables, the Kruskal–Wallis and Mann–Whitney tests were applied. All statistical analyses were conducted using a significance level of 5%.\nResults: Of the 650 patients with DR and/or DME of whom 9,8% had type 1 diabetes mellitus (T1DM) and 90.2% had type 2 diabetes mellitus (T2DM). The median age of T1DM patients was 37.5 years, while T2DM was 62 years (p < 0.0001). The median diagnosis time was longer in the T1DM group (median of 22 years, IQR: 14–27), compared to the T2DM group (15 years, IQR: 10–21; p = 0.0004). A significant difference was observed in the pattern of retinal impairment between the cohorts (p = 0.003). Patients with T1DM showed a higher frequency of isolated proliferative diabetic retinopathy (PDR) (53.1%) and PDR associated with DME (25.0%). In the T2DM group, isolated PDR was the predominant form (37.9%), followed by isolated non-proliferative diabetic retinopathy (NPDR) (26.5%). No statistically significant differences were found regarding sex (p = 0.334) or ethnicity (p = 0.198) between cohorts.\nConclusion: Patients with T1DM developed more severe forms of DR, whereas those with T2DM exhibited a greater diversity of retinal impairment. These differences may have implications for clinical management, influencing DR screening and treatment strategies according to DM type.\n\n\n### PO—031 Diagnostic Performance Of A Clinical Risk Score For Cardiovascular Autonomic Neuropathy In Elderly Individuals With Type 2 Diabetes\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is often underdiagnosed in clinical practice. Clinical risk score may help identify individuals at higher risk of developing CAN.\nObjective: To assess the diagnostic performance of a clinical risk score for CAN in elderly patients with type 2 diabetes (T2D).\nMethods: Cross-sectional study including patients with T2D (≥ 65 years) followed at a tertiary public diabetes clinic. CAN was assessed through cardiovascular autonomic reflex tests (CARTs) and defined as incipient with one and confirmed with two or more abnormal results. A clinical risk score for CAN (0–10 points) was applied, based on seven variables: diabetic retinopathy (3 points), insulin use (2), and 1 point each for glycated hemoglobin (HbA1c) ≥ 8%, resting heart rate ≥ 80 bpm, cardiovascular disease, albuminuria, and physical inactivity. A cut-off of ≥ 4 was used to identify individuals at higher risk for overall CAN. Statistical analysis was performed using Jamovi 2.6.\nResults: Eighty-five T2D patients were evaluated (age 74 [69–79] years; diabetes duration 23 [15–28] years; 67.1% female). Insulin therapy was used by 63.5% of participants; HbA1c was 7.4% [7.0–8.5], 32.9% reported regular physical activity and resting heart rate was 67bpm [59–75]. Retinopathy, cardiovascular disease, and albuminuria were present in 40%, 31.8%, and 23.9% of patients, respectively. Based on CARTs, CAN was absent in 52 patients (61.2%), while 33 (38.8%) had incipient (n = 24; 28.2%) or definite CAN (n = 9; 10.6%). Of those with a clinical risk score < 4, 30 out of 38 (negative predictive value = 78.9%) had no evidence of CAN, while 8 (21.1%) were diagnosed with incipient (n = 7) or definite CAN (n = 1). In contrast, 25 out of 47 (positive predictive value = 53.2%) individuals with a score ≥ 4 had CAN (χ2 = 9.14, p = 0.003). Notably, the score demonstrated a much higher negative predictive value (96.7%) for ruling out confirmed CAN.\nConclusion: The clinical risk score demonstrated the ability to stratify risk, with a significantly lower prevalence of CAN among those with a score < 4. However, among individuals with a score ≥ 4, the score did not clearly differentiate those with and without CAN, limiting its discriminatory power in the high-risk group. This suggests it may be a useful tool to exclude CAN in low-risk individuals, potentially reducing the need for more complex testing. Further studies are needed to validate its applicability in broader populations.\n\n\n### Gomes, A1; Schröder, AL1; Smith, BG1; Palma, CCSSV1; Cobas, RA1; Tannus, LRM1\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is often underdiagnosed in clinical practice. Clinical risk score may help identify individuals at higher risk of developing CAN.\nObjective: To assess the diagnostic performance of a clinical risk score for CAN in elderly patients with type 2 diabetes (T2D).\nMethods: Cross-sectional study including patients with T2D (≥ 65 years) followed at a tertiary public diabetes clinic. CAN was assessed through cardiovascular autonomic reflex tests (CARTs) and defined as incipient with one and confirmed with two or more abnormal results. A clinical risk score for CAN (0–10 points) was applied, based on seven variables: diabetic retinopathy (3 points), insulin use (2), and 1 point each for glycated hemoglobin (HbA1c) ≥ 8%, resting heart rate ≥ 80 bpm, cardiovascular disease, albuminuria, and physical inactivity. A cut-off of ≥ 4 was used to identify individuals at higher risk for overall CAN. Statistical analysis was performed using Jamovi 2.6.\nResults: Eighty-five T2D patients were evaluated (age 74 [69–79] years; diabetes duration 23 [15–28] years; 67.1% female). Insulin therapy was used by 63.5% of participants; HbA1c was 7.4% [7.0–8.5], 32.9% reported regular physical activity and resting heart rate was 67bpm [59–75]. Retinopathy, cardiovascular disease, and albuminuria were present in 40%, 31.8%, and 23.9% of patients, respectively. Based on CARTs, CAN was absent in 52 patients (61.2%), while 33 (38.8%) had incipient (n = 24; 28.2%) or definite CAN (n = 9; 10.6%). Of those with a clinical risk score < 4, 30 out of 38 (negative predictive value = 78.9%) had no evidence of CAN, while 8 (21.1%) were diagnosed with incipient (n = 7) or definite CAN (n = 1). In contrast, 25 out of 47 (positive predictive value = 53.2%) individuals with a score ≥ 4 had CAN (χ2 = 9.14, p = 0.003). Notably, the score demonstrated a much higher negative predictive value (96.7%) for ruling out confirmed CAN.\nConclusion: The clinical risk score demonstrated the ability to stratify risk, with a significantly lower prevalence of CAN among those with a score < 4. However, among individuals with a score ≥ 4, the score did not clearly differentiate those with and without CAN, limiting its discriminatory power in the high-risk group. This suggests it may be a useful tool to exclude CAN in low-risk individuals, potentially reducing the need for more complex testing. Further studies are needed to validate its applicability in broader populations.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is often underdiagnosed in clinical practice. Clinical risk score may help identify individuals at higher risk of developing CAN.\nObjective: To assess the diagnostic performance of a clinical risk score for CAN in elderly patients with type 2 diabetes (T2D).\nMethods: Cross-sectional study including patients with T2D (≥ 65 years) followed at a tertiary public diabetes clinic. CAN was assessed through cardiovascular autonomic reflex tests (CARTs) and defined as incipient with one and confirmed with two or more abnormal results. A clinical risk score for CAN (0–10 points) was applied, based on seven variables: diabetic retinopathy (3 points), insulin use (2), and 1 point each for glycated hemoglobin (HbA1c) ≥ 8%, resting heart rate ≥ 80 bpm, cardiovascular disease, albuminuria, and physical inactivity. A cut-off of ≥ 4 was used to identify individuals at higher risk for overall CAN. Statistical analysis was performed using Jamovi 2.6.\nResults: Eighty-five T2D patients were evaluated (age 74 [69–79] years; diabetes duration 23 [15–28] years; 67.1% female). Insulin therapy was used by 63.5% of participants; HbA1c was 7.4% [7.0–8.5], 32.9% reported regular physical activity and resting heart rate was 67bpm [59–75]. Retinopathy, cardiovascular disease, and albuminuria were present in 40%, 31.8%, and 23.9% of patients, respectively. Based on CARTs, CAN was absent in 52 patients (61.2%), while 33 (38.8%) had incipient (n = 24; 28.2%) or definite CAN (n = 9; 10.6%). Of those with a clinical risk score < 4, 30 out of 38 (negative predictive value = 78.9%) had no evidence of CAN, while 8 (21.1%) were diagnosed with incipient (n = 7) or definite CAN (n = 1). In contrast, 25 out of 47 (positive predictive value = 53.2%) individuals with a score ≥ 4 had CAN (χ2 = 9.14, p = 0.003). Notably, the score demonstrated a much higher negative predictive value (96.7%) for ruling out confirmed CAN.\nConclusion: The clinical risk score demonstrated the ability to stratify risk, with a significantly lower prevalence of CAN among those with a score < 4. However, among individuals with a score ≥ 4, the score did not clearly differentiate those with and without CAN, limiting its discriminatory power in the high-risk group. This suggests it may be a useful tool to exclude CAN in low-risk individuals, potentially reducing the need for more complex testing. Further studies are needed to validate its applicability in broader populations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—031\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is often underdiagnosed in clinical practice. Clinical risk score may help identify individuals at higher risk of developing CAN.\nObjective: To assess the diagnostic performance of a clinical risk score for CAN in elderly patients with type 2 diabetes (T2D).\nMethods: Cross-sectional study including patients with T2D (≥ 65 years) followed at a tertiary public diabetes clinic. CAN was assessed through cardiovascular autonomic reflex tests (CARTs) and defined as incipient with one and confirmed with two or more abnormal results. A clinical risk score for CAN (0–10 points) was applied, based on seven variables: diabetic retinopathy (3 points), insulin use (2), and 1 point each for glycated hemoglobin (HbA1c) ≥ 8%, resting heart rate ≥ 80 bpm, cardiovascular disease, albuminuria, and physical inactivity. A cut-off of ≥ 4 was used to identify individuals at higher risk for overall CAN. Statistical analysis was performed using Jamovi 2.6.\nResults: Eighty-five T2D patients were evaluated (age 74 [69–79] years; diabetes duration 23 [15–28] years; 67.1% female). Insulin therapy was used by 63.5% of participants; HbA1c was 7.4% [7.0–8.5], 32.9% reported regular physical activity and resting heart rate was 67bpm [59–75]. Retinopathy, cardiovascular disease, and albuminuria were present in 40%, 31.8%, and 23.9% of patients, respectively. Based on CARTs, CAN was absent in 52 patients (61.2%), while 33 (38.8%) had incipient (n = 24; 28.2%) or definite CAN (n = 9; 10.6%). Of those with a clinical risk score < 4, 30 out of 38 (negative predictive value = 78.9%) had no evidence of CAN, while 8 (21.1%) were diagnosed with incipient (n = 7) or definite CAN (n = 1). In contrast, 25 out of 47 (positive predictive value = 53.2%) individuals with a score ≥ 4 had CAN (χ2 = 9.14, p = 0.003). Notably, the score demonstrated a much higher negative predictive value (96.7%) for ruling out confirmed CAN.\nConclusion: The clinical risk score demonstrated the ability to stratify risk, with a significantly lower prevalence of CAN among those with a score < 4. However, among individuals with a score ≥ 4, the score did not clearly differentiate those with and without CAN, limiting its discriminatory power in the high-risk group. This suggests it may be a useful tool to exclude CAN in low-risk individuals, potentially reducing the need for more complex testing. Further studies are needed to validate its applicability in broader populations.\n\n\n### PO—032 Diagnostic Value Of Heart Rate-based Methods For Detecting Cardiovascular Autonomic Neuropathy In Individuals With Prediabetes And Type 2 Diabetes\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is a serious yet underdiagnosed complication of diabetes mellitus (DM), associated with increased cardiovascular risk and mortality. Practical, non-invasive screening tools are needed to improve early detection in clinical settings. Methods for assessing autonomic dysfunction based on heart rate recording offer a simple, non-invasive, and widely applicable alternative for detecting CAN in DM; however, their diagnostic performance needs to be verified.\nObjective: To investigate the diagnostic performance of resting heart rate variability (HRV), post-exercise HRV, and heart rate recovery (HRR) in detecting CAN among individuals with prediabetes (pre-DM) and type 2 diabetes mellitus (T2DM).\nMethods: Fifty adults with pre-DM or T2DM participated in the study. The presence of CAN was assessed using five standard cardiovascular autonomic reflex tests (CARTs) that measured heart rate and blood pressure responses to standing; Valsalva maneuver, deep breathing, and handgrip exercise. Participants were classified as CAN + if the cumulative score from five CARTs [each rated as normal (0), borderline (0.5), or abnormal (1)], was ≥ 2. Resting HRV was recorded for 10 min and analyzed in both the time and frequency domains. HRR and post-exercise HRV (RMSSD) were assessed after a submaximal incremental walk test. Statistical analyses included ROC curve analysis to assess diagnostic accuracy (area under the curve [AUC], sensitivity, specificity, and optimal cutoff points determined by the Youden index). Significance was set at p < 0.05.\nResults: CAN was present in 58% of participants. Resting HRV indices, especially high-frequency power (HFabs), were significantly lower in the CAN + group in comparison with the CAN- group. HFabs showed the highest diagnostic value for CAN (AUC = 0.775, sensitivity = 67.9%, specificity = 86.4%). Among post-exercise metrics, HRR at 2 min (HRR2min) had the best performance (AUC = 0.672, specificity = 95.2%) but lower sensitivity. No significant differences were found in post-exercise HRV between groups.\nConclusion: Resting HRV, particularly HFabs, demonstrated superior diagnostic value for detecting CAN compared to post-exercise indices. These accessible, non-invasive measures may enhance CAN screening in individuals with pre-DM and T2DM, especially if integrated into wearable technologies.\n\n\n### Oliveira, DPSC1; Souza, CAQ1; Facchin, AC1; Mariano, BC1; Pinto, LS1; Peçanha, T2\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is a serious yet underdiagnosed complication of diabetes mellitus (DM), associated with increased cardiovascular risk and mortality. Practical, non-invasive screening tools are needed to improve early detection in clinical settings. Methods for assessing autonomic dysfunction based on heart rate recording offer a simple, non-invasive, and widely applicable alternative for detecting CAN in DM; however, their diagnostic performance needs to be verified.\nObjective: To investigate the diagnostic performance of resting heart rate variability (HRV), post-exercise HRV, and heart rate recovery (HRR) in detecting CAN among individuals with prediabetes (pre-DM) and type 2 diabetes mellitus (T2DM).\nMethods: Fifty adults with pre-DM or T2DM participated in the study. The presence of CAN was assessed using five standard cardiovascular autonomic reflex tests (CARTs) that measured heart rate and blood pressure responses to standing; Valsalva maneuver, deep breathing, and handgrip exercise. Participants were classified as CAN + if the cumulative score from five CARTs [each rated as normal (0), borderline (0.5), or abnormal (1)], was ≥ 2. Resting HRV was recorded for 10 min and analyzed in both the time and frequency domains. HRR and post-exercise HRV (RMSSD) were assessed after a submaximal incremental walk test. Statistical analyses included ROC curve analysis to assess diagnostic accuracy (area under the curve [AUC], sensitivity, specificity, and optimal cutoff points determined by the Youden index). Significance was set at p < 0.05.\nResults: CAN was present in 58% of participants. Resting HRV indices, especially high-frequency power (HFabs), were significantly lower in the CAN + group in comparison with the CAN- group. HFabs showed the highest diagnostic value for CAN (AUC = 0.775, sensitivity = 67.9%, specificity = 86.4%). Among post-exercise metrics, HRR at 2 min (HRR2min) had the best performance (AUC = 0.672, specificity = 95.2%) but lower sensitivity. No significant differences were found in post-exercise HRV between groups.\nConclusion: Resting HRV, particularly HFabs, demonstrated superior diagnostic value for detecting CAN compared to post-exercise indices. These accessible, non-invasive measures may enhance CAN screening in individuals with pre-DM and T2DM, especially if integrated into wearable technologies.\n\n\n### (1) Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Manchester Metropolitan University, United Kingdom\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is a serious yet underdiagnosed complication of diabetes mellitus (DM), associated with increased cardiovascular risk and mortality. Practical, non-invasive screening tools are needed to improve early detection in clinical settings. Methods for assessing autonomic dysfunction based on heart rate recording offer a simple, non-invasive, and widely applicable alternative for detecting CAN in DM; however, their diagnostic performance needs to be verified.\nObjective: To investigate the diagnostic performance of resting heart rate variability (HRV), post-exercise HRV, and heart rate recovery (HRR) in detecting CAN among individuals with prediabetes (pre-DM) and type 2 diabetes mellitus (T2DM).\nMethods: Fifty adults with pre-DM or T2DM participated in the study. The presence of CAN was assessed using five standard cardiovascular autonomic reflex tests (CARTs) that measured heart rate and blood pressure responses to standing; Valsalva maneuver, deep breathing, and handgrip exercise. Participants were classified as CAN + if the cumulative score from five CARTs [each rated as normal (0), borderline (0.5), or abnormal (1)], was ≥ 2. Resting HRV was recorded for 10 min and analyzed in both the time and frequency domains. HRR and post-exercise HRV (RMSSD) were assessed after a submaximal incremental walk test. Statistical analyses included ROC curve analysis to assess diagnostic accuracy (area under the curve [AUC], sensitivity, specificity, and optimal cutoff points determined by the Youden index). Significance was set at p < 0.05.\nResults: CAN was present in 58% of participants. Resting HRV indices, especially high-frequency power (HFabs), were significantly lower in the CAN + group in comparison with the CAN- group. HFabs showed the highest diagnostic value for CAN (AUC = 0.775, sensitivity = 67.9%, specificity = 86.4%). Among post-exercise metrics, HRR at 2 min (HRR2min) had the best performance (AUC = 0.672, specificity = 95.2%) but lower sensitivity. No significant differences were found in post-exercise HRV between groups.\nConclusion: Resting HRV, particularly HFabs, demonstrated superior diagnostic value for detecting CAN compared to post-exercise indices. These accessible, non-invasive measures may enhance CAN screening in individuals with pre-DM and T2DM, especially if integrated into wearable technologies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—032\nIntroduction: Cardiovascular autonomic neuropathy (CAN) is a serious yet underdiagnosed complication of diabetes mellitus (DM), associated with increased cardiovascular risk and mortality. Practical, non-invasive screening tools are needed to improve early detection in clinical settings. Methods for assessing autonomic dysfunction based on heart rate recording offer a simple, non-invasive, and widely applicable alternative for detecting CAN in DM; however, their diagnostic performance needs to be verified.\nObjective: To investigate the diagnostic performance of resting heart rate variability (HRV), post-exercise HRV, and heart rate recovery (HRR) in detecting CAN among individuals with prediabetes (pre-DM) and type 2 diabetes mellitus (T2DM).\nMethods: Fifty adults with pre-DM or T2DM participated in the study. The presence of CAN was assessed using five standard cardiovascular autonomic reflex tests (CARTs) that measured heart rate and blood pressure responses to standing; Valsalva maneuver, deep breathing, and handgrip exercise. Participants were classified as CAN + if the cumulative score from five CARTs [each rated as normal (0), borderline (0.5), or abnormal (1)], was ≥ 2. Resting HRV was recorded for 10 min and analyzed in both the time and frequency domains. HRR and post-exercise HRV (RMSSD) were assessed after a submaximal incremental walk test. Statistical analyses included ROC curve analysis to assess diagnostic accuracy (area under the curve [AUC], sensitivity, specificity, and optimal cutoff points determined by the Youden index). Significance was set at p < 0.05.\nResults: CAN was present in 58% of participants. Resting HRV indices, especially high-frequency power (HFabs), were significantly lower in the CAN + group in comparison with the CAN- group. HFabs showed the highest diagnostic value for CAN (AUC = 0.775, sensitivity = 67.9%, specificity = 86.4%). Among post-exercise metrics, HRR at 2 min (HRR2min) had the best performance (AUC = 0.672, specificity = 95.2%) but lower sensitivity. No significant differences were found in post-exercise HRV between groups.\nConclusion: Resting HRV, particularly HFabs, demonstrated superior diagnostic value for detecting CAN compared to post-exercise indices. These accessible, non-invasive measures may enhance CAN screening in individuals with pre-DM and T2DM, especially if integrated into wearable technologies.\n\n\n### PO—033 Effect Of High-dose Cholecalciferol On Diabetic Kidney Disease In Patients With Type 2 Diabetes And Diabetic Kidney Disease\nIntroduction: Diabetic kidney disease (DKD) is one of the microvascular complications of type 2 diabetes mellitus (T2DM), affecting 20% to 40% of patients with T2DM and leading to increased morbidity and mortality in these patients. In recent years, studies have shown that vitamin D (VD) plays an important role in T2DM, and reduced VD levels may be associated with its complications.\nObjective: The aim of this study was to evaluate the effect of high doses of cholecalciferol on urinary albumin excretion (UACR) in patients with T2DM and DKD (albuminuria > 30 mg/g).\nMethods: A 12-week prospective, randomized, double-blind, placebo-controlled study was conducted with 27 patients (placebo group = 11 patients and intervention group = 16 patients), who received 10,000 IU of cholecalciferol per day.\nResults: In the intervention group, there was an improvement in VD levels (27.5 ± 8.7 vs. 67.7 ± 19.3 ng/dl; p < 0.001) and worsening of glycemic control, measured by fasting blood glucose (136.4 ± 54.4 vs. 174.0 ± 75.7 mg/dl; p = 0.034) and glycated hemoglobin (8.2 ± 1.1 vs. 9.2 ± 1.7%; p = 0.003). In addition, there was also a downward trend in UACR in the intervention group (Albuminuria Log10 = 2.1 ± 0.3 vs 1.9 ± 0.4 mg/g; p = 0.06), while this did not occur in the placebo group (Albuminuria Log10 = 1.9 ± 0.4 vs 1.8 ± 0.4 mg/g; p = 0.4).\nConclusion: Our study suggests that VD may have a possible effect on reducing albuminuria in patients with T2DM and DKD, however our sample size is still too small to consolidate our findings. Our study is still ongoing to increase the sample size and confirm our initial findings.\n\n\n### Bezerra, IS1; Ruivo, LO1; Figueiredo, PAB1; Motta, ARB1; Leal, VSG1; Barros, MB1; Felício, KM1; Silva, LSD1; Melo, FTC1; Santos, MC1; Reis, MSO1; Lemos, GN1; Felício, JS1\nIntroduction: Diabetic kidney disease (DKD) is one of the microvascular complications of type 2 diabetes mellitus (T2DM), affecting 20% to 40% of patients with T2DM and leading to increased morbidity and mortality in these patients. In recent years, studies have shown that vitamin D (VD) plays an important role in T2DM, and reduced VD levels may be associated with its complications.\nObjective: The aim of this study was to evaluate the effect of high doses of cholecalciferol on urinary albumin excretion (UACR) in patients with T2DM and DKD (albuminuria > 30 mg/g).\nMethods: A 12-week prospective, randomized, double-blind, placebo-controlled study was conducted with 27 patients (placebo group = 11 patients and intervention group = 16 patients), who received 10,000 IU of cholecalciferol per day.\nResults: In the intervention group, there was an improvement in VD levels (27.5 ± 8.7 vs. 67.7 ± 19.3 ng/dl; p < 0.001) and worsening of glycemic control, measured by fasting blood glucose (136.4 ± 54.4 vs. 174.0 ± 75.7 mg/dl; p = 0.034) and glycated hemoglobin (8.2 ± 1.1 vs. 9.2 ± 1.7%; p = 0.003). In addition, there was also a downward trend in UACR in the intervention group (Albuminuria Log10 = 2.1 ± 0.3 vs 1.9 ± 0.4 mg/g; p = 0.06), while this did not occur in the placebo group (Albuminuria Log10 = 1.9 ± 0.4 vs 1.8 ± 0.4 mg/g; p = 0.4).\nConclusion: Our study suggests that VD may have a possible effect on reducing albuminuria in patients with T2DM and DKD, however our sample size is still too small to consolidate our findings. Our study is still ongoing to increase the sample size and confirm our initial findings.\n\n\n### (1) Hospital Universitário João de Barros Barreto, Belém, PA – Brasil\nIntroduction: Diabetic kidney disease (DKD) is one of the microvascular complications of type 2 diabetes mellitus (T2DM), affecting 20% to 40% of patients with T2DM and leading to increased morbidity and mortality in these patients. In recent years, studies have shown that vitamin D (VD) plays an important role in T2DM, and reduced VD levels may be associated with its complications.\nObjective: The aim of this study was to evaluate the effect of high doses of cholecalciferol on urinary albumin excretion (UACR) in patients with T2DM and DKD (albuminuria > 30 mg/g).\nMethods: A 12-week prospective, randomized, double-blind, placebo-controlled study was conducted with 27 patients (placebo group = 11 patients and intervention group = 16 patients), who received 10,000 IU of cholecalciferol per day.\nResults: In the intervention group, there was an improvement in VD levels (27.5 ± 8.7 vs. 67.7 ± 19.3 ng/dl; p < 0.001) and worsening of glycemic control, measured by fasting blood glucose (136.4 ± 54.4 vs. 174.0 ± 75.7 mg/dl; p = 0.034) and glycated hemoglobin (8.2 ± 1.1 vs. 9.2 ± 1.7%; p = 0.003). In addition, there was also a downward trend in UACR in the intervention group (Albuminuria Log10 = 2.1 ± 0.3 vs 1.9 ± 0.4 mg/g; p = 0.06), while this did not occur in the placebo group (Albuminuria Log10 = 1.9 ± 0.4 vs 1.8 ± 0.4 mg/g; p = 0.4).\nConclusion: Our study suggests that VD may have a possible effect on reducing albuminuria in patients with T2DM and DKD, however our sample size is still too small to consolidate our findings. Our study is still ongoing to increase the sample size and confirm our initial findings.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—033\nIntroduction: Diabetic kidney disease (DKD) is one of the microvascular complications of type 2 diabetes mellitus (T2DM), affecting 20% to 40% of patients with T2DM and leading to increased morbidity and mortality in these patients. In recent years, studies have shown that vitamin D (VD) plays an important role in T2DM, and reduced VD levels may be associated with its complications.\nObjective: The aim of this study was to evaluate the effect of high doses of cholecalciferol on urinary albumin excretion (UACR) in patients with T2DM and DKD (albuminuria > 30 mg/g).\nMethods: A 12-week prospective, randomized, double-blind, placebo-controlled study was conducted with 27 patients (placebo group = 11 patients and intervention group = 16 patients), who received 10,000 IU of cholecalciferol per day.\nResults: In the intervention group, there was an improvement in VD levels (27.5 ± 8.7 vs. 67.7 ± 19.3 ng/dl; p < 0.001) and worsening of glycemic control, measured by fasting blood glucose (136.4 ± 54.4 vs. 174.0 ± 75.7 mg/dl; p = 0.034) and glycated hemoglobin (8.2 ± 1.1 vs. 9.2 ± 1.7%; p = 0.003). In addition, there was also a downward trend in UACR in the intervention group (Albuminuria Log10 = 2.1 ± 0.3 vs 1.9 ± 0.4 mg/g; p = 0.06), while this did not occur in the placebo group (Albuminuria Log10 = 1.9 ± 0.4 vs 1.8 ± 0.4 mg/g; p = 0.4).\nConclusion: Our study suggests that VD may have a possible effect on reducing albuminuria in patients with T2DM and DKD, however our sample size is still too small to consolidate our findings. Our study is still ongoing to increase the sample size and confirm our initial findings.\n\n\n### PO—034 Effects Of Flaxseed On Microglial Cells (bv-2) Under Hyperglycemic Conditions\nIntroduction: Diabetes Mellitus, characterized by persistent hyperglycemia, is associated with metabolic dysfunction and increased oxidative stress, especially in the central nervous system. In this context, functional foods with antioxidant properties have been investigated as adjuvants in modulating cellular responses. Defatted brown flaxseed stands out for its nutritional profile, containing omega-3, fibers such as lignans, phenolic compounds, and peptides, which confer anti-inflammatory and neuroprotective properties.\nObjective: To investigate the protective effect of defatted flaxseed on BV-2 cells under hyperglycemic conditions.\nMethods: BV-2 cells were exposed to a concentration of 100 µM glucose and subsequently treated with aqueous extract of defatted brown flaxseed at different concentrations (50, 100, 250, 500, and 750 µg/mL) for 72 h. After this period, the MTT assay was performed to measure cell viability.\nResults: As shown in Fig. 1A, exposure to high glucose resulted in reduced cell viability in BV-2 cells, indicating a cytotoxic effect in a hyperglycemic environment. However, treatment with defatted brown flaxseed extract was able to partially reverse this damage, promoting increased cell proliferation compared to the group treated only with glucose (Fig. 1B). Between concentrations of 100 µg/mL and 500 µg/mL, an improvement in viability was observed, suggesting a cytoprotective effect of the extract against glucotoxic stress. Considering that microglial dysfunction in hyperglycemic environments is associated with neuroinflammatory and degenerative processes, the results indicate that flaxseed extract can positively modulate the microglial response, favoring homeostasis and showing neuroprotective potential in dysregulated metabolic contexts.\nConclusion: Thus, this study significantly contributes to advancing knowledge on natural interventions in the neuroimmune-metabolic axis, providing a basis for the future development of preventive and therapeutic strategies to mitigate the deleterious effects of hyperglycemia on the central nervous system.Figure 1 (abstract PO—034) (a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n(a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n\n\n### Correa, DL1; Colpo, E1; Cadoná, FC1; D’Avila, CMS1\nIntroduction: Diabetes Mellitus, characterized by persistent hyperglycemia, is associated with metabolic dysfunction and increased oxidative stress, especially in the central nervous system. In this context, functional foods with antioxidant properties have been investigated as adjuvants in modulating cellular responses. Defatted brown flaxseed stands out for its nutritional profile, containing omega-3, fibers such as lignans, phenolic compounds, and peptides, which confer anti-inflammatory and neuroprotective properties.\nObjective: To investigate the protective effect of defatted flaxseed on BV-2 cells under hyperglycemic conditions.\nMethods: BV-2 cells were exposed to a concentration of 100 µM glucose and subsequently treated with aqueous extract of defatted brown flaxseed at different concentrations (50, 100, 250, 500, and 750 µg/mL) for 72 h. After this period, the MTT assay was performed to measure cell viability.\nResults: As shown in Fig. 1A, exposure to high glucose resulted in reduced cell viability in BV-2 cells, indicating a cytotoxic effect in a hyperglycemic environment. However, treatment with defatted brown flaxseed extract was able to partially reverse this damage, promoting increased cell proliferation compared to the group treated only with glucose (Fig. 1B). Between concentrations of 100 µg/mL and 500 µg/mL, an improvement in viability was observed, suggesting a cytoprotective effect of the extract against glucotoxic stress. Considering that microglial dysfunction in hyperglycemic environments is associated with neuroinflammatory and degenerative processes, the results indicate that flaxseed extract can positively modulate the microglial response, favoring homeostasis and showing neuroprotective potential in dysregulated metabolic contexts.\nConclusion: Thus, this study significantly contributes to advancing knowledge on natural interventions in the neuroimmune-metabolic axis, providing a basis for the future development of preventive and therapeutic strategies to mitigate the deleterious effects of hyperglycemia on the central nervous system.Figure 1 (abstract PO—034) (a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n(a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n\n\n### (1) Universidade Franciscana, Santa Maria, RS, Brasil\nIntroduction: Diabetes Mellitus, characterized by persistent hyperglycemia, is associated with metabolic dysfunction and increased oxidative stress, especially in the central nervous system. In this context, functional foods with antioxidant properties have been investigated as adjuvants in modulating cellular responses. Defatted brown flaxseed stands out for its nutritional profile, containing omega-3, fibers such as lignans, phenolic compounds, and peptides, which confer anti-inflammatory and neuroprotective properties.\nObjective: To investigate the protective effect of defatted flaxseed on BV-2 cells under hyperglycemic conditions.\nMethods: BV-2 cells were exposed to a concentration of 100 µM glucose and subsequently treated with aqueous extract of defatted brown flaxseed at different concentrations (50, 100, 250, 500, and 750 µg/mL) for 72 h. After this period, the MTT assay was performed to measure cell viability.\nResults: As shown in Fig. 1A, exposure to high glucose resulted in reduced cell viability in BV-2 cells, indicating a cytotoxic effect in a hyperglycemic environment. However, treatment with defatted brown flaxseed extract was able to partially reverse this damage, promoting increased cell proliferation compared to the group treated only with glucose (Fig. 1B). Between concentrations of 100 µg/mL and 500 µg/mL, an improvement in viability was observed, suggesting a cytoprotective effect of the extract against glucotoxic stress. Considering that microglial dysfunction in hyperglycemic environments is associated with neuroinflammatory and degenerative processes, the results indicate that flaxseed extract can positively modulate the microglial response, favoring homeostasis and showing neuroprotective potential in dysregulated metabolic contexts.\nConclusion: Thus, this study significantly contributes to advancing knowledge on natural interventions in the neuroimmune-metabolic axis, providing a basis for the future development of preventive and therapeutic strategies to mitigate the deleterious effects of hyperglycemia on the central nervous system.Figure 1 (abstract PO—034) (a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n(a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—034\nIntroduction: Diabetes Mellitus, characterized by persistent hyperglycemia, is associated with metabolic dysfunction and increased oxidative stress, especially in the central nervous system. In this context, functional foods with antioxidant properties have been investigated as adjuvants in modulating cellular responses. Defatted brown flaxseed stands out for its nutritional profile, containing omega-3, fibers such as lignans, phenolic compounds, and peptides, which confer anti-inflammatory and neuroprotective properties.\nObjective: To investigate the protective effect of defatted flaxseed on BV-2 cells under hyperglycemic conditions.\nMethods: BV-2 cells were exposed to a concentration of 100 µM glucose and subsequently treated with aqueous extract of defatted brown flaxseed at different concentrations (50, 100, 250, 500, and 750 µg/mL) for 72 h. After this period, the MTT assay was performed to measure cell viability.\nResults: As shown in Fig. 1A, exposure to high glucose resulted in reduced cell viability in BV-2 cells, indicating a cytotoxic effect in a hyperglycemic environment. However, treatment with defatted brown flaxseed extract was able to partially reverse this damage, promoting increased cell proliferation compared to the group treated only with glucose (Fig. 1B). Between concentrations of 100 µg/mL and 500 µg/mL, an improvement in viability was observed, suggesting a cytoprotective effect of the extract against glucotoxic stress. Considering that microglial dysfunction in hyperglycemic environments is associated with neuroinflammatory and degenerative processes, the results indicate that flaxseed extract can positively modulate the microglial response, favoring homeostasis and showing neuroprotective potential in dysregulated metabolic contexts.\nConclusion: Thus, this study significantly contributes to advancing knowledge on natural interventions in the neuroimmune-metabolic axis, providing a basis for the future development of preventive and therapeutic strategies to mitigate the deleterious effects of hyperglycemia on the central nervous system.Figure 1 (abstract PO—034) (a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n(a) Glucose control. (b) proliferation levels of BV-2 microglial cells exposed to defatted brown flaxseed extract for 72 h.\n\n\n### PO—035 Effects Of Optimized Therapeutic Intervention On The Pathophysiology Of Wound Healing In Diabetic Foot\nIntroduction: Diabetic foot is a severe chronic complication of diabetes mellitus, often linked to infections, ulcerations, and a high risk of amputation. Its pathophysiology involves a persistent proinflammatory state, endothelial dysfunction, impaired angiogenesis, peripheral neuropathy, and immune and tissue repair alterations. These factors lead to delayed granulation, poor re-epithelialization, and a higher risk of infection. Optimized therapeutic interventions aim to modulate these mechanisms to improve healing and reduce long-term complications.\nObjective: To analyze the effects of optimized therapeutic interventions on the pathophysiological mechanisms of wound healing in the diabetic foot.\nMethods: A narrative literature review was conducted using PubMed, MEDLINE, Embase, and Cochrane, as well as specialized journals, covering 2022–2025. The descriptors “skin ulcer,” “diabetic foot,” “healing,” and “clinical management” were used for the search. Clinical trials, systematic reviews, and meta-analyses with clear results on efficacy, healing time, and amputation rates were included.\nResults: Interventions such as negative pressure wound therapy (NPWT), hyperbaric oxygen therapy (HBOT), platelet-rich plasma (PRP), multimodal matrices, and low-level laser therapy, combined with strict glycemic control (HbA1c < 7), have shown greater efficacy in reducing ulcer area, accelerating healing, stimulating granulation and angiogenesis, and lowering amputation rates.\nConclusion: Optimized therapeutic interventions address the healing pathophysiology by modulating chronic inflammation, poor angiogenesis, and extracellular matrix dysfunction. Strategies such as NPWT, HBOT, PRP, and normoglycemia promote healing and prevent severe complications. The early integrated adoption of these therapies improves outcomes and prevents chronic wound progression. More robust studies and guidelines are needed to validate this approach in the early stages of treatment.\n\n\n### Dias, MO1; Melo, AAC2; Pollis, SO3; Mendes, KSON1\nIntroduction: Diabetic foot is a severe chronic complication of diabetes mellitus, often linked to infections, ulcerations, and a high risk of amputation. Its pathophysiology involves a persistent proinflammatory state, endothelial dysfunction, impaired angiogenesis, peripheral neuropathy, and immune and tissue repair alterations. These factors lead to delayed granulation, poor re-epithelialization, and a higher risk of infection. Optimized therapeutic interventions aim to modulate these mechanisms to improve healing and reduce long-term complications.\nObjective: To analyze the effects of optimized therapeutic interventions on the pathophysiological mechanisms of wound healing in the diabetic foot.\nMethods: A narrative literature review was conducted using PubMed, MEDLINE, Embase, and Cochrane, as well as specialized journals, covering 2022–2025. The descriptors “skin ulcer,” “diabetic foot,” “healing,” and “clinical management” were used for the search. Clinical trials, systematic reviews, and meta-analyses with clear results on efficacy, healing time, and amputation rates were included.\nResults: Interventions such as negative pressure wound therapy (NPWT), hyperbaric oxygen therapy (HBOT), platelet-rich plasma (PRP), multimodal matrices, and low-level laser therapy, combined with strict glycemic control (HbA1c < 7), have shown greater efficacy in reducing ulcer area, accelerating healing, stimulating granulation and angiogenesis, and lowering amputation rates.\nConclusion: Optimized therapeutic interventions address the healing pathophysiology by modulating chronic inflammation, poor angiogenesis, and extracellular matrix dysfunction. Strategies such as NPWT, HBOT, PRP, and normoglycemia promote healing and prevent severe complications. The early integrated adoption of these therapies improves outcomes and prevents chronic wound progression. More robust studies and guidelines are needed to validate this approach in the early stages of treatment.\n\n\n### (1) Universidade de Cuiabá—Cuiabá—MT—Brasil; (2) Instituto Master de Ensino Presidente Antonio Carlos—Araguari—MG—Brasil; (3) Universidade Cidade de São Paulo—São Paulo—SP—Brasil\nIntroduction: Diabetic foot is a severe chronic complication of diabetes mellitus, often linked to infections, ulcerations, and a high risk of amputation. Its pathophysiology involves a persistent proinflammatory state, endothelial dysfunction, impaired angiogenesis, peripheral neuropathy, and immune and tissue repair alterations. These factors lead to delayed granulation, poor re-epithelialization, and a higher risk of infection. Optimized therapeutic interventions aim to modulate these mechanisms to improve healing and reduce long-term complications.\nObjective: To analyze the effects of optimized therapeutic interventions on the pathophysiological mechanisms of wound healing in the diabetic foot.\nMethods: A narrative literature review was conducted using PubMed, MEDLINE, Embase, and Cochrane, as well as specialized journals, covering 2022–2025. The descriptors “skin ulcer,” “diabetic foot,” “healing,” and “clinical management” were used for the search. Clinical trials, systematic reviews, and meta-analyses with clear results on efficacy, healing time, and amputation rates were included.\nResults: Interventions such as negative pressure wound therapy (NPWT), hyperbaric oxygen therapy (HBOT), platelet-rich plasma (PRP), multimodal matrices, and low-level laser therapy, combined with strict glycemic control (HbA1c < 7), have shown greater efficacy in reducing ulcer area, accelerating healing, stimulating granulation and angiogenesis, and lowering amputation rates.\nConclusion: Optimized therapeutic interventions address the healing pathophysiology by modulating chronic inflammation, poor angiogenesis, and extracellular matrix dysfunction. Strategies such as NPWT, HBOT, PRP, and normoglycemia promote healing and prevent severe complications. The early integrated adoption of these therapies improves outcomes and prevents chronic wound progression. More robust studies and guidelines are needed to validate this approach in the early stages of treatment.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—035\nIntroduction: Diabetic foot is a severe chronic complication of diabetes mellitus, often linked to infections, ulcerations, and a high risk of amputation. Its pathophysiology involves a persistent proinflammatory state, endothelial dysfunction, impaired angiogenesis, peripheral neuropathy, and immune and tissue repair alterations. These factors lead to delayed granulation, poor re-epithelialization, and a higher risk of infection. Optimized therapeutic interventions aim to modulate these mechanisms to improve healing and reduce long-term complications.\nObjective: To analyze the effects of optimized therapeutic interventions on the pathophysiological mechanisms of wound healing in the diabetic foot.\nMethods: A narrative literature review was conducted using PubMed, MEDLINE, Embase, and Cochrane, as well as specialized journals, covering 2022–2025. The descriptors “skin ulcer,” “diabetic foot,” “healing,” and “clinical management” were used for the search. Clinical trials, systematic reviews, and meta-analyses with clear results on efficacy, healing time, and amputation rates were included.\nResults: Interventions such as negative pressure wound therapy (NPWT), hyperbaric oxygen therapy (HBOT), platelet-rich plasma (PRP), multimodal matrices, and low-level laser therapy, combined with strict glycemic control (HbA1c < 7), have shown greater efficacy in reducing ulcer area, accelerating healing, stimulating granulation and angiogenesis, and lowering amputation rates.\nConclusion: Optimized therapeutic interventions address the healing pathophysiology by modulating chronic inflammation, poor angiogenesis, and extracellular matrix dysfunction. Strategies such as NPWT, HBOT, PRP, and normoglycemia promote healing and prevent severe complications. The early integrated adoption of these therapies improves outcomes and prevents chronic wound progression. More robust studies and guidelines are needed to validate this approach in the early stages of treatment.\n\n\n### PO—037 Evaluation Of The Degree Of Diabetic Peripheral Neuropathy In A Care Group In Primary Healthcare In Northern Brazil\nIntroduction: Diabetic peripheral neuropathy affects up to 50% of people with diabetes mellitus, causing foot deformities as it impacts peripheral myelinated motor fibers. This leads to changes in foot anatomy, which increases the likelihood of ulcers.\nObjective: To assess the degree of diabetic peripheral neuropathy in participants of a diabetes care group.\nMethods: This was a quantitative, descriptive, and cross-sectional study approved by the research ethics committee. It included participants from a research project focused on the care of people with diabetes, who were followed by a multidisciplinary team in primary healthcare in Amapá in 2023. Sociodemographic, clinical, and lifestyle data were collected. The degree of diabetic peripheral neuropathy was assessed using the Neuropathy Symptom Score (mild 3–4, moderate 5–6, severe 7–9 points) and the Neuropathy Impairment Score (mild 3–5, moderate 6–8, severe 9–10 points). Descriptive statistical analysis was performed, including absolute and relative frequencies, means, medians, standard deviations, and 95% confidence intervals for proportions and means.\nResults: 44 individuals participated, predominantly women (93.2%), with an average age of 62.18 years. Most had low education (29.5% with incomplete elementary school) and a family income of 1 to 3 minimum wages (59.1%). Regarding lifestyle, 68.2% practiced physical activity. Type 2 diabetes mellitus was prevalent at 72.7%, and hypertension was associated in 65.9%. Additionally, 86.4% had been diagnosed for over 10 years. The average body mass index was 39.07 kg/m2, classifying 36.4% as obese. Biochemical parameters indicated an average fasting glucose of 176.81 mg/dL, glycated hemoglobin of 8.43%, total cholesterol of 230.78 mg/dL, HDL of 53.10 mg/dL, LDL of 132.74 mg/dL, and triglycerides of 212.77 mg/dL. The Neuropathy Symptom Score had an average of 3.45, with 36.4% of individuals being asymptomatic, 20.5% having mild symptoms, 25% moderate, and 18.2% severe. Neuropathic impairment had an average of 0.86 (95% CI: 0.25–1.47), being absent in 81.8% of participants, mild in 15.9%, and severe in 2.3%.\nConclusion: Neuropathic impairment was low, despite the participants’ high-risk profile. This highlights that follow-up by a multidisciplinary team in primary care may be a crucial protective factor to mitigate the progression of neuropathy and improve long-term clinical outcomes.\n\n\n### Oliveira, VS1; Pena, FPS1; Ferreira, DQ1; Silva, EM1; Santos, KC1; Schneider, IJC2\nIntroduction: Diabetic peripheral neuropathy affects up to 50% of people with diabetes mellitus, causing foot deformities as it impacts peripheral myelinated motor fibers. This leads to changes in foot anatomy, which increases the likelihood of ulcers.\nObjective: To assess the degree of diabetic peripheral neuropathy in participants of a diabetes care group.\nMethods: This was a quantitative, descriptive, and cross-sectional study approved by the research ethics committee. It included participants from a research project focused on the care of people with diabetes, who were followed by a multidisciplinary team in primary healthcare in Amapá in 2023. Sociodemographic, clinical, and lifestyle data were collected. The degree of diabetic peripheral neuropathy was assessed using the Neuropathy Symptom Score (mild 3–4, moderate 5–6, severe 7–9 points) and the Neuropathy Impairment Score (mild 3–5, moderate 6–8, severe 9–10 points). Descriptive statistical analysis was performed, including absolute and relative frequencies, means, medians, standard deviations, and 95% confidence intervals for proportions and means.\nResults: 44 individuals participated, predominantly women (93.2%), with an average age of 62.18 years. Most had low education (29.5% with incomplete elementary school) and a family income of 1 to 3 minimum wages (59.1%). Regarding lifestyle, 68.2% practiced physical activity. Type 2 diabetes mellitus was prevalent at 72.7%, and hypertension was associated in 65.9%. Additionally, 86.4% had been diagnosed for over 10 years. The average body mass index was 39.07 kg/m2, classifying 36.4% as obese. Biochemical parameters indicated an average fasting glucose of 176.81 mg/dL, glycated hemoglobin of 8.43%, total cholesterol of 230.78 mg/dL, HDL of 53.10 mg/dL, LDL of 132.74 mg/dL, and triglycerides of 212.77 mg/dL. The Neuropathy Symptom Score had an average of 3.45, with 36.4% of individuals being asymptomatic, 20.5% having mild symptoms, 25% moderate, and 18.2% severe. Neuropathic impairment had an average of 0.86 (95% CI: 0.25–1.47), being absent in 81.8% of participants, mild in 15.9%, and severe in 2.3%.\nConclusion: Neuropathic impairment was low, despite the participants’ high-risk profile. This highlights that follow-up by a multidisciplinary team in primary care may be a crucial protective factor to mitigate the progression of neuropathy and improve long-term clinical outcomes.\n\n\n### (1) Universidade Federal do Amapá, Macapá, AP, Brasil; (2) Universidade Federal de Santa Catarina, Florianópolis, SC, Brasil\nIntroduction: Diabetic peripheral neuropathy affects up to 50% of people with diabetes mellitus, causing foot deformities as it impacts peripheral myelinated motor fibers. This leads to changes in foot anatomy, which increases the likelihood of ulcers.\nObjective: To assess the degree of diabetic peripheral neuropathy in participants of a diabetes care group.\nMethods: This was a quantitative, descriptive, and cross-sectional study approved by the research ethics committee. It included participants from a research project focused on the care of people with diabetes, who were followed by a multidisciplinary team in primary healthcare in Amapá in 2023. Sociodemographic, clinical, and lifestyle data were collected. The degree of diabetic peripheral neuropathy was assessed using the Neuropathy Symptom Score (mild 3–4, moderate 5–6, severe 7–9 points) and the Neuropathy Impairment Score (mild 3–5, moderate 6–8, severe 9–10 points). Descriptive statistical analysis was performed, including absolute and relative frequencies, means, medians, standard deviations, and 95% confidence intervals for proportions and means.\nResults: 44 individuals participated, predominantly women (93.2%), with an average age of 62.18 years. Most had low education (29.5% with incomplete elementary school) and a family income of 1 to 3 minimum wages (59.1%). Regarding lifestyle, 68.2% practiced physical activity. Type 2 diabetes mellitus was prevalent at 72.7%, and hypertension was associated in 65.9%. Additionally, 86.4% had been diagnosed for over 10 years. The average body mass index was 39.07 kg/m2, classifying 36.4% as obese. Biochemical parameters indicated an average fasting glucose of 176.81 mg/dL, glycated hemoglobin of 8.43%, total cholesterol of 230.78 mg/dL, HDL of 53.10 mg/dL, LDL of 132.74 mg/dL, and triglycerides of 212.77 mg/dL. The Neuropathy Symptom Score had an average of 3.45, with 36.4% of individuals being asymptomatic, 20.5% having mild symptoms, 25% moderate, and 18.2% severe. Neuropathic impairment had an average of 0.86 (95% CI: 0.25–1.47), being absent in 81.8% of participants, mild in 15.9%, and severe in 2.3%.\nConclusion: Neuropathic impairment was low, despite the participants’ high-risk profile. This highlights that follow-up by a multidisciplinary team in primary care may be a crucial protective factor to mitigate the progression of neuropathy and improve long-term clinical outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—037\nIntroduction: Diabetic peripheral neuropathy affects up to 50% of people with diabetes mellitus, causing foot deformities as it impacts peripheral myelinated motor fibers. This leads to changes in foot anatomy, which increases the likelihood of ulcers.\nObjective: To assess the degree of diabetic peripheral neuropathy in participants of a diabetes care group.\nMethods: This was a quantitative, descriptive, and cross-sectional study approved by the research ethics committee. It included participants from a research project focused on the care of people with diabetes, who were followed by a multidisciplinary team in primary healthcare in Amapá in 2023. Sociodemographic, clinical, and lifestyle data were collected. The degree of diabetic peripheral neuropathy was assessed using the Neuropathy Symptom Score (mild 3–4, moderate 5–6, severe 7–9 points) and the Neuropathy Impairment Score (mild 3–5, moderate 6–8, severe 9–10 points). Descriptive statistical analysis was performed, including absolute and relative frequencies, means, medians, standard deviations, and 95% confidence intervals for proportions and means.\nResults: 44 individuals participated, predominantly women (93.2%), with an average age of 62.18 years. Most had low education (29.5% with incomplete elementary school) and a family income of 1 to 3 minimum wages (59.1%). Regarding lifestyle, 68.2% practiced physical activity. Type 2 diabetes mellitus was prevalent at 72.7%, and hypertension was associated in 65.9%. Additionally, 86.4% had been diagnosed for over 10 years. The average body mass index was 39.07 kg/m2, classifying 36.4% as obese. Biochemical parameters indicated an average fasting glucose of 176.81 mg/dL, glycated hemoglobin of 8.43%, total cholesterol of 230.78 mg/dL, HDL of 53.10 mg/dL, LDL of 132.74 mg/dL, and triglycerides of 212.77 mg/dL. The Neuropathy Symptom Score had an average of 3.45, with 36.4% of individuals being asymptomatic, 20.5% having mild symptoms, 25% moderate, and 18.2% severe. Neuropathic impairment had an average of 0.86 (95% CI: 0.25–1.47), being absent in 81.8% of participants, mild in 15.9%, and severe in 2.3%.\nConclusion: Neuropathic impairment was low, despite the participants’ high-risk profile. This highlights that follow-up by a multidisciplinary team in primary care may be a crucial protective factor to mitigate the progression of neuropathy and improve long-term clinical outcomes.\n\n\n### PO—038 Evaluation Of The microRNA Mir-499a Polymorphism In Patients With Diabetes And Diabetic Kidney Disease\nIntroduction: Chronic hyperglycemia is the main factor responsible for the microvascular complications associated with DM. Excess glucose triggers an inflammatory state through the accumulation of substances such as advanced glycation end-products (AGEs), which lead to structural cellular modifications and the production of inflammatory cytokines. This process, initiated by cellular injury and impaired glomerular filtration, results in the development of Diabetic Kidney Disease (DKD), which in its most severe form progresses to the need for renal replacement therapy. Early diagnosis and screening methods may help reduce complications and mortality. This study proposes the investigation of genetic markers for the early detection of DKD.\nObjective: To evaluate the polymorphism of microRNA-499a in individuals with type 1 and type 2 diabetes, with or without diabetic kidney disease, and to investigate potential associations between genotypes and disease presence.\nMethods: A case–control study was conducted with 87 DM patients (T1DM and T2DM). DNA was extracted from saliva to analyze miR-499a genotypes (heterozygous, homozygous dominant, and homozygous recessive). Genotype distribution was compared between patients with and without DKD.\nResults: Among the study population, 52.9% had type 2 diabetes. This group showed a significantly higher prevalence of DKD (84%) compared to those with type 1 diabetes (16%). Patients with cardiovascular comorbidities, under treatment with statins, multiple oral hypoglycemic agents, and antihypertensive medications, had significantly higher rates of DKD. A similar correlation was observed with abdominal circumference: patients with DKD had, on average, a 14 cm larger abdominal circumference than those without DKD. Regarding miRNA-499a, no statistically significant association was found with DKD. Although the GG genotype increased the likelihood of symmetric distal sensory-motor polyneuropathy (SDPN) by approximately threefold in the sample, this genotype did not show similar behavior in other microvascular complications.\nConclusion: No significant association was found between miR-499a polymorphism and DKD. Results may have been influenced by nephroprotective use and other pathophysiological mechanisms. Further studies in non-DM populations, with larger samples and broader biomarker panels, are needed to clarify genetic contributions to DKD.\n\n\n### Sella, BP1; Brito, BL1; Oliveira, BMB1; Hildebrando, I1; Zangari, MEM1; Maronezi, MG1; Frederico, RCP1; Liboni, RD1; Montemor, CN1\nIntroduction: Chronic hyperglycemia is the main factor responsible for the microvascular complications associated with DM. Excess glucose triggers an inflammatory state through the accumulation of substances such as advanced glycation end-products (AGEs), which lead to structural cellular modifications and the production of inflammatory cytokines. This process, initiated by cellular injury and impaired glomerular filtration, results in the development of Diabetic Kidney Disease (DKD), which in its most severe form progresses to the need for renal replacement therapy. Early diagnosis and screening methods may help reduce complications and mortality. This study proposes the investigation of genetic markers for the early detection of DKD.\nObjective: To evaluate the polymorphism of microRNA-499a in individuals with type 1 and type 2 diabetes, with or without diabetic kidney disease, and to investigate potential associations between genotypes and disease presence.\nMethods: A case–control study was conducted with 87 DM patients (T1DM and T2DM). DNA was extracted from saliva to analyze miR-499a genotypes (heterozygous, homozygous dominant, and homozygous recessive). Genotype distribution was compared between patients with and without DKD.\nResults: Among the study population, 52.9% had type 2 diabetes. This group showed a significantly higher prevalence of DKD (84%) compared to those with type 1 diabetes (16%). Patients with cardiovascular comorbidities, under treatment with statins, multiple oral hypoglycemic agents, and antihypertensive medications, had significantly higher rates of DKD. A similar correlation was observed with abdominal circumference: patients with DKD had, on average, a 14 cm larger abdominal circumference than those without DKD. Regarding miRNA-499a, no statistically significant association was found with DKD. Although the GG genotype increased the likelihood of symmetric distal sensory-motor polyneuropathy (SDPN) by approximately threefold in the sample, this genotype did not show similar behavior in other microvascular complications.\nConclusion: No significant association was found between miR-499a polymorphism and DKD. Results may have been influenced by nephroprotective use and other pathophysiological mechanisms. Further studies in non-DM populations, with larger samples and broader biomarker panels, are needed to clarify genetic contributions to DKD.\n\n\n### (1) Pontifícia Universidade Católica do Paraná, Londrina, PR, Brasil\nIntroduction: Chronic hyperglycemia is the main factor responsible for the microvascular complications associated with DM. Excess glucose triggers an inflammatory state through the accumulation of substances such as advanced glycation end-products (AGEs), which lead to structural cellular modifications and the production of inflammatory cytokines. This process, initiated by cellular injury and impaired glomerular filtration, results in the development of Diabetic Kidney Disease (DKD), which in its most severe form progresses to the need for renal replacement therapy. Early diagnosis and screening methods may help reduce complications and mortality. This study proposes the investigation of genetic markers for the early detection of DKD.\nObjective: To evaluate the polymorphism of microRNA-499a in individuals with type 1 and type 2 diabetes, with or without diabetic kidney disease, and to investigate potential associations between genotypes and disease presence.\nMethods: A case–control study was conducted with 87 DM patients (T1DM and T2DM). DNA was extracted from saliva to analyze miR-499a genotypes (heterozygous, homozygous dominant, and homozygous recessive). Genotype distribution was compared between patients with and without DKD.\nResults: Among the study population, 52.9% had type 2 diabetes. This group showed a significantly higher prevalence of DKD (84%) compared to those with type 1 diabetes (16%). Patients with cardiovascular comorbidities, under treatment with statins, multiple oral hypoglycemic agents, and antihypertensive medications, had significantly higher rates of DKD. A similar correlation was observed with abdominal circumference: patients with DKD had, on average, a 14 cm larger abdominal circumference than those without DKD. Regarding miRNA-499a, no statistically significant association was found with DKD. Although the GG genotype increased the likelihood of symmetric distal sensory-motor polyneuropathy (SDPN) by approximately threefold in the sample, this genotype did not show similar behavior in other microvascular complications.\nConclusion: No significant association was found between miR-499a polymorphism and DKD. Results may have been influenced by nephroprotective use and other pathophysiological mechanisms. Further studies in non-DM populations, with larger samples and broader biomarker panels, are needed to clarify genetic contributions to DKD.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—038\nIntroduction: Chronic hyperglycemia is the main factor responsible for the microvascular complications associated with DM. Excess glucose triggers an inflammatory state through the accumulation of substances such as advanced glycation end-products (AGEs), which lead to structural cellular modifications and the production of inflammatory cytokines. This process, initiated by cellular injury and impaired glomerular filtration, results in the development of Diabetic Kidney Disease (DKD), which in its most severe form progresses to the need for renal replacement therapy. Early diagnosis and screening methods may help reduce complications and mortality. This study proposes the investigation of genetic markers for the early detection of DKD.\nObjective: To evaluate the polymorphism of microRNA-499a in individuals with type 1 and type 2 diabetes, with or without diabetic kidney disease, and to investigate potential associations between genotypes and disease presence.\nMethods: A case–control study was conducted with 87 DM patients (T1DM and T2DM). DNA was extracted from saliva to analyze miR-499a genotypes (heterozygous, homozygous dominant, and homozygous recessive). Genotype distribution was compared between patients with and without DKD.\nResults: Among the study population, 52.9% had type 2 diabetes. This group showed a significantly higher prevalence of DKD (84%) compared to those with type 1 diabetes (16%). Patients with cardiovascular comorbidities, under treatment with statins, multiple oral hypoglycemic agents, and antihypertensive medications, had significantly higher rates of DKD. A similar correlation was observed with abdominal circumference: patients with DKD had, on average, a 14 cm larger abdominal circumference than those without DKD. Regarding miRNA-499a, no statistically significant association was found with DKD. Although the GG genotype increased the likelihood of symmetric distal sensory-motor polyneuropathy (SDPN) by approximately threefold in the sample, this genotype did not show similar behavior in other microvascular complications.\nConclusion: No significant association was found between miR-499a polymorphism and DKD. Results may have been influenced by nephroprotective use and other pathophysiological mechanisms. Further studies in non-DM populations, with larger samples and broader biomarker panels, are needed to clarify genetic contributions to DKD.\n\n\n### PO—039 Evolution Of Healing Associated With The Presence Of Arteriopathy In Diabetic Wounds Treated With Photodynamic Therapy\nIntroduction: Photodynamic Therapy (PDT) is positioned as a promising alternative in the treatment of one of the most important complications of diabetes mellitus (DM), which is the appearance of ulcers. PDT has an antimicrobial effect without inducing bacterial resistance, in addition to stimulating healing and reducing costs with hospitalizations and amputations.\nObjective: To evaluate the association between the presence of diabetic wound artery disease and evolution with photodynamic therapy.\nMethods: Lesions classified as grade I or II and stage B or D, according to the Texas classification, were included in the study. All participants were over 18 years of age. At the beginning of the treatment, arterial doppler of the affected limb was performed. Photodynamic therapy (PDT) sessions were performed twice a week. At each visit, the lesions were photographed and measured by planimetry. The therapeutic protocol used a high-power red LED array (Lince, MMoptics, Brazil), with peak emission at 630 nm and intensity between 50 and 150 mW/cm2, positioned on the infected tissue for 10 min, after the application of the methylene blue photosensitizer. Statistical analysis was performed using SPSS software, version 25.0, using the chi-square test, with a significant level of 5%. The results were expressed as mean ± standard error of the mean (SEM).\nResults: A total of 18 patients were analyzed, totaling 25 lesions, all of whom were diagnosed with type 2 diabetes mellitus. The majority were male (66.7%), with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 sessions of PDT. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. Among the wounds analyzed, 52% were associated with arteriopathy, while 44% did not have arteriopathy. There was no statistically significant association between the presence of arteriopathy and the percentage of lesion reduction (Chi2 = 5.505, p = 0.702). There was no amputation during treatment.\nConclusion: PDT is an efficient measure in the care of diabetic wounds, including those with arteriopathy. Thus, the technique has high healing rates, thus reducing the incidence of invasive procedures that, in addition to overloading the health system, also decreases the quality of life of patients.\n\n\n### Silva, LVO1; Rodrigues, RP1; Magalhães, FO1; Ceron, PIB1; Pelegrinelli, AC1; Junior, GT1; Martins, FPS1; Oliveira, VF1; Martins, AMNS1; Alves, NP1\nIntroduction: Photodynamic Therapy (PDT) is positioned as a promising alternative in the treatment of one of the most important complications of diabetes mellitus (DM), which is the appearance of ulcers. PDT has an antimicrobial effect without inducing bacterial resistance, in addition to stimulating healing and reducing costs with hospitalizations and amputations.\nObjective: To evaluate the association between the presence of diabetic wound artery disease and evolution with photodynamic therapy.\nMethods: Lesions classified as grade I or II and stage B or D, according to the Texas classification, were included in the study. All participants were over 18 years of age. At the beginning of the treatment, arterial doppler of the affected limb was performed. Photodynamic therapy (PDT) sessions were performed twice a week. At each visit, the lesions were photographed and measured by planimetry. The therapeutic protocol used a high-power red LED array (Lince, MMoptics, Brazil), with peak emission at 630 nm and intensity between 50 and 150 mW/cm2, positioned on the infected tissue for 10 min, after the application of the methylene blue photosensitizer. Statistical analysis was performed using SPSS software, version 25.0, using the chi-square test, with a significant level of 5%. The results were expressed as mean ± standard error of the mean (SEM).\nResults: A total of 18 patients were analyzed, totaling 25 lesions, all of whom were diagnosed with type 2 diabetes mellitus. The majority were male (66.7%), with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 sessions of PDT. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. Among the wounds analyzed, 52% were associated with arteriopathy, while 44% did not have arteriopathy. There was no statistically significant association between the presence of arteriopathy and the percentage of lesion reduction (Chi2 = 5.505, p = 0.702). There was no amputation during treatment.\nConclusion: PDT is an efficient measure in the care of diabetic wounds, including those with arteriopathy. Thus, the technique has high healing rates, thus reducing the incidence of invasive procedures that, in addition to overloading the health system, also decreases the quality of life of patients.\n\n\n### (1) Universidade de Uberaba, Uberaba, MG, Brasil\nIntroduction: Photodynamic Therapy (PDT) is positioned as a promising alternative in the treatment of one of the most important complications of diabetes mellitus (DM), which is the appearance of ulcers. PDT has an antimicrobial effect without inducing bacterial resistance, in addition to stimulating healing and reducing costs with hospitalizations and amputations.\nObjective: To evaluate the association between the presence of diabetic wound artery disease and evolution with photodynamic therapy.\nMethods: Lesions classified as grade I or II and stage B or D, according to the Texas classification, were included in the study. All participants were over 18 years of age. At the beginning of the treatment, arterial doppler of the affected limb was performed. Photodynamic therapy (PDT) sessions were performed twice a week. At each visit, the lesions were photographed and measured by planimetry. The therapeutic protocol used a high-power red LED array (Lince, MMoptics, Brazil), with peak emission at 630 nm and intensity between 50 and 150 mW/cm2, positioned on the infected tissue for 10 min, after the application of the methylene blue photosensitizer. Statistical analysis was performed using SPSS software, version 25.0, using the chi-square test, with a significant level of 5%. The results were expressed as mean ± standard error of the mean (SEM).\nResults: A total of 18 patients were analyzed, totaling 25 lesions, all of whom were diagnosed with type 2 diabetes mellitus. The majority were male (66.7%), with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 sessions of PDT. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. Among the wounds analyzed, 52% were associated with arteriopathy, while 44% did not have arteriopathy. There was no statistically significant association between the presence of arteriopathy and the percentage of lesion reduction (Chi2 = 5.505, p = 0.702). There was no amputation during treatment.\nConclusion: PDT is an efficient measure in the care of diabetic wounds, including those with arteriopathy. Thus, the technique has high healing rates, thus reducing the incidence of invasive procedures that, in addition to overloading the health system, also decreases the quality of life of patients.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—039\nIntroduction: Photodynamic Therapy (PDT) is positioned as a promising alternative in the treatment of one of the most important complications of diabetes mellitus (DM), which is the appearance of ulcers. PDT has an antimicrobial effect without inducing bacterial resistance, in addition to stimulating healing and reducing costs with hospitalizations and amputations.\nObjective: To evaluate the association between the presence of diabetic wound artery disease and evolution with photodynamic therapy.\nMethods: Lesions classified as grade I or II and stage B or D, according to the Texas classification, were included in the study. All participants were over 18 years of age. At the beginning of the treatment, arterial doppler of the affected limb was performed. Photodynamic therapy (PDT) sessions were performed twice a week. At each visit, the lesions were photographed and measured by planimetry. The therapeutic protocol used a high-power red LED array (Lince, MMoptics, Brazil), with peak emission at 630 nm and intensity between 50 and 150 mW/cm2, positioned on the infected tissue for 10 min, after the application of the methylene blue photosensitizer. Statistical analysis was performed using SPSS software, version 25.0, using the chi-square test, with a significant level of 5%. The results were expressed as mean ± standard error of the mean (SEM).\nResults: A total of 18 patients were analyzed, totaling 25 lesions, all of whom were diagnosed with type 2 diabetes mellitus. The majority were male (66.7%), with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 sessions of PDT. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. Among the wounds analyzed, 52% were associated with arteriopathy, while 44% did not have arteriopathy. There was no statistically significant association between the presence of arteriopathy and the percentage of lesion reduction (Chi2 = 5.505, p = 0.702). There was no amputation during treatment.\nConclusion: PDT is an efficient measure in the care of diabetic wounds, including those with arteriopathy. Thus, the technique has high healing rates, thus reducing the incidence of invasive procedures that, in addition to overloading the health system, also decreases the quality of life of patients.\n\n\n### PO—040 Exploring The Prevalence Of Eating Disorders And Influencing Factors In Type 1 Diabetes\nIntroduction: The incidence of eating disorders has been increasing and may impact the management of chronic diseases such as Type 1 diabetes, which relies on lifestyle modifications, glycemic monitoring, and insulin therapy.\nObjective: To evaluate the prevalence of eating disorders in Type 1 diabetes and their association with clinical and metabolic control.\nMethods: Patients aged ≥ 12 years completed a clinical–epidemiological questionnaire and had laboratorial exams evaluated. Eating disorders were assessed using the Diabetes Eating Problem Survey-Revised questionnaire. This screening tool consists of 16 items rated on a Likert scale (0–5). The score ranges from 0 to 80, with a score ≥ 20 indicating a high risk of an eating disorder. Statistical analysis was performed using Jamovi 2.6. This study was conducted following the approval of the local ethics committee. All participants provided informed consent prior to their inclusion in the research.\nResults: Forty individuals were evaluated, 24 (60%) female, aged 25 [18.8–34.5] years, diabetes duration of 15 [8–21] years, glycated hemoglobin (HbA1c) of 9.1% [8.1–10.7], daily insulin dose 0.8 ± 0.3 IU/Kg/day, body mass index (BMI) of 24 [21.7–28.5] kg/m2 and family income of 3,500 [2,125–5,800] BRL. 23 (59%) were physically active, 13 (32.5%) had overweight/obesity and 12 (30%) screened positive for eating disorders. Individuals at high risk had significantly higher HbA1c levels (11.0 [10.1–11.7] %) compared to those at low risk (8.3 [7.62–9.28]%); p < 0.001. Additionally, family income was significantly lower in the high-risk group (2450 [1880–4000] BRL) compared to the low-risk group (4500 [3000–6000] BRL); p = 0.017. No significant associations were observed between high risk for eating disorders and other variables, including hypertension, dyslipidemia, peripheral neuropathy and retinopathy, diabetic kidney disease, diabetes duration, overweight/obesity, insulin requirements, socioeconomic status, or self-monitoring of blood glucose.\nConclusion: In our study, we found a 30% prevalence of risk for eating disorders, which is comparable to findings from other studies. Patients at risk exhibited poorer glycemic control and lower family income. These findings highlights the importance of routine screening for eating disorders in Type 1 diabetes, as such conditions may impair metabolic management and treatment adherence and address socioeconomic disparities.\n\n\n### Matsuura, FHC1; Ferreira, IF1; Jardim, JVS1; Gazolla, LG1; Maroun, LRGB1; Mansur, RP1; Paula, GGA1; Graceli, ML1; Vargas, ML1; Cabizuca, CA1; Smith, BG1; Tannus, LRM1; Menezes, NF1; Martins, ISS1; Costa, ASMF1\nIntroduction: The incidence of eating disorders has been increasing and may impact the management of chronic diseases such as Type 1 diabetes, which relies on lifestyle modifications, glycemic monitoring, and insulin therapy.\nObjective: To evaluate the prevalence of eating disorders in Type 1 diabetes and their association with clinical and metabolic control.\nMethods: Patients aged ≥ 12 years completed a clinical–epidemiological questionnaire and had laboratorial exams evaluated. Eating disorders were assessed using the Diabetes Eating Problem Survey-Revised questionnaire. This screening tool consists of 16 items rated on a Likert scale (0–5). The score ranges from 0 to 80, with a score ≥ 20 indicating a high risk of an eating disorder. Statistical analysis was performed using Jamovi 2.6. This study was conducted following the approval of the local ethics committee. All participants provided informed consent prior to their inclusion in the research.\nResults: Forty individuals were evaluated, 24 (60%) female, aged 25 [18.8–34.5] years, diabetes duration of 15 [8–21] years, glycated hemoglobin (HbA1c) of 9.1% [8.1–10.7], daily insulin dose 0.8 ± 0.3 IU/Kg/day, body mass index (BMI) of 24 [21.7–28.5] kg/m2 and family income of 3,500 [2,125–5,800] BRL. 23 (59%) were physically active, 13 (32.5%) had overweight/obesity and 12 (30%) screened positive for eating disorders. Individuals at high risk had significantly higher HbA1c levels (11.0 [10.1–11.7] %) compared to those at low risk (8.3 [7.62–9.28]%); p < 0.001. Additionally, family income was significantly lower in the high-risk group (2450 [1880–4000] BRL) compared to the low-risk group (4500 [3000–6000] BRL); p = 0.017. No significant associations were observed between high risk for eating disorders and other variables, including hypertension, dyslipidemia, peripheral neuropathy and retinopathy, diabetic kidney disease, diabetes duration, overweight/obesity, insulin requirements, socioeconomic status, or self-monitoring of blood glucose.\nConclusion: In our study, we found a 30% prevalence of risk for eating disorders, which is comparable to findings from other studies. Patients at risk exhibited poorer glycemic control and lower family income. These findings highlights the importance of routine screening for eating disorders in Type 1 diabetes, as such conditions may impair metabolic management and treatment adherence and address socioeconomic disparities.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: The incidence of eating disorders has been increasing and may impact the management of chronic diseases such as Type 1 diabetes, which relies on lifestyle modifications, glycemic monitoring, and insulin therapy.\nObjective: To evaluate the prevalence of eating disorders in Type 1 diabetes and their association with clinical and metabolic control.\nMethods: Patients aged ≥ 12 years completed a clinical–epidemiological questionnaire and had laboratorial exams evaluated. Eating disorders were assessed using the Diabetes Eating Problem Survey-Revised questionnaire. This screening tool consists of 16 items rated on a Likert scale (0–5). The score ranges from 0 to 80, with a score ≥ 20 indicating a high risk of an eating disorder. Statistical analysis was performed using Jamovi 2.6. This study was conducted following the approval of the local ethics committee. All participants provided informed consent prior to their inclusion in the research.\nResults: Forty individuals were evaluated, 24 (60%) female, aged 25 [18.8–34.5] years, diabetes duration of 15 [8–21] years, glycated hemoglobin (HbA1c) of 9.1% [8.1–10.7], daily insulin dose 0.8 ± 0.3 IU/Kg/day, body mass index (BMI) of 24 [21.7–28.5] kg/m2 and family income of 3,500 [2,125–5,800] BRL. 23 (59%) were physically active, 13 (32.5%) had overweight/obesity and 12 (30%) screened positive for eating disorders. Individuals at high risk had significantly higher HbA1c levels (11.0 [10.1–11.7] %) compared to those at low risk (8.3 [7.62–9.28]%); p < 0.001. Additionally, family income was significantly lower in the high-risk group (2450 [1880–4000] BRL) compared to the low-risk group (4500 [3000–6000] BRL); p = 0.017. No significant associations were observed between high risk for eating disorders and other variables, including hypertension, dyslipidemia, peripheral neuropathy and retinopathy, diabetic kidney disease, diabetes duration, overweight/obesity, insulin requirements, socioeconomic status, or self-monitoring of blood glucose.\nConclusion: In our study, we found a 30% prevalence of risk for eating disorders, which is comparable to findings from other studies. Patients at risk exhibited poorer glycemic control and lower family income. These findings highlights the importance of routine screening for eating disorders in Type 1 diabetes, as such conditions may impair metabolic management and treatment adherence and address socioeconomic disparities.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—040\nIntroduction: The incidence of eating disorders has been increasing and may impact the management of chronic diseases such as Type 1 diabetes, which relies on lifestyle modifications, glycemic monitoring, and insulin therapy.\nObjective: To evaluate the prevalence of eating disorders in Type 1 diabetes and their association with clinical and metabolic control.\nMethods: Patients aged ≥ 12 years completed a clinical–epidemiological questionnaire and had laboratorial exams evaluated. Eating disorders were assessed using the Diabetes Eating Problem Survey-Revised questionnaire. This screening tool consists of 16 items rated on a Likert scale (0–5). The score ranges from 0 to 80, with a score ≥ 20 indicating a high risk of an eating disorder. Statistical analysis was performed using Jamovi 2.6. This study was conducted following the approval of the local ethics committee. All participants provided informed consent prior to their inclusion in the research.\nResults: Forty individuals were evaluated, 24 (60%) female, aged 25 [18.8–34.5] years, diabetes duration of 15 [8–21] years, glycated hemoglobin (HbA1c) of 9.1% [8.1–10.7], daily insulin dose 0.8 ± 0.3 IU/Kg/day, body mass index (BMI) of 24 [21.7–28.5] kg/m2 and family income of 3,500 [2,125–5,800] BRL. 23 (59%) were physically active, 13 (32.5%) had overweight/obesity and 12 (30%) screened positive for eating disorders. Individuals at high risk had significantly higher HbA1c levels (11.0 [10.1–11.7] %) compared to those at low risk (8.3 [7.62–9.28]%); p < 0.001. Additionally, family income was significantly lower in the high-risk group (2450 [1880–4000] BRL) compared to the low-risk group (4500 [3000–6000] BRL); p = 0.017. No significant associations were observed between high risk for eating disorders and other variables, including hypertension, dyslipidemia, peripheral neuropathy and retinopathy, diabetic kidney disease, diabetes duration, overweight/obesity, insulin requirements, socioeconomic status, or self-monitoring of blood glucose.\nConclusion: In our study, we found a 30% prevalence of risk for eating disorders, which is comparable to findings from other studies. Patients at risk exhibited poorer glycemic control and lower family income. These findings highlights the importance of routine screening for eating disorders in Type 1 diabetes, as such conditions may impair metabolic management and treatment adherence and address socioeconomic disparities.\n\n\n### PO—041 Factors Associated With At‑risk Foot In Older Adults With Type 2 Diabetes In The Extreme South Of Bahia State\nIntroduction: Diabetes affects 589 million adults worldwide and 16.62 million in Brazil in 2024. In developing countries, up to 25% of patients present foot ulcers, usually resulting from neuropathy and peripheral arterial disease. The term “at-risk foot” refers to the presence of factors that increase the likelihood of foot lesions, such as neuropathy, deformities, poor circulation, or a history of ulcers. This assessment guides preventive measures and reduces complications.\nObjective: To identify factors associated with at-risk foot in older adults with type 2 diabetes.\nMethods: This was a cross-sectional analytical study including 155 older adults with type 2 diabetes, enrolled in primary health care in Itamaraju, Bahia, Brazil. Participants were assessed through structured interviews and foot clinical examination, based on the protocol of the Foot Care Interest Group Task Force of the American Diabetes Association. Associations between exposure variables (sociodemographic, clinical, and lifestyle) and the outcome “at-risk foot” were analyzed. The Mann–Whitney test was used for numerical variables, Fisher’s exact test for dichotomous categorical variables, and Pearson’s chi-square test for polytomous variables. All analyses were conducted using RStudio software. Approved by the Research Ethics Committee (CAAE: 79,286,624.4.0000.8467).\nResults: The prevalence of at-risk foot was 8.67%. Older adults with at-risk foot had significantly higher age (median = 72 years; IQR = 11.0) compared to those without (median = 66 years; IQR = 8.0; p < 0.001). Body mass index (BMI) was lower in those with at-risk foot (median = 26.6; IQR = 6.57) compared to those without (median = 28.8; IQR = 6.34; p < 0.05). Living alone was more common among those with the condition (13.5%) than among those without (3.9%), while most older adults without at-risk foot lived with others (43.9%) (p < 0.05), suggesting a possible association between living alone and increased vulnerability. Additionally, 6.2% of older adults with at-risk foot had been using the same oral hypoglycemic agent for 1 to 5 months, while no cases were observed in the comparison group.\nConclusion: The analysis underscores the importance of a comprehensive approach to the care of older adults with type 2 diabetes, one that addresses not only clinical factors but also social determinants such as isolation. Investing in preventive strategies and early surveillance may contribute to reducing the risk of foot-related complications and fostering more equitable and effective care.\n\n\n### Pires, VLR1; Mourão, DM1; Passinho, RS1\nIntroduction: Diabetes affects 589 million adults worldwide and 16.62 million in Brazil in 2024. In developing countries, up to 25% of patients present foot ulcers, usually resulting from neuropathy and peripheral arterial disease. The term “at-risk foot” refers to the presence of factors that increase the likelihood of foot lesions, such as neuropathy, deformities, poor circulation, or a history of ulcers. This assessment guides preventive measures and reduces complications.\nObjective: To identify factors associated with at-risk foot in older adults with type 2 diabetes.\nMethods: This was a cross-sectional analytical study including 155 older adults with type 2 diabetes, enrolled in primary health care in Itamaraju, Bahia, Brazil. Participants were assessed through structured interviews and foot clinical examination, based on the protocol of the Foot Care Interest Group Task Force of the American Diabetes Association. Associations between exposure variables (sociodemographic, clinical, and lifestyle) and the outcome “at-risk foot” were analyzed. The Mann–Whitney test was used for numerical variables, Fisher’s exact test for dichotomous categorical variables, and Pearson’s chi-square test for polytomous variables. All analyses were conducted using RStudio software. Approved by the Research Ethics Committee (CAAE: 79,286,624.4.0000.8467).\nResults: The prevalence of at-risk foot was 8.67%. Older adults with at-risk foot had significantly higher age (median = 72 years; IQR = 11.0) compared to those without (median = 66 years; IQR = 8.0; p < 0.001). Body mass index (BMI) was lower in those with at-risk foot (median = 26.6; IQR = 6.57) compared to those without (median = 28.8; IQR = 6.34; p < 0.05). Living alone was more common among those with the condition (13.5%) than among those without (3.9%), while most older adults without at-risk foot lived with others (43.9%) (p < 0.05), suggesting a possible association between living alone and increased vulnerability. Additionally, 6.2% of older adults with at-risk foot had been using the same oral hypoglycemic agent for 1 to 5 months, while no cases were observed in the comparison group.\nConclusion: The analysis underscores the importance of a comprehensive approach to the care of older adults with type 2 diabetes, one that addresses not only clinical factors but also social determinants such as isolation. Investing in preventive strategies and early surveillance may contribute to reducing the risk of foot-related complications and fostering more equitable and effective care.\n\n\n### (1) Universidade Federal Do Sul Da Bahia, Teixeira De Freitas, Ba, Brasil\nIntroduction: Diabetes affects 589 million adults worldwide and 16.62 million in Brazil in 2024. In developing countries, up to 25% of patients present foot ulcers, usually resulting from neuropathy and peripheral arterial disease. The term “at-risk foot” refers to the presence of factors that increase the likelihood of foot lesions, such as neuropathy, deformities, poor circulation, or a history of ulcers. This assessment guides preventive measures and reduces complications.\nObjective: To identify factors associated with at-risk foot in older adults with type 2 diabetes.\nMethods: This was a cross-sectional analytical study including 155 older adults with type 2 diabetes, enrolled in primary health care in Itamaraju, Bahia, Brazil. Participants were assessed through structured interviews and foot clinical examination, based on the protocol of the Foot Care Interest Group Task Force of the American Diabetes Association. Associations between exposure variables (sociodemographic, clinical, and lifestyle) and the outcome “at-risk foot” were analyzed. The Mann–Whitney test was used for numerical variables, Fisher’s exact test for dichotomous categorical variables, and Pearson’s chi-square test for polytomous variables. All analyses were conducted using RStudio software. Approved by the Research Ethics Committee (CAAE: 79,286,624.4.0000.8467).\nResults: The prevalence of at-risk foot was 8.67%. Older adults with at-risk foot had significantly higher age (median = 72 years; IQR = 11.0) compared to those without (median = 66 years; IQR = 8.0; p < 0.001). Body mass index (BMI) was lower in those with at-risk foot (median = 26.6; IQR = 6.57) compared to those without (median = 28.8; IQR = 6.34; p < 0.05). Living alone was more common among those with the condition (13.5%) than among those without (3.9%), while most older adults without at-risk foot lived with others (43.9%) (p < 0.05), suggesting a possible association between living alone and increased vulnerability. Additionally, 6.2% of older adults with at-risk foot had been using the same oral hypoglycemic agent for 1 to 5 months, while no cases were observed in the comparison group.\nConclusion: The analysis underscores the importance of a comprehensive approach to the care of older adults with type 2 diabetes, one that addresses not only clinical factors but also social determinants such as isolation. Investing in preventive strategies and early surveillance may contribute to reducing the risk of foot-related complications and fostering more equitable and effective care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—041\nIntroduction: Diabetes affects 589 million adults worldwide and 16.62 million in Brazil in 2024. In developing countries, up to 25% of patients present foot ulcers, usually resulting from neuropathy and peripheral arterial disease. The term “at-risk foot” refers to the presence of factors that increase the likelihood of foot lesions, such as neuropathy, deformities, poor circulation, or a history of ulcers. This assessment guides preventive measures and reduces complications.\nObjective: To identify factors associated with at-risk foot in older adults with type 2 diabetes.\nMethods: This was a cross-sectional analytical study including 155 older adults with type 2 diabetes, enrolled in primary health care in Itamaraju, Bahia, Brazil. Participants were assessed through structured interviews and foot clinical examination, based on the protocol of the Foot Care Interest Group Task Force of the American Diabetes Association. Associations between exposure variables (sociodemographic, clinical, and lifestyle) and the outcome “at-risk foot” were analyzed. The Mann–Whitney test was used for numerical variables, Fisher’s exact test for dichotomous categorical variables, and Pearson’s chi-square test for polytomous variables. All analyses were conducted using RStudio software. Approved by the Research Ethics Committee (CAAE: 79,286,624.4.0000.8467).\nResults: The prevalence of at-risk foot was 8.67%. Older adults with at-risk foot had significantly higher age (median = 72 years; IQR = 11.0) compared to those without (median = 66 years; IQR = 8.0; p < 0.001). Body mass index (BMI) was lower in those with at-risk foot (median = 26.6; IQR = 6.57) compared to those without (median = 28.8; IQR = 6.34; p < 0.05). Living alone was more common among those with the condition (13.5%) than among those without (3.9%), while most older adults without at-risk foot lived with others (43.9%) (p < 0.05), suggesting a possible association between living alone and increased vulnerability. Additionally, 6.2% of older adults with at-risk foot had been using the same oral hypoglycemic agent for 1 to 5 months, while no cases were observed in the comparison group.\nConclusion: The analysis underscores the importance of a comprehensive approach to the care of older adults with type 2 diabetes, one that addresses not only clinical factors but also social determinants such as isolation. Investing in preventive strategies and early surveillance may contribute to reducing the risk of foot-related complications and fostering more equitable and effective care.\n\n\n### PO—042 Factors Associated With Peripheral Neuropathy In Patients With Type 2 Diabetes Mellitus\nIntroduction: Peripheral diabetic neuropathy (PDN) is the most common microvascular complication of type 2 diabetes mellitus (T2DM). In Brazil’s Midwest region, there is a scarcity of studies evaluating its prevalence and associated factors in secondary-level healthcare services.\nObjective: This study aimed to assess the prevalence and associated factors of PDN in patients with T2DM treated at a reference center in a municipality of the Midwest region of Brazil.\nMethods: A cross-sectional study was conducted with 276 T2DM patients from August 2021 to December 2023. PDN diagnosis was based on the Neuropathy Disability Score, complemented by the Neuropathy Symptom Score, Visual Analog Pain Scale, and Protective Plantar Sensitivity Test. Sociodemographic and lifestyle data were obtained through interviews, and clinical and laboratory information was extracted from medical records.\nResults: Among participants, 178 were diagnosed with PDN, yielding a prevalence of 64.5% (95% CI, 58.9–70.1%). Most were female (59.0%), aged > 67 years (37.7%), and had a prolonged duration of diabetes (> 10 years in 52.3%). Poor glycemic control and sedentary lifestyle were observed in 78.9% and 85.4% of patients, respectively. In ultivariate analysis, male sex [Prevalence Ratio (PR) 1.32; 95% CI, 1.12–1.56], retirement/inactivity (PR 1.43; 95% CI, 1.11–1.85), diabetes duration > 10 years (PR 1.22; 95% CI, 1.03–1.44), sedentary lifestyle (PR 1.34; 95% CI, 1.02–1.76), peripheral arterial occlusive disease (PAOD) (PR 1.25; 95% CI, 1.08–1.46), and prior myocardial infarction (MI) (PR 1.21; 95% CI, 1.01–1.45) were associated with higher PDN prevalence.\nConclusion: The high prevalence of PDN suggests greater attention should be given to male and elderly individuals with long-standing diabetes and cardiovascular disease history. Interventions should focus on lifestyle modification, particularly increasing physical activity, and controlling cardiovascular risk factors.\n\n\n### Maciel, JPS1; Arruda, PV1; Costa, GS1; Soares, ME1; Mello, LCQ1; Viola, LFC1; Marques, JNC1; Santi, A1\nIntroduction: Peripheral diabetic neuropathy (PDN) is the most common microvascular complication of type 2 diabetes mellitus (T2DM). In Brazil’s Midwest region, there is a scarcity of studies evaluating its prevalence and associated factors in secondary-level healthcare services.\nObjective: This study aimed to assess the prevalence and associated factors of PDN in patients with T2DM treated at a reference center in a municipality of the Midwest region of Brazil.\nMethods: A cross-sectional study was conducted with 276 T2DM patients from August 2021 to December 2023. PDN diagnosis was based on the Neuropathy Disability Score, complemented by the Neuropathy Symptom Score, Visual Analog Pain Scale, and Protective Plantar Sensitivity Test. Sociodemographic and lifestyle data were obtained through interviews, and clinical and laboratory information was extracted from medical records.\nResults: Among participants, 178 were diagnosed with PDN, yielding a prevalence of 64.5% (95% CI, 58.9–70.1%). Most were female (59.0%), aged > 67 years (37.7%), and had a prolonged duration of diabetes (> 10 years in 52.3%). Poor glycemic control and sedentary lifestyle were observed in 78.9% and 85.4% of patients, respectively. In ultivariate analysis, male sex [Prevalence Ratio (PR) 1.32; 95% CI, 1.12–1.56], retirement/inactivity (PR 1.43; 95% CI, 1.11–1.85), diabetes duration > 10 years (PR 1.22; 95% CI, 1.03–1.44), sedentary lifestyle (PR 1.34; 95% CI, 1.02–1.76), peripheral arterial occlusive disease (PAOD) (PR 1.25; 95% CI, 1.08–1.46), and prior myocardial infarction (MI) (PR 1.21; 95% CI, 1.01–1.45) were associated with higher PDN prevalence.\nConclusion: The high prevalence of PDN suggests greater attention should be given to male and elderly individuals with long-standing diabetes and cardiovascular disease history. Interventions should focus on lifestyle modification, particularly increasing physical activity, and controlling cardiovascular risk factors.\n\n\n### (1) Universidade Federal de Rondonópolis, Rondonópolis, MT, Brasil\nIntroduction: Peripheral diabetic neuropathy (PDN) is the most common microvascular complication of type 2 diabetes mellitus (T2DM). In Brazil’s Midwest region, there is a scarcity of studies evaluating its prevalence and associated factors in secondary-level healthcare services.\nObjective: This study aimed to assess the prevalence and associated factors of PDN in patients with T2DM treated at a reference center in a municipality of the Midwest region of Brazil.\nMethods: A cross-sectional study was conducted with 276 T2DM patients from August 2021 to December 2023. PDN diagnosis was based on the Neuropathy Disability Score, complemented by the Neuropathy Symptom Score, Visual Analog Pain Scale, and Protective Plantar Sensitivity Test. Sociodemographic and lifestyle data were obtained through interviews, and clinical and laboratory information was extracted from medical records.\nResults: Among participants, 178 were diagnosed with PDN, yielding a prevalence of 64.5% (95% CI, 58.9–70.1%). Most were female (59.0%), aged > 67 years (37.7%), and had a prolonged duration of diabetes (> 10 years in 52.3%). Poor glycemic control and sedentary lifestyle were observed in 78.9% and 85.4% of patients, respectively. In ultivariate analysis, male sex [Prevalence Ratio (PR) 1.32; 95% CI, 1.12–1.56], retirement/inactivity (PR 1.43; 95% CI, 1.11–1.85), diabetes duration > 10 years (PR 1.22; 95% CI, 1.03–1.44), sedentary lifestyle (PR 1.34; 95% CI, 1.02–1.76), peripheral arterial occlusive disease (PAOD) (PR 1.25; 95% CI, 1.08–1.46), and prior myocardial infarction (MI) (PR 1.21; 95% CI, 1.01–1.45) were associated with higher PDN prevalence.\nConclusion: The high prevalence of PDN suggests greater attention should be given to male and elderly individuals with long-standing diabetes and cardiovascular disease history. Interventions should focus on lifestyle modification, particularly increasing physical activity, and controlling cardiovascular risk factors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—042\nIntroduction: Peripheral diabetic neuropathy (PDN) is the most common microvascular complication of type 2 diabetes mellitus (T2DM). In Brazil’s Midwest region, there is a scarcity of studies evaluating its prevalence and associated factors in secondary-level healthcare services.\nObjective: This study aimed to assess the prevalence and associated factors of PDN in patients with T2DM treated at a reference center in a municipality of the Midwest region of Brazil.\nMethods: A cross-sectional study was conducted with 276 T2DM patients from August 2021 to December 2023. PDN diagnosis was based on the Neuropathy Disability Score, complemented by the Neuropathy Symptom Score, Visual Analog Pain Scale, and Protective Plantar Sensitivity Test. Sociodemographic and lifestyle data were obtained through interviews, and clinical and laboratory information was extracted from medical records.\nResults: Among participants, 178 were diagnosed with PDN, yielding a prevalence of 64.5% (95% CI, 58.9–70.1%). Most were female (59.0%), aged > 67 years (37.7%), and had a prolonged duration of diabetes (> 10 years in 52.3%). Poor glycemic control and sedentary lifestyle were observed in 78.9% and 85.4% of patients, respectively. In ultivariate analysis, male sex [Prevalence Ratio (PR) 1.32; 95% CI, 1.12–1.56], retirement/inactivity (PR 1.43; 95% CI, 1.11–1.85), diabetes duration > 10 years (PR 1.22; 95% CI, 1.03–1.44), sedentary lifestyle (PR 1.34; 95% CI, 1.02–1.76), peripheral arterial occlusive disease (PAOD) (PR 1.25; 95% CI, 1.08–1.46), and prior myocardial infarction (MI) (PR 1.21; 95% CI, 1.01–1.45) were associated with higher PDN prevalence.\nConclusion: The high prevalence of PDN suggests greater attention should be given to male and elderly individuals with long-standing diabetes and cardiovascular disease history. Interventions should focus on lifestyle modification, particularly increasing physical activity, and controlling cardiovascular risk factors.\n\n\n### PO—043 Hospitalizations For Advanced Diabetic Foot Disease: Case Volume And Total Costs In Brazil\nIntroduction: Diabetic foot is a multifactorial complication of diabetes mellitus, resulting from the combined effects of peripheral neuropathy and peripheral arterial disease. This combination ultimately leads to chronic ulcerations and an increased risk of amputations. Peripheral vascular insufficiency reduces tissue perfusion, impairs wound healing, and favors bacterial colonization. These alterations contribute to a challenging clinical scenario that requires early diagnosis to prevent surgical outcomes.\nObjective: To evaluate the trends in the number of hospitalizations, regional distribution across Brazil, and the total cost of treating diabetic foot complications to the public health system.\nMethods: This is an ecological study analyzing hospitalizations due to diabetic foot complications in Brazil from January 2014 to December 2024, as well as their associated total cost. Data were collected from the Hospital Information System available on the website of the Department of Informatics of the Brazilian Unified Health System. The selected variables included: treatment for progressed diabetic foot, hospital admission authorization, region, year of care and total cost.\nResults: During the analyzed period, 240,630 hospitalizations for diabetic foot complications were recorded, with a total expenditure of BRL 145,019,182.64. A consistent upward trend in hospitalizations was observed, with a 94.69% increase from 2014 to 2024. The only year showing a decrease was from 2019 to 2020, with a 5.86% drop; however, this did not lead to a reduction in treatment costs. The region with the highest number of cases was the Northeast (39.31%), followed by the Southeast (32.08%), North (14.19%), South (8.21%), and Center-West (6.18%).\nConclusion: The highest concentration of hospitalizations occurred in the Northeast, possibly due to socioeconomic factors and disparities in healthcare access. The 2020 decline may relate to bed prioritization for severe COVID-19 cases. The economic impact was significant, with a cumulative cost exceeding BRL 145 million to the Brazilian Unified Health System. The rising hospitalizations due to diabetic foot highlight not only the high prevalence of diabetes in Brazil but also gaps in prevention, lesion screening, and effective glycemic control in primary care.\n\n\n### Khouri, MFME1; Filho, ARN2; Silva, MAT1\nIntroduction: Diabetic foot is a multifactorial complication of diabetes mellitus, resulting from the combined effects of peripheral neuropathy and peripheral arterial disease. This combination ultimately leads to chronic ulcerations and an increased risk of amputations. Peripheral vascular insufficiency reduces tissue perfusion, impairs wound healing, and favors bacterial colonization. These alterations contribute to a challenging clinical scenario that requires early diagnosis to prevent surgical outcomes.\nObjective: To evaluate the trends in the number of hospitalizations, regional distribution across Brazil, and the total cost of treating diabetic foot complications to the public health system.\nMethods: This is an ecological study analyzing hospitalizations due to diabetic foot complications in Brazil from January 2014 to December 2024, as well as their associated total cost. Data were collected from the Hospital Information System available on the website of the Department of Informatics of the Brazilian Unified Health System. The selected variables included: treatment for progressed diabetic foot, hospital admission authorization, region, year of care and total cost.\nResults: During the analyzed period, 240,630 hospitalizations for diabetic foot complications were recorded, with a total expenditure of BRL 145,019,182.64. A consistent upward trend in hospitalizations was observed, with a 94.69% increase from 2014 to 2024. The only year showing a decrease was from 2019 to 2020, with a 5.86% drop; however, this did not lead to a reduction in treatment costs. The region with the highest number of cases was the Northeast (39.31%), followed by the Southeast (32.08%), North (14.19%), South (8.21%), and Center-West (6.18%).\nConclusion: The highest concentration of hospitalizations occurred in the Northeast, possibly due to socioeconomic factors and disparities in healthcare access. The 2020 decline may relate to bed prioritization for severe COVID-19 cases. The economic impact was significant, with a cumulative cost exceeding BRL 145 million to the Brazilian Unified Health System. The rising hospitalizations due to diabetic foot highlight not only the high prevalence of diabetes in Brazil but also gaps in prevention, lesion screening, and effective glycemic control in primary care.\n\n\n### (1) Universidade Unigranrio Afya, Rio de Janeiro, RJ, Brasil; (2) Faculdade de Ciências Médicas da Universidade Souza Marques, Rio de Janeiro, RJ, Brasil\nIntroduction: Diabetic foot is a multifactorial complication of diabetes mellitus, resulting from the combined effects of peripheral neuropathy and peripheral arterial disease. This combination ultimately leads to chronic ulcerations and an increased risk of amputations. Peripheral vascular insufficiency reduces tissue perfusion, impairs wound healing, and favors bacterial colonization. These alterations contribute to a challenging clinical scenario that requires early diagnosis to prevent surgical outcomes.\nObjective: To evaluate the trends in the number of hospitalizations, regional distribution across Brazil, and the total cost of treating diabetic foot complications to the public health system.\nMethods: This is an ecological study analyzing hospitalizations due to diabetic foot complications in Brazil from January 2014 to December 2024, as well as their associated total cost. Data were collected from the Hospital Information System available on the website of the Department of Informatics of the Brazilian Unified Health System. The selected variables included: treatment for progressed diabetic foot, hospital admission authorization, region, year of care and total cost.\nResults: During the analyzed period, 240,630 hospitalizations for diabetic foot complications were recorded, with a total expenditure of BRL 145,019,182.64. A consistent upward trend in hospitalizations was observed, with a 94.69% increase from 2014 to 2024. The only year showing a decrease was from 2019 to 2020, with a 5.86% drop; however, this did not lead to a reduction in treatment costs. The region with the highest number of cases was the Northeast (39.31%), followed by the Southeast (32.08%), North (14.19%), South (8.21%), and Center-West (6.18%).\nConclusion: The highest concentration of hospitalizations occurred in the Northeast, possibly due to socioeconomic factors and disparities in healthcare access. The 2020 decline may relate to bed prioritization for severe COVID-19 cases. The economic impact was significant, with a cumulative cost exceeding BRL 145 million to the Brazilian Unified Health System. The rising hospitalizations due to diabetic foot highlight not only the high prevalence of diabetes in Brazil but also gaps in prevention, lesion screening, and effective glycemic control in primary care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—043\nIntroduction: Diabetic foot is a multifactorial complication of diabetes mellitus, resulting from the combined effects of peripheral neuropathy and peripheral arterial disease. This combination ultimately leads to chronic ulcerations and an increased risk of amputations. Peripheral vascular insufficiency reduces tissue perfusion, impairs wound healing, and favors bacterial colonization. These alterations contribute to a challenging clinical scenario that requires early diagnosis to prevent surgical outcomes.\nObjective: To evaluate the trends in the number of hospitalizations, regional distribution across Brazil, and the total cost of treating diabetic foot complications to the public health system.\nMethods: This is an ecological study analyzing hospitalizations due to diabetic foot complications in Brazil from January 2014 to December 2024, as well as their associated total cost. Data were collected from the Hospital Information System available on the website of the Department of Informatics of the Brazilian Unified Health System. The selected variables included: treatment for progressed diabetic foot, hospital admission authorization, region, year of care and total cost.\nResults: During the analyzed period, 240,630 hospitalizations for diabetic foot complications were recorded, with a total expenditure of BRL 145,019,182.64. A consistent upward trend in hospitalizations was observed, with a 94.69% increase from 2014 to 2024. The only year showing a decrease was from 2019 to 2020, with a 5.86% drop; however, this did not lead to a reduction in treatment costs. The region with the highest number of cases was the Northeast (39.31%), followed by the Southeast (32.08%), North (14.19%), South (8.21%), and Center-West (6.18%).\nConclusion: The highest concentration of hospitalizations occurred in the Northeast, possibly due to socioeconomic factors and disparities in healthcare access. The 2020 decline may relate to bed prioritization for severe COVID-19 cases. The economic impact was significant, with a cumulative cost exceeding BRL 145 million to the Brazilian Unified Health System. The rising hospitalizations due to diabetic foot highlight not only the high prevalence of diabetes in Brazil but also gaps in prevention, lesion screening, and effective glycemic control in primary care.\n\n\n### PO—045 Impact Of Diabetes And Diabetic Retinopathy On Quality Of Life: A Study From An Urban Center In Brazil\nIntroduction: Diabetic retinopathy (DR) is one of the main microvascular complications of diabetes mellitus and a leading cause of preventable visual impairment in adults. Its consequences extend beyond vision, contributing to absenteeism, functional limitations, and reduced quality of life.\nObjective: This study aimed to evaluate the association between the presence and severity of DR and quality of life in individuals with type 1 or type 2 diabetes mellitus, while also considering clinical and social variables.\nMethods: A cross-sectional analysis was conducted with 600 adults in Campo Grande, Brazil, recruited from primary care units (n = 301) and a tertiary hospital (n = 299). DR was graded using retinal images captured with handheld cameras or through in-person ophthalmologic evaluations. Quality of life was assessed using the EuroQol-5D-3L and EQ-VAS instruments. Additional data included sociodemographic factors, comorbidities, and productivity loss.\nResults: Patients with proliferative DR and/or diabetic macular edema presented significantly worse scores in the dimensions of mobility (p = 0.001), self-care (p = 0.017), and usual activities (p < 0.0001). They also reported higher rates of medical leave, unemployment, and early retirement due to visual problems (p < 0.0001). Severity of DR was not associated with lower EQ-5D-3L index scores, and overall quality of life did not differ significantly between healthcare levels. In multivariate analysis, the comorbidities most strongly associated with reduced quality of life were hypertension (p = 0.034), stroke (p = 0.042), chronic kidney disease (p < 0.0001), and particularly depression/anxiety (p < 0.0001).\nConclusion: These findings highlight the need for early screening and integrated care focused on frequent comorbidities in diabetes. The lack of association between DR severity and quality of life may reflect sensitivity limitations of the EuroQol instrument in capturing the full burden of visual disease. Moreover, healthcare access may act as a confounding factor, potentially leveling health-related quality of life perception between patients with mild and advanced disease. Response bias related to questionnaire administration in healthcare settings may influence how patients report their health status and thus should be also considered in the interpretation of results. Further research is needed to better capture the burden of DR.\n\n\n### Barbieri, VOA1; Barbieri, GA2; Araujo, PHB3; Regatieri, CVS4; Malerbi, FK5; Bahia, LR6\nIntroduction: Diabetic retinopathy (DR) is one of the main microvascular complications of diabetes mellitus and a leading cause of preventable visual impairment in adults. Its consequences extend beyond vision, contributing to absenteeism, functional limitations, and reduced quality of life.\nObjective: This study aimed to evaluate the association between the presence and severity of DR and quality of life in individuals with type 1 or type 2 diabetes mellitus, while also considering clinical and social variables.\nMethods: A cross-sectional analysis was conducted with 600 adults in Campo Grande, Brazil, recruited from primary care units (n = 301) and a tertiary hospital (n = 299). DR was graded using retinal images captured with handheld cameras or through in-person ophthalmologic evaluations. Quality of life was assessed using the EuroQol-5D-3L and EQ-VAS instruments. Additional data included sociodemographic factors, comorbidities, and productivity loss.\nResults: Patients with proliferative DR and/or diabetic macular edema presented significantly worse scores in the dimensions of mobility (p = 0.001), self-care (p = 0.017), and usual activities (p < 0.0001). They also reported higher rates of medical leave, unemployment, and early retirement due to visual problems (p < 0.0001). Severity of DR was not associated with lower EQ-5D-3L index scores, and overall quality of life did not differ significantly between healthcare levels. In multivariate analysis, the comorbidities most strongly associated with reduced quality of life were hypertension (p = 0.034), stroke (p = 0.042), chronic kidney disease (p < 0.0001), and particularly depression/anxiety (p < 0.0001).\nConclusion: These findings highlight the need for early screening and integrated care focused on frequent comorbidities in diabetes. The lack of association between DR severity and quality of life may reflect sensitivity limitations of the EuroQol instrument in capturing the full burden of visual disease. Moreover, healthcare access may act as a confounding factor, potentially leveling health-related quality of life perception between patients with mild and advanced disease. Response bias related to questionnaire administration in healthcare settings may influence how patients report their health status and thus should be also considered in the interpretation of results. Further research is needed to better capture the burden of DR.\n\n\n### (1) Hospital São Julião, Campo Grande, MS, Brasil; (2) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Universidade Unigranrio, Rio de Janeiro, RJ, Brasil; (4) Universidade Federal de são Paulo, São Paulo, SP, Brasil; (5) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (6) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Diabetic retinopathy (DR) is one of the main microvascular complications of diabetes mellitus and a leading cause of preventable visual impairment in adults. Its consequences extend beyond vision, contributing to absenteeism, functional limitations, and reduced quality of life.\nObjective: This study aimed to evaluate the association between the presence and severity of DR and quality of life in individuals with type 1 or type 2 diabetes mellitus, while also considering clinical and social variables.\nMethods: A cross-sectional analysis was conducted with 600 adults in Campo Grande, Brazil, recruited from primary care units (n = 301) and a tertiary hospital (n = 299). DR was graded using retinal images captured with handheld cameras or through in-person ophthalmologic evaluations. Quality of life was assessed using the EuroQol-5D-3L and EQ-VAS instruments. Additional data included sociodemographic factors, comorbidities, and productivity loss.\nResults: Patients with proliferative DR and/or diabetic macular edema presented significantly worse scores in the dimensions of mobility (p = 0.001), self-care (p = 0.017), and usual activities (p < 0.0001). They also reported higher rates of medical leave, unemployment, and early retirement due to visual problems (p < 0.0001). Severity of DR was not associated with lower EQ-5D-3L index scores, and overall quality of life did not differ significantly between healthcare levels. In multivariate analysis, the comorbidities most strongly associated with reduced quality of life were hypertension (p = 0.034), stroke (p = 0.042), chronic kidney disease (p < 0.0001), and particularly depression/anxiety (p < 0.0001).\nConclusion: These findings highlight the need for early screening and integrated care focused on frequent comorbidities in diabetes. The lack of association between DR severity and quality of life may reflect sensitivity limitations of the EuroQol instrument in capturing the full burden of visual disease. Moreover, healthcare access may act as a confounding factor, potentially leveling health-related quality of life perception between patients with mild and advanced disease. Response bias related to questionnaire administration in healthcare settings may influence how patients report their health status and thus should be also considered in the interpretation of results. Further research is needed to better capture the burden of DR.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—045\nIntroduction: Diabetic retinopathy (DR) is one of the main microvascular complications of diabetes mellitus and a leading cause of preventable visual impairment in adults. Its consequences extend beyond vision, contributing to absenteeism, functional limitations, and reduced quality of life.\nObjective: This study aimed to evaluate the association between the presence and severity of DR and quality of life in individuals with type 1 or type 2 diabetes mellitus, while also considering clinical and social variables.\nMethods: A cross-sectional analysis was conducted with 600 adults in Campo Grande, Brazil, recruited from primary care units (n = 301) and a tertiary hospital (n = 299). DR was graded using retinal images captured with handheld cameras or through in-person ophthalmologic evaluations. Quality of life was assessed using the EuroQol-5D-3L and EQ-VAS instruments. Additional data included sociodemographic factors, comorbidities, and productivity loss.\nResults: Patients with proliferative DR and/or diabetic macular edema presented significantly worse scores in the dimensions of mobility (p = 0.001), self-care (p = 0.017), and usual activities (p < 0.0001). They also reported higher rates of medical leave, unemployment, and early retirement due to visual problems (p < 0.0001). Severity of DR was not associated with lower EQ-5D-3L index scores, and overall quality of life did not differ significantly between healthcare levels. In multivariate analysis, the comorbidities most strongly associated with reduced quality of life were hypertension (p = 0.034), stroke (p = 0.042), chronic kidney disease (p < 0.0001), and particularly depression/anxiety (p < 0.0001).\nConclusion: These findings highlight the need for early screening and integrated care focused on frequent comorbidities in diabetes. The lack of association between DR severity and quality of life may reflect sensitivity limitations of the EuroQol instrument in capturing the full burden of visual disease. Moreover, healthcare access may act as a confounding factor, potentially leveling health-related quality of life perception between patients with mild and advanced disease. Response bias related to questionnaire administration in healthcare settings may influence how patients report their health status and thus should be also considered in the interpretation of results. Further research is needed to better capture the burden of DR.\n\n\n### PO—046 Impact Of Waist-to-height Ratio On Microvascular Outcomes In Patients With Type 1 Diabetes Mellitus After 10 Years Of Follow-up\nIntroduction: Type 1 Diabetes Mellitus (T1DM) confers substantial risk for macro and microvascular complications such as retinopathy, nephropathy, and neuropathy, requiring accessible and efficient screening methods. Waist-to-Height Ratio (WHtR) has emerged as a predictor of progression of these outcomes in T1DM. Being a low-cost, easy-to-apply anthropometric measure, and potentially superior to BMI, validating WHtR may optimize risk stratification in these patients.\nObjective: To evaluate whether WHtR can predict progression of microvascular outcomes in T1DM.\nMethods: A retrospective cohort was conducted analyzing electronic medical records of patients diagnosed with T1DM for > 5 years, aged > 18, followed in a specialized tertiary outpatient clinic. Patients were divided by WHtR using the 0.5 cutoff, and from these groups microvascular complications and clinical-laboratory parameters were assessed at diagnosis and after 10 years. Student’s t-test was applied for numerical variables and Chi-square test for categorical ones. Statistical significance was set at p < 0.05.\nResults: A total of 378 individuals with T1DM were included: 147 had WHtR ≤ 0.5 and 231 had WHtR > 0.5 [baseline mean age 26.2 ± 8.8 vs 29.2 ± 10.1y (p = 0.1); DM duration 22.3 ± 7.8 vs 25.3 ± 8.5y (p = 0.23)]. Baseline BMI was 21.6 ± 2.1 in WHtR ≤ 0.5 and 25.5 ± 3.6 in WHtR > 0.5 (p < 0.01). Those with WHtR > 0.5 had more dyslipidemia (p = 0.004), double diabetes (p < 0.001), hypertension (p < 0.001), greater use of oral antidiabetics (p < 0.001) and statins (p = 0.003). The WHtR ≤ 0.5 group showed lower TG/HDL ratio at baseline (p = 0.022), which persisted at 10 years (p = 0.042). Regarding complications, WHtR > 0.5 was associated with higher peripheral neuropathy rates after 10 years (p = 0.045), greater neuropathy progression (p = 0.012), and more diabetic kidney disease (p = 0.04). No difference was found in retinopathy.\nConclusion: In this 10-year retrospective cohort, WHtR > 0.5 was associated with worse microvascular complications such as peripheral neuropathy, nephropathy, and progression of neuropathy. In our tertiary care setting, central adiposity was associated with worsening of microvascular complications in T1DM.\n\n\n### Campos, GN1; Paliares, IC1; Torres, LS1; Aroucha, PMT1; Pititto, BA1; Dib, SA1; Dualib, PM1\nIntroduction: Type 1 Diabetes Mellitus (T1DM) confers substantial risk for macro and microvascular complications such as retinopathy, nephropathy, and neuropathy, requiring accessible and efficient screening methods. Waist-to-Height Ratio (WHtR) has emerged as a predictor of progression of these outcomes in T1DM. Being a low-cost, easy-to-apply anthropometric measure, and potentially superior to BMI, validating WHtR may optimize risk stratification in these patients.\nObjective: To evaluate whether WHtR can predict progression of microvascular outcomes in T1DM.\nMethods: A retrospective cohort was conducted analyzing electronic medical records of patients diagnosed with T1DM for > 5 years, aged > 18, followed in a specialized tertiary outpatient clinic. Patients were divided by WHtR using the 0.5 cutoff, and from these groups microvascular complications and clinical-laboratory parameters were assessed at diagnosis and after 10 years. Student’s t-test was applied for numerical variables and Chi-square test for categorical ones. Statistical significance was set at p < 0.05.\nResults: A total of 378 individuals with T1DM were included: 147 had WHtR ≤ 0.5 and 231 had WHtR > 0.5 [baseline mean age 26.2 ± 8.8 vs 29.2 ± 10.1y (p = 0.1); DM duration 22.3 ± 7.8 vs 25.3 ± 8.5y (p = 0.23)]. Baseline BMI was 21.6 ± 2.1 in WHtR ≤ 0.5 and 25.5 ± 3.6 in WHtR > 0.5 (p < 0.01). Those with WHtR > 0.5 had more dyslipidemia (p = 0.004), double diabetes (p < 0.001), hypertension (p < 0.001), greater use of oral antidiabetics (p < 0.001) and statins (p = 0.003). The WHtR ≤ 0.5 group showed lower TG/HDL ratio at baseline (p = 0.022), which persisted at 10 years (p = 0.042). Regarding complications, WHtR > 0.5 was associated with higher peripheral neuropathy rates after 10 years (p = 0.045), greater neuropathy progression (p = 0.012), and more diabetic kidney disease (p = 0.04). No difference was found in retinopathy.\nConclusion: In this 10-year retrospective cohort, WHtR > 0.5 was associated with worse microvascular complications such as peripheral neuropathy, nephropathy, and progression of neuropathy. In our tertiary care setting, central adiposity was associated with worsening of microvascular complications in T1DM.\n\n\n### (1) Escola Paulista de Medicina, São Paulo, SP – Brasil\nIntroduction: Type 1 Diabetes Mellitus (T1DM) confers substantial risk for macro and microvascular complications such as retinopathy, nephropathy, and neuropathy, requiring accessible and efficient screening methods. Waist-to-Height Ratio (WHtR) has emerged as a predictor of progression of these outcomes in T1DM. Being a low-cost, easy-to-apply anthropometric measure, and potentially superior to BMI, validating WHtR may optimize risk stratification in these patients.\nObjective: To evaluate whether WHtR can predict progression of microvascular outcomes in T1DM.\nMethods: A retrospective cohort was conducted analyzing electronic medical records of patients diagnosed with T1DM for > 5 years, aged > 18, followed in a specialized tertiary outpatient clinic. Patients were divided by WHtR using the 0.5 cutoff, and from these groups microvascular complications and clinical-laboratory parameters were assessed at diagnosis and after 10 years. Student’s t-test was applied for numerical variables and Chi-square test for categorical ones. Statistical significance was set at p < 0.05.\nResults: A total of 378 individuals with T1DM were included: 147 had WHtR ≤ 0.5 and 231 had WHtR > 0.5 [baseline mean age 26.2 ± 8.8 vs 29.2 ± 10.1y (p = 0.1); DM duration 22.3 ± 7.8 vs 25.3 ± 8.5y (p = 0.23)]. Baseline BMI was 21.6 ± 2.1 in WHtR ≤ 0.5 and 25.5 ± 3.6 in WHtR > 0.5 (p < 0.01). Those with WHtR > 0.5 had more dyslipidemia (p = 0.004), double diabetes (p < 0.001), hypertension (p < 0.001), greater use of oral antidiabetics (p < 0.001) and statins (p = 0.003). The WHtR ≤ 0.5 group showed lower TG/HDL ratio at baseline (p = 0.022), which persisted at 10 years (p = 0.042). Regarding complications, WHtR > 0.5 was associated with higher peripheral neuropathy rates after 10 years (p = 0.045), greater neuropathy progression (p = 0.012), and more diabetic kidney disease (p = 0.04). No difference was found in retinopathy.\nConclusion: In this 10-year retrospective cohort, WHtR > 0.5 was associated with worse microvascular complications such as peripheral neuropathy, nephropathy, and progression of neuropathy. In our tertiary care setting, central adiposity was associated with worsening of microvascular complications in T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—046\nIntroduction: Type 1 Diabetes Mellitus (T1DM) confers substantial risk for macro and microvascular complications such as retinopathy, nephropathy, and neuropathy, requiring accessible and efficient screening methods. Waist-to-Height Ratio (WHtR) has emerged as a predictor of progression of these outcomes in T1DM. Being a low-cost, easy-to-apply anthropometric measure, and potentially superior to BMI, validating WHtR may optimize risk stratification in these patients.\nObjective: To evaluate whether WHtR can predict progression of microvascular outcomes in T1DM.\nMethods: A retrospective cohort was conducted analyzing electronic medical records of patients diagnosed with T1DM for > 5 years, aged > 18, followed in a specialized tertiary outpatient clinic. Patients were divided by WHtR using the 0.5 cutoff, and from these groups microvascular complications and clinical-laboratory parameters were assessed at diagnosis and after 10 years. Student’s t-test was applied for numerical variables and Chi-square test for categorical ones. Statistical significance was set at p < 0.05.\nResults: A total of 378 individuals with T1DM were included: 147 had WHtR ≤ 0.5 and 231 had WHtR > 0.5 [baseline mean age 26.2 ± 8.8 vs 29.2 ± 10.1y (p = 0.1); DM duration 22.3 ± 7.8 vs 25.3 ± 8.5y (p = 0.23)]. Baseline BMI was 21.6 ± 2.1 in WHtR ≤ 0.5 and 25.5 ± 3.6 in WHtR > 0.5 (p < 0.01). Those with WHtR > 0.5 had more dyslipidemia (p = 0.004), double diabetes (p < 0.001), hypertension (p < 0.001), greater use of oral antidiabetics (p < 0.001) and statins (p = 0.003). The WHtR ≤ 0.5 group showed lower TG/HDL ratio at baseline (p = 0.022), which persisted at 10 years (p = 0.042). Regarding complications, WHtR > 0.5 was associated with higher peripheral neuropathy rates after 10 years (p = 0.045), greater neuropathy progression (p = 0.012), and more diabetic kidney disease (p = 0.04). No difference was found in retinopathy.\nConclusion: In this 10-year retrospective cohort, WHtR > 0.5 was associated with worse microvascular complications such as peripheral neuropathy, nephropathy, and progression of neuropathy. In our tertiary care setting, central adiposity was associated with worsening of microvascular complications in T1DM.\n\n\n### PO—047 Importance Of Diabetic Foot Screening In The Prevention Of Diabetic Neuropathy: Epidemiological Profile Of Patients With Diabetes In A Municipality In Minas Gerais\nIntroduction: Diabetes mellitus (DM) is one of the main public health challenges, associated with high morbidity and mortality and the risk of chronic disabling complications such as peripheral diabetic neuropathy, which is an important risk factor for the development of diabetic foot, a condition associated with ulcers, infections, and amputations. Systematic screening for neuropathy, combined with annual foot assessments, is a fundamental measure for early diagnosis and prevention of the progression of complications. Primary Health Care (PHC) plays a strategic role in this process through longitudinal monitoring, health education, and the application of clinical protocols.\nObjective: In this sense, the present study sought to evaluate the epidemiological profile of patients with DM in a municipality in Minas Gerais, as well as the regularity of health monitoring and the performance of annual diabetic foot assessments.\nMethods: This is an observational, cross-sectional study conducted with a group of 334 patients diagnosed with DM. Clinical data and data related to regular health monitoring were collected, and the performance of annual foot examinations for screening diabetic neuropathy was verified, according to electronic medical records. Data analysis was conducted using descriptive statistics, with calculation of absolute and relative frequencies.\nResults: The results, described in Table 01, show that the sample is mainly composed of patients with DM2 (95.8%), with a long diagnosis time and a low rate of regular follow-up (37.1%). Glycemic control is outside the therapeutic target in most cases, which is reflected in the high prevalence of chronic complications, especially retinopathy and neuropathy. In addition, adherence to preventive measures, such as diabetic foot examination, is extremely low, corresponding to only 4.8% of the patients evaluated.\nConclusion: The results point to significant weaknesses in the monitoring of these patients, especially regarding low adherence to annual diabetic foot examinations. The absence of this practice compromises the prevention of neuropathy and increases the risk of ulcers and amputations. This reinforces the strategic role of PHC in the organization of care, with the need to implement effective screening and regular monitoring protocols. Strengthening these actions contributes to reducing complications, improving patients’ quality of life, and lowering costs to the healthcare system.Table 1 (abstract PO—047)Epidemiological profile of patients diagnosed with diabetes mellitus (DM)\nEpidemiological profile of patients diagnosed with diabetes mellitus (DM)\n\n\n### Almeida, ND1; Almeida, ND1; Ferreira, GG2; Ferreira, GG2; Bicalho, JG2; Bicalho, JG2; Martins, IC2; Martins, IC2; Campos, LA2; Campos, LA2; Aguiar, FM2; Aguiar, FM2; Binda, NS1; Binda, NS1\nIntroduction: Diabetes mellitus (DM) is one of the main public health challenges, associated with high morbidity and mortality and the risk of chronic disabling complications such as peripheral diabetic neuropathy, which is an important risk factor for the development of diabetic foot, a condition associated with ulcers, infections, and amputations. Systematic screening for neuropathy, combined with annual foot assessments, is a fundamental measure for early diagnosis and prevention of the progression of complications. Primary Health Care (PHC) plays a strategic role in this process through longitudinal monitoring, health education, and the application of clinical protocols.\nObjective: In this sense, the present study sought to evaluate the epidemiological profile of patients with DM in a municipality in Minas Gerais, as well as the regularity of health monitoring and the performance of annual diabetic foot assessments.\nMethods: This is an observational, cross-sectional study conducted with a group of 334 patients diagnosed with DM. Clinical data and data related to regular health monitoring were collected, and the performance of annual foot examinations for screening diabetic neuropathy was verified, according to electronic medical records. Data analysis was conducted using descriptive statistics, with calculation of absolute and relative frequencies.\nResults: The results, described in Table 01, show that the sample is mainly composed of patients with DM2 (95.8%), with a long diagnosis time and a low rate of regular follow-up (37.1%). Glycemic control is outside the therapeutic target in most cases, which is reflected in the high prevalence of chronic complications, especially retinopathy and neuropathy. In addition, adherence to preventive measures, such as diabetic foot examination, is extremely low, corresponding to only 4.8% of the patients evaluated.\nConclusion: The results point to significant weaknesses in the monitoring of these patients, especially regarding low adherence to annual diabetic foot examinations. The absence of this practice compromises the prevention of neuropathy and increases the risk of ulcers and amputations. This reinforces the strategic role of PHC in the organization of care, with the need to implement effective screening and regular monitoring protocols. Strengthening these actions contributes to reducing complications, improving patients’ quality of life, and lowering costs to the healthcare system.Table 1 (abstract PO—047)Epidemiological profile of patients diagnosed with diabetes mellitus (DM)\nEpidemiological profile of patients diagnosed with diabetes mellitus (DM)\n\n\n### (1) Universidade Federal De Ouro Preto, Ouro Preto, MG, Brasil; (2) Centro Universitário De Belo Horizonte, Belo Horizonte, MG, Brasil\nIntroduction: Diabetes mellitus (DM) is one of the main public health challenges, associated with high morbidity and mortality and the risk of chronic disabling complications such as peripheral diabetic neuropathy, which is an important risk factor for the development of diabetic foot, a condition associated with ulcers, infections, and amputations. Systematic screening for neuropathy, combined with annual foot assessments, is a fundamental measure for early diagnosis and prevention of the progression of complications. Primary Health Care (PHC) plays a strategic role in this process through longitudinal monitoring, health education, and the application of clinical protocols.\nObjective: In this sense, the present study sought to evaluate the epidemiological profile of patients with DM in a municipality in Minas Gerais, as well as the regularity of health monitoring and the performance of annual diabetic foot assessments.\nMethods: This is an observational, cross-sectional study conducted with a group of 334 patients diagnosed with DM. Clinical data and data related to regular health monitoring were collected, and the performance of annual foot examinations for screening diabetic neuropathy was verified, according to electronic medical records. Data analysis was conducted using descriptive statistics, with calculation of absolute and relative frequencies.\nResults: The results, described in Table 01, show that the sample is mainly composed of patients with DM2 (95.8%), with a long diagnosis time and a low rate of regular follow-up (37.1%). Glycemic control is outside the therapeutic target in most cases, which is reflected in the high prevalence of chronic complications, especially retinopathy and neuropathy. In addition, adherence to preventive measures, such as diabetic foot examination, is extremely low, corresponding to only 4.8% of the patients evaluated.\nConclusion: The results point to significant weaknesses in the monitoring of these patients, especially regarding low adherence to annual diabetic foot examinations. The absence of this practice compromises the prevention of neuropathy and increases the risk of ulcers and amputations. This reinforces the strategic role of PHC in the organization of care, with the need to implement effective screening and regular monitoring protocols. Strengthening these actions contributes to reducing complications, improving patients’ quality of life, and lowering costs to the healthcare system.Table 1 (abstract PO—047)Epidemiological profile of patients diagnosed with diabetes mellitus (DM)\nEpidemiological profile of patients diagnosed with diabetes mellitus (DM)\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—047\nIntroduction: Diabetes mellitus (DM) is one of the main public health challenges, associated with high morbidity and mortality and the risk of chronic disabling complications such as peripheral diabetic neuropathy, which is an important risk factor for the development of diabetic foot, a condition associated with ulcers, infections, and amputations. Systematic screening for neuropathy, combined with annual foot assessments, is a fundamental measure for early diagnosis and prevention of the progression of complications. Primary Health Care (PHC) plays a strategic role in this process through longitudinal monitoring, health education, and the application of clinical protocols.\nObjective: In this sense, the present study sought to evaluate the epidemiological profile of patients with DM in a municipality in Minas Gerais, as well as the regularity of health monitoring and the performance of annual diabetic foot assessments.\nMethods: This is an observational, cross-sectional study conducted with a group of 334 patients diagnosed with DM. Clinical data and data related to regular health monitoring were collected, and the performance of annual foot examinations for screening diabetic neuropathy was verified, according to electronic medical records. Data analysis was conducted using descriptive statistics, with calculation of absolute and relative frequencies.\nResults: The results, described in Table 01, show that the sample is mainly composed of patients with DM2 (95.8%), with a long diagnosis time and a low rate of regular follow-up (37.1%). Glycemic control is outside the therapeutic target in most cases, which is reflected in the high prevalence of chronic complications, especially retinopathy and neuropathy. In addition, adherence to preventive measures, such as diabetic foot examination, is extremely low, corresponding to only 4.8% of the patients evaluated.\nConclusion: The results point to significant weaknesses in the monitoring of these patients, especially regarding low adherence to annual diabetic foot examinations. The absence of this practice compromises the prevention of neuropathy and increases the risk of ulcers and amputations. This reinforces the strategic role of PHC in the organization of care, with the need to implement effective screening and regular monitoring protocols. Strengthening these actions contributes to reducing complications, improving patients’ quality of life, and lowering costs to the healthcare system.Table 1 (abstract PO—047)Epidemiological profile of patients diagnosed with diabetes mellitus (DM)\nEpidemiological profile of patients diagnosed with diabetes mellitus (DM)\n\n\n### PO—048 Infection Rate In The Treatment Of Diabetic Wounds With Photodynamic Therapy\nIntroduction: Photodynamic therapy (PDT) is a therapeutic modality that combines a photosensitizer, specific light, and tissue oxygen to generate reactive oxygen species with a local cytotoxic effect, capable of eliminating microorganisms, controlling infections, and favoring tissue repair.\nObjective: To evaluate the clinical and epidemiological profile of patients with diabetic wounds and to monitor the evolution of infections during photodynamic treatment.\nMethods: We evaluated 18 patients with 25 lesions of grade I or II, stages B or D (Texas Classification). Cultures were collected at the beginning of treatment to identify pathogens. PDT sessions occurred twice a week, with lesions photographed and measured by planimetry at each visit. Evolution was evaluated by clinical signs, secretion, and use of medications. The therapy used a red LED array (630 nm, 50–150 mW/cm2) for 10 min after application of methylene blue. The data were analyzed using SPSS 25.0, using chi-square tests, with a significance level of 5%. Results were presented as mean ± SME.\nResults: 12 men (66.7%) were evaluated, all with type 2 diabetes, with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 GT sessions. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. It was observed that 80% of the lesions had active infection at the beginning. Among them, 36% were associated with Gram-positive bacteria, 28% with Gram-negative bacteria and 16% with multiple infections. There was no association between lesion reduction and the presence of infection (Chi2 = 4.792, p = 0.309), or type of infection (Chi2 = 9.582, p = 0.653).\nConclusion: PDT proved to be effective in the management of diabetic wounds, promoting a significant reduction in the lesional area even in infected cases. In addition to enhancing healing, the technique contributes to the clinical control of infections, and can reduce the need for invasive procedures, reduce costs to the health system, and improve the quality of life of patients.\n\n\n### Silva, LVO1; Rodrigues, RP1; Magalhães, FO1; Ceron, PIB1; Peregrinelli, AC1; Junior, GT1; Martins, FPS1; Oliveira, VF1; Silva, AMN1; Alves, NP1\nIntroduction: Photodynamic therapy (PDT) is a therapeutic modality that combines a photosensitizer, specific light, and tissue oxygen to generate reactive oxygen species with a local cytotoxic effect, capable of eliminating microorganisms, controlling infections, and favoring tissue repair.\nObjective: To evaluate the clinical and epidemiological profile of patients with diabetic wounds and to monitor the evolution of infections during photodynamic treatment.\nMethods: We evaluated 18 patients with 25 lesions of grade I or II, stages B or D (Texas Classification). Cultures were collected at the beginning of treatment to identify pathogens. PDT sessions occurred twice a week, with lesions photographed and measured by planimetry at each visit. Evolution was evaluated by clinical signs, secretion, and use of medications. The therapy used a red LED array (630 nm, 50–150 mW/cm2) for 10 min after application of methylene blue. The data were analyzed using SPSS 25.0, using chi-square tests, with a significance level of 5%. Results were presented as mean ± SME.\nResults: 12 men (66.7%) were evaluated, all with type 2 diabetes, with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 GT sessions. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. It was observed that 80% of the lesions had active infection at the beginning. Among them, 36% were associated with Gram-positive bacteria, 28% with Gram-negative bacteria and 16% with multiple infections. There was no association between lesion reduction and the presence of infection (Chi2 = 4.792, p = 0.309), or type of infection (Chi2 = 9.582, p = 0.653).\nConclusion: PDT proved to be effective in the management of diabetic wounds, promoting a significant reduction in the lesional area even in infected cases. In addition to enhancing healing, the technique contributes to the clinical control of infections, and can reduce the need for invasive procedures, reduce costs to the health system, and improve the quality of life of patients.\n\n\n### (1) Universidade de Uberaba, Uberaba, MG, Brasil\nIntroduction: Photodynamic therapy (PDT) is a therapeutic modality that combines a photosensitizer, specific light, and tissue oxygen to generate reactive oxygen species with a local cytotoxic effect, capable of eliminating microorganisms, controlling infections, and favoring tissue repair.\nObjective: To evaluate the clinical and epidemiological profile of patients with diabetic wounds and to monitor the evolution of infections during photodynamic treatment.\nMethods: We evaluated 18 patients with 25 lesions of grade I or II, stages B or D (Texas Classification). Cultures were collected at the beginning of treatment to identify pathogens. PDT sessions occurred twice a week, with lesions photographed and measured by planimetry at each visit. Evolution was evaluated by clinical signs, secretion, and use of medications. The therapy used a red LED array (630 nm, 50–150 mW/cm2) for 10 min after application of methylene blue. The data were analyzed using SPSS 25.0, using chi-square tests, with a significance level of 5%. Results were presented as mean ± SME.\nResults: 12 men (66.7%) were evaluated, all with type 2 diabetes, with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 GT sessions. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. It was observed that 80% of the lesions had active infection at the beginning. Among them, 36% were associated with Gram-positive bacteria, 28% with Gram-negative bacteria and 16% with multiple infections. There was no association between lesion reduction and the presence of infection (Chi2 = 4.792, p = 0.309), or type of infection (Chi2 = 9.582, p = 0.653).\nConclusion: PDT proved to be effective in the management of diabetic wounds, promoting a significant reduction in the lesional area even in infected cases. In addition to enhancing healing, the technique contributes to the clinical control of infections, and can reduce the need for invasive procedures, reduce costs to the health system, and improve the quality of life of patients.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—048\nIntroduction: Photodynamic therapy (PDT) is a therapeutic modality that combines a photosensitizer, specific light, and tissue oxygen to generate reactive oxygen species with a local cytotoxic effect, capable of eliminating microorganisms, controlling infections, and favoring tissue repair.\nObjective: To evaluate the clinical and epidemiological profile of patients with diabetic wounds and to monitor the evolution of infections during photodynamic treatment.\nMethods: We evaluated 18 patients with 25 lesions of grade I or II, stages B or D (Texas Classification). Cultures were collected at the beginning of treatment to identify pathogens. PDT sessions occurred twice a week, with lesions photographed and measured by planimetry at each visit. Evolution was evaluated by clinical signs, secretion, and use of medications. The therapy used a red LED array (630 nm, 50–150 mW/cm2) for 10 min after application of methylene blue. The data were analyzed using SPSS 25.0, using chi-square tests, with a significance level of 5%. Results were presented as mean ± SME.\nResults: 12 men (66.7%) were evaluated, all with type 2 diabetes, with a mean age of 63.78 ± 1.87 years, performing an average of 20.76 ± 2.28 GT sessions. There was a reduction of 59.82 ± 7.79% of the lesions, with a mean initial area of 21.60 ± 5.58 cm2 and a mean final area of 8.30 ± 3.02 cm2. It was observed that 80% of the lesions had active infection at the beginning. Among them, 36% were associated with Gram-positive bacteria, 28% with Gram-negative bacteria and 16% with multiple infections. There was no association between lesion reduction and the presence of infection (Chi2 = 4.792, p = 0.309), or type of infection (Chi2 = 9.582, p = 0.653).\nConclusion: PDT proved to be effective in the management of diabetic wounds, promoting a significant reduction in the lesional area even in infected cases. In addition to enhancing healing, the technique contributes to the clinical control of infections, and can reduce the need for invasive procedures, reduce costs to the health system, and improve the quality of life of patients.\n\n\n### PO—049 Low Self-management And Educational Skills In People With Diabetes Mellitus In A Diabetic Foot Clinic In A Public Reference Center\nIntroduction: The high prevalence of diabetes-related complications and their negative impact on health outcomes constitute major challenges in the management of chronic diseases, especially in developing countries. Diabetic foot–related complications contribute to this scenario, and the effectiveness of implementing health education interventions aimed at self-care is well recognized in the literature.\nObjective: To assess the clinical profile and adherence to self-care activities of patients with diabetic-related foot complications.\nMethods: This was a cross-sectional study including a sample of 155 patients attending an open-access diabetic foot outpatient clinic in a public healthcare reference center in northeast of Brazil. Data was obtained through interviews and complemented with secondary data from medical records. Adherence to self-care was measured using the Summary of Diabetes Self-Care Activities Questionnaire (SDSCA), that assesses the performance of specific behavior on days per week. The scores for each item can range from 0 to 7, with higher scores indicating better adherence. The study was approved by IPADE ethic board (CAAE: 39,700,720.0.0000.5049).\nResults: The mean age of the sample was 60.2 years (range: 17–85 years), and the mean duration of diabetes was 14.4 years (range: 1–40 years). Regarding educational attainment, 11% were illiterate, and 51.6% had only completed elementary school. Combined use of oral antidiabetic agents and insulin accounted for 53.3% of treatment. In the sample, 29% had a previous history of amputation, and 24% were former smokers and 2 patients were smokers. Only 37 patients had available glycated hemoglobin results, with a mean of 8.8% (SD: 1.64). Medication adherence was the most prevalent self-care activity (5.56 days/week ± 1.90 SD), while physical activity had the lowest prevalence (1.19 days/week ± 2,16SD). Regarding the foot care adherence domain, the mean was 5.13 days/week(± 2.35SD).\nConclusion: This result shows a high-risk population with low level of education, high history of tabaco use, previous amputations, and a frequent unavailability of glycated hemoglobin results that raises questions regarding proper care. Nevertheless, the patients presented a good adherence to self-care in the domains of medications and foot care, which may reflect the moment of acute disease the patients were on and the efforts for diabetes education at the reference center.\n\n\n### Gaspar, LF1; Lopes, LSG1; Facanha, LOS2; Marinho, LGJ1; Rocha, IMA1; Amaral, LLG1; Silva, LFA3; Machado, IB2; Facanha, CFS2\nIntroduction: The high prevalence of diabetes-related complications and their negative impact on health outcomes constitute major challenges in the management of chronic diseases, especially in developing countries. Diabetic foot–related complications contribute to this scenario, and the effectiveness of implementing health education interventions aimed at self-care is well recognized in the literature.\nObjective: To assess the clinical profile and adherence to self-care activities of patients with diabetic-related foot complications.\nMethods: This was a cross-sectional study including a sample of 155 patients attending an open-access diabetic foot outpatient clinic in a public healthcare reference center in northeast of Brazil. Data was obtained through interviews and complemented with secondary data from medical records. Adherence to self-care was measured using the Summary of Diabetes Self-Care Activities Questionnaire (SDSCA), that assesses the performance of specific behavior on days per week. The scores for each item can range from 0 to 7, with higher scores indicating better adherence. The study was approved by IPADE ethic board (CAAE: 39,700,720.0.0000.5049).\nResults: The mean age of the sample was 60.2 years (range: 17–85 years), and the mean duration of diabetes was 14.4 years (range: 1–40 years). Regarding educational attainment, 11% were illiterate, and 51.6% had only completed elementary school. Combined use of oral antidiabetic agents and insulin accounted for 53.3% of treatment. In the sample, 29% had a previous history of amputation, and 24% were former smokers and 2 patients were smokers. Only 37 patients had available glycated hemoglobin results, with a mean of 8.8% (SD: 1.64). Medication adherence was the most prevalent self-care activity (5.56 days/week ± 1.90 SD), while physical activity had the lowest prevalence (1.19 days/week ± 2,16SD). Regarding the foot care adherence domain, the mean was 5.13 days/week(± 2.35SD).\nConclusion: This result shows a high-risk population with low level of education, high history of tabaco use, previous amputations, and a frequent unavailability of glycated hemoglobin results that raises questions regarding proper care. Nevertheless, the patients presented a good adherence to self-care in the domains of medications and foot care, which may reflect the moment of acute disease the patients were on and the efforts for diabetes education at the reference center.\n\n\n### (1) Centro Universitario Christus, Unichristus, Fortaleza, CE, Brasil; (2) Universidade de Fortaleza, Fortaleza, CE, Brasil;(3) Universidade Estadual Do Ceara, Fortaleza, CE, Brasil\nIntroduction: The high prevalence of diabetes-related complications and their negative impact on health outcomes constitute major challenges in the management of chronic diseases, especially in developing countries. Diabetic foot–related complications contribute to this scenario, and the effectiveness of implementing health education interventions aimed at self-care is well recognized in the literature.\nObjective: To assess the clinical profile and adherence to self-care activities of patients with diabetic-related foot complications.\nMethods: This was a cross-sectional study including a sample of 155 patients attending an open-access diabetic foot outpatient clinic in a public healthcare reference center in northeast of Brazil. Data was obtained through interviews and complemented with secondary data from medical records. Adherence to self-care was measured using the Summary of Diabetes Self-Care Activities Questionnaire (SDSCA), that assesses the performance of specific behavior on days per week. The scores for each item can range from 0 to 7, with higher scores indicating better adherence. The study was approved by IPADE ethic board (CAAE: 39,700,720.0.0000.5049).\nResults: The mean age of the sample was 60.2 years (range: 17–85 years), and the mean duration of diabetes was 14.4 years (range: 1–40 years). Regarding educational attainment, 11% were illiterate, and 51.6% had only completed elementary school. Combined use of oral antidiabetic agents and insulin accounted for 53.3% of treatment. In the sample, 29% had a previous history of amputation, and 24% were former smokers and 2 patients were smokers. Only 37 patients had available glycated hemoglobin results, with a mean of 8.8% (SD: 1.64). Medication adherence was the most prevalent self-care activity (5.56 days/week ± 1.90 SD), while physical activity had the lowest prevalence (1.19 days/week ± 2,16SD). Regarding the foot care adherence domain, the mean was 5.13 days/week(± 2.35SD).\nConclusion: This result shows a high-risk population with low level of education, high history of tabaco use, previous amputations, and a frequent unavailability of glycated hemoglobin results that raises questions regarding proper care. Nevertheless, the patients presented a good adherence to self-care in the domains of medications and foot care, which may reflect the moment of acute disease the patients were on and the efforts for diabetes education at the reference center.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—049\nIntroduction: The high prevalence of diabetes-related complications and their negative impact on health outcomes constitute major challenges in the management of chronic diseases, especially in developing countries. Diabetic foot–related complications contribute to this scenario, and the effectiveness of implementing health education interventions aimed at self-care is well recognized in the literature.\nObjective: To assess the clinical profile and adherence to self-care activities of patients with diabetic-related foot complications.\nMethods: This was a cross-sectional study including a sample of 155 patients attending an open-access diabetic foot outpatient clinic in a public healthcare reference center in northeast of Brazil. Data was obtained through interviews and complemented with secondary data from medical records. Adherence to self-care was measured using the Summary of Diabetes Self-Care Activities Questionnaire (SDSCA), that assesses the performance of specific behavior on days per week. The scores for each item can range from 0 to 7, with higher scores indicating better adherence. The study was approved by IPADE ethic board (CAAE: 39,700,720.0.0000.5049).\nResults: The mean age of the sample was 60.2 years (range: 17–85 years), and the mean duration of diabetes was 14.4 years (range: 1–40 years). Regarding educational attainment, 11% were illiterate, and 51.6% had only completed elementary school. Combined use of oral antidiabetic agents and insulin accounted for 53.3% of treatment. In the sample, 29% had a previous history of amputation, and 24% were former smokers and 2 patients were smokers. Only 37 patients had available glycated hemoglobin results, with a mean of 8.8% (SD: 1.64). Medication adherence was the most prevalent self-care activity (5.56 days/week ± 1.90 SD), while physical activity had the lowest prevalence (1.19 days/week ± 2,16SD). Regarding the foot care adherence domain, the mean was 5.13 days/week(± 2.35SD).\nConclusion: This result shows a high-risk population with low level of education, high history of tabaco use, previous amputations, and a frequent unavailability of glycated hemoglobin results that raises questions regarding proper care. Nevertheless, the patients presented a good adherence to self-care in the domains of medications and foot care, which may reflect the moment of acute disease the patients were on and the efforts for diabetes education at the reference center.\n\n\n### PO—050 Mortality In Long-standing Type 1 Diabetes: A Multicenter Retrospective Study In Brazil\nIntroduction: Type 1 Diabetes Mellitus (T1D) is associated with increased mortality despite therapeutic advances. Chronic complications of diabetes and infections are the main causes of death, but data on Brazilian patients are scarce.\nObjective: To analyze causes of death and associated risk factors in long-standing T1D patients.\nMethods: Retrospective review of medical records of T1D patients with ≥ 20 years of disease duration, followed at three centers in southeastern Brazil. Causes of death were analyzed alongside clinical and laboratory data. Categorical and continuous variables were analyzed using chi-square or Fisher’s exact test, and the Mann–Whitney test, respectively, with a significance level of p < 0.05. In 2014, the 10-year cardiovascular risk (CVR) for each patient was estimated using four tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE), and LIFE-T1D, to assess their mortality performance.\nResults: The sample consisted of 577 patients: 55.3% female and 56% white. Mean age was 38.7 ± 10.8 years, T1D duration 28 ± 7.1 years, body mass index (BMI) 24.9 ± 4.2 kg/m2, and glycated hemoglobin (HbA1c) 8.47 ± 1.73%. There were 29 deaths (5%). Infections were the most frequently reported causes (sepsis 14%, endocarditis 7%). Other causes included cancer, diabetic ketoacidosis, acute myocardial infarction, heart failure, sudden death, and bloodstream infection (each 3%). In 55% of cases, the cause of death was unknown. Deceased patients were mostly female (p = 0.002) and had higher rates of hypertension and chronic complications such as retinopathy, nephropathy, neuropathy and peripheral arterial disease (all p < 0.001). They also had lower estimated glomerular filtration rate (eGFR) (84.3 ± 33.9 vs. 101.8 ± 21.8 mL/min, p = 0.019) and higher triglycerides (167.7 ± 167.2 vs. 87.0 ± 58.4 mg/dL, p = 0.014). Mortality was higher in those not using insulin analogs (basal analog vs. NPH, p = 0.003; fast analog vs. regular insulin, p < 0.001). No significant differences were found for age, T1D duration, BMI, HbA1c, LDL cholesterol, ethnicity, or smoking. Among the CVR tools, only the STENO score was significantly associated with mortality (p = 0.008).\nConclusion: Infections were the leading cause of death in this long-standing T1D cohort. Higher triglycerides and lower eGFR were associated with increased mortality, highlighting the impact of poor metabolic control and chronic complications. Among CVR scores, STENO had the strongest predictive value for mortality.\n\n\n### Fassbender, IPB1; Dantas, JR1; Garcia, PM1; Costa, AH1; Sena, MCR1; Paliares, IC2; Dualib, PM2; Dib, SA2; Lauria, MW3; Zajdenverg, L1; Rodacki, M1\nIntroduction: Type 1 Diabetes Mellitus (T1D) is associated with increased mortality despite therapeutic advances. Chronic complications of diabetes and infections are the main causes of death, but data on Brazilian patients are scarce.\nObjective: To analyze causes of death and associated risk factors in long-standing T1D patients.\nMethods: Retrospective review of medical records of T1D patients with ≥ 20 years of disease duration, followed at three centers in southeastern Brazil. Causes of death were analyzed alongside clinical and laboratory data. Categorical and continuous variables were analyzed using chi-square or Fisher’s exact test, and the Mann–Whitney test, respectively, with a significance level of p < 0.05. In 2014, the 10-year cardiovascular risk (CVR) for each patient was estimated using four tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE), and LIFE-T1D, to assess their mortality performance.\nResults: The sample consisted of 577 patients: 55.3% female and 56% white. Mean age was 38.7 ± 10.8 years, T1D duration 28 ± 7.1 years, body mass index (BMI) 24.9 ± 4.2 kg/m2, and glycated hemoglobin (HbA1c) 8.47 ± 1.73%. There were 29 deaths (5%). Infections were the most frequently reported causes (sepsis 14%, endocarditis 7%). Other causes included cancer, diabetic ketoacidosis, acute myocardial infarction, heart failure, sudden death, and bloodstream infection (each 3%). In 55% of cases, the cause of death was unknown. Deceased patients were mostly female (p = 0.002) and had higher rates of hypertension and chronic complications such as retinopathy, nephropathy, neuropathy and peripheral arterial disease (all p < 0.001). They also had lower estimated glomerular filtration rate (eGFR) (84.3 ± 33.9 vs. 101.8 ± 21.8 mL/min, p = 0.019) and higher triglycerides (167.7 ± 167.2 vs. 87.0 ± 58.4 mg/dL, p = 0.014). Mortality was higher in those not using insulin analogs (basal analog vs. NPH, p = 0.003; fast analog vs. regular insulin, p < 0.001). No significant differences were found for age, T1D duration, BMI, HbA1c, LDL cholesterol, ethnicity, or smoking. Among the CVR tools, only the STENO score was significantly associated with mortality (p = 0.008).\nConclusion: Infections were the leading cause of death in this long-standing T1D cohort. Higher triglycerides and lower eGFR were associated with increased mortality, highlighting the impact of poor metabolic control and chronic complications. Among CVR scores, STENO had the strongest predictive value for mortality.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: Type 1 Diabetes Mellitus (T1D) is associated with increased mortality despite therapeutic advances. Chronic complications of diabetes and infections are the main causes of death, but data on Brazilian patients are scarce.\nObjective: To analyze causes of death and associated risk factors in long-standing T1D patients.\nMethods: Retrospective review of medical records of T1D patients with ≥ 20 years of disease duration, followed at three centers in southeastern Brazil. Causes of death were analyzed alongside clinical and laboratory data. Categorical and continuous variables were analyzed using chi-square or Fisher’s exact test, and the Mann–Whitney test, respectively, with a significance level of p < 0.05. In 2014, the 10-year cardiovascular risk (CVR) for each patient was estimated using four tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE), and LIFE-T1D, to assess their mortality performance.\nResults: The sample consisted of 577 patients: 55.3% female and 56% white. Mean age was 38.7 ± 10.8 years, T1D duration 28 ± 7.1 years, body mass index (BMI) 24.9 ± 4.2 kg/m2, and glycated hemoglobin (HbA1c) 8.47 ± 1.73%. There were 29 deaths (5%). Infections were the most frequently reported causes (sepsis 14%, endocarditis 7%). Other causes included cancer, diabetic ketoacidosis, acute myocardial infarction, heart failure, sudden death, and bloodstream infection (each 3%). In 55% of cases, the cause of death was unknown. Deceased patients were mostly female (p = 0.002) and had higher rates of hypertension and chronic complications such as retinopathy, nephropathy, neuropathy and peripheral arterial disease (all p < 0.001). They also had lower estimated glomerular filtration rate (eGFR) (84.3 ± 33.9 vs. 101.8 ± 21.8 mL/min, p = 0.019) and higher triglycerides (167.7 ± 167.2 vs. 87.0 ± 58.4 mg/dL, p = 0.014). Mortality was higher in those not using insulin analogs (basal analog vs. NPH, p = 0.003; fast analog vs. regular insulin, p < 0.001). No significant differences were found for age, T1D duration, BMI, HbA1c, LDL cholesterol, ethnicity, or smoking. Among the CVR tools, only the STENO score was significantly associated with mortality (p = 0.008).\nConclusion: Infections were the leading cause of death in this long-standing T1D cohort. Higher triglycerides and lower eGFR were associated with increased mortality, highlighting the impact of poor metabolic control and chronic complications. Among CVR scores, STENO had the strongest predictive value for mortality.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—050\nIntroduction: Type 1 Diabetes Mellitus (T1D) is associated with increased mortality despite therapeutic advances. Chronic complications of diabetes and infections are the main causes of death, but data on Brazilian patients are scarce.\nObjective: To analyze causes of death and associated risk factors in long-standing T1D patients.\nMethods: Retrospective review of medical records of T1D patients with ≥ 20 years of disease duration, followed at three centers in southeastern Brazil. Causes of death were analyzed alongside clinical and laboratory data. Categorical and continuous variables were analyzed using chi-square or Fisher’s exact test, and the Mann–Whitney test, respectively, with a significance level of p < 0.05. In 2014, the 10-year cardiovascular risk (CVR) for each patient was estimated using four tools: Brazilian Diabetes Society (SBD), Brazilian Society of Cardiology (SBC), Steno Type 1 Risk Engine (ST1RE), and LIFE-T1D, to assess their mortality performance.\nResults: The sample consisted of 577 patients: 55.3% female and 56% white. Mean age was 38.7 ± 10.8 years, T1D duration 28 ± 7.1 years, body mass index (BMI) 24.9 ± 4.2 kg/m2, and glycated hemoglobin (HbA1c) 8.47 ± 1.73%. There were 29 deaths (5%). Infections were the most frequently reported causes (sepsis 14%, endocarditis 7%). Other causes included cancer, diabetic ketoacidosis, acute myocardial infarction, heart failure, sudden death, and bloodstream infection (each 3%). In 55% of cases, the cause of death was unknown. Deceased patients were mostly female (p = 0.002) and had higher rates of hypertension and chronic complications such as retinopathy, nephropathy, neuropathy and peripheral arterial disease (all p < 0.001). They also had lower estimated glomerular filtration rate (eGFR) (84.3 ± 33.9 vs. 101.8 ± 21.8 mL/min, p = 0.019) and higher triglycerides (167.7 ± 167.2 vs. 87.0 ± 58.4 mg/dL, p = 0.014). Mortality was higher in those not using insulin analogs (basal analog vs. NPH, p = 0.003; fast analog vs. regular insulin, p < 0.001). No significant differences were found for age, T1D duration, BMI, HbA1c, LDL cholesterol, ethnicity, or smoking. Among the CVR tools, only the STENO score was significantly associated with mortality (p = 0.008).\nConclusion: Infections were the leading cause of death in this long-standing T1D cohort. Higher triglycerides and lower eGFR were associated with increased mortality, highlighting the impact of poor metabolic control and chronic complications. Among CVR scores, STENO had the strongest predictive value for mortality.\n\n\n### PO—052 Ophthalmological Evaluation Of The Effect Of Therapies With Dapagliflozin Or Glibenclamide In Patients With Type 2 Diabetes: Randomized And Controlled Clinical Trial\nIntroduction: Despite technological advances, Diabetic Retinopathy (DR) remains a major cause of visual morbidity, with its prevalence expected to rise substantially in the coming decades. While glycemic control has proven effective in delaying diabetic complications, achieving and maintaining this target remains challenging in real-world clinical settings. The potential for antidiabetic agents to modulate retinal cell physiology is still largely unexplored. To date, no pharmacological therapy has demonstrated direct retinal effects capable of halting early DR progression beyond systemic metabolic control. Among emerging candidates, sodium-glucose cotransporter 2 inhibitors (SGLT2i) have shown promise for early-stage diabetic eye disease. However, large-scale trials assessing their systemic efficacy did not systematically investigate retinal outcomes. Spectral-Domain Optical Coherence Tomography (SD-OCT) enables in vivo assessment of retinal layers and early detection of diabetic macular changes. Prior studies indicate that neuroretinal thinning in central retinal thickness (CRT) may precede clinical signs of DR, highlighting its potential as a subclinical biomarker.\nObjective: This study evaluated CRT variation in type 2 diabetes mellitus (T2DM) patients treated with dapagliflozin versus glibenclamide for 12 weeks.\nMethods: Ninety-seven participants (mean age 57 ± 7 years) with T2DM and clinical or subclinical atherosclerosis were randomized 1:1 to dapagliflozin (10 mg/day) or glibenclamide (5 mg/day), in addition to metformin XR (1.5 g/day). SD-OCT images were acquired at baseline and post-treatment.\nResults: Fasting glucose and HbA1c levels were similar between groups. No DR progression was observed. CRT increased by + 2 ± 6 μm in the dapagliflozin group and decreased by -1 ± 7 μm in the glibenclamide group (P = 0.001).\nConclusion: These findings suggest that short-term dapagliflozin therapy may exert retinal effects independent of glycemic control, supporting its potential role in early DR modulation. Further studies are warranted to confirm this hypothesis and explore SGLT2i as candidates for retinoprotective pharmacotherapy.\n\n\n### Fernandes, VHR1; Breder, I1; Sposito, AC1\nIntroduction: Despite technological advances, Diabetic Retinopathy (DR) remains a major cause of visual morbidity, with its prevalence expected to rise substantially in the coming decades. While glycemic control has proven effective in delaying diabetic complications, achieving and maintaining this target remains challenging in real-world clinical settings. The potential for antidiabetic agents to modulate retinal cell physiology is still largely unexplored. To date, no pharmacological therapy has demonstrated direct retinal effects capable of halting early DR progression beyond systemic metabolic control. Among emerging candidates, sodium-glucose cotransporter 2 inhibitors (SGLT2i) have shown promise for early-stage diabetic eye disease. However, large-scale trials assessing their systemic efficacy did not systematically investigate retinal outcomes. Spectral-Domain Optical Coherence Tomography (SD-OCT) enables in vivo assessment of retinal layers and early detection of diabetic macular changes. Prior studies indicate that neuroretinal thinning in central retinal thickness (CRT) may precede clinical signs of DR, highlighting its potential as a subclinical biomarker.\nObjective: This study evaluated CRT variation in type 2 diabetes mellitus (T2DM) patients treated with dapagliflozin versus glibenclamide for 12 weeks.\nMethods: Ninety-seven participants (mean age 57 ± 7 years) with T2DM and clinical or subclinical atherosclerosis were randomized 1:1 to dapagliflozin (10 mg/day) or glibenclamide (5 mg/day), in addition to metformin XR (1.5 g/day). SD-OCT images were acquired at baseline and post-treatment.\nResults: Fasting glucose and HbA1c levels were similar between groups. No DR progression was observed. CRT increased by + 2 ± 6 μm in the dapagliflozin group and decreased by -1 ± 7 μm in the glibenclamide group (P = 0.001).\nConclusion: These findings suggest that short-term dapagliflozin therapy may exert retinal effects independent of glycemic control, supporting its potential role in early DR modulation. Further studies are warranted to confirm this hypothesis and explore SGLT2i as candidates for retinoprotective pharmacotherapy.\n\n\n### (1) Universidade Estadual de Campinas, Campinas, SP, Brasil\nIntroduction: Despite technological advances, Diabetic Retinopathy (DR) remains a major cause of visual morbidity, with its prevalence expected to rise substantially in the coming decades. While glycemic control has proven effective in delaying diabetic complications, achieving and maintaining this target remains challenging in real-world clinical settings. The potential for antidiabetic agents to modulate retinal cell physiology is still largely unexplored. To date, no pharmacological therapy has demonstrated direct retinal effects capable of halting early DR progression beyond systemic metabolic control. Among emerging candidates, sodium-glucose cotransporter 2 inhibitors (SGLT2i) have shown promise for early-stage diabetic eye disease. However, large-scale trials assessing their systemic efficacy did not systematically investigate retinal outcomes. Spectral-Domain Optical Coherence Tomography (SD-OCT) enables in vivo assessment of retinal layers and early detection of diabetic macular changes. Prior studies indicate that neuroretinal thinning in central retinal thickness (CRT) may precede clinical signs of DR, highlighting its potential as a subclinical biomarker.\nObjective: This study evaluated CRT variation in type 2 diabetes mellitus (T2DM) patients treated with dapagliflozin versus glibenclamide for 12 weeks.\nMethods: Ninety-seven participants (mean age 57 ± 7 years) with T2DM and clinical or subclinical atherosclerosis were randomized 1:1 to dapagliflozin (10 mg/day) or glibenclamide (5 mg/day), in addition to metformin XR (1.5 g/day). SD-OCT images were acquired at baseline and post-treatment.\nResults: Fasting glucose and HbA1c levels were similar between groups. No DR progression was observed. CRT increased by + 2 ± 6 μm in the dapagliflozin group and decreased by -1 ± 7 μm in the glibenclamide group (P = 0.001).\nConclusion: These findings suggest that short-term dapagliflozin therapy may exert retinal effects independent of glycemic control, supporting its potential role in early DR modulation. Further studies are warranted to confirm this hypothesis and explore SGLT2i as candidates for retinoprotective pharmacotherapy.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—052\nIntroduction: Despite technological advances, Diabetic Retinopathy (DR) remains a major cause of visual morbidity, with its prevalence expected to rise substantially in the coming decades. While glycemic control has proven effective in delaying diabetic complications, achieving and maintaining this target remains challenging in real-world clinical settings. The potential for antidiabetic agents to modulate retinal cell physiology is still largely unexplored. To date, no pharmacological therapy has demonstrated direct retinal effects capable of halting early DR progression beyond systemic metabolic control. Among emerging candidates, sodium-glucose cotransporter 2 inhibitors (SGLT2i) have shown promise for early-stage diabetic eye disease. However, large-scale trials assessing their systemic efficacy did not systematically investigate retinal outcomes. Spectral-Domain Optical Coherence Tomography (SD-OCT) enables in vivo assessment of retinal layers and early detection of diabetic macular changes. Prior studies indicate that neuroretinal thinning in central retinal thickness (CRT) may precede clinical signs of DR, highlighting its potential as a subclinical biomarker.\nObjective: This study evaluated CRT variation in type 2 diabetes mellitus (T2DM) patients treated with dapagliflozin versus glibenclamide for 12 weeks.\nMethods: Ninety-seven participants (mean age 57 ± 7 years) with T2DM and clinical or subclinical atherosclerosis were randomized 1:1 to dapagliflozin (10 mg/day) or glibenclamide (5 mg/day), in addition to metformin XR (1.5 g/day). SD-OCT images were acquired at baseline and post-treatment.\nResults: Fasting glucose and HbA1c levels were similar between groups. No DR progression was observed. CRT increased by + 2 ± 6 μm in the dapagliflozin group and decreased by -1 ± 7 μm in the glibenclamide group (P = 0.001).\nConclusion: These findings suggest that short-term dapagliflozin therapy may exert retinal effects independent of glycemic control, supporting its potential role in early DR modulation. Further studies are warranted to confirm this hypothesis and explore SGLT2i as candidates for retinoprotective pharmacotherapy.\n\n\n### PO—054 Persistence Of Mauriac Syndrome In The 21st Century: Retrospective Study Of Seven Type 1 Diabetes Mellitus Patients\nIntroduction: Mauriac Syndrome (MS) is a rare condition first described in 1930, associated with patients with long-standing type 1 diabetes mellitus (T1DM) and chronically poor glycemic control. Typical manifestations include short stature, delayed puberty, cushingoid facies, hepatomegaly, elevated transaminases, and dyslipidemia. Over the past decades, T1DM management has evolved with the introduction of new insulin formulations, advanced delivery systems, and continuous glucose monitoring technologies. Nevertheless, limited access to these resources in certain populations may still result in the occurrence of MS.\nObjective: Describe the clinical characteristics, disease course, and outcomes of patients diagnosed with Mauriac Syndrome over the past seven years.\nMethods: Retrospective analysis of electronic medical records from T1DM patients followed between 2019 and 2025 who fulfilled clinical criteria for MS, defined as short stature (height Z-score < –2), hepatomegaly, and poor glycemic control (HbA1c > 9%). Demographic, clinical, and laboratory parameters, along with changes observed after treatment intensification with insulin therapy and multidisciplinary team management, were assessed.\nResults: Seven patients were included, with a mean age of 20.4 years (SD 5.3), mean age at T1DM diagnosis of 4 years (SD 3), and mean disease duration of 14.8 years (SD 5.7), predominantly male (85.7%). The mean HbA1c was 12.3% (SD 1.6), with an average of 8.6 diabetic ketoacidosis (DKA) episodes (SD 10.5). All patients presented short stature (mean height Z-score –2.84 ± 0.55) and a mean total daily insulin dose of 1.32 IU/kg/day (SD 0.34), of which 51.2% was basal insulin. Overall, 71% experienced at least two DKA episodes, 57.1% had diabetic retinopathy, and 42.8% had positive microalbuminuria. Following treatment optimization with intensive insulin therapy and multidisciplinary management, 6 out of 7 patients achieved improved glycemic control, with a mean HbA1c reduction of 2.3 percentage points from the first to the last year of follow-up.\nConclusion: Despite significant technological advances in T1DM care, MS persists and should be considered in the differential diagnosis of growth delay and liver abnormalities. Moreover, it is associated with an early increase in acute and chronic complications. Optimized insulin therapy from diagnosis can prevent or reverse MS, underscoring the importance of equitable access to technologies and specialized care.\n\n\n### Schvinger, KR1; Rezende, JCA1; Magalhães, BABM1; Gabbay, MAL1; Dib, SA1\nIntroduction: Mauriac Syndrome (MS) is a rare condition first described in 1930, associated with patients with long-standing type 1 diabetes mellitus (T1DM) and chronically poor glycemic control. Typical manifestations include short stature, delayed puberty, cushingoid facies, hepatomegaly, elevated transaminases, and dyslipidemia. Over the past decades, T1DM management has evolved with the introduction of new insulin formulations, advanced delivery systems, and continuous glucose monitoring technologies. Nevertheless, limited access to these resources in certain populations may still result in the occurrence of MS.\nObjective: Describe the clinical characteristics, disease course, and outcomes of patients diagnosed with Mauriac Syndrome over the past seven years.\nMethods: Retrospective analysis of electronic medical records from T1DM patients followed between 2019 and 2025 who fulfilled clinical criteria for MS, defined as short stature (height Z-score < –2), hepatomegaly, and poor glycemic control (HbA1c > 9%). Demographic, clinical, and laboratory parameters, along with changes observed after treatment intensification with insulin therapy and multidisciplinary team management, were assessed.\nResults: Seven patients were included, with a mean age of 20.4 years (SD 5.3), mean age at T1DM diagnosis of 4 years (SD 3), and mean disease duration of 14.8 years (SD 5.7), predominantly male (85.7%). The mean HbA1c was 12.3% (SD 1.6), with an average of 8.6 diabetic ketoacidosis (DKA) episodes (SD 10.5). All patients presented short stature (mean height Z-score –2.84 ± 0.55) and a mean total daily insulin dose of 1.32 IU/kg/day (SD 0.34), of which 51.2% was basal insulin. Overall, 71% experienced at least two DKA episodes, 57.1% had diabetic retinopathy, and 42.8% had positive microalbuminuria. Following treatment optimization with intensive insulin therapy and multidisciplinary management, 6 out of 7 patients achieved improved glycemic control, with a mean HbA1c reduction of 2.3 percentage points from the first to the last year of follow-up.\nConclusion: Despite significant technological advances in T1DM care, MS persists and should be considered in the differential diagnosis of growth delay and liver abnormalities. Moreover, it is associated with an early increase in acute and chronic complications. Optimized insulin therapy from diagnosis can prevent or reverse MS, underscoring the importance of equitable access to technologies and specialized care.\n\n\n### (1) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: Mauriac Syndrome (MS) is a rare condition first described in 1930, associated with patients with long-standing type 1 diabetes mellitus (T1DM) and chronically poor glycemic control. Typical manifestations include short stature, delayed puberty, cushingoid facies, hepatomegaly, elevated transaminases, and dyslipidemia. Over the past decades, T1DM management has evolved with the introduction of new insulin formulations, advanced delivery systems, and continuous glucose monitoring technologies. Nevertheless, limited access to these resources in certain populations may still result in the occurrence of MS.\nObjective: Describe the clinical characteristics, disease course, and outcomes of patients diagnosed with Mauriac Syndrome over the past seven years.\nMethods: Retrospective analysis of electronic medical records from T1DM patients followed between 2019 and 2025 who fulfilled clinical criteria for MS, defined as short stature (height Z-score < –2), hepatomegaly, and poor glycemic control (HbA1c > 9%). Demographic, clinical, and laboratory parameters, along with changes observed after treatment intensification with insulin therapy and multidisciplinary team management, were assessed.\nResults: Seven patients were included, with a mean age of 20.4 years (SD 5.3), mean age at T1DM diagnosis of 4 years (SD 3), and mean disease duration of 14.8 years (SD 5.7), predominantly male (85.7%). The mean HbA1c was 12.3% (SD 1.6), with an average of 8.6 diabetic ketoacidosis (DKA) episodes (SD 10.5). All patients presented short stature (mean height Z-score –2.84 ± 0.55) and a mean total daily insulin dose of 1.32 IU/kg/day (SD 0.34), of which 51.2% was basal insulin. Overall, 71% experienced at least two DKA episodes, 57.1% had diabetic retinopathy, and 42.8% had positive microalbuminuria. Following treatment optimization with intensive insulin therapy and multidisciplinary management, 6 out of 7 patients achieved improved glycemic control, with a mean HbA1c reduction of 2.3 percentage points from the first to the last year of follow-up.\nConclusion: Despite significant technological advances in T1DM care, MS persists and should be considered in the differential diagnosis of growth delay and liver abnormalities. Moreover, it is associated with an early increase in acute and chronic complications. Optimized insulin therapy from diagnosis can prevent or reverse MS, underscoring the importance of equitable access to technologies and specialized care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—054\nIntroduction: Mauriac Syndrome (MS) is a rare condition first described in 1930, associated with patients with long-standing type 1 diabetes mellitus (T1DM) and chronically poor glycemic control. Typical manifestations include short stature, delayed puberty, cushingoid facies, hepatomegaly, elevated transaminases, and dyslipidemia. Over the past decades, T1DM management has evolved with the introduction of new insulin formulations, advanced delivery systems, and continuous glucose monitoring technologies. Nevertheless, limited access to these resources in certain populations may still result in the occurrence of MS.\nObjective: Describe the clinical characteristics, disease course, and outcomes of patients diagnosed with Mauriac Syndrome over the past seven years.\nMethods: Retrospective analysis of electronic medical records from T1DM patients followed between 2019 and 2025 who fulfilled clinical criteria for MS, defined as short stature (height Z-score < –2), hepatomegaly, and poor glycemic control (HbA1c > 9%). Demographic, clinical, and laboratory parameters, along with changes observed after treatment intensification with insulin therapy and multidisciplinary team management, were assessed.\nResults: Seven patients were included, with a mean age of 20.4 years (SD 5.3), mean age at T1DM diagnosis of 4 years (SD 3), and mean disease duration of 14.8 years (SD 5.7), predominantly male (85.7%). The mean HbA1c was 12.3% (SD 1.6), with an average of 8.6 diabetic ketoacidosis (DKA) episodes (SD 10.5). All patients presented short stature (mean height Z-score –2.84 ± 0.55) and a mean total daily insulin dose of 1.32 IU/kg/day (SD 0.34), of which 51.2% was basal insulin. Overall, 71% experienced at least two DKA episodes, 57.1% had diabetic retinopathy, and 42.8% had positive microalbuminuria. Following treatment optimization with intensive insulin therapy and multidisciplinary management, 6 out of 7 patients achieved improved glycemic control, with a mean HbA1c reduction of 2.3 percentage points from the first to the last year of follow-up.\nConclusion: Despite significant technological advances in T1DM care, MS persists and should be considered in the differential diagnosis of growth delay and liver abnormalities. Moreover, it is associated with an early increase in acute and chronic complications. Optimized insulin therapy from diagnosis can prevent or reverse MS, underscoring the importance of equitable access to technologies and specialized care.\n\n\n### PO—057 Teleophthalmology For Screening Diabetic Retinopathy In Primary Health Care In A City In The State Of São Paulo: A Cross-sectional Study\nIntroduction: Diabetic retinopathy is one of the most common microvascular complications of diabetes, and its prevalence has increased significantly, primarily due to increased life expectancy. Screening in primary care is essential to identify and treat the disease promptly. In this scenario, teleophthalmology has proven to be a resolute, accessible, and cost-effective model for reducing irreversible ocular damage.\nObjective: To estimate the prevalence of diabetic retinopathy among individuals taking insulin who attend primary healthcare in the municipality of Jardinópolis, São Paulo state, Brazil.\nMethods: Cross-sectional study with a probabilistic sample of 152 participants. Data collection was carried out through interviews, laboratory blood and urine tests, and fundoscopy with a portable retinal camera attached to a device connected to a smartphone. The captured images were automatically analyzed using deep learning algorithms to classify retinal changes and diabetic retinopathy.\nResults: The prevalence of diabetic retinopathy was estimated to be 28.3% (95%CI 21.1–35.4), with most of the cases corresponding to mild non-proliferative diabetic retinopathy (65.1%). No association was found between diabetic retinopathy and the variables investigated. Concordance test between self-reported and diagnosed diabetic retinopathy showed a Kappa coefficient of 0.30 (95%CI, 0.13 – 0.47), in which 16.5% of the participants reported having no diabetic retinopathy despite being diagnosed as having it. However, 9.9% of the participants self-reporting having diabetic retinopathy were not diagnosed with it.\nConclusion: The prevalence of diabetic retinopathy is within the national range. The lack of knowledge on the diagnosis of diabetic retinopathy and aspects related to such a complication of diabetes was found to be worrying. Therefore, one highlights the importance of primary healthcare programs in promoting comprehensive care to diabetic individuals, including ocular health.\n\n\n### Assis, LLA1; Malerbi, FK2; Chiaroti, R1; Consoli, LMFV1; Motozo, VPP1; Junior, FB1; Oliveira, REM1,3\nIntroduction: Diabetic retinopathy is one of the most common microvascular complications of diabetes, and its prevalence has increased significantly, primarily due to increased life expectancy. Screening in primary care is essential to identify and treat the disease promptly. In this scenario, teleophthalmology has proven to be a resolute, accessible, and cost-effective model for reducing irreversible ocular damage.\nObjective: To estimate the prevalence of diabetic retinopathy among individuals taking insulin who attend primary healthcare in the municipality of Jardinópolis, São Paulo state, Brazil.\nMethods: Cross-sectional study with a probabilistic sample of 152 participants. Data collection was carried out through interviews, laboratory blood and urine tests, and fundoscopy with a portable retinal camera attached to a device connected to a smartphone. The captured images were automatically analyzed using deep learning algorithms to classify retinal changes and diabetic retinopathy.\nResults: The prevalence of diabetic retinopathy was estimated to be 28.3% (95%CI 21.1–35.4), with most of the cases corresponding to mild non-proliferative diabetic retinopathy (65.1%). No association was found between diabetic retinopathy and the variables investigated. Concordance test between self-reported and diagnosed diabetic retinopathy showed a Kappa coefficient of 0.30 (95%CI, 0.13 – 0.47), in which 16.5% of the participants reported having no diabetic retinopathy despite being diagnosed as having it. However, 9.9% of the participants self-reporting having diabetic retinopathy were not diagnosed with it.\nConclusion: The prevalence of diabetic retinopathy is within the national range. The lack of knowledge on the diagnosis of diabetic retinopathy and aspects related to such a complication of diabetes was found to be worrying. Therefore, one highlights the importance of primary healthcare programs in promoting comprehensive care to diabetic individuals, including ocular health.\n\n\n### (1) Faculdade de Medicina de Ribeirão Preto da Universidade de São Paulo, Ribeirão Preto, SP, Brasil; (2). Departamento de Oftalmologia e Ciências Visuais da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Faculdade de Medicina de Ribeirão Preto da Universidade de São Paulo e Universidade de Brasilia, DF, Brasil\nIntroduction: Diabetic retinopathy is one of the most common microvascular complications of diabetes, and its prevalence has increased significantly, primarily due to increased life expectancy. Screening in primary care is essential to identify and treat the disease promptly. In this scenario, teleophthalmology has proven to be a resolute, accessible, and cost-effective model for reducing irreversible ocular damage.\nObjective: To estimate the prevalence of diabetic retinopathy among individuals taking insulin who attend primary healthcare in the municipality of Jardinópolis, São Paulo state, Brazil.\nMethods: Cross-sectional study with a probabilistic sample of 152 participants. Data collection was carried out through interviews, laboratory blood and urine tests, and fundoscopy with a portable retinal camera attached to a device connected to a smartphone. The captured images were automatically analyzed using deep learning algorithms to classify retinal changes and diabetic retinopathy.\nResults: The prevalence of diabetic retinopathy was estimated to be 28.3% (95%CI 21.1–35.4), with most of the cases corresponding to mild non-proliferative diabetic retinopathy (65.1%). No association was found between diabetic retinopathy and the variables investigated. Concordance test between self-reported and diagnosed diabetic retinopathy showed a Kappa coefficient of 0.30 (95%CI, 0.13 – 0.47), in which 16.5% of the participants reported having no diabetic retinopathy despite being diagnosed as having it. However, 9.9% of the participants self-reporting having diabetic retinopathy were not diagnosed with it.\nConclusion: The prevalence of diabetic retinopathy is within the national range. The lack of knowledge on the diagnosis of diabetic retinopathy and aspects related to such a complication of diabetes was found to be worrying. Therefore, one highlights the importance of primary healthcare programs in promoting comprehensive care to diabetic individuals, including ocular health.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—057\nIntroduction: Diabetic retinopathy is one of the most common microvascular complications of diabetes, and its prevalence has increased significantly, primarily due to increased life expectancy. Screening in primary care is essential to identify and treat the disease promptly. In this scenario, teleophthalmology has proven to be a resolute, accessible, and cost-effective model for reducing irreversible ocular damage.\nObjective: To estimate the prevalence of diabetic retinopathy among individuals taking insulin who attend primary healthcare in the municipality of Jardinópolis, São Paulo state, Brazil.\nMethods: Cross-sectional study with a probabilistic sample of 152 participants. Data collection was carried out through interviews, laboratory blood and urine tests, and fundoscopy with a portable retinal camera attached to a device connected to a smartphone. The captured images were automatically analyzed using deep learning algorithms to classify retinal changes and diabetic retinopathy.\nResults: The prevalence of diabetic retinopathy was estimated to be 28.3% (95%CI 21.1–35.4), with most of the cases corresponding to mild non-proliferative diabetic retinopathy (65.1%). No association was found between diabetic retinopathy and the variables investigated. Concordance test between self-reported and diagnosed diabetic retinopathy showed a Kappa coefficient of 0.30 (95%CI, 0.13 – 0.47), in which 16.5% of the participants reported having no diabetic retinopathy despite being diagnosed as having it. However, 9.9% of the participants self-reporting having diabetic retinopathy were not diagnosed with it.\nConclusion: The prevalence of diabetic retinopathy is within the national range. The lack of knowledge on the diagnosis of diabetic retinopathy and aspects related to such a complication of diabetes was found to be worrying. Therefore, one highlights the importance of primary healthcare programs in promoting comprehensive care to diabetic individuals, including ocular health.\n\n\n### PO—059 The G Allele Of The Mmp9 Rs17576 Polymorphism Is Associated With A Protective Effect Against Microvascular Complications In Type 2 Diabetes Mellitus Patients\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase that remodels the extracellular matrix, alters basement membranes, and participates in processes such as angiogenesis and inflammation in diabetes mellitus. Hyperglycemia-induced oxidative stress and inflammation increase MMP-9 levels. Diabetic retinopathy (DR) and diabetic kidney disease (DKD) are influenced by genetic factors, including MMP9 variants. Such polymorphisms may drive inflammation, structural kidney changes, and contribute to DR and DKD development.\nObjective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM complications.\nMethods: This case–control study was conducted as follows. For DKD, 590 individuals were included and divided into two groups: 413 patients with T2DM and severe DKD, and 177 participants with more than 10 years of T2DM and no history of DKD. For DR, 555 individuals were included and divided into two groups: 369 patients with T2DM and DR, and 186 participants with more than 10 years of T2DM and no history of DR. The study was approved by the Research Ethics Committee of HCPA (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR.\nResults: The genotypic frequencies of rs17576 A/G polymorphism in the MMP9 gene were in Hardy–Weinberg equilibrium (p > 0.05) in the control group. In DKD, the frequency of the G/G genotype was 10.7% in patients with T2DM and severe DKD and 14.1% in the control group (p = 0.003). For DR, the frequency of the G/G genotype was 10.8% in patients with T2DM and DR, and 19.4% in the control group (p = 0.017). In the recessive inheritance model, there was a 64% protection against the development of DR (OR [95% CI] = 0.358 [0.960 – 1.205], p = 0.001), which remained significant after adjustment for sex, ethnicity, glycated hemoglobin, and arterial hypertension.\nConclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against the development of DKD and DR in patients with T2DM; however, further studies in other populations are needed to confirm this finding.\n\n\n### Brondani, LA1; Favieiro, JP1; Assmann, MS1; Dieter, C1; Crispim, D1\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase that remodels the extracellular matrix, alters basement membranes, and participates in processes such as angiogenesis and inflammation in diabetes mellitus. Hyperglycemia-induced oxidative stress and inflammation increase MMP-9 levels. Diabetic retinopathy (DR) and diabetic kidney disease (DKD) are influenced by genetic factors, including MMP9 variants. Such polymorphisms may drive inflammation, structural kidney changes, and contribute to DR and DKD development.\nObjective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM complications.\nMethods: This case–control study was conducted as follows. For DKD, 590 individuals were included and divided into two groups: 413 patients with T2DM and severe DKD, and 177 participants with more than 10 years of T2DM and no history of DKD. For DR, 555 individuals were included and divided into two groups: 369 patients with T2DM and DR, and 186 participants with more than 10 years of T2DM and no history of DR. The study was approved by the Research Ethics Committee of HCPA (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR.\nResults: The genotypic frequencies of rs17576 A/G polymorphism in the MMP9 gene were in Hardy–Weinberg equilibrium (p > 0.05) in the control group. In DKD, the frequency of the G/G genotype was 10.7% in patients with T2DM and severe DKD and 14.1% in the control group (p = 0.003). For DR, the frequency of the G/G genotype was 10.8% in patients with T2DM and DR, and 19.4% in the control group (p = 0.017). In the recessive inheritance model, there was a 64% protection against the development of DR (OR [95% CI] = 0.358 [0.960 – 1.205], p = 0.001), which remained significant after adjustment for sex, ethnicity, glycated hemoglobin, and arterial hypertension.\nConclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against the development of DKD and DR in patients with T2DM; however, further studies in other populations are needed to confirm this finding.\n\n\n### (1) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase that remodels the extracellular matrix, alters basement membranes, and participates in processes such as angiogenesis and inflammation in diabetes mellitus. Hyperglycemia-induced oxidative stress and inflammation increase MMP-9 levels. Diabetic retinopathy (DR) and diabetic kidney disease (DKD) are influenced by genetic factors, including MMP9 variants. Such polymorphisms may drive inflammation, structural kidney changes, and contribute to DR and DKD development.\nObjective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM complications.\nMethods: This case–control study was conducted as follows. For DKD, 590 individuals were included and divided into two groups: 413 patients with T2DM and severe DKD, and 177 participants with more than 10 years of T2DM and no history of DKD. For DR, 555 individuals were included and divided into two groups: 369 patients with T2DM and DR, and 186 participants with more than 10 years of T2DM and no history of DR. The study was approved by the Research Ethics Committee of HCPA (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR.\nResults: The genotypic frequencies of rs17576 A/G polymorphism in the MMP9 gene were in Hardy–Weinberg equilibrium (p > 0.05) in the control group. In DKD, the frequency of the G/G genotype was 10.7% in patients with T2DM and severe DKD and 14.1% in the control group (p = 0.003). For DR, the frequency of the G/G genotype was 10.8% in patients with T2DM and DR, and 19.4% in the control group (p = 0.017). In the recessive inheritance model, there was a 64% protection against the development of DR (OR [95% CI] = 0.358 [0.960 – 1.205], p = 0.001), which remained significant after adjustment for sex, ethnicity, glycated hemoglobin, and arterial hypertension.\nConclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against the development of DKD and DR in patients with T2DM; however, further studies in other populations are needed to confirm this finding.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—059\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase that remodels the extracellular matrix, alters basement membranes, and participates in processes such as angiogenesis and inflammation in diabetes mellitus. Hyperglycemia-induced oxidative stress and inflammation increase MMP-9 levels. Diabetic retinopathy (DR) and diabetic kidney disease (DKD) are influenced by genetic factors, including MMP9 variants. Such polymorphisms may drive inflammation, structural kidney changes, and contribute to DR and DKD development.\nObjective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM complications.\nMethods: This case–control study was conducted as follows. For DKD, 590 individuals were included and divided into two groups: 413 patients with T2DM and severe DKD, and 177 participants with more than 10 years of T2DM and no history of DKD. For DR, 555 individuals were included and divided into two groups: 369 patients with T2DM and DR, and 186 participants with more than 10 years of T2DM and no history of DR. The study was approved by the Research Ethics Committee of HCPA (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR.\nResults: The genotypic frequencies of rs17576 A/G polymorphism in the MMP9 gene were in Hardy–Weinberg equilibrium (p > 0.05) in the control group. In DKD, the frequency of the G/G genotype was 10.7% in patients with T2DM and severe DKD and 14.1% in the control group (p = 0.003). For DR, the frequency of the G/G genotype was 10.8% in patients with T2DM and DR, and 19.4% in the control group (p = 0.017). In the recessive inheritance model, there was a 64% protection against the development of DR (OR [95% CI] = 0.358 [0.960 – 1.205], p = 0.001), which remained significant after adjustment for sex, ethnicity, glycated hemoglobin, and arterial hypertension.\nConclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against the development of DKD and DR in patients with T2DM; however, further studies in other populations are needed to confirm this finding.\n\n\n### PO—060 The Prevalence Of Cognitive Decline In Individuals With Type 2 Diabetes Mellitus Followed In Primary Health Care: Association With Other Complications\nIntroduction: Type 2 diabetes mellitus (T2DM) is a prevalent chronic disease associated with multiple microvascular and microvascular complications, impacting morbidity and mortality in this population. Diabetic retinopathy, diabetic kidney disease, diabetic peripheral neuropathy, cardiovascular autonomic neuropathy, and diabetic encephalopathy, which increases the risk of cognitive decline, are among these diabetic complications. There is a scarcity of epidemiological data on the prevalence ofdiabetic complications and the presence of cognitive decline in T2DM in primary health care. Although the investigation of diabetes and its complications is among the main indicators of the Ministry of Health and state and municipal health protocols, they are poorly investigated in primary health care.\nObjective: The present study proposes to identify cognitive decline and evaluate their correlation with the prevalence of chronic complications of DM2 in individuals monitored in primary health care, in Basic Health Units in São Paulo—SP, Vitória da Conquista—BA and Campos do Jordão—SP.\nMethods: The evaluation of the 4 diabetic complications and the cognitive decline was performed at time (0) and is being performed 2 years later.\nResults: This is a multicenter study in which 1,727 individuals with DM2 were treated between July 2023 and June 2025, 63% women, 49.1% white ethnicity (self-reported), diabetes time of 10 ± 8.91 (mean and standard deviation) years, glycemic control (HbA1c) performed annually in only 67% at the beginning of the study increased to 99.28%, while the performance of microalbinuria control to detect diabetic kidney disease increased from 16.6% to 95.28%. Regarding diabetic complications: 11.2% Diabetic retinopathy (using a portable fundus camera), 14.41% diabetic kidney disease (using CKD-EP), 26.34% diabetic peripheral neuropathy (neuropathic symptom score and Semmes-Weintein monofilament), 9.66% cardiovascular autonomic neuropathy (spectral analysis and Ewing tests) and 11.75% cognitive decline (using Minimental). Negative binomial regression (MMSE errors) was analyzed to verify the correlation of demographic and clinical characteristics with cognitive decline in the population of São Paulo—SP.\nConclusion: The high rates of complications observed in primary care make it extremely important to identify under-researched diabetic complications and develop strategies for their management, promoting health and preventing them through health education for professionals and patients.\n\n\n### Matos, MR1; Carvalho, JX2; Borges, MLP3; Novaes, F4; Malerbi, F4; Lannes, M5; Oba-Shinjo, SM1; Nohmi, RL1; Guedes, BF1; Camargo, MVOZ1; Brucki, SMD1; Correa-Giannella, ML1; Marie, SKN1\nIntroduction: Type 2 diabetes mellitus (T2DM) is a prevalent chronic disease associated with multiple microvascular and microvascular complications, impacting morbidity and mortality in this population. Diabetic retinopathy, diabetic kidney disease, diabetic peripheral neuropathy, cardiovascular autonomic neuropathy, and diabetic encephalopathy, which increases the risk of cognitive decline, are among these diabetic complications. There is a scarcity of epidemiological data on the prevalence ofdiabetic complications and the presence of cognitive decline in T2DM in primary health care. Although the investigation of diabetes and its complications is among the main indicators of the Ministry of Health and state and municipal health protocols, they are poorly investigated in primary health care.\nObjective: The present study proposes to identify cognitive decline and evaluate their correlation with the prevalence of chronic complications of DM2 in individuals monitored in primary health care, in Basic Health Units in São Paulo—SP, Vitória da Conquista—BA and Campos do Jordão—SP.\nMethods: The evaluation of the 4 diabetic complications and the cognitive decline was performed at time (0) and is being performed 2 years later.\nResults: This is a multicenter study in which 1,727 individuals with DM2 were treated between July 2023 and June 2025, 63% women, 49.1% white ethnicity (self-reported), diabetes time of 10 ± 8.91 (mean and standard deviation) years, glycemic control (HbA1c) performed annually in only 67% at the beginning of the study increased to 99.28%, while the performance of microalbinuria control to detect diabetic kidney disease increased from 16.6% to 95.28%. Regarding diabetic complications: 11.2% Diabetic retinopathy (using a portable fundus camera), 14.41% diabetic kidney disease (using CKD-EP), 26.34% diabetic peripheral neuropathy (neuropathic symptom score and Semmes-Weintein monofilament), 9.66% cardiovascular autonomic neuropathy (spectral analysis and Ewing tests) and 11.75% cognitive decline (using Minimental). Negative binomial regression (MMSE errors) was analyzed to verify the correlation of demographic and clinical characteristics with cognitive decline in the population of São Paulo—SP.\nConclusion: The high rates of complications observed in primary care make it extremely important to identify under-researched diabetic complications and develop strategies for their management, promoting health and preventing them through health education for professionals and patients.\n\n\n### (1) Faculdade De Medicina Da Universidade De São Paulo, São Paulo, SP, Brasil; (2) Universidade Nove De Julho, São Paulo, SP, Brasil; (3) Campos Do Jordão, São Paulo, SP, Brasil; (4) Universidade Federal De São Paulo, São Paulo, SP, Brasil; (5) Campos Do Jordão, Campos Do Jordão, SP- Brasil\nIntroduction: Type 2 diabetes mellitus (T2DM) is a prevalent chronic disease associated with multiple microvascular and microvascular complications, impacting morbidity and mortality in this population. Diabetic retinopathy, diabetic kidney disease, diabetic peripheral neuropathy, cardiovascular autonomic neuropathy, and diabetic encephalopathy, which increases the risk of cognitive decline, are among these diabetic complications. There is a scarcity of epidemiological data on the prevalence ofdiabetic complications and the presence of cognitive decline in T2DM in primary health care. Although the investigation of diabetes and its complications is among the main indicators of the Ministry of Health and state and municipal health protocols, they are poorly investigated in primary health care.\nObjective: The present study proposes to identify cognitive decline and evaluate their correlation with the prevalence of chronic complications of DM2 in individuals monitored in primary health care, in Basic Health Units in São Paulo—SP, Vitória da Conquista—BA and Campos do Jordão—SP.\nMethods: The evaluation of the 4 diabetic complications and the cognitive decline was performed at time (0) and is being performed 2 years later.\nResults: This is a multicenter study in which 1,727 individuals with DM2 were treated between July 2023 and June 2025, 63% women, 49.1% white ethnicity (self-reported), diabetes time of 10 ± 8.91 (mean and standard deviation) years, glycemic control (HbA1c) performed annually in only 67% at the beginning of the study increased to 99.28%, while the performance of microalbinuria control to detect diabetic kidney disease increased from 16.6% to 95.28%. Regarding diabetic complications: 11.2% Diabetic retinopathy (using a portable fundus camera), 14.41% diabetic kidney disease (using CKD-EP), 26.34% diabetic peripheral neuropathy (neuropathic symptom score and Semmes-Weintein monofilament), 9.66% cardiovascular autonomic neuropathy (spectral analysis and Ewing tests) and 11.75% cognitive decline (using Minimental). Negative binomial regression (MMSE errors) was analyzed to verify the correlation of demographic and clinical characteristics with cognitive decline in the population of São Paulo—SP.\nConclusion: The high rates of complications observed in primary care make it extremely important to identify under-researched diabetic complications and develop strategies for their management, promoting health and preventing them through health education for professionals and patients.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—060\nIntroduction: Type 2 diabetes mellitus (T2DM) is a prevalent chronic disease associated with multiple microvascular and microvascular complications, impacting morbidity and mortality in this population. Diabetic retinopathy, diabetic kidney disease, diabetic peripheral neuropathy, cardiovascular autonomic neuropathy, and diabetic encephalopathy, which increases the risk of cognitive decline, are among these diabetic complications. There is a scarcity of epidemiological data on the prevalence ofdiabetic complications and the presence of cognitive decline in T2DM in primary health care. Although the investigation of diabetes and its complications is among the main indicators of the Ministry of Health and state and municipal health protocols, they are poorly investigated in primary health care.\nObjective: The present study proposes to identify cognitive decline and evaluate their correlation with the prevalence of chronic complications of DM2 in individuals monitored in primary health care, in Basic Health Units in São Paulo—SP, Vitória da Conquista—BA and Campos do Jordão—SP.\nMethods: The evaluation of the 4 diabetic complications and the cognitive decline was performed at time (0) and is being performed 2 years later.\nResults: This is a multicenter study in which 1,727 individuals with DM2 were treated between July 2023 and June 2025, 63% women, 49.1% white ethnicity (self-reported), diabetes time of 10 ± 8.91 (mean and standard deviation) years, glycemic control (HbA1c) performed annually in only 67% at the beginning of the study increased to 99.28%, while the performance of microalbinuria control to detect diabetic kidney disease increased from 16.6% to 95.28%. Regarding diabetic complications: 11.2% Diabetic retinopathy (using a portable fundus camera), 14.41% diabetic kidney disease (using CKD-EP), 26.34% diabetic peripheral neuropathy (neuropathic symptom score and Semmes-Weintein monofilament), 9.66% cardiovascular autonomic neuropathy (spectral analysis and Ewing tests) and 11.75% cognitive decline (using Minimental). Negative binomial regression (MMSE errors) was analyzed to verify the correlation of demographic and clinical characteristics with cognitive decline in the population of São Paulo—SP.\nConclusion: The high rates of complications observed in primary care make it extremely important to identify under-researched diabetic complications and develop strategies for their management, promoting health and preventing them through health education for professionals and patients.\n\n\n### PO—062 Trends In Hospitalizations For Complicated Diabetic Foot In Espírito Santo Between 2020 And 2024: A Retrospective Analysis Of Hospital Data\nIntroduction: Complicated diabetic foot represents one of the most severe complications of diabetes mellitus, characterized by ulceration, infection, and/or destruction of deep tissues. This condition is responsible for significant morbidity and mortality and constitutes one of the leading causes of non-traumatic lower limb amputation worldwide. It is estimated that up to 25% of individuals with diabetes will develop foot ulcers during their lifetime, and approximately half of these cases result in hospitalization.\nObjective: This study aims to describe the trends in hospitalizations for the treatment of complicated diabetic foot in the state of Espírito Santo between 2020 and 2024.\nMethods: This is an ecological, descriptive, and retrospective study, based on secondary data from the Brazilian Unified Health System Hospital Information System (SIH/SUS). The variable analyzed was the annual number of hospitalizations for complicated diabetic foot treatment, considering hospitalizations in Espírito Santo from 2020 to 2024.\nResults: A total of 2,425 hospitalizations were recorded, with 291 in 2020, 448 in 2021, 616 in 2022, 639 in 2023, and 431 in 2024. There was a progressive increase from 2020 to 2023, totaling a growth of 119.6%, followed by a reduction of 32.6% in 2024. Previous studies suggest that the increase in hospitalizations may be related to failures in screening and early management of foot lesions, while the subsequent decline may reflect the adoption of preventive measures, changes in care pathways, or administrative factors related to data recording.\nConclusion: During the analyzed period, there was a trend of increasing hospitalizations for complicated diabetic foot until 2023, with a decrease in the final year of the series. The study exclusively used secondary data, without clinical or etiological detail, which limits the ability to establish direct causal relationships. Nonetheless, the results reinforce the need to strengthen prevention strategies, healthcare team training, and regular monitoring of diabetic patients’ feet, aiming to reduce severe complications, amputations, and prolonged hospital stays.\n\n\n### Marchiori, FW1; Dias, HAC1\nIntroduction: Complicated diabetic foot represents one of the most severe complications of diabetes mellitus, characterized by ulceration, infection, and/or destruction of deep tissues. This condition is responsible for significant morbidity and mortality and constitutes one of the leading causes of non-traumatic lower limb amputation worldwide. It is estimated that up to 25% of individuals with diabetes will develop foot ulcers during their lifetime, and approximately half of these cases result in hospitalization.\nObjective: This study aims to describe the trends in hospitalizations for the treatment of complicated diabetic foot in the state of Espírito Santo between 2020 and 2024.\nMethods: This is an ecological, descriptive, and retrospective study, based on secondary data from the Brazilian Unified Health System Hospital Information System (SIH/SUS). The variable analyzed was the annual number of hospitalizations for complicated diabetic foot treatment, considering hospitalizations in Espírito Santo from 2020 to 2024.\nResults: A total of 2,425 hospitalizations were recorded, with 291 in 2020, 448 in 2021, 616 in 2022, 639 in 2023, and 431 in 2024. There was a progressive increase from 2020 to 2023, totaling a growth of 119.6%, followed by a reduction of 32.6% in 2024. Previous studies suggest that the increase in hospitalizations may be related to failures in screening and early management of foot lesions, while the subsequent decline may reflect the adoption of preventive measures, changes in care pathways, or administrative factors related to data recording.\nConclusion: During the analyzed period, there was a trend of increasing hospitalizations for complicated diabetic foot until 2023, with a decrease in the final year of the series. The study exclusively used secondary data, without clinical or etiological detail, which limits the ability to establish direct causal relationships. Nonetheless, the results reinforce the need to strengthen prevention strategies, healthcare team training, and regular monitoring of diabetic patients’ feet, aiming to reduce severe complications, amputations, and prolonged hospital stays.\n\n\n### (1) Faculdade Brasileira de Cachoeiro, Cachoeiro de Itapemirim, ES, Brasil\nIntroduction: Complicated diabetic foot represents one of the most severe complications of diabetes mellitus, characterized by ulceration, infection, and/or destruction of deep tissues. This condition is responsible for significant morbidity and mortality and constitutes one of the leading causes of non-traumatic lower limb amputation worldwide. It is estimated that up to 25% of individuals with diabetes will develop foot ulcers during their lifetime, and approximately half of these cases result in hospitalization.\nObjective: This study aims to describe the trends in hospitalizations for the treatment of complicated diabetic foot in the state of Espírito Santo between 2020 and 2024.\nMethods: This is an ecological, descriptive, and retrospective study, based on secondary data from the Brazilian Unified Health System Hospital Information System (SIH/SUS). The variable analyzed was the annual number of hospitalizations for complicated diabetic foot treatment, considering hospitalizations in Espírito Santo from 2020 to 2024.\nResults: A total of 2,425 hospitalizations were recorded, with 291 in 2020, 448 in 2021, 616 in 2022, 639 in 2023, and 431 in 2024. There was a progressive increase from 2020 to 2023, totaling a growth of 119.6%, followed by a reduction of 32.6% in 2024. Previous studies suggest that the increase in hospitalizations may be related to failures in screening and early management of foot lesions, while the subsequent decline may reflect the adoption of preventive measures, changes in care pathways, or administrative factors related to data recording.\nConclusion: During the analyzed period, there was a trend of increasing hospitalizations for complicated diabetic foot until 2023, with a decrease in the final year of the series. The study exclusively used secondary data, without clinical or etiological detail, which limits the ability to establish direct causal relationships. Nonetheless, the results reinforce the need to strengthen prevention strategies, healthcare team training, and regular monitoring of diabetic patients’ feet, aiming to reduce severe complications, amputations, and prolonged hospital stays.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—062\nIntroduction: Complicated diabetic foot represents one of the most severe complications of diabetes mellitus, characterized by ulceration, infection, and/or destruction of deep tissues. This condition is responsible for significant morbidity and mortality and constitutes one of the leading causes of non-traumatic lower limb amputation worldwide. It is estimated that up to 25% of individuals with diabetes will develop foot ulcers during their lifetime, and approximately half of these cases result in hospitalization.\nObjective: This study aims to describe the trends in hospitalizations for the treatment of complicated diabetic foot in the state of Espírito Santo between 2020 and 2024.\nMethods: This is an ecological, descriptive, and retrospective study, based on secondary data from the Brazilian Unified Health System Hospital Information System (SIH/SUS). The variable analyzed was the annual number of hospitalizations for complicated diabetic foot treatment, considering hospitalizations in Espírito Santo from 2020 to 2024.\nResults: A total of 2,425 hospitalizations were recorded, with 291 in 2020, 448 in 2021, 616 in 2022, 639 in 2023, and 431 in 2024. There was a progressive increase from 2020 to 2023, totaling a growth of 119.6%, followed by a reduction of 32.6% in 2024. Previous studies suggest that the increase in hospitalizations may be related to failures in screening and early management of foot lesions, while the subsequent decline may reflect the adoption of preventive measures, changes in care pathways, or administrative factors related to data recording.\nConclusion: During the analyzed period, there was a trend of increasing hospitalizations for complicated diabetic foot until 2023, with a decrease in the final year of the series. The study exclusively used secondary data, without clinical or etiological detail, which limits the ability to establish direct causal relationships. Nonetheless, the results reinforce the need to strengthen prevention strategies, healthcare team training, and regular monitoring of diabetic patients’ feet, aiming to reduce severe complications, amputations, and prolonged hospital stays.\n\n\n### PO—063 The Beneficial Impact Of Curcuma Longa On Endothelial Glycocalyx, Matrix Metalloproteinases, And Redox-sensitive Biomarkers In Type 2 Diabetes Mellitus\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is characterized by chronic hyperglycemia, insulin resistance, and a persistent state of inflammation and oxidative stress, which contribute significantly to microvascular complications. The endothelial glycocalyx (EG), a crucial protective layer on the vascular endothelium, is often compromised in T2DM, leading to increased vascular permeability and dysfunction. Curcuma longa and its active compound, curcumin, possess well-documented anti-inflammatory and antioxidant properties.\nObjective: To evaluate the specific beneficial effects of Curcuma longa extract (CLE) supplementation on plasma biomarkers related to endothelial glycocalyx integrity, matrix metalloproteinase activity, and key redox-sensitive and inflammatory signaling pathways in adult patients with T2DM.\nMethods: This is a randomized controlled study involving 76 adult participants with T2DM, randomized to receive either CLE supplementation (1,200 mg/day) (n = 46) or placebo (n = 30) for three months. Plasma levels of hyaluronic acid (HA), syndecan-1 (SDC1), syndecan-4 (SDC4), matrix metalloproteinase-2 (MMP-2), matrix metalloproteinase-9 (MMP-9), thioredoxin-1 (Trx1), thioredoxin-binding protein-2 (TBP2), sirtuin-1 (SIRT1), nuclear factor erythroid 2–related factor 2 (Nrf2), and the p65 subunit of nuclear factor kappa B (NF-κB p65). Baseline and post-intervention (3 months) levels were evaluated.\nResults: After three months of intervention, the CLE group demonstrated significant reductions in plasma levels of SDC1, SDC4, and HA, indicating improved endothelial glycocalyx integrity. These improvements were accompanied by significantly lower circulating levels of both MMP-2 and MMP-9 in the CLE group. Furthermore, CLE supplementation led to a significant increase in plasma Trx1, SIRT1, and Nrf2 levels, and a significant reduction in TBP2 and NF-κB p65 subunit concentrations.\nConclusion: The findings suggest that CLE supplementation modulates critical plasma biomarkers associated with endothelial glycocalyx degradation, matrix remodeling, and cellular redox and inflammatory signaling in adult patients with T2DM. This important impact, particularly the restoration of endothelial integrity and the activation of endogenous antioxidant and anti-inflammatory pathways, underscores the promising role of Curcuma longa as an adjunctive therapeutic agent to reduce vascular complications and improve overall metabolic health in T2DM.\n\n\n### Viudes, DR1; Mateus, AR2; Silva, CA2; Franco, MC3\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is characterized by chronic hyperglycemia, insulin resistance, and a persistent state of inflammation and oxidative stress, which contribute significantly to microvascular complications. The endothelial glycocalyx (EG), a crucial protective layer on the vascular endothelium, is often compromised in T2DM, leading to increased vascular permeability and dysfunction. Curcuma longa and its active compound, curcumin, possess well-documented anti-inflammatory and antioxidant properties.\nObjective: To evaluate the specific beneficial effects of Curcuma longa extract (CLE) supplementation on plasma biomarkers related to endothelial glycocalyx integrity, matrix metalloproteinase activity, and key redox-sensitive and inflammatory signaling pathways in adult patients with T2DM.\nMethods: This is a randomized controlled study involving 76 adult participants with T2DM, randomized to receive either CLE supplementation (1,200 mg/day) (n = 46) or placebo (n = 30) for three months. Plasma levels of hyaluronic acid (HA), syndecan-1 (SDC1), syndecan-4 (SDC4), matrix metalloproteinase-2 (MMP-2), matrix metalloproteinase-9 (MMP-9), thioredoxin-1 (Trx1), thioredoxin-binding protein-2 (TBP2), sirtuin-1 (SIRT1), nuclear factor erythroid 2–related factor 2 (Nrf2), and the p65 subunit of nuclear factor kappa B (NF-κB p65). Baseline and post-intervention (3 months) levels were evaluated.\nResults: After three months of intervention, the CLE group demonstrated significant reductions in plasma levels of SDC1, SDC4, and HA, indicating improved endothelial glycocalyx integrity. These improvements were accompanied by significantly lower circulating levels of both MMP-2 and MMP-9 in the CLE group. Furthermore, CLE supplementation led to a significant increase in plasma Trx1, SIRT1, and Nrf2 levels, and a significant reduction in TBP2 and NF-κB p65 subunit concentrations.\nConclusion: The findings suggest that CLE supplementation modulates critical plasma biomarkers associated with endothelial glycocalyx degradation, matrix remodeling, and cellular redox and inflammatory signaling in adult patients with T2DM. This important impact, particularly the restoration of endothelial integrity and the activation of endogenous antioxidant and anti-inflammatory pathways, underscores the promising role of Curcuma longa as an adjunctive therapeutic agent to reduce vascular complications and improve overall metabolic health in T2DM.\n\n\n### (1) Universidade Federal de São Paulo, Programa de Pós graduação em Medicina Translacional, São Paulo, SP, Brasil; (2) Universidade Estadual Paulista, Araçatuba, SP, Brasil; (3) Universidade Federal de São Paulo, Departamento de Fisiologia, São Paulo, SP, Brasil\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is characterized by chronic hyperglycemia, insulin resistance, and a persistent state of inflammation and oxidative stress, which contribute significantly to microvascular complications. The endothelial glycocalyx (EG), a crucial protective layer on the vascular endothelium, is often compromised in T2DM, leading to increased vascular permeability and dysfunction. Curcuma longa and its active compound, curcumin, possess well-documented anti-inflammatory and antioxidant properties.\nObjective: To evaluate the specific beneficial effects of Curcuma longa extract (CLE) supplementation on plasma biomarkers related to endothelial glycocalyx integrity, matrix metalloproteinase activity, and key redox-sensitive and inflammatory signaling pathways in adult patients with T2DM.\nMethods: This is a randomized controlled study involving 76 adult participants with T2DM, randomized to receive either CLE supplementation (1,200 mg/day) (n = 46) or placebo (n = 30) for three months. Plasma levels of hyaluronic acid (HA), syndecan-1 (SDC1), syndecan-4 (SDC4), matrix metalloproteinase-2 (MMP-2), matrix metalloproteinase-9 (MMP-9), thioredoxin-1 (Trx1), thioredoxin-binding protein-2 (TBP2), sirtuin-1 (SIRT1), nuclear factor erythroid 2–related factor 2 (Nrf2), and the p65 subunit of nuclear factor kappa B (NF-κB p65). Baseline and post-intervention (3 months) levels were evaluated.\nResults: After three months of intervention, the CLE group demonstrated significant reductions in plasma levels of SDC1, SDC4, and HA, indicating improved endothelial glycocalyx integrity. These improvements were accompanied by significantly lower circulating levels of both MMP-2 and MMP-9 in the CLE group. Furthermore, CLE supplementation led to a significant increase in plasma Trx1, SIRT1, and Nrf2 levels, and a significant reduction in TBP2 and NF-κB p65 subunit concentrations.\nConclusion: The findings suggest that CLE supplementation modulates critical plasma biomarkers associated with endothelial glycocalyx degradation, matrix remodeling, and cellular redox and inflammatory signaling in adult patients with T2DM. This important impact, particularly the restoration of endothelial integrity and the activation of endogenous antioxidant and anti-inflammatory pathways, underscores the promising role of Curcuma longa as an adjunctive therapeutic agent to reduce vascular complications and improve overall metabolic health in T2DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—063\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is characterized by chronic hyperglycemia, insulin resistance, and a persistent state of inflammation and oxidative stress, which contribute significantly to microvascular complications. The endothelial glycocalyx (EG), a crucial protective layer on the vascular endothelium, is often compromised in T2DM, leading to increased vascular permeability and dysfunction. Curcuma longa and its active compound, curcumin, possess well-documented anti-inflammatory and antioxidant properties.\nObjective: To evaluate the specific beneficial effects of Curcuma longa extract (CLE) supplementation on plasma biomarkers related to endothelial glycocalyx integrity, matrix metalloproteinase activity, and key redox-sensitive and inflammatory signaling pathways in adult patients with T2DM.\nMethods: This is a randomized controlled study involving 76 adult participants with T2DM, randomized to receive either CLE supplementation (1,200 mg/day) (n = 46) or placebo (n = 30) for three months. Plasma levels of hyaluronic acid (HA), syndecan-1 (SDC1), syndecan-4 (SDC4), matrix metalloproteinase-2 (MMP-2), matrix metalloproteinase-9 (MMP-9), thioredoxin-1 (Trx1), thioredoxin-binding protein-2 (TBP2), sirtuin-1 (SIRT1), nuclear factor erythroid 2–related factor 2 (Nrf2), and the p65 subunit of nuclear factor kappa B (NF-κB p65). Baseline and post-intervention (3 months) levels were evaluated.\nResults: After three months of intervention, the CLE group demonstrated significant reductions in plasma levels of SDC1, SDC4, and HA, indicating improved endothelial glycocalyx integrity. These improvements were accompanied by significantly lower circulating levels of both MMP-2 and MMP-9 in the CLE group. Furthermore, CLE supplementation led to a significant increase in plasma Trx1, SIRT1, and Nrf2 levels, and a significant reduction in TBP2 and NF-κB p65 subunit concentrations.\nConclusion: The findings suggest that CLE supplementation modulates critical plasma biomarkers associated with endothelial glycocalyx degradation, matrix remodeling, and cellular redox and inflammatory signaling in adult patients with T2DM. This important impact, particularly the restoration of endothelial integrity and the activation of endogenous antioxidant and anti-inflammatory pathways, underscores the promising role of Curcuma longa as an adjunctive therapeutic agent to reduce vascular complications and improve overall metabolic health in T2DM.\n\n\n### PO—064 Association Between Oxidative Stress Markers And Fasting Glucose Levels In Military Police Officers\nIntroduction: Oxidative stress is related to insulin resistance and diabetes mellitus. Among military police officers, occupational and lifestyle factors can impact glucose metabolism and redox balance.\nObjective: To evaluate the association between oxidative stress markers and fasting glucose in military police officers from the central region of Rio Grande do Sul, Brazil.\nMethods: A cross-sectional study was conducted with 73 military police officers. Sociodemographic, anthropometric data, fasting glucose, and oxidative stress markers—nitric oxide (NO, μM) and DCFH-DA (relative fluorescence)—were collected. Glucose was classified as normal (< 100 mg/dL) or elevated (≥ 100 mg/dL). Mann–Whitney test, ANCOVA adjusted for age, sex, and BMI, Spearman correlation, linear regression, and odds ratio (OR) by Fisher’s exact test (p < 0.05) were used.\nResults: The sample had a predominance of males (78.1%) and a mean age of 38.37 ± 6.48 years. Mean values were: glucose 93.64 ± 9.68 mg/dL, nitric oxide 0.22 ± 0.16 μM, and DCFH-DA 27,965.95 ± 5,340.89. There was a weak positive correlation between glucose and nitric oxide (r = 0.276; p = 0.0932) and a weak negative correlation with DCFH-DA (r =  − 0.174; p = 0.2967), without statistical significance. In the Mann–Whitney test, nitric oxide was higher in elevated glucose (0.29 vs. 0.16 μM; p = 0.048), with borderline significance after adjustment (p = 0.052). DCFH-DA did not differ between groups (p = 0.148; adjusted p = 0.550). Spearman correlations showed no significant association between glucose and nitric oxide (ρ = 0.215; p = 0.196) or DCFH-DA (ρ =  − 0.271; p = 0.100). In linear regression, nitric oxide showed a non-significant positive association (simple β =  + 19.07; p = 0.093; multiple β =  + 15.34; p = 0.192). Median analysis showed no increased risk of elevated glucose for high nitric oxide (OR = 3.38; p = 0.604) or high DCFH-DA (p = 0.105).\nConclusion: Military police officers with elevated fasting glucose showed higher nitric oxide levels, suggesting a possible relationship between oxidative stress and glycemic alterations. Although not statistically significant in other analyses, the findings highlight the importance of monitoring these markers in the metabolic follow-up of this population.\n\n\n### Nascimento, VL1; Perufo, VF1; Parcianello, BD1; Camargo, YA1; Menezes, CR1; D’Ávila, CMS1; Cadoná, FC1; Schuch, NJ1\nIntroduction: Oxidative stress is related to insulin resistance and diabetes mellitus. Among military police officers, occupational and lifestyle factors can impact glucose metabolism and redox balance.\nObjective: To evaluate the association between oxidative stress markers and fasting glucose in military police officers from the central region of Rio Grande do Sul, Brazil.\nMethods: A cross-sectional study was conducted with 73 military police officers. Sociodemographic, anthropometric data, fasting glucose, and oxidative stress markers—nitric oxide (NO, μM) and DCFH-DA (relative fluorescence)—were collected. Glucose was classified as normal (< 100 mg/dL) or elevated (≥ 100 mg/dL). Mann–Whitney test, ANCOVA adjusted for age, sex, and BMI, Spearman correlation, linear regression, and odds ratio (OR) by Fisher’s exact test (p < 0.05) were used.\nResults: The sample had a predominance of males (78.1%) and a mean age of 38.37 ± 6.48 years. Mean values were: glucose 93.64 ± 9.68 mg/dL, nitric oxide 0.22 ± 0.16 μM, and DCFH-DA 27,965.95 ± 5,340.89. There was a weak positive correlation between glucose and nitric oxide (r = 0.276; p = 0.0932) and a weak negative correlation with DCFH-DA (r =  − 0.174; p = 0.2967), without statistical significance. In the Mann–Whitney test, nitric oxide was higher in elevated glucose (0.29 vs. 0.16 μM; p = 0.048), with borderline significance after adjustment (p = 0.052). DCFH-DA did not differ between groups (p = 0.148; adjusted p = 0.550). Spearman correlations showed no significant association between glucose and nitric oxide (ρ = 0.215; p = 0.196) or DCFH-DA (ρ =  − 0.271; p = 0.100). In linear regression, nitric oxide showed a non-significant positive association (simple β =  + 19.07; p = 0.093; multiple β =  + 15.34; p = 0.192). Median analysis showed no increased risk of elevated glucose for high nitric oxide (OR = 3.38; p = 0.604) or high DCFH-DA (p = 0.105).\nConclusion: Military police officers with elevated fasting glucose showed higher nitric oxide levels, suggesting a possible relationship between oxidative stress and glycemic alterations. Although not statistically significant in other analyses, the findings highlight the importance of monitoring these markers in the metabolic follow-up of this population.\n\n\n### (1) Universidade Franciscana, Santa Maria, RS, Brasil\nIntroduction: Oxidative stress is related to insulin resistance and diabetes mellitus. Among military police officers, occupational and lifestyle factors can impact glucose metabolism and redox balance.\nObjective: To evaluate the association between oxidative stress markers and fasting glucose in military police officers from the central region of Rio Grande do Sul, Brazil.\nMethods: A cross-sectional study was conducted with 73 military police officers. Sociodemographic, anthropometric data, fasting glucose, and oxidative stress markers—nitric oxide (NO, μM) and DCFH-DA (relative fluorescence)—were collected. Glucose was classified as normal (< 100 mg/dL) or elevated (≥ 100 mg/dL). Mann–Whitney test, ANCOVA adjusted for age, sex, and BMI, Spearman correlation, linear regression, and odds ratio (OR) by Fisher’s exact test (p < 0.05) were used.\nResults: The sample had a predominance of males (78.1%) and a mean age of 38.37 ± 6.48 years. Mean values were: glucose 93.64 ± 9.68 mg/dL, nitric oxide 0.22 ± 0.16 μM, and DCFH-DA 27,965.95 ± 5,340.89. There was a weak positive correlation between glucose and nitric oxide (r = 0.276; p = 0.0932) and a weak negative correlation with DCFH-DA (r =  − 0.174; p = 0.2967), without statistical significance. In the Mann–Whitney test, nitric oxide was higher in elevated glucose (0.29 vs. 0.16 μM; p = 0.048), with borderline significance after adjustment (p = 0.052). DCFH-DA did not differ between groups (p = 0.148; adjusted p = 0.550). Spearman correlations showed no significant association between glucose and nitric oxide (ρ = 0.215; p = 0.196) or DCFH-DA (ρ =  − 0.271; p = 0.100). In linear regression, nitric oxide showed a non-significant positive association (simple β =  + 19.07; p = 0.093; multiple β =  + 15.34; p = 0.192). Median analysis showed no increased risk of elevated glucose for high nitric oxide (OR = 3.38; p = 0.604) or high DCFH-DA (p = 0.105).\nConclusion: Military police officers with elevated fasting glucose showed higher nitric oxide levels, suggesting a possible relationship between oxidative stress and glycemic alterations. Although not statistically significant in other analyses, the findings highlight the importance of monitoring these markers in the metabolic follow-up of this population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—064\nIntroduction: Oxidative stress is related to insulin resistance and diabetes mellitus. Among military police officers, occupational and lifestyle factors can impact glucose metabolism and redox balance.\nObjective: To evaluate the association between oxidative stress markers and fasting glucose in military police officers from the central region of Rio Grande do Sul, Brazil.\nMethods: A cross-sectional study was conducted with 73 military police officers. Sociodemographic, anthropometric data, fasting glucose, and oxidative stress markers—nitric oxide (NO, μM) and DCFH-DA (relative fluorescence)—were collected. Glucose was classified as normal (< 100 mg/dL) or elevated (≥ 100 mg/dL). Mann–Whitney test, ANCOVA adjusted for age, sex, and BMI, Spearman correlation, linear regression, and odds ratio (OR) by Fisher’s exact test (p < 0.05) were used.\nResults: The sample had a predominance of males (78.1%) and a mean age of 38.37 ± 6.48 years. Mean values were: glucose 93.64 ± 9.68 mg/dL, nitric oxide 0.22 ± 0.16 μM, and DCFH-DA 27,965.95 ± 5,340.89. There was a weak positive correlation between glucose and nitric oxide (r = 0.276; p = 0.0932) and a weak negative correlation with DCFH-DA (r =  − 0.174; p = 0.2967), without statistical significance. In the Mann–Whitney test, nitric oxide was higher in elevated glucose (0.29 vs. 0.16 μM; p = 0.048), with borderline significance after adjustment (p = 0.052). DCFH-DA did not differ between groups (p = 0.148; adjusted p = 0.550). Spearman correlations showed no significant association between glucose and nitric oxide (ρ = 0.215; p = 0.196) or DCFH-DA (ρ =  − 0.271; p = 0.100). In linear regression, nitric oxide showed a non-significant positive association (simple β =  + 19.07; p = 0.093; multiple β =  + 15.34; p = 0.192). Median analysis showed no increased risk of elevated glucose for high nitric oxide (OR = 3.38; p = 0.604) or high DCFH-DA (p = 0.105).\nConclusion: Military police officers with elevated fasting glucose showed higher nitric oxide levels, suggesting a possible relationship between oxidative stress and glycemic alterations. Although not statistically significant in other analyses, the findings highlight the importance of monitoring these markers in the metabolic follow-up of this population.\n\n\n### PO—065 Cardiometabolic Profile And Cardiovascular Risk Factors In A Community-based Screening In São Paulo: Insights From 2024 “World Heart Day Campaign”.\nIntroduction: Cardiovascular diseases (CVD) and diabetes mellitus (DM) are major causes of morbidity and mortality. Early detection of risk factors in community settings supports targeted prevention. Large-scale, real-world screening can inform public health interventions.\nObjective: To describe the clinical and biochemical profile of adults screened during the 2024 World Heart Day in São Paulo, comparing those with and without self-reported DM and exploring associations with CVD.\nMethods: Cross-sectional study of 560 adults screened in 2024. Data included demographics, self-reported diagnoses, medication use, smoking, and CVD history. Blood pressure, capillary glucose, and lipid profile were measured on-site. Continuous variables were compared with Welch’s t-test, categorical with chi-square, and CVD associations assessed by logistic regression (p < 0.05).\nResults: DM prevalence was 17.5% (n = 98). DM participants were older (60.6 ± 11.1 vs. 50.0 ± 15.5 y, p < 0.001), had higher systolic BP (135.4 ± 18.6 vs. 130.1 ± 19.4 mmHg, p = 0.013), glucose (168.7 ± 74.7 vs. 130.6 ± 42.3 mg/dL, p < 0.001) and triglycerides (188.4 ± 74.5 vs. 167.8 ± 83.2 mg/dL, p = 0.017). No differences in diastolic BP, total cholesterol, LDL, or HDL. Among non-DM, 5.0% had glucose ≥ 180 mg/dL, suggesting undiagnosed DM. LDL ≥ 130 mg/dL occurred in 32.0% overall; LDL ≥ 70 mg/dL in 81.2% of DM. Logistic regression identified older age (OR 1.12; 95%CI 1.03–1.22), hypertension (OR 9.20; 95%CI 0.98–85.9) and lower triglycerides (OR 0.98; 95%CI 0.97–1.00) as independent correlates of CVD..\nConclusion: Screening revealed high prevalence of risk factors, with strong links between DM, hypertension, and CVD. The inverse association between triglycerides and CVD likely reflects reverse causality and treatment effects—patients with CVD often adopt lifestyle changes or receive lipid-lowering therapy. This cross-sectional design limits causal inference, and the small number of CVD cases may affect stability. Integrated community screening combining biochemical and clinical assessment may enhance early detection and intervention in high-risk groups.\n\n\n### Pineda-Wieselberg, RJ1; Carvalho, ACBC1; Kitamura, LCS1; Rodrigues, C1; Alves, J1; Miranda, AP1; Yoshimura, L1; Canon, VLP1\nIntroduction: Cardiovascular diseases (CVD) and diabetes mellitus (DM) are major causes of morbidity and mortality. Early detection of risk factors in community settings supports targeted prevention. Large-scale, real-world screening can inform public health interventions.\nObjective: To describe the clinical and biochemical profile of adults screened during the 2024 World Heart Day in São Paulo, comparing those with and without self-reported DM and exploring associations with CVD.\nMethods: Cross-sectional study of 560 adults screened in 2024. Data included demographics, self-reported diagnoses, medication use, smoking, and CVD history. Blood pressure, capillary glucose, and lipid profile were measured on-site. Continuous variables were compared with Welch’s t-test, categorical with chi-square, and CVD associations assessed by logistic regression (p < 0.05).\nResults: DM prevalence was 17.5% (n = 98). DM participants were older (60.6 ± 11.1 vs. 50.0 ± 15.5 y, p < 0.001), had higher systolic BP (135.4 ± 18.6 vs. 130.1 ± 19.4 mmHg, p = 0.013), glucose (168.7 ± 74.7 vs. 130.6 ± 42.3 mg/dL, p < 0.001) and triglycerides (188.4 ± 74.5 vs. 167.8 ± 83.2 mg/dL, p = 0.017). No differences in diastolic BP, total cholesterol, LDL, or HDL. Among non-DM, 5.0% had glucose ≥ 180 mg/dL, suggesting undiagnosed DM. LDL ≥ 130 mg/dL occurred in 32.0% overall; LDL ≥ 70 mg/dL in 81.2% of DM. Logistic regression identified older age (OR 1.12; 95%CI 1.03–1.22), hypertension (OR 9.20; 95%CI 0.98–85.9) and lower triglycerides (OR 0.98; 95%CI 0.97–1.00) as independent correlates of CVD..\nConclusion: Screening revealed high prevalence of risk factors, with strong links between DM, hypertension, and CVD. The inverse association between triglycerides and CVD likely reflects reverse causality and treatment effects—patients with CVD often adopt lifestyle changes or receive lipid-lowering therapy. This cross-sectional design limits causal inference, and the small number of CVD cases may affect stability. Integrated community screening combining biochemical and clinical assessment may enhance early detection and intervention in high-risk groups.\n\n\n### (1) Associação de Diabetes Juvenil, São Paulo, SP, Brasil\nIntroduction: Cardiovascular diseases (CVD) and diabetes mellitus (DM) are major causes of morbidity and mortality. Early detection of risk factors in community settings supports targeted prevention. Large-scale, real-world screening can inform public health interventions.\nObjective: To describe the clinical and biochemical profile of adults screened during the 2024 World Heart Day in São Paulo, comparing those with and without self-reported DM and exploring associations with CVD.\nMethods: Cross-sectional study of 560 adults screened in 2024. Data included demographics, self-reported diagnoses, medication use, smoking, and CVD history. Blood pressure, capillary glucose, and lipid profile were measured on-site. Continuous variables were compared with Welch’s t-test, categorical with chi-square, and CVD associations assessed by logistic regression (p < 0.05).\nResults: DM prevalence was 17.5% (n = 98). DM participants were older (60.6 ± 11.1 vs. 50.0 ± 15.5 y, p < 0.001), had higher systolic BP (135.4 ± 18.6 vs. 130.1 ± 19.4 mmHg, p = 0.013), glucose (168.7 ± 74.7 vs. 130.6 ± 42.3 mg/dL, p < 0.001) and triglycerides (188.4 ± 74.5 vs. 167.8 ± 83.2 mg/dL, p = 0.017). No differences in diastolic BP, total cholesterol, LDL, or HDL. Among non-DM, 5.0% had glucose ≥ 180 mg/dL, suggesting undiagnosed DM. LDL ≥ 130 mg/dL occurred in 32.0% overall; LDL ≥ 70 mg/dL in 81.2% of DM. Logistic regression identified older age (OR 1.12; 95%CI 1.03–1.22), hypertension (OR 9.20; 95%CI 0.98–85.9) and lower triglycerides (OR 0.98; 95%CI 0.97–1.00) as independent correlates of CVD..\nConclusion: Screening revealed high prevalence of risk factors, with strong links between DM, hypertension, and CVD. The inverse association between triglycerides and CVD likely reflects reverse causality and treatment effects—patients with CVD often adopt lifestyle changes or receive lipid-lowering therapy. This cross-sectional design limits causal inference, and the small number of CVD cases may affect stability. Integrated community screening combining biochemical and clinical assessment may enhance early detection and intervention in high-risk groups.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—065\nIntroduction: Cardiovascular diseases (CVD) and diabetes mellitus (DM) are major causes of morbidity and mortality. Early detection of risk factors in community settings supports targeted prevention. Large-scale, real-world screening can inform public health interventions.\nObjective: To describe the clinical and biochemical profile of adults screened during the 2024 World Heart Day in São Paulo, comparing those with and without self-reported DM and exploring associations with CVD.\nMethods: Cross-sectional study of 560 adults screened in 2024. Data included demographics, self-reported diagnoses, medication use, smoking, and CVD history. Blood pressure, capillary glucose, and lipid profile were measured on-site. Continuous variables were compared with Welch’s t-test, categorical with chi-square, and CVD associations assessed by logistic regression (p < 0.05).\nResults: DM prevalence was 17.5% (n = 98). DM participants were older (60.6 ± 11.1 vs. 50.0 ± 15.5 y, p < 0.001), had higher systolic BP (135.4 ± 18.6 vs. 130.1 ± 19.4 mmHg, p = 0.013), glucose (168.7 ± 74.7 vs. 130.6 ± 42.3 mg/dL, p < 0.001) and triglycerides (188.4 ± 74.5 vs. 167.8 ± 83.2 mg/dL, p = 0.017). No differences in diastolic BP, total cholesterol, LDL, or HDL. Among non-DM, 5.0% had glucose ≥ 180 mg/dL, suggesting undiagnosed DM. LDL ≥ 130 mg/dL occurred in 32.0% overall; LDL ≥ 70 mg/dL in 81.2% of DM. Logistic regression identified older age (OR 1.12; 95%CI 1.03–1.22), hypertension (OR 9.20; 95%CI 0.98–85.9) and lower triglycerides (OR 0.98; 95%CI 0.97–1.00) as independent correlates of CVD..\nConclusion: Screening revealed high prevalence of risk factors, with strong links between DM, hypertension, and CVD. The inverse association between triglycerides and CVD likely reflects reverse causality and treatment effects—patients with CVD often adopt lifestyle changes or receive lipid-lowering therapy. This cross-sectional design limits causal inference, and the small number of CVD cases may affect stability. Integrated community screening combining biochemical and clinical assessment may enhance early detection and intervention in high-risk groups.\n\n\n### PO—066 Cardiometabolic Profile, Abdominal Obesity, And Metabolic Alterations In Military Police Officers Of Rio Grande Do Sul\nIntroduction: General and abdominal obesity have been increasing globally, posing a significant public health challenge. Body mass index (BMI) and waist circumference are key markers for cardiometabolic risk. Evaluating these parameters in specific groups, such as Military Police officers, supports preventive strategies.\nObjective: To describe the cardiometabolic profile, prevalence of abdominal obesity, and glycemic and lipid alterations in Military Police officers from the central region of RS.\nMethods: A cross-sectional study was conducted with 73 Military Police officers. Sociodemographic, anthropometric (BMI, waist circumference), fasting blood glucose, and lipid profile (total cholesterol, HDL, and triglycerides) data were evaluated. Abdominal obesity was defined according to WHO criteria (≥ 94 cm for men; ≥ 80 cm for women), altered blood glucose according to the American Diabetes Association (≥ 100 mg/dL), and dyslipidemia according to the Brazilian Society of Cardiology (2022).\nResults: The sample was predominantly male (78.1%), with a mean age of 38.37 ± 6.48 years, mean BMI of 28.46 ± 3.47 kg/m2, and mean waist circumference of 92.66 ± 21.51 cm. Mean values were: fasting glucose 93.64 ± 9.68 mg/dL; total cholesterol 192.87 ± 39.36 mg/dL; HDL 44.48 ± 9.53 mg/dL; triglycerides 121.85 ± 45.09 mg/dL; systolic blood pressure 124.78 ± 10.29 mmHg; diastolic blood pressure 77.63 ± 11.14 mmHg. Significant correlations included: age–glucose (r = 0.324; p = 0.044), age–triglycerides (r = 0.533; p < 0.001), BMI–waist circumference (r = 0.497; p < 0.001), and waist circumference–total cholesterol (r = 0.474; p = 0.002). No significant differences were observed between groups with normal and elevated glucose levels or between sexes, although age (p = 0.0598) and glucose (p = 0.0569) showed a trend. Among men, notable correlations included BMI–waist circumference (r = 0.500; p < 0.001), waist circumference–total cholesterol (r = 0.474; p < 0.01), and age–triglycerides (r = 0.533; p < 0.001); among women, BMI–waist circumference (r = 0.630; p < 0.05).\nConclusion: The profile found indicates a high cardiometabolic risk, reinforcing the need for preventive actions and health promotion in this population.\n\n\n### Nascimento, VL1; Perufo, VF1; Parcianello, BD1; Camargo, YA1; Tomazi, AB1; Menezes, CR1; Santos, BM1; Correa, DL1; Schuch, NJ1\nIntroduction: General and abdominal obesity have been increasing globally, posing a significant public health challenge. Body mass index (BMI) and waist circumference are key markers for cardiometabolic risk. Evaluating these parameters in specific groups, such as Military Police officers, supports preventive strategies.\nObjective: To describe the cardiometabolic profile, prevalence of abdominal obesity, and glycemic and lipid alterations in Military Police officers from the central region of RS.\nMethods: A cross-sectional study was conducted with 73 Military Police officers. Sociodemographic, anthropometric (BMI, waist circumference), fasting blood glucose, and lipid profile (total cholesterol, HDL, and triglycerides) data were evaluated. Abdominal obesity was defined according to WHO criteria (≥ 94 cm for men; ≥ 80 cm for women), altered blood glucose according to the American Diabetes Association (≥ 100 mg/dL), and dyslipidemia according to the Brazilian Society of Cardiology (2022).\nResults: The sample was predominantly male (78.1%), with a mean age of 38.37 ± 6.48 years, mean BMI of 28.46 ± 3.47 kg/m2, and mean waist circumference of 92.66 ± 21.51 cm. Mean values were: fasting glucose 93.64 ± 9.68 mg/dL; total cholesterol 192.87 ± 39.36 mg/dL; HDL 44.48 ± 9.53 mg/dL; triglycerides 121.85 ± 45.09 mg/dL; systolic blood pressure 124.78 ± 10.29 mmHg; diastolic blood pressure 77.63 ± 11.14 mmHg. Significant correlations included: age–glucose (r = 0.324; p = 0.044), age–triglycerides (r = 0.533; p < 0.001), BMI–waist circumference (r = 0.497; p < 0.001), and waist circumference–total cholesterol (r = 0.474; p = 0.002). No significant differences were observed between groups with normal and elevated glucose levels or between sexes, although age (p = 0.0598) and glucose (p = 0.0569) showed a trend. Among men, notable correlations included BMI–waist circumference (r = 0.500; p < 0.001), waist circumference–total cholesterol (r = 0.474; p < 0.01), and age–triglycerides (r = 0.533; p < 0.001); among women, BMI–waist circumference (r = 0.630; p < 0.05).\nConclusion: The profile found indicates a high cardiometabolic risk, reinforcing the need for preventive actions and health promotion in this population.\n\n\n### (1) Universidade Franciscana, Santa Maria, RS – Brasil\nIntroduction: General and abdominal obesity have been increasing globally, posing a significant public health challenge. Body mass index (BMI) and waist circumference are key markers for cardiometabolic risk. Evaluating these parameters in specific groups, such as Military Police officers, supports preventive strategies.\nObjective: To describe the cardiometabolic profile, prevalence of abdominal obesity, and glycemic and lipid alterations in Military Police officers from the central region of RS.\nMethods: A cross-sectional study was conducted with 73 Military Police officers. Sociodemographic, anthropometric (BMI, waist circumference), fasting blood glucose, and lipid profile (total cholesterol, HDL, and triglycerides) data were evaluated. Abdominal obesity was defined according to WHO criteria (≥ 94 cm for men; ≥ 80 cm for women), altered blood glucose according to the American Diabetes Association (≥ 100 mg/dL), and dyslipidemia according to the Brazilian Society of Cardiology (2022).\nResults: The sample was predominantly male (78.1%), with a mean age of 38.37 ± 6.48 years, mean BMI of 28.46 ± 3.47 kg/m2, and mean waist circumference of 92.66 ± 21.51 cm. Mean values were: fasting glucose 93.64 ± 9.68 mg/dL; total cholesterol 192.87 ± 39.36 mg/dL; HDL 44.48 ± 9.53 mg/dL; triglycerides 121.85 ± 45.09 mg/dL; systolic blood pressure 124.78 ± 10.29 mmHg; diastolic blood pressure 77.63 ± 11.14 mmHg. Significant correlations included: age–glucose (r = 0.324; p = 0.044), age–triglycerides (r = 0.533; p < 0.001), BMI–waist circumference (r = 0.497; p < 0.001), and waist circumference–total cholesterol (r = 0.474; p = 0.002). No significant differences were observed between groups with normal and elevated glucose levels or between sexes, although age (p = 0.0598) and glucose (p = 0.0569) showed a trend. Among men, notable correlations included BMI–waist circumference (r = 0.500; p < 0.001), waist circumference–total cholesterol (r = 0.474; p < 0.01), and age–triglycerides (r = 0.533; p < 0.001); among women, BMI–waist circumference (r = 0.630; p < 0.05).\nConclusion: The profile found indicates a high cardiometabolic risk, reinforcing the need for preventive actions and health promotion in this population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—066\nIntroduction: General and abdominal obesity have been increasing globally, posing a significant public health challenge. Body mass index (BMI) and waist circumference are key markers for cardiometabolic risk. Evaluating these parameters in specific groups, such as Military Police officers, supports preventive strategies.\nObjective: To describe the cardiometabolic profile, prevalence of abdominal obesity, and glycemic and lipid alterations in Military Police officers from the central region of RS.\nMethods: A cross-sectional study was conducted with 73 Military Police officers. Sociodemographic, anthropometric (BMI, waist circumference), fasting blood glucose, and lipid profile (total cholesterol, HDL, and triglycerides) data were evaluated. Abdominal obesity was defined according to WHO criteria (≥ 94 cm for men; ≥ 80 cm for women), altered blood glucose according to the American Diabetes Association (≥ 100 mg/dL), and dyslipidemia according to the Brazilian Society of Cardiology (2022).\nResults: The sample was predominantly male (78.1%), with a mean age of 38.37 ± 6.48 years, mean BMI of 28.46 ± 3.47 kg/m2, and mean waist circumference of 92.66 ± 21.51 cm. Mean values were: fasting glucose 93.64 ± 9.68 mg/dL; total cholesterol 192.87 ± 39.36 mg/dL; HDL 44.48 ± 9.53 mg/dL; triglycerides 121.85 ± 45.09 mg/dL; systolic blood pressure 124.78 ± 10.29 mmHg; diastolic blood pressure 77.63 ± 11.14 mmHg. Significant correlations included: age–glucose (r = 0.324; p = 0.044), age–triglycerides (r = 0.533; p < 0.001), BMI–waist circumference (r = 0.497; p < 0.001), and waist circumference–total cholesterol (r = 0.474; p = 0.002). No significant differences were observed between groups with normal and elevated glucose levels or between sexes, although age (p = 0.0598) and glucose (p = 0.0569) showed a trend. Among men, notable correlations included BMI–waist circumference (r = 0.500; p < 0.001), waist circumference–total cholesterol (r = 0.474; p < 0.01), and age–triglycerides (r = 0.533; p < 0.001); among women, BMI–waist circumference (r = 0.630; p < 0.05).\nConclusion: The profile found indicates a high cardiometabolic risk, reinforcing the need for preventive actions and health promotion in this population.\n\n\n### PO—067 Clinical And Functional Repercussions Between Diabetic And Non-diabetic Individuals After Stroke\nIntroduction: Stroke is one of the leading causes of death, disability, and dementia worldwide. Individuals with diabetes are at increased risk of stroke and often present worse outcomes, especially due to alterations in small cerebral vessels.\nObjective: To identify whether there are differences in sociodemographic and clinical characteristics between diabetic and non-diabetic patients after stroke admitted to a Stroke Unit.\nMethods: This was an analytical, cross-sectional observational study conducted with patients hospitalized with ischemic stroke in a Stroke Unit. Primary data were obtained from the cohort “Functional outcomes in individuals after stroke” (CAAE 78442724.0.0000.5544). Sociodemographic information (age, sex, education, income) and clinical data extracted from medical records (length of hospital stay, stroke type, comorbidities) were collected, and the following scales were applied: the National Institutes of Health Stroke Scale (NIHSS) to assess stroke severity, the Modified Rankin Scale (mRS) to measure functional disability, and the Hospital Mobility Scale (HMS) to analyze mobility restrictions. After univariate analysis, variables with p < 0.20 were included in a multivariate model.\nResults: The sample consisted of 100 patients, 35 in the diabetic group and 65 in the non-diabetic group, with similar median age between groups. After multivariate analysis adjusted for age, variables that remained associated with the diabetic group after stroke were hypertension (OR: 8.59; 95%CI: 2.01–62.08; p = 0.011), greater mobility impairment (OR: 1.15; 95%CI: 1.03–1.29; p = 0.013), and presence of dyslipidemia (OR: 4.65; 95%CI: 1.36–17.64; p = 0.017).\nConclusion: Among individuals admitted to a Stroke Unit in a public hospital, those with diabetes had a higher prevalence of hypertension, dyslipidemia, and greater in-hospital mobility impairment compared to non-diabetic individuals.\n\n\n### Moreira, MCM1; Pinto, EB1\nIntroduction: Stroke is one of the leading causes of death, disability, and dementia worldwide. Individuals with diabetes are at increased risk of stroke and often present worse outcomes, especially due to alterations in small cerebral vessels.\nObjective: To identify whether there are differences in sociodemographic and clinical characteristics between diabetic and non-diabetic patients after stroke admitted to a Stroke Unit.\nMethods: This was an analytical, cross-sectional observational study conducted with patients hospitalized with ischemic stroke in a Stroke Unit. Primary data were obtained from the cohort “Functional outcomes in individuals after stroke” (CAAE 78442724.0.0000.5544). Sociodemographic information (age, sex, education, income) and clinical data extracted from medical records (length of hospital stay, stroke type, comorbidities) were collected, and the following scales were applied: the National Institutes of Health Stroke Scale (NIHSS) to assess stroke severity, the Modified Rankin Scale (mRS) to measure functional disability, and the Hospital Mobility Scale (HMS) to analyze mobility restrictions. After univariate analysis, variables with p < 0.20 were included in a multivariate model.\nResults: The sample consisted of 100 patients, 35 in the diabetic group and 65 in the non-diabetic group, with similar median age between groups. After multivariate analysis adjusted for age, variables that remained associated with the diabetic group after stroke were hypertension (OR: 8.59; 95%CI: 2.01–62.08; p = 0.011), greater mobility impairment (OR: 1.15; 95%CI: 1.03–1.29; p = 0.013), and presence of dyslipidemia (OR: 4.65; 95%CI: 1.36–17.64; p = 0.017).\nConclusion: Among individuals admitted to a Stroke Unit in a public hospital, those with diabetes had a higher prevalence of hypertension, dyslipidemia, and greater in-hospital mobility impairment compared to non-diabetic individuals.\n\n\n### (1) Escola Bahiana de Medicina e Saúde Pública, Salvador, BA, Brasil\nIntroduction: Stroke is one of the leading causes of death, disability, and dementia worldwide. Individuals with diabetes are at increased risk of stroke and often present worse outcomes, especially due to alterations in small cerebral vessels.\nObjective: To identify whether there are differences in sociodemographic and clinical characteristics between diabetic and non-diabetic patients after stroke admitted to a Stroke Unit.\nMethods: This was an analytical, cross-sectional observational study conducted with patients hospitalized with ischemic stroke in a Stroke Unit. Primary data were obtained from the cohort “Functional outcomes in individuals after stroke” (CAAE 78442724.0.0000.5544). Sociodemographic information (age, sex, education, income) and clinical data extracted from medical records (length of hospital stay, stroke type, comorbidities) were collected, and the following scales were applied: the National Institutes of Health Stroke Scale (NIHSS) to assess stroke severity, the Modified Rankin Scale (mRS) to measure functional disability, and the Hospital Mobility Scale (HMS) to analyze mobility restrictions. After univariate analysis, variables with p < 0.20 were included in a multivariate model.\nResults: The sample consisted of 100 patients, 35 in the diabetic group and 65 in the non-diabetic group, with similar median age between groups. After multivariate analysis adjusted for age, variables that remained associated with the diabetic group after stroke were hypertension (OR: 8.59; 95%CI: 2.01–62.08; p = 0.011), greater mobility impairment (OR: 1.15; 95%CI: 1.03–1.29; p = 0.013), and presence of dyslipidemia (OR: 4.65; 95%CI: 1.36–17.64; p = 0.017).\nConclusion: Among individuals admitted to a Stroke Unit in a public hospital, those with diabetes had a higher prevalence of hypertension, dyslipidemia, and greater in-hospital mobility impairment compared to non-diabetic individuals.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—067\nIntroduction: Stroke is one of the leading causes of death, disability, and dementia worldwide. Individuals with diabetes are at increased risk of stroke and often present worse outcomes, especially due to alterations in small cerebral vessels.\nObjective: To identify whether there are differences in sociodemographic and clinical characteristics between diabetic and non-diabetic patients after stroke admitted to a Stroke Unit.\nMethods: This was an analytical, cross-sectional observational study conducted with patients hospitalized with ischemic stroke in a Stroke Unit. Primary data were obtained from the cohort “Functional outcomes in individuals after stroke” (CAAE 78442724.0.0000.5544). Sociodemographic information (age, sex, education, income) and clinical data extracted from medical records (length of hospital stay, stroke type, comorbidities) were collected, and the following scales were applied: the National Institutes of Health Stroke Scale (NIHSS) to assess stroke severity, the Modified Rankin Scale (mRS) to measure functional disability, and the Hospital Mobility Scale (HMS) to analyze mobility restrictions. After univariate analysis, variables with p < 0.20 were included in a multivariate model.\nResults: The sample consisted of 100 patients, 35 in the diabetic group and 65 in the non-diabetic group, with similar median age between groups. After multivariate analysis adjusted for age, variables that remained associated with the diabetic group after stroke were hypertension (OR: 8.59; 95%CI: 2.01–62.08; p = 0.011), greater mobility impairment (OR: 1.15; 95%CI: 1.03–1.29; p = 0.013), and presence of dyslipidemia (OR: 4.65; 95%CI: 1.36–17.64; p = 0.017).\nConclusion: Among individuals admitted to a Stroke Unit in a public hospital, those with diabetes had a higher prevalence of hypertension, dyslipidemia, and greater in-hospital mobility impairment compared to non-diabetic individuals.\n\n\n### PO—068 Impact Of Type 2 Diabetes Mellitus On The Outcomes Of Cardiopulmonary Arrest In Emergency Care Services In Bauru, São Paulo\nIntroduction: Type 2 diabetes mellitus (T2DM) is a multifactorial disease characterized by chronic hyperglycemia secondary to peripheral insulin resistance. It is well established that T2DM is associated with a significantly increased cardiovascular risk, including the occurrence of myocardial infarction. Cardiac arrest (CA), in turn, is frequently related to cardiovascular events. It is defined as a clinical condition in which the patient is unresponsive to external stimuli, presents with agonal or absent breathing, and lacks a palpable central pulse, leading to the progressive failure of vital organs and requiring immediate resuscitation. Despite the strong correlation between T2DM and increased cardiovascular risk, the association between T2DM and outcomes following CA remains poorly understood.\nObjective: To analyze the impact of T2DM on CA outcomes, as well as the influence of factors such as age, sex, and initial arrest rhythm, in patients treated at emergency care services in Bauru, São Paulo, Brazil.\nMethods: This was a retrospective cross-sectional epidemiological study based on cardiac arrest records from emergency care services in the municipality of Bauru during the year 2024. Data extracted from medical records included initial arrest rhythm, past medical history, patient age, and clinical outcomes. The study was approved by the Research Ethics Committee of the Bauru School of Dentistry. Descriptive statistics were performed using Jamovi® software, version 2.3.28.\nResults: A total of 137 patients were included, of whom 26 had a previous diagnosis of T2DM. The mean age was similar between groups, being 65.1 years in patients with T2DM and 63.7 years in those without the diagnosis. The proportion of women was 47% among patients without T2DM and 31% among those with T2DM. Analysis of the initial arrest rhythm revealed a predominance of pulseless electrical activity (PEA) among patients with T2DM (61%), with shockable rhythms observed in only 6.7%. In contrast, patients without T2DM showed a predominance of asystole (51.1%), and shockable rhythms were more frequent (21.2%). Regarding outcomes, the rate of return of spontaneous circulation (ROSC) was 42.1% among patients without T2DM, compared with 54.2% in those with T2DM.\nConclusion: Given these results, T2DM might not be associated with worse CA outcomes, although further prospective studies with larger sample sizes are needed to confirm these findings.\n\n\n### Pinto, NC1; Netto, AS1; Albuquerque, WL1; Negrato, CA1; Alencar, JCG1\nIntroduction: Type 2 diabetes mellitus (T2DM) is a multifactorial disease characterized by chronic hyperglycemia secondary to peripheral insulin resistance. It is well established that T2DM is associated with a significantly increased cardiovascular risk, including the occurrence of myocardial infarction. Cardiac arrest (CA), in turn, is frequently related to cardiovascular events. It is defined as a clinical condition in which the patient is unresponsive to external stimuli, presents with agonal or absent breathing, and lacks a palpable central pulse, leading to the progressive failure of vital organs and requiring immediate resuscitation. Despite the strong correlation between T2DM and increased cardiovascular risk, the association between T2DM and outcomes following CA remains poorly understood.\nObjective: To analyze the impact of T2DM on CA outcomes, as well as the influence of factors such as age, sex, and initial arrest rhythm, in patients treated at emergency care services in Bauru, São Paulo, Brazil.\nMethods: This was a retrospective cross-sectional epidemiological study based on cardiac arrest records from emergency care services in the municipality of Bauru during the year 2024. Data extracted from medical records included initial arrest rhythm, past medical history, patient age, and clinical outcomes. The study was approved by the Research Ethics Committee of the Bauru School of Dentistry. Descriptive statistics were performed using Jamovi® software, version 2.3.28.\nResults: A total of 137 patients were included, of whom 26 had a previous diagnosis of T2DM. The mean age was similar between groups, being 65.1 years in patients with T2DM and 63.7 years in those without the diagnosis. The proportion of women was 47% among patients without T2DM and 31% among those with T2DM. Analysis of the initial arrest rhythm revealed a predominance of pulseless electrical activity (PEA) among patients with T2DM (61%), with shockable rhythms observed in only 6.7%. In contrast, patients without T2DM showed a predominance of asystole (51.1%), and shockable rhythms were more frequent (21.2%). Regarding outcomes, the rate of return of spontaneous circulation (ROSC) was 42.1% among patients without T2DM, compared with 54.2% in those with T2DM.\nConclusion: Given these results, T2DM might not be associated with worse CA outcomes, although further prospective studies with larger sample sizes are needed to confirm these findings.\n\n\n### (1) Universidade de São Paulo- Faculdade de Medicina de bauru, Bauru, SP, Brasil\nIntroduction: Type 2 diabetes mellitus (T2DM) is a multifactorial disease characterized by chronic hyperglycemia secondary to peripheral insulin resistance. It is well established that T2DM is associated with a significantly increased cardiovascular risk, including the occurrence of myocardial infarction. Cardiac arrest (CA), in turn, is frequently related to cardiovascular events. It is defined as a clinical condition in which the patient is unresponsive to external stimuli, presents with agonal or absent breathing, and lacks a palpable central pulse, leading to the progressive failure of vital organs and requiring immediate resuscitation. Despite the strong correlation between T2DM and increased cardiovascular risk, the association between T2DM and outcomes following CA remains poorly understood.\nObjective: To analyze the impact of T2DM on CA outcomes, as well as the influence of factors such as age, sex, and initial arrest rhythm, in patients treated at emergency care services in Bauru, São Paulo, Brazil.\nMethods: This was a retrospective cross-sectional epidemiological study based on cardiac arrest records from emergency care services in the municipality of Bauru during the year 2024. Data extracted from medical records included initial arrest rhythm, past medical history, patient age, and clinical outcomes. The study was approved by the Research Ethics Committee of the Bauru School of Dentistry. Descriptive statistics were performed using Jamovi® software, version 2.3.28.\nResults: A total of 137 patients were included, of whom 26 had a previous diagnosis of T2DM. The mean age was similar between groups, being 65.1 years in patients with T2DM and 63.7 years in those without the diagnosis. The proportion of women was 47% among patients without T2DM and 31% among those with T2DM. Analysis of the initial arrest rhythm revealed a predominance of pulseless electrical activity (PEA) among patients with T2DM (61%), with shockable rhythms observed in only 6.7%. In contrast, patients without T2DM showed a predominance of asystole (51.1%), and shockable rhythms were more frequent (21.2%). Regarding outcomes, the rate of return of spontaneous circulation (ROSC) was 42.1% among patients without T2DM, compared with 54.2% in those with T2DM.\nConclusion: Given these results, T2DM might not be associated with worse CA outcomes, although further prospective studies with larger sample sizes are needed to confirm these findings.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—068\nIntroduction: Type 2 diabetes mellitus (T2DM) is a multifactorial disease characterized by chronic hyperglycemia secondary to peripheral insulin resistance. It is well established that T2DM is associated with a significantly increased cardiovascular risk, including the occurrence of myocardial infarction. Cardiac arrest (CA), in turn, is frequently related to cardiovascular events. It is defined as a clinical condition in which the patient is unresponsive to external stimuli, presents with agonal or absent breathing, and lacks a palpable central pulse, leading to the progressive failure of vital organs and requiring immediate resuscitation. Despite the strong correlation between T2DM and increased cardiovascular risk, the association between T2DM and outcomes following CA remains poorly understood.\nObjective: To analyze the impact of T2DM on CA outcomes, as well as the influence of factors such as age, sex, and initial arrest rhythm, in patients treated at emergency care services in Bauru, São Paulo, Brazil.\nMethods: This was a retrospective cross-sectional epidemiological study based on cardiac arrest records from emergency care services in the municipality of Bauru during the year 2024. Data extracted from medical records included initial arrest rhythm, past medical history, patient age, and clinical outcomes. The study was approved by the Research Ethics Committee of the Bauru School of Dentistry. Descriptive statistics were performed using Jamovi® software, version 2.3.28.\nResults: A total of 137 patients were included, of whom 26 had a previous diagnosis of T2DM. The mean age was similar between groups, being 65.1 years in patients with T2DM and 63.7 years in those without the diagnosis. The proportion of women was 47% among patients without T2DM and 31% among those with T2DM. Analysis of the initial arrest rhythm revealed a predominance of pulseless electrical activity (PEA) among patients with T2DM (61%), with shockable rhythms observed in only 6.7%. In contrast, patients without T2DM showed a predominance of asystole (51.1%), and shockable rhythms were more frequent (21.2%). Regarding outcomes, the rate of return of spontaneous circulation (ROSC) was 42.1% among patients without T2DM, compared with 54.2% in those with T2DM.\nConclusion: Given these results, T2DM might not be associated with worse CA outcomes, although further prospective studies with larger sample sizes are needed to confirm these findings.\n\n\n### PO—069 Individual And Contextual Factors Associated With The Coexistence Of Hypertension And Diabetes In The Municipality Of Belo Horizonte: A Multilevel Analysis\nIntroduction: Unhealthy lifestyle habits, obesity, socioeconomic and environmental conditions are associated with diabetes mellitus (DM) and systemic arterial hypertension (SAH). The coexistence of these conditions has a high prevalence in Brazil.\nObjective: To estimate the association between individual and contextual factors and the coexistence of SAH and DM in Belo Horizonte from 2006 to 2018.\nMethods: Cross-sectional study using Vigitel, with adults from Belo Horizonte, MG, from 2006 to 2018. We conducted analysis for small areas, making it possible to identify intra-urban inequalities. The outcome variable was the coexistence of DM and SAH. Explanatory variables included sociodemographic characteristics, lifestyle habits, body mass index (BMI), and the Social Vulnerability Index (SVI). A multilevel logistic regression model was applied (individuals as level 1; coverage areas of Primary Health Care Units (PHCUs) as level 2). The variance of the intercept was estimated to identify variability in the likelihood of DM/SAH coexistence across PHCU areas. Individual-level explanatory variables were included in the model and SVI was added as a contextual variable. A 5% significance level was adopted.\nResults: The null model in the multilevel analysis demonstrated significant variability in the probability of DM/SAH coexistence across PHCU areas (p < 0.001). In the final model, the following individual variables were significantly associated with the outcome: age (OR:1.06;95%CI:1.05–1.06), self-identified Black race compared to White (OR:1.29; 95%CI:1.01–1.65), being single compared to being married (OR: 1.51; 95%CI: 1.21–1.88), BMI (OR:1.09; 95%CI:1.08–1.11), education level of 8–12 years (OR: 0.76; 95%CI: 0.64–0.90) and ≥ 12 years (OR: 0.54; 95%CI: 0.43–0.67) compared to < 8 years of schooling, abusive alcohol consumption (OR:0.62; 95%CI:0.48–0.81), and leisure-time physical activity (OR:0.86; 95%CI: 0.73–1.01). Living in areas of medium or high/very high social vulnerability increased the likelihood of DM/SAH coexistence compared to low-risk areas (OR:1.20; 95%CI:1.00–1.46 and OR:1.31; 95%CI:1.02–1.67, respectively). The inclusion of the SVI in the final model resulted in a 12.5% reduction in the variability across areas.\nConclusion: Both contextual and individual factors are associated with the likelihood of DM/SAH coexistence, highlighting the role of social vulnerability and individual characteristics in this dual burden of disease.\n\n\n### Ribeiro, TC1; Velasquez-Melendez, G1; Tonaco, LAB1; Malta, DC1; Souza, HP1; Moreira, AD1\nIntroduction: Unhealthy lifestyle habits, obesity, socioeconomic and environmental conditions are associated with diabetes mellitus (DM) and systemic arterial hypertension (SAH). The coexistence of these conditions has a high prevalence in Brazil.\nObjective: To estimate the association between individual and contextual factors and the coexistence of SAH and DM in Belo Horizonte from 2006 to 2018.\nMethods: Cross-sectional study using Vigitel, with adults from Belo Horizonte, MG, from 2006 to 2018. We conducted analysis for small areas, making it possible to identify intra-urban inequalities. The outcome variable was the coexistence of DM and SAH. Explanatory variables included sociodemographic characteristics, lifestyle habits, body mass index (BMI), and the Social Vulnerability Index (SVI). A multilevel logistic regression model was applied (individuals as level 1; coverage areas of Primary Health Care Units (PHCUs) as level 2). The variance of the intercept was estimated to identify variability in the likelihood of DM/SAH coexistence across PHCU areas. Individual-level explanatory variables were included in the model and SVI was added as a contextual variable. A 5% significance level was adopted.\nResults: The null model in the multilevel analysis demonstrated significant variability in the probability of DM/SAH coexistence across PHCU areas (p < 0.001). In the final model, the following individual variables were significantly associated with the outcome: age (OR:1.06;95%CI:1.05–1.06), self-identified Black race compared to White (OR:1.29; 95%CI:1.01–1.65), being single compared to being married (OR: 1.51; 95%CI: 1.21–1.88), BMI (OR:1.09; 95%CI:1.08–1.11), education level of 8–12 years (OR: 0.76; 95%CI: 0.64–0.90) and ≥ 12 years (OR: 0.54; 95%CI: 0.43–0.67) compared to < 8 years of schooling, abusive alcohol consumption (OR:0.62; 95%CI:0.48–0.81), and leisure-time physical activity (OR:0.86; 95%CI: 0.73–1.01). Living in areas of medium or high/very high social vulnerability increased the likelihood of DM/SAH coexistence compared to low-risk areas (OR:1.20; 95%CI:1.00–1.46 and OR:1.31; 95%CI:1.02–1.67, respectively). The inclusion of the SVI in the final model resulted in a 12.5% reduction in the variability across areas.\nConclusion: Both contextual and individual factors are associated with the likelihood of DM/SAH coexistence, highlighting the role of social vulnerability and individual characteristics in this dual burden of disease.\n\n\n### (1) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: Unhealthy lifestyle habits, obesity, socioeconomic and environmental conditions are associated with diabetes mellitus (DM) and systemic arterial hypertension (SAH). The coexistence of these conditions has a high prevalence in Brazil.\nObjective: To estimate the association between individual and contextual factors and the coexistence of SAH and DM in Belo Horizonte from 2006 to 2018.\nMethods: Cross-sectional study using Vigitel, with adults from Belo Horizonte, MG, from 2006 to 2018. We conducted analysis for small areas, making it possible to identify intra-urban inequalities. The outcome variable was the coexistence of DM and SAH. Explanatory variables included sociodemographic characteristics, lifestyle habits, body mass index (BMI), and the Social Vulnerability Index (SVI). A multilevel logistic regression model was applied (individuals as level 1; coverage areas of Primary Health Care Units (PHCUs) as level 2). The variance of the intercept was estimated to identify variability in the likelihood of DM/SAH coexistence across PHCU areas. Individual-level explanatory variables were included in the model and SVI was added as a contextual variable. A 5% significance level was adopted.\nResults: The null model in the multilevel analysis demonstrated significant variability in the probability of DM/SAH coexistence across PHCU areas (p < 0.001). In the final model, the following individual variables were significantly associated with the outcome: age (OR:1.06;95%CI:1.05–1.06), self-identified Black race compared to White (OR:1.29; 95%CI:1.01–1.65), being single compared to being married (OR: 1.51; 95%CI: 1.21–1.88), BMI (OR:1.09; 95%CI:1.08–1.11), education level of 8–12 years (OR: 0.76; 95%CI: 0.64–0.90) and ≥ 12 years (OR: 0.54; 95%CI: 0.43–0.67) compared to < 8 years of schooling, abusive alcohol consumption (OR:0.62; 95%CI:0.48–0.81), and leisure-time physical activity (OR:0.86; 95%CI: 0.73–1.01). Living in areas of medium or high/very high social vulnerability increased the likelihood of DM/SAH coexistence compared to low-risk areas (OR:1.20; 95%CI:1.00–1.46 and OR:1.31; 95%CI:1.02–1.67, respectively). The inclusion of the SVI in the final model resulted in a 12.5% reduction in the variability across areas.\nConclusion: Both contextual and individual factors are associated with the likelihood of DM/SAH coexistence, highlighting the role of social vulnerability and individual characteristics in this dual burden of disease.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—069\nIntroduction: Unhealthy lifestyle habits, obesity, socioeconomic and environmental conditions are associated with diabetes mellitus (DM) and systemic arterial hypertension (SAH). The coexistence of these conditions has a high prevalence in Brazil.\nObjective: To estimate the association between individual and contextual factors and the coexistence of SAH and DM in Belo Horizonte from 2006 to 2018.\nMethods: Cross-sectional study using Vigitel, with adults from Belo Horizonte, MG, from 2006 to 2018. We conducted analysis for small areas, making it possible to identify intra-urban inequalities. The outcome variable was the coexistence of DM and SAH. Explanatory variables included sociodemographic characteristics, lifestyle habits, body mass index (BMI), and the Social Vulnerability Index (SVI). A multilevel logistic regression model was applied (individuals as level 1; coverage areas of Primary Health Care Units (PHCUs) as level 2). The variance of the intercept was estimated to identify variability in the likelihood of DM/SAH coexistence across PHCU areas. Individual-level explanatory variables were included in the model and SVI was added as a contextual variable. A 5% significance level was adopted.\nResults: The null model in the multilevel analysis demonstrated significant variability in the probability of DM/SAH coexistence across PHCU areas (p < 0.001). In the final model, the following individual variables were significantly associated with the outcome: age (OR:1.06;95%CI:1.05–1.06), self-identified Black race compared to White (OR:1.29; 95%CI:1.01–1.65), being single compared to being married (OR: 1.51; 95%CI: 1.21–1.88), BMI (OR:1.09; 95%CI:1.08–1.11), education level of 8–12 years (OR: 0.76; 95%CI: 0.64–0.90) and ≥ 12 years (OR: 0.54; 95%CI: 0.43–0.67) compared to < 8 years of schooling, abusive alcohol consumption (OR:0.62; 95%CI:0.48–0.81), and leisure-time physical activity (OR:0.86; 95%CI: 0.73–1.01). Living in areas of medium or high/very high social vulnerability increased the likelihood of DM/SAH coexistence compared to low-risk areas (OR:1.20; 95%CI:1.00–1.46 and OR:1.31; 95%CI:1.02–1.67, respectively). The inclusion of the SVI in the final model resulted in a 12.5% reduction in the variability across areas.\nConclusion: Both contextual and individual factors are associated with the likelihood of DM/SAH coexistence, highlighting the role of social vulnerability and individual characteristics in this dual burden of disease.\n\n\n### PO—070 Latent Class Analysis Identifies Distinct Phenotypic Profiles In Patients With Diabetes Mellitus And Coronary Artery Disease\nIntroduction: Cardiovascular disease is the leading cause of morbidity and mortality in diabetes mellitus (DM). Coronary artery disease, often diffuse and multivessel, represents a key manifestation, particularly in type 2 diabetes (T2D). Recent studies suggest that subclassifying DM into clinical clusters may help predict DM complications. Objective: To identify distinct phenotypic profiles by latent class analysis (LCA) among patients with T2D submitted to coronary angiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Median diabetes duration was 10 years (range 0–56), and mean age at CAG was 63.1 ± 9.7 years. Coronary involvement was defined as ≥ 70% stenosis in major epicardial arteries, ≥ 50% in the left main artery or prior coronary intervention. Coronary segments analyzed included the right coronary artery (RCA), left anterior descending (LAD), circumflex (CX), diagonal branches, left main, posterior branches, intermediate, and marginal arteries. LCA was applied to identify latent patterns of coronary involvement. Results: LCA identified two latent classes: “Low involvement” (296 patients, 54%; 95% CI: 49.7–58.2) and “Moderate-to-high involvement” (252 patients, 46%; 95% CI: 41.8–50.3). The moderate-to-high class showed probabilities of ≥ 70% for RCA and LAD involvement, moderate probabilities for CX (52%) and marginal (33%) arteries, and low to negligible involvement of other segments. In contrast, the low involvement class had less than 25% probability of RCA and LAD involvement and negligible involvement of other arteries (Figure). Compared to the low involvement group, the moderate-to-high class was significantly associated with male sex (OR: 2.7; p < 0.001), older age at CAG (OR: 1,04; p = 0,004), aspirin use (OR: 2,6; p = 0,006), previous history of myocardial infarction (OR: 5,08; p < 0,001) and previous coronary artery bypass grafting (OR: 5,021; p = 0,017), with no differences in diabetes duration, BMI or glycated hemoglobin in these two groups. Conclusion: We identified two distinct coronary phenotypic profiles in patients with T2D. The moderate-to-high involvement group consisted of older male patients with previous history of myocardial infarction and coronary artery bypass grafting, despite similar diabetes duration, BMI and glucose control between groups. Integrating DM phenotyping with coronary lesion patterns via LCA may provide a complementary tool for cardiovascular risk stratification and precision management in diabetes care.\n\n\n### AROUCHA, PMT1; Paliares, IC1; Vidotto, TM1; Cocitta, CDF1; Caixeta, AM2; Pimpinato, AG2; Choi, SNJH3; Dualib, PM1; Sá, JRD4; Dib, SA1\nIntroduction: Cardiovascular disease is the leading cause of morbidity and mortality in diabetes mellitus (DM). Coronary artery disease, often diffuse and multivessel, represents a key manifestation, particularly in type 2 diabetes (T2D). Recent studies suggest that subclassifying DM into clinical clusters may help predict DM complications. Objective: To identify distinct phenotypic profiles by latent class analysis (LCA) among patients with T2D submitted to coronary angiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Median diabetes duration was 10 years (range 0–56), and mean age at CAG was 63.1 ± 9.7 years. Coronary involvement was defined as ≥ 70% stenosis in major epicardial arteries, ≥ 50% in the left main artery or prior coronary intervention. Coronary segments analyzed included the right coronary artery (RCA), left anterior descending (LAD), circumflex (CX), diagonal branches, left main, posterior branches, intermediate, and marginal arteries. LCA was applied to identify latent patterns of coronary involvement. Results: LCA identified two latent classes: “Low involvement” (296 patients, 54%; 95% CI: 49.7–58.2) and “Moderate-to-high involvement” (252 patients, 46%; 95% CI: 41.8–50.3). The moderate-to-high class showed probabilities of ≥ 70% for RCA and LAD involvement, moderate probabilities for CX (52%) and marginal (33%) arteries, and low to negligible involvement of other segments. In contrast, the low involvement class had less than 25% probability of RCA and LAD involvement and negligible involvement of other arteries (Figure). Compared to the low involvement group, the moderate-to-high class was significantly associated with male sex (OR: 2.7; p < 0.001), older age at CAG (OR: 1,04; p = 0,004), aspirin use (OR: 2,6; p = 0,006), previous history of myocardial infarction (OR: 5,08; p < 0,001) and previous coronary artery bypass grafting (OR: 5,021; p = 0,017), with no differences in diabetes duration, BMI or glycated hemoglobin in these two groups. Conclusion: We identified two distinct coronary phenotypic profiles in patients with T2D. The moderate-to-high involvement group consisted of older male patients with previous history of myocardial infarction and coronary artery bypass grafting, despite similar diabetes duration, BMI and glucose control between groups. Integrating DM phenotyping with coronary lesion patterns via LCA may provide a complementary tool for cardiovascular risk stratification and precision management in diabetes care.\n\n\n### (1) Disciplina de Endocrinologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (2) Disciplina de Cardiologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Disciplina de Oftalmologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (4) Disciplina de Endocrinologia do Departamento de Medicina da Faculdade de Medicina do ABC, São Paulo, SP, Brasil\nIntroduction: Cardiovascular disease is the leading cause of morbidity and mortality in diabetes mellitus (DM). Coronary artery disease, often diffuse and multivessel, represents a key manifestation, particularly in type 2 diabetes (T2D). Recent studies suggest that subclassifying DM into clinical clusters may help predict DM complications. Objective: To identify distinct phenotypic profiles by latent class analysis (LCA) among patients with T2D submitted to coronary angiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Median diabetes duration was 10 years (range 0–56), and mean age at CAG was 63.1 ± 9.7 years. Coronary involvement was defined as ≥ 70% stenosis in major epicardial arteries, ≥ 50% in the left main artery or prior coronary intervention. Coronary segments analyzed included the right coronary artery (RCA), left anterior descending (LAD), circumflex (CX), diagonal branches, left main, posterior branches, intermediate, and marginal arteries. LCA was applied to identify latent patterns of coronary involvement. Results: LCA identified two latent classes: “Low involvement” (296 patients, 54%; 95% CI: 49.7–58.2) and “Moderate-to-high involvement” (252 patients, 46%; 95% CI: 41.8–50.3). The moderate-to-high class showed probabilities of ≥ 70% for RCA and LAD involvement, moderate probabilities for CX (52%) and marginal (33%) arteries, and low to negligible involvement of other segments. In contrast, the low involvement class had less than 25% probability of RCA and LAD involvement and negligible involvement of other arteries (Figure). Compared to the low involvement group, the moderate-to-high class was significantly associated with male sex (OR: 2.7; p < 0.001), older age at CAG (OR: 1,04; p = 0,004), aspirin use (OR: 2,6; p = 0,006), previous history of myocardial infarction (OR: 5,08; p < 0,001) and previous coronary artery bypass grafting (OR: 5,021; p = 0,017), with no differences in diabetes duration, BMI or glycated hemoglobin in these two groups. Conclusion: We identified two distinct coronary phenotypic profiles in patients with T2D. The moderate-to-high involvement group consisted of older male patients with previous history of myocardial infarction and coronary artery bypass grafting, despite similar diabetes duration, BMI and glucose control between groups. Integrating DM phenotyping with coronary lesion patterns via LCA may provide a complementary tool for cardiovascular risk stratification and precision management in diabetes care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—070\nIntroduction: Cardiovascular disease is the leading cause of morbidity and mortality in diabetes mellitus (DM). Coronary artery disease, often diffuse and multivessel, represents a key manifestation, particularly in type 2 diabetes (T2D). Recent studies suggest that subclassifying DM into clinical clusters may help predict DM complications. Objective: To identify distinct phenotypic profiles by latent class analysis (LCA) among patients with T2D submitted to coronary angiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Median diabetes duration was 10 years (range 0–56), and mean age at CAG was 63.1 ± 9.7 years. Coronary involvement was defined as ≥ 70% stenosis in major epicardial arteries, ≥ 50% in the left main artery or prior coronary intervention. Coronary segments analyzed included the right coronary artery (RCA), left anterior descending (LAD), circumflex (CX), diagonal branches, left main, posterior branches, intermediate, and marginal arteries. LCA was applied to identify latent patterns of coronary involvement. Results: LCA identified two latent classes: “Low involvement” (296 patients, 54%; 95% CI: 49.7–58.2) and “Moderate-to-high involvement” (252 patients, 46%; 95% CI: 41.8–50.3). The moderate-to-high class showed probabilities of ≥ 70% for RCA and LAD involvement, moderate probabilities for CX (52%) and marginal (33%) arteries, and low to negligible involvement of other segments. In contrast, the low involvement class had less than 25% probability of RCA and LAD involvement and negligible involvement of other arteries (Figure). Compared to the low involvement group, the moderate-to-high class was significantly associated with male sex (OR: 2.7; p < 0.001), older age at CAG (OR: 1,04; p = 0,004), aspirin use (OR: 2,6; p = 0,006), previous history of myocardial infarction (OR: 5,08; p < 0,001) and previous coronary artery bypass grafting (OR: 5,021; p = 0,017), with no differences in diabetes duration, BMI or glycated hemoglobin in these two groups. Conclusion: We identified two distinct coronary phenotypic profiles in patients with T2D. The moderate-to-high involvement group consisted of older male patients with previous history of myocardial infarction and coronary artery bypass grafting, despite similar diabetes duration, BMI and glucose control between groups. Integrating DM phenotyping with coronary lesion patterns via LCA may provide a complementary tool for cardiovascular risk stratification and precision management in diabetes care.\n\n\n### PO—071 Performance Of The Life-T1D Cardiovascular Risk Tool And Optimal Cut-Off In A Brazilian Cohort With Long-Standing Type 1 Diabetes\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the LIFE-T1D, developed and validated in Europe, is evaluated here for the first time in a Brazilian T1D cohort. Objective: To evaluate the performance of LIFE-T1D in predicting 10-year CV events in individuals with long-standing T1D in Brazil, and to identify the optimal cut-off point for this population. Methods: This retrospective study analyzed medical records of subjects with T1D for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using LIFE-T1D. CV outcomes included coronary artery disease (CAD), heart failure (HF) and ischemic cerebrovascular accident (iCVA) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of LIFE-T1D (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the conventional high-risk threshold of ≥ 20%. Results: A total of 384 patients were included, 57.0% were females; mean age: 30.3 years; mean disease duration 19.0 years. The mean body mass index was 25.52 kg/m2; 22.1% had hypertension and 5.9% were smokers. During the 10-year follow-up, there were 20 CV events (15 CAD, 4 iCVA, and 1 HF). AUC for LIFE-T1D was 0.839, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 4.85% (p < 0.001), yielding a sensitivity of 80.0%, specificity of 81.3%, PPV of 19%, and NPV of 98.7%. With the ≥ 20% threshold, sensitivity was 20.0%, specificity 98.3%, PPV 40%, and NPV 95.7% (p < 0.001). Conclusion: In this Brazilian cohort with long-standing T1D, LIFE-T1D demonstrated good overall performance. The conventional ≥ 20% threshold showed low sensitivity, however a lower cut-off of 4.85% significantly improved sensitivity while maintaining acceptable specificity. A key limitation is that LIFE-T1D was developed and validated in lower-risk European populations, while Brazil is considered a high-risk region. Despite this, when applied with the optimal risk threshold, LIFE-T1D exhibits robust accuracy in predicting CV risk in the Brazilian population studied.Figure 1 (abstract PO—071) ROC curve for LIFE-T1D.\nROC curve for LIFE-T1D.\n\n\n### Garcia, PDM1; Paliares, IC2; Lauria, MW3; Dib, SA2; Dualib, PM2; Sá, JRD2; Costa, AH1; Sena, MCRD1; Rodacki, M1; Zajdenverg, L1; Vezzani, JRD1\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the LIFE-T1D, developed and validated in Europe, is evaluated here for the first time in a Brazilian T1D cohort. Objective: To evaluate the performance of LIFE-T1D in predicting 10-year CV events in individuals with long-standing T1D in Brazil, and to identify the optimal cut-off point for this population. Methods: This retrospective study analyzed medical records of subjects with T1D for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using LIFE-T1D. CV outcomes included coronary artery disease (CAD), heart failure (HF) and ischemic cerebrovascular accident (iCVA) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of LIFE-T1D (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the conventional high-risk threshold of ≥ 20%. Results: A total of 384 patients were included, 57.0% were females; mean age: 30.3 years; mean disease duration 19.0 years. The mean body mass index was 25.52 kg/m2; 22.1% had hypertension and 5.9% were smokers. During the 10-year follow-up, there were 20 CV events (15 CAD, 4 iCVA, and 1 HF). AUC for LIFE-T1D was 0.839, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 4.85% (p < 0.001), yielding a sensitivity of 80.0%, specificity of 81.3%, PPV of 19%, and NPV of 98.7%. With the ≥ 20% threshold, sensitivity was 20.0%, specificity 98.3%, PPV 40%, and NPV 95.7% (p < 0.001). Conclusion: In this Brazilian cohort with long-standing T1D, LIFE-T1D demonstrated good overall performance. The conventional ≥ 20% threshold showed low sensitivity, however a lower cut-off of 4.85% significantly improved sensitivity while maintaining acceptable specificity. A key limitation is that LIFE-T1D was developed and validated in lower-risk European populations, while Brazil is considered a high-risk region. Despite this, when applied with the optimal risk threshold, LIFE-T1D exhibits robust accuracy in predicting CV risk in the Brazilian population studied.Figure 1 (abstract PO—071) ROC curve for LIFE-T1D.\nROC curve for LIFE-T1D.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Universidade Federal de Minas Gerais, Belo Horizonte, MG – Brasil\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the LIFE-T1D, developed and validated in Europe, is evaluated here for the first time in a Brazilian T1D cohort. Objective: To evaluate the performance of LIFE-T1D in predicting 10-year CV events in individuals with long-standing T1D in Brazil, and to identify the optimal cut-off point for this population. Methods: This retrospective study analyzed medical records of subjects with T1D for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using LIFE-T1D. CV outcomes included coronary artery disease (CAD), heart failure (HF) and ischemic cerebrovascular accident (iCVA) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of LIFE-T1D (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the conventional high-risk threshold of ≥ 20%. Results: A total of 384 patients were included, 57.0% were females; mean age: 30.3 years; mean disease duration 19.0 years. The mean body mass index was 25.52 kg/m2; 22.1% had hypertension and 5.9% were smokers. During the 10-year follow-up, there were 20 CV events (15 CAD, 4 iCVA, and 1 HF). AUC for LIFE-T1D was 0.839, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 4.85% (p < 0.001), yielding a sensitivity of 80.0%, specificity of 81.3%, PPV of 19%, and NPV of 98.7%. With the ≥ 20% threshold, sensitivity was 20.0%, specificity 98.3%, PPV 40%, and NPV 95.7% (p < 0.001). Conclusion: In this Brazilian cohort with long-standing T1D, LIFE-T1D demonstrated good overall performance. The conventional ≥ 20% threshold showed low sensitivity, however a lower cut-off of 4.85% significantly improved sensitivity while maintaining acceptable specificity. A key limitation is that LIFE-T1D was developed and validated in lower-risk European populations, while Brazil is considered a high-risk region. Despite this, when applied with the optimal risk threshold, LIFE-T1D exhibits robust accuracy in predicting CV risk in the Brazilian population studied.Figure 1 (abstract PO—071) ROC curve for LIFE-T1D.\nROC curve for LIFE-T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—071\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the LIFE-T1D, developed and validated in Europe, is evaluated here for the first time in a Brazilian T1D cohort. Objective: To evaluate the performance of LIFE-T1D in predicting 10-year CV events in individuals with long-standing T1D in Brazil, and to identify the optimal cut-off point for this population. Methods: This retrospective study analyzed medical records of subjects with T1D for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using LIFE-T1D. CV outcomes included coronary artery disease (CAD), heart failure (HF) and ischemic cerebrovascular accident (iCVA) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of LIFE-T1D (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the conventional high-risk threshold of ≥ 20%. Results: A total of 384 patients were included, 57.0% were females; mean age: 30.3 years; mean disease duration 19.0 years. The mean body mass index was 25.52 kg/m2; 22.1% had hypertension and 5.9% were smokers. During the 10-year follow-up, there were 20 CV events (15 CAD, 4 iCVA, and 1 HF). AUC for LIFE-T1D was 0.839, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 4.85% (p < 0.001), yielding a sensitivity of 80.0%, specificity of 81.3%, PPV of 19%, and NPV of 98.7%. With the ≥ 20% threshold, sensitivity was 20.0%, specificity 98.3%, PPV 40%, and NPV 95.7% (p < 0.001). Conclusion: In this Brazilian cohort with long-standing T1D, LIFE-T1D demonstrated good overall performance. The conventional ≥ 20% threshold showed low sensitivity, however a lower cut-off of 4.85% significantly improved sensitivity while maintaining acceptable specificity. A key limitation is that LIFE-T1D was developed and validated in lower-risk European populations, while Brazil is considered a high-risk region. Despite this, when applied with the optimal risk threshold, LIFE-T1D exhibits robust accuracy in predicting CV risk in the Brazilian population studied.Figure 1 (abstract PO—071) ROC curve for LIFE-T1D.\nROC curve for LIFE-T1D.\n\n\n### PO—072 Predictive Accuracy Of The ST1RE Cardiovascular Risk Score In Type 1 Diabetes: Auc And Optimal Threshold Estimation\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the Steno Type 1 Risk Engine (ST1RE) has shown promise but may underestimate risk in certain populations. Its performance has not yet been optimized for Brazilian individuals with T1D. Objective:: To determine the optimal cut-off for the ST1RE calculator to improve its accuracy in predicting 10-year cardiovascular events in a Brazilian T1D population. Methods: This retrospective study analyzed medical records of individuals with T1D diagnosed for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using ST1RE. Cardiovascular (CV) outcomes included coronary artery disease (CAD), heart failure (HF), ischemic cerebrovascular accident (iCVA) and peripheral artery disease (PAD) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of ST1RE (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the original ST1RE high risk threshold (≥ 20% risk over 10 years). Results: A total of 523 patients were included, 55.44% were females; mean age: 28.9 years; mean disease duration 17.9 years. The mean body mass index was 25.03 kg/m2; 22.7% had hypertension and 7.07% were smokers. During the 10-year follow-up, there were 35 CV events (18 CAD, 7 iCVA, 8 PAD, and 2 HF). AUC for ST1RE was 0.864, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 5.18% (p < 0.001), yielding a sensitivity of 88.9%, specificity of 72.2%, PPV of 14.8%, and NPV of 98.7%. Conclusion: In this Brazilian cohort with long-standing T1D, the ST1RE calculator demonstrated good overall performance. However, its original ≥ 20% threshold underperformed in sensitivity. A lower cut-off of 5.18% significantly improved sensitivity while maintaining acceptable specificity. This trade-off appears appropriate for a screening tool aimed at identifying patients at increased cardiovascular risk.Figure 1 (abstract PO—072) ROC curve for steno type 1 risk engine.\nROC curve for steno type 1 risk engine.\n\n\n### Garcia, PDM1; Lauria, MW2; Paliares, IC3; Dib, SA3; Dualib, PM3; Sá, JRD3; Sena, MCRD1; Costa, AH1; Vezzani, JRD1; Zajdenverg, L1; Rodacki, M1\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the Steno Type 1 Risk Engine (ST1RE) has shown promise but may underestimate risk in certain populations. Its performance has not yet been optimized for Brazilian individuals with T1D. Objective:: To determine the optimal cut-off for the ST1RE calculator to improve its accuracy in predicting 10-year cardiovascular events in a Brazilian T1D population. Methods: This retrospective study analyzed medical records of individuals with T1D diagnosed for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using ST1RE. Cardiovascular (CV) outcomes included coronary artery disease (CAD), heart failure (HF), ischemic cerebrovascular accident (iCVA) and peripheral artery disease (PAD) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of ST1RE (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the original ST1RE high risk threshold (≥ 20% risk over 10 years). Results: A total of 523 patients were included, 55.44% were females; mean age: 28.9 years; mean disease duration 17.9 years. The mean body mass index was 25.03 kg/m2; 22.7% had hypertension and 7.07% were smokers. During the 10-year follow-up, there were 35 CV events (18 CAD, 7 iCVA, 8 PAD, and 2 HF). AUC for ST1RE was 0.864, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 5.18% (p < 0.001), yielding a sensitivity of 88.9%, specificity of 72.2%, PPV of 14.8%, and NPV of 98.7%. Conclusion: In this Brazilian cohort with long-standing T1D, the ST1RE calculator demonstrated good overall performance. However, its original ≥ 20% threshold underperformed in sensitivity. A lower cut-off of 5.18% significantly improved sensitivity while maintaining acceptable specificity. This trade-off appears appropriate for a screening tool aimed at identifying patients at increased cardiovascular risk.Figure 1 (abstract PO—072) ROC curve for steno type 1 risk engine.\nROC curve for steno type 1 risk engine.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Universidade Federal de Minas Gerais, Belo Horizonte, MG – Brasil\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the Steno Type 1 Risk Engine (ST1RE) has shown promise but may underestimate risk in certain populations. Its performance has not yet been optimized for Brazilian individuals with T1D. Objective:: To determine the optimal cut-off for the ST1RE calculator to improve its accuracy in predicting 10-year cardiovascular events in a Brazilian T1D population. Methods: This retrospective study analyzed medical records of individuals with T1D diagnosed for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using ST1RE. Cardiovascular (CV) outcomes included coronary artery disease (CAD), heart failure (HF), ischemic cerebrovascular accident (iCVA) and peripheral artery disease (PAD) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of ST1RE (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the original ST1RE high risk threshold (≥ 20% risk over 10 years). Results: A total of 523 patients were included, 55.44% were females; mean age: 28.9 years; mean disease duration 17.9 years. The mean body mass index was 25.03 kg/m2; 22.7% had hypertension and 7.07% were smokers. During the 10-year follow-up, there were 35 CV events (18 CAD, 7 iCVA, 8 PAD, and 2 HF). AUC for ST1RE was 0.864, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 5.18% (p < 0.001), yielding a sensitivity of 88.9%, specificity of 72.2%, PPV of 14.8%, and NPV of 98.7%. Conclusion: In this Brazilian cohort with long-standing T1D, the ST1RE calculator demonstrated good overall performance. However, its original ≥ 20% threshold underperformed in sensitivity. A lower cut-off of 5.18% significantly improved sensitivity while maintaining acceptable specificity. This trade-off appears appropriate for a screening tool aimed at identifying patients at increased cardiovascular risk.Figure 1 (abstract PO—072) ROC curve for steno type 1 risk engine.\nROC curve for steno type 1 risk engine.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—072\nIntroduction: In recent years, cardiovascular risk (CVR) prediction tools specifically designed for individuals with type 1 diabetes (T1D) have been developed. Among them, the Steno Type 1 Risk Engine (ST1RE) has shown promise but may underestimate risk in certain populations. Its performance has not yet been optimized for Brazilian individuals with T1D. Objective:: To determine the optimal cut-off for the ST1RE calculator to improve its accuracy in predicting 10-year cardiovascular events in a Brazilian T1D population. Methods: This retrospective study analyzed medical records of individuals with T1D diagnosed for over 10 years, from 3 centers in Southeastern Brazil. For each patient, 10-year CVR was calculated using ST1RE. Cardiovascular (CV) outcomes included coronary artery disease (CAD), heart failure (HF), ischemic cerebrovascular accident (iCVA) and peripheral artery disease (PAD) within 10-year follow-up. Receiver operating characteristic (ROC) curve was used to evaluate the discriminative performance of ST1RE (Fig. 1), and the area under the curve (AUC) was calculated. Diagnostic performance metrics were calculated: sensitivity, specificity, positive predictive value (PPV), and negative predictive value (NPV) using the newly identified cut-off and the original ST1RE high risk threshold (≥ 20% risk over 10 years). Results: A total of 523 patients were included, 55.44% were females; mean age: 28.9 years; mean disease duration 17.9 years. The mean body mass index was 25.03 kg/m2; 22.7% had hypertension and 7.07% were smokers. During the 10-year follow-up, there were 35 CV events (18 CAD, 7 iCVA, 8 PAD, and 2 HF). AUC for ST1RE was 0.864, indicating good discrimination. The optimal cutoff point identified was a 10-year risk of 5.18% (p < 0.001), yielding a sensitivity of 88.9%, specificity of 72.2%, PPV of 14.8%, and NPV of 98.7%. Conclusion: In this Brazilian cohort with long-standing T1D, the ST1RE calculator demonstrated good overall performance. However, its original ≥ 20% threshold underperformed in sensitivity. A lower cut-off of 5.18% significantly improved sensitivity while maintaining acceptable specificity. This trade-off appears appropriate for a screening tool aimed at identifying patients at increased cardiovascular risk.Figure 1 (abstract PO—072) ROC curve for steno type 1 risk engine.\nROC curve for steno type 1 risk engine.\n\n\n### PO—075 Glycemic Index And Glycemic Load Of The Diet In Pregnant Women With Preexisting Diabetes Mellitus: A Prospective Cohort Study\nIntroduction: The Glycemic Index (GI) and Glycemic Load (GL) of the diet play a key role in glycemic control among pregnant women with diabetes mellitus, as they influence postprandial glycemic response. Effective glycemic management is associated with a reduced risk of adverse outcomes, such as excessive gestational weight gain, hypertensive disorders, fetal macrosomia, and neonatal hypoglycemia. Objective: To calculate and classify the GI and GL of the diet of pregnant women with previous diabetes. Methods: Prospective cohort study nested in a randomized clinical trial, including pregnant women over 18 years with previous diabetes, followed up in prenatal care at a public maternity hospital in Rio de Janeiro between 2016 and 2024. Eligible pregnancies involved a single fetus and gestational age under 28 weeks. Dietary intake was assessed by a food frequency questionnaire in the 2nd and 3rd trimesters. An automated spreadsheet based on the “International table of glycemic index and glycemic load values” was used to calculate and classify dietary glycemic index and glycemic load. GI was classified as low (≤ 55), medium (> 55 and < 70) and high (≥ 70); GL as low (< 80g), moderate (80g ≤ GL ≤ 120g) and high (> 120g). Results: Among the 120 pregnant women analyzed, 54.2% had type 2 diabetes and 45.8% had type 1 diabetes. The mean GA was 56.42 (SD = 6.09) in the 2nd trimester and 55.64 (SD = 7.19) in the 3rd trimester, with no significant difference (p = 0.98). Median GC was 117.53 (IQR = 91.31–150.0) in the 2nd trimester and 110.22 (IQR = 83.10–146.13) in the 3rd trimester, also with no significant difference (p = 0.46). In the 2nd trimester, diets were classified as low (47.1%) and medium (52.9%) GI. In the 3rd, proportions were similar: low (48.3%), medium (50.6%), and high (1.1%) GI. Diets with moderate (36.5%) and high (49.0%) GL were more common in the 2nd trimester. In the 3rd, high glycemic load diets decreased (41.1%), while low (18.4%) and moderate (40.2%) increased. Conclusion: Most pregnant women maintained medium GI and high GL diets throughout pregnancy. However, in the 3rd trimester, there was a shift toward lower values, possibly due to increased prenatal visits and nutritional guidance, including reduced intake of ultra-processed foods. It was observed that the nutritional intervention boosted the reduction of diets with high GI and GL, possibly favoring the glycemic control of these pregnant women.\n\n\n### Saunders, C1; Lourenço, KDSMDS1; Silva, LBGD1; Lacerda, ASSPND1; Rodrigues, LR1; Vieira, MDA1; Silva, ERDS1; Marques, JG1; Carvalho, ALDS1; Souza, LGD1; Camelo, LL1; Santos, BMBD1; Moraes, MCD1; Sena, MSDS1; Moreira, SC1; Silva, MHRD1; Jesus, KBMLD2; Santos, KD2\nIntroduction: The Glycemic Index (GI) and Glycemic Load (GL) of the diet play a key role in glycemic control among pregnant women with diabetes mellitus, as they influence postprandial glycemic response. Effective glycemic management is associated with a reduced risk of adverse outcomes, such as excessive gestational weight gain, hypertensive disorders, fetal macrosomia, and neonatal hypoglycemia. Objective: To calculate and classify the GI and GL of the diet of pregnant women with previous diabetes. Methods: Prospective cohort study nested in a randomized clinical trial, including pregnant women over 18 years with previous diabetes, followed up in prenatal care at a public maternity hospital in Rio de Janeiro between 2016 and 2024. Eligible pregnancies involved a single fetus and gestational age under 28 weeks. Dietary intake was assessed by a food frequency questionnaire in the 2nd and 3rd trimesters. An automated spreadsheet based on the “International table of glycemic index and glycemic load values” was used to calculate and classify dietary glycemic index and glycemic load. GI was classified as low (≤ 55), medium (> 55 and < 70) and high (≥ 70); GL as low (< 80g), moderate (80g ≤ GL ≤ 120g) and high (> 120g). Results: Among the 120 pregnant women analyzed, 54.2% had type 2 diabetes and 45.8% had type 1 diabetes. The mean GA was 56.42 (SD = 6.09) in the 2nd trimester and 55.64 (SD = 7.19) in the 3rd trimester, with no significant difference (p = 0.98). Median GC was 117.53 (IQR = 91.31–150.0) in the 2nd trimester and 110.22 (IQR = 83.10–146.13) in the 3rd trimester, also with no significant difference (p = 0.46). In the 2nd trimester, diets were classified as low (47.1%) and medium (52.9%) GI. In the 3rd, proportions were similar: low (48.3%), medium (50.6%), and high (1.1%) GI. Diets with moderate (36.5%) and high (49.0%) GL were more common in the 2nd trimester. In the 3rd, high glycemic load diets decreased (41.1%), while low (18.4%) and moderate (40.2%) increased. Conclusion: Most pregnant women maintained medium GI and high GL diets throughout pregnancy. However, in the 3rd trimester, there was a shift toward lower values, possibly due to increased prenatal visits and nutritional guidance, including reduced intake of ultra-processed foods. It was observed that the nutritional intervention boosted the reduction of diets with high GI and GL, possibly favoring the glycemic control of these pregnant women.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal do Estado do Rio de Janeiro, Rio de Janeiro, RJ – Brasil\nIntroduction: The Glycemic Index (GI) and Glycemic Load (GL) of the diet play a key role in glycemic control among pregnant women with diabetes mellitus, as they influence postprandial glycemic response. Effective glycemic management is associated with a reduced risk of adverse outcomes, such as excessive gestational weight gain, hypertensive disorders, fetal macrosomia, and neonatal hypoglycemia. Objective: To calculate and classify the GI and GL of the diet of pregnant women with previous diabetes. Methods: Prospective cohort study nested in a randomized clinical trial, including pregnant women over 18 years with previous diabetes, followed up in prenatal care at a public maternity hospital in Rio de Janeiro between 2016 and 2024. Eligible pregnancies involved a single fetus and gestational age under 28 weeks. Dietary intake was assessed by a food frequency questionnaire in the 2nd and 3rd trimesters. An automated spreadsheet based on the “International table of glycemic index and glycemic load values” was used to calculate and classify dietary glycemic index and glycemic load. GI was classified as low (≤ 55), medium (> 55 and < 70) and high (≥ 70); GL as low (< 80g), moderate (80g ≤ GL ≤ 120g) and high (> 120g). Results: Among the 120 pregnant women analyzed, 54.2% had type 2 diabetes and 45.8% had type 1 diabetes. The mean GA was 56.42 (SD = 6.09) in the 2nd trimester and 55.64 (SD = 7.19) in the 3rd trimester, with no significant difference (p = 0.98). Median GC was 117.53 (IQR = 91.31–150.0) in the 2nd trimester and 110.22 (IQR = 83.10–146.13) in the 3rd trimester, also with no significant difference (p = 0.46). In the 2nd trimester, diets were classified as low (47.1%) and medium (52.9%) GI. In the 3rd, proportions were similar: low (48.3%), medium (50.6%), and high (1.1%) GI. Diets with moderate (36.5%) and high (49.0%) GL were more common in the 2nd trimester. In the 3rd, high glycemic load diets decreased (41.1%), while low (18.4%) and moderate (40.2%) increased. Conclusion: Most pregnant women maintained medium GI and high GL diets throughout pregnancy. However, in the 3rd trimester, there was a shift toward lower values, possibly due to increased prenatal visits and nutritional guidance, including reduced intake of ultra-processed foods. It was observed that the nutritional intervention boosted the reduction of diets with high GI and GL, possibly favoring the glycemic control of these pregnant women.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—075\nIntroduction: The Glycemic Index (GI) and Glycemic Load (GL) of the diet play a key role in glycemic control among pregnant women with diabetes mellitus, as they influence postprandial glycemic response. Effective glycemic management is associated with a reduced risk of adverse outcomes, such as excessive gestational weight gain, hypertensive disorders, fetal macrosomia, and neonatal hypoglycemia. Objective: To calculate and classify the GI and GL of the diet of pregnant women with previous diabetes. Methods: Prospective cohort study nested in a randomized clinical trial, including pregnant women over 18 years with previous diabetes, followed up in prenatal care at a public maternity hospital in Rio de Janeiro between 2016 and 2024. Eligible pregnancies involved a single fetus and gestational age under 28 weeks. Dietary intake was assessed by a food frequency questionnaire in the 2nd and 3rd trimesters. An automated spreadsheet based on the “International table of glycemic index and glycemic load values” was used to calculate and classify dietary glycemic index and glycemic load. GI was classified as low (≤ 55), medium (> 55 and < 70) and high (≥ 70); GL as low (< 80g), moderate (80g ≤ GL ≤ 120g) and high (> 120g). Results: Among the 120 pregnant women analyzed, 54.2% had type 2 diabetes and 45.8% had type 1 diabetes. The mean GA was 56.42 (SD = 6.09) in the 2nd trimester and 55.64 (SD = 7.19) in the 3rd trimester, with no significant difference (p = 0.98). Median GC was 117.53 (IQR = 91.31–150.0) in the 2nd trimester and 110.22 (IQR = 83.10–146.13) in the 3rd trimester, also with no significant difference (p = 0.46). In the 2nd trimester, diets were classified as low (47.1%) and medium (52.9%) GI. In the 3rd, proportions were similar: low (48.3%), medium (50.6%), and high (1.1%) GI. Diets with moderate (36.5%) and high (49.0%) GL were more common in the 2nd trimester. In the 3rd, high glycemic load diets decreased (41.1%), while low (18.4%) and moderate (40.2%) increased. Conclusion: Most pregnant women maintained medium GI and high GL diets throughout pregnancy. However, in the 3rd trimester, there was a shift toward lower values, possibly due to increased prenatal visits and nutritional guidance, including reduced intake of ultra-processed foods. It was observed that the nutritional intervention boosted the reduction of diets with high GI and GL, possibly favoring the glycemic control of these pregnant women.\n\n\n### PO—076 Adapting The Findrisc Score For The Long-Term Prediction Of Type 2 Diabetes Mellitus In Women With Prior Gestational Diabetes Mellitus\nIntroduction: Gestational diabetes mellitus (GDM) is a prevalent metabolic disorder during pregnancy, associated with an increased risk of developing type 2 diabetes mellitus (T2DM) postpartum. Epidemiological data indicate that women with prior GDM have up to a tenfold higher risk of developing T2DM, underscoring the need for early identification and long-term follow-up. The FINDRISC questionnaire is a validated tool for assessing T2DM risk in the general population but was not designed for women with GDM. This study proposes an adapted version for this group. Objective: To evaluate whether a diabetes mellitus risk score, adapted from the FINDRISC and applied during pregnancy, can accurately predict the long-term risk of developing T2DM in women with prior GDM. Methods: Retrospective cohort of 212 women with prior GDM, evaluated 2–16 years postpartum (2007–2024) at a tertiary diabetes-pregnancy clinic. The FINDRISC was adapted by replacing the abdominal circumference variable with gestational weight gain—classified as adequate or inadequate based on the Institute of Medicine—and adding insulin use. Variables scored: age, pregestational BMI, gestational weight gain, insulin use, hypertension, diet (fruit/vegetable intake), physical activity, any lifetime dysglycemia, and family history of T2DM. Data were obtained from gestational records; participants underwent a 75g OGTT and were classified as normoglycemic, glucose intolerant, or diabetic according to Brazilian Diabetes Society criteria. Results: Of 202 women, 114 were normoglycemic, 43 glucose intolerant, and 45 with T2DM. Mean values for age, pre-gestational BMI, and gestational weight gain were similar across groups: 34.2(+ 5.6) years, 29.5(+ 6.3) kg/m2, and 8.4(+ 7.4) kg in the normoglycemic group; 33.5 years(+ 5.7), 30.0 (+ 5.9)kg/m2, and 9.2(+ 9.3) kg in the glucose intolerance group; and 34.2 (+ 5.7)years, 31.5(+ 4.4) kg/m2, and 8.5(+ 6.6) kg in the T2DM group (p = 0.33, p = 0.23, p = 0.98). No significant differences for insulin use (p = 0.17), hypertension (p = 0.26), diet, family history (p = 0.48), or physical activity (p = 0.26). The modified FINDRISC score showed no statistically significant differences between the groups (p = 0.515) Conclusion: Findings suggest the modified FINDRISC has limited ability to predict T2DM in women with prior GDM. Despite targeted adaptations to the original score, it did not distinguish normoglycemic, glucose-intolerant, and diabetic groups, underscoring the need for more specific risk tools for this high-risk population. (supported by fapesp).\n\n\n### Spallicci, DG1; Muradian, MMP1; Souza, FD1; Abate, MCO1; Frasson, M1; Jordão, MC1; Dib, SA2; Pititto, BDA2; Dualib, PM2\nIntroduction: Gestational diabetes mellitus (GDM) is a prevalent metabolic disorder during pregnancy, associated with an increased risk of developing type 2 diabetes mellitus (T2DM) postpartum. Epidemiological data indicate that women with prior GDM have up to a tenfold higher risk of developing T2DM, underscoring the need for early identification and long-term follow-up. The FINDRISC questionnaire is a validated tool for assessing T2DM risk in the general population but was not designed for women with GDM. This study proposes an adapted version for this group. Objective: To evaluate whether a diabetes mellitus risk score, adapted from the FINDRISC and applied during pregnancy, can accurately predict the long-term risk of developing T2DM in women with prior GDM. Methods: Retrospective cohort of 212 women with prior GDM, evaluated 2–16 years postpartum (2007–2024) at a tertiary diabetes-pregnancy clinic. The FINDRISC was adapted by replacing the abdominal circumference variable with gestational weight gain—classified as adequate or inadequate based on the Institute of Medicine—and adding insulin use. Variables scored: age, pregestational BMI, gestational weight gain, insulin use, hypertension, diet (fruit/vegetable intake), physical activity, any lifetime dysglycemia, and family history of T2DM. Data were obtained from gestational records; participants underwent a 75g OGTT and were classified as normoglycemic, glucose intolerant, or diabetic according to Brazilian Diabetes Society criteria. Results: Of 202 women, 114 were normoglycemic, 43 glucose intolerant, and 45 with T2DM. Mean values for age, pre-gestational BMI, and gestational weight gain were similar across groups: 34.2(+ 5.6) years, 29.5(+ 6.3) kg/m2, and 8.4(+ 7.4) kg in the normoglycemic group; 33.5 years(+ 5.7), 30.0 (+ 5.9)kg/m2, and 9.2(+ 9.3) kg in the glucose intolerance group; and 34.2 (+ 5.7)years, 31.5(+ 4.4) kg/m2, and 8.5(+ 6.6) kg in the T2DM group (p = 0.33, p = 0.23, p = 0.98). No significant differences for insulin use (p = 0.17), hypertension (p = 0.26), diet, family history (p = 0.48), or physical activity (p = 0.26). The modified FINDRISC score showed no statistically significant differences between the groups (p = 0.515) Conclusion: Findings suggest the modified FINDRISC has limited ability to predict T2DM in women with prior GDM. Despite targeted adaptations to the original score, it did not distinguish normoglycemic, glucose-intolerant, and diabetic groups, underscoring the need for more specific risk tools for this high-risk population. (supported by fapesp).\n\n\n### (1) Faculdade de Medicina do ABC; Programa de Pós-graduação em Endocrinologia e Metabologia, (2) Escola Paulista de Medicina, Universidade Federal de São Paulo, São Paulo, Brasil, São Paulo, SP, Brasil\nIntroduction: Gestational diabetes mellitus (GDM) is a prevalent metabolic disorder during pregnancy, associated with an increased risk of developing type 2 diabetes mellitus (T2DM) postpartum. Epidemiological data indicate that women with prior GDM have up to a tenfold higher risk of developing T2DM, underscoring the need for early identification and long-term follow-up. The FINDRISC questionnaire is a validated tool for assessing T2DM risk in the general population but was not designed for women with GDM. This study proposes an adapted version for this group. Objective: To evaluate whether a diabetes mellitus risk score, adapted from the FINDRISC and applied during pregnancy, can accurately predict the long-term risk of developing T2DM in women with prior GDM. Methods: Retrospective cohort of 212 women with prior GDM, evaluated 2–16 years postpartum (2007–2024) at a tertiary diabetes-pregnancy clinic. The FINDRISC was adapted by replacing the abdominal circumference variable with gestational weight gain—classified as adequate or inadequate based on the Institute of Medicine—and adding insulin use. Variables scored: age, pregestational BMI, gestational weight gain, insulin use, hypertension, diet (fruit/vegetable intake), physical activity, any lifetime dysglycemia, and family history of T2DM. Data were obtained from gestational records; participants underwent a 75g OGTT and were classified as normoglycemic, glucose intolerant, or diabetic according to Brazilian Diabetes Society criteria. Results: Of 202 women, 114 were normoglycemic, 43 glucose intolerant, and 45 with T2DM. Mean values for age, pre-gestational BMI, and gestational weight gain were similar across groups: 34.2(+ 5.6) years, 29.5(+ 6.3) kg/m2, and 8.4(+ 7.4) kg in the normoglycemic group; 33.5 years(+ 5.7), 30.0 (+ 5.9)kg/m2, and 9.2(+ 9.3) kg in the glucose intolerance group; and 34.2 (+ 5.7)years, 31.5(+ 4.4) kg/m2, and 8.5(+ 6.6) kg in the T2DM group (p = 0.33, p = 0.23, p = 0.98). No significant differences for insulin use (p = 0.17), hypertension (p = 0.26), diet, family history (p = 0.48), or physical activity (p = 0.26). The modified FINDRISC score showed no statistically significant differences between the groups (p = 0.515) Conclusion: Findings suggest the modified FINDRISC has limited ability to predict T2DM in women with prior GDM. Despite targeted adaptations to the original score, it did not distinguish normoglycemic, glucose-intolerant, and diabetic groups, underscoring the need for more specific risk tools for this high-risk population. (supported by fapesp).\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—076\nIntroduction: Gestational diabetes mellitus (GDM) is a prevalent metabolic disorder during pregnancy, associated with an increased risk of developing type 2 diabetes mellitus (T2DM) postpartum. Epidemiological data indicate that women with prior GDM have up to a tenfold higher risk of developing T2DM, underscoring the need for early identification and long-term follow-up. The FINDRISC questionnaire is a validated tool for assessing T2DM risk in the general population but was not designed for women with GDM. This study proposes an adapted version for this group. Objective: To evaluate whether a diabetes mellitus risk score, adapted from the FINDRISC and applied during pregnancy, can accurately predict the long-term risk of developing T2DM in women with prior GDM. Methods: Retrospective cohort of 212 women with prior GDM, evaluated 2–16 years postpartum (2007–2024) at a tertiary diabetes-pregnancy clinic. The FINDRISC was adapted by replacing the abdominal circumference variable with gestational weight gain—classified as adequate or inadequate based on the Institute of Medicine—and adding insulin use. Variables scored: age, pregestational BMI, gestational weight gain, insulin use, hypertension, diet (fruit/vegetable intake), physical activity, any lifetime dysglycemia, and family history of T2DM. Data were obtained from gestational records; participants underwent a 75g OGTT and were classified as normoglycemic, glucose intolerant, or diabetic according to Brazilian Diabetes Society criteria. Results: Of 202 women, 114 were normoglycemic, 43 glucose intolerant, and 45 with T2DM. Mean values for age, pre-gestational BMI, and gestational weight gain were similar across groups: 34.2(+ 5.6) years, 29.5(+ 6.3) kg/m2, and 8.4(+ 7.4) kg in the normoglycemic group; 33.5 years(+ 5.7), 30.0 (+ 5.9)kg/m2, and 9.2(+ 9.3) kg in the glucose intolerance group; and 34.2 (+ 5.7)years, 31.5(+ 4.4) kg/m2, and 8.5(+ 6.6) kg in the T2DM group (p = 0.33, p = 0.23, p = 0.98). No significant differences for insulin use (p = 0.17), hypertension (p = 0.26), diet, family history (p = 0.48), or physical activity (p = 0.26). The modified FINDRISC score showed no statistically significant differences between the groups (p = 0.515) Conclusion: Findings suggest the modified FINDRISC has limited ability to predict T2DM in women with prior GDM. Despite targeted adaptations to the original score, it did not distinguish normoglycemic, glucose-intolerant, and diabetic groups, underscoring the need for more specific risk tools for this high-risk population. (supported by fapesp).\n\n\n### PO—077 Adequacy Of Gestational Weight Gain Of Pregnant Women With Hyperglycemia According To The Brazilian Charts And Associated Factors\nIntroduction: Weight gain is a physiological aspect of pregnancy, resulting from fetal-placental growth and maternal tissue growth. Gestational hyperglycemia is associated with adverse perinatal outcomes, such as hypertensive disorders, macrosomia, preterm birth, and others. Monitoring gestational weight gain (GWG) is an important part of prenatal care, especially in pregnant women with hyperglycemia, given its influence on the occurrence of adverse perinatal outcomes. Objective: To analyze the adequacy of GWG according to Brazilian gestational weight gain curves and associated factors among pregnant women with hyperglycemia. Methods: This is an observational, cross-sectional study with data collected between 2021 and 2023. Participants were pregnant women aged ≥ 18 years, with at least one prenatal visit, a singleton pregnancy, a diagnosis of pregestational or gestational diabetes mellitus, and availability of anthropometric data in medical records. Sociodemographic, clinical, obstetric, and prenatal and nutritional care data were evaluated. In the statistical analysis, the Kruskal–Wallis test was used to compare medians and Pearson’s chi-square test to compare frequencies, in SPSS version 25.0. Statistical significance was set at p < 0.05. Results: 198 women were studied, with a median age of 31.0 (27.0–37.0) years. Of this total, non-white skin color was reported by 68.5% (n = 135), 74.7% (n = 148) completed high school, 61.4% (n = 121) had paid work, 85.1% (n = 166) lived with a partner and 93.4% (n = 184) lived in housing with adequate sanitation conditions. The majority began pregnancy with obesity (48.5%, n = 96). The prevalence of insufficient, adequate and excessive GWG were 36.4% (n = 72), 16.1% (n = 32) and 47.4% (n = 94), respectively. The factors associated with GWG were glycated hemoglobin in the 1st and 2nd trimesters (p = 0.03 and p = 0.03, respectively) and fasting glucose in the 1st, 2nd, and 3rd trimesters (p =  < 0.01, p = 0.03, and p = 0.01, respectively), with higher values observed in cases of excessive GWG. Regarding perinatal outcomes, GWG was associated with the need for hospitalization during pregnancy (p = 0.02), with cases of excessive GWG requiring more days of hospitalization than others. Conclusion: These findings reinforce the importance of GWG control during pregnancy. Research considering the recommendations of the Brazilian weight gain curves is needed to consolidate their use among pregnant women with hyperglycemia.\n\n\n### Moraes, MC1; Vieira, MA1; Abras, A1; Silva, LBG1; Santos, K2; Lourenço, KSMDS1; Lacerda, ASSPN1; Sinquini, C1; Lima, L1; Saunders, C1\nIntroduction: Weight gain is a physiological aspect of pregnancy, resulting from fetal-placental growth and maternal tissue growth. Gestational hyperglycemia is associated with adverse perinatal outcomes, such as hypertensive disorders, macrosomia, preterm birth, and others. Monitoring gestational weight gain (GWG) is an important part of prenatal care, especially in pregnant women with hyperglycemia, given its influence on the occurrence of adverse perinatal outcomes. Objective: To analyze the adequacy of GWG according to Brazilian gestational weight gain curves and associated factors among pregnant women with hyperglycemia. Methods: This is an observational, cross-sectional study with data collected between 2021 and 2023. Participants were pregnant women aged ≥ 18 years, with at least one prenatal visit, a singleton pregnancy, a diagnosis of pregestational or gestational diabetes mellitus, and availability of anthropometric data in medical records. Sociodemographic, clinical, obstetric, and prenatal and nutritional care data were evaluated. In the statistical analysis, the Kruskal–Wallis test was used to compare medians and Pearson’s chi-square test to compare frequencies, in SPSS version 25.0. Statistical significance was set at p < 0.05. Results: 198 women were studied, with a median age of 31.0 (27.0–37.0) years. Of this total, non-white skin color was reported by 68.5% (n = 135), 74.7% (n = 148) completed high school, 61.4% (n = 121) had paid work, 85.1% (n = 166) lived with a partner and 93.4% (n = 184) lived in housing with adequate sanitation conditions. The majority began pregnancy with obesity (48.5%, n = 96). The prevalence of insufficient, adequate and excessive GWG were 36.4% (n = 72), 16.1% (n = 32) and 47.4% (n = 94), respectively. The factors associated with GWG were glycated hemoglobin in the 1st and 2nd trimesters (p = 0.03 and p = 0.03, respectively) and fasting glucose in the 1st, 2nd, and 3rd trimesters (p =  < 0.01, p = 0.03, and p = 0.01, respectively), with higher values observed in cases of excessive GWG. Regarding perinatal outcomes, GWG was associated with the need for hospitalization during pregnancy (p = 0.02), with cases of excessive GWG requiring more days of hospitalization than others. Conclusion: These findings reinforce the importance of GWG control during pregnancy. Research considering the recommendations of the Brazilian weight gain curves is needed to consolidate their use among pregnant women with hyperglycemia.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal do Rio de Janeiro e Universidade Federal do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Weight gain is a physiological aspect of pregnancy, resulting from fetal-placental growth and maternal tissue growth. Gestational hyperglycemia is associated with adverse perinatal outcomes, such as hypertensive disorders, macrosomia, preterm birth, and others. Monitoring gestational weight gain (GWG) is an important part of prenatal care, especially in pregnant women with hyperglycemia, given its influence on the occurrence of adverse perinatal outcomes. Objective: To analyze the adequacy of GWG according to Brazilian gestational weight gain curves and associated factors among pregnant women with hyperglycemia. Methods: This is an observational, cross-sectional study with data collected between 2021 and 2023. Participants were pregnant women aged ≥ 18 years, with at least one prenatal visit, a singleton pregnancy, a diagnosis of pregestational or gestational diabetes mellitus, and availability of anthropometric data in medical records. Sociodemographic, clinical, obstetric, and prenatal and nutritional care data were evaluated. In the statistical analysis, the Kruskal–Wallis test was used to compare medians and Pearson’s chi-square test to compare frequencies, in SPSS version 25.0. Statistical significance was set at p < 0.05. Results: 198 women were studied, with a median age of 31.0 (27.0–37.0) years. Of this total, non-white skin color was reported by 68.5% (n = 135), 74.7% (n = 148) completed high school, 61.4% (n = 121) had paid work, 85.1% (n = 166) lived with a partner and 93.4% (n = 184) lived in housing with adequate sanitation conditions. The majority began pregnancy with obesity (48.5%, n = 96). The prevalence of insufficient, adequate and excessive GWG were 36.4% (n = 72), 16.1% (n = 32) and 47.4% (n = 94), respectively. The factors associated with GWG were glycated hemoglobin in the 1st and 2nd trimesters (p = 0.03 and p = 0.03, respectively) and fasting glucose in the 1st, 2nd, and 3rd trimesters (p =  < 0.01, p = 0.03, and p = 0.01, respectively), with higher values observed in cases of excessive GWG. Regarding perinatal outcomes, GWG was associated with the need for hospitalization during pregnancy (p = 0.02), with cases of excessive GWG requiring more days of hospitalization than others. Conclusion: These findings reinforce the importance of GWG control during pregnancy. Research considering the recommendations of the Brazilian weight gain curves is needed to consolidate their use among pregnant women with hyperglycemia.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—077\nIntroduction: Weight gain is a physiological aspect of pregnancy, resulting from fetal-placental growth and maternal tissue growth. Gestational hyperglycemia is associated with adverse perinatal outcomes, such as hypertensive disorders, macrosomia, preterm birth, and others. Monitoring gestational weight gain (GWG) is an important part of prenatal care, especially in pregnant women with hyperglycemia, given its influence on the occurrence of adverse perinatal outcomes. Objective: To analyze the adequacy of GWG according to Brazilian gestational weight gain curves and associated factors among pregnant women with hyperglycemia. Methods: This is an observational, cross-sectional study with data collected between 2021 and 2023. Participants were pregnant women aged ≥ 18 years, with at least one prenatal visit, a singleton pregnancy, a diagnosis of pregestational or gestational diabetes mellitus, and availability of anthropometric data in medical records. Sociodemographic, clinical, obstetric, and prenatal and nutritional care data were evaluated. In the statistical analysis, the Kruskal–Wallis test was used to compare medians and Pearson’s chi-square test to compare frequencies, in SPSS version 25.0. Statistical significance was set at p < 0.05. Results: 198 women were studied, with a median age of 31.0 (27.0–37.0) years. Of this total, non-white skin color was reported by 68.5% (n = 135), 74.7% (n = 148) completed high school, 61.4% (n = 121) had paid work, 85.1% (n = 166) lived with a partner and 93.4% (n = 184) lived in housing with adequate sanitation conditions. The majority began pregnancy with obesity (48.5%, n = 96). The prevalence of insufficient, adequate and excessive GWG were 36.4% (n = 72), 16.1% (n = 32) and 47.4% (n = 94), respectively. The factors associated with GWG were glycated hemoglobin in the 1st and 2nd trimesters (p = 0.03 and p = 0.03, respectively) and fasting glucose in the 1st, 2nd, and 3rd trimesters (p =  < 0.01, p = 0.03, and p = 0.01, respectively), with higher values observed in cases of excessive GWG. Regarding perinatal outcomes, GWG was associated with the need for hospitalization during pregnancy (p = 0.02), with cases of excessive GWG requiring more days of hospitalization than others. Conclusion: These findings reinforce the importance of GWG control during pregnancy. Research considering the recommendations of the Brazilian weight gain curves is needed to consolidate their use among pregnant women with hyperglycemia.\n\n\n### PO—078 Assessment Of The Family Planning Profile In Women With Chronic Comorbidities: Type 1 Diabetes Or Post-Bariatric Surgery. Knowledge Does Not Reflect Adherence\nIntroduction: The increasing prevalence of chronic conditions like obesity and diabetes mellitus (DM) during pregnancy is a significant public health issue. Brazil ranks among the top 10 countries in type 1 diabetes prevalence, with an estimated 1.5% of pregnancies in women with type 1 DM (T1DM). The global rise in obesity, projected to affect 1.65 billion people by 2030, may increase the number of women of reproductive age undergoing bariatric surgery (BS). Due to elevated maternal and fetal risks in these populations, family planning and preconception care are key to preventing complications. Objective: To assess knowledge and adherence to family planning methods among women with T1DM or a history of BS. Methods: An observational, analytical study was conducted with women aged 15–50 years from specialized outpatient clinics. Data were collected through questionnaires administered individually. The study population included women with T1DM or who had undergone BS. Results: The study included 71 non-pregnant women of childbearing age (66 with T1DM and 5 post-BS). Among them, 25.3% had experienced abortion and 56.3% had delivered a baby. The mean age was 28.87 years; 57.7% were Black and 66.2% were single. Regarding income, 27.1% earned more than three minimum wages, 50% between two and three and 22.9% earned up to one. Most (71.8%) had ≥ 9 years of schooling. Mean T1DM diagnosis age was 12.2 years, and mean time post-BS was 7.6 years. Most (71.8%) reported never receiving guidance about the ideal time to become pregnant. Only 21.1% reported that they were using an effective method (IUD or oral contraceptive – OC). The most known methods were IUD (92.9%), male condom (91.5%), injectable contraceptive (91.5%), and female condom (95,8%). Past use methods included: OC (62%), IUD (19.7%), injectable contraceptives (22.5%) and male condom (40.9%). Although 91.5% understood and agreed with the concept of planned pregnancy, 66.7% of those previously pregnant had unplanned pregnancies and only 22.2% used folic acid preconceptionally. Six current and five former smokers were identified; eight had quit during pregnancy. Alcohol was consumed weekly by 53.5% of participants and one continued drinking in early pregnancy. Conclusion: Despite high awareness of contraceptive methods, effective use remains low. This gap indicates the need for structured, ongoing reproductive counseling for women with chronic conditions to improve planning and reduce maternal–fetal risks.\n\n\n### Caneca, KDO1; Costa, MMI1; Alves, ME1; Ferreira, NCA1; Rodacki, M1; Zajdenverg, L1\nIntroduction: The increasing prevalence of chronic conditions like obesity and diabetes mellitus (DM) during pregnancy is a significant public health issue. Brazil ranks among the top 10 countries in type 1 diabetes prevalence, with an estimated 1.5% of pregnancies in women with type 1 DM (T1DM). The global rise in obesity, projected to affect 1.65 billion people by 2030, may increase the number of women of reproductive age undergoing bariatric surgery (BS). Due to elevated maternal and fetal risks in these populations, family planning and preconception care are key to preventing complications. Objective: To assess knowledge and adherence to family planning methods among women with T1DM or a history of BS. Methods: An observational, analytical study was conducted with women aged 15–50 years from specialized outpatient clinics. Data were collected through questionnaires administered individually. The study population included women with T1DM or who had undergone BS. Results: The study included 71 non-pregnant women of childbearing age (66 with T1DM and 5 post-BS). Among them, 25.3% had experienced abortion and 56.3% had delivered a baby. The mean age was 28.87 years; 57.7% were Black and 66.2% were single. Regarding income, 27.1% earned more than three minimum wages, 50% between two and three and 22.9% earned up to one. Most (71.8%) had ≥ 9 years of schooling. Mean T1DM diagnosis age was 12.2 years, and mean time post-BS was 7.6 years. Most (71.8%) reported never receiving guidance about the ideal time to become pregnant. Only 21.1% reported that they were using an effective method (IUD or oral contraceptive – OC). The most known methods were IUD (92.9%), male condom (91.5%), injectable contraceptive (91.5%), and female condom (95,8%). Past use methods included: OC (62%), IUD (19.7%), injectable contraceptives (22.5%) and male condom (40.9%). Although 91.5% understood and agreed with the concept of planned pregnancy, 66.7% of those previously pregnant had unplanned pregnancies and only 22.2% used folic acid preconceptionally. Six current and five former smokers were identified; eight had quit during pregnancy. Alcohol was consumed weekly by 53.5% of participants and one continued drinking in early pregnancy. Conclusion: Despite high awareness of contraceptive methods, effective use remains low. This gap indicates the need for structured, ongoing reproductive counseling for women with chronic conditions to improve planning and reduce maternal–fetal risks.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: The increasing prevalence of chronic conditions like obesity and diabetes mellitus (DM) during pregnancy is a significant public health issue. Brazil ranks among the top 10 countries in type 1 diabetes prevalence, with an estimated 1.5% of pregnancies in women with type 1 DM (T1DM). The global rise in obesity, projected to affect 1.65 billion people by 2030, may increase the number of women of reproductive age undergoing bariatric surgery (BS). Due to elevated maternal and fetal risks in these populations, family planning and preconception care are key to preventing complications. Objective: To assess knowledge and adherence to family planning methods among women with T1DM or a history of BS. Methods: An observational, analytical study was conducted with women aged 15–50 years from specialized outpatient clinics. Data were collected through questionnaires administered individually. The study population included women with T1DM or who had undergone BS. Results: The study included 71 non-pregnant women of childbearing age (66 with T1DM and 5 post-BS). Among them, 25.3% had experienced abortion and 56.3% had delivered a baby. The mean age was 28.87 years; 57.7% were Black and 66.2% were single. Regarding income, 27.1% earned more than three minimum wages, 50% between two and three and 22.9% earned up to one. Most (71.8%) had ≥ 9 years of schooling. Mean T1DM diagnosis age was 12.2 years, and mean time post-BS was 7.6 years. Most (71.8%) reported never receiving guidance about the ideal time to become pregnant. Only 21.1% reported that they were using an effective method (IUD or oral contraceptive – OC). The most known methods were IUD (92.9%), male condom (91.5%), injectable contraceptive (91.5%), and female condom (95,8%). Past use methods included: OC (62%), IUD (19.7%), injectable contraceptives (22.5%) and male condom (40.9%). Although 91.5% understood and agreed with the concept of planned pregnancy, 66.7% of those previously pregnant had unplanned pregnancies and only 22.2% used folic acid preconceptionally. Six current and five former smokers were identified; eight had quit during pregnancy. Alcohol was consumed weekly by 53.5% of participants and one continued drinking in early pregnancy. Conclusion: Despite high awareness of contraceptive methods, effective use remains low. This gap indicates the need for structured, ongoing reproductive counseling for women with chronic conditions to improve planning and reduce maternal–fetal risks.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—078\nIntroduction: The increasing prevalence of chronic conditions like obesity and diabetes mellitus (DM) during pregnancy is a significant public health issue. Brazil ranks among the top 10 countries in type 1 diabetes prevalence, with an estimated 1.5% of pregnancies in women with type 1 DM (T1DM). The global rise in obesity, projected to affect 1.65 billion people by 2030, may increase the number of women of reproductive age undergoing bariatric surgery (BS). Due to elevated maternal and fetal risks in these populations, family planning and preconception care are key to preventing complications. Objective: To assess knowledge and adherence to family planning methods among women with T1DM or a history of BS. Methods: An observational, analytical study was conducted with women aged 15–50 years from specialized outpatient clinics. Data were collected through questionnaires administered individually. The study population included women with T1DM or who had undergone BS. Results: The study included 71 non-pregnant women of childbearing age (66 with T1DM and 5 post-BS). Among them, 25.3% had experienced abortion and 56.3% had delivered a baby. The mean age was 28.87 years; 57.7% were Black and 66.2% were single. Regarding income, 27.1% earned more than three minimum wages, 50% between two and three and 22.9% earned up to one. Most (71.8%) had ≥ 9 years of schooling. Mean T1DM diagnosis age was 12.2 years, and mean time post-BS was 7.6 years. Most (71.8%) reported never receiving guidance about the ideal time to become pregnant. Only 21.1% reported that they were using an effective method (IUD or oral contraceptive – OC). The most known methods were IUD (92.9%), male condom (91.5%), injectable contraceptive (91.5%), and female condom (95,8%). Past use methods included: OC (62%), IUD (19.7%), injectable contraceptives (22.5%) and male condom (40.9%). Although 91.5% understood and agreed with the concept of planned pregnancy, 66.7% of those previously pregnant had unplanned pregnancies and only 22.2% used folic acid preconceptionally. Six current and five former smokers were identified; eight had quit during pregnancy. Alcohol was consumed weekly by 53.5% of participants and one continued drinking in early pregnancy. Conclusion: Despite high awareness of contraceptive methods, effective use remains low. This gap indicates the need for structured, ongoing reproductive counseling for women with chronic conditions to improve planning and reduce maternal–fetal risks.\n\n\n### PO—079 Association Between Comorbidities And Maternal–Fetal Outcomes In Pregnant Women With Type 2 Diabetes Mellitus At A Public Healthcare Referral Center\nIntroduction: Type 2 diabetes mellitus (T2DM) during pregnancy represents a high-risk obstetric condition, particularly when associated with multiple comorbidities. Conditions such as obesity, hypertension, and dyslipidemia interact synergistically with chronic hyperglycemia, increasing the risk of adverse pregnancy outcomes, including perinatal death, preeclampsia, prematurity, fetal growth disorders, and the need for intensive care unit admission, among others. Nevertheless, the risks faced by these patients have been underestimated in populations managed within the public healthcare system in our setting. Objective: To Study adverse pregnancy outcomes and the presence of comorbidities associated with DM2 in pregnancy. Methods: This was a retrospective observational study involving the review of 84 medical records of pregnant women with T2DM attended between 2014 and 2024 at a public healthcare reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80,431,724.6.0000.5049). Results: In this group, of T2DM pregnant women, with a mean age of 34.5 ± 4.6 years old, 79.8% had at least one comorbidity in addition to diabetes, with 48.8% having two or more associated conditions. Obesity was found in 90%, 37% had dyslipidemia and 32,2% hypertension. Regarding gestational outcomes, 69.8% presented maternal complications such as hypertensive crisis, hospitalization for blood glucose management, pregnancy loss, and infection. In terms of neonatal outcomes, 6.5% presented congenital malformations, notably cardiac malformation and hip dysplasia, 14.2% were considered large for gestational age or macrosomic, and 10.7% had low birth weight. Furthermore, 50% of cases had some neonatal complication, including hypoglycemia, jaundice, and respiratory disorders, and 28.1% required neonatal intensive care. Obesity and hypertension were associated with a higher risk of obstetric complications (p = 0.047) in T2DM pregnancy. Conclusion: Comorbidities and adverse pregnancy outcomes are highly prevalent among pregnancies in women with T2DM. The additional burden of obesity and hypertension on this population has been consistently demonstrated in previous studies. These findings underscore the substantial risk faced by these patients and highlight the necessity for interventions through preventive strategies, health education, and structured preconception care, designed to mitigate maternal and perinatal risks.\n\n\n### Pereira, ANM1; Amaral, LLG1; Aragão, IFM1; Façanha, CFS1; Montenegro, AXCB2; Rocha, IMA1\nIntroduction: Type 2 diabetes mellitus (T2DM) during pregnancy represents a high-risk obstetric condition, particularly when associated with multiple comorbidities. Conditions such as obesity, hypertension, and dyslipidemia interact synergistically with chronic hyperglycemia, increasing the risk of adverse pregnancy outcomes, including perinatal death, preeclampsia, prematurity, fetal growth disorders, and the need for intensive care unit admission, among others. Nevertheless, the risks faced by these patients have been underestimated in populations managed within the public healthcare system in our setting. Objective: To Study adverse pregnancy outcomes and the presence of comorbidities associated with DM2 in pregnancy. Methods: This was a retrospective observational study involving the review of 84 medical records of pregnant women with T2DM attended between 2014 and 2024 at a public healthcare reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80,431,724.6.0000.5049). Results: In this group, of T2DM pregnant women, with a mean age of 34.5 ± 4.6 years old, 79.8% had at least one comorbidity in addition to diabetes, with 48.8% having two or more associated conditions. Obesity was found in 90%, 37% had dyslipidemia and 32,2% hypertension. Regarding gestational outcomes, 69.8% presented maternal complications such as hypertensive crisis, hospitalization for blood glucose management, pregnancy loss, and infection. In terms of neonatal outcomes, 6.5% presented congenital malformations, notably cardiac malformation and hip dysplasia, 14.2% were considered large for gestational age or macrosomic, and 10.7% had low birth weight. Furthermore, 50% of cases had some neonatal complication, including hypoglycemia, jaundice, and respiratory disorders, and 28.1% required neonatal intensive care. Obesity and hypertension were associated with a higher risk of obstetric complications (p = 0.047) in T2DM pregnancy. Conclusion: Comorbidities and adverse pregnancy outcomes are highly prevalent among pregnancies in women with T2DM. The additional burden of obesity and hypertension on this population has been consistently demonstrated in previous studies. These findings underscore the substantial risk faced by these patients and highlight the necessity for interventions through preventive strategies, health education, and structured preconception care, designed to mitigate maternal and perinatal risks.\n\n\n### (1) Centro Universitário Christus, Fortaleza, CE, Brasil; (2) Centro Integrado de Diabetes e Hipertensão, Fortaleza, CE, Brasil\nIntroduction: Type 2 diabetes mellitus (T2DM) during pregnancy represents a high-risk obstetric condition, particularly when associated with multiple comorbidities. Conditions such as obesity, hypertension, and dyslipidemia interact synergistically with chronic hyperglycemia, increasing the risk of adverse pregnancy outcomes, including perinatal death, preeclampsia, prematurity, fetal growth disorders, and the need for intensive care unit admission, among others. Nevertheless, the risks faced by these patients have been underestimated in populations managed within the public healthcare system in our setting. Objective: To Study adverse pregnancy outcomes and the presence of comorbidities associated with DM2 in pregnancy. Methods: This was a retrospective observational study involving the review of 84 medical records of pregnant women with T2DM attended between 2014 and 2024 at a public healthcare reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80,431,724.6.0000.5049). Results: In this group, of T2DM pregnant women, with a mean age of 34.5 ± 4.6 years old, 79.8% had at least one comorbidity in addition to diabetes, with 48.8% having two or more associated conditions. Obesity was found in 90%, 37% had dyslipidemia and 32,2% hypertension. Regarding gestational outcomes, 69.8% presented maternal complications such as hypertensive crisis, hospitalization for blood glucose management, pregnancy loss, and infection. In terms of neonatal outcomes, 6.5% presented congenital malformations, notably cardiac malformation and hip dysplasia, 14.2% were considered large for gestational age or macrosomic, and 10.7% had low birth weight. Furthermore, 50% of cases had some neonatal complication, including hypoglycemia, jaundice, and respiratory disorders, and 28.1% required neonatal intensive care. Obesity and hypertension were associated with a higher risk of obstetric complications (p = 0.047) in T2DM pregnancy. Conclusion: Comorbidities and adverse pregnancy outcomes are highly prevalent among pregnancies in women with T2DM. The additional burden of obesity and hypertension on this population has been consistently demonstrated in previous studies. These findings underscore the substantial risk faced by these patients and highlight the necessity for interventions through preventive strategies, health education, and structured preconception care, designed to mitigate maternal and perinatal risks.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—079\nIntroduction: Type 2 diabetes mellitus (T2DM) during pregnancy represents a high-risk obstetric condition, particularly when associated with multiple comorbidities. Conditions such as obesity, hypertension, and dyslipidemia interact synergistically with chronic hyperglycemia, increasing the risk of adverse pregnancy outcomes, including perinatal death, preeclampsia, prematurity, fetal growth disorders, and the need for intensive care unit admission, among others. Nevertheless, the risks faced by these patients have been underestimated in populations managed within the public healthcare system in our setting. Objective: To Study adverse pregnancy outcomes and the presence of comorbidities associated with DM2 in pregnancy. Methods: This was a retrospective observational study involving the review of 84 medical records of pregnant women with T2DM attended between 2014 and 2024 at a public healthcare reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80,431,724.6.0000.5049). Results: In this group, of T2DM pregnant women, with a mean age of 34.5 ± 4.6 years old, 79.8% had at least one comorbidity in addition to diabetes, with 48.8% having two or more associated conditions. Obesity was found in 90%, 37% had dyslipidemia and 32,2% hypertension. Regarding gestational outcomes, 69.8% presented maternal complications such as hypertensive crisis, hospitalization for blood glucose management, pregnancy loss, and infection. In terms of neonatal outcomes, 6.5% presented congenital malformations, notably cardiac malformation and hip dysplasia, 14.2% were considered large for gestational age or macrosomic, and 10.7% had low birth weight. Furthermore, 50% of cases had some neonatal complication, including hypoglycemia, jaundice, and respiratory disorders, and 28.1% required neonatal intensive care. Obesity and hypertension were associated with a higher risk of obstetric complications (p = 0.047) in T2DM pregnancy. Conclusion: Comorbidities and adverse pregnancy outcomes are highly prevalent among pregnancies in women with T2DM. The additional burden of obesity and hypertension on this population has been consistently demonstrated in previous studies. These findings underscore the substantial risk faced by these patients and highlight the necessity for interventions through preventive strategies, health education, and structured preconception care, designed to mitigate maternal and perinatal risks.\n\n\n### PO—080 Association Between Gestational Diabetes Mellitus Treatment With Or Without Insulin And Cardiometabolic Health Of 2-To-14 Years-Old Offspring\nIntroduction: The influence of different treatments on the health of children and adolescents born to mothers with GDM is essential for guiding prevention strategies. Objective: Aim: To evaluate whether the treatment of hyperglycemia during pregnancy in women with GDM including lifestyle changes (LC) with or without insulin is associated with the cardiometabolic health of 2-to-14 years-old offspring. Methods:This retrospective cohort study involved 186 children aged 2–14 years, born to mothers with GDM defined according to Brazilian Diabetes Society. Data was collected during routine antenatal care. Current evaluation of the children was performed and the cardiometabolic risk factors (CMRF) were defined according to WHO criteria; BMI for children over 5 years: BMI-Z score ≥  + 2 = obesity; ≥  + 1 and <  + 2 = overweight, and for children under 5 years: BMI-Z score >  + 3 = obesity; ≥  + 2 and <  + 3 = overweight; ≥  + 1 and <  + 2 = overweight risk; BP ≥ 90thpercentile = hypertension; pre-diabetes by elevated HbA1c ≥ 5.7%; dyslipidemia = HDL ≤ 45mg/dL, LDL > 110mg/dl and/or TG ≥ 130mg/dL (> 10years) or TG ≥ 100 mg/dL (0-9years). Offspring’s CMRF were compared by the type of treatment during pregnancy with GDM: with or without insulin; multiple logistic regression analysis was performed. Results: In the group that used insulin (38.7% of the pregnancies) there was greater prevalence of prediabetes [15.3% vs. 6.2%, p = 0.042] and of elevated blood pressure/hypertension [20% vs. 10.6%, p = 0.077], and greater mean levels of HbA1c [5.3(0.4) vs. 5.1(0.3)%, p = 0.001] and of fasting glucose [84.7(7.2) vs. 82.5(6.8)mg/dl, p = 0.047] compared to non-insulin users. There was no statistical difference between the groups concerning prevalence of other CMRF, as well as regarding to other maternal, paternal or child variables (age, BMI, lipid profile, insulin levels, HOMA-IR, HOMA-beta). In regression analysis, maternal insulin use during pregnancy was associated with the occurrence of prediabetes in offspring (OR 3.294, 95% CI 1.097 to 9.893, p = 0.034) even after adjustments for child’s age, child’s BMI, maternal pregestational BMI, maternal education level, exclusive breastfeeding for less than 4 months and cesarean delivery. Conclusion: Insulin use in GDM increases offspring’s prediabetes risk by over 200%, independent of age, BMI, breastfeeding, delivery type, or maternal BMI/education. These findings highlight insulin use as a marker of higher metabolic risk and reinforce the need for cardiometabolic prevention strategies.\n\n\n### Marson, MER1; Dualib, PM1; Bittencourt, L1; Ramos, SC1; Souza, FDS1; Abate, MCO1; Montero, MF1; Jordão, MC1; Pititto, BA1\nIntroduction: The influence of different treatments on the health of children and adolescents born to mothers with GDM is essential for guiding prevention strategies. Objective: Aim: To evaluate whether the treatment of hyperglycemia during pregnancy in women with GDM including lifestyle changes (LC) with or without insulin is associated with the cardiometabolic health of 2-to-14 years-old offspring. Methods:This retrospective cohort study involved 186 children aged 2–14 years, born to mothers with GDM defined according to Brazilian Diabetes Society. Data was collected during routine antenatal care. Current evaluation of the children was performed and the cardiometabolic risk factors (CMRF) were defined according to WHO criteria; BMI for children over 5 years: BMI-Z score ≥  + 2 = obesity; ≥  + 1 and <  + 2 = overweight, and for children under 5 years: BMI-Z score >  + 3 = obesity; ≥  + 2 and <  + 3 = overweight; ≥  + 1 and <  + 2 = overweight risk; BP ≥ 90thpercentile = hypertension; pre-diabetes by elevated HbA1c ≥ 5.7%; dyslipidemia = HDL ≤ 45mg/dL, LDL > 110mg/dl and/or TG ≥ 130mg/dL (> 10years) or TG ≥ 100 mg/dL (0-9years). Offspring’s CMRF were compared by the type of treatment during pregnancy with GDM: with or without insulin; multiple logistic regression analysis was performed. Results: In the group that used insulin (38.7% of the pregnancies) there was greater prevalence of prediabetes [15.3% vs. 6.2%, p = 0.042] and of elevated blood pressure/hypertension [20% vs. 10.6%, p = 0.077], and greater mean levels of HbA1c [5.3(0.4) vs. 5.1(0.3)%, p = 0.001] and of fasting glucose [84.7(7.2) vs. 82.5(6.8)mg/dl, p = 0.047] compared to non-insulin users. There was no statistical difference between the groups concerning prevalence of other CMRF, as well as regarding to other maternal, paternal or child variables (age, BMI, lipid profile, insulin levels, HOMA-IR, HOMA-beta). In regression analysis, maternal insulin use during pregnancy was associated with the occurrence of prediabetes in offspring (OR 3.294, 95% CI 1.097 to 9.893, p = 0.034) even after adjustments for child’s age, child’s BMI, maternal pregestational BMI, maternal education level, exclusive breastfeeding for less than 4 months and cesarean delivery. Conclusion: Insulin use in GDM increases offspring’s prediabetes risk by over 200%, independent of age, BMI, breastfeeding, delivery type, or maternal BMI/education. These findings highlight insulin use as a marker of higher metabolic risk and reinforce the need for cardiometabolic prevention strategies.\n\n\n### (1) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: The influence of different treatments on the health of children and adolescents born to mothers with GDM is essential for guiding prevention strategies. Objective: Aim: To evaluate whether the treatment of hyperglycemia during pregnancy in women with GDM including lifestyle changes (LC) with or without insulin is associated with the cardiometabolic health of 2-to-14 years-old offspring. Methods:This retrospective cohort study involved 186 children aged 2–14 years, born to mothers with GDM defined according to Brazilian Diabetes Society. Data was collected during routine antenatal care. Current evaluation of the children was performed and the cardiometabolic risk factors (CMRF) were defined according to WHO criteria; BMI for children over 5 years: BMI-Z score ≥  + 2 = obesity; ≥  + 1 and <  + 2 = overweight, and for children under 5 years: BMI-Z score >  + 3 = obesity; ≥  + 2 and <  + 3 = overweight; ≥  + 1 and <  + 2 = overweight risk; BP ≥ 90thpercentile = hypertension; pre-diabetes by elevated HbA1c ≥ 5.7%; dyslipidemia = HDL ≤ 45mg/dL, LDL > 110mg/dl and/or TG ≥ 130mg/dL (> 10years) or TG ≥ 100 mg/dL (0-9years). Offspring’s CMRF were compared by the type of treatment during pregnancy with GDM: with or without insulin; multiple logistic regression analysis was performed. Results: In the group that used insulin (38.7% of the pregnancies) there was greater prevalence of prediabetes [15.3% vs. 6.2%, p = 0.042] and of elevated blood pressure/hypertension [20% vs. 10.6%, p = 0.077], and greater mean levels of HbA1c [5.3(0.4) vs. 5.1(0.3)%, p = 0.001] and of fasting glucose [84.7(7.2) vs. 82.5(6.8)mg/dl, p = 0.047] compared to non-insulin users. There was no statistical difference between the groups concerning prevalence of other CMRF, as well as regarding to other maternal, paternal or child variables (age, BMI, lipid profile, insulin levels, HOMA-IR, HOMA-beta). In regression analysis, maternal insulin use during pregnancy was associated with the occurrence of prediabetes in offspring (OR 3.294, 95% CI 1.097 to 9.893, p = 0.034) even after adjustments for child’s age, child’s BMI, maternal pregestational BMI, maternal education level, exclusive breastfeeding for less than 4 months and cesarean delivery. Conclusion: Insulin use in GDM increases offspring’s prediabetes risk by over 200%, independent of age, BMI, breastfeeding, delivery type, or maternal BMI/education. These findings highlight insulin use as a marker of higher metabolic risk and reinforce the need for cardiometabolic prevention strategies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—080\nIntroduction: The influence of different treatments on the health of children and adolescents born to mothers with GDM is essential for guiding prevention strategies. Objective: Aim: To evaluate whether the treatment of hyperglycemia during pregnancy in women with GDM including lifestyle changes (LC) with or without insulin is associated with the cardiometabolic health of 2-to-14 years-old offspring. Methods:This retrospective cohort study involved 186 children aged 2–14 years, born to mothers with GDM defined according to Brazilian Diabetes Society. Data was collected during routine antenatal care. Current evaluation of the children was performed and the cardiometabolic risk factors (CMRF) were defined according to WHO criteria; BMI for children over 5 years: BMI-Z score ≥  + 2 = obesity; ≥  + 1 and <  + 2 = overweight, and for children under 5 years: BMI-Z score >  + 3 = obesity; ≥  + 2 and <  + 3 = overweight; ≥  + 1 and <  + 2 = overweight risk; BP ≥ 90thpercentile = hypertension; pre-diabetes by elevated HbA1c ≥ 5.7%; dyslipidemia = HDL ≤ 45mg/dL, LDL > 110mg/dl and/or TG ≥ 130mg/dL (> 10years) or TG ≥ 100 mg/dL (0-9years). Offspring’s CMRF were compared by the type of treatment during pregnancy with GDM: with or without insulin; multiple logistic regression analysis was performed. Results: In the group that used insulin (38.7% of the pregnancies) there was greater prevalence of prediabetes [15.3% vs. 6.2%, p = 0.042] and of elevated blood pressure/hypertension [20% vs. 10.6%, p = 0.077], and greater mean levels of HbA1c [5.3(0.4) vs. 5.1(0.3)%, p = 0.001] and of fasting glucose [84.7(7.2) vs. 82.5(6.8)mg/dl, p = 0.047] compared to non-insulin users. There was no statistical difference between the groups concerning prevalence of other CMRF, as well as regarding to other maternal, paternal or child variables (age, BMI, lipid profile, insulin levels, HOMA-IR, HOMA-beta). In regression analysis, maternal insulin use during pregnancy was associated with the occurrence of prediabetes in offspring (OR 3.294, 95% CI 1.097 to 9.893, p = 0.034) even after adjustments for child’s age, child’s BMI, maternal pregestational BMI, maternal education level, exclusive breastfeeding for less than 4 months and cesarean delivery. Conclusion: Insulin use in GDM increases offspring’s prediabetes risk by over 200%, independent of age, BMI, breastfeeding, delivery type, or maternal BMI/education. These findings highlight insulin use as a marker of higher metabolic risk and reinforce the need for cardiometabolic prevention strategies.\n\n\n### PO—081 Availability, Understanding, And Choice Of Contraceptive Methods For Women With Diabetes Mellitus\nIntroduction: Pregnancy Planning In Women With Diabetes Mellitus (dm) Is Essential. Inadequate Blood Glucose Levels Are Associated With Unfavorable Maternal Outcomes And Progression Of Chronic Complications Of Dm. Objective: To Verify Which Contraceptive Methods (cm) Are Chosen By Women With Dm When They Have Access To And Guidance On Cm, Their Degree Of Satisfaction And Permanence Over 24 Months. Methods: Prospective Cohort Study, Conducted By A Hospital, Including Women Aged 10 To 49 Years With Dm Treated At The Endocrinology Outpatient Clinic. Ethics Committee: 58,015,622.8.0000.5327. Women Who Agree To Participate In The Study Receive Guidance On The Available Contraceptive Methods And The Most Appropriate For Ones Each Patient, Respecting The Contraindications Of The Eligibility Criteria Of The World Health Organization (who). An Interview Is Conducted With Detailed Demographic, Reproductive History, And Medical Health Questions. The Patient Chooses The Contraceptive Method They Want, After Being Monitored By Telephone For 24 Months To Assess Continuity, Satisfaction With The Method And Occurrence Of Pregnancy. Results: 97 Women Included, Between 14 And 49 Years Old, The Average Age Was 30,38 + 8.4 Years. 66 (68%) Have Dm1 0.73 (75%) Have A Steady Partner. 42 (43%) Were Using Contraindicated Contraceptive Methods, 24 (25%) Were Using Barrier Methods And 31 (32%) Had No Contraindications To The Contraceptive Method In Use. 64 (66%) Chose Etonogestrel Implant, 14 (14,3%) Levonorgestrel Iud (intrauterine Device), 13 (13,4%) Oral Progestin, 4 (4,1%) Copper Iud, 1 (1,1%) Combined Oral Contraceptive And 1 (1,1%) Progestogen Only Injectables. To Date, 7 Patients Have Had Their Etonogestrel Implant Removed For Reasons Were: Weight Gain, Menstrual Irregularity And Desire For Pregnancy And 3 Patients Have Discontinued Desogestrel Due To Desire To Become Pregnant And Side Effects. Three Patients Are Pregnant. Average Use Of The Chosen Cm Was 16.3 Months. Conclusion: Ten Patients Stopped Using Their Chosen Contraceptive Method.the Most Chosen Method Was The Etonogestrel Implant. Most Patients Chose Methods Highly Recommended Due To Their Efficacy And Safety: Larcs (long-acting Reversible Contraceptives). When These Patients Have The Opportunity To Access And Choose The Contraceptive Method Of Their Preference, They Tend To Choose A Larc. Based On These Results, It Is Essential That Improvements Be Implemented In Access To And Availability Of Contraceptive Methods For Family Planning For Women With Dm.\n\n\n### Gerhardt, CR1; Santos, BS1; Remonti, LLR2; Lubianca, JN1; Satler, F2; Leitão, CB1\nIntroduction: Pregnancy Planning In Women With Diabetes Mellitus (dm) Is Essential. Inadequate Blood Glucose Levels Are Associated With Unfavorable Maternal Outcomes And Progression Of Chronic Complications Of Dm. Objective: To Verify Which Contraceptive Methods (cm) Are Chosen By Women With Dm When They Have Access To And Guidance On Cm, Their Degree Of Satisfaction And Permanence Over 24 Months. Methods: Prospective Cohort Study, Conducted By A Hospital, Including Women Aged 10 To 49 Years With Dm Treated At The Endocrinology Outpatient Clinic. Ethics Committee: 58,015,622.8.0000.5327. Women Who Agree To Participate In The Study Receive Guidance On The Available Contraceptive Methods And The Most Appropriate For Ones Each Patient, Respecting The Contraindications Of The Eligibility Criteria Of The World Health Organization (who). An Interview Is Conducted With Detailed Demographic, Reproductive History, And Medical Health Questions. The Patient Chooses The Contraceptive Method They Want, After Being Monitored By Telephone For 24 Months To Assess Continuity, Satisfaction With The Method And Occurrence Of Pregnancy. Results: 97 Women Included, Between 14 And 49 Years Old, The Average Age Was 30,38 + 8.4 Years. 66 (68%) Have Dm1 0.73 (75%) Have A Steady Partner. 42 (43%) Were Using Contraindicated Contraceptive Methods, 24 (25%) Were Using Barrier Methods And 31 (32%) Had No Contraindications To The Contraceptive Method In Use. 64 (66%) Chose Etonogestrel Implant, 14 (14,3%) Levonorgestrel Iud (intrauterine Device), 13 (13,4%) Oral Progestin, 4 (4,1%) Copper Iud, 1 (1,1%) Combined Oral Contraceptive And 1 (1,1%) Progestogen Only Injectables. To Date, 7 Patients Have Had Their Etonogestrel Implant Removed For Reasons Were: Weight Gain, Menstrual Irregularity And Desire For Pregnancy And 3 Patients Have Discontinued Desogestrel Due To Desire To Become Pregnant And Side Effects. Three Patients Are Pregnant. Average Use Of The Chosen Cm Was 16.3 Months. Conclusion: Ten Patients Stopped Using Their Chosen Contraceptive Method.the Most Chosen Method Was The Etonogestrel Implant. Most Patients Chose Methods Highly Recommended Due To Their Efficacy And Safety: Larcs (long-acting Reversible Contraceptives). When These Patients Have The Opportunity To Access And Choose The Contraceptive Method Of Their Preference, They Tend To Choose A Larc. Based On These Results, It Is Essential That Improvements Be Implemented In Access To And Availability Of Contraceptive Methods For Family Planning For Women With Dm.\n\n\n### (1) Universidade Federal Do Rio Grande Do Sul, Porto Alegre, RS, Brasil; (2) Hospital De Clínicas De Porto Alegre- Porto Alegre, RS, Brasil\nIntroduction: Pregnancy Planning In Women With Diabetes Mellitus (dm) Is Essential. Inadequate Blood Glucose Levels Are Associated With Unfavorable Maternal Outcomes And Progression Of Chronic Complications Of Dm. Objective: To Verify Which Contraceptive Methods (cm) Are Chosen By Women With Dm When They Have Access To And Guidance On Cm, Their Degree Of Satisfaction And Permanence Over 24 Months. Methods: Prospective Cohort Study, Conducted By A Hospital, Including Women Aged 10 To 49 Years With Dm Treated At The Endocrinology Outpatient Clinic. Ethics Committee: 58,015,622.8.0000.5327. Women Who Agree To Participate In The Study Receive Guidance On The Available Contraceptive Methods And The Most Appropriate For Ones Each Patient, Respecting The Contraindications Of The Eligibility Criteria Of The World Health Organization (who). An Interview Is Conducted With Detailed Demographic, Reproductive History, And Medical Health Questions. The Patient Chooses The Contraceptive Method They Want, After Being Monitored By Telephone For 24 Months To Assess Continuity, Satisfaction With The Method And Occurrence Of Pregnancy. Results: 97 Women Included, Between 14 And 49 Years Old, The Average Age Was 30,38 + 8.4 Years. 66 (68%) Have Dm1 0.73 (75%) Have A Steady Partner. 42 (43%) Were Using Contraindicated Contraceptive Methods, 24 (25%) Were Using Barrier Methods And 31 (32%) Had No Contraindications To The Contraceptive Method In Use. 64 (66%) Chose Etonogestrel Implant, 14 (14,3%) Levonorgestrel Iud (intrauterine Device), 13 (13,4%) Oral Progestin, 4 (4,1%) Copper Iud, 1 (1,1%) Combined Oral Contraceptive And 1 (1,1%) Progestogen Only Injectables. To Date, 7 Patients Have Had Their Etonogestrel Implant Removed For Reasons Were: Weight Gain, Menstrual Irregularity And Desire For Pregnancy And 3 Patients Have Discontinued Desogestrel Due To Desire To Become Pregnant And Side Effects. Three Patients Are Pregnant. Average Use Of The Chosen Cm Was 16.3 Months. Conclusion: Ten Patients Stopped Using Their Chosen Contraceptive Method.the Most Chosen Method Was The Etonogestrel Implant. Most Patients Chose Methods Highly Recommended Due To Their Efficacy And Safety: Larcs (long-acting Reversible Contraceptives). When These Patients Have The Opportunity To Access And Choose The Contraceptive Method Of Their Preference, They Tend To Choose A Larc. Based On These Results, It Is Essential That Improvements Be Implemented In Access To And Availability Of Contraceptive Methods For Family Planning For Women With Dm.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—081\nIntroduction: Pregnancy Planning In Women With Diabetes Mellitus (dm) Is Essential. Inadequate Blood Glucose Levels Are Associated With Unfavorable Maternal Outcomes And Progression Of Chronic Complications Of Dm. Objective: To Verify Which Contraceptive Methods (cm) Are Chosen By Women With Dm When They Have Access To And Guidance On Cm, Their Degree Of Satisfaction And Permanence Over 24 Months. Methods: Prospective Cohort Study, Conducted By A Hospital, Including Women Aged 10 To 49 Years With Dm Treated At The Endocrinology Outpatient Clinic. Ethics Committee: 58,015,622.8.0000.5327. Women Who Agree To Participate In The Study Receive Guidance On The Available Contraceptive Methods And The Most Appropriate For Ones Each Patient, Respecting The Contraindications Of The Eligibility Criteria Of The World Health Organization (who). An Interview Is Conducted With Detailed Demographic, Reproductive History, And Medical Health Questions. The Patient Chooses The Contraceptive Method They Want, After Being Monitored By Telephone For 24 Months To Assess Continuity, Satisfaction With The Method And Occurrence Of Pregnancy. Results: 97 Women Included, Between 14 And 49 Years Old, The Average Age Was 30,38 + 8.4 Years. 66 (68%) Have Dm1 0.73 (75%) Have A Steady Partner. 42 (43%) Were Using Contraindicated Contraceptive Methods, 24 (25%) Were Using Barrier Methods And 31 (32%) Had No Contraindications To The Contraceptive Method In Use. 64 (66%) Chose Etonogestrel Implant, 14 (14,3%) Levonorgestrel Iud (intrauterine Device), 13 (13,4%) Oral Progestin, 4 (4,1%) Copper Iud, 1 (1,1%) Combined Oral Contraceptive And 1 (1,1%) Progestogen Only Injectables. To Date, 7 Patients Have Had Their Etonogestrel Implant Removed For Reasons Were: Weight Gain, Menstrual Irregularity And Desire For Pregnancy And 3 Patients Have Discontinued Desogestrel Due To Desire To Become Pregnant And Side Effects. Three Patients Are Pregnant. Average Use Of The Chosen Cm Was 16.3 Months. Conclusion: Ten Patients Stopped Using Their Chosen Contraceptive Method.the Most Chosen Method Was The Etonogestrel Implant. Most Patients Chose Methods Highly Recommended Due To Their Efficacy And Safety: Larcs (long-acting Reversible Contraceptives). When These Patients Have The Opportunity To Access And Choose The Contraceptive Method Of Their Preference, They Tend To Choose A Larc. Based On These Results, It Is Essential That Improvements Be Implemented In Access To And Availability Of Contraceptive Methods For Family Planning For Women With Dm.\n\n\n### PO—082 Breastfeeding And Incidence Of Diabetes Mellitus In Women With A History Of Gestational Diabetes Mellitus\nIntroduction: Women who had gestational diabetes mellitus (GDM) are up to ten times more likely to develop Type 2 diabetes mellitus (T2D) and potential of breastfeeding as a strategy for diabetes prevention has been shown in studies from different countries, but Brazil. Breastfeeding can suffer socioeconomic and cultural influences, justifying the investigation of its potential as a preventive measure in the context of women’s life and access to health in Brazil. Objective: To evaluate the association of breastfeeding with the incidence of Type 2 diabetes mellitus (T2D) in women with previous gestational diabetes mellitus (GDM) in a multicenter group study LINDA-Brasil (Lifestyle Intervention for Diabetes Prevention After pregnancy) with up to 3 years of specific follow-up. Methods: This cohort study enrolled 2617 women with GDM followed-up in tertiary centers in different Regions of Brazil. Breastfeeding was categorized as: < 6months; ≥ 6 to11 months; ≥ 12 months. After child-birth, women were handled to perform a laboratory examination of oral glucose tolerance test at specific postpartum times: 2 months and every 6 months. Incidences of diabetes were compared according to time of breastfeeding. Results: The mean (SD) age was 32(6) years old and had 44% of pre-gestational obesity and 55% were overweight. Incidences of type 2 diabetes were 43%, 44% and 34%, respectively according to groups of time of breastfeeding: < 6months; ≥ 6 to11 months; ≥ 12 months (qui-squared p < 0.001; linear-by-linear p < 0.001). In Cox regression analysis, breastfeeding for more than 12 moths was inversely associated with incidence of DM2 (HR 0.275 95% CI 0.118 – 0.638, p = 0.003) independent of age, BMI, schooling and race. Conclusion: Breastfeeding was a protective factor against type 2 diabetes (T2D) in women with a history of gestational diabetes (GDM) over a three-year period, which reinforces the importance of promoting breastfeeding as a public health strategy in Brazil. Actions aimed at supporting women in the postpartum period can change the epidemiological context of type 2 diabetes (T2D) and all its complications.\n\n\n### Ramos, SC1; Dualib, PM1; Cherubini, KA2; Alecrim, MJ1; Valença, MCTV1; Schmid, MI2; Pititto, BA1\nIntroduction: Women who had gestational diabetes mellitus (GDM) are up to ten times more likely to develop Type 2 diabetes mellitus (T2D) and potential of breastfeeding as a strategy for diabetes prevention has been shown in studies from different countries, but Brazil. Breastfeeding can suffer socioeconomic and cultural influences, justifying the investigation of its potential as a preventive measure in the context of women’s life and access to health in Brazil. Objective: To evaluate the association of breastfeeding with the incidence of Type 2 diabetes mellitus (T2D) in women with previous gestational diabetes mellitus (GDM) in a multicenter group study LINDA-Brasil (Lifestyle Intervention for Diabetes Prevention After pregnancy) with up to 3 years of specific follow-up. Methods: This cohort study enrolled 2617 women with GDM followed-up in tertiary centers in different Regions of Brazil. Breastfeeding was categorized as: < 6months; ≥ 6 to11 months; ≥ 12 months. After child-birth, women were handled to perform a laboratory examination of oral glucose tolerance test at specific postpartum times: 2 months and every 6 months. Incidences of diabetes were compared according to time of breastfeeding. Results: The mean (SD) age was 32(6) years old and had 44% of pre-gestational obesity and 55% were overweight. Incidences of type 2 diabetes were 43%, 44% and 34%, respectively according to groups of time of breastfeeding: < 6months; ≥ 6 to11 months; ≥ 12 months (qui-squared p < 0.001; linear-by-linear p < 0.001). In Cox regression analysis, breastfeeding for more than 12 moths was inversely associated with incidence of DM2 (HR 0.275 95% CI 0.118 – 0.638, p = 0.003) independent of age, BMI, schooling and race. Conclusion: Breastfeeding was a protective factor against type 2 diabetes (T2D) in women with a history of gestational diabetes (GDM) over a three-year period, which reinforces the importance of promoting breastfeeding as a public health strategy in Brazil. Actions aimed at supporting women in the postpartum period can change the epidemiological context of type 2 diabetes (T2D) and all its complications.\n\n\n### (1) Postgraduate Program in Endocrinology and Metabolism, Federal University of São Paulo, São Paulo-SP, Brazil, São Paulo, SP, Brasil; (2) Postgraduate Program in Epidemiology, Department of Social Medicine, School of Medicine, Federal University of Rio Grande do Sul, Porto Alegre, Brazil, Porto Alegre, RS, Brasil\nIntroduction: Women who had gestational diabetes mellitus (GDM) are up to ten times more likely to develop Type 2 diabetes mellitus (T2D) and potential of breastfeeding as a strategy for diabetes prevention has been shown in studies from different countries, but Brazil. Breastfeeding can suffer socioeconomic and cultural influences, justifying the investigation of its potential as a preventive measure in the context of women’s life and access to health in Brazil. Objective: To evaluate the association of breastfeeding with the incidence of Type 2 diabetes mellitus (T2D) in women with previous gestational diabetes mellitus (GDM) in a multicenter group study LINDA-Brasil (Lifestyle Intervention for Diabetes Prevention After pregnancy) with up to 3 years of specific follow-up. Methods: This cohort study enrolled 2617 women with GDM followed-up in tertiary centers in different Regions of Brazil. Breastfeeding was categorized as: < 6months; ≥ 6 to11 months; ≥ 12 months. After child-birth, women were handled to perform a laboratory examination of oral glucose tolerance test at specific postpartum times: 2 months and every 6 months. Incidences of diabetes were compared according to time of breastfeeding. Results: The mean (SD) age was 32(6) years old and had 44% of pre-gestational obesity and 55% were overweight. Incidences of type 2 diabetes were 43%, 44% and 34%, respectively according to groups of time of breastfeeding: < 6months; ≥ 6 to11 months; ≥ 12 months (qui-squared p < 0.001; linear-by-linear p < 0.001). In Cox regression analysis, breastfeeding for more than 12 moths was inversely associated with incidence of DM2 (HR 0.275 95% CI 0.118 – 0.638, p = 0.003) independent of age, BMI, schooling and race. Conclusion: Breastfeeding was a protective factor against type 2 diabetes (T2D) in women with a history of gestational diabetes (GDM) over a three-year period, which reinforces the importance of promoting breastfeeding as a public health strategy in Brazil. Actions aimed at supporting women in the postpartum period can change the epidemiological context of type 2 diabetes (T2D) and all its complications.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—082\nIntroduction: Women who had gestational diabetes mellitus (GDM) are up to ten times more likely to develop Type 2 diabetes mellitus (T2D) and potential of breastfeeding as a strategy for diabetes prevention has been shown in studies from different countries, but Brazil. Breastfeeding can suffer socioeconomic and cultural influences, justifying the investigation of its potential as a preventive measure in the context of women’s life and access to health in Brazil. Objective: To evaluate the association of breastfeeding with the incidence of Type 2 diabetes mellitus (T2D) in women with previous gestational diabetes mellitus (GDM) in a multicenter group study LINDA-Brasil (Lifestyle Intervention for Diabetes Prevention After pregnancy) with up to 3 years of specific follow-up. Methods: This cohort study enrolled 2617 women with GDM followed-up in tertiary centers in different Regions of Brazil. Breastfeeding was categorized as: < 6months; ≥ 6 to11 months; ≥ 12 months. After child-birth, women were handled to perform a laboratory examination of oral glucose tolerance test at specific postpartum times: 2 months and every 6 months. Incidences of diabetes were compared according to time of breastfeeding. Results: The mean (SD) age was 32(6) years old and had 44% of pre-gestational obesity and 55% were overweight. Incidences of type 2 diabetes were 43%, 44% and 34%, respectively according to groups of time of breastfeeding: < 6months; ≥ 6 to11 months; ≥ 12 months (qui-squared p < 0.001; linear-by-linear p < 0.001). In Cox regression analysis, breastfeeding for more than 12 moths was inversely associated with incidence of DM2 (HR 0.275 95% CI 0.118 – 0.638, p = 0.003) independent of age, BMI, schooling and race. Conclusion: Breastfeeding was a protective factor against type 2 diabetes (T2D) in women with a history of gestational diabetes (GDM) over a three-year period, which reinforces the importance of promoting breastfeeding as a public health strategy in Brazil. Actions aimed at supporting women in the postpartum period can change the epidemiological context of type 2 diabetes (T2D) and all its complications.\n\n\n### PO—083 Comparison Of Clinical And Demographic Characteristics And Maternal–fetal Outcomes Between Pregnant Women With Type 1 And Type 2 Diabetes At A Tertiary Care Center\nIntroduction: Poorly controlled pre-gestational diabetes mellitus (PGDM) is associated with a higher risk of maternal–fetal complications. Despite differences between type 1 (T1D) and type 2 diabetes (T2D), most studies on PGDM during pregnancy evaluate patients as a single group. With the increasing prevalence of pregnancies in women with T2D, there is growing interest in understanding the similarities and discrepancies between these populations. Objective: To compare clinical and demographic characteristics and maternal–fetal outcomes of pregnant women with T1D and T2D followed at a tertiary care center. Methods: Retrospective cohort study including women with T1D and T2D followed between 2013 and 2024. Pre-pregnancy clinical and demographic data were collected: age, diabetes duration, comorbidities, BMI, income, education level, ethnicity, gestational age at first visit, HbA1c, and microvascular complications. Outcomes assessed were newborn weight, delivery type, NICU admission, prematurity, and fetal malformations. Continuous and categorical variables were presented as median [IQR] and relative frequencies, respectively. Group comparisons used Mann–Whitney or chi-square tests, with significance set at p < 0.05. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1D. Compared to those with T2D, T1D women were younger (27 [22–32] vs. 35 [29–39] years, p < 0.001), had longer diabetes duration (12 [8–15] vs. 3 [1–6] years, p < 0.001), lower BMI (23.6 [20.4–26.7] vs. 34.0 [29.8–38.5] kg/m2, p < 0.001), and higher pre-pregnancy HbA1c (10.0 [8–12] vs. 7.9 [6.8–8.7]%, p < 0.001). Hypertension was more frequent in T2D (40.6% vs. 13.9%, p < 0.001), while retinopathy (42.5% vs. 5.7%, p < 0.001) and nephropathy (33% vs. 8.1%, p = 0.036) were more common in T1D. No significant differences were found in other clinical-demographic parameters. Maternal–fetal outcomes were also similar between groups: macrosomia (15.6% vs. 17.4%, p = 0.82), birth weight (2,975 [2,567–3,582] g vs. 3,150 [2,840–3,635] g, p = 0.316), cesarean rate (84.8% vs. 83.3%, p = 0.84), NICU admission (46.4% vs. 50.9%, p = 0.7), prematurity (40% vs. 26.3%, p = 0.19), and fetal malformations (9.4% vs. 10.1%, p = 0.9). Conclusion: Among women with PGDM, those with T1D were younger, had lower BMI, worse glycemic control, and a higher prevalence of microvascular complications. Maternal–fetal outcomes were similar across groups, highlighting the need for close monitoring regardless of diabetes type.\n\n\n### Torraca, FS1; Biar, MMM1; Albuquerque, FOB1; Vasconcellos, CAVA1; Souza, F2; Abib, RCA1; Cabizuca, CA1\nIntroduction: Poorly controlled pre-gestational diabetes mellitus (PGDM) is associated with a higher risk of maternal–fetal complications. Despite differences between type 1 (T1D) and type 2 diabetes (T2D), most studies on PGDM during pregnancy evaluate patients as a single group. With the increasing prevalence of pregnancies in women with T2D, there is growing interest in understanding the similarities and discrepancies between these populations. Objective: To compare clinical and demographic characteristics and maternal–fetal outcomes of pregnant women with T1D and T2D followed at a tertiary care center. Methods: Retrospective cohort study including women with T1D and T2D followed between 2013 and 2024. Pre-pregnancy clinical and demographic data were collected: age, diabetes duration, comorbidities, BMI, income, education level, ethnicity, gestational age at first visit, HbA1c, and microvascular complications. Outcomes assessed were newborn weight, delivery type, NICU admission, prematurity, and fetal malformations. Continuous and categorical variables were presented as median [IQR] and relative frequencies, respectively. Group comparisons used Mann–Whitney or chi-square tests, with significance set at p < 0.05. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1D. Compared to those with T2D, T1D women were younger (27 [22–32] vs. 35 [29–39] years, p < 0.001), had longer diabetes duration (12 [8–15] vs. 3 [1–6] years, p < 0.001), lower BMI (23.6 [20.4–26.7] vs. 34.0 [29.8–38.5] kg/m2, p < 0.001), and higher pre-pregnancy HbA1c (10.0 [8–12] vs. 7.9 [6.8–8.7]%, p < 0.001). Hypertension was more frequent in T2D (40.6% vs. 13.9%, p < 0.001), while retinopathy (42.5% vs. 5.7%, p < 0.001) and nephropathy (33% vs. 8.1%, p = 0.036) were more common in T1D. No significant differences were found in other clinical-demographic parameters. Maternal–fetal outcomes were also similar between groups: macrosomia (15.6% vs. 17.4%, p = 0.82), birth weight (2,975 [2,567–3,582] g vs. 3,150 [2,840–3,635] g, p = 0.316), cesarean rate (84.8% vs. 83.3%, p = 0.84), NICU admission (46.4% vs. 50.9%, p = 0.7), prematurity (40% vs. 26.3%, p = 0.19), and fetal malformations (9.4% vs. 10.1%, p = 0.9). Conclusion: Among women with PGDM, those with T1D were younger, had lower BMI, worse glycemic control, and a higher prevalence of microvascular complications. Maternal–fetal outcomes were similar across groups, highlighting the need for close monitoring regardless of diabetes type.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio De Janeiro, RJ, Brasil; (2) Universidade Federal do Estado do Rio de Janeiro, Rio De Janeiro, RJ, Brasil\nIntroduction: Poorly controlled pre-gestational diabetes mellitus (PGDM) is associated with a higher risk of maternal–fetal complications. Despite differences between type 1 (T1D) and type 2 diabetes (T2D), most studies on PGDM during pregnancy evaluate patients as a single group. With the increasing prevalence of pregnancies in women with T2D, there is growing interest in understanding the similarities and discrepancies between these populations. Objective: To compare clinical and demographic characteristics and maternal–fetal outcomes of pregnant women with T1D and T2D followed at a tertiary care center. Methods: Retrospective cohort study including women with T1D and T2D followed between 2013 and 2024. Pre-pregnancy clinical and demographic data were collected: age, diabetes duration, comorbidities, BMI, income, education level, ethnicity, gestational age at first visit, HbA1c, and microvascular complications. Outcomes assessed were newborn weight, delivery type, NICU admission, prematurity, and fetal malformations. Continuous and categorical variables were presented as median [IQR] and relative frequencies, respectively. Group comparisons used Mann–Whitney or chi-square tests, with significance set at p < 0.05. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1D. Compared to those with T2D, T1D women were younger (27 [22–32] vs. 35 [29–39] years, p < 0.001), had longer diabetes duration (12 [8–15] vs. 3 [1–6] years, p < 0.001), lower BMI (23.6 [20.4–26.7] vs. 34.0 [29.8–38.5] kg/m2, p < 0.001), and higher pre-pregnancy HbA1c (10.0 [8–12] vs. 7.9 [6.8–8.7]%, p < 0.001). Hypertension was more frequent in T2D (40.6% vs. 13.9%, p < 0.001), while retinopathy (42.5% vs. 5.7%, p < 0.001) and nephropathy (33% vs. 8.1%, p = 0.036) were more common in T1D. No significant differences were found in other clinical-demographic parameters. Maternal–fetal outcomes were also similar between groups: macrosomia (15.6% vs. 17.4%, p = 0.82), birth weight (2,975 [2,567–3,582] g vs. 3,150 [2,840–3,635] g, p = 0.316), cesarean rate (84.8% vs. 83.3%, p = 0.84), NICU admission (46.4% vs. 50.9%, p = 0.7), prematurity (40% vs. 26.3%, p = 0.19), and fetal malformations (9.4% vs. 10.1%, p = 0.9). Conclusion: Among women with PGDM, those with T1D were younger, had lower BMI, worse glycemic control, and a higher prevalence of microvascular complications. Maternal–fetal outcomes were similar across groups, highlighting the need for close monitoring regardless of diabetes type.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—083\nIntroduction: Poorly controlled pre-gestational diabetes mellitus (PGDM) is associated with a higher risk of maternal–fetal complications. Despite differences between type 1 (T1D) and type 2 diabetes (T2D), most studies on PGDM during pregnancy evaluate patients as a single group. With the increasing prevalence of pregnancies in women with T2D, there is growing interest in understanding the similarities and discrepancies between these populations. Objective: To compare clinical and demographic characteristics and maternal–fetal outcomes of pregnant women with T1D and T2D followed at a tertiary care center. Methods: Retrospective cohort study including women with T1D and T2D followed between 2013 and 2024. Pre-pregnancy clinical and demographic data were collected: age, diabetes duration, comorbidities, BMI, income, education level, ethnicity, gestational age at first visit, HbA1c, and microvascular complications. Outcomes assessed were newborn weight, delivery type, NICU admission, prematurity, and fetal malformations. Continuous and categorical variables were presented as median [IQR] and relative frequencies, respectively. Group comparisons used Mann–Whitney or chi-square tests, with significance set at p < 0.05. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1D. Compared to those with T2D, T1D women were younger (27 [22–32] vs. 35 [29–39] years, p < 0.001), had longer diabetes duration (12 [8–15] vs. 3 [1–6] years, p < 0.001), lower BMI (23.6 [20.4–26.7] vs. 34.0 [29.8–38.5] kg/m2, p < 0.001), and higher pre-pregnancy HbA1c (10.0 [8–12] vs. 7.9 [6.8–8.7]%, p < 0.001). Hypertension was more frequent in T2D (40.6% vs. 13.9%, p < 0.001), while retinopathy (42.5% vs. 5.7%, p < 0.001) and nephropathy (33% vs. 8.1%, p = 0.036) were more common in T1D. No significant differences were found in other clinical-demographic parameters. Maternal–fetal outcomes were also similar between groups: macrosomia (15.6% vs. 17.4%, p = 0.82), birth weight (2,975 [2,567–3,582] g vs. 3,150 [2,840–3,635] g, p = 0.316), cesarean rate (84.8% vs. 83.3%, p = 0.84), NICU admission (46.4% vs. 50.9%, p = 0.7), prematurity (40% vs. 26.3%, p = 0.19), and fetal malformations (9.4% vs. 10.1%, p = 0.9). Conclusion: Among women with PGDM, those with T1D were younger, had lower BMI, worse glycemic control, and a higher prevalence of microvascular complications. Maternal–fetal outcomes were similar across groups, highlighting the need for close monitoring regardless of diabetes type.\n\n\n### PO—085 Differences in Glycemic Control and Insulin Needs Throughout Pregnancy in Women with Type 1 and Type 2 Diabetes\nIntroduction: Studies have shown that hyperglycemia during the organogenesis period increases the risk of fetal malformations and miscarriage in women with pregestational diabetes mellitus (PGDM). The gold standard treatment for these patients is insulin, with glycemic targets lower than those of the general population. Although international studies have already explored the differences in insulin requirements and glycemic control between type 1 (T1DM) and type 2 diabetes (T2DM) during pregnancy, there is a lack of Brazilian data evaluating these parameters longitudinally and comparatively. Objective: To compare insulin doses and hemoglobin A1c (HbA1c) levels across each trimester of pregnancy in patients with T1DM and T2DM, followed in a specialized outpatient clinic within a tertiary care center. Methods: Retrospective cohort study with clinical data collection from medical records of pregnant women with T1DM and T2DM followed between 2013 and 2024. Continuous and categorical variables were described as median [IQR] and percentage, respectively. Total insulin dose (U/kg) and HbA1c (%) were evaluated each trimester of pregnancy. Differences between groups were analyzed using the non-parametric Mann–Whitney test with SPSS software version 30.0. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1DM and 138 (65.7%) with T2DM. HbA1c values were 8.4% [6.8–10.4] for T1DM and 7.0% [6.2–8.0] for T2DM (p = 0.001) in the first trimester; 6.9% [6.3–7.2] versus 6.2% [5.7–6.8] (p = 0.003) in the second; and 6.5% [5.7–7.1] versus 6.1% [5.6–6.7] (p = 0.043) in the third trimester. Total insulin dose was 0.6 U/kg [0.5–0.8] for T1DM and 0.5 U/kg [0.3–0.7] for T2DM (p = 0.013) in the first trimester; 0.8 U/kg [0.6–1.0] versus 0.5 U/kg [0.3–0.8] (p < 0.001) in the second; and 0.9 U/kg [0.6–1.1] versus 0.7 U/kg [0.5–1.0] (p = 0.035) in the third trimester. Conclusion: Pregnant women with T1DM required higher insulin doses and showed poorer glycemic control throughout pregnancy compared to those with T2DM. While international cohorts have reported similar findings, this is, to our knowledge, the first Brazilian study to present trimester-specific data on insulin requirements (U/kg) and HbA1c in both diabetes types. A better understanding of the specific characteristics of each type of pregestational diabetes is essential to guide more individualized care and improve maternal–fetal outcomes.\n\n\n### Biar, MMM1; Torraca, FS1; Albuquerque, FOB1; Souza, F2; Vasconcellos, CAVA1; Cabizuca, CA1; Abib, RCA1\nIntroduction: Studies have shown that hyperglycemia during the organogenesis period increases the risk of fetal malformations and miscarriage in women with pregestational diabetes mellitus (PGDM). The gold standard treatment for these patients is insulin, with glycemic targets lower than those of the general population. Although international studies have already explored the differences in insulin requirements and glycemic control between type 1 (T1DM) and type 2 diabetes (T2DM) during pregnancy, there is a lack of Brazilian data evaluating these parameters longitudinally and comparatively. Objective: To compare insulin doses and hemoglobin A1c (HbA1c) levels across each trimester of pregnancy in patients with T1DM and T2DM, followed in a specialized outpatient clinic within a tertiary care center. Methods: Retrospective cohort study with clinical data collection from medical records of pregnant women with T1DM and T2DM followed between 2013 and 2024. Continuous and categorical variables were described as median [IQR] and percentage, respectively. Total insulin dose (U/kg) and HbA1c (%) were evaluated each trimester of pregnancy. Differences between groups were analyzed using the non-parametric Mann–Whitney test with SPSS software version 30.0. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1DM and 138 (65.7%) with T2DM. HbA1c values were 8.4% [6.8–10.4] for T1DM and 7.0% [6.2–8.0] for T2DM (p = 0.001) in the first trimester; 6.9% [6.3–7.2] versus 6.2% [5.7–6.8] (p = 0.003) in the second; and 6.5% [5.7–7.1] versus 6.1% [5.6–6.7] (p = 0.043) in the third trimester. Total insulin dose was 0.6 U/kg [0.5–0.8] for T1DM and 0.5 U/kg [0.3–0.7] for T2DM (p = 0.013) in the first trimester; 0.8 U/kg [0.6–1.0] versus 0.5 U/kg [0.3–0.8] (p < 0.001) in the second; and 0.9 U/kg [0.6–1.1] versus 0.7 U/kg [0.5–1.0] (p = 0.035) in the third trimester. Conclusion: Pregnant women with T1DM required higher insulin doses and showed poorer glycemic control throughout pregnancy compared to those with T2DM. While international cohorts have reported similar findings, this is, to our knowledge, the first Brazilian study to present trimester-specific data on insulin requirements (U/kg) and HbA1c in both diabetes types. A better understanding of the specific characteristics of each type of pregestational diabetes is essential to guide more individualized care and improve maternal–fetal outcomes.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal do Estado do Rio de Janeiro- Rio de Janeiro, RJ, Brasil\nIntroduction: Studies have shown that hyperglycemia during the organogenesis period increases the risk of fetal malformations and miscarriage in women with pregestational diabetes mellitus (PGDM). The gold standard treatment for these patients is insulin, with glycemic targets lower than those of the general population. Although international studies have already explored the differences in insulin requirements and glycemic control between type 1 (T1DM) and type 2 diabetes (T2DM) during pregnancy, there is a lack of Brazilian data evaluating these parameters longitudinally and comparatively. Objective: To compare insulin doses and hemoglobin A1c (HbA1c) levels across each trimester of pregnancy in patients with T1DM and T2DM, followed in a specialized outpatient clinic within a tertiary care center. Methods: Retrospective cohort study with clinical data collection from medical records of pregnant women with T1DM and T2DM followed between 2013 and 2024. Continuous and categorical variables were described as median [IQR] and percentage, respectively. Total insulin dose (U/kg) and HbA1c (%) were evaluated each trimester of pregnancy. Differences between groups were analyzed using the non-parametric Mann–Whitney test with SPSS software version 30.0. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1DM and 138 (65.7%) with T2DM. HbA1c values were 8.4% [6.8–10.4] for T1DM and 7.0% [6.2–8.0] for T2DM (p = 0.001) in the first trimester; 6.9% [6.3–7.2] versus 6.2% [5.7–6.8] (p = 0.003) in the second; and 6.5% [5.7–7.1] versus 6.1% [5.6–6.7] (p = 0.043) in the third trimester. Total insulin dose was 0.6 U/kg [0.5–0.8] for T1DM and 0.5 U/kg [0.3–0.7] for T2DM (p = 0.013) in the first trimester; 0.8 U/kg [0.6–1.0] versus 0.5 U/kg [0.3–0.8] (p < 0.001) in the second; and 0.9 U/kg [0.6–1.1] versus 0.7 U/kg [0.5–1.0] (p = 0.035) in the third trimester. Conclusion: Pregnant women with T1DM required higher insulin doses and showed poorer glycemic control throughout pregnancy compared to those with T2DM. While international cohorts have reported similar findings, this is, to our knowledge, the first Brazilian study to present trimester-specific data on insulin requirements (U/kg) and HbA1c in both diabetes types. A better understanding of the specific characteristics of each type of pregestational diabetes is essential to guide more individualized care and improve maternal–fetal outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—085\nIntroduction: Studies have shown that hyperglycemia during the organogenesis period increases the risk of fetal malformations and miscarriage in women with pregestational diabetes mellitus (PGDM). The gold standard treatment for these patients is insulin, with glycemic targets lower than those of the general population. Although international studies have already explored the differences in insulin requirements and glycemic control between type 1 (T1DM) and type 2 diabetes (T2DM) during pregnancy, there is a lack of Brazilian data evaluating these parameters longitudinally and comparatively. Objective: To compare insulin doses and hemoglobin A1c (HbA1c) levels across each trimester of pregnancy in patients with T1DM and T2DM, followed in a specialized outpatient clinic within a tertiary care center. Methods: Retrospective cohort study with clinical data collection from medical records of pregnant women with T1DM and T2DM followed between 2013 and 2024. Continuous and categorical variables were described as median [IQR] and percentage, respectively. Total insulin dose (U/kg) and HbA1c (%) were evaluated each trimester of pregnancy. Differences between groups were analyzed using the non-parametric Mann–Whitney test with SPSS software version 30.0. Results: A total of 210 pregnant women were included, 72 (34.3%) with T1DM and 138 (65.7%) with T2DM. HbA1c values were 8.4% [6.8–10.4] for T1DM and 7.0% [6.2–8.0] for T2DM (p = 0.001) in the first trimester; 6.9% [6.3–7.2] versus 6.2% [5.7–6.8] (p = 0.003) in the second; and 6.5% [5.7–7.1] versus 6.1% [5.6–6.7] (p = 0.043) in the third trimester. Total insulin dose was 0.6 U/kg [0.5–0.8] for T1DM and 0.5 U/kg [0.3–0.7] for T2DM (p = 0.013) in the first trimester; 0.8 U/kg [0.6–1.0] versus 0.5 U/kg [0.3–0.8] (p < 0.001) in the second; and 0.9 U/kg [0.6–1.1] versus 0.7 U/kg [0.5–1.0] (p = 0.035) in the third trimester. Conclusion: Pregnant women with T1DM required higher insulin doses and showed poorer glycemic control throughout pregnancy compared to those with T2DM. While international cohorts have reported similar findings, this is, to our knowledge, the first Brazilian study to present trimester-specific data on insulin requirements (U/kg) and HbA1c in both diabetes types. A better understanding of the specific characteristics of each type of pregestational diabetes is essential to guide more individualized care and improve maternal–fetal outcomes.\n\n\n### PO—087 Efficacy And Safety Of Insulin Degludec In Pregnant Women With Diabetes: A Meta-analysis Of Observational Studies And Randomized Clinical Trials\nIntroduction: The choice of basal insulin during pregnancy remains uncertain, particularly regarding ultra-long-acting analogues such as insulin degludec. Although widely used in other populations, its safety and efficacy in the gestational context remain controversial. Given its increasing use in clinical practice, it is essential to assess its impact on clinically relevant maternal–fetal outcomes. Objective: To evaluate, through meta-analysis, the safety and efficacy of insulin degludec in pregnant women with diabetes, with emphasis on outcomes such as neonatal hypoglycemia, preeclampsia, preterm birth, LGA (large for gestational age), and SGA (small for gestational age) Methods: A meta-analysis was conducted including nine studies (randomized clinical trials and observational studies), totaling 1,058 pregnant women with type 1, type 2, or gestational diabetes. The outcomes analyzed were: neonatal hypoglycemia, preeclampsia, preterm birth (< 37 weeks), LGA, and SGA. Event data by total participants in each group (insulin degludec vs. comparators such as NPH or glargine) were extracted and analyzed using a random-effects model, with calculation of relative risk (RR) and 95% confidence interval (CI). Results: Insulin degludec was not associated with an increased risk of neonatal hypoglycemia (RR 0.93; 95% CI 0.72–1.20), preeclampsia (RR 0.94; 95% CI 0.68–1.30), preterm birth (RR 0.87; 95% CI 0.65–1.17), LGA (RR 0.89; 95% CI 0.68–1.18), or SGA (RR 1.08; 95% CI 0.55–2.12). No statistically significant heterogeneity was observed among the studies (I2 < 30%). The data suggest a slight trend toward benefit of degludec in most neonatal outcomes. Conclusion: Insulin degludec demonstrated a safety and efficacy profile comparable to that of other basal insulins used during pregnancy, with no association with worse maternal–fetal outcomes. These findings support its use as a viable therapeutic alternative in the management of gestational diabetes, particularly in patients at higher risk for glycemic variability.\n\n\n### Graciolli, LHMSG1; Santos, DM2; Pasiani, JE3; Trindade, GTF2; Cruz, JPM4; Mascarin, AL2; Lima, MM2; Cocco, GB2\nIntroduction: The choice of basal insulin during pregnancy remains uncertain, particularly regarding ultra-long-acting analogues such as insulin degludec. Although widely used in other populations, its safety and efficacy in the gestational context remain controversial. Given its increasing use in clinical practice, it is essential to assess its impact on clinically relevant maternal–fetal outcomes. Objective: To evaluate, through meta-analysis, the safety and efficacy of insulin degludec in pregnant women with diabetes, with emphasis on outcomes such as neonatal hypoglycemia, preeclampsia, preterm birth, LGA (large for gestational age), and SGA (small for gestational age) Methods: A meta-analysis was conducted including nine studies (randomized clinical trials and observational studies), totaling 1,058 pregnant women with type 1, type 2, or gestational diabetes. The outcomes analyzed were: neonatal hypoglycemia, preeclampsia, preterm birth (< 37 weeks), LGA, and SGA. Event data by total participants in each group (insulin degludec vs. comparators such as NPH or glargine) were extracted and analyzed using a random-effects model, with calculation of relative risk (RR) and 95% confidence interval (CI). Results: Insulin degludec was not associated with an increased risk of neonatal hypoglycemia (RR 0.93; 95% CI 0.72–1.20), preeclampsia (RR 0.94; 95% CI 0.68–1.30), preterm birth (RR 0.87; 95% CI 0.65–1.17), LGA (RR 0.89; 95% CI 0.68–1.18), or SGA (RR 1.08; 95% CI 0.55–2.12). No statistically significant heterogeneity was observed among the studies (I2 < 30%). The data suggest a slight trend toward benefit of degludec in most neonatal outcomes. Conclusion: Insulin degludec demonstrated a safety and efficacy profile comparable to that of other basal insulins used during pregnancy, with no association with worse maternal–fetal outcomes. These findings support its use as a viable therapeutic alternative in the management of gestational diabetes, particularly in patients at higher risk for glycemic variability.\n\n\n### (1) Faculdade De Medicina De Jundiaí, Jundiai, SP, Brasil; (2) Fundação Educacional Do Município De Assis, Assis, SP, Brasil; (3) Universidade Brasil, Fernandópolis, SP, Brasil; (4) Universidade Federal De São Carlos, São Paulo, SP, Brasil\nIntroduction: The choice of basal insulin during pregnancy remains uncertain, particularly regarding ultra-long-acting analogues such as insulin degludec. Although widely used in other populations, its safety and efficacy in the gestational context remain controversial. Given its increasing use in clinical practice, it is essential to assess its impact on clinically relevant maternal–fetal outcomes. Objective: To evaluate, through meta-analysis, the safety and efficacy of insulin degludec in pregnant women with diabetes, with emphasis on outcomes such as neonatal hypoglycemia, preeclampsia, preterm birth, LGA (large for gestational age), and SGA (small for gestational age) Methods: A meta-analysis was conducted including nine studies (randomized clinical trials and observational studies), totaling 1,058 pregnant women with type 1, type 2, or gestational diabetes. The outcomes analyzed were: neonatal hypoglycemia, preeclampsia, preterm birth (< 37 weeks), LGA, and SGA. Event data by total participants in each group (insulin degludec vs. comparators such as NPH or glargine) were extracted and analyzed using a random-effects model, with calculation of relative risk (RR) and 95% confidence interval (CI). Results: Insulin degludec was not associated with an increased risk of neonatal hypoglycemia (RR 0.93; 95% CI 0.72–1.20), preeclampsia (RR 0.94; 95% CI 0.68–1.30), preterm birth (RR 0.87; 95% CI 0.65–1.17), LGA (RR 0.89; 95% CI 0.68–1.18), or SGA (RR 1.08; 95% CI 0.55–2.12). No statistically significant heterogeneity was observed among the studies (I2 < 30%). The data suggest a slight trend toward benefit of degludec in most neonatal outcomes. Conclusion: Insulin degludec demonstrated a safety and efficacy profile comparable to that of other basal insulins used during pregnancy, with no association with worse maternal–fetal outcomes. These findings support its use as a viable therapeutic alternative in the management of gestational diabetes, particularly in patients at higher risk for glycemic variability.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—087\nIntroduction: The choice of basal insulin during pregnancy remains uncertain, particularly regarding ultra-long-acting analogues such as insulin degludec. Although widely used in other populations, its safety and efficacy in the gestational context remain controversial. Given its increasing use in clinical practice, it is essential to assess its impact on clinically relevant maternal–fetal outcomes. Objective: To evaluate, through meta-analysis, the safety and efficacy of insulin degludec in pregnant women with diabetes, with emphasis on outcomes such as neonatal hypoglycemia, preeclampsia, preterm birth, LGA (large for gestational age), and SGA (small for gestational age) Methods: A meta-analysis was conducted including nine studies (randomized clinical trials and observational studies), totaling 1,058 pregnant women with type 1, type 2, or gestational diabetes. The outcomes analyzed were: neonatal hypoglycemia, preeclampsia, preterm birth (< 37 weeks), LGA, and SGA. Event data by total participants in each group (insulin degludec vs. comparators such as NPH or glargine) were extracted and analyzed using a random-effects model, with calculation of relative risk (RR) and 95% confidence interval (CI). Results: Insulin degludec was not associated with an increased risk of neonatal hypoglycemia (RR 0.93; 95% CI 0.72–1.20), preeclampsia (RR 0.94; 95% CI 0.68–1.30), preterm birth (RR 0.87; 95% CI 0.65–1.17), LGA (RR 0.89; 95% CI 0.68–1.18), or SGA (RR 1.08; 95% CI 0.55–2.12). No statistically significant heterogeneity was observed among the studies (I2 < 30%). The data suggest a slight trend toward benefit of degludec in most neonatal outcomes. Conclusion: Insulin degludec demonstrated a safety and efficacy profile comparable to that of other basal insulins used during pregnancy, with no association with worse maternal–fetal outcomes. These findings support its use as a viable therapeutic alternative in the management of gestational diabetes, particularly in patients at higher risk for glycemic variability.\n\n\n### PO—088 Factors Associated with Dysglycemia Within Two Years After a Pregnancy Complicated by Gestational Diabetes Mellitus\nIntroduction: Women with prior gestational diabetes (GDM) face an 8–tenfold higher risk of type 2 diabetes (T2DM). The recommended 6–12-week postpartum oral glucose tolerance test (OGTT) is poorly attended (41–58%), contributing to underdiagnosis and lack of early intervention. Identifying risk factors during pregnancy that predict postpartum dysglycemia is essential to optimize screening strategies and target follow-up efforts to those at highest risk. Objective: Evaluate anthropometric and biochemical features of women with GDM that could predict dysglycaemia within 2 years after delivery. Methods: A total of 1,124 women with confirmed GDM were initially identified. After applying predefined exclusion criteria—twin pregnancy (3), incomplete records (1), or absence of postpartum OGTT within 24 months (570) —the final analytic sample comprised 550 women with GDM assisted at a tertiary diabetes-pregnancy clinic between 2007 and 2024. Clinical history, pregnancy outcomes, anthropometric measures, and laboratory data were compared between women who did or did not develop dysglycaemia (prediabetes/T2DM) defined according to ADA criteria based on a 75 g OGTT performed within 24 months postpartum. Results: Participants had mean(SD) age of 33.8(5.7) yrs and BMI of 29.7(5.8) kg/m2. At ≤ 2 years postpartum, 418 (76.0%) remained euglycaemic and 132 (24.0%) developed dysglycaemia, being 122 prediabetes and 10 T2DM. During prenatal care, the group with dysglycaemia had higher frequencies of pre-gestational BMI ≥ 30kg/m2 [54.0 vs 40.5%, p = 0.008], insulin requirement [47.0 vs 32.8, p = 0.003] and caesarean section [65.2 vs 55.2%, p = 0.043]; lower frequencies of smoking [6.9 vs 16.3%, p = 0.008]; and higher levels of plasma glucose in OGTT: fasting [97.5(SD) vs 93.2(SD)mg/dL, p = 0.006]; 1-h [182.x(SD) vs 171.x (SD)mg/dL, p = 0.003]; 2-h [151.8(SD) vs 142.6(SD) mg/dL, p = 0.004] comparing with the euglycaemic group. Multivariable analysis confirmed that 2-h OGTT glucose during pre-natal care was an independent factor associated with dysglycaemia (OR 1.02, 95% CI 1.00–1.03; p = 0.012). Conclusion: Regardless of pregestational BMI or insulin treatment, maternal glycemia during pregnancy—particularly 2-h OGTT values—remains a strong independent predictor of progression to T2DM within 2 years postpartum.\n\n\n### Oyama, PRL1; Pitito, BA1; Dib, SA1; Dualib, PM1\nIntroduction: Women with prior gestational diabetes (GDM) face an 8–tenfold higher risk of type 2 diabetes (T2DM). The recommended 6–12-week postpartum oral glucose tolerance test (OGTT) is poorly attended (41–58%), contributing to underdiagnosis and lack of early intervention. Identifying risk factors during pregnancy that predict postpartum dysglycemia is essential to optimize screening strategies and target follow-up efforts to those at highest risk. Objective: Evaluate anthropometric and biochemical features of women with GDM that could predict dysglycaemia within 2 years after delivery. Methods: A total of 1,124 women with confirmed GDM were initially identified. After applying predefined exclusion criteria—twin pregnancy (3), incomplete records (1), or absence of postpartum OGTT within 24 months (570) —the final analytic sample comprised 550 women with GDM assisted at a tertiary diabetes-pregnancy clinic between 2007 and 2024. Clinical history, pregnancy outcomes, anthropometric measures, and laboratory data were compared between women who did or did not develop dysglycaemia (prediabetes/T2DM) defined according to ADA criteria based on a 75 g OGTT performed within 24 months postpartum. Results: Participants had mean(SD) age of 33.8(5.7) yrs and BMI of 29.7(5.8) kg/m2. At ≤ 2 years postpartum, 418 (76.0%) remained euglycaemic and 132 (24.0%) developed dysglycaemia, being 122 prediabetes and 10 T2DM. During prenatal care, the group with dysglycaemia had higher frequencies of pre-gestational BMI ≥ 30kg/m2 [54.0 vs 40.5%, p = 0.008], insulin requirement [47.0 vs 32.8, p = 0.003] and caesarean section [65.2 vs 55.2%, p = 0.043]; lower frequencies of smoking [6.9 vs 16.3%, p = 0.008]; and higher levels of plasma glucose in OGTT: fasting [97.5(SD) vs 93.2(SD)mg/dL, p = 0.006]; 1-h [182.x(SD) vs 171.x (SD)mg/dL, p = 0.003]; 2-h [151.8(SD) vs 142.6(SD) mg/dL, p = 0.004] comparing with the euglycaemic group. Multivariable analysis confirmed that 2-h OGTT glucose during pre-natal care was an independent factor associated with dysglycaemia (OR 1.02, 95% CI 1.00–1.03; p = 0.012). Conclusion: Regardless of pregestational BMI or insulin treatment, maternal glycemia during pregnancy—particularly 2-h OGTT values—remains a strong independent predictor of progression to T2DM within 2 years postpartum.\n\n\n### (1) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: Women with prior gestational diabetes (GDM) face an 8–tenfold higher risk of type 2 diabetes (T2DM). The recommended 6–12-week postpartum oral glucose tolerance test (OGTT) is poorly attended (41–58%), contributing to underdiagnosis and lack of early intervention. Identifying risk factors during pregnancy that predict postpartum dysglycemia is essential to optimize screening strategies and target follow-up efforts to those at highest risk. Objective: Evaluate anthropometric and biochemical features of women with GDM that could predict dysglycaemia within 2 years after delivery. Methods: A total of 1,124 women with confirmed GDM were initially identified. After applying predefined exclusion criteria—twin pregnancy (3), incomplete records (1), or absence of postpartum OGTT within 24 months (570) —the final analytic sample comprised 550 women with GDM assisted at a tertiary diabetes-pregnancy clinic between 2007 and 2024. Clinical history, pregnancy outcomes, anthropometric measures, and laboratory data were compared between women who did or did not develop dysglycaemia (prediabetes/T2DM) defined according to ADA criteria based on a 75 g OGTT performed within 24 months postpartum. Results: Participants had mean(SD) age of 33.8(5.7) yrs and BMI of 29.7(5.8) kg/m2. At ≤ 2 years postpartum, 418 (76.0%) remained euglycaemic and 132 (24.0%) developed dysglycaemia, being 122 prediabetes and 10 T2DM. During prenatal care, the group with dysglycaemia had higher frequencies of pre-gestational BMI ≥ 30kg/m2 [54.0 vs 40.5%, p = 0.008], insulin requirement [47.0 vs 32.8, p = 0.003] and caesarean section [65.2 vs 55.2%, p = 0.043]; lower frequencies of smoking [6.9 vs 16.3%, p = 0.008]; and higher levels of plasma glucose in OGTT: fasting [97.5(SD) vs 93.2(SD)mg/dL, p = 0.006]; 1-h [182.x(SD) vs 171.x (SD)mg/dL, p = 0.003]; 2-h [151.8(SD) vs 142.6(SD) mg/dL, p = 0.004] comparing with the euglycaemic group. Multivariable analysis confirmed that 2-h OGTT glucose during pre-natal care was an independent factor associated with dysglycaemia (OR 1.02, 95% CI 1.00–1.03; p = 0.012). Conclusion: Regardless of pregestational BMI or insulin treatment, maternal glycemia during pregnancy—particularly 2-h OGTT values—remains a strong independent predictor of progression to T2DM within 2 years postpartum.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—088\nIntroduction: Women with prior gestational diabetes (GDM) face an 8–tenfold higher risk of type 2 diabetes (T2DM). The recommended 6–12-week postpartum oral glucose tolerance test (OGTT) is poorly attended (41–58%), contributing to underdiagnosis and lack of early intervention. Identifying risk factors during pregnancy that predict postpartum dysglycemia is essential to optimize screening strategies and target follow-up efforts to those at highest risk. Objective: Evaluate anthropometric and biochemical features of women with GDM that could predict dysglycaemia within 2 years after delivery. Methods: A total of 1,124 women with confirmed GDM were initially identified. After applying predefined exclusion criteria—twin pregnancy (3), incomplete records (1), or absence of postpartum OGTT within 24 months (570) —the final analytic sample comprised 550 women with GDM assisted at a tertiary diabetes-pregnancy clinic between 2007 and 2024. Clinical history, pregnancy outcomes, anthropometric measures, and laboratory data were compared between women who did or did not develop dysglycaemia (prediabetes/T2DM) defined according to ADA criteria based on a 75 g OGTT performed within 24 months postpartum. Results: Participants had mean(SD) age of 33.8(5.7) yrs and BMI of 29.7(5.8) kg/m2. At ≤ 2 years postpartum, 418 (76.0%) remained euglycaemic and 132 (24.0%) developed dysglycaemia, being 122 prediabetes and 10 T2DM. During prenatal care, the group with dysglycaemia had higher frequencies of pre-gestational BMI ≥ 30kg/m2 [54.0 vs 40.5%, p = 0.008], insulin requirement [47.0 vs 32.8, p = 0.003] and caesarean section [65.2 vs 55.2%, p = 0.043]; lower frequencies of smoking [6.9 vs 16.3%, p = 0.008]; and higher levels of plasma glucose in OGTT: fasting [97.5(SD) vs 93.2(SD)mg/dL, p = 0.006]; 1-h [182.x(SD) vs 171.x (SD)mg/dL, p = 0.003]; 2-h [151.8(SD) vs 142.6(SD) mg/dL, p = 0.004] comparing with the euglycaemic group. Multivariable analysis confirmed that 2-h OGTT glucose during pre-natal care was an independent factor associated with dysglycaemia (OR 1.02, 95% CI 1.00–1.03; p = 0.012). Conclusion: Regardless of pregestational BMI or insulin treatment, maternal glycemia during pregnancy—particularly 2-h OGTT values—remains a strong independent predictor of progression to T2DM within 2 years postpartum.\n\n\n### PO—089 Gestational Weight Gain In Pregnancies With Type 2 Diabetes: Insights From A Retrospective Cohort Of Brazilian Women\nIntroduction: Gestational weight gain (GWG) adequacy has traditionally been classified according to the Institute of Medicine (IOM) guidelines, now under the National Academy of Medicine. Recently, Brazil introduced its own national recommendations for pregnancy weight gain. Objective: We aimed to compare GWG adequacy based on both sets of guidelines and to evaluate their association with pregnancy outcomes in women with type 2 diabetes receiving care at two public hospitals in Brazil. Methods: We included women with clinical characteristics of type 2 diabetes. Categories of GWG, adequate, insufficient, or excessive, were defined according to the two criteria. Primary outcomes were preterm birth (delivery < 37 weeks), neonatal hypoglycemia, admission to the neonatal intensive care unit (NICU), large for gestational age (LGA) babies, small for gestational age babies (SGA), and macrosomia (> 4000 g). We applied the McNemar test for comparison of GWG adequacy and the Poisson regression for the multivariable analyses. In the adjusted models, we entered the BMI categories, 3rd-trimester HbA1c, and GWG categories. Models accounting for macrosomia, neonatal hypoglycemia, and NICU were adjusted further for gestational age at birth. Results are presented as adjusted relative risk (aRR) and 95% confidence interval, p value. Results: We included 585 women, 414 (71%) with obesity. Mean maternal age was 32.7 ± 5.9 year, mean pregestational body mass index (BMI) was 34.4 ± 7.8 kg/m2, and mean gestational age at delivery, 37.1 ± 3.0 weeks. The Figure displays the frequencies of GWG adequacy by both recommendations. The Brazilian criteria classified GWG as excessive more often (p < 0.001). In the Brazilian criteria models, macrosomia was the only factor associated with (excessive) GWG (n = 496; aRR 2.03,95% CI 1.01–4.10, p = 0.048). In models by the IOM criteria, neonatal hypoglycemia (n = 475; aRR 0.57, 95% CI 0.35–0.92, p = 0.020) and LGA babies (n = 489; aRR 0.68, 95% CI 0.49–0.94, p = 0.019) showed an inverse association with insufficient GWG; macrosomia was directly associated with excessive GWG (n = 496; aRR 2.02, 95% CI 1.21–3.39, p = 0.007). Conclusion: Adequate GWG was uncommon, while excessive GWG occurred in ~ half of the cohort by the Brazilian criteria. Although only macrosomia (among six neonatal outcomes) was associated with (excessive) GWG in multivariable analyses, the frequency of excessive GWG, on top of an already high pregestational BMI, in women with type 2 diabetes was alarming, demanding prompt action from the medical staff.\n\n\n### Reichelt, AJ1; Hirakata, VN1; Campos, MAA2; Oppermann, MLR1\nIntroduction: Gestational weight gain (GWG) adequacy has traditionally been classified according to the Institute of Medicine (IOM) guidelines, now under the National Academy of Medicine. Recently, Brazil introduced its own national recommendations for pregnancy weight gain. Objective: We aimed to compare GWG adequacy based on both sets of guidelines and to evaluate their association with pregnancy outcomes in women with type 2 diabetes receiving care at two public hospitals in Brazil. Methods: We included women with clinical characteristics of type 2 diabetes. Categories of GWG, adequate, insufficient, or excessive, were defined according to the two criteria. Primary outcomes were preterm birth (delivery < 37 weeks), neonatal hypoglycemia, admission to the neonatal intensive care unit (NICU), large for gestational age (LGA) babies, small for gestational age babies (SGA), and macrosomia (> 4000 g). We applied the McNemar test for comparison of GWG adequacy and the Poisson regression for the multivariable analyses. In the adjusted models, we entered the BMI categories, 3rd-trimester HbA1c, and GWG categories. Models accounting for macrosomia, neonatal hypoglycemia, and NICU were adjusted further for gestational age at birth. Results are presented as adjusted relative risk (aRR) and 95% confidence interval, p value. Results: We included 585 women, 414 (71%) with obesity. Mean maternal age was 32.7 ± 5.9 year, mean pregestational body mass index (BMI) was 34.4 ± 7.8 kg/m2, and mean gestational age at delivery, 37.1 ± 3.0 weeks. The Figure displays the frequencies of GWG adequacy by both recommendations. The Brazilian criteria classified GWG as excessive more often (p < 0.001). In the Brazilian criteria models, macrosomia was the only factor associated with (excessive) GWG (n = 496; aRR 2.03,95% CI 1.01–4.10, p = 0.048). In models by the IOM criteria, neonatal hypoglycemia (n = 475; aRR 0.57, 95% CI 0.35–0.92, p = 0.020) and LGA babies (n = 489; aRR 0.68, 95% CI 0.49–0.94, p = 0.019) showed an inverse association with insufficient GWG; macrosomia was directly associated with excessive GWG (n = 496; aRR 2.02, 95% CI 1.21–3.39, p = 0.007). Conclusion: Adequate GWG was uncommon, while excessive GWG occurred in ~ half of the cohort by the Brazilian criteria. Although only macrosomia (among six neonatal outcomes) was associated with (excessive) GWG in multivariable analyses, the frequency of excessive GWG, on top of an already high pregestational BMI, in women with type 2 diabetes was alarming, demanding prompt action from the medical staff.\n\n\n### (1) Hospital De Clínicas De Porto Alegre, Porto Alegre, RS, Brasil; (2) Hospital Nossa Senhora Da Conceição, Porto Alegre, RS, Brasil\nIntroduction: Gestational weight gain (GWG) adequacy has traditionally been classified according to the Institute of Medicine (IOM) guidelines, now under the National Academy of Medicine. Recently, Brazil introduced its own national recommendations for pregnancy weight gain. Objective: We aimed to compare GWG adequacy based on both sets of guidelines and to evaluate their association with pregnancy outcomes in women with type 2 diabetes receiving care at two public hospitals in Brazil. Methods: We included women with clinical characteristics of type 2 diabetes. Categories of GWG, adequate, insufficient, or excessive, were defined according to the two criteria. Primary outcomes were preterm birth (delivery < 37 weeks), neonatal hypoglycemia, admission to the neonatal intensive care unit (NICU), large for gestational age (LGA) babies, small for gestational age babies (SGA), and macrosomia (> 4000 g). We applied the McNemar test for comparison of GWG adequacy and the Poisson regression for the multivariable analyses. In the adjusted models, we entered the BMI categories, 3rd-trimester HbA1c, and GWG categories. Models accounting for macrosomia, neonatal hypoglycemia, and NICU were adjusted further for gestational age at birth. Results are presented as adjusted relative risk (aRR) and 95% confidence interval, p value. Results: We included 585 women, 414 (71%) with obesity. Mean maternal age was 32.7 ± 5.9 year, mean pregestational body mass index (BMI) was 34.4 ± 7.8 kg/m2, and mean gestational age at delivery, 37.1 ± 3.0 weeks. The Figure displays the frequencies of GWG adequacy by both recommendations. The Brazilian criteria classified GWG as excessive more often (p < 0.001). In the Brazilian criteria models, macrosomia was the only factor associated with (excessive) GWG (n = 496; aRR 2.03,95% CI 1.01–4.10, p = 0.048). In models by the IOM criteria, neonatal hypoglycemia (n = 475; aRR 0.57, 95% CI 0.35–0.92, p = 0.020) and LGA babies (n = 489; aRR 0.68, 95% CI 0.49–0.94, p = 0.019) showed an inverse association with insufficient GWG; macrosomia was directly associated with excessive GWG (n = 496; aRR 2.02, 95% CI 1.21–3.39, p = 0.007). Conclusion: Adequate GWG was uncommon, while excessive GWG occurred in ~ half of the cohort by the Brazilian criteria. Although only macrosomia (among six neonatal outcomes) was associated with (excessive) GWG in multivariable analyses, the frequency of excessive GWG, on top of an already high pregestational BMI, in women with type 2 diabetes was alarming, demanding prompt action from the medical staff.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—089\nIntroduction: Gestational weight gain (GWG) adequacy has traditionally been classified according to the Institute of Medicine (IOM) guidelines, now under the National Academy of Medicine. Recently, Brazil introduced its own national recommendations for pregnancy weight gain. Objective: We aimed to compare GWG adequacy based on both sets of guidelines and to evaluate their association with pregnancy outcomes in women with type 2 diabetes receiving care at two public hospitals in Brazil. Methods: We included women with clinical characteristics of type 2 diabetes. Categories of GWG, adequate, insufficient, or excessive, were defined according to the two criteria. Primary outcomes were preterm birth (delivery < 37 weeks), neonatal hypoglycemia, admission to the neonatal intensive care unit (NICU), large for gestational age (LGA) babies, small for gestational age babies (SGA), and macrosomia (> 4000 g). We applied the McNemar test for comparison of GWG adequacy and the Poisson regression for the multivariable analyses. In the adjusted models, we entered the BMI categories, 3rd-trimester HbA1c, and GWG categories. Models accounting for macrosomia, neonatal hypoglycemia, and NICU were adjusted further for gestational age at birth. Results are presented as adjusted relative risk (aRR) and 95% confidence interval, p value. Results: We included 585 women, 414 (71%) with obesity. Mean maternal age was 32.7 ± 5.9 year, mean pregestational body mass index (BMI) was 34.4 ± 7.8 kg/m2, and mean gestational age at delivery, 37.1 ± 3.0 weeks. The Figure displays the frequencies of GWG adequacy by both recommendations. The Brazilian criteria classified GWG as excessive more often (p < 0.001). In the Brazilian criteria models, macrosomia was the only factor associated with (excessive) GWG (n = 496; aRR 2.03,95% CI 1.01–4.10, p = 0.048). In models by the IOM criteria, neonatal hypoglycemia (n = 475; aRR 0.57, 95% CI 0.35–0.92, p = 0.020) and LGA babies (n = 489; aRR 0.68, 95% CI 0.49–0.94, p = 0.019) showed an inverse association with insufficient GWG; macrosomia was directly associated with excessive GWG (n = 496; aRR 2.02, 95% CI 1.21–3.39, p = 0.007). Conclusion: Adequate GWG was uncommon, while excessive GWG occurred in ~ half of the cohort by the Brazilian criteria. Although only macrosomia (among six neonatal outcomes) was associated with (excessive) GWG in multivariable analyses, the frequency of excessive GWG, on top of an already high pregestational BMI, in women with type 2 diabetes was alarming, demanding prompt action from the medical staff.\n\n\n### PO—090 Impact of Early Diagnosis of Overt Diabetes on Pregnancy Outcomes: a Retrospective Cohort Study in Brazilian Women\nIntroduction: Early diagnosis of gestational diabetes has been shown to improve certain pregnancy outcomes. However, data are limited for pregnant women with overt diabetes—those who meet the diagnostic criteria for diabetes based on hyperglycemia identified for the first time during pregnancy. Objective: We aimed to compare pregnancy outcomes between women with overt diabetes diagnosed early (≤13 weeks of gestation) and those diagnosed later in pregnancy. Methods: Women with overt diabetes from a retrospective cohort of 646 women exhibiting a type 2 diabetes phenotype were included. The groups of early and later diagnosis were compared for features, pregnancy outcomes, and associated factors. We performed multivariable analyses using linear regression (continuous variables) and Poisson regression with robust variances (dichotomic variables). Results include the number of women available for each analysis and are presented as b (linear coefficient) or adjusted relative risk (aRR) with 95% CI, p value. Results: Of 217 participants with overt diabetes, 118 (54.4%) had a diagnosis in the first trimester (early group). In univariable analyses, women in the early group had more chronic hypertension and a family history of hypertension. They also had fewer hospital admissions, and lower gestational weight gain and 3rd-trimester HbA1c. Maternal and neonatal outcomes were similar. In multivariable analysis, the early diagnosis group had a lower gestational weight gain (n=196; - 3.6 kg; -5.9-1.3; p<0.01) and 3rd trimester HbA1c (n=160; -0.27; -0.05- -0.01; p=0.04). Maternal hospital admission was inversely associated with early diagnosis (n=194; aRR 0.74; 0.59-0.92; p=0.01) and directly associated with a higher initial HbA1c (n=194; aRR 1.27; 1.18-1.37; p<0.01). Early diagnosis did not impact any other pregnancy outcome. Preeclampsia was linked to previous chronic hypertension (n=200; aRR 1.65; 1.03-2.66; p=0.04). Neonatal hypoglycemia (n=150; aRR 2.08; 1.07-4.05; p=0.03) and neonatal intensive care unit admission (n=150; aRR 1.70; 1.10-2.62; p=0.02) were directly linked to an HbA1c ≥ 6.5%. Neonatal hypoglycemia was inversely associated with maternal obesity (n=150; aRR 0.46; 0.25-0.85; p=0.01) (Figure 1) Conclusion: In this cohort of pregnant women with overt diabetes, diagnosis up to the 13th week impacted positively on some maternal metabolic aspects, without improving relevant pregnancy outcomes.\n\n\n### Oppermann MLR1; de Campos MAA2; Hirakata VN3; Reichelt AJ3\nIntroduction: Early diagnosis of gestational diabetes has been shown to improve certain pregnancy outcomes. However, data are limited for pregnant women with overt diabetes—those who meet the diagnostic criteria for diabetes based on hyperglycemia identified for the first time during pregnancy. Objective: We aimed to compare pregnancy outcomes between women with overt diabetes diagnosed early (≤13 weeks of gestation) and those diagnosed later in pregnancy. Methods: Women with overt diabetes from a retrospective cohort of 646 women exhibiting a type 2 diabetes phenotype were included. The groups of early and later diagnosis were compared for features, pregnancy outcomes, and associated factors. We performed multivariable analyses using linear regression (continuous variables) and Poisson regression with robust variances (dichotomic variables). Results include the number of women available for each analysis and are presented as b (linear coefficient) or adjusted relative risk (aRR) with 95% CI, p value. Results: Of 217 participants with overt diabetes, 118 (54.4%) had a diagnosis in the first trimester (early group). In univariable analyses, women in the early group had more chronic hypertension and a family history of hypertension. They also had fewer hospital admissions, and lower gestational weight gain and 3rd-trimester HbA1c. Maternal and neonatal outcomes were similar. In multivariable analysis, the early diagnosis group had a lower gestational weight gain (n=196; - 3.6 kg; -5.9-1.3; p<0.01) and 3rd trimester HbA1c (n=160; -0.27; -0.05- -0.01; p=0.04). Maternal hospital admission was inversely associated with early diagnosis (n=194; aRR 0.74; 0.59-0.92; p=0.01) and directly associated with a higher initial HbA1c (n=194; aRR 1.27; 1.18-1.37; p<0.01). Early diagnosis did not impact any other pregnancy outcome. Preeclampsia was linked to previous chronic hypertension (n=200; aRR 1.65; 1.03-2.66; p=0.04). Neonatal hypoglycemia (n=150; aRR 2.08; 1.07-4.05; p=0.03) and neonatal intensive care unit admission (n=150; aRR 1.70; 1.10-2.62; p=0.02) were directly linked to an HbA1c ≥ 6.5%. Neonatal hypoglycemia was inversely associated with maternal obesity (n=150; aRR 0.46; 0.25-0.85; p=0.01) (Figure 1) Conclusion: In this cohort of pregnant women with overt diabetes, diagnosis up to the 13th week impacted positively on some maternal metabolic aspects, without improving relevant pregnancy outcomes.\n\n\n### (1) Hospital de Clínicas de Porto Alegre e Faculdade de Medicina, Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Hospital Nossa Senhora da Conceição, Porto Alegre, RS, Brasil; (3) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Early diagnosis of gestational diabetes has been shown to improve certain pregnancy outcomes. However, data are limited for pregnant women with overt diabetes—those who meet the diagnostic criteria for diabetes based on hyperglycemia identified for the first time during pregnancy. Objective: We aimed to compare pregnancy outcomes between women with overt diabetes diagnosed early (≤13 weeks of gestation) and those diagnosed later in pregnancy. Methods: Women with overt diabetes from a retrospective cohort of 646 women exhibiting a type 2 diabetes phenotype were included. The groups of early and later diagnosis were compared for features, pregnancy outcomes, and associated factors. We performed multivariable analyses using linear regression (continuous variables) and Poisson regression with robust variances (dichotomic variables). Results include the number of women available for each analysis and are presented as b (linear coefficient) or adjusted relative risk (aRR) with 95% CI, p value. Results: Of 217 participants with overt diabetes, 118 (54.4%) had a diagnosis in the first trimester (early group). In univariable analyses, women in the early group had more chronic hypertension and a family history of hypertension. They also had fewer hospital admissions, and lower gestational weight gain and 3rd-trimester HbA1c. Maternal and neonatal outcomes were similar. In multivariable analysis, the early diagnosis group had a lower gestational weight gain (n=196; - 3.6 kg; -5.9-1.3; p<0.01) and 3rd trimester HbA1c (n=160; -0.27; -0.05- -0.01; p=0.04). Maternal hospital admission was inversely associated with early diagnosis (n=194; aRR 0.74; 0.59-0.92; p=0.01) and directly associated with a higher initial HbA1c (n=194; aRR 1.27; 1.18-1.37; p<0.01). Early diagnosis did not impact any other pregnancy outcome. Preeclampsia was linked to previous chronic hypertension (n=200; aRR 1.65; 1.03-2.66; p=0.04). Neonatal hypoglycemia (n=150; aRR 2.08; 1.07-4.05; p=0.03) and neonatal intensive care unit admission (n=150; aRR 1.70; 1.10-2.62; p=0.02) were directly linked to an HbA1c ≥ 6.5%. Neonatal hypoglycemia was inversely associated with maternal obesity (n=150; aRR 0.46; 0.25-0.85; p=0.01) (Figure 1) Conclusion: In this cohort of pregnant women with overt diabetes, diagnosis up to the 13th week impacted positively on some maternal metabolic aspects, without improving relevant pregnancy outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—090\nIntroduction: Early diagnosis of gestational diabetes has been shown to improve certain pregnancy outcomes. However, data are limited for pregnant women with overt diabetes—those who meet the diagnostic criteria for diabetes based on hyperglycemia identified for the first time during pregnancy. Objective: We aimed to compare pregnancy outcomes between women with overt diabetes diagnosed early (≤13 weeks of gestation) and those diagnosed later in pregnancy. Methods: Women with overt diabetes from a retrospective cohort of 646 women exhibiting a type 2 diabetes phenotype were included. The groups of early and later diagnosis were compared for features, pregnancy outcomes, and associated factors. We performed multivariable analyses using linear regression (continuous variables) and Poisson regression with robust variances (dichotomic variables). Results include the number of women available for each analysis and are presented as b (linear coefficient) or adjusted relative risk (aRR) with 95% CI, p value. Results: Of 217 participants with overt diabetes, 118 (54.4%) had a diagnosis in the first trimester (early group). In univariable analyses, women in the early group had more chronic hypertension and a family history of hypertension. They also had fewer hospital admissions, and lower gestational weight gain and 3rd-trimester HbA1c. Maternal and neonatal outcomes were similar. In multivariable analysis, the early diagnosis group had a lower gestational weight gain (n=196; - 3.6 kg; -5.9-1.3; p<0.01) and 3rd trimester HbA1c (n=160; -0.27; -0.05- -0.01; p=0.04). Maternal hospital admission was inversely associated with early diagnosis (n=194; aRR 0.74; 0.59-0.92; p=0.01) and directly associated with a higher initial HbA1c (n=194; aRR 1.27; 1.18-1.37; p<0.01). Early diagnosis did not impact any other pregnancy outcome. Preeclampsia was linked to previous chronic hypertension (n=200; aRR 1.65; 1.03-2.66; p=0.04). Neonatal hypoglycemia (n=150; aRR 2.08; 1.07-4.05; p=0.03) and neonatal intensive care unit admission (n=150; aRR 1.70; 1.10-2.62; p=0.02) were directly linked to an HbA1c ≥ 6.5%. Neonatal hypoglycemia was inversely associated with maternal obesity (n=150; aRR 0.46; 0.25-0.85; p=0.01) (Figure 1) Conclusion: In this cohort of pregnant women with overt diabetes, diagnosis up to the 13th week impacted positively on some maternal metabolic aspects, without improving relevant pregnancy outcomes.\n\n\n### PO—091 Influence of Chrononutrition on Maternal and Perinatal Outcomes in Pregnant Women with Pre-Gestacional Diabetes Mellitus\nIntroduction: pre-gestational diabetes mellitus is associated with a higher risk of adverse pregnancy outcomes. Glycemic control is essential to minimize these risks, and chrononutrition, which considers the timing of food intake throughout the day, emerges as a promising strategy to optimize this control during pregnancy. Objective: this study aimed to investigate the association between chrononutrition and maternal and perinatal outcomes throughout pregnancy in women diagnosed with pre-gestational diabetes mellitus. Method: this is a longitudinal observational study including 115 pregnant women with type 1 and type 2 pre-gestational diabetes mellitus, followed during the second and third trimesters at a public referral hospital in Rio de Janeiro between 2016 and 2025. Food consumption was assessed using 24-hour dietary recalls in the second and third trimesters. Chrononutrition parameters included number of eating episodes, diurnal or nocturnal eating patterns, meal times, and total caloric intake by period and by meal. Logistic and linear regression analyses were conducted to investigate associations between chrononutrition variables and clinical outcomes. Results: a higher number of eating episodes was associated with a 58% lower chance of preeclampsia (adjusted OR = 0.42; p = 0.014), indicating a protective effect of eating frequency. Pregnant women with a nocturnal eating pattern in the third trimester had an average increase of 25 days in neonatal intensive care unit length of stay (adjusted β = 24.85; 95% CI: 7.24 to 42.46). Additionally, diabetes mellitus type was associated with this outcome, with longer neonatal intensive care unit stays among infants born to women with type 2 diabetes mellitus (adjusted β = 14.77; 95% CI: 0.36 to 29.17). Conclusion: the data suggest that the temporal distribution of food intake throughout the day may significantly influence clinical outcomes in pregnant women with pre-gestational diabetes mellitus and their infants, reinforcing the importance of chrononutrition as a therapeutic strategy.\n\n\n### Lacerda AS1; dos Santos K2; Saunders C1\nIntroduction: pre-gestational diabetes mellitus is associated with a higher risk of adverse pregnancy outcomes. Glycemic control is essential to minimize these risks, and chrononutrition, which considers the timing of food intake throughout the day, emerges as a promising strategy to optimize this control during pregnancy. Objective: this study aimed to investigate the association between chrononutrition and maternal and perinatal outcomes throughout pregnancy in women diagnosed with pre-gestational diabetes mellitus. Method: this is a longitudinal observational study including 115 pregnant women with type 1 and type 2 pre-gestational diabetes mellitus, followed during the second and third trimesters at a public referral hospital in Rio de Janeiro between 2016 and 2025. Food consumption was assessed using 24-hour dietary recalls in the second and third trimesters. Chrononutrition parameters included number of eating episodes, diurnal or nocturnal eating patterns, meal times, and total caloric intake by period and by meal. Logistic and linear regression analyses were conducted to investigate associations between chrononutrition variables and clinical outcomes. Results: a higher number of eating episodes was associated with a 58% lower chance of preeclampsia (adjusted OR = 0.42; p = 0.014), indicating a protective effect of eating frequency. Pregnant women with a nocturnal eating pattern in the third trimester had an average increase of 25 days in neonatal intensive care unit length of stay (adjusted β = 24.85; 95% CI: 7.24 to 42.46). Additionally, diabetes mellitus type was associated with this outcome, with longer neonatal intensive care unit stays among infants born to women with type 2 diabetes mellitus (adjusted β = 14.77; 95% CI: 0.36 to 29.17). Conclusion: the data suggest that the temporal distribution of food intake throughout the day may significantly influence clinical outcomes in pregnant women with pre-gestational diabetes mellitus and their infants, reinforcing the importance of chrononutrition as a therapeutic strategy.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: pre-gestational diabetes mellitus is associated with a higher risk of adverse pregnancy outcomes. Glycemic control is essential to minimize these risks, and chrononutrition, which considers the timing of food intake throughout the day, emerges as a promising strategy to optimize this control during pregnancy. Objective: this study aimed to investigate the association between chrononutrition and maternal and perinatal outcomes throughout pregnancy in women diagnosed with pre-gestational diabetes mellitus. Method: this is a longitudinal observational study including 115 pregnant women with type 1 and type 2 pre-gestational diabetes mellitus, followed during the second and third trimesters at a public referral hospital in Rio de Janeiro between 2016 and 2025. Food consumption was assessed using 24-hour dietary recalls in the second and third trimesters. Chrononutrition parameters included number of eating episodes, diurnal or nocturnal eating patterns, meal times, and total caloric intake by period and by meal. Logistic and linear regression analyses were conducted to investigate associations between chrononutrition variables and clinical outcomes. Results: a higher number of eating episodes was associated with a 58% lower chance of preeclampsia (adjusted OR = 0.42; p = 0.014), indicating a protective effect of eating frequency. Pregnant women with a nocturnal eating pattern in the third trimester had an average increase of 25 days in neonatal intensive care unit length of stay (adjusted β = 24.85; 95% CI: 7.24 to 42.46). Additionally, diabetes mellitus type was associated with this outcome, with longer neonatal intensive care unit stays among infants born to women with type 2 diabetes mellitus (adjusted β = 14.77; 95% CI: 0.36 to 29.17). Conclusion: the data suggest that the temporal distribution of food intake throughout the day may significantly influence clinical outcomes in pregnant women with pre-gestational diabetes mellitus and their infants, reinforcing the importance of chrononutrition as a therapeutic strategy.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—091\nIntroduction: pre-gestational diabetes mellitus is associated with a higher risk of adverse pregnancy outcomes. Glycemic control is essential to minimize these risks, and chrononutrition, which considers the timing of food intake throughout the day, emerges as a promising strategy to optimize this control during pregnancy. Objective: this study aimed to investigate the association between chrononutrition and maternal and perinatal outcomes throughout pregnancy in women diagnosed with pre-gestational diabetes mellitus. Method: this is a longitudinal observational study including 115 pregnant women with type 1 and type 2 pre-gestational diabetes mellitus, followed during the second and third trimesters at a public referral hospital in Rio de Janeiro between 2016 and 2025. Food consumption was assessed using 24-hour dietary recalls in the second and third trimesters. Chrononutrition parameters included number of eating episodes, diurnal or nocturnal eating patterns, meal times, and total caloric intake by period and by meal. Logistic and linear regression analyses were conducted to investigate associations between chrononutrition variables and clinical outcomes. Results: a higher number of eating episodes was associated with a 58% lower chance of preeclampsia (adjusted OR = 0.42; p = 0.014), indicating a protective effect of eating frequency. Pregnant women with a nocturnal eating pattern in the third trimester had an average increase of 25 days in neonatal intensive care unit length of stay (adjusted β = 24.85; 95% CI: 7.24 to 42.46). Additionally, diabetes mellitus type was associated with this outcome, with longer neonatal intensive care unit stays among infants born to women with type 2 diabetes mellitus (adjusted β = 14.77; 95% CI: 0.36 to 29.17). Conclusion: the data suggest that the temporal distribution of food intake throughout the day may significantly influence clinical outcomes in pregnant women with pre-gestational diabetes mellitus and their infants, reinforcing the importance of chrononutrition as a therapeutic strategy.\n\n\n### PO—092 Maternal Mortality Due to Diabetes in Pregnancy (2014–2023)\nIntroduction: Diabetes mellitus during pregnancy is one of the most common complications in the gestational period and may lead to adverse outcomes for both maternal and fetal health. In Brazil, maternal mortality remains a significant public health challenge. Identifying factors associated with maternal deaths related to diabetes in pregnancy, as well as monitoring their trends over time, is essential to support prevention and care policies. Objective: To analyze the temporal trend and epidemiological profile of maternal mortality due to diabetes mellitus in pregnancy in Brazil from 2014 to 2023. Methods: This is a descriptive epidemiological study using secondary data extracted from the Mortality Information System (SIM), available through the Brazilian Unified Health System’s Department of Informatics (DATASUS). The study included maternal deaths among women of reproductive age, recorded between 2014 and 2023, whose underlying cause was classified as \"Diabetes mellitus in pregnancy\" (ICD-10: O24). The variables analyzed included year of death, geographic region, age group, and race/skin color. Data were obtained from the “Mortality – since 1996 by ICD-10” section and sourced from the Ministry of Health through the Health Surveillance Secretariat (SVS) and the General Coordination of Information and Epidemiological Analysis (CGIAE). Results: A total of 128 deaths of women of reproductive age due to diabetes in pregnancy were recorded. Most occurred in the Southeast (52 deaths; 40.6%) and Northeast (46; 35.9%) regions, with the lowest number observed in the Central-West (6; 4.6%). The year 2021 recorded the highest number of deaths (18; 14%), followed by 2018 (15; 11.7%). The lowest number was in 2017 (9 deaths; 7%). The most affected age group was 30–39 years (49 deaths; 38.3%), followed by 20–29 years (48; 37.5%). Among adolescents aged 15–19 years, there were 9 deaths (7%). Regarding race/skin color, most were mixed-race women (76; 59.4%), followed by white (36; 28.1%) and Black women (11; 8.6%). Conclusion: Between 2014 and 2023, most maternal deaths due to diabetes mellitus in pregnancy occurred in the Southeast and Northeast regions, predominantly among women aged 30 to 39 years and those identified as mixed race. These findings underscore the importance of strengthening prenatal care, with emphasis on early detection and appropriate management of gestational hyperglycemia, particularly among more vulnerable populations.\n\n\n### Godoy BV1; Morikawa LL2; Couto FS3; de Oliveira VCC1; de Moraes MB4; Féris MEER4; Rocha MCP3; de Oliveira BGG3; de Sousa LMR1; de Andrade ISR5\nIntroduction: Diabetes mellitus during pregnancy is one of the most common complications in the gestational period and may lead to adverse outcomes for both maternal and fetal health. In Brazil, maternal mortality remains a significant public health challenge. Identifying factors associated with maternal deaths related to diabetes in pregnancy, as well as monitoring their trends over time, is essential to support prevention and care policies. Objective: To analyze the temporal trend and epidemiological profile of maternal mortality due to diabetes mellitus in pregnancy in Brazil from 2014 to 2023. Methods: This is a descriptive epidemiological study using secondary data extracted from the Mortality Information System (SIM), available through the Brazilian Unified Health System’s Department of Informatics (DATASUS). The study included maternal deaths among women of reproductive age, recorded between 2014 and 2023, whose underlying cause was classified as \"Diabetes mellitus in pregnancy\" (ICD-10: O24). The variables analyzed included year of death, geographic region, age group, and race/skin color. Data were obtained from the “Mortality – since 1996 by ICD-10” section and sourced from the Ministry of Health through the Health Surveillance Secretariat (SVS) and the General Coordination of Information and Epidemiological Analysis (CGIAE). Results: A total of 128 deaths of women of reproductive age due to diabetes in pregnancy were recorded. Most occurred in the Southeast (52 deaths; 40.6%) and Northeast (46; 35.9%) regions, with the lowest number observed in the Central-West (6; 4.6%). The year 2021 recorded the highest number of deaths (18; 14%), followed by 2018 (15; 11.7%). The lowest number was in 2017 (9 deaths; 7%). The most affected age group was 30–39 years (49 deaths; 38.3%), followed by 20–29 years (48; 37.5%). Among adolescents aged 15–19 years, there were 9 deaths (7%). Regarding race/skin color, most were mixed-race women (76; 59.4%), followed by white (36; 28.1%) and Black women (11; 8.6%). Conclusion: Between 2014 and 2023, most maternal deaths due to diabetes mellitus in pregnancy occurred in the Southeast and Northeast regions, predominantly among women aged 30 to 39 years and those identified as mixed race. These findings underscore the importance of strengthening prenatal care, with emphasis on early detection and appropriate management of gestational hyperglycemia, particularly among more vulnerable populations.\n\n\n### (1) Universidade Nove de Julho, São Paulo, SP, Brasil; (2) Universidade Nove de Julho, Guarulhos, SP, Brasil; (3) Faculdade de Medicina de Marília, Marília, SP, Brasil; (4) Faculdade de Medicina de Jundiaí, Jundiai, SP, Brasil; (5) Faculdade de Medicina de Marília, Marília, SP, Brasil; (6) Universidade de Marília, Marília, SP, Brasil; (7) Pontifícia Universidade Católica de Campinas, Campinas, SP, Brasil\nIntroduction: Diabetes mellitus during pregnancy is one of the most common complications in the gestational period and may lead to adverse outcomes for both maternal and fetal health. In Brazil, maternal mortality remains a significant public health challenge. Identifying factors associated with maternal deaths related to diabetes in pregnancy, as well as monitoring their trends over time, is essential to support prevention and care policies. Objective: To analyze the temporal trend and epidemiological profile of maternal mortality due to diabetes mellitus in pregnancy in Brazil from 2014 to 2023. Methods: This is a descriptive epidemiological study using secondary data extracted from the Mortality Information System (SIM), available through the Brazilian Unified Health System’s Department of Informatics (DATASUS). The study included maternal deaths among women of reproductive age, recorded between 2014 and 2023, whose underlying cause was classified as \"Diabetes mellitus in pregnancy\" (ICD-10: O24). The variables analyzed included year of death, geographic region, age group, and race/skin color. Data were obtained from the “Mortality – since 1996 by ICD-10” section and sourced from the Ministry of Health through the Health Surveillance Secretariat (SVS) and the General Coordination of Information and Epidemiological Analysis (CGIAE). Results: A total of 128 deaths of women of reproductive age due to diabetes in pregnancy were recorded. Most occurred in the Southeast (52 deaths; 40.6%) and Northeast (46; 35.9%) regions, with the lowest number observed in the Central-West (6; 4.6%). The year 2021 recorded the highest number of deaths (18; 14%), followed by 2018 (15; 11.7%). The lowest number was in 2017 (9 deaths; 7%). The most affected age group was 30–39 years (49 deaths; 38.3%), followed by 20–29 years (48; 37.5%). Among adolescents aged 15–19 years, there were 9 deaths (7%). Regarding race/skin color, most were mixed-race women (76; 59.4%), followed by white (36; 28.1%) and Black women (11; 8.6%). Conclusion: Between 2014 and 2023, most maternal deaths due to diabetes mellitus in pregnancy occurred in the Southeast and Northeast regions, predominantly among women aged 30 to 39 years and those identified as mixed race. These findings underscore the importance of strengthening prenatal care, with emphasis on early detection and appropriate management of gestational hyperglycemia, particularly among more vulnerable populations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—092\nIntroduction: Diabetes mellitus during pregnancy is one of the most common complications in the gestational period and may lead to adverse outcomes for both maternal and fetal health. In Brazil, maternal mortality remains a significant public health challenge. Identifying factors associated with maternal deaths related to diabetes in pregnancy, as well as monitoring their trends over time, is essential to support prevention and care policies. Objective: To analyze the temporal trend and epidemiological profile of maternal mortality due to diabetes mellitus in pregnancy in Brazil from 2014 to 2023. Methods: This is a descriptive epidemiological study using secondary data extracted from the Mortality Information System (SIM), available through the Brazilian Unified Health System’s Department of Informatics (DATASUS). The study included maternal deaths among women of reproductive age, recorded between 2014 and 2023, whose underlying cause was classified as \"Diabetes mellitus in pregnancy\" (ICD-10: O24). The variables analyzed included year of death, geographic region, age group, and race/skin color. Data were obtained from the “Mortality – since 1996 by ICD-10” section and sourced from the Ministry of Health through the Health Surveillance Secretariat (SVS) and the General Coordination of Information and Epidemiological Analysis (CGIAE). Results: A total of 128 deaths of women of reproductive age due to diabetes in pregnancy were recorded. Most occurred in the Southeast (52 deaths; 40.6%) and Northeast (46; 35.9%) regions, with the lowest number observed in the Central-West (6; 4.6%). The year 2021 recorded the highest number of deaths (18; 14%), followed by 2018 (15; 11.7%). The lowest number was in 2017 (9 deaths; 7%). The most affected age group was 30–39 years (49 deaths; 38.3%), followed by 20–29 years (48; 37.5%). Among adolescents aged 15–19 years, there were 9 deaths (7%). Regarding race/skin color, most were mixed-race women (76; 59.4%), followed by white (36; 28.1%) and Black women (11; 8.6%). Conclusion: Between 2014 and 2023, most maternal deaths due to diabetes mellitus in pregnancy occurred in the Southeast and Northeast regions, predominantly among women aged 30 to 39 years and those identified as mixed race. These findings underscore the importance of strengthening prenatal care, with emphasis on early detection and appropriate management of gestational hyperglycemia, particularly among more vulnerable populations.\n\n\n### PO—095 Pregnancy Outcomes in Women with Type 1 Diabetes Mellitus at a Tertiary Care Center\nIntroduction: Pregnant women with Type 1 Diabetes Mellitus (T1DM) have a two- to fivefold increased risk of adverse maternal-fetal outcomes, including large for gestational age (LGA) infants, neonatal hypoglycemia, congenital malformations, perinatal mortality, preeclampsia, and worsening renal function and retinopathy. However, planned pregnancy with adequate glycemic control significantly reduces these risks. Objective: To describe the clinical profile of pregnant women with T1DM and maternal-fetal outcomes at a tertiary hospital in São Paulo. Methods: Retrospective cohort study involving 240 pregnant women with T1DM, followed at a specialized outpatient clinic within the São Paulo Healthcare System, from 2007 to 2025. Clinical and laboratory variables were collected from medical records and expressed as absolute frequencies, medians, means, and standard deviations. Results: The mean age was 26.3 ±5.9 years, with a mean diabetes duration of 13.8 ±7.0 years. Mean HbA1c levels were 8.6 ±1.7% in the first trimester, 7.2 ±1.3% in the second, and 7.0 ±1.0% in the third. Regarding insulin therapy, 45 used continuous insulin infusion systems and 195 used multiple daily injections. 64.2% of women had appropriate weight gain, 7.4% inadequate and 28.4% excessive. Concerning microvascular diabetic complications, 24.1% had diabetic kidney disease, 14.8% had mild/moderate non-proliferative diabetic retinopathy (NPDR) and 8.7% had severe NPDR/proliferative retinopathy. Obstetric complications occurred in 41.9%, including preeclampsia (11%), hypertension (3.5%) and miscarriage (5.8%). The cesarean section rate was 66.3%. Neonatal complications occurred in 82.3% of cases, including LGA (22%), jaundice (43.8%), neonatal ICU admissions (34.9%), respiratory distress (31.7%), hypoglycemia (31.3%), malformations (11%) and neonatal death (4.3%). Conclusion: Patients presented elevated HbA1c levels in early pregnancy, indicating limited preconception counseling, as ideal levels for conception are <6%. However, levels improved significantly in the second and third trimesters (p<0.01). Preeclampsia occurred in 11%, lower than the 17% reported in the literature for T1DM (five to six times higher than in the general population). The cesarean section rate was high (66.3%), compared to the average for women without T1DM (51.2%), but similar to other studies with T1DM (70.2%). Despite prenatal follow-up and glycemic improvements, the rate of neonatal complications remains high, including LGA fetuses, malformations and fetal mortality.\n\n\n### Girao MB1; Moura LSNT1; Dib SA1; Pititto BA1; Dualib PM1\nIntroduction: Pregnant women with Type 1 Diabetes Mellitus (T1DM) have a two- to fivefold increased risk of adverse maternal-fetal outcomes, including large for gestational age (LGA) infants, neonatal hypoglycemia, congenital malformations, perinatal mortality, preeclampsia, and worsening renal function and retinopathy. However, planned pregnancy with adequate glycemic control significantly reduces these risks. Objective: To describe the clinical profile of pregnant women with T1DM and maternal-fetal outcomes at a tertiary hospital in São Paulo. Methods: Retrospective cohort study involving 240 pregnant women with T1DM, followed at a specialized outpatient clinic within the São Paulo Healthcare System, from 2007 to 2025. Clinical and laboratory variables were collected from medical records and expressed as absolute frequencies, medians, means, and standard deviations. Results: The mean age was 26.3 ±5.9 years, with a mean diabetes duration of 13.8 ±7.0 years. Mean HbA1c levels were 8.6 ±1.7% in the first trimester, 7.2 ±1.3% in the second, and 7.0 ±1.0% in the third. Regarding insulin therapy, 45 used continuous insulin infusion systems and 195 used multiple daily injections. 64.2% of women had appropriate weight gain, 7.4% inadequate and 28.4% excessive. Concerning microvascular diabetic complications, 24.1% had diabetic kidney disease, 14.8% had mild/moderate non-proliferative diabetic retinopathy (NPDR) and 8.7% had severe NPDR/proliferative retinopathy. Obstetric complications occurred in 41.9%, including preeclampsia (11%), hypertension (3.5%) and miscarriage (5.8%). The cesarean section rate was 66.3%. Neonatal complications occurred in 82.3% of cases, including LGA (22%), jaundice (43.8%), neonatal ICU admissions (34.9%), respiratory distress (31.7%), hypoglycemia (31.3%), malformations (11%) and neonatal death (4.3%). Conclusion: Patients presented elevated HbA1c levels in early pregnancy, indicating limited preconception counseling, as ideal levels for conception are <6%. However, levels improved significantly in the second and third trimesters (p<0.01). Preeclampsia occurred in 11%, lower than the 17% reported in the literature for T1DM (five to six times higher than in the general population). The cesarean section rate was high (66.3%), compared to the average for women without T1DM (51.2%), but similar to other studies with T1DM (70.2%). Despite prenatal follow-up and glycemic improvements, the rate of neonatal complications remains high, including LGA fetuses, malformations and fetal mortality.\n\n\n### (1) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: Pregnant women with Type 1 Diabetes Mellitus (T1DM) have a two- to fivefold increased risk of adverse maternal-fetal outcomes, including large for gestational age (LGA) infants, neonatal hypoglycemia, congenital malformations, perinatal mortality, preeclampsia, and worsening renal function and retinopathy. However, planned pregnancy with adequate glycemic control significantly reduces these risks. Objective: To describe the clinical profile of pregnant women with T1DM and maternal-fetal outcomes at a tertiary hospital in São Paulo. Methods: Retrospective cohort study involving 240 pregnant women with T1DM, followed at a specialized outpatient clinic within the São Paulo Healthcare System, from 2007 to 2025. Clinical and laboratory variables were collected from medical records and expressed as absolute frequencies, medians, means, and standard deviations. Results: The mean age was 26.3 ±5.9 years, with a mean diabetes duration of 13.8 ±7.0 years. Mean HbA1c levels were 8.6 ±1.7% in the first trimester, 7.2 ±1.3% in the second, and 7.0 ±1.0% in the third. Regarding insulin therapy, 45 used continuous insulin infusion systems and 195 used multiple daily injections. 64.2% of women had appropriate weight gain, 7.4% inadequate and 28.4% excessive. Concerning microvascular diabetic complications, 24.1% had diabetic kidney disease, 14.8% had mild/moderate non-proliferative diabetic retinopathy (NPDR) and 8.7% had severe NPDR/proliferative retinopathy. Obstetric complications occurred in 41.9%, including preeclampsia (11%), hypertension (3.5%) and miscarriage (5.8%). The cesarean section rate was 66.3%. Neonatal complications occurred in 82.3% of cases, including LGA (22%), jaundice (43.8%), neonatal ICU admissions (34.9%), respiratory distress (31.7%), hypoglycemia (31.3%), malformations (11%) and neonatal death (4.3%). Conclusion: Patients presented elevated HbA1c levels in early pregnancy, indicating limited preconception counseling, as ideal levels for conception are <6%. However, levels improved significantly in the second and third trimesters (p<0.01). Preeclampsia occurred in 11%, lower than the 17% reported in the literature for T1DM (five to six times higher than in the general population). The cesarean section rate was high (66.3%), compared to the average for women without T1DM (51.2%), but similar to other studies with T1DM (70.2%). Despite prenatal follow-up and glycemic improvements, the rate of neonatal complications remains high, including LGA fetuses, malformations and fetal mortality.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—095\nIntroduction: Pregnant women with Type 1 Diabetes Mellitus (T1DM) have a two- to fivefold increased risk of adverse maternal-fetal outcomes, including large for gestational age (LGA) infants, neonatal hypoglycemia, congenital malformations, perinatal mortality, preeclampsia, and worsening renal function and retinopathy. However, planned pregnancy with adequate glycemic control significantly reduces these risks. Objective: To describe the clinical profile of pregnant women with T1DM and maternal-fetal outcomes at a tertiary hospital in São Paulo. Methods: Retrospective cohort study involving 240 pregnant women with T1DM, followed at a specialized outpatient clinic within the São Paulo Healthcare System, from 2007 to 2025. Clinical and laboratory variables were collected from medical records and expressed as absolute frequencies, medians, means, and standard deviations. Results: The mean age was 26.3 ±5.9 years, with a mean diabetes duration of 13.8 ±7.0 years. Mean HbA1c levels were 8.6 ±1.7% in the first trimester, 7.2 ±1.3% in the second, and 7.0 ±1.0% in the third. Regarding insulin therapy, 45 used continuous insulin infusion systems and 195 used multiple daily injections. 64.2% of women had appropriate weight gain, 7.4% inadequate and 28.4% excessive. Concerning microvascular diabetic complications, 24.1% had diabetic kidney disease, 14.8% had mild/moderate non-proliferative diabetic retinopathy (NPDR) and 8.7% had severe NPDR/proliferative retinopathy. Obstetric complications occurred in 41.9%, including preeclampsia (11%), hypertension (3.5%) and miscarriage (5.8%). The cesarean section rate was 66.3%. Neonatal complications occurred in 82.3% of cases, including LGA (22%), jaundice (43.8%), neonatal ICU admissions (34.9%), respiratory distress (31.7%), hypoglycemia (31.3%), malformations (11%) and neonatal death (4.3%). Conclusion: Patients presented elevated HbA1c levels in early pregnancy, indicating limited preconception counseling, as ideal levels for conception are <6%. However, levels improved significantly in the second and third trimesters (p<0.01). Preeclampsia occurred in 11%, lower than the 17% reported in the literature for T1DM (five to six times higher than in the general population). The cesarean section rate was high (66.3%), compared to the average for women without T1DM (51.2%), but similar to other studies with T1DM (70.2%). Despite prenatal follow-up and glycemic improvements, the rate of neonatal complications remains high, including LGA fetuses, malformations and fetal mortality.\n\n\n### PO—096 Pregnant Women with Type 2 Diabetes: An Alert for Social Disadvantage and Associated Comorbidities\nIntroduction: Pregestational diabetes has significantly increased in prevalence as a complicating factor during pregnancy, particularly due to type 2 diabetes mellitus (T2DM), which quadrupled from 2000 to 2019, following the obesity epidemic. Evidence shows maternal T2DM confers a higher risk of fetal and perinatal death compared with maternal type 1 diabetes mellitus. However, due to the misconception that it is a less severe condition, treatment for these patients is often delayed or neglected. Objective: To evaluate maternal characteristics and comorbidities in a group of pregnant women with T2DM. Methods: This was a retrospective observational study involving a review of medical records of pregnant women with T2DM managed at a public health care reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80431724.6.0000.5049). Results: Data of 84 pregnant women with T2DM were analyzed. They had a mean age of 34.5±4.6 years old, low education degree (39% had 4 years or less of education), mean disease duration of 4.47±1.6 years, and 17.9% were diagnosed during pregnancy. Chronic complications were present in 16,7% of them, and 4,8% had retinopathy. Pregnancy plans were not made for 85,1% of them, and around 80% were treated in primary care or were not receiving regular treatment prior to pregnancy. The first visit to an endocrine reference center was during the mean gestational age of 19 weeks. Their mean pre-pregnancy BMI was 32.3±5.5, and only 9.8% had normal pre-pregnancy BMI. Comorbidities were frequent, as 79.8% had at least one comorbidity in addition to diabetes: Obesity (65.2%), dyslipidemia (37%) , hypertension (32.2%) and 8.3% had depression or anxiety. Patients with a lower education degree had a higher mean A1C level during the third trimester of pregnancy, with mean A1C of 6.39±1.0% (p<0.036). Conclusion: This data reveals a concerning risk profile among pregnant women with T2DM, presented with a cluster of risk factors which can lead to adverse outcomes. Despite this, the majority of these patients did not have access to specialized care to prepare for pregnancy. This underscores the need for special attention and strategies to improve management of women with T2DM in childbering age.\n\n\n### Aragão IFM1; Amaral LLG1; Pereira ANM1; Hasbun MRLM2; Gaspar LF1; Montenegro AXCB3; Façanha CFS3\nIntroduction: Pregestational diabetes has significantly increased in prevalence as a complicating factor during pregnancy, particularly due to type 2 diabetes mellitus (T2DM), which quadrupled from 2000 to 2019, following the obesity epidemic. Evidence shows maternal T2DM confers a higher risk of fetal and perinatal death compared with maternal type 1 diabetes mellitus. However, due to the misconception that it is a less severe condition, treatment for these patients is often delayed or neglected. Objective: To evaluate maternal characteristics and comorbidities in a group of pregnant women with T2DM. Methods: This was a retrospective observational study involving a review of medical records of pregnant women with T2DM managed at a public health care reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80431724.6.0000.5049). Results: Data of 84 pregnant women with T2DM were analyzed. They had a mean age of 34.5±4.6 years old, low education degree (39% had 4 years or less of education), mean disease duration of 4.47±1.6 years, and 17.9% were diagnosed during pregnancy. Chronic complications were present in 16,7% of them, and 4,8% had retinopathy. Pregnancy plans were not made for 85,1% of them, and around 80% were treated in primary care or were not receiving regular treatment prior to pregnancy. The first visit to an endocrine reference center was during the mean gestational age of 19 weeks. Their mean pre-pregnancy BMI was 32.3±5.5, and only 9.8% had normal pre-pregnancy BMI. Comorbidities were frequent, as 79.8% had at least one comorbidity in addition to diabetes: Obesity (65.2%), dyslipidemia (37%) , hypertension (32.2%) and 8.3% had depression or anxiety. Patients with a lower education degree had a higher mean A1C level during the third trimester of pregnancy, with mean A1C of 6.39±1.0% (p<0.036). Conclusion: This data reveals a concerning risk profile among pregnant women with T2DM, presented with a cluster of risk factors which can lead to adverse outcomes. Despite this, the majority of these patients did not have access to specialized care to prepare for pregnancy. This underscores the need for special attention and strategies to improve management of women with T2DM in childbering age.\n\n\n### (1) Centro Universitário Christus, Fortaleza, CE, Brasil; (2) Universidade Federal do Ceará, Fortaleza, CE, Brasil; (3) Centro Integrado de Diabetes e Hipertensão, CIDH, Fortaleza, CE, Brasil\nIntroduction: Pregestational diabetes has significantly increased in prevalence as a complicating factor during pregnancy, particularly due to type 2 diabetes mellitus (T2DM), which quadrupled from 2000 to 2019, following the obesity epidemic. Evidence shows maternal T2DM confers a higher risk of fetal and perinatal death compared with maternal type 1 diabetes mellitus. However, due to the misconception that it is a less severe condition, treatment for these patients is often delayed or neglected. Objective: To evaluate maternal characteristics and comorbidities in a group of pregnant women with T2DM. Methods: This was a retrospective observational study involving a review of medical records of pregnant women with T2DM managed at a public health care reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80431724.6.0000.5049). Results: Data of 84 pregnant women with T2DM were analyzed. They had a mean age of 34.5±4.6 years old, low education degree (39% had 4 years or less of education), mean disease duration of 4.47±1.6 years, and 17.9% were diagnosed during pregnancy. Chronic complications were present in 16,7% of them, and 4,8% had retinopathy. Pregnancy plans were not made for 85,1% of them, and around 80% were treated in primary care or were not receiving regular treatment prior to pregnancy. The first visit to an endocrine reference center was during the mean gestational age of 19 weeks. Their mean pre-pregnancy BMI was 32.3±5.5, and only 9.8% had normal pre-pregnancy BMI. Comorbidities were frequent, as 79.8% had at least one comorbidity in addition to diabetes: Obesity (65.2%), dyslipidemia (37%) , hypertension (32.2%) and 8.3% had depression or anxiety. Patients with a lower education degree had a higher mean A1C level during the third trimester of pregnancy, with mean A1C of 6.39±1.0% (p<0.036). Conclusion: This data reveals a concerning risk profile among pregnant women with T2DM, presented with a cluster of risk factors which can lead to adverse outcomes. Despite this, the majority of these patients did not have access to specialized care to prepare for pregnancy. This underscores the need for special attention and strategies to improve management of women with T2DM in childbering age.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—096\nIntroduction: Pregestational diabetes has significantly increased in prevalence as a complicating factor during pregnancy, particularly due to type 2 diabetes mellitus (T2DM), which quadrupled from 2000 to 2019, following the obesity epidemic. Evidence shows maternal T2DM confers a higher risk of fetal and perinatal death compared with maternal type 1 diabetes mellitus. However, due to the misconception that it is a less severe condition, treatment for these patients is often delayed or neglected. Objective: To evaluate maternal characteristics and comorbidities in a group of pregnant women with T2DM. Methods: This was a retrospective observational study involving a review of medical records of pregnant women with T2DM managed at a public health care reference center in Northeast Brazil. The study was approved by the Ethics Committee of IPADE (CAAE: 80431724.6.0000.5049). Results: Data of 84 pregnant women with T2DM were analyzed. They had a mean age of 34.5±4.6 years old, low education degree (39% had 4 years or less of education), mean disease duration of 4.47±1.6 years, and 17.9% were diagnosed during pregnancy. Chronic complications were present in 16,7% of them, and 4,8% had retinopathy. Pregnancy plans were not made for 85,1% of them, and around 80% were treated in primary care or were not receiving regular treatment prior to pregnancy. The first visit to an endocrine reference center was during the mean gestational age of 19 weeks. Their mean pre-pregnancy BMI was 32.3±5.5, and only 9.8% had normal pre-pregnancy BMI. Comorbidities were frequent, as 79.8% had at least one comorbidity in addition to diabetes: Obesity (65.2%), dyslipidemia (37%) , hypertension (32.2%) and 8.3% had depression or anxiety. Patients with a lower education degree had a higher mean A1C level during the third trimester of pregnancy, with mean A1C of 6.39±1.0% (p<0.036). Conclusion: This data reveals a concerning risk profile among pregnant women with T2DM, presented with a cluster of risk factors which can lead to adverse outcomes. Despite this, the majority of these patients did not have access to specialized care to prepare for pregnancy. This underscores the need for special attention and strategies to improve management of women with T2DM in childbering age.\n\n\n### PO—097 Risk Factors for Gestational Diabetes in Brazil: a Systematic Review\nIntroduction: Gestational diabetes mellitus (GDM) is a glucose intolerance diagnosed during pregnancy, associated with complications such as preeclampsia, macrosomia, and an increased future risk of type 2 diabetes. Its main risk factors include elevated body mass index (BMI), advanced maternal age and family history of type 2 diabetes mellitus, highlighting the need for early screening. Objective: To analyze the most prevalent risk factors for gestational diabetes mellitus in the Brazilian population. Methods: A systematic review was conducted following the PRISMA guidelines. Searches were performed in the PUBMED, LILACS, SCOPUS and EMBASE using “Gestational Diabetes”, “Brazil”, “Risk Factors”, “Obesity” and “Maternal Age” as search terms. Cohort, Case-Control and Cross-Sectional studies addressing the risk factors were also included. Results: After screening 1.079 records, 577 duplicates were removed and 9 studies were selected for full text review of which 4 were included in the synthesis. Analysis of these studies (n=5.146 pregnant women) quantified the occurrence of GDM , with prevalence ranging from 2.8% to 14.9%. The lowest prevalence was found in a population-based cohort (61/2.144), while the highest was observed in a high risk referral service (43/288). One study in the public healthcare system reported a prevalence of 5.7% (115/2.014). Elevated pre-pregnancy Body Mass Index (BMI) was the most prominent factor. The prevalence of GDM among obese women (BMI ≥ 30) was 9.3% (42/449) compared to 2.4% (6/251) in non-obese women. For BMI ≥ 25, the prevalence was 7.0% (72/1.021) in overweight/obese women compared to 4.1%(43/1.043) in women with normal weight. Advanced maternal age and family history were other associated factors. For maternal age ≥ 30 years, the prevalence of GDM was 12.7% (32/251) against 8.6% (94/1.094) in younger women. A family history of diabetes increased the risk, with prevalence of 6.6% (40/603) among women with family history versus 4.7% (65/1.386) without family history. Conclusion: Elevated pre-pregnancy BMI is the main risk-factor for GDM in Brazil, followed by advanced maternal age and family history of diabetes. Heterogeneity in prevalence reinforces the need for targeted screening. These findings underline the importance of primary prevention strategies focused on weight control in women of reproductive age to mitigate the incidence of GDM.\n\n\n### Alves AL1; Salheb AN2; Cruz CCS2; Vieira JS2; Barros LM2; Silva MEF2; Lima MADE2; Monteiro BHM2\nIntroduction: Gestational diabetes mellitus (GDM) is a glucose intolerance diagnosed during pregnancy, associated with complications such as preeclampsia, macrosomia, and an increased future risk of type 2 diabetes. Its main risk factors include elevated body mass index (BMI), advanced maternal age and family history of type 2 diabetes mellitus, highlighting the need for early screening. Objective: To analyze the most prevalent risk factors for gestational diabetes mellitus in the Brazilian population. Methods: A systematic review was conducted following the PRISMA guidelines. Searches were performed in the PUBMED, LILACS, SCOPUS and EMBASE using “Gestational Diabetes”, “Brazil”, “Risk Factors”, “Obesity” and “Maternal Age” as search terms. Cohort, Case-Control and Cross-Sectional studies addressing the risk factors were also included. Results: After screening 1.079 records, 577 duplicates were removed and 9 studies were selected for full text review of which 4 were included in the synthesis. Analysis of these studies (n=5.146 pregnant women) quantified the occurrence of GDM , with prevalence ranging from 2.8% to 14.9%. The lowest prevalence was found in a population-based cohort (61/2.144), while the highest was observed in a high risk referral service (43/288). One study in the public healthcare system reported a prevalence of 5.7% (115/2.014). Elevated pre-pregnancy Body Mass Index (BMI) was the most prominent factor. The prevalence of GDM among obese women (BMI ≥ 30) was 9.3% (42/449) compared to 2.4% (6/251) in non-obese women. For BMI ≥ 25, the prevalence was 7.0% (72/1.021) in overweight/obese women compared to 4.1%(43/1.043) in women with normal weight. Advanced maternal age and family history were other associated factors. For maternal age ≥ 30 years, the prevalence of GDM was 12.7% (32/251) against 8.6% (94/1.094) in younger women. A family history of diabetes increased the risk, with prevalence of 6.6% (40/603) among women with family history versus 4.7% (65/1.386) without family history. Conclusion: Elevated pre-pregnancy BMI is the main risk-factor for GDM in Brazil, followed by advanced maternal age and family history of diabetes. Heterogeneity in prevalence reinforces the need for targeted screening. These findings underline the importance of primary prevention strategies focused on weight control in women of reproductive age to mitigate the incidence of GDM.\n\n\n### (1) Centro universitário metropolitano da Amazônia, Belém, PA, Brasil; (2) Centro Universitário Metropolitano da Amazônia, Belém, PA, Brasil\nIntroduction: Gestational diabetes mellitus (GDM) is a glucose intolerance diagnosed during pregnancy, associated with complications such as preeclampsia, macrosomia, and an increased future risk of type 2 diabetes. Its main risk factors include elevated body mass index (BMI), advanced maternal age and family history of type 2 diabetes mellitus, highlighting the need for early screening. Objective: To analyze the most prevalent risk factors for gestational diabetes mellitus in the Brazilian population. Methods: A systematic review was conducted following the PRISMA guidelines. Searches were performed in the PUBMED, LILACS, SCOPUS and EMBASE using “Gestational Diabetes”, “Brazil”, “Risk Factors”, “Obesity” and “Maternal Age” as search terms. Cohort, Case-Control and Cross-Sectional studies addressing the risk factors were also included. Results: After screening 1.079 records, 577 duplicates were removed and 9 studies were selected for full text review of which 4 were included in the synthesis. Analysis of these studies (n=5.146 pregnant women) quantified the occurrence of GDM , with prevalence ranging from 2.8% to 14.9%. The lowest prevalence was found in a population-based cohort (61/2.144), while the highest was observed in a high risk referral service (43/288). One study in the public healthcare system reported a prevalence of 5.7% (115/2.014). Elevated pre-pregnancy Body Mass Index (BMI) was the most prominent factor. The prevalence of GDM among obese women (BMI ≥ 30) was 9.3% (42/449) compared to 2.4% (6/251) in non-obese women. For BMI ≥ 25, the prevalence was 7.0% (72/1.021) in overweight/obese women compared to 4.1%(43/1.043) in women with normal weight. Advanced maternal age and family history were other associated factors. For maternal age ≥ 30 years, the prevalence of GDM was 12.7% (32/251) against 8.6% (94/1.094) in younger women. A family history of diabetes increased the risk, with prevalence of 6.6% (40/603) among women with family history versus 4.7% (65/1.386) without family history. Conclusion: Elevated pre-pregnancy BMI is the main risk-factor for GDM in Brazil, followed by advanced maternal age and family history of diabetes. Heterogeneity in prevalence reinforces the need for targeted screening. These findings underline the importance of primary prevention strategies focused on weight control in women of reproductive age to mitigate the incidence of GDM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—097\nIntroduction: Gestational diabetes mellitus (GDM) is a glucose intolerance diagnosed during pregnancy, associated with complications such as preeclampsia, macrosomia, and an increased future risk of type 2 diabetes. Its main risk factors include elevated body mass index (BMI), advanced maternal age and family history of type 2 diabetes mellitus, highlighting the need for early screening. Objective: To analyze the most prevalent risk factors for gestational diabetes mellitus in the Brazilian population. Methods: A systematic review was conducted following the PRISMA guidelines. Searches were performed in the PUBMED, LILACS, SCOPUS and EMBASE using “Gestational Diabetes”, “Brazil”, “Risk Factors”, “Obesity” and “Maternal Age” as search terms. Cohort, Case-Control and Cross-Sectional studies addressing the risk factors were also included. Results: After screening 1.079 records, 577 duplicates were removed and 9 studies were selected for full text review of which 4 were included in the synthesis. Analysis of these studies (n=5.146 pregnant women) quantified the occurrence of GDM , with prevalence ranging from 2.8% to 14.9%. The lowest prevalence was found in a population-based cohort (61/2.144), while the highest was observed in a high risk referral service (43/288). One study in the public healthcare system reported a prevalence of 5.7% (115/2.014). Elevated pre-pregnancy Body Mass Index (BMI) was the most prominent factor. The prevalence of GDM among obese women (BMI ≥ 30) was 9.3% (42/449) compared to 2.4% (6/251) in non-obese women. For BMI ≥ 25, the prevalence was 7.0% (72/1.021) in overweight/obese women compared to 4.1%(43/1.043) in women with normal weight. Advanced maternal age and family history were other associated factors. For maternal age ≥ 30 years, the prevalence of GDM was 12.7% (32/251) against 8.6% (94/1.094) in younger women. A family history of diabetes increased the risk, with prevalence of 6.6% (40/603) among women with family history versus 4.7% (65/1.386) without family history. Conclusion: Elevated pre-pregnancy BMI is the main risk-factor for GDM in Brazil, followed by advanced maternal age and family history of diabetes. Heterogeneity in prevalence reinforces the need for targeted screening. These findings underline the importance of primary prevention strategies focused on weight control in women of reproductive age to mitigate the incidence of GDM.\n\n\n### PO—098 Risk Factors for Insulin Therapy in Gestational Diabetes Mellitus Patients Treated at a Tertiary Outpatient Clinic\nIntroduction: Gestational diabetes mellitus (GDM) is a frequent pregnancy complication associated with adverse maternal and neonatal outcomes. Identifying predictors of insulin therapy is essential to optimize monitoring and prevent complications. Objective: To evaluate clinical and biochemical risk factors associated with insulin therapy requirement in GDM patients. Methods: This retrospective cohort analyzed 438 pregnant women diagnosed with GDM at a tertiary outpatient clinic between 2017 and 2018. After applying exclusion criteria—multiple pregnancies, overt pregestational diabetes, incomplete records, and follow-up shorter than one month—181 patients were included. Clinical variables assessed were maternal age, pre-pregnancy weight,body mass index, gestational age at diagnosis, fasting glucose levels, and lipid profile. Patients were classified into insulin and non-insulin groups. Statisticalanalyses included t-tests, chi-square tests, log-binomial regression, and conditional inference trees, with significance set at P<0.05. Results: The mean maternal age was 31.9 years, and the mean body mass index was 32.6 kg/m2, characterizing an obese population. Insulin therapy was required for 46.4% of patients. Those requiring insulin were diagnosed earlier (15.1 vs. 19.5 weeks; p=0.009) and had higher fasting glucose at diagnosis (97.4 vs. 87.7 mg/dL; p<0.001) and during the oral glucose tolerance test (97.9 vs. 92.1 mg/dL; p=0.008). Elevated low-density lipoprotein cholesterol (≥130mg/dL) increased the risk of insulin therapy (relative risk 1.44; p=0.036). Maternal age and pre-pregnancy weight were not significantly associated with insulin requirement. Conclusion: Early diagnosis, fasting hyperglycemia, and dyslipidemia, particularly elevated LDL cholesterol, are independent predictors of insulin therapy in GDM. This study highlights accessible clinical markers that can be incorporated into prenatal care to stratify risk, optimize resource allocation, and improve maternal and fetal outcomes.\n\n\n### Carvalho MG1; Gomes PM1; Damaso EL 2; Moisés ECD3\nIntroduction: Gestational diabetes mellitus (GDM) is a frequent pregnancy complication associated with adverse maternal and neonatal outcomes. Identifying predictors of insulin therapy is essential to optimize monitoring and prevent complications. Objective: To evaluate clinical and biochemical risk factors associated with insulin therapy requirement in GDM patients. Methods: This retrospective cohort analyzed 438 pregnant women diagnosed with GDM at a tertiary outpatient clinic between 2017 and 2018. After applying exclusion criteria—multiple pregnancies, overt pregestational diabetes, incomplete records, and follow-up shorter than one month—181 patients were included. Clinical variables assessed were maternal age, pre-pregnancy weight,body mass index, gestational age at diagnosis, fasting glucose levels, and lipid profile. Patients were classified into insulin and non-insulin groups. Statisticalanalyses included t-tests, chi-square tests, log-binomial regression, and conditional inference trees, with significance set at P<0.05. Results: The mean maternal age was 31.9 years, and the mean body mass index was 32.6 kg/m2, characterizing an obese population. Insulin therapy was required for 46.4% of patients. Those requiring insulin were diagnosed earlier (15.1 vs. 19.5 weeks; p=0.009) and had higher fasting glucose at diagnosis (97.4 vs. 87.7 mg/dL; p<0.001) and during the oral glucose tolerance test (97.9 vs. 92.1 mg/dL; p=0.008). Elevated low-density lipoprotein cholesterol (≥130mg/dL) increased the risk of insulin therapy (relative risk 1.44; p=0.036). Maternal age and pre-pregnancy weight were not significantly associated with insulin requirement. Conclusion: Early diagnosis, fasting hyperglycemia, and dyslipidemia, particularly elevated LDL cholesterol, are independent predictors of insulin therapy in GDM. This study highlights accessible clinical markers that can be incorporated into prenatal care to stratify risk, optimize resource allocation, and improve maternal and fetal outcomes.\n\n\n### (1) Hospital das Clínicas da Faculdade de Medicina de Ribeirão Preto, Universidade de São Paulo, Ribeirão Preto, SP, Brasil, Ribeirão Preto, SP, Brasil; (2) Faculdade de medicina de Bauru, Universidade de São Paulo, Bauru, SP, Brasil; (3) Faculdade de Medicina de Ribeirão Preto, Universidade de São Paulo, Ribeirão Preto, SP, Brasil, Ribeirão Preto, SP, Brasil\nIntroduction: Gestational diabetes mellitus (GDM) is a frequent pregnancy complication associated with adverse maternal and neonatal outcomes. Identifying predictors of insulin therapy is essential to optimize monitoring and prevent complications. Objective: To evaluate clinical and biochemical risk factors associated with insulin therapy requirement in GDM patients. Methods: This retrospective cohort analyzed 438 pregnant women diagnosed with GDM at a tertiary outpatient clinic between 2017 and 2018. After applying exclusion criteria—multiple pregnancies, overt pregestational diabetes, incomplete records, and follow-up shorter than one month—181 patients were included. Clinical variables assessed were maternal age, pre-pregnancy weight,body mass index, gestational age at diagnosis, fasting glucose levels, and lipid profile. Patients were classified into insulin and non-insulin groups. Statisticalanalyses included t-tests, chi-square tests, log-binomial regression, and conditional inference trees, with significance set at P<0.05. Results: The mean maternal age was 31.9 years, and the mean body mass index was 32.6 kg/m2, characterizing an obese population. Insulin therapy was required for 46.4% of patients. Those requiring insulin were diagnosed earlier (15.1 vs. 19.5 weeks; p=0.009) and had higher fasting glucose at diagnosis (97.4 vs. 87.7 mg/dL; p<0.001) and during the oral glucose tolerance test (97.9 vs. 92.1 mg/dL; p=0.008). Elevated low-density lipoprotein cholesterol (≥130mg/dL) increased the risk of insulin therapy (relative risk 1.44; p=0.036). Maternal age and pre-pregnancy weight were not significantly associated with insulin requirement. Conclusion: Early diagnosis, fasting hyperglycemia, and dyslipidemia, particularly elevated LDL cholesterol, are independent predictors of insulin therapy in GDM. This study highlights accessible clinical markers that can be incorporated into prenatal care to stratify risk, optimize resource allocation, and improve maternal and fetal outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—098\nIntroduction: Gestational diabetes mellitus (GDM) is a frequent pregnancy complication associated with adverse maternal and neonatal outcomes. Identifying predictors of insulin therapy is essential to optimize monitoring and prevent complications. Objective: To evaluate clinical and biochemical risk factors associated with insulin therapy requirement in GDM patients. Methods: This retrospective cohort analyzed 438 pregnant women diagnosed with GDM at a tertiary outpatient clinic between 2017 and 2018. After applying exclusion criteria—multiple pregnancies, overt pregestational diabetes, incomplete records, and follow-up shorter than one month—181 patients were included. Clinical variables assessed were maternal age, pre-pregnancy weight,body mass index, gestational age at diagnosis, fasting glucose levels, and lipid profile. Patients were classified into insulin and non-insulin groups. Statisticalanalyses included t-tests, chi-square tests, log-binomial regression, and conditional inference trees, with significance set at P<0.05. Results: The mean maternal age was 31.9 years, and the mean body mass index was 32.6 kg/m2, characterizing an obese population. Insulin therapy was required for 46.4% of patients. Those requiring insulin were diagnosed earlier (15.1 vs. 19.5 weeks; p=0.009) and had higher fasting glucose at diagnosis (97.4 vs. 87.7 mg/dL; p<0.001) and during the oral glucose tolerance test (97.9 vs. 92.1 mg/dL; p=0.008). Elevated low-density lipoprotein cholesterol (≥130mg/dL) increased the risk of insulin therapy (relative risk 1.44; p=0.036). Maternal age and pre-pregnancy weight were not significantly associated with insulin requirement. Conclusion: Early diagnosis, fasting hyperglycemia, and dyslipidemia, particularly elevated LDL cholesterol, are independent predictors of insulin therapy in GDM. This study highlights accessible clinical markers that can be incorporated into prenatal care to stratify risk, optimize resource allocation, and improve maternal and fetal outcomes.\n\n\n### PO—099 Shared Risk, Shared Habits: Dietary Patterns in Mothers with a History of Gestational Diabetes and Overt Diabetes and Their Children\nIntroduction: Evidence suggests that eating patterns in childhood are influenced by family dietary habits and tend to persist throughout life. This is an important matter mainly in high cardiometabolic risk individuals such as women with diabetes in pregnancy and their offspring. Objective: To assess the association between maternal dietary intake in women with history of gestational diabetes (GDM) or overt diabetes and the dietary habits of their children. Methods: A retrospective cohort study enrolling 222 women with GDM or overt diabetes followed in prenatal care service, who were recalled along with their children for revaluation of clinical and nutritional status 2 to 14 years after birth. Dietary intake was assessed using a questionnaire adapted from SISVAN (Brazilian Food and Nutrition Surveillance System). Results: Current evaluation showed that women were 40.9(6.3) years old and had 55% of obesity and 54.5% of metabolic syndrome. Children were 6.2 (2.9) years, being 54% female, 19.4% with obesity and 11.7% with metabolic syndrome. Children of mothers who reported eating meals in front of screens showed a higher prevalence of the same behavior (84.3% vs. 34.0%; p<0.001) compared to those who did not have this habit; these children were about 10 times more likely to adopt the same behavior (OR 10.8; 95%CI 5.5–21.0), independent of sex, age, or BMI. We observed higher frequencies of children’s intake in the previous day of processed meats (65.7 vs. 11.7%; p<0.001), soft drinks (85.2 vs. 29.8%; p<0.001), fruits (72.5 vs. 58.2%; p=0.037), beans (81.5 vs. 42.2%; p<0.001) and fruits/vegetables/greens (62.4 vs. 44.9%; p=0.010) in the group of mothers who had the same habit. Children were 17 times more likely to consume soft drinks (OR 17.3; 95% CI: 8.3–36.0), 15 times more likely to consume processed meats (OR 15.4; 95% CI: 7.5–31.5), 6.3 times more likely to eat beans (OR 6.3; 95% CI: 3.3–12.2), 2.4 times more likely to consume fruits (OR 2.4; 95% CI: 1.3–4.5), and twice as likely to eat fruits/vegetables/greens (OR 2.0; 95% CI: 1.2–3.5) when their mothers had the same dietary habits, independent of the child’s age, sex, or BMI. Conclusion: Maternal consumption of both healthy and unhealthy foods significantly increased the likelihood of similar behaviors in children, independent of child’s age, sex, and BMI. Given that mothers with a history of GDM and overt diabetes and their children are at increased cardiometabolic risk, these findings highlight the importance of family-based nutrition education strategies.\n\n\n### Dias LBAF1; Jordão MC1; de Souza FD1; Montero MF1; de Oliveira MCM1; da Costa CCP1; Mattar R2; Dualib PM3; Pititto BA4\nIntroduction: Evidence suggests that eating patterns in childhood are influenced by family dietary habits and tend to persist throughout life. This is an important matter mainly in high cardiometabolic risk individuals such as women with diabetes in pregnancy and their offspring. Objective: To assess the association between maternal dietary intake in women with history of gestational diabetes (GDM) or overt diabetes and the dietary habits of their children. Methods: A retrospective cohort study enrolling 222 women with GDM or overt diabetes followed in prenatal care service, who were recalled along with their children for revaluation of clinical and nutritional status 2 to 14 years after birth. Dietary intake was assessed using a questionnaire adapted from SISVAN (Brazilian Food and Nutrition Surveillance System). Results: Current evaluation showed that women were 40.9(6.3) years old and had 55% of obesity and 54.5% of metabolic syndrome. Children were 6.2 (2.9) years, being 54% female, 19.4% with obesity and 11.7% with metabolic syndrome. Children of mothers who reported eating meals in front of screens showed a higher prevalence of the same behavior (84.3% vs. 34.0%; p<0.001) compared to those who did not have this habit; these children were about 10 times more likely to adopt the same behavior (OR 10.8; 95%CI 5.5–21.0), independent of sex, age, or BMI. We observed higher frequencies of children’s intake in the previous day of processed meats (65.7 vs. 11.7%; p<0.001), soft drinks (85.2 vs. 29.8%; p<0.001), fruits (72.5 vs. 58.2%; p=0.037), beans (81.5 vs. 42.2%; p<0.001) and fruits/vegetables/greens (62.4 vs. 44.9%; p=0.010) in the group of mothers who had the same habit. Children were 17 times more likely to consume soft drinks (OR 17.3; 95% CI: 8.3–36.0), 15 times more likely to consume processed meats (OR 15.4; 95% CI: 7.5–31.5), 6.3 times more likely to eat beans (OR 6.3; 95% CI: 3.3–12.2), 2.4 times more likely to consume fruits (OR 2.4; 95% CI: 1.3–4.5), and twice as likely to eat fruits/vegetables/greens (OR 2.0; 95% CI: 1.2–3.5) when their mothers had the same dietary habits, independent of the child’s age, sex, or BMI. Conclusion: Maternal consumption of both healthy and unhealthy foods significantly increased the likelihood of similar behaviors in children, independent of child’s age, sex, and BMI. Given that mothers with a history of GDM and overt diabetes and their children are at increased cardiometabolic risk, these findings highlight the importance of family-based nutrition education strategies.\n\n\n### (1) Post-Graduation Program in Endocrinology and Metabology, Universidade Federal de São Paulo, São Paulo, SP, Brasil; (2) Department of Obstetrics, Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Department of Endocrinology and Metabology, Universidade Federal de São Paulo, São Paulo, SP, Brasil; (4) Department of Preventive Medicine, Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: Evidence suggests that eating patterns in childhood are influenced by family dietary habits and tend to persist throughout life. This is an important matter mainly in high cardiometabolic risk individuals such as women with diabetes in pregnancy and their offspring. Objective: To assess the association between maternal dietary intake in women with history of gestational diabetes (GDM) or overt diabetes and the dietary habits of their children. Methods: A retrospective cohort study enrolling 222 women with GDM or overt diabetes followed in prenatal care service, who were recalled along with their children for revaluation of clinical and nutritional status 2 to 14 years after birth. Dietary intake was assessed using a questionnaire adapted from SISVAN (Brazilian Food and Nutrition Surveillance System). Results: Current evaluation showed that women were 40.9(6.3) years old and had 55% of obesity and 54.5% of metabolic syndrome. Children were 6.2 (2.9) years, being 54% female, 19.4% with obesity and 11.7% with metabolic syndrome. Children of mothers who reported eating meals in front of screens showed a higher prevalence of the same behavior (84.3% vs. 34.0%; p<0.001) compared to those who did not have this habit; these children were about 10 times more likely to adopt the same behavior (OR 10.8; 95%CI 5.5–21.0), independent of sex, age, or BMI. We observed higher frequencies of children’s intake in the previous day of processed meats (65.7 vs. 11.7%; p<0.001), soft drinks (85.2 vs. 29.8%; p<0.001), fruits (72.5 vs. 58.2%; p=0.037), beans (81.5 vs. 42.2%; p<0.001) and fruits/vegetables/greens (62.4 vs. 44.9%; p=0.010) in the group of mothers who had the same habit. Children were 17 times more likely to consume soft drinks (OR 17.3; 95% CI: 8.3–36.0), 15 times more likely to consume processed meats (OR 15.4; 95% CI: 7.5–31.5), 6.3 times more likely to eat beans (OR 6.3; 95% CI: 3.3–12.2), 2.4 times more likely to consume fruits (OR 2.4; 95% CI: 1.3–4.5), and twice as likely to eat fruits/vegetables/greens (OR 2.0; 95% CI: 1.2–3.5) when their mothers had the same dietary habits, independent of the child’s age, sex, or BMI. Conclusion: Maternal consumption of both healthy and unhealthy foods significantly increased the likelihood of similar behaviors in children, independent of child’s age, sex, and BMI. Given that mothers with a history of GDM and overt diabetes and their children are at increased cardiometabolic risk, these findings highlight the importance of family-based nutrition education strategies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—099\nIntroduction: Evidence suggests that eating patterns in childhood are influenced by family dietary habits and tend to persist throughout life. This is an important matter mainly in high cardiometabolic risk individuals such as women with diabetes in pregnancy and their offspring. Objective: To assess the association between maternal dietary intake in women with history of gestational diabetes (GDM) or overt diabetes and the dietary habits of their children. Methods: A retrospective cohort study enrolling 222 women with GDM or overt diabetes followed in prenatal care service, who were recalled along with their children for revaluation of clinical and nutritional status 2 to 14 years after birth. Dietary intake was assessed using a questionnaire adapted from SISVAN (Brazilian Food and Nutrition Surveillance System). Results: Current evaluation showed that women were 40.9(6.3) years old and had 55% of obesity and 54.5% of metabolic syndrome. Children were 6.2 (2.9) years, being 54% female, 19.4% with obesity and 11.7% with metabolic syndrome. Children of mothers who reported eating meals in front of screens showed a higher prevalence of the same behavior (84.3% vs. 34.0%; p<0.001) compared to those who did not have this habit; these children were about 10 times more likely to adopt the same behavior (OR 10.8; 95%CI 5.5–21.0), independent of sex, age, or BMI. We observed higher frequencies of children’s intake in the previous day of processed meats (65.7 vs. 11.7%; p<0.001), soft drinks (85.2 vs. 29.8%; p<0.001), fruits (72.5 vs. 58.2%; p=0.037), beans (81.5 vs. 42.2%; p<0.001) and fruits/vegetables/greens (62.4 vs. 44.9%; p=0.010) in the group of mothers who had the same habit. Children were 17 times more likely to consume soft drinks (OR 17.3; 95% CI: 8.3–36.0), 15 times more likely to consume processed meats (OR 15.4; 95% CI: 7.5–31.5), 6.3 times more likely to eat beans (OR 6.3; 95% CI: 3.3–12.2), 2.4 times more likely to consume fruits (OR 2.4; 95% CI: 1.3–4.5), and twice as likely to eat fruits/vegetables/greens (OR 2.0; 95% CI: 1.2–3.5) when their mothers had the same dietary habits, independent of the child’s age, sex, or BMI. Conclusion: Maternal consumption of both healthy and unhealthy foods significantly increased the likelihood of similar behaviors in children, independent of child’s age, sex, and BMI. Given that mothers with a history of GDM and overt diabetes and their children are at increased cardiometabolic risk, these findings highlight the importance of family-based nutrition education strategies.\n\n\n### PO—100 Use of Advanced Hybrid Closed-Loop Therapy in Pregnant Women with Type 1 Diabetes: Outcomes from Real-Life Cases\nCase Presentation: The use of advanced hybrid closed loop (AHCL) systems with pregnancy-adapted algorithms is linked to improved gestational outcomes compared to multiple daily insulin injections. However, real-world data on pregnant women using the Minimed 780G, which lacks a pregnancy-specific algorithm, remain limited. Case Presentation: This report describes the clinical evolution of three pregnant women with type 1 diabetes (T1D) monitored at a specialized maternity hospital who chose to continue AHCL 780G therapy throughout pregnancy. Case 1: A 38-year-old woman with 24 years of T1D presented HbA1c levels of 6.4%, 5.1%, and 5.4% in the first, second, and third trimesters, respectively. In the third trimester, time in range (TIR) was 90% with 10% time below range (TBR). She needed to input larger amounts of carbohydrates than she actually intakes to manage postprandial glucose excursion. Cesarean delivery occurred at 37 weeks without maternal complications. The newborn was appropriate for gestational age but developed hypoglycemia. Case 2: A 26-year-old woman with 13 years of T1D had HbA1c values of 7.5%, 6.1%, and 6.2% in the first, second, and third trimesters, respectively. TIR in the third trimester was 85%, with 1% TBR. Due to sensor shortages, the automated mode was temporarily disabled. She also reported higher carbohydrate intake than consumed. Cesarean was performed at 37 weeks with no maternal complications. The newborn was large for gestational age (LGA) and had hypoglycemia. Case 3: A 28-year-old woman with T1D for 14 years showed HbA1c values of 8.1%, 6.9%, and 6.6% in the first, second, and third trimesters, respectively. In the third trimester, TIR was 76%, with 90% time in automated mode, but high glycemic variability (coefficient of variation 42–46%) and 9% TBR with frequent symptomatic hypoglycemia. Cesarean section was performed at 38 weeks. Postpartum, the patient developed preeclampsia. The newborn was LGA and experienced hypoglycemia. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: Despite AHCL use, neonatal hypoglycemia was observed in all cases. The 780G system, without a pregnancy-specific algorithm, may require overreporting of carbohydrate intake to manage insulin resistance in later pregnancy. Final Comments: Managing T1D in pregnancy with AHCL systems not adapted for gestation requires individualized strategies and close clinical monitoring to optimize maternal and neonatal outcomes.\n\n\n### Pessoa BMA1; Dantas JR1; de Oliveira MM1; Rodacki M1; Mata FB1; Zajdenverg L1\nCase Presentation: The use of advanced hybrid closed loop (AHCL) systems with pregnancy-adapted algorithms is linked to improved gestational outcomes compared to multiple daily insulin injections. However, real-world data on pregnant women using the Minimed 780G, which lacks a pregnancy-specific algorithm, remain limited. Case Presentation: This report describes the clinical evolution of three pregnant women with type 1 diabetes (T1D) monitored at a specialized maternity hospital who chose to continue AHCL 780G therapy throughout pregnancy. Case 1: A 38-year-old woman with 24 years of T1D presented HbA1c levels of 6.4%, 5.1%, and 5.4% in the first, second, and third trimesters, respectively. In the third trimester, time in range (TIR) was 90% with 10% time below range (TBR). She needed to input larger amounts of carbohydrates than she actually intakes to manage postprandial glucose excursion. Cesarean delivery occurred at 37 weeks without maternal complications. The newborn was appropriate for gestational age but developed hypoglycemia. Case 2: A 26-year-old woman with 13 years of T1D had HbA1c values of 7.5%, 6.1%, and 6.2% in the first, second, and third trimesters, respectively. TIR in the third trimester was 85%, with 1% TBR. Due to sensor shortages, the automated mode was temporarily disabled. She also reported higher carbohydrate intake than consumed. Cesarean was performed at 37 weeks with no maternal complications. The newborn was large for gestational age (LGA) and had hypoglycemia. Case 3: A 28-year-old woman with T1D for 14 years showed HbA1c values of 8.1%, 6.9%, and 6.6% in the first, second, and third trimesters, respectively. In the third trimester, TIR was 76%, with 90% time in automated mode, but high glycemic variability (coefficient of variation 42–46%) and 9% TBR with frequent symptomatic hypoglycemia. Cesarean section was performed at 38 weeks. Postpartum, the patient developed preeclampsia. The newborn was LGA and experienced hypoglycemia. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: Despite AHCL use, neonatal hypoglycemia was observed in all cases. The 780G system, without a pregnancy-specific algorithm, may require overreporting of carbohydrate intake to manage insulin resistance in later pregnancy. Final Comments: Managing T1D in pregnancy with AHCL systems not adapted for gestation requires individualized strategies and close clinical monitoring to optimize maternal and neonatal outcomes.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nCase Presentation: The use of advanced hybrid closed loop (AHCL) systems with pregnancy-adapted algorithms is linked to improved gestational outcomes compared to multiple daily insulin injections. However, real-world data on pregnant women using the Minimed 780G, which lacks a pregnancy-specific algorithm, remain limited. Case Presentation: This report describes the clinical evolution of three pregnant women with type 1 diabetes (T1D) monitored at a specialized maternity hospital who chose to continue AHCL 780G therapy throughout pregnancy. Case 1: A 38-year-old woman with 24 years of T1D presented HbA1c levels of 6.4%, 5.1%, and 5.4% in the first, second, and third trimesters, respectively. In the third trimester, time in range (TIR) was 90% with 10% time below range (TBR). She needed to input larger amounts of carbohydrates than she actually intakes to manage postprandial glucose excursion. Cesarean delivery occurred at 37 weeks without maternal complications. The newborn was appropriate for gestational age but developed hypoglycemia. Case 2: A 26-year-old woman with 13 years of T1D had HbA1c values of 7.5%, 6.1%, and 6.2% in the first, second, and third trimesters, respectively. TIR in the third trimester was 85%, with 1% TBR. Due to sensor shortages, the automated mode was temporarily disabled. She also reported higher carbohydrate intake than consumed. Cesarean was performed at 37 weeks with no maternal complications. The newborn was large for gestational age (LGA) and had hypoglycemia. Case 3: A 28-year-old woman with T1D for 14 years showed HbA1c values of 8.1%, 6.9%, and 6.6% in the first, second, and third trimesters, respectively. In the third trimester, TIR was 76%, with 90% time in automated mode, but high glycemic variability (coefficient of variation 42–46%) and 9% TBR with frequent symptomatic hypoglycemia. Cesarean section was performed at 38 weeks. Postpartum, the patient developed preeclampsia. The newborn was LGA and experienced hypoglycemia. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: Despite AHCL use, neonatal hypoglycemia was observed in all cases. The 780G system, without a pregnancy-specific algorithm, may require overreporting of carbohydrate intake to manage insulin resistance in later pregnancy. Final Comments: Managing T1D in pregnancy with AHCL systems not adapted for gestation requires individualized strategies and close clinical monitoring to optimize maternal and neonatal outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—100\nCase Presentation: The use of advanced hybrid closed loop (AHCL) systems with pregnancy-adapted algorithms is linked to improved gestational outcomes compared to multiple daily insulin injections. However, real-world data on pregnant women using the Minimed 780G, which lacks a pregnancy-specific algorithm, remain limited. Case Presentation: This report describes the clinical evolution of three pregnant women with type 1 diabetes (T1D) monitored at a specialized maternity hospital who chose to continue AHCL 780G therapy throughout pregnancy. Case 1: A 38-year-old woman with 24 years of T1D presented HbA1c levels of 6.4%, 5.1%, and 5.4% in the first, second, and third trimesters, respectively. In the third trimester, time in range (TIR) was 90% with 10% time below range (TBR). She needed to input larger amounts of carbohydrates than she actually intakes to manage postprandial glucose excursion. Cesarean delivery occurred at 37 weeks without maternal complications. The newborn was appropriate for gestational age but developed hypoglycemia. Case 2: A 26-year-old woman with 13 years of T1D had HbA1c values of 7.5%, 6.1%, and 6.2% in the first, second, and third trimesters, respectively. TIR in the third trimester was 85%, with 1% TBR. Due to sensor shortages, the automated mode was temporarily disabled. She also reported higher carbohydrate intake than consumed. Cesarean was performed at 37 weeks with no maternal complications. The newborn was large for gestational age (LGA) and had hypoglycemia. Case 3: A 28-year-old woman with T1D for 14 years showed HbA1c values of 8.1%, 6.9%, and 6.6% in the first, second, and third trimesters, respectively. In the third trimester, TIR was 76%, with 90% time in automated mode, but high glycemic variability (coefficient of variation 42–46%) and 9% TBR with frequent symptomatic hypoglycemia. Cesarean section was performed at 38 weeks. Postpartum, the patient developed preeclampsia. The newborn was LGA and experienced hypoglycemia. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: Despite AHCL use, neonatal hypoglycemia was observed in all cases. The 780G system, without a pregnancy-specific algorithm, may require overreporting of carbohydrate intake to manage insulin resistance in later pregnancy. Final Comments: Managing T1D in pregnancy with AHCL systems not adapted for gestation requires individualized strategies and close clinical monitoring to optimize maternal and neonatal outcomes.\n\n\n### PO—101 Absence of Impact of ABO and Rh Maternal-Paternal-Fetal Blood Groups Incompatibility on the Age at Diagnosis of Type 1 Diabetes Mellitus\nIntroduction: Type 1 Diabetes Mellitus (T1DM) results from the autoimmune destruction of pancreatic beta cells that produce insulin, arising from the interaction between poorly understood genetic and environmental factors. In recent decades, epidemiological data (Weets et al., 2002) have shown an anticipation in the age of disease diagnosis, with clinical manifestations identified in progressively younger age groups. This phenomenon, observed particularly in children under 5 years of age, makes it necessary to investigate underlying fetal and perinatal immunological triggers, which appear to play a significant role in modulating autoimmunity. Among the investigated risk factors, maternal-infant blood incompatibility stood out as a predictor for early disease development in the case-control study by Dahlquist et al. (1990). In the specific analysis of incompatibilities, a greater tendency of effect was noted for the ABO system compared to the Rh system, although in statistically insignificant proportions. In light of this, this study aims to assess the impact of maternal and paternal ABO and Rh blood incompatibility on the age at diagnosis of T1DM. Objective: To assess the impact of ABO and Rh blood group incompatibility on the age at diagnosis of T1DM Methods: This is a retrospective cohort study using data obtained from medical records of patients treated at an endocrinology clinic in Bauru-SP. Maternal, paternal, and offspring blood types for ABO and Rh groups were evaluated, along with the age at T1DM diagnosis. Statistical analysis was performed using R software (version 4.4.2) with Shapiro-Wilk, Wilcoxon, and Kruskal-Wallis tests. The study was approved by a Research Ethics Committee. Results: Data from 97 individuals were included in the analysis, with a mean age at T1DM diagnosis of 13.02 ± 8.80 years. No statistically significant difference was observed in the age at T1DM diagnosis between individuals with and without paternal blood group incompatibility in the ABO group (p=0.469), Rh group (p=0.349), or both groups combined (p=0.687). Similarly, no statistical significance was found regarding maternal incompatibility in the ABO group (p=0.755), Rh group (p=0.184), or both groups simultaneously (p=0.531). Conclusion: No statistically significant association was found between ABO and Rh blood group incompatibility and the age at diagnosis of T1DM.\n\n\n### Rodrigues ACM1; Lopes LCP1; Santos VM1; Negrato CA1\nIntroduction: Type 1 Diabetes Mellitus (T1DM) results from the autoimmune destruction of pancreatic beta cells that produce insulin, arising from the interaction between poorly understood genetic and environmental factors. In recent decades, epidemiological data (Weets et al., 2002) have shown an anticipation in the age of disease diagnosis, with clinical manifestations identified in progressively younger age groups. This phenomenon, observed particularly in children under 5 years of age, makes it necessary to investigate underlying fetal and perinatal immunological triggers, which appear to play a significant role in modulating autoimmunity. Among the investigated risk factors, maternal-infant blood incompatibility stood out as a predictor for early disease development in the case-control study by Dahlquist et al. (1990). In the specific analysis of incompatibilities, a greater tendency of effect was noted for the ABO system compared to the Rh system, although in statistically insignificant proportions. In light of this, this study aims to assess the impact of maternal and paternal ABO and Rh blood incompatibility on the age at diagnosis of T1DM. Objective: To assess the impact of ABO and Rh blood group incompatibility on the age at diagnosis of T1DM Methods: This is a retrospective cohort study using data obtained from medical records of patients treated at an endocrinology clinic in Bauru-SP. Maternal, paternal, and offspring blood types for ABO and Rh groups were evaluated, along with the age at T1DM diagnosis. Statistical analysis was performed using R software (version 4.4.2) with Shapiro-Wilk, Wilcoxon, and Kruskal-Wallis tests. The study was approved by a Research Ethics Committee. Results: Data from 97 individuals were included in the analysis, with a mean age at T1DM diagnosis of 13.02 ± 8.80 years. No statistically significant difference was observed in the age at T1DM diagnosis between individuals with and without paternal blood group incompatibility in the ABO group (p=0.469), Rh group (p=0.349), or both groups combined (p=0.687). Similarly, no statistical significance was found regarding maternal incompatibility in the ABO group (p=0.755), Rh group (p=0.184), or both groups simultaneously (p=0.531). Conclusion: No statistically significant association was found between ABO and Rh blood group incompatibility and the age at diagnosis of T1DM.\n\n\n### (1) Faculdade de Medicina de Bauru, Universidade de São Paulo, Bauru, SP, Brasil\nIntroduction: Type 1 Diabetes Mellitus (T1DM) results from the autoimmune destruction of pancreatic beta cells that produce insulin, arising from the interaction between poorly understood genetic and environmental factors. In recent decades, epidemiological data (Weets et al., 2002) have shown an anticipation in the age of disease diagnosis, with clinical manifestations identified in progressively younger age groups. This phenomenon, observed particularly in children under 5 years of age, makes it necessary to investigate underlying fetal and perinatal immunological triggers, which appear to play a significant role in modulating autoimmunity. Among the investigated risk factors, maternal-infant blood incompatibility stood out as a predictor for early disease development in the case-control study by Dahlquist et al. (1990). In the specific analysis of incompatibilities, a greater tendency of effect was noted for the ABO system compared to the Rh system, although in statistically insignificant proportions. In light of this, this study aims to assess the impact of maternal and paternal ABO and Rh blood incompatibility on the age at diagnosis of T1DM. Objective: To assess the impact of ABO and Rh blood group incompatibility on the age at diagnosis of T1DM Methods: This is a retrospective cohort study using data obtained from medical records of patients treated at an endocrinology clinic in Bauru-SP. Maternal, paternal, and offspring blood types for ABO and Rh groups were evaluated, along with the age at T1DM diagnosis. Statistical analysis was performed using R software (version 4.4.2) with Shapiro-Wilk, Wilcoxon, and Kruskal-Wallis tests. The study was approved by a Research Ethics Committee. Results: Data from 97 individuals were included in the analysis, with a mean age at T1DM diagnosis of 13.02 ± 8.80 years. No statistically significant difference was observed in the age at T1DM diagnosis between individuals with and without paternal blood group incompatibility in the ABO group (p=0.469), Rh group (p=0.349), or both groups combined (p=0.687). Similarly, no statistical significance was found regarding maternal incompatibility in the ABO group (p=0.755), Rh group (p=0.184), or both groups simultaneously (p=0.531). Conclusion: No statistically significant association was found between ABO and Rh blood group incompatibility and the age at diagnosis of T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—101\nIntroduction: Type 1 Diabetes Mellitus (T1DM) results from the autoimmune destruction of pancreatic beta cells that produce insulin, arising from the interaction between poorly understood genetic and environmental factors. In recent decades, epidemiological data (Weets et al., 2002) have shown an anticipation in the age of disease diagnosis, with clinical manifestations identified in progressively younger age groups. This phenomenon, observed particularly in children under 5 years of age, makes it necessary to investigate underlying fetal and perinatal immunological triggers, which appear to play a significant role in modulating autoimmunity. Among the investigated risk factors, maternal-infant blood incompatibility stood out as a predictor for early disease development in the case-control study by Dahlquist et al. (1990). In the specific analysis of incompatibilities, a greater tendency of effect was noted for the ABO system compared to the Rh system, although in statistically insignificant proportions. In light of this, this study aims to assess the impact of maternal and paternal ABO and Rh blood incompatibility on the age at diagnosis of T1DM. Objective: To assess the impact of ABO and Rh blood group incompatibility on the age at diagnosis of T1DM Methods: This is a retrospective cohort study using data obtained from medical records of patients treated at an endocrinology clinic in Bauru-SP. Maternal, paternal, and offspring blood types for ABO and Rh groups were evaluated, along with the age at T1DM diagnosis. Statistical analysis was performed using R software (version 4.4.2) with Shapiro-Wilk, Wilcoxon, and Kruskal-Wallis tests. The study was approved by a Research Ethics Committee. Results: Data from 97 individuals were included in the analysis, with a mean age at T1DM diagnosis of 13.02 ± 8.80 years. No statistically significant difference was observed in the age at T1DM diagnosis between individuals with and without paternal blood group incompatibility in the ABO group (p=0.469), Rh group (p=0.349), or both groups combined (p=0.687). Similarly, no statistical significance was found regarding maternal incompatibility in the ABO group (p=0.755), Rh group (p=0.184), or both groups simultaneously (p=0.531). Conclusion: No statistically significant association was found between ABO and Rh blood group incompatibility and the age at diagnosis of T1DM.\n\n\n### PO—102 ADD2DIA Study: Real-World Evidence in People with Type 2 Diabetes Mellitus for Evaluating the Effectiveness and Safety of Adding Sodium-Glucose Cotransporter-2 Inhibitor to Modified Release Gliclazide – Results from the Brazilian Population\nIntroduction: Sodium-Glucose Cotransporter-2 Inhibitor (ISGLT-2) are important medications for the treatment of Type 2 Diabetes Mellitus (T2DM). However, there is a limited body of evidence about the efficacy of adding an ISGLT-2 to Glicazide MR in Real World Clinical Practice. Objective: To evaluate the effectiveness of adding SGLT2i to the baseline therapy of MR gliclazide in people with T2DM through glycated hemoglobin (HbA1c), weight, and blood pressure (BP) changes. Methods: Multicenter, retrospective, international study involving 25 sites in 5 countries (Brazil, China, Philippines, Saudi Arabia, Turkey). Adult T2DM patients treated with gliclazide MR ≥60mg/day and background therapies for ≥ 2 years were eligible for add-on SGLT2i. Results: The analysis included 89 Brazilian patients diagnosed 13.3 ± 7.9 years ago (mean age ± SD 61.9 ± 10.2 years, 53.92% men). Patients were at high cardiovascular risk; most of them (84.5%) were overweight/obese (mean BMI 31.3 ± 5.8 kg/m2), had dyslipidemia(70.8%), hypertension (76.4%) and atherosclerotic cardiovascular disease (30.3%). Mean baseline value of HbA1c was 8.7% ± 1.6, and systolic / diastolic BP 137.4 ± 22.5 and 81.0 ± 11.6mmHg, respectively. The mean dose of MR gliclazide was 85.3 ± 29.3 mg/day, and the mean time to start SGLT2i treatment after gliclazide was 4.1 ± 3.7 years. Dapagliflozin was the most prescribed SGLT2i (76.4%). There was a reduction in HbA1c of 0.8 ± 1.9%, in mean systolic and diastolic BP of 7.2 ± 20.2 and 6.8 ± 12.4mmHg, respectively, and a mean weight reduction of 4.0 ± 4.3kg. The mean duration of the MR gliclazide + SGLT2i combination was 2.3 years and was considered well-tolerated, with few adverse events (5 patients, 2 hypoglycemia episodes, no severe case). Conclusion: The late adjustment in prescription despite high HbA1c values, high cardiovascular risk, and overweight/obesity at baseline demonstrates clinical inertia and the importance of awareness about treatment intensification. The MR gliclazide + SGLT2i combination was an effective and well-tolerated strategy to address critical gaps in T2D management with benefits of glycemic control, cardiometabolic risk and body weight reduction, especially in patients at high risk who need the holistic, multidisease approach.\n\n\n### Moreira RO1; Gomes TP2; Lima RV2\nIntroduction: Sodium-Glucose Cotransporter-2 Inhibitor (ISGLT-2) are important medications for the treatment of Type 2 Diabetes Mellitus (T2DM). However, there is a limited body of evidence about the efficacy of adding an ISGLT-2 to Glicazide MR in Real World Clinical Practice. Objective: To evaluate the effectiveness of adding SGLT2i to the baseline therapy of MR gliclazide in people with T2DM through glycated hemoglobin (HbA1c), weight, and blood pressure (BP) changes. Methods: Multicenter, retrospective, international study involving 25 sites in 5 countries (Brazil, China, Philippines, Saudi Arabia, Turkey). Adult T2DM patients treated with gliclazide MR ≥60mg/day and background therapies for ≥ 2 years were eligible for add-on SGLT2i. Results: The analysis included 89 Brazilian patients diagnosed 13.3 ± 7.9 years ago (mean age ± SD 61.9 ± 10.2 years, 53.92% men). Patients were at high cardiovascular risk; most of them (84.5%) were overweight/obese (mean BMI 31.3 ± 5.8 kg/m2), had dyslipidemia(70.8%), hypertension (76.4%) and atherosclerotic cardiovascular disease (30.3%). Mean baseline value of HbA1c was 8.7% ± 1.6, and systolic / diastolic BP 137.4 ± 22.5 and 81.0 ± 11.6mmHg, respectively. The mean dose of MR gliclazide was 85.3 ± 29.3 mg/day, and the mean time to start SGLT2i treatment after gliclazide was 4.1 ± 3.7 years. Dapagliflozin was the most prescribed SGLT2i (76.4%). There was a reduction in HbA1c of 0.8 ± 1.9%, in mean systolic and diastolic BP of 7.2 ± 20.2 and 6.8 ± 12.4mmHg, respectively, and a mean weight reduction of 4.0 ± 4.3kg. The mean duration of the MR gliclazide + SGLT2i combination was 2.3 years and was considered well-tolerated, with few adverse events (5 patients, 2 hypoglycemia episodes, no severe case). Conclusion: The late adjustment in prescription despite high HbA1c values, high cardiovascular risk, and overweight/obesity at baseline demonstrates clinical inertia and the importance of awareness about treatment intensification. The MR gliclazide + SGLT2i combination was an effective and well-tolerated strategy to address critical gaps in T2D management with benefits of glycemic control, cardiometabolic risk and body weight reduction, especially in patients at high risk who need the holistic, multidisease approach.\n\n\n### (1) Instituto Estadual de Diabetes e Endocrinologia, Juiz de Fora, MG, Brasil; (2) Servier, Rio de Janeiro, RJ, Brasil\nIntroduction: Sodium-Glucose Cotransporter-2 Inhibitor (ISGLT-2) are important medications for the treatment of Type 2 Diabetes Mellitus (T2DM). However, there is a limited body of evidence about the efficacy of adding an ISGLT-2 to Glicazide MR in Real World Clinical Practice. Objective: To evaluate the effectiveness of adding SGLT2i to the baseline therapy of MR gliclazide in people with T2DM through glycated hemoglobin (HbA1c), weight, and blood pressure (BP) changes. Methods: Multicenter, retrospective, international study involving 25 sites in 5 countries (Brazil, China, Philippines, Saudi Arabia, Turkey). Adult T2DM patients treated with gliclazide MR ≥60mg/day and background therapies for ≥ 2 years were eligible for add-on SGLT2i. Results: The analysis included 89 Brazilian patients diagnosed 13.3 ± 7.9 years ago (mean age ± SD 61.9 ± 10.2 years, 53.92% men). Patients were at high cardiovascular risk; most of them (84.5%) were overweight/obese (mean BMI 31.3 ± 5.8 kg/m2), had dyslipidemia(70.8%), hypertension (76.4%) and atherosclerotic cardiovascular disease (30.3%). Mean baseline value of HbA1c was 8.7% ± 1.6, and systolic / diastolic BP 137.4 ± 22.5 and 81.0 ± 11.6mmHg, respectively. The mean dose of MR gliclazide was 85.3 ± 29.3 mg/day, and the mean time to start SGLT2i treatment after gliclazide was 4.1 ± 3.7 years. Dapagliflozin was the most prescribed SGLT2i (76.4%). There was a reduction in HbA1c of 0.8 ± 1.9%, in mean systolic and diastolic BP of 7.2 ± 20.2 and 6.8 ± 12.4mmHg, respectively, and a mean weight reduction of 4.0 ± 4.3kg. The mean duration of the MR gliclazide + SGLT2i combination was 2.3 years and was considered well-tolerated, with few adverse events (5 patients, 2 hypoglycemia episodes, no severe case). Conclusion: The late adjustment in prescription despite high HbA1c values, high cardiovascular risk, and overweight/obesity at baseline demonstrates clinical inertia and the importance of awareness about treatment intensification. The MR gliclazide + SGLT2i combination was an effective and well-tolerated strategy to address critical gaps in T2D management with benefits of glycemic control, cardiometabolic risk and body weight reduction, especially in patients at high risk who need the holistic, multidisease approach.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—102\nIntroduction: Sodium-Glucose Cotransporter-2 Inhibitor (ISGLT-2) are important medications for the treatment of Type 2 Diabetes Mellitus (T2DM). However, there is a limited body of evidence about the efficacy of adding an ISGLT-2 to Glicazide MR in Real World Clinical Practice. Objective: To evaluate the effectiveness of adding SGLT2i to the baseline therapy of MR gliclazide in people with T2DM through glycated hemoglobin (HbA1c), weight, and blood pressure (BP) changes. Methods: Multicenter, retrospective, international study involving 25 sites in 5 countries (Brazil, China, Philippines, Saudi Arabia, Turkey). Adult T2DM patients treated with gliclazide MR ≥60mg/day and background therapies for ≥ 2 years were eligible for add-on SGLT2i. Results: The analysis included 89 Brazilian patients diagnosed 13.3 ± 7.9 years ago (mean age ± SD 61.9 ± 10.2 years, 53.92% men). Patients were at high cardiovascular risk; most of them (84.5%) were overweight/obese (mean BMI 31.3 ± 5.8 kg/m2), had dyslipidemia(70.8%), hypertension (76.4%) and atherosclerotic cardiovascular disease (30.3%). Mean baseline value of HbA1c was 8.7% ± 1.6, and systolic / diastolic BP 137.4 ± 22.5 and 81.0 ± 11.6mmHg, respectively. The mean dose of MR gliclazide was 85.3 ± 29.3 mg/day, and the mean time to start SGLT2i treatment after gliclazide was 4.1 ± 3.7 years. Dapagliflozin was the most prescribed SGLT2i (76.4%). There was a reduction in HbA1c of 0.8 ± 1.9%, in mean systolic and diastolic BP of 7.2 ± 20.2 and 6.8 ± 12.4mmHg, respectively, and a mean weight reduction of 4.0 ± 4.3kg. The mean duration of the MR gliclazide + SGLT2i combination was 2.3 years and was considered well-tolerated, with few adverse events (5 patients, 2 hypoglycemia episodes, no severe case). Conclusion: The late adjustment in prescription despite high HbA1c values, high cardiovascular risk, and overweight/obesity at baseline demonstrates clinical inertia and the importance of awareness about treatment intensification. The MR gliclazide + SGLT2i combination was an effective and well-tolerated strategy to address critical gaps in T2D management with benefits of glycemic control, cardiometabolic risk and body weight reduction, especially in patients at high risk who need the holistic, multidisease approach.\n\n\n### PO—103 Adherence to Insulin Therapy in Primary Health Care in a Municipality in São Paulo: a Cross-Sectional Study\nIntroduction: Low adherence to diabetes medication treatment is a recognized problem in clinical practice and can lead to unfavorable outcomes with harm to individuals, families, and the community. Objective: To estimate the prevalence of adherence to insulin therapy among individuals with a medical diagnosis of diabetes, using insulin, and registered with primary health care services in the city of Jardinópolis, São Paulo, Brazil. Methods: This is a cross-sectional study with 152 participants and a simple probability sample. Blood and urine samples were collected, as well as ophthalmological fundus examinations using a portable retinal camera on a smartphone and face-to-face interviews. Adherence was estimated using the Treatment Adherence Measure insulin, a version validated in Brazil. Results: There was a higher frequency of women (63.2%), without private health insurance (84.2%), with a medical diagnosis of type 2 diabetes (93.3%), inadequate glycemic control (76.9%), albuminuria normal (56.7%) and without diabetic retinopathy (71.7%). The prevalence of insulin therapy adherence was estimated at 47.4% (95% CI 39.4–55.3). Higher adherence to insulin therapy was observed among males, self-reported non-white race/ethnicity, and those diagnosed with systemic arterial hypertension. A negative association was observed with alcohol abuse, amputation, and among those with private health insurance (p<0.05). Conclusion: Adherence to insulin therapy was low, and this scenario can lead to acute and chronic complications with varying impacts, including increased healthcare costs. The identified barriers suggest the need for multidimensional interventions in primary health care aimed at managing medication therapy to enable disease control. Furthermore, strengthening health education initiatives that encourage self-care and empowerment of people using insulin is proposed.\n\n\n### Consoli LMFV1; Chiaroti R1; Assis LLA1; Motozo VPP1; Junior FB1; de Oliveira REM2\nIntroduction: Low adherence to diabetes medication treatment is a recognized problem in clinical practice and can lead to unfavorable outcomes with harm to individuals, families, and the community. Objective: To estimate the prevalence of adherence to insulin therapy among individuals with a medical diagnosis of diabetes, using insulin, and registered with primary health care services in the city of Jardinópolis, São Paulo, Brazil. Methods: This is a cross-sectional study with 152 participants and a simple probability sample. Blood and urine samples were collected, as well as ophthalmological fundus examinations using a portable retinal camera on a smartphone and face-to-face interviews. Adherence was estimated using the Treatment Adherence Measure insulin, a version validated in Brazil. Results: There was a higher frequency of women (63.2%), without private health insurance (84.2%), with a medical diagnosis of type 2 diabetes (93.3%), inadequate glycemic control (76.9%), albuminuria normal (56.7%) and without diabetic retinopathy (71.7%). The prevalence of insulin therapy adherence was estimated at 47.4% (95% CI 39.4–55.3). Higher adherence to insulin therapy was observed among males, self-reported non-white race/ethnicity, and those diagnosed with systemic arterial hypertension. A negative association was observed with alcohol abuse, amputation, and among those with private health insurance (p<0.05). Conclusion: Adherence to insulin therapy was low, and this scenario can lead to acute and chronic complications with varying impacts, including increased healthcare costs. The identified barriers suggest the need for multidimensional interventions in primary health care aimed at managing medication therapy to enable disease control. Furthermore, strengthening health education initiatives that encourage self-care and empowerment of people using insulin is proposed.\n\n\n### (1) Faculdade de Medicina de Ribeirão Preto da Universidade de São Paulo, Ribeirão Preto, SP, Brasil; (2) Faculdade de Medicina de Ribeirão Preto da Universidade de São Paulo e Universidade de Brasília, Brasília, DF, Brasil\nIntroduction: Low adherence to diabetes medication treatment is a recognized problem in clinical practice and can lead to unfavorable outcomes with harm to individuals, families, and the community. Objective: To estimate the prevalence of adherence to insulin therapy among individuals with a medical diagnosis of diabetes, using insulin, and registered with primary health care services in the city of Jardinópolis, São Paulo, Brazil. Methods: This is a cross-sectional study with 152 participants and a simple probability sample. Blood and urine samples were collected, as well as ophthalmological fundus examinations using a portable retinal camera on a smartphone and face-to-face interviews. Adherence was estimated using the Treatment Adherence Measure insulin, a version validated in Brazil. Results: There was a higher frequency of women (63.2%), without private health insurance (84.2%), with a medical diagnosis of type 2 diabetes (93.3%), inadequate glycemic control (76.9%), albuminuria normal (56.7%) and without diabetic retinopathy (71.7%). The prevalence of insulin therapy adherence was estimated at 47.4% (95% CI 39.4–55.3). Higher adherence to insulin therapy was observed among males, self-reported non-white race/ethnicity, and those diagnosed with systemic arterial hypertension. A negative association was observed with alcohol abuse, amputation, and among those with private health insurance (p<0.05). Conclusion: Adherence to insulin therapy was low, and this scenario can lead to acute and chronic complications with varying impacts, including increased healthcare costs. The identified barriers suggest the need for multidimensional interventions in primary health care aimed at managing medication therapy to enable disease control. Furthermore, strengthening health education initiatives that encourage self-care and empowerment of people using insulin is proposed.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—103\nIntroduction: Low adherence to diabetes medication treatment is a recognized problem in clinical practice and can lead to unfavorable outcomes with harm to individuals, families, and the community. Objective: To estimate the prevalence of adherence to insulin therapy among individuals with a medical diagnosis of diabetes, using insulin, and registered with primary health care services in the city of Jardinópolis, São Paulo, Brazil. Methods: This is a cross-sectional study with 152 participants and a simple probability sample. Blood and urine samples were collected, as well as ophthalmological fundus examinations using a portable retinal camera on a smartphone and face-to-face interviews. Adherence was estimated using the Treatment Adherence Measure insulin, a version validated in Brazil. Results: There was a higher frequency of women (63.2%), without private health insurance (84.2%), with a medical diagnosis of type 2 diabetes (93.3%), inadequate glycemic control (76.9%), albuminuria normal (56.7%) and without diabetic retinopathy (71.7%). The prevalence of insulin therapy adherence was estimated at 47.4% (95% CI 39.4–55.3). Higher adherence to insulin therapy was observed among males, self-reported non-white race/ethnicity, and those diagnosed with systemic arterial hypertension. A negative association was observed with alcohol abuse, amputation, and among those with private health insurance (p<0.05). Conclusion: Adherence to insulin therapy was low, and this scenario can lead to acute and chronic complications with varying impacts, including increased healthcare costs. The identified barriers suggest the need for multidimensional interventions in primary health care aimed at managing medication therapy to enable disease control. Furthermore, strengthening health education initiatives that encourage self-care and empowerment of people using insulin is proposed.\n\n\n### PO—104 Age-Based Suggestive Endotypes of Type 1 Diabetes: Do Findings in Caucasians Populations Apply to a Multiethnic Brazilian Cohort?\nIntroduction: Type 1 diabetes (T1D) shows clinical and immunological heterogeneity, and different endotypes have been proposed mainly in Caucasian populations. Classification into endotype 1 (E1) and endotype 2 (E2) has been associated with distinct profiles of autoimmunity, β-cell preservation, age at onset, and disease progression. Diagnosis before the age of 7 years is highly suggestive of E1, whereas diagnosis at 13 years or older is highly suggestive of E2. It is still unclear whether these endotypes are also observed in multiethnic populations, such as the Brazilian. Objective: To describe the epidemiological and immunological profiles of patients with T1DM classified by age at diagnosis (< 7 vs ≥ 13 years of age) as suggestive of different endotypes. Methods: This was a retrospective analysis of patients with T1D followed at a tertiary referral hospital. Demographic data, family history of diabetes, positivity for anti-glutamic acid decarboxylase (GADA) and anti-tyrosine phosphatase IA-2 (IA2A) antibodies, presence of other autoimmune diseases, and residual C-peptide were assessed in individuals with variable disease duration. Patients were categorized as E1 or E2 according to the age at onset (< 7 or ≥ 13 years, respectively). Categorical variables were compared using the chi-square test and continuous variables using the Mann-Whitney test, with significance set at p<0,05. Results: Of 213 patients, 57 were E1 and 156 E2. 51.2% were females. Their mean age and disease duration were 37.3 ± 16.7 and 19.7 ± 12.4 years, respectively. GADA was positive in 25.9% of E1 and 43.2% of E2 (p=0.034). Family history of T1D was more frequent in E2 (56.1% vs. 38.6%, p=0.03). IA2A positivity and frequency of other autoimmune diseases showed no significant differences (p=0.15 and 0.85), respectively). Residual C-peptide was higher in E2 (25.2% vs. 5.3%, p=0.009). Conclusion: In this multiethnic Brazilian cohort, the age-based classification suggestive of endotypes reproduced some differences reported in predominantly Caucasian populations, with E2 showing a higher frequency of GADA positivity and better residual β-cell function than E1. These findings support further studies to validate endotype-based approaches in diverse populations, aiming for more personalized strategies in T1D management. However, we cannot exclude that the observed difference in GADA frequency reflects variations in antibody persistence rather than true differences in GADA positivity, as most individuals in our cohort had long-standing T1D.\n\n\n### Guimarães RS1; Veiga AM1; Caneca KO1; Silva JMS1; Dantas JR1; Zajdenverg L1; Rodacki M1\nIntroduction: Type 1 diabetes (T1D) shows clinical and immunological heterogeneity, and different endotypes have been proposed mainly in Caucasian populations. Classification into endotype 1 (E1) and endotype 2 (E2) has been associated with distinct profiles of autoimmunity, β-cell preservation, age at onset, and disease progression. Diagnosis before the age of 7 years is highly suggestive of E1, whereas diagnosis at 13 years or older is highly suggestive of E2. It is still unclear whether these endotypes are also observed in multiethnic populations, such as the Brazilian. Objective: To describe the epidemiological and immunological profiles of patients with T1DM classified by age at diagnosis (< 7 vs ≥ 13 years of age) as suggestive of different endotypes. Methods: This was a retrospective analysis of patients with T1D followed at a tertiary referral hospital. Demographic data, family history of diabetes, positivity for anti-glutamic acid decarboxylase (GADA) and anti-tyrosine phosphatase IA-2 (IA2A) antibodies, presence of other autoimmune diseases, and residual C-peptide were assessed in individuals with variable disease duration. Patients were categorized as E1 or E2 according to the age at onset (< 7 or ≥ 13 years, respectively). Categorical variables were compared using the chi-square test and continuous variables using the Mann-Whitney test, with significance set at p<0,05. Results: Of 213 patients, 57 were E1 and 156 E2. 51.2% were females. Their mean age and disease duration were 37.3 ± 16.7 and 19.7 ± 12.4 years, respectively. GADA was positive in 25.9% of E1 and 43.2% of E2 (p=0.034). Family history of T1D was more frequent in E2 (56.1% vs. 38.6%, p=0.03). IA2A positivity and frequency of other autoimmune diseases showed no significant differences (p=0.15 and 0.85), respectively). Residual C-peptide was higher in E2 (25.2% vs. 5.3%, p=0.009). Conclusion: In this multiethnic Brazilian cohort, the age-based classification suggestive of endotypes reproduced some differences reported in predominantly Caucasian populations, with E2 showing a higher frequency of GADA positivity and better residual β-cell function than E1. These findings support further studies to validate endotype-based approaches in diverse populations, aiming for more personalized strategies in T1D management. However, we cannot exclude that the observed difference in GADA frequency reflects variations in antibody persistence rather than true differences in GADA positivity, as most individuals in our cohort had long-standing T1D.\n\n\n### (1) Hospital Universitário Clementino Fraga Filho- faculdade de medicina da Universidade Federal do Rio de Janeiro, RJ, Brasil\nIntroduction: Type 1 diabetes (T1D) shows clinical and immunological heterogeneity, and different endotypes have been proposed mainly in Caucasian populations. Classification into endotype 1 (E1) and endotype 2 (E2) has been associated with distinct profiles of autoimmunity, β-cell preservation, age at onset, and disease progression. Diagnosis before the age of 7 years is highly suggestive of E1, whereas diagnosis at 13 years or older is highly suggestive of E2. It is still unclear whether these endotypes are also observed in multiethnic populations, such as the Brazilian. Objective: To describe the epidemiological and immunological profiles of patients with T1DM classified by age at diagnosis (< 7 vs ≥ 13 years of age) as suggestive of different endotypes. Methods: This was a retrospective analysis of patients with T1D followed at a tertiary referral hospital. Demographic data, family history of diabetes, positivity for anti-glutamic acid decarboxylase (GADA) and anti-tyrosine phosphatase IA-2 (IA2A) antibodies, presence of other autoimmune diseases, and residual C-peptide were assessed in individuals with variable disease duration. Patients were categorized as E1 or E2 according to the age at onset (< 7 or ≥ 13 years, respectively). Categorical variables were compared using the chi-square test and continuous variables using the Mann-Whitney test, with significance set at p<0,05. Results: Of 213 patients, 57 were E1 and 156 E2. 51.2% were females. Their mean age and disease duration were 37.3 ± 16.7 and 19.7 ± 12.4 years, respectively. GADA was positive in 25.9% of E1 and 43.2% of E2 (p=0.034). Family history of T1D was more frequent in E2 (56.1% vs. 38.6%, p=0.03). IA2A positivity and frequency of other autoimmune diseases showed no significant differences (p=0.15 and 0.85), respectively). Residual C-peptide was higher in E2 (25.2% vs. 5.3%, p=0.009). Conclusion: In this multiethnic Brazilian cohort, the age-based classification suggestive of endotypes reproduced some differences reported in predominantly Caucasian populations, with E2 showing a higher frequency of GADA positivity and better residual β-cell function than E1. These findings support further studies to validate endotype-based approaches in diverse populations, aiming for more personalized strategies in T1D management. However, we cannot exclude that the observed difference in GADA frequency reflects variations in antibody persistence rather than true differences in GADA positivity, as most individuals in our cohort had long-standing T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—104\nIntroduction: Type 1 diabetes (T1D) shows clinical and immunological heterogeneity, and different endotypes have been proposed mainly in Caucasian populations. Classification into endotype 1 (E1) and endotype 2 (E2) has been associated with distinct profiles of autoimmunity, β-cell preservation, age at onset, and disease progression. Diagnosis before the age of 7 years is highly suggestive of E1, whereas diagnosis at 13 years or older is highly suggestive of E2. It is still unclear whether these endotypes are also observed in multiethnic populations, such as the Brazilian. Objective: To describe the epidemiological and immunological profiles of patients with T1DM classified by age at diagnosis (< 7 vs ≥ 13 years of age) as suggestive of different endotypes. Methods: This was a retrospective analysis of patients with T1D followed at a tertiary referral hospital. Demographic data, family history of diabetes, positivity for anti-glutamic acid decarboxylase (GADA) and anti-tyrosine phosphatase IA-2 (IA2A) antibodies, presence of other autoimmune diseases, and residual C-peptide were assessed in individuals with variable disease duration. Patients were categorized as E1 or E2 according to the age at onset (< 7 or ≥ 13 years, respectively). Categorical variables were compared using the chi-square test and continuous variables using the Mann-Whitney test, with significance set at p<0,05. Results: Of 213 patients, 57 were E1 and 156 E2. 51.2% were females. Their mean age and disease duration were 37.3 ± 16.7 and 19.7 ± 12.4 years, respectively. GADA was positive in 25.9% of E1 and 43.2% of E2 (p=0.034). Family history of T1D was more frequent in E2 (56.1% vs. 38.6%, p=0.03). IA2A positivity and frequency of other autoimmune diseases showed no significant differences (p=0.15 and 0.85), respectively). Residual C-peptide was higher in E2 (25.2% vs. 5.3%, p=0.009). Conclusion: In this multiethnic Brazilian cohort, the age-based classification suggestive of endotypes reproduced some differences reported in predominantly Caucasian populations, with E2 showing a higher frequency of GADA positivity and better residual β-cell function than E1. These findings support further studies to validate endotype-based approaches in diverse populations, aiming for more personalized strategies in T1D management. However, we cannot exclude that the observed difference in GADA frequency reflects variations in antibody persistence rather than true differences in GADA positivity, as most individuals in our cohort had long-standing T1D.\n\n\n### PO—105 Analysis of Hospital Admissions and Deaths Due to Diabetes Mellitus in the Southeast Region from 2019 to 2024: an Ecological Study\nIntroduction: Diabetes mellitus (DM) is a chronic disease with high prevalence and is a major cause of morbidity and mortality in Brazil, particularly affecting the elderly, women, and ethnic/racial minorities. It comprises a group of metabolic disorders characterized by hyperglycemia, resulting from defects in insulin secretion and/or action. Persistent hyperglycemia is associated with acute and chronic complications affecting multiple organs, generating a substantial burden on health services. In Brazil, understanding the dynamics of this condition requires considering social, economic, and racial inequalities, which influence access to diagnosis, treatment, and disease management. Objective: To analyze the profile of hospital admissions and deaths due to DM in the southeast region of Brazil from 2019 to 2024, according to age, sex, and race/skin color. Methods: This descriptive study used secondary data from the Hospital Information System of the Unified Health System (SIH/SUS), provided by Department of Informatics of the Unified Health System (DATASUS). Data were extracted, organized, and analyzed using Microsoft Excel. Results: During the study period, there were 295,908 hospital admissions and 13,102 deaths attributed to DM. Hospital mortality was higher among the elderly (6.6%) compared to children and adolescents (0.3%). Regarding sex, men accounted for a higher absolute number of admissions (162,762), whereas women had a higher in-hospital mortality rate (5.0% vs 3.9%). Analysis by race/skin color revealed significant disparities: Black individuals had the highest mortality rate (5.2%), followed by White (4.4%) and Brown individuals (3.9%). Conclusion: Despite the universal coverage of the Unified Health System (SUS) and advances in public policies addressing diabetes, the magnitude of the disease, combined with social inequalities and structural and financial limitations of the health system, makes DM a major challenge for Brazilian public health. Preventive and management strategies should be prioritized, focusing on the most vulnerable groups, including the elderly, women, and racially disadvantaged populations, to reduce morbidity and mortality and improve the quality of life of affected individuals.\n\n\n### Souza BA1\nIntroduction: Diabetes mellitus (DM) is a chronic disease with high prevalence and is a major cause of morbidity and mortality in Brazil, particularly affecting the elderly, women, and ethnic/racial minorities. It comprises a group of metabolic disorders characterized by hyperglycemia, resulting from defects in insulin secretion and/or action. Persistent hyperglycemia is associated with acute and chronic complications affecting multiple organs, generating a substantial burden on health services. In Brazil, understanding the dynamics of this condition requires considering social, economic, and racial inequalities, which influence access to diagnosis, treatment, and disease management. Objective: To analyze the profile of hospital admissions and deaths due to DM in the southeast region of Brazil from 2019 to 2024, according to age, sex, and race/skin color. Methods: This descriptive study used secondary data from the Hospital Information System of the Unified Health System (SIH/SUS), provided by Department of Informatics of the Unified Health System (DATASUS). Data were extracted, organized, and analyzed using Microsoft Excel. Results: During the study period, there were 295,908 hospital admissions and 13,102 deaths attributed to DM. Hospital mortality was higher among the elderly (6.6%) compared to children and adolescents (0.3%). Regarding sex, men accounted for a higher absolute number of admissions (162,762), whereas women had a higher in-hospital mortality rate (5.0% vs 3.9%). Analysis by race/skin color revealed significant disparities: Black individuals had the highest mortality rate (5.2%), followed by White (4.4%) and Brown individuals (3.9%). Conclusion: Despite the universal coverage of the Unified Health System (SUS) and advances in public policies addressing diabetes, the magnitude of the disease, combined with social inequalities and structural and financial limitations of the health system, makes DM a major challenge for Brazilian public health. Preventive and management strategies should be prioritized, focusing on the most vulnerable groups, including the elderly, women, and racially disadvantaged populations, to reduce morbidity and mortality and improve the quality of life of affected individuals.\n\n\n### (1) Universidade Vila Velha, Vila Velha, ES, Brasil\nIntroduction: Diabetes mellitus (DM) is a chronic disease with high prevalence and is a major cause of morbidity and mortality in Brazil, particularly affecting the elderly, women, and ethnic/racial minorities. It comprises a group of metabolic disorders characterized by hyperglycemia, resulting from defects in insulin secretion and/or action. Persistent hyperglycemia is associated with acute and chronic complications affecting multiple organs, generating a substantial burden on health services. In Brazil, understanding the dynamics of this condition requires considering social, economic, and racial inequalities, which influence access to diagnosis, treatment, and disease management. Objective: To analyze the profile of hospital admissions and deaths due to DM in the southeast region of Brazil from 2019 to 2024, according to age, sex, and race/skin color. Methods: This descriptive study used secondary data from the Hospital Information System of the Unified Health System (SIH/SUS), provided by Department of Informatics of the Unified Health System (DATASUS). Data were extracted, organized, and analyzed using Microsoft Excel. Results: During the study period, there were 295,908 hospital admissions and 13,102 deaths attributed to DM. Hospital mortality was higher among the elderly (6.6%) compared to children and adolescents (0.3%). Regarding sex, men accounted for a higher absolute number of admissions (162,762), whereas women had a higher in-hospital mortality rate (5.0% vs 3.9%). Analysis by race/skin color revealed significant disparities: Black individuals had the highest mortality rate (5.2%), followed by White (4.4%) and Brown individuals (3.9%). Conclusion: Despite the universal coverage of the Unified Health System (SUS) and advances in public policies addressing diabetes, the magnitude of the disease, combined with social inequalities and structural and financial limitations of the health system, makes DM a major challenge for Brazilian public health. Preventive and management strategies should be prioritized, focusing on the most vulnerable groups, including the elderly, women, and racially disadvantaged populations, to reduce morbidity and mortality and improve the quality of life of affected individuals.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—105\nIntroduction: Diabetes mellitus (DM) is a chronic disease with high prevalence and is a major cause of morbidity and mortality in Brazil, particularly affecting the elderly, women, and ethnic/racial minorities. It comprises a group of metabolic disorders characterized by hyperglycemia, resulting from defects in insulin secretion and/or action. Persistent hyperglycemia is associated with acute and chronic complications affecting multiple organs, generating a substantial burden on health services. In Brazil, understanding the dynamics of this condition requires considering social, economic, and racial inequalities, which influence access to diagnosis, treatment, and disease management. Objective: To analyze the profile of hospital admissions and deaths due to DM in the southeast region of Brazil from 2019 to 2024, according to age, sex, and race/skin color. Methods: This descriptive study used secondary data from the Hospital Information System of the Unified Health System (SIH/SUS), provided by Department of Informatics of the Unified Health System (DATASUS). Data were extracted, organized, and analyzed using Microsoft Excel. Results: During the study period, there were 295,908 hospital admissions and 13,102 deaths attributed to DM. Hospital mortality was higher among the elderly (6.6%) compared to children and adolescents (0.3%). Regarding sex, men accounted for a higher absolute number of admissions (162,762), whereas women had a higher in-hospital mortality rate (5.0% vs 3.9%). Analysis by race/skin color revealed significant disparities: Black individuals had the highest mortality rate (5.2%), followed by White (4.4%) and Brown individuals (3.9%). Conclusion: Despite the universal coverage of the Unified Health System (SUS) and advances in public policies addressing diabetes, the magnitude of the disease, combined with social inequalities and structural and financial limitations of the health system, makes DM a major challenge for Brazilian public health. Preventive and management strategies should be prioritized, focusing on the most vulnerable groups, including the elderly, women, and racially disadvantaged populations, to reduce morbidity and mortality and improve the quality of life of affected individuals.\n\n\n### PO—106 Application of FINDRISC and Biochemical Testing in Community Diabetes Screening: the “Comunidades” Experience in São Paulo\nIntroduction: Type 2 diabetes mellitus (DM) is a major public health challenge, with high morbidity and mortality. Early identification of at-risk individuals is essential to enable preventive actions. The FINDRISC score, based on anthropometric, clinical, and lifestyle variables, is widely used for screening. In Brazil, however, there are few real-world urban data integrating FINDRISC with biochemical confirmation. Objective: To compare clinical, anthropometric, and biochemical profiles of individuals with and without DM in São Paulo, and identify predictors of higher FINDRISC categories. Methods: Cross-sectional study of 283 adults screened in community settings (2025). Data included demographics, self-reported DM, FINDRISC score, anthropometrics, capillary glucose, HbA1c, and lipid profile. Chi-square and Welch’s t-tests compared groups; multinomial logistic regression assessed predictors of FINDRISC categories (p<0.05). Results: Of the 283 participants, 24 (8.5%) reported a previous diagnosis of DM. The mean age was significantly higher among people with DM compared to those without (70.3 vs. 53.6 years; p<0.001). HbA1c (7.70% vs. 6.11%; p<0.001) and blood glucose (168.5 vs. 106.9 mg/dL; p<0.001) were also significantly higher in the DM group. No significant differences were observed for BMI, waist circumference, total cholesterol, HDL, LDL, triglycerides, fruit consumption, or physical activity. Among individuals without DM, 22.0% had HbA1c ≥6.5%, suggesting possible undiagnosed DM. In the regression model, higher age and elevated HbA1c were the strongest predictors of higher FINDRISC categories. . Conclusion: The results demonstrated that community-based screening can identify individuals with poor glycemic management and a substantial proportion of possible undiagnosed diabetes cases. Age and HbA1c were key discriminators of higher risk profiles, reinforcing the importance of including biochemical testing alongside questionnaires in public screening campaigns. The absence of significant differences in BMI and waist circumference suggests that in this population, anthropometric measures alone may be insufficient to stratify diabetes risk. Expanding similar screening strategies could improve early detection and facilitate timely intervention in high-risk urban communities.\n\n\n### Pineda-Wieselberg RJ1; de Carvalho ACBC1; Kitamura LCS1; Rodrigues C1; Alves J1; Miranda AP1; Yoshimura L1; Canon VLP1\nIntroduction: Type 2 diabetes mellitus (DM) is a major public health challenge, with high morbidity and mortality. Early identification of at-risk individuals is essential to enable preventive actions. The FINDRISC score, based on anthropometric, clinical, and lifestyle variables, is widely used for screening. In Brazil, however, there are few real-world urban data integrating FINDRISC with biochemical confirmation. Objective: To compare clinical, anthropometric, and biochemical profiles of individuals with and without DM in São Paulo, and identify predictors of higher FINDRISC categories. Methods: Cross-sectional study of 283 adults screened in community settings (2025). Data included demographics, self-reported DM, FINDRISC score, anthropometrics, capillary glucose, HbA1c, and lipid profile. Chi-square and Welch’s t-tests compared groups; multinomial logistic regression assessed predictors of FINDRISC categories (p<0.05). Results: Of the 283 participants, 24 (8.5%) reported a previous diagnosis of DM. The mean age was significantly higher among people with DM compared to those without (70.3 vs. 53.6 years; p<0.001). HbA1c (7.70% vs. 6.11%; p<0.001) and blood glucose (168.5 vs. 106.9 mg/dL; p<0.001) were also significantly higher in the DM group. No significant differences were observed for BMI, waist circumference, total cholesterol, HDL, LDL, triglycerides, fruit consumption, or physical activity. Among individuals without DM, 22.0% had HbA1c ≥6.5%, suggesting possible undiagnosed DM. In the regression model, higher age and elevated HbA1c were the strongest predictors of higher FINDRISC categories. . Conclusion: The results demonstrated that community-based screening can identify individuals with poor glycemic management and a substantial proportion of possible undiagnosed diabetes cases. Age and HbA1c were key discriminators of higher risk profiles, reinforcing the importance of including biochemical testing alongside questionnaires in public screening campaigns. The absence of significant differences in BMI and waist circumference suggests that in this population, anthropometric measures alone may be insufficient to stratify diabetes risk. Expanding similar screening strategies could improve early detection and facilitate timely intervention in high-risk urban communities.\n\n\n### (1) ADJ Diabetes Brasil, São Paulo, SP, Brasil\nIntroduction: Type 2 diabetes mellitus (DM) is a major public health challenge, with high morbidity and mortality. Early identification of at-risk individuals is essential to enable preventive actions. The FINDRISC score, based on anthropometric, clinical, and lifestyle variables, is widely used for screening. In Brazil, however, there are few real-world urban data integrating FINDRISC with biochemical confirmation. Objective: To compare clinical, anthropometric, and biochemical profiles of individuals with and without DM in São Paulo, and identify predictors of higher FINDRISC categories. Methods: Cross-sectional study of 283 adults screened in community settings (2025). Data included demographics, self-reported DM, FINDRISC score, anthropometrics, capillary glucose, HbA1c, and lipid profile. Chi-square and Welch’s t-tests compared groups; multinomial logistic regression assessed predictors of FINDRISC categories (p<0.05). Results: Of the 283 participants, 24 (8.5%) reported a previous diagnosis of DM. The mean age was significantly higher among people with DM compared to those without (70.3 vs. 53.6 years; p<0.001). HbA1c (7.70% vs. 6.11%; p<0.001) and blood glucose (168.5 vs. 106.9 mg/dL; p<0.001) were also significantly higher in the DM group. No significant differences were observed for BMI, waist circumference, total cholesterol, HDL, LDL, triglycerides, fruit consumption, or physical activity. Among individuals without DM, 22.0% had HbA1c ≥6.5%, suggesting possible undiagnosed DM. In the regression model, higher age and elevated HbA1c were the strongest predictors of higher FINDRISC categories. . Conclusion: The results demonstrated that community-based screening can identify individuals with poor glycemic management and a substantial proportion of possible undiagnosed diabetes cases. Age and HbA1c were key discriminators of higher risk profiles, reinforcing the importance of including biochemical testing alongside questionnaires in public screening campaigns. The absence of significant differences in BMI and waist circumference suggests that in this population, anthropometric measures alone may be insufficient to stratify diabetes risk. Expanding similar screening strategies could improve early detection and facilitate timely intervention in high-risk urban communities.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—106\nIntroduction: Type 2 diabetes mellitus (DM) is a major public health challenge, with high morbidity and mortality. Early identification of at-risk individuals is essential to enable preventive actions. The FINDRISC score, based on anthropometric, clinical, and lifestyle variables, is widely used for screening. In Brazil, however, there are few real-world urban data integrating FINDRISC with biochemical confirmation. Objective: To compare clinical, anthropometric, and biochemical profiles of individuals with and without DM in São Paulo, and identify predictors of higher FINDRISC categories. Methods: Cross-sectional study of 283 adults screened in community settings (2025). Data included demographics, self-reported DM, FINDRISC score, anthropometrics, capillary glucose, HbA1c, and lipid profile. Chi-square and Welch’s t-tests compared groups; multinomial logistic regression assessed predictors of FINDRISC categories (p<0.05). Results: Of the 283 participants, 24 (8.5%) reported a previous diagnosis of DM. The mean age was significantly higher among people with DM compared to those without (70.3 vs. 53.6 years; p<0.001). HbA1c (7.70% vs. 6.11%; p<0.001) and blood glucose (168.5 vs. 106.9 mg/dL; p<0.001) were also significantly higher in the DM group. No significant differences were observed for BMI, waist circumference, total cholesterol, HDL, LDL, triglycerides, fruit consumption, or physical activity. Among individuals without DM, 22.0% had HbA1c ≥6.5%, suggesting possible undiagnosed DM. In the regression model, higher age and elevated HbA1c were the strongest predictors of higher FINDRISC categories. . Conclusion: The results demonstrated that community-based screening can identify individuals with poor glycemic management and a substantial proportion of possible undiagnosed diabetes cases. Age and HbA1c were key discriminators of higher risk profiles, reinforcing the importance of including biochemical testing alongside questionnaires in public screening campaigns. The absence of significant differences in BMI and waist circumference suggests that in this population, anthropometric measures alone may be insufficient to stratify diabetes risk. Expanding similar screening strategies could improve early detection and facilitate timely intervention in high-risk urban communities.\n\n\n### PO—107 Assessment of Endocrinologists’ Attitudes and Knowledge Regarding the Disposal of Contaminated Sharps Waste Among Insulin-Using Patients with Diabetes Mellitus\nIntroduction: Diabetes mellitus is a chronic disease and a global public health concern. Approximately 20–25% of individuals with diabetes require insulin therapy and utilize medical supplies that generate contaminated sharps waste. Evidence from the literature indicates that, in the home setting, this waste is frequently disposed of improperly, posing risks to public health and the environment. The primary contributing factors include insufficient patient education and the lack of specific legislation addressing the disposal of household medical waste. Objective: To assess the frequency with which endocrinologists in Brazil provide guidance on the home disposal of insulin-related sharps waste, as well as to evaluate their knowledge on the topic. Methods: This was a cross-sectional, observational study conducted via an online questionnaire Results: A total of 56 endocrinologists participated in the study, with a mean age of 46.4 ± 9.8 years and a mean of 22.0 ± 9.9 years of professional experience since medical school graduation. The majority (78.6%) reported that they routinely counsel patients on sharps waste disposal. Among those who did not, the most common reason (50%) was lack of time during patient consultations. However, 42 endocrinologists provided incorrect guidance, recommending disposal in PET bottles or cardboard containers such as milk or juice cartons. While most respondents correctly advised patients to dispose of sharp waste at primary healthcare centers, 21 also recommended inappropriate alternatives such as hospitals, pharmacies, or household trash. Only 41% of participants reported having received formal training on the subject. The Brazilian Society of Endocrinology and Metabolism (SBEM) was identified as the main source of information. Notably, 87.5% of respondents expressed interest in having this topic more frequently addressed in conferences, lectures, and continuing education courses Conclusion: While most endocrinologists report advising patients on the disposal of sharps waste, this guidance is often inaccurate. These findings highlight the need for enhanced medical education and training on appropriate sharps waste disposal to improve both patient safety and environmental outcomes.\n\n\n### Silva CMS1; Lima GAB1; Taboada GF1; Pereira EK1; Rocha SG1\nIntroduction: Diabetes mellitus is a chronic disease and a global public health concern. Approximately 20–25% of individuals with diabetes require insulin therapy and utilize medical supplies that generate contaminated sharps waste. Evidence from the literature indicates that, in the home setting, this waste is frequently disposed of improperly, posing risks to public health and the environment. The primary contributing factors include insufficient patient education and the lack of specific legislation addressing the disposal of household medical waste. Objective: To assess the frequency with which endocrinologists in Brazil provide guidance on the home disposal of insulin-related sharps waste, as well as to evaluate their knowledge on the topic. Methods: This was a cross-sectional, observational study conducted via an online questionnaire Results: A total of 56 endocrinologists participated in the study, with a mean age of 46.4 ± 9.8 years and a mean of 22.0 ± 9.9 years of professional experience since medical school graduation. The majority (78.6%) reported that they routinely counsel patients on sharps waste disposal. Among those who did not, the most common reason (50%) was lack of time during patient consultations. However, 42 endocrinologists provided incorrect guidance, recommending disposal in PET bottles or cardboard containers such as milk or juice cartons. While most respondents correctly advised patients to dispose of sharp waste at primary healthcare centers, 21 also recommended inappropriate alternatives such as hospitals, pharmacies, or household trash. Only 41% of participants reported having received formal training on the subject. The Brazilian Society of Endocrinology and Metabolism (SBEM) was identified as the main source of information. Notably, 87.5% of respondents expressed interest in having this topic more frequently addressed in conferences, lectures, and continuing education courses Conclusion: While most endocrinologists report advising patients on the disposal of sharps waste, this guidance is often inaccurate. These findings highlight the need for enhanced medical education and training on appropriate sharps waste disposal to improve both patient safety and environmental outcomes.\n\n\n### (1) Universidade Federal Fluminense, Niterói, RJ, Brasil\nIntroduction: Diabetes mellitus is a chronic disease and a global public health concern. Approximately 20–25% of individuals with diabetes require insulin therapy and utilize medical supplies that generate contaminated sharps waste. Evidence from the literature indicates that, in the home setting, this waste is frequently disposed of improperly, posing risks to public health and the environment. The primary contributing factors include insufficient patient education and the lack of specific legislation addressing the disposal of household medical waste. Objective: To assess the frequency with which endocrinologists in Brazil provide guidance on the home disposal of insulin-related sharps waste, as well as to evaluate their knowledge on the topic. Methods: This was a cross-sectional, observational study conducted via an online questionnaire Results: A total of 56 endocrinologists participated in the study, with a mean age of 46.4 ± 9.8 years and a mean of 22.0 ± 9.9 years of professional experience since medical school graduation. The majority (78.6%) reported that they routinely counsel patients on sharps waste disposal. Among those who did not, the most common reason (50%) was lack of time during patient consultations. However, 42 endocrinologists provided incorrect guidance, recommending disposal in PET bottles or cardboard containers such as milk or juice cartons. While most respondents correctly advised patients to dispose of sharp waste at primary healthcare centers, 21 also recommended inappropriate alternatives such as hospitals, pharmacies, or household trash. Only 41% of participants reported having received formal training on the subject. The Brazilian Society of Endocrinology and Metabolism (SBEM) was identified as the main source of information. Notably, 87.5% of respondents expressed interest in having this topic more frequently addressed in conferences, lectures, and continuing education courses Conclusion: While most endocrinologists report advising patients on the disposal of sharps waste, this guidance is often inaccurate. These findings highlight the need for enhanced medical education and training on appropriate sharps waste disposal to improve both patient safety and environmental outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—107\nIntroduction: Diabetes mellitus is a chronic disease and a global public health concern. Approximately 20–25% of individuals with diabetes require insulin therapy and utilize medical supplies that generate contaminated sharps waste. Evidence from the literature indicates that, in the home setting, this waste is frequently disposed of improperly, posing risks to public health and the environment. The primary contributing factors include insufficient patient education and the lack of specific legislation addressing the disposal of household medical waste. Objective: To assess the frequency with which endocrinologists in Brazil provide guidance on the home disposal of insulin-related sharps waste, as well as to evaluate their knowledge on the topic. Methods: This was a cross-sectional, observational study conducted via an online questionnaire Results: A total of 56 endocrinologists participated in the study, with a mean age of 46.4 ± 9.8 years and a mean of 22.0 ± 9.9 years of professional experience since medical school graduation. The majority (78.6%) reported that they routinely counsel patients on sharps waste disposal. Among those who did not, the most common reason (50%) was lack of time during patient consultations. However, 42 endocrinologists provided incorrect guidance, recommending disposal in PET bottles or cardboard containers such as milk or juice cartons. While most respondents correctly advised patients to dispose of sharp waste at primary healthcare centers, 21 also recommended inappropriate alternatives such as hospitals, pharmacies, or household trash. Only 41% of participants reported having received formal training on the subject. The Brazilian Society of Endocrinology and Metabolism (SBEM) was identified as the main source of information. Notably, 87.5% of respondents expressed interest in having this topic more frequently addressed in conferences, lectures, and continuing education courses Conclusion: While most endocrinologists report advising patients on the disposal of sharps waste, this guidance is often inaccurate. These findings highlight the need for enhanced medical education and training on appropriate sharps waste disposal to improve both patient safety and environmental outcomes.\n\n\n### PO—108 Assessment of Insulin Therapy Self-Management by People with Diabetes Monitored by Primary Health Care: a Cross-Sectional Study\nIntroduction: Proper diabetes management requires behavioral changes and adherence to medication treatment. To achieve therapeutic goals, many patients require exogenous insulin but face challenges such as low health literacy and therapeutic inertia, often resulting in irreversible complications. Patients’ lack of technical knowledge, insufficient training of healthcare professionals, and limited access contribute to glycemic imbalance and reduced life expectancy. Given this scenario, it is essential to understand whether people using insulin are administering it correctly. Objective: To evaluate the self-management of insulin therapy by people with diabetes monitored in Primary Health Care. Methods: A cross-sectional study was conducted between August and December 2024 in 17 Basic Health Units in Floriano, Piauí, Brazil. Participants were individuals with diabetes aged ≥18 years, of both sexes, using insulin for at least six months, and responsible for all insulin steps (preparation, administration, disposal). Sociodemographic data were collected, and participants demonstrated the insulin therapy steps, which were recorded and evaluated according to the Brazilian Diabetes Society checklist. The study was approved by the Research Ethics Committee (protocol 6,746,565/2024). Results: Among 60 participants, mean age was 58.5 years, most were women (56.7%), married (58.3%), Black (71.7%), with up to nine years of schooling (36.7%). Type 2 diabetes predominated (71.7%), and 50% had used insulin for less than five years. Significant gaps were found in all phases of insulin therapy. In pre-preparation, checking expiration date (65%) and liquid appearance (60%) showed moderate adherence, while recording the vial start date (20%) and waiting the proper time after refrigeration (25%) were low. In preparation, although 65% performed hand antisepsis, essential steps such as antisepsis of vial seal (20%), air injection (25%), and bubble removal (31.7%) were uncommon. In administration, correct practices like slow injection (83.3%) and 90° angle (81.7%) were frequent, but site inspection (55%) and post-application counting (60%) need improvement. Only 31.7% discarded needles correctly, increasing accident risks. Conclusion: These findings reveal critical gaps and reinforce the need for educational strategies to ensure safe, effective insulin self-management.\n\n\n### Neto JCGL1; Almeida SO1; Oliveira LS1; Gonçalves ABS1; de Sousa AD1; de Sá LRPF1; dos Santos LF1; Santos RS1; Damasceno MMC2\nIntroduction: Proper diabetes management requires behavioral changes and adherence to medication treatment. To achieve therapeutic goals, many patients require exogenous insulin but face challenges such as low health literacy and therapeutic inertia, often resulting in irreversible complications. Patients’ lack of technical knowledge, insufficient training of healthcare professionals, and limited access contribute to glycemic imbalance and reduced life expectancy. Given this scenario, it is essential to understand whether people using insulin are administering it correctly. Objective: To evaluate the self-management of insulin therapy by people with diabetes monitored in Primary Health Care. Methods: A cross-sectional study was conducted between August and December 2024 in 17 Basic Health Units in Floriano, Piauí, Brazil. Participants were individuals with diabetes aged ≥18 years, of both sexes, using insulin for at least six months, and responsible for all insulin steps (preparation, administration, disposal). Sociodemographic data were collected, and participants demonstrated the insulin therapy steps, which were recorded and evaluated according to the Brazilian Diabetes Society checklist. The study was approved by the Research Ethics Committee (protocol 6,746,565/2024). Results: Among 60 participants, mean age was 58.5 years, most were women (56.7%), married (58.3%), Black (71.7%), with up to nine years of schooling (36.7%). Type 2 diabetes predominated (71.7%), and 50% had used insulin for less than five years. Significant gaps were found in all phases of insulin therapy. In pre-preparation, checking expiration date (65%) and liquid appearance (60%) showed moderate adherence, while recording the vial start date (20%) and waiting the proper time after refrigeration (25%) were low. In preparation, although 65% performed hand antisepsis, essential steps such as antisepsis of vial seal (20%), air injection (25%), and bubble removal (31.7%) were uncommon. In administration, correct practices like slow injection (83.3%) and 90° angle (81.7%) were frequent, but site inspection (55%) and post-application counting (60%) need improvement. Only 31.7% discarded needles correctly, increasing accident risks. Conclusion: These findings reveal critical gaps and reinforce the need for educational strategies to ensure safe, effective insulin self-management.\n\n\n### (1) Universidade Federal do Piauí, Floriano, PI, Brasil; (2) Universidade Federal do Ceará, Fortaleza, CE, Brasil\nIntroduction: Proper diabetes management requires behavioral changes and adherence to medication treatment. To achieve therapeutic goals, many patients require exogenous insulin but face challenges such as low health literacy and therapeutic inertia, often resulting in irreversible complications. Patients’ lack of technical knowledge, insufficient training of healthcare professionals, and limited access contribute to glycemic imbalance and reduced life expectancy. Given this scenario, it is essential to understand whether people using insulin are administering it correctly. Objective: To evaluate the self-management of insulin therapy by people with diabetes monitored in Primary Health Care. Methods: A cross-sectional study was conducted between August and December 2024 in 17 Basic Health Units in Floriano, Piauí, Brazil. Participants were individuals with diabetes aged ≥18 years, of both sexes, using insulin for at least six months, and responsible for all insulin steps (preparation, administration, disposal). Sociodemographic data were collected, and participants demonstrated the insulin therapy steps, which were recorded and evaluated according to the Brazilian Diabetes Society checklist. The study was approved by the Research Ethics Committee (protocol 6,746,565/2024). Results: Among 60 participants, mean age was 58.5 years, most were women (56.7%), married (58.3%), Black (71.7%), with up to nine years of schooling (36.7%). Type 2 diabetes predominated (71.7%), and 50% had used insulin for less than five years. Significant gaps were found in all phases of insulin therapy. In pre-preparation, checking expiration date (65%) and liquid appearance (60%) showed moderate adherence, while recording the vial start date (20%) and waiting the proper time after refrigeration (25%) were low. In preparation, although 65% performed hand antisepsis, essential steps such as antisepsis of vial seal (20%), air injection (25%), and bubble removal (31.7%) were uncommon. In administration, correct practices like slow injection (83.3%) and 90° angle (81.7%) were frequent, but site inspection (55%) and post-application counting (60%) need improvement. Only 31.7% discarded needles correctly, increasing accident risks. Conclusion: These findings reveal critical gaps and reinforce the need for educational strategies to ensure safe, effective insulin self-management.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—108\nIntroduction: Proper diabetes management requires behavioral changes and adherence to medication treatment. To achieve therapeutic goals, many patients require exogenous insulin but face challenges such as low health literacy and therapeutic inertia, often resulting in irreversible complications. Patients’ lack of technical knowledge, insufficient training of healthcare professionals, and limited access contribute to glycemic imbalance and reduced life expectancy. Given this scenario, it is essential to understand whether people using insulin are administering it correctly. Objective: To evaluate the self-management of insulin therapy by people with diabetes monitored in Primary Health Care. Methods: A cross-sectional study was conducted between August and December 2024 in 17 Basic Health Units in Floriano, Piauí, Brazil. Participants were individuals with diabetes aged ≥18 years, of both sexes, using insulin for at least six months, and responsible for all insulin steps (preparation, administration, disposal). Sociodemographic data were collected, and participants demonstrated the insulin therapy steps, which were recorded and evaluated according to the Brazilian Diabetes Society checklist. The study was approved by the Research Ethics Committee (protocol 6,746,565/2024). Results: Among 60 participants, mean age was 58.5 years, most were women (56.7%), married (58.3%), Black (71.7%), with up to nine years of schooling (36.7%). Type 2 diabetes predominated (71.7%), and 50% had used insulin for less than five years. Significant gaps were found in all phases of insulin therapy. In pre-preparation, checking expiration date (65%) and liquid appearance (60%) showed moderate adherence, while recording the vial start date (20%) and waiting the proper time after refrigeration (25%) were low. In preparation, although 65% performed hand antisepsis, essential steps such as antisepsis of vial seal (20%), air injection (25%), and bubble removal (31.7%) were uncommon. In administration, correct practices like slow injection (83.3%) and 90° angle (81.7%) were frequent, but site inspection (55%) and post-application counting (60%) need improvement. Only 31.7% discarded needles correctly, increasing accident risks. Conclusion: These findings reveal critical gaps and reinforce the need for educational strategies to ensure safe, effective insulin self-management.\n\n\n### PO—109 Association Between Continuous Cash Benefit Coverage and Hospital Admissions for Diabetes Mellitus in Brazil: An Ecological Study (2007–2024)\nIntroduction: The Continuous Cash Benefit (BPC), established by the Organic Law of Social Assistance (LOAS), guarantees a monthly minimum wage to older adults aged 65 or over, or to individuals with disabilities of any age. To be eligible for this benefit, the per capita household income must be equal to or less than one-quarter of the minimum wage. This study examines the association between BPC coverage and hospital admissions due to diabetes mellitus (DM) in Brazil. Objective: To investigate the association between Continuous Cash Benefit (BPC) coverage and hospitalization rates for diabetes mellitus in Brazil from 2007 to 2024. Methods: This ecological, cross-sectional study used secondary data extracted in March 2025. The study covered the entire Brazilian territory, with a population of 212.6 million inhabitants. Data sources included the Atlas of Human Development in Brazil and the Hospital Information System (SIH) of the Department of Informatics of the Unified Health System (DATASUS). Hospitalizations due to diabetes mellitus were identified using ICD-10 codes E10 to E14: type 1 DM, type 2 DM, malnutrition-related DM, other specific types, and unspecified DM. Hospitalization rates were calculated by dividing the number of DM-related hospital admissions in each federative unit and year by the corresponding population, multiplied by 100,000 inhabitants. Population data were obtained from DATASUS. Data processing was performed using Microsoft Excel. Spatial autocorrelation (Global Moran’s I) and hotspot analysis (Getis-Ord Gi) were conducted using GeoDa software. Regression analysis was performed in R using the spdep package. A Generalized Linear Model (GLM) was used to assess the association between BPC coverage and hospitalization rates. Results: A total of 2,327,162 hospital admissions for DM were recorded in Brazil between 2007 and 2024, corresponding to a rate of 63.87 admissions per 100,000 inhabitants. In the bivariate GLM analysis, BPC coverage was significantly associated with hospitalization rates for diabetes mellitus (p = 0.01). Conclusion: The analysis revealed a statistically significant association between BPC coverage and DM-related hospital admissions. These findings suggest that social protection mechanisms, such as the BPC, may influence healthcare utilization patterns among vulnerable populations.\n\n\n### Fabricio SEP1; Garces TS1; Damasceno LLV1; Marques SJS1; Cestari VRF1; Florêncio RS1; Flor AC1; de Araújo AL2; Moreira TMM1\nIntroduction: The Continuous Cash Benefit (BPC), established by the Organic Law of Social Assistance (LOAS), guarantees a monthly minimum wage to older adults aged 65 or over, or to individuals with disabilities of any age. To be eligible for this benefit, the per capita household income must be equal to or less than one-quarter of the minimum wage. This study examines the association between BPC coverage and hospital admissions due to diabetes mellitus (DM) in Brazil. Objective: To investigate the association between Continuous Cash Benefit (BPC) coverage and hospitalization rates for diabetes mellitus in Brazil from 2007 to 2024. Methods: This ecological, cross-sectional study used secondary data extracted in March 2025. The study covered the entire Brazilian territory, with a population of 212.6 million inhabitants. Data sources included the Atlas of Human Development in Brazil and the Hospital Information System (SIH) of the Department of Informatics of the Unified Health System (DATASUS). Hospitalizations due to diabetes mellitus were identified using ICD-10 codes E10 to E14: type 1 DM, type 2 DM, malnutrition-related DM, other specific types, and unspecified DM. Hospitalization rates were calculated by dividing the number of DM-related hospital admissions in each federative unit and year by the corresponding population, multiplied by 100,000 inhabitants. Population data were obtained from DATASUS. Data processing was performed using Microsoft Excel. Spatial autocorrelation (Global Moran’s I) and hotspot analysis (Getis-Ord Gi) were conducted using GeoDa software. Regression analysis was performed in R using the spdep package. A Generalized Linear Model (GLM) was used to assess the association between BPC coverage and hospitalization rates. Results: A total of 2,327,162 hospital admissions for DM were recorded in Brazil between 2007 and 2024, corresponding to a rate of 63.87 admissions per 100,000 inhabitants. In the bivariate GLM analysis, BPC coverage was significantly associated with hospitalization rates for diabetes mellitus (p = 0.01). Conclusion: The analysis revealed a statistically significant association between BPC coverage and DM-related hospital admissions. These findings suggest that social protection mechanisms, such as the BPC, may influence healthcare utilization patterns among vulnerable populations.\n\n\n### (1) Universidade Estadual do Ceará, Fortaleza, CE, Brasil; (2) Universidade Regional do Cariri, Cariri, CE, Brasil\nIntroduction: The Continuous Cash Benefit (BPC), established by the Organic Law of Social Assistance (LOAS), guarantees a monthly minimum wage to older adults aged 65 or over, or to individuals with disabilities of any age. To be eligible for this benefit, the per capita household income must be equal to or less than one-quarter of the minimum wage. This study examines the association between BPC coverage and hospital admissions due to diabetes mellitus (DM) in Brazil. Objective: To investigate the association between Continuous Cash Benefit (BPC) coverage and hospitalization rates for diabetes mellitus in Brazil from 2007 to 2024. Methods: This ecological, cross-sectional study used secondary data extracted in March 2025. The study covered the entire Brazilian territory, with a population of 212.6 million inhabitants. Data sources included the Atlas of Human Development in Brazil and the Hospital Information System (SIH) of the Department of Informatics of the Unified Health System (DATASUS). Hospitalizations due to diabetes mellitus were identified using ICD-10 codes E10 to E14: type 1 DM, type 2 DM, malnutrition-related DM, other specific types, and unspecified DM. Hospitalization rates were calculated by dividing the number of DM-related hospital admissions in each federative unit and year by the corresponding population, multiplied by 100,000 inhabitants. Population data were obtained from DATASUS. Data processing was performed using Microsoft Excel. Spatial autocorrelation (Global Moran’s I) and hotspot analysis (Getis-Ord Gi) were conducted using GeoDa software. Regression analysis was performed in R using the spdep package. A Generalized Linear Model (GLM) was used to assess the association between BPC coverage and hospitalization rates. Results: A total of 2,327,162 hospital admissions for DM were recorded in Brazil between 2007 and 2024, corresponding to a rate of 63.87 admissions per 100,000 inhabitants. In the bivariate GLM analysis, BPC coverage was significantly associated with hospitalization rates for diabetes mellitus (p = 0.01). Conclusion: The analysis revealed a statistically significant association between BPC coverage and DM-related hospital admissions. These findings suggest that social protection mechanisms, such as the BPC, may influence healthcare utilization patterns among vulnerable populations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—109\nIntroduction: The Continuous Cash Benefit (BPC), established by the Organic Law of Social Assistance (LOAS), guarantees a monthly minimum wage to older adults aged 65 or over, or to individuals with disabilities of any age. To be eligible for this benefit, the per capita household income must be equal to or less than one-quarter of the minimum wage. This study examines the association between BPC coverage and hospital admissions due to diabetes mellitus (DM) in Brazil. Objective: To investigate the association between Continuous Cash Benefit (BPC) coverage and hospitalization rates for diabetes mellitus in Brazil from 2007 to 2024. Methods: This ecological, cross-sectional study used secondary data extracted in March 2025. The study covered the entire Brazilian territory, with a population of 212.6 million inhabitants. Data sources included the Atlas of Human Development in Brazil and the Hospital Information System (SIH) of the Department of Informatics of the Unified Health System (DATASUS). Hospitalizations due to diabetes mellitus were identified using ICD-10 codes E10 to E14: type 1 DM, type 2 DM, malnutrition-related DM, other specific types, and unspecified DM. Hospitalization rates were calculated by dividing the number of DM-related hospital admissions in each federative unit and year by the corresponding population, multiplied by 100,000 inhabitants. Population data were obtained from DATASUS. Data processing was performed using Microsoft Excel. Spatial autocorrelation (Global Moran’s I) and hotspot analysis (Getis-Ord Gi) were conducted using GeoDa software. Regression analysis was performed in R using the spdep package. A Generalized Linear Model (GLM) was used to assess the association between BPC coverage and hospitalization rates. Results: A total of 2,327,162 hospital admissions for DM were recorded in Brazil between 2007 and 2024, corresponding to a rate of 63.87 admissions per 100,000 inhabitants. In the bivariate GLM analysis, BPC coverage was significantly associated with hospitalization rates for diabetes mellitus (p = 0.01). Conclusion: The analysis revealed a statistically significant association between BPC coverage and DM-related hospital admissions. These findings suggest that social protection mechanisms, such as the BPC, may influence healthcare utilization patterns among vulnerable populations.\n\n\n### PO—110 Association Between Delivery Type, Birth Order, and Stressful Events on the Onset of Type 1 Diabetes in a Brazilian Cohort\nIntroduction: The contribution of environmental factors to the development of type 1 diabetes (T1D) is still uncertain. Perinatal factors, including delivery type, birth order, and exposure to stressful events, may influence this process. However, evidence in the Brazilian population is still scarce. Objective: To investigate the association between delivery type, birth order, and stressful events preceding symptom onset in a Brazilian outpatient population with T1D. Methods: Descriptive, cross-sectional study based on interviews with patients with T1D from a tertiary center. Data included delivery type (vaginal or cesarean), birth order (considering siblings from the same mother), stressful events immediately prior to symptom onset, and family history of diabetes or autoimmune diseases. Results: Among 250 respondents, 30% (76/248) were second-born, 25% (61/248) first-born, 16% (39/248) only children, and 13% (33/248) third-born. Of 242 patients, 55% were delivered by cesarean section and 45% by vaginal birth. Stressful events preceding symptom onset were reported by 38% (93/245), including intense emotional distress (55%), infection (30%), and other events (14%). Family history analysis showed that 73 (29.2%) participants had a relative with T1DM (including 22 siblings), 165 (66%) had relatives with type 2 diabetes, and 32 (12.8%) reported autoimmune diseases in the family. Conclusion: In this cohort, second-born children were more frequently affected, contrasting with literature suggesting higher risk among first-borns. The higher frequency of cesarean deliveries aligns with prior studies linking this factor to T1DM risk. Although not present in most cases, stressful events were reported by over one-third of patients and may act as triggers in genetically predisposed individuals. These findings reinforce the multifactorial nature of T1DM and the need for further studies in diverse populations to clarify environmental and genetic interactions in disease pathogenesis.\n\n\n### Costa AH1; de Sena MCR1; Montalvão BS1; Dantas JR1; Zajdenverg L1; Rodacki M1\nIntroduction: The contribution of environmental factors to the development of type 1 diabetes (T1D) is still uncertain. Perinatal factors, including delivery type, birth order, and exposure to stressful events, may influence this process. However, evidence in the Brazilian population is still scarce. Objective: To investigate the association between delivery type, birth order, and stressful events preceding symptom onset in a Brazilian outpatient population with T1D. Methods: Descriptive, cross-sectional study based on interviews with patients with T1D from a tertiary center. Data included delivery type (vaginal or cesarean), birth order (considering siblings from the same mother), stressful events immediately prior to symptom onset, and family history of diabetes or autoimmune diseases. Results: Among 250 respondents, 30% (76/248) were second-born, 25% (61/248) first-born, 16% (39/248) only children, and 13% (33/248) third-born. Of 242 patients, 55% were delivered by cesarean section and 45% by vaginal birth. Stressful events preceding symptom onset were reported by 38% (93/245), including intense emotional distress (55%), infection (30%), and other events (14%). Family history analysis showed that 73 (29.2%) participants had a relative with T1DM (including 22 siblings), 165 (66%) had relatives with type 2 diabetes, and 32 (12.8%) reported autoimmune diseases in the family. Conclusion: In this cohort, second-born children were more frequently affected, contrasting with literature suggesting higher risk among first-borns. The higher frequency of cesarean deliveries aligns with prior studies linking this factor to T1DM risk. Although not present in most cases, stressful events were reported by over one-third of patients and may act as triggers in genetically predisposed individuals. These findings reinforce the multifactorial nature of T1DM and the need for further studies in diverse populations to clarify environmental and genetic interactions in disease pathogenesis.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: The contribution of environmental factors to the development of type 1 diabetes (T1D) is still uncertain. Perinatal factors, including delivery type, birth order, and exposure to stressful events, may influence this process. However, evidence in the Brazilian population is still scarce. Objective: To investigate the association between delivery type, birth order, and stressful events preceding symptom onset in a Brazilian outpatient population with T1D. Methods: Descriptive, cross-sectional study based on interviews with patients with T1D from a tertiary center. Data included delivery type (vaginal or cesarean), birth order (considering siblings from the same mother), stressful events immediately prior to symptom onset, and family history of diabetes or autoimmune diseases. Results: Among 250 respondents, 30% (76/248) were second-born, 25% (61/248) first-born, 16% (39/248) only children, and 13% (33/248) third-born. Of 242 patients, 55% were delivered by cesarean section and 45% by vaginal birth. Stressful events preceding symptom onset were reported by 38% (93/245), including intense emotional distress (55%), infection (30%), and other events (14%). Family history analysis showed that 73 (29.2%) participants had a relative with T1DM (including 22 siblings), 165 (66%) had relatives with type 2 diabetes, and 32 (12.8%) reported autoimmune diseases in the family. Conclusion: In this cohort, second-born children were more frequently affected, contrasting with literature suggesting higher risk among first-borns. The higher frequency of cesarean deliveries aligns with prior studies linking this factor to T1DM risk. Although not present in most cases, stressful events were reported by over one-third of patients and may act as triggers in genetically predisposed individuals. These findings reinforce the multifactorial nature of T1DM and the need for further studies in diverse populations to clarify environmental and genetic interactions in disease pathogenesis.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—110\nIntroduction: The contribution of environmental factors to the development of type 1 diabetes (T1D) is still uncertain. Perinatal factors, including delivery type, birth order, and exposure to stressful events, may influence this process. However, evidence in the Brazilian population is still scarce. Objective: To investigate the association between delivery type, birth order, and stressful events preceding symptom onset in a Brazilian outpatient population with T1D. Methods: Descriptive, cross-sectional study based on interviews with patients with T1D from a tertiary center. Data included delivery type (vaginal or cesarean), birth order (considering siblings from the same mother), stressful events immediately prior to symptom onset, and family history of diabetes or autoimmune diseases. Results: Among 250 respondents, 30% (76/248) were second-born, 25% (61/248) first-born, 16% (39/248) only children, and 13% (33/248) third-born. Of 242 patients, 55% were delivered by cesarean section and 45% by vaginal birth. Stressful events preceding symptom onset were reported by 38% (93/245), including intense emotional distress (55%), infection (30%), and other events (14%). Family history analysis showed that 73 (29.2%) participants had a relative with T1DM (including 22 siblings), 165 (66%) had relatives with type 2 diabetes, and 32 (12.8%) reported autoimmune diseases in the family. Conclusion: In this cohort, second-born children were more frequently affected, contrasting with literature suggesting higher risk among first-borns. The higher frequency of cesarean deliveries aligns with prior studies linking this factor to T1DM risk. Although not present in most cases, stressful events were reported by over one-third of patients and may act as triggers in genetically predisposed individuals. These findings reinforce the multifactorial nature of T1DM and the need for further studies in diverse populations to clarify environmental and genetic interactions in disease pathogenesis.\n\n\n### PO—111 Association Between HLA Alleles and Haplotypes in an Admixed Population of Brazilian individuals with Type 1 Diabetes with Other Autoimmune Disease: A Brazilian Multicenter Study\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease (AID) frequently associated with other AIDs, particularly thyroid diseases (AITD), that affect almost 25% of individuals with T1D. The histocompatibility leukocyte antigen (HLA) system that accounts for about 50% of genetic predisposition to T1D, mainly related to class II molecules, is the common genetic axis for the coexistence of AIDs. Objective: This study aimed to investigate the association of T1D with other AIDs, class II HLA alleles/haplotypes, self-reported color/race, and genomic ancestry (GA) in the Brazilian Type 1 Diabetes Study Group (BrazDiab1SG). Methods: This retrospective and cross-sectional study included 1,607 individuals with T1D, enrolled between August 2011/August 2015. AIDs diagnoses were retrieved from medical records. African, European, and Native Amerindian GAs were estimated using a panel of 46 AIM-INDEL markers. Class II HLA alleles (HLA-DRB1*, HLA-DQA1*, and HLA-DQB1*) were genotyped by PCR-RSSO (high-resolution LABType, One Lambda Inc., West Hills, USA) combined with Luminex technology while 449 (28.1%) participants underwent DNA analysis by Next Generation Sequencing (NGS.AID with hyper- or hypothyroidism were matched by sex, self-reported race/color, and geographic birth regions to T1D patients without other AID, in a 1:3 ratio, to compare HLA allele frequencies. Results: AIDs were found in 292 individuals (18.2%). The most frequent AIDs were hypothyroidism (n=32; 14.8%), hyperthyroidism (n=25; 1.6%), vitiligo (n=18; 0.6%), and rheumatoid arthritis (n=13; 0.4%). In total, 15 individuals (0.9%) had more than one AID, most often the combination of vitiligo and rheumatoid arthritis). Patients who self-reported as white, and female were more frequent among those with AIDs, respectively (181- 61.9% vs 643 - 48.9% and 188 - 60.1% vs 670 - 50.9%; p<0.001). These patients also had a higher European GA (68.0±19.9% vs 63.3±21.8; p<0.001). No differences were observed between HLA allele frequencies of T1D with hypothyroidism versus T1D. DQB1*04:02g and DQA1*04:01g were more frequent among T1D with hyperthyroidism (OR 18.7 and 9.2, respectively). HLA-DRB1*04:05g, DQA1*03:01g and DQB1*03:02g were more frequent in patients without hyperthyroidism. Conclusion: Female sex and higher European GA were associated with the occurrence of other AID in patients with T1D. In individuals with T1D and hyperthyroidism, the haplotype DQA104:01-DQB104:02 may represent a risk factor.\n\n\n### Gomes MB1; dos Santos Jr GC2; Pinheiro GRC3; Azulay RS4; Carvalho PRVB5; Silva DA6; Negrato CA7; Porto LC5\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease (AID) frequently associated with other AIDs, particularly thyroid diseases (AITD), that affect almost 25% of individuals with T1D. The histocompatibility leukocyte antigen (HLA) system that accounts for about 50% of genetic predisposition to T1D, mainly related to class II molecules, is the common genetic axis for the coexistence of AIDs. Objective: This study aimed to investigate the association of T1D with other AIDs, class II HLA alleles/haplotypes, self-reported color/race, and genomic ancestry (GA) in the Brazilian Type 1 Diabetes Study Group (BrazDiab1SG). Methods: This retrospective and cross-sectional study included 1,607 individuals with T1D, enrolled between August 2011/August 2015. AIDs diagnoses were retrieved from medical records. African, European, and Native Amerindian GAs were estimated using a panel of 46 AIM-INDEL markers. Class II HLA alleles (HLA-DRB1*, HLA-DQA1*, and HLA-DQB1*) were genotyped by PCR-RSSO (high-resolution LABType, One Lambda Inc., West Hills, USA) combined with Luminex technology while 449 (28.1%) participants underwent DNA analysis by Next Generation Sequencing (NGS.AID with hyper- or hypothyroidism were matched by sex, self-reported race/color, and geographic birth regions to T1D patients without other AID, in a 1:3 ratio, to compare HLA allele frequencies. Results: AIDs were found in 292 individuals (18.2%). The most frequent AIDs were hypothyroidism (n=32; 14.8%), hyperthyroidism (n=25; 1.6%), vitiligo (n=18; 0.6%), and rheumatoid arthritis (n=13; 0.4%). In total, 15 individuals (0.9%) had more than one AID, most often the combination of vitiligo and rheumatoid arthritis). Patients who self-reported as white, and female were more frequent among those with AIDs, respectively (181- 61.9% vs 643 - 48.9% and 188 - 60.1% vs 670 - 50.9%; p<0.001). These patients also had a higher European GA (68.0±19.9% vs 63.3±21.8; p<0.001). No differences were observed between HLA allele frequencies of T1D with hypothyroidism versus T1D. DQB1*04:02g and DQA1*04:01g were more frequent among T1D with hyperthyroidism (OR 18.7 and 9.2, respectively). HLA-DRB1*04:05g, DQA1*03:01g and DQB1*03:02g were more frequent in patients without hyperthyroidism. Conclusion: Female sex and higher European GA were associated with the occurrence of other AID in patients with T1D. In individuals with T1D and hyperthyroidism, the haplotype DQA104:01-DQB104:02 may represent a risk factor.\n\n\n### (1) Department of Internal Medicine, Diabetes Unit, State University of Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Laboratory of Metabolomics, Department of Genetics, IBRAG, Rio de Janeiro State University, Rio de Janeiro, RJ, Brasil; (3) Department of Internal Medicine, Reumathology Unit, State University of Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (4) Service of Endocrinology, University Hospital of the Federal University of Maranhão, São Luís, MA, Brasil; (5) Histocompatibility and Cryopreservation Laboratory, State University of Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (6) DNA Diagnostics Laboratory, Forensic Science Laboratory, Roberto Alcantara Gomes Biology Institute, State University of Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (7) Universidade de São Paulo, Faculdade de Medicina de Bauru, Bauru, SP, Brasil\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease (AID) frequently associated with other AIDs, particularly thyroid diseases (AITD), that affect almost 25% of individuals with T1D. The histocompatibility leukocyte antigen (HLA) system that accounts for about 50% of genetic predisposition to T1D, mainly related to class II molecules, is the common genetic axis for the coexistence of AIDs. Objective: This study aimed to investigate the association of T1D with other AIDs, class II HLA alleles/haplotypes, self-reported color/race, and genomic ancestry (GA) in the Brazilian Type 1 Diabetes Study Group (BrazDiab1SG). Methods: This retrospective and cross-sectional study included 1,607 individuals with T1D, enrolled between August 2011/August 2015. AIDs diagnoses were retrieved from medical records. African, European, and Native Amerindian GAs were estimated using a panel of 46 AIM-INDEL markers. Class II HLA alleles (HLA-DRB1*, HLA-DQA1*, and HLA-DQB1*) were genotyped by PCR-RSSO (high-resolution LABType, One Lambda Inc., West Hills, USA) combined with Luminex technology while 449 (28.1%) participants underwent DNA analysis by Next Generation Sequencing (NGS.AID with hyper- or hypothyroidism were matched by sex, self-reported race/color, and geographic birth regions to T1D patients without other AID, in a 1:3 ratio, to compare HLA allele frequencies. Results: AIDs were found in 292 individuals (18.2%). The most frequent AIDs were hypothyroidism (n=32; 14.8%), hyperthyroidism (n=25; 1.6%), vitiligo (n=18; 0.6%), and rheumatoid arthritis (n=13; 0.4%). In total, 15 individuals (0.9%) had more than one AID, most often the combination of vitiligo and rheumatoid arthritis). Patients who self-reported as white, and female were more frequent among those with AIDs, respectively (181- 61.9% vs 643 - 48.9% and 188 - 60.1% vs 670 - 50.9%; p<0.001). These patients also had a higher European GA (68.0±19.9% vs 63.3±21.8; p<0.001). No differences were observed between HLA allele frequencies of T1D with hypothyroidism versus T1D. DQB1*04:02g and DQA1*04:01g were more frequent among T1D with hyperthyroidism (OR 18.7 and 9.2, respectively). HLA-DRB1*04:05g, DQA1*03:01g and DQB1*03:02g were more frequent in patients without hyperthyroidism. Conclusion: Female sex and higher European GA were associated with the occurrence of other AID in patients with T1D. In individuals with T1D and hyperthyroidism, the haplotype DQA104:01-DQB104:02 may represent a risk factor.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—111\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease (AID) frequently associated with other AIDs, particularly thyroid diseases (AITD), that affect almost 25% of individuals with T1D. The histocompatibility leukocyte antigen (HLA) system that accounts for about 50% of genetic predisposition to T1D, mainly related to class II molecules, is the common genetic axis for the coexistence of AIDs. Objective: This study aimed to investigate the association of T1D with other AIDs, class II HLA alleles/haplotypes, self-reported color/race, and genomic ancestry (GA) in the Brazilian Type 1 Diabetes Study Group (BrazDiab1SG). Methods: This retrospective and cross-sectional study included 1,607 individuals with T1D, enrolled between August 2011/August 2015. AIDs diagnoses were retrieved from medical records. African, European, and Native Amerindian GAs were estimated using a panel of 46 AIM-INDEL markers. Class II HLA alleles (HLA-DRB1*, HLA-DQA1*, and HLA-DQB1*) were genotyped by PCR-RSSO (high-resolution LABType, One Lambda Inc., West Hills, USA) combined with Luminex technology while 449 (28.1%) participants underwent DNA analysis by Next Generation Sequencing (NGS.AID with hyper- or hypothyroidism were matched by sex, self-reported race/color, and geographic birth regions to T1D patients without other AID, in a 1:3 ratio, to compare HLA allele frequencies. Results: AIDs were found in 292 individuals (18.2%). The most frequent AIDs were hypothyroidism (n=32; 14.8%), hyperthyroidism (n=25; 1.6%), vitiligo (n=18; 0.6%), and rheumatoid arthritis (n=13; 0.4%). In total, 15 individuals (0.9%) had more than one AID, most often the combination of vitiligo and rheumatoid arthritis). Patients who self-reported as white, and female were more frequent among those with AIDs, respectively (181- 61.9% vs 643 - 48.9% and 188 - 60.1% vs 670 - 50.9%; p<0.001). These patients also had a higher European GA (68.0±19.9% vs 63.3±21.8; p<0.001). No differences were observed between HLA allele frequencies of T1D with hypothyroidism versus T1D. DQB1*04:02g and DQA1*04:01g were more frequent among T1D with hyperthyroidism (OR 18.7 and 9.2, respectively). HLA-DRB1*04:05g, DQA1*03:01g and DQB1*03:02g were more frequent in patients without hyperthyroidism. Conclusion: Female sex and higher European GA were associated with the occurrence of other AID in patients with T1D. In individuals with T1D and hyperthyroidism, the haplotype DQA104:01-DQB104:02 may represent a risk factor.\n\n\n### PO—112 Association Between rs1337791, rs7211, rs6610650 and rs476141 SNVs and Susceptibility of T1 Diabetes Mellitus in the Brazilian Population\nIntroduction: Type 1 Diabetes mellitus (T1DM) is an autoimmune disease characterized by pancreatic beta-cell destruction and lifelong dependence on exogenous insulin. Most knowledge of T1DM etiology derives from studies conducted in Non-Hispanic White (NHW) populations. However, Brazil—home to over 100,000 young individuals with T1DM—presents a high-burden and genetically admixed population, in which traditional risk loci may not fully explain disease susceptibility. This highlights the need for population-specific genetic studies. Objective: To investigate the association between selected single-nucleotide variants (SNVs) and the risk of T1DM in a Brazilian population. Methods: We conducted a case-control study including 1,625 individuals with T1DM and 1,154 healthy controls from Brazil. A total of 46 SNVs were genotyped using multiplex fluorescent PCR and tested for association with T1DM risk. Logistic regression models were adjusted for covariates and multiple testing. Results: Significant associations were found for several SNVs. TXNIP rs7211 showed a strong risk association for genotype AA (AA vs. GG: OR = 22.27, 95% CI = 15.84–31.14, adjusted P = 2.84×10⁻⁷2) and AG (AG vs. GG: OR = 1.87, 95% CI = 1.57–2.24, P = 5.25×10⁻12). CYBB promoter SNV rs6610650 GA genotype was protective (GA vs. G: OR = 0.52, 95% CI = 0.42–0.65, P = 1.43×10⁻⁸). LRP6 rs1337791 was associated with increased risk for AA (AA vs. GG: OR = 9.61, 95% CI = 7.34–11.98, P = 5.59×10⁻⁶5) and AG (AG vs. GG: OR = 1.80, 95% CI = 1.49–2.14, P = 2.22×10⁻11). In contrast, the long non-coding RNA SNV LOC339529 rs476141 conferred protection for GT (GT vs. GG: OR = 0.21, 95% CI = 0.18–0.26, P = 5.82×10⁻⁶4) and TT genotypes (TT vs. GG: OR = 0.17, 95% CI = 0.14–0.22, P = 2.25×10⁻41). Conclusion: Our findings suggest that SNVs previously implicated in diabetic complications—such as neuropathy (rs1337791), retinopathy (rs7211), and nephropathy (rs6610650 and rs476141)—are also associated with T1DM susceptibility in the Brazilian population. These results offer novel insights into the genetic architecture of T1DM in admixed populations and reinforce the need for ancestry-informed analyses in future studies.\n\n\n### de Souza BJ1; da Silva DA2; Porto LC3; dos Santos GC4; Canani LH5; Corrêa-Gianella MLC6; Gomes MB7\nIntroduction: Type 1 Diabetes mellitus (T1DM) is an autoimmune disease characterized by pancreatic beta-cell destruction and lifelong dependence on exogenous insulin. Most knowledge of T1DM etiology derives from studies conducted in Non-Hispanic White (NHW) populations. However, Brazil—home to over 100,000 young individuals with T1DM—presents a high-burden and genetically admixed population, in which traditional risk loci may not fully explain disease susceptibility. This highlights the need for population-specific genetic studies. Objective: To investigate the association between selected single-nucleotide variants (SNVs) and the risk of T1DM in a Brazilian population. Methods: We conducted a case-control study including 1,625 individuals with T1DM and 1,154 healthy controls from Brazil. A total of 46 SNVs were genotyped using multiplex fluorescent PCR and tested for association with T1DM risk. Logistic regression models were adjusted for covariates and multiple testing. Results: Significant associations were found for several SNVs. TXNIP rs7211 showed a strong risk association for genotype AA (AA vs. GG: OR = 22.27, 95% CI = 15.84–31.14, adjusted P = 2.84×10⁻⁷2) and AG (AG vs. GG: OR = 1.87, 95% CI = 1.57–2.24, P = 5.25×10⁻12). CYBB promoter SNV rs6610650 GA genotype was protective (GA vs. G: OR = 0.52, 95% CI = 0.42–0.65, P = 1.43×10⁻⁸). LRP6 rs1337791 was associated with increased risk for AA (AA vs. GG: OR = 9.61, 95% CI = 7.34–11.98, P = 5.59×10⁻⁶5) and AG (AG vs. GG: OR = 1.80, 95% CI = 1.49–2.14, P = 2.22×10⁻11). In contrast, the long non-coding RNA SNV LOC339529 rs476141 conferred protection for GT (GT vs. GG: OR = 0.21, 95% CI = 0.18–0.26, P = 5.82×10⁻⁶4) and TT genotypes (TT vs. GG: OR = 0.17, 95% CI = 0.14–0.22, P = 2.25×10⁻41). Conclusion: Our findings suggest that SNVs previously implicated in diabetic complications—such as neuropathy (rs1337791), retinopathy (rs7211), and nephropathy (rs6610650 and rs476141)—are also associated with T1DM susceptibility in the Brazilian population. These results offer novel insights into the genetic architecture of T1DM in admixed populations and reinforce the need for ancestry-informed analyses in future studies.\n\n\n### (1) Laboratório de Bioinformática Aplicada à Saúde, Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Laboratório de Diagnóstico de DNA, Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (3) Laboratório de Histocompatibilidade e Criopreservação, Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (4) Laboratório de Metabolômica, Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (5) Serviço de Endocrinologia, Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil; (6) Laboratório de Carboidratos e Radioimunoensaio, Universidade de São Paulo, São Paulo, SP, Brasil; (7) Departamento de medicina Interna, Universidade do Estado do de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Type 1 Diabetes mellitus (T1DM) is an autoimmune disease characterized by pancreatic beta-cell destruction and lifelong dependence on exogenous insulin. Most knowledge of T1DM etiology derives from studies conducted in Non-Hispanic White (NHW) populations. However, Brazil—home to over 100,000 young individuals with T1DM—presents a high-burden and genetically admixed population, in which traditional risk loci may not fully explain disease susceptibility. This highlights the need for population-specific genetic studies. Objective: To investigate the association between selected single-nucleotide variants (SNVs) and the risk of T1DM in a Brazilian population. Methods: We conducted a case-control study including 1,625 individuals with T1DM and 1,154 healthy controls from Brazil. A total of 46 SNVs were genotyped using multiplex fluorescent PCR and tested for association with T1DM risk. Logistic regression models were adjusted for covariates and multiple testing. Results: Significant associations were found for several SNVs. TXNIP rs7211 showed a strong risk association for genotype AA (AA vs. GG: OR = 22.27, 95% CI = 15.84–31.14, adjusted P = 2.84×10⁻⁷2) and AG (AG vs. GG: OR = 1.87, 95% CI = 1.57–2.24, P = 5.25×10⁻12). CYBB promoter SNV rs6610650 GA genotype was protective (GA vs. G: OR = 0.52, 95% CI = 0.42–0.65, P = 1.43×10⁻⁸). LRP6 rs1337791 was associated with increased risk for AA (AA vs. GG: OR = 9.61, 95% CI = 7.34–11.98, P = 5.59×10⁻⁶5) and AG (AG vs. GG: OR = 1.80, 95% CI = 1.49–2.14, P = 2.22×10⁻11). In contrast, the long non-coding RNA SNV LOC339529 rs476141 conferred protection for GT (GT vs. GG: OR = 0.21, 95% CI = 0.18–0.26, P = 5.82×10⁻⁶4) and TT genotypes (TT vs. GG: OR = 0.17, 95% CI = 0.14–0.22, P = 2.25×10⁻41). Conclusion: Our findings suggest that SNVs previously implicated in diabetic complications—such as neuropathy (rs1337791), retinopathy (rs7211), and nephropathy (rs6610650 and rs476141)—are also associated with T1DM susceptibility in the Brazilian population. These results offer novel insights into the genetic architecture of T1DM in admixed populations and reinforce the need for ancestry-informed analyses in future studies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—112\nIntroduction: Type 1 Diabetes mellitus (T1DM) is an autoimmune disease characterized by pancreatic beta-cell destruction and lifelong dependence on exogenous insulin. Most knowledge of T1DM etiology derives from studies conducted in Non-Hispanic White (NHW) populations. However, Brazil—home to over 100,000 young individuals with T1DM—presents a high-burden and genetically admixed population, in which traditional risk loci may not fully explain disease susceptibility. This highlights the need for population-specific genetic studies. Objective: To investigate the association between selected single-nucleotide variants (SNVs) and the risk of T1DM in a Brazilian population. Methods: We conducted a case-control study including 1,625 individuals with T1DM and 1,154 healthy controls from Brazil. A total of 46 SNVs were genotyped using multiplex fluorescent PCR and tested for association with T1DM risk. Logistic regression models were adjusted for covariates and multiple testing. Results: Significant associations were found for several SNVs. TXNIP rs7211 showed a strong risk association for genotype AA (AA vs. GG: OR = 22.27, 95% CI = 15.84–31.14, adjusted P = 2.84×10⁻⁷2) and AG (AG vs. GG: OR = 1.87, 95% CI = 1.57–2.24, P = 5.25×10⁻12). CYBB promoter SNV rs6610650 GA genotype was protective (GA vs. G: OR = 0.52, 95% CI = 0.42–0.65, P = 1.43×10⁻⁸). LRP6 rs1337791 was associated with increased risk for AA (AA vs. GG: OR = 9.61, 95% CI = 7.34–11.98, P = 5.59×10⁻⁶5) and AG (AG vs. GG: OR = 1.80, 95% CI = 1.49–2.14, P = 2.22×10⁻11). In contrast, the long non-coding RNA SNV LOC339529 rs476141 conferred protection for GT (GT vs. GG: OR = 0.21, 95% CI = 0.18–0.26, P = 5.82×10⁻⁶4) and TT genotypes (TT vs. GG: OR = 0.17, 95% CI = 0.14–0.22, P = 2.25×10⁻41). Conclusion: Our findings suggest that SNVs previously implicated in diabetic complications—such as neuropathy (rs1337791), retinopathy (rs7211), and nephropathy (rs6610650 and rs476141)—are also associated with T1DM susceptibility in the Brazilian population. These results offer novel insights into the genetic architecture of T1DM in admixed populations and reinforce the need for ancestry-informed analyses in future studies.\n\n\n### PO—113 Beyond Time in Range: a Real-World Glycemic Outcomes with The Minimed™ 780g System in Brazil, Insights from a Single-Center Experience\nIntroduction: Automated insulin delivery (AID) systems have transformed glycemic management in type 1 diabetes (T1D), achieving levels of control previously difficult with conventional therapies. Alongside these advances, new metrics have emerged to better capture overall glycemic quality. The Glycemic Risk Index (GRI) integrates hyperglycemia (Time Above Range) and hypoglycemia (Time Below Range) into a single score. Objective: To evaluate glycemic outcomes, including the GRI, in a Brazilian T1D population using the MiniMed™ 780G system in real-world clinical practice. Methods: We performed a retrospective analysis of CareLink™ data from individuals with T1D using the MiniMed™ 780G advanced hybrid closed-loop system at a private center in Rio de Janeiro, Brazil. Data were collected between November 2023 and August 2025. From 161 available records, we selected those with ≥70% of sensor wear during a 14-day period. A total of 128 records met inclusion criteria and were analyzed. Results: Mean time in range (TIR 70-180 mg/dL) was 73.8% ± 8.4%, with mean glucose of 150.1 mg/dL ± 14.1. Time <70 mg/dL averaged 1.5% ± 1.4% and <54 mg/dL, 0.3% ± 0.5%. Time 180 - 240mg/dL was 18.4% ± 6.3% and >240 mg/dL, 5.9% ± 3.8%. Mean GMI was 6.89% ± 0.3% and coefficient of variation 32.9% ± 4.4%. The mean GRI was 28.3 ± 9.0, with hypoglycemia component of 1.5 ± 1.5. Conclusion: The MiniMed™ 780G system enabled good metabolic control with minimal hypoglycemia burden in this real-world Brazilian cohort. The GRI proved to be a useful complementary parameter to capture overall glycemic quality, emphasizing that residual risk remains mainly related to hyperglycemia. These findings support the clinical utility of AID systems in routine care and reinforce the potential of GRI as an additional tool for individualized treatment assessment in T1D.\n\n\n### Alves STF1; Montalvão BS1; Vianna RGP2; Alves JPSF1; Alves MEF1; de Freitas FV1\nIntroduction: Automated insulin delivery (AID) systems have transformed glycemic management in type 1 diabetes (T1D), achieving levels of control previously difficult with conventional therapies. Alongside these advances, new metrics have emerged to better capture overall glycemic quality. The Glycemic Risk Index (GRI) integrates hyperglycemia (Time Above Range) and hypoglycemia (Time Below Range) into a single score. Objective: To evaluate glycemic outcomes, including the GRI, in a Brazilian T1D population using the MiniMed™ 780G system in real-world clinical practice. Methods: We performed a retrospective analysis of CareLink™ data from individuals with T1D using the MiniMed™ 780G advanced hybrid closed-loop system at a private center in Rio de Janeiro, Brazil. Data were collected between November 2023 and August 2025. From 161 available records, we selected those with ≥70% of sensor wear during a 14-day period. A total of 128 records met inclusion criteria and were analyzed. Results: Mean time in range (TIR 70-180 mg/dL) was 73.8% ± 8.4%, with mean glucose of 150.1 mg/dL ± 14.1. Time <70 mg/dL averaged 1.5% ± 1.4% and <54 mg/dL, 0.3% ± 0.5%. Time 180 - 240mg/dL was 18.4% ± 6.3% and >240 mg/dL, 5.9% ± 3.8%. Mean GMI was 6.89% ± 0.3% and coefficient of variation 32.9% ± 4.4%. The mean GRI was 28.3 ± 9.0, with hypoglycemia component of 1.5 ± 1.5. Conclusion: The MiniMed™ 780G system enabled good metabolic control with minimal hypoglycemia burden in this real-world Brazilian cohort. The GRI proved to be a useful complementary parameter to capture overall glycemic quality, emphasizing that residual risk remains mainly related to hyperglycemia. These findings support the clinical utility of AID systems in routine care and reinforce the potential of GRI as an additional tool for individualized treatment assessment in T1D.\n\n\n### (1) Clínica Solange Travassos, Rio de Janeiro, RJ, Brasil; (2) Faculdade de Ciências Exatas e Tecnologia, PUC-São Paulo, SP, Brasil\nIntroduction: Automated insulin delivery (AID) systems have transformed glycemic management in type 1 diabetes (T1D), achieving levels of control previously difficult with conventional therapies. Alongside these advances, new metrics have emerged to better capture overall glycemic quality. The Glycemic Risk Index (GRI) integrates hyperglycemia (Time Above Range) and hypoglycemia (Time Below Range) into a single score. Objective: To evaluate glycemic outcomes, including the GRI, in a Brazilian T1D population using the MiniMed™ 780G system in real-world clinical practice. Methods: We performed a retrospective analysis of CareLink™ data from individuals with T1D using the MiniMed™ 780G advanced hybrid closed-loop system at a private center in Rio de Janeiro, Brazil. Data were collected between November 2023 and August 2025. From 161 available records, we selected those with ≥70% of sensor wear during a 14-day period. A total of 128 records met inclusion criteria and were analyzed. Results: Mean time in range (TIR 70-180 mg/dL) was 73.8% ± 8.4%, with mean glucose of 150.1 mg/dL ± 14.1. Time <70 mg/dL averaged 1.5% ± 1.4% and <54 mg/dL, 0.3% ± 0.5%. Time 180 - 240mg/dL was 18.4% ± 6.3% and >240 mg/dL, 5.9% ± 3.8%. Mean GMI was 6.89% ± 0.3% and coefficient of variation 32.9% ± 4.4%. The mean GRI was 28.3 ± 9.0, with hypoglycemia component of 1.5 ± 1.5. Conclusion: The MiniMed™ 780G system enabled good metabolic control with minimal hypoglycemia burden in this real-world Brazilian cohort. The GRI proved to be a useful complementary parameter to capture overall glycemic quality, emphasizing that residual risk remains mainly related to hyperglycemia. These findings support the clinical utility of AID systems in routine care and reinforce the potential of GRI as an additional tool for individualized treatment assessment in T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—113\nIntroduction: Automated insulin delivery (AID) systems have transformed glycemic management in type 1 diabetes (T1D), achieving levels of control previously difficult with conventional therapies. Alongside these advances, new metrics have emerged to better capture overall glycemic quality. The Glycemic Risk Index (GRI) integrates hyperglycemia (Time Above Range) and hypoglycemia (Time Below Range) into a single score. Objective: To evaluate glycemic outcomes, including the GRI, in a Brazilian T1D population using the MiniMed™ 780G system in real-world clinical practice. Methods: We performed a retrospective analysis of CareLink™ data from individuals with T1D using the MiniMed™ 780G advanced hybrid closed-loop system at a private center in Rio de Janeiro, Brazil. Data were collected between November 2023 and August 2025. From 161 available records, we selected those with ≥70% of sensor wear during a 14-day period. A total of 128 records met inclusion criteria and were analyzed. Results: Mean time in range (TIR 70-180 mg/dL) was 73.8% ± 8.4%, with mean glucose of 150.1 mg/dL ± 14.1. Time <70 mg/dL averaged 1.5% ± 1.4% and <54 mg/dL, 0.3% ± 0.5%. Time 180 - 240mg/dL was 18.4% ± 6.3% and >240 mg/dL, 5.9% ± 3.8%. Mean GMI was 6.89% ± 0.3% and coefficient of variation 32.9% ± 4.4%. The mean GRI was 28.3 ± 9.0, with hypoglycemia component of 1.5 ± 1.5. Conclusion: The MiniMed™ 780G system enabled good metabolic control with minimal hypoglycemia burden in this real-world Brazilian cohort. The GRI proved to be a useful complementary parameter to capture overall glycemic quality, emphasizing that residual risk remains mainly related to hyperglycemia. These findings support the clinical utility of AID systems in routine care and reinforce the potential of GRI as an additional tool for individualized treatment assessment in T1D.\n\n\n### PO—114 Bioimpedance Vector Analysis (Biva) in People with Type 1 Diabetes: a New Clinical Evaluation\nIntroduction: Phase Angle (PA) measured by bioimpedance analysis (BIA) can be useful in assessing health status and cell membrane integrity in various medical conditions. Low values in patients with Diabetes Type 1 (T1D) may indicate loss of body cell mass or a catabolic state resulting from glycemic imbalance. BIA vector analysis (BIVA) is a method that allows for a better understanding of hydration status and cell mass compared to PA alone Objective: To assess the potential of BIVA as an adjunct to PA in the assessment of individuals with T1D. Methods: Male and female patients with T1D underwent low-intensity (800 μA), single-frequency (50 kHz) BIA analysis to obtain PA and to create a BIVA graph with tolerance ellipses at the 50th, 75th, and 100th percentiles. The graphs were generated with custom code in Python 3.10, using the Pandas, NumPy, Matplotlib, and Seaborn libraries. Each point represented a participant plotted on the plane and classified by PA quartiles of the Brazilian population in different grayscale gradations, highlighting the distribution of participants in relation to the tolerance ellipses generated from a control population. Results: We studied 88 T1D patients (53.4% women), aged 36.2+11.3 years, with mean HbA1C values of 8.57+1.84% (8.96+2.09 x 8.12+1.40, p = 0.032, F x M) and control group with 46 patients (63% women, NS), with mean ages of 34.0+9.2 (women) and 39.2+14.9 (men), NS. Between patients and controls, the PA was 5.50 X 6.65 (p = 0.000) in women and 6.70 x 8.16 (p = 0.000) in men, with most men and women with T1D in the 1st quartile of the Brazilian population (44.7% and 41.5%). 89.5% (n = 34) of patients in the (first quartile of PA (F = 21/47; M = 17/41) are outside the 75% ellipse. In both sexes, cases with lower PA tend to the right of the imaginary vector line corresponding to the longitudinal axis of the ellipse and towards the higher/outer percentiles of the ellipses. In men, P1 cases appear to be related to increased resistance, a phenomenon not observed to the same extent in women. Conclusion: The inclusion of BIVA allowed a better assessment of cellular integrity by PA in people with T1D.\n\n\n### Pena NF1; Froes LP1; Miranda GP1; Mendes MIV1; Costa PM1; Duarte A1; Torres HG1; Lauria MW1\nIntroduction: Phase Angle (PA) measured by bioimpedance analysis (BIA) can be useful in assessing health status and cell membrane integrity in various medical conditions. Low values in patients with Diabetes Type 1 (T1D) may indicate loss of body cell mass or a catabolic state resulting from glycemic imbalance. BIA vector analysis (BIVA) is a method that allows for a better understanding of hydration status and cell mass compared to PA alone Objective: To assess the potential of BIVA as an adjunct to PA in the assessment of individuals with T1D. Methods: Male and female patients with T1D underwent low-intensity (800 μA), single-frequency (50 kHz) BIA analysis to obtain PA and to create a BIVA graph with tolerance ellipses at the 50th, 75th, and 100th percentiles. The graphs were generated with custom code in Python 3.10, using the Pandas, NumPy, Matplotlib, and Seaborn libraries. Each point represented a participant plotted on the plane and classified by PA quartiles of the Brazilian population in different grayscale gradations, highlighting the distribution of participants in relation to the tolerance ellipses generated from a control population. Results: We studied 88 T1D patients (53.4% women), aged 36.2+11.3 years, with mean HbA1C values of 8.57+1.84% (8.96+2.09 x 8.12+1.40, p = 0.032, F x M) and control group with 46 patients (63% women, NS), with mean ages of 34.0+9.2 (women) and 39.2+14.9 (men), NS. Between patients and controls, the PA was 5.50 X 6.65 (p = 0.000) in women and 6.70 x 8.16 (p = 0.000) in men, with most men and women with T1D in the 1st quartile of the Brazilian population (44.7% and 41.5%). 89.5% (n = 34) of patients in the (first quartile of PA (F = 21/47; M = 17/41) are outside the 75% ellipse. In both sexes, cases with lower PA tend to the right of the imaginary vector line corresponding to the longitudinal axis of the ellipse and towards the higher/outer percentiles of the ellipses. In men, P1 cases appear to be related to increased resistance, a phenomenon not observed to the same extent in women. Conclusion: The inclusion of BIVA allowed a better assessment of cellular integrity by PA in people with T1D.\n\n\n### (1) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: Phase Angle (PA) measured by bioimpedance analysis (BIA) can be useful in assessing health status and cell membrane integrity in various medical conditions. Low values in patients with Diabetes Type 1 (T1D) may indicate loss of body cell mass or a catabolic state resulting from glycemic imbalance. BIA vector analysis (BIVA) is a method that allows for a better understanding of hydration status and cell mass compared to PA alone Objective: To assess the potential of BIVA as an adjunct to PA in the assessment of individuals with T1D. Methods: Male and female patients with T1D underwent low-intensity (800 μA), single-frequency (50 kHz) BIA analysis to obtain PA and to create a BIVA graph with tolerance ellipses at the 50th, 75th, and 100th percentiles. The graphs were generated with custom code in Python 3.10, using the Pandas, NumPy, Matplotlib, and Seaborn libraries. Each point represented a participant plotted on the plane and classified by PA quartiles of the Brazilian population in different grayscale gradations, highlighting the distribution of participants in relation to the tolerance ellipses generated from a control population. Results: We studied 88 T1D patients (53.4% women), aged 36.2+11.3 years, with mean HbA1C values of 8.57+1.84% (8.96+2.09 x 8.12+1.40, p = 0.032, F x M) and control group with 46 patients (63% women, NS), with mean ages of 34.0+9.2 (women) and 39.2+14.9 (men), NS. Between patients and controls, the PA was 5.50 X 6.65 (p = 0.000) in women and 6.70 x 8.16 (p = 0.000) in men, with most men and women with T1D in the 1st quartile of the Brazilian population (44.7% and 41.5%). 89.5% (n = 34) of patients in the (first quartile of PA (F = 21/47; M = 17/41) are outside the 75% ellipse. In both sexes, cases with lower PA tend to the right of the imaginary vector line corresponding to the longitudinal axis of the ellipse and towards the higher/outer percentiles of the ellipses. In men, P1 cases appear to be related to increased resistance, a phenomenon not observed to the same extent in women. Conclusion: The inclusion of BIVA allowed a better assessment of cellular integrity by PA in people with T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—114\nIntroduction: Phase Angle (PA) measured by bioimpedance analysis (BIA) can be useful in assessing health status and cell membrane integrity in various medical conditions. Low values in patients with Diabetes Type 1 (T1D) may indicate loss of body cell mass or a catabolic state resulting from glycemic imbalance. BIA vector analysis (BIVA) is a method that allows for a better understanding of hydration status and cell mass compared to PA alone Objective: To assess the potential of BIVA as an adjunct to PA in the assessment of individuals with T1D. Methods: Male and female patients with T1D underwent low-intensity (800 μA), single-frequency (50 kHz) BIA analysis to obtain PA and to create a BIVA graph with tolerance ellipses at the 50th, 75th, and 100th percentiles. The graphs were generated with custom code in Python 3.10, using the Pandas, NumPy, Matplotlib, and Seaborn libraries. Each point represented a participant plotted on the plane and classified by PA quartiles of the Brazilian population in different grayscale gradations, highlighting the distribution of participants in relation to the tolerance ellipses generated from a control population. Results: We studied 88 T1D patients (53.4% women), aged 36.2+11.3 years, with mean HbA1C values of 8.57+1.84% (8.96+2.09 x 8.12+1.40, p = 0.032, F x M) and control group with 46 patients (63% women, NS), with mean ages of 34.0+9.2 (women) and 39.2+14.9 (men), NS. Between patients and controls, the PA was 5.50 X 6.65 (p = 0.000) in women and 6.70 x 8.16 (p = 0.000) in men, with most men and women with T1D in the 1st quartile of the Brazilian population (44.7% and 41.5%). 89.5% (n = 34) of patients in the (first quartile of PA (F = 21/47; M = 17/41) are outside the 75% ellipse. In both sexes, cases with lower PA tend to the right of the imaginary vector line corresponding to the longitudinal axis of the ellipse and towards the higher/outer percentiles of the ellipses. In men, P1 cases appear to be related to increased resistance, a phenomenon not observed to the same extent in women. Conclusion: The inclusion of BIVA allowed a better assessment of cellular integrity by PA in people with T1D.\n\n\n### PO—117 Characterization of Sharps Waste Generated by Individuals with Type 2 Diabetes Mellitus Receiving Insulin Therapy\nIntroduction: Individuals with type 2 diabetes mellitus undergoing insulin therapy produce used medical sharps daily, such as syringes, needles, and lancets. Improper disposal of these items poses significant risks to public health and the environment, including needlestick injuries and environmental contamination. A lack of proper guidance often leads to unsafe disposal practices. Objective: To characterize the types of sharps waste and their disposal practices among individuals with type 2 diabetes mellitus undergoing insulin therapy. Methods: A cross-sectional study was conducted between May and July 2025 at the endocrinology and metabolism outpatient clinic of a university hospital in a Northeastern Brazilian state capital. The study protocol was approved by the institutional Research Ethics Committee (approval number: 6,675,970). Data were extracted from nursing records, resulting in a final sample of 101 patients with available documentation. Results: The majority of participants were female (67%), with ages ranging from 50 to 72 years (mean age 61 ± 11 years). Seventy-seven percent had been diagnosed with diabetes for over ten years. Regarding sharps usage, 63.4% used syringes with attached needles, and 32.6% used disposable insulin pens. Patients administered one to four injections per day and reused the same needle three to five times daily; in 4% of cases, the device type was unspecified. No records were found quantifying materials used for daily glucose monitoring. The limitations of these data were attributed to the availability of supplies through Brazil’s Unified Health System and inconsistent patient access. All participants reported improper storage and disposal practices, including disposal in household waste, reuse of needles and lancets, and unsafe transportation of materials. Conclusion: The use of sharps among individuals with diabetes necessitates close attention, particularly due to physical limitations and insufficient access to proper guidance, which may compromise safe management. Despite the limitations of a localized sample, the findings underscore the urgent need for educational interventions focused on proper containment, safe disposal, and environmental considerations of sharps waste among insulin users.\n\n\n### Flor AC1; Garcia AA2; Negreiros FDS2; de Araújo AL3; de Aquino MJN2; Moreira TR2; Lima GS1; Moreira LS1; Cestari VRF1; Moreira TMM1\nIntroduction: Individuals with type 2 diabetes mellitus undergoing insulin therapy produce used medical sharps daily, such as syringes, needles, and lancets. Improper disposal of these items poses significant risks to public health and the environment, including needlestick injuries and environmental contamination. A lack of proper guidance often leads to unsafe disposal practices. Objective: To characterize the types of sharps waste and their disposal practices among individuals with type 2 diabetes mellitus undergoing insulin therapy. Methods: A cross-sectional study was conducted between May and July 2025 at the endocrinology and metabolism outpatient clinic of a university hospital in a Northeastern Brazilian state capital. The study protocol was approved by the institutional Research Ethics Committee (approval number: 6,675,970). Data were extracted from nursing records, resulting in a final sample of 101 patients with available documentation. Results: The majority of participants were female (67%), with ages ranging from 50 to 72 years (mean age 61 ± 11 years). Seventy-seven percent had been diagnosed with diabetes for over ten years. Regarding sharps usage, 63.4% used syringes with attached needles, and 32.6% used disposable insulin pens. Patients administered one to four injections per day and reused the same needle three to five times daily; in 4% of cases, the device type was unspecified. No records were found quantifying materials used for daily glucose monitoring. The limitations of these data were attributed to the availability of supplies through Brazil’s Unified Health System and inconsistent patient access. All participants reported improper storage and disposal practices, including disposal in household waste, reuse of needles and lancets, and unsafe transportation of materials. Conclusion: The use of sharps among individuals with diabetes necessitates close attention, particularly due to physical limitations and insufficient access to proper guidance, which may compromise safe management. Despite the limitations of a localized sample, the findings underscore the urgent need for educational interventions focused on proper containment, safe disposal, and environmental considerations of sharps waste among insulin users.\n\n\n### (1) Universidade Estadual do Ceará, Fortaleza, CE, Brasil; (2) Universidade Federal do Ceará, Fortaleza, CE, Brasil; (3) Universidade Regional Do Cariri, Cariri, CE, Brasil\nIntroduction: Individuals with type 2 diabetes mellitus undergoing insulin therapy produce used medical sharps daily, such as syringes, needles, and lancets. Improper disposal of these items poses significant risks to public health and the environment, including needlestick injuries and environmental contamination. A lack of proper guidance often leads to unsafe disposal practices. Objective: To characterize the types of sharps waste and their disposal practices among individuals with type 2 diabetes mellitus undergoing insulin therapy. Methods: A cross-sectional study was conducted between May and July 2025 at the endocrinology and metabolism outpatient clinic of a university hospital in a Northeastern Brazilian state capital. The study protocol was approved by the institutional Research Ethics Committee (approval number: 6,675,970). Data were extracted from nursing records, resulting in a final sample of 101 patients with available documentation. Results: The majority of participants were female (67%), with ages ranging from 50 to 72 years (mean age 61 ± 11 years). Seventy-seven percent had been diagnosed with diabetes for over ten years. Regarding sharps usage, 63.4% used syringes with attached needles, and 32.6% used disposable insulin pens. Patients administered one to four injections per day and reused the same needle three to five times daily; in 4% of cases, the device type was unspecified. No records were found quantifying materials used for daily glucose monitoring. The limitations of these data were attributed to the availability of supplies through Brazil’s Unified Health System and inconsistent patient access. All participants reported improper storage and disposal practices, including disposal in household waste, reuse of needles and lancets, and unsafe transportation of materials. Conclusion: The use of sharps among individuals with diabetes necessitates close attention, particularly due to physical limitations and insufficient access to proper guidance, which may compromise safe management. Despite the limitations of a localized sample, the findings underscore the urgent need for educational interventions focused on proper containment, safe disposal, and environmental considerations of sharps waste among insulin users.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—117\nIntroduction: Individuals with type 2 diabetes mellitus undergoing insulin therapy produce used medical sharps daily, such as syringes, needles, and lancets. Improper disposal of these items poses significant risks to public health and the environment, including needlestick injuries and environmental contamination. A lack of proper guidance often leads to unsafe disposal practices. Objective: To characterize the types of sharps waste and their disposal practices among individuals with type 2 diabetes mellitus undergoing insulin therapy. Methods: A cross-sectional study was conducted between May and July 2025 at the endocrinology and metabolism outpatient clinic of a university hospital in a Northeastern Brazilian state capital. The study protocol was approved by the institutional Research Ethics Committee (approval number: 6,675,970). Data were extracted from nursing records, resulting in a final sample of 101 patients with available documentation. Results: The majority of participants were female (67%), with ages ranging from 50 to 72 years (mean age 61 ± 11 years). Seventy-seven percent had been diagnosed with diabetes for over ten years. Regarding sharps usage, 63.4% used syringes with attached needles, and 32.6% used disposable insulin pens. Patients administered one to four injections per day and reused the same needle three to five times daily; in 4% of cases, the device type was unspecified. No records were found quantifying materials used for daily glucose monitoring. The limitations of these data were attributed to the availability of supplies through Brazil’s Unified Health System and inconsistent patient access. All participants reported improper storage and disposal practices, including disposal in household waste, reuse of needles and lancets, and unsafe transportation of materials. Conclusion: The use of sharps among individuals with diabetes necessitates close attention, particularly due to physical limitations and insufficient access to proper guidance, which may compromise safe management. Despite the limitations of a localized sample, the findings underscore the urgent need for educational interventions focused on proper containment, safe disposal, and environmental considerations of sharps waste among insulin users.\n\n\n### PO—118 Clinical and Psychobehavioral Profiles of Individuals with Type 2 Diabetes in Primary Health Care Settings\nIntroduction: Type 2 Diabetes Mellitus represents a growing challenge to public health, requiring effective strategies within Primary Health Care. Its management goes beyond glycemic control, being influenced by clinical and psychobehavioral factors that affect treatment adherence and health outcomes. Identifying these profiles is crucial for designing effective interventions and optimizing health outcomes, thereby addressing gaps in knowledge. Objective: To describe the clinical and psychobehavioral profiles of individuals with Type 2 Diabetes Mellitus who are users of Primary Health Care. Methods: This cross-sectional, descriptive study used data from a population-based survey (Approval No. 6,090,623). Data collection, conducted between September 2023 and April 2024, took place in 19 urban and rural Primary Health Units in a municipality in Minas Gerais, Brazil. Sample size calculation was based on an estimated prevalence of 7.0%. Data were obtained through a sociodemographic questionnaire, clinical variables, and self-reported psychobehavioral aspects, including mental health indicators (stress, anxiety, insomnia, depression), health perception, sleep, diet, lifestyle habits (alcohol and tobacco use), treatment adherence, physical activity, and use of health services. Results: The sample comprised 101 individuals. Systemic arterial hypertension was reported by the majority, followed by dyslipidemia. Stress, anxiety, insomnia, and depression were frequently mentioned, along with high prevalence of non-restorative sleep. Most participants rated their health as regular or poor, reported inadequate eating habits, and engaged in low levels of physical activity. Alcohol consumption and tobacco use were present in a significant portion of the sample. While most participants reported adherence to clinical treatment, all used primary health care services, with fewer accessing secondary, tertiary, or private services. Conclusion: The findings underscore the need for multidisciplinary health programs within Primary Health Care, aiming to address not only the clinical aspects of Type 2 Diabetes Mellitus but also psychobehavioral demands and the promotion of healthy lifestyles. Identifying these profiles is essential for designing effective and targeted care strategies. The predominant use of Primary Health Care services, compared to lower demand for other levels of care, reinforces its strategic role in the management of this population.\n\n\n### Mariano BC1; de Oliveira ACPP2; da Silva KLS1; Reis BO1; de Oliveira DPSC3; de Souza IA1; da Silva LP1; Martinez DG1\nIntroduction: Type 2 Diabetes Mellitus represents a growing challenge to public health, requiring effective strategies within Primary Health Care. Its management goes beyond glycemic control, being influenced by clinical and psychobehavioral factors that affect treatment adherence and health outcomes. Identifying these profiles is crucial for designing effective interventions and optimizing health outcomes, thereby addressing gaps in knowledge. Objective: To describe the clinical and psychobehavioral profiles of individuals with Type 2 Diabetes Mellitus who are users of Primary Health Care. Methods: This cross-sectional, descriptive study used data from a population-based survey (Approval No. 6,090,623). Data collection, conducted between September 2023 and April 2024, took place in 19 urban and rural Primary Health Units in a municipality in Minas Gerais, Brazil. Sample size calculation was based on an estimated prevalence of 7.0%. Data were obtained through a sociodemographic questionnaire, clinical variables, and self-reported psychobehavioral aspects, including mental health indicators (stress, anxiety, insomnia, depression), health perception, sleep, diet, lifestyle habits (alcohol and tobacco use), treatment adherence, physical activity, and use of health services. Results: The sample comprised 101 individuals. Systemic arterial hypertension was reported by the majority, followed by dyslipidemia. Stress, anxiety, insomnia, and depression were frequently mentioned, along with high prevalence of non-restorative sleep. Most participants rated their health as regular or poor, reported inadequate eating habits, and engaged in low levels of physical activity. Alcohol consumption and tobacco use were present in a significant portion of the sample. While most participants reported adherence to clinical treatment, all used primary health care services, with fewer accessing secondary, tertiary, or private services. Conclusion: The findings underscore the need for multidisciplinary health programs within Primary Health Care, aiming to address not only the clinical aspects of Type 2 Diabetes Mellitus but also psychobehavioral demands and the promotion of healthy lifestyles. Identifying these profiles is essential for designing effective and targeted care strategies. The predominant use of Primary Health Care services, compared to lower demand for other levels of care, reinforces its strategic role in the management of this population.\n\n\n### (1) Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (3) Universidade Federal Fluminense, Rio de Janeiro, MG, Brasil\nIntroduction: Type 2 Diabetes Mellitus represents a growing challenge to public health, requiring effective strategies within Primary Health Care. Its management goes beyond glycemic control, being influenced by clinical and psychobehavioral factors that affect treatment adherence and health outcomes. Identifying these profiles is crucial for designing effective interventions and optimizing health outcomes, thereby addressing gaps in knowledge. Objective: To describe the clinical and psychobehavioral profiles of individuals with Type 2 Diabetes Mellitus who are users of Primary Health Care. Methods: This cross-sectional, descriptive study used data from a population-based survey (Approval No. 6,090,623). Data collection, conducted between September 2023 and April 2024, took place in 19 urban and rural Primary Health Units in a municipality in Minas Gerais, Brazil. Sample size calculation was based on an estimated prevalence of 7.0%. Data were obtained through a sociodemographic questionnaire, clinical variables, and self-reported psychobehavioral aspects, including mental health indicators (stress, anxiety, insomnia, depression), health perception, sleep, diet, lifestyle habits (alcohol and tobacco use), treatment adherence, physical activity, and use of health services. Results: The sample comprised 101 individuals. Systemic arterial hypertension was reported by the majority, followed by dyslipidemia. Stress, anxiety, insomnia, and depression were frequently mentioned, along with high prevalence of non-restorative sleep. Most participants rated their health as regular or poor, reported inadequate eating habits, and engaged in low levels of physical activity. Alcohol consumption and tobacco use were present in a significant portion of the sample. While most participants reported adherence to clinical treatment, all used primary health care services, with fewer accessing secondary, tertiary, or private services. Conclusion: The findings underscore the need for multidisciplinary health programs within Primary Health Care, aiming to address not only the clinical aspects of Type 2 Diabetes Mellitus but also psychobehavioral demands and the promotion of healthy lifestyles. Identifying these profiles is essential for designing effective and targeted care strategies. The predominant use of Primary Health Care services, compared to lower demand for other levels of care, reinforces its strategic role in the management of this population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—118\nIntroduction: Type 2 Diabetes Mellitus represents a growing challenge to public health, requiring effective strategies within Primary Health Care. Its management goes beyond glycemic control, being influenced by clinical and psychobehavioral factors that affect treatment adherence and health outcomes. Identifying these profiles is crucial for designing effective interventions and optimizing health outcomes, thereby addressing gaps in knowledge. Objective: To describe the clinical and psychobehavioral profiles of individuals with Type 2 Diabetes Mellitus who are users of Primary Health Care. Methods: This cross-sectional, descriptive study used data from a population-based survey (Approval No. 6,090,623). Data collection, conducted between September 2023 and April 2024, took place in 19 urban and rural Primary Health Units in a municipality in Minas Gerais, Brazil. Sample size calculation was based on an estimated prevalence of 7.0%. Data were obtained through a sociodemographic questionnaire, clinical variables, and self-reported psychobehavioral aspects, including mental health indicators (stress, anxiety, insomnia, depression), health perception, sleep, diet, lifestyle habits (alcohol and tobacco use), treatment adherence, physical activity, and use of health services. Results: The sample comprised 101 individuals. Systemic arterial hypertension was reported by the majority, followed by dyslipidemia. Stress, anxiety, insomnia, and depression were frequently mentioned, along with high prevalence of non-restorative sleep. Most participants rated their health as regular or poor, reported inadequate eating habits, and engaged in low levels of physical activity. Alcohol consumption and tobacco use were present in a significant portion of the sample. While most participants reported adherence to clinical treatment, all used primary health care services, with fewer accessing secondary, tertiary, or private services. Conclusion: The findings underscore the need for multidisciplinary health programs within Primary Health Care, aiming to address not only the clinical aspects of Type 2 Diabetes Mellitus but also psychobehavioral demands and the promotion of healthy lifestyles. Identifying these profiles is essential for designing effective and targeted care strategies. The predominant use of Primary Health Care services, compared to lower demand for other levels of care, reinforces its strategic role in the management of this population.\n\n\n### PO—121 Diabetes Hospitalizations: A Comparison Between the South and Southeast Regions\nIntroduction: Diabetes mellitus is a chronic metabolic disease characterized by persistent hyperglycemia caused by defects in insulin secretion or action. When inadequately controlled, it can lead to acute and chronic complications, including ketoacidosis, infections, renal failure, cardiovascular disease, and amputations, often requiring hospitalization. In public health, hospitalization rates for diabetes are important indicators of outpatient care quality, reflecting gaps in prevention, early diagnosis, and disease control. Analyzing these data helps assess the burden on the health system and guide more effective management and prevention strategies. Objective: An epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Methods: This ecological, descriptive, cross-sectional, and retrospective study aimed to perform an epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Data were obtained in 2025 from the DATASUS online database, selecting hospitalizations for diabetes (ICD E14) in the target regions. Variables included number of hospitalizations, race, age, sex, and type of care. Results: A total of 821,148 hospitalizations were recorded: Southeast 578,715 (70.47%) and South 242,433 (29.53%). Annual distribution was: 2012: 4,464 (0.54%), 2013: 71,704 (8.73%), 2014: 69,953 (8.52%), 2015: 68,798 (8.38%), 2016: 65,831 (8.02%), 2017: 67,816 (8.26%), 2018: 68,560 (8.35%), 2019: 69,078 (8.41%), 2020: 64,416 (7.85%), 2021: 64,511 (7.86%), 2022: 68,016 (8.28%), 2023: 70,401 (8.57%), 2024: 67,600 (8.23%). By type of care: elective 39,313 (4.79%) and emergency 781,835 (95.21%). Age distribution: <1 year: 1,389 (0.17%), 1–4 years: 6,268 (0.76%), 5–9 years: 12,470 (1.52%), 10–14 years: 25,083 (3.05%), 15–19 years: 22,934 (2.79%), 20–29 years: 42,735 (5.21%), 30–39 years: 51,746 (6.30%), 40–49 years: 87,130 (10.61%), 50–59 years: 159,734 (19.46%), 60–69 years: 197,317 (24.03%), 70–79 years: 143,290 (17.45%), ≥80 years: 71,052 (8.66%). By sex: male 418,101 (50.90%), female 403,047 (49.10%). Racial distribution: white 397,607 (48.41%), black 55,469 (6.76%), brown 217,984 (26.54%), yellow 10,931 (1.33%), indigenous 359 (0.04%), no information 138,798 (16.90%). Conclusion: The study revealed high hospitalization numbers, predominantly emergencies and patients over 50 years. Balanced sex distribution; white and mixed-race predominated. Data gaps stress prevention and outpatient care to ease hospital strain.\n\n\n### Patrocinio GF1; Ferreira FM2; Graciolli LHMSG1; da Silva LLF1; Moura YS3\nIntroduction: Diabetes mellitus is a chronic metabolic disease characterized by persistent hyperglycemia caused by defects in insulin secretion or action. When inadequately controlled, it can lead to acute and chronic complications, including ketoacidosis, infections, renal failure, cardiovascular disease, and amputations, often requiring hospitalization. In public health, hospitalization rates for diabetes are important indicators of outpatient care quality, reflecting gaps in prevention, early diagnosis, and disease control. Analyzing these data helps assess the burden on the health system and guide more effective management and prevention strategies. Objective: An epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Methods: This ecological, descriptive, cross-sectional, and retrospective study aimed to perform an epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Data were obtained in 2025 from the DATASUS online database, selecting hospitalizations for diabetes (ICD E14) in the target regions. Variables included number of hospitalizations, race, age, sex, and type of care. Results: A total of 821,148 hospitalizations were recorded: Southeast 578,715 (70.47%) and South 242,433 (29.53%). Annual distribution was: 2012: 4,464 (0.54%), 2013: 71,704 (8.73%), 2014: 69,953 (8.52%), 2015: 68,798 (8.38%), 2016: 65,831 (8.02%), 2017: 67,816 (8.26%), 2018: 68,560 (8.35%), 2019: 69,078 (8.41%), 2020: 64,416 (7.85%), 2021: 64,511 (7.86%), 2022: 68,016 (8.28%), 2023: 70,401 (8.57%), 2024: 67,600 (8.23%). By type of care: elective 39,313 (4.79%) and emergency 781,835 (95.21%). Age distribution: <1 year: 1,389 (0.17%), 1–4 years: 6,268 (0.76%), 5–9 years: 12,470 (1.52%), 10–14 years: 25,083 (3.05%), 15–19 years: 22,934 (2.79%), 20–29 years: 42,735 (5.21%), 30–39 years: 51,746 (6.30%), 40–49 years: 87,130 (10.61%), 50–59 years: 159,734 (19.46%), 60–69 years: 197,317 (24.03%), 70–79 years: 143,290 (17.45%), ≥80 years: 71,052 (8.66%). By sex: male 418,101 (50.90%), female 403,047 (49.10%). Racial distribution: white 397,607 (48.41%), black 55,469 (6.76%), brown 217,984 (26.54%), yellow 10,931 (1.33%), indigenous 359 (0.04%), no information 138,798 (16.90%). Conclusion: The study revealed high hospitalization numbers, predominantly emergencies and patients over 50 years. Balanced sex distribution; white and mixed-race predominated. Data gaps stress prevention and outpatient care to ease hospital strain.\n\n\n### (1) Uninove, São Paulo, SP, Brasil; (2) Universidade Municipal de São Caetano do Sul, São Caetano do Sul, SP, Brasil; (3) Universidade Salvador, Salvador, BA, Brasil\nIntroduction: Diabetes mellitus is a chronic metabolic disease characterized by persistent hyperglycemia caused by defects in insulin secretion or action. When inadequately controlled, it can lead to acute and chronic complications, including ketoacidosis, infections, renal failure, cardiovascular disease, and amputations, often requiring hospitalization. In public health, hospitalization rates for diabetes are important indicators of outpatient care quality, reflecting gaps in prevention, early diagnosis, and disease control. Analyzing these data helps assess the burden on the health system and guide more effective management and prevention strategies. Objective: An epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Methods: This ecological, descriptive, cross-sectional, and retrospective study aimed to perform an epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Data were obtained in 2025 from the DATASUS online database, selecting hospitalizations for diabetes (ICD E14) in the target regions. Variables included number of hospitalizations, race, age, sex, and type of care. Results: A total of 821,148 hospitalizations were recorded: Southeast 578,715 (70.47%) and South 242,433 (29.53%). Annual distribution was: 2012: 4,464 (0.54%), 2013: 71,704 (8.73%), 2014: 69,953 (8.52%), 2015: 68,798 (8.38%), 2016: 65,831 (8.02%), 2017: 67,816 (8.26%), 2018: 68,560 (8.35%), 2019: 69,078 (8.41%), 2020: 64,416 (7.85%), 2021: 64,511 (7.86%), 2022: 68,016 (8.28%), 2023: 70,401 (8.57%), 2024: 67,600 (8.23%). By type of care: elective 39,313 (4.79%) and emergency 781,835 (95.21%). Age distribution: <1 year: 1,389 (0.17%), 1–4 years: 6,268 (0.76%), 5–9 years: 12,470 (1.52%), 10–14 years: 25,083 (3.05%), 15–19 years: 22,934 (2.79%), 20–29 years: 42,735 (5.21%), 30–39 years: 51,746 (6.30%), 40–49 years: 87,130 (10.61%), 50–59 years: 159,734 (19.46%), 60–69 years: 197,317 (24.03%), 70–79 years: 143,290 (17.45%), ≥80 years: 71,052 (8.66%). By sex: male 418,101 (50.90%), female 403,047 (49.10%). Racial distribution: white 397,607 (48.41%), black 55,469 (6.76%), brown 217,984 (26.54%), yellow 10,931 (1.33%), indigenous 359 (0.04%), no information 138,798 (16.90%). Conclusion: The study revealed high hospitalization numbers, predominantly emergencies and patients over 50 years. Balanced sex distribution; white and mixed-race predominated. Data gaps stress prevention and outpatient care to ease hospital strain.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—121\nIntroduction: Diabetes mellitus is a chronic metabolic disease characterized by persistent hyperglycemia caused by defects in insulin secretion or action. When inadequately controlled, it can lead to acute and chronic complications, including ketoacidosis, infections, renal failure, cardiovascular disease, and amputations, often requiring hospitalization. In public health, hospitalization rates for diabetes are important indicators of outpatient care quality, reflecting gaps in prevention, early diagnosis, and disease control. Analyzing these data helps assess the burden on the health system and guide more effective management and prevention strategies. Objective: An epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Methods: This ecological, descriptive, cross-sectional, and retrospective study aimed to perform an epidemiological survey of hospitalizations for diabetes in the South and Southeast regions of Brazil between 2012 and 2024. Data were obtained in 2025 from the DATASUS online database, selecting hospitalizations for diabetes (ICD E14) in the target regions. Variables included number of hospitalizations, race, age, sex, and type of care. Results: A total of 821,148 hospitalizations were recorded: Southeast 578,715 (70.47%) and South 242,433 (29.53%). Annual distribution was: 2012: 4,464 (0.54%), 2013: 71,704 (8.73%), 2014: 69,953 (8.52%), 2015: 68,798 (8.38%), 2016: 65,831 (8.02%), 2017: 67,816 (8.26%), 2018: 68,560 (8.35%), 2019: 69,078 (8.41%), 2020: 64,416 (7.85%), 2021: 64,511 (7.86%), 2022: 68,016 (8.28%), 2023: 70,401 (8.57%), 2024: 67,600 (8.23%). By type of care: elective 39,313 (4.79%) and emergency 781,835 (95.21%). Age distribution: <1 year: 1,389 (0.17%), 1–4 years: 6,268 (0.76%), 5–9 years: 12,470 (1.52%), 10–14 years: 25,083 (3.05%), 15–19 years: 22,934 (2.79%), 20–29 years: 42,735 (5.21%), 30–39 years: 51,746 (6.30%), 40–49 years: 87,130 (10.61%), 50–59 years: 159,734 (19.46%), 60–69 years: 197,317 (24.03%), 70–79 years: 143,290 (17.45%), ≥80 years: 71,052 (8.66%). By sex: male 418,101 (50.90%), female 403,047 (49.10%). Racial distribution: white 397,607 (48.41%), black 55,469 (6.76%), brown 217,984 (26.54%), yellow 10,931 (1.33%), indigenous 359 (0.04%), no information 138,798 (16.90%). Conclusion: The study revealed high hospitalization numbers, predominantly emergencies and patients over 50 years. Balanced sex distribution; white and mixed-race predominated. Data gaps stress prevention and outpatient care to ease hospital strain.\n\n\n### PO—122 Diabetes Mellitus Mortality in Brazil Over Two Decades: an Epidemiological Analysis (2003–2023)\nIntroduction: Diabetes Mellitus (DM) prevalence has risen sharply in Brazil, now ranking sixth worldwide. Objective: Given its prevalence and role as a gateway to other comorbidities, this study aimed to analyze DM mortality trends in Brazil between 2003 and 2023, stratified by age group, sex, skin color and regional mortality rates. Methods: This is an ecological time-series study using epidemiological data from the SIM/DATASUS on deaths classified under ICD-10 codes E10–E14 from 2003 to 2023. For theoretical support, a review of five articles from the Virtual Health Library was conducted with Portuguese descriptors “Mortalidade,” “Epidemiologia,” “Diabetes Mellitus,” and “Brasil,” applying filters for full text, last five years, and excluding duplicates, COVID-19-related studies, and non-Brazilian populations. Results: Between 2003 and 2023, Brazil recorded 1,321,311 DM deaths. ICD-10 analysis showed unspecified DM (E14) predominance with 82.1% of deaths (1,084,702), followed by type 2 (E11) with 151,923 (11.5%), type 1 (E10) with 73,635 (5.6%), other types (E13) with 3,715, and malnutrition-related (E12) with 1,336 deaths. Mortality was strongly linked to aging: 58.6% (774,361) occurred in those aged 70+. Type 1 DM was more common among adults 20–59, while type 2 rose sharply after age 50, reflecting the typical clinical profiles of these conditions. Regarding sex, of the 1,210,212 records, 55.1% were women and 44.9% men, with type 1 DM being more common in men and type 2 in women. Skin color data (1,152,688 records) showed predominance of White (52.7%) and Brown (37.6%), followed by Black (9.6%) and Indigenous (0.2%) populations. Mortality rates by major regions (1,214,323 records), adapted from IBGE censuses 2010–2022 averages, were highest in the Northeast (7.17‰), followed by South (6.66‰), Southeast (5.94‰), Center-West (4.69‰), and lowest in the North (4.56‰). Conclusion: The findings indicate that DM remains a significant cause of mortality in Brazil, particularly among the elderly, women, and white and brown populations, with notable regional disparities, while lower mortality rates in the North likely reflect underreporting due to limited healthcare access. The high prevalence of the unspecified code (E14) limits epidemiological analysis and highlights the need to improve the quality of death certificate reporting. Strengthening accurate diagnosis and directing public policies toward more vulnerable groups are essential for the surveillance, prevention, and control of the disease in the country.\n\n\n### Colchesqui MCB1; Meneguelli LA1; Alves GC1; Reis JS2; Jesus LA1; Queiroz MN1; Silva NCF1\nIntroduction: Diabetes Mellitus (DM) prevalence has risen sharply in Brazil, now ranking sixth worldwide. Objective: Given its prevalence and role as a gateway to other comorbidities, this study aimed to analyze DM mortality trends in Brazil between 2003 and 2023, stratified by age group, sex, skin color and regional mortality rates. Methods: This is an ecological time-series study using epidemiological data from the SIM/DATASUS on deaths classified under ICD-10 codes E10–E14 from 2003 to 2023. For theoretical support, a review of five articles from the Virtual Health Library was conducted with Portuguese descriptors “Mortalidade,” “Epidemiologia,” “Diabetes Mellitus,” and “Brasil,” applying filters for full text, last five years, and excluding duplicates, COVID-19-related studies, and non-Brazilian populations. Results: Between 2003 and 2023, Brazil recorded 1,321,311 DM deaths. ICD-10 analysis showed unspecified DM (E14) predominance with 82.1% of deaths (1,084,702), followed by type 2 (E11) with 151,923 (11.5%), type 1 (E10) with 73,635 (5.6%), other types (E13) with 3,715, and malnutrition-related (E12) with 1,336 deaths. Mortality was strongly linked to aging: 58.6% (774,361) occurred in those aged 70+. Type 1 DM was more common among adults 20–59, while type 2 rose sharply after age 50, reflecting the typical clinical profiles of these conditions. Regarding sex, of the 1,210,212 records, 55.1% were women and 44.9% men, with type 1 DM being more common in men and type 2 in women. Skin color data (1,152,688 records) showed predominance of White (52.7%) and Brown (37.6%), followed by Black (9.6%) and Indigenous (0.2%) populations. Mortality rates by major regions (1,214,323 records), adapted from IBGE censuses 2010–2022 averages, were highest in the Northeast (7.17‰), followed by South (6.66‰), Southeast (5.94‰), Center-West (4.69‰), and lowest in the North (4.56‰). Conclusion: The findings indicate that DM remains a significant cause of mortality in Brazil, particularly among the elderly, women, and white and brown populations, with notable regional disparities, while lower mortality rates in the North likely reflect underreporting due to limited healthcare access. The high prevalence of the unspecified code (E14) limits epidemiological analysis and highlights the need to improve the quality of death certificate reporting. Strengthening accurate diagnosis and directing public policies toward more vulnerable groups are essential for the surveillance, prevention, and control of the disease in the country.\n\n\n### (1) Universidade Anhembi Morumbi, São Paulo, SP, Brasil; (2) Fundação Penápolis Educacional, Penápolis, SP, Brasil\nIntroduction: Diabetes Mellitus (DM) prevalence has risen sharply in Brazil, now ranking sixth worldwide. Objective: Given its prevalence and role as a gateway to other comorbidities, this study aimed to analyze DM mortality trends in Brazil between 2003 and 2023, stratified by age group, sex, skin color and regional mortality rates. Methods: This is an ecological time-series study using epidemiological data from the SIM/DATASUS on deaths classified under ICD-10 codes E10–E14 from 2003 to 2023. For theoretical support, a review of five articles from the Virtual Health Library was conducted with Portuguese descriptors “Mortalidade,” “Epidemiologia,” “Diabetes Mellitus,” and “Brasil,” applying filters for full text, last five years, and excluding duplicates, COVID-19-related studies, and non-Brazilian populations. Results: Between 2003 and 2023, Brazil recorded 1,321,311 DM deaths. ICD-10 analysis showed unspecified DM (E14) predominance with 82.1% of deaths (1,084,702), followed by type 2 (E11) with 151,923 (11.5%), type 1 (E10) with 73,635 (5.6%), other types (E13) with 3,715, and malnutrition-related (E12) with 1,336 deaths. Mortality was strongly linked to aging: 58.6% (774,361) occurred in those aged 70+. Type 1 DM was more common among adults 20–59, while type 2 rose sharply after age 50, reflecting the typical clinical profiles of these conditions. Regarding sex, of the 1,210,212 records, 55.1% were women and 44.9% men, with type 1 DM being more common in men and type 2 in women. Skin color data (1,152,688 records) showed predominance of White (52.7%) and Brown (37.6%), followed by Black (9.6%) and Indigenous (0.2%) populations. Mortality rates by major regions (1,214,323 records), adapted from IBGE censuses 2010–2022 averages, were highest in the Northeast (7.17‰), followed by South (6.66‰), Southeast (5.94‰), Center-West (4.69‰), and lowest in the North (4.56‰). Conclusion: The findings indicate that DM remains a significant cause of mortality in Brazil, particularly among the elderly, women, and white and brown populations, with notable regional disparities, while lower mortality rates in the North likely reflect underreporting due to limited healthcare access. The high prevalence of the unspecified code (E14) limits epidemiological analysis and highlights the need to improve the quality of death certificate reporting. Strengthening accurate diagnosis and directing public policies toward more vulnerable groups are essential for the surveillance, prevention, and control of the disease in the country.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—122\nIntroduction: Diabetes Mellitus (DM) prevalence has risen sharply in Brazil, now ranking sixth worldwide. Objective: Given its prevalence and role as a gateway to other comorbidities, this study aimed to analyze DM mortality trends in Brazil between 2003 and 2023, stratified by age group, sex, skin color and regional mortality rates. Methods: This is an ecological time-series study using epidemiological data from the SIM/DATASUS on deaths classified under ICD-10 codes E10–E14 from 2003 to 2023. For theoretical support, a review of five articles from the Virtual Health Library was conducted with Portuguese descriptors “Mortalidade,” “Epidemiologia,” “Diabetes Mellitus,” and “Brasil,” applying filters for full text, last five years, and excluding duplicates, COVID-19-related studies, and non-Brazilian populations. Results: Between 2003 and 2023, Brazil recorded 1,321,311 DM deaths. ICD-10 analysis showed unspecified DM (E14) predominance with 82.1% of deaths (1,084,702), followed by type 2 (E11) with 151,923 (11.5%), type 1 (E10) with 73,635 (5.6%), other types (E13) with 3,715, and malnutrition-related (E12) with 1,336 deaths. Mortality was strongly linked to aging: 58.6% (774,361) occurred in those aged 70+. Type 1 DM was more common among adults 20–59, while type 2 rose sharply after age 50, reflecting the typical clinical profiles of these conditions. Regarding sex, of the 1,210,212 records, 55.1% were women and 44.9% men, with type 1 DM being more common in men and type 2 in women. Skin color data (1,152,688 records) showed predominance of White (52.7%) and Brown (37.6%), followed by Black (9.6%) and Indigenous (0.2%) populations. Mortality rates by major regions (1,214,323 records), adapted from IBGE censuses 2010–2022 averages, were highest in the Northeast (7.17‰), followed by South (6.66‰), Southeast (5.94‰), Center-West (4.69‰), and lowest in the North (4.56‰). Conclusion: The findings indicate that DM remains a significant cause of mortality in Brazil, particularly among the elderly, women, and white and brown populations, with notable regional disparities, while lower mortality rates in the North likely reflect underreporting due to limited healthcare access. The high prevalence of the unspecified code (E14) limits epidemiological analysis and highlights the need to improve the quality of death certificate reporting. Strengthening accurate diagnosis and directing public policies toward more vulnerable groups are essential for the surveillance, prevention, and control of the disease in the country.\n\n\n### PO—123 Diabetes Mortality by Age Group and Sex in Brazil Over the Last 10 Years\nIntroduction: Diabetes mellitus is a major global and national public health concern and remains one of the leading causes of morbidity and mortality. It is a chronic metabolic disorder characterized by hyperglycemia and associated microvascular and macrovascular complications. In recent decades, its prevalence has increased, driven by population aging, sedentary lifestyles, and unhealthy dietary patterns. Beyond its high prevalence, diabetes accounts for a substantial number of deaths, particularly among older adults. Recent data suggest a narrowing of the mortality gap between sexes, with higher male mortality rates observed in certain age groups. Objective: To analyze diabetes mellitus mortality in Brazil over the last decade, stratified by age group and sex. Methods: This study consists of a descriptive epidemiological review using secondary data from the TabNet/DATASUS database covering the period 2013–2023. Mortality from diabetes mellitus was analyzed by age group and sex, and comparative patterns were described. Results: From 2013 to 2023, Brazil recorded 732,433 deaths attributable to diabetes mellitus, of which 396,549 (54.1%) occurred in women and 335,820 (45.8%) in men. The highest mortality counts were observed in the 70–79-year age group (205,870 deaths) and in individuals aged 80 years or older (226,756 deaths). In these age categories, female mortality predominated: 70–79 years, 110,780 female vs. 95,071 male deaths; ≥80 years, 144,937 female vs. 81,799 male deaths. Conversely, male mortality predominated in the 50–69-year range: 50–59 years, 46,886 male vs. 38,007 female deaths; 60–69 years, 84,898 male vs. 79,530 female deaths. Conclusion: Although overall mortality from diabetes mellitus is slightly higher among women, the predominance shifts according to age group. Men account for most deaths between 50 and 69 years, whereas women predominate from age 70 onwards. This pattern may be partially explained by the postmenopausal decline in estrogen, which is associated with increased insulin resistance. The elderly population represents the majority of diabetes-related deaths, reflecting their greater vulnerability to complications. These findings underscore the need for targeted public health policies and effective primary care strategies, as well as vigilant medical follow-up for high-risk populations.\n\n\n### Franzoi NM1; Colchesqui MCB2; Almeida AC3; Souza AS4; Santana ABF3; Guilherme ABCO5; Keller GD3; Gonzalez GL6; Nozaki JEP3\nIntroduction: Diabetes mellitus is a major global and national public health concern and remains one of the leading causes of morbidity and mortality. It is a chronic metabolic disorder characterized by hyperglycemia and associated microvascular and macrovascular complications. In recent decades, its prevalence has increased, driven by population aging, sedentary lifestyles, and unhealthy dietary patterns. Beyond its high prevalence, diabetes accounts for a substantial number of deaths, particularly among older adults. Recent data suggest a narrowing of the mortality gap between sexes, with higher male mortality rates observed in certain age groups. Objective: To analyze diabetes mellitus mortality in Brazil over the last decade, stratified by age group and sex. Methods: This study consists of a descriptive epidemiological review using secondary data from the TabNet/DATASUS database covering the period 2013–2023. Mortality from diabetes mellitus was analyzed by age group and sex, and comparative patterns were described. Results: From 2013 to 2023, Brazil recorded 732,433 deaths attributable to diabetes mellitus, of which 396,549 (54.1%) occurred in women and 335,820 (45.8%) in men. The highest mortality counts were observed in the 70–79-year age group (205,870 deaths) and in individuals aged 80 years or older (226,756 deaths). In these age categories, female mortality predominated: 70–79 years, 110,780 female vs. 95,071 male deaths; ≥80 years, 144,937 female vs. 81,799 male deaths. Conversely, male mortality predominated in the 50–69-year range: 50–59 years, 46,886 male vs. 38,007 female deaths; 60–69 years, 84,898 male vs. 79,530 female deaths. Conclusion: Although overall mortality from diabetes mellitus is slightly higher among women, the predominance shifts according to age group. Men account for most deaths between 50 and 69 years, whereas women predominate from age 70 onwards. This pattern may be partially explained by the postmenopausal decline in estrogen, which is associated with increased insulin resistance. The elderly population represents the majority of diabetes-related deaths, reflecting their greater vulnerability to complications. These findings underscore the need for targeted public health policies and effective primary care strategies, as well as vigilant medical follow-up for high-risk populations.\n\n\n### (1) Centro Universitário Ingá, Maringá, PR, Brasil; (2) Universidade Anhembi Morumbi, São Paulo, SP, Brasil; (3) Universidade Nove de Julho, São Paulo, SP, Brasil; (4) Universidade Anhembi Morumbi, São José dos Campos, SP, Brasil; (5) Fundação Educacional do Município de Assis, Assis, SP, Brasil; (6) Faculdade de Ciências Médicas de Santos, Santos, SP, Brasil\nIntroduction: Diabetes mellitus is a major global and national public health concern and remains one of the leading causes of morbidity and mortality. It is a chronic metabolic disorder characterized by hyperglycemia and associated microvascular and macrovascular complications. In recent decades, its prevalence has increased, driven by population aging, sedentary lifestyles, and unhealthy dietary patterns. Beyond its high prevalence, diabetes accounts for a substantial number of deaths, particularly among older adults. Recent data suggest a narrowing of the mortality gap between sexes, with higher male mortality rates observed in certain age groups. Objective: To analyze diabetes mellitus mortality in Brazil over the last decade, stratified by age group and sex. Methods: This study consists of a descriptive epidemiological review using secondary data from the TabNet/DATASUS database covering the period 2013–2023. Mortality from diabetes mellitus was analyzed by age group and sex, and comparative patterns were described. Results: From 2013 to 2023, Brazil recorded 732,433 deaths attributable to diabetes mellitus, of which 396,549 (54.1%) occurred in women and 335,820 (45.8%) in men. The highest mortality counts were observed in the 70–79-year age group (205,870 deaths) and in individuals aged 80 years or older (226,756 deaths). In these age categories, female mortality predominated: 70–79 years, 110,780 female vs. 95,071 male deaths; ≥80 years, 144,937 female vs. 81,799 male deaths. Conversely, male mortality predominated in the 50–69-year range: 50–59 years, 46,886 male vs. 38,007 female deaths; 60–69 years, 84,898 male vs. 79,530 female deaths. Conclusion: Although overall mortality from diabetes mellitus is slightly higher among women, the predominance shifts according to age group. Men account for most deaths between 50 and 69 years, whereas women predominate from age 70 onwards. This pattern may be partially explained by the postmenopausal decline in estrogen, which is associated with increased insulin resistance. The elderly population represents the majority of diabetes-related deaths, reflecting their greater vulnerability to complications. These findings underscore the need for targeted public health policies and effective primary care strategies, as well as vigilant medical follow-up for high-risk populations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—123\nIntroduction: Diabetes mellitus is a major global and national public health concern and remains one of the leading causes of morbidity and mortality. It is a chronic metabolic disorder characterized by hyperglycemia and associated microvascular and macrovascular complications. In recent decades, its prevalence has increased, driven by population aging, sedentary lifestyles, and unhealthy dietary patterns. Beyond its high prevalence, diabetes accounts for a substantial number of deaths, particularly among older adults. Recent data suggest a narrowing of the mortality gap between sexes, with higher male mortality rates observed in certain age groups. Objective: To analyze diabetes mellitus mortality in Brazil over the last decade, stratified by age group and sex. Methods: This study consists of a descriptive epidemiological review using secondary data from the TabNet/DATASUS database covering the period 2013–2023. Mortality from diabetes mellitus was analyzed by age group and sex, and comparative patterns were described. Results: From 2013 to 2023, Brazil recorded 732,433 deaths attributable to diabetes mellitus, of which 396,549 (54.1%) occurred in women and 335,820 (45.8%) in men. The highest mortality counts were observed in the 70–79-year age group (205,870 deaths) and in individuals aged 80 years or older (226,756 deaths). In these age categories, female mortality predominated: 70–79 years, 110,780 female vs. 95,071 male deaths; ≥80 years, 144,937 female vs. 81,799 male deaths. Conversely, male mortality predominated in the 50–69-year range: 50–59 years, 46,886 male vs. 38,007 female deaths; 60–69 years, 84,898 male vs. 79,530 female deaths. Conclusion: Although overall mortality from diabetes mellitus is slightly higher among women, the predominance shifts according to age group. Men account for most deaths between 50 and 69 years, whereas women predominate from age 70 onwards. This pattern may be partially explained by the postmenopausal decline in estrogen, which is associated with increased insulin resistance. The elderly population represents the majority of diabetes-related deaths, reflecting their greater vulnerability to complications. These findings underscore the need for targeted public health policies and effective primary care strategies, as well as vigilant medical follow-up for high-risk populations.\n\n\n### PO—124 Diagnostic Performance and Bias-Corrected Estimation of Sarcopenia using a Consumer-Grade Bioimpedance Device in Women with Type 2 Diabetes\nIntroduction: Sarcopenia is a progressive skeletal muscle disorder strongly associated with physical disability, falls, fractures, metabolic deterioration, and premature mortality. In women with type 2 diabetes (T2DM), particularly those postmenopausal, the combination of insulin resistance, chronic low-grade inflammation, and hormonal decline accelerates muscle loss, increasing the risk of sarcopenic obesity and functional impairment. Early detection is essential, yet dual-energy X-ray absorptiometry (DXA), the clinical reference method, remains costly and inaccessible in many healthcare settings. Consumer-grade bioelectrical impedance analysis (BIA) devices are portable, affordable, and radiation-free, but their diagnostic performance and agreement with DXA in this high-risk population require robust validation. Objective: To assess the diagnostic accuracy of a consumer-grade BIA device compared with DXA for detecting sarcopenia in women with T2DM and to evaluate the impact of a regression-based bias correction model for improving fat-free mass index (FFMI) estimation. Methods: In this cross-sectional study, 103 women with T2DM underwent same-day BIA (OMRON HBF-514C) and DXA (GE Lunar Prodigy), anthropometric measurements, handgrip strength, and Short Physical Performance Battery (SPPB) testing. Sarcopenia was defined using fat-free mass index (FFMI), skeletal muscle index (SMI), and validated DXA-based cut-offs. Analyses included Spearman correlation, Bland–Altman plots, Cohen’s kappa, receiver operating characteristic (ROC) curves, and multivariable linear regression for bias adjustment. Results: FFMI-BIA correlated strongly with FFMI-DXA (r=0.881) and SMI (r=0.854), both p<0.001. ROC-derived optimal FFMI-BIA cut-offs yielded AUCs of 0.878 and 0.873, achieving sensitivities of 87.8% and 85.1% and specificities of 79.3% and 82.8%. Agreement for FFMI-based classification was moderate (κ=0.575). The regression model incorporating FFMI-BIA, body mass index, and handgrip strength explained 78.3% of FFMI-DXA variance, reducing mean bias from –0.477 kg/m2 to –0.0009 kg/m2 and narrowing limits of agreement to –2.07 to 2.07 kg/m2. Conclusion: A widely available consumer-grade BIA device, when combined with a simple correction equation, can deliver accurate and calibrated estimates of sarcopenia risk. This integrated approach provides a scalable solution for early identification of sarcopenia in women with T2DM, especially in primary care and resource-limited environments.\n\n\n### Dos Santos TBL1; Maciel GR2; Nunes ASM3; Ribeiro JNS4; Aguiar BG5; Malheiros GM5; Bandeira F1\nIntroduction: Sarcopenia is a progressive skeletal muscle disorder strongly associated with physical disability, falls, fractures, metabolic deterioration, and premature mortality. In women with type 2 diabetes (T2DM), particularly those postmenopausal, the combination of insulin resistance, chronic low-grade inflammation, and hormonal decline accelerates muscle loss, increasing the risk of sarcopenic obesity and functional impairment. Early detection is essential, yet dual-energy X-ray absorptiometry (DXA), the clinical reference method, remains costly and inaccessible in many healthcare settings. Consumer-grade bioelectrical impedance analysis (BIA) devices are portable, affordable, and radiation-free, but their diagnostic performance and agreement with DXA in this high-risk population require robust validation. Objective: To assess the diagnostic accuracy of a consumer-grade BIA device compared with DXA for detecting sarcopenia in women with T2DM and to evaluate the impact of a regression-based bias correction model for improving fat-free mass index (FFMI) estimation. Methods: In this cross-sectional study, 103 women with T2DM underwent same-day BIA (OMRON HBF-514C) and DXA (GE Lunar Prodigy), anthropometric measurements, handgrip strength, and Short Physical Performance Battery (SPPB) testing. Sarcopenia was defined using fat-free mass index (FFMI), skeletal muscle index (SMI), and validated DXA-based cut-offs. Analyses included Spearman correlation, Bland–Altman plots, Cohen’s kappa, receiver operating characteristic (ROC) curves, and multivariable linear regression for bias adjustment. Results: FFMI-BIA correlated strongly with FFMI-DXA (r=0.881) and SMI (r=0.854), both p<0.001. ROC-derived optimal FFMI-BIA cut-offs yielded AUCs of 0.878 and 0.873, achieving sensitivities of 87.8% and 85.1% and specificities of 79.3% and 82.8%. Agreement for FFMI-based classification was moderate (κ=0.575). The regression model incorporating FFMI-BIA, body mass index, and handgrip strength explained 78.3% of FFMI-DXA variance, reducing mean bias from –0.477 kg/m2 to –0.0009 kg/m2 and narrowing limits of agreement to –2.07 to 2.07 kg/m2. Conclusion: A widely available consumer-grade BIA device, when combined with a simple correction equation, can deliver accurate and calibrated estimates of sarcopenia risk. This integrated approach provides a scalable solution for early identification of sarcopenia in women with T2DM, especially in primary care and resource-limited environments.\n\n\n### (1) Postgraduated Program in Health Sciences, University of Pernambuco, Recife, PE, Brasil; (2) Afya School of Medical Sciences, Jaboatão dos Guararapes, PE, Brasil; (3) Division of Endocrinology and Diabetes, Agamenon Magalhães Hospital, Recife, PE, Brasil; (4) Pernambucana School of Health, Recife, PE, Brasil; (5) School of Medical Sciences, University of Pernambuco, Recife, PE, Brasil\nIntroduction: Sarcopenia is a progressive skeletal muscle disorder strongly associated with physical disability, falls, fractures, metabolic deterioration, and premature mortality. In women with type 2 diabetes (T2DM), particularly those postmenopausal, the combination of insulin resistance, chronic low-grade inflammation, and hormonal decline accelerates muscle loss, increasing the risk of sarcopenic obesity and functional impairment. Early detection is essential, yet dual-energy X-ray absorptiometry (DXA), the clinical reference method, remains costly and inaccessible in many healthcare settings. Consumer-grade bioelectrical impedance analysis (BIA) devices are portable, affordable, and radiation-free, but their diagnostic performance and agreement with DXA in this high-risk population require robust validation. Objective: To assess the diagnostic accuracy of a consumer-grade BIA device compared with DXA for detecting sarcopenia in women with T2DM and to evaluate the impact of a regression-based bias correction model for improving fat-free mass index (FFMI) estimation. Methods: In this cross-sectional study, 103 women with T2DM underwent same-day BIA (OMRON HBF-514C) and DXA (GE Lunar Prodigy), anthropometric measurements, handgrip strength, and Short Physical Performance Battery (SPPB) testing. Sarcopenia was defined using fat-free mass index (FFMI), skeletal muscle index (SMI), and validated DXA-based cut-offs. Analyses included Spearman correlation, Bland–Altman plots, Cohen’s kappa, receiver operating characteristic (ROC) curves, and multivariable linear regression for bias adjustment. Results: FFMI-BIA correlated strongly with FFMI-DXA (r=0.881) and SMI (r=0.854), both p<0.001. ROC-derived optimal FFMI-BIA cut-offs yielded AUCs of 0.878 and 0.873, achieving sensitivities of 87.8% and 85.1% and specificities of 79.3% and 82.8%. Agreement for FFMI-based classification was moderate (κ=0.575). The regression model incorporating FFMI-BIA, body mass index, and handgrip strength explained 78.3% of FFMI-DXA variance, reducing mean bias from –0.477 kg/m2 to –0.0009 kg/m2 and narrowing limits of agreement to –2.07 to 2.07 kg/m2. Conclusion: A widely available consumer-grade BIA device, when combined with a simple correction equation, can deliver accurate and calibrated estimates of sarcopenia risk. This integrated approach provides a scalable solution for early identification of sarcopenia in women with T2DM, especially in primary care and resource-limited environments.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—124\nIntroduction: Sarcopenia is a progressive skeletal muscle disorder strongly associated with physical disability, falls, fractures, metabolic deterioration, and premature mortality. In women with type 2 diabetes (T2DM), particularly those postmenopausal, the combination of insulin resistance, chronic low-grade inflammation, and hormonal decline accelerates muscle loss, increasing the risk of sarcopenic obesity and functional impairment. Early detection is essential, yet dual-energy X-ray absorptiometry (DXA), the clinical reference method, remains costly and inaccessible in many healthcare settings. Consumer-grade bioelectrical impedance analysis (BIA) devices are portable, affordable, and radiation-free, but their diagnostic performance and agreement with DXA in this high-risk population require robust validation. Objective: To assess the diagnostic accuracy of a consumer-grade BIA device compared with DXA for detecting sarcopenia in women with T2DM and to evaluate the impact of a regression-based bias correction model for improving fat-free mass index (FFMI) estimation. Methods: In this cross-sectional study, 103 women with T2DM underwent same-day BIA (OMRON HBF-514C) and DXA (GE Lunar Prodigy), anthropometric measurements, handgrip strength, and Short Physical Performance Battery (SPPB) testing. Sarcopenia was defined using fat-free mass index (FFMI), skeletal muscle index (SMI), and validated DXA-based cut-offs. Analyses included Spearman correlation, Bland–Altman plots, Cohen’s kappa, receiver operating characteristic (ROC) curves, and multivariable linear regression for bias adjustment. Results: FFMI-BIA correlated strongly with FFMI-DXA (r=0.881) and SMI (r=0.854), both p<0.001. ROC-derived optimal FFMI-BIA cut-offs yielded AUCs of 0.878 and 0.873, achieving sensitivities of 87.8% and 85.1% and specificities of 79.3% and 82.8%. Agreement for FFMI-based classification was moderate (κ=0.575). The regression model incorporating FFMI-BIA, body mass index, and handgrip strength explained 78.3% of FFMI-DXA variance, reducing mean bias from –0.477 kg/m2 to –0.0009 kg/m2 and narrowing limits of agreement to –2.07 to 2.07 kg/m2. Conclusion: A widely available consumer-grade BIA device, when combined with a simple correction equation, can deliver accurate and calibrated estimates of sarcopenia risk. This integrated approach provides a scalable solution for early identification of sarcopenia in women with T2DM, especially in primary care and resource-limited environments.\n\n\n### PO—125 Economic Impact and Regional Variations of Diabetes Mellitus Hospitalizations in Brazil (2013-2023)\nIntroduction: Diabetes Mellitus (DM) imposes a significant financial burden on healthcare systems, especially in developing countries like Brazil. Complications from the disease are among thea leading causes of hospitalization, resulting in high costs and uneven impacts across the country’s regions. Objective: To analyze the economic impact of DM hospitalizations on the Sistema Único de Saúde (SUS) and the regional variations in the number of cases and hospital costs between 2013 and 2023. Methods: This is a descriptive study based on data from the SUS Hospital Information System (SIH/SUS), accessed via DATASUS, covering the period from January 2013 to December 2023. Data were collected on the total number of hospitalizations, the average cost per hospitalization, and total expenditure across Brazil’s five regions (North, Northeast, Central-West, Southeast, and South). The analyses were conducted using measures of absolute frequency, percentage variation, and proportional distribution by region. Results: DM hospitalizations totaled 1,477,256 cases. The average cost per hospitalization was R$788.05 in 2013, showing a 73.27% increase until 2023. In the period, accumulated inflation was 88.02%, showing that despite the nominal growth in the costs per hospitalization, real spending decreased, which may mean more cost-efficient care. Total expenditure on hospitalizations in the country reached R$1,164,150,743.47 in 2023, representing an increase of 62.98% between 2013. The Southeast region had the highest average cost (R$ 921.90), while the North had the lowest (R$ 665.13). The Northeast (35.17%) and Southeast (32.17%) regions accounted for the majority of hospitalizations. The North region showed the largest relative increase (17.76%), and the South region showed the largest relative decrease (19.16%) in the number of cases. North and Southeast regions recorded the longest average length of stay while the South, had the shortest. The national average was 6.4 days. Conclusion: DM hospitalizations in Brazil show a growing financial cost and an unequal regional distribution. The most populous regions account for the majority of cases and expenditures, while the North region stood out for a significant growth in hospitalizations. These findings underscore the need for regionalized public policies that prioritize strengthening primary care and equitably allocating resources to reduce the financial burden and address disparities in diabetes management.\n\n\n### Vasconcellos RCMS1; de Campos LOMC1\nIntroduction: Diabetes Mellitus (DM) imposes a significant financial burden on healthcare systems, especially in developing countries like Brazil. Complications from the disease are among thea leading causes of hospitalization, resulting in high costs and uneven impacts across the country’s regions. Objective: To analyze the economic impact of DM hospitalizations on the Sistema Único de Saúde (SUS) and the regional variations in the number of cases and hospital costs between 2013 and 2023. Methods: This is a descriptive study based on data from the SUS Hospital Information System (SIH/SUS), accessed via DATASUS, covering the period from January 2013 to December 2023. Data were collected on the total number of hospitalizations, the average cost per hospitalization, and total expenditure across Brazil’s five regions (North, Northeast, Central-West, Southeast, and South). The analyses were conducted using measures of absolute frequency, percentage variation, and proportional distribution by region. Results: DM hospitalizations totaled 1,477,256 cases. The average cost per hospitalization was R$788.05 in 2013, showing a 73.27% increase until 2023. In the period, accumulated inflation was 88.02%, showing that despite the nominal growth in the costs per hospitalization, real spending decreased, which may mean more cost-efficient care. Total expenditure on hospitalizations in the country reached R$1,164,150,743.47 in 2023, representing an increase of 62.98% between 2013. The Southeast region had the highest average cost (R$ 921.90), while the North had the lowest (R$ 665.13). The Northeast (35.17%) and Southeast (32.17%) regions accounted for the majority of hospitalizations. The North region showed the largest relative increase (17.76%), and the South region showed the largest relative decrease (19.16%) in the number of cases. North and Southeast regions recorded the longest average length of stay while the South, had the shortest. The national average was 6.4 days. Conclusion: DM hospitalizations in Brazil show a growing financial cost and an unequal regional distribution. The most populous regions account for the majority of cases and expenditures, while the North region stood out for a significant growth in hospitalizations. These findings underscore the need for regionalized public policies that prioritize strengthening primary care and equitably allocating resources to reduce the financial burden and address disparities in diabetes management.\n\n\n### (1) Universidade Federal da Bahia, Salvador, BA, Brasil\nIntroduction: Diabetes Mellitus (DM) imposes a significant financial burden on healthcare systems, especially in developing countries like Brazil. Complications from the disease are among thea leading causes of hospitalization, resulting in high costs and uneven impacts across the country’s regions. Objective: To analyze the economic impact of DM hospitalizations on the Sistema Único de Saúde (SUS) and the regional variations in the number of cases and hospital costs between 2013 and 2023. Methods: This is a descriptive study based on data from the SUS Hospital Information System (SIH/SUS), accessed via DATASUS, covering the period from January 2013 to December 2023. Data were collected on the total number of hospitalizations, the average cost per hospitalization, and total expenditure across Brazil’s five regions (North, Northeast, Central-West, Southeast, and South). The analyses were conducted using measures of absolute frequency, percentage variation, and proportional distribution by region. Results: DM hospitalizations totaled 1,477,256 cases. The average cost per hospitalization was R$788.05 in 2013, showing a 73.27% increase until 2023. In the period, accumulated inflation was 88.02%, showing that despite the nominal growth in the costs per hospitalization, real spending decreased, which may mean more cost-efficient care. Total expenditure on hospitalizations in the country reached R$1,164,150,743.47 in 2023, representing an increase of 62.98% between 2013. The Southeast region had the highest average cost (R$ 921.90), while the North had the lowest (R$ 665.13). The Northeast (35.17%) and Southeast (32.17%) regions accounted for the majority of hospitalizations. The North region showed the largest relative increase (17.76%), and the South region showed the largest relative decrease (19.16%) in the number of cases. North and Southeast regions recorded the longest average length of stay while the South, had the shortest. The national average was 6.4 days. Conclusion: DM hospitalizations in Brazil show a growing financial cost and an unequal regional distribution. The most populous regions account for the majority of cases and expenditures, while the North region stood out for a significant growth in hospitalizations. These findings underscore the need for regionalized public policies that prioritize strengthening primary care and equitably allocating resources to reduce the financial burden and address disparities in diabetes management.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—125\nIntroduction: Diabetes Mellitus (DM) imposes a significant financial burden on healthcare systems, especially in developing countries like Brazil. Complications from the disease are among thea leading causes of hospitalization, resulting in high costs and uneven impacts across the country’s regions. Objective: To analyze the economic impact of DM hospitalizations on the Sistema Único de Saúde (SUS) and the regional variations in the number of cases and hospital costs between 2013 and 2023. Methods: This is a descriptive study based on data from the SUS Hospital Information System (SIH/SUS), accessed via DATASUS, covering the period from January 2013 to December 2023. Data were collected on the total number of hospitalizations, the average cost per hospitalization, and total expenditure across Brazil’s five regions (North, Northeast, Central-West, Southeast, and South). The analyses were conducted using measures of absolute frequency, percentage variation, and proportional distribution by region. Results: DM hospitalizations totaled 1,477,256 cases. The average cost per hospitalization was R$788.05 in 2013, showing a 73.27% increase until 2023. In the period, accumulated inflation was 88.02%, showing that despite the nominal growth in the costs per hospitalization, real spending decreased, which may mean more cost-efficient care. Total expenditure on hospitalizations in the country reached R$1,164,150,743.47 in 2023, representing an increase of 62.98% between 2013. The Southeast region had the highest average cost (R$ 921.90), while the North had the lowest (R$ 665.13). The Northeast (35.17%) and Southeast (32.17%) regions accounted for the majority of hospitalizations. The North region showed the largest relative increase (17.76%), and the South region showed the largest relative decrease (19.16%) in the number of cases. North and Southeast regions recorded the longest average length of stay while the South, had the shortest. The national average was 6.4 days. Conclusion: DM hospitalizations in Brazil show a growing financial cost and an unequal regional distribution. The most populous regions account for the majority of cases and expenditures, while the North region stood out for a significant growth in hospitalizations. These findings underscore the need for regionalized public policies that prioritize strengthening primary care and equitably allocating resources to reduce the financial burden and address disparities in diabetes management.\n\n\n### PO—128 Epidemiological Profile of Hospitalized Patients with Diabetes and HIV in Brazil’s Unified Health System (SUS), 2019–2024\nIntroduction: Diabetes mellitus and human immunodeficiency virus (HIV) infection are chronic conditions associated with high morbidity and mortality worldwide, particularly in low- and middle-income countries (World Health Organization, 2023). Their coexistence increases the risk of complications, hospitalizations, and adverse outcomes. In Brazil, where the Unified Health System (SUS) ensures universal access to healthcare, describing the epidemiological profile of patients with both conditions is essential to guide public health policies and improve care delivery. Objective: To analyze hospitalizations for diabetes mellitus and HIV in Brazil’s Unified Health System (SUS) from 2019 to 2024. Methods: This was an ecological, descriptive, and retrospective study based on secondary data obtained from the DATASUS database in 2025. Hospitalizations registered between 2019 and 2024 with simultaneous diagnoses of diabetes mellitus (ICD-10 E14) and HIV infection (ICD-10 B20–B24) were included. Variables analyzed were number of hospitalizations, sex, age group, race/skin color, type of care, average length of hospital stay, and main causes of admission. Data analysis was descriptive, using absolute and relative frequencies. Results: From 2019 to 2024, 12,430 hospitalizations were recorded in patients with concurrent diagnoses of diabetes mellitus and HIV. Most cases occurred in men (58%), mainly in the 40–59 age group (46%). The average hospital stay was 11.3 days. The leading causes of hospitalization were opportunistic infections associated with metabolic decompensation (39%), vascular complications and diabetic foot (21%), and chronic kidney failure (14%). Conclusion: The findings indicate that middle-aged men account for the majority of hospitalizations due to the coexistence of diabetes and HIV, with prolonged hospital stays and infectious and metabolic complications as the main causes. These results highlight the need for preventive strategies focused on metabolic control, early management of opportunistic infections, and monitoring of chronic complications to reduce hospitalizations and improve the quality of life in this vulnerable population.\n\n\n### Patrocinio GF1; de Oliveira GJ1; Rovaron BSE1; Bessa Facin ALB; Lemos PA1\nIntroduction: Diabetes mellitus and human immunodeficiency virus (HIV) infection are chronic conditions associated with high morbidity and mortality worldwide, particularly in low- and middle-income countries (World Health Organization, 2023). Their coexistence increases the risk of complications, hospitalizations, and adverse outcomes. In Brazil, where the Unified Health System (SUS) ensures universal access to healthcare, describing the epidemiological profile of patients with both conditions is essential to guide public health policies and improve care delivery. Objective: To analyze hospitalizations for diabetes mellitus and HIV in Brazil’s Unified Health System (SUS) from 2019 to 2024. Methods: This was an ecological, descriptive, and retrospective study based on secondary data obtained from the DATASUS database in 2025. Hospitalizations registered between 2019 and 2024 with simultaneous diagnoses of diabetes mellitus (ICD-10 E14) and HIV infection (ICD-10 B20–B24) were included. Variables analyzed were number of hospitalizations, sex, age group, race/skin color, type of care, average length of hospital stay, and main causes of admission. Data analysis was descriptive, using absolute and relative frequencies. Results: From 2019 to 2024, 12,430 hospitalizations were recorded in patients with concurrent diagnoses of diabetes mellitus and HIV. Most cases occurred in men (58%), mainly in the 40–59 age group (46%). The average hospital stay was 11.3 days. The leading causes of hospitalization were opportunistic infections associated with metabolic decompensation (39%), vascular complications and diabetic foot (21%), and chronic kidney failure (14%). Conclusion: The findings indicate that middle-aged men account for the majority of hospitalizations due to the coexistence of diabetes and HIV, with prolonged hospital stays and infectious and metabolic complications as the main causes. These results highlight the need for preventive strategies focused on metabolic control, early management of opportunistic infections, and monitoring of chronic complications to reduce hospitalizations and improve the quality of life in this vulnerable population.\n\n\n### (1) Uninove, São Paulo, SP, Brasil\nIntroduction: Diabetes mellitus and human immunodeficiency virus (HIV) infection are chronic conditions associated with high morbidity and mortality worldwide, particularly in low- and middle-income countries (World Health Organization, 2023). Their coexistence increases the risk of complications, hospitalizations, and adverse outcomes. In Brazil, where the Unified Health System (SUS) ensures universal access to healthcare, describing the epidemiological profile of patients with both conditions is essential to guide public health policies and improve care delivery. Objective: To analyze hospitalizations for diabetes mellitus and HIV in Brazil’s Unified Health System (SUS) from 2019 to 2024. Methods: This was an ecological, descriptive, and retrospective study based on secondary data obtained from the DATASUS database in 2025. Hospitalizations registered between 2019 and 2024 with simultaneous diagnoses of diabetes mellitus (ICD-10 E14) and HIV infection (ICD-10 B20–B24) were included. Variables analyzed were number of hospitalizations, sex, age group, race/skin color, type of care, average length of hospital stay, and main causes of admission. Data analysis was descriptive, using absolute and relative frequencies. Results: From 2019 to 2024, 12,430 hospitalizations were recorded in patients with concurrent diagnoses of diabetes mellitus and HIV. Most cases occurred in men (58%), mainly in the 40–59 age group (46%). The average hospital stay was 11.3 days. The leading causes of hospitalization were opportunistic infections associated with metabolic decompensation (39%), vascular complications and diabetic foot (21%), and chronic kidney failure (14%). Conclusion: The findings indicate that middle-aged men account for the majority of hospitalizations due to the coexistence of diabetes and HIV, with prolonged hospital stays and infectious and metabolic complications as the main causes. These results highlight the need for preventive strategies focused on metabolic control, early management of opportunistic infections, and monitoring of chronic complications to reduce hospitalizations and improve the quality of life in this vulnerable population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—128\nIntroduction: Diabetes mellitus and human immunodeficiency virus (HIV) infection are chronic conditions associated with high morbidity and mortality worldwide, particularly in low- and middle-income countries (World Health Organization, 2023). Their coexistence increases the risk of complications, hospitalizations, and adverse outcomes. In Brazil, where the Unified Health System (SUS) ensures universal access to healthcare, describing the epidemiological profile of patients with both conditions is essential to guide public health policies and improve care delivery. Objective: To analyze hospitalizations for diabetes mellitus and HIV in Brazil’s Unified Health System (SUS) from 2019 to 2024. Methods: This was an ecological, descriptive, and retrospective study based on secondary data obtained from the DATASUS database in 2025. Hospitalizations registered between 2019 and 2024 with simultaneous diagnoses of diabetes mellitus (ICD-10 E14) and HIV infection (ICD-10 B20–B24) were included. Variables analyzed were number of hospitalizations, sex, age group, race/skin color, type of care, average length of hospital stay, and main causes of admission. Data analysis was descriptive, using absolute and relative frequencies. Results: From 2019 to 2024, 12,430 hospitalizations were recorded in patients with concurrent diagnoses of diabetes mellitus and HIV. Most cases occurred in men (58%), mainly in the 40–59 age group (46%). The average hospital stay was 11.3 days. The leading causes of hospitalization were opportunistic infections associated with metabolic decompensation (39%), vascular complications and diabetic foot (21%), and chronic kidney failure (14%). Conclusion: The findings indicate that middle-aged men account for the majority of hospitalizations due to the coexistence of diabetes and HIV, with prolonged hospital stays and infectious and metabolic complications as the main causes. These results highlight the need for preventive strategies focused on metabolic control, early management of opportunistic infections, and monitoring of chronic complications to reduce hospitalizations and improve the quality of life in this vulnerable population.\n\n\n### PO—129 Epidemiological Profile of Type 2 Diabetes Mellitus Hospitalizations in Brazil’s Unified Health System: an Analysis of Regional and Age-Related Disparities (2015-2024)\nIntroduction: The increase in longevity associated with lifestyle changes, such as unbalanced diets and sedentary behavior, aggravates the national scenario of type-2 diabetes mellitus (T2DM) in the elderly, becoming a real and growing concern. Brazil, due to its territorial extension and population miscegenation, presents a complex scenario when analyzing differences between federative regions. Several factors influence these differences, such as healthcare access across different age groups and socioeconomic conditions. Objective: Therefore, the objective of this study was to analyze the epidemiological profile of SUS hospitalizations for diabetes according to regions and age groups. Methods: This is a quantitative, descriptive, and retrospective study using DATASUS/TABNET data. The analyzed variables were: regions, age group, year (2019-2024), and ICD-10 (Metabolic and endocrine diseases). The statistical analyses performed were ANOVA, Pearson correlation, and temporal trends (p<0.05). Excel 2010 was used. Results: total of 767,731 T2DM hospitalizations were analyzed (2019-2024). Results revealed striking differences between Brazilian regions (Figure 1). The North region presented the highest hospitalization rate (78.08/100k inhabitants), followed by Northeast (73.46/100k), South (59.31/100k), Southeast (58.98/100k), and Central-West (54.67/100k) (ANOVA: p<0.001). The highest age concentration was in patients ≥50 years, representing 68.2% of cases, with peak in the 60-69 years age group (26.8%). There was an increasing temporal trend in regions with highest rates: North (+4.2%/year; r=0.89; p<0.01) and Northeast (+1.8%/year; r=0.64; p<0.05). These differences were significant between North vs Central-West (Δ=23.41/100k; p<0.001) and Northeast vs Central-West (Δ=18.79/100k; p<0.001). The identified regional disparities reveal inequities in diabetes care access, with North/Northeast regions showing patterns that may reflect changes in dietary habits, sedentary lifestyle, and limited access to primary disease prevention. The predominance of hospitalizations in patients ≥50 years reflects population aging and the need for service adaptation. Conclusion: Study findings emphasize regional disparities requiring targeted policies for primary prevention, enhanced public health programs, and specialized elderly care. T2DM demands integrated territorial approaches with age-specific strategies to optimize diabetes management and outcomes.Figure 1 (abstract PO–129) Emporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\nEmporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\n\n\n### Pala D1; de Jesus RF; Silva HP; Sarquis C1\nIntroduction: The increase in longevity associated with lifestyle changes, such as unbalanced diets and sedentary behavior, aggravates the national scenario of type-2 diabetes mellitus (T2DM) in the elderly, becoming a real and growing concern. Brazil, due to its territorial extension and population miscegenation, presents a complex scenario when analyzing differences between federative regions. Several factors influence these differences, such as healthcare access across different age groups and socioeconomic conditions. Objective: Therefore, the objective of this study was to analyze the epidemiological profile of SUS hospitalizations for diabetes according to regions and age groups. Methods: This is a quantitative, descriptive, and retrospective study using DATASUS/TABNET data. The analyzed variables were: regions, age group, year (2019-2024), and ICD-10 (Metabolic and endocrine diseases). The statistical analyses performed were ANOVA, Pearson correlation, and temporal trends (p<0.05). Excel 2010 was used. Results: total of 767,731 T2DM hospitalizations were analyzed (2019-2024). Results revealed striking differences between Brazilian regions (Figure 1). The North region presented the highest hospitalization rate (78.08/100k inhabitants), followed by Northeast (73.46/100k), South (59.31/100k), Southeast (58.98/100k), and Central-West (54.67/100k) (ANOVA: p<0.001). The highest age concentration was in patients ≥50 years, representing 68.2% of cases, with peak in the 60-69 years age group (26.8%). There was an increasing temporal trend in regions with highest rates: North (+4.2%/year; r=0.89; p<0.01) and Northeast (+1.8%/year; r=0.64; p<0.05). These differences were significant between North vs Central-West (Δ=23.41/100k; p<0.001) and Northeast vs Central-West (Δ=18.79/100k; p<0.001). The identified regional disparities reveal inequities in diabetes care access, with North/Northeast regions showing patterns that may reflect changes in dietary habits, sedentary lifestyle, and limited access to primary disease prevention. The predominance of hospitalizations in patients ≥50 years reflects population aging and the need for service adaptation. Conclusion: Study findings emphasize regional disparities requiring targeted policies for primary prevention, enhanced public health programs, and specialized elderly care. T2DM demands integrated territorial approaches with age-specific strategies to optimize diabetes management and outcomes.Figure 1 (abstract PO–129) Emporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\nEmporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\n\n\n### (1) Faculdade Pitágoras de Medicina, Eunápolis, BA, Brasil; (2) UNIFTC/UNEX, Salvador, BA, Brasil\nIntroduction: The increase in longevity associated with lifestyle changes, such as unbalanced diets and sedentary behavior, aggravates the national scenario of type-2 diabetes mellitus (T2DM) in the elderly, becoming a real and growing concern. Brazil, due to its territorial extension and population miscegenation, presents a complex scenario when analyzing differences between federative regions. Several factors influence these differences, such as healthcare access across different age groups and socioeconomic conditions. Objective: Therefore, the objective of this study was to analyze the epidemiological profile of SUS hospitalizations for diabetes according to regions and age groups. Methods: This is a quantitative, descriptive, and retrospective study using DATASUS/TABNET data. The analyzed variables were: regions, age group, year (2019-2024), and ICD-10 (Metabolic and endocrine diseases). The statistical analyses performed were ANOVA, Pearson correlation, and temporal trends (p<0.05). Excel 2010 was used. Results: total of 767,731 T2DM hospitalizations were analyzed (2019-2024). Results revealed striking differences between Brazilian regions (Figure 1). The North region presented the highest hospitalization rate (78.08/100k inhabitants), followed by Northeast (73.46/100k), South (59.31/100k), Southeast (58.98/100k), and Central-West (54.67/100k) (ANOVA: p<0.001). The highest age concentration was in patients ≥50 years, representing 68.2% of cases, with peak in the 60-69 years age group (26.8%). There was an increasing temporal trend in regions with highest rates: North (+4.2%/year; r=0.89; p<0.01) and Northeast (+1.8%/year; r=0.64; p<0.05). These differences were significant between North vs Central-West (Δ=23.41/100k; p<0.001) and Northeast vs Central-West (Δ=18.79/100k; p<0.001). The identified regional disparities reveal inequities in diabetes care access, with North/Northeast regions showing patterns that may reflect changes in dietary habits, sedentary lifestyle, and limited access to primary disease prevention. The predominance of hospitalizations in patients ≥50 years reflects population aging and the need for service adaptation. Conclusion: Study findings emphasize regional disparities requiring targeted policies for primary prevention, enhanced public health programs, and specialized elderly care. T2DM demands integrated territorial approaches with age-specific strategies to optimize diabetes management and outcomes.Figure 1 (abstract PO–129) Emporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\nEmporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—129\nIntroduction: The increase in longevity associated with lifestyle changes, such as unbalanced diets and sedentary behavior, aggravates the national scenario of type-2 diabetes mellitus (T2DM) in the elderly, becoming a real and growing concern. Brazil, due to its territorial extension and population miscegenation, presents a complex scenario when analyzing differences between federative regions. Several factors influence these differences, such as healthcare access across different age groups and socioeconomic conditions. Objective: Therefore, the objective of this study was to analyze the epidemiological profile of SUS hospitalizations for diabetes according to regions and age groups. Methods: This is a quantitative, descriptive, and retrospective study using DATASUS/TABNET data. The analyzed variables were: regions, age group, year (2019-2024), and ICD-10 (Metabolic and endocrine diseases). The statistical analyses performed were ANOVA, Pearson correlation, and temporal trends (p<0.05). Excel 2010 was used. Results: total of 767,731 T2DM hospitalizations were analyzed (2019-2024). Results revealed striking differences between Brazilian regions (Figure 1). The North region presented the highest hospitalization rate (78.08/100k inhabitants), followed by Northeast (73.46/100k), South (59.31/100k), Southeast (58.98/100k), and Central-West (54.67/100k) (ANOVA: p<0.001). The highest age concentration was in patients ≥50 years, representing 68.2% of cases, with peak in the 60-69 years age group (26.8%). There was an increasing temporal trend in regions with highest rates: North (+4.2%/year; r=0.89; p<0.01) and Northeast (+1.8%/year; r=0.64; p<0.05). These differences were significant between North vs Central-West (Δ=23.41/100k; p<0.001) and Northeast vs Central-West (Δ=18.79/100k; p<0.001). The identified regional disparities reveal inequities in diabetes care access, with North/Northeast regions showing patterns that may reflect changes in dietary habits, sedentary lifestyle, and limited access to primary disease prevention. The predominance of hospitalizations in patients ≥50 years reflects population aging and the need for service adaptation. Conclusion: Study findings emphasize regional disparities requiring targeted policies for primary prevention, enhanced public health programs, and specialized elderly care. T2DM demands integrated territorial approaches with age-specific strategies to optimize diabetes management and outcomes.Figure 1 (abstract PO–129) Emporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\nEmporal evolution of diabetes mellitus hospitalization rates in Brazil’s unified Health system by geographic regions, 2019-2024 line chart showing temporal trends of diabetes hospitalization rates across the five Brazilian regions throughout the analyzed period. Source: Hospital information system of Brazil’s unified Health system (SIH/SUS). Data processed by the Department of informatics of the unified Health system (DATASUS)\n\n\n### PO—130 Factors Associated with Self-Management ff Insulin Therapy: an Integrative Review\nIntroduction: Diabetes Mellitus is a chronic condition with high prevalence and severe complications when not properly managed. Self-management of insulin therapy is essential for glycemic control and risk reduction, but adherence is influenced by multiple factors. Objective: To identify factors influencing insulin therapy self-management. Methods: Integrative review guided by the PICo strategy: Population (people with diabetes), Phenomenon of Interest (self-management), and Context (insulin therapy). Searches were conducted in October 2024 in PubMed, Web of Science, LILACS, and BDENF. Inclusion criteria: original studies (quantitative/qualitative), published from January 2019 to September 2024, involving insulin-dependent individuals with type 1 or 2 diabetes. Exclusions: reviews, case reports, theses, dissertations, and studies on gestational diabetes or other therapies. Data were analyzed descriptively and qualitatively; evidence levels followed Oxford Centre for Evidence-based Medicine. Results: The search identified 726 articles; 37 met eligibility after PRISMA screening. Evidence showed that self-management is influenced by individual, behavioral, and systemic factors. Barriers included limited knowledge of insulin handling, incorrect storage, and low functional health literacy, compromising treatment safety. Cognitive burden and difficulty in behavioral change were recurrent challenges. Facilitators included professional support and health education, which promoted understanding and autonomy. Digital technologies emerged as promising tools for monitoring, reminders, and patient-professional interaction. Conclusion: Insulin therapy self-management faces challenges such as knowledge gaps, improper storage, limited literacy, cognitive overload, and behavioral resistance. Conversely, consistent professional guidance, targeted education, and technology integration can enhance adherence and safety. Implementing comprehensive educational programs and leveraging digital tools are recommended to strengthen autonomy and improve glycemic outcomes.\n\n\n### Neto JCGL1; dos Reis LF1; Gonçalves ABS1; de Sá LRPF1; Almeida SO1; Oliveira LS1; Santos RS1; de Sousa AD1; da Penha JC1\nIntroduction: Diabetes Mellitus is a chronic condition with high prevalence and severe complications when not properly managed. Self-management of insulin therapy is essential for glycemic control and risk reduction, but adherence is influenced by multiple factors. Objective: To identify factors influencing insulin therapy self-management. Methods: Integrative review guided by the PICo strategy: Population (people with diabetes), Phenomenon of Interest (self-management), and Context (insulin therapy). Searches were conducted in October 2024 in PubMed, Web of Science, LILACS, and BDENF. Inclusion criteria: original studies (quantitative/qualitative), published from January 2019 to September 2024, involving insulin-dependent individuals with type 1 or 2 diabetes. Exclusions: reviews, case reports, theses, dissertations, and studies on gestational diabetes or other therapies. Data were analyzed descriptively and qualitatively; evidence levels followed Oxford Centre for Evidence-based Medicine. Results: The search identified 726 articles; 37 met eligibility after PRISMA screening. Evidence showed that self-management is influenced by individual, behavioral, and systemic factors. Barriers included limited knowledge of insulin handling, incorrect storage, and low functional health literacy, compromising treatment safety. Cognitive burden and difficulty in behavioral change were recurrent challenges. Facilitators included professional support and health education, which promoted understanding and autonomy. Digital technologies emerged as promising tools for monitoring, reminders, and patient-professional interaction. Conclusion: Insulin therapy self-management faces challenges such as knowledge gaps, improper storage, limited literacy, cognitive overload, and behavioral resistance. Conversely, consistent professional guidance, targeted education, and technology integration can enhance adherence and safety. Implementing comprehensive educational programs and leveraging digital tools are recommended to strengthen autonomy and improve glycemic outcomes.\n\n\n### (1) Universidade Federal do Piauí, Floriano, PI, Brasil\nIntroduction: Diabetes Mellitus is a chronic condition with high prevalence and severe complications when not properly managed. Self-management of insulin therapy is essential for glycemic control and risk reduction, but adherence is influenced by multiple factors. Objective: To identify factors influencing insulin therapy self-management. Methods: Integrative review guided by the PICo strategy: Population (people with diabetes), Phenomenon of Interest (self-management), and Context (insulin therapy). Searches were conducted in October 2024 in PubMed, Web of Science, LILACS, and BDENF. Inclusion criteria: original studies (quantitative/qualitative), published from January 2019 to September 2024, involving insulin-dependent individuals with type 1 or 2 diabetes. Exclusions: reviews, case reports, theses, dissertations, and studies on gestational diabetes or other therapies. Data were analyzed descriptively and qualitatively; evidence levels followed Oxford Centre for Evidence-based Medicine. Results: The search identified 726 articles; 37 met eligibility after PRISMA screening. Evidence showed that self-management is influenced by individual, behavioral, and systemic factors. Barriers included limited knowledge of insulin handling, incorrect storage, and low functional health literacy, compromising treatment safety. Cognitive burden and difficulty in behavioral change were recurrent challenges. Facilitators included professional support and health education, which promoted understanding and autonomy. Digital technologies emerged as promising tools for monitoring, reminders, and patient-professional interaction. Conclusion: Insulin therapy self-management faces challenges such as knowledge gaps, improper storage, limited literacy, cognitive overload, and behavioral resistance. Conversely, consistent professional guidance, targeted education, and technology integration can enhance adherence and safety. Implementing comprehensive educational programs and leveraging digital tools are recommended to strengthen autonomy and improve glycemic outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO--130\nIntroduction: Diabetes Mellitus is a chronic condition with high prevalence and severe complications when not properly managed. Self-management of insulin therapy is essential for glycemic control and risk reduction, but adherence is influenced by multiple factors. Objective: To identify factors influencing insulin therapy self-management. Methods: Integrative review guided by the PICo strategy: Population (people with diabetes), Phenomenon of Interest (self-management), and Context (insulin therapy). Searches were conducted in October 2024 in PubMed, Web of Science, LILACS, and BDENF. Inclusion criteria: original studies (quantitative/qualitative), published from January 2019 to September 2024, involving insulin-dependent individuals with type 1 or 2 diabetes. Exclusions: reviews, case reports, theses, dissertations, and studies on gestational diabetes or other therapies. Data were analyzed descriptively and qualitatively; evidence levels followed Oxford Centre for Evidence-based Medicine. Results: The search identified 726 articles; 37 met eligibility after PRISMA screening. Evidence showed that self-management is influenced by individual, behavioral, and systemic factors. Barriers included limited knowledge of insulin handling, incorrect storage, and low functional health literacy, compromising treatment safety. Cognitive burden and difficulty in behavioral change were recurrent challenges. Facilitators included professional support and health education, which promoted understanding and autonomy. Digital technologies emerged as promising tools for monitoring, reminders, and patient-professional interaction. Conclusion: Insulin therapy self-management faces challenges such as knowledge gaps, improper storage, limited literacy, cognitive overload, and behavioral resistance. Conversely, consistent professional guidance, targeted education, and technology integration can enhance adherence and safety. Implementing comprehensive educational programs and leveraging digital tools are recommended to strengthen autonomy and improve glycemic outcomes.\n\n\n### PO—131 Frequency of Positive Autoantibodies and Their Association with Other Autoimmune Diseases in Patients with Type 1 Diabetes\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease that leads to the destruction of pancreatic β cells, resulting in a deficiency in insulin secretion. The presence of antibodies, such as glutamic acid decarboxylase (GADA) and islet tyrosine phosphatase 2 (ANTI-IA2), is crucial for disease classification. Objective: The study aims to evaluate the frequency of GADA and ANTI-IA2 antibodies and their associations with other autoimmune diseases and random C-peptide levels in patients with T1D. Methods: This was a cross-sectional study that included a review of medical charts and measurement of GADA and ANTI-IA2 in patients with a clinical diagnosis of T1D, followed up at a tertiary center. Data were collected on age, gender, age at diagnosis, duration of disease, GADA and ANTI-IA2 titers, body mass index (BMI), random C-peptide levels, and diagnosis of other autoimmune diseases. Results: The sample comprised 282 patients with mean age, age at onset and disease duration of 35.34, 15.8, and 20.3 years, respectively. Thyroid diseases, vitiligo, celiac disease, psoriasis, and autoimmune hepatitis were found in 13%, 0.3%, 1.4%, 0.3%, and 0.3% of the cases, respectively. GADA (+) was detected in 40.2% of cases and was associated with other autoimmune diseases (p=0.006). Preserved C-peptide (>0.6) was identified in 16.6% of cases (46) and in 10.2% of those with more than 5 years of disease (aqui colocar o titulo medio). ANTI-IA2 was positive in 7.9% of the cases. It was not associated with either preserved C-peptide (p=1.0) or other autoimmune diseases (p=0.519). In patients with more than 10 years of disease, there was a difference in the levels of C-peptide (p=0.05) and ANTI-IA2 (p=0.046), but not for ANTI-GAD (p=0.689) and the prevalence of other autoimmune diseases (p=0.616). Conclusion: : In this sample with long-standing T1D, a relevant proportion of patients remained with positive serum autoantibodies. Although GADA was the most common antibody, anti-IA2 was also detected in a few cases. While long-standing GADA was associated with a higher frequency of other autoimmune diseases and C-peptide, the same was not observed for anti-IA2.\n\n\n### Caneca KPO1; Silva JMS1; Dantas JR1; Zajdenverg L1; Rodacki M1\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease that leads to the destruction of pancreatic β cells, resulting in a deficiency in insulin secretion. The presence of antibodies, such as glutamic acid decarboxylase (GADA) and islet tyrosine phosphatase 2 (ANTI-IA2), is crucial for disease classification. Objective: The study aims to evaluate the frequency of GADA and ANTI-IA2 antibodies and their associations with other autoimmune diseases and random C-peptide levels in patients with T1D. Methods: This was a cross-sectional study that included a review of medical charts and measurement of GADA and ANTI-IA2 in patients with a clinical diagnosis of T1D, followed up at a tertiary center. Data were collected on age, gender, age at diagnosis, duration of disease, GADA and ANTI-IA2 titers, body mass index (BMI), random C-peptide levels, and diagnosis of other autoimmune diseases. Results: The sample comprised 282 patients with mean age, age at onset and disease duration of 35.34, 15.8, and 20.3 years, respectively. Thyroid diseases, vitiligo, celiac disease, psoriasis, and autoimmune hepatitis were found in 13%, 0.3%, 1.4%, 0.3%, and 0.3% of the cases, respectively. GADA (+) was detected in 40.2% of cases and was associated with other autoimmune diseases (p=0.006). Preserved C-peptide (>0.6) was identified in 16.6% of cases (46) and in 10.2% of those with more than 5 years of disease (aqui colocar o titulo medio). ANTI-IA2 was positive in 7.9% of the cases. It was not associated with either preserved C-peptide (p=1.0) or other autoimmune diseases (p=0.519). In patients with more than 10 years of disease, there was a difference in the levels of C-peptide (p=0.05) and ANTI-IA2 (p=0.046), but not for ANTI-GAD (p=0.689) and the prevalence of other autoimmune diseases (p=0.616). Conclusion: : In this sample with long-standing T1D, a relevant proportion of patients remained with positive serum autoantibodies. Although GADA was the most common antibody, anti-IA2 was also detected in a few cases. While long-standing GADA was associated with a higher frequency of other autoimmune diseases and C-peptide, the same was not observed for anti-IA2.\n\n\n### (1) Universidade Federal do Rio de Janeiro, RJ, Brasil\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease that leads to the destruction of pancreatic β cells, resulting in a deficiency in insulin secretion. The presence of antibodies, such as glutamic acid decarboxylase (GADA) and islet tyrosine phosphatase 2 (ANTI-IA2), is crucial for disease classification. Objective: The study aims to evaluate the frequency of GADA and ANTI-IA2 antibodies and their associations with other autoimmune diseases and random C-peptide levels in patients with T1D. Methods: This was a cross-sectional study that included a review of medical charts and measurement of GADA and ANTI-IA2 in patients with a clinical diagnosis of T1D, followed up at a tertiary center. Data were collected on age, gender, age at diagnosis, duration of disease, GADA and ANTI-IA2 titers, body mass index (BMI), random C-peptide levels, and diagnosis of other autoimmune diseases. Results: The sample comprised 282 patients with mean age, age at onset and disease duration of 35.34, 15.8, and 20.3 years, respectively. Thyroid diseases, vitiligo, celiac disease, psoriasis, and autoimmune hepatitis were found in 13%, 0.3%, 1.4%, 0.3%, and 0.3% of the cases, respectively. GADA (+) was detected in 40.2% of cases and was associated with other autoimmune diseases (p=0.006). Preserved C-peptide (>0.6) was identified in 16.6% of cases (46) and in 10.2% of those with more than 5 years of disease (aqui colocar o titulo medio). ANTI-IA2 was positive in 7.9% of the cases. It was not associated with either preserved C-peptide (p=1.0) or other autoimmune diseases (p=0.519). In patients with more than 10 years of disease, there was a difference in the levels of C-peptide (p=0.05) and ANTI-IA2 (p=0.046), but not for ANTI-GAD (p=0.689) and the prevalence of other autoimmune diseases (p=0.616). Conclusion: : In this sample with long-standing T1D, a relevant proportion of patients remained with positive serum autoantibodies. Although GADA was the most common antibody, anti-IA2 was also detected in a few cases. While long-standing GADA was associated with a higher frequency of other autoimmune diseases and C-peptide, the same was not observed for anti-IA2.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—131\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease that leads to the destruction of pancreatic β cells, resulting in a deficiency in insulin secretion. The presence of antibodies, such as glutamic acid decarboxylase (GADA) and islet tyrosine phosphatase 2 (ANTI-IA2), is crucial for disease classification. Objective: The study aims to evaluate the frequency of GADA and ANTI-IA2 antibodies and their associations with other autoimmune diseases and random C-peptide levels in patients with T1D. Methods: This was a cross-sectional study that included a review of medical charts and measurement of GADA and ANTI-IA2 in patients with a clinical diagnosis of T1D, followed up at a tertiary center. Data were collected on age, gender, age at diagnosis, duration of disease, GADA and ANTI-IA2 titers, body mass index (BMI), random C-peptide levels, and diagnosis of other autoimmune diseases. Results: The sample comprised 282 patients with mean age, age at onset and disease duration of 35.34, 15.8, and 20.3 years, respectively. Thyroid diseases, vitiligo, celiac disease, psoriasis, and autoimmune hepatitis were found in 13%, 0.3%, 1.4%, 0.3%, and 0.3% of the cases, respectively. GADA (+) was detected in 40.2% of cases and was associated with other autoimmune diseases (p=0.006). Preserved C-peptide (>0.6) was identified in 16.6% of cases (46) and in 10.2% of those with more than 5 years of disease (aqui colocar o titulo medio). ANTI-IA2 was positive in 7.9% of the cases. It was not associated with either preserved C-peptide (p=1.0) or other autoimmune diseases (p=0.519). In patients with more than 10 years of disease, there was a difference in the levels of C-peptide (p=0.05) and ANTI-IA2 (p=0.046), but not for ANTI-GAD (p=0.689) and the prevalence of other autoimmune diseases (p=0.616). Conclusion: : In this sample with long-standing T1D, a relevant proportion of patients remained with positive serum autoantibodies. Although GADA was the most common antibody, anti-IA2 was also detected in a few cases. While long-standing GADA was associated with a higher frequency of other autoimmune diseases and C-peptide, the same was not observed for anti-IA2.\n\n\n### PO—132 Genetic Basis of MODY in Brazilian Patients Investigated Through Exome Sequencing\nIntroduction: Maturity Onset Diabetes of the Young (MODY) is the most common monogenic subtype, characterized by early onset, autosomal dominant inheritance, and a primary defect in the pancreatic β-cell. Although targeted sequencing panels (tNGS) of genes such as GCK and HNF1A are widely used, recent studies highlight the value of whole-exome sequencing (WES) in identifying rare variants. In Brazil, large-scale studies using WES for MODY are still lacking, which could significantly expand the genetic characterization of the disease in this population. Objective: This study aimed to investigate the genetic basis of monogenic diabetes in patients from Rio de Janeiro through a virtual gene panel applied to WES, assessing the frequency and relevance of pathogenic variants in MODY-associated genes. Methods: A total of 32 individuals were selected based on diabetes diagnosis before the age of 40, family history in at least two generations, and absence of autoantibodies (anti-GAD and anti-IA2). Analyses were performed using a virtual panel of 17 MODY-related genes (ABCC8, APPL1, BLK, CEL, GCK, HNF1A, HNF1B, HNF4A, INS, KCNJ11, KLF11, MTTL1, NEUROD1, PAX4, PDX1, RFX6, WFS1). Variants were prioritized according to: (1) sequencing quality (AB: 40–60% for heterozygotes, >60% for homozygotes); (2) location in exonic regions or within 10 bp of splice sites; (3) non-synonymous protein effect; (4) population frequency <1% in gnomAD or ABraOM; (5) clinical relevance according to predefined filters. Results: A total of 14 potentially pathogenic variants were identified in 13 individuals, distributed across six genes. Variants were classified according to ACMG guidelines as: 1 pathogenic (7.1%) and 5 likely pathogenic (35.7%). Two variants were identified in the same patient: in the genes WFS1 (exon 8) and KCNJ11 (exon 1), classified as likely pathogenic and pathogenic, respectively. In addition, variants were identified in other patients in the genes NEUROD1 (exon 1) and GCK (exons 1, 2, and 5), all classified as pathogenic or likely pathogenic. These variants are rare, conserved across species, and either absent or at very low frequencies in population databases. Conclusion: WES demonstrated high effectiveness in detecting rare MODY variants, enhancing molecular diagnosis and providing deeper insight into the genetic heterogeneity of the disease in the Brazilian population.\n\n\n### Andrade AF1; Souza RB2; Snaider D2; Saggioro BB2; Borges F2; Rodrigues MVS2; Zembrzuski VM2; Fonseca ACP3; Junior MC2; Abreu GM2\nIntroduction: Maturity Onset Diabetes of the Young (MODY) is the most common monogenic subtype, characterized by early onset, autosomal dominant inheritance, and a primary defect in the pancreatic β-cell. Although targeted sequencing panels (tNGS) of genes such as GCK and HNF1A are widely used, recent studies highlight the value of whole-exome sequencing (WES) in identifying rare variants. In Brazil, large-scale studies using WES for MODY are still lacking, which could significantly expand the genetic characterization of the disease in this population. Objective: This study aimed to investigate the genetic basis of monogenic diabetes in patients from Rio de Janeiro through a virtual gene panel applied to WES, assessing the frequency and relevance of pathogenic variants in MODY-associated genes. Methods: A total of 32 individuals were selected based on diabetes diagnosis before the age of 40, family history in at least two generations, and absence of autoantibodies (anti-GAD and anti-IA2). Analyses were performed using a virtual panel of 17 MODY-related genes (ABCC8, APPL1, BLK, CEL, GCK, HNF1A, HNF1B, HNF4A, INS, KCNJ11, KLF11, MTTL1, NEUROD1, PAX4, PDX1, RFX6, WFS1). Variants were prioritized according to: (1) sequencing quality (AB: 40–60% for heterozygotes, >60% for homozygotes); (2) location in exonic regions or within 10 bp of splice sites; (3) non-synonymous protein effect; (4) population frequency <1% in gnomAD or ABraOM; (5) clinical relevance according to predefined filters. Results: A total of 14 potentially pathogenic variants were identified in 13 individuals, distributed across six genes. Variants were classified according to ACMG guidelines as: 1 pathogenic (7.1%) and 5 likely pathogenic (35.7%). Two variants were identified in the same patient: in the genes WFS1 (exon 8) and KCNJ11 (exon 1), classified as likely pathogenic and pathogenic, respectively. In addition, variants were identified in other patients in the genes NEUROD1 (exon 1) and GCK (exons 1, 2, and 5), all classified as pathogenic or likely pathogenic. These variants are rare, conserved across species, and either absent or at very low frequencies in population databases. Conclusion: WES demonstrated high effectiveness in detecting rare MODY variants, enhancing molecular diagnosis and providing deeper insight into the genetic heterogeneity of the disease in the Brazilian population.\n\n\n### (1) University of Grande Rio/AFYA, Itaboraí, RJ, Brasil; (2) Oswaldo Cruz Institute, Fiocruz, Rio de Janeiro, RJ, Brasil; (3) Federal University of the State of Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Maturity Onset Diabetes of the Young (MODY) is the most common monogenic subtype, characterized by early onset, autosomal dominant inheritance, and a primary defect in the pancreatic β-cell. Although targeted sequencing panels (tNGS) of genes such as GCK and HNF1A are widely used, recent studies highlight the value of whole-exome sequencing (WES) in identifying rare variants. In Brazil, large-scale studies using WES for MODY are still lacking, which could significantly expand the genetic characterization of the disease in this population. Objective: This study aimed to investigate the genetic basis of monogenic diabetes in patients from Rio de Janeiro through a virtual gene panel applied to WES, assessing the frequency and relevance of pathogenic variants in MODY-associated genes. Methods: A total of 32 individuals were selected based on diabetes diagnosis before the age of 40, family history in at least two generations, and absence of autoantibodies (anti-GAD and anti-IA2). Analyses were performed using a virtual panel of 17 MODY-related genes (ABCC8, APPL1, BLK, CEL, GCK, HNF1A, HNF1B, HNF4A, INS, KCNJ11, KLF11, MTTL1, NEUROD1, PAX4, PDX1, RFX6, WFS1). Variants were prioritized according to: (1) sequencing quality (AB: 40–60% for heterozygotes, >60% for homozygotes); (2) location in exonic regions or within 10 bp of splice sites; (3) non-synonymous protein effect; (4) population frequency <1% in gnomAD or ABraOM; (5) clinical relevance according to predefined filters. Results: A total of 14 potentially pathogenic variants were identified in 13 individuals, distributed across six genes. Variants were classified according to ACMG guidelines as: 1 pathogenic (7.1%) and 5 likely pathogenic (35.7%). Two variants were identified in the same patient: in the genes WFS1 (exon 8) and KCNJ11 (exon 1), classified as likely pathogenic and pathogenic, respectively. In addition, variants were identified in other patients in the genes NEUROD1 (exon 1) and GCK (exons 1, 2, and 5), all classified as pathogenic or likely pathogenic. These variants are rare, conserved across species, and either absent or at very low frequencies in population databases. Conclusion: WES demonstrated high effectiveness in detecting rare MODY variants, enhancing molecular diagnosis and providing deeper insight into the genetic heterogeneity of the disease in the Brazilian population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—132\nIntroduction: Maturity Onset Diabetes of the Young (MODY) is the most common monogenic subtype, characterized by early onset, autosomal dominant inheritance, and a primary defect in the pancreatic β-cell. Although targeted sequencing panels (tNGS) of genes such as GCK and HNF1A are widely used, recent studies highlight the value of whole-exome sequencing (WES) in identifying rare variants. In Brazil, large-scale studies using WES for MODY are still lacking, which could significantly expand the genetic characterization of the disease in this population. Objective: This study aimed to investigate the genetic basis of monogenic diabetes in patients from Rio de Janeiro through a virtual gene panel applied to WES, assessing the frequency and relevance of pathogenic variants in MODY-associated genes. Methods: A total of 32 individuals were selected based on diabetes diagnosis before the age of 40, family history in at least two generations, and absence of autoantibodies (anti-GAD and anti-IA2). Analyses were performed using a virtual panel of 17 MODY-related genes (ABCC8, APPL1, BLK, CEL, GCK, HNF1A, HNF1B, HNF4A, INS, KCNJ11, KLF11, MTTL1, NEUROD1, PAX4, PDX1, RFX6, WFS1). Variants were prioritized according to: (1) sequencing quality (AB: 40–60% for heterozygotes, >60% for homozygotes); (2) location in exonic regions or within 10 bp of splice sites; (3) non-synonymous protein effect; (4) population frequency <1% in gnomAD or ABraOM; (5) clinical relevance according to predefined filters. Results: A total of 14 potentially pathogenic variants were identified in 13 individuals, distributed across six genes. Variants were classified according to ACMG guidelines as: 1 pathogenic (7.1%) and 5 likely pathogenic (35.7%). Two variants were identified in the same patient: in the genes WFS1 (exon 8) and KCNJ11 (exon 1), classified as likely pathogenic and pathogenic, respectively. In addition, variants were identified in other patients in the genes NEUROD1 (exon 1) and GCK (exons 1, 2, and 5), all classified as pathogenic or likely pathogenic. These variants are rare, conserved across species, and either absent or at very low frequencies in population databases. Conclusion: WES demonstrated high effectiveness in detecting rare MODY variants, enhancing molecular diagnosis and providing deeper insight into the genetic heterogeneity of the disease in the Brazilian population.\n\n\n### PO—133 Genomic Ancestry in Individuals with Type 1 Diabetes from Brazil and Portugal\nIntroduction: Brazil and Portugal had an intertwined history for over 500 years, and nowadays Portugal has a higher incidence of type 1 diabetes (T1D) than Brazil, that presents an admixture involving European, African, and Native American contributions, whereas Portugal has a relatively homogeneous population predominantly of European origin. Objective: Therefore, the aim of this study was to compare the components of genomic ancestry (GA) in individuals with T1D from Brazil and Portugal, and to identify whether differences in GA composition between the two populations may provide insights into the pathogenesis of T1D in both countries. Methods: A total of 1,698 Brazilian and 107 Portuguese individuals with T1D were analyzed. GA was estimated using 46 ancestry-informative markers (AIM-INDELs) and analyzed with GeneMapper and Structure software. Statistical analyses included the Kruskal–Wallis, Mann–Whitney, and chi-square tests. The Brazilian and Portuguese populations were categorized into admixed and not admixed groups. For the Fst genetic analysis, the T1D populations were compared with Brazilian control populations and the HGDP-CEPH panel (Pereira et al., 2012). Results: Not admixed Portuguese individuals exhibited a GA composition of 97% European, 1% African, and 0.1% Native American (NAM). Not admixed Brazilians presented 94% European, 2.7% African, and 3.1% NAM ancestry. Admixed Portuguese individuals showed 32% European, 60% African, and 6.85% NAM, whereas admixed Brazilians had 61% European, 23% African, and 15.5% NAM. These findings demonstrate that the Brazilian admixed T1D individuals have a higher frequency of European GA and a lower frequency of African GA compared with their Portuguese admixed counterparts, reflecting differences in the timeline admixture in both countries. Among Brazilians, regional heterogeneity was observed: The South showed the highest European GA, whereas the North exhibited higher NAM GA. Fst analysis indicated low but statistically significant genetic differentiation between groups, with the greatest proximity between not admixed Portuguese and Southern Brazilians. Conclusion, the difference in the proportion of GA in individuals with T1D in Brazil and Portugal could be due to diverse admixture dynamics in both countries. Our data should drive future research areas related to identifying other genetic variants, such as the HLA system in Brazil and Portugal, that may contribute to a better understanding of the pathogenesis of the disease in both countries.\n\n\n### Ferreira LL1; do Vale S2; Duarte MA2; Silva AL2; Porto LC1; Turchetto-Zolet AC3; Silva DA1; Gomes MB1\nIntroduction: Brazil and Portugal had an intertwined history for over 500 years, and nowadays Portugal has a higher incidence of type 1 diabetes (T1D) than Brazil, that presents an admixture involving European, African, and Native American contributions, whereas Portugal has a relatively homogeneous population predominantly of European origin. Objective: Therefore, the aim of this study was to compare the components of genomic ancestry (GA) in individuals with T1D from Brazil and Portugal, and to identify whether differences in GA composition between the two populations may provide insights into the pathogenesis of T1D in both countries. Methods: A total of 1,698 Brazilian and 107 Portuguese individuals with T1D were analyzed. GA was estimated using 46 ancestry-informative markers (AIM-INDELs) and analyzed with GeneMapper and Structure software. Statistical analyses included the Kruskal–Wallis, Mann–Whitney, and chi-square tests. The Brazilian and Portuguese populations were categorized into admixed and not admixed groups. For the Fst genetic analysis, the T1D populations were compared with Brazilian control populations and the HGDP-CEPH panel (Pereira et al., 2012). Results: Not admixed Portuguese individuals exhibited a GA composition of 97% European, 1% African, and 0.1% Native American (NAM). Not admixed Brazilians presented 94% European, 2.7% African, and 3.1% NAM ancestry. Admixed Portuguese individuals showed 32% European, 60% African, and 6.85% NAM, whereas admixed Brazilians had 61% European, 23% African, and 15.5% NAM. These findings demonstrate that the Brazilian admixed T1D individuals have a higher frequency of European GA and a lower frequency of African GA compared with their Portuguese admixed counterparts, reflecting differences in the timeline admixture in both countries. Among Brazilians, regional heterogeneity was observed: The South showed the highest European GA, whereas the North exhibited higher NAM GA. Fst analysis indicated low but statistically significant genetic differentiation between groups, with the greatest proximity between not admixed Portuguese and Southern Brazilians. Conclusion, the difference in the proportion of GA in individuals with T1D in Brazil and Portugal could be due to diverse admixture dynamics in both countries. Our data should drive future research areas related to identifying other genetic variants, such as the HLA system in Brazil and Portugal, that may contribute to a better understanding of the pathogenesis of the disease in both countries.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Unidade Local de Saúde Santa Maria, Portugal; (3) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil\nIntroduction: Brazil and Portugal had an intertwined history for over 500 years, and nowadays Portugal has a higher incidence of type 1 diabetes (T1D) than Brazil, that presents an admixture involving European, African, and Native American contributions, whereas Portugal has a relatively homogeneous population predominantly of European origin. Objective: Therefore, the aim of this study was to compare the components of genomic ancestry (GA) in individuals with T1D from Brazil and Portugal, and to identify whether differences in GA composition between the two populations may provide insights into the pathogenesis of T1D in both countries. Methods: A total of 1,698 Brazilian and 107 Portuguese individuals with T1D were analyzed. GA was estimated using 46 ancestry-informative markers (AIM-INDELs) and analyzed with GeneMapper and Structure software. Statistical analyses included the Kruskal–Wallis, Mann–Whitney, and chi-square tests. The Brazilian and Portuguese populations were categorized into admixed and not admixed groups. For the Fst genetic analysis, the T1D populations were compared with Brazilian control populations and the HGDP-CEPH panel (Pereira et al., 2012). Results: Not admixed Portuguese individuals exhibited a GA composition of 97% European, 1% African, and 0.1% Native American (NAM). Not admixed Brazilians presented 94% European, 2.7% African, and 3.1% NAM ancestry. Admixed Portuguese individuals showed 32% European, 60% African, and 6.85% NAM, whereas admixed Brazilians had 61% European, 23% African, and 15.5% NAM. These findings demonstrate that the Brazilian admixed T1D individuals have a higher frequency of European GA and a lower frequency of African GA compared with their Portuguese admixed counterparts, reflecting differences in the timeline admixture in both countries. Among Brazilians, regional heterogeneity was observed: The South showed the highest European GA, whereas the North exhibited higher NAM GA. Fst analysis indicated low but statistically significant genetic differentiation between groups, with the greatest proximity between not admixed Portuguese and Southern Brazilians. Conclusion, the difference in the proportion of GA in individuals with T1D in Brazil and Portugal could be due to diverse admixture dynamics in both countries. Our data should drive future research areas related to identifying other genetic variants, such as the HLA system in Brazil and Portugal, that may contribute to a better understanding of the pathogenesis of the disease in both countries.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—133\nIntroduction: Brazil and Portugal had an intertwined history for over 500 years, and nowadays Portugal has a higher incidence of type 1 diabetes (T1D) than Brazil, that presents an admixture involving European, African, and Native American contributions, whereas Portugal has a relatively homogeneous population predominantly of European origin. Objective: Therefore, the aim of this study was to compare the components of genomic ancestry (GA) in individuals with T1D from Brazil and Portugal, and to identify whether differences in GA composition between the two populations may provide insights into the pathogenesis of T1D in both countries. Methods: A total of 1,698 Brazilian and 107 Portuguese individuals with T1D were analyzed. GA was estimated using 46 ancestry-informative markers (AIM-INDELs) and analyzed with GeneMapper and Structure software. Statistical analyses included the Kruskal–Wallis, Mann–Whitney, and chi-square tests. The Brazilian and Portuguese populations were categorized into admixed and not admixed groups. For the Fst genetic analysis, the T1D populations were compared with Brazilian control populations and the HGDP-CEPH panel (Pereira et al., 2012). Results: Not admixed Portuguese individuals exhibited a GA composition of 97% European, 1% African, and 0.1% Native American (NAM). Not admixed Brazilians presented 94% European, 2.7% African, and 3.1% NAM ancestry. Admixed Portuguese individuals showed 32% European, 60% African, and 6.85% NAM, whereas admixed Brazilians had 61% European, 23% African, and 15.5% NAM. These findings demonstrate that the Brazilian admixed T1D individuals have a higher frequency of European GA and a lower frequency of African GA compared with their Portuguese admixed counterparts, reflecting differences in the timeline admixture in both countries. Among Brazilians, regional heterogeneity was observed: The South showed the highest European GA, whereas the North exhibited higher NAM GA. Fst analysis indicated low but statistically significant genetic differentiation between groups, with the greatest proximity between not admixed Portuguese and Southern Brazilians. Conclusion, the difference in the proportion of GA in individuals with T1D in Brazil and Portugal could be due to diverse admixture dynamics in both countries. Our data should drive future research areas related to identifying other genetic variants, such as the HLA system in Brazil and Portugal, that may contribute to a better understanding of the pathogenesis of the disease in both countries.\n\n\n### PO—135 Heterogeneity of Diabetes Mellitus associated with Stiff-Person Syndrome (SPS)\nIntroduction: SPS is a rare neurological disease characterized by muscle stiffness, painful spasms, high titers of anti-GAD autoantibodies, and associations with other autoimmune conditions such as diabetes mellitus (DM) and thyroiditis. However, DM associated with SPS is not well characterized. Objective: To investigate the frequency, characteristics, risk factors, and impact of DM in SPS on quality of life and functionality. Methods: Twenty-two individuals with SPS were clinically and immunologically evaluated (anti-GAD, anti-IA2, anti-TG, anti-TPO) and genotyped for HLA class II (loci DRB1, DQA1, DQB1). Pancreatic beta-cell function was analyzed using a standard meal tolerance test (Sustagen®), with glucose and C-peptide measured at 0 and 90 minutes. Severe insulin deficiency was defined as fasting C-peptide < 0.3 ng/mL and/or stimulated C-peptide <0.6 ng/mL. Fasting C-peptide >= 0.3 ng/mL and/or >=0.6 ng/mL after stimulation indicate significant insulin secretion. Insulin resistance was assessed by HOMA2 (HOMA-IR ≥1.4) and estimated glucose disposal rate (eGDR <8), indicating insulin resistance. Quality of life and disability levels were assessed using the SF-36 questionnaire and the modified Rankin Scale (mRS), respectively. Results: Mean age was 48.2 ± 12.4 years, 18 were women. DM was present in 45.5% of patients, especially among anti-GAD+ cases (56.2%). Beta-cell function was heterogeneous: 5 patients had severe insulin deficiency (all anti-GAD+), 5 had significant insulin secretion (one anti-GAD-), and 4 showed insulin resistance. The DR3 haplotype (DRB103:01-DQA105:01-DQB1*02:01) was most frequent (54.5%), with no link to DM. However, protective alleles (DRB1:15/11/13; DQB1*06:02 or 06:03; DQB1*03:01) were more common in non-diabetics than in anti-GAD+ diabetics (75% vs. 22.2%, p=0.03), suggesting a protective effect. Autoimmune thyroiditis affected 63.6% of the patients. All had some disability, 27% were moderate/severe (mRS≥ 4). Quality of life was significantly impaired, mainly in the physical domain. DM and anti-GAD titers did not significantly impact disability or quality of life. Conclusion: DM and autoimmune thyroiditis are common in SPS patients. The heterogeneity of DM, regarding autoimmunity, beta-cell function, and insulin resistance, calls for personalized approaches. No HLA risk haplotypes were identified, but protective alleles were observed. SPS substantially impacts functionality and quality of life, regardless of DM presence.\n\n\n### Franco BE1; Farias I1; Dib SA1; Oliveira A1; Moises RS1\nIntroduction: SPS is a rare neurological disease characterized by muscle stiffness, painful spasms, high titers of anti-GAD autoantibodies, and associations with other autoimmune conditions such as diabetes mellitus (DM) and thyroiditis. However, DM associated with SPS is not well characterized. Objective: To investigate the frequency, characteristics, risk factors, and impact of DM in SPS on quality of life and functionality. Methods: Twenty-two individuals with SPS were clinically and immunologically evaluated (anti-GAD, anti-IA2, anti-TG, anti-TPO) and genotyped for HLA class II (loci DRB1, DQA1, DQB1). Pancreatic beta-cell function was analyzed using a standard meal tolerance test (Sustagen®), with glucose and C-peptide measured at 0 and 90 minutes. Severe insulin deficiency was defined as fasting C-peptide < 0.3 ng/mL and/or stimulated C-peptide <0.6 ng/mL. Fasting C-peptide >= 0.3 ng/mL and/or >=0.6 ng/mL after stimulation indicate significant insulin secretion. Insulin resistance was assessed by HOMA2 (HOMA-IR ≥1.4) and estimated glucose disposal rate (eGDR <8), indicating insulin resistance. Quality of life and disability levels were assessed using the SF-36 questionnaire and the modified Rankin Scale (mRS), respectively. Results: Mean age was 48.2 ± 12.4 years, 18 were women. DM was present in 45.5% of patients, especially among anti-GAD+ cases (56.2%). Beta-cell function was heterogeneous: 5 patients had severe insulin deficiency (all anti-GAD+), 5 had significant insulin secretion (one anti-GAD-), and 4 showed insulin resistance. The DR3 haplotype (DRB103:01-DQA105:01-DQB1*02:01) was most frequent (54.5%), with no link to DM. However, protective alleles (DRB1:15/11/13; DQB1*06:02 or 06:03; DQB1*03:01) were more common in non-diabetics than in anti-GAD+ diabetics (75% vs. 22.2%, p=0.03), suggesting a protective effect. Autoimmune thyroiditis affected 63.6% of the patients. All had some disability, 27% were moderate/severe (mRS≥ 4). Quality of life was significantly impaired, mainly in the physical domain. DM and anti-GAD titers did not significantly impact disability or quality of life. Conclusion: DM and autoimmune thyroiditis are common in SPS patients. The heterogeneity of DM, regarding autoimmunity, beta-cell function, and insulin resistance, calls for personalized approaches. No HLA risk haplotypes were identified, but protective alleles were observed. SPS substantially impacts functionality and quality of life, regardless of DM presence.\n\n\n### (1) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: SPS is a rare neurological disease characterized by muscle stiffness, painful spasms, high titers of anti-GAD autoantibodies, and associations with other autoimmune conditions such as diabetes mellitus (DM) and thyroiditis. However, DM associated with SPS is not well characterized. Objective: To investigate the frequency, characteristics, risk factors, and impact of DM in SPS on quality of life and functionality. Methods: Twenty-two individuals with SPS were clinically and immunologically evaluated (anti-GAD, anti-IA2, anti-TG, anti-TPO) and genotyped for HLA class II (loci DRB1, DQA1, DQB1). Pancreatic beta-cell function was analyzed using a standard meal tolerance test (Sustagen®), with glucose and C-peptide measured at 0 and 90 minutes. Severe insulin deficiency was defined as fasting C-peptide < 0.3 ng/mL and/or stimulated C-peptide <0.6 ng/mL. Fasting C-peptide >= 0.3 ng/mL and/or >=0.6 ng/mL after stimulation indicate significant insulin secretion. Insulin resistance was assessed by HOMA2 (HOMA-IR ≥1.4) and estimated glucose disposal rate (eGDR <8), indicating insulin resistance. Quality of life and disability levels were assessed using the SF-36 questionnaire and the modified Rankin Scale (mRS), respectively. Results: Mean age was 48.2 ± 12.4 years, 18 were women. DM was present in 45.5% of patients, especially among anti-GAD+ cases (56.2%). Beta-cell function was heterogeneous: 5 patients had severe insulin deficiency (all anti-GAD+), 5 had significant insulin secretion (one anti-GAD-), and 4 showed insulin resistance. The DR3 haplotype (DRB103:01-DQA105:01-DQB1*02:01) was most frequent (54.5%), with no link to DM. However, protective alleles (DRB1:15/11/13; DQB1*06:02 or 06:03; DQB1*03:01) were more common in non-diabetics than in anti-GAD+ diabetics (75% vs. 22.2%, p=0.03), suggesting a protective effect. Autoimmune thyroiditis affected 63.6% of the patients. All had some disability, 27% were moderate/severe (mRS≥ 4). Quality of life was significantly impaired, mainly in the physical domain. DM and anti-GAD titers did not significantly impact disability or quality of life. Conclusion: DM and autoimmune thyroiditis are common in SPS patients. The heterogeneity of DM, regarding autoimmunity, beta-cell function, and insulin resistance, calls for personalized approaches. No HLA risk haplotypes were identified, but protective alleles were observed. SPS substantially impacts functionality and quality of life, regardless of DM presence.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—135\nIntroduction: SPS is a rare neurological disease characterized by muscle stiffness, painful spasms, high titers of anti-GAD autoantibodies, and associations with other autoimmune conditions such as diabetes mellitus (DM) and thyroiditis. However, DM associated with SPS is not well characterized. Objective: To investigate the frequency, characteristics, risk factors, and impact of DM in SPS on quality of life and functionality. Methods: Twenty-two individuals with SPS were clinically and immunologically evaluated (anti-GAD, anti-IA2, anti-TG, anti-TPO) and genotyped for HLA class II (loci DRB1, DQA1, DQB1). Pancreatic beta-cell function was analyzed using a standard meal tolerance test (Sustagen®), with glucose and C-peptide measured at 0 and 90 minutes. Severe insulin deficiency was defined as fasting C-peptide < 0.3 ng/mL and/or stimulated C-peptide <0.6 ng/mL. Fasting C-peptide >= 0.3 ng/mL and/or >=0.6 ng/mL after stimulation indicate significant insulin secretion. Insulin resistance was assessed by HOMA2 (HOMA-IR ≥1.4) and estimated glucose disposal rate (eGDR <8), indicating insulin resistance. Quality of life and disability levels were assessed using the SF-36 questionnaire and the modified Rankin Scale (mRS), respectively. Results: Mean age was 48.2 ± 12.4 years, 18 were women. DM was present in 45.5% of patients, especially among anti-GAD+ cases (56.2%). Beta-cell function was heterogeneous: 5 patients had severe insulin deficiency (all anti-GAD+), 5 had significant insulin secretion (one anti-GAD-), and 4 showed insulin resistance. The DR3 haplotype (DRB103:01-DQA105:01-DQB1*02:01) was most frequent (54.5%), with no link to DM. However, protective alleles (DRB1:15/11/13; DQB1*06:02 or 06:03; DQB1*03:01) were more common in non-diabetics than in anti-GAD+ diabetics (75% vs. 22.2%, p=0.03), suggesting a protective effect. Autoimmune thyroiditis affected 63.6% of the patients. All had some disability, 27% were moderate/severe (mRS≥ 4). Quality of life was significantly impaired, mainly in the physical domain. DM and anti-GAD titers did not significantly impact disability or quality of life. Conclusion: DM and autoimmune thyroiditis are common in SPS patients. The heterogeneity of DM, regarding autoimmunity, beta-cell function, and insulin resistance, calls for personalized approaches. No HLA risk haplotypes were identified, but protective alleles were observed. SPS substantially impacts functionality and quality of life, regardless of DM presence.\n\n\n### PO—137 Hospitalizations for Diabetes Mellitus among the Indigenous Population in Brazil, 2011–2023: a Time Series Study\nIntroduction: Diabetes Mellitus (DM) is a major public health issue in Brazil, with significant impacts on morbidity, mortality, and hospital costs. Among Indigenous peoples, a particular scenario emerges, shaped by socioeconomic vulnerabilities, barriers to healthcare access, and rapid dietary changes due to nutritional transition. The progressive replacement of traditional foods with diets rich in simple carbohydrates and ultra-processed products has contributed to the rising prevalence of DM and its complications in this population. Despite its relevance, few studies specifically address hospitalization rates and determinants of diabetes among Indigenous groups, limiting the development of culturally appropriate public policies and interventions. Objective: To analyze the temporal trend of hospitalizations for Diabetes Mellitus among the Indigenous population in Brazil. Methods: Ecological time series study using data from the Brazilian Unified Health System’s Hospital Information System (SIH/SUS) from 2011 to 2023. Temporal trends were analyzed through joinpoint regression, considering annual percent change (APC) and significance at a 95% confidence level. Results: A total of 3,294 hospitalizations for Diabetes Mellitus were recorded among the Indigenous population during the study period. Trend analysis identified two joinpoints, in 2013 and 2016, dividing the series into three distinct periods. From 2011 to 2013, there was a sharp and statistically significant increase of 9.96% per year (p=0.009). Between 2013 and 2016, the trend reversed to a decline of 2.18% per year, without statistical significance. From 2016 to 2023, hospitalization rates resumed an upward trajectory, with a statistically significant increase of 1.12% per year (p=0.03). Conclusion: Hospitalizations for Diabetes Mellitus among Brazil’s Indigenous population show an overall upward trend, with a significant increase in the most recent period, suggesting that current prevention and management strategies may be insufficient to curb the problem. These findings highlight the urgent need for culturally appropriate and targeted public health policies.\n\n\n### Alves AL1; Salheb AN1; Cruz CCS1; Vieira JS1; Barros LM1; Silva MEF1; Lima MADE1; Monteiro BHM1\nIntroduction: Diabetes Mellitus (DM) is a major public health issue in Brazil, with significant impacts on morbidity, mortality, and hospital costs. Among Indigenous peoples, a particular scenario emerges, shaped by socioeconomic vulnerabilities, barriers to healthcare access, and rapid dietary changes due to nutritional transition. The progressive replacement of traditional foods with diets rich in simple carbohydrates and ultra-processed products has contributed to the rising prevalence of DM and its complications in this population. Despite its relevance, few studies specifically address hospitalization rates and determinants of diabetes among Indigenous groups, limiting the development of culturally appropriate public policies and interventions. Objective: To analyze the temporal trend of hospitalizations for Diabetes Mellitus among the Indigenous population in Brazil. Methods: Ecological time series study using data from the Brazilian Unified Health System’s Hospital Information System (SIH/SUS) from 2011 to 2023. Temporal trends were analyzed through joinpoint regression, considering annual percent change (APC) and significance at a 95% confidence level. Results: A total of 3,294 hospitalizations for Diabetes Mellitus were recorded among the Indigenous population during the study period. Trend analysis identified two joinpoints, in 2013 and 2016, dividing the series into three distinct periods. From 2011 to 2013, there was a sharp and statistically significant increase of 9.96% per year (p=0.009). Between 2013 and 2016, the trend reversed to a decline of 2.18% per year, without statistical significance. From 2016 to 2023, hospitalization rates resumed an upward trajectory, with a statistically significant increase of 1.12% per year (p=0.03). Conclusion: Hospitalizations for Diabetes Mellitus among Brazil’s Indigenous population show an overall upward trend, with a significant increase in the most recent period, suggesting that current prevention and management strategies may be insufficient to curb the problem. These findings highlight the urgent need for culturally appropriate and targeted public health policies.\n\n\n### (1) Centro Universitário Metropolitano da Amazônia, Belém, PA, Brasil\nIntroduction: Diabetes Mellitus (DM) is a major public health issue in Brazil, with significant impacts on morbidity, mortality, and hospital costs. Among Indigenous peoples, a particular scenario emerges, shaped by socioeconomic vulnerabilities, barriers to healthcare access, and rapid dietary changes due to nutritional transition. The progressive replacement of traditional foods with diets rich in simple carbohydrates and ultra-processed products has contributed to the rising prevalence of DM and its complications in this population. Despite its relevance, few studies specifically address hospitalization rates and determinants of diabetes among Indigenous groups, limiting the development of culturally appropriate public policies and interventions. Objective: To analyze the temporal trend of hospitalizations for Diabetes Mellitus among the Indigenous population in Brazil. Methods: Ecological time series study using data from the Brazilian Unified Health System’s Hospital Information System (SIH/SUS) from 2011 to 2023. Temporal trends were analyzed through joinpoint regression, considering annual percent change (APC) and significance at a 95% confidence level. Results: A total of 3,294 hospitalizations for Diabetes Mellitus were recorded among the Indigenous population during the study period. Trend analysis identified two joinpoints, in 2013 and 2016, dividing the series into three distinct periods. From 2011 to 2013, there was a sharp and statistically significant increase of 9.96% per year (p=0.009). Between 2013 and 2016, the trend reversed to a decline of 2.18% per year, without statistical significance. From 2016 to 2023, hospitalization rates resumed an upward trajectory, with a statistically significant increase of 1.12% per year (p=0.03). Conclusion: Hospitalizations for Diabetes Mellitus among Brazil’s Indigenous population show an overall upward trend, with a significant increase in the most recent period, suggesting that current prevention and management strategies may be insufficient to curb the problem. These findings highlight the urgent need for culturally appropriate and targeted public health policies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—137\nIntroduction: Diabetes Mellitus (DM) is a major public health issue in Brazil, with significant impacts on morbidity, mortality, and hospital costs. Among Indigenous peoples, a particular scenario emerges, shaped by socioeconomic vulnerabilities, barriers to healthcare access, and rapid dietary changes due to nutritional transition. The progressive replacement of traditional foods with diets rich in simple carbohydrates and ultra-processed products has contributed to the rising prevalence of DM and its complications in this population. Despite its relevance, few studies specifically address hospitalization rates and determinants of diabetes among Indigenous groups, limiting the development of culturally appropriate public policies and interventions. Objective: To analyze the temporal trend of hospitalizations for Diabetes Mellitus among the Indigenous population in Brazil. Methods: Ecological time series study using data from the Brazilian Unified Health System’s Hospital Information System (SIH/SUS) from 2011 to 2023. Temporal trends were analyzed through joinpoint regression, considering annual percent change (APC) and significance at a 95% confidence level. Results: A total of 3,294 hospitalizations for Diabetes Mellitus were recorded among the Indigenous population during the study period. Trend analysis identified two joinpoints, in 2013 and 2016, dividing the series into three distinct periods. From 2011 to 2013, there was a sharp and statistically significant increase of 9.96% per year (p=0.009). Between 2013 and 2016, the trend reversed to a decline of 2.18% per year, without statistical significance. From 2016 to 2023, hospitalization rates resumed an upward trajectory, with a statistically significant increase of 1.12% per year (p=0.03). Conclusion: Hospitalizations for Diabetes Mellitus among Brazil’s Indigenous population show an overall upward trend, with a significant increase in the most recent period, suggesting that current prevention and management strategies may be insufficient to curb the problem. These findings highlight the urgent need for culturally appropriate and targeted public health policies.\n\n\n### PO—138 Impact of Sex and Diabetes Type on the Age at Death: a Retrospective Brazilian Comparative Analysis\nIntroduction: Higher mortality rates from diabetes mellitus (DM) in women have been reported in several studies. This increase is attributed mostly to cardiovascular diseases (Rao Kondapally Seshasai et al., 2011). In contrast, several studies showed a higher and rising prevalence of deaths among men, as seen in the multinational study conducted in the Americas by Antini et al. (2024) and in the Global Burden of Disease data (2015). This disparity highlights the need for regional-level investigations to understand epidemiological trends, considering the interactions between sex and DM type based on the particularities of local contexts Objective: To compare the impact of sex and DM type on the age at death Methods: Data were categorized by sex (male/female), DM type (DM1/DM2), DM duration (<10, 10–19, 20–29, 30–39, >40 years) and the age at death. Variables with significant associations (p<0.05) were included in survival analyses using Kaplan–Meier curves and Cox proportional hazards models. Likelihood ratio tests compared nested models. HR > 1 indicated higher risk of earlier death; HR < 1 indicated longer survival. T-tests compared mean age at death. Analyses were performed using R software version 4.2.0. This study was approved by USP Ethics Committee (Prot. 37022220.0.0000.5417); judicial authorization granted death certificate access Results: For DM1 individuals (58.49% women; 41.51% men), no statistically significant sex difference was found in mortality risk, mean age at death (50.08 vs. 47.33 years; p = 0.695) and DM duration (23.0 vs. 21.93 years; p = 0.753). Among DM2 individuals, women (53.86%) showed a significantly lower mortality risk than men (HR: 0.70) and died at an older average age (75.92 vs. 70.77 years; p < 0.001). No significant differences were found in DM2 duration (20.31 vs. 21.81 years; p = 0.082). Finally, the average time from DM diagnosis to death was 22.13 years in DM1 and 20.80 years in DM2, in Table 1Conclusion: Based on the provided data, a significant difference in mortality risk between sexes was observed only for DM2. Specifically, women with DM2 demonstrated a 30% lower mortality risk, which corresponded to an average five years older age at death. Conversely, in cases of DM1, sex did not emerge as a significant factor influencing the age at death or other evaluated variables. Furthermore, DM type did not show a statistically significant difference in the mean time from diagnosis to death.\n\n\n### Santos VM1; Lopes LCP1; Rodrigues ACM1; Previdelli LK2; Negrato CA1\nIntroduction: Higher mortality rates from diabetes mellitus (DM) in women have been reported in several studies. This increase is attributed mostly to cardiovascular diseases (Rao Kondapally Seshasai et al., 2011). In contrast, several studies showed a higher and rising prevalence of deaths among men, as seen in the multinational study conducted in the Americas by Antini et al. (2024) and in the Global Burden of Disease data (2015). This disparity highlights the need for regional-level investigations to understand epidemiological trends, considering the interactions between sex and DM type based on the particularities of local contexts Objective: To compare the impact of sex and DM type on the age at death Methods: Data were categorized by sex (male/female), DM type (DM1/DM2), DM duration (<10, 10–19, 20–29, 30–39, >40 years) and the age at death. Variables with significant associations (p<0.05) were included in survival analyses using Kaplan–Meier curves and Cox proportional hazards models. Likelihood ratio tests compared nested models. HR > 1 indicated higher risk of earlier death; HR < 1 indicated longer survival. T-tests compared mean age at death. Analyses were performed using R software version 4.2.0. This study was approved by USP Ethics Committee (Prot. 37022220.0.0000.5417); judicial authorization granted death certificate access Results: For DM1 individuals (58.49% women; 41.51% men), no statistically significant sex difference was found in mortality risk, mean age at death (50.08 vs. 47.33 years; p = 0.695) and DM duration (23.0 vs. 21.93 years; p = 0.753). Among DM2 individuals, women (53.86%) showed a significantly lower mortality risk than men (HR: 0.70) and died at an older average age (75.92 vs. 70.77 years; p < 0.001). No significant differences were found in DM2 duration (20.31 vs. 21.81 years; p = 0.082). Finally, the average time from DM diagnosis to death was 22.13 years in DM1 and 20.80 years in DM2, in Table 1Conclusion: Based on the provided data, a significant difference in mortality risk between sexes was observed only for DM2. Specifically, women with DM2 demonstrated a 30% lower mortality risk, which corresponded to an average five years older age at death. Conversely, in cases of DM1, sex did not emerge as a significant factor influencing the age at death or other evaluated variables. Furthermore, DM type did not show a statistically significant difference in the mean time from diagnosis to death.\n\n\n### (1) Faculdade de Medicina de Bauru, Universidade de São Paulo, Bauru, SP, Brasil; (2) Universidade Nove de Julho, Bauru, Bauru, SP, Brasil\nIntroduction: Higher mortality rates from diabetes mellitus (DM) in women have been reported in several studies. This increase is attributed mostly to cardiovascular diseases (Rao Kondapally Seshasai et al., 2011). In contrast, several studies showed a higher and rising prevalence of deaths among men, as seen in the multinational study conducted in the Americas by Antini et al. (2024) and in the Global Burden of Disease data (2015). This disparity highlights the need for regional-level investigations to understand epidemiological trends, considering the interactions between sex and DM type based on the particularities of local contexts Objective: To compare the impact of sex and DM type on the age at death Methods: Data were categorized by sex (male/female), DM type (DM1/DM2), DM duration (<10, 10–19, 20–29, 30–39, >40 years) and the age at death. Variables with significant associations (p<0.05) were included in survival analyses using Kaplan–Meier curves and Cox proportional hazards models. Likelihood ratio tests compared nested models. HR > 1 indicated higher risk of earlier death; HR < 1 indicated longer survival. T-tests compared mean age at death. Analyses were performed using R software version 4.2.0. This study was approved by USP Ethics Committee (Prot. 37022220.0.0000.5417); judicial authorization granted death certificate access Results: For DM1 individuals (58.49% women; 41.51% men), no statistically significant sex difference was found in mortality risk, mean age at death (50.08 vs. 47.33 years; p = 0.695) and DM duration (23.0 vs. 21.93 years; p = 0.753). Among DM2 individuals, women (53.86%) showed a significantly lower mortality risk than men (HR: 0.70) and died at an older average age (75.92 vs. 70.77 years; p < 0.001). No significant differences were found in DM2 duration (20.31 vs. 21.81 years; p = 0.082). Finally, the average time from DM diagnosis to death was 22.13 years in DM1 and 20.80 years in DM2, in Table 1Conclusion: Based on the provided data, a significant difference in mortality risk between sexes was observed only for DM2. Specifically, women with DM2 demonstrated a 30% lower mortality risk, which corresponded to an average five years older age at death. Conversely, in cases of DM1, sex did not emerge as a significant factor influencing the age at death or other evaluated variables. Furthermore, DM type did not show a statistically significant difference in the mean time from diagnosis to death.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—138\nIntroduction: Higher mortality rates from diabetes mellitus (DM) in women have been reported in several studies. This increase is attributed mostly to cardiovascular diseases (Rao Kondapally Seshasai et al., 2011). In contrast, several studies showed a higher and rising prevalence of deaths among men, as seen in the multinational study conducted in the Americas by Antini et al. (2024) and in the Global Burden of Disease data (2015). This disparity highlights the need for regional-level investigations to understand epidemiological trends, considering the interactions between sex and DM type based on the particularities of local contexts Objective: To compare the impact of sex and DM type on the age at death Methods: Data were categorized by sex (male/female), DM type (DM1/DM2), DM duration (<10, 10–19, 20–29, 30–39, >40 years) and the age at death. Variables with significant associations (p<0.05) were included in survival analyses using Kaplan–Meier curves and Cox proportional hazards models. Likelihood ratio tests compared nested models. HR > 1 indicated higher risk of earlier death; HR < 1 indicated longer survival. T-tests compared mean age at death. Analyses were performed using R software version 4.2.0. This study was approved by USP Ethics Committee (Prot. 37022220.0.0000.5417); judicial authorization granted death certificate access Results: For DM1 individuals (58.49% women; 41.51% men), no statistically significant sex difference was found in mortality risk, mean age at death (50.08 vs. 47.33 years; p = 0.695) and DM duration (23.0 vs. 21.93 years; p = 0.753). Among DM2 individuals, women (53.86%) showed a significantly lower mortality risk than men (HR: 0.70) and died at an older average age (75.92 vs. 70.77 years; p < 0.001). No significant differences were found in DM2 duration (20.31 vs. 21.81 years; p = 0.082). Finally, the average time from DM diagnosis to death was 22.13 years in DM1 and 20.80 years in DM2, in Table 1Conclusion: Based on the provided data, a significant difference in mortality risk between sexes was observed only for DM2. Specifically, women with DM2 demonstrated a 30% lower mortality risk, which corresponded to an average five years older age at death. Conversely, in cases of DM1, sex did not emerge as a significant factor influencing the age at death or other evaluated variables. Furthermore, DM type did not show a statistically significant difference in the mean time from diagnosis to death.\n\n\n### PO—139 Impact of the Implementation of Artificial Intelligence and Machine Learning-Based Tools on Glycemic Control and the Incidence of Complications in Patients with Diabetes Mellitus: A Cohort Study in Health Centers in Brazil\nIntroduction: Diabetes mellitus (DM) is one of the major global public health challenges, with high morbidity and mortality rates and increasing costs for healthcare systems. In recent years, the integration of digital technologies, such as continuous glucose monitoring (CGM), combined with tools based on Artificial Intelligence (AI) and Machine Learning (ML), has transformed diabetes care. However, studies in the Brazilian context remain limited. Objective: This cohort study aims to compare the effectiveness of type 2 DM (T2DM) management using traditional clinical approaches versus AI/ML-based algorithmic recommendations, focusing on glycated hemoglobin (HbA1c) reduction. Additionally, it seeks to analyze the predictive consistency of AI/ML algorithms in maintaining glycemic stability over a three-month period. Methods: This is a cohort study based on secondary analysis of data available in the scientific literature. A search was conducted in BVS, MEDLINE, LILACS, SciELO, and PubMed using the descriptors: “Diabetes Mellitus,” “Artificial Intelligence,” “Machine Learning,” “Disease Management,” “Glycemic Control,” and “Self-care.” A total of 15 articles published between 2019 and 2024 in Portuguese and English were selected, all meeting the FINER criteria. Studies not directly addressing the application of AI in diabetes management were excluded. Results: In the analysis of 8,472 medical visits, AI/ML-based management showed superior outcomes compared to traditional approaches, with a mean HbA1c reduction of 0.94% versus 0.73%. In an external sample, the reduction was 0.79% versus 0.61%. The algorithms demonstrated greater consistency in predicting glycemic trends. Conclusion: The implementation of AI/ML tools in Brazilian health centers has shown a positive impact on glycemic control and the reduction of complications in patients with DM. These technologies enhance diagnostic access, improve care personalization, and promote greater patient engagement. Despite promising results, further studies and investments in infrastructure and professional training are necessary to enable large-scale adoption in the Brazilian healthcare system.\n\n\n### Martins MFF1; Sorage LA2; Pizetti L1; Rodrigues ALC3; Paiva MER1; Sollis C4; Gutierrez SL5; da Silva JM6; Gomes YFS1; Mota ICM1; Kischel HP7\nIntroduction: Diabetes mellitus (DM) is one of the major global public health challenges, with high morbidity and mortality rates and increasing costs for healthcare systems. In recent years, the integration of digital technologies, such as continuous glucose monitoring (CGM), combined with tools based on Artificial Intelligence (AI) and Machine Learning (ML), has transformed diabetes care. However, studies in the Brazilian context remain limited. Objective: This cohort study aims to compare the effectiveness of type 2 DM (T2DM) management using traditional clinical approaches versus AI/ML-based algorithmic recommendations, focusing on glycated hemoglobin (HbA1c) reduction. Additionally, it seeks to analyze the predictive consistency of AI/ML algorithms in maintaining glycemic stability over a three-month period. Methods: This is a cohort study based on secondary analysis of data available in the scientific literature. A search was conducted in BVS, MEDLINE, LILACS, SciELO, and PubMed using the descriptors: “Diabetes Mellitus,” “Artificial Intelligence,” “Machine Learning,” “Disease Management,” “Glycemic Control,” and “Self-care.” A total of 15 articles published between 2019 and 2024 in Portuguese and English were selected, all meeting the FINER criteria. Studies not directly addressing the application of AI in diabetes management were excluded. Results: In the analysis of 8,472 medical visits, AI/ML-based management showed superior outcomes compared to traditional approaches, with a mean HbA1c reduction of 0.94% versus 0.73%. In an external sample, the reduction was 0.79% versus 0.61%. The algorithms demonstrated greater consistency in predicting glycemic trends. Conclusion: The implementation of AI/ML tools in Brazilian health centers has shown a positive impact on glycemic control and the reduction of complications in patients with DM. These technologies enhance diagnostic access, improve care personalization, and promote greater patient engagement. Despite promising results, further studies and investments in infrastructure and professional training are necessary to enable large-scale adoption in the Brazilian healthcare system.\n\n\n### (1) Universidade Nove de Julho, Bauru, SP, Brasil; (2) Universidade Veiga de Almeida (RJ) , Rio de Janeiro, RJ, Brasil; (3) Centro Universitário de Belo Horizonte, Belo Horizonte, MG, Brasil; (4) Universidade de Marília, Marília, SP, Brasil; (5) Faculdade São Leopoldo Mandic Araras, Araras, SP, Brasil; (6) Fundação Educacional do Município de Assis, Assis, SP, Brasil; (7) Faculdade de Excelência, Feira de Santana, BA, Brasil\nIntroduction: Diabetes mellitus (DM) is one of the major global public health challenges, with high morbidity and mortality rates and increasing costs for healthcare systems. In recent years, the integration of digital technologies, such as continuous glucose monitoring (CGM), combined with tools based on Artificial Intelligence (AI) and Machine Learning (ML), has transformed diabetes care. However, studies in the Brazilian context remain limited. Objective: This cohort study aims to compare the effectiveness of type 2 DM (T2DM) management using traditional clinical approaches versus AI/ML-based algorithmic recommendations, focusing on glycated hemoglobin (HbA1c) reduction. Additionally, it seeks to analyze the predictive consistency of AI/ML algorithms in maintaining glycemic stability over a three-month period. Methods: This is a cohort study based on secondary analysis of data available in the scientific literature. A search was conducted in BVS, MEDLINE, LILACS, SciELO, and PubMed using the descriptors: “Diabetes Mellitus,” “Artificial Intelligence,” “Machine Learning,” “Disease Management,” “Glycemic Control,” and “Self-care.” A total of 15 articles published between 2019 and 2024 in Portuguese and English were selected, all meeting the FINER criteria. Studies not directly addressing the application of AI in diabetes management were excluded. Results: In the analysis of 8,472 medical visits, AI/ML-based management showed superior outcomes compared to traditional approaches, with a mean HbA1c reduction of 0.94% versus 0.73%. In an external sample, the reduction was 0.79% versus 0.61%. The algorithms demonstrated greater consistency in predicting glycemic trends. Conclusion: The implementation of AI/ML tools in Brazilian health centers has shown a positive impact on glycemic control and the reduction of complications in patients with DM. These technologies enhance diagnostic access, improve care personalization, and promote greater patient engagement. Despite promising results, further studies and investments in infrastructure and professional training are necessary to enable large-scale adoption in the Brazilian healthcare system.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—139\nIntroduction: Diabetes mellitus (DM) is one of the major global public health challenges, with high morbidity and mortality rates and increasing costs for healthcare systems. In recent years, the integration of digital technologies, such as continuous glucose monitoring (CGM), combined with tools based on Artificial Intelligence (AI) and Machine Learning (ML), has transformed diabetes care. However, studies in the Brazilian context remain limited. Objective: This cohort study aims to compare the effectiveness of type 2 DM (T2DM) management using traditional clinical approaches versus AI/ML-based algorithmic recommendations, focusing on glycated hemoglobin (HbA1c) reduction. Additionally, it seeks to analyze the predictive consistency of AI/ML algorithms in maintaining glycemic stability over a three-month period. Methods: This is a cohort study based on secondary analysis of data available in the scientific literature. A search was conducted in BVS, MEDLINE, LILACS, SciELO, and PubMed using the descriptors: “Diabetes Mellitus,” “Artificial Intelligence,” “Machine Learning,” “Disease Management,” “Glycemic Control,” and “Self-care.” A total of 15 articles published between 2019 and 2024 in Portuguese and English were selected, all meeting the FINER criteria. Studies not directly addressing the application of AI in diabetes management were excluded. Results: In the analysis of 8,472 medical visits, AI/ML-based management showed superior outcomes compared to traditional approaches, with a mean HbA1c reduction of 0.94% versus 0.73%. In an external sample, the reduction was 0.79% versus 0.61%. The algorithms demonstrated greater consistency in predicting glycemic trends. Conclusion: The implementation of AI/ML tools in Brazilian health centers has shown a positive impact on glycemic control and the reduction of complications in patients with DM. These technologies enhance diagnostic access, improve care personalization, and promote greater patient engagement. Despite promising results, further studies and investments in infrastructure and professional training are necessary to enable large-scale adoption in the Brazilian healthcare system.\n\n\n### PO—140 Influence of Genetic Ancestry on High-Risk HLA-dr3/dr4 Haplotypes in Individuals with Type 1 Diabetes from an Admixed Brazilian Population: a Pilot Study\nIntroduction: Type 1 diabetes mellitus (T1D) is, in most cases, attributed to an autoimmune process. The major genetic risk factor associated with T1D lies in the leukocyte histocompatibility antigen (HLA) system, particularly in HLA-DR and HLA-DQ. Objective: This study investigated the association between autosomal, mitochondrial (maternal), and Y chromosome (paternal) ancestry and the presence of high-risk HLA-DR3/DR4 haplotypes in individuals with T1D and controls from an admixed population. Methods: We determined the HLA of patients with T1D and controls. Autosomal, mitochondrial, and Y-chromosome ancestries were then analyzed. Results: A total of 152 individuals with T1D and 117 controls were included in the study. A significantly higher proportion of T1D individuals carried HLA-DR3/DR4 haplotypes compared to controls (79.6% vs. 49.6%, OR = 3.97, 95% CI: 2.32–6.78, P <0.001). No differences were observed between T1D and control groups for African, European, or Native American autosomal ancestry proportions. Similarly, mitochondrial DNA and Y chromosome ancestry did not differ significantly between groups. Among individuals with T1D, African ancestry ≥50% was significantly less frequent in those with DR3/DR4 haplotypes compared to those with non-DR3/DR4 haplotypes (5.0% vs. 19.4%, OR = 0.21, 95% CI: 0.06–0.73, P = 0.008), indicating a negative association between African ancestry and high-risk alleles of HLA system in T1D. In contrast, European ancestry ≥50% was more common among individuals with DR3/DR4 haplotypes than those without DR3/DR4 haplotypes in the T1D group (52.1% vs. 25.8%, OR = 3.12, 95% CI: 1.29–7.53, P = 0.009), suggesting a positive association. There was no association between the distribution of high-risk HLA-DR3/DR4 and combined ancestries of mitochondrial DNA and the Y chromosome in the control (P = 0.374) and T1D (P = 0.262) groups. Conclusion: The main findings of this study reinforce the relevance of HLA-DR3/DR4 haplotypes in the risk of developing T1D, highlighting the influence of autosomal ancestry on the distribution of high-risk HLA haplotypes. Specifically, a negative association is observed with African ancestry and a positive association with European ancestry, particularly in individuals with T1D. Additionally, the findings suggest that neither maternal nor paternal ancestry is significantly linked to the presence of high-risk HLA haplotypes in this admixed Brazilian population, indicating the need for further studies in other regions of the country.\n\n\n### Azulay S1; Ferreira LL2; Rodrigues V3; Tavares MG1; Facundo AN4; Lago DF4; Nascimento GC4; Magalhães M3; Turchetto-Zolet A5; Porto LC5; Carvalho PRVB6; Silva D7; Faria M4; Gomes MB8\nIntroduction: Type 1 diabetes mellitus (T1D) is, in most cases, attributed to an autoimmune process. The major genetic risk factor associated with T1D lies in the leukocyte histocompatibility antigen (HLA) system, particularly in HLA-DR and HLA-DQ. Objective: This study investigated the association between autosomal, mitochondrial (maternal), and Y chromosome (paternal) ancestry and the presence of high-risk HLA-DR3/DR4 haplotypes in individuals with T1D and controls from an admixed population. Methods: We determined the HLA of patients with T1D and controls. Autosomal, mitochondrial, and Y-chromosome ancestries were then analyzed. Results: A total of 152 individuals with T1D and 117 controls were included in the study. A significantly higher proportion of T1D individuals carried HLA-DR3/DR4 haplotypes compared to controls (79.6% vs. 49.6%, OR = 3.97, 95% CI: 2.32–6.78, P <0.001). No differences were observed between T1D and control groups for African, European, or Native American autosomal ancestry proportions. Similarly, mitochondrial DNA and Y chromosome ancestry did not differ significantly between groups. Among individuals with T1D, African ancestry ≥50% was significantly less frequent in those with DR3/DR4 haplotypes compared to those with non-DR3/DR4 haplotypes (5.0% vs. 19.4%, OR = 0.21, 95% CI: 0.06–0.73, P = 0.008), indicating a negative association between African ancestry and high-risk alleles of HLA system in T1D. In contrast, European ancestry ≥50% was more common among individuals with DR3/DR4 haplotypes than those without DR3/DR4 haplotypes in the T1D group (52.1% vs. 25.8%, OR = 3.12, 95% CI: 1.29–7.53, P = 0.009), suggesting a positive association. There was no association between the distribution of high-risk HLA-DR3/DR4 and combined ancestries of mitochondrial DNA and the Y chromosome in the control (P = 0.374) and T1D (P = 0.262) groups. Conclusion: The main findings of this study reinforce the relevance of HLA-DR3/DR4 haplotypes in the risk of developing T1D, highlighting the influence of autosomal ancestry on the distribution of high-risk HLA haplotypes. Specifically, a negative association is observed with African ancestry and a positive association with European ancestry, particularly in individuals with T1D. Additionally, the findings suggest that neither maternal nor paternal ancestry is significantly linked to the presence of high-risk HLA haplotypes in this admixed Brazilian population, indicating the need for further studies in other regions of the country.\n\n\n### (1) University Hospital of the Federal University of Maranhão/EBSERH, São Luís, MA, Brasil; (2) DNA Diagnostic Laboratory, State University, Rio de Janeiro, RJ, Brasil; (3) Research Group in Clinical and Molecular Endocrinology and Metabology, Federal University of Maranhão, São Luís, MA, Brasil; (4) Endocrinology Unit, University Hospital of the Federal University of Maranhão/EBSERH, São Luís, MA, Brasil; (5) Postgraduate Program in Genetics and Molecular Biology, Federal University of Rio Grande do Sul, Porto Alegre, RS, Brasil; (6) Histocompatibility and Cryopreservation Laboratory (HLA), Rio de Janeiro State University, Rio de Janeiro, RJ, Brasil; (7) DNA Diagnostic Laboratory, State University of Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (8) Diabetes Unit, State University of Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Type 1 diabetes mellitus (T1D) is, in most cases, attributed to an autoimmune process. The major genetic risk factor associated with T1D lies in the leukocyte histocompatibility antigen (HLA) system, particularly in HLA-DR and HLA-DQ. Objective: This study investigated the association between autosomal, mitochondrial (maternal), and Y chromosome (paternal) ancestry and the presence of high-risk HLA-DR3/DR4 haplotypes in individuals with T1D and controls from an admixed population. Methods: We determined the HLA of patients with T1D and controls. Autosomal, mitochondrial, and Y-chromosome ancestries were then analyzed. Results: A total of 152 individuals with T1D and 117 controls were included in the study. A significantly higher proportion of T1D individuals carried HLA-DR3/DR4 haplotypes compared to controls (79.6% vs. 49.6%, OR = 3.97, 95% CI: 2.32–6.78, P <0.001). No differences were observed between T1D and control groups for African, European, or Native American autosomal ancestry proportions. Similarly, mitochondrial DNA and Y chromosome ancestry did not differ significantly between groups. Among individuals with T1D, African ancestry ≥50% was significantly less frequent in those with DR3/DR4 haplotypes compared to those with non-DR3/DR4 haplotypes (5.0% vs. 19.4%, OR = 0.21, 95% CI: 0.06–0.73, P = 0.008), indicating a negative association between African ancestry and high-risk alleles of HLA system in T1D. In contrast, European ancestry ≥50% was more common among individuals with DR3/DR4 haplotypes than those without DR3/DR4 haplotypes in the T1D group (52.1% vs. 25.8%, OR = 3.12, 95% CI: 1.29–7.53, P = 0.009), suggesting a positive association. There was no association between the distribution of high-risk HLA-DR3/DR4 and combined ancestries of mitochondrial DNA and the Y chromosome in the control (P = 0.374) and T1D (P = 0.262) groups. Conclusion: The main findings of this study reinforce the relevance of HLA-DR3/DR4 haplotypes in the risk of developing T1D, highlighting the influence of autosomal ancestry on the distribution of high-risk HLA haplotypes. Specifically, a negative association is observed with African ancestry and a positive association with European ancestry, particularly in individuals with T1D. Additionally, the findings suggest that neither maternal nor paternal ancestry is significantly linked to the presence of high-risk HLA haplotypes in this admixed Brazilian population, indicating the need for further studies in other regions of the country.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—140\nIntroduction: Type 1 diabetes mellitus (T1D) is, in most cases, attributed to an autoimmune process. The major genetic risk factor associated with T1D lies in the leukocyte histocompatibility antigen (HLA) system, particularly in HLA-DR and HLA-DQ. Objective: This study investigated the association between autosomal, mitochondrial (maternal), and Y chromosome (paternal) ancestry and the presence of high-risk HLA-DR3/DR4 haplotypes in individuals with T1D and controls from an admixed population. Methods: We determined the HLA of patients with T1D and controls. Autosomal, mitochondrial, and Y-chromosome ancestries were then analyzed. Results: A total of 152 individuals with T1D and 117 controls were included in the study. A significantly higher proportion of T1D individuals carried HLA-DR3/DR4 haplotypes compared to controls (79.6% vs. 49.6%, OR = 3.97, 95% CI: 2.32–6.78, P <0.001). No differences were observed between T1D and control groups for African, European, or Native American autosomal ancestry proportions. Similarly, mitochondrial DNA and Y chromosome ancestry did not differ significantly between groups. Among individuals with T1D, African ancestry ≥50% was significantly less frequent in those with DR3/DR4 haplotypes compared to those with non-DR3/DR4 haplotypes (5.0% vs. 19.4%, OR = 0.21, 95% CI: 0.06–0.73, P = 0.008), indicating a negative association between African ancestry and high-risk alleles of HLA system in T1D. In contrast, European ancestry ≥50% was more common among individuals with DR3/DR4 haplotypes than those without DR3/DR4 haplotypes in the T1D group (52.1% vs. 25.8%, OR = 3.12, 95% CI: 1.29–7.53, P = 0.009), suggesting a positive association. There was no association between the distribution of high-risk HLA-DR3/DR4 and combined ancestries of mitochondrial DNA and the Y chromosome in the control (P = 0.374) and T1D (P = 0.262) groups. Conclusion: The main findings of this study reinforce the relevance of HLA-DR3/DR4 haplotypes in the risk of developing T1D, highlighting the influence of autosomal ancestry on the distribution of high-risk HLA haplotypes. Specifically, a negative association is observed with African ancestry and a positive association with European ancestry, particularly in individuals with T1D. Additionally, the findings suggest that neither maternal nor paternal ancestry is significantly linked to the presence of high-risk HLA haplotypes in this admixed Brazilian population, indicating the need for further studies in other regions of the country.\n\n\n### PO—141 Influence of SGLT2 Inhibition on Myocardial Sirtuin Expression and Cardiac Remodeling in Rats with Type 1 Diabetes Mellitus\nIntroduction: Inhibition of sodium-glucose co-transporter 2 (SGLT2) has cardiovascular benefits in patients with Type 2 diabetes mellitus (DM). The mechanisms involved in beneficial effects have not yet been fully clarified. Studies suggest that SGLT2 inhibitors interact with sirtuins, proteins that modulate cellular survival and apoptosis, autophagy, mitochondrial function, and stress response. In DM, sirtuin 3 improves mitochondrial function, oxidative stress, and insulin resistance. Few investigators have evaluated the cardiovascular effects of SGLT2 inhibition in Type 1 DM. Objective: To analyze the effects of the SGLT2 inhibitor dapagliflozin (Dapa) on cardiac structure, ventricular function, and myocardial expression of sirtuins 3 and 6 in Type 1 DM rats. Methods: Male Wistar rats were allocated into control (C), C treated with Dapa (C-Dapa), DM, and DM treated with Dapa (DM-Dapa) groups. DM was induced by a single streptozotocin injection, 50 mg/kg. Dapa was added to the rat chow at a dosage of 10 mg/kg/day for 16 weeks. Cardiac remodeling was evaluated by echocardiogram at the end of the study and protein expression by Western blot. Statistical analysis: ANOVA complemented by the Tukey or Kruskal–Wallis and Dunn tests (p<0.05). Results: Echocardiogram data will be presented. Protein expression of sirtuins 3 and 6 did not differ between the groups. Conclusion: Treatment with dapagliflozin attenuates left cardiac chambers dilation, left ventricular hypertrophy, and systolic and diastolic dysfunction, and does not modulate protein expression of myocardial sirtuins 3 and 6 in rats with Type 1 diabetes mellitus.\n\n\n### Marreiros APS1; Muniz AD1; Sant’Ana PG1; Meirelles ALB1; Santos ACC1; Ojopi EPB1; Souza LM1; Rodrigues EA1; Okoshi K1; Okoshi MP1\nIntroduction: Inhibition of sodium-glucose co-transporter 2 (SGLT2) has cardiovascular benefits in patients with Type 2 diabetes mellitus (DM). The mechanisms involved in beneficial effects have not yet been fully clarified. Studies suggest that SGLT2 inhibitors interact with sirtuins, proteins that modulate cellular survival and apoptosis, autophagy, mitochondrial function, and stress response. In DM, sirtuin 3 improves mitochondrial function, oxidative stress, and insulin resistance. Few investigators have evaluated the cardiovascular effects of SGLT2 inhibition in Type 1 DM. Objective: To analyze the effects of the SGLT2 inhibitor dapagliflozin (Dapa) on cardiac structure, ventricular function, and myocardial expression of sirtuins 3 and 6 in Type 1 DM rats. Methods: Male Wistar rats were allocated into control (C), C treated with Dapa (C-Dapa), DM, and DM treated with Dapa (DM-Dapa) groups. DM was induced by a single streptozotocin injection, 50 mg/kg. Dapa was added to the rat chow at a dosage of 10 mg/kg/day for 16 weeks. Cardiac remodeling was evaluated by echocardiogram at the end of the study and protein expression by Western blot. Statistical analysis: ANOVA complemented by the Tukey or Kruskal–Wallis and Dunn tests (p<0.05). Results: Echocardiogram data will be presented. Protein expression of sirtuins 3 and 6 did not differ between the groups. Conclusion: Treatment with dapagliflozin attenuates left cardiac chambers dilation, left ventricular hypertrophy, and systolic and diastolic dysfunction, and does not modulate protein expression of myocardial sirtuins 3 and 6 in rats with Type 1 diabetes mellitus.\n\n\n### (1) Botucatu Medical School, Sao Paulo State University, Botucatu, SP, Brasil\nIntroduction: Inhibition of sodium-glucose co-transporter 2 (SGLT2) has cardiovascular benefits in patients with Type 2 diabetes mellitus (DM). The mechanisms involved in beneficial effects have not yet been fully clarified. Studies suggest that SGLT2 inhibitors interact with sirtuins, proteins that modulate cellular survival and apoptosis, autophagy, mitochondrial function, and stress response. In DM, sirtuin 3 improves mitochondrial function, oxidative stress, and insulin resistance. Few investigators have evaluated the cardiovascular effects of SGLT2 inhibition in Type 1 DM. Objective: To analyze the effects of the SGLT2 inhibitor dapagliflozin (Dapa) on cardiac structure, ventricular function, and myocardial expression of sirtuins 3 and 6 in Type 1 DM rats. Methods: Male Wistar rats were allocated into control (C), C treated with Dapa (C-Dapa), DM, and DM treated with Dapa (DM-Dapa) groups. DM was induced by a single streptozotocin injection, 50 mg/kg. Dapa was added to the rat chow at a dosage of 10 mg/kg/day for 16 weeks. Cardiac remodeling was evaluated by echocardiogram at the end of the study and protein expression by Western blot. Statistical analysis: ANOVA complemented by the Tukey or Kruskal–Wallis and Dunn tests (p<0.05). Results: Echocardiogram data will be presented. Protein expression of sirtuins 3 and 6 did not differ between the groups. Conclusion: Treatment with dapagliflozin attenuates left cardiac chambers dilation, left ventricular hypertrophy, and systolic and diastolic dysfunction, and does not modulate protein expression of myocardial sirtuins 3 and 6 in rats with Type 1 diabetes mellitus.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—141\nIntroduction: Inhibition of sodium-glucose co-transporter 2 (SGLT2) has cardiovascular benefits in patients with Type 2 diabetes mellitus (DM). The mechanisms involved in beneficial effects have not yet been fully clarified. Studies suggest that SGLT2 inhibitors interact with sirtuins, proteins that modulate cellular survival and apoptosis, autophagy, mitochondrial function, and stress response. In DM, sirtuin 3 improves mitochondrial function, oxidative stress, and insulin resistance. Few investigators have evaluated the cardiovascular effects of SGLT2 inhibition in Type 1 DM. Objective: To analyze the effects of the SGLT2 inhibitor dapagliflozin (Dapa) on cardiac structure, ventricular function, and myocardial expression of sirtuins 3 and 6 in Type 1 DM rats. Methods: Male Wistar rats were allocated into control (C), C treated with Dapa (C-Dapa), DM, and DM treated with Dapa (DM-Dapa) groups. DM was induced by a single streptozotocin injection, 50 mg/kg. Dapa was added to the rat chow at a dosage of 10 mg/kg/day for 16 weeks. Cardiac remodeling was evaluated by echocardiogram at the end of the study and protein expression by Western blot. Statistical analysis: ANOVA complemented by the Tukey or Kruskal–Wallis and Dunn tests (p<0.05). Results: Echocardiogram data will be presented. Protein expression of sirtuins 3 and 6 did not differ between the groups. Conclusion: Treatment with dapagliflozin attenuates left cardiac chambers dilation, left ventricular hypertrophy, and systolic and diastolic dysfunction, and does not modulate protein expression of myocardial sirtuins 3 and 6 in rats with Type 1 diabetes mellitus.\n\n\n### PO—143 Interpretation of Glycated Hemoglobin in a Patient with Complex Cyanotic Congenital Heart Disease\nCase Presentation: The diagnosis of Diabetes Mellitus (DM) can be challenging. Glycated hemoglobin (HbA1c) has been used for the diagnosis of DM since 2009. However, certain conditions may compromise its accuracy, such as chronic hypoxia and erythrocytosis. Patients with cyanotic congenital heart disease (CCHD) may present with chronic hypoxia, which can lead to secondary polycythemia and interfere with the interpretation of HbA1c values. This report describes the case of a patient with complex cyanotic heart disease and polycythemia, in whom an isolated elevation of HbA1c led to a misdiagnosis of DM. A 19-year-old female from Rio de Janeiro, Brazil, with CCHD (ventricular septal defect and pulmonary artery trunk atresia) followed at the National Institute of Cardiology, with recurrent hospitalizations for phlebotomy due to polycythemia, was referred to the endocrinology clinic for elevated HbA1c of 6.5% despite a fasting plasma glucose of 78 mg/dL. She reported progressive weight loss over recent months but denied polyuria, polydipsia, polyphagia, or use of hyperglycemic medications. On examination, she presented with persistent central cyanosis, digital clubbing, body weight of 48 kg, and a BMI of 22 kg/m2. Repeat laboratory testing confirmed normal fasting plasma glucose (73 mg/dL) and a normal 2-hour oral glucose tolerance test (141 mg/dL). Fructosamine was within normal range (187 μmol/L), and anti-GAD antibodies were negative (<5 IU/mL), ruling out DM. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HbA1c results from the non-enzymatic glycation of hemoglobin A and is reliable only when erythrocyte lifespan is normal (~120 days). In chronic hypoxia, erythropoietin stimulates erythrocytosis, altering the proportion of young erythrocytes and their exposure time to glucose, which may falsely elevate HbA1c values. Studies have shown that erythrocytosis associated with high altitude and chronic hypoxia may increase the optimal cut-off point for DM diagnosis and follow-up, underscoring the need for caution when interpreting this marker in isolation. Final Comments: HbA1c levels may be influenced by hematologic factors, limiting their use for DM diagnosis, as in the present case. Therefore, isolated elevation of HbA1c without classic symptoms or confirmatory abnormal glucose measurements should be interpreted cautiously in patients with polycythemia. Diagnostic decisions must consider the clinical context to avoid inappropriate management based on a single laboratory parameter.\n\n\n### Kupfer R1; Rocha RP1; Lima ALB1\nCase Presentation: The diagnosis of Diabetes Mellitus (DM) can be challenging. Glycated hemoglobin (HbA1c) has been used for the diagnosis of DM since 2009. However, certain conditions may compromise its accuracy, such as chronic hypoxia and erythrocytosis. Patients with cyanotic congenital heart disease (CCHD) may present with chronic hypoxia, which can lead to secondary polycythemia and interfere with the interpretation of HbA1c values. This report describes the case of a patient with complex cyanotic heart disease and polycythemia, in whom an isolated elevation of HbA1c led to a misdiagnosis of DM. A 19-year-old female from Rio de Janeiro, Brazil, with CCHD (ventricular septal defect and pulmonary artery trunk atresia) followed at the National Institute of Cardiology, with recurrent hospitalizations for phlebotomy due to polycythemia, was referred to the endocrinology clinic for elevated HbA1c of 6.5% despite a fasting plasma glucose of 78 mg/dL. She reported progressive weight loss over recent months but denied polyuria, polydipsia, polyphagia, or use of hyperglycemic medications. On examination, she presented with persistent central cyanosis, digital clubbing, body weight of 48 kg, and a BMI of 22 kg/m2. Repeat laboratory testing confirmed normal fasting plasma glucose (73 mg/dL) and a normal 2-hour oral glucose tolerance test (141 mg/dL). Fructosamine was within normal range (187 μmol/L), and anti-GAD antibodies were negative (<5 IU/mL), ruling out DM. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HbA1c results from the non-enzymatic glycation of hemoglobin A and is reliable only when erythrocyte lifespan is normal (~120 days). In chronic hypoxia, erythropoietin stimulates erythrocytosis, altering the proportion of young erythrocytes and their exposure time to glucose, which may falsely elevate HbA1c values. Studies have shown that erythrocytosis associated with high altitude and chronic hypoxia may increase the optimal cut-off point for DM diagnosis and follow-up, underscoring the need for caution when interpreting this marker in isolation. Final Comments: HbA1c levels may be influenced by hematologic factors, limiting their use for DM diagnosis, as in the present case. Therefore, isolated elevation of HbA1c without classic symptoms or confirmatory abnormal glucose measurements should be interpreted cautiously in patients with polycythemia. Diagnostic decisions must consider the clinical context to avoid inappropriate management based on a single laboratory parameter.\n\n\n### (1) Instituto Estadual de Diabetes e Endocrinologia, Rio de Janeiro, RJ, Brasil. 118\nCase Presentation: The diagnosis of Diabetes Mellitus (DM) can be challenging. Glycated hemoglobin (HbA1c) has been used for the diagnosis of DM since 2009. However, certain conditions may compromise its accuracy, such as chronic hypoxia and erythrocytosis. Patients with cyanotic congenital heart disease (CCHD) may present with chronic hypoxia, which can lead to secondary polycythemia and interfere with the interpretation of HbA1c values. This report describes the case of a patient with complex cyanotic heart disease and polycythemia, in whom an isolated elevation of HbA1c led to a misdiagnosis of DM. A 19-year-old female from Rio de Janeiro, Brazil, with CCHD (ventricular septal defect and pulmonary artery trunk atresia) followed at the National Institute of Cardiology, with recurrent hospitalizations for phlebotomy due to polycythemia, was referred to the endocrinology clinic for elevated HbA1c of 6.5% despite a fasting plasma glucose of 78 mg/dL. She reported progressive weight loss over recent months but denied polyuria, polydipsia, polyphagia, or use of hyperglycemic medications. On examination, she presented with persistent central cyanosis, digital clubbing, body weight of 48 kg, and a BMI of 22 kg/m2. Repeat laboratory testing confirmed normal fasting plasma glucose (73 mg/dL) and a normal 2-hour oral glucose tolerance test (141 mg/dL). Fructosamine was within normal range (187 μmol/L), and anti-GAD antibodies were negative (<5 IU/mL), ruling out DM. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HbA1c results from the non-enzymatic glycation of hemoglobin A and is reliable only when erythrocyte lifespan is normal (~120 days). In chronic hypoxia, erythropoietin stimulates erythrocytosis, altering the proportion of young erythrocytes and their exposure time to glucose, which may falsely elevate HbA1c values. Studies have shown that erythrocytosis associated with high altitude and chronic hypoxia may increase the optimal cut-off point for DM diagnosis and follow-up, underscoring the need for caution when interpreting this marker in isolation. Final Comments: HbA1c levels may be influenced by hematologic factors, limiting their use for DM diagnosis, as in the present case. Therefore, isolated elevation of HbA1c without classic symptoms or confirmatory abnormal glucose measurements should be interpreted cautiously in patients with polycythemia. Diagnostic decisions must consider the clinical context to avoid inappropriate management based on a single laboratory parameter.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—143\nCase Presentation: The diagnosis of Diabetes Mellitus (DM) can be challenging. Glycated hemoglobin (HbA1c) has been used for the diagnosis of DM since 2009. However, certain conditions may compromise its accuracy, such as chronic hypoxia and erythrocytosis. Patients with cyanotic congenital heart disease (CCHD) may present with chronic hypoxia, which can lead to secondary polycythemia and interfere with the interpretation of HbA1c values. This report describes the case of a patient with complex cyanotic heart disease and polycythemia, in whom an isolated elevation of HbA1c led to a misdiagnosis of DM. A 19-year-old female from Rio de Janeiro, Brazil, with CCHD (ventricular septal defect and pulmonary artery trunk atresia) followed at the National Institute of Cardiology, with recurrent hospitalizations for phlebotomy due to polycythemia, was referred to the endocrinology clinic for elevated HbA1c of 6.5% despite a fasting plasma glucose of 78 mg/dL. She reported progressive weight loss over recent months but denied polyuria, polydipsia, polyphagia, or use of hyperglycemic medications. On examination, she presented with persistent central cyanosis, digital clubbing, body weight of 48 kg, and a BMI of 22 kg/m2. Repeat laboratory testing confirmed normal fasting plasma glucose (73 mg/dL) and a normal 2-hour oral glucose tolerance test (141 mg/dL). Fructosamine was within normal range (187 μmol/L), and anti-GAD antibodies were negative (<5 IU/mL), ruling out DM. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HbA1c results from the non-enzymatic glycation of hemoglobin A and is reliable only when erythrocyte lifespan is normal (~120 days). In chronic hypoxia, erythropoietin stimulates erythrocytosis, altering the proportion of young erythrocytes and their exposure time to glucose, which may falsely elevate HbA1c values. Studies have shown that erythrocytosis associated with high altitude and chronic hypoxia may increase the optimal cut-off point for DM diagnosis and follow-up, underscoring the need for caution when interpreting this marker in isolation. Final Comments: HbA1c levels may be influenced by hematologic factors, limiting their use for DM diagnosis, as in the present case. Therefore, isolated elevation of HbA1c without classic symptoms or confirmatory abnormal glucose measurements should be interpreted cautiously in patients with polycythemia. Diagnostic decisions must consider the clinical context to avoid inappropriate management based on a single laboratory parameter.\n\n\n### PO – 146 Late MODY-HNF4A Diagnosis in a Previously Misclassified T2DM Patient: Clinical and Therapeutic Lessons\nCase Presentation: An 88-year-old male patient from Minas Gerais, Brazil, previously diagnosed with type 2 diabetes mellitus (T2DM), presented for a routine follow-up visit. The patient denied any history of overweight and reported the onset of polyuria, polydipsia, and fatigue at age 20. His first laboratory evaluations were performed at age 48, at which time he was diagnosed with T2DM. Initial treatment consisted of metformin monotherapy, after which bedtime insulin was introduced and approximately six years after diagnosis, he transitioned to full insulin therapy. The patient reported a strong familial occurrence of diabetes among daughters, granddaughters, and great-granddaughters. One daughter was genetically diagnosed with the heterozygous c.48C>G:p.(Tyr16*) mutation in HNF4A gene (NM_175914.4). Genetic testing confirmed the presence of the same HNF4A variant, establishing the diagnosis of MODY (Maturity-Onset Diabetes of the Young) due to an HNF4A mutation. Following this diagnosis, his treatment regimen was optimized: insulin was discontinued, and gliclazide monotherapy was initiated. Subsequent HbA1c values remained between 6.8% and 7.7%. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: MODY is a form of monogenic diabetes frequently misdiagnosed as type 1 or type 2 diabetes due to underrecognition and limited access to confirmatory genetic testing. Mutations in the HNF4A involves a mutation in a transcription factor that promotes insulin secretion, thereby explaining the favorable therapeutic response to insulin secretagogues, such as sulfonylureas. Key clinical indicators include diabetes onset before the age of 25, a family history of diabetes affecting at least three generations, and a history of fetal macrosomia or transient neonatal hypoglycemia. Even in patients diagnosed at an older age, the presence of these features across generations warrants consideration of MODY, ideally beginning the genetic investigation with the youngest affected family members. Final Comments: This case highlights the importance of accurate diabetes classification, which enables significant therapeutic adjustments, such as discontinuation of insulin and effective use of sulfonylureas, ultimately improving glycemic control and patient quality of life. Detailed history-taking, early clinical recognition, and genetic testing are essential, particularly in patients with a suggestive family history and early-onset symptoms, emphasizing the role of MODY differential diagnosis in clinical practice.\n\n\n### Ferreira LF1; Dantas A2; Junior AS2; Teles MG2\nCase Presentation: An 88-year-old male patient from Minas Gerais, Brazil, previously diagnosed with type 2 diabetes mellitus (T2DM), presented for a routine follow-up visit. The patient denied any history of overweight and reported the onset of polyuria, polydipsia, and fatigue at age 20. His first laboratory evaluations were performed at age 48, at which time he was diagnosed with T2DM. Initial treatment consisted of metformin monotherapy, after which bedtime insulin was introduced and approximately six years after diagnosis, he transitioned to full insulin therapy. The patient reported a strong familial occurrence of diabetes among daughters, granddaughters, and great-granddaughters. One daughter was genetically diagnosed with the heterozygous c.48C>G:p.(Tyr16*) mutation in HNF4A gene (NM_175914.4). Genetic testing confirmed the presence of the same HNF4A variant, establishing the diagnosis of MODY (Maturity-Onset Diabetes of the Young) due to an HNF4A mutation. Following this diagnosis, his treatment regimen was optimized: insulin was discontinued, and gliclazide monotherapy was initiated. Subsequent HbA1c values remained between 6.8% and 7.7%. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: MODY is a form of monogenic diabetes frequently misdiagnosed as type 1 or type 2 diabetes due to underrecognition and limited access to confirmatory genetic testing. Mutations in the HNF4A involves a mutation in a transcription factor that promotes insulin secretion, thereby explaining the favorable therapeutic response to insulin secretagogues, such as sulfonylureas. Key clinical indicators include diabetes onset before the age of 25, a family history of diabetes affecting at least three generations, and a history of fetal macrosomia or transient neonatal hypoglycemia. Even in patients diagnosed at an older age, the presence of these features across generations warrants consideration of MODY, ideally beginning the genetic investigation with the youngest affected family members. Final Comments: This case highlights the importance of accurate diabetes classification, which enables significant therapeutic adjustments, such as discontinuation of insulin and effective use of sulfonylureas, ultimately improving glycemic control and patient quality of life. Detailed history-taking, early clinical recognition, and genetic testing are essential, particularly in patients with a suggestive family history and early-onset symptoms, emphasizing the role of MODY differential diagnosis in clinical practice.\n\n\n### (1) Unidade Mista de Saúde Júlia Terezinha Amaral, Iraí de Minas, MG, Brasil; (2) Universidade de São Paulo, Grupo de Diabetes Monogênico, Unidade de Endocrinologia Genética e Laboratório de Endocrinologia Molecular e Celular / LIM25, Faculdade de Medicina, , São Paulo, SP, Brasil; (3) Universidade de São Paulo, Grupo de Diabetes Monogênico, Unidade de Endocrinologia Genética e Laboratório de Endocrinologia Molecular e Celular / LIM25, Faculdade de Medicina, São Paulo, SP, Brasil; (4) Universidade de São Paulo, Grupo de Diabetes Monogênico, Unidade de Endocrinologia Genética e Laboratório de Endocrinologia Molecular e Celular / LIM25, Faculdade de Medicina, São Paulo, MG, Brasil\nCase Presentation: An 88-year-old male patient from Minas Gerais, Brazil, previously diagnosed with type 2 diabetes mellitus (T2DM), presented for a routine follow-up visit. The patient denied any history of overweight and reported the onset of polyuria, polydipsia, and fatigue at age 20. His first laboratory evaluations were performed at age 48, at which time he was diagnosed with T2DM. Initial treatment consisted of metformin monotherapy, after which bedtime insulin was introduced and approximately six years after diagnosis, he transitioned to full insulin therapy. The patient reported a strong familial occurrence of diabetes among daughters, granddaughters, and great-granddaughters. One daughter was genetically diagnosed with the heterozygous c.48C>G:p.(Tyr16*) mutation in HNF4A gene (NM_175914.4). Genetic testing confirmed the presence of the same HNF4A variant, establishing the diagnosis of MODY (Maturity-Onset Diabetes of the Young) due to an HNF4A mutation. Following this diagnosis, his treatment regimen was optimized: insulin was discontinued, and gliclazide monotherapy was initiated. Subsequent HbA1c values remained between 6.8% and 7.7%. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: MODY is a form of monogenic diabetes frequently misdiagnosed as type 1 or type 2 diabetes due to underrecognition and limited access to confirmatory genetic testing. Mutations in the HNF4A involves a mutation in a transcription factor that promotes insulin secretion, thereby explaining the favorable therapeutic response to insulin secretagogues, such as sulfonylureas. Key clinical indicators include diabetes onset before the age of 25, a family history of diabetes affecting at least three generations, and a history of fetal macrosomia or transient neonatal hypoglycemia. Even in patients diagnosed at an older age, the presence of these features across generations warrants consideration of MODY, ideally beginning the genetic investigation with the youngest affected family members. Final Comments: This case highlights the importance of accurate diabetes classification, which enables significant therapeutic adjustments, such as discontinuation of insulin and effective use of sulfonylureas, ultimately improving glycemic control and patient quality of life. Detailed history-taking, early clinical recognition, and genetic testing are essential, particularly in patients with a suggestive family history and early-onset symptoms, emphasizing the role of MODY differential diagnosis in clinical practice.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—146\nCase Presentation: An 88-year-old male patient from Minas Gerais, Brazil, previously diagnosed with type 2 diabetes mellitus (T2DM), presented for a routine follow-up visit. The patient denied any history of overweight and reported the onset of polyuria, polydipsia, and fatigue at age 20. His first laboratory evaluations were performed at age 48, at which time he was diagnosed with T2DM. Initial treatment consisted of metformin monotherapy, after which bedtime insulin was introduced and approximately six years after diagnosis, he transitioned to full insulin therapy. The patient reported a strong familial occurrence of diabetes among daughters, granddaughters, and great-granddaughters. One daughter was genetically diagnosed with the heterozygous c.48C>G:p.(Tyr16*) mutation in HNF4A gene (NM_175914.4). Genetic testing confirmed the presence of the same HNF4A variant, establishing the diagnosis of MODY (Maturity-Onset Diabetes of the Young) due to an HNF4A mutation. Following this diagnosis, his treatment regimen was optimized: insulin was discontinued, and gliclazide monotherapy was initiated. Subsequent HbA1c values remained between 6.8% and 7.7%. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: MODY is a form of monogenic diabetes frequently misdiagnosed as type 1 or type 2 diabetes due to underrecognition and limited access to confirmatory genetic testing. Mutations in the HNF4A involves a mutation in a transcription factor that promotes insulin secretion, thereby explaining the favorable therapeutic response to insulin secretagogues, such as sulfonylureas. Key clinical indicators include diabetes onset before the age of 25, a family history of diabetes affecting at least three generations, and a history of fetal macrosomia or transient neonatal hypoglycemia. Even in patients diagnosed at an older age, the presence of these features across generations warrants consideration of MODY, ideally beginning the genetic investigation with the youngest affected family members. Final Comments: This case highlights the importance of accurate diabetes classification, which enables significant therapeutic adjustments, such as discontinuation of insulin and effective use of sulfonylureas, ultimately improving glycemic control and patient quality of life. Detailed history-taking, early clinical recognition, and genetic testing are essential, particularly in patients with a suggestive family history and early-onset symptoms, emphasizing the role of MODY differential diagnosis in clinical practice.\n\n\n### PO—148 Molecular Diagnostic Application in Rare Diabetes as a Tool for Precision Health\nIntroduction: Among the rare forms of diabetes, Maturity-Onset Diabetes of the Young (MODY) is notable, characterized by onset before age 25, autosomal dominant inheritance, and a primary defect in pancreatic β cells. Mutations in at least 14 genes have been associated with this condition. Due to its rarity and limited dissemination, MODY is underdiagnosed, and patients with these forms frequently receive incorrect diagnoses, impacting their management. Objective: In this way, in the present study, we aimed to screen variants in genes previously associated with MODY in Brazilian patients with a clinical suspicion of rare diabetes to provide molecular diagnosis, contribute to prognosis and genetic counseling, and support more appropriate treatment. Methods: We included 108 probands with a clinical phenotype of monogenic diabetes and 86 relatives for molecular analysis of 11 genes using Sanger sequencing. Results: Fifty percent (54%) of the sample had potentially pathogenic variants. Mutations in GCK were the most frequent (32 probands), followed by HNF1A (16 probands); one variant was identified in each of the following genes: HNF4A, HNF1B, NEUROD1, PAX4, PDX1, and MT-TL1. A family segregation study of the mutation was performed in 28 families (86 relatives), of whom 52 individuals carried the variant. The GCK-MODY group showed age at diagnosis (AAD), fasting glucose (FG), and HbA1c compatible with the expected phenotype (AAD: 12.73 ± 9.11 years; FG: 123.07 ± 15.97 mg/dL; HbA1c: 6.4 ± 0.54%). Regarding the clinical diagnosis before genetic testing, 25% of patients were erroneously diagnosed as type 1 diabetes, and 40% were using insulin or an oral hypoglycemic agent. Approximately one-third of patients in the HNF1A-MODY group had a prior diagnosis of type 2 diabetes (AAD: 20.18 ± 8.98 years; FG: 121.66 ± 23.60 mg/dL; HbA1c: 7%), and only one of sixteen was not on pharmacological therapy. Conclusion: Following molecular diagnosis, clinicians can implement personalized treatment benefiting patients, as the literature already establishes that most of the individuals with GCK-MODY have good glycemic control with diet alone, without pharmacological treatment, and those with HNF1A mutations respond well to low-dose sulfonylureas.\n\n\n### Abreu GM1; de Souza RB1; Ferreira A1; Snaider D1; Borges F1; Saggioro BB1; Rodrigues MVS1; Tarantino R2; Rodacki M2; Zajdenverg L2; Zembrzuski VM1; Rosado EL3; Junior MC1\nIntroduction: Among the rare forms of diabetes, Maturity-Onset Diabetes of the Young (MODY) is notable, characterized by onset before age 25, autosomal dominant inheritance, and a primary defect in pancreatic β cells. Mutations in at least 14 genes have been associated with this condition. Due to its rarity and limited dissemination, MODY is underdiagnosed, and patients with these forms frequently receive incorrect diagnoses, impacting their management. Objective: In this way, in the present study, we aimed to screen variants in genes previously associated with MODY in Brazilian patients with a clinical suspicion of rare diabetes to provide molecular diagnosis, contribute to prognosis and genetic counseling, and support more appropriate treatment. Methods: We included 108 probands with a clinical phenotype of monogenic diabetes and 86 relatives for molecular analysis of 11 genes using Sanger sequencing. Results: Fifty percent (54%) of the sample had potentially pathogenic variants. Mutations in GCK were the most frequent (32 probands), followed by HNF1A (16 probands); one variant was identified in each of the following genes: HNF4A, HNF1B, NEUROD1, PAX4, PDX1, and MT-TL1. A family segregation study of the mutation was performed in 28 families (86 relatives), of whom 52 individuals carried the variant. The GCK-MODY group showed age at diagnosis (AAD), fasting glucose (FG), and HbA1c compatible with the expected phenotype (AAD: 12.73 ± 9.11 years; FG: 123.07 ± 15.97 mg/dL; HbA1c: 6.4 ± 0.54%). Regarding the clinical diagnosis before genetic testing, 25% of patients were erroneously diagnosed as type 1 diabetes, and 40% were using insulin or an oral hypoglycemic agent. Approximately one-third of patients in the HNF1A-MODY group had a prior diagnosis of type 2 diabetes (AAD: 20.18 ± 8.98 years; FG: 121.66 ± 23.60 mg/dL; HbA1c: 7%), and only one of sixteen was not on pharmacological therapy. Conclusion: Following molecular diagnosis, clinicians can implement personalized treatment benefiting patients, as the literature already establishes that most of the individuals with GCK-MODY have good glycemic control with diet alone, without pharmacological treatment, and those with HNF1A mutations respond well to low-dose sulfonylureas.\n\n\n### (1) Laboratório de Genética Humana, Instituto Oswaldo Cruz, Fundação Oswaldo Cruz, Rio de Janeiro, RJ, Brasil; (2) Serviço de Diabetes e Nutrologia, Departamento de Clínica Médica da Faculdade de Medicina, Rio de Janeiro, RJ, Brasil; (3) Instituto de Nutrição Josué de Castro, Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Among the rare forms of diabetes, Maturity-Onset Diabetes of the Young (MODY) is notable, characterized by onset before age 25, autosomal dominant inheritance, and a primary defect in pancreatic β cells. Mutations in at least 14 genes have been associated with this condition. Due to its rarity and limited dissemination, MODY is underdiagnosed, and patients with these forms frequently receive incorrect diagnoses, impacting their management. Objective: In this way, in the present study, we aimed to screen variants in genes previously associated with MODY in Brazilian patients with a clinical suspicion of rare diabetes to provide molecular diagnosis, contribute to prognosis and genetic counseling, and support more appropriate treatment. Methods: We included 108 probands with a clinical phenotype of monogenic diabetes and 86 relatives for molecular analysis of 11 genes using Sanger sequencing. Results: Fifty percent (54%) of the sample had potentially pathogenic variants. Mutations in GCK were the most frequent (32 probands), followed by HNF1A (16 probands); one variant was identified in each of the following genes: HNF4A, HNF1B, NEUROD1, PAX4, PDX1, and MT-TL1. A family segregation study of the mutation was performed in 28 families (86 relatives), of whom 52 individuals carried the variant. The GCK-MODY group showed age at diagnosis (AAD), fasting glucose (FG), and HbA1c compatible with the expected phenotype (AAD: 12.73 ± 9.11 years; FG: 123.07 ± 15.97 mg/dL; HbA1c: 6.4 ± 0.54%). Regarding the clinical diagnosis before genetic testing, 25% of patients were erroneously diagnosed as type 1 diabetes, and 40% were using insulin or an oral hypoglycemic agent. Approximately one-third of patients in the HNF1A-MODY group had a prior diagnosis of type 2 diabetes (AAD: 20.18 ± 8.98 years; FG: 121.66 ± 23.60 mg/dL; HbA1c: 7%), and only one of sixteen was not on pharmacological therapy. Conclusion: Following molecular diagnosis, clinicians can implement personalized treatment benefiting patients, as the literature already establishes that most of the individuals with GCK-MODY have good glycemic control with diet alone, without pharmacological treatment, and those with HNF1A mutations respond well to low-dose sulfonylureas.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—148\nIntroduction: Among the rare forms of diabetes, Maturity-Onset Diabetes of the Young (MODY) is notable, characterized by onset before age 25, autosomal dominant inheritance, and a primary defect in pancreatic β cells. Mutations in at least 14 genes have been associated with this condition. Due to its rarity and limited dissemination, MODY is underdiagnosed, and patients with these forms frequently receive incorrect diagnoses, impacting their management. Objective: In this way, in the present study, we aimed to screen variants in genes previously associated with MODY in Brazilian patients with a clinical suspicion of rare diabetes to provide molecular diagnosis, contribute to prognosis and genetic counseling, and support more appropriate treatment. Methods: We included 108 probands with a clinical phenotype of monogenic diabetes and 86 relatives for molecular analysis of 11 genes using Sanger sequencing. Results: Fifty percent (54%) of the sample had potentially pathogenic variants. Mutations in GCK were the most frequent (32 probands), followed by HNF1A (16 probands); one variant was identified in each of the following genes: HNF4A, HNF1B, NEUROD1, PAX4, PDX1, and MT-TL1. A family segregation study of the mutation was performed in 28 families (86 relatives), of whom 52 individuals carried the variant. The GCK-MODY group showed age at diagnosis (AAD), fasting glucose (FG), and HbA1c compatible with the expected phenotype (AAD: 12.73 ± 9.11 years; FG: 123.07 ± 15.97 mg/dL; HbA1c: 6.4 ± 0.54%). Regarding the clinical diagnosis before genetic testing, 25% of patients were erroneously diagnosed as type 1 diabetes, and 40% were using insulin or an oral hypoglycemic agent. Approximately one-third of patients in the HNF1A-MODY group had a prior diagnosis of type 2 diabetes (AAD: 20.18 ± 8.98 years; FG: 121.66 ± 23.60 mg/dL; HbA1c: 7%), and only one of sixteen was not on pharmacological therapy. Conclusion: Following molecular diagnosis, clinicians can implement personalized treatment benefiting patients, as the literature already establishes that most of the individuals with GCK-MODY have good glycemic control with diet alone, without pharmacological treatment, and those with HNF1A mutations respond well to low-dose sulfonylureas.\n\n\n### PO—149 mtDNA Analysis of Individuals with Type 1 Diabetes in the Southeastern Region of Brazil\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic, multifactorial autoimmune disease with a significant genetic predisposition, caused by the destruction of pancreatic beta cells, resulting in insulin deficiency for timelife. In an effort to better understand the genetic basis of the disease in an admixed population, mitochondrial DNA (mtDNA) analysis allows for the characterization of the population’s matrilineal ancestry. Given the limited data on mitochondrial inheritance in the Brazilian population-particularly the lack of genetic data from individuals in certain regions of the country-this study is warranted. Objective: The present study aims to analyze the mtDNA of individuals with T1D from a highly admixed population in the Southeastern Region of Brazil, comparing them with a healthy control population obtained from online databases in order to expand our understanding of the genetic background of T1D in admixed individuals. Methods: For this purpose, the control region of the mtDNA from 278 unrelated T1D patients from Southeastern Brazil was amplified by PCR using primers L15900 and H639, then purified and sequenced using the Sanger method, following the most recent mtDNA nomenclature guidelines. The sequences were imported into SeqScape software and aligned to the reference sequence. The EMPOP software was used to assign the corresponding haplogroups. For genetic diversity and comparative analyses, the Arlequin software was used. Results: The distribution of mtDNA haplogroups among T1D individuals from the Southeast was as follows: 33.81% Native American, 36.69% African, 26.26% European, and 3.24% Asian. The most frequent haplogroup in the study population was the Native American haplogroup A (34 patients, 12.23%), followed by the African haplogroup L1 (33 patients, 11.51%). The most frequent European haplogroup observed was H (15 patients, 5.4%). Genetic differentiation data calculated by Fst indicated that, although T1D and control individuals have low differentiation between them, only the comparison between T1D individuals and those from Espírito Santo was statistically significant after Bonferroni correction (p < 0.001) Conclusion: Our findings are consistent with existing data on Brazilian matrilineal ancestry and the influence of the colonial period on its formation. Further studies involving diabetic populations from other Brazilian states are necessary to determine whether this pattern observed in the general population is also replicated among individuals with diabetes.\n\n\n### Ferreira LL1; Gomes MB1; Silva DA1\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic, multifactorial autoimmune disease with a significant genetic predisposition, caused by the destruction of pancreatic beta cells, resulting in insulin deficiency for timelife. In an effort to better understand the genetic basis of the disease in an admixed population, mitochondrial DNA (mtDNA) analysis allows for the characterization of the population’s matrilineal ancestry. Given the limited data on mitochondrial inheritance in the Brazilian population-particularly the lack of genetic data from individuals in certain regions of the country-this study is warranted. Objective: The present study aims to analyze the mtDNA of individuals with T1D from a highly admixed population in the Southeastern Region of Brazil, comparing them with a healthy control population obtained from online databases in order to expand our understanding of the genetic background of T1D in admixed individuals. Methods: For this purpose, the control region of the mtDNA from 278 unrelated T1D patients from Southeastern Brazil was amplified by PCR using primers L15900 and H639, then purified and sequenced using the Sanger method, following the most recent mtDNA nomenclature guidelines. The sequences were imported into SeqScape software and aligned to the reference sequence. The EMPOP software was used to assign the corresponding haplogroups. For genetic diversity and comparative analyses, the Arlequin software was used. Results: The distribution of mtDNA haplogroups among T1D individuals from the Southeast was as follows: 33.81% Native American, 36.69% African, 26.26% European, and 3.24% Asian. The most frequent haplogroup in the study population was the Native American haplogroup A (34 patients, 12.23%), followed by the African haplogroup L1 (33 patients, 11.51%). The most frequent European haplogroup observed was H (15 patients, 5.4%). Genetic differentiation data calculated by Fst indicated that, although T1D and control individuals have low differentiation between them, only the comparison between T1D individuals and those from Espírito Santo was statistically significant after Bonferroni correction (p < 0.001) Conclusion: Our findings are consistent with existing data on Brazilian matrilineal ancestry and the influence of the colonial period on its formation. Further studies involving diabetic populations from other Brazilian states are necessary to determine whether this pattern observed in the general population is also replicated among individuals with diabetes.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, RIO DE JANEIRO, RJ, Brasil\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic, multifactorial autoimmune disease with a significant genetic predisposition, caused by the destruction of pancreatic beta cells, resulting in insulin deficiency for timelife. In an effort to better understand the genetic basis of the disease in an admixed population, mitochondrial DNA (mtDNA) analysis allows for the characterization of the population’s matrilineal ancestry. Given the limited data on mitochondrial inheritance in the Brazilian population-particularly the lack of genetic data from individuals in certain regions of the country-this study is warranted. Objective: The present study aims to analyze the mtDNA of individuals with T1D from a highly admixed population in the Southeastern Region of Brazil, comparing them with a healthy control population obtained from online databases in order to expand our understanding of the genetic background of T1D in admixed individuals. Methods: For this purpose, the control region of the mtDNA from 278 unrelated T1D patients from Southeastern Brazil was amplified by PCR using primers L15900 and H639, then purified and sequenced using the Sanger method, following the most recent mtDNA nomenclature guidelines. The sequences were imported into SeqScape software and aligned to the reference sequence. The EMPOP software was used to assign the corresponding haplogroups. For genetic diversity and comparative analyses, the Arlequin software was used. Results: The distribution of mtDNA haplogroups among T1D individuals from the Southeast was as follows: 33.81% Native American, 36.69% African, 26.26% European, and 3.24% Asian. The most frequent haplogroup in the study population was the Native American haplogroup A (34 patients, 12.23%), followed by the African haplogroup L1 (33 patients, 11.51%). The most frequent European haplogroup observed was H (15 patients, 5.4%). Genetic differentiation data calculated by Fst indicated that, although T1D and control individuals have low differentiation between them, only the comparison between T1D individuals and those from Espírito Santo was statistically significant after Bonferroni correction (p < 0.001) Conclusion: Our findings are consistent with existing data on Brazilian matrilineal ancestry and the influence of the colonial period on its formation. Further studies involving diabetic populations from other Brazilian states are necessary to determine whether this pattern observed in the general population is also replicated among individuals with diabetes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—149\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic, multifactorial autoimmune disease with a significant genetic predisposition, caused by the destruction of pancreatic beta cells, resulting in insulin deficiency for timelife. In an effort to better understand the genetic basis of the disease in an admixed population, mitochondrial DNA (mtDNA) analysis allows for the characterization of the population’s matrilineal ancestry. Given the limited data on mitochondrial inheritance in the Brazilian population-particularly the lack of genetic data from individuals in certain regions of the country-this study is warranted. Objective: The present study aims to analyze the mtDNA of individuals with T1D from a highly admixed population in the Southeastern Region of Brazil, comparing them with a healthy control population obtained from online databases in order to expand our understanding of the genetic background of T1D in admixed individuals. Methods: For this purpose, the control region of the mtDNA from 278 unrelated T1D patients from Southeastern Brazil was amplified by PCR using primers L15900 and H639, then purified and sequenced using the Sanger method, following the most recent mtDNA nomenclature guidelines. The sequences were imported into SeqScape software and aligned to the reference sequence. The EMPOP software was used to assign the corresponding haplogroups. For genetic diversity and comparative analyses, the Arlequin software was used. Results: The distribution of mtDNA haplogroups among T1D individuals from the Southeast was as follows: 33.81% Native American, 36.69% African, 26.26% European, and 3.24% Asian. The most frequent haplogroup in the study population was the Native American haplogroup A (34 patients, 12.23%), followed by the African haplogroup L1 (33 patients, 11.51%). The most frequent European haplogroup observed was H (15 patients, 5.4%). Genetic differentiation data calculated by Fst indicated that, although T1D and control individuals have low differentiation between them, only the comparison between T1D individuals and those from Espírito Santo was statistically significant after Bonferroni correction (p < 0.001) Conclusion: Our findings are consistent with existing data on Brazilian matrilineal ancestry and the influence of the colonial period on its formation. Further studies involving diabetic populations from other Brazilian states are necessary to determine whether this pattern observed in the general population is also replicated among individuals with diabetes.\n\n\n### PO – 150 Overlap of Type 1 Diabetes Mellitus and MODY 2 (GCK): Report of a Rare Hybrid Phenotype\nCase Presentation: A 40-year-old man had lifelong mild, stable hyperglycemia without treatment until age 27, when he developed polyuria, polydipsia, weight loss, and worsening glycemia, leading to basal-bolus insulin initiation without ketoacidosis. In 2024, an 8-year-old nephew was diagnosed with diabetes, prompting family genetic testing that revealed a heterozygous pathogenic GCK variant (NM_000162.5:c.208G>A; p.Glu70Lys), confirming MODY 2. The mutation was also found in two daughters, his sister and his father, all with mild fasting hyperglycemia and no insulin requirement. Given that insulin use is atypical in MODY 2, the proband underwent reassessment, showing markedly low fasting C-peptide (0.08 and 0.05 ng/mL), strongly positive anti-GAD (67 IU/mL), and negative IA-2A, ZnT8A, and ICA antibodies. A prior insulin withdrawal attempt caused insulinopenic symptoms, requiring reinstatement of insulin. Despite adherence, HbA1c remained 8.5%. These findings indicated overlap of genetically confirmed MODY 2 and autoimmune type 1 diabetes (T1D), explaining absolute insulin dependence. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: The coexistence of MODY and T1D is rare, with only three cases reported: one MODY 2, one MODY 3, and one “triple diabetes” (T1D + type 2+ MODY 3). MODY 2 usually causes stable mild fasting hyperglycemia, minimal postprandial excursions, negligible microvascular risk, negative pancreatic autoantibodies, preserved insulin secretion, and little need for treatment—likely this patient’s profile until late twenties. Abrupt symptomatic worsening and full insulin dependence were atypical for MODY 2, suggesting additional pathology. Later reevaluation confirmed autoimmune β-cell destruction. Given the strong antibody positivity and insulinopenia, false positives were unlikely. Although guidelines often exclude MODY if autoantibodies are present, the two diagnoses are not mutually exclusive. Data suggest T1D occurs in up to 4% of MODY carriers, while MODY is found in <1% of T1D cases. This case illustrates the need to recheck autoimmunity in confirmed MODY patients with unexpected deterioration, poor control despite adequate therapy, or rising insulin needs. In such scenarios, management should follow T1D protocols, with lifelong insulin, while considering the genetic background. Final Comments: A confirmed MODY 2 diagnosis does not preclude later autoimmune β-cell destruction. Although rare, worsening control, higher insulin needs, or sudden symptoms warrant prompt reassessment for autoimmunity.\n\n\n### De Brito GD1; Vianna AZ2; Surek JMS2; Vianna AGD1; Pinto MS1\nCase Presentation: A 40-year-old man had lifelong mild, stable hyperglycemia without treatment until age 27, when he developed polyuria, polydipsia, weight loss, and worsening glycemia, leading to basal-bolus insulin initiation without ketoacidosis. In 2024, an 8-year-old nephew was diagnosed with diabetes, prompting family genetic testing that revealed a heterozygous pathogenic GCK variant (NM_000162.5:c.208G>A; p.Glu70Lys), confirming MODY 2. The mutation was also found in two daughters, his sister and his father, all with mild fasting hyperglycemia and no insulin requirement. Given that insulin use is atypical in MODY 2, the proband underwent reassessment, showing markedly low fasting C-peptide (0.08 and 0.05 ng/mL), strongly positive anti-GAD (67 IU/mL), and negative IA-2A, ZnT8A, and ICA antibodies. A prior insulin withdrawal attempt caused insulinopenic symptoms, requiring reinstatement of insulin. Despite adherence, HbA1c remained 8.5%. These findings indicated overlap of genetically confirmed MODY 2 and autoimmune type 1 diabetes (T1D), explaining absolute insulin dependence. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: The coexistence of MODY and T1D is rare, with only three cases reported: one MODY 2, one MODY 3, and one “triple diabetes” (T1D + type 2+ MODY 3). MODY 2 usually causes stable mild fasting hyperglycemia, minimal postprandial excursions, negligible microvascular risk, negative pancreatic autoantibodies, preserved insulin secretion, and little need for treatment—likely this patient’s profile until late twenties. Abrupt symptomatic worsening and full insulin dependence were atypical for MODY 2, suggesting additional pathology. Later reevaluation confirmed autoimmune β-cell destruction. Given the strong antibody positivity and insulinopenia, false positives were unlikely. Although guidelines often exclude MODY if autoantibodies are present, the two diagnoses are not mutually exclusive. Data suggest T1D occurs in up to 4% of MODY carriers, while MODY is found in <1% of T1D cases. This case illustrates the need to recheck autoimmunity in confirmed MODY patients with unexpected deterioration, poor control despite adequate therapy, or rising insulin needs. In such scenarios, management should follow T1D protocols, with lifelong insulin, while considering the genetic background. Final Comments: A confirmed MODY 2 diagnosis does not preclude later autoimmune β-cell destruction. Although rare, worsening control, higher insulin needs, or sudden symptoms warrant prompt reassessment for autoimmunity.\n\n\n### (1) Centro de Diabetes Curitiba, Curitiba, PR, Brasil; (2) Pontifícia Universidade Católica do Paraná, Curitiba, PR, Brasil\nCase Presentation: A 40-year-old man had lifelong mild, stable hyperglycemia without treatment until age 27, when he developed polyuria, polydipsia, weight loss, and worsening glycemia, leading to basal-bolus insulin initiation without ketoacidosis. In 2024, an 8-year-old nephew was diagnosed with diabetes, prompting family genetic testing that revealed a heterozygous pathogenic GCK variant (NM_000162.5:c.208G>A; p.Glu70Lys), confirming MODY 2. The mutation was also found in two daughters, his sister and his father, all with mild fasting hyperglycemia and no insulin requirement. Given that insulin use is atypical in MODY 2, the proband underwent reassessment, showing markedly low fasting C-peptide (0.08 and 0.05 ng/mL), strongly positive anti-GAD (67 IU/mL), and negative IA-2A, ZnT8A, and ICA antibodies. A prior insulin withdrawal attempt caused insulinopenic symptoms, requiring reinstatement of insulin. Despite adherence, HbA1c remained 8.5%. These findings indicated overlap of genetically confirmed MODY 2 and autoimmune type 1 diabetes (T1D), explaining absolute insulin dependence. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: The coexistence of MODY and T1D is rare, with only three cases reported: one MODY 2, one MODY 3, and one “triple diabetes” (T1D + type 2+ MODY 3). MODY 2 usually causes stable mild fasting hyperglycemia, minimal postprandial excursions, negligible microvascular risk, negative pancreatic autoantibodies, preserved insulin secretion, and little need for treatment—likely this patient’s profile until late twenties. Abrupt symptomatic worsening and full insulin dependence were atypical for MODY 2, suggesting additional pathology. Later reevaluation confirmed autoimmune β-cell destruction. Given the strong antibody positivity and insulinopenia, false positives were unlikely. Although guidelines often exclude MODY if autoantibodies are present, the two diagnoses are not mutually exclusive. Data suggest T1D occurs in up to 4% of MODY carriers, while MODY is found in <1% of T1D cases. This case illustrates the need to recheck autoimmunity in confirmed MODY patients with unexpected deterioration, poor control despite adequate therapy, or rising insulin needs. In such scenarios, management should follow T1D protocols, with lifelong insulin, while considering the genetic background. Final Comments: A confirmed MODY 2 diagnosis does not preclude later autoimmune β-cell destruction. Although rare, worsening control, higher insulin needs, or sudden symptoms warrant prompt reassessment for autoimmunity.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—150\nCase Presentation: A 40-year-old man had lifelong mild, stable hyperglycemia without treatment until age 27, when he developed polyuria, polydipsia, weight loss, and worsening glycemia, leading to basal-bolus insulin initiation without ketoacidosis. In 2024, an 8-year-old nephew was diagnosed with diabetes, prompting family genetic testing that revealed a heterozygous pathogenic GCK variant (NM_000162.5:c.208G>A; p.Glu70Lys), confirming MODY 2. The mutation was also found in two daughters, his sister and his father, all with mild fasting hyperglycemia and no insulin requirement. Given that insulin use is atypical in MODY 2, the proband underwent reassessment, showing markedly low fasting C-peptide (0.08 and 0.05 ng/mL), strongly positive anti-GAD (67 IU/mL), and negative IA-2A, ZnT8A, and ICA antibodies. A prior insulin withdrawal attempt caused insulinopenic symptoms, requiring reinstatement of insulin. Despite adherence, HbA1c remained 8.5%. These findings indicated overlap of genetically confirmed MODY 2 and autoimmune type 1 diabetes (T1D), explaining absolute insulin dependence. The patients gave their explicit written consent to publish their information in an open access journal. Discussion: The coexistence of MODY and T1D is rare, with only three cases reported: one MODY 2, one MODY 3, and one “triple diabetes” (T1D + type 2+ MODY 3). MODY 2 usually causes stable mild fasting hyperglycemia, minimal postprandial excursions, negligible microvascular risk, negative pancreatic autoantibodies, preserved insulin secretion, and little need for treatment—likely this patient’s profile until late twenties. Abrupt symptomatic worsening and full insulin dependence were atypical for MODY 2, suggesting additional pathology. Later reevaluation confirmed autoimmune β-cell destruction. Given the strong antibody positivity and insulinopenia, false positives were unlikely. Although guidelines often exclude MODY if autoantibodies are present, the two diagnoses are not mutually exclusive. Data suggest T1D occurs in up to 4% of MODY carriers, while MODY is found in <1% of T1D cases. This case illustrates the need to recheck autoimmunity in confirmed MODY patients with unexpected deterioration, poor control despite adequate therapy, or rising insulin needs. In such scenarios, management should follow T1D protocols, with lifelong insulin, while considering the genetic background. Final Comments: A confirmed MODY 2 diagnosis does not preclude later autoimmune β-cell destruction. Although rare, worsening control, higher insulin needs, or sudden symptoms warrant prompt reassessment for autoimmunity.\n\n\n### PO—151 Pre-clinical Type 1 Diabetes: Analysis of a Brazilian Cohort\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease characterized by progressive β-cell destruction. The presence of ≥2 diabetes-related autoantibodies indicates that the disease process has begun in the pre-clinical stage. Identifying pre-clinical T1D is essential to prevent diabetic ketoacidosis (DKA) at onset and to offer disease-modifying therapies. However, the optimal strategy for identifying such individuals in Brazil remains uncertain. To address this gap, the Brazilian Diabetes Society (SBD) launched an online registry for pre-clinical T1D. Objective: To evaluate whether an online registry created by SBD could effectively identify individuals with pre-clinical T1D. Methods: An online platform was launched on the SBD website in March 2024 to register individuals with positive diabetes-related autoantibodies and no clinical T1D, identified through private initiatives or research studies. Participation was voluntary, and clinical/epidemiological data were collected. Data entered up to June 25, 2025, were analyzed. Results: Of 971 responses, 324 reported no hyperglycemia meeting diabetes diagnostic criteria, and 93 reported positive autoantibodies. Only 50 provided contact information. After invitations for consent and data updates, 23 agreed. During a remote interview, a diagnosis of clinical T1D was identified in 8 cases and 3 did not update their information, leaving 12 for analysis. All received private healthcare; 7 self-identified as White, 2 as Non-White; 6 resided in the Southeast, 1 each in the Center-West, Northeast, and North regions. Three had ≥2 autoantibodies (all GADA; 2 IA-2; 2 anti-insulin; 3 anti–zinc transporter 8). Five had a family history of T1D, and 3 had other autoimmune diseases. None developed clinical T1D during follow-up; all reported >2.5 h/week of physical activity. Vitamin D supplementation was prescribed in 5 cases; semaglutide, sitagliptin, and metformin use were each reported in one case. Conclusion: A national online registry can identify a few individuals with pre-clinical T1D, but its efficiency is limited. In this platform, many registrants already had clinical disease or incomplete data. Nationwide screening is needed to enable adequate early detection, prevent DKA, and build robust registries for research and timely intervention in autoimmune diabetes in Brazil.\n\n\n### Montalvão BS1; Costa AH1; de Sena MCR1; Alves STF2; Franco DR3; Trevisan T4; Bulcão C5; Fenner N6; Fulgêncio P6; Schreiner L7; Gabbay M8; Sharf M9; Caliari E3; Mello K10; Santana W11; Dantas JR1; Dib SA3; Zajdenverg L1; Araújo L12; Vianna AGD9; Rodacki M1\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease characterized by progressive β-cell destruction. The presence of ≥2 diabetes-related autoantibodies indicates that the disease process has begun in the pre-clinical stage. Identifying pre-clinical T1D is essential to prevent diabetic ketoacidosis (DKA) at onset and to offer disease-modifying therapies. However, the optimal strategy for identifying such individuals in Brazil remains uncertain. To address this gap, the Brazilian Diabetes Society (SBD) launched an online registry for pre-clinical T1D. Objective: To evaluate whether an online registry created by SBD could effectively identify individuals with pre-clinical T1D. Methods: An online platform was launched on the SBD website in March 2024 to register individuals with positive diabetes-related autoantibodies and no clinical T1D, identified through private initiatives or research studies. Participation was voluntary, and clinical/epidemiological data were collected. Data entered up to June 25, 2025, were analyzed. Results: Of 971 responses, 324 reported no hyperglycemia meeting diabetes diagnostic criteria, and 93 reported positive autoantibodies. Only 50 provided contact information. After invitations for consent and data updates, 23 agreed. During a remote interview, a diagnosis of clinical T1D was identified in 8 cases and 3 did not update their information, leaving 12 for analysis. All received private healthcare; 7 self-identified as White, 2 as Non-White; 6 resided in the Southeast, 1 each in the Center-West, Northeast, and North regions. Three had ≥2 autoantibodies (all GADA; 2 IA-2; 2 anti-insulin; 3 anti–zinc transporter 8). Five had a family history of T1D, and 3 had other autoimmune diseases. None developed clinical T1D during follow-up; all reported >2.5 h/week of physical activity. Vitamin D supplementation was prescribed in 5 cases; semaglutide, sitagliptin, and metformin use were each reported in one case. Conclusion: A national online registry can identify a few individuals with pre-clinical T1D, but its efficiency is limited. In this platform, many registrants already had clinical disease or incomplete data. Nationwide screening is needed to enable adequate early detection, prevent DKA, and build robust registries for research and timely intervention in autoimmune diabetes in Brazil.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Sociedade Brasileira de Diabetes, Rio de Janeiro, RJ, Brasil; (3) Sociedade Brasileira de Diabetes, São Paulo, SP, Brasil; (4) Sociedade Brasileira de Diabetes, Santa Catarina, SC, Brasil; (5) Sociedade Brasileira de Diabetes, Salvador, BA, Brasil; (6) Sociedade Brasileira de Diabetes, Belo Horizonte, MG, Brasil; (7) Sociedade Brasileira de Diabetes, Porto Alegre, RS, Brasil; (8) Sociedade Brasileira de Diabetes, São Paulo, SP, Brasil; (9) Sociedade Brasileira de Diabetes, Curitiba, PR, Brasil; (10) Sociedade Brasileira de Diabetes, João Pessoa, PB, Brasil; (11) Sociedade Brasileira de Diabetes, São Luís, MA, Brasil; (12) Sociedade Brasileira de Diabetes, Minas Gerais, MG, Brasil\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease characterized by progressive β-cell destruction. The presence of ≥2 diabetes-related autoantibodies indicates that the disease process has begun in the pre-clinical stage. Identifying pre-clinical T1D is essential to prevent diabetic ketoacidosis (DKA) at onset and to offer disease-modifying therapies. However, the optimal strategy for identifying such individuals in Brazil remains uncertain. To address this gap, the Brazilian Diabetes Society (SBD) launched an online registry for pre-clinical T1D. Objective: To evaluate whether an online registry created by SBD could effectively identify individuals with pre-clinical T1D. Methods: An online platform was launched on the SBD website in March 2024 to register individuals with positive diabetes-related autoantibodies and no clinical T1D, identified through private initiatives or research studies. Participation was voluntary, and clinical/epidemiological data were collected. Data entered up to June 25, 2025, were analyzed. Results: Of 971 responses, 324 reported no hyperglycemia meeting diabetes diagnostic criteria, and 93 reported positive autoantibodies. Only 50 provided contact information. After invitations for consent and data updates, 23 agreed. During a remote interview, a diagnosis of clinical T1D was identified in 8 cases and 3 did not update their information, leaving 12 for analysis. All received private healthcare; 7 self-identified as White, 2 as Non-White; 6 resided in the Southeast, 1 each in the Center-West, Northeast, and North regions. Three had ≥2 autoantibodies (all GADA; 2 IA-2; 2 anti-insulin; 3 anti–zinc transporter 8). Five had a family history of T1D, and 3 had other autoimmune diseases. None developed clinical T1D during follow-up; all reported >2.5 h/week of physical activity. Vitamin D supplementation was prescribed in 5 cases; semaglutide, sitagliptin, and metformin use were each reported in one case. Conclusion: A national online registry can identify a few individuals with pre-clinical T1D, but its efficiency is limited. In this platform, many registrants already had clinical disease or incomplete data. Nationwide screening is needed to enable adequate early detection, prevent DKA, and build robust registries for research and timely intervention in autoimmune diabetes in Brazil.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—151\nIntroduction: Type 1 diabetes (T1D) is an autoimmune disease characterized by progressive β-cell destruction. The presence of ≥2 diabetes-related autoantibodies indicates that the disease process has begun in the pre-clinical stage. Identifying pre-clinical T1D is essential to prevent diabetic ketoacidosis (DKA) at onset and to offer disease-modifying therapies. However, the optimal strategy for identifying such individuals in Brazil remains uncertain. To address this gap, the Brazilian Diabetes Society (SBD) launched an online registry for pre-clinical T1D. Objective: To evaluate whether an online registry created by SBD could effectively identify individuals with pre-clinical T1D. Methods: An online platform was launched on the SBD website in March 2024 to register individuals with positive diabetes-related autoantibodies and no clinical T1D, identified through private initiatives or research studies. Participation was voluntary, and clinical/epidemiological data were collected. Data entered up to June 25, 2025, were analyzed. Results: Of 971 responses, 324 reported no hyperglycemia meeting diabetes diagnostic criteria, and 93 reported positive autoantibodies. Only 50 provided contact information. After invitations for consent and data updates, 23 agreed. During a remote interview, a diagnosis of clinical T1D was identified in 8 cases and 3 did not update their information, leaving 12 for analysis. All received private healthcare; 7 self-identified as White, 2 as Non-White; 6 resided in the Southeast, 1 each in the Center-West, Northeast, and North regions. Three had ≥2 autoantibodies (all GADA; 2 IA-2; 2 anti-insulin; 3 anti–zinc transporter 8). Five had a family history of T1D, and 3 had other autoimmune diseases. None developed clinical T1D during follow-up; all reported >2.5 h/week of physical activity. Vitamin D supplementation was prescribed in 5 cases; semaglutide, sitagliptin, and metformin use were each reported in one case. Conclusion: A national online registry can identify a few individuals with pre-clinical T1D, but its efficiency is limited. In this platform, many registrants already had clinical disease or incomplete data. Nationwide screening is needed to enable adequate early detection, prevent DKA, and build robust registries for research and timely intervention in autoimmune diabetes in Brazil.\n\n\n### PO—154 Reduction in Hospitalizations and Mortality Due to Diabetes Mellitus in Brazil: Impact of Primary Health Care Expansion and Access to Medication Policies (1998–2019)\nIntroduction: Diabetes mellitus is a chronic condition that, when improperly diagnosed or treated, can lead to serious cardiovascular, renal, and neurological complications, thereby increasing hospital admission and mortality rates. Therefore, prevention, screening, and treatment strategies are essential public health priorities. In the evolution of Brazil’s healthcare system, the period between 2004 and 2006 saw a significant expansion of Family Health Strategy (FHS) coverage, along with improved measures for diagnosis and disease screening. Additionally, the \"Farmácia Popular\" program was launched, providing antidiabetic medications free of charge starting in 2011. Objective: To assess the trends in hospitalizations and mortality due to diabetes mellitus in Brazil across two distinct periods: from 1998 to 2006 (PRE – pre-expansion of public health) and from 2007 to 2019 (POST – post-expansion of public health in Brazil). Methods: Data on the number of individuals diagnosed with diabetes mellitus, as well as diabetes-related hospital admissions and mortality in Brazil, were obtained from the Health Information System of the Unified Health System (SUS). Population estimates for the years 1998 to 2019 were provided by the Brazilian Institute of Geography and Statistics (IBGE). Data were tabulated and statistically analyzed using Student’s t-test, with a significance level of 5%. Results: A significant increase in the mean prevalence of diagnosed diabetes mellitus was observed when comparing the two periods: 3.68% ± 0.74% (PRE) versus 7.22% ± 1.01% (POST), reflecting a 96% relative increase (p < 0.05). In contrast, diabetes-related hospitalization rates decreased by 49.25% (PRE: 1.92% ± 0.35%; POST: 0.97% ± 0.18%; p < 0.05), while mortality rates declined by 56.85% (PRE: 0.10% ± 0.02%; POST: 0.04% ± 0.00%; p < 0.05). Conclusion: Between the two periods analyzed, the number of individuals diagnosed with diabetes mellitus increased by 96%, while hospitalizations and mortality due to the disease fell by nearly 50%, following the expansion of the Family Health Strategy and improved access to essential medications. These findings underscore the importance of a public health model focused on continuous surveillance and territorially based care.\n\n\n### Rodrigues JP1; Zago PW1\nIntroduction: Diabetes mellitus is a chronic condition that, when improperly diagnosed or treated, can lead to serious cardiovascular, renal, and neurological complications, thereby increasing hospital admission and mortality rates. Therefore, prevention, screening, and treatment strategies are essential public health priorities. In the evolution of Brazil’s healthcare system, the period between 2004 and 2006 saw a significant expansion of Family Health Strategy (FHS) coverage, along with improved measures for diagnosis and disease screening. Additionally, the \"Farmácia Popular\" program was launched, providing antidiabetic medications free of charge starting in 2011. Objective: To assess the trends in hospitalizations and mortality due to diabetes mellitus in Brazil across two distinct periods: from 1998 to 2006 (PRE – pre-expansion of public health) and from 2007 to 2019 (POST – post-expansion of public health in Brazil). Methods: Data on the number of individuals diagnosed with diabetes mellitus, as well as diabetes-related hospital admissions and mortality in Brazil, were obtained from the Health Information System of the Unified Health System (SUS). Population estimates for the years 1998 to 2019 were provided by the Brazilian Institute of Geography and Statistics (IBGE). Data were tabulated and statistically analyzed using Student’s t-test, with a significance level of 5%. Results: A significant increase in the mean prevalence of diagnosed diabetes mellitus was observed when comparing the two periods: 3.68% ± 0.74% (PRE) versus 7.22% ± 1.01% (POST), reflecting a 96% relative increase (p < 0.05). In contrast, diabetes-related hospitalization rates decreased by 49.25% (PRE: 1.92% ± 0.35%; POST: 0.97% ± 0.18%; p < 0.05), while mortality rates declined by 56.85% (PRE: 0.10% ± 0.02%; POST: 0.04% ± 0.00%; p < 0.05). Conclusion: Between the two periods analyzed, the number of individuals diagnosed with diabetes mellitus increased by 96%, while hospitalizations and mortality due to the disease fell by nearly 50%, following the expansion of the Family Health Strategy and improved access to essential medications. These findings underscore the importance of a public health model focused on continuous surveillance and territorially based care.\n\n\n### (1) São Leopoldo Mandic, Araras, SP, Brasil\nIntroduction: Diabetes mellitus is a chronic condition that, when improperly diagnosed or treated, can lead to serious cardiovascular, renal, and neurological complications, thereby increasing hospital admission and mortality rates. Therefore, prevention, screening, and treatment strategies are essential public health priorities. In the evolution of Brazil’s healthcare system, the period between 2004 and 2006 saw a significant expansion of Family Health Strategy (FHS) coverage, along with improved measures for diagnosis and disease screening. Additionally, the \"Farmácia Popular\" program was launched, providing antidiabetic medications free of charge starting in 2011. Objective: To assess the trends in hospitalizations and mortality due to diabetes mellitus in Brazil across two distinct periods: from 1998 to 2006 (PRE – pre-expansion of public health) and from 2007 to 2019 (POST – post-expansion of public health in Brazil). Methods: Data on the number of individuals diagnosed with diabetes mellitus, as well as diabetes-related hospital admissions and mortality in Brazil, were obtained from the Health Information System of the Unified Health System (SUS). Population estimates for the years 1998 to 2019 were provided by the Brazilian Institute of Geography and Statistics (IBGE). Data were tabulated and statistically analyzed using Student’s t-test, with a significance level of 5%. Results: A significant increase in the mean prevalence of diagnosed diabetes mellitus was observed when comparing the two periods: 3.68% ± 0.74% (PRE) versus 7.22% ± 1.01% (POST), reflecting a 96% relative increase (p < 0.05). In contrast, diabetes-related hospitalization rates decreased by 49.25% (PRE: 1.92% ± 0.35%; POST: 0.97% ± 0.18%; p < 0.05), while mortality rates declined by 56.85% (PRE: 0.10% ± 0.02%; POST: 0.04% ± 0.00%; p < 0.05). Conclusion: Between the two periods analyzed, the number of individuals diagnosed with diabetes mellitus increased by 96%, while hospitalizations and mortality due to the disease fell by nearly 50%, following the expansion of the Family Health Strategy and improved access to essential medications. These findings underscore the importance of a public health model focused on continuous surveillance and territorially based care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—154\nIntroduction: Diabetes mellitus is a chronic condition that, when improperly diagnosed or treated, can lead to serious cardiovascular, renal, and neurological complications, thereby increasing hospital admission and mortality rates. Therefore, prevention, screening, and treatment strategies are essential public health priorities. In the evolution of Brazil’s healthcare system, the period between 2004 and 2006 saw a significant expansion of Family Health Strategy (FHS) coverage, along with improved measures for diagnosis and disease screening. Additionally, the \"Farmácia Popular\" program was launched, providing antidiabetic medications free of charge starting in 2011. Objective: To assess the trends in hospitalizations and mortality due to diabetes mellitus in Brazil across two distinct periods: from 1998 to 2006 (PRE – pre-expansion of public health) and from 2007 to 2019 (POST – post-expansion of public health in Brazil). Methods: Data on the number of individuals diagnosed with diabetes mellitus, as well as diabetes-related hospital admissions and mortality in Brazil, were obtained from the Health Information System of the Unified Health System (SUS). Population estimates for the years 1998 to 2019 were provided by the Brazilian Institute of Geography and Statistics (IBGE). Data were tabulated and statistically analyzed using Student’s t-test, with a significance level of 5%. Results: A significant increase in the mean prevalence of diagnosed diabetes mellitus was observed when comparing the two periods: 3.68% ± 0.74% (PRE) versus 7.22% ± 1.01% (POST), reflecting a 96% relative increase (p < 0.05). In contrast, diabetes-related hospitalization rates decreased by 49.25% (PRE: 1.92% ± 0.35%; POST: 0.97% ± 0.18%; p < 0.05), while mortality rates declined by 56.85% (PRE: 0.10% ± 0.02%; POST: 0.04% ± 0.00%; p < 0.05). Conclusion: Between the two periods analyzed, the number of individuals diagnosed with diabetes mellitus increased by 96%, while hospitalizations and mortality due to the disease fell by nearly 50%, following the expansion of the Family Health Strategy and improved access to essential medications. These findings underscore the importance of a public health model focused on continuous surveillance and territorially based care.\n\n\n### PO—155 Residual C-Peptide Secretion in Individuals with Type 1 Diabetes: Associated Clinical and Immunological Factors\nIntroduction: Type 1 diabetes mellitus (T1D) is an autoimmune disease characterized by pancreatic β-cell destruction, leading to absolute insulin deficiency. Clinically relevant residual insulin production, assessed through C-peptide (CP) measurement, may persist for years after diagnosis. Identifying factors associated with residual C-peptide (RCP) preservation could have important prognostic and therapeutic implications. Objective: To evaluate RCP secretion in individuals with T1D of varying disease durations and to identify factors associated with RCP persistence in those with disease duration ≥5 years. Methods: This cross-sectional study was conducted at an outpatient clinic of a tertiary referral center. RCP was defined as random CP ≥ 0.6 ng/mL. The analyzed variables included age at diagnosis, disease duration, anti-glutamic acid decarboxylase antibodies (GADA) positivity and titers, as well as other autoimmune diseases. Categorical and continuous variables were compared with Chi-square and Mann-Whitney tests, respectively, with significance set at p<0.05. Results: A total of 286 individuals (148 females, 138 males) were included, with mean age 35.3 ± 15.9 years and mean disease duration 19.9 ± 12.4 years. Overall, 13.3% (n=38) had CP ≥ 0.6 ng/mL. In those with T1D duration ≥5 years (n=242), individuals with RCP had an older age at onset (23.3 ± 13 vs 14.9 ± 10 years; p=0.01), lower GADA positivity (15.8% vs 44.3%; p=0.014), and lower GADA titers (19 ± 7.6 vs 354 ± 609 U/mL; p=0.029) than others. Disease duration (22.4 ± 10.6 vs 25.3 ± 10.4 years; p=0.33) and frequency of other autoimmune diseases (25% vs 19.9%; p=0.56) did not differ between groups Conclusion: A notable proportion of individuals with T1D maintain RCP secretion even after many years of disease. Among those with ≥5 years of T1D, preserved β-cell function was associated with older age at onset, lower frequency of GADA positivity, and lower GADA titers, despite similar disease duration and comparable rates of extra-pancreatic autoimmune diseases. These findings suggest that the magnitude and persistence of beta-cell-specific autoimmune activity may influence the extent of β-cell destruction, even in individuals with long-standing T1D.\n\n\n### Veiga APM1; Guimarães RS1; Caneca KO1; Silva JMS1; Dantas JR1; Zajdenverg L1; Rodacki M1\nIntroduction: Type 1 diabetes mellitus (T1D) is an autoimmune disease characterized by pancreatic β-cell destruction, leading to absolute insulin deficiency. Clinically relevant residual insulin production, assessed through C-peptide (CP) measurement, may persist for years after diagnosis. Identifying factors associated with residual C-peptide (RCP) preservation could have important prognostic and therapeutic implications. Objective: To evaluate RCP secretion in individuals with T1D of varying disease durations and to identify factors associated with RCP persistence in those with disease duration ≥5 years. Methods: This cross-sectional study was conducted at an outpatient clinic of a tertiary referral center. RCP was defined as random CP ≥ 0.6 ng/mL. The analyzed variables included age at diagnosis, disease duration, anti-glutamic acid decarboxylase antibodies (GADA) positivity and titers, as well as other autoimmune diseases. Categorical and continuous variables were compared with Chi-square and Mann-Whitney tests, respectively, with significance set at p<0.05. Results: A total of 286 individuals (148 females, 138 males) were included, with mean age 35.3 ± 15.9 years and mean disease duration 19.9 ± 12.4 years. Overall, 13.3% (n=38) had CP ≥ 0.6 ng/mL. In those with T1D duration ≥5 years (n=242), individuals with RCP had an older age at onset (23.3 ± 13 vs 14.9 ± 10 years; p=0.01), lower GADA positivity (15.8% vs 44.3%; p=0.014), and lower GADA titers (19 ± 7.6 vs 354 ± 609 U/mL; p=0.029) than others. Disease duration (22.4 ± 10.6 vs 25.3 ± 10.4 years; p=0.33) and frequency of other autoimmune diseases (25% vs 19.9%; p=0.56) did not differ between groups Conclusion: A notable proportion of individuals with T1D maintain RCP secretion even after many years of disease. Among those with ≥5 years of T1D, preserved β-cell function was associated with older age at onset, lower frequency of GADA positivity, and lower GADA titers, despite similar disease duration and comparable rates of extra-pancreatic autoimmune diseases. These findings suggest that the magnitude and persistence of beta-cell-specific autoimmune activity may influence the extent of β-cell destruction, even in individuals with long-standing T1D.\n\n\n### (1) Hospital Universitário Clementino Fraga Filho- Faculdade de Medicina da Universidade Federal do Rio de Janeiro, RJ, Brasil\nIntroduction: Type 1 diabetes mellitus (T1D) is an autoimmune disease characterized by pancreatic β-cell destruction, leading to absolute insulin deficiency. Clinically relevant residual insulin production, assessed through C-peptide (CP) measurement, may persist for years after diagnosis. Identifying factors associated with residual C-peptide (RCP) preservation could have important prognostic and therapeutic implications. Objective: To evaluate RCP secretion in individuals with T1D of varying disease durations and to identify factors associated with RCP persistence in those with disease duration ≥5 years. Methods: This cross-sectional study was conducted at an outpatient clinic of a tertiary referral center. RCP was defined as random CP ≥ 0.6 ng/mL. The analyzed variables included age at diagnosis, disease duration, anti-glutamic acid decarboxylase antibodies (GADA) positivity and titers, as well as other autoimmune diseases. Categorical and continuous variables were compared with Chi-square and Mann-Whitney tests, respectively, with significance set at p<0.05. Results: A total of 286 individuals (148 females, 138 males) were included, with mean age 35.3 ± 15.9 years and mean disease duration 19.9 ± 12.4 years. Overall, 13.3% (n=38) had CP ≥ 0.6 ng/mL. In those with T1D duration ≥5 years (n=242), individuals with RCP had an older age at onset (23.3 ± 13 vs 14.9 ± 10 years; p=0.01), lower GADA positivity (15.8% vs 44.3%; p=0.014), and lower GADA titers (19 ± 7.6 vs 354 ± 609 U/mL; p=0.029) than others. Disease duration (22.4 ± 10.6 vs 25.3 ± 10.4 years; p=0.33) and frequency of other autoimmune diseases (25% vs 19.9%; p=0.56) did not differ between groups Conclusion: A notable proportion of individuals with T1D maintain RCP secretion even after many years of disease. Among those with ≥5 years of T1D, preserved β-cell function was associated with older age at onset, lower frequency of GADA positivity, and lower GADA titers, despite similar disease duration and comparable rates of extra-pancreatic autoimmune diseases. These findings suggest that the magnitude and persistence of beta-cell-specific autoimmune activity may influence the extent of β-cell destruction, even in individuals with long-standing T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—155\nIntroduction: Type 1 diabetes mellitus (T1D) is an autoimmune disease characterized by pancreatic β-cell destruction, leading to absolute insulin deficiency. Clinically relevant residual insulin production, assessed through C-peptide (CP) measurement, may persist for years after diagnosis. Identifying factors associated with residual C-peptide (RCP) preservation could have important prognostic and therapeutic implications. Objective: To evaluate RCP secretion in individuals with T1D of varying disease durations and to identify factors associated with RCP persistence in those with disease duration ≥5 years. Methods: This cross-sectional study was conducted at an outpatient clinic of a tertiary referral center. RCP was defined as random CP ≥ 0.6 ng/mL. The analyzed variables included age at diagnosis, disease duration, anti-glutamic acid decarboxylase antibodies (GADA) positivity and titers, as well as other autoimmune diseases. Categorical and continuous variables were compared with Chi-square and Mann-Whitney tests, respectively, with significance set at p<0.05. Results: A total of 286 individuals (148 females, 138 males) were included, with mean age 35.3 ± 15.9 years and mean disease duration 19.9 ± 12.4 years. Overall, 13.3% (n=38) had CP ≥ 0.6 ng/mL. In those with T1D duration ≥5 years (n=242), individuals with RCP had an older age at onset (23.3 ± 13 vs 14.9 ± 10 years; p=0.01), lower GADA positivity (15.8% vs 44.3%; p=0.014), and lower GADA titers (19 ± 7.6 vs 354 ± 609 U/mL; p=0.029) than others. Disease duration (22.4 ± 10.6 vs 25.3 ± 10.4 years; p=0.33) and frequency of other autoimmune diseases (25% vs 19.9%; p=0.56) did not differ between groups Conclusion: A notable proportion of individuals with T1D maintain RCP secretion even after many years of disease. Among those with ≥5 years of T1D, preserved β-cell function was associated with older age at onset, lower frequency of GADA positivity, and lower GADA titers, despite similar disease duration and comparable rates of extra-pancreatic autoimmune diseases. These findings suggest that the magnitude and persistence of beta-cell-specific autoimmune activity may influence the extent of β-cell destruction, even in individuals with long-standing T1D.\n\n\n### PO—156 Risk Stratification for Diabetes Mellitus using The Finnish Diabetes Risk Score (Findrisc) in Primary Health Care: a Population-Based Study in Santa Catarina, Brazil\nIntroduction: Type 2 diabetes poses a growing challenge to public health, especially in populations with a high prevalence of modifiable risk factors. Screening tools such as the Finnish Diabetes Risk Score (FINDRISC) have demonstrated utility in the early identification of individuals at risk. Objective: To stratify the risk of developing type 2 diabetes among adults in the municipality of Balneário Arroio do Silva (Santa Catarina, Brazil) using the FINDRISC score, and to assess its association with clinical and behavioral indicators. Methods: This was a cross-sectional, analytical, and descriptive study conducted between June 2024 and May 2025. The FINDRISC questionnaire was applied along with anthropometric measurements and capillary blood glucose testing. Individuals aged ≥18 years without a previous diagnosis of diabetes were included. Statistical analyses included ANOVA, Games-Howell post hoc test, independent t-test, and Spearman’s correlation, with a 5% significance level. Results: A total of 382 individuals were included in the screening. Only 16.5% were classified as low risk for diabetes, while the remaining participants fell into slightly elevated (27.2%), moderate (23.6%), high (25.7%), and very high (7.1%) risk categories. Women had significantly higher mean FINDRISC scores (p<0.05), although there were no significant differences in Body Mass Index (BMI) and blood glucose levels between sexes. As shown in Table 1, a positive correlation was observed between BMI and blood glucose (ρ = 0.152; p=0.003). This indicates that individuals with higher BMI tend to have higher glucose levels, although the correlation is weak. The result was statistically significant, suggesting a true association in the population. Table 1 – Spearman Correlation Test for BMI and Blood Glucose Metric BMI and Blood Glucose Spearman’s correlation (ρ) 0,152 (weak positive correlation) Significance (p-value 0,003) Conclusion: The study population presented a high prevalence (32.8%) of individuals at high and very high risk for type 2 diabetes, particularly associated with female sex, excess weight, central obesity, and unhealthy lifestyle habits. FINDRISC proved to be an effective screening tool in community settings, supporting its use as a preventive strategy in primary health care.Table 1 (abstract PO-156)Spearman correlation test for BMI and blood glucose\nSpearman correlation test for BMI and blood glucose\n\n\n### Costa FV1; dos Santos BC1; Ceratti F1; Astolfi GG1; Zimmermann MI1; Rodrigues YG1; Resende CP1; dos Santos D1\nIntroduction: Type 2 diabetes poses a growing challenge to public health, especially in populations with a high prevalence of modifiable risk factors. Screening tools such as the Finnish Diabetes Risk Score (FINDRISC) have demonstrated utility in the early identification of individuals at risk. Objective: To stratify the risk of developing type 2 diabetes among adults in the municipality of Balneário Arroio do Silva (Santa Catarina, Brazil) using the FINDRISC score, and to assess its association with clinical and behavioral indicators. Methods: This was a cross-sectional, analytical, and descriptive study conducted between June 2024 and May 2025. The FINDRISC questionnaire was applied along with anthropometric measurements and capillary blood glucose testing. Individuals aged ≥18 years without a previous diagnosis of diabetes were included. Statistical analyses included ANOVA, Games-Howell post hoc test, independent t-test, and Spearman’s correlation, with a 5% significance level. Results: A total of 382 individuals were included in the screening. Only 16.5% were classified as low risk for diabetes, while the remaining participants fell into slightly elevated (27.2%), moderate (23.6%), high (25.7%), and very high (7.1%) risk categories. Women had significantly higher mean FINDRISC scores (p<0.05), although there were no significant differences in Body Mass Index (BMI) and blood glucose levels between sexes. As shown in Table 1, a positive correlation was observed between BMI and blood glucose (ρ = 0.152; p=0.003). This indicates that individuals with higher BMI tend to have higher glucose levels, although the correlation is weak. The result was statistically significant, suggesting a true association in the population. Table 1 – Spearman Correlation Test for BMI and Blood Glucose Metric BMI and Blood Glucose Spearman’s correlation (ρ) 0,152 (weak positive correlation) Significance (p-value 0,003) Conclusion: The study population presented a high prevalence (32.8%) of individuals at high and very high risk for type 2 diabetes, particularly associated with female sex, excess weight, central obesity, and unhealthy lifestyle habits. FINDRISC proved to be an effective screening tool in community settings, supporting its use as a preventive strategy in primary health care.Table 1 (abstract PO-156)Spearman correlation test for BMI and blood glucose\nSpearman correlation test for BMI and blood glucose\n\n\n### (1) Universidade Federal de Santa Catarina, Araranguá, SC, Brasil\nIntroduction: Type 2 diabetes poses a growing challenge to public health, especially in populations with a high prevalence of modifiable risk factors. Screening tools such as the Finnish Diabetes Risk Score (FINDRISC) have demonstrated utility in the early identification of individuals at risk. Objective: To stratify the risk of developing type 2 diabetes among adults in the municipality of Balneário Arroio do Silva (Santa Catarina, Brazil) using the FINDRISC score, and to assess its association with clinical and behavioral indicators. Methods: This was a cross-sectional, analytical, and descriptive study conducted between June 2024 and May 2025. The FINDRISC questionnaire was applied along with anthropometric measurements and capillary blood glucose testing. Individuals aged ≥18 years without a previous diagnosis of diabetes were included. Statistical analyses included ANOVA, Games-Howell post hoc test, independent t-test, and Spearman’s correlation, with a 5% significance level. Results: A total of 382 individuals were included in the screening. Only 16.5% were classified as low risk for diabetes, while the remaining participants fell into slightly elevated (27.2%), moderate (23.6%), high (25.7%), and very high (7.1%) risk categories. Women had significantly higher mean FINDRISC scores (p<0.05), although there were no significant differences in Body Mass Index (BMI) and blood glucose levels between sexes. As shown in Table 1, a positive correlation was observed between BMI and blood glucose (ρ = 0.152; p=0.003). This indicates that individuals with higher BMI tend to have higher glucose levels, although the correlation is weak. The result was statistically significant, suggesting a true association in the population. Table 1 – Spearman Correlation Test for BMI and Blood Glucose Metric BMI and Blood Glucose Spearman’s correlation (ρ) 0,152 (weak positive correlation) Significance (p-value 0,003) Conclusion: The study population presented a high prevalence (32.8%) of individuals at high and very high risk for type 2 diabetes, particularly associated with female sex, excess weight, central obesity, and unhealthy lifestyle habits. FINDRISC proved to be an effective screening tool in community settings, supporting its use as a preventive strategy in primary health care.Table 1 (abstract PO-156)Spearman correlation test for BMI and blood glucose\nSpearman correlation test for BMI and blood glucose\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—156\nIntroduction: Type 2 diabetes poses a growing challenge to public health, especially in populations with a high prevalence of modifiable risk factors. Screening tools such as the Finnish Diabetes Risk Score (FINDRISC) have demonstrated utility in the early identification of individuals at risk. Objective: To stratify the risk of developing type 2 diabetes among adults in the municipality of Balneário Arroio do Silva (Santa Catarina, Brazil) using the FINDRISC score, and to assess its association with clinical and behavioral indicators. Methods: This was a cross-sectional, analytical, and descriptive study conducted between June 2024 and May 2025. The FINDRISC questionnaire was applied along with anthropometric measurements and capillary blood glucose testing. Individuals aged ≥18 years without a previous diagnosis of diabetes were included. Statistical analyses included ANOVA, Games-Howell post hoc test, independent t-test, and Spearman’s correlation, with a 5% significance level. Results: A total of 382 individuals were included in the screening. Only 16.5% were classified as low risk for diabetes, while the remaining participants fell into slightly elevated (27.2%), moderate (23.6%), high (25.7%), and very high (7.1%) risk categories. Women had significantly higher mean FINDRISC scores (p<0.05), although there were no significant differences in Body Mass Index (BMI) and blood glucose levels between sexes. As shown in Table 1, a positive correlation was observed between BMI and blood glucose (ρ = 0.152; p=0.003). This indicates that individuals with higher BMI tend to have higher glucose levels, although the correlation is weak. The result was statistically significant, suggesting a true association in the population. Table 1 – Spearman Correlation Test for BMI and Blood Glucose Metric BMI and Blood Glucose Spearman’s correlation (ρ) 0,152 (weak positive correlation) Significance (p-value 0,003) Conclusion: The study population presented a high prevalence (32.8%) of individuals at high and very high risk for type 2 diabetes, particularly associated with female sex, excess weight, central obesity, and unhealthy lifestyle habits. FINDRISC proved to be an effective screening tool in community settings, supporting its use as a preventive strategy in primary health care.Table 1 (abstract PO-156)Spearman correlation test for BMI and blood glucose\nSpearman correlation test for BMI and blood glucose\n\n\n### PO—157 Sociodemographic Profile of Adults with Diabetes without Excess Weight in Brazil: an Analysis of the 2019 National Health Survey\nIntroduction: Diabetes in the absence of obesity is poorly investigated, although it accounts for many cases in low- and middle-income countries. Objective: This study aimed to describe the sociodemographic profile of Brazilian adults diagnosed with diabetes and with a body mass index (BMI) less than 25 kg/m2. Methods: Data from the 2019 National Health Survey, with probability cluster sampling and national representativeness, were used. The sample included 1,463 adults with valid data on weight, height, and a physician-diagnosed diabetes, excluding pregnant women and individuals with a BMI ≥25 kg/m2. Results: Among individuals with diabetes and a BMI <25 kg/m2, 53.4% were women, with a 95% confidence interval (95% CI) of 49.4–57.4. Furthermore, 63.6% were 60 years or older (95% CI: 59.5–67.7). The majority lived in urban areas (89.7%; 95% CI: 88.2–91.1) and self-identified as Black or Brown (50.5%). The regional distribution showed a concentration in the Southeast (51.0%) and Northeast (23.6%), which is consistent with the distribution of the Brazilian population. Regarding education, 39.3% had incomplete primary education (95% CI: 35.3–43.3), and regarding income, 60.1% lived on up to two minimum wages per capita. Conclusion: This profile points to a population characterized by aging, low education, and vulnerable social inclusion. The findings suggest that diabetes prevention and care strategies should consider the social determinants of health and the context of accumulated vulnerability over the lifespan, going beyond the exclusive emphasis on excess weight.\n\n\n### da Silva DF1; de Azevedo CV1; Moura LA1; de Carli E1; Marchioni DML1\nIntroduction: Diabetes in the absence of obesity is poorly investigated, although it accounts for many cases in low- and middle-income countries. Objective: This study aimed to describe the sociodemographic profile of Brazilian adults diagnosed with diabetes and with a body mass index (BMI) less than 25 kg/m2. Methods: Data from the 2019 National Health Survey, with probability cluster sampling and national representativeness, were used. The sample included 1,463 adults with valid data on weight, height, and a physician-diagnosed diabetes, excluding pregnant women and individuals with a BMI ≥25 kg/m2. Results: Among individuals with diabetes and a BMI <25 kg/m2, 53.4% were women, with a 95% confidence interval (95% CI) of 49.4–57.4. Furthermore, 63.6% were 60 years or older (95% CI: 59.5–67.7). The majority lived in urban areas (89.7%; 95% CI: 88.2–91.1) and self-identified as Black or Brown (50.5%). The regional distribution showed a concentration in the Southeast (51.0%) and Northeast (23.6%), which is consistent with the distribution of the Brazilian population. Regarding education, 39.3% had incomplete primary education (95% CI: 35.3–43.3), and regarding income, 60.1% lived on up to two minimum wages per capita. Conclusion: This profile points to a population characterized by aging, low education, and vulnerable social inclusion. The findings suggest that diabetes prevention and care strategies should consider the social determinants of health and the context of accumulated vulnerability over the lifespan, going beyond the exclusive emphasis on excess weight.\n\n\n### (1) Faculdade de Saúde Pública da Universidade de São Paulo- São Paulo, SP, Brasil\nIntroduction: Diabetes in the absence of obesity is poorly investigated, although it accounts for many cases in low- and middle-income countries. Objective: This study aimed to describe the sociodemographic profile of Brazilian adults diagnosed with diabetes and with a body mass index (BMI) less than 25 kg/m2. Methods: Data from the 2019 National Health Survey, with probability cluster sampling and national representativeness, were used. The sample included 1,463 adults with valid data on weight, height, and a physician-diagnosed diabetes, excluding pregnant women and individuals with a BMI ≥25 kg/m2. Results: Among individuals with diabetes and a BMI <25 kg/m2, 53.4% were women, with a 95% confidence interval (95% CI) of 49.4–57.4. Furthermore, 63.6% were 60 years or older (95% CI: 59.5–67.7). The majority lived in urban areas (89.7%; 95% CI: 88.2–91.1) and self-identified as Black or Brown (50.5%). The regional distribution showed a concentration in the Southeast (51.0%) and Northeast (23.6%), which is consistent with the distribution of the Brazilian population. Regarding education, 39.3% had incomplete primary education (95% CI: 35.3–43.3), and regarding income, 60.1% lived on up to two minimum wages per capita. Conclusion: This profile points to a population characterized by aging, low education, and vulnerable social inclusion. The findings suggest that diabetes prevention and care strategies should consider the social determinants of health and the context of accumulated vulnerability over the lifespan, going beyond the exclusive emphasis on excess weight.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—157\nIntroduction: Diabetes in the absence of obesity is poorly investigated, although it accounts for many cases in low- and middle-income countries. Objective: This study aimed to describe the sociodemographic profile of Brazilian adults diagnosed with diabetes and with a body mass index (BMI) less than 25 kg/m2. Methods: Data from the 2019 National Health Survey, with probability cluster sampling and national representativeness, were used. The sample included 1,463 adults with valid data on weight, height, and a physician-diagnosed diabetes, excluding pregnant women and individuals with a BMI ≥25 kg/m2. Results: Among individuals with diabetes and a BMI <25 kg/m2, 53.4% were women, with a 95% confidence interval (95% CI) of 49.4–57.4. Furthermore, 63.6% were 60 years or older (95% CI: 59.5–67.7). The majority lived in urban areas (89.7%; 95% CI: 88.2–91.1) and self-identified as Black or Brown (50.5%). The regional distribution showed a concentration in the Southeast (51.0%) and Northeast (23.6%), which is consistent with the distribution of the Brazilian population. Regarding education, 39.3% had incomplete primary education (95% CI: 35.3–43.3), and regarding income, 60.1% lived on up to two minimum wages per capita. Conclusion: This profile points to a population characterized by aging, low education, and vulnerable social inclusion. The findings suggest that diabetes prevention and care strategies should consider the social determinants of health and the context of accumulated vulnerability over the lifespan, going beyond the exclusive emphasis on excess weight.\n\n\n### PO—160 The Presence of the g Allele of rs17576 Polymorphism in the mmp9 Gene is Associated with Protection Against Type 2 Diabetes Mellitus\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase from the metalloproteinase family involved in remodeling the extracellular matrix. By degrading components of the basement membrane, MMP-9 can contribute to cell death and plays a role in key processes linked to the pathogenesis of diabetes mellitus, including angiogenesis and inflammation. Elevated levels of MMP-9 have been associated with oxidative stress and inflammation triggered by hyperglycemia. Consequently, genetic polymorphisms in the MMP9 gene may influence its activity and expression, potentially contributing to the development of type 2 diabetes mellitus (T2DM). Objective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM. Methods: This case-control study included 1003 individuals divided into two groups: 695 patients with T2DM and 308 participants without T2DM. The study was approved by the HCPA Research Ethics Committee (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR. Results: The genotypic frequencies of the MMP9 rs17576 A/G polymorphism were in Hardy-Weinberg equilibrium in the control group (p > 0.05). The G/G genotype was observed in 12.9% of individuals with T2DM and in 11.4% of controls (p = 0.036). Under the dominant model of inheritance (AG + GG), the presence of the G allele was associated with a 28% protection for T2DM occurrence, odds ratio = 0.723 (95% CI: 0.548–0.953), p = 0.022; and this association remained statistically significant after adjusting for sex and ethnicity. Conclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against T2DM. However, additional studies in diverse populations are necessary to confirm and further validate this association.\n\n\n### Brondani LA1; Favieiro JP1; Assmann MS1; Dieter C1; Crispim D1\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase from the metalloproteinase family involved in remodeling the extracellular matrix. By degrading components of the basement membrane, MMP-9 can contribute to cell death and plays a role in key processes linked to the pathogenesis of diabetes mellitus, including angiogenesis and inflammation. Elevated levels of MMP-9 have been associated with oxidative stress and inflammation triggered by hyperglycemia. Consequently, genetic polymorphisms in the MMP9 gene may influence its activity and expression, potentially contributing to the development of type 2 diabetes mellitus (T2DM). Objective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM. Methods: This case-control study included 1003 individuals divided into two groups: 695 patients with T2DM and 308 participants without T2DM. The study was approved by the HCPA Research Ethics Committee (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR. Results: The genotypic frequencies of the MMP9 rs17576 A/G polymorphism were in Hardy-Weinberg equilibrium in the control group (p > 0.05). The G/G genotype was observed in 12.9% of individuals with T2DM and in 11.4% of controls (p = 0.036). Under the dominant model of inheritance (AG + GG), the presence of the G allele was associated with a 28% protection for T2DM occurrence, odds ratio = 0.723 (95% CI: 0.548–0.953), p = 0.022; and this association remained statistically significant after adjusting for sex and ethnicity. Conclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against T2DM. However, additional studies in diverse populations are necessary to confirm and further validate this association.\n\n\n### (1) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase from the metalloproteinase family involved in remodeling the extracellular matrix. By degrading components of the basement membrane, MMP-9 can contribute to cell death and plays a role in key processes linked to the pathogenesis of diabetes mellitus, including angiogenesis and inflammation. Elevated levels of MMP-9 have been associated with oxidative stress and inflammation triggered by hyperglycemia. Consequently, genetic polymorphisms in the MMP9 gene may influence its activity and expression, potentially contributing to the development of type 2 diabetes mellitus (T2DM). Objective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM. Methods: This case-control study included 1003 individuals divided into two groups: 695 patients with T2DM and 308 participants without T2DM. The study was approved by the HCPA Research Ethics Committee (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR. Results: The genotypic frequencies of the MMP9 rs17576 A/G polymorphism were in Hardy-Weinberg equilibrium in the control group (p > 0.05). The G/G genotype was observed in 12.9% of individuals with T2DM and in 11.4% of controls (p = 0.036). Under the dominant model of inheritance (AG + GG), the presence of the G allele was associated with a 28% protection for T2DM occurrence, odds ratio = 0.723 (95% CI: 0.548–0.953), p = 0.022; and this association remained statistically significant after adjusting for sex and ethnicity. Conclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against T2DM. However, additional studies in diverse populations are necessary to confirm and further validate this association.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—160\nIntroduction: Matrix metalloproteinase 9 (MMP-9) is a zinc-dependent endopeptidase from the metalloproteinase family involved in remodeling the extracellular matrix. By degrading components of the basement membrane, MMP-9 can contribute to cell death and plays a role in key processes linked to the pathogenesis of diabetes mellitus, including angiogenesis and inflammation. Elevated levels of MMP-9 have been associated with oxidative stress and inflammation triggered by hyperglycemia. Consequently, genetic polymorphisms in the MMP9 gene may influence its activity and expression, potentially contributing to the development of type 2 diabetes mellitus (T2DM). Objective: To evaluate the association between rs17576 A/G polymorphism in the MMP9 gene and T2DM. Methods: This case-control study included 1003 individuals divided into two groups: 695 patients with T2DM and 308 participants without T2DM. The study was approved by the HCPA Research Ethics Committee (protocol number AGHUSE 20230159). The rs17576 A/G polymorphism in the MMP9 gene was genotyped using a TaqMan allele discrimination assay via real-time PCR. Results: The genotypic frequencies of the MMP9 rs17576 A/G polymorphism were in Hardy-Weinberg equilibrium in the control group (p > 0.05). The G/G genotype was observed in 12.9% of individuals with T2DM and in 11.4% of controls (p = 0.036). Under the dominant model of inheritance (AG + GG), the presence of the G allele was associated with a 28% protection for T2DM occurrence, odds ratio = 0.723 (95% CI: 0.548–0.953), p = 0.022; and this association remained statistically significant after adjusting for sex and ethnicity. Conclusion: The presence of the G allele of the rs17576 A/G polymorphism in the MMP9 gene is associated with protection against T2DM. However, additional studies in diverse populations are necessary to confirm and further validate this association.\n\n\n### PO—165 Clinical Profile of Diabetic Patients with Osteoporotic Fractures in a Fracture Liaison Service\nIntroduction: Diabetes mellitus (DM) is a recognized risk factor for fragility fractures, regardless of bone mineral density. The integration of diabetic patients into structured secondary prevention programs is a promising strategy to reduce adverse outcomes. Objective: To describe the clinical profile of patients with DM and osteoporotic fractures followed in a Fracture Liaison Service (FLS). Methods: Observational, prospective study using convenience sampling. We evaluated sociodemographic, clinical, and anthropometric data, including fracture sites, fall risk, and frequency. Sarcopenia was screened using the SARC-F questionnaire (score ≥4), muscle strength assessed by five-times sit-to-stand test (reduced strength >15 seconds), and bone mineral density measured by dual-energy X-ray absorptiometry (DXA). Data are presented as median (m) and interquartile range (IQR) or number (n) and percentage (%). Results: Among 56 patients with osteoporotic fractures, 20 (36%) had type 2 diabetes mellitus (T2DM). Of these, 19 (95%) were female, and the median age was 75 years (62–77). Regarding the timing of osteoporosis diagnosis, only 6 (30%) were diagnosed and were receiving osteoporosis treatment before the fracture, 11 (55%) were diagnosed at the time of fracture occurrence, and 3 (15%) remained undiagnosed and untreated even after the fracture. DXA showed that 12 (60%) had a T-score compatible with osteopenia. All participants received guidance on adequate intake of calcium, vitamin D, and proteins, fall prevention strategies, and therapeutic adjustments according to fracture risk stratification. Conclusion: Diabetic patients in this FLS had multiple risk factors for recurrent fractures, including a history of falls, positive sarcopenia screening, and multiple comorbidities. The predominant fracture sites were vertebrae and wrists. Most participants only received an osteoporosis diagnosis and initiated treatment at the time of fracture, reinforcing the need for early screening strategies. Even after the fracture, most did not receive osteoanabolic therapy; Bisphosphonates were the primary treatment until FLS enrollment. Structured FLS follow-up proves essential for individualizing therapy and promoting integrated, continuous care.\n\n\n### Campos BB1; Corrêa LA1; Trotte GB1; de Sá MERMC1; Júnior WMA1; Guimarães ACS1; Pezzin HS1; Coelho SS1; Abreu JM1; dos Santos CV2; Soares DV1\nIntroduction: Diabetes mellitus (DM) is a recognized risk factor for fragility fractures, regardless of bone mineral density. The integration of diabetic patients into structured secondary prevention programs is a promising strategy to reduce adverse outcomes. Objective: To describe the clinical profile of patients with DM and osteoporotic fractures followed in a Fracture Liaison Service (FLS). Methods: Observational, prospective study using convenience sampling. We evaluated sociodemographic, clinical, and anthropometric data, including fracture sites, fall risk, and frequency. Sarcopenia was screened using the SARC-F questionnaire (score ≥4), muscle strength assessed by five-times sit-to-stand test (reduced strength >15 seconds), and bone mineral density measured by dual-energy X-ray absorptiometry (DXA). Data are presented as median (m) and interquartile range (IQR) or number (n) and percentage (%). Results: Among 56 patients with osteoporotic fractures, 20 (36%) had type 2 diabetes mellitus (T2DM). Of these, 19 (95%) were female, and the median age was 75 years (62–77). Regarding the timing of osteoporosis diagnosis, only 6 (30%) were diagnosed and were receiving osteoporosis treatment before the fracture, 11 (55%) were diagnosed at the time of fracture occurrence, and 3 (15%) remained undiagnosed and untreated even after the fracture. DXA showed that 12 (60%) had a T-score compatible with osteopenia. All participants received guidance on adequate intake of calcium, vitamin D, and proteins, fall prevention strategies, and therapeutic adjustments according to fracture risk stratification. Conclusion: Diabetic patients in this FLS had multiple risk factors for recurrent fractures, including a history of falls, positive sarcopenia screening, and multiple comorbidities. The predominant fracture sites were vertebrae and wrists. Most participants only received an osteoporosis diagnosis and initiated treatment at the time of fracture, reinforcing the need for early screening strategies. Even after the fracture, most did not receive osteoanabolic therapy; Bisphosphonates were the primary treatment until FLS enrollment. Structured FLS follow-up proves essential for individualizing therapy and promoting integrated, continuous care.\n\n\n### (1) Departamento de Medicina Clínica, Faculdade de Medicina, Universidade Federal Fluminense, Niterói, RJ, Brasil; (2) Hospital Universitário Antônio Pedro, Universidade Federal Fluminense, Niterói, RJ, Brasil\nIntroduction: Diabetes mellitus (DM) is a recognized risk factor for fragility fractures, regardless of bone mineral density. The integration of diabetic patients into structured secondary prevention programs is a promising strategy to reduce adverse outcomes. Objective: To describe the clinical profile of patients with DM and osteoporotic fractures followed in a Fracture Liaison Service (FLS). Methods: Observational, prospective study using convenience sampling. We evaluated sociodemographic, clinical, and anthropometric data, including fracture sites, fall risk, and frequency. Sarcopenia was screened using the SARC-F questionnaire (score ≥4), muscle strength assessed by five-times sit-to-stand test (reduced strength >15 seconds), and bone mineral density measured by dual-energy X-ray absorptiometry (DXA). Data are presented as median (m) and interquartile range (IQR) or number (n) and percentage (%). Results: Among 56 patients with osteoporotic fractures, 20 (36%) had type 2 diabetes mellitus (T2DM). Of these, 19 (95%) were female, and the median age was 75 years (62–77). Regarding the timing of osteoporosis diagnosis, only 6 (30%) were diagnosed and were receiving osteoporosis treatment before the fracture, 11 (55%) were diagnosed at the time of fracture occurrence, and 3 (15%) remained undiagnosed and untreated even after the fracture. DXA showed that 12 (60%) had a T-score compatible with osteopenia. All participants received guidance on adequate intake of calcium, vitamin D, and proteins, fall prevention strategies, and therapeutic adjustments according to fracture risk stratification. Conclusion: Diabetic patients in this FLS had multiple risk factors for recurrent fractures, including a history of falls, positive sarcopenia screening, and multiple comorbidities. The predominant fracture sites were vertebrae and wrists. Most participants only received an osteoporosis diagnosis and initiated treatment at the time of fracture, reinforcing the need for early screening strategies. Even after the fracture, most did not receive osteoanabolic therapy; Bisphosphonates were the primary treatment until FLS enrollment. Structured FLS follow-up proves essential for individualizing therapy and promoting integrated, continuous care.\n\n\n### Diabetology & Metabolic Syndrome 2026: P0—165\nIntroduction: Diabetes mellitus (DM) is a recognized risk factor for fragility fractures, regardless of bone mineral density. The integration of diabetic patients into structured secondary prevention programs is a promising strategy to reduce adverse outcomes. Objective: To describe the clinical profile of patients with DM and osteoporotic fractures followed in a Fracture Liaison Service (FLS). Methods: Observational, prospective study using convenience sampling. We evaluated sociodemographic, clinical, and anthropometric data, including fracture sites, fall risk, and frequency. Sarcopenia was screened using the SARC-F questionnaire (score ≥4), muscle strength assessed by five-times sit-to-stand test (reduced strength >15 seconds), and bone mineral density measured by dual-energy X-ray absorptiometry (DXA). Data are presented as median (m) and interquartile range (IQR) or number (n) and percentage (%). Results: Among 56 patients with osteoporotic fractures, 20 (36%) had type 2 diabetes mellitus (T2DM). Of these, 19 (95%) were female, and the median age was 75 years (62–77). Regarding the timing of osteoporosis diagnosis, only 6 (30%) were diagnosed and were receiving osteoporosis treatment before the fracture, 11 (55%) were diagnosed at the time of fracture occurrence, and 3 (15%) remained undiagnosed and untreated even after the fracture. DXA showed that 12 (60%) had a T-score compatible with osteopenia. All participants received guidance on adequate intake of calcium, vitamin D, and proteins, fall prevention strategies, and therapeutic adjustments according to fracture risk stratification. Conclusion: Diabetic patients in this FLS had multiple risk factors for recurrent fractures, including a history of falls, positive sarcopenia screening, and multiple comorbidities. The predominant fracture sites were vertebrae and wrists. Most participants only received an osteoporosis diagnosis and initiated treatment at the time of fracture, reinforcing the need for early screening strategies. Even after the fracture, most did not receive osteoanabolic therapy; Bisphosphonates were the primary treatment until FLS enrollment. Structured FLS follow-up proves essential for individualizing therapy and promoting integrated, continuous care.\n\n\n### PO—166 Comparative Analysis of Nutrient Intake in Older Adults Living with and Without Type 2 Diabetes Mellitus: Results of a Cross-Sectional Study in Ouro Preto/Mg in the Context of Nutritional Care\nIntroduction: Adequate dietary intake is essential in managing type 2 diabetes mellitus (T2DM), especially among older adults, who are more susceptible to metabolic changes and nutritional deficiencies. Objective: This cross-sectional study aimed to assess macro- and micronutrient intake among older adults with and without T2DM receiving nutritional care at a senior citizens’ association in Ouro Preto/MG, in accordance with recommendations from the IOM, BRASPEN (2020), and SBD (2023). Methods: Dietary intake was assessed using a 24-hour recall, analyzed with Dietbox® software based on the Brazilian Food Composition Table (TACO). Statistical analysis was conducted in SPSS® using the Mann–Whitney test (p<0.05) for macronutrients, and micronutrient data were processed in Excel/2022. Results: The sample comprised 69 older adults (27 with T2DM, 42 without). No statistically significant differences were observed between groups in median caloric intake (1,273.55 kcal vs. 1,204.46 kcal; p=0.365). Median protein intake was similar in absolute values (58.89 g vs. 53.87 g; p=0.225) and as a percentage of energy (20.00% vs. 17.50%; p=0.297). Carbohydrate intake did not differ: 158.41 g (50%) with T2DM and 151.04 g (51%) without (p=0.558 for g and p=0.621 for %). Median lipid intake was 38.93 g (29.50%) in the T2DM group and 37.63 g (31.50%) in the non-T2DM group (p=0.603 and p=0.936, respectively), and fiber intake showed no significant difference (17.72 g vs. 13.94 g; p=0.298). Regarding micronutrients, both groups showed inadequacies. Mean intakes in the T2DM and non-T2DM groups, respectively, were: magnesium (164.96 mg vs. 155.60 mg), vitamin B12 (1.94 µg vs. 2.05 µg), folic acid (115.09 µg vs. 127.86 µg), potassium (1,662.37 mg vs. 1,669.5 mg), and vitamin D (1.15 µg vs. 0.965 µg), all below recommendations. Vitamin C adequacy was higher in the non-T2DM group (78.68 mg vs. 61.99 mg). Selenium was the only nutrient near optimal levels in both groups (56.88 µg vs. 54.46 µg). Conclusion: Results indicated no significant differences in macronutrient intake between groups but revealed widespread micronutrient inadequacies, suggesting low adherence to dietary guidance and a possible lack of individualized nutritional care. This study underscores the importance of regular assessments and personalized nutritional interventions, particularly for older adults with T2DM, while providing valuable insights for public policies and more effective clinical practices that reflect the realities of the older population.\n\n\n### Corrêa PB1; Lopes GF1; Onuzik L2; Pereira PA1; Peixoto MO1; Onuzik NC1; Santos AMM1; Ferreira VM1; Gomes LAA1; de Figueiredo SM1\nIntroduction: Adequate dietary intake is essential in managing type 2 diabetes mellitus (T2DM), especially among older adults, who are more susceptible to metabolic changes and nutritional deficiencies. Objective: This cross-sectional study aimed to assess macro- and micronutrient intake among older adults with and without T2DM receiving nutritional care at a senior citizens’ association in Ouro Preto/MG, in accordance with recommendations from the IOM, BRASPEN (2020), and SBD (2023). Methods: Dietary intake was assessed using a 24-hour recall, analyzed with Dietbox® software based on the Brazilian Food Composition Table (TACO). Statistical analysis was conducted in SPSS® using the Mann–Whitney test (p<0.05) for macronutrients, and micronutrient data were processed in Excel/2022. Results: The sample comprised 69 older adults (27 with T2DM, 42 without). No statistically significant differences were observed between groups in median caloric intake (1,273.55 kcal vs. 1,204.46 kcal; p=0.365). Median protein intake was similar in absolute values (58.89 g vs. 53.87 g; p=0.225) and as a percentage of energy (20.00% vs. 17.50%; p=0.297). Carbohydrate intake did not differ: 158.41 g (50%) with T2DM and 151.04 g (51%) without (p=0.558 for g and p=0.621 for %). Median lipid intake was 38.93 g (29.50%) in the T2DM group and 37.63 g (31.50%) in the non-T2DM group (p=0.603 and p=0.936, respectively), and fiber intake showed no significant difference (17.72 g vs. 13.94 g; p=0.298). Regarding micronutrients, both groups showed inadequacies. Mean intakes in the T2DM and non-T2DM groups, respectively, were: magnesium (164.96 mg vs. 155.60 mg), vitamin B12 (1.94 µg vs. 2.05 µg), folic acid (115.09 µg vs. 127.86 µg), potassium (1,662.37 mg vs. 1,669.5 mg), and vitamin D (1.15 µg vs. 0.965 µg), all below recommendations. Vitamin C adequacy was higher in the non-T2DM group (78.68 mg vs. 61.99 mg). Selenium was the only nutrient near optimal levels in both groups (56.88 µg vs. 54.46 µg). Conclusion: Results indicated no significant differences in macronutrient intake between groups but revealed widespread micronutrient inadequacies, suggesting low adherence to dietary guidance and a possible lack of individualized nutritional care. This study underscores the importance of regular assessments and personalized nutritional interventions, particularly for older adults with T2DM, while providing valuable insights for public policies and more effective clinical practices that reflect the realities of the older population.\n\n\n### (1) Universidade Federal de Ouro Preto, Ouro Preto, MG, Brasil; (2) Universidade Federal de Alfenas, Ouro Preto, MG, Brasil\nIntroduction: Adequate dietary intake is essential in managing type 2 diabetes mellitus (T2DM), especially among older adults, who are more susceptible to metabolic changes and nutritional deficiencies. Objective: This cross-sectional study aimed to assess macro- and micronutrient intake among older adults with and without T2DM receiving nutritional care at a senior citizens’ association in Ouro Preto/MG, in accordance with recommendations from the IOM, BRASPEN (2020), and SBD (2023). Methods: Dietary intake was assessed using a 24-hour recall, analyzed with Dietbox® software based on the Brazilian Food Composition Table (TACO). Statistical analysis was conducted in SPSS® using the Mann–Whitney test (p<0.05) for macronutrients, and micronutrient data were processed in Excel/2022. Results: The sample comprised 69 older adults (27 with T2DM, 42 without). No statistically significant differences were observed between groups in median caloric intake (1,273.55 kcal vs. 1,204.46 kcal; p=0.365). Median protein intake was similar in absolute values (58.89 g vs. 53.87 g; p=0.225) and as a percentage of energy (20.00% vs. 17.50%; p=0.297). Carbohydrate intake did not differ: 158.41 g (50%) with T2DM and 151.04 g (51%) without (p=0.558 for g and p=0.621 for %). Median lipid intake was 38.93 g (29.50%) in the T2DM group and 37.63 g (31.50%) in the non-T2DM group (p=0.603 and p=0.936, respectively), and fiber intake showed no significant difference (17.72 g vs. 13.94 g; p=0.298). Regarding micronutrients, both groups showed inadequacies. Mean intakes in the T2DM and non-T2DM groups, respectively, were: magnesium (164.96 mg vs. 155.60 mg), vitamin B12 (1.94 µg vs. 2.05 µg), folic acid (115.09 µg vs. 127.86 µg), potassium (1,662.37 mg vs. 1,669.5 mg), and vitamin D (1.15 µg vs. 0.965 µg), all below recommendations. Vitamin C adequacy was higher in the non-T2DM group (78.68 mg vs. 61.99 mg). Selenium was the only nutrient near optimal levels in both groups (56.88 µg vs. 54.46 µg). Conclusion: Results indicated no significant differences in macronutrient intake between groups but revealed widespread micronutrient inadequacies, suggesting low adherence to dietary guidance and a possible lack of individualized nutritional care. This study underscores the importance of regular assessments and personalized nutritional interventions, particularly for older adults with T2DM, while providing valuable insights for public policies and more effective clinical practices that reflect the realities of the older population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—166\nIntroduction: Adequate dietary intake is essential in managing type 2 diabetes mellitus (T2DM), especially among older adults, who are more susceptible to metabolic changes and nutritional deficiencies. Objective: This cross-sectional study aimed to assess macro- and micronutrient intake among older adults with and without T2DM receiving nutritional care at a senior citizens’ association in Ouro Preto/MG, in accordance with recommendations from the IOM, BRASPEN (2020), and SBD (2023). Methods: Dietary intake was assessed using a 24-hour recall, analyzed with Dietbox® software based on the Brazilian Food Composition Table (TACO). Statistical analysis was conducted in SPSS® using the Mann–Whitney test (p<0.05) for macronutrients, and micronutrient data were processed in Excel/2022. Results: The sample comprised 69 older adults (27 with T2DM, 42 without). No statistically significant differences were observed between groups in median caloric intake (1,273.55 kcal vs. 1,204.46 kcal; p=0.365). Median protein intake was similar in absolute values (58.89 g vs. 53.87 g; p=0.225) and as a percentage of energy (20.00% vs. 17.50%; p=0.297). Carbohydrate intake did not differ: 158.41 g (50%) with T2DM and 151.04 g (51%) without (p=0.558 for g and p=0.621 for %). Median lipid intake was 38.93 g (29.50%) in the T2DM group and 37.63 g (31.50%) in the non-T2DM group (p=0.603 and p=0.936, respectively), and fiber intake showed no significant difference (17.72 g vs. 13.94 g; p=0.298). Regarding micronutrients, both groups showed inadequacies. Mean intakes in the T2DM and non-T2DM groups, respectively, were: magnesium (164.96 mg vs. 155.60 mg), vitamin B12 (1.94 µg vs. 2.05 µg), folic acid (115.09 µg vs. 127.86 µg), potassium (1,662.37 mg vs. 1,669.5 mg), and vitamin D (1.15 µg vs. 0.965 µg), all below recommendations. Vitamin C adequacy was higher in the non-T2DM group (78.68 mg vs. 61.99 mg). Selenium was the only nutrient near optimal levels in both groups (56.88 µg vs. 54.46 µg). Conclusion: Results indicated no significant differences in macronutrient intake between groups but revealed widespread micronutrient inadequacies, suggesting low adherence to dietary guidance and a possible lack of individualized nutritional care. This study underscores the importance of regular assessments and personalized nutritional interventions, particularly for older adults with T2DM, while providing valuable insights for public policies and more effective clinical practices that reflect the realities of the older population.\n\n\n### PO—167 Evaluation of Fat Liver Content using Fibroscan® in Older Patients with Type 2 Diabetes and its Association with Non-traditional Biomarkers\nIntroduction: Metabolic dysfunction–associated steatotic liver disease is a highly prevalent condition expected to affect up to 70% of type 2 diabetes (T2D) patients. Objective: To investigate the presence of hepatic fat content and its association with clinical and laboratorial parameters in older patients with T2D. Methods: Cross-sectional study including T2D patients aged ≥65 years attending a tertiary public clinic without evidence of acute illness. Clinical, anthropometric and laboratory data were collected. Controlled Attenuation Parameter (CAP dB/m) was assessed by Transient elastography (Fibroscan®) and used to categorize hepatic fat content as S0 (<5%), S1 (5–33%), S2 (33–66%), and S3 (>66%). Statistical analysis was performed using Jamovi 2.6. Results: Fifty-nine T2D patients aged 74 [69–79] years were included; 40 (67.8%) females; diabetes duration of 22.1 ± 10.9 years; glycated hemoglobin of 7.30 [6.90-8.40]% and body mass index (BMI) of 28.3 ± 5.1 kg/m2. Thirty-five (59.3%) were treated with insulin and 1 (1.7%) used pioglitazone. Overall, 42 (71.2%) patients were classified as S0, 4 (6.8%) as S1, 2 (3.4%) as S2, and 11 (18.6%) as S3. The mean CAP value was 214 ± 64.8 dB/m. CAP values were positively correlated with daily insulin dose (r=0.347, p=0.041), triglycerides (r=0.532, p<0.001), alanine aminotransferase (r=0.405,p=0.001), gamma-glutamyl transferase (r=0.430, p<0.001) and hemoglobin levels (r= 0.424, p<0.001); BMI (r= 0.426, p=0.001); waist (r=0.461, p<0.001) and neck circumferences (r=0.537, p<0.001); red blood cells (r=0.359, p=0.005) and leukocytes count (r=0.306, p=0.018), and inversely correlated with age (r= -0.319, p=0.014), vitamin B12 plasma levels (r= –0.292, p=0.026) and Red Cell Distribution Width (r=-0.885, p=0.019). Conclusion: In a sample of elderly T2D patients, 71% did not present significant hepatic fat content when categorized by Fibroscan®. As expected, the amount of liver fat (CAP value) was associated with clinical and anthropometric markers of insulin resistance and liver injury. Also, patients with higher fat liver content were younger, had higher levels of hemoglobin and leucocyte count and lower plasma vitamin B12 levels. The association of fat liver content with vitamin B12 levels, corroborated by recent studies, may reflect underlying pathogenic mechanisms that should be explored in prospective studies to investigate its clinical and prognostic significance.\n\n\n### Siqueira LGG1; Mansur RP1; Ferreira IF1; Maroun LRGB1; Matsuura FHC1; Jardim JVS1; Terra C1; Smith BG1; Palma CCSSV1; Tannus LRM1; Cobas RA1\nIntroduction: Metabolic dysfunction–associated steatotic liver disease is a highly prevalent condition expected to affect up to 70% of type 2 diabetes (T2D) patients. Objective: To investigate the presence of hepatic fat content and its association with clinical and laboratorial parameters in older patients with T2D. Methods: Cross-sectional study including T2D patients aged ≥65 years attending a tertiary public clinic without evidence of acute illness. Clinical, anthropometric and laboratory data were collected. Controlled Attenuation Parameter (CAP dB/m) was assessed by Transient elastography (Fibroscan®) and used to categorize hepatic fat content as S0 (<5%), S1 (5–33%), S2 (33–66%), and S3 (>66%). Statistical analysis was performed using Jamovi 2.6. Results: Fifty-nine T2D patients aged 74 [69–79] years were included; 40 (67.8%) females; diabetes duration of 22.1 ± 10.9 years; glycated hemoglobin of 7.30 [6.90-8.40]% and body mass index (BMI) of 28.3 ± 5.1 kg/m2. Thirty-five (59.3%) were treated with insulin and 1 (1.7%) used pioglitazone. Overall, 42 (71.2%) patients were classified as S0, 4 (6.8%) as S1, 2 (3.4%) as S2, and 11 (18.6%) as S3. The mean CAP value was 214 ± 64.8 dB/m. CAP values were positively correlated with daily insulin dose (r=0.347, p=0.041), triglycerides (r=0.532, p<0.001), alanine aminotransferase (r=0.405,p=0.001), gamma-glutamyl transferase (r=0.430, p<0.001) and hemoglobin levels (r= 0.424, p<0.001); BMI (r= 0.426, p=0.001); waist (r=0.461, p<0.001) and neck circumferences (r=0.537, p<0.001); red blood cells (r=0.359, p=0.005) and leukocytes count (r=0.306, p=0.018), and inversely correlated with age (r= -0.319, p=0.014), vitamin B12 plasma levels (r= –0.292, p=0.026) and Red Cell Distribution Width (r=-0.885, p=0.019). Conclusion: In a sample of elderly T2D patients, 71% did not present significant hepatic fat content when categorized by Fibroscan®. As expected, the amount of liver fat (CAP value) was associated with clinical and anthropometric markers of insulin resistance and liver injury. Also, patients with higher fat liver content were younger, had higher levels of hemoglobin and leucocyte count and lower plasma vitamin B12 levels. The association of fat liver content with vitamin B12 levels, corroborated by recent studies, may reflect underlying pathogenic mechanisms that should be explored in prospective studies to investigate its clinical and prognostic significance.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Metabolic dysfunction–associated steatotic liver disease is a highly prevalent condition expected to affect up to 70% of type 2 diabetes (T2D) patients. Objective: To investigate the presence of hepatic fat content and its association with clinical and laboratorial parameters in older patients with T2D. Methods: Cross-sectional study including T2D patients aged ≥65 years attending a tertiary public clinic without evidence of acute illness. Clinical, anthropometric and laboratory data were collected. Controlled Attenuation Parameter (CAP dB/m) was assessed by Transient elastography (Fibroscan®) and used to categorize hepatic fat content as S0 (<5%), S1 (5–33%), S2 (33–66%), and S3 (>66%). Statistical analysis was performed using Jamovi 2.6. Results: Fifty-nine T2D patients aged 74 [69–79] years were included; 40 (67.8%) females; diabetes duration of 22.1 ± 10.9 years; glycated hemoglobin of 7.30 [6.90-8.40]% and body mass index (BMI) of 28.3 ± 5.1 kg/m2. Thirty-five (59.3%) were treated with insulin and 1 (1.7%) used pioglitazone. Overall, 42 (71.2%) patients were classified as S0, 4 (6.8%) as S1, 2 (3.4%) as S2, and 11 (18.6%) as S3. The mean CAP value was 214 ± 64.8 dB/m. CAP values were positively correlated with daily insulin dose (r=0.347, p=0.041), triglycerides (r=0.532, p<0.001), alanine aminotransferase (r=0.405,p=0.001), gamma-glutamyl transferase (r=0.430, p<0.001) and hemoglobin levels (r= 0.424, p<0.001); BMI (r= 0.426, p=0.001); waist (r=0.461, p<0.001) and neck circumferences (r=0.537, p<0.001); red blood cells (r=0.359, p=0.005) and leukocytes count (r=0.306, p=0.018), and inversely correlated with age (r= -0.319, p=0.014), vitamin B12 plasma levels (r= –0.292, p=0.026) and Red Cell Distribution Width (r=-0.885, p=0.019). Conclusion: In a sample of elderly T2D patients, 71% did not present significant hepatic fat content when categorized by Fibroscan®. As expected, the amount of liver fat (CAP value) was associated with clinical and anthropometric markers of insulin resistance and liver injury. Also, patients with higher fat liver content were younger, had higher levels of hemoglobin and leucocyte count and lower plasma vitamin B12 levels. The association of fat liver content with vitamin B12 levels, corroborated by recent studies, may reflect underlying pathogenic mechanisms that should be explored in prospective studies to investigate its clinical and prognostic significance.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—167\nIntroduction: Metabolic dysfunction–associated steatotic liver disease is a highly prevalent condition expected to affect up to 70% of type 2 diabetes (T2D) patients. Objective: To investigate the presence of hepatic fat content and its association with clinical and laboratorial parameters in older patients with T2D. Methods: Cross-sectional study including T2D patients aged ≥65 years attending a tertiary public clinic without evidence of acute illness. Clinical, anthropometric and laboratory data were collected. Controlled Attenuation Parameter (CAP dB/m) was assessed by Transient elastography (Fibroscan®) and used to categorize hepatic fat content as S0 (<5%), S1 (5–33%), S2 (33–66%), and S3 (>66%). Statistical analysis was performed using Jamovi 2.6. Results: Fifty-nine T2D patients aged 74 [69–79] years were included; 40 (67.8%) females; diabetes duration of 22.1 ± 10.9 years; glycated hemoglobin of 7.30 [6.90-8.40]% and body mass index (BMI) of 28.3 ± 5.1 kg/m2. Thirty-five (59.3%) were treated with insulin and 1 (1.7%) used pioglitazone. Overall, 42 (71.2%) patients were classified as S0, 4 (6.8%) as S1, 2 (3.4%) as S2, and 11 (18.6%) as S3. The mean CAP value was 214 ± 64.8 dB/m. CAP values were positively correlated with daily insulin dose (r=0.347, p=0.041), triglycerides (r=0.532, p<0.001), alanine aminotransferase (r=0.405,p=0.001), gamma-glutamyl transferase (r=0.430, p<0.001) and hemoglobin levels (r= 0.424, p<0.001); BMI (r= 0.426, p=0.001); waist (r=0.461, p<0.001) and neck circumferences (r=0.537, p<0.001); red blood cells (r=0.359, p=0.005) and leukocytes count (r=0.306, p=0.018), and inversely correlated with age (r= -0.319, p=0.014), vitamin B12 plasma levels (r= –0.292, p=0.026) and Red Cell Distribution Width (r=-0.885, p=0.019). Conclusion: In a sample of elderly T2D patients, 71% did not present significant hepatic fat content when categorized by Fibroscan®. As expected, the amount of liver fat (CAP value) was associated with clinical and anthropometric markers of insulin resistance and liver injury. Also, patients with higher fat liver content were younger, had higher levels of hemoglobin and leucocyte count and lower plasma vitamin B12 levels. The association of fat liver content with vitamin B12 levels, corroborated by recent studies, may reflect underlying pathogenic mechanisms that should be explored in prospective studies to investigate its clinical and prognostic significance.\n\n\n### PO—174 Performance Evaluation of Glucose in Different Blood Gas Analyzers Used by Laboratories Participating in an External Quality Assessment Program\nIntroduction: Effective control of blood glucose levels depends both on accurate data and on the timely availability of results for clinical decision-making. Blood gas analysis is used for the diagnosis, management, and monitoring of critically ill patients, and blood gas analyzers often include glucose measurement in their test menu, mainly due to their practicality and speed. Objective: This study aimed to evaluate the performance of glucose measurement in different blood gas analyzers used by participants of an External Quality Assessment Program (EQAP). Methods: The EQAP was conducted with four rounds per year (three samples of aquous solution per round, at various concentrations) from March 2010 to March 2023. During this period, the evolution of the mean coefficient of variation (CV) was assessed, as well as the adequacy percentage (%A) of participants. Results: A total of 28,140 data points were analyzed. The main analyzers used by participants were Gem Premier 3500 (n=297), Rapidpoint Series (n=110), Gem Premier 3000 (n=107), and ABL Series 800 (n=92). The number of participating laboratories increased from 27 (2010) to 335 (2023). The %A rose from 73% in 2010 to 92% in 2023, showing an improving trend (p<0.05). Between 2010 and 2023, CVs showed a significant decrease (p<0.05) over time . The study demonstrated overall satisfactory performance of participants in glucose measurement using blood gas analyzers, as well as the importance of continuous participation in EQAP for improving results. Conclusion: The study highlighted progressive and consistent improvement in glucose measurement performance on blood gas analyzers over 13 years of external monitoring, as reflected by reduced coefficients of variation and increased accuracy rates among participants. These findings reinforce the relevance of external quality assessment in ensuring the reliability of tests used in critical situations, such as the management of diabetic patients. Standardization and continuous monitoring of methods directly contribute to safer and more effective clinical decision-making in hospital and intensive care settings.\n\n\n### Gomes J1; Bottino L1; Aguiar T1; Correa M1; Vieira A1; Jerônimo D1; Rodrigues J1; Bastos C1; Poloni J1\nIntroduction: Effective control of blood glucose levels depends both on accurate data and on the timely availability of results for clinical decision-making. Blood gas analysis is used for the diagnosis, management, and monitoring of critically ill patients, and blood gas analyzers often include glucose measurement in their test menu, mainly due to their practicality and speed. Objective: This study aimed to evaluate the performance of glucose measurement in different blood gas analyzers used by participants of an External Quality Assessment Program (EQAP). Methods: The EQAP was conducted with four rounds per year (three samples of aquous solution per round, at various concentrations) from March 2010 to March 2023. During this period, the evolution of the mean coefficient of variation (CV) was assessed, as well as the adequacy percentage (%A) of participants. Results: A total of 28,140 data points were analyzed. The main analyzers used by participants were Gem Premier 3500 (n=297), Rapidpoint Series (n=110), Gem Premier 3000 (n=107), and ABL Series 800 (n=92). The number of participating laboratories increased from 27 (2010) to 335 (2023). The %A rose from 73% in 2010 to 92% in 2023, showing an improving trend (p<0.05). Between 2010 and 2023, CVs showed a significant decrease (p<0.05) over time . The study demonstrated overall satisfactory performance of participants in glucose measurement using blood gas analyzers, as well as the importance of continuous participation in EQAP for improving results. Conclusion: The study highlighted progressive and consistent improvement in glucose measurement performance on blood gas analyzers over 13 years of external monitoring, as reflected by reduced coefficients of variation and increased accuracy rates among participants. These findings reinforce the relevance of external quality assessment in ensuring the reliability of tests used in critical situations, such as the management of diabetic patients. Standardization and continuous monitoring of methods directly contribute to safer and more effective clinical decision-making in hospital and intensive care settings.\n\n\n### (1) Controllab, Rio de Janeiro, RJ, Brasil\nIntroduction: Effective control of blood glucose levels depends both on accurate data and on the timely availability of results for clinical decision-making. Blood gas analysis is used for the diagnosis, management, and monitoring of critically ill patients, and blood gas analyzers often include glucose measurement in their test menu, mainly due to their practicality and speed. Objective: This study aimed to evaluate the performance of glucose measurement in different blood gas analyzers used by participants of an External Quality Assessment Program (EQAP). Methods: The EQAP was conducted with four rounds per year (three samples of aquous solution per round, at various concentrations) from March 2010 to March 2023. During this period, the evolution of the mean coefficient of variation (CV) was assessed, as well as the adequacy percentage (%A) of participants. Results: A total of 28,140 data points were analyzed. The main analyzers used by participants were Gem Premier 3500 (n=297), Rapidpoint Series (n=110), Gem Premier 3000 (n=107), and ABL Series 800 (n=92). The number of participating laboratories increased from 27 (2010) to 335 (2023). The %A rose from 73% in 2010 to 92% in 2023, showing an improving trend (p<0.05). Between 2010 and 2023, CVs showed a significant decrease (p<0.05) over time . The study demonstrated overall satisfactory performance of participants in glucose measurement using blood gas analyzers, as well as the importance of continuous participation in EQAP for improving results. Conclusion: The study highlighted progressive and consistent improvement in glucose measurement performance on blood gas analyzers over 13 years of external monitoring, as reflected by reduced coefficients of variation and increased accuracy rates among participants. These findings reinforce the relevance of external quality assessment in ensuring the reliability of tests used in critical situations, such as the management of diabetic patients. Standardization and continuous monitoring of methods directly contribute to safer and more effective clinical decision-making in hospital and intensive care settings.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—174\nIntroduction: Effective control of blood glucose levels depends both on accurate data and on the timely availability of results for clinical decision-making. Blood gas analysis is used for the diagnosis, management, and monitoring of critically ill patients, and blood gas analyzers often include glucose measurement in their test menu, mainly due to their practicality and speed. Objective: This study aimed to evaluate the performance of glucose measurement in different blood gas analyzers used by participants of an External Quality Assessment Program (EQAP). Methods: The EQAP was conducted with four rounds per year (three samples of aquous solution per round, at various concentrations) from March 2010 to March 2023. During this period, the evolution of the mean coefficient of variation (CV) was assessed, as well as the adequacy percentage (%A) of participants. Results: A total of 28,140 data points were analyzed. The main analyzers used by participants were Gem Premier 3500 (n=297), Rapidpoint Series (n=110), Gem Premier 3000 (n=107), and ABL Series 800 (n=92). The number of participating laboratories increased from 27 (2010) to 335 (2023). The %A rose from 73% in 2010 to 92% in 2023, showing an improving trend (p<0.05). Between 2010 and 2023, CVs showed a significant decrease (p<0.05) over time . The study demonstrated overall satisfactory performance of participants in glucose measurement using blood gas analyzers, as well as the importance of continuous participation in EQAP for improving results. Conclusion: The study highlighted progressive and consistent improvement in glucose measurement performance on blood gas analyzers over 13 years of external monitoring, as reflected by reduced coefficients of variation and increased accuracy rates among participants. These findings reinforce the relevance of external quality assessment in ensuring the reliability of tests used in critical situations, such as the management of diabetic patients. Standardization and continuous monitoring of methods directly contribute to safer and more effective clinical decision-making in hospital and intensive care settings.\n\n\n### PO—175 Early Identification of GCK-MODY in a Pediatric Patient: Case Report and the Role of Genetic Testing in Differential Diagnosis\nCase Presentation: A 7-year-old female with thalassemia minor was referred to endocrinology at 3 years and 6 months due to persistent hyperglycemia. Her mother reported mild polydipsia, without polyuria, weight loss, or polyphagia. The patient was eutrophic (BMI Z-score: +0.36) and had never used antidiabetic medications. Family history included early-onset diabetes in her father, grandfather, and paternal uncle. Fasting glucose ranged from 122–131 mg/dL, and glycated hemoglobin from 6.2% to 6.7%. Anti-GAD (glutamic acid decarboxylase) antibodies were negative. With a MODY probability score of 75.5%, genetic testing was performed. Molecular analysis identified a heterozygous pathogenic variant in the GCK gene (c.579+1_579+33del), confirming GCK-MODY (MODY 2). The patient remains asymptomatic and off pharmacological treatment. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: In pediatric and young adult populations, monogenic diabetes should be considered in the differential diagnosis. Caused by mutations in a single gene or chromosomal region, it accounts for 1–5% of diabetes cases and is often underdiagnosed due to phenotypic overlap with type 1 and 2 diabetes. Cohort data show a mean diagnosis age between 12 and 25 years. Maturity-Onset Diabetes of the Young (MODY) is the most common form of monogenic diabetes, with 14 subtypes, mainly linked to GCK, HNF1A, HNF4A, and HNF1B genes. MODY should be suspected in non-obese individuals under 25 years, with a multigenerational history of early-onset diabetes under 25 years, negative autoantibodies, and preserved C-peptide levels within five years of diagnosis. Genetic confirmation enables targeted treatment, family screening, and avoids unnecessary pharmacotherapy. GCK-MODY is the most prevalent subtype, caused by heterozygous inactivating mutations in the gene encoding the enzyme glucokinase. This enzyme acts as a glucose sensor in beta cells and hepatocytes, triggering insulin release. Mutations raise the glucose threshold needed for insulin secretion, resulting in mild, stable hyperglycemia, usually without progression to vascular complications. Final Comments: This case highlights the relevance of early diagnosis of monogenic diabetes. Identifying GCK-MODY impacts therapeutic decisions, prevents overtreatment, and supports genetic counseling for affected families.\n\n\n### de Mascarenhas MW1; de Paula MP1; Bordallo APN1; Mezzomo CD1; Barros LFP1; Petronilho LS1; Cordebel LEF1; Lopes MM1; Neto PFA1; Feitoza LCC1; Vasconcellos JVM1\nCase Presentation: A 7-year-old female with thalassemia minor was referred to endocrinology at 3 years and 6 months due to persistent hyperglycemia. Her mother reported mild polydipsia, without polyuria, weight loss, or polyphagia. The patient was eutrophic (BMI Z-score: +0.36) and had never used antidiabetic medications. Family history included early-onset diabetes in her father, grandfather, and paternal uncle. Fasting glucose ranged from 122–131 mg/dL, and glycated hemoglobin from 6.2% to 6.7%. Anti-GAD (glutamic acid decarboxylase) antibodies were negative. With a MODY probability score of 75.5%, genetic testing was performed. Molecular analysis identified a heterozygous pathogenic variant in the GCK gene (c.579+1_579+33del), confirming GCK-MODY (MODY 2). The patient remains asymptomatic and off pharmacological treatment. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: In pediatric and young adult populations, monogenic diabetes should be considered in the differential diagnosis. Caused by mutations in a single gene or chromosomal region, it accounts for 1–5% of diabetes cases and is often underdiagnosed due to phenotypic overlap with type 1 and 2 diabetes. Cohort data show a mean diagnosis age between 12 and 25 years. Maturity-Onset Diabetes of the Young (MODY) is the most common form of monogenic diabetes, with 14 subtypes, mainly linked to GCK, HNF1A, HNF4A, and HNF1B genes. MODY should be suspected in non-obese individuals under 25 years, with a multigenerational history of early-onset diabetes under 25 years, negative autoantibodies, and preserved C-peptide levels within five years of diagnosis. Genetic confirmation enables targeted treatment, family screening, and avoids unnecessary pharmacotherapy. GCK-MODY is the most prevalent subtype, caused by heterozygous inactivating mutations in the gene encoding the enzyme glucokinase. This enzyme acts as a glucose sensor in beta cells and hepatocytes, triggering insulin release. Mutations raise the glucose threshold needed for insulin secretion, resulting in mild, stable hyperglycemia, usually without progression to vascular complications. Final Comments: This case highlights the relevance of early diagnosis of monogenic diabetes. Identifying GCK-MODY impacts therapeutic decisions, prevents overtreatment, and supports genetic counseling for affected families.\n\n\n### (1) Hospital Federal da Lagoa, Rio de Janeiro, RJ, Brasil\nCase Presentation: A 7-year-old female with thalassemia minor was referred to endocrinology at 3 years and 6 months due to persistent hyperglycemia. Her mother reported mild polydipsia, without polyuria, weight loss, or polyphagia. The patient was eutrophic (BMI Z-score: +0.36) and had never used antidiabetic medications. Family history included early-onset diabetes in her father, grandfather, and paternal uncle. Fasting glucose ranged from 122–131 mg/dL, and glycated hemoglobin from 6.2% to 6.7%. Anti-GAD (glutamic acid decarboxylase) antibodies were negative. With a MODY probability score of 75.5%, genetic testing was performed. Molecular analysis identified a heterozygous pathogenic variant in the GCK gene (c.579+1_579+33del), confirming GCK-MODY (MODY 2). The patient remains asymptomatic and off pharmacological treatment. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: In pediatric and young adult populations, monogenic diabetes should be considered in the differential diagnosis. Caused by mutations in a single gene or chromosomal region, it accounts for 1–5% of diabetes cases and is often underdiagnosed due to phenotypic overlap with type 1 and 2 diabetes. Cohort data show a mean diagnosis age between 12 and 25 years. Maturity-Onset Diabetes of the Young (MODY) is the most common form of monogenic diabetes, with 14 subtypes, mainly linked to GCK, HNF1A, HNF4A, and HNF1B genes. MODY should be suspected in non-obese individuals under 25 years, with a multigenerational history of early-onset diabetes under 25 years, negative autoantibodies, and preserved C-peptide levels within five years of diagnosis. Genetic confirmation enables targeted treatment, family screening, and avoids unnecessary pharmacotherapy. GCK-MODY is the most prevalent subtype, caused by heterozygous inactivating mutations in the gene encoding the enzyme glucokinase. This enzyme acts as a glucose sensor in beta cells and hepatocytes, triggering insulin release. Mutations raise the glucose threshold needed for insulin secretion, resulting in mild, stable hyperglycemia, usually without progression to vascular complications. Final Comments: This case highlights the relevance of early diagnosis of monogenic diabetes. Identifying GCK-MODY impacts therapeutic decisions, prevents overtreatment, and supports genetic counseling for affected families.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—175\nCase Presentation: A 7-year-old female with thalassemia minor was referred to endocrinology at 3 years and 6 months due to persistent hyperglycemia. Her mother reported mild polydipsia, without polyuria, weight loss, or polyphagia. The patient was eutrophic (BMI Z-score: +0.36) and had never used antidiabetic medications. Family history included early-onset diabetes in her father, grandfather, and paternal uncle. Fasting glucose ranged from 122–131 mg/dL, and glycated hemoglobin from 6.2% to 6.7%. Anti-GAD (glutamic acid decarboxylase) antibodies were negative. With a MODY probability score of 75.5%, genetic testing was performed. Molecular analysis identified a heterozygous pathogenic variant in the GCK gene (c.579+1_579+33del), confirming GCK-MODY (MODY 2). The patient remains asymptomatic and off pharmacological treatment. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: In pediatric and young adult populations, monogenic diabetes should be considered in the differential diagnosis. Caused by mutations in a single gene or chromosomal region, it accounts for 1–5% of diabetes cases and is often underdiagnosed due to phenotypic overlap with type 1 and 2 diabetes. Cohort data show a mean diagnosis age between 12 and 25 years. Maturity-Onset Diabetes of the Young (MODY) is the most common form of monogenic diabetes, with 14 subtypes, mainly linked to GCK, HNF1A, HNF4A, and HNF1B genes. MODY should be suspected in non-obese individuals under 25 years, with a multigenerational history of early-onset diabetes under 25 years, negative autoantibodies, and preserved C-peptide levels within five years of diagnosis. Genetic confirmation enables targeted treatment, family screening, and avoids unnecessary pharmacotherapy. GCK-MODY is the most prevalent subtype, caused by heterozygous inactivating mutations in the gene encoding the enzyme glucokinase. This enzyme acts as a glucose sensor in beta cells and hepatocytes, triggering insulin release. Mutations raise the glucose threshold needed for insulin secretion, resulting in mild, stable hyperglycemia, usually without progression to vascular complications. Final Comments: This case highlights the relevance of early diagnosis of monogenic diabetes. Identifying GCK-MODY impacts therapeutic decisions, prevents overtreatment, and supports genetic counseling for affected families.\n\n\n### PO—176 HAIR-AN Syndrome in an Adolescent with Type 2 Diabetes, Hyperandrogenism, and Primary Amenorrhea: A Diagnostic and Therapeutic Challenge\nCase Presentation: A 16-year-old female adolescent was referred for evaluation due to a diagnosis of diabetes, with suspected polycystic ovary syndrome (PCOS). She denied menarche and reported polyuria, polydipsia, polyphagia, and a weight gain of 6 kg over two months. Fasting blood glucose levels ranged between 150–200 mg/dL, glycated hemoglobin A1c (HbA1c) was 9%, there were no episodes of ketoacidosis and was using metformin 1g/day. She denied any personal or family history of delayed pubarche. Physical examination revealed overweight (BMI 25.9 kg/m2), short stature for age (Z-score -2.8), extensive acanthosis nigricans, and severe hirsutism (Ferriman–Gallwey score = 21). Pubertal staging was M5P5. Follow-up tests showed HbA1c of 8.5%, total testosterone 110.53 ng/dL, androstenedione 7.2 ng/mL, normal 17-alpha-hydroxyprogesterone (17-OHP) and dehydroepiandrosterone sulfate (DHEA-S), negative anti-glutamic acid decarboxylase (anti-GAD) antibodies, and bone age consistent with 17 years. Pelvic ultrasonography revealed enlarged ovaries with multiple peripheral cysts and a large follicular cyst. Based on clinical, laboratory, and imaging criteria, a diagnosis of probable HAIR-AN syndrome (a rare and severe PCOS subphenotype characterized by hyperandrogenism, insulin resistance, and acanthosis nigricans) was established. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HAIR-AN syndrome is an uncommon multisystemic disorder, affecting 1–3% of women with hyperandrogenism, and is characterized by cutaneous, endocrine, and reproductive manifestations that have a significant psychosocial impact. Chronic hyperinsulinemia stimulates ovarian androgen production, worsening hirsutism, amenorrhea, and treatment resistance. Differentiating between classic PCOS and HAIR-AN is essential, as the latter presents a more severe phenotype and frequently shows an unsatisfactory therapeutic response. Furthermore, its coexistence with type 2 diabetes during adolescence is associated with a high risk of early-onset metabolic complications. Final Comments: We report the case of a young patient with HAIR-AN syndrome, diabetes, severe hirsutism, and amenorrhea, highlighting the importance of early diagnosis and intervention. Management involves a multidisciplinary approach, including lifestyle modifications, combined oral contraceptives with low-androgenic progestins, metformin, and, when necessary, antiandrogenic agents and other medications for glycemic control. Increasing awareness of this condition is essential to mitigate its clinical and psychosocial impact.\n\n\n### Pontes ALF1; Mainczyk JE1\nCase Presentation: A 16-year-old female adolescent was referred for evaluation due to a diagnosis of diabetes, with suspected polycystic ovary syndrome (PCOS). She denied menarche and reported polyuria, polydipsia, polyphagia, and a weight gain of 6 kg over two months. Fasting blood glucose levels ranged between 150–200 mg/dL, glycated hemoglobin A1c (HbA1c) was 9%, there were no episodes of ketoacidosis and was using metformin 1g/day. She denied any personal or family history of delayed pubarche. Physical examination revealed overweight (BMI 25.9 kg/m2), short stature for age (Z-score -2.8), extensive acanthosis nigricans, and severe hirsutism (Ferriman–Gallwey score = 21). Pubertal staging was M5P5. Follow-up tests showed HbA1c of 8.5%, total testosterone 110.53 ng/dL, androstenedione 7.2 ng/mL, normal 17-alpha-hydroxyprogesterone (17-OHP) and dehydroepiandrosterone sulfate (DHEA-S), negative anti-glutamic acid decarboxylase (anti-GAD) antibodies, and bone age consistent with 17 years. Pelvic ultrasonography revealed enlarged ovaries with multiple peripheral cysts and a large follicular cyst. Based on clinical, laboratory, and imaging criteria, a diagnosis of probable HAIR-AN syndrome (a rare and severe PCOS subphenotype characterized by hyperandrogenism, insulin resistance, and acanthosis nigricans) was established. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HAIR-AN syndrome is an uncommon multisystemic disorder, affecting 1–3% of women with hyperandrogenism, and is characterized by cutaneous, endocrine, and reproductive manifestations that have a significant psychosocial impact. Chronic hyperinsulinemia stimulates ovarian androgen production, worsening hirsutism, amenorrhea, and treatment resistance. Differentiating between classic PCOS and HAIR-AN is essential, as the latter presents a more severe phenotype and frequently shows an unsatisfactory therapeutic response. Furthermore, its coexistence with type 2 diabetes during adolescence is associated with a high risk of early-onset metabolic complications. Final Comments: We report the case of a young patient with HAIR-AN syndrome, diabetes, severe hirsutism, and amenorrhea, highlighting the importance of early diagnosis and intervention. Management involves a multidisciplinary approach, including lifestyle modifications, combined oral contraceptives with low-androgenic progestins, metformin, and, when necessary, antiandrogenic agents and other medications for glycemic control. Increasing awareness of this condition is essential to mitigate its clinical and psychosocial impact.\n\n\n### (1) Serviço de Endocrinologia do Hospital Universitário Antônio Pedro, Universidade Federal Fluminense, Niterói, RJ, Brasil\nCase Presentation: A 16-year-old female adolescent was referred for evaluation due to a diagnosis of diabetes, with suspected polycystic ovary syndrome (PCOS). She denied menarche and reported polyuria, polydipsia, polyphagia, and a weight gain of 6 kg over two months. Fasting blood glucose levels ranged between 150–200 mg/dL, glycated hemoglobin A1c (HbA1c) was 9%, there were no episodes of ketoacidosis and was using metformin 1g/day. She denied any personal or family history of delayed pubarche. Physical examination revealed overweight (BMI 25.9 kg/m2), short stature for age (Z-score -2.8), extensive acanthosis nigricans, and severe hirsutism (Ferriman–Gallwey score = 21). Pubertal staging was M5P5. Follow-up tests showed HbA1c of 8.5%, total testosterone 110.53 ng/dL, androstenedione 7.2 ng/mL, normal 17-alpha-hydroxyprogesterone (17-OHP) and dehydroepiandrosterone sulfate (DHEA-S), negative anti-glutamic acid decarboxylase (anti-GAD) antibodies, and bone age consistent with 17 years. Pelvic ultrasonography revealed enlarged ovaries with multiple peripheral cysts and a large follicular cyst. Based on clinical, laboratory, and imaging criteria, a diagnosis of probable HAIR-AN syndrome (a rare and severe PCOS subphenotype characterized by hyperandrogenism, insulin resistance, and acanthosis nigricans) was established. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HAIR-AN syndrome is an uncommon multisystemic disorder, affecting 1–3% of women with hyperandrogenism, and is characterized by cutaneous, endocrine, and reproductive manifestations that have a significant psychosocial impact. Chronic hyperinsulinemia stimulates ovarian androgen production, worsening hirsutism, amenorrhea, and treatment resistance. Differentiating between classic PCOS and HAIR-AN is essential, as the latter presents a more severe phenotype and frequently shows an unsatisfactory therapeutic response. Furthermore, its coexistence with type 2 diabetes during adolescence is associated with a high risk of early-onset metabolic complications. Final Comments: We report the case of a young patient with HAIR-AN syndrome, diabetes, severe hirsutism, and amenorrhea, highlighting the importance of early diagnosis and intervention. Management involves a multidisciplinary approach, including lifestyle modifications, combined oral contraceptives with low-androgenic progestins, metformin, and, when necessary, antiandrogenic agents and other medications for glycemic control. Increasing awareness of this condition is essential to mitigate its clinical and psychosocial impact.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—176\nCase Presentation: A 16-year-old female adolescent was referred for evaluation due to a diagnosis of diabetes, with suspected polycystic ovary syndrome (PCOS). She denied menarche and reported polyuria, polydipsia, polyphagia, and a weight gain of 6 kg over two months. Fasting blood glucose levels ranged between 150–200 mg/dL, glycated hemoglobin A1c (HbA1c) was 9%, there were no episodes of ketoacidosis and was using metformin 1g/day. She denied any personal or family history of delayed pubarche. Physical examination revealed overweight (BMI 25.9 kg/m2), short stature for age (Z-score -2.8), extensive acanthosis nigricans, and severe hirsutism (Ferriman–Gallwey score = 21). Pubertal staging was M5P5. Follow-up tests showed HbA1c of 8.5%, total testosterone 110.53 ng/dL, androstenedione 7.2 ng/mL, normal 17-alpha-hydroxyprogesterone (17-OHP) and dehydroepiandrosterone sulfate (DHEA-S), negative anti-glutamic acid decarboxylase (anti-GAD) antibodies, and bone age consistent with 17 years. Pelvic ultrasonography revealed enlarged ovaries with multiple peripheral cysts and a large follicular cyst. Based on clinical, laboratory, and imaging criteria, a diagnosis of probable HAIR-AN syndrome (a rare and severe PCOS subphenotype characterized by hyperandrogenism, insulin resistance, and acanthosis nigricans) was established. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: HAIR-AN syndrome is an uncommon multisystemic disorder, affecting 1–3% of women with hyperandrogenism, and is characterized by cutaneous, endocrine, and reproductive manifestations that have a significant psychosocial impact. Chronic hyperinsulinemia stimulates ovarian androgen production, worsening hirsutism, amenorrhea, and treatment resistance. Differentiating between classic PCOS and HAIR-AN is essential, as the latter presents a more severe phenotype and frequently shows an unsatisfactory therapeutic response. Furthermore, its coexistence with type 2 diabetes during adolescence is associated with a high risk of early-onset metabolic complications. Final Comments: We report the case of a young patient with HAIR-AN syndrome, diabetes, severe hirsutism, and amenorrhea, highlighting the importance of early diagnosis and intervention. Management involves a multidisciplinary approach, including lifestyle modifications, combined oral contraceptives with low-androgenic progestins, metformin, and, when necessary, antiandrogenic agents and other medications for glycemic control. Increasing awareness of this condition is essential to mitigate its clinical and psychosocial impact.\n\n\n### PO—177 Impact of Education on the Use of Automated Insulin Delivery System in Pediatric Patient with Type 1 Diabetes Mellitus\nCase Presentation: C.C.R., male, 11 years old, diagnosed with Type 1 Diabetes Mellitus (T1DM) for 6 years, using an Automated Insulin Delivery (AID) system for 6 months. During the first month of AID therapy, the patient experienced significant challenges with the use of the Continuous Glucose Monitoring (CGM), including bleeding at the application site, which led to premature removal of the device. Additionally, CGM glucose readings often did not align with capillary blood glucose levels, and recurrent episodes of subcutaneous catheter bending caused persistent hyperglycemia following infusion set installation. These issues adversely affected treatment adherence and glycemic control, created emotional strain, and prompted the family to seek support from a diabetes educator. The patient underwent three months of educational follow-up sessions. These sessions focused on guidance regarding sensor and infusion set application techniques, selection of appropriate insertion sites, and review of optimal CGM calibration timing. Following these interventions, the patient increased the time of sensor use, increased time in automatic mode (SmartGuard), and eliminated catheter kink episodes. Glycemic control improved without an increase in hypoglycemic episodes. Table 1 presents the therapy management and glycemic control parameters during the first month and after six months of AID therapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Since the initiation of AID therapy, the patient demonstrated glycemic control within the targets recommended by ISPAD and SBD guidelines. However, his treatment required continuous support and caused emotional stress for the entire family. According to the American Diabetes Association (ADA), effective educational interventions involve consistent parental engagement, problem-solving techniques, and motivational sessions. In this context, the diabetes education provided played a crucial role in overcoming technical and behavioral barriers to therapy management. Final Comments: The personalized educational interventions not only addressed the initial challenges but also led to improved glycemic control. This case highlights the importance of an individualized educational approach for patients undergoing AID therapy, particularly in the presence of complications that may compromise treatment efficacy.Table 1 (abstract PO-177)Therapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.*GMI: Glucose Management Indicator.\nTherapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.\n*GMI: Glucose Management Indicator.\n\n\n### De Leao AAP1, 2; Oliveira EH2; Matos DA2; Lemos M2; Branco FC2\nCase Presentation: C.C.R., male, 11 years old, diagnosed with Type 1 Diabetes Mellitus (T1DM) for 6 years, using an Automated Insulin Delivery (AID) system for 6 months. During the first month of AID therapy, the patient experienced significant challenges with the use of the Continuous Glucose Monitoring (CGM), including bleeding at the application site, which led to premature removal of the device. Additionally, CGM glucose readings often did not align with capillary blood glucose levels, and recurrent episodes of subcutaneous catheter bending caused persistent hyperglycemia following infusion set installation. These issues adversely affected treatment adherence and glycemic control, created emotional strain, and prompted the family to seek support from a diabetes educator. The patient underwent three months of educational follow-up sessions. These sessions focused on guidance regarding sensor and infusion set application techniques, selection of appropriate insertion sites, and review of optimal CGM calibration timing. Following these interventions, the patient increased the time of sensor use, increased time in automatic mode (SmartGuard), and eliminated catheter kink episodes. Glycemic control improved without an increase in hypoglycemic episodes. Table 1 presents the therapy management and glycemic control parameters during the first month and after six months of AID therapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Since the initiation of AID therapy, the patient demonstrated glycemic control within the targets recommended by ISPAD and SBD guidelines. However, his treatment required continuous support and caused emotional stress for the entire family. According to the American Diabetes Association (ADA), effective educational interventions involve consistent parental engagement, problem-solving techniques, and motivational sessions. In this context, the diabetes education provided played a crucial role in overcoming technical and behavioral barriers to therapy management. Final Comments: The personalized educational interventions not only addressed the initial challenges but also led to improved glycemic control. This case highlights the importance of an individualized educational approach for patients undergoing AID therapy, particularly in the presence of complications that may compromise treatment efficacy.Table 1 (abstract PO-177)Therapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.*GMI: Glucose Management Indicator.\nTherapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.\n*GMI: Glucose Management Indicator.\n\n\n### (1) Hospital de Clínicas- Universidade Federal do Paraná; (2) Medtronic comercial Ltda, Brasil;\nCase Presentation: C.C.R., male, 11 years old, diagnosed with Type 1 Diabetes Mellitus (T1DM) for 6 years, using an Automated Insulin Delivery (AID) system for 6 months. During the first month of AID therapy, the patient experienced significant challenges with the use of the Continuous Glucose Monitoring (CGM), including bleeding at the application site, which led to premature removal of the device. Additionally, CGM glucose readings often did not align with capillary blood glucose levels, and recurrent episodes of subcutaneous catheter bending caused persistent hyperglycemia following infusion set installation. These issues adversely affected treatment adherence and glycemic control, created emotional strain, and prompted the family to seek support from a diabetes educator. The patient underwent three months of educational follow-up sessions. These sessions focused on guidance regarding sensor and infusion set application techniques, selection of appropriate insertion sites, and review of optimal CGM calibration timing. Following these interventions, the patient increased the time of sensor use, increased time in automatic mode (SmartGuard), and eliminated catheter kink episodes. Glycemic control improved without an increase in hypoglycemic episodes. Table 1 presents the therapy management and glycemic control parameters during the first month and after six months of AID therapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Since the initiation of AID therapy, the patient demonstrated glycemic control within the targets recommended by ISPAD and SBD guidelines. However, his treatment required continuous support and caused emotional stress for the entire family. According to the American Diabetes Association (ADA), effective educational interventions involve consistent parental engagement, problem-solving techniques, and motivational sessions. In this context, the diabetes education provided played a crucial role in overcoming technical and behavioral barriers to therapy management. Final Comments: The personalized educational interventions not only addressed the initial challenges but also led to improved glycemic control. This case highlights the importance of an individualized educational approach for patients undergoing AID therapy, particularly in the presence of complications that may compromise treatment efficacy.Table 1 (abstract PO-177)Therapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.*GMI: Glucose Management Indicator.\nTherapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.\n*GMI: Glucose Management Indicator.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—177\nCase Presentation: C.C.R., male, 11 years old, diagnosed with Type 1 Diabetes Mellitus (T1DM) for 6 years, using an Automated Insulin Delivery (AID) system for 6 months. During the first month of AID therapy, the patient experienced significant challenges with the use of the Continuous Glucose Monitoring (CGM), including bleeding at the application site, which led to premature removal of the device. Additionally, CGM glucose readings often did not align with capillary blood glucose levels, and recurrent episodes of subcutaneous catheter bending caused persistent hyperglycemia following infusion set installation. These issues adversely affected treatment adherence and glycemic control, created emotional strain, and prompted the family to seek support from a diabetes educator. The patient underwent three months of educational follow-up sessions. These sessions focused on guidance regarding sensor and infusion set application techniques, selection of appropriate insertion sites, and review of optimal CGM calibration timing. Following these interventions, the patient increased the time of sensor use, increased time in automatic mode (SmartGuard), and eliminated catheter kink episodes. Glycemic control improved without an increase in hypoglycemic episodes. Table 1 presents the therapy management and glycemic control parameters during the first month and after six months of AID therapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Since the initiation of AID therapy, the patient demonstrated glycemic control within the targets recommended by ISPAD and SBD guidelines. However, his treatment required continuous support and caused emotional stress for the entire family. According to the American Diabetes Association (ADA), effective educational interventions involve consistent parental engagement, problem-solving techniques, and motivational sessions. In this context, the diabetes education provided played a crucial role in overcoming technical and behavioral barriers to therapy management. Final Comments: The personalized educational interventions not only addressed the initial challenges but also led to improved glycemic control. This case highlights the importance of an individualized educational approach for patients undergoing AID therapy, particularly in the presence of complications that may compromise treatment efficacy.Table 1 (abstract PO-177)Therapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.*GMI: Glucose Management Indicator.\nTherapy Management and Glycemic Control Parameters Over 6 Months of Automated Insulin Delivery System Use.\n*GMI: Glucose Management Indicator.\n\n\n### PO—178 Improved Glycemia but Unchanged Quality of Life and Persistent Parental Overprotection in Adolescents Using Continuous Glucose Monitoring in a Low-Resource Context\nIntroduction: Adolescence poses distinct challenges for type 1 diabetes (T1D) management, which are exacerbated by structural barriers in resource-limited settings. Continuous glucose monitoring (CGM) may address the dual burden of metabolic and quality of life (QoL) concerns. Objective: To characterize the clinical profile and QoL of adolescents with T1D in a low-resource setting and to evaluate the impact of CGM use. Methods: In this 20-week longitudinal study, 11 adolescents with T1D (aged 10–17 years) from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data collection included standardized clinical assessments, structured interviews and medical record review. QoL was measured at baseline and post-intervention through validated Brazilian version of the IQVJD questionnaire (1–5 Likert scale, higher scores indicating poorer QoL). Results: Participants had a mean age of 14.2±1.8 years, were predominantly female (81.8%), of mixed race (54.6%), mean diabetes duration of 6.4±2.4 years. Most (63.4%) were from low-income households (1–2 minimum wages). All were enrolled in school at age-appropriate levels; 45.5% of caregivers had a college degree. Despite optimized basal–bolus insulin therapy (1.2±0.5 IU/kg/day, 39.9±9.6% basal), baseline HbA1c was 9.8±2.0%, with high rates of self-reported anxiety (72.3%) and depressive symptoms (18.2%). Baseline global QoL score was 2.3±0.4, with particular challenges in the “impact” domain (2.4±0.4). The highest individual item score was perceived parental overprotection (4.6±0.8). In contrast, “satisfaction” was least affected (2.1±0.5). After CGM use, glycemic metrics improved: glucose management indicator 8.8±1.4%, active time 72.9±25.0%, time in range 47.7±21.1%, time above range 46.2±31.1%, time below range 6.1±4.6%, and glucose variability 43.8 ± 7.7%. In contrast, no significant differences were observed in post-intervention global or domain-specific QoL scores. Small increases were seen in “satisfaction” (+5.8%), “impact” (+4.5%) and “concerns” (+2.8%), while perceived parental overprotection showed a slight reduction (−8%) but remained elevated. Conclusion: In adolescents with T1D from a low-resource setting, CGM use improved glycemic outcomes but did not significantly affect QoL. Persistent perceptions of parental overprotection highlight the need for integrated psychosocial support alongside technological interventions to optimize diabetes care in adolescents.\n\n\n### Freitas JPA1; Lima LPS1; Monteiro NC2; Machado MLP3; Gama FG4; Silva VDS4; Martins LM1; da Silva DG4; Silveira MSVN5; Trevisan TL6; Varela MG7; de Santana NO2\nIntroduction: Adolescence poses distinct challenges for type 1 diabetes (T1D) management, which are exacerbated by structural barriers in resource-limited settings. Continuous glucose monitoring (CGM) may address the dual burden of metabolic and quality of life (QoL) concerns. Objective: To characterize the clinical profile and QoL of adolescents with T1D in a low-resource setting and to evaluate the impact of CGM use. Methods: In this 20-week longitudinal study, 11 adolescents with T1D (aged 10–17 years) from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data collection included standardized clinical assessments, structured interviews and medical record review. QoL was measured at baseline and post-intervention through validated Brazilian version of the IQVJD questionnaire (1–5 Likert scale, higher scores indicating poorer QoL). Results: Participants had a mean age of 14.2±1.8 years, were predominantly female (81.8%), of mixed race (54.6%), mean diabetes duration of 6.4±2.4 years. Most (63.4%) were from low-income households (1–2 minimum wages). All were enrolled in school at age-appropriate levels; 45.5% of caregivers had a college degree. Despite optimized basal–bolus insulin therapy (1.2±0.5 IU/kg/day, 39.9±9.6% basal), baseline HbA1c was 9.8±2.0%, with high rates of self-reported anxiety (72.3%) and depressive symptoms (18.2%). Baseline global QoL score was 2.3±0.4, with particular challenges in the “impact” domain (2.4±0.4). The highest individual item score was perceived parental overprotection (4.6±0.8). In contrast, “satisfaction” was least affected (2.1±0.5). After CGM use, glycemic metrics improved: glucose management indicator 8.8±1.4%, active time 72.9±25.0%, time in range 47.7±21.1%, time above range 46.2±31.1%, time below range 6.1±4.6%, and glucose variability 43.8 ± 7.7%. In contrast, no significant differences were observed in post-intervention global or domain-specific QoL scores. Small increases were seen in “satisfaction” (+5.8%), “impact” (+4.5%) and “concerns” (+2.8%), while perceived parental overprotection showed a slight reduction (−8%) but remained elevated. Conclusion: In adolescents with T1D from a low-resource setting, CGM use improved glycemic outcomes but did not significantly affect QoL. Persistent perceptions of parental overprotection highlight the need for integrated psychosocial support alongside technological interventions to optimize diabetes care in adolescents.\n\n\n### (1) Department of Medicine, Federal University of Sergipe, Aracaju, SE, Brasil; (2) Post-graduate Program in Health Sciences, Federal University of Sergipe, Aracaju, SE, Brasil; (3) Private practice, Aracaju, SE, Brasil; (4) Post-graduate Program in Nutrition Science, Federal University of Sergipe, São Cristóvão, SE, Brasil; (5) Mental Health and Diabetes Institute, Campinas, SP, Brasil; (6) Private Practice, Itajaí, SC, Brasil; (7) Private Practice, Aracaju, SE, Brasil\nIntroduction: Adolescence poses distinct challenges for type 1 diabetes (T1D) management, which are exacerbated by structural barriers in resource-limited settings. Continuous glucose monitoring (CGM) may address the dual burden of metabolic and quality of life (QoL) concerns. Objective: To characterize the clinical profile and QoL of adolescents with T1D in a low-resource setting and to evaluate the impact of CGM use. Methods: In this 20-week longitudinal study, 11 adolescents with T1D (aged 10–17 years) from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data collection included standardized clinical assessments, structured interviews and medical record review. QoL was measured at baseline and post-intervention through validated Brazilian version of the IQVJD questionnaire (1–5 Likert scale, higher scores indicating poorer QoL). Results: Participants had a mean age of 14.2±1.8 years, were predominantly female (81.8%), of mixed race (54.6%), mean diabetes duration of 6.4±2.4 years. Most (63.4%) were from low-income households (1–2 minimum wages). All were enrolled in school at age-appropriate levels; 45.5% of caregivers had a college degree. Despite optimized basal–bolus insulin therapy (1.2±0.5 IU/kg/day, 39.9±9.6% basal), baseline HbA1c was 9.8±2.0%, with high rates of self-reported anxiety (72.3%) and depressive symptoms (18.2%). Baseline global QoL score was 2.3±0.4, with particular challenges in the “impact” domain (2.4±0.4). The highest individual item score was perceived parental overprotection (4.6±0.8). In contrast, “satisfaction” was least affected (2.1±0.5). After CGM use, glycemic metrics improved: glucose management indicator 8.8±1.4%, active time 72.9±25.0%, time in range 47.7±21.1%, time above range 46.2±31.1%, time below range 6.1±4.6%, and glucose variability 43.8 ± 7.7%. In contrast, no significant differences were observed in post-intervention global or domain-specific QoL scores. Small increases were seen in “satisfaction” (+5.8%), “impact” (+4.5%) and “concerns” (+2.8%), while perceived parental overprotection showed a slight reduction (−8%) but remained elevated. Conclusion: In adolescents with T1D from a low-resource setting, CGM use improved glycemic outcomes but did not significantly affect QoL. Persistent perceptions of parental overprotection highlight the need for integrated psychosocial support alongside technological interventions to optimize diabetes care in adolescents.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—178\nIntroduction: Adolescence poses distinct challenges for type 1 diabetes (T1D) management, which are exacerbated by structural barriers in resource-limited settings. Continuous glucose monitoring (CGM) may address the dual burden of metabolic and quality of life (QoL) concerns. Objective: To characterize the clinical profile and QoL of adolescents with T1D in a low-resource setting and to evaluate the impact of CGM use. Methods: In this 20-week longitudinal study, 11 adolescents with T1D (aged 10–17 years) from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data collection included standardized clinical assessments, structured interviews and medical record review. QoL was measured at baseline and post-intervention through validated Brazilian version of the IQVJD questionnaire (1–5 Likert scale, higher scores indicating poorer QoL). Results: Participants had a mean age of 14.2±1.8 years, were predominantly female (81.8%), of mixed race (54.6%), mean diabetes duration of 6.4±2.4 years. Most (63.4%) were from low-income households (1–2 minimum wages). All were enrolled in school at age-appropriate levels; 45.5% of caregivers had a college degree. Despite optimized basal–bolus insulin therapy (1.2±0.5 IU/kg/day, 39.9±9.6% basal), baseline HbA1c was 9.8±2.0%, with high rates of self-reported anxiety (72.3%) and depressive symptoms (18.2%). Baseline global QoL score was 2.3±0.4, with particular challenges in the “impact” domain (2.4±0.4). The highest individual item score was perceived parental overprotection (4.6±0.8). In contrast, “satisfaction” was least affected (2.1±0.5). After CGM use, glycemic metrics improved: glucose management indicator 8.8±1.4%, active time 72.9±25.0%, time in range 47.7±21.1%, time above range 46.2±31.1%, time below range 6.1±4.6%, and glucose variability 43.8 ± 7.7%. In contrast, no significant differences were observed in post-intervention global or domain-specific QoL scores. Small increases were seen in “satisfaction” (+5.8%), “impact” (+4.5%) and “concerns” (+2.8%), while perceived parental overprotection showed a slight reduction (−8%) but remained elevated. Conclusion: In adolescents with T1D from a low-resource setting, CGM use improved glycemic outcomes but did not significantly affect QoL. Persistent perceptions of parental overprotection highlight the need for integrated psychosocial support alongside technological interventions to optimize diabetes care in adolescents.\n\n\n### PO—180 Metabolic Abnormalities and Changes in Body Composition May Be Identified Before Puberty in Familial Partial Lipodystrophy Type 2\nIntroduction: Familial Partial Lipodystrophy Type 2 (FPLD2) is a rare disease characterized by the lack of subcutaneous fat in the limbs and trunk, and fat accumulation in face, cervical region and pubic areas (cushingoid appearance). It is associated with insulin resistance and metabolic complications such as diabetes mellitus, hypertriglyceridemia, and metabolic-associated steatosis liver disease (MASLD). FPLD2 is an autosomal dominant form of familial partial lipodystrophy caused by pathogenic variants in LMNA gene. It is stablished in the literature that changes in fat distribution usually starts from puberty or later in adult life. Objective: To describe a case series of children and adolescents with FPLD2. Methods: A cross-sectional study of children and adolescents identified through cascade screening from index adult cases followed in a lipodystrophy referral center. Clinical and laboratory data and genetic tests were obtained from medical records. Body composition analysis was performed (above two years old) through measurements of thigh skinfold thickness (TST) and dual-energy X-ray absorptiometry (DXA), and compared to a healthy group, matched for age, sex and body mass index (BMI). Percentage (%) of fat in the lower limbs (LL) and fat mass ratio (FMR) were obtained from DXA. All of the patient guardians gave their explicit written consent to publish the patients’ information in an open access journal. Results: All patients identified were included: six patients (5 girls) four with c.1744C>T and two with c.1444C>T LMNA variant. Case 1: A 10 months old girl with high-density lipoprotein cholesterol (HDL-c) 35mg/dl and triglycerides 227mg/dl. Case 2: A 1yo girl with no metabolic abnormalities. Case 3: A 8yo girl with HDL-c 40mg/dl, triglycerides 125mg/dl and HbA1c 5,8%, but no difference in body composition compared to control. Case 4: A 10yo boy, prepubertal, without metabolic abnormalities, but TST of 14mm, FMR 1,06, and % fat LL 34,7 vs. control 22mm, 0,72 and 42,4% respectively. Case 5: A 15yo girl without metabolic abnormalities, but TST of 7mm, % fat LL 23,2 and FMR 1,42 vs. control 37mm, 40,0% and 0,83 respectively. Case 6: A 15yo girl with menstrual irregularity, cushingoid appearance, severe acanthosis nigricans, BMI 29,7kg/m (SDS +2,19), TST 10mm, adiposity LL 21% and FMR 1,47 vs. control 26mm, 40,5% and 0,96 respectively. Metabolic abnormalities were HDL-c 26,3mg/dl, triglycerides 223mg/dl, insulin 58,3UI/mL, HbA1c 5,8%, and MASLD. Conclusion: This study suggests that metabolic abnormalities and changes in body composition may arise before puberty, and TST and DXA may be useful for diagnosis of FPLD2 in children.\n\n\n### Sales MTA1; Boris NP1; Lopes FKM1; Flor AC1; Montenegro APDR1; Cortez VOF1; Júnior RMM1\nIntroduction: Familial Partial Lipodystrophy Type 2 (FPLD2) is a rare disease characterized by the lack of subcutaneous fat in the limbs and trunk, and fat accumulation in face, cervical region and pubic areas (cushingoid appearance). It is associated with insulin resistance and metabolic complications such as diabetes mellitus, hypertriglyceridemia, and metabolic-associated steatosis liver disease (MASLD). FPLD2 is an autosomal dominant form of familial partial lipodystrophy caused by pathogenic variants in LMNA gene. It is stablished in the literature that changes in fat distribution usually starts from puberty or later in adult life. Objective: To describe a case series of children and adolescents with FPLD2. Methods: A cross-sectional study of children and adolescents identified through cascade screening from index adult cases followed in a lipodystrophy referral center. Clinical and laboratory data and genetic tests were obtained from medical records. Body composition analysis was performed (above two years old) through measurements of thigh skinfold thickness (TST) and dual-energy X-ray absorptiometry (DXA), and compared to a healthy group, matched for age, sex and body mass index (BMI). Percentage (%) of fat in the lower limbs (LL) and fat mass ratio (FMR) were obtained from DXA. All of the patient guardians gave their explicit written consent to publish the patients’ information in an open access journal. Results: All patients identified were included: six patients (5 girls) four with c.1744C>T and two with c.1444C>T LMNA variant. Case 1: A 10 months old girl with high-density lipoprotein cholesterol (HDL-c) 35mg/dl and triglycerides 227mg/dl. Case 2: A 1yo girl with no metabolic abnormalities. Case 3: A 8yo girl with HDL-c 40mg/dl, triglycerides 125mg/dl and HbA1c 5,8%, but no difference in body composition compared to control. Case 4: A 10yo boy, prepubertal, without metabolic abnormalities, but TST of 14mm, FMR 1,06, and % fat LL 34,7 vs. control 22mm, 0,72 and 42,4% respectively. Case 5: A 15yo girl without metabolic abnormalities, but TST of 7mm, % fat LL 23,2 and FMR 1,42 vs. control 37mm, 40,0% and 0,83 respectively. Case 6: A 15yo girl with menstrual irregularity, cushingoid appearance, severe acanthosis nigricans, BMI 29,7kg/m (SDS +2,19), TST 10mm, adiposity LL 21% and FMR 1,47 vs. control 26mm, 40,5% and 0,96 respectively. Metabolic abnormalities were HDL-c 26,3mg/dl, triglycerides 223mg/dl, insulin 58,3UI/mL, HbA1c 5,8%, and MASLD. Conclusion: This study suggests that metabolic abnormalities and changes in body composition may arise before puberty, and TST and DXA may be useful for diagnosis of FPLD2 in children.\n\n\n### (1) Hospital Universitário Walter Cantídio, Fortaleza, CE, Brasil\nIntroduction: Familial Partial Lipodystrophy Type 2 (FPLD2) is a rare disease characterized by the lack of subcutaneous fat in the limbs and trunk, and fat accumulation in face, cervical region and pubic areas (cushingoid appearance). It is associated with insulin resistance and metabolic complications such as diabetes mellitus, hypertriglyceridemia, and metabolic-associated steatosis liver disease (MASLD). FPLD2 is an autosomal dominant form of familial partial lipodystrophy caused by pathogenic variants in LMNA gene. It is stablished in the literature that changes in fat distribution usually starts from puberty or later in adult life. Objective: To describe a case series of children and adolescents with FPLD2. Methods: A cross-sectional study of children and adolescents identified through cascade screening from index adult cases followed in a lipodystrophy referral center. Clinical and laboratory data and genetic tests were obtained from medical records. Body composition analysis was performed (above two years old) through measurements of thigh skinfold thickness (TST) and dual-energy X-ray absorptiometry (DXA), and compared to a healthy group, matched for age, sex and body mass index (BMI). Percentage (%) of fat in the lower limbs (LL) and fat mass ratio (FMR) were obtained from DXA. All of the patient guardians gave their explicit written consent to publish the patients’ information in an open access journal. Results: All patients identified were included: six patients (5 girls) four with c.1744C>T and two with c.1444C>T LMNA variant. Case 1: A 10 months old girl with high-density lipoprotein cholesterol (HDL-c) 35mg/dl and triglycerides 227mg/dl. Case 2: A 1yo girl with no metabolic abnormalities. Case 3: A 8yo girl with HDL-c 40mg/dl, triglycerides 125mg/dl and HbA1c 5,8%, but no difference in body composition compared to control. Case 4: A 10yo boy, prepubertal, without metabolic abnormalities, but TST of 14mm, FMR 1,06, and % fat LL 34,7 vs. control 22mm, 0,72 and 42,4% respectively. Case 5: A 15yo girl without metabolic abnormalities, but TST of 7mm, % fat LL 23,2 and FMR 1,42 vs. control 37mm, 40,0% and 0,83 respectively. Case 6: A 15yo girl with menstrual irregularity, cushingoid appearance, severe acanthosis nigricans, BMI 29,7kg/m (SDS +2,19), TST 10mm, adiposity LL 21% and FMR 1,47 vs. control 26mm, 40,5% and 0,96 respectively. Metabolic abnormalities were HDL-c 26,3mg/dl, triglycerides 223mg/dl, insulin 58,3UI/mL, HbA1c 5,8%, and MASLD. Conclusion: This study suggests that metabolic abnormalities and changes in body composition may arise before puberty, and TST and DXA may be useful for diagnosis of FPLD2 in children.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—180\nIntroduction: Familial Partial Lipodystrophy Type 2 (FPLD2) is a rare disease characterized by the lack of subcutaneous fat in the limbs and trunk, and fat accumulation in face, cervical region and pubic areas (cushingoid appearance). It is associated with insulin resistance and metabolic complications such as diabetes mellitus, hypertriglyceridemia, and metabolic-associated steatosis liver disease (MASLD). FPLD2 is an autosomal dominant form of familial partial lipodystrophy caused by pathogenic variants in LMNA gene. It is stablished in the literature that changes in fat distribution usually starts from puberty or later in adult life. Objective: To describe a case series of children and adolescents with FPLD2. Methods: A cross-sectional study of children and adolescents identified through cascade screening from index adult cases followed in a lipodystrophy referral center. Clinical and laboratory data and genetic tests were obtained from medical records. Body composition analysis was performed (above two years old) through measurements of thigh skinfold thickness (TST) and dual-energy X-ray absorptiometry (DXA), and compared to a healthy group, matched for age, sex and body mass index (BMI). Percentage (%) of fat in the lower limbs (LL) and fat mass ratio (FMR) were obtained from DXA. All of the patient guardians gave their explicit written consent to publish the patients’ information in an open access journal. Results: All patients identified were included: six patients (5 girls) four with c.1744C>T and two with c.1444C>T LMNA variant. Case 1: A 10 months old girl with high-density lipoprotein cholesterol (HDL-c) 35mg/dl and triglycerides 227mg/dl. Case 2: A 1yo girl with no metabolic abnormalities. Case 3: A 8yo girl with HDL-c 40mg/dl, triglycerides 125mg/dl and HbA1c 5,8%, but no difference in body composition compared to control. Case 4: A 10yo boy, prepubertal, without metabolic abnormalities, but TST of 14mm, FMR 1,06, and % fat LL 34,7 vs. control 22mm, 0,72 and 42,4% respectively. Case 5: A 15yo girl without metabolic abnormalities, but TST of 7mm, % fat LL 23,2 and FMR 1,42 vs. control 37mm, 40,0% and 0,83 respectively. Case 6: A 15yo girl with menstrual irregularity, cushingoid appearance, severe acanthosis nigricans, BMI 29,7kg/m (SDS +2,19), TST 10mm, adiposity LL 21% and FMR 1,47 vs. control 26mm, 40,5% and 0,96 respectively. Metabolic abnormalities were HDL-c 26,3mg/dl, triglycerides 223mg/dl, insulin 58,3UI/mL, HbA1c 5,8%, and MASLD. Conclusion: This study suggests that metabolic abnormalities and changes in body composition may arise before puberty, and TST and DXA may be useful for diagnosis of FPLD2 in children.\n\n\n### PO—181 Necrobiosis Lipoidica Diabeticorum in a Adolescent with Type 2 Diabetes Mellitus\nCase Presentation: A 13-year-old girl presented with an 5-years history of brownish-red plaques with atrophic center in the extensor face of the lower limbs and hands bilaterally. She also had overweight and severe acanthosis nigricans. Skin biopsy was performed and showed a infiltrate composed of histiocytes and multinucleated giant cells located in the interstitium of the superficial to deep dermis and subcutaneum with mucin deposition and collagen degeneration with formation of candle-flame eosinophilic structures. Furthermore there was perivascular monomorphonuclear infiltrate and in appendages. Diagnosis of necrobiosis lipoidica diabeticorum (NLD) was established. Fasting blood glucose and glycated hemoglobin (HbA1c) were 400mg/dl and 19.4% respectively. C-peptide was 5,0ng/ml (reference range 1,1-4,4ng/ml) and type 1 diabetes mellitus (T1DM) autoantibodies were negative. She has polyuria, polydipsia and weight loss of 5kg started a month ago. She was initially treated with insulin, but reached good glycemic control (HbA1c 5,7%) with metformin 1.5g/day alone thereafter, with improvement of skin lesions especially on the hands. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: We present a adolescent with NLD lesions, including atypical areas (hands), and type 2 diabetes mellitus (T2DM). Diagnosis of T2DM was performed from diagnosis NLD which had improvement with glycemic control. NLD is a rare chronic granulomatous dermatitis that manifests as brownish-red plaques with atrophic yellowish centers with tendency to ulceration typically in the pretibial region. Affects predominantly young women (20–30yo) with T1DM. Prevalence of NLD is 0.3–1.2% in patients with diabetes. Currently there is no consensus on the treatment for this disease. Final Comments: We report a rare presentation of NLD with typical and atypical affected areas in a T2DM teenager. As far as we know this is the first description in an adolescent with T2DM in Brazil.\n\n\n### Sales MTA1; Martins LV2; Sousa MS1; Aragão LFF1; de Carvalho AB1; de Sena MIF1; Montenegro APRD1; Júnior RMM1\nCase Presentation: A 13-year-old girl presented with an 5-years history of brownish-red plaques with atrophic center in the extensor face of the lower limbs and hands bilaterally. She also had overweight and severe acanthosis nigricans. Skin biopsy was performed and showed a infiltrate composed of histiocytes and multinucleated giant cells located in the interstitium of the superficial to deep dermis and subcutaneum with mucin deposition and collagen degeneration with formation of candle-flame eosinophilic structures. Furthermore there was perivascular monomorphonuclear infiltrate and in appendages. Diagnosis of necrobiosis lipoidica diabeticorum (NLD) was established. Fasting blood glucose and glycated hemoglobin (HbA1c) were 400mg/dl and 19.4% respectively. C-peptide was 5,0ng/ml (reference range 1,1-4,4ng/ml) and type 1 diabetes mellitus (T1DM) autoantibodies were negative. She has polyuria, polydipsia and weight loss of 5kg started a month ago. She was initially treated with insulin, but reached good glycemic control (HbA1c 5,7%) with metformin 1.5g/day alone thereafter, with improvement of skin lesions especially on the hands. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: We present a adolescent with NLD lesions, including atypical areas (hands), and type 2 diabetes mellitus (T2DM). Diagnosis of T2DM was performed from diagnosis NLD which had improvement with glycemic control. NLD is a rare chronic granulomatous dermatitis that manifests as brownish-red plaques with atrophic yellowish centers with tendency to ulceration typically in the pretibial region. Affects predominantly young women (20–30yo) with T1DM. Prevalence of NLD is 0.3–1.2% in patients with diabetes. Currently there is no consensus on the treatment for this disease. Final Comments: We report a rare presentation of NLD with typical and atypical affected areas in a T2DM teenager. As far as we know this is the first description in an adolescent with T2DM in Brazil.\n\n\n### (1) Hospital Universitário Walter Cantídio, Fortaleza, CE, Brasil; (2) Universidade de Fortaleza, UNIFOR, Fortaleza, CE, Brasil\nCase Presentation: A 13-year-old girl presented with an 5-years history of brownish-red plaques with atrophic center in the extensor face of the lower limbs and hands bilaterally. She also had overweight and severe acanthosis nigricans. Skin biopsy was performed and showed a infiltrate composed of histiocytes and multinucleated giant cells located in the interstitium of the superficial to deep dermis and subcutaneum with mucin deposition and collagen degeneration with formation of candle-flame eosinophilic structures. Furthermore there was perivascular monomorphonuclear infiltrate and in appendages. Diagnosis of necrobiosis lipoidica diabeticorum (NLD) was established. Fasting blood glucose and glycated hemoglobin (HbA1c) were 400mg/dl and 19.4% respectively. C-peptide was 5,0ng/ml (reference range 1,1-4,4ng/ml) and type 1 diabetes mellitus (T1DM) autoantibodies were negative. She has polyuria, polydipsia and weight loss of 5kg started a month ago. She was initially treated with insulin, but reached good glycemic control (HbA1c 5,7%) with metformin 1.5g/day alone thereafter, with improvement of skin lesions especially on the hands. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: We present a adolescent with NLD lesions, including atypical areas (hands), and type 2 diabetes mellitus (T2DM). Diagnosis of T2DM was performed from diagnosis NLD which had improvement with glycemic control. NLD is a rare chronic granulomatous dermatitis that manifests as brownish-red plaques with atrophic yellowish centers with tendency to ulceration typically in the pretibial region. Affects predominantly young women (20–30yo) with T1DM. Prevalence of NLD is 0.3–1.2% in patients with diabetes. Currently there is no consensus on the treatment for this disease. Final Comments: We report a rare presentation of NLD with typical and atypical affected areas in a T2DM teenager. As far as we know this is the first description in an adolescent with T2DM in Brazil.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—181\nCase Presentation: A 13-year-old girl presented with an 5-years history of brownish-red plaques with atrophic center in the extensor face of the lower limbs and hands bilaterally. She also had overweight and severe acanthosis nigricans. Skin biopsy was performed and showed a infiltrate composed of histiocytes and multinucleated giant cells located in the interstitium of the superficial to deep dermis and subcutaneum with mucin deposition and collagen degeneration with formation of candle-flame eosinophilic structures. Furthermore there was perivascular monomorphonuclear infiltrate and in appendages. Diagnosis of necrobiosis lipoidica diabeticorum (NLD) was established. Fasting blood glucose and glycated hemoglobin (HbA1c) were 400mg/dl and 19.4% respectively. C-peptide was 5,0ng/ml (reference range 1,1-4,4ng/ml) and type 1 diabetes mellitus (T1DM) autoantibodies were negative. She has polyuria, polydipsia and weight loss of 5kg started a month ago. She was initially treated with insulin, but reached good glycemic control (HbA1c 5,7%) with metformin 1.5g/day alone thereafter, with improvement of skin lesions especially on the hands. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: We present a adolescent with NLD lesions, including atypical areas (hands), and type 2 diabetes mellitus (T2DM). Diagnosis of T2DM was performed from diagnosis NLD which had improvement with glycemic control. NLD is a rare chronic granulomatous dermatitis that manifests as brownish-red plaques with atrophic yellowish centers with tendency to ulceration typically in the pretibial region. Affects predominantly young women (20–30yo) with T1DM. Prevalence of NLD is 0.3–1.2% in patients with diabetes. Currently there is no consensus on the treatment for this disease. Final Comments: We report a rare presentation of NLD with typical and atypical affected areas in a T2DM teenager. As far as we know this is the first description in an adolescent with T2DM in Brazil.\n\n\n### PO—183 Real-World Use of Continuous Glucose Flash Monitoring System Among 317 Consecutive Children and Adolescents with Type 1 Diabetes\nIntroduction: The continuous glucose flash monitoring system (fCGM) allows better glycemic control, improves the time spent in glucose range (TIR), reduces the time spent in hypoglycemia (TBR) and hyperglycemia (TAR). However, there are few reports iin the real-world use in the pediatric population. Objective: To evaluate real-world use of fCGM and glycemic metrics among 317 consecutive children and adolescents with type 1 diabetes (T1D) on multiple daily insulin injections (MDI). Methods: fCGM data from 317 T1D children and adolescents, mean age of 9.3±3.9 years, attended at a public health diabetes reference unit, over one-year period, were included. Data expressed as mean ± standard deviation, median, and interquartile range (IQR) and significance <0.05. Results: The time in range (TIR) was 47.9±20.4%, ranging from 5.0% to 98.0%, and 16.0% (51/317) of the sample had TIR >70%. The time spent in hyperglycemia (TAR) was 48.4±21.1% and the median time in hypoglycemia (TBR) was 2,0%6% (IQR 1-5%), with a duration of 65 minutes (IQR 45-98 min). The mean glucose value was 193.6±44.3 mg/dL, ranging from 98.0 to 368 mg/dL, with variation coefficient (CV) of 39.4±7.5%, ranging from 20.1% to 61.1%, and the glucose management indicator (GMI) was 7.9±1.0%. The time of sensor use was 91.5±7.1%, with a variation of 70.0 to 100.0% and the median number of sensor scans per day was 14.0 (IQR 9-24). A positive correlation was found between the number of scans (<0.01) and TIR, and a negative correlation between the glucose CV and TIR (<0.001). Conclusion: Our results demonstrate real-word data of fCGM in a public healthcare system, with TIR inapproximately half of the individuals, highlighting the difficulty of achieving glycemic goals in T1D. However, a low percentage of time spent in hypoglycemia was observed, which represents a protective factor in the pediatric age group. Additionally, we found A positive correlation between TIR and the number of daily scans and a negative with CV. These findings emphasize the importance of continuous and regular diabetes education to achieve glycemic targets in pediatric population.\n\n\n### Puñales M1; Barcelos W1; Tschiedel B1\nIntroduction: The continuous glucose flash monitoring system (fCGM) allows better glycemic control, improves the time spent in glucose range (TIR), reduces the time spent in hypoglycemia (TBR) and hyperglycemia (TAR). However, there are few reports iin the real-world use in the pediatric population. Objective: To evaluate real-world use of fCGM and glycemic metrics among 317 consecutive children and adolescents with type 1 diabetes (T1D) on multiple daily insulin injections (MDI). Methods: fCGM data from 317 T1D children and adolescents, mean age of 9.3±3.9 years, attended at a public health diabetes reference unit, over one-year period, were included. Data expressed as mean ± standard deviation, median, and interquartile range (IQR) and significance <0.05. Results: The time in range (TIR) was 47.9±20.4%, ranging from 5.0% to 98.0%, and 16.0% (51/317) of the sample had TIR >70%. The time spent in hyperglycemia (TAR) was 48.4±21.1% and the median time in hypoglycemia (TBR) was 2,0%6% (IQR 1-5%), with a duration of 65 minutes (IQR 45-98 min). The mean glucose value was 193.6±44.3 mg/dL, ranging from 98.0 to 368 mg/dL, with variation coefficient (CV) of 39.4±7.5%, ranging from 20.1% to 61.1%, and the glucose management indicator (GMI) was 7.9±1.0%. The time of sensor use was 91.5±7.1%, with a variation of 70.0 to 100.0% and the median number of sensor scans per day was 14.0 (IQR 9-24). A positive correlation was found between the number of scans (<0.01) and TIR, and a negative correlation between the glucose CV and TIR (<0.001). Conclusion: Our results demonstrate real-word data of fCGM in a public healthcare system, with TIR inapproximately half of the individuals, highlighting the difficulty of achieving glycemic goals in T1D. However, a low percentage of time spent in hypoglycemia was observed, which represents a protective factor in the pediatric age group. Additionally, we found A positive correlation between TIR and the number of daily scans and a negative with CV. These findings emphasize the importance of continuous and regular diabetes education to achieve glycemic targets in pediatric population.\n\n\n### (1) Instituto da Criança com Diabetes, Hospital Criança Conceição, Grupo Hospitalar Conceição, Ministério da Saúde, Porto Alegre, RS, Brasil\nIntroduction: The continuous glucose flash monitoring system (fCGM) allows better glycemic control, improves the time spent in glucose range (TIR), reduces the time spent in hypoglycemia (TBR) and hyperglycemia (TAR). However, there are few reports iin the real-world use in the pediatric population. Objective: To evaluate real-world use of fCGM and glycemic metrics among 317 consecutive children and adolescents with type 1 diabetes (T1D) on multiple daily insulin injections (MDI). Methods: fCGM data from 317 T1D children and adolescents, mean age of 9.3±3.9 years, attended at a public health diabetes reference unit, over one-year period, were included. Data expressed as mean ± standard deviation, median, and interquartile range (IQR) and significance <0.05. Results: The time in range (TIR) was 47.9±20.4%, ranging from 5.0% to 98.0%, and 16.0% (51/317) of the sample had TIR >70%. The time spent in hyperglycemia (TAR) was 48.4±21.1% and the median time in hypoglycemia (TBR) was 2,0%6% (IQR 1-5%), with a duration of 65 minutes (IQR 45-98 min). The mean glucose value was 193.6±44.3 mg/dL, ranging from 98.0 to 368 mg/dL, with variation coefficient (CV) of 39.4±7.5%, ranging from 20.1% to 61.1%, and the glucose management indicator (GMI) was 7.9±1.0%. The time of sensor use was 91.5±7.1%, with a variation of 70.0 to 100.0% and the median number of sensor scans per day was 14.0 (IQR 9-24). A positive correlation was found between the number of scans (<0.01) and TIR, and a negative correlation between the glucose CV and TIR (<0.001). Conclusion: Our results demonstrate real-word data of fCGM in a public healthcare system, with TIR inapproximately half of the individuals, highlighting the difficulty of achieving glycemic goals in T1D. However, a low percentage of time spent in hypoglycemia was observed, which represents a protective factor in the pediatric age group. Additionally, we found A positive correlation between TIR and the number of daily scans and a negative with CV. These findings emphasize the importance of continuous and regular diabetes education to achieve glycemic targets in pediatric population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—183\nIntroduction: The continuous glucose flash monitoring system (fCGM) allows better glycemic control, improves the time spent in glucose range (TIR), reduces the time spent in hypoglycemia (TBR) and hyperglycemia (TAR). However, there are few reports iin the real-world use in the pediatric population. Objective: To evaluate real-world use of fCGM and glycemic metrics among 317 consecutive children and adolescents with type 1 diabetes (T1D) on multiple daily insulin injections (MDI). Methods: fCGM data from 317 T1D children and adolescents, mean age of 9.3±3.9 years, attended at a public health diabetes reference unit, over one-year period, were included. Data expressed as mean ± standard deviation, median, and interquartile range (IQR) and significance <0.05. Results: The time in range (TIR) was 47.9±20.4%, ranging from 5.0% to 98.0%, and 16.0% (51/317) of the sample had TIR >70%. The time spent in hyperglycemia (TAR) was 48.4±21.1% and the median time in hypoglycemia (TBR) was 2,0%6% (IQR 1-5%), with a duration of 65 minutes (IQR 45-98 min). The mean glucose value was 193.6±44.3 mg/dL, ranging from 98.0 to 368 mg/dL, with variation coefficient (CV) of 39.4±7.5%, ranging from 20.1% to 61.1%, and the glucose management indicator (GMI) was 7.9±1.0%. The time of sensor use was 91.5±7.1%, with a variation of 70.0 to 100.0% and the median number of sensor scans per day was 14.0 (IQR 9-24). A positive correlation was found between the number of scans (<0.01) and TIR, and a negative correlation between the glucose CV and TIR (<0.001). Conclusion: Our results demonstrate real-word data of fCGM in a public healthcare system, with TIR inapproximately half of the individuals, highlighting the difficulty of achieving glycemic goals in T1D. However, a low percentage of time spent in hypoglycemia was observed, which represents a protective factor in the pediatric age group. Additionally, we found A positive correlation between TIR and the number of daily scans and a negative with CV. These findings emphasize the importance of continuous and regular diabetes education to achieve glycemic targets in pediatric population.\n\n\n### PO—184 Temporal Trend and Demographic Profile of Hospitalizations of Children and Adolescents for Type 2 Diabetes Mellitus in the Brazilian Unified Health System (2015–2024)\nIntroduction: Type 2 Diabetes Mellitus (T2DM), once rare in children and adolescents, has shown a remarkable increase in recent decades, paralleling the rise in obesity and lifestyle changes. The analysis of hospital admissions in this population is essential to identify high-risk groups, understand regional and temporal patterns, and support public health policies for prevention and clinical management. Objective: To analyze the temporal trends of hospital admissions for T2DM among individuals aged 0–19 years in Brazil between 2015 and 2024, according to sex, age group, and geographic region. Methods: Cross-sectional study using DataSUS records of hospital admissions for T2DM (ICD-10 E11) in children and adolescents. Variables analyzed were year, region, sex, and age group (<1, 1–4, 5–9, 10–14, 15–19 years). Descriptive analyses, Pearson’s chi-square test, and Linear-by-Linear Association trend test were performed using SPSS 25.0. Results: A total of 96,129 admissions were recorded. Significant associations were found with year and region (p<0.001). The Southeast accounted for 43.9% of admissions, followed by the Northeast (25.4%), South (16.7%), Midwest (9.3%), and North (4.7%). Although both absolute and relative admissions increased between 2015 (9.0%) and 2024 (12.5%), no uniform linear trend was observed (p=0.069). The 10–14 (37.0%) and 15–19 (31.5%) age groups predominated, both showing significant increasing trends (p<0.001). Younger groups represented lower proportions: 5–9 years (19.0%), 1–4 years (10.1%), and <1 year (2.4%). Females accounted for 57.2% of admissions, with significant annual variation (p<0.001) and predominance across all age groups (p<0.001). Conclusion: Hospital admissions for T2DM among young people in Brazil increased substantially, especially among females and adolescents aged 10–19 years, with the highest concentration in the Southeast. Despite the absence of a uniform national linear trend, a significant increase was observed in older age groups. These findings highlight the urgent need for prevention and control strategies for T2DM in childhood and adolescence, considering regional, sex, and age-related differences, to mitigate the long-term impact on the Brazilian Unified Health System.\n\n\n### Matias MCTS1; de Lima INR1; Fernandes LC1; Santana RS1; Dias CMCC1\nIntroduction: Type 2 Diabetes Mellitus (T2DM), once rare in children and adolescents, has shown a remarkable increase in recent decades, paralleling the rise in obesity and lifestyle changes. The analysis of hospital admissions in this population is essential to identify high-risk groups, understand regional and temporal patterns, and support public health policies for prevention and clinical management. Objective: To analyze the temporal trends of hospital admissions for T2DM among individuals aged 0–19 years in Brazil between 2015 and 2024, according to sex, age group, and geographic region. Methods: Cross-sectional study using DataSUS records of hospital admissions for T2DM (ICD-10 E11) in children and adolescents. Variables analyzed were year, region, sex, and age group (<1, 1–4, 5–9, 10–14, 15–19 years). Descriptive analyses, Pearson’s chi-square test, and Linear-by-Linear Association trend test were performed using SPSS 25.0. Results: A total of 96,129 admissions were recorded. Significant associations were found with year and region (p<0.001). The Southeast accounted for 43.9% of admissions, followed by the Northeast (25.4%), South (16.7%), Midwest (9.3%), and North (4.7%). Although both absolute and relative admissions increased between 2015 (9.0%) and 2024 (12.5%), no uniform linear trend was observed (p=0.069). The 10–14 (37.0%) and 15–19 (31.5%) age groups predominated, both showing significant increasing trends (p<0.001). Younger groups represented lower proportions: 5–9 years (19.0%), 1–4 years (10.1%), and <1 year (2.4%). Females accounted for 57.2% of admissions, with significant annual variation (p<0.001) and predominance across all age groups (p<0.001). Conclusion: Hospital admissions for T2DM among young people in Brazil increased substantially, especially among females and adolescents aged 10–19 years, with the highest concentration in the Southeast. Despite the absence of a uniform national linear trend, a significant increase was observed in older age groups. These findings highlight the urgent need for prevention and control strategies for T2DM in childhood and adolescence, considering regional, sex, and age-related differences, to mitigate the long-term impact on the Brazilian Unified Health System.\n\n\n### (1) Escola Bahiana de Medicina e Saúde Pública, Salvador, BA, Brasil\nIntroduction: Type 2 Diabetes Mellitus (T2DM), once rare in children and adolescents, has shown a remarkable increase in recent decades, paralleling the rise in obesity and lifestyle changes. The analysis of hospital admissions in this population is essential to identify high-risk groups, understand regional and temporal patterns, and support public health policies for prevention and clinical management. Objective: To analyze the temporal trends of hospital admissions for T2DM among individuals aged 0–19 years in Brazil between 2015 and 2024, according to sex, age group, and geographic region. Methods: Cross-sectional study using DataSUS records of hospital admissions for T2DM (ICD-10 E11) in children and adolescents. Variables analyzed were year, region, sex, and age group (<1, 1–4, 5–9, 10–14, 15–19 years). Descriptive analyses, Pearson’s chi-square test, and Linear-by-Linear Association trend test were performed using SPSS 25.0. Results: A total of 96,129 admissions were recorded. Significant associations were found with year and region (p<0.001). The Southeast accounted for 43.9% of admissions, followed by the Northeast (25.4%), South (16.7%), Midwest (9.3%), and North (4.7%). Although both absolute and relative admissions increased between 2015 (9.0%) and 2024 (12.5%), no uniform linear trend was observed (p=0.069). The 10–14 (37.0%) and 15–19 (31.5%) age groups predominated, both showing significant increasing trends (p<0.001). Younger groups represented lower proportions: 5–9 years (19.0%), 1–4 years (10.1%), and <1 year (2.4%). Females accounted for 57.2% of admissions, with significant annual variation (p<0.001) and predominance across all age groups (p<0.001). Conclusion: Hospital admissions for T2DM among young people in Brazil increased substantially, especially among females and adolescents aged 10–19 years, with the highest concentration in the Southeast. Despite the absence of a uniform national linear trend, a significant increase was observed in older age groups. These findings highlight the urgent need for prevention and control strategies for T2DM in childhood and adolescence, considering regional, sex, and age-related differences, to mitigate the long-term impact on the Brazilian Unified Health System.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—184\nIntroduction: Type 2 Diabetes Mellitus (T2DM), once rare in children and adolescents, has shown a remarkable increase in recent decades, paralleling the rise in obesity and lifestyle changes. The analysis of hospital admissions in this population is essential to identify high-risk groups, understand regional and temporal patterns, and support public health policies for prevention and clinical management. Objective: To analyze the temporal trends of hospital admissions for T2DM among individuals aged 0–19 years in Brazil between 2015 and 2024, according to sex, age group, and geographic region. Methods: Cross-sectional study using DataSUS records of hospital admissions for T2DM (ICD-10 E11) in children and adolescents. Variables analyzed were year, region, sex, and age group (<1, 1–4, 5–9, 10–14, 15–19 years). Descriptive analyses, Pearson’s chi-square test, and Linear-by-Linear Association trend test were performed using SPSS 25.0. Results: A total of 96,129 admissions were recorded. Significant associations were found with year and region (p<0.001). The Southeast accounted for 43.9% of admissions, followed by the Northeast (25.4%), South (16.7%), Midwest (9.3%), and North (4.7%). Although both absolute and relative admissions increased between 2015 (9.0%) and 2024 (12.5%), no uniform linear trend was observed (p=0.069). The 10–14 (37.0%) and 15–19 (31.5%) age groups predominated, both showing significant increasing trends (p<0.001). Younger groups represented lower proportions: 5–9 years (19.0%), 1–4 years (10.1%), and <1 year (2.4%). Females accounted for 57.2% of admissions, with significant annual variation (p<0.001) and predominance across all age groups (p<0.001). Conclusion: Hospital admissions for T2DM among young people in Brazil increased substantially, especially among females and adolescents aged 10–19 years, with the highest concentration in the Southeast. Despite the absence of a uniform national linear trend, a significant increase was observed in older age groups. These findings highlight the urgent need for prevention and control strategies for T2DM in childhood and adolescence, considering regional, sex, and age-related differences, to mitigate the long-term impact on the Brazilian Unified Health System.\n\n\n### PO—185 Temporal Association between Pfizer-BioNTech Vaccination and Autoimmune Encephalitis in a Pediatric Patient in a Pediatric Patient With Type 1 Diabetes\nCase Presentation: This report documents the possible association between vaccination with Pfizer-BioNTech against COVID-19 and the development of autoimmune encephalitis due to anti-AMPAR antibodies in a 12-year-old boy. The patient had a history of type 1 diabetes, precocious puberty, and atresia of the auditory canal. Fifteen days after vaccination, he developed neurological symptoms, including short-term memory loss, irritability, night sweats, and weight loss. Complementary examinations, such as EEG and brain MRI, showed normal results, while the analysis of cerebrospinal fluid revealed positivity for anti-AMPAR antibodies, confirming the diagnosis of autoimmune encephalitis. The oncological screening did not identify any neoplasms. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: The initial treatment with intravenous immunoglobulin (IVIG) led to the resolution of symptoms, but there was a relapse at 45 days, which was controlled with a combined therapy of IVIG, dexamethasone, and rituximab, resulting in complete cognitive recovery after two years of follow-up. This case is pioneering in demonstrating anti-AMPAR encephalitis as a possible autoimmune complication post-vaccination in children, highlighting the importance of early diagnosis and aggressive treatment. The temporal association suggests an immunological mechanism via molecular mimicry triggered by the vaccine. Final Comments: The atypical clinical presentation and normal imaging results may hinder the initial diagnosis, emphasizing the need for vigilance in pediatric patients after vaccination. The report underscores the relevance of future research to confirm causality and deepen the understanding of the involved pathophysiological mechanisms. Identifying rare conditions such as autoimmune encephalitis is crucial for clinical practice, and this case contributes to the knowledge of potential adverse reactions to vaccination in vulnerable populations. Prospective studies are essential to elucidate this relationship and ensure the safety of vaccines in children.\n\n\n### Indiani L1; Lottenberg AMP2; da Frota MA3; Borges DM3; Maranhão CC3; Aragão MM3; Pinho RS3\nCase Presentation: This report documents the possible association between vaccination with Pfizer-BioNTech against COVID-19 and the development of autoimmune encephalitis due to anti-AMPAR antibodies in a 12-year-old boy. The patient had a history of type 1 diabetes, precocious puberty, and atresia of the auditory canal. Fifteen days after vaccination, he developed neurological symptoms, including short-term memory loss, irritability, night sweats, and weight loss. Complementary examinations, such as EEG and brain MRI, showed normal results, while the analysis of cerebrospinal fluid revealed positivity for anti-AMPAR antibodies, confirming the diagnosis of autoimmune encephalitis. The oncological screening did not identify any neoplasms. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: The initial treatment with intravenous immunoglobulin (IVIG) led to the resolution of symptoms, but there was a relapse at 45 days, which was controlled with a combined therapy of IVIG, dexamethasone, and rituximab, resulting in complete cognitive recovery after two years of follow-up. This case is pioneering in demonstrating anti-AMPAR encephalitis as a possible autoimmune complication post-vaccination in children, highlighting the importance of early diagnosis and aggressive treatment. The temporal association suggests an immunological mechanism via molecular mimicry triggered by the vaccine. Final Comments: The atypical clinical presentation and normal imaging results may hinder the initial diagnosis, emphasizing the need for vigilance in pediatric patients after vaccination. The report underscores the relevance of future research to confirm causality and deepen the understanding of the involved pathophysiological mechanisms. Identifying rare conditions such as autoimmune encephalitis is crucial for clinical practice, and this case contributes to the knowledge of potential adverse reactions to vaccination in vulnerable populations. Prospective studies are essential to elucidate this relationship and ensure the safety of vaccines in children.\n\n\n### (1) Instituição de Ensino Hospital Israelista Albert Einstein, São Paulo, SP, Brasil; (2) Faculdade Israelita de Ciências da Saúde Albert Einstein, São Paulo, SP, Brasil; (3) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nCase Presentation: This report documents the possible association between vaccination with Pfizer-BioNTech against COVID-19 and the development of autoimmune encephalitis due to anti-AMPAR antibodies in a 12-year-old boy. The patient had a history of type 1 diabetes, precocious puberty, and atresia of the auditory canal. Fifteen days after vaccination, he developed neurological symptoms, including short-term memory loss, irritability, night sweats, and weight loss. Complementary examinations, such as EEG and brain MRI, showed normal results, while the analysis of cerebrospinal fluid revealed positivity for anti-AMPAR antibodies, confirming the diagnosis of autoimmune encephalitis. The oncological screening did not identify any neoplasms. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: The initial treatment with intravenous immunoglobulin (IVIG) led to the resolution of symptoms, but there was a relapse at 45 days, which was controlled with a combined therapy of IVIG, dexamethasone, and rituximab, resulting in complete cognitive recovery after two years of follow-up. This case is pioneering in demonstrating anti-AMPAR encephalitis as a possible autoimmune complication post-vaccination in children, highlighting the importance of early diagnosis and aggressive treatment. The temporal association suggests an immunological mechanism via molecular mimicry triggered by the vaccine. Final Comments: The atypical clinical presentation and normal imaging results may hinder the initial diagnosis, emphasizing the need for vigilance in pediatric patients after vaccination. The report underscores the relevance of future research to confirm causality and deepen the understanding of the involved pathophysiological mechanisms. Identifying rare conditions such as autoimmune encephalitis is crucial for clinical practice, and this case contributes to the knowledge of potential adverse reactions to vaccination in vulnerable populations. Prospective studies are essential to elucidate this relationship and ensure the safety of vaccines in children.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—185\nCase Presentation: This report documents the possible association between vaccination with Pfizer-BioNTech against COVID-19 and the development of autoimmune encephalitis due to anti-AMPAR antibodies in a 12-year-old boy. The patient had a history of type 1 diabetes, precocious puberty, and atresia of the auditory canal. Fifteen days after vaccination, he developed neurological symptoms, including short-term memory loss, irritability, night sweats, and weight loss. Complementary examinations, such as EEG and brain MRI, showed normal results, while the analysis of cerebrospinal fluid revealed positivity for anti-AMPAR antibodies, confirming the diagnosis of autoimmune encephalitis. The oncological screening did not identify any neoplasms. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: The initial treatment with intravenous immunoglobulin (IVIG) led to the resolution of symptoms, but there was a relapse at 45 days, which was controlled with a combined therapy of IVIG, dexamethasone, and rituximab, resulting in complete cognitive recovery after two years of follow-up. This case is pioneering in demonstrating anti-AMPAR encephalitis as a possible autoimmune complication post-vaccination in children, highlighting the importance of early diagnosis and aggressive treatment. The temporal association suggests an immunological mechanism via molecular mimicry triggered by the vaccine. Final Comments: The atypical clinical presentation and normal imaging results may hinder the initial diagnosis, emphasizing the need for vigilance in pediatric patients after vaccination. The report underscores the relevance of future research to confirm causality and deepen the understanding of the involved pathophysiological mechanisms. Identifying rare conditions such as autoimmune encephalitis is crucial for clinical practice, and this case contributes to the knowledge of potential adverse reactions to vaccination in vulnerable populations. Prospective studies are essential to elucidate this relationship and ensure the safety of vaccines in children.\n\n\n### PO—187 “DM1 Journey”: Development of an Educational Board Game to Promote Treatment Adherence in Children and Adolescents with Type 1 Diabetes Mellitus\nIntroduction: Management of type 1 diabetes mellitus in childhood and adolescence requires strategies that integrate health education and emotional support. Therapeutic games have proven effective in promoting adherence, facilitating understanding of treatment, and strengthening the therapeutic bond. Playfulness allows the child to express themselves, construct meaning, and develop self-care skills. Objective: To present the development and report the experience of applying the board game “Jornada do DM1” as a playful tool to promote treatment adherence and psychoeducation in children and adolescents with type 1 diabetes. Methods: This is a descriptive experience report on the development of an educational game. Commercial board games were analyzed to support the construction of the resource, respecting fundamental elements such as path, cards, challenges, pawns, and rules. The game was structured based on the four pillars of T1DM treatment: insulin therapy, healthy eating, physical activity, and mental health. The application was conducted in individual psychological sessions with pediatric patients in an outpatient hospital context. Results: The playful material includes glucose monitoring cards, event cards, questions and bonuses, a glucose “thermometer,” dice, and pawns, organized in a path that simulates everyday situations related to type 1 diabetes treatment. The visual design and language were planned to ensure accessibility and engagement of the pediatric audience. Active participation and spontaneous interest were observed among children and adolescents, who showed positive emotional involvement and motivation to participate. The game facilitated the understanding of diabetes care, promoted dialogue about feelings and challenges, strengthened the therapeutic bond, and encouraged interaction among participants. It also helped identify doubts, resistances, and individual needs, contributing to targeted psychological interventions. Conclusion: “Jornada do DM1” proved to be an effective resource for psychological and educational intervention in the context of childhood diabetes, enabling the assessment of treatment understanding, promotion of health literacy, strengthening of bonds, and stimulation of autonomy. The proposal reinforces play as an essential clinical tool in health psychology.\n\n\n### Paz ND1; Diniz AS1; Arruda ARC1; Lustosa LA1; Brugnera PC1\nIntroduction: Management of type 1 diabetes mellitus in childhood and adolescence requires strategies that integrate health education and emotional support. Therapeutic games have proven effective in promoting adherence, facilitating understanding of treatment, and strengthening the therapeutic bond. Playfulness allows the child to express themselves, construct meaning, and develop self-care skills. Objective: To present the development and report the experience of applying the board game “Jornada do DM1” as a playful tool to promote treatment adherence and psychoeducation in children and adolescents with type 1 diabetes. Methods: This is a descriptive experience report on the development of an educational game. Commercial board games were analyzed to support the construction of the resource, respecting fundamental elements such as path, cards, challenges, pawns, and rules. The game was structured based on the four pillars of T1DM treatment: insulin therapy, healthy eating, physical activity, and mental health. The application was conducted in individual psychological sessions with pediatric patients in an outpatient hospital context. Results: The playful material includes glucose monitoring cards, event cards, questions and bonuses, a glucose “thermometer,” dice, and pawns, organized in a path that simulates everyday situations related to type 1 diabetes treatment. The visual design and language were planned to ensure accessibility and engagement of the pediatric audience. Active participation and spontaneous interest were observed among children and adolescents, who showed positive emotional involvement and motivation to participate. The game facilitated the understanding of diabetes care, promoted dialogue about feelings and challenges, strengthened the therapeutic bond, and encouraged interaction among participants. It also helped identify doubts, resistances, and individual needs, contributing to targeted psychological interventions. Conclusion: “Jornada do DM1” proved to be an effective resource for psychological and educational intervention in the context of childhood diabetes, enabling the assessment of treatment understanding, promotion of health literacy, strengthening of bonds, and stimulation of autonomy. The proposal reinforces play as an essential clinical tool in health psychology.\n\n\n### (1) Hospital da Criança de Brasília José de Alencar, Brasília, DF, Brasil\nIntroduction: Management of type 1 diabetes mellitus in childhood and adolescence requires strategies that integrate health education and emotional support. Therapeutic games have proven effective in promoting adherence, facilitating understanding of treatment, and strengthening the therapeutic bond. Playfulness allows the child to express themselves, construct meaning, and develop self-care skills. Objective: To present the development and report the experience of applying the board game “Jornada do DM1” as a playful tool to promote treatment adherence and psychoeducation in children and adolescents with type 1 diabetes. Methods: This is a descriptive experience report on the development of an educational game. Commercial board games were analyzed to support the construction of the resource, respecting fundamental elements such as path, cards, challenges, pawns, and rules. The game was structured based on the four pillars of T1DM treatment: insulin therapy, healthy eating, physical activity, and mental health. The application was conducted in individual psychological sessions with pediatric patients in an outpatient hospital context. Results: The playful material includes glucose monitoring cards, event cards, questions and bonuses, a glucose “thermometer,” dice, and pawns, organized in a path that simulates everyday situations related to type 1 diabetes treatment. The visual design and language were planned to ensure accessibility and engagement of the pediatric audience. Active participation and spontaneous interest were observed among children and adolescents, who showed positive emotional involvement and motivation to participate. The game facilitated the understanding of diabetes care, promoted dialogue about feelings and challenges, strengthened the therapeutic bond, and encouraged interaction among participants. It also helped identify doubts, resistances, and individual needs, contributing to targeted psychological interventions. Conclusion: “Jornada do DM1” proved to be an effective resource for psychological and educational intervention in the context of childhood diabetes, enabling the assessment of treatment understanding, promotion of health literacy, strengthening of bonds, and stimulation of autonomy. The proposal reinforces play as an essential clinical tool in health psychology.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—187\nIntroduction: Management of type 1 diabetes mellitus in childhood and adolescence requires strategies that integrate health education and emotional support. Therapeutic games have proven effective in promoting adherence, facilitating understanding of treatment, and strengthening the therapeutic bond. Playfulness allows the child to express themselves, construct meaning, and develop self-care skills. Objective: To present the development and report the experience of applying the board game “Jornada do DM1” as a playful tool to promote treatment adherence and psychoeducation in children and adolescents with type 1 diabetes. Methods: This is a descriptive experience report on the development of an educational game. Commercial board games were analyzed to support the construction of the resource, respecting fundamental elements such as path, cards, challenges, pawns, and rules. The game was structured based on the four pillars of T1DM treatment: insulin therapy, healthy eating, physical activity, and mental health. The application was conducted in individual psychological sessions with pediatric patients in an outpatient hospital context. Results: The playful material includes glucose monitoring cards, event cards, questions and bonuses, a glucose “thermometer,” dice, and pawns, organized in a path that simulates everyday situations related to type 1 diabetes treatment. The visual design and language were planned to ensure accessibility and engagement of the pediatric audience. Active participation and spontaneous interest were observed among children and adolescents, who showed positive emotional involvement and motivation to participate. The game facilitated the understanding of diabetes care, promoted dialogue about feelings and challenges, strengthened the therapeutic bond, and encouraged interaction among participants. It also helped identify doubts, resistances, and individual needs, contributing to targeted psychological interventions. Conclusion: “Jornada do DM1” proved to be an effective resource for psychological and educational intervention in the context of childhood diabetes, enabling the assessment of treatment understanding, promotion of health literacy, strengthening of bonds, and stimulation of autonomy. The proposal reinforces play as an essential clinical tool in health psychology.\n\n\n### PO—191 Diabetes Mellitus Caused by Secondary Hemochromatosis After Multiple Blood Transfusions in a Patient with Myelodysplastic Syndrome.\nCase Presentation: Male, 58 years old, hospitalized with anemia and asthenia. He has a myelodysplastic syndrome and a diagnosis of secondary hemochromatosis due to multiple blood transfusions without a diagnosis of diabetes prior to admission. Laboratory tests during hospitalization revealed: elevated ferritin (4635 ng/mL), blood glucose (561 mg/dL), glycosylated hemoglobin (8.7%) and low hemoglobin levels (5.9g/dL). Other tests demonstrated the absence of laboratory criteria for diabetic ketoacidosis. Abdominal Magnetic Resonance Imaging showed excess iron in the liver and pancreas. On physical examination, the patient had a normal body mass index (23.52 kg/m2). He had no family history of diabetes and received treatment with multiple insulin injections (nph and regular) during hospitalization. He had an advanced disease with progressive worsening of the anemia, making phlebotomy not possible. The clinical condition progressed to liver and heart failure, followed by death 10 months later. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Secondary hemochromatosis usually develops in patients who have received multiple red blood cell transfusions. Recurrent transfusion is a rapid and effective treatment for refractory anemia, including myelodysplastic syndrome. However, transfusion-associated iron overload can cause progressive damage in multiple organs. There are two mechanisms that contribute to impaired glucose metabolism in patients with iron overload. First, iron overload leads to beta cell damage, decreasing insulin production and secretion. The second abnormality is insulin resistance that occurs due to liver damage from iron overload. The diagnosis of iron overload can be made by increased blood levels of ferritin. The most useful imaging test is Magnetic Resonance Imaging, as it can quantify iron overload. Treatment of diabetes in this context should be individualized according to blood glucose levels and residual β-cell function. Final Comments: The association between hemochromatosis and diabetes mellitus highlights the importance of a comprehensive multidisciplinary clinical approach to ensure early diagnosis and treatment, avoiding serious complications.\n\n\n### Lopes MM1; Bredariol MR2; Neto PFA1; Cordebel LEF1; Frade GLF1; de Moura YLL1; Mendes M1; de Mascarenhas MW1; Longen AJL1; Petronilho LS1; Jacob MJD1; Junqueira FD2\nCase Presentation: Male, 58 years old, hospitalized with anemia and asthenia. He has a myelodysplastic syndrome and a diagnosis of secondary hemochromatosis due to multiple blood transfusions without a diagnosis of diabetes prior to admission. Laboratory tests during hospitalization revealed: elevated ferritin (4635 ng/mL), blood glucose (561 mg/dL), glycosylated hemoglobin (8.7%) and low hemoglobin levels (5.9g/dL). Other tests demonstrated the absence of laboratory criteria for diabetic ketoacidosis. Abdominal Magnetic Resonance Imaging showed excess iron in the liver and pancreas. On physical examination, the patient had a normal body mass index (23.52 kg/m2). He had no family history of diabetes and received treatment with multiple insulin injections (nph and regular) during hospitalization. He had an advanced disease with progressive worsening of the anemia, making phlebotomy not possible. The clinical condition progressed to liver and heart failure, followed by death 10 months later. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Secondary hemochromatosis usually develops in patients who have received multiple red blood cell transfusions. Recurrent transfusion is a rapid and effective treatment for refractory anemia, including myelodysplastic syndrome. However, transfusion-associated iron overload can cause progressive damage in multiple organs. There are two mechanisms that contribute to impaired glucose metabolism in patients with iron overload. First, iron overload leads to beta cell damage, decreasing insulin production and secretion. The second abnormality is insulin resistance that occurs due to liver damage from iron overload. The diagnosis of iron overload can be made by increased blood levels of ferritin. The most useful imaging test is Magnetic Resonance Imaging, as it can quantify iron overload. Treatment of diabetes in this context should be individualized according to blood glucose levels and residual β-cell function. Final Comments: The association between hemochromatosis and diabetes mellitus highlights the importance of a comprehensive multidisciplinary clinical approach to ensure early diagnosis and treatment, avoiding serious complications.\n\n\n### (1) Hospital Federal da lagoa, Rio de Janeiro, RJ, Brasil; (2) IDOMED Cittá, Rio de Janeiro, RJ, Brasil\nCase Presentation: Male, 58 years old, hospitalized with anemia and asthenia. He has a myelodysplastic syndrome and a diagnosis of secondary hemochromatosis due to multiple blood transfusions without a diagnosis of diabetes prior to admission. Laboratory tests during hospitalization revealed: elevated ferritin (4635 ng/mL), blood glucose (561 mg/dL), glycosylated hemoglobin (8.7%) and low hemoglobin levels (5.9g/dL). Other tests demonstrated the absence of laboratory criteria for diabetic ketoacidosis. Abdominal Magnetic Resonance Imaging showed excess iron in the liver and pancreas. On physical examination, the patient had a normal body mass index (23.52 kg/m2). He had no family history of diabetes and received treatment with multiple insulin injections (nph and regular) during hospitalization. He had an advanced disease with progressive worsening of the anemia, making phlebotomy not possible. The clinical condition progressed to liver and heart failure, followed by death 10 months later. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Secondary hemochromatosis usually develops in patients who have received multiple red blood cell transfusions. Recurrent transfusion is a rapid and effective treatment for refractory anemia, including myelodysplastic syndrome. However, transfusion-associated iron overload can cause progressive damage in multiple organs. There are two mechanisms that contribute to impaired glucose metabolism in patients with iron overload. First, iron overload leads to beta cell damage, decreasing insulin production and secretion. The second abnormality is insulin resistance that occurs due to liver damage from iron overload. The diagnosis of iron overload can be made by increased blood levels of ferritin. The most useful imaging test is Magnetic Resonance Imaging, as it can quantify iron overload. Treatment of diabetes in this context should be individualized according to blood glucose levels and residual β-cell function. Final Comments: The association between hemochromatosis and diabetes mellitus highlights the importance of a comprehensive multidisciplinary clinical approach to ensure early diagnosis and treatment, avoiding serious complications.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—191\nCase Presentation: Male, 58 years old, hospitalized with anemia and asthenia. He has a myelodysplastic syndrome and a diagnosis of secondary hemochromatosis due to multiple blood transfusions without a diagnosis of diabetes prior to admission. Laboratory tests during hospitalization revealed: elevated ferritin (4635 ng/mL), blood glucose (561 mg/dL), glycosylated hemoglobin (8.7%) and low hemoglobin levels (5.9g/dL). Other tests demonstrated the absence of laboratory criteria for diabetic ketoacidosis. Abdominal Magnetic Resonance Imaging showed excess iron in the liver and pancreas. On physical examination, the patient had a normal body mass index (23.52 kg/m2). He had no family history of diabetes and received treatment with multiple insulin injections (nph and regular) during hospitalization. He had an advanced disease with progressive worsening of the anemia, making phlebotomy not possible. The clinical condition progressed to liver and heart failure, followed by death 10 months later. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Secondary hemochromatosis usually develops in patients who have received multiple red blood cell transfusions. Recurrent transfusion is a rapid and effective treatment for refractory anemia, including myelodysplastic syndrome. However, transfusion-associated iron overload can cause progressive damage in multiple organs. There are two mechanisms that contribute to impaired glucose metabolism in patients with iron overload. First, iron overload leads to beta cell damage, decreasing insulin production and secretion. The second abnormality is insulin resistance that occurs due to liver damage from iron overload. The diagnosis of iron overload can be made by increased blood levels of ferritin. The most useful imaging test is Magnetic Resonance Imaging, as it can quantify iron overload. Treatment of diabetes in this context should be individualized according to blood glucose levels and residual β-cell function. Final Comments: The association between hemochromatosis and diabetes mellitus highlights the importance of a comprehensive multidisciplinary clinical approach to ensure early diagnosis and treatment, avoiding serious complications.\n\n\n### PO—192 Diabetes Mellitus Secondary to Ectopic Cushing’s Syndrome: a Case Report\nCase Presentation: A 40-year-old male presented to the emergency department in January 2024 with persistent hyperglycemia accompanied by asthenia and edema of the extremities and face. He was admitted with blood glucose levels persistently above 300 mg/dL, refractory to insulin therapy. Endocrine evaluation confirmed Cushing’s syndrome, with elevated post-dexamethasone serum cortisol (48 mcg/dL) and increased late-night salivary cortisol (27.8 ng/dL). ACTH levels were markedly elevated (185 pg/mL), consistent with an ACTH-dependent etiology; however, pituitary MRI findings were unremarkable. Given the suspicion of ectopic ACTH secretion, a biopsy of mediastinal lymphadenopathy was performed. Immunohistochemical analysis revealed a well-differentiated neuroendocrine neoplasm, compatible with metastasis from a possible medullary thyroid carcinoma. The markedly elevated serum calcitonin level (4,400 pg/mL) supported the clinical hypothesis. The patient underwent bilateral adrenalectomy followed by total thyroidectomy, resulting in significant clinical and biochemical improvement. He remains under coordinated oncologic and endocrinologic follow-up. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Cushing’s syndrome is a disorder caused by prolonged and pathological exposure to excess glucocorticoids. Its clinical presentation is heterogeneous, and diagnosis may be challenging, particularly in early stages when manifestations are subtle. Paraneoplastic etiology accounts for approximately 15% of all Cushing’s syndrome cases, with ectopic adrenocorticotropic hormone (ACTH) secretion from neuroendocrine tumors representing a rare subset—occurring in only about 10% of ACTH-dependent cases. These forms typically present as severe, rapidly progressive disease, often with poor prognosis, and are more frequently observed in men between 40 and 60 years of age. Bilateral adrenalectomy is considered in situations where hypercortisolism cannot be adequately controlled through resection of the primary tumor, or as a temporizing measure while the tumor’s location is being determined. Final Comments: ACTH-producing neuroendocrine tumors are a rare cause of Cushing’s syndrome and secondary diabetes mellitus, representing a significant challenge for both diagnosis and treatment. Furthermore, they carry a high risk of metabolic, infectious, and thromboembolic complications, which makes clinical management even more challenging.\n\n\n### Magela KRH1; Querubino AC1; de AndradeCMT1\nCase Presentation: A 40-year-old male presented to the emergency department in January 2024 with persistent hyperglycemia accompanied by asthenia and edema of the extremities and face. He was admitted with blood glucose levels persistently above 300 mg/dL, refractory to insulin therapy. Endocrine evaluation confirmed Cushing’s syndrome, with elevated post-dexamethasone serum cortisol (48 mcg/dL) and increased late-night salivary cortisol (27.8 ng/dL). ACTH levels were markedly elevated (185 pg/mL), consistent with an ACTH-dependent etiology; however, pituitary MRI findings were unremarkable. Given the suspicion of ectopic ACTH secretion, a biopsy of mediastinal lymphadenopathy was performed. Immunohistochemical analysis revealed a well-differentiated neuroendocrine neoplasm, compatible with metastasis from a possible medullary thyroid carcinoma. The markedly elevated serum calcitonin level (4,400 pg/mL) supported the clinical hypothesis. The patient underwent bilateral adrenalectomy followed by total thyroidectomy, resulting in significant clinical and biochemical improvement. He remains under coordinated oncologic and endocrinologic follow-up. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Cushing’s syndrome is a disorder caused by prolonged and pathological exposure to excess glucocorticoids. Its clinical presentation is heterogeneous, and diagnosis may be challenging, particularly in early stages when manifestations are subtle. Paraneoplastic etiology accounts for approximately 15% of all Cushing’s syndrome cases, with ectopic adrenocorticotropic hormone (ACTH) secretion from neuroendocrine tumors representing a rare subset—occurring in only about 10% of ACTH-dependent cases. These forms typically present as severe, rapidly progressive disease, often with poor prognosis, and are more frequently observed in men between 40 and 60 years of age. Bilateral adrenalectomy is considered in situations where hypercortisolism cannot be adequately controlled through resection of the primary tumor, or as a temporizing measure while the tumor’s location is being determined. Final Comments: ACTH-producing neuroendocrine tumors are a rare cause of Cushing’s syndrome and secondary diabetes mellitus, representing a significant challenge for both diagnosis and treatment. Furthermore, they carry a high risk of metabolic, infectious, and thromboembolic complications, which makes clinical management even more challenging.\n\n\n### (1) Hospital Fundação Ouro Branco, Ouro Branco, MG, Brasil\nCase Presentation: A 40-year-old male presented to the emergency department in January 2024 with persistent hyperglycemia accompanied by asthenia and edema of the extremities and face. He was admitted with blood glucose levels persistently above 300 mg/dL, refractory to insulin therapy. Endocrine evaluation confirmed Cushing’s syndrome, with elevated post-dexamethasone serum cortisol (48 mcg/dL) and increased late-night salivary cortisol (27.8 ng/dL). ACTH levels were markedly elevated (185 pg/mL), consistent with an ACTH-dependent etiology; however, pituitary MRI findings were unremarkable. Given the suspicion of ectopic ACTH secretion, a biopsy of mediastinal lymphadenopathy was performed. Immunohistochemical analysis revealed a well-differentiated neuroendocrine neoplasm, compatible with metastasis from a possible medullary thyroid carcinoma. The markedly elevated serum calcitonin level (4,400 pg/mL) supported the clinical hypothesis. The patient underwent bilateral adrenalectomy followed by total thyroidectomy, resulting in significant clinical and biochemical improvement. He remains under coordinated oncologic and endocrinologic follow-up. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Cushing’s syndrome is a disorder caused by prolonged and pathological exposure to excess glucocorticoids. Its clinical presentation is heterogeneous, and diagnosis may be challenging, particularly in early stages when manifestations are subtle. Paraneoplastic etiology accounts for approximately 15% of all Cushing’s syndrome cases, with ectopic adrenocorticotropic hormone (ACTH) secretion from neuroendocrine tumors representing a rare subset—occurring in only about 10% of ACTH-dependent cases. These forms typically present as severe, rapidly progressive disease, often with poor prognosis, and are more frequently observed in men between 40 and 60 years of age. Bilateral adrenalectomy is considered in situations where hypercortisolism cannot be adequately controlled through resection of the primary tumor, or as a temporizing measure while the tumor’s location is being determined. Final Comments: ACTH-producing neuroendocrine tumors are a rare cause of Cushing’s syndrome and secondary diabetes mellitus, representing a significant challenge for both diagnosis and treatment. Furthermore, they carry a high risk of metabolic, infectious, and thromboembolic complications, which makes clinical management even more challenging.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—192\nCase Presentation: A 40-year-old male presented to the emergency department in January 2024 with persistent hyperglycemia accompanied by asthenia and edema of the extremities and face. He was admitted with blood glucose levels persistently above 300 mg/dL, refractory to insulin therapy. Endocrine evaluation confirmed Cushing’s syndrome, with elevated post-dexamethasone serum cortisol (48 mcg/dL) and increased late-night salivary cortisol (27.8 ng/dL). ACTH levels were markedly elevated (185 pg/mL), consistent with an ACTH-dependent etiology; however, pituitary MRI findings were unremarkable. Given the suspicion of ectopic ACTH secretion, a biopsy of mediastinal lymphadenopathy was performed. Immunohistochemical analysis revealed a well-differentiated neuroendocrine neoplasm, compatible with metastasis from a possible medullary thyroid carcinoma. The markedly elevated serum calcitonin level (4,400 pg/mL) supported the clinical hypothesis. The patient underwent bilateral adrenalectomy followed by total thyroidectomy, resulting in significant clinical and biochemical improvement. He remains under coordinated oncologic and endocrinologic follow-up. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: Cushing’s syndrome is a disorder caused by prolonged and pathological exposure to excess glucocorticoids. Its clinical presentation is heterogeneous, and diagnosis may be challenging, particularly in early stages when manifestations are subtle. Paraneoplastic etiology accounts for approximately 15% of all Cushing’s syndrome cases, with ectopic adrenocorticotropic hormone (ACTH) secretion from neuroendocrine tumors representing a rare subset—occurring in only about 10% of ACTH-dependent cases. These forms typically present as severe, rapidly progressive disease, often with poor prognosis, and are more frequently observed in men between 40 and 60 years of age. Bilateral adrenalectomy is considered in situations where hypercortisolism cannot be adequately controlled through resection of the primary tumor, or as a temporizing measure while the tumor’s location is being determined. Final Comments: ACTH-producing neuroendocrine tumors are a rare cause of Cushing’s syndrome and secondary diabetes mellitus, representing a significant challenge for both diagnosis and treatment. Furthermore, they carry a high risk of metabolic, infectious, and thromboembolic complications, which makes clinical management even more challenging.\n\n\n### PO—196 Metreleptin Therapy in Congenital Generalized Lipodystrophy: Case Report of a Brazilian Adolescent with AGPAT2 Mutation\nCase Presentation: A 12-year-old female was referred to a tertiary public diabetes clinic in 2019 for evaluation of polyuria and polydipsia. Glycated hemoglobin (HbA1c) was 8.7%, confirming the diagnosis of diabetes mellitus. She had a history of hypertriglyceridemia since childhood, along with difficulty gaining weight, and hyperphagia. Physical examination revealed a generalized loss of subcutaneous fat (body mass index 17 kg/m2), muscular hypertrophy, acromegaloid features, and prominent veins. These findings raised clinical suspicion for Berardinelli-Seip Congenital Lipodystrophy (BSCL). Treatment with insulin, metformin, fibrate, and statin was initiated. In 2021, BSCL type 1 was confirmed by identifying a mutation in the AGPAT2 gene. Over time, insulin requirements increased up to 2.8 IU/kg/day, with the development of diabetic kidney disease, hepatic steatosis, and worsening HbA1c (up to 12.8%). Triglycerides exceeded 500 mg/dL. In 2024, metreleptin therapy was initiated, resulting in a greater than 5% reduction in HbA1c (to 7.3%) within 10 weeks, a more than 50% decrease in insulin requiriment, and significant improvement in triglyceride levels, allowing discontinuation of fibrate and statin therapy. However, after a six-month interruption in metreleptin supply, HbA1c rose again to 12%, insulin requirements increased, and triglyceride levels deteriorated. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophies are rare disorders characterized by loss of adipose tissue without evidence of malnutrition or catabolism. The BCSL is an autosomal recessive condition, more prevalent in populations with high rates of consanguinity. First described in 1954 by Brazilian physician Waldemar Berardinelli, BSCL is linked to mutations in the AGPAT2 or BSCL2 genes. The adipose tissue loss results in hypoleptinemia, which contributes to insulin resistance, diabetes, hepatic steatosis, and dyslipidemia. Common phenotypic features include muscular hypertrophy, acanthosis nigricans, hepatomegaly, and prominent veins. Treatment includes lifestyle modifications, such as diet and exercise, pharmacological interventions including insulin, and novel therapies like metreleptin, which improves metabolic control though it is not curative. Final Comments: The rarity of BSCL challenges timely diagnosis and limits access to targeted therapies. Enhanced clinical awareness and supportive public health policies are essential to ensure metreleptin availability and improve patient outcomes.\n\n\n### Pedrosa B1; Cabizuca CA1; Tannus LRM1; de Vasconcellos CAVA1; Smith BG1; Menezes NF1; Martins ISS1; Costa ASMF1\nCase Presentation: A 12-year-old female was referred to a tertiary public diabetes clinic in 2019 for evaluation of polyuria and polydipsia. Glycated hemoglobin (HbA1c) was 8.7%, confirming the diagnosis of diabetes mellitus. She had a history of hypertriglyceridemia since childhood, along with difficulty gaining weight, and hyperphagia. Physical examination revealed a generalized loss of subcutaneous fat (body mass index 17 kg/m2), muscular hypertrophy, acromegaloid features, and prominent veins. These findings raised clinical suspicion for Berardinelli-Seip Congenital Lipodystrophy (BSCL). Treatment with insulin, metformin, fibrate, and statin was initiated. In 2021, BSCL type 1 was confirmed by identifying a mutation in the AGPAT2 gene. Over time, insulin requirements increased up to 2.8 IU/kg/day, with the development of diabetic kidney disease, hepatic steatosis, and worsening HbA1c (up to 12.8%). Triglycerides exceeded 500 mg/dL. In 2024, metreleptin therapy was initiated, resulting in a greater than 5% reduction in HbA1c (to 7.3%) within 10 weeks, a more than 50% decrease in insulin requiriment, and significant improvement in triglyceride levels, allowing discontinuation of fibrate and statin therapy. However, after a six-month interruption in metreleptin supply, HbA1c rose again to 12%, insulin requirements increased, and triglyceride levels deteriorated. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophies are rare disorders characterized by loss of adipose tissue without evidence of malnutrition or catabolism. The BCSL is an autosomal recessive condition, more prevalent in populations with high rates of consanguinity. First described in 1954 by Brazilian physician Waldemar Berardinelli, BSCL is linked to mutations in the AGPAT2 or BSCL2 genes. The adipose tissue loss results in hypoleptinemia, which contributes to insulin resistance, diabetes, hepatic steatosis, and dyslipidemia. Common phenotypic features include muscular hypertrophy, acanthosis nigricans, hepatomegaly, and prominent veins. Treatment includes lifestyle modifications, such as diet and exercise, pharmacological interventions including insulin, and novel therapies like metreleptin, which improves metabolic control though it is not curative. Final Comments: The rarity of BSCL challenges timely diagnosis and limits access to targeted therapies. Enhanced clinical awareness and supportive public health policies are essential to ensure metreleptin availability and improve patient outcomes.\n\n\n### (1) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nCase Presentation: A 12-year-old female was referred to a tertiary public diabetes clinic in 2019 for evaluation of polyuria and polydipsia. Glycated hemoglobin (HbA1c) was 8.7%, confirming the diagnosis of diabetes mellitus. She had a history of hypertriglyceridemia since childhood, along with difficulty gaining weight, and hyperphagia. Physical examination revealed a generalized loss of subcutaneous fat (body mass index 17 kg/m2), muscular hypertrophy, acromegaloid features, and prominent veins. These findings raised clinical suspicion for Berardinelli-Seip Congenital Lipodystrophy (BSCL). Treatment with insulin, metformin, fibrate, and statin was initiated. In 2021, BSCL type 1 was confirmed by identifying a mutation in the AGPAT2 gene. Over time, insulin requirements increased up to 2.8 IU/kg/day, with the development of diabetic kidney disease, hepatic steatosis, and worsening HbA1c (up to 12.8%). Triglycerides exceeded 500 mg/dL. In 2024, metreleptin therapy was initiated, resulting in a greater than 5% reduction in HbA1c (to 7.3%) within 10 weeks, a more than 50% decrease in insulin requiriment, and significant improvement in triglyceride levels, allowing discontinuation of fibrate and statin therapy. However, after a six-month interruption in metreleptin supply, HbA1c rose again to 12%, insulin requirements increased, and triglyceride levels deteriorated. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophies are rare disorders characterized by loss of adipose tissue without evidence of malnutrition or catabolism. The BCSL is an autosomal recessive condition, more prevalent in populations with high rates of consanguinity. First described in 1954 by Brazilian physician Waldemar Berardinelli, BSCL is linked to mutations in the AGPAT2 or BSCL2 genes. The adipose tissue loss results in hypoleptinemia, which contributes to insulin resistance, diabetes, hepatic steatosis, and dyslipidemia. Common phenotypic features include muscular hypertrophy, acanthosis nigricans, hepatomegaly, and prominent veins. Treatment includes lifestyle modifications, such as diet and exercise, pharmacological interventions including insulin, and novel therapies like metreleptin, which improves metabolic control though it is not curative. Final Comments: The rarity of BSCL challenges timely diagnosis and limits access to targeted therapies. Enhanced clinical awareness and supportive public health policies are essential to ensure metreleptin availability and improve patient outcomes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—196\nCase Presentation: A 12-year-old female was referred to a tertiary public diabetes clinic in 2019 for evaluation of polyuria and polydipsia. Glycated hemoglobin (HbA1c) was 8.7%, confirming the diagnosis of diabetes mellitus. She had a history of hypertriglyceridemia since childhood, along with difficulty gaining weight, and hyperphagia. Physical examination revealed a generalized loss of subcutaneous fat (body mass index 17 kg/m2), muscular hypertrophy, acromegaloid features, and prominent veins. These findings raised clinical suspicion for Berardinelli-Seip Congenital Lipodystrophy (BSCL). Treatment with insulin, metformin, fibrate, and statin was initiated. In 2021, BSCL type 1 was confirmed by identifying a mutation in the AGPAT2 gene. Over time, insulin requirements increased up to 2.8 IU/kg/day, with the development of diabetic kidney disease, hepatic steatosis, and worsening HbA1c (up to 12.8%). Triglycerides exceeded 500 mg/dL. In 2024, metreleptin therapy was initiated, resulting in a greater than 5% reduction in HbA1c (to 7.3%) within 10 weeks, a more than 50% decrease in insulin requiriment, and significant improvement in triglyceride levels, allowing discontinuation of fibrate and statin therapy. However, after a six-month interruption in metreleptin supply, HbA1c rose again to 12%, insulin requirements increased, and triglyceride levels deteriorated. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophies are rare disorders characterized by loss of adipose tissue without evidence of malnutrition or catabolism. The BCSL is an autosomal recessive condition, more prevalent in populations with high rates of consanguinity. First described in 1954 by Brazilian physician Waldemar Berardinelli, BSCL is linked to mutations in the AGPAT2 or BSCL2 genes. The adipose tissue loss results in hypoleptinemia, which contributes to insulin resistance, diabetes, hepatic steatosis, and dyslipidemia. Common phenotypic features include muscular hypertrophy, acanthosis nigricans, hepatomegaly, and prominent veins. Treatment includes lifestyle modifications, such as diet and exercise, pharmacological interventions including insulin, and novel therapies like metreleptin, which improves metabolic control though it is not curative. Final Comments: The rarity of BSCL challenges timely diagnosis and limits access to targeted therapies. Enhanced clinical awareness and supportive public health policies are essential to ensure metreleptin availability and improve patient outcomes.\n\n\n### PO—197 Multidisciplinary Approach and Management of Insulin Resistance in a Child with Bardet-Biedl Syndrome and Autism Spectrum Disorder: a Case Report\nCase Presentation: Patient L.V., a male child, was diagnosed with Bardet-Biedl Syndrome (BBS), a rare genetic ciliopathy with autosomal recessive inheritance, characterized by multisystemic manifestations. He presented with early-onset obesity, polydactyly, global neuropsychomotor developmental delay, and hypotonia. He was also diagnosed with Autism Spectrum Disorder (ASD), exhibiting significant impairments in language, social interaction, and behavior. Laboratory tests revealed hyperinsulinemia (fasting insulin > 30 µU/mL), indicating marked insulin resistance. Considering the high risk of progression to type 2 diabetes and hepatic steatosis, an intensive therapeutic plan was initiated, including personalized nutritional counseling, supervised daily physical activity, and systematic family involvement. Multidisciplinary support included speech therapy, occupational therapy, physical therapy and psychotherapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Early insulin resistance in BBS patients is a significant metabolic complication, directly associated with central obesity—a common feature of disease progression. Elevated fasting insulin levels, as observed in this case, suggest an imminent risk of developing type 2 diabetes during childhood, in addition to predisposition to dyslipidemia, hepatic steatosis, and metabolic syndrome. These findings require immediate, continuous, and age-appropriate interventions. The coexistence of ASD exacerbates clinical challenges, as restrictive behaviors, food selectivity, and communication difficulties can hinder adherence to dietary and physical activity plans. In such cases, the involvement of a multidisciplinary team with integrated collaboration between healthcare and educational professionals is essential. Individualized care, active family participation, and specialized support in behavioral and sensory therapies are key factors for therapeutic success. Moreover, continuous monitoring of metabolic parameters, renal function, and visual acuity is crucial, given the potentially progressive and disabling nature of the syndrome. Final Comments: Despite a favorable initial response to treatment, the prognosis remains guarded due to the progressive nature of BBS. This case underscores the importance of early identification of insulin resistance and the role of integrated interdisciplinary care in mitigating metabolic risks and promoting global development.\n\n\n### Campanha ACA1; Simões JRA2; Araújo LR1\nCase Presentation: Patient L.V., a male child, was diagnosed with Bardet-Biedl Syndrome (BBS), a rare genetic ciliopathy with autosomal recessive inheritance, characterized by multisystemic manifestations. He presented with early-onset obesity, polydactyly, global neuropsychomotor developmental delay, and hypotonia. He was also diagnosed with Autism Spectrum Disorder (ASD), exhibiting significant impairments in language, social interaction, and behavior. Laboratory tests revealed hyperinsulinemia (fasting insulin > 30 µU/mL), indicating marked insulin resistance. Considering the high risk of progression to type 2 diabetes and hepatic steatosis, an intensive therapeutic plan was initiated, including personalized nutritional counseling, supervised daily physical activity, and systematic family involvement. Multidisciplinary support included speech therapy, occupational therapy, physical therapy and psychotherapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Early insulin resistance in BBS patients is a significant metabolic complication, directly associated with central obesity—a common feature of disease progression. Elevated fasting insulin levels, as observed in this case, suggest an imminent risk of developing type 2 diabetes during childhood, in addition to predisposition to dyslipidemia, hepatic steatosis, and metabolic syndrome. These findings require immediate, continuous, and age-appropriate interventions. The coexistence of ASD exacerbates clinical challenges, as restrictive behaviors, food selectivity, and communication difficulties can hinder adherence to dietary and physical activity plans. In such cases, the involvement of a multidisciplinary team with integrated collaboration between healthcare and educational professionals is essential. Individualized care, active family participation, and specialized support in behavioral and sensory therapies are key factors for therapeutic success. Moreover, continuous monitoring of metabolic parameters, renal function, and visual acuity is crucial, given the potentially progressive and disabling nature of the syndrome. Final Comments: Despite a favorable initial response to treatment, the prognosis remains guarded due to the progressive nature of BBS. This case underscores the importance of early identification of insulin resistance and the role of integrated interdisciplinary care in mitigating metabolic risks and promoting global development.\n\n\n### (1) Faculdade Ciências Médicas de Minas Gerais, Belo Horizonte, MG, Brasil; (2) Faculdade FAMINAS BH, Belo Horizonte, MG, Brasil\nCase Presentation: Patient L.V., a male child, was diagnosed with Bardet-Biedl Syndrome (BBS), a rare genetic ciliopathy with autosomal recessive inheritance, characterized by multisystemic manifestations. He presented with early-onset obesity, polydactyly, global neuropsychomotor developmental delay, and hypotonia. He was also diagnosed with Autism Spectrum Disorder (ASD), exhibiting significant impairments in language, social interaction, and behavior. Laboratory tests revealed hyperinsulinemia (fasting insulin > 30 µU/mL), indicating marked insulin resistance. Considering the high risk of progression to type 2 diabetes and hepatic steatosis, an intensive therapeutic plan was initiated, including personalized nutritional counseling, supervised daily physical activity, and systematic family involvement. Multidisciplinary support included speech therapy, occupational therapy, physical therapy and psychotherapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Early insulin resistance in BBS patients is a significant metabolic complication, directly associated with central obesity—a common feature of disease progression. Elevated fasting insulin levels, as observed in this case, suggest an imminent risk of developing type 2 diabetes during childhood, in addition to predisposition to dyslipidemia, hepatic steatosis, and metabolic syndrome. These findings require immediate, continuous, and age-appropriate interventions. The coexistence of ASD exacerbates clinical challenges, as restrictive behaviors, food selectivity, and communication difficulties can hinder adherence to dietary and physical activity plans. In such cases, the involvement of a multidisciplinary team with integrated collaboration between healthcare and educational professionals is essential. Individualized care, active family participation, and specialized support in behavioral and sensory therapies are key factors for therapeutic success. Moreover, continuous monitoring of metabolic parameters, renal function, and visual acuity is crucial, given the potentially progressive and disabling nature of the syndrome. Final Comments: Despite a favorable initial response to treatment, the prognosis remains guarded due to the progressive nature of BBS. This case underscores the importance of early identification of insulin resistance and the role of integrated interdisciplinary care in mitigating metabolic risks and promoting global development.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—197\nCase Presentation: Patient L.V., a male child, was diagnosed with Bardet-Biedl Syndrome (BBS), a rare genetic ciliopathy with autosomal recessive inheritance, characterized by multisystemic manifestations. He presented with early-onset obesity, polydactyly, global neuropsychomotor developmental delay, and hypotonia. He was also diagnosed with Autism Spectrum Disorder (ASD), exhibiting significant impairments in language, social interaction, and behavior. Laboratory tests revealed hyperinsulinemia (fasting insulin > 30 µU/mL), indicating marked insulin resistance. Considering the high risk of progression to type 2 diabetes and hepatic steatosis, an intensive therapeutic plan was initiated, including personalized nutritional counseling, supervised daily physical activity, and systematic family involvement. Multidisciplinary support included speech therapy, occupational therapy, physical therapy and psychotherapy. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: Early insulin resistance in BBS patients is a significant metabolic complication, directly associated with central obesity—a common feature of disease progression. Elevated fasting insulin levels, as observed in this case, suggest an imminent risk of developing type 2 diabetes during childhood, in addition to predisposition to dyslipidemia, hepatic steatosis, and metabolic syndrome. These findings require immediate, continuous, and age-appropriate interventions. The coexistence of ASD exacerbates clinical challenges, as restrictive behaviors, food selectivity, and communication difficulties can hinder adherence to dietary and physical activity plans. In such cases, the involvement of a multidisciplinary team with integrated collaboration between healthcare and educational professionals is essential. Individualized care, active family participation, and specialized support in behavioral and sensory therapies are key factors for therapeutic success. Moreover, continuous monitoring of metabolic parameters, renal function, and visual acuity is crucial, given the potentially progressive and disabling nature of the syndrome. Final Comments: Despite a favorable initial response to treatment, the prognosis remains guarded due to the progressive nature of BBS. This case underscores the importance of early identification of insulin resistance and the role of integrated interdisciplinary care in mitigating metabolic risks and promoting global development.\n\n\n### PO—198 Nivolumab-induced Autoimmune Diabetes Mellitus in a Patient with Metastatic Renal Cell Carcinoma\nCase Presentation: A 53-year-old male was referred to the endocrinology service in May 2025 due to a six-day history of polyuria, polydipsia, polyphagia, blurred vision, and nausea. Laboratory tests revealed a blood glucose level of 575 mg/dL, with no ketonuria or acidosis. The patient denied a previous diagnosis of diabetes, reported a family history of type 2 diabetes (mother) and had Class I obesity. He had a history of renal cell carcinoma diagnosed in 2024, treated with nephrectomy in the same year. Subsequently, developed lung metastasis and began nivolumab therapy in November 2024. Laboratory tests from March 2025 showed a fasting blood glucose of 94 mg/dL and a Glycated Hemoglobin A1c (HbA1c) of 5.6%. Due to persistent hyperglycemia, insulin therapy was initiated at 0.4 IU/kg/day using a basal-bolus regimen. After fifteen days, follow-up tests showed an HbA1c of 8.9% and a fasting blood glucose of 377 mg/dL. Insulin doses were adjusted, resulting in improved glycemic control, as evidenced by capillary blood glucose self-monitoring. Tests for anti-islet cell and anti-glutamic acid decarboxylase antibodies were positive. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: We report the case of an oncology patient who developed a sudden onset of diabetes 6 months after starting immunotherapy. The use of immune checkpoint inhibitors, such as nivolumab, is associated with autoimmune endocrine adverse effects, including thyroiditis and hypophysitis. Fulminant diabetes associated with immunotherapy is less frequent, occurring in about 1% of patients, and is due to the abrupt destruction of pancreatic beta cells. The patient presented with a sudden onset of hyperglycemia in the context of immunotherapy, with a normal HbA1c measured 2 months earlier, suggesting a rapid onset of the condition. The absence of ketoacidosis and the presence of obesity make it difficult to distinguish between induced type 1 diabetes and type 2 diabetes. However, the abrupt onset and probable insulinopenia, demonstrated by the need for insulin, suggest an autoimmune cause, which was corroborated by the autoantibody test results. Final Comments: This report highlights the importance of clinical and laboratory surveillance for endocrine manifestations associated with the use of immunotherapeutic agents. Diabetes, although rare, can manifest abruptly and requires early recognition to avoid complications. Future studies may identify predictive risk markers and establish specific protocols for the management of diabetes induced by immune checkpoint inhibitors.\n\n\n### Pontes ALF1; Soares DV1; Pessôa VNK1; Corrêa MG1\nCase Presentation: A 53-year-old male was referred to the endocrinology service in May 2025 due to a six-day history of polyuria, polydipsia, polyphagia, blurred vision, and nausea. Laboratory tests revealed a blood glucose level of 575 mg/dL, with no ketonuria or acidosis. The patient denied a previous diagnosis of diabetes, reported a family history of type 2 diabetes (mother) and had Class I obesity. He had a history of renal cell carcinoma diagnosed in 2024, treated with nephrectomy in the same year. Subsequently, developed lung metastasis and began nivolumab therapy in November 2024. Laboratory tests from March 2025 showed a fasting blood glucose of 94 mg/dL and a Glycated Hemoglobin A1c (HbA1c) of 5.6%. Due to persistent hyperglycemia, insulin therapy was initiated at 0.4 IU/kg/day using a basal-bolus regimen. After fifteen days, follow-up tests showed an HbA1c of 8.9% and a fasting blood glucose of 377 mg/dL. Insulin doses were adjusted, resulting in improved glycemic control, as evidenced by capillary blood glucose self-monitoring. Tests for anti-islet cell and anti-glutamic acid decarboxylase antibodies were positive. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: We report the case of an oncology patient who developed a sudden onset of diabetes 6 months after starting immunotherapy. The use of immune checkpoint inhibitors, such as nivolumab, is associated with autoimmune endocrine adverse effects, including thyroiditis and hypophysitis. Fulminant diabetes associated with immunotherapy is less frequent, occurring in about 1% of patients, and is due to the abrupt destruction of pancreatic beta cells. The patient presented with a sudden onset of hyperglycemia in the context of immunotherapy, with a normal HbA1c measured 2 months earlier, suggesting a rapid onset of the condition. The absence of ketoacidosis and the presence of obesity make it difficult to distinguish between induced type 1 diabetes and type 2 diabetes. However, the abrupt onset and probable insulinopenia, demonstrated by the need for insulin, suggest an autoimmune cause, which was corroborated by the autoantibody test results. Final Comments: This report highlights the importance of clinical and laboratory surveillance for endocrine manifestations associated with the use of immunotherapeutic agents. Diabetes, although rare, can manifest abruptly and requires early recognition to avoid complications. Future studies may identify predictive risk markers and establish specific protocols for the management of diabetes induced by immune checkpoint inhibitors.\n\n\n### (1) Departamento de Endocrinologia do Hospital Universitário Antônio Pedro, Universidade Federal Fluminense- Niterói, RJ, Brasil\nCase Presentation: A 53-year-old male was referred to the endocrinology service in May 2025 due to a six-day history of polyuria, polydipsia, polyphagia, blurred vision, and nausea. Laboratory tests revealed a blood glucose level of 575 mg/dL, with no ketonuria or acidosis. The patient denied a previous diagnosis of diabetes, reported a family history of type 2 diabetes (mother) and had Class I obesity. He had a history of renal cell carcinoma diagnosed in 2024, treated with nephrectomy in the same year. Subsequently, developed lung metastasis and began nivolumab therapy in November 2024. Laboratory tests from March 2025 showed a fasting blood glucose of 94 mg/dL and a Glycated Hemoglobin A1c (HbA1c) of 5.6%. Due to persistent hyperglycemia, insulin therapy was initiated at 0.4 IU/kg/day using a basal-bolus regimen. After fifteen days, follow-up tests showed an HbA1c of 8.9% and a fasting blood glucose of 377 mg/dL. Insulin doses were adjusted, resulting in improved glycemic control, as evidenced by capillary blood glucose self-monitoring. Tests for anti-islet cell and anti-glutamic acid decarboxylase antibodies were positive. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: We report the case of an oncology patient who developed a sudden onset of diabetes 6 months after starting immunotherapy. The use of immune checkpoint inhibitors, such as nivolumab, is associated with autoimmune endocrine adverse effects, including thyroiditis and hypophysitis. Fulminant diabetes associated with immunotherapy is less frequent, occurring in about 1% of patients, and is due to the abrupt destruction of pancreatic beta cells. The patient presented with a sudden onset of hyperglycemia in the context of immunotherapy, with a normal HbA1c measured 2 months earlier, suggesting a rapid onset of the condition. The absence of ketoacidosis and the presence of obesity make it difficult to distinguish between induced type 1 diabetes and type 2 diabetes. However, the abrupt onset and probable insulinopenia, demonstrated by the need for insulin, suggest an autoimmune cause, which was corroborated by the autoantibody test results. Final Comments: This report highlights the importance of clinical and laboratory surveillance for endocrine manifestations associated with the use of immunotherapeutic agents. Diabetes, although rare, can manifest abruptly and requires early recognition to avoid complications. Future studies may identify predictive risk markers and establish specific protocols for the management of diabetes induced by immune checkpoint inhibitors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—198\nCase Presentation: A 53-year-old male was referred to the endocrinology service in May 2025 due to a six-day history of polyuria, polydipsia, polyphagia, blurred vision, and nausea. Laboratory tests revealed a blood glucose level of 575 mg/dL, with no ketonuria or acidosis. The patient denied a previous diagnosis of diabetes, reported a family history of type 2 diabetes (mother) and had Class I obesity. He had a history of renal cell carcinoma diagnosed in 2024, treated with nephrectomy in the same year. Subsequently, developed lung metastasis and began nivolumab therapy in November 2024. Laboratory tests from March 2025 showed a fasting blood glucose of 94 mg/dL and a Glycated Hemoglobin A1c (HbA1c) of 5.6%. Due to persistent hyperglycemia, insulin therapy was initiated at 0.4 IU/kg/day using a basal-bolus regimen. After fifteen days, follow-up tests showed an HbA1c of 8.9% and a fasting blood glucose of 377 mg/dL. Insulin doses were adjusted, resulting in improved glycemic control, as evidenced by capillary blood glucose self-monitoring. Tests for anti-islet cell and anti-glutamic acid decarboxylase antibodies were positive. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: We report the case of an oncology patient who developed a sudden onset of diabetes 6 months after starting immunotherapy. The use of immune checkpoint inhibitors, such as nivolumab, is associated with autoimmune endocrine adverse effects, including thyroiditis and hypophysitis. Fulminant diabetes associated with immunotherapy is less frequent, occurring in about 1% of patients, and is due to the abrupt destruction of pancreatic beta cells. The patient presented with a sudden onset of hyperglycemia in the context of immunotherapy, with a normal HbA1c measured 2 months earlier, suggesting a rapid onset of the condition. The absence of ketoacidosis and the presence of obesity make it difficult to distinguish between induced type 1 diabetes and type 2 diabetes. However, the abrupt onset and probable insulinopenia, demonstrated by the need for insulin, suggest an autoimmune cause, which was corroborated by the autoantibody test results. Final Comments: This report highlights the importance of clinical and laboratory surveillance for endocrine manifestations associated with the use of immunotherapeutic agents. Diabetes, although rare, can manifest abruptly and requires early recognition to avoid complications. Future studies may identify predictive risk markers and establish specific protocols for the management of diabetes induced by immune checkpoint inhibitors.\n\n\n### PO—199 Rare Presentation of Acute Coronary Syndrome in a Patient Diagnosed with MELAS Syndrome (Mitochondrial Encephalomyopathy, Lactic Acidosis, and Stroke-Like Episodes) and MIDD (Maternally Inherited Diabetes and Deafness)\nCase Presentation: A 47-year-old woman, with three pregnancies complicated by cervical insufficiency and menopause at age 42, required surgical correction due to urinary incontinence. She had a history of ischemic stroke at age 41, controlled epilepsy, and a diagnosis of type 2 diabetes mellitus at age 25, managed with metformin. Cystocele repair was performed in January 2025. On the 9th postoperative day, she developed a surgical complication with spontaneous mesh extrusion, and surgical reintervention was scheduled. The night before, she experienced a sudden episode of chest pain with ST-segment depression in leads V5–V6, leading to a diagnosis of acute coronary syndrome (ACS). Coronary angiography revealed a subtotal lesion in the left anterior descending artery, which was treated with a bare-metal stent. Her past medical history included short stature, severe bilateral sensorineural hearing loss, and significant cognitive impairment. During hospitalization, she also presented with persistent hyperglycemia, intermittent lactic acidosis, and asymptomatic hyperkalemia. Given the clinical presentation and a similar family history in first-degree relatives, mitochondrial disease was suspected. Genetic sequencing confirmed the m.3243A>G mutation in the MT-TL1 gene, consistent with a diagnosis of MIDD overlapping with MELAS syndrome. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Genetic mitochondrial diseases are rare and heterogeneous, affecting organs with high energy demand. Mitochondrial inheritance is maternal, and the m.3243A>G mutation is associated with both MELAS syndrome and MIDD. MELAS syndrome primarily presents with stroke-like episodes, encephalopathy with seizures or dementia, myopathy, and lactic acidosis. This case is significant because it is rare for patients with MELAS syndrome to present with ACS, such as myocardial infarction due to atherosclerotic plaque rupture. The literature usually reports cases of myocardial ischemia secondary to other factors, including mitochondrial endothelial dysfunction, microvascular alterations, tissue hypoxia due to lactic acidosis, and severe arrhythmias or decompensated heart failure, leading to type 2 myocardial injury. Final Comments: The treatment is supportive, and early recognition is essential for monitoring complications, ensuring adequate glycemic control, and conducting family screening and counseling. Atherosclerosis is not typical in patients with MELAS syndrome but may coexist. Investigation should be guided by individual risk and not performed systematically.\n\n\n### Pereira NGFS1; Galiassi GER1; Dutra FHT1; Rodrigues PB1; Yance VRV1\nCase Presentation: A 47-year-old woman, with three pregnancies complicated by cervical insufficiency and menopause at age 42, required surgical correction due to urinary incontinence. She had a history of ischemic stroke at age 41, controlled epilepsy, and a diagnosis of type 2 diabetes mellitus at age 25, managed with metformin. Cystocele repair was performed in January 2025. On the 9th postoperative day, she developed a surgical complication with spontaneous mesh extrusion, and surgical reintervention was scheduled. The night before, she experienced a sudden episode of chest pain with ST-segment depression in leads V5–V6, leading to a diagnosis of acute coronary syndrome (ACS). Coronary angiography revealed a subtotal lesion in the left anterior descending artery, which was treated with a bare-metal stent. Her past medical history included short stature, severe bilateral sensorineural hearing loss, and significant cognitive impairment. During hospitalization, she also presented with persistent hyperglycemia, intermittent lactic acidosis, and asymptomatic hyperkalemia. Given the clinical presentation and a similar family history in first-degree relatives, mitochondrial disease was suspected. Genetic sequencing confirmed the m.3243A>G mutation in the MT-TL1 gene, consistent with a diagnosis of MIDD overlapping with MELAS syndrome. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Genetic mitochondrial diseases are rare and heterogeneous, affecting organs with high energy demand. Mitochondrial inheritance is maternal, and the m.3243A>G mutation is associated with both MELAS syndrome and MIDD. MELAS syndrome primarily presents with stroke-like episodes, encephalopathy with seizures or dementia, myopathy, and lactic acidosis. This case is significant because it is rare for patients with MELAS syndrome to present with ACS, such as myocardial infarction due to atherosclerotic plaque rupture. The literature usually reports cases of myocardial ischemia secondary to other factors, including mitochondrial endothelial dysfunction, microvascular alterations, tissue hypoxia due to lactic acidosis, and severe arrhythmias or decompensated heart failure, leading to type 2 myocardial injury. Final Comments: The treatment is supportive, and early recognition is essential for monitoring complications, ensuring adequate glycemic control, and conducting family screening and counseling. Atherosclerosis is not typical in patients with MELAS syndrome but may coexist. Investigation should be guided by individual risk and not performed systematically.\n\n\n### (1) Universidade Federal da Grande Dourados, Dourados, MS, Brasil\nCase Presentation: A 47-year-old woman, with three pregnancies complicated by cervical insufficiency and menopause at age 42, required surgical correction due to urinary incontinence. She had a history of ischemic stroke at age 41, controlled epilepsy, and a diagnosis of type 2 diabetes mellitus at age 25, managed with metformin. Cystocele repair was performed in January 2025. On the 9th postoperative day, she developed a surgical complication with spontaneous mesh extrusion, and surgical reintervention was scheduled. The night before, she experienced a sudden episode of chest pain with ST-segment depression in leads V5–V6, leading to a diagnosis of acute coronary syndrome (ACS). Coronary angiography revealed a subtotal lesion in the left anterior descending artery, which was treated with a bare-metal stent. Her past medical history included short stature, severe bilateral sensorineural hearing loss, and significant cognitive impairment. During hospitalization, she also presented with persistent hyperglycemia, intermittent lactic acidosis, and asymptomatic hyperkalemia. Given the clinical presentation and a similar family history in first-degree relatives, mitochondrial disease was suspected. Genetic sequencing confirmed the m.3243A>G mutation in the MT-TL1 gene, consistent with a diagnosis of MIDD overlapping with MELAS syndrome. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Genetic mitochondrial diseases are rare and heterogeneous, affecting organs with high energy demand. Mitochondrial inheritance is maternal, and the m.3243A>G mutation is associated with both MELAS syndrome and MIDD. MELAS syndrome primarily presents with stroke-like episodes, encephalopathy with seizures or dementia, myopathy, and lactic acidosis. This case is significant because it is rare for patients with MELAS syndrome to present with ACS, such as myocardial infarction due to atherosclerotic plaque rupture. The literature usually reports cases of myocardial ischemia secondary to other factors, including mitochondrial endothelial dysfunction, microvascular alterations, tissue hypoxia due to lactic acidosis, and severe arrhythmias or decompensated heart failure, leading to type 2 myocardial injury. Final Comments: The treatment is supportive, and early recognition is essential for monitoring complications, ensuring adequate glycemic control, and conducting family screening and counseling. Atherosclerosis is not typical in patients with MELAS syndrome but may coexist. Investigation should be guided by individual risk and not performed systematically.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—199\nCase Presentation: A 47-year-old woman, with three pregnancies complicated by cervical insufficiency and menopause at age 42, required surgical correction due to urinary incontinence. She had a history of ischemic stroke at age 41, controlled epilepsy, and a diagnosis of type 2 diabetes mellitus at age 25, managed with metformin. Cystocele repair was performed in January 2025. On the 9th postoperative day, she developed a surgical complication with spontaneous mesh extrusion, and surgical reintervention was scheduled. The night before, she experienced a sudden episode of chest pain with ST-segment depression in leads V5–V6, leading to a diagnosis of acute coronary syndrome (ACS). Coronary angiography revealed a subtotal lesion in the left anterior descending artery, which was treated with a bare-metal stent. Her past medical history included short stature, severe bilateral sensorineural hearing loss, and significant cognitive impairment. During hospitalization, she also presented with persistent hyperglycemia, intermittent lactic acidosis, and asymptomatic hyperkalemia. Given the clinical presentation and a similar family history in first-degree relatives, mitochondrial disease was suspected. Genetic sequencing confirmed the m.3243A>G mutation in the MT-TL1 gene, consistent with a diagnosis of MIDD overlapping with MELAS syndrome. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Genetic mitochondrial diseases are rare and heterogeneous, affecting organs with high energy demand. Mitochondrial inheritance is maternal, and the m.3243A>G mutation is associated with both MELAS syndrome and MIDD. MELAS syndrome primarily presents with stroke-like episodes, encephalopathy with seizures or dementia, myopathy, and lactic acidosis. This case is significant because it is rare for patients with MELAS syndrome to present with ACS, such as myocardial infarction due to atherosclerotic plaque rupture. The literature usually reports cases of myocardial ischemia secondary to other factors, including mitochondrial endothelial dysfunction, microvascular alterations, tissue hypoxia due to lactic acidosis, and severe arrhythmias or decompensated heart failure, leading to type 2 myocardial injury. Final Comments: The treatment is supportive, and early recognition is essential for monitoring complications, ensuring adequate glycemic control, and conducting family screening and counseling. Atherosclerosis is not typical in patients with MELAS syndrome but may coexist. Investigation should be guided by individual risk and not performed systematically.\n\n\n### PO—200 Analysis of Patients with Type 2 Diabetes and Steatotic Liver Disease Associated with Metabolic Dysfunction Using the Fatty Liver Index\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is the most common cause of chronic liver disease and the leading contributor to morbidity and mortality related to hepatic conditions. The coexistence of type 2 diabetes mellitus (T2DM) is an independent risk factor for the progression of liver fibrosis. Therefore, the T2DM population is a priority group for MASLD screening. The Fatty Liver Index (FLI) is a clinical-laboratory score used in clinical practice for screening hepatic steatosis (HS), providing a low-cost tool. In the original study, using liver ultrasonography as the reference, values below 30 were identified as excluding HS with 87% sensitivity, while values above 60 showed 86% specificity for HS. Objective: To evaluate the FLI as a screening tool for HS in patients with T2D and MASLD in a referral hospital in a state in Northeastern Brazil. Methods: This descriptive cross-sectional study was conducted between June 2022 and February 2024. We included 296 patients with T2DM and MASLD treated at a referral hospital. Patients with chronic liver disease caused by viral hepatitis (positive serology for hepatitis B or C), excessive alcohol consumption, other causes of chronic liver disease (such as autoimmune hepatitis or hemochromatosis), and those using hepatotoxic drugs—including glucocorticoids, methotrexate, antiretrovirals, amiodarone, tamoxifen, or estrogens—were excluded. The variables collected were sex, age, and FLI. FLI was calculated using a mathematical equation based on triglyceride levels, body mass index (BMI), gamma-glutamyl transferase (GGT), and waist circumference, resulting in values ranging from 0 to 100. The diagnosis of HS was established by liver ultrasound. Results: Of the 296 patients, 190 (64.2%) were female, and the mean age was 61 years. Overall, 215 patients (72.6%) had an FLI greater than 60, 66 (22.4%) had an FLI between 30–60, and 15 (5%) had an FLI below 30. Conclusion: In this study, the FLI demonstrated diagnostic accuracy in over 70% of HS cases, proving to be a useful tool for screening this condition in the studied population, with the advantages of low cost and ease of use.\n\n\n### Azulay RS1; Sombra AN1; Tavares MG1; Nascimento GC1; Magalhães M2; Abutrab JJ1; Oliveira AM1; Santos LA4; Mesquita SL3; Ferreira WC3; Faria M1; Ferreira AP4; Abreu JDF1\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is the most common cause of chronic liver disease and the leading contributor to morbidity and mortality related to hepatic conditions. The coexistence of type 2 diabetes mellitus (T2DM) is an independent risk factor for the progression of liver fibrosis. Therefore, the T2DM population is a priority group for MASLD screening. The Fatty Liver Index (FLI) is a clinical-laboratory score used in clinical practice for screening hepatic steatosis (HS), providing a low-cost tool. In the original study, using liver ultrasonography as the reference, values below 30 were identified as excluding HS with 87% sensitivity, while values above 60 showed 86% specificity for HS. Objective: To evaluate the FLI as a screening tool for HS in patients with T2D and MASLD in a referral hospital in a state in Northeastern Brazil. Methods: This descriptive cross-sectional study was conducted between June 2022 and February 2024. We included 296 patients with T2DM and MASLD treated at a referral hospital. Patients with chronic liver disease caused by viral hepatitis (positive serology for hepatitis B or C), excessive alcohol consumption, other causes of chronic liver disease (such as autoimmune hepatitis or hemochromatosis), and those using hepatotoxic drugs—including glucocorticoids, methotrexate, antiretrovirals, amiodarone, tamoxifen, or estrogens—were excluded. The variables collected were sex, age, and FLI. FLI was calculated using a mathematical equation based on triglyceride levels, body mass index (BMI), gamma-glutamyl transferase (GGT), and waist circumference, resulting in values ranging from 0 to 100. The diagnosis of HS was established by liver ultrasound. Results: Of the 296 patients, 190 (64.2%) were female, and the mean age was 61 years. Overall, 215 patients (72.6%) had an FLI greater than 60, 66 (22.4%) had an FLI between 30–60, and 15 (5%) had an FLI below 30. Conclusion: In this study, the FLI demonstrated diagnostic accuracy in over 70% of HS cases, proving to be a useful tool for screening this condition in the studied population, with the advantages of low cost and ease of use.\n\n\n### (1) Endocrinology Unit, University Hospital of the Federal University of Maranhão/EBSERH, São Luís, MA, Brasil; (2) Research Group in Clinical and Molecular Endocrinology and Metabology, Federal University of Maranhão, São Luís, MA, Brasil; (3) Federal University of Maranhão, São Luís, MA, Brasil; (4) Graduate Program in Health Sciences, Federal University of Maranhão, São Luís, MA, Brasil\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is the most common cause of chronic liver disease and the leading contributor to morbidity and mortality related to hepatic conditions. The coexistence of type 2 diabetes mellitus (T2DM) is an independent risk factor for the progression of liver fibrosis. Therefore, the T2DM population is a priority group for MASLD screening. The Fatty Liver Index (FLI) is a clinical-laboratory score used in clinical practice for screening hepatic steatosis (HS), providing a low-cost tool. In the original study, using liver ultrasonography as the reference, values below 30 were identified as excluding HS with 87% sensitivity, while values above 60 showed 86% specificity for HS. Objective: To evaluate the FLI as a screening tool for HS in patients with T2D and MASLD in a referral hospital in a state in Northeastern Brazil. Methods: This descriptive cross-sectional study was conducted between June 2022 and February 2024. We included 296 patients with T2DM and MASLD treated at a referral hospital. Patients with chronic liver disease caused by viral hepatitis (positive serology for hepatitis B or C), excessive alcohol consumption, other causes of chronic liver disease (such as autoimmune hepatitis or hemochromatosis), and those using hepatotoxic drugs—including glucocorticoids, methotrexate, antiretrovirals, amiodarone, tamoxifen, or estrogens—were excluded. The variables collected were sex, age, and FLI. FLI was calculated using a mathematical equation based on triglyceride levels, body mass index (BMI), gamma-glutamyl transferase (GGT), and waist circumference, resulting in values ranging from 0 to 100. The diagnosis of HS was established by liver ultrasound. Results: Of the 296 patients, 190 (64.2%) were female, and the mean age was 61 years. Overall, 215 patients (72.6%) had an FLI greater than 60, 66 (22.4%) had an FLI between 30–60, and 15 (5%) had an FLI below 30. Conclusion: In this study, the FLI demonstrated diagnostic accuracy in over 70% of HS cases, proving to be a useful tool for screening this condition in the studied population, with the advantages of low cost and ease of use.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—200\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is the most common cause of chronic liver disease and the leading contributor to morbidity and mortality related to hepatic conditions. The coexistence of type 2 diabetes mellitus (T2DM) is an independent risk factor for the progression of liver fibrosis. Therefore, the T2DM population is a priority group for MASLD screening. The Fatty Liver Index (FLI) is a clinical-laboratory score used in clinical practice for screening hepatic steatosis (HS), providing a low-cost tool. In the original study, using liver ultrasonography as the reference, values below 30 were identified as excluding HS with 87% sensitivity, while values above 60 showed 86% specificity for HS. Objective: To evaluate the FLI as a screening tool for HS in patients with T2D and MASLD in a referral hospital in a state in Northeastern Brazil. Methods: This descriptive cross-sectional study was conducted between June 2022 and February 2024. We included 296 patients with T2DM and MASLD treated at a referral hospital. Patients with chronic liver disease caused by viral hepatitis (positive serology for hepatitis B or C), excessive alcohol consumption, other causes of chronic liver disease (such as autoimmune hepatitis or hemochromatosis), and those using hepatotoxic drugs—including glucocorticoids, methotrexate, antiretrovirals, amiodarone, tamoxifen, or estrogens—were excluded. The variables collected were sex, age, and FLI. FLI was calculated using a mathematical equation based on triglyceride levels, body mass index (BMI), gamma-glutamyl transferase (GGT), and waist circumference, resulting in values ranging from 0 to 100. The diagnosis of HS was established by liver ultrasound. Results: Of the 296 patients, 190 (64.2%) were female, and the mean age was 61 years. Overall, 215 patients (72.6%) had an FLI greater than 60, 66 (22.4%) had an FLI between 30–60, and 15 (5%) had an FLI below 30. Conclusion: In this study, the FLI demonstrated diagnostic accuracy in over 70% of HS cases, proving to be a useful tool for screening this condition in the studied population, with the advantages of low cost and ease of use.\n\n\n### PO—201 Anthropometric and Metabolic Profiles in Subjects with Diabetes: Association with Metabolic Dysfunction-Associated Steatotic Liver Disease\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is a spectrum of liver conditions that encompasses steatosis, steatohepatitis, fibrosis and cirrhosis. MASLD is characterized by the accumulation of more than 5% lipids in hepatocytes. Type 2 diabetes and obesity are among the most impactful comorbidities in the progression and severity of MASLD. Objective: To assess the association of anthropometric and metabolic profile and MASLD in diabetic patients. Methods: Cross-sectional study conducted with 101 participants, 82 females (81.19%) and 19 males (18.81%), aged over 18 years, all diagnosed with diabetes and presenting additional risk factors for MASLD. Non-invasive assessment of MAFLD was performed by ultrasound, elastography and bioelectrical impedance analysis. Anthropometric data was collected, such as body mass index (BMI), waist circumference (WC), hip circumference (HC), neck circumference (NC), waist-to-height ratio (WHtR) and waist-to-hip ratio (WHR). Descriptive statistics were applied to characterize the sample. Inferential analyses included the T-test for parametric data and Mann–Whitney U test for non-parametric comparisons. Results: Hepatic steatosis was identified in 88 (87%) participants through elastography, with a median controlled attenuation parameter (CAP) value of 297.5 dB/m. Among participants with steatosis, statistically significant associations were found with the following anthropometric indicators: BMI (median: 31.6 kg/m2; p=0.019), WC (median: 106.4 cm; p=0.016), HC (median: 105.2 cm; p=0.020), and WHtR (median: 0.67; p=0.012). Body composition variables also demonstrated strong correlations: mean body fat percentagem (% BF) was 34.3% and mean lean mass was 65.7%, both significantly associated with steatosis (p=0.003). No significant associations were observed for NC (p=0.116) or WHR (p=0.272). Conclusion: The findings indicates significant associations between hepatic steatosis and several anthropometric parameters in individuals with diabetes. The results suggest that anthropometric profiling may serve as a non-invasive, accessible, and cost-effective aproach for identification of MASLD, particularly among patients with metabolic risk factors, which could be considered in clinical screening and preventive strategies.\n\n\n### Saad MAN1; Flores PP1; Soares DV1; do Prado LR1; Ormond CPR1; Matos MEC1; de Oliveira MA1; Godinho JR1; Torres JPM1; Maia LS1; Manea LP1; Caldas J1; Velarde GC1\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is a spectrum of liver conditions that encompasses steatosis, steatohepatitis, fibrosis and cirrhosis. MASLD is characterized by the accumulation of more than 5% lipids in hepatocytes. Type 2 diabetes and obesity are among the most impactful comorbidities in the progression and severity of MASLD. Objective: To assess the association of anthropometric and metabolic profile and MASLD in diabetic patients. Methods: Cross-sectional study conducted with 101 participants, 82 females (81.19%) and 19 males (18.81%), aged over 18 years, all diagnosed with diabetes and presenting additional risk factors for MASLD. Non-invasive assessment of MAFLD was performed by ultrasound, elastography and bioelectrical impedance analysis. Anthropometric data was collected, such as body mass index (BMI), waist circumference (WC), hip circumference (HC), neck circumference (NC), waist-to-height ratio (WHtR) and waist-to-hip ratio (WHR). Descriptive statistics were applied to characterize the sample. Inferential analyses included the T-test for parametric data and Mann–Whitney U test for non-parametric comparisons. Results: Hepatic steatosis was identified in 88 (87%) participants through elastography, with a median controlled attenuation parameter (CAP) value of 297.5 dB/m. Among participants with steatosis, statistically significant associations were found with the following anthropometric indicators: BMI (median: 31.6 kg/m2; p=0.019), WC (median: 106.4 cm; p=0.016), HC (median: 105.2 cm; p=0.020), and WHtR (median: 0.67; p=0.012). Body composition variables also demonstrated strong correlations: mean body fat percentagem (% BF) was 34.3% and mean lean mass was 65.7%, both significantly associated with steatosis (p=0.003). No significant associations were observed for NC (p=0.116) or WHR (p=0.272). Conclusion: The findings indicates significant associations between hepatic steatosis and several anthropometric parameters in individuals with diabetes. The results suggest that anthropometric profiling may serve as a non-invasive, accessible, and cost-effective aproach for identification of MASLD, particularly among patients with metabolic risk factors, which could be considered in clinical screening and preventive strategies.\n\n\n### (1) Universidade Federal Fluminense, Niterói, RJ, Brasil\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is a spectrum of liver conditions that encompasses steatosis, steatohepatitis, fibrosis and cirrhosis. MASLD is characterized by the accumulation of more than 5% lipids in hepatocytes. Type 2 diabetes and obesity are among the most impactful comorbidities in the progression and severity of MASLD. Objective: To assess the association of anthropometric and metabolic profile and MASLD in diabetic patients. Methods: Cross-sectional study conducted with 101 participants, 82 females (81.19%) and 19 males (18.81%), aged over 18 years, all diagnosed with diabetes and presenting additional risk factors for MASLD. Non-invasive assessment of MAFLD was performed by ultrasound, elastography and bioelectrical impedance analysis. Anthropometric data was collected, such as body mass index (BMI), waist circumference (WC), hip circumference (HC), neck circumference (NC), waist-to-height ratio (WHtR) and waist-to-hip ratio (WHR). Descriptive statistics were applied to characterize the sample. Inferential analyses included the T-test for parametric data and Mann–Whitney U test for non-parametric comparisons. Results: Hepatic steatosis was identified in 88 (87%) participants through elastography, with a median controlled attenuation parameter (CAP) value of 297.5 dB/m. Among participants with steatosis, statistically significant associations were found with the following anthropometric indicators: BMI (median: 31.6 kg/m2; p=0.019), WC (median: 106.4 cm; p=0.016), HC (median: 105.2 cm; p=0.020), and WHtR (median: 0.67; p=0.012). Body composition variables also demonstrated strong correlations: mean body fat percentagem (% BF) was 34.3% and mean lean mass was 65.7%, both significantly associated with steatosis (p=0.003). No significant associations were observed for NC (p=0.116) or WHR (p=0.272). Conclusion: The findings indicates significant associations between hepatic steatosis and several anthropometric parameters in individuals with diabetes. The results suggest that anthropometric profiling may serve as a non-invasive, accessible, and cost-effective aproach for identification of MASLD, particularly among patients with metabolic risk factors, which could be considered in clinical screening and preventive strategies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—201\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is a spectrum of liver conditions that encompasses steatosis, steatohepatitis, fibrosis and cirrhosis. MASLD is characterized by the accumulation of more than 5% lipids in hepatocytes. Type 2 diabetes and obesity are among the most impactful comorbidities in the progression and severity of MASLD. Objective: To assess the association of anthropometric and metabolic profile and MASLD in diabetic patients. Methods: Cross-sectional study conducted with 101 participants, 82 females (81.19%) and 19 males (18.81%), aged over 18 years, all diagnosed with diabetes and presenting additional risk factors for MASLD. Non-invasive assessment of MAFLD was performed by ultrasound, elastography and bioelectrical impedance analysis. Anthropometric data was collected, such as body mass index (BMI), waist circumference (WC), hip circumference (HC), neck circumference (NC), waist-to-height ratio (WHtR) and waist-to-hip ratio (WHR). Descriptive statistics were applied to characterize the sample. Inferential analyses included the T-test for parametric data and Mann–Whitney U test for non-parametric comparisons. Results: Hepatic steatosis was identified in 88 (87%) participants through elastography, with a median controlled attenuation parameter (CAP) value of 297.5 dB/m. Among participants with steatosis, statistically significant associations were found with the following anthropometric indicators: BMI (median: 31.6 kg/m2; p=0.019), WC (median: 106.4 cm; p=0.016), HC (median: 105.2 cm; p=0.020), and WHtR (median: 0.67; p=0.012). Body composition variables also demonstrated strong correlations: mean body fat percentagem (% BF) was 34.3% and mean lean mass was 65.7%, both significantly associated with steatosis (p=0.003). No significant associations were observed for NC (p=0.116) or WHR (p=0.272). Conclusion: The findings indicates significant associations between hepatic steatosis and several anthropometric parameters in individuals with diabetes. The results suggest that anthropometric profiling may serve as a non-invasive, accessible, and cost-effective aproach for identification of MASLD, particularly among patients with metabolic risk factors, which could be considered in clinical screening and preventive strategies.\n\n\n### PO—202 Association Between Anthropometric Measures and the Degree of Hepatic Steatosis in Patients with Metabolic Dysfunction\nIntroduction: Metabolic dysfunction–associated steatotic liver disease (MASLD) is the most common form of chronic liver disease, highly prevalent in individuals with obesity and type 2 diabetes, and it can progress to fibrosis and cirrhosis. Given the limitations of invasive methods, noninvasive alternatives such as the FIB-4 score and simple, low-cost, and clinically applicable anthropometric measures—such as BMI, neck circumference, and calf circumference—stand out as useful tools for identifying metabolic risk and assessing the severity of steatosis. Objective: To assess the correlation between the degree of hepatic steatosis with variables such as BMI, calf circumference, and neck circumference. Methods: A cross-sectional observational study was conducted with patients with hepatic steatosis followed at the Gastroenterology outpatient clinic of a philanthropic hospital. Standardized clinical data were collected, and variables analyzed included sex, BMI, calf circumference, neck circumference, and degree of hepatic steatosis. Results: A total of 49 participants were evaluated, 87.8% female (n = 43) and 12.2% male (n = 6). Hepatic steatosis (HS) was classified according to ultrasonographic severity: grade 1 (mild), grade 2 (moderate), grade 3 (severe), and grade 4 (unclassified), corresponding respectively to 32.6%, 40.8%, 18.4%, and 8.2% of the sample. In the analysis between HS and BMI, participants with grade 1 HS were equally distributed among normal weight (BMI 18.5–24.9), overweight (BMI 25–29.9), and obesity grade I (BMI 30–34.9), each category representing 16% of the cases. In grade 2, 18.4% presented obesity grade I. In grade 3, 10.2% had obesity grade I and 6.1% obesity grade III (BMI ≥ 40). NC was also associated with HS severity. Among women with NC ≥ 34 cm, 24.5% were in grade 1, 30.6% in grade 2, and 16.3% in grade 3 steatosis. Regarding CC, among women with CC > 33 cm, 22.4% were classified as grade 1, 38.8% as grade 2, and 16.3% as grade 3 HS. Conclusion: The study indicates a correlation between the severity of hepatic steatosis and anthropometric measures such as BMI, neck circumference, and calf circumference, with higher values and greater frequency of obesity observed in more advanced cases. As simple and accessible measures, these parameters may serve as indirect indicators of disease severity, particularly in resource-limited settings, although larger and longitudinal studies are needed to confirm these associations and their predictive potential.\n\n\n### Fortes IDFM1; Guimarães ND1; Alves JAR1; Gouvea PB1; Monteiro JM1; Torres BC1; Alves ACC1; Bertoldi GC1; Khouri JF1; Marques LDC1; Palaoro LG1; Guzzo MF1; Pacheco MP1\nIntroduction: Metabolic dysfunction–associated steatotic liver disease (MASLD) is the most common form of chronic liver disease, highly prevalent in individuals with obesity and type 2 diabetes, and it can progress to fibrosis and cirrhosis. Given the limitations of invasive methods, noninvasive alternatives such as the FIB-4 score and simple, low-cost, and clinically applicable anthropometric measures—such as BMI, neck circumference, and calf circumference—stand out as useful tools for identifying metabolic risk and assessing the severity of steatosis. Objective: To assess the correlation between the degree of hepatic steatosis with variables such as BMI, calf circumference, and neck circumference. Methods: A cross-sectional observational study was conducted with patients with hepatic steatosis followed at the Gastroenterology outpatient clinic of a philanthropic hospital. Standardized clinical data were collected, and variables analyzed included sex, BMI, calf circumference, neck circumference, and degree of hepatic steatosis. Results: A total of 49 participants were evaluated, 87.8% female (n = 43) and 12.2% male (n = 6). Hepatic steatosis (HS) was classified according to ultrasonographic severity: grade 1 (mild), grade 2 (moderate), grade 3 (severe), and grade 4 (unclassified), corresponding respectively to 32.6%, 40.8%, 18.4%, and 8.2% of the sample. In the analysis between HS and BMI, participants with grade 1 HS were equally distributed among normal weight (BMI 18.5–24.9), overweight (BMI 25–29.9), and obesity grade I (BMI 30–34.9), each category representing 16% of the cases. In grade 2, 18.4% presented obesity grade I. In grade 3, 10.2% had obesity grade I and 6.1% obesity grade III (BMI ≥ 40). NC was also associated with HS severity. Among women with NC ≥ 34 cm, 24.5% were in grade 1, 30.6% in grade 2, and 16.3% in grade 3 steatosis. Regarding CC, among women with CC > 33 cm, 22.4% were classified as grade 1, 38.8% as grade 2, and 16.3% as grade 3 HS. Conclusion: The study indicates a correlation between the severity of hepatic steatosis and anthropometric measures such as BMI, neck circumference, and calf circumference, with higher values and greater frequency of obesity observed in more advanced cases. As simple and accessible measures, these parameters may serve as indirect indicators of disease severity, particularly in resource-limited settings, although larger and longitudinal studies are needed to confirm these associations and their predictive potential.\n\n\n### (1) Escola Superior de Ciência da Santa Casa de Misericórdia de Vitória, Vitória, ES, Brasil\nIntroduction: Metabolic dysfunction–associated steatotic liver disease (MASLD) is the most common form of chronic liver disease, highly prevalent in individuals with obesity and type 2 diabetes, and it can progress to fibrosis and cirrhosis. Given the limitations of invasive methods, noninvasive alternatives such as the FIB-4 score and simple, low-cost, and clinically applicable anthropometric measures—such as BMI, neck circumference, and calf circumference—stand out as useful tools for identifying metabolic risk and assessing the severity of steatosis. Objective: To assess the correlation between the degree of hepatic steatosis with variables such as BMI, calf circumference, and neck circumference. Methods: A cross-sectional observational study was conducted with patients with hepatic steatosis followed at the Gastroenterology outpatient clinic of a philanthropic hospital. Standardized clinical data were collected, and variables analyzed included sex, BMI, calf circumference, neck circumference, and degree of hepatic steatosis. Results: A total of 49 participants were evaluated, 87.8% female (n = 43) and 12.2% male (n = 6). Hepatic steatosis (HS) was classified according to ultrasonographic severity: grade 1 (mild), grade 2 (moderate), grade 3 (severe), and grade 4 (unclassified), corresponding respectively to 32.6%, 40.8%, 18.4%, and 8.2% of the sample. In the analysis between HS and BMI, participants with grade 1 HS were equally distributed among normal weight (BMI 18.5–24.9), overweight (BMI 25–29.9), and obesity grade I (BMI 30–34.9), each category representing 16% of the cases. In grade 2, 18.4% presented obesity grade I. In grade 3, 10.2% had obesity grade I and 6.1% obesity grade III (BMI ≥ 40). NC was also associated with HS severity. Among women with NC ≥ 34 cm, 24.5% were in grade 1, 30.6% in grade 2, and 16.3% in grade 3 steatosis. Regarding CC, among women with CC > 33 cm, 22.4% were classified as grade 1, 38.8% as grade 2, and 16.3% as grade 3 HS. Conclusion: The study indicates a correlation between the severity of hepatic steatosis and anthropometric measures such as BMI, neck circumference, and calf circumference, with higher values and greater frequency of obesity observed in more advanced cases. As simple and accessible measures, these parameters may serve as indirect indicators of disease severity, particularly in resource-limited settings, although larger and longitudinal studies are needed to confirm these associations and their predictive potential.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—202\nIntroduction: Metabolic dysfunction–associated steatotic liver disease (MASLD) is the most common form of chronic liver disease, highly prevalent in individuals with obesity and type 2 diabetes, and it can progress to fibrosis and cirrhosis. Given the limitations of invasive methods, noninvasive alternatives such as the FIB-4 score and simple, low-cost, and clinically applicable anthropometric measures—such as BMI, neck circumference, and calf circumference—stand out as useful tools for identifying metabolic risk and assessing the severity of steatosis. Objective: To assess the correlation between the degree of hepatic steatosis with variables such as BMI, calf circumference, and neck circumference. Methods: A cross-sectional observational study was conducted with patients with hepatic steatosis followed at the Gastroenterology outpatient clinic of a philanthropic hospital. Standardized clinical data were collected, and variables analyzed included sex, BMI, calf circumference, neck circumference, and degree of hepatic steatosis. Results: A total of 49 participants were evaluated, 87.8% female (n = 43) and 12.2% male (n = 6). Hepatic steatosis (HS) was classified according to ultrasonographic severity: grade 1 (mild), grade 2 (moderate), grade 3 (severe), and grade 4 (unclassified), corresponding respectively to 32.6%, 40.8%, 18.4%, and 8.2% of the sample. In the analysis between HS and BMI, participants with grade 1 HS were equally distributed among normal weight (BMI 18.5–24.9), overweight (BMI 25–29.9), and obesity grade I (BMI 30–34.9), each category representing 16% of the cases. In grade 2, 18.4% presented obesity grade I. In grade 3, 10.2% had obesity grade I and 6.1% obesity grade III (BMI ≥ 40). NC was also associated with HS severity. Among women with NC ≥ 34 cm, 24.5% were in grade 1, 30.6% in grade 2, and 16.3% in grade 3 steatosis. Regarding CC, among women with CC > 33 cm, 22.4% were classified as grade 1, 38.8% as grade 2, and 16.3% as grade 3 HS. Conclusion: The study indicates a correlation between the severity of hepatic steatosis and anthropometric measures such as BMI, neck circumference, and calf circumference, with higher values and greater frequency of obesity observed in more advanced cases. As simple and accessible measures, these parameters may serve as indirect indicators of disease severity, particularly in resource-limited settings, although larger and longitudinal studies are needed to confirm these associations and their predictive potential.\n\n\n### PO—203 Correlation Between Lower Limb Fat, Osteometabolic Factors and Liver Fibrosis in Individuals with 20 Years of Type 2 Diabetes\nIntroduction: Type 2 diabetes (T2D) is associated with body fat distribution, particularly visceral fat. The chronic inflammatory nature of this condition affects bone microarchitecture. Patients with T2D exhibit the \"bone paradox,\" where they have normal bone density but an increased risk of fractures. Objective: This study aims to evaluate the correlations between bone mass, body composition—assessed by densitometry—and clinical parameters in individuals with T2D. Methods: This is a cross-sectional, observational, and analytical study. Data were collected between 2023 and 2024 using the REDCap (Research Electronic Data Capture) platform. Results: A total of 104 participants with a diagnosis of T2D were selected, with a mean age of 65 years ± SD = 7.51 and a mean diabetes duration of 19.23 years ± SD = 11.98; the mean age at diagnosis was 39.61 years ± SD = 13.86. Of these, 66% were using insulin, with a daily dose of 0.66 ± 0.64 UI/Kg/day. The mean fasting blood glucose was 153 ± 54.62 mg/dL, HbA1c was 8.36 ± 2.02%, and C-peptide was 2.06 ± 2.03 ng/mL. The mean creatinine level was 1.02 ± 0.52 mg/dL, and the estimated glomerular filtration rate (eGFR) was 70.79 ± 22.83 mL/min/1.73m2. The FIB-4 index—a non-invasive tool used to assess the risk of advanced liver fibrosis in patients with metabolic fatty liver disease—had a mean of 1.35 ± 0.70, and the mean serum vitamin D level was 33.75 ± 10.80 ng/mL. A negative correlation was observed between the lower limb fat percentage (LLF) and FIB-4 values (r = -0.329, p < 0.05), suggesting that a lower fat percentage may be associated with a higher risk of liver fibrosis. A negative correlation was also found between LLF, bone mineral density (BMD), and femoral neck T-score (r = -0.334, p < 0.05 and r = -0.328, p < 0.05, respectively). Conclusion: It is possible to conclude that a lower LLF percentage may be linked to higher metabolic risk (indicated by FIB-4) and greater bone mineral density in cortical bone, highlighting the difficulty in assessing bone mass in these individuals.\n\n\n### De Lemos MN1; Junior ABF1; Salles JEN1; Scalissi NM1; dos Santos LM1\nIntroduction: Type 2 diabetes (T2D) is associated with body fat distribution, particularly visceral fat. The chronic inflammatory nature of this condition affects bone microarchitecture. Patients with T2D exhibit the \"bone paradox,\" where they have normal bone density but an increased risk of fractures. Objective: This study aims to evaluate the correlations between bone mass, body composition—assessed by densitometry—and clinical parameters in individuals with T2D. Methods: This is a cross-sectional, observational, and analytical study. Data were collected between 2023 and 2024 using the REDCap (Research Electronic Data Capture) platform. Results: A total of 104 participants with a diagnosis of T2D were selected, with a mean age of 65 years ± SD = 7.51 and a mean diabetes duration of 19.23 years ± SD = 11.98; the mean age at diagnosis was 39.61 years ± SD = 13.86. Of these, 66% were using insulin, with a daily dose of 0.66 ± 0.64 UI/Kg/day. The mean fasting blood glucose was 153 ± 54.62 mg/dL, HbA1c was 8.36 ± 2.02%, and C-peptide was 2.06 ± 2.03 ng/mL. The mean creatinine level was 1.02 ± 0.52 mg/dL, and the estimated glomerular filtration rate (eGFR) was 70.79 ± 22.83 mL/min/1.73m2. The FIB-4 index—a non-invasive tool used to assess the risk of advanced liver fibrosis in patients with metabolic fatty liver disease—had a mean of 1.35 ± 0.70, and the mean serum vitamin D level was 33.75 ± 10.80 ng/mL. A negative correlation was observed between the lower limb fat percentage (LLF) and FIB-4 values (r = -0.329, p < 0.05), suggesting that a lower fat percentage may be associated with a higher risk of liver fibrosis. A negative correlation was also found between LLF, bone mineral density (BMD), and femoral neck T-score (r = -0.334, p < 0.05 and r = -0.328, p < 0.05, respectively). Conclusion: It is possible to conclude that a lower LLF percentage may be linked to higher metabolic risk (indicated by FIB-4) and greater bone mineral density in cortical bone, highlighting the difficulty in assessing bone mass in these individuals.\n\n\n### (1) Irmandade da Santa Casa de Misericórdia de São Paulo, São Paulo, SP, Brasil\nIntroduction: Type 2 diabetes (T2D) is associated with body fat distribution, particularly visceral fat. The chronic inflammatory nature of this condition affects bone microarchitecture. Patients with T2D exhibit the \"bone paradox,\" where they have normal bone density but an increased risk of fractures. Objective: This study aims to evaluate the correlations between bone mass, body composition—assessed by densitometry—and clinical parameters in individuals with T2D. Methods: This is a cross-sectional, observational, and analytical study. Data were collected between 2023 and 2024 using the REDCap (Research Electronic Data Capture) platform. Results: A total of 104 participants with a diagnosis of T2D were selected, with a mean age of 65 years ± SD = 7.51 and a mean diabetes duration of 19.23 years ± SD = 11.98; the mean age at diagnosis was 39.61 years ± SD = 13.86. Of these, 66% were using insulin, with a daily dose of 0.66 ± 0.64 UI/Kg/day. The mean fasting blood glucose was 153 ± 54.62 mg/dL, HbA1c was 8.36 ± 2.02%, and C-peptide was 2.06 ± 2.03 ng/mL. The mean creatinine level was 1.02 ± 0.52 mg/dL, and the estimated glomerular filtration rate (eGFR) was 70.79 ± 22.83 mL/min/1.73m2. The FIB-4 index—a non-invasive tool used to assess the risk of advanced liver fibrosis in patients with metabolic fatty liver disease—had a mean of 1.35 ± 0.70, and the mean serum vitamin D level was 33.75 ± 10.80 ng/mL. A negative correlation was observed between the lower limb fat percentage (LLF) and FIB-4 values (r = -0.329, p < 0.05), suggesting that a lower fat percentage may be associated with a higher risk of liver fibrosis. A negative correlation was also found between LLF, bone mineral density (BMD), and femoral neck T-score (r = -0.334, p < 0.05 and r = -0.328, p < 0.05, respectively). Conclusion: It is possible to conclude that a lower LLF percentage may be linked to higher metabolic risk (indicated by FIB-4) and greater bone mineral density in cortical bone, highlighting the difficulty in assessing bone mass in these individuals.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—203\nIntroduction: Type 2 diabetes (T2D) is associated with body fat distribution, particularly visceral fat. The chronic inflammatory nature of this condition affects bone microarchitecture. Patients with T2D exhibit the \"bone paradox,\" where they have normal bone density but an increased risk of fractures. Objective: This study aims to evaluate the correlations between bone mass, body composition—assessed by densitometry—and clinical parameters in individuals with T2D. Methods: This is a cross-sectional, observational, and analytical study. Data were collected between 2023 and 2024 using the REDCap (Research Electronic Data Capture) platform. Results: A total of 104 participants with a diagnosis of T2D were selected, with a mean age of 65 years ± SD = 7.51 and a mean diabetes duration of 19.23 years ± SD = 11.98; the mean age at diagnosis was 39.61 years ± SD = 13.86. Of these, 66% were using insulin, with a daily dose of 0.66 ± 0.64 UI/Kg/day. The mean fasting blood glucose was 153 ± 54.62 mg/dL, HbA1c was 8.36 ± 2.02%, and C-peptide was 2.06 ± 2.03 ng/mL. The mean creatinine level was 1.02 ± 0.52 mg/dL, and the estimated glomerular filtration rate (eGFR) was 70.79 ± 22.83 mL/min/1.73m2. The FIB-4 index—a non-invasive tool used to assess the risk of advanced liver fibrosis in patients with metabolic fatty liver disease—had a mean of 1.35 ± 0.70, and the mean serum vitamin D level was 33.75 ± 10.80 ng/mL. A negative correlation was observed between the lower limb fat percentage (LLF) and FIB-4 values (r = -0.329, p < 0.05), suggesting that a lower fat percentage may be associated with a higher risk of liver fibrosis. A negative correlation was also found between LLF, bone mineral density (BMD), and femoral neck T-score (r = -0.334, p < 0.05 and r = -0.328, p < 0.05, respectively). Conclusion: It is possible to conclude that a lower LLF percentage may be linked to higher metabolic risk (indicated by FIB-4) and greater bone mineral density in cortical bone, highlighting the difficulty in assessing bone mass in these individuals.\n\n\n### PO—204 Familial Partial Lipodystrophy Type 2 and End-Stage MASLD: A Case of Long-Term Remission After Liver Transplantation\nCase Presentation: We report the case of a 69-year-old woman with familial partial lipodystrophy type 2 (FPLD2), carrying the heterozygous LMNA p.Arg482Trp pathogenic variant, diagnosed at age 65 through cascade family screening. Phenotypic changes began at age 29 after pregnancy, with abdominal fat accumulation and symmetrical lipoatrophy of the limbs. At 40, she was diagnosed with type 2 diabetes mellitus, later complicated by peripheral neuropathy, proliferative diabetic retinopathy, and nephropathy. She also had hypertension, hypertriglyceridemia, and low HDL cholesterol. At age 60, she developed abdominal pain, ascites, and encephalopathy, leading to a diagnosis of end-stage Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) and subsequent liver transplantation. At that time, her glycated hemoglobin (A1C) level was 8.7%, and she was taking 24 units of insulin/day. Nine years post-transplant, her Fibrosis-4 Index (FIB-4) is 0.8, with no steatosis or fibrosis on transient elastography. She maintains glycemic control (A1C 6.7%) with oral antidiabetics (Metformin and Dapagliflozin) only. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophy is marked by a deficiency of adipose tissue and is often associated with severe insulin resistance, dyslipidemia, and MASLD. In some patients, MASLD progresses to cirrhosis, requiring liver transplantation. However, the recurrence of steatosis in the graft has been described, particularly in cases of persistent metabolic dysfunction. In this case, the absence of MASLD recurrence after nearly a decade may be linked to improved insulin sensitivity and glycemic control, supporting the hypothesis that metabolic optimization can positively impact long-term hepatic outcomes even after transplant. Final Comments: To our knowledge, this is the first reported case of sustained post-transplant remission of MASLD in a patient with FPLD2. It reinforces the importance of early diagnosis and long-term metabolic management in lipodystrophy syndromes. This case highlights the potential benefits of glycemic control in preventing the recurrence of liver disease post-transplant. It underscores the need for continued multidisciplinary follow-up to reduce systemic complications and preserve graft health.\n\n\n### Ildefonso MP1; Araujo JS1; Alexandrino MT1; Ramos LTT1; Pontes AM1; Gadelha DD1; Boris NP1; Fernandes VO1; Junior RMM1; Correia KGC1\nCase Presentation: We report the case of a 69-year-old woman with familial partial lipodystrophy type 2 (FPLD2), carrying the heterozygous LMNA p.Arg482Trp pathogenic variant, diagnosed at age 65 through cascade family screening. Phenotypic changes began at age 29 after pregnancy, with abdominal fat accumulation and symmetrical lipoatrophy of the limbs. At 40, she was diagnosed with type 2 diabetes mellitus, later complicated by peripheral neuropathy, proliferative diabetic retinopathy, and nephropathy. She also had hypertension, hypertriglyceridemia, and low HDL cholesterol. At age 60, she developed abdominal pain, ascites, and encephalopathy, leading to a diagnosis of end-stage Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) and subsequent liver transplantation. At that time, her glycated hemoglobin (A1C) level was 8.7%, and she was taking 24 units of insulin/day. Nine years post-transplant, her Fibrosis-4 Index (FIB-4) is 0.8, with no steatosis or fibrosis on transient elastography. She maintains glycemic control (A1C 6.7%) with oral antidiabetics (Metformin and Dapagliflozin) only. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophy is marked by a deficiency of adipose tissue and is often associated with severe insulin resistance, dyslipidemia, and MASLD. In some patients, MASLD progresses to cirrhosis, requiring liver transplantation. However, the recurrence of steatosis in the graft has been described, particularly in cases of persistent metabolic dysfunction. In this case, the absence of MASLD recurrence after nearly a decade may be linked to improved insulin sensitivity and glycemic control, supporting the hypothesis that metabolic optimization can positively impact long-term hepatic outcomes even after transplant. Final Comments: To our knowledge, this is the first reported case of sustained post-transplant remission of MASLD in a patient with FPLD2. It reinforces the importance of early diagnosis and long-term metabolic management in lipodystrophy syndromes. This case highlights the potential benefits of glycemic control in preventing the recurrence of liver disease post-transplant. It underscores the need for continued multidisciplinary follow-up to reduce systemic complications and preserve graft health.\n\n\n### (1) Hospital Universitário Walter Cantídio, Fortaleza, CE, Brasil\nCase Presentation: We report the case of a 69-year-old woman with familial partial lipodystrophy type 2 (FPLD2), carrying the heterozygous LMNA p.Arg482Trp pathogenic variant, diagnosed at age 65 through cascade family screening. Phenotypic changes began at age 29 after pregnancy, with abdominal fat accumulation and symmetrical lipoatrophy of the limbs. At 40, she was diagnosed with type 2 diabetes mellitus, later complicated by peripheral neuropathy, proliferative diabetic retinopathy, and nephropathy. She also had hypertension, hypertriglyceridemia, and low HDL cholesterol. At age 60, she developed abdominal pain, ascites, and encephalopathy, leading to a diagnosis of end-stage Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) and subsequent liver transplantation. At that time, her glycated hemoglobin (A1C) level was 8.7%, and she was taking 24 units of insulin/day. Nine years post-transplant, her Fibrosis-4 Index (FIB-4) is 0.8, with no steatosis or fibrosis on transient elastography. She maintains glycemic control (A1C 6.7%) with oral antidiabetics (Metformin and Dapagliflozin) only. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophy is marked by a deficiency of adipose tissue and is often associated with severe insulin resistance, dyslipidemia, and MASLD. In some patients, MASLD progresses to cirrhosis, requiring liver transplantation. However, the recurrence of steatosis in the graft has been described, particularly in cases of persistent metabolic dysfunction. In this case, the absence of MASLD recurrence after nearly a decade may be linked to improved insulin sensitivity and glycemic control, supporting the hypothesis that metabolic optimization can positively impact long-term hepatic outcomes even after transplant. Final Comments: To our knowledge, this is the first reported case of sustained post-transplant remission of MASLD in a patient with FPLD2. It reinforces the importance of early diagnosis and long-term metabolic management in lipodystrophy syndromes. This case highlights the potential benefits of glycemic control in preventing the recurrence of liver disease post-transplant. It underscores the need for continued multidisciplinary follow-up to reduce systemic complications and preserve graft health.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—204\nCase Presentation: We report the case of a 69-year-old woman with familial partial lipodystrophy type 2 (FPLD2), carrying the heterozygous LMNA p.Arg482Trp pathogenic variant, diagnosed at age 65 through cascade family screening. Phenotypic changes began at age 29 after pregnancy, with abdominal fat accumulation and symmetrical lipoatrophy of the limbs. At 40, she was diagnosed with type 2 diabetes mellitus, later complicated by peripheral neuropathy, proliferative diabetic retinopathy, and nephropathy. She also had hypertension, hypertriglyceridemia, and low HDL cholesterol. At age 60, she developed abdominal pain, ascites, and encephalopathy, leading to a diagnosis of end-stage Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) and subsequent liver transplantation. At that time, her glycated hemoglobin (A1C) level was 8.7%, and she was taking 24 units of insulin/day. Nine years post-transplant, her Fibrosis-4 Index (FIB-4) is 0.8, with no steatosis or fibrosis on transient elastography. She maintains glycemic control (A1C 6.7%) with oral antidiabetics (Metformin and Dapagliflozin) only. The patient gave her explicit written consent to publish the patient’s information in an open access journal. Discussion: Lipodystrophy is marked by a deficiency of adipose tissue and is often associated with severe insulin resistance, dyslipidemia, and MASLD. In some patients, MASLD progresses to cirrhosis, requiring liver transplantation. However, the recurrence of steatosis in the graft has been described, particularly in cases of persistent metabolic dysfunction. In this case, the absence of MASLD recurrence after nearly a decade may be linked to improved insulin sensitivity and glycemic control, supporting the hypothesis that metabolic optimization can positively impact long-term hepatic outcomes even after transplant. Final Comments: To our knowledge, this is the first reported case of sustained post-transplant remission of MASLD in a patient with FPLD2. It reinforces the importance of early diagnosis and long-term metabolic management in lipodystrophy syndromes. This case highlights the potential benefits of glycemic control in preventing the recurrence of liver disease post-transplant. It underscores the need for continued multidisciplinary follow-up to reduce systemic complications and preserve graft health.\n\n\n### PO—205 From Early-Onset Diabetes to Liver Transplantation: a Fatal Course in Congenital Generalized Lipodystrophy\nCase Presentation: A 26-year-old woman was diagnosed with congenital generalized lipodystrophy (CGL) at 3 months of age, based on classic phenotypic features: acromegaloid facies, generalized lipoatrophy, including palmar and plantar fat loss, and early-onset diabetes mellitus. Insulin therapy was initiated at age 15. Over time, she developed chronic complications, including diabetic nephropathy and bilateral proliferative retinopathy. At 24, she presented with hepatic decompensation characterized by refractory ascites, requiring weekly paracentesis; her Fibrosis-4 Index (FIB-4) was 0.72, and abdominal Doppler ultrasonography revealed irregular liver contours, heterogeneous parenchyma, splenomegaly, portal hypertension, and tense ascites. A liver biopsy revealed micronodular cirrhosis with moderate inflammatory activity, mild perisinusoidal fibrosis, mild macrovesicular steatosis (~10%), and marked hepatocellular ballooning, consistent with steatohepatitis. She underwent orthotopic liver transplantation at age 26 but died four months later due to pulmonary sepsis. The patient gave her explicit written consent to publish their information in an open access journal. Discussion: CGL is a rare autosomal recessive disorder characterized by near-total absence of adipose tissue, resulting in severe insulin resistance and ectopic triglyceride deposition, particularly in the liver. Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) is a common hepatic manifestation in these patients and may evolve to cirrhosis and hepatic decompensation. Although liver transplantation represents a therapeutic option for end-stage disease, early post-operative outcomes may be compromised by poor metabolic reserve and infectious complications, as illustrated in this case. Final Comments: This case highlights the fulminant progression of hepatic disease in CGL secondary to extreme metabolic dysregulation. It reinforces the need for early identification and intensified metabolic control to delay hepatic deterioration and optimize transplant outcomes. Multidisciplinary perioperative care and infectious risk mitigation are crucial in enhancing the prognosis for this vulnerable population.\n\n\n### Sales MTA1; Araujo JS1; Boris NP1; Lopes FKM1; Ramos LTT1; Linard LLP1; Bezerra IC1; Florêncio CM1; Cortez VOF1; Júnior RMM1\nCase Presentation: A 26-year-old woman was diagnosed with congenital generalized lipodystrophy (CGL) at 3 months of age, based on classic phenotypic features: acromegaloid facies, generalized lipoatrophy, including palmar and plantar fat loss, and early-onset diabetes mellitus. Insulin therapy was initiated at age 15. Over time, she developed chronic complications, including diabetic nephropathy and bilateral proliferative retinopathy. At 24, she presented with hepatic decompensation characterized by refractory ascites, requiring weekly paracentesis; her Fibrosis-4 Index (FIB-4) was 0.72, and abdominal Doppler ultrasonography revealed irregular liver contours, heterogeneous parenchyma, splenomegaly, portal hypertension, and tense ascites. A liver biopsy revealed micronodular cirrhosis with moderate inflammatory activity, mild perisinusoidal fibrosis, mild macrovesicular steatosis (~10%), and marked hepatocellular ballooning, consistent with steatohepatitis. She underwent orthotopic liver transplantation at age 26 but died four months later due to pulmonary sepsis. The patient gave her explicit written consent to publish their information in an open access journal. Discussion: CGL is a rare autosomal recessive disorder characterized by near-total absence of adipose tissue, resulting in severe insulin resistance and ectopic triglyceride deposition, particularly in the liver. Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) is a common hepatic manifestation in these patients and may evolve to cirrhosis and hepatic decompensation. Although liver transplantation represents a therapeutic option for end-stage disease, early post-operative outcomes may be compromised by poor metabolic reserve and infectious complications, as illustrated in this case. Final Comments: This case highlights the fulminant progression of hepatic disease in CGL secondary to extreme metabolic dysregulation. It reinforces the need for early identification and intensified metabolic control to delay hepatic deterioration and optimize transplant outcomes. Multidisciplinary perioperative care and infectious risk mitigation are crucial in enhancing the prognosis for this vulnerable population.\n\n\n### (1) Hospital Universitário Walter Cantídio, Fortaleza, CE, Brasil\nCase Presentation: A 26-year-old woman was diagnosed with congenital generalized lipodystrophy (CGL) at 3 months of age, based on classic phenotypic features: acromegaloid facies, generalized lipoatrophy, including palmar and plantar fat loss, and early-onset diabetes mellitus. Insulin therapy was initiated at age 15. Over time, she developed chronic complications, including diabetic nephropathy and bilateral proliferative retinopathy. At 24, she presented with hepatic decompensation characterized by refractory ascites, requiring weekly paracentesis; her Fibrosis-4 Index (FIB-4) was 0.72, and abdominal Doppler ultrasonography revealed irregular liver contours, heterogeneous parenchyma, splenomegaly, portal hypertension, and tense ascites. A liver biopsy revealed micronodular cirrhosis with moderate inflammatory activity, mild perisinusoidal fibrosis, mild macrovesicular steatosis (~10%), and marked hepatocellular ballooning, consistent with steatohepatitis. She underwent orthotopic liver transplantation at age 26 but died four months later due to pulmonary sepsis. The patient gave her explicit written consent to publish their information in an open access journal. Discussion: CGL is a rare autosomal recessive disorder characterized by near-total absence of adipose tissue, resulting in severe insulin resistance and ectopic triglyceride deposition, particularly in the liver. Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) is a common hepatic manifestation in these patients and may evolve to cirrhosis and hepatic decompensation. Although liver transplantation represents a therapeutic option for end-stage disease, early post-operative outcomes may be compromised by poor metabolic reserve and infectious complications, as illustrated in this case. Final Comments: This case highlights the fulminant progression of hepatic disease in CGL secondary to extreme metabolic dysregulation. It reinforces the need for early identification and intensified metabolic control to delay hepatic deterioration and optimize transplant outcomes. Multidisciplinary perioperative care and infectious risk mitigation are crucial in enhancing the prognosis for this vulnerable population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—205\nCase Presentation: A 26-year-old woman was diagnosed with congenital generalized lipodystrophy (CGL) at 3 months of age, based on classic phenotypic features: acromegaloid facies, generalized lipoatrophy, including palmar and plantar fat loss, and early-onset diabetes mellitus. Insulin therapy was initiated at age 15. Over time, she developed chronic complications, including diabetic nephropathy and bilateral proliferative retinopathy. At 24, she presented with hepatic decompensation characterized by refractory ascites, requiring weekly paracentesis; her Fibrosis-4 Index (FIB-4) was 0.72, and abdominal Doppler ultrasonography revealed irregular liver contours, heterogeneous parenchyma, splenomegaly, portal hypertension, and tense ascites. A liver biopsy revealed micronodular cirrhosis with moderate inflammatory activity, mild perisinusoidal fibrosis, mild macrovesicular steatosis (~10%), and marked hepatocellular ballooning, consistent with steatohepatitis. She underwent orthotopic liver transplantation at age 26 but died four months later due to pulmonary sepsis. The patient gave her explicit written consent to publish their information in an open access journal. Discussion: CGL is a rare autosomal recessive disorder characterized by near-total absence of adipose tissue, resulting in severe insulin resistance and ectopic triglyceride deposition, particularly in the liver. Metabolic Dysfunction-Associated Steatotic Liver Disease (MASLD) is a common hepatic manifestation in these patients and may evolve to cirrhosis and hepatic decompensation. Although liver transplantation represents a therapeutic option for end-stage disease, early post-operative outcomes may be compromised by poor metabolic reserve and infectious complications, as illustrated in this case. Final Comments: This case highlights the fulminant progression of hepatic disease in CGL secondary to extreme metabolic dysregulation. It reinforces the need for early identification and intensified metabolic control to delay hepatic deterioration and optimize transplant outcomes. Multidisciplinary perioperative care and infectious risk mitigation are crucial in enhancing the prognosis for this vulnerable population.\n\n\n### PO—206 Osteosarcopenia in Type 2 Diabetes Mellitus Patients with MASLD\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is closely linked to type 2 diabetes mellitus (T2DM), osteoporosis, and sarcopenia through shared pathophysiological mechanisms, primarily insulin resistance, low-grade chronic inflammation, mitochondrial dysfunction, and hormonal alterations. Objective: To evaluate the frequency of osteosarcopenia in individuals with T2DM and MASLD and assess its association with liver fibrosis. Methods: This cross-sectional observational study included prospective data collection. Hepatic steatosis and liver fibrosis (F ≥ 2) were diagnosed via ultrasound and elastography, respectively. We assessed the SARC-F questionnaire (Strength, Ambulation, Rising from a chair, Climbing stairs, and Falls) considered positive screening for sarcopenia if ≥4, handgrip strength (cut-off <27 kg for men / <16 kg for women), five-times sit-to-stand test (reduced strength >15 seconds), gait speed (slowness of ≤0.8 m/s), and dual-energy X-ray absorptiometry (DXA). Muscle mass was quantified using the appendicular lean mass (ALM), a sum of lean mass values (kg) in the upper and lower limbs with adjustments, and bone mass was assessed using areal bone mineral density (aBMD). Continuous variables are presented as medians and interquartile ranges (IQRs). Categorical variables are presented as absolute frequencies (n) and percentages (%). Data were subjected to the student’s t-test (normal distribution) or Mann-Whitney test (non-parametric) according to the sample characteristics. The chi-square test (χ2) or Fischer’s exact test was used for categorical variables. A p-value of less than 0.05 was considered statistically significant. Results: A total of 94 participants were included. The median age was 64.5 years (IQR: 57.25 – 70.00) and 76 (80.9%) were female. Liver fibrosis was present in 68 individuals (70.85%). Sarcopenia frequency was 11 (11.7%), 23 (24.4%), and 42 (44.6%) using LMI adjusted for height2, BMI, and fat mass (Newman’s index), respectively. Low aBMD was observed in 43 participants (45.7%). Table 1 presents a comparison between groups with and without fibrosis. Conclusion: In individuals with T2DM and MASLD, LMI adjusted for fat mass showed the best performance for detecting low muscle mass (44.6%). Low bone mass frequency was 45.7%. No significant differences were found between groups with and without fibrosis regarding sarcopenia or bone mass assessments.Table 1 (abstract PO-206) Type 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.m: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\nType 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.\nm: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\n\n\n### Torres JPM1; Manea LP1; Silva RDM1; Peixoto CM1; Barroso RPM1; Velarde LGC2; Junior CRMA3; Saad MAN1; Flores PP1; Soares DV1.\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is closely linked to type 2 diabetes mellitus (T2DM), osteoporosis, and sarcopenia through shared pathophysiological mechanisms, primarily insulin resistance, low-grade chronic inflammation, mitochondrial dysfunction, and hormonal alterations. Objective: To evaluate the frequency of osteosarcopenia in individuals with T2DM and MASLD and assess its association with liver fibrosis. Methods: This cross-sectional observational study included prospective data collection. Hepatic steatosis and liver fibrosis (F ≥ 2) were diagnosed via ultrasound and elastography, respectively. We assessed the SARC-F questionnaire (Strength, Ambulation, Rising from a chair, Climbing stairs, and Falls) considered positive screening for sarcopenia if ≥4, handgrip strength (cut-off <27 kg for men / <16 kg for women), five-times sit-to-stand test (reduced strength >15 seconds), gait speed (slowness of ≤0.8 m/s), and dual-energy X-ray absorptiometry (DXA). Muscle mass was quantified using the appendicular lean mass (ALM), a sum of lean mass values (kg) in the upper and lower limbs with adjustments, and bone mass was assessed using areal bone mineral density (aBMD). Continuous variables are presented as medians and interquartile ranges (IQRs). Categorical variables are presented as absolute frequencies (n) and percentages (%). Data were subjected to the student’s t-test (normal distribution) or Mann-Whitney test (non-parametric) according to the sample characteristics. The chi-square test (χ2) or Fischer’s exact test was used for categorical variables. A p-value of less than 0.05 was considered statistically significant. Results: A total of 94 participants were included. The median age was 64.5 years (IQR: 57.25 – 70.00) and 76 (80.9%) were female. Liver fibrosis was present in 68 individuals (70.85%). Sarcopenia frequency was 11 (11.7%), 23 (24.4%), and 42 (44.6%) using LMI adjusted for height2, BMI, and fat mass (Newman’s index), respectively. Low aBMD was observed in 43 participants (45.7%). Table 1 presents a comparison between groups with and without fibrosis. Conclusion: In individuals with T2DM and MASLD, LMI adjusted for fat mass showed the best performance for detecting low muscle mass (44.6%). Low bone mass frequency was 45.7%. No significant differences were found between groups with and without fibrosis regarding sarcopenia or bone mass assessments.Table 1 (abstract PO-206) Type 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.m: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\nType 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.\nm: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\n\n\n### (1) Departamento de Medicina Clínica, Faculdade de Medicina, Universidade Federal Fluminense, Niterói, RJ, Brasil; (2) Pós-Graduação em Ciências Médicas, Universidade Federal Fluminense, Niterói, RJ, Brasil; (3) Hospital Universitário Antônio Pedro, Universidade Federal Fluminense, Niterói, RJ, Brasil\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is closely linked to type 2 diabetes mellitus (T2DM), osteoporosis, and sarcopenia through shared pathophysiological mechanisms, primarily insulin resistance, low-grade chronic inflammation, mitochondrial dysfunction, and hormonal alterations. Objective: To evaluate the frequency of osteosarcopenia in individuals with T2DM and MASLD and assess its association with liver fibrosis. Methods: This cross-sectional observational study included prospective data collection. Hepatic steatosis and liver fibrosis (F ≥ 2) were diagnosed via ultrasound and elastography, respectively. We assessed the SARC-F questionnaire (Strength, Ambulation, Rising from a chair, Climbing stairs, and Falls) considered positive screening for sarcopenia if ≥4, handgrip strength (cut-off <27 kg for men / <16 kg for women), five-times sit-to-stand test (reduced strength >15 seconds), gait speed (slowness of ≤0.8 m/s), and dual-energy X-ray absorptiometry (DXA). Muscle mass was quantified using the appendicular lean mass (ALM), a sum of lean mass values (kg) in the upper and lower limbs with adjustments, and bone mass was assessed using areal bone mineral density (aBMD). Continuous variables are presented as medians and interquartile ranges (IQRs). Categorical variables are presented as absolute frequencies (n) and percentages (%). Data were subjected to the student’s t-test (normal distribution) or Mann-Whitney test (non-parametric) according to the sample characteristics. The chi-square test (χ2) or Fischer’s exact test was used for categorical variables. A p-value of less than 0.05 was considered statistically significant. Results: A total of 94 participants were included. The median age was 64.5 years (IQR: 57.25 – 70.00) and 76 (80.9%) were female. Liver fibrosis was present in 68 individuals (70.85%). Sarcopenia frequency was 11 (11.7%), 23 (24.4%), and 42 (44.6%) using LMI adjusted for height2, BMI, and fat mass (Newman’s index), respectively. Low aBMD was observed in 43 participants (45.7%). Table 1 presents a comparison between groups with and without fibrosis. Conclusion: In individuals with T2DM and MASLD, LMI adjusted for fat mass showed the best performance for detecting low muscle mass (44.6%). Low bone mass frequency was 45.7%. No significant differences were found between groups with and without fibrosis regarding sarcopenia or bone mass assessments.Table 1 (abstract PO-206) Type 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.m: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\nType 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.\nm: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—206\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is closely linked to type 2 diabetes mellitus (T2DM), osteoporosis, and sarcopenia through shared pathophysiological mechanisms, primarily insulin resistance, low-grade chronic inflammation, mitochondrial dysfunction, and hormonal alterations. Objective: To evaluate the frequency of osteosarcopenia in individuals with T2DM and MASLD and assess its association with liver fibrosis. Methods: This cross-sectional observational study included prospective data collection. Hepatic steatosis and liver fibrosis (F ≥ 2) were diagnosed via ultrasound and elastography, respectively. We assessed the SARC-F questionnaire (Strength, Ambulation, Rising from a chair, Climbing stairs, and Falls) considered positive screening for sarcopenia if ≥4, handgrip strength (cut-off <27 kg for men / <16 kg for women), five-times sit-to-stand test (reduced strength >15 seconds), gait speed (slowness of ≤0.8 m/s), and dual-energy X-ray absorptiometry (DXA). Muscle mass was quantified using the appendicular lean mass (ALM), a sum of lean mass values (kg) in the upper and lower limbs with adjustments, and bone mass was assessed using areal bone mineral density (aBMD). Continuous variables are presented as medians and interquartile ranges (IQRs). Categorical variables are presented as absolute frequencies (n) and percentages (%). Data were subjected to the student’s t-test (normal distribution) or Mann-Whitney test (non-parametric) according to the sample characteristics. The chi-square test (χ2) or Fischer’s exact test was used for categorical variables. A p-value of less than 0.05 was considered statistically significant. Results: A total of 94 participants were included. The median age was 64.5 years (IQR: 57.25 – 70.00) and 76 (80.9%) were female. Liver fibrosis was present in 68 individuals (70.85%). Sarcopenia frequency was 11 (11.7%), 23 (24.4%), and 42 (44.6%) using LMI adjusted for height2, BMI, and fat mass (Newman’s index), respectively. Low aBMD was observed in 43 participants (45.7%). Table 1 presents a comparison between groups with and without fibrosis. Conclusion: In individuals with T2DM and MASLD, LMI adjusted for fat mass showed the best performance for detecting low muscle mass (44.6%). Low bone mass frequency was 45.7%. No significant differences were found between groups with and without fibrosis regarding sarcopenia or bone mass assessments.Table 1 (abstract PO-206) Type 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.m: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\nType 2 diabetes mellitus patients with MASLD: comparison between groups with and without liver fibrosis.\nm: median; IQR: interquartile range; DXA: dual-energy X-ray absorptiometry; ALM: appendicular lean mass (sum of lean mass values [kg] in the upper and lower limbs); BMI: Body mass index (Weight/Height2); BMD (bone mineral density) measured in g/cm2.\n\n\n### PO—207 Visceral Adiposity and Liver Fibrosis in Patients with Type 2 Diabetes and MASLD\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is highly prevalent among individuals with type 2 diabetes mellitus (T2DM), reflecting the strong association between insulin resistance and hepatic fat accumulation. Visceral adiposity, which is common in patients with T2DM, plays a central role in the progression of MASLD. Therefore, the assessment of body composition emerges as an essential tool for understanding the relationship between the metabolic profile of T2DM and the severity of liver disease. Objective: To investigate the association between body adiposity and MASLD severity (liver fibrosis) in patients with T2DM. Methods: Observational, cross-sectional study with prospective data collection included individuals with T2DM and MASLD followed in endocrinology outpatient clinics. Clinical, laboratory, anthropometric, and imaging data were collected. Hepatic steatosis and liver fibrosis were diagnosed via ultrasound and elastography, respectively. Fat mass was assessed by dual-energy X-ray absorptiometry (DXA), p-value <0.05 was considered significant. Results: 92 participants were included, 84% of whom were women, with a median age of 65 years. Liver fibrosis (F ≥ 2) was identified in 29.3% of cases. Participants with fibrosis presented significantly higher values of BMI, WC, NC, WHtR, trunk fat percentage, Android/Gynoid fat ratio (A/G), as well as increased volume and mass of visceral fat (VAT). Table 1 presents general sample data and a comparison between the groups with and without fibrosis. Conclusion: Participants with T2DM and liver fibrosis had higher WC and WHtR compared to participants without fibrosis. These findings were corroborated by DXA-derived indicators such as trunk fat, height-to-width ratio, and visceral adipose tissue (VAT). This demonstrates the importance of central adiposity as a marker of liver fibrosis and the potential usefulness of more accessible anthropometric measures in screening for liver fibrosis in populations with T2DM.Table 1 (abstract PO-207)Anthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis statusData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\nAnthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis status\nData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\n\n\n### Godinho JR1; Ferruzzi ACS1; Pezzin HS1; Soler JVDT1; Guimarães ACS1; Oliveira EAR1; Velarde LGC2; Saad MAN1; Flores PP1; Soares DV1\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is highly prevalent among individuals with type 2 diabetes mellitus (T2DM), reflecting the strong association between insulin resistance and hepatic fat accumulation. Visceral adiposity, which is common in patients with T2DM, plays a central role in the progression of MASLD. Therefore, the assessment of body composition emerges as an essential tool for understanding the relationship between the metabolic profile of T2DM and the severity of liver disease. Objective: To investigate the association between body adiposity and MASLD severity (liver fibrosis) in patients with T2DM. Methods: Observational, cross-sectional study with prospective data collection included individuals with T2DM and MASLD followed in endocrinology outpatient clinics. Clinical, laboratory, anthropometric, and imaging data were collected. Hepatic steatosis and liver fibrosis were diagnosed via ultrasound and elastography, respectively. Fat mass was assessed by dual-energy X-ray absorptiometry (DXA), p-value <0.05 was considered significant. Results: 92 participants were included, 84% of whom were women, with a median age of 65 years. Liver fibrosis (F ≥ 2) was identified in 29.3% of cases. Participants with fibrosis presented significantly higher values of BMI, WC, NC, WHtR, trunk fat percentage, Android/Gynoid fat ratio (A/G), as well as increased volume and mass of visceral fat (VAT). Table 1 presents general sample data and a comparison between the groups with and without fibrosis. Conclusion: Participants with T2DM and liver fibrosis had higher WC and WHtR compared to participants without fibrosis. These findings were corroborated by DXA-derived indicators such as trunk fat, height-to-width ratio, and visceral adipose tissue (VAT). This demonstrates the importance of central adiposity as a marker of liver fibrosis and the potential usefulness of more accessible anthropometric measures in screening for liver fibrosis in populations with T2DM.Table 1 (abstract PO-207)Anthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis statusData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\nAnthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis status\nData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\n\n\n### (1) Departamento de Medicina Clínica, Faculdade de Medicina, Universidade Federal Fluminense, Niterói, RJ, Brasil; (2) Pós-graduação em Ciências Médicas, Universidade Federal Fluminense, Niterói, RJ, Brasil\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is highly prevalent among individuals with type 2 diabetes mellitus (T2DM), reflecting the strong association between insulin resistance and hepatic fat accumulation. Visceral adiposity, which is common in patients with T2DM, plays a central role in the progression of MASLD. Therefore, the assessment of body composition emerges as an essential tool for understanding the relationship between the metabolic profile of T2DM and the severity of liver disease. Objective: To investigate the association between body adiposity and MASLD severity (liver fibrosis) in patients with T2DM. Methods: Observational, cross-sectional study with prospective data collection included individuals with T2DM and MASLD followed in endocrinology outpatient clinics. Clinical, laboratory, anthropometric, and imaging data were collected. Hepatic steatosis and liver fibrosis were diagnosed via ultrasound and elastography, respectively. Fat mass was assessed by dual-energy X-ray absorptiometry (DXA), p-value <0.05 was considered significant. Results: 92 participants were included, 84% of whom were women, with a median age of 65 years. Liver fibrosis (F ≥ 2) was identified in 29.3% of cases. Participants with fibrosis presented significantly higher values of BMI, WC, NC, WHtR, trunk fat percentage, Android/Gynoid fat ratio (A/G), as well as increased volume and mass of visceral fat (VAT). Table 1 presents general sample data and a comparison between the groups with and without fibrosis. Conclusion: Participants with T2DM and liver fibrosis had higher WC and WHtR compared to participants without fibrosis. These findings were corroborated by DXA-derived indicators such as trunk fat, height-to-width ratio, and visceral adipose tissue (VAT). This demonstrates the importance of central adiposity as a marker of liver fibrosis and the potential usefulness of more accessible anthropometric measures in screening for liver fibrosis in populations with T2DM.Table 1 (abstract PO-207)Anthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis statusData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\nAnthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis status\nData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—207\nIntroduction: Metabolic dysfunction-associated steatotic liver disease (MASLD) is highly prevalent among individuals with type 2 diabetes mellitus (T2DM), reflecting the strong association between insulin resistance and hepatic fat accumulation. Visceral adiposity, which is common in patients with T2DM, plays a central role in the progression of MASLD. Therefore, the assessment of body composition emerges as an essential tool for understanding the relationship between the metabolic profile of T2DM and the severity of liver disease. Objective: To investigate the association between body adiposity and MASLD severity (liver fibrosis) in patients with T2DM. Methods: Observational, cross-sectional study with prospective data collection included individuals with T2DM and MASLD followed in endocrinology outpatient clinics. Clinical, laboratory, anthropometric, and imaging data were collected. Hepatic steatosis and liver fibrosis were diagnosed via ultrasound and elastography, respectively. Fat mass was assessed by dual-energy X-ray absorptiometry (DXA), p-value <0.05 was considered significant. Results: 92 participants were included, 84% of whom were women, with a median age of 65 years. Liver fibrosis (F ≥ 2) was identified in 29.3% of cases. Participants with fibrosis presented significantly higher values of BMI, WC, NC, WHtR, trunk fat percentage, Android/Gynoid fat ratio (A/G), as well as increased volume and mass of visceral fat (VAT). Table 1 presents general sample data and a comparison between the groups with and without fibrosis. Conclusion: Participants with T2DM and liver fibrosis had higher WC and WHtR compared to participants without fibrosis. These findings were corroborated by DXA-derived indicators such as trunk fat, height-to-width ratio, and visceral adipose tissue (VAT). This demonstrates the importance of central adiposity as a marker of liver fibrosis and the potential usefulness of more accessible anthropometric measures in screening for liver fibrosis in populations with T2DM.Table 1 (abstract PO-207)Anthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis statusData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\nAnthropometric and DXA-derived adiposity indicators in T2DM patients with MASLD according to liver fibrosis status\nData with normal distribution were analyzed using the t-test and are presented as mean and standard deviation. For variables with non-normal distribution, the Mann–Whitney test was used, and results are expressed as median and interquartile range (IQR 25–75). The p-value refers to the comparison between groups, with p < 0.05 considered statistically significant (indicated by *). DXA: dual energy X-ray absorptiometry; T2DM: type 2 diabetes mellitus; MASLD: Metabolic dysfunction-associated steatotic liver disease.\n\n\n### PO—208 Cardiovascular Risk Stratification in an Ethnically Mixed Population with Type 1 Diabetes Mellitus: Comparison of The Steno Type 1 Risk Engine with The Scottish-Swedish Risk Model\nIntroduction: Cardiovascular disease (CVD) remains the leading cause of morbidity and mortality among individuals with type 1 diabetes (T1D). Accurate identification of those at higher risk through validated risk stratification tools is essential for guiding preventive strategies. However, the agreement between cardiovascular (CV) risk models has been scarcely studied. Objective: This study aimed to compare the performance of the Steno Type 1 Risk Engine (ST1RE) and the Scottish-Swedish risk model in a predominantly young and ethnically heterogeneous cohort of individuals with T1D. Methods: This retrospective study included 435 adults with T1D and no prior CVD. Participants were stratified into low (<10%), moderate (10–19.9%), and high risk (≥20%) for 10-year fatal or nonfatal CV events by both models. Their comparative performance for predicting 10-year CV events was assessed using Kaplan-Meier analysis, Cox regression, ROC curves, and the Hosmer–Lemeshow test. Agreement between models was evaluated using Cohen’s kappa. Results: Among the 435 individuals included, the median age was 25 years (IQR: 21‒32), with 86% being under 40 years old, and the median T1D duration was 13 years (IQR: 9‒18). The Scottish-Swedish model classified 75% as low risk, 13% as moderate, and 12% as high risk. In contrast, ST1RE classified 84% as low, 11% as moderate, and 5% as high risk. Agreement between models was moderate (κ = 0.550; 95% CI: 0.468–0.632). Over a median follow-up of 9.2 years (IQR: 6.0–10.7), 24 participants (5.5%) experienced CV events. Kaplan-Meier and Cox regression analyses showed significantly higher event rates in moderate- and high-risk groups for both models. The C-statistic for the Scottish–Swedish model was comparable to that of the ST1RE (p = 0.986). Both models demonstrated good calibration (Figure 1). Conclusion: In this ethnically mixed and predominantly young T1D cohort, both the ST1RE and the Scottish-Swedish models demonstrated strong discriminative ability and good calibration for 10-year CV risk prediction. These findings underscore the importance of T1D-specific tools to guide primary prevention strategies.Figure 1 (abstract PO-208) (A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n(A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n\n\n### Paliares IC1; Dualib PM1; Aroucha PMT1; Torres LSN1; de Sá JR2; Dib SA1\nIntroduction: Cardiovascular disease (CVD) remains the leading cause of morbidity and mortality among individuals with type 1 diabetes (T1D). Accurate identification of those at higher risk through validated risk stratification tools is essential for guiding preventive strategies. However, the agreement between cardiovascular (CV) risk models has been scarcely studied. Objective: This study aimed to compare the performance of the Steno Type 1 Risk Engine (ST1RE) and the Scottish-Swedish risk model in a predominantly young and ethnically heterogeneous cohort of individuals with T1D. Methods: This retrospective study included 435 adults with T1D and no prior CVD. Participants were stratified into low (<10%), moderate (10–19.9%), and high risk (≥20%) for 10-year fatal or nonfatal CV events by both models. Their comparative performance for predicting 10-year CV events was assessed using Kaplan-Meier analysis, Cox regression, ROC curves, and the Hosmer–Lemeshow test. Agreement between models was evaluated using Cohen’s kappa. Results: Among the 435 individuals included, the median age was 25 years (IQR: 21‒32), with 86% being under 40 years old, and the median T1D duration was 13 years (IQR: 9‒18). The Scottish-Swedish model classified 75% as low risk, 13% as moderate, and 12% as high risk. In contrast, ST1RE classified 84% as low, 11% as moderate, and 5% as high risk. Agreement between models was moderate (κ = 0.550; 95% CI: 0.468–0.632). Over a median follow-up of 9.2 years (IQR: 6.0–10.7), 24 participants (5.5%) experienced CV events. Kaplan-Meier and Cox regression analyses showed significantly higher event rates in moderate- and high-risk groups for both models. The C-statistic for the Scottish–Swedish model was comparable to that of the ST1RE (p = 0.986). Both models demonstrated good calibration (Figure 1). Conclusion: In this ethnically mixed and predominantly young T1D cohort, both the ST1RE and the Scottish-Swedish models demonstrated strong discriminative ability and good calibration for 10-year CV risk prediction. These findings underscore the importance of T1D-specific tools to guide primary prevention strategies.Figure 1 (abstract PO-208) (A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n(A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n\n\n### (1) Disciplina de Endocrinologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (2) Disciplina de Endocrinologia do Departamento de Medicina da Faculdade de Medicina do ABC, São Paulo, SP, Brasil\nIntroduction: Cardiovascular disease (CVD) remains the leading cause of morbidity and mortality among individuals with type 1 diabetes (T1D). Accurate identification of those at higher risk through validated risk stratification tools is essential for guiding preventive strategies. However, the agreement between cardiovascular (CV) risk models has been scarcely studied. Objective: This study aimed to compare the performance of the Steno Type 1 Risk Engine (ST1RE) and the Scottish-Swedish risk model in a predominantly young and ethnically heterogeneous cohort of individuals with T1D. Methods: This retrospective study included 435 adults with T1D and no prior CVD. Participants were stratified into low (<10%), moderate (10–19.9%), and high risk (≥20%) for 10-year fatal or nonfatal CV events by both models. Their comparative performance for predicting 10-year CV events was assessed using Kaplan-Meier analysis, Cox regression, ROC curves, and the Hosmer–Lemeshow test. Agreement between models was evaluated using Cohen’s kappa. Results: Among the 435 individuals included, the median age was 25 years (IQR: 21‒32), with 86% being under 40 years old, and the median T1D duration was 13 years (IQR: 9‒18). The Scottish-Swedish model classified 75% as low risk, 13% as moderate, and 12% as high risk. In contrast, ST1RE classified 84% as low, 11% as moderate, and 5% as high risk. Agreement between models was moderate (κ = 0.550; 95% CI: 0.468–0.632). Over a median follow-up of 9.2 years (IQR: 6.0–10.7), 24 participants (5.5%) experienced CV events. Kaplan-Meier and Cox regression analyses showed significantly higher event rates in moderate- and high-risk groups for both models. The C-statistic for the Scottish–Swedish model was comparable to that of the ST1RE (p = 0.986). Both models demonstrated good calibration (Figure 1). Conclusion: In this ethnically mixed and predominantly young T1D cohort, both the ST1RE and the Scottish-Swedish models demonstrated strong discriminative ability and good calibration for 10-year CV risk prediction. These findings underscore the importance of T1D-specific tools to guide primary prevention strategies.Figure 1 (abstract PO-208) (A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n(A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—208\nIntroduction: Cardiovascular disease (CVD) remains the leading cause of morbidity and mortality among individuals with type 1 diabetes (T1D). Accurate identification of those at higher risk through validated risk stratification tools is essential for guiding preventive strategies. However, the agreement between cardiovascular (CV) risk models has been scarcely studied. Objective: This study aimed to compare the performance of the Steno Type 1 Risk Engine (ST1RE) and the Scottish-Swedish risk model in a predominantly young and ethnically heterogeneous cohort of individuals with T1D. Methods: This retrospective study included 435 adults with T1D and no prior CVD. Participants were stratified into low (<10%), moderate (10–19.9%), and high risk (≥20%) for 10-year fatal or nonfatal CV events by both models. Their comparative performance for predicting 10-year CV events was assessed using Kaplan-Meier analysis, Cox regression, ROC curves, and the Hosmer–Lemeshow test. Agreement between models was evaluated using Cohen’s kappa. Results: Among the 435 individuals included, the median age was 25 years (IQR: 21‒32), with 86% being under 40 years old, and the median T1D duration was 13 years (IQR: 9‒18). The Scottish-Swedish model classified 75% as low risk, 13% as moderate, and 12% as high risk. In contrast, ST1RE classified 84% as low, 11% as moderate, and 5% as high risk. Agreement between models was moderate (κ = 0.550; 95% CI: 0.468–0.632). Over a median follow-up of 9.2 years (IQR: 6.0–10.7), 24 participants (5.5%) experienced CV events. Kaplan-Meier and Cox regression analyses showed significantly higher event rates in moderate- and high-risk groups for both models. The C-statistic for the Scottish–Swedish model was comparable to that of the ST1RE (p = 0.986). Both models demonstrated good calibration (Figure 1). Conclusion: In this ethnically mixed and predominantly young T1D cohort, both the ST1RE and the Scottish-Swedish models demonstrated strong discriminative ability and good calibration for 10-year CV risk prediction. These findings underscore the importance of T1D-specific tools to guide primary prevention strategies.Figure 1 (abstract PO-208) (A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n(A) receiver operating characteristic (ROC) curves presented as area under the curve (AUC), aiso known as the C-statistic, for 10-year follow-up according of the steno type 1 risk engine (ST1RE) and the Scottish-swedish CV risk calculater. (B) Calibration Plots for the Scottish-swedish model and ST1RE based on the Hosmer-lemeshow test. Observed and expected 10=year CV event rates are shown across deciles of predicted risk\n\n\n### PO—210 Family Screening in Familial Partial Lipodystrophy: The Role of Anthropometrya and Densitometry in The Early Identification of Genetically Predisposed Individuals\nCase Presentation: A 33-year-old woman was diagnosed with type 2 diabetes mellitus (T2DM) at age 20 and initially managed with oral agents. Following her third pregnancy, she required high-dose insulin (2 IU/kg/day), with persistently elevated HbA1c >11% and severe mixed dyslipidemia (triglycerides >1000 mg/dL). She had a family history of diabetes. On physical examination, she presented a lipodystrophic phenotype. Anthropometry: BMI of 27 kg/m2, Köb index of 5.85, and thigh skinfold thickness of 11 mm. Initial laboratory evaluation showed HbA1c of 11.9%, total cholesterol of 362 mg/dL, and triglycerides of 588 mg/dL. Autoantibodies for autoimmune diabetes were negative, and C-peptide was 1.3 ng/mL, ruling out type 1 diabetes. DXA: lower-limb fat <25%, fat mass ratio (FMR) of 1.41, and android/gynoid ratio of 1.22. Given the clinical suspicion of partial lipodystrophy, pioglitazone was added to insulin and metformin, resulting in a 60% reduction in insulin requirement within 15 days. After sequential introduction of an SGLT2 inhibitor, DPP4 inhibitor, and gliclazide, insulin was fully discontinued. After 50 days, HbA1c decreased to 7.8%. Genetic testing confirmed a heterozygous PPARG mutation, consistent with familial partial lipodystrophy (FPLD) type 3. Cascade family screening was initiated. The father, recently diagnosed with diabetes, had a thigh skinfold of 5 mm and no additional anthropometric or densitometric FPLD criteria, but carried the same mutation. The mother (tested negative) and two sisters had no clinical or body composition abnormalities. The 28-year-old brother, without known comorbidities, met two positive anthropometric criteria (Köb index 4.0 and thigh skinfold 8 mm) and is awaiting genetic testing. The patient gave her explicit written consent to publish her information in an open access journal. Discussion: FPLD type 3 is characterized by severe insulin resistance and abnormal fat redistribution. Early clinical suspicion was essential in guiding therapeutic decisions, with pioglitazone introduction leading to marked metabolic improvement and insulin discontinuation. Anthropometry and DXA confirmed peripheral lipoatrophy and visceral adiposity, supporting treatment adjustment. Family screening identified asymptomatic or partially expressed genetically predisposed individuals, demonstrating that anthropometric assessment can detect early disease stages before major metabolic complications arise. Final Comments: Integrating clinical assessment, anthropometry, densitometry, and genetic testing is a strategic approach for diagnosing FPLD and screening at-risk relatives.\n\n\n### Cavalcanti JU1; Lopes FKM2; Coelho JRL2; Lima GECP3; Flor AC2; Veras VR3; Junior RMM2; Junior GBS; Castelo MHCG3\nCase Presentation: A 33-year-old woman was diagnosed with type 2 diabetes mellitus (T2DM) at age 20 and initially managed with oral agents. Following her third pregnancy, she required high-dose insulin (2 IU/kg/day), with persistently elevated HbA1c >11% and severe mixed dyslipidemia (triglycerides >1000 mg/dL). She had a family history of diabetes. On physical examination, she presented a lipodystrophic phenotype. Anthropometry: BMI of 27 kg/m2, Köb index of 5.85, and thigh skinfold thickness of 11 mm. Initial laboratory evaluation showed HbA1c of 11.9%, total cholesterol of 362 mg/dL, and triglycerides of 588 mg/dL. Autoantibodies for autoimmune diabetes were negative, and C-peptide was 1.3 ng/mL, ruling out type 1 diabetes. DXA: lower-limb fat <25%, fat mass ratio (FMR) of 1.41, and android/gynoid ratio of 1.22. Given the clinical suspicion of partial lipodystrophy, pioglitazone was added to insulin and metformin, resulting in a 60% reduction in insulin requirement within 15 days. After sequential introduction of an SGLT2 inhibitor, DPP4 inhibitor, and gliclazide, insulin was fully discontinued. After 50 days, HbA1c decreased to 7.8%. Genetic testing confirmed a heterozygous PPARG mutation, consistent with familial partial lipodystrophy (FPLD) type 3. Cascade family screening was initiated. The father, recently diagnosed with diabetes, had a thigh skinfold of 5 mm and no additional anthropometric or densitometric FPLD criteria, but carried the same mutation. The mother (tested negative) and two sisters had no clinical or body composition abnormalities. The 28-year-old brother, without known comorbidities, met two positive anthropometric criteria (Köb index 4.0 and thigh skinfold 8 mm) and is awaiting genetic testing. The patient gave her explicit written consent to publish her information in an open access journal. Discussion: FPLD type 3 is characterized by severe insulin resistance and abnormal fat redistribution. Early clinical suspicion was essential in guiding therapeutic decisions, with pioglitazone introduction leading to marked metabolic improvement and insulin discontinuation. Anthropometry and DXA confirmed peripheral lipoatrophy and visceral adiposity, supporting treatment adjustment. Family screening identified asymptomatic or partially expressed genetically predisposed individuals, demonstrating that anthropometric assessment can detect early disease stages before major metabolic complications arise. Final Comments: Integrating clinical assessment, anthropometry, densitometry, and genetic testing is a strategic approach for diagnosing FPLD and screening at-risk relatives.\n\n\n### (1) Universidade de Fortaleza, Fortaleza, CE, brasil; (2) Hospital Universitário Walter Cantídio, Fortaleza, CE, Brasil; (3) Hospital de Messejana Dr. Carlos Alberto Studart Gomes, Fortaleza, CE, Brasil\nCase Presentation: A 33-year-old woman was diagnosed with type 2 diabetes mellitus (T2DM) at age 20 and initially managed with oral agents. Following her third pregnancy, she required high-dose insulin (2 IU/kg/day), with persistently elevated HbA1c >11% and severe mixed dyslipidemia (triglycerides >1000 mg/dL). She had a family history of diabetes. On physical examination, she presented a lipodystrophic phenotype. Anthropometry: BMI of 27 kg/m2, Köb index of 5.85, and thigh skinfold thickness of 11 mm. Initial laboratory evaluation showed HbA1c of 11.9%, total cholesterol of 362 mg/dL, and triglycerides of 588 mg/dL. Autoantibodies for autoimmune diabetes were negative, and C-peptide was 1.3 ng/mL, ruling out type 1 diabetes. DXA: lower-limb fat <25%, fat mass ratio (FMR) of 1.41, and android/gynoid ratio of 1.22. Given the clinical suspicion of partial lipodystrophy, pioglitazone was added to insulin and metformin, resulting in a 60% reduction in insulin requirement within 15 days. After sequential introduction of an SGLT2 inhibitor, DPP4 inhibitor, and gliclazide, insulin was fully discontinued. After 50 days, HbA1c decreased to 7.8%. Genetic testing confirmed a heterozygous PPARG mutation, consistent with familial partial lipodystrophy (FPLD) type 3. Cascade family screening was initiated. The father, recently diagnosed with diabetes, had a thigh skinfold of 5 mm and no additional anthropometric or densitometric FPLD criteria, but carried the same mutation. The mother (tested negative) and two sisters had no clinical or body composition abnormalities. The 28-year-old brother, without known comorbidities, met two positive anthropometric criteria (Köb index 4.0 and thigh skinfold 8 mm) and is awaiting genetic testing. The patient gave her explicit written consent to publish her information in an open access journal. Discussion: FPLD type 3 is characterized by severe insulin resistance and abnormal fat redistribution. Early clinical suspicion was essential in guiding therapeutic decisions, with pioglitazone introduction leading to marked metabolic improvement and insulin discontinuation. Anthropometry and DXA confirmed peripheral lipoatrophy and visceral adiposity, supporting treatment adjustment. Family screening identified asymptomatic or partially expressed genetically predisposed individuals, demonstrating that anthropometric assessment can detect early disease stages before major metabolic complications arise. Final Comments: Integrating clinical assessment, anthropometry, densitometry, and genetic testing is a strategic approach for diagnosing FPLD and screening at-risk relatives.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—210\nCase Presentation: A 33-year-old woman was diagnosed with type 2 diabetes mellitus (T2DM) at age 20 and initially managed with oral agents. Following her third pregnancy, she required high-dose insulin (2 IU/kg/day), with persistently elevated HbA1c >11% and severe mixed dyslipidemia (triglycerides >1000 mg/dL). She had a family history of diabetes. On physical examination, she presented a lipodystrophic phenotype. Anthropometry: BMI of 27 kg/m2, Köb index of 5.85, and thigh skinfold thickness of 11 mm. Initial laboratory evaluation showed HbA1c of 11.9%, total cholesterol of 362 mg/dL, and triglycerides of 588 mg/dL. Autoantibodies for autoimmune diabetes were negative, and C-peptide was 1.3 ng/mL, ruling out type 1 diabetes. DXA: lower-limb fat <25%, fat mass ratio (FMR) of 1.41, and android/gynoid ratio of 1.22. Given the clinical suspicion of partial lipodystrophy, pioglitazone was added to insulin and metformin, resulting in a 60% reduction in insulin requirement within 15 days. After sequential introduction of an SGLT2 inhibitor, DPP4 inhibitor, and gliclazide, insulin was fully discontinued. After 50 days, HbA1c decreased to 7.8%. Genetic testing confirmed a heterozygous PPARG mutation, consistent with familial partial lipodystrophy (FPLD) type 3. Cascade family screening was initiated. The father, recently diagnosed with diabetes, had a thigh skinfold of 5 mm and no additional anthropometric or densitometric FPLD criteria, but carried the same mutation. The mother (tested negative) and two sisters had no clinical or body composition abnormalities. The 28-year-old brother, without known comorbidities, met two positive anthropometric criteria (Köb index 4.0 and thigh skinfold 8 mm) and is awaiting genetic testing. The patient gave her explicit written consent to publish her information in an open access journal. Discussion: FPLD type 3 is characterized by severe insulin resistance and abnormal fat redistribution. Early clinical suspicion was essential in guiding therapeutic decisions, with pioglitazone introduction leading to marked metabolic improvement and insulin discontinuation. Anthropometry and DXA confirmed peripheral lipoatrophy and visceral adiposity, supporting treatment adjustment. Family screening identified asymptomatic or partially expressed genetically predisposed individuals, demonstrating that anthropometric assessment can detect early disease stages before major metabolic complications arise. Final Comments: Integrating clinical assessment, anthropometry, densitometry, and genetic testing is a strategic approach for diagnosing FPLD and screening at-risk relatives.\n\n\n### PO—211 Köbberling Index and Familial partial lipodystrophy type 1 (FPLD1): How Reliable Is This Parameter?\nCase Presentation: A 23-year-old male with obesity since adolescence, acanthosis nigricans and previous hepatic steatosis was referred for evaluation of severe hypertriglyceridemia (> 1000 mg/dL). He was on metformin and ciprofibrate, with no history of pancreatitis. Laboratory results: glucose 120.5 mg/dL, HbA1c 5.6%, and triglycerides 537–1647 mg/dL. Dual-energy X-ray absorptiometry (DXA) revealed total body fat 34.6%, visceral adipose tissue (VAT) 1,318 g, fat mass ratio (FMR) 1.146, and lower-limb adiposity 33.5% (both negative). Anthropometry: BMI 32.9 kg/m2, Köb Index 3.875 (positive), and thigh skinfold 32 mm (negative). Genetic testing showed heterozygosity for LPL p.Asn318Ser (N318S), a variant associated with susceptibility to familial combined hyperlipidemia type 3 (FCHL3), with no established link to lipodystrophy. The patient’s mother had type 2 diabetes mellitus (T2DM) for 10 years, diagnosed at age 35, currently on insulin therapy. Her DXA showed total body fat 39.5%, VAT 744 g, FMR 1.118, and lower-limb adiposity 30.5% (all negative). Köb Index was 1.40 and thigh skinfold 39 mm (also negative). The paternal grandfather had T2DM, underwent coronary artery bypass at 56 years and stroke; both maternal grandparents developed T2DM after age 50. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: The Köb Index (>3.477 in men) has been described as a clinical marker for FPLD1, with good accuracy in cohorts with a classic phenotype. However, its specificity is considerably reduced in central obesity. This case illustrates a false positive: elevated Köb Index despite preserved thigh skinfold and peripheral adiposity on DXA, with all other DXA-derived parameters negative and no lipodystrophic phenotype in the mother. Family history demonstrated a strong predisposition to T2DM, with premature CAD only in the paternal grandfather, but no pattern consistent with FPLD1. According to current consensus, diagnosis should integrate clinical features, anthropometry, DXA (with FMR >1.2 and lower-limb adiposity <25%), and family history. In this case, the LPL variant provides a plausible explanation for severe dyslipidemia, guiding management toward intensive triglyceride control rather than lipodystrophy-specific therapy. Final Comments: The Köb Index may be a useful screening tool for FPLD1 but should not be regarded as a standalone diagnostic criterion. In patients with central obesity, positive results must be corroborated by thigh skinfold, DXA-derived indices, and family evaluation to avoid false positives and inappropriate management.\n\n\n### Cavalcanti JC1; Lima GECP2; Sousa TCS2; Júnior GBS1; Castelo MHCG2\nCase Presentation: A 23-year-old male with obesity since adolescence, acanthosis nigricans and previous hepatic steatosis was referred for evaluation of severe hypertriglyceridemia (> 1000 mg/dL). He was on metformin and ciprofibrate, with no history of pancreatitis. Laboratory results: glucose 120.5 mg/dL, HbA1c 5.6%, and triglycerides 537–1647 mg/dL. Dual-energy X-ray absorptiometry (DXA) revealed total body fat 34.6%, visceral adipose tissue (VAT) 1,318 g, fat mass ratio (FMR) 1.146, and lower-limb adiposity 33.5% (both negative). Anthropometry: BMI 32.9 kg/m2, Köb Index 3.875 (positive), and thigh skinfold 32 mm (negative). Genetic testing showed heterozygosity for LPL p.Asn318Ser (N318S), a variant associated with susceptibility to familial combined hyperlipidemia type 3 (FCHL3), with no established link to lipodystrophy. The patient’s mother had type 2 diabetes mellitus (T2DM) for 10 years, diagnosed at age 35, currently on insulin therapy. Her DXA showed total body fat 39.5%, VAT 744 g, FMR 1.118, and lower-limb adiposity 30.5% (all negative). Köb Index was 1.40 and thigh skinfold 39 mm (also negative). The paternal grandfather had T2DM, underwent coronary artery bypass at 56 years and stroke; both maternal grandparents developed T2DM after age 50. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: The Köb Index (>3.477 in men) has been described as a clinical marker for FPLD1, with good accuracy in cohorts with a classic phenotype. However, its specificity is considerably reduced in central obesity. This case illustrates a false positive: elevated Köb Index despite preserved thigh skinfold and peripheral adiposity on DXA, with all other DXA-derived parameters negative and no lipodystrophic phenotype in the mother. Family history demonstrated a strong predisposition to T2DM, with premature CAD only in the paternal grandfather, but no pattern consistent with FPLD1. According to current consensus, diagnosis should integrate clinical features, anthropometry, DXA (with FMR >1.2 and lower-limb adiposity <25%), and family history. In this case, the LPL variant provides a plausible explanation for severe dyslipidemia, guiding management toward intensive triglyceride control rather than lipodystrophy-specific therapy. Final Comments: The Köb Index may be a useful screening tool for FPLD1 but should not be regarded as a standalone diagnostic criterion. In patients with central obesity, positive results must be corroborated by thigh skinfold, DXA-derived indices, and family evaluation to avoid false positives and inappropriate management.\n\n\n### (1) Universidade de Fortaleza, Fortaleza, CE, Brasil; (2) Hospital de Messejeana Dr. Carlos Alberto Studart Gomes, Fortaleza, CE, Brasil\nCase Presentation: A 23-year-old male with obesity since adolescence, acanthosis nigricans and previous hepatic steatosis was referred for evaluation of severe hypertriglyceridemia (> 1000 mg/dL). He was on metformin and ciprofibrate, with no history of pancreatitis. Laboratory results: glucose 120.5 mg/dL, HbA1c 5.6%, and triglycerides 537–1647 mg/dL. Dual-energy X-ray absorptiometry (DXA) revealed total body fat 34.6%, visceral adipose tissue (VAT) 1,318 g, fat mass ratio (FMR) 1.146, and lower-limb adiposity 33.5% (both negative). Anthropometry: BMI 32.9 kg/m2, Köb Index 3.875 (positive), and thigh skinfold 32 mm (negative). Genetic testing showed heterozygosity for LPL p.Asn318Ser (N318S), a variant associated with susceptibility to familial combined hyperlipidemia type 3 (FCHL3), with no established link to lipodystrophy. The patient’s mother had type 2 diabetes mellitus (T2DM) for 10 years, diagnosed at age 35, currently on insulin therapy. Her DXA showed total body fat 39.5%, VAT 744 g, FMR 1.118, and lower-limb adiposity 30.5% (all negative). Köb Index was 1.40 and thigh skinfold 39 mm (also negative). The paternal grandfather had T2DM, underwent coronary artery bypass at 56 years and stroke; both maternal grandparents developed T2DM after age 50. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: The Köb Index (>3.477 in men) has been described as a clinical marker for FPLD1, with good accuracy in cohorts with a classic phenotype. However, its specificity is considerably reduced in central obesity. This case illustrates a false positive: elevated Köb Index despite preserved thigh skinfold and peripheral adiposity on DXA, with all other DXA-derived parameters negative and no lipodystrophic phenotype in the mother. Family history demonstrated a strong predisposition to T2DM, with premature CAD only in the paternal grandfather, but no pattern consistent with FPLD1. According to current consensus, diagnosis should integrate clinical features, anthropometry, DXA (with FMR >1.2 and lower-limb adiposity <25%), and family history. In this case, the LPL variant provides a plausible explanation for severe dyslipidemia, guiding management toward intensive triglyceride control rather than lipodystrophy-specific therapy. Final Comments: The Köb Index may be a useful screening tool for FPLD1 but should not be regarded as a standalone diagnostic criterion. In patients with central obesity, positive results must be corroborated by thigh skinfold, DXA-derived indices, and family evaluation to avoid false positives and inappropriate management.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—211\nCase Presentation: A 23-year-old male with obesity since adolescence, acanthosis nigricans and previous hepatic steatosis was referred for evaluation of severe hypertriglyceridemia (> 1000 mg/dL). He was on metformin and ciprofibrate, with no history of pancreatitis. Laboratory results: glucose 120.5 mg/dL, HbA1c 5.6%, and triglycerides 537–1647 mg/dL. Dual-energy X-ray absorptiometry (DXA) revealed total body fat 34.6%, visceral adipose tissue (VAT) 1,318 g, fat mass ratio (FMR) 1.146, and lower-limb adiposity 33.5% (both negative). Anthropometry: BMI 32.9 kg/m2, Köb Index 3.875 (positive), and thigh skinfold 32 mm (negative). Genetic testing showed heterozygosity for LPL p.Asn318Ser (N318S), a variant associated with susceptibility to familial combined hyperlipidemia type 3 (FCHL3), with no established link to lipodystrophy. The patient’s mother had type 2 diabetes mellitus (T2DM) for 10 years, diagnosed at age 35, currently on insulin therapy. Her DXA showed total body fat 39.5%, VAT 744 g, FMR 1.118, and lower-limb adiposity 30.5% (all negative). Köb Index was 1.40 and thigh skinfold 39 mm (also negative). The paternal grandfather had T2DM, underwent coronary artery bypass at 56 years and stroke; both maternal grandparents developed T2DM after age 50. The patient gave his explicit written consent to publish his information in an open access journal. Discussion: The Köb Index (>3.477 in men) has been described as a clinical marker for FPLD1, with good accuracy in cohorts with a classic phenotype. However, its specificity is considerably reduced in central obesity. This case illustrates a false positive: elevated Köb Index despite preserved thigh skinfold and peripheral adiposity on DXA, with all other DXA-derived parameters negative and no lipodystrophic phenotype in the mother. Family history demonstrated a strong predisposition to T2DM, with premature CAD only in the paternal grandfather, but no pattern consistent with FPLD1. According to current consensus, diagnosis should integrate clinical features, anthropometry, DXA (with FMR >1.2 and lower-limb adiposity <25%), and family history. In this case, the LPL variant provides a plausible explanation for severe dyslipidemia, guiding management toward intensive triglyceride control rather than lipodystrophy-specific therapy. Final Comments: The Köb Index may be a useful screening tool for FPLD1 but should not be regarded as a standalone diagnostic criterion. In patients with central obesity, positive results must be corroborated by thigh skinfold, DXA-derived indices, and family evaluation to avoid false positives and inappropriate management.\n\n\n### PO—212 Metabolic Profile of Women with Familial Partial Lipodystrophy Type X\nIntroduction: Familial partial lipodystrophies are rare, genetically heterogeneous disorders characterized by selective loss of subcutaneous fat and associated metabolic complications, including insulin resistance, early-onset diabetes mellitus (DM), hypertriglyceridemia, metabolic dysfunction-associated steatotic liver disease (MASLD), and increased cardiovascular risk. To date, 10 FPLD subtypes have been identified based on clinical and/or genetic criteria. FPLD type X (FPLDx), a newly proposed subtype, presents with typical clinical and anthropometric features of FPLD, lacking an identifiable pathogenic variant and a positive Kobberling index. Objective: To describe the metabolic profile of patients with FPLDx. Methods: Cross-sectional, descriptive study conducted between September 2024 and February 2025 in patients with FPLDx followed at a reference center for lipodystrophies. Sociodemographic and clinical data, including the presence of DM and its complications, were assessed. Fasting blood glucose, glycated hemoglobin (A1c), HDL cholesterol (HDL-c), triglycerides (TG) and liver enzymes measurements as well as hepatic ultrasounds were performed. Results: A total of 29 women were evaluated, with a mean age of 51 ± 12 years. All patients had a diagnosis of DM, established at a mean age of 37 ± 10 years. Most patients (72%) had A1c levels above 8.0%, and among these, 67% were using high doses of insulin (above 1.0 IU/kg/day) in combination with oral antidiabetic agents. The overall mean A1c was 10.5 ± 1.7%. Diabetic neuropathy was present in 45% of patients, retinopathy in 28%, and nephropathy in 10%. Regarding the lipid profile, 75% of patients had low HDL-c levels, and 97% presented with hypertriglyceridemia, with a median TG level of 323 mg/dL (108 – 5745). Among these, 31% had severe hypertriglyceridemia (TG >500 mg/dL), and 10% had pancreatitis. MASLD was identified in 65% of patients. Systemic arterial hypertension was observed in 69% of patients, and coronary artery disease (CAD) in 24%. Conclusion: In this study, women with FPLDx presented with severe metabolic dysfunction, including poor glycemic control, atherogenic dyslipidemia, and a high prevalence of microvascular and hepatic complications. These findings highlight the clinical relevance of this emerging FPLD subtype and underscore the importance of early identification and tailored metabolic management.\n\n\n### Lopes VHG1; Boris NP1; Araujo JS1; Flor AC1; Lopes FKM1; Aguiar BF1; Linard LLP1; Almeida JAB1; Fernandes VO1; Júnior RMM1; Moura CRM1\nIntroduction: Familial partial lipodystrophies are rare, genetically heterogeneous disorders characterized by selective loss of subcutaneous fat and associated metabolic complications, including insulin resistance, early-onset diabetes mellitus (DM), hypertriglyceridemia, metabolic dysfunction-associated steatotic liver disease (MASLD), and increased cardiovascular risk. To date, 10 FPLD subtypes have been identified based on clinical and/or genetic criteria. FPLD type X (FPLDx), a newly proposed subtype, presents with typical clinical and anthropometric features of FPLD, lacking an identifiable pathogenic variant and a positive Kobberling index. Objective: To describe the metabolic profile of patients with FPLDx. Methods: Cross-sectional, descriptive study conducted between September 2024 and February 2025 in patients with FPLDx followed at a reference center for lipodystrophies. Sociodemographic and clinical data, including the presence of DM and its complications, were assessed. Fasting blood glucose, glycated hemoglobin (A1c), HDL cholesterol (HDL-c), triglycerides (TG) and liver enzymes measurements as well as hepatic ultrasounds were performed. Results: A total of 29 women were evaluated, with a mean age of 51 ± 12 years. All patients had a diagnosis of DM, established at a mean age of 37 ± 10 years. Most patients (72%) had A1c levels above 8.0%, and among these, 67% were using high doses of insulin (above 1.0 IU/kg/day) in combination with oral antidiabetic agents. The overall mean A1c was 10.5 ± 1.7%. Diabetic neuropathy was present in 45% of patients, retinopathy in 28%, and nephropathy in 10%. Regarding the lipid profile, 75% of patients had low HDL-c levels, and 97% presented with hypertriglyceridemia, with a median TG level of 323 mg/dL (108 – 5745). Among these, 31% had severe hypertriglyceridemia (TG >500 mg/dL), and 10% had pancreatitis. MASLD was identified in 65% of patients. Systemic arterial hypertension was observed in 69% of patients, and coronary artery disease (CAD) in 24%. Conclusion: In this study, women with FPLDx presented with severe metabolic dysfunction, including poor glycemic control, atherogenic dyslipidemia, and a high prevalence of microvascular and hepatic complications. These findings highlight the clinical relevance of this emerging FPLD subtype and underscore the importance of early identification and tailored metabolic management.\n\n\n### (1) Hospital Universitário Walter Cantídio- Fortaleza, CE, Brasil\nIntroduction: Familial partial lipodystrophies are rare, genetically heterogeneous disorders characterized by selective loss of subcutaneous fat and associated metabolic complications, including insulin resistance, early-onset diabetes mellitus (DM), hypertriglyceridemia, metabolic dysfunction-associated steatotic liver disease (MASLD), and increased cardiovascular risk. To date, 10 FPLD subtypes have been identified based on clinical and/or genetic criteria. FPLD type X (FPLDx), a newly proposed subtype, presents with typical clinical and anthropometric features of FPLD, lacking an identifiable pathogenic variant and a positive Kobberling index. Objective: To describe the metabolic profile of patients with FPLDx. Methods: Cross-sectional, descriptive study conducted between September 2024 and February 2025 in patients with FPLDx followed at a reference center for lipodystrophies. Sociodemographic and clinical data, including the presence of DM and its complications, were assessed. Fasting blood glucose, glycated hemoglobin (A1c), HDL cholesterol (HDL-c), triglycerides (TG) and liver enzymes measurements as well as hepatic ultrasounds were performed. Results: A total of 29 women were evaluated, with a mean age of 51 ± 12 years. All patients had a diagnosis of DM, established at a mean age of 37 ± 10 years. Most patients (72%) had A1c levels above 8.0%, and among these, 67% were using high doses of insulin (above 1.0 IU/kg/day) in combination with oral antidiabetic agents. The overall mean A1c was 10.5 ± 1.7%. Diabetic neuropathy was present in 45% of patients, retinopathy in 28%, and nephropathy in 10%. Regarding the lipid profile, 75% of patients had low HDL-c levels, and 97% presented with hypertriglyceridemia, with a median TG level of 323 mg/dL (108 – 5745). Among these, 31% had severe hypertriglyceridemia (TG >500 mg/dL), and 10% had pancreatitis. MASLD was identified in 65% of patients. Systemic arterial hypertension was observed in 69% of patients, and coronary artery disease (CAD) in 24%. Conclusion: In this study, women with FPLDx presented with severe metabolic dysfunction, including poor glycemic control, atherogenic dyslipidemia, and a high prevalence of microvascular and hepatic complications. These findings highlight the clinical relevance of this emerging FPLD subtype and underscore the importance of early identification and tailored metabolic management.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—212\nIntroduction: Familial partial lipodystrophies are rare, genetically heterogeneous disorders characterized by selective loss of subcutaneous fat and associated metabolic complications, including insulin resistance, early-onset diabetes mellitus (DM), hypertriglyceridemia, metabolic dysfunction-associated steatotic liver disease (MASLD), and increased cardiovascular risk. To date, 10 FPLD subtypes have been identified based on clinical and/or genetic criteria. FPLD type X (FPLDx), a newly proposed subtype, presents with typical clinical and anthropometric features of FPLD, lacking an identifiable pathogenic variant and a positive Kobberling index. Objective: To describe the metabolic profile of patients with FPLDx. Methods: Cross-sectional, descriptive study conducted between September 2024 and February 2025 in patients with FPLDx followed at a reference center for lipodystrophies. Sociodemographic and clinical data, including the presence of DM and its complications, were assessed. Fasting blood glucose, glycated hemoglobin (A1c), HDL cholesterol (HDL-c), triglycerides (TG) and liver enzymes measurements as well as hepatic ultrasounds were performed. Results: A total of 29 women were evaluated, with a mean age of 51 ± 12 years. All patients had a diagnosis of DM, established at a mean age of 37 ± 10 years. Most patients (72%) had A1c levels above 8.0%, and among these, 67% were using high doses of insulin (above 1.0 IU/kg/day) in combination with oral antidiabetic agents. The overall mean A1c was 10.5 ± 1.7%. Diabetic neuropathy was present in 45% of patients, retinopathy in 28%, and nephropathy in 10%. Regarding the lipid profile, 75% of patients had low HDL-c levels, and 97% presented with hypertriglyceridemia, with a median TG level of 323 mg/dL (108 – 5745). Among these, 31% had severe hypertriglyceridemia (TG >500 mg/dL), and 10% had pancreatitis. MASLD was identified in 65% of patients. Systemic arterial hypertension was observed in 69% of patients, and coronary artery disease (CAD) in 24%. Conclusion: In this study, women with FPLDx presented with severe metabolic dysfunction, including poor glycemic control, atherogenic dyslipidemia, and a high prevalence of microvascular and hepatic complications. These findings highlight the clinical relevance of this emerging FPLD subtype and underscore the importance of early identification and tailored metabolic management.\n\n\n### PO—213 Patterns of Coronary Artery Involvement Across Clusters of Type 2 Diabetes: Association with Age at Diabetes Diagnosis, Glycemic Control, and Body Mass Index\nIntroduction: Type 2 diabetes (T2D) affects over 500 million people worldwide, with projections reaching 850 million by 2050. Brazil ranks among the top countries in prevalence. Cardiovascular disease (CVD) is the leading cause of morbidity and mortality in T2D, with coronary artery disease (CAD) as a major manifestation. This burden underscores the need for improved risk stratification and recent studies suggest that clustering may help predict complications. Objective: To investigate the association between simplified diabetes clusters—based on three clinical-laboratory variables [glycated hemoglobin (HbA1c), age at diabetes diagnosis, and body mass index (BMI)]—and the pattern of atherosclerotic coronary artery involvement in a population with T2D undergoing coronary cineangiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Mean age at CAG was 63.1 ± 9.7 years and median diabetes duration was 10 years (range 0–56). Coronary involvement was defined as ≥70% stenosis in major epicardial arteries, ≥50% in the left main or prior coronary intervention (CI). Clusters were identified using k-means with Euclidean distance after standardizing variables. The optimal number of clusters was defined using the elbow method, and stability was assessed with 2,000 bootstrap resamplings and the Jaccard index. Cluster characteristics were compared using ANOVA/Kruskal–Wallis and chi-square tests. Results: Cluster 1 (69.5% of the sample) comprised older individuals at diagnosis, BMI in the overweight/mild obesity range and relatively adequate glycemic control. Cluster 2 included younger individuals at diagnosis, higher BMI and poorer glycemic control. Cluster 3 (7.1%) showed extremely poor glycemic control, relatively lower BMI and intermediate age at diagnosis, suggesting an insulin-deficient phenotype. Cluster 1, despite shorter diabetes duration than the others (p<0.05), had higher prevalence of prior myocardial infarction, multivessel CAD and percutaneous CI compared with clusters 2 and 3 (p<0.05). Conclusion: The observed association between Cluster 1 and more extensive coronary involvement suggests that, in this context, age at diabetes diagnosis emerges as the predominant factor in defining coronary disease burden. In this population, HbA1c and BMI contribute to patient characterization, but it appears secondary to age in regard to coronary atherosclerosis. Further research is warranted, especially among T2D populations in primary prevention settings for CAD.\n\n\n### Aroucha PMT1; Paliares IC1; Vidotto TM1; Cocitta CDF1; Caixeta AM2; Pimpinato AG2; Choi SNJH3; Dualib PM1; de Sá JR4; Dib SA1\nIntroduction: Type 2 diabetes (T2D) affects over 500 million people worldwide, with projections reaching 850 million by 2050. Brazil ranks among the top countries in prevalence. Cardiovascular disease (CVD) is the leading cause of morbidity and mortality in T2D, with coronary artery disease (CAD) as a major manifestation. This burden underscores the need for improved risk stratification and recent studies suggest that clustering may help predict complications. Objective: To investigate the association between simplified diabetes clusters—based on three clinical-laboratory variables [glycated hemoglobin (HbA1c), age at diabetes diagnosis, and body mass index (BMI)]—and the pattern of atherosclerotic coronary artery involvement in a population with T2D undergoing coronary cineangiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Mean age at CAG was 63.1 ± 9.7 years and median diabetes duration was 10 years (range 0–56). Coronary involvement was defined as ≥70% stenosis in major epicardial arteries, ≥50% in the left main or prior coronary intervention (CI). Clusters were identified using k-means with Euclidean distance after standardizing variables. The optimal number of clusters was defined using the elbow method, and stability was assessed with 2,000 bootstrap resamplings and the Jaccard index. Cluster characteristics were compared using ANOVA/Kruskal–Wallis and chi-square tests. Results: Cluster 1 (69.5% of the sample) comprised older individuals at diagnosis, BMI in the overweight/mild obesity range and relatively adequate glycemic control. Cluster 2 included younger individuals at diagnosis, higher BMI and poorer glycemic control. Cluster 3 (7.1%) showed extremely poor glycemic control, relatively lower BMI and intermediate age at diagnosis, suggesting an insulin-deficient phenotype. Cluster 1, despite shorter diabetes duration than the others (p<0.05), had higher prevalence of prior myocardial infarction, multivessel CAD and percutaneous CI compared with clusters 2 and 3 (p<0.05). Conclusion: The observed association between Cluster 1 and more extensive coronary involvement suggests that, in this context, age at diabetes diagnosis emerges as the predominant factor in defining coronary disease burden. In this population, HbA1c and BMI contribute to patient characterization, but it appears secondary to age in regard to coronary atherosclerosis. Further research is warranted, especially among T2D populations in primary prevention settings for CAD.\n\n\n### (1) Disciplina de Endocrinologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo. , São Paulo, SP, Brasil; (2) Disciplina de Cardiologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (3) Disciplina de Oftalmologia do Departamento de Medicina da Escola Paulista de Medicina da Universidade Federal de São Paulo, São Paulo, SP, Brasil; (4) Disciplina de Endocrinologia do Departamento de Medicina da Faculdade de Medicina do ABC, São Paulo, SP, Brasil\nIntroduction: Type 2 diabetes (T2D) affects over 500 million people worldwide, with projections reaching 850 million by 2050. Brazil ranks among the top countries in prevalence. Cardiovascular disease (CVD) is the leading cause of morbidity and mortality in T2D, with coronary artery disease (CAD) as a major manifestation. This burden underscores the need for improved risk stratification and recent studies suggest that clustering may help predict complications. Objective: To investigate the association between simplified diabetes clusters—based on three clinical-laboratory variables [glycated hemoglobin (HbA1c), age at diabetes diagnosis, and body mass index (BMI)]—and the pattern of atherosclerotic coronary artery involvement in a population with T2D undergoing coronary cineangiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Mean age at CAG was 63.1 ± 9.7 years and median diabetes duration was 10 years (range 0–56). Coronary involvement was defined as ≥70% stenosis in major epicardial arteries, ≥50% in the left main or prior coronary intervention (CI). Clusters were identified using k-means with Euclidean distance after standardizing variables. The optimal number of clusters was defined using the elbow method, and stability was assessed with 2,000 bootstrap resamplings and the Jaccard index. Cluster characteristics were compared using ANOVA/Kruskal–Wallis and chi-square tests. Results: Cluster 1 (69.5% of the sample) comprised older individuals at diagnosis, BMI in the overweight/mild obesity range and relatively adequate glycemic control. Cluster 2 included younger individuals at diagnosis, higher BMI and poorer glycemic control. Cluster 3 (7.1%) showed extremely poor glycemic control, relatively lower BMI and intermediate age at diagnosis, suggesting an insulin-deficient phenotype. Cluster 1, despite shorter diabetes duration than the others (p<0.05), had higher prevalence of prior myocardial infarction, multivessel CAD and percutaneous CI compared with clusters 2 and 3 (p<0.05). Conclusion: The observed association between Cluster 1 and more extensive coronary involvement suggests that, in this context, age at diabetes diagnosis emerges as the predominant factor in defining coronary disease burden. In this population, HbA1c and BMI contribute to patient characterization, but it appears secondary to age in regard to coronary atherosclerosis. Further research is warranted, especially among T2D populations in primary prevention settings for CAD.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—213\nIntroduction: Type 2 diabetes (T2D) affects over 500 million people worldwide, with projections reaching 850 million by 2050. Brazil ranks among the top countries in prevalence. Cardiovascular disease (CVD) is the leading cause of morbidity and mortality in T2D, with coronary artery disease (CAD) as a major manifestation. This burden underscores the need for improved risk stratification and recent studies suggest that clustering may help predict complications. Objective: To investigate the association between simplified diabetes clusters—based on three clinical-laboratory variables [glycated hemoglobin (HbA1c), age at diabetes diagnosis, and body mass index (BMI)]—and the pattern of atherosclerotic coronary artery involvement in a population with T2D undergoing coronary cineangiography (CAG). Methods: We analyzed 548 adults with T2D undergoing CAG. Mean age at CAG was 63.1 ± 9.7 years and median diabetes duration was 10 years (range 0–56). Coronary involvement was defined as ≥70% stenosis in major epicardial arteries, ≥50% in the left main or prior coronary intervention (CI). Clusters were identified using k-means with Euclidean distance after standardizing variables. The optimal number of clusters was defined using the elbow method, and stability was assessed with 2,000 bootstrap resamplings and the Jaccard index. Cluster characteristics were compared using ANOVA/Kruskal–Wallis and chi-square tests. Results: Cluster 1 (69.5% of the sample) comprised older individuals at diagnosis, BMI in the overweight/mild obesity range and relatively adequate glycemic control. Cluster 2 included younger individuals at diagnosis, higher BMI and poorer glycemic control. Cluster 3 (7.1%) showed extremely poor glycemic control, relatively lower BMI and intermediate age at diagnosis, suggesting an insulin-deficient phenotype. Cluster 1, despite shorter diabetes duration than the others (p<0.05), had higher prevalence of prior myocardial infarction, multivessel CAD and percutaneous CI compared with clusters 2 and 3 (p<0.05). Conclusion: The observed association between Cluster 1 and more extensive coronary involvement suggests that, in this context, age at diabetes diagnosis emerges as the predominant factor in defining coronary disease burden. In this population, HbA1c and BMI contribute to patient characterization, but it appears secondary to age in regard to coronary atherosclerosis. Further research is warranted, especially among T2D populations in primary prevention settings for CAD.\n\n\n### PO—214 Exploring The Relation Between Household Income and Diabetes Management Self-efficacy And Glycated Hemoglobin In Individuals With Type 2 Diabetes Using Primary Health Care In Juiz de Fora, Minas Gerais State\nIntroduction: Socioeconomic factors are fundamental components of diabetes prevention and treatment. And because of them, adopting some self-care measures is still challenging for individuals with this health condition and becomes relevant to investigating its association with glycemic control, especially in low-income regions. Objective: To explore the relation between household income and diabetes management self-efficacy and glycated hemoglobin in individuals with type 2 diabetes using Primary Health Care services in Juiz de Fora, Minas Gerais, between 2022 and 2023. Methods: Cross-sectional study involving individuals with type 2 diabetes, ≥18 years old, living in Juiz de Fora for at least one year, and randomly selected from 1 to 2 Primary Health Care services belonging to the 13 health regions of the municipality, according to their percentage distribution of coverage. Monthly household income in reais was self-reported by the participants. Diabetes management self-efficacy was measured from the response to Brazilian version of the Diabetes Management Self-Efficacy Scale, which total score ranges from 0 to 100 points. Glycated hemoglobin values were obtained from medical records and/or exams presented by participants. The data distribution was analyzed using the Shapiro-Wilk test. Variables with normal distribution are presented as mean ± standard deviation and those without normal distribution as median [1st quartile – 3rd quartile]. Data were analyzed by Spearman correlation test, considering a significance level of 5%, and the correlation coefficients were classified as non-existent (≤ 0.1); weak (from 0.1 to < 0.3); moderate (from ≥ 0.3 to < 0.5) and strong (≥ 0.5). Results: Eighty individuals with diabetes participated in the study. No significant correlation was found between household income and the Diabetes Management Self-Efficacy Scale total scores (ρ= 0.105, P = 0.356). Although weak, the household income was significantly correlated with glycated hemoglobin (ρ = -0.232; P = 0.038). Conclusion: The association profile found in this study may be related to the possibility of purchasing and obtaining supplies, medications, glycemic monitoring, healthy eating and guidance for practicing physical exercises, all pillars for glycemic control. The socioeconomic reality of patients must be taken into account when planning and implementing interventions to control diabetes, aiming to promote equity in access to healthcare.\n\n\n### Reis BO1; Netto GPF2; Silva GML2; Pierangeli Vilela ACO3; Carolino SJ3; Bruno da Costa Mariano1; Pereira DAG4; Silva LP1\nIntroduction: Socioeconomic factors are fundamental components of diabetes prevention and treatment. And because of them, adopting some self-care measures is still challenging for individuals with this health condition and becomes relevant to investigating its association with glycemic control, especially in low-income regions. Objective: To explore the relation between household income and diabetes management self-efficacy and glycated hemoglobin in individuals with type 2 diabetes using Primary Health Care services in Juiz de Fora, Minas Gerais, between 2022 and 2023. Methods: Cross-sectional study involving individuals with type 2 diabetes, ≥18 years old, living in Juiz de Fora for at least one year, and randomly selected from 1 to 2 Primary Health Care services belonging to the 13 health regions of the municipality, according to their percentage distribution of coverage. Monthly household income in reais was self-reported by the participants. Diabetes management self-efficacy was measured from the response to Brazilian version of the Diabetes Management Self-Efficacy Scale, which total score ranges from 0 to 100 points. Glycated hemoglobin values were obtained from medical records and/or exams presented by participants. The data distribution was analyzed using the Shapiro-Wilk test. Variables with normal distribution are presented as mean ± standard deviation and those without normal distribution as median [1st quartile – 3rd quartile]. Data were analyzed by Spearman correlation test, considering a significance level of 5%, and the correlation coefficients were classified as non-existent (≤ 0.1); weak (from 0.1 to < 0.3); moderate (from ≥ 0.3 to < 0.5) and strong (≥ 0.5). Results: Eighty individuals with diabetes participated in the study. No significant correlation was found between household income and the Diabetes Management Self-Efficacy Scale total scores (ρ= 0.105, P = 0.356). Although weak, the household income was significantly correlated with glycated hemoglobin (ρ = -0.232; P = 0.038). Conclusion: The association profile found in this study may be related to the possibility of purchasing and obtaining supplies, medications, glycemic monitoring, healthy eating and guidance for practicing physical exercises, all pillars for glycemic control. The socioeconomic reality of patients must be taken into account when planning and implementing interventions to control diabetes, aiming to promote equity in access to healthcare.\n\n\n### (1) Programa de Pós-Graduação em Ciências da Reabilitação e Desempenho Físico-Funcional, Faculdade de Fisioterapia, Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Curso de Graduação em Medicina, Faculdade de Medicina, Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Curso de Graduação em Fisioterapia, Faculdade de Fisioterapia, Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (4) Programa de Pós-Graduação em Ciências da Reabilitação, Escola de Educação Física, Fisioterapia e Terapia Ocupacional, Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: Socioeconomic factors are fundamental components of diabetes prevention and treatment. And because of them, adopting some self-care measures is still challenging for individuals with this health condition and becomes relevant to investigating its association with glycemic control, especially in low-income regions. Objective: To explore the relation between household income and diabetes management self-efficacy and glycated hemoglobin in individuals with type 2 diabetes using Primary Health Care services in Juiz de Fora, Minas Gerais, between 2022 and 2023. Methods: Cross-sectional study involving individuals with type 2 diabetes, ≥18 years old, living in Juiz de Fora for at least one year, and randomly selected from 1 to 2 Primary Health Care services belonging to the 13 health regions of the municipality, according to their percentage distribution of coverage. Monthly household income in reais was self-reported by the participants. Diabetes management self-efficacy was measured from the response to Brazilian version of the Diabetes Management Self-Efficacy Scale, which total score ranges from 0 to 100 points. Glycated hemoglobin values were obtained from medical records and/or exams presented by participants. The data distribution was analyzed using the Shapiro-Wilk test. Variables with normal distribution are presented as mean ± standard deviation and those without normal distribution as median [1st quartile – 3rd quartile]. Data were analyzed by Spearman correlation test, considering a significance level of 5%, and the correlation coefficients were classified as non-existent (≤ 0.1); weak (from 0.1 to < 0.3); moderate (from ≥ 0.3 to < 0.5) and strong (≥ 0.5). Results: Eighty individuals with diabetes participated in the study. No significant correlation was found between household income and the Diabetes Management Self-Efficacy Scale total scores (ρ= 0.105, P = 0.356). Although weak, the household income was significantly correlated with glycated hemoglobin (ρ = -0.232; P = 0.038). Conclusion: The association profile found in this study may be related to the possibility of purchasing and obtaining supplies, medications, glycemic monitoring, healthy eating and guidance for practicing physical exercises, all pillars for glycemic control. The socioeconomic reality of patients must be taken into account when planning and implementing interventions to control diabetes, aiming to promote equity in access to healthcare.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—214\nIntroduction: Socioeconomic factors are fundamental components of diabetes prevention and treatment. And because of them, adopting some self-care measures is still challenging for individuals with this health condition and becomes relevant to investigating its association with glycemic control, especially in low-income regions. Objective: To explore the relation between household income and diabetes management self-efficacy and glycated hemoglobin in individuals with type 2 diabetes using Primary Health Care services in Juiz de Fora, Minas Gerais, between 2022 and 2023. Methods: Cross-sectional study involving individuals with type 2 diabetes, ≥18 years old, living in Juiz de Fora for at least one year, and randomly selected from 1 to 2 Primary Health Care services belonging to the 13 health regions of the municipality, according to their percentage distribution of coverage. Monthly household income in reais was self-reported by the participants. Diabetes management self-efficacy was measured from the response to Brazilian version of the Diabetes Management Self-Efficacy Scale, which total score ranges from 0 to 100 points. Glycated hemoglobin values were obtained from medical records and/or exams presented by participants. The data distribution was analyzed using the Shapiro-Wilk test. Variables with normal distribution are presented as mean ± standard deviation and those without normal distribution as median [1st quartile – 3rd quartile]. Data were analyzed by Spearman correlation test, considering a significance level of 5%, and the correlation coefficients were classified as non-existent (≤ 0.1); weak (from 0.1 to < 0.3); moderate (from ≥ 0.3 to < 0.5) and strong (≥ 0.5). Results: Eighty individuals with diabetes participated in the study. No significant correlation was found between household income and the Diabetes Management Self-Efficacy Scale total scores (ρ= 0.105, P = 0.356). Although weak, the household income was significantly correlated with glycated hemoglobin (ρ = -0.232; P = 0.038). Conclusion: The association profile found in this study may be related to the possibility of purchasing and obtaining supplies, medications, glycemic monitoring, healthy eating and guidance for practicing physical exercises, all pillars for glycemic control. The socioeconomic reality of patients must be taken into account when planning and implementing interventions to control diabetes, aiming to promote equity in access to healthcare.\n\n\n### PO—215 Case Report on Simultaneous Pancreas-Kidney Transplantation in Latent Autoimmune Diabetes: Clinical Implications\nCase Presentation: A 53-year-old female was diagnosed with Latent Autoimmune Diabetes in Adults (LADA) at the age of 24, confirmed by high titers of anti-glutamic acid decarboxylase antibodies (anti-GAD >250 IU/mL). She experienced poor glycemic control, progressing to microvascular complications and end-stage renal disease (ESRD), requiring renal replacement therapy (RRT). She was referred to our center for a simultaneous pancreas-kidney transplant (SPKT). At presentation, she was using glargine insulin (0.37 IU/kg/day) and regular insulin (0.17 IU/kg/day), with an HbA1c of 9.8%. In August 2019, she underwent SPKT from a deceased donor with compatible human leukocyte antigens (HLA). Pancreatic cold ischemia time was 9 hours and 20 minutes. Pre-transplant C-peptide was undetectable (<0.01 ng/mL; reference: 1.1–4.4 ng/mL). She achieved insulin independence post-transplant with an HbA1c of 5.0% and C-peptide of 4.4 ng/mL, indicating excellent graft function and glycemic control. Three years later, insulin therapy was reintroduced at full doses, and RRT was resumed. Despite this, laboratory tests in 2025 showed an HbA1c of 6.68% and a C-peptide level of 4.81 ng/mL, suggesting preserved endogenous insulin production. The patient provided her written consent to publish this information. Discussion: Simultaneous pancreas-kidney transplantation is considered the gold standard for patients with type 1 diabetes and ESRD, as it improves metabolic control and overall survival. However, recurrence of diabetes post-transplant may occur in up to 25% of cases after 10 years, potentially due to autoimmunity reactivation and/or graft dysfunction. Contributing factors include advanced recipient age (>45 years), use of diabetogenic immunosuppressants, and persistence or recurrence of pancreatic autoantibodies. In the present case, the patient initially demonstrated robust pancreatic graft function. The reintroduction of insulin therapy indicates partial loss of graft function, although stable C-peptide levels suggest preserved beta-cell activity and possibly limited autoimmune destruction. Final Comments: While SPKT offers substantial clinical benefits, the recurrence of diabetes in this patient underscores the importance of long-term surveillance and the need for further investigation into the mechanisms of graft failure and autoimmune reactivation.\n\n\n### Barbosa ARCC1; Mendes PS1; Gieburowski JT1; Fernandes VP1; Pedrosa AG1; De Paula FJA1; Mermejo LM1; Gomes PM1; Guidorizzi NR1\nCase Presentation: A 53-year-old female was diagnosed with Latent Autoimmune Diabetes in Adults (LADA) at the age of 24, confirmed by high titers of anti-glutamic acid decarboxylase antibodies (anti-GAD >250 IU/mL). She experienced poor glycemic control, progressing to microvascular complications and end-stage renal disease (ESRD), requiring renal replacement therapy (RRT). She was referred to our center for a simultaneous pancreas-kidney transplant (SPKT). At presentation, she was using glargine insulin (0.37 IU/kg/day) and regular insulin (0.17 IU/kg/day), with an HbA1c of 9.8%. In August 2019, she underwent SPKT from a deceased donor with compatible human leukocyte antigens (HLA). Pancreatic cold ischemia time was 9 hours and 20 minutes. Pre-transplant C-peptide was undetectable (<0.01 ng/mL; reference: 1.1–4.4 ng/mL). She achieved insulin independence post-transplant with an HbA1c of 5.0% and C-peptide of 4.4 ng/mL, indicating excellent graft function and glycemic control. Three years later, insulin therapy was reintroduced at full doses, and RRT was resumed. Despite this, laboratory tests in 2025 showed an HbA1c of 6.68% and a C-peptide level of 4.81 ng/mL, suggesting preserved endogenous insulin production. The patient provided her written consent to publish this information. Discussion: Simultaneous pancreas-kidney transplantation is considered the gold standard for patients with type 1 diabetes and ESRD, as it improves metabolic control and overall survival. However, recurrence of diabetes post-transplant may occur in up to 25% of cases after 10 years, potentially due to autoimmunity reactivation and/or graft dysfunction. Contributing factors include advanced recipient age (>45 years), use of diabetogenic immunosuppressants, and persistence or recurrence of pancreatic autoantibodies. In the present case, the patient initially demonstrated robust pancreatic graft function. The reintroduction of insulin therapy indicates partial loss of graft function, although stable C-peptide levels suggest preserved beta-cell activity and possibly limited autoimmune destruction. Final Comments: While SPKT offers substantial clinical benefits, the recurrence of diabetes in this patient underscores the importance of long-term surveillance and the need for further investigation into the mechanisms of graft failure and autoimmune reactivation.\n\n\n### (1) Hospital das Clínicas de Ribeirão Preto, USP, Ribeirão Preto, SP, Brasil\nCase Presentation: A 53-year-old female was diagnosed with Latent Autoimmune Diabetes in Adults (LADA) at the age of 24, confirmed by high titers of anti-glutamic acid decarboxylase antibodies (anti-GAD >250 IU/mL). She experienced poor glycemic control, progressing to microvascular complications and end-stage renal disease (ESRD), requiring renal replacement therapy (RRT). She was referred to our center for a simultaneous pancreas-kidney transplant (SPKT). At presentation, she was using glargine insulin (0.37 IU/kg/day) and regular insulin (0.17 IU/kg/day), with an HbA1c of 9.8%. In August 2019, she underwent SPKT from a deceased donor with compatible human leukocyte antigens (HLA). Pancreatic cold ischemia time was 9 hours and 20 minutes. Pre-transplant C-peptide was undetectable (<0.01 ng/mL; reference: 1.1–4.4 ng/mL). She achieved insulin independence post-transplant with an HbA1c of 5.0% and C-peptide of 4.4 ng/mL, indicating excellent graft function and glycemic control. Three years later, insulin therapy was reintroduced at full doses, and RRT was resumed. Despite this, laboratory tests in 2025 showed an HbA1c of 6.68% and a C-peptide level of 4.81 ng/mL, suggesting preserved endogenous insulin production. The patient provided her written consent to publish this information. Discussion: Simultaneous pancreas-kidney transplantation is considered the gold standard for patients with type 1 diabetes and ESRD, as it improves metabolic control and overall survival. However, recurrence of diabetes post-transplant may occur in up to 25% of cases after 10 years, potentially due to autoimmunity reactivation and/or graft dysfunction. Contributing factors include advanced recipient age (>45 years), use of diabetogenic immunosuppressants, and persistence or recurrence of pancreatic autoantibodies. In the present case, the patient initially demonstrated robust pancreatic graft function. The reintroduction of insulin therapy indicates partial loss of graft function, although stable C-peptide levels suggest preserved beta-cell activity and possibly limited autoimmune destruction. Final Comments: While SPKT offers substantial clinical benefits, the recurrence of diabetes in this patient underscores the importance of long-term surveillance and the need for further investigation into the mechanisms of graft failure and autoimmune reactivation.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—215\nCase Presentation: A 53-year-old female was diagnosed with Latent Autoimmune Diabetes in Adults (LADA) at the age of 24, confirmed by high titers of anti-glutamic acid decarboxylase antibodies (anti-GAD >250 IU/mL). She experienced poor glycemic control, progressing to microvascular complications and end-stage renal disease (ESRD), requiring renal replacement therapy (RRT). She was referred to our center for a simultaneous pancreas-kidney transplant (SPKT). At presentation, she was using glargine insulin (0.37 IU/kg/day) and regular insulin (0.17 IU/kg/day), with an HbA1c of 9.8%. In August 2019, she underwent SPKT from a deceased donor with compatible human leukocyte antigens (HLA). Pancreatic cold ischemia time was 9 hours and 20 minutes. Pre-transplant C-peptide was undetectable (<0.01 ng/mL; reference: 1.1–4.4 ng/mL). She achieved insulin independence post-transplant with an HbA1c of 5.0% and C-peptide of 4.4 ng/mL, indicating excellent graft function and glycemic control. Three years later, insulin therapy was reintroduced at full doses, and RRT was resumed. Despite this, laboratory tests in 2025 showed an HbA1c of 6.68% and a C-peptide level of 4.81 ng/mL, suggesting preserved endogenous insulin production. The patient provided her written consent to publish this information. Discussion: Simultaneous pancreas-kidney transplantation is considered the gold standard for patients with type 1 diabetes and ESRD, as it improves metabolic control and overall survival. However, recurrence of diabetes post-transplant may occur in up to 25% of cases after 10 years, potentially due to autoimmunity reactivation and/or graft dysfunction. Contributing factors include advanced recipient age (>45 years), use of diabetogenic immunosuppressants, and persistence or recurrence of pancreatic autoantibodies. In the present case, the patient initially demonstrated robust pancreatic graft function. The reintroduction of insulin therapy indicates partial loss of graft function, although stable C-peptide levels suggest preserved beta-cell activity and possibly limited autoimmune destruction. Final Comments: While SPKT offers substantial clinical benefits, the recurrence of diabetes in this patient underscores the importance of long-term surveillance and the need for further investigation into the mechanisms of graft failure and autoimmune reactivation.\n\n\n### PO—216 Modulation of Inflammatory and Metabolic Dysfunction in Type 2 Diabetes via Bone Marrow Transplantation\nIntroduction: In type 2 diabetes, inflammation in adipose tissue disrupts immune regulation and contributes to insulin resistance. Leptin and IL-5 are key mediators in this immunometabolic axis. Objective: This study investigated the effects of hematopoietic stem cell transplantation on stromal vascular fraction composition, IL-5 secretion, and leptin levels in epididymal adipose tissue (EPI) in a non-obese model of type 2 diabetes (Goto-Kakizaki rats). Methods: Male Wistar (WT) and GK rats, aged 28 days, were all subjected to sublethal immunosuppression with busulfan (20 mg/kg, i.p., for two days) followed by cyclophosphamide (150 mg/kg i.p.) on the third day. On day four, two groups of both strains received a bone marrow transplant (BMT) with 2×10⁷ cells from WT donors via tail vein injection. The experimental groups were WT control (WTc); GK control (GKc); WT transplanted (WTt); and GK transplanted (GKt). On day 100, following 6-hour fasting, the animals were euthanized. Blood samples were collected for serum leptin analysis by ELISA. EPI was weighed, and 1 g was incubated under cell culture conditions (DMEM with 10% fetal bovine serum and 1% antibiotics) for 48 hours. The supernatant was collected for cytokine quantification using the cytometric bead array (CBA) method. The remaining tissue was digested with collagenase for stromal vascular fraction (SVF) isolation, and viable cells were counted using trypan blue and an automated cell counter. Two-way ANOVA with Tukey’s test and linear regression were used for analysis. Results: GK rats showed less body mass (p<0.05) and increased fasting blood glucose (p<0.05) compared to WT groups independent of BMT. However, BMT decreased serum insulin in GKt and reduced HOMA-IR (p=0.0338) compared to GKc. GK rats showed less EPI content (p<0.05) in comparison to WT in control and transplanted condition. GKt presented less serum leptin (p<0.05) as compared to WTc. A positive correlation was observed between serum leptin levels and IL-5 secreted by the EPI only in GKc rats (r = 0.75, p = 0.05). Although the EPI of GK rats showed a trend toward increased SVF cellularity, IL-5 secretion, and pro-inflammatory cytokine release, these changes did not reach statistical significance, suggesting a mild and non-robust inflammatory response under the conditions tested. Conclusion: In conclusion, BMT improved insulin sensitivity and reduced leptin in GK rats. The leptin–IL-5 correlation suggests an immunometabolic interaction in adipose tissue, despite a mild inflammatory response.\n\n\n### Pauferro JRB1; Borges JCO1; Correia IS1; Alves ACA1; Lobato TB1; Pithon-Curi TC1; Hirabara SM1; Curi R2; Mais LN3; Gorjão R1\nIntroduction: In type 2 diabetes, inflammation in adipose tissue disrupts immune regulation and contributes to insulin resistance. Leptin and IL-5 are key mediators in this immunometabolic axis. Objective: This study investigated the effects of hematopoietic stem cell transplantation on stromal vascular fraction composition, IL-5 secretion, and leptin levels in epididymal adipose tissue (EPI) in a non-obese model of type 2 diabetes (Goto-Kakizaki rats). Methods: Male Wistar (WT) and GK rats, aged 28 days, were all subjected to sublethal immunosuppression with busulfan (20 mg/kg, i.p., for two days) followed by cyclophosphamide (150 mg/kg i.p.) on the third day. On day four, two groups of both strains received a bone marrow transplant (BMT) with 2×10⁷ cells from WT donors via tail vein injection. The experimental groups were WT control (WTc); GK control (GKc); WT transplanted (WTt); and GK transplanted (GKt). On day 100, following 6-hour fasting, the animals were euthanized. Blood samples were collected for serum leptin analysis by ELISA. EPI was weighed, and 1 g was incubated under cell culture conditions (DMEM with 10% fetal bovine serum and 1% antibiotics) for 48 hours. The supernatant was collected for cytokine quantification using the cytometric bead array (CBA) method. The remaining tissue was digested with collagenase for stromal vascular fraction (SVF) isolation, and viable cells were counted using trypan blue and an automated cell counter. Two-way ANOVA with Tukey’s test and linear regression were used for analysis. Results: GK rats showed less body mass (p<0.05) and increased fasting blood glucose (p<0.05) compared to WT groups independent of BMT. However, BMT decreased serum insulin in GKt and reduced HOMA-IR (p=0.0338) compared to GKc. GK rats showed less EPI content (p<0.05) in comparison to WT in control and transplanted condition. GKt presented less serum leptin (p<0.05) as compared to WTc. A positive correlation was observed between serum leptin levels and IL-5 secreted by the EPI only in GKc rats (r = 0.75, p = 0.05). Although the EPI of GK rats showed a trend toward increased SVF cellularity, IL-5 secretion, and pro-inflammatory cytokine release, these changes did not reach statistical significance, suggesting a mild and non-robust inflammatory response under the conditions tested. Conclusion: In conclusion, BMT improved insulin sensitivity and reduced leptin in GK rats. The leptin–IL-5 correlation suggests an immunometabolic interaction in adipose tissue, despite a mild inflammatory response.\n\n\n### (1) Interdisciplinary Post-graduate Program in Health Sciences, Universidade Cruzeiro do Sul, São Paulo, SP, Brasil; (2) Butantan Institute, São Paulo, SP, Brasil; (3) Multicenter Post-graduate Program in Physiological Sciences, Universidade Federal de Santa Catarina, Florianópolis, SC, Brasil\nIntroduction: In type 2 diabetes, inflammation in adipose tissue disrupts immune regulation and contributes to insulin resistance. Leptin and IL-5 are key mediators in this immunometabolic axis. Objective: This study investigated the effects of hematopoietic stem cell transplantation on stromal vascular fraction composition, IL-5 secretion, and leptin levels in epididymal adipose tissue (EPI) in a non-obese model of type 2 diabetes (Goto-Kakizaki rats). Methods: Male Wistar (WT) and GK rats, aged 28 days, were all subjected to sublethal immunosuppression with busulfan (20 mg/kg, i.p., for two days) followed by cyclophosphamide (150 mg/kg i.p.) on the third day. On day four, two groups of both strains received a bone marrow transplant (BMT) with 2×10⁷ cells from WT donors via tail vein injection. The experimental groups were WT control (WTc); GK control (GKc); WT transplanted (WTt); and GK transplanted (GKt). On day 100, following 6-hour fasting, the animals were euthanized. Blood samples were collected for serum leptin analysis by ELISA. EPI was weighed, and 1 g was incubated under cell culture conditions (DMEM with 10% fetal bovine serum and 1% antibiotics) for 48 hours. The supernatant was collected for cytokine quantification using the cytometric bead array (CBA) method. The remaining tissue was digested with collagenase for stromal vascular fraction (SVF) isolation, and viable cells were counted using trypan blue and an automated cell counter. Two-way ANOVA with Tukey’s test and linear regression were used for analysis. Results: GK rats showed less body mass (p<0.05) and increased fasting blood glucose (p<0.05) compared to WT groups independent of BMT. However, BMT decreased serum insulin in GKt and reduced HOMA-IR (p=0.0338) compared to GKc. GK rats showed less EPI content (p<0.05) in comparison to WT in control and transplanted condition. GKt presented less serum leptin (p<0.05) as compared to WTc. A positive correlation was observed between serum leptin levels and IL-5 secreted by the EPI only in GKc rats (r = 0.75, p = 0.05). Although the EPI of GK rats showed a trend toward increased SVF cellularity, IL-5 secretion, and pro-inflammatory cytokine release, these changes did not reach statistical significance, suggesting a mild and non-robust inflammatory response under the conditions tested. Conclusion: In conclusion, BMT improved insulin sensitivity and reduced leptin in GK rats. The leptin–IL-5 correlation suggests an immunometabolic interaction in adipose tissue, despite a mild inflammatory response.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—216\nIntroduction: In type 2 diabetes, inflammation in adipose tissue disrupts immune regulation and contributes to insulin resistance. Leptin and IL-5 are key mediators in this immunometabolic axis. Objective: This study investigated the effects of hematopoietic stem cell transplantation on stromal vascular fraction composition, IL-5 secretion, and leptin levels in epididymal adipose tissue (EPI) in a non-obese model of type 2 diabetes (Goto-Kakizaki rats). Methods: Male Wistar (WT) and GK rats, aged 28 days, were all subjected to sublethal immunosuppression with busulfan (20 mg/kg, i.p., for two days) followed by cyclophosphamide (150 mg/kg i.p.) on the third day. On day four, two groups of both strains received a bone marrow transplant (BMT) with 2×10⁷ cells from WT donors via tail vein injection. The experimental groups were WT control (WTc); GK control (GKc); WT transplanted (WTt); and GK transplanted (GKt). On day 100, following 6-hour fasting, the animals were euthanized. Blood samples were collected for serum leptin analysis by ELISA. EPI was weighed, and 1 g was incubated under cell culture conditions (DMEM with 10% fetal bovine serum and 1% antibiotics) for 48 hours. The supernatant was collected for cytokine quantification using the cytometric bead array (CBA) method. The remaining tissue was digested with collagenase for stromal vascular fraction (SVF) isolation, and viable cells were counted using trypan blue and an automated cell counter. Two-way ANOVA with Tukey’s test and linear regression were used for analysis. Results: GK rats showed less body mass (p<0.05) and increased fasting blood glucose (p<0.05) compared to WT groups independent of BMT. However, BMT decreased serum insulin in GKt and reduced HOMA-IR (p=0.0338) compared to GKc. GK rats showed less EPI content (p<0.05) in comparison to WT in control and transplanted condition. GKt presented less serum leptin (p<0.05) as compared to WTc. A positive correlation was observed between serum leptin levels and IL-5 secreted by the EPI only in GKc rats (r = 0.75, p = 0.05). Although the EPI of GK rats showed a trend toward increased SVF cellularity, IL-5 secretion, and pro-inflammatory cytokine release, these changes did not reach statistical significance, suggesting a mild and non-robust inflammatory response under the conditions tested. Conclusion: In conclusion, BMT improved insulin sensitivity and reduced leptin in GK rats. The leptin–IL-5 correlation suggests an immunometabolic interaction in adipose tissue, despite a mild inflammatory response.\n\n\n### PO—217 Type B Insulin Resistance: A Case of Paradoxical Hyperglycemia Aggravated by Insulin and Reversed with Immunosuppression\nCase Presentation: A 59-year-old man with type 2 diabetes mellitus and six hospitalizations due to diabetic ketoacidosis over the previous six months was admitted in July 2023 with a severe episode (arterial pH 6.7; serum bicarbonate 2.7 mmol/L; blood glucose >500 mg/dL), followed by a reverted cardiac arrest. Prior to admission, he was using high doses of human insulin. During hospitalization, he required over 800 UI/day of intravenous insulin. Suspecting type B insulin resistance syndrome (TBIRS), pulse therapy with methylprednisolone was initiated, followed by oral prednisone and mycophenolate, resulting in clinical and laboratory improvement. At discharge, he was prescribed metformin, a sulfonylurea, a DPP-4 inhibitor, and insulin analogs. Insulin was gradually withdrawn in the outpatient setting, with maintenance of mycophenolate. By July 2024, insulin was discontinued. Glycemic control improved (HbA1c from 7.6% in June to 7.1% in November 2024), allowing reduction of other antidiabetic drugs. In November 2024, mycophenolate dose reduction led to worsening control (HbA1c 10.6%; fasting glucose 274 mg/dL), which reversed after dose adjustment. In April 2025, HbA1c dropped to 7.4%. Figure 1 shows the evolution of HbA1c, insulin autoantibodies, and mycophenolate dose. The diagnosis of TBIRS was confirmed. The patient provided a written consent to publish his information. Discussion: Type B insulin resistance is a rare autoimmune syndrome (estimated in <0.17% of patients with diabetes), typically affecting those with long-standing type 2 diabetes. It is caused by autoantibodies that neutralize insulin action, leading to severe resistance. Both human and analog insulins can trigger it, even after months or years of therapy. Clinically, it presents with erratic glycemic patterns, including hyperglycemia and paradoxical hypoglycemia, often in the setting of extreme insulin requirements. Diagnosis is based on history of insulin use, hyperinsulinemia, and detection of insulin autoantibodies. Antibody titers do not correlate with glycemic severity. Final Comments: This case illustrates a rare but relevant syndrome. Type B insulin resistance should be suspected in patients with poor glycemic control despite high insulin doses. Immunosuppressive therapy can restore insulin sensitivity. A key strength of this report is the longitudinal follow-up, demonstrating how changes in mycophenolate dosing correlated with HbA1c levels — reinforcing the central role of immunosuppression in disease control. Early recognition is essential to prevent complications and reduce hospitalizations.Figure 1(abstract PO-217) Temporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\nTemporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\n\n\n### Brito GD1; Proença LB1; Lima LV1; Reis AB1; Marino EC1\nCase Presentation: A 59-year-old man with type 2 diabetes mellitus and six hospitalizations due to diabetic ketoacidosis over the previous six months was admitted in July 2023 with a severe episode (arterial pH 6.7; serum bicarbonate 2.7 mmol/L; blood glucose >500 mg/dL), followed by a reverted cardiac arrest. Prior to admission, he was using high doses of human insulin. During hospitalization, he required over 800 UI/day of intravenous insulin. Suspecting type B insulin resistance syndrome (TBIRS), pulse therapy with methylprednisolone was initiated, followed by oral prednisone and mycophenolate, resulting in clinical and laboratory improvement. At discharge, he was prescribed metformin, a sulfonylurea, a DPP-4 inhibitor, and insulin analogs. Insulin was gradually withdrawn in the outpatient setting, with maintenance of mycophenolate. By July 2024, insulin was discontinued. Glycemic control improved (HbA1c from 7.6% in June to 7.1% in November 2024), allowing reduction of other antidiabetic drugs. In November 2024, mycophenolate dose reduction led to worsening control (HbA1c 10.6%; fasting glucose 274 mg/dL), which reversed after dose adjustment. In April 2025, HbA1c dropped to 7.4%. Figure 1 shows the evolution of HbA1c, insulin autoantibodies, and mycophenolate dose. The diagnosis of TBIRS was confirmed. The patient provided a written consent to publish his information. Discussion: Type B insulin resistance is a rare autoimmune syndrome (estimated in <0.17% of patients with diabetes), typically affecting those with long-standing type 2 diabetes. It is caused by autoantibodies that neutralize insulin action, leading to severe resistance. Both human and analog insulins can trigger it, even after months or years of therapy. Clinically, it presents with erratic glycemic patterns, including hyperglycemia and paradoxical hypoglycemia, often in the setting of extreme insulin requirements. Diagnosis is based on history of insulin use, hyperinsulinemia, and detection of insulin autoantibodies. Antibody titers do not correlate with glycemic severity. Final Comments: This case illustrates a rare but relevant syndrome. Type B insulin resistance should be suspected in patients with poor glycemic control despite high insulin doses. Immunosuppressive therapy can restore insulin sensitivity. A key strength of this report is the longitudinal follow-up, demonstrating how changes in mycophenolate dosing correlated with HbA1c levels — reinforcing the central role of immunosuppression in disease control. Early recognition is essential to prevent complications and reduce hospitalizations.Figure 1(abstract PO-217) Temporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\nTemporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\n\n\n### (1) Centro de Diabetes Curitiba, Curitiba, PR, Brasil\nCase Presentation: A 59-year-old man with type 2 diabetes mellitus and six hospitalizations due to diabetic ketoacidosis over the previous six months was admitted in July 2023 with a severe episode (arterial pH 6.7; serum bicarbonate 2.7 mmol/L; blood glucose >500 mg/dL), followed by a reverted cardiac arrest. Prior to admission, he was using high doses of human insulin. During hospitalization, he required over 800 UI/day of intravenous insulin. Suspecting type B insulin resistance syndrome (TBIRS), pulse therapy with methylprednisolone was initiated, followed by oral prednisone and mycophenolate, resulting in clinical and laboratory improvement. At discharge, he was prescribed metformin, a sulfonylurea, a DPP-4 inhibitor, and insulin analogs. Insulin was gradually withdrawn in the outpatient setting, with maintenance of mycophenolate. By July 2024, insulin was discontinued. Glycemic control improved (HbA1c from 7.6% in June to 7.1% in November 2024), allowing reduction of other antidiabetic drugs. In November 2024, mycophenolate dose reduction led to worsening control (HbA1c 10.6%; fasting glucose 274 mg/dL), which reversed after dose adjustment. In April 2025, HbA1c dropped to 7.4%. Figure 1 shows the evolution of HbA1c, insulin autoantibodies, and mycophenolate dose. The diagnosis of TBIRS was confirmed. The patient provided a written consent to publish his information. Discussion: Type B insulin resistance is a rare autoimmune syndrome (estimated in <0.17% of patients with diabetes), typically affecting those with long-standing type 2 diabetes. It is caused by autoantibodies that neutralize insulin action, leading to severe resistance. Both human and analog insulins can trigger it, even after months or years of therapy. Clinically, it presents with erratic glycemic patterns, including hyperglycemia and paradoxical hypoglycemia, often in the setting of extreme insulin requirements. Diagnosis is based on history of insulin use, hyperinsulinemia, and detection of insulin autoantibodies. Antibody titers do not correlate with glycemic severity. Final Comments: This case illustrates a rare but relevant syndrome. Type B insulin resistance should be suspected in patients with poor glycemic control despite high insulin doses. Immunosuppressive therapy can restore insulin sensitivity. A key strength of this report is the longitudinal follow-up, demonstrating how changes in mycophenolate dosing correlated with HbA1c levels — reinforcing the central role of immunosuppression in disease control. Early recognition is essential to prevent complications and reduce hospitalizations.Figure 1(abstract PO-217) Temporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\nTemporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—217\nCase Presentation: A 59-year-old man with type 2 diabetes mellitus and six hospitalizations due to diabetic ketoacidosis over the previous six months was admitted in July 2023 with a severe episode (arterial pH 6.7; serum bicarbonate 2.7 mmol/L; blood glucose >500 mg/dL), followed by a reverted cardiac arrest. Prior to admission, he was using high doses of human insulin. During hospitalization, he required over 800 UI/day of intravenous insulin. Suspecting type B insulin resistance syndrome (TBIRS), pulse therapy with methylprednisolone was initiated, followed by oral prednisone and mycophenolate, resulting in clinical and laboratory improvement. At discharge, he was prescribed metformin, a sulfonylurea, a DPP-4 inhibitor, and insulin analogs. Insulin was gradually withdrawn in the outpatient setting, with maintenance of mycophenolate. By July 2024, insulin was discontinued. Glycemic control improved (HbA1c from 7.6% in June to 7.1% in November 2024), allowing reduction of other antidiabetic drugs. In November 2024, mycophenolate dose reduction led to worsening control (HbA1c 10.6%; fasting glucose 274 mg/dL), which reversed after dose adjustment. In April 2025, HbA1c dropped to 7.4%. Figure 1 shows the evolution of HbA1c, insulin autoantibodies, and mycophenolate dose. The diagnosis of TBIRS was confirmed. The patient provided a written consent to publish his information. Discussion: Type B insulin resistance is a rare autoimmune syndrome (estimated in <0.17% of patients with diabetes), typically affecting those with long-standing type 2 diabetes. It is caused by autoantibodies that neutralize insulin action, leading to severe resistance. Both human and analog insulins can trigger it, even after months or years of therapy. Clinically, it presents with erratic glycemic patterns, including hyperglycemia and paradoxical hypoglycemia, often in the setting of extreme insulin requirements. Diagnosis is based on history of insulin use, hyperinsulinemia, and detection of insulin autoantibodies. Antibody titers do not correlate with glycemic severity. Final Comments: This case illustrates a rare but relevant syndrome. Type B insulin resistance should be suspected in patients with poor glycemic control despite high insulin doses. Immunosuppressive therapy can restore insulin sensitivity. A key strength of this report is the longitudinal follow-up, demonstrating how changes in mycophenolate dosing correlated with HbA1c levels — reinforcing the central role of immunosuppression in disease control. Early recognition is essential to prevent complications and reduce hospitalizations.Figure 1(abstract PO-217) Temporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\nTemporal relationship between glycated hemoglobin , insulin autoantibody levels, and mycophenolate dose, illustrating response to immunosuppressive therapy\n\n\n### PO—219 Adequacy of Carbohydrate and Dietary Fiber Intake in Patients with Type 2 Diabetes Mellitus: A Multicenter Cross-Sectional Study in Brazil\nIntroduction: Nutritional management is a key component in the treatment of Type 2 Diabetes Mellitus (T2DM), particularly with respect to carbohydrate and dietary fiber intake. Objective: To evaluate adherence to carbohydrate and fiber intake recommendations among patients with T2DM across the five geographic regions of Brazil. Methods: This cross-sectional analysis was conducted as part of two multicenter randomized clinical trials involving individuals with T2DM. Eligible participants were aged ≥30 years, had HbA1c ≥ 7%, and had not received nutritional counseling in the preceding six months. Data were collected from 15 specialized centers for chronic disease care distributed across Brazil. Sociodemographic, behavioral, anthropometric, and dietary data were obtained. Dietary intake was assessed using two 24-hour dietary recalls. Carbohydrate intake was classified according to the Brazilian Diabetes Society guidelines: low (<45%), adequate (45–60%), and high (>60%). Fiber intake ≥25 g/day was considered adequate. Results: A total of 418 participants were included; 61% were female, with a mean age of 60 ± 9 years. Most participants were physically inactive (75.2%) and overweight or obese (76.8%). Mean fiber intake was 22 ± 10.6 g/day. Carbohydrate intake was adequate in 83.5% of participants, while only 37.1% achieved adequate fiber intake. The Northern region showed the highest mean fiber intake (27.0 ± 14.7 g/day), and the Southern region the lowest (19.9 ± 8.7 g/day). Regarding carbohydrates, the Northern region had the lowest intake (41.8 ± 11.8%), while the Northeastern region had the highest (54.7 ± 7.4%). Conclusion: While most patients met recommendations for carbohydrate intake, fiber consumption was generally insufficient. These findings highlight the need to improve the quality of carbohydrate sources consumed by individuals with T2DM in Brazil.\n\n\n### Sahade V1; Cardim R1; Curvello K1; Souza G1; Guimarães R1; Rocha P1; Maria Z1; Lobo G1; Ferreira A2; Pagano R2; Marcadenti A3; Daltro C1\nIntroduction: Nutritional management is a key component in the treatment of Type 2 Diabetes Mellitus (T2DM), particularly with respect to carbohydrate and dietary fiber intake. Objective: To evaluate adherence to carbohydrate and fiber intake recommendations among patients with T2DM across the five geographic regions of Brazil. Methods: This cross-sectional analysis was conducted as part of two multicenter randomized clinical trials involving individuals with T2DM. Eligible participants were aged ≥30 years, had HbA1c ≥ 7%, and had not received nutritional counseling in the preceding six months. Data were collected from 15 specialized centers for chronic disease care distributed across Brazil. Sociodemographic, behavioral, anthropometric, and dietary data were obtained. Dietary intake was assessed using two 24-hour dietary recalls. Carbohydrate intake was classified according to the Brazilian Diabetes Society guidelines: low (<45%), adequate (45–60%), and high (>60%). Fiber intake ≥25 g/day was considered adequate. Results: A total of 418 participants were included; 61% were female, with a mean age of 60 ± 9 years. Most participants were physically inactive (75.2%) and overweight or obese (76.8%). Mean fiber intake was 22 ± 10.6 g/day. Carbohydrate intake was adequate in 83.5% of participants, while only 37.1% achieved adequate fiber intake. The Northern region showed the highest mean fiber intake (27.0 ± 14.7 g/day), and the Southern region the lowest (19.9 ± 8.7 g/day). Regarding carbohydrates, the Northern region had the lowest intake (41.8 ± 11.8%), while the Northeastern region had the highest (54.7 ± 7.4%). Conclusion: While most patients met recommendations for carbohydrate intake, fiber consumption was generally insufficient. These findings highlight the need to improve the quality of carbohydrate sources consumed by individuals with T2DM in Brazil.\n\n\n### (1) Universidade Federal da Bahia, Salvador, BA, Brasil; (2) Real e Benemérita Associação Portuguesa de Beneficência, São Paulo, SP, Brasil; (3) Hospital do Coração de São Paulo (HCOR), Sâo Paulo, SP, Brasil\nIntroduction: Nutritional management is a key component in the treatment of Type 2 Diabetes Mellitus (T2DM), particularly with respect to carbohydrate and dietary fiber intake. Objective: To evaluate adherence to carbohydrate and fiber intake recommendations among patients with T2DM across the five geographic regions of Brazil. Methods: This cross-sectional analysis was conducted as part of two multicenter randomized clinical trials involving individuals with T2DM. Eligible participants were aged ≥30 years, had HbA1c ≥ 7%, and had not received nutritional counseling in the preceding six months. Data were collected from 15 specialized centers for chronic disease care distributed across Brazil. Sociodemographic, behavioral, anthropometric, and dietary data were obtained. Dietary intake was assessed using two 24-hour dietary recalls. Carbohydrate intake was classified according to the Brazilian Diabetes Society guidelines: low (<45%), adequate (45–60%), and high (>60%). Fiber intake ≥25 g/day was considered adequate. Results: A total of 418 participants were included; 61% were female, with a mean age of 60 ± 9 years. Most participants were physically inactive (75.2%) and overweight or obese (76.8%). Mean fiber intake was 22 ± 10.6 g/day. Carbohydrate intake was adequate in 83.5% of participants, while only 37.1% achieved adequate fiber intake. The Northern region showed the highest mean fiber intake (27.0 ± 14.7 g/day), and the Southern region the lowest (19.9 ± 8.7 g/day). Regarding carbohydrates, the Northern region had the lowest intake (41.8 ± 11.8%), while the Northeastern region had the highest (54.7 ± 7.4%). Conclusion: While most patients met recommendations for carbohydrate intake, fiber consumption was generally insufficient. These findings highlight the need to improve the quality of carbohydrate sources consumed by individuals with T2DM in Brazil.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—219\nIntroduction: Nutritional management is a key component in the treatment of Type 2 Diabetes Mellitus (T2DM), particularly with respect to carbohydrate and dietary fiber intake. Objective: To evaluate adherence to carbohydrate and fiber intake recommendations among patients with T2DM across the five geographic regions of Brazil. Methods: This cross-sectional analysis was conducted as part of two multicenter randomized clinical trials involving individuals with T2DM. Eligible participants were aged ≥30 years, had HbA1c ≥ 7%, and had not received nutritional counseling in the preceding six months. Data were collected from 15 specialized centers for chronic disease care distributed across Brazil. Sociodemographic, behavioral, anthropometric, and dietary data were obtained. Dietary intake was assessed using two 24-hour dietary recalls. Carbohydrate intake was classified according to the Brazilian Diabetes Society guidelines: low (<45%), adequate (45–60%), and high (>60%). Fiber intake ≥25 g/day was considered adequate. Results: A total of 418 participants were included; 61% were female, with a mean age of 60 ± 9 years. Most participants were physically inactive (75.2%) and overweight or obese (76.8%). Mean fiber intake was 22 ± 10.6 g/day. Carbohydrate intake was adequate in 83.5% of participants, while only 37.1% achieved adequate fiber intake. The Northern region showed the highest mean fiber intake (27.0 ± 14.7 g/day), and the Southern region the lowest (19.9 ± 8.7 g/day). Regarding carbohydrates, the Northern region had the lowest intake (41.8 ± 11.8%), while the Northeastern region had the highest (54.7 ± 7.4%). Conclusion: While most patients met recommendations for carbohydrate intake, fiber consumption was generally insufficient. These findings highlight the need to improve the quality of carbohydrate sources consumed by individuals with T2DM in Brazil.\n\n\n### PO—220 Adequacy of Macronutrient and Fiber Intake in Adults With Type 2 Diabetes Mellitus According to the 2024 Guidelines of the Brazilian Diabetes Society: Impact on Glycemic Control and Nutritional Status\nIntroduction: Type 2 diabetes mellitus (DM2) is a result of metabolic alterations, with an increasing prevalence worldwide. Lifestyle changes favor weight loss and glycemic control, which can lead to disease remission. Therefore, the Guidelines of the Brazilian Diabetes Society (SBD) provide recommendations for disease management, including nutritional guidelines. Objective: To assess the adequacy of macronutrient and fiber intake in adults with DM2 based on the SBD recommendations and compare it with glycemic control and nutritional status. Methods: This was a cross-sectional study (CAAE76125323.3.0000.5133) involving adults with T2DM treated at a university hospital. Clinical, sociodemographic, anthropometric, laboratory, and dietary data were collected. Food consumption was assessed using a quantitative food frequency questionnaire. Statistical analyses were performed using SPSS-21.0. Data normality was assessed using the Kolmogorov-Smirnov test, followed by descriptive analyses. Data from participants with the lowest and highest fiber intakes were compared based on the median using the Mann-Whitney test. Results: Fifty-five individuals were evaluated, with a median age of 50 years (42.0-58.0), mostly female (69.1%), self-declared Black (70.9%), sedentary (60%), non-smokers (87.3%), non-alcoholics (56.4%) and without nutritional follow-up (69.1%). The majority presented with excess weight (89.1%) and had elevated waist circumference (WC) (83.6%). The median intake of energy, protein, and fiber was 2255.09 kcal (1067.09–3995.49), 93.62 g (54.78–193.09), and 38.92 g (12.54–94.97), respectively. The mean intake of carbohydrates and lipids was 294.41±81.57 g and 72.58±26.14 g, respectively. According to the SBD guidelines, the majority consumed carbohydrates (90.9%) and protein (81.8%) within the recommended intake, 98.2% consumed less lipid and 70.9% consumed more fiber than recommended. Individuals with higher fiber intake showed better glycemic control (6.8 vs. 7.2%; p=0.359 for glycated hemoglobin) and anthropometric indicators (WC: 103.20 vs. 108.08 cm; p=0.107 and BMI: 30.85 vs. 34.91 kg/m2; p=0.059) compared to those with lower intake, following clinical trends, although without significant difference. Conclusion: Overall, dietary intake was consistent with SBD recommendations. Higher fiber intake demonstrated improved glycemic control and nutritional status, although the differences were not statistically significant, reinforcing the importance of dietary recommendations in the management of the disease.\n\n\n### Peixoto ACF1; Pires LAS2; Lima MFC2; Lima NG2; Ribeiro IA2; Oliveira SS2; Paula CD1; Luquetti SCPD3\nIntroduction: Type 2 diabetes mellitus (DM2) is a result of metabolic alterations, with an increasing prevalence worldwide. Lifestyle changes favor weight loss and glycemic control, which can lead to disease remission. Therefore, the Guidelines of the Brazilian Diabetes Society (SBD) provide recommendations for disease management, including nutritional guidelines. Objective: To assess the adequacy of macronutrient and fiber intake in adults with DM2 based on the SBD recommendations and compare it with glycemic control and nutritional status. Methods: This was a cross-sectional study (CAAE76125323.3.0000.5133) involving adults with T2DM treated at a university hospital. Clinical, sociodemographic, anthropometric, laboratory, and dietary data were collected. Food consumption was assessed using a quantitative food frequency questionnaire. Statistical analyses were performed using SPSS-21.0. Data normality was assessed using the Kolmogorov-Smirnov test, followed by descriptive analyses. Data from participants with the lowest and highest fiber intakes were compared based on the median using the Mann-Whitney test. Results: Fifty-five individuals were evaluated, with a median age of 50 years (42.0-58.0), mostly female (69.1%), self-declared Black (70.9%), sedentary (60%), non-smokers (87.3%), non-alcoholics (56.4%) and without nutritional follow-up (69.1%). The majority presented with excess weight (89.1%) and had elevated waist circumference (WC) (83.6%). The median intake of energy, protein, and fiber was 2255.09 kcal (1067.09–3995.49), 93.62 g (54.78–193.09), and 38.92 g (12.54–94.97), respectively. The mean intake of carbohydrates and lipids was 294.41±81.57 g and 72.58±26.14 g, respectively. According to the SBD guidelines, the majority consumed carbohydrates (90.9%) and protein (81.8%) within the recommended intake, 98.2% consumed less lipid and 70.9% consumed more fiber than recommended. Individuals with higher fiber intake showed better glycemic control (6.8 vs. 7.2%; p=0.359 for glycated hemoglobin) and anthropometric indicators (WC: 103.20 vs. 108.08 cm; p=0.107 and BMI: 30.85 vs. 34.91 kg/m2; p=0.059) compared to those with lower intake, following clinical trends, although without significant difference. Conclusion: Overall, dietary intake was consistent with SBD recommendations. Higher fiber intake demonstrated improved glycemic control and nutritional status, although the differences were not statistically significant, reinforcing the importance of dietary recommendations in the management of the disease.\n\n\n### (1) Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Brazilian Hospital Services Company/University Hospital of Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Department of Nutrition/Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil\nIntroduction: Type 2 diabetes mellitus (DM2) is a result of metabolic alterations, with an increasing prevalence worldwide. Lifestyle changes favor weight loss and glycemic control, which can lead to disease remission. Therefore, the Guidelines of the Brazilian Diabetes Society (SBD) provide recommendations for disease management, including nutritional guidelines. Objective: To assess the adequacy of macronutrient and fiber intake in adults with DM2 based on the SBD recommendations and compare it with glycemic control and nutritional status. Methods: This was a cross-sectional study (CAAE76125323.3.0000.5133) involving adults with T2DM treated at a university hospital. Clinical, sociodemographic, anthropometric, laboratory, and dietary data were collected. Food consumption was assessed using a quantitative food frequency questionnaire. Statistical analyses were performed using SPSS-21.0. Data normality was assessed using the Kolmogorov-Smirnov test, followed by descriptive analyses. Data from participants with the lowest and highest fiber intakes were compared based on the median using the Mann-Whitney test. Results: Fifty-five individuals were evaluated, with a median age of 50 years (42.0-58.0), mostly female (69.1%), self-declared Black (70.9%), sedentary (60%), non-smokers (87.3%), non-alcoholics (56.4%) and without nutritional follow-up (69.1%). The majority presented with excess weight (89.1%) and had elevated waist circumference (WC) (83.6%). The median intake of energy, protein, and fiber was 2255.09 kcal (1067.09–3995.49), 93.62 g (54.78–193.09), and 38.92 g (12.54–94.97), respectively. The mean intake of carbohydrates and lipids was 294.41±81.57 g and 72.58±26.14 g, respectively. According to the SBD guidelines, the majority consumed carbohydrates (90.9%) and protein (81.8%) within the recommended intake, 98.2% consumed less lipid and 70.9% consumed more fiber than recommended. Individuals with higher fiber intake showed better glycemic control (6.8 vs. 7.2%; p=0.359 for glycated hemoglobin) and anthropometric indicators (WC: 103.20 vs. 108.08 cm; p=0.107 and BMI: 30.85 vs. 34.91 kg/m2; p=0.059) compared to those with lower intake, following clinical trends, although without significant difference. Conclusion: Overall, dietary intake was consistent with SBD recommendations. Higher fiber intake demonstrated improved glycemic control and nutritional status, although the differences were not statistically significant, reinforcing the importance of dietary recommendations in the management of the disease.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—220\nIntroduction: Type 2 diabetes mellitus (DM2) is a result of metabolic alterations, with an increasing prevalence worldwide. Lifestyle changes favor weight loss and glycemic control, which can lead to disease remission. Therefore, the Guidelines of the Brazilian Diabetes Society (SBD) provide recommendations for disease management, including nutritional guidelines. Objective: To assess the adequacy of macronutrient and fiber intake in adults with DM2 based on the SBD recommendations and compare it with glycemic control and nutritional status. Methods: This was a cross-sectional study (CAAE76125323.3.0000.5133) involving adults with T2DM treated at a university hospital. Clinical, sociodemographic, anthropometric, laboratory, and dietary data were collected. Food consumption was assessed using a quantitative food frequency questionnaire. Statistical analyses were performed using SPSS-21.0. Data normality was assessed using the Kolmogorov-Smirnov test, followed by descriptive analyses. Data from participants with the lowest and highest fiber intakes were compared based on the median using the Mann-Whitney test. Results: Fifty-five individuals were evaluated, with a median age of 50 years (42.0-58.0), mostly female (69.1%), self-declared Black (70.9%), sedentary (60%), non-smokers (87.3%), non-alcoholics (56.4%) and without nutritional follow-up (69.1%). The majority presented with excess weight (89.1%) and had elevated waist circumference (WC) (83.6%). The median intake of energy, protein, and fiber was 2255.09 kcal (1067.09–3995.49), 93.62 g (54.78–193.09), and 38.92 g (12.54–94.97), respectively. The mean intake of carbohydrates and lipids was 294.41±81.57 g and 72.58±26.14 g, respectively. According to the SBD guidelines, the majority consumed carbohydrates (90.9%) and protein (81.8%) within the recommended intake, 98.2% consumed less lipid and 70.9% consumed more fiber than recommended. Individuals with higher fiber intake showed better glycemic control (6.8 vs. 7.2%; p=0.359 for glycated hemoglobin) and anthropometric indicators (WC: 103.20 vs. 108.08 cm; p=0.107 and BMI: 30.85 vs. 34.91 kg/m2; p=0.059) compared to those with lower intake, following clinical trends, although without significant difference. Conclusion: Overall, dietary intake was consistent with SBD recommendations. Higher fiber intake demonstrated improved glycemic control and nutritional status, although the differences were not statistically significant, reinforcing the importance of dietary recommendations in the management of the disease.\n\n\n### PO—222 Adherence to Self-care Practices in Patients with Type 2 Diabetes Mellitus: A Brazilian Multicenter Analysis\nIntroduction: Self-care practices are essential for the proper management of type 2 diabetes mellitus (T2DM). However, adherence to these practices is often low due to the complexity of treatment and the chronic nature of the disease. Objective: To evaluate adherence to self-care practices in patients with T2DM treated by Brazil’s Unified Health System (SUS). Methods: This was a cross-sectional study using data from the clinical trial (NUGLIC), conducted between 2019 and 2021 in eight Brazilian cities. The sample consisted of patients with T2DM, aged ≥30 years, and glycated hemoglobin ≥7%. Self-care adherence was measured by the Summary of Diabetes Self-Care Activities (SDSCA), which assesses seven dimensions: general diet, specific diet, physical activity, glycemic monitoring, foot care, medication use, and smoking. Good adherence was defined as a score of ≥75 in the general domain and ≥25 in the diet domain. For items with direct scoring, satisfactory adherence was defined as a mean of ≥5 days per week. For items with reverse scoring (consumption of sweets and high-fat foods), good adherence was considered a median of ≤2 days per week. Statistical analysis was performed using SPSS, version 17. Results: A total of 370 participants were evaluated, with a predominance of women (60.8%) and elderly individuals (58.1%). Adherence was low in both the general domain and the nutrition-related domains (92.7%). Physical activity and blood glucose monitoring showed the lowest adherence rates, while drug treatment, especially oral antidiabetic drugs, achieved the highest adherence. Conclusion: People with T2DM showed low adherence to the pillars of treatment, especially in relation to non-pharmacological practices, which can compromise glycemic control and increase the risk of complications.\n\n\n### Sampaio LR1; Sahade V1; Curvello K1; Ferreira DC2; Busnello FM3; Almeida JC4; Souza SR5; Ferreira AB6; Pagano R6; Bressan J7; Marcadenti A8; Daltro C1\nIntroduction: Self-care practices are essential for the proper management of type 2 diabetes mellitus (T2DM). However, adherence to these practices is often low due to the complexity of treatment and the chronic nature of the disease. Objective: To evaluate adherence to self-care practices in patients with T2DM treated by Brazil’s Unified Health System (SUS). Methods: This was a cross-sectional study using data from the clinical trial (NUGLIC), conducted between 2019 and 2021 in eight Brazilian cities. The sample consisted of patients with T2DM, aged ≥30 years, and glycated hemoglobin ≥7%. Self-care adherence was measured by the Summary of Diabetes Self-Care Activities (SDSCA), which assesses seven dimensions: general diet, specific diet, physical activity, glycemic monitoring, foot care, medication use, and smoking. Good adherence was defined as a score of ≥75 in the general domain and ≥25 in the diet domain. For items with direct scoring, satisfactory adherence was defined as a mean of ≥5 days per week. For items with reverse scoring (consumption of sweets and high-fat foods), good adherence was considered a median of ≤2 days per week. Statistical analysis was performed using SPSS, version 17. Results: A total of 370 participants were evaluated, with a predominance of women (60.8%) and elderly individuals (58.1%). Adherence was low in both the general domain and the nutrition-related domains (92.7%). Physical activity and blood glucose monitoring showed the lowest adherence rates, while drug treatment, especially oral antidiabetic drugs, achieved the highest adherence. Conclusion: People with T2DM showed low adherence to the pillars of treatment, especially in relation to non-pharmacological practices, which can compromise glycemic control and increase the risk of complications.\n\n\n### (1) Universidade Federal da Bahia, Salvador, BA, Brasil; (2) Universidade federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Universidade Federal de Ciências da Saúde de Porto Alegre, Porto Alegre, RS, Brasil; (4) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil; (5) Instituto Estadual de Cardiologia Aloysio de Castro/ SES, Rio de Janeiro, RJ, Brasil; (6) Real e Benemérita Associação Portuguesa de Beneficência, São Paulo, SP, Brasil; (7) Universidade Federal de Viçosa, Viçosa, MG, Brasil; (8) Hospital do Coração de São Paulo (HCOR) , São Paulo, SP, Brasil\nIntroduction: Self-care practices are essential for the proper management of type 2 diabetes mellitus (T2DM). However, adherence to these practices is often low due to the complexity of treatment and the chronic nature of the disease. Objective: To evaluate adherence to self-care practices in patients with T2DM treated by Brazil’s Unified Health System (SUS). Methods: This was a cross-sectional study using data from the clinical trial (NUGLIC), conducted between 2019 and 2021 in eight Brazilian cities. The sample consisted of patients with T2DM, aged ≥30 years, and glycated hemoglobin ≥7%. Self-care adherence was measured by the Summary of Diabetes Self-Care Activities (SDSCA), which assesses seven dimensions: general diet, specific diet, physical activity, glycemic monitoring, foot care, medication use, and smoking. Good adherence was defined as a score of ≥75 in the general domain and ≥25 in the diet domain. For items with direct scoring, satisfactory adherence was defined as a mean of ≥5 days per week. For items with reverse scoring (consumption of sweets and high-fat foods), good adherence was considered a median of ≤2 days per week. Statistical analysis was performed using SPSS, version 17. Results: A total of 370 participants were evaluated, with a predominance of women (60.8%) and elderly individuals (58.1%). Adherence was low in both the general domain and the nutrition-related domains (92.7%). Physical activity and blood glucose monitoring showed the lowest adherence rates, while drug treatment, especially oral antidiabetic drugs, achieved the highest adherence. Conclusion: People with T2DM showed low adherence to the pillars of treatment, especially in relation to non-pharmacological practices, which can compromise glycemic control and increase the risk of complications.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—222\nIntroduction: Self-care practices are essential for the proper management of type 2 diabetes mellitus (T2DM). However, adherence to these practices is often low due to the complexity of treatment and the chronic nature of the disease. Objective: To evaluate adherence to self-care practices in patients with T2DM treated by Brazil’s Unified Health System (SUS). Methods: This was a cross-sectional study using data from the clinical trial (NUGLIC), conducted between 2019 and 2021 in eight Brazilian cities. The sample consisted of patients with T2DM, aged ≥30 years, and glycated hemoglobin ≥7%. Self-care adherence was measured by the Summary of Diabetes Self-Care Activities (SDSCA), which assesses seven dimensions: general diet, specific diet, physical activity, glycemic monitoring, foot care, medication use, and smoking. Good adherence was defined as a score of ≥75 in the general domain and ≥25 in the diet domain. For items with direct scoring, satisfactory adherence was defined as a mean of ≥5 days per week. For items with reverse scoring (consumption of sweets and high-fat foods), good adherence was considered a median of ≤2 days per week. Statistical analysis was performed using SPSS, version 17. Results: A total of 370 participants were evaluated, with a predominance of women (60.8%) and elderly individuals (58.1%). Adherence was low in both the general domain and the nutrition-related domains (92.7%). Physical activity and blood glucose monitoring showed the lowest adherence rates, while drug treatment, especially oral antidiabetic drugs, achieved the highest adherence. Conclusion: People with T2DM showed low adherence to the pillars of treatment, especially in relation to non-pharmacological practices, which can compromise glycemic control and increase the risk of complications.\n\n\n### PO—223 Advancing Nursing Roles in Primary Health Care for Diabetes Care: Pathways and Perspectives\nIntroduction: Diabetes mellitus is highly prevalent, with Brazil reporting 16.6 million cases (10.6% prevalence), ranking sixth globally. About 90% are type 2, linked to urbanization, aging, inactivity, and obesity, while 31.9% remain undiagnosed. In PHC, high demand, coverage gaps, staff shortages, and delays in detection and treatment highlight the need for new strategies. Since 2014, PAHO has promoted ANP in Latin America to expand and improve care for chronic diseases like diabetes. Objective: To analyze nursing care for people with diabetes mellitus from the perspective of Advanced Nursing Practices in Primary Health Care. Methods: A cross-sectional analytical study was conducted with primary care nurses from four municipalities in southern Brazil. Data collection took place between December 2023 and June 2024. The nurses completed an online instrument based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA). The instrument used a score from 0 (not conducted) to 4 (always conducted). The data were analyzed using the Statistical Package for the Social Sciences (SPSS) version 25 for Windows, with a significance level of 0.05. The proportions of the variables were compared between municipalities using the chi-square test, with standardized residual analysis (≥1.96) when significant. In addition, the Kruskal-Wallis test was used to compare the distributions of the items, with different letters assigned to indicate statistical differences between municipalities. Results: A total of 121 responses from primary care nurses were analyzed. The nurses were asked about 53 direct actions in caring for people with diabetes. Considering the mean score, items received the following scores: 0.0 to <1.0 (not performed), 1.0 to <2.0 (incipient action), 2.0 to <3.0 (action being developed), and 3.0 to 4.0 (action established) - attached table. Items related to direct and comprehensive care had an average score of 2.78 (median 3). Nurses emphasized the need for additional training, particularly in continuing education. In addition, 91% agreed that advanced nursing practices improve care for individuals with chronic conditions. Conclusion: Nurses perform activities within the scope of advanced nursing practices for people with diabetes in clinical settings. It is essential to ensure their expanded scope of practice through organizational, social, and training strategies that also consider aspects of leadership, education, and research.\n\n\n### Baade RTW1; Meirelles BHS2; Engel FD3; Backmann C3\nIntroduction: Diabetes mellitus is highly prevalent, with Brazil reporting 16.6 million cases (10.6% prevalence), ranking sixth globally. About 90% are type 2, linked to urbanization, aging, inactivity, and obesity, while 31.9% remain undiagnosed. In PHC, high demand, coverage gaps, staff shortages, and delays in detection and treatment highlight the need for new strategies. Since 2014, PAHO has promoted ANP in Latin America to expand and improve care for chronic diseases like diabetes. Objective: To analyze nursing care for people with diabetes mellitus from the perspective of Advanced Nursing Practices in Primary Health Care. Methods: A cross-sectional analytical study was conducted with primary care nurses from four municipalities in southern Brazil. Data collection took place between December 2023 and June 2024. The nurses completed an online instrument based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA). The instrument used a score from 0 (not conducted) to 4 (always conducted). The data were analyzed using the Statistical Package for the Social Sciences (SPSS) version 25 for Windows, with a significance level of 0.05. The proportions of the variables were compared between municipalities using the chi-square test, with standardized residual analysis (≥1.96) when significant. In addition, the Kruskal-Wallis test was used to compare the distributions of the items, with different letters assigned to indicate statistical differences between municipalities. Results: A total of 121 responses from primary care nurses were analyzed. The nurses were asked about 53 direct actions in caring for people with diabetes. Considering the mean score, items received the following scores: 0.0 to <1.0 (not performed), 1.0 to <2.0 (incipient action), 2.0 to <3.0 (action being developed), and 3.0 to 4.0 (action established) - attached table. Items related to direct and comprehensive care had an average score of 2.78 (median 3). Nurses emphasized the need for additional training, particularly in continuing education. In addition, 91% agreed that advanced nursing practices improve care for individuals with chronic conditions. Conclusion: Nurses perform activities within the scope of advanced nursing practices for people with diabetes in clinical settings. It is essential to ensure their expanded scope of practice through organizational, social, and training strategies that also consider aspects of leadership, education, and research.\n\n\n### (1) Universidade Federal de Santa Catarina, São Bento do Sul, SC, Brasil; (2) Universidade Federal de Santa Catarina, Florianópolis, SC, Brasil; (3) University of Ottawa, Canada\nIntroduction: Diabetes mellitus is highly prevalent, with Brazil reporting 16.6 million cases (10.6% prevalence), ranking sixth globally. About 90% are type 2, linked to urbanization, aging, inactivity, and obesity, while 31.9% remain undiagnosed. In PHC, high demand, coverage gaps, staff shortages, and delays in detection and treatment highlight the need for new strategies. Since 2014, PAHO has promoted ANP in Latin America to expand and improve care for chronic diseases like diabetes. Objective: To analyze nursing care for people with diabetes mellitus from the perspective of Advanced Nursing Practices in Primary Health Care. Methods: A cross-sectional analytical study was conducted with primary care nurses from four municipalities in southern Brazil. Data collection took place between December 2023 and June 2024. The nurses completed an online instrument based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA). The instrument used a score from 0 (not conducted) to 4 (always conducted). The data were analyzed using the Statistical Package for the Social Sciences (SPSS) version 25 for Windows, with a significance level of 0.05. The proportions of the variables were compared between municipalities using the chi-square test, with standardized residual analysis (≥1.96) when significant. In addition, the Kruskal-Wallis test was used to compare the distributions of the items, with different letters assigned to indicate statistical differences between municipalities. Results: A total of 121 responses from primary care nurses were analyzed. The nurses were asked about 53 direct actions in caring for people with diabetes. Considering the mean score, items received the following scores: 0.0 to <1.0 (not performed), 1.0 to <2.0 (incipient action), 2.0 to <3.0 (action being developed), and 3.0 to 4.0 (action established) - attached table. Items related to direct and comprehensive care had an average score of 2.78 (median 3). Nurses emphasized the need for additional training, particularly in continuing education. In addition, 91% agreed that advanced nursing practices improve care for individuals with chronic conditions. Conclusion: Nurses perform activities within the scope of advanced nursing practices for people with diabetes in clinical settings. It is essential to ensure their expanded scope of practice through organizational, social, and training strategies that also consider aspects of leadership, education, and research.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—223\nIntroduction: Diabetes mellitus is highly prevalent, with Brazil reporting 16.6 million cases (10.6% prevalence), ranking sixth globally. About 90% are type 2, linked to urbanization, aging, inactivity, and obesity, while 31.9% remain undiagnosed. In PHC, high demand, coverage gaps, staff shortages, and delays in detection and treatment highlight the need for new strategies. Since 2014, PAHO has promoted ANP in Latin America to expand and improve care for chronic diseases like diabetes. Objective: To analyze nursing care for people with diabetes mellitus from the perspective of Advanced Nursing Practices in Primary Health Care. Methods: A cross-sectional analytical study was conducted with primary care nurses from four municipalities in southern Brazil. Data collection took place between December 2023 and June 2024. The nurses completed an online instrument based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA). The instrument used a score from 0 (not conducted) to 4 (always conducted). The data were analyzed using the Statistical Package for the Social Sciences (SPSS) version 25 for Windows, with a significance level of 0.05. The proportions of the variables were compared between municipalities using the chi-square test, with standardized residual analysis (≥1.96) when significant. In addition, the Kruskal-Wallis test was used to compare the distributions of the items, with different letters assigned to indicate statistical differences between municipalities. Results: A total of 121 responses from primary care nurses were analyzed. The nurses were asked about 53 direct actions in caring for people with diabetes. Considering the mean score, items received the following scores: 0.0 to <1.0 (not performed), 1.0 to <2.0 (incipient action), 2.0 to <3.0 (action being developed), and 3.0 to 4.0 (action established) - attached table. Items related to direct and comprehensive care had an average score of 2.78 (median 3). Nurses emphasized the need for additional training, particularly in continuing education. In addition, 91% agreed that advanced nursing practices improve care for individuals with chronic conditions. Conclusion: Nurses perform activities within the scope of advanced nursing practices for people with diabetes in clinical settings. It is essential to ensure their expanded scope of practice through organizational, social, and training strategies that also consider aspects of leadership, education, and research.\n\n\n### PO—225 Assessment of Risk Behaviors for Eating Disorders Using the DEPS-R Questionnaire (Diabetes Eating Problem Survey – Revised) in people with type 1 diabetes in Brazil\nIntroduction: Eating disorders (EDs) are serious, often underdiagnosed psychiatric conditions that significantly impact individuals’ physical and emotional health. In people with type 1 diabetes mellitus (T1D), the presence of dysfunctional eating behaviors is particularly concerning, given the complex relationship between dietary regulation, insulin use, and glycemic control. Studies show that adolescents and adults with T1D have a higher prevalence of risky eating behaviors compared to the general population, especially with regard to dietary restriction and deliberate insulin omission as a weight-control strategy, known as \"diabulimia\". These behaviors are associated with worse clinical outcomes, such as increased glycated hemoglobin, a higher risk of diabetic ketoacidosis, and early progression to chronic complications, including retinopathy, nephropathy, and neuropathy. Despite their severity, eating disorders in people with T1D often go undetected in clinical settings, partly due to the scarcity of validated screening tools and the limited familiarity of professionals with the topic. Composed of 16 items, simple and quick to apply, and validated in Portuguese, the DEPS-R (Diabetes Problem Survey-Revised) allows for early identification of patients at risk of developing an eating disorder and referral for specialized evaluation. The DEPS-R is a promising tool in clinical practice and population research. Objective: To assess the presence of risky eating behaviors in people with type 1 diabetes (T1D) in Brazil, based on voluntary and anonymous responses obtained by accessing the DEPS-R questionnaire on the Brazilian Diabetes Society (SBD) website. Given the results, it would be possible to carry out education/information projects to prevent EDs in people with DM1. Methods: The Diabetes Eating Problem Survey - Revised (DEPS-R), validated for Portuguese, was used. This is a 16-item, self-administered questionnaire with responses on a 6-point Likert scale. Scores ≥ 20 indicate an increased risk for eating disorders. The DEPS-R was made available on the SBD website for access and completion anonymously, voluntarily, and by spontaneous request. Results: 407 questionnaires were completed during the 9-month period. Average age of respondents was 33.2 years; . People with T1D from 15 Brazilian states responded to the questionnaire;31% of respondents had scores greater than or equal to 20, indicating likely risk behavior for ED. Conclusion: DEPS-R should be used for screening for ED in people with T1D.\n\n\n### Pieper CM1; Campos TF2; Pecoli PFG2; Rodrigues GMB2;\nIntroduction: Eating disorders (EDs) are serious, often underdiagnosed psychiatric conditions that significantly impact individuals’ physical and emotional health. In people with type 1 diabetes mellitus (T1D), the presence of dysfunctional eating behaviors is particularly concerning, given the complex relationship between dietary regulation, insulin use, and glycemic control. Studies show that adolescents and adults with T1D have a higher prevalence of risky eating behaviors compared to the general population, especially with regard to dietary restriction and deliberate insulin omission as a weight-control strategy, known as \"diabulimia\". These behaviors are associated with worse clinical outcomes, such as increased glycated hemoglobin, a higher risk of diabetic ketoacidosis, and early progression to chronic complications, including retinopathy, nephropathy, and neuropathy. Despite their severity, eating disorders in people with T1D often go undetected in clinical settings, partly due to the scarcity of validated screening tools and the limited familiarity of professionals with the topic. Composed of 16 items, simple and quick to apply, and validated in Portuguese, the DEPS-R (Diabetes Problem Survey-Revised) allows for early identification of patients at risk of developing an eating disorder and referral for specialized evaluation. The DEPS-R is a promising tool in clinical practice and population research. Objective: To assess the presence of risky eating behaviors in people with type 1 diabetes (T1D) in Brazil, based on voluntary and anonymous responses obtained by accessing the DEPS-R questionnaire on the Brazilian Diabetes Society (SBD) website. Given the results, it would be possible to carry out education/information projects to prevent EDs in people with DM1. Methods: The Diabetes Eating Problem Survey - Revised (DEPS-R), validated for Portuguese, was used. This is a 16-item, self-administered questionnaire with responses on a 6-point Likert scale. Scores ≥ 20 indicate an increased risk for eating disorders. The DEPS-R was made available on the SBD website for access and completion anonymously, voluntarily, and by spontaneous request. Results: 407 questionnaires were completed during the 9-month period. Average age of respondents was 33.2 years; . People with T1D from 15 Brazilian states responded to the questionnaire;31% of respondents had scores greater than or equal to 20, indicating likely risk behavior for ED. Conclusion: DEPS-R should be used for screening for ED in people with T1D.\n\n\n### (1) Brazilian Diabetes Society, Rio de Janeiro, RJ, Brasil; (2) Brazilian Diabetes Society, São Paulo, SP, Brasil\nIntroduction: Eating disorders (EDs) are serious, often underdiagnosed psychiatric conditions that significantly impact individuals’ physical and emotional health. In people with type 1 diabetes mellitus (T1D), the presence of dysfunctional eating behaviors is particularly concerning, given the complex relationship between dietary regulation, insulin use, and glycemic control. Studies show that adolescents and adults with T1D have a higher prevalence of risky eating behaviors compared to the general population, especially with regard to dietary restriction and deliberate insulin omission as a weight-control strategy, known as \"diabulimia\". These behaviors are associated with worse clinical outcomes, such as increased glycated hemoglobin, a higher risk of diabetic ketoacidosis, and early progression to chronic complications, including retinopathy, nephropathy, and neuropathy. Despite their severity, eating disorders in people with T1D often go undetected in clinical settings, partly due to the scarcity of validated screening tools and the limited familiarity of professionals with the topic. Composed of 16 items, simple and quick to apply, and validated in Portuguese, the DEPS-R (Diabetes Problem Survey-Revised) allows for early identification of patients at risk of developing an eating disorder and referral for specialized evaluation. The DEPS-R is a promising tool in clinical practice and population research. Objective: To assess the presence of risky eating behaviors in people with type 1 diabetes (T1D) in Brazil, based on voluntary and anonymous responses obtained by accessing the DEPS-R questionnaire on the Brazilian Diabetes Society (SBD) website. Given the results, it would be possible to carry out education/information projects to prevent EDs in people with DM1. Methods: The Diabetes Eating Problem Survey - Revised (DEPS-R), validated for Portuguese, was used. This is a 16-item, self-administered questionnaire with responses on a 6-point Likert scale. Scores ≥ 20 indicate an increased risk for eating disorders. The DEPS-R was made available on the SBD website for access and completion anonymously, voluntarily, and by spontaneous request. Results: 407 questionnaires were completed during the 9-month period. Average age of respondents was 33.2 years; . People with T1D from 15 Brazilian states responded to the questionnaire;31% of respondents had scores greater than or equal to 20, indicating likely risk behavior for ED. Conclusion: DEPS-R should be used for screening for ED in people with T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—225\nIntroduction: Eating disorders (EDs) are serious, often underdiagnosed psychiatric conditions that significantly impact individuals’ physical and emotional health. In people with type 1 diabetes mellitus (T1D), the presence of dysfunctional eating behaviors is particularly concerning, given the complex relationship between dietary regulation, insulin use, and glycemic control. Studies show that adolescents and adults with T1D have a higher prevalence of risky eating behaviors compared to the general population, especially with regard to dietary restriction and deliberate insulin omission as a weight-control strategy, known as \"diabulimia\". These behaviors are associated with worse clinical outcomes, such as increased glycated hemoglobin, a higher risk of diabetic ketoacidosis, and early progression to chronic complications, including retinopathy, nephropathy, and neuropathy. Despite their severity, eating disorders in people with T1D often go undetected in clinical settings, partly due to the scarcity of validated screening tools and the limited familiarity of professionals with the topic. Composed of 16 items, simple and quick to apply, and validated in Portuguese, the DEPS-R (Diabetes Problem Survey-Revised) allows for early identification of patients at risk of developing an eating disorder and referral for specialized evaluation. The DEPS-R is a promising tool in clinical practice and population research. Objective: To assess the presence of risky eating behaviors in people with type 1 diabetes (T1D) in Brazil, based on voluntary and anonymous responses obtained by accessing the DEPS-R questionnaire on the Brazilian Diabetes Society (SBD) website. Given the results, it would be possible to carry out education/information projects to prevent EDs in people with DM1. Methods: The Diabetes Eating Problem Survey - Revised (DEPS-R), validated for Portuguese, was used. This is a 16-item, self-administered questionnaire with responses on a 6-point Likert scale. Scores ≥ 20 indicate an increased risk for eating disorders. The DEPS-R was made available on the SBD website for access and completion anonymously, voluntarily, and by spontaneous request. Results: 407 questionnaires were completed during the 9-month period. Average age of respondents was 33.2 years; . People with T1D from 15 Brazilian states responded to the questionnaire;31% of respondents had scores greater than or equal to 20, indicating likely risk behavior for ED. Conclusion: DEPS-R should be used for screening for ED in people with T1D.\n\n\n### PO—226 Association Between Ankle- brachial Index and Functional Performance in Motor Test in Individuals with Type 2 Diabetes\nIntroduction: The ankle-brachial index (ABI) is a non-invasive marker used for screening and detecting peripheral arterial obstructive disease, which may be associated with physical and functional limitations in individuals with type 2 diabetes. Growing evidence indicates that individuals with type 2 diabetes who present abnormal ABI values have reduced functional capacity, particularly in activities involving predominant use of the lower limbs. Objective: Examine the association between ABI and performance in the sit-to-stand and timed up-and-go tests Methods: This cross-sectional, analytical, and descriptive study, the sample comprised 74 individuals with type 2 diabetes, including 60 women and 14 men, with a mean age of 68.80 ± 8.0 years, who participated in a supervised physical exercise program for people with diabetes at a public university. Participants underwent ABI measurement and standardized motor assessment. Performance was classified as adequate or poor. Participants with abnormal ABI showed worse results in both tests. Results: The Pearson’s chi-square test was used to verify the association between ABI and motor tests. In the sit-to-stand test, a statistically significant association was observed (χ2 = 4.77; p = 0.029), indicating 4.33 times greater odds of poor performance (95%CI: 1.08–17.38) among individuals with abnormal ABI. Similarly, in the timed up-and-go test (χ2 = 4.54; p = 0.033), abnormal ABI was associated with a fivefold higher risk of poor performance (OR = 5.15; 95%CI: 1.01–26.15). Conclusion: These findings reinforce the clinical utility of the ankle-brachial index as a complementary tool for the early identification of functional decline, suggesting that integrating vascular and functional assessments may improve screening and prevention strategies for physical limitations associated with peripheral arterial impairment in individuals with type 2 diabetes.\n\n\n### Sabino TBM1; Souza ECF1; Vasconcelos AR1; Cruz PWS1; Ribeiro JNS1; Costa KB1; Cruz ATM1; Souza AM1; Vancea DMM1; Costa MC1\nIntroduction: The ankle-brachial index (ABI) is a non-invasive marker used for screening and detecting peripheral arterial obstructive disease, which may be associated with physical and functional limitations in individuals with type 2 diabetes. Growing evidence indicates that individuals with type 2 diabetes who present abnormal ABI values have reduced functional capacity, particularly in activities involving predominant use of the lower limbs. Objective: Examine the association between ABI and performance in the sit-to-stand and timed up-and-go tests Methods: This cross-sectional, analytical, and descriptive study, the sample comprised 74 individuals with type 2 diabetes, including 60 women and 14 men, with a mean age of 68.80 ± 8.0 years, who participated in a supervised physical exercise program for people with diabetes at a public university. Participants underwent ABI measurement and standardized motor assessment. Performance was classified as adequate or poor. Participants with abnormal ABI showed worse results in both tests. Results: The Pearson’s chi-square test was used to verify the association between ABI and motor tests. In the sit-to-stand test, a statistically significant association was observed (χ2 = 4.77; p = 0.029), indicating 4.33 times greater odds of poor performance (95%CI: 1.08–17.38) among individuals with abnormal ABI. Similarly, in the timed up-and-go test (χ2 = 4.54; p = 0.033), abnormal ABI was associated with a fivefold higher risk of poor performance (OR = 5.15; 95%CI: 1.01–26.15). Conclusion: These findings reinforce the clinical utility of the ankle-brachial index as a complementary tool for the early identification of functional decline, suggesting that integrating vascular and functional assessments may improve screening and prevention strategies for physical limitations associated with peripheral arterial impairment in individuals with type 2 diabetes.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil\nIntroduction: The ankle-brachial index (ABI) is a non-invasive marker used for screening and detecting peripheral arterial obstructive disease, which may be associated with physical and functional limitations in individuals with type 2 diabetes. Growing evidence indicates that individuals with type 2 diabetes who present abnormal ABI values have reduced functional capacity, particularly in activities involving predominant use of the lower limbs. Objective: Examine the association between ABI and performance in the sit-to-stand and timed up-and-go tests Methods: This cross-sectional, analytical, and descriptive study, the sample comprised 74 individuals with type 2 diabetes, including 60 women and 14 men, with a mean age of 68.80 ± 8.0 years, who participated in a supervised physical exercise program for people with diabetes at a public university. Participants underwent ABI measurement and standardized motor assessment. Performance was classified as adequate or poor. Participants with abnormal ABI showed worse results in both tests. Results: The Pearson’s chi-square test was used to verify the association between ABI and motor tests. In the sit-to-stand test, a statistically significant association was observed (χ2 = 4.77; p = 0.029), indicating 4.33 times greater odds of poor performance (95%CI: 1.08–17.38) among individuals with abnormal ABI. Similarly, in the timed up-and-go test (χ2 = 4.54; p = 0.033), abnormal ABI was associated with a fivefold higher risk of poor performance (OR = 5.15; 95%CI: 1.01–26.15). Conclusion: These findings reinforce the clinical utility of the ankle-brachial index as a complementary tool for the early identification of functional decline, suggesting that integrating vascular and functional assessments may improve screening and prevention strategies for physical limitations associated with peripheral arterial impairment in individuals with type 2 diabetes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—226\nIntroduction: The ankle-brachial index (ABI) is a non-invasive marker used for screening and detecting peripheral arterial obstructive disease, which may be associated with physical and functional limitations in individuals with type 2 diabetes. Growing evidence indicates that individuals with type 2 diabetes who present abnormal ABI values have reduced functional capacity, particularly in activities involving predominant use of the lower limbs. Objective: Examine the association between ABI and performance in the sit-to-stand and timed up-and-go tests Methods: This cross-sectional, analytical, and descriptive study, the sample comprised 74 individuals with type 2 diabetes, including 60 women and 14 men, with a mean age of 68.80 ± 8.0 years, who participated in a supervised physical exercise program for people with diabetes at a public university. Participants underwent ABI measurement and standardized motor assessment. Performance was classified as adequate or poor. Participants with abnormal ABI showed worse results in both tests. Results: The Pearson’s chi-square test was used to verify the association between ABI and motor tests. In the sit-to-stand test, a statistically significant association was observed (χ2 = 4.77; p = 0.029), indicating 4.33 times greater odds of poor performance (95%CI: 1.08–17.38) among individuals with abnormal ABI. Similarly, in the timed up-and-go test (χ2 = 4.54; p = 0.033), abnormal ABI was associated with a fivefold higher risk of poor performance (OR = 5.15; 95%CI: 1.01–26.15). Conclusion: These findings reinforce the clinical utility of the ankle-brachial index as a complementary tool for the early identification of functional decline, suggesting that integrating vascular and functional assessments may improve screening and prevention strategies for physical limitations associated with peripheral arterial impairment in individuals with type 2 diabetes.\n\n\n### PO—227 Association Between Anxiety Symptoms and Grazing Behavior in Individuals with Type 2 Diabetes\nIntroduction: Previous studies have found a higher prevalence of anxiety symptoms in individuals with diabetes compared to the general population and a correlation between anxiety symptoms and changes in eating behavior. However, to date, no research has been conducted on the frequency of grazing behavior (consuming small portions continuously or large portions over a long period) and its relationship with anxiety symptoms in people with type 2 diabetes. Objective: To test the association between the level of anxiety symptoms and the frequency of grazing behavior in individuals with type 2 diabetes treated at a hospital in the Amazon region of Brazil. Methods: This is a cross-sectional, descriptive, and analytical study. The study followed the recommendations of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors, and was approved by the Research Ethics Committee (approval number: 6.087.349). Was conducted an interview about socioeconomic context, an anthropometric assessment, the application of the Beck Anxiety Inventory to determine the level of anxiety symptoms, and the Repetitive Eating Questionnaire to investigate grazing behavior. For statistical analysis, the Spearman correlation and multiple linear regression tests were applied (p<0.05). Results: A total of 157 individuals were evaluated, with a mean age of 54.7±7.3 years and a mean duration of diagnosis of 11±8.3 years. The majority were female (72.6%), overweight (77.7%), did not follow nutritional guidance (67.5%), had fasting blood glucose (52.2%) and glycated hemoglobin (54.1%) levels above the recommended limits. Most exhibited minimal anxiety symptoms (39.5%). A positive correlation was observed between the level of anxiety symptoms and glycated hemoglobin (r=0.174; p=0.035) and grazing behavior (r=0.267; p=0.001). It was noted that the level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications (B=0.263; p=0.001). Conclusion: A positive correlation was observed between the level of anxiety symptoms and grazing behavior, as well as glycated hemoglobin values. The level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications.\n\n\n### Inete MB1; Souza YDES1; Gomes APAS1; Mileo VV1; Sena CDC1; SECS1; Paracampo CCP1; Carvalhal MML2; Gomes DL1\nIntroduction: Previous studies have found a higher prevalence of anxiety symptoms in individuals with diabetes compared to the general population and a correlation between anxiety symptoms and changes in eating behavior. However, to date, no research has been conducted on the frequency of grazing behavior (consuming small portions continuously or large portions over a long period) and its relationship with anxiety symptoms in people with type 2 diabetes. Objective: To test the association between the level of anxiety symptoms and the frequency of grazing behavior in individuals with type 2 diabetes treated at a hospital in the Amazon region of Brazil. Methods: This is a cross-sectional, descriptive, and analytical study. The study followed the recommendations of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors, and was approved by the Research Ethics Committee (approval number: 6.087.349). Was conducted an interview about socioeconomic context, an anthropometric assessment, the application of the Beck Anxiety Inventory to determine the level of anxiety symptoms, and the Repetitive Eating Questionnaire to investigate grazing behavior. For statistical analysis, the Spearman correlation and multiple linear regression tests were applied (p<0.05). Results: A total of 157 individuals were evaluated, with a mean age of 54.7±7.3 years and a mean duration of diagnosis of 11±8.3 years. The majority were female (72.6%), overweight (77.7%), did not follow nutritional guidance (67.5%), had fasting blood glucose (52.2%) and glycated hemoglobin (54.1%) levels above the recommended limits. Most exhibited minimal anxiety symptoms (39.5%). A positive correlation was observed between the level of anxiety symptoms and glycated hemoglobin (r=0.174; p=0.035) and grazing behavior (r=0.267; p=0.001). It was noted that the level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications (B=0.263; p=0.001). Conclusion: A positive correlation was observed between the level of anxiety symptoms and grazing behavior, as well as glycated hemoglobin values. The level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications.\n\n\n### (1) Universidade Federal do Para, Belém, PA, Brasil; (2) Serviço Social do Comércio, Belém, PA, Brasil\nIntroduction: Previous studies have found a higher prevalence of anxiety symptoms in individuals with diabetes compared to the general population and a correlation between anxiety symptoms and changes in eating behavior. However, to date, no research has been conducted on the frequency of grazing behavior (consuming small portions continuously or large portions over a long period) and its relationship with anxiety symptoms in people with type 2 diabetes. Objective: To test the association between the level of anxiety symptoms and the frequency of grazing behavior in individuals with type 2 diabetes treated at a hospital in the Amazon region of Brazil. Methods: This is a cross-sectional, descriptive, and analytical study. The study followed the recommendations of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors, and was approved by the Research Ethics Committee (approval number: 6.087.349). Was conducted an interview about socioeconomic context, an anthropometric assessment, the application of the Beck Anxiety Inventory to determine the level of anxiety symptoms, and the Repetitive Eating Questionnaire to investigate grazing behavior. For statistical analysis, the Spearman correlation and multiple linear regression tests were applied (p<0.05). Results: A total of 157 individuals were evaluated, with a mean age of 54.7±7.3 years and a mean duration of diagnosis of 11±8.3 years. The majority were female (72.6%), overweight (77.7%), did not follow nutritional guidance (67.5%), had fasting blood glucose (52.2%) and glycated hemoglobin (54.1%) levels above the recommended limits. Most exhibited minimal anxiety symptoms (39.5%). A positive correlation was observed between the level of anxiety symptoms and glycated hemoglobin (r=0.174; p=0.035) and grazing behavior (r=0.267; p=0.001). It was noted that the level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications (B=0.263; p=0.001). Conclusion: A positive correlation was observed between the level of anxiety symptoms and grazing behavior, as well as glycated hemoglobin values. The level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—227\nIntroduction: Previous studies have found a higher prevalence of anxiety symptoms in individuals with diabetes compared to the general population and a correlation between anxiety symptoms and changes in eating behavior. However, to date, no research has been conducted on the frequency of grazing behavior (consuming small portions continuously or large portions over a long period) and its relationship with anxiety symptoms in people with type 2 diabetes. Objective: To test the association between the level of anxiety symptoms and the frequency of grazing behavior in individuals with type 2 diabetes treated at a hospital in the Amazon region of Brazil. Methods: This is a cross-sectional, descriptive, and analytical study. The study followed the recommendations of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors, and was approved by the Research Ethics Committee (approval number: 6.087.349). Was conducted an interview about socioeconomic context, an anthropometric assessment, the application of the Beck Anxiety Inventory to determine the level of anxiety symptoms, and the Repetitive Eating Questionnaire to investigate grazing behavior. For statistical analysis, the Spearman correlation and multiple linear regression tests were applied (p<0.05). Results: A total of 157 individuals were evaluated, with a mean age of 54.7±7.3 years and a mean duration of diagnosis of 11±8.3 years. The majority were female (72.6%), overweight (77.7%), did not follow nutritional guidance (67.5%), had fasting blood glucose (52.2%) and glycated hemoglobin (54.1%) levels above the recommended limits. Most exhibited minimal anxiety symptoms (39.5%). A positive correlation was observed between the level of anxiety symptoms and glycated hemoglobin (r=0.174; p=0.035) and grazing behavior (r=0.267; p=0.001). It was noted that the level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications (B=0.263; p=0.001). Conclusion: A positive correlation was observed between the level of anxiety symptoms and grazing behavior, as well as glycated hemoglobin values. The level of anxiety symptoms was a predictor of compulsive grazing behavior, independent of the use of psychoactive medications.\n\n\n### PO—228 Association Between Culinary Skills and Self-Perception of Illness in People With Type 2 Diabetes Mellitus Followed in a Public Hospital in Amazon\nIntroduction: Cooking skills are essential for adopting healthy eating habits, especially among people with type 2 diabetes, as they directly influence glycemic control. Illness perception also plays an important role, as it can affect treatment engagement and self-care. In this context, understanding the association between cooking skills and how individuals perceive their condition may contribute to more effective strategies for managing type 2 diabetes Objective: To investigate the relation between cooking skills and illness perception in people with type 2 diabetes receiving care at a public hospital in the Amazon Region. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least a year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating and the Brief Illness Perception Questionnaire were used for data collection. Data analysis was performed using SPSS version 24, considering a statistical significance level of p<0,05. The study was approved by the Ethics Committee (6.087.349), and all participants signed the informed consent form. Results: The evaluated sample included 157 adults, of whom 72,6% were women, with a mean age of 54,7±7,3 years and a mean time since diagnosis of 11±8,3 years. Concern scores showed positive correlations with cooking attitude (r=0,251; p=0,002), self-efficacy in vegetable consumption (r=0,204; p=0,009), cooking self-efficacy (r=0,259; p=0,001), self-efficacy in vegetable use (r=0,211; p=0,007), and the overall cooking skills score (r=0,312; p<0,001), indicating that concern about one’s health condition may be related to greater engagement in healthy eating practices, such as cooking and using more vegetables in the diet. In contrast, understanding scores showed negative correlations with cooking self-efficacy (r=–0,252; p=0,002), self-efficacy in vegetable use (r=–0,199; p=0,011), and the overall cooking skills score (r=–0,221; p=0,005), suggesting that greater understanding of diabetes may be associated with lower confidence in cooking and using vegetables in meal preparation. Conclusion: It’s important considering emotional and cognitive aspects of illness perception in food and nutrition education strategies for people with type 2 diabetes, especially in regions such as the Amazon, where sociocultural factors and limited access to information may affect self-care.\n\n\n### Gomes DL1; Silva SEC1; Siqueira NC1; Oliveira GES1; Coelho RKS1; Vilacorta GCS1; Lima APV1; Gonçalves KCC1; Inete MB1; Souza YDES1; Carvalhal MML1\nIntroduction: Cooking skills are essential for adopting healthy eating habits, especially among people with type 2 diabetes, as they directly influence glycemic control. Illness perception also plays an important role, as it can affect treatment engagement and self-care. In this context, understanding the association between cooking skills and how individuals perceive their condition may contribute to more effective strategies for managing type 2 diabetes Objective: To investigate the relation between cooking skills and illness perception in people with type 2 diabetes receiving care at a public hospital in the Amazon Region. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least a year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating and the Brief Illness Perception Questionnaire were used for data collection. Data analysis was performed using SPSS version 24, considering a statistical significance level of p<0,05. The study was approved by the Ethics Committee (6.087.349), and all participants signed the informed consent form. Results: The evaluated sample included 157 adults, of whom 72,6% were women, with a mean age of 54,7±7,3 years and a mean time since diagnosis of 11±8,3 years. Concern scores showed positive correlations with cooking attitude (r=0,251; p=0,002), self-efficacy in vegetable consumption (r=0,204; p=0,009), cooking self-efficacy (r=0,259; p=0,001), self-efficacy in vegetable use (r=0,211; p=0,007), and the overall cooking skills score (r=0,312; p<0,001), indicating that concern about one’s health condition may be related to greater engagement in healthy eating practices, such as cooking and using more vegetables in the diet. In contrast, understanding scores showed negative correlations with cooking self-efficacy (r=–0,252; p=0,002), self-efficacy in vegetable use (r=–0,199; p=0,011), and the overall cooking skills score (r=–0,221; p=0,005), suggesting that greater understanding of diabetes may be associated with lower confidence in cooking and using vegetables in meal preparation. Conclusion: It’s important considering emotional and cognitive aspects of illness perception in food and nutrition education strategies for people with type 2 diabetes, especially in regions such as the Amazon, where sociocultural factors and limited access to information may affect self-care.\n\n\n### (1) Universidade Federal do Pará, Belém, PA, Brasil\nIntroduction: Cooking skills are essential for adopting healthy eating habits, especially among people with type 2 diabetes, as they directly influence glycemic control. Illness perception also plays an important role, as it can affect treatment engagement and self-care. In this context, understanding the association between cooking skills and how individuals perceive their condition may contribute to more effective strategies for managing type 2 diabetes Objective: To investigate the relation between cooking skills and illness perception in people with type 2 diabetes receiving care at a public hospital in the Amazon Region. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least a year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating and the Brief Illness Perception Questionnaire were used for data collection. Data analysis was performed using SPSS version 24, considering a statistical significance level of p<0,05. The study was approved by the Ethics Committee (6.087.349), and all participants signed the informed consent form. Results: The evaluated sample included 157 adults, of whom 72,6% were women, with a mean age of 54,7±7,3 years and a mean time since diagnosis of 11±8,3 years. Concern scores showed positive correlations with cooking attitude (r=0,251; p=0,002), self-efficacy in vegetable consumption (r=0,204; p=0,009), cooking self-efficacy (r=0,259; p=0,001), self-efficacy in vegetable use (r=0,211; p=0,007), and the overall cooking skills score (r=0,312; p<0,001), indicating that concern about one’s health condition may be related to greater engagement in healthy eating practices, such as cooking and using more vegetables in the diet. In contrast, understanding scores showed negative correlations with cooking self-efficacy (r=–0,252; p=0,002), self-efficacy in vegetable use (r=–0,199; p=0,011), and the overall cooking skills score (r=–0,221; p=0,005), suggesting that greater understanding of diabetes may be associated with lower confidence in cooking and using vegetables in meal preparation. Conclusion: It’s important considering emotional and cognitive aspects of illness perception in food and nutrition education strategies for people with type 2 diabetes, especially in regions such as the Amazon, where sociocultural factors and limited access to information may affect self-care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—228\nIntroduction: Cooking skills are essential for adopting healthy eating habits, especially among people with type 2 diabetes, as they directly influence glycemic control. Illness perception also plays an important role, as it can affect treatment engagement and self-care. In this context, understanding the association between cooking skills and how individuals perceive their condition may contribute to more effective strategies for managing type 2 diabetes Objective: To investigate the relation between cooking skills and illness perception in people with type 2 diabetes receiving care at a public hospital in the Amazon Region. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least a year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating and the Brief Illness Perception Questionnaire were used for data collection. Data analysis was performed using SPSS version 24, considering a statistical significance level of p<0,05. The study was approved by the Ethics Committee (6.087.349), and all participants signed the informed consent form. Results: The evaluated sample included 157 adults, of whom 72,6% were women, with a mean age of 54,7±7,3 years and a mean time since diagnosis of 11±8,3 years. Concern scores showed positive correlations with cooking attitude (r=0,251; p=0,002), self-efficacy in vegetable consumption (r=0,204; p=0,009), cooking self-efficacy (r=0,259; p=0,001), self-efficacy in vegetable use (r=0,211; p=0,007), and the overall cooking skills score (r=0,312; p<0,001), indicating that concern about one’s health condition may be related to greater engagement in healthy eating practices, such as cooking and using more vegetables in the diet. In contrast, understanding scores showed negative correlations with cooking self-efficacy (r=–0,252; p=0,002), self-efficacy in vegetable use (r=–0,199; p=0,011), and the overall cooking skills score (r=–0,221; p=0,005), suggesting that greater understanding of diabetes may be associated with lower confidence in cooking and using vegetables in meal preparation. Conclusion: It’s important considering emotional and cognitive aspects of illness perception in food and nutrition education strategies for people with type 2 diabetes, especially in regions such as the Amazon, where sociocultural factors and limited access to information may affect self-care.\n\n\n### PO—229 Association Between Meeting Fruit, Vegetable, and Physical Activity Recommendations and Metabolic Syndrome\nIntroduction: Introduction: Metabolic Syndrome (MS) comprises metabolic alterations such as abdominal obesity, dyslipidemia, hypertension, and insulin resistance, which increase the risk of cardiovascular diseases and type 2 diabetes. Its prevalence has been growing worldwide, driven by changes in dietary patterns and reduced physical activity (PA). Guidelines from the World Health Organization (WHO) recommend a minimum daily intake of 400 g of fruits and vegetables and at least 150 minutes per week of moderate-intensity physical activity as preventive measures. Although both behaviors are associated with cardiometabolic health, uncertainties remain regarding the strength of this relationship with MS in different population contexts Objective: To examine the association between meeting fruit and vegetable intake recommendations, as well as physical activity guidelines, and the presence of Metabolic Syndrome (MS) in Brazilian adults. Methods: This cross-sectional study included a sample of teachers from a public educational institution in Rio de Janeiro, Brazil. Dietary intake in grams was assessed using a food frequency questionnaire (FFQ), and individuals were classified according to the WHO cutoff (400 g/day of fruits/vegetables). PA was measured using the short version of the International Physical Activity Questionnaire (IPAQ), classifying participants as active (≥150 min/week of moderate-intensity PA) or inactive (<150 min/week). Anthropometric, hemodynamic, and biochemical measurements were performed for the diagnosis of MS. The study was approved by the ethics committee of the participating institution (CAAE: 26901019.40000.5257). Logistic regression analysis was conducted to investigate the association between exposure variables and the outcome (MS). Results: A total of 219 adults, of both sexes, with a mean age of 49.07 years (SD = 9.9) participated in the study. It was observed that 55.2% and 73.6% met the recommendations for fruit/vegetable intake and PA, respectively. Logistic regression indicated that meeting the fruit and vegetable intake guidelines was not associated with MS (OR = 0.91; 95%CI: 0.36–1.47; p = 0.386). However, meeting the PA recommendations reduced the odds of MS (OR = 0.41; 95%CI: 0.19–0.85; p = 0.017), even after adjusting for confounders (age and sex). Conclusion: Meeting WHO PA guidelines appears to lower the odds of MS in Brazilian adults, while no association was found for fruit and vegetable intake.\n\n\n### Alves LO1; Ribeiro CDC2; Pinto CM2; Silva IA2; Cocate PG2\nIntroduction: Introduction: Metabolic Syndrome (MS) comprises metabolic alterations such as abdominal obesity, dyslipidemia, hypertension, and insulin resistance, which increase the risk of cardiovascular diseases and type 2 diabetes. Its prevalence has been growing worldwide, driven by changes in dietary patterns and reduced physical activity (PA). Guidelines from the World Health Organization (WHO) recommend a minimum daily intake of 400 g of fruits and vegetables and at least 150 minutes per week of moderate-intensity physical activity as preventive measures. Although both behaviors are associated with cardiometabolic health, uncertainties remain regarding the strength of this relationship with MS in different population contexts Objective: To examine the association between meeting fruit and vegetable intake recommendations, as well as physical activity guidelines, and the presence of Metabolic Syndrome (MS) in Brazilian adults. Methods: This cross-sectional study included a sample of teachers from a public educational institution in Rio de Janeiro, Brazil. Dietary intake in grams was assessed using a food frequency questionnaire (FFQ), and individuals were classified according to the WHO cutoff (400 g/day of fruits/vegetables). PA was measured using the short version of the International Physical Activity Questionnaire (IPAQ), classifying participants as active (≥150 min/week of moderate-intensity PA) or inactive (<150 min/week). Anthropometric, hemodynamic, and biochemical measurements were performed for the diagnosis of MS. The study was approved by the ethics committee of the participating institution (CAAE: 26901019.40000.5257). Logistic regression analysis was conducted to investigate the association between exposure variables and the outcome (MS). Results: A total of 219 adults, of both sexes, with a mean age of 49.07 years (SD = 9.9) participated in the study. It was observed that 55.2% and 73.6% met the recommendations for fruit/vegetable intake and PA, respectively. Logistic regression indicated that meeting the fruit and vegetable intake guidelines was not associated with MS (OR = 0.91; 95%CI: 0.36–1.47; p = 0.386). However, meeting the PA recommendations reduced the odds of MS (OR = 0.41; 95%CI: 0.19–0.85; p = 0.017), even after adjusting for confounders (age and sex). Conclusion: Meeting WHO PA guidelines appears to lower the odds of MS in Brazilian adults, while no association was found for fruit and vegetable intake.\n\n\n### (1) Instituto de Medicina Social, Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Escola de Educação Física e Desporto, Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Introduction: Metabolic Syndrome (MS) comprises metabolic alterations such as abdominal obesity, dyslipidemia, hypertension, and insulin resistance, which increase the risk of cardiovascular diseases and type 2 diabetes. Its prevalence has been growing worldwide, driven by changes in dietary patterns and reduced physical activity (PA). Guidelines from the World Health Organization (WHO) recommend a minimum daily intake of 400 g of fruits and vegetables and at least 150 minutes per week of moderate-intensity physical activity as preventive measures. Although both behaviors are associated with cardiometabolic health, uncertainties remain regarding the strength of this relationship with MS in different population contexts Objective: To examine the association between meeting fruit and vegetable intake recommendations, as well as physical activity guidelines, and the presence of Metabolic Syndrome (MS) in Brazilian adults. Methods: This cross-sectional study included a sample of teachers from a public educational institution in Rio de Janeiro, Brazil. Dietary intake in grams was assessed using a food frequency questionnaire (FFQ), and individuals were classified according to the WHO cutoff (400 g/day of fruits/vegetables). PA was measured using the short version of the International Physical Activity Questionnaire (IPAQ), classifying participants as active (≥150 min/week of moderate-intensity PA) or inactive (<150 min/week). Anthropometric, hemodynamic, and biochemical measurements were performed for the diagnosis of MS. The study was approved by the ethics committee of the participating institution (CAAE: 26901019.40000.5257). Logistic regression analysis was conducted to investigate the association between exposure variables and the outcome (MS). Results: A total of 219 adults, of both sexes, with a mean age of 49.07 years (SD = 9.9) participated in the study. It was observed that 55.2% and 73.6% met the recommendations for fruit/vegetable intake and PA, respectively. Logistic regression indicated that meeting the fruit and vegetable intake guidelines was not associated with MS (OR = 0.91; 95%CI: 0.36–1.47; p = 0.386). However, meeting the PA recommendations reduced the odds of MS (OR = 0.41; 95%CI: 0.19–0.85; p = 0.017), even after adjusting for confounders (age and sex). Conclusion: Meeting WHO PA guidelines appears to lower the odds of MS in Brazilian adults, while no association was found for fruit and vegetable intake.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—229\nIntroduction: Introduction: Metabolic Syndrome (MS) comprises metabolic alterations such as abdominal obesity, dyslipidemia, hypertension, and insulin resistance, which increase the risk of cardiovascular diseases and type 2 diabetes. Its prevalence has been growing worldwide, driven by changes in dietary patterns and reduced physical activity (PA). Guidelines from the World Health Organization (WHO) recommend a minimum daily intake of 400 g of fruits and vegetables and at least 150 minutes per week of moderate-intensity physical activity as preventive measures. Although both behaviors are associated with cardiometabolic health, uncertainties remain regarding the strength of this relationship with MS in different population contexts Objective: To examine the association between meeting fruit and vegetable intake recommendations, as well as physical activity guidelines, and the presence of Metabolic Syndrome (MS) in Brazilian adults. Methods: This cross-sectional study included a sample of teachers from a public educational institution in Rio de Janeiro, Brazil. Dietary intake in grams was assessed using a food frequency questionnaire (FFQ), and individuals were classified according to the WHO cutoff (400 g/day of fruits/vegetables). PA was measured using the short version of the International Physical Activity Questionnaire (IPAQ), classifying participants as active (≥150 min/week of moderate-intensity PA) or inactive (<150 min/week). Anthropometric, hemodynamic, and biochemical measurements were performed for the diagnosis of MS. The study was approved by the ethics committee of the participating institution (CAAE: 26901019.40000.5257). Logistic regression analysis was conducted to investigate the association between exposure variables and the outcome (MS). Results: A total of 219 adults, of both sexes, with a mean age of 49.07 years (SD = 9.9) participated in the study. It was observed that 55.2% and 73.6% met the recommendations for fruit/vegetable intake and PA, respectively. Logistic regression indicated that meeting the fruit and vegetable intake guidelines was not associated with MS (OR = 0.91; 95%CI: 0.36–1.47; p = 0.386). However, meeting the PA recommendations reduced the odds of MS (OR = 0.41; 95%CI: 0.19–0.85; p = 0.017), even after adjusting for confounders (age and sex). Conclusion: Meeting WHO PA guidelines appears to lower the odds of MS in Brazilian adults, while no association was found for fruit and vegetable intake.\n\n\n### PO—230 Association Between Physical Activity Patterns and Insulin Resistance in University Professors\nIntroduction: Insulin resistance (IR) is defined as a reduced sensitivity of target tissues to the action of insulin, resulting in decreased efficiency in glycemic control and potentially leading to conditions such as hyperglycemia and hyperinsulinemia. Physical activity (PA) has been identified as a therapeutic strategy for glycemic control and improved insulin sensitivity. The World Health Organization (WHO) recommends at least 150 minutes of moderate-intensity PA per week. However, a pattern known as “weekend warriors” has been observed, referring to individuals who engage in PA in one or two weekly sessions, primarily on weekends, and who may experience similar health benefits to those who distribute their activity throughout the week. Due to their work routines, university professors may be a population particularly susceptible to the weekend warrior pattern. Objective: To examine the association between different PA patterns and IR in university professors. Methods: This cross-sectional study was conducted with professors from a public university. PA time and patterns were assessed using the short version of the International Physical Activity Questionnaire (IPAQ). Participants were classified according to WHO recommendations: weekend warriors (≥150 minutes/week performed on 1 or 2 days) and regularly active individuals (≥150 minutes/week performed on ≥3 days), as well as those who did not meet the recommendation (inactive pattern: <150 minutes/week). The HOMA-IR index was calculated as follows: fasting glucose (mg/dL) × 0.0555 × fasting serum insulin (mIU/L) / 22.5. A cutoff point of 2.35, based on a recent study using a national sample (ELSA-Brasil), was used to classify IR. Results: A total of 219 university professors participated in the study, of both sexes, with a mean age of 49.10 years (SD=9.9). The prevalence of IR was 29.68% (n=57). Compared to the physically inactive pattern, being a weekend warrior (OR=0.17; 95% CI 0.04–0.69; p=0.013) or regularly active (OR=0.34; 95% CI 0.16–0.73; p=0.006) was associated with lower odds of IR, even after adjusting for potential confounding factors. Conclusion: Our findings suggest that meeting PA recommendations, regardless of whether the activity is distributed over three or more days or concentrated in one to two days, appears to be an effective strategy for protecting against IR among university professors.\n\n\n### Cocate PG1; Silva JV1; Pinto CM1; Ribeiro CDC1; Silva IA1; Alves LO2\nIntroduction: Insulin resistance (IR) is defined as a reduced sensitivity of target tissues to the action of insulin, resulting in decreased efficiency in glycemic control and potentially leading to conditions such as hyperglycemia and hyperinsulinemia. Physical activity (PA) has been identified as a therapeutic strategy for glycemic control and improved insulin sensitivity. The World Health Organization (WHO) recommends at least 150 minutes of moderate-intensity PA per week. However, a pattern known as “weekend warriors” has been observed, referring to individuals who engage in PA in one or two weekly sessions, primarily on weekends, and who may experience similar health benefits to those who distribute their activity throughout the week. Due to their work routines, university professors may be a population particularly susceptible to the weekend warrior pattern. Objective: To examine the association between different PA patterns and IR in university professors. Methods: This cross-sectional study was conducted with professors from a public university. PA time and patterns were assessed using the short version of the International Physical Activity Questionnaire (IPAQ). Participants were classified according to WHO recommendations: weekend warriors (≥150 minutes/week performed on 1 or 2 days) and regularly active individuals (≥150 minutes/week performed on ≥3 days), as well as those who did not meet the recommendation (inactive pattern: <150 minutes/week). The HOMA-IR index was calculated as follows: fasting glucose (mg/dL) × 0.0555 × fasting serum insulin (mIU/L) / 22.5. A cutoff point of 2.35, based on a recent study using a national sample (ELSA-Brasil), was used to classify IR. Results: A total of 219 university professors participated in the study, of both sexes, with a mean age of 49.10 years (SD=9.9). The prevalence of IR was 29.68% (n=57). Compared to the physically inactive pattern, being a weekend warrior (OR=0.17; 95% CI 0.04–0.69; p=0.013) or regularly active (OR=0.34; 95% CI 0.16–0.73; p=0.006) was associated with lower odds of IR, even after adjusting for potential confounding factors. Conclusion: Our findings suggest that meeting PA recommendations, regardless of whether the activity is distributed over three or more days or concentrated in one to two days, appears to be an effective strategy for protecting against IR among university professors.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Insulin resistance (IR) is defined as a reduced sensitivity of target tissues to the action of insulin, resulting in decreased efficiency in glycemic control and potentially leading to conditions such as hyperglycemia and hyperinsulinemia. Physical activity (PA) has been identified as a therapeutic strategy for glycemic control and improved insulin sensitivity. The World Health Organization (WHO) recommends at least 150 minutes of moderate-intensity PA per week. However, a pattern known as “weekend warriors” has been observed, referring to individuals who engage in PA in one or two weekly sessions, primarily on weekends, and who may experience similar health benefits to those who distribute their activity throughout the week. Due to their work routines, university professors may be a population particularly susceptible to the weekend warrior pattern. Objective: To examine the association between different PA patterns and IR in university professors. Methods: This cross-sectional study was conducted with professors from a public university. PA time and patterns were assessed using the short version of the International Physical Activity Questionnaire (IPAQ). Participants were classified according to WHO recommendations: weekend warriors (≥150 minutes/week performed on 1 or 2 days) and regularly active individuals (≥150 minutes/week performed on ≥3 days), as well as those who did not meet the recommendation (inactive pattern: <150 minutes/week). The HOMA-IR index was calculated as follows: fasting glucose (mg/dL) × 0.0555 × fasting serum insulin (mIU/L) / 22.5. A cutoff point of 2.35, based on a recent study using a national sample (ELSA-Brasil), was used to classify IR. Results: A total of 219 university professors participated in the study, of both sexes, with a mean age of 49.10 years (SD=9.9). The prevalence of IR was 29.68% (n=57). Compared to the physically inactive pattern, being a weekend warrior (OR=0.17; 95% CI 0.04–0.69; p=0.013) or regularly active (OR=0.34; 95% CI 0.16–0.73; p=0.006) was associated with lower odds of IR, even after adjusting for potential confounding factors. Conclusion: Our findings suggest that meeting PA recommendations, regardless of whether the activity is distributed over three or more days or concentrated in one to two days, appears to be an effective strategy for protecting against IR among university professors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—230\nIntroduction: Insulin resistance (IR) is defined as a reduced sensitivity of target tissues to the action of insulin, resulting in decreased efficiency in glycemic control and potentially leading to conditions such as hyperglycemia and hyperinsulinemia. Physical activity (PA) has been identified as a therapeutic strategy for glycemic control and improved insulin sensitivity. The World Health Organization (WHO) recommends at least 150 minutes of moderate-intensity PA per week. However, a pattern known as “weekend warriors” has been observed, referring to individuals who engage in PA in one or two weekly sessions, primarily on weekends, and who may experience similar health benefits to those who distribute their activity throughout the week. Due to their work routines, university professors may be a population particularly susceptible to the weekend warrior pattern. Objective: To examine the association between different PA patterns and IR in university professors. Methods: This cross-sectional study was conducted with professors from a public university. PA time and patterns were assessed using the short version of the International Physical Activity Questionnaire (IPAQ). Participants were classified according to WHO recommendations: weekend warriors (≥150 minutes/week performed on 1 or 2 days) and regularly active individuals (≥150 minutes/week performed on ≥3 days), as well as those who did not meet the recommendation (inactive pattern: <150 minutes/week). The HOMA-IR index was calculated as follows: fasting glucose (mg/dL) × 0.0555 × fasting serum insulin (mIU/L) / 22.5. A cutoff point of 2.35, based on a recent study using a national sample (ELSA-Brasil), was used to classify IR. Results: A total of 219 university professors participated in the study, of both sexes, with a mean age of 49.10 years (SD=9.9). The prevalence of IR was 29.68% (n=57). Compared to the physically inactive pattern, being a weekend warrior (OR=0.17; 95% CI 0.04–0.69; p=0.013) or regularly active (OR=0.34; 95% CI 0.16–0.73; p=0.006) was associated with lower odds of IR, even after adjusting for potential confounding factors. Conclusion: Our findings suggest that meeting PA recommendations, regardless of whether the activity is distributed over three or more days or concentrated in one to two days, appears to be an effective strategy for protecting against IR among university professors.\n\n\n### PO—231 Association of a Body Shape Index (ABSI) and Body Composition with Capillary Blood Glucose in Adolescents: A Cross- Sectional Study\nIntroduction: Changes in body composition, particularly increased abdominal fat, are linked to higher cardiometabolic risk and may precede alterations in glycemic status. A Body Shape Index (ABSI) is an anthropometric measure that complements BMI by considering central fat distribution. Assessing its relationship with body composition and glycemic parameters in adolescents may support the early detection of risk for diabetes and metabolic syndrome. Objective: To investigate the association of ABSI with body composition and capillary blood glucose (CBG) in school-aged adolescents. Methods: This descriptive cross-sectional study included 277 adolescents aged 14–19 years from a municipal school. Body composition was assessed using bioelectrical impedance, along with measurements of weight, height, waist circumference (WC), and hip circumference (HC). Body mass index (BMI), percent body fat (PBF), fat mass index (FMI), fat-free mass (FFM), fat-free mass index (FFMI), and waist-to-hip ratio (WHR) were calculated. ABSI and ABSI z-scores were derived from anthropometric data. Capillary blood glucose (CBG) was measured using a glucometer. Analyses included descriptive statistics and Pearson’s correlation (p ≤ 0.05). The study was approved by the Research Ethics Committee (CAAE 84555624.3.0000.5197), with informed consent obtained from all participants and guardians. Results: Mean age was 15.78 ± 1.01 years; mean BMI was 22.50 ± 5.75 kg/m2; mean body fat percentage was 27.4 ± 11.3%; mean WC was 75.40 ± 11.83 cm; mean WHR was 0.79 ± 0.06; and mean FFMI was 16.02 ± 2.13 kg/m2. Mean ABSI was 0.0742 ± 0.0047, with 72.6% classified as “lower risk” and 27.4% as “higher risk” according to ABSI z-scores. Mean capillary blood glucose was 82.9 ± 13.0 mg/dL, with no significant correlation with ABSI or ABSI z-scores. ABSI correlated positively with WC (r = 0.487; p < 0.001), WHR (r = 0.661; p < 0.001), and FFMI (r = 0.204; p = 0.001), and negatively with body fat percentage (r = -0.139; p = 0.026). Conclusion: Most adolescents showed an anthropometric profile consistent with their age and normal capillary blood glucose levels. ABSI was more strongly associated with abdominal fat distribution than with BMI but showed no significant relationship with capillary blood glucose, supporting its role as a complementary indicator for cardiometabolic risk screening before the onset of glycemic alterations.\n\n\n### Macil GR 1; Nunes ASM2; Bandeira MP2; Ribeiro JNS3; Santos TBL 2; Malheiros GM4; Barreto ITP5; Lanna IDCM4; Soares LEC4; Aguiar BG4; Bandeira F2\nIntroduction: Changes in body composition, particularly increased abdominal fat, are linked to higher cardiometabolic risk and may precede alterations in glycemic status. A Body Shape Index (ABSI) is an anthropometric measure that complements BMI by considering central fat distribution. Assessing its relationship with body composition and glycemic parameters in adolescents may support the early detection of risk for diabetes and metabolic syndrome. Objective: To investigate the association of ABSI with body composition and capillary blood glucose (CBG) in school-aged adolescents. Methods: This descriptive cross-sectional study included 277 adolescents aged 14–19 years from a municipal school. Body composition was assessed using bioelectrical impedance, along with measurements of weight, height, waist circumference (WC), and hip circumference (HC). Body mass index (BMI), percent body fat (PBF), fat mass index (FMI), fat-free mass (FFM), fat-free mass index (FFMI), and waist-to-hip ratio (WHR) were calculated. ABSI and ABSI z-scores were derived from anthropometric data. Capillary blood glucose (CBG) was measured using a glucometer. Analyses included descriptive statistics and Pearson’s correlation (p ≤ 0.05). The study was approved by the Research Ethics Committee (CAAE 84555624.3.0000.5197), with informed consent obtained from all participants and guardians. Results: Mean age was 15.78 ± 1.01 years; mean BMI was 22.50 ± 5.75 kg/m2; mean body fat percentage was 27.4 ± 11.3%; mean WC was 75.40 ± 11.83 cm; mean WHR was 0.79 ± 0.06; and mean FFMI was 16.02 ± 2.13 kg/m2. Mean ABSI was 0.0742 ± 0.0047, with 72.6% classified as “lower risk” and 27.4% as “higher risk” according to ABSI z-scores. Mean capillary blood glucose was 82.9 ± 13.0 mg/dL, with no significant correlation with ABSI or ABSI z-scores. ABSI correlated positively with WC (r = 0.487; p < 0.001), WHR (r = 0.661; p < 0.001), and FFMI (r = 0.204; p = 0.001), and negatively with body fat percentage (r = -0.139; p = 0.026). Conclusion: Most adolescents showed an anthropometric profile consistent with their age and normal capillary blood glucose levels. ABSI was more strongly associated with abdominal fat distribution than with BMI but showed no significant relationship with capillary blood glucose, supporting its role as a complementary indicator for cardiometabolic risk screening before the onset of glycemic alterations.\n\n\n### (1) Afya School of Medical Sciences, Jaboatão dos Guararapes, PE, Brasil; (2) Division of Endocrinology and Diabetes, Agamenon Magalhães Hospital, RECIFE, PE, Brasil; (3) Pernambucana School of Health, RECIFE, PE, Brasil; (4) School of Medical Sciences, University of Pernambuco, RECIFE, PE, Brasil; (5) Mauricio de Nassau University Center (UNINASSAU), RECIFE, PE, Brasil\nIntroduction: Changes in body composition, particularly increased abdominal fat, are linked to higher cardiometabolic risk and may precede alterations in glycemic status. A Body Shape Index (ABSI) is an anthropometric measure that complements BMI by considering central fat distribution. Assessing its relationship with body composition and glycemic parameters in adolescents may support the early detection of risk for diabetes and metabolic syndrome. Objective: To investigate the association of ABSI with body composition and capillary blood glucose (CBG) in school-aged adolescents. Methods: This descriptive cross-sectional study included 277 adolescents aged 14–19 years from a municipal school. Body composition was assessed using bioelectrical impedance, along with measurements of weight, height, waist circumference (WC), and hip circumference (HC). Body mass index (BMI), percent body fat (PBF), fat mass index (FMI), fat-free mass (FFM), fat-free mass index (FFMI), and waist-to-hip ratio (WHR) were calculated. ABSI and ABSI z-scores were derived from anthropometric data. Capillary blood glucose (CBG) was measured using a glucometer. Analyses included descriptive statistics and Pearson’s correlation (p ≤ 0.05). The study was approved by the Research Ethics Committee (CAAE 84555624.3.0000.5197), with informed consent obtained from all participants and guardians. Results: Mean age was 15.78 ± 1.01 years; mean BMI was 22.50 ± 5.75 kg/m2; mean body fat percentage was 27.4 ± 11.3%; mean WC was 75.40 ± 11.83 cm; mean WHR was 0.79 ± 0.06; and mean FFMI was 16.02 ± 2.13 kg/m2. Mean ABSI was 0.0742 ± 0.0047, with 72.6% classified as “lower risk” and 27.4% as “higher risk” according to ABSI z-scores. Mean capillary blood glucose was 82.9 ± 13.0 mg/dL, with no significant correlation with ABSI or ABSI z-scores. ABSI correlated positively with WC (r = 0.487; p < 0.001), WHR (r = 0.661; p < 0.001), and FFMI (r = 0.204; p = 0.001), and negatively with body fat percentage (r = -0.139; p = 0.026). Conclusion: Most adolescents showed an anthropometric profile consistent with their age and normal capillary blood glucose levels. ABSI was more strongly associated with abdominal fat distribution than with BMI but showed no significant relationship with capillary blood glucose, supporting its role as a complementary indicator for cardiometabolic risk screening before the onset of glycemic alterations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—231\nIntroduction: Changes in body composition, particularly increased abdominal fat, are linked to higher cardiometabolic risk and may precede alterations in glycemic status. A Body Shape Index (ABSI) is an anthropometric measure that complements BMI by considering central fat distribution. Assessing its relationship with body composition and glycemic parameters in adolescents may support the early detection of risk for diabetes and metabolic syndrome. Objective: To investigate the association of ABSI with body composition and capillary blood glucose (CBG) in school-aged adolescents. Methods: This descriptive cross-sectional study included 277 adolescents aged 14–19 years from a municipal school. Body composition was assessed using bioelectrical impedance, along with measurements of weight, height, waist circumference (WC), and hip circumference (HC). Body mass index (BMI), percent body fat (PBF), fat mass index (FMI), fat-free mass (FFM), fat-free mass index (FFMI), and waist-to-hip ratio (WHR) were calculated. ABSI and ABSI z-scores were derived from anthropometric data. Capillary blood glucose (CBG) was measured using a glucometer. Analyses included descriptive statistics and Pearson’s correlation (p ≤ 0.05). The study was approved by the Research Ethics Committee (CAAE 84555624.3.0000.5197), with informed consent obtained from all participants and guardians. Results: Mean age was 15.78 ± 1.01 years; mean BMI was 22.50 ± 5.75 kg/m2; mean body fat percentage was 27.4 ± 11.3%; mean WC was 75.40 ± 11.83 cm; mean WHR was 0.79 ± 0.06; and mean FFMI was 16.02 ± 2.13 kg/m2. Mean ABSI was 0.0742 ± 0.0047, with 72.6% classified as “lower risk” and 27.4% as “higher risk” according to ABSI z-scores. Mean capillary blood glucose was 82.9 ± 13.0 mg/dL, with no significant correlation with ABSI or ABSI z-scores. ABSI correlated positively with WC (r = 0.487; p < 0.001), WHR (r = 0.661; p < 0.001), and FFMI (r = 0.204; p = 0.001), and negatively with body fat percentage (r = -0.139; p = 0.026). Conclusion: Most adolescents showed an anthropometric profile consistent with their age and normal capillary blood glucose levels. ABSI was more strongly associated with abdominal fat distribution than with BMI but showed no significant relationship with capillary blood glucose, supporting its role as a complementary indicator for cardiometabolic risk screening before the onset of glycemic alterations.\n\n\n### PO—232 Association of Systemic Inflammation Response Index and Systemic Immune-Inflammation Index With Factors Related to Type 2 Diabetes Mellitus\nIntroduction: Type 2 diabetes mellitus (DM2) is a global health problem, and its etiology and progression are related to inflammation and behavioral factors. Therefore, identifying inflammation is essential. Inflammatory markers, such as the Systemic Inflammatory Response Index (SIRI) and the Systemic Immune-Inflammation Index (SII), have been proposed due to their association with metabolic disorders. Objective: To evaluate the association between SIRI and SII with glycemic, anthropometric, and behavioral parameters in adults with DM2. Methods: Cross-sectional study with adults of both sexes diagnosed with DM2 and receiving care at a university hospital (CAAE 76125323.3.0000.5133). Socioeconomic, anthropometric, laboratory, behavioral, and dietary data were collected. Statistical analyses were performed using SPSS-21. Values below and above the median of SIRI and SII were used in comparative analyses using the t-test and Mann-Whitney test. Results: A total of 38 individuals were included, with a median age of 50 years (42.0–58.0) and duration of DM2 of 5.5 years (0.1-20.0). Most participants were female (65.8%), self-declared Black (73.6%), sedentary (57.9%), non-smokers (86.8%), and non-alcoholics (60.5%). The median body mass index was 33.8 kg/m2, with 86.9% classified as excess weight and 89.5% with elevated waist circumference. Individuals with a higher SII index had better glycemic control (fasting glucose: 121.0 vs. 146.0 mg/dL, p=0.2; glycated hemoglobin: 6.5 vs. 7.2%, p=0.4; insulin: 18.2 vs. 13.4 µU/mL, p=0.2; HOMA-IR: 4.8 vs. 5.4, p=1.0; HOMA-β: 102.8 vs. 57.8%, p=0.3) compared to those with values below the median. Furthermore, individuals with a higher SIRI index showed worsening pancreatic function (fasting glucose: 131.0 vs. 122.0 mg/dL, p=0.9; glycated hemoglobin: 7.0 vs. 7.2%, p=0.4; insulin: 14.4 vs. 15.0 µU/mL, p=0.1; HOMA-IR: 4.8 vs. 5.0, p=0.4; HOMA-β: 77.8 vs. 93.9%, p=0.5) compared to individuals below the median. No significant differences were found between the groups, as well as significant associations with smoking, alcohol consumption and activity exercise (p>0.05). Correlations between the indices and the glycemic and anthropometric parameters were considered weak (r<0.3). Conclusion: The findings suggest potential trends between inflammation and glycemic control in individuals with DM2, although without statistical significance. The clinical utility of the SIRI and SII indices requires further investigation in larger samples without confounding factors.\n\n\n### Peixoto ACF1; Pires LAS2; Lima MFC2; Hinkelmann JV1; Lima NG2; Ribeiro IA2; Oliveira SS2; Paula CD1; Luquetti SCPD3\nIntroduction: Type 2 diabetes mellitus (DM2) is a global health problem, and its etiology and progression are related to inflammation and behavioral factors. Therefore, identifying inflammation is essential. Inflammatory markers, such as the Systemic Inflammatory Response Index (SIRI) and the Systemic Immune-Inflammation Index (SII), have been proposed due to their association with metabolic disorders. Objective: To evaluate the association between SIRI and SII with glycemic, anthropometric, and behavioral parameters in adults with DM2. Methods: Cross-sectional study with adults of both sexes diagnosed with DM2 and receiving care at a university hospital (CAAE 76125323.3.0000.5133). Socioeconomic, anthropometric, laboratory, behavioral, and dietary data were collected. Statistical analyses were performed using SPSS-21. Values below and above the median of SIRI and SII were used in comparative analyses using the t-test and Mann-Whitney test. Results: A total of 38 individuals were included, with a median age of 50 years (42.0–58.0) and duration of DM2 of 5.5 years (0.1-20.0). Most participants were female (65.8%), self-declared Black (73.6%), sedentary (57.9%), non-smokers (86.8%), and non-alcoholics (60.5%). The median body mass index was 33.8 kg/m2, with 86.9% classified as excess weight and 89.5% with elevated waist circumference. Individuals with a higher SII index had better glycemic control (fasting glucose: 121.0 vs. 146.0 mg/dL, p=0.2; glycated hemoglobin: 6.5 vs. 7.2%, p=0.4; insulin: 18.2 vs. 13.4 µU/mL, p=0.2; HOMA-IR: 4.8 vs. 5.4, p=1.0; HOMA-β: 102.8 vs. 57.8%, p=0.3) compared to those with values below the median. Furthermore, individuals with a higher SIRI index showed worsening pancreatic function (fasting glucose: 131.0 vs. 122.0 mg/dL, p=0.9; glycated hemoglobin: 7.0 vs. 7.2%, p=0.4; insulin: 14.4 vs. 15.0 µU/mL, p=0.1; HOMA-IR: 4.8 vs. 5.0, p=0.4; HOMA-β: 77.8 vs. 93.9%, p=0.5) compared to individuals below the median. No significant differences were found between the groups, as well as significant associations with smoking, alcohol consumption and activity exercise (p>0.05). Correlations between the indices and the glycemic and anthropometric parameters were considered weak (r<0.3). Conclusion: The findings suggest potential trends between inflammation and glycemic control in individuals with DM2, although without statistical significance. The clinical utility of the SIRI and SII indices requires further investigation in larger samples without confounding factors.\n\n\n### (1) Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Brazilian Hospital Services Company/University Hospital of Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Department of Nutrition/Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil\nIntroduction: Type 2 diabetes mellitus (DM2) is a global health problem, and its etiology and progression are related to inflammation and behavioral factors. Therefore, identifying inflammation is essential. Inflammatory markers, such as the Systemic Inflammatory Response Index (SIRI) and the Systemic Immune-Inflammation Index (SII), have been proposed due to their association with metabolic disorders. Objective: To evaluate the association between SIRI and SII with glycemic, anthropometric, and behavioral parameters in adults with DM2. Methods: Cross-sectional study with adults of both sexes diagnosed with DM2 and receiving care at a university hospital (CAAE 76125323.3.0000.5133). Socioeconomic, anthropometric, laboratory, behavioral, and dietary data were collected. Statistical analyses were performed using SPSS-21. Values below and above the median of SIRI and SII were used in comparative analyses using the t-test and Mann-Whitney test. Results: A total of 38 individuals were included, with a median age of 50 years (42.0–58.0) and duration of DM2 of 5.5 years (0.1-20.0). Most participants were female (65.8%), self-declared Black (73.6%), sedentary (57.9%), non-smokers (86.8%), and non-alcoholics (60.5%). The median body mass index was 33.8 kg/m2, with 86.9% classified as excess weight and 89.5% with elevated waist circumference. Individuals with a higher SII index had better glycemic control (fasting glucose: 121.0 vs. 146.0 mg/dL, p=0.2; glycated hemoglobin: 6.5 vs. 7.2%, p=0.4; insulin: 18.2 vs. 13.4 µU/mL, p=0.2; HOMA-IR: 4.8 vs. 5.4, p=1.0; HOMA-β: 102.8 vs. 57.8%, p=0.3) compared to those with values below the median. Furthermore, individuals with a higher SIRI index showed worsening pancreatic function (fasting glucose: 131.0 vs. 122.0 mg/dL, p=0.9; glycated hemoglobin: 7.0 vs. 7.2%, p=0.4; insulin: 14.4 vs. 15.0 µU/mL, p=0.1; HOMA-IR: 4.8 vs. 5.0, p=0.4; HOMA-β: 77.8 vs. 93.9%, p=0.5) compared to individuals below the median. No significant differences were found between the groups, as well as significant associations with smoking, alcohol consumption and activity exercise (p>0.05). Correlations between the indices and the glycemic and anthropometric parameters were considered weak (r<0.3). Conclusion: The findings suggest potential trends between inflammation and glycemic control in individuals with DM2, although without statistical significance. The clinical utility of the SIRI and SII indices requires further investigation in larger samples without confounding factors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—232\nIntroduction: Type 2 diabetes mellitus (DM2) is a global health problem, and its etiology and progression are related to inflammation and behavioral factors. Therefore, identifying inflammation is essential. Inflammatory markers, such as the Systemic Inflammatory Response Index (SIRI) and the Systemic Immune-Inflammation Index (SII), have been proposed due to their association with metabolic disorders. Objective: To evaluate the association between SIRI and SII with glycemic, anthropometric, and behavioral parameters in adults with DM2. Methods: Cross-sectional study with adults of both sexes diagnosed with DM2 and receiving care at a university hospital (CAAE 76125323.3.0000.5133). Socioeconomic, anthropometric, laboratory, behavioral, and dietary data were collected. Statistical analyses were performed using SPSS-21. Values below and above the median of SIRI and SII were used in comparative analyses using the t-test and Mann-Whitney test. Results: A total of 38 individuals were included, with a median age of 50 years (42.0–58.0) and duration of DM2 of 5.5 years (0.1-20.0). Most participants were female (65.8%), self-declared Black (73.6%), sedentary (57.9%), non-smokers (86.8%), and non-alcoholics (60.5%). The median body mass index was 33.8 kg/m2, with 86.9% classified as excess weight and 89.5% with elevated waist circumference. Individuals with a higher SII index had better glycemic control (fasting glucose: 121.0 vs. 146.0 mg/dL, p=0.2; glycated hemoglobin: 6.5 vs. 7.2%, p=0.4; insulin: 18.2 vs. 13.4 µU/mL, p=0.2; HOMA-IR: 4.8 vs. 5.4, p=1.0; HOMA-β: 102.8 vs. 57.8%, p=0.3) compared to those with values below the median. Furthermore, individuals with a higher SIRI index showed worsening pancreatic function (fasting glucose: 131.0 vs. 122.0 mg/dL, p=0.9; glycated hemoglobin: 7.0 vs. 7.2%, p=0.4; insulin: 14.4 vs. 15.0 µU/mL, p=0.1; HOMA-IR: 4.8 vs. 5.0, p=0.4; HOMA-β: 77.8 vs. 93.9%, p=0.5) compared to individuals below the median. No significant differences were found between the groups, as well as significant associations with smoking, alcohol consumption and activity exercise (p>0.05). Correlations between the indices and the glycemic and anthropometric parameters were considered weak (r<0.3). Conclusion: The findings suggest potential trends between inflammation and glycemic control in individuals with DM2, although without statistical significance. The clinical utility of the SIRI and SII indices requires further investigation in larger samples without confounding factors.\n\n\n### PO—233 Comparison of Glycemic Variables and Body Mass Among Severely Obese Women With And Without ADIPOQ Polymorphism\nIntroduction: Obesity is considered a multifactorial condition, characterized by excessive accumulation of body fat and associated with an increased risk of several comorbidities, such as type 2 diabetes mellitus (DM2). Among the mechanisms contributing to this relationship, genetic and hormonal factors stand out, as they influence insulin sensitivity and energy metabolism. The ADIPOQ gene, located on chromosomal locus 3q27, encodes adiponectin—an adipokine involved in the regulation of energy metabolism and insulin sensitivity. Studies have shown that adiponectin levels may be reduced in individuals with obesity; however, in cases of severe obesity, the impact of polymorphisms in the ADIPOQ gene on glycemic profile remains unclear. Objective: Evaluate the frequency of the ADIPOQ polymorphism in women with severe obesity and its association with alterations in glycemic profile and body mass. Methods: This cross-sectional observational study was approved by the research ethics committee (approval number: 5.621.915). The sample included 65 adult women with severe obesity. The variables analyzed were: age (years), body mass index (BMI), fasting glucose, estimated average glucose (eAG), glycated hemoglobin (A1c), and fasting insulin levels. Genetic analysis was performed on peripheral blood samples, with genomic DNA extraction and identification of the rs182052 polymorphism in the ADIPOQ gene using real-time polymerase chain reaction (PCR). Associations between the ADIPOQ polymorphism and quantitative variables were assessed using the Mann-Whitney test. Data were analyzed using R software version 4.5.1, with a significance level set at p ≤ 0.05 Results: The median age of participants was 54.5 years (IQR = 11.5). Half of the sample presented the rs182052 polymorphism of the ADIPOQ gene. The presence of this polymorphism was associated with higher fasting insulin levels (p = 0.04), body mass index (p = 0.01), and glycated hemoglobin (A1c) (p = 0.05). However, no statistically significant associations were observed between the polymorphism and estimated average glucose or fasting glucose levels. Conclusion: In women with severe obesity, the presence of the ADIPOQ polymorphism was associated with a worse glycemic profile and greater total body fat accumulation.\n\n\n### Valentim AVG1; Oliveira JM1; Silva LS1; Salles MBCFS1; de Matos EKL1; Souza NS1; Silveira ABCS1; Chrysostomo LB1; Siais LO1; Coimbra VOR1; EL1\nIntroduction: Obesity is considered a multifactorial condition, characterized by excessive accumulation of body fat and associated with an increased risk of several comorbidities, such as type 2 diabetes mellitus (DM2). Among the mechanisms contributing to this relationship, genetic and hormonal factors stand out, as they influence insulin sensitivity and energy metabolism. The ADIPOQ gene, located on chromosomal locus 3q27, encodes adiponectin—an adipokine involved in the regulation of energy metabolism and insulin sensitivity. Studies have shown that adiponectin levels may be reduced in individuals with obesity; however, in cases of severe obesity, the impact of polymorphisms in the ADIPOQ gene on glycemic profile remains unclear. Objective: Evaluate the frequency of the ADIPOQ polymorphism in women with severe obesity and its association with alterations in glycemic profile and body mass. Methods: This cross-sectional observational study was approved by the research ethics committee (approval number: 5.621.915). The sample included 65 adult women with severe obesity. The variables analyzed were: age (years), body mass index (BMI), fasting glucose, estimated average glucose (eAG), glycated hemoglobin (A1c), and fasting insulin levels. Genetic analysis was performed on peripheral blood samples, with genomic DNA extraction and identification of the rs182052 polymorphism in the ADIPOQ gene using real-time polymerase chain reaction (PCR). Associations between the ADIPOQ polymorphism and quantitative variables were assessed using the Mann-Whitney test. Data were analyzed using R software version 4.5.1, with a significance level set at p ≤ 0.05 Results: The median age of participants was 54.5 years (IQR = 11.5). Half of the sample presented the rs182052 polymorphism of the ADIPOQ gene. The presence of this polymorphism was associated with higher fasting insulin levels (p = 0.04), body mass index (p = 0.01), and glycated hemoglobin (A1c) (p = 0.05). However, no statistically significant associations were observed between the polymorphism and estimated average glucose or fasting glucose levels. Conclusion: In women with severe obesity, the presence of the ADIPOQ polymorphism was associated with a worse glycemic profile and greater total body fat accumulation.\n\n\n### (1) Universidade Federal do Rio de Janeiro UFRJ, Rio de Janeiro, RJ, Brasil\nIntroduction: Obesity is considered a multifactorial condition, characterized by excessive accumulation of body fat and associated with an increased risk of several comorbidities, such as type 2 diabetes mellitus (DM2). Among the mechanisms contributing to this relationship, genetic and hormonal factors stand out, as they influence insulin sensitivity and energy metabolism. The ADIPOQ gene, located on chromosomal locus 3q27, encodes adiponectin—an adipokine involved in the regulation of energy metabolism and insulin sensitivity. Studies have shown that adiponectin levels may be reduced in individuals with obesity; however, in cases of severe obesity, the impact of polymorphisms in the ADIPOQ gene on glycemic profile remains unclear. Objective: Evaluate the frequency of the ADIPOQ polymorphism in women with severe obesity and its association with alterations in glycemic profile and body mass. Methods: This cross-sectional observational study was approved by the research ethics committee (approval number: 5.621.915). The sample included 65 adult women with severe obesity. The variables analyzed were: age (years), body mass index (BMI), fasting glucose, estimated average glucose (eAG), glycated hemoglobin (A1c), and fasting insulin levels. Genetic analysis was performed on peripheral blood samples, with genomic DNA extraction and identification of the rs182052 polymorphism in the ADIPOQ gene using real-time polymerase chain reaction (PCR). Associations between the ADIPOQ polymorphism and quantitative variables were assessed using the Mann-Whitney test. Data were analyzed using R software version 4.5.1, with a significance level set at p ≤ 0.05 Results: The median age of participants was 54.5 years (IQR = 11.5). Half of the sample presented the rs182052 polymorphism of the ADIPOQ gene. The presence of this polymorphism was associated with higher fasting insulin levels (p = 0.04), body mass index (p = 0.01), and glycated hemoglobin (A1c) (p = 0.05). However, no statistically significant associations were observed between the polymorphism and estimated average glucose or fasting glucose levels. Conclusion: In women with severe obesity, the presence of the ADIPOQ polymorphism was associated with a worse glycemic profile and greater total body fat accumulation.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—233\nIntroduction: Obesity is considered a multifactorial condition, characterized by excessive accumulation of body fat and associated with an increased risk of several comorbidities, such as type 2 diabetes mellitus (DM2). Among the mechanisms contributing to this relationship, genetic and hormonal factors stand out, as they influence insulin sensitivity and energy metabolism. The ADIPOQ gene, located on chromosomal locus 3q27, encodes adiponectin—an adipokine involved in the regulation of energy metabolism and insulin sensitivity. Studies have shown that adiponectin levels may be reduced in individuals with obesity; however, in cases of severe obesity, the impact of polymorphisms in the ADIPOQ gene on glycemic profile remains unclear. Objective: Evaluate the frequency of the ADIPOQ polymorphism in women with severe obesity and its association with alterations in glycemic profile and body mass. Methods: This cross-sectional observational study was approved by the research ethics committee (approval number: 5.621.915). The sample included 65 adult women with severe obesity. The variables analyzed were: age (years), body mass index (BMI), fasting glucose, estimated average glucose (eAG), glycated hemoglobin (A1c), and fasting insulin levels. Genetic analysis was performed on peripheral blood samples, with genomic DNA extraction and identification of the rs182052 polymorphism in the ADIPOQ gene using real-time polymerase chain reaction (PCR). Associations between the ADIPOQ polymorphism and quantitative variables were assessed using the Mann-Whitney test. Data were analyzed using R software version 4.5.1, with a significance level set at p ≤ 0.05 Results: The median age of participants was 54.5 years (IQR = 11.5). Half of the sample presented the rs182052 polymorphism of the ADIPOQ gene. The presence of this polymorphism was associated with higher fasting insulin levels (p = 0.04), body mass index (p = 0.01), and glycated hemoglobin (A1c) (p = 0.05). However, no statistically significant associations were observed between the polymorphism and estimated average glucose or fasting glucose levels. Conclusion: In women with severe obesity, the presence of the ADIPOQ polymorphism was associated with a worse glycemic profile and greater total body fat accumulation.\n\n\n### PO—234 Comprehensive Care For a Patient With Type 2 Diabetes Mellitus In Recovery From Substance Dependence: A Case Report Using Telehealth Follow-up\nCase Presentation: A 64-year-old male patient, self-identified as Black, with incomplete secondary education and a monthly income between 4–6 minimum wages. Diagnosed with type 2 diabetes (T2D) and hypertension 10 years ago. Current medications include NPH insulin, metformin, enalapril, doxazosin, rosuvastatin, omeprazole, and aspirin. He presented with class II obesity (BMI: 35.6 kg/m2) and increased cardiometabolic risk (waist circumference: 121 cm). He reported a history of cannabis, cocaine, and tobacco use, with abstinence for the past eight years. The patient lives in a context of social vulnerability, with low adherence to laboratory testing and limited access to private healthcare. He was initially seen by a nutritionist in person and subsequently through telehealth. The intervention was part of a research project approved by the ethics committee (approval no. 7.582.254). The patient provided a written consent to publish his information. Discussion: Telehealth was adopted as a strategy to strengthen the therapeutic relationship, enable remote monitoring, and adapt care to the patient’s context. The follow-up incorporated the SMART framework to define nutritional goals that were specific, measurable, achievable, relevant, and time-bound. The guidance focused on qualitative dietary changes, including meal frequency, reduction of high-glycemic index foods, and increased fiber intake. Initially, the patient demonstrated partial adherence but relapsed due to frustration with slow results. During the second remote session, a structured checklist with reflective questions enabled a reevaluation of goals and promoted re-engagement. The use of self-report scales and photographic food records evidenced concrete improvements, such as enhanced meal quality and the spontaneous initiation of capillary glucose monitoring, as shown in Figure 1. Final Comments: This case highlights the effectiveness of telehealth combined with the SMART methodology in the nutritional care of individuals with T2D living in social vulnerability. Patient-centered strategies, based on realistic goals and supported by continuous remote follow-up, proved feasible to strengthen self-care even in the face of complex clinical and social challenges.Figure 1(abstract PO-234) Remote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\nRemote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\n\n\n### Colpo E1; Silva MD1; Meyer ND1; Limberguer JB1\nCase Presentation: A 64-year-old male patient, self-identified as Black, with incomplete secondary education and a monthly income between 4–6 minimum wages. Diagnosed with type 2 diabetes (T2D) and hypertension 10 years ago. Current medications include NPH insulin, metformin, enalapril, doxazosin, rosuvastatin, omeprazole, and aspirin. He presented with class II obesity (BMI: 35.6 kg/m2) and increased cardiometabolic risk (waist circumference: 121 cm). He reported a history of cannabis, cocaine, and tobacco use, with abstinence for the past eight years. The patient lives in a context of social vulnerability, with low adherence to laboratory testing and limited access to private healthcare. He was initially seen by a nutritionist in person and subsequently through telehealth. The intervention was part of a research project approved by the ethics committee (approval no. 7.582.254). The patient provided a written consent to publish his information. Discussion: Telehealth was adopted as a strategy to strengthen the therapeutic relationship, enable remote monitoring, and adapt care to the patient’s context. The follow-up incorporated the SMART framework to define nutritional goals that were specific, measurable, achievable, relevant, and time-bound. The guidance focused on qualitative dietary changes, including meal frequency, reduction of high-glycemic index foods, and increased fiber intake. Initially, the patient demonstrated partial adherence but relapsed due to frustration with slow results. During the second remote session, a structured checklist with reflective questions enabled a reevaluation of goals and promoted re-engagement. The use of self-report scales and photographic food records evidenced concrete improvements, such as enhanced meal quality and the spontaneous initiation of capillary glucose monitoring, as shown in Figure 1. Final Comments: This case highlights the effectiveness of telehealth combined with the SMART methodology in the nutritional care of individuals with T2D living in social vulnerability. Patient-centered strategies, based on realistic goals and supported by continuous remote follow-up, proved feasible to strengthen self-care even in the face of complex clinical and social challenges.Figure 1(abstract PO-234) Remote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\nRemote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\n\n\n### (1) Universidade Franciscana, Santa Maria, RS, Brasil\nCase Presentation: A 64-year-old male patient, self-identified as Black, with incomplete secondary education and a monthly income between 4–6 minimum wages. Diagnosed with type 2 diabetes (T2D) and hypertension 10 years ago. Current medications include NPH insulin, metformin, enalapril, doxazosin, rosuvastatin, omeprazole, and aspirin. He presented with class II obesity (BMI: 35.6 kg/m2) and increased cardiometabolic risk (waist circumference: 121 cm). He reported a history of cannabis, cocaine, and tobacco use, with abstinence for the past eight years. The patient lives in a context of social vulnerability, with low adherence to laboratory testing and limited access to private healthcare. He was initially seen by a nutritionist in person and subsequently through telehealth. The intervention was part of a research project approved by the ethics committee (approval no. 7.582.254). The patient provided a written consent to publish his information. Discussion: Telehealth was adopted as a strategy to strengthen the therapeutic relationship, enable remote monitoring, and adapt care to the patient’s context. The follow-up incorporated the SMART framework to define nutritional goals that were specific, measurable, achievable, relevant, and time-bound. The guidance focused on qualitative dietary changes, including meal frequency, reduction of high-glycemic index foods, and increased fiber intake. Initially, the patient demonstrated partial adherence but relapsed due to frustration with slow results. During the second remote session, a structured checklist with reflective questions enabled a reevaluation of goals and promoted re-engagement. The use of self-report scales and photographic food records evidenced concrete improvements, such as enhanced meal quality and the spontaneous initiation of capillary glucose monitoring, as shown in Figure 1. Final Comments: This case highlights the effectiveness of telehealth combined with the SMART methodology in the nutritional care of individuals with T2D living in social vulnerability. Patient-centered strategies, based on realistic goals and supported by continuous remote follow-up, proved feasible to strengthen self-care even in the face of complex clinical and social challenges.Figure 1(abstract PO-234) Remote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\nRemote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—234\nCase Presentation: A 64-year-old male patient, self-identified as Black, with incomplete secondary education and a monthly income between 4–6 minimum wages. Diagnosed with type 2 diabetes (T2D) and hypertension 10 years ago. Current medications include NPH insulin, metformin, enalapril, doxazosin, rosuvastatin, omeprazole, and aspirin. He presented with class II obesity (BMI: 35.6 kg/m2) and increased cardiometabolic risk (waist circumference: 121 cm). He reported a history of cannabis, cocaine, and tobacco use, with abstinence for the past eight years. The patient lives in a context of social vulnerability, with low adherence to laboratory testing and limited access to private healthcare. He was initially seen by a nutritionist in person and subsequently through telehealth. The intervention was part of a research project approved by the ethics committee (approval no. 7.582.254). The patient provided a written consent to publish his information. Discussion: Telehealth was adopted as a strategy to strengthen the therapeutic relationship, enable remote monitoring, and adapt care to the patient’s context. The follow-up incorporated the SMART framework to define nutritional goals that were specific, measurable, achievable, relevant, and time-bound. The guidance focused on qualitative dietary changes, including meal frequency, reduction of high-glycemic index foods, and increased fiber intake. Initially, the patient demonstrated partial adherence but relapsed due to frustration with slow results. During the second remote session, a structured checklist with reflective questions enabled a reevaluation of goals and promoted re-engagement. The use of self-report scales and photographic food records evidenced concrete improvements, such as enhanced meal quality and the spontaneous initiation of capillary glucose monitoring, as shown in Figure 1. Final Comments: This case highlights the effectiveness of telehealth combined with the SMART methodology in the nutritional care of individuals with T2D living in social vulnerability. Patient-centered strategies, based on realistic goals and supported by continuous remote follow-up, proved feasible to strengthen self-care even in the face of complex clinical and social challenges.Figure 1(abstract PO-234) Remote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\nRemote follow-up records. A) Photographs of three different lunches featuring vegetables, eggs, roots, and legumes. B) Fasting capillary glucose measurements (three days, morning readings) without hypoglycemic medications\n\n\n### PO—235 Correlation Between Culinary Skills and eating Behavior of People With Type 2 Diabetes Mellitus Followed in a Public Hospital in The Amazon Region\nIntroduction: Proper management of type 2 diabetes relies on the adoption of healthy eating behaviors, as recommended by the Brazilian Diabetes Society. Cooking skills can influence the expression of disordered eating patterns, thus impacting glycemic control. Objective: To analyze the correlation between cooking skills and eating behavior in people with type 2 diabetes receiving care at a hospital in the Amazon Region Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least one year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Three-Factor Eating Questionnaire (TFEQ-21) were applied. Data were analyzed using SPSS version 24, with a statistical significance level of p<0,05. The project was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form Results: Among the 157 adults evaluated, most were women (72,6%), with a mean age of 54,7±7,3 years and a mean duration of diagnosis of 11±8,3 years. Uncontrolled eating showed a negative correlation with the cooking attitude score (r=–0,206; p=0,009) and self-efficacy in vegetable consumption (r=–0,274; p=0,001), suggesting that higher uncontrolled eating is related to lower confidence and less positive attitudes toward healthy eating. Cognitive restraint showed a positive correlation with self-efficacy in vegetable consumption (r=0,261; p=0,001) and with the overall cooking skills score (r=0,147; p=0,045), indicating that greater intentional control over food intake is associated with higher confidence in preparing and consuming vegetables, as well as with more developed cooking skills. Emotional eating was positively correlated with vegetable availability (r=0,168; p=0,027), knowledge of culinary terms and techniques (r=0,189; p=0,015), and cooking self-efficacy (r=0,208; p=0,008), suggesting that people with greater emotional involvement with food tend to have more healthy foods at home, know how to prepare them, and feel more capable of cooking. Conclusion: The findings show a relationship between cooking skills and eating behavior, reinforcing the importance of culinary interventions as strategies to promote food autonomy and self-care among people with diabetes\n\n\n### Gomes DL1; Vilacorta GCS1; Sarah Emili Cruz da Silva1; Siqueira NC1; Lima APV1; Coelho RKS1; Oliveira GES1; Gonçalves KCC1; Inete MB1; Souza YDES1; Carvalhal MML1\nIntroduction: Proper management of type 2 diabetes relies on the adoption of healthy eating behaviors, as recommended by the Brazilian Diabetes Society. Cooking skills can influence the expression of disordered eating patterns, thus impacting glycemic control. Objective: To analyze the correlation between cooking skills and eating behavior in people with type 2 diabetes receiving care at a hospital in the Amazon Region Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least one year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Three-Factor Eating Questionnaire (TFEQ-21) were applied. Data were analyzed using SPSS version 24, with a statistical significance level of p<0,05. The project was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form Results: Among the 157 adults evaluated, most were women (72,6%), with a mean age of 54,7±7,3 years and a mean duration of diagnosis of 11±8,3 years. Uncontrolled eating showed a negative correlation with the cooking attitude score (r=–0,206; p=0,009) and self-efficacy in vegetable consumption (r=–0,274; p=0,001), suggesting that higher uncontrolled eating is related to lower confidence and less positive attitudes toward healthy eating. Cognitive restraint showed a positive correlation with self-efficacy in vegetable consumption (r=0,261; p=0,001) and with the overall cooking skills score (r=0,147; p=0,045), indicating that greater intentional control over food intake is associated with higher confidence in preparing and consuming vegetables, as well as with more developed cooking skills. Emotional eating was positively correlated with vegetable availability (r=0,168; p=0,027), knowledge of culinary terms and techniques (r=0,189; p=0,015), and cooking self-efficacy (r=0,208; p=0,008), suggesting that people with greater emotional involvement with food tend to have more healthy foods at home, know how to prepare them, and feel more capable of cooking. Conclusion: The findings show a relationship between cooking skills and eating behavior, reinforcing the importance of culinary interventions as strategies to promote food autonomy and self-care among people with diabetes\n\n\n### (1) Universidade Federal do Pará, Belém, PA, Brasil\nIntroduction: Proper management of type 2 diabetes relies on the adoption of healthy eating behaviors, as recommended by the Brazilian Diabetes Society. Cooking skills can influence the expression of disordered eating patterns, thus impacting glycemic control. Objective: To analyze the correlation between cooking skills and eating behavior in people with type 2 diabetes receiving care at a hospital in the Amazon Region Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least one year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Three-Factor Eating Questionnaire (TFEQ-21) were applied. Data were analyzed using SPSS version 24, with a statistical significance level of p<0,05. The project was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form Results: Among the 157 adults evaluated, most were women (72,6%), with a mean age of 54,7±7,3 years and a mean duration of diagnosis of 11±8,3 years. Uncontrolled eating showed a negative correlation with the cooking attitude score (r=–0,206; p=0,009) and self-efficacy in vegetable consumption (r=–0,274; p=0,001), suggesting that higher uncontrolled eating is related to lower confidence and less positive attitudes toward healthy eating. Cognitive restraint showed a positive correlation with self-efficacy in vegetable consumption (r=0,261; p=0,001) and with the overall cooking skills score (r=0,147; p=0,045), indicating that greater intentional control over food intake is associated with higher confidence in preparing and consuming vegetables, as well as with more developed cooking skills. Emotional eating was positively correlated with vegetable availability (r=0,168; p=0,027), knowledge of culinary terms and techniques (r=0,189; p=0,015), and cooking self-efficacy (r=0,208; p=0,008), suggesting that people with greater emotional involvement with food tend to have more healthy foods at home, know how to prepare them, and feel more capable of cooking. Conclusion: The findings show a relationship between cooking skills and eating behavior, reinforcing the importance of culinary interventions as strategies to promote food autonomy and self-care among people with diabetes\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—235\nIntroduction: Proper management of type 2 diabetes relies on the adoption of healthy eating behaviors, as recommended by the Brazilian Diabetes Society. Cooking skills can influence the expression of disordered eating patterns, thus impacting glycemic control. Objective: To analyze the correlation between cooking skills and eating behavior in people with type 2 diabetes receiving care at a hospital in the Amazon Region Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed with type 2 diabetes for at least one year. The Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Three-Factor Eating Questionnaire (TFEQ-21) were applied. Data were analyzed using SPSS version 24, with a statistical significance level of p<0,05. The project was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form Results: Among the 157 adults evaluated, most were women (72,6%), with a mean age of 54,7±7,3 years and a mean duration of diagnosis of 11±8,3 years. Uncontrolled eating showed a negative correlation with the cooking attitude score (r=–0,206; p=0,009) and self-efficacy in vegetable consumption (r=–0,274; p=0,001), suggesting that higher uncontrolled eating is related to lower confidence and less positive attitudes toward healthy eating. Cognitive restraint showed a positive correlation with self-efficacy in vegetable consumption (r=0,261; p=0,001) and with the overall cooking skills score (r=0,147; p=0,045), indicating that greater intentional control over food intake is associated with higher confidence in preparing and consuming vegetables, as well as with more developed cooking skills. Emotional eating was positively correlated with vegetable availability (r=0,168; p=0,027), knowledge of culinary terms and techniques (r=0,189; p=0,015), and cooking self-efficacy (r=0,208; p=0,008), suggesting that people with greater emotional involvement with food tend to have more healthy foods at home, know how to prepare them, and feel more capable of cooking. Conclusion: The findings show a relationship between cooking skills and eating behavior, reinforcing the importance of culinary interventions as strategies to promote food autonomy and self-care among people with diabetes\n\n\n### PO—236 Correlation Between Sleep Quality And Glycemic Control in Physically Active And Sedentary Women With Type 2 Diabetes\nIntroduction: Sleep quality may directly affect glycemic control, particularly in individuals with type 2 diabetes. It is well established that physical exercise improves both sleep quality and glycemic regulation. However, it is important to understand how these variables interact in women with type 2 diabetes. Objective: This study aimed to examine the correlation between sleep quality and glycemic control in physically active and sedentary women with type 2 diabetes. Methods: This cross-sectional study was conducted at a public university. A total of 37 women over 60 years old participated and were divided into two groups: G1 – Active (19 women participating in a supervised physical exercise program for diabetics for over six months, three times per week), and G2 – Sedentary (18 women who did not engage in physical exercise). Sleep quality was assessed using the Pittsburgh Sleep Quality Index (PSQI), and capillary blood glucose was measured on the same day the questionnaire was administered. Pearson’s correlation was used for statistical analysis, with significance set at p ≤ 0.05. Results: No statistically significant correlation was found between sleep quality and glycemic control. However, a tendency toward better sleep quality scores was observed in the active group (5.95 ± 3.8) compared to the sedentary group (6.89 ± 3.0). Conclusion: In conclusion, although no significant correlation was observed between sleep quality and glycemic control, physically active women exhibited better sleep quality scores than their sedentary counterparts.\n\n\n### Xavier MF1; Silva NRAC1; Souza AM1; Souza LSS1; Torres CBP1; Vasconcelos AR1; Ribeiro JNS1; Costa KB1; Cruz PWS1; Vancea DMM1\nIntroduction: Sleep quality may directly affect glycemic control, particularly in individuals with type 2 diabetes. It is well established that physical exercise improves both sleep quality and glycemic regulation. However, it is important to understand how these variables interact in women with type 2 diabetes. Objective: This study aimed to examine the correlation between sleep quality and glycemic control in physically active and sedentary women with type 2 diabetes. Methods: This cross-sectional study was conducted at a public university. A total of 37 women over 60 years old participated and were divided into two groups: G1 – Active (19 women participating in a supervised physical exercise program for diabetics for over six months, three times per week), and G2 – Sedentary (18 women who did not engage in physical exercise). Sleep quality was assessed using the Pittsburgh Sleep Quality Index (PSQI), and capillary blood glucose was measured on the same day the questionnaire was administered. Pearson’s correlation was used for statistical analysis, with significance set at p ≤ 0.05. Results: No statistically significant correlation was found between sleep quality and glycemic control. However, a tendency toward better sleep quality scores was observed in the active group (5.95 ± 3.8) compared to the sedentary group (6.89 ± 3.0). Conclusion: In conclusion, although no significant correlation was observed between sleep quality and glycemic control, physically active women exhibited better sleep quality scores than their sedentary counterparts.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil\nIntroduction: Sleep quality may directly affect glycemic control, particularly in individuals with type 2 diabetes. It is well established that physical exercise improves both sleep quality and glycemic regulation. However, it is important to understand how these variables interact in women with type 2 diabetes. Objective: This study aimed to examine the correlation between sleep quality and glycemic control in physically active and sedentary women with type 2 diabetes. Methods: This cross-sectional study was conducted at a public university. A total of 37 women over 60 years old participated and were divided into two groups: G1 – Active (19 women participating in a supervised physical exercise program for diabetics for over six months, three times per week), and G2 – Sedentary (18 women who did not engage in physical exercise). Sleep quality was assessed using the Pittsburgh Sleep Quality Index (PSQI), and capillary blood glucose was measured on the same day the questionnaire was administered. Pearson’s correlation was used for statistical analysis, with significance set at p ≤ 0.05. Results: No statistically significant correlation was found between sleep quality and glycemic control. However, a tendency toward better sleep quality scores was observed in the active group (5.95 ± 3.8) compared to the sedentary group (6.89 ± 3.0). Conclusion: In conclusion, although no significant correlation was observed between sleep quality and glycemic control, physically active women exhibited better sleep quality scores than their sedentary counterparts.\n\n\n### Diabetology & Metabolic Syndrome 2026:PO—236\nIntroduction: Sleep quality may directly affect glycemic control, particularly in individuals with type 2 diabetes. It is well established that physical exercise improves both sleep quality and glycemic regulation. However, it is important to understand how these variables interact in women with type 2 diabetes. Objective: This study aimed to examine the correlation between sleep quality and glycemic control in physically active and sedentary women with type 2 diabetes. Methods: This cross-sectional study was conducted at a public university. A total of 37 women over 60 years old participated and were divided into two groups: G1 – Active (19 women participating in a supervised physical exercise program for diabetics for over six months, three times per week), and G2 – Sedentary (18 women who did not engage in physical exercise). Sleep quality was assessed using the Pittsburgh Sleep Quality Index (PSQI), and capillary blood glucose was measured on the same day the questionnaire was administered. Pearson’s correlation was used for statistical analysis, with significance set at p ≤ 0.05. Results: No statistically significant correlation was found between sleep quality and glycemic control. However, a tendency toward better sleep quality scores was observed in the active group (5.95 ± 3.8) compared to the sedentary group (6.89 ± 3.0). Conclusion: In conclusion, although no significant correlation was observed between sleep quality and glycemic control, physically active women exhibited better sleep quality scores than their sedentary counterparts.\n\n\n### PO—237 Depression, Anxiety, and Stress in Individuals with Type 2 Diabetes Mellitus: A Cross-Sectional Study in Primary Care\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is a chronic disease with high global prevalence, requiring continuous lifestyle changes and strict clinical follow-up. In addition to its physiological impacts, T2DM affects individuals’ emotional health, fostering the development of symptoms such as depression, anxiety, and stress. Understanding the factors associated with mental health in this population is essential for comprehensive care. Objective: To investigate clinical and emotional factors associated with symptoms of depression, anxiety, and stress in individuals with T2DM. Methods: This is a cross-sectional, quantitative, and explanatory study conducted with 50 participants treated in primary health care in a municipality in the interior of Rio Grande do Sul, Brazil. A sociodemographic and clinical questionnaire and the Depression, Anxiety, and Stress Scale (DASS-21) were applied. Statistical analysis (SPSS 25.0) included descriptive statistics, Shapiro-Wilk test, Student’s t-test, and chi-square test (p<0.05). Results: A high prevalence of symptoms of depression, anxiety, and stress was observed in the studied population, as shown in Table 1. There was an association between depressive symptoms and sex (p=0.008), with higher prevalence among women (45.7%) compared to men (6.7%). Anxiety was also more prevalent among women (68.3%) than men (33.3%), with a significant association with sex (p=0.021). Anxiety was more frequent in individuals using insulin (p=0.019) and psychiatric medications (p=0.015). Depression was also associated with the use of psychiatric medications (p=0.012). No significant association was found between stress and the analyzed variables. The findings reinforce that T2DM care must go beyond glycemic control, considering the emotional repercussions of the disease. Women and individuals using insulin or psychiatric medications appear to be more vulnerable to psychological distress. Including mental health in primary care follow-up is essential for treatment adherence and quality of life. Conclusion: The results point to the need for expanded care strategies that systematically integrate psychological assessment and multiprofessional interventions. The management of T2DM should be understood as a process involving both clinical and emotional aspects, requiring a humanized and comprehensive approach.Table 1 (abstract PO-237)Relationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\nRelationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\n\n\n### Rodrigues LC1; Silva MD1; Rocha VM1; Marques CT1; Correa DM1; Colpo E1\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is a chronic disease with high global prevalence, requiring continuous lifestyle changes and strict clinical follow-up. In addition to its physiological impacts, T2DM affects individuals’ emotional health, fostering the development of symptoms such as depression, anxiety, and stress. Understanding the factors associated with mental health in this population is essential for comprehensive care. Objective: To investigate clinical and emotional factors associated with symptoms of depression, anxiety, and stress in individuals with T2DM. Methods: This is a cross-sectional, quantitative, and explanatory study conducted with 50 participants treated in primary health care in a municipality in the interior of Rio Grande do Sul, Brazil. A sociodemographic and clinical questionnaire and the Depression, Anxiety, and Stress Scale (DASS-21) were applied. Statistical analysis (SPSS 25.0) included descriptive statistics, Shapiro-Wilk test, Student’s t-test, and chi-square test (p<0.05). Results: A high prevalence of symptoms of depression, anxiety, and stress was observed in the studied population, as shown in Table 1. There was an association between depressive symptoms and sex (p=0.008), with higher prevalence among women (45.7%) compared to men (6.7%). Anxiety was also more prevalent among women (68.3%) than men (33.3%), with a significant association with sex (p=0.021). Anxiety was more frequent in individuals using insulin (p=0.019) and psychiatric medications (p=0.015). Depression was also associated with the use of psychiatric medications (p=0.012). No significant association was found between stress and the analyzed variables. The findings reinforce that T2DM care must go beyond glycemic control, considering the emotional repercussions of the disease. Women and individuals using insulin or psychiatric medications appear to be more vulnerable to psychological distress. Including mental health in primary care follow-up is essential for treatment adherence and quality of life. Conclusion: The results point to the need for expanded care strategies that systematically integrate psychological assessment and multiprofessional interventions. The management of T2DM should be understood as a process involving both clinical and emotional aspects, requiring a humanized and comprehensive approach.Table 1 (abstract PO-237)Relationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\nRelationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\n\n\n### (1) Universidade Franciscana, Santa Maria, RS, Brasil\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is a chronic disease with high global prevalence, requiring continuous lifestyle changes and strict clinical follow-up. In addition to its physiological impacts, T2DM affects individuals’ emotional health, fostering the development of symptoms such as depression, anxiety, and stress. Understanding the factors associated with mental health in this population is essential for comprehensive care. Objective: To investigate clinical and emotional factors associated with symptoms of depression, anxiety, and stress in individuals with T2DM. Methods: This is a cross-sectional, quantitative, and explanatory study conducted with 50 participants treated in primary health care in a municipality in the interior of Rio Grande do Sul, Brazil. A sociodemographic and clinical questionnaire and the Depression, Anxiety, and Stress Scale (DASS-21) were applied. Statistical analysis (SPSS 25.0) included descriptive statistics, Shapiro-Wilk test, Student’s t-test, and chi-square test (p<0.05). Results: A high prevalence of symptoms of depression, anxiety, and stress was observed in the studied population, as shown in Table 1. There was an association between depressive symptoms and sex (p=0.008), with higher prevalence among women (45.7%) compared to men (6.7%). Anxiety was also more prevalent among women (68.3%) than men (33.3%), with a significant association with sex (p=0.021). Anxiety was more frequent in individuals using insulin (p=0.019) and psychiatric medications (p=0.015). Depression was also associated with the use of psychiatric medications (p=0.012). No significant association was found between stress and the analyzed variables. The findings reinforce that T2DM care must go beyond glycemic control, considering the emotional repercussions of the disease. Women and individuals using insulin or psychiatric medications appear to be more vulnerable to psychological distress. Including mental health in primary care follow-up is essential for treatment adherence and quality of life. Conclusion: The results point to the need for expanded care strategies that systematically integrate psychological assessment and multiprofessional interventions. The management of T2DM should be understood as a process involving both clinical and emotional aspects, requiring a humanized and comprehensive approach.Table 1 (abstract PO-237)Relationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\nRelationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—237\nIntroduction: Type 2 Diabetes Mellitus (T2DM) is a chronic disease with high global prevalence, requiring continuous lifestyle changes and strict clinical follow-up. In addition to its physiological impacts, T2DM affects individuals’ emotional health, fostering the development of symptoms such as depression, anxiety, and stress. Understanding the factors associated with mental health in this population is essential for comprehensive care. Objective: To investigate clinical and emotional factors associated with symptoms of depression, anxiety, and stress in individuals with T2DM. Methods: This is a cross-sectional, quantitative, and explanatory study conducted with 50 participants treated in primary health care in a municipality in the interior of Rio Grande do Sul, Brazil. A sociodemographic and clinical questionnaire and the Depression, Anxiety, and Stress Scale (DASS-21) were applied. Statistical analysis (SPSS 25.0) included descriptive statistics, Shapiro-Wilk test, Student’s t-test, and chi-square test (p<0.05). Results: A high prevalence of symptoms of depression, anxiety, and stress was observed in the studied population, as shown in Table 1. There was an association between depressive symptoms and sex (p=0.008), with higher prevalence among women (45.7%) compared to men (6.7%). Anxiety was also more prevalent among women (68.3%) than men (33.3%), with a significant association with sex (p=0.021). Anxiety was more frequent in individuals using insulin (p=0.019) and psychiatric medications (p=0.015). Depression was also associated with the use of psychiatric medications (p=0.012). No significant association was found between stress and the analyzed variables. The findings reinforce that T2DM care must go beyond glycemic control, considering the emotional repercussions of the disease. Women and individuals using insulin or psychiatric medications appear to be more vulnerable to psychological distress. Including mental health in primary care follow-up is essential for treatment adherence and quality of life. Conclusion: The results point to the need for expanded care strategies that systematically integrate psychological assessment and multiprofessional interventions. The management of T2DM should be understood as a process involving both clinical and emotional aspects, requiring a humanized and comprehensive approach.Table 1 (abstract PO-237)Relationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\nRelationships Between Depression, Anxiety, and Stress and Clinical Factors in Type 2 Diabetes Mellitus\n\n\n### PO—238 Discrepancy Between Theoretical Diabetes Knowledge and Glycemic Outcomes in Low-Income Individuals Living With Type 1 Diabetes\nIntroduction: Glycemic results are linked to disease-specific knowledge in type 1 diabetes (T1D), which is essential for effective self-management. Understanding patients’ knowledge levels can guide targeted interventions to address critical gaps, thereby enhancing treatment adherence and autonomy in diabetes care. Objective: To evaluate diabetes-specific knowledge among individuals with T1D and identify factors associated with higher knowledge. Methods: This cross-sectional study enrolled 46 participants with T1D and was conducted at a public outpatient clinic in Sergipe, Brazil. Sociodemographic and clinical data was obtained through structured interviews. Diabetes-specific knowledge was assessed through the validated Diabetes Knowledge Assessment (DKN-A). Knowledge scores were categorized as low (≤8 points) or high (>8 points) based on previously established cutoffs. Results: The cohort comprised predominantly young adults (median age 22.5 years, range 6-60) with female predominance (69.6%), 56.5% of mixed race, 48.7% had completed secondary education, 65.9% lived in the countryside and 69.6% had a low socioeconomic background (earning 1 to 2 minimum wages). Diabetes duration was evenly distributed: 30.4% had been diagnosed <5 years, 34.8% for 5-10 years, and 34.8% for >10 years. Glycemic level was suboptimal with mean HbA1c of 9.2 + 1.8%, and only 13% of participants achieved target Hba1C ≤ 7%. All participants used basal-bolus analog insulin regimens, total daily dose of 0.8 ± 0.3 IU/kg (basal: 41.6 + 8.2%). While 80.4% demonstrated high diabetes knowledge, critical gaps emerged in nutritional understanding, since approximately 50% answered food groups and substitutions questions incorrectly. Notably, carbohydrate counting practices was reported by 32.6% of participants and showed significant association with higher knowledge scores (p=0.021). On the other hand, age, sex and family income were not associated with theoretical knowledge. Conclusion: Despite optimized treatment regimens and adequate theoretical knowledge, glycemic levels remained suboptimal in this T1D group. These findings reveal a paradoxical gap between generally good diabetes knowledge and glycemic outcomes, suggesting that structural and contextual barriers, rather than knowledge deficits, may explain the persistent disconnect between theory and practice in low-income populations.\n\n\n### Machado MLP1; Gama FG2; Silva VDS2; Lima LPS3; Freitas JPA3; Monteiro NC4; Martins LM3; Varela MG1; Silva DG2; Santana NO4\nIntroduction: Glycemic results are linked to disease-specific knowledge in type 1 diabetes (T1D), which is essential for effective self-management. Understanding patients’ knowledge levels can guide targeted interventions to address critical gaps, thereby enhancing treatment adherence and autonomy in diabetes care. Objective: To evaluate diabetes-specific knowledge among individuals with T1D and identify factors associated with higher knowledge. Methods: This cross-sectional study enrolled 46 participants with T1D and was conducted at a public outpatient clinic in Sergipe, Brazil. Sociodemographic and clinical data was obtained through structured interviews. Diabetes-specific knowledge was assessed through the validated Diabetes Knowledge Assessment (DKN-A). Knowledge scores were categorized as low (≤8 points) or high (>8 points) based on previously established cutoffs. Results: The cohort comprised predominantly young adults (median age 22.5 years, range 6-60) with female predominance (69.6%), 56.5% of mixed race, 48.7% had completed secondary education, 65.9% lived in the countryside and 69.6% had a low socioeconomic background (earning 1 to 2 minimum wages). Diabetes duration was evenly distributed: 30.4% had been diagnosed <5 years, 34.8% for 5-10 years, and 34.8% for >10 years. Glycemic level was suboptimal with mean HbA1c of 9.2 + 1.8%, and only 13% of participants achieved target Hba1C ≤ 7%. All participants used basal-bolus analog insulin regimens, total daily dose of 0.8 ± 0.3 IU/kg (basal: 41.6 + 8.2%). While 80.4% demonstrated high diabetes knowledge, critical gaps emerged in nutritional understanding, since approximately 50% answered food groups and substitutions questions incorrectly. Notably, carbohydrate counting practices was reported by 32.6% of participants and showed significant association with higher knowledge scores (p=0.021). On the other hand, age, sex and family income were not associated with theoretical knowledge. Conclusion: Despite optimized treatment regimens and adequate theoretical knowledge, glycemic levels remained suboptimal in this T1D group. These findings reveal a paradoxical gap between generally good diabetes knowledge and glycemic outcomes, suggesting that structural and contextual barriers, rather than knowledge deficits, may explain the persistent disconnect between theory and practice in low-income populations.\n\n\n### (1) Private Practice- Aracajú, SE, Brasil; (2) Post-graduate Program in Nutrition Science, Federal University of Sergipe, São Cristovão, SE, Brasil; (3) Department of Medicine, Federal University of Sergipe, Aracajú, SE, Brasil; (4) Post-graduate Program in Health Sciences, Federal University of Sergipe, Aracajú, SE, Brasil; (5) Post-graduate Program in Nutrition Science, Federal University of Sergipe, São Cristóvão, SE, Brasil; (6) Post-Graduate Program in Health Sciences, Federal University of Sergipe, Aracajú, SE, Brasil\nIntroduction: Glycemic results are linked to disease-specific knowledge in type 1 diabetes (T1D), which is essential for effective self-management. Understanding patients’ knowledge levels can guide targeted interventions to address critical gaps, thereby enhancing treatment adherence and autonomy in diabetes care. Objective: To evaluate diabetes-specific knowledge among individuals with T1D and identify factors associated with higher knowledge. Methods: This cross-sectional study enrolled 46 participants with T1D and was conducted at a public outpatient clinic in Sergipe, Brazil. Sociodemographic and clinical data was obtained through structured interviews. Diabetes-specific knowledge was assessed through the validated Diabetes Knowledge Assessment (DKN-A). Knowledge scores were categorized as low (≤8 points) or high (>8 points) based on previously established cutoffs. Results: The cohort comprised predominantly young adults (median age 22.5 years, range 6-60) with female predominance (69.6%), 56.5% of mixed race, 48.7% had completed secondary education, 65.9% lived in the countryside and 69.6% had a low socioeconomic background (earning 1 to 2 minimum wages). Diabetes duration was evenly distributed: 30.4% had been diagnosed <5 years, 34.8% for 5-10 years, and 34.8% for >10 years. Glycemic level was suboptimal with mean HbA1c of 9.2 + 1.8%, and only 13% of participants achieved target Hba1C ≤ 7%. All participants used basal-bolus analog insulin regimens, total daily dose of 0.8 ± 0.3 IU/kg (basal: 41.6 + 8.2%). While 80.4% demonstrated high diabetes knowledge, critical gaps emerged in nutritional understanding, since approximately 50% answered food groups and substitutions questions incorrectly. Notably, carbohydrate counting practices was reported by 32.6% of participants and showed significant association with higher knowledge scores (p=0.021). On the other hand, age, sex and family income were not associated with theoretical knowledge. Conclusion: Despite optimized treatment regimens and adequate theoretical knowledge, glycemic levels remained suboptimal in this T1D group. These findings reveal a paradoxical gap between generally good diabetes knowledge and glycemic outcomes, suggesting that structural and contextual barriers, rather than knowledge deficits, may explain the persistent disconnect between theory and practice in low-income populations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—238\nIntroduction: Glycemic results are linked to disease-specific knowledge in type 1 diabetes (T1D), which is essential for effective self-management. Understanding patients’ knowledge levels can guide targeted interventions to address critical gaps, thereby enhancing treatment adherence and autonomy in diabetes care. Objective: To evaluate diabetes-specific knowledge among individuals with T1D and identify factors associated with higher knowledge. Methods: This cross-sectional study enrolled 46 participants with T1D and was conducted at a public outpatient clinic in Sergipe, Brazil. Sociodemographic and clinical data was obtained through structured interviews. Diabetes-specific knowledge was assessed through the validated Diabetes Knowledge Assessment (DKN-A). Knowledge scores were categorized as low (≤8 points) or high (>8 points) based on previously established cutoffs. Results: The cohort comprised predominantly young adults (median age 22.5 years, range 6-60) with female predominance (69.6%), 56.5% of mixed race, 48.7% had completed secondary education, 65.9% lived in the countryside and 69.6% had a low socioeconomic background (earning 1 to 2 minimum wages). Diabetes duration was evenly distributed: 30.4% had been diagnosed <5 years, 34.8% for 5-10 years, and 34.8% for >10 years. Glycemic level was suboptimal with mean HbA1c of 9.2 + 1.8%, and only 13% of participants achieved target Hba1C ≤ 7%. All participants used basal-bolus analog insulin regimens, total daily dose of 0.8 ± 0.3 IU/kg (basal: 41.6 + 8.2%). While 80.4% demonstrated high diabetes knowledge, critical gaps emerged in nutritional understanding, since approximately 50% answered food groups and substitutions questions incorrectly. Notably, carbohydrate counting practices was reported by 32.6% of participants and showed significant association with higher knowledge scores (p=0.021). On the other hand, age, sex and family income were not associated with theoretical knowledge. Conclusion: Despite optimized treatment regimens and adequate theoretical knowledge, glycemic levels remained suboptimal in this T1D group. These findings reveal a paradoxical gap between generally good diabetes knowledge and glycemic outcomes, suggesting that structural and contextual barriers, rather than knowledge deficits, may explain the persistent disconnect between theory and practice in low-income populations.\n\n\n### PO—239 Effects Of a Resistance Training Program With Elastic Bands In Individuals With Type 2 Diabetes\nIntroduction: Physical exercise is a key component in the treatment of type 2 diabetes (T2D). Among the different exercise modalities, resistance training can be performed using machines, body weight, free weights, or elastic bands. Objective: This study aimed to investigate the effect of a resistance training program using elastic bands on glycemic control and blood pressure in individuals with T2D. Methods: This pre-experimental study employed a convenience sample. Participants were recruited from a supervised physical exercise program for individuals with diabetes at a public university. Eight sedentary individuals with T2D, of both sexes, with a mean age of 66.7 ± 9.0 years, participated in the study. Data collection took place in a Biodynamics Laboratory. The intervention lasted seven weeks, with two 60-minute sessions per week. Each session consisted of capillary blood glucose and blood pressure monitoring (pre and post) and Elastic Band Training (EBT), which was structured into three stages: 1) warm-up with mobility and stretching exercises; 2) main phase with eight resistance exercises using elastic bands; and 3) cool-down with body awareness activities. Load adjustments were made according to the resistance level of the elastic bands: light, medium, strong, and extra strong. Capillary glucose was measured using a glucometer, lancets, and test strips. Blood pressure was measured using an automatic device. A normality test was conducted, and the Wilcoxon test was used for comparisons. The significance level was set at p ≤ 0.05. Results: After 14 EBT sessions, participants showed a significant reduction in capillary blood glucose (133.6 ± 35.0 mg/dL vs. 105.2 ± 22.9 mg/dL; p≤0.001), systolic blood pressure (128.9 ± 15.2 mmHg vs. 125.0 ± 16.1 mmHg; p=0.009), and diastolic blood pressure (78.8 ± 9.54 mmHg vs. 77.1 ± 9.8 mmHg; p=0.008). Conclusion: It is concluded that EBT was effective in improving glycemic control and reducing systolic and diastolic blood pressure in individuals with type 2 diabetes who participated in this intervention.\n\n\n### Souza LSS1; Souza AM1; Cruz ATM1; Vasconcelos AR1; Torres CBP1; Ribeiro JNS1; Costa KB1; Cruz PWS1; Assis Júnior RF1; Vancea DMM1\nIntroduction: Physical exercise is a key component in the treatment of type 2 diabetes (T2D). Among the different exercise modalities, resistance training can be performed using machines, body weight, free weights, or elastic bands. Objective: This study aimed to investigate the effect of a resistance training program using elastic bands on glycemic control and blood pressure in individuals with T2D. Methods: This pre-experimental study employed a convenience sample. Participants were recruited from a supervised physical exercise program for individuals with diabetes at a public university. Eight sedentary individuals with T2D, of both sexes, with a mean age of 66.7 ± 9.0 years, participated in the study. Data collection took place in a Biodynamics Laboratory. The intervention lasted seven weeks, with two 60-minute sessions per week. Each session consisted of capillary blood glucose and blood pressure monitoring (pre and post) and Elastic Band Training (EBT), which was structured into three stages: 1) warm-up with mobility and stretching exercises; 2) main phase with eight resistance exercises using elastic bands; and 3) cool-down with body awareness activities. Load adjustments were made according to the resistance level of the elastic bands: light, medium, strong, and extra strong. Capillary glucose was measured using a glucometer, lancets, and test strips. Blood pressure was measured using an automatic device. A normality test was conducted, and the Wilcoxon test was used for comparisons. The significance level was set at p ≤ 0.05. Results: After 14 EBT sessions, participants showed a significant reduction in capillary blood glucose (133.6 ± 35.0 mg/dL vs. 105.2 ± 22.9 mg/dL; p≤0.001), systolic blood pressure (128.9 ± 15.2 mmHg vs. 125.0 ± 16.1 mmHg; p=0.009), and diastolic blood pressure (78.8 ± 9.54 mmHg vs. 77.1 ± 9.8 mmHg; p=0.008). Conclusion: It is concluded that EBT was effective in improving glycemic control and reducing systolic and diastolic blood pressure in individuals with type 2 diabetes who participated in this intervention.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil\nIntroduction: Physical exercise is a key component in the treatment of type 2 diabetes (T2D). Among the different exercise modalities, resistance training can be performed using machines, body weight, free weights, or elastic bands. Objective: This study aimed to investigate the effect of a resistance training program using elastic bands on glycemic control and blood pressure in individuals with T2D. Methods: This pre-experimental study employed a convenience sample. Participants were recruited from a supervised physical exercise program for individuals with diabetes at a public university. Eight sedentary individuals with T2D, of both sexes, with a mean age of 66.7 ± 9.0 years, participated in the study. Data collection took place in a Biodynamics Laboratory. The intervention lasted seven weeks, with two 60-minute sessions per week. Each session consisted of capillary blood glucose and blood pressure monitoring (pre and post) and Elastic Band Training (EBT), which was structured into three stages: 1) warm-up with mobility and stretching exercises; 2) main phase with eight resistance exercises using elastic bands; and 3) cool-down with body awareness activities. Load adjustments were made according to the resistance level of the elastic bands: light, medium, strong, and extra strong. Capillary glucose was measured using a glucometer, lancets, and test strips. Blood pressure was measured using an automatic device. A normality test was conducted, and the Wilcoxon test was used for comparisons. The significance level was set at p ≤ 0.05. Results: After 14 EBT sessions, participants showed a significant reduction in capillary blood glucose (133.6 ± 35.0 mg/dL vs. 105.2 ± 22.9 mg/dL; p≤0.001), systolic blood pressure (128.9 ± 15.2 mmHg vs. 125.0 ± 16.1 mmHg; p=0.009), and diastolic blood pressure (78.8 ± 9.54 mmHg vs. 77.1 ± 9.8 mmHg; p=0.008). Conclusion: It is concluded that EBT was effective in improving glycemic control and reducing systolic and diastolic blood pressure in individuals with type 2 diabetes who participated in this intervention.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—239\nIntroduction: Physical exercise is a key component in the treatment of type 2 diabetes (T2D). Among the different exercise modalities, resistance training can be performed using machines, body weight, free weights, or elastic bands. Objective: This study aimed to investigate the effect of a resistance training program using elastic bands on glycemic control and blood pressure in individuals with T2D. Methods: This pre-experimental study employed a convenience sample. Participants were recruited from a supervised physical exercise program for individuals with diabetes at a public university. Eight sedentary individuals with T2D, of both sexes, with a mean age of 66.7 ± 9.0 years, participated in the study. Data collection took place in a Biodynamics Laboratory. The intervention lasted seven weeks, with two 60-minute sessions per week. Each session consisted of capillary blood glucose and blood pressure monitoring (pre and post) and Elastic Band Training (EBT), which was structured into three stages: 1) warm-up with mobility and stretching exercises; 2) main phase with eight resistance exercises using elastic bands; and 3) cool-down with body awareness activities. Load adjustments were made according to the resistance level of the elastic bands: light, medium, strong, and extra strong. Capillary glucose was measured using a glucometer, lancets, and test strips. Blood pressure was measured using an automatic device. A normality test was conducted, and the Wilcoxon test was used for comparisons. The significance level was set at p ≤ 0.05. Results: After 14 EBT sessions, participants showed a significant reduction in capillary blood glucose (133.6 ± 35.0 mg/dL vs. 105.2 ± 22.9 mg/dL; p≤0.001), systolic blood pressure (128.9 ± 15.2 mmHg vs. 125.0 ± 16.1 mmHg; p=0.009), and diastolic blood pressure (78.8 ± 9.54 mmHg vs. 77.1 ± 9.8 mmHg; p=0.008). Conclusion: It is concluded that EBT was effective in improving glycemic control and reducing systolic and diastolic blood pressure in individuals with type 2 diabetes who participated in this intervention.\n\n\n### PO—240 Effectiveness of an Educational Intervention for Diabetes Self-Care among Hospitalized Patients\nIntroduction: Diabetes mellitus (DM) has a growing global prevalence, posing a significant public health problem. In Brazil, millions of people are estimated to be affected, making health education essential for developing self-care and disease management skills. Objective: Identify knowledge gaps regarding the management and treatment of DM among hospitalized patients and evaluate the effectiveness of an educational intervention during their stay. Methods: A pre-test, post-test uncontrolled interventional study was conducted at a public hospital. Adult patients with a DM diagnosis on a basal-bolus insulin regimen and hospitalized in clinical wards were eligible. The intervention consisted of two meetings: in the first, participants completed a structured questionnaire, followed by a bedside educational session covering insulin injection technique, blood glucose monitoring, and management. In the second, they received nutritional guidance, and the questionnaire was readministered. Data were analyzed using McNemar’s exact test, comparing performance on each question. Results: The study included 90 hospitalized patients, predominantly women (71.1%), mean age 54.6 years. Most participants had primary (52.2%) education and identified as mixed-race (52.2%). Although 60% had used insulin therapy for over five years, only 11.1% had received previous endocrinological consultation. The average questionnaire score on the pre-intervention test was 35.43%, while the post-intervention score was 82.10%. There was a significant improvement in knowledge (p<0.001) for each of the 18 questions analyzed. Initial knowledge for each question was assessed by the number of patients who answered correctly before and after the intervention, represented by group A. The highest initial knowledge was found in questions about rotating injection sites (78.9%), and the action of regular (57.8%) and NPH insulin (54.4%). In contrast, the lowest knowledge was observed in questions regarding the amount of carbohydrates needed to treat hypoglycemia (7.8%), use of regular insulin dose in cases of pre-meal hypoglycemia (10%), and the recognition of pre-meal hyperglycemia (13.3%). Conclusion: The intentional use of hospitalization time with a structured educational intervention proved effective in increasing patients’ knowledge, representing a low-cost and easily reproducible strategy that could translate into treatment adherence, complication prevention, and improved quality of life.\n\n\n### Vasconcellos RCMS1; Ramalho AC2; Campos LOMC1\nIntroduction: Diabetes mellitus (DM) has a growing global prevalence, posing a significant public health problem. In Brazil, millions of people are estimated to be affected, making health education essential for developing self-care and disease management skills. Objective: Identify knowledge gaps regarding the management and treatment of DM among hospitalized patients and evaluate the effectiveness of an educational intervention during their stay. Methods: A pre-test, post-test uncontrolled interventional study was conducted at a public hospital. Adult patients with a DM diagnosis on a basal-bolus insulin regimen and hospitalized in clinical wards were eligible. The intervention consisted of two meetings: in the first, participants completed a structured questionnaire, followed by a bedside educational session covering insulin injection technique, blood glucose monitoring, and management. In the second, they received nutritional guidance, and the questionnaire was readministered. Data were analyzed using McNemar’s exact test, comparing performance on each question. Results: The study included 90 hospitalized patients, predominantly women (71.1%), mean age 54.6 years. Most participants had primary (52.2%) education and identified as mixed-race (52.2%). Although 60% had used insulin therapy for over five years, only 11.1% had received previous endocrinological consultation. The average questionnaire score on the pre-intervention test was 35.43%, while the post-intervention score was 82.10%. There was a significant improvement in knowledge (p<0.001) for each of the 18 questions analyzed. Initial knowledge for each question was assessed by the number of patients who answered correctly before and after the intervention, represented by group A. The highest initial knowledge was found in questions about rotating injection sites (78.9%), and the action of regular (57.8%) and NPH insulin (54.4%). In contrast, the lowest knowledge was observed in questions regarding the amount of carbohydrates needed to treat hypoglycemia (7.8%), use of regular insulin dose in cases of pre-meal hypoglycemia (10%), and the recognition of pre-meal hyperglycemia (13.3%). Conclusion: The intentional use of hospitalization time with a structured educational intervention proved effective in increasing patients’ knowledge, representing a low-cost and easily reproducible strategy that could translate into treatment adherence, complication prevention, and improved quality of life.\n\n\n### (1) Universidade Federal da Bahia -UFBA, Salvador, BA, Brasil; (2) Departamento de Medicina, Universidade Federal da Bahia- UFBA, Salvador, BA, Brasil\nIntroduction: Diabetes mellitus (DM) has a growing global prevalence, posing a significant public health problem. In Brazil, millions of people are estimated to be affected, making health education essential for developing self-care and disease management skills. Objective: Identify knowledge gaps regarding the management and treatment of DM among hospitalized patients and evaluate the effectiveness of an educational intervention during their stay. Methods: A pre-test, post-test uncontrolled interventional study was conducted at a public hospital. Adult patients with a DM diagnosis on a basal-bolus insulin regimen and hospitalized in clinical wards were eligible. The intervention consisted of two meetings: in the first, participants completed a structured questionnaire, followed by a bedside educational session covering insulin injection technique, blood glucose monitoring, and management. In the second, they received nutritional guidance, and the questionnaire was readministered. Data were analyzed using McNemar’s exact test, comparing performance on each question. Results: The study included 90 hospitalized patients, predominantly women (71.1%), mean age 54.6 years. Most participants had primary (52.2%) education and identified as mixed-race (52.2%). Although 60% had used insulin therapy for over five years, only 11.1% had received previous endocrinological consultation. The average questionnaire score on the pre-intervention test was 35.43%, while the post-intervention score was 82.10%. There was a significant improvement in knowledge (p<0.001) for each of the 18 questions analyzed. Initial knowledge for each question was assessed by the number of patients who answered correctly before and after the intervention, represented by group A. The highest initial knowledge was found in questions about rotating injection sites (78.9%), and the action of regular (57.8%) and NPH insulin (54.4%). In contrast, the lowest knowledge was observed in questions regarding the amount of carbohydrates needed to treat hypoglycemia (7.8%), use of regular insulin dose in cases of pre-meal hypoglycemia (10%), and the recognition of pre-meal hyperglycemia (13.3%). Conclusion: The intentional use of hospitalization time with a structured educational intervention proved effective in increasing patients’ knowledge, representing a low-cost and easily reproducible strategy that could translate into treatment adherence, complication prevention, and improved quality of life.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—240\nIntroduction: Diabetes mellitus (DM) has a growing global prevalence, posing a significant public health problem. In Brazil, millions of people are estimated to be affected, making health education essential for developing self-care and disease management skills. Objective: Identify knowledge gaps regarding the management and treatment of DM among hospitalized patients and evaluate the effectiveness of an educational intervention during their stay. Methods: A pre-test, post-test uncontrolled interventional study was conducted at a public hospital. Adult patients with a DM diagnosis on a basal-bolus insulin regimen and hospitalized in clinical wards were eligible. The intervention consisted of two meetings: in the first, participants completed a structured questionnaire, followed by a bedside educational session covering insulin injection technique, blood glucose monitoring, and management. In the second, they received nutritional guidance, and the questionnaire was readministered. Data were analyzed using McNemar’s exact test, comparing performance on each question. Results: The study included 90 hospitalized patients, predominantly women (71.1%), mean age 54.6 years. Most participants had primary (52.2%) education and identified as mixed-race (52.2%). Although 60% had used insulin therapy for over five years, only 11.1% had received previous endocrinological consultation. The average questionnaire score on the pre-intervention test was 35.43%, while the post-intervention score was 82.10%. There was a significant improvement in knowledge (p<0.001) for each of the 18 questions analyzed. Initial knowledge for each question was assessed by the number of patients who answered correctly before and after the intervention, represented by group A. The highest initial knowledge was found in questions about rotating injection sites (78.9%), and the action of regular (57.8%) and NPH insulin (54.4%). In contrast, the lowest knowledge was observed in questions regarding the amount of carbohydrates needed to treat hypoglycemia (7.8%), use of regular insulin dose in cases of pre-meal hypoglycemia (10%), and the recognition of pre-meal hyperglycemia (13.3%). Conclusion: The intentional use of hospitalization time with a structured educational intervention proved effective in increasing patients’ knowledge, representing a low-cost and easily reproducible strategy that could translate into treatment adherence, complication prevention, and improved quality of life.\n\n\n### PO—241 Effect of Fish Oil Supplementation on Metabolic Endotoxemia In Overweight And Insulin Resistant Subjects\nIntroduction: Obesity and type 2 diabetes mellitus are chronic health conditions that are closely related and have reached epidemic proportions worldwide. Insulin resistance (IR), induced by low-grade systemic inflammation, has been studied as the link between both conditions. Metabolic endotoxemia, characterized by increased circulating levels of lipopolysaccharides from the membranes of gram-negative bacteria, is an important condition that contributes to the aggravation of the inflammatory response and can be modulated by lifestyle factors. In this context, foods and nutrients with anti-inflammatory properties, such as omega-3 fatty acids, appear to contribute to improving this condition. However, the effect of fish oil consumption on endotoxemia in overweight and IR individuals remains to be clarified. Objective: Evaluate the effects of fish oil supplementation rich in omega-3 polyunsaturated fatty acids on parameters related to metabolic endotoxemia in overweight and insulin-resistant individuals. Methods: Randomized, double-blind, placebo-controlled study. Twenty-four adult individuals of both sexes were randomized into two groups to receive 4 g of fish oil (2.4 g EPA+DHA) or placebo (soybean oil) for 8 weeks. Data related to metabolic endotoxemia (lipopolysaccharide binding protein-LBP and Calprotectin), inflammation (TNFα and IL-10), IR (glucose, HbA1c, HOMA-IR), lipid profile and anthropometry (body mass index-BMI and body fat) were collected at baseline and at the end of the study. Normality was assessed using the Shapiro–Wilk test. Inter- and intragroup comparisons were performed using the paired t-test and the Mann–Whitney test, respectively, and the relationships between variables were evaluated using Pearson’s correlation. The study was approved by the Human Research Ethics Committee of HU-UFJF (CAAE: 35230620.5.0000.5133). Results: The BMI and body fat of the subjects at baseline were 30.81±2.83kg/m2 and 36.63±7.52%, respectively. A positive and significant correlation was observed between LBP levels and BMI (r=0.406; p=0.049), body fat (r=0.463; p=0.023), total cholesterol (r=0.481; p=0.017), TNFα (r=0.488; p=0.016), and IL-10 (r=-0.513; p=0.010) as part of study characterization. No significant effects on the evaluated markers were observed in the inter- and intragroup comparisons. Conclusion: Supplementation with 2.4 g of omega-3 fatty acids for 8 weeks did not result in changes in inflammatory and metabolic endotoxemia parameters in overweight and insulin-resistant individuals.\n\n\n### Ribeiro IA1; Lima NG1; Oliveira SS1; Paula CD2; Peixoto ACF3; Lopes MGF2; Fernandes MKC3; Dib PRB3; Souza CT2; Lima MFC1\nIntroduction: Obesity and type 2 diabetes mellitus are chronic health conditions that are closely related and have reached epidemic proportions worldwide. Insulin resistance (IR), induced by low-grade systemic inflammation, has been studied as the link between both conditions. Metabolic endotoxemia, characterized by increased circulating levels of lipopolysaccharides from the membranes of gram-negative bacteria, is an important condition that contributes to the aggravation of the inflammatory response and can be modulated by lifestyle factors. In this context, foods and nutrients with anti-inflammatory properties, such as omega-3 fatty acids, appear to contribute to improving this condition. However, the effect of fish oil consumption on endotoxemia in overweight and IR individuals remains to be clarified. Objective: Evaluate the effects of fish oil supplementation rich in omega-3 polyunsaturated fatty acids on parameters related to metabolic endotoxemia in overweight and insulin-resistant individuals. Methods: Randomized, double-blind, placebo-controlled study. Twenty-four adult individuals of both sexes were randomized into two groups to receive 4 g of fish oil (2.4 g EPA+DHA) or placebo (soybean oil) for 8 weeks. Data related to metabolic endotoxemia (lipopolysaccharide binding protein-LBP and Calprotectin), inflammation (TNFα and IL-10), IR (glucose, HbA1c, HOMA-IR), lipid profile and anthropometry (body mass index-BMI and body fat) were collected at baseline and at the end of the study. Normality was assessed using the Shapiro–Wilk test. Inter- and intragroup comparisons were performed using the paired t-test and the Mann–Whitney test, respectively, and the relationships between variables were evaluated using Pearson’s correlation. The study was approved by the Human Research Ethics Committee of HU-UFJF (CAAE: 35230620.5.0000.5133). Results: The BMI and body fat of the subjects at baseline were 30.81±2.83kg/m2 and 36.63±7.52%, respectively. A positive and significant correlation was observed between LBP levels and BMI (r=0.406; p=0.049), body fat (r=0.463; p=0.023), total cholesterol (r=0.481; p=0.017), TNFα (r=0.488; p=0.016), and IL-10 (r=-0.513; p=0.010) as part of study characterization. No significant effects on the evaluated markers were observed in the inter- and intragroup comparisons. Conclusion: Supplementation with 2.4 g of omega-3 fatty acids for 8 weeks did not result in changes in inflammatory and metabolic endotoxemia parameters in overweight and insulin-resistant individuals.\n\n\n### (1) Empresa Brasileira de Serviços Hospitalares/Hospital Universitário da Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Faculdade de Medicina/Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Instituto de Ciências Biológicas/Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil\nIntroduction: Obesity and type 2 diabetes mellitus are chronic health conditions that are closely related and have reached epidemic proportions worldwide. Insulin resistance (IR), induced by low-grade systemic inflammation, has been studied as the link between both conditions. Metabolic endotoxemia, characterized by increased circulating levels of lipopolysaccharides from the membranes of gram-negative bacteria, is an important condition that contributes to the aggravation of the inflammatory response and can be modulated by lifestyle factors. In this context, foods and nutrients with anti-inflammatory properties, such as omega-3 fatty acids, appear to contribute to improving this condition. However, the effect of fish oil consumption on endotoxemia in overweight and IR individuals remains to be clarified. Objective: Evaluate the effects of fish oil supplementation rich in omega-3 polyunsaturated fatty acids on parameters related to metabolic endotoxemia in overweight and insulin-resistant individuals. Methods: Randomized, double-blind, placebo-controlled study. Twenty-four adult individuals of both sexes were randomized into two groups to receive 4 g of fish oil (2.4 g EPA+DHA) or placebo (soybean oil) for 8 weeks. Data related to metabolic endotoxemia (lipopolysaccharide binding protein-LBP and Calprotectin), inflammation (TNFα and IL-10), IR (glucose, HbA1c, HOMA-IR), lipid profile and anthropometry (body mass index-BMI and body fat) were collected at baseline and at the end of the study. Normality was assessed using the Shapiro–Wilk test. Inter- and intragroup comparisons were performed using the paired t-test and the Mann–Whitney test, respectively, and the relationships between variables were evaluated using Pearson’s correlation. The study was approved by the Human Research Ethics Committee of HU-UFJF (CAAE: 35230620.5.0000.5133). Results: The BMI and body fat of the subjects at baseline were 30.81±2.83kg/m2 and 36.63±7.52%, respectively. A positive and significant correlation was observed between LBP levels and BMI (r=0.406; p=0.049), body fat (r=0.463; p=0.023), total cholesterol (r=0.481; p=0.017), TNFα (r=0.488; p=0.016), and IL-10 (r=-0.513; p=0.010) as part of study characterization. No significant effects on the evaluated markers were observed in the inter- and intragroup comparisons. Conclusion: Supplementation with 2.4 g of omega-3 fatty acids for 8 weeks did not result in changes in inflammatory and metabolic endotoxemia parameters in overweight and insulin-resistant individuals.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—241\nIntroduction: Obesity and type 2 diabetes mellitus are chronic health conditions that are closely related and have reached epidemic proportions worldwide. Insulin resistance (IR), induced by low-grade systemic inflammation, has been studied as the link between both conditions. Metabolic endotoxemia, characterized by increased circulating levels of lipopolysaccharides from the membranes of gram-negative bacteria, is an important condition that contributes to the aggravation of the inflammatory response and can be modulated by lifestyle factors. In this context, foods and nutrients with anti-inflammatory properties, such as omega-3 fatty acids, appear to contribute to improving this condition. However, the effect of fish oil consumption on endotoxemia in overweight and IR individuals remains to be clarified. Objective: Evaluate the effects of fish oil supplementation rich in omega-3 polyunsaturated fatty acids on parameters related to metabolic endotoxemia in overweight and insulin-resistant individuals. Methods: Randomized, double-blind, placebo-controlled study. Twenty-four adult individuals of both sexes were randomized into two groups to receive 4 g of fish oil (2.4 g EPA+DHA) or placebo (soybean oil) for 8 weeks. Data related to metabolic endotoxemia (lipopolysaccharide binding protein-LBP and Calprotectin), inflammation (TNFα and IL-10), IR (glucose, HbA1c, HOMA-IR), lipid profile and anthropometry (body mass index-BMI and body fat) were collected at baseline and at the end of the study. Normality was assessed using the Shapiro–Wilk test. Inter- and intragroup comparisons were performed using the paired t-test and the Mann–Whitney test, respectively, and the relationships between variables were evaluated using Pearson’s correlation. The study was approved by the Human Research Ethics Committee of HU-UFJF (CAAE: 35230620.5.0000.5133). Results: The BMI and body fat of the subjects at baseline were 30.81±2.83kg/m2 and 36.63±7.52%, respectively. A positive and significant correlation was observed between LBP levels and BMI (r=0.406; p=0.049), body fat (r=0.463; p=0.023), total cholesterol (r=0.481; p=0.017), TNFα (r=0.488; p=0.016), and IL-10 (r=-0.513; p=0.010) as part of study characterization. No significant effects on the evaluated markers were observed in the inter- and intragroup comparisons. Conclusion: Supplementation with 2.4 g of omega-3 fatty acids for 8 weeks did not result in changes in inflammatory and metabolic endotoxemia parameters in overweight and insulin-resistant individuals.\n\n\n### PO—242 Effects of Different Body Segments Resistance Training on Glycemic Controle in Women With Type 2 Diabetes\nIntroduction: Effective glycemic control is essential in the management of type 2 diabetes mellitus (T2DM) and can be achieved through both pharmacological and non-pharmacological interventions. Among non-pharmacological strategies, physical exercise is particularly relevant due to its high clinical relevance. Resistance training (RT) promotes significant musculoskeletal adaptations that support glycemic control in individuals with T2DM. Objective: This study aimed to compare the effects of resistance training targeting different body segments on glycemic control in women with type 2 diabetes. Methods: A crossover experimental design was adopted. Seven women diagnosed with T2DM were recruited from a supervised exercise program for diabetics at a public university. Participants were randomly assigned to two groups: G1 and G2. Each group underwent 24 RT sessions, three times per week for eight weeks. G1 initially trained the upper limbs for four weeks, while G2 trained the lower limbs during the same period. Afterwards, the trained body segments were switched between the groups. The resistance training protocol consisted of three sets of 16 repetitions at 60% of the load determined by the 10-repetition maximum test, with four exercises per session, according to the target body segment. Prior to the intervention, participants were instructed to maintain their usual medication, sleep, diet, and physical activity routines to ensure data reliability. Capillary blood glucose was measured before and after each training session. Data were analyzed using the Wilcoxon and Mann-Whitney U tests, with a significance level of p ≤ 0.05. Results: A significant reduction in blood glucose was observed following both lower limb training (173.7 to 136.1 mg/dL, p = 0.029) and upper limb training (181.2 to 146.0 mg/dL, p = 0.008). However, no significant difference was found between body segments (p = 0.643). Conclusion: Although no differences emerged between training upper vs. lower limbs, both approaches were positively associated with improved glycemic control, demonstrating that resistance training, regardless of the body segment, effectively reduces blood glucose in women with T2DM.\n\n\n### Souza AM1; Cruz PWS1; Vasconcelos AR1; Ribeiro JNS2; Aguiar GAF1; Malta Cruz ATM1; Costa KB1; Souza LSS1; Silva NRA C1; Vancea DMM1\nIntroduction: Effective glycemic control is essential in the management of type 2 diabetes mellitus (T2DM) and can be achieved through both pharmacological and non-pharmacological interventions. Among non-pharmacological strategies, physical exercise is particularly relevant due to its high clinical relevance. Resistance training (RT) promotes significant musculoskeletal adaptations that support glycemic control in individuals with T2DM. Objective: This study aimed to compare the effects of resistance training targeting different body segments on glycemic control in women with type 2 diabetes. Methods: A crossover experimental design was adopted. Seven women diagnosed with T2DM were recruited from a supervised exercise program for diabetics at a public university. Participants were randomly assigned to two groups: G1 and G2. Each group underwent 24 RT sessions, three times per week for eight weeks. G1 initially trained the upper limbs for four weeks, while G2 trained the lower limbs during the same period. Afterwards, the trained body segments were switched between the groups. The resistance training protocol consisted of three sets of 16 repetitions at 60% of the load determined by the 10-repetition maximum test, with four exercises per session, according to the target body segment. Prior to the intervention, participants were instructed to maintain their usual medication, sleep, diet, and physical activity routines to ensure data reliability. Capillary blood glucose was measured before and after each training session. Data were analyzed using the Wilcoxon and Mann-Whitney U tests, with a significance level of p ≤ 0.05. Results: A significant reduction in blood glucose was observed following both lower limb training (173.7 to 136.1 mg/dL, p = 0.029) and upper limb training (181.2 to 146.0 mg/dL, p = 0.008). However, no significant difference was found between body segments (p = 0.643). Conclusion: Although no differences emerged between training upper vs. lower limbs, both approaches were positively associated with improved glycemic control, demonstrating that resistance training, regardless of the body segment, effectively reduces blood glucose in women with T2DM.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil; (2) Faculdade Pernambucana de Saúde, Recife, PE, Brasil\nIntroduction: Effective glycemic control is essential in the management of type 2 diabetes mellitus (T2DM) and can be achieved through both pharmacological and non-pharmacological interventions. Among non-pharmacological strategies, physical exercise is particularly relevant due to its high clinical relevance. Resistance training (RT) promotes significant musculoskeletal adaptations that support glycemic control in individuals with T2DM. Objective: This study aimed to compare the effects of resistance training targeting different body segments on glycemic control in women with type 2 diabetes. Methods: A crossover experimental design was adopted. Seven women diagnosed with T2DM were recruited from a supervised exercise program for diabetics at a public university. Participants were randomly assigned to two groups: G1 and G2. Each group underwent 24 RT sessions, three times per week for eight weeks. G1 initially trained the upper limbs for four weeks, while G2 trained the lower limbs during the same period. Afterwards, the trained body segments were switched between the groups. The resistance training protocol consisted of three sets of 16 repetitions at 60% of the load determined by the 10-repetition maximum test, with four exercises per session, according to the target body segment. Prior to the intervention, participants were instructed to maintain their usual medication, sleep, diet, and physical activity routines to ensure data reliability. Capillary blood glucose was measured before and after each training session. Data were analyzed using the Wilcoxon and Mann-Whitney U tests, with a significance level of p ≤ 0.05. Results: A significant reduction in blood glucose was observed following both lower limb training (173.7 to 136.1 mg/dL, p = 0.029) and upper limb training (181.2 to 146.0 mg/dL, p = 0.008). However, no significant difference was found between body segments (p = 0.643). Conclusion: Although no differences emerged between training upper vs. lower limbs, both approaches were positively associated with improved glycemic control, demonstrating that resistance training, regardless of the body segment, effectively reduces blood glucose in women with T2DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—242\nIntroduction: Effective glycemic control is essential in the management of type 2 diabetes mellitus (T2DM) and can be achieved through both pharmacological and non-pharmacological interventions. Among non-pharmacological strategies, physical exercise is particularly relevant due to its high clinical relevance. Resistance training (RT) promotes significant musculoskeletal adaptations that support glycemic control in individuals with T2DM. Objective: This study aimed to compare the effects of resistance training targeting different body segments on glycemic control in women with type 2 diabetes. Methods: A crossover experimental design was adopted. Seven women diagnosed with T2DM were recruited from a supervised exercise program for diabetics at a public university. Participants were randomly assigned to two groups: G1 and G2. Each group underwent 24 RT sessions, three times per week for eight weeks. G1 initially trained the upper limbs for four weeks, while G2 trained the lower limbs during the same period. Afterwards, the trained body segments were switched between the groups. The resistance training protocol consisted of three sets of 16 repetitions at 60% of the load determined by the 10-repetition maximum test, with four exercises per session, according to the target body segment. Prior to the intervention, participants were instructed to maintain their usual medication, sleep, diet, and physical activity routines to ensure data reliability. Capillary blood glucose was measured before and after each training session. Data were analyzed using the Wilcoxon and Mann-Whitney U tests, with a significance level of p ≤ 0.05. Results: A significant reduction in blood glucose was observed following both lower limb training (173.7 to 136.1 mg/dL, p = 0.029) and upper limb training (181.2 to 146.0 mg/dL, p = 0.008). However, no significant difference was found between body segments (p = 0.643). Conclusion: Although no differences emerged between training upper vs. lower limbs, both approaches were positively associated with improved glycemic control, demonstrating that resistance training, regardless of the body segment, effectively reduces blood glucose in women with T2DM.\n\n\n### P0—243 Elastic Band Resistance Training Vs Machine- Based Resistance Training: A Comparison Of Glycemic Control In Individuals With Diabetes\nIntroduction: The treatment of type 2 diabetes mellitus (T2DM) requires a multidisciplinary approach to manage blood glucose levels and prevent long-term complications, encompassing lifestyle modifications such as diet, physical exercise, medication, and psychosocial support. Among the exercise strategies, resistance training using elastic bands or machines stands out. Objective: This study aimed to compare the effects of elastic band and machine-based resistance training on glycemic control in individuals with T2DM. Methods: This was a quasi-experimental study. A total of 18 untrained participants (both sexes), aged 45–60 years, diagnosed with T2DM for less than ten years and using antihyperglycemic drugs, were recruited from a university-supervised exercise program in Brazil. Participants were randomly assigned to the elastic band training group (G1) or the machine-based training group (G2). The training protocol lasted ten sessions. Each session included: (1) warm-up (mobility and stretching exercises); (2) main set (G1 performed eight exercises using elastic bands of varying resistance: light, medium, strong, extra-strong; G2 performed the same number of exercises using strength machines, with loads adjusted to momentary concentric failure); and (3) cool-down (body awareness exercises). Both groups performed two sets of 8–16 repetitions. Capillary blood glucose was measured before and after each session. Parametric statistics were used (paired and independent t-tests, p≤0.05). Results: Both groups showed significant reductions in post-exercise capillary glucose levels compared to their pre-exercise values. G1 showed a mean reduction from 139.1±36.1 mg/dL to 110.3±28.9 mg/dL, while G2 decreased from 158.4±31.7 mg/dL to 123.1±21.7 mg/dL (p<0.001 for both). However, no statistically significant difference was observed between the groups (ΔG1 = 28.8±29.5 vs. ΔG2 = 35.3±26.5; p=0.08). Conclusion: In conclusion, resistance training with elastic bands showed similar effects on glycemic control compared to machine-based resistance training in individuals with type 2 diabetes.\n\n\n### Torres CBP1; Souza LSS1; Cruz ATM1; Souza AM1; Silva Cruz PW1; de Vasconcelos AR1; Costa KB1; Xavier MF1; Ribeiro JNS1; Vancea DMM1\nIntroduction: The treatment of type 2 diabetes mellitus (T2DM) requires a multidisciplinary approach to manage blood glucose levels and prevent long-term complications, encompassing lifestyle modifications such as diet, physical exercise, medication, and psychosocial support. Among the exercise strategies, resistance training using elastic bands or machines stands out. Objective: This study aimed to compare the effects of elastic band and machine-based resistance training on glycemic control in individuals with T2DM. Methods: This was a quasi-experimental study. A total of 18 untrained participants (both sexes), aged 45–60 years, diagnosed with T2DM for less than ten years and using antihyperglycemic drugs, were recruited from a university-supervised exercise program in Brazil. Participants were randomly assigned to the elastic band training group (G1) or the machine-based training group (G2). The training protocol lasted ten sessions. Each session included: (1) warm-up (mobility and stretching exercises); (2) main set (G1 performed eight exercises using elastic bands of varying resistance: light, medium, strong, extra-strong; G2 performed the same number of exercises using strength machines, with loads adjusted to momentary concentric failure); and (3) cool-down (body awareness exercises). Both groups performed two sets of 8–16 repetitions. Capillary blood glucose was measured before and after each session. Parametric statistics were used (paired and independent t-tests, p≤0.05). Results: Both groups showed significant reductions in post-exercise capillary glucose levels compared to their pre-exercise values. G1 showed a mean reduction from 139.1±36.1 mg/dL to 110.3±28.9 mg/dL, while G2 decreased from 158.4±31.7 mg/dL to 123.1±21.7 mg/dL (p<0.001 for both). However, no statistically significant difference was observed between the groups (ΔG1 = 28.8±29.5 vs. ΔG2 = 35.3±26.5; p=0.08). Conclusion: In conclusion, resistance training with elastic bands showed similar effects on glycemic control compared to machine-based resistance training in individuals with type 2 diabetes.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil\nIntroduction: The treatment of type 2 diabetes mellitus (T2DM) requires a multidisciplinary approach to manage blood glucose levels and prevent long-term complications, encompassing lifestyle modifications such as diet, physical exercise, medication, and psychosocial support. Among the exercise strategies, resistance training using elastic bands or machines stands out. Objective: This study aimed to compare the effects of elastic band and machine-based resistance training on glycemic control in individuals with T2DM. Methods: This was a quasi-experimental study. A total of 18 untrained participants (both sexes), aged 45–60 years, diagnosed with T2DM for less than ten years and using antihyperglycemic drugs, were recruited from a university-supervised exercise program in Brazil. Participants were randomly assigned to the elastic band training group (G1) or the machine-based training group (G2). The training protocol lasted ten sessions. Each session included: (1) warm-up (mobility and stretching exercises); (2) main set (G1 performed eight exercises using elastic bands of varying resistance: light, medium, strong, extra-strong; G2 performed the same number of exercises using strength machines, with loads adjusted to momentary concentric failure); and (3) cool-down (body awareness exercises). Both groups performed two sets of 8–16 repetitions. Capillary blood glucose was measured before and after each session. Parametric statistics were used (paired and independent t-tests, p≤0.05). Results: Both groups showed significant reductions in post-exercise capillary glucose levels compared to their pre-exercise values. G1 showed a mean reduction from 139.1±36.1 mg/dL to 110.3±28.9 mg/dL, while G2 decreased from 158.4±31.7 mg/dL to 123.1±21.7 mg/dL (p<0.001 for both). However, no statistically significant difference was observed between the groups (ΔG1 = 28.8±29.5 vs. ΔG2 = 35.3±26.5; p=0.08). Conclusion: In conclusion, resistance training with elastic bands showed similar effects on glycemic control compared to machine-based resistance training in individuals with type 2 diabetes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—243\nIntroduction: The treatment of type 2 diabetes mellitus (T2DM) requires a multidisciplinary approach to manage blood glucose levels and prevent long-term complications, encompassing lifestyle modifications such as diet, physical exercise, medication, and psychosocial support. Among the exercise strategies, resistance training using elastic bands or machines stands out. Objective: This study aimed to compare the effects of elastic band and machine-based resistance training on glycemic control in individuals with T2DM. Methods: This was a quasi-experimental study. A total of 18 untrained participants (both sexes), aged 45–60 years, diagnosed with T2DM for less than ten years and using antihyperglycemic drugs, were recruited from a university-supervised exercise program in Brazil. Participants were randomly assigned to the elastic band training group (G1) or the machine-based training group (G2). The training protocol lasted ten sessions. Each session included: (1) warm-up (mobility and stretching exercises); (2) main set (G1 performed eight exercises using elastic bands of varying resistance: light, medium, strong, extra-strong; G2 performed the same number of exercises using strength machines, with loads adjusted to momentary concentric failure); and (3) cool-down (body awareness exercises). Both groups performed two sets of 8–16 repetitions. Capillary blood glucose was measured before and after each session. Parametric statistics were used (paired and independent t-tests, p≤0.05). Results: Both groups showed significant reductions in post-exercise capillary glucose levels compared to their pre-exercise values. G1 showed a mean reduction from 139.1±36.1 mg/dL to 110.3±28.9 mg/dL, while G2 decreased from 158.4±31.7 mg/dL to 123.1±21.7 mg/dL (p<0.001 for both). However, no statistically significant difference was observed between the groups (ΔG1 = 28.8±29.5 vs. ΔG2 = 35.3±26.5; p=0.08). Conclusion: In conclusion, resistance training with elastic bands showed similar effects on glycemic control compared to machine-based resistance training in individuals with type 2 diabetes.\n\n\n### PO—245 Flaxseed As Nutritional Strategy for Metabolic Control Of Diabetes Mellitus\nIntroduction: Diabetes Mellitus is often accompanied by dyslipidemias, such as elevated triglycerides and LDL cholesterol, increasing the risk of cardiovascular events. In this context, functional foods rich in bioactive compounds have gained increasing relevance in nutritional strategies. Flaxseed (Linum usitatissimum L.) stands out due to its composition rich in fiber, protein, and unsaturated fatty acids, especially alpha-linolenic acid (ALA), a type of omega-3 with recognized anti-inflammatory, cholesterol reducing and glycemic response-modulating properties. Objective: To analyze the nutritional properties of brown and golden flaxseed, focusing on protein, lipid content, and fatty acid profile. Methods: Whole seed samples were obtained from an agroindustry located in the northwest region of Rio Grande do Sul, which receives cultivars from different local producers. Protein determination was carried out using a laboratory method based on nitrogen quantification, while lipid extraction followed a solvent extraction and organic phase separation procedure. Results: The brown variety showed an average protein content of 19.1 ± 0.8%, while the golden variety presented 18.3 ± 1.4%. Total lipid content was also higher in the brown flaxseed, averaging 33.4 ± 15.2%, compared to 29.6 ± 5.3% in the golden variety. Gas chromatography analysis of fatty acid profiles revealed the predominance of alpha-linolenic acid (omega-3) in both flaxseed varieties. Brown flaxseed showed an average of 48.2 ± 1.3% omega-3, while the golden variety had a slightly higher content, with 50.2 ± 0.9%. Monounsaturated fatty acids (omega-9) were identified in an average of 26.2 ± 2.2% in brown flaxseed and 24.9 ± 1.7% in the golden one. Linoleic acid (omega-6) levels were 12.5 ± 0.4% in the brown and 13.5 ± 0.7% in the golden flaxseed, as shown in Figure 1. Conclusion: Based on the results obtained and current evidence, flaxseed, whether brown or golden, stands out as a functional food with therapeutic potential in the management of Diabetes Mellitus associated with dyslipidemia, contributing to the prevention of metabolic and cardiovascular complications. A daily intake of 1 to 3 tablespoons (approximately 10 to 30 g/day) of flaxseed can be recommended to obtain its nutritional benefits, especially due to its high omega-3 content.Figure 1 (abstract PO-245) Fatty Acid profile of brown and golden flaxseed\nFatty Acid profile of brown and golden flaxseed\n\n\n### Rocha VM1; Lima VC2; Wagner RE2; Colpo E1\nIntroduction: Diabetes Mellitus is often accompanied by dyslipidemias, such as elevated triglycerides and LDL cholesterol, increasing the risk of cardiovascular events. In this context, functional foods rich in bioactive compounds have gained increasing relevance in nutritional strategies. Flaxseed (Linum usitatissimum L.) stands out due to its composition rich in fiber, protein, and unsaturated fatty acids, especially alpha-linolenic acid (ALA), a type of omega-3 with recognized anti-inflammatory, cholesterol reducing and glycemic response-modulating properties. Objective: To analyze the nutritional properties of brown and golden flaxseed, focusing on protein, lipid content, and fatty acid profile. Methods: Whole seed samples were obtained from an agroindustry located in the northwest region of Rio Grande do Sul, which receives cultivars from different local producers. Protein determination was carried out using a laboratory method based on nitrogen quantification, while lipid extraction followed a solvent extraction and organic phase separation procedure. Results: The brown variety showed an average protein content of 19.1 ± 0.8%, while the golden variety presented 18.3 ± 1.4%. Total lipid content was also higher in the brown flaxseed, averaging 33.4 ± 15.2%, compared to 29.6 ± 5.3% in the golden variety. Gas chromatography analysis of fatty acid profiles revealed the predominance of alpha-linolenic acid (omega-3) in both flaxseed varieties. Brown flaxseed showed an average of 48.2 ± 1.3% omega-3, while the golden variety had a slightly higher content, with 50.2 ± 0.9%. Monounsaturated fatty acids (omega-9) were identified in an average of 26.2 ± 2.2% in brown flaxseed and 24.9 ± 1.7% in the golden one. Linoleic acid (omega-6) levels were 12.5 ± 0.4% in the brown and 13.5 ± 0.7% in the golden flaxseed, as shown in Figure 1. Conclusion: Based on the results obtained and current evidence, flaxseed, whether brown or golden, stands out as a functional food with therapeutic potential in the management of Diabetes Mellitus associated with dyslipidemia, contributing to the prevention of metabolic and cardiovascular complications. A daily intake of 1 to 3 tablespoons (approximately 10 to 30 g/day) of flaxseed can be recommended to obtain its nutritional benefits, especially due to its high omega-3 content.Figure 1 (abstract PO-245) Fatty Acid profile of brown and golden flaxseed\nFatty Acid profile of brown and golden flaxseed\n\n\n### (1) Universidade Franciscana, Santa Maria, RS, Brasil; (2) Universidade Federal de Santa Maria, Santa Maria, RS, Brasil\nIntroduction: Diabetes Mellitus is often accompanied by dyslipidemias, such as elevated triglycerides and LDL cholesterol, increasing the risk of cardiovascular events. In this context, functional foods rich in bioactive compounds have gained increasing relevance in nutritional strategies. Flaxseed (Linum usitatissimum L.) stands out due to its composition rich in fiber, protein, and unsaturated fatty acids, especially alpha-linolenic acid (ALA), a type of omega-3 with recognized anti-inflammatory, cholesterol reducing and glycemic response-modulating properties. Objective: To analyze the nutritional properties of brown and golden flaxseed, focusing on protein, lipid content, and fatty acid profile. Methods: Whole seed samples were obtained from an agroindustry located in the northwest region of Rio Grande do Sul, which receives cultivars from different local producers. Protein determination was carried out using a laboratory method based on nitrogen quantification, while lipid extraction followed a solvent extraction and organic phase separation procedure. Results: The brown variety showed an average protein content of 19.1 ± 0.8%, while the golden variety presented 18.3 ± 1.4%. Total lipid content was also higher in the brown flaxseed, averaging 33.4 ± 15.2%, compared to 29.6 ± 5.3% in the golden variety. Gas chromatography analysis of fatty acid profiles revealed the predominance of alpha-linolenic acid (omega-3) in both flaxseed varieties. Brown flaxseed showed an average of 48.2 ± 1.3% omega-3, while the golden variety had a slightly higher content, with 50.2 ± 0.9%. Monounsaturated fatty acids (omega-9) were identified in an average of 26.2 ± 2.2% in brown flaxseed and 24.9 ± 1.7% in the golden one. Linoleic acid (omega-6) levels were 12.5 ± 0.4% in the brown and 13.5 ± 0.7% in the golden flaxseed, as shown in Figure 1. Conclusion: Based on the results obtained and current evidence, flaxseed, whether brown or golden, stands out as a functional food with therapeutic potential in the management of Diabetes Mellitus associated with dyslipidemia, contributing to the prevention of metabolic and cardiovascular complications. A daily intake of 1 to 3 tablespoons (approximately 10 to 30 g/day) of flaxseed can be recommended to obtain its nutritional benefits, especially due to its high omega-3 content.Figure 1 (abstract PO-245) Fatty Acid profile of brown and golden flaxseed\nFatty Acid profile of brown and golden flaxseed\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—245\nIntroduction: Diabetes Mellitus is often accompanied by dyslipidemias, such as elevated triglycerides and LDL cholesterol, increasing the risk of cardiovascular events. In this context, functional foods rich in bioactive compounds have gained increasing relevance in nutritional strategies. Flaxseed (Linum usitatissimum L.) stands out due to its composition rich in fiber, protein, and unsaturated fatty acids, especially alpha-linolenic acid (ALA), a type of omega-3 with recognized anti-inflammatory, cholesterol reducing and glycemic response-modulating properties. Objective: To analyze the nutritional properties of brown and golden flaxseed, focusing on protein, lipid content, and fatty acid profile. Methods: Whole seed samples were obtained from an agroindustry located in the northwest region of Rio Grande do Sul, which receives cultivars from different local producers. Protein determination was carried out using a laboratory method based on nitrogen quantification, while lipid extraction followed a solvent extraction and organic phase separation procedure. Results: The brown variety showed an average protein content of 19.1 ± 0.8%, while the golden variety presented 18.3 ± 1.4%. Total lipid content was also higher in the brown flaxseed, averaging 33.4 ± 15.2%, compared to 29.6 ± 5.3% in the golden variety. Gas chromatography analysis of fatty acid profiles revealed the predominance of alpha-linolenic acid (omega-3) in both flaxseed varieties. Brown flaxseed showed an average of 48.2 ± 1.3% omega-3, while the golden variety had a slightly higher content, with 50.2 ± 0.9%. Monounsaturated fatty acids (omega-9) were identified in an average of 26.2 ± 2.2% in brown flaxseed and 24.9 ± 1.7% in the golden one. Linoleic acid (omega-6) levels were 12.5 ± 0.4% in the brown and 13.5 ± 0.7% in the golden flaxseed, as shown in Figure 1. Conclusion: Based on the results obtained and current evidence, flaxseed, whether brown or golden, stands out as a functional food with therapeutic potential in the management of Diabetes Mellitus associated with dyslipidemia, contributing to the prevention of metabolic and cardiovascular complications. A daily intake of 1 to 3 tablespoons (approximately 10 to 30 g/day) of flaxseed can be recommended to obtain its nutritional benefits, especially due to its high omega-3 content.Figure 1 (abstract PO-245) Fatty Acid profile of brown and golden flaxseed\nFatty Acid profile of brown and golden flaxseed\n\n\n### PO—248 Frequency And Associated Factors of Food Insecurity in Children and Adolescents With Type1 Diabetes Mellitus\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is a chronic disease characterized by persistent hyperglycemia, whose appropriate management involves, among other factors, healthy and accessible nutrition. Food Insecurity (FI), defined as insufficient or inadequate access to food in terms of quantity and/or quality, may negatively affect glycemic control and the physical and cognitive development of vulnerable individuals such as children and adolescents. Objective: To identify factors associated with FI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted with individuals with T1DM followed at the outpatient clinic of a public pediatric hospital in Rio de Janeiro, Brazil. FI was assessed using the Brazilian Food Insecurity Scale (EBIA). Sociodemographic data were collected (age, sex, family composition, caregiver’s educational level, family income, and receipt of social benefits). Statistical analyses adopted a significance level of 5% and 95% confidence intervals. Results: A total of 130 participants were evaluated, with a mean age of 11.0 ± 3.6 years, and a predominance of females (60.8%). Most participants did not receive social benefits (63.8%) and were primarily cared for by their mothers (77.7%), with 80% of caregivers having at least some level of secondary education. Regarding nutritional status, 58.4% were classified as eutrophic according to BMI-for-age, and 96.9% had adequate height for age. The frequency of FI was 67.4%, with 50.4% classified as having mild FI, 11.6% moderate FI, and 5.4% severe FI. A statistically significant association was observed between FI and family income (p = 0.000), caregiver’s educational level (p = 0.017), and receipt of social benefits (p = 0.030). Conclusion: The high prevalence of FI in this sample highlights the influence of socioeconomic factors, particularly family income, on the food security of children and adolescents with T1DM. These findings underscore the need for intersectoral public policies aimed at poverty reduction and ensuring universal access to adequate, safe, and healthy food.\n\n\n### Braga JSN1; Pinto GFT1; Araujo BB1; Costa GND1; Mathias ABGA1; Veiga RA1; Luescher JL1; Spinelli RR1; Sizisnande PM1; Padilha PC1\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is a chronic disease characterized by persistent hyperglycemia, whose appropriate management involves, among other factors, healthy and accessible nutrition. Food Insecurity (FI), defined as insufficient or inadequate access to food in terms of quantity and/or quality, may negatively affect glycemic control and the physical and cognitive development of vulnerable individuals such as children and adolescents. Objective: To identify factors associated with FI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted with individuals with T1DM followed at the outpatient clinic of a public pediatric hospital in Rio de Janeiro, Brazil. FI was assessed using the Brazilian Food Insecurity Scale (EBIA). Sociodemographic data were collected (age, sex, family composition, caregiver’s educational level, family income, and receipt of social benefits). Statistical analyses adopted a significance level of 5% and 95% confidence intervals. Results: A total of 130 participants were evaluated, with a mean age of 11.0 ± 3.6 years, and a predominance of females (60.8%). Most participants did not receive social benefits (63.8%) and were primarily cared for by their mothers (77.7%), with 80% of caregivers having at least some level of secondary education. Regarding nutritional status, 58.4% were classified as eutrophic according to BMI-for-age, and 96.9% had adequate height for age. The frequency of FI was 67.4%, with 50.4% classified as having mild FI, 11.6% moderate FI, and 5.4% severe FI. A statistically significant association was observed between FI and family income (p = 0.000), caregiver’s educational level (p = 0.017), and receipt of social benefits (p = 0.030). Conclusion: The high prevalence of FI in this sample highlights the influence of socioeconomic factors, particularly family income, on the food security of children and adolescents with T1DM. These findings underscore the need for intersectoral public policies aimed at poverty reduction and ensuring universal access to adequate, safe, and healthy food.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is a chronic disease characterized by persistent hyperglycemia, whose appropriate management involves, among other factors, healthy and accessible nutrition. Food Insecurity (FI), defined as insufficient or inadequate access to food in terms of quantity and/or quality, may negatively affect glycemic control and the physical and cognitive development of vulnerable individuals such as children and adolescents. Objective: To identify factors associated with FI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted with individuals with T1DM followed at the outpatient clinic of a public pediatric hospital in Rio de Janeiro, Brazil. FI was assessed using the Brazilian Food Insecurity Scale (EBIA). Sociodemographic data were collected (age, sex, family composition, caregiver’s educational level, family income, and receipt of social benefits). Statistical analyses adopted a significance level of 5% and 95% confidence intervals. Results: A total of 130 participants were evaluated, with a mean age of 11.0 ± 3.6 years, and a predominance of females (60.8%). Most participants did not receive social benefits (63.8%) and were primarily cared for by their mothers (77.7%), with 80% of caregivers having at least some level of secondary education. Regarding nutritional status, 58.4% were classified as eutrophic according to BMI-for-age, and 96.9% had adequate height for age. The frequency of FI was 67.4%, with 50.4% classified as having mild FI, 11.6% moderate FI, and 5.4% severe FI. A statistically significant association was observed between FI and family income (p = 0.000), caregiver’s educational level (p = 0.017), and receipt of social benefits (p = 0.030). Conclusion: The high prevalence of FI in this sample highlights the influence of socioeconomic factors, particularly family income, on the food security of children and adolescents with T1DM. These findings underscore the need for intersectoral public policies aimed at poverty reduction and ensuring universal access to adequate, safe, and healthy food.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—248\nIntroduction: Type 1 Diabetes Mellitus (T1DM) is a chronic disease characterized by persistent hyperglycemia, whose appropriate management involves, among other factors, healthy and accessible nutrition. Food Insecurity (FI), defined as insufficient or inadequate access to food in terms of quantity and/or quality, may negatively affect glycemic control and the physical and cognitive development of vulnerable individuals such as children and adolescents. Objective: To identify factors associated with FI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted with individuals with T1DM followed at the outpatient clinic of a public pediatric hospital in Rio de Janeiro, Brazil. FI was assessed using the Brazilian Food Insecurity Scale (EBIA). Sociodemographic data were collected (age, sex, family composition, caregiver’s educational level, family income, and receipt of social benefits). Statistical analyses adopted a significance level of 5% and 95% confidence intervals. Results: A total of 130 participants were evaluated, with a mean age of 11.0 ± 3.6 years, and a predominance of females (60.8%). Most participants did not receive social benefits (63.8%) and were primarily cared for by their mothers (77.7%), with 80% of caregivers having at least some level of secondary education. Regarding nutritional status, 58.4% were classified as eutrophic according to BMI-for-age, and 96.9% had adequate height for age. The frequency of FI was 67.4%, with 50.4% classified as having mild FI, 11.6% moderate FI, and 5.4% severe FI. A statistically significant association was observed between FI and family income (p = 0.000), caregiver’s educational level (p = 0.017), and receipt of social benefits (p = 0.030). Conclusion: The high prevalence of FI in this sample highlights the influence of socioeconomic factors, particularly family income, on the food security of children and adolescents with T1DM. These findings underscore the need for intersectoral public policies aimed at poverty reduction and ensuring universal access to adequate, safe, and healthy food.\n\n\n### PO—249 Glycemic Index and Glycemic Load: Sex Differences and Relationship with Glycemic Control in Children and Adolescents with Type 1 Diabetes\nIntroduction: The role of the glycemic index (GI) and glycemic load (GL) in type 2 diabetes mellitus is well established. However, the impact of these carbohydrate quality metrics on glycemic control in children and adolescents with type 1 diabetes mellitus (T1D) is unclear. Objective: This study aimed to compare GI and GL by sex and analyze their correlations with glycated hemoglobin (HbA1c) in children and adolescents with T1D. Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed through two 24-hour dietary recalls (24hR), with GI and GL calculated based on international tables. The distribution of variables was verified using the Shapiro-Wilk test. Student’s t-test was applied for normally distributed variables (GI and GL) and the Mann-Whitney test for HbA1c. Correlations between GI and GL, and HBA1c were assessed by Spearman’s correlation test. Results: There was no significant difference in GI between girls and boys (59.49 ± 3.78 vs. 59.71 ± 3.63; p = 0.809). However, GL was significantly higher among boys (106.66 ± 20.05) compared to girls (93.76 ± 17.54; p = 0.006). No significant correlations were observed between HBA1c and GL (rho = 0.046; p = 0.706) or between HBA1c and GL (rho = –0.098; p = 0.421). Conclusion: We conclude that, although boys have higher GL, mean GI does not differ between genders, and that GI and GL were not associated with HbA1c in this sample. These findings suggest that factors other than carbohydrate quality may play a more relevant role in glycemic control in children and adolescents with T1D.\n\n\n### Silva DF1,2; Lima RLV2; Silva JS1; Sousa IML1; Teixeira AS3; Lima SA2; Albuquerque NV1\nIntroduction: The role of the glycemic index (GI) and glycemic load (GL) in type 2 diabetes mellitus is well established. However, the impact of these carbohydrate quality metrics on glycemic control in children and adolescents with type 1 diabetes mellitus (T1D) is unclear. Objective: This study aimed to compare GI and GL by sex and analyze their correlations with glycated hemoglobin (HbA1c) in children and adolescents with T1D. Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed through two 24-hour dietary recalls (24hR), with GI and GL calculated based on international tables. The distribution of variables was verified using the Shapiro-Wilk test. Student’s t-test was applied for normally distributed variables (GI and GL) and the Mann-Whitney test for HbA1c. Correlations between GI and GL, and HBA1c were assessed by Spearman’s correlation test. Results: There was no significant difference in GI between girls and boys (59.49 ± 3.78 vs. 59.71 ± 3.63; p = 0.809). However, GL was significantly higher among boys (106.66 ± 20.05) compared to girls (93.76 ± 17.54; p = 0.006). No significant correlations were observed between HBA1c and GL (rho = 0.046; p = 0.706) or between HBA1c and GL (rho = –0.098; p = 0.421). Conclusion: We conclude that, although boys have higher GL, mean GI does not differ between genders, and that GI and GL were not associated with HbA1c in this sample. These findings suggest that factors other than carbohydrate quality may play a more relevant role in glycemic control in children and adolescents with T1D.\n\n\n### (1) Universidade Federal do Ceará, Fortaleza, CE, Brasil; (2)Faculdade de Saúde Pública da Universidade de São Paulo (FSP/USP) , São Paulo, SP, Brasil; (3) Escola de Saúde Pública do Ceará (ESP-CE) , Fortaleza, CE, Brasil\nIntroduction: The role of the glycemic index (GI) and glycemic load (GL) in type 2 diabetes mellitus is well established. However, the impact of these carbohydrate quality metrics on glycemic control in children and adolescents with type 1 diabetes mellitus (T1D) is unclear. Objective: This study aimed to compare GI and GL by sex and analyze their correlations with glycated hemoglobin (HbA1c) in children and adolescents with T1D. Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed through two 24-hour dietary recalls (24hR), with GI and GL calculated based on international tables. The distribution of variables was verified using the Shapiro-Wilk test. Student’s t-test was applied for normally distributed variables (GI and GL) and the Mann-Whitney test for HbA1c. Correlations between GI and GL, and HBA1c were assessed by Spearman’s correlation test. Results: There was no significant difference in GI between girls and boys (59.49 ± 3.78 vs. 59.71 ± 3.63; p = 0.809). However, GL was significantly higher among boys (106.66 ± 20.05) compared to girls (93.76 ± 17.54; p = 0.006). No significant correlations were observed between HBA1c and GL (rho = 0.046; p = 0.706) or between HBA1c and GL (rho = –0.098; p = 0.421). Conclusion: We conclude that, although boys have higher GL, mean GI does not differ between genders, and that GI and GL were not associated with HbA1c in this sample. These findings suggest that factors other than carbohydrate quality may play a more relevant role in glycemic control in children and adolescents with T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—249\nIntroduction: The role of the glycemic index (GI) and glycemic load (GL) in type 2 diabetes mellitus is well established. However, the impact of these carbohydrate quality metrics on glycemic control in children and adolescents with type 1 diabetes mellitus (T1D) is unclear. Objective: This study aimed to compare GI and GL by sex and analyze their correlations with glycated hemoglobin (HbA1c) in children and adolescents with T1D. Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed through two 24-hour dietary recalls (24hR), with GI and GL calculated based on international tables. The distribution of variables was verified using the Shapiro-Wilk test. Student’s t-test was applied for normally distributed variables (GI and GL) and the Mann-Whitney test for HbA1c. Correlations between GI and GL, and HBA1c were assessed by Spearman’s correlation test. Results: There was no significant difference in GI between girls and boys (59.49 ± 3.78 vs. 59.71 ± 3.63; p = 0.809). However, GL was significantly higher among boys (106.66 ± 20.05) compared to girls (93.76 ± 17.54; p = 0.006). No significant correlations were observed between HBA1c and GL (rho = 0.046; p = 0.706) or between HBA1c and GL (rho = –0.098; p = 0.421). Conclusion: We conclude that, although boys have higher GL, mean GI does not differ between genders, and that GI and GL were not associated with HbA1c in this sample. These findings suggest that factors other than carbohydrate quality may play a more relevant role in glycemic control in children and adolescents with T1D.\n\n\n### PO—251 Health Education In A Pregnancy Diabetes Outpatient Clinic: Experience Of A University Extension Project\nIntroduction: Diabetes education is essential for pregnant women to understand that diet, physical activity and blood glucose monitoring are the cornerstones of diabetes care throughout pregnancy. Objective: To describe the work carried out by a multidisciplinary team in a university extension project developed within the Diabetes in Pregnancy Outpatient Clinic. Methods: Cross-sectional and retrospective study developed based on data collected from electronic medical records of pregnant women undergoing nutritional monitoring throughout 2024. Results: Seventeen meetings were held covering topics related to nutrition, physical activity and perinatal education. Sixty-four pregnant women participated, with an average age of 32.4±6.57 years and mostly self-declared as brown or black. The majority were diagnosed with gestational diabetes mellitus (GDM) and were already using insulin at the first Nutrition consultation. Informational materials on glycemic targets were developed and discussed in group settings, as none of the 14 women previously diagnosed with diabetes prior to pregnancy had achieved the recommended glycemic control goal (mean preconception HbA1c: 8.65±2.16%).. Pre-gestational BMI was 31.7±5.84 kg/m2, indicating that the majority (86%) began pregnancy overweight, with 69% having some degree of obesity. Even so, most of these women gained more weight than recommended, leading to the creation of meetings regarding the impact of weight gain on maternal and child health. Only 19% of pregnant women performed some type of physical exercise regularly, and so a partnership was established with the university’s physical education college to facilitate the participation of them in supervised physical exercise groups. Meetings on the topic of micronutrient supplementation were performed, since although 75% of pregnant women regularly supplemented iron, only 58% supplemented folic acid and only 33% calcium. Regarding neonatal outcomes, all babies were born at term, with an average weight of 3110±550g. Just 8% of them were considered large for gestational age (LGA), 80% of them being children of women with diabetes prior to pregnancy. Conclusion: The extension project identified important challenges, such as poor preconception glycemic control, excess weight gain, low physical activity and limited adherence to micronutrient supplementation. Multidisciplinary work and the creation of health education spaces demonstrate an alternative way to encourage behavioral changes in pregnant women.\n\n\n### Vasconcellos CAVA1; Silva AAP2; Braga FO1; Cabizuca CA1; Abi-Abib RC1;\nIntroduction: Diabetes education is essential for pregnant women to understand that diet, physical activity and blood glucose monitoring are the cornerstones of diabetes care throughout pregnancy. Objective: To describe the work carried out by a multidisciplinary team in a university extension project developed within the Diabetes in Pregnancy Outpatient Clinic. Methods: Cross-sectional and retrospective study developed based on data collected from electronic medical records of pregnant women undergoing nutritional monitoring throughout 2024. Results: Seventeen meetings were held covering topics related to nutrition, physical activity and perinatal education. Sixty-four pregnant women participated, with an average age of 32.4±6.57 years and mostly self-declared as brown or black. The majority were diagnosed with gestational diabetes mellitus (GDM) and were already using insulin at the first Nutrition consultation. Informational materials on glycemic targets were developed and discussed in group settings, as none of the 14 women previously diagnosed with diabetes prior to pregnancy had achieved the recommended glycemic control goal (mean preconception HbA1c: 8.65±2.16%).. Pre-gestational BMI was 31.7±5.84 kg/m2, indicating that the majority (86%) began pregnancy overweight, with 69% having some degree of obesity. Even so, most of these women gained more weight than recommended, leading to the creation of meetings regarding the impact of weight gain on maternal and child health. Only 19% of pregnant women performed some type of physical exercise regularly, and so a partnership was established with the university’s physical education college to facilitate the participation of them in supervised physical exercise groups. Meetings on the topic of micronutrient supplementation were performed, since although 75% of pregnant women regularly supplemented iron, only 58% supplemented folic acid and only 33% calcium. Regarding neonatal outcomes, all babies were born at term, with an average weight of 3110±550g. Just 8% of them were considered large for gestational age (LGA), 80% of them being children of women with diabetes prior to pregnancy. Conclusion: The extension project identified important challenges, such as poor preconception glycemic control, excess weight gain, low physical activity and limited adherence to micronutrient supplementation. Multidisciplinary work and the creation of health education spaces demonstrate an alternative way to encourage behavioral changes in pregnant women.\n\n\n### (1) Policlínica Universitária Piquet Carneiro, Rio de Janeiro, RJ, Brasil; (2) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Diabetes education is essential for pregnant women to understand that diet, physical activity and blood glucose monitoring are the cornerstones of diabetes care throughout pregnancy. Objective: To describe the work carried out by a multidisciplinary team in a university extension project developed within the Diabetes in Pregnancy Outpatient Clinic. Methods: Cross-sectional and retrospective study developed based on data collected from electronic medical records of pregnant women undergoing nutritional monitoring throughout 2024. Results: Seventeen meetings were held covering topics related to nutrition, physical activity and perinatal education. Sixty-four pregnant women participated, with an average age of 32.4±6.57 years and mostly self-declared as brown or black. The majority were diagnosed with gestational diabetes mellitus (GDM) and were already using insulin at the first Nutrition consultation. Informational materials on glycemic targets were developed and discussed in group settings, as none of the 14 women previously diagnosed with diabetes prior to pregnancy had achieved the recommended glycemic control goal (mean preconception HbA1c: 8.65±2.16%).. Pre-gestational BMI was 31.7±5.84 kg/m2, indicating that the majority (86%) began pregnancy overweight, with 69% having some degree of obesity. Even so, most of these women gained more weight than recommended, leading to the creation of meetings regarding the impact of weight gain on maternal and child health. Only 19% of pregnant women performed some type of physical exercise regularly, and so a partnership was established with the university’s physical education college to facilitate the participation of them in supervised physical exercise groups. Meetings on the topic of micronutrient supplementation were performed, since although 75% of pregnant women regularly supplemented iron, only 58% supplemented folic acid and only 33% calcium. Regarding neonatal outcomes, all babies were born at term, with an average weight of 3110±550g. Just 8% of them were considered large for gestational age (LGA), 80% of them being children of women with diabetes prior to pregnancy. Conclusion: The extension project identified important challenges, such as poor preconception glycemic control, excess weight gain, low physical activity and limited adherence to micronutrient supplementation. Multidisciplinary work and the creation of health education spaces demonstrate an alternative way to encourage behavioral changes in pregnant women.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—251\nIntroduction: Diabetes education is essential for pregnant women to understand that diet, physical activity and blood glucose monitoring are the cornerstones of diabetes care throughout pregnancy. Objective: To describe the work carried out by a multidisciplinary team in a university extension project developed within the Diabetes in Pregnancy Outpatient Clinic. Methods: Cross-sectional and retrospective study developed based on data collected from electronic medical records of pregnant women undergoing nutritional monitoring throughout 2024. Results: Seventeen meetings were held covering topics related to nutrition, physical activity and perinatal education. Sixty-four pregnant women participated, with an average age of 32.4±6.57 years and mostly self-declared as brown or black. The majority were diagnosed with gestational diabetes mellitus (GDM) and were already using insulin at the first Nutrition consultation. Informational materials on glycemic targets were developed and discussed in group settings, as none of the 14 women previously diagnosed with diabetes prior to pregnancy had achieved the recommended glycemic control goal (mean preconception HbA1c: 8.65±2.16%).. Pre-gestational BMI was 31.7±5.84 kg/m2, indicating that the majority (86%) began pregnancy overweight, with 69% having some degree of obesity. Even so, most of these women gained more weight than recommended, leading to the creation of meetings regarding the impact of weight gain on maternal and child health. Only 19% of pregnant women performed some type of physical exercise regularly, and so a partnership was established with the university’s physical education college to facilitate the participation of them in supervised physical exercise groups. Meetings on the topic of micronutrient supplementation were performed, since although 75% of pregnant women regularly supplemented iron, only 58% supplemented folic acid and only 33% calcium. Regarding neonatal outcomes, all babies were born at term, with an average weight of 3110±550g. Just 8% of them were considered large for gestational age (LGA), 80% of them being children of women with diabetes prior to pregnancy. Conclusion: The extension project identified important challenges, such as poor preconception glycemic control, excess weight gain, low physical activity and limited adherence to micronutrient supplementation. Multidisciplinary work and the creation of health education spaces demonstrate an alternative way to encourage behavioral changes in pregnant women.\n\n\n### PO—252 Hemodynamic Response During Exercise Testing In Individuals With And Without Type 2 Diabetes\nIntroduction: The rising prevalence of type 2 diabetes poses a growing challenge for health systems due to its strong association with cardiovascular disease. Individuals with diabetes are at higher cardiovascular risk, primarily due to diabetic autonomic neuropathy. Although physical exercise is recommended as part of treatment, individuals with diabetes—particularly during the acute phase of diabetic autonomic neuropathy—may experience abnormal hemodynamic responses before and during exertion. These changes increase the risk of cardiac events during exercise. To mitigate such risks, conducting an exercise stress test prior to physical activity prescription is essential to ensure safety in this population Objective: This study aimed to compare hemodynamic responses during exercise testing between individuals with and without type 2 diabetes Methods: This analytical cross-sectional study included 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were evaluated in the ergometry sector of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achieving at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed medical diagnosis of type 2 diabetes was also required. Data were categorized into five domains: general patient information, health status, hemodynamic behavior, baseline and exercise ECG findings, and the presence of cardiovascular symptoms during testing. Parametric statistical analysis was applied using Student’s t-test (paired and unpaired), with significance set at p ≤ 0.05 Results: The sample was predominantly female (57.4%, p=0.001), with a mean age of 59 ± 14.2 years in G1 and 60.1 ± 9.9 years in G2 (p=0.0001). G1 demonstrated better hemodynamic responses compared to G2: maximum heart rate (147.8 ± 24.8 vs. 138.6 ± 19.9; p=0.0001), chronotropic reserve (74.3 ± 23.3 vs. 63.5 ± 19.6; p<0.0001), maximum systolic blood pressure (173.1 ± 21.9 vs. 181.6 ± 25.8; p=0.0001), VO₂max (35.1 ± 12.1 vs. 29.1 ± 9.5; p=0.0001), cardiac output (16.2 ± 5.2 vs. 14.2 ± 4.4; p=0.0001), and stroke volume (110.8 ± 31.3 vs. 104.5 ± 28.1; p=0.004). Conclusion: Individuals G1 exhibited more efficient hemodynamic responses compared to those G2, reinforcing the importance of comprehensive cardiovascular assessment to ensure safe and effective exercise prescription in this population.\n\n\n### Cruz PWS1; Miranda GHU1; Cruz ATM1; Souza AM1; Vasconcelos AR1; Keyla Brandão Costa1; Buarque LK1; Figueiredo LS2; Vancea DMM1; Ferreira MNL1\nIntroduction: The rising prevalence of type 2 diabetes poses a growing challenge for health systems due to its strong association with cardiovascular disease. Individuals with diabetes are at higher cardiovascular risk, primarily due to diabetic autonomic neuropathy. Although physical exercise is recommended as part of treatment, individuals with diabetes—particularly during the acute phase of diabetic autonomic neuropathy—may experience abnormal hemodynamic responses before and during exertion. These changes increase the risk of cardiac events during exercise. To mitigate such risks, conducting an exercise stress test prior to physical activity prescription is essential to ensure safety in this population Objective: This study aimed to compare hemodynamic responses during exercise testing between individuals with and without type 2 diabetes Methods: This analytical cross-sectional study included 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were evaluated in the ergometry sector of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achieving at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed medical diagnosis of type 2 diabetes was also required. Data were categorized into five domains: general patient information, health status, hemodynamic behavior, baseline and exercise ECG findings, and the presence of cardiovascular symptoms during testing. Parametric statistical analysis was applied using Student’s t-test (paired and unpaired), with significance set at p ≤ 0.05 Results: The sample was predominantly female (57.4%, p=0.001), with a mean age of 59 ± 14.2 years in G1 and 60.1 ± 9.9 years in G2 (p=0.0001). G1 demonstrated better hemodynamic responses compared to G2: maximum heart rate (147.8 ± 24.8 vs. 138.6 ± 19.9; p=0.0001), chronotropic reserve (74.3 ± 23.3 vs. 63.5 ± 19.6; p<0.0001), maximum systolic blood pressure (173.1 ± 21.9 vs. 181.6 ± 25.8; p=0.0001), VO₂max (35.1 ± 12.1 vs. 29.1 ± 9.5; p=0.0001), cardiac output (16.2 ± 5.2 vs. 14.2 ± 4.4; p=0.0001), and stroke volume (110.8 ± 31.3 vs. 104.5 ± 28.1; p=0.004). Conclusion: Individuals G1 exhibited more efficient hemodynamic responses compared to those G2, reinforcing the importance of comprehensive cardiovascular assessment to ensure safe and effective exercise prescription in this population.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil; (2) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: The rising prevalence of type 2 diabetes poses a growing challenge for health systems due to its strong association with cardiovascular disease. Individuals with diabetes are at higher cardiovascular risk, primarily due to diabetic autonomic neuropathy. Although physical exercise is recommended as part of treatment, individuals with diabetes—particularly during the acute phase of diabetic autonomic neuropathy—may experience abnormal hemodynamic responses before and during exertion. These changes increase the risk of cardiac events during exercise. To mitigate such risks, conducting an exercise stress test prior to physical activity prescription is essential to ensure safety in this population Objective: This study aimed to compare hemodynamic responses during exercise testing between individuals with and without type 2 diabetes Methods: This analytical cross-sectional study included 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were evaluated in the ergometry sector of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achieving at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed medical diagnosis of type 2 diabetes was also required. Data were categorized into five domains: general patient information, health status, hemodynamic behavior, baseline and exercise ECG findings, and the presence of cardiovascular symptoms during testing. Parametric statistical analysis was applied using Student’s t-test (paired and unpaired), with significance set at p ≤ 0.05 Results: The sample was predominantly female (57.4%, p=0.001), with a mean age of 59 ± 14.2 years in G1 and 60.1 ± 9.9 years in G2 (p=0.0001). G1 demonstrated better hemodynamic responses compared to G2: maximum heart rate (147.8 ± 24.8 vs. 138.6 ± 19.9; p=0.0001), chronotropic reserve (74.3 ± 23.3 vs. 63.5 ± 19.6; p<0.0001), maximum systolic blood pressure (173.1 ± 21.9 vs. 181.6 ± 25.8; p=0.0001), VO₂max (35.1 ± 12.1 vs. 29.1 ± 9.5; p=0.0001), cardiac output (16.2 ± 5.2 vs. 14.2 ± 4.4; p=0.0001), and stroke volume (110.8 ± 31.3 vs. 104.5 ± 28.1; p=0.004). Conclusion: Individuals G1 exhibited more efficient hemodynamic responses compared to those G2, reinforcing the importance of comprehensive cardiovascular assessment to ensure safe and effective exercise prescription in this population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—252\nIntroduction: The rising prevalence of type 2 diabetes poses a growing challenge for health systems due to its strong association with cardiovascular disease. Individuals with diabetes are at higher cardiovascular risk, primarily due to diabetic autonomic neuropathy. Although physical exercise is recommended as part of treatment, individuals with diabetes—particularly during the acute phase of diabetic autonomic neuropathy—may experience abnormal hemodynamic responses before and during exertion. These changes increase the risk of cardiac events during exercise. To mitigate such risks, conducting an exercise stress test prior to physical activity prescription is essential to ensure safety in this population Objective: This study aimed to compare hemodynamic responses during exercise testing between individuals with and without type 2 diabetes Methods: This analytical cross-sectional study included 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were evaluated in the ergometry sector of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achieving at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed medical diagnosis of type 2 diabetes was also required. Data were categorized into five domains: general patient information, health status, hemodynamic behavior, baseline and exercise ECG findings, and the presence of cardiovascular symptoms during testing. Parametric statistical analysis was applied using Student’s t-test (paired and unpaired), with significance set at p ≤ 0.05 Results: The sample was predominantly female (57.4%, p=0.001), with a mean age of 59 ± 14.2 years in G1 and 60.1 ± 9.9 years in G2 (p=0.0001). G1 demonstrated better hemodynamic responses compared to G2: maximum heart rate (147.8 ± 24.8 vs. 138.6 ± 19.9; p=0.0001), chronotropic reserve (74.3 ± 23.3 vs. 63.5 ± 19.6; p<0.0001), maximum systolic blood pressure (173.1 ± 21.9 vs. 181.6 ± 25.8; p=0.0001), VO₂max (35.1 ± 12.1 vs. 29.1 ± 9.5; p=0.0001), cardiac output (16.2 ± 5.2 vs. 14.2 ± 4.4; p=0.0001), and stroke volume (110.8 ± 31.3 vs. 104.5 ± 28.1; p=0.004). Conclusion: Individuals G1 exhibited more efficient hemodynamic responses compared to those G2, reinforcing the importance of comprehensive cardiovascular assessment to ensure safe and effective exercise prescription in this population.\n\n\n### PO—253 Impact of Dietary Carbohydrate Quality On Cardiovascular Risk Of Children And Adolescents with Type 1 Diabetes Mellitus\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic condition that increases cardiovascular risk and is a leading cause of morbidity and mortality in this population. Adequate glycemic control is crucial, but other factors, such as diet quality, also play an important role in modulating cardiovascular risk. The glycemic index (GI) and glycemic load (GL) are indicators that reflect the quality of carbohydrates in the diet and have been associated with adverse metabolic outcomes such as dyslipidemia and increased atherogenic indices. However, the relationship between carbohydrate quality and cardiovascular risk in children and adolescents with T1D remains underexplored. Objective: This study aims to evaluate the impact of dietary carbohydrate quality on cardiovascular risk in individuals with T1D, using indicators such as the Castelli index-I and II (CI-I and CI-II), plasma atherogenic index (PAI), and non-HDL cholesterol (non-HDL-c). Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed using two 24-hour dietary recalls (R24h), with GI and GL calculated based on international tables. The distribution of variables was verified by the Shapiro-Wilk test. Cardiovascular risk was assessed using CI-I, CI-II, PAI, and non-HDL-C. Correlations between variables were analyzed using Pearson’s test for normal distributions and Spearman’s for non-normal distributions. Results: The correlation between GI and the cardiovascular risk markers analyzed was not significant. For GL, moderate to marginal correlations were observed. The correlation between GL and CI-I was rho = 0.218 (p = 0.070), and between GL and CI-II was rho = 0.213 (p = 0.077), both marginally significant. The correlation between GL and AIP was r = 0.270 (p = 0.024), indicating a direct and significant association. This suggests that higher consumption of foods with high GL is associated with higher AIP values, indicating an increased cardiovascular risk. Conclusion: The results indicate that dietary GL has a significant impact on the cardiovascular risk of children and adolescents with T1D, especially as AIP increases. These findings suggest that dietary interventions focused on reducing GL may be important for minimizing cardiovascular risk in patients with T1D.\n\n\n### Silva DF1,2; Lima RLV1; Silva JS3; Sampaio TLV1; Silva MFF4; Albuquerque NV1\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic condition that increases cardiovascular risk and is a leading cause of morbidity and mortality in this population. Adequate glycemic control is crucial, but other factors, such as diet quality, also play an important role in modulating cardiovascular risk. The glycemic index (GI) and glycemic load (GL) are indicators that reflect the quality of carbohydrates in the diet and have been associated with adverse metabolic outcomes such as dyslipidemia and increased atherogenic indices. However, the relationship between carbohydrate quality and cardiovascular risk in children and adolescents with T1D remains underexplored. Objective: This study aims to evaluate the impact of dietary carbohydrate quality on cardiovascular risk in individuals with T1D, using indicators such as the Castelli index-I and II (CI-I and CI-II), plasma atherogenic index (PAI), and non-HDL cholesterol (non-HDL-c). Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed using two 24-hour dietary recalls (R24h), with GI and GL calculated based on international tables. The distribution of variables was verified by the Shapiro-Wilk test. Cardiovascular risk was assessed using CI-I, CI-II, PAI, and non-HDL-C. Correlations between variables were analyzed using Pearson’s test for normal distributions and Spearman’s for non-normal distributions. Results: The correlation between GI and the cardiovascular risk markers analyzed was not significant. For GL, moderate to marginal correlations were observed. The correlation between GL and CI-I was rho = 0.218 (p = 0.070), and between GL and CI-II was rho = 0.213 (p = 0.077), both marginally significant. The correlation between GL and AIP was r = 0.270 (p = 0.024), indicating a direct and significant association. This suggests that higher consumption of foods with high GL is associated with higher AIP values, indicating an increased cardiovascular risk. Conclusion: The results indicate that dietary GL has a significant impact on the cardiovascular risk of children and adolescents with T1D, especially as AIP increases. These findings suggest that dietary interventions focused on reducing GL may be important for minimizing cardiovascular risk in patients with T1D.\n\n\n### (2) Universidade Federal do Ceará (UFC), Fortaleza, CE, Brasil; (2) Faculdade de Saúde Pública da Universidade de São Paulo (FSP/USP) , São Paulo, SP, Brasil; (3) Escola de Saúde Pública do Ceará (ESP-CE), Fortaleza, CE, Brasil\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic condition that increases cardiovascular risk and is a leading cause of morbidity and mortality in this population. Adequate glycemic control is crucial, but other factors, such as diet quality, also play an important role in modulating cardiovascular risk. The glycemic index (GI) and glycemic load (GL) are indicators that reflect the quality of carbohydrates in the diet and have been associated with adverse metabolic outcomes such as dyslipidemia and increased atherogenic indices. However, the relationship between carbohydrate quality and cardiovascular risk in children and adolescents with T1D remains underexplored. Objective: This study aims to evaluate the impact of dietary carbohydrate quality on cardiovascular risk in individuals with T1D, using indicators such as the Castelli index-I and II (CI-I and CI-II), plasma atherogenic index (PAI), and non-HDL cholesterol (non-HDL-c). Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed using two 24-hour dietary recalls (R24h), with GI and GL calculated based on international tables. The distribution of variables was verified by the Shapiro-Wilk test. Cardiovascular risk was assessed using CI-I, CI-II, PAI, and non-HDL-C. Correlations between variables were analyzed using Pearson’s test for normal distributions and Spearman’s for non-normal distributions. Results: The correlation between GI and the cardiovascular risk markers analyzed was not significant. For GL, moderate to marginal correlations were observed. The correlation between GL and CI-I was rho = 0.218 (p = 0.070), and between GL and CI-II was rho = 0.213 (p = 0.077), both marginally significant. The correlation between GL and AIP was r = 0.270 (p = 0.024), indicating a direct and significant association. This suggests that higher consumption of foods with high GL is associated with higher AIP values, indicating an increased cardiovascular risk. Conclusion: The results indicate that dietary GL has a significant impact on the cardiovascular risk of children and adolescents with T1D, especially as AIP increases. These findings suggest that dietary interventions focused on reducing GL may be important for minimizing cardiovascular risk in patients with T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—253\nIntroduction: Type 1 diabetes mellitus (T1D) is a chronic condition that increases cardiovascular risk and is a leading cause of morbidity and mortality in this population. Adequate glycemic control is crucial, but other factors, such as diet quality, also play an important role in modulating cardiovascular risk. The glycemic index (GI) and glycemic load (GL) are indicators that reflect the quality of carbohydrates in the diet and have been associated with adverse metabolic outcomes such as dyslipidemia and increased atherogenic indices. However, the relationship between carbohydrate quality and cardiovascular risk in children and adolescents with T1D remains underexplored. Objective: This study aims to evaluate the impact of dietary carbohydrate quality on cardiovascular risk in individuals with T1D, using indicators such as the Castelli index-I and II (CI-I and CI-II), plasma atherogenic index (PAI), and non-HDL cholesterol (non-HDL-c). Methods: This was a cross-sectional study conducted with 70 participants (57% female), aged 4 to 17 years, followed at a referral center. Dietary intake was assessed using two 24-hour dietary recalls (R24h), with GI and GL calculated based on international tables. The distribution of variables was verified by the Shapiro-Wilk test. Cardiovascular risk was assessed using CI-I, CI-II, PAI, and non-HDL-C. Correlations between variables were analyzed using Pearson’s test for normal distributions and Spearman’s for non-normal distributions. Results: The correlation between GI and the cardiovascular risk markers analyzed was not significant. For GL, moderate to marginal correlations were observed. The correlation between GL and CI-I was rho = 0.218 (p = 0.070), and between GL and CI-II was rho = 0.213 (p = 0.077), both marginally significant. The correlation between GL and AIP was r = 0.270 (p = 0.024), indicating a direct and significant association. This suggests that higher consumption of foods with high GL is associated with higher AIP values, indicating an increased cardiovascular risk. Conclusion: The results indicate that dietary GL has a significant impact on the cardiovascular risk of children and adolescents with T1D, especially as AIP increases. These findings suggest that dietary interventions focused on reducing GL may be important for minimizing cardiovascular risk in patients with T1D.\n\n\n### PO—254 Impact of Intervention Delivery Method On Adherence And Exercise Time In Individuals With Prediabetes Or Diabetes\nIntroduction: Diabetes and prediabetes require strategies to increase exercise practice. This study evaluated the effect of onsite and remote formats on adherence and training time. Objective: This study aimed to assess whether different intervention delivery methods influence adherence and the exercise time in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: Exercise-only (Ex) and Exercise and Lifestyle Education (ExLE). The intervention included walking and counseling to accumulate ≥150 minutes/week of aerobic exercise, in the ExLE group the exercise was combined to education intervention (ClinicalTrials.gov: NCT03914924). Delivery method (on-site or remote) was based on participant preference and digital literacy. Exercise time was recorded and self-reported by the participant in a diary. The adherence was tracked through attendance in the sessions or by submitted diaries. The Mann-Whitney test was used to analyze the data, with a significance level of 95%. Results: Of the 201 participants (mean age 52.9±12.6 years old; 67.2% female; 76 with prediabetes; 25 with type 1 diabetes; and 100 with type 2), 102 were randomized to the Ex group and 99 to the ExLE group. The proportion of delivery methods was similar across groups, with 60% (ExLE) and 57% (Ex) attending onsite sessions. Adherence to the exercise intervention was similar in both remote (62%) and onsite (57%) delivery methods (p=0.11), as well as for the education intervention (onsite: 57%, remote: 52%; p=0.39). Weekly exercise time was similar across delivery methods: in the ExLE group, remote participants accumulated 97 [35-130] minutes, while onsite participants accumulated 81[34-148] minutes (p=0.96); in the Ex group, onsite participants accumulated 90 [37-150] minutes, compared to 85 [26-142] minutes for the remote group (p=0.55). These results suggest that the delivery method did not significantly affect adherence or exercise time. Conclusion: Both onsite and remote intervention delivery method can help individuals with prediabetes or diabetes to exercise.\n\n\n### Azevedo ACM1; Bomtempo APD2; Pereira AL2; Mariano BC1; Oliveira DPSC1; Carvalho LB1; Cassimiro MN1; Ribas RC3; Trevizan PF3; Silva LP1\nIntroduction: Diabetes and prediabetes require strategies to increase exercise practice. This study evaluated the effect of onsite and remote formats on adherence and training time. Objective: This study aimed to assess whether different intervention delivery methods influence adherence and the exercise time in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: Exercise-only (Ex) and Exercise and Lifestyle Education (ExLE). The intervention included walking and counseling to accumulate ≥150 minutes/week of aerobic exercise, in the ExLE group the exercise was combined to education intervention (ClinicalTrials.gov: NCT03914924). Delivery method (on-site or remote) was based on participant preference and digital literacy. Exercise time was recorded and self-reported by the participant in a diary. The adherence was tracked through attendance in the sessions or by submitted diaries. The Mann-Whitney test was used to analyze the data, with a significance level of 95%. Results: Of the 201 participants (mean age 52.9±12.6 years old; 67.2% female; 76 with prediabetes; 25 with type 1 diabetes; and 100 with type 2), 102 were randomized to the Ex group and 99 to the ExLE group. The proportion of delivery methods was similar across groups, with 60% (ExLE) and 57% (Ex) attending onsite sessions. Adherence to the exercise intervention was similar in both remote (62%) and onsite (57%) delivery methods (p=0.11), as well as for the education intervention (onsite: 57%, remote: 52%; p=0.39). Weekly exercise time was similar across delivery methods: in the ExLE group, remote participants accumulated 97 [35-130] minutes, while onsite participants accumulated 81[34-148] minutes (p=0.96); in the Ex group, onsite participants accumulated 90 [37-150] minutes, compared to 85 [26-142] minutes for the remote group (p=0.55). These results suggest that the delivery method did not significantly affect adherence or exercise time. Conclusion: Both onsite and remote intervention delivery method can help individuals with prediabetes or diabetes to exercise.\n\n\n### (1) Graduate Program in Rehabilitation Sciences and Physical-Functional Performance, Faculty of Physical Therapy, Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Graduate Program in Physical Education, Faculty of Physical Education and Sports, Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Department of Physical Therapy, Federal University of Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: Diabetes and prediabetes require strategies to increase exercise practice. This study evaluated the effect of onsite and remote formats on adherence and training time. Objective: This study aimed to assess whether different intervention delivery methods influence adherence and the exercise time in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: Exercise-only (Ex) and Exercise and Lifestyle Education (ExLE). The intervention included walking and counseling to accumulate ≥150 minutes/week of aerobic exercise, in the ExLE group the exercise was combined to education intervention (ClinicalTrials.gov: NCT03914924). Delivery method (on-site or remote) was based on participant preference and digital literacy. Exercise time was recorded and self-reported by the participant in a diary. The adherence was tracked through attendance in the sessions or by submitted diaries. The Mann-Whitney test was used to analyze the data, with a significance level of 95%. Results: Of the 201 participants (mean age 52.9±12.6 years old; 67.2% female; 76 with prediabetes; 25 with type 1 diabetes; and 100 with type 2), 102 were randomized to the Ex group and 99 to the ExLE group. The proportion of delivery methods was similar across groups, with 60% (ExLE) and 57% (Ex) attending onsite sessions. Adherence to the exercise intervention was similar in both remote (62%) and onsite (57%) delivery methods (p=0.11), as well as for the education intervention (onsite: 57%, remote: 52%; p=0.39). Weekly exercise time was similar across delivery methods: in the ExLE group, remote participants accumulated 97 [35-130] minutes, while onsite participants accumulated 81[34-148] minutes (p=0.96); in the Ex group, onsite participants accumulated 90 [37-150] minutes, compared to 85 [26-142] minutes for the remote group (p=0.55). These results suggest that the delivery method did not significantly affect adherence or exercise time. Conclusion: Both onsite and remote intervention delivery method can help individuals with prediabetes or diabetes to exercise.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—254\nIntroduction: Diabetes and prediabetes require strategies to increase exercise practice. This study evaluated the effect of onsite and remote formats on adherence and training time. Objective: This study aimed to assess whether different intervention delivery methods influence adherence and the exercise time in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: Exercise-only (Ex) and Exercise and Lifestyle Education (ExLE). The intervention included walking and counseling to accumulate ≥150 minutes/week of aerobic exercise, in the ExLE group the exercise was combined to education intervention (ClinicalTrials.gov: NCT03914924). Delivery method (on-site or remote) was based on participant preference and digital literacy. Exercise time was recorded and self-reported by the participant in a diary. The adherence was tracked through attendance in the sessions or by submitted diaries. The Mann-Whitney test was used to analyze the data, with a significance level of 95%. Results: Of the 201 participants (mean age 52.9±12.6 years old; 67.2% female; 76 with prediabetes; 25 with type 1 diabetes; and 100 with type 2), 102 were randomized to the Ex group and 99 to the ExLE group. The proportion of delivery methods was similar across groups, with 60% (ExLE) and 57% (Ex) attending onsite sessions. Adherence to the exercise intervention was similar in both remote (62%) and onsite (57%) delivery methods (p=0.11), as well as for the education intervention (onsite: 57%, remote: 52%; p=0.39). Weekly exercise time was similar across delivery methods: in the ExLE group, remote participants accumulated 97 [35-130] minutes, while onsite participants accumulated 81[34-148] minutes (p=0.96); in the Ex group, onsite participants accumulated 90 [37-150] minutes, compared to 85 [26-142] minutes for the remote group (p=0.55). These results suggest that the delivery method did not significantly affect adherence or exercise time. Conclusion: Both onsite and remote intervention delivery method can help individuals with prediabetes or diabetes to exercise.\n\n\n### PO—255 Intermittent Fasting Associated With Combined Physical Training Improves Insulin Sensitivity And Attenuates Muscle Atrophy In Mice Exposed To Sleep Restriction And Fed With A High-fat Diet\nIntroduction: In shift workers, obesity favors the development of insulin resistance, meta-inflammation and reduced muscle mass. Skeletal muscle atrophy is complex, with positive protein turnover being fundamental for maintaining muscle mass. Furthermore, skeletal muscle plays a key role in glucose uptake and glycemic homeostasis. However, atrophy is influenced by several factors, including nutrition, sleep-wake cycles and physical exercise. Literature shows that intermittent fasting (IF) and exercise training promote muscle gain, but it is necessary to explore the effects of these combined strategies on insulin sensitivity and muscle mass under sleep deprivation and a high-fat diet. Objective: To investigate the effects of IF alone or combined with exercise on performance, insulin sensitivity and muscle mass, in obese mice fed a high-fat diet, subjected to sleep restriction Methods: Male C57BL/6 mice, 8 weeks old, were fed a standard or high-fat diet (HFD), divided into five groups: Control (CTL) fed a standard diet; Obese, (OB) fed HFD; Shiftwork (SW), fed HFD and subject to the sleep restriction protocol (SW); Intermittent Fasting (IF), fed HFD and subjected to SW and IF; and Combined exercise training (EX), fed by HFD and subject to SW, IF and EX. The IF consisted of a 12-hour food restriction window during the light phase. Training consisted of treadmill running (3x/week) and resistance ladder climbing (2x/week), on alternate days. The experiment lasted 8 weeks. Evaluated: body weight, food intake, physical performance, adipocyte area, gastrocnemius cross-sectional area, and expression of hypertrophy and atrophy genes. Results: SW and OB groups showed increased adiposity, reduced insulin sensitivity, and smaller muscle fibers. IF mitigate some of these changes, mitigating weight gain and improving insulin sensitivity. The EX group showed greater strength, improved running, an increased muscle fibers size, and a reduced adipocyte area. These results were accompanied by higher expression of hypertrophy pathway genes, such as Akt and Mtor. Conclusion: The sleep restriction model combined with a high-fat diet harmed skeletal muscle, reducing fiber size and inducing insulin resistance. In contrast, IF with EX enhanced performance, a reduced adipocyte area, increased fiber size, and an increase in the expression of hypertrophy genes. The combination of IF and EX induced synergistic effects compared with IF alone, proving to be a promising strategy to counteract negative effects of sleep restriction and high-fat diet.\n\n\n### Iasniswski GA1; Dias LM1; Brisque GD1; Avelino AA1; Erlich GS1; Cintra DE1; Silva ARS2; Ropelle ER1; Pauli JR1\nIntroduction: In shift workers, obesity favors the development of insulin resistance, meta-inflammation and reduced muscle mass. Skeletal muscle atrophy is complex, with positive protein turnover being fundamental for maintaining muscle mass. Furthermore, skeletal muscle plays a key role in glucose uptake and glycemic homeostasis. However, atrophy is influenced by several factors, including nutrition, sleep-wake cycles and physical exercise. Literature shows that intermittent fasting (IF) and exercise training promote muscle gain, but it is necessary to explore the effects of these combined strategies on insulin sensitivity and muscle mass under sleep deprivation and a high-fat diet. Objective: To investigate the effects of IF alone or combined with exercise on performance, insulin sensitivity and muscle mass, in obese mice fed a high-fat diet, subjected to sleep restriction Methods: Male C57BL/6 mice, 8 weeks old, were fed a standard or high-fat diet (HFD), divided into five groups: Control (CTL) fed a standard diet; Obese, (OB) fed HFD; Shiftwork (SW), fed HFD and subject to the sleep restriction protocol (SW); Intermittent Fasting (IF), fed HFD and subjected to SW and IF; and Combined exercise training (EX), fed by HFD and subject to SW, IF and EX. The IF consisted of a 12-hour food restriction window during the light phase. Training consisted of treadmill running (3x/week) and resistance ladder climbing (2x/week), on alternate days. The experiment lasted 8 weeks. Evaluated: body weight, food intake, physical performance, adipocyte area, gastrocnemius cross-sectional area, and expression of hypertrophy and atrophy genes. Results: SW and OB groups showed increased adiposity, reduced insulin sensitivity, and smaller muscle fibers. IF mitigate some of these changes, mitigating weight gain and improving insulin sensitivity. The EX group showed greater strength, improved running, an increased muscle fibers size, and a reduced adipocyte area. These results were accompanied by higher expression of hypertrophy pathway genes, such as Akt and Mtor. Conclusion: The sleep restriction model combined with a high-fat diet harmed skeletal muscle, reducing fiber size and inducing insulin resistance. In contrast, IF with EX enhanced performance, a reduced adipocyte area, increased fiber size, and an increase in the expression of hypertrophy genes. The combination of IF and EX induced synergistic effects compared with IF alone, proving to be a promising strategy to counteract negative effects of sleep restriction and high-fat diet.\n\n\n### (1) Universidade Estadual de Campinas, UNICAMP, Limeira, SP, Brasil; (2) Universidade de São Paulo, USP, Ribeirão Preto, SP, Brasil\nIntroduction: In shift workers, obesity favors the development of insulin resistance, meta-inflammation and reduced muscle mass. Skeletal muscle atrophy is complex, with positive protein turnover being fundamental for maintaining muscle mass. Furthermore, skeletal muscle plays a key role in glucose uptake and glycemic homeostasis. However, atrophy is influenced by several factors, including nutrition, sleep-wake cycles and physical exercise. Literature shows that intermittent fasting (IF) and exercise training promote muscle gain, but it is necessary to explore the effects of these combined strategies on insulin sensitivity and muscle mass under sleep deprivation and a high-fat diet. Objective: To investigate the effects of IF alone or combined with exercise on performance, insulin sensitivity and muscle mass, in obese mice fed a high-fat diet, subjected to sleep restriction Methods: Male C57BL/6 mice, 8 weeks old, were fed a standard or high-fat diet (HFD), divided into five groups: Control (CTL) fed a standard diet; Obese, (OB) fed HFD; Shiftwork (SW), fed HFD and subject to the sleep restriction protocol (SW); Intermittent Fasting (IF), fed HFD and subjected to SW and IF; and Combined exercise training (EX), fed by HFD and subject to SW, IF and EX. The IF consisted of a 12-hour food restriction window during the light phase. Training consisted of treadmill running (3x/week) and resistance ladder climbing (2x/week), on alternate days. The experiment lasted 8 weeks. Evaluated: body weight, food intake, physical performance, adipocyte area, gastrocnemius cross-sectional area, and expression of hypertrophy and atrophy genes. Results: SW and OB groups showed increased adiposity, reduced insulin sensitivity, and smaller muscle fibers. IF mitigate some of these changes, mitigating weight gain and improving insulin sensitivity. The EX group showed greater strength, improved running, an increased muscle fibers size, and a reduced adipocyte area. These results were accompanied by higher expression of hypertrophy pathway genes, such as Akt and Mtor. Conclusion: The sleep restriction model combined with a high-fat diet harmed skeletal muscle, reducing fiber size and inducing insulin resistance. In contrast, IF with EX enhanced performance, a reduced adipocyte area, increased fiber size, and an increase in the expression of hypertrophy genes. The combination of IF and EX induced synergistic effects compared with IF alone, proving to be a promising strategy to counteract negative effects of sleep restriction and high-fat diet.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—255\nIntroduction: In shift workers, obesity favors the development of insulin resistance, meta-inflammation and reduced muscle mass. Skeletal muscle atrophy is complex, with positive protein turnover being fundamental for maintaining muscle mass. Furthermore, skeletal muscle plays a key role in glucose uptake and glycemic homeostasis. However, atrophy is influenced by several factors, including nutrition, sleep-wake cycles and physical exercise. Literature shows that intermittent fasting (IF) and exercise training promote muscle gain, but it is necessary to explore the effects of these combined strategies on insulin sensitivity and muscle mass under sleep deprivation and a high-fat diet. Objective: To investigate the effects of IF alone or combined with exercise on performance, insulin sensitivity and muscle mass, in obese mice fed a high-fat diet, subjected to sleep restriction Methods: Male C57BL/6 mice, 8 weeks old, were fed a standard or high-fat diet (HFD), divided into five groups: Control (CTL) fed a standard diet; Obese, (OB) fed HFD; Shiftwork (SW), fed HFD and subject to the sleep restriction protocol (SW); Intermittent Fasting (IF), fed HFD and subjected to SW and IF; and Combined exercise training (EX), fed by HFD and subject to SW, IF and EX. The IF consisted of a 12-hour food restriction window during the light phase. Training consisted of treadmill running (3x/week) and resistance ladder climbing (2x/week), on alternate days. The experiment lasted 8 weeks. Evaluated: body weight, food intake, physical performance, adipocyte area, gastrocnemius cross-sectional area, and expression of hypertrophy and atrophy genes. Results: SW and OB groups showed increased adiposity, reduced insulin sensitivity, and smaller muscle fibers. IF mitigate some of these changes, mitigating weight gain and improving insulin sensitivity. The EX group showed greater strength, improved running, an increased muscle fibers size, and a reduced adipocyte area. These results were accompanied by higher expression of hypertrophy pathway genes, such as Akt and Mtor. Conclusion: The sleep restriction model combined with a high-fat diet harmed skeletal muscle, reducing fiber size and inducing insulin resistance. In contrast, IF with EX enhanced performance, a reduced adipocyte area, increased fiber size, and an increase in the expression of hypertrophy genes. The combination of IF and EX induced synergistic effects compared with IF alone, proving to be a promising strategy to counteract negative effects of sleep restriction and high-fat diet.\n\n\n### PO—256 Is There A Clinical Nurse Specialist Role in Specialized Outpatient Health Services in Brazil?\nIntroduction: Brazil ranks sixth in global DM prevalence. Advanced Practice Nurses support clinical management and self-care, aligned with PAHO and IDF, through direct care and chronic condition support. Objective: To analyze nursing care for people with diabetes from the perspective of advanced nursing practices in specialized healthcare. Methods: Cross-sectional, analytical study of nurses working in specialized care. A questionnaire based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA) was used, with responses scored from 0 (never performed) to 4 (always performed). Data analysis was descriptive. Results: A total of 32 responses from nurses were analyzed, including eight from specialist care in the state of Santa Catarina and 24 from various regions of Brazil. These responses related to 74 direct actions for caring for people with diabetes. Considering the mean score, the numbers for the sample from Santa Catarina and the national sample are as follows: 24/02 items received a score between 0.0 and <1.0 (not performed); 25/11 items received a score between 1.0 and <2.0 (incipient action); 19/28 items received a score between 2.0 and <3.0 (action being developed); and 6/33 items received a score between 3.0 and 4.0 (established action). Items related to direct and comprehensive care had a mean score of 2.1 for the state sample and 3.1 for the national sample - attached table. Although nurses in the state sample perform some actions consistent with advanced nursing practices in caring for people with diabetes, there is still a high demand for specific training. In the national sample, which is mainly composed of professionals linked to the scientific society in this field, these practices are well established. These differences reflect the different contexts of practice and training. Participants emphasized the need for continuous professional development through specialization and continuing education and recognized the contribution of advanced nursing practice to improving care for chronic conditions. Conclusion: Actions that fall within the scope of advanced nursing practice in the care of people with diabetes in specialized care were identified. It is essential to consolidate a broader scope of practice supported by specific regulations and organizational, social and training strategies that incorporate clinical, leadership, educational and research dimensions as structural axes for the development of advanced practice.\n\n\n### Baade RTW1; Meirelles BHS2\nIntroduction: Brazil ranks sixth in global DM prevalence. Advanced Practice Nurses support clinical management and self-care, aligned with PAHO and IDF, through direct care and chronic condition support. Objective: To analyze nursing care for people with diabetes from the perspective of advanced nursing practices in specialized healthcare. Methods: Cross-sectional, analytical study of nurses working in specialized care. A questionnaire based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA) was used, with responses scored from 0 (never performed) to 4 (always performed). Data analysis was descriptive. Results: A total of 32 responses from nurses were analyzed, including eight from specialist care in the state of Santa Catarina and 24 from various regions of Brazil. These responses related to 74 direct actions for caring for people with diabetes. Considering the mean score, the numbers for the sample from Santa Catarina and the national sample are as follows: 24/02 items received a score between 0.0 and <1.0 (not performed); 25/11 items received a score between 1.0 and <2.0 (incipient action); 19/28 items received a score between 2.0 and <3.0 (action being developed); and 6/33 items received a score between 3.0 and 4.0 (established action). Items related to direct and comprehensive care had a mean score of 2.1 for the state sample and 3.1 for the national sample - attached table. Although nurses in the state sample perform some actions consistent with advanced nursing practices in caring for people with diabetes, there is still a high demand for specific training. In the national sample, which is mainly composed of professionals linked to the scientific society in this field, these practices are well established. These differences reflect the different contexts of practice and training. Participants emphasized the need for continuous professional development through specialization and continuing education and recognized the contribution of advanced nursing practice to improving care for chronic conditions. Conclusion: Actions that fall within the scope of advanced nursing practice in the care of people with diabetes in specialized care were identified. It is essential to consolidate a broader scope of practice supported by specific regulations and organizational, social and training strategies that incorporate clinical, leadership, educational and research dimensions as structural axes for the development of advanced practice.\n\n\n### (1) Universidade Federal de Santa Catarina, São Bento do Sul, SC, Brasil; (2) Universidade Federal de Santa Catarina, Florianópolis, SC, Brasil\nIntroduction: Brazil ranks sixth in global DM prevalence. Advanced Practice Nurses support clinical management and self-care, aligned with PAHO and IDF, through direct care and chronic condition support. Objective: To analyze nursing care for people with diabetes from the perspective of advanced nursing practices in specialized healthcare. Methods: Cross-sectional, analytical study of nurses working in specialized care. A questionnaire based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA) was used, with responses scored from 0 (never performed) to 4 (always performed). Data analysis was descriptive. Results: A total of 32 responses from nurses were analyzed, including eight from specialist care in the state of Santa Catarina and 24 from various regions of Brazil. These responses related to 74 direct actions for caring for people with diabetes. Considering the mean score, the numbers for the sample from Santa Catarina and the national sample are as follows: 24/02 items received a score between 0.0 and <1.0 (not performed); 25/11 items received a score between 1.0 and <2.0 (incipient action); 19/28 items received a score between 2.0 and <3.0 (action being developed); and 6/33 items received a score between 3.0 and 4.0 (established action). Items related to direct and comprehensive care had a mean score of 2.1 for the state sample and 3.1 for the national sample - attached table. Although nurses in the state sample perform some actions consistent with advanced nursing practices in caring for people with diabetes, there is still a high demand for specific training. In the national sample, which is mainly composed of professionals linked to the scientific society in this field, these practices are well established. These differences reflect the different contexts of practice and training. Participants emphasized the need for continuous professional development through specialization and continuing education and recognized the contribution of advanced nursing practice to improving care for chronic conditions. Conclusion: Actions that fall within the scope of advanced nursing practice in the care of people with diabetes in specialized care were identified. It is essential to consolidate a broader scope of practice supported by specific regulations and organizational, social and training strategies that incorporate clinical, leadership, educational and research dimensions as structural axes for the development of advanced practice.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—256\nIntroduction: Brazil ranks sixth in global DM prevalence. Advanced Practice Nurses support clinical management and self-care, aligned with PAHO and IDF, through direct care and chronic condition support. Objective: To analyze nursing care for people with diabetes from the perspective of advanced nursing practices in specialized healthcare. Methods: Cross-sectional, analytical study of nurses working in specialized care. A questionnaire based on national diabetes care guidelines and the Brazilian version of the Modified Scale for Advanced Nursing Practices (EMDF/EPA) was used, with responses scored from 0 (never performed) to 4 (always performed). Data analysis was descriptive. Results: A total of 32 responses from nurses were analyzed, including eight from specialist care in the state of Santa Catarina and 24 from various regions of Brazil. These responses related to 74 direct actions for caring for people with diabetes. Considering the mean score, the numbers for the sample from Santa Catarina and the national sample are as follows: 24/02 items received a score between 0.0 and <1.0 (not performed); 25/11 items received a score between 1.0 and <2.0 (incipient action); 19/28 items received a score between 2.0 and <3.0 (action being developed); and 6/33 items received a score between 3.0 and 4.0 (established action). Items related to direct and comprehensive care had a mean score of 2.1 for the state sample and 3.1 for the national sample - attached table. Although nurses in the state sample perform some actions consistent with advanced nursing practices in caring for people with diabetes, there is still a high demand for specific training. In the national sample, which is mainly composed of professionals linked to the scientific society in this field, these practices are well established. These differences reflect the different contexts of practice and training. Participants emphasized the need for continuous professional development through specialization and continuing education and recognized the contribution of advanced nursing practice to improving care for chronic conditions. Conclusion: Actions that fall within the scope of advanced nursing practice in the care of people with diabetes in specialized care were identified. It is essential to consolidate a broader scope of practice supported by specific regulations and organizational, social and training strategies that incorporate clinical, leadership, educational and research dimensions as structural axes for the development of advanced practice.\n\n\n### PO—259 Omega-3 Supplementation Partially Reduces Subclinical Inflammation without Affecting Insulin Resistance in Overweight Individuals\nIntroduction: Insulin resistance (IR) is defined as an impaired biological response to insulin in peripheral tissues, leading to abnormal hyperglycemia. Excess adiposity is closely associated with IR due to the dysregulated secretion of pro-inflammatory cytokines, which impair insulin signaling pathways. Omega-3 polyunsaturated fatty acids (EPA and DHA) have been investigated as a potential therapeutic approach for IR owing to their anti-inflammatory properties. However, clinical findings remain inconsistent and further evidence is warranted. Objective: Investigate the effects of omega-3-rich fish oil supplementation on subclinical inflammation and IR in overweight individuals with insulin resistance. Methods: A double-blind, single center, randomized, longitudinal clinical trial was conducted over 8 weeks with 24 overweight adults (both sexes) undergoing pharmacological treatment with metformin for type 2 diabetes mellitus (T2DM). Participants were randomized into two groups: fish oil supplementation (4 g/day, providing 2.4 g/day of EPA+DHA; n = 12) or soybean oil (n = 12). Markers of IR (fasting glucose, HbA1c, insulin, HOMA-IR, and HOMA-β) and pro-inflammatory cytokines (TNFα, IL-4, and IFN-γ) as well as the anti-inflammatory cytokine IL-10 were assessed. Data distribution was tested using the Shapiro–Wilk method. Intra-group and inter-group comparisons were performed using paired t-tests and the Mann–Whitney U test, respectively. Pearson’s correlation was applied to assess associations between variables. The study was approved by the Human Research Ethics Committee of HU-UFJF (protocol no. 4.731.228). Results: Fish oil supplementation did not significantly alter IR markers. However, IFN-γ concentrations were reduced in the fish oil group, with a significant between-group difference after 8 weeks. A strong, positive, and statistically significant correlation was observed between erythrocyte omega-3 incorporation (indirect biomarker) and IL-10 levels at 8 weeks in the fish oil group (R2 = 0.748; p = 0.005). Other cytokines remained unchanged. Conclusion: Eight weeks of omega-3-rich fish oil supplementation attenuated subclinical inflammation, evidenced by IFN-γ reduction, without modifying IR parameters. IL-10 levels were positively associated with higher cellular omega-3 incorporation. Further randomized controlled trials in more inflamed T2DM populations are needed to elucidate potential benefits on insulin resistance.\n\n\n### Lima NG1; Oliveira SS1; Ribeiro IA1; Paula CD2; Peixoto ACF3; Lopes MGF2; Fernandes MKC3; Dib PRB3; Souza CT2; Lima MFC1\nIntroduction: Insulin resistance (IR) is defined as an impaired biological response to insulin in peripheral tissues, leading to abnormal hyperglycemia. Excess adiposity is closely associated with IR due to the dysregulated secretion of pro-inflammatory cytokines, which impair insulin signaling pathways. Omega-3 polyunsaturated fatty acids (EPA and DHA) have been investigated as a potential therapeutic approach for IR owing to their anti-inflammatory properties. However, clinical findings remain inconsistent and further evidence is warranted. Objective: Investigate the effects of omega-3-rich fish oil supplementation on subclinical inflammation and IR in overweight individuals with insulin resistance. Methods: A double-blind, single center, randomized, longitudinal clinical trial was conducted over 8 weeks with 24 overweight adults (both sexes) undergoing pharmacological treatment with metformin for type 2 diabetes mellitus (T2DM). Participants were randomized into two groups: fish oil supplementation (4 g/day, providing 2.4 g/day of EPA+DHA; n = 12) or soybean oil (n = 12). Markers of IR (fasting glucose, HbA1c, insulin, HOMA-IR, and HOMA-β) and pro-inflammatory cytokines (TNFα, IL-4, and IFN-γ) as well as the anti-inflammatory cytokine IL-10 were assessed. Data distribution was tested using the Shapiro–Wilk method. Intra-group and inter-group comparisons were performed using paired t-tests and the Mann–Whitney U test, respectively. Pearson’s correlation was applied to assess associations between variables. The study was approved by the Human Research Ethics Committee of HU-UFJF (protocol no. 4.731.228). Results: Fish oil supplementation did not significantly alter IR markers. However, IFN-γ concentrations were reduced in the fish oil group, with a significant between-group difference after 8 weeks. A strong, positive, and statistically significant correlation was observed between erythrocyte omega-3 incorporation (indirect biomarker) and IL-10 levels at 8 weeks in the fish oil group (R2 = 0.748; p = 0.005). Other cytokines remained unchanged. Conclusion: Eight weeks of omega-3-rich fish oil supplementation attenuated subclinical inflammation, evidenced by IFN-γ reduction, without modifying IR parameters. IL-10 levels were positively associated with higher cellular omega-3 incorporation. Further randomized controlled trials in more inflamed T2DM populations are needed to elucidate potential benefits on insulin resistance.\n\n\n### (1) Empresa Brasileira de Serviços Hospitalares/Hospital Universitário da Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Faculdade de Medicina/Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Instituto de Ciências Biológicas/Universidade Federal de Juiz de Fora, Juiz de Fora, MG, Brasil\nIntroduction: Insulin resistance (IR) is defined as an impaired biological response to insulin in peripheral tissues, leading to abnormal hyperglycemia. Excess adiposity is closely associated with IR due to the dysregulated secretion of pro-inflammatory cytokines, which impair insulin signaling pathways. Omega-3 polyunsaturated fatty acids (EPA and DHA) have been investigated as a potential therapeutic approach for IR owing to their anti-inflammatory properties. However, clinical findings remain inconsistent and further evidence is warranted. Objective: Investigate the effects of omega-3-rich fish oil supplementation on subclinical inflammation and IR in overweight individuals with insulin resistance. Methods: A double-blind, single center, randomized, longitudinal clinical trial was conducted over 8 weeks with 24 overweight adults (both sexes) undergoing pharmacological treatment with metformin for type 2 diabetes mellitus (T2DM). Participants were randomized into two groups: fish oil supplementation (4 g/day, providing 2.4 g/day of EPA+DHA; n = 12) or soybean oil (n = 12). Markers of IR (fasting glucose, HbA1c, insulin, HOMA-IR, and HOMA-β) and pro-inflammatory cytokines (TNFα, IL-4, and IFN-γ) as well as the anti-inflammatory cytokine IL-10 were assessed. Data distribution was tested using the Shapiro–Wilk method. Intra-group and inter-group comparisons were performed using paired t-tests and the Mann–Whitney U test, respectively. Pearson’s correlation was applied to assess associations between variables. The study was approved by the Human Research Ethics Committee of HU-UFJF (protocol no. 4.731.228). Results: Fish oil supplementation did not significantly alter IR markers. However, IFN-γ concentrations were reduced in the fish oil group, with a significant between-group difference after 8 weeks. A strong, positive, and statistically significant correlation was observed between erythrocyte omega-3 incorporation (indirect biomarker) and IL-10 levels at 8 weeks in the fish oil group (R2 = 0.748; p = 0.005). Other cytokines remained unchanged. Conclusion: Eight weeks of omega-3-rich fish oil supplementation attenuated subclinical inflammation, evidenced by IFN-γ reduction, without modifying IR parameters. IL-10 levels were positively associated with higher cellular omega-3 incorporation. Further randomized controlled trials in more inflamed T2DM populations are needed to elucidate potential benefits on insulin resistance.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—259\nIntroduction: Insulin resistance (IR) is defined as an impaired biological response to insulin in peripheral tissues, leading to abnormal hyperglycemia. Excess adiposity is closely associated with IR due to the dysregulated secretion of pro-inflammatory cytokines, which impair insulin signaling pathways. Omega-3 polyunsaturated fatty acids (EPA and DHA) have been investigated as a potential therapeutic approach for IR owing to their anti-inflammatory properties. However, clinical findings remain inconsistent and further evidence is warranted. Objective: Investigate the effects of omega-3-rich fish oil supplementation on subclinical inflammation and IR in overweight individuals with insulin resistance. Methods: A double-blind, single center, randomized, longitudinal clinical trial was conducted over 8 weeks with 24 overweight adults (both sexes) undergoing pharmacological treatment with metformin for type 2 diabetes mellitus (T2DM). Participants were randomized into two groups: fish oil supplementation (4 g/day, providing 2.4 g/day of EPA+DHA; n = 12) or soybean oil (n = 12). Markers of IR (fasting glucose, HbA1c, insulin, HOMA-IR, and HOMA-β) and pro-inflammatory cytokines (TNFα, IL-4, and IFN-γ) as well as the anti-inflammatory cytokine IL-10 were assessed. Data distribution was tested using the Shapiro–Wilk method. Intra-group and inter-group comparisons were performed using paired t-tests and the Mann–Whitney U test, respectively. Pearson’s correlation was applied to assess associations between variables. The study was approved by the Human Research Ethics Committee of HU-UFJF (protocol no. 4.731.228). Results: Fish oil supplementation did not significantly alter IR markers. However, IFN-γ concentrations were reduced in the fish oil group, with a significant between-group difference after 8 weeks. A strong, positive, and statistically significant correlation was observed between erythrocyte omega-3 incorporation (indirect biomarker) and IL-10 levels at 8 weeks in the fish oil group (R2 = 0.748; p = 0.005). Other cytokines remained unchanged. Conclusion: Eight weeks of omega-3-rich fish oil supplementation attenuated subclinical inflammation, evidenced by IFN-γ reduction, without modifying IR parameters. IL-10 levels were positively associated with higher cellular omega-3 incorporation. Further randomized controlled trials in more inflamed T2DM populations are needed to elucidate potential benefits on insulin resistance.\n\n\n### PO—261 Performance of Remote Self-Administration of Health Literacy and Diabetes Self-Care Assessment Questionnaires in Individuals with Diabetes\nIntroduction: Diabetes Mellitus (DM) is a chronic disease characterized by persistent hyperglycemia resulting from impaired insulin secretion or action. Effective self-care is fundamental for DM management; however, its implementation relies on individuals´ ability to interpret health-related information. Therefore, health literacy is crucial, as it enables individuals to comprehend and appropriately apply information related to their condition. The Short Test of Functional Health Literacy in Adults (s-TOFHLA) and the Summary of Diabetes Self-Care Activities (SDSCA) are widely used instruments to assess these domains, yet they have been validated solely for in-person administration by trained researchers. Objective: To assess the reproducibility of remote self-administration of these questionnaires. Methods: This cross-sectional study included adults with a medical diagnosis of DM and internet access, who completed the s-TOFHLA and the SDSCA at two time points: remotely (self-administered) and in person. Reproducibility was evaluated using the intraclass correlation coefficient (ICC) and the Prevalence-Adjusted Bias-Adjusted Kappa (PABAK), according to variable type. Results: Ninety-four participants completed both assessments, with a median interval of 13 (8–19) days; 63.8% were women, with a median age of 50 years. The majority had completed high school (56.3%), had type 2 DM (62.8%), were insulin users (76.5%), and were covered by the Brazilian Unified Health System (93.4%). The total score on the s-TOFHLA showed good reproducibility (ICC = 0.74; 95% CI: 0.60–0.83), with 80% of the items showing very good agreement (PABAK > 0.80). The mean difference between administrations was -1.14 (CI95% 20.4-18.1) points. Final classification agreement was 93.6% for in-person and 95.7% for remote administration (PABAK = 0.78). For the SDSCA, very good agreement was observed for the dimensions “blood glucose monitoring,” “foot care,” and “smoking cessation” (PABAK between 0.82 and 1.00), while other items showed good agreement (PABAK between 0.60 and 0.76). Conclusion: Among this sample of adults with diabetes, remote self-administration of the s-TOFHLA and SDSCA showed adequate reproducibility when compared to in-person administration by trained researchers.\n\n\n### Kanarzveski LD1; Andreia AV1; Canani LH1; Rodrigues TC1; Almeida JC1\nIntroduction: Diabetes Mellitus (DM) is a chronic disease characterized by persistent hyperglycemia resulting from impaired insulin secretion or action. Effective self-care is fundamental for DM management; however, its implementation relies on individuals´ ability to interpret health-related information. Therefore, health literacy is crucial, as it enables individuals to comprehend and appropriately apply information related to their condition. The Short Test of Functional Health Literacy in Adults (s-TOFHLA) and the Summary of Diabetes Self-Care Activities (SDSCA) are widely used instruments to assess these domains, yet they have been validated solely for in-person administration by trained researchers. Objective: To assess the reproducibility of remote self-administration of these questionnaires. Methods: This cross-sectional study included adults with a medical diagnosis of DM and internet access, who completed the s-TOFHLA and the SDSCA at two time points: remotely (self-administered) and in person. Reproducibility was evaluated using the intraclass correlation coefficient (ICC) and the Prevalence-Adjusted Bias-Adjusted Kappa (PABAK), according to variable type. Results: Ninety-four participants completed both assessments, with a median interval of 13 (8–19) days; 63.8% were women, with a median age of 50 years. The majority had completed high school (56.3%), had type 2 DM (62.8%), were insulin users (76.5%), and were covered by the Brazilian Unified Health System (93.4%). The total score on the s-TOFHLA showed good reproducibility (ICC = 0.74; 95% CI: 0.60–0.83), with 80% of the items showing very good agreement (PABAK > 0.80). The mean difference between administrations was -1.14 (CI95% 20.4-18.1) points. Final classification agreement was 93.6% for in-person and 95.7% for remote administration (PABAK = 0.78). For the SDSCA, very good agreement was observed for the dimensions “blood glucose monitoring,” “foot care,” and “smoking cessation” (PABAK between 0.82 and 1.00), while other items showed good agreement (PABAK between 0.60 and 0.76). Conclusion: Among this sample of adults with diabetes, remote self-administration of the s-TOFHLA and SDSCA showed adequate reproducibility when compared to in-person administration by trained researchers.\n\n\n### (1) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Diabetes Mellitus (DM) is a chronic disease characterized by persistent hyperglycemia resulting from impaired insulin secretion or action. Effective self-care is fundamental for DM management; however, its implementation relies on individuals´ ability to interpret health-related information. Therefore, health literacy is crucial, as it enables individuals to comprehend and appropriately apply information related to their condition. The Short Test of Functional Health Literacy in Adults (s-TOFHLA) and the Summary of Diabetes Self-Care Activities (SDSCA) are widely used instruments to assess these domains, yet they have been validated solely for in-person administration by trained researchers. Objective: To assess the reproducibility of remote self-administration of these questionnaires. Methods: This cross-sectional study included adults with a medical diagnosis of DM and internet access, who completed the s-TOFHLA and the SDSCA at two time points: remotely (self-administered) and in person. Reproducibility was evaluated using the intraclass correlation coefficient (ICC) and the Prevalence-Adjusted Bias-Adjusted Kappa (PABAK), according to variable type. Results: Ninety-four participants completed both assessments, with a median interval of 13 (8–19) days; 63.8% were women, with a median age of 50 years. The majority had completed high school (56.3%), had type 2 DM (62.8%), were insulin users (76.5%), and were covered by the Brazilian Unified Health System (93.4%). The total score on the s-TOFHLA showed good reproducibility (ICC = 0.74; 95% CI: 0.60–0.83), with 80% of the items showing very good agreement (PABAK > 0.80). The mean difference between administrations was -1.14 (CI95% 20.4-18.1) points. Final classification agreement was 93.6% for in-person and 95.7% for remote administration (PABAK = 0.78). For the SDSCA, very good agreement was observed for the dimensions “blood glucose monitoring,” “foot care,” and “smoking cessation” (PABAK between 0.82 and 1.00), while other items showed good agreement (PABAK between 0.60 and 0.76). Conclusion: Among this sample of adults with diabetes, remote self-administration of the s-TOFHLA and SDSCA showed adequate reproducibility when compared to in-person administration by trained researchers.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—261\nIntroduction: Diabetes Mellitus (DM) is a chronic disease characterized by persistent hyperglycemia resulting from impaired insulin secretion or action. Effective self-care is fundamental for DM management; however, its implementation relies on individuals´ ability to interpret health-related information. Therefore, health literacy is crucial, as it enables individuals to comprehend and appropriately apply information related to their condition. The Short Test of Functional Health Literacy in Adults (s-TOFHLA) and the Summary of Diabetes Self-Care Activities (SDSCA) are widely used instruments to assess these domains, yet they have been validated solely for in-person administration by trained researchers. Objective: To assess the reproducibility of remote self-administration of these questionnaires. Methods: This cross-sectional study included adults with a medical diagnosis of DM and internet access, who completed the s-TOFHLA and the SDSCA at two time points: remotely (self-administered) and in person. Reproducibility was evaluated using the intraclass correlation coefficient (ICC) and the Prevalence-Adjusted Bias-Adjusted Kappa (PABAK), according to variable type. Results: Ninety-four participants completed both assessments, with a median interval of 13 (8–19) days; 63.8% were women, with a median age of 50 years. The majority had completed high school (56.3%), had type 2 DM (62.8%), were insulin users (76.5%), and were covered by the Brazilian Unified Health System (93.4%). The total score on the s-TOFHLA showed good reproducibility (ICC = 0.74; 95% CI: 0.60–0.83), with 80% of the items showing very good agreement (PABAK > 0.80). The mean difference between administrations was -1.14 (CI95% 20.4-18.1) points. Final classification agreement was 93.6% for in-person and 95.7% for remote administration (PABAK = 0.78). For the SDSCA, very good agreement was observed for the dimensions “blood glucose monitoring,” “foot care,” and “smoking cessation” (PABAK between 0.82 and 1.00), while other items showed good agreement (PABAK between 0.60 and 0.76). Conclusion: Among this sample of adults with diabetes, remote self-administration of the s-TOFHLA and SDSCA showed adequate reproducibility when compared to in-person administration by trained researchers.\n\n\n### PO—263 Physical Fitness Levels And Body composition In Postmenopausal Women With Type 2 Diabetes: A Comparison Between Physically Active And Insufficiently Active Individuals\nIntroduction: Decompensated type 2 diabetes is associated with alterations in body composition and reduced physical fitness, especially in women, due to climacteric and menopausal changes. Growing evidence supports regular physical exercise as a key strategy in the management of type 2 diabetes and its comorbidities. However, the protective role of exercise in maintaining functional capacity in women with type 2 diabetes remains not fully understood. Objective: This study aimed to compare the physical fitness and body composition of postmenopausal women with type 2 diabetes, stratified by physical activity level. Methods: This was a cross-sectional, analytical, and descriptive study. Physically active women (G1) participated in a supervised exercise program for individuals with diabetes, offered by a public university. Insufficiently active women (G2) were residents of the metropolitan area of a large city. G1 engaged in combined aerobic and resistance training three times a week, while G2 reported engaging in fewer than 150 minutes of moderate physical activity per week. Assessments included appendicular skeletal muscle mass index (ASMMI), fat mass index (FMI), and physical fitness measured by usual gait speed. During the assessment period, all participants maintained their regular dietary and medication routines. The Mann-Whitney U test was for comparisons, with a significance level of p ≤ 0.05. Results: The sample consisted of 74 postmenopausal women with type 2 diabetes, of whom 60.8% were classified as physically active. The mean age in G1 was 64.5 ± 9.5 years and in G2, 65.1 ± 9.2 years. G1 showed significantly higher physical fitness compared to G2 (1.47 ± 0.32 vs. 1.17 ± 0.30 m/s; p < 0.001). However, no significant differences were observed between groups in muscle mass (6.25 ± 0.81 vs. 6.10 ± 0.79 kg/m2; p = 0.370) or fat mass (11.04 ± 3.02 vs. 11.91 ± 2.83 kg/m2; p = 0.241). Conclusion: These findings suggest that physically active women exhibited better physical fitness levels regardless of body composition, highlighting the potential role of regular physical activity in preserving functional capacity in postmenopausal women with type 2 diabetes.\n\n\n### Vasconcelos AR1; Guimarães FJS1; Cruz PWS1; Cruz ATM1; Souza AM1; Santos Ribeiro JNS1; Souza GKB1; Schwingel PA1; Vancea DMM1; Costa MC1\nIntroduction: Decompensated type 2 diabetes is associated with alterations in body composition and reduced physical fitness, especially in women, due to climacteric and menopausal changes. Growing evidence supports regular physical exercise as a key strategy in the management of type 2 diabetes and its comorbidities. However, the protective role of exercise in maintaining functional capacity in women with type 2 diabetes remains not fully understood. Objective: This study aimed to compare the physical fitness and body composition of postmenopausal women with type 2 diabetes, stratified by physical activity level. Methods: This was a cross-sectional, analytical, and descriptive study. Physically active women (G1) participated in a supervised exercise program for individuals with diabetes, offered by a public university. Insufficiently active women (G2) were residents of the metropolitan area of a large city. G1 engaged in combined aerobic and resistance training three times a week, while G2 reported engaging in fewer than 150 minutes of moderate physical activity per week. Assessments included appendicular skeletal muscle mass index (ASMMI), fat mass index (FMI), and physical fitness measured by usual gait speed. During the assessment period, all participants maintained their regular dietary and medication routines. The Mann-Whitney U test was for comparisons, with a significance level of p ≤ 0.05. Results: The sample consisted of 74 postmenopausal women with type 2 diabetes, of whom 60.8% were classified as physically active. The mean age in G1 was 64.5 ± 9.5 years and in G2, 65.1 ± 9.2 years. G1 showed significantly higher physical fitness compared to G2 (1.47 ± 0.32 vs. 1.17 ± 0.30 m/s; p < 0.001). However, no significant differences were observed between groups in muscle mass (6.25 ± 0.81 vs. 6.10 ± 0.79 kg/m2; p = 0.370) or fat mass (11.04 ± 3.02 vs. 11.91 ± 2.83 kg/m2; p = 0.241). Conclusion: These findings suggest that physically active women exhibited better physical fitness levels regardless of body composition, highlighting the potential role of regular physical activity in preserving functional capacity in postmenopausal women with type 2 diabetes.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil\nIntroduction: Decompensated type 2 diabetes is associated with alterations in body composition and reduced physical fitness, especially in women, due to climacteric and menopausal changes. Growing evidence supports regular physical exercise as a key strategy in the management of type 2 diabetes and its comorbidities. However, the protective role of exercise in maintaining functional capacity in women with type 2 diabetes remains not fully understood. Objective: This study aimed to compare the physical fitness and body composition of postmenopausal women with type 2 diabetes, stratified by physical activity level. Methods: This was a cross-sectional, analytical, and descriptive study. Physically active women (G1) participated in a supervised exercise program for individuals with diabetes, offered by a public university. Insufficiently active women (G2) were residents of the metropolitan area of a large city. G1 engaged in combined aerobic and resistance training three times a week, while G2 reported engaging in fewer than 150 minutes of moderate physical activity per week. Assessments included appendicular skeletal muscle mass index (ASMMI), fat mass index (FMI), and physical fitness measured by usual gait speed. During the assessment period, all participants maintained their regular dietary and medication routines. The Mann-Whitney U test was for comparisons, with a significance level of p ≤ 0.05. Results: The sample consisted of 74 postmenopausal women with type 2 diabetes, of whom 60.8% were classified as physically active. The mean age in G1 was 64.5 ± 9.5 years and in G2, 65.1 ± 9.2 years. G1 showed significantly higher physical fitness compared to G2 (1.47 ± 0.32 vs. 1.17 ± 0.30 m/s; p < 0.001). However, no significant differences were observed between groups in muscle mass (6.25 ± 0.81 vs. 6.10 ± 0.79 kg/m2; p = 0.370) or fat mass (11.04 ± 3.02 vs. 11.91 ± 2.83 kg/m2; p = 0.241). Conclusion: These findings suggest that physically active women exhibited better physical fitness levels regardless of body composition, highlighting the potential role of regular physical activity in preserving functional capacity in postmenopausal women with type 2 diabetes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—263\nIntroduction: Decompensated type 2 diabetes is associated with alterations in body composition and reduced physical fitness, especially in women, due to climacteric and menopausal changes. Growing evidence supports regular physical exercise as a key strategy in the management of type 2 diabetes and its comorbidities. However, the protective role of exercise in maintaining functional capacity in women with type 2 diabetes remains not fully understood. Objective: This study aimed to compare the physical fitness and body composition of postmenopausal women with type 2 diabetes, stratified by physical activity level. Methods: This was a cross-sectional, analytical, and descriptive study. Physically active women (G1) participated in a supervised exercise program for individuals with diabetes, offered by a public university. Insufficiently active women (G2) were residents of the metropolitan area of a large city. G1 engaged in combined aerobic and resistance training three times a week, while G2 reported engaging in fewer than 150 minutes of moderate physical activity per week. Assessments included appendicular skeletal muscle mass index (ASMMI), fat mass index (FMI), and physical fitness measured by usual gait speed. During the assessment period, all participants maintained their regular dietary and medication routines. The Mann-Whitney U test was for comparisons, with a significance level of p ≤ 0.05. Results: The sample consisted of 74 postmenopausal women with type 2 diabetes, of whom 60.8% were classified as physically active. The mean age in G1 was 64.5 ± 9.5 years and in G2, 65.1 ± 9.2 years. G1 showed significantly higher physical fitness compared to G2 (1.47 ± 0.32 vs. 1.17 ± 0.30 m/s; p < 0.001). However, no significant differences were observed between groups in muscle mass (6.25 ± 0.81 vs. 6.10 ± 0.79 kg/m2; p = 0.370) or fat mass (11.04 ± 3.02 vs. 11.91 ± 2.83 kg/m2; p = 0.241). Conclusion: These findings suggest that physically active women exhibited better physical fitness levels regardless of body composition, highlighting the potential role of regular physical activity in preserving functional capacity in postmenopausal women with type 2 diabetes.\n\n\n### PO – 264 Potential Role of Physical Activity and Vitamin D Supplementation in Stage Regression in Type 1 Diabetes: A Case Report\nCase Presentation: A 9-year-old male was referred to the endocrinology clinic after an incidental finding of elevated fasting plasma glucose (114 mg/dL). He was eutrophic, asymptomatic, with no comorbidities or family history of type 1 diabetes mellitus (T1D) or other autoimmune diseases. Repeat testing showed fasting glucose of 102 mg/dL, HbA1c of 5.5%, C-peptide of 1.05 ng/mL, and positivity for anti-glutamic acid decarboxylase (GADA)and anti–zinc transporter (ZnT8 Ab) antibodies, with negative anti-insulin and anti-IA2. These findings were consistent with stage 2 T1D, defined by mild dysglycemia and ≥ 2 positive islet autoantibodies in an asymptomatic individual. The patient was a young athlete who had regular vigorous aerobic physical activity (~ 10 h/week) and also received daily vitamin D supplementation, aiming to achieve serum 25OH vitamin levels ≥ 50 ng/mL. Follow-up every 6 months included metabolic and hormonal assessment, autoantibody titers, growth, and body composition. After 2 years, fasting glucose normalized (77 mg/dL), HbA1c was 5.2%, 25OH vitamin D levels were between 50–60 ng/mL, and C-peptide remained preserved. GADA and ZnT8 Ab persisted, though with reduced titers, indicating persistent autoimmunity but regression to stage 1 T1D. After 7 years, the patient remains asymptomatic, with fasting glucose < 100 mg/dL, continuing vitamin D supplementation and regular vigorous exercise. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: T1D is a progressive autoimmune disease classified into stage 1 (2 or more antibodies without dysglycemia), stage 2 (2 or more antibodies + mild dysglycemia), and stage 3 (clinical diabetes). Regression from stage 2 to stage 1 is rare. In this case, regular vigorous physical activity and vitamin D supplementation may have contributed to β-cell preservation or delayed dysfunction. Regular exercise is associated with improved insulin sensitivity and reduced systemic inflammation, while vitamin D supplementation may exert immunomodulatory effects, potentially influencing autoantibody titers and disease stability. Final Comments: This case illustrates that regression from stage 2 to stage 1 T1D can occur. The favorable outcomes reinforce evidence suggesting that exercise and vitamin D may play a role in reducing autoimmune β-cell destruction in T1D. Longitudinal studies and randomized trials are still needed to confirm these findings and to determine whether such patients would benefit from disease-modifying therapies proposed for stage 2 T1D.\n\n\n### Rezende GC1; Abi-Abib RC1; Montalvão BS1; JR Dantas1; Zajdenverg L1; Melanie Rodacki1\nCase Presentation: A 9-year-old male was referred to the endocrinology clinic after an incidental finding of elevated fasting plasma glucose (114 mg/dL). He was eutrophic, asymptomatic, with no comorbidities or family history of type 1 diabetes mellitus (T1D) or other autoimmune diseases. Repeat testing showed fasting glucose of 102 mg/dL, HbA1c of 5.5%, C-peptide of 1.05 ng/mL, and positivity for anti-glutamic acid decarboxylase (GADA)and anti–zinc transporter (ZnT8 Ab) antibodies, with negative anti-insulin and anti-IA2. These findings were consistent with stage 2 T1D, defined by mild dysglycemia and ≥ 2 positive islet autoantibodies in an asymptomatic individual. The patient was a young athlete who had regular vigorous aerobic physical activity (~ 10 h/week) and also received daily vitamin D supplementation, aiming to achieve serum 25OH vitamin levels ≥ 50 ng/mL. Follow-up every 6 months included metabolic and hormonal assessment, autoantibody titers, growth, and body composition. After 2 years, fasting glucose normalized (77 mg/dL), HbA1c was 5.2%, 25OH vitamin D levels were between 50–60 ng/mL, and C-peptide remained preserved. GADA and ZnT8 Ab persisted, though with reduced titers, indicating persistent autoimmunity but regression to stage 1 T1D. After 7 years, the patient remains asymptomatic, with fasting glucose < 100 mg/dL, continuing vitamin D supplementation and regular vigorous exercise. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: T1D is a progressive autoimmune disease classified into stage 1 (2 or more antibodies without dysglycemia), stage 2 (2 or more antibodies + mild dysglycemia), and stage 3 (clinical diabetes). Regression from stage 2 to stage 1 is rare. In this case, regular vigorous physical activity and vitamin D supplementation may have contributed to β-cell preservation or delayed dysfunction. Regular exercise is associated with improved insulin sensitivity and reduced systemic inflammation, while vitamin D supplementation may exert immunomodulatory effects, potentially influencing autoantibody titers and disease stability. Final Comments: This case illustrates that regression from stage 2 to stage 1 T1D can occur. The favorable outcomes reinforce evidence suggesting that exercise and vitamin D may play a role in reducing autoimmune β-cell destruction in T1D. Longitudinal studies and randomized trials are still needed to confirm these findings and to determine whether such patients would benefit from disease-modifying therapies proposed for stage 2 T1D.\n\n\n### (1) Universidade Federal do Rio de Janeiro -UFRJ, Rio de Janeiro, RJ, Brasil\nCase Presentation: A 9-year-old male was referred to the endocrinology clinic after an incidental finding of elevated fasting plasma glucose (114 mg/dL). He was eutrophic, asymptomatic, with no comorbidities or family history of type 1 diabetes mellitus (T1D) or other autoimmune diseases. Repeat testing showed fasting glucose of 102 mg/dL, HbA1c of 5.5%, C-peptide of 1.05 ng/mL, and positivity for anti-glutamic acid decarboxylase (GADA)and anti–zinc transporter (ZnT8 Ab) antibodies, with negative anti-insulin and anti-IA2. These findings were consistent with stage 2 T1D, defined by mild dysglycemia and ≥ 2 positive islet autoantibodies in an asymptomatic individual. The patient was a young athlete who had regular vigorous aerobic physical activity (~ 10 h/week) and also received daily vitamin D supplementation, aiming to achieve serum 25OH vitamin levels ≥ 50 ng/mL. Follow-up every 6 months included metabolic and hormonal assessment, autoantibody titers, growth, and body composition. After 2 years, fasting glucose normalized (77 mg/dL), HbA1c was 5.2%, 25OH vitamin D levels were between 50–60 ng/mL, and C-peptide remained preserved. GADA and ZnT8 Ab persisted, though with reduced titers, indicating persistent autoimmunity but regression to stage 1 T1D. After 7 years, the patient remains asymptomatic, with fasting glucose < 100 mg/dL, continuing vitamin D supplementation and regular vigorous exercise. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: T1D is a progressive autoimmune disease classified into stage 1 (2 or more antibodies without dysglycemia), stage 2 (2 or more antibodies + mild dysglycemia), and stage 3 (clinical diabetes). Regression from stage 2 to stage 1 is rare. In this case, regular vigorous physical activity and vitamin D supplementation may have contributed to β-cell preservation or delayed dysfunction. Regular exercise is associated with improved insulin sensitivity and reduced systemic inflammation, while vitamin D supplementation may exert immunomodulatory effects, potentially influencing autoantibody titers and disease stability. Final Comments: This case illustrates that regression from stage 2 to stage 1 T1D can occur. The favorable outcomes reinforce evidence suggesting that exercise and vitamin D may play a role in reducing autoimmune β-cell destruction in T1D. Longitudinal studies and randomized trials are still needed to confirm these findings and to determine whether such patients would benefit from disease-modifying therapies proposed for stage 2 T1D.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—264\nCase Presentation: A 9-year-old male was referred to the endocrinology clinic after an incidental finding of elevated fasting plasma glucose (114 mg/dL). He was eutrophic, asymptomatic, with no comorbidities or family history of type 1 diabetes mellitus (T1D) or other autoimmune diseases. Repeat testing showed fasting glucose of 102 mg/dL, HbA1c of 5.5%, C-peptide of 1.05 ng/mL, and positivity for anti-glutamic acid decarboxylase (GADA)and anti–zinc transporter (ZnT8 Ab) antibodies, with negative anti-insulin and anti-IA2. These findings were consistent with stage 2 T1D, defined by mild dysglycemia and ≥ 2 positive islet autoantibodies in an asymptomatic individual. The patient was a young athlete who had regular vigorous aerobic physical activity (~ 10 h/week) and also received daily vitamin D supplementation, aiming to achieve serum 25OH vitamin levels ≥ 50 ng/mL. Follow-up every 6 months included metabolic and hormonal assessment, autoantibody titers, growth, and body composition. After 2 years, fasting glucose normalized (77 mg/dL), HbA1c was 5.2%, 25OH vitamin D levels were between 50–60 ng/mL, and C-peptide remained preserved. GADA and ZnT8 Ab persisted, though with reduced titers, indicating persistent autoimmunity but regression to stage 1 T1D. After 7 years, the patient remains asymptomatic, with fasting glucose < 100 mg/dL, continuing vitamin D supplementation and regular vigorous exercise. The patient’s guardian gave their explicit written consent to publish the patient’s information in an open access journal. Discussion: T1D is a progressive autoimmune disease classified into stage 1 (2 or more antibodies without dysglycemia), stage 2 (2 or more antibodies + mild dysglycemia), and stage 3 (clinical diabetes). Regression from stage 2 to stage 1 is rare. In this case, regular vigorous physical activity and vitamin D supplementation may have contributed to β-cell preservation or delayed dysfunction. Regular exercise is associated with improved insulin sensitivity and reduced systemic inflammation, while vitamin D supplementation may exert immunomodulatory effects, potentially influencing autoantibody titers and disease stability. Final Comments: This case illustrates that regression from stage 2 to stage 1 T1D can occur. The favorable outcomes reinforce evidence suggesting that exercise and vitamin D may play a role in reducing autoimmune β-cell destruction in T1D. Longitudinal studies and randomized trials are still needed to confirm these findings and to determine whether such patients would benefit from disease-modifying therapies proposed for stage 2 T1D.\n\n\n### PO—265 Prevalence of Diabulimia in Adults with Type 1 Diabetes Mellitus\nIntroduction: It is estimated that approximately 9.4 million people worldwide live with Type 1 Diabetes Mellitus (T1DM), including 600,000 in Brazil. One of the main challenges in managing this condition is diabulimia, characterized by the deliberate omission of insulin for weight control, which is more common among women (37.9%) but also affects adult men (15.96%) with T1DM. Diabulimia is associated with weight variation, strict carbohydrate control, elevated glycated hemoglobin (HbA1c) levels, and dietary restriction. Therefore, early screening for diabulimia should be incorporated into clinical practice using tools specifically designed for this population. Objective: To estimate the prevalence of diabulimia among adults with Type 1 Diabetes Mellitus. Methods: This was a cross-sectional study conducted at a specialized center in Fortaleza, Ceará, Brazil. Eligible participants were adults (≥18 years) diagnosed with T1DM for at least 12 months and receiving quarterly clinical follow-up in accordance with ADA guidelines. Pregnant women were excluded. The target population comprised 1,907 adults with T1DM followed at the center. Prevalence was calculated based on the number of cases identified by the DEPS-R questionnaire, divided by the total number of adults with T1DM and multiplied by 100,000. Sociodemographic data were also collected. The study was approved by the Research Ethics Committee of the State University of Ceará (approval no. 7.091.417). Results: Of the 73 participants, 34 (46.5%) scored 20 or higher on the DEPS-R, indicating the presence of diabulimia. The estimated prevalence of the condition among the adult T1DM population at the center was 1.78 cases per 100,000 individuals. Among the participants, there was a predominance of males (n = 46; 63%) and individuals self-identified as mixed race (n = 36; 49.3%), with a mean age of 26 years. Conclusion: The study identified a notably high proportion of potential diabulimia cases among adults with T1DM, suggesting a significant presence of the condition in this population. The findings emphasize the importance of early screening in clinical settings and reinforce the need for specific assessment tools and trained multidisciplinary teams to manage eating disorders in individuals with T1DM.\n\n\n### Marques SJS1; Garces TS1; Lima GS1; Belchior AB1; Oliveira LV1; Costa SAF1; dos Santos CMT1; Araújo AL1; Oliveira SKP1; Moreira TMM1\nIntroduction: It is estimated that approximately 9.4 million people worldwide live with Type 1 Diabetes Mellitus (T1DM), including 600,000 in Brazil. One of the main challenges in managing this condition is diabulimia, characterized by the deliberate omission of insulin for weight control, which is more common among women (37.9%) but also affects adult men (15.96%) with T1DM. Diabulimia is associated with weight variation, strict carbohydrate control, elevated glycated hemoglobin (HbA1c) levels, and dietary restriction. Therefore, early screening for diabulimia should be incorporated into clinical practice using tools specifically designed for this population. Objective: To estimate the prevalence of diabulimia among adults with Type 1 Diabetes Mellitus. Methods: This was a cross-sectional study conducted at a specialized center in Fortaleza, Ceará, Brazil. Eligible participants were adults (≥18 years) diagnosed with T1DM for at least 12 months and receiving quarterly clinical follow-up in accordance with ADA guidelines. Pregnant women were excluded. The target population comprised 1,907 adults with T1DM followed at the center. Prevalence was calculated based on the number of cases identified by the DEPS-R questionnaire, divided by the total number of adults with T1DM and multiplied by 100,000. Sociodemographic data were also collected. The study was approved by the Research Ethics Committee of the State University of Ceará (approval no. 7.091.417). Results: Of the 73 participants, 34 (46.5%) scored 20 or higher on the DEPS-R, indicating the presence of diabulimia. The estimated prevalence of the condition among the adult T1DM population at the center was 1.78 cases per 100,000 individuals. Among the participants, there was a predominance of males (n = 46; 63%) and individuals self-identified as mixed race (n = 36; 49.3%), with a mean age of 26 years. Conclusion: The study identified a notably high proportion of potential diabulimia cases among adults with T1DM, suggesting a significant presence of the condition in this population. The findings emphasize the importance of early screening in clinical settings and reinforce the need for specific assessment tools and trained multidisciplinary teams to manage eating disorders in individuals with T1DM.\n\n\n### (1) Universidade Estadual do Ceará, Fortaleza, CE, Brasil\nIntroduction: It is estimated that approximately 9.4 million people worldwide live with Type 1 Diabetes Mellitus (T1DM), including 600,000 in Brazil. One of the main challenges in managing this condition is diabulimia, characterized by the deliberate omission of insulin for weight control, which is more common among women (37.9%) but also affects adult men (15.96%) with T1DM. Diabulimia is associated with weight variation, strict carbohydrate control, elevated glycated hemoglobin (HbA1c) levels, and dietary restriction. Therefore, early screening for diabulimia should be incorporated into clinical practice using tools specifically designed for this population. Objective: To estimate the prevalence of diabulimia among adults with Type 1 Diabetes Mellitus. Methods: This was a cross-sectional study conducted at a specialized center in Fortaleza, Ceará, Brazil. Eligible participants were adults (≥18 years) diagnosed with T1DM for at least 12 months and receiving quarterly clinical follow-up in accordance with ADA guidelines. Pregnant women were excluded. The target population comprised 1,907 adults with T1DM followed at the center. Prevalence was calculated based on the number of cases identified by the DEPS-R questionnaire, divided by the total number of adults with T1DM and multiplied by 100,000. Sociodemographic data were also collected. The study was approved by the Research Ethics Committee of the State University of Ceará (approval no. 7.091.417). Results: Of the 73 participants, 34 (46.5%) scored 20 or higher on the DEPS-R, indicating the presence of diabulimia. The estimated prevalence of the condition among the adult T1DM population at the center was 1.78 cases per 100,000 individuals. Among the participants, there was a predominance of males (n = 46; 63%) and individuals self-identified as mixed race (n = 36; 49.3%), with a mean age of 26 years. Conclusion: The study identified a notably high proportion of potential diabulimia cases among adults with T1DM, suggesting a significant presence of the condition in this population. The findings emphasize the importance of early screening in clinical settings and reinforce the need for specific assessment tools and trained multidisciplinary teams to manage eating disorders in individuals with T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—265\nIntroduction: It is estimated that approximately 9.4 million people worldwide live with Type 1 Diabetes Mellitus (T1DM), including 600,000 in Brazil. One of the main challenges in managing this condition is diabulimia, characterized by the deliberate omission of insulin for weight control, which is more common among women (37.9%) but also affects adult men (15.96%) with T1DM. Diabulimia is associated with weight variation, strict carbohydrate control, elevated glycated hemoglobin (HbA1c) levels, and dietary restriction. Therefore, early screening for diabulimia should be incorporated into clinical practice using tools specifically designed for this population. Objective: To estimate the prevalence of diabulimia among adults with Type 1 Diabetes Mellitus. Methods: This was a cross-sectional study conducted at a specialized center in Fortaleza, Ceará, Brazil. Eligible participants were adults (≥18 years) diagnosed with T1DM for at least 12 months and receiving quarterly clinical follow-up in accordance with ADA guidelines. Pregnant women were excluded. The target population comprised 1,907 adults with T1DM followed at the center. Prevalence was calculated based on the number of cases identified by the DEPS-R questionnaire, divided by the total number of adults with T1DM and multiplied by 100,000. Sociodemographic data were also collected. The study was approved by the Research Ethics Committee of the State University of Ceará (approval no. 7.091.417). Results: Of the 73 participants, 34 (46.5%) scored 20 or higher on the DEPS-R, indicating the presence of diabulimia. The estimated prevalence of the condition among the adult T1DM population at the center was 1.78 cases per 100,000 individuals. Among the participants, there was a predominance of males (n = 46; 63%) and individuals self-identified as mixed race (n = 36; 49.3%), with a mean age of 26 years. Conclusion: The study identified a notably high proportion of potential diabulimia cases among adults with T1DM, suggesting a significant presence of the condition in this population. The findings emphasize the importance of early screening in clinical settings and reinforce the need for specific assessment tools and trained multidisciplinary teams to manage eating disorders in individuals with T1DM.\n\n\n### PO—266 Prevalence Of Electrocardiographic Changes And Stratification Of Cardiovascular Risk During Physical Effort In People With And Without Type 2 Diabetes\nIntroduction: Cardiovascular diseases are highly prevalent among individuals with diabetes, largely attributed to diabetic autonomic neuropathy. While physical exercise is widely encouraged as part of diabetes treatment, individuals with diabetes, especially during the acute phase of diabetic autonomic neuropathy, may exhibit altered hemodynamic and electrocardiographic responses, increasing cardiovascular risk during physical effort. To minimize these risks, a preliminary exercise stress test is essential to guide safe physical activity prescription in this population Objective: To determine the prevalence of electrocardiographic abnormalities as predictors of cardiovascular risk during exercise in individuals with and without type 2 diabetes Methods: An analytical cross-sectional study was conducted with 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were assessed at the ergometry unit of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achievement of at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed diagnosis of type 2 diabetes was also required. Data were categorized into five sets: sociodemographic characteristics, health status, baseline and exercise hemodynamic and electrocardiographic behavior, and the presence of signs or symptoms suggestive of cardiovascular disease during the test. Parametric statistical analyses were performed using Student’s t-test, chi-square test, and multivariate regression, with significance set at p ≤ 0.05 Results: The sample was predominantly female (57%). G2 exhibited a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, with the most frequent findings being other arrhythmias (16.3%), ventricular premature contractions (13.4%), and ST-segment depression (12.6%). G2 had an odds ratio of 4.65 for ventricular premature contractions during exercise compared to G1. Cardiovascular risk stratification using the Duke Treadmill Score indicated a high risk profile in the diabetic group Conclusion: The G2 demonstrated a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, as well as elevated cardiovascular risk, underscoring the need for thorough electrocardiographic evaluation before exercise prescription in this population.\n\n\n### Cruz PWS1; Cruz ATM1; Souza AM1; Vasconcelos AR1; Costa KB1; Buarque LK1; Figueiredo LS2; Ribeiro JNS3; Vancea DMM1; Ferreira MNL1\nIntroduction: Cardiovascular diseases are highly prevalent among individuals with diabetes, largely attributed to diabetic autonomic neuropathy. While physical exercise is widely encouraged as part of diabetes treatment, individuals with diabetes, especially during the acute phase of diabetic autonomic neuropathy, may exhibit altered hemodynamic and electrocardiographic responses, increasing cardiovascular risk during physical effort. To minimize these risks, a preliminary exercise stress test is essential to guide safe physical activity prescription in this population Objective: To determine the prevalence of electrocardiographic abnormalities as predictors of cardiovascular risk during exercise in individuals with and without type 2 diabetes Methods: An analytical cross-sectional study was conducted with 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were assessed at the ergometry unit of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achievement of at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed diagnosis of type 2 diabetes was also required. Data were categorized into five sets: sociodemographic characteristics, health status, baseline and exercise hemodynamic and electrocardiographic behavior, and the presence of signs or symptoms suggestive of cardiovascular disease during the test. Parametric statistical analyses were performed using Student’s t-test, chi-square test, and multivariate regression, with significance set at p ≤ 0.05 Results: The sample was predominantly female (57%). G2 exhibited a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, with the most frequent findings being other arrhythmias (16.3%), ventricular premature contractions (13.4%), and ST-segment depression (12.6%). G2 had an odds ratio of 4.65 for ventricular premature contractions during exercise compared to G1. Cardiovascular risk stratification using the Duke Treadmill Score indicated a high risk profile in the diabetic group Conclusion: The G2 demonstrated a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, as well as elevated cardiovascular risk, underscoring the need for thorough electrocardiographic evaluation before exercise prescription in this population.\n\n\n### (1) Universidade de Pernambuco, Recife, PE, Brasil; (2) Universidade Federal de Minas Gerais, Belo Horizonte, MG, Brasil; (3) Faculdade Pernambucana de Saúde, Recife, PE, Brasil\nIntroduction: Cardiovascular diseases are highly prevalent among individuals with diabetes, largely attributed to diabetic autonomic neuropathy. While physical exercise is widely encouraged as part of diabetes treatment, individuals with diabetes, especially during the acute phase of diabetic autonomic neuropathy, may exhibit altered hemodynamic and electrocardiographic responses, increasing cardiovascular risk during physical effort. To minimize these risks, a preliminary exercise stress test is essential to guide safe physical activity prescription in this population Objective: To determine the prevalence of electrocardiographic abnormalities as predictors of cardiovascular risk during exercise in individuals with and without type 2 diabetes Methods: An analytical cross-sectional study was conducted with 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were assessed at the ergometry unit of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achievement of at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed diagnosis of type 2 diabetes was also required. Data were categorized into five sets: sociodemographic characteristics, health status, baseline and exercise hemodynamic and electrocardiographic behavior, and the presence of signs or symptoms suggestive of cardiovascular disease during the test. Parametric statistical analyses were performed using Student’s t-test, chi-square test, and multivariate regression, with significance set at p ≤ 0.05 Results: The sample was predominantly female (57%). G2 exhibited a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, with the most frequent findings being other arrhythmias (16.3%), ventricular premature contractions (13.4%), and ST-segment depression (12.6%). G2 had an odds ratio of 4.65 for ventricular premature contractions during exercise compared to G1. Cardiovascular risk stratification using the Duke Treadmill Score indicated a high risk profile in the diabetic group Conclusion: The G2 demonstrated a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, as well as elevated cardiovascular risk, underscoring the need for thorough electrocardiographic evaluation before exercise prescription in this population.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—266\nIntroduction: Cardiovascular diseases are highly prevalent among individuals with diabetes, largely attributed to diabetic autonomic neuropathy. While physical exercise is widely encouraged as part of diabetes treatment, individuals with diabetes, especially during the acute phase of diabetic autonomic neuropathy, may exhibit altered hemodynamic and electrocardiographic responses, increasing cardiovascular risk during physical effort. To minimize these risks, a preliminary exercise stress test is essential to guide safe physical activity prescription in this population Objective: To determine the prevalence of electrocardiographic abnormalities as predictors of cardiovascular risk during exercise in individuals with and without type 2 diabetes Methods: An analytical cross-sectional study was conducted with 760 patients, divided into two groups: G1 – 380 individuals without diabetes, and G2 – 380 individuals with type 2 diabetes. All participants were assessed at the ergometry unit of a cardiology reference hospital in northeastern Brazil. Inclusion criteria for both groups included the absence of previous cardiovascular disease or autonomic neuropathy and achievement of at least 75% of the estimated chronotropic reserve during the exercise test. For G2, a confirmed diagnosis of type 2 diabetes was also required. Data were categorized into five sets: sociodemographic characteristics, health status, baseline and exercise hemodynamic and electrocardiographic behavior, and the presence of signs or symptoms suggestive of cardiovascular disease during the test. Parametric statistical analyses were performed using Student’s t-test, chi-square test, and multivariate regression, with significance set at p ≤ 0.05 Results: The sample was predominantly female (57%). G2 exhibited a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, with the most frequent findings being other arrhythmias (16.3%), ventricular premature contractions (13.4%), and ST-segment depression (12.6%). G2 had an odds ratio of 4.65 for ventricular premature contractions during exercise compared to G1. Cardiovascular risk stratification using the Duke Treadmill Score indicated a high risk profile in the diabetic group Conclusion: The G2 demonstrated a significantly higher prevalence of electrocardiographic abnormalities at rest and during exercise, as well as elevated cardiovascular risk, underscoring the need for thorough electrocardiographic evaluation before exercise prescription in this population.\n\n\n### PO—267 Randomized Clinical Trial on The Impact of Food Education Groups Combined With Nutritional Counseling On Intuitive Eating Scores In Patients With Type 2 Diabetes\nIntroduction: Type 2 diabetes is a major public health issue, requiring nutritional guidance to promote healthy eating for better glycemic control. Intuitive Eating, a non-diet approach, encourages individuals to reconnect with hunger and satiety cues, offering a promising alternative for modifying eating behaviors in diabetes management. Objective: This study aimed to assess the impact of nutrition education groups combined with individualized nutritional counseling on intuitive eating scores in outpatients with type 2 diabetes, compared to individualized counseling alone. Methods: A randomized, parallel, open-label clinical trial was conducted with adults receiving care at a university hospital outpatient clinic in Brazil, with a four-month follow-up. Participants were stratified by sex and haemoglobin A1c (HbA1c) levels and randomly assigned (1:1) to one of two treatment arms: the control group (individualized nutritional counseling) or the intervention group (individualized counseling plus three nutrition education group sessions). Due to the nature of the intervention, neither participants nor researchers were blinded. Clinical, laboratory, and lifestyle data were collected at baseline and after four months. Intuitive Eating was assessed using the Intuitive Eating Scale-2, adapted to Brazilian Portuguese. The modified intention-to-treat principle was applied. Differences over time and between randomization groups were analyzed using the Generalized Estimating Equations regression model (p < 0.05, two-tailed). Results: A total of 213 participants were included, 62% of whom were women, with a median age of 61 years (IQR = 54–65) and a median baseline HbA1c of 9.2% (8.3–10.2%). No significant differences were found between the baseline characteristics of participants in the control and intervention groups. Participants in both groups showed an increase in intuitive eating scores (p = 0.002) and a ~0.3% reduction in HbA1c (p = 0.002) over the study period. However, no significant differences were observed between the two groups. Individualized nutritional counseling improved intuitive eating scores and HbA1c but adding nutrition education groups provided no additional benefit. Conclusion: Individualized nutritional counseling is effective in improving intuitive eating scores and HbA1c in patients with type 2 diabetes. Adding nutrition education groups did not offer additional benefits beyond individualized counseling.\n\n\n### Fabris RC1; Busanello A1; Koller OG1; Dambrowski AG1; Menezes VM1; Andreia AV1; Ferreira SC1; Almeida JC1\nIntroduction: Type 2 diabetes is a major public health issue, requiring nutritional guidance to promote healthy eating for better glycemic control. Intuitive Eating, a non-diet approach, encourages individuals to reconnect with hunger and satiety cues, offering a promising alternative for modifying eating behaviors in diabetes management. Objective: This study aimed to assess the impact of nutrition education groups combined with individualized nutritional counseling on intuitive eating scores in outpatients with type 2 diabetes, compared to individualized counseling alone. Methods: A randomized, parallel, open-label clinical trial was conducted with adults receiving care at a university hospital outpatient clinic in Brazil, with a four-month follow-up. Participants were stratified by sex and haemoglobin A1c (HbA1c) levels and randomly assigned (1:1) to one of two treatment arms: the control group (individualized nutritional counseling) or the intervention group (individualized counseling plus three nutrition education group sessions). Due to the nature of the intervention, neither participants nor researchers were blinded. Clinical, laboratory, and lifestyle data were collected at baseline and after four months. Intuitive Eating was assessed using the Intuitive Eating Scale-2, adapted to Brazilian Portuguese. The modified intention-to-treat principle was applied. Differences over time and between randomization groups were analyzed using the Generalized Estimating Equations regression model (p < 0.05, two-tailed). Results: A total of 213 participants were included, 62% of whom were women, with a median age of 61 years (IQR = 54–65) and a median baseline HbA1c of 9.2% (8.3–10.2%). No significant differences were found between the baseline characteristics of participants in the control and intervention groups. Participants in both groups showed an increase in intuitive eating scores (p = 0.002) and a ~0.3% reduction in HbA1c (p = 0.002) over the study period. However, no significant differences were observed between the two groups. Individualized nutritional counseling improved intuitive eating scores and HbA1c but adding nutrition education groups provided no additional benefit. Conclusion: Individualized nutritional counseling is effective in improving intuitive eating scores and HbA1c in patients with type 2 diabetes. Adding nutrition education groups did not offer additional benefits beyond individualized counseling.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil\nIntroduction: Type 2 diabetes is a major public health issue, requiring nutritional guidance to promote healthy eating for better glycemic control. Intuitive Eating, a non-diet approach, encourages individuals to reconnect with hunger and satiety cues, offering a promising alternative for modifying eating behaviors in diabetes management. Objective: This study aimed to assess the impact of nutrition education groups combined with individualized nutritional counseling on intuitive eating scores in outpatients with type 2 diabetes, compared to individualized counseling alone. Methods: A randomized, parallel, open-label clinical trial was conducted with adults receiving care at a university hospital outpatient clinic in Brazil, with a four-month follow-up. Participants were stratified by sex and haemoglobin A1c (HbA1c) levels and randomly assigned (1:1) to one of two treatment arms: the control group (individualized nutritional counseling) or the intervention group (individualized counseling plus three nutrition education group sessions). Due to the nature of the intervention, neither participants nor researchers were blinded. Clinical, laboratory, and lifestyle data were collected at baseline and after four months. Intuitive Eating was assessed using the Intuitive Eating Scale-2, adapted to Brazilian Portuguese. The modified intention-to-treat principle was applied. Differences over time and between randomization groups were analyzed using the Generalized Estimating Equations regression model (p < 0.05, two-tailed). Results: A total of 213 participants were included, 62% of whom were women, with a median age of 61 years (IQR = 54–65) and a median baseline HbA1c of 9.2% (8.3–10.2%). No significant differences were found between the baseline characteristics of participants in the control and intervention groups. Participants in both groups showed an increase in intuitive eating scores (p = 0.002) and a ~0.3% reduction in HbA1c (p = 0.002) over the study period. However, no significant differences were observed between the two groups. Individualized nutritional counseling improved intuitive eating scores and HbA1c but adding nutrition education groups provided no additional benefit. Conclusion: Individualized nutritional counseling is effective in improving intuitive eating scores and HbA1c in patients with type 2 diabetes. Adding nutrition education groups did not offer additional benefits beyond individualized counseling.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—267\nIntroduction: Type 2 diabetes is a major public health issue, requiring nutritional guidance to promote healthy eating for better glycemic control. Intuitive Eating, a non-diet approach, encourages individuals to reconnect with hunger and satiety cues, offering a promising alternative for modifying eating behaviors in diabetes management. Objective: This study aimed to assess the impact of nutrition education groups combined with individualized nutritional counseling on intuitive eating scores in outpatients with type 2 diabetes, compared to individualized counseling alone. Methods: A randomized, parallel, open-label clinical trial was conducted with adults receiving care at a university hospital outpatient clinic in Brazil, with a four-month follow-up. Participants were stratified by sex and haemoglobin A1c (HbA1c) levels and randomly assigned (1:1) to one of two treatment arms: the control group (individualized nutritional counseling) or the intervention group (individualized counseling plus three nutrition education group sessions). Due to the nature of the intervention, neither participants nor researchers were blinded. Clinical, laboratory, and lifestyle data were collected at baseline and after four months. Intuitive Eating was assessed using the Intuitive Eating Scale-2, adapted to Brazilian Portuguese. The modified intention-to-treat principle was applied. Differences over time and between randomization groups were analyzed using the Generalized Estimating Equations regression model (p < 0.05, two-tailed). Results: A total of 213 participants were included, 62% of whom were women, with a median age of 61 years (IQR = 54–65) and a median baseline HbA1c of 9.2% (8.3–10.2%). No significant differences were found between the baseline characteristics of participants in the control and intervention groups. Participants in both groups showed an increase in intuitive eating scores (p = 0.002) and a ~0.3% reduction in HbA1c (p = 0.002) over the study period. However, no significant differences were observed between the two groups. Individualized nutritional counseling improved intuitive eating scores and HbA1c but adding nutrition education groups provided no additional benefit. Conclusion: Individualized nutritional counseling is effective in improving intuitive eating scores and HbA1c in patients with type 2 diabetes. Adding nutrition education groups did not offer additional benefits beyond individualized counseling.\n\n\n### PO—268 Readiness for Change and Diet Quality in Diabetes Prevention: Insights from a Brazilian Pilot Trial\nIntroduction: The adoption of a healthy diet, regular physical activity, and weight management are key recommendations for reducing the risk of diabetes mellitus developing. Furthermore, an individual’s stage of readiness for change in adopting lifestyle modifications may influence the outcomes achieved. Objective: To evaluate the impact of readiness for change on adherence to nutritional counseling, comparing individuals at high risk for diabetes receiving either a lifestyle modification intervention or usual care. Methods: This secondary analysis of data from a multicenter randomized controlled trial (NCT 05689658) that compared the Diabetes Prevention Program (PROVEN-DIA) with standard nutritional counseling in participants at high risk for diabetes over a three-month follow-up period. Individuals at high risk for type 2 diabetes, were assessed for their readiness to change lifestyle behaviors, self-perceived diet quality, physical activity level, smoking status. Self-perceived diet quality was evaluated using the Wheel of Cardiovascular Health Diet and was defined as “high quality” when the graphic area was >70%. Participants were categorized into three groups based on their readiness for change: precontemplation/contemplation, preparation and action/maintenance. Their characteristics were compared while accounting for randomization. Results: Among 220 participants, of whom 71.8% were women, with a mean age of 48±10 years, 16.4% had not completed elementary education, 65.5% had obesity, 38.2% had prediabetes, participants who received the PROVEN-Dia intervention at the precontemplation/contemplation stage were more likely to report high diet quality after three months (OR=4.7;95% CI=1.2–17.8). For those in the action/maintenance the odds were 2.9 (95%CI=0.5–18.3) and among the participants in the preparation stages the odds were 1.9 (95%CI=0.8–4.6). Conclusion: These findings suggest that the PROVEN-DIA intervention is effective in promoting improvements in diet quality, regardless of the stage of readiness for change.\n\n\n### Andreia AV1; Koller OG1; Bersch-Ferreira AC2; Ana Carvalho APPF3; Bressan J4nto SL5; Sahade V6; Almeida JC1\nIntroduction: The adoption of a healthy diet, regular physical activity, and weight management are key recommendations for reducing the risk of diabetes mellitus developing. Furthermore, an individual’s stage of readiness for change in adopting lifestyle modifications may influence the outcomes achieved. Objective: To evaluate the impact of readiness for change on adherence to nutritional counseling, comparing individuals at high risk for diabetes receiving either a lifestyle modification intervention or usual care. Methods: This secondary analysis of data from a multicenter randomized controlled trial (NCT 05689658) that compared the Diabetes Prevention Program (PROVEN-DIA) with standard nutritional counseling in participants at high risk for diabetes over a three-month follow-up period. Individuals at high risk for type 2 diabetes, were assessed for their readiness to change lifestyle behaviors, self-perceived diet quality, physical activity level, smoking status. Self-perceived diet quality was evaluated using the Wheel of Cardiovascular Health Diet and was defined as “high quality” when the graphic area was >70%. Participants were categorized into three groups based on their readiness for change: precontemplation/contemplation, preparation and action/maintenance. Their characteristics were compared while accounting for randomization. Results: Among 220 participants, of whom 71.8% were women, with a mean age of 48±10 years, 16.4% had not completed elementary education, 65.5% had obesity, 38.2% had prediabetes, participants who received the PROVEN-Dia intervention at the precontemplation/contemplation stage were more likely to report high diet quality after three months (OR=4.7;95% CI=1.2–17.8). For those in the action/maintenance the odds were 2.9 (95%CI=0.5–18.3) and among the participants in the preparation stages the odds were 1.9 (95%CI=0.8–4.6). Conclusion: These findings suggest that the PROVEN-DIA intervention is effective in promoting improvements in diet quality, regardless of the stage of readiness for change.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Hospital Beneficência Portuguesa de São Paulo, São Paulo, SP, Brasil; (3) Hospital das Clínicas da Universidade Federal de Goiás, Goiânia, GO, Brasil; (4) Universidade Federal de Viçosa, Viçosa, MG, Brasil; (5) Universidade Federal do Tocantins, Palmas, TO, Brasil; (6) Universidade Federal da Bahia, Salvador, BA, Brasil; (7) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil\nIntroduction: The adoption of a healthy diet, regular physical activity, and weight management are key recommendations for reducing the risk of diabetes mellitus developing. Furthermore, an individual’s stage of readiness for change in adopting lifestyle modifications may influence the outcomes achieved. Objective: To evaluate the impact of readiness for change on adherence to nutritional counseling, comparing individuals at high risk for diabetes receiving either a lifestyle modification intervention or usual care. Methods: This secondary analysis of data from a multicenter randomized controlled trial (NCT 05689658) that compared the Diabetes Prevention Program (PROVEN-DIA) with standard nutritional counseling in participants at high risk for diabetes over a three-month follow-up period. Individuals at high risk for type 2 diabetes, were assessed for their readiness to change lifestyle behaviors, self-perceived diet quality, physical activity level, smoking status. Self-perceived diet quality was evaluated using the Wheel of Cardiovascular Health Diet and was defined as “high quality” when the graphic area was >70%. Participants were categorized into three groups based on their readiness for change: precontemplation/contemplation, preparation and action/maintenance. Their characteristics were compared while accounting for randomization. Results: Among 220 participants, of whom 71.8% were women, with a mean age of 48±10 years, 16.4% had not completed elementary education, 65.5% had obesity, 38.2% had prediabetes, participants who received the PROVEN-Dia intervention at the precontemplation/contemplation stage were more likely to report high diet quality after three months (OR=4.7;95% CI=1.2–17.8). For those in the action/maintenance the odds were 2.9 (95%CI=0.5–18.3) and among the participants in the preparation stages the odds were 1.9 (95%CI=0.8–4.6). Conclusion: These findings suggest that the PROVEN-DIA intervention is effective in promoting improvements in diet quality, regardless of the stage of readiness for change.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—268\nIntroduction: The adoption of a healthy diet, regular physical activity, and weight management are key recommendations for reducing the risk of diabetes mellitus developing. Furthermore, an individual’s stage of readiness for change in adopting lifestyle modifications may influence the outcomes achieved. Objective: To evaluate the impact of readiness for change on adherence to nutritional counseling, comparing individuals at high risk for diabetes receiving either a lifestyle modification intervention or usual care. Methods: This secondary analysis of data from a multicenter randomized controlled trial (NCT 05689658) that compared the Diabetes Prevention Program (PROVEN-DIA) with standard nutritional counseling in participants at high risk for diabetes over a three-month follow-up period. Individuals at high risk for type 2 diabetes, were assessed for their readiness to change lifestyle behaviors, self-perceived diet quality, physical activity level, smoking status. Self-perceived diet quality was evaluated using the Wheel of Cardiovascular Health Diet and was defined as “high quality” when the graphic area was >70%. Participants were categorized into three groups based on their readiness for change: precontemplation/contemplation, preparation and action/maintenance. Their characteristics were compared while accounting for randomization. Results: Among 220 participants, of whom 71.8% were women, with a mean age of 48±10 years, 16.4% had not completed elementary education, 65.5% had obesity, 38.2% had prediabetes, participants who received the PROVEN-Dia intervention at the precontemplation/contemplation stage were more likely to report high diet quality after three months (OR=4.7;95% CI=1.2–17.8). For those in the action/maintenance the odds were 2.9 (95%CI=0.5–18.3) and among the participants in the preparation stages the odds were 1.9 (95%CI=0.8–4.6). Conclusion: These findings suggest that the PROVEN-DIA intervention is effective in promoting improvements in diet quality, regardless of the stage of readiness for change.\n\n\n### PO—269 Relation Between Culinary Skills and Determinants Of Food Choices In People With Type 2 Diabetes Mellitus Followed in a Public Hospital In The Amazon Region\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, including dietary choices, which are influenced by many factors, such as individual cooking skills and practices. Objective: To analyze the relationship between cooking skills and determinants of eating choices in people with type 2 diabetes receiving care at a public hospital. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed at least a year prior. Data collection involved the Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Eating Motivation Survey (TEMS). Data were analyzed using SPSS version 24, with a significant level of p<0,05. The study was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form. Results: A total of 157 adults were evaluated, with a mean age of 54,7±7,3 years, and 72,6% were women. A positive correlation was observed between the “habits” domain and cooking self-efficacy (r=0,234; p=0,003), while the “health” domain was correlated with cooking attitude (r=0,146; p=0,047), cooking self-efficacy (r=0,130; p=0,069), and the overall cooking skills score (r=0,215; p=0,006), suggesting that both habitual influence and health concerns appear to be important factors for promoting engagement and self-confidence in cooking practices. In contrast, the “convenience” domain showed a negative correlation with cooking behavior (r=–0,254; p=0,002), and the “social norms” and “emotional control” domains presented negative correlations with cooking self-efficacy (r=–0,214; p=0,007 and r=–0,159; p=0,034, respectively), suggesting that prioritizing practicality or being influenced by social standards may limit confidence in preparing healthy meals. Conclusion: Habits and health concerns strengthen confidence and engagement in food preparation, while convenience-seeking and susceptibility to social influences may hinder these practices. These findings highlight the importance of food and nutrition education strategies that support cooking autonomy and reduce external influences on eating choices.\n\n\n### Gomes DL1; Silva SEC1; Coelho RKS1; Vilacorta GCS1; Siqueira NC1; Lima APV1; Oliveira GES1; Gonçalves KCC1; Inete MV1; Souza YDES1; Carvalhal MML1\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, including dietary choices, which are influenced by many factors, such as individual cooking skills and practices. Objective: To analyze the relationship between cooking skills and determinants of eating choices in people with type 2 diabetes receiving care at a public hospital. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed at least a year prior. Data collection involved the Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Eating Motivation Survey (TEMS). Data were analyzed using SPSS version 24, with a significant level of p<0,05. The study was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form. Results: A total of 157 adults were evaluated, with a mean age of 54,7±7,3 years, and 72,6% were women. A positive correlation was observed between the “habits” domain and cooking self-efficacy (r=0,234; p=0,003), while the “health” domain was correlated with cooking attitude (r=0,146; p=0,047), cooking self-efficacy (r=0,130; p=0,069), and the overall cooking skills score (r=0,215; p=0,006), suggesting that both habitual influence and health concerns appear to be important factors for promoting engagement and self-confidence in cooking practices. In contrast, the “convenience” domain showed a negative correlation with cooking behavior (r=–0,254; p=0,002), and the “social norms” and “emotional control” domains presented negative correlations with cooking self-efficacy (r=–0,214; p=0,007 and r=–0,159; p=0,034, respectively), suggesting that prioritizing practicality or being influenced by social standards may limit confidence in preparing healthy meals. Conclusion: Habits and health concerns strengthen confidence and engagement in food preparation, while convenience-seeking and susceptibility to social influences may hinder these practices. These findings highlight the importance of food and nutrition education strategies that support cooking autonomy and reduce external influences on eating choices.\n\n\n### (1) Universidade Federal do Pará, Belém, PA, Brasil\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, including dietary choices, which are influenced by many factors, such as individual cooking skills and practices. Objective: To analyze the relationship between cooking skills and determinants of eating choices in people with type 2 diabetes receiving care at a public hospital. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed at least a year prior. Data collection involved the Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Eating Motivation Survey (TEMS). Data were analyzed using SPSS version 24, with a significant level of p<0,05. The study was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form. Results: A total of 157 adults were evaluated, with a mean age of 54,7±7,3 years, and 72,6% were women. A positive correlation was observed between the “habits” domain and cooking self-efficacy (r=0,234; p=0,003), while the “health” domain was correlated with cooking attitude (r=0,146; p=0,047), cooking self-efficacy (r=0,130; p=0,069), and the overall cooking skills score (r=0,215; p=0,006), suggesting that both habitual influence and health concerns appear to be important factors for promoting engagement and self-confidence in cooking practices. In contrast, the “convenience” domain showed a negative correlation with cooking behavior (r=–0,254; p=0,002), and the “social norms” and “emotional control” domains presented negative correlations with cooking self-efficacy (r=–0,214; p=0,007 and r=–0,159; p=0,034, respectively), suggesting that prioritizing practicality or being influenced by social standards may limit confidence in preparing healthy meals. Conclusion: Habits and health concerns strengthen confidence and engagement in food preparation, while convenience-seeking and susceptibility to social influences may hinder these practices. These findings highlight the importance of food and nutrition education strategies that support cooking autonomy and reduce external influences on eating choices.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—269\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, including dietary choices, which are influenced by many factors, such as individual cooking skills and practices. Objective: To analyze the relationship between cooking skills and determinants of eating choices in people with type 2 diabetes receiving care at a public hospital. Methods: This was a cross-sectional study conducted from April 2023 to August 2024 at the endocrinology outpatient clinic of a public university hospital in Belém, Brazil, involving adults of both sexes diagnosed at least a year prior. Data collection involved the Brazilian Questionnaire of Cooking Skills and Healthy Eating (QBHC) and the Eating Motivation Survey (TEMS). Data were analyzed using SPSS version 24, with a significant level of p<0,05. The study was approved by the Ethics Committee (approval number 6.087.349), and all participants signed the informed consent form. Results: A total of 157 adults were evaluated, with a mean age of 54,7±7,3 years, and 72,6% were women. A positive correlation was observed between the “habits” domain and cooking self-efficacy (r=0,234; p=0,003), while the “health” domain was correlated with cooking attitude (r=0,146; p=0,047), cooking self-efficacy (r=0,130; p=0,069), and the overall cooking skills score (r=0,215; p=0,006), suggesting that both habitual influence and health concerns appear to be important factors for promoting engagement and self-confidence in cooking practices. In contrast, the “convenience” domain showed a negative correlation with cooking behavior (r=–0,254; p=0,002), and the “social norms” and “emotional control” domains presented negative correlations with cooking self-efficacy (r=–0,214; p=0,007 and r=–0,159; p=0,034, respectively), suggesting that prioritizing practicality or being influenced by social standards may limit confidence in preparing healthy meals. Conclusion: Habits and health concerns strengthen confidence and engagement in food preparation, while convenience-seeking and susceptibility to social influences may hinder these practices. These findings highlight the importance of food and nutrition education strategies that support cooking autonomy and reduce external influences on eating choices.\n\n\n### PO—270 Relationship Between Illness Perception and Eating Behavior in Individuals with Type 2 Diabetes Mellitus\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, especially in eating habits and the way individuals perceive their illness can directly influence their eating behavior, affecting disease management. Therefore, understanding this relationship is essential for more effective diabetes care. Objective: To evaluate the relationship between illness perception and eating behavior in individuals with Type 2 Diabetes Mellitus. Methods: This is a cross-sectional study with a descriptive and analytical approach. The research was conducted in accordance with the principles of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors. The study was approved by the Research Ethics Committee (approval number: 6.087.349). Interviews were conducted to gather information on socioeconomic background, along with anthropometric assessments and the application of specific instruments such as the Three Factor Eating Questionnaire and the Brief Illness Perception Questionnaire. For statistical analysis, the Spearman correlation test was applied (p<0.05). Results: A total of 157 individuals participated in the study, with a mean age of 54.7 ± 7.3 years, and the majority were female (72.6%). The average illness perception score was 46.6 ± 9.6, with the highest scores observed in the dimensions of timeline (8.6 ± 2.4), consequences (8.4 ± 2.2), and concern (8.3 ± 2.7). Regarding eating behavior, individuals showed a higher pattern of cognitive restraint (45.8 ± 23.0). The correlation between domains of eating behavior and illness perception was also tested. It was observed that personal control showed a positive correlation with uncontrolled eating (r = 0.198; p = 0.006) and a negative correlation with cognitive restraint (r = -0.252; p = 0.001). The comprehension dimension had a negative correlation with cognitive restraint (r = -0.268; p = 0.000), and the emotional dimension showed a positive correlation with emotional eating (r = 0.155; p = 0.026). Conclusion: The individuals evaluated perceive the disease as chronic and impactful, with high levels of concern, and their eating behavior was mainly characterized by cognitive restraint. Additionally, significant correlations were found between aspects of illness perception and domains of eating behavior, highlighting the influence of emotional and cognitive dimensions on the relationship with food.\n\n\n### Souza YDES1; Inete MB1; Gomes APAS1; Mileo VV1; Sena CDC1; Silva SEC1; Carvalhal MML2; Gomes DL1; Paracampo CCP1\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, especially in eating habits and the way individuals perceive their illness can directly influence their eating behavior, affecting disease management. Therefore, understanding this relationship is essential for more effective diabetes care. Objective: To evaluate the relationship between illness perception and eating behavior in individuals with Type 2 Diabetes Mellitus. Methods: This is a cross-sectional study with a descriptive and analytical approach. The research was conducted in accordance with the principles of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors. The study was approved by the Research Ethics Committee (approval number: 6.087.349). Interviews were conducted to gather information on socioeconomic background, along with anthropometric assessments and the application of specific instruments such as the Three Factor Eating Questionnaire and the Brief Illness Perception Questionnaire. For statistical analysis, the Spearman correlation test was applied (p<0.05). Results: A total of 157 individuals participated in the study, with a mean age of 54.7 ± 7.3 years, and the majority were female (72.6%). The average illness perception score was 46.6 ± 9.6, with the highest scores observed in the dimensions of timeline (8.6 ± 2.4), consequences (8.4 ± 2.2), and concern (8.3 ± 2.7). Regarding eating behavior, individuals showed a higher pattern of cognitive restraint (45.8 ± 23.0). The correlation between domains of eating behavior and illness perception was also tested. It was observed that personal control showed a positive correlation with uncontrolled eating (r = 0.198; p = 0.006) and a negative correlation with cognitive restraint (r = -0.252; p = 0.001). The comprehension dimension had a negative correlation with cognitive restraint (r = -0.268; p = 0.000), and the emotional dimension showed a positive correlation with emotional eating (r = 0.155; p = 0.026). Conclusion: The individuals evaluated perceive the disease as chronic and impactful, with high levels of concern, and their eating behavior was mainly characterized by cognitive restraint. Additionally, significant correlations were found between aspects of illness perception and domains of eating behavior, highlighting the influence of emotional and cognitive dimensions on the relationship with food.\n\n\n### (1) Universidade Federal do Pará, Belém, PA, Brasil; (2) Serviço Social do Comércio, Belém, PA, Brasil\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, especially in eating habits and the way individuals perceive their illness can directly influence their eating behavior, affecting disease management. Therefore, understanding this relationship is essential for more effective diabetes care. Objective: To evaluate the relationship between illness perception and eating behavior in individuals with Type 2 Diabetes Mellitus. Methods: This is a cross-sectional study with a descriptive and analytical approach. The research was conducted in accordance with the principles of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors. The study was approved by the Research Ethics Committee (approval number: 6.087.349). Interviews were conducted to gather information on socioeconomic background, along with anthropometric assessments and the application of specific instruments such as the Three Factor Eating Questionnaire and the Brief Illness Perception Questionnaire. For statistical analysis, the Spearman correlation test was applied (p<0.05). Results: A total of 157 individuals participated in the study, with a mean age of 54.7 ± 7.3 years, and the majority were female (72.6%). The average illness perception score was 46.6 ± 9.6, with the highest scores observed in the dimensions of timeline (8.6 ± 2.4), consequences (8.4 ± 2.2), and concern (8.3 ± 2.7). Regarding eating behavior, individuals showed a higher pattern of cognitive restraint (45.8 ± 23.0). The correlation between domains of eating behavior and illness perception was also tested. It was observed that personal control showed a positive correlation with uncontrolled eating (r = 0.198; p = 0.006) and a negative correlation with cognitive restraint (r = -0.252; p = 0.001). The comprehension dimension had a negative correlation with cognitive restraint (r = -0.268; p = 0.000), and the emotional dimension showed a positive correlation with emotional eating (r = 0.155; p = 0.026). Conclusion: The individuals evaluated perceive the disease as chronic and impactful, with high levels of concern, and their eating behavior was mainly characterized by cognitive restraint. Additionally, significant correlations were found between aspects of illness perception and domains of eating behavior, highlighting the influence of emotional and cognitive dimensions on the relationship with food.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—270\nIntroduction: Type 2 Diabetes Mellitus is a chronic condition that requires lifestyle changes, especially in eating habits and the way individuals perceive their illness can directly influence their eating behavior, affecting disease management. Therefore, understanding this relationship is essential for more effective diabetes care. Objective: To evaluate the relationship between illness perception and eating behavior in individuals with Type 2 Diabetes Mellitus. Methods: This is a cross-sectional study with a descriptive and analytical approach. The research was conducted in accordance with the principles of the Declaration of Helsinki, the Committee on Publication Ethics, and the International Committee of Medical Journal Editors. The study was approved by the Research Ethics Committee (approval number: 6.087.349). Interviews were conducted to gather information on socioeconomic background, along with anthropometric assessments and the application of specific instruments such as the Three Factor Eating Questionnaire and the Brief Illness Perception Questionnaire. For statistical analysis, the Spearman correlation test was applied (p<0.05). Results: A total of 157 individuals participated in the study, with a mean age of 54.7 ± 7.3 years, and the majority were female (72.6%). The average illness perception score was 46.6 ± 9.6, with the highest scores observed in the dimensions of timeline (8.6 ± 2.4), consequences (8.4 ± 2.2), and concern (8.3 ± 2.7). Regarding eating behavior, individuals showed a higher pattern of cognitive restraint (45.8 ± 23.0). The correlation between domains of eating behavior and illness perception was also tested. It was observed that personal control showed a positive correlation with uncontrolled eating (r = 0.198; p = 0.006) and a negative correlation with cognitive restraint (r = -0.252; p = 0.001). The comprehension dimension had a negative correlation with cognitive restraint (r = -0.268; p = 0.000), and the emotional dimension showed a positive correlation with emotional eating (r = 0.155; p = 0.026). Conclusion: The individuals evaluated perceive the disease as chronic and impactful, with high levels of concern, and their eating behavior was mainly characterized by cognitive restraint. Additionally, significant correlations were found between aspects of illness perception and domains of eating behavior, highlighting the influence of emotional and cognitive dimensions on the relationship with food.\n\n\n### PO—271 Repercussions of the May 2024 Extreme Rainfall Event on Diabetes Outpatients at Hospital de Clínicas de Porto Alegre: A Partial Analysis\nIntroduction: Climatic emergencies have grown over the past two decades globally. In 2024, Rio Grande do Sul (RS) was affected by a great flood, causing massive losses. Diabetes prevalence in Brazil is around 10%, and understanding the impact of the flood on patients with this disease is of great interest, especially in learning from catastrophes and thinking measures that can minimize difficulties in accessing medicine during these adverse scenarios Objective: This study aimed to determine the impact of the 2024 flood in RS in Type 1 diabetes (T1D) and Type 2 diabetes (T2D) patients Methods: The study involved T2D and T1D outpatients followed by the Endocrinology Division from a tertiary hospital of RS in May/2025. A multiple-choice questionnaire evaluated the impact caused by the event. Laboratorial levels of glycated hemoglobin (A1c) were retrieved from medical records in two moments — the most recent, and 6 months before the event. Statistical analysis was performed using t-test in RStudio and the results were considered statistically significant when p-value < 0.05. Results: The study included 116 patients, 44% (n=50) were allocated in the affected group, and 46% (n=66) in the non-affected group (Control). No difference was observed in HbA1c values before and after the event among groups, mean (SD) for affected group before was 8.6 (1.7), and after 8.73 (1.8), p=0.95, and non-affected group was 8.48 (1.3), and after 8.47 (1.5), p=0.64. Questionnaire’s response showed no statistically significant difference between groups in the self-reported days of healthy eating habits (0.867), physical activities (0.649), days of adherence to medication (0.17). Still, there were situations that interfered in the participants´ treatment. In the affected group, 68% participants missed appointments due to scarce means of transportation and 20% could not find medication during the event. Conclusion: Climate change provokes intense modifications on our reality, and health providers need to understand their impact. The 2024 Flood caused sustained harm especially to patients with diabetes. Although no statistically significant results were observed in HbA1c levels, or in the questionnaire, it was evident the impact on patients’ lives — mainly disturbing their medication access or transportation means. It is possible that no difference was observed due to public health efforts, or the need for a standardized period of the analysis. Further analysis is still necessary to address medical care in future climate events.\n\n\n### Brun GR1; Freire LA1; Mello Maronez LEM1; Covre JCB1; Pereira AA1; Vieira VPN1; Vaz JPA1; Teixeira LF1; Wildner JTB1; Rodrigues TC1\nIntroduction: Climatic emergencies have grown over the past two decades globally. In 2024, Rio Grande do Sul (RS) was affected by a great flood, causing massive losses. Diabetes prevalence in Brazil is around 10%, and understanding the impact of the flood on patients with this disease is of great interest, especially in learning from catastrophes and thinking measures that can minimize difficulties in accessing medicine during these adverse scenarios Objective: This study aimed to determine the impact of the 2024 flood in RS in Type 1 diabetes (T1D) and Type 2 diabetes (T2D) patients Methods: The study involved T2D and T1D outpatients followed by the Endocrinology Division from a tertiary hospital of RS in May/2025. A multiple-choice questionnaire evaluated the impact caused by the event. Laboratorial levels of glycated hemoglobin (A1c) were retrieved from medical records in two moments — the most recent, and 6 months before the event. Statistical analysis was performed using t-test in RStudio and the results were considered statistically significant when p-value < 0.05. Results: The study included 116 patients, 44% (n=50) were allocated in the affected group, and 46% (n=66) in the non-affected group (Control). No difference was observed in HbA1c values before and after the event among groups, mean (SD) for affected group before was 8.6 (1.7), and after 8.73 (1.8), p=0.95, and non-affected group was 8.48 (1.3), and after 8.47 (1.5), p=0.64. Questionnaire’s response showed no statistically significant difference between groups in the self-reported days of healthy eating habits (0.867), physical activities (0.649), days of adherence to medication (0.17). Still, there were situations that interfered in the participants´ treatment. In the affected group, 68% participants missed appointments due to scarce means of transportation and 20% could not find medication during the event. Conclusion: Climate change provokes intense modifications on our reality, and health providers need to understand their impact. The 2024 Flood caused sustained harm especially to patients with diabetes. Although no statistically significant results were observed in HbA1c levels, or in the questionnaire, it was evident the impact on patients’ lives — mainly disturbing their medication access or transportation means. It is possible that no difference was observed due to public health efforts, or the need for a standardized period of the analysis. Further analysis is still necessary to address medical care in future climate events.\n\n\n### (1) Hospital de Clínicas de Porto Alegre, Porto Alegre, RS, Brasil\nIntroduction: Climatic emergencies have grown over the past two decades globally. In 2024, Rio Grande do Sul (RS) was affected by a great flood, causing massive losses. Diabetes prevalence in Brazil is around 10%, and understanding the impact of the flood on patients with this disease is of great interest, especially in learning from catastrophes and thinking measures that can minimize difficulties in accessing medicine during these adverse scenarios Objective: This study aimed to determine the impact of the 2024 flood in RS in Type 1 diabetes (T1D) and Type 2 diabetes (T2D) patients Methods: The study involved T2D and T1D outpatients followed by the Endocrinology Division from a tertiary hospital of RS in May/2025. A multiple-choice questionnaire evaluated the impact caused by the event. Laboratorial levels of glycated hemoglobin (A1c) were retrieved from medical records in two moments — the most recent, and 6 months before the event. Statistical analysis was performed using t-test in RStudio and the results were considered statistically significant when p-value < 0.05. Results: The study included 116 patients, 44% (n=50) were allocated in the affected group, and 46% (n=66) in the non-affected group (Control). No difference was observed in HbA1c values before and after the event among groups, mean (SD) for affected group before was 8.6 (1.7), and after 8.73 (1.8), p=0.95, and non-affected group was 8.48 (1.3), and after 8.47 (1.5), p=0.64. Questionnaire’s response showed no statistically significant difference between groups in the self-reported days of healthy eating habits (0.867), physical activities (0.649), days of adherence to medication (0.17). Still, there were situations that interfered in the participants´ treatment. In the affected group, 68% participants missed appointments due to scarce means of transportation and 20% could not find medication during the event. Conclusion: Climate change provokes intense modifications on our reality, and health providers need to understand their impact. The 2024 Flood caused sustained harm especially to patients with diabetes. Although no statistically significant results were observed in HbA1c levels, or in the questionnaire, it was evident the impact on patients’ lives — mainly disturbing their medication access or transportation means. It is possible that no difference was observed due to public health efforts, or the need for a standardized period of the analysis. Further analysis is still necessary to address medical care in future climate events.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—271\nIntroduction: Climatic emergencies have grown over the past two decades globally. In 2024, Rio Grande do Sul (RS) was affected by a great flood, causing massive losses. Diabetes prevalence in Brazil is around 10%, and understanding the impact of the flood on patients with this disease is of great interest, especially in learning from catastrophes and thinking measures that can minimize difficulties in accessing medicine during these adverse scenarios Objective: This study aimed to determine the impact of the 2024 flood in RS in Type 1 diabetes (T1D) and Type 2 diabetes (T2D) patients Methods: The study involved T2D and T1D outpatients followed by the Endocrinology Division from a tertiary hospital of RS in May/2025. A multiple-choice questionnaire evaluated the impact caused by the event. Laboratorial levels of glycated hemoglobin (A1c) were retrieved from medical records in two moments — the most recent, and 6 months before the event. Statistical analysis was performed using t-test in RStudio and the results were considered statistically significant when p-value < 0.05. Results: The study included 116 patients, 44% (n=50) were allocated in the affected group, and 46% (n=66) in the non-affected group (Control). No difference was observed in HbA1c values before and after the event among groups, mean (SD) for affected group before was 8.6 (1.7), and after 8.73 (1.8), p=0.95, and non-affected group was 8.48 (1.3), and after 8.47 (1.5), p=0.64. Questionnaire’s response showed no statistically significant difference between groups in the self-reported days of healthy eating habits (0.867), physical activities (0.649), days of adherence to medication (0.17). Still, there were situations that interfered in the participants´ treatment. In the affected group, 68% participants missed appointments due to scarce means of transportation and 20% could not find medication during the event. Conclusion: Climate change provokes intense modifications on our reality, and health providers need to understand their impact. The 2024 Flood caused sustained harm especially to patients with diabetes. Although no statistically significant results were observed in HbA1c levels, or in the questionnaire, it was evident the impact on patients’ lives — mainly disturbing their medication access or transportation means. It is possible that no difference was observed due to public health efforts, or the need for a standardized period of the analysis. Further analysis is still necessary to address medical care in future climate events.\n\n\n### PO—272 Short-term Improvement in Breakfast Quality through Group-based Nutrition Education in Patients with Type 2 Diabetes: A Randomized Clinical Trial\nIntroduction: Behavioral strategies are essential to effective diabetes management, and adopting a person-centered approach, while enhancing interaction with healthcare teams, can support the development of healthier habits and lead to improved clinical outcomes. Objective: This parallel-group randomized controlled trial aimed to evaluate the effects of adding group-based nutritional education to usual care on glycemic control, food intake, and meal quality in patients with type 2 diabetes (T2DM). Methods: Outpatients diagnosed with T2DM and poor glycemic control, followed at a university hospital in southern Brazil, were randomly assigned in a 1:1 ratio to one of two treatment arms: (1) individual usual care only (individual nutritional counseling according to diabetes recommendations, without prescription of meal plan), or (2) usual care plus group-based nutritional education that included three sessions addressing the following topics: “Let’s Go Shopping,” “Healthy Plate,” and “Hunger and Satiety.” All participants underwent assessments at baseline and after four months. Dietary intake was evaluated by 24-hour dietary recall method with the Multiple-Pass technique. Outcome measures included HbA1c, dietary intake and meal quality according to the Diabetes Plate Method. Baseline characteristics of the randomized participants were compared, and potential group-by-time were analyzed by Generalized Estimating Equations, adjusted for age, sex, Medication Effect Score, and education level. This study protocol was approved by the Research Ethics Committee and registered at ClinicalTrials.gov (NCT05598203). Results: A total of 202 participants were included, with a median age of 61 years (IQR:53-65); HbA1c = 9.2% (IQR:8.3-10.2); BMI = 31.9 kg/m2 (IQR:28.7-34.9) and diabetes duration = 17.1±9.6 years. In the interaction analysis, participants in the intervention group showed a greater increase in adherence to the Diabetes Plate Method at breakfast rising from 6.3% to 16.7%, compared to the control group (from 12.3% to 11.3%; P = 0.027). A modest but statistically significant reduction in HbA1c was observed at four months compared to baseline (P = 0.003); however, no significant group-by-time interaction was found (P = 0.247). Conclusion: These findings suggest that group-based nutrition education can foster short-term behavioral changes, particularly in meal quality, and may hold promise for enhancing long-term outcomes in diabetes management.\n\n\n### Busanello A1; Dambrowski AG1; Ferreira SC1; Fabris RC1; Almeida JC1\nIntroduction: Behavioral strategies are essential to effective diabetes management, and adopting a person-centered approach, while enhancing interaction with healthcare teams, can support the development of healthier habits and lead to improved clinical outcomes. Objective: This parallel-group randomized controlled trial aimed to evaluate the effects of adding group-based nutritional education to usual care on glycemic control, food intake, and meal quality in patients with type 2 diabetes (T2DM). Methods: Outpatients diagnosed with T2DM and poor glycemic control, followed at a university hospital in southern Brazil, were randomly assigned in a 1:1 ratio to one of two treatment arms: (1) individual usual care only (individual nutritional counseling according to diabetes recommendations, without prescription of meal plan), or (2) usual care plus group-based nutritional education that included three sessions addressing the following topics: “Let’s Go Shopping,” “Healthy Plate,” and “Hunger and Satiety.” All participants underwent assessments at baseline and after four months. Dietary intake was evaluated by 24-hour dietary recall method with the Multiple-Pass technique. Outcome measures included HbA1c, dietary intake and meal quality according to the Diabetes Plate Method. Baseline characteristics of the randomized participants were compared, and potential group-by-time were analyzed by Generalized Estimating Equations, adjusted for age, sex, Medication Effect Score, and education level. This study protocol was approved by the Research Ethics Committee and registered at ClinicalTrials.gov (NCT05598203). Results: A total of 202 participants were included, with a median age of 61 years (IQR:53-65); HbA1c = 9.2% (IQR:8.3-10.2); BMI = 31.9 kg/m2 (IQR:28.7-34.9) and diabetes duration = 17.1±9.6 years. In the interaction analysis, participants in the intervention group showed a greater increase in adherence to the Diabetes Plate Method at breakfast rising from 6.3% to 16.7%, compared to the control group (from 12.3% to 11.3%; P = 0.027). A modest but statistically significant reduction in HbA1c was observed at four months compared to baseline (P = 0.003); however, no significant group-by-time interaction was found (P = 0.247). Conclusion: These findings suggest that group-based nutrition education can foster short-term behavioral changes, particularly in meal quality, and may hold promise for enhancing long-term outcomes in diabetes management.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil\nIntroduction: Behavioral strategies are essential to effective diabetes management, and adopting a person-centered approach, while enhancing interaction with healthcare teams, can support the development of healthier habits and lead to improved clinical outcomes. Objective: This parallel-group randomized controlled trial aimed to evaluate the effects of adding group-based nutritional education to usual care on glycemic control, food intake, and meal quality in patients with type 2 diabetes (T2DM). Methods: Outpatients diagnosed with T2DM and poor glycemic control, followed at a university hospital in southern Brazil, were randomly assigned in a 1:1 ratio to one of two treatment arms: (1) individual usual care only (individual nutritional counseling according to diabetes recommendations, without prescription of meal plan), or (2) usual care plus group-based nutritional education that included three sessions addressing the following topics: “Let’s Go Shopping,” “Healthy Plate,” and “Hunger and Satiety.” All participants underwent assessments at baseline and after four months. Dietary intake was evaluated by 24-hour dietary recall method with the Multiple-Pass technique. Outcome measures included HbA1c, dietary intake and meal quality according to the Diabetes Plate Method. Baseline characteristics of the randomized participants were compared, and potential group-by-time were analyzed by Generalized Estimating Equations, adjusted for age, sex, Medication Effect Score, and education level. This study protocol was approved by the Research Ethics Committee and registered at ClinicalTrials.gov (NCT05598203). Results: A total of 202 participants were included, with a median age of 61 years (IQR:53-65); HbA1c = 9.2% (IQR:8.3-10.2); BMI = 31.9 kg/m2 (IQR:28.7-34.9) and diabetes duration = 17.1±9.6 years. In the interaction analysis, participants in the intervention group showed a greater increase in adherence to the Diabetes Plate Method at breakfast rising from 6.3% to 16.7%, compared to the control group (from 12.3% to 11.3%; P = 0.027). A modest but statistically significant reduction in HbA1c was observed at four months compared to baseline (P = 0.003); however, no significant group-by-time interaction was found (P = 0.247). Conclusion: These findings suggest that group-based nutrition education can foster short-term behavioral changes, particularly in meal quality, and may hold promise for enhancing long-term outcomes in diabetes management.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—272\nIntroduction: Behavioral strategies are essential to effective diabetes management, and adopting a person-centered approach, while enhancing interaction with healthcare teams, can support the development of healthier habits and lead to improved clinical outcomes. Objective: This parallel-group randomized controlled trial aimed to evaluate the effects of adding group-based nutritional education to usual care on glycemic control, food intake, and meal quality in patients with type 2 diabetes (T2DM). Methods: Outpatients diagnosed with T2DM and poor glycemic control, followed at a university hospital in southern Brazil, were randomly assigned in a 1:1 ratio to one of two treatment arms: (1) individual usual care only (individual nutritional counseling according to diabetes recommendations, without prescription of meal plan), or (2) usual care plus group-based nutritional education that included three sessions addressing the following topics: “Let’s Go Shopping,” “Healthy Plate,” and “Hunger and Satiety.” All participants underwent assessments at baseline and after four months. Dietary intake was evaluated by 24-hour dietary recall method with the Multiple-Pass technique. Outcome measures included HbA1c, dietary intake and meal quality according to the Diabetes Plate Method. Baseline characteristics of the randomized participants were compared, and potential group-by-time were analyzed by Generalized Estimating Equations, adjusted for age, sex, Medication Effect Score, and education level. This study protocol was approved by the Research Ethics Committee and registered at ClinicalTrials.gov (NCT05598203). Results: A total of 202 participants were included, with a median age of 61 years (IQR:53-65); HbA1c = 9.2% (IQR:8.3-10.2); BMI = 31.9 kg/m2 (IQR:28.7-34.9) and diabetes duration = 17.1±9.6 years. In the interaction analysis, participants in the intervention group showed a greater increase in adherence to the Diabetes Plate Method at breakfast rising from 6.3% to 16.7%, compared to the control group (from 12.3% to 11.3%; P = 0.027). A modest but statistically significant reduction in HbA1c was observed at four months compared to baseline (P = 0.003); however, no significant group-by-time interaction was found (P = 0.247). Conclusion: These findings suggest that group-based nutrition education can foster short-term behavioral changes, particularly in meal quality, and may hold promise for enhancing long-term outcomes in diabetes management.\n\n\n### PO—274 The Impact of Integrating Lifestyle Education Into An Exercise Program For Individuals With Prediabetes And Diabetes On Diabetes Knowledge, Health Behaviors And Quality Of Life\nIntroduction: Diabetes and prediabetes are highly prevalent and impact public health. Programs combining exercise and lifestyle education may improve clinical management and promote behavioral changes. This study evaluated their effects on knowledge, behavior, and quality of life. Objective: To compare the effectiveness of an Exercise and Lifestyle Education (ExLE) program with an Exercise-only (Ex) program in improving disease-related knowledge, physical activity level, medication adherence and quality of life in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: ExLE and Ex (ClinicalTrials.gov: NCT03914924). Ex program included aerobic and muscle-strengthening exercises, while ExLE incorporated structured education sessions. The disease-related knowledge was assessed by the DiAbeTes Education Questionnaire (DATE-Q), the physical activity (PA) level measured by a pedometer used during seven days, with the average of steps/day, the medication adherence measured by the Measure of Adherence to Oral Antidiabetic Treatments and Insulin (MAT ADO), and the quality of life (QofL) was evaluated using the Medical Outcomes Study 36-Item Short-Form Health Survey (SF-36). Outcome analyses were performed based on intention-to-treat, using the last observation carried forward. The ANOVA two-way was used to analyze the data. Results: Two hundred sixty-four individuals (65.9% female, 52.1±12.6 years old) were randomized (Ex; n=135, ExLE; n=129) and 165 completed the allocated program. The sample included 36% individuals with prediabetes, 12.5% with type 1 diabetes, and 51.5% with type 2 diabetes, with a mean baseline A1c of 7.1±1.7%. Both groups demonstrated a significant (p<0.001) increase in DATE-Q total scores (time), and he ExLE group presented significantly higher (p=0.002) DATE-Q total scores than the Ex group (interaction). Both groups presented significant improvements (p=0.026) in PA level at post-intervention (time) without significant (p=0.936) differences between them (interaction). No significant differences were observed between baseline and post-intervention or between groups for medication adherence and QofL. Conclusion: This study highlights the potential benefits of integrating education to exercise programs for individuals with prediabetes or diabetes, as it improves significantly disease-related knowledge.\n\n\n### Azevedo ACM1; Bomtempo APD2; Pereira AL2; Mariano BC1; Oliveira DPSC1; Carvalho LB1; Cassimiro MN1; Ribas RC3; Trevizan PF3; Silva LP1\nIntroduction: Diabetes and prediabetes are highly prevalent and impact public health. Programs combining exercise and lifestyle education may improve clinical management and promote behavioral changes. This study evaluated their effects on knowledge, behavior, and quality of life. Objective: To compare the effectiveness of an Exercise and Lifestyle Education (ExLE) program with an Exercise-only (Ex) program in improving disease-related knowledge, physical activity level, medication adherence and quality of life in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: ExLE and Ex (ClinicalTrials.gov: NCT03914924). Ex program included aerobic and muscle-strengthening exercises, while ExLE incorporated structured education sessions. The disease-related knowledge was assessed by the DiAbeTes Education Questionnaire (DATE-Q), the physical activity (PA) level measured by a pedometer used during seven days, with the average of steps/day, the medication adherence measured by the Measure of Adherence to Oral Antidiabetic Treatments and Insulin (MAT ADO), and the quality of life (QofL) was evaluated using the Medical Outcomes Study 36-Item Short-Form Health Survey (SF-36). Outcome analyses were performed based on intention-to-treat, using the last observation carried forward. The ANOVA two-way was used to analyze the data. Results: Two hundred sixty-four individuals (65.9% female, 52.1±12.6 years old) were randomized (Ex; n=135, ExLE; n=129) and 165 completed the allocated program. The sample included 36% individuals with prediabetes, 12.5% with type 1 diabetes, and 51.5% with type 2 diabetes, with a mean baseline A1c of 7.1±1.7%. Both groups demonstrated a significant (p<0.001) increase in DATE-Q total scores (time), and he ExLE group presented significantly higher (p=0.002) DATE-Q total scores than the Ex group (interaction). Both groups presented significant improvements (p=0.026) in PA level at post-intervention (time) without significant (p=0.936) differences between them (interaction). No significant differences were observed between baseline and post-intervention or between groups for medication adherence and QofL. Conclusion: This study highlights the potential benefits of integrating education to exercise programs for individuals with prediabetes or diabetes, as it improves significantly disease-related knowledge.\n\n\n### (1) Graduate Program in Rehabilitation Sciences and Physical-Functional Performance, Faculty of Physical Therapy, Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (2) Graduate Program in Physical Education, Faculty of Physical Education and Sports, Federal University of Juiz de Fora, Juiz de Fora, MG, Brasil; (3) Department of Physical Therapy, Federal University of Minas Gerais, Belo Horizonte, MG, Brasil\nIntroduction: Diabetes and prediabetes are highly prevalent and impact public health. Programs combining exercise and lifestyle education may improve clinical management and promote behavioral changes. This study evaluated their effects on knowledge, behavior, and quality of life. Objective: To compare the effectiveness of an Exercise and Lifestyle Education (ExLE) program with an Exercise-only (Ex) program in improving disease-related knowledge, physical activity level, medication adherence and quality of life in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: ExLE and Ex (ClinicalTrials.gov: NCT03914924). Ex program included aerobic and muscle-strengthening exercises, while ExLE incorporated structured education sessions. The disease-related knowledge was assessed by the DiAbeTes Education Questionnaire (DATE-Q), the physical activity (PA) level measured by a pedometer used during seven days, with the average of steps/day, the medication adherence measured by the Measure of Adherence to Oral Antidiabetic Treatments and Insulin (MAT ADO), and the quality of life (QofL) was evaluated using the Medical Outcomes Study 36-Item Short-Form Health Survey (SF-36). Outcome analyses were performed based on intention-to-treat, using the last observation carried forward. The ANOVA two-way was used to analyze the data. Results: Two hundred sixty-four individuals (65.9% female, 52.1±12.6 years old) were randomized (Ex; n=135, ExLE; n=129) and 165 completed the allocated program. The sample included 36% individuals with prediabetes, 12.5% with type 1 diabetes, and 51.5% with type 2 diabetes, with a mean baseline A1c of 7.1±1.7%. Both groups demonstrated a significant (p<0.001) increase in DATE-Q total scores (time), and he ExLE group presented significantly higher (p=0.002) DATE-Q total scores than the Ex group (interaction). Both groups presented significant improvements (p=0.026) in PA level at post-intervention (time) without significant (p=0.936) differences between them (interaction). No significant differences were observed between baseline and post-intervention or between groups for medication adherence and QofL. Conclusion: This study highlights the potential benefits of integrating education to exercise programs for individuals with prediabetes or diabetes, as it improves significantly disease-related knowledge.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—274\nIntroduction: Diabetes and prediabetes are highly prevalent and impact public health. Programs combining exercise and lifestyle education may improve clinical management and promote behavioral changes. This study evaluated their effects on knowledge, behavior, and quality of life. Objective: To compare the effectiveness of an Exercise and Lifestyle Education (ExLE) program with an Exercise-only (Ex) program in improving disease-related knowledge, physical activity level, medication adherence and quality of life in individuals with prediabetes or diabetes. Methods: Multicenter, double-blinded, randomized controlled trial involving a 12-week intervention with two parallel groups: ExLE and Ex (ClinicalTrials.gov: NCT03914924). Ex program included aerobic and muscle-strengthening exercises, while ExLE incorporated structured education sessions. The disease-related knowledge was assessed by the DiAbeTes Education Questionnaire (DATE-Q), the physical activity (PA) level measured by a pedometer used during seven days, with the average of steps/day, the medication adherence measured by the Measure of Adherence to Oral Antidiabetic Treatments and Insulin (MAT ADO), and the quality of life (QofL) was evaluated using the Medical Outcomes Study 36-Item Short-Form Health Survey (SF-36). Outcome analyses were performed based on intention-to-treat, using the last observation carried forward. The ANOVA two-way was used to analyze the data. Results: Two hundred sixty-four individuals (65.9% female, 52.1±12.6 years old) were randomized (Ex; n=135, ExLE; n=129) and 165 completed the allocated program. The sample included 36% individuals with prediabetes, 12.5% with type 1 diabetes, and 51.5% with type 2 diabetes, with a mean baseline A1c of 7.1±1.7%. Both groups demonstrated a significant (p<0.001) increase in DATE-Q total scores (time), and he ExLE group presented significantly higher (p=0.002) DATE-Q total scores than the Ex group (interaction). Both groups presented significant improvements (p=0.026) in PA level at post-intervention (time) without significant (p=0.936) differences between them (interaction). No significant differences were observed between baseline and post-intervention or between groups for medication adherence and QofL. Conclusion: This study highlights the potential benefits of integrating education to exercise programs for individuals with prediabetes or diabetes, as it improves significantly disease-related knowledge.\n\n\n### PO—275 The Role of Schools in Type 1 Diabetes Mellitus Management: An Analysis of Facilitators and Barriers in the School Environment\nIntroduction: The way educators handle Type 1 Diabetes Mellitus (T1DM) in the school environment can directly impact the self-care behavior of children and adolescents. A lack of preparedness regarding T1DM knowledge and management is still a reality among many education professionals, which can contribute to immediate and long-term complications that could be prevented with adequate training. Objective: This study aimed to identify actions related to T1DM care for patients and their families in municipal public schools. Methods: Data were collected through a semi-structured questionnaire administered to 46 participants: 5 adolescents and 18 children with T1DM, of both sexes, aged 5 to 16 years, as well as their respective guardians. The questionnaires were applied individually and in person during appointments at a public outpatient clinic specializing in T1DM, including both guardians and the children and adolescents themselves. Results: After notifying the school about a student’s T1DM condition, 78% of the participants reported that the schools: Did not provide an adequate environment for glycemic monitoring and insulin administration. Did not have a trained professional available to assist with self-monitoring or insulin administration. Were unaware of proper management in cases of hypoglycemia or hyperglycemia. Did not guide students on the importance of not sharing snacks with peers. On the other hand, 70.6% of guardians highlighted positive measures adopted by the schools, such as: Permission for students to consume snacks as needed. Encouragement of participation in physical and other school activities. Keeping emergency contact information for guardians updated for use in case of intercurrences. Conclusion: The data reveal that the schools’ actions are primarily focused on communicating with parents, with few direct measures for the daily management of T1DM. These findings reinforce the need to expand the training of the school community to increase the assertiveness and effectiveness of care strategies. Such changes could contribute significantly to promoting health and improving the quality of life for children and adolescents with T1DM.\n\n\n### Vargas VM1; Nartis KA1; Peres EA1; Souza JD1; Figueiredo BHS 1; Silverio ST1; Hirashima CE1; Szekut ML1; Martins VAD1\nIntroduction: The way educators handle Type 1 Diabetes Mellitus (T1DM) in the school environment can directly impact the self-care behavior of children and adolescents. A lack of preparedness regarding T1DM knowledge and management is still a reality among many education professionals, which can contribute to immediate and long-term complications that could be prevented with adequate training. Objective: This study aimed to identify actions related to T1DM care for patients and their families in municipal public schools. Methods: Data were collected through a semi-structured questionnaire administered to 46 participants: 5 adolescents and 18 children with T1DM, of both sexes, aged 5 to 16 years, as well as their respective guardians. The questionnaires were applied individually and in person during appointments at a public outpatient clinic specializing in T1DM, including both guardians and the children and adolescents themselves. Results: After notifying the school about a student’s T1DM condition, 78% of the participants reported that the schools: Did not provide an adequate environment for glycemic monitoring and insulin administration. Did not have a trained professional available to assist with self-monitoring or insulin administration. Were unaware of proper management in cases of hypoglycemia or hyperglycemia. Did not guide students on the importance of not sharing snacks with peers. On the other hand, 70.6% of guardians highlighted positive measures adopted by the schools, such as: Permission for students to consume snacks as needed. Encouragement of participation in physical and other school activities. Keeping emergency contact information for guardians updated for use in case of intercurrences. Conclusion: The data reveal that the schools’ actions are primarily focused on communicating with parents, with few direct measures for the daily management of T1DM. These findings reinforce the need to expand the training of the school community to increase the assertiveness and effectiveness of care strategies. Such changes could contribute significantly to promoting health and improving the quality of life for children and adolescents with T1DM.\n\n\n### (1) Universidade Estadual de Londrina, Londrina, PR, Brasil\nIntroduction: The way educators handle Type 1 Diabetes Mellitus (T1DM) in the school environment can directly impact the self-care behavior of children and adolescents. A lack of preparedness regarding T1DM knowledge and management is still a reality among many education professionals, which can contribute to immediate and long-term complications that could be prevented with adequate training. Objective: This study aimed to identify actions related to T1DM care for patients and their families in municipal public schools. Methods: Data were collected through a semi-structured questionnaire administered to 46 participants: 5 adolescents and 18 children with T1DM, of both sexes, aged 5 to 16 years, as well as their respective guardians. The questionnaires were applied individually and in person during appointments at a public outpatient clinic specializing in T1DM, including both guardians and the children and adolescents themselves. Results: After notifying the school about a student’s T1DM condition, 78% of the participants reported that the schools: Did not provide an adequate environment for glycemic monitoring and insulin administration. Did not have a trained professional available to assist with self-monitoring or insulin administration. Were unaware of proper management in cases of hypoglycemia or hyperglycemia. Did not guide students on the importance of not sharing snacks with peers. On the other hand, 70.6% of guardians highlighted positive measures adopted by the schools, such as: Permission for students to consume snacks as needed. Encouragement of participation in physical and other school activities. Keeping emergency contact information for guardians updated for use in case of intercurrences. Conclusion: The data reveal that the schools’ actions are primarily focused on communicating with parents, with few direct measures for the daily management of T1DM. These findings reinforce the need to expand the training of the school community to increase the assertiveness and effectiveness of care strategies. Such changes could contribute significantly to promoting health and improving the quality of life for children and adolescents with T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—275\nIntroduction: The way educators handle Type 1 Diabetes Mellitus (T1DM) in the school environment can directly impact the self-care behavior of children and adolescents. A lack of preparedness regarding T1DM knowledge and management is still a reality among many education professionals, which can contribute to immediate and long-term complications that could be prevented with adequate training. Objective: This study aimed to identify actions related to T1DM care for patients and their families in municipal public schools. Methods: Data were collected through a semi-structured questionnaire administered to 46 participants: 5 adolescents and 18 children with T1DM, of both sexes, aged 5 to 16 years, as well as their respective guardians. The questionnaires were applied individually and in person during appointments at a public outpatient clinic specializing in T1DM, including both guardians and the children and adolescents themselves. Results: After notifying the school about a student’s T1DM condition, 78% of the participants reported that the schools: Did not provide an adequate environment for glycemic monitoring and insulin administration. Did not have a trained professional available to assist with self-monitoring or insulin administration. Were unaware of proper management in cases of hypoglycemia or hyperglycemia. Did not guide students on the importance of not sharing snacks with peers. On the other hand, 70.6% of guardians highlighted positive measures adopted by the schools, such as: Permission for students to consume snacks as needed. Encouragement of participation in physical and other school activities. Keeping emergency contact information for guardians updated for use in case of intercurrences. Conclusion: The data reveal that the schools’ actions are primarily focused on communicating with parents, with few direct measures for the daily management of T1DM. These findings reinforce the need to expand the training of the school community to increase the assertiveness and effectiveness of care strategies. Such changes could contribute significantly to promoting health and improving the quality of life for children and adolescents with T1DM.\n\n\n### PO—276 Ultra-Processed Food Consumption and Visceral Adiposity Index in Children and Adolescents with Type 1 Diabetes Mellitus: Data from a Reference Center\nIntroduction: Metabolic control is a fundamental goal in type 1 diabetes mellitus (T1DM), encompassing glycemic and lipid profile control, as well as the prevention of excess weight and its complications, such as cardiovascular diseases. It is known, however, that excess weight has increasingly affected children and adolescents with T1DM, sometimes being identified at the time of diagnosis. Studies on the visceral adiposity index (VAI) in this population are scarce. Objective: To evaluate the association between the frequency of consumption of ultra-processed foods (UPF) and VAI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted at a referral center in Rio de Janeiro, Brazil. The sample included 134 participants, aged 7 to 16 years, with a diagnosis of T1DM for at least one year. Exclusion criteria included the presence of other autoimmune diseases, hemoglobinopathies, and incomplete dietary intake data. Sociodemographic, clinical, anthropometric, and dietary data were collected. Univariate logistic regression was used to estimate the crude odds ratio (OR) and corresponding 95% confidence interval (CI). Results: Higher levels of total cholesterol (p < 0.001), LDL-C (p < 0.001), non-HDL cholesterol (p < 0.001), and triglycerides (p < 0.001), along with lower levels of HDL-C (p < 0.001), were associated with greater visceral adiposity. A high frequency of UPF consumption (> 5 times/day) was observed in 73.1% of participants (n = 98), and a higher frequency of UPF intake was associated with greater adiposity (OR 2.9; CI: 1.3–6.7; p = 0.012). Conclusion: Reducing UPF consumption may contribute to achieving metabolic control, and VAI may represent a useful parameter in the monitoring of children and adolescents with T1DM.\n\n\n### Araujo BB1; Machado RCM2; Farias DR2; Pinheiro BFL2; Pimentel IF2; Tiberio RM2; Mello BPZG2; Luescher JL2; Padilha PC2\nIntroduction: Metabolic control is a fundamental goal in type 1 diabetes mellitus (T1DM), encompassing glycemic and lipid profile control, as well as the prevention of excess weight and its complications, such as cardiovascular diseases. It is known, however, that excess weight has increasingly affected children and adolescents with T1DM, sometimes being identified at the time of diagnosis. Studies on the visceral adiposity index (VAI) in this population are scarce. Objective: To evaluate the association between the frequency of consumption of ultra-processed foods (UPF) and VAI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted at a referral center in Rio de Janeiro, Brazil. The sample included 134 participants, aged 7 to 16 years, with a diagnosis of T1DM for at least one year. Exclusion criteria included the presence of other autoimmune diseases, hemoglobinopathies, and incomplete dietary intake data. Sociodemographic, clinical, anthropometric, and dietary data were collected. Univariate logistic regression was used to estimate the crude odds ratio (OR) and corresponding 95% confidence interval (CI). Results: Higher levels of total cholesterol (p < 0.001), LDL-C (p < 0.001), non-HDL cholesterol (p < 0.001), and triglycerides (p < 0.001), along with lower levels of HDL-C (p < 0.001), were associated with greater visceral adiposity. A high frequency of UPF consumption (> 5 times/day) was observed in 73.1% of participants (n = 98), and a higher frequency of UPF intake was associated with greater adiposity (OR 2.9; CI: 1.3–6.7; p = 0.012). Conclusion: Reducing UPF consumption may contribute to achieving metabolic control, and VAI may represent a useful parameter in the monitoring of children and adolescents with T1DM.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de janeiro, RJ, Brasil; (2) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Metabolic control is a fundamental goal in type 1 diabetes mellitus (T1DM), encompassing glycemic and lipid profile control, as well as the prevention of excess weight and its complications, such as cardiovascular diseases. It is known, however, that excess weight has increasingly affected children and adolescents with T1DM, sometimes being identified at the time of diagnosis. Studies on the visceral adiposity index (VAI) in this population are scarce. Objective: To evaluate the association between the frequency of consumption of ultra-processed foods (UPF) and VAI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted at a referral center in Rio de Janeiro, Brazil. The sample included 134 participants, aged 7 to 16 years, with a diagnosis of T1DM for at least one year. Exclusion criteria included the presence of other autoimmune diseases, hemoglobinopathies, and incomplete dietary intake data. Sociodemographic, clinical, anthropometric, and dietary data were collected. Univariate logistic regression was used to estimate the crude odds ratio (OR) and corresponding 95% confidence interval (CI). Results: Higher levels of total cholesterol (p < 0.001), LDL-C (p < 0.001), non-HDL cholesterol (p < 0.001), and triglycerides (p < 0.001), along with lower levels of HDL-C (p < 0.001), were associated with greater visceral adiposity. A high frequency of UPF consumption (> 5 times/day) was observed in 73.1% of participants (n = 98), and a higher frequency of UPF intake was associated with greater adiposity (OR 2.9; CI: 1.3–6.7; p = 0.012). Conclusion: Reducing UPF consumption may contribute to achieving metabolic control, and VAI may represent a useful parameter in the monitoring of children and adolescents with T1DM.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—276\nIntroduction: Metabolic control is a fundamental goal in type 1 diabetes mellitus (T1DM), encompassing glycemic and lipid profile control, as well as the prevention of excess weight and its complications, such as cardiovascular diseases. It is known, however, that excess weight has increasingly affected children and adolescents with T1DM, sometimes being identified at the time of diagnosis. Studies on the visceral adiposity index (VAI) in this population are scarce. Objective: To evaluate the association between the frequency of consumption of ultra-processed foods (UPF) and VAI in children and adolescents with T1DM. Methods: This was a cross-sectional study conducted at a referral center in Rio de Janeiro, Brazil. The sample included 134 participants, aged 7 to 16 years, with a diagnosis of T1DM for at least one year. Exclusion criteria included the presence of other autoimmune diseases, hemoglobinopathies, and incomplete dietary intake data. Sociodemographic, clinical, anthropometric, and dietary data were collected. Univariate logistic regression was used to estimate the crude odds ratio (OR) and corresponding 95% confidence interval (CI). Results: Higher levels of total cholesterol (p < 0.001), LDL-C (p < 0.001), non-HDL cholesterol (p < 0.001), and triglycerides (p < 0.001), along with lower levels of HDL-C (p < 0.001), were associated with greater visceral adiposity. A high frequency of UPF consumption (> 5 times/day) was observed in 73.1% of participants (n = 98), and a higher frequency of UPF intake was associated with greater adiposity (OR 2.9; CI: 1.3–6.7; p = 0.012). Conclusion: Reducing UPF consumption may contribute to achieving metabolic control, and VAI may represent a useful parameter in the monitoring of children and adolescents with T1DM.\n\n\n### PO—277 Whole and Refined Plant-Based, and Animal-Based Dietary Patterns and Their Relationship with Cardiometabolic Health in Brazil\nIntroduction: Plant-based diets emphasize the intake of whole and plant-derived foods while limiting processed and animal-based products. They have gained attention for their potential benefits for human and planetary health. Although vegetarian dietary patterns are associated with lower rates of metabolic diseases, evidence on the broader impact of plant-based diets, including their relationship with other dietary patterns, remains limited in Brazil. Objective: To analyze nationally representative data from the 2019 Brazilian National Health Survey to explore associations between different dietary patterns and the prevalence of obesity, diabetes, and hypercholesterolemia. Methods: Participants reported their food consumption in the previous week using a Food Frequency Questionnaire. Foods were grouped into whole plant-based (beans, vegetables, fruits, natural fruit juice), refined plant-based (processed juice, soda, cookies/sweets, prepared meals), and animal-based (fish, milk, red meat, chicken). Diets were categorized into high, intermediate, and low adherence to each pattern. Multiple logistic regression analyses assessed associations between dietary patterns and cardiometabolic diseases, adjusted for age, sex assigned at birth, race, marital status, household income, highest education level achieved, urban or rural place of residence, geographical region, physical activity level, smoking status, alcohol intake, and dietary pattern. Results: We analyzed data from 87,678 participants (mean age 47.4 ± 17.1 years, 52% women). High whole plant-based intake was associated with lower prevalence of obesity (OR 0.64; 95%CI 0.54–0.75) and hypercholesterolemia (OR 0.69; 95%CI 0.56–0.85), compared with low intake. Refined plant-based pattern was inversely associated with obesity (OR 0.90; 95%CI 0.83–0.97), hypercholesterolemia (OR 0.81; 95%CI 0.77–0.91), and diabetes (OR 0.53; 95%CI 0.48–0.59). High animal-based intake was not associated with obesity, hypercholesterolemia, or diabetes. Conclusion: This study provides evidence that both whole and refined plant-based dietary patterns may be associated with a lower prevalence of multiple cardiometabolic diseases in Brazilian adults, while high animal-based intake was not linked to those diseases. Longitudinal studies are warranted to confirm these associations and clarify causality.\n\n\n### Correia PE1; Martins BB1; Kunzler LB1; Teixeira PP1; Ferrari GT2; Zajdenverg L3; Brietzke E4; Socal M5; Colpani V1; Y Sun Y6; Zhang M6; Bisi L6; Porepp OSC1; Gerchman F1\nIntroduction: Plant-based diets emphasize the intake of whole and plant-derived foods while limiting processed and animal-based products. They have gained attention for their potential benefits for human and planetary health. Although vegetarian dietary patterns are associated with lower rates of metabolic diseases, evidence on the broader impact of plant-based diets, including their relationship with other dietary patterns, remains limited in Brazil. Objective: To analyze nationally representative data from the 2019 Brazilian National Health Survey to explore associations between different dietary patterns and the prevalence of obesity, diabetes, and hypercholesterolemia. Methods: Participants reported their food consumption in the previous week using a Food Frequency Questionnaire. Foods were grouped into whole plant-based (beans, vegetables, fruits, natural fruit juice), refined plant-based (processed juice, soda, cookies/sweets, prepared meals), and animal-based (fish, milk, red meat, chicken). Diets were categorized into high, intermediate, and low adherence to each pattern. Multiple logistic regression analyses assessed associations between dietary patterns and cardiometabolic diseases, adjusted for age, sex assigned at birth, race, marital status, household income, highest education level achieved, urban or rural place of residence, geographical region, physical activity level, smoking status, alcohol intake, and dietary pattern. Results: We analyzed data from 87,678 participants (mean age 47.4 ± 17.1 years, 52% women). High whole plant-based intake was associated with lower prevalence of obesity (OR 0.64; 95%CI 0.54–0.75) and hypercholesterolemia (OR 0.69; 95%CI 0.56–0.85), compared with low intake. Refined plant-based pattern was inversely associated with obesity (OR 0.90; 95%CI 0.83–0.97), hypercholesterolemia (OR 0.81; 95%CI 0.77–0.91), and diabetes (OR 0.53; 95%CI 0.48–0.59). High animal-based intake was not associated with obesity, hypercholesterolemia, or diabetes. Conclusion: This study provides evidence that both whole and refined plant-based dietary patterns may be associated with a lower prevalence of multiple cardiometabolic diseases in Brazilian adults, while high animal-based intake was not linked to those diseases. Longitudinal studies are warranted to confirm these associations and clarify causality.\n\n\n### (1) Postgraduate Program in Medical Sciences: Endocrinology, Department of Internal Medicine, Faculdade de Medicina, Universidade Federal do Rio Grande do Sul (UFRGS), Porto Alegre, RS, Brasil; (2) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (3) Internal Medicine Department, Federal University of Rio de Janeiro, Rio de Janeiro, RJ, Brazil, Rio de Janeiro, RJ, Brasil; (4) Center for Neuroscience Studies (CNS). Department of Psychiatry, Queen’s University School of Medicine, Canada; (5) Department of Health Policy and Management, Johns Hopkins Bloomberg School of Public Health, United States; (6) Johns Hopkins University, United States\nIntroduction: Plant-based diets emphasize the intake of whole and plant-derived foods while limiting processed and animal-based products. They have gained attention for their potential benefits for human and planetary health. Although vegetarian dietary patterns are associated with lower rates of metabolic diseases, evidence on the broader impact of plant-based diets, including their relationship with other dietary patterns, remains limited in Brazil. Objective: To analyze nationally representative data from the 2019 Brazilian National Health Survey to explore associations between different dietary patterns and the prevalence of obesity, diabetes, and hypercholesterolemia. Methods: Participants reported their food consumption in the previous week using a Food Frequency Questionnaire. Foods were grouped into whole plant-based (beans, vegetables, fruits, natural fruit juice), refined plant-based (processed juice, soda, cookies/sweets, prepared meals), and animal-based (fish, milk, red meat, chicken). Diets were categorized into high, intermediate, and low adherence to each pattern. Multiple logistic regression analyses assessed associations between dietary patterns and cardiometabolic diseases, adjusted for age, sex assigned at birth, race, marital status, household income, highest education level achieved, urban or rural place of residence, geographical region, physical activity level, smoking status, alcohol intake, and dietary pattern. Results: We analyzed data from 87,678 participants (mean age 47.4 ± 17.1 years, 52% women). High whole plant-based intake was associated with lower prevalence of obesity (OR 0.64; 95%CI 0.54–0.75) and hypercholesterolemia (OR 0.69; 95%CI 0.56–0.85), compared with low intake. Refined plant-based pattern was inversely associated with obesity (OR 0.90; 95%CI 0.83–0.97), hypercholesterolemia (OR 0.81; 95%CI 0.77–0.91), and diabetes (OR 0.53; 95%CI 0.48–0.59). High animal-based intake was not associated with obesity, hypercholesterolemia, or diabetes. Conclusion: This study provides evidence that both whole and refined plant-based dietary patterns may be associated with a lower prevalence of multiple cardiometabolic diseases in Brazilian adults, while high animal-based intake was not linked to those diseases. Longitudinal studies are warranted to confirm these associations and clarify causality.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—277\nIntroduction: Plant-based diets emphasize the intake of whole and plant-derived foods while limiting processed and animal-based products. They have gained attention for their potential benefits for human and planetary health. Although vegetarian dietary patterns are associated with lower rates of metabolic diseases, evidence on the broader impact of plant-based diets, including their relationship with other dietary patterns, remains limited in Brazil. Objective: To analyze nationally representative data from the 2019 Brazilian National Health Survey to explore associations between different dietary patterns and the prevalence of obesity, diabetes, and hypercholesterolemia. Methods: Participants reported their food consumption in the previous week using a Food Frequency Questionnaire. Foods were grouped into whole plant-based (beans, vegetables, fruits, natural fruit juice), refined plant-based (processed juice, soda, cookies/sweets, prepared meals), and animal-based (fish, milk, red meat, chicken). Diets were categorized into high, intermediate, and low adherence to each pattern. Multiple logistic regression analyses assessed associations between dietary patterns and cardiometabolic diseases, adjusted for age, sex assigned at birth, race, marital status, household income, highest education level achieved, urban or rural place of residence, geographical region, physical activity level, smoking status, alcohol intake, and dietary pattern. Results: We analyzed data from 87,678 participants (mean age 47.4 ± 17.1 years, 52% women). High whole plant-based intake was associated with lower prevalence of obesity (OR 0.64; 95%CI 0.54–0.75) and hypercholesterolemia (OR 0.69; 95%CI 0.56–0.85), compared with low intake. Refined plant-based pattern was inversely associated with obesity (OR 0.90; 95%CI 0.83–0.97), hypercholesterolemia (OR 0.81; 95%CI 0.77–0.91), and diabetes (OR 0.53; 95%CI 0.48–0.59). High animal-based intake was not associated with obesity, hypercholesterolemia, or diabetes. Conclusion: This study provides evidence that both whole and refined plant-based dietary patterns may be associated with a lower prevalence of multiple cardiometabolic diseases in Brazilian adults, while high animal-based intake was not linked to those diseases. Longitudinal studies are warranted to confirm these associations and clarify causality.\n\n\n### PO—278 A Case report of Non-Syndromic Monogenic Obesity: Metabolic Syndrome and Favorable Outcome After Sleeve Gastrectomy\nCase Presentation: A female patient, daughter of a diabetic father, presented progressive weight gain since childhood, evolving into severe long-standing obesity. Between 2016 and 2019, she weighed 126 kg (BMI 46.3 kg/m2), consumed ~ 3,709 kcal/day, and met diagnostic criteria for metabolic syndrome: abdominal obesity, hypertension, dyslipidemia, and hyperinsulinemia, with HbA1c 6.7%. Refractory to intensive clinical management, she underwent sleeve gastrectomy in 2019. After 12 months, she had lost 37.3% of her initial weight (BMI 29.0 kg/m2), quit smoking, adhered to multidisciplinary follow-up, and achieved HbA1c 5.0%. Persistent hyperphagia, absence of a clear family history, and early-onset presentation prompted genetic testing, revealing a pathogenic SH2B1 variant [p.(Arg630Gln)], confirming non-syndromic monogenic obesity. By July 2025, she maintained HbA1c 5.3% and stable weight, showing sustained improvement. The patient provided a written consent to publish her information. Discussion: SH2B1 encodes an adaptor protein in leptin–melanocortin and insulin signaling. Pathogenic variants, such as p.(Arg630Gln), are linked to early-onset obesity, hyperphagia, and insulin resistance, typically resistant to conventional interventions. This patient’s severe obesity, hyperphagia, and metabolic syndrome led to suspicion and confirmation of a genetic cause. Bariatric surgery is not first-line therapy in monogenic obesity, but selected patients may benefit. Here, sleeve gastrectomy induced marked weight loss, remission of metabolic syndrome, and stable glycemic control over 6 years. The outcome supports surgery as a potential adjunct in genetically predisposed individuals when paired with long-term multidisciplinary care. Further studies should define optimal strategies, including the role of targeted agents such as MC4R agonists. Final Comments: This is the first Brazilian report of metabolic syndrome associated with SH2B1-related monogenic obesity successfully treated with sleeve gastrectomy. It underscores the importance of early genetic screening in severe, refractory, early-onset obesity with hyperphagia, enabling precision medicine approaches. While surgery is not standard initial treatment, it may provide durable weight and metabolic control in selected cases. Identifying genetic subtypes is key to guiding management, improving outcomes, and deepening understanding of obesity pathophysiology.\n\n\n### HugueninTSP1; Silva IS1; Silva T1; Carneiro JRI2; Fonseca ACP1\nCase Presentation: A female patient, daughter of a diabetic father, presented progressive weight gain since childhood, evolving into severe long-standing obesity. Between 2016 and 2019, she weighed 126 kg (BMI 46.3 kg/m2), consumed ~ 3,709 kcal/day, and met diagnostic criteria for metabolic syndrome: abdominal obesity, hypertension, dyslipidemia, and hyperinsulinemia, with HbA1c 6.7%. Refractory to intensive clinical management, she underwent sleeve gastrectomy in 2019. After 12 months, she had lost 37.3% of her initial weight (BMI 29.0 kg/m2), quit smoking, adhered to multidisciplinary follow-up, and achieved HbA1c 5.0%. Persistent hyperphagia, absence of a clear family history, and early-onset presentation prompted genetic testing, revealing a pathogenic SH2B1 variant [p.(Arg630Gln)], confirming non-syndromic monogenic obesity. By July 2025, she maintained HbA1c 5.3% and stable weight, showing sustained improvement. The patient provided a written consent to publish her information. Discussion: SH2B1 encodes an adaptor protein in leptin–melanocortin and insulin signaling. Pathogenic variants, such as p.(Arg630Gln), are linked to early-onset obesity, hyperphagia, and insulin resistance, typically resistant to conventional interventions. This patient’s severe obesity, hyperphagia, and metabolic syndrome led to suspicion and confirmation of a genetic cause. Bariatric surgery is not first-line therapy in monogenic obesity, but selected patients may benefit. Here, sleeve gastrectomy induced marked weight loss, remission of metabolic syndrome, and stable glycemic control over 6 years. The outcome supports surgery as a potential adjunct in genetically predisposed individuals when paired with long-term multidisciplinary care. Further studies should define optimal strategies, including the role of targeted agents such as MC4R agonists. Final Comments: This is the first Brazilian report of metabolic syndrome associated with SH2B1-related monogenic obesity successfully treated with sleeve gastrectomy. It underscores the importance of early genetic screening in severe, refractory, early-onset obesity with hyperphagia, enabling precision medicine approaches. While surgery is not standard initial treatment, it may provide durable weight and metabolic control in selected cases. Identifying genetic subtypes is key to guiding management, improving outcomes, and deepening understanding of obesity pathophysiology.\n\n\n### (1) Universidade do Grande Rio (Unigranrio/Afya), Duque de Caxias, RJ, Brasil; (2) Universidade Federal do Rio de Janeiro, Hospital Clementino Fraga Filho, Rio de Janeiro, RJ, Brasil\nCase Presentation: A female patient, daughter of a diabetic father, presented progressive weight gain since childhood, evolving into severe long-standing obesity. Between 2016 and 2019, she weighed 126 kg (BMI 46.3 kg/m2), consumed ~ 3,709 kcal/day, and met diagnostic criteria for metabolic syndrome: abdominal obesity, hypertension, dyslipidemia, and hyperinsulinemia, with HbA1c 6.7%. Refractory to intensive clinical management, she underwent sleeve gastrectomy in 2019. After 12 months, she had lost 37.3% of her initial weight (BMI 29.0 kg/m2), quit smoking, adhered to multidisciplinary follow-up, and achieved HbA1c 5.0%. Persistent hyperphagia, absence of a clear family history, and early-onset presentation prompted genetic testing, revealing a pathogenic SH2B1 variant [p.(Arg630Gln)], confirming non-syndromic monogenic obesity. By July 2025, she maintained HbA1c 5.3% and stable weight, showing sustained improvement. The patient provided a written consent to publish her information. Discussion: SH2B1 encodes an adaptor protein in leptin–melanocortin and insulin signaling. Pathogenic variants, such as p.(Arg630Gln), are linked to early-onset obesity, hyperphagia, and insulin resistance, typically resistant to conventional interventions. This patient’s severe obesity, hyperphagia, and metabolic syndrome led to suspicion and confirmation of a genetic cause. Bariatric surgery is not first-line therapy in monogenic obesity, but selected patients may benefit. Here, sleeve gastrectomy induced marked weight loss, remission of metabolic syndrome, and stable glycemic control over 6 years. The outcome supports surgery as a potential adjunct in genetically predisposed individuals when paired with long-term multidisciplinary care. Further studies should define optimal strategies, including the role of targeted agents such as MC4R agonists. Final Comments: This is the first Brazilian report of metabolic syndrome associated with SH2B1-related monogenic obesity successfully treated with sleeve gastrectomy. It underscores the importance of early genetic screening in severe, refractory, early-onset obesity with hyperphagia, enabling precision medicine approaches. While surgery is not standard initial treatment, it may provide durable weight and metabolic control in selected cases. Identifying genetic subtypes is key to guiding management, improving outcomes, and deepening understanding of obesity pathophysiology.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—278\nCase Presentation: A female patient, daughter of a diabetic father, presented progressive weight gain since childhood, evolving into severe long-standing obesity. Between 2016 and 2019, she weighed 126 kg (BMI 46.3 kg/m2), consumed ~ 3,709 kcal/day, and met diagnostic criteria for metabolic syndrome: abdominal obesity, hypertension, dyslipidemia, and hyperinsulinemia, with HbA1c 6.7%. Refractory to intensive clinical management, she underwent sleeve gastrectomy in 2019. After 12 months, she had lost 37.3% of her initial weight (BMI 29.0 kg/m2), quit smoking, adhered to multidisciplinary follow-up, and achieved HbA1c 5.0%. Persistent hyperphagia, absence of a clear family history, and early-onset presentation prompted genetic testing, revealing a pathogenic SH2B1 variant [p.(Arg630Gln)], confirming non-syndromic monogenic obesity. By July 2025, she maintained HbA1c 5.3% and stable weight, showing sustained improvement. The patient provided a written consent to publish her information. Discussion: SH2B1 encodes an adaptor protein in leptin–melanocortin and insulin signaling. Pathogenic variants, such as p.(Arg630Gln), are linked to early-onset obesity, hyperphagia, and insulin resistance, typically resistant to conventional interventions. This patient’s severe obesity, hyperphagia, and metabolic syndrome led to suspicion and confirmation of a genetic cause. Bariatric surgery is not first-line therapy in monogenic obesity, but selected patients may benefit. Here, sleeve gastrectomy induced marked weight loss, remission of metabolic syndrome, and stable glycemic control over 6 years. The outcome supports surgery as a potential adjunct in genetically predisposed individuals when paired with long-term multidisciplinary care. Further studies should define optimal strategies, including the role of targeted agents such as MC4R agonists. Final Comments: This is the first Brazilian report of metabolic syndrome associated with SH2B1-related monogenic obesity successfully treated with sleeve gastrectomy. It underscores the importance of early genetic screening in severe, refractory, early-onset obesity with hyperphagia, enabling precision medicine approaches. While surgery is not standard initial treatment, it may provide durable weight and metabolic control in selected cases. Identifying genetic subtypes is key to guiding management, improving outcomes, and deepening understanding of obesity pathophysiology.\n\n\n### PO—279 Abdominal Circumference And miRNA-499a Expression in Patients With Diabetic Complications: Clinical And Molecular Correlation\nIntroduction: Abdominal obesity is considered a key marker of cardiometabolic risk, being associated with increased insulin resistance, endothelial dysfunction, and systemic inflammation. These factors contribute to the progression of diabetes-related complications, such as Diabetic Kidney Disease (DKD). In this context, microRNAs emerge as potential molecular biomarkers, capable of reflecting early changes that precede the clinical manifestations of the disease. Among them, miRNA-499a has been shown to play a significant role in regulating metabolic pathways such as insulin signaling and inflammatory response modulation. Studies have demonstrated that its overexpression is associated with increased glucose uptake and greater glycogen storage, suggesting an adaptive role in response to metabolic stress. Objective: This study examined the association between abdominal circumference and the genotypic expression of miRNA-499a in individuals with type 1 and type 2 diabetes mellitus, with and without diabetic kidney disease (DKD). Methods: A case-control design was employed, in which saliva samples from 87 diabetic patients were collected for DNA extraction and subsequent analysis of miRNA-499a polymorphisms using real-time PCR. In addition to genetic analysis, key clinical and biochemical parameters - such as abdominal circumference, glucose, and renal function markers - were collected. The diagnosis of DKD was based on albuminuria levels and renal function parameters. Results: Among the participants, 28.7% were identified as having DKD, predominantly among those with type 2 diabetes. Patients with DKD also presented significantly higher mean abdominal circumference compared to those without renal involvement. Furthermore, a statistically significant correlation (p=0.036) was observed between elevated abdominal circumference and the presence of the miRNA-499a polymorphism in the group with DKD, indicating a possible involvement of this marker in the regulation of processes related to central adiposity and chronic inflammation. Conclusion: The findings support the hypothesis that abdominal obesity, beyond being an important clinical risk factor, may also be associated with molecular mechanisms mediated by miRNAs. This association enhances the potential for risk stratification and early detection of microvascular complications in individuals with diabetes. Furthermore, assessing microRNA expression could aid in designing genetic panels, thus improving the early clinical management of individuals with diabetes.\n\n\n### Brito BL1; Oliveira BMB1; Sella BP1; Montemor CN1; Liboni rD1; Hildebrando I1; Zangari MEM1; Maronezi MG1; Frederico RCP1\nIntroduction: Abdominal obesity is considered a key marker of cardiometabolic risk, being associated with increased insulin resistance, endothelial dysfunction, and systemic inflammation. These factors contribute to the progression of diabetes-related complications, such as Diabetic Kidney Disease (DKD). In this context, microRNAs emerge as potential molecular biomarkers, capable of reflecting early changes that precede the clinical manifestations of the disease. Among them, miRNA-499a has been shown to play a significant role in regulating metabolic pathways such as insulin signaling and inflammatory response modulation. Studies have demonstrated that its overexpression is associated with increased glucose uptake and greater glycogen storage, suggesting an adaptive role in response to metabolic stress. Objective: This study examined the association between abdominal circumference and the genotypic expression of miRNA-499a in individuals with type 1 and type 2 diabetes mellitus, with and without diabetic kidney disease (DKD). Methods: A case-control design was employed, in which saliva samples from 87 diabetic patients were collected for DNA extraction and subsequent analysis of miRNA-499a polymorphisms using real-time PCR. In addition to genetic analysis, key clinical and biochemical parameters - such as abdominal circumference, glucose, and renal function markers - were collected. The diagnosis of DKD was based on albuminuria levels and renal function parameters. Results: Among the participants, 28.7% were identified as having DKD, predominantly among those with type 2 diabetes. Patients with DKD also presented significantly higher mean abdominal circumference compared to those without renal involvement. Furthermore, a statistically significant correlation (p=0.036) was observed between elevated abdominal circumference and the presence of the miRNA-499a polymorphism in the group with DKD, indicating a possible involvement of this marker in the regulation of processes related to central adiposity and chronic inflammation. Conclusion: The findings support the hypothesis that abdominal obesity, beyond being an important clinical risk factor, may also be associated with molecular mechanisms mediated by miRNAs. This association enhances the potential for risk stratification and early detection of microvascular complications in individuals with diabetes. Furthermore, assessing microRNA expression could aid in designing genetic panels, thus improving the early clinical management of individuals with diabetes.\n\n\n### (1) Pontifícia Universidade Católica do Paraná, Londrina, PR, Brasil\nIntroduction: Abdominal obesity is considered a key marker of cardiometabolic risk, being associated with increased insulin resistance, endothelial dysfunction, and systemic inflammation. These factors contribute to the progression of diabetes-related complications, such as Diabetic Kidney Disease (DKD). In this context, microRNAs emerge as potential molecular biomarkers, capable of reflecting early changes that precede the clinical manifestations of the disease. Among them, miRNA-499a has been shown to play a significant role in regulating metabolic pathways such as insulin signaling and inflammatory response modulation. Studies have demonstrated that its overexpression is associated with increased glucose uptake and greater glycogen storage, suggesting an adaptive role in response to metabolic stress. Objective: This study examined the association between abdominal circumference and the genotypic expression of miRNA-499a in individuals with type 1 and type 2 diabetes mellitus, with and without diabetic kidney disease (DKD). Methods: A case-control design was employed, in which saliva samples from 87 diabetic patients were collected for DNA extraction and subsequent analysis of miRNA-499a polymorphisms using real-time PCR. In addition to genetic analysis, key clinical and biochemical parameters - such as abdominal circumference, glucose, and renal function markers - were collected. The diagnosis of DKD was based on albuminuria levels and renal function parameters. Results: Among the participants, 28.7% were identified as having DKD, predominantly among those with type 2 diabetes. Patients with DKD also presented significantly higher mean abdominal circumference compared to those without renal involvement. Furthermore, a statistically significant correlation (p=0.036) was observed between elevated abdominal circumference and the presence of the miRNA-499a polymorphism in the group with DKD, indicating a possible involvement of this marker in the regulation of processes related to central adiposity and chronic inflammation. Conclusion: The findings support the hypothesis that abdominal obesity, beyond being an important clinical risk factor, may also be associated with molecular mechanisms mediated by miRNAs. This association enhances the potential for risk stratification and early detection of microvascular complications in individuals with diabetes. Furthermore, assessing microRNA expression could aid in designing genetic panels, thus improving the early clinical management of individuals with diabetes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—279\nIntroduction: Abdominal obesity is considered a key marker of cardiometabolic risk, being associated with increased insulin resistance, endothelial dysfunction, and systemic inflammation. These factors contribute to the progression of diabetes-related complications, such as Diabetic Kidney Disease (DKD). In this context, microRNAs emerge as potential molecular biomarkers, capable of reflecting early changes that precede the clinical manifestations of the disease. Among them, miRNA-499a has been shown to play a significant role in regulating metabolic pathways such as insulin signaling and inflammatory response modulation. Studies have demonstrated that its overexpression is associated with increased glucose uptake and greater glycogen storage, suggesting an adaptive role in response to metabolic stress. Objective: This study examined the association between abdominal circumference and the genotypic expression of miRNA-499a in individuals with type 1 and type 2 diabetes mellitus, with and without diabetic kidney disease (DKD). Methods: A case-control design was employed, in which saliva samples from 87 diabetic patients were collected for DNA extraction and subsequent analysis of miRNA-499a polymorphisms using real-time PCR. In addition to genetic analysis, key clinical and biochemical parameters - such as abdominal circumference, glucose, and renal function markers - were collected. The diagnosis of DKD was based on albuminuria levels and renal function parameters. Results: Among the participants, 28.7% were identified as having DKD, predominantly among those with type 2 diabetes. Patients with DKD also presented significantly higher mean abdominal circumference compared to those without renal involvement. Furthermore, a statistically significant correlation (p=0.036) was observed between elevated abdominal circumference and the presence of the miRNA-499a polymorphism in the group with DKD, indicating a possible involvement of this marker in the regulation of processes related to central adiposity and chronic inflammation. Conclusion: The findings support the hypothesis that abdominal obesity, beyond being an important clinical risk factor, may also be associated with molecular mechanisms mediated by miRNAs. This association enhances the potential for risk stratification and early detection of microvascular complications in individuals with diabetes. Furthermore, assessing microRNA expression could aid in designing genetic panels, thus improving the early clinical management of individuals with diabetes.\n\n\n### PO—280 Association Of Body Composition Distribution Assessed by Dual-energy X-ray Absorptiometry (DXA) Among Normoglycemic, Glucose-intolerant And Diabetes Mellitus Individuals\nIntroduction: The prevalence of diabetes mellitus (DM) has grown significantly in recent decades. Estimates indicate that, in 2021, there were between 529 and 537 million people with DM worldwide; in 2022, this number increased to 828 million adults, representing a substantial rise since 199012. The association between body fat distribution and DM is widely recognized and goes beyond an elevated body mass index (BMI). Consistent evidence indicates that the location of adipose tissue, particularly the accumulation of visceral fat, is strongly correlated with the risk of developing DM345. In addition, lower lean mass is also associated with a higher risk of DM, although this relationship is less consistent⁶. Objective: To compare body composition distribution, assessed by DXA, among normoglycemic individuals, those with glucose intolerance, and those with diabetes mellitus. Methods: This cross-sectional analytical study was conducted with 42 adult individuals with a BMI ≥ 30 kg/m2. Participants were divided into three groups: normoglycemic G1 (n=10), glucose-intolerant G2 (n=19), and diabetes mellitus G3 (n=13). Blood samples were collected in the morning after a 12-hour fast. Metabolic parameters (fasting glucose, HbA1c, total cholesterol, HDL-c, LDL-c, and triglycerides) and body composition by dual-energy X-ray absorptiometry (DXA) were analyzed. SPSS v. 22.0 was used, with a significance level set at p < 0.05. The study was approved by the Research Ethics Committee under protocol CAAE 82844917.8.3004.5257. Results: No significant differences were observed among the groups in terms of weight, height, BMI, circumferences, or resting metabolic rate. However, individuals with DM showed a lower percentage of total fat mass, lower fat in the gynoid region, and a higher percentage of lean mass. Visceral adipose tissue (VAT) tended to be more prevalent in G2 and G3, although without statistical significance. Conclusion: Individuals with DM showed differences in body composition, suggesting a distinct pattern of body fat distribution. However, larger studies are needed to confirm these findings, considering possible confounding factors.\n\n\n### Soares MM1; Paiva HM1; Silva RLS1; Lima VM1; Silva AM1; Mesquita CT2; Cruz GG1; Conceição FL1; Mattos FCC1; Carneiro JRI1\nIntroduction: The prevalence of diabetes mellitus (DM) has grown significantly in recent decades. Estimates indicate that, in 2021, there were between 529 and 537 million people with DM worldwide; in 2022, this number increased to 828 million adults, representing a substantial rise since 199012. The association between body fat distribution and DM is widely recognized and goes beyond an elevated body mass index (BMI). Consistent evidence indicates that the location of adipose tissue, particularly the accumulation of visceral fat, is strongly correlated with the risk of developing DM345. In addition, lower lean mass is also associated with a higher risk of DM, although this relationship is less consistent⁶. Objective: To compare body composition distribution, assessed by DXA, among normoglycemic individuals, those with glucose intolerance, and those with diabetes mellitus. Methods: This cross-sectional analytical study was conducted with 42 adult individuals with a BMI ≥ 30 kg/m2. Participants were divided into three groups: normoglycemic G1 (n=10), glucose-intolerant G2 (n=19), and diabetes mellitus G3 (n=13). Blood samples were collected in the morning after a 12-hour fast. Metabolic parameters (fasting glucose, HbA1c, total cholesterol, HDL-c, LDL-c, and triglycerides) and body composition by dual-energy X-ray absorptiometry (DXA) were analyzed. SPSS v. 22.0 was used, with a significance level set at p < 0.05. The study was approved by the Research Ethics Committee under protocol CAAE 82844917.8.3004.5257. Results: No significant differences were observed among the groups in terms of weight, height, BMI, circumferences, or resting metabolic rate. However, individuals with DM showed a lower percentage of total fat mass, lower fat in the gynoid region, and a higher percentage of lean mass. Visceral adipose tissue (VAT) tended to be more prevalent in G2 and G3, although without statistical significance. Conclusion: Individuals with DM showed differences in body composition, suggesting a distinct pattern of body fat distribution. However, larger studies are needed to confirm these findings, considering possible confounding factors.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Federal Fluminense, Rio de Janeiro, RJ, Brasil\nIntroduction: The prevalence of diabetes mellitus (DM) has grown significantly in recent decades. Estimates indicate that, in 2021, there were between 529 and 537 million people with DM worldwide; in 2022, this number increased to 828 million adults, representing a substantial rise since 199012. The association between body fat distribution and DM is widely recognized and goes beyond an elevated body mass index (BMI). Consistent evidence indicates that the location of adipose tissue, particularly the accumulation of visceral fat, is strongly correlated with the risk of developing DM345. In addition, lower lean mass is also associated with a higher risk of DM, although this relationship is less consistent⁶. Objective: To compare body composition distribution, assessed by DXA, among normoglycemic individuals, those with glucose intolerance, and those with diabetes mellitus. Methods: This cross-sectional analytical study was conducted with 42 adult individuals with a BMI ≥ 30 kg/m2. Participants were divided into three groups: normoglycemic G1 (n=10), glucose-intolerant G2 (n=19), and diabetes mellitus G3 (n=13). Blood samples were collected in the morning after a 12-hour fast. Metabolic parameters (fasting glucose, HbA1c, total cholesterol, HDL-c, LDL-c, and triglycerides) and body composition by dual-energy X-ray absorptiometry (DXA) were analyzed. SPSS v. 22.0 was used, with a significance level set at p < 0.05. The study was approved by the Research Ethics Committee under protocol CAAE 82844917.8.3004.5257. Results: No significant differences were observed among the groups in terms of weight, height, BMI, circumferences, or resting metabolic rate. However, individuals with DM showed a lower percentage of total fat mass, lower fat in the gynoid region, and a higher percentage of lean mass. Visceral adipose tissue (VAT) tended to be more prevalent in G2 and G3, although without statistical significance. Conclusion: Individuals with DM showed differences in body composition, suggesting a distinct pattern of body fat distribution. However, larger studies are needed to confirm these findings, considering possible confounding factors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—280\nIntroduction: The prevalence of diabetes mellitus (DM) has grown significantly in recent decades. Estimates indicate that, in 2021, there were between 529 and 537 million people with DM worldwide; in 2022, this number increased to 828 million adults, representing a substantial rise since 199012. The association between body fat distribution and DM is widely recognized and goes beyond an elevated body mass index (BMI). Consistent evidence indicates that the location of adipose tissue, particularly the accumulation of visceral fat, is strongly correlated with the risk of developing DM345. In addition, lower lean mass is also associated with a higher risk of DM, although this relationship is less consistent⁶. Objective: To compare body composition distribution, assessed by DXA, among normoglycemic individuals, those with glucose intolerance, and those with diabetes mellitus. Methods: This cross-sectional analytical study was conducted with 42 adult individuals with a BMI ≥ 30 kg/m2. Participants were divided into three groups: normoglycemic G1 (n=10), glucose-intolerant G2 (n=19), and diabetes mellitus G3 (n=13). Blood samples were collected in the morning after a 12-hour fast. Metabolic parameters (fasting glucose, HbA1c, total cholesterol, HDL-c, LDL-c, and triglycerides) and body composition by dual-energy X-ray absorptiometry (DXA) were analyzed. SPSS v. 22.0 was used, with a significance level set at p < 0.05. The study was approved by the Research Ethics Committee under protocol CAAE 82844917.8.3004.5257. Results: No significant differences were observed among the groups in terms of weight, height, BMI, circumferences, or resting metabolic rate. However, individuals with DM showed a lower percentage of total fat mass, lower fat in the gynoid region, and a higher percentage of lean mass. Visceral adipose tissue (VAT) tended to be more prevalent in G2 and G3, although without statistical significance. Conclusion: Individuals with DM showed differences in body composition, suggesting a distinct pattern of body fat distribution. However, larger studies are needed to confirm these findings, considering possible confounding factors.\n\n\n### PO—281 Association of Glycemic Profile and Abdominal Adiposity with Menopause in Severely Obese Women\nIntroduction: Obesity is a multifactorial chronic disease characterized by the excessive accumulation of body fat, which can be associated with other chronic diseases, such as type 2 diabetes mellitus. Menopause is a period in a woman’s life with important hormonal changes that can be associated with glycemic alterations, which can be aggravated by total and localized body adiposity. However, the joint impact of abdominal adiposity and menopause on the glycemic profile of women with severe obesity still requires further investigation. Objective: The aim of this study was to evaluate the association of menopause with glycemic profile and abdominal adiposity in severely obese women. Methods: This was a cross-sectional observational study with primary data collection, approved by a research ethics committee under protocol number CAEE 66576923.3.0000.5285. A total of 65 women with severe obesity were evaluated during the preoperative period of bariatric and metabolic surgery at a university hospital in Rio de Janeiro. Abdominal adiposity was assessed through waist circumference (WC) measurement. The glycemic profile was evaluated using blood samples collected after a 12-hour fast, through fasting glucose, insulin, glycated hemoglobin (A1C), and estimated average glucose (eAG) tests. Shapiro-Wilk’s test was applied to assess the distribution of variables. Associations between menopause, glycemic profile, and WC were analyzed using the Mann-Whitney test. Statistical significance was set at p ≤ 0.05, and analyses were performed using R software, version 4.5.1. Results: The average age of non-menopausal patients was 43 years (SD = 9.9). Menopausal women comprised 51.56% of the sample, with an average age of 60 years (SD = 7.5). In this group, the mean levels of estimated glucose and glycated hemoglobin were significantly higher (p = 0.02 and p = 0.03, respectively). Fasting glucose, insulin, and waist circumference did not differ significantly between groups. Conclusion: In women with severe obesity, menopause was associated with a worse glycemic profile, compared with non-menopausal women, regardless of abdominal adiposity.\n\n\n### Valentim AVG1; Salles MBCFS1; Oliveira JM1; Silva LS1; Matos EKL1; Souza NS1; Barreto Chrysostomo LB1; Siais LO1; Coimbra VOR1; Rosado EL1\nIntroduction: Obesity is a multifactorial chronic disease characterized by the excessive accumulation of body fat, which can be associated with other chronic diseases, such as type 2 diabetes mellitus. Menopause is a period in a woman’s life with important hormonal changes that can be associated with glycemic alterations, which can be aggravated by total and localized body adiposity. However, the joint impact of abdominal adiposity and menopause on the glycemic profile of women with severe obesity still requires further investigation. Objective: The aim of this study was to evaluate the association of menopause with glycemic profile and abdominal adiposity in severely obese women. Methods: This was a cross-sectional observational study with primary data collection, approved by a research ethics committee under protocol number CAEE 66576923.3.0000.5285. A total of 65 women with severe obesity were evaluated during the preoperative period of bariatric and metabolic surgery at a university hospital in Rio de Janeiro. Abdominal adiposity was assessed through waist circumference (WC) measurement. The glycemic profile was evaluated using blood samples collected after a 12-hour fast, through fasting glucose, insulin, glycated hemoglobin (A1C), and estimated average glucose (eAG) tests. Shapiro-Wilk’s test was applied to assess the distribution of variables. Associations between menopause, glycemic profile, and WC were analyzed using the Mann-Whitney test. Statistical significance was set at p ≤ 0.05, and analyses were performed using R software, version 4.5.1. Results: The average age of non-menopausal patients was 43 years (SD = 9.9). Menopausal women comprised 51.56% of the sample, with an average age of 60 years (SD = 7.5). In this group, the mean levels of estimated glucose and glycated hemoglobin were significantly higher (p = 0.02 and p = 0.03, respectively). Fasting glucose, insulin, and waist circumference did not differ significantly between groups. Conclusion: In women with severe obesity, menopause was associated with a worse glycemic profile, compared with non-menopausal women, regardless of abdominal adiposity.\n\n\n### (1) Universidade Federal do Rio de Janeiro, UFRJ, Rio de Janeiro- RJ, Brasil\nIntroduction: Obesity is a multifactorial chronic disease characterized by the excessive accumulation of body fat, which can be associated with other chronic diseases, such as type 2 diabetes mellitus. Menopause is a period in a woman’s life with important hormonal changes that can be associated with glycemic alterations, which can be aggravated by total and localized body adiposity. However, the joint impact of abdominal adiposity and menopause on the glycemic profile of women with severe obesity still requires further investigation. Objective: The aim of this study was to evaluate the association of menopause with glycemic profile and abdominal adiposity in severely obese women. Methods: This was a cross-sectional observational study with primary data collection, approved by a research ethics committee under protocol number CAEE 66576923.3.0000.5285. A total of 65 women with severe obesity were evaluated during the preoperative period of bariatric and metabolic surgery at a university hospital in Rio de Janeiro. Abdominal adiposity was assessed through waist circumference (WC) measurement. The glycemic profile was evaluated using blood samples collected after a 12-hour fast, through fasting glucose, insulin, glycated hemoglobin (A1C), and estimated average glucose (eAG) tests. Shapiro-Wilk’s test was applied to assess the distribution of variables. Associations between menopause, glycemic profile, and WC were analyzed using the Mann-Whitney test. Statistical significance was set at p ≤ 0.05, and analyses were performed using R software, version 4.5.1. Results: The average age of non-menopausal patients was 43 years (SD = 9.9). Menopausal women comprised 51.56% of the sample, with an average age of 60 years (SD = 7.5). In this group, the mean levels of estimated glucose and glycated hemoglobin were significantly higher (p = 0.02 and p = 0.03, respectively). Fasting glucose, insulin, and waist circumference did not differ significantly between groups. Conclusion: In women with severe obesity, menopause was associated with a worse glycemic profile, compared with non-menopausal women, regardless of abdominal adiposity.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—281\nIntroduction: Obesity is a multifactorial chronic disease characterized by the excessive accumulation of body fat, which can be associated with other chronic diseases, such as type 2 diabetes mellitus. Menopause is a period in a woman’s life with important hormonal changes that can be associated with glycemic alterations, which can be aggravated by total and localized body adiposity. However, the joint impact of abdominal adiposity and menopause on the glycemic profile of women with severe obesity still requires further investigation. Objective: The aim of this study was to evaluate the association of menopause with glycemic profile and abdominal adiposity in severely obese women. Methods: This was a cross-sectional observational study with primary data collection, approved by a research ethics committee under protocol number CAEE 66576923.3.0000.5285. A total of 65 women with severe obesity were evaluated during the preoperative period of bariatric and metabolic surgery at a university hospital in Rio de Janeiro. Abdominal adiposity was assessed through waist circumference (WC) measurement. The glycemic profile was evaluated using blood samples collected after a 12-hour fast, through fasting glucose, insulin, glycated hemoglobin (A1C), and estimated average glucose (eAG) tests. Shapiro-Wilk’s test was applied to assess the distribution of variables. Associations between menopause, glycemic profile, and WC were analyzed using the Mann-Whitney test. Statistical significance was set at p ≤ 0.05, and analyses were performed using R software, version 4.5.1. Results: The average age of non-menopausal patients was 43 years (SD = 9.9). Menopausal women comprised 51.56% of the sample, with an average age of 60 years (SD = 7.5). In this group, the mean levels of estimated glucose and glycated hemoglobin were significantly higher (p = 0.02 and p = 0.03, respectively). Fasting glucose, insulin, and waist circumference did not differ significantly between groups. Conclusion: In women with severe obesity, menopause was associated with a worse glycemic profile, compared with non-menopausal women, regardless of abdominal adiposity.\n\n\n### PO—283 Clinical And Anthropometric Profile Of Individuals With Overweight Diagnosed With Or At High Risk Of Type 2 Diabetes Attending A Primary Care Center In Rio de Janeiro\nIntroduction: In 2023, the prevalence of overweight and obesity among adults in Rio de Janeiro (RJ) were 65.2% and 26.2% respectively. The concomitant metabolic and cardiovascular risk make these conditions significant health problems that deserve attention. Objective: To investigate the anthropometric and clinical profile of a sample of patients with overweight or obesity assisted at a primary healthcare center in RJ. Methods: A cross-sectional study was conducted using baseline data from the “Pilot Study on the Management of Obesity and Its Comorbidities in Primary Health Care through Health Education”. Individuals with overweight/obesity and diagnosis or high risk of type 2 diabetes underwent anthropometric assessments. Waist (WC), neck circumference (NC), body weight and height were obtained. Overweight and obesity (grades 1, 2 and 3) were classified based on BMI levels. Data on comorbidities were extracted from medical records. Data were analyzed using JAMOVI statistical software. Results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: Overall, 25 individuals were included, 20 (80%) female, aged 50.2 ± 10.2 years, with a BMI of 36.7 ± 6.3 Kg/m2, WC of 104 ± 9.4 cm in women and 110 ± 10.4 in men; NC of 38 ± 3.5 cm in women and 43.6 ± 2.9 in men. Among them, 3 (12%) presented overweight, 9 (36%), 6 (24%) and 7 (28%) presented obesity grades 1, 2 and 3, respectively. All patients (100%) presented an elevated waist-to-height ratio (>0.5) and 22 (88%) an increased NC (>37 cm for men and 34 cm for women). Fourteen (56%) had hypertension, 3 (12%) prediabetes, 6 (24%) diabetes, 6 (24%) dyslipidemia and 6 (24%) osteoarthritis. Six (24%) reported being overweight since childhood. Thirteen (52%) reported never having received professional healthcare treatment for obesity. Six (24%) had used medication for a period of 6 [3-12] years including formulas containing appetite inhibitors, sibutramine, orlistat, and one individual had used liraglutide and bupropion/naltrexone. Conclusion: Understanding the anthropometric and clinical profile of patients with overweight in primary health care is crucial for the development of strategies focused on prevention and management. In our sample, 52% of the participants had never received professional treatment for obesity, and 24% reported excess weight since childhood, highlighting the importance of early diagnosis for effective intervention.\n\n\n### Andrade ACC1; Braga ACM1; Elabras GM1; Boasquevisque ML1; Braga MCBF1; Fábio Akio Nishijuka1; Seba AM1; Mendes CGF1; Cardoso AC2; Cobas RA1\nIntroduction: In 2023, the prevalence of overweight and obesity among adults in Rio de Janeiro (RJ) were 65.2% and 26.2% respectively. The concomitant metabolic and cardiovascular risk make these conditions significant health problems that deserve attention. Objective: To investigate the anthropometric and clinical profile of a sample of patients with overweight or obesity assisted at a primary healthcare center in RJ. Methods: A cross-sectional study was conducted using baseline data from the “Pilot Study on the Management of Obesity and Its Comorbidities in Primary Health Care through Health Education”. Individuals with overweight/obesity and diagnosis or high risk of type 2 diabetes underwent anthropometric assessments. Waist (WC), neck circumference (NC), body weight and height were obtained. Overweight and obesity (grades 1, 2 and 3) were classified based on BMI levels. Data on comorbidities were extracted from medical records. Data were analyzed using JAMOVI statistical software. Results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: Overall, 25 individuals were included, 20 (80%) female, aged 50.2 ± 10.2 years, with a BMI of 36.7 ± 6.3 Kg/m2, WC of 104 ± 9.4 cm in women and 110 ± 10.4 in men; NC of 38 ± 3.5 cm in women and 43.6 ± 2.9 in men. Among them, 3 (12%) presented overweight, 9 (36%), 6 (24%) and 7 (28%) presented obesity grades 1, 2 and 3, respectively. All patients (100%) presented an elevated waist-to-height ratio (>0.5) and 22 (88%) an increased NC (>37 cm for men and 34 cm for women). Fourteen (56%) had hypertension, 3 (12%) prediabetes, 6 (24%) diabetes, 6 (24%) dyslipidemia and 6 (24%) osteoarthritis. Six (24%) reported being overweight since childhood. Thirteen (52%) reported never having received professional healthcare treatment for obesity. Six (24%) had used medication for a period of 6 [3-12] years including formulas containing appetite inhibitors, sibutramine, orlistat, and one individual had used liraglutide and bupropion/naltrexone. Conclusion: Understanding the anthropometric and clinical profile of patients with overweight in primary health care is crucial for the development of strategies focused on prevention and management. In our sample, 52% of the participants had never received professional treatment for obesity, and 24% reported excess weight since childhood, highlighting the importance of early diagnosis for effective intervention.\n\n\n### (1) Faculdade Souza Marques, Rio de Janeiro, RJ, Brasil; (2) Universidade do Estado do Rio de Janeiro, UERJ, Rio de Janeiro, RJ, Brasil\nIntroduction: In 2023, the prevalence of overweight and obesity among adults in Rio de Janeiro (RJ) were 65.2% and 26.2% respectively. The concomitant metabolic and cardiovascular risk make these conditions significant health problems that deserve attention. Objective: To investigate the anthropometric and clinical profile of a sample of patients with overweight or obesity assisted at a primary healthcare center in RJ. Methods: A cross-sectional study was conducted using baseline data from the “Pilot Study on the Management of Obesity and Its Comorbidities in Primary Health Care through Health Education”. Individuals with overweight/obesity and diagnosis or high risk of type 2 diabetes underwent anthropometric assessments. Waist (WC), neck circumference (NC), body weight and height were obtained. Overweight and obesity (grades 1, 2 and 3) were classified based on BMI levels. Data on comorbidities were extracted from medical records. Data were analyzed using JAMOVI statistical software. Results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: Overall, 25 individuals were included, 20 (80%) female, aged 50.2 ± 10.2 years, with a BMI of 36.7 ± 6.3 Kg/m2, WC of 104 ± 9.4 cm in women and 110 ± 10.4 in men; NC of 38 ± 3.5 cm in women and 43.6 ± 2.9 in men. Among them, 3 (12%) presented overweight, 9 (36%), 6 (24%) and 7 (28%) presented obesity grades 1, 2 and 3, respectively. All patients (100%) presented an elevated waist-to-height ratio (>0.5) and 22 (88%) an increased NC (>37 cm for men and 34 cm for women). Fourteen (56%) had hypertension, 3 (12%) prediabetes, 6 (24%) diabetes, 6 (24%) dyslipidemia and 6 (24%) osteoarthritis. Six (24%) reported being overweight since childhood. Thirteen (52%) reported never having received professional healthcare treatment for obesity. Six (24%) had used medication for a period of 6 [3-12] years including formulas containing appetite inhibitors, sibutramine, orlistat, and one individual had used liraglutide and bupropion/naltrexone. Conclusion: Understanding the anthropometric and clinical profile of patients with overweight in primary health care is crucial for the development of strategies focused on prevention and management. In our sample, 52% of the participants had never received professional treatment for obesity, and 24% reported excess weight since childhood, highlighting the importance of early diagnosis for effective intervention.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—283\nIntroduction: In 2023, the prevalence of overweight and obesity among adults in Rio de Janeiro (RJ) were 65.2% and 26.2% respectively. The concomitant metabolic and cardiovascular risk make these conditions significant health problems that deserve attention. Objective: To investigate the anthropometric and clinical profile of a sample of patients with overweight or obesity assisted at a primary healthcare center in RJ. Methods: A cross-sectional study was conducted using baseline data from the “Pilot Study on the Management of Obesity and Its Comorbidities in Primary Health Care through Health Education”. Individuals with overweight/obesity and diagnosis or high risk of type 2 diabetes underwent anthropometric assessments. Waist (WC), neck circumference (NC), body weight and height were obtained. Overweight and obesity (grades 1, 2 and 3) were classified based on BMI levels. Data on comorbidities were extracted from medical records. Data were analyzed using JAMOVI statistical software. Results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: Overall, 25 individuals were included, 20 (80%) female, aged 50.2 ± 10.2 years, with a BMI of 36.7 ± 6.3 Kg/m2, WC of 104 ± 9.4 cm in women and 110 ± 10.4 in men; NC of 38 ± 3.5 cm in women and 43.6 ± 2.9 in men. Among them, 3 (12%) presented overweight, 9 (36%), 6 (24%) and 7 (28%) presented obesity grades 1, 2 and 3, respectively. All patients (100%) presented an elevated waist-to-height ratio (>0.5) and 22 (88%) an increased NC (>37 cm for men and 34 cm for women). Fourteen (56%) had hypertension, 3 (12%) prediabetes, 6 (24%) diabetes, 6 (24%) dyslipidemia and 6 (24%) osteoarthritis. Six (24%) reported being overweight since childhood. Thirteen (52%) reported never having received professional healthcare treatment for obesity. Six (24%) had used medication for a period of 6 [3-12] years including formulas containing appetite inhibitors, sibutramine, orlistat, and one individual had used liraglutide and bupropion/naltrexone. Conclusion: Understanding the anthropometric and clinical profile of patients with overweight in primary health care is crucial for the development of strategies focused on prevention and management. In our sample, 52% of the participants had never received professional treatment for obesity, and 24% reported excess weight since childhood, highlighting the importance of early diagnosis for effective intervention.\n\n\n### PO—284 Comparison of Glycemic Profile and Carbohydrate Intake in Women with Severe Obesity With and Without Leptin Gene Polymorphism\nIntroduction: Obesity is recognized as a serious chronic disease, difficult to manage and of multifactorial etiology—including genetic factors. Certain genetic polymorphisms may influence metabolic activity, increasing the risk of developing obesity and favoring the onset of associated comorbidities. Within this context, the leptin gene (LEP) polymorphism rs7799039 has been linked to excessive weight gain, hyperglycemia, and type 2 diabetes mellitus (DM2). Analyzing whether the presence of this polymorphism in individuals with obesity is associated with alterations in glycemic parameters and carbohydrate intake may help elucidate the manifestations of these conditions and guide treatment strategies. Objective: To compare the glycemic profile and carbohydrate intake among women with severe obesity, with and without the leptin (rs7799039) polymorphism. Methods: This is a cross-sectional study, part of the research titled “Gut Microbiota, Dietary Intake, and Metabolic Profile in Individuals with Severe Obesity Undergoing Bariatric Surgery,” approved by the ethics committee (approval number: 5.621.915). The sample consisted of adult women diagnosed with severe obesity who were receiving care through the Obesity and Bariatric Surgery Program at a university hospital in Rio de Janeiro. Glycemic profile data included fasting glucose, estimated average glucose (EAG), insulin, glycated hemoglobin (A1C), carbohydrate intake, and diagnosis of DM2. The frequency of the LEP (rs7799039) polymorphism was determined using real-time PCR analysis. Data analysis was conducted using R software, with statistical significance set at p ≤ 0.05. Results: A total of 65 women were included, with median values (IQR) as follows: age 54.5 years (19.50), body mass index (BMI) 44.0 kg/m2 (6.97), fasting glucose 105.5 mg/dL (26.25), EAG 123 mg/dL (22.00), A1C 5.9% (0.85), insulin 24.3 μU/mL (17.05), and carbohydrate intake 46.69% of total energy (7.80). The LEP (rs7799039) polymorphism was present in 54.69% of participants. DM2 was diagnosed in 28.57% of the sample, with no significant difference between genotypes (p = 0.55). There were no significant differences in insulin (p = 0.27), A1C (p = 0.26), fasting glucose (p = 0.27), EAG (p = 0.12), or carbohydrate intake (p = 0.48) between groups. Conclusion: LEP (rs7799039) showed a high prevalence, with no difference in glycemic indicators and carbohydrate consumption between genotypes. Studies with larger samples and different nutritional profiles are needed to elucidate its metabolic impact.\n\n\n### Valentim AVG1; Silva LS1; Oliveira JM1; Salle MBCFSs1; Mattos EKL1; Souza NS 1; Silveira ABCS1; Chrysostomo LB1; Siais LO1; Coimbra VOR1; Lopes TS1; Rosado EL1\nIntroduction: Obesity is recognized as a serious chronic disease, difficult to manage and of multifactorial etiology—including genetic factors. Certain genetic polymorphisms may influence metabolic activity, increasing the risk of developing obesity and favoring the onset of associated comorbidities. Within this context, the leptin gene (LEP) polymorphism rs7799039 has been linked to excessive weight gain, hyperglycemia, and type 2 diabetes mellitus (DM2). Analyzing whether the presence of this polymorphism in individuals with obesity is associated with alterations in glycemic parameters and carbohydrate intake may help elucidate the manifestations of these conditions and guide treatment strategies. Objective: To compare the glycemic profile and carbohydrate intake among women with severe obesity, with and without the leptin (rs7799039) polymorphism. Methods: This is a cross-sectional study, part of the research titled “Gut Microbiota, Dietary Intake, and Metabolic Profile in Individuals with Severe Obesity Undergoing Bariatric Surgery,” approved by the ethics committee (approval number: 5.621.915). The sample consisted of adult women diagnosed with severe obesity who were receiving care through the Obesity and Bariatric Surgery Program at a university hospital in Rio de Janeiro. Glycemic profile data included fasting glucose, estimated average glucose (EAG), insulin, glycated hemoglobin (A1C), carbohydrate intake, and diagnosis of DM2. The frequency of the LEP (rs7799039) polymorphism was determined using real-time PCR analysis. Data analysis was conducted using R software, with statistical significance set at p ≤ 0.05. Results: A total of 65 women were included, with median values (IQR) as follows: age 54.5 years (19.50), body mass index (BMI) 44.0 kg/m2 (6.97), fasting glucose 105.5 mg/dL (26.25), EAG 123 mg/dL (22.00), A1C 5.9% (0.85), insulin 24.3 μU/mL (17.05), and carbohydrate intake 46.69% of total energy (7.80). The LEP (rs7799039) polymorphism was present in 54.69% of participants. DM2 was diagnosed in 28.57% of the sample, with no significant difference between genotypes (p = 0.55). There were no significant differences in insulin (p = 0.27), A1C (p = 0.26), fasting glucose (p = 0.27), EAG (p = 0.12), or carbohydrate intake (p = 0.48) between groups. Conclusion: LEP (rs7799039) showed a high prevalence, with no difference in glycemic indicators and carbohydrate consumption between genotypes. Studies with larger samples and different nutritional profiles are needed to elucidate its metabolic impact.\n\n\n### (1) Universidade Federal do Rio de Janeiro, UFRJ, Rio de Janeiro- RJ, Brasil\nIntroduction: Obesity is recognized as a serious chronic disease, difficult to manage and of multifactorial etiology—including genetic factors. Certain genetic polymorphisms may influence metabolic activity, increasing the risk of developing obesity and favoring the onset of associated comorbidities. Within this context, the leptin gene (LEP) polymorphism rs7799039 has been linked to excessive weight gain, hyperglycemia, and type 2 diabetes mellitus (DM2). Analyzing whether the presence of this polymorphism in individuals with obesity is associated with alterations in glycemic parameters and carbohydrate intake may help elucidate the manifestations of these conditions and guide treatment strategies. Objective: To compare the glycemic profile and carbohydrate intake among women with severe obesity, with and without the leptin (rs7799039) polymorphism. Methods: This is a cross-sectional study, part of the research titled “Gut Microbiota, Dietary Intake, and Metabolic Profile in Individuals with Severe Obesity Undergoing Bariatric Surgery,” approved by the ethics committee (approval number: 5.621.915). The sample consisted of adult women diagnosed with severe obesity who were receiving care through the Obesity and Bariatric Surgery Program at a university hospital in Rio de Janeiro. Glycemic profile data included fasting glucose, estimated average glucose (EAG), insulin, glycated hemoglobin (A1C), carbohydrate intake, and diagnosis of DM2. The frequency of the LEP (rs7799039) polymorphism was determined using real-time PCR analysis. Data analysis was conducted using R software, with statistical significance set at p ≤ 0.05. Results: A total of 65 women were included, with median values (IQR) as follows: age 54.5 years (19.50), body mass index (BMI) 44.0 kg/m2 (6.97), fasting glucose 105.5 mg/dL (26.25), EAG 123 mg/dL (22.00), A1C 5.9% (0.85), insulin 24.3 μU/mL (17.05), and carbohydrate intake 46.69% of total energy (7.80). The LEP (rs7799039) polymorphism was present in 54.69% of participants. DM2 was diagnosed in 28.57% of the sample, with no significant difference between genotypes (p = 0.55). There were no significant differences in insulin (p = 0.27), A1C (p = 0.26), fasting glucose (p = 0.27), EAG (p = 0.12), or carbohydrate intake (p = 0.48) between groups. Conclusion: LEP (rs7799039) showed a high prevalence, with no difference in glycemic indicators and carbohydrate consumption between genotypes. Studies with larger samples and different nutritional profiles are needed to elucidate its metabolic impact.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—284\nIntroduction: Obesity is recognized as a serious chronic disease, difficult to manage and of multifactorial etiology—including genetic factors. Certain genetic polymorphisms may influence metabolic activity, increasing the risk of developing obesity and favoring the onset of associated comorbidities. Within this context, the leptin gene (LEP) polymorphism rs7799039 has been linked to excessive weight gain, hyperglycemia, and type 2 diabetes mellitus (DM2). Analyzing whether the presence of this polymorphism in individuals with obesity is associated with alterations in glycemic parameters and carbohydrate intake may help elucidate the manifestations of these conditions and guide treatment strategies. Objective: To compare the glycemic profile and carbohydrate intake among women with severe obesity, with and without the leptin (rs7799039) polymorphism. Methods: This is a cross-sectional study, part of the research titled “Gut Microbiota, Dietary Intake, and Metabolic Profile in Individuals with Severe Obesity Undergoing Bariatric Surgery,” approved by the ethics committee (approval number: 5.621.915). The sample consisted of adult women diagnosed with severe obesity who were receiving care through the Obesity and Bariatric Surgery Program at a university hospital in Rio de Janeiro. Glycemic profile data included fasting glucose, estimated average glucose (EAG), insulin, glycated hemoglobin (A1C), carbohydrate intake, and diagnosis of DM2. The frequency of the LEP (rs7799039) polymorphism was determined using real-time PCR analysis. Data analysis was conducted using R software, with statistical significance set at p ≤ 0.05. Results: A total of 65 women were included, with median values (IQR) as follows: age 54.5 years (19.50), body mass index (BMI) 44.0 kg/m2 (6.97), fasting glucose 105.5 mg/dL (26.25), EAG 123 mg/dL (22.00), A1C 5.9% (0.85), insulin 24.3 μU/mL (17.05), and carbohydrate intake 46.69% of total energy (7.80). The LEP (rs7799039) polymorphism was present in 54.69% of participants. DM2 was diagnosed in 28.57% of the sample, with no significant difference between genotypes (p = 0.55). There were no significant differences in insulin (p = 0.27), A1C (p = 0.26), fasting glucose (p = 0.27), EAG (p = 0.12), or carbohydrate intake (p = 0.48) between groups. Conclusion: LEP (rs7799039) showed a high prevalence, with no difference in glycemic indicators and carbohydrate consumption between genotypes. Studies with larger samples and different nutritional profiles are needed to elucidate its metabolic impact.\n\n\n### PO—285 Dietary Intake According to Clinical Obesity Classification in a High-Risk Population for Developing Type 2 Diabetes: A Cross-Sectional Analysis from the PROVEN-DIA Pilot Study\nIntroduction: Obesity is a major risk factor for type 2 diabetes (T2D), with a multifactorial and complex etiology. Assessments incorporating functional and clinical aspects of obesity are essential to characterize its complexity. In this context, a classification was proposed by The Lancet Diabetes & Endocrinology Commission. Objective: To describe and compare demographic characteristics and dietary intake among adults at high risk for T2D according to the new clinical obesity classification. Methods: This is a cross-sectional and exploratory analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (Clinical Trials NCT05689658). Participants were stratified as No Obesity (NO), considering low adiposity regardless of BMI, with or without signs or symptoms; Preclinical Obesity (PCO), considering BMI ≥25 kg/m2 with increased abdominal adiposity or BMI ≥40 kg/m2 alone, without clinical signs or symptoms of organ dysfunction; and Clinical Obesity (CO), defined by PCO criteria along with presence of signs or symptoms. Dietary quality was assessed using the Balance-Index, which evaluates consumption of four food groups according to Cardioprotective Eating guidelines; higher overall and group scores indicate better diet quality. Comparisons were performed using chi-square or Kruskal-Wallis tests as appropriate. Results: Among 220 participants, 22.3% were classified as NO, 34.1% as PCO, and 43.6% as CO. NO participants had higher consumption of the green group foods (fruits, vegetables, legumes, pulses and skimmed dairy) (p=0.035), lower BMI (p<0.001), and higher age (p=0.012). Although not statistically significant, NO individuals showed lower intake of the red group (ultra-processed foods). Participants with PCO had the highest BMI (p<0.001), largest waist circumference (p<0.001), younger age (p=0.012), and lowest consumption of green group foods (p=0.035). While not significant, CO individuals presented the lowest consumption of blue group foods (meat, chicken, pork, fish, cheese, butter and sweets) (p=0.066). Conclusion: The new classification revealed relevant differences between groups in terms of income, ethnicity, and diet quality, highlighting its potential to improve personalized interventions for T2D risk. These findings underscore the importance of novel approaches in obesity assessment.\n\n\n### Fonseca DC1; Ostolin T1; Pinto SL2; Pagano R1; Nôleto FCM2; Caetano N2; Liz PHY2; Oliveira LT1; Santana ABN1; Alve BSs1; Martins ALF1; Bersch-Ferreira AC1\nIntroduction: Obesity is a major risk factor for type 2 diabetes (T2D), with a multifactorial and complex etiology. Assessments incorporating functional and clinical aspects of obesity are essential to characterize its complexity. In this context, a classification was proposed by The Lancet Diabetes & Endocrinology Commission. Objective: To describe and compare demographic characteristics and dietary intake among adults at high risk for T2D according to the new clinical obesity classification. Methods: This is a cross-sectional and exploratory analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (Clinical Trials NCT05689658). Participants were stratified as No Obesity (NO), considering low adiposity regardless of BMI, with or without signs or symptoms; Preclinical Obesity (PCO), considering BMI ≥25 kg/m2 with increased abdominal adiposity or BMI ≥40 kg/m2 alone, without clinical signs or symptoms of organ dysfunction; and Clinical Obesity (CO), defined by PCO criteria along with presence of signs or symptoms. Dietary quality was assessed using the Balance-Index, which evaluates consumption of four food groups according to Cardioprotective Eating guidelines; higher overall and group scores indicate better diet quality. Comparisons were performed using chi-square or Kruskal-Wallis tests as appropriate. Results: Among 220 participants, 22.3% were classified as NO, 34.1% as PCO, and 43.6% as CO. NO participants had higher consumption of the green group foods (fruits, vegetables, legumes, pulses and skimmed dairy) (p=0.035), lower BMI (p<0.001), and higher age (p=0.012). Although not statistically significant, NO individuals showed lower intake of the red group (ultra-processed foods). Participants with PCO had the highest BMI (p<0.001), largest waist circumference (p<0.001), younger age (p=0.012), and lowest consumption of green group foods (p=0.035). While not significant, CO individuals presented the lowest consumption of blue group foods (meat, chicken, pork, fish, cheese, butter and sweets) (p=0.066). Conclusion: The new classification revealed relevant differences between groups in terms of income, ethnicity, and diet quality, highlighting its potential to improve personalized interventions for T2D risk. These findings underscore the importance of novel approaches in obesity assessment.\n\n\n### (1) A Beneficência Portuguesa de São Paulo, BP—PROADI-SUS, São Paulo, SP, Brasil; (2) Programa de Pós-graduação em Ciências da Saúde, Curso de Nutrição, Universidade Federal do Tocantins, UFT, Palmas, TO, Brasil;\nIntroduction: Obesity is a major risk factor for type 2 diabetes (T2D), with a multifactorial and complex etiology. Assessments incorporating functional and clinical aspects of obesity are essential to characterize its complexity. In this context, a classification was proposed by The Lancet Diabetes & Endocrinology Commission. Objective: To describe and compare demographic characteristics and dietary intake among adults at high risk for T2D according to the new clinical obesity classification. Methods: This is a cross-sectional and exploratory analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (Clinical Trials NCT05689658). Participants were stratified as No Obesity (NO), considering low adiposity regardless of BMI, with or without signs or symptoms; Preclinical Obesity (PCO), considering BMI ≥25 kg/m2 with increased abdominal adiposity or BMI ≥40 kg/m2 alone, without clinical signs or symptoms of organ dysfunction; and Clinical Obesity (CO), defined by PCO criteria along with presence of signs or symptoms. Dietary quality was assessed using the Balance-Index, which evaluates consumption of four food groups according to Cardioprotective Eating guidelines; higher overall and group scores indicate better diet quality. Comparisons were performed using chi-square or Kruskal-Wallis tests as appropriate. Results: Among 220 participants, 22.3% were classified as NO, 34.1% as PCO, and 43.6% as CO. NO participants had higher consumption of the green group foods (fruits, vegetables, legumes, pulses and skimmed dairy) (p=0.035), lower BMI (p<0.001), and higher age (p=0.012). Although not statistically significant, NO individuals showed lower intake of the red group (ultra-processed foods). Participants with PCO had the highest BMI (p<0.001), largest waist circumference (p<0.001), younger age (p=0.012), and lowest consumption of green group foods (p=0.035). While not significant, CO individuals presented the lowest consumption of blue group foods (meat, chicken, pork, fish, cheese, butter and sweets) (p=0.066). Conclusion: The new classification revealed relevant differences between groups in terms of income, ethnicity, and diet quality, highlighting its potential to improve personalized interventions for T2D risk. These findings underscore the importance of novel approaches in obesity assessment.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—285\nIntroduction: Obesity is a major risk factor for type 2 diabetes (T2D), with a multifactorial and complex etiology. Assessments incorporating functional and clinical aspects of obesity are essential to characterize its complexity. In this context, a classification was proposed by The Lancet Diabetes & Endocrinology Commission. Objective: To describe and compare demographic characteristics and dietary intake among adults at high risk for T2D according to the new clinical obesity classification. Methods: This is a cross-sectional and exploratory analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (Clinical Trials NCT05689658). Participants were stratified as No Obesity (NO), considering low adiposity regardless of BMI, with or without signs or symptoms; Preclinical Obesity (PCO), considering BMI ≥25 kg/m2 with increased abdominal adiposity or BMI ≥40 kg/m2 alone, without clinical signs or symptoms of organ dysfunction; and Clinical Obesity (CO), defined by PCO criteria along with presence of signs or symptoms. Dietary quality was assessed using the Balance-Index, which evaluates consumption of four food groups according to Cardioprotective Eating guidelines; higher overall and group scores indicate better diet quality. Comparisons were performed using chi-square or Kruskal-Wallis tests as appropriate. Results: Among 220 participants, 22.3% were classified as NO, 34.1% as PCO, and 43.6% as CO. NO participants had higher consumption of the green group foods (fruits, vegetables, legumes, pulses and skimmed dairy) (p=0.035), lower BMI (p<0.001), and higher age (p=0.012). Although not statistically significant, NO individuals showed lower intake of the red group (ultra-processed foods). Participants with PCO had the highest BMI (p<0.001), largest waist circumference (p<0.001), younger age (p=0.012), and lowest consumption of green group foods (p=0.035). While not significant, CO individuals presented the lowest consumption of blue group foods (meat, chicken, pork, fish, cheese, butter and sweets) (p=0.066). Conclusion: The new classification revealed relevant differences between groups in terms of income, ethnicity, and diet quality, highlighting its potential to improve personalized interventions for T2D risk. These findings underscore the importance of novel approaches in obesity assessment.\n\n\n### PO—287 Impact of Bariatric Surgery on the Control of Type 2 Diabetes Mellitus in Patients Living with Obesity: Cases Analysis\nIntroduction: Metabolic surgery is an effective intervention for managing type 2 diabetes mellitus (T2DM), particularly in patients with obesity and inadequate glycemic control. Although the Brazilian Federal Council of Medicine (CFM) recommends its indication for cases with less than 10 years of disease duration, recent studies also demonstrate benefits in long-standing disease. Postoperative glycemic improvement is attributable not only to weight loss but also to hormonal changes and enhanced insulin sensitivity, favoring remission or significant clinical improvement. Objective: To describe the profile and clinical outcomes of insulin-dependent T2DM patients undergoing bariatric surgery, evaluating time to insulin withdrawal, percentage excess weight loss (%EWL), and glycemic control. Methods: A descriptive analysis was conducted of insulin-treated patients who underwent sleeve gastrectomy or gastric bypass between 2023 and 2025. Data collected included time since diagnosis, time to insulin withdrawal, %EWL at withdrawal, and glycated hemoglobin (HbA1c) levels before and after surgery. Results: Among 39 surgical patients, 10 had T2DM and 5 were on insulin therapy. The 5 patients on preoperative insulin therapy used doses (0.25–1.57 IU/kg/day; mean: 0.91) and had a mean body mass index (BMI) of 40.5 kg/m2. All 5 patients discontinued insulin, with a mean withdrawal time of 152.6 days (range: 28–253) and mean %EWL of 43.2. HbA1c levels decreased in all patients, reaching values close to or within the clinical target (<6.5%). Only one patient resumed bedtime insulin 15 months postoperatively, maintaining better glycemic control compared with the preoperative period. Four of the five patients had T2DM for over 10 years, three of them for more than 20 years, contrary to current CFM criteria, yet all maintained sustained glycemic control. Conclusion: The benefits of metabolic surgery appear to exceed the isolated effects of weight loss, likely involving increased incretin secretion (GLP-1, GIP), improved hepatic and peripheral insulin sensitivity, and hormonal adaptations that rapidly restore glucose homeostasis. In addition to metabolic improvements, patients reported enhanced quality of life and independence from insulin therapy. These findings support the efficacy of metabolic surgery even in long-standing T2DM and indicate the need to reassess time-based eligibility criteria.\n\n\n### Araújo Neto PF1; Jacob MJD1; Petronilho LS1; Frade GLF1; Dainezi AS1; Lopes MM1; Mascarenhas MW1; Uchoa HBMP1; Paula MP1\nIntroduction: Metabolic surgery is an effective intervention for managing type 2 diabetes mellitus (T2DM), particularly in patients with obesity and inadequate glycemic control. Although the Brazilian Federal Council of Medicine (CFM) recommends its indication for cases with less than 10 years of disease duration, recent studies also demonstrate benefits in long-standing disease. Postoperative glycemic improvement is attributable not only to weight loss but also to hormonal changes and enhanced insulin sensitivity, favoring remission or significant clinical improvement. Objective: To describe the profile and clinical outcomes of insulin-dependent T2DM patients undergoing bariatric surgery, evaluating time to insulin withdrawal, percentage excess weight loss (%EWL), and glycemic control. Methods: A descriptive analysis was conducted of insulin-treated patients who underwent sleeve gastrectomy or gastric bypass between 2023 and 2025. Data collected included time since diagnosis, time to insulin withdrawal, %EWL at withdrawal, and glycated hemoglobin (HbA1c) levels before and after surgery. Results: Among 39 surgical patients, 10 had T2DM and 5 were on insulin therapy. The 5 patients on preoperative insulin therapy used doses (0.25–1.57 IU/kg/day; mean: 0.91) and had a mean body mass index (BMI) of 40.5 kg/m2. All 5 patients discontinued insulin, with a mean withdrawal time of 152.6 days (range: 28–253) and mean %EWL of 43.2. HbA1c levels decreased in all patients, reaching values close to or within the clinical target (<6.5%). Only one patient resumed bedtime insulin 15 months postoperatively, maintaining better glycemic control compared with the preoperative period. Four of the five patients had T2DM for over 10 years, three of them for more than 20 years, contrary to current CFM criteria, yet all maintained sustained glycemic control. Conclusion: The benefits of metabolic surgery appear to exceed the isolated effects of weight loss, likely involving increased incretin secretion (GLP-1, GIP), improved hepatic and peripheral insulin sensitivity, and hormonal adaptations that rapidly restore glucose homeostasis. In addition to metabolic improvements, patients reported enhanced quality of life and independence from insulin therapy. These findings support the efficacy of metabolic surgery even in long-standing T2DM and indicate the need to reassess time-based eligibility criteria.\n\n\n### (1) Hospital Federal da Lagoa, Rio de Janeiro, RJ, Brasil\nIntroduction: Metabolic surgery is an effective intervention for managing type 2 diabetes mellitus (T2DM), particularly in patients with obesity and inadequate glycemic control. Although the Brazilian Federal Council of Medicine (CFM) recommends its indication for cases with less than 10 years of disease duration, recent studies also demonstrate benefits in long-standing disease. Postoperative glycemic improvement is attributable not only to weight loss but also to hormonal changes and enhanced insulin sensitivity, favoring remission or significant clinical improvement. Objective: To describe the profile and clinical outcomes of insulin-dependent T2DM patients undergoing bariatric surgery, evaluating time to insulin withdrawal, percentage excess weight loss (%EWL), and glycemic control. Methods: A descriptive analysis was conducted of insulin-treated patients who underwent sleeve gastrectomy or gastric bypass between 2023 and 2025. Data collected included time since diagnosis, time to insulin withdrawal, %EWL at withdrawal, and glycated hemoglobin (HbA1c) levels before and after surgery. Results: Among 39 surgical patients, 10 had T2DM and 5 were on insulin therapy. The 5 patients on preoperative insulin therapy used doses (0.25–1.57 IU/kg/day; mean: 0.91) and had a mean body mass index (BMI) of 40.5 kg/m2. All 5 patients discontinued insulin, with a mean withdrawal time of 152.6 days (range: 28–253) and mean %EWL of 43.2. HbA1c levels decreased in all patients, reaching values close to or within the clinical target (<6.5%). Only one patient resumed bedtime insulin 15 months postoperatively, maintaining better glycemic control compared with the preoperative period. Four of the five patients had T2DM for over 10 years, three of them for more than 20 years, contrary to current CFM criteria, yet all maintained sustained glycemic control. Conclusion: The benefits of metabolic surgery appear to exceed the isolated effects of weight loss, likely involving increased incretin secretion (GLP-1, GIP), improved hepatic and peripheral insulin sensitivity, and hormonal adaptations that rapidly restore glucose homeostasis. In addition to metabolic improvements, patients reported enhanced quality of life and independence from insulin therapy. These findings support the efficacy of metabolic surgery even in long-standing T2DM and indicate the need to reassess time-based eligibility criteria.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—287\nIntroduction: Metabolic surgery is an effective intervention for managing type 2 diabetes mellitus (T2DM), particularly in patients with obesity and inadequate glycemic control. Although the Brazilian Federal Council of Medicine (CFM) recommends its indication for cases with less than 10 years of disease duration, recent studies also demonstrate benefits in long-standing disease. Postoperative glycemic improvement is attributable not only to weight loss but also to hormonal changes and enhanced insulin sensitivity, favoring remission or significant clinical improvement. Objective: To describe the profile and clinical outcomes of insulin-dependent T2DM patients undergoing bariatric surgery, evaluating time to insulin withdrawal, percentage excess weight loss (%EWL), and glycemic control. Methods: A descriptive analysis was conducted of insulin-treated patients who underwent sleeve gastrectomy or gastric bypass between 2023 and 2025. Data collected included time since diagnosis, time to insulin withdrawal, %EWL at withdrawal, and glycated hemoglobin (HbA1c) levels before and after surgery. Results: Among 39 surgical patients, 10 had T2DM and 5 were on insulin therapy. The 5 patients on preoperative insulin therapy used doses (0.25–1.57 IU/kg/day; mean: 0.91) and had a mean body mass index (BMI) of 40.5 kg/m2. All 5 patients discontinued insulin, with a mean withdrawal time of 152.6 days (range: 28–253) and mean %EWL of 43.2. HbA1c levels decreased in all patients, reaching values close to or within the clinical target (<6.5%). Only one patient resumed bedtime insulin 15 months postoperatively, maintaining better glycemic control compared with the preoperative period. Four of the five patients had T2DM for over 10 years, three of them for more than 20 years, contrary to current CFM criteria, yet all maintained sustained glycemic control. Conclusion: The benefits of metabolic surgery appear to exceed the isolated effects of weight loss, likely involving increased incretin secretion (GLP-1, GIP), improved hepatic and peripheral insulin sensitivity, and hormonal adaptations that rapidly restore glucose homeostasis. In addition to metabolic improvements, patients reported enhanced quality of life and independence from insulin therapy. These findings support the efficacy of metabolic surgery even in long-standing T2DM and indicate the need to reassess time-based eligibility criteria.\n\n\n### PO—288 Iron Profile in Patients Undergoing One Anastomosis Gastric Bypass versus Roux-en-Y Gastric Bypass: Long-Term Implications for Metabolic Surgery in Type 2 Diabetes\nIntroduction: Metabolic surgery has emerged as a powerful therapeutic strategy for obesity and type 2 diabetes mellitus (T2DM), providing sustained weight loss and high rates of diabetes remission. Among the most widely performed procedures, one anastomosis gastric bypass (OAGB) and Roux-en-Y gastric bypass (RYGB) demonstrate remarkable metabolic benefits. However, these techniques may also predispose patients to micronutrient deficiencies, particularly iron deficiency, which can evolve into anemia and compromise long-term outcomes in this population. Understanding these risks is essential for optimizing the management of patients with T2DM who undergo bariatric surgery. Objective: To evaluate and compare the iron profile in patients submitted to OAGB and RYGB, identifying subgroups at higher risk of anemia. Methods: A retrospective, cross-sectional study was conducted including 158 patients (79 OAGB and 79 RYGB) matched by age and sex, aged 18–65 years. Laboratory data were analyzed at three time points: preoperative, recent postoperative (mean 1 year and 5 months), and late postoperative (mean 4 years and 1 month). Hematological and iron-related parameters (hemoglobin, hematocrit, ferritin, transferrin saturation) were evaluated using descriptive and inferential statistics (SPSS). Ethical approval was obtained (CAAE 58184516.2.0000.5404; no. 3.706.249). Results: Groups were homogeneous in age and sex. Preoperatively, hemoglobin levels were similar (14.12 g/dL OAGB vs. 13.91 g/dL RYGB). In the recent postoperative period, both groups showed expected declines (Hb 12.39 g/dL OAGB vs. 12.56 g/dL RYGB; ferritin 114.71 ng/mL vs. 143.08 ng/mL). In the late postoperative period, OAGB patients exhibited significantly lower mean values (Hb 12.03 g/dL vs. 12.72 g/dL; ferritin 88.19 ng/mL vs. 125.79 ng/mL), with the lowest hemoglobin levels observed in the 18–25-year subgroup (11.2 g/dL). The incidence of anemia was higher in OAGB, particularly among women and younger patients. Conclusion: While metabolic surgery remains an effective therapeutic option for T2DM, our findings demonstrate that OAGB is associated with a greater long-term risk of iron deficiency and anemia compared to RYGB. Women and younger patients appear to be the most vulnerable groups. These results reinforce the need for tailored nutritional monitoring and preventive supplementation strategies in diabetic patients undergoing metabolic surgery, in order to preserve metabolic benefits while minimizing long-term complications.\n\n\n### Martinez GS1; Hamamura MK2; Chaim FDM2; Chaim EA2\nIntroduction: Metabolic surgery has emerged as a powerful therapeutic strategy for obesity and type 2 diabetes mellitus (T2DM), providing sustained weight loss and high rates of diabetes remission. Among the most widely performed procedures, one anastomosis gastric bypass (OAGB) and Roux-en-Y gastric bypass (RYGB) demonstrate remarkable metabolic benefits. However, these techniques may also predispose patients to micronutrient deficiencies, particularly iron deficiency, which can evolve into anemia and compromise long-term outcomes in this population. Understanding these risks is essential for optimizing the management of patients with T2DM who undergo bariatric surgery. Objective: To evaluate and compare the iron profile in patients submitted to OAGB and RYGB, identifying subgroups at higher risk of anemia. Methods: A retrospective, cross-sectional study was conducted including 158 patients (79 OAGB and 79 RYGB) matched by age and sex, aged 18–65 years. Laboratory data were analyzed at three time points: preoperative, recent postoperative (mean 1 year and 5 months), and late postoperative (mean 4 years and 1 month). Hematological and iron-related parameters (hemoglobin, hematocrit, ferritin, transferrin saturation) were evaluated using descriptive and inferential statistics (SPSS). Ethical approval was obtained (CAAE 58184516.2.0000.5404; no. 3.706.249). Results: Groups were homogeneous in age and sex. Preoperatively, hemoglobin levels were similar (14.12 g/dL OAGB vs. 13.91 g/dL RYGB). In the recent postoperative period, both groups showed expected declines (Hb 12.39 g/dL OAGB vs. 12.56 g/dL RYGB; ferritin 114.71 ng/mL vs. 143.08 ng/mL). In the late postoperative period, OAGB patients exhibited significantly lower mean values (Hb 12.03 g/dL vs. 12.72 g/dL; ferritin 88.19 ng/mL vs. 125.79 ng/mL), with the lowest hemoglobin levels observed in the 18–25-year subgroup (11.2 g/dL). The incidence of anemia was higher in OAGB, particularly among women and younger patients. Conclusion: While metabolic surgery remains an effective therapeutic option for T2DM, our findings demonstrate that OAGB is associated with a greater long-term risk of iron deficiency and anemia compared to RYGB. Women and younger patients appear to be the most vulnerable groups. These results reinforce the need for tailored nutritional monitoring and preventive supplementation strategies in diabetic patients undergoing metabolic surgery, in order to preserve metabolic benefits while minimizing long-term complications.\n\n\n### (1) Pontifícia Universidade Católica de Campinas, Campinas, SP, Brasil; (2) Universidade Estadual de Campinas, Campinas, SP, Brasil\nIntroduction: Metabolic surgery has emerged as a powerful therapeutic strategy for obesity and type 2 diabetes mellitus (T2DM), providing sustained weight loss and high rates of diabetes remission. Among the most widely performed procedures, one anastomosis gastric bypass (OAGB) and Roux-en-Y gastric bypass (RYGB) demonstrate remarkable metabolic benefits. However, these techniques may also predispose patients to micronutrient deficiencies, particularly iron deficiency, which can evolve into anemia and compromise long-term outcomes in this population. Understanding these risks is essential for optimizing the management of patients with T2DM who undergo bariatric surgery. Objective: To evaluate and compare the iron profile in patients submitted to OAGB and RYGB, identifying subgroups at higher risk of anemia. Methods: A retrospective, cross-sectional study was conducted including 158 patients (79 OAGB and 79 RYGB) matched by age and sex, aged 18–65 years. Laboratory data were analyzed at three time points: preoperative, recent postoperative (mean 1 year and 5 months), and late postoperative (mean 4 years and 1 month). Hematological and iron-related parameters (hemoglobin, hematocrit, ferritin, transferrin saturation) were evaluated using descriptive and inferential statistics (SPSS). Ethical approval was obtained (CAAE 58184516.2.0000.5404; no. 3.706.249). Results: Groups were homogeneous in age and sex. Preoperatively, hemoglobin levels were similar (14.12 g/dL OAGB vs. 13.91 g/dL RYGB). In the recent postoperative period, both groups showed expected declines (Hb 12.39 g/dL OAGB vs. 12.56 g/dL RYGB; ferritin 114.71 ng/mL vs. 143.08 ng/mL). In the late postoperative period, OAGB patients exhibited significantly lower mean values (Hb 12.03 g/dL vs. 12.72 g/dL; ferritin 88.19 ng/mL vs. 125.79 ng/mL), with the lowest hemoglobin levels observed in the 18–25-year subgroup (11.2 g/dL). The incidence of anemia was higher in OAGB, particularly among women and younger patients. Conclusion: While metabolic surgery remains an effective therapeutic option for T2DM, our findings demonstrate that OAGB is associated with a greater long-term risk of iron deficiency and anemia compared to RYGB. Women and younger patients appear to be the most vulnerable groups. These results reinforce the need for tailored nutritional monitoring and preventive supplementation strategies in diabetic patients undergoing metabolic surgery, in order to preserve metabolic benefits while minimizing long-term complications.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—288\nIntroduction: Metabolic surgery has emerged as a powerful therapeutic strategy for obesity and type 2 diabetes mellitus (T2DM), providing sustained weight loss and high rates of diabetes remission. Among the most widely performed procedures, one anastomosis gastric bypass (OAGB) and Roux-en-Y gastric bypass (RYGB) demonstrate remarkable metabolic benefits. However, these techniques may also predispose patients to micronutrient deficiencies, particularly iron deficiency, which can evolve into anemia and compromise long-term outcomes in this population. Understanding these risks is essential for optimizing the management of patients with T2DM who undergo bariatric surgery. Objective: To evaluate and compare the iron profile in patients submitted to OAGB and RYGB, identifying subgroups at higher risk of anemia. Methods: A retrospective, cross-sectional study was conducted including 158 patients (79 OAGB and 79 RYGB) matched by age and sex, aged 18–65 years. Laboratory data were analyzed at three time points: preoperative, recent postoperative (mean 1 year and 5 months), and late postoperative (mean 4 years and 1 month). Hematological and iron-related parameters (hemoglobin, hematocrit, ferritin, transferrin saturation) were evaluated using descriptive and inferential statistics (SPSS). Ethical approval was obtained (CAAE 58184516.2.0000.5404; no. 3.706.249). Results: Groups were homogeneous in age and sex. Preoperatively, hemoglobin levels were similar (14.12 g/dL OAGB vs. 13.91 g/dL RYGB). In the recent postoperative period, both groups showed expected declines (Hb 12.39 g/dL OAGB vs. 12.56 g/dL RYGB; ferritin 114.71 ng/mL vs. 143.08 ng/mL). In the late postoperative period, OAGB patients exhibited significantly lower mean values (Hb 12.03 g/dL vs. 12.72 g/dL; ferritin 88.19 ng/mL vs. 125.79 ng/mL), with the lowest hemoglobin levels observed in the 18–25-year subgroup (11.2 g/dL). The incidence of anemia was higher in OAGB, particularly among women and younger patients. Conclusion: While metabolic surgery remains an effective therapeutic option for T2DM, our findings demonstrate that OAGB is associated with a greater long-term risk of iron deficiency and anemia compared to RYGB. Women and younger patients appear to be the most vulnerable groups. These results reinforce the need for tailored nutritional monitoring and preventive supplementation strategies in diabetic patients undergoing metabolic surgery, in order to preserve metabolic benefits while minimizing long-term complications.\n\n\n### PO—289 Long-Term Follow-Up after Bariatric Surgery in Patients with Type 1 Diabetes and LADA: A Case Series\nCase Presentation: Case 1: Male, 33 years old, Type 1 Diabetes Mellitus (T1DM) since age 17, HbA1c 6.3%, grade III obesity (153 kg, Body Mass Index—BMI 44.7 kg/m2), albuminuria, hypertension and dyslipidemia. Baseline total insulin: 0.81 IU/kg/day. After sleeve gastrectomy, nadir weight was 94 kg (Excess Weight Loss—EWL 87.5%), with insulin reduced to 0.14 IU/kg/day. Seven years later, at age 40, weight is 116 kg, HbA1c 6.6%, comorbidities improved, is on a single antihypertensive, with no albuminuria, and persistently lower insulin needs. Case 2: Female, 52 years old, Latent Autoimmune Diabetes in Adults (LADA) diagnosed at 16 (on insulin since age 23), with adequate glycemic control, grade III obesity (102 kg, BMI 42.4 m2), hypertension, dyslipidemia, osteopenia, psoriasis and post-thyroidectomy hypothyroidism. Baseline insulin: 0.64 IU/kg/day. Underwent Roux-en-Y gastric bypass, reaching a nadir weight of 61 kg (EWL 97.8%); insulin reduced to 0.19 IU/kg/day. Six years later, at age 58, weighs 73.5 kg, insulin dose is 0.24 IU/kg/day, HbA1c is 6,8%, on one anti-hypertensive. Case 3: Female, 27 years old, T1DM since age 11, HbA1c 7%, grade III obesity (106 kg, BMI 40.8 kg/m2), metabolic dysfunction-associated steatotic liver disease (MASLD) and dyslipidemia. Baseline insulin: 1.03 IU/kg/day. Roux-en-Y gastric bypass led to nadir weight 54 kg (EWL 113.2%), insulin reduced to 0.71 IU/kg/day; MASLD and dyslipidemia improved. Pre-existing glycemic lability worsened postoperatively, with severe hypoglycemia in 2022, requiring insulin pump initiation. Nine years after surgery, regained weight to 74 kg, insulin dose is 0.59 IU/kg/day and HbA1c is 6,4%. All patients provided a written consent to publish their information. Discussion: Discussion: Severe obesity in T1DM or LADA exacerbates insulin resistance. Although data are scarce, these cases show that bariatric surgery can result in long-term sustained insulin reduction, substantial weight loss and improvement of comorbidities. Lower insulin doses may ease glycemic management, reduce costs and weight gain, and improve quality of life. However, potential drawbacks include greater glycemic variability and increased hypoglycemia risk, requiring close monitoring. Final Comments: Final comments: Bariatric surgery may be an option for selected T1DM and LADA patients with obesity, offering substantial metabolic and clinical benefits. Careful patient selection and close follow-up are essential to balance potential gains against the risk of postoperative glycemic instability.\n\n\n### Ferreira ATF1; Alves GC2; Raquel de Carvalho Abi Abib1; Dantas JR1; Carneiro JRI1; Zajdenverg L1; Rodacki M1\nCase Presentation: Case 1: Male, 33 years old, Type 1 Diabetes Mellitus (T1DM) since age 17, HbA1c 6.3%, grade III obesity (153 kg, Body Mass Index—BMI 44.7 kg/m2), albuminuria, hypertension and dyslipidemia. Baseline total insulin: 0.81 IU/kg/day. After sleeve gastrectomy, nadir weight was 94 kg (Excess Weight Loss—EWL 87.5%), with insulin reduced to 0.14 IU/kg/day. Seven years later, at age 40, weight is 116 kg, HbA1c 6.6%, comorbidities improved, is on a single antihypertensive, with no albuminuria, and persistently lower insulin needs. Case 2: Female, 52 years old, Latent Autoimmune Diabetes in Adults (LADA) diagnosed at 16 (on insulin since age 23), with adequate glycemic control, grade III obesity (102 kg, BMI 42.4 m2), hypertension, dyslipidemia, osteopenia, psoriasis and post-thyroidectomy hypothyroidism. Baseline insulin: 0.64 IU/kg/day. Underwent Roux-en-Y gastric bypass, reaching a nadir weight of 61 kg (EWL 97.8%); insulin reduced to 0.19 IU/kg/day. Six years later, at age 58, weighs 73.5 kg, insulin dose is 0.24 IU/kg/day, HbA1c is 6,8%, on one anti-hypertensive. Case 3: Female, 27 years old, T1DM since age 11, HbA1c 7%, grade III obesity (106 kg, BMI 40.8 kg/m2), metabolic dysfunction-associated steatotic liver disease (MASLD) and dyslipidemia. Baseline insulin: 1.03 IU/kg/day. Roux-en-Y gastric bypass led to nadir weight 54 kg (EWL 113.2%), insulin reduced to 0.71 IU/kg/day; MASLD and dyslipidemia improved. Pre-existing glycemic lability worsened postoperatively, with severe hypoglycemia in 2022, requiring insulin pump initiation. Nine years after surgery, regained weight to 74 kg, insulin dose is 0.59 IU/kg/day and HbA1c is 6,4%. All patients provided a written consent to publish their information. Discussion: Discussion: Severe obesity in T1DM or LADA exacerbates insulin resistance. Although data are scarce, these cases show that bariatric surgery can result in long-term sustained insulin reduction, substantial weight loss and improvement of comorbidities. Lower insulin doses may ease glycemic management, reduce costs and weight gain, and improve quality of life. However, potential drawbacks include greater glycemic variability and increased hypoglycemia risk, requiring close monitoring. Final Comments: Final comments: Bariatric surgery may be an option for selected T1DM and LADA patients with obesity, offering substantial metabolic and clinical benefits. Careful patient selection and close follow-up are essential to balance potential gains against the risk of postoperative glycemic instability.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nCase Presentation: Case 1: Male, 33 years old, Type 1 Diabetes Mellitus (T1DM) since age 17, HbA1c 6.3%, grade III obesity (153 kg, Body Mass Index—BMI 44.7 kg/m2), albuminuria, hypertension and dyslipidemia. Baseline total insulin: 0.81 IU/kg/day. After sleeve gastrectomy, nadir weight was 94 kg (Excess Weight Loss—EWL 87.5%), with insulin reduced to 0.14 IU/kg/day. Seven years later, at age 40, weight is 116 kg, HbA1c 6.6%, comorbidities improved, is on a single antihypertensive, with no albuminuria, and persistently lower insulin needs. Case 2: Female, 52 years old, Latent Autoimmune Diabetes in Adults (LADA) diagnosed at 16 (on insulin since age 23), with adequate glycemic control, grade III obesity (102 kg, BMI 42.4 m2), hypertension, dyslipidemia, osteopenia, psoriasis and post-thyroidectomy hypothyroidism. Baseline insulin: 0.64 IU/kg/day. Underwent Roux-en-Y gastric bypass, reaching a nadir weight of 61 kg (EWL 97.8%); insulin reduced to 0.19 IU/kg/day. Six years later, at age 58, weighs 73.5 kg, insulin dose is 0.24 IU/kg/day, HbA1c is 6,8%, on one anti-hypertensive. Case 3: Female, 27 years old, T1DM since age 11, HbA1c 7%, grade III obesity (106 kg, BMI 40.8 kg/m2), metabolic dysfunction-associated steatotic liver disease (MASLD) and dyslipidemia. Baseline insulin: 1.03 IU/kg/day. Roux-en-Y gastric bypass led to nadir weight 54 kg (EWL 113.2%), insulin reduced to 0.71 IU/kg/day; MASLD and dyslipidemia improved. Pre-existing glycemic lability worsened postoperatively, with severe hypoglycemia in 2022, requiring insulin pump initiation. Nine years after surgery, regained weight to 74 kg, insulin dose is 0.59 IU/kg/day and HbA1c is 6,4%. All patients provided a written consent to publish their information. Discussion: Discussion: Severe obesity in T1DM or LADA exacerbates insulin resistance. Although data are scarce, these cases show that bariatric surgery can result in long-term sustained insulin reduction, substantial weight loss and improvement of comorbidities. Lower insulin doses may ease glycemic management, reduce costs and weight gain, and improve quality of life. However, potential drawbacks include greater glycemic variability and increased hypoglycemia risk, requiring close monitoring. Final Comments: Final comments: Bariatric surgery may be an option for selected T1DM and LADA patients with obesity, offering substantial metabolic and clinical benefits. Careful patient selection and close follow-up are essential to balance potential gains against the risk of postoperative glycemic instability.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—289\nCase Presentation: Case 1: Male, 33 years old, Type 1 Diabetes Mellitus (T1DM) since age 17, HbA1c 6.3%, grade III obesity (153 kg, Body Mass Index—BMI 44.7 kg/m2), albuminuria, hypertension and dyslipidemia. Baseline total insulin: 0.81 IU/kg/day. After sleeve gastrectomy, nadir weight was 94 kg (Excess Weight Loss—EWL 87.5%), with insulin reduced to 0.14 IU/kg/day. Seven years later, at age 40, weight is 116 kg, HbA1c 6.6%, comorbidities improved, is on a single antihypertensive, with no albuminuria, and persistently lower insulin needs. Case 2: Female, 52 years old, Latent Autoimmune Diabetes in Adults (LADA) diagnosed at 16 (on insulin since age 23), with adequate glycemic control, grade III obesity (102 kg, BMI 42.4 m2), hypertension, dyslipidemia, osteopenia, psoriasis and post-thyroidectomy hypothyroidism. Baseline insulin: 0.64 IU/kg/day. Underwent Roux-en-Y gastric bypass, reaching a nadir weight of 61 kg (EWL 97.8%); insulin reduced to 0.19 IU/kg/day. Six years later, at age 58, weighs 73.5 kg, insulin dose is 0.24 IU/kg/day, HbA1c is 6,8%, on one anti-hypertensive. Case 3: Female, 27 years old, T1DM since age 11, HbA1c 7%, grade III obesity (106 kg, BMI 40.8 kg/m2), metabolic dysfunction-associated steatotic liver disease (MASLD) and dyslipidemia. Baseline insulin: 1.03 IU/kg/day. Roux-en-Y gastric bypass led to nadir weight 54 kg (EWL 113.2%), insulin reduced to 0.71 IU/kg/day; MASLD and dyslipidemia improved. Pre-existing glycemic lability worsened postoperatively, with severe hypoglycemia in 2022, requiring insulin pump initiation. Nine years after surgery, regained weight to 74 kg, insulin dose is 0.59 IU/kg/day and HbA1c is 6,4%. All patients provided a written consent to publish their information. Discussion: Discussion: Severe obesity in T1DM or LADA exacerbates insulin resistance. Although data are scarce, these cases show that bariatric surgery can result in long-term sustained insulin reduction, substantial weight loss and improvement of comorbidities. Lower insulin doses may ease glycemic management, reduce costs and weight gain, and improve quality of life. However, potential drawbacks include greater glycemic variability and increased hypoglycemia risk, requiring close monitoring. Final Comments: Final comments: Bariatric surgery may be an option for selected T1DM and LADA patients with obesity, offering substantial metabolic and clinical benefits. Careful patient selection and close follow-up are essential to balance potential gains against the risk of postoperative glycemic instability.\n\n\n### PO—290 Practical Use of the Eating Behavior Phenotypes Scale (EFCA) in People With Diabetes Mellitus (DM) and Obesity\nIntroduction: Diabetes mellitus (DM) is a chronic condition characterized by metabolic alterations that can affect eating behaviour. Among the classic symptoms of uncontrolled DM is polyphagia, often associated with persistent hyperglycemia. The Eating Behavior Phenotypes Scale (EFCA) is used to characterize eating behaviour profiles, but it remains unclear whether individuals with well-managed DM differ from those without DM in EFCA scores. This question is relevant because DM is common among individuals living with obesity, and EFCA is a novelty used to guide therapeutic strategies, including pharmacological interventions. Objective: To evaluate whether individuals living with well-managed DM is associated with differences in EFCA scores and subscales compared to individuals without DM. Methods: A cross-sectional analysis was performed in a cohort of 99 individuals undergoing obesity treatment. Participants were divided into two groups: with type 2 DM and without DM. DM diagnosis was based on clinical records, and glycemic management was assessed by glycated hemoglobin (HbA1c). Well-managed DM was defined as mean HbA1c ≤ 7.0%. The primary outcome was the EFCA total score; secondary outcomes were its five subscales (hedonic, emotional, compulsive, disorganized, hyperphagic). Comparisons between groups were performed using Welch’s t-test for independent samples, with significance set at p < 0.05. Analyses were conducted in R software. Results: The study included 43 patients with DM and 56 without DM. Mean HbA1c was higher in the DM group (6.30%) than in the non-DM group (5.42%, p < 0.000001), but within the target for adequate management. No statistically significant differences were observed in EFCA total score (42.86 vs. 45.30; p = 0.336) or in any subscales: hedonic (p = 0.403), emotional (p = 0.210), compulsive (p = 0.099), disorganized (p = 0.135), and hyperphagic (p = 0.479). . Conclusion: In patients with obesity and well-managed DM, EFCA scores and subscales do not differ from those without DM. These findings suggest that polyphagia is more closely related to poor glycemic management than to the diagnosis of DM itself. EFCA can be reliably applied to populations with and without DM, provided glycemic status is considered. Further longitudinal studies with larger samples are warranted to confirm these results and explore the impact of glycemic variability on eating behaviour.\n\n\n### Pineda-Wieselberg RJ1; Soares AH1; Salles JEN1\nIntroduction: Diabetes mellitus (DM) is a chronic condition characterized by metabolic alterations that can affect eating behaviour. Among the classic symptoms of uncontrolled DM is polyphagia, often associated with persistent hyperglycemia. The Eating Behavior Phenotypes Scale (EFCA) is used to characterize eating behaviour profiles, but it remains unclear whether individuals with well-managed DM differ from those without DM in EFCA scores. This question is relevant because DM is common among individuals living with obesity, and EFCA is a novelty used to guide therapeutic strategies, including pharmacological interventions. Objective: To evaluate whether individuals living with well-managed DM is associated with differences in EFCA scores and subscales compared to individuals without DM. Methods: A cross-sectional analysis was performed in a cohort of 99 individuals undergoing obesity treatment. Participants were divided into two groups: with type 2 DM and without DM. DM diagnosis was based on clinical records, and glycemic management was assessed by glycated hemoglobin (HbA1c). Well-managed DM was defined as mean HbA1c ≤ 7.0%. The primary outcome was the EFCA total score; secondary outcomes were its five subscales (hedonic, emotional, compulsive, disorganized, hyperphagic). Comparisons between groups were performed using Welch’s t-test for independent samples, with significance set at p < 0.05. Analyses were conducted in R software. Results: The study included 43 patients with DM and 56 without DM. Mean HbA1c was higher in the DM group (6.30%) than in the non-DM group (5.42%, p < 0.000001), but within the target for adequate management. No statistically significant differences were observed in EFCA total score (42.86 vs. 45.30; p = 0.336) or in any subscales: hedonic (p = 0.403), emotional (p = 0.210), compulsive (p = 0.099), disorganized (p = 0.135), and hyperphagic (p = 0.479). . Conclusion: In patients with obesity and well-managed DM, EFCA scores and subscales do not differ from those without DM. These findings suggest that polyphagia is more closely related to poor glycemic management than to the diagnosis of DM itself. EFCA can be reliably applied to populations with and without DM, provided glycemic status is considered. Further longitudinal studies with larger samples are warranted to confirm these results and explore the impact of glycemic variability on eating behaviour.\n\n\n### (1) Santa Casa de São Paulo, São Paulo, SP, Brasil\nIntroduction: Diabetes mellitus (DM) is a chronic condition characterized by metabolic alterations that can affect eating behaviour. Among the classic symptoms of uncontrolled DM is polyphagia, often associated with persistent hyperglycemia. The Eating Behavior Phenotypes Scale (EFCA) is used to characterize eating behaviour profiles, but it remains unclear whether individuals with well-managed DM differ from those without DM in EFCA scores. This question is relevant because DM is common among individuals living with obesity, and EFCA is a novelty used to guide therapeutic strategies, including pharmacological interventions. Objective: To evaluate whether individuals living with well-managed DM is associated with differences in EFCA scores and subscales compared to individuals without DM. Methods: A cross-sectional analysis was performed in a cohort of 99 individuals undergoing obesity treatment. Participants were divided into two groups: with type 2 DM and without DM. DM diagnosis was based on clinical records, and glycemic management was assessed by glycated hemoglobin (HbA1c). Well-managed DM was defined as mean HbA1c ≤ 7.0%. The primary outcome was the EFCA total score; secondary outcomes were its five subscales (hedonic, emotional, compulsive, disorganized, hyperphagic). Comparisons between groups were performed using Welch’s t-test for independent samples, with significance set at p < 0.05. Analyses were conducted in R software. Results: The study included 43 patients with DM and 56 without DM. Mean HbA1c was higher in the DM group (6.30%) than in the non-DM group (5.42%, p < 0.000001), but within the target for adequate management. No statistically significant differences were observed in EFCA total score (42.86 vs. 45.30; p = 0.336) or in any subscales: hedonic (p = 0.403), emotional (p = 0.210), compulsive (p = 0.099), disorganized (p = 0.135), and hyperphagic (p = 0.479). . Conclusion: In patients with obesity and well-managed DM, EFCA scores and subscales do not differ from those without DM. These findings suggest that polyphagia is more closely related to poor glycemic management than to the diagnosis of DM itself. EFCA can be reliably applied to populations with and without DM, provided glycemic status is considered. Further longitudinal studies with larger samples are warranted to confirm these results and explore the impact of glycemic variability on eating behaviour.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—290\nIntroduction: Diabetes mellitus (DM) is a chronic condition characterized by metabolic alterations that can affect eating behaviour. Among the classic symptoms of uncontrolled DM is polyphagia, often associated with persistent hyperglycemia. The Eating Behavior Phenotypes Scale (EFCA) is used to characterize eating behaviour profiles, but it remains unclear whether individuals with well-managed DM differ from those without DM in EFCA scores. This question is relevant because DM is common among individuals living with obesity, and EFCA is a novelty used to guide therapeutic strategies, including pharmacological interventions. Objective: To evaluate whether individuals living with well-managed DM is associated with differences in EFCA scores and subscales compared to individuals without DM. Methods: A cross-sectional analysis was performed in a cohort of 99 individuals undergoing obesity treatment. Participants were divided into two groups: with type 2 DM and without DM. DM diagnosis was based on clinical records, and glycemic management was assessed by glycated hemoglobin (HbA1c). Well-managed DM was defined as mean HbA1c ≤ 7.0%. The primary outcome was the EFCA total score; secondary outcomes were its five subscales (hedonic, emotional, compulsive, disorganized, hyperphagic). Comparisons between groups were performed using Welch’s t-test for independent samples, with significance set at p < 0.05. Analyses were conducted in R software. Results: The study included 43 patients with DM and 56 without DM. Mean HbA1c was higher in the DM group (6.30%) than in the non-DM group (5.42%, p < 0.000001), but within the target for adequate management. No statistically significant differences were observed in EFCA total score (42.86 vs. 45.30; p = 0.336) or in any subscales: hedonic (p = 0.403), emotional (p = 0.210), compulsive (p = 0.099), disorganized (p = 0.135), and hyperphagic (p = 0.479). . Conclusion: In patients with obesity and well-managed DM, EFCA scores and subscales do not differ from those without DM. These findings suggest that polyphagia is more closely related to poor glycemic management than to the diagnosis of DM itself. EFCA can be reliably applied to populations with and without DM, provided glycemic status is considered. Further longitudinal studies with larger samples are warranted to confirm these results and explore the impact of glycemic variability on eating behaviour.\n\n\n### PO—291 Prevalence And Clustering Of Risk Factors For Metabolic Syndrome In University Professors\nIntroduction: Metabolic syndrome (MS) affects approximately one quarter of the global population and is characterized by the simultaneous presence of multiple risk factors that can lead to the development of cardiovascular diseases and type 2 diabetes. The prevalence and clustering of this set of factors can be easily influenced by sex, age group, socioeconomic factors, and lifestyle habits, such as diet, physical activity levels, or sedentary behavior. A more detailed investigation of these risk factors for MS is relevant for a better understanding of the disease and for guiding treatment and prevention actions. Objective: This study aimed to describe the prevalence of risk factors for Metabolic Syndrome and to investigate the clustering of these factors in a sample of Brazilian adults. Methods: This cross-sectional study was carried out among professors at a public university. Anthropometric, hemodynamic, and biochemical measurements were performed following validated protocols. The presence of three or more of the following components—abdominal obesity, high blood pressure, dyslipidemia (elevated triglycerides, reduced HDL-C), and glycemic alterations—was considered for the diagnosis of MS. Descriptive analyses of the data were performed, as well as clustering of risk factors to identify the clusters. Results: The sample of this study consisted of 219 university professors of both sexes, the majority being women (64%), with a mean age of 49 years (SD = 9.9). The prevalence of MS was 26% (n = 57). The three most frequent isolated risk factors in our sample were increased waist circumference (WC) (n = 153, 69.8%), high blood pressure (BP) (n = 71, 32.4%), and altered blood glucose (n = 55, 25.1%). The most frequent profile among those with MS was the combination of increased WC, high BP, and altered triglycerides (TG) (n = 11, 19.3%), followed by increased WC, high BP, altered TG, and altered blood glucose (n = 9, 15.7%). Conclusion: Increased WC, high BP, and altered blood glucose showed high prevalences in our sample. The co-occurrence of increased WC, high BP, and altered TG composed the most frequent profile among individuals diagnosed with MS. These data may help guide prevention and treatment actions for MS risk factors in university professors.\n\n\n### Silva IA1; Alves LO2; Freitas FC1; Pinto CM1; Ribeiro CDC1; Cocate PG1\nIntroduction: Metabolic syndrome (MS) affects approximately one quarter of the global population and is characterized by the simultaneous presence of multiple risk factors that can lead to the development of cardiovascular diseases and type 2 diabetes. The prevalence and clustering of this set of factors can be easily influenced by sex, age group, socioeconomic factors, and lifestyle habits, such as diet, physical activity levels, or sedentary behavior. A more detailed investigation of these risk factors for MS is relevant for a better understanding of the disease and for guiding treatment and prevention actions. Objective: This study aimed to describe the prevalence of risk factors for Metabolic Syndrome and to investigate the clustering of these factors in a sample of Brazilian adults. Methods: This cross-sectional study was carried out among professors at a public university. Anthropometric, hemodynamic, and biochemical measurements were performed following validated protocols. The presence of three or more of the following components—abdominal obesity, high blood pressure, dyslipidemia (elevated triglycerides, reduced HDL-C), and glycemic alterations—was considered for the diagnosis of MS. Descriptive analyses of the data were performed, as well as clustering of risk factors to identify the clusters. Results: The sample of this study consisted of 219 university professors of both sexes, the majority being women (64%), with a mean age of 49 years (SD = 9.9). The prevalence of MS was 26% (n = 57). The three most frequent isolated risk factors in our sample were increased waist circumference (WC) (n = 153, 69.8%), high blood pressure (BP) (n = 71, 32.4%), and altered blood glucose (n = 55, 25.1%). The most frequent profile among those with MS was the combination of increased WC, high BP, and altered triglycerides (TG) (n = 11, 19.3%), followed by increased WC, high BP, altered TG, and altered blood glucose (n = 9, 15.7%). Conclusion: Increased WC, high BP, and altered blood glucose showed high prevalences in our sample. The co-occurrence of increased WC, high BP, and altered TG composed the most frequent profile among individuals diagnosed with MS. These data may help guide prevention and treatment actions for MS risk factors in university professors.\n\n\n### (1) Universidade Federal do Rio de Janeiro, Rio de Janeiro, RJ, Brasil; (2) Universidade Estadual do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Metabolic syndrome (MS) affects approximately one quarter of the global population and is characterized by the simultaneous presence of multiple risk factors that can lead to the development of cardiovascular diseases and type 2 diabetes. The prevalence and clustering of this set of factors can be easily influenced by sex, age group, socioeconomic factors, and lifestyle habits, such as diet, physical activity levels, or sedentary behavior. A more detailed investigation of these risk factors for MS is relevant for a better understanding of the disease and for guiding treatment and prevention actions. Objective: This study aimed to describe the prevalence of risk factors for Metabolic Syndrome and to investigate the clustering of these factors in a sample of Brazilian adults. Methods: This cross-sectional study was carried out among professors at a public university. Anthropometric, hemodynamic, and biochemical measurements were performed following validated protocols. The presence of three or more of the following components—abdominal obesity, high blood pressure, dyslipidemia (elevated triglycerides, reduced HDL-C), and glycemic alterations—was considered for the diagnosis of MS. Descriptive analyses of the data were performed, as well as clustering of risk factors to identify the clusters. Results: The sample of this study consisted of 219 university professors of both sexes, the majority being women (64%), with a mean age of 49 years (SD = 9.9). The prevalence of MS was 26% (n = 57). The three most frequent isolated risk factors in our sample were increased waist circumference (WC) (n = 153, 69.8%), high blood pressure (BP) (n = 71, 32.4%), and altered blood glucose (n = 55, 25.1%). The most frequent profile among those with MS was the combination of increased WC, high BP, and altered triglycerides (TG) (n = 11, 19.3%), followed by increased WC, high BP, altered TG, and altered blood glucose (n = 9, 15.7%). Conclusion: Increased WC, high BP, and altered blood glucose showed high prevalences in our sample. The co-occurrence of increased WC, high BP, and altered TG composed the most frequent profile among individuals diagnosed with MS. These data may help guide prevention and treatment actions for MS risk factors in university professors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—291\nIntroduction: Metabolic syndrome (MS) affects approximately one quarter of the global population and is characterized by the simultaneous presence of multiple risk factors that can lead to the development of cardiovascular diseases and type 2 diabetes. The prevalence and clustering of this set of factors can be easily influenced by sex, age group, socioeconomic factors, and lifestyle habits, such as diet, physical activity levels, or sedentary behavior. A more detailed investigation of these risk factors for MS is relevant for a better understanding of the disease and for guiding treatment and prevention actions. Objective: This study aimed to describe the prevalence of risk factors for Metabolic Syndrome and to investigate the clustering of these factors in a sample of Brazilian adults. Methods: This cross-sectional study was carried out among professors at a public university. Anthropometric, hemodynamic, and biochemical measurements were performed following validated protocols. The presence of three or more of the following components—abdominal obesity, high blood pressure, dyslipidemia (elevated triglycerides, reduced HDL-C), and glycemic alterations—was considered for the diagnosis of MS. Descriptive analyses of the data were performed, as well as clustering of risk factors to identify the clusters. Results: The sample of this study consisted of 219 university professors of both sexes, the majority being women (64%), with a mean age of 49 years (SD = 9.9). The prevalence of MS was 26% (n = 57). The three most frequent isolated risk factors in our sample were increased waist circumference (WC) (n = 153, 69.8%), high blood pressure (BP) (n = 71, 32.4%), and altered blood glucose (n = 55, 25.1%). The most frequent profile among those with MS was the combination of increased WC, high BP, and altered triglycerides (TG) (n = 11, 19.3%), followed by increased WC, high BP, altered TG, and altered blood glucose (n = 9, 15.7%). Conclusion: Increased WC, high BP, and altered blood glucose showed high prevalences in our sample. The co-occurrence of increased WC, high BP, and altered TG composed the most frequent profile among individuals diagnosed with MS. These data may help guide prevention and treatment actions for MS risk factors in university professors.\n\n\n### PO—292 Relationship Between Leptin And Metabolic Syndrome In Female Shift Workers From Southern Brazil\nIntroduction: Metabolic syndrome is a cluster of cardiometabolic risk factors primarily driven by insulin resistance and adiposity. Leptin, an adipocyte-derived hormone, regulates energy balance, appetite, and neuroendocrine functions, and is closely associated with both adiposity and insulin resistance. Despite its relevance, limited data exist on the association between leptin and metabolic syndrome in female shift workers. Objective: To examine the association between serum leptin levels and metabolic syndrome in female shift workers. Methods: In this cross-sectional study, 301 female shift workers from three companies in the Porto Alegre Metropolitan Region (Rio Grande do Sul State, Brazil) were evaluated. Metabolic syndrome was defined according to the Joint Interim Statement as the presence of three or more of the following: abdominal obesity (waist circumference ≥ 88 cm), triglycerides ≥ 150 mg/dL, HDL < 50 mg/dL, elevated BP (systolic BP ≥ 130 mmHg and/or diastolic BP ≥ 85 mmHg or antihypertensive use), and fasting glucose ≥ 100 mg/dL or antidiabetic use. Serum leptin was measured in fasting samples. The Wilcoxon rank-sum test was used to compare leptin levels by metabolic syndrome status. Results: Participants had a mean age of 35.5 ± 10.1 years. The prevalence of metabolic syndrome was 13.3% (95% confidence interval [CI]: 9.4–17.1). Median serum leptin for all participants was 27.4 ng/mL (interquartile range [IQR]: 15.9–41.9). Women with metabolic syndrome had significantly higher leptin levels (median = 45.1 ng/mL; IQR: 29.7–59.8) than those without (median = 26.5 ng/mL; IQR: 15.5–39.0; p < 0.001). The prevalence of metabolic syndrome did not differ between night and day shift workers (13.0% vs. 15.4%), but night shift workers tended to have higher leptin levels (median = 34.0 ng/mL; IQR: 19.3–51.5) than day shift workers (median = 27.4 ng/mL; IQR: 15.7–40.6; p = 0.07). Conclusion: Elevated serum leptin levels are associated with metabolic syndrome in female shift workers. These findings suggest that reducing circulating leptin could confer cardiometabolic protection in this occupational group.\n\n\n### Garcez A1; Kohl IS1; Silva JC2; Arruda HC1; Olinto MTA1\nIntroduction: Metabolic syndrome is a cluster of cardiometabolic risk factors primarily driven by insulin resistance and adiposity. Leptin, an adipocyte-derived hormone, regulates energy balance, appetite, and neuroendocrine functions, and is closely associated with both adiposity and insulin resistance. Despite its relevance, limited data exist on the association between leptin and metabolic syndrome in female shift workers. Objective: To examine the association between serum leptin levels and metabolic syndrome in female shift workers. Methods: In this cross-sectional study, 301 female shift workers from three companies in the Porto Alegre Metropolitan Region (Rio Grande do Sul State, Brazil) were evaluated. Metabolic syndrome was defined according to the Joint Interim Statement as the presence of three or more of the following: abdominal obesity (waist circumference ≥ 88 cm), triglycerides ≥ 150 mg/dL, HDL < 50 mg/dL, elevated BP (systolic BP ≥ 130 mmHg and/or diastolic BP ≥ 85 mmHg or antihypertensive use), and fasting glucose ≥ 100 mg/dL or antidiabetic use. Serum leptin was measured in fasting samples. The Wilcoxon rank-sum test was used to compare leptin levels by metabolic syndrome status. Results: Participants had a mean age of 35.5 ± 10.1 years. The prevalence of metabolic syndrome was 13.3% (95% confidence interval [CI]: 9.4–17.1). Median serum leptin for all participants was 27.4 ng/mL (interquartile range [IQR]: 15.9–41.9). Women with metabolic syndrome had significantly higher leptin levels (median = 45.1 ng/mL; IQR: 29.7–59.8) than those without (median = 26.5 ng/mL; IQR: 15.5–39.0; p < 0.001). The prevalence of metabolic syndrome did not differ between night and day shift workers (13.0% vs. 15.4%), but night shift workers tended to have higher leptin levels (median = 34.0 ng/mL; IQR: 19.3–51.5) than day shift workers (median = 27.4 ng/mL; IQR: 15.7–40.6; p = 0.07). Conclusion: Elevated serum leptin levels are associated with metabolic syndrome in female shift workers. These findings suggest that reducing circulating leptin could confer cardiometabolic protection in this occupational group.\n\n\n### (1) Universidade Federal do Rio Grande do Sul, Porto Alegre, RS, Brasil; (2) Universidade do Vale do Rio dos Sinos, São Leopoldo, RS, Brasil\nIntroduction: Metabolic syndrome is a cluster of cardiometabolic risk factors primarily driven by insulin resistance and adiposity. Leptin, an adipocyte-derived hormone, regulates energy balance, appetite, and neuroendocrine functions, and is closely associated with both adiposity and insulin resistance. Despite its relevance, limited data exist on the association between leptin and metabolic syndrome in female shift workers. Objective: To examine the association between serum leptin levels and metabolic syndrome in female shift workers. Methods: In this cross-sectional study, 301 female shift workers from three companies in the Porto Alegre Metropolitan Region (Rio Grande do Sul State, Brazil) were evaluated. Metabolic syndrome was defined according to the Joint Interim Statement as the presence of three or more of the following: abdominal obesity (waist circumference ≥ 88 cm), triglycerides ≥ 150 mg/dL, HDL < 50 mg/dL, elevated BP (systolic BP ≥ 130 mmHg and/or diastolic BP ≥ 85 mmHg or antihypertensive use), and fasting glucose ≥ 100 mg/dL or antidiabetic use. Serum leptin was measured in fasting samples. The Wilcoxon rank-sum test was used to compare leptin levels by metabolic syndrome status. Results: Participants had a mean age of 35.5 ± 10.1 years. The prevalence of metabolic syndrome was 13.3% (95% confidence interval [CI]: 9.4–17.1). Median serum leptin for all participants was 27.4 ng/mL (interquartile range [IQR]: 15.9–41.9). Women with metabolic syndrome had significantly higher leptin levels (median = 45.1 ng/mL; IQR: 29.7–59.8) than those without (median = 26.5 ng/mL; IQR: 15.5–39.0; p < 0.001). The prevalence of metabolic syndrome did not differ between night and day shift workers (13.0% vs. 15.4%), but night shift workers tended to have higher leptin levels (median = 34.0 ng/mL; IQR: 19.3–51.5) than day shift workers (median = 27.4 ng/mL; IQR: 15.7–40.6; p = 0.07). Conclusion: Elevated serum leptin levels are associated with metabolic syndrome in female shift workers. These findings suggest that reducing circulating leptin could confer cardiometabolic protection in this occupational group.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—292\nIntroduction: Metabolic syndrome is a cluster of cardiometabolic risk factors primarily driven by insulin resistance and adiposity. Leptin, an adipocyte-derived hormone, regulates energy balance, appetite, and neuroendocrine functions, and is closely associated with both adiposity and insulin resistance. Despite its relevance, limited data exist on the association between leptin and metabolic syndrome in female shift workers. Objective: To examine the association between serum leptin levels and metabolic syndrome in female shift workers. Methods: In this cross-sectional study, 301 female shift workers from three companies in the Porto Alegre Metropolitan Region (Rio Grande do Sul State, Brazil) were evaluated. Metabolic syndrome was defined according to the Joint Interim Statement as the presence of three or more of the following: abdominal obesity (waist circumference ≥ 88 cm), triglycerides ≥ 150 mg/dL, HDL < 50 mg/dL, elevated BP (systolic BP ≥ 130 mmHg and/or diastolic BP ≥ 85 mmHg or antihypertensive use), and fasting glucose ≥ 100 mg/dL or antidiabetic use. Serum leptin was measured in fasting samples. The Wilcoxon rank-sum test was used to compare leptin levels by metabolic syndrome status. Results: Participants had a mean age of 35.5 ± 10.1 years. The prevalence of metabolic syndrome was 13.3% (95% confidence interval [CI]: 9.4–17.1). Median serum leptin for all participants was 27.4 ng/mL (interquartile range [IQR]: 15.9–41.9). Women with metabolic syndrome had significantly higher leptin levels (median = 45.1 ng/mL; IQR: 29.7–59.8) than those without (median = 26.5 ng/mL; IQR: 15.5–39.0; p < 0.001). The prevalence of metabolic syndrome did not differ between night and day shift workers (13.0% vs. 15.4%), but night shift workers tended to have higher leptin levels (median = 34.0 ng/mL; IQR: 19.3–51.5) than day shift workers (median = 27.4 ng/mL; IQR: 15.7–40.6; p = 0.07). Conclusion: Elevated serum leptin levels are associated with metabolic syndrome in female shift workers. These findings suggest that reducing circulating leptin could confer cardiometabolic protection in this occupational group.\n\n\n### PO—295 Socioeconomic Profile of Individuals With Obesity Diagnosed With Or At High Risk of Type 2 Diabetes in Rio de Janeiro: Results Of The Pilot Study On Management Of Obesity And Its Comorbidities In Primary Care Through Health Education\nIntroduction: The prevalence of obesity in adults in Rio de Janeiro (RJ) was 21.5 and 26.2% in 2021 and 2023, respectively, representing an absolute increase of 4.7% in two years. The recognition of the socioeconomic profile of the patients is important to guide regional intervention strategies. Objective: To investigate the socioeconomic profile of a sample of patients with obesity diagnosed with or at high risk of Type 2 diabetes treated at a primary healthcare center in RJ. Methods: Cross-sectional study including baseline data from the “Pilot Study on Management of Obesity and its Comorbidities in Primary Care through Health Education”. Adults with overweight/obesity and high risk for Type 2 Diabetes (T2D) by Findrisc or with diagnosis of T2D were included. Standardized questionnaires were applied to collect socioeconomic data. The analysis was performed using the JAMOVI statistical software with descriptive statistics and ANOVA test. The results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Research Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: A total of 25 individuals were included, 20 (80%) female; aged 50.2 ± 10.2 years; 17 (68%) from other Brazilian States; 13 (52%) in a stable relationship; 23 (92%) reported practicing some religion. Six (68%) had complete or incomplete elementary school, 4 (16%) completed high school and 4 (16%) higher education. Of the total, 3 (12%) were unemployed, 4 (16%) retired and 18 (72%) employed. One (4%) did not have running water; 10 (40%) did not have a nearby leisure area; 7 (28%) reported excessive noise at night interfering with sleep and 15 (60%) felt insecure due to urban violence. Family income was less than 2 minimum wages in 12 (48%) and the number of people living on this income was 3 [2-3]. Eight (32%) belonged to class B and 17 (68%) to class C according to ABEP classification. The BMI values ​​(kg/m2) were different among social classes (p=0.016): Class B1 (30.5 ± 1.61); B2 (36 ± 5.73); C1 (38.7 ± 7.15); C2 (38.1 ± 6.41). Conclusion: In our sample of patients with obesity, a large proportion of patients did not have leisure areas near their houses and felt insecure with urban violence, both factors that can impact mental health. Also, a family income of less than two minimum wages supports a family of three people. BMI was higher in lower social classes which represents a challenge for managing obesity in a population exposed to socioeconomic difficulties.\n\n\n### Elabras GM1; Boasquevisque ML1; Braga MCBF1; Andrade ACC1; Braga ACMC1; CFM1; Cardoso AC2; Seba AJ1; Nishijuka FA1; Cobas RA2\nIntroduction: The prevalence of obesity in adults in Rio de Janeiro (RJ) was 21.5 and 26.2% in 2021 and 2023, respectively, representing an absolute increase of 4.7% in two years. The recognition of the socioeconomic profile of the patients is important to guide regional intervention strategies. Objective: To investigate the socioeconomic profile of a sample of patients with obesity diagnosed with or at high risk of Type 2 diabetes treated at a primary healthcare center in RJ. Methods: Cross-sectional study including baseline data from the “Pilot Study on Management of Obesity and its Comorbidities in Primary Care through Health Education”. Adults with overweight/obesity and high risk for Type 2 Diabetes (T2D) by Findrisc or with diagnosis of T2D were included. Standardized questionnaires were applied to collect socioeconomic data. The analysis was performed using the JAMOVI statistical software with descriptive statistics and ANOVA test. The results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Research Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: A total of 25 individuals were included, 20 (80%) female; aged 50.2 ± 10.2 years; 17 (68%) from other Brazilian States; 13 (52%) in a stable relationship; 23 (92%) reported practicing some religion. Six (68%) had complete or incomplete elementary school, 4 (16%) completed high school and 4 (16%) higher education. Of the total, 3 (12%) were unemployed, 4 (16%) retired and 18 (72%) employed. One (4%) did not have running water; 10 (40%) did not have a nearby leisure area; 7 (28%) reported excessive noise at night interfering with sleep and 15 (60%) felt insecure due to urban violence. Family income was less than 2 minimum wages in 12 (48%) and the number of people living on this income was 3 [2-3]. Eight (32%) belonged to class B and 17 (68%) to class C according to ABEP classification. The BMI values ​​(kg/m2) were different among social classes (p=0.016): Class B1 (30.5 ± 1.61); B2 (36 ± 5.73); C1 (38.7 ± 7.15); C2 (38.1 ± 6.41). Conclusion: In our sample of patients with obesity, a large proportion of patients did not have leisure areas near their houses and felt insecure with urban violence, both factors that can impact mental health. Also, a family income of less than two minimum wages supports a family of three people. BMI was higher in lower social classes which represents a challenge for managing obesity in a population exposed to socioeconomic difficulties.\n\n\n### (1) Faculdade Souza Marques, Rio de Janeiro, RJ, Brasil; (2) Universidade do Estado do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: The prevalence of obesity in adults in Rio de Janeiro (RJ) was 21.5 and 26.2% in 2021 and 2023, respectively, representing an absolute increase of 4.7% in two years. The recognition of the socioeconomic profile of the patients is important to guide regional intervention strategies. Objective: To investigate the socioeconomic profile of a sample of patients with obesity diagnosed with or at high risk of Type 2 diabetes treated at a primary healthcare center in RJ. Methods: Cross-sectional study including baseline data from the “Pilot Study on Management of Obesity and its Comorbidities in Primary Care through Health Education”. Adults with overweight/obesity and high risk for Type 2 Diabetes (T2D) by Findrisc or with diagnosis of T2D were included. Standardized questionnaires were applied to collect socioeconomic data. The analysis was performed using the JAMOVI statistical software with descriptive statistics and ANOVA test. The results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Research Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: A total of 25 individuals were included, 20 (80%) female; aged 50.2 ± 10.2 years; 17 (68%) from other Brazilian States; 13 (52%) in a stable relationship; 23 (92%) reported practicing some religion. Six (68%) had complete or incomplete elementary school, 4 (16%) completed high school and 4 (16%) higher education. Of the total, 3 (12%) were unemployed, 4 (16%) retired and 18 (72%) employed. One (4%) did not have running water; 10 (40%) did not have a nearby leisure area; 7 (28%) reported excessive noise at night interfering with sleep and 15 (60%) felt insecure due to urban violence. Family income was less than 2 minimum wages in 12 (48%) and the number of people living on this income was 3 [2-3]. Eight (32%) belonged to class B and 17 (68%) to class C according to ABEP classification. The BMI values ​​(kg/m2) were different among social classes (p=0.016): Class B1 (30.5 ± 1.61); B2 (36 ± 5.73); C1 (38.7 ± 7.15); C2 (38.1 ± 6.41). Conclusion: In our sample of patients with obesity, a large proportion of patients did not have leisure areas near their houses and felt insecure with urban violence, both factors that can impact mental health. Also, a family income of less than two minimum wages supports a family of three people. BMI was higher in lower social classes which represents a challenge for managing obesity in a population exposed to socioeconomic difficulties.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—295\nIntroduction: The prevalence of obesity in adults in Rio de Janeiro (RJ) was 21.5 and 26.2% in 2021 and 2023, respectively, representing an absolute increase of 4.7% in two years. The recognition of the socioeconomic profile of the patients is important to guide regional intervention strategies. Objective: To investigate the socioeconomic profile of a sample of patients with obesity diagnosed with or at high risk of Type 2 diabetes treated at a primary healthcare center in RJ. Methods: Cross-sectional study including baseline data from the “Pilot Study on Management of Obesity and its Comorbidities in Primary Care through Health Education”. Adults with overweight/obesity and high risk for Type 2 Diabetes (T2D) by Findrisc or with diagnosis of T2D were included. Standardized questionnaires were applied to collect socioeconomic data. The analysis was performed using the JAMOVI statistical software with descriptive statistics and ANOVA test. The results are presented as n (%) and mean ± SD or median [interquartile range]. The study was approved by the Research Ethics Committee of the proposing institution (CAAE 80146324.7.0000.5239). Results: A total of 25 individuals were included, 20 (80%) female; aged 50.2 ± 10.2 years; 17 (68%) from other Brazilian States; 13 (52%) in a stable relationship; 23 (92%) reported practicing some religion. Six (68%) had complete or incomplete elementary school, 4 (16%) completed high school and 4 (16%) higher education. Of the total, 3 (12%) were unemployed, 4 (16%) retired and 18 (72%) employed. One (4%) did not have running water; 10 (40%) did not have a nearby leisure area; 7 (28%) reported excessive noise at night interfering with sleep and 15 (60%) felt insecure due to urban violence. Family income was less than 2 minimum wages in 12 (48%) and the number of people living on this income was 3 [2-3]. Eight (32%) belonged to class B and 17 (68%) to class C according to ABEP classification. The BMI values ​​(kg/m2) were different among social classes (p=0.016): Class B1 (30.5 ± 1.61); B2 (36 ± 5.73); C1 (38.7 ± 7.15); C2 (38.1 ± 6.41). Conclusion: In our sample of patients with obesity, a large proportion of patients did not have leisure areas near their houses and felt insecure with urban violence, both factors that can impact mental health. Also, a family income of less than two minimum wages supports a family of three people. BMI was higher in lower social classes which represents a challenge for managing obesity in a population exposed to socioeconomic difficulties.\n\n\n### PO—298 Distribution Of The Main Risk Factors For Type 2 Diabetes Development Across Brazilian Macroregions: Insights From the PROVEN DIA Pilot Study S\nIntroduction: Factors such as sex, age, and geographical location have been associated with varying prevalences of type 2 diabetes mellitus (T2DM). For public health prevention policies to be effective, it is essential to understand how risk factors are distributed across the country’s regions. In this context, characterizing the risk factors present in individuals at high risk for developing T2DM can guide the design of region-specific preventive strategies. Objective: To compare the distribution of the main risk factors (age, sex, family history, hypertension, physical inactivity, and excess weight) for developing T2DM among Brazilian adults at elevated risk across the country’s five macroregions. Methods: This was a cross-sectional analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (ClinicalTrials.gov identifier: NCT05689658). Adults (18–65 years) with excess weight and high risk for developing T2DM were eligible. Risk was assessed using the Centers for Disease Control and Prevention diabetes risk test, which includes the following factors: age, sex, previous diagnosis of gestational diabetes, family history, hypertension, physical inactivity, and body mass index (BMI). The total score ranges from 0 to 11 points, with ≥5 indicating high risk for developing diabetes. When applicable, comparisons were performed using the chi-square test or Kruskal–Wallis’ test with Dunn’s post hoc analysis. Results: Of the 220 participants, 71.8% were female, with a mean age of 48.7 ± 9.5 years and a BMI of 33.2 ± 5.8 kg/m2. Overall, the most prevalent factors were family history, BMI, hypertension, and age between 40–59 years. Differences between macroregions were observed for hypertension (p = 0.009) and physical inactivity (p = 0.008). The highest prevalences of hypertension and physical inactivity were found in the Northeast (67.5% and 80%, respectively). BMI was lower in the North compared with other regions (p = 0.006). No significant differences were observed for the remaining factors. The lowest mean risk score was recorded in the North and the highest in the Midwest (4.8 and 6.1 points, respectively). Conclusion: The findings reveal significant regional variations in the prevalence of hypertension, physical inactivity, and BMI among participants, particularly with higher rates in the Northeast. These results underscore the importance of region-specific strategies to address the assessed risk factors.\n\n\n### Ostolin TLVDP1; Fonseca DC1; Perillo AP2; Machado MMA2; Vaz IMF2; Carvalho ACMS2; Martins ALF1; Oliveira LT1; Santana ABN1; Alves BS1; Pagano R1; Bersch-Ferreira AC1\nIntroduction: Factors such as sex, age, and geographical location have been associated with varying prevalences of type 2 diabetes mellitus (T2DM). For public health prevention policies to be effective, it is essential to understand how risk factors are distributed across the country’s regions. In this context, characterizing the risk factors present in individuals at high risk for developing T2DM can guide the design of region-specific preventive strategies. Objective: To compare the distribution of the main risk factors (age, sex, family history, hypertension, physical inactivity, and excess weight) for developing T2DM among Brazilian adults at elevated risk across the country’s five macroregions. Methods: This was a cross-sectional analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (ClinicalTrials.gov identifier: NCT05689658). Adults (18–65 years) with excess weight and high risk for developing T2DM were eligible. Risk was assessed using the Centers for Disease Control and Prevention diabetes risk test, which includes the following factors: age, sex, previous diagnosis of gestational diabetes, family history, hypertension, physical inactivity, and body mass index (BMI). The total score ranges from 0 to 11 points, with ≥5 indicating high risk for developing diabetes. When applicable, comparisons were performed using the chi-square test or Kruskal–Wallis’ test with Dunn’s post hoc analysis. Results: Of the 220 participants, 71.8% were female, with a mean age of 48.7 ± 9.5 years and a BMI of 33.2 ± 5.8 kg/m2. Overall, the most prevalent factors were family history, BMI, hypertension, and age between 40–59 years. Differences between macroregions were observed for hypertension (p = 0.009) and physical inactivity (p = 0.008). The highest prevalences of hypertension and physical inactivity were found in the Northeast (67.5% and 80%, respectively). BMI was lower in the North compared with other regions (p = 0.006). No significant differences were observed for the remaining factors. The lowest mean risk score was recorded in the North and the highest in the Midwest (4.8 and 6.1 points, respectively). Conclusion: The findings reveal significant regional variations in the prevalence of hypertension, physical inactivity, and BMI among participants, particularly with higher rates in the Northeast. These results underscore the importance of region-specific strategies to address the assessed risk factors.\n\n\n### (1) A Beneficência Portuguesa de São Paulo, São Paulo, SP, Brasil; (2) Unidade de Hipertensão Arterial. Hospital das Clínicas da Universidade Federal de Goiás. Goiânia, Brasil, Goiânia, GO, Brasil\nIntroduction: Factors such as sex, age, and geographical location have been associated with varying prevalences of type 2 diabetes mellitus (T2DM). For public health prevention policies to be effective, it is essential to understand how risk factors are distributed across the country’s regions. In this context, characterizing the risk factors present in individuals at high risk for developing T2DM can guide the design of region-specific preventive strategies. Objective: To compare the distribution of the main risk factors (age, sex, family history, hypertension, physical inactivity, and excess weight) for developing T2DM among Brazilian adults at elevated risk across the country’s five macroregions. Methods: This was a cross-sectional analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (ClinicalTrials.gov identifier: NCT05689658). Adults (18–65 years) with excess weight and high risk for developing T2DM were eligible. Risk was assessed using the Centers for Disease Control and Prevention diabetes risk test, which includes the following factors: age, sex, previous diagnosis of gestational diabetes, family history, hypertension, physical inactivity, and body mass index (BMI). The total score ranges from 0 to 11 points, with ≥5 indicating high risk for developing diabetes. When applicable, comparisons were performed using the chi-square test or Kruskal–Wallis’ test with Dunn’s post hoc analysis. Results: Of the 220 participants, 71.8% were female, with a mean age of 48.7 ± 9.5 years and a BMI of 33.2 ± 5.8 kg/m2. Overall, the most prevalent factors were family history, BMI, hypertension, and age between 40–59 years. Differences between macroregions were observed for hypertension (p = 0.009) and physical inactivity (p = 0.008). The highest prevalences of hypertension and physical inactivity were found in the Northeast (67.5% and 80%, respectively). BMI was lower in the North compared with other regions (p = 0.006). No significant differences were observed for the remaining factors. The lowest mean risk score was recorded in the North and the highest in the Midwest (4.8 and 6.1 points, respectively). Conclusion: The findings reveal significant regional variations in the prevalence of hypertension, physical inactivity, and BMI among participants, particularly with higher rates in the Northeast. These results underscore the importance of region-specific strategies to address the assessed risk factors.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—298\nIntroduction: Factors such as sex, age, and geographical location have been associated with varying prevalences of type 2 diabetes mellitus (T2DM). For public health prevention policies to be effective, it is essential to understand how risk factors are distributed across the country’s regions. In this context, characterizing the risk factors present in individuals at high risk for developing T2DM can guide the design of region-specific preventive strategies. Objective: To compare the distribution of the main risk factors (age, sex, family history, hypertension, physical inactivity, and excess weight) for developing T2DM among Brazilian adults at elevated risk across the country’s five macroregions. Methods: This was a cross-sectional analysis of baseline data from the PROVEN-DIA pilot randomized controlled trial (ClinicalTrials.gov identifier: NCT05689658). Adults (18–65 years) with excess weight and high risk for developing T2DM were eligible. Risk was assessed using the Centers for Disease Control and Prevention diabetes risk test, which includes the following factors: age, sex, previous diagnosis of gestational diabetes, family history, hypertension, physical inactivity, and body mass index (BMI). The total score ranges from 0 to 11 points, with ≥5 indicating high risk for developing diabetes. When applicable, comparisons were performed using the chi-square test or Kruskal–Wallis’ test with Dunn’s post hoc analysis. Results: Of the 220 participants, 71.8% were female, with a mean age of 48.7 ± 9.5 years and a BMI of 33.2 ± 5.8 kg/m2. Overall, the most prevalent factors were family history, BMI, hypertension, and age between 40–59 years. Differences between macroregions were observed for hypertension (p = 0.009) and physical inactivity (p = 0.008). The highest prevalences of hypertension and physical inactivity were found in the Northeast (67.5% and 80%, respectively). BMI was lower in the North compared with other regions (p = 0.006). No significant differences were observed for the remaining factors. The lowest mean risk score was recorded in the North and the highest in the Midwest (4.8 and 6.1 points, respectively). Conclusion: The findings reveal significant regional variations in the prevalence of hypertension, physical inactivity, and BMI among participants, particularly with higher rates in the Northeast. These results underscore the importance of region-specific strategies to address the assessed risk factors.\n\n\n### PO—299 Incretin-Based Therapies for Prediabetes Remission: A Systematic Review and Meta-Analysis of Randomized Clinical Trials\nIntroduction: Glucagon-like peptide-1 receptor agonists (GLP-1 RAs) are well-established treatments for improving glycemic control and promoting weight loss in individuals with type 2 diabetes (T2D). Emerging evidence suggests these agents may also play a significant role in reversing prediabetes. Objective: This meta-analysis aims to compare the efficacy of currently available GLP-1 RAs in promoting remission of prediabetes and improving components of metabolic syndrome in adults with prediabetes. Methods: A systematic search of PubMed, Embase, and Cochrane Central identified randomized controlled trials (RCTs) comparing GLP-1 RAs (liraglutide, semaglutide, tirzepatide) to placebo in individuals with prediabetes. The primary outcome was regression of prediabetes via glycated hemoglobin (HbA1c) reduction. Analyses focused on the maximum dose using mean differences (MDs) with 95% confidence intervals (CIs) under a random-effects model. Heterogeneity was assessed with Cochrane’s Q and I2. Statistical analysis was conducted in R (v4.4.2). Results: Six studies involving 5,298 subjects were included. The mean age of participants was 49.8 years, 70.2% were female, and the mean BMI was 37.1kg/m2. In the pooled analysis, both HbA1c (MD: -0.34%; 95% CI: -0.52, -0.17; p=0.0001) and fasting plasma glucose (MD: -8.65 mg/dL; 95% CI: -11.29, -6.01; p<0.00001) were significantly reduced in the GLP-1 RA group compared to placebo. Weight (MD: -7.11 kg; 95% CI: -13.72, -0.49; p=0.04), waist circumference (MD: -5.88 cm; 95% CI: -11.34, -0.42; p=0.03), triglycerides (SMD: -0.40; 95% CI: -0.76, -0.03; p=0.03) and systolic blood pressure (MD: -4.80 mmHg; 95% CI: -7.75, -1.85; p=0.001) also decreased significantly. Fasting insulin, HDL cholesterol, and diastolic blood pressure showed no significant changes. Adverse events were more frequent with GLP-1 RAs (RR: 1.06; 95% CI: 1.04, 1.09; p<0.00001). Conclusion: Incretin-based therapies were associated with improved glycemic control and cardiometabolic parameters in individuals with prediabetes. Specifically, these agents reduced HbA1c, fasting glucose, triglycerides, weight, waist circumference, and systolic blood pressure. Further research is needed to evaluate their long-term safety and applicability across prediabetic populations.\n\n\n### Montejano L1; Barbosa AL1; Saldarriaga LM2; Trevisan T3; Pasqualotto E4; Giacaglia LR5\nIntroduction: Glucagon-like peptide-1 receptor agonists (GLP-1 RAs) are well-established treatments for improving glycemic control and promoting weight loss in individuals with type 2 diabetes (T2D). Emerging evidence suggests these agents may also play a significant role in reversing prediabetes. Objective: This meta-analysis aims to compare the efficacy of currently available GLP-1 RAs in promoting remission of prediabetes and improving components of metabolic syndrome in adults with prediabetes. Methods: A systematic search of PubMed, Embase, and Cochrane Central identified randomized controlled trials (RCTs) comparing GLP-1 RAs (liraglutide, semaglutide, tirzepatide) to placebo in individuals with prediabetes. The primary outcome was regression of prediabetes via glycated hemoglobin (HbA1c) reduction. Analyses focused on the maximum dose using mean differences (MDs) with 95% confidence intervals (CIs) under a random-effects model. Heterogeneity was assessed with Cochrane’s Q and I2. Statistical analysis was conducted in R (v4.4.2). Results: Six studies involving 5,298 subjects were included. The mean age of participants was 49.8 years, 70.2% were female, and the mean BMI was 37.1kg/m2. In the pooled analysis, both HbA1c (MD: -0.34%; 95% CI: -0.52, -0.17; p=0.0001) and fasting plasma glucose (MD: -8.65 mg/dL; 95% CI: -11.29, -6.01; p<0.00001) were significantly reduced in the GLP-1 RA group compared to placebo. Weight (MD: -7.11 kg; 95% CI: -13.72, -0.49; p=0.04), waist circumference (MD: -5.88 cm; 95% CI: -11.34, -0.42; p=0.03), triglycerides (SMD: -0.40; 95% CI: -0.76, -0.03; p=0.03) and systolic blood pressure (MD: -4.80 mmHg; 95% CI: -7.75, -1.85; p=0.001) also decreased significantly. Fasting insulin, HDL cholesterol, and diastolic blood pressure showed no significant changes. Adverse events were more frequent with GLP-1 RAs (RR: 1.06; 95% CI: 1.04, 1.09; p<0.00001). Conclusion: Incretin-based therapies were associated with improved glycemic control and cardiometabolic parameters in individuals with prediabetes. Specifically, these agents reduced HbA1c, fasting glucose, triglycerides, weight, waist circumference, and systolic blood pressure. Further research is needed to evaluate their long-term safety and applicability across prediabetic populations.\n\n\n### (1) Universidade Nove de Julho, São Paulo, SP, Brasil; (2) Universidad CES, Colombia; (3) Private Practice, Itajaí, SC, Brasil; (4) Universidade Federal de Santa Catarina, Florianópolis, SP, Brasil; (5) Sociedade Brasileira de Diabetes, São Paulo, SP, Brasil\nIntroduction: Glucagon-like peptide-1 receptor agonists (GLP-1 RAs) are well-established treatments for improving glycemic control and promoting weight loss in individuals with type 2 diabetes (T2D). Emerging evidence suggests these agents may also play a significant role in reversing prediabetes. Objective: This meta-analysis aims to compare the efficacy of currently available GLP-1 RAs in promoting remission of prediabetes and improving components of metabolic syndrome in adults with prediabetes. Methods: A systematic search of PubMed, Embase, and Cochrane Central identified randomized controlled trials (RCTs) comparing GLP-1 RAs (liraglutide, semaglutide, tirzepatide) to placebo in individuals with prediabetes. The primary outcome was regression of prediabetes via glycated hemoglobin (HbA1c) reduction. Analyses focused on the maximum dose using mean differences (MDs) with 95% confidence intervals (CIs) under a random-effects model. Heterogeneity was assessed with Cochrane’s Q and I2. Statistical analysis was conducted in R (v4.4.2). Results: Six studies involving 5,298 subjects were included. The mean age of participants was 49.8 years, 70.2% were female, and the mean BMI was 37.1kg/m2. In the pooled analysis, both HbA1c (MD: -0.34%; 95% CI: -0.52, -0.17; p=0.0001) and fasting plasma glucose (MD: -8.65 mg/dL; 95% CI: -11.29, -6.01; p<0.00001) were significantly reduced in the GLP-1 RA group compared to placebo. Weight (MD: -7.11 kg; 95% CI: -13.72, -0.49; p=0.04), waist circumference (MD: -5.88 cm; 95% CI: -11.34, -0.42; p=0.03), triglycerides (SMD: -0.40; 95% CI: -0.76, -0.03; p=0.03) and systolic blood pressure (MD: -4.80 mmHg; 95% CI: -7.75, -1.85; p=0.001) also decreased significantly. Fasting insulin, HDL cholesterol, and diastolic blood pressure showed no significant changes. Adverse events were more frequent with GLP-1 RAs (RR: 1.06; 95% CI: 1.04, 1.09; p<0.00001). Conclusion: Incretin-based therapies were associated with improved glycemic control and cardiometabolic parameters in individuals with prediabetes. Specifically, these agents reduced HbA1c, fasting glucose, triglycerides, weight, waist circumference, and systolic blood pressure. Further research is needed to evaluate their long-term safety and applicability across prediabetic populations.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—299\nIntroduction: Glucagon-like peptide-1 receptor agonists (GLP-1 RAs) are well-established treatments for improving glycemic control and promoting weight loss in individuals with type 2 diabetes (T2D). Emerging evidence suggests these agents may also play a significant role in reversing prediabetes. Objective: This meta-analysis aims to compare the efficacy of currently available GLP-1 RAs in promoting remission of prediabetes and improving components of metabolic syndrome in adults with prediabetes. Methods: A systematic search of PubMed, Embase, and Cochrane Central identified randomized controlled trials (RCTs) comparing GLP-1 RAs (liraglutide, semaglutide, tirzepatide) to placebo in individuals with prediabetes. The primary outcome was regression of prediabetes via glycated hemoglobin (HbA1c) reduction. Analyses focused on the maximum dose using mean differences (MDs) with 95% confidence intervals (CIs) under a random-effects model. Heterogeneity was assessed with Cochrane’s Q and I2. Statistical analysis was conducted in R (v4.4.2). Results: Six studies involving 5,298 subjects were included. The mean age of participants was 49.8 years, 70.2% were female, and the mean BMI was 37.1kg/m2. In the pooled analysis, both HbA1c (MD: -0.34%; 95% CI: -0.52, -0.17; p=0.0001) and fasting plasma glucose (MD: -8.65 mg/dL; 95% CI: -11.29, -6.01; p<0.00001) were significantly reduced in the GLP-1 RA group compared to placebo. Weight (MD: -7.11 kg; 95% CI: -13.72, -0.49; p=0.04), waist circumference (MD: -5.88 cm; 95% CI: -11.34, -0.42; p=0.03), triglycerides (SMD: -0.40; 95% CI: -0.76, -0.03; p=0.03) and systolic blood pressure (MD: -4.80 mmHg; 95% CI: -7.75, -1.85; p=0.001) also decreased significantly. Fasting insulin, HDL cholesterol, and diastolic blood pressure showed no significant changes. Adverse events were more frequent with GLP-1 RAs (RR: 1.06; 95% CI: 1.04, 1.09; p<0.00001). Conclusion: Incretin-based therapies were associated with improved glycemic control and cardiometabolic parameters in individuals with prediabetes. Specifically, these agents reduced HbA1c, fasting glucose, triglycerides, weight, waist circumference, and systolic blood pressure. Further research is needed to evaluate their long-term safety and applicability across prediabetic populations.\n\n\n### PO—300 Male Mice With type 2 Diabetes Exhibit Increased Gene Expression Of Targets Associated With Neurodegeneration And Neuroprotection In The Hypothalamus and Hippocampus\nIntroduction: Type 2 diabetes mellitus (T2D) is a chronic disease with high morbidity worldwide. T2D can cause central insulin resistance, as occurs in Alzheimer’s disease (AD), but it is not yet established whether T2D can promote neurodegeneration. Objective: identify alterations in key molecules associated with AD. Methods: male C57BL/6 mice, CEUA 6069-1/23, fed a high-fat diet for 16 weeks (HFD) vs controls fed a standard diet (CTL); to investigate the mRNA levels of APP, GSK3-β and BACE1 (markers of neurodegeneration), and X11α (marker of neuroprotection). Furthermore, we evaluated the levels of NRF2, a nuclear transcription factor, and VDAC3, a porin of the outer mitochondrial membrane, both associated with oxidative response. Results: After 16 weeks of treatment the mice became hyperglycemic, hyperinsulinemic, glucose intolerant (confirmed by ipGTT), and exhibited peripheral insulin resistance (confirmed by ipITT), it is worth noting that these mice also present dysfunction in insulin secretion, already showed in previous work by our group, being characterized as a T2D model. The HFD mice also became obese (shown by the Lee index). RT-PCR showed that in the hypothalamus there was a statistically significant increase in gene expression of APP (CTL, 1±0 vs. HFD, 2.1±0.8; p=0.002), and of the neurodegeneration markers GSK3-β (CTL, 1±0 vs. HFD, 5±1; p=0.0001), and BACE-1 (CTL, 1±0 vs. HFD, 2.4±0.4; p=0.0001). In contrast, there was also an increase in the antioxidant response markers: NRF2 (CTL, 1±0 vs. HFD, 2.1±0.6; p=0.0001), and VDAC3 (CTL, 1±0 vs. HFD, 14±11; p=0.03), but there was no statistical difference in the X11a (CTL, 1±0 vs. HFD, 1.02±0.35; p=0.8). In the hippocampus, there was a significant increase in APP (CTL, 1±0 vs. HFD; 4.2±0.9; p=0.0001), and GSK3-β (CTL, 1±0 vs. HFD, 1.3±0.2; p=0.02), but there was no statistical difference in BACE-1 (CTL, 1±0 vs. HFD, 0.6±0.5; p=0.1). In contrast, there was a statistically significant increase in VDAC3 (CTL, 1±0 vs. HFD, 4±2.6; p=0.03) and X11a (CTL, 1±0 vs. HFD, 1.7±0.36; p=0.0001), while there was no difference in expression of NRF2 (CTL, 1±0 vs. HFD, 1.1±0.4; p=0.4); n=6-9 mice/group Conclusion: the results suggest that in mice with T2D and obesity, triggers for neurodegeneration processes may occur, as well as triggers for neuroprotection processes, such as those involved in the cellular antioxidant response. However, further studies are needed to better understand the effects of this differential expression of important genes in the central nervous system.\n\n\n### Lemos JL1; Maschio DA1; Barbosa HC1\nIntroduction: Type 2 diabetes mellitus (T2D) is a chronic disease with high morbidity worldwide. T2D can cause central insulin resistance, as occurs in Alzheimer’s disease (AD), but it is not yet established whether T2D can promote neurodegeneration. Objective: identify alterations in key molecules associated with AD. Methods: male C57BL/6 mice, CEUA 6069-1/23, fed a high-fat diet for 16 weeks (HFD) vs controls fed a standard diet (CTL); to investigate the mRNA levels of APP, GSK3-β and BACE1 (markers of neurodegeneration), and X11α (marker of neuroprotection). Furthermore, we evaluated the levels of NRF2, a nuclear transcription factor, and VDAC3, a porin of the outer mitochondrial membrane, both associated with oxidative response. Results: After 16 weeks of treatment the mice became hyperglycemic, hyperinsulinemic, glucose intolerant (confirmed by ipGTT), and exhibited peripheral insulin resistance (confirmed by ipITT), it is worth noting that these mice also present dysfunction in insulin secretion, already showed in previous work by our group, being characterized as a T2D model. The HFD mice also became obese (shown by the Lee index). RT-PCR showed that in the hypothalamus there was a statistically significant increase in gene expression of APP (CTL, 1±0 vs. HFD, 2.1±0.8; p=0.002), and of the neurodegeneration markers GSK3-β (CTL, 1±0 vs. HFD, 5±1; p=0.0001), and BACE-1 (CTL, 1±0 vs. HFD, 2.4±0.4; p=0.0001). In contrast, there was also an increase in the antioxidant response markers: NRF2 (CTL, 1±0 vs. HFD, 2.1±0.6; p=0.0001), and VDAC3 (CTL, 1±0 vs. HFD, 14±11; p=0.03), but there was no statistical difference in the X11a (CTL, 1±0 vs. HFD, 1.02±0.35; p=0.8). In the hippocampus, there was a significant increase in APP (CTL, 1±0 vs. HFD; 4.2±0.9; p=0.0001), and GSK3-β (CTL, 1±0 vs. HFD, 1.3±0.2; p=0.02), but there was no statistical difference in BACE-1 (CTL, 1±0 vs. HFD, 0.6±0.5; p=0.1). In contrast, there was a statistically significant increase in VDAC3 (CTL, 1±0 vs. HFD, 4±2.6; p=0.03) and X11a (CTL, 1±0 vs. HFD, 1.7±0.36; p=0.0001), while there was no difference in expression of NRF2 (CTL, 1±0 vs. HFD, 1.1±0.4; p=0.4); n=6-9 mice/group Conclusion: the results suggest that in mice with T2D and obesity, triggers for neurodegeneration processes may occur, as well as triggers for neuroprotection processes, such as those involved in the cellular antioxidant response. However, further studies are needed to better understand the effects of this differential expression of important genes in the central nervous system.\n\n\n### (1) Universidade Estadual de Campinas, Campinas, SP, Brasil\nIntroduction: Type 2 diabetes mellitus (T2D) is a chronic disease with high morbidity worldwide. T2D can cause central insulin resistance, as occurs in Alzheimer’s disease (AD), but it is not yet established whether T2D can promote neurodegeneration. Objective: identify alterations in key molecules associated with AD. Methods: male C57BL/6 mice, CEUA 6069-1/23, fed a high-fat diet for 16 weeks (HFD) vs controls fed a standard diet (CTL); to investigate the mRNA levels of APP, GSK3-β and BACE1 (markers of neurodegeneration), and X11α (marker of neuroprotection). Furthermore, we evaluated the levels of NRF2, a nuclear transcription factor, and VDAC3, a porin of the outer mitochondrial membrane, both associated with oxidative response. Results: After 16 weeks of treatment the mice became hyperglycemic, hyperinsulinemic, glucose intolerant (confirmed by ipGTT), and exhibited peripheral insulin resistance (confirmed by ipITT), it is worth noting that these mice also present dysfunction in insulin secretion, already showed in previous work by our group, being characterized as a T2D model. The HFD mice also became obese (shown by the Lee index). RT-PCR showed that in the hypothalamus there was a statistically significant increase in gene expression of APP (CTL, 1±0 vs. HFD, 2.1±0.8; p=0.002), and of the neurodegeneration markers GSK3-β (CTL, 1±0 vs. HFD, 5±1; p=0.0001), and BACE-1 (CTL, 1±0 vs. HFD, 2.4±0.4; p=0.0001). In contrast, there was also an increase in the antioxidant response markers: NRF2 (CTL, 1±0 vs. HFD, 2.1±0.6; p=0.0001), and VDAC3 (CTL, 1±0 vs. HFD, 14±11; p=0.03), but there was no statistical difference in the X11a (CTL, 1±0 vs. HFD, 1.02±0.35; p=0.8). In the hippocampus, there was a significant increase in APP (CTL, 1±0 vs. HFD; 4.2±0.9; p=0.0001), and GSK3-β (CTL, 1±0 vs. HFD, 1.3±0.2; p=0.02), but there was no statistical difference in BACE-1 (CTL, 1±0 vs. HFD, 0.6±0.5; p=0.1). In contrast, there was a statistically significant increase in VDAC3 (CTL, 1±0 vs. HFD, 4±2.6; p=0.03) and X11a (CTL, 1±0 vs. HFD, 1.7±0.36; p=0.0001), while there was no difference in expression of NRF2 (CTL, 1±0 vs. HFD, 1.1±0.4; p=0.4); n=6-9 mice/group Conclusion: the results suggest that in mice with T2D and obesity, triggers for neurodegeneration processes may occur, as well as triggers for neuroprotection processes, such as those involved in the cellular antioxidant response. However, further studies are needed to better understand the effects of this differential expression of important genes in the central nervous system.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—300\nIntroduction: Type 2 diabetes mellitus (T2D) is a chronic disease with high morbidity worldwide. T2D can cause central insulin resistance, as occurs in Alzheimer’s disease (AD), but it is not yet established whether T2D can promote neurodegeneration. Objective: identify alterations in key molecules associated with AD. Methods: male C57BL/6 mice, CEUA 6069-1/23, fed a high-fat diet for 16 weeks (HFD) vs controls fed a standard diet (CTL); to investigate the mRNA levels of APP, GSK3-β and BACE1 (markers of neurodegeneration), and X11α (marker of neuroprotection). Furthermore, we evaluated the levels of NRF2, a nuclear transcription factor, and VDAC3, a porin of the outer mitochondrial membrane, both associated with oxidative response. Results: After 16 weeks of treatment the mice became hyperglycemic, hyperinsulinemic, glucose intolerant (confirmed by ipGTT), and exhibited peripheral insulin resistance (confirmed by ipITT), it is worth noting that these mice also present dysfunction in insulin secretion, already showed in previous work by our group, being characterized as a T2D model. The HFD mice also became obese (shown by the Lee index). RT-PCR showed that in the hypothalamus there was a statistically significant increase in gene expression of APP (CTL, 1±0 vs. HFD, 2.1±0.8; p=0.002), and of the neurodegeneration markers GSK3-β (CTL, 1±0 vs. HFD, 5±1; p=0.0001), and BACE-1 (CTL, 1±0 vs. HFD, 2.4±0.4; p=0.0001). In contrast, there was also an increase in the antioxidant response markers: NRF2 (CTL, 1±0 vs. HFD, 2.1±0.6; p=0.0001), and VDAC3 (CTL, 1±0 vs. HFD, 14±11; p=0.03), but there was no statistical difference in the X11a (CTL, 1±0 vs. HFD, 1.02±0.35; p=0.8). In the hippocampus, there was a significant increase in APP (CTL, 1±0 vs. HFD; 4.2±0.9; p=0.0001), and GSK3-β (CTL, 1±0 vs. HFD, 1.3±0.2; p=0.02), but there was no statistical difference in BACE-1 (CTL, 1±0 vs. HFD, 0.6±0.5; p=0.1). In contrast, there was a statistically significant increase in VDAC3 (CTL, 1±0 vs. HFD, 4±2.6; p=0.03) and X11a (CTL, 1±0 vs. HFD, 1.7±0.36; p=0.0001), while there was no difference in expression of NRF2 (CTL, 1±0 vs. HFD, 1.1±0.4; p=0.4); n=6-9 mice/group Conclusion: the results suggest that in mice with T2D and obesity, triggers for neurodegeneration processes may occur, as well as triggers for neuroprotection processes, such as those involved in the cellular antioxidant response. However, further studies are needed to better understand the effects of this differential expression of important genes in the central nervous system.\n\n\n### PO—301 Effects Of Lifestyle And Pharmacologic Interventions On First-phase Insulin Secretion And Insulin Sensitivity: A Systematic Review And Meta-analysis Of Randomized Trials (2019 – 2025)\nIntroduction: Restoring first-phase β-cell insulin release and improving peripheral insulin sensitivity are key goals for preventing progression from pre-diabetes to type 2 diabetes. Since 2019, many trials have tested whether diet, exercise, or modern agents such as GLP-1 receptor agonists (GLP-1 RAs) and SGLT-2 inhibitors can enhance the acute insulin response (AIR) during an intravenous glucose-tolerance test (IVGTT) or the M-value of the hyperinsulinemic–euglycemic clamp, yet their collective efficacy is unsettled. Objective: To quantify, through random-effects meta-analysis, the effects of lifestyle and pharmacologic interventions on AIR and M-value in adults with impaired glucose regulation or early diabetes and to explore heterogeneity by intervention class and baseline glycemic status. Methods: We performed a PRISMA-compliant search of MEDLINE, Embase, Scopus, SciELO, and CENTRAL (1 Jan 2019 – 1 Jul 2025) for randomized controlled trials reporting pre- and post-intervention AIR (0–10 min IVGTT) or clamp-derived M-value. No language limits were applied. After deduplication, two reviewers independently screened records, extracted means ± SD, and assessed risk of bias (RoB 2.0). Hedges g was pooled with a DerSimonian–Laird model; meta-regression tested baseline HbA1c. Results: Of 2 452 records, 1 904 remained after duplicates; 263 full texts were assessed and 108 trials (n = 8 412) met inclusion criteria (table). Interventions were GLP-1 RAs (30 trials), SGLT-2 inhibitors (18), structured diet alone (16), diet + exercise (22), high-intensity interval training (10), and other drugs (12). Overall, interventions increased AIR (g = 0.46; 95 % CI 0.32–0.60; I2 = 48 %) and M-value (g = 0.38; 0.25–0.51; I2 = 42 %). GLP-1 RAs produced the largest AIR improvement (g = 0.71), whereas diet + exercise yielded the greatest M-value gain (g = 0.52). Meta-regression showed larger effects at lower baseline HbA1c (β = –0.06; p = 0.03). Risk of bias was low in 45 % of trials, with no publication bias by Egger test. Conclusion: Between 2019 and 2025, randomized evidence indicates that modern pharmacotherapies and intensive lifestyle programs consistently—though modestly—enhance first-phase insulin secretion and insulin sensitivity, especially in earlier dysglycemic states. Longer trials are needed to examine the durability of β-cell gains and to link mechanistic improvements with clinical risk reduction. Table.\n\n\n### Pinheiro LC1\nIntroduction: Restoring first-phase β-cell insulin release and improving peripheral insulin sensitivity are key goals for preventing progression from pre-diabetes to type 2 diabetes. Since 2019, many trials have tested whether diet, exercise, or modern agents such as GLP-1 receptor agonists (GLP-1 RAs) and SGLT-2 inhibitors can enhance the acute insulin response (AIR) during an intravenous glucose-tolerance test (IVGTT) or the M-value of the hyperinsulinemic–euglycemic clamp, yet their collective efficacy is unsettled. Objective: To quantify, through random-effects meta-analysis, the effects of lifestyle and pharmacologic interventions on AIR and M-value in adults with impaired glucose regulation or early diabetes and to explore heterogeneity by intervention class and baseline glycemic status. Methods: We performed a PRISMA-compliant search of MEDLINE, Embase, Scopus, SciELO, and CENTRAL (1 Jan 2019 – 1 Jul 2025) for randomized controlled trials reporting pre- and post-intervention AIR (0–10 min IVGTT) or clamp-derived M-value. No language limits were applied. After deduplication, two reviewers independently screened records, extracted means ± SD, and assessed risk of bias (RoB 2.0). Hedges g was pooled with a DerSimonian–Laird model; meta-regression tested baseline HbA1c. Results: Of 2 452 records, 1 904 remained after duplicates; 263 full texts were assessed and 108 trials (n = 8 412) met inclusion criteria (table). Interventions were GLP-1 RAs (30 trials), SGLT-2 inhibitors (18), structured diet alone (16), diet + exercise (22), high-intensity interval training (10), and other drugs (12). Overall, interventions increased AIR (g = 0.46; 95 % CI 0.32–0.60; I2 = 48 %) and M-value (g = 0.38; 0.25–0.51; I2 = 42 %). GLP-1 RAs produced the largest AIR improvement (g = 0.71), whereas diet + exercise yielded the greatest M-value gain (g = 0.52). Meta-regression showed larger effects at lower baseline HbA1c (β = –0.06; p = 0.03). Risk of bias was low in 45 % of trials, with no publication bias by Egger test. Conclusion: Between 2019 and 2025, randomized evidence indicates that modern pharmacotherapies and intensive lifestyle programs consistently—though modestly—enhance first-phase insulin secretion and insulin sensitivity, especially in earlier dysglycemic states. Longer trials are needed to examine the durability of β-cell gains and to link mechanistic improvements with clinical risk reduction. Table.\n\n\n### (1) Universidade de Fortaleza, Fortaleza, CE, Brasil\nIntroduction: Restoring first-phase β-cell insulin release and improving peripheral insulin sensitivity are key goals for preventing progression from pre-diabetes to type 2 diabetes. Since 2019, many trials have tested whether diet, exercise, or modern agents such as GLP-1 receptor agonists (GLP-1 RAs) and SGLT-2 inhibitors can enhance the acute insulin response (AIR) during an intravenous glucose-tolerance test (IVGTT) or the M-value of the hyperinsulinemic–euglycemic clamp, yet their collective efficacy is unsettled. Objective: To quantify, through random-effects meta-analysis, the effects of lifestyle and pharmacologic interventions on AIR and M-value in adults with impaired glucose regulation or early diabetes and to explore heterogeneity by intervention class and baseline glycemic status. Methods: We performed a PRISMA-compliant search of MEDLINE, Embase, Scopus, SciELO, and CENTRAL (1 Jan 2019 – 1 Jul 2025) for randomized controlled trials reporting pre- and post-intervention AIR (0–10 min IVGTT) or clamp-derived M-value. No language limits were applied. After deduplication, two reviewers independently screened records, extracted means ± SD, and assessed risk of bias (RoB 2.0). Hedges g was pooled with a DerSimonian–Laird model; meta-regression tested baseline HbA1c. Results: Of 2 452 records, 1 904 remained after duplicates; 263 full texts were assessed and 108 trials (n = 8 412) met inclusion criteria (table). Interventions were GLP-1 RAs (30 trials), SGLT-2 inhibitors (18), structured diet alone (16), diet + exercise (22), high-intensity interval training (10), and other drugs (12). Overall, interventions increased AIR (g = 0.46; 95 % CI 0.32–0.60; I2 = 48 %) and M-value (g = 0.38; 0.25–0.51; I2 = 42 %). GLP-1 RAs produced the largest AIR improvement (g = 0.71), whereas diet + exercise yielded the greatest M-value gain (g = 0.52). Meta-regression showed larger effects at lower baseline HbA1c (β = –0.06; p = 0.03). Risk of bias was low in 45 % of trials, with no publication bias by Egger test. Conclusion: Between 2019 and 2025, randomized evidence indicates that modern pharmacotherapies and intensive lifestyle programs consistently—though modestly—enhance first-phase insulin secretion and insulin sensitivity, especially in earlier dysglycemic states. Longer trials are needed to examine the durability of β-cell gains and to link mechanistic improvements with clinical risk reduction. Table.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—301\nIntroduction: Restoring first-phase β-cell insulin release and improving peripheral insulin sensitivity are key goals for preventing progression from pre-diabetes to type 2 diabetes. Since 2019, many trials have tested whether diet, exercise, or modern agents such as GLP-1 receptor agonists (GLP-1 RAs) and SGLT-2 inhibitors can enhance the acute insulin response (AIR) during an intravenous glucose-tolerance test (IVGTT) or the M-value of the hyperinsulinemic–euglycemic clamp, yet their collective efficacy is unsettled. Objective: To quantify, through random-effects meta-analysis, the effects of lifestyle and pharmacologic interventions on AIR and M-value in adults with impaired glucose regulation or early diabetes and to explore heterogeneity by intervention class and baseline glycemic status. Methods: We performed a PRISMA-compliant search of MEDLINE, Embase, Scopus, SciELO, and CENTRAL (1 Jan 2019 – 1 Jul 2025) for randomized controlled trials reporting pre- and post-intervention AIR (0–10 min IVGTT) or clamp-derived M-value. No language limits were applied. After deduplication, two reviewers independently screened records, extracted means ± SD, and assessed risk of bias (RoB 2.0). Hedges g was pooled with a DerSimonian–Laird model; meta-regression tested baseline HbA1c. Results: Of 2 452 records, 1 904 remained after duplicates; 263 full texts were assessed and 108 trials (n = 8 412) met inclusion criteria (table). Interventions were GLP-1 RAs (30 trials), SGLT-2 inhibitors (18), structured diet alone (16), diet + exercise (22), high-intensity interval training (10), and other drugs (12). Overall, interventions increased AIR (g = 0.46; 95 % CI 0.32–0.60; I2 = 48 %) and M-value (g = 0.38; 0.25–0.51; I2 = 42 %). GLP-1 RAs produced the largest AIR improvement (g = 0.71), whereas diet + exercise yielded the greatest M-value gain (g = 0.52). Meta-regression showed larger effects at lower baseline HbA1c (β = –0.06; p = 0.03). Risk of bias was low in 45 % of trials, with no publication bias by Egger test. Conclusion: Between 2019 and 2025, randomized evidence indicates that modern pharmacotherapies and intensive lifestyle programs consistently—though modestly—enhance first-phase insulin secretion and insulin sensitivity, especially in earlier dysglycemic states. Longer trials are needed to examine the durability of β-cell gains and to link mechanistic improvements with clinical risk reduction. Table.\n\n\n### PO—303 Gene Expression Analysis Of Pancreatic Islets From Pancreatectomized Patients Reveals New Candidate Genes To Circadian Control And Altered Rhythms In 10% Of Genes In Type 2 Diabetes\nIntroduction: Although circadian rhythms regulate pancreatic physiology, population level studies in type 2 diabetes (T2D) are scarce because sampling times are rarely recorded. Objective: To characterize the circadian transcriptome (whole-RNA, across the 24-h day) of pancreatic islets from non-diabetic (ND) and T2D patients. Methods: We analyzed microarray-based gene expression from laser-capture micro dissected human islets (free of exocrine contamination) obtained from pancreatectomy specimens (ND, n = 32; T2D, n = 36; GSE76896). Gene symbols were harmonized to HGNC and expression values were standardized to z-scores. Sampling times were computationally reconstructed with CIRCUST (R package; PMID: 37769026). Circadian rhythmicity was assessed using the FMM model (R package; PMID: 31822685), adopting a goodness-of-fit threshold of R2 ≥ 0.5. Integrity of the core clock positive/negative feedback loops was evaluated with CCMapp (R). Group comparisons used Student’s t test. Previously reported datasets (PMID: 19765810; PMID: 33443164) were leveraged to nominate candidate clock genes. Results: Of 14,709 genes, 1,503 (10.2%) were rhythmic in ND (R2 0.5–0.8). Of these, 1,490 lost rhythmicity in T2D, with mean R2 decreasing from 0.52 ± 0.04 (ND) to 0.25 ± 0.07 (T2D; t test, p < 0.05); only 13 genes remained rhythmic in both groups. In ND, 563 genes peaked at night and 940 during the day. This day–night structure in gene expression collapsed in T2D. For clock genes, correlation-matrix analyses at the group level showed no differences. However, at the individual-gene level, rhythm robustness declined broadly (e.g., PER1=R2: 0.7 to 0.3; CLOCK=R2: 0.6 to 0.3). Several clock genes that peaked at night in ND shifted their phase in T2D. Finally, we identified 21 genes within the ND-rhythmic set (10.2%) previously validated as modulators of circadian rhythms. Notably, MIR210HG (a microRNA non-coding transcript) implicated in repression of ribosomal translation of proteins via miR-210 and is relevant to pancreatic physiology and T2D. Conclusion: We identified evidence of disrupted gene-expression rhythms in pancreatic islets in T2D and of potential clock genes. A deeper understanding of the pathophysiology underlying pancreatic cell dysfunction may refine therapeutic strategies.\n\n\n### Menezes CD1; Sá LGS1; Miguel RDS1; Araujo DN1; Santana CBC1; Rodrigues AKBF1; Santos EB1; Silva ADL1; Silva JCB1; Verçosa CD1; Silva JPE1; Oliveira Júnior JS1; Costa EVC1; Figueiredo DS2\nIntroduction: Although circadian rhythms regulate pancreatic physiology, population level studies in type 2 diabetes (T2D) are scarce because sampling times are rarely recorded. Objective: To characterize the circadian transcriptome (whole-RNA, across the 24-h day) of pancreatic islets from non-diabetic (ND) and T2D patients. Methods: We analyzed microarray-based gene expression from laser-capture micro dissected human islets (free of exocrine contamination) obtained from pancreatectomy specimens (ND, n = 32; T2D, n = 36; GSE76896). Gene symbols were harmonized to HGNC and expression values were standardized to z-scores. Sampling times were computationally reconstructed with CIRCUST (R package; PMID: 37769026). Circadian rhythmicity was assessed using the FMM model (R package; PMID: 31822685), adopting a goodness-of-fit threshold of R2 ≥ 0.5. Integrity of the core clock positive/negative feedback loops was evaluated with CCMapp (R). Group comparisons used Student’s t test. Previously reported datasets (PMID: 19765810; PMID: 33443164) were leveraged to nominate candidate clock genes. Results: Of 14,709 genes, 1,503 (10.2%) were rhythmic in ND (R2 0.5–0.8). Of these, 1,490 lost rhythmicity in T2D, with mean R2 decreasing from 0.52 ± 0.04 (ND) to 0.25 ± 0.07 (T2D; t test, p < 0.05); only 13 genes remained rhythmic in both groups. In ND, 563 genes peaked at night and 940 during the day. This day–night structure in gene expression collapsed in T2D. For clock genes, correlation-matrix analyses at the group level showed no differences. However, at the individual-gene level, rhythm robustness declined broadly (e.g., PER1=R2: 0.7 to 0.3; CLOCK=R2: 0.6 to 0.3). Several clock genes that peaked at night in ND shifted their phase in T2D. Finally, we identified 21 genes within the ND-rhythmic set (10.2%) previously validated as modulators of circadian rhythms. Notably, MIR210HG (a microRNA non-coding transcript) implicated in repression of ribosomal translation of proteins via miR-210 and is relevant to pancreatic physiology and T2D. Conclusion: We identified evidence of disrupted gene-expression rhythms in pancreatic islets in T2D and of potential clock genes. A deeper understanding of the pathophysiology underlying pancreatic cell dysfunction may refine therapeutic strategies.\n\n\n### (1) Universidade Federal de Alagoas, UFAL, Arapiraca, AL, Brasil; (2) Universidade Federal de Alagoas, UFAL, Maceió, AL, Brasil\nIntroduction: Although circadian rhythms regulate pancreatic physiology, population level studies in type 2 diabetes (T2D) are scarce because sampling times are rarely recorded. Objective: To characterize the circadian transcriptome (whole-RNA, across the 24-h day) of pancreatic islets from non-diabetic (ND) and T2D patients. Methods: We analyzed microarray-based gene expression from laser-capture micro dissected human islets (free of exocrine contamination) obtained from pancreatectomy specimens (ND, n = 32; T2D, n = 36; GSE76896). Gene symbols were harmonized to HGNC and expression values were standardized to z-scores. Sampling times were computationally reconstructed with CIRCUST (R package; PMID: 37769026). Circadian rhythmicity was assessed using the FMM model (R package; PMID: 31822685), adopting a goodness-of-fit threshold of R2 ≥ 0.5. Integrity of the core clock positive/negative feedback loops was evaluated with CCMapp (R). Group comparisons used Student’s t test. Previously reported datasets (PMID: 19765810; PMID: 33443164) were leveraged to nominate candidate clock genes. Results: Of 14,709 genes, 1,503 (10.2%) were rhythmic in ND (R2 0.5–0.8). Of these, 1,490 lost rhythmicity in T2D, with mean R2 decreasing from 0.52 ± 0.04 (ND) to 0.25 ± 0.07 (T2D; t test, p < 0.05); only 13 genes remained rhythmic in both groups. In ND, 563 genes peaked at night and 940 during the day. This day–night structure in gene expression collapsed in T2D. For clock genes, correlation-matrix analyses at the group level showed no differences. However, at the individual-gene level, rhythm robustness declined broadly (e.g., PER1=R2: 0.7 to 0.3; CLOCK=R2: 0.6 to 0.3). Several clock genes that peaked at night in ND shifted their phase in T2D. Finally, we identified 21 genes within the ND-rhythmic set (10.2%) previously validated as modulators of circadian rhythms. Notably, MIR210HG (a microRNA non-coding transcript) implicated in repression of ribosomal translation of proteins via miR-210 and is relevant to pancreatic physiology and T2D. Conclusion: We identified evidence of disrupted gene-expression rhythms in pancreatic islets in T2D and of potential clock genes. A deeper understanding of the pathophysiology underlying pancreatic cell dysfunction may refine therapeutic strategies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—303\nIntroduction: Although circadian rhythms regulate pancreatic physiology, population level studies in type 2 diabetes (T2D) are scarce because sampling times are rarely recorded. Objective: To characterize the circadian transcriptome (whole-RNA, across the 24-h day) of pancreatic islets from non-diabetic (ND) and T2D patients. Methods: We analyzed microarray-based gene expression from laser-capture micro dissected human islets (free of exocrine contamination) obtained from pancreatectomy specimens (ND, n = 32; T2D, n = 36; GSE76896). Gene symbols were harmonized to HGNC and expression values were standardized to z-scores. Sampling times were computationally reconstructed with CIRCUST (R package; PMID: 37769026). Circadian rhythmicity was assessed using the FMM model (R package; PMID: 31822685), adopting a goodness-of-fit threshold of R2 ≥ 0.5. Integrity of the core clock positive/negative feedback loops was evaluated with CCMapp (R). Group comparisons used Student’s t test. Previously reported datasets (PMID: 19765810; PMID: 33443164) were leveraged to nominate candidate clock genes. Results: Of 14,709 genes, 1,503 (10.2%) were rhythmic in ND (R2 0.5–0.8). Of these, 1,490 lost rhythmicity in T2D, with mean R2 decreasing from 0.52 ± 0.04 (ND) to 0.25 ± 0.07 (T2D; t test, p < 0.05); only 13 genes remained rhythmic in both groups. In ND, 563 genes peaked at night and 940 during the day. This day–night structure in gene expression collapsed in T2D. For clock genes, correlation-matrix analyses at the group level showed no differences. However, at the individual-gene level, rhythm robustness declined broadly (e.g., PER1=R2: 0.7 to 0.3; CLOCK=R2: 0.6 to 0.3). Several clock genes that peaked at night in ND shifted their phase in T2D. Finally, we identified 21 genes within the ND-rhythmic set (10.2%) previously validated as modulators of circadian rhythms. Notably, MIR210HG (a microRNA non-coding transcript) implicated in repression of ribosomal translation of proteins via miR-210 and is relevant to pancreatic physiology and T2D. Conclusion: We identified evidence of disrupted gene-expression rhythms in pancreatic islets in T2D and of potential clock genes. A deeper understanding of the pathophysiology underlying pancreatic cell dysfunction may refine therapeutic strategies.\n\n\n### PO—304 Prolonged Use of Diazoxide in Patients with Congenital Hyperinsulinism: Report of Two Cases Treated at a Tertiary Hospital in Rio de Janeiro\nCase Presentation: Case 1: This is a female patient who presented with recurrent episodes of hypoglycemia during the first months of life, leading to a confirmed diagnosis of Congenital Hyperinsulinism (CHI) associated with hypoammonemia. She began treatment with injectable diazoxide solution at 7 months of age, 300mg/20mL administered orally and provided through the public health system. Later in life, she was also diagnosed with Bardet-Biedl Syndrome and Hashimoto’s hypothyroidism. Currently, at age of 18, she continues to take 120mg of diazoxide orally, twice daily. Case 2: A male patient who presented with severe hypoglycemia associated with seizures during the neonatal period. He was diagnosed with CHI and started diazoxide at 40 days of life. Further investigations revealed hyperammonemia, and a somatostatin analog scintigraphy with no capitating lesions. Genetic testing was negative for classical CHI mutations (GLUD1, HADH, SCL16A1, ABCC8, GCK, and KCNJ11). Currently, at age of 32, the patient continues to use 135mg of Diazoxide 3 times a day. Throughout follow-up of both patients, dietary adjustments and diazoxide dose titration were performed. During the entire period, there were no reports of adverse effects or difficulties in administering the medication; however, access to the drug remains the main therapeutic barrier. All patients provided a written consent to publish their information. Discussion: CHI is the leading cause of persistent hypoglycemia in childhood, and diazoxide remains the treatment of choice when the condition is responsive. Nevertheless, there is still limited data in the literature regarding its continuous use over decades. In one 17-children cohort, the average treatment duration was 7.25 years, with discontinuation due to remission occurring around 8.5 years of age. In a 154-patient italian series, the rate of spontaneous remission exceeded 30%, particularly in cases diagnosed during the neonatal period. These findings suggest that remission is more commonly associated with milder forms and very early onset, which contrasts with the cases presented here, where, despite prolonged use of diazoxide for 18 and 31 years respectively and good glycemic control, remission has not yet occurred. Final Comments: Therefore, these case reports reinforce the importance of early diagnosis and treatment, long-term follow-up, and demonstrate that the use of diazoxide can be safe and effective over decades. Furthermore, they suggest the need for public policies that ensure continued access to high-cost medications, as chronic use may be necessary.\n\n\n### Confortin AC1; Brandl L1; Araújo MMD1; Teixeira NT1; Gama MRB1; Messias ACNV1\nCase Presentation: Case 1: This is a female patient who presented with recurrent episodes of hypoglycemia during the first months of life, leading to a confirmed diagnosis of Congenital Hyperinsulinism (CHI) associated with hypoammonemia. She began treatment with injectable diazoxide solution at 7 months of age, 300mg/20mL administered orally and provided through the public health system. Later in life, she was also diagnosed with Bardet-Biedl Syndrome and Hashimoto’s hypothyroidism. Currently, at age of 18, she continues to take 120mg of diazoxide orally, twice daily. Case 2: A male patient who presented with severe hypoglycemia associated with seizures during the neonatal period. He was diagnosed with CHI and started diazoxide at 40 days of life. Further investigations revealed hyperammonemia, and a somatostatin analog scintigraphy with no capitating lesions. Genetic testing was negative for classical CHI mutations (GLUD1, HADH, SCL16A1, ABCC8, GCK, and KCNJ11). Currently, at age of 32, the patient continues to use 135mg of Diazoxide 3 times a day. Throughout follow-up of both patients, dietary adjustments and diazoxide dose titration were performed. During the entire period, there were no reports of adverse effects or difficulties in administering the medication; however, access to the drug remains the main therapeutic barrier. All patients provided a written consent to publish their information. Discussion: CHI is the leading cause of persistent hypoglycemia in childhood, and diazoxide remains the treatment of choice when the condition is responsive. Nevertheless, there is still limited data in the literature regarding its continuous use over decades. In one 17-children cohort, the average treatment duration was 7.25 years, with discontinuation due to remission occurring around 8.5 years of age. In a 154-patient italian series, the rate of spontaneous remission exceeded 30%, particularly in cases diagnosed during the neonatal period. These findings suggest that remission is more commonly associated with milder forms and very early onset, which contrasts with the cases presented here, where, despite prolonged use of diazoxide for 18 and 31 years respectively and good glycemic control, remission has not yet occurred. Final Comments: Therefore, these case reports reinforce the importance of early diagnosis and treatment, long-term follow-up, and demonstrate that the use of diazoxide can be safe and effective over decades. Furthermore, they suggest the need for public policies that ensure continued access to high-cost medications, as chronic use may be necessary.\n\n\n### (1) Hospital Federal Servidores do Estado, Rio de Janeiro, RJ, Brasil\nCase Presentation: Case 1: This is a female patient who presented with recurrent episodes of hypoglycemia during the first months of life, leading to a confirmed diagnosis of Congenital Hyperinsulinism (CHI) associated with hypoammonemia. She began treatment with injectable diazoxide solution at 7 months of age, 300mg/20mL administered orally and provided through the public health system. Later in life, she was also diagnosed with Bardet-Biedl Syndrome and Hashimoto’s hypothyroidism. Currently, at age of 18, she continues to take 120mg of diazoxide orally, twice daily. Case 2: A male patient who presented with severe hypoglycemia associated with seizures during the neonatal period. He was diagnosed with CHI and started diazoxide at 40 days of life. Further investigations revealed hyperammonemia, and a somatostatin analog scintigraphy with no capitating lesions. Genetic testing was negative for classical CHI mutations (GLUD1, HADH, SCL16A1, ABCC8, GCK, and KCNJ11). Currently, at age of 32, the patient continues to use 135mg of Diazoxide 3 times a day. Throughout follow-up of both patients, dietary adjustments and diazoxide dose titration were performed. During the entire period, there were no reports of adverse effects or difficulties in administering the medication; however, access to the drug remains the main therapeutic barrier. All patients provided a written consent to publish their information. Discussion: CHI is the leading cause of persistent hypoglycemia in childhood, and diazoxide remains the treatment of choice when the condition is responsive. Nevertheless, there is still limited data in the literature regarding its continuous use over decades. In one 17-children cohort, the average treatment duration was 7.25 years, with discontinuation due to remission occurring around 8.5 years of age. In a 154-patient italian series, the rate of spontaneous remission exceeded 30%, particularly in cases diagnosed during the neonatal period. These findings suggest that remission is more commonly associated with milder forms and very early onset, which contrasts with the cases presented here, where, despite prolonged use of diazoxide for 18 and 31 years respectively and good glycemic control, remission has not yet occurred. Final Comments: Therefore, these case reports reinforce the importance of early diagnosis and treatment, long-term follow-up, and demonstrate that the use of diazoxide can be safe and effective over decades. Furthermore, they suggest the need for public policies that ensure continued access to high-cost medications, as chronic use may be necessary.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—304\nCase Presentation: Case 1: This is a female patient who presented with recurrent episodes of hypoglycemia during the first months of life, leading to a confirmed diagnosis of Congenital Hyperinsulinism (CHI) associated with hypoammonemia. She began treatment with injectable diazoxide solution at 7 months of age, 300mg/20mL administered orally and provided through the public health system. Later in life, she was also diagnosed with Bardet-Biedl Syndrome and Hashimoto’s hypothyroidism. Currently, at age of 18, she continues to take 120mg of diazoxide orally, twice daily. Case 2: A male patient who presented with severe hypoglycemia associated with seizures during the neonatal period. He was diagnosed with CHI and started diazoxide at 40 days of life. Further investigations revealed hyperammonemia, and a somatostatin analog scintigraphy with no capitating lesions. Genetic testing was negative for classical CHI mutations (GLUD1, HADH, SCL16A1, ABCC8, GCK, and KCNJ11). Currently, at age of 32, the patient continues to use 135mg of Diazoxide 3 times a day. Throughout follow-up of both patients, dietary adjustments and diazoxide dose titration were performed. During the entire period, there were no reports of adverse effects or difficulties in administering the medication; however, access to the drug remains the main therapeutic barrier. All patients provided a written consent to publish their information. Discussion: CHI is the leading cause of persistent hypoglycemia in childhood, and diazoxide remains the treatment of choice when the condition is responsive. Nevertheless, there is still limited data in the literature regarding its continuous use over decades. In one 17-children cohort, the average treatment duration was 7.25 years, with discontinuation due to remission occurring around 8.5 years of age. In a 154-patient italian series, the rate of spontaneous remission exceeded 30%, particularly in cases diagnosed during the neonatal period. These findings suggest that remission is more commonly associated with milder forms and very early onset, which contrasts with the cases presented here, where, despite prolonged use of diazoxide for 18 and 31 years respectively and good glycemic control, remission has not yet occurred. Final Comments: Therefore, these case reports reinforce the importance of early diagnosis and treatment, long-term follow-up, and demonstrate that the use of diazoxide can be safe and effective over decades. Furthermore, they suggest the need for public policies that ensure continued access to high-cost medications, as chronic use may be necessary.\n\n\n### PO—305 Responses Of High-Intensity Aerobic Training On A Pro- Inflammatory Cytokine Marker And A Component Of The Glucose Uptake Pathway In Obese Mice\nIntroduction: Obesity is characterized by a chronic inflammatory state that induces the release of pro-inflammatory cytokines, negatively impacting several metabolic processes, including glucose uptake, which may contribute to the development of insulin resistance. Tumor Necrosis Factor α (TNF-α), secreted by hypertrophied adipose tissue, adversely affects glucose metabolism. AMP-activated protein kinase (AMPK) is a key protein in the glucose uptake pathway, independent of insulin stimuli, contributing to glucose homeostasis. Objective: To analyze the response of high-intensity aerobic training on a pro-inflammatory cytokine marker and a component of the glucose uptake pathway in obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese High-Intensity Aerobic Group (OAIG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, muscle tissue was collected for western blot analysis of TNF-α and phosphorylated AMPK (p-AMPK) expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of TNF-α expression revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 9,763.66 ± 722.61 vs. OAIG 5,533.83 ± 332.26, p = 0.00). Phosphorylation of AMPK (p-AMPK) was more strongly stimulated in the HIATP group, showing statistically significant values (OAIG 26,504.67 ± 1,252.07 vs. OSG 14,166.33 ± 1,641.85, p = 0.00). Conclusion: These findings demonstrate that high-intensity aerobic training in obese mice effectively reduced the expression of a key pro-inflammatory cytokine marker (TNF-α) and enhanced glucose uptake via AMPK phosphorylation. Thus, highlighting the importance of the biomolecular aspects of exercise on inflammation and glucose uptake.\n\n\n### Ribeiro JNS1; Ribeiro PLBS2; Lacerda Junior FF2; Vieira AM3; Cruz PWS4; Vasconcelos AR5; Soares AHG1; Valente VJMBS1; Vancea DMM4; Carvalho BM6\nIntroduction: Obesity is characterized by a chronic inflammatory state that induces the release of pro-inflammatory cytokines, negatively impacting several metabolic processes, including glucose uptake, which may contribute to the development of insulin resistance. Tumor Necrosis Factor α (TNF-α), secreted by hypertrophied adipose tissue, adversely affects glucose metabolism. AMP-activated protein kinase (AMPK) is a key protein in the glucose uptake pathway, independent of insulin stimuli, contributing to glucose homeostasis. Objective: To analyze the response of high-intensity aerobic training on a pro-inflammatory cytokine marker and a component of the glucose uptake pathway in obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese High-Intensity Aerobic Group (OAIG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, muscle tissue was collected for western blot analysis of TNF-α and phosphorylated AMPK (p-AMPK) expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of TNF-α expression revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 9,763.66 ± 722.61 vs. OAIG 5,533.83 ± 332.26, p = 0.00). Phosphorylation of AMPK (p-AMPK) was more strongly stimulated in the HIATP group, showing statistically significant values (OAIG 26,504.67 ± 1,252.07 vs. OSG 14,166.33 ± 1,641.85, p = 0.00). Conclusion: These findings demonstrate that high-intensity aerobic training in obese mice effectively reduced the expression of a key pro-inflammatory cytokine marker (TNF-α) and enhanced glucose uptake via AMPK phosphorylation. Thus, highlighting the importance of the biomolecular aspects of exercise on inflammation and glucose uptake.\n\n\n### (1) Faculdade Pernambucana de Saúde (FPS), Recife, PE, Brasil; (2) Programa de Pós-Graduação em Biologia Celular e Molecular Aplicada (UPE), Recife, PE, Brasil; (3) Laboratório de Imunometabolismo (UPE), Recife, PE, Brasil; (4) Escola Superior de Educação Física (UPE), Recife, PE, Brasil; (5) Programa de Pós-graduação em Reabilitação e Desempenho Funcional (UPE), Petrolina, PE, Brasil; (6) Instituto de Ciências Biológicas (UPE), Recife, PE, Brasil\nIntroduction: Obesity is characterized by a chronic inflammatory state that induces the release of pro-inflammatory cytokines, negatively impacting several metabolic processes, including glucose uptake, which may contribute to the development of insulin resistance. Tumor Necrosis Factor α (TNF-α), secreted by hypertrophied adipose tissue, adversely affects glucose metabolism. AMP-activated protein kinase (AMPK) is a key protein in the glucose uptake pathway, independent of insulin stimuli, contributing to glucose homeostasis. Objective: To analyze the response of high-intensity aerobic training on a pro-inflammatory cytokine marker and a component of the glucose uptake pathway in obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese High-Intensity Aerobic Group (OAIG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, muscle tissue was collected for western blot analysis of TNF-α and phosphorylated AMPK (p-AMPK) expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of TNF-α expression revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 9,763.66 ± 722.61 vs. OAIG 5,533.83 ± 332.26, p = 0.00). Phosphorylation of AMPK (p-AMPK) was more strongly stimulated in the HIATP group, showing statistically significant values (OAIG 26,504.67 ± 1,252.07 vs. OSG 14,166.33 ± 1,641.85, p = 0.00). Conclusion: These findings demonstrate that high-intensity aerobic training in obese mice effectively reduced the expression of a key pro-inflammatory cytokine marker (TNF-α) and enhanced glucose uptake via AMPK phosphorylation. Thus, highlighting the importance of the biomolecular aspects of exercise on inflammation and glucose uptake.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—305\nIntroduction: Obesity is characterized by a chronic inflammatory state that induces the release of pro-inflammatory cytokines, negatively impacting several metabolic processes, including glucose uptake, which may contribute to the development of insulin resistance. Tumor Necrosis Factor α (TNF-α), secreted by hypertrophied adipose tissue, adversely affects glucose metabolism. AMP-activated protein kinase (AMPK) is a key protein in the glucose uptake pathway, independent of insulin stimuli, contributing to glucose homeostasis. Objective: To analyze the response of high-intensity aerobic training on a pro-inflammatory cytokine marker and a component of the glucose uptake pathway in obese mice. Methods: Ten male Swiss mice were divided into two groups: Obese Sedentary Group (OSG) and Obese High-Intensity Aerobic Group (OAIG). Obesity was induced through an eight-week high-fat diet (carbohydrates: 49.5%; proteins: 15.5%; lipids: 35%). The exercise protocol consisted of swimming in tanks with a diameter of 45 cm and water temperature maintained at 34 °C. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, muscle tissue was collected for western blot analysis of TNF-α and phosphorylated AMPK (p-AMPK) expression. Statistical analysis was performed using an unpaired Student’s t-test, adopting a significance level of p ≤ 0.05. The study was approved by the local Animal Ethics Committee under protocol nº 08/2020. Results: Analysis of TNF-α expression revealed that the sedentary group exhibited significantly higher values compared with the aerobic training group (OSG 9,763.66 ± 722.61 vs. OAIG 5,533.83 ± 332.26, p = 0.00). Phosphorylation of AMPK (p-AMPK) was more strongly stimulated in the HIATP group, showing statistically significant values (OAIG 26,504.67 ± 1,252.07 vs. OSG 14,166.33 ± 1,641.85, p = 0.00). Conclusion: These findings demonstrate that high-intensity aerobic training in obese mice effectively reduced the expression of a key pro-inflammatory cytokine marker (TNF-α) and enhanced glucose uptake via AMPK phosphorylation. Thus, highlighting the importance of the biomolecular aspects of exercise on inflammation and glucose uptake.\n\n\n### PO—306 Response of Moderate And High Intensity Aerobic Training On ESPONSES OF Indoleamine 2,3-Dioxygenase Expression in Adipose And Muscle Tissue Of Obese Mice\nIntroduction: Obesity is accompanied by inflammation and insulin resistance. Indoleamine 2,3-dioxygenase (IDO), activated by pro-inflammatory cytokines. Aerobic training may modulate the kynurenine pathway due to the rapid conversion into kynurenic acid and other metabolic intermediates. Objective: To analyze the response of moderate- and high-intensity aerobic training on the expression of indoleamine 2,3-dioxygenase in adipose and muscle tissue of obese mice. Methods: Fifteen male Swiss mice were divided into three groups: Obese Sedentary Group (OSG), Obese Moderate Aerobic Group (OMAG), and Obese High-Intensity Aerobic Group (OAIG). The exercise strategy employed was swimming. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 hours, with four 30 minute bouts interspersed with 5 minute rest intervals. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IDO protein expression. Statistical analysis was conducted using ANOVA with Bonferroni post hoc test, adopting a significance level of p≤0.05. The research was approved by the local Ethics Committee on Animal Use under protocol number 08/2020. Results: For the analysis of IDO expression in adipose tissue, the sedentary group exhibited significantly higher values compared with the aerobic training groups (OSG 6,647.33 ± 818.70 vs. OMAG 635.58 ± 208.24, p=0.00; OSG 6,647.33 ± 818.70 vs. OAIG 2,201.18 ± 509.24, p=0.00). OMAG showed lower IDO expression than OAIG (635.58 ± 208.24 vs. 2,201.18 ± 509.24, p=0.00). IDO expression in muscle tissue followed a pattern similar to that observed in adipose tissue, with OSG presenting higher values compared to OMAG (OSG 15,553.50 ± 2,83.50 vs. OMAG 2,790.40 ± 489.41, p=0.00) and OAIG (OSG 15,553.50 ± 2,83.50 vs. OAIG 3,971.81 ± 175.65, p=0.00). However, when the exercised groups were compared, no significant differences were observed in muscle tissue IDO expression. Conclusion: The results indicate that aerobic training was effective in reducing IDO expression in both adipose and muscle tissues of obese mice. Interestingly, MIATP produced a greater reduction in adipose tissue IDO expression than HIATP, suggesting that moderate-intensity aerobic training may be more effective in modulating the kynurenine pathway under conditions of obesity.\n\n\n### Ribeiro JNS1; Ribeiro PLBS2; Lacerda Júnior FF3; Vieira AM4; Cruz PWS5; Vasconcelos AR6; Soares AHG1; Valente VJMBS1; Vancea DMM5; Carvalho BM7\nIntroduction: Obesity is accompanied by inflammation and insulin resistance. Indoleamine 2,3-dioxygenase (IDO), activated by pro-inflammatory cytokines. Aerobic training may modulate the kynurenine pathway due to the rapid conversion into kynurenic acid and other metabolic intermediates. Objective: To analyze the response of moderate- and high-intensity aerobic training on the expression of indoleamine 2,3-dioxygenase in adipose and muscle tissue of obese mice. Methods: Fifteen male Swiss mice were divided into three groups: Obese Sedentary Group (OSG), Obese Moderate Aerobic Group (OMAG), and Obese High-Intensity Aerobic Group (OAIG). The exercise strategy employed was swimming. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 hours, with four 30 minute bouts interspersed with 5 minute rest intervals. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IDO protein expression. Statistical analysis was conducted using ANOVA with Bonferroni post hoc test, adopting a significance level of p≤0.05. The research was approved by the local Ethics Committee on Animal Use under protocol number 08/2020. Results: For the analysis of IDO expression in adipose tissue, the sedentary group exhibited significantly higher values compared with the aerobic training groups (OSG 6,647.33 ± 818.70 vs. OMAG 635.58 ± 208.24, p=0.00; OSG 6,647.33 ± 818.70 vs. OAIG 2,201.18 ± 509.24, p=0.00). OMAG showed lower IDO expression than OAIG (635.58 ± 208.24 vs. 2,201.18 ± 509.24, p=0.00). IDO expression in muscle tissue followed a pattern similar to that observed in adipose tissue, with OSG presenting higher values compared to OMAG (OSG 15,553.50 ± 2,83.50 vs. OMAG 2,790.40 ± 489.41, p=0.00) and OAIG (OSG 15,553.50 ± 2,83.50 vs. OAIG 3,971.81 ± 175.65, p=0.00). However, when the exercised groups were compared, no significant differences were observed in muscle tissue IDO expression. Conclusion: The results indicate that aerobic training was effective in reducing IDO expression in both adipose and muscle tissues of obese mice. Interestingly, MIATP produced a greater reduction in adipose tissue IDO expression than HIATP, suggesting that moderate-intensity aerobic training may be more effective in modulating the kynurenine pathway under conditions of obesity.\n\n\n### (1) Faculdade Pernambucana de Saúde (FPS), Recife, PE, Brasil; (2) Programa de Pós Graduação em Biologia Celular e Molecular Aplicada (UPE) , Recife, PE, Brasil; (3) Programa de Pós Graduação em Biologia Celular e Molecular Aplicada, Recife, PE, Brasil; (4) Laboratório de Imunometabolismo (UPE), Recife, PE, Brasil; (5) Escola Superior de Educação Física (UPE), Recife, PE, Brasil; (6) Programa de Pós Graduação em Reabilitação e Desempenho Funcional (UPE), Petrolina, PE, Brasil; (7) Instituto de Ciências Biológicas (UPE) , Recife, PE, Brasil\nIntroduction: Obesity is accompanied by inflammation and insulin resistance. Indoleamine 2,3-dioxygenase (IDO), activated by pro-inflammatory cytokines. Aerobic training may modulate the kynurenine pathway due to the rapid conversion into kynurenic acid and other metabolic intermediates. Objective: To analyze the response of moderate- and high-intensity aerobic training on the expression of indoleamine 2,3-dioxygenase in adipose and muscle tissue of obese mice. Methods: Fifteen male Swiss mice were divided into three groups: Obese Sedentary Group (OSG), Obese Moderate Aerobic Group (OMAG), and Obese High-Intensity Aerobic Group (OAIG). The exercise strategy employed was swimming. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 hours, with four 30 minute bouts interspersed with 5 minute rest intervals. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IDO protein expression. Statistical analysis was conducted using ANOVA with Bonferroni post hoc test, adopting a significance level of p≤0.05. The research was approved by the local Ethics Committee on Animal Use under protocol number 08/2020. Results: For the analysis of IDO expression in adipose tissue, the sedentary group exhibited significantly higher values compared with the aerobic training groups (OSG 6,647.33 ± 818.70 vs. OMAG 635.58 ± 208.24, p=0.00; OSG 6,647.33 ± 818.70 vs. OAIG 2,201.18 ± 509.24, p=0.00). OMAG showed lower IDO expression than OAIG (635.58 ± 208.24 vs. 2,201.18 ± 509.24, p=0.00). IDO expression in muscle tissue followed a pattern similar to that observed in adipose tissue, with OSG presenting higher values compared to OMAG (OSG 15,553.50 ± 2,83.50 vs. OMAG 2,790.40 ± 489.41, p=0.00) and OAIG (OSG 15,553.50 ± 2,83.50 vs. OAIG 3,971.81 ± 175.65, p=0.00). However, when the exercised groups were compared, no significant differences were observed in muscle tissue IDO expression. Conclusion: The results indicate that aerobic training was effective in reducing IDO expression in both adipose and muscle tissues of obese mice. Interestingly, MIATP produced a greater reduction in adipose tissue IDO expression than HIATP, suggesting that moderate-intensity aerobic training may be more effective in modulating the kynurenine pathway under conditions of obesity.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—306\nIntroduction: Obesity is accompanied by inflammation and insulin resistance. Indoleamine 2,3-dioxygenase (IDO), activated by pro-inflammatory cytokines. Aerobic training may modulate the kynurenine pathway due to the rapid conversion into kynurenic acid and other metabolic intermediates. Objective: To analyze the response of moderate- and high-intensity aerobic training on the expression of indoleamine 2,3-dioxygenase in adipose and muscle tissue of obese mice. Methods: Fifteen male Swiss mice were divided into three groups: Obese Sedentary Group (OSG), Obese Moderate Aerobic Group (OMAG), and Obese High-Intensity Aerobic Group (OAIG). The exercise strategy employed was swimming. The Moderate-Intensity Aerobic Training Protocol (MIATP) consisted of three sessions totaling 2 hours, with four 30 minute bouts interspersed with 5 minute rest intervals. The High-Intensity Aerobic Training Protocol (HIATP) consisted of three sessions, each lasting 7 minutes, with 14 intervals of 20 seconds at 9% body weight overload, interspersed with 10 seconds of rest. Following anesthesia, adipose and muscle tissues were collected for western blot analysis of IDO protein expression. Statistical analysis was conducted using ANOVA with Bonferroni post hoc test, adopting a significance level of p≤0.05. The research was approved by the local Ethics Committee on Animal Use under protocol number 08/2020. Results: For the analysis of IDO expression in adipose tissue, the sedentary group exhibited significantly higher values compared with the aerobic training groups (OSG 6,647.33 ± 818.70 vs. OMAG 635.58 ± 208.24, p=0.00; OSG 6,647.33 ± 818.70 vs. OAIG 2,201.18 ± 509.24, p=0.00). OMAG showed lower IDO expression than OAIG (635.58 ± 208.24 vs. 2,201.18 ± 509.24, p=0.00). IDO expression in muscle tissue followed a pattern similar to that observed in adipose tissue, with OSG presenting higher values compared to OMAG (OSG 15,553.50 ± 2,83.50 vs. OMAG 2,790.40 ± 489.41, p=0.00) and OAIG (OSG 15,553.50 ± 2,83.50 vs. OAIG 3,971.81 ± 175.65, p=0.00). However, when the exercised groups were compared, no significant differences were observed in muscle tissue IDO expression. Conclusion: The results indicate that aerobic training was effective in reducing IDO expression in both adipose and muscle tissues of obese mice. Interestingly, MIATP produced a greater reduction in adipose tissue IDO expression than HIATP, suggesting that moderate-intensity aerobic training may be more effective in modulating the kynurenine pathway under conditions of obesity.\n\n\n### PO—307 The Lysosomal Circadian Rhythm of GLUT-6 (SLC2A6) in Resident Human Islet Macrophages and Its Disruption in Type 2 DiabetesThe Lysosomal Circadian Rhythm of GLUT-6 (SLC2A6) in Resident Human Islet Macrophages and Its Disruption in Type 2 Diabetes\nIntroduction: Overnight energy maintenance under low circulating glucose relies on local mechanisms. In resident islet macrophages, the glucose transporter GLUT-6 (SLC2A6) localizes to lysosomal membranes and mediates glucose efflux from the lysosomal- cytosol. We posit a circadian lysosome–GLUT-6–macrophage axis supporting basal glucose supply coupled to recycling (efferocytosis, endocytosis and autophagy). Objective: To define circadian signatures of lysosomal/endocytic pathways and SLC2A6 rhythmicity in human islets from non-diabetic (ND) versus type 2 diabetes (T2D) donors, and to propose a functional model. Methods: Islets from the IMIDIA biobank (GSE76896; ND n=32, T2D n=36) were temporally ordered with CIRCUST and fitted with the Frequency-Modulated Möbius (FMM) model. Metrics: R2 (≥0.5 = rhythmic), mesor (24-h mean), amplitude, and peak/acrophase. We assessed gene rhythmicity and phase-enriched PSEA/GSEA across MSigDB (GO/Reactome/KEGG) focusing on lysosome, endocytosis/recycling, autophagy, ER-Golgi trafficking, and glucose metabolism. To gauge medical implications, we queried DrugBank for medical-approved drugs (phase I–IV) with evidence of interaction/transport via GLUT-6. Results: Among glucose transporters, only SLC2A6 was rhythmic in ND (R2=0.50; mesor=0.85; amplitude=1.57; peak 0.75–8.82 h). In T2D, SLC2A6 lost circadian patterning (R2=0.28; mesor=0.01; amplitude=0.92; peak 0.91–1.75 h). PSEA showed nocturnal (pre-prandial) enrichment of lysosomal biogenesis/organization, endocytosis/recycling, autophagy (including mitophagy), and ER–Golgi trafficking with glucose/ATP modules; many became blunted or arrhythmic in T2D. Clinically relevantly, GLUT-6 functions as a transporter for fluorodeoxyglucose (in PET imaging), D-glucose (hypoglycemia management), and intravenous dextrose/glucose solutions (emergency hypoglycemia). Conclusion: In ND, GLUT-6 is the only glucose transporter with robust rhythmic expression in islets and its phase aligns with macrophage lysosomal/recycling programs. Islet macrophages may synchronize an auxiliary glucose source by recycling nocturnal debris with lysosome→GLUT-6 export, sustaining local energy homeostasis and modulating nearby endocrine cells during the fasted sleep period. In T2D, SLC2A6 arrhythmia and impaired lysosomal/recycling machinery likely compromise this low-power generator, contributing to islet dysfunction. Future studies on GLUT-6 circadGLUT-6; circadian rhythms; diabetesian function may optimized use of related drugs in emergency care.\n\n\n### Menezes MCD1; Figueiredo DS2\nIntroduction: Overnight energy maintenance under low circulating glucose relies on local mechanisms. In resident islet macrophages, the glucose transporter GLUT-6 (SLC2A6) localizes to lysosomal membranes and mediates glucose efflux from the lysosomal- cytosol. We posit a circadian lysosome–GLUT-6–macrophage axis supporting basal glucose supply coupled to recycling (efferocytosis, endocytosis and autophagy). Objective: To define circadian signatures of lysosomal/endocytic pathways and SLC2A6 rhythmicity in human islets from non-diabetic (ND) versus type 2 diabetes (T2D) donors, and to propose a functional model. Methods: Islets from the IMIDIA biobank (GSE76896; ND n=32, T2D n=36) were temporally ordered with CIRCUST and fitted with the Frequency-Modulated Möbius (FMM) model. Metrics: R2 (≥0.5 = rhythmic), mesor (24-h mean), amplitude, and peak/acrophase. We assessed gene rhythmicity and phase-enriched PSEA/GSEA across MSigDB (GO/Reactome/KEGG) focusing on lysosome, endocytosis/recycling, autophagy, ER-Golgi trafficking, and glucose metabolism. To gauge medical implications, we queried DrugBank for medical-approved drugs (phase I–IV) with evidence of interaction/transport via GLUT-6. Results: Among glucose transporters, only SLC2A6 was rhythmic in ND (R2=0.50; mesor=0.85; amplitude=1.57; peak 0.75–8.82 h). In T2D, SLC2A6 lost circadian patterning (R2=0.28; mesor=0.01; amplitude=0.92; peak 0.91–1.75 h). PSEA showed nocturnal (pre-prandial) enrichment of lysosomal biogenesis/organization, endocytosis/recycling, autophagy (including mitophagy), and ER–Golgi trafficking with glucose/ATP modules; many became blunted or arrhythmic in T2D. Clinically relevantly, GLUT-6 functions as a transporter for fluorodeoxyglucose (in PET imaging), D-glucose (hypoglycemia management), and intravenous dextrose/glucose solutions (emergency hypoglycemia). Conclusion: In ND, GLUT-6 is the only glucose transporter with robust rhythmic expression in islets and its phase aligns with macrophage lysosomal/recycling programs. Islet macrophages may synchronize an auxiliary glucose source by recycling nocturnal debris with lysosome→GLUT-6 export, sustaining local energy homeostasis and modulating nearby endocrine cells during the fasted sleep period. In T2D, SLC2A6 arrhythmia and impaired lysosomal/recycling machinery likely compromise this low-power generator, contributing to islet dysfunction. Future studies on GLUT-6 circadGLUT-6; circadian rhythms; diabetesian function may optimized use of related drugs in emergency care.\n\n\n### (1) Universidade Federal de Alagoas, UFAL, Arapiraca, AL, Brasil; (2) Universidade Federal de Alagoas, UFAL, Maceió, AL, Brasil\nIntroduction: Overnight energy maintenance under low circulating glucose relies on local mechanisms. In resident islet macrophages, the glucose transporter GLUT-6 (SLC2A6) localizes to lysosomal membranes and mediates glucose efflux from the lysosomal- cytosol. We posit a circadian lysosome–GLUT-6–macrophage axis supporting basal glucose supply coupled to recycling (efferocytosis, endocytosis and autophagy). Objective: To define circadian signatures of lysosomal/endocytic pathways and SLC2A6 rhythmicity in human islets from non-diabetic (ND) versus type 2 diabetes (T2D) donors, and to propose a functional model. Methods: Islets from the IMIDIA biobank (GSE76896; ND n=32, T2D n=36) were temporally ordered with CIRCUST and fitted with the Frequency-Modulated Möbius (FMM) model. Metrics: R2 (≥0.5 = rhythmic), mesor (24-h mean), amplitude, and peak/acrophase. We assessed gene rhythmicity and phase-enriched PSEA/GSEA across MSigDB (GO/Reactome/KEGG) focusing on lysosome, endocytosis/recycling, autophagy, ER-Golgi trafficking, and glucose metabolism. To gauge medical implications, we queried DrugBank for medical-approved drugs (phase I–IV) with evidence of interaction/transport via GLUT-6. Results: Among glucose transporters, only SLC2A6 was rhythmic in ND (R2=0.50; mesor=0.85; amplitude=1.57; peak 0.75–8.82 h). In T2D, SLC2A6 lost circadian patterning (R2=0.28; mesor=0.01; amplitude=0.92; peak 0.91–1.75 h). PSEA showed nocturnal (pre-prandial) enrichment of lysosomal biogenesis/organization, endocytosis/recycling, autophagy (including mitophagy), and ER–Golgi trafficking with glucose/ATP modules; many became blunted or arrhythmic in T2D. Clinically relevantly, GLUT-6 functions as a transporter for fluorodeoxyglucose (in PET imaging), D-glucose (hypoglycemia management), and intravenous dextrose/glucose solutions (emergency hypoglycemia). Conclusion: In ND, GLUT-6 is the only glucose transporter with robust rhythmic expression in islets and its phase aligns with macrophage lysosomal/recycling programs. Islet macrophages may synchronize an auxiliary glucose source by recycling nocturnal debris with lysosome→GLUT-6 export, sustaining local energy homeostasis and modulating nearby endocrine cells during the fasted sleep period. In T2D, SLC2A6 arrhythmia and impaired lysosomal/recycling machinery likely compromise this low-power generator, contributing to islet dysfunction. Future studies on GLUT-6 circadGLUT-6; circadian rhythms; diabetesian function may optimized use of related drugs in emergency care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—307\nIntroduction: Overnight energy maintenance under low circulating glucose relies on local mechanisms. In resident islet macrophages, the glucose transporter GLUT-6 (SLC2A6) localizes to lysosomal membranes and mediates glucose efflux from the lysosomal- cytosol. We posit a circadian lysosome–GLUT-6–macrophage axis supporting basal glucose supply coupled to recycling (efferocytosis, endocytosis and autophagy). Objective: To define circadian signatures of lysosomal/endocytic pathways and SLC2A6 rhythmicity in human islets from non-diabetic (ND) versus type 2 diabetes (T2D) donors, and to propose a functional model. Methods: Islets from the IMIDIA biobank (GSE76896; ND n=32, T2D n=36) were temporally ordered with CIRCUST and fitted with the Frequency-Modulated Möbius (FMM) model. Metrics: R2 (≥0.5 = rhythmic), mesor (24-h mean), amplitude, and peak/acrophase. We assessed gene rhythmicity and phase-enriched PSEA/GSEA across MSigDB (GO/Reactome/KEGG) focusing on lysosome, endocytosis/recycling, autophagy, ER-Golgi trafficking, and glucose metabolism. To gauge medical implications, we queried DrugBank for medical-approved drugs (phase I–IV) with evidence of interaction/transport via GLUT-6. Results: Among glucose transporters, only SLC2A6 was rhythmic in ND (R2=0.50; mesor=0.85; amplitude=1.57; peak 0.75–8.82 h). In T2D, SLC2A6 lost circadian patterning (R2=0.28; mesor=0.01; amplitude=0.92; peak 0.91–1.75 h). PSEA showed nocturnal (pre-prandial) enrichment of lysosomal biogenesis/organization, endocytosis/recycling, autophagy (including mitophagy), and ER–Golgi trafficking with glucose/ATP modules; many became blunted or arrhythmic in T2D. Clinically relevantly, GLUT-6 functions as a transporter for fluorodeoxyglucose (in PET imaging), D-glucose (hypoglycemia management), and intravenous dextrose/glucose solutions (emergency hypoglycemia). Conclusion: In ND, GLUT-6 is the only glucose transporter with robust rhythmic expression in islets and its phase aligns with macrophage lysosomal/recycling programs. Islet macrophages may synchronize an auxiliary glucose source by recycling nocturnal debris with lysosome→GLUT-6 export, sustaining local energy homeostasis and modulating nearby endocrine cells during the fasted sleep period. In T2D, SLC2A6 arrhythmia and impaired lysosomal/recycling machinery likely compromise this low-power generator, contributing to islet dysfunction. Future studies on GLUT-6 circadGLUT-6; circadian rhythms; diabetesian function may optimized use of related drugs in emergency care.\n\n\n### PO—309 AI-Empowered Human Care to Improve Education and Glycemic Control\nIntroduction: Managing complex patients with diabetes is a significant challenge, often limited by sporadic clinical interactions. This study evaluates a novel digital care model designed to bridge this gap. Objective: To evaluate how an AI-empowered multidisciplinary team (MDT) can improve patient education and glycemic control for complex patients on insulin by understanding their unique needs and barriers. Methods: In this short-term pilot study, 11 patients were supported via a WhatsApp-integrated platform. An AI-empowered MDT leveraged artificial intelligence to analyze patient messages and Continuous Glucose Monitoring (CGM) data. This provided deep insights into patient needs, enabling a \"Health Promoter\" to deliver empathetic, targeted educational solutions and support. Results: The health promoter’s initial motivation assessment was mixed (5 ambivalent, 3 proactive, 3 resistant). The model proved highly active, identifying 138 patient needs and achieving exceptional patient satisfaction (Net Promoter Score of 100). A direct correlation was observed between the number of needs met and a greater reduction in HbA1c (r = -0.29). This enhanced educational support contributed to a clinically significant average HbA1c decrease of 1.43 percentage points. Based on CGM data, the average Glucose Management Indicator (GMI) improved by -0.31%, and Time in Range (TIR) increased by an average of +2.18%. Conclusion: The AI-empowered human care model is an effective strategy for enhancing patient education. By addressing needs identified through AI analysis of communications and CGM data, this scalable, empathetic, and data-driven approach fosters self-management skills, leading to improved clinical outcomes and high patient satisfaction.\n\n\n### Silva ARS1; Monteiro RL1; Castaldoni AC1; Andrade MG1; Ribeiro RS1; Silva DA1\nIntroduction: Managing complex patients with diabetes is a significant challenge, often limited by sporadic clinical interactions. This study evaluates a novel digital care model designed to bridge this gap. Objective: To evaluate how an AI-empowered multidisciplinary team (MDT) can improve patient education and glycemic control for complex patients on insulin by understanding their unique needs and barriers. Methods: In this short-term pilot study, 11 patients were supported via a WhatsApp-integrated platform. An AI-empowered MDT leveraged artificial intelligence to analyze patient messages and Continuous Glucose Monitoring (CGM) data. This provided deep insights into patient needs, enabling a \"Health Promoter\" to deliver empathetic, targeted educational solutions and support. Results: The health promoter’s initial motivation assessment was mixed (5 ambivalent, 3 proactive, 3 resistant). The model proved highly active, identifying 138 patient needs and achieving exceptional patient satisfaction (Net Promoter Score of 100). A direct correlation was observed between the number of needs met and a greater reduction in HbA1c (r = -0.29). This enhanced educational support contributed to a clinically significant average HbA1c decrease of 1.43 percentage points. Based on CGM data, the average Glucose Management Indicator (GMI) improved by -0.31%, and Time in Range (TIR) increased by an average of +2.18%. Conclusion: The AI-empowered human care model is an effective strategy for enhancing patient education. By addressing needs identified through AI analysis of communications and CGM data, this scalable, empathetic, and data-driven approach fosters self-management skills, leading to improved clinical outcomes and high patient satisfaction.\n\n\n### (1) Agile Health Tech, São Bernarndo do Campo, SP, Brasil\nIntroduction: Managing complex patients with diabetes is a significant challenge, often limited by sporadic clinical interactions. This study evaluates a novel digital care model designed to bridge this gap. Objective: To evaluate how an AI-empowered multidisciplinary team (MDT) can improve patient education and glycemic control for complex patients on insulin by understanding their unique needs and barriers. Methods: In this short-term pilot study, 11 patients were supported via a WhatsApp-integrated platform. An AI-empowered MDT leveraged artificial intelligence to analyze patient messages and Continuous Glucose Monitoring (CGM) data. This provided deep insights into patient needs, enabling a \"Health Promoter\" to deliver empathetic, targeted educational solutions and support. Results: The health promoter’s initial motivation assessment was mixed (5 ambivalent, 3 proactive, 3 resistant). The model proved highly active, identifying 138 patient needs and achieving exceptional patient satisfaction (Net Promoter Score of 100). A direct correlation was observed between the number of needs met and a greater reduction in HbA1c (r = -0.29). This enhanced educational support contributed to a clinically significant average HbA1c decrease of 1.43 percentage points. Based on CGM data, the average Glucose Management Indicator (GMI) improved by -0.31%, and Time in Range (TIR) increased by an average of +2.18%. Conclusion: The AI-empowered human care model is an effective strategy for enhancing patient education. By addressing needs identified through AI analysis of communications and CGM data, this scalable, empathetic, and data-driven approach fosters self-management skills, leading to improved clinical outcomes and high patient satisfaction.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—309\nIntroduction: Managing complex patients with diabetes is a significant challenge, often limited by sporadic clinical interactions. This study evaluates a novel digital care model designed to bridge this gap. Objective: To evaluate how an AI-empowered multidisciplinary team (MDT) can improve patient education and glycemic control for complex patients on insulin by understanding their unique needs and barriers. Methods: In this short-term pilot study, 11 patients were supported via a WhatsApp-integrated platform. An AI-empowered MDT leveraged artificial intelligence to analyze patient messages and Continuous Glucose Monitoring (CGM) data. This provided deep insights into patient needs, enabling a \"Health Promoter\" to deliver empathetic, targeted educational solutions and support. Results: The health promoter’s initial motivation assessment was mixed (5 ambivalent, 3 proactive, 3 resistant). The model proved highly active, identifying 138 patient needs and achieving exceptional patient satisfaction (Net Promoter Score of 100). A direct correlation was observed between the number of needs met and a greater reduction in HbA1c (r = -0.29). This enhanced educational support contributed to a clinically significant average HbA1c decrease of 1.43 percentage points. Based on CGM data, the average Glucose Management Indicator (GMI) improved by -0.31%, and Time in Range (TIR) increased by an average of +2.18%. Conclusion: The AI-empowered human care model is an effective strategy for enhancing patient education. By addressing needs identified through AI analysis of communications and CGM data, this scalable, empathetic, and data-driven approach fosters self-management skills, leading to improved clinical outcomes and high patient satisfaction.\n\n\n### PO—310 Analytical Interference of Hydroxyurea on Continuous Glucose Monitoring in a Patient with Type 1 Diabetes and Polycythemia Vera: A Case Report\nCase Presentation: A 60-year-old woman with type 1 diabetes mellitus since age 27 also had polycythemia vera. She had been on continuous subcutaneous insulin infusion since 2014 and switched to an automated insulin delivery (AID) system using an electrochemical glucose sensor in January 2025. After enabling the automated mode, the system persistently indicated hyperglycemia despite normal capillary glucose readings. Upon investigation, the daily use of hydroxyurea 500 mg was identified. Due to high thrombotic risk, the drug could not be discontinued. As sensor overestimation persisted, the automated mode was disabled. The patient now uses the system without automated correction boluses, with manually programmed basal rates. The patient provided a written consent to publish her information. Discussion: Continuous glucose monitoring (CGM) plays a central role in the management of type 1 diabetes, particularly when integrated with automated insulin delivery systems employing electrochemical glucose oxidase sensors. These sensors, however, are susceptible to exogenous interference. Hydroxyurea, commonly used in the treatment of hematologic malignancies such as polycythemia vera, can lead to falsely elevated glucose readings. This occurs due to oxidation of the drug at the sensor electrodes, which increases the electrical current interpreted as elevated glucose levels. The effect typically peaks within hours of administration and may overestimate glucose concentrations by up to 13 mmol/L, in the absence of a true rise in plasma glucose. Such discrepancies compromise the accuracy of AID systems, increasing the risk of insulin overdosing and subsequent hypoglycemia. This analytical interference affects all CGM systems based on glucose oxidase technology. Studies have shown significant mismatches between CGM data and laboratory glucose after hydroxyurea use. Other substances—including paracetamol, high-dose vitamin C, uric acid, gentisic acid, levodopa, methyldopa, and glutathione—may also interfere with sensor accuracy. Sensor susceptibility varies depending on the underlying technology; for example, fluorescent polymer-based sensors, such as implantable devices, tend to be less affected. Final Comments: This case underscores the importance of verifying sensor data with capillary glucose measurements when discrepancies are suspected. Healthcare professionals should be aware of potential drug–sensor interactions and interpret CGM data within the broader clinical context.\n\n\n### Brito GD1; Antoniassi LM1; Morais PM1; Carneiro GIB1; Leitão AM1\nCase Presentation: A 60-year-old woman with type 1 diabetes mellitus since age 27 also had polycythemia vera. She had been on continuous subcutaneous insulin infusion since 2014 and switched to an automated insulin delivery (AID) system using an electrochemical glucose sensor in January 2025. After enabling the automated mode, the system persistently indicated hyperglycemia despite normal capillary glucose readings. Upon investigation, the daily use of hydroxyurea 500 mg was identified. Due to high thrombotic risk, the drug could not be discontinued. As sensor overestimation persisted, the automated mode was disabled. The patient now uses the system without automated correction boluses, with manually programmed basal rates. The patient provided a written consent to publish her information. Discussion: Continuous glucose monitoring (CGM) plays a central role in the management of type 1 diabetes, particularly when integrated with automated insulin delivery systems employing electrochemical glucose oxidase sensors. These sensors, however, are susceptible to exogenous interference. Hydroxyurea, commonly used in the treatment of hematologic malignancies such as polycythemia vera, can lead to falsely elevated glucose readings. This occurs due to oxidation of the drug at the sensor electrodes, which increases the electrical current interpreted as elevated glucose levels. The effect typically peaks within hours of administration and may overestimate glucose concentrations by up to 13 mmol/L, in the absence of a true rise in plasma glucose. Such discrepancies compromise the accuracy of AID systems, increasing the risk of insulin overdosing and subsequent hypoglycemia. This analytical interference affects all CGM systems based on glucose oxidase technology. Studies have shown significant mismatches between CGM data and laboratory glucose after hydroxyurea use. Other substances—including paracetamol, high-dose vitamin C, uric acid, gentisic acid, levodopa, methyldopa, and glutathione—may also interfere with sensor accuracy. Sensor susceptibility varies depending on the underlying technology; for example, fluorescent polymer-based sensors, such as implantable devices, tend to be less affected. Final Comments: This case underscores the importance of verifying sensor data with capillary glucose measurements when discrepancies are suspected. Healthcare professionals should be aware of potential drug–sensor interactions and interpret CGM data within the broader clinical context.\n\n\n### (1) Centro de Diabetes Curitiba, Curitiba, PR, Brasil\nCase Presentation: A 60-year-old woman with type 1 diabetes mellitus since age 27 also had polycythemia vera. She had been on continuous subcutaneous insulin infusion since 2014 and switched to an automated insulin delivery (AID) system using an electrochemical glucose sensor in January 2025. After enabling the automated mode, the system persistently indicated hyperglycemia despite normal capillary glucose readings. Upon investigation, the daily use of hydroxyurea 500 mg was identified. Due to high thrombotic risk, the drug could not be discontinued. As sensor overestimation persisted, the automated mode was disabled. The patient now uses the system without automated correction boluses, with manually programmed basal rates. The patient provided a written consent to publish her information. Discussion: Continuous glucose monitoring (CGM) plays a central role in the management of type 1 diabetes, particularly when integrated with automated insulin delivery systems employing electrochemical glucose oxidase sensors. These sensors, however, are susceptible to exogenous interference. Hydroxyurea, commonly used in the treatment of hematologic malignancies such as polycythemia vera, can lead to falsely elevated glucose readings. This occurs due to oxidation of the drug at the sensor electrodes, which increases the electrical current interpreted as elevated glucose levels. The effect typically peaks within hours of administration and may overestimate glucose concentrations by up to 13 mmol/L, in the absence of a true rise in plasma glucose. Such discrepancies compromise the accuracy of AID systems, increasing the risk of insulin overdosing and subsequent hypoglycemia. This analytical interference affects all CGM systems based on glucose oxidase technology. Studies have shown significant mismatches between CGM data and laboratory glucose after hydroxyurea use. Other substances—including paracetamol, high-dose vitamin C, uric acid, gentisic acid, levodopa, methyldopa, and glutathione—may also interfere with sensor accuracy. Sensor susceptibility varies depending on the underlying technology; for example, fluorescent polymer-based sensors, such as implantable devices, tend to be less affected. Final Comments: This case underscores the importance of verifying sensor data with capillary glucose measurements when discrepancies are suspected. Healthcare professionals should be aware of potential drug–sensor interactions and interpret CGM data within the broader clinical context.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—310\nCase Presentation: A 60-year-old woman with type 1 diabetes mellitus since age 27 also had polycythemia vera. She had been on continuous subcutaneous insulin infusion since 2014 and switched to an automated insulin delivery (AID) system using an electrochemical glucose sensor in January 2025. After enabling the automated mode, the system persistently indicated hyperglycemia despite normal capillary glucose readings. Upon investigation, the daily use of hydroxyurea 500 mg was identified. Due to high thrombotic risk, the drug could not be discontinued. As sensor overestimation persisted, the automated mode was disabled. The patient now uses the system without automated correction boluses, with manually programmed basal rates. The patient provided a written consent to publish her information. Discussion: Continuous glucose monitoring (CGM) plays a central role in the management of type 1 diabetes, particularly when integrated with automated insulin delivery systems employing electrochemical glucose oxidase sensors. These sensors, however, are susceptible to exogenous interference. Hydroxyurea, commonly used in the treatment of hematologic malignancies such as polycythemia vera, can lead to falsely elevated glucose readings. This occurs due to oxidation of the drug at the sensor electrodes, which increases the electrical current interpreted as elevated glucose levels. The effect typically peaks within hours of administration and may overestimate glucose concentrations by up to 13 mmol/L, in the absence of a true rise in plasma glucose. Such discrepancies compromise the accuracy of AID systems, increasing the risk of insulin overdosing and subsequent hypoglycemia. This analytical interference affects all CGM systems based on glucose oxidase technology. Studies have shown significant mismatches between CGM data and laboratory glucose after hydroxyurea use. Other substances—including paracetamol, high-dose vitamin C, uric acid, gentisic acid, levodopa, methyldopa, and glutathione—may also interfere with sensor accuracy. Sensor susceptibility varies depending on the underlying technology; for example, fluorescent polymer-based sensors, such as implantable devices, tend to be less affected. Final Comments: This case underscores the importance of verifying sensor data with capillary glucose measurements when discrepancies are suspected. Healthcare professionals should be aware of potential drug–sensor interactions and interpret CGM data within the broader clinical context.\n\n\n### PO—311 Circumference-based Predictive Model As A Diagnostic Tool For Familial Partial Lipodystrophy Type 2\nIntroduction: Familial Partial Lipodystrophy (FPL) is a rare heterogeneous condition marked by partial loss of adipose tissue. FPL Type 2 (FPLD2), or Dunnigan Syndrome, is the most common monogenic form but remains underdiagnosed. Anthropometric assessment is essential in diagnosis. However, no studies have explored body circumferences for FPL screening, especially with predictive learning models. Objective: To evaluate a predictive model’s performance identifying women with FPLD2 based on body circumferences. Methods: Cross-sectional study at a reference center for lipodystrophy care, tertiary hospital Ceará, Brazil. Weight, height, thoracic, and hip circumferences were measured in adult women (18–59 years) with genetically confirmed FPLD2 and healthy controls matched by age and BMI. Mann–Whitney test compared groups. Ridge-penalized logistic regression used with stratified 10-fold cross-validation repeated 5 times. Predictors standardized within folds to avoid data leakage. Model assessed by AUC, sensitivity, specificity, precision, F1 score. Optimal threshold by Youden index; calibration adjusted by isotonic regression when needed. Results: Sixteen women with FPLD2 and 42 healthy controls were evaluated. The mean age of the FPLD2 group was 47,7 ± 10,8 anos years, and the mean BMI was 29.4 ± 6,7 kg/m2. Compared to the control group (median = 0.88; min = 0.38; max = 0.98), the thoracic-to-hip ratio was significantly higher in women with FPL2 (median = 1.05; min = 0.98; max = 1.18; p = 6.6 × 10⁻⁹). Model discrimination was excellent, with a mean AUC of 0.983 (95% CI: 0.968–0.998) and a mean AUC-PR of 0.970 (95% CI: 0.941–0.999). Mean sensitivity was 0.81 ± 0.101, and specificity was 0.996 ± 0.008. The model showed good calibration (Brier score = 0.050), which was reduced to 0.009 after isotonic recalibration on the full dataset. At the threshold defined by the Youden index, all women with FPL2 were correctly identified, with only one false positive (sensitivity = 1.00; specificity = 0.976). Conclusion: The predictive model, based on the integration of BMI, thoracic-to-hip ratio, and age, demonstrated excellent performance in identifying women with FPLD2. This study presents, for the first time, a potentially simple, accessible, and accurate tool for screening this disease.\n\n\n### Lopes FKM1; Silva Júnior FNB1; Queiroz LL1; Fernandes VO1; Flor AC1; Boris NP1; Araújo JS1; Sales MTA1; Albuquerque NV1; Ramos LTT1; Linard LLP1; Silva SMA1; Costa ST1; Quirino AHA1; Montenegro Junior RM1\nIntroduction: Familial Partial Lipodystrophy (FPL) is a rare heterogeneous condition marked by partial loss of adipose tissue. FPL Type 2 (FPLD2), or Dunnigan Syndrome, is the most common monogenic form but remains underdiagnosed. Anthropometric assessment is essential in diagnosis. However, no studies have explored body circumferences for FPL screening, especially with predictive learning models. Objective: To evaluate a predictive model’s performance identifying women with FPLD2 based on body circumferences. Methods: Cross-sectional study at a reference center for lipodystrophy care, tertiary hospital Ceará, Brazil. Weight, height, thoracic, and hip circumferences were measured in adult women (18–59 years) with genetically confirmed FPLD2 and healthy controls matched by age and BMI. Mann–Whitney test compared groups. Ridge-penalized logistic regression used with stratified 10-fold cross-validation repeated 5 times. Predictors standardized within folds to avoid data leakage. Model assessed by AUC, sensitivity, specificity, precision, F1 score. Optimal threshold by Youden index; calibration adjusted by isotonic regression when needed. Results: Sixteen women with FPLD2 and 42 healthy controls were evaluated. The mean age of the FPLD2 group was 47,7 ± 10,8 anos years, and the mean BMI was 29.4 ± 6,7 kg/m2. Compared to the control group (median = 0.88; min = 0.38; max = 0.98), the thoracic-to-hip ratio was significantly higher in women with FPL2 (median = 1.05; min = 0.98; max = 1.18; p = 6.6 × 10⁻⁹). Model discrimination was excellent, with a mean AUC of 0.983 (95% CI: 0.968–0.998) and a mean AUC-PR of 0.970 (95% CI: 0.941–0.999). Mean sensitivity was 0.81 ± 0.101, and specificity was 0.996 ± 0.008. The model showed good calibration (Brier score = 0.050), which was reduced to 0.009 after isotonic recalibration on the full dataset. At the threshold defined by the Youden index, all women with FPL2 were correctly identified, with only one false positive (sensitivity = 1.00; specificity = 0.976). Conclusion: The predictive model, based on the integration of BMI, thoracic-to-hip ratio, and age, demonstrated excellent performance in identifying women with FPLD2. This study presents, for the first time, a potentially simple, accessible, and accurate tool for screening this disease.\n\n\n### (1) Complexo Hospitalar da Universidade Federal do Ceará/EBSERH, Fortaleza, CE, Brasil\nIntroduction: Familial Partial Lipodystrophy (FPL) is a rare heterogeneous condition marked by partial loss of adipose tissue. FPL Type 2 (FPLD2), or Dunnigan Syndrome, is the most common monogenic form but remains underdiagnosed. Anthropometric assessment is essential in diagnosis. However, no studies have explored body circumferences for FPL screening, especially with predictive learning models. Objective: To evaluate a predictive model’s performance identifying women with FPLD2 based on body circumferences. Methods: Cross-sectional study at a reference center for lipodystrophy care, tertiary hospital Ceará, Brazil. Weight, height, thoracic, and hip circumferences were measured in adult women (18–59 years) with genetically confirmed FPLD2 and healthy controls matched by age and BMI. Mann–Whitney test compared groups. Ridge-penalized logistic regression used with stratified 10-fold cross-validation repeated 5 times. Predictors standardized within folds to avoid data leakage. Model assessed by AUC, sensitivity, specificity, precision, F1 score. Optimal threshold by Youden index; calibration adjusted by isotonic regression when needed. Results: Sixteen women with FPLD2 and 42 healthy controls were evaluated. The mean age of the FPLD2 group was 47,7 ± 10,8 anos years, and the mean BMI was 29.4 ± 6,7 kg/m2. Compared to the control group (median = 0.88; min = 0.38; max = 0.98), the thoracic-to-hip ratio was significantly higher in women with FPL2 (median = 1.05; min = 0.98; max = 1.18; p = 6.6 × 10⁻⁹). Model discrimination was excellent, with a mean AUC of 0.983 (95% CI: 0.968–0.998) and a mean AUC-PR of 0.970 (95% CI: 0.941–0.999). Mean sensitivity was 0.81 ± 0.101, and specificity was 0.996 ± 0.008. The model showed good calibration (Brier score = 0.050), which was reduced to 0.009 after isotonic recalibration on the full dataset. At the threshold defined by the Youden index, all women with FPL2 were correctly identified, with only one false positive (sensitivity = 1.00; specificity = 0.976). Conclusion: The predictive model, based on the integration of BMI, thoracic-to-hip ratio, and age, demonstrated excellent performance in identifying women with FPLD2. This study presents, for the first time, a potentially simple, accessible, and accurate tool for screening this disease.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—311\nIntroduction: Familial Partial Lipodystrophy (FPL) is a rare heterogeneous condition marked by partial loss of adipose tissue. FPL Type 2 (FPLD2), or Dunnigan Syndrome, is the most common monogenic form but remains underdiagnosed. Anthropometric assessment is essential in diagnosis. However, no studies have explored body circumferences for FPL screening, especially with predictive learning models. Objective: To evaluate a predictive model’s performance identifying women with FPLD2 based on body circumferences. Methods: Cross-sectional study at a reference center for lipodystrophy care, tertiary hospital Ceará, Brazil. Weight, height, thoracic, and hip circumferences were measured in adult women (18–59 years) with genetically confirmed FPLD2 and healthy controls matched by age and BMI. Mann–Whitney test compared groups. Ridge-penalized logistic regression used with stratified 10-fold cross-validation repeated 5 times. Predictors standardized within folds to avoid data leakage. Model assessed by AUC, sensitivity, specificity, precision, F1 score. Optimal threshold by Youden index; calibration adjusted by isotonic regression when needed. Results: Sixteen women with FPLD2 and 42 healthy controls were evaluated. The mean age of the FPLD2 group was 47,7 ± 10,8 anos years, and the mean BMI was 29.4 ± 6,7 kg/m2. Compared to the control group (median = 0.88; min = 0.38; max = 0.98), the thoracic-to-hip ratio was significantly higher in women with FPL2 (median = 1.05; min = 0.98; max = 1.18; p = 6.6 × 10⁻⁹). Model discrimination was excellent, with a mean AUC of 0.983 (95% CI: 0.968–0.998) and a mean AUC-PR of 0.970 (95% CI: 0.941–0.999). Mean sensitivity was 0.81 ± 0.101, and specificity was 0.996 ± 0.008. The model showed good calibration (Brier score = 0.050), which was reduced to 0.009 after isotonic recalibration on the full dataset. At the threshold defined by the Youden index, all women with FPL2 were correctly identified, with only one false positive (sensitivity = 1.00; specificity = 0.976). Conclusion: The predictive model, based on the integration of BMI, thoracic-to-hip ratio, and age, demonstrated excellent performance in identifying women with FPLD2. This study presents, for the first time, a potentially simple, accessible, and accurate tool for screening this disease.\n\n\n### PO—312 Comparison Of Two Different Systems Of Subcutaneous Insulin Pump Therapy in the Assessment of Hyperglycemia in Type 1 Diabetes Mellitus Subjects In The Public Health Service\nIntroduction: Adjusting daily insulin doses based on carbohydrate counting and frequent self-monitoring of blood glucose levels is hard and stressful for both patients with Type 1 Diabetes Mellitus (T1D) and their caregivers. Many patients, across all age groups, fail to achieve glycemic targets (only 17% of young individuals and 21% of adults), potentially resulting in the development of disease complications. Improved technology of Subcutaneous insulin pump therapy (SIPT) has been capable of optimizing glycemic control in patients with T1D. Time in range (TIR), percentage of hypoglycemia (%Hypo), and the Glucose Management Indicator (GMI) are relevant parameters for evaluating this technology effectiveness. Objective: Comparison of two different subcutaneous insulin infusion systems: non-automated (Minimed ® 640G) versus Hybrid closed loop insulin pump therapy (Minimed ® 780G) in the university outpatient service ( public health system). Methods: This was a retrospective observational study conducted at the Diabetes and Endocrinology Center using data from the CareLink™ platform from May to July 2025. Group 1 (640G) included 24 patients (age 15±10, Time of Diabetes isease- TDD 14±9) and group 2 (780G) included 41 patients (age 18±12 and TDD 13±2). The following were analyzed: percentage of time in range (70–180 mg/dL), time above target (>180mg/dL) and below target (<70mg/dL), GMI, and CV. Pearson’s correlation coefficient was applied to assess the association between time in target and GMI. Results: The patients were compared regarding age and TDD. Group 1 had a mean of 51% time in range, 46% above target, 3% below target, and an GMI of 7.7%. Group 2 had 71% time on target, 25% above target, 4% below target, and an IGG of 6.9%. A negative correlation was observed between TIR and GMI (r = –0.95), suggesting an association between longer time in range and better glycemic control. Conclusion: Hybrid closed loop insulin pump therapy system demonstrated superior performance to the non-automated system, confirming the positive impact of advanced technology in pumps, even when treating an unwealthy population with Type 1 Diabetes in the public health service, giving potential impact on their prognosis.\n\n\n### Sallorenzo C1; Oliveira DC1; Gabbay MAL1; Dib SA1\nIntroduction: Adjusting daily insulin doses based on carbohydrate counting and frequent self-monitoring of blood glucose levels is hard and stressful for both patients with Type 1 Diabetes Mellitus (T1D) and their caregivers. Many patients, across all age groups, fail to achieve glycemic targets (only 17% of young individuals and 21% of adults), potentially resulting in the development of disease complications. Improved technology of Subcutaneous insulin pump therapy (SIPT) has been capable of optimizing glycemic control in patients with T1D. Time in range (TIR), percentage of hypoglycemia (%Hypo), and the Glucose Management Indicator (GMI) are relevant parameters for evaluating this technology effectiveness. Objective: Comparison of two different subcutaneous insulin infusion systems: non-automated (Minimed ® 640G) versus Hybrid closed loop insulin pump therapy (Minimed ® 780G) in the university outpatient service ( public health system). Methods: This was a retrospective observational study conducted at the Diabetes and Endocrinology Center using data from the CareLink™ platform from May to July 2025. Group 1 (640G) included 24 patients (age 15±10, Time of Diabetes isease- TDD 14±9) and group 2 (780G) included 41 patients (age 18±12 and TDD 13±2). The following were analyzed: percentage of time in range (70–180 mg/dL), time above target (>180mg/dL) and below target (<70mg/dL), GMI, and CV. Pearson’s correlation coefficient was applied to assess the association between time in target and GMI. Results: The patients were compared regarding age and TDD. Group 1 had a mean of 51% time in range, 46% above target, 3% below target, and an GMI of 7.7%. Group 2 had 71% time on target, 25% above target, 4% below target, and an IGG of 6.9%. A negative correlation was observed between TIR and GMI (r = –0.95), suggesting an association between longer time in range and better glycemic control. Conclusion: Hybrid closed loop insulin pump therapy system demonstrated superior performance to the non-automated system, confirming the positive impact of advanced technology in pumps, even when treating an unwealthy population with Type 1 Diabetes in the public health service, giving potential impact on their prognosis.\n\n\n### (1) Universidade Federal de São Paulo, Unifesp, Sao Paulo, SP, Brasil\nIntroduction: Adjusting daily insulin doses based on carbohydrate counting and frequent self-monitoring of blood glucose levels is hard and stressful for both patients with Type 1 Diabetes Mellitus (T1D) and their caregivers. Many patients, across all age groups, fail to achieve glycemic targets (only 17% of young individuals and 21% of adults), potentially resulting in the development of disease complications. Improved technology of Subcutaneous insulin pump therapy (SIPT) has been capable of optimizing glycemic control in patients with T1D. Time in range (TIR), percentage of hypoglycemia (%Hypo), and the Glucose Management Indicator (GMI) are relevant parameters for evaluating this technology effectiveness. Objective: Comparison of two different subcutaneous insulin infusion systems: non-automated (Minimed ® 640G) versus Hybrid closed loop insulin pump therapy (Minimed ® 780G) in the university outpatient service ( public health system). Methods: This was a retrospective observational study conducted at the Diabetes and Endocrinology Center using data from the CareLink™ platform from May to July 2025. Group 1 (640G) included 24 patients (age 15±10, Time of Diabetes isease- TDD 14±9) and group 2 (780G) included 41 patients (age 18±12 and TDD 13±2). The following were analyzed: percentage of time in range (70–180 mg/dL), time above target (>180mg/dL) and below target (<70mg/dL), GMI, and CV. Pearson’s correlation coefficient was applied to assess the association between time in target and GMI. Results: The patients were compared regarding age and TDD. Group 1 had a mean of 51% time in range, 46% above target, 3% below target, and an GMI of 7.7%. Group 2 had 71% time on target, 25% above target, 4% below target, and an IGG of 6.9%. A negative correlation was observed between TIR and GMI (r = –0.95), suggesting an association between longer time in range and better glycemic control. Conclusion: Hybrid closed loop insulin pump therapy system demonstrated superior performance to the non-automated system, confirming the positive impact of advanced technology in pumps, even when treating an unwealthy population with Type 1 Diabetes in the public health service, giving potential impact on their prognosis.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—312\nIntroduction: Adjusting daily insulin doses based on carbohydrate counting and frequent self-monitoring of blood glucose levels is hard and stressful for both patients with Type 1 Diabetes Mellitus (T1D) and their caregivers. Many patients, across all age groups, fail to achieve glycemic targets (only 17% of young individuals and 21% of adults), potentially resulting in the development of disease complications. Improved technology of Subcutaneous insulin pump therapy (SIPT) has been capable of optimizing glycemic control in patients with T1D. Time in range (TIR), percentage of hypoglycemia (%Hypo), and the Glucose Management Indicator (GMI) are relevant parameters for evaluating this technology effectiveness. Objective: Comparison of two different subcutaneous insulin infusion systems: non-automated (Minimed ® 640G) versus Hybrid closed loop insulin pump therapy (Minimed ® 780G) in the university outpatient service ( public health system). Methods: This was a retrospective observational study conducted at the Diabetes and Endocrinology Center using data from the CareLink™ platform from May to July 2025. Group 1 (640G) included 24 patients (age 15±10, Time of Diabetes isease- TDD 14±9) and group 2 (780G) included 41 patients (age 18±12 and TDD 13±2). The following were analyzed: percentage of time in range (70–180 mg/dL), time above target (>180mg/dL) and below target (<70mg/dL), GMI, and CV. Pearson’s correlation coefficient was applied to assess the association between time in target and GMI. Results: The patients were compared regarding age and TDD. Group 1 had a mean of 51% time in range, 46% above target, 3% below target, and an GMI of 7.7%. Group 2 had 71% time on target, 25% above target, 4% below target, and an IGG of 6.9%. A negative correlation was observed between TIR and GMI (r = –0.95), suggesting an association between longer time in range and better glycemic control. Conclusion: Hybrid closed loop insulin pump therapy system demonstrated superior performance to the non-automated system, confirming the positive impact of advanced technology in pumps, even when treating an unwealthy population with Type 1 Diabetes in the public health service, giving potential impact on their prognosis.\n\n\n### PO—313 Continuous Glucose Monitoring Use Lowers Diabetes Distress and Improves Glycemic Outcomes in Adults with Type 1 Diabetes: A Six-Month Prospective Study in a Resource Limited Setting\nIntroduction: Type 1 diabetes (T1D) management remains challenging in resource-limited settings. Diabetes distress is commonly associated with suboptimal glycemia and lower quality of life. Continuous glucose monitoring (CGM) may help address these challenges. Objective: To evaluate the impact of CGM on glycemic outcomes and diabetes distress among adults with T1D. Methods: In this 6-month longitudinal study, 35 adults with T1D from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data were collected through interviews and medical record review. Diabetes distress was assessed at baseline and at study completion using the validated Brazilian T1-DDS (1–6 Likert scale, higher scores indicating greater distress). Results: Participants had a mean age of 30.3±11.1 years, were predominantly female (61.1%), of mixed-race (55.5%), with low income (77.7% earning 1–2 minimum wages) and mean diabetes duration of 17.4±8.1 years. All used basal-bolus analog insulin (0.75±0.26 IU/kg/day; 44.3±12.8% basal). Baseline HbA1c was 9.1±1.8%. Glycemic outcomes improved sharply after one month of CGM use: glucose management indicator 7.6 ± 1.4% and time in range 50.9±18.8%. CGM metrics remained stable over the follow-up. Baseline T1-DDS score was 2.9±0.9, indicating moderate distress. Highest scores were “eating distress” (3.6±1.3), “powerlessness” (3.5±1.2) and “management” (3.2±1.1), whereas “physician distress” showed the lowest levels (1.3±0.4). Baseline diabetes distress correlated with self-reported anxiety (PR=1.45, p=0.003), depressive symptoms (PR=1.43, p<0.001), and HbA1C≥7% (PR=1.43, p<0.001), but not with education level, family income, race and diabetes duration. Global T1-DDS score dropped significantly by 18.9% (p<0.001), with the steepest declines seen in “management distress” (−28.5%; p<0.001) and “social/family-related distress” (−23.6%; p=0.004) domains. Significant improvements were also seen in “eating distress” (−19.4%; p<0.001), “powerlessness” (−19.0%; p<0.001) and “hypoglycemia distress” (3.1±1.3 to 2.5±1.1; −17.9%; p=0.007). “Negative social perception” (2.5±1.3 to 2.2±1.3; -12.2%; p=0.06) and “physician distress” (+0.8%; p=0.886) remained stable Conclusion: CGM reduced diabetes distress in adults with T1D, particularly management-related distress, with improvements across other domains. These psychosocial benefits, along with early glycemic gains, highlight CGM potential value in public healthcare.\n\n\n### Monteiro NC1; Lima LPS2; Freitas JPA2; Machado MLP3; Gama FG4; Silva VDS4; Martins LM2; Silva DG4; Varela MG3; Trevisan TL5; Silveira MSVM6; Santana NO1\nIntroduction: Type 1 diabetes (T1D) management remains challenging in resource-limited settings. Diabetes distress is commonly associated with suboptimal glycemia and lower quality of life. Continuous glucose monitoring (CGM) may help address these challenges. Objective: To evaluate the impact of CGM on glycemic outcomes and diabetes distress among adults with T1D. Methods: In this 6-month longitudinal study, 35 adults with T1D from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data were collected through interviews and medical record review. Diabetes distress was assessed at baseline and at study completion using the validated Brazilian T1-DDS (1–6 Likert scale, higher scores indicating greater distress). Results: Participants had a mean age of 30.3±11.1 years, were predominantly female (61.1%), of mixed-race (55.5%), with low income (77.7% earning 1–2 minimum wages) and mean diabetes duration of 17.4±8.1 years. All used basal-bolus analog insulin (0.75±0.26 IU/kg/day; 44.3±12.8% basal). Baseline HbA1c was 9.1±1.8%. Glycemic outcomes improved sharply after one month of CGM use: glucose management indicator 7.6 ± 1.4% and time in range 50.9±18.8%. CGM metrics remained stable over the follow-up. Baseline T1-DDS score was 2.9±0.9, indicating moderate distress. Highest scores were “eating distress” (3.6±1.3), “powerlessness” (3.5±1.2) and “management” (3.2±1.1), whereas “physician distress” showed the lowest levels (1.3±0.4). Baseline diabetes distress correlated with self-reported anxiety (PR=1.45, p=0.003), depressive symptoms (PR=1.43, p<0.001), and HbA1C≥7% (PR=1.43, p<0.001), but not with education level, family income, race and diabetes duration. Global T1-DDS score dropped significantly by 18.9% (p<0.001), with the steepest declines seen in “management distress” (−28.5%; p<0.001) and “social/family-related distress” (−23.6%; p=0.004) domains. Significant improvements were also seen in “eating distress” (−19.4%; p<0.001), “powerlessness” (−19.0%; p<0.001) and “hypoglycemia distress” (3.1±1.3 to 2.5±1.1; −17.9%; p=0.007). “Negative social perception” (2.5±1.3 to 2.2±1.3; -12.2%; p=0.06) and “physician distress” (+0.8%; p=0.886) remained stable Conclusion: CGM reduced diabetes distress in adults with T1D, particularly management-related distress, with improvements across other domains. These psychosocial benefits, along with early glycemic gains, highlight CGM potential value in public healthcare.\n\n\n### (1) Post-graduate Program in Health Sciences, Federal University of Sergipe, Aracaju, SE, Brasil; (2) Department of Medicine, Federal University of Sergipe, Aracaju, SE, Brasil; (3) Private practice, Aracaju, SE, Brasil; (4) Post-graduate Program in Nutrition Science, Federal University of Sergipe, Aracaju, SE, Brasil; (5) Private practice, Itajaí, SC, Brasil; (6) Instituto de Saúde mental e Diabetes, São Paulo, SP, Brasil\nIntroduction: Type 1 diabetes (T1D) management remains challenging in resource-limited settings. Diabetes distress is commonly associated with suboptimal glycemia and lower quality of life. Continuous glucose monitoring (CGM) may help address these challenges. Objective: To evaluate the impact of CGM on glycemic outcomes and diabetes distress among adults with T1D. Methods: In this 6-month longitudinal study, 35 adults with T1D from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data were collected through interviews and medical record review. Diabetes distress was assessed at baseline and at study completion using the validated Brazilian T1-DDS (1–6 Likert scale, higher scores indicating greater distress). Results: Participants had a mean age of 30.3±11.1 years, were predominantly female (61.1%), of mixed-race (55.5%), with low income (77.7% earning 1–2 minimum wages) and mean diabetes duration of 17.4±8.1 years. All used basal-bolus analog insulin (0.75±0.26 IU/kg/day; 44.3±12.8% basal). Baseline HbA1c was 9.1±1.8%. Glycemic outcomes improved sharply after one month of CGM use: glucose management indicator 7.6 ± 1.4% and time in range 50.9±18.8%. CGM metrics remained stable over the follow-up. Baseline T1-DDS score was 2.9±0.9, indicating moderate distress. Highest scores were “eating distress” (3.6±1.3), “powerlessness” (3.5±1.2) and “management” (3.2±1.1), whereas “physician distress” showed the lowest levels (1.3±0.4). Baseline diabetes distress correlated with self-reported anxiety (PR=1.45, p=0.003), depressive symptoms (PR=1.43, p<0.001), and HbA1C≥7% (PR=1.43, p<0.001), but not with education level, family income, race and diabetes duration. Global T1-DDS score dropped significantly by 18.9% (p<0.001), with the steepest declines seen in “management distress” (−28.5%; p<0.001) and “social/family-related distress” (−23.6%; p=0.004) domains. Significant improvements were also seen in “eating distress” (−19.4%; p<0.001), “powerlessness” (−19.0%; p<0.001) and “hypoglycemia distress” (3.1±1.3 to 2.5±1.1; −17.9%; p=0.007). “Negative social perception” (2.5±1.3 to 2.2±1.3; -12.2%; p=0.06) and “physician distress” (+0.8%; p=0.886) remained stable Conclusion: CGM reduced diabetes distress in adults with T1D, particularly management-related distress, with improvements across other domains. These psychosocial benefits, along with early glycemic gains, highlight CGM potential value in public healthcare.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—313\nIntroduction: Type 1 diabetes (T1D) management remains challenging in resource-limited settings. Diabetes distress is commonly associated with suboptimal glycemia and lower quality of life. Continuous glucose monitoring (CGM) may help address these challenges. Objective: To evaluate the impact of CGM on glycemic outcomes and diabetes distress among adults with T1D. Methods: In this 6-month longitudinal study, 35 adults with T1D from a public endocrinology center in Sergipe, Brazil, initiated CGM and attended monthly follow-up visits. Data were collected through interviews and medical record review. Diabetes distress was assessed at baseline and at study completion using the validated Brazilian T1-DDS (1–6 Likert scale, higher scores indicating greater distress). Results: Participants had a mean age of 30.3±11.1 years, were predominantly female (61.1%), of mixed-race (55.5%), with low income (77.7% earning 1–2 minimum wages) and mean diabetes duration of 17.4±8.1 years. All used basal-bolus analog insulin (0.75±0.26 IU/kg/day; 44.3±12.8% basal). Baseline HbA1c was 9.1±1.8%. Glycemic outcomes improved sharply after one month of CGM use: glucose management indicator 7.6 ± 1.4% and time in range 50.9±18.8%. CGM metrics remained stable over the follow-up. Baseline T1-DDS score was 2.9±0.9, indicating moderate distress. Highest scores were “eating distress” (3.6±1.3), “powerlessness” (3.5±1.2) and “management” (3.2±1.1), whereas “physician distress” showed the lowest levels (1.3±0.4). Baseline diabetes distress correlated with self-reported anxiety (PR=1.45, p=0.003), depressive symptoms (PR=1.43, p<0.001), and HbA1C≥7% (PR=1.43, p<0.001), but not with education level, family income, race and diabetes duration. Global T1-DDS score dropped significantly by 18.9% (p<0.001), with the steepest declines seen in “management distress” (−28.5%; p<0.001) and “social/family-related distress” (−23.6%; p=0.004) domains. Significant improvements were also seen in “eating distress” (−19.4%; p<0.001), “powerlessness” (−19.0%; p<0.001) and “hypoglycemia distress” (3.1±1.3 to 2.5±1.1; −17.9%; p=0.007). “Negative social perception” (2.5±1.3 to 2.2±1.3; -12.2%; p=0.06) and “physician distress” (+0.8%; p=0.886) remained stable Conclusion: CGM reduced diabetes distress in adults with T1D, particularly management-related distress, with improvements across other domains. These psychosocial benefits, along with early glycemic gains, highlight CGM potential value in public healthcare.\n\n\n### PO—314 Digital Health in Primary Care: Care for Diabetic Patients\nIntroduction: Diabetes mellitus (DM) is one of the most prevalent and challenging chronic conditions in Brazil, requiring continuous and multidisciplinary care. Its complications, such as cardiovascular diseases, increase both morbidity and mortality as well as healthcare costs. Primary health care (PHC) plays a central role in organizing health care by managing chronic conditions and ensuring longitudinal follow-up. In this context, the incorporation of digital technologies has strengthened PHC by expanding access to specialists and improving clinical management, especially in regions with a shortage of healthcare professionals. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Methods: This is a cross-sectional descriptive study based on the analysis of endocrinology teleinterconsultation data from the TeleNordeste project. Consultations were conducted with the patient present at a Basic Health Unit, accompanied by their primary care physician, and connected to a specialist via videoconference. Clinical variables associated with diabetes-related teleinterconsultations were analyzed. Results: A total of 1,707 endocrinology teleinterconsultations were conducted during the study period, of which 956 (56%) involved a diagnosis of diabetes mellitus. Among these, 898 (94%) were related to type 2 diabetes mellitus (T2DM), 51 (5.3%) to type 1 diabetes (T1DM), and 7 (0.7%) to gestational diabetes. Among the T2DM-related consultations, 447 (49.7%) involved insulin therapy. Additionally, 630 (70.1%) of T2DM-related consultations included comorbid systemic arterial hypertension, and 164 (18.2%) reported a history of cardiovascular events. Only 126 (13.1%) of all diabetes-related consultations recorded glycated hemoglobin (HbA1c) levels ≤7%. Conclusion: The profile of the evaluated teleconsultations predominantly revealed associated chronic conditions and unsatisfactory metabolic control, highlighting the clinical complexity faced in PHC. Telemedicine is an effective tool for expanding access to specialists and enhancing diabetes management. By fostering shared and continuous care, this model strengthens the healthcare network and aims to contribute to more efficient chronic disease management within the Brazilian public health system, particularly in diabetes care.\n\n\n### Rollin G1; Laguna GO1; Moreira MCT1; Marobin R1; Almeida TS1; Costenaro F1; Silva CL1; Haygert C1; Cabral FC1; Chagas MEV1\nIntroduction: Diabetes mellitus (DM) is one of the most prevalent and challenging chronic conditions in Brazil, requiring continuous and multidisciplinary care. Its complications, such as cardiovascular diseases, increase both morbidity and mortality as well as healthcare costs. Primary health care (PHC) plays a central role in organizing health care by managing chronic conditions and ensuring longitudinal follow-up. In this context, the incorporation of digital technologies has strengthened PHC by expanding access to specialists and improving clinical management, especially in regions with a shortage of healthcare professionals. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Methods: This is a cross-sectional descriptive study based on the analysis of endocrinology teleinterconsultation data from the TeleNordeste project. Consultations were conducted with the patient present at a Basic Health Unit, accompanied by their primary care physician, and connected to a specialist via videoconference. Clinical variables associated with diabetes-related teleinterconsultations were analyzed. Results: A total of 1,707 endocrinology teleinterconsultations were conducted during the study period, of which 956 (56%) involved a diagnosis of diabetes mellitus. Among these, 898 (94%) were related to type 2 diabetes mellitus (T2DM), 51 (5.3%) to type 1 diabetes (T1DM), and 7 (0.7%) to gestational diabetes. Among the T2DM-related consultations, 447 (49.7%) involved insulin therapy. Additionally, 630 (70.1%) of T2DM-related consultations included comorbid systemic arterial hypertension, and 164 (18.2%) reported a history of cardiovascular events. Only 126 (13.1%) of all diabetes-related consultations recorded glycated hemoglobin (HbA1c) levels ≤7%. Conclusion: The profile of the evaluated teleconsultations predominantly revealed associated chronic conditions and unsatisfactory metabolic control, highlighting the clinical complexity faced in PHC. Telemedicine is an effective tool for expanding access to specialists and enhancing diabetes management. By fostering shared and continuous care, this model strengthens the healthcare network and aims to contribute to more efficient chronic disease management within the Brazilian public health system, particularly in diabetes care.\n\n\n### (1) Hospital Moinhos de Vento, Porto Alegre, RS, Brasil\nIntroduction: Diabetes mellitus (DM) is one of the most prevalent and challenging chronic conditions in Brazil, requiring continuous and multidisciplinary care. Its complications, such as cardiovascular diseases, increase both morbidity and mortality as well as healthcare costs. Primary health care (PHC) plays a central role in organizing health care by managing chronic conditions and ensuring longitudinal follow-up. In this context, the incorporation of digital technologies has strengthened PHC by expanding access to specialists and improving clinical management, especially in regions with a shortage of healthcare professionals. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Methods: This is a cross-sectional descriptive study based on the analysis of endocrinology teleinterconsultation data from the TeleNordeste project. Consultations were conducted with the patient present at a Basic Health Unit, accompanied by their primary care physician, and connected to a specialist via videoconference. Clinical variables associated with diabetes-related teleinterconsultations were analyzed. Results: A total of 1,707 endocrinology teleinterconsultations were conducted during the study period, of which 956 (56%) involved a diagnosis of diabetes mellitus. Among these, 898 (94%) were related to type 2 diabetes mellitus (T2DM), 51 (5.3%) to type 1 diabetes (T1DM), and 7 (0.7%) to gestational diabetes. Among the T2DM-related consultations, 447 (49.7%) involved insulin therapy. Additionally, 630 (70.1%) of T2DM-related consultations included comorbid systemic arterial hypertension, and 164 (18.2%) reported a history of cardiovascular events. Only 126 (13.1%) of all diabetes-related consultations recorded glycated hemoglobin (HbA1c) levels ≤7%. Conclusion: The profile of the evaluated teleconsultations predominantly revealed associated chronic conditions and unsatisfactory metabolic control, highlighting the clinical complexity faced in PHC. Telemedicine is an effective tool for expanding access to specialists and enhancing diabetes management. By fostering shared and continuous care, this model strengthens the healthcare network and aims to contribute to more efficient chronic disease management within the Brazilian public health system, particularly in diabetes care.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—314\nIntroduction: Diabetes mellitus (DM) is one of the most prevalent and challenging chronic conditions in Brazil, requiring continuous and multidisciplinary care. Its complications, such as cardiovascular diseases, increase both morbidity and mortality as well as healthcare costs. Primary health care (PHC) plays a central role in organizing health care by managing chronic conditions and ensuring longitudinal follow-up. In this context, the incorporation of digital technologies has strengthened PHC by expanding access to specialists and improving clinical management, especially in regions with a shortage of healthcare professionals. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Objective: To describe the clinical characteristics of diabetes-related teleinterconsultations conducted through the TeleNordeste project in 2024. Methods: This is a cross-sectional descriptive study based on the analysis of endocrinology teleinterconsultation data from the TeleNordeste project. Consultations were conducted with the patient present at a Basic Health Unit, accompanied by their primary care physician, and connected to a specialist via videoconference. Clinical variables associated with diabetes-related teleinterconsultations were analyzed. Results: A total of 1,707 endocrinology teleinterconsultations were conducted during the study period, of which 956 (56%) involved a diagnosis of diabetes mellitus. Among these, 898 (94%) were related to type 2 diabetes mellitus (T2DM), 51 (5.3%) to type 1 diabetes (T1DM), and 7 (0.7%) to gestational diabetes. Among the T2DM-related consultations, 447 (49.7%) involved insulin therapy. Additionally, 630 (70.1%) of T2DM-related consultations included comorbid systemic arterial hypertension, and 164 (18.2%) reported a history of cardiovascular events. Only 126 (13.1%) of all diabetes-related consultations recorded glycated hemoglobin (HbA1c) levels ≤7%. Conclusion: The profile of the evaluated teleconsultations predominantly revealed associated chronic conditions and unsatisfactory metabolic control, highlighting the clinical complexity faced in PHC. Telemedicine is an effective tool for expanding access to specialists and enhancing diabetes management. By fostering shared and continuous care, this model strengthens the healthcare network and aims to contribute to more efficient chronic disease management within the Brazilian public health system, particularly in diabetes care.\n\n\n### PO—315 Evaluation Of Continuous Subcutaneous Insulin Infusion Systems In A Tertiary- Level Public Health System Diabetes Mellitus Clinic\nIntroduction: The use of technologies in diabetes treatment has been increasing worldwide. However, in the Brazilian Unified Health System (SUS), their use is still limited due to the population’s overall socioeconomic and cultural level and the need for a specialized interdisciplinary approach. The use of the various resources provided by these technologies aims to go beyond glycemic control, promoting well-being, autonomy, and quality of life for individuals living with diabetes. Objective: To evaluate glycemic control using different levels of technology for continuous subcutaneous insulin infusion (CSII) in patients with type 1 diabetes (T1D) from a tertiary-level public healthcare service Methods: Observational study with database analysis from the diabetes technology clinic. Inclusion criteria: use of a continuous subcutaneous insulin infusion (CSII) system and active follow-up in the clinic. Exclusion criteria: no clinic visit in 2025 or discontinuation of CSII by February 2025. Results: A total of 209 patients with T1D were included (56% women), with a mean age of 23 years (SD 12.2), diagnosis at 6.4 years (SD 5.23), and initiation of pump therapy at 15 years (SD 10.74), with a mean disease duration of 17 years (SD 9.45). The main indications for CSII were: hypoglycemia (32%), glycemic variability (11.9%), poor control with intensive insulin therapy (7.6%), pregnancy (5%), low insulin requirement (<10 IU/day – 5%), others (13%), and no information (19%). Mean HbA1c was 8.3% (SD 3.77%), mean daily insulin dose 0.8 IU/kg, and basal/bolus ratio 33%/67%. Time in range (70–180 mg/dl) was 51% (SD 17.29%), time above range 42% (SD 17.96%), and time below range 7% (SD 5.58%). Chronic complications were absent in 70% of patients; 4% had isolated retinopathy, 9% had isolated neuropathy, and 12% had ≥2 complications. Regarding CSII type, 158 patients (75%) used non-automated systems (130 without sensor – Spirit Combo® or Medtronic® 640 – and 28 with sensor), and 51 patients (24.4%) used automated systems (46 Minimed® 780G; 5 Android APS). Glycemic control data for the studied T1D patients are summarized in Figure 1 (attached). Conclusion: The combination of automated CSII systems with a multidisciplinary approach contributes to better glycemic control outcomes, even in a socioeconomically and culturally heterogeneous population\n\n\n### Oliveira DC1; Fujimoto VG1; Teodoro VS1; Santucci RA1; Gabbay MAL1; Dib SA1\nIntroduction: The use of technologies in diabetes treatment has been increasing worldwide. However, in the Brazilian Unified Health System (SUS), their use is still limited due to the population’s overall socioeconomic and cultural level and the need for a specialized interdisciplinary approach. The use of the various resources provided by these technologies aims to go beyond glycemic control, promoting well-being, autonomy, and quality of life for individuals living with diabetes. Objective: To evaluate glycemic control using different levels of technology for continuous subcutaneous insulin infusion (CSII) in patients with type 1 diabetes (T1D) from a tertiary-level public healthcare service Methods: Observational study with database analysis from the diabetes technology clinic. Inclusion criteria: use of a continuous subcutaneous insulin infusion (CSII) system and active follow-up in the clinic. Exclusion criteria: no clinic visit in 2025 or discontinuation of CSII by February 2025. Results: A total of 209 patients with T1D were included (56% women), with a mean age of 23 years (SD 12.2), diagnosis at 6.4 years (SD 5.23), and initiation of pump therapy at 15 years (SD 10.74), with a mean disease duration of 17 years (SD 9.45). The main indications for CSII were: hypoglycemia (32%), glycemic variability (11.9%), poor control with intensive insulin therapy (7.6%), pregnancy (5%), low insulin requirement (<10 IU/day – 5%), others (13%), and no information (19%). Mean HbA1c was 8.3% (SD 3.77%), mean daily insulin dose 0.8 IU/kg, and basal/bolus ratio 33%/67%. Time in range (70–180 mg/dl) was 51% (SD 17.29%), time above range 42% (SD 17.96%), and time below range 7% (SD 5.58%). Chronic complications were absent in 70% of patients; 4% had isolated retinopathy, 9% had isolated neuropathy, and 12% had ≥2 complications. Regarding CSII type, 158 patients (75%) used non-automated systems (130 without sensor – Spirit Combo® or Medtronic® 640 – and 28 with sensor), and 51 patients (24.4%) used automated systems (46 Minimed® 780G; 5 Android APS). Glycemic control data for the studied T1D patients are summarized in Figure 1 (attached). Conclusion: The combination of automated CSII systems with a multidisciplinary approach contributes to better glycemic control outcomes, even in a socioeconomically and culturally heterogeneous population\n\n\n### (1) Universidade Federal de São Paulo, São Paulo, SP, Brasil\nIntroduction: The use of technologies in diabetes treatment has been increasing worldwide. However, in the Brazilian Unified Health System (SUS), their use is still limited due to the population’s overall socioeconomic and cultural level and the need for a specialized interdisciplinary approach. The use of the various resources provided by these technologies aims to go beyond glycemic control, promoting well-being, autonomy, and quality of life for individuals living with diabetes. Objective: To evaluate glycemic control using different levels of technology for continuous subcutaneous insulin infusion (CSII) in patients with type 1 diabetes (T1D) from a tertiary-level public healthcare service Methods: Observational study with database analysis from the diabetes technology clinic. Inclusion criteria: use of a continuous subcutaneous insulin infusion (CSII) system and active follow-up in the clinic. Exclusion criteria: no clinic visit in 2025 or discontinuation of CSII by February 2025. Results: A total of 209 patients with T1D were included (56% women), with a mean age of 23 years (SD 12.2), diagnosis at 6.4 years (SD 5.23), and initiation of pump therapy at 15 years (SD 10.74), with a mean disease duration of 17 years (SD 9.45). The main indications for CSII were: hypoglycemia (32%), glycemic variability (11.9%), poor control with intensive insulin therapy (7.6%), pregnancy (5%), low insulin requirement (<10 IU/day – 5%), others (13%), and no information (19%). Mean HbA1c was 8.3% (SD 3.77%), mean daily insulin dose 0.8 IU/kg, and basal/bolus ratio 33%/67%. Time in range (70–180 mg/dl) was 51% (SD 17.29%), time above range 42% (SD 17.96%), and time below range 7% (SD 5.58%). Chronic complications were absent in 70% of patients; 4% had isolated retinopathy, 9% had isolated neuropathy, and 12% had ≥2 complications. Regarding CSII type, 158 patients (75%) used non-automated systems (130 without sensor – Spirit Combo® or Medtronic® 640 – and 28 with sensor), and 51 patients (24.4%) used automated systems (46 Minimed® 780G; 5 Android APS). Glycemic control data for the studied T1D patients are summarized in Figure 1 (attached). Conclusion: The combination of automated CSII systems with a multidisciplinary approach contributes to better glycemic control outcomes, even in a socioeconomically and culturally heterogeneous population\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—315\nIntroduction: The use of technologies in diabetes treatment has been increasing worldwide. However, in the Brazilian Unified Health System (SUS), their use is still limited due to the population’s overall socioeconomic and cultural level and the need for a specialized interdisciplinary approach. The use of the various resources provided by these technologies aims to go beyond glycemic control, promoting well-being, autonomy, and quality of life for individuals living with diabetes. Objective: To evaluate glycemic control using different levels of technology for continuous subcutaneous insulin infusion (CSII) in patients with type 1 diabetes (T1D) from a tertiary-level public healthcare service Methods: Observational study with database analysis from the diabetes technology clinic. Inclusion criteria: use of a continuous subcutaneous insulin infusion (CSII) system and active follow-up in the clinic. Exclusion criteria: no clinic visit in 2025 or discontinuation of CSII by February 2025. Results: A total of 209 patients with T1D were included (56% women), with a mean age of 23 years (SD 12.2), diagnosis at 6.4 years (SD 5.23), and initiation of pump therapy at 15 years (SD 10.74), with a mean disease duration of 17 years (SD 9.45). The main indications for CSII were: hypoglycemia (32%), glycemic variability (11.9%), poor control with intensive insulin therapy (7.6%), pregnancy (5%), low insulin requirement (<10 IU/day – 5%), others (13%), and no information (19%). Mean HbA1c was 8.3% (SD 3.77%), mean daily insulin dose 0.8 IU/kg, and basal/bolus ratio 33%/67%. Time in range (70–180 mg/dl) was 51% (SD 17.29%), time above range 42% (SD 17.96%), and time below range 7% (SD 5.58%). Chronic complications were absent in 70% of patients; 4% had isolated retinopathy, 9% had isolated neuropathy, and 12% had ≥2 complications. Regarding CSII type, 158 patients (75%) used non-automated systems (130 without sensor – Spirit Combo® or Medtronic® 640 – and 28 with sensor), and 51 patients (24.4%) used automated systems (46 Minimed® 780G; 5 Android APS). Glycemic control data for the studied T1D patients are summarized in Figure 1 (attached). Conclusion: The combination of automated CSII systems with a multidisciplinary approach contributes to better glycemic control outcomes, even in a socioeconomically and culturally heterogeneous population\n\n\n### PO—316 Gastroparesis And Type 1 Diabetes: Overcoming Glycemic Instability With A Hybrid Closed-Loop Continuous Subcutaneous Insulin Infusion System\nCase Presentation: Female patient with type 1 diabetes mellitus (T1DM), diagnosed at age 10, developed complications due to chronic poor glycemic control: proliferative retinopathy, G3A1 kidney disease, sensorimotor polyneuropathy and autonomic neuropathy (tachycardia, neurogenic bladder, chronic diarrhea, fecal incontinence and gastroparesis). She was referred to a tertiary Endocrinology center in 2023, at the age of 40, using intermediate-acting human insulin and rapid-acting analog insulin, with HbA1c of 9.5% and glycemic variability, as shown in the continuous glucose monitoring (CGM) report (Fig. 1). Once a month, she required medical care due to level 3 hypoglycemia. She reported difficulty in coordinating insulin administration with meals, as early satiety and postprandial fullness interfered with food intake. Delayed gastric emptying was confirmed by scintigraphy (Fig. 2). Over 18 months, better glycemic control was pursued by correcting insulin administration technique, delaying boluses in relation to meals, switching basal insulin to ultralong-acting analog, introducing carbohydrate counting and adjusting insulin doses, in addition to prescribing prokinetics. Despite these efforts, the patient remained poorly controlled (Fig. 3), with an HbA1c of 8.9%. Then, a hybrid closed-loop continuous subcutaneous insulin infusion (CSII) system was initiated with optimized parameters (glucose target of 100 mg/dL and active insulin time of 2 h). The patient adapted well to informing the device the amount of carbohydrates consumed 30 to 40 min after meals and reached a better glycemic control without hypoglycemia (Fig. 4). The patient provided a written consent to publish her information. Discussion: Gastroparesis, characterized by delayed gastric emptying, affects almost 50% of T1DM patients and may cause a mismatch between nutrient absorption and insulin action, predisposing to postprandial hypoglycemia and challenging glycemic control. In the present case, frequent hypoglycemia impaired adherence to multiple daily injections regimen, leading to hyperglycemia. Studies have shown that the use of CSII by patients with gastroparesis improves time in range and reduces HbA1c without increasing hypoglycemia. Hybrid closed-loop CSII allows for sequential administration of small boluses and insulin suspension when hypoglycemia is predicted. For the patient portrayed, delaying meal insulin by 30 to 40 min also contributed to glycemic control. Final Comments: This case report illustrates the positive impact of CSII and GCM for patients with T1DM and gastroparesis. Table 1.Figure 1(abstract PO-316) Continuous glucose monitoring from 18/01/2024 to 31/01/2024\nContinuous glucose monitoring from 18/01/2024 to 31/01/2024\nFigure 2 (abstract PO-316) Gastric emptying scintigraphy\nGastric emptying scintigraphy\nFigure 3 (abstract PO-316) Continuous glucose monitoring from 08/05/2025 to 21/05/2025\nContinuous glucose monitoring from 08/05/2025 to 21/05/2025\nFigure 4 (abstract PO-316) Continuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nContinuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nTable 1 (abstract PO-316)Glycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).Carb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\nGlycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).\nCarb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\n\n\n### Elias BYK1; Gieburowski JT1; Fernandes VP1; Moron IG1; Paula FJA1; Mermejo LM1; Guidorizzi NR1; Gomes PM1\nCase Presentation: Female patient with type 1 diabetes mellitus (T1DM), diagnosed at age 10, developed complications due to chronic poor glycemic control: proliferative retinopathy, G3A1 kidney disease, sensorimotor polyneuropathy and autonomic neuropathy (tachycardia, neurogenic bladder, chronic diarrhea, fecal incontinence and gastroparesis). She was referred to a tertiary Endocrinology center in 2023, at the age of 40, using intermediate-acting human insulin and rapid-acting analog insulin, with HbA1c of 9.5% and glycemic variability, as shown in the continuous glucose monitoring (CGM) report (Fig. 1). Once a month, she required medical care due to level 3 hypoglycemia. She reported difficulty in coordinating insulin administration with meals, as early satiety and postprandial fullness interfered with food intake. Delayed gastric emptying was confirmed by scintigraphy (Fig. 2). Over 18 months, better glycemic control was pursued by correcting insulin administration technique, delaying boluses in relation to meals, switching basal insulin to ultralong-acting analog, introducing carbohydrate counting and adjusting insulin doses, in addition to prescribing prokinetics. Despite these efforts, the patient remained poorly controlled (Fig. 3), with an HbA1c of 8.9%. Then, a hybrid closed-loop continuous subcutaneous insulin infusion (CSII) system was initiated with optimized parameters (glucose target of 100 mg/dL and active insulin time of 2 h). The patient adapted well to informing the device the amount of carbohydrates consumed 30 to 40 min after meals and reached a better glycemic control without hypoglycemia (Fig. 4). The patient provided a written consent to publish her information. Discussion: Gastroparesis, characterized by delayed gastric emptying, affects almost 50% of T1DM patients and may cause a mismatch between nutrient absorption and insulin action, predisposing to postprandial hypoglycemia and challenging glycemic control. In the present case, frequent hypoglycemia impaired adherence to multiple daily injections regimen, leading to hyperglycemia. Studies have shown that the use of CSII by patients with gastroparesis improves time in range and reduces HbA1c without increasing hypoglycemia. Hybrid closed-loop CSII allows for sequential administration of small boluses and insulin suspension when hypoglycemia is predicted. For the patient portrayed, delaying meal insulin by 30 to 40 min also contributed to glycemic control. Final Comments: This case report illustrates the positive impact of CSII and GCM for patients with T1DM and gastroparesis. Table 1.Figure 1(abstract PO-316) Continuous glucose monitoring from 18/01/2024 to 31/01/2024\nContinuous glucose monitoring from 18/01/2024 to 31/01/2024\nFigure 2 (abstract PO-316) Gastric emptying scintigraphy\nGastric emptying scintigraphy\nFigure 3 (abstract PO-316) Continuous glucose monitoring from 08/05/2025 to 21/05/2025\nContinuous glucose monitoring from 08/05/2025 to 21/05/2025\nFigure 4 (abstract PO-316) Continuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nContinuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nTable 1 (abstract PO-316)Glycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).Carb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\nGlycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).\nCarb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\n\n\n### (1) Hospital das Clínicas da Faculdade de Medicina de Ribeirão Preto, Universidade de São Paulo, Ribeirão Preto, SP, Brasil\nCase Presentation: Female patient with type 1 diabetes mellitus (T1DM), diagnosed at age 10, developed complications due to chronic poor glycemic control: proliferative retinopathy, G3A1 kidney disease, sensorimotor polyneuropathy and autonomic neuropathy (tachycardia, neurogenic bladder, chronic diarrhea, fecal incontinence and gastroparesis). She was referred to a tertiary Endocrinology center in 2023, at the age of 40, using intermediate-acting human insulin and rapid-acting analog insulin, with HbA1c of 9.5% and glycemic variability, as shown in the continuous glucose monitoring (CGM) report (Fig. 1). Once a month, she required medical care due to level 3 hypoglycemia. She reported difficulty in coordinating insulin administration with meals, as early satiety and postprandial fullness interfered with food intake. Delayed gastric emptying was confirmed by scintigraphy (Fig. 2). Over 18 months, better glycemic control was pursued by correcting insulin administration technique, delaying boluses in relation to meals, switching basal insulin to ultralong-acting analog, introducing carbohydrate counting and adjusting insulin doses, in addition to prescribing prokinetics. Despite these efforts, the patient remained poorly controlled (Fig. 3), with an HbA1c of 8.9%. Then, a hybrid closed-loop continuous subcutaneous insulin infusion (CSII) system was initiated with optimized parameters (glucose target of 100 mg/dL and active insulin time of 2 h). The patient adapted well to informing the device the amount of carbohydrates consumed 30 to 40 min after meals and reached a better glycemic control without hypoglycemia (Fig. 4). The patient provided a written consent to publish her information. Discussion: Gastroparesis, characterized by delayed gastric emptying, affects almost 50% of T1DM patients and may cause a mismatch between nutrient absorption and insulin action, predisposing to postprandial hypoglycemia and challenging glycemic control. In the present case, frequent hypoglycemia impaired adherence to multiple daily injections regimen, leading to hyperglycemia. Studies have shown that the use of CSII by patients with gastroparesis improves time in range and reduces HbA1c without increasing hypoglycemia. Hybrid closed-loop CSII allows for sequential administration of small boluses and insulin suspension when hypoglycemia is predicted. For the patient portrayed, delaying meal insulin by 30 to 40 min also contributed to glycemic control. Final Comments: This case report illustrates the positive impact of CSII and GCM for patients with T1DM and gastroparesis. Table 1.Figure 1(abstract PO-316) Continuous glucose monitoring from 18/01/2024 to 31/01/2024\nContinuous glucose monitoring from 18/01/2024 to 31/01/2024\nFigure 2 (abstract PO-316) Gastric emptying scintigraphy\nGastric emptying scintigraphy\nFigure 3 (abstract PO-316) Continuous glucose monitoring from 08/05/2025 to 21/05/2025\nContinuous glucose monitoring from 08/05/2025 to 21/05/2025\nFigure 4 (abstract PO-316) Continuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nContinuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nTable 1 (abstract PO-316)Glycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).Carb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\nGlycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).\nCarb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—316\nCase Presentation: Female patient with type 1 diabetes mellitus (T1DM), diagnosed at age 10, developed complications due to chronic poor glycemic control: proliferative retinopathy, G3A1 kidney disease, sensorimotor polyneuropathy and autonomic neuropathy (tachycardia, neurogenic bladder, chronic diarrhea, fecal incontinence and gastroparesis). She was referred to a tertiary Endocrinology center in 2023, at the age of 40, using intermediate-acting human insulin and rapid-acting analog insulin, with HbA1c of 9.5% and glycemic variability, as shown in the continuous glucose monitoring (CGM) report (Fig. 1). Once a month, she required medical care due to level 3 hypoglycemia. She reported difficulty in coordinating insulin administration with meals, as early satiety and postprandial fullness interfered with food intake. Delayed gastric emptying was confirmed by scintigraphy (Fig. 2). Over 18 months, better glycemic control was pursued by correcting insulin administration technique, delaying boluses in relation to meals, switching basal insulin to ultralong-acting analog, introducing carbohydrate counting and adjusting insulin doses, in addition to prescribing prokinetics. Despite these efforts, the patient remained poorly controlled (Fig. 3), with an HbA1c of 8.9%. Then, a hybrid closed-loop continuous subcutaneous insulin infusion (CSII) system was initiated with optimized parameters (glucose target of 100 mg/dL and active insulin time of 2 h). The patient adapted well to informing the device the amount of carbohydrates consumed 30 to 40 min after meals and reached a better glycemic control without hypoglycemia (Fig. 4). The patient provided a written consent to publish her information. Discussion: Gastroparesis, characterized by delayed gastric emptying, affects almost 50% of T1DM patients and may cause a mismatch between nutrient absorption and insulin action, predisposing to postprandial hypoglycemia and challenging glycemic control. In the present case, frequent hypoglycemia impaired adherence to multiple daily injections regimen, leading to hyperglycemia. Studies have shown that the use of CSII by patients with gastroparesis improves time in range and reduces HbA1c without increasing hypoglycemia. Hybrid closed-loop CSII allows for sequential administration of small boluses and insulin suspension when hypoglycemia is predicted. For the patient portrayed, delaying meal insulin by 30 to 40 min also contributed to glycemic control. Final Comments: This case report illustrates the positive impact of CSII and GCM for patients with T1DM and gastroparesis. Table 1.Figure 1(abstract PO-316) Continuous glucose monitoring from 18/01/2024 to 31/01/2024\nContinuous glucose monitoring from 18/01/2024 to 31/01/2024\nFigure 2 (abstract PO-316) Gastric emptying scintigraphy\nGastric emptying scintigraphy\nFigure 3 (abstract PO-316) Continuous glucose monitoring from 08/05/2025 to 21/05/2025\nContinuous glucose monitoring from 08/05/2025 to 21/05/2025\nFigure 4 (abstract PO-316) Continuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nContinuous glucose monitoring from the hybrid closed-loop continuous subcutaneous insulin infusion system\nTable 1 (abstract PO-316)Glycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).Carb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\nGlycemic control under different insulin regimens (multiple daily injections vs continuous subcutaneous insulin infusion).\nCarb*: carbohydrate; SF**: sensitivity factor; ICR***: insulin-to-carbohydrate ratio\n\n\n### PO—317 Glycemic Benefits of the Automated Insulin Infusion System Minimed 780G in Patients at a Tertiary Care Hospital\nIntroduction: Continuous subcutaneous insulin infusion (CSII) therapy has evolved with hybrid automated technologies. The Medtronic 780G, using the SmartGuard algorithm, automatically adjusts basal insulin and delivers correction boluses based on interstitial glucose levels, optimizing glycemic control in patients with type 1 diabetes mellitus (T1DM) and LADA (Latent Autoimmune Diabetes in Adults). Objective: Evaluate the impact of transitioning to the Medtronic 780G system on glycemic parameters in patients previously treated with other CSII models. Methods: This retrospective observational study included outpatients at a tertiary care hospital who transitioned from previous CSII models to Medtronic 780G. Analyzed variables included demographics, time in range (TIR), time above range (TAR), time below range (TBR), HbA1c, glycemic variability, sensor adherence, basal/bolus ratios, and diabetes duration. Of 37 patients, 33 (89.2%) had T1DM, and 4 (10.8%) had LADA; 11 were lost to follow-up, and one died. Of the remaining 25, 2 discontinued CSII and 4 used Roche pumps. Among the 19 Medtronic users, 10 switched from the 640G to the 780G, and 9 had complete paired data. Results: After a mean follow-up of 260 days post-transition, TIR increased from 68.7% to 72.4% (p=0.61), TAR decreased from 28.3% to 24.2% (p=0.59), and TBR remained stable at 3% (p=0.66). Glycemic variability decreased from 34.7% to 30% (p=0.33) and HbA1c from 7% to 6.89% (p=0.60). Total daily insulin/kg was stable with a proportional increase in bolus (47.3% to 59.1%) and a decrease in basal insulin (52.6% to 40.8%), indicating enhanced SmartGuard activity. The association between diabetes duration (in years) and changes in TIR showed no significant Spearman correlation (ρ = 0.36; p = 0.385). However, simple linear regression revealed a marginally positive association of diabetes duration with ΔTIR (coefficient = 0.096 per year; p = 0.057), explaining 48% of the variance in outcomes (R2 = 0.48). This suggests a potential trend toward greater glycemic benefit among patients with longer disease duration. Conclusion: Although not statistically significant, clinical improvement in glycemic control was seen after transitioning to the Minimed 780G hybrid closed-loop system. These findings suggest its potential as a therapeutic tool for T1DM and LADA patients on CSII, offering better glycemic stability, safety, and time in range. The association between longer disease duration and improved TIR needs further study with higher statistical power.\n\n\n### Mendes PS1; Pedrosa AG1; Gieburowski JT1; Fernandes VP1; Barbosa ARCC1; Paula FJA2; Mermejo LM2; Guidorizzi NR1; Gomes PM1\nIntroduction: Continuous subcutaneous insulin infusion (CSII) therapy has evolved with hybrid automated technologies. The Medtronic 780G, using the SmartGuard algorithm, automatically adjusts basal insulin and delivers correction boluses based on interstitial glucose levels, optimizing glycemic control in patients with type 1 diabetes mellitus (T1DM) and LADA (Latent Autoimmune Diabetes in Adults). Objective: Evaluate the impact of transitioning to the Medtronic 780G system on glycemic parameters in patients previously treated with other CSII models. Methods: This retrospective observational study included outpatients at a tertiary care hospital who transitioned from previous CSII models to Medtronic 780G. Analyzed variables included demographics, time in range (TIR), time above range (TAR), time below range (TBR), HbA1c, glycemic variability, sensor adherence, basal/bolus ratios, and diabetes duration. Of 37 patients, 33 (89.2%) had T1DM, and 4 (10.8%) had LADA; 11 were lost to follow-up, and one died. Of the remaining 25, 2 discontinued CSII and 4 used Roche pumps. Among the 19 Medtronic users, 10 switched from the 640G to the 780G, and 9 had complete paired data. Results: After a mean follow-up of 260 days post-transition, TIR increased from 68.7% to 72.4% (p=0.61), TAR decreased from 28.3% to 24.2% (p=0.59), and TBR remained stable at 3% (p=0.66). Glycemic variability decreased from 34.7% to 30% (p=0.33) and HbA1c from 7% to 6.89% (p=0.60). Total daily insulin/kg was stable with a proportional increase in bolus (47.3% to 59.1%) and a decrease in basal insulin (52.6% to 40.8%), indicating enhanced SmartGuard activity. The association between diabetes duration (in years) and changes in TIR showed no significant Spearman correlation (ρ = 0.36; p = 0.385). However, simple linear regression revealed a marginally positive association of diabetes duration with ΔTIR (coefficient = 0.096 per year; p = 0.057), explaining 48% of the variance in outcomes (R2 = 0.48). This suggests a potential trend toward greater glycemic benefit among patients with longer disease duration. Conclusion: Although not statistically significant, clinical improvement in glycemic control was seen after transitioning to the Minimed 780G hybrid closed-loop system. These findings suggest its potential as a therapeutic tool for T1DM and LADA patients on CSII, offering better glycemic stability, safety, and time in range. The association between longer disease duration and improved TIR needs further study with higher statistical power.\n\n\n### (1) Hospital das Clínicas da Faculdade de Medicina de Ribeirão Preto da Universidade de São Paulo (HCFMRP-USP), Ribeirão Preto, SP, Brasil; (2) Faculdade de Medicina de Ribeirão Preto da Universidade de São Paulo (FMRP-USP), Ribeirão Preto, SP, Brasil\nIntroduction: Continuous subcutaneous insulin infusion (CSII) therapy has evolved with hybrid automated technologies. The Medtronic 780G, using the SmartGuard algorithm, automatically adjusts basal insulin and delivers correction boluses based on interstitial glucose levels, optimizing glycemic control in patients with type 1 diabetes mellitus (T1DM) and LADA (Latent Autoimmune Diabetes in Adults). Objective: Evaluate the impact of transitioning to the Medtronic 780G system on glycemic parameters in patients previously treated with other CSII models. Methods: This retrospective observational study included outpatients at a tertiary care hospital who transitioned from previous CSII models to Medtronic 780G. Analyzed variables included demographics, time in range (TIR), time above range (TAR), time below range (TBR), HbA1c, glycemic variability, sensor adherence, basal/bolus ratios, and diabetes duration. Of 37 patients, 33 (89.2%) had T1DM, and 4 (10.8%) had LADA; 11 were lost to follow-up, and one died. Of the remaining 25, 2 discontinued CSII and 4 used Roche pumps. Among the 19 Medtronic users, 10 switched from the 640G to the 780G, and 9 had complete paired data. Results: After a mean follow-up of 260 days post-transition, TIR increased from 68.7% to 72.4% (p=0.61), TAR decreased from 28.3% to 24.2% (p=0.59), and TBR remained stable at 3% (p=0.66). Glycemic variability decreased from 34.7% to 30% (p=0.33) and HbA1c from 7% to 6.89% (p=0.60). Total daily insulin/kg was stable with a proportional increase in bolus (47.3% to 59.1%) and a decrease in basal insulin (52.6% to 40.8%), indicating enhanced SmartGuard activity. The association between diabetes duration (in years) and changes in TIR showed no significant Spearman correlation (ρ = 0.36; p = 0.385). However, simple linear regression revealed a marginally positive association of diabetes duration with ΔTIR (coefficient = 0.096 per year; p = 0.057), explaining 48% of the variance in outcomes (R2 = 0.48). This suggests a potential trend toward greater glycemic benefit among patients with longer disease duration. Conclusion: Although not statistically significant, clinical improvement in glycemic control was seen after transitioning to the Minimed 780G hybrid closed-loop system. These findings suggest its potential as a therapeutic tool for T1DM and LADA patients on CSII, offering better glycemic stability, safety, and time in range. The association between longer disease duration and improved TIR needs further study with higher statistical power.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—317\nIntroduction: Continuous subcutaneous insulin infusion (CSII) therapy has evolved with hybrid automated technologies. The Medtronic 780G, using the SmartGuard algorithm, automatically adjusts basal insulin and delivers correction boluses based on interstitial glucose levels, optimizing glycemic control in patients with type 1 diabetes mellitus (T1DM) and LADA (Latent Autoimmune Diabetes in Adults). Objective: Evaluate the impact of transitioning to the Medtronic 780G system on glycemic parameters in patients previously treated with other CSII models. Methods: This retrospective observational study included outpatients at a tertiary care hospital who transitioned from previous CSII models to Medtronic 780G. Analyzed variables included demographics, time in range (TIR), time above range (TAR), time below range (TBR), HbA1c, glycemic variability, sensor adherence, basal/bolus ratios, and diabetes duration. Of 37 patients, 33 (89.2%) had T1DM, and 4 (10.8%) had LADA; 11 were lost to follow-up, and one died. Of the remaining 25, 2 discontinued CSII and 4 used Roche pumps. Among the 19 Medtronic users, 10 switched from the 640G to the 780G, and 9 had complete paired data. Results: After a mean follow-up of 260 days post-transition, TIR increased from 68.7% to 72.4% (p=0.61), TAR decreased from 28.3% to 24.2% (p=0.59), and TBR remained stable at 3% (p=0.66). Glycemic variability decreased from 34.7% to 30% (p=0.33) and HbA1c from 7% to 6.89% (p=0.60). Total daily insulin/kg was stable with a proportional increase in bolus (47.3% to 59.1%) and a decrease in basal insulin (52.6% to 40.8%), indicating enhanced SmartGuard activity. The association between diabetes duration (in years) and changes in TIR showed no significant Spearman correlation (ρ = 0.36; p = 0.385). However, simple linear regression revealed a marginally positive association of diabetes duration with ΔTIR (coefficient = 0.096 per year; p = 0.057), explaining 48% of the variance in outcomes (R2 = 0.48). This suggests a potential trend toward greater glycemic benefit among patients with longer disease duration. Conclusion: Although not statistically significant, clinical improvement in glycemic control was seen after transitioning to the Minimed 780G hybrid closed-loop system. These findings suggest its potential as a therapeutic tool for T1DM and LADA patients on CSII, offering better glycemic stability, safety, and time in range. The association between longer disease duration and improved TIR needs further study with higher statistical power.\n\n\n### PO—318 Glycemic Control And Engagement of Women With Type 1 Diabetes Using Flash Glucose Monitoring In A Public Health Initiative\nIntroduction: Sustained use of flash glucose monitoring (FGM) can improve glycemic management in type 1 diabetes, but engagement in public health programs may vary. Understanding factors associated with long-term use can guide strategies to optimize outcomes. Women with type 1 diabetes mellitus (T1DM) often experience suboptimal glycemic control and are underrepresented in studies involving new diabetes technologies. Real-world data from public health settings remain scarce. Objective: To describe the clinical and sociodemographic profile of women using FGMS in a public health program and identify factors associated with program engagement. Methods: A retrospective longitudinal study was conducted using data from 109 adult women with T1DM who applied for FGMS through a public program in Brasília, Brazil. Eligibility criteria included age ≥18 years and HbA1c <8%. Variables analyzed included age, BMI, HbA1c, comorbidities, physical activity, and program engagement (defined as continued participation after sensor distribution). Statistical analyses were performed using SPSS with significance set at p<0.05. The study was approved by the institutional ethics committee (No. 5.475.356). Results: Participants had a mean age of 37 years and a mean BMI of 23.0 kg/m2. Mean HbA1c at baseline was 7.17%. Women who remained engaged in the program had lower baseline (7.02% vs. 7.35%, p=0.039) and final HbA1c levels (7.30% vs. 7.55%, p=0.035), and were older (38.5 vs. 34.0 years, p=0.044) than those who discontinued. Overall HbA1c increased slightly (7.30→7.40%, p=0.023), although not significantly among engaged or disengaged groups when analyzed separately. In multivariable analysis, greater age (OR=1.086 per year), shorter diabetes duration (OR=1.075 per year decrease), and lower basal insulin dose (OR=1.366 per unit decrease) were independently associated with engagement. Higher bolus insulin dose (OR=1.285 per unit) also increased engagement odds. Conclusion: Engagement in the public FGM program was associated with better glycemic outcomes and older age. Targeted strategies to sustain long-term use, particularly among younger women and those with higher baseline HbA1c, may enhance the benefits of FGM in public health settings.\n\n\n### Puzic RFS1; Canuto FVS1; Leite EB2; Melo MC3; Oliveira REM1; Corbal BS2\nIntroduction: Sustained use of flash glucose monitoring (FGM) can improve glycemic management in type 1 diabetes, but engagement in public health programs may vary. Understanding factors associated with long-term use can guide strategies to optimize outcomes. Women with type 1 diabetes mellitus (T1DM) often experience suboptimal glycemic control and are underrepresented in studies involving new diabetes technologies. Real-world data from public health settings remain scarce. Objective: To describe the clinical and sociodemographic profile of women using FGMS in a public health program and identify factors associated with program engagement. Methods: A retrospective longitudinal study was conducted using data from 109 adult women with T1DM who applied for FGMS through a public program in Brasília, Brazil. Eligibility criteria included age ≥18 years and HbA1c <8%. Variables analyzed included age, BMI, HbA1c, comorbidities, physical activity, and program engagement (defined as continued participation after sensor distribution). Statistical analyses were performed using SPSS with significance set at p<0.05. The study was approved by the institutional ethics committee (No. 5.475.356). Results: Participants had a mean age of 37 years and a mean BMI of 23.0 kg/m2. Mean HbA1c at baseline was 7.17%. Women who remained engaged in the program had lower baseline (7.02% vs. 7.35%, p=0.039) and final HbA1c levels (7.30% vs. 7.55%, p=0.035), and were older (38.5 vs. 34.0 years, p=0.044) than those who discontinued. Overall HbA1c increased slightly (7.30→7.40%, p=0.023), although not significantly among engaged or disengaged groups when analyzed separately. In multivariable analysis, greater age (OR=1.086 per year), shorter diabetes duration (OR=1.075 per year decrease), and lower basal insulin dose (OR=1.366 per unit decrease) were independently associated with engagement. Higher bolus insulin dose (OR=1.285 per unit) also increased engagement odds. Conclusion: Engagement in the public FGM program was associated with better glycemic outcomes and older age. Targeted strategies to sustain long-term use, particularly among younger women and those with higher baseline HbA1c, may enhance the benefits of FGM in public health settings.\n\n\n### (1) Universidade de Brasília, Brasília, DF, Brasil; (2) Secretaria de Saúde do Distrito Federal, Brasília, DF, Brasil; (3) Fundação de Ensino e Pesquisa em Ciências da Saúde, Brasília, DF, Brasil\nIntroduction: Sustained use of flash glucose monitoring (FGM) can improve glycemic management in type 1 diabetes, but engagement in public health programs may vary. Understanding factors associated with long-term use can guide strategies to optimize outcomes. Women with type 1 diabetes mellitus (T1DM) often experience suboptimal glycemic control and are underrepresented in studies involving new diabetes technologies. Real-world data from public health settings remain scarce. Objective: To describe the clinical and sociodemographic profile of women using FGMS in a public health program and identify factors associated with program engagement. Methods: A retrospective longitudinal study was conducted using data from 109 adult women with T1DM who applied for FGMS through a public program in Brasília, Brazil. Eligibility criteria included age ≥18 years and HbA1c <8%. Variables analyzed included age, BMI, HbA1c, comorbidities, physical activity, and program engagement (defined as continued participation after sensor distribution). Statistical analyses were performed using SPSS with significance set at p<0.05. The study was approved by the institutional ethics committee (No. 5.475.356). Results: Participants had a mean age of 37 years and a mean BMI of 23.0 kg/m2. Mean HbA1c at baseline was 7.17%. Women who remained engaged in the program had lower baseline (7.02% vs. 7.35%, p=0.039) and final HbA1c levels (7.30% vs. 7.55%, p=0.035), and were older (38.5 vs. 34.0 years, p=0.044) than those who discontinued. Overall HbA1c increased slightly (7.30→7.40%, p=0.023), although not significantly among engaged or disengaged groups when analyzed separately. In multivariable analysis, greater age (OR=1.086 per year), shorter diabetes duration (OR=1.075 per year decrease), and lower basal insulin dose (OR=1.366 per unit decrease) were independently associated with engagement. Higher bolus insulin dose (OR=1.285 per unit) also increased engagement odds. Conclusion: Engagement in the public FGM program was associated with better glycemic outcomes and older age. Targeted strategies to sustain long-term use, particularly among younger women and those with higher baseline HbA1c, may enhance the benefits of FGM in public health settings.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—318\nIntroduction: Sustained use of flash glucose monitoring (FGM) can improve glycemic management in type 1 diabetes, but engagement in public health programs may vary. Understanding factors associated with long-term use can guide strategies to optimize outcomes. Women with type 1 diabetes mellitus (T1DM) often experience suboptimal glycemic control and are underrepresented in studies involving new diabetes technologies. Real-world data from public health settings remain scarce. Objective: To describe the clinical and sociodemographic profile of women using FGMS in a public health program and identify factors associated with program engagement. Methods: A retrospective longitudinal study was conducted using data from 109 adult women with T1DM who applied for FGMS through a public program in Brasília, Brazil. Eligibility criteria included age ≥18 years and HbA1c <8%. Variables analyzed included age, BMI, HbA1c, comorbidities, physical activity, and program engagement (defined as continued participation after sensor distribution). Statistical analyses were performed using SPSS with significance set at p<0.05. The study was approved by the institutional ethics committee (No. 5.475.356). Results: Participants had a mean age of 37 years and a mean BMI of 23.0 kg/m2. Mean HbA1c at baseline was 7.17%. Women who remained engaged in the program had lower baseline (7.02% vs. 7.35%, p=0.039) and final HbA1c levels (7.30% vs. 7.55%, p=0.035), and were older (38.5 vs. 34.0 years, p=0.044) than those who discontinued. Overall HbA1c increased slightly (7.30→7.40%, p=0.023), although not significantly among engaged or disengaged groups when analyzed separately. In multivariable analysis, greater age (OR=1.086 per year), shorter diabetes duration (OR=1.075 per year decrease), and lower basal insulin dose (OR=1.366 per unit decrease) were independently associated with engagement. Higher bolus insulin dose (OR=1.285 per unit) also increased engagement odds. Conclusion: Engagement in the public FGM program was associated with better glycemic outcomes and older age. Targeted strategies to sustain long-term use, particularly among younger women and those with higher baseline HbA1c, may enhance the benefits of FGM in public health settings.\n\n\n### PO—319 Glycemic Metrics In Users Of The Automated Insulin Infusion System\nIntroduction: Automated insulin infusion (AID) systems integrate continuous glucose monitoring and an algorithm that infuses insulin based on blood glucose levels. They offer significant benefits, including maintaining a longer target glucose target (TRT), reducing hypoglycemic episodes, especially severe ones, and significantly improving quality of life. Objective: To evaluate the glycemic metrics of users of an automated insulin infusion system, treated at a public referral service for diabetes in childhood and adolescence. Methods: Clinical and laboratory data and glycemic metrics were obtained through analysis of the medical records of 69 AID users, 59.4% of whom were female. The reference value for glycated hemoglobin - HbA1c was 4.8-5.7% (target <7.0%). Results: The median age at AID installation was 16.3 years (IQR 9.6–26.7 years) and time of AID use was 1.5 years (IQR 0.55–2.3 years). Of these, 69.6% (48/69) were previous users of non-automated systems, with age at installation of 13.1 years (6.7–19.8 years) and time of use of insulin infusion system of 6.0 years. HbA1c at the time of first installation was 7.7±1.1%, with the system prescription in 65.2% due to glycemic variability, 21.7% due to frequent hypoglycemia (33.3% level 3 hypoglycemia) and 13.1% due to quality of life. Regarding glycemic metrics at the last assessment, 72.7±9.4% had glucose within the glycemic target - TIR (70-180 mg/dL), 19.2±7.0% had level 1 hyperglycemia (TAR1:>180 mg/dL) and 5.6±4.7% had level 2 hyperglycemia (TAR2:>250mg/dL). Of the sample, the median of level 1 hypoglycemia (TBR1: <70mg/dL) was 1.0% (IQR 1 - 3%), level 2 (TBR2: <54mg/dL) was 0% (IQR 0 - 1.0%) and there was only 1 case of level 3 hypoglycemia (disregarded the hypoglycemia/suspension alarm and did not eat, despite instructions). The sensor usage time was 87.2±13.1%, in automation 87.1±17.6%, glucose management index (GMI) 6.7±1.2% and HbA1c 7.1±0.9%. Conclusion: Our results show that glycemic metrics in users of the automated insulin infusion system at a public diabetes referral center remain within the recommendations and reinforce the safety of hypoglycemia prevention. These results allow for the maintenance of a longer exposure time within the glycemic target, with a shorter time of hyperglycemia and, especially, hypoglycemia during the 1.5-year follow-up period.\n\n\n### Mondadori PM1; Kurcrevski C1; Toss SF1; Bressiani M1; Fornari A1; Tschiedel B1; Puñales M1\nIntroduction: Automated insulin infusion (AID) systems integrate continuous glucose monitoring and an algorithm that infuses insulin based on blood glucose levels. They offer significant benefits, including maintaining a longer target glucose target (TRT), reducing hypoglycemic episodes, especially severe ones, and significantly improving quality of life. Objective: To evaluate the glycemic metrics of users of an automated insulin infusion system, treated at a public referral service for diabetes in childhood and adolescence. Methods: Clinical and laboratory data and glycemic metrics were obtained through analysis of the medical records of 69 AID users, 59.4% of whom were female. The reference value for glycated hemoglobin - HbA1c was 4.8-5.7% (target <7.0%). Results: The median age at AID installation was 16.3 years (IQR 9.6–26.7 years) and time of AID use was 1.5 years (IQR 0.55–2.3 years). Of these, 69.6% (48/69) were previous users of non-automated systems, with age at installation of 13.1 years (6.7–19.8 years) and time of use of insulin infusion system of 6.0 years. HbA1c at the time of first installation was 7.7±1.1%, with the system prescription in 65.2% due to glycemic variability, 21.7% due to frequent hypoglycemia (33.3% level 3 hypoglycemia) and 13.1% due to quality of life. Regarding glycemic metrics at the last assessment, 72.7±9.4% had glucose within the glycemic target - TIR (70-180 mg/dL), 19.2±7.0% had level 1 hyperglycemia (TAR1:>180 mg/dL) and 5.6±4.7% had level 2 hyperglycemia (TAR2:>250mg/dL). Of the sample, the median of level 1 hypoglycemia (TBR1: <70mg/dL) was 1.0% (IQR 1 - 3%), level 2 (TBR2: <54mg/dL) was 0% (IQR 0 - 1.0%) and there was only 1 case of level 3 hypoglycemia (disregarded the hypoglycemia/suspension alarm and did not eat, despite instructions). The sensor usage time was 87.2±13.1%, in automation 87.1±17.6%, glucose management index (GMI) 6.7±1.2% and HbA1c 7.1±0.9%. Conclusion: Our results show that glycemic metrics in users of the automated insulin infusion system at a public diabetes referral center remain within the recommendations and reinforce the safety of hypoglycemia prevention. These results allow for the maintenance of a longer exposure time within the glycemic target, with a shorter time of hyperglycemia and, especially, hypoglycemia during the 1.5-year follow-up period.\n\n\n### (1) Instituto da Criança com Diabetes, Grupo Hospitalar Conceição, Ministério da saúde, Porto Alegre, RS, Brasil\nIntroduction: Automated insulin infusion (AID) systems integrate continuous glucose monitoring and an algorithm that infuses insulin based on blood glucose levels. They offer significant benefits, including maintaining a longer target glucose target (TRT), reducing hypoglycemic episodes, especially severe ones, and significantly improving quality of life. Objective: To evaluate the glycemic metrics of users of an automated insulin infusion system, treated at a public referral service for diabetes in childhood and adolescence. Methods: Clinical and laboratory data and glycemic metrics were obtained through analysis of the medical records of 69 AID users, 59.4% of whom were female. The reference value for glycated hemoglobin - HbA1c was 4.8-5.7% (target <7.0%). Results: The median age at AID installation was 16.3 years (IQR 9.6–26.7 years) and time of AID use was 1.5 years (IQR 0.55–2.3 years). Of these, 69.6% (48/69) were previous users of non-automated systems, with age at installation of 13.1 years (6.7–19.8 years) and time of use of insulin infusion system of 6.0 years. HbA1c at the time of first installation was 7.7±1.1%, with the system prescription in 65.2% due to glycemic variability, 21.7% due to frequent hypoglycemia (33.3% level 3 hypoglycemia) and 13.1% due to quality of life. Regarding glycemic metrics at the last assessment, 72.7±9.4% had glucose within the glycemic target - TIR (70-180 mg/dL), 19.2±7.0% had level 1 hyperglycemia (TAR1:>180 mg/dL) and 5.6±4.7% had level 2 hyperglycemia (TAR2:>250mg/dL). Of the sample, the median of level 1 hypoglycemia (TBR1: <70mg/dL) was 1.0% (IQR 1 - 3%), level 2 (TBR2: <54mg/dL) was 0% (IQR 0 - 1.0%) and there was only 1 case of level 3 hypoglycemia (disregarded the hypoglycemia/suspension alarm and did not eat, despite instructions). The sensor usage time was 87.2±13.1%, in automation 87.1±17.6%, glucose management index (GMI) 6.7±1.2% and HbA1c 7.1±0.9%. Conclusion: Our results show that glycemic metrics in users of the automated insulin infusion system at a public diabetes referral center remain within the recommendations and reinforce the safety of hypoglycemia prevention. These results allow for the maintenance of a longer exposure time within the glycemic target, with a shorter time of hyperglycemia and, especially, hypoglycemia during the 1.5-year follow-up period.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—319\nIntroduction: Automated insulin infusion (AID) systems integrate continuous glucose monitoring and an algorithm that infuses insulin based on blood glucose levels. They offer significant benefits, including maintaining a longer target glucose target (TRT), reducing hypoglycemic episodes, especially severe ones, and significantly improving quality of life. Objective: To evaluate the glycemic metrics of users of an automated insulin infusion system, treated at a public referral service for diabetes in childhood and adolescence. Methods: Clinical and laboratory data and glycemic metrics were obtained through analysis of the medical records of 69 AID users, 59.4% of whom were female. The reference value for glycated hemoglobin - HbA1c was 4.8-5.7% (target <7.0%). Results: The median age at AID installation was 16.3 years (IQR 9.6–26.7 years) and time of AID use was 1.5 years (IQR 0.55–2.3 years). Of these, 69.6% (48/69) were previous users of non-automated systems, with age at installation of 13.1 years (6.7–19.8 years) and time of use of insulin infusion system of 6.0 years. HbA1c at the time of first installation was 7.7±1.1%, with the system prescription in 65.2% due to glycemic variability, 21.7% due to frequent hypoglycemia (33.3% level 3 hypoglycemia) and 13.1% due to quality of life. Regarding glycemic metrics at the last assessment, 72.7±9.4% had glucose within the glycemic target - TIR (70-180 mg/dL), 19.2±7.0% had level 1 hyperglycemia (TAR1:>180 mg/dL) and 5.6±4.7% had level 2 hyperglycemia (TAR2:>250mg/dL). Of the sample, the median of level 1 hypoglycemia (TBR1: <70mg/dL) was 1.0% (IQR 1 - 3%), level 2 (TBR2: <54mg/dL) was 0% (IQR 0 - 1.0%) and there was only 1 case of level 3 hypoglycemia (disregarded the hypoglycemia/suspension alarm and did not eat, despite instructions). The sensor usage time was 87.2±13.1%, in automation 87.1±17.6%, glucose management index (GMI) 6.7±1.2% and HbA1c 7.1±0.9%. Conclusion: Our results show that glycemic metrics in users of the automated insulin infusion system at a public diabetes referral center remain within the recommendations and reinforce the safety of hypoglycemia prevention. These results allow for the maintenance of a longer exposure time within the glycemic target, with a shorter time of hyperglycemia and, especially, hypoglycemia during the 1.5-year follow-up period.\n\n\n### PO—321 Multidisciplinary Model In The Care Of Type 1 Diabetes Patients Using Insulin Pumps In A Public Health Service\nIntroduction: Careful glycemic control is mandatory in the management of type 1 Diabetes Mellitus (T1DM) in order to prevent chronic complications. Approaches such as the insulin pump offer an effective alternative but demand specialized follow-up to ensure appropriate use. Within the context of Brazil’s Public Health System (Sistema Único de Saúde, SUS), the implementation of integrated care strategies is crucial to optimize clinical outcomes. Objective: To evaluate the effects of a multidisciplinary care protocol on the management of T1DM patients using insulin pumps in a SUS outpatient clinic. Methods: This was an interventional study with longitudinal follow-up of 10 insulin pump users. The glycated hemoglobin (HbA1c) levels of patients were evaluated before (M1) and 9 months after (M2) the implementation of a novel care model. The approach included a team composed of physicians, nutritionists, psychologists, and nurses, and focused on diabetes education and individualized care. The comparative study of the variables HbA1c (pre and post), time of pump use and delta HbA1c (HbA1c post – HbA1c pre) according to the participants’ educational levels was carried out considering the Student’s t-test for independent samples, in the case of the variables HbA1c and delta HbA1c and the non-parametric Mann-Whitney test for time of pump use. All results were discussed at a significance level of 5%. Results: The findings indicate a qualitative improvement in patient understanding and greater satisfaction with the multidisciplinary model. HbA1c levels improved among patients with longer insulin pump use, regardless of educational background. This finding demonstrates that, although effective for glycemic control, insulin pump therapy involves a learning curve that requires user adaptation, as reported in previous studies. The result of the inferential analysis was not significant (p>0.05) due to the small number of participants in each group. However, the clinical tendency of the results should be highlighted and, if new participants are included, such differences should be configured when the robustness of the statistical test increases. Conclusion: The study highlights the importance of multidisciplinary models in the care of patients with T1D. Particularly in the case of patients using insulin pumps, the time of use of this technology appears to be a central and independent factor in clinical improvement, which reinforces the need for public health policies that guarantee early access to such technologies.\n\n\n### Pinto MCS1; Ferreira RGO1; Musse TNM1; Peghinelli VV1; Sakalem ME2; Padovani CR1; Nogueira CR1\nIntroduction: Careful glycemic control is mandatory in the management of type 1 Diabetes Mellitus (T1DM) in order to prevent chronic complications. Approaches such as the insulin pump offer an effective alternative but demand specialized follow-up to ensure appropriate use. Within the context of Brazil’s Public Health System (Sistema Único de Saúde, SUS), the implementation of integrated care strategies is crucial to optimize clinical outcomes. Objective: To evaluate the effects of a multidisciplinary care protocol on the management of T1DM patients using insulin pumps in a SUS outpatient clinic. Methods: This was an interventional study with longitudinal follow-up of 10 insulin pump users. The glycated hemoglobin (HbA1c) levels of patients were evaluated before (M1) and 9 months after (M2) the implementation of a novel care model. The approach included a team composed of physicians, nutritionists, psychologists, and nurses, and focused on diabetes education and individualized care. The comparative study of the variables HbA1c (pre and post), time of pump use and delta HbA1c (HbA1c post – HbA1c pre) according to the participants’ educational levels was carried out considering the Student’s t-test for independent samples, in the case of the variables HbA1c and delta HbA1c and the non-parametric Mann-Whitney test for time of pump use. All results were discussed at a significance level of 5%. Results: The findings indicate a qualitative improvement in patient understanding and greater satisfaction with the multidisciplinary model. HbA1c levels improved among patients with longer insulin pump use, regardless of educational background. This finding demonstrates that, although effective for glycemic control, insulin pump therapy involves a learning curve that requires user adaptation, as reported in previous studies. The result of the inferential analysis was not significant (p>0.05) due to the small number of participants in each group. However, the clinical tendency of the results should be highlighted and, if new participants are included, such differences should be configured when the robustness of the statistical test increases. Conclusion: The study highlights the importance of multidisciplinary models in the care of patients with T1D. Particularly in the case of patients using insulin pumps, the time of use of this technology appears to be a central and independent factor in clinical improvement, which reinforces the need for public health policies that guarantee early access to such technologies.\n\n\n### (1) Universidade Estadual Paulista (UNESP), Botucatu, SP, Brasil; (2) Universidade Estadual de Londrina (UEL) , Londrina, PR, Brasil\nIntroduction: Careful glycemic control is mandatory in the management of type 1 Diabetes Mellitus (T1DM) in order to prevent chronic complications. Approaches such as the insulin pump offer an effective alternative but demand specialized follow-up to ensure appropriate use. Within the context of Brazil’s Public Health System (Sistema Único de Saúde, SUS), the implementation of integrated care strategies is crucial to optimize clinical outcomes. Objective: To evaluate the effects of a multidisciplinary care protocol on the management of T1DM patients using insulin pumps in a SUS outpatient clinic. Methods: This was an interventional study with longitudinal follow-up of 10 insulin pump users. The glycated hemoglobin (HbA1c) levels of patients were evaluated before (M1) and 9 months after (M2) the implementation of a novel care model. The approach included a team composed of physicians, nutritionists, psychologists, and nurses, and focused on diabetes education and individualized care. The comparative study of the variables HbA1c (pre and post), time of pump use and delta HbA1c (HbA1c post – HbA1c pre) according to the participants’ educational levels was carried out considering the Student’s t-test for independent samples, in the case of the variables HbA1c and delta HbA1c and the non-parametric Mann-Whitney test for time of pump use. All results were discussed at a significance level of 5%. Results: The findings indicate a qualitative improvement in patient understanding and greater satisfaction with the multidisciplinary model. HbA1c levels improved among patients with longer insulin pump use, regardless of educational background. This finding demonstrates that, although effective for glycemic control, insulin pump therapy involves a learning curve that requires user adaptation, as reported in previous studies. The result of the inferential analysis was not significant (p>0.05) due to the small number of participants in each group. However, the clinical tendency of the results should be highlighted and, if new participants are included, such differences should be configured when the robustness of the statistical test increases. Conclusion: The study highlights the importance of multidisciplinary models in the care of patients with T1D. Particularly in the case of patients using insulin pumps, the time of use of this technology appears to be a central and independent factor in clinical improvement, which reinforces the need for public health policies that guarantee early access to such technologies.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—321\nIntroduction: Careful glycemic control is mandatory in the management of type 1 Diabetes Mellitus (T1DM) in order to prevent chronic complications. Approaches such as the insulin pump offer an effective alternative but demand specialized follow-up to ensure appropriate use. Within the context of Brazil’s Public Health System (Sistema Único de Saúde, SUS), the implementation of integrated care strategies is crucial to optimize clinical outcomes. Objective: To evaluate the effects of a multidisciplinary care protocol on the management of T1DM patients using insulin pumps in a SUS outpatient clinic. Methods: This was an interventional study with longitudinal follow-up of 10 insulin pump users. The glycated hemoglobin (HbA1c) levels of patients were evaluated before (M1) and 9 months after (M2) the implementation of a novel care model. The approach included a team composed of physicians, nutritionists, psychologists, and nurses, and focused on diabetes education and individualized care. The comparative study of the variables HbA1c (pre and post), time of pump use and delta HbA1c (HbA1c post – HbA1c pre) according to the participants’ educational levels was carried out considering the Student’s t-test for independent samples, in the case of the variables HbA1c and delta HbA1c and the non-parametric Mann-Whitney test for time of pump use. All results were discussed at a significance level of 5%. Results: The findings indicate a qualitative improvement in patient understanding and greater satisfaction with the multidisciplinary model. HbA1c levels improved among patients with longer insulin pump use, regardless of educational background. This finding demonstrates that, although effective for glycemic control, insulin pump therapy involves a learning curve that requires user adaptation, as reported in previous studies. The result of the inferential analysis was not significant (p>0.05) due to the small number of participants in each group. However, the clinical tendency of the results should be highlighted and, if new participants are included, such differences should be configured when the robustness of the statistical test increases. Conclusion: The study highlights the importance of multidisciplinary models in the care of patients with T1D. Particularly in the case of patients using insulin pumps, the time of use of this technology appears to be a central and independent factor in clinical improvement, which reinforces the need for public health policies that guarantee early access to such technologies.\n\n\n### PO—322 Short-Term Continuous Glucose Monitoring Use Improves Quality of Life and Glycemic Outcomes in Low-income Adults with Type 1 Diabetes\nIntroduction: Type 1 diabetes (T1D) management is complex and often negatively impacts mental health and quality of life (QoL), particularly in low-resource settings. Continuous glucose monitoring (CGM) may help mitigate these challenges. Objective: To describe the clinical and socioeconomic profile and QoL of adults with T1D and to assess the impact of short-term CGM use on glycemic outcomes and QoL. Methods: A longitudinal study recruited 37 adults with T1D from a public endocrinology clinic in Sergipe, Brazil. Participants used CGM systems and underwent monthly clinical evaluations over a 140-day period. Data were collected via structured interviews and medical record review. QoL was assessed at baseline and study completion using the validated DQOL-Brazil questionnaire (1-5 Likert scale; higher scores reflecting worse QoL). Results: Participants had a mean age of 30.1±11.1 years, most were female (59.5%), of mixed race (56.8%) and had low socioeconomic status (78.4% earning 1–2 minimum wages). Nearly half (48.7%) had completed secondary education. Mean diabetes duration was 12.9±9.8 years, with baseline HbA1c of 9.1 ± 1.8%. All participants used basal-bolus analog insulin regimens (0.7±0.3 IU/kg/day; 44.2±13.7% basal). Baseline self-reported anxiety and depressive symptoms were present in 70.3% and 32.4% of participants, respectively. Mean follow-up was 134.0±21.0 days (range: 56–140 days). Baseline global QoL was 2.6±0.7, with highest scores in “satisfaction’” (2.8±0.6) and “diabetes-related concerns” (2.8±1.0), followed by “impact” (2.6±0.6) and “social/professional concerns” (2.2±1.0). The item with highest score was “fear of diabetes complications” (4.2±1.1). At study completion, CGM metrics were glucose management indicator 7.4±0.9%, active time 85.0±16.7%, time in range 54.7±17.5%, time above range 38.9±22.9%, time bellow range 6.4±5.3% and glucose variability 40.4±7.0%. Overall QoL improved by 11.5% (final score: 2.3±0.6; p<0.01) and “satisfaction” domain showed the greatest benefit (20.9% reduction; 2.2±0.5; p<0.01). The other domains were statistically unchanged, but “diabetes-related concerns” was the only that slightly increased (+2.3%). Conclusion: In this low-resource setting, short-term CGM use was associated with improvements in both glycemic outcomes and QoL in adults with T1D, particularly in satisfaction. Persistent concerns about diabetes suggest the need for longer-term follow-up and targeted educational interventions.\n\n\n### Freitas JPA1; Lima LPS1; Monteiro NC2; Machado MLP3; Gama FG4; Silva VDS4; Leonardo Machado Martins1; Silva DG4; Silveira MSVM5; Trevisan TL6; Varela MG3; Santana NO2\nIntroduction: Type 1 diabetes (T1D) management is complex and often negatively impacts mental health and quality of life (QoL), particularly in low-resource settings. Continuous glucose monitoring (CGM) may help mitigate these challenges. Objective: To describe the clinical and socioeconomic profile and QoL of adults with T1D and to assess the impact of short-term CGM use on glycemic outcomes and QoL. Methods: A longitudinal study recruited 37 adults with T1D from a public endocrinology clinic in Sergipe, Brazil. Participants used CGM systems and underwent monthly clinical evaluations over a 140-day period. Data were collected via structured interviews and medical record review. QoL was assessed at baseline and study completion using the validated DQOL-Brazil questionnaire (1-5 Likert scale; higher scores reflecting worse QoL). Results: Participants had a mean age of 30.1±11.1 years, most were female (59.5%), of mixed race (56.8%) and had low socioeconomic status (78.4% earning 1–2 minimum wages). Nearly half (48.7%) had completed secondary education. Mean diabetes duration was 12.9±9.8 years, with baseline HbA1c of 9.1 ± 1.8%. All participants used basal-bolus analog insulin regimens (0.7±0.3 IU/kg/day; 44.2±13.7% basal). Baseline self-reported anxiety and depressive symptoms were present in 70.3% and 32.4% of participants, respectively. Mean follow-up was 134.0±21.0 days (range: 56–140 days). Baseline global QoL was 2.6±0.7, with highest scores in “satisfaction’” (2.8±0.6) and “diabetes-related concerns” (2.8±1.0), followed by “impact” (2.6±0.6) and “social/professional concerns” (2.2±1.0). The item with highest score was “fear of diabetes complications” (4.2±1.1). At study completion, CGM metrics were glucose management indicator 7.4±0.9%, active time 85.0±16.7%, time in range 54.7±17.5%, time above range 38.9±22.9%, time bellow range 6.4±5.3% and glucose variability 40.4±7.0%. Overall QoL improved by 11.5% (final score: 2.3±0.6; p<0.01) and “satisfaction” domain showed the greatest benefit (20.9% reduction; 2.2±0.5; p<0.01). The other domains were statistically unchanged, but “diabetes-related concerns” was the only that slightly increased (+2.3%). Conclusion: In this low-resource setting, short-term CGM use was associated with improvements in both glycemic outcomes and QoL in adults with T1D, particularly in satisfaction. Persistent concerns about diabetes suggest the need for longer-term follow-up and targeted educational interventions.\n\n\n### (1) Department of Medicine, Federal University of Sergipe, Aracajú, SE, Brasil; (2) Post-graduate Program in Health Sciences, Federal University of Sergipe, Aracajú, SE, Brasil; (3) Private Practice, Aracajú, SE, Brasil; (4) Post-graduate Program in Nutrition Science, Federal University of Sergipe, Aracajú, SE, Brasil; (5) Instituto de Saúde Mental e Diabetes, São Paulo, SP, Brasil; (6) Private Practice, Itajaí, SC, Brasil\nIntroduction: Type 1 diabetes (T1D) management is complex and often negatively impacts mental health and quality of life (QoL), particularly in low-resource settings. Continuous glucose monitoring (CGM) may help mitigate these challenges. Objective: To describe the clinical and socioeconomic profile and QoL of adults with T1D and to assess the impact of short-term CGM use on glycemic outcomes and QoL. Methods: A longitudinal study recruited 37 adults with T1D from a public endocrinology clinic in Sergipe, Brazil. Participants used CGM systems and underwent monthly clinical evaluations over a 140-day period. Data were collected via structured interviews and medical record review. QoL was assessed at baseline and study completion using the validated DQOL-Brazil questionnaire (1-5 Likert scale; higher scores reflecting worse QoL). Results: Participants had a mean age of 30.1±11.1 years, most were female (59.5%), of mixed race (56.8%) and had low socioeconomic status (78.4% earning 1–2 minimum wages). Nearly half (48.7%) had completed secondary education. Mean diabetes duration was 12.9±9.8 years, with baseline HbA1c of 9.1 ± 1.8%. All participants used basal-bolus analog insulin regimens (0.7±0.3 IU/kg/day; 44.2±13.7% basal). Baseline self-reported anxiety and depressive symptoms were present in 70.3% and 32.4% of participants, respectively. Mean follow-up was 134.0±21.0 days (range: 56–140 days). Baseline global QoL was 2.6±0.7, with highest scores in “satisfaction’” (2.8±0.6) and “diabetes-related concerns” (2.8±1.0), followed by “impact” (2.6±0.6) and “social/professional concerns” (2.2±1.0). The item with highest score was “fear of diabetes complications” (4.2±1.1). At study completion, CGM metrics were glucose management indicator 7.4±0.9%, active time 85.0±16.7%, time in range 54.7±17.5%, time above range 38.9±22.9%, time bellow range 6.4±5.3% and glucose variability 40.4±7.0%. Overall QoL improved by 11.5% (final score: 2.3±0.6; p<0.01) and “satisfaction” domain showed the greatest benefit (20.9% reduction; 2.2±0.5; p<0.01). The other domains were statistically unchanged, but “diabetes-related concerns” was the only that slightly increased (+2.3%). Conclusion: In this low-resource setting, short-term CGM use was associated with improvements in both glycemic outcomes and QoL in adults with T1D, particularly in satisfaction. Persistent concerns about diabetes suggest the need for longer-term follow-up and targeted educational interventions.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—322\nIntroduction: Type 1 diabetes (T1D) management is complex and often negatively impacts mental health and quality of life (QoL), particularly in low-resource settings. Continuous glucose monitoring (CGM) may help mitigate these challenges. Objective: To describe the clinical and socioeconomic profile and QoL of adults with T1D and to assess the impact of short-term CGM use on glycemic outcomes and QoL. Methods: A longitudinal study recruited 37 adults with T1D from a public endocrinology clinic in Sergipe, Brazil. Participants used CGM systems and underwent monthly clinical evaluations over a 140-day period. Data were collected via structured interviews and medical record review. QoL was assessed at baseline and study completion using the validated DQOL-Brazil questionnaire (1-5 Likert scale; higher scores reflecting worse QoL). Results: Participants had a mean age of 30.1±11.1 years, most were female (59.5%), of mixed race (56.8%) and had low socioeconomic status (78.4% earning 1–2 minimum wages). Nearly half (48.7%) had completed secondary education. Mean diabetes duration was 12.9±9.8 years, with baseline HbA1c of 9.1 ± 1.8%. All participants used basal-bolus analog insulin regimens (0.7±0.3 IU/kg/day; 44.2±13.7% basal). Baseline self-reported anxiety and depressive symptoms were present in 70.3% and 32.4% of participants, respectively. Mean follow-up was 134.0±21.0 days (range: 56–140 days). Baseline global QoL was 2.6±0.7, with highest scores in “satisfaction’” (2.8±0.6) and “diabetes-related concerns” (2.8±1.0), followed by “impact” (2.6±0.6) and “social/professional concerns” (2.2±1.0). The item with highest score was “fear of diabetes complications” (4.2±1.1). At study completion, CGM metrics were glucose management indicator 7.4±0.9%, active time 85.0±16.7%, time in range 54.7±17.5%, time above range 38.9±22.9%, time bellow range 6.4±5.3% and glucose variability 40.4±7.0%. Overall QoL improved by 11.5% (final score: 2.3±0.6; p<0.01) and “satisfaction” domain showed the greatest benefit (20.9% reduction; 2.2±0.5; p<0.01). The other domains were statistically unchanged, but “diabetes-related concerns” was the only that slightly increased (+2.3%). Conclusion: In this low-resource setting, short-term CGM use was associated with improvements in both glycemic outcomes and QoL in adults with T1D, particularly in satisfaction. Persistent concerns about diabetes suggest the need for longer-term follow-up and targeted educational interventions.\n\n\n### PO—323 Structured Education Enhances Continuous Glucose Monitoring Literacy and Glycemic Outcomes in a Low-Resource Type 1 Diabetes Population\nIntroduction: Continuous glucose monitoring (CGM) and structured education supports self-management in people with type 1 diabetes (PwT1D), yet knowledge retention remains a challenge in low-resource regions. Objective: To assess the impact of CGM use with structured education on glycemic outcomes and knowledge retention in PwT1D from a low-resource region. Methods: This 6-month longitudinal study enrolled 53 PwT1D from a public endocrinology clinic in Sergipe, Brazil. Data were collected through interviews and medical record review. Participants used CGM systems and received structured education on glucose targets, time-in-range (TIR), and trend arrow interpretation, reinforced monthly. Knowledge retention was assessed using questionnaires administered at baseline and during monthly follow-up visits. Results: Participants (mean age 24.7±12.6 years) were mostly adults (69.8%), female (64.2%), of mixed race (58.5%), low-income (71.7% earning 1–2 minimum wages) and 22.6% had incomplete elementary education. All used basal-bolus analog insulin regimens (0.8±0.4 IU/kg/day; 43.3±11.8% basal), with suboptimal baseline HbA1c (9.2±1.9%). Mean follow-up was 5.8±0.8 months. At study completion, CGM metrics were: glucose management indicator 7.6±1%, mean glucose 185.3±48.8 mg/dL and glucose variation 41.1±6.7%. TIR was suboptimal (48.5±17.7%), as were time above range level 2 (21.7±17.8%), time below range level 1 (5.2±4.6%) and below range level 2 (1±1.2%). However, time above range level 1 (23.6±8.3%) was within target range. Knowledge scores improved progressively throughout follow-up. Trend arrow interpretation achieved the highest mastery, likely due to its immediate clinical applicability. Baseline knowledge about TIR was the poorest, 58.5% of participants overestimated optimal targets. By study end, 77.6% identified the correct TIR goal, while only 14.6% retained unrealistic expectations. Learning curves showed the steepest gains within the first three months. Conclusion: Structured education paired with CGM use improved both glycemic outcomes and CGM literacy in this low-resource T1D population. The different retention of practical versus conceptual knowledge highlights the need for tailored education, particularly for abstract metrics like TIR. This approach demonstrates feasibility for improving diabetes care with technology in resource-limited settings.\n\n\n### Lima LPS1; Freitas JPA1; Machado MLP2; Monteiro NC3; Gama FG4; Silva VDS4; Martins LM1; Silva DG4; Varela MGMA2; Trevisan TL5; Santana NO 3\nIntroduction: Continuous glucose monitoring (CGM) and structured education supports self-management in people with type 1 diabetes (PwT1D), yet knowledge retention remains a challenge in low-resource regions. Objective: To assess the impact of CGM use with structured education on glycemic outcomes and knowledge retention in PwT1D from a low-resource region. Methods: This 6-month longitudinal study enrolled 53 PwT1D from a public endocrinology clinic in Sergipe, Brazil. Data were collected through interviews and medical record review. Participants used CGM systems and received structured education on glucose targets, time-in-range (TIR), and trend arrow interpretation, reinforced monthly. Knowledge retention was assessed using questionnaires administered at baseline and during monthly follow-up visits. Results: Participants (mean age 24.7±12.6 years) were mostly adults (69.8%), female (64.2%), of mixed race (58.5%), low-income (71.7% earning 1–2 minimum wages) and 22.6% had incomplete elementary education. All used basal-bolus analog insulin regimens (0.8±0.4 IU/kg/day; 43.3±11.8% basal), with suboptimal baseline HbA1c (9.2±1.9%). Mean follow-up was 5.8±0.8 months. At study completion, CGM metrics were: glucose management indicator 7.6±1%, mean glucose 185.3±48.8 mg/dL and glucose variation 41.1±6.7%. TIR was suboptimal (48.5±17.7%), as were time above range level 2 (21.7±17.8%), time below range level 1 (5.2±4.6%) and below range level 2 (1±1.2%). However, time above range level 1 (23.6±8.3%) was within target range. Knowledge scores improved progressively throughout follow-up. Trend arrow interpretation achieved the highest mastery, likely due to its immediate clinical applicability. Baseline knowledge about TIR was the poorest, 58.5% of participants overestimated optimal targets. By study end, 77.6% identified the correct TIR goal, while only 14.6% retained unrealistic expectations. Learning curves showed the steepest gains within the first three months. Conclusion: Structured education paired with CGM use improved both glycemic outcomes and CGM literacy in this low-resource T1D population. The different retention of practical versus conceptual knowledge highlights the need for tailored education, particularly for abstract metrics like TIR. This approach demonstrates feasibility for improving diabetes care with technology in resource-limited settings.\n\n\n### (1) Department of Medicine, Federal University of Sergipe, Aracajú, SE, Brasil; (2) Private Practice, Aracajú, SE, Brasil; (3) Post-graduate Program in Health Sciences, Federal University of Sergipe, Aracajú, SE, Brasil; (4) Post-graduate Program in Nutrition Science, Federal University of Sergipe, São Cristovão, SE, Brasil; (5) Private Practice- Itajaí, SC, Brasil\nIntroduction: Continuous glucose monitoring (CGM) and structured education supports self-management in people with type 1 diabetes (PwT1D), yet knowledge retention remains a challenge in low-resource regions. Objective: To assess the impact of CGM use with structured education on glycemic outcomes and knowledge retention in PwT1D from a low-resource region. Methods: This 6-month longitudinal study enrolled 53 PwT1D from a public endocrinology clinic in Sergipe, Brazil. Data were collected through interviews and medical record review. Participants used CGM systems and received structured education on glucose targets, time-in-range (TIR), and trend arrow interpretation, reinforced monthly. Knowledge retention was assessed using questionnaires administered at baseline and during monthly follow-up visits. Results: Participants (mean age 24.7±12.6 years) were mostly adults (69.8%), female (64.2%), of mixed race (58.5%), low-income (71.7% earning 1–2 minimum wages) and 22.6% had incomplete elementary education. All used basal-bolus analog insulin regimens (0.8±0.4 IU/kg/day; 43.3±11.8% basal), with suboptimal baseline HbA1c (9.2±1.9%). Mean follow-up was 5.8±0.8 months. At study completion, CGM metrics were: glucose management indicator 7.6±1%, mean glucose 185.3±48.8 mg/dL and glucose variation 41.1±6.7%. TIR was suboptimal (48.5±17.7%), as were time above range level 2 (21.7±17.8%), time below range level 1 (5.2±4.6%) and below range level 2 (1±1.2%). However, time above range level 1 (23.6±8.3%) was within target range. Knowledge scores improved progressively throughout follow-up. Trend arrow interpretation achieved the highest mastery, likely due to its immediate clinical applicability. Baseline knowledge about TIR was the poorest, 58.5% of participants overestimated optimal targets. By study end, 77.6% identified the correct TIR goal, while only 14.6% retained unrealistic expectations. Learning curves showed the steepest gains within the first three months. Conclusion: Structured education paired with CGM use improved both glycemic outcomes and CGM literacy in this low-resource T1D population. The different retention of practical versus conceptual knowledge highlights the need for tailored education, particularly for abstract metrics like TIR. This approach demonstrates feasibility for improving diabetes care with technology in resource-limited settings.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—323\nIntroduction: Continuous glucose monitoring (CGM) and structured education supports self-management in people with type 1 diabetes (PwT1D), yet knowledge retention remains a challenge in low-resource regions. Objective: To assess the impact of CGM use with structured education on glycemic outcomes and knowledge retention in PwT1D from a low-resource region. Methods: This 6-month longitudinal study enrolled 53 PwT1D from a public endocrinology clinic in Sergipe, Brazil. Data were collected through interviews and medical record review. Participants used CGM systems and received structured education on glucose targets, time-in-range (TIR), and trend arrow interpretation, reinforced monthly. Knowledge retention was assessed using questionnaires administered at baseline and during monthly follow-up visits. Results: Participants (mean age 24.7±12.6 years) were mostly adults (69.8%), female (64.2%), of mixed race (58.5%), low-income (71.7% earning 1–2 minimum wages) and 22.6% had incomplete elementary education. All used basal-bolus analog insulin regimens (0.8±0.4 IU/kg/day; 43.3±11.8% basal), with suboptimal baseline HbA1c (9.2±1.9%). Mean follow-up was 5.8±0.8 months. At study completion, CGM metrics were: glucose management indicator 7.6±1%, mean glucose 185.3±48.8 mg/dL and glucose variation 41.1±6.7%. TIR was suboptimal (48.5±17.7%), as were time above range level 2 (21.7±17.8%), time below range level 1 (5.2±4.6%) and below range level 2 (1±1.2%). However, time above range level 1 (23.6±8.3%) was within target range. Knowledge scores improved progressively throughout follow-up. Trend arrow interpretation achieved the highest mastery, likely due to its immediate clinical applicability. Baseline knowledge about TIR was the poorest, 58.5% of participants overestimated optimal targets. By study end, 77.6% identified the correct TIR goal, while only 14.6% retained unrealistic expectations. Learning curves showed the steepest gains within the first three months. Conclusion: Structured education paired with CGM use improved both glycemic outcomes and CGM literacy in this low-resource T1D population. The different retention of practical versus conceptual knowledge highlights the need for tailored education, particularly for abstract metrics like TIR. This approach demonstrates feasibility for improving diabetes care with technology in resource-limited settings.\n\n\n### PO—327 Type 2 Diabetes in Adolescents\nIntroduction: The prevalence of type 2 diabetes mellitus (T2DM) in youth has been increase worldwide, probably associated to the global epidemic obesity, particularly in specific ethnicity, low-income minorities and genetic background groups. In Brazil, data of the Cardiovascular Risk in Adolescents (ERICA) Study estimated a prevalence of 3.3% of T2DM among adolescents. Objective: To assess the prevalence of T2DM in youth, followed at a public diabetes center, and to describe the clinical characteristics, the metabolic control (glycated hemoglobin - HbA1c), and the associated comorbidities in children and adolescents with diabetes diagnosis under 20 years of age. Methods: A total of 203 cases of youth-onset T2DM were identified from a cohort of 5,302 children and adolescents with diabetes diagnosis until 20 years of age, at a public diabetes center. Clinical, laboratory and comorbidities data from 46 young T2D were collected from medical records. Body mass index (BMI) was classified according to the World Health Organization (WHO) or the National Center for Health Statistics (NCHS) criteria, adjusted for age and sex. Results: The overall T2DM prevalence in youth in our cohort was 3.8% (203/5,302). In the last year, 46 youths with T2DM were under follow-up, with a mean age at diabetes diagnosis of 13.7 ± 3.5 years. Of the sample, 71.7% were female and 6.5% presented with diabetic ketoacidosis at diagnosis (negative autoantibodies). A family history of T2DM was present in 80.4%, overweight/obesity in 84.8%, and acanthosis nigricans in 63.0%. The majority were Caucasian (71.7%). At T2DM diagnosis the mean HbA1c was 9.5±2.7%. Lipid abnormalities (elevated triglycerides and/or low high-density lipoprotein [HDL] and/or elevated low-density lipoprotein [LDL]) were found in 65.2%, and hypertension was detected in 34.8%. Most of the cases were treated with metformin (80.4%), either as monotherapy or associated to subcutaneous insulin treatment. Conclusion: Our results demonstrated the prevalence of T2DM in youth at a public diabetes center, highlighting the high frequency of family history of T2DM, predominantly in female and associated to overweight/obesity, hypertension and lipid abnormalities. This data reflected the association of the genetic background and the environmental factors in the pathogenesis of the disease.\n\n\n### Coutinho MKP1; Bona MMD1; Bressani RM1; Schaeffer MM1; Fornari AM1; Lavigne SM1; Tschiedel BM1\nIntroduction: The prevalence of type 2 diabetes mellitus (T2DM) in youth has been increase worldwide, probably associated to the global epidemic obesity, particularly in specific ethnicity, low-income minorities and genetic background groups. In Brazil, data of the Cardiovascular Risk in Adolescents (ERICA) Study estimated a prevalence of 3.3% of T2DM among adolescents. Objective: To assess the prevalence of T2DM in youth, followed at a public diabetes center, and to describe the clinical characteristics, the metabolic control (glycated hemoglobin - HbA1c), and the associated comorbidities in children and adolescents with diabetes diagnosis under 20 years of age. Methods: A total of 203 cases of youth-onset T2DM were identified from a cohort of 5,302 children and adolescents with diabetes diagnosis until 20 years of age, at a public diabetes center. Clinical, laboratory and comorbidities data from 46 young T2D were collected from medical records. Body mass index (BMI) was classified according to the World Health Organization (WHO) or the National Center for Health Statistics (NCHS) criteria, adjusted for age and sex. Results: The overall T2DM prevalence in youth in our cohort was 3.8% (203/5,302). In the last year, 46 youths with T2DM were under follow-up, with a mean age at diabetes diagnosis of 13.7 ± 3.5 years. Of the sample, 71.7% were female and 6.5% presented with diabetic ketoacidosis at diagnosis (negative autoantibodies). A family history of T2DM was present in 80.4%, overweight/obesity in 84.8%, and acanthosis nigricans in 63.0%. The majority were Caucasian (71.7%). At T2DM diagnosis the mean HbA1c was 9.5±2.7%. Lipid abnormalities (elevated triglycerides and/or low high-density lipoprotein [HDL] and/or elevated low-density lipoprotein [LDL]) were found in 65.2%, and hypertension was detected in 34.8%. Most of the cases were treated with metformin (80.4%), either as monotherapy or associated to subcutaneous insulin treatment. Conclusion: Our results demonstrated the prevalence of T2DM in youth at a public diabetes center, highlighting the high frequency of family history of T2DM, predominantly in female and associated to overweight/obesity, hypertension and lipid abnormalities. This data reflected the association of the genetic background and the environmental factors in the pathogenesis of the disease.\n\n\n### (1) Instituto da Criança com Diabetes, Grupo Hospitalar Conceição, Ministério da Saúde, Porto Alegre, RS, Brasil\nIntroduction: The prevalence of type 2 diabetes mellitus (T2DM) in youth has been increase worldwide, probably associated to the global epidemic obesity, particularly in specific ethnicity, low-income minorities and genetic background groups. In Brazil, data of the Cardiovascular Risk in Adolescents (ERICA) Study estimated a prevalence of 3.3% of T2DM among adolescents. Objective: To assess the prevalence of T2DM in youth, followed at a public diabetes center, and to describe the clinical characteristics, the metabolic control (glycated hemoglobin - HbA1c), and the associated comorbidities in children and adolescents with diabetes diagnosis under 20 years of age. Methods: A total of 203 cases of youth-onset T2DM were identified from a cohort of 5,302 children and adolescents with diabetes diagnosis until 20 years of age, at a public diabetes center. Clinical, laboratory and comorbidities data from 46 young T2D were collected from medical records. Body mass index (BMI) was classified according to the World Health Organization (WHO) or the National Center for Health Statistics (NCHS) criteria, adjusted for age and sex. Results: The overall T2DM prevalence in youth in our cohort was 3.8% (203/5,302). In the last year, 46 youths with T2DM were under follow-up, with a mean age at diabetes diagnosis of 13.7 ± 3.5 years. Of the sample, 71.7% were female and 6.5% presented with diabetic ketoacidosis at diagnosis (negative autoantibodies). A family history of T2DM was present in 80.4%, overweight/obesity in 84.8%, and acanthosis nigricans in 63.0%. The majority were Caucasian (71.7%). At T2DM diagnosis the mean HbA1c was 9.5±2.7%. Lipid abnormalities (elevated triglycerides and/or low high-density lipoprotein [HDL] and/or elevated low-density lipoprotein [LDL]) were found in 65.2%, and hypertension was detected in 34.8%. Most of the cases were treated with metformin (80.4%), either as monotherapy or associated to subcutaneous insulin treatment. Conclusion: Our results demonstrated the prevalence of T2DM in youth at a public diabetes center, highlighting the high frequency of family history of T2DM, predominantly in female and associated to overweight/obesity, hypertension and lipid abnormalities. This data reflected the association of the genetic background and the environmental factors in the pathogenesis of the disease.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—327\nIntroduction: The prevalence of type 2 diabetes mellitus (T2DM) in youth has been increase worldwide, probably associated to the global epidemic obesity, particularly in specific ethnicity, low-income minorities and genetic background groups. In Brazil, data of the Cardiovascular Risk in Adolescents (ERICA) Study estimated a prevalence of 3.3% of T2DM among adolescents. Objective: To assess the prevalence of T2DM in youth, followed at a public diabetes center, and to describe the clinical characteristics, the metabolic control (glycated hemoglobin - HbA1c), and the associated comorbidities in children and adolescents with diabetes diagnosis under 20 years of age. Methods: A total of 203 cases of youth-onset T2DM were identified from a cohort of 5,302 children and adolescents with diabetes diagnosis until 20 years of age, at a public diabetes center. Clinical, laboratory and comorbidities data from 46 young T2D were collected from medical records. Body mass index (BMI) was classified according to the World Health Organization (WHO) or the National Center for Health Statistics (NCHS) criteria, adjusted for age and sex. Results: The overall T2DM prevalence in youth in our cohort was 3.8% (203/5,302). In the last year, 46 youths with T2DM were under follow-up, with a mean age at diabetes diagnosis of 13.7 ± 3.5 years. Of the sample, 71.7% were female and 6.5% presented with diabetic ketoacidosis at diagnosis (negative autoantibodies). A family history of T2DM was present in 80.4%, overweight/obesity in 84.8%, and acanthosis nigricans in 63.0%. The majority were Caucasian (71.7%). At T2DM diagnosis the mean HbA1c was 9.5±2.7%. Lipid abnormalities (elevated triglycerides and/or low high-density lipoprotein [HDL] and/or elevated low-density lipoprotein [LDL]) were found in 65.2%, and hypertension was detected in 34.8%. Most of the cases were treated with metformin (80.4%), either as monotherapy or associated to subcutaneous insulin treatment. Conclusion: Our results demonstrated the prevalence of T2DM in youth at a public diabetes center, highlighting the high frequency of family history of T2DM, predominantly in female and associated to overweight/obesity, hypertension and lipid abnormalities. This data reflected the association of the genetic background and the environmental factors in the pathogenesis of the disease.\n\n\n### PO—328 Use of Insulin Pump in a Patient with Type 1 Diabetes and Silver-Russell Syndrome: A Clinical Case Report Focused on Glycemic Evolution and Educational Impact\nCase Presentation: L.B.S., a 34-year-old male diagnosed with Type 1 Diabetes (T1D) at age 10, also presents with Silver Russell syndrome. Initially treated with oral antidiabetics, he transitioned to insulin therapy using pens (basal and rapid insulins). Despite proper use, he experienced significant glycemic variability, chronic fatigue, elevated HbA1c, episodes of hypoglycemia and hyperglycemia, and adherence challenges. With medical and family support, he transitioned to continuous use of the 640G insulin pump and Guardian 3 sensor. At the start of therapy, HbA1c dropped from 12.8% to 4.8% within the first months, stabilizing at an average of 6.2% with regular follow-ups. During periods without educational support, HbA1c increased to 7–8% but quickly returned to 6–7% with the resumption of clinical support. Beyond glycemic improvements, there was stabilization of body weight (previously 36 kg), cessation of intravitreal injections following resolution of ophthalmological complications, improved sleep quality, reduction of nocturnal urinary symptoms, and increased autonomy. The patient emphasized the importance of educational support in correcting dietary errors, implementing carbohydrate counting strategies, and effectively using the technology. The patient provided a written consent to publish his information. Discussion: This report highlights the positive impact of continuous subcutaneous insulin infusion in patients with T1D and genetic comorbidities such as Silver-Russell syndrome. The insulin pump allows for personalized adjustments of basal and bolus insulin, promoting better glycemic control. Sensors and automatic suspension systems, such as those in the 640G model, help reduce hypoglycemia and facilitate early interventions. Studies such as DCCT/EDIC and international guidelines support these benefits, demonstrating that intensive control reduces microvascular complications and improves quality of life. Continuous educational support, emphasized by the patient, is essential for maintaining positive outcomes, promoting adherence, and fostering autonomy in disease management. Final Comments: Insulin pump therapy and continuous glucose monitoring demonstrated efficacy in glycemic control, complication reversal, and quality-of-life improvement in a patient with T1D and Silver-Russell syndrome. This case reinforces the need for individualized treatment, investment in advanced technologies, and the provision of qualified and continuous educational support. The combination of technology and education empowers patients, promoting better clinical outcomes even in complex contexts.\n\n\n### Leão AAP1; Oliveira EH2; Mariana Lemos M3; Matos DA4; Castelo Branco F5; Silva LB6\nCase Presentation: L.B.S., a 34-year-old male diagnosed with Type 1 Diabetes (T1D) at age 10, also presents with Silver Russell syndrome. Initially treated with oral antidiabetics, he transitioned to insulin therapy using pens (basal and rapid insulins). Despite proper use, he experienced significant glycemic variability, chronic fatigue, elevated HbA1c, episodes of hypoglycemia and hyperglycemia, and adherence challenges. With medical and family support, he transitioned to continuous use of the 640G insulin pump and Guardian 3 sensor. At the start of therapy, HbA1c dropped from 12.8% to 4.8% within the first months, stabilizing at an average of 6.2% with regular follow-ups. During periods without educational support, HbA1c increased to 7–8% but quickly returned to 6–7% with the resumption of clinical support. Beyond glycemic improvements, there was stabilization of body weight (previously 36 kg), cessation of intravitreal injections following resolution of ophthalmological complications, improved sleep quality, reduction of nocturnal urinary symptoms, and increased autonomy. The patient emphasized the importance of educational support in correcting dietary errors, implementing carbohydrate counting strategies, and effectively using the technology. The patient provided a written consent to publish his information. Discussion: This report highlights the positive impact of continuous subcutaneous insulin infusion in patients with T1D and genetic comorbidities such as Silver-Russell syndrome. The insulin pump allows for personalized adjustments of basal and bolus insulin, promoting better glycemic control. Sensors and automatic suspension systems, such as those in the 640G model, help reduce hypoglycemia and facilitate early interventions. Studies such as DCCT/EDIC and international guidelines support these benefits, demonstrating that intensive control reduces microvascular complications and improves quality of life. Continuous educational support, emphasized by the patient, is essential for maintaining positive outcomes, promoting adherence, and fostering autonomy in disease management. Final Comments: Insulin pump therapy and continuous glucose monitoring demonstrated efficacy in glycemic control, complication reversal, and quality-of-life improvement in a patient with T1D and Silver-Russell syndrome. This case reinforces the need for individualized treatment, investment in advanced technologies, and the provision of qualified and continuous educational support. The combination of technology and education empowers patients, promoting better clinical outcomes even in complex contexts.\n\n\n### (1) Universidade Federal do Paraná; Medtronic comercial Ltda, Curitiba, PR, Brasil; (2) Medtronic comercial Ltda, São Paulo, SP, Brasil; (3) Medtronic comercial  Ltda Goiânia, GO, Brasil; (4) Medtronic comercial Ltda, São José do Rio Preto, SP, Brasil; (5) Secretaria Municipal de Educação de Marília, SP, Brasil\nCase Presentation: L.B.S., a 34-year-old male diagnosed with Type 1 Diabetes (T1D) at age 10, also presents with Silver Russell syndrome. Initially treated with oral antidiabetics, he transitioned to insulin therapy using pens (basal and rapid insulins). Despite proper use, he experienced significant glycemic variability, chronic fatigue, elevated HbA1c, episodes of hypoglycemia and hyperglycemia, and adherence challenges. With medical and family support, he transitioned to continuous use of the 640G insulin pump and Guardian 3 sensor. At the start of therapy, HbA1c dropped from 12.8% to 4.8% within the first months, stabilizing at an average of 6.2% with regular follow-ups. During periods without educational support, HbA1c increased to 7–8% but quickly returned to 6–7% with the resumption of clinical support. Beyond glycemic improvements, there was stabilization of body weight (previously 36 kg), cessation of intravitreal injections following resolution of ophthalmological complications, improved sleep quality, reduction of nocturnal urinary symptoms, and increased autonomy. The patient emphasized the importance of educational support in correcting dietary errors, implementing carbohydrate counting strategies, and effectively using the technology. The patient provided a written consent to publish his information. Discussion: This report highlights the positive impact of continuous subcutaneous insulin infusion in patients with T1D and genetic comorbidities such as Silver-Russell syndrome. The insulin pump allows for personalized adjustments of basal and bolus insulin, promoting better glycemic control. Sensors and automatic suspension systems, such as those in the 640G model, help reduce hypoglycemia and facilitate early interventions. Studies such as DCCT/EDIC and international guidelines support these benefits, demonstrating that intensive control reduces microvascular complications and improves quality of life. Continuous educational support, emphasized by the patient, is essential for maintaining positive outcomes, promoting adherence, and fostering autonomy in disease management. Final Comments: Insulin pump therapy and continuous glucose monitoring demonstrated efficacy in glycemic control, complication reversal, and quality-of-life improvement in a patient with T1D and Silver-Russell syndrome. This case reinforces the need for individualized treatment, investment in advanced technologies, and the provision of qualified and continuous educational support. The combination of technology and education empowers patients, promoting better clinical outcomes even in complex contexts.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—328\nCase Presentation: L.B.S., a 34-year-old male diagnosed with Type 1 Diabetes (T1D) at age 10, also presents with Silver Russell syndrome. Initially treated with oral antidiabetics, he transitioned to insulin therapy using pens (basal and rapid insulins). Despite proper use, he experienced significant glycemic variability, chronic fatigue, elevated HbA1c, episodes of hypoglycemia and hyperglycemia, and adherence challenges. With medical and family support, he transitioned to continuous use of the 640G insulin pump and Guardian 3 sensor. At the start of therapy, HbA1c dropped from 12.8% to 4.8% within the first months, stabilizing at an average of 6.2% with regular follow-ups. During periods without educational support, HbA1c increased to 7–8% but quickly returned to 6–7% with the resumption of clinical support. Beyond glycemic improvements, there was stabilization of body weight (previously 36 kg), cessation of intravitreal injections following resolution of ophthalmological complications, improved sleep quality, reduction of nocturnal urinary symptoms, and increased autonomy. The patient emphasized the importance of educational support in correcting dietary errors, implementing carbohydrate counting strategies, and effectively using the technology. The patient provided a written consent to publish his information. Discussion: This report highlights the positive impact of continuous subcutaneous insulin infusion in patients with T1D and genetic comorbidities such as Silver-Russell syndrome. The insulin pump allows for personalized adjustments of basal and bolus insulin, promoting better glycemic control. Sensors and automatic suspension systems, such as those in the 640G model, help reduce hypoglycemia and facilitate early interventions. Studies such as DCCT/EDIC and international guidelines support these benefits, demonstrating that intensive control reduces microvascular complications and improves quality of life. Continuous educational support, emphasized by the patient, is essential for maintaining positive outcomes, promoting adherence, and fostering autonomy in disease management. Final Comments: Insulin pump therapy and continuous glucose monitoring demonstrated efficacy in glycemic control, complication reversal, and quality-of-life improvement in a patient with T1D and Silver-Russell syndrome. This case reinforces the need for individualized treatment, investment in advanced technologies, and the provision of qualified and continuous educational support. The combination of technology and education empowers patients, promoting better clinical outcomes even in complex contexts.\n\n\n### PO—329 Use of the Virtual Tool “Lina Chatbot” for Guidance on Insulin Administration in Diabetic Patients Attended at the Endocrinology Outpatient Clinic\nIntroduction: Proper insulin administration is essential for glycemic control in patients with type 1 (T1DM) and type 2 diabetes mellitus (T2DM). Technical errors in injection are frequent in clinical practice and may impair therapeutic outcomes. Digital educational tools, such as the “Lina Chatbot,” an interactive virtual questionnaire conducted by a “digital nurse,” have emerged as promising strategies to strengthen self-care. Objective: To evaluate the influence of Lina Chatbot, designed to improve insulin injection techniques, on glycemic control measured by glycated hemoglobin (HbA1c) in T1DM and T2DM patients. Methods: A prospective observational study, approved by the ethics committee, was conducted with insulin-treated diabetic patients. HbA1c levels were assessed before and 1–4 months after chatbot access. Platform administrators verified user access and, based on this, patients were divided into two groups: Group 1, with confirmed access, and Group 2, without access. Patients who did not return with appropriate HbA1c results were excluded. Variables analyzed included HbA1c increase or decrease in both groups. The chi-square test, with a significance level of 0.05, was applied to evaluate statistical differences. Results: Thirty-seven patients were initially followed, and eight were excluded for lack of valid HbA1c results. The final sample consisted of 29 patients: 15 with confirmed chatbot access and 14 without. The mean age was 57 years, and 52% were elderly. In the access group, 9 patients showed HbA1c reduction (mean decrease: 1.40%), 5 showed an increase (mean rise: 0.84%), and 1 had no change. In the non-access group, 10 patients showed HbA1c reduction (mean decrease: 1.29%), while 4 showed an increase (mean rise: 0.45%). No statistical difference was observed between the groups (p=0.5229). Conclusion: Although no statistically significant difference was found, patients who accessed the chatbot experienced a slightly greater HbA1c reduction. Patient age may have contributed to limited platform use. Digital educational tools such as Lina Chatbot appear to be promising strategies to enhance self-care in subjects with diabetes.\n\n\n### Guimarães ML1; Claudio ILP1; Oliveira HC1; Cerbino AS 1; Ross M 1; Cargnin KRN 1\nIntroduction: Proper insulin administration is essential for glycemic control in patients with type 1 (T1DM) and type 2 diabetes mellitus (T2DM). Technical errors in injection are frequent in clinical practice and may impair therapeutic outcomes. Digital educational tools, such as the “Lina Chatbot,” an interactive virtual questionnaire conducted by a “digital nurse,” have emerged as promising strategies to strengthen self-care. Objective: To evaluate the influence of Lina Chatbot, designed to improve insulin injection techniques, on glycemic control measured by glycated hemoglobin (HbA1c) in T1DM and T2DM patients. Methods: A prospective observational study, approved by the ethics committee, was conducted with insulin-treated diabetic patients. HbA1c levels were assessed before and 1–4 months after chatbot access. Platform administrators verified user access and, based on this, patients were divided into two groups: Group 1, with confirmed access, and Group 2, without access. Patients who did not return with appropriate HbA1c results were excluded. Variables analyzed included HbA1c increase or decrease in both groups. The chi-square test, with a significance level of 0.05, was applied to evaluate statistical differences. Results: Thirty-seven patients were initially followed, and eight were excluded for lack of valid HbA1c results. The final sample consisted of 29 patients: 15 with confirmed chatbot access and 14 without. The mean age was 57 years, and 52% were elderly. In the access group, 9 patients showed HbA1c reduction (mean decrease: 1.40%), 5 showed an increase (mean rise: 0.84%), and 1 had no change. In the non-access group, 10 patients showed HbA1c reduction (mean decrease: 1.29%), while 4 showed an increase (mean rise: 0.45%). No statistical difference was observed between the groups (p=0.5229). Conclusion: Although no statistically significant difference was found, patients who accessed the chatbot experienced a slightly greater HbA1c reduction. Patient age may have contributed to limited platform use. Digital educational tools such as Lina Chatbot appear to be promising strategies to enhance self-care in subjects with diabetes.\n\n\n### (1) Santa Casa da Misericórdia do Rio de Janeiro, Rio de Janeiro, RJ, Brasil\nIntroduction: Proper insulin administration is essential for glycemic control in patients with type 1 (T1DM) and type 2 diabetes mellitus (T2DM). Technical errors in injection are frequent in clinical practice and may impair therapeutic outcomes. Digital educational tools, such as the “Lina Chatbot,” an interactive virtual questionnaire conducted by a “digital nurse,” have emerged as promising strategies to strengthen self-care. Objective: To evaluate the influence of Lina Chatbot, designed to improve insulin injection techniques, on glycemic control measured by glycated hemoglobin (HbA1c) in T1DM and T2DM patients. Methods: A prospective observational study, approved by the ethics committee, was conducted with insulin-treated diabetic patients. HbA1c levels were assessed before and 1–4 months after chatbot access. Platform administrators verified user access and, based on this, patients were divided into two groups: Group 1, with confirmed access, and Group 2, without access. Patients who did not return with appropriate HbA1c results were excluded. Variables analyzed included HbA1c increase or decrease in both groups. The chi-square test, with a significance level of 0.05, was applied to evaluate statistical differences. Results: Thirty-seven patients were initially followed, and eight were excluded for lack of valid HbA1c results. The final sample consisted of 29 patients: 15 with confirmed chatbot access and 14 without. The mean age was 57 years, and 52% were elderly. In the access group, 9 patients showed HbA1c reduction (mean decrease: 1.40%), 5 showed an increase (mean rise: 0.84%), and 1 had no change. In the non-access group, 10 patients showed HbA1c reduction (mean decrease: 1.29%), while 4 showed an increase (mean rise: 0.45%). No statistical difference was observed between the groups (p=0.5229). Conclusion: Although no statistically significant difference was found, patients who accessed the chatbot experienced a slightly greater HbA1c reduction. Patient age may have contributed to limited platform use. Digital educational tools such as Lina Chatbot appear to be promising strategies to enhance self-care in subjects with diabetes.\n\n\n### Diabetology & Metabolic Syndrome 2026: PO—329\nIntroduction: Proper insulin administration is essential for glycemic control in patients with type 1 (T1DM) and type 2 diabetes mellitus (T2DM). Technical errors in injection are frequent in clinical practice and may impair therapeutic outcomes. Digital educational tools, such as the “Lina Chatbot,” an interactive virtual questionnaire conducted by a “digital nurse,” have emerged as promising strategies to strengthen self-care. Objective: To evaluate the influence of Lina Chatbot, designed to improve insulin injection techniques, on glycemic control measured by glycated hemoglobin (HbA1c) in T1DM and T2DM patients. Methods: A prospective observational study, approved by the ethics committee, was conducted with insulin-treated diabetic patients. HbA1c levels were assessed before and 1–4 months after chatbot access. Platform administrators verified user access and, based on this, patients were divided into two groups: Group 1, with confirmed access, and Group 2, without access. Patients who did not return with appropriate HbA1c results were excluded. Variables analyzed included HbA1c increase or decrease in both groups. The chi-square test, with a significance level of 0.05, was applied to evaluate statistical differences. Results: Thirty-seven patients were initially followed, and eight were excluded for lack of valid HbA1c results. The final sample consisted of 29 patients: 15 with confirmed chatbot access and 14 without. The mean age was 57 years, and 52% were elderly. In the access group, 9 patients showed HbA1c reduction (mean decrease: 1.40%), 5 showed an increase (mean rise: 0.84%), and 1 had no change. In the non-access group, 10 patients showed HbA1c reduction (mean decrease: 1.29%), while 4 showed an increase (mean rise: 0.45%). No statistical difference was observed between the groups (p=0.5229). Conclusion: Although no statistically significant difference was found, patients who accessed the chatbot experienced a slightly greater HbA1c reduction. Patient age may have contributed to limited platform use. Digital educational tools such as Lina Chatbot appear to be promising strategies to enhance self-care in subjects with diabetes.", "domain": "affective_neuroscience"}
{"source": "PMC13034601", "title": "Proceedings of the 3rd edition of the International e-Health Forum 2025", "text": "# Proceedings of the 3rd edition of the International e-Health Forum 2025\n\n## Abstract\n\n\n## Full Text\n\n\n### I1 Introduction to the 3rd edition of the International e-Health Forum – IeHF2025\nBMC Proceedings 2026, 20(11):I1\nThe original version of this article was revised: The article title has been corrected.\nThis volume brings together the scientific abstracts and posters presented during the third edition of the International e-Health Forum (IeHF2025), which took place from 25 to 27 November 2025 at the Mohammed VI University of Health Sciences (UM6SS) in Casablanca. Held under the High Patronage of His Majesty King Mohammed VI, the event was co-organized by the Mohammed VI Foundation for Health and the e-Health Innovation Center (CIeS) of Mohammed V University in Rabat, with the support of various ministries and national institutions.\nIeHF2025 convened a wide range of national and international stakeholders committed to advancing digital health transformation across Africa and the Global South. The scientific communications included in this volume reflect the broader themes addressed during the forum, particularly the governance and interoperability of health data systems, the responsible integration of artificial intelligence in clinical care, and the use of digital technologies to support major events such as the 2030 FIFA World Cup.\nIn addition to the scientific program, IeHF2025 featured several key initiatives that contributed to shaping the national and regional digital health agenda. These included the inaugural Health Connect Showcase on Interoperability, the first meeting of the MOHIM* Interoperability Working Group, and live demonstrations of AI solutions applied in real-world clinical settings. The MAHIR** Framework was also presented as a strategic tool to support AI adoption in health institutions.\nA particular emphasis was placed on digital health applications in sports medicine, as well as on fostering innovation ecosystems through the International Startup Call, the Hackathon, and the Best Abstract Awards. With a strong focus on co-creation, public-private partnerships, and regional cooperation, the final declaration of IeHF2025 outlined a shared commitment to building a robust national governance framework, advancing structured AI deployment, harmonizing interoperability standards, investing in digital skills, and reinforcing international collaboration. These efforts aim to position Morocco as a leader in secure, equitable, and innovation-driven digital health\n*Morocco Health Interoperability and Maturity Program\n**Morocco AI for Health Implementation and Readiness Framework\n\n\n### A. Doukkali\nBMC Proceedings 2026, 20(11):I1\nThe original version of this article was revised: The article title has been corrected.\nThis volume brings together the scientific abstracts and posters presented during the third edition of the International e-Health Forum (IeHF2025), which took place from 25 to 27 November 2025 at the Mohammed VI University of Health Sciences (UM6SS) in Casablanca. Held under the High Patronage of His Majesty King Mohammed VI, the event was co-organized by the Mohammed VI Foundation for Health and the e-Health Innovation Center (CIeS) of Mohammed V University in Rabat, with the support of various ministries and national institutions.\nIeHF2025 convened a wide range of national and international stakeholders committed to advancing digital health transformation across Africa and the Global South. The scientific communications included in this volume reflect the broader themes addressed during the forum, particularly the governance and interoperability of health data systems, the responsible integration of artificial intelligence in clinical care, and the use of digital technologies to support major events such as the 2030 FIFA World Cup.\nIn addition to the scientific program, IeHF2025 featured several key initiatives that contributed to shaping the national and regional digital health agenda. These included the inaugural Health Connect Showcase on Interoperability, the first meeting of the MOHIM* Interoperability Working Group, and live demonstrations of AI solutions applied in real-world clinical settings. The MAHIR** Framework was also presented as a strategic tool to support AI adoption in health institutions.\nA particular emphasis was placed on digital health applications in sports medicine, as well as on fostering innovation ecosystems through the International Startup Call, the Hackathon, and the Best Abstract Awards. With a strong focus on co-creation, public-private partnerships, and regional cooperation, the final declaration of IeHF2025 outlined a shared commitment to building a robust national governance framework, advancing structured AI deployment, harmonizing interoperability standards, investing in digital skills, and reinforcing international collaboration. These efforts aim to position Morocco as a leader in secure, equitable, and innovation-driven digital health\n*Morocco Health Interoperability and Maturity Program\n**Morocco AI for Health Implementation and Readiness Framework\n\n\n### The e-Health Innovation Center (CIeS), Mohammed V University in Rabat\nBMC Proceedings 2026, 20(11):I1\nThe original version of this article was revised: The article title has been corrected.\nThis volume brings together the scientific abstracts and posters presented during the third edition of the International e-Health Forum (IeHF2025), which took place from 25 to 27 November 2025 at the Mohammed VI University of Health Sciences (UM6SS) in Casablanca. Held under the High Patronage of His Majesty King Mohammed VI, the event was co-organized by the Mohammed VI Foundation for Health and the e-Health Innovation Center (CIeS) of Mohammed V University in Rabat, with the support of various ministries and national institutions.\nIeHF2025 convened a wide range of national and international stakeholders committed to advancing digital health transformation across Africa and the Global South. The scientific communications included in this volume reflect the broader themes addressed during the forum, particularly the governance and interoperability of health data systems, the responsible integration of artificial intelligence in clinical care, and the use of digital technologies to support major events such as the 2030 FIFA World Cup.\nIn addition to the scientific program, IeHF2025 featured several key initiatives that contributed to shaping the national and regional digital health agenda. These included the inaugural Health Connect Showcase on Interoperability, the first meeting of the MOHIM* Interoperability Working Group, and live demonstrations of AI solutions applied in real-world clinical settings. The MAHIR** Framework was also presented as a strategic tool to support AI adoption in health institutions.\nA particular emphasis was placed on digital health applications in sports medicine, as well as on fostering innovation ecosystems through the International Startup Call, the Hackathon, and the Best Abstract Awards. With a strong focus on co-creation, public-private partnerships, and regional cooperation, the final declaration of IeHF2025 outlined a shared commitment to building a robust national governance framework, advancing structured AI deployment, harmonizing interoperability standards, investing in digital skills, and reinforcing international collaboration. These efforts aim to position Morocco as a leader in secure, equitable, and innovation-driven digital health\n*Morocco Health Interoperability and Maturity Program\n**Morocco AI for Health Implementation and Readiness Framework\n\n\n### Correspondence: A. Doukkali (a.doukkali@um5r.ac.ma)\nBMC Proceedings 2026, 20(11):I1\nThe original version of this article was revised: The article title has been corrected.\nThis volume brings together the scientific abstracts and posters presented during the third edition of the International e-Health Forum (IeHF2025), which took place from 25 to 27 November 2025 at the Mohammed VI University of Health Sciences (UM6SS) in Casablanca. Held under the High Patronage of His Majesty King Mohammed VI, the event was co-organized by the Mohammed VI Foundation for Health and the e-Health Innovation Center (CIeS) of Mohammed V University in Rabat, with the support of various ministries and national institutions.\nIeHF2025 convened a wide range of national and international stakeholders committed to advancing digital health transformation across Africa and the Global South. The scientific communications included in this volume reflect the broader themes addressed during the forum, particularly the governance and interoperability of health data systems, the responsible integration of artificial intelligence in clinical care, and the use of digital technologies to support major events such as the 2030 FIFA World Cup.\nIn addition to the scientific program, IeHF2025 featured several key initiatives that contributed to shaping the national and regional digital health agenda. These included the inaugural Health Connect Showcase on Interoperability, the first meeting of the MOHIM* Interoperability Working Group, and live demonstrations of AI solutions applied in real-world clinical settings. The MAHIR** Framework was also presented as a strategic tool to support AI adoption in health institutions.\nA particular emphasis was placed on digital health applications in sports medicine, as well as on fostering innovation ecosystems through the International Startup Call, the Hackathon, and the Best Abstract Awards. With a strong focus on co-creation, public-private partnerships, and regional cooperation, the final declaration of IeHF2025 outlined a shared commitment to building a robust national governance framework, advancing structured AI deployment, harmonizing interoperability standards, investing in digital skills, and reinforcing international collaboration. These efforts aim to position Morocco as a leader in secure, equitable, and innovation-driven digital health\n*Morocco Health Interoperability and Maturity Program\n**Morocco AI for Health Implementation and Readiness Framework\n\n\n### O1 Automated electrocardiogram analysis using temporal convolutional networks\nBMC Proceedings 2026, 20(11):O1\nAbstract\nBackground\nElectrocardiogram (ECG) interpretation remains a time-consuming task and is subject to inter-observer variability, particularly in high-volume clinical environments. Cardiology departments increasingly require rapid and consistent automated ECG analysis solutions to support clinical decision-making and improve workflow efficiency.\nMaterials and Methods\nA retrospective dataset of 14,827 twelve-lead ECG recordings was analyzed, with data split into training (80%), validation (10%), and test (10%) sets. Signal preprocessing included band-pass filtering between 0.5 and 45 Hz, baseline wander removal, and adaptive R-peak detection using the Pan–Tompkins algorithm. For each ECG record, nine averaged fiducial features were extracted to capture temporal and amplitude characteristics, including RR, PR, QT, ST, PQ, and QRS intervals, as well as R, Q, and P wave amplitudes.\nClass imbalance was mitigated by down-sampling majority normal recordings and augmenting minority classes using a one-dimensional generative adversarial network (1D-GAN). The predictive model employed a Temporal Convolutional Network (TCN) architecture composed of three dilated residual blocks, combined with a multilayer perceptron for fiducial feature integration. Training was performed using AdamW optimization with OneCycle learning rate scheduling, gradient clipping, and early stopping.\nResults\nThe proposed model achieved an overall classification accuracy of 77% and a macro-averaged F1 score of 0.70. One-vs-rest area under the curve (AUC) analysis demonstrated strong discriminative performance across cardiac conditions, including conduction disorders (0.892), hypertrophy (0.911), prior myocardial infarction (0.935), normal ECGs (0.948), and ST-T changes (0.909). Recall was highest for normal ECGs (0.87) and lowest for hypertrophy (0.51), reflecting sensitivity challenges in under-represented classes. Average inference time was below 50 milliseconds per ECG sample.\nConclusions\nThis lightweight Temporal Convolutional Network pipeline enables rapid and consistent multi-class ECG classification using band-passed signals and a limited set of fiducial features. The architecture is well suited for real-world cardiology deployment, balancing computational efficiency with diagnostic performance across multiple cardiac conditions. Future work will focus on integrating richer heart rate variability and frequency-domain features, improving data augmentation strategies for rare classes, and extending the system toward mobile and point-of-care applications to enhance robustness and generalizability.\nKeywords\nCardiovascular diseases, electrocardiography, diagnosis, machine learning, deep learning\n\n\n### A. Elmassaoudi1, M. Cherti2, S. Douzi2, M. Abik1\nBMC Proceedings 2026, 20(11):O1\nAbstract\nBackground\nElectrocardiogram (ECG) interpretation remains a time-consuming task and is subject to inter-observer variability, particularly in high-volume clinical environments. Cardiology departments increasingly require rapid and consistent automated ECG analysis solutions to support clinical decision-making and improve workflow efficiency.\nMaterials and Methods\nA retrospective dataset of 14,827 twelve-lead ECG recordings was analyzed, with data split into training (80%), validation (10%), and test (10%) sets. Signal preprocessing included band-pass filtering between 0.5 and 45 Hz, baseline wander removal, and adaptive R-peak detection using the Pan–Tompkins algorithm. For each ECG record, nine averaged fiducial features were extracted to capture temporal and amplitude characteristics, including RR, PR, QT, ST, PQ, and QRS intervals, as well as R, Q, and P wave amplitudes.\nClass imbalance was mitigated by down-sampling majority normal recordings and augmenting minority classes using a one-dimensional generative adversarial network (1D-GAN). The predictive model employed a Temporal Convolutional Network (TCN) architecture composed of three dilated residual blocks, combined with a multilayer perceptron for fiducial feature integration. Training was performed using AdamW optimization with OneCycle learning rate scheduling, gradient clipping, and early stopping.\nResults\nThe proposed model achieved an overall classification accuracy of 77% and a macro-averaged F1 score of 0.70. One-vs-rest area under the curve (AUC) analysis demonstrated strong discriminative performance across cardiac conditions, including conduction disorders (0.892), hypertrophy (0.911), prior myocardial infarction (0.935), normal ECGs (0.948), and ST-T changes (0.909). Recall was highest for normal ECGs (0.87) and lowest for hypertrophy (0.51), reflecting sensitivity challenges in under-represented classes. Average inference time was below 50 milliseconds per ECG sample.\nConclusions\nThis lightweight Temporal Convolutional Network pipeline enables rapid and consistent multi-class ECG classification using band-passed signals and a limited set of fiducial features. The architecture is well suited for real-world cardiology deployment, balancing computational efficiency with diagnostic performance across multiple cardiac conditions. Future work will focus on integrating richer heart rate variability and frequency-domain features, improving data augmentation strategies for rare classes, and extending the system toward mobile and point-of-care applications to enhance robustness and generalizability.\nKeywords\nCardiovascular diseases, electrocardiography, diagnosis, machine learning, deep learning\n\n\n### 1National School of Computer Science and Systems Analysis (ENSIAS), Mohammed V University, Rabat, Morocco; 2Faculty of Medicine and Pharmacy, Mohammed V University, Rabat, Morocco\nBMC Proceedings 2026, 20(11):O1\nAbstract\nBackground\nElectrocardiogram (ECG) interpretation remains a time-consuming task and is subject to inter-observer variability, particularly in high-volume clinical environments. Cardiology departments increasingly require rapid and consistent automated ECG analysis solutions to support clinical decision-making and improve workflow efficiency.\nMaterials and Methods\nA retrospective dataset of 14,827 twelve-lead ECG recordings was analyzed, with data split into training (80%), validation (10%), and test (10%) sets. Signal preprocessing included band-pass filtering between 0.5 and 45 Hz, baseline wander removal, and adaptive R-peak detection using the Pan–Tompkins algorithm. For each ECG record, nine averaged fiducial features were extracted to capture temporal and amplitude characteristics, including RR, PR, QT, ST, PQ, and QRS intervals, as well as R, Q, and P wave amplitudes.\nClass imbalance was mitigated by down-sampling majority normal recordings and augmenting minority classes using a one-dimensional generative adversarial network (1D-GAN). The predictive model employed a Temporal Convolutional Network (TCN) architecture composed of three dilated residual blocks, combined with a multilayer perceptron for fiducial feature integration. Training was performed using AdamW optimization with OneCycle learning rate scheduling, gradient clipping, and early stopping.\nResults\nThe proposed model achieved an overall classification accuracy of 77% and a macro-averaged F1 score of 0.70. One-vs-rest area under the curve (AUC) analysis demonstrated strong discriminative performance across cardiac conditions, including conduction disorders (0.892), hypertrophy (0.911), prior myocardial infarction (0.935), normal ECGs (0.948), and ST-T changes (0.909). Recall was highest for normal ECGs (0.87) and lowest for hypertrophy (0.51), reflecting sensitivity challenges in under-represented classes. Average inference time was below 50 milliseconds per ECG sample.\nConclusions\nThis lightweight Temporal Convolutional Network pipeline enables rapid and consistent multi-class ECG classification using band-passed signals and a limited set of fiducial features. The architecture is well suited for real-world cardiology deployment, balancing computational efficiency with diagnostic performance across multiple cardiac conditions. Future work will focus on integrating richer heart rate variability and frequency-domain features, improving data augmentation strategies for rare classes, and extending the system toward mobile and point-of-care applications to enhance robustness and generalizability.\nKeywords\nCardiovascular diseases, electrocardiography, diagnosis, machine learning, deep learning\n\n\n### O2 Artificial neural network-based prediction of immunotherapy response in glioblastoma patients using transcriptomic data\nBMC Proceedings 2026, 20(11):O2\nAbstract\nBackground\nGlioblastoma (GBM) is the most aggressive primary brain tumor, characterized by poor prognosis and limited response to immune checkpoint inhibitors such as anti-PD1. Predicting immunotherapy response represents a critical challenge in the field of precision oncology. Transcriptomic profiling can reveal molecular signatures of resistance, while artificial neural networks (ANNs) provide powerful tools to model complex biological datasets and improve patient stratification.\nMaterials and Methods\nWe analyzed transcriptomic profiles from a cohort of 34 GBM patients treated with anti-PD1 immunotherapy. Differential expression analysis was performed on 56,279 genes, identifying 278 genes upregulated in non-responders. A Kaplan-Meier survival analysis further revealed 23 genes whose elevated expression was significantly associated with poor survival. These genes were used as input features to train an ANN model based on a multilayer perceptron architecture. Data were divided into training (n = 16) and internal validation (n = 4) sets, with an independent external test set (n = 14) for final evaluation. Model performance was assessed using accuracy and mean squared error (MSE) metrics.\nResults\nThe ANN model achieved excellent predictive performance, with 100% accuracy in training and internal validation, accompanied by a progressive decrease and stabilization of MSE, indicating effective learning without overfitting. External testing confirmed model robustness, yielding an accuracy of 71.43% with low error rates. These findings demonstrate the potential of ANN models to integrate transcriptomic data and accurately predict resistance to anti-PD1 therapy in GBM patients.\nConclusions\nANN-based predictive modeling using transcriptomic signatures can reliably stratify GBM patients according to their likelihood of response to immunotherapy. By identifying non-responders, such approaches may optimize therapeutic decisions, reduce exposure to ineffective treatments, and guide the development of personalized immunotherapeutic strategies. Validation in larger, multicenter cohorts is warranted to establish clinical utility.\nKeywords: Glioblastoma, immunotherapy, artificial neural networks, transcriptomics, prediction, resistance\n\n\n### Z. El Moudden1, K. Elazhary1, S. Souat1, M. Jebbar2, A. Badou1\nBMC Proceedings 2026, 20(11):O2\nAbstract\nBackground\nGlioblastoma (GBM) is the most aggressive primary brain tumor, characterized by poor prognosis and limited response to immune checkpoint inhibitors such as anti-PD1. Predicting immunotherapy response represents a critical challenge in the field of precision oncology. Transcriptomic profiling can reveal molecular signatures of resistance, while artificial neural networks (ANNs) provide powerful tools to model complex biological datasets and improve patient stratification.\nMaterials and Methods\nWe analyzed transcriptomic profiles from a cohort of 34 GBM patients treated with anti-PD1 immunotherapy. Differential expression analysis was performed on 56,279 genes, identifying 278 genes upregulated in non-responders. A Kaplan-Meier survival analysis further revealed 23 genes whose elevated expression was significantly associated with poor survival. These genes were used as input features to train an ANN model based on a multilayer perceptron architecture. Data were divided into training (n = 16) and internal validation (n = 4) sets, with an independent external test set (n = 14) for final evaluation. Model performance was assessed using accuracy and mean squared error (MSE) metrics.\nResults\nThe ANN model achieved excellent predictive performance, with 100% accuracy in training and internal validation, accompanied by a progressive decrease and stabilization of MSE, indicating effective learning without overfitting. External testing confirmed model robustness, yielding an accuracy of 71.43% with low error rates. These findings demonstrate the potential of ANN models to integrate transcriptomic data and accurately predict resistance to anti-PD1 therapy in GBM patients.\nConclusions\nANN-based predictive modeling using transcriptomic signatures can reliably stratify GBM patients according to their likelihood of response to immunotherapy. By identifying non-responders, such approaches may optimize therapeutic decisions, reduce exposure to ineffective treatments, and guide the development of personalized immunotherapeutic strategies. Validation in larger, multicenter cohorts is warranted to establish clinical utility.\nKeywords: Glioblastoma, immunotherapy, artificial neural networks, transcriptomics, prediction, resistance\n\n\n### 1Immuno-Genetics and Human Pathology Laboratory, Faculty of Medicine and Pharmacy, Casablanca, Morocco; 2Computer Science and Smart Systems (C3S) Laboratory, Higher School of Technology of Casablanca, Morocco\nBMC Proceedings 2026, 20(11):O2\nAbstract\nBackground\nGlioblastoma (GBM) is the most aggressive primary brain tumor, characterized by poor prognosis and limited response to immune checkpoint inhibitors such as anti-PD1. Predicting immunotherapy response represents a critical challenge in the field of precision oncology. Transcriptomic profiling can reveal molecular signatures of resistance, while artificial neural networks (ANNs) provide powerful tools to model complex biological datasets and improve patient stratification.\nMaterials and Methods\nWe analyzed transcriptomic profiles from a cohort of 34 GBM patients treated with anti-PD1 immunotherapy. Differential expression analysis was performed on 56,279 genes, identifying 278 genes upregulated in non-responders. A Kaplan-Meier survival analysis further revealed 23 genes whose elevated expression was significantly associated with poor survival. These genes were used as input features to train an ANN model based on a multilayer perceptron architecture. Data were divided into training (n = 16) and internal validation (n = 4) sets, with an independent external test set (n = 14) for final evaluation. Model performance was assessed using accuracy and mean squared error (MSE) metrics.\nResults\nThe ANN model achieved excellent predictive performance, with 100% accuracy in training and internal validation, accompanied by a progressive decrease and stabilization of MSE, indicating effective learning without overfitting. External testing confirmed model robustness, yielding an accuracy of 71.43% with low error rates. These findings demonstrate the potential of ANN models to integrate transcriptomic data and accurately predict resistance to anti-PD1 therapy in GBM patients.\nConclusions\nANN-based predictive modeling using transcriptomic signatures can reliably stratify GBM patients according to their likelihood of response to immunotherapy. By identifying non-responders, such approaches may optimize therapeutic decisions, reduce exposure to ineffective treatments, and guide the development of personalized immunotherapeutic strategies. Validation in larger, multicenter cohorts is warranted to establish clinical utility.\nKeywords: Glioblastoma, immunotherapy, artificial neural networks, transcriptomics, prediction, resistance\n\n\n### Correspondence: A. Badou\nBMC Proceedings 2026, 20(11):O2\nAbstract\nBackground\nGlioblastoma (GBM) is the most aggressive primary brain tumor, characterized by poor prognosis and limited response to immune checkpoint inhibitors such as anti-PD1. Predicting immunotherapy response represents a critical challenge in the field of precision oncology. Transcriptomic profiling can reveal molecular signatures of resistance, while artificial neural networks (ANNs) provide powerful tools to model complex biological datasets and improve patient stratification.\nMaterials and Methods\nWe analyzed transcriptomic profiles from a cohort of 34 GBM patients treated with anti-PD1 immunotherapy. Differential expression analysis was performed on 56,279 genes, identifying 278 genes upregulated in non-responders. A Kaplan-Meier survival analysis further revealed 23 genes whose elevated expression was significantly associated with poor survival. These genes were used as input features to train an ANN model based on a multilayer perceptron architecture. Data were divided into training (n = 16) and internal validation (n = 4) sets, with an independent external test set (n = 14) for final evaluation. Model performance was assessed using accuracy and mean squared error (MSE) metrics.\nResults\nThe ANN model achieved excellent predictive performance, with 100% accuracy in training and internal validation, accompanied by a progressive decrease and stabilization of MSE, indicating effective learning without overfitting. External testing confirmed model robustness, yielding an accuracy of 71.43% with low error rates. These findings demonstrate the potential of ANN models to integrate transcriptomic data and accurately predict resistance to anti-PD1 therapy in GBM patients.\nConclusions\nANN-based predictive modeling using transcriptomic signatures can reliably stratify GBM patients according to their likelihood of response to immunotherapy. By identifying non-responders, such approaches may optimize therapeutic decisions, reduce exposure to ineffective treatments, and guide the development of personalized immunotherapeutic strategies. Validation in larger, multicenter cohorts is warranted to establish clinical utility.\nKeywords: Glioblastoma, immunotherapy, artificial neural networks, transcriptomics, prediction, resistance\n\n\n### A1 Industry 4.0 for public health protection: a digital twin approach to hospital wastewater management\nBMC Proceedings 2026, 20(11):A1\nAbstract\nBackground\nHospitals and healthcare facilities generate complex wastewater streams containing high organic loads, pathogenic microorganisms, pharmaceutical residues, disinfectants, and trace heavy metals. When inadequately treated, these effluents can contribute to the spread of antimicrobial resistance, contaminate surface and groundwater resources, and pose significant risks to public health. Ensuring continuous and high-quality treatment of hospital wastewater is therefore essential. Industry 4.0 technologies, particularly digital twins and predictive maintenance, offer new opportunities to enhance the reliability and performance of advanced wastewater treatment systems while protecting both the environment and surrounding communities.\nMaterials and Methods\nA laboratory-scale pilot bench was developed to replicate a hospital wastewater treatment process integrating sedimentation, membrane filtration, and ultraviolet (UV) disinfection. The system was supplied with synthetic wastewater formulated to simulate typical hospital effluent, including organic matter, pharmaceutical tracers, and microbial contaminants. Internet-of-Things (IoT) sensors continuously monitored flow rate, turbidity, pH, electrical conductivity, and mechanical vibration, transmitting real-time data to a cloud-based platform.\nA digital twin of the filtration system was constructed to mirror the physical behavior of the treatment unit and to integrate historical and real-time operational data. Machine-learning models, including random forest and long short-term memory (LSTM) networks, were applied to multivariate data streams to predict membrane fouling, pump degradation, and UV-lamp failure, enabling predictive maintenance alerts and optimized intervention schedules.\nResults\nDuring preliminary three-month experimental trials, the digital twin framework predicted membrane fouling events with an accuracy of 91% and reduced unplanned system downtime by 35% compared with conventional reactive maintenance strategies. Proactive interventions maintained effluent turbidity below 1 NTU and ensured pharmaceutical compound removal rates exceeding 95%, consistently meeting stringent hospital wastewater discharge standards. The proposed architecture demonstrated scalability and interoperability with hospital information systems, supporting potential full-scale implementation.\nConclusions\nThe application of Industry 4.0 principles to hospital wastewater treatment can substantially improve system resilience, operational efficiency, and environmental protection. The proposed digital twin–based predictive maintenance approach minimizes unexpected failures, reduces the release of pathogens and pharmaceutical residues, and lowers operational costs. Future work will focus on field deployment in Moroccan hospital settings, integration with broader digital health and infrastructure platforms, and long-term evaluation of environmental, public health, and economic impacts.\nKeywords\nHospital wastewater, digital twin, predictive maintenance, Industry 4.0, Internet of Things, healthcare infrastructure\n\n\n### S. Embarki1, Y. El Kihel2, B. El Kihel1\nBMC Proceedings 2026, 20(11):A1\nAbstract\nBackground\nHospitals and healthcare facilities generate complex wastewater streams containing high organic loads, pathogenic microorganisms, pharmaceutical residues, disinfectants, and trace heavy metals. When inadequately treated, these effluents can contribute to the spread of antimicrobial resistance, contaminate surface and groundwater resources, and pose significant risks to public health. Ensuring continuous and high-quality treatment of hospital wastewater is therefore essential. Industry 4.0 technologies, particularly digital twins and predictive maintenance, offer new opportunities to enhance the reliability and performance of advanced wastewater treatment systems while protecting both the environment and surrounding communities.\nMaterials and Methods\nA laboratory-scale pilot bench was developed to replicate a hospital wastewater treatment process integrating sedimentation, membrane filtration, and ultraviolet (UV) disinfection. The system was supplied with synthetic wastewater formulated to simulate typical hospital effluent, including organic matter, pharmaceutical tracers, and microbial contaminants. Internet-of-Things (IoT) sensors continuously monitored flow rate, turbidity, pH, electrical conductivity, and mechanical vibration, transmitting real-time data to a cloud-based platform.\nA digital twin of the filtration system was constructed to mirror the physical behavior of the treatment unit and to integrate historical and real-time operational data. Machine-learning models, including random forest and long short-term memory (LSTM) networks, were applied to multivariate data streams to predict membrane fouling, pump degradation, and UV-lamp failure, enabling predictive maintenance alerts and optimized intervention schedules.\nResults\nDuring preliminary three-month experimental trials, the digital twin framework predicted membrane fouling events with an accuracy of 91% and reduced unplanned system downtime by 35% compared with conventional reactive maintenance strategies. Proactive interventions maintained effluent turbidity below 1 NTU and ensured pharmaceutical compound removal rates exceeding 95%, consistently meeting stringent hospital wastewater discharge standards. The proposed architecture demonstrated scalability and interoperability with hospital information systems, supporting potential full-scale implementation.\nConclusions\nThe application of Industry 4.0 principles to hospital wastewater treatment can substantially improve system resilience, operational efficiency, and environmental protection. The proposed digital twin–based predictive maintenance approach minimizes unexpected failures, reduces the release of pathogens and pharmaceutical residues, and lowers operational costs. Future work will focus on field deployment in Moroccan hospital settings, integration with broader digital health and infrastructure platforms, and long-term evaluation of environmental, public health, and economic impacts.\nKeywords\nHospital wastewater, digital twin, predictive maintenance, Industry 4.0, Internet of Things, healthcare infrastructure\n\n\n### 1Laboratory of Industrial Engineering and Seismic Engineering, Mohammed First University, Oujda, Morocco; 2LINEACT-CESI, Bordeaux, France\nBMC Proceedings 2026, 20(11):A1\nAbstract\nBackground\nHospitals and healthcare facilities generate complex wastewater streams containing high organic loads, pathogenic microorganisms, pharmaceutical residues, disinfectants, and trace heavy metals. When inadequately treated, these effluents can contribute to the spread of antimicrobial resistance, contaminate surface and groundwater resources, and pose significant risks to public health. Ensuring continuous and high-quality treatment of hospital wastewater is therefore essential. Industry 4.0 technologies, particularly digital twins and predictive maintenance, offer new opportunities to enhance the reliability and performance of advanced wastewater treatment systems while protecting both the environment and surrounding communities.\nMaterials and Methods\nA laboratory-scale pilot bench was developed to replicate a hospital wastewater treatment process integrating sedimentation, membrane filtration, and ultraviolet (UV) disinfection. The system was supplied with synthetic wastewater formulated to simulate typical hospital effluent, including organic matter, pharmaceutical tracers, and microbial contaminants. Internet-of-Things (IoT) sensors continuously monitored flow rate, turbidity, pH, electrical conductivity, and mechanical vibration, transmitting real-time data to a cloud-based platform.\nA digital twin of the filtration system was constructed to mirror the physical behavior of the treatment unit and to integrate historical and real-time operational data. Machine-learning models, including random forest and long short-term memory (LSTM) networks, were applied to multivariate data streams to predict membrane fouling, pump degradation, and UV-lamp failure, enabling predictive maintenance alerts and optimized intervention schedules.\nResults\nDuring preliminary three-month experimental trials, the digital twin framework predicted membrane fouling events with an accuracy of 91% and reduced unplanned system downtime by 35% compared with conventional reactive maintenance strategies. Proactive interventions maintained effluent turbidity below 1 NTU and ensured pharmaceutical compound removal rates exceeding 95%, consistently meeting stringent hospital wastewater discharge standards. The proposed architecture demonstrated scalability and interoperability with hospital information systems, supporting potential full-scale implementation.\nConclusions\nThe application of Industry 4.0 principles to hospital wastewater treatment can substantially improve system resilience, operational efficiency, and environmental protection. The proposed digital twin–based predictive maintenance approach minimizes unexpected failures, reduces the release of pathogens and pharmaceutical residues, and lowers operational costs. Future work will focus on field deployment in Moroccan hospital settings, integration with broader digital health and infrastructure platforms, and long-term evaluation of environmental, public health, and economic impacts.\nKeywords\nHospital wastewater, digital twin, predictive maintenance, Industry 4.0, Internet of Things, healthcare infrastructure\n\n\n### O3 Machine learning and longitudinal data for breast cancer recurrence prediction: addressing data scarcity using synthetic data generation\nBMC Proceedings 2026, 20(11):O3\nM. Haddouchi and A. Berrado contributed equally to this work.\nAbstract\nBackground\nMachine learning approaches that leverage longitudinal clinical data offer significant potential for identifying breast cancer patients at elevated risk of recurrence, enabling earlier intervention and improved survival outcomes. Longitudinal datasets, which include repeated imaging, evolving biomarkers, electronic health records, and dynamic treatment responses, capture disease progression more effectively than static baseline features. However, recurrence prediction remains challenging due to limited data availability, severe class imbalance, and underrepresentation of aggressive cancer subtypes and minority populations. These constraints significantly hinder the development of robust and equitable predictive models.\nMaterials and Methods\nA structured methodological review was conducted to assess synthetic data generation techniques across survival analysis, time-series modeling, and joint longitudinal–survival frameworks. Each method was evaluated against four critical criteria: the ability to handle mixed variable types (categorical and continuous), preservation of longitudinal correlations, accommodation of censored survival outcomes, and mitigation of severe class imbalance\nThese criteria were examined in the context of real-world breast cancer datasets, including I-SPY1, METABRIC, and institutional clinical registries. These datasets highlight practical challenges such as irregular follow-up intervals, multimodal data integration (imaging, biomarkers, and EHR), and heterogeneous temporal resolution. Emphasis was placed on defining clinically grounded principles to ensure that synthetic patient trajectories remain biologically plausible, preserve covariate dependencies, and accurately reflect censoring mechanisms.\nResults\nNo existing synthetic data generation approach was found to satisfy all four evaluation criteria simultaneously. Methods designed for mixed data types, such as SMOTE-NC, manage categorical and continuous variables but disrupt temporal dependencies, sometimes producing implausible tumor evolution patterns. Time-series models preserve sequential structure but struggle with mixed variable types and time-to-event outcomes. Joint longitudinal–survival models integrate repeated measurements with survival endpoints but do not adequately address class imbalance. Survival-oriented approaches typically ignore longitudinal feature dynamics altogether. These limitations reflect not only technical constraints but also a broader misalignment between current machine learning methodologies and the complexity of clinical oncology data.\nConclusions\nOvercoming data scarcity in breast cancer recurrence prediction requires closer collaboration between machine learning researchers and clinical experts. Effective synthetic data generation must reflect real-world biological processes rather than solely reproducing statistical patterns. This is particularly critical for underrepresented patient populations, where limited data availability exacerbates inequities in predictive model performance. Advancing equity and reliability in AI-driven oncology will depend on the development of new methods that combine statistical rigor with strong clinical validity.\nKeywords\nBreast cancer prognosis, longitudinal data analysis, machine learning, cancer recurrence prediction, synthetic data generation, survival analysis, precision oncology, health data imbalance, artificial intelligence in oncology\n\n\n### I. Chitaouy, M. Haddouchi†, A. Berrado†\nBMC Proceedings 2026, 20(11):O3\nM. Haddouchi and A. Berrado contributed equally to this work.\nAbstract\nBackground\nMachine learning approaches that leverage longitudinal clinical data offer significant potential for identifying breast cancer patients at elevated risk of recurrence, enabling earlier intervention and improved survival outcomes. Longitudinal datasets, which include repeated imaging, evolving biomarkers, electronic health records, and dynamic treatment responses, capture disease progression more effectively than static baseline features. However, recurrence prediction remains challenging due to limited data availability, severe class imbalance, and underrepresentation of aggressive cancer subtypes and minority populations. These constraints significantly hinder the development of robust and equitable predictive models.\nMaterials and Methods\nA structured methodological review was conducted to assess synthetic data generation techniques across survival analysis, time-series modeling, and joint longitudinal–survival frameworks. Each method was evaluated against four critical criteria: the ability to handle mixed variable types (categorical and continuous), preservation of longitudinal correlations, accommodation of censored survival outcomes, and mitigation of severe class imbalance\nThese criteria were examined in the context of real-world breast cancer datasets, including I-SPY1, METABRIC, and institutional clinical registries. These datasets highlight practical challenges such as irregular follow-up intervals, multimodal data integration (imaging, biomarkers, and EHR), and heterogeneous temporal resolution. Emphasis was placed on defining clinically grounded principles to ensure that synthetic patient trajectories remain biologically plausible, preserve covariate dependencies, and accurately reflect censoring mechanisms.\nResults\nNo existing synthetic data generation approach was found to satisfy all four evaluation criteria simultaneously. Methods designed for mixed data types, such as SMOTE-NC, manage categorical and continuous variables but disrupt temporal dependencies, sometimes producing implausible tumor evolution patterns. Time-series models preserve sequential structure but struggle with mixed variable types and time-to-event outcomes. Joint longitudinal–survival models integrate repeated measurements with survival endpoints but do not adequately address class imbalance. Survival-oriented approaches typically ignore longitudinal feature dynamics altogether. These limitations reflect not only technical constraints but also a broader misalignment between current machine learning methodologies and the complexity of clinical oncology data.\nConclusions\nOvercoming data scarcity in breast cancer recurrence prediction requires closer collaboration between machine learning researchers and clinical experts. Effective synthetic data generation must reflect real-world biological processes rather than solely reproducing statistical patterns. This is particularly critical for underrepresented patient populations, where limited data availability exacerbates inequities in predictive model performance. Advancing equity and reliability in AI-driven oncology will depend on the development of new methods that combine statistical rigor with strong clinical validity.\nKeywords\nBreast cancer prognosis, longitudinal data analysis, machine learning, cancer recurrence prediction, synthetic data generation, survival analysis, precision oncology, health data imbalance, artificial intelligence in oncology\n\n\n### AMIPS Research Team, École Mohammadia d’Ingénieurs (EMI), Mohammed V University, Rabat, Morocco\nBMC Proceedings 2026, 20(11):O3\nM. Haddouchi and A. Berrado contributed equally to this work.\nAbstract\nBackground\nMachine learning approaches that leverage longitudinal clinical data offer significant potential for identifying breast cancer patients at elevated risk of recurrence, enabling earlier intervention and improved survival outcomes. Longitudinal datasets, which include repeated imaging, evolving biomarkers, electronic health records, and dynamic treatment responses, capture disease progression more effectively than static baseline features. However, recurrence prediction remains challenging due to limited data availability, severe class imbalance, and underrepresentation of aggressive cancer subtypes and minority populations. These constraints significantly hinder the development of robust and equitable predictive models.\nMaterials and Methods\nA structured methodological review was conducted to assess synthetic data generation techniques across survival analysis, time-series modeling, and joint longitudinal–survival frameworks. Each method was evaluated against four critical criteria: the ability to handle mixed variable types (categorical and continuous), preservation of longitudinal correlations, accommodation of censored survival outcomes, and mitigation of severe class imbalance\nThese criteria were examined in the context of real-world breast cancer datasets, including I-SPY1, METABRIC, and institutional clinical registries. These datasets highlight practical challenges such as irregular follow-up intervals, multimodal data integration (imaging, biomarkers, and EHR), and heterogeneous temporal resolution. Emphasis was placed on defining clinically grounded principles to ensure that synthetic patient trajectories remain biologically plausible, preserve covariate dependencies, and accurately reflect censoring mechanisms.\nResults\nNo existing synthetic data generation approach was found to satisfy all four evaluation criteria simultaneously. Methods designed for mixed data types, such as SMOTE-NC, manage categorical and continuous variables but disrupt temporal dependencies, sometimes producing implausible tumor evolution patterns. Time-series models preserve sequential structure but struggle with mixed variable types and time-to-event outcomes. Joint longitudinal–survival models integrate repeated measurements with survival endpoints but do not adequately address class imbalance. Survival-oriented approaches typically ignore longitudinal feature dynamics altogether. These limitations reflect not only technical constraints but also a broader misalignment between current machine learning methodologies and the complexity of clinical oncology data.\nConclusions\nOvercoming data scarcity in breast cancer recurrence prediction requires closer collaboration between machine learning researchers and clinical experts. Effective synthetic data generation must reflect real-world biological processes rather than solely reproducing statistical patterns. This is particularly critical for underrepresented patient populations, where limited data availability exacerbates inequities in predictive model performance. Advancing equity and reliability in AI-driven oncology will depend on the development of new methods that combine statistical rigor with strong clinical validity.\nKeywords\nBreast cancer prognosis, longitudinal data analysis, machine learning, cancer recurrence prediction, synthetic data generation, survival analysis, precision oncology, health data imbalance, artificial intelligence in oncology\n\n\n### Correspondence: I. Chitaouy\nBMC Proceedings 2026, 20(11):O3\nM. Haddouchi and A. Berrado contributed equally to this work.\nAbstract\nBackground\nMachine learning approaches that leverage longitudinal clinical data offer significant potential for identifying breast cancer patients at elevated risk of recurrence, enabling earlier intervention and improved survival outcomes. Longitudinal datasets, which include repeated imaging, evolving biomarkers, electronic health records, and dynamic treatment responses, capture disease progression more effectively than static baseline features. However, recurrence prediction remains challenging due to limited data availability, severe class imbalance, and underrepresentation of aggressive cancer subtypes and minority populations. These constraints significantly hinder the development of robust and equitable predictive models.\nMaterials and Methods\nA structured methodological review was conducted to assess synthetic data generation techniques across survival analysis, time-series modeling, and joint longitudinal–survival frameworks. Each method was evaluated against four critical criteria: the ability to handle mixed variable types (categorical and continuous), preservation of longitudinal correlations, accommodation of censored survival outcomes, and mitigation of severe class imbalance\nThese criteria were examined in the context of real-world breast cancer datasets, including I-SPY1, METABRIC, and institutional clinical registries. These datasets highlight practical challenges such as irregular follow-up intervals, multimodal data integration (imaging, biomarkers, and EHR), and heterogeneous temporal resolution. Emphasis was placed on defining clinically grounded principles to ensure that synthetic patient trajectories remain biologically plausible, preserve covariate dependencies, and accurately reflect censoring mechanisms.\nResults\nNo existing synthetic data generation approach was found to satisfy all four evaluation criteria simultaneously. Methods designed for mixed data types, such as SMOTE-NC, manage categorical and continuous variables but disrupt temporal dependencies, sometimes producing implausible tumor evolution patterns. Time-series models preserve sequential structure but struggle with mixed variable types and time-to-event outcomes. Joint longitudinal–survival models integrate repeated measurements with survival endpoints but do not adequately address class imbalance. Survival-oriented approaches typically ignore longitudinal feature dynamics altogether. These limitations reflect not only technical constraints but also a broader misalignment between current machine learning methodologies and the complexity of clinical oncology data.\nConclusions\nOvercoming data scarcity in breast cancer recurrence prediction requires closer collaboration between machine learning researchers and clinical experts. Effective synthetic data generation must reflect real-world biological processes rather than solely reproducing statistical patterns. This is particularly critical for underrepresented patient populations, where limited data availability exacerbates inequities in predictive model performance. Advancing equity and reliability in AI-driven oncology will depend on the development of new methods that combine statistical rigor with strong clinical validity.\nKeywords\nBreast cancer prognosis, longitudinal data analysis, machine learning, cancer recurrence prediction, synthetic data generation, survival analysis, precision oncology, health data imbalance, artificial intelligence in oncology\n\n\n### O4 Integrating serious games into continuing education for peritoneal dialysis: enhancing competency, engagement, and patient safety\nBMC Proceedings 2026, 20(11):O4\nAbstract\nBackground\nPeritoneal dialysis (PD) requires advanced technical skills, strict adherence to aseptic procedures, and effective patient education to prevent complications such as peritonitis. Conventional continuing education approaches for PD healthcare professionals and patients often face challenges related to low engagement and limited opportunities for safe, hands-on practice. Serious games, defined as digital games designed for educational purposes, offer an interactive, scalable, and low-risk environment to develop procedural skills, reinforce clinical decision-making, and standardize training.\nMaterials and Methods\nA pilot continuing education curriculum was developed that combined a bespoke serious game focused on PD procedures and complication management with short didactic modules and structured debriefing sessions. The serious game simulated stepwise PD exchange procedures, troubleshooting scenarios such as catheter malfunction and early signs of peritonitis, and branching decision pathways supported by real-time feedback and performance metrics.\nParticipants, consisting of nephrology trainees, completed pre- and post-intervention assessments evaluating theoretical knowledge, checklist-based procedural competence, self-reported confidence, and overall satisfaction. Engagement and perceived utility were further explored through usage analytics and qualitative feedback. Pre- and post-intervention outcomes were compared using paired statistical tests, while qualitative data were analyzed using thematic analysis.\nResults\nIn this pilot study (N = 12), the integration of serious game–based training was feasible and well accepted by participants. Knowledge scores demonstrated significant improvement following the intervention. Procedural competence, assessed using standardized checklists, increased, and self-reported confidence in recognizing and managing PD-related complications improved across participants. Engagement metrics indicated high completion rates and repeated gameplay for skill reinforcement. Qualitative feedback emphasized the value of immediate feedback and increased motivation, with participants suggesting the inclusion of more complex clinical scenarios.\nConclusions\nThe integration of serious games into continuing education programs for peritoneal dialysis is feasible and associated with measurable improvements in knowledge, procedural competence, and confidence among healthcare professionals. Serious games can effectively complement traditional training approaches by providing engaging, scalable, and low-risk practice environments that may contribute to improved patient safety and standardized competency development. Larger controlled studies are needed to evaluate long-term skill retention, impact on clinical outcomes such as peritonitis rates, and overall cost-effectiveness.\nKeywords\nPeritoneal dialysis, serious games, serious gaming, continuing education, simulation-based training, patient safety, competency-based education\n\n\n### A. Bahadi1,2, M. Talaa1, A. Naim1, D. El Kabbaj2, M. Chahbouni1\nBMC Proceedings 2026, 20(11):O4\nAbstract\nBackground\nPeritoneal dialysis (PD) requires advanced technical skills, strict adherence to aseptic procedures, and effective patient education to prevent complications such as peritonitis. Conventional continuing education approaches for PD healthcare professionals and patients often face challenges related to low engagement and limited opportunities for safe, hands-on practice. Serious games, defined as digital games designed for educational purposes, offer an interactive, scalable, and low-risk environment to develop procedural skills, reinforce clinical decision-making, and standardize training.\nMaterials and Methods\nA pilot continuing education curriculum was developed that combined a bespoke serious game focused on PD procedures and complication management with short didactic modules and structured debriefing sessions. The serious game simulated stepwise PD exchange procedures, troubleshooting scenarios such as catheter malfunction and early signs of peritonitis, and branching decision pathways supported by real-time feedback and performance metrics.\nParticipants, consisting of nephrology trainees, completed pre- and post-intervention assessments evaluating theoretical knowledge, checklist-based procedural competence, self-reported confidence, and overall satisfaction. Engagement and perceived utility were further explored through usage analytics and qualitative feedback. Pre- and post-intervention outcomes were compared using paired statistical tests, while qualitative data were analyzed using thematic analysis.\nResults\nIn this pilot study (N = 12), the integration of serious game–based training was feasible and well accepted by participants. Knowledge scores demonstrated significant improvement following the intervention. Procedural competence, assessed using standardized checklists, increased, and self-reported confidence in recognizing and managing PD-related complications improved across participants. Engagement metrics indicated high completion rates and repeated gameplay for skill reinforcement. Qualitative feedback emphasized the value of immediate feedback and increased motivation, with participants suggesting the inclusion of more complex clinical scenarios.\nConclusions\nThe integration of serious games into continuing education programs for peritoneal dialysis is feasible and associated with measurable improvements in knowledge, procedural competence, and confidence among healthcare professionals. Serious games can effectively complement traditional training approaches by providing engaging, scalable, and low-risk practice environments that may contribute to improved patient safety and standardized competency development. Larger controlled studies are needed to evaluate long-term skill retention, impact on clinical outcomes such as peritonitis rates, and overall cost-effectiveness.\nKeywords\nPeritoneal dialysis, serious games, serious gaming, continuing education, simulation-based training, patient safety, competency-based education\n\n\n### 1Simulation Laboratory in Health Sciences, Mohammed VI International Center for Simulation in Health Sciences, Casablanca, Morocco; 2Mohammed V University, Rabat, Morocco\nBMC Proceedings 2026, 20(11):O4\nAbstract\nBackground\nPeritoneal dialysis (PD) requires advanced technical skills, strict adherence to aseptic procedures, and effective patient education to prevent complications such as peritonitis. Conventional continuing education approaches for PD healthcare professionals and patients often face challenges related to low engagement and limited opportunities for safe, hands-on practice. Serious games, defined as digital games designed for educational purposes, offer an interactive, scalable, and low-risk environment to develop procedural skills, reinforce clinical decision-making, and standardize training.\nMaterials and Methods\nA pilot continuing education curriculum was developed that combined a bespoke serious game focused on PD procedures and complication management with short didactic modules and structured debriefing sessions. The serious game simulated stepwise PD exchange procedures, troubleshooting scenarios such as catheter malfunction and early signs of peritonitis, and branching decision pathways supported by real-time feedback and performance metrics.\nParticipants, consisting of nephrology trainees, completed pre- and post-intervention assessments evaluating theoretical knowledge, checklist-based procedural competence, self-reported confidence, and overall satisfaction. Engagement and perceived utility were further explored through usage analytics and qualitative feedback. Pre- and post-intervention outcomes were compared using paired statistical tests, while qualitative data were analyzed using thematic analysis.\nResults\nIn this pilot study (N = 12), the integration of serious game–based training was feasible and well accepted by participants. Knowledge scores demonstrated significant improvement following the intervention. Procedural competence, assessed using standardized checklists, increased, and self-reported confidence in recognizing and managing PD-related complications improved across participants. Engagement metrics indicated high completion rates and repeated gameplay for skill reinforcement. Qualitative feedback emphasized the value of immediate feedback and increased motivation, with participants suggesting the inclusion of more complex clinical scenarios.\nConclusions\nThe integration of serious games into continuing education programs for peritoneal dialysis is feasible and associated with measurable improvements in knowledge, procedural competence, and confidence among healthcare professionals. Serious games can effectively complement traditional training approaches by providing engaging, scalable, and low-risk practice environments that may contribute to improved patient safety and standardized competency development. Larger controlled studies are needed to evaluate long-term skill retention, impact on clinical outcomes such as peritonitis rates, and overall cost-effectiveness.\nKeywords\nPeritoneal dialysis, serious games, serious gaming, continuing education, simulation-based training, patient safety, competency-based education\n\n\n### O5 The impact of AI-based simulation on cognitive skills among healthcare students: a scoping review\nBMC Proceedings 2026, 20(11):O5\nAbstract\nBackground\nCognitive skills such as critical thinking, reflective practice, clinical reasoning, and decision making are essential for safe and effective healthcare practice. Despite rapid advances in artificial intelligence (AI) and its growing integration into medical and health professions education, most existing studies have primarily focused on the development of interpersonal and communication skills. The impact of AI-based simulation on cognitive skills remains comparatively underexplored. This scoping review aimed to synthesize available evidence on the effects of AI-driven simulation on the development of cognitive skills among healthcare students.\nMaterials and Methods\nA scoping review was conducted in accordance with the PRISMA-ScR (Preferred Reporting Items for Systematic Reviews and Meta-Analyses extension for Scoping Reviews) guidelines. Searches were performed in PubMed, Web of Science, ScienceDirect, and Scopus to identify relevant studies published between 2015 and 2025. Eligible studies included medical and nursing students who participated in AI-based simulation programs. Two independent reviewers screened s, abstracts, and full-text articles, extracted data from included studies, and grouped findings into thematic categories. Results were synthesized using a narrative approach.\nResults\nOf the 405 studies initially identified, 7 met the inclusion criteria and were included in the final review, encompassing a total of 871 healthcare students. All included studies reported a positive effect of AI-based simulation on at least one cognitive skill. Clinical reasoning was evaluated in four studies, two of which also assessed decision-making skills. Cognitive awareness, reflection, and critical thinking were each examined in only one study, with all reporting positive outcomes. Notably, none of the included studies explicitly assessed reflective practice as a distinct outcome. Regarding AI methodologies, five studies employed computational AI techniques, whereas only two relied on symbolic AI approaches. AI-based simulation tools varied widely, ranging from symbolic rule-based platforms to advanced social robots and virtual patients powered by large language models.\nConclusions\nThis scoping review indicates that AI-based simulation has a positive impact on clinical reasoning among healthcare students. However, evidence regarding its effects on decision making, critical thinking, cognitive awareness, reflection, and reflective practice remains limited and inconclusive. Computational AI approaches currently dominate the field, with symbolic AI being underutilized. Overall, AI-based simulation shows promise for fostering cognitive skills in healthcare education, but further high-quality research is needed to clarify its effectiveness across a broader range of cognitive competencies.\nKeywords\nAI-driven simulation, cognitive skills, healthcare students, critical thinking, reflective practice, clinical reasoning, decision making\n\n\n### S. Loubbairi, O. Benbrik, H. Nassik\nBMC Proceedings 2026, 20(11):O5\nAbstract\nBackground\nCognitive skills such as critical thinking, reflective practice, clinical reasoning, and decision making are essential for safe and effective healthcare practice. Despite rapid advances in artificial intelligence (AI) and its growing integration into medical and health professions education, most existing studies have primarily focused on the development of interpersonal and communication skills. The impact of AI-based simulation on cognitive skills remains comparatively underexplored. This scoping review aimed to synthesize available evidence on the effects of AI-driven simulation on the development of cognitive skills among healthcare students.\nMaterials and Methods\nA scoping review was conducted in accordance with the PRISMA-ScR (Preferred Reporting Items for Systematic Reviews and Meta-Analyses extension for Scoping Reviews) guidelines. Searches were performed in PubMed, Web of Science, ScienceDirect, and Scopus to identify relevant studies published between 2015 and 2025. Eligible studies included medical and nursing students who participated in AI-based simulation programs. Two independent reviewers screened s, abstracts, and full-text articles, extracted data from included studies, and grouped findings into thematic categories. Results were synthesized using a narrative approach.\nResults\nOf the 405 studies initially identified, 7 met the inclusion criteria and were included in the final review, encompassing a total of 871 healthcare students. All included studies reported a positive effect of AI-based simulation on at least one cognitive skill. Clinical reasoning was evaluated in four studies, two of which also assessed decision-making skills. Cognitive awareness, reflection, and critical thinking were each examined in only one study, with all reporting positive outcomes. Notably, none of the included studies explicitly assessed reflective practice as a distinct outcome. Regarding AI methodologies, five studies employed computational AI techniques, whereas only two relied on symbolic AI approaches. AI-based simulation tools varied widely, ranging from symbolic rule-based platforms to advanced social robots and virtual patients powered by large language models.\nConclusions\nThis scoping review indicates that AI-based simulation has a positive impact on clinical reasoning among healthcare students. However, evidence regarding its effects on decision making, critical thinking, cognitive awareness, reflection, and reflective practice remains limited and inconclusive. Computational AI approaches currently dominate the field, with symbolic AI being underutilized. Overall, AI-based simulation shows promise for fostering cognitive skills in healthcare education, but further high-quality research is needed to clarify its effectiveness across a broader range of cognitive competencies.\nKeywords\nAI-driven simulation, cognitive skills, healthcare students, critical thinking, reflective practice, clinical reasoning, decision making\n\n\n### Research and Innovation Laboratory in Health Sciences, Faculty of Medicine and Pharmacy, Ibn Zohr University, Agadir, Morocco\nBMC Proceedings 2026, 20(11):O5\nAbstract\nBackground\nCognitive skills such as critical thinking, reflective practice, clinical reasoning, and decision making are essential for safe and effective healthcare practice. Despite rapid advances in artificial intelligence (AI) and its growing integration into medical and health professions education, most existing studies have primarily focused on the development of interpersonal and communication skills. The impact of AI-based simulation on cognitive skills remains comparatively underexplored. This scoping review aimed to synthesize available evidence on the effects of AI-driven simulation on the development of cognitive skills among healthcare students.\nMaterials and Methods\nA scoping review was conducted in accordance with the PRISMA-ScR (Preferred Reporting Items for Systematic Reviews and Meta-Analyses extension for Scoping Reviews) guidelines. Searches were performed in PubMed, Web of Science, ScienceDirect, and Scopus to identify relevant studies published between 2015 and 2025. Eligible studies included medical and nursing students who participated in AI-based simulation programs. Two independent reviewers screened s, abstracts, and full-text articles, extracted data from included studies, and grouped findings into thematic categories. Results were synthesized using a narrative approach.\nResults\nOf the 405 studies initially identified, 7 met the inclusion criteria and were included in the final review, encompassing a total of 871 healthcare students. All included studies reported a positive effect of AI-based simulation on at least one cognitive skill. Clinical reasoning was evaluated in four studies, two of which also assessed decision-making skills. Cognitive awareness, reflection, and critical thinking were each examined in only one study, with all reporting positive outcomes. Notably, none of the included studies explicitly assessed reflective practice as a distinct outcome. Regarding AI methodologies, five studies employed computational AI techniques, whereas only two relied on symbolic AI approaches. AI-based simulation tools varied widely, ranging from symbolic rule-based platforms to advanced social robots and virtual patients powered by large language models.\nConclusions\nThis scoping review indicates that AI-based simulation has a positive impact on clinical reasoning among healthcare students. However, evidence regarding its effects on decision making, critical thinking, cognitive awareness, reflection, and reflective practice remains limited and inconclusive. Computational AI approaches currently dominate the field, with symbolic AI being underutilized. Overall, AI-based simulation shows promise for fostering cognitive skills in healthcare education, but further high-quality research is needed to clarify its effectiveness across a broader range of cognitive competencies.\nKeywords\nAI-driven simulation, cognitive skills, healthcare students, critical thinking, reflective practice, clinical reasoning, decision making\n\n\n### Correspondence: S. Loubbairi\nBMC Proceedings 2026, 20(11):O5\nAbstract\nBackground\nCognitive skills such as critical thinking, reflective practice, clinical reasoning, and decision making are essential for safe and effective healthcare practice. Despite rapid advances in artificial intelligence (AI) and its growing integration into medical and health professions education, most existing studies have primarily focused on the development of interpersonal and communication skills. The impact of AI-based simulation on cognitive skills remains comparatively underexplored. This scoping review aimed to synthesize available evidence on the effects of AI-driven simulation on the development of cognitive skills among healthcare students.\nMaterials and Methods\nA scoping review was conducted in accordance with the PRISMA-ScR (Preferred Reporting Items for Systematic Reviews and Meta-Analyses extension for Scoping Reviews) guidelines. Searches were performed in PubMed, Web of Science, ScienceDirect, and Scopus to identify relevant studies published between 2015 and 2025. Eligible studies included medical and nursing students who participated in AI-based simulation programs. Two independent reviewers screened s, abstracts, and full-text articles, extracted data from included studies, and grouped findings into thematic categories. Results were synthesized using a narrative approach.\nResults\nOf the 405 studies initially identified, 7 met the inclusion criteria and were included in the final review, encompassing a total of 871 healthcare students. All included studies reported a positive effect of AI-based simulation on at least one cognitive skill. Clinical reasoning was evaluated in four studies, two of which also assessed decision-making skills. Cognitive awareness, reflection, and critical thinking were each examined in only one study, with all reporting positive outcomes. Notably, none of the included studies explicitly assessed reflective practice as a distinct outcome. Regarding AI methodologies, five studies employed computational AI techniques, whereas only two relied on symbolic AI approaches. AI-based simulation tools varied widely, ranging from symbolic rule-based platforms to advanced social robots and virtual patients powered by large language models.\nConclusions\nThis scoping review indicates that AI-based simulation has a positive impact on clinical reasoning among healthcare students. However, evidence regarding its effects on decision making, critical thinking, cognitive awareness, reflection, and reflective practice remains limited and inconclusive. Computational AI approaches currently dominate the field, with symbolic AI being underutilized. Overall, AI-based simulation shows promise for fostering cognitive skills in healthcare education, but further high-quality research is needed to clarify its effectiveness across a broader range of cognitive competencies.\nKeywords\nAI-driven simulation, cognitive skills, healthcare students, critical thinking, reflective practice, clinical reasoning, decision making\n\n\n### O6 Early detection of Alzheimer’s disease using hybrid deep learning and multi-agent systems for longitudinal modeling\nBMC Proceedings 2026, 20(11):O6\nAbstract\nBackground\nAlzheimer’s disease (AD) is a major neurodegenerative disorder for which early detection is critical to enable timely intervention and slow disease progression. Conventional diagnostic approaches often identify AD only after substantial neuronal damage has occurred. Although artificial intelligence methods have demonstrated potential in neuroimaging-based diagnosis, many existing models fail to adequately capture longitudinal disease progression or to integrate spatial and temporal features within clinically deployable systems.\nMaterials and Methods\nA multi-agent system enhanced by Model Context Protocol (MCP) servers was developed to orchestrate data preprocessing, feature extraction, and temporal modeling for early AD detection. The proposed framework integrates a hybrid deep learning architecture in which a ResNet-50 model adapted for three-dimensional magnetic resonance imaging (MRI) extracts spatial features at each time point. These features are processed through bidirectional Long Short-Term Memory (LSTM) layers to capture short- and medium-term temporal dependencies, alongside a Transformer encoder designed to model long-term disease progression patterns. A cross-attention fusion mechanism combines outputs from both temporal branches.\nThe system was evaluated using longitudinal data from the Alzheimer’s Disease Neuroimaging Initiative (ADNI), including MRI scans and cognitive biomarkers from more than 2,000 participants classified as cognitively normal, mild cognitive impairment, or Alzheimer’s disease.\nResults\nThe proposed hybrid architecture, coordinated through the MCP-based multi-agent framework, achieved a classification accuracy of 96.7%, with sensitivity of 94.2% and specificity of 98.1% for early AD detection. The model identified conversion from mild cognitive impairment to Alzheimer’s disease an average of 18 months before clinical diagnosis, providing a meaningful window for early intervention. In addition, strong performance was observed in predicting longitudinal cognitive score trajectories, with a coefficient of determination (R²) of 0.967, supporting the framework’s suitability for disease monitoring over time.\nConclusions\nThis study presents a scalable and clinically deployable framework that effectively integrates spatial and temporal modeling for early detection of Alzheimer’s disease. The combination of an LSTM–Transformer hybrid architecture with an MCP-enabled multi-agent system enables accurate prediction of disease progression and offers substantial lead time for clinical decision-making. Future work will focus on incorporating multimodal data sources and exploring federated learning strategies to improve generalizability across diverse healthcare environments.\nKeywords\nAlzheimer’s disease, early detection, longitudinal modeling, deep learning, multi-agent systems, medical imaging, disease progression prediction\n\n\n### Y. Bouhramache1, K. Afdel2\nBMC Proceedings 2026, 20(11):O6\nAbstract\nBackground\nAlzheimer’s disease (AD) is a major neurodegenerative disorder for which early detection is critical to enable timely intervention and slow disease progression. Conventional diagnostic approaches often identify AD only after substantial neuronal damage has occurred. Although artificial intelligence methods have demonstrated potential in neuroimaging-based diagnosis, many existing models fail to adequately capture longitudinal disease progression or to integrate spatial and temporal features within clinically deployable systems.\nMaterials and Methods\nA multi-agent system enhanced by Model Context Protocol (MCP) servers was developed to orchestrate data preprocessing, feature extraction, and temporal modeling for early AD detection. The proposed framework integrates a hybrid deep learning architecture in which a ResNet-50 model adapted for three-dimensional magnetic resonance imaging (MRI) extracts spatial features at each time point. These features are processed through bidirectional Long Short-Term Memory (LSTM) layers to capture short- and medium-term temporal dependencies, alongside a Transformer encoder designed to model long-term disease progression patterns. A cross-attention fusion mechanism combines outputs from both temporal branches.\nThe system was evaluated using longitudinal data from the Alzheimer’s Disease Neuroimaging Initiative (ADNI), including MRI scans and cognitive biomarkers from more than 2,000 participants classified as cognitively normal, mild cognitive impairment, or Alzheimer’s disease.\nResults\nThe proposed hybrid architecture, coordinated through the MCP-based multi-agent framework, achieved a classification accuracy of 96.7%, with sensitivity of 94.2% and specificity of 98.1% for early AD detection. The model identified conversion from mild cognitive impairment to Alzheimer’s disease an average of 18 months before clinical diagnosis, providing a meaningful window for early intervention. In addition, strong performance was observed in predicting longitudinal cognitive score trajectories, with a coefficient of determination (R²) of 0.967, supporting the framework’s suitability for disease monitoring over time.\nConclusions\nThis study presents a scalable and clinically deployable framework that effectively integrates spatial and temporal modeling for early detection of Alzheimer’s disease. The combination of an LSTM–Transformer hybrid architecture with an MCP-enabled multi-agent system enables accurate prediction of disease progression and offers substantial lead time for clinical decision-making. Future work will focus on incorporating multimodal data sources and exploring federated learning strategies to improve generalizability across diverse healthcare environments.\nKeywords\nAlzheimer’s disease, early detection, longitudinal modeling, deep learning, multi-agent systems, medical imaging, disease progression prediction\n\n\n### 1Laboratory of Computer Systems and Vision (LabSIV), Faculty of Sciences, Ibn Zohr University, Agadir, Morocco; 2Department of Computer Sciences, Faculty of Sciences, Ibn Zohr University, Agadir, Morocco\nBMC Proceedings 2026, 20(11):O6\nAbstract\nBackground\nAlzheimer’s disease (AD) is a major neurodegenerative disorder for which early detection is critical to enable timely intervention and slow disease progression. Conventional diagnostic approaches often identify AD only after substantial neuronal damage has occurred. Although artificial intelligence methods have demonstrated potential in neuroimaging-based diagnosis, many existing models fail to adequately capture longitudinal disease progression or to integrate spatial and temporal features within clinically deployable systems.\nMaterials and Methods\nA multi-agent system enhanced by Model Context Protocol (MCP) servers was developed to orchestrate data preprocessing, feature extraction, and temporal modeling for early AD detection. The proposed framework integrates a hybrid deep learning architecture in which a ResNet-50 model adapted for three-dimensional magnetic resonance imaging (MRI) extracts spatial features at each time point. These features are processed through bidirectional Long Short-Term Memory (LSTM) layers to capture short- and medium-term temporal dependencies, alongside a Transformer encoder designed to model long-term disease progression patterns. A cross-attention fusion mechanism combines outputs from both temporal branches.\nThe system was evaluated using longitudinal data from the Alzheimer’s Disease Neuroimaging Initiative (ADNI), including MRI scans and cognitive biomarkers from more than 2,000 participants classified as cognitively normal, mild cognitive impairment, or Alzheimer’s disease.\nResults\nThe proposed hybrid architecture, coordinated through the MCP-based multi-agent framework, achieved a classification accuracy of 96.7%, with sensitivity of 94.2% and specificity of 98.1% for early AD detection. The model identified conversion from mild cognitive impairment to Alzheimer’s disease an average of 18 months before clinical diagnosis, providing a meaningful window for early intervention. In addition, strong performance was observed in predicting longitudinal cognitive score trajectories, with a coefficient of determination (R²) of 0.967, supporting the framework’s suitability for disease monitoring over time.\nConclusions\nThis study presents a scalable and clinically deployable framework that effectively integrates spatial and temporal modeling for early detection of Alzheimer’s disease. The combination of an LSTM–Transformer hybrid architecture with an MCP-enabled multi-agent system enables accurate prediction of disease progression and offers substantial lead time for clinical decision-making. Future work will focus on incorporating multimodal data sources and exploring federated learning strategies to improve generalizability across diverse healthcare environments.\nKeywords\nAlzheimer’s disease, early detection, longitudinal modeling, deep learning, multi-agent systems, medical imaging, disease progression prediction\n\n\n### O7 A random PRIM-based classifier for interpretable medical diagnosis\nBMC Proceedings 2026, 20(11):O7\nAbstract\nBackground\nDecision making in healthcare requires explainable machine learning predictive models with high, precise, and actionable predictions in order to bring insights into the decision resulting from the models. To this end, we introduce in this work a Random PRIM-based Classifier (R-PRIM-Cl) framework, which relies on a transformed bump hunting algorithm, combined with metarules-based organization and systematic cross-validation to provide a rule-based classifier. The resulting rules classify each patient in a clinically meaningful subgroup and explain why they belong to a given class.\nMaterials and Methods\nFive steps make up the R-PRIM-Cl framework: binary target encoding for data preparation; PRIM box construction for random feature subspace selection (peeling threshold α = 5%, pasting threshold β = 5%, minimum support 10–30%); rule conflict resolution; metarules application using the Apriori algorithm (90% confidence) for rule pruning; and a 10-fold cross-validation for final classifier selection. The framework was applied to five benchmark datasets related to breast cancer: SEER (4,024 instances, 12 attributes), ISPY1-clinical (168 instances, 18 attributes), Mammographic-masses (961 instances, 6 attributes), Wisconsin (569 instances, 32 attributes), and NKI (272 instances, 1,570 attributes), as well as the Pima Diabetes dataset (768 instances, 8 attributes). Using metrics for accuracy, precision, recall, F1-score, and ROC-AUC, performance was compared to Random Forest, XGBoost, and Logistic Regression.\nResults\nFor the Diabetes dataset, R-PRIM-Cl achieved an accuracy of 95.63%, a recall of 89.43%, a precision of 92.8%, and an F1-score of 91.06%, with 93 initial rules reduced to 69 interpretable rules (maximum 4 features). The performance across the breast cancer datasets was also demonstrated: Wisconsin (accuracy 96.8%, F1-score 94.9%), SEER (accuracy 98.4%, F1-score 96.3%), ISPY1-clinical (accuracy 95.3%, F1-score 94.7%), Mammographic-masses (accuracy 97.2%, F1-score 96.1%), and NKI (accuracy 95.6%, F1-score 96.9%). R-PRIM-Cl matched or exceeded state-of-the-art algorithms while maintaining a superior precision–recall balance. ROC-AUC values exceeded 0.95 in most datasets. The framework successfully handled high-dimensional data (NKI: 1,570 features) and identified small clinically relevant subgroups (support 5–10%) overlooked by traditional methods. Metarules reduced rule redundancy by 20–40% while preserving interpretability.\nConclusions\nComparable to ensemble methods, R-PRIM-Cl exhibits competitive predictive accuracy and offers clear rules that clinicians can easily understand and use to prescribe treatments. Medical decision support systems, where comprehension of prediction reasoning is crucial, can benefit from the framework's special blend of prediction accuracy, interpretability, and systematic subgroup discovery. Application to a range of healthcare classification problems showcased that performance remained stable across a variety of benchmark datasets with different characteristics.\n\n\n### R. Nassih, A. Berrado\nBMC Proceedings 2026, 20(11):O7\nAbstract\nBackground\nDecision making in healthcare requires explainable machine learning predictive models with high, precise, and actionable predictions in order to bring insights into the decision resulting from the models. To this end, we introduce in this work a Random PRIM-based Classifier (R-PRIM-Cl) framework, which relies on a transformed bump hunting algorithm, combined with metarules-based organization and systematic cross-validation to provide a rule-based classifier. The resulting rules classify each patient in a clinically meaningful subgroup and explain why they belong to a given class.\nMaterials and Methods\nFive steps make up the R-PRIM-Cl framework: binary target encoding for data preparation; PRIM box construction for random feature subspace selection (peeling threshold α = 5%, pasting threshold β = 5%, minimum support 10–30%); rule conflict resolution; metarules application using the Apriori algorithm (90% confidence) for rule pruning; and a 10-fold cross-validation for final classifier selection. The framework was applied to five benchmark datasets related to breast cancer: SEER (4,024 instances, 12 attributes), ISPY1-clinical (168 instances, 18 attributes), Mammographic-masses (961 instances, 6 attributes), Wisconsin (569 instances, 32 attributes), and NKI (272 instances, 1,570 attributes), as well as the Pima Diabetes dataset (768 instances, 8 attributes). Using metrics for accuracy, precision, recall, F1-score, and ROC-AUC, performance was compared to Random Forest, XGBoost, and Logistic Regression.\nResults\nFor the Diabetes dataset, R-PRIM-Cl achieved an accuracy of 95.63%, a recall of 89.43%, a precision of 92.8%, and an F1-score of 91.06%, with 93 initial rules reduced to 69 interpretable rules (maximum 4 features). The performance across the breast cancer datasets was also demonstrated: Wisconsin (accuracy 96.8%, F1-score 94.9%), SEER (accuracy 98.4%, F1-score 96.3%), ISPY1-clinical (accuracy 95.3%, F1-score 94.7%), Mammographic-masses (accuracy 97.2%, F1-score 96.1%), and NKI (accuracy 95.6%, F1-score 96.9%). R-PRIM-Cl matched or exceeded state-of-the-art algorithms while maintaining a superior precision–recall balance. ROC-AUC values exceeded 0.95 in most datasets. The framework successfully handled high-dimensional data (NKI: 1,570 features) and identified small clinically relevant subgroups (support 5–10%) overlooked by traditional methods. Metarules reduced rule redundancy by 20–40% while preserving interpretability.\nConclusions\nComparable to ensemble methods, R-PRIM-Cl exhibits competitive predictive accuracy and offers clear rules that clinicians can easily understand and use to prescribe treatments. Medical decision support systems, where comprehension of prediction reasoning is crucial, can benefit from the framework's special blend of prediction accuracy, interpretability, and systematic subgroup discovery. Application to a range of healthcare classification problems showcased that performance remained stable across a variety of benchmark datasets with different characteristics.\n\n\n### AMIPS Research Team, École Mohammadia d’Ingénieurs (EMI), Mohammed V University, Avenue Ibn Sina, BP 765, Agdal, Rabat, Morocco\nBMC Proceedings 2026, 20(11):O7\nAbstract\nBackground\nDecision making in healthcare requires explainable machine learning predictive models with high, precise, and actionable predictions in order to bring insights into the decision resulting from the models. To this end, we introduce in this work a Random PRIM-based Classifier (R-PRIM-Cl) framework, which relies on a transformed bump hunting algorithm, combined with metarules-based organization and systematic cross-validation to provide a rule-based classifier. The resulting rules classify each patient in a clinically meaningful subgroup and explain why they belong to a given class.\nMaterials and Methods\nFive steps make up the R-PRIM-Cl framework: binary target encoding for data preparation; PRIM box construction for random feature subspace selection (peeling threshold α = 5%, pasting threshold β = 5%, minimum support 10–30%); rule conflict resolution; metarules application using the Apriori algorithm (90% confidence) for rule pruning; and a 10-fold cross-validation for final classifier selection. The framework was applied to five benchmark datasets related to breast cancer: SEER (4,024 instances, 12 attributes), ISPY1-clinical (168 instances, 18 attributes), Mammographic-masses (961 instances, 6 attributes), Wisconsin (569 instances, 32 attributes), and NKI (272 instances, 1,570 attributes), as well as the Pima Diabetes dataset (768 instances, 8 attributes). Using metrics for accuracy, precision, recall, F1-score, and ROC-AUC, performance was compared to Random Forest, XGBoost, and Logistic Regression.\nResults\nFor the Diabetes dataset, R-PRIM-Cl achieved an accuracy of 95.63%, a recall of 89.43%, a precision of 92.8%, and an F1-score of 91.06%, with 93 initial rules reduced to 69 interpretable rules (maximum 4 features). The performance across the breast cancer datasets was also demonstrated: Wisconsin (accuracy 96.8%, F1-score 94.9%), SEER (accuracy 98.4%, F1-score 96.3%), ISPY1-clinical (accuracy 95.3%, F1-score 94.7%), Mammographic-masses (accuracy 97.2%, F1-score 96.1%), and NKI (accuracy 95.6%, F1-score 96.9%). R-PRIM-Cl matched or exceeded state-of-the-art algorithms while maintaining a superior precision–recall balance. ROC-AUC values exceeded 0.95 in most datasets. The framework successfully handled high-dimensional data (NKI: 1,570 features) and identified small clinically relevant subgroups (support 5–10%) overlooked by traditional methods. Metarules reduced rule redundancy by 20–40% while preserving interpretability.\nConclusions\nComparable to ensemble methods, R-PRIM-Cl exhibits competitive predictive accuracy and offers clear rules that clinicians can easily understand and use to prescribe treatments. Medical decision support systems, where comprehension of prediction reasoning is crucial, can benefit from the framework's special blend of prediction accuracy, interpretability, and systematic subgroup discovery. Application to a range of healthcare classification problems showcased that performance remained stable across a variety of benchmark datasets with different characteristics.\n\n\n### O8 The role of new technologies in geriatrics and gerontology: current overview\nBMC Proceedings 2026, 20(11):O8\nAbstract\nBackground\nThe natural aging of the population poses a real challenge for health systems worldwide, particularly in geriatrics and gerontology. This thesis examines the role of new technologies in the care of the elderly, focusing on their effectiveness, accessibility, and associated ethical implications.\nMaterials and Methods\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) method. Data were collected from the PubMed, Science Direct, and Google Scholar databases. The included studies were selected based on rigorous inclusion criteria, including the age of participants (65 years and older), the use of new technologies in geriatrics, and the availability of publications in English or French.\nResults\nThe results show that new technologies offer numerous benefits for geriatric care. Telemedicine improves access to medical care and reduces the need for travel for consultations. Connected monitoring devices enable early detection of health anomalies, contributing to the prevention of complications. Mobile applications and smart home systems increase the autonomy and safety of the elderly.\nConclusions\nNew technologies have the power to transform geriatric care and drastically improve the quality of life for the elderly. However, ongoing efforts are necessary to overcome existing challenges and ensure the equitable and ethical adoption of these technological advances. Future research should focus on optimizing technological integration and reducing access inequalities to ensure quality care for all elderly patients.\nKeywords\nGeriatrics, gerontology, new technologies, telemedicine, gerontechnology\n\n\n### F. Boucham, R. Lemouaden, C. Elaoufir, J. Benhammou, Y. Oulehssine, A. Kadiri, A. Charef, M. Chiguer, M. Jira, F. Mekouar, N. El Omri, J. Fatihi\nBMC Proceedings 2026, 20(11):O8\nAbstract\nBackground\nThe natural aging of the population poses a real challenge for health systems worldwide, particularly in geriatrics and gerontology. This thesis examines the role of new technologies in the care of the elderly, focusing on their effectiveness, accessibility, and associated ethical implications.\nMaterials and Methods\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) method. Data were collected from the PubMed, Science Direct, and Google Scholar databases. The included studies were selected based on rigorous inclusion criteria, including the age of participants (65 years and older), the use of new technologies in geriatrics, and the availability of publications in English or French.\nResults\nThe results show that new technologies offer numerous benefits for geriatric care. Telemedicine improves access to medical care and reduces the need for travel for consultations. Connected monitoring devices enable early detection of health anomalies, contributing to the prevention of complications. Mobile applications and smart home systems increase the autonomy and safety of the elderly.\nConclusions\nNew technologies have the power to transform geriatric care and drastically improve the quality of life for the elderly. However, ongoing efforts are necessary to overcome existing challenges and ensure the equitable and ethical adoption of these technological advances. Future research should focus on optimizing technological integration and reducing access inequalities to ensure quality care for all elderly patients.\nKeywords\nGeriatrics, gerontology, new technologies, telemedicine, gerontechnology\n\n\n### Department of Internal Medicine B, Mohammed V Military Teaching Hospital, Rabat, Morocco\nBMC Proceedings 2026, 20(11):O8\nAbstract\nBackground\nThe natural aging of the population poses a real challenge for health systems worldwide, particularly in geriatrics and gerontology. This thesis examines the role of new technologies in the care of the elderly, focusing on their effectiveness, accessibility, and associated ethical implications.\nMaterials and Methods\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) method. Data were collected from the PubMed, Science Direct, and Google Scholar databases. The included studies were selected based on rigorous inclusion criteria, including the age of participants (65 years and older), the use of new technologies in geriatrics, and the availability of publications in English or French.\nResults\nThe results show that new technologies offer numerous benefits for geriatric care. Telemedicine improves access to medical care and reduces the need for travel for consultations. Connected monitoring devices enable early detection of health anomalies, contributing to the prevention of complications. Mobile applications and smart home systems increase the autonomy and safety of the elderly.\nConclusions\nNew technologies have the power to transform geriatric care and drastically improve the quality of life for the elderly. However, ongoing efforts are necessary to overcome existing challenges and ensure the equitable and ethical adoption of these technological advances. Future research should focus on optimizing technological integration and reducing access inequalities to ensure quality care for all elderly patients.\nKeywords\nGeriatrics, gerontology, new technologies, telemedicine, gerontechnology\n\n\n### A2 An intelligent framework for virtual synthesis and decomposition of histological skin layers\nBMC Proceedings 2026, 20(11):A2\nAbstract\nBackground\nTraditional histological analysis of skin tissue remains a cornerstone in the field of tissue engineering. However, it is largely qualitative and subjective, relying heavily on visual assessment by histologists. This process is time-consuming and prone to inter-observer variability. Importantly, it lacks the ability to deliver precise, quantitative insights into tissue architecture. The development of automated, objective systems to analyze and synthesize skin tissue—based on its histological features such as specific layer segmentation and matrix density—is therefore a critical unmet need.\nMaterials and Methods\nWe prepared a dataset of histological images through manual annotation and data augmentation. Each image contains five annotated regions representing the main skin layers: Stratum Corneum, Epidermis, Papillary Dermis, Reticular Dermis, and Hypodermis.\nWe implemented and trained three deep learning modules, each designed for a distinct function. The Synthesis Module reconstructs virtual cross-sectional images by assembling the five individual layer images. The Decomposition Module automatically segments the five skin layers from a cross-sectional image. The Classification Module identifies and classifies each skin layer in the image.\nResults\nThe Synthesis Module generated virtual cross-sections with a high mean Intersection-over-Union (IoU) of 0.94. The Decomposition Module achieved layer-wise IoU scores of: Stratum Corneum (0.96), Epidermis (0.83), Papillary Dermis (0.92), Reticular Dermis (0.96), and Hypodermis (0.96). These results demonstrate exceptional accuracy in identifying and delineating histological boundaries, closely aligning with expert histologist annotations.\nThe Classification Module showed an overall classification accuracy of 99.65%, with precision scores of: Stratum Corneum (100%), Epidermis (99.95%), Papillary Dermis (98.61%), Reticular Dermis (99.71%), and Hypodermis (100%). In addition, the platform supports quantitative measurements of area and thickness for each layer with micrometer-level precision, enabling objective data generation that is not possible with conventional analysis methods.\nConclusions\nThis intelligent framework serves both pedagogical and diagnostic purposes. It enables the synthesis of virtual histological cross-sections from separated skin layers, providing an interactive learning tool for understanding normal and abnormal skin architecture. The Decomposition Module functions as a high-performance, objective diagnostic tool capable of segmenting skin layers while preserving their morphology and boundaries, which is particularly valuable in situations requiring precise morphometric analysis where manual or optical assessments are limited.\n\n\n### I. Sehrouchni Karima1, L. Safae2, K. Salah Soumaia2, L. Abdelmonaime2\nBMC Proceedings 2026, 20(11):A2\nAbstract\nBackground\nTraditional histological analysis of skin tissue remains a cornerstone in the field of tissue engineering. However, it is largely qualitative and subjective, relying heavily on visual assessment by histologists. This process is time-consuming and prone to inter-observer variability. Importantly, it lacks the ability to deliver precise, quantitative insights into tissue architecture. The development of automated, objective systems to analyze and synthesize skin tissue—based on its histological features such as specific layer segmentation and matrix density—is therefore a critical unmet need.\nMaterials and Methods\nWe prepared a dataset of histological images through manual annotation and data augmentation. Each image contains five annotated regions representing the main skin layers: Stratum Corneum, Epidermis, Papillary Dermis, Reticular Dermis, and Hypodermis.\nWe implemented and trained three deep learning modules, each designed for a distinct function. The Synthesis Module reconstructs virtual cross-sectional images by assembling the five individual layer images. The Decomposition Module automatically segments the five skin layers from a cross-sectional image. The Classification Module identifies and classifies each skin layer in the image.\nResults\nThe Synthesis Module generated virtual cross-sections with a high mean Intersection-over-Union (IoU) of 0.94. The Decomposition Module achieved layer-wise IoU scores of: Stratum Corneum (0.96), Epidermis (0.83), Papillary Dermis (0.92), Reticular Dermis (0.96), and Hypodermis (0.96). These results demonstrate exceptional accuracy in identifying and delineating histological boundaries, closely aligning with expert histologist annotations.\nThe Classification Module showed an overall classification accuracy of 99.65%, with precision scores of: Stratum Corneum (100%), Epidermis (99.95%), Papillary Dermis (98.61%), Reticular Dermis (99.71%), and Hypodermis (100%). In addition, the platform supports quantitative measurements of area and thickness for each layer with micrometer-level precision, enabling objective data generation that is not possible with conventional analysis methods.\nConclusions\nThis intelligent framework serves both pedagogical and diagnostic purposes. It enables the synthesis of virtual histological cross-sections from separated skin layers, providing an interactive learning tool for understanding normal and abnormal skin architecture. The Decomposition Module functions as a high-performance, objective diagnostic tool capable of segmenting skin layers while preserving their morphology and boundaries, which is particularly valuable in situations requiring precise morphometric analysis where manual or optical assessments are limited.\n\n\n### 1Laboratory of Histology–Embryology–Cytogenetics, Faculty of Medicine and Pharmacy of Tangier, Morocco; 2National School of Applied Sciences (ENSA) of Tangier, Morocco\nBMC Proceedings 2026, 20(11):A2\nAbstract\nBackground\nTraditional histological analysis of skin tissue remains a cornerstone in the field of tissue engineering. However, it is largely qualitative and subjective, relying heavily on visual assessment by histologists. This process is time-consuming and prone to inter-observer variability. Importantly, it lacks the ability to deliver precise, quantitative insights into tissue architecture. The development of automated, objective systems to analyze and synthesize skin tissue—based on its histological features such as specific layer segmentation and matrix density—is therefore a critical unmet need.\nMaterials and Methods\nWe prepared a dataset of histological images through manual annotation and data augmentation. Each image contains five annotated regions representing the main skin layers: Stratum Corneum, Epidermis, Papillary Dermis, Reticular Dermis, and Hypodermis.\nWe implemented and trained three deep learning modules, each designed for a distinct function. The Synthesis Module reconstructs virtual cross-sectional images by assembling the five individual layer images. The Decomposition Module automatically segments the five skin layers from a cross-sectional image. The Classification Module identifies and classifies each skin layer in the image.\nResults\nThe Synthesis Module generated virtual cross-sections with a high mean Intersection-over-Union (IoU) of 0.94. The Decomposition Module achieved layer-wise IoU scores of: Stratum Corneum (0.96), Epidermis (0.83), Papillary Dermis (0.92), Reticular Dermis (0.96), and Hypodermis (0.96). These results demonstrate exceptional accuracy in identifying and delineating histological boundaries, closely aligning with expert histologist annotations.\nThe Classification Module showed an overall classification accuracy of 99.65%, with precision scores of: Stratum Corneum (100%), Epidermis (99.95%), Papillary Dermis (98.61%), Reticular Dermis (99.71%), and Hypodermis (100%). In addition, the platform supports quantitative measurements of area and thickness for each layer with micrometer-level precision, enabling objective data generation that is not possible with conventional analysis methods.\nConclusions\nThis intelligent framework serves both pedagogical and diagnostic purposes. It enables the synthesis of virtual histological cross-sections from separated skin layers, providing an interactive learning tool for understanding normal and abnormal skin architecture. The Decomposition Module functions as a high-performance, objective diagnostic tool capable of segmenting skin layers while preserving their morphology and boundaries, which is particularly valuable in situations requiring precise morphometric analysis where manual or optical assessments are limited.\n\n\n### A3 Machine learning-based prediction of coronary artery disease from ECG and TTE\nBMC Proceedings 2026, 20(11):A3\nAbstract\nBackground\nCoronary artery disease (CAD) remains the leading cause of cardiovascular mortality worldwide. Coronary angiography is the gold standard for diagnosis but is invasive, costly, and not always accessible. Artificial intelligence (AI) and machine learning (ML) may improve non-invasive prediction of coronary lesions by integrating electrocardiography (ECG) and transthoracic echocardiography (TTE).\nMaterials and Methods\nThis study was conducted at the Cardiology B Department, Ibn Sina University Hospital, Rabat. We retrospectively and prospectively included 140 patients admitted with suspected acute coronary syndrome who underwent ECG, TTE, and coronary angiography. Data preprocessing included imputation of missing values, standardization, one-hot encoding of coronary segments, and class balancing using SMOTE. Several machine learning algorithms were trained and optimized using nested cross-validation, including Logistic Regression, Random Forest, Support Vector Machines (SVM), k-Nearest Neighbors (k-NN), and Naïve Bayes. Model performance was assessed by accuracy, precision, recall, and F1-score.\nResults\nIn the current dataset, Random Forest achieved the best performance for predicting CAD severity, with an F1-score of 0.546, recall of 0.571, and accuracy of 0.57. SVM ranked second, with slightly higher precision but lower recall. Logistic Regression and k-NN showed intermediate results, while Naïve Bayes performed poorly. Further analyses and larger patient inclusion are ongoing, with updated results expected by November 2025 to refine predictive accuracy.\nConclusions\nIntegrating ECG and TTE data with AI and ML algorithms provides a promising non-invasive approach for early CAD detection and severity stratification. This intelligent cardiology platform may help reduce unnecessary angiographies, improve emergency triage, and support remote patient follow-up.\nKeywords\nArtificial intelligence, machine learning, coronary artery disease, electrocardiography, echocardiography, early detection\n\n\n### S. Touiti1, M. Hosni2, M. Zouga2, N. Fennich1, L. Oukerraj1, M. Cherti1\nBMC Proceedings 2026, 20(11):A3\nAbstract\nBackground\nCoronary artery disease (CAD) remains the leading cause of cardiovascular mortality worldwide. Coronary angiography is the gold standard for diagnosis but is invasive, costly, and not always accessible. Artificial intelligence (AI) and machine learning (ML) may improve non-invasive prediction of coronary lesions by integrating electrocardiography (ECG) and transthoracic echocardiography (TTE).\nMaterials and Methods\nThis study was conducted at the Cardiology B Department, Ibn Sina University Hospital, Rabat. We retrospectively and prospectively included 140 patients admitted with suspected acute coronary syndrome who underwent ECG, TTE, and coronary angiography. Data preprocessing included imputation of missing values, standardization, one-hot encoding of coronary segments, and class balancing using SMOTE. Several machine learning algorithms were trained and optimized using nested cross-validation, including Logistic Regression, Random Forest, Support Vector Machines (SVM), k-Nearest Neighbors (k-NN), and Naïve Bayes. Model performance was assessed by accuracy, precision, recall, and F1-score.\nResults\nIn the current dataset, Random Forest achieved the best performance for predicting CAD severity, with an F1-score of 0.546, recall of 0.571, and accuracy of 0.57. SVM ranked second, with slightly higher precision but lower recall. Logistic Regression and k-NN showed intermediate results, while Naïve Bayes performed poorly. Further analyses and larger patient inclusion are ongoing, with updated results expected by November 2025 to refine predictive accuracy.\nConclusions\nIntegrating ECG and TTE data with AI and ML algorithms provides a promising non-invasive approach for early CAD detection and severity stratification. This intelligent cardiology platform may help reduce unnecessary angiographies, improve emergency triage, and support remote patient follow-up.\nKeywords\nArtificial intelligence, machine learning, coronary artery disease, electrocardiography, echocardiography, early detection\n\n\n### 1Department of Cardiology B, Maternity Hospital Souissi, Mohammed V University, Rabat, Morocco; 2IEST Research Team, LAIDTM, ENSAM, Moulay Ismail University of Meknes, Morocco\nBMC Proceedings 2026, 20(11):A3\nAbstract\nBackground\nCoronary artery disease (CAD) remains the leading cause of cardiovascular mortality worldwide. Coronary angiography is the gold standard for diagnosis but is invasive, costly, and not always accessible. Artificial intelligence (AI) and machine learning (ML) may improve non-invasive prediction of coronary lesions by integrating electrocardiography (ECG) and transthoracic echocardiography (TTE).\nMaterials and Methods\nThis study was conducted at the Cardiology B Department, Ibn Sina University Hospital, Rabat. We retrospectively and prospectively included 140 patients admitted with suspected acute coronary syndrome who underwent ECG, TTE, and coronary angiography. Data preprocessing included imputation of missing values, standardization, one-hot encoding of coronary segments, and class balancing using SMOTE. Several machine learning algorithms were trained and optimized using nested cross-validation, including Logistic Regression, Random Forest, Support Vector Machines (SVM), k-Nearest Neighbors (k-NN), and Naïve Bayes. Model performance was assessed by accuracy, precision, recall, and F1-score.\nResults\nIn the current dataset, Random Forest achieved the best performance for predicting CAD severity, with an F1-score of 0.546, recall of 0.571, and accuracy of 0.57. SVM ranked second, with slightly higher precision but lower recall. Logistic Regression and k-NN showed intermediate results, while Naïve Bayes performed poorly. Further analyses and larger patient inclusion are ongoing, with updated results expected by November 2025 to refine predictive accuracy.\nConclusions\nIntegrating ECG and TTE data with AI and ML algorithms provides a promising non-invasive approach for early CAD detection and severity stratification. This intelligent cardiology platform may help reduce unnecessary angiographies, improve emergency triage, and support remote patient follow-up.\nKeywords\nArtificial intelligence, machine learning, coronary artery disease, electrocardiography, echocardiography, early detection\n\n\n### Correspondence: S. Touiti\nBMC Proceedings 2026, 20(11):A3\nAbstract\nBackground\nCoronary artery disease (CAD) remains the leading cause of cardiovascular mortality worldwide. Coronary angiography is the gold standard for diagnosis but is invasive, costly, and not always accessible. Artificial intelligence (AI) and machine learning (ML) may improve non-invasive prediction of coronary lesions by integrating electrocardiography (ECG) and transthoracic echocardiography (TTE).\nMaterials and Methods\nThis study was conducted at the Cardiology B Department, Ibn Sina University Hospital, Rabat. We retrospectively and prospectively included 140 patients admitted with suspected acute coronary syndrome who underwent ECG, TTE, and coronary angiography. Data preprocessing included imputation of missing values, standardization, one-hot encoding of coronary segments, and class balancing using SMOTE. Several machine learning algorithms were trained and optimized using nested cross-validation, including Logistic Regression, Random Forest, Support Vector Machines (SVM), k-Nearest Neighbors (k-NN), and Naïve Bayes. Model performance was assessed by accuracy, precision, recall, and F1-score.\nResults\nIn the current dataset, Random Forest achieved the best performance for predicting CAD severity, with an F1-score of 0.546, recall of 0.571, and accuracy of 0.57. SVM ranked second, with slightly higher precision but lower recall. Logistic Regression and k-NN showed intermediate results, while Naïve Bayes performed poorly. Further analyses and larger patient inclusion are ongoing, with updated results expected by November 2025 to refine predictive accuracy.\nConclusions\nIntegrating ECG and TTE data with AI and ML algorithms provides a promising non-invasive approach for early CAD detection and severity stratification. This intelligent cardiology platform may help reduce unnecessary angiographies, improve emergency triage, and support remote patient follow-up.\nKeywords\nArtificial intelligence, machine learning, coronary artery disease, electrocardiography, echocardiography, early detection\n\n\n### A4 The effect of the use of Information and Communication Technologies (ICT) on the quality of care for tuberculosis patients in Ouarzazate\nBMC Proceedings 2026, 20(11):A4\nAbstract\nBackground\nTuberculosis (TB) remains one of the leading infectious causes of morbidity and mortality worldwide, particularly in low-resource settings. In Morocco, more than 30,000 new TB cases are reported annually, with a growing proportion of extrapulmonary TB. In remote provinces such as Ouarzazate, challenges in access to healthcare and treatment monitoring underscore the need for innovative solutions. Information and Communication Technologies (ICT) have the potential to enhance the quality of TB patient management by improving communication, coordination, and follow-up care.\nMaterials and Methods\nThis mixed-methods evaluative study was conducted at the Tuberculosis and Respiratory Diseases Diagnostic Center (CDTMR) in Ouarzazate over five months. The quantitative component involved the retrospective analysis of 455 TB patient records spanning 2020–2024. The qualitative component consisted of structured questionnaires administered to 75 healthcare professionals involved in the National TB Control Program (PNLAT) and 35 TB patients. Data analysis was performed using Epi Info 7.2.4, with descriptive and comparative statistics, and thematic content analysis for qualitative responses.\nResults\nThe study population had a mean age of 43 years, with a male predominance (59%). Pulmonary TB accounted for 51% of cases, and extrapulmonary TB for 49%. Findings revealed uneven adoption of ICT tools: while most professionals recognized their value in improving communication, data management, and treatment monitoring, barriers such as limited digital infrastructure, insufficient training, and patient illiteracy reduced their effectiveness. Patients reported improved follow-up and fewer communication gaps when ICT tools such as SMS reminders, electronic drug monitoring, and teleconsultations were employed. However, 54% of patients lacked health insurance, and only 57% had access to a mobile phone, limiting widespread implementation.\nConclusions\nICT integration significantly enhances the quality of TB care by reducing medical errors, strengthening communication, and supporting treatment adherence. Nevertheless, structural and human barriers persist, requiring investments in digital infrastructure, professional training, and patient education. Ensuring interoperability of health information systems and adopting a participatory approach with all stakeholders are critical to scaling ICT solutions. These findings provide evidence-based insights for policymakers and health managers to leverage digital health in achieving national and global End TB targets.\n\n\n### B. Nadira\nBMC Proceedings 2026, 20(11):A4\nAbstract\nBackground\nTuberculosis (TB) remains one of the leading infectious causes of morbidity and mortality worldwide, particularly in low-resource settings. In Morocco, more than 30,000 new TB cases are reported annually, with a growing proportion of extrapulmonary TB. In remote provinces such as Ouarzazate, challenges in access to healthcare and treatment monitoring underscore the need for innovative solutions. Information and Communication Technologies (ICT) have the potential to enhance the quality of TB patient management by improving communication, coordination, and follow-up care.\nMaterials and Methods\nThis mixed-methods evaluative study was conducted at the Tuberculosis and Respiratory Diseases Diagnostic Center (CDTMR) in Ouarzazate over five months. The quantitative component involved the retrospective analysis of 455 TB patient records spanning 2020–2024. The qualitative component consisted of structured questionnaires administered to 75 healthcare professionals involved in the National TB Control Program (PNLAT) and 35 TB patients. Data analysis was performed using Epi Info 7.2.4, with descriptive and comparative statistics, and thematic content analysis for qualitative responses.\nResults\nThe study population had a mean age of 43 years, with a male predominance (59%). Pulmonary TB accounted for 51% of cases, and extrapulmonary TB for 49%. Findings revealed uneven adoption of ICT tools: while most professionals recognized their value in improving communication, data management, and treatment monitoring, barriers such as limited digital infrastructure, insufficient training, and patient illiteracy reduced their effectiveness. Patients reported improved follow-up and fewer communication gaps when ICT tools such as SMS reminders, electronic drug monitoring, and teleconsultations were employed. However, 54% of patients lacked health insurance, and only 57% had access to a mobile phone, limiting widespread implementation.\nConclusions\nICT integration significantly enhances the quality of TB care by reducing medical errors, strengthening communication, and supporting treatment adherence. Nevertheless, structural and human barriers persist, requiring investments in digital infrastructure, professional training, and patient education. Ensuring interoperability of health information systems and adopting a participatory approach with all stakeholders are critical to scaling ICT solutions. These findings provide evidence-based insights for policymakers and health managers to leverage digital health in achieving national and global End TB targets.\n\n\n### Institut Supérieur des Professions Infirmières et Techniques de Santé d’Agadir, Agadir, Morocco\nBMC Proceedings 2026, 20(11):A4\nAbstract\nBackground\nTuberculosis (TB) remains one of the leading infectious causes of morbidity and mortality worldwide, particularly in low-resource settings. In Morocco, more than 30,000 new TB cases are reported annually, with a growing proportion of extrapulmonary TB. In remote provinces such as Ouarzazate, challenges in access to healthcare and treatment monitoring underscore the need for innovative solutions. Information and Communication Technologies (ICT) have the potential to enhance the quality of TB patient management by improving communication, coordination, and follow-up care.\nMaterials and Methods\nThis mixed-methods evaluative study was conducted at the Tuberculosis and Respiratory Diseases Diagnostic Center (CDTMR) in Ouarzazate over five months. The quantitative component involved the retrospective analysis of 455 TB patient records spanning 2020–2024. The qualitative component consisted of structured questionnaires administered to 75 healthcare professionals involved in the National TB Control Program (PNLAT) and 35 TB patients. Data analysis was performed using Epi Info 7.2.4, with descriptive and comparative statistics, and thematic content analysis for qualitative responses.\nResults\nThe study population had a mean age of 43 years, with a male predominance (59%). Pulmonary TB accounted for 51% of cases, and extrapulmonary TB for 49%. Findings revealed uneven adoption of ICT tools: while most professionals recognized their value in improving communication, data management, and treatment monitoring, barriers such as limited digital infrastructure, insufficient training, and patient illiteracy reduced their effectiveness. Patients reported improved follow-up and fewer communication gaps when ICT tools such as SMS reminders, electronic drug monitoring, and teleconsultations were employed. However, 54% of patients lacked health insurance, and only 57% had access to a mobile phone, limiting widespread implementation.\nConclusions\nICT integration significantly enhances the quality of TB care by reducing medical errors, strengthening communication, and supporting treatment adherence. Nevertheless, structural and human barriers persist, requiring investments in digital infrastructure, professional training, and patient education. Ensuring interoperability of health information systems and adopting a participatory approach with all stakeholders are critical to scaling ICT solutions. These findings provide evidence-based insights for policymakers and health managers to leverage digital health in achieving national and global End TB targets.\n\n\n### A5 Industry 4.0 for public health protection: a digital twin approach to hospital wastewater management\nBMC Proceedings 2026, 20(11):A5\nAbstract\nBackground\nHospitals and healthcare facilities discharge complex wastewater that contains not only high organic loads but also pathogens, pharmaceutical residues, disinfectants, and trace heavy metals. If inadequately treated, these effluents can spread antimicrobial resistance, contaminate surface and groundwater, and threaten public health. Ensuring continuous, high-quality treatment of hospital wastewater is therefore critical. Industry 4.0 technologies, especially digital twins and predictive maintenance, offer new opportunities to maintain the reliability of advanced filtration systems that safeguard both the environment and surrounding communities.\nMaterials and Methods\nA laboratory-scale pilot bench was designed to replicate a hospital wastewater filtration process combining sedimentation, membrane filtration, and UV disinfection. The system receives synthetic wastewater formulated to mimic typical hospital effluent, including organic matter, pharmaceutical tracers, and microbial contaminants. Internet-of-Things (IoT) sensors monitor flow rate, turbidity, pH, conductivity, and vibration, transmitting real-time data to a cloud platform. A digital twin of the filtration unit mirrors physical behavior and integrates historical data to forecast membrane fouling, pump degradation, and UV-lamp failure. Machine-learning models (random forest and LSTM) analyze multivariate data streams to generate predictive maintenance alerts and optimized intervention schedules.\nResults\nIn preliminary three-month trials, the digital-twin framework predicted membrane fouling events with 91% accuracy and reduced unplanned downtime by 35% compared with conventional reactive maintenance. Early interventions preserved effluent turbidity below 1 NTU and maintained pharmaceutical removal rates above 95%, consistently meeting stringent hospital wastewater discharge standards. The architecture proved scalable and interoperable with hospital information systems for potential full-scale deployment.\nConclusions\nApplying Industry 4.0 concepts to hospital wastewater treatment can significantly enhance system resilience and environmental protection. The proposed digital twin–based predictive maintenance strategy minimizes unexpected failures, safeguards public health by reducing pathogen and drug-residue release, and lowers operational costs. Future work will focus on field implementation in a Moroccan hospital, integration with broader digital health infrastructures, and long-term assessment of environmental and economic benefits.\nKeywords\nHospital wastewater, digital twin, predictive maintenance, Industry 4.0, IoT, healthcare infrastructure\n\n\n### S. Embarki1, Y. El Kihel2, B. El Kihel1\nBMC Proceedings 2026, 20(11):A5\nAbstract\nBackground\nHospitals and healthcare facilities discharge complex wastewater that contains not only high organic loads but also pathogens, pharmaceutical residues, disinfectants, and trace heavy metals. If inadequately treated, these effluents can spread antimicrobial resistance, contaminate surface and groundwater, and threaten public health. Ensuring continuous, high-quality treatment of hospital wastewater is therefore critical. Industry 4.0 technologies, especially digital twins and predictive maintenance, offer new opportunities to maintain the reliability of advanced filtration systems that safeguard both the environment and surrounding communities.\nMaterials and Methods\nA laboratory-scale pilot bench was designed to replicate a hospital wastewater filtration process combining sedimentation, membrane filtration, and UV disinfection. The system receives synthetic wastewater formulated to mimic typical hospital effluent, including organic matter, pharmaceutical tracers, and microbial contaminants. Internet-of-Things (IoT) sensors monitor flow rate, turbidity, pH, conductivity, and vibration, transmitting real-time data to a cloud platform. A digital twin of the filtration unit mirrors physical behavior and integrates historical data to forecast membrane fouling, pump degradation, and UV-lamp failure. Machine-learning models (random forest and LSTM) analyze multivariate data streams to generate predictive maintenance alerts and optimized intervention schedules.\nResults\nIn preliminary three-month trials, the digital-twin framework predicted membrane fouling events with 91% accuracy and reduced unplanned downtime by 35% compared with conventional reactive maintenance. Early interventions preserved effluent turbidity below 1 NTU and maintained pharmaceutical removal rates above 95%, consistently meeting stringent hospital wastewater discharge standards. The architecture proved scalable and interoperable with hospital information systems for potential full-scale deployment.\nConclusions\nApplying Industry 4.0 concepts to hospital wastewater treatment can significantly enhance system resilience and environmental protection. The proposed digital twin–based predictive maintenance strategy minimizes unexpected failures, safeguards public health by reducing pathogen and drug-residue release, and lowers operational costs. Future work will focus on field implementation in a Moroccan hospital, integration with broader digital health infrastructures, and long-term assessment of environmental and economic benefits.\nKeywords\nHospital wastewater, digital twin, predictive maintenance, Industry 4.0, IoT, healthcare infrastructure\n\n\n### 1Laboratory of Industrial Engineering and Seismic Engineering, Mohammed First University, Oujda, Morocco; 2LINEACT-CESI, Bordeaux, France\nBMC Proceedings 2026, 20(11):A5\nAbstract\nBackground\nHospitals and healthcare facilities discharge complex wastewater that contains not only high organic loads but also pathogens, pharmaceutical residues, disinfectants, and trace heavy metals. If inadequately treated, these effluents can spread antimicrobial resistance, contaminate surface and groundwater, and threaten public health. Ensuring continuous, high-quality treatment of hospital wastewater is therefore critical. Industry 4.0 technologies, especially digital twins and predictive maintenance, offer new opportunities to maintain the reliability of advanced filtration systems that safeguard both the environment and surrounding communities.\nMaterials and Methods\nA laboratory-scale pilot bench was designed to replicate a hospital wastewater filtration process combining sedimentation, membrane filtration, and UV disinfection. The system receives synthetic wastewater formulated to mimic typical hospital effluent, including organic matter, pharmaceutical tracers, and microbial contaminants. Internet-of-Things (IoT) sensors monitor flow rate, turbidity, pH, conductivity, and vibration, transmitting real-time data to a cloud platform. A digital twin of the filtration unit mirrors physical behavior and integrates historical data to forecast membrane fouling, pump degradation, and UV-lamp failure. Machine-learning models (random forest and LSTM) analyze multivariate data streams to generate predictive maintenance alerts and optimized intervention schedules.\nResults\nIn preliminary three-month trials, the digital-twin framework predicted membrane fouling events with 91% accuracy and reduced unplanned downtime by 35% compared with conventional reactive maintenance. Early interventions preserved effluent turbidity below 1 NTU and maintained pharmaceutical removal rates above 95%, consistently meeting stringent hospital wastewater discharge standards. The architecture proved scalable and interoperable with hospital information systems for potential full-scale deployment.\nConclusions\nApplying Industry 4.0 concepts to hospital wastewater treatment can significantly enhance system resilience and environmental protection. The proposed digital twin–based predictive maintenance strategy minimizes unexpected failures, safeguards public health by reducing pathogen and drug-residue release, and lowers operational costs. Future work will focus on field implementation in a Moroccan hospital, integration with broader digital health infrastructures, and long-term assessment of environmental and economic benefits.\nKeywords\nHospital wastewater, digital twin, predictive maintenance, Industry 4.0, IoT, healthcare infrastructure\n\n\n### A6 Using vibration sensors to prevent ammonia leaks in industrial refrigeration systems\nBMC Proceedings 2026, 20(11):A6\nAbstract\nBackground\nIndustrial ammonia-based refrigeration systems pose significant risks of hazardous leaks, primarily due to the mechanical degradation of piston compressor sealing components. Conventional preventive maintenance methods have proven insufficient for anticipating critical failures in shaft seals, piston rings, and sealing gaskets, which are responsible for approximately 60% of NH3 leak incidents in the industry. This study investigates the predictive potential of vibration monitoring to detect early mechanical anomalies that precede ammonia leaks.\nMaterials and Methods\nAn integrated monitoring system was deployed on reciprocating ammonia compressors. This setup included accelerometers with real-time signal processing capabilities. The system architecture combined edge computing for local data analysis with machine learning algorithms to enable automatic fault classification. The methodology was validated over a three-month operational period, during which vibration anomalies were correlated with documented leak events to assess predictive reliability.\nResults\nMultispectral vibration analysis enabled the early detection of 80% of sealing failures, with alerts raised 24 to 72 hours before critical leaks occurred. Key vibration signatures associated with developing faults included shaft seal wear, support bearing degradation, and crack formation. When combined with existing NH3 gas detectors, the system’s predictive reliability improved by 30% compared to setups relying on a single sensor. Implementation of this monitoring approach is projected to reduce maintenance costs by 30% and unplanned downtime by 45%, while significantly enhancing personnel safety by avoiding exposure above 10 ppm (Threshold Limit Value).\nConclusions\nVibration monitoring has proven to be a highly effective predictive tool for preventing ammonia leaks, supporting a transition toward Industry 4.0 maintenance strategies. The established correlation between vibration patterns and sealing system degradation paves the way for fully automated predictive diagnostics. This methodology can be extended to other high-safety, high-reliability industrial refrigeration systems.\n\n\n### L. Sehli, S. Embarki, B. El Kihel\nBMC Proceedings 2026, 20(11):A6\nAbstract\nBackground\nIndustrial ammonia-based refrigeration systems pose significant risks of hazardous leaks, primarily due to the mechanical degradation of piston compressor sealing components. Conventional preventive maintenance methods have proven insufficient for anticipating critical failures in shaft seals, piston rings, and sealing gaskets, which are responsible for approximately 60% of NH3 leak incidents in the industry. This study investigates the predictive potential of vibration monitoring to detect early mechanical anomalies that precede ammonia leaks.\nMaterials and Methods\nAn integrated monitoring system was deployed on reciprocating ammonia compressors. This setup included accelerometers with real-time signal processing capabilities. The system architecture combined edge computing for local data analysis with machine learning algorithms to enable automatic fault classification. The methodology was validated over a three-month operational period, during which vibration anomalies were correlated with documented leak events to assess predictive reliability.\nResults\nMultispectral vibration analysis enabled the early detection of 80% of sealing failures, with alerts raised 24 to 72 hours before critical leaks occurred. Key vibration signatures associated with developing faults included shaft seal wear, support bearing degradation, and crack formation. When combined with existing NH3 gas detectors, the system’s predictive reliability improved by 30% compared to setups relying on a single sensor. Implementation of this monitoring approach is projected to reduce maintenance costs by 30% and unplanned downtime by 45%, while significantly enhancing personnel safety by avoiding exposure above 10 ppm (Threshold Limit Value).\nConclusions\nVibration monitoring has proven to be a highly effective predictive tool for preventing ammonia leaks, supporting a transition toward Industry 4.0 maintenance strategies. The established correlation between vibration patterns and sealing system degradation paves the way for fully automated predictive diagnostics. This methodology can be extended to other high-safety, high-reliability industrial refrigeration systems.\n\n\n### Laboratory of Industrial Engineering and Seismic Engineering, Mohammed First University, Oujda, Morocco\nBMC Proceedings 2026, 20(11):A6\nAbstract\nBackground\nIndustrial ammonia-based refrigeration systems pose significant risks of hazardous leaks, primarily due to the mechanical degradation of piston compressor sealing components. Conventional preventive maintenance methods have proven insufficient for anticipating critical failures in shaft seals, piston rings, and sealing gaskets, which are responsible for approximately 60% of NH3 leak incidents in the industry. This study investigates the predictive potential of vibration monitoring to detect early mechanical anomalies that precede ammonia leaks.\nMaterials and Methods\nAn integrated monitoring system was deployed on reciprocating ammonia compressors. This setup included accelerometers with real-time signal processing capabilities. The system architecture combined edge computing for local data analysis with machine learning algorithms to enable automatic fault classification. The methodology was validated over a three-month operational period, during which vibration anomalies were correlated with documented leak events to assess predictive reliability.\nResults\nMultispectral vibration analysis enabled the early detection of 80% of sealing failures, with alerts raised 24 to 72 hours before critical leaks occurred. Key vibration signatures associated with developing faults included shaft seal wear, support bearing degradation, and crack formation. When combined with existing NH3 gas detectors, the system’s predictive reliability improved by 30% compared to setups relying on a single sensor. Implementation of this monitoring approach is projected to reduce maintenance costs by 30% and unplanned downtime by 45%, while significantly enhancing personnel safety by avoiding exposure above 10 ppm (Threshold Limit Value).\nConclusions\nVibration monitoring has proven to be a highly effective predictive tool for preventing ammonia leaks, supporting a transition toward Industry 4.0 maintenance strategies. The established correlation between vibration patterns and sealing system degradation paves the way for fully automated predictive diagnostics. This methodology can be extended to other high-safety, high-reliability industrial refrigeration systems.\n\n\n### A7 KidneyLab 2.0: Arduino-based educational platform for demonstrating renal hydrosodic regulation\nBMC Proceedings 2026, 20(11):A7\nAbstract\nBackground\nRenal hydrosodic regulation is a complex physiological process involving coordinated hormonal and cellular mechanisms essential for systemic homeostasis. Despite its significance, this subject remains challenging for students to master. Conventional teaching methods often struggle to convey the dynamic interactions underlying renal function, highlighting the need for innovative educational tools that integrate theoretical knowledge with practical experience.\nMaterials and Methods\nKidneyLab 2.0 was developed as an Arduino Uno-based teaching platform designed to simulate renal hydrosodic regulation in real time. The system combines conductivity and ultrasonic sensors with the programmable Arduino Uno microcontroller, enabling measurement of sodium concentration, monitoring of fluid volumes, and reproduction of physiological regulatory responses. The platform is structured around a series of exercises, including construction of calibration curves for sodium measurement and simulation of normal and pathological states, such as hyponatremia, hypernatremia, and renal failure.\nResults\nKidneyLab 2.0 has been successfully developed and validated as a functional prototype. Using the Arduino Uno, the system reliably simulates key renal processes and produces measurable outputs that reflect changes in fluid and sodium balance under various conditions. Its modular and low-cost design facilitates reproducibility, adaptability, and potential integration into diverse teaching contexts. This approach allows demonstration of key homeostatic mechanisms, including antidiuretic hormone (ADH) activity and the renin–angiotensin–aldosterone system (RAAS). Its modular configuration permits extension to additional physiological domains, such as acid–base balance or glomerular filtration dynamics. Preliminary technical testing confirms that the platform provides accurate, real-time feedback.\nConclusions\nKidneyLab 2.0 represents a scientifically rigorous, low-cost, and modular tool for teaching renal physiology. By translating complex regulatory mechanisms into interactive, observable simulations through an Arduino Uno-based system, the platform has strong potential to enhance understanding of hydrosodic regulation and related homeostatic processes. This initiative demonstrates the value of digitally enabled, hands-on teaching technologies in medical education and establishes a foundation for future student-based evaluation and broader application in physiology teaching.\n\n\n### N. E. H. Benkaddour1, S. Ramdani1, A. Messaoudi2, M. Boudchiche3,4, N. Abda1, Y. Bentata1,5\nBMC Proceedings 2026, 20(11):A7\nAbstract\nBackground\nRenal hydrosodic regulation is a complex physiological process involving coordinated hormonal and cellular mechanisms essential for systemic homeostasis. Despite its significance, this subject remains challenging for students to master. Conventional teaching methods often struggle to convey the dynamic interactions underlying renal function, highlighting the need for innovative educational tools that integrate theoretical knowledge with practical experience.\nMaterials and Methods\nKidneyLab 2.0 was developed as an Arduino Uno-based teaching platform designed to simulate renal hydrosodic regulation in real time. The system combines conductivity and ultrasonic sensors with the programmable Arduino Uno microcontroller, enabling measurement of sodium concentration, monitoring of fluid volumes, and reproduction of physiological regulatory responses. The platform is structured around a series of exercises, including construction of calibration curves for sodium measurement and simulation of normal and pathological states, such as hyponatremia, hypernatremia, and renal failure.\nResults\nKidneyLab 2.0 has been successfully developed and validated as a functional prototype. Using the Arduino Uno, the system reliably simulates key renal processes and produces measurable outputs that reflect changes in fluid and sodium balance under various conditions. Its modular and low-cost design facilitates reproducibility, adaptability, and potential integration into diverse teaching contexts. This approach allows demonstration of key homeostatic mechanisms, including antidiuretic hormone (ADH) activity and the renin–angiotensin–aldosterone system (RAAS). Its modular configuration permits extension to additional physiological domains, such as acid–base balance or glomerular filtration dynamics. Preliminary technical testing confirms that the platform provides accurate, real-time feedback.\nConclusions\nKidneyLab 2.0 represents a scientifically rigorous, low-cost, and modular tool for teaching renal physiology. By translating complex regulatory mechanisms into interactive, observable simulations through an Arduino Uno-based system, the platform has strong potential to enhance understanding of hydrosodic regulation and related homeostatic processes. This initiative demonstrates the value of digitally enabled, hands-on teaching technologies in medical education and establishes a foundation for future student-based evaluation and broader application in physiology teaching.\n\n\n### 1Laboratory of Epidemiology, Clinical Research and Public Health, Faculty of Medicine and Pharmacy of Oujda, Mohammed First University, Oujda, Morocco; 2Energy, Embedded Systems and Information Processing Laboratory, National School of Applied Sciences, Mohammed First University, Oujda, Morocco; 3University Center for Prototyping and Innovation, Mohammed First University, Oujda, Morocco; 4Geo-Heritage, Geo-Environment, and Mining and Water Prospecting Laboratory, Mohammed First University, Oujda, Morocco; 5Nephrology and Kidney Transplantation Unit, Mohammed VI University Hospital, Oujda, Morocco\nBMC Proceedings 2026, 20(11):A7\nAbstract\nBackground\nRenal hydrosodic regulation is a complex physiological process involving coordinated hormonal and cellular mechanisms essential for systemic homeostasis. Despite its significance, this subject remains challenging for students to master. Conventional teaching methods often struggle to convey the dynamic interactions underlying renal function, highlighting the need for innovative educational tools that integrate theoretical knowledge with practical experience.\nMaterials and Methods\nKidneyLab 2.0 was developed as an Arduino Uno-based teaching platform designed to simulate renal hydrosodic regulation in real time. The system combines conductivity and ultrasonic sensors with the programmable Arduino Uno microcontroller, enabling measurement of sodium concentration, monitoring of fluid volumes, and reproduction of physiological regulatory responses. The platform is structured around a series of exercises, including construction of calibration curves for sodium measurement and simulation of normal and pathological states, such as hyponatremia, hypernatremia, and renal failure.\nResults\nKidneyLab 2.0 has been successfully developed and validated as a functional prototype. Using the Arduino Uno, the system reliably simulates key renal processes and produces measurable outputs that reflect changes in fluid and sodium balance under various conditions. Its modular and low-cost design facilitates reproducibility, adaptability, and potential integration into diverse teaching contexts. This approach allows demonstration of key homeostatic mechanisms, including antidiuretic hormone (ADH) activity and the renin–angiotensin–aldosterone system (RAAS). Its modular configuration permits extension to additional physiological domains, such as acid–base balance or glomerular filtration dynamics. Preliminary technical testing confirms that the platform provides accurate, real-time feedback.\nConclusions\nKidneyLab 2.0 represents a scientifically rigorous, low-cost, and modular tool for teaching renal physiology. By translating complex regulatory mechanisms into interactive, observable simulations through an Arduino Uno-based system, the platform has strong potential to enhance understanding of hydrosodic regulation and related homeostatic processes. This initiative demonstrates the value of digitally enabled, hands-on teaching technologies in medical education and establishes a foundation for future student-based evaluation and broader application in physiology teaching.\n\n\n### A8 Telemedicine in Southern Morocco: current state\nBMC Proceedings 2026, 20(11):A8\nAbstract\nBackground\nTelemedicine refers to the delivery of healthcare services using telecommunication technologies. It has the potential to improve access to care for broader patient populations and reduce healthcare costs, particularly in resource-constrained and rural settings. Morocco has taken a leading role in the MENA (Middle East and North Africa) region by establishing a regulatory framework for telemedicine, with a national initiative launched in October 2018. As part of this initiative, Mobile Connected Medical Units (MCMUs) were deployed to address persistent gaps in healthcare coverage in medically underserved areas. This study aims to assess the current state of telemedicine implementation in Southern Morocco.\nMaterials and Methods\nA descriptive secondary data analysis was conducted for the year 2024 in the Souss Massa region. Data were collected from periodic reports issued by the MCMUs operating in the region. Descriptive and comparative analyses were performed to assess usage trends, identify service gaps, and evaluate adoption patterns across different provinces.\nResults\nThe telemedicine program in the Souss Massa region extended its services to three provinces: Taroudant, Tiznit, and Tata. Eight MCMUs were operational in the following locations: Tafingoult, Taliouine, Tataoute, Ait Abdell, Amelne, Reggada, Tizaght, and Irhalen. In 2024, the program served a total of 15,366 patients and facilitated 2,244 tele-expertise consultations across various medical specialties. Among these, 2,399 patients received follow-up care for diabetes, and 6,369 individuals were screened for hypertension.\nA positive trend was observed in the volume of health services delivered through MCMUs in 2024. The number of healthcare services and procedures increased by an average rate of 12.68% and 13.63%, respectively. Notably, tele-expertise consultations experienced a significant growth rate of 57%, reflecting a growing reliance on remote specialist support.\nConclusions\nTelemedicine presents a significant opportunity to improve healthcare delivery and accessibility in Morocco, particularly in underserved regions. To fully realize its potential, sustained engagement of healthcare professionals and stakeholders is essential. Ensuring equitable access, strengthening infrastructure, and integrating telemedicine into broader health system planning will be key to maximizing its impact.\nKeywords\nTelemedicine; Mobile Connected Medical Units; Digital health; Morocco; Rural healthcare; Health system access\n\n\n### O. Benbrik1,2, O. Bounar2, I. Chakri2, L. Lahlou2\nBMC Proceedings 2026, 20(11):A8\nAbstract\nBackground\nTelemedicine refers to the delivery of healthcare services using telecommunication technologies. It has the potential to improve access to care for broader patient populations and reduce healthcare costs, particularly in resource-constrained and rural settings. Morocco has taken a leading role in the MENA (Middle East and North Africa) region by establishing a regulatory framework for telemedicine, with a national initiative launched in October 2018. As part of this initiative, Mobile Connected Medical Units (MCMUs) were deployed to address persistent gaps in healthcare coverage in medically underserved areas. This study aims to assess the current state of telemedicine implementation in Southern Morocco.\nMaterials and Methods\nA descriptive secondary data analysis was conducted for the year 2024 in the Souss Massa region. Data were collected from periodic reports issued by the MCMUs operating in the region. Descriptive and comparative analyses were performed to assess usage trends, identify service gaps, and evaluate adoption patterns across different provinces.\nResults\nThe telemedicine program in the Souss Massa region extended its services to three provinces: Taroudant, Tiznit, and Tata. Eight MCMUs were operational in the following locations: Tafingoult, Taliouine, Tataoute, Ait Abdell, Amelne, Reggada, Tizaght, and Irhalen. In 2024, the program served a total of 15,366 patients and facilitated 2,244 tele-expertise consultations across various medical specialties. Among these, 2,399 patients received follow-up care for diabetes, and 6,369 individuals were screened for hypertension.\nA positive trend was observed in the volume of health services delivered through MCMUs in 2024. The number of healthcare services and procedures increased by an average rate of 12.68% and 13.63%, respectively. Notably, tele-expertise consultations experienced a significant growth rate of 57%, reflecting a growing reliance on remote specialist support.\nConclusions\nTelemedicine presents a significant opportunity to improve healthcare delivery and accessibility in Morocco, particularly in underserved regions. To fully realize its potential, sustained engagement of healthcare professionals and stakeholders is essential. Ensuring equitable access, strengthening infrastructure, and integrating telemedicine into broader health system planning will be key to maximizing its impact.\nKeywords\nTelemedicine; Mobile Connected Medical Units; Digital health; Morocco; Rural healthcare; Health system access\n\n\n### 1Research and Innovation Laboratory in Health Science, Faculty of Medicine and Pharmacy, Ibn Zohr University, Agadir, Morocco; 2Laboratory of Epidemiology, Biostatistics and Clinical Research, Faculty of Medicine and Pharmacy, Ibn Zohr University, Agadir, Morocco\nBMC Proceedings 2026, 20(11):A8\nAbstract\nBackground\nTelemedicine refers to the delivery of healthcare services using telecommunication technologies. It has the potential to improve access to care for broader patient populations and reduce healthcare costs, particularly in resource-constrained and rural settings. Morocco has taken a leading role in the MENA (Middle East and North Africa) region by establishing a regulatory framework for telemedicine, with a national initiative launched in October 2018. As part of this initiative, Mobile Connected Medical Units (MCMUs) were deployed to address persistent gaps in healthcare coverage in medically underserved areas. This study aims to assess the current state of telemedicine implementation in Southern Morocco.\nMaterials and Methods\nA descriptive secondary data analysis was conducted for the year 2024 in the Souss Massa region. Data were collected from periodic reports issued by the MCMUs operating in the region. Descriptive and comparative analyses were performed to assess usage trends, identify service gaps, and evaluate adoption patterns across different provinces.\nResults\nThe telemedicine program in the Souss Massa region extended its services to three provinces: Taroudant, Tiznit, and Tata. Eight MCMUs were operational in the following locations: Tafingoult, Taliouine, Tataoute, Ait Abdell, Amelne, Reggada, Tizaght, and Irhalen. In 2024, the program served a total of 15,366 patients and facilitated 2,244 tele-expertise consultations across various medical specialties. Among these, 2,399 patients received follow-up care for diabetes, and 6,369 individuals were screened for hypertension.\nA positive trend was observed in the volume of health services delivered through MCMUs in 2024. The number of healthcare services and procedures increased by an average rate of 12.68% and 13.63%, respectively. Notably, tele-expertise consultations experienced a significant growth rate of 57%, reflecting a growing reliance on remote specialist support.\nConclusions\nTelemedicine presents a significant opportunity to improve healthcare delivery and accessibility in Morocco, particularly in underserved regions. To fully realize its potential, sustained engagement of healthcare professionals and stakeholders is essential. Ensuring equitable access, strengthening infrastructure, and integrating telemedicine into broader health system planning will be key to maximizing its impact.\nKeywords\nTelemedicine; Mobile Connected Medical Units; Digital health; Morocco; Rural healthcare; Health system access\n\n\n### A9 Can a mobile application help alleviate the workload of emergency doctors in developing countries?\nBMC Proceedings 2026, 20(11):A9\nBackground\nIn the intensive care unit (ICU), healthcare professionals face a high workload and must manage complex, time-sensitive tasks. Currently, many doctors rely on paper-based systems to track pending procedures, test results, and attending instructions. These paper sheets are inconvenient—they must be rewritten daily, are vulnerable to loss, and offer limited visibility into the status of tasks for other team members. Furthermore, they do not support real-time updates on task status (e.g. completed, pending, modified, or deleted), which hampers team communication and workflow coordination.\nMethods\nThis study presents the design and pilot evaluation of a novel task management mobile application tailored for ICU settings in developing countries. To our knowledge, this is the first such platform developed in Morocco that aligns specifically with local ICU workflows. The application includes features such as secure login, patient case tracking, task assignment and management, and integrated team communication. Usability and performance were assessed through pilot testing involving participants simulating ICU clinical roles.\nResults\nThe application supports secure clinician authentication and real-time access to patient data, enabling collaborative task execution. Key functionalities include patient case creation, efficient task delegation, and standardized instruction updates—all contributing to streamlined clinical workflows and reduced delays associated with manual record-keeping. The platform integrates role-based access control to maintain data security and define user responsibilities within care teams. Pilot testing showed promising results, although some limitations were identified, including dependency on stable internet access and an initial learning curve for users unfamiliar with digital tools.\nConclusion\nPreliminary findings support the application’s potential to improve care delivery, reduce medical errors, and strengthen team coordination by replacing inefficient paper-based systems. The next phase will involve obtaining the necessary healthcare licensing and regulatory approvals. Following this, larger-scale clinical testing will be conducted to evaluate effectiveness, scalability, and adaptability in real-world settings. Future platform iterations will incorporate end-to-end encryption and a blockchain-based architecture to enable immutable audit trails and reinforce data integrity.\n\n\n### M. Boutkhil1, F.-Z. Boutkhil2, O. Cherradi3\nBMC Proceedings 2026, 20(11):A9\nBackground\nIn the intensive care unit (ICU), healthcare professionals face a high workload and must manage complex, time-sensitive tasks. Currently, many doctors rely on paper-based systems to track pending procedures, test results, and attending instructions. These paper sheets are inconvenient—they must be rewritten daily, are vulnerable to loss, and offer limited visibility into the status of tasks for other team members. Furthermore, they do not support real-time updates on task status (e.g. completed, pending, modified, or deleted), which hampers team communication and workflow coordination.\nMethods\nThis study presents the design and pilot evaluation of a novel task management mobile application tailored for ICU settings in developing countries. To our knowledge, this is the first such platform developed in Morocco that aligns specifically with local ICU workflows. The application includes features such as secure login, patient case tracking, task assignment and management, and integrated team communication. Usability and performance were assessed through pilot testing involving participants simulating ICU clinical roles.\nResults\nThe application supports secure clinician authentication and real-time access to patient data, enabling collaborative task execution. Key functionalities include patient case creation, efficient task delegation, and standardized instruction updates—all contributing to streamlined clinical workflows and reduced delays associated with manual record-keeping. The platform integrates role-based access control to maintain data security and define user responsibilities within care teams. Pilot testing showed promising results, although some limitations were identified, including dependency on stable internet access and an initial learning curve for users unfamiliar with digital tools.\nConclusion\nPreliminary findings support the application’s potential to improve care delivery, reduce medical errors, and strengthen team coordination by replacing inefficient paper-based systems. The next phase will involve obtaining the necessary healthcare licensing and regulatory approvals. Following this, larger-scale clinical testing will be conducted to evaluate effectiveness, scalability, and adaptability in real-world settings. Future platform iterations will incorporate end-to-end encryption and a blockchain-based architecture to enable immutable audit trails and reinforce data integrity.\n\n\n### 1University College London, London, UK\nBMC Proceedings 2026, 20(11):A9\nBackground\nIn the intensive care unit (ICU), healthcare professionals face a high workload and must manage complex, time-sensitive tasks. Currently, many doctors rely on paper-based systems to track pending procedures, test results, and attending instructions. These paper sheets are inconvenient—they must be rewritten daily, are vulnerable to loss, and offer limited visibility into the status of tasks for other team members. Furthermore, they do not support real-time updates on task status (e.g. completed, pending, modified, or deleted), which hampers team communication and workflow coordination.\nMethods\nThis study presents the design and pilot evaluation of a novel task management mobile application tailored for ICU settings in developing countries. To our knowledge, this is the first such platform developed in Morocco that aligns specifically with local ICU workflows. The application includes features such as secure login, patient case tracking, task assignment and management, and integrated team communication. Usability and performance were assessed through pilot testing involving participants simulating ICU clinical roles.\nResults\nThe application supports secure clinician authentication and real-time access to patient data, enabling collaborative task execution. Key functionalities include patient case creation, efficient task delegation, and standardized instruction updates—all contributing to streamlined clinical workflows and reduced delays associated with manual record-keeping. The platform integrates role-based access control to maintain data security and define user responsibilities within care teams. Pilot testing showed promising results, although some limitations were identified, including dependency on stable internet access and an initial learning curve for users unfamiliar with digital tools.\nConclusion\nPreliminary findings support the application’s potential to improve care delivery, reduce medical errors, and strengthen team coordination by replacing inefficient paper-based systems. The next phase will involve obtaining the necessary healthcare licensing and regulatory approvals. Following this, larger-scale clinical testing will be conducted to evaluate effectiveness, scalability, and adaptability in real-world settings. Future platform iterations will incorporate end-to-end encryption and a blockchain-based architecture to enable immutable audit trails and reinforce data integrity.\n\n\n### A10 From coordination to explainable decision support: a roadmap for recommender systems platforms for enhanced multidisciplinary team decision-making in oncology\nBMC Proceedings 2026, 20(11):A10\nBackground\nMultidisciplinary Team (MDT) meetings are a cornerstone of collaborative decision-making in oncology, bringing together clinicians from various specialties to determine optimal treatment strategies. Despite the increasing digitalisation of MDT processes globally, existing platforms often fail to combine three critical elements: interoperability, privacy safeguards, and explainable recommender systems (RS). This lack undermines trust, transparency, and clinical integration. To address these challenges, we present a roadmap for next-generation MDT platforms that go beyond coordination to include secure, explainable, RS-augmented decision support, tailored to diverse healthcare resource settings.\nMaterials and Methods\nWe conducted a comprehensive review of existing MDT and tumour board platforms in both scientific literature and clinical practice. This review identified major gaps in data integration, privacy protection, and explainability. From these findings, we developed a capability framework outlining five foundational pillars for responsible RS-enabled MDT adoption:\n(i) interoperable and high-quality data integration;\n(ii) documented and transparent MDT workflows;\n(iii) readiness for recommender systems and explainable artificial intelligence (XAI);\n(iv) governance and robust privacy safeguards;\n(v) user-friendly decision summaries for clinicians.\nWe further propose a typology defined along four key dimensions: maturity stage, collaboration mode, AI capability, and system integration depth. Building on this, we outline a practical three-step adoption roadmap:\nSimulation on retrospective clinical cases;\nRead-only integration in real MDT meetings;\nProgressive operational deployment with clearly defined clinical roles, consent protocols, and audit trails.\nResults\nThe proposed framework defines the minimal functional and ethical requirements for MDT platforms seeking to integrate RS and XAI features. The typology offers a shared language for stakeholders to assess, benchmark, and guide platform evolution. The adoption roadmap enables healthcare institutions—particularly those in resource-constrained settings—to experiment with RS-enhanced MDT systems with minimal disruption to existing workflows. Collectively, these contributions position RS platforms not just as technical tools, but as enablers of more accountable, efficient, and transparent group decision-making in oncology.\nConclusions\nThis roadmap provides a flexible, scalable strategy for the adoption of RS-enhanced MDT platforms, particularly suited to emerging healthcare systems such as those in Morocco. By embedding explainability, privacy, and workflow compatibility at the core of platform development, this work lays the foundation for real-world piloting, future prototyping, and rigorous clinical evaluation. Ultimately, it supports a more trustworthy and collaborative approach to oncology care.\nKeywords\nMultidisciplinary teams in oncology; tumour board; oncology decision support; recommender systems in oncology; digital health infrastructure\n\n\n### O. El Miayar1, A. Berrado1 (berrado@emi.ac.ma)\nBMC Proceedings 2026, 20(11):A10\nBackground\nMultidisciplinary Team (MDT) meetings are a cornerstone of collaborative decision-making in oncology, bringing together clinicians from various specialties to determine optimal treatment strategies. Despite the increasing digitalisation of MDT processes globally, existing platforms often fail to combine three critical elements: interoperability, privacy safeguards, and explainable recommender systems (RS). This lack undermines trust, transparency, and clinical integration. To address these challenges, we present a roadmap for next-generation MDT platforms that go beyond coordination to include secure, explainable, RS-augmented decision support, tailored to diverse healthcare resource settings.\nMaterials and Methods\nWe conducted a comprehensive review of existing MDT and tumour board platforms in both scientific literature and clinical practice. This review identified major gaps in data integration, privacy protection, and explainability. From these findings, we developed a capability framework outlining five foundational pillars for responsible RS-enabled MDT adoption:\n(i) interoperable and high-quality data integration;\n(ii) documented and transparent MDT workflows;\n(iii) readiness for recommender systems and explainable artificial intelligence (XAI);\n(iv) governance and robust privacy safeguards;\n(v) user-friendly decision summaries for clinicians.\nWe further propose a typology defined along four key dimensions: maturity stage, collaboration mode, AI capability, and system integration depth. Building on this, we outline a practical three-step adoption roadmap:\nSimulation on retrospective clinical cases;\nRead-only integration in real MDT meetings;\nProgressive operational deployment with clearly defined clinical roles, consent protocols, and audit trails.\nResults\nThe proposed framework defines the minimal functional and ethical requirements for MDT platforms seeking to integrate RS and XAI features. The typology offers a shared language for stakeholders to assess, benchmark, and guide platform evolution. The adoption roadmap enables healthcare institutions—particularly those in resource-constrained settings—to experiment with RS-enhanced MDT systems with minimal disruption to existing workflows. Collectively, these contributions position RS platforms not just as technical tools, but as enablers of more accountable, efficient, and transparent group decision-making in oncology.\nConclusions\nThis roadmap provides a flexible, scalable strategy for the adoption of RS-enhanced MDT platforms, particularly suited to emerging healthcare systems such as those in Morocco. By embedding explainability, privacy, and workflow compatibility at the core of platform development, this work lays the foundation for real-world piloting, future prototyping, and rigorous clinical evaluation. Ultimately, it supports a more trustworthy and collaborative approach to oncology care.\nKeywords\nMultidisciplinary teams in oncology; tumour board; oncology decision support; recommender systems in oncology; digital health infrastructure\n\n\n### 1Research team AMIPS, École Mohammadia d’Ingénieurs, Mohammed V University in Rabat, Avenue Ibn Sina, BP 765, Agdal, Rabat, Morocco\nBMC Proceedings 2026, 20(11):A10\nBackground\nMultidisciplinary Team (MDT) meetings are a cornerstone of collaborative decision-making in oncology, bringing together clinicians from various specialties to determine optimal treatment strategies. Despite the increasing digitalisation of MDT processes globally, existing platforms often fail to combine three critical elements: interoperability, privacy safeguards, and explainable recommender systems (RS). This lack undermines trust, transparency, and clinical integration. To address these challenges, we present a roadmap for next-generation MDT platforms that go beyond coordination to include secure, explainable, RS-augmented decision support, tailored to diverse healthcare resource settings.\nMaterials and Methods\nWe conducted a comprehensive review of existing MDT and tumour board platforms in both scientific literature and clinical practice. This review identified major gaps in data integration, privacy protection, and explainability. From these findings, we developed a capability framework outlining five foundational pillars for responsible RS-enabled MDT adoption:\n(i) interoperable and high-quality data integration;\n(ii) documented and transparent MDT workflows;\n(iii) readiness for recommender systems and explainable artificial intelligence (XAI);\n(iv) governance and robust privacy safeguards;\n(v) user-friendly decision summaries for clinicians.\nWe further propose a typology defined along four key dimensions: maturity stage, collaboration mode, AI capability, and system integration depth. Building on this, we outline a practical three-step adoption roadmap:\nSimulation on retrospective clinical cases;\nRead-only integration in real MDT meetings;\nProgressive operational deployment with clearly defined clinical roles, consent protocols, and audit trails.\nResults\nThe proposed framework defines the minimal functional and ethical requirements for MDT platforms seeking to integrate RS and XAI features. The typology offers a shared language for stakeholders to assess, benchmark, and guide platform evolution. The adoption roadmap enables healthcare institutions—particularly those in resource-constrained settings—to experiment with RS-enhanced MDT systems with minimal disruption to existing workflows. Collectively, these contributions position RS platforms not just as technical tools, but as enablers of more accountable, efficient, and transparent group decision-making in oncology.\nConclusions\nThis roadmap provides a flexible, scalable strategy for the adoption of RS-enhanced MDT platforms, particularly suited to emerging healthcare systems such as those in Morocco. By embedding explainability, privacy, and workflow compatibility at the core of platform development, this work lays the foundation for real-world piloting, future prototyping, and rigorous clinical evaluation. Ultimately, it supports a more trustworthy and collaborative approach to oncology care.\nKeywords\nMultidisciplinary teams in oncology; tumour board; oncology decision support; recommender systems in oncology; digital health infrastructure\n\n\n### Correspondence: O. El Miayar (o.elmiayar@research.emi.ac.ma)\nBMC Proceedings 2026, 20(11):A10\nBackground\nMultidisciplinary Team (MDT) meetings are a cornerstone of collaborative decision-making in oncology, bringing together clinicians from various specialties to determine optimal treatment strategies. Despite the increasing digitalisation of MDT processes globally, existing platforms often fail to combine three critical elements: interoperability, privacy safeguards, and explainable recommender systems (RS). This lack undermines trust, transparency, and clinical integration. To address these challenges, we present a roadmap for next-generation MDT platforms that go beyond coordination to include secure, explainable, RS-augmented decision support, tailored to diverse healthcare resource settings.\nMaterials and Methods\nWe conducted a comprehensive review of existing MDT and tumour board platforms in both scientific literature and clinical practice. This review identified major gaps in data integration, privacy protection, and explainability. From these findings, we developed a capability framework outlining five foundational pillars for responsible RS-enabled MDT adoption:\n(i) interoperable and high-quality data integration;\n(ii) documented and transparent MDT workflows;\n(iii) readiness for recommender systems and explainable artificial intelligence (XAI);\n(iv) governance and robust privacy safeguards;\n(v) user-friendly decision summaries for clinicians.\nWe further propose a typology defined along four key dimensions: maturity stage, collaboration mode, AI capability, and system integration depth. Building on this, we outline a practical three-step adoption roadmap:\nSimulation on retrospective clinical cases;\nRead-only integration in real MDT meetings;\nProgressive operational deployment with clearly defined clinical roles, consent protocols, and audit trails.\nResults\nThe proposed framework defines the minimal functional and ethical requirements for MDT platforms seeking to integrate RS and XAI features. The typology offers a shared language for stakeholders to assess, benchmark, and guide platform evolution. The adoption roadmap enables healthcare institutions—particularly those in resource-constrained settings—to experiment with RS-enhanced MDT systems with minimal disruption to existing workflows. Collectively, these contributions position RS platforms not just as technical tools, but as enablers of more accountable, efficient, and transparent group decision-making in oncology.\nConclusions\nThis roadmap provides a flexible, scalable strategy for the adoption of RS-enhanced MDT platforms, particularly suited to emerging healthcare systems such as those in Morocco. By embedding explainability, privacy, and workflow compatibility at the core of platform development, this work lays the foundation for real-world piloting, future prototyping, and rigorous clinical evaluation. Ultimately, it supports a more trustworthy and collaborative approach to oncology care.\nKeywords\nMultidisciplinary teams in oncology; tumour board; oncology decision support; recommender systems in oncology; digital health infrastructure\n\n\n### A11 Pdaylisis – a multi-platform AI-enabled solution transforming dialysis patient care\nBMC Proceedings 2026, 20(11):A11\nBackground\nChronic kidney disease patients on dialysis face challenges including frequent hospital visits, complex treatment adherence, and limited access to personalized care. Digital health innovations can bridge these gaps by enabling real-time monitoring, predictive analytics, and patient-centered interventions. Pdaylisis is a multi-platform, multi-tenant app designed to revolutionize dialysis management by providing secure, center-specific data, role-based access for staff, and direct patient engagement.\nMethods\nEach participating center maintains an isolated database, ensuring data security and privacy. Doctors can manage patients, daily logs, treatment schedules, and full digital medical records. Patients access the platform via a unique code to view programmed treatments, medication pouch details (volume, color, and timing), and log intake/output to calculate ultrafiltration. Real-time alerts, daily indicators (weight, blood pressure, diuresis), live graphs, and two-way chat enable proactive care. A connected device under development will automate data collection. Pdaylisis is currently piloted under nephrologist Dr. Bahadi Abdelaali at Hôpital Militaire d’Instruction Mohamed V, evaluating usability, engagement, and clinical outcomes.\nResults\nPreliminary findings demonstrate increased adherence to dialysis schedules (+15%) and medication compliance (+18%). Early alerts from the AI module enabled timely interventions, preventing potential complications. Patients reported improved empowerment and ease of managing their treatment, while clinicians experienced enhanced workflow efficiency and real-time patient insights. These results highlight Pdaylisis’s capacity to improve both clinical and operational outcomes.\nConclusions\nPdaylisis represents a scalable, secure, and patient-centered approach to dialysis care. By integrating real-time monitoring, AI-driven alerts, and comprehensive digital records, it improves adherence, clinical oversight, and patient engagement. Future enhancements include full hemodialysis management, AI-driven decision support, voice-assisted operation, and medication stock/delivery management. Pdaylisis demonstrates a practical and innovative model for transforming dialysis care, particularly in multi-center and resource-limited settings, aligning perfectly with the goals of the International eHealth Forum 2025 to advance equitable, high-quality digital health solutions.\n\n\n### B. Abdelaali\nBMC Proceedings 2026, 20(11):A11\nBackground\nChronic kidney disease patients on dialysis face challenges including frequent hospital visits, complex treatment adherence, and limited access to personalized care. Digital health innovations can bridge these gaps by enabling real-time monitoring, predictive analytics, and patient-centered interventions. Pdaylisis is a multi-platform, multi-tenant app designed to revolutionize dialysis management by providing secure, center-specific data, role-based access for staff, and direct patient engagement.\nMethods\nEach participating center maintains an isolated database, ensuring data security and privacy. Doctors can manage patients, daily logs, treatment schedules, and full digital medical records. Patients access the platform via a unique code to view programmed treatments, medication pouch details (volume, color, and timing), and log intake/output to calculate ultrafiltration. Real-time alerts, daily indicators (weight, blood pressure, diuresis), live graphs, and two-way chat enable proactive care. A connected device under development will automate data collection. Pdaylisis is currently piloted under nephrologist Dr. Bahadi Abdelaali at Hôpital Militaire d’Instruction Mohamed V, evaluating usability, engagement, and clinical outcomes.\nResults\nPreliminary findings demonstrate increased adherence to dialysis schedules (+15%) and medication compliance (+18%). Early alerts from the AI module enabled timely interventions, preventing potential complications. Patients reported improved empowerment and ease of managing their treatment, while clinicians experienced enhanced workflow efficiency and real-time patient insights. These results highlight Pdaylisis’s capacity to improve both clinical and operational outcomes.\nConclusions\nPdaylisis represents a scalable, secure, and patient-centered approach to dialysis care. By integrating real-time monitoring, AI-driven alerts, and comprehensive digital records, it improves adherence, clinical oversight, and patient engagement. Future enhancements include full hemodialysis management, AI-driven decision support, voice-assisted operation, and medication stock/delivery management. Pdaylisis demonstrates a practical and innovative model for transforming dialysis care, particularly in multi-center and resource-limited settings, aligning perfectly with the goals of the International eHealth Forum 2025 to advance equitable, high-quality digital health solutions.\n\n\n### A12 Emergency triage in the digital era: a 100% Moroccan AI chatbot proof of concept\nBMC Proceedings 2026, 20(11):A12\nBackground\nEmergency departments (EDs) in Morocco are frequently overcrowded. A significant portion of this burden comes from non-urgent cases, which consume resources meant for critically ill patients. Conversely, many patients with life-threatening conditions delay seeking care until their symptoms worsen, contributing to increased morbidity, mortality, and systemic strain. This dual challenge is further exacerbated by language barriers, as most digital health tools are available only in French or English, excluding much of the Moroccan population.\nIn response, we developed the first 100% Moroccan, multilingual, AI-powered pre-triage chatbot accessible via WhatsApp. This tool helps patients assess the urgency of their symptoms and make informed decisions about seeking emergency care. The chatbot supports interaction in Darija, French, and English, enabling natural symptom descriptions and delivering preliminary triage guidance.\nMaterials and Methods\nThe chatbot prototype integrates conversational artificial intelligence, voice note processing, and image recognition capabilities. Patients can provide input through text, voice messages, or photos—for instance, images of burns, wounds, or skin lesions. Based on this information, the chatbot assigns one of three triage levels:\nLow urgency: consult a doctor within 24 hours\nMedium urgency: seek care within 6 hours\nHigh urgency: immediate referral to emergency services\nResults\nThe proof-of-concept demonstrated that a multilingual AI pre-triage chatbot is feasible and relevant for the Moroccan context. Patients were able to communicate effectively in Darija, French, or English. The voice module enhanced accessibility for low-literacy users, while image analysis added diagnostic value for visible symptoms.\nThe chatbot offers four key public health benefits:\nReducing ED overcrowding by redirecting non-urgent patients to appropriate outpatient services.\nEncouraging timely care-seeking for urgent conditions through clear and immediate recommendations.\nEnsuring accessibility and inclusivity by functioning on WhatsApp and supporting local languages and cultural expressions.\nProviding scalability with the capacity to manage hundreds of simultaneous patient interactions without additional human resources.\nA prospective validation study (n=100) is currently underway at the ED of the Marrakech Military Hospital. The study compares the chatbot's triage decisions against assessments made by emergency physicians to evaluate clinical efficacy and decision accuracy. Preliminary results indicate strong potential for guiding patients toward appropriate care pathways using evidence-based logic.\nConclusion\nThis Moroccan-built AI chatbot represents a scalable, cost-effective innovation that could significantly enhance the efficiency of emergency care delivery. By helping to decongest emergency departments and promoting timely detection of critical cases, it may reduce preventable complications and improve health outcomes. Most importantly, by incorporating Darija as a core language, it addresses digital health equity in Morocco, ensuring access for all citizens, including those in rural or underserved areas. This approach aligns with national goals for inclusive, technology-enabled healthcare transformation.\n\n\n### M. Choulli, M. Bahi\nBMC Proceedings 2026, 20(11):A12\nBackground\nEmergency departments (EDs) in Morocco are frequently overcrowded. A significant portion of this burden comes from non-urgent cases, which consume resources meant for critically ill patients. Conversely, many patients with life-threatening conditions delay seeking care until their symptoms worsen, contributing to increased morbidity, mortality, and systemic strain. This dual challenge is further exacerbated by language barriers, as most digital health tools are available only in French or English, excluding much of the Moroccan population.\nIn response, we developed the first 100% Moroccan, multilingual, AI-powered pre-triage chatbot accessible via WhatsApp. This tool helps patients assess the urgency of their symptoms and make informed decisions about seeking emergency care. The chatbot supports interaction in Darija, French, and English, enabling natural symptom descriptions and delivering preliminary triage guidance.\nMaterials and Methods\nThe chatbot prototype integrates conversational artificial intelligence, voice note processing, and image recognition capabilities. Patients can provide input through text, voice messages, or photos—for instance, images of burns, wounds, or skin lesions. Based on this information, the chatbot assigns one of three triage levels:\nLow urgency: consult a doctor within 24 hours\nMedium urgency: seek care within 6 hours\nHigh urgency: immediate referral to emergency services\nResults\nThe proof-of-concept demonstrated that a multilingual AI pre-triage chatbot is feasible and relevant for the Moroccan context. Patients were able to communicate effectively in Darija, French, or English. The voice module enhanced accessibility for low-literacy users, while image analysis added diagnostic value for visible symptoms.\nThe chatbot offers four key public health benefits:\nReducing ED overcrowding by redirecting non-urgent patients to appropriate outpatient services.\nEncouraging timely care-seeking for urgent conditions through clear and immediate recommendations.\nEnsuring accessibility and inclusivity by functioning on WhatsApp and supporting local languages and cultural expressions.\nProviding scalability with the capacity to manage hundreds of simultaneous patient interactions without additional human resources.\nA prospective validation study (n=100) is currently underway at the ED of the Marrakech Military Hospital. The study compares the chatbot's triage decisions against assessments made by emergency physicians to evaluate clinical efficacy and decision accuracy. Preliminary results indicate strong potential for guiding patients toward appropriate care pathways using evidence-based logic.\nConclusion\nThis Moroccan-built AI chatbot represents a scalable, cost-effective innovation that could significantly enhance the efficiency of emergency care delivery. By helping to decongest emergency departments and promoting timely detection of critical cases, it may reduce preventable complications and improve health outcomes. Most importantly, by incorporating Darija as a core language, it addresses digital health equity in Morocco, ensuring access for all citizens, including those in rural or underserved areas. This approach aligns with national goals for inclusive, technology-enabled healthcare transformation.\n\n\n### Service des Urgences Médico-Chirurgicales, Hôpital Militaire Avicenne de Marrakech, Morocco\nBMC Proceedings 2026, 20(11):A12\nBackground\nEmergency departments (EDs) in Morocco are frequently overcrowded. A significant portion of this burden comes from non-urgent cases, which consume resources meant for critically ill patients. Conversely, many patients with life-threatening conditions delay seeking care until their symptoms worsen, contributing to increased morbidity, mortality, and systemic strain. This dual challenge is further exacerbated by language barriers, as most digital health tools are available only in French or English, excluding much of the Moroccan population.\nIn response, we developed the first 100% Moroccan, multilingual, AI-powered pre-triage chatbot accessible via WhatsApp. This tool helps patients assess the urgency of their symptoms and make informed decisions about seeking emergency care. The chatbot supports interaction in Darija, French, and English, enabling natural symptom descriptions and delivering preliminary triage guidance.\nMaterials and Methods\nThe chatbot prototype integrates conversational artificial intelligence, voice note processing, and image recognition capabilities. Patients can provide input through text, voice messages, or photos—for instance, images of burns, wounds, or skin lesions. Based on this information, the chatbot assigns one of three triage levels:\nLow urgency: consult a doctor within 24 hours\nMedium urgency: seek care within 6 hours\nHigh urgency: immediate referral to emergency services\nResults\nThe proof-of-concept demonstrated that a multilingual AI pre-triage chatbot is feasible and relevant for the Moroccan context. Patients were able to communicate effectively in Darija, French, or English. The voice module enhanced accessibility for low-literacy users, while image analysis added diagnostic value for visible symptoms.\nThe chatbot offers four key public health benefits:\nReducing ED overcrowding by redirecting non-urgent patients to appropriate outpatient services.\nEncouraging timely care-seeking for urgent conditions through clear and immediate recommendations.\nEnsuring accessibility and inclusivity by functioning on WhatsApp and supporting local languages and cultural expressions.\nProviding scalability with the capacity to manage hundreds of simultaneous patient interactions without additional human resources.\nA prospective validation study (n=100) is currently underway at the ED of the Marrakech Military Hospital. The study compares the chatbot's triage decisions against assessments made by emergency physicians to evaluate clinical efficacy and decision accuracy. Preliminary results indicate strong potential for guiding patients toward appropriate care pathways using evidence-based logic.\nConclusion\nThis Moroccan-built AI chatbot represents a scalable, cost-effective innovation that could significantly enhance the efficiency of emergency care delivery. By helping to decongest emergency departments and promoting timely detection of critical cases, it may reduce preventable complications and improve health outcomes. Most importantly, by incorporating Darija as a core language, it addresses digital health equity in Morocco, ensuring access for all citizens, including those in rural or underserved areas. This approach aligns with national goals for inclusive, technology-enabled healthcare transformation.\n\n\n### A13 WGS-based genomic landscape of endocannabinoid system genes in the Moroccan population: distinct novel variant identification and population-specific enrichment\nBMC Proceedings 2026, 20(11):A13\nBackground\nThe endocannabinoid system (ECS), comprising cannabinoid receptors (CNR1, CNR2), metabolic enzymes (FAAH, MGLL, DAGLA, DAGLB, NAPEPLD, ABHD6, ABHD12), and auxiliary proteins (TRPV1, GPR55), regulates numerous physiological processes, including neuromodulation, pain perception, and homeostasis. While global genomic data characterize ECS variation in various populations, data specific to North Africa and Morocco remain limited. This study investigates ECS genetic diversity in Moroccans, focusing on novel variant discovery and enrichment of population-specific variants.\nMaterials and Methods\nWhole-genome sequencing (WGS) data from 109 unrelated, consented Moroccan individuals were obtained via the Moroccan Genome Project. Sequencing was performed using the Illumina NovaSeq 6000 platform with 150 bp paired-end reads at a minimum depth of 30×. Multi-allelic sites were split and normalized using BCFtools v1.15.1. Variants with >10% missing genotypes, Y chromosome, and mitochondrial variants were excluded. Hardy-Weinberg equilibrium filtering (p < 5×10-7) was applied via PLINK2. Variants within eleven ECS genes were annotated using Ensembl VEP v113.0, aligned to GRCh38/hg38, and incorporated ClinVar 2025 pathogenicity scores as a prioritized custom flag. Variant impact was predicted using SIFT, PolyPhen-2, and AlphaMissense. Novelty was based on the absence in global databases. Population enrichment was assessed by Fisher’s Exact Test comparing Moroccan to global allele frequencies with FDR-adjusted p < 0.05 and odds ratio >5.\nResults\nAcross ECS genes, 7,415 variants were detected, predominantly modifier variants (98.6%), accompanied by low- (0.82%) and moderate-impact (0.58%) variants; no high-impact mutations were identified. We found 43 moderate-impact missense variants, including four pathogenic variants, one on CNR1 and three on MGLL. Novel variant analysis uncovered 170 previously unreported variants concentrated in MGLL, CNR2, DAGLA, and ABHD12. In parallel, enrichment analysis revealed 88 variants significantly overrepresented in the Moroccan population, especially in MGLL, ABHD12, FAAH, and DAGLB, with several variants showing odds ratios above 300. Exonic analysis highlighted Moroccan-enriched alleles in MGLL (n=227), ABHD12 (n=150), and CNR2 (n=96).\nConclusions\nThis first WGS-based characterization of ECS gene variation in Morocco reveals substantial novel and population-enriched variants with potential implications for population-specific disease susceptibility and pharmacogenomics. These findings emphasize the critical importance of including North African genomes in global datasets and set the stage for future functional and clinical investigations of ECS genetic diversity.\n\n\n### H. Abbou1,2, R. Festali1,2, M. W. Chemao-Elfihri1,2, M. Hakmi1,2, S. Kartti1,2, S. Boutayeb1,2, L. Belyamani1,2,3, R. Eljaoudi1,4\nBMC Proceedings 2026, 20(11):A13\nBackground\nThe endocannabinoid system (ECS), comprising cannabinoid receptors (CNR1, CNR2), metabolic enzymes (FAAH, MGLL, DAGLA, DAGLB, NAPEPLD, ABHD6, ABHD12), and auxiliary proteins (TRPV1, GPR55), regulates numerous physiological processes, including neuromodulation, pain perception, and homeostasis. While global genomic data characterize ECS variation in various populations, data specific to North Africa and Morocco remain limited. This study investigates ECS genetic diversity in Moroccans, focusing on novel variant discovery and enrichment of population-specific variants.\nMaterials and Methods\nWhole-genome sequencing (WGS) data from 109 unrelated, consented Moroccan individuals were obtained via the Moroccan Genome Project. Sequencing was performed using the Illumina NovaSeq 6000 platform with 150 bp paired-end reads at a minimum depth of 30×. Multi-allelic sites were split and normalized using BCFtools v1.15.1. Variants with >10% missing genotypes, Y chromosome, and mitochondrial variants were excluded. Hardy-Weinberg equilibrium filtering (p < 5×10-7) was applied via PLINK2. Variants within eleven ECS genes were annotated using Ensembl VEP v113.0, aligned to GRCh38/hg38, and incorporated ClinVar 2025 pathogenicity scores as a prioritized custom flag. Variant impact was predicted using SIFT, PolyPhen-2, and AlphaMissense. Novelty was based on the absence in global databases. Population enrichment was assessed by Fisher’s Exact Test comparing Moroccan to global allele frequencies with FDR-adjusted p < 0.05 and odds ratio >5.\nResults\nAcross ECS genes, 7,415 variants were detected, predominantly modifier variants (98.6%), accompanied by low- (0.82%) and moderate-impact (0.58%) variants; no high-impact mutations were identified. We found 43 moderate-impact missense variants, including four pathogenic variants, one on CNR1 and three on MGLL. Novel variant analysis uncovered 170 previously unreported variants concentrated in MGLL, CNR2, DAGLA, and ABHD12. In parallel, enrichment analysis revealed 88 variants significantly overrepresented in the Moroccan population, especially in MGLL, ABHD12, FAAH, and DAGLB, with several variants showing odds ratios above 300. Exonic analysis highlighted Moroccan-enriched alleles in MGLL (n=227), ABHD12 (n=150), and CNR2 (n=96).\nConclusions\nThis first WGS-based characterization of ECS gene variation in Morocco reveals substantial novel and population-enriched variants with potential implications for population-specific disease susceptibility and pharmacogenomics. These findings emphasize the critical importance of including North African genomes in global datasets and set the stage for future functional and clinical investigations of ECS genetic diversity.\n\n\n### 1Mohammed VI University of Sciences and Health (UM6SS), Casablanca, Morocco; 2Mohammed VI Center for Research and Innovation (CM6RI), Morocco; 3Department of Emergency, Mohammed V Military Training Hospital, Mohammed V University of Rabat, Morocco; 4Biotechnology lab (MedBiotech), Bioinova Research Center, Medical and Pharmacy School, Mohammed V University in Rabat, Morocco\nBMC Proceedings 2026, 20(11):A13\nBackground\nThe endocannabinoid system (ECS), comprising cannabinoid receptors (CNR1, CNR2), metabolic enzymes (FAAH, MGLL, DAGLA, DAGLB, NAPEPLD, ABHD6, ABHD12), and auxiliary proteins (TRPV1, GPR55), regulates numerous physiological processes, including neuromodulation, pain perception, and homeostasis. While global genomic data characterize ECS variation in various populations, data specific to North Africa and Morocco remain limited. This study investigates ECS genetic diversity in Moroccans, focusing on novel variant discovery and enrichment of population-specific variants.\nMaterials and Methods\nWhole-genome sequencing (WGS) data from 109 unrelated, consented Moroccan individuals were obtained via the Moroccan Genome Project. Sequencing was performed using the Illumina NovaSeq 6000 platform with 150 bp paired-end reads at a minimum depth of 30×. Multi-allelic sites were split and normalized using BCFtools v1.15.1. Variants with >10% missing genotypes, Y chromosome, and mitochondrial variants were excluded. Hardy-Weinberg equilibrium filtering (p < 5×10-7) was applied via PLINK2. Variants within eleven ECS genes were annotated using Ensembl VEP v113.0, aligned to GRCh38/hg38, and incorporated ClinVar 2025 pathogenicity scores as a prioritized custom flag. Variant impact was predicted using SIFT, PolyPhen-2, and AlphaMissense. Novelty was based on the absence in global databases. Population enrichment was assessed by Fisher’s Exact Test comparing Moroccan to global allele frequencies with FDR-adjusted p < 0.05 and odds ratio >5.\nResults\nAcross ECS genes, 7,415 variants were detected, predominantly modifier variants (98.6%), accompanied by low- (0.82%) and moderate-impact (0.58%) variants; no high-impact mutations were identified. We found 43 moderate-impact missense variants, including four pathogenic variants, one on CNR1 and three on MGLL. Novel variant analysis uncovered 170 previously unreported variants concentrated in MGLL, CNR2, DAGLA, and ABHD12. In parallel, enrichment analysis revealed 88 variants significantly overrepresented in the Moroccan population, especially in MGLL, ABHD12, FAAH, and DAGLB, with several variants showing odds ratios above 300. Exonic analysis highlighted Moroccan-enriched alleles in MGLL (n=227), ABHD12 (n=150), and CNR2 (n=96).\nConclusions\nThis first WGS-based characterization of ECS gene variation in Morocco reveals substantial novel and population-enriched variants with potential implications for population-specific disease susceptibility and pharmacogenomics. These findings emphasize the critical importance of including North African genomes in global datasets and set the stage for future functional and clinical investigations of ECS genetic diversity.\n\n\n### A14 Improving access to care for children with autism in Morocco: the role and potential of telemedicine in a developing digital infrastructure\nBMC Proceedings 2026, 20(11):A14\nIntroduction\nAutism spectrum disorder is now a major global public health issue, affecting not only those affected but also their families, health systems, education, and society as a whole. access to care and appropriate educational interventions remains uneven across the world. School inclusion remains a challenge, particularly for children living in rural or disadvantaged areas, where the provision of specialised services is often limited (Jonge et al., 2023).\nHowever, access to specialist care remains limited, especially in rural areas (Touali et al., 2024). Moroccan families face many barriers, such as the high cost of interventions, the lack of information and the scarcity of specialised structures.\nTelemedicine and mobile health platforms are emerging as strategic levers in digital health infrastructure, helping to reduce disparities in access, particularly in rural or underserved areas. However, the use of these solutions to meet the specific needs of autistic children and their families remains understudied in Morocco.\nMaterials and methods\nA quantitative study was conducted among 269 parents caring for children with autism in the Rabat-Salé-Kénitra, Tangier-Tetouan-Al Hoceima, and Marrakech-Safi regions. A questionnaire collected sociodemographic data on access to care, use of health services, and unmet needs. The analysis focused on the distances traveled for diagnosis, the nature of available interventions, the obstacles encountered, and the availability and potential use of digital tools such as telemedicine.\nResults\nThe results show that despite the majority of families living in urban areas (76.6%), a significant number travel more than 100 km to access diagnosis. Care is mainly provided at home (92.2%), with limited but significant use of specialized interventions such as ABA, speech therapy, and psychomotor therapy. Unmet needs are high in areas such as occupational therapy (54.3%), physical therapy (34.6%), and access to a neurologist (48.4%). In addition, a significant barrier is cost (41.3%), followed by lack of information (47.2%) and waiting lists (34.6%). More than half of parents report receiving no support. These gaps reflect pressing needs that telemedicine could address by facilitating access, monitoring, and coordination of care, as well as reducing the logistical burden on families.\nConclusion\nThis study highlights that telemedicine platforms can improve access to care for children with autism in Morocco. However, their adoption requires strengthening digital infrastructure, improving knowledge, ensuring affordability, and providing psychosocial support to parents.\nReferences\nJonge, M., et al. (2023). Urban-Rural Disparities in Access to Autism Services.Touali, R., Allisse, M., Zerouaoui, J., El Asri, A., El Moutawakil, B., Ouazzani, R., & Slassi, I. (2024). Anthropometric Profile, Overweight/Obesity Prevalence, and Socioeconomic Impact in Moroccan Children Aged 6–12 Years Old with Autism Spectrum Disorder.\nJonge, M., et al. (2023). Urban-Rural Disparities in Access to Autism Services.\nTouali, R., Allisse, M., Zerouaoui, J., El Asri, A., El Moutawakil, B., Ouazzani, R., & Slassi, I. (2024). Anthropometric Profile, Overweight/Obesity Prevalence, and Socioeconomic Impact in Moroccan Children Aged 6–12 Years Old with Autism Spectrum Disorder.\n\n\n### C. Al Malki, M. Khalis, R. Benjelloun\nBMC Proceedings 2026, 20(11):A14\nIntroduction\nAutism spectrum disorder is now a major global public health issue, affecting not only those affected but also their families, health systems, education, and society as a whole. access to care and appropriate educational interventions remains uneven across the world. School inclusion remains a challenge, particularly for children living in rural or disadvantaged areas, where the provision of specialised services is often limited (Jonge et al., 2023).\nHowever, access to specialist care remains limited, especially in rural areas (Touali et al., 2024). Moroccan families face many barriers, such as the high cost of interventions, the lack of information and the scarcity of specialised structures.\nTelemedicine and mobile health platforms are emerging as strategic levers in digital health infrastructure, helping to reduce disparities in access, particularly in rural or underserved areas. However, the use of these solutions to meet the specific needs of autistic children and their families remains understudied in Morocco.\nMaterials and methods\nA quantitative study was conducted among 269 parents caring for children with autism in the Rabat-Salé-Kénitra, Tangier-Tetouan-Al Hoceima, and Marrakech-Safi regions. A questionnaire collected sociodemographic data on access to care, use of health services, and unmet needs. The analysis focused on the distances traveled for diagnosis, the nature of available interventions, the obstacles encountered, and the availability and potential use of digital tools such as telemedicine.\nResults\nThe results show that despite the majority of families living in urban areas (76.6%), a significant number travel more than 100 km to access diagnosis. Care is mainly provided at home (92.2%), with limited but significant use of specialized interventions such as ABA, speech therapy, and psychomotor therapy. Unmet needs are high in areas such as occupational therapy (54.3%), physical therapy (34.6%), and access to a neurologist (48.4%). In addition, a significant barrier is cost (41.3%), followed by lack of information (47.2%) and waiting lists (34.6%). More than half of parents report receiving no support. These gaps reflect pressing needs that telemedicine could address by facilitating access, monitoring, and coordination of care, as well as reducing the logistical burden on families.\nConclusion\nThis study highlights that telemedicine platforms can improve access to care for children with autism in Morocco. However, their adoption requires strengthening digital infrastructure, improving knowledge, ensuring affordability, and providing psychosocial support to parents.\nReferences\nJonge, M., et al. (2023). Urban-Rural Disparities in Access to Autism Services.Touali, R., Allisse, M., Zerouaoui, J., El Asri, A., El Moutawakil, B., Ouazzani, R., & Slassi, I. (2024). Anthropometric Profile, Overweight/Obesity Prevalence, and Socioeconomic Impact in Moroccan Children Aged 6–12 Years Old with Autism Spectrum Disorder.\nJonge, M., et al. (2023). Urban-Rural Disparities in Access to Autism Services.\nTouali, R., Allisse, M., Zerouaoui, J., El Asri, A., El Moutawakil, B., Ouazzani, R., & Slassi, I. (2024). Anthropometric Profile, Overweight/Obesity Prevalence, and Socioeconomic Impact in Moroccan Children Aged 6–12 Years Old with Autism Spectrum Disorder.\n\n\n### A15 Deep neural network–based generation of missing anatomy outside the field of view in computed tomography applications\nBMC Proceedings 2026, 20(11):A15\nAbstract\nBackground\nMissing anatomy—also referred to as truncation artifact—is a recurrent issue in computed tomography (CT) when the scanned anatomical region exceeds the system’s field of view (FOV). This limitation is particularly problematic in contexts such as radiotherapy planning, where precise anatomical representation is critical. This study addresses the truncation problem by introducing a deep generative neural network capable of reconstructing the missing anatomy beyond the FOV.\nMaterials and Methods\nA generative model based on unsupervised deep learning was developed to reconstruct truncated CT images. The model was trained using a dataset of 25,000 lung CT images, divided into two subsets: one containing input images with artificially simulated truncation (15% to 35% of image width), and the other containing the corresponding complete (untruncated) CT images as ground truth. Data augmentation techniques included random cropping and flipping, while all voxels outside the patient’s body were assigned a fixed value of 1000 Hounsfield Units (HU) during pre-processing.\nThe model was trained over 500 epochs (≈15 days total, ≈43 minutes per epoch). After training, the performance was validated using truncated images from 10 real patient scans. Evaluation metrics included Root Mean Squared Error (RMSE), Structural Similarity Index (SSIM), and Peak Signal-to-Noise Ratio (PSNR), calculated across training epochs and for different truncation severity levels.\nResults\nTraining progression led to consistent improvements in all three metrics. For moderate truncation magnitudes (15%–23%), RMSE decreased from 5.242 to 2.456, SSIM increased from 85.7% to 95%, and PSNR improved from 19.322 to 24.664. For higher truncation levels (25%–35%), RMSE improved from 5.309 to 2.449, SSIM from 82.6% to 94.4%, and PSNR from 17.25 to 25.278. These results confirm the model’s ability to effectively reconstruct missing anatomy, with only minor performance degradation as truncation severity increases.\nConclusion\nUsing a smaller CT field of view remains a valuable strategy for reducing patient radiation exposure. However, it risks omitting essential anatomical structures—particularly in precision-critical domains like radiotherapy. This study demonstrates that generative AI (GenAI) models can effectively reconstruct missing anatomy, enabling dose reduction without compromising diagnostic or therapeutic utility. The proposed solution offers a promising approach for integrating dose optimization and image completeness in clinical CT applications.\nKeywords\nGenerative Neural Network; Computed Tomography; Field-of-View; Dose Reduction; Truncation Artifact; Missing Anatomy\n\n\n### Y. Adib1, M. A. Youssoufi2, M. Driouch3, L. B. Drissi1,4, M. R. Mesradi5\nBMC Proceedings 2026, 20(11):A15\nAbstract\nBackground\nMissing anatomy—also referred to as truncation artifact—is a recurrent issue in computed tomography (CT) when the scanned anatomical region exceeds the system’s field of view (FOV). This limitation is particularly problematic in contexts such as radiotherapy planning, where precise anatomical representation is critical. This study addresses the truncation problem by introducing a deep generative neural network capable of reconstructing the missing anatomy beyond the FOV.\nMaterials and Methods\nA generative model based on unsupervised deep learning was developed to reconstruct truncated CT images. The model was trained using a dataset of 25,000 lung CT images, divided into two subsets: one containing input images with artificially simulated truncation (15% to 35% of image width), and the other containing the corresponding complete (untruncated) CT images as ground truth. Data augmentation techniques included random cropping and flipping, while all voxels outside the patient’s body were assigned a fixed value of 1000 Hounsfield Units (HU) during pre-processing.\nThe model was trained over 500 epochs (≈15 days total, ≈43 minutes per epoch). After training, the performance was validated using truncated images from 10 real patient scans. Evaluation metrics included Root Mean Squared Error (RMSE), Structural Similarity Index (SSIM), and Peak Signal-to-Noise Ratio (PSNR), calculated across training epochs and for different truncation severity levels.\nResults\nTraining progression led to consistent improvements in all three metrics. For moderate truncation magnitudes (15%–23%), RMSE decreased from 5.242 to 2.456, SSIM increased from 85.7% to 95%, and PSNR improved from 19.322 to 24.664. For higher truncation levels (25%–35%), RMSE improved from 5.309 to 2.449, SSIM from 82.6% to 94.4%, and PSNR from 17.25 to 25.278. These results confirm the model’s ability to effectively reconstruct missing anatomy, with only minor performance degradation as truncation severity increases.\nConclusion\nUsing a smaller CT field of view remains a valuable strategy for reducing patient radiation exposure. However, it risks omitting essential anatomical structures—particularly in precision-critical domains like radiotherapy. This study demonstrates that generative AI (GenAI) models can effectively reconstruct missing anatomy, enabling dose reduction without compromising diagnostic or therapeutic utility. The proposed solution offers a promising approach for integrating dose optimization and image completeness in clinical CT applications.\nKeywords\nGenerative Neural Network; Computed Tomography; Field-of-View; Dose Reduction; Truncation Artifact; Missing Anatomy\n\n\n### 1LPHE–Modeling and Simulation, Mohammed V University, Rabat, Morocco; 2Radiotherapy Department, National Institute of Oncology, CHU Ibn Sina, Mohammed V University, Rabat, Morocco; 3Radiotherapy Department, Clinique Spécialisée Ibn Sina, Kénitra, Morocco; 4Hassan II Academy of Sciences and Technology, Rabat, Morocco; 5Laboratory of Sciences and Health Technologies, High Institute of Health Sciences, Hassan First University in Settat, Settat, Morocco\nBMC Proceedings 2026, 20(11):A15\nAbstract\nBackground\nMissing anatomy—also referred to as truncation artifact—is a recurrent issue in computed tomography (CT) when the scanned anatomical region exceeds the system’s field of view (FOV). This limitation is particularly problematic in contexts such as radiotherapy planning, where precise anatomical representation is critical. This study addresses the truncation problem by introducing a deep generative neural network capable of reconstructing the missing anatomy beyond the FOV.\nMaterials and Methods\nA generative model based on unsupervised deep learning was developed to reconstruct truncated CT images. The model was trained using a dataset of 25,000 lung CT images, divided into two subsets: one containing input images with artificially simulated truncation (15% to 35% of image width), and the other containing the corresponding complete (untruncated) CT images as ground truth. Data augmentation techniques included random cropping and flipping, while all voxels outside the patient’s body were assigned a fixed value of 1000 Hounsfield Units (HU) during pre-processing.\nThe model was trained over 500 epochs (≈15 days total, ≈43 minutes per epoch). After training, the performance was validated using truncated images from 10 real patient scans. Evaluation metrics included Root Mean Squared Error (RMSE), Structural Similarity Index (SSIM), and Peak Signal-to-Noise Ratio (PSNR), calculated across training epochs and for different truncation severity levels.\nResults\nTraining progression led to consistent improvements in all three metrics. For moderate truncation magnitudes (15%–23%), RMSE decreased from 5.242 to 2.456, SSIM increased from 85.7% to 95%, and PSNR improved from 19.322 to 24.664. For higher truncation levels (25%–35%), RMSE improved from 5.309 to 2.449, SSIM from 82.6% to 94.4%, and PSNR from 17.25 to 25.278. These results confirm the model’s ability to effectively reconstruct missing anatomy, with only minor performance degradation as truncation severity increases.\nConclusion\nUsing a smaller CT field of view remains a valuable strategy for reducing patient radiation exposure. However, it risks omitting essential anatomical structures—particularly in precision-critical domains like radiotherapy. This study demonstrates that generative AI (GenAI) models can effectively reconstruct missing anatomy, enabling dose reduction without compromising diagnostic or therapeutic utility. The proposed solution offers a promising approach for integrating dose optimization and image completeness in clinical CT applications.\nKeywords\nGenerative Neural Network; Computed Tomography; Field-of-View; Dose Reduction; Truncation Artifact; Missing Anatomy\n\n\n### Correspondence: Y. Adib (youssef.adib@um5r.ac.ma)\nBMC Proceedings 2026, 20(11):A15\nAbstract\nBackground\nMissing anatomy—also referred to as truncation artifact—is a recurrent issue in computed tomography (CT) when the scanned anatomical region exceeds the system’s field of view (FOV). This limitation is particularly problematic in contexts such as radiotherapy planning, where precise anatomical representation is critical. This study addresses the truncation problem by introducing a deep generative neural network capable of reconstructing the missing anatomy beyond the FOV.\nMaterials and Methods\nA generative model based on unsupervised deep learning was developed to reconstruct truncated CT images. The model was trained using a dataset of 25,000 lung CT images, divided into two subsets: one containing input images with artificially simulated truncation (15% to 35% of image width), and the other containing the corresponding complete (untruncated) CT images as ground truth. Data augmentation techniques included random cropping and flipping, while all voxels outside the patient’s body were assigned a fixed value of 1000 Hounsfield Units (HU) during pre-processing.\nThe model was trained over 500 epochs (≈15 days total, ≈43 minutes per epoch). After training, the performance was validated using truncated images from 10 real patient scans. Evaluation metrics included Root Mean Squared Error (RMSE), Structural Similarity Index (SSIM), and Peak Signal-to-Noise Ratio (PSNR), calculated across training epochs and for different truncation severity levels.\nResults\nTraining progression led to consistent improvements in all three metrics. For moderate truncation magnitudes (15%–23%), RMSE decreased from 5.242 to 2.456, SSIM increased from 85.7% to 95%, and PSNR improved from 19.322 to 24.664. For higher truncation levels (25%–35%), RMSE improved from 5.309 to 2.449, SSIM from 82.6% to 94.4%, and PSNR from 17.25 to 25.278. These results confirm the model’s ability to effectively reconstruct missing anatomy, with only minor performance degradation as truncation severity increases.\nConclusion\nUsing a smaller CT field of view remains a valuable strategy for reducing patient radiation exposure. However, it risks omitting essential anatomical structures—particularly in precision-critical domains like radiotherapy. This study demonstrates that generative AI (GenAI) models can effectively reconstruct missing anatomy, enabling dose reduction without compromising diagnostic or therapeutic utility. The proposed solution offers a promising approach for integrating dose optimization and image completeness in clinical CT applications.\nKeywords\nGenerative Neural Network; Computed Tomography; Field-of-View; Dose Reduction; Truncation Artifact; Missing Anatomy\n\n\n### A16 Novel 2-quinolone-triazole-α-aminophosphonate hybrids as potential chikungunya virus inhibitors\nBMC Proceedings 2026, 20(11):A16\nBackground\nChikungunya virus (CHIKV), a mosquito-borne RNA virus of the Togaviridae family, causes an illness characterized by high fever and severe joint pain that can persist for extended periods. Since its global re-emergence in 2005, CHIKV has been reported in more than 100 countries, with over two million cases of acute and chronic arthritis. In the absence of widely available vaccines or targeted antiviral therapies, treatment of chronic CHIKV infection remains symptomatic, relying on immunomodulatory agents. α-Aminophosphonates have attracted significant interest due to their structural similarity to α-amino acids, peptides, and natural phosphates, as well as their broad biological activity profiles.\nMaterials and Methods\nWe synthesized a library of eighteen hybrid molecules incorporating three pharmacophores: 4-methyl-2-quinolone, 1,2,3-triazole, and α-aminophosphonate. The hybrids were constructed via copper-catalyzed 1,3-dipolar cycloaddition to generate the quinolone-triazole scaffold, followed by a Kabachnik–Fields reaction to append the α-aminophosphonate unit. These compounds were evaluated in vitro for anti-CHIKV activity using a cytopathic effect (CPE)-based assay on Vero A cells. Antiviral efficacy and cytotoxicity were determined by measuring IC50 (concentration inhibiting 50% of CPE) and CC50 (concentration reducing cell viability by 50%), respectively.\nResults\nSeven of the synthesized compounds exhibited moderate to strong anti-CHIKV activity. Two derivatives were identified as particularly potent, with IC50 values of 9.40 μM and 6.80 μM, both surpassing the activity of the reference drug chloroquine (IC50 = 11 μM). The CC50 values for these compounds were 23.41 μM and 25.78 μM, resulting in selectivity indices (SI) of 2.49 and 3.79, respectively. Molecular docking studies targeting the CHIKV nsP3 macrodomain (PDB ID: 6VUQ) showed that these compounds bind with high affinity, forming multiple stabilizing interactions such as hydrogen bonds and hydrophobic contacts.\nConclusion\nThe results support the potential of quinolone-triazole-α-aminophosphonate hybrids as effective inhibitors of CHIKV replication, likely through disruption of the nsP3 macrodomain function. These findings establish a promising structural framework for the development of novel, targeted antiviral agents against chikungunya virus.\nKeywords\nChikungunya virus; α-aminophosphonates; 1,2,3-triazole; 2-quinolone; antiviral agents; nsP3 macrodomain; structure-based design; Kabachnik–Fields reaction\nReferences\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-yHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-y\nHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\n\n\n### K. El Gadali1,2, H. B. Lazrek2\nBMC Proceedings 2026, 20(11):A16\nBackground\nChikungunya virus (CHIKV), a mosquito-borne RNA virus of the Togaviridae family, causes an illness characterized by high fever and severe joint pain that can persist for extended periods. Since its global re-emergence in 2005, CHIKV has been reported in more than 100 countries, with over two million cases of acute and chronic arthritis. In the absence of widely available vaccines or targeted antiviral therapies, treatment of chronic CHIKV infection remains symptomatic, relying on immunomodulatory agents. α-Aminophosphonates have attracted significant interest due to their structural similarity to α-amino acids, peptides, and natural phosphates, as well as their broad biological activity profiles.\nMaterials and Methods\nWe synthesized a library of eighteen hybrid molecules incorporating three pharmacophores: 4-methyl-2-quinolone, 1,2,3-triazole, and α-aminophosphonate. The hybrids were constructed via copper-catalyzed 1,3-dipolar cycloaddition to generate the quinolone-triazole scaffold, followed by a Kabachnik–Fields reaction to append the α-aminophosphonate unit. These compounds were evaluated in vitro for anti-CHIKV activity using a cytopathic effect (CPE)-based assay on Vero A cells. Antiviral efficacy and cytotoxicity were determined by measuring IC50 (concentration inhibiting 50% of CPE) and CC50 (concentration reducing cell viability by 50%), respectively.\nResults\nSeven of the synthesized compounds exhibited moderate to strong anti-CHIKV activity. Two derivatives were identified as particularly potent, with IC50 values of 9.40 μM and 6.80 μM, both surpassing the activity of the reference drug chloroquine (IC50 = 11 μM). The CC50 values for these compounds were 23.41 μM and 25.78 μM, resulting in selectivity indices (SI) of 2.49 and 3.79, respectively. Molecular docking studies targeting the CHIKV nsP3 macrodomain (PDB ID: 6VUQ) showed that these compounds bind with high affinity, forming multiple stabilizing interactions such as hydrogen bonds and hydrophobic contacts.\nConclusion\nThe results support the potential of quinolone-triazole-α-aminophosphonate hybrids as effective inhibitors of CHIKV replication, likely through disruption of the nsP3 macrodomain function. These findings establish a promising structural framework for the development of novel, targeted antiviral agents against chikungunya virus.\nKeywords\nChikungunya virus; α-aminophosphonates; 1,2,3-triazole; 2-quinolone; antiviral agents; nsP3 macrodomain; structure-based design; Kabachnik–Fields reaction\nReferences\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-yHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-y\nHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\n\n\n### 1Laboratory of Sustainable Development and Health Research, Faculty of Sciences and Technology, Marrakech, Morocco; 2Laboratory of Molecular Chemistry, Faculty of Sciences Semlalia, Cadi Ayyad University, Marrakesh, Morocco\nBMC Proceedings 2026, 20(11):A16\nBackground\nChikungunya virus (CHIKV), a mosquito-borne RNA virus of the Togaviridae family, causes an illness characterized by high fever and severe joint pain that can persist for extended periods. Since its global re-emergence in 2005, CHIKV has been reported in more than 100 countries, with over two million cases of acute and chronic arthritis. In the absence of widely available vaccines or targeted antiviral therapies, treatment of chronic CHIKV infection remains symptomatic, relying on immunomodulatory agents. α-Aminophosphonates have attracted significant interest due to their structural similarity to α-amino acids, peptides, and natural phosphates, as well as their broad biological activity profiles.\nMaterials and Methods\nWe synthesized a library of eighteen hybrid molecules incorporating three pharmacophores: 4-methyl-2-quinolone, 1,2,3-triazole, and α-aminophosphonate. The hybrids were constructed via copper-catalyzed 1,3-dipolar cycloaddition to generate the quinolone-triazole scaffold, followed by a Kabachnik–Fields reaction to append the α-aminophosphonate unit. These compounds were evaluated in vitro for anti-CHIKV activity using a cytopathic effect (CPE)-based assay on Vero A cells. Antiviral efficacy and cytotoxicity were determined by measuring IC50 (concentration inhibiting 50% of CPE) and CC50 (concentration reducing cell viability by 50%), respectively.\nResults\nSeven of the synthesized compounds exhibited moderate to strong anti-CHIKV activity. Two derivatives were identified as particularly potent, with IC50 values of 9.40 μM and 6.80 μM, both surpassing the activity of the reference drug chloroquine (IC50 = 11 μM). The CC50 values for these compounds were 23.41 μM and 25.78 μM, resulting in selectivity indices (SI) of 2.49 and 3.79, respectively. Molecular docking studies targeting the CHIKV nsP3 macrodomain (PDB ID: 6VUQ) showed that these compounds bind with high affinity, forming multiple stabilizing interactions such as hydrogen bonds and hydrophobic contacts.\nConclusion\nThe results support the potential of quinolone-triazole-α-aminophosphonate hybrids as effective inhibitors of CHIKV replication, likely through disruption of the nsP3 macrodomain function. These findings establish a promising structural framework for the development of novel, targeted antiviral agents against chikungunya virus.\nKeywords\nChikungunya virus; α-aminophosphonates; 1,2,3-triazole; 2-quinolone; antiviral agents; nsP3 macrodomain; structure-based design; Kabachnik–Fields reaction\nReferences\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-yHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-y\nHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\n\n\n### Correspondence: K. El Gadali (khadija.elgadali@gmail.com)\nBMC Proceedings 2026, 20(11):A16\nBackground\nChikungunya virus (CHIKV), a mosquito-borne RNA virus of the Togaviridae family, causes an illness characterized by high fever and severe joint pain that can persist for extended periods. Since its global re-emergence in 2005, CHIKV has been reported in more than 100 countries, with over two million cases of acute and chronic arthritis. In the absence of widely available vaccines or targeted antiviral therapies, treatment of chronic CHIKV infection remains symptomatic, relying on immunomodulatory agents. α-Aminophosphonates have attracted significant interest due to their structural similarity to α-amino acids, peptides, and natural phosphates, as well as their broad biological activity profiles.\nMaterials and Methods\nWe synthesized a library of eighteen hybrid molecules incorporating three pharmacophores: 4-methyl-2-quinolone, 1,2,3-triazole, and α-aminophosphonate. The hybrids were constructed via copper-catalyzed 1,3-dipolar cycloaddition to generate the quinolone-triazole scaffold, followed by a Kabachnik–Fields reaction to append the α-aminophosphonate unit. These compounds were evaluated in vitro for anti-CHIKV activity using a cytopathic effect (CPE)-based assay on Vero A cells. Antiviral efficacy and cytotoxicity were determined by measuring IC50 (concentration inhibiting 50% of CPE) and CC50 (concentration reducing cell viability by 50%), respectively.\nResults\nSeven of the synthesized compounds exhibited moderate to strong anti-CHIKV activity. Two derivatives were identified as particularly potent, with IC50 values of 9.40 μM and 6.80 μM, both surpassing the activity of the reference drug chloroquine (IC50 = 11 μM). The CC50 values for these compounds were 23.41 μM and 25.78 μM, resulting in selectivity indices (SI) of 2.49 and 3.79, respectively. Molecular docking studies targeting the CHIKV nsP3 macrodomain (PDB ID: 6VUQ) showed that these compounds bind with high affinity, forming multiple stabilizing interactions such as hydrogen bonds and hydrophobic contacts.\nConclusion\nThe results support the potential of quinolone-triazole-α-aminophosphonate hybrids as effective inhibitors of CHIKV replication, likely through disruption of the nsP3 macrodomain function. These findings establish a promising structural framework for the development of novel, targeted antiviral agents against chikungunya virus.\nKeywords\nChikungunya virus; α-aminophosphonates; 1,2,3-triazole; 2-quinolone; antiviral agents; nsP3 macrodomain; structure-based design; Kabachnik–Fields reaction\nReferences\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-yHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\nWeber, W.C., Streblow, D.N., Coffey, L.L. Chikungunya Virus Vaccines: A Review of IXCHIQ and PXVX0317 from Pre-Clinical Evaluation to Licensure, BioDrugs, 38 (2024), 727–742. 10.1007/s40259-024-00677-y\nHartwich, A., Zdzienicka, N., Schols, D., Andrei, G., Snoeck, R., Głowacka, I.E. Design, synthesis and antiviral evaluation of novel acyclic phosphonate nucleotide analogs with triazolo[4,5-b]pyridine, imidazo[4,5-b]pyridine and imidazo[4,5-b]pyridin-2(3H)-one systems, Nucleosides, Nucleotides & Nucleic Acids, 39 (2020), 542–591. 10.1080/15257770.2019.1669046\n\n\n### A17 Integrative radiogenomics and artificial intelligence: redefining precision medicine through multiscale data convergence\nBMC Proceedings 2026, 20(11):A17\nAbstract\nComplex human diseases are characterized by profound biological, molecular, and phenotypic heterogeneity, making accurate diagnosis, prognosis, and therapeutic targeting particularly challenging. Although omics-based technologies have significantly deepened our understanding of disease mechanisms, they fall short of capturing the spatial and functional organization of tissues within their physiological context. Radiogenomics bridges this gap by linking quantitative imaging features with underlying molecular and cellular alterations, offering a framework to relate observable phenotypes to their biological substrates.\nThe integration of radiogenomics with artificial intelligence (AI) enables the convergence of multiscale data—spanning medical imaging, molecular profiles, clinical records, and environmental determinants—into unified models that support advanced patient stratification and truly individualized medical care. This study explores how such convergence is redefining the foundations of precision medicine by facilitating non-invasive disease characterization, predictive modeling, and the design of adaptive therapeutic strategies.\nA comprehensive critical review of literature published between 2014 and 2024 was undertaken, focusing on advances in radiogenomic modeling, multi-omics integration strategies, and translational applications across diverse disease areas, molecular pathways, and clinical phenotypes. The synthesis highlights recent methodological innovations, including deep learning architectures tailored for feature extraction and pattern recognition across imaging and omic domains.\nThe evidence reviewed demonstrates that AI-enabled radiogenomic approaches can uncover previously hidden associations between imaging features and molecular alterations, predict therapeutic responses, and model disease progression over time. These integrative tools hold significant promise for refining diagnostic pathways, optimizing treatment decisions, and reducing reliance on invasive procedures. However, persistent challenges remain in data standardization, algorithm interpretability, and clinical validation across diverse populations and healthcare systems.\nThe convergence of radiogenomics and AI marks a paradigm shift toward integrative precision medicine, where imaging, molecular, and clinical data coalesce into a multidimensional and dynamic model of health and disease. Realizing this vision will require the establishment of standardized interoperability frameworks, the development of transparent and explainable AI models, and the strengthening of interdisciplinary collaboration among clinicians, data scientists, and systems biologists.\nKeywords\nRadiogenomics; artificial intelligence; precision medicine; multi-omics integration; deep learning; biomarkers; systems medicine\n\n\n### N. Messoudi1, M. Es-Saadi1, A. Maaroufi2, S. Hamdi1\nBMC Proceedings 2026, 20(11):A17\nAbstract\nComplex human diseases are characterized by profound biological, molecular, and phenotypic heterogeneity, making accurate diagnosis, prognosis, and therapeutic targeting particularly challenging. Although omics-based technologies have significantly deepened our understanding of disease mechanisms, they fall short of capturing the spatial and functional organization of tissues within their physiological context. Radiogenomics bridges this gap by linking quantitative imaging features with underlying molecular and cellular alterations, offering a framework to relate observable phenotypes to their biological substrates.\nThe integration of radiogenomics with artificial intelligence (AI) enables the convergence of multiscale data—spanning medical imaging, molecular profiles, clinical records, and environmental determinants—into unified models that support advanced patient stratification and truly individualized medical care. This study explores how such convergence is redefining the foundations of precision medicine by facilitating non-invasive disease characterization, predictive modeling, and the design of adaptive therapeutic strategies.\nA comprehensive critical review of literature published between 2014 and 2024 was undertaken, focusing on advances in radiogenomic modeling, multi-omics integration strategies, and translational applications across diverse disease areas, molecular pathways, and clinical phenotypes. The synthesis highlights recent methodological innovations, including deep learning architectures tailored for feature extraction and pattern recognition across imaging and omic domains.\nThe evidence reviewed demonstrates that AI-enabled radiogenomic approaches can uncover previously hidden associations between imaging features and molecular alterations, predict therapeutic responses, and model disease progression over time. These integrative tools hold significant promise for refining diagnostic pathways, optimizing treatment decisions, and reducing reliance on invasive procedures. However, persistent challenges remain in data standardization, algorithm interpretability, and clinical validation across diverse populations and healthcare systems.\nThe convergence of radiogenomics and AI marks a paradigm shift toward integrative precision medicine, where imaging, molecular, and clinical data coalesce into a multidimensional and dynamic model of health and disease. Realizing this vision will require the establishment of standardized interoperability frameworks, the development of transparent and explainable AI models, and the strengthening of interdisciplinary collaboration among clinicians, data scientists, and systems biologists.\nKeywords\nRadiogenomics; artificial intelligence; precision medicine; multi-omics integration; deep learning; biomarkers; systems medicine\n\n\n### 1Virology and Environmental Health Laboratory, Institut Pasteur du Maroc, Casablanca, Morocco; 2Institut Pasteur du Maroc, Casablanca, Morocco\nBMC Proceedings 2026, 20(11):A17\nAbstract\nComplex human diseases are characterized by profound biological, molecular, and phenotypic heterogeneity, making accurate diagnosis, prognosis, and therapeutic targeting particularly challenging. Although omics-based technologies have significantly deepened our understanding of disease mechanisms, they fall short of capturing the spatial and functional organization of tissues within their physiological context. Radiogenomics bridges this gap by linking quantitative imaging features with underlying molecular and cellular alterations, offering a framework to relate observable phenotypes to their biological substrates.\nThe integration of radiogenomics with artificial intelligence (AI) enables the convergence of multiscale data—spanning medical imaging, molecular profiles, clinical records, and environmental determinants—into unified models that support advanced patient stratification and truly individualized medical care. This study explores how such convergence is redefining the foundations of precision medicine by facilitating non-invasive disease characterization, predictive modeling, and the design of adaptive therapeutic strategies.\nA comprehensive critical review of literature published between 2014 and 2024 was undertaken, focusing on advances in radiogenomic modeling, multi-omics integration strategies, and translational applications across diverse disease areas, molecular pathways, and clinical phenotypes. The synthesis highlights recent methodological innovations, including deep learning architectures tailored for feature extraction and pattern recognition across imaging and omic domains.\nThe evidence reviewed demonstrates that AI-enabled radiogenomic approaches can uncover previously hidden associations between imaging features and molecular alterations, predict therapeutic responses, and model disease progression over time. These integrative tools hold significant promise for refining diagnostic pathways, optimizing treatment decisions, and reducing reliance on invasive procedures. However, persistent challenges remain in data standardization, algorithm interpretability, and clinical validation across diverse populations and healthcare systems.\nThe convergence of radiogenomics and AI marks a paradigm shift toward integrative precision medicine, where imaging, molecular, and clinical data coalesce into a multidimensional and dynamic model of health and disease. Realizing this vision will require the establishment of standardized interoperability frameworks, the development of transparent and explainable AI models, and the strengthening of interdisciplinary collaboration among clinicians, data scientists, and systems biologists.\nKeywords\nRadiogenomics; artificial intelligence; precision medicine; multi-omics integration; deep learning; biomarkers; systems medicine\n\n\n### A18 Artificial neural network for predicting complication types in patients with TIVAD during chemotherapy\nBMC Proceedings 2026, 20(11):A18\nBackground\nThe use of Totally Implantable Venous Access Devices (TIVAD) is a standard practice in oncology, allowing long-term venous access for chemotherapy. However, the implementation and management of TIVAD remain critical procedures impacting patient safety. Complications during treatment, particularly infections and thrombosis, are commonly reported and can lead to significant morbidity. Early prediction of the type of complication based on clinical parameters could support preventive strategies and improve patient outcomes. This study aims to develop an artificial intelligence–based model capable of predicting whether a patient will experience infection or thrombosis if a complication occurs.\nMaterials and Methods\nA dataset of 723 patients who received TIVAD at the National Institute of Oncology of Rabat from January 2023 to July 2025 was collected. Among these, 89 patients (≈12%) experienced complications. Five clinical parameters were considered as inputs for the predictive model: sex, age, history of prior complications, side of TIVAD placement, and location of diagnosis. An Artificial Neural Network (ANN) was designed with five input neurons, a hidden layer of ten neurons, and two output neurons representing the complication classes. Data were randomly split into training (70%), validation (15%), and testing (15%) subsets to evaluate model performance and avoid overfitting.\nResults\nThe trained model demonstrated an overall accuracy exceeding 72% across training, validation, and testing sets. Specifically, the testing subset achieved 85% accuracy in predicting the complication class. Confusion matrix analysis revealed that the model effectively differentiated between infections and thromboses, with a balanced performance across both categories. These results suggest that the ANN can provide reliable predictions based on the selected clinical parameters, despite the relatively small proportion of complicated cases.\nConclusion\nThis study presents a machine learning approach to predict potential TIVAD-related complications in oncology patients. The model shows promising predictive capabilities and could support clinical decision-making by identifying patients at higher risk of specific complications. Nevertheless, limitations must be considered. The dataset size is limited, and complications are inherently stochastic events influenced by factors beyond the collected parameters. Future work will focus on increasing the dataset, incorporating additional clinical and biological parameters, and exploring alternative machine learning architectures to enhance prediction accuracy. Overall, this approach illustrates the potential of AI-based models in improving patient safety and guiding preventive interventions in oncology practice.\n\n\n### Kawtar Matrab1, Amine En-Naaoui2, Banacer Himmi3, Saber Boutayeb1,2\nBMC Proceedings 2026, 20(11):A18\nBackground\nThe use of Totally Implantable Venous Access Devices (TIVAD) is a standard practice in oncology, allowing long-term venous access for chemotherapy. However, the implementation and management of TIVAD remain critical procedures impacting patient safety. Complications during treatment, particularly infections and thrombosis, are commonly reported and can lead to significant morbidity. Early prediction of the type of complication based on clinical parameters could support preventive strategies and improve patient outcomes. This study aims to develop an artificial intelligence–based model capable of predicting whether a patient will experience infection or thrombosis if a complication occurs.\nMaterials and Methods\nA dataset of 723 patients who received TIVAD at the National Institute of Oncology of Rabat from January 2023 to July 2025 was collected. Among these, 89 patients (≈12%) experienced complications. Five clinical parameters were considered as inputs for the predictive model: sex, age, history of prior complications, side of TIVAD placement, and location of diagnosis. An Artificial Neural Network (ANN) was designed with five input neurons, a hidden layer of ten neurons, and two output neurons representing the complication classes. Data were randomly split into training (70%), validation (15%), and testing (15%) subsets to evaluate model performance and avoid overfitting.\nResults\nThe trained model demonstrated an overall accuracy exceeding 72% across training, validation, and testing sets. Specifically, the testing subset achieved 85% accuracy in predicting the complication class. Confusion matrix analysis revealed that the model effectively differentiated between infections and thromboses, with a balanced performance across both categories. These results suggest that the ANN can provide reliable predictions based on the selected clinical parameters, despite the relatively small proportion of complicated cases.\nConclusion\nThis study presents a machine learning approach to predict potential TIVAD-related complications in oncology patients. The model shows promising predictive capabilities and could support clinical decision-making by identifying patients at higher risk of specific complications. Nevertheless, limitations must be considered. The dataset size is limited, and complications are inherently stochastic events influenced by factors beyond the collected parameters. Future work will focus on increasing the dataset, incorporating additional clinical and biological parameters, and exploring alternative machine learning architectures to enhance prediction accuracy. Overall, this approach illustrates the potential of AI-based models in improving patient safety and guiding preventive interventions in oncology practice.\n\n\n### 1Faculty of Medicine and Pharmacy, University Mohammed V, Rabat, Morocco; 2Mohammed VI Center for Research and Innovation (CM6RI), Rabat, Morocco; 3Higher Institute of Nursing Professions and Health Techniques (ISPITS) of Rabat, Ministry of Health and Social Protection, Morocco\nBMC Proceedings 2026, 20(11):A18\nBackground\nThe use of Totally Implantable Venous Access Devices (TIVAD) is a standard practice in oncology, allowing long-term venous access for chemotherapy. However, the implementation and management of TIVAD remain critical procedures impacting patient safety. Complications during treatment, particularly infections and thrombosis, are commonly reported and can lead to significant morbidity. Early prediction of the type of complication based on clinical parameters could support preventive strategies and improve patient outcomes. This study aims to develop an artificial intelligence–based model capable of predicting whether a patient will experience infection or thrombosis if a complication occurs.\nMaterials and Methods\nA dataset of 723 patients who received TIVAD at the National Institute of Oncology of Rabat from January 2023 to July 2025 was collected. Among these, 89 patients (≈12%) experienced complications. Five clinical parameters were considered as inputs for the predictive model: sex, age, history of prior complications, side of TIVAD placement, and location of diagnosis. An Artificial Neural Network (ANN) was designed with five input neurons, a hidden layer of ten neurons, and two output neurons representing the complication classes. Data were randomly split into training (70%), validation (15%), and testing (15%) subsets to evaluate model performance and avoid overfitting.\nResults\nThe trained model demonstrated an overall accuracy exceeding 72% across training, validation, and testing sets. Specifically, the testing subset achieved 85% accuracy in predicting the complication class. Confusion matrix analysis revealed that the model effectively differentiated between infections and thromboses, with a balanced performance across both categories. These results suggest that the ANN can provide reliable predictions based on the selected clinical parameters, despite the relatively small proportion of complicated cases.\nConclusion\nThis study presents a machine learning approach to predict potential TIVAD-related complications in oncology patients. The model shows promising predictive capabilities and could support clinical decision-making by identifying patients at higher risk of specific complications. Nevertheless, limitations must be considered. The dataset size is limited, and complications are inherently stochastic events influenced by factors beyond the collected parameters. Future work will focus on increasing the dataset, incorporating additional clinical and biological parameters, and exploring alternative machine learning architectures to enhance prediction accuracy. Overall, this approach illustrates the potential of AI-based models in improving patient safety and guiding preventive interventions in oncology practice.\n\n\n### A19 Aesthetic rehabilitation with injected composite in a case of dental fluorosis: smile planning using exocad software\nBMC Proceedings 2026, 20(11):A19\nIntroduction\nThe smile is a fundamental element of psychosocial well-being. Its rehabilitation represents a significant challenge in aesthetic dentistry, requiring precise and predictable planning. Artificial intelligence (AI) and digital tools, such as Computer-Aided Design (CAD) software, now offer innovative solutions for treatment planning and simulation. The objective of this clinical case report is to illustrate the contribution of Digital Smile Design (DSD) using exocad software in the planning and execution of an aesthetic rehabilitation for a patient suffering from dental fluorosis.\nMethods\nA patient presenting with unaesthetic dental fluorosis in the anterior segments was treated. The methodology was based on an integrated digital approach. Smile planning was carried out using the Digital Smile Design module of exocad software. Following the acquisition of photographs and a dynamic video of the patient's smile, an aesthetic analysis and a virtual design of the new smile were performed. This digital treatment plan served as a guide for the direct composite restorations.\nResults\nVirtual planning allowed for the establishment of a precise aesthetic project, which was approved by the patient. Using the digital guide, aesthetic restorations with injected composite were performed from tooth 15 to tooth 25 (from the second right premolar to the second left premolar). The final result showed a significant improvement in smile aesthetics, with the elimination of fluorosis stains and harmonization of the shapes, proportions, and shade of the teeth. Occlusal function was preserved.\nConclusion\nThis clinical case demonstrates that the combination of Digital Smile Design with exocad software and the injected composite technique is an effective strategy for managing the aesthetic consequences of dental fluorosis. The digital planning protocol ensured predictable results, enhanced communication with the patient, and provided precise guidance during the clinical phase. This minimally invasive approach successfully restored aesthetics and function, representing a reliable conservative solution for anterior rehabilitations.\nThe patient provided explicit and informed consent for the publication of their clinical information in an open-access, online journal\n\n\n### B. El Hammi, I. Ihoume, H. Moussaoui, A. Bennani\nBMC Proceedings 2026, 20(11):A19\nIntroduction\nThe smile is a fundamental element of psychosocial well-being. Its rehabilitation represents a significant challenge in aesthetic dentistry, requiring precise and predictable planning. Artificial intelligence (AI) and digital tools, such as Computer-Aided Design (CAD) software, now offer innovative solutions for treatment planning and simulation. The objective of this clinical case report is to illustrate the contribution of Digital Smile Design (DSD) using exocad software in the planning and execution of an aesthetic rehabilitation for a patient suffering from dental fluorosis.\nMethods\nA patient presenting with unaesthetic dental fluorosis in the anterior segments was treated. The methodology was based on an integrated digital approach. Smile planning was carried out using the Digital Smile Design module of exocad software. Following the acquisition of photographs and a dynamic video of the patient's smile, an aesthetic analysis and a virtual design of the new smile were performed. This digital treatment plan served as a guide for the direct composite restorations.\nResults\nVirtual planning allowed for the establishment of a precise aesthetic project, which was approved by the patient. Using the digital guide, aesthetic restorations with injected composite were performed from tooth 15 to tooth 25 (from the second right premolar to the second left premolar). The final result showed a significant improvement in smile aesthetics, with the elimination of fluorosis stains and harmonization of the shapes, proportions, and shade of the teeth. Occlusal function was preserved.\nConclusion\nThis clinical case demonstrates that the combination of Digital Smile Design with exocad software and the injected composite technique is an effective strategy for managing the aesthetic consequences of dental fluorosis. The digital planning protocol ensured predictable results, enhanced communication with the patient, and provided precise guidance during the clinical phase. This minimally invasive approach successfully restored aesthetics and function, representing a reliable conservative solution for anterior rehabilitations.\nThe patient provided explicit and informed consent for the publication of their clinical information in an open-access, online journal\n\n\n### Department of Fixed Prosthodontics, Faculty of Dentistry, Hassan II University, Casablanca, Morocco\nBMC Proceedings 2026, 20(11):A19\nIntroduction\nThe smile is a fundamental element of psychosocial well-being. Its rehabilitation represents a significant challenge in aesthetic dentistry, requiring precise and predictable planning. Artificial intelligence (AI) and digital tools, such as Computer-Aided Design (CAD) software, now offer innovative solutions for treatment planning and simulation. The objective of this clinical case report is to illustrate the contribution of Digital Smile Design (DSD) using exocad software in the planning and execution of an aesthetic rehabilitation for a patient suffering from dental fluorosis.\nMethods\nA patient presenting with unaesthetic dental fluorosis in the anterior segments was treated. The methodology was based on an integrated digital approach. Smile planning was carried out using the Digital Smile Design module of exocad software. Following the acquisition of photographs and a dynamic video of the patient's smile, an aesthetic analysis and a virtual design of the new smile were performed. This digital treatment plan served as a guide for the direct composite restorations.\nResults\nVirtual planning allowed for the establishment of a precise aesthetic project, which was approved by the patient. Using the digital guide, aesthetic restorations with injected composite were performed from tooth 15 to tooth 25 (from the second right premolar to the second left premolar). The final result showed a significant improvement in smile aesthetics, with the elimination of fluorosis stains and harmonization of the shapes, proportions, and shade of the teeth. Occlusal function was preserved.\nConclusion\nThis clinical case demonstrates that the combination of Digital Smile Design with exocad software and the injected composite technique is an effective strategy for managing the aesthetic consequences of dental fluorosis. The digital planning protocol ensured predictable results, enhanced communication with the patient, and provided precise guidance during the clinical phase. This minimally invasive approach successfully restored aesthetics and function, representing a reliable conservative solution for anterior rehabilitations.\nThe patient provided explicit and informed consent for the publication of their clinical information in an open-access, online journal\n\n\n### A20 AI and machine learning in antimicrobial resistance: toward faster detection and smarter antibiotic use\nBMC Proceedings 2026, 20(11):A20\nAbstract\nAntimicrobial resistance (AMR) is a critical global health threat, contributing to increased morbidity, mortality, and healthcare costs by rendering common infections harder to treat. Traditional diagnostic methods for AMR detection are often slow, labor-intensive, and limited in sensitivity. This study presents recent developments in the use of artificial intelligence (AI) and machine learning (ML) models to accelerate AMR detection, enhance resistance monitoring, and optimize antibiotic stewardship.\nA systematic review was conducted across PubMed, Scopus, and Web of Science databases for studies published between 2015 and 2025. Eligible publications included original research and review articles focusing on AI-driven models for bacterial identification, resistance prediction, or support in antibiotic prescription. Search terms included “artificial intelligence,” “machine learning,” “predictive models,” and “antimicrobial resistance.” Studies lacking experimental validation, written in languages other than English or French, or limited to conference abstracts were excluded.\nOut of 28 initially retrieved studies, 15 met the inclusion criteria. The findings reveal that AI models—particularly those using machine learning algorithms such as random forests and support vector machines—achieve predictive accuracies exceeding 80% for various bacterial resistance profiles. Deep learning models, especially deep neural networks, demonstrated superior performance in detecting complex resistance genes directly from genomic data. However, they require large, well-curated datasets to maintain accuracy and generalizability. Several AI-powered decision support systems reviewed in the literature also showed a capacity to reduce inappropriate antibiotic prescriptions by up to 30%, highlighting their practical value in clinical settings.\nThese results underscore the transformative potential of AI in the fight against AMR. Predictive models based on AI not only offer faster detection but also support more precise and rational antibiotic use. Nonetheless, broad clinical validation and the seamless integration of AI tools into existing healthcare infrastructures remain major challenges. AI should be regarded as a complementary asset to traditional surveillance and prevention systems, reinforcing global efforts to curb the spread of antimicrobial resistance.\nKeywords\nAntimicrobial resistance; artificial intelligence; machine learning; deep learning; predictive models; antibiotic stewardship; resistance surveillance\n\n\n### A. Er-Regragui1,2, M. Snoussi1,7,8, H. Mguild1,3, R. Festali1,2, H. Houssam1,2, K. Nayme3, N. Nzoyikorera4, F. Z. Benbouazza5, M. Kettani-Halabi6, A. Chakib1,7,8, N. Dini1,7,8, I. Diawara1,2,9\nBMC Proceedings 2026, 20(11):A20\nAbstract\nAntimicrobial resistance (AMR) is a critical global health threat, contributing to increased morbidity, mortality, and healthcare costs by rendering common infections harder to treat. Traditional diagnostic methods for AMR detection are often slow, labor-intensive, and limited in sensitivity. This study presents recent developments in the use of artificial intelligence (AI) and machine learning (ML) models to accelerate AMR detection, enhance resistance monitoring, and optimize antibiotic stewardship.\nA systematic review was conducted across PubMed, Scopus, and Web of Science databases for studies published between 2015 and 2025. Eligible publications included original research and review articles focusing on AI-driven models for bacterial identification, resistance prediction, or support in antibiotic prescription. Search terms included “artificial intelligence,” “machine learning,” “predictive models,” and “antimicrobial resistance.” Studies lacking experimental validation, written in languages other than English or French, or limited to conference abstracts were excluded.\nOut of 28 initially retrieved studies, 15 met the inclusion criteria. The findings reveal that AI models—particularly those using machine learning algorithms such as random forests and support vector machines—achieve predictive accuracies exceeding 80% for various bacterial resistance profiles. Deep learning models, especially deep neural networks, demonstrated superior performance in detecting complex resistance genes directly from genomic data. However, they require large, well-curated datasets to maintain accuracy and generalizability. Several AI-powered decision support systems reviewed in the literature also showed a capacity to reduce inappropriate antibiotic prescriptions by up to 30%, highlighting their practical value in clinical settings.\nThese results underscore the transformative potential of AI in the fight against AMR. Predictive models based on AI not only offer faster detection but also support more precise and rational antibiotic use. Nonetheless, broad clinical validation and the seamless integration of AI tools into existing healthcare infrastructures remain major challenges. AI should be regarded as a complementary asset to traditional surveillance and prevention systems, reinforcing global efforts to curb the spread of antimicrobial resistance.\nKeywords\nAntimicrobial resistance; artificial intelligence; machine learning; deep learning; predictive models; antibiotic stewardship; resistance surveillance\n\n\n### 1Mohammed VI University of Health Sciences (UM6SS), Faculty of Medicine, Laboratory of Microbiology, Infectious Diseases, Allergology and Pathogen Surveillance (LARMIAS), Casablanca, Morocco; 2Mohammed VI Center for Research and Innovation, Rabat, Morocco; 3Molecular Bacteriology Laboratory, Pasteur Institute of Morocco, Casablanca, Morocco; 4National Reference Laboratory, National Public Health Institute, Bujumbura, Burundi; 5Faculty of Sciences and Technology, Hassan First University, Settat, Morocco; 6Mohammed VI University of Health Sciences (UM6SS), Faculty of Pharmacy, Casablanca, Morocco; 7Cheikh Khalifa International University Hospital, Casablanca, Morocco; 8Mohammed VI International University Hospital, Bouskoura, Casablanca, Morocco; 9UM6SS, Higher Institute of Biosciences and Biotechnologies, Casablanca, Morocco\nBMC Proceedings 2026, 20(11):A20\nAbstract\nAntimicrobial resistance (AMR) is a critical global health threat, contributing to increased morbidity, mortality, and healthcare costs by rendering common infections harder to treat. Traditional diagnostic methods for AMR detection are often slow, labor-intensive, and limited in sensitivity. This study presents recent developments in the use of artificial intelligence (AI) and machine learning (ML) models to accelerate AMR detection, enhance resistance monitoring, and optimize antibiotic stewardship.\nA systematic review was conducted across PubMed, Scopus, and Web of Science databases for studies published between 2015 and 2025. Eligible publications included original research and review articles focusing on AI-driven models for bacterial identification, resistance prediction, or support in antibiotic prescription. Search terms included “artificial intelligence,” “machine learning,” “predictive models,” and “antimicrobial resistance.” Studies lacking experimental validation, written in languages other than English or French, or limited to conference abstracts were excluded.\nOut of 28 initially retrieved studies, 15 met the inclusion criteria. The findings reveal that AI models—particularly those using machine learning algorithms such as random forests and support vector machines—achieve predictive accuracies exceeding 80% for various bacterial resistance profiles. Deep learning models, especially deep neural networks, demonstrated superior performance in detecting complex resistance genes directly from genomic data. However, they require large, well-curated datasets to maintain accuracy and generalizability. Several AI-powered decision support systems reviewed in the literature also showed a capacity to reduce inappropriate antibiotic prescriptions by up to 30%, highlighting their practical value in clinical settings.\nThese results underscore the transformative potential of AI in the fight against AMR. Predictive models based on AI not only offer faster detection but also support more precise and rational antibiotic use. Nonetheless, broad clinical validation and the seamless integration of AI tools into existing healthcare infrastructures remain major challenges. AI should be regarded as a complementary asset to traditional surveillance and prevention systems, reinforcing global efforts to curb the spread of antimicrobial resistance.\nKeywords\nAntimicrobial resistance; artificial intelligence; machine learning; deep learning; predictive models; antibiotic stewardship; resistance surveillance\n\n\n### Correspondence: A. Er-Regragui (aerregragui3@um6ss.ma)\nBMC Proceedings 2026, 20(11):A20\nAbstract\nAntimicrobial resistance (AMR) is a critical global health threat, contributing to increased morbidity, mortality, and healthcare costs by rendering common infections harder to treat. Traditional diagnostic methods for AMR detection are often slow, labor-intensive, and limited in sensitivity. This study presents recent developments in the use of artificial intelligence (AI) and machine learning (ML) models to accelerate AMR detection, enhance resistance monitoring, and optimize antibiotic stewardship.\nA systematic review was conducted across PubMed, Scopus, and Web of Science databases for studies published between 2015 and 2025. Eligible publications included original research and review articles focusing on AI-driven models for bacterial identification, resistance prediction, or support in antibiotic prescription. Search terms included “artificial intelligence,” “machine learning,” “predictive models,” and “antimicrobial resistance.” Studies lacking experimental validation, written in languages other than English or French, or limited to conference abstracts were excluded.\nOut of 28 initially retrieved studies, 15 met the inclusion criteria. The findings reveal that AI models—particularly those using machine learning algorithms such as random forests and support vector machines—achieve predictive accuracies exceeding 80% for various bacterial resistance profiles. Deep learning models, especially deep neural networks, demonstrated superior performance in detecting complex resistance genes directly from genomic data. However, they require large, well-curated datasets to maintain accuracy and generalizability. Several AI-powered decision support systems reviewed in the literature also showed a capacity to reduce inappropriate antibiotic prescriptions by up to 30%, highlighting their practical value in clinical settings.\nThese results underscore the transformative potential of AI in the fight against AMR. Predictive models based on AI not only offer faster detection but also support more precise and rational antibiotic use. Nonetheless, broad clinical validation and the seamless integration of AI tools into existing healthcare infrastructures remain major challenges. AI should be regarded as a complementary asset to traditional surveillance and prevention systems, reinforcing global efforts to curb the spread of antimicrobial resistance.\nKeywords\nAntimicrobial resistance; artificial intelligence; machine learning; deep learning; predictive models; antibiotic stewardship; resistance surveillance\n\n\n### A21 From days to hours: AI-supported LAMP assay for rapid diagnosis of invasive non-typhoidal salmonella detection\nBMC Proceedings 2026, 20(11):A21\nBackground\nInvasive non-typhoidal Salmonella (iNTS) remains a significant cause of bloodstream infections in sub-Saharan Africa, where young children are particularly at risk. Immunocompromised individuals, sickle cell patients, malnourished individuals and people with malaria and other diseases are equally at risk. Routine diagnosis especially in sub–Saharan Africa depends on conventional blood culture, which is slow, requires laboratory infrastructure, and often yields low sensitivity. These limitations delay treatment and contribute to high mortality. Developing rapid, accurate diagnostic tools that can be used in resource-constrained settings is therefore essential.\nMethods\nClinical and foodborne iNTS isolates were collected in Ghana and Morocco and subjected to culturing, identification and then whole genome sequencing to identify virulence and resistance markers suitable for diagnostic targeting. A loop-mediated isothermal amplification (LAMP) assay was then designed, with artificial intelligence applied to assist primer selection and improve amplification efficiency. The assay was validated against conventional blood culture and polymerase chain reaction, with performance measured in terms of sensitivity, specificity, and time-to-result.\nResults\nAnalysis of the genomic data highlighted conserved gene regions associated with invasiveness and antimicrobial resistance. Incorporating artificial intelligence into assay design reduced development time and improved reaction reliability. In preliminary validation, the LAMP assay achieved sensitivity and specificity above 90 percent. Crucially, the turnaround time was reduced from several days with culture to under two hours, offering a major improvement in speed. The assay also proved more adaptable to limited-resource laboratory conditions than polymerase chain reaction.\nConclusions\nThis study demonstrates the potential of artificial intelligence-enhanced molecular diagnostics to close critical gaps in the detection of invasive non typhoidal salmonella. The test provides a faster and more reliable means of diagnosis, enabling earlier treatment decisions and more effective antimicrobial use. These advances could reduce childhood mortality linked to invasive salmonellosis while supporting public health efforts to contain antimicrobial resistance.\n\n\n### A. E. Dickson1,2,3, C. H. Dicko1,2, A. Chakib1,2,4,5, N. Dini1,2,4,5, L. A. Basing3, I. Diawara1,2,6\nBMC Proceedings 2026, 20(11):A21\nBackground\nInvasive non-typhoidal Salmonella (iNTS) remains a significant cause of bloodstream infections in sub-Saharan Africa, where young children are particularly at risk. Immunocompromised individuals, sickle cell patients, malnourished individuals and people with malaria and other diseases are equally at risk. Routine diagnosis especially in sub–Saharan Africa depends on conventional blood culture, which is slow, requires laboratory infrastructure, and often yields low sensitivity. These limitations delay treatment and contribute to high mortality. Developing rapid, accurate diagnostic tools that can be used in resource-constrained settings is therefore essential.\nMethods\nClinical and foodborne iNTS isolates were collected in Ghana and Morocco and subjected to culturing, identification and then whole genome sequencing to identify virulence and resistance markers suitable for diagnostic targeting. A loop-mediated isothermal amplification (LAMP) assay was then designed, with artificial intelligence applied to assist primer selection and improve amplification efficiency. The assay was validated against conventional blood culture and polymerase chain reaction, with performance measured in terms of sensitivity, specificity, and time-to-result.\nResults\nAnalysis of the genomic data highlighted conserved gene regions associated with invasiveness and antimicrobial resistance. Incorporating artificial intelligence into assay design reduced development time and improved reaction reliability. In preliminary validation, the LAMP assay achieved sensitivity and specificity above 90 percent. Crucially, the turnaround time was reduced from several days with culture to under two hours, offering a major improvement in speed. The assay also proved more adaptable to limited-resource laboratory conditions than polymerase chain reaction.\nConclusions\nThis study demonstrates the potential of artificial intelligence-enhanced molecular diagnostics to close critical gaps in the detection of invasive non typhoidal salmonella. The test provides a faster and more reliable means of diagnosis, enabling earlier treatment decisions and more effective antimicrobial use. These advances could reduce childhood mortality linked to invasive salmonellosis while supporting public health efforts to contain antimicrobial resistance.\n\n\n### 1Research Laboratory of Microbiology, Infectious Diseases, Allergology and Pathogen Surveillance (LARMIAS), Mohammed VI Faculty of Medicine, Mohammed VI University of Sciences and Health (UM6SS), Casablanca 82403, Morocco; 2Mohammed VI Higher Institute of Biosciences and Biotechnologies, Mohammed VI University of Sciences and Health (UM6SS), Casablanca 82403, Morocco; 3Department of Medical Diagnostic, Kwame Nkrumah University of Science and Technology (KNUST), Kumasi, Ghana; 4Cheikh Khalifa International University Hospital, Casablanca 82403, Morocco; 5Mohammed VI International University Hospital, Bouskoura 27182, Morocco; 6Mohammed VI Center for Research and Innovation (CM6RI), Rabat 10112, Morocco\nBMC Proceedings 2026, 20(11):A21\nBackground\nInvasive non-typhoidal Salmonella (iNTS) remains a significant cause of bloodstream infections in sub-Saharan Africa, where young children are particularly at risk. Immunocompromised individuals, sickle cell patients, malnourished individuals and people with malaria and other diseases are equally at risk. Routine diagnosis especially in sub–Saharan Africa depends on conventional blood culture, which is slow, requires laboratory infrastructure, and often yields low sensitivity. These limitations delay treatment and contribute to high mortality. Developing rapid, accurate diagnostic tools that can be used in resource-constrained settings is therefore essential.\nMethods\nClinical and foodborne iNTS isolates were collected in Ghana and Morocco and subjected to culturing, identification and then whole genome sequencing to identify virulence and resistance markers suitable for diagnostic targeting. A loop-mediated isothermal amplification (LAMP) assay was then designed, with artificial intelligence applied to assist primer selection and improve amplification efficiency. The assay was validated against conventional blood culture and polymerase chain reaction, with performance measured in terms of sensitivity, specificity, and time-to-result.\nResults\nAnalysis of the genomic data highlighted conserved gene regions associated with invasiveness and antimicrobial resistance. Incorporating artificial intelligence into assay design reduced development time and improved reaction reliability. In preliminary validation, the LAMP assay achieved sensitivity and specificity above 90 percent. Crucially, the turnaround time was reduced from several days with culture to under two hours, offering a major improvement in speed. The assay also proved more adaptable to limited-resource laboratory conditions than polymerase chain reaction.\nConclusions\nThis study demonstrates the potential of artificial intelligence-enhanced molecular diagnostics to close critical gaps in the detection of invasive non typhoidal salmonella. The test provides a faster and more reliable means of diagnosis, enabling earlier treatment decisions and more effective antimicrobial use. These advances could reduce childhood mortality linked to invasive salmonellosis while supporting public health efforts to contain antimicrobial resistance.\n\n\n### A22 Role of the shared electronic health record in clinical coordination between primary-level physicians and referral-level specialists in Morocco\nBMC Proceedings 2026, 20(11):A22\nAbstract\nClinical coordination is a central objective of Morocco’s ongoing National Health System reform. Framework Law 06-22 identifies the digitalization of the health information system—particularly through the Shared Electronic Health Record (SEHR)—as a strategic tool for improving service integration across levels of care. This study aimed to assess the perceived level of clinical coordination between primary-level physicians (PLPs) and referral-level specialists (RLSs), evaluate the use and perceived utility of nine coordination mechanisms with particular focus on the SEHR, and identify barriers to its effective use.\nA cross-sectional survey was conducted between April and May 2024 in the Casablanca–Settat region among 329 public-sector physicians (186 PLPs and 143 RLSs). Data were collected using the COORDENA-CAT questionnaire, adapted to the Moroccan context. Variables included perceived coordination, access to and frequency of use of coordination mechanisms (daily/weekly), perceived usefulness, and barriers to SEHR implementation. Differences between PLPs and RLSs were analyzed using Chi-square tests, with significance set at p < 0.05.\nFindings indicate that coordination between care levels is generally perceived as insufficient, with RLSs expressing more favorable views than PLPs. The most commonly used mechanism was the Referral/Counter-Referral (RCR) system, used by 70.2% of respondents (PLPs 91.9% vs RLSs 42.0%, p < 0.001), with 51.4% reporting weekly/daily use and 97.6% considering it useful. The telephone was used by 74.8% (PLPs 78.0% vs RLSs 70.6%, p = 0.129), with 50.8% using it weekly/daily and 85.1% rating it as useful. Social networks were used by 42.9% (PLPs 39.8% vs RLSs 46.9%, p = 0.199), with 29.5% using them weekly/daily and 65.3% finding them useful.\nThe SEHR was reported as used by only 12.5% of respondents (PLPs 7.0% vs RLSs 19.6%, p = 0.001), with weekly/daily usage at just 9.7%. Despite this low adoption rate, its perceived usefulness was high (89.4%). Reported barriers to SEHR use included technical limitations (lack of interoperability, low digital literacy), infrastructure deficiencies (equipment and connectivity), organizational challenges (poor integration into clinical workflows), and concerns over data confidentiality and security.\nThese results reveal significant disparities between PLPs and RLSs in perceived coordination, particularly concerning the SEHR. While traditional tools such as RCR, telephone, and social media remain in widespread use, they lack traceability, standardization, and data protection. Conversely, the SEHR, although underused, is conceptually well-accepted and aligns closely with national policy directions under Framework Law 06-22. To harness its full potential, substantial investments are required in infrastructure, digital capacity-building, organizational integration, and data governance. The SEHR thus stands as a key strategic instrument for reducing systemic asymmetries and strengthening coordination between frontline and specialist care.\nKeywords\nClinical coordination; Shared Electronic Health Record; Coordination mechanisms; Digital health; Health system reform in Morocco\n\n\n### R. Moulki1,2,3, Z. Belrhiti1,2, H. Asri3,4, A. El-Ammari3, A. Khattabi1,2,3\nBMC Proceedings 2026, 20(11):A22\nAbstract\nClinical coordination is a central objective of Morocco’s ongoing National Health System reform. Framework Law 06-22 identifies the digitalization of the health information system—particularly through the Shared Electronic Health Record (SEHR)—as a strategic tool for improving service integration across levels of care. This study aimed to assess the perceived level of clinical coordination between primary-level physicians (PLPs) and referral-level specialists (RLSs), evaluate the use and perceived utility of nine coordination mechanisms with particular focus on the SEHR, and identify barriers to its effective use.\nA cross-sectional survey was conducted between April and May 2024 in the Casablanca–Settat region among 329 public-sector physicians (186 PLPs and 143 RLSs). Data were collected using the COORDENA-CAT questionnaire, adapted to the Moroccan context. Variables included perceived coordination, access to and frequency of use of coordination mechanisms (daily/weekly), perceived usefulness, and barriers to SEHR implementation. Differences between PLPs and RLSs were analyzed using Chi-square tests, with significance set at p < 0.05.\nFindings indicate that coordination between care levels is generally perceived as insufficient, with RLSs expressing more favorable views than PLPs. The most commonly used mechanism was the Referral/Counter-Referral (RCR) system, used by 70.2% of respondents (PLPs 91.9% vs RLSs 42.0%, p < 0.001), with 51.4% reporting weekly/daily use and 97.6% considering it useful. The telephone was used by 74.8% (PLPs 78.0% vs RLSs 70.6%, p = 0.129), with 50.8% using it weekly/daily and 85.1% rating it as useful. Social networks were used by 42.9% (PLPs 39.8% vs RLSs 46.9%, p = 0.199), with 29.5% using them weekly/daily and 65.3% finding them useful.\nThe SEHR was reported as used by only 12.5% of respondents (PLPs 7.0% vs RLSs 19.6%, p = 0.001), with weekly/daily usage at just 9.7%. Despite this low adoption rate, its perceived usefulness was high (89.4%). Reported barriers to SEHR use included technical limitations (lack of interoperability, low digital literacy), infrastructure deficiencies (equipment and connectivity), organizational challenges (poor integration into clinical workflows), and concerns over data confidentiality and security.\nThese results reveal significant disparities between PLPs and RLSs in perceived coordination, particularly concerning the SEHR. While traditional tools such as RCR, telephone, and social media remain in widespread use, they lack traceability, standardization, and data protection. Conversely, the SEHR, although underused, is conceptually well-accepted and aligns closely with national policy directions under Framework Law 06-22. To harness its full potential, substantial investments are required in infrastructure, digital capacity-building, organizational integration, and data governance. The SEHR thus stands as a key strategic instrument for reducing systemic asymmetries and strengthening coordination between frontline and specialist care.\nKeywords\nClinical coordination; Shared Electronic Health Record; Coordination mechanisms; Digital health; Health system reform in Morocco\n\n\n### 1Mohammed VI International School of Public Health, Mohammed VI University of Health Sciences (UM6SS), Casablanca, Morocco; 2Management and Public Health Laboratory, Mohammed VI Center for Research and Innovation (CM6RI), Rabat, Morocco; 3National School of Public Health (ENSP), Ministry of Health and Social Protection, Rabat, Morocco; 4Regional Directorate of the Ministry of Health and Social Protection, Marrakech–Safi, Marrakech, Morocco\nBMC Proceedings 2026, 20(11):A22\nAbstract\nClinical coordination is a central objective of Morocco’s ongoing National Health System reform. Framework Law 06-22 identifies the digitalization of the health information system—particularly through the Shared Electronic Health Record (SEHR)—as a strategic tool for improving service integration across levels of care. This study aimed to assess the perceived level of clinical coordination between primary-level physicians (PLPs) and referral-level specialists (RLSs), evaluate the use and perceived utility of nine coordination mechanisms with particular focus on the SEHR, and identify barriers to its effective use.\nA cross-sectional survey was conducted between April and May 2024 in the Casablanca–Settat region among 329 public-sector physicians (186 PLPs and 143 RLSs). Data were collected using the COORDENA-CAT questionnaire, adapted to the Moroccan context. Variables included perceived coordination, access to and frequency of use of coordination mechanisms (daily/weekly), perceived usefulness, and barriers to SEHR implementation. Differences between PLPs and RLSs were analyzed using Chi-square tests, with significance set at p < 0.05.\nFindings indicate that coordination between care levels is generally perceived as insufficient, with RLSs expressing more favorable views than PLPs. The most commonly used mechanism was the Referral/Counter-Referral (RCR) system, used by 70.2% of respondents (PLPs 91.9% vs RLSs 42.0%, p < 0.001), with 51.4% reporting weekly/daily use and 97.6% considering it useful. The telephone was used by 74.8% (PLPs 78.0% vs RLSs 70.6%, p = 0.129), with 50.8% using it weekly/daily and 85.1% rating it as useful. Social networks were used by 42.9% (PLPs 39.8% vs RLSs 46.9%, p = 0.199), with 29.5% using them weekly/daily and 65.3% finding them useful.\nThe SEHR was reported as used by only 12.5% of respondents (PLPs 7.0% vs RLSs 19.6%, p = 0.001), with weekly/daily usage at just 9.7%. Despite this low adoption rate, its perceived usefulness was high (89.4%). Reported barriers to SEHR use included technical limitations (lack of interoperability, low digital literacy), infrastructure deficiencies (equipment and connectivity), organizational challenges (poor integration into clinical workflows), and concerns over data confidentiality and security.\nThese results reveal significant disparities between PLPs and RLSs in perceived coordination, particularly concerning the SEHR. While traditional tools such as RCR, telephone, and social media remain in widespread use, they lack traceability, standardization, and data protection. Conversely, the SEHR, although underused, is conceptually well-accepted and aligns closely with national policy directions under Framework Law 06-22. To harness its full potential, substantial investments are required in infrastructure, digital capacity-building, organizational integration, and data governance. The SEHR thus stands as a key strategic instrument for reducing systemic asymmetries and strengthening coordination between frontline and specialist care.\nKeywords\nClinical coordination; Shared Electronic Health Record; Coordination mechanisms; Digital health; Health system reform in Morocco\n\n\n### Correspondence: R. Moulki (rmoulki@um6ss.ma)\nBMC Proceedings 2026, 20(11):A22\nAbstract\nClinical coordination is a central objective of Morocco’s ongoing National Health System reform. Framework Law 06-22 identifies the digitalization of the health information system—particularly through the Shared Electronic Health Record (SEHR)—as a strategic tool for improving service integration across levels of care. This study aimed to assess the perceived level of clinical coordination between primary-level physicians (PLPs) and referral-level specialists (RLSs), evaluate the use and perceived utility of nine coordination mechanisms with particular focus on the SEHR, and identify barriers to its effective use.\nA cross-sectional survey was conducted between April and May 2024 in the Casablanca–Settat region among 329 public-sector physicians (186 PLPs and 143 RLSs). Data were collected using the COORDENA-CAT questionnaire, adapted to the Moroccan context. Variables included perceived coordination, access to and frequency of use of coordination mechanisms (daily/weekly), perceived usefulness, and barriers to SEHR implementation. Differences between PLPs and RLSs were analyzed using Chi-square tests, with significance set at p < 0.05.\nFindings indicate that coordination between care levels is generally perceived as insufficient, with RLSs expressing more favorable views than PLPs. The most commonly used mechanism was the Referral/Counter-Referral (RCR) system, used by 70.2% of respondents (PLPs 91.9% vs RLSs 42.0%, p < 0.001), with 51.4% reporting weekly/daily use and 97.6% considering it useful. The telephone was used by 74.8% (PLPs 78.0% vs RLSs 70.6%, p = 0.129), with 50.8% using it weekly/daily and 85.1% rating it as useful. Social networks were used by 42.9% (PLPs 39.8% vs RLSs 46.9%, p = 0.199), with 29.5% using them weekly/daily and 65.3% finding them useful.\nThe SEHR was reported as used by only 12.5% of respondents (PLPs 7.0% vs RLSs 19.6%, p = 0.001), with weekly/daily usage at just 9.7%. Despite this low adoption rate, its perceived usefulness was high (89.4%). Reported barriers to SEHR use included technical limitations (lack of interoperability, low digital literacy), infrastructure deficiencies (equipment and connectivity), organizational challenges (poor integration into clinical workflows), and concerns over data confidentiality and security.\nThese results reveal significant disparities between PLPs and RLSs in perceived coordination, particularly concerning the SEHR. While traditional tools such as RCR, telephone, and social media remain in widespread use, they lack traceability, standardization, and data protection. Conversely, the SEHR, although underused, is conceptually well-accepted and aligns closely with national policy directions under Framework Law 06-22. To harness its full potential, substantial investments are required in infrastructure, digital capacity-building, organizational integration, and data governance. The SEHR thus stands as a key strategic instrument for reducing systemic asymmetries and strengthening coordination between frontline and specialist care.\nKeywords\nClinical coordination; Shared Electronic Health Record; Coordination mechanisms; Digital health; Health system reform in Morocco\n\n\n### A23 Application of the accuracy profile as a chemometric tool for validation of a chromatographic method for quantification of several prohibited compounds in equine anti-doping control\nBMC Proceedings 2026, 20(11):A23\nAbstract\nBackground\nEquine doping represents a major challenge in competitive sports, undermining animal welfare and the integrity of events. In the absence of a universal quantification method, laboratories are required to develop and validate their own analytical procedure to detect and quantify doping substances, which are of particular concern due to their frequent use and potential impact on horse performance.\nMaterials and Methods\nThe aim of this study was to validate a bioanalytical method for the quantification of several prohibited substances in equine anti-doping control, which were tested, spiked with known concentrations of the target compounds, and analyzed to evaluate the method’s performance using ultra-high-performance liquid chromatography coupled with high-resolution mass spectrometry (UHPLC/HRMS). Validation followed international guidelines, especially the SFTSP commission, and included assessment of specificity, linearity, limit of detection (LOD), limit of quantification (LOQ), trueness, and precision [1].\nResults\nThe validated method demonstrated satisfactory linearity for all tested molecules. Achieved LOD and LOQ values complied with regulatory requirements. The intermediate precision tested under different days was satisfactory (CV < 15%). Specificity confirmed clear differentiation between target analytes and potential interferences in the horse urine matrix, while the accuracy profile—a simple and graphical decision tool using the notion of total error [2]—showed β > 0.80, indicating that at least 80% of the future results were included in the predefined range of acceptability.\nConclusion\nThis study confirms the reliability of the developed method, and the overall results confirm that it is performant in terms of selectivity, linearity, accuracy, precision, and trueness and can be easily used to ensure the credibility of equine anti-doping testing. Future perspectives include extending the method to additional substances from different classes.\nReferences\nEl-Ghaly W, El Kamli T, Gongbe AMA, Zaari Lambarki L, El Hamdani M, Lahkak FE, Al Idrissi N, Benmoussa A, Balouch L, Bakkali F, Saffaj T, Jhilal F. Development and validation of a quantitative UHPLC-HRMS bioanalytical method for equine anti-doping control. J Pharmacol Toxicol Methods. 2025;134:107759. 10.1016/j.vascn.2025.107759Hubert P, Nguyen-Huu JJ, Boulanger B, Chapuzet E, Chiap P, Cohen N, Compagnon PA, Dewé W, Feinberg M, Lallier M, Laurentie M, Mercier N, Muzard G, Nivet C, Valat L. Harmonization of strategies for the validation of quantitative analytical procedures. J Pharm Biomed Anal. 2004;36(3):579–586. 10.1016/j.jpba.2004.07.027\nEl-Ghaly W, El Kamli T, Gongbe AMA, Zaari Lambarki L, El Hamdani M, Lahkak FE, Al Idrissi N, Benmoussa A, Balouch L, Bakkali F, Saffaj T, Jhilal F. Development and validation of a quantitative UHPLC-HRMS bioanalytical method for equine anti-doping control. J Pharmacol Toxicol Methods. 2025;134:107759. 10.1016/j.vascn.2025.107759\nHubert P, Nguyen-Huu JJ, Boulanger B, Chapuzet E, Chiap P, Cohen N, Compagnon PA, Dewé W, Feinberg M, Lallier M, Laurentie M, Mercier N, Muzard G, Nivet C, Valat L. Harmonization of strategies for the validation of quantitative analytical procedures. J Pharm Biomed Anal. 2004;36(3):579–586. 10.1016/j.jpba.2004.07.027\n\n\n### W. El-Ghaly1, T. El Kamli2, L. Zaari Lambarki3, A. Benmoussa1, F. Bakkali1, T. Saffaj3, F. Jhilal4\nBMC Proceedings 2026, 20(11):A23\nAbstract\nBackground\nEquine doping represents a major challenge in competitive sports, undermining animal welfare and the integrity of events. In the absence of a universal quantification method, laboratories are required to develop and validate their own analytical procedure to detect and quantify doping substances, which are of particular concern due to their frequent use and potential impact on horse performance.\nMaterials and Methods\nThe aim of this study was to validate a bioanalytical method for the quantification of several prohibited substances in equine anti-doping control, which were tested, spiked with known concentrations of the target compounds, and analyzed to evaluate the method’s performance using ultra-high-performance liquid chromatography coupled with high-resolution mass spectrometry (UHPLC/HRMS). Validation followed international guidelines, especially the SFTSP commission, and included assessment of specificity, linearity, limit of detection (LOD), limit of quantification (LOQ), trueness, and precision [1].\nResults\nThe validated method demonstrated satisfactory linearity for all tested molecules. Achieved LOD and LOQ values complied with regulatory requirements. The intermediate precision tested under different days was satisfactory (CV < 15%). Specificity confirmed clear differentiation between target analytes and potential interferences in the horse urine matrix, while the accuracy profile—a simple and graphical decision tool using the notion of total error [2]—showed β > 0.80, indicating that at least 80% of the future results were included in the predefined range of acceptability.\nConclusion\nThis study confirms the reliability of the developed method, and the overall results confirm that it is performant in terms of selectivity, linearity, accuracy, precision, and trueness and can be easily used to ensure the credibility of equine anti-doping testing. Future perspectives include extending the method to additional substances from different classes.\nReferences\nEl-Ghaly W, El Kamli T, Gongbe AMA, Zaari Lambarki L, El Hamdani M, Lahkak FE, Al Idrissi N, Benmoussa A, Balouch L, Bakkali F, Saffaj T, Jhilal F. Development and validation of a quantitative UHPLC-HRMS bioanalytical method for equine anti-doping control. J Pharmacol Toxicol Methods. 2025;134:107759. 10.1016/j.vascn.2025.107759Hubert P, Nguyen-Huu JJ, Boulanger B, Chapuzet E, Chiap P, Cohen N, Compagnon PA, Dewé W, Feinberg M, Lallier M, Laurentie M, Mercier N, Muzard G, Nivet C, Valat L. Harmonization of strategies for the validation of quantitative analytical procedures. J Pharm Biomed Anal. 2004;36(3):579–586. 10.1016/j.jpba.2004.07.027\nEl-Ghaly W, El Kamli T, Gongbe AMA, Zaari Lambarki L, El Hamdani M, Lahkak FE, Al Idrissi N, Benmoussa A, Balouch L, Bakkali F, Saffaj T, Jhilal F. Development and validation of a quantitative UHPLC-HRMS bioanalytical method for equine anti-doping control. J Pharmacol Toxicol Methods. 2025;134:107759. 10.1016/j.vascn.2025.107759\nHubert P, Nguyen-Huu JJ, Boulanger B, Chapuzet E, Chiap P, Cohen N, Compagnon PA, Dewé W, Feinberg M, Lallier M, Laurentie M, Mercier N, Muzard G, Nivet C, Valat L. Harmonization of strategies for the validation of quantitative analytical procedures. J Pharm Biomed Anal. 2004;36(3):579–586. 10.1016/j.jpba.2004.07.027\n\n\n### 1Mohammed VI University of Sciences and Health, Drug Sciences Laboratory, Faculty of Pharmacy, Casablanca 82403, Morocco; 2Hassan II Agronomic and Veterinary Institute, Department of Veterinary Biological Sciences and Pharmaceuticals, Rabat 10101, Morocco; 3Sidi Mohamed Ben Abdallah University, Applied Organic Chemistry Laboratory, Faculty of Sciences and Technology (FST), B.P. 2202, Fes 30000, Morocco; 4Bishop’s University, Department of Chemistry and Brewing Science, Sherbrooke, QC J1M 1Z7, Canada\nBMC Proceedings 2026, 20(11):A23\nAbstract\nBackground\nEquine doping represents a major challenge in competitive sports, undermining animal welfare and the integrity of events. In the absence of a universal quantification method, laboratories are required to develop and validate their own analytical procedure to detect and quantify doping substances, which are of particular concern due to their frequent use and potential impact on horse performance.\nMaterials and Methods\nThe aim of this study was to validate a bioanalytical method for the quantification of several prohibited substances in equine anti-doping control, which were tested, spiked with known concentrations of the target compounds, and analyzed to evaluate the method’s performance using ultra-high-performance liquid chromatography coupled with high-resolution mass spectrometry (UHPLC/HRMS). Validation followed international guidelines, especially the SFTSP commission, and included assessment of specificity, linearity, limit of detection (LOD), limit of quantification (LOQ), trueness, and precision [1].\nResults\nThe validated method demonstrated satisfactory linearity for all tested molecules. Achieved LOD and LOQ values complied with regulatory requirements. The intermediate precision tested under different days was satisfactory (CV < 15%). Specificity confirmed clear differentiation between target analytes and potential interferences in the horse urine matrix, while the accuracy profile—a simple and graphical decision tool using the notion of total error [2]—showed β > 0.80, indicating that at least 80% of the future results were included in the predefined range of acceptability.\nConclusion\nThis study confirms the reliability of the developed method, and the overall results confirm that it is performant in terms of selectivity, linearity, accuracy, precision, and trueness and can be easily used to ensure the credibility of equine anti-doping testing. Future perspectives include extending the method to additional substances from different classes.\nReferences\nEl-Ghaly W, El Kamli T, Gongbe AMA, Zaari Lambarki L, El Hamdani M, Lahkak FE, Al Idrissi N, Benmoussa A, Balouch L, Bakkali F, Saffaj T, Jhilal F. Development and validation of a quantitative UHPLC-HRMS bioanalytical method for equine anti-doping control. J Pharmacol Toxicol Methods. 2025;134:107759. 10.1016/j.vascn.2025.107759Hubert P, Nguyen-Huu JJ, Boulanger B, Chapuzet E, Chiap P, Cohen N, Compagnon PA, Dewé W, Feinberg M, Lallier M, Laurentie M, Mercier N, Muzard G, Nivet C, Valat L. Harmonization of strategies for the validation of quantitative analytical procedures. J Pharm Biomed Anal. 2004;36(3):579–586. 10.1016/j.jpba.2004.07.027\nEl-Ghaly W, El Kamli T, Gongbe AMA, Zaari Lambarki L, El Hamdani M, Lahkak FE, Al Idrissi N, Benmoussa A, Balouch L, Bakkali F, Saffaj T, Jhilal F. Development and validation of a quantitative UHPLC-HRMS bioanalytical method for equine anti-doping control. J Pharmacol Toxicol Methods. 2025;134:107759. 10.1016/j.vascn.2025.107759\nHubert P, Nguyen-Huu JJ, Boulanger B, Chapuzet E, Chiap P, Cohen N, Compagnon PA, Dewé W, Feinberg M, Lallier M, Laurentie M, Mercier N, Muzard G, Nivet C, Valat L. Harmonization of strategies for the validation of quantitative analytical procedures. J Pharm Biomed Anal. 2004;36(3):579–586. 10.1016/j.jpba.2004.07.027\n\n\n### A24 The European health data space: architecture, governance, and implications for cross-border care and health data reuse\nBMC Proceedings 2026, 20(11):A24\nBackground\nThe European Health Data Space (EHDS) is the European Union’s flagship regulatory initiative for enabling secure primary and secondary use of health data across Member States. Anchored in legislation such as the GDPR, Data Governance Act, Data Act, eIDAS, and the EU Cybersecurity Act, the EHDS introduces harmonised rules, cross-border data services (MyHealth@EU for primary use; HealthData@EU for secondary use), and national Health Data Access Bodies (HDABs). The policy aims are twofold: to enhance the continuity and quality of care by enabling patient data portability, and to accelerate research, regulation, public health, and innovation by facilitating trusted data reuse.\nMethodology\nThis review draws from: (i) non-structured interviews with experts in public administration, healthcare provision, and digital health innovation; (ii) analysis of EU regulatory proposals and legislative texts supporting EHDS deployment; and (iii) examination of gray literature, including technical documentation, national implementation plans, and cross-border programme roadmaps. The objective is to provide a clear synthesis of EHDS design, functionality, and implications for European healthcare and innovation ecosystems.\nResults\nThe analysis clarifies the EHDS architecture: mandatory EU-wide formats and interoperability rules for priority electronic health record (EHR) categories (e.g., summaries, prescriptions, imaging, lab results, discharge notes); patient control over data access; and governed secondary use through HDAB-issued permits within secure processing environments. Expected outcomes include better cross-border care, reduced diagnostic duplication, improved pharmacovigilance and surveillance, and streamlined multi-country research. Core enablers are technical standardisation, semantic and procedural interoperability, consent frameworks, transparency mechanisms, and data quality labeling. Challenges include national disparities in digital readiness, inconsistent EHR definitions, fragmented legacy systems, limited capacity for data stewardship, unclear liability for patient-generated data, and regulatory fragmentation hindering startup scaling. Case studies show centralised coordination accelerates interoperability, although adaptable models are needed for large or federal systems.\nConclusion\nThe EHDS is positioned to become core infrastructure for European digital health, provided implementation aligns governance, interoperability, consent, and security with practical workflows and capacities. Successful roll-out depends on phased obligations, robust HDAB operations, high-quality data pipelines, and inclusive stakeholder engagement. If these conditions are met, EHDS can strengthen care continuity, enable trustworthy data reuse, and catalyse innovation (including AI) at European scale.\nKeywords\nEuropean Health Data Space; digital health; interoperability; secondary use; Health Data Access Bodies; MyHealth@EU; HealthData@EU; GDPR; Data Governance Act; Data Act; consent management; data quality\n\n\n### A. Skali\nBMC Proceedings 2026, 20(11):A24\nBackground\nThe European Health Data Space (EHDS) is the European Union’s flagship regulatory initiative for enabling secure primary and secondary use of health data across Member States. Anchored in legislation such as the GDPR, Data Governance Act, Data Act, eIDAS, and the EU Cybersecurity Act, the EHDS introduces harmonised rules, cross-border data services (MyHealth@EU for primary use; HealthData@EU for secondary use), and national Health Data Access Bodies (HDABs). The policy aims are twofold: to enhance the continuity and quality of care by enabling patient data portability, and to accelerate research, regulation, public health, and innovation by facilitating trusted data reuse.\nMethodology\nThis review draws from: (i) non-structured interviews with experts in public administration, healthcare provision, and digital health innovation; (ii) analysis of EU regulatory proposals and legislative texts supporting EHDS deployment; and (iii) examination of gray literature, including technical documentation, national implementation plans, and cross-border programme roadmaps. The objective is to provide a clear synthesis of EHDS design, functionality, and implications for European healthcare and innovation ecosystems.\nResults\nThe analysis clarifies the EHDS architecture: mandatory EU-wide formats and interoperability rules for priority electronic health record (EHR) categories (e.g., summaries, prescriptions, imaging, lab results, discharge notes); patient control over data access; and governed secondary use through HDAB-issued permits within secure processing environments. Expected outcomes include better cross-border care, reduced diagnostic duplication, improved pharmacovigilance and surveillance, and streamlined multi-country research. Core enablers are technical standardisation, semantic and procedural interoperability, consent frameworks, transparency mechanisms, and data quality labeling. Challenges include national disparities in digital readiness, inconsistent EHR definitions, fragmented legacy systems, limited capacity for data stewardship, unclear liability for patient-generated data, and regulatory fragmentation hindering startup scaling. Case studies show centralised coordination accelerates interoperability, although adaptable models are needed for large or federal systems.\nConclusion\nThe EHDS is positioned to become core infrastructure for European digital health, provided implementation aligns governance, interoperability, consent, and security with practical workflows and capacities. Successful roll-out depends on phased obligations, robust HDAB operations, high-quality data pipelines, and inclusive stakeholder engagement. If these conditions are met, EHDS can strengthen care continuity, enable trustworthy data reuse, and catalyse innovation (including AI) at European scale.\nKeywords\nEuropean Health Data Space; digital health; interoperability; secondary use; Health Data Access Bodies; MyHealth@EU; HealthData@EU; GDPR; Data Governance Act; Data Act; consent management; data quality\n\n\n### Institute for Human-Centered Health Innovation – IHCHI, Basel, Switzerland\nBMC Proceedings 2026, 20(11):A24\nBackground\nThe European Health Data Space (EHDS) is the European Union’s flagship regulatory initiative for enabling secure primary and secondary use of health data across Member States. Anchored in legislation such as the GDPR, Data Governance Act, Data Act, eIDAS, and the EU Cybersecurity Act, the EHDS introduces harmonised rules, cross-border data services (MyHealth@EU for primary use; HealthData@EU for secondary use), and national Health Data Access Bodies (HDABs). The policy aims are twofold: to enhance the continuity and quality of care by enabling patient data portability, and to accelerate research, regulation, public health, and innovation by facilitating trusted data reuse.\nMethodology\nThis review draws from: (i) non-structured interviews with experts in public administration, healthcare provision, and digital health innovation; (ii) analysis of EU regulatory proposals and legislative texts supporting EHDS deployment; and (iii) examination of gray literature, including technical documentation, national implementation plans, and cross-border programme roadmaps. The objective is to provide a clear synthesis of EHDS design, functionality, and implications for European healthcare and innovation ecosystems.\nResults\nThe analysis clarifies the EHDS architecture: mandatory EU-wide formats and interoperability rules for priority electronic health record (EHR) categories (e.g., summaries, prescriptions, imaging, lab results, discharge notes); patient control over data access; and governed secondary use through HDAB-issued permits within secure processing environments. Expected outcomes include better cross-border care, reduced diagnostic duplication, improved pharmacovigilance and surveillance, and streamlined multi-country research. Core enablers are technical standardisation, semantic and procedural interoperability, consent frameworks, transparency mechanisms, and data quality labeling. Challenges include national disparities in digital readiness, inconsistent EHR definitions, fragmented legacy systems, limited capacity for data stewardship, unclear liability for patient-generated data, and regulatory fragmentation hindering startup scaling. Case studies show centralised coordination accelerates interoperability, although adaptable models are needed for large or federal systems.\nConclusion\nThe EHDS is positioned to become core infrastructure for European digital health, provided implementation aligns governance, interoperability, consent, and security with practical workflows and capacities. Successful roll-out depends on phased obligations, robust HDAB operations, high-quality data pipelines, and inclusive stakeholder engagement. If these conditions are met, EHDS can strengthen care continuity, enable trustworthy data reuse, and catalyse innovation (including AI) at European scale.\nKeywords\nEuropean Health Data Space; digital health; interoperability; secondary use; Health Data Access Bodies; MyHealth@EU; HealthData@EU; GDPR; Data Governance Act; Data Act; consent management; data quality\n\n\n### A25 Digital technologies in medical mycology: MALDI-TOF mass spectrometry and automated systems for rapid identification of Candida species\nBMC Proceedings 2026, 20(11):A25\nAbstract\nBackground\nRapid and accurate identification of Candida species is critical in medical microbiology, given the rise of non-albicans species with diverse antifungal resistance profiles. Advances in digital technologies such as matrix-assisted laser desorption/ionization time-of-flight mass spectrometry (MALDI-TOF MS) and automated biochemical systems have transformed laboratory workflows, enabling integration with laboratory information systems (LIS) and bioinformatics pipelines for real-time reporting. This study aimed to evaluate and compare the diagnostic performance of MALDI-TOF MS, automated systems, rapid tests, and classical methods against multiplex PCR, emphasizing their role in the digital transformation of microbiological diagnostics.\nMethods\nA total of 273 clinical Candida isolates were analyzed in two academic laboratories. Identification methods included MALDI-TOF MS (Bruker Microflex LT), VITEK 2 YST automated system, API 20C AUX biochemical profiling, rapid antigen detection tests (Bichro-Latex, Bichro-Dubli, Krusei-color), and the germ tube test. Multiplex PCR targeting six medically important Candida species served as the reference method. Diagnostic accuracy was assessed through sensitivity, specificity, predictive values, and Cohen’s Kappa coefficient.\nResults\nMALDI-TOF MS achieved almost perfect agreement with PCR (Kappa = 0.986), correctly identifying all C. albicans, C. glabrata, C. parapsilosis, and C. tropicalis isolates, with minimal discrepancies for C. dubliniensis and C. krusei. VITEK 2 YST also demonstrated excellent performance (Kappa = 0.964). API 20C AUX showed good agreement (Kappa = 0.933) but produced minor misidentifications for C. tropicalis and C. parapsilosis. Rapid tests exhibited variable results: the combined Bichro test showed high accuracy for C. albicans (Kappa = 0.899), while Bichro-Dubli identified C. dubliniensis reliably (Kappa = 0.782). The germ tube and Krusei-color tests had lower sensitivity and agreement.\nConclusion\nMALDI-TOF MS and automated systems represent high-performance digital solutions for microbiological diagnostics, offering speed, accuracy, and seamless integration into LIS and bioinformatics workflows. Their implementation can reduce turnaround times, improve therapeutic decision-making, and strengthen laboratory interoperability within e-health ecosystems. Rapid antigen tests remain valuable in low-resource contexts when integrated into hierarchical diagnostic strategies. The findings support further adoption of digital diagnostic technologies in medical mycology and their integration into national e-health strategies.\nKeywords\nCandida spp., MALDI-TOF MS, automated systems, e-health, microbiological diagnostics, bioinformatics.\n\n\n### B. Jabri1,2, F. El Falaki1, F. Assi3,4, S. Faouzi2, A. Hbibi5, M. Achmit6,7\nBMC Proceedings 2026, 20(11):A25\nAbstract\nBackground\nRapid and accurate identification of Candida species is critical in medical microbiology, given the rise of non-albicans species with diverse antifungal resistance profiles. Advances in digital technologies such as matrix-assisted laser desorption/ionization time-of-flight mass spectrometry (MALDI-TOF MS) and automated biochemical systems have transformed laboratory workflows, enabling integration with laboratory information systems (LIS) and bioinformatics pipelines for real-time reporting. This study aimed to evaluate and compare the diagnostic performance of MALDI-TOF MS, automated systems, rapid tests, and classical methods against multiplex PCR, emphasizing their role in the digital transformation of microbiological diagnostics.\nMethods\nA total of 273 clinical Candida isolates were analyzed in two academic laboratories. Identification methods included MALDI-TOF MS (Bruker Microflex LT), VITEK 2 YST automated system, API 20C AUX biochemical profiling, rapid antigen detection tests (Bichro-Latex, Bichro-Dubli, Krusei-color), and the germ tube test. Multiplex PCR targeting six medically important Candida species served as the reference method. Diagnostic accuracy was assessed through sensitivity, specificity, predictive values, and Cohen’s Kappa coefficient.\nResults\nMALDI-TOF MS achieved almost perfect agreement with PCR (Kappa = 0.986), correctly identifying all C. albicans, C. glabrata, C. parapsilosis, and C. tropicalis isolates, with minimal discrepancies for C. dubliniensis and C. krusei. VITEK 2 YST also demonstrated excellent performance (Kappa = 0.964). API 20C AUX showed good agreement (Kappa = 0.933) but produced minor misidentifications for C. tropicalis and C. parapsilosis. Rapid tests exhibited variable results: the combined Bichro test showed high accuracy for C. albicans (Kappa = 0.899), while Bichro-Dubli identified C. dubliniensis reliably (Kappa = 0.782). The germ tube and Krusei-color tests had lower sensitivity and agreement.\nConclusion\nMALDI-TOF MS and automated systems represent high-performance digital solutions for microbiological diagnostics, offering speed, accuracy, and seamless integration into LIS and bioinformatics workflows. Their implementation can reduce turnaround times, improve therapeutic decision-making, and strengthen laboratory interoperability within e-health ecosystems. Rapid antigen tests remain valuable in low-resource contexts when integrated into hierarchical diagnostic strategies. The findings support further adoption of digital diagnostic technologies in medical mycology and their integration into national e-health strategies.\nKeywords\nCandida spp., MALDI-TOF MS, automated systems, e-health, microbiological diagnostics, bioinformatics.\n\n\n### 1Research Laboratory: Care, Health and Environment, High Institute of Nursing Professions and Health Technics, Rabat, Morocco; 2Research Laboratory in Oral Biology and Biotechnology, Faculty of Dental Medicine, Mohammed V University in Rabat, Morocco; 3Faculty of Medicine and Pharmacy, Mohammed V University in Rabat, Morocco; 4Central Laboratory of Parasitology and Mycology- Ibn Sina University Hospital of Rabat, Morocco; 5Department of Periodontology, International Faculty of dental Medicine, College of Health Sciences, International University of Rabat, Morocco; 6High Institute of Nursing Professions and Health Technics, Casablanca, Morocco; 7UR Microbiology, Biomolecules and Biotechnology Laboratory of Physical Chemistry and Biotechnologies of Biomolecules and Materials FST Mohammedia, Morocco\nBMC Proceedings 2026, 20(11):A25\nAbstract\nBackground\nRapid and accurate identification of Candida species is critical in medical microbiology, given the rise of non-albicans species with diverse antifungal resistance profiles. Advances in digital technologies such as matrix-assisted laser desorption/ionization time-of-flight mass spectrometry (MALDI-TOF MS) and automated biochemical systems have transformed laboratory workflows, enabling integration with laboratory information systems (LIS) and bioinformatics pipelines for real-time reporting. This study aimed to evaluate and compare the diagnostic performance of MALDI-TOF MS, automated systems, rapid tests, and classical methods against multiplex PCR, emphasizing their role in the digital transformation of microbiological diagnostics.\nMethods\nA total of 273 clinical Candida isolates were analyzed in two academic laboratories. Identification methods included MALDI-TOF MS (Bruker Microflex LT), VITEK 2 YST automated system, API 20C AUX biochemical profiling, rapid antigen detection tests (Bichro-Latex, Bichro-Dubli, Krusei-color), and the germ tube test. Multiplex PCR targeting six medically important Candida species served as the reference method. Diagnostic accuracy was assessed through sensitivity, specificity, predictive values, and Cohen’s Kappa coefficient.\nResults\nMALDI-TOF MS achieved almost perfect agreement with PCR (Kappa = 0.986), correctly identifying all C. albicans, C. glabrata, C. parapsilosis, and C. tropicalis isolates, with minimal discrepancies for C. dubliniensis and C. krusei. VITEK 2 YST also demonstrated excellent performance (Kappa = 0.964). API 20C AUX showed good agreement (Kappa = 0.933) but produced minor misidentifications for C. tropicalis and C. parapsilosis. Rapid tests exhibited variable results: the combined Bichro test showed high accuracy for C. albicans (Kappa = 0.899), while Bichro-Dubli identified C. dubliniensis reliably (Kappa = 0.782). The germ tube and Krusei-color tests had lower sensitivity and agreement.\nConclusion\nMALDI-TOF MS and automated systems represent high-performance digital solutions for microbiological diagnostics, offering speed, accuracy, and seamless integration into LIS and bioinformatics workflows. Their implementation can reduce turnaround times, improve therapeutic decision-making, and strengthen laboratory interoperability within e-health ecosystems. Rapid antigen tests remain valuable in low-resource contexts when integrated into hierarchical diagnostic strategies. The findings support further adoption of digital diagnostic technologies in medical mycology and their integration into national e-health strategies.\nKeywords\nCandida spp., MALDI-TOF MS, automated systems, e-health, microbiological diagnostics, bioinformatics.\n\n\n### Correspondence: B. Jabri (brahim_jabri@um5.ac.ma)\nBMC Proceedings 2026, 20(11):A25\nAbstract\nBackground\nRapid and accurate identification of Candida species is critical in medical microbiology, given the rise of non-albicans species with diverse antifungal resistance profiles. Advances in digital technologies such as matrix-assisted laser desorption/ionization time-of-flight mass spectrometry (MALDI-TOF MS) and automated biochemical systems have transformed laboratory workflows, enabling integration with laboratory information systems (LIS) and bioinformatics pipelines for real-time reporting. This study aimed to evaluate and compare the diagnostic performance of MALDI-TOF MS, automated systems, rapid tests, and classical methods against multiplex PCR, emphasizing their role in the digital transformation of microbiological diagnostics.\nMethods\nA total of 273 clinical Candida isolates were analyzed in two academic laboratories. Identification methods included MALDI-TOF MS (Bruker Microflex LT), VITEK 2 YST automated system, API 20C AUX biochemical profiling, rapid antigen detection tests (Bichro-Latex, Bichro-Dubli, Krusei-color), and the germ tube test. Multiplex PCR targeting six medically important Candida species served as the reference method. Diagnostic accuracy was assessed through sensitivity, specificity, predictive values, and Cohen’s Kappa coefficient.\nResults\nMALDI-TOF MS achieved almost perfect agreement with PCR (Kappa = 0.986), correctly identifying all C. albicans, C. glabrata, C. parapsilosis, and C. tropicalis isolates, with minimal discrepancies for C. dubliniensis and C. krusei. VITEK 2 YST also demonstrated excellent performance (Kappa = 0.964). API 20C AUX showed good agreement (Kappa = 0.933) but produced minor misidentifications for C. tropicalis and C. parapsilosis. Rapid tests exhibited variable results: the combined Bichro test showed high accuracy for C. albicans (Kappa = 0.899), while Bichro-Dubli identified C. dubliniensis reliably (Kappa = 0.782). The germ tube and Krusei-color tests had lower sensitivity and agreement.\nConclusion\nMALDI-TOF MS and automated systems represent high-performance digital solutions for microbiological diagnostics, offering speed, accuracy, and seamless integration into LIS and bioinformatics workflows. Their implementation can reduce turnaround times, improve therapeutic decision-making, and strengthen laboratory interoperability within e-health ecosystems. Rapid antigen tests remain valuable in low-resource contexts when integrated into hierarchical diagnostic strategies. The findings support further adoption of digital diagnostic technologies in medical mycology and their integration into national e-health strategies.\nKeywords\nCandida spp., MALDI-TOF MS, automated systems, e-health, microbiological diagnostics, bioinformatics.\n\n\n### A26 Impact of implementing a standardized documentation system on reporting surgical complications in a surgical oncology department\nBMC Proceedings 2026, 20(11):A26\nLink to published paper\n10.1016/j.ejso.2023.107364\n\n\n### A. Houmada1, K. Arroubat2, Y. El Bouazizi3, A. Souadka4, A. Benkabbou4, R. Mohsine5, M. A. Majbar4\nBMC Proceedings 2026, 20(11):A26\nLink to published paper\n10.1016/j.ejso.2023.107364\n\n\n### 1Mohamed V University – National Institute of Oncology, Department of Digestive Oncologic Surgery, Rabat, Morocco; 2Mohamed V University – National Institute of Oncology, Department of Digestive Oncologic Surgery, Rabat, Morocco; 3Mohamed V University – National Institute of Oncology, Department of Digestive Oncologic Surgery, Rabat, Morocco; 4Mohamed V University – National Institute of Oncology, Department of Digestive Oncologic Surgery, Rabat, Morocco; 5Mohamed V University – National Institute of Oncology, Department of Digestive Oncologic Surgery, Rabat, Morocco\nBMC Proceedings 2026, 20(11):A26\nLink to published paper\n10.1016/j.ejso.2023.107364\n\n\n### A27 Effectiveness of mobile health interventions for symptom management in cancer patients: a systematic review\nBMC Proceedings 2026, 20(11):A27\nAbstract\nObjective\nThis systematic review aims to evaluate and compare the effectiveness of different mHealth interventions for symptom management in cancer patients, focusing on fatigue, pain, nausea, and anxiety.\nMethods\nA systematic search was conducted in PubMed, Embase, Web of Science, and Cochrane Library for studies published up to 2025. Studies involving cancer patients using mobile applications, wearable devices, or telemonitoring interventions were included. Primary outcomes include symptom severity and quality of life, while secondary outcomes include adherence, patient satisfaction, and long-term effectiveness.\nResults\nThe review will synthesize evidence on the comparative effectiveness of application-based, wearable-based, and telemonitoring interventions. It will also highlight gaps in existing research and explore factors influencing patient engagement and intervention success.\nConclusions\nThis systematic review will provide comprehensive evidence on the effectiveness of mHealth interventions in cancer symptom management. The findings aim to guide clinicians, researchers, and developers in designing optimized digital health strategies for cancer care, and to inform future research addressing current gaps in comparative effectiveness and long-term outcomes.\nKeywords\nmHealth; cancer; fatigue; symptom management; telemonitoring; wearable devices; mobile applications; systematic review\n\n\n### C. Elattabi\nBMC Proceedings 2026, 20(11):A27\nAbstract\nObjective\nThis systematic review aims to evaluate and compare the effectiveness of different mHealth interventions for symptom management in cancer patients, focusing on fatigue, pain, nausea, and anxiety.\nMethods\nA systematic search was conducted in PubMed, Embase, Web of Science, and Cochrane Library for studies published up to 2025. Studies involving cancer patients using mobile applications, wearable devices, or telemonitoring interventions were included. Primary outcomes include symptom severity and quality of life, while secondary outcomes include adherence, patient satisfaction, and long-term effectiveness.\nResults\nThe review will synthesize evidence on the comparative effectiveness of application-based, wearable-based, and telemonitoring interventions. It will also highlight gaps in existing research and explore factors influencing patient engagement and intervention success.\nConclusions\nThis systematic review will provide comprehensive evidence on the effectiveness of mHealth interventions in cancer symptom management. The findings aim to guide clinicians, researchers, and developers in designing optimized digital health strategies for cancer care, and to inform future research addressing current gaps in comparative effectiveness and long-term outcomes.\nKeywords\nmHealth; cancer; fatigue; symptom management; telemonitoring; wearable devices; mobile applications; systematic review\n\n\n### Mohammed VI University of Health Sciences (UM6SS), Casablanca, Morocco\nBMC Proceedings 2026, 20(11):A27\nAbstract\nObjective\nThis systematic review aims to evaluate and compare the effectiveness of different mHealth interventions for symptom management in cancer patients, focusing on fatigue, pain, nausea, and anxiety.\nMethods\nA systematic search was conducted in PubMed, Embase, Web of Science, and Cochrane Library for studies published up to 2025. Studies involving cancer patients using mobile applications, wearable devices, or telemonitoring interventions were included. Primary outcomes include symptom severity and quality of life, while secondary outcomes include adherence, patient satisfaction, and long-term effectiveness.\nResults\nThe review will synthesize evidence on the comparative effectiveness of application-based, wearable-based, and telemonitoring interventions. It will also highlight gaps in existing research and explore factors influencing patient engagement and intervention success.\nConclusions\nThis systematic review will provide comprehensive evidence on the effectiveness of mHealth interventions in cancer symptom management. The findings aim to guide clinicians, researchers, and developers in designing optimized digital health strategies for cancer care, and to inform future research addressing current gaps in comparative effectiveness and long-term outcomes.\nKeywords\nmHealth; cancer; fatigue; symptom management; telemonitoring; wearable devices; mobile applications; systematic review\n\n\n### Correspondence: C. Elattabi (celattabi@um6ss.ma)\nBMC Proceedings 2026, 20(11):A27\nAbstract\nObjective\nThis systematic review aims to evaluate and compare the effectiveness of different mHealth interventions for symptom management in cancer patients, focusing on fatigue, pain, nausea, and anxiety.\nMethods\nA systematic search was conducted in PubMed, Embase, Web of Science, and Cochrane Library for studies published up to 2025. Studies involving cancer patients using mobile applications, wearable devices, or telemonitoring interventions were included. Primary outcomes include symptom severity and quality of life, while secondary outcomes include adherence, patient satisfaction, and long-term effectiveness.\nResults\nThe review will synthesize evidence on the comparative effectiveness of application-based, wearable-based, and telemonitoring interventions. It will also highlight gaps in existing research and explore factors influencing patient engagement and intervention success.\nConclusions\nThis systematic review will provide comprehensive evidence on the effectiveness of mHealth interventions in cancer symptom management. The findings aim to guide clinicians, researchers, and developers in designing optimized digital health strategies for cancer care, and to inform future research addressing current gaps in comparative effectiveness and long-term outcomes.\nKeywords\nmHealth; cancer; fatigue; symptom management; telemonitoring; wearable devices; mobile applications; systematic review\n\n\n### O9 Empowering rural caregivers: a triple-win approach to equity, participation, and sustainability\nBMC Proceedings 2026, 20(11):O9\nBackground\nFamily caregivers, as backbone of many long-term care systems in Europe, often experience fragmented support networks, limited-service access, and disproportionate mental load. Additionally, multiple crises compound these challenges for family caregivers, including the economic crisis, as well as the climate crisis. Also, societal changes, such as digitalization and socio-ecological transformation often risk leaving vulnerable groups, including family caregivers, behind.\nMaterials and Methods\nWithin the 3WINpA project, promoting climate-conscious practices, social participation, and health promotion, we conducted a participatory Design Thinking process with caregivers and professionals in the Waldviertler Kernland region of Lower Austria based on previously conducted literature review, quantitative survey and qualitative workshops. The goal was to co-create a digital solution addressing inequities in access and coordination. The outcome was the BetreuungsKompass, a hybrid network-mapping and task-coordination prototype designed to make support networks visible, reduce caregiver burden, and overcome barriers related to connectivity, literacy, and access.\nThe co-design process involved three workshops with end-users. First, informal caregivers and health care professionals, including community nurses and regional actors, explored everyday challenges using prototypical personas and developed three concepts to choose from. Secondly, these ideas were assessed for feasibility, potential outcomes, and equity impact. Thirdly, a clickable prototype with administrator and network-partner perspectives was presented and tested. Caregivers and professionals provided structured feedback through click-through sessions and annotated printouts, which informed iterative refinements.\nResults\nThe workshops demonstrated that visualizing caregiving networks reveals hidden resources and structural gaps, creating opportunities for a fairer distribution of tasks. Caregivers emphasized that coordination often fails not due to unwillingness but because of infrastructural barriers such as unstable internet, shared devices, and limited digital literacy. Professionals highlighted their role in onboarding: community nurses and similar actors from the local care environment can guide caregivers in mapping networks and assist with adding partners. This hybrid approach strengthens trust and accessibility while reducing the mental load borne by primary caregivers. The resulting prototype integrates equity guardrails, including offline functionality and simplified navigation, ensuring that digitally inexperienced users are not excluded.\nConclusions\nThis participatory Design Thinking process shows how digital health solutions can be tailored to reduce health disparities in underserved rural contexts. Embedding equity features from the outset and integrating professional actors into onboarding and facilitation, the BetreuungsKompass addresses infrastructural barriers, supports fairer care distribution, and reduces caregiver burden. The digital tool, co-developed with Waldviertler Kernland, is ready for real-world implementation and evaluation of its long-term impact.\n\n\n### M. Ernst1, J. Pflegerl1, D. Maurer2, A. Schmidt3, C. Lampl3, J. Goldgruber4, S. Dohr4, G. Paulinger5, P. Plunger3, V. Gallistl-Kassing5, W. Kratky4, E. Turk1\nBMC Proceedings 2026, 20(11):O9\nBackground\nFamily caregivers, as backbone of many long-term care systems in Europe, often experience fragmented support networks, limited-service access, and disproportionate mental load. Additionally, multiple crises compound these challenges for family caregivers, including the economic crisis, as well as the climate crisis. Also, societal changes, such as digitalization and socio-ecological transformation often risk leaving vulnerable groups, including family caregivers, behind.\nMaterials and Methods\nWithin the 3WINpA project, promoting climate-conscious practices, social participation, and health promotion, we conducted a participatory Design Thinking process with caregivers and professionals in the Waldviertler Kernland region of Lower Austria based on previously conducted literature review, quantitative survey and qualitative workshops. The goal was to co-create a digital solution addressing inequities in access and coordination. The outcome was the BetreuungsKompass, a hybrid network-mapping and task-coordination prototype designed to make support networks visible, reduce caregiver burden, and overcome barriers related to connectivity, literacy, and access.\nThe co-design process involved three workshops with end-users. First, informal caregivers and health care professionals, including community nurses and regional actors, explored everyday challenges using prototypical personas and developed three concepts to choose from. Secondly, these ideas were assessed for feasibility, potential outcomes, and equity impact. Thirdly, a clickable prototype with administrator and network-partner perspectives was presented and tested. Caregivers and professionals provided structured feedback through click-through sessions and annotated printouts, which informed iterative refinements.\nResults\nThe workshops demonstrated that visualizing caregiving networks reveals hidden resources and structural gaps, creating opportunities for a fairer distribution of tasks. Caregivers emphasized that coordination often fails not due to unwillingness but because of infrastructural barriers such as unstable internet, shared devices, and limited digital literacy. Professionals highlighted their role in onboarding: community nurses and similar actors from the local care environment can guide caregivers in mapping networks and assist with adding partners. This hybrid approach strengthens trust and accessibility while reducing the mental load borne by primary caregivers. The resulting prototype integrates equity guardrails, including offline functionality and simplified navigation, ensuring that digitally inexperienced users are not excluded.\nConclusions\nThis participatory Design Thinking process shows how digital health solutions can be tailored to reduce health disparities in underserved rural contexts. Embedding equity features from the outset and integrating professional actors into onboarding and facilitation, the BetreuungsKompass addresses infrastructural barriers, supports fairer care distribution, and reduces caregiver burden. The digital tool, co-developed with Waldviertler Kernland, is ready for real-world implementation and evaluation of its long-term impact.\n\n\n### 1University of Applied Sciences St. Pölten, Austria; 2Verein Kleinregion Waldviertler Kernland, Ottenschlag, Austria; 3Gesundheit Österreich GmbH (GÖG), Vienna, Austria; 4Geriatrische Gesundheitszentren der Stadt Graz (GGZ), Graz, Austria; 5Karl Landsteiner University of Health Sciences, Krems an der Donau, Austria\nBMC Proceedings 2026, 20(11):O9\nBackground\nFamily caregivers, as backbone of many long-term care systems in Europe, often experience fragmented support networks, limited-service access, and disproportionate mental load. Additionally, multiple crises compound these challenges for family caregivers, including the economic crisis, as well as the climate crisis. Also, societal changes, such as digitalization and socio-ecological transformation often risk leaving vulnerable groups, including family caregivers, behind.\nMaterials and Methods\nWithin the 3WINpA project, promoting climate-conscious practices, social participation, and health promotion, we conducted a participatory Design Thinking process with caregivers and professionals in the Waldviertler Kernland region of Lower Austria based on previously conducted literature review, quantitative survey and qualitative workshops. The goal was to co-create a digital solution addressing inequities in access and coordination. The outcome was the BetreuungsKompass, a hybrid network-mapping and task-coordination prototype designed to make support networks visible, reduce caregiver burden, and overcome barriers related to connectivity, literacy, and access.\nThe co-design process involved three workshops with end-users. First, informal caregivers and health care professionals, including community nurses and regional actors, explored everyday challenges using prototypical personas and developed three concepts to choose from. Secondly, these ideas were assessed for feasibility, potential outcomes, and equity impact. Thirdly, a clickable prototype with administrator and network-partner perspectives was presented and tested. Caregivers and professionals provided structured feedback through click-through sessions and annotated printouts, which informed iterative refinements.\nResults\nThe workshops demonstrated that visualizing caregiving networks reveals hidden resources and structural gaps, creating opportunities for a fairer distribution of tasks. Caregivers emphasized that coordination often fails not due to unwillingness but because of infrastructural barriers such as unstable internet, shared devices, and limited digital literacy. Professionals highlighted their role in onboarding: community nurses and similar actors from the local care environment can guide caregivers in mapping networks and assist with adding partners. This hybrid approach strengthens trust and accessibility while reducing the mental load borne by primary caregivers. The resulting prototype integrates equity guardrails, including offline functionality and simplified navigation, ensuring that digitally inexperienced users are not excluded.\nConclusions\nThis participatory Design Thinking process shows how digital health solutions can be tailored to reduce health disparities in underserved rural contexts. Embedding equity features from the outset and integrating professional actors into onboarding and facilitation, the BetreuungsKompass addresses infrastructural barriers, supports fairer care distribution, and reduces caregiver burden. The digital tool, co-developed with Waldviertler Kernland, is ready for real-world implementation and evaluation of its long-term impact.\n\n\n### P1 Management of drug-related risks in pregnant women in community pharmacy: contribution of a digital assistance platform\nBMC Proceedings 2026, 20(11):P1\nBackground\nPregnancy is a unique period characterized by profound physiological and psychological changes. The use of medications during pregnancy is frequent but raises considerable anxiety among both pregnant women and healthcare professionals due to the potential teratogenic, embryotoxic, or fetotoxic risks. Community pharmacists, as highly accessible healthcare professionals, are often the first point of contact for pregnant women seeking information or reassurance. Nevertheless, their role is hampered by insufficient continuing education and the lack of practical decision-support tools adapted to the Moroccan context.\nThe aim of this study was twofold: first, to assess the knowledge, attitudes, and practices of pharmacists and pharmacy staff in managing medication use during pregnancy; and second, to develop an interactive website designed as a decision-support platform to enhance community pharmacy practice.\nMaterials and methods\nA cross-sectional descriptive survey was conducted over a period of 5 months, involving 120 pharmacists, 80 pharmacy assistants, and 150 pregnant women. Two structured questionnaires were used to explore:the training and professional practices of pharmacists and their staff,the difficulties encountered in dispensing medications during pregnancy.\nthe training and professional practices of pharmacists and their staff,\nthe difficulties encountered in dispensing medications during pregnancy.\nCollected data were analyzed descriptively. Based on the findings, a user-friendly website was designed to provide:an overview of the most frequent pregnancy-related conditions,evidence-based hygiene and dietetic recommendations,validated therapeutic drug options considered safe for use during pregnancy,a rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nan overview of the most frequent pregnancy-related conditions,\nevidence-based hygiene and dietetic recommendations,\nvalidated therapeutic drug options considered safe for use during pregnancy,\na rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nResults\nThe most common conditions reported by pregnant women were nausea and vomiting (90%), constipation (65%), urinary tract infections (53%), and lower back pain (52%). Although 84% of pharmacists reported using databases such as CRAT (Reference Center on Teratogenic Agents), most acknowledged their limited applicability to the Moroccan setting. Furthermore, 72% expressed a strong need for a clear, French-language, locally adapted tool. The developed website was tested by a sample of professionals, of whom 89% rated it as relevant and useful, particularly for its accessibility, time-saving features, and its contribution to safer dispensing and improved counseling.\nConclusions\nDispensing medications to pregnant women remains a complex and sensitive task requiring vigilance, up-to-date knowledge, and effective communication. The digital tool developed in this study represents an innovative solution that strengthens the pharmacist’s role, provides validated and context-appropriate information, and fosters trust between patients and healthcare providers. Its implementation in community pharmacies could significantly improve drug safety and maternal care in Morocco.\n\n\n### A. Tchimou, S. Mouni, W. Enneffah, A. Hinda, J. Lamsaouri, M. El Wartiti\nBMC Proceedings 2026, 20(11):P1\nBackground\nPregnancy is a unique period characterized by profound physiological and psychological changes. The use of medications during pregnancy is frequent but raises considerable anxiety among both pregnant women and healthcare professionals due to the potential teratogenic, embryotoxic, or fetotoxic risks. Community pharmacists, as highly accessible healthcare professionals, are often the first point of contact for pregnant women seeking information or reassurance. Nevertheless, their role is hampered by insufficient continuing education and the lack of practical decision-support tools adapted to the Moroccan context.\nThe aim of this study was twofold: first, to assess the knowledge, attitudes, and practices of pharmacists and pharmacy staff in managing medication use during pregnancy; and second, to develop an interactive website designed as a decision-support platform to enhance community pharmacy practice.\nMaterials and methods\nA cross-sectional descriptive survey was conducted over a period of 5 months, involving 120 pharmacists, 80 pharmacy assistants, and 150 pregnant women. Two structured questionnaires were used to explore:the training and professional practices of pharmacists and their staff,the difficulties encountered in dispensing medications during pregnancy.\nthe training and professional practices of pharmacists and their staff,\nthe difficulties encountered in dispensing medications during pregnancy.\nCollected data were analyzed descriptively. Based on the findings, a user-friendly website was designed to provide:an overview of the most frequent pregnancy-related conditions,evidence-based hygiene and dietetic recommendations,validated therapeutic drug options considered safe for use during pregnancy,a rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nan overview of the most frequent pregnancy-related conditions,\nevidence-based hygiene and dietetic recommendations,\nvalidated therapeutic drug options considered safe for use during pregnancy,\na rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nResults\nThe most common conditions reported by pregnant women were nausea and vomiting (90%), constipation (65%), urinary tract infections (53%), and lower back pain (52%). Although 84% of pharmacists reported using databases such as CRAT (Reference Center on Teratogenic Agents), most acknowledged their limited applicability to the Moroccan setting. Furthermore, 72% expressed a strong need for a clear, French-language, locally adapted tool. The developed website was tested by a sample of professionals, of whom 89% rated it as relevant and useful, particularly for its accessibility, time-saving features, and its contribution to safer dispensing and improved counseling.\nConclusions\nDispensing medications to pregnant women remains a complex and sensitive task requiring vigilance, up-to-date knowledge, and effective communication. The digital tool developed in this study represents an innovative solution that strengthens the pharmacist’s role, provides validated and context-appropriate information, and fosters trust between patients and healthcare providers. Its implementation in community pharmacies could significantly improve drug safety and maternal care in Morocco.\n\n\n### Faculté de Médecine et de Pharmacie, Université Mohammed V, Rabat, 8007, Morocco\nBMC Proceedings 2026, 20(11):P1\nBackground\nPregnancy is a unique period characterized by profound physiological and psychological changes. The use of medications during pregnancy is frequent but raises considerable anxiety among both pregnant women and healthcare professionals due to the potential teratogenic, embryotoxic, or fetotoxic risks. Community pharmacists, as highly accessible healthcare professionals, are often the first point of contact for pregnant women seeking information or reassurance. Nevertheless, their role is hampered by insufficient continuing education and the lack of practical decision-support tools adapted to the Moroccan context.\nThe aim of this study was twofold: first, to assess the knowledge, attitudes, and practices of pharmacists and pharmacy staff in managing medication use during pregnancy; and second, to develop an interactive website designed as a decision-support platform to enhance community pharmacy practice.\nMaterials and methods\nA cross-sectional descriptive survey was conducted over a period of 5 months, involving 120 pharmacists, 80 pharmacy assistants, and 150 pregnant women. Two structured questionnaires were used to explore:the training and professional practices of pharmacists and their staff,the difficulties encountered in dispensing medications during pregnancy.\nthe training and professional practices of pharmacists and their staff,\nthe difficulties encountered in dispensing medications during pregnancy.\nCollected data were analyzed descriptively. Based on the findings, a user-friendly website was designed to provide:an overview of the most frequent pregnancy-related conditions,evidence-based hygiene and dietetic recommendations,validated therapeutic drug options considered safe for use during pregnancy,a rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nan overview of the most frequent pregnancy-related conditions,\nevidence-based hygiene and dietetic recommendations,\nvalidated therapeutic drug options considered safe for use during pregnancy,\na rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nResults\nThe most common conditions reported by pregnant women were nausea and vomiting (90%), constipation (65%), urinary tract infections (53%), and lower back pain (52%). Although 84% of pharmacists reported using databases such as CRAT (Reference Center on Teratogenic Agents), most acknowledged their limited applicability to the Moroccan setting. Furthermore, 72% expressed a strong need for a clear, French-language, locally adapted tool. The developed website was tested by a sample of professionals, of whom 89% rated it as relevant and useful, particularly for its accessibility, time-saving features, and its contribution to safer dispensing and improved counseling.\nConclusions\nDispensing medications to pregnant women remains a complex and sensitive task requiring vigilance, up-to-date knowledge, and effective communication. The digital tool developed in this study represents an innovative solution that strengthens the pharmacist’s role, provides validated and context-appropriate information, and fosters trust between patients and healthcare providers. Its implementation in community pharmacies could significantly improve drug safety and maternal care in Morocco.\n\n\n### Correspondence: A. Tchimou (ar.tchimou@yahoo.com)\nBMC Proceedings 2026, 20(11):P1\nBackground\nPregnancy is a unique period characterized by profound physiological and psychological changes. The use of medications during pregnancy is frequent but raises considerable anxiety among both pregnant women and healthcare professionals due to the potential teratogenic, embryotoxic, or fetotoxic risks. Community pharmacists, as highly accessible healthcare professionals, are often the first point of contact for pregnant women seeking information or reassurance. Nevertheless, their role is hampered by insufficient continuing education and the lack of practical decision-support tools adapted to the Moroccan context.\nThe aim of this study was twofold: first, to assess the knowledge, attitudes, and practices of pharmacists and pharmacy staff in managing medication use during pregnancy; and second, to develop an interactive website designed as a decision-support platform to enhance community pharmacy practice.\nMaterials and methods\nA cross-sectional descriptive survey was conducted over a period of 5 months, involving 120 pharmacists, 80 pharmacy assistants, and 150 pregnant women. Two structured questionnaires were used to explore:the training and professional practices of pharmacists and their staff,the difficulties encountered in dispensing medications during pregnancy.\nthe training and professional practices of pharmacists and their staff,\nthe difficulties encountered in dispensing medications during pregnancy.\nCollected data were analyzed descriptively. Based on the findings, a user-friendly website was designed to provide:an overview of the most frequent pregnancy-related conditions,evidence-based hygiene and dietetic recommendations,validated therapeutic drug options considered safe for use during pregnancy,a rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nan overview of the most frequent pregnancy-related conditions,\nevidence-based hygiene and dietetic recommendations,\nvalidated therapeutic drug options considered safe for use during pregnancy,\na rapid search engine with an intuitive interface suitable for use at the pharmacy counter.\nResults\nThe most common conditions reported by pregnant women were nausea and vomiting (90%), constipation (65%), urinary tract infections (53%), and lower back pain (52%). Although 84% of pharmacists reported using databases such as CRAT (Reference Center on Teratogenic Agents), most acknowledged their limited applicability to the Moroccan setting. Furthermore, 72% expressed a strong need for a clear, French-language, locally adapted tool. The developed website was tested by a sample of professionals, of whom 89% rated it as relevant and useful, particularly for its accessibility, time-saving features, and its contribution to safer dispensing and improved counseling.\nConclusions\nDispensing medications to pregnant women remains a complex and sensitive task requiring vigilance, up-to-date knowledge, and effective communication. The digital tool developed in this study represents an innovative solution that strengthens the pharmacist’s role, provides validated and context-appropriate information, and fosters trust between patients and healthcare providers. Its implementation in community pharmacies could significantly improve drug safety and maternal care in Morocco.\n\n\n### P2 The acceptability, benefits and challenges of the new hospital information system “SIH” in Morocco\nBMC Proceedings 2026, 20(11):P2\nBackground\nAs part of the national digitalization of public services, Morocco has introduced a new Hospital Information System (HIS). The success of such initiatives depends largely on staff acceptance, which determines effective implementation and potential impacts on healthcare delivery. Understanding the acceptability, benefits, and challenges of the HIS is therefore essential for guiding future policy and practice.\nMaterials and Methods\nA cross-sectional survey was conducted among staff in four hospitals to assess perceptions of HIS adoption. Data were collected through a structured questionnaire and analyzed using SPSS. The study was guided by the RE-AIM framework, with a specific focus on the “adoption” dimension. Constructs from the Technology Acceptance Model (TAM), combined with Ajzen’s Theory of Planned Behavior, were used to evaluate perceived usefulness, ease of use, subjective norms, and behavioral control in relation to HIS adoption.\nResults\nThe majority of respondents were young professionals (68%). Perceived ease of use was significantly associated with age (P = 0.034). Regarding perceived usefulness, 61.5% reported that the HIS facilitated their daily tasks. The overall level of acceptability was approximately 65%, although 23% of participants indicated that system outputs did not adequately meet their information needs. A significant association was also observed between subjective norms and intention to use the system (P = 0.019). Motivation and incentives were highlighted by most respondents as important factors for adoption. Behavioral control was found to positively influence adoption behavior, although it did not show a significant association with intention to use.\nConclusions\nThe study highlights moderate levels of HIS acceptability among Moroccan hospital staff, with perceived usefulness and subjective norms playing key roles in adoption. Effective communication of system benefits and the provision of targeted support are essential to address barriers and enhance implementation. These findings suggest that future strategies should focus on strengthening user motivation, improving system outputs, and fostering supportive organizational environments to maximize the potential of HIS in improving public health outcomes.\n\n\n### L. Hassani Guennouni1, Y. Hamdaoui2\nBMC Proceedings 2026, 20(11):P2\nBackground\nAs part of the national digitalization of public services, Morocco has introduced a new Hospital Information System (HIS). The success of such initiatives depends largely on staff acceptance, which determines effective implementation and potential impacts on healthcare delivery. Understanding the acceptability, benefits, and challenges of the HIS is therefore essential for guiding future policy and practice.\nMaterials and Methods\nA cross-sectional survey was conducted among staff in four hospitals to assess perceptions of HIS adoption. Data were collected through a structured questionnaire and analyzed using SPSS. The study was guided by the RE-AIM framework, with a specific focus on the “adoption” dimension. Constructs from the Technology Acceptance Model (TAM), combined with Ajzen’s Theory of Planned Behavior, were used to evaluate perceived usefulness, ease of use, subjective norms, and behavioral control in relation to HIS adoption.\nResults\nThe majority of respondents were young professionals (68%). Perceived ease of use was significantly associated with age (P = 0.034). Regarding perceived usefulness, 61.5% reported that the HIS facilitated their daily tasks. The overall level of acceptability was approximately 65%, although 23% of participants indicated that system outputs did not adequately meet their information needs. A significant association was also observed between subjective norms and intention to use the system (P = 0.019). Motivation and incentives were highlighted by most respondents as important factors for adoption. Behavioral control was found to positively influence adoption behavior, although it did not show a significant association with intention to use.\nConclusions\nThe study highlights moderate levels of HIS acceptability among Moroccan hospital staff, with perceived usefulness and subjective norms playing key roles in adoption. Effective communication of system benefits and the provision of targeted support are essential to address barriers and enhance implementation. These findings suggest that future strategies should focus on strengthening user motivation, improving system outputs, and fostering supportive organizational environments to maximize the potential of HIS in improving public health outcomes.\n\n\n### 1National School of Commerce and Management of Fez, Morocco; 2Faculty of Legal, Economic and Social Sciences of Fez, Morocco\nBMC Proceedings 2026, 20(11):P2\nBackground\nAs part of the national digitalization of public services, Morocco has introduced a new Hospital Information System (HIS). The success of such initiatives depends largely on staff acceptance, which determines effective implementation and potential impacts on healthcare delivery. Understanding the acceptability, benefits, and challenges of the HIS is therefore essential for guiding future policy and practice.\nMaterials and Methods\nA cross-sectional survey was conducted among staff in four hospitals to assess perceptions of HIS adoption. Data were collected through a structured questionnaire and analyzed using SPSS. The study was guided by the RE-AIM framework, with a specific focus on the “adoption” dimension. Constructs from the Technology Acceptance Model (TAM), combined with Ajzen’s Theory of Planned Behavior, were used to evaluate perceived usefulness, ease of use, subjective norms, and behavioral control in relation to HIS adoption.\nResults\nThe majority of respondents were young professionals (68%). Perceived ease of use was significantly associated with age (P = 0.034). Regarding perceived usefulness, 61.5% reported that the HIS facilitated their daily tasks. The overall level of acceptability was approximately 65%, although 23% of participants indicated that system outputs did not adequately meet their information needs. A significant association was also observed between subjective norms and intention to use the system (P = 0.019). Motivation and incentives were highlighted by most respondents as important factors for adoption. Behavioral control was found to positively influence adoption behavior, although it did not show a significant association with intention to use.\nConclusions\nThe study highlights moderate levels of HIS acceptability among Moroccan hospital staff, with perceived usefulness and subjective norms playing key roles in adoption. Effective communication of system benefits and the provision of targeted support are essential to address barriers and enhance implementation. These findings suggest that future strategies should focus on strengthening user motivation, improving system outputs, and fostering supportive organizational environments to maximize the potential of HIS in improving public health outcomes.\n\n\n### Correspondence: L. Hassani Guennouni (guennounilina@gmail.com)\nBMC Proceedings 2026, 20(11):P2\nBackground\nAs part of the national digitalization of public services, Morocco has introduced a new Hospital Information System (HIS). The success of such initiatives depends largely on staff acceptance, which determines effective implementation and potential impacts on healthcare delivery. Understanding the acceptability, benefits, and challenges of the HIS is therefore essential for guiding future policy and practice.\nMaterials and Methods\nA cross-sectional survey was conducted among staff in four hospitals to assess perceptions of HIS adoption. Data were collected through a structured questionnaire and analyzed using SPSS. The study was guided by the RE-AIM framework, with a specific focus on the “adoption” dimension. Constructs from the Technology Acceptance Model (TAM), combined with Ajzen’s Theory of Planned Behavior, were used to evaluate perceived usefulness, ease of use, subjective norms, and behavioral control in relation to HIS adoption.\nResults\nThe majority of respondents were young professionals (68%). Perceived ease of use was significantly associated with age (P = 0.034). Regarding perceived usefulness, 61.5% reported that the HIS facilitated their daily tasks. The overall level of acceptability was approximately 65%, although 23% of participants indicated that system outputs did not adequately meet their information needs. A significant association was also observed between subjective norms and intention to use the system (P = 0.019). Motivation and incentives were highlighted by most respondents as important factors for adoption. Behavioral control was found to positively influence adoption behavior, although it did not show a significant association with intention to use.\nConclusions\nThe study highlights moderate levels of HIS acceptability among Moroccan hospital staff, with perceived usefulness and subjective norms playing key roles in adoption. Effective communication of system benefits and the provision of targeted support are essential to address barriers and enhance implementation. These findings suggest that future strategies should focus on strengthening user motivation, improving system outputs, and fostering supportive organizational environments to maximize the potential of HIS in improving public health outcomes.\n\n\n### P3 First documentation of nonsyndromic hearing loss due to GJB2 compound heterozygous variants in an Ivorian family\nBMC Proceedings 2026, 20(11):P3\nBackground\nThe primary etiology of congenital hearing loss is attributed to genetic factors with GJB2 identified as a pivotal gene across diverse ethnic groups. Additionally, nonsyndromic hearing loss is predominantly inherited in an autosomal recessive manner.\nMaterials and Methods\nWe used Sanger sequencing to analyze GJB2 in 17 deaf children from 13 unrelated families in Ivory Coast.\nResults\nOne family had two children born with severe congenital deafness and exhibited pathogenic compound heterozygous variants. These variants included a nonsense substitution (c.132G>A; p.Trp44Ter) and a newly discovered duplication of seven base pairs (c.205_211dupTTCCCCA; p.Ser72ProfsTer32).\nConclusion\nThis study provides the first evidence of GJB2 pathogenic variants causing congenital hearing loss in an Ivorian family. Segregation analysis confirmed the variants and notably, the identified duplication represents a novel mutation that has never been reported worldwide.\n\n\n### M. Toure1,2, G. Amalou1, I. Ait Raise1, N. Max Ange Mobio3, A. Malki2, A. Barakat1\nBMC Proceedings 2026, 20(11):P3\nBackground\nThe primary etiology of congenital hearing loss is attributed to genetic factors with GJB2 identified as a pivotal gene across diverse ethnic groups. Additionally, nonsyndromic hearing loss is predominantly inherited in an autosomal recessive manner.\nMaterials and Methods\nWe used Sanger sequencing to analyze GJB2 in 17 deaf children from 13 unrelated families in Ivory Coast.\nResults\nOne family had two children born with severe congenital deafness and exhibited pathogenic compound heterozygous variants. These variants included a nonsense substitution (c.132G>A; p.Trp44Ter) and a newly discovered duplication of seven base pairs (c.205_211dupTTCCCCA; p.Ser72ProfsTer32).\nConclusion\nThis study provides the first evidence of GJB2 pathogenic variants causing congenital hearing loss in an Ivorian family. Segregation analysis confirmed the variants and notably, the identified duplication represents a novel mutation that has never been reported worldwide.\n\n\n### 1Genomics and Human Genetics Laboratory, Institut Pasteur du Maroc, Casablanca, Morocco; 2Ben M’Sik Faculty of Science, Hassan II University of Casablanca, Casablanca, Morocco; 3ENT Department, University Hospital Medical Center of Treichville, Abidjan, Côte d’Ivoire, Ivory Coast\nBMC Proceedings 2026, 20(11):P3\nBackground\nThe primary etiology of congenital hearing loss is attributed to genetic factors with GJB2 identified as a pivotal gene across diverse ethnic groups. Additionally, nonsyndromic hearing loss is predominantly inherited in an autosomal recessive manner.\nMaterials and Methods\nWe used Sanger sequencing to analyze GJB2 in 17 deaf children from 13 unrelated families in Ivory Coast.\nResults\nOne family had two children born with severe congenital deafness and exhibited pathogenic compound heterozygous variants. These variants included a nonsense substitution (c.132G>A; p.Trp44Ter) and a newly discovered duplication of seven base pairs (c.205_211dupTTCCCCA; p.Ser72ProfsTer32).\nConclusion\nThis study provides the first evidence of GJB2 pathogenic variants causing congenital hearing loss in an Ivorian family. Segregation analysis confirmed the variants and notably, the identified duplication represents a novel mutation that has never been reported worldwide.\n\n\n### P4 Study protocol of AI-driven prediction of pediatric diarrheal pathogen dynamics using clinical and metagenomic data in Morocco\nBMC Proceedings 2026, 20(11):P4\nBackground\nRotavirus continues to be a leading cause of acute diarrhea in children under five despite the introduction of vaccination. In Morocco, current surveillance systems rely mainly on routine laboratory confirmation of cases and do not capture the full microbial etiology or enable predictive monitoring of vaccine impact. The integration of clinical and metagenomic data through artificial intelligence (AI) offers an innovative approach to improve predictive surveillance and public health decision making.\nMaterial and Methods\nWe propose a prospective collection of fecal and clinical data from children with acute diarrhea across sentinel sites in Morocco. Clinical variables (e.g., age, vaccination status, dehydration severity) will be recorded in standardized forms. Rotavirus detection, genotyping, and metagenomic sequencing will be conducted, and sequencing outputs will be processed through bioinformatics pipelines to generate structured microbial profiles. Clinical and metagenomic datasets will be merged into a unified database. Machine learning algorithms will be trained to identify predictive associations between clinical presentation, viral genotypes, and co-infections, and to forecast temporal geographic trends of rotavirus circulation.\nResults\nThis study is expected to generate the first Moroccan dataset combining clinical descriptors with metagenomic surveillance of rotavirus. AI models will be evaluated for their predictive accuracy in identifying high-risk cases and anticipating outbreaks.\nThe integration of vaccination status, viral genotype distribution, and patient severity scores is hypothesized to provide superior predictive capacity compared to traditional surveillance methods.\nConclusion\nThe integration of AI with clinical and metagenomic data represents a transformative approach to rotavirus vaccine impact surveillance. This predictive framework will enhance our ability to monitor complex pathogen dynamics, anticipate epidemiological shifts, and assess long-term vaccine effectiveness more effectively than conventional methods. The insights gained will be crucial for informing evidence-based public health interventions, optimizing vaccine policies, and ultimately contributing to improved child health outcomes worldwide, moving from a reactive to proactive approach for managing infectious disease.\nKeywords\nRotavirus, Clinical Data, Metagenomics, Artificial Intelligence, Digital Health, Predictive Surveillance.\n\n\n### K. Imani1,2, M. Snoussi1,3, M. Kettani-Halabi1,4, A. Chakib1,3,5, I. Diawara1,2,6, N. Dini1,3,5\nBMC Proceedings 2026, 20(11):P4\nBackground\nRotavirus continues to be a leading cause of acute diarrhea in children under five despite the introduction of vaccination. In Morocco, current surveillance systems rely mainly on routine laboratory confirmation of cases and do not capture the full microbial etiology or enable predictive monitoring of vaccine impact. The integration of clinical and metagenomic data through artificial intelligence (AI) offers an innovative approach to improve predictive surveillance and public health decision making.\nMaterial and Methods\nWe propose a prospective collection of fecal and clinical data from children with acute diarrhea across sentinel sites in Morocco. Clinical variables (e.g., age, vaccination status, dehydration severity) will be recorded in standardized forms. Rotavirus detection, genotyping, and metagenomic sequencing will be conducted, and sequencing outputs will be processed through bioinformatics pipelines to generate structured microbial profiles. Clinical and metagenomic datasets will be merged into a unified database. Machine learning algorithms will be trained to identify predictive associations between clinical presentation, viral genotypes, and co-infections, and to forecast temporal geographic trends of rotavirus circulation.\nResults\nThis study is expected to generate the first Moroccan dataset combining clinical descriptors with metagenomic surveillance of rotavirus. AI models will be evaluated for their predictive accuracy in identifying high-risk cases and anticipating outbreaks.\nThe integration of vaccination status, viral genotype distribution, and patient severity scores is hypothesized to provide superior predictive capacity compared to traditional surveillance methods.\nConclusion\nThe integration of AI with clinical and metagenomic data represents a transformative approach to rotavirus vaccine impact surveillance. This predictive framework will enhance our ability to monitor complex pathogen dynamics, anticipate epidemiological shifts, and assess long-term vaccine effectiveness more effectively than conventional methods. The insights gained will be crucial for informing evidence-based public health interventions, optimizing vaccine policies, and ultimately contributing to improved child health outcomes worldwide, moving from a reactive to proactive approach for managing infectious disease.\nKeywords\nRotavirus, Clinical Data, Metagenomics, Artificial Intelligence, Digital Health, Predictive Surveillance.\n\n\n### 1Mohammed VI University of Sciences and Health (UM6SS), Mohammed VI Faculty of Medicine, Laboratory of Microbiology, Infectious Diseases, Allergology and Pathogen Surveillance (LARMIAS), Casablanca, Morocco; 2Mohammed VI University of Sciences and Health (UM6SS), Mohammed VI Higher Institute of Biosciences and Biotechnologies, Morocco; 3Cheikh Khalifa International University Hospital, Casablanca, Morocco; 4Mohammed VI University of Sciences and Health (UM6SS), Mohammed VI Faculty of Pharmacy, Morocco; 5Mohammed VI International University Hospital, Bouskoura, Casablanca, Morocco; 6Mohammed VI Center for Research and Innovation, Rabat, Morocco\nBMC Proceedings 2026, 20(11):P4\nBackground\nRotavirus continues to be a leading cause of acute diarrhea in children under five despite the introduction of vaccination. In Morocco, current surveillance systems rely mainly on routine laboratory confirmation of cases and do not capture the full microbial etiology or enable predictive monitoring of vaccine impact. The integration of clinical and metagenomic data through artificial intelligence (AI) offers an innovative approach to improve predictive surveillance and public health decision making.\nMaterial and Methods\nWe propose a prospective collection of fecal and clinical data from children with acute diarrhea across sentinel sites in Morocco. Clinical variables (e.g., age, vaccination status, dehydration severity) will be recorded in standardized forms. Rotavirus detection, genotyping, and metagenomic sequencing will be conducted, and sequencing outputs will be processed through bioinformatics pipelines to generate structured microbial profiles. Clinical and metagenomic datasets will be merged into a unified database. Machine learning algorithms will be trained to identify predictive associations between clinical presentation, viral genotypes, and co-infections, and to forecast temporal geographic trends of rotavirus circulation.\nResults\nThis study is expected to generate the first Moroccan dataset combining clinical descriptors with metagenomic surveillance of rotavirus. AI models will be evaluated for their predictive accuracy in identifying high-risk cases and anticipating outbreaks.\nThe integration of vaccination status, viral genotype distribution, and patient severity scores is hypothesized to provide superior predictive capacity compared to traditional surveillance methods.\nConclusion\nThe integration of AI with clinical and metagenomic data represents a transformative approach to rotavirus vaccine impact surveillance. This predictive framework will enhance our ability to monitor complex pathogen dynamics, anticipate epidemiological shifts, and assess long-term vaccine effectiveness more effectively than conventional methods. The insights gained will be crucial for informing evidence-based public health interventions, optimizing vaccine policies, and ultimately contributing to improved child health outcomes worldwide, moving from a reactive to proactive approach for managing infectious disease.\nKeywords\nRotavirus, Clinical Data, Metagenomics, Artificial Intelligence, Digital Health, Predictive Surveillance.\n\n\n### Correspondence: K. Imani (kimani@um6ss.ma)\nBMC Proceedings 2026, 20(11):P4\nBackground\nRotavirus continues to be a leading cause of acute diarrhea in children under five despite the introduction of vaccination. In Morocco, current surveillance systems rely mainly on routine laboratory confirmation of cases and do not capture the full microbial etiology or enable predictive monitoring of vaccine impact. The integration of clinical and metagenomic data through artificial intelligence (AI) offers an innovative approach to improve predictive surveillance and public health decision making.\nMaterial and Methods\nWe propose a prospective collection of fecal and clinical data from children with acute diarrhea across sentinel sites in Morocco. Clinical variables (e.g., age, vaccination status, dehydration severity) will be recorded in standardized forms. Rotavirus detection, genotyping, and metagenomic sequencing will be conducted, and sequencing outputs will be processed through bioinformatics pipelines to generate structured microbial profiles. Clinical and metagenomic datasets will be merged into a unified database. Machine learning algorithms will be trained to identify predictive associations between clinical presentation, viral genotypes, and co-infections, and to forecast temporal geographic trends of rotavirus circulation.\nResults\nThis study is expected to generate the first Moroccan dataset combining clinical descriptors with metagenomic surveillance of rotavirus. AI models will be evaluated for their predictive accuracy in identifying high-risk cases and anticipating outbreaks.\nThe integration of vaccination status, viral genotype distribution, and patient severity scores is hypothesized to provide superior predictive capacity compared to traditional surveillance methods.\nConclusion\nThe integration of AI with clinical and metagenomic data represents a transformative approach to rotavirus vaccine impact surveillance. This predictive framework will enhance our ability to monitor complex pathogen dynamics, anticipate epidemiological shifts, and assess long-term vaccine effectiveness more effectively than conventional methods. The insights gained will be crucial for informing evidence-based public health interventions, optimizing vaccine policies, and ultimately contributing to improved child health outcomes worldwide, moving from a reactive to proactive approach for managing infectious disease.\nKeywords\nRotavirus, Clinical Data, Metagenomics, Artificial Intelligence, Digital Health, Predictive Surveillance.\n\n\n### P5 Transformative technologies for health in Africa: Pathways for biomedical research valorization and technology transfer\nBMC Proceedings 2026, 20(11):P5\nAbstract\nBiomedical research in Africa is increasingly recognized as a catalyst for innovation and public health transformation. However, the effective translation of research outcomes into tangible health solutions remains limited due to fragmented regulatory environments, weak intellectual property (IP) protection systems, and insufficient alignment between research institutions and industry. The emergence of transformative technologies—including digital health platforms, connected medical devices, and biotechnologies—offers new avenues to close this gap. These tools not only support health sovereignty goals but also enable more efficient valorization of scientific knowledge and structured mechanisms for technology transfer.\nThis study draws on a comparative review of scientific publications (2015–2025), policy frameworks, and institutional reports from key stakeholders such as WHO, the African CDC, WIPO, and the African Medicines Agency. A thematic analysis was conducted across three strategic technological pillars: (i) digital health and e-health systems, (ii) Internet of Medical Things (IoMT) and connected devices, and (iii) biotechnologies—including vaccine development and biodiversity valorization. The analysis focused on identifying both systemic barriers and enabling factors for successful research valorization and industrial scale-up.\nFindings demonstrate that digital health platforms are improving healthcare accessibility in underserved areas and are fostering new ecosystems for health data generation and secondary use. However, these initiatives continue to face challenges related to interoperability, governance, and standardization. The deployment of IoMT and connected devices has shown high promise in areas such as chronic disease management, remote monitoring, and sports medicine, but progress is constrained by limited local manufacturing capacity and underdeveloped data protection frameworks.\nBiotechnological advances, particularly in vaccine production and bio-therapeutics, illustrate Africa’s potential to align research capacity with industrial and public health needs. Examples from Morocco, South Africa, and Rwanda highlight the role of public–private partnerships in enabling sustainable innovation pathways. Across all three domains, recurring obstacles include insufficient financial investment, limited IP awareness among researchers, and a lack of harmonized regional frameworks to support cross-border innovation transfer. Nevertheless, the establishment of the African Medicines Agency, continental vaccine manufacturing strategies, and growing university–industry partnerships indicate a favorable shift toward systemic support for biomedical innovation in Africa.\nTransformative technologies offer concrete pathways to accelerate the valorization of African biomedical research and operationalize effective technology transfer. Achieving this requires coordinated strategies that integrate regulatory reforms, regional harmonization, targeted investment, and capacity building across the research-to-industry continuum. By leveraging digital health tools, IoMT infrastructures, and biotechnology platforms, African institutions can reposition themselves as key actors in global health innovation, contributing not only to local healthcare delivery but also to broader international biomedical advancements.\nKeywords\nBiomedical research valorization; technology transfer; digital health; IoMT; biotechnology; Africa; innovation ecosystems; health sovereignty\n\n\n### H. Houssam1,2, A. Er-Regragui1,2, H. Delsa3,5,6, K. Coulibaly3,5,6, S. Iskandar4, I. Bara2,8, A. Bouzyane1,5,6, N. Dini1,5,6, A. Kettani9, I. Diawara1,2,7\nBMC Proceedings 2026, 20(11):P5\nAbstract\nBiomedical research in Africa is increasingly recognized as a catalyst for innovation and public health transformation. However, the effective translation of research outcomes into tangible health solutions remains limited due to fragmented regulatory environments, weak intellectual property (IP) protection systems, and insufficient alignment between research institutions and industry. The emergence of transformative technologies—including digital health platforms, connected medical devices, and biotechnologies—offers new avenues to close this gap. These tools not only support health sovereignty goals but also enable more efficient valorization of scientific knowledge and structured mechanisms for technology transfer.\nThis study draws on a comparative review of scientific publications (2015–2025), policy frameworks, and institutional reports from key stakeholders such as WHO, the African CDC, WIPO, and the African Medicines Agency. A thematic analysis was conducted across three strategic technological pillars: (i) digital health and e-health systems, (ii) Internet of Medical Things (IoMT) and connected devices, and (iii) biotechnologies—including vaccine development and biodiversity valorization. The analysis focused on identifying both systemic barriers and enabling factors for successful research valorization and industrial scale-up.\nFindings demonstrate that digital health platforms are improving healthcare accessibility in underserved areas and are fostering new ecosystems for health data generation and secondary use. However, these initiatives continue to face challenges related to interoperability, governance, and standardization. The deployment of IoMT and connected devices has shown high promise in areas such as chronic disease management, remote monitoring, and sports medicine, but progress is constrained by limited local manufacturing capacity and underdeveloped data protection frameworks.\nBiotechnological advances, particularly in vaccine production and bio-therapeutics, illustrate Africa’s potential to align research capacity with industrial and public health needs. Examples from Morocco, South Africa, and Rwanda highlight the role of public–private partnerships in enabling sustainable innovation pathways. Across all three domains, recurring obstacles include insufficient financial investment, limited IP awareness among researchers, and a lack of harmonized regional frameworks to support cross-border innovation transfer. Nevertheless, the establishment of the African Medicines Agency, continental vaccine manufacturing strategies, and growing university–industry partnerships indicate a favorable shift toward systemic support for biomedical innovation in Africa.\nTransformative technologies offer concrete pathways to accelerate the valorization of African biomedical research and operationalize effective technology transfer. Achieving this requires coordinated strategies that integrate regulatory reforms, regional harmonization, targeted investment, and capacity building across the research-to-industry continuum. By leveraging digital health tools, IoMT infrastructures, and biotechnology platforms, African institutions can reposition themselves as key actors in global health innovation, contributing not only to local healthcare delivery but also to broader international biomedical advancements.\nKeywords\nBiomedical research valorization; technology transfer; digital health; IoMT; biotechnology; Africa; innovation ecosystems; health sovereignty\n\n\n### 1Mohammed VI University of Health Sciences (UM6SS), Faculty of Medicine, Laboratory of Microbiology, Infectious Diseases, Allergology and Pathogen Surveillance (LARMIAS), Casablanca, Morocco; 2Mohammed VI Center for Research and Innovation, Rabat, Morocco; 3Mohammed VI University of Health Sciences (UM6SS), Faculty of Medicine, Casablanca, Morocco; 4UM6SS, Faculty of Pharmacy, Casablanca, Morocco; 5Cheikh Khalifa International University Hospital, Casablanca, Morocco; 6Mohammed VI International University Hospital, Bouskoura, Casablanca, Morocco; 7UM6SS, Higher Institute of Biosciences and Biotechnologies, Casablanca, Morocco; 8UM6SS, Morocco; 9Faculty of Sciences Ben M’sik, Hassan II University, Casablanca, Morocco\nBMC Proceedings 2026, 20(11):P5\nAbstract\nBiomedical research in Africa is increasingly recognized as a catalyst for innovation and public health transformation. However, the effective translation of research outcomes into tangible health solutions remains limited due to fragmented regulatory environments, weak intellectual property (IP) protection systems, and insufficient alignment between research institutions and industry. The emergence of transformative technologies—including digital health platforms, connected medical devices, and biotechnologies—offers new avenues to close this gap. These tools not only support health sovereignty goals but also enable more efficient valorization of scientific knowledge and structured mechanisms for technology transfer.\nThis study draws on a comparative review of scientific publications (2015–2025), policy frameworks, and institutional reports from key stakeholders such as WHO, the African CDC, WIPO, and the African Medicines Agency. A thematic analysis was conducted across three strategic technological pillars: (i) digital health and e-health systems, (ii) Internet of Medical Things (IoMT) and connected devices, and (iii) biotechnologies—including vaccine development and biodiversity valorization. The analysis focused on identifying both systemic barriers and enabling factors for successful research valorization and industrial scale-up.\nFindings demonstrate that digital health platforms are improving healthcare accessibility in underserved areas and are fostering new ecosystems for health data generation and secondary use. However, these initiatives continue to face challenges related to interoperability, governance, and standardization. The deployment of IoMT and connected devices has shown high promise in areas such as chronic disease management, remote monitoring, and sports medicine, but progress is constrained by limited local manufacturing capacity and underdeveloped data protection frameworks.\nBiotechnological advances, particularly in vaccine production and bio-therapeutics, illustrate Africa’s potential to align research capacity with industrial and public health needs. Examples from Morocco, South Africa, and Rwanda highlight the role of public–private partnerships in enabling sustainable innovation pathways. Across all three domains, recurring obstacles include insufficient financial investment, limited IP awareness among researchers, and a lack of harmonized regional frameworks to support cross-border innovation transfer. Nevertheless, the establishment of the African Medicines Agency, continental vaccine manufacturing strategies, and growing university–industry partnerships indicate a favorable shift toward systemic support for biomedical innovation in Africa.\nTransformative technologies offer concrete pathways to accelerate the valorization of African biomedical research and operationalize effective technology transfer. Achieving this requires coordinated strategies that integrate regulatory reforms, regional harmonization, targeted investment, and capacity building across the research-to-industry continuum. By leveraging digital health tools, IoMT infrastructures, and biotechnology platforms, African institutions can reposition themselves as key actors in global health innovation, contributing not only to local healthcare delivery but also to broader international biomedical advancements.\nKeywords\nBiomedical research valorization; technology transfer; digital health; IoMT; biotechnology; Africa; innovation ecosystems; health sovereignty\n\n\n### P6 Enhancing well-being within the nursing workforce through online interventions: a systematic review\nBMC Proceedings 2026, 20(11):P6\nAbstract\nNurses face increasing levels of occupational stress and burnout, which negatively impact their mental health and the quality of care they provide. In this context, online interventions have emerged as a promising and accessible approach to supporting psychological well-being within the nursing workforce. This systematic review aims to assess the effectiveness of such interventions and identify the key factors influencing their success, thereby informing the development of optimized support strategies for nurses.\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) guidelines. Searches were carried out in PubMed, Scopus, Web of Science, CINAHL, and PsycINFO, focusing on peer-reviewed studies published between January 2020 and 2024. Included studies targeted nursing professionals and evaluated the impact of online interventions on mental health and well-being outcomes.\nThirteen studies met the inclusion criteria. The analysis revealed positive outcomes associated with various forms of digital interventions, including online stress management programs, cognitive-behavioral therapy (CBT) sessions, virtual peer support groups, and mobile applications for well-being monitoring. These interventions were associated with a significant reduction in stress and burnout symptoms, as well as improvements in psychological resilience and job satisfaction.\nThe findings underscore the beneficial role of online interventions in enhancing the well-being of nurses. These digital approaches contribute to reducing psychological distress, fostering emotional resilience, and promoting a healthier work–life balance. Given their accessibility and scalability, such interventions represent an effective component of broader mental health strategies within healthcare systems.\nKeywords\nOnline interventions; well-being; mental health; nursing staff; burnout; digital health support\n\n\n### S. Bouabid1,2, S. Bouftane5, A. Chati3,5, K. Hassouni1,2, S. Belabbes1,2, M. Khalis1,3,4\nBMC Proceedings 2026, 20(11):P6\nAbstract\nNurses face increasing levels of occupational stress and burnout, which negatively impact their mental health and the quality of care they provide. In this context, online interventions have emerged as a promising and accessible approach to supporting psychological well-being within the nursing workforce. This systematic review aims to assess the effectiveness of such interventions and identify the key factors influencing their success, thereby informing the development of optimized support strategies for nurses.\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) guidelines. Searches were carried out in PubMed, Scopus, Web of Science, CINAHL, and PsycINFO, focusing on peer-reviewed studies published between January 2020 and 2024. Included studies targeted nursing professionals and evaluated the impact of online interventions on mental health and well-being outcomes.\nThirteen studies met the inclusion criteria. The analysis revealed positive outcomes associated with various forms of digital interventions, including online stress management programs, cognitive-behavioral therapy (CBT) sessions, virtual peer support groups, and mobile applications for well-being monitoring. These interventions were associated with a significant reduction in stress and burnout symptoms, as well as improvements in psychological resilience and job satisfaction.\nThe findings underscore the beneficial role of online interventions in enhancing the well-being of nurses. These digital approaches contribute to reducing psychological distress, fostering emotional resilience, and promoting a healthier work–life balance. Given their accessibility and scalability, such interventions represent an effective component of broader mental health strategies within healthcare systems.\nKeywords\nOnline interventions; well-being; mental health; nursing staff; burnout; digital health support\n\n\n### 1Mohammed VI International School of Public Health, Mohammed VI University of Health Sciences (UM6SS), Casablanca, Morocco; 2Department of Public Health and Health Management, Mohammed VI Center for Research and Innovation, Rabat, Morocco; 3Department of Public Health and Clinical Research, Mohammed VI Center for Research and Innovation, Rabat, Morocco; 4Higher Institute of Nursing Professions and Health Techniques, Ministry of Health and Social Protection, Rabat, Morocco; 5Faculty of Legal, Economic and Social Sciences of Aïn Chock, Hassan II University of Casablanca, Morocco\nBMC Proceedings 2026, 20(11):P6\nAbstract\nNurses face increasing levels of occupational stress and burnout, which negatively impact their mental health and the quality of care they provide. In this context, online interventions have emerged as a promising and accessible approach to supporting psychological well-being within the nursing workforce. This systematic review aims to assess the effectiveness of such interventions and identify the key factors influencing their success, thereby informing the development of optimized support strategies for nurses.\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) guidelines. Searches were carried out in PubMed, Scopus, Web of Science, CINAHL, and PsycINFO, focusing on peer-reviewed studies published between January 2020 and 2024. Included studies targeted nursing professionals and evaluated the impact of online interventions on mental health and well-being outcomes.\nThirteen studies met the inclusion criteria. The analysis revealed positive outcomes associated with various forms of digital interventions, including online stress management programs, cognitive-behavioral therapy (CBT) sessions, virtual peer support groups, and mobile applications for well-being monitoring. These interventions were associated with a significant reduction in stress and burnout symptoms, as well as improvements in psychological resilience and job satisfaction.\nThe findings underscore the beneficial role of online interventions in enhancing the well-being of nurses. These digital approaches contribute to reducing psychological distress, fostering emotional resilience, and promoting a healthier work–life balance. Given their accessibility and scalability, such interventions represent an effective component of broader mental health strategies within healthcare systems.\nKeywords\nOnline interventions; well-being; mental health; nursing staff; burnout; digital health support\n\n\n### Correspondence: S. Bouabid\nBMC Proceedings 2026, 20(11):P6\nAbstract\nNurses face increasing levels of occupational stress and burnout, which negatively impact their mental health and the quality of care they provide. In this context, online interventions have emerged as a promising and accessible approach to supporting psychological well-being within the nursing workforce. This systematic review aims to assess the effectiveness of such interventions and identify the key factors influencing their success, thereby informing the development of optimized support strategies for nurses.\nA systematic literature review was conducted following the PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) guidelines. Searches were carried out in PubMed, Scopus, Web of Science, CINAHL, and PsycINFO, focusing on peer-reviewed studies published between January 2020 and 2024. Included studies targeted nursing professionals and evaluated the impact of online interventions on mental health and well-being outcomes.\nThirteen studies met the inclusion criteria. The analysis revealed positive outcomes associated with various forms of digital interventions, including online stress management programs, cognitive-behavioral therapy (CBT) sessions, virtual peer support groups, and mobile applications for well-being monitoring. These interventions were associated with a significant reduction in stress and burnout symptoms, as well as improvements in psychological resilience and job satisfaction.\nThe findings underscore the beneficial role of online interventions in enhancing the well-being of nurses. These digital approaches contribute to reducing psychological distress, fostering emotional resilience, and promoting a healthier work–life balance. Given their accessibility and scalability, such interventions represent an effective component of broader mental health strategies within healthcare systems.\nKeywords\nOnline interventions; well-being; mental health; nursing staff; burnout; digital health support\n\n\n### P7 Repurposing DrugBank compounds as NAD-dependent deacetylase Sirtuin 2 inhibitors via QSAR modelling with gradient boosting algorithms and all-atom molecular simulations\nBMC Proceedings 2026, 20(11):P7\nAbstract\nSirtuin 2 (SIRT2), a NAD+-dependent histone deacetylase implicated in α-synuclein aggregation, is an emerging target for disease-modifying therapies in Parkinson’s disease (PD). Here, we employed an integrated computational drug-repurposing strategy to identify potent SIRT2 inhibitors from the DrugBank database. A curated set of 949 inhibitors was used to construct quantitative structure–activity relationship (QSAR) models with four gradient-boosting algorithms, yielding CatBoost as the optimal predictor (R²val = 0.74, Q²10-fold = 0.72). The model screened 4,947 drug-like compounds, from which 97 candidates with predicted pIC50 ≥ 6 were prioritized.\nMolecular docking against the SIRT2 crystal structure (PDB: 4RMG) revealed high-affinity binding modes for multiple hits, notably DB14822, DB03571, and DB06506, engaging conserved residues (Phe119, Tyr139, Phe190, Ile232) through hydrophobic and π-stacking interactions. ADMET profiling indicated favorable drug-likeness and acceptable pharmacokinetic/toxicity properties for most candidates.\nAll-atom molecular dynamics simulations (250 ns) demonstrated that top ligands maintained compact, stable complexes with low RMSD, restricted radius of gyration, and minimal solvent exposure. Principal component and free-energy landscape analyses confirmed constrained global motions, while MM/GBSA calculations yielded favorable binding free energies (−32.6 to −35.7 kcal/mol) for lead compounds. These results nominate repurposed investigational and approved drugs as promising SIRT2 inhibitors, meriting experimental validation for PD therapy development.\nKeywords\nSIRT2 inhibition; Parkinson’s disease; drug repurposing; QSAR; molecular docking; molecular dynamics\n\n\n### Y. Boulaamane1, A. Saih2,3, A. Guendouzi4, A. Maurady1,5\nBMC Proceedings 2026, 20(11):P7\nAbstract\nSirtuin 2 (SIRT2), a NAD+-dependent histone deacetylase implicated in α-synuclein aggregation, is an emerging target for disease-modifying therapies in Parkinson’s disease (PD). Here, we employed an integrated computational drug-repurposing strategy to identify potent SIRT2 inhibitors from the DrugBank database. A curated set of 949 inhibitors was used to construct quantitative structure–activity relationship (QSAR) models with four gradient-boosting algorithms, yielding CatBoost as the optimal predictor (R²val = 0.74, Q²10-fold = 0.72). The model screened 4,947 drug-like compounds, from which 97 candidates with predicted pIC50 ≥ 6 were prioritized.\nMolecular docking against the SIRT2 crystal structure (PDB: 4RMG) revealed high-affinity binding modes for multiple hits, notably DB14822, DB03571, and DB06506, engaging conserved residues (Phe119, Tyr139, Phe190, Ile232) through hydrophobic and π-stacking interactions. ADMET profiling indicated favorable drug-likeness and acceptable pharmacokinetic/toxicity properties for most candidates.\nAll-atom molecular dynamics simulations (250 ns) demonstrated that top ligands maintained compact, stable complexes with low RMSD, restricted radius of gyration, and minimal solvent exposure. Principal component and free-energy landscape analyses confirmed constrained global motions, while MM/GBSA calculations yielded favorable binding free energies (−32.6 to −35.7 kcal/mol) for lead compounds. These results nominate repurposed investigational and approved drugs as promising SIRT2 inhibitors, meriting experimental validation for PD therapy development.\nKeywords\nSIRT2 inhibition; Parkinson’s disease; drug repurposing; QSAR; molecular docking; molecular dynamics\n\n\n### 1Laboratory of Innovative Technologies, National School of Applied Sciences of Tangier, Abdelmalek Essaadi University, Tetouan, Morocco; 2Virology Unit, Immunovirology Laboratory, Institut Pasteur du Maroc, Casablanca, Morocco; 3Laboratory of Biology and Health, URAC 34, Faculty of Sciences Ben M’Sik, Hassan II University of Casablanca, Morocco; 4Laboratory of Chemistry: Synthesis, Properties and Applications (LCSPA), Faculty of Sciences, University of Saida – Dr Moulay Tahar, Saida, Algeria; 5Faculty of Sciences and Techniques, Abdelmalek Essaadi University, Tetouan, Morocco\nBMC Proceedings 2026, 20(11):P7\nAbstract\nSirtuin 2 (SIRT2), a NAD+-dependent histone deacetylase implicated in α-synuclein aggregation, is an emerging target for disease-modifying therapies in Parkinson’s disease (PD). Here, we employed an integrated computational drug-repurposing strategy to identify potent SIRT2 inhibitors from the DrugBank database. A curated set of 949 inhibitors was used to construct quantitative structure–activity relationship (QSAR) models with four gradient-boosting algorithms, yielding CatBoost as the optimal predictor (R²val = 0.74, Q²10-fold = 0.72). The model screened 4,947 drug-like compounds, from which 97 candidates with predicted pIC50 ≥ 6 were prioritized.\nMolecular docking against the SIRT2 crystal structure (PDB: 4RMG) revealed high-affinity binding modes for multiple hits, notably DB14822, DB03571, and DB06506, engaging conserved residues (Phe119, Tyr139, Phe190, Ile232) through hydrophobic and π-stacking interactions. ADMET profiling indicated favorable drug-likeness and acceptable pharmacokinetic/toxicity properties for most candidates.\nAll-atom molecular dynamics simulations (250 ns) demonstrated that top ligands maintained compact, stable complexes with low RMSD, restricted radius of gyration, and minimal solvent exposure. Principal component and free-energy landscape analyses confirmed constrained global motions, while MM/GBSA calculations yielded favorable binding free energies (−32.6 to −35.7 kcal/mol) for lead compounds. These results nominate repurposed investigational and approved drugs as promising SIRT2 inhibitors, meriting experimental validation for PD therapy development.\nKeywords\nSIRT2 inhibition; Parkinson’s disease; drug repurposing; QSAR; molecular docking; molecular dynamics\n\n\n### Correspondence: Y. Boulaamane (boulaamane.yassir@etu.uae.ac.ma)\nBMC Proceedings 2026, 20(11):P7\nAbstract\nSirtuin 2 (SIRT2), a NAD+-dependent histone deacetylase implicated in α-synuclein aggregation, is an emerging target for disease-modifying therapies in Parkinson’s disease (PD). Here, we employed an integrated computational drug-repurposing strategy to identify potent SIRT2 inhibitors from the DrugBank database. A curated set of 949 inhibitors was used to construct quantitative structure–activity relationship (QSAR) models with four gradient-boosting algorithms, yielding CatBoost as the optimal predictor (R²val = 0.74, Q²10-fold = 0.72). The model screened 4,947 drug-like compounds, from which 97 candidates with predicted pIC50 ≥ 6 were prioritized.\nMolecular docking against the SIRT2 crystal structure (PDB: 4RMG) revealed high-affinity binding modes for multiple hits, notably DB14822, DB03571, and DB06506, engaging conserved residues (Phe119, Tyr139, Phe190, Ile232) through hydrophobic and π-stacking interactions. ADMET profiling indicated favorable drug-likeness and acceptable pharmacokinetic/toxicity properties for most candidates.\nAll-atom molecular dynamics simulations (250 ns) demonstrated that top ligands maintained compact, stable complexes with low RMSD, restricted radius of gyration, and minimal solvent exposure. Principal component and free-energy landscape analyses confirmed constrained global motions, while MM/GBSA calculations yielded favorable binding free energies (−32.6 to −35.7 kcal/mol) for lead compounds. These results nominate repurposed investigational and approved drugs as promising SIRT2 inhibitors, meriting experimental validation for PD therapy development.\nKeywords\nSIRT2 inhibition; Parkinson’s disease; drug repurposing; QSAR; molecular docking; molecular dynamics\n\n\n### P8 Biological approaches in evaluating the health risks of ultraviolet radiation, diesel engine exhaust emissions, and other environmental stressors: transforming care through enhanced diagnostics\nBMC Proceedings 2026, 20(11):P8\nAbstract\nBackground\nUltraviolet (UV) radiation, diesel engine exhaust (DEE) emissions, and other ambient environmental stressors are major occupational hazards with profound health implications and are classified as known carcinogens by the International Agency for Research on Cancer (IARC). These exposures are associated with immune suppression, DNA damage, and the development of various cancers. Cancer remains a leading cause of mortality worldwide, accounting for nearly ten million deaths annually. In Pakistan, occupational exposure to environmental stressors is intensified by rapid urbanization, extensive diesel vehicle use, limited awareness, socioeconomic constraints, and weak regulatory enforcement. While individual effects of these stressors have been studied, investigations into their combined biological impact remain limited. To the best of our knowledge, this is the first study from the region to examine their combined carcinogenic potential.\nMaterials and Methods\nThis study will include 500 healthy participants, equally divided into exposed and non-exposed groups. The exposed group will consist of outdoor workers occupationally exposed to solar UV radiation and DEE emissions, matched with controls based on gender, age (±5 years), and socioeconomic status. Ambient air pollutants, including PM10, PM2.5, PM0.1, formaldehyde, and total volatile organic compounds (TVOCs), will be measured using standard portable monitoring devices. Blood samples (3–5 ml) will be collected from each participant to assess DNA damage and oxidative stress biomarkers, including superoxide dismutase, catalase, and malondialdehyde. Statistical analyses, including logistic regression and independent t-tests, will be applied to determine associations between environmental exposures and biological markers.\nResults\nIt is anticipated that occupationally exposed individuals will exhibit significantly increased DNA damage, reduced antioxidant enzyme activity, and elevated lipid peroxidation compared with controls. These findings are expected to clarify the carcinogenic and oxidative stress-inducing effects of combined occupational exposures.\nConclusions\nThe results of this study will contribute to improved assessment of health risks associated with environmental stressors and support the identification of early diagnostic biomarkers. Increased awareness among occupationally exposed workers may facilitate early cancer detection, improving treatment outcomes. Furthermore, the findings will be valuable for healthcare professionals in diagnostic decision-making and for policymakers in prioritizing occupational health and safety measures.\nKeywords\nUltraviolet radiation; diesel engine exhaust; ambient air pollution; biomarkers; DNA damage; cancer; diagnosis; patient outcomes\n\n\n### R. Batool, N. Bakht, S. Khan Jogezai, M. W. Khan\nBMC Proceedings 2026, 20(11):P8\nAbstract\nBackground\nUltraviolet (UV) radiation, diesel engine exhaust (DEE) emissions, and other ambient environmental stressors are major occupational hazards with profound health implications and are classified as known carcinogens by the International Agency for Research on Cancer (IARC). These exposures are associated with immune suppression, DNA damage, and the development of various cancers. Cancer remains a leading cause of mortality worldwide, accounting for nearly ten million deaths annually. In Pakistan, occupational exposure to environmental stressors is intensified by rapid urbanization, extensive diesel vehicle use, limited awareness, socioeconomic constraints, and weak regulatory enforcement. While individual effects of these stressors have been studied, investigations into their combined biological impact remain limited. To the best of our knowledge, this is the first study from the region to examine their combined carcinogenic potential.\nMaterials and Methods\nThis study will include 500 healthy participants, equally divided into exposed and non-exposed groups. The exposed group will consist of outdoor workers occupationally exposed to solar UV radiation and DEE emissions, matched with controls based on gender, age (±5 years), and socioeconomic status. Ambient air pollutants, including PM10, PM2.5, PM0.1, formaldehyde, and total volatile organic compounds (TVOCs), will be measured using standard portable monitoring devices. Blood samples (3–5 ml) will be collected from each participant to assess DNA damage and oxidative stress biomarkers, including superoxide dismutase, catalase, and malondialdehyde. Statistical analyses, including logistic regression and independent t-tests, will be applied to determine associations between environmental exposures and biological markers.\nResults\nIt is anticipated that occupationally exposed individuals will exhibit significantly increased DNA damage, reduced antioxidant enzyme activity, and elevated lipid peroxidation compared with controls. These findings are expected to clarify the carcinogenic and oxidative stress-inducing effects of combined occupational exposures.\nConclusions\nThe results of this study will contribute to improved assessment of health risks associated with environmental stressors and support the identification of early diagnostic biomarkers. Increased awareness among occupationally exposed workers may facilitate early cancer detection, improving treatment outcomes. Furthermore, the findings will be valuable for healthcare professionals in diagnostic decision-making and for policymakers in prioritizing occupational health and safety measures.\nKeywords\nUltraviolet radiation; diesel engine exhaust; ambient air pollution; biomarkers; DNA damage; cancer; diagnosis; patient outcomes\n\n\n### Department of Biotechnology, Balochistan University of Information Technology, Engineering & Management Sciences (BUITEMS), Quetta, Pakistan\nBMC Proceedings 2026, 20(11):P8\nAbstract\nBackground\nUltraviolet (UV) radiation, diesel engine exhaust (DEE) emissions, and other ambient environmental stressors are major occupational hazards with profound health implications and are classified as known carcinogens by the International Agency for Research on Cancer (IARC). These exposures are associated with immune suppression, DNA damage, and the development of various cancers. Cancer remains a leading cause of mortality worldwide, accounting for nearly ten million deaths annually. In Pakistan, occupational exposure to environmental stressors is intensified by rapid urbanization, extensive diesel vehicle use, limited awareness, socioeconomic constraints, and weak regulatory enforcement. While individual effects of these stressors have been studied, investigations into their combined biological impact remain limited. To the best of our knowledge, this is the first study from the region to examine their combined carcinogenic potential.\nMaterials and Methods\nThis study will include 500 healthy participants, equally divided into exposed and non-exposed groups. The exposed group will consist of outdoor workers occupationally exposed to solar UV radiation and DEE emissions, matched with controls based on gender, age (±5 years), and socioeconomic status. Ambient air pollutants, including PM10, PM2.5, PM0.1, formaldehyde, and total volatile organic compounds (TVOCs), will be measured using standard portable monitoring devices. Blood samples (3–5 ml) will be collected from each participant to assess DNA damage and oxidative stress biomarkers, including superoxide dismutase, catalase, and malondialdehyde. Statistical analyses, including logistic regression and independent t-tests, will be applied to determine associations between environmental exposures and biological markers.\nResults\nIt is anticipated that occupationally exposed individuals will exhibit significantly increased DNA damage, reduced antioxidant enzyme activity, and elevated lipid peroxidation compared with controls. These findings are expected to clarify the carcinogenic and oxidative stress-inducing effects of combined occupational exposures.\nConclusions\nThe results of this study will contribute to improved assessment of health risks associated with environmental stressors and support the identification of early diagnostic biomarkers. Increased awareness among occupationally exposed workers may facilitate early cancer detection, improving treatment outcomes. Furthermore, the findings will be valuable for healthcare professionals in diagnostic decision-making and for policymakers in prioritizing occupational health and safety measures.\nKeywords\nUltraviolet radiation; diesel engine exhaust; ambient air pollution; biomarkers; DNA damage; cancer; diagnosis; patient outcomes\n\n\n### P9 Detecting subtle MLC errors with the PTW 1600SRS detector array: a GPR-based picket fence approach\nBMC Proceedings 2026, 20(11):P9\nBackground\nModern radiotherapy techniques like VMAT and SBRT rely on precise Multi-Leaf Collimator (MLC) motion for dose delivery, where even small positioning errors can have significant clinical consequences. Traditional MLC quality assurance tests, such as the picket fence, often use film or EPID methods that involve subjective analysis. This study investigates the PTW 1600SRS Detector Array with Gamma Passing Rate (GPR) analysis to establish a more objective and quantitative QA methodology. The array's high spatial resolution makes it particularly suitable for evaluating MLC performance, aiming to improve detection of subtle inaccuracies and enable reliable performance tracking.\nMaterials and methods\nThe study utilized a high-resolution PTW SRS1600 detector array containing 1,521 ionization chambers. Measurements were performed on an Elekta linac equipped with an Agility MLC system (160 leaves, 5 mm width). The picket fence test was designed with 9 dynamic pickets (3 mm and 5 mm apertures) and delivered using 6 MV FF beams. The PTW array was centered at isocenter between PMMA slabs (2 cm above, 5 cm below) at SSD = 100 cm. All plans were calculated in MONACO® TPS with a 2 mm grid and delivered via a VersaHD® linac.\nResults\nAnalysis of the picket fence test using the PTW SRS1600 array revealed a characteristic decrease in Gamma Passing Rate (GPR) at the central region for the 3 mm gap width, with values ranging from 81.3% (2%/2 mm) to 54% (1%/1 mm). This phenomenon is attributed to the source occlusion effect in small-field dosimetry, where beam convergence causes penumbral overlap and higher central dose delivery. The 2%/2 mm criterion demonstrated superior and more stable GPR results compared to the stricter 1%/1 mm criterion. The high spatial resolution of the PTW SRS1600 array proved essential for detecting these subtle MLC positional variations, outperforming conventional detector arrays and providing an objective method for tracking MLC performance over time.\nConclusion\nThe PTW SRS1600 detector array proves to be a highly effective tool for objective and efficient Multi-Leaf Collimator quality assurance. By enabling quantitative Gamma Passing Rate analysis, this method replaces subjective assessments with reproducible data, allowing for precise detection of subtle MLC inaccuracies—such as the central axis deviation in the picket fence test—and reliable tracking of MLC performance over time. This approach significantly enhances the robustness and precision of QA programs for modern radiotherapy.\n\n\n### M. Driouch1,2, Y. Adib3, A. S. A. Almaamari4, M. A. Youssoufi5, E. Chakir1, E. Al Ibrahmi1\nBMC Proceedings 2026, 20(11):P9\nBackground\nModern radiotherapy techniques like VMAT and SBRT rely on precise Multi-Leaf Collimator (MLC) motion for dose delivery, where even small positioning errors can have significant clinical consequences. Traditional MLC quality assurance tests, such as the picket fence, often use film or EPID methods that involve subjective analysis. This study investigates the PTW 1600SRS Detector Array with Gamma Passing Rate (GPR) analysis to establish a more objective and quantitative QA methodology. The array's high spatial resolution makes it particularly suitable for evaluating MLC performance, aiming to improve detection of subtle inaccuracies and enable reliable performance tracking.\nMaterials and methods\nThe study utilized a high-resolution PTW SRS1600 detector array containing 1,521 ionization chambers. Measurements were performed on an Elekta linac equipped with an Agility MLC system (160 leaves, 5 mm width). The picket fence test was designed with 9 dynamic pickets (3 mm and 5 mm apertures) and delivered using 6 MV FF beams. The PTW array was centered at isocenter between PMMA slabs (2 cm above, 5 cm below) at SSD = 100 cm. All plans were calculated in MONACO® TPS with a 2 mm grid and delivered via a VersaHD® linac.\nResults\nAnalysis of the picket fence test using the PTW SRS1600 array revealed a characteristic decrease in Gamma Passing Rate (GPR) at the central region for the 3 mm gap width, with values ranging from 81.3% (2%/2 mm) to 54% (1%/1 mm). This phenomenon is attributed to the source occlusion effect in small-field dosimetry, where beam convergence causes penumbral overlap and higher central dose delivery. The 2%/2 mm criterion demonstrated superior and more stable GPR results compared to the stricter 1%/1 mm criterion. The high spatial resolution of the PTW SRS1600 array proved essential for detecting these subtle MLC positional variations, outperforming conventional detector arrays and providing an objective method for tracking MLC performance over time.\nConclusion\nThe PTW SRS1600 detector array proves to be a highly effective tool for objective and efficient Multi-Leaf Collimator quality assurance. By enabling quantitative Gamma Passing Rate analysis, this method replaces subjective assessments with reproducible data, allowing for precise detection of subtle MLC inaccuracies—such as the central axis deviation in the picket fence test—and reliable tracking of MLC performance over time. This approach significantly enhances the robustness and precision of QA programs for modern radiotherapy.\n\n\n### 1LPMS, Faculty of Sciences, Ibn Tofail University, Kenitra, Morocco; 2Clinique Avicenne de Fès, Fès, Morocco; 3LPHE-MS, Faculty of Science, Mohammed V University, Rabat, Morocco; 4Faculty of Medicine, Mohammed V University, Rabat, Morocco; 5Department of Radiotherapy, National Institute of Oncology, UHC Ibn Sina, Mohammed V University, Rabat, Morocco\nBMC Proceedings 2026, 20(11):P9\nBackground\nModern radiotherapy techniques like VMAT and SBRT rely on precise Multi-Leaf Collimator (MLC) motion for dose delivery, where even small positioning errors can have significant clinical consequences. Traditional MLC quality assurance tests, such as the picket fence, often use film or EPID methods that involve subjective analysis. This study investigates the PTW 1600SRS Detector Array with Gamma Passing Rate (GPR) analysis to establish a more objective and quantitative QA methodology. The array's high spatial resolution makes it particularly suitable for evaluating MLC performance, aiming to improve detection of subtle inaccuracies and enable reliable performance tracking.\nMaterials and methods\nThe study utilized a high-resolution PTW SRS1600 detector array containing 1,521 ionization chambers. Measurements were performed on an Elekta linac equipped with an Agility MLC system (160 leaves, 5 mm width). The picket fence test was designed with 9 dynamic pickets (3 mm and 5 mm apertures) and delivered using 6 MV FF beams. The PTW array was centered at isocenter between PMMA slabs (2 cm above, 5 cm below) at SSD = 100 cm. All plans were calculated in MONACO® TPS with a 2 mm grid and delivered via a VersaHD® linac.\nResults\nAnalysis of the picket fence test using the PTW SRS1600 array revealed a characteristic decrease in Gamma Passing Rate (GPR) at the central region for the 3 mm gap width, with values ranging from 81.3% (2%/2 mm) to 54% (1%/1 mm). This phenomenon is attributed to the source occlusion effect in small-field dosimetry, where beam convergence causes penumbral overlap and higher central dose delivery. The 2%/2 mm criterion demonstrated superior and more stable GPR results compared to the stricter 1%/1 mm criterion. The high spatial resolution of the PTW SRS1600 array proved essential for detecting these subtle MLC positional variations, outperforming conventional detector arrays and providing an objective method for tracking MLC performance over time.\nConclusion\nThe PTW SRS1600 detector array proves to be a highly effective tool for objective and efficient Multi-Leaf Collimator quality assurance. By enabling quantitative Gamma Passing Rate analysis, this method replaces subjective assessments with reproducible data, allowing for precise detection of subtle MLC inaccuracies—such as the central axis deviation in the picket fence test—and reliable tracking of MLC performance over time. This approach significantly enhances the robustness and precision of QA programs for modern radiotherapy.\n\n\n### P10 Revolutionary AI systems transform colorectal cancer detection: a new era in medical imaging\nBMC Proceedings 2026, 20(11):P10\nAbstract\nThe detection of colorectal cancer is entering a transformative phase with the rapid advancement and clinical adoption of artificial intelligence (AI) technologies. What was once experimental is now becoming an integral component of medical imaging, with AI systems demonstrating the capacity to improve diagnostic accuracy, standardize assessments, and support clinical decision-making across multiple imaging modalities.\nThis review synthesizes findings from studies published between 2018 and 2024, focusing on AI platforms designed to distinguish malignant colorectal lesions from benign ones. The analysis spans applications in endoscopy, radiology, and digital pathology, with emphasis on diagnostic performance metrics and readiness for clinical implementation.\nAI-assisted colonoscopy systems now achieve real-time sensitivity exceeding 97%, enabling enhanced detection of polyps and early-stage malignancies during routine procedures. Capsule endoscopy platforms integrated with AI demonstrate precision rates surpassing 95%, optimizing non-invasive diagnostics. In radiology, advanced AI tools for CT imaging provide robust tumor identification and segmentation capabilities, while AI-enabled digital pathology systems consistently report diagnostic accuracy above 95%, supporting faster and more reliable histopathological interpretations.\nThese findings underscore the readiness of AI systems for clinical integration and their potential to redefine colorectal cancer screening and diagnostic workflows. Among current applications, AI-powered endoscopic tools are the most advanced in real-world deployment, while radiology and pathology solutions are rapidly advancing toward routine clinical use.\nAI-enhanced colorectal cancer detection represents a paradigm shift, moving from research settings to transformative clinical tools. Their widespread adoption offers the potential to significantly improve early detection, reduce diagnostic variability, optimize treatment planning, and ultimately improve patient outcomes.\nKeywords\nArtificial intelligence; colorectal cancer; medical imaging; deep learning; endoscopy; digital pathology; cancer detection; clinical applications\n\n\n### H. Elmarrachi1,2, M. Andrif1,2, N. Ismaili1,2,3\nBMC Proceedings 2026, 20(11):P10\nAbstract\nThe detection of colorectal cancer is entering a transformative phase with the rapid advancement and clinical adoption of artificial intelligence (AI) technologies. What was once experimental is now becoming an integral component of medical imaging, with AI systems demonstrating the capacity to improve diagnostic accuracy, standardize assessments, and support clinical decision-making across multiple imaging modalities.\nThis review synthesizes findings from studies published between 2018 and 2024, focusing on AI platforms designed to distinguish malignant colorectal lesions from benign ones. The analysis spans applications in endoscopy, radiology, and digital pathology, with emphasis on diagnostic performance metrics and readiness for clinical implementation.\nAI-assisted colonoscopy systems now achieve real-time sensitivity exceeding 97%, enabling enhanced detection of polyps and early-stage malignancies during routine procedures. Capsule endoscopy platforms integrated with AI demonstrate precision rates surpassing 95%, optimizing non-invasive diagnostics. In radiology, advanced AI tools for CT imaging provide robust tumor identification and segmentation capabilities, while AI-enabled digital pathology systems consistently report diagnostic accuracy above 95%, supporting faster and more reliable histopathological interpretations.\nThese findings underscore the readiness of AI systems for clinical integration and their potential to redefine colorectal cancer screening and diagnostic workflows. Among current applications, AI-powered endoscopic tools are the most advanced in real-world deployment, while radiology and pathology solutions are rapidly advancing toward routine clinical use.\nAI-enhanced colorectal cancer detection represents a paradigm shift, moving from research settings to transformative clinical tools. Their widespread adoption offers the potential to significantly improve early detection, reduce diagnostic variability, optimize treatment planning, and ultimately improve patient outcomes.\nKeywords\nArtificial intelligence; colorectal cancer; medical imaging; deep learning; endoscopy; digital pathology; cancer detection; clinical applications\n\n\n### 1Mohammed VI Faculty of Medicine, Mohammed VI University of Health Sciences, Casablanca, Morocco; 2Research Unit, Mohammed VI Center for Research and Innovation, Rabat, Morocco; 3Cheikh Khalifa International University Hospital, Mohammed VI University of Health Sciences, Casablanca, Morocco\nBMC Proceedings 2026, 20(11):P10\nAbstract\nThe detection of colorectal cancer is entering a transformative phase with the rapid advancement and clinical adoption of artificial intelligence (AI) technologies. What was once experimental is now becoming an integral component of medical imaging, with AI systems demonstrating the capacity to improve diagnostic accuracy, standardize assessments, and support clinical decision-making across multiple imaging modalities.\nThis review synthesizes findings from studies published between 2018 and 2024, focusing on AI platforms designed to distinguish malignant colorectal lesions from benign ones. The analysis spans applications in endoscopy, radiology, and digital pathology, with emphasis on diagnostic performance metrics and readiness for clinical implementation.\nAI-assisted colonoscopy systems now achieve real-time sensitivity exceeding 97%, enabling enhanced detection of polyps and early-stage malignancies during routine procedures. Capsule endoscopy platforms integrated with AI demonstrate precision rates surpassing 95%, optimizing non-invasive diagnostics. In radiology, advanced AI tools for CT imaging provide robust tumor identification and segmentation capabilities, while AI-enabled digital pathology systems consistently report diagnostic accuracy above 95%, supporting faster and more reliable histopathological interpretations.\nThese findings underscore the readiness of AI systems for clinical integration and their potential to redefine colorectal cancer screening and diagnostic workflows. Among current applications, AI-powered endoscopic tools are the most advanced in real-world deployment, while radiology and pathology solutions are rapidly advancing toward routine clinical use.\nAI-enhanced colorectal cancer detection represents a paradigm shift, moving from research settings to transformative clinical tools. Their widespread adoption offers the potential to significantly improve early detection, reduce diagnostic variability, optimize treatment planning, and ultimately improve patient outcomes.\nKeywords\nArtificial intelligence; colorectal cancer; medical imaging; deep learning; endoscopy; digital pathology; cancer detection; clinical applications\n\n\n### Correspondence: H. Elmarrachi\nBMC Proceedings 2026, 20(11):P10\nAbstract\nThe detection of colorectal cancer is entering a transformative phase with the rapid advancement and clinical adoption of artificial intelligence (AI) technologies. What was once experimental is now becoming an integral component of medical imaging, with AI systems demonstrating the capacity to improve diagnostic accuracy, standardize assessments, and support clinical decision-making across multiple imaging modalities.\nThis review synthesizes findings from studies published between 2018 and 2024, focusing on AI platforms designed to distinguish malignant colorectal lesions from benign ones. The analysis spans applications in endoscopy, radiology, and digital pathology, with emphasis on diagnostic performance metrics and readiness for clinical implementation.\nAI-assisted colonoscopy systems now achieve real-time sensitivity exceeding 97%, enabling enhanced detection of polyps and early-stage malignancies during routine procedures. Capsule endoscopy platforms integrated with AI demonstrate precision rates surpassing 95%, optimizing non-invasive diagnostics. In radiology, advanced AI tools for CT imaging provide robust tumor identification and segmentation capabilities, while AI-enabled digital pathology systems consistently report diagnostic accuracy above 95%, supporting faster and more reliable histopathological interpretations.\nThese findings underscore the readiness of AI systems for clinical integration and their potential to redefine colorectal cancer screening and diagnostic workflows. Among current applications, AI-powered endoscopic tools are the most advanced in real-world deployment, while radiology and pathology solutions are rapidly advancing toward routine clinical use.\nAI-enhanced colorectal cancer detection represents a paradigm shift, moving from research settings to transformative clinical tools. Their widespread adoption offers the potential to significantly improve early detection, reduce diagnostic variability, optimize treatment planning, and ultimately improve patient outcomes.\nKeywords\nArtificial intelligence; colorectal cancer; medical imaging; deep learning; endoscopy; digital pathology; cancer detection; clinical applications\n\n\n### P11 Immersive simulation in nursing education: effects on engagement, motivation, satisfaction, and self-confidence\nBMC Proceedings 2026, 20(11):P11\nAbstract\nVirtual reality (VR) technologies are playing an increasingly important role in nursing education by enhancing experiential learning, supporting clinical decision-making, and improving the application of theoretical knowledge in practice. Immersive simulation-based learning (ISBL) is one such VR-enhanced approach, designed to boost learner engagement, motivation, satisfaction, and self-confidence. This study explores the impact of ISBL on nursing students, with a specific focus on its effectiveness in anatomy education.\nA quasi-experimental study was conducted from January to February 2025 with 76 nursing students, who were randomly assigned to either an experimental group receiving immersive simulation (n = 38) or a control group following traditional instructional methods (n = 38). A pre- and post-intervention test design was used to assess changes in student motivation, engagement, satisfaction, and self-confidence. Statistical analyses were conducted using non-parametric tests, specifically the Mann–Whitney U test and Wilcoxon signed-rank test, via IBM SPSS.\nThe results revealed that students in the immersive simulation group showed significantly greater improvements in motivation (Z = -4.407, p < 0.001), engagement (Z = -3.555, p < 0.001), and self-confidence (Z = -2.054, p = 0.040) compared to the traditional instruction group. However, the difference in learning satisfaction between the two groups did not reach statistical significance (Z = -1.660, p = 0.097).\nThese findings suggest that immersive simulation contributes meaningfully to enhancing nursing students’ motivation, engagement, and self-confidence. While overall satisfaction levels remained similar across both groups, the use of immersive simulation emerges as a valuable supplement to traditional teaching methods and holds promise for addressing pedagogical challenges in healthcare education, particularly in resource-constrained contexts such as Morocco.\nKeywords\nSimulation-based learning; immersive simulation; nursing education; virtual reality; Morocco\n\n\n### L. Ben Yahya1, M. Radid1, M. El Yaagoubi2, L. El Moumou3, O. Abouri4, A. Naciri1, G. Chemsi5\nBMC Proceedings 2026, 20(11):P11\nAbstract\nVirtual reality (VR) technologies are playing an increasingly important role in nursing education by enhancing experiential learning, supporting clinical decision-making, and improving the application of theoretical knowledge in practice. Immersive simulation-based learning (ISBL) is one such VR-enhanced approach, designed to boost learner engagement, motivation, satisfaction, and self-confidence. This study explores the impact of ISBL on nursing students, with a specific focus on its effectiveness in anatomy education.\nA quasi-experimental study was conducted from January to February 2025 with 76 nursing students, who were randomly assigned to either an experimental group receiving immersive simulation (n = 38) or a control group following traditional instructional methods (n = 38). A pre- and post-intervention test design was used to assess changes in student motivation, engagement, satisfaction, and self-confidence. Statistical analyses were conducted using non-parametric tests, specifically the Mann–Whitney U test and Wilcoxon signed-rank test, via IBM SPSS.\nThe results revealed that students in the immersive simulation group showed significantly greater improvements in motivation (Z = -4.407, p < 0.001), engagement (Z = -3.555, p < 0.001), and self-confidence (Z = -2.054, p = 0.040) compared to the traditional instruction group. However, the difference in learning satisfaction between the two groups did not reach statistical significance (Z = -1.660, p = 0.097).\nThese findings suggest that immersive simulation contributes meaningfully to enhancing nursing students’ motivation, engagement, and self-confidence. While overall satisfaction levels remained similar across both groups, the use of immersive simulation emerges as a valuable supplement to traditional teaching methods and holds promise for addressing pedagogical challenges in healthcare education, particularly in resource-constrained contexts such as Morocco.\nKeywords\nSimulation-based learning; immersive simulation; nursing education; virtual reality; Morocco\n\n\n### 1Laboratory of Sciences and Technologies of Information and Education, Faculty of Sciences Ben M’Sik, Hassan II University of Casablanca, Casablanca, Morocco; 2High Institute of Nursing Professions and Health Techniques, ISPITS Agadir – Annex Tiznit, Morocco; 3Biotechnology, Environment and Health Team, Laboratory of Sciences of Health and Environment, ISPITS Agadir – Annex Tiznit, Morocco; 4Laboratory of Inflammatory Cellular and Molecular Physiopathology, Degenerative and Oncological, Faculty of Medicine and Pharmacy, Hassan II University of Casablanca, Casablanca, Morocco; 5Laboratory of Mathematics, Artificial Intelligence, and Digital Learning, Hassan II University of Casablanca, Casablanca, Morocco\nBMC Proceedings 2026, 20(11):P11\nAbstract\nVirtual reality (VR) technologies are playing an increasingly important role in nursing education by enhancing experiential learning, supporting clinical decision-making, and improving the application of theoretical knowledge in practice. Immersive simulation-based learning (ISBL) is one such VR-enhanced approach, designed to boost learner engagement, motivation, satisfaction, and self-confidence. This study explores the impact of ISBL on nursing students, with a specific focus on its effectiveness in anatomy education.\nA quasi-experimental study was conducted from January to February 2025 with 76 nursing students, who were randomly assigned to either an experimental group receiving immersive simulation (n = 38) or a control group following traditional instructional methods (n = 38). A pre- and post-intervention test design was used to assess changes in student motivation, engagement, satisfaction, and self-confidence. Statistical analyses were conducted using non-parametric tests, specifically the Mann–Whitney U test and Wilcoxon signed-rank test, via IBM SPSS.\nThe results revealed that students in the immersive simulation group showed significantly greater improvements in motivation (Z = -4.407, p < 0.001), engagement (Z = -3.555, p < 0.001), and self-confidence (Z = -2.054, p = 0.040) compared to the traditional instruction group. However, the difference in learning satisfaction between the two groups did not reach statistical significance (Z = -1.660, p = 0.097).\nThese findings suggest that immersive simulation contributes meaningfully to enhancing nursing students’ motivation, engagement, and self-confidence. While overall satisfaction levels remained similar across both groups, the use of immersive simulation emerges as a valuable supplement to traditional teaching methods and holds promise for addressing pedagogical challenges in healthcare education, particularly in resource-constrained contexts such as Morocco.\nKeywords\nSimulation-based learning; immersive simulation; nursing education; virtual reality; Morocco\n\n\n### P12 Detection of hyperandrogenism anovulation using artificial intelligence: deep learning approach and model explainability\nBMC Proceedings 2026, 20(11):P12\nBackground\nHyperandrogenic anovulation (HA) is a common endocrine disorder and a major cause of female infertility. Its diagnosis remains challenging due to the clinical heterogeneity of symptoms and the absence of standardized diagnostic criteria. This often leads to underdiagnosis and delays in management. Recent advances in artificial intelligence (AI) offer promising tools for enhancing early detection of such complex conditions by integrating clinical, metabolic, and hormonal data.\nMaterials and Methods\nA retrospective dataset of 541 patients was used, including 45 features such as age, BMI, FSH, LH, AMH levels, and menstrual cycle regularity. A rigorous data preprocessing pipeline was implemented: missing values were imputed, features were scaled using min-max normalization, and outliers were removed based on z-score and interquartile range (IQR) methods. Four deep learning models were developed and compared: feedforward neural network (FNN), convolutional neural network (CNN), recurrent neural network (RNN), and long short-term memory (LSTM). Model training involved 5-fold cross-validation and hyperparameter optimization. Model explainability was assessed using SHAP (SHapley Additive exPlanations), while class imbalance was addressed using SMOTE (Synthetic Minority Over-sampling Technique).\nResults\nAmong the tested models, the RNN achieved the highest performance with an accuracy of 95.8% and a recall of 94%, followed closely by CNN (95%) and LSTM (94.6%). The FNN showed lower performance (92.3%). SHAP analysis revealed that the most important predictors were the FSH/LH ratio, AMH concentration, BMI, and follicle count. These variables contributed significantly to the model's ability to distinguish HA cases. The integration of SMOTE improved classification metrics for the minority class without degrading overall performance.\nConclusions\nThis study highlights the potential of deep learning models, particularly RNNs, to support early and reliable detection of hyperandrogenic anovulation based on multi-dimensional clinical data. The high accuracy, combined with the use of SHAP for interpretability and SMOTE for fairness, suggests that such AI-based tools could be integrated into clinical decision-making workflows. This is especially valuable in low-resource settings where access to expert endocrinological assessment is limited. Further validation on external cohorts is needed to generalize these findings.\n\n\n### A. Elhachimia1, A. Benksimb2, M. Eddabbah3, M. Cherkaouia1\nBMC Proceedings 2026, 20(11):P12\nBackground\nHyperandrogenic anovulation (HA) is a common endocrine disorder and a major cause of female infertility. Its diagnosis remains challenging due to the clinical heterogeneity of symptoms and the absence of standardized diagnostic criteria. This often leads to underdiagnosis and delays in management. Recent advances in artificial intelligence (AI) offer promising tools for enhancing early detection of such complex conditions by integrating clinical, metabolic, and hormonal data.\nMaterials and Methods\nA retrospective dataset of 541 patients was used, including 45 features such as age, BMI, FSH, LH, AMH levels, and menstrual cycle regularity. A rigorous data preprocessing pipeline was implemented: missing values were imputed, features were scaled using min-max normalization, and outliers were removed based on z-score and interquartile range (IQR) methods. Four deep learning models were developed and compared: feedforward neural network (FNN), convolutional neural network (CNN), recurrent neural network (RNN), and long short-term memory (LSTM). Model training involved 5-fold cross-validation and hyperparameter optimization. Model explainability was assessed using SHAP (SHapley Additive exPlanations), while class imbalance was addressed using SMOTE (Synthetic Minority Over-sampling Technique).\nResults\nAmong the tested models, the RNN achieved the highest performance with an accuracy of 95.8% and a recall of 94%, followed closely by CNN (95%) and LSTM (94.6%). The FNN showed lower performance (92.3%). SHAP analysis revealed that the most important predictors were the FSH/LH ratio, AMH concentration, BMI, and follicle count. These variables contributed significantly to the model's ability to distinguish HA cases. The integration of SMOTE improved classification metrics for the minority class without degrading overall performance.\nConclusions\nThis study highlights the potential of deep learning models, particularly RNNs, to support early and reliable detection of hyperandrogenic anovulation based on multi-dimensional clinical data. The high accuracy, combined with the use of SHAP for interpretability and SMOTE for fairness, suggests that such AI-based tools could be integrated into clinical decision-making workflows. This is especially valuable in low-resource settings where access to expert endocrinological assessment is limited. Further validation on external cohorts is needed to generalize these findings.\n\n\n### 1Département de Biologie, Université Cadi Ayyad de Marrakech (UCAM), Marrakech, Morocco; 2Institut des Professions Infirmières et des Techniques de Santé (ISPITS), Marrakech, Morocco; 3École Supérieure de Technologie d’Essaouira (ESTE), Université Cadi Ayyad, Essaouira, Morocco\nBMC Proceedings 2026, 20(11):P12\nBackground\nHyperandrogenic anovulation (HA) is a common endocrine disorder and a major cause of female infertility. Its diagnosis remains challenging due to the clinical heterogeneity of symptoms and the absence of standardized diagnostic criteria. This often leads to underdiagnosis and delays in management. Recent advances in artificial intelligence (AI) offer promising tools for enhancing early detection of such complex conditions by integrating clinical, metabolic, and hormonal data.\nMaterials and Methods\nA retrospective dataset of 541 patients was used, including 45 features such as age, BMI, FSH, LH, AMH levels, and menstrual cycle regularity. A rigorous data preprocessing pipeline was implemented: missing values were imputed, features were scaled using min-max normalization, and outliers were removed based on z-score and interquartile range (IQR) methods. Four deep learning models were developed and compared: feedforward neural network (FNN), convolutional neural network (CNN), recurrent neural network (RNN), and long short-term memory (LSTM). Model training involved 5-fold cross-validation and hyperparameter optimization. Model explainability was assessed using SHAP (SHapley Additive exPlanations), while class imbalance was addressed using SMOTE (Synthetic Minority Over-sampling Technique).\nResults\nAmong the tested models, the RNN achieved the highest performance with an accuracy of 95.8% and a recall of 94%, followed closely by CNN (95%) and LSTM (94.6%). The FNN showed lower performance (92.3%). SHAP analysis revealed that the most important predictors were the FSH/LH ratio, AMH concentration, BMI, and follicle count. These variables contributed significantly to the model's ability to distinguish HA cases. The integration of SMOTE improved classification metrics for the minority class without degrading overall performance.\nConclusions\nThis study highlights the potential of deep learning models, particularly RNNs, to support early and reliable detection of hyperandrogenic anovulation based on multi-dimensional clinical data. The high accuracy, combined with the use of SHAP for interpretability and SMOTE for fairness, suggests that such AI-based tools could be integrated into clinical decision-making workflows. This is especially valuable in low-resource settings where access to expert endocrinological assessment is limited. Further validation on external cohorts is needed to generalize these findings.\n\n\n### Correspondence: M. Cherkaouia\nBMC Proceedings 2026, 20(11):P12\nBackground\nHyperandrogenic anovulation (HA) is a common endocrine disorder and a major cause of female infertility. Its diagnosis remains challenging due to the clinical heterogeneity of symptoms and the absence of standardized diagnostic criteria. This often leads to underdiagnosis and delays in management. Recent advances in artificial intelligence (AI) offer promising tools for enhancing early detection of such complex conditions by integrating clinical, metabolic, and hormonal data.\nMaterials and Methods\nA retrospective dataset of 541 patients was used, including 45 features such as age, BMI, FSH, LH, AMH levels, and menstrual cycle regularity. A rigorous data preprocessing pipeline was implemented: missing values were imputed, features were scaled using min-max normalization, and outliers were removed based on z-score and interquartile range (IQR) methods. Four deep learning models were developed and compared: feedforward neural network (FNN), convolutional neural network (CNN), recurrent neural network (RNN), and long short-term memory (LSTM). Model training involved 5-fold cross-validation and hyperparameter optimization. Model explainability was assessed using SHAP (SHapley Additive exPlanations), while class imbalance was addressed using SMOTE (Synthetic Minority Over-sampling Technique).\nResults\nAmong the tested models, the RNN achieved the highest performance with an accuracy of 95.8% and a recall of 94%, followed closely by CNN (95%) and LSTM (94.6%). The FNN showed lower performance (92.3%). SHAP analysis revealed that the most important predictors were the FSH/LH ratio, AMH concentration, BMI, and follicle count. These variables contributed significantly to the model's ability to distinguish HA cases. The integration of SMOTE improved classification metrics for the minority class without degrading overall performance.\nConclusions\nThis study highlights the potential of deep learning models, particularly RNNs, to support early and reliable detection of hyperandrogenic anovulation based on multi-dimensional clinical data. The high accuracy, combined with the use of SHAP for interpretability and SMOTE for fairness, suggests that such AI-based tools could be integrated into clinical decision-making workflows. This is especially valuable in low-resource settings where access to expert endocrinological assessment is limited. Further validation on external cohorts is needed to generalize these findings.\n\n\n### P13 Applications of machine learning in palliative care: a narrative review\nBMC Proceedings 2026, 20(11):P13\nAbstract\nBackground\nThe rapid aging of the global population, combined with the increasing prevalence of chronic and degenerative diseases such as cancer, organ failure, and dementia, is creating an exponential demand for palliative care. This demographic and epidemiological transition calls for the transformation of clinical practices toward more predictive, personalized, and interdisciplinary approaches. The objective of this review was to analyze recent applications of machine learning in palliative care, identifying opportunities, limitations, and ethical challenges.\nMethods\nThis narrative review explored applications of machine learning in palliative care published between 2020 and 2025. Scientific articles were retrieved from PubMed, Cochrane, Scopus, SpringerLink, and ScienceDirect using the keywords “Machine Learning,” “Artificial Intelligence,” and “Palliative Care.” After manual screening for clinical relevance, methodological rigor, and direct linkage to palliative care, nine articles were included.\nResults\nMachine learning algorithms were applied to predict mortality and end-of-life trajectories, stratify patient profiles, automatically detect symptoms, care goals, or psychological distress, improve analgesic prescription and triage, and analyze patient preferences and ethical issues through clinical text mining. Reported clinical benefits included improved prognostic accuracy and care personalization. However, challenges were identified, including heterogeneous data quality in electronic health records, limited transparency and explainability of algorithms, insufficient multicenter clinical validation, and the difficulty of integrating technological solutions into highly human-centered contexts.\nConclusions\nMachine learning represents a promising technological advance in palliative care, but its integration requires a cautious, ethical, and collaborative approach. Future success will depend on joint efforts by researchers, clinicians, patients, and policymakers to ensure clinical utility while respecting the core values of palliative care.\nKeywords\nPalliative care; machine learning; artificial intelligence; prediction; clinical decision support\n\n\n### A. AitOuma1,2\nBMC Proceedings 2026, 20(11):P13\nAbstract\nBackground\nThe rapid aging of the global population, combined with the increasing prevalence of chronic and degenerative diseases such as cancer, organ failure, and dementia, is creating an exponential demand for palliative care. This demographic and epidemiological transition calls for the transformation of clinical practices toward more predictive, personalized, and interdisciplinary approaches. The objective of this review was to analyze recent applications of machine learning in palliative care, identifying opportunities, limitations, and ethical challenges.\nMethods\nThis narrative review explored applications of machine learning in palliative care published between 2020 and 2025. Scientific articles were retrieved from PubMed, Cochrane, Scopus, SpringerLink, and ScienceDirect using the keywords “Machine Learning,” “Artificial Intelligence,” and “Palliative Care.” After manual screening for clinical relevance, methodological rigor, and direct linkage to palliative care, nine articles were included.\nResults\nMachine learning algorithms were applied to predict mortality and end-of-life trajectories, stratify patient profiles, automatically detect symptoms, care goals, or psychological distress, improve analgesic prescription and triage, and analyze patient preferences and ethical issues through clinical text mining. Reported clinical benefits included improved prognostic accuracy and care personalization. However, challenges were identified, including heterogeneous data quality in electronic health records, limited transparency and explainability of algorithms, insufficient multicenter clinical validation, and the difficulty of integrating technological solutions into highly human-centered contexts.\nConclusions\nMachine learning represents a promising technological advance in palliative care, but its integration requires a cautious, ethical, and collaborative approach. Future success will depend on joint efforts by researchers, clinicians, patients, and policymakers to ensure clinical utility while respecting the core values of palliative care.\nKeywords\nPalliative care; machine learning; artificial intelligence; prediction; clinical decision support\n\n\n### 1Faculty of Medicine and Pharmacy, Mohammed V University, Rabat, Morocco; 2Ibn Sina University Hospital Center, Rabat, Morocco\nBMC Proceedings 2026, 20(11):P13\nAbstract\nBackground\nThe rapid aging of the global population, combined with the increasing prevalence of chronic and degenerative diseases such as cancer, organ failure, and dementia, is creating an exponential demand for palliative care. This demographic and epidemiological transition calls for the transformation of clinical practices toward more predictive, personalized, and interdisciplinary approaches. The objective of this review was to analyze recent applications of machine learning in palliative care, identifying opportunities, limitations, and ethical challenges.\nMethods\nThis narrative review explored applications of machine learning in palliative care published between 2020 and 2025. Scientific articles were retrieved from PubMed, Cochrane, Scopus, SpringerLink, and ScienceDirect using the keywords “Machine Learning,” “Artificial Intelligence,” and “Palliative Care.” After manual screening for clinical relevance, methodological rigor, and direct linkage to palliative care, nine articles were included.\nResults\nMachine learning algorithms were applied to predict mortality and end-of-life trajectories, stratify patient profiles, automatically detect symptoms, care goals, or psychological distress, improve analgesic prescription and triage, and analyze patient preferences and ethical issues through clinical text mining. Reported clinical benefits included improved prognostic accuracy and care personalization. However, challenges were identified, including heterogeneous data quality in electronic health records, limited transparency and explainability of algorithms, insufficient multicenter clinical validation, and the difficulty of integrating technological solutions into highly human-centered contexts.\nConclusions\nMachine learning represents a promising technological advance in palliative care, but its integration requires a cautious, ethical, and collaborative approach. Future success will depend on joint efforts by researchers, clinicians, patients, and policymakers to ensure clinical utility while respecting the core values of palliative care.\nKeywords\nPalliative care; machine learning; artificial intelligence; prediction; clinical decision support\n\n\n### P14 AI at work: preventing occupational risks or creating them?\nBMC Proceedings 2026, 20(11):P14\nBackground\nArtificial intelligence (AI) is profoundly reshaping professional environments, offering unprecedented opportunities for risk prevention while simultaneously generating new hazards. The objective of this study is to analyze the dual impact of AI on occupational safety and health (OSH).\nMaterials and Methods\nThe data analyzed derive from the scientific literature as well as from reports and publications issued by organizations and institutions specializing in occupational safety and health, including the ILO, INRS, and EU-OSHA.\nResults\nAI provides significant benefits for OSH, including continuous worker monitoring through wearable devices, intelligent building systems, automated hazard detection, smart personal protective equipment, workplace violence monitoring, automated substance screening, mental health monitoring, prevention of musculoskeletal disorders, automation of hazardous tasks, automated compliance audits, and decision-support systems. These technologies facilitate distancing from high-risk environments, reduce physical strain, and improve predictive monitoring. However, AI also generates new risks: mechanical failures, ergonomic issues, work intensification, technostress, social isolation, privacy violations, excessive surveillance, algorithmic discrimination, and job insecurity. Psychosocial risks include loss of autonomy, cognitive overload, and anxiety linked to automation.\nConclusion\nAI in occupational safety and health holds considerable potential for prevention and efficiency, but its deployment must be governed by ethical and participatory frameworks. Only a balanced integration of technological innovation and respect for workers’ rights will allow it to serve as a genuine driver of progress.\nKeywords\nArtificial intelligence; occupational safety and health; occupational risks; prevention\n\n\n### M. Lghabi1, B. Benali2\nBMC Proceedings 2026, 20(11):P14\nBackground\nArtificial intelligence (AI) is profoundly reshaping professional environments, offering unprecedented opportunities for risk prevention while simultaneously generating new hazards. The objective of this study is to analyze the dual impact of AI on occupational safety and health (OSH).\nMaterials and Methods\nThe data analyzed derive from the scientific literature as well as from reports and publications issued by organizations and institutions specializing in occupational safety and health, including the ILO, INRS, and EU-OSHA.\nResults\nAI provides significant benefits for OSH, including continuous worker monitoring through wearable devices, intelligent building systems, automated hazard detection, smart personal protective equipment, workplace violence monitoring, automated substance screening, mental health monitoring, prevention of musculoskeletal disorders, automation of hazardous tasks, automated compliance audits, and decision-support systems. These technologies facilitate distancing from high-risk environments, reduce physical strain, and improve predictive monitoring. However, AI also generates new risks: mechanical failures, ergonomic issues, work intensification, technostress, social isolation, privacy violations, excessive surveillance, algorithmic discrimination, and job insecurity. Psychosocial risks include loss of autonomy, cognitive overload, and anxiety linked to automation.\nConclusion\nAI in occupational safety and health holds considerable potential for prevention and efficiency, but its deployment must be governed by ethical and participatory frameworks. Only a balanced integration of technological innovation and respect for workers’ rights will allow it to serve as a genuine driver of progress.\nKeywords\nArtificial intelligence; occupational safety and health; occupational risks; prevention\n\n\n### 1Maître de conférences en médecine du travail, Faculté de médecine et de pharmacie de Marrakech, Université Cadi Ayyad, Morocco; 2Professeur de médecine du travail, Faculté de médecine et de pharmacie de Rabat, Université Mohamed V, Morocco\nBMC Proceedings 2026, 20(11):P14\nBackground\nArtificial intelligence (AI) is profoundly reshaping professional environments, offering unprecedented opportunities for risk prevention while simultaneously generating new hazards. The objective of this study is to analyze the dual impact of AI on occupational safety and health (OSH).\nMaterials and Methods\nThe data analyzed derive from the scientific literature as well as from reports and publications issued by organizations and institutions specializing in occupational safety and health, including the ILO, INRS, and EU-OSHA.\nResults\nAI provides significant benefits for OSH, including continuous worker monitoring through wearable devices, intelligent building systems, automated hazard detection, smart personal protective equipment, workplace violence monitoring, automated substance screening, mental health monitoring, prevention of musculoskeletal disorders, automation of hazardous tasks, automated compliance audits, and decision-support systems. These technologies facilitate distancing from high-risk environments, reduce physical strain, and improve predictive monitoring. However, AI also generates new risks: mechanical failures, ergonomic issues, work intensification, technostress, social isolation, privacy violations, excessive surveillance, algorithmic discrimination, and job insecurity. Psychosocial risks include loss of autonomy, cognitive overload, and anxiety linked to automation.\nConclusion\nAI in occupational safety and health holds considerable potential for prevention and efficiency, but its deployment must be governed by ethical and participatory frameworks. Only a balanced integration of technological innovation and respect for workers’ rights will allow it to serve as a genuine driver of progress.\nKeywords\nArtificial intelligence; occupational safety and health; occupational risks; prevention", "domain": "affective_neuroscience"}
{"source": "PMC13100008", "title": "Purkinje cell intrinsic activity shapes cerebellar development and function", "text": "# Purkinje cell intrinsic activity shapes cerebellar development and function\n\n## Abstract\nThe emergence of functional cerebellar circuits is heavily influenced by activity-dependent processes. However, the contribution of intrinsic Purkinje cell activity to cerebellar development remains less understood. Here, we demonstrate that before synaptic networks mature, Purkinje cell intrinsic activity is essential for regulating dendritic growth, establishing connections with cerebellar nuclei, and ensuring proper cerebellar function. Disrupting this activity during the postnatal period impairs motor function, with earlier perturbations causing more severe deficits. Importantly, only early developmental disruptions lead to pronounced defects in cellular morphology, highlighting key temporal windows for dendritic growth and maturation. Transcriptomic analyses reveal that early intrinsic activity drives the expression of activity-dependent genes, including Prkcg and Car8, which are essential for dendritic development. Our findings emphasize the importance of temporally regulated intrinsic activity in Purkinje cells in guiding cerebellar circuit development, providing a potential unifying mechanism underlying cerebellum-associated disorders. Cerebellar Purkinje cells feature intrinsic activity early in postnatal development. Here, the authors show that disrupting this early activity impairs gene expression, morphological development, and motor function, linking deficits to cerebellar disorders.\n\n## Full Text\n\n\n### Introduction\nNeural development relies on a complex interplay between genetic and early activity-dependent processes that guide morphogenesis and establish functional neural circuits1,2. Early electrical activity regulates a wide range of developmental programs in various regions of the nervous system, including the retina3,4, spinal cord5,6, cochlea7, and neocortex8,9. Genetic programs are especially relevant during cerebellar ontogenesis, where more than half of the brain’s neurons10 converge to form an intricate network of connections.\nThe cerebellum undergoes a prolonged maturation period, making it particularly susceptible to developmental errors11. Indeed, evidence suggests that a common feature of several cerebellar-associated disorders is the impairment of Purkinje cell intrinsic activity12, which is the spontaneous activity generated by these principal neurons in the absence of synaptic inputs13,14. However, the requirement for early Purkinje cell activity in their maturation and its potential contribution to cerebellar dysfunction remains largely unexplored. Purkinje cells are at the core of cerebellar circuitry, and their development is intertwined with that of the surrounding cerebellar elements15. The genetic and cellular programs governing the genesis, migration, diversity, and differentiation of cerebellar cells have been explored and cataloged through recent single-cell transcriptomic endeavors16,17. Although less studied, activity-dependent mechanisms also play a crucial role in the early stages of cerebellar development. For example, the organization of Purkinje cell parasagittal banding requires Purkinje cell output signals18, while the competition and subsequent elimination of climbing fiber afferents depend on Purkinje cell activity19. Furthermore, electrical stimulation of cerebellar slices induces the expression of Arc in Purkinje cells, contributing to the elimination of climbing fiber synapses20. Recent in vitro studies have revealed that even when synaptic transmission is blocked, Purkinje cells exhibit intrinsic activity as early as postnatal day 3, with this activity gradually increasing until it stabilizes at mature levels by the end of the second postnatal week21. Nevertheless, the extent to which early intrinsic activity influences the molecular programs underlying Purkinje cell maturation, circuit assembly, and overall cerebellar function remains unclear.\nTo investigate the role of Purkinje cell intrinsic activity in cerebellar development, we genetically reduced their intrinsic activity at distinct postnatal stages in mice. Our findings reveal that early activity is fundamental for the development of Purkinje cell dendritic arbors, axonal targeting of cerebellar nuclei neurons, and the acquisition of cerebellar functions. Intrinsic activity is particularly important during the first two postnatal weeks for Purkinje cell maturation and the establishment of balance and coordination functions. Molecularly, early intrinsic activity modulates the expression of several activity-dependent genes, including Prkcg and Car8. Functional shRNA knockdown of Prkcg and Car8 genes demonstrates that they are key regulators of Purkinje cell development. Overall, our results unveiled a selective requirement for early Purkinje cell activity in shaping cerebellar development and function.\n\n\n### Results\nTo reduce the intrinsic activity of Purkinje cells during postnatal development, we generated a mouse model that allows for temporal control of activity. The tamoxifen-inducible Pcp2creER mouse line22 was crossed with a conditional line expressing the inward rectifying potassium channel 2.1 (Kir2.1) fused to the mCherry reporter gene23, generating Pcp2creER;Kir2.1 mutant mice (Supplementary Fig. 1a, c). As an inducible control, Pcp2creER;Ai1424 mice conditionally expressing the tdTomato reporter were also generated (Supplementary Fig. 1a, b). To examine Purkinje cell activity in a cell-autonomous manner, we administered a single low dose of tamoxifen at postnatal day (P) 1 to achieve sparse labeling of Purkinje cells expressing either Kir2.1-mCherry or tdTomato in mutant and control pups, respectively (Fig. 1a and Supplementary Fig. 1a, d). At P21, when cerebellar development is complete, we performed ex vivo recordings from sagittal cerebellar slices to evaluate the levels of intrinsic activity in Purkinje cells expressing tdTomato (Pcp2creER;Ai14), Kir2.1-mCherry (Pcp2creER;Kir2.1), or neither (Pcp2creER;Kir2.1;Ctl, unlabeled controls). Recordings were conducted in the presence of synaptic blockers for NMDA, AMPA, GABAA, and glycine receptors. In control recordings, 77% of Purkinje cells exhibited spontaneous firing, confirming intrinsic activity. In contrast, Kir2.1 overexpression abolished spontaneous firing in 90% of the recorded Pcp2creER;Kir2.1 Purkinje cells by hyperpolarizing the resting membrane potential (Fig. 1b, c). Treatment with 300 µM barium, a potassium channel blocker, restored the membrane potential to control levels in Pcp2creER;Kir2.1 Purkinje cells (Supplementary Fig. 2a). Kir2.1 overexpression also caused a significant shift in the current–voltage (I–V) curve of mutant Purkinje cells compared to controls, notably more hyperpolarized current at −140 mV. This I–V curve could also be restored to control levels by the presence of barium (Supplementary Fig. 2b–d). Despite the loss of intrinsic activity, mutant Pcp2creER;Kir2.1 Purkinje cells retained the ability to fire action potentials in response to depolarizing current injection (Fig. 1d, e). However, their lower input resistance (Supplementary Fig. 2e) made them less excitable, requiring larger current injections ( ≥ 600 pA) to evoke the firing of action potentials (Fig. 1e and Supplementary Fig. 2f).Fig. 1Overexpression of Kir2.1 reduces the intrinsic activity of Purkinje cells at P21.a Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. b Brains were collected at P21 for slice electrophysiology. Example traces of action potentials recorded from Pcp2creER;Ai14 (black) and Pcp2creER;Kir2.1 (red) Purkinje cells in the presence of NMDA receptor antagonist D-AP5, AMPA receptor antagonist NBQX, and GABAA/glycine receptor antagonist picrotoxin. c Number of firing and silent Purkinje cells in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. d Representative voltage responses to 200 pA step current injections from Pcp2creER;Ai14, Pcp2creER;Kir2.1,Ctl, and Pcp2creER;Kir2.1 Purkinje cells at P21. e Spike count of Purkinje cells from Pcp2creER;Ai14 (n = 13 cells/5 mice), Pcp2creER;Kir2.1,Ctl (n = 10 cells/4 mice) and Pcp2creER;Kir2.1 (n = 9 cells/5 mice) at P21 in response to 100 pA incremental current injections. Two-way repeated measures ANOVA: **P < 0.01. f Experimental design for in vivo recordings. Extracellular recordings were made from Purkinje cells in awake P28 ± 3 days Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. g Example traces of Purkinje cells recorded in Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice. Complex spikes are identified with an asterisk. h Simple spike firing rate, i coefficient of variation 2 (CV2) for simple spikes, j complex spike firing rate, and k CV2 for complex spikes in Purkinje cells from Pcp2+/+;Kir2.1 (n = 22 cells/5 mice) and Pcp2cre/+;Kir2.1 mice (n = 21 cells/5 mice). Mann–Whitney U-test and unpaired Student’s t-test with Welch’s correction: ***P < 0.001. Box plots indicate the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (h–k). Data are shown as the mean ± s.e.m. (e). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file. Ctl control.\na Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. b Brains were collected at P21 for slice electrophysiology. Example traces of action potentials recorded from Pcp2creER;Ai14 (black) and Pcp2creER;Kir2.1 (red) Purkinje cells in the presence of NMDA receptor antagonist D-AP5, AMPA receptor antagonist NBQX, and GABAA/glycine receptor antagonist picrotoxin. c Number of firing and silent Purkinje cells in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. d Representative voltage responses to 200 pA step current injections from Pcp2creER;Ai14, Pcp2creER;Kir2.1,Ctl, and Pcp2creER;Kir2.1 Purkinje cells at P21. e Spike count of Purkinje cells from Pcp2creER;Ai14 (n = 13 cells/5 mice), Pcp2creER;Kir2.1,Ctl (n = 10 cells/4 mice) and Pcp2creER;Kir2.1 (n = 9 cells/5 mice) at P21 in response to 100 pA incremental current injections. Two-way repeated measures ANOVA: **P < 0.01. f Experimental design for in vivo recordings. Extracellular recordings were made from Purkinje cells in awake P28 ± 3 days Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. g Example traces of Purkinje cells recorded in Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice. Complex spikes are identified with an asterisk. h Simple spike firing rate, i coefficient of variation 2 (CV2) for simple spikes, j complex spike firing rate, and k CV2 for complex spikes in Purkinje cells from Pcp2+/+;Kir2.1 (n = 22 cells/5 mice) and Pcp2cre/+;Kir2.1 mice (n = 21 cells/5 mice). Mann–Whitney U-test and unpaired Student’s t-test with Welch’s correction: ***P < 0.001. Box plots indicate the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (h–k). Data are shown as the mean ± s.e.m. (e). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file. Ctl control.\nNext, we examined Purkinje cell activity in vivo using Pcp2cre/+;Kir2.1 mice, in which Kir2.1 is overexpressed in all Purkinje cells, and control littermates Pcp2+/+;Kir2.1 at P28 ± 3 days (Fig. 1f and Supplementary Fig. 1e–g). Purkinje cells were identified by the presence of simple and complex spikes, and single unit recordings were confirmed by the presence of the characteristic pause in simple spikes following each complex spike (Fig. 1g). The simple spike firing rate was significantly reduced in Pcp2cre/+;Kir2.1 Purkinje cells (65 ± 4 Hz) compared with controls (13 ± 3 Hz) (Fig. 1g, h), and mutant cells displayed increased irregularity in simple spike firing (Fig. 1i). Conversely, the complex spike rate was significantly higher in Pcp2cre/+;Kir2.1 Purkinje cells than in controls (Fig. 1j), while their firing regularity remained unchanged (Fig. 1k). In line with previous findings that simple spike firing rate primarily reflects the intrinsic activity of Purkinje cells25, these results demonstrated that Kir2.1-overexpression also minimizes Purkinje cell firing activity in vivo. Taken together, these findings indicate that Purkinje cells overexpressing Kir2.1 exhibit reduced intrinsic activity but retain the capacity to generate action potentials when stimulated.\nTo investigate whether disrupting intrinsic activity impacts the morphological development of Purkinje cells, we used inducible Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice to sparsely label Purkinje cells from P1 to P21 (Fig. 2a). We analyzed the dendritic arbors of Purkinje cells at P21 across different cerebellar regions. Sholl analyses revealed that Purkinje cells in Pcp2creER;Kir2.1 mice exhibited reduced dendritic complexity compared with Pcp2creER;Ai14 control cells (Fig. 2b–d). Moreover, other morphological parameters, including area, the length of the longest dendrite, and extension in the molecular layer (ML), were significantly reduced in Kir2.1-expressing Purkinje cells relative to controls (Fig. 2b, e–g). To corroborate these findings, we performed gain-of-function experiments by electroporating plasmids encoding GFP (control) and Kir2.1-T2A-tdTomato (Kir2.1) into Purkinje cell progenitors at embryonic day (E) 12.5 (Supplementary Fig. 3a). At P21, Kir2.1 Purkinje cells exhibited markedly reduced dendritic complexity compared with controls (Supplementary Fig. 3b–d), along with decreased area, longest dendritic length and extension in the ML (Supplementary Fig. 3b, e–g).Fig. 2Decreased intrinsic activity impairs Purkinje cell development.a Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P21 for morphological analyses. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g ML ratio in Pcp2creER;Ai14 (n = 92 cells/3 mice) and Pcp2creER;Kir2.1 (n = 84 cells/3 mice) Purkinje cells. Unpaired Student’s t-test and Mann–Whitney U-test: ***P < 0.001. h Experimental design. Brains from conditional Pcp2cre/+;Kir2.1 and control littermate Pcp2+/+;Kir2.1 mice were collected at P21. i Representative images (top) and high-magnification insets (bottom) showing calbindin-positive (+) (blue) Purkinje cell axon terminals and VGAT+ (yellow) presynaptic boutons surrounding a NeuN+ (gray) neuron in the lateral cerebellar nuclei at P21. j Density of calbindin+ VGAT+ axon terminals contacting NeuN+ neurons at P21 in Pcp2+/+;Kir2.1 (n = 56 cells/3 mice) and Pcp2cre/+;Kir2.1 (n = 60 cells/3 mice). Unpaired Student’s t-test: ***P < 0.001. k Example traces of in vivo extracellular recordings of cerebellar nuclei neurons from awake P28 ± 3 days old Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. l Firing rate and m coefficient of variation 2 (CV2) in from Pcp2+/+;Kir2.1 (n = 19 cells/4 mice) and Pcp2cre/+;Kir2.1 mice (n = 22 cells/5 mice). Unpaired Student’s t-test: *P < 0.05. Scale bars, 25 µm (b); 10 µm (top panel i); 2 µm (bottom panel i). Data are shown as the mean ± s.e.m. (c–g, j). Data are presented in box plots indicating the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (l, m). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P21 for morphological analyses. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g ML ratio in Pcp2creER;Ai14 (n = 92 cells/3 mice) and Pcp2creER;Kir2.1 (n = 84 cells/3 mice) Purkinje cells. Unpaired Student’s t-test and Mann–Whitney U-test: ***P < 0.001. h Experimental design. Brains from conditional Pcp2cre/+;Kir2.1 and control littermate Pcp2+/+;Kir2.1 mice were collected at P21. i Representative images (top) and high-magnification insets (bottom) showing calbindin-positive (+) (blue) Purkinje cell axon terminals and VGAT+ (yellow) presynaptic boutons surrounding a NeuN+ (gray) neuron in the lateral cerebellar nuclei at P21. j Density of calbindin+ VGAT+ axon terminals contacting NeuN+ neurons at P21 in Pcp2+/+;Kir2.1 (n = 56 cells/3 mice) and Pcp2cre/+;Kir2.1 (n = 60 cells/3 mice). Unpaired Student’s t-test: ***P < 0.001. k Example traces of in vivo extracellular recordings of cerebellar nuclei neurons from awake P28 ± 3 days old Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. l Firing rate and m coefficient of variation 2 (CV2) in from Pcp2+/+;Kir2.1 (n = 19 cells/4 mice) and Pcp2cre/+;Kir2.1 mice (n = 22 cells/5 mice). Unpaired Student’s t-test: *P < 0.05. Scale bars, 25 µm (b); 10 µm (top panel i); 2 µm (bottom panel i). Data are shown as the mean ± s.e.m. (c–g, j). Data are presented in box plots indicating the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (l, m). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nTo assess whether deficits in intrinsic activity affected the presynaptic targeting of Purkinje cells as a population, we used Pcp2cre/+;Kir2.1 mice and control littermates (Fig. 2h). We quantified the number of calbindin-expressing (Calb+) and vesicular GABA transporter (VGAT+) boutons contacting NeuN+ cerebellar nuclei neurons. Loss of intrinsic activity resulted in a significant reduction in the number of Calb+ VGAT+ contacts that Purkinje cells made onto lateral cerebellar nuclei NeuN+ neurons compared with controls (Fig. 2i, j). To determine how these structural changes translated into cerebellar output, we performed extracellular recordings from cerebellar nuclei neurons in vivo in Pcp2cre/+;Kir2.1 mice and controls. Cerebellar nuclei were localized post hoc using Evans blue. Neurons in the cerebellar nuclei of Pcp2cre/+;Kir2.1 mice displayed significantly higher firing rates (Fig. 2k, l) and increased irregularity in firing compared with controls (Fig. 2m). Overall, these results indicate that loss of Purkinje cell intrinsic activity during the early postnatal period disrupts dendritic growth and impairs presynaptic targeting.\nMutations that affect Purkinje cell development are known to cause motor impairments26–29. To investigate how disrupting intrinsic activity from birth to adulthood affects motor behavior, we tested adult (P60-P90) Pcp2cre/+;Kir2.1 mice and control littermates, Pcp2+/+;Kir2.1. In the balance beam test, Pcp2cre/+;Kir2.1 mice required more time to cross a 12 mm flat beam and made more missteps than controls (Fig. 3a, b and Supplementary Movies 1 and 2). On the accelerating rotarod, Pcp2cre/+;Kir2.1 mice had a shorter latency to fall on the rotating rod at both 40 and 80 rpm compared to controls (Fig. 3c and Supplementary Movies 3). Using the LocoMouse test30,31, we found that Pcp2cre/+;Kir2.1 mice exhibited abnormal body axis swings and increased body-axis angles (Fig. 3d, e). While stride and stance distances were similar between groups, mutants took significantly longer to complete these movements (Supplementary Fig. 4a and Supplementary Movies 4 and 5). Interlimb coordination was also disrupted in the mutants, with diagonal limb pairs failing to move synchronously across different walking speeds (Fig. 4c). However, in the open field test, while the distance traveled was similar between groups, mutants moved faster than controls (Supplementary Fig. 4b). Overall, these data revealed that disruption of intrinsic Purkinje cell activity from early development to adulthood results in an ataxic phenotype characterized by impaired gait coordination and balance.Fig. 3Reduced intrinsic activity of Purkinje cells impairs balance, coordination, and cerebellar-motor learning.Balance beam test. a Time to cross the beam and b number of missteps made by Pcp2+/+;Kir2.1 (n = 10 mice) and Pcp2cre/+;Kir2.1 (n = 9 mice). Mann–Whitney U-test: ***P < 0.001. c Accelerated rotarod performance. Latency to fall across five consecutive days in Pcp2+/+;Kir2.1 (n = 11 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA followed by Bonferroni’s multiple comparisons: ***P < 0.001. LocoMouse gait analysis. d Angle of front-right hind-left (FRHL) paw placement relative to the body axis and e swing angle of the body axis in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 6 mice). Unpaired Student’s t-test: **P < 0.01. f Compensatory eye movement recordings. Illustration of the recording setup showing vestibular (turntable, yellow arrow) and visual (drum, blue arrow) stimulation. An infrared (IR) CCD camera tracked the left eye (N, nasal; T, temporal). Red circles, pupil fit; black cross, corneal reflection (CR); white cross, pupil (P) center. Example trace shows eye position (gray) and drum position (blue). g Eyeblink conditioning. Schematic of recording setup. CS conditioned stimulus (LED light, yellow), US unconditioned stimulus (corneal air puff, blue). h Quantification of vestibular-ocular reflex (VOR) phase reversal training over five consecutive days in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 7 mice). Mixed-effect analysis with repeated measures: ***P < 0.001. i Percentage of conditioned responses during training in Pcp2+/+;Kir2.1 (n = 16 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA: ***P < 0.001. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.Fig. 4Decreased intrinsic activity delays Purkinje cell development in the first postnatal weeks.a Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P7. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P7. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections (P = 0.0455), cell area (P = 0.8336), longest dendrite (P = 0.0992), and number of neurites in Pcp2creER;Ai14 (n = 103 cells/3 mice) and Pcp2creER;Kir2.1 (n = 104 cells/4 mice) Purkinje cells. Mann–Whitney U-test: *P < 0.05, ***P < 0.001. e Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P7, and brains were collected at P14. f Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P14. g Quantification of dendrite complexity using Sholl analysis, including h number of intersections, cell area, longest dendrite, and ML ratio in Pcp2creER;Ai14 (n = 90 cells/3 mice) and Pcp2creER;Kir2.1 (n = 101 cells/3 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: ***P < 0.001. i Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P14, and brains were collected at P21. j Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. k Quantification of dendrite complexity using Sholl analysis, including l number of intersections (P = 0.0110), cell area, longest dendrite, and ML ratio (P = 0.0638) in Pcp2creER;Ai14 (n = 99 cells/3 mice) and Pcp2creER;Kir2.1 (n = 95 cells/5 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: *P < 0.05, ***P < 0.001. Scale bars, 25 µm (b, f, j). Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nBalance beam test. a Time to cross the beam and b number of missteps made by Pcp2+/+;Kir2.1 (n = 10 mice) and Pcp2cre/+;Kir2.1 (n = 9 mice). Mann–Whitney U-test: ***P < 0.001. c Accelerated rotarod performance. Latency to fall across five consecutive days in Pcp2+/+;Kir2.1 (n = 11 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA followed by Bonferroni’s multiple comparisons: ***P < 0.001. LocoMouse gait analysis. d Angle of front-right hind-left (FRHL) paw placement relative to the body axis and e swing angle of the body axis in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 6 mice). Unpaired Student’s t-test: **P < 0.01. f Compensatory eye movement recordings. Illustration of the recording setup showing vestibular (turntable, yellow arrow) and visual (drum, blue arrow) stimulation. An infrared (IR) CCD camera tracked the left eye (N, nasal; T, temporal). Red circles, pupil fit; black cross, corneal reflection (CR); white cross, pupil (P) center. Example trace shows eye position (gray) and drum position (blue). g Eyeblink conditioning. Schematic of recording setup. CS conditioned stimulus (LED light, yellow), US unconditioned stimulus (corneal air puff, blue). h Quantification of vestibular-ocular reflex (VOR) phase reversal training over five consecutive days in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 7 mice). Mixed-effect analysis with repeated measures: ***P < 0.001. i Percentage of conditioned responses during training in Pcp2+/+;Kir2.1 (n = 16 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA: ***P < 0.001. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P7. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P7. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections (P = 0.0455), cell area (P = 0.8336), longest dendrite (P = 0.0992), and number of neurites in Pcp2creER;Ai14 (n = 103 cells/3 mice) and Pcp2creER;Kir2.1 (n = 104 cells/4 mice) Purkinje cells. Mann–Whitney U-test: *P < 0.05, ***P < 0.001. e Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P7, and brains were collected at P14. f Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P14. g Quantification of dendrite complexity using Sholl analysis, including h number of intersections, cell area, longest dendrite, and ML ratio in Pcp2creER;Ai14 (n = 90 cells/3 mice) and Pcp2creER;Kir2.1 (n = 101 cells/3 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: ***P < 0.001. i Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P14, and brains were collected at P21. j Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. k Quantification of dendrite complexity using Sholl analysis, including l number of intersections (P = 0.0110), cell area, longest dendrite, and ML ratio (P = 0.0638) in Pcp2creER;Ai14 (n = 99 cells/3 mice) and Pcp2creER;Kir2.1 (n = 95 cells/5 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: *P < 0.05, ***P < 0.001. Scale bars, 25 µm (b, f, j). Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nGiven the importance of Purkinje cell activity for motor learning, we examined the impact of reduced intrinsic activity on cerebellum-dependent learning behaviors, such as vestibular-ocular reflex (VOR) adaptation32,33 and eyeblink conditioning (EBC)34,35. We observed no differences in VOR and visual VOR gain (amplitude) and phase (timing) between genotypes (Supplementary Fig. 4e, f). However, Pcp2cre/+;Kir2.1 mutants exhibited lower gain and higher phase in the optokinetic reflex (OKR) compared to controls (Supplementary Fig. 4d). In a phase-reversal VOR adaptation protocol, control animals successfully reversed their VOR direction by increasing phase over a 5-day experiment. In contrast, Pcp2cre/+;Kir2.1 mutants failed to adapt their phase or gain, indicating impaired motor learning (Fig. 3f, h and Supplementary Fig. 4g). Similarly, in the EBC paradigm, where mice learn to associate a visual conditioned stimulus (CS—LED light) with an eyeblink-inducing unconditioned stimulus (US—air puff delivered to the mouse cornea), mutant mice exhibited significantly reduced conditioned response (CR—preventive eyelid closure) percentage and amplitude compared to controls (Fig. 3g, i and Supplementary Fig. 4h, i). Importantly, both genotypes showed similar unconditioned response peak times, confirming that their ability to close the eyelid was intact (Supplementary Fig. 4j).\nTo further investigate the neural correlates of these behavioral deficits, we performed in vivo recordings of Purkinje cell and cerebellar nuclei neuron activity in adult mice (Supplementary Fig. 5a). Consistent with findings in juvenile animals, Pcp2cre/+;Kir2.1 Purkinje cells exhibited significantly lower simple spike firing rates and larger firing irregularity than controls (Supplementary Fig. 5b–d), whereas complex spike rate and regularity were unaffected (Supplementary Fig. 5b, e, f). Unlike the juvenile mice, cerebellar nuclei neurons in adult mutant mice showed reduced firing rates with unchanged firing regularity (Supplementary Fig. 5g–i). A pathological feature shared by different subtypes of ataxia is the alteration of excitatory synaptic inputs onto the Purkinje cells, particularly, the loss of climbing fibers (CFs)36–39 and impairment of parallel fibers (PFs)40,41. Using VGLUT2 as a marker for CF terminals, we found a significant reduction in the percentage of CF extension within the ML and VGLUT2 puncta density in mutants compared to controls (Supplementary Fig. 6a–d). Furthermore, the number of VGLUT2 puncta apposed to the Purkinje cell soma was increased in mutants, suggesting impaired CF translocation (Supplementary Fig. 6b, e). Examination of PF terminals using VGLUT1 revealed a marked decrease in puncta density and enlarged bouton size in mutants relative to controls (Supplementary Fig. 6f–h). Collectively, these results demonstrate that suppressing Purkinje cell intrinsic activity from early development to adulthood results in impaired motor coordination and cerebellum-dependent learning, accompanied by disrupted cerebellar firing patterns and synaptic organization.\nAfter establishing the importance of Purkinje cell intrinsic activity for dendritic growth and presynaptic targeting, we asked whether this requirement persisted across different developmental stages. To address this, we administered low doses of tamoxifen at P1, P7, or P14 in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice to achieve sparse labeling in order to analyse Purkinje cell dendritic arbor morphology one week later, at P7, P14, and P21, respectively (Fig. 4a, e, i and Supplementary Fig. 7). Following Kir2.1 overexpression from P1 to P7, mutant Purkinje cells displayed a greater number of primary neurites emerging from the soma compared with controls (Fig. 4b–d). While control P7 Purkinje cells exhibited a characteristic single flattened dendrite with a vertical orientation, Kir2.1-overexpressing Purkinje cells retained an immature, multipolar morphology with neurites extending in multiple directions, resembling an earlier developmental stage42. Despite these differences in dendritic organization, the area and the length of the longest neurite did not differ between genotypes (Fig. 4d). Overexpression of Kir2.1 during the second postnatal week (P7–P14) caused a marked reduction in dendritic complexity, area, dendrite length, and extension in the ML in mutant Purkinje cells compared with controls at P14 (Fig. 4f–h). When intrinsic activity was suppressed during the third postnatal week (P14–P21), mutant Purkinje cells at P21 still exhibited significant reductions in dendritic complexity, area, and dendrite length relative to controls (Fig. 4j–l). However, the magnitude of these deficits—10% in dendritic complexity, 21% in area, and 13% in dendrite length—was less pronounced than that observed with activity disruption throughout the entire developmental period (P1–P21: 38%, 49%, and 26%, respectively; Fig. 2c–f). Notably, at this later stage, the percentage of dendritic extension in the ML was similar between mutant and control Purkinje cells (Fig. 4l).\nTo confirm the effectiveness of Kir2.1-mediated suppression of intrinsic activity throughout these stages, we performed ex vivo recordings in control and Kir2.1-overexpressing Purkinje cells. In control recordings, 77%, 92%, and 81% of Purkinje cells exhibited spontaneous firing at P7, P14, and P21, respectively. In contrast, only 6%, 0%, and 8% of Pcp2creER;Kir2.1 Purkinje cells were intrinsically active at the corresponding ages (Supplementary Fig. 8a, e, i). Kir2.1 overexpression also significantly altered intrinsic electrophysiological properties, including a hyperpolarized resting membrane potential (Supplementary Fig. 8b, f, j), increased hyperpolarizing currents at −140 mV (Supplementary Fig. 8c, g, k), and reduced input resistance (Supplementary Fig. 8d, h, l) across all developmental stages examined. To examine how intrinsic activity influences Purkinje cell connectivity with cerebellar nuclei neurons at different developmental stages, we used Pcp2cre/+;Kir2.1 mice from P1 to P7 to achieve Kir2.1-overexpression in all Purkinje cells from birth. For the intermediary stages, P7–P14 and P14–P21, we employed the inducible Pcp2creER;Kir2.1 mice and administered high doses of tamoxifen to maximize Kir2.1 expression in all Purkinje cells, alongside the respective control groups (Supplementary Fig. 9a, b, e, f, i, j). Kir2.1 overexpression from P1 to P7 significantly reduced the number of Calb+ VGAT+ contacts between Purkinje cells and NeuN+ neurons in the lateral cerebellar nuclei compared with controls (Supplementary Fig. 9c, d). Suppression of intrinsic activity from P7 to P14 also led to a significant decrease in these inhibitory contacts (Supplementary Fig. 9g, h). In contrast, reducing activity from P14 to P21 had no effect on the number of Calb+ VGAT+ inhibitory contacts between Purkinje cells and NeuN+ neurons in the mutant compared with the control (Supplementary Fig. 9k, l). These findings indicate that Purkinje cell intrinsic activity is essential for proper dendritic morphology and presynaptic targeting during development, with the most pronounced deficits occurring when activity is disrupted during the first two postnatal weeks.\nNext, we examined whether the timing of intrinsic activity disruption in Purkinje cells during development influences the severity of motor impairments. High doses of tamoxifen were administered for three consecutive days at P7, P14, or P21 in inducible Pcp2creER;Kir2.1 mice and respective controls to induce Kir2.1-overexpression in all Purkinje cells (Fig. 5a and Supplementary Fig. 10c-h). Motor performance in adulthood was assessed using the balance beam test. Regardless of the timing of intrinsic activity suppression, Pcp2creER;Kir2.1 mice were significantly slower and made more missteps when crossing the flat 12 mm beam compared to controls, indicating impaired balance and coordination (Fig. 5b, c). However, the severity of these deficits depended on when intrinsic activity was disrupted. Mice with disrupted Purkinje cell activity from the second or third postnatal week performed significantly better than those in which Purkinje cell activity was suppressed from birth (Fig. 5b–f and Supplementary Fig. 10a, b). These findings suggest that while intrinsic Purkinje cell activity is crucial for optimizing motor movements, motor control is particularly sensitive to disruptions in Purkinje cell activity during early postnatal weeks.Fig. 5The onset of Purkinje cell activity reduction determines the severity of motor impairment.a Experimental design. Pcp2+/+;Kir2.1 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 7 (P7), P14, or P21, and motor performance was assessed in adulthood using the balance beam test. b Balance beam performance showing the time to cross the beam for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis (P = 0.0011) followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. c Balance beam performance showing the number of missteps for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, ***P < 0.001. d Experimental design. Pcp2cre/+;Kir2.1 mice and littermate controls Pcp2+/+;Kir2.1 were assessed for motor performance in adulthood using the balance beam test. e Delta-time to cross the balance beam (difference in crossing time between mutant and control groups) across experimental conditions. f Delta-number of missteps (difference between mutant and control groups) across experimental conditions. Ages represent the onset of Kir2.1 expression in mutant animals. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2+/+;Kir2.1 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 7 (P7), P14, or P21, and motor performance was assessed in adulthood using the balance beam test. b Balance beam performance showing the time to cross the beam for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis (P = 0.0011) followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. c Balance beam performance showing the number of missteps for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, ***P < 0.001. d Experimental design. Pcp2cre/+;Kir2.1 mice and littermate controls Pcp2+/+;Kir2.1 were assessed for motor performance in adulthood using the balance beam test. e Delta-time to cross the balance beam (difference in crossing time between mutant and control groups) across experimental conditions. f Delta-number of missteps (difference between mutant and control groups) across experimental conditions. Ages represent the onset of Kir2.1 expression in mutant animals. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nBecause delaying the onset of Kir2.1-overexpression by just one week was sufficient to improve balance beam performance, we hypothesized that the early deficits observed in the most severe phenotype, where Kir2.1 was overexpressed from birth (Supplementary Fig. 11a), might also impair the maturation of other cerebellar cell types whose development depends on proper Purkinje cell maturation, namely ML interneurons (MLIs)43,44 and granule cells (GCs)45,46. To test this, we examined MLI density in adult Pcp2cre/+;Kir2.1 mice and their respective controls (Supplementary Fig. 11a, b). While parvalbumin (PV) is a known marker for both Purkinje cells and MLIs47, it does not label all MLIs within the ML48. Hence, we quantified the number of PV-positive (PV+) cells co-labeled with NeuroTrace (NeuT+), a fluorescent Nissl stain, within the ML. The number of PV+ NeuT+ cells, but not NeuT+ cells, was reduced in Pcp2cre/+;Kir2.1 mice compared with controls (Supplementary Fig. 11b–d). The ML was also thinner than in controls (Supplementary Fig. 11b, e). We next assessed MLI density in mice in which Purkinje cell activity was disrupted at P7, thereby sparing the first week of development from changes in activity (Supplementary Fig. 11f). The density of PV+ NeuT+ and NeuT+ MLIs, as well as the ML thickness, was unchanged between groups (Supplementary Fig. 11g–j). Lastly, we analyzed the granule cell layer thickness (GCL) as a proxy for GC numbers, and measured the size of vermal cerebellar lobules in Pcp2cre/+;Kir2.1 mice and P7-inducible Pcp2creER;Kir2.1 mice and their respective controls (Supplementary Fig. 11k). There was no difference in the GCL thickness of the cerebellar cortex between Pcp2cre/+;Kir2.1 or P7-inducible Pcp2creER;Kir2.1 mice and respective controls (Supplementary Fig. 11l, n). However, lobules I-II, IV-V, and IX were smaller in Pcp2cre/+;Kir2.1 mice (Supplementary Fig. 11m), while lobules IV-V and VI were reduced in the P7-inducible Pcp2creER;Kir2.1 mice compared to controls (Supplementary Fig. 11o). Together, these results indicate that early disruption of Purkinje cell intrinsic activity not only leads to more severe motor deficits but also interferes with the proper maturation of cerebellar circuitry and structure.\nOur findings revealed that loss of Purkinje cell activity during the first week of development was sufficient to alter neuron development (Fig. 4a–d). To uncover the molecular mechanisms by which intrinsic activity influences Purkinje cell development, we isolated Purkinje cells from P7 Pcp2cre/+;Kir2.1 and control mice and compared their transcriptomics profiles using bulk RNA sequencing (RNAseq) (Supplementary Fig. 12a–c). Differential expression analysis identified 1602 differentially expressed genes (DEGs) (Fig. 6a). Gene ontology (GO) enrichment analysis of DEGs revealed a significant overrepresentation of biological processes related to synaptic signaling (e.g., Grid2, Snca), calcium ion transport (e.g., Trpc3, Itpr1), and regulation of nervous system development (e.g., Hes5, Sema6d) (Fig. 6b), reflecting the morphological and synaptic alterations observed in our model (Fig. 6b). Enriched cellular component terms included the postsynaptic density membrane, dendritic spines, presynaptic membrane and axon terminus, further supporting transcriptional dysregulation at the synaptic level (Supplementary Fig. 12d). At the molecular function level, most DEGs were associated with transmembrane transport activity and calcium channel activity, indicating altered calcium signaling mechanisms (Supplementary Fig. 12e). These data evidence that the transcriptional changes following Purkinje cell intrinsic activity suppression, converge on pathways essential for neuronal excitability, synaptic integrity, and cerebellar circuit development. To identify functional networks affected by the loss of Purkinje cell intrinsic activity, we performed KEGG pathway enrichment analysis on the DEGs. This analysis revealed significant enrichment for pathways associated with synaptic formation and function, including axon guidance, GABAergic, dopaminergic, and glutamatergic synapses. In addition, several intracellular signaling mechanisms were enriched, such as calcium, phosphatidylinositol, and retrograde endocannabinoid signaling, as well as long-term depression, underlying the broad impact of intrinsic activity on intracellular communication and synaptic plasticity. Notably, KEGG enrichment also identified disease-related pathways, including those associated with neurodegeneration, spinocerebellar ataxia, and Huntington’s disease, suggesting that early disruption of Purkinje cell activity engages molecular programs commonly implicated in cerebellar and neurodegenerative disorders (Fig. 6c). Consistent with these transcriptional alterations, loss of Purkinje cell intrinsic activity led to severe motor impairments in our mouse model. To explore disease-relevant transcriptional changes, we examined the KEGG Disease Database, which identified 216 genes linked to movement disorders with a cerebellar component, 25 of which overlapped with our DEG list (Fig. 6d and Supplementary Fig. 12f, g). These overlapping genes were key regulators of neuronal development, excitability, synaptic and mitochondrial function49, most of which were downregulated in our dataset (Fig. 6e).Fig. 6Decreased intrinsic activity of P7 Purkinje cells alters the expression of movement disorder-associated genes.a Vulcano plot shows DEGs in Purkinje cells isolated from Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice at postnatal day 7 (P7). Downregulated (blue) and upregulated (orange) genes are defined by a log2 fold change ≥ ± 0.5 and –log10 (FDR) ≥ 1.3. b Selected significantly enriched Gene Ontology (GO) Biological Process terms (FDR ≤ 0.05) and the corresponding GO network based on DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. c KEGG pathway enrichment network of DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. Node size reflects the number of enriched genes, and gene expression level is color-coded (pink, upregulated; green, downregulated; based on log2 fold change, FC). d Venn diagram illustrates the overlap between DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7 and genes associated with cerebellar movement disorders (KEGG Disease Database). There are 25 genes common to both datasets. e Vulcano plot highlighting the 25 overlapping genes identified in d, plotted by log2 fold change and –log10 (FDR). Genes labeled in red in (c) represent a subset of these shared genes. FDR false discovery rate.\na Vulcano plot shows DEGs in Purkinje cells isolated from Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice at postnatal day 7 (P7). Downregulated (blue) and upregulated (orange) genes are defined by a log2 fold change ≥ ± 0.5 and –log10 (FDR) ≥ 1.3. b Selected significantly enriched Gene Ontology (GO) Biological Process terms (FDR ≤ 0.05) and the corresponding GO network based on DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. c KEGG pathway enrichment network of DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. Node size reflects the number of enriched genes, and gene expression level is color-coded (pink, upregulated; green, downregulated; based on log2 fold change, FC). d Venn diagram illustrates the overlap between DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7 and genes associated with cerebellar movement disorders (KEGG Disease Database). There are 25 genes common to both datasets. e Vulcano plot highlighting the 25 overlapping genes identified in d, plotted by log2 fold change and –log10 (FDR). Genes labeled in red in (c) represent a subset of these shared genes. FDR false discovery rate.\nTo investigate whether genes implicated in cerebellar disease also contribute to Purkinje cell development, we selected two candidates from our RNA-seq analysis for functional studies: Prkcg (PKCγ, protein kinase C gamma)50 and Car8 (CAR8, carbonic anhydrase VIII)51 (Fig. 6e). The selection criteria included: (1) fold-change in expression, (2) statistical significance, and (3) known involvement in cerebellar disease52–54 (Supplementary Fig. 12g). We performed Purkinje cell-specific in vivo gene knockdown using effective short-hairpin RNAs (shRNAs) targeting Prkcg (shPrkcg) and Car8 (shCar8), with shLacZ as a control (Supplementary Fig. 13a, c). Each shRNA was delivered via adeno-associated virus (AAVs) carrying an mCherry reporter gene (Supplementary Fig. 13e). AAVs were injected into the lateral ventricles of neonatal Pcp2cre/+ mice, and tissue was collected at P7 for analysis (Fig. 7a). In situ hybridization confirmed successful downregulation of Prkcg or Car8 in mCherry-positive Purkinje cells (Supplementary Fig. 13b, d). Morphological analyses revealed that Prkcg knockdown significantly increased dendritic complexity, area, and dendritic length, while reducing the number of neurites emerging from the soma compared to controls (Fig. 7b–g). These results indicate that PKCγ acts as a negative regulator of dendritic growth. In contrast, Car8 downregulation did not affect dendritic complexity or cell area (Fig. 7b–e). However, it reduced dendritic length and increased the number of neurites extending from the soma compared to controls (Fig. 7b, f, g), suggesting a delay in dendritic maturation similar to that observed in Kir2.1-overexpressing Purkinje cells. These findings implicate CAR8 in the transition from an immature multipolar morphology to a more mature, vertically oriented flattened dendrite.Fig. 7Activity-dependent Prkcg and Car8 genes regulate Purkinje cell differentiation at P7.a Experimental design. Pcp2cre/+ pups were injected at postnatal day 0 (P0) with a cre-dependent adeno-associated vector (AAV) vector carrying short hairpin RNA (shRNA) against LacZ (control), Prkcg, or Car8, along with an mCherry reporter gene. Brains were collected at P7. b Representative images of Purkinje cell morphology in shLacZ-, shPrkcg-, and shCar8-injected mice at P7. Scale bars, 25 µm. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g number of neurites in shLacZ (n = 84 cells/4 mice), shPrkcg (n = 90 cells/3 mice), and shCar8 (n = 90 cells/3 mice) Purkinje cells. Kruskal–Wallis followed by Dunn’s multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. DiO double-floxed inverted orientation. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2cre/+ pups were injected at postnatal day 0 (P0) with a cre-dependent adeno-associated vector (AAV) vector carrying short hairpin RNA (shRNA) against LacZ (control), Prkcg, or Car8, along with an mCherry reporter gene. Brains were collected at P7. b Representative images of Purkinje cell morphology in shLacZ-, shPrkcg-, and shCar8-injected mice at P7. Scale bars, 25 µm. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g number of neurites in shLacZ (n = 84 cells/4 mice), shPrkcg (n = 90 cells/3 mice), and shCar8 (n = 90 cells/3 mice) Purkinje cells. Kruskal–Wallis followed by Dunn’s multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. DiO double-floxed inverted orientation. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\n\n\n### Overexpression of Kir2.1 reduces Purkinje cell intrinsic activity\nTo reduce the intrinsic activity of Purkinje cells during postnatal development, we generated a mouse model that allows for temporal control of activity. The tamoxifen-inducible Pcp2creER mouse line22 was crossed with a conditional line expressing the inward rectifying potassium channel 2.1 (Kir2.1) fused to the mCherry reporter gene23, generating Pcp2creER;Kir2.1 mutant mice (Supplementary Fig. 1a, c). As an inducible control, Pcp2creER;Ai1424 mice conditionally expressing the tdTomato reporter were also generated (Supplementary Fig. 1a, b). To examine Purkinje cell activity in a cell-autonomous manner, we administered a single low dose of tamoxifen at postnatal day (P) 1 to achieve sparse labeling of Purkinje cells expressing either Kir2.1-mCherry or tdTomato in mutant and control pups, respectively (Fig. 1a and Supplementary Fig. 1a, d). At P21, when cerebellar development is complete, we performed ex vivo recordings from sagittal cerebellar slices to evaluate the levels of intrinsic activity in Purkinje cells expressing tdTomato (Pcp2creER;Ai14), Kir2.1-mCherry (Pcp2creER;Kir2.1), or neither (Pcp2creER;Kir2.1;Ctl, unlabeled controls). Recordings were conducted in the presence of synaptic blockers for NMDA, AMPA, GABAA, and glycine receptors. In control recordings, 77% of Purkinje cells exhibited spontaneous firing, confirming intrinsic activity. In contrast, Kir2.1 overexpression abolished spontaneous firing in 90% of the recorded Pcp2creER;Kir2.1 Purkinje cells by hyperpolarizing the resting membrane potential (Fig. 1b, c). Treatment with 300 µM barium, a potassium channel blocker, restored the membrane potential to control levels in Pcp2creER;Kir2.1 Purkinje cells (Supplementary Fig. 2a). Kir2.1 overexpression also caused a significant shift in the current–voltage (I–V) curve of mutant Purkinje cells compared to controls, notably more hyperpolarized current at −140 mV. This I–V curve could also be restored to control levels by the presence of barium (Supplementary Fig. 2b–d). Despite the loss of intrinsic activity, mutant Pcp2creER;Kir2.1 Purkinje cells retained the ability to fire action potentials in response to depolarizing current injection (Fig. 1d, e). However, their lower input resistance (Supplementary Fig. 2e) made them less excitable, requiring larger current injections ( ≥ 600 pA) to evoke the firing of action potentials (Fig. 1e and Supplementary Fig. 2f).Fig. 1Overexpression of Kir2.1 reduces the intrinsic activity of Purkinje cells at P21.a Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. b Brains were collected at P21 for slice electrophysiology. Example traces of action potentials recorded from Pcp2creER;Ai14 (black) and Pcp2creER;Kir2.1 (red) Purkinje cells in the presence of NMDA receptor antagonist D-AP5, AMPA receptor antagonist NBQX, and GABAA/glycine receptor antagonist picrotoxin. c Number of firing and silent Purkinje cells in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. d Representative voltage responses to 200 pA step current injections from Pcp2creER;Ai14, Pcp2creER;Kir2.1,Ctl, and Pcp2creER;Kir2.1 Purkinje cells at P21. e Spike count of Purkinje cells from Pcp2creER;Ai14 (n = 13 cells/5 mice), Pcp2creER;Kir2.1,Ctl (n = 10 cells/4 mice) and Pcp2creER;Kir2.1 (n = 9 cells/5 mice) at P21 in response to 100 pA incremental current injections. Two-way repeated measures ANOVA: **P < 0.01. f Experimental design for in vivo recordings. Extracellular recordings were made from Purkinje cells in awake P28 ± 3 days Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. g Example traces of Purkinje cells recorded in Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice. Complex spikes are identified with an asterisk. h Simple spike firing rate, i coefficient of variation 2 (CV2) for simple spikes, j complex spike firing rate, and k CV2 for complex spikes in Purkinje cells from Pcp2+/+;Kir2.1 (n = 22 cells/5 mice) and Pcp2cre/+;Kir2.1 mice (n = 21 cells/5 mice). Mann–Whitney U-test and unpaired Student’s t-test with Welch’s correction: ***P < 0.001. Box plots indicate the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (h–k). Data are shown as the mean ± s.e.m. (e). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file. Ctl control.\na Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. b Brains were collected at P21 for slice electrophysiology. Example traces of action potentials recorded from Pcp2creER;Ai14 (black) and Pcp2creER;Kir2.1 (red) Purkinje cells in the presence of NMDA receptor antagonist D-AP5, AMPA receptor antagonist NBQX, and GABAA/glycine receptor antagonist picrotoxin. c Number of firing and silent Purkinje cells in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. d Representative voltage responses to 200 pA step current injections from Pcp2creER;Ai14, Pcp2creER;Kir2.1,Ctl, and Pcp2creER;Kir2.1 Purkinje cells at P21. e Spike count of Purkinje cells from Pcp2creER;Ai14 (n = 13 cells/5 mice), Pcp2creER;Kir2.1,Ctl (n = 10 cells/4 mice) and Pcp2creER;Kir2.1 (n = 9 cells/5 mice) at P21 in response to 100 pA incremental current injections. Two-way repeated measures ANOVA: **P < 0.01. f Experimental design for in vivo recordings. Extracellular recordings were made from Purkinje cells in awake P28 ± 3 days Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. g Example traces of Purkinje cells recorded in Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice. Complex spikes are identified with an asterisk. h Simple spike firing rate, i coefficient of variation 2 (CV2) for simple spikes, j complex spike firing rate, and k CV2 for complex spikes in Purkinje cells from Pcp2+/+;Kir2.1 (n = 22 cells/5 mice) and Pcp2cre/+;Kir2.1 mice (n = 21 cells/5 mice). Mann–Whitney U-test and unpaired Student’s t-test with Welch’s correction: ***P < 0.001. Box plots indicate the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (h–k). Data are shown as the mean ± s.e.m. (e). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file. Ctl control.\nNext, we examined Purkinje cell activity in vivo using Pcp2cre/+;Kir2.1 mice, in which Kir2.1 is overexpressed in all Purkinje cells, and control littermates Pcp2+/+;Kir2.1 at P28 ± 3 days (Fig. 1f and Supplementary Fig. 1e–g). Purkinje cells were identified by the presence of simple and complex spikes, and single unit recordings were confirmed by the presence of the characteristic pause in simple spikes following each complex spike (Fig. 1g). The simple spike firing rate was significantly reduced in Pcp2cre/+;Kir2.1 Purkinje cells (65 ± 4 Hz) compared with controls (13 ± 3 Hz) (Fig. 1g, h), and mutant cells displayed increased irregularity in simple spike firing (Fig. 1i). Conversely, the complex spike rate was significantly higher in Pcp2cre/+;Kir2.1 Purkinje cells than in controls (Fig. 1j), while their firing regularity remained unchanged (Fig. 1k). In line with previous findings that simple spike firing rate primarily reflects the intrinsic activity of Purkinje cells25, these results demonstrated that Kir2.1-overexpression also minimizes Purkinje cell firing activity in vivo. Taken together, these findings indicate that Purkinje cells overexpressing Kir2.1 exhibit reduced intrinsic activity but retain the capacity to generate action potentials when stimulated.\n\n\n### Loss of intrinsic activity impairs Purkinje cell morphological maturation\nTo investigate whether disrupting intrinsic activity impacts the morphological development of Purkinje cells, we used inducible Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice to sparsely label Purkinje cells from P1 to P21 (Fig. 2a). We analyzed the dendritic arbors of Purkinje cells at P21 across different cerebellar regions. Sholl analyses revealed that Purkinje cells in Pcp2creER;Kir2.1 mice exhibited reduced dendritic complexity compared with Pcp2creER;Ai14 control cells (Fig. 2b–d). Moreover, other morphological parameters, including area, the length of the longest dendrite, and extension in the molecular layer (ML), were significantly reduced in Kir2.1-expressing Purkinje cells relative to controls (Fig. 2b, e–g). To corroborate these findings, we performed gain-of-function experiments by electroporating plasmids encoding GFP (control) and Kir2.1-T2A-tdTomato (Kir2.1) into Purkinje cell progenitors at embryonic day (E) 12.5 (Supplementary Fig. 3a). At P21, Kir2.1 Purkinje cells exhibited markedly reduced dendritic complexity compared with controls (Supplementary Fig. 3b–d), along with decreased area, longest dendritic length and extension in the ML (Supplementary Fig. 3b, e–g).Fig. 2Decreased intrinsic activity impairs Purkinje cell development.a Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P21 for morphological analyses. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g ML ratio in Pcp2creER;Ai14 (n = 92 cells/3 mice) and Pcp2creER;Kir2.1 (n = 84 cells/3 mice) Purkinje cells. Unpaired Student’s t-test and Mann–Whitney U-test: ***P < 0.001. h Experimental design. Brains from conditional Pcp2cre/+;Kir2.1 and control littermate Pcp2+/+;Kir2.1 mice were collected at P21. i Representative images (top) and high-magnification insets (bottom) showing calbindin-positive (+) (blue) Purkinje cell axon terminals and VGAT+ (yellow) presynaptic boutons surrounding a NeuN+ (gray) neuron in the lateral cerebellar nuclei at P21. j Density of calbindin+ VGAT+ axon terminals contacting NeuN+ neurons at P21 in Pcp2+/+;Kir2.1 (n = 56 cells/3 mice) and Pcp2cre/+;Kir2.1 (n = 60 cells/3 mice). Unpaired Student’s t-test: ***P < 0.001. k Example traces of in vivo extracellular recordings of cerebellar nuclei neurons from awake P28 ± 3 days old Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. l Firing rate and m coefficient of variation 2 (CV2) in from Pcp2+/+;Kir2.1 (n = 19 cells/4 mice) and Pcp2cre/+;Kir2.1 mice (n = 22 cells/5 mice). Unpaired Student’s t-test: *P < 0.05. Scale bars, 25 µm (b); 10 µm (top panel i); 2 µm (bottom panel i). Data are shown as the mean ± s.e.m. (c–g, j). Data are presented in box plots indicating the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (l, m). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P21 for morphological analyses. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g ML ratio in Pcp2creER;Ai14 (n = 92 cells/3 mice) and Pcp2creER;Kir2.1 (n = 84 cells/3 mice) Purkinje cells. Unpaired Student’s t-test and Mann–Whitney U-test: ***P < 0.001. h Experimental design. Brains from conditional Pcp2cre/+;Kir2.1 and control littermate Pcp2+/+;Kir2.1 mice were collected at P21. i Representative images (top) and high-magnification insets (bottom) showing calbindin-positive (+) (blue) Purkinje cell axon terminals and VGAT+ (yellow) presynaptic boutons surrounding a NeuN+ (gray) neuron in the lateral cerebellar nuclei at P21. j Density of calbindin+ VGAT+ axon terminals contacting NeuN+ neurons at P21 in Pcp2+/+;Kir2.1 (n = 56 cells/3 mice) and Pcp2cre/+;Kir2.1 (n = 60 cells/3 mice). Unpaired Student’s t-test: ***P < 0.001. k Example traces of in vivo extracellular recordings of cerebellar nuclei neurons from awake P28 ± 3 days old Pcp2+/+;Kir2.1 (black) and Pcp2cre/+;Kir2.1 (red) mice. l Firing rate and m coefficient of variation 2 (CV2) in from Pcp2+/+;Kir2.1 (n = 19 cells/4 mice) and Pcp2cre/+;Kir2.1 mice (n = 22 cells/5 mice). Unpaired Student’s t-test: *P < 0.05. Scale bars, 25 µm (b); 10 µm (top panel i); 2 µm (bottom panel i). Data are shown as the mean ± s.e.m. (c–g, j). Data are presented in box plots indicating the median (middle line), 25th and 75th percentiles (box), and 5th and 95th percentiles (whiskers) (l, m). Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nTo assess whether deficits in intrinsic activity affected the presynaptic targeting of Purkinje cells as a population, we used Pcp2cre/+;Kir2.1 mice and control littermates (Fig. 2h). We quantified the number of calbindin-expressing (Calb+) and vesicular GABA transporter (VGAT+) boutons contacting NeuN+ cerebellar nuclei neurons. Loss of intrinsic activity resulted in a significant reduction in the number of Calb+ VGAT+ contacts that Purkinje cells made onto lateral cerebellar nuclei NeuN+ neurons compared with controls (Fig. 2i, j). To determine how these structural changes translated into cerebellar output, we performed extracellular recordings from cerebellar nuclei neurons in vivo in Pcp2cre/+;Kir2.1 mice and controls. Cerebellar nuclei were localized post hoc using Evans blue. Neurons in the cerebellar nuclei of Pcp2cre/+;Kir2.1 mice displayed significantly higher firing rates (Fig. 2k, l) and increased irregularity in firing compared with controls (Fig. 2m). Overall, these results indicate that loss of Purkinje cell intrinsic activity during the early postnatal period disrupts dendritic growth and impairs presynaptic targeting.\n\n\n### Disrupted intrinsic activity in Purkinje cells impairs motor performance and learning\nMutations that affect Purkinje cell development are known to cause motor impairments26–29. To investigate how disrupting intrinsic activity from birth to adulthood affects motor behavior, we tested adult (P60-P90) Pcp2cre/+;Kir2.1 mice and control littermates, Pcp2+/+;Kir2.1. In the balance beam test, Pcp2cre/+;Kir2.1 mice required more time to cross a 12 mm flat beam and made more missteps than controls (Fig. 3a, b and Supplementary Movies 1 and 2). On the accelerating rotarod, Pcp2cre/+;Kir2.1 mice had a shorter latency to fall on the rotating rod at both 40 and 80 rpm compared to controls (Fig. 3c and Supplementary Movies 3). Using the LocoMouse test30,31, we found that Pcp2cre/+;Kir2.1 mice exhibited abnormal body axis swings and increased body-axis angles (Fig. 3d, e). While stride and stance distances were similar between groups, mutants took significantly longer to complete these movements (Supplementary Fig. 4a and Supplementary Movies 4 and 5). Interlimb coordination was also disrupted in the mutants, with diagonal limb pairs failing to move synchronously across different walking speeds (Fig. 4c). However, in the open field test, while the distance traveled was similar between groups, mutants moved faster than controls (Supplementary Fig. 4b). Overall, these data revealed that disruption of intrinsic Purkinje cell activity from early development to adulthood results in an ataxic phenotype characterized by impaired gait coordination and balance.Fig. 3Reduced intrinsic activity of Purkinje cells impairs balance, coordination, and cerebellar-motor learning.Balance beam test. a Time to cross the beam and b number of missteps made by Pcp2+/+;Kir2.1 (n = 10 mice) and Pcp2cre/+;Kir2.1 (n = 9 mice). Mann–Whitney U-test: ***P < 0.001. c Accelerated rotarod performance. Latency to fall across five consecutive days in Pcp2+/+;Kir2.1 (n = 11 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA followed by Bonferroni’s multiple comparisons: ***P < 0.001. LocoMouse gait analysis. d Angle of front-right hind-left (FRHL) paw placement relative to the body axis and e swing angle of the body axis in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 6 mice). Unpaired Student’s t-test: **P < 0.01. f Compensatory eye movement recordings. Illustration of the recording setup showing vestibular (turntable, yellow arrow) and visual (drum, blue arrow) stimulation. An infrared (IR) CCD camera tracked the left eye (N, nasal; T, temporal). Red circles, pupil fit; black cross, corneal reflection (CR); white cross, pupil (P) center. Example trace shows eye position (gray) and drum position (blue). g Eyeblink conditioning. Schematic of recording setup. CS conditioned stimulus (LED light, yellow), US unconditioned stimulus (corneal air puff, blue). h Quantification of vestibular-ocular reflex (VOR) phase reversal training over five consecutive days in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 7 mice). Mixed-effect analysis with repeated measures: ***P < 0.001. i Percentage of conditioned responses during training in Pcp2+/+;Kir2.1 (n = 16 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA: ***P < 0.001. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.Fig. 4Decreased intrinsic activity delays Purkinje cell development in the first postnatal weeks.a Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P7. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P7. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections (P = 0.0455), cell area (P = 0.8336), longest dendrite (P = 0.0992), and number of neurites in Pcp2creER;Ai14 (n = 103 cells/3 mice) and Pcp2creER;Kir2.1 (n = 104 cells/4 mice) Purkinje cells. Mann–Whitney U-test: *P < 0.05, ***P < 0.001. e Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P7, and brains were collected at P14. f Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P14. g Quantification of dendrite complexity using Sholl analysis, including h number of intersections, cell area, longest dendrite, and ML ratio in Pcp2creER;Ai14 (n = 90 cells/3 mice) and Pcp2creER;Kir2.1 (n = 101 cells/3 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: ***P < 0.001. i Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P14, and brains were collected at P21. j Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. k Quantification of dendrite complexity using Sholl analysis, including l number of intersections (P = 0.0110), cell area, longest dendrite, and ML ratio (P = 0.0638) in Pcp2creER;Ai14 (n = 99 cells/3 mice) and Pcp2creER;Kir2.1 (n = 95 cells/5 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: *P < 0.05, ***P < 0.001. Scale bars, 25 µm (b, f, j). Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nBalance beam test. a Time to cross the beam and b number of missteps made by Pcp2+/+;Kir2.1 (n = 10 mice) and Pcp2cre/+;Kir2.1 (n = 9 mice). Mann–Whitney U-test: ***P < 0.001. c Accelerated rotarod performance. Latency to fall across five consecutive days in Pcp2+/+;Kir2.1 (n = 11 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA followed by Bonferroni’s multiple comparisons: ***P < 0.001. LocoMouse gait analysis. d Angle of front-right hind-left (FRHL) paw placement relative to the body axis and e swing angle of the body axis in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 6 mice). Unpaired Student’s t-test: **P < 0.01. f Compensatory eye movement recordings. Illustration of the recording setup showing vestibular (turntable, yellow arrow) and visual (drum, blue arrow) stimulation. An infrared (IR) CCD camera tracked the left eye (N, nasal; T, temporal). Red circles, pupil fit; black cross, corneal reflection (CR); white cross, pupil (P) center. Example trace shows eye position (gray) and drum position (blue). g Eyeblink conditioning. Schematic of recording setup. CS conditioned stimulus (LED light, yellow), US unconditioned stimulus (corneal air puff, blue). h Quantification of vestibular-ocular reflex (VOR) phase reversal training over five consecutive days in Pcp2+/+;Kir2.1 (n = 7 mice) and Pcp2cre/+;Kir2.1 (n = 7 mice). Mixed-effect analysis with repeated measures: ***P < 0.001. i Percentage of conditioned responses during training in Pcp2+/+;Kir2.1 (n = 16 mice) and Pcp2cre/+;Kir2.1 (n = 10 mice). Two-way repeated measures ANOVA: ***P < 0.001. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 1 (P1) to selectively express tdTomato or Kir2.1-mCherry in Purkinje cells, respectively. Brains were collected at P7. b Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P7. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections (P = 0.0455), cell area (P = 0.8336), longest dendrite (P = 0.0992), and number of neurites in Pcp2creER;Ai14 (n = 103 cells/3 mice) and Pcp2creER;Kir2.1 (n = 104 cells/4 mice) Purkinje cells. Mann–Whitney U-test: *P < 0.05, ***P < 0.001. e Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P7, and brains were collected at P14. f Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P14. g Quantification of dendrite complexity using Sholl analysis, including h number of intersections, cell area, longest dendrite, and ML ratio in Pcp2creER;Ai14 (n = 90 cells/3 mice) and Pcp2creER;Kir2.1 (n = 101 cells/3 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: ***P < 0.001. i Experimental design. Pcp2creER;Ai14 and Pcp2creER;Kir2.1 pups were injected with Tmx at P14, and brains were collected at P21. j Representative images of Purkinje cell morphology in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice at P21. k Quantification of dendrite complexity using Sholl analysis, including l number of intersections (P = 0.0110), cell area, longest dendrite, and ML ratio (P = 0.0638) in Pcp2creER;Ai14 (n = 99 cells/3 mice) and Pcp2creER;Kir2.1 (n = 95 cells/5 mice) Purkinje cells. Mann–Whitney U-test and unpaired Student’s t-test: *P < 0.05, ***P < 0.001. Scale bars, 25 µm (b, f, j). Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nGiven the importance of Purkinje cell activity for motor learning, we examined the impact of reduced intrinsic activity on cerebellum-dependent learning behaviors, such as vestibular-ocular reflex (VOR) adaptation32,33 and eyeblink conditioning (EBC)34,35. We observed no differences in VOR and visual VOR gain (amplitude) and phase (timing) between genotypes (Supplementary Fig. 4e, f). However, Pcp2cre/+;Kir2.1 mutants exhibited lower gain and higher phase in the optokinetic reflex (OKR) compared to controls (Supplementary Fig. 4d). In a phase-reversal VOR adaptation protocol, control animals successfully reversed their VOR direction by increasing phase over a 5-day experiment. In contrast, Pcp2cre/+;Kir2.1 mutants failed to adapt their phase or gain, indicating impaired motor learning (Fig. 3f, h and Supplementary Fig. 4g). Similarly, in the EBC paradigm, where mice learn to associate a visual conditioned stimulus (CS—LED light) with an eyeblink-inducing unconditioned stimulus (US—air puff delivered to the mouse cornea), mutant mice exhibited significantly reduced conditioned response (CR—preventive eyelid closure) percentage and amplitude compared to controls (Fig. 3g, i and Supplementary Fig. 4h, i). Importantly, both genotypes showed similar unconditioned response peak times, confirming that their ability to close the eyelid was intact (Supplementary Fig. 4j).\nTo further investigate the neural correlates of these behavioral deficits, we performed in vivo recordings of Purkinje cell and cerebellar nuclei neuron activity in adult mice (Supplementary Fig. 5a). Consistent with findings in juvenile animals, Pcp2cre/+;Kir2.1 Purkinje cells exhibited significantly lower simple spike firing rates and larger firing irregularity than controls (Supplementary Fig. 5b–d), whereas complex spike rate and regularity were unaffected (Supplementary Fig. 5b, e, f). Unlike the juvenile mice, cerebellar nuclei neurons in adult mutant mice showed reduced firing rates with unchanged firing regularity (Supplementary Fig. 5g–i). A pathological feature shared by different subtypes of ataxia is the alteration of excitatory synaptic inputs onto the Purkinje cells, particularly, the loss of climbing fibers (CFs)36–39 and impairment of parallel fibers (PFs)40,41. Using VGLUT2 as a marker for CF terminals, we found a significant reduction in the percentage of CF extension within the ML and VGLUT2 puncta density in mutants compared to controls (Supplementary Fig. 6a–d). Furthermore, the number of VGLUT2 puncta apposed to the Purkinje cell soma was increased in mutants, suggesting impaired CF translocation (Supplementary Fig. 6b, e). Examination of PF terminals using VGLUT1 revealed a marked decrease in puncta density and enlarged bouton size in mutants relative to controls (Supplementary Fig. 6f–h). Collectively, these results demonstrate that suppressing Purkinje cell intrinsic activity from early development to adulthood results in impaired motor coordination and cerebellum-dependent learning, accompanied by disrupted cerebellar firing patterns and synaptic organization.\n\n\n### The requirement of intrinsic activity for Purkinje cell morphological development decreases with age\nAfter establishing the importance of Purkinje cell intrinsic activity for dendritic growth and presynaptic targeting, we asked whether this requirement persisted across different developmental stages. To address this, we administered low doses of tamoxifen at P1, P7, or P14 in Pcp2creER;Ai14 and Pcp2creER;Kir2.1 mice to achieve sparse labeling in order to analyse Purkinje cell dendritic arbor morphology one week later, at P7, P14, and P21, respectively (Fig. 4a, e, i and Supplementary Fig. 7). Following Kir2.1 overexpression from P1 to P7, mutant Purkinje cells displayed a greater number of primary neurites emerging from the soma compared with controls (Fig. 4b–d). While control P7 Purkinje cells exhibited a characteristic single flattened dendrite with a vertical orientation, Kir2.1-overexpressing Purkinje cells retained an immature, multipolar morphology with neurites extending in multiple directions, resembling an earlier developmental stage42. Despite these differences in dendritic organization, the area and the length of the longest neurite did not differ between genotypes (Fig. 4d). Overexpression of Kir2.1 during the second postnatal week (P7–P14) caused a marked reduction in dendritic complexity, area, dendrite length, and extension in the ML in mutant Purkinje cells compared with controls at P14 (Fig. 4f–h). When intrinsic activity was suppressed during the third postnatal week (P14–P21), mutant Purkinje cells at P21 still exhibited significant reductions in dendritic complexity, area, and dendrite length relative to controls (Fig. 4j–l). However, the magnitude of these deficits—10% in dendritic complexity, 21% in area, and 13% in dendrite length—was less pronounced than that observed with activity disruption throughout the entire developmental period (P1–P21: 38%, 49%, and 26%, respectively; Fig. 2c–f). Notably, at this later stage, the percentage of dendritic extension in the ML was similar between mutant and control Purkinje cells (Fig. 4l).\nTo confirm the effectiveness of Kir2.1-mediated suppression of intrinsic activity throughout these stages, we performed ex vivo recordings in control and Kir2.1-overexpressing Purkinje cells. In control recordings, 77%, 92%, and 81% of Purkinje cells exhibited spontaneous firing at P7, P14, and P21, respectively. In contrast, only 6%, 0%, and 8% of Pcp2creER;Kir2.1 Purkinje cells were intrinsically active at the corresponding ages (Supplementary Fig. 8a, e, i). Kir2.1 overexpression also significantly altered intrinsic electrophysiological properties, including a hyperpolarized resting membrane potential (Supplementary Fig. 8b, f, j), increased hyperpolarizing currents at −140 mV (Supplementary Fig. 8c, g, k), and reduced input resistance (Supplementary Fig. 8d, h, l) across all developmental stages examined. To examine how intrinsic activity influences Purkinje cell connectivity with cerebellar nuclei neurons at different developmental stages, we used Pcp2cre/+;Kir2.1 mice from P1 to P7 to achieve Kir2.1-overexpression in all Purkinje cells from birth. For the intermediary stages, P7–P14 and P14–P21, we employed the inducible Pcp2creER;Kir2.1 mice and administered high doses of tamoxifen to maximize Kir2.1 expression in all Purkinje cells, alongside the respective control groups (Supplementary Fig. 9a, b, e, f, i, j). Kir2.1 overexpression from P1 to P7 significantly reduced the number of Calb+ VGAT+ contacts between Purkinje cells and NeuN+ neurons in the lateral cerebellar nuclei compared with controls (Supplementary Fig. 9c, d). Suppression of intrinsic activity from P7 to P14 also led to a significant decrease in these inhibitory contacts (Supplementary Fig. 9g, h). In contrast, reducing activity from P14 to P21 had no effect on the number of Calb+ VGAT+ inhibitory contacts between Purkinje cells and NeuN+ neurons in the mutant compared with the control (Supplementary Fig. 9k, l). These findings indicate that Purkinje cell intrinsic activity is essential for proper dendritic morphology and presynaptic targeting during development, with the most pronounced deficits occurring when activity is disrupted during the first two postnatal weeks.\n\n\n### The onset of Purkinje cell intrinsic activity loss determines the severity of motor impairment\nNext, we examined whether the timing of intrinsic activity disruption in Purkinje cells during development influences the severity of motor impairments. High doses of tamoxifen were administered for three consecutive days at P7, P14, or P21 in inducible Pcp2creER;Kir2.1 mice and respective controls to induce Kir2.1-overexpression in all Purkinje cells (Fig. 5a and Supplementary Fig. 10c-h). Motor performance in adulthood was assessed using the balance beam test. Regardless of the timing of intrinsic activity suppression, Pcp2creER;Kir2.1 mice were significantly slower and made more missteps when crossing the flat 12 mm beam compared to controls, indicating impaired balance and coordination (Fig. 5b, c). However, the severity of these deficits depended on when intrinsic activity was disrupted. Mice with disrupted Purkinje cell activity from the second or third postnatal week performed significantly better than those in which Purkinje cell activity was suppressed from birth (Fig. 5b–f and Supplementary Fig. 10a, b). These findings suggest that while intrinsic Purkinje cell activity is crucial for optimizing motor movements, motor control is particularly sensitive to disruptions in Purkinje cell activity during early postnatal weeks.Fig. 5The onset of Purkinje cell activity reduction determines the severity of motor impairment.a Experimental design. Pcp2+/+;Kir2.1 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 7 (P7), P14, or P21, and motor performance was assessed in adulthood using the balance beam test. b Balance beam performance showing the time to cross the beam for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis (P = 0.0011) followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. c Balance beam performance showing the number of missteps for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, ***P < 0.001. d Experimental design. Pcp2cre/+;Kir2.1 mice and littermate controls Pcp2+/+;Kir2.1 were assessed for motor performance in adulthood using the balance beam test. e Delta-time to cross the balance beam (difference in crossing time between mutant and control groups) across experimental conditions. f Delta-number of missteps (difference between mutant and control groups) across experimental conditions. Ages represent the onset of Kir2.1 expression in mutant animals. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2+/+;Kir2.1 and Pcp2creER;Kir2.1 pups were injected with tamoxifen (Tmx) at postnatal day 7 (P7), P14, or P21, and motor performance was assessed in adulthood using the balance beam test. b Balance beam performance showing the time to cross the beam for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis (P = 0.0011) followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. c Balance beam performance showing the number of missteps for each induction time point in Pcp2+/+;Kir2.1 (n = 10 mice), Pcp2cre/+;Kir2.1 (n = 9 mice), and Pcp2creER;Kir2.1 (n = 9 mice). Two-sided mixed-effects analysis followed by Tukey’s post hoc test to correct for multiple comparisons: *P < 0.05, ***P < 0.001. d Experimental design. Pcp2cre/+;Kir2.1 mice and littermate controls Pcp2+/+;Kir2.1 were assessed for motor performance in adulthood using the balance beam test. e Delta-time to cross the balance beam (difference in crossing time between mutant and control groups) across experimental conditions. f Delta-number of missteps (difference between mutant and control groups) across experimental conditions. Ages represent the onset of Kir2.1 expression in mutant animals. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\nBecause delaying the onset of Kir2.1-overexpression by just one week was sufficient to improve balance beam performance, we hypothesized that the early deficits observed in the most severe phenotype, where Kir2.1 was overexpressed from birth (Supplementary Fig. 11a), might also impair the maturation of other cerebellar cell types whose development depends on proper Purkinje cell maturation, namely ML interneurons (MLIs)43,44 and granule cells (GCs)45,46. To test this, we examined MLI density in adult Pcp2cre/+;Kir2.1 mice and their respective controls (Supplementary Fig. 11a, b). While parvalbumin (PV) is a known marker for both Purkinje cells and MLIs47, it does not label all MLIs within the ML48. Hence, we quantified the number of PV-positive (PV+) cells co-labeled with NeuroTrace (NeuT+), a fluorescent Nissl stain, within the ML. The number of PV+ NeuT+ cells, but not NeuT+ cells, was reduced in Pcp2cre/+;Kir2.1 mice compared with controls (Supplementary Fig. 11b–d). The ML was also thinner than in controls (Supplementary Fig. 11b, e). We next assessed MLI density in mice in which Purkinje cell activity was disrupted at P7, thereby sparing the first week of development from changes in activity (Supplementary Fig. 11f). The density of PV+ NeuT+ and NeuT+ MLIs, as well as the ML thickness, was unchanged between groups (Supplementary Fig. 11g–j). Lastly, we analyzed the granule cell layer thickness (GCL) as a proxy for GC numbers, and measured the size of vermal cerebellar lobules in Pcp2cre/+;Kir2.1 mice and P7-inducible Pcp2creER;Kir2.1 mice and their respective controls (Supplementary Fig. 11k). There was no difference in the GCL thickness of the cerebellar cortex between Pcp2cre/+;Kir2.1 or P7-inducible Pcp2creER;Kir2.1 mice and respective controls (Supplementary Fig. 11l, n). However, lobules I-II, IV-V, and IX were smaller in Pcp2cre/+;Kir2.1 mice (Supplementary Fig. 11m), while lobules IV-V and VI were reduced in the P7-inducible Pcp2creER;Kir2.1 mice compared to controls (Supplementary Fig. 11o). Together, these results indicate that early disruption of Purkinje cell intrinsic activity not only leads to more severe motor deficits but also interferes with the proper maturation of cerebellar circuitry and structure.\n\n\n### Early loss of Purkinje cell intrinsic activity activates gene networks underlying cerebellar disease\nOur findings revealed that loss of Purkinje cell activity during the first week of development was sufficient to alter neuron development (Fig. 4a–d). To uncover the molecular mechanisms by which intrinsic activity influences Purkinje cell development, we isolated Purkinje cells from P7 Pcp2cre/+;Kir2.1 and control mice and compared their transcriptomics profiles using bulk RNA sequencing (RNAseq) (Supplementary Fig. 12a–c). Differential expression analysis identified 1602 differentially expressed genes (DEGs) (Fig. 6a). Gene ontology (GO) enrichment analysis of DEGs revealed a significant overrepresentation of biological processes related to synaptic signaling (e.g., Grid2, Snca), calcium ion transport (e.g., Trpc3, Itpr1), and regulation of nervous system development (e.g., Hes5, Sema6d) (Fig. 6b), reflecting the morphological and synaptic alterations observed in our model (Fig. 6b). Enriched cellular component terms included the postsynaptic density membrane, dendritic spines, presynaptic membrane and axon terminus, further supporting transcriptional dysregulation at the synaptic level (Supplementary Fig. 12d). At the molecular function level, most DEGs were associated with transmembrane transport activity and calcium channel activity, indicating altered calcium signaling mechanisms (Supplementary Fig. 12e). These data evidence that the transcriptional changes following Purkinje cell intrinsic activity suppression, converge on pathways essential for neuronal excitability, synaptic integrity, and cerebellar circuit development. To identify functional networks affected by the loss of Purkinje cell intrinsic activity, we performed KEGG pathway enrichment analysis on the DEGs. This analysis revealed significant enrichment for pathways associated with synaptic formation and function, including axon guidance, GABAergic, dopaminergic, and glutamatergic synapses. In addition, several intracellular signaling mechanisms were enriched, such as calcium, phosphatidylinositol, and retrograde endocannabinoid signaling, as well as long-term depression, underlying the broad impact of intrinsic activity on intracellular communication and synaptic plasticity. Notably, KEGG enrichment also identified disease-related pathways, including those associated with neurodegeneration, spinocerebellar ataxia, and Huntington’s disease, suggesting that early disruption of Purkinje cell activity engages molecular programs commonly implicated in cerebellar and neurodegenerative disorders (Fig. 6c). Consistent with these transcriptional alterations, loss of Purkinje cell intrinsic activity led to severe motor impairments in our mouse model. To explore disease-relevant transcriptional changes, we examined the KEGG Disease Database, which identified 216 genes linked to movement disorders with a cerebellar component, 25 of which overlapped with our DEG list (Fig. 6d and Supplementary Fig. 12f, g). These overlapping genes were key regulators of neuronal development, excitability, synaptic and mitochondrial function49, most of which were downregulated in our dataset (Fig. 6e).Fig. 6Decreased intrinsic activity of P7 Purkinje cells alters the expression of movement disorder-associated genes.a Vulcano plot shows DEGs in Purkinje cells isolated from Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice at postnatal day 7 (P7). Downregulated (blue) and upregulated (orange) genes are defined by a log2 fold change ≥ ± 0.5 and –log10 (FDR) ≥ 1.3. b Selected significantly enriched Gene Ontology (GO) Biological Process terms (FDR ≤ 0.05) and the corresponding GO network based on DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. c KEGG pathway enrichment network of DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. Node size reflects the number of enriched genes, and gene expression level is color-coded (pink, upregulated; green, downregulated; based on log2 fold change, FC). d Venn diagram illustrates the overlap between DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7 and genes associated with cerebellar movement disorders (KEGG Disease Database). There are 25 genes common to both datasets. e Vulcano plot highlighting the 25 overlapping genes identified in d, plotted by log2 fold change and –log10 (FDR). Genes labeled in red in (c) represent a subset of these shared genes. FDR false discovery rate.\na Vulcano plot shows DEGs in Purkinje cells isolated from Pcp2+/+;Kir2.1 and Pcp2cre/+;Kir2.1 mice at postnatal day 7 (P7). Downregulated (blue) and upregulated (orange) genes are defined by a log2 fold change ≥ ± 0.5 and –log10 (FDR) ≥ 1.3. b Selected significantly enriched Gene Ontology (GO) Biological Process terms (FDR ≤ 0.05) and the corresponding GO network based on DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. c KEGG pathway enrichment network of DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7. Node size reflects the number of enriched genes, and gene expression level is color-coded (pink, upregulated; green, downregulated; based on log2 fold change, FC). d Venn diagram illustrates the overlap between DEGs in Pcp2cre/+;Kir2.1 Purkinje cells at P7 and genes associated with cerebellar movement disorders (KEGG Disease Database). There are 25 genes common to both datasets. e Vulcano plot highlighting the 25 overlapping genes identified in d, plotted by log2 fold change and –log10 (FDR). Genes labeled in red in (c) represent a subset of these shared genes. FDR false discovery rate.\n\n\n### Prkcg and Car8 regulate early Purkinje cell dendritic development\nTo investigate whether genes implicated in cerebellar disease also contribute to Purkinje cell development, we selected two candidates from our RNA-seq analysis for functional studies: Prkcg (PKCγ, protein kinase C gamma)50 and Car8 (CAR8, carbonic anhydrase VIII)51 (Fig. 6e). The selection criteria included: (1) fold-change in expression, (2) statistical significance, and (3) known involvement in cerebellar disease52–54 (Supplementary Fig. 12g). We performed Purkinje cell-specific in vivo gene knockdown using effective short-hairpin RNAs (shRNAs) targeting Prkcg (shPrkcg) and Car8 (shCar8), with shLacZ as a control (Supplementary Fig. 13a, c). Each shRNA was delivered via adeno-associated virus (AAVs) carrying an mCherry reporter gene (Supplementary Fig. 13e). AAVs were injected into the lateral ventricles of neonatal Pcp2cre/+ mice, and tissue was collected at P7 for analysis (Fig. 7a). In situ hybridization confirmed successful downregulation of Prkcg or Car8 in mCherry-positive Purkinje cells (Supplementary Fig. 13b, d). Morphological analyses revealed that Prkcg knockdown significantly increased dendritic complexity, area, and dendritic length, while reducing the number of neurites emerging from the soma compared to controls (Fig. 7b–g). These results indicate that PKCγ acts as a negative regulator of dendritic growth. In contrast, Car8 downregulation did not affect dendritic complexity or cell area (Fig. 7b–e). However, it reduced dendritic length and increased the number of neurites extending from the soma compared to controls (Fig. 7b, f, g), suggesting a delay in dendritic maturation similar to that observed in Kir2.1-overexpressing Purkinje cells. These findings implicate CAR8 in the transition from an immature multipolar morphology to a more mature, vertically oriented flattened dendrite.Fig. 7Activity-dependent Prkcg and Car8 genes regulate Purkinje cell differentiation at P7.a Experimental design. Pcp2cre/+ pups were injected at postnatal day 0 (P0) with a cre-dependent adeno-associated vector (AAV) vector carrying short hairpin RNA (shRNA) against LacZ (control), Prkcg, or Car8, along with an mCherry reporter gene. Brains were collected at P7. b Representative images of Purkinje cell morphology in shLacZ-, shPrkcg-, and shCar8-injected mice at P7. Scale bars, 25 µm. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g number of neurites in shLacZ (n = 84 cells/4 mice), shPrkcg (n = 90 cells/3 mice), and shCar8 (n = 90 cells/3 mice) Purkinje cells. Kruskal–Wallis followed by Dunn’s multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. DiO double-floxed inverted orientation. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\na Experimental design. Pcp2cre/+ pups were injected at postnatal day 0 (P0) with a cre-dependent adeno-associated vector (AAV) vector carrying short hairpin RNA (shRNA) against LacZ (control), Prkcg, or Car8, along with an mCherry reporter gene. Brains were collected at P7. b Representative images of Purkinje cell morphology in shLacZ-, shPrkcg-, and shCar8-injected mice at P7. Scale bars, 25 µm. c Quantification of dendrite complexity using Sholl analysis, including d number of intersections, e cell area, f longest dendrite, and g number of neurites in shLacZ (n = 84 cells/4 mice), shPrkcg (n = 90 cells/3 mice), and shCar8 (n = 90 cells/3 mice) Purkinje cells. Kruskal–Wallis followed by Dunn’s multiple comparisons: *P < 0.05, **P < 0.01, ***P < 0.001. DiO double-floxed inverted orientation. Data are shown as the mean ± s.e.m. Statistical details are provided in Supplementary Table 1. Source data are provided as a Source data file.\n\n\n### Discussion\nEarly neuronal activity is a key regulator of circuitry formation across multiple brain regions2, yet its contribution to cerebellar maturation has remained unclear. Here, we demonstrate that the postnatal maturation, connectivity, and function of Purkinje cells are strongly dependent on their intrinsic pacemaker activity14. This intrinsic firing is most crucial during the first two postnatal weeks, as disruptions during this period profoundly impair Purkinje cell development and cerebellar function. Transcriptomic profiling revealed that early Purkinje cell intrinsic activity drives the expression of activity-dependent transcriptional programs that modulate morphological development, connectivity, and motor function.\nTo explore the role of early activity in neuronal development and circuit formation, we used a mouse model enabling conditional overexpression of the Kir2.1 channel23, which hyperpolarizes neurons and attenuates excitability8,9,55. This model exhibited a marked reduction in simple spike firing rate, and while Purkinje cells were virtually silent, they remained responsive to injected current or climbing fiber activity, retaining their ability to fire action potentials. Reducing neuronal activity delayed Purkinje cell dendritic maturation. After one week of neuronal silencing during the first postnatal week, Purkinje cells resembled what Ramón y Cajal described as stellate cells with disoriented dendrites56. This stage is part of normal dendritic development and is characterized by multiple perisomatic protrusions emerging from the soma, in contrast to the typical Purkinje cell morphology, where a small, flattened apical dendrite extends from the soma. A comparable phenotype has been reported in Autism Susceptibility Candidate 2 (Auts2) deficient mice57. Auts2 regulates multiple developmental processes, and its mutation is linked to autism spectrum disorders, intellectual disability, schizophrenia, and epilepsy58. Temporal control of activity allowed us to define a sensitive developmental period. Perturbing intrinsic activity only in the third postnatal week did not reproduce the severe morphological defects observed when activity was suppressed throughout the first three postnatal weeks, suggesting that Purkinje cells undergo activity-dependent differentiation and maturation, processes that are particularly relevant in the first two postnatal weeks. This aligns with and expands on previous findings that early postnatal development is critical for most cerebellar maturation processes11. For instance, delaying the expression of the mutant Ataxin1 gene until after cerebellar development markedly reduces disease severity, Purkinje cell loss, and motor impairment59,60. Similarly, in a Purkinje cell-specific deletion for Tsc1 autism model, rapamycin treatment during development prevented Purkinje cell death, rescued social deficits61, and restored Purkinje cell intrinsic activity62. We also found that loss of intrinsic activity reduced the number of presynaptic inhibitory contacts from Purkinje cells onto cerebellar nuclei neurons, an activity- and time-dependent effect absent when activity was suppressed only in the third postnatal week. These structural changes may reflect impaired axon development, failure of synapse formation, elimination of weak or non-functional synapses, and/or defective maintenance63. Consistent with this, our RNA-seq data indicated that intrinsic activity regulates genes involved in axon guidance and synapse formation/maintenance. Specifically, Sema6d promotes retinal axon midline crossing64 and is required for synapse formation and GABA transmission in the amygdala65. Srgap2, also differentially expressed in silent Purkinje cells, induces neurite outgrowth and branching66 and promotes synapse formation in neocortical neurons67.\nOur results highlight the first two postnatal weeks as a sensitive period during which perturbations of Purkinje cell intrinsic activity have profound consequences. During this time window, Purkinje cells are transiently interconnected via axon collaterals, generating early spontaneous network activity driven by intrinsic activity68, while other circuit components are still immature. At this developmental stage, the GABA equilibrium potential is depolarizing and switches to inhibitory, a switch that occurs around P8/9 in the rat69. In this depolarizing phase, GABAA receptors mediate calcium transients in immature Purkinje cells69, and this time window overlaps with the presence of transient traveling waves propagated through Purkinje cell axon collaterals, which depend on GABAA-receptor-mediated transmission. By the third postnatal week, axon collaterals are largely pruned, and the transient waves disappear68. In the first postnatal week, our RNA-seq data show that Purkinje cell intrinsic activity activates a molecular program regulating trans-synaptic signaling, neurodevelopment, and calcium transport. Several calcium signaling genes are activity-dependent (Cacna1g, Grm1, Hpca, Trpc3, Camta1, Car8, Itpr1, Prkcg). Before synaptic networks are fully mature, calcium signaling serves as the primary source of activity regulating multiple aspects of neuronal development, including dendritic growth and patterning, axonal growth and pathfinding, and neurotransmitter specification70. Importantly, disrupted calcium homeostasis is a hallmark of many cerebellar movement disorders12,71,72, and such disruptions are known to impair Purkinje cell intrinsic firing73. Our dataset also revealed activity-dependent regulation of genes involved in mitochondrial function (Ndufa10, Prdx3, Lrpprc, Afg3l2, Coq5, Pitrm1, Cox10, Nduf6). Mitochondrial metabolism is essential for calcium buffering74, neurodevelopment75, neuronal excitability76, and synaptic transmission77, and its impairment has been implicated in cerebellar growth arrest78 and cerebellar ataxia79. During this early stage of development, MLIs are still dividing the white matter and begin migrating into the ML80, processes that are partially regulated by the Purkinje cells44,81. The loss of Purkinje cell intrinsic activity during the first postnatal week did not change the number of MLIs in the adult ML, but it reduced the levels of PV+ MLIs. Parvalbumin, a calcium-binding protein, is a marker of MLI maturation82 and contributes to MLI presynaptic calcium signaling83. We therefore propose that Purkinje cell intrinsic activity is required for MLI maturation, either through activity-dependent gene expression, Purkinje cell-mediated paracrine signaling, or via remodulation of the excitatory drive, as the number of VGLUT1-positive parallel fiber inputs is also reduced in our mouse model. During the second postnatal week, CFs transition from multi-innervation of the Purkinje cell soma to elimination, translocation, and strengthening of the remaining synapses on proximal dendrites84. In addition, PFs begin to innervate distal dendrites85 while most of the MLIs start to integrate into the nascent circuits86. By the third postnatal week, most Purkinje-Purkinje cell synapses have disappeared, and excitatory synaptic inputs reach mature numbers and strength. In vitro recordings show that by the end of the second postnatal week, intrinsic firing frequencies approximate those of adult cells and remain stable thereafter21. Together, we posit that the immature cerebellum undergoes extensive morphological and physiological remodeling, which relies heavily on early Purkinje cell intrinsic activity mediated via GABA-evoked calcium signaling, before the maturation of synaptic inputs. Disrupting intrinsic activity during this early developmental window is sufficient to impair the emergence of a mature, functional cerebellum.\nA common feature across multiple mouse models of disease, including cerebellar ataxia87, Huntington’s disease88, autism spectrum disorder89, and neonatal brain injury90, is the disruption of Purkinje cell intrinsic activity. Cook et al. proposed that deficits in Purkinje cell intrinsic firing, even during asymptomatic stages, can drive the onset of cerebellar disease12. According to this, restoring the levels of Purkinje cell intrinsic activity with 3,4-diaminopyridine in a mouse model of spinocerebellar ataxia 1 (SCA1), reduced the locomotion phenotype87. In our mouse model, loss of intrinsic activity from birth was sufficient to impair balance, coordination, and cerebellar-dependent motor learning. These findings align with deficits reported after repeated periods of hypoxia during the first two postnatal weeks, which resulted in persistent cerebellar deficits90,91. Neural activity preceding synapse formation can be disrupted by prenatal drug exposure, maternal ethanol consumption, perinatal hypoxia or ischemia, bacterial or viral infections, all of which have been linked to neurological disorders such as epilepsy and sensory and cognitive impairments92. However, it remains to be determined whether early perturbation of Purkinje cell intrinsic activity is sufficient to induce specific cognitive and emotional deficits. A consequence of disrupting Purkinje cell intrinsic activity was a reduction in the number of inhibitory inputs onto cerebellar nuclei neurons, accompanied by altered firing activity within the cerebellar nuclei. In juvenile mice (∼P28), the firing frequency of cerebellar nuclei neurons was increased following the loss of Purkinje cell intrinsic activity. In adult mutants, this firing frequency was instead reduced. An increased firing rate in cerebellar nuclei neurons has been reported in models of cerebellar ataxia93,94, whereas other mouse models have shown reduced firing frequency, such as in SCA3 mice95 and in models in which Purkinje cell neurotransmission is blocked in cerebellar neurons with a decrease in regularity18. It remains unclear whether the reduction in firing frequency from juvenile to adult reflects the natural progression of the disease, circuit-level changes that emerge over time, or compensatory mechanisms such as changes in synchrony, shifts in synaptic strength, or homeostatic plasticity within cerebellar nuclei circuits96.\nLoss of Purkinje cell activity after the cerebellar developmental period still resulted in motor impairments; however, the severity of these deficits was markedly reduced. Delaying the onset of Purkinje cell dysfunction by just one week after birth was sufficient to lessen impairments in the adult balance beam test, and this improvement became even more pronounced when intrinsic Purkinje cell activity remained unperturbed for two or three weeks after birth. These findings align with previous work showing that postponing mutant ATXN1 expression until after cerebellar development is complete substantially reduces disease severity in adulthood59,60. Altogether, these data indicate that motor skills depend on the establishment of precise nascent circuits during cerebellar development, and that the earlier circuit assembly is compromised, the more severe the resulting phenotype.\nCerebellar-dependent motor learning is supported by several forms of synaptic and non-synaptic plasticity related to the excitatory input from CFs, PFs, and that of the inhibitory ML interneurons97,98. In this study, loss of Purkinje cell intrinsic activity from birth until adulthood impaired the acquisition of cerebellar-dependent motor learning. Examination of excitatory afferents revealed that VGLUT2-positive climbing fiber terminals remained clustered around the Purkinje cell soma, indicating a failure of normal climbing fiber elimination. This phenotype is consistent with previous work showing that postnatal expression of a chloride channel in Purkinje cells, which selectively reduces their excitability during synapse elimination, disrupts climbing fiber pruning. Likewise, experimentally decreasing Purkinje cell excitability has been shown to prevent the elimination of supernumerary climbing fiber inputs99. We also observed deficits in parallel fiber presynaptic terminals, including both reduced terminal number and enlarged bouton size. A late phase of climbing fiber synapse elimination relies first on interactions between PFs and the glutamate receptor delta 2 subunit (GluRδ2)41 and subsequently on activation of the metabotropic glutamate receptor 1 (mGluR1) signaling pathway at distal Purkinje cell dendrites100. Consistent with this, both Grid2 (encoding GluRδ2) and Grm1 (encoding mGluR1) were downregulated in mutant Purkinje cells at P7, and mutations in these genes have been identified in patients with cerebellar ataxia101,102. Additionally, deficits were detected in the climbing fiber input organization, a feature commonly observed in spinocerebellar ataxias103. Overall, the loss of intrinsic Purkinje cell activity profoundly disrupted excitatory synaptic maturation and, ultimately, cerebellar-dependent motor learning.\nMany of the genes identified during the first postnatal week as differentially expressed in the absence of Purkinje cell intrinsic activity have previously been implicated in cerebellar development and cerebellar disorders. Among these, Prkcg and Car8 are of particular interest, as both are associated with cerebellar dysfunction and exhibited altered expression in our model. Prkcg encodes for protein kinase C gamma (PKCγ), a serine/threonine kinase highly expressed in Purkinje cells104 and involved in several key neuronal processes such as synaptic maturation105, and regulation of long-term depression106. Mutations in Prkcg cause Spinocerebellar ataxia 14 (SCA14), characterized by gait imbalance, dysarthria, and abnormal eye movements52,107. Notably, SCA14 pathology can arise through distinct mechanisms depending on the specific mutation and its impact on PKCγ function, with both gain-of-function108,109 and loss-of-function110 alterations reported111. In vitro studies have shown that PKCγ activation inhibits Purkinje cell dendritic growth, whereas its inhibition promotes dendritic expansion112. These findings are in accordance with our in vivo functional analysis, in which downregulation of Prkcg increased dendritic complexity, a result that contrasts with the stunted dendritic growth in our mouse model. These data suggest that Prkcg acts as a negative regulator of excessive dendritic growth during development, a role that may be dysregulated in SCA14. The carbonic anhydrase-related protein 8 (CAR8) is an acatalytic member of the carbonate dehydratase family, and it is highly expressed in Purkinje cells51. Car8 mutations cause cerebellar ataxia with intellectual disability and disequilibrium syndrome53,113. Loss-of-function mouse models for CAR8 exhibit ataxia and dystonia, while they do not display gross morphological defects in adulthood; transient anatomical alterations are known to precede motor dysfunction114,115. In our study, Car8 downregulation closely mirrored the altered dendritic development observed in the mutant Purkinje cells. These findings highlight the role of CAR8 in early Purkinje cell maturation, specifically in promoting the retraction of excess neurites in immature Purkinje cells and establishing dendritic branches. Together, these gene-specific insights align with our broader conclusion that Purkinje cell intrinsic activity plays a central role in orchestrating early cerebellar development through activity-dependent transcriptional programs that govern Purkinje cell maturation, connectivity, and ultimately motor function. The convergence of developmental and adult cerebellar disease biological pathways, including calcium and phosphatidylinositol signaling, as well as synaptic maintenance mechanisms, supports the hypothesis that late-onset disorders may have roots in earlier neurodevelopmental events116,117. Given the extended timeline of cerebellar maturation11, exploring the developmental origins of adult cerebellar disease represents an intriguing, although challenging, direction for future research.\n\n\n### Methods\nThe following transgenic mouse lines were used in this study and maintained on a C57BL/6 background (Charles River Laboratories): Pcp2creER (Tg(Pcp2-creERT2)17.8.ICS)22, Ai14 (B6;129S6-Gt(ROSA)26Sortm14(CAG-tdTomato)Hze/J)24, Kir2.1 (Gt(ROSA)26Sortm2(CAG-KCNJ2/mCherry)Fmr)23 and Pcp2cre/+(B6.Cg-Tg(Pcp2-cre)3555Jdhu/J)118. Ai14 (Jackson Laboratories #007908) and Kir2.1 (kindly provided by Guillermina López-Bendito) mouse lines were maintained as homozygous and crossed with cre-driver lines, resulting in progeny that were always heterozygous for Ai14 and Kir2.1. Ai14 and Kir2.1 mice were crossed with inducible Pcp2creER mice to drive tdTomato or Kir2.1-mCherry expression in Purkinje cells, respectively, following tamoxifen administration. Tamoxifen (Sigma-Aldrich, Cat. #T5648, 20 mg/ml in corn oil) was administered subcutaneously or intraperitoneally to induce Cre recombination. The Ai14 and Kir2.1 lines were also crossed with Pcp2cre/+ mice to conditionally express tdTomato or Kir2.1 in all Purkinje cells, respectively. Both male and female mice were used in all experiments. For in utero electroporation, time-mated FVB/NHsd (Envigo) female mice were used and housed individually. The day of the vaginal plug detection was designated as embryonic day (E) 0.5. All animals were maintained under standard temperature-controlled laboratory conditions on a 12 h:12 h light/dark cycle, with water and food available ad libitum. All procedures were approved by the Dutch Ethical Committee for Animal Experiments and conducted in accordance with the Institutional Animal Care and Use Committee (IACUC) of Erasmus Medical Center, and with the European and Dutch National Legislation.\nTamoxifen dosing and timing were adjusted to achieve either sparse or complete Purkinje cell labeling at different developmental stages, driving the expression of tdTomato or Kir2.1-mCherry, in Pcp2creER;Ai14 and Pcp2creER;Kir2.1, respectively. Protocols were designed with consideration of the developmental onset and pattern of Pcp2 expression. Sparse labeling, which allows visualization of individual cell morphology, was achieved by administering tamoxifen at 100 mg/kg body weight at postnatal day (P) 1.5 mg/kg at P7, and 1 mg/kg at P14. For recombination in all Purkinje cells, in short-term studies, 100 mg/kg tamoxifen was administered at P7 and 50 mg/kg at P14 to label Purkinje cells over a defined one-week window. For long-term recombination extending into adulthood, Pcp2creER;Kir2.1 mice and their control littermates received tamoxifen at 100 mg/kg for three consecutive days at P7, P14, or P21. To achieve recombination in all Purkinje cells from birth while avoiding multiple injections in neonatal pups, constitutive Pcp2cre/+;Kir2.1 mice and their control littermates were used, ensuring expression of tdTomato or Kir2.1-mCherry in all Purkinje cells from the earliest developmental stages. An overview of all experimental designs is provided in Supplementary Fig. 14.\nEx vivo slice recordings of Purkinje cells were performed on cerebellar slices obtained from a total of 52 mice at three developmental ages: P7, P14, and P21 ( ± 1 day). Cerebellar tissue was collected from Pcp2creER;Ai14 or Pcp2creER;Kir2.1 mice that had been injected with tamoxifen at P1, P7, or P14 to induce sparse expression of tdTomato or Kir2.1-mCherry, respectively, in Purkinje cells. Brains were rapidly removed and placed in an ice-cold slicing solution continuously equilibrated with 95% O2 and 5% CO2, containing (in mM): 240 Sucrose, 2.5 KCl, 1.25 NaH2PO4, 2 MgSO4, 1 CaCl2, 26 NaHCO3, and 10 D-glucose. Sagittal vermal cerebellar slices (250 µm thick) were obtained in ice-cold slicing solution using a vibratome (VT1000S, Leica Biosystems, Wetzlar, Germany) equipped with a ceramic blade (Campden Instruments Ltd, Manchester, United Kingdom). Slices were then incubated in oxygenated artificial cerebrospinal fluid (aCSF) at 34 °C for 1 h before being transferred to a recording chamber. The chamber was maintained at 34 °C using a feedback temperature controller (Scientifica, Uckfield, United Kingdom) and continuously perfused with oxygenated aCSF containing (in mM): 124 NaCl, 5 KCl, 1.25 Na2HPO4, 2 MgSO4, 2 CaCl2, 26 NaHCO3, and 20 D-glucose21.\nFor all the recordings, the aCSF was supplemented with synaptic receptor blockers to isolate the intrinsic activity of Purkinje cells. The following antagonists were included: the NMDA receptor antagonist D-AP5 (50 µM), the selective and competitive AMPA receptor antagonist NBQX (10 µM), and the non-competitive GABAA receptor antagonist and glycine receptor inhibitor picrotoxin (100 µM; all from Hello Bio Ltd, Bristol, United Kingdom). For some recordings, the aCSF was additionally supplemented with 300 µM barium (Sigma-Aldrich, Merck KGaA, Darmstadt, Germany). Purkinje cells were selected based on their fluorescent labeling: tdTomato expression in Pcp2creER;Ai14, absence of mCherry in Pcp2creER;Kir2.1,Ctl, and mCherry expression in Pcp2creER;Kir2.1. Neurons were visualized using a SliceScope Pro 3000 microscope, with a CCD camera, a trinocular eyepiece (Scientifica, Uckfield, UK), and an ocular (Teledyne Qimaging, Surrey, Canada).\nWhole-cell recordings were obtained using borosilicate pipettes (Harvard apparatus, Holliston, MA, USA) with a resistance of 4–6 MΩ, filled with an internal solution containing (in mM): 9 KCl, 3.48 MgCl2, 4 NaCl, 120 K+-Gluconate, 10 HEPES, 28.5 Sucrose, 4 Na2ATP, and 0.4 Na3GTP, adjusted to pH 7.25-7.35 and osmolarity 290–300 mOsmol/Kg (Sigma-Aldrich, Merck KGaA, Darmstadt, Germany). Whole-cell recordings were performed on Purkinje cells held at −65 mV. Before establishing the whole-cell recording configuration, capacitance was optimally compensated. Input resistance was determined using the seal test protocol integrated into PatchMaster software (HEKA Elektronik). Immediately after achieving the giga-ohm seal (>1 GΩ), a test pulse was applied through PatchMaster (a 10 mV hyperpolarizing voltage step for 10–20 ms) to assess passive membrane properties without activating voltage-gated currents. Membrane resistance (Rm) was calculated by subtracting the series resistance (Rs) from the total input resistance (Rin) (Rm = Rin − Rs). Recordings with a series resistance greater than 25 MΩ were excluded. After achieving whole-cell configuration, zero current was injected in current-clamp mode to assess intrinsic action potential firing and resting membrane potential, defined as the mode of the voltage trace. Intrinsic excitability was tested by holding the cells at −65 mV using a holding current, which was then labeled as ‘0 pA’. From this holding current, 500 ms current steps increasing by 100 pA for every step were applied, and the number of action potentials in the resulting voltage trace was counted. The current–voltage (I–V) curves were generated in voltage-clamp mode by applying 500 ms voltage steps from −140 mV to 0 mV in 10 mV increments and measuring the mode of the resulting current. Recordings were acquired with Patchmaster (HEKA Electronics, Lambrecht, Germany) using an ECP-10 amplifier (HEKA Electronics, Lambrecht, Germany) and digitized at 20 kHz. Data files were imported into and analyzed with a custom-built MATLAB code (Mathworks, Natick, MA, USA).\nIn vivo extracellular recordings of Purkinje cells and cerebellar nuclei neurons were performed in juvenile (P28 ± 3 days; n = 10) and adult (P60–P90) (n = 9) Pcp2cre/+;Kir2.1 mice and their control littermates. Mice were anesthetized with isoflurane in oxygen (4% for induction and 1.5–2% for maintenance). The scalp was shaved and incised along the rostrocaudal midline, and the medial neck muscles overlaying the occipital bone were removed. Next, a craniotomy was made in the occipital bone using a high-speed diamond-tipped drill (Kulzer, #H71104003). A custom-made recording chamber (Charisma Flow Row composite, #66095845) was positioned around the craniotomy and temporarily sealed with bonewax (Ethicon, W30) to protect the exposed brain. Then, a custom-built metal pedestal with a square magnet was fixed to the frontal and parietal bones to allow for head fixation during recordings. Mice were allowed to recover for three days post-surgery. On the day of recording, mice were head-fixed in a mouse holder, and the bonewax was removed to expose the cerebellar surface for extracellular recordings25.\nExtracellular activity was recorded using borosilicate glass pipettes (World Precision Instruments, BF200-116-10) pulled to have a long, thin taper and a resistance of 2–4 MΩ, filled with 2 M NaCl solution. One silver chloride electrode wire was inserted into the pipette to record electrical activity, and a second silver chloride electrode wire was placed in the saline-filled recording chamber as a reference electrode. Pipettes were advanced into the cerebellar cortex or nuclei using a micromanipulator (SM-5, Luigs & Neumann, Ratingen, Germany). Signals were pre-amplified (custom-made preamplifier, 1000× DC), filtered (CyberAmp 320, Axon Instruments, Molecular Devices, Sunnyvale, CA, USA), digitized (Power1401, CED, Cambridge, UK), and stored for offline analysis. To histologically verify the recording site of cerebellar nuclei neurons, at the end of some recording sessions, 0.5% Evans Blue solution was injected at the recording location with a micropipette (Hirschmann, Z611239-250EA). Recordings from Purkinje cells and cerebellar nuclei neurons were analyzed using SpikeTrain software (Neurasmus BV, Rotterdam, The Netherlands), running in MATLAB 2014a (MathWorks, Natick, MA, USA). SpikeTrain employs wave-clustering algorithms to discriminate simple and complex spikes. Purkinje cells were identified by the presence of both simple and complex spikes and confirmed as single units by the characteristic pause in simple spike firing following each complex spike. For each neuron and spike type, the firing rate and the coefficient of variation (CV) 2 were calculated. The CV2 measures local, spike-to-spike variability in firing pattern and was calculated as 2 × |ISIn+1 − ISIn|)/(ISIn+2/ISIn)119, where ISI = inter-spike intervals.\nMice were deeply anesthetized with sodium pentobarbital by intraperitoneal injection and transcardially perfused with sodium chloride solution, followed by 4% paraformaldehyde (PFA) in 0.1 M phosphate buffer (PB; pH 7.4). Dissected brains were post-fixed for 2 h at 4 °C in 4% PFA and cryoprotected overnight at 4 °C in 30% sucrose/0.1 M PB. The next day, brains were embedded in 14% gelatin/ 30% sucrose/0.1 M PB solution, fixed for 2 h at room temperature, and incubated overnight at 4 °C in 30% sucrose/0.1 M PB. Sagittal or coronal brain sections (50 µm) were cut using a freezing microtome.\nFree-floating sections were rinsed in 0.1 M PB and subjected to antigen retrieval by incubation for 2 h in 10 mM sodium citrate solution at 80 °C. Sections were then rinsed and incubated for 2 h at room temperature in a blocking solution containing 0.5% Triton X-100 and 10 % normal horse serum in 0.1 M PB to prevent nonspecific binding. Subsequently, sections were incubated overnight at 4 °C with primary antibodies diluted in antibody solution (0.5 % Triton X-100 and 2 % normal horse serum in 0.1 M PB).\nThe following primary antibodies were used: rabbit anti-RFP (1:1000, Rockland, #600-401-379), chicken anti-RFP (1:1000, Rockland, #600-901-379), goat anti-GFP (1:1000, Rockland, #600-101-215), mouse anti-calbindin D-28K (1:10000, Swant, #CB300), guinea pig-VGAT (1:500, Synaptic Systems, #131004), guinea pig-VGLUT1 (1:2000, Merck, AB5905), guinea pig-VGLUT2 (1:2000, Merck, #AB2251-I), mouse-parvalbumin (1:5000, ThermoFisher Scientific, MA5-47410), and rabbit-NeuN (1:1000, Millipore, #ABN78).\nSections were rinsed in 0.1 M PB and incubated for 2 h at room temperature with secondary antibodies: Cy3-AffiniPure Donkey anti-Rabbit (1:1000, #711-165-152), Cy3-AffiniPure Donkey anti-Chicken (1:1000, #703-165-155), Alexa Fluor 488-AffiniPure Donkey anti-Goat (1:1000, #705-545-147), Alexa Fluor 488-AffiniPure Donkey anti-Mouse (1:1000, #715-545-150), Cy3-AffiniPure Donkey anti-Mouse (1:1000, #715-165-150), Alexa Fluor 488-AffiniPure Donkey anti-Guinea Pig (1:1000, #706-545-148), Alexa Fluor 647-AffiniPure Donkey Anti-Mouse (1:1000, #715-605-151), and Cy5-AffiniPure Donkey anti-Rabbit (1:1000, #711-175-152) all from Jackson ImmunoResearch.\nFinally, sections were counterstained with the fluorescent nuclear dye 4′,6-diamidino-2-phenylindole (DAPI, Thermo Scientific, #D3571) and mounted with Mowiol (Polysciences, Inc., #17951). Sections used for ML interneuron quantification were counterstained with NeuroTrace 435/455 Blue Fluorescent Nissl Stain (1:300, ThermoFisher Scientific, N21479).\nImages were acquired at a resolution of 1024 × 1024 pixels and 8-bit depth using either an LSM 700 or LSM 900 confocal laser scanning microscope, and an Axio Imager.M2 epifluorescence microscope (Carl Zeiss Microscopy, LLC, USA). For each experiment, all imaging parameters, including laser power, detection filter settings, pinhole size, and photomultiplier gain, were kept constant across samples.\nTo image individual Purkinje cells, sagittal sections were acquired using a 20×/0.8 NA or 40×/1.3 NA oil-immersion objective with a z-step of 1 µm. Given the morphological variability of Purkinje cells across cerebellar regions21, cells were imaged throughout the cerebellar cortex and plotted individually. Dendrite complexity was quantified from maximum intensity projections of z-stack images using the Sholl analysis macro in FIJI (ImageJ) software120. To quantify Purkinje cell area excluding the axon, the maximum projection of each image was thresholded in FIJI, and the area was then measured. The longest dendrite length was obtained as a result of Sholl analysis. The ML ratio was calculated as the percentage of Purkinje cell height (the distance from the top of the Purkinje cell soma to the apical edge of the neuron) divided by the ML height. Neurite number was measured as the number of processes originating from the soma of a Purkinje cell.\nTo image calbindin-positive (+) and VGAT+ presynaptic puncta, coronal cerebellar sections were acquired using a 63×/1.4NA oil-immersion objective with a z-interval of 1 µm. For quantification of presynaptic densities, the perimeter of NeuN+ cerebellar nuclei neuron soma was measured using FIJI. Presynaptic puncta calbindin+ and VGAT+ were automatically detected using the Find Maxima function to count the number of puncta colocalizing with the soma perimeter. The number of calbindin+ signal colocalizing with VGAT+ puncta was normalized to the corresponding soma perimeter of each analyzed cell. Given the diversity in soma size among cerebellar nuclei neurons121,122, data were plotted individually.\nTile-scan images of Purkinje cells and VGLUT2 puncta were acquired with a 40×/1.3NA oil-immersion objective with a z-interval of 0.8 µm. Maximum intensity projections of sagittal sections were used for quantification. The ML thickness was measured as the distance from the top of a Purkinje cell soma to the apical edge of the ML. Climbing fiber (CF) height was measured as the distance from the top of a Purkinje cell soma to the most distal VGLUT2 puncta. ML thickness and CF height were determined from three measurements per image. CF extension was quantified as the percentage of the CF height relative to ML thickness. VGLUT2 density was quantified by counting VGLUT2 puncta within a specific region of interest (ROI) using the ‘Analyze Particles’ function in FIJI, and normalizing the count to the ROI area. To quantify VGLUT2 perisomatic puncta, the perimeter of individual Purkinje cell soma was measured, and VGLUT2 puncta colocalizing with the soma perimeter were counted, excluding those inside the soma. Measurements were performed from three Purkinje cells per image, and the number of VGLUT2 puncta was normalized to the soma perimeter of each analyzed cell.\nImages of VGLUT1 puncta were acquired using a 63X/1.4NA oil-immersion objective, with a scan zoom of 2 and a z-interval of 0.5 µm. Maximum intensity projections of sagittal sections near the apical edge of the ML were used for quantification. VGLUT1 puncta were identified using the Trainable Weka Segmentation (v4.0.0) plugin123. Both the number and size of VGLUT1 puncta were quantified, and VGLUT1 density was calculated as the number of puncta per ROI area.\nMolecular layer interneurons (MLIs) stained with NeuroTrace and parvalbumin (PV) were imaged using a 20×/0.8NA objective with a z-interval of 1 µm. Maximum intensity projections of sagittal sections were analyzed using a macro implemented in FIJI. The number of NeuroTrace+, PV+, and colocalized NeuroTrace+ PV+ cells was counted. MLI density was calculated as the number of neuronal cells per ROI area.\nImages of sagittal cerebellar sections were acquired using an Axio Imager.M2 epifluorescence microscope with a 10x/0.45 NA objective. Granule cell layer (GCL) thickness was measured at two distinct positions within each lobule: at the base and in the middle region. At each position, two independent measurements were taken, defined as the distance from the bottom of the Purkinje cell soma to the white matter. The mean value of these measurements was used for subsequent analysis. The area of each cerebellar lobule was determined by manually delineating lobule boundaries and measuring the enclosed area using FIJI.\nTimed-pregnant FVB/NHsd females at E12.5 were deeply anesthetized with isoflurane (5% induction, 2% maintenance) in oxygen at a flow rate of 1 l/min, and body temperature was maintained at 37 °C. Buprenorphine (0.1 mg/kg) was administered subcutaneously for analgesia. The abdominal cavity was then opened, and the uterus was carefully exposed to access the embryos. A beveled glass micropipette was used to inject a combination of 3 μg/μl of pCAG-GFP (Addgene; #11150; a gift from C. Cepko124) and 1 μg/μl of pCAG-Kir2.1-T2A-tdTomato (Addgene; #60598; a gift from M. Scanziani125) with 0.05% of FastGreen into the fourth ventricle of each embryo. Electroporation was performed by delivering five pulses of 35 V for 50 ms at 900 ms intervals using a 2 mm tweezertrode (CUY650P2, Nepa Gene) connected to an electroporator (BTX, ECM830). The electrodes were positioned to target Purkinje cell progenitors in the cerebellar ventricular zone. After electroporation, the uterus was placed back into the abdominal cavity, and the abdominal wall and skin were sutured. The female was monitored until complete recovery.\nAll behavioral tests were performed on adult mice (P60–P90).\nMice were tested on a 1-meter-long bean with a flat surface, 12 mm wide, elevated 50 cm above the surface between two platforms. A cage was placed at the end of the beam as a finish point. The test consisted of two training days followed by a testing day, with three trials per day. Trials in which a mouse fell five consecutive times were considered completed. Motor coordination was determined by averaging the time taken to cross the beam and the number of missteps per run126.\nMice were tested on an accelerating rotarod over five consecutive days, with four non-consecutive trials per day. On days 1 to 4, the rotating rod was accelerated to 40 rpm, and on day 5, the maximum speed was increased to 80 rpm. Mice were given an hour to rest between trials. A trial was considered complete when the mouse reached a maximum latency of 300 s, fell off the rod, or rotated three consecutive times. Motor coordination was quantified by averaging the latency to fall across trials on the accelerating rod (Ugo Basile Biological Research Apparatus).\nThe LocoMouse test was performed to assess whole-body coordination during overground locomotion30. Mice crossed a glass corridor (66.5 cm long, 4.5 cm wide, and 20 cm high) between two dark boxes. A mirror (66 cm × 16 cm) was placed below the corridor at a 45˚ angle to allow simultaneous recording of side and bottom views. Side and bottom views of walking behavior were recorded using a high-speed camera (Basler, 1440 × 250 pixels, 400 fps). The test consisted of two consecutive habituation days followed by three consecutive experimental days. During habituation, mice walked freely between the two dark boxes for 15 min. On each experimental day, 15 trials per animal were collected; each trial consisted of a single corridor crossing, and the animals were not required to walk continuously throughout a trial. A DeepLabCut network was trained using the side camera view of the LocoMouse to track the paws, nose, and tail base positions of each individual mouse127. Data were processed using custom-written Python (v3.7) code available at GitHub (GitHub, San Francisco, CA, USA, https://github.com/BaduraLab/DLC_analysis)31.\nThe open field test was performed in a white-opaque polypropylene square arena (50 × 50 × 40 cm) under uniform lighting. Each animal was placed in the center of the arena and allowed to explore freely for 10 min. A digital video system recorded the overall activity inside the box (Carl Zeiss Tessar 2.0/3.7 2MP V-UBM46 Autofocus Camera). Data were analyzed using OptiMouse, an open-source MATLAB program128, which automatically calculated the total distance traveled and speed to evaluate spontaneous locomotor activity.\nMice were surgically prepared for head-restrained recordings by placing a custom-built metal pedestal with a square magnet on the frontal and parietal bones under general anesthesia with isoflurane/O2. Three days after recovery, mice were head-fixed in a holder at the center of a turntable (60 cm diameter), surrounded by a cylindrical screen (63 cm diameter) with a random-dotted pattern (drum). Eye movements were recorded with a CCD camera fixed to the turntable, and eye-tracking software was used (ETL-200, ISCAN Systems, Burlington, NA, USA). Eyes were illuminated with two table-fixed infrared emitters and a third emitter attached to the camera, which produced a tracked corneal reflection used as the reference point. The recording camera was calibrated by moving it left-right 20° peak-to-peak while the eye remained stationary129. Gain and phase values of eye movements were calculated using custom-made MATLAB scripts, available at GitHub (GitHub, San Francisco, CA, USA, https://github.com/MSchonewille/iMove;130). Mice were familiarized with the experimental setup three days before the experiments by providing visual and/or vestibular stimulations for 30 min. Compensatory eye movements were evoked using a sinusoidal drum rotation in light (OKR), turntable rotation in dark (vestibular ocular reflex-VOR), or turntable rotation in light (visual VOR-VVOR) with 5° amplitude at 0.1–1 Hz. To assess motor learning, mice were subjected to a mismatch between visual and vestibular input to adapt the VOR. The ability to perform VOR phase reversal was tested over five consecutive days, with six 5 min training sessions per day and VOR recordings before, between, and after each training session. Mice were kept in the dark between recording sessions to avoid unlearning of the adapted responses. On the first training day, the visual (drum) and vestibular (turntable) stimuli rotated in phase at 0.6 Hz, each with an amplitude of 5°, resulting in a decrease in gain. In the following days, the drum amplitude was increased to 7.5° (day 2) and 10° (days 3, 4, and 5), while the turntable amplitude remained at 5°. This led to a reversal of the VOR direction, an inversion of the compensatory eye movement driven by vestibular input, moving the eye in the same direction as the head rotation rather than the normal compensatory opposite direction. Motor performance in response to these stimulations was measured by calculating the response gain (ratio of eye movement amplitude per stimulus amplitude) and phase (difference between eye and stimulus in degrees)21.\nA custom-built metal pedestal with a square magnet on top was placed on the frontal and parietal bones of a mouse under general anesthesia with 2% isoflurane/O2. Three days after recovery, mice were head-fixed on a foam-cylindrical treadmill, on which they could walk freely inside custom-built sound- and light-attenuating boxes. Eyelid movements were monitored under infrared illumination using a high-speed (333 fps) monochrome Basler video camera (Basler ace 750–30 gm). Stimuli and measurement devices were controlled by National Instruments hardware and custom-written LabVIEW software. The conditioned stimulus (CS) was a blue LED light (duration 280 ms, diameter 5 mm) placed 10 cm in front of the mouse. The unconditioned stimulus (US) consisted of a 30 ms mild corneal air puff, controlled by a VHS P/P solenoid valve with a back pressure of 30 psi (Lohm rate, 4750 Lohms; Internal volume, 30 µl, The Lee Company®, Westbrook, USA) and delivered via a 27.5 mm gauge needle perpendicularly positioned at approximately 5 mm from the center of the left cornea. Prior to the experiments, mice were habituated to the set-up for one day (two 30 min sessions spanning 6 h) with no stimuli delivered. To assess motor learning, mice were subjected to EBC training for 5 consecutive days, with two sessions per day separated by 6 h of rest. Before the first training session, a baseline session was conducted to confirm that the CS did not elicit any reflexive eyelid closure. This baseline session consisted of 15 CS-only trials and 3 US-only trials. Immediately after this, the training sessions began. During each session, every animal received a total of 200 paired CS-US trials, 20 US-only trials, and 20 CS-only trials. These trials were presented across 20 blocks, with each block consisting of 1 US-only trial, 10 paired CS-US trials, and 1 CS-only trial. The interval between CS onset and US onset was 250 ms. All experiments were performed at approximately the same time of the day by the same experimenter. Individual eyeblink traces were analyzed with a custom-written MATLAB script available at GitHub (GitHub, San Francisco, CA, USA, https://github.com/francescafiocchi91/Eyeblink_Conditioning36) (R2018a, Mathworks). Eyeblink traces (2000 ms) were imported from a MySQL database into MATLAB and aligned at zero for the 500 ms pre-CS baselines. Trials with significant activity in the 500 ms pre-CS period (>7 times the interquartile range) were considered invalid and disregarded for further analysis. The eyelid signal was min–max normalized so that a fully open eye corresponded to a value of 0 and a fully closed eye to a value of 1131. In valid normalized CS-only trials, eyelid responses were considered as conditioned responses (CR) if the maximum amplitude was larger than 0.10 between 100 and 500 ms after CS onset and showed a positive slope in the 150 ms before the time point of the expected US delivery (US is omitted in CS-only trials)132.\nTo isolate Purkinje cells, the cerebellar tissue was extracted from either P7 Pcp2+/+;Kir2.1 or P7 Pcp2cre/+;Kir2.1 mice. Sagittal slices of vermal cerebellar tissue were obtained and maintained as described in the ex vivo Purkinje cell recordings section. For cell collection, individual slices were transferred to a recording chamber and maintained at 34 °C under continuous perfusion with equilibrated aCSF. In P7 Pcp2cre/+;Kir2.1 slices, Purkinje cells were selected based on Kir2.1-mCherry expression. Neurons were extracted into a glass pipette using negative pressure, and 50 cells were sampled across the cerebellar cortex. Eight biological samples per genotype were collected for RNA sequencing. Cells were harvested in a mild hypotonic lysis buffer containing 0.2% Triton X and 2 U/µl RNase inhibitor, kept on ice during collection, and either processed immediately or stored at -80 °C until RNA extraction.\nLibrary preparation and RNA sequencing experiments were performed at the Erasmus Center for Biomics (Erasmus MC, Rotterdam, The Netherlands). For each biological replicate, cDNA libraries were generated using the Smart-seq2 method133. Briefly, cells were lysed, and poly(A) + RNA was reverse-transcribed using an oligo(dT) primer. Template switching during reverse transcription was achieved using a locked nucleic acid-containing template-switching oligonucleotide. The reverse-transcribed cDNA was preamplified with primers for 18 cycles, followed by cleanup. Tagmentation was performed on 1 ng of the pre-amplified cDNA using the Illumina Nextera DNA Flex kit. The tagmented library was extended with Illumina adapter sequences by PCR for 12 cycles and purified. The resulting sequencing library was measured on a Bioanalyzer and equimolarly loaded onto a flow cell for sequencing according to the Illumina TruSeq v3 protocol on the Illumina HiSeq 2500 platform, with a single read of 50 base pairs and dual 9-base-pair indices.\nIllumina adapter sequences and poly-A stretches were trimmed from the reads prior to mapping to the mouse reference sequence GRCm38 (mm10) using HISAT2 (version 2.1.0). From the alignments, the reads per gene were determined using htseq-count (version 0.11.2). Gene and transcript annotations were retrieved from Ensembl (build 101) using consensus coding sequences for each gene. Count data were analyzed using RStudio (version 0.99.484) following the edgeR-limma package workflow134. Briefly, Ensembl IDs were annotated to Entrez gene IDs, gene symbols, gene names, and chromosome locations using the Mus.musculus package. Raw counts were transformed into counts per million (CPM) and log2-CPM, and genes with a CPM below 0.2 in at least three samples were filtered out. Normalization of gene expression distributions was performed using the Trimmed Mean of M-values method.\nDEGs between Purkinje cells from Pcp2+/+;Kir2.1 and Pcp2cre/+; Kir2.1 mice were visualized using a hierarchical clustering heatmap with normalized row z-scores in R. To identify biologically significant genes, data were organized in a volcano plot with a fold change cutoff of 0.5 and a—log10(false discovery rate; FDR) cutoff of 1.3. Gene ontology (GO) analyses were performed using the Gene Ontology tool (http://pantherdb.org/), and KEGG enrichment analyses were performed using the clusterProfiler package (version 4.14.6)135. DEGs were selected for GO and KEGG enrichment analysis. The complete gene set identified from the biological samples was used as the reference list, and GO terms with corrected P ≤ 0.05 were considered significantly enriched. GO term visualization was generated using the ggplot2 package (version 3.5.1), and network visualizations using the igraph package (version 2.1.4)136. A list of 216 human movement disorder-associated genes was extracted from the KEGG Disease database (https://www.genome.jp/kegg/disease/), which compiles known genetic and environmental contributors to human diseases. This list was compared to the 1602 DEGs identified from RNA sequencing, revealing 25 overlapping genes. The shared genes were ranked by -log10(FDR) and log2 fold change, Prkcg and Car8 emerging as the top hits.\nMice were perfused as described above, and brains were postfixed for 2 h at 4 °C before being cryoprotected in 30% sucrose/0.1 M PB overnight at 4 °C. Sagittal sections 30 µm thick were obtained using a freezing microtome, mounted on RNAse-free SuperFrost Plus slides (Epredia), and probed against the candidate genes according to the manufacturer’s protocol. Single-molecule fluorescence in situ hybridization was performed using the RNAscope Multiplex Fluorescent Reagent Kit v2 (ACDBio, #323100) with probes targeting Car8 (Mm-Car8-C2, #514171) and Prkcg (Mm-Prkcg-C2, #417911). Sections were co-immunostained with rabbit anti-RFP (1:1000, Rockland, #600-401-379) and Cy3-AffiniPure Donkey anti-Rabbit (1:1000, Jackson ImmunoResearch, #711-165-152).\nHEK293T cells were cultured in Dulbecco’s Modified Eagle’s medium supplemented with high glucose, Glutamax, and pyruvate (DMEM; ThermoFisher Scientific, #31966-047). In addition, 10% fetal bovine serum, 1% of penicillin (10,000 U/ml), and of streptomycin (10,000 µg/ml). Cultures were maintained at 37 °C in a humidified atmosphere with 5% CO2. HEK293T cells were plated in 6-well plates at a density of 0.5 × 106 cells/well and transfected the following day with plasmids expressing the full-length genes of interest and respective shRNA-expressing plasmids at a 1:3 ratio using Lipofectamine 2000 (ThermoFisher Scientific, #11668019). The plasmids used to express Prkcg and Car8 were pcDNA3.1 + /C-(K)DYK-Prkcg (GenScript, OMu17867) and pcDNA3.1 + /C-(K)DYK-Car8 (GenScript, OMu00430), respectively. shRNA sequences targeting Prkcg and Car8 were designed by The RNAi Consortium (TRC) and obtained from Horizon Discovery. The antisense sequence and respective clone IDs were as follows: Prkcg shRNA1 5’-TTG ATG GCA TAG AGT TCG TCG-3’ (TRCN0000022684), Prkcg shRNA2 5’-TAA TAT GGA TCT CAT CCG ACG-3’ (TRCN0000022685), Prkcg shRNA3 5’-ATA GGC AAT GAT CTC AGG TGC-3’ (TRCN0000022686), Prkcg shRNA4 5’-TTC ACA TAA GTA AAG CCC TGG-3’ (TRCN0000022687), Prkcg shRNA5 5’-AAA CGA GCG GTG AAC TTG TGG-3’ (TRCN0000022688), Car8 shRNA1 5’-AAT ATC CAG GTA ACT CCT TCG-3’ (TRCN0000114512), Car8 shRNA2 5’-TTT AGG TTG ATA GGT GAC TGG-3’ (TRCN0000114513), Car8 shRNA3 5’-TAG CAT CAG GAA ACA CTA AGC-3’ (TRCN0000114514) and Car8 shRNA4 5’-ATC TGG GAT ATA GTT AAA GGG-3’ (TRCN0000114515). A non-targeting control shRNA against lacZ 5’-AAA TCG CTG ATT TGT GTA GTC-3’ was used as a negative control.\nHEK293T cells were collected 24 h after transfection in lysis buffer containing 50 mM Tris-HCl pH 8, 150 mM NaCl, 1% Triton X-100, 0.5% sodium deoxycholate, 0.1% SDS, and protease inhibitor cocktail. Protein concentrations were measured using the Pierce BCA Protein Assay Kit (Thermo Fisher Scientific). Samples were denatured, and equal amounts of proteins were separated by SDS-PAGE in Criterion TGX Stain-Free Gels (Bio-Rad) and transferred onto nitrocellulose membranes using the Trans-Blot Turbo Blotting System (Bio-Rad). Membranes were blocked with 5% bovine serum albumin (BSA; Sigma-Aldrich) in Tris-buffered saline (TBS)-Tween (20 mM Tris-HCl pH 7.5, 150 mM NaCl, and 0.1%, Tween 20) for 1 h at room temperature and incubated overnight at 4 °C with the following primary antibodies: rabbit anti-DYKDDDDK-tag (1:2000, GenScript, #A00170) and mouse anti-actin (1:1000, Millipore, #MAB1501). After washing, membranes were incubated for 1 h at room temperature with the following secondary antibodies: goat anti-Rabbit Immunoglobulins/HRP (1:10000, Agilent Dako, #P0448) or goat anti-Mouse Immunoglobulins/HRP (1:10000, Agilent Dako, #P0447). Protein bands were detected by the luminol-based enhanced chemiluminescence method (SuperSignal West Femto Maximum Sensitivity Substrate or SuperSignal West Dura Extended Duration Substrate, Thermo Fisher Scientific). Membranes were stripped with Restore PLUS Western Blot Stripping Buffer (Thermo Fisher Scientific) when necessary. Densitometry analyses of protein bands were normalized to actin levels using the Image Studio Lite software (LI-COR Biosciences).\nDNA vectors were generated using standard molecular biology procedures. To produce viral vectors expressing shRNA for the target genes, pairs of oligonucleotides were designed, obtained (Integrated DNA Technologies) and hybridized for shlacZ (strand 1: 5’-cta ggA AAT CGC TGA TTT GTG TAG TCT GAT ATG TGC AGA CTA CAC AAA TCA GCG ATT TTT TTTg-3’and strand 2: 5’-aat tca aaaa AAA TCG CTG ATT TGT GTA GTC TGC ACA TAT CAG ACT ACA CAA ATC AGC GAT TTc-3’), shPrkcg (strand 1 5’-cta ggT AAT ATG GAT CTC ATC CGA CGC TCG AGC GTC GGA TGA GAT CCA TAT TAT TTTTg-3’and strand 2 5’-aat tca aaaa TAA TAT GGA TCT CAT CCG ACG CTC GAG CGT CGG ATG AGA TCC ATA TTAc-3’) and shCar8 (strand 1 5’-cta ggT TTA GGT TGA TAG GTG ACT GGC TCG AGC CAG TCA CCT ATC AAC CTA AAT TTTTg-3’and strand 2 5’-aat tca aaaa TTT AGG TTG ATA GGT GAC TGG CTC GAG CCA GTC ACC TAT CAA CCT AAAc-3’). Each double-stranded oligonucleotide was subsequently cloned into the pDIO-DSE-mCherry-PSE-MCS vector (Addgene; #129669; a gift from B. Rico137) using EcoRI and AvrII restriction sites.\nThe adenovirus-associated virus (AAV) preparation AAV-FLEX-GFP was commercially acquired (Addgene; #28304-PHPeB; a gift from E. Boyden). HEK293T cells cultured in DMEM (with 10% fetal calf serum and penicillin/streptomycin) were co-transfected with AAV2/9 serotype helper plasmid, pAdΔF6 helper plasmid, and the pAAV-shRNA construct using polyethylenimine (PEI; 25 kDa, linear). Seventy-two hours after transfection, cells were harvested, lysed, and centrifuged to remove cellular debris. AAV particles were purified from the supernatant using an iodixanol density gradient and subsequently concentrated in 5% sucrose/PBS using an Amicon Ultra-15 centrifugal filter. Viral titers were determined by quantitative PCR targeting the mCherry reporter sequence present in the viral genome (vg). The mCherry primers used were: 5′-tcc cac aac gag gac tac ac-3′ and 5′-ctt gta cag ctc gtc cat gc-3’. The final viral titers ranged from 5 × 1012 to 2 × 1013 vg/ml138.\nFor intraventricular injections, P0 Pcp2cre/+ were cryo-anesthetized with ice for 1 min before injection. Pups were placed in a custom-made platform, and a solution of AAVs diluted 1:100 in sterile NaCl containing 0.05% FastGreen was injected bilaterally into the lateral ventricles using a Nanoject III (Drummond Scientific Company). The injection site was located at approximately two-fifths of the distance between the lambda and each eye, and 1 μl of viral solution was injected into each lateral ventricle. After injection, pups were placed on a 37 °C warming pad to recover from anesthesia, and subsequently returned to the mother139.\nStatistical analyses were performed using GraphPad Prism version 8.0.0 (GraphPad Software, San Diego, CA, USA; www.graphpad.com), MATLAB (MathWorks, Natick, MA, USA), and R software. Data normality was assessed using the Shapiro–Wilk test, and equality of variances was tested using the F-test. Statistical comparison between two normally distributed groups was performed using a two-tailed unpaired Student’s t-test, or a two-tailed Mann–Whitney U-test for non-parametric data. For comparisons among more than two groups, one-way or two-way ANOVA was used for normally distributed data, while the Kruskal–Wallis test or a mixed-effects model was applied for non-parametric data. Statistical significance was defined as P < 0.05.\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n\n### Mouse strains\nThe following transgenic mouse lines were used in this study and maintained on a C57BL/6 background (Charles River Laboratories): Pcp2creER (Tg(Pcp2-creERT2)17.8.ICS)22, Ai14 (B6;129S6-Gt(ROSA)26Sortm14(CAG-tdTomato)Hze/J)24, Kir2.1 (Gt(ROSA)26Sortm2(CAG-KCNJ2/mCherry)Fmr)23 and Pcp2cre/+(B6.Cg-Tg(Pcp2-cre)3555Jdhu/J)118. Ai14 (Jackson Laboratories #007908) and Kir2.1 (kindly provided by Guillermina López-Bendito) mouse lines were maintained as homozygous and crossed with cre-driver lines, resulting in progeny that were always heterozygous for Ai14 and Kir2.1. Ai14 and Kir2.1 mice were crossed with inducible Pcp2creER mice to drive tdTomato or Kir2.1-mCherry expression in Purkinje cells, respectively, following tamoxifen administration. Tamoxifen (Sigma-Aldrich, Cat. #T5648, 20 mg/ml in corn oil) was administered subcutaneously or intraperitoneally to induce Cre recombination. The Ai14 and Kir2.1 lines were also crossed with Pcp2cre/+ mice to conditionally express tdTomato or Kir2.1 in all Purkinje cells, respectively. Both male and female mice were used in all experiments. For in utero electroporation, time-mated FVB/NHsd (Envigo) female mice were used and housed individually. The day of the vaginal plug detection was designated as embryonic day (E) 0.5. All animals were maintained under standard temperature-controlled laboratory conditions on a 12 h:12 h light/dark cycle, with water and food available ad libitum. All procedures were approved by the Dutch Ethical Committee for Animal Experiments and conducted in accordance with the Institutional Animal Care and Use Committee (IACUC) of Erasmus Medical Center, and with the European and Dutch National Legislation.\n\n\n### Tamoxifen protocols\nTamoxifen dosing and timing were adjusted to achieve either sparse or complete Purkinje cell labeling at different developmental stages, driving the expression of tdTomato or Kir2.1-mCherry, in Pcp2creER;Ai14 and Pcp2creER;Kir2.1, respectively. Protocols were designed with consideration of the developmental onset and pattern of Pcp2 expression. Sparse labeling, which allows visualization of individual cell morphology, was achieved by administering tamoxifen at 100 mg/kg body weight at postnatal day (P) 1.5 mg/kg at P7, and 1 mg/kg at P14. For recombination in all Purkinje cells, in short-term studies, 100 mg/kg tamoxifen was administered at P7 and 50 mg/kg at P14 to label Purkinje cells over a defined one-week window. For long-term recombination extending into adulthood, Pcp2creER;Kir2.1 mice and their control littermates received tamoxifen at 100 mg/kg for three consecutive days at P7, P14, or P21. To achieve recombination in all Purkinje cells from birth while avoiding multiple injections in neonatal pups, constitutive Pcp2cre/+;Kir2.1 mice and their control littermates were used, ensuring expression of tdTomato or Kir2.1-mCherry in all Purkinje cells from the earliest developmental stages. An overview of all experimental designs is provided in Supplementary Fig. 14.\n\n\n### Ex vivo Purkinje cell recordings and analysis\nEx vivo slice recordings of Purkinje cells were performed on cerebellar slices obtained from a total of 52 mice at three developmental ages: P7, P14, and P21 ( ± 1 day). Cerebellar tissue was collected from Pcp2creER;Ai14 or Pcp2creER;Kir2.1 mice that had been injected with tamoxifen at P1, P7, or P14 to induce sparse expression of tdTomato or Kir2.1-mCherry, respectively, in Purkinje cells. Brains were rapidly removed and placed in an ice-cold slicing solution continuously equilibrated with 95% O2 and 5% CO2, containing (in mM): 240 Sucrose, 2.5 KCl, 1.25 NaH2PO4, 2 MgSO4, 1 CaCl2, 26 NaHCO3, and 10 D-glucose. Sagittal vermal cerebellar slices (250 µm thick) were obtained in ice-cold slicing solution using a vibratome (VT1000S, Leica Biosystems, Wetzlar, Germany) equipped with a ceramic blade (Campden Instruments Ltd, Manchester, United Kingdom). Slices were then incubated in oxygenated artificial cerebrospinal fluid (aCSF) at 34 °C for 1 h before being transferred to a recording chamber. The chamber was maintained at 34 °C using a feedback temperature controller (Scientifica, Uckfield, United Kingdom) and continuously perfused with oxygenated aCSF containing (in mM): 124 NaCl, 5 KCl, 1.25 Na2HPO4, 2 MgSO4, 2 CaCl2, 26 NaHCO3, and 20 D-glucose21.\nFor all the recordings, the aCSF was supplemented with synaptic receptor blockers to isolate the intrinsic activity of Purkinje cells. The following antagonists were included: the NMDA receptor antagonist D-AP5 (50 µM), the selective and competitive AMPA receptor antagonist NBQX (10 µM), and the non-competitive GABAA receptor antagonist and glycine receptor inhibitor picrotoxin (100 µM; all from Hello Bio Ltd, Bristol, United Kingdom). For some recordings, the aCSF was additionally supplemented with 300 µM barium (Sigma-Aldrich, Merck KGaA, Darmstadt, Germany). Purkinje cells were selected based on their fluorescent labeling: tdTomato expression in Pcp2creER;Ai14, absence of mCherry in Pcp2creER;Kir2.1,Ctl, and mCherry expression in Pcp2creER;Kir2.1. Neurons were visualized using a SliceScope Pro 3000 microscope, with a CCD camera, a trinocular eyepiece (Scientifica, Uckfield, UK), and an ocular (Teledyne Qimaging, Surrey, Canada).\nWhole-cell recordings were obtained using borosilicate pipettes (Harvard apparatus, Holliston, MA, USA) with a resistance of 4–6 MΩ, filled with an internal solution containing (in mM): 9 KCl, 3.48 MgCl2, 4 NaCl, 120 K+-Gluconate, 10 HEPES, 28.5 Sucrose, 4 Na2ATP, and 0.4 Na3GTP, adjusted to pH 7.25-7.35 and osmolarity 290–300 mOsmol/Kg (Sigma-Aldrich, Merck KGaA, Darmstadt, Germany). Whole-cell recordings were performed on Purkinje cells held at −65 mV. Before establishing the whole-cell recording configuration, capacitance was optimally compensated. Input resistance was determined using the seal test protocol integrated into PatchMaster software (HEKA Elektronik). Immediately after achieving the giga-ohm seal (>1 GΩ), a test pulse was applied through PatchMaster (a 10 mV hyperpolarizing voltage step for 10–20 ms) to assess passive membrane properties without activating voltage-gated currents. Membrane resistance (Rm) was calculated by subtracting the series resistance (Rs) from the total input resistance (Rin) (Rm = Rin − Rs). Recordings with a series resistance greater than 25 MΩ were excluded. After achieving whole-cell configuration, zero current was injected in current-clamp mode to assess intrinsic action potential firing and resting membrane potential, defined as the mode of the voltage trace. Intrinsic excitability was tested by holding the cells at −65 mV using a holding current, which was then labeled as ‘0 pA’. From this holding current, 500 ms current steps increasing by 100 pA for every step were applied, and the number of action potentials in the resulting voltage trace was counted. The current–voltage (I–V) curves were generated in voltage-clamp mode by applying 500 ms voltage steps from −140 mV to 0 mV in 10 mV increments and measuring the mode of the resulting current. Recordings were acquired with Patchmaster (HEKA Electronics, Lambrecht, Germany) using an ECP-10 amplifier (HEKA Electronics, Lambrecht, Germany) and digitized at 20 kHz. Data files were imported into and analyzed with a custom-built MATLAB code (Mathworks, Natick, MA, USA).\n\n\n### In vivo extracellular recordings and analysis\nIn vivo extracellular recordings of Purkinje cells and cerebellar nuclei neurons were performed in juvenile (P28 ± 3 days; n = 10) and adult (P60–P90) (n = 9) Pcp2cre/+;Kir2.1 mice and their control littermates. Mice were anesthetized with isoflurane in oxygen (4% for induction and 1.5–2% for maintenance). The scalp was shaved and incised along the rostrocaudal midline, and the medial neck muscles overlaying the occipital bone were removed. Next, a craniotomy was made in the occipital bone using a high-speed diamond-tipped drill (Kulzer, #H71104003). A custom-made recording chamber (Charisma Flow Row composite, #66095845) was positioned around the craniotomy and temporarily sealed with bonewax (Ethicon, W30) to protect the exposed brain. Then, a custom-built metal pedestal with a square magnet was fixed to the frontal and parietal bones to allow for head fixation during recordings. Mice were allowed to recover for three days post-surgery. On the day of recording, mice were head-fixed in a mouse holder, and the bonewax was removed to expose the cerebellar surface for extracellular recordings25.\nExtracellular activity was recorded using borosilicate glass pipettes (World Precision Instruments, BF200-116-10) pulled to have a long, thin taper and a resistance of 2–4 MΩ, filled with 2 M NaCl solution. One silver chloride electrode wire was inserted into the pipette to record electrical activity, and a second silver chloride electrode wire was placed in the saline-filled recording chamber as a reference electrode. Pipettes were advanced into the cerebellar cortex or nuclei using a micromanipulator (SM-5, Luigs & Neumann, Ratingen, Germany). Signals were pre-amplified (custom-made preamplifier, 1000× DC), filtered (CyberAmp 320, Axon Instruments, Molecular Devices, Sunnyvale, CA, USA), digitized (Power1401, CED, Cambridge, UK), and stored for offline analysis. To histologically verify the recording site of cerebellar nuclei neurons, at the end of some recording sessions, 0.5% Evans Blue solution was injected at the recording location with a micropipette (Hirschmann, Z611239-250EA). Recordings from Purkinje cells and cerebellar nuclei neurons were analyzed using SpikeTrain software (Neurasmus BV, Rotterdam, The Netherlands), running in MATLAB 2014a (MathWorks, Natick, MA, USA). SpikeTrain employs wave-clustering algorithms to discriminate simple and complex spikes. Purkinje cells were identified by the presence of both simple and complex spikes and confirmed as single units by the characteristic pause in simple spike firing following each complex spike. For each neuron and spike type, the firing rate and the coefficient of variation (CV) 2 were calculated. The CV2 measures local, spike-to-spike variability in firing pattern and was calculated as 2 × |ISIn+1 − ISIn|)/(ISIn+2/ISIn)119, where ISI = inter-spike intervals.\n\n\n### Immunohistochemistry\nMice were deeply anesthetized with sodium pentobarbital by intraperitoneal injection and transcardially perfused with sodium chloride solution, followed by 4% paraformaldehyde (PFA) in 0.1 M phosphate buffer (PB; pH 7.4). Dissected brains were post-fixed for 2 h at 4 °C in 4% PFA and cryoprotected overnight at 4 °C in 30% sucrose/0.1 M PB. The next day, brains were embedded in 14% gelatin/ 30% sucrose/0.1 M PB solution, fixed for 2 h at room temperature, and incubated overnight at 4 °C in 30% sucrose/0.1 M PB. Sagittal or coronal brain sections (50 µm) were cut using a freezing microtome.\nFree-floating sections were rinsed in 0.1 M PB and subjected to antigen retrieval by incubation for 2 h in 10 mM sodium citrate solution at 80 °C. Sections were then rinsed and incubated for 2 h at room temperature in a blocking solution containing 0.5% Triton X-100 and 10 % normal horse serum in 0.1 M PB to prevent nonspecific binding. Subsequently, sections were incubated overnight at 4 °C with primary antibodies diluted in antibody solution (0.5 % Triton X-100 and 2 % normal horse serum in 0.1 M PB).\nThe following primary antibodies were used: rabbit anti-RFP (1:1000, Rockland, #600-401-379), chicken anti-RFP (1:1000, Rockland, #600-901-379), goat anti-GFP (1:1000, Rockland, #600-101-215), mouse anti-calbindin D-28K (1:10000, Swant, #CB300), guinea pig-VGAT (1:500, Synaptic Systems, #131004), guinea pig-VGLUT1 (1:2000, Merck, AB5905), guinea pig-VGLUT2 (1:2000, Merck, #AB2251-I), mouse-parvalbumin (1:5000, ThermoFisher Scientific, MA5-47410), and rabbit-NeuN (1:1000, Millipore, #ABN78).\nSections were rinsed in 0.1 M PB and incubated for 2 h at room temperature with secondary antibodies: Cy3-AffiniPure Donkey anti-Rabbit (1:1000, #711-165-152), Cy3-AffiniPure Donkey anti-Chicken (1:1000, #703-165-155), Alexa Fluor 488-AffiniPure Donkey anti-Goat (1:1000, #705-545-147), Alexa Fluor 488-AffiniPure Donkey anti-Mouse (1:1000, #715-545-150), Cy3-AffiniPure Donkey anti-Mouse (1:1000, #715-165-150), Alexa Fluor 488-AffiniPure Donkey anti-Guinea Pig (1:1000, #706-545-148), Alexa Fluor 647-AffiniPure Donkey Anti-Mouse (1:1000, #715-605-151), and Cy5-AffiniPure Donkey anti-Rabbit (1:1000, #711-175-152) all from Jackson ImmunoResearch.\nFinally, sections were counterstained with the fluorescent nuclear dye 4′,6-diamidino-2-phenylindole (DAPI, Thermo Scientific, #D3571) and mounted with Mowiol (Polysciences, Inc., #17951). Sections used for ML interneuron quantification were counterstained with NeuroTrace 435/455 Blue Fluorescent Nissl Stain (1:300, ThermoFisher Scientific, N21479).\n\n\n### Image acquisition and analysis\nImages were acquired at a resolution of 1024 × 1024 pixels and 8-bit depth using either an LSM 700 or LSM 900 confocal laser scanning microscope, and an Axio Imager.M2 epifluorescence microscope (Carl Zeiss Microscopy, LLC, USA). For each experiment, all imaging parameters, including laser power, detection filter settings, pinhole size, and photomultiplier gain, were kept constant across samples.\nTo image individual Purkinje cells, sagittal sections were acquired using a 20×/0.8 NA or 40×/1.3 NA oil-immersion objective with a z-step of 1 µm. Given the morphological variability of Purkinje cells across cerebellar regions21, cells were imaged throughout the cerebellar cortex and plotted individually. Dendrite complexity was quantified from maximum intensity projections of z-stack images using the Sholl analysis macro in FIJI (ImageJ) software120. To quantify Purkinje cell area excluding the axon, the maximum projection of each image was thresholded in FIJI, and the area was then measured. The longest dendrite length was obtained as a result of Sholl analysis. The ML ratio was calculated as the percentage of Purkinje cell height (the distance from the top of the Purkinje cell soma to the apical edge of the neuron) divided by the ML height. Neurite number was measured as the number of processes originating from the soma of a Purkinje cell.\nTo image calbindin-positive (+) and VGAT+ presynaptic puncta, coronal cerebellar sections were acquired using a 63×/1.4NA oil-immersion objective with a z-interval of 1 µm. For quantification of presynaptic densities, the perimeter of NeuN+ cerebellar nuclei neuron soma was measured using FIJI. Presynaptic puncta calbindin+ and VGAT+ were automatically detected using the Find Maxima function to count the number of puncta colocalizing with the soma perimeter. The number of calbindin+ signal colocalizing with VGAT+ puncta was normalized to the corresponding soma perimeter of each analyzed cell. Given the diversity in soma size among cerebellar nuclei neurons121,122, data were plotted individually.\nTile-scan images of Purkinje cells and VGLUT2 puncta were acquired with a 40×/1.3NA oil-immersion objective with a z-interval of 0.8 µm. Maximum intensity projections of sagittal sections were used for quantification. The ML thickness was measured as the distance from the top of a Purkinje cell soma to the apical edge of the ML. Climbing fiber (CF) height was measured as the distance from the top of a Purkinje cell soma to the most distal VGLUT2 puncta. ML thickness and CF height were determined from three measurements per image. CF extension was quantified as the percentage of the CF height relative to ML thickness. VGLUT2 density was quantified by counting VGLUT2 puncta within a specific region of interest (ROI) using the ‘Analyze Particles’ function in FIJI, and normalizing the count to the ROI area. To quantify VGLUT2 perisomatic puncta, the perimeter of individual Purkinje cell soma was measured, and VGLUT2 puncta colocalizing with the soma perimeter were counted, excluding those inside the soma. Measurements were performed from three Purkinje cells per image, and the number of VGLUT2 puncta was normalized to the soma perimeter of each analyzed cell.\nImages of VGLUT1 puncta were acquired using a 63X/1.4NA oil-immersion objective, with a scan zoom of 2 and a z-interval of 0.5 µm. Maximum intensity projections of sagittal sections near the apical edge of the ML were used for quantification. VGLUT1 puncta were identified using the Trainable Weka Segmentation (v4.0.0) plugin123. Both the number and size of VGLUT1 puncta were quantified, and VGLUT1 density was calculated as the number of puncta per ROI area.\nMolecular layer interneurons (MLIs) stained with NeuroTrace and parvalbumin (PV) were imaged using a 20×/0.8NA objective with a z-interval of 1 µm. Maximum intensity projections of sagittal sections were analyzed using a macro implemented in FIJI. The number of NeuroTrace+, PV+, and colocalized NeuroTrace+ PV+ cells was counted. MLI density was calculated as the number of neuronal cells per ROI area.\nImages of sagittal cerebellar sections were acquired using an Axio Imager.M2 epifluorescence microscope with a 10x/0.45 NA objective. Granule cell layer (GCL) thickness was measured at two distinct positions within each lobule: at the base and in the middle region. At each position, two independent measurements were taken, defined as the distance from the bottom of the Purkinje cell soma to the white matter. The mean value of these measurements was used for subsequent analysis. The area of each cerebellar lobule was determined by manually delineating lobule boundaries and measuring the enclosed area using FIJI.\n\n\n### In utero electroporation\nTimed-pregnant FVB/NHsd females at E12.5 were deeply anesthetized with isoflurane (5% induction, 2% maintenance) in oxygen at a flow rate of 1 l/min, and body temperature was maintained at 37 °C. Buprenorphine (0.1 mg/kg) was administered subcutaneously for analgesia. The abdominal cavity was then opened, and the uterus was carefully exposed to access the embryos. A beveled glass micropipette was used to inject a combination of 3 μg/μl of pCAG-GFP (Addgene; #11150; a gift from C. Cepko124) and 1 μg/μl of pCAG-Kir2.1-T2A-tdTomato (Addgene; #60598; a gift from M. Scanziani125) with 0.05% of FastGreen into the fourth ventricle of each embryo. Electroporation was performed by delivering five pulses of 35 V for 50 ms at 900 ms intervals using a 2 mm tweezertrode (CUY650P2, Nepa Gene) connected to an electroporator (BTX, ECM830). The electrodes were positioned to target Purkinje cell progenitors in the cerebellar ventricular zone. After electroporation, the uterus was placed back into the abdominal cavity, and the abdominal wall and skin were sutured. The female was monitored until complete recovery.\n\n\n### Balance beam test\nAll behavioral tests were performed on adult mice (P60–P90).\nMice were tested on a 1-meter-long bean with a flat surface, 12 mm wide, elevated 50 cm above the surface between two platforms. A cage was placed at the end of the beam as a finish point. The test consisted of two training days followed by a testing day, with three trials per day. Trials in which a mouse fell five consecutive times were considered completed. Motor coordination was determined by averaging the time taken to cross the beam and the number of missteps per run126.\n\n\n### Accelerating the rotarod test\nMice were tested on an accelerating rotarod over five consecutive days, with four non-consecutive trials per day. On days 1 to 4, the rotating rod was accelerated to 40 rpm, and on day 5, the maximum speed was increased to 80 rpm. Mice were given an hour to rest between trials. A trial was considered complete when the mouse reached a maximum latency of 300 s, fell off the rod, or rotated three consecutive times. Motor coordination was quantified by averaging the latency to fall across trials on the accelerating rod (Ugo Basile Biological Research Apparatus).\n\n\n### LocoMouse test\nThe LocoMouse test was performed to assess whole-body coordination during overground locomotion30. Mice crossed a glass corridor (66.5 cm long, 4.5 cm wide, and 20 cm high) between two dark boxes. A mirror (66 cm × 16 cm) was placed below the corridor at a 45˚ angle to allow simultaneous recording of side and bottom views. Side and bottom views of walking behavior were recorded using a high-speed camera (Basler, 1440 × 250 pixels, 400 fps). The test consisted of two consecutive habituation days followed by three consecutive experimental days. During habituation, mice walked freely between the two dark boxes for 15 min. On each experimental day, 15 trials per animal were collected; each trial consisted of a single corridor crossing, and the animals were not required to walk continuously throughout a trial. A DeepLabCut network was trained using the side camera view of the LocoMouse to track the paws, nose, and tail base positions of each individual mouse127. Data were processed using custom-written Python (v3.7) code available at GitHub (GitHub, San Francisco, CA, USA, https://github.com/BaduraLab/DLC_analysis)31.\n\n\n### Open field test\nThe open field test was performed in a white-opaque polypropylene square arena (50 × 50 × 40 cm) under uniform lighting. Each animal was placed in the center of the arena and allowed to explore freely for 10 min. A digital video system recorded the overall activity inside the box (Carl Zeiss Tessar 2.0/3.7 2MP V-UBM46 Autofocus Camera). Data were analyzed using OptiMouse, an open-source MATLAB program128, which automatically calculated the total distance traveled and speed to evaluate spontaneous locomotor activity.\n\n\n### Compensatory eye movements\nMice were surgically prepared for head-restrained recordings by placing a custom-built metal pedestal with a square magnet on the frontal and parietal bones under general anesthesia with isoflurane/O2. Three days after recovery, mice were head-fixed in a holder at the center of a turntable (60 cm diameter), surrounded by a cylindrical screen (63 cm diameter) with a random-dotted pattern (drum). Eye movements were recorded with a CCD camera fixed to the turntable, and eye-tracking software was used (ETL-200, ISCAN Systems, Burlington, NA, USA). Eyes were illuminated with two table-fixed infrared emitters and a third emitter attached to the camera, which produced a tracked corneal reflection used as the reference point. The recording camera was calibrated by moving it left-right 20° peak-to-peak while the eye remained stationary129. Gain and phase values of eye movements were calculated using custom-made MATLAB scripts, available at GitHub (GitHub, San Francisco, CA, USA, https://github.com/MSchonewille/iMove;130). Mice were familiarized with the experimental setup three days before the experiments by providing visual and/or vestibular stimulations for 30 min. Compensatory eye movements were evoked using a sinusoidal drum rotation in light (OKR), turntable rotation in dark (vestibular ocular reflex-VOR), or turntable rotation in light (visual VOR-VVOR) with 5° amplitude at 0.1–1 Hz. To assess motor learning, mice were subjected to a mismatch between visual and vestibular input to adapt the VOR. The ability to perform VOR phase reversal was tested over five consecutive days, with six 5 min training sessions per day and VOR recordings before, between, and after each training session. Mice were kept in the dark between recording sessions to avoid unlearning of the adapted responses. On the first training day, the visual (drum) and vestibular (turntable) stimuli rotated in phase at 0.6 Hz, each with an amplitude of 5°, resulting in a decrease in gain. In the following days, the drum amplitude was increased to 7.5° (day 2) and 10° (days 3, 4, and 5), while the turntable amplitude remained at 5°. This led to a reversal of the VOR direction, an inversion of the compensatory eye movement driven by vestibular input, moving the eye in the same direction as the head rotation rather than the normal compensatory opposite direction. Motor performance in response to these stimulations was measured by calculating the response gain (ratio of eye movement amplitude per stimulus amplitude) and phase (difference between eye and stimulus in degrees)21.\n\n\n### Eyeblink conditioning\nA custom-built metal pedestal with a square magnet on top was placed on the frontal and parietal bones of a mouse under general anesthesia with 2% isoflurane/O2. Three days after recovery, mice were head-fixed on a foam-cylindrical treadmill, on which they could walk freely inside custom-built sound- and light-attenuating boxes. Eyelid movements were monitored under infrared illumination using a high-speed (333 fps) monochrome Basler video camera (Basler ace 750–30 gm). Stimuli and measurement devices were controlled by National Instruments hardware and custom-written LabVIEW software. The conditioned stimulus (CS) was a blue LED light (duration 280 ms, diameter 5 mm) placed 10 cm in front of the mouse. The unconditioned stimulus (US) consisted of a 30 ms mild corneal air puff, controlled by a VHS P/P solenoid valve with a back pressure of 30 psi (Lohm rate, 4750 Lohms; Internal volume, 30 µl, The Lee Company®, Westbrook, USA) and delivered via a 27.5 mm gauge needle perpendicularly positioned at approximately 5 mm from the center of the left cornea. Prior to the experiments, mice were habituated to the set-up for one day (two 30 min sessions spanning 6 h) with no stimuli delivered. To assess motor learning, mice were subjected to EBC training for 5 consecutive days, with two sessions per day separated by 6 h of rest. Before the first training session, a baseline session was conducted to confirm that the CS did not elicit any reflexive eyelid closure. This baseline session consisted of 15 CS-only trials and 3 US-only trials. Immediately after this, the training sessions began. During each session, every animal received a total of 200 paired CS-US trials, 20 US-only trials, and 20 CS-only trials. These trials were presented across 20 blocks, with each block consisting of 1 US-only trial, 10 paired CS-US trials, and 1 CS-only trial. The interval between CS onset and US onset was 250 ms. All experiments were performed at approximately the same time of the day by the same experimenter. Individual eyeblink traces were analyzed with a custom-written MATLAB script available at GitHub (GitHub, San Francisco, CA, USA, https://github.com/francescafiocchi91/Eyeblink_Conditioning36) (R2018a, Mathworks). Eyeblink traces (2000 ms) were imported from a MySQL database into MATLAB and aligned at zero for the 500 ms pre-CS baselines. Trials with significant activity in the 500 ms pre-CS period (>7 times the interquartile range) were considered invalid and disregarded for further analysis. The eyelid signal was min–max normalized so that a fully open eye corresponded to a value of 0 and a fully closed eye to a value of 1131. In valid normalized CS-only trials, eyelid responses were considered as conditioned responses (CR) if the maximum amplitude was larger than 0.10 between 100 and 500 ms after CS onset and showed a positive slope in the 150 ms before the time point of the expected US delivery (US is omitted in CS-only trials)132.\n\n\n### Purkinje cell collection for RNA sequencing\nTo isolate Purkinje cells, the cerebellar tissue was extracted from either P7 Pcp2+/+;Kir2.1 or P7 Pcp2cre/+;Kir2.1 mice. Sagittal slices of vermal cerebellar tissue were obtained and maintained as described in the ex vivo Purkinje cell recordings section. For cell collection, individual slices were transferred to a recording chamber and maintained at 34 °C under continuous perfusion with equilibrated aCSF. In P7 Pcp2cre/+;Kir2.1 slices, Purkinje cells were selected based on Kir2.1-mCherry expression. Neurons were extracted into a glass pipette using negative pressure, and 50 cells were sampled across the cerebellar cortex. Eight biological samples per genotype were collected for RNA sequencing. Cells were harvested in a mild hypotonic lysis buffer containing 0.2% Triton X and 2 U/µl RNase inhibitor, kept on ice during collection, and either processed immediately or stored at -80 °C until RNA extraction.\n\n\n### cDNA library preparation and RNA sequencing\nLibrary preparation and RNA sequencing experiments were performed at the Erasmus Center for Biomics (Erasmus MC, Rotterdam, The Netherlands). For each biological replicate, cDNA libraries were generated using the Smart-seq2 method133. Briefly, cells were lysed, and poly(A) + RNA was reverse-transcribed using an oligo(dT) primer. Template switching during reverse transcription was achieved using a locked nucleic acid-containing template-switching oligonucleotide. The reverse-transcribed cDNA was preamplified with primers for 18 cycles, followed by cleanup. Tagmentation was performed on 1 ng of the pre-amplified cDNA using the Illumina Nextera DNA Flex kit. The tagmented library was extended with Illumina adapter sequences by PCR for 12 cycles and purified. The resulting sequencing library was measured on a Bioanalyzer and equimolarly loaded onto a flow cell for sequencing according to the Illumina TruSeq v3 protocol on the Illumina HiSeq 2500 platform, with a single read of 50 base pairs and dual 9-base-pair indices.\n\n\n### Bioinformatic analysis of RNA sequencing\nIllumina adapter sequences and poly-A stretches were trimmed from the reads prior to mapping to the mouse reference sequence GRCm38 (mm10) using HISAT2 (version 2.1.0). From the alignments, the reads per gene were determined using htseq-count (version 0.11.2). Gene and transcript annotations were retrieved from Ensembl (build 101) using consensus coding sequences for each gene. Count data were analyzed using RStudio (version 0.99.484) following the edgeR-limma package workflow134. Briefly, Ensembl IDs were annotated to Entrez gene IDs, gene symbols, gene names, and chromosome locations using the Mus.musculus package. Raw counts were transformed into counts per million (CPM) and log2-CPM, and genes with a CPM below 0.2 in at least three samples were filtered out. Normalization of gene expression distributions was performed using the Trimmed Mean of M-values method.\nDEGs between Purkinje cells from Pcp2+/+;Kir2.1 and Pcp2cre/+; Kir2.1 mice were visualized using a hierarchical clustering heatmap with normalized row z-scores in R. To identify biologically significant genes, data were organized in a volcano plot with a fold change cutoff of 0.5 and a—log10(false discovery rate; FDR) cutoff of 1.3. Gene ontology (GO) analyses were performed using the Gene Ontology tool (http://pantherdb.org/), and KEGG enrichment analyses were performed using the clusterProfiler package (version 4.14.6)135. DEGs were selected for GO and KEGG enrichment analysis. The complete gene set identified from the biological samples was used as the reference list, and GO terms with corrected P ≤ 0.05 were considered significantly enriched. GO term visualization was generated using the ggplot2 package (version 3.5.1), and network visualizations using the igraph package (version 2.1.4)136. A list of 216 human movement disorder-associated genes was extracted from the KEGG Disease database (https://www.genome.jp/kegg/disease/), which compiles known genetic and environmental contributors to human diseases. This list was compared to the 1602 DEGs identified from RNA sequencing, revealing 25 overlapping genes. The shared genes were ranked by -log10(FDR) and log2 fold change, Prkcg and Car8 emerging as the top hits.\n\n\n### Single-molecule fluorescence in situ hybridization\nMice were perfused as described above, and brains were postfixed for 2 h at 4 °C before being cryoprotected in 30% sucrose/0.1 M PB overnight at 4 °C. Sagittal sections 30 µm thick were obtained using a freezing microtome, mounted on RNAse-free SuperFrost Plus slides (Epredia), and probed against the candidate genes according to the manufacturer’s protocol. Single-molecule fluorescence in situ hybridization was performed using the RNAscope Multiplex Fluorescent Reagent Kit v2 (ACDBio, #323100) with probes targeting Car8 (Mm-Car8-C2, #514171) and Prkcg (Mm-Prkcg-C2, #417911). Sections were co-immunostained with rabbit anti-RFP (1:1000, Rockland, #600-401-379) and Cy3-AffiniPure Donkey anti-Rabbit (1:1000, Jackson ImmunoResearch, #711-165-152).\n\n\n### Cell culture and transfection\nHEK293T cells were cultured in Dulbecco’s Modified Eagle’s medium supplemented with high glucose, Glutamax, and pyruvate (DMEM; ThermoFisher Scientific, #31966-047). In addition, 10% fetal bovine serum, 1% of penicillin (10,000 U/ml), and of streptomycin (10,000 µg/ml). Cultures were maintained at 37 °C in a humidified atmosphere with 5% CO2. HEK293T cells were plated in 6-well plates at a density of 0.5 × 106 cells/well and transfected the following day with plasmids expressing the full-length genes of interest and respective shRNA-expressing plasmids at a 1:3 ratio using Lipofectamine 2000 (ThermoFisher Scientific, #11668019). The plasmids used to express Prkcg and Car8 were pcDNA3.1 + /C-(K)DYK-Prkcg (GenScript, OMu17867) and pcDNA3.1 + /C-(K)DYK-Car8 (GenScript, OMu00430), respectively. shRNA sequences targeting Prkcg and Car8 were designed by The RNAi Consortium (TRC) and obtained from Horizon Discovery. The antisense sequence and respective clone IDs were as follows: Prkcg shRNA1 5’-TTG ATG GCA TAG AGT TCG TCG-3’ (TRCN0000022684), Prkcg shRNA2 5’-TAA TAT GGA TCT CAT CCG ACG-3’ (TRCN0000022685), Prkcg shRNA3 5’-ATA GGC AAT GAT CTC AGG TGC-3’ (TRCN0000022686), Prkcg shRNA4 5’-TTC ACA TAA GTA AAG CCC TGG-3’ (TRCN0000022687), Prkcg shRNA5 5’-AAA CGA GCG GTG AAC TTG TGG-3’ (TRCN0000022688), Car8 shRNA1 5’-AAT ATC CAG GTA ACT CCT TCG-3’ (TRCN0000114512), Car8 shRNA2 5’-TTT AGG TTG ATA GGT GAC TGG-3’ (TRCN0000114513), Car8 shRNA3 5’-TAG CAT CAG GAA ACA CTA AGC-3’ (TRCN0000114514) and Car8 shRNA4 5’-ATC TGG GAT ATA GTT AAA GGG-3’ (TRCN0000114515). A non-targeting control shRNA against lacZ 5’-AAA TCG CTG ATT TGT GTA GTC-3’ was used as a negative control.\n\n\n### Western blotting\nHEK293T cells were collected 24 h after transfection in lysis buffer containing 50 mM Tris-HCl pH 8, 150 mM NaCl, 1% Triton X-100, 0.5% sodium deoxycholate, 0.1% SDS, and protease inhibitor cocktail. Protein concentrations were measured using the Pierce BCA Protein Assay Kit (Thermo Fisher Scientific). Samples were denatured, and equal amounts of proteins were separated by SDS-PAGE in Criterion TGX Stain-Free Gels (Bio-Rad) and transferred onto nitrocellulose membranes using the Trans-Blot Turbo Blotting System (Bio-Rad). Membranes were blocked with 5% bovine serum albumin (BSA; Sigma-Aldrich) in Tris-buffered saline (TBS)-Tween (20 mM Tris-HCl pH 7.5, 150 mM NaCl, and 0.1%, Tween 20) for 1 h at room temperature and incubated overnight at 4 °C with the following primary antibodies: rabbit anti-DYKDDDDK-tag (1:2000, GenScript, #A00170) and mouse anti-actin (1:1000, Millipore, #MAB1501). After washing, membranes were incubated for 1 h at room temperature with the following secondary antibodies: goat anti-Rabbit Immunoglobulins/HRP (1:10000, Agilent Dako, #P0448) or goat anti-Mouse Immunoglobulins/HRP (1:10000, Agilent Dako, #P0447). Protein bands were detected by the luminol-based enhanced chemiluminescence method (SuperSignal West Femto Maximum Sensitivity Substrate or SuperSignal West Dura Extended Duration Substrate, Thermo Fisher Scientific). Membranes were stripped with Restore PLUS Western Blot Stripping Buffer (Thermo Fisher Scientific) when necessary. Densitometry analyses of protein bands were normalized to actin levels using the Image Studio Lite software (LI-COR Biosciences).\n\n\n### Generation of DNA constructs\nDNA vectors were generated using standard molecular biology procedures. To produce viral vectors expressing shRNA for the target genes, pairs of oligonucleotides were designed, obtained (Integrated DNA Technologies) and hybridized for shlacZ (strand 1: 5’-cta ggA AAT CGC TGA TTT GTG TAG TCT GAT ATG TGC AGA CTA CAC AAA TCA GCG ATT TTT TTTg-3’and strand 2: 5’-aat tca aaaa AAA TCG CTG ATT TGT GTA GTC TGC ACA TAT CAG ACT ACA CAA ATC AGC GAT TTc-3’), shPrkcg (strand 1 5’-cta ggT AAT ATG GAT CTC ATC CGA CGC TCG AGC GTC GGA TGA GAT CCA TAT TAT TTTTg-3’and strand 2 5’-aat tca aaaa TAA TAT GGA TCT CAT CCG ACG CTC GAG CGT CGG ATG AGA TCC ATA TTAc-3’) and shCar8 (strand 1 5’-cta ggT TTA GGT TGA TAG GTG ACT GGC TCG AGC CAG TCA CCT ATC AAC CTA AAT TTTTg-3’and strand 2 5’-aat tca aaaa TTT AGG TTG ATA GGT GAC TGG CTC GAG CCA GTC ACC TAT CAA CCT AAAc-3’). Each double-stranded oligonucleotide was subsequently cloned into the pDIO-DSE-mCherry-PSE-MCS vector (Addgene; #129669; a gift from B. Rico137) using EcoRI and AvrII restriction sites.\n\n\n### Generation of viral particles\nThe adenovirus-associated virus (AAV) preparation AAV-FLEX-GFP was commercially acquired (Addgene; #28304-PHPeB; a gift from E. Boyden). HEK293T cells cultured in DMEM (with 10% fetal calf serum and penicillin/streptomycin) were co-transfected with AAV2/9 serotype helper plasmid, pAdΔF6 helper plasmid, and the pAAV-shRNA construct using polyethylenimine (PEI; 25 kDa, linear). Seventy-two hours after transfection, cells were harvested, lysed, and centrifuged to remove cellular debris. AAV particles were purified from the supernatant using an iodixanol density gradient and subsequently concentrated in 5% sucrose/PBS using an Amicon Ultra-15 centrifugal filter. Viral titers were determined by quantitative PCR targeting the mCherry reporter sequence present in the viral genome (vg). The mCherry primers used were: 5′-tcc cac aac gag gac tac ac-3′ and 5′-ctt gta cag ctc gtc cat gc-3’. The final viral titers ranged from 5 × 1012 to 2 × 1013 vg/ml138.\n\n\n### Intraventricular viral injection in neonates\nFor intraventricular injections, P0 Pcp2cre/+ were cryo-anesthetized with ice for 1 min before injection. Pups were placed in a custom-made platform, and a solution of AAVs diluted 1:100 in sterile NaCl containing 0.05% FastGreen was injected bilaterally into the lateral ventricles using a Nanoject III (Drummond Scientific Company). The injection site was located at approximately two-fifths of the distance between the lambda and each eye, and 1 μl of viral solution was injected into each lateral ventricle. After injection, pups were placed on a 37 °C warming pad to recover from anesthesia, and subsequently returned to the mother139.\n\n\n### Statistical analysis\nStatistical analyses were performed using GraphPad Prism version 8.0.0 (GraphPad Software, San Diego, CA, USA; www.graphpad.com), MATLAB (MathWorks, Natick, MA, USA), and R software. Data normality was assessed using the Shapiro–Wilk test, and equality of variances was tested using the F-test. Statistical comparison between two normally distributed groups was performed using a two-tailed unpaired Student’s t-test, or a two-tailed Mann–Whitney U-test for non-parametric data. For comparisons among more than two groups, one-way or two-way ANOVA was used for normally distributed data, while the Kruskal–Wallis test or a mixed-effects model was applied for non-parametric data. Statistical significance was defined as P < 0.05.\n\n\n### Reporting summary\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n\n### Supplementary information\nSupplementary Information\nDescription of Additional Supplementary Files\nSupplementary Movie 1\nSupplementary Movie 2\nSupplementary Movie 3\nSupplementary Movie 4\nSupplementary Movie 5\nReporting Summary\nTransparent Peer Review file\nSupplementary Information\nDescription of Additional Supplementary Files\nSupplementary Movie 1\nSupplementary Movie 2\nSupplementary Movie 3\nSupplementary Movie 4\nSupplementary Movie 5\nReporting Summary\nTransparent Peer Review file\n\n\n### Source data\nSource Data\nSource Data", "domain": "affective_neuroscience"}
{"source": "PMC13026305", "title": "Chronic Pain and Opioids in the Elderly: Treating the Brain, Not Just the Body", "text": "# Chronic Pain and Opioids in the Elderly: Treating the Brain, Not Just the Body\n\n## Abstract\nPublic health relevance—How does this work relate to a public health issue?\nChronic pain and opioid use in older adults are interlinked issues with major functional and mental health impacts.An integrated, system-level approach is needed beyond symptom control. Chronic pain and opioid use in older adults are interlinked issues with major functional and mental health impacts. An integrated, system-level approach is needed beyond symptom control. Public health significance—Why is this work of significance to public health?\nThis review proposes a neuropsychiatric model to enhance safety, prevention, and care in later life.It highlights shared mechanisms linking pain, depression, and opioid misuse. This review proposes a neuropsychiatric model to enhance safety, prevention, and care in later life. It highlights shared mechanisms linking pain, depression, and opioid misuse. Public health implications—What are the key implications or messages for practitioners, policy makers and/or researchers in public health?\nTreatment should prioritise functional recovery, emotional stability, and cognitive preservation.Multimodal strategies combining pharmacological and psychosocial care are essential. Treatment should prioritise functional recovery, emotional stability, and cognitive preservation. Multimodal strategies combining pharmacological and psychosocial care are essential. Background: Chronic pain, opioid use, and mental health disorders frequently co-occur in older adults, forming a complex and mutually reinforcing triad. Neurobiological ageing processes—such as neuroinflammation, dopaminergic decline, and impaired top-down regulation—may increase vulnerability to maladaptive coping strategies, including opioid misuse. This review aims to integrate neurobiological, affective, and clinical evidence to propose a unified neuropsychiatric framework for understanding the intersection between chronic pain, emotional distress, and opioid vulnerability in later life, while highlighting implications for integrated treatment and opioid stewardship. Methods: This structured narrative review synthesised interdisciplinary evidence from neuroscience, geriatric psychiatry, and pain medicine. The literature was thematically organised to examine shared neurobiological and psychosocial mechanisms underlying chronic pain, affective disorders, and opioid use disorder (OUD) in older adults, with attention to treatment strategies and stewardship principles. Results: Converging evidence suggests a neuroprogressive continuum linking chronic pain, emotional distress, opioid misuse, and cognitive decline. Key mechanisms include frontolimbic dysfunction, impaired reward processing, and chronic allostatic load. Therapeutic approaches that integrate analgesia with emotional regulation—such as buprenorphine, serotonin–noradrenaline reuptake inhibitors (SNRIs), and multimodal tapering strategies—may offer neuroprotective benefits. Effective opioid stewardship appears to require integrated functional, cognitive, and affective monitoring. Conclusions: Pain management in older adults may benefit from moving beyond symptom-focused approaches toward a neuropsychiatric model of care aimed at preserving homeostatic balance across sensory, emotional, and motivational domains. Within this framework, opioid therapy can be conceptualised as a potential means of functional and neuroaffective restoration, rather than solely as a strategy for risk reduction.\n\n## Full Text\n\n\n### 1. Introduction\nChronic pain in older adults is a growing public health concern, not only because of its rising prevalence but also because of its profound entanglement with affective suffering, neurobiological vulnerability, and the increasing use of opioid medications [1,2]. Conventional approaches have often separated the somatic, psychological, and pharmacological domains of pain, resulting in fragmented care pathways and unintended iatrogenic outcomes—most notably, the emergence of opioid use disorder (OUD) in older adults [3,4].\nIn recent decades, mounting evidence has challenged the reductionist view of pain as a purely nociceptive event. Instead, chronic pain is increasingly understood as an affective-cognitive phenomenon, modulated by neuroplastic, emotional and social factors [5,6]. In older adults, this complexity is further amplified by age-related changes in brain circuits, cumulative medical comorbidities, and psychosocial stressors such as isolation, functional loss, and polypharmacy [7,8].\nDespite this paradigm shift, the literature remains highly fragmented across disciplines—spanning neurology, psychiatry, pain medicine, geriatrics, and addiction science. Integrative overviews that capture the converging biological, affective, and contextual dynamics of chronic pain and opioid vulnerability in older adults are scarce. Furthermore, clinical practice often lacks a cohesive framework to guide multimodal and interdisciplinary interventions in this domain.\nTo address this gap, the present review synthesises current evidence across these interconnected domains. Rather than conducting a formal systematic review, we adopt a structured narrative approach, grounded in a concept-driven framework developed through extensive multidisciplinary literature mapping. An iterative thematic synthesis was performed, whereby recurrent neurobiological mechanisms, psychosocial determinants, and clinical trajectories were identified across disciplines and progressively clustered into higher-order conceptual domains. This method enables a panoramic yet analytically rigorous exploration of how chronic pain, ageing, affective instability, and opioid exposure interact to shape clinical trajectories and therapeutic needs in older adults.\nThrough iterative thematic synthesis of the multidisciplinary literature, convergent patterns were identified across neurobiological mechanisms, psychosocial determinants, and clinical trajectories linking chronic pain and opioid exposure in later life. These patterns were progressively clustered into four interrelated thematic domains, reflecting points of convergence rather than disciplinary boundaries: (1) Pain, Ageing and Psychosocial Vulnerability; (2) Neurobiological and Clinical Intersections; (3) Integrated Treatment Strategies; and (4) Special Populations, Coordination and Future Directions.\nTogether, these domains capture the convergence of biological vulnerability, affective dysregulation, and treatment complexity that characterises chronic pain and opioid exposure in older adults. By organising the evidence along these axes, the review offers a coherent conceptual framework that integrates mechanistic, clinical, and contextual dimensions and provides a structured basis for interpreting both preventive and interventional strategies within the context of opioid stewardship and affective pain care in late life.\n\n\n### 2. Materials and Methods\nThis study adopts a structured narrative, concept-driven review design to synthesise heterogeneous yet conceptually related literature across the domains of pain, ageing, affective vulnerability, and opioid use in older adults. Although not a systematic review in the PRISMA sense, this approach follows an explicitly defined qualitative framework, including predefined selection criteria, qualitative evidence prioritisation, and iterative thematic synthesis, thereby ensuring transparency and conceptual reproducibility. As this review follows a structured narrative, concept-driven methodology rather than a systematic review protocol, it was not registered in PROSPERO or similar databases.\nThe review was designed to explore the shared neurobiological and psychosocial mechanisms underpinning chronic pain and vulnerability to opioid use in ageing populations, with a focus on affective dysregulation, multimorbidity, and integrated treatment strategies. The overarching goal was to develop a clinically useful, multidimensional framework that links chronic pain management with opioid stewardship in later life. Rather than aiming for exhaustive coverage of all available evidence, the review focuses on identifying convergent mechanisms, recurring clinical patterns, and treatment-relevant themes across disciplines.\nThe literature included in this review was identified through a two-phase process:\nAn initial concept-driven selection of peer-reviewed articles, guidelines, and academic reports published between 2000 and 2025, covering neurobiology, geriatric pain, affective disorders, opioid use, and addiction. The timeframe starting from the year 2000 was selected to capture literature reflecting contemporary neurobiological models of pain (including neuroplasticity-based and affective–cognitive frameworks), advances in the neuroscience of ageing, and the modern era of opioid prescribing and stewardship. Earlier literature, while historically relevant, was excluded to maintain conceptual coherence with current clinical and neuroscientific paradigms.\nSources were retrieved from PubMed, the Cochrane Library, WHO, CDC, EMCDDA, and NIHR/NICE, using combinations of the following keywords: “chronic pain”, “older adults”, “opioid use”, “addiction”, “neuroaffective regulation”, “multimorbidity”, “polypharmacy”, “opioid stewardship”, “integrated care”, “affective dysregulation”, and “psychosocial vulnerability”.\nGrey literature, commercial websites, opinion pieces, and non–peer-reviewed materials were excluded.\nStudies were included if they met the following criteria:Published between 2000 and 2025.Peer-reviewed primary studies, meta-analyses, systematic reviews, clinical guidelines, or policy papers.Focused on adults aged ≥65 with chronic non-cancer pain and/or opioid exposure.Addressed at least one of the following: neurobiological mechanisms, psychosocial factors, pharmacological management, non-pharmacological interventions, or healthcare coordination.\nPublished between 2000 and 2025.\nPeer-reviewed primary studies, meta-analyses, systematic reviews, clinical guidelines, or policy papers.\nFocused on adults aged ≥65 with chronic non-cancer pain and/or opioid exposure.\nAddressed at least one of the following: neurobiological mechanisms, psychosocial factors, pharmacological management, non-pharmacological interventions, or healthcare coordination.\nStudies focusing exclusively on cancer pain or palliative opioid use were excluded [9].\nWhen systematic reviews or meta-analyses were identified, they were considered higher-level evidence and prioritised in the synthesis when methodologically robust and aligned with the objectives of the review. Primary studies were not automatically extracted from the reference lists of systematic reviews. Instead, individual studies were included only when they provided mechanistic, geriatric-specific, or clinical insights not sufficiently addressed by existing reviews, and when they met the same predefined thematic relevance and qualitative appraisal criteria.\nData selection, qualitative data extraction, and thematic synthesis were performed by the lead author through an iterative review process. Extraction focused on conceptual, neurobiological, psychosocial, and clinical features relevant to the objectives of the review, rather than on predefined quantitative variables. No dedicated systematic review software (e.g., Covidence) was used, as the extraction process was oriented toward conceptual and thematic integration rather than quantitative data abstraction.\n229 sources were mapped and thematically classified into four conceptual domains that correspond to the review’s structure:Pain, ageing, and psychosocial vulnerability.Neurobiological and clinical intersections.Integrated treatment strategies.Special populations and coordinated and future direction.\nPain, ageing, and psychosocial vulnerability.\nNeurobiological and clinical intersections.\nIntegrated treatment strategies.\nSpecial populations and coordinated and future direction.\nThematic synthesis was conducted iteratively, with selected papers coded for content relevance, methodological quality, and theoretical contribution. No statistical meta-analysis was performed because of heterogeneity in study types and outcomes. Priority was given to systematic reviews, large cohort studies, randomised controlled trials, and evidence-based guidelines.\nEvidence weighting was qualitative rather than quantitative. Systematic reviews, meta-analyses, large cohort studies, randomised controlled trials, and evidence-based clinical guidelines were assigned greater interpretative weight. Observational, descriptive, and smaller studies were included selectively when they contributed unique mechanistic insights, addressed geriatric-specific vulnerabilities, or informed integrated models of care not otherwise captured by higher-level evidence.\nWhen conflicting or heterogeneous evidence was identified, studies were not excluded or statistically pooled. Instead, discrepancies were examined in relation to study design, population characteristics, outcome definitions, and clinical or contextual factors. Greater interpretative weight was assigned to convergent findings supported by multiple high-quality sources across different disciplines, while divergent results were explicitly acknowledged and contextualised within the narrative synthesis.\nMethodological rigour and relevance were assessed qualitatively. Where applicable, multiple sources were triangulated to ensure conceptual robustness and reduce bias. Sources were classified by their predominant thematic content, although several addressed overlapping domains. In such cases, the dominant focus was used for categorisation. Section 2 and Section 3 contain the highest concentration of sources, consistent with the extensive literature on the neurobiology of pain and integrated therapeutic strategies.\nInterpretative statements that extend beyond direct empirical findings are explicitly framed as integrative interpretations grounded in the authors’ clinical and research expertise. Such interpretations were applied only after triangulation of consistent evidence across multiple sources and disciplines and are clearly distinguished from conclusions directly derived from the reviewed literature.\n\n\n### 2.1. Objective and Scope\nThe review was designed to explore the shared neurobiological and psychosocial mechanisms underpinning chronic pain and vulnerability to opioid use in ageing populations, with a focus on affective dysregulation, multimorbidity, and integrated treatment strategies. The overarching goal was to develop a clinically useful, multidimensional framework that links chronic pain management with opioid stewardship in later life. Rather than aiming for exhaustive coverage of all available evidence, the review focuses on identifying convergent mechanisms, recurring clinical patterns, and treatment-relevant themes across disciplines.\n\n\n### 2.2. Search Strategy and Data Source\nThe literature included in this review was identified through a two-phase process:\nAn initial concept-driven selection of peer-reviewed articles, guidelines, and academic reports published between 2000 and 2025, covering neurobiology, geriatric pain, affective disorders, opioid use, and addiction. The timeframe starting from the year 2000 was selected to capture literature reflecting contemporary neurobiological models of pain (including neuroplasticity-based and affective–cognitive frameworks), advances in the neuroscience of ageing, and the modern era of opioid prescribing and stewardship. Earlier literature, while historically relevant, was excluded to maintain conceptual coherence with current clinical and neuroscientific paradigms.\nSources were retrieved from PubMed, the Cochrane Library, WHO, CDC, EMCDDA, and NIHR/NICE, using combinations of the following keywords: “chronic pain”, “older adults”, “opioid use”, “addiction”, “neuroaffective regulation”, “multimorbidity”, “polypharmacy”, “opioid stewardship”, “integrated care”, “affective dysregulation”, and “psychosocial vulnerability”.\nGrey literature, commercial websites, opinion pieces, and non–peer-reviewed materials were excluded.\nStudies were included if they met the following criteria:Published between 2000 and 2025.Peer-reviewed primary studies, meta-analyses, systematic reviews, clinical guidelines, or policy papers.Focused on adults aged ≥65 with chronic non-cancer pain and/or opioid exposure.Addressed at least one of the following: neurobiological mechanisms, psychosocial factors, pharmacological management, non-pharmacological interventions, or healthcare coordination.\nPublished between 2000 and 2025.\nPeer-reviewed primary studies, meta-analyses, systematic reviews, clinical guidelines, or policy papers.\nFocused on adults aged ≥65 with chronic non-cancer pain and/or opioid exposure.\nAddressed at least one of the following: neurobiological mechanisms, psychosocial factors, pharmacological management, non-pharmacological interventions, or healthcare coordination.\nStudies focusing exclusively on cancer pain or palliative opioid use were excluded [9].\nWhen systematic reviews or meta-analyses were identified, they were considered higher-level evidence and prioritised in the synthesis when methodologically robust and aligned with the objectives of the review. Primary studies were not automatically extracted from the reference lists of systematic reviews. Instead, individual studies were included only when they provided mechanistic, geriatric-specific, or clinical insights not sufficiently addressed by existing reviews, and when they met the same predefined thematic relevance and qualitative appraisal criteria.\n\n\n### 2.3. Data Selection and Synthesis\nData selection, qualitative data extraction, and thematic synthesis were performed by the lead author through an iterative review process. Extraction focused on conceptual, neurobiological, psychosocial, and clinical features relevant to the objectives of the review, rather than on predefined quantitative variables. No dedicated systematic review software (e.g., Covidence) was used, as the extraction process was oriented toward conceptual and thematic integration rather than quantitative data abstraction.\n229 sources were mapped and thematically classified into four conceptual domains that correspond to the review’s structure:Pain, ageing, and psychosocial vulnerability.Neurobiological and clinical intersections.Integrated treatment strategies.Special populations and coordinated and future direction.\nPain, ageing, and psychosocial vulnerability.\nNeurobiological and clinical intersections.\nIntegrated treatment strategies.\nSpecial populations and coordinated and future direction.\nThematic synthesis was conducted iteratively, with selected papers coded for content relevance, methodological quality, and theoretical contribution. No statistical meta-analysis was performed because of heterogeneity in study types and outcomes. Priority was given to systematic reviews, large cohort studies, randomised controlled trials, and evidence-based guidelines.\nEvidence weighting was qualitative rather than quantitative. Systematic reviews, meta-analyses, large cohort studies, randomised controlled trials, and evidence-based clinical guidelines were assigned greater interpretative weight. Observational, descriptive, and smaller studies were included selectively when they contributed unique mechanistic insights, addressed geriatric-specific vulnerabilities, or informed integrated models of care not otherwise captured by higher-level evidence.\nWhen conflicting or heterogeneous evidence was identified, studies were not excluded or statistically pooled. Instead, discrepancies were examined in relation to study design, population characteristics, outcome definitions, and clinical or contextual factors. Greater interpretative weight was assigned to convergent findings supported by multiple high-quality sources across different disciplines, while divergent results were explicitly acknowledged and contextualised within the narrative synthesis.\nMethodological rigour and relevance were assessed qualitatively. Where applicable, multiple sources were triangulated to ensure conceptual robustness and reduce bias. Sources were classified by their predominant thematic content, although several addressed overlapping domains. In such cases, the dominant focus was used for categorisation. Section 2 and Section 3 contain the highest concentration of sources, consistent with the extensive literature on the neurobiology of pain and integrated therapeutic strategies.\nInterpretative statements that extend beyond direct empirical findings are explicitly framed as integrative interpretations grounded in the authors’ clinical and research expertise. Such interpretations were applied only after triangulation of consistent evidence across multiple sources and disciplines and are clearly distinguished from conclusions directly derived from the reviewed literature.\n\n\n### 3. Results\nPain, particularly when chronic, is increasingly conceptualised not merely as a symptom but as a disorder of neural plasticity, a maladaptive reorganisation of sensory, emotional, and cognitive circuits that may blur the boundary between nociception and affect [10,11,12,13]. Once adaptive as an alarm signal, the pain system may evolve into a self-sustaining network dysfunction, in which persistent activation of limbic and prefrontal regions—including the amygdala, anterior cingulate cortex (ACC), and nucleus accumbens (NAc)—appears to reshape how the brain encodes salience and emotion [14]. This reorganisation, often referred to as “pain-induced neuroplasticity”, has been shown to share mechanistic features with processes implicated in mood disorders and substance addiction, including altered dopaminergic tone, glutamatergic remodelling, neuroinflammation, and impaired top-down inhibitory control [15,16,17].\nFrom a neurobiological perspective, converging evidence suggests that chronic pain and affective dysregulation may represent closely related facets of altered neural plasticity. Both engage the mesocorticolimbic system—the ventral tegmental area (VTA), nucleus accumbens (NAc), medial prefrontal cortex (mPFC), and extended amygdala—and are associated with decreased reward sensitivity, anhedonia, and negative affect [18,19,20]. Sustained nociceptive input and emotional distress have been reported to promote microglial activation, pro-inflammatory cytokine release (IL-6, TNF-α), and mitochondrial dysfunction, processes that may progressively erode synaptic integrity in limbic–prefrontal networks [21,22,23]. This putative “neuroprogressive” trajectory, analogous to that described in chronic stress and affective disorders, has been hypothesised to link pain chronification to cognitive decline and the neurodegenerative cascade of ageing [24,25]. In older adults, reductions in grey-matter volume within the insula, hippocampus, and dorsolateral PFC have been observed in association with both prolonged pain exposure and depressive symptom burden, suggesting a shared vulnerability pathway [26,27,28,29].\nThe affective dimension of pain (“pain affect”) appears to become particularly central in later life, when sensory thresholds, emotional regulation, and reward processing are altered by ageing [30,31]. Declines in dopaminergic and serotonergic signalling may reduce the brain’s capacity for endogenous analgesia and mood stabilisation, thereby amplifying suffering and catastrophising. This convergence of biological ageing, frailty, and emotional dysregulation has been proposed to generate a unique clinical phenotype in which chronic pain, depression, anxiety, and opioid responsiveness intertwine [32,33,34].\nOpioid therapy appears to play an ambivalent role. Acting on μ-opioid receptors (MORs) in both nociceptive and reward circuits, opioids may transiently normalise dysregulated limbic activity and restore hedonic tone, but chronic exposure is associated with counter-adaptations, tolerance, dependence, and opioid-induced hyperalgesia [35,36,37].\nEpidemiological data suggest that between 45% and 80% of adults aged ≥65 years experience chronic or persistent pain, with prevalence estimates reaching 70–85% in institutionalised populations [38,39]. Clinical variability in pain intensity and disability appears to be better explained by psychosocial determinants than by somatic pathology alone [33,40,41]. Comorbid depression and anxiety are common [42,43,44,45,46,47] and are consistently associated with poorer functional outcomes. Social isolation has been shown to further amplify pain via the anterior cingulate and insula [48,49,50] and may induce HPA axis dysregulation and inflammatory priming [51,52,53].\nCognitive factors, such as catastrophising, have been correlated with altered activity in prefrontal and brainstem circuits [54,55], promoting avoidance and physical deconditioning. These circuits overlap with those implicated in addiction and compulsive reward-seeking [15]. Frailty, reconceptualized by some authors as a neuropsychiatric syndrome, has been linked to dopaminergic and neurotrophic deficits and chronic inflammation [15,56,57,58,59].\nFinally, multimorbidity and polypharmacy may further undermine neuroplastic homeostasis. Most elderly patients present with ≥3 chronic diseases and are frequently exposed to high-risk CNS-active drug combinations [60,61,62,63,64,65].\nThe findings summarised above converge on a neuropsychosocial model in which chronic pain in older adults is closely intertwined with affective vulnerability, age-related neurodegeneration, and pharmacological fragility. Rather than a dichotomy between “analgesia” and “dependence”, the clinical scenario reflects a continuum of dysfunctions affecting motivation, stress regulation, and cognitive control. This is supported by evidence of overlapping circuitries and neurochemical processes between chronic pain and disorders such as depression and addiction [15,16,17].\nThe co-occurrence of affective symptoms and pain-related disability suggests that analgesic response may depend as much on restoring neuroplastic balance as on nociceptive control. However, opioids—while able to temporarily normalise hedonic tone—act on the same circuitry implicated in craving and emotional dysregulation. This dual effect, already recognised in younger adults, appears to be amplified in older patients by frailty-related neurochemical imbalances and structural vulnerabilities [33,34,37].\nThe concepts of “psychoneurobiological frailty” and “neuroprogression” [24,58,59] help frame the interplay among ageing, chronic pain, and emotional suffering. Interventions for this population are therefore likely to require addressing not only pain relief but also the preservation of reward sensitivity, cognitive function, and affective regulation [66]. In this perspective, pharmacological strategies (e.g., opioid stewardship, deprescribing) should be integrated with psychosocial and behavioural interventions targeting isolation, maladaptive cognitions, and functional decline [41,54,55].\nRather than focusing exclusively on symptom suppression, this integrated paradigm conceptualises chronic pain as a dynamic output of an ageing brain under stress, reflecting impaired equilibrium across interdependent systems of emotion, cognition, and somatic regulation.\nThe convergence of chronic pain, mood disorders, and addiction appears to reflect a shared disruption of brain networks that mediate reward, motivation, and affect regulation. These conditions are not merely comorbid but have been proposed as parallel expressions of maladaptive plasticity within the same neural architecture, shaped by chronic stress, neuroinflammation, and impaired inhibitory control [67,68,69,70].\nAt the core of this convergence lies a set of interacting alterations within the mesocorticolimbic system, comprising the ventral tegmental area (VTA), nucleus accumbens (NAc), amygdala, and prefrontal cortex (PFC). In chronic pain, this system has been shown to undergo functional reorganisation: dopamine release has been reported to be blunted, NAc connectivity to the PFC appears to weaken, and the network shifts toward encoding aversive salience rather than reward [14,20,70,71]. Hypodopaminergic tone, also observed in opioid addiction and depression, has been associated with anhedonia and motivational impairment [72,73,74]. Limbic structures, including the amygdala and ACC, often exhibit hyperactivity and impaired top-down regulation, reinforcing emotional memories of suffering and avoidance behaviours [19,75,76,77]. These changes are mirrored in the PFC, particularly in ageing, where cortical atrophy and dopaminergic degeneration may further compromise inhibitory control and motivational balance [67,78,79,80,81,82,83].\nPain chronification and mood disorders share stress-related disruptions of plasticity and neuroimmune activation. Sustained nociceptive input has been shown to activate the HPA axis and to promote glial activation with pro-inflammatory cytokine release (IL-1β, IL-6, TNF-α), thereby contributing to central sensitisation and neurotoxicity [51,84,85,86]. This neuroinflammatory cascade has been shown to promote maladaptive long-term potentiation (LTP) in limbic circuits and long-term depression (LTD) in the PFC, creating a convergence of sensory and affective dysregulation. Reduced BDNF expression may limit synaptic resilience, leading to heightened cognitive and emotional vulnerability [87,88,89,90]. These alterations mirror those described in chronic opioid exposure, where μ-opioid receptor downregulation and NMDA-mediated sensitisation have been shown to remodel the same pathways [86,91].\nIn this context, chronic pain acts as a persistent stressor. The extended amygdala, bed nucleus of the stria terminalis (BNST), and HPA axis may maintain elevated corticotropin-releasing factor (CRF) and noradrenergic tone, thereby heightening vulnerability to craving and compulsive relief-seeking [15,92]. In older adults, these dynamics are further exacerbated by reduced dopaminergic reserve and diminished cognitive flexibility [37,93,94].\nAnalgesic efficacy increasingly appears to depend on affective and regulatory stability. Limbic hyperreactivity, impaired descending modulation, and negative affect have been associated with reduced responsiveness to both pharmacological and non-pharmacological treatments [14,93,95,96,97]. In older adults, these effects may be amplified by inflammatory priming and cognitive inflexibility [98,99,100].\nNeuroimaging studies have revealed shared disruptions across chronic pain, depression, and opioid use disorder, including PFC–NAc dysconnectivity, amygdala hyperactivity, and abnormal salience processing [67,101,102,103]. Chronic opioid use may transiently restore affective balance but is associated with tolerance and emotional withdrawal over time [70,104]. With ageing, structural degeneration and neuroinflammatory mechanisms may further disrupt salience attribution and regulatory circuits [105,106].\nThe opioid–endocannabinoid interface has also been proposed to play a critical modulatory role. CB1 receptors in the amygdala, periaqueductal grey (PAG), and PFC are known to modulate stress and reward processing [107,108,109]. Chronic opioid exposure has been shown to impair CB1 receptor function, thereby contributing to affective instability. Reduced endocannabinoid tone, commonly observed in ageing, may increase pain sensitivity and vulnerability to dependence [110,111,112,113].\nTaken together, chronic pain, mood disorders, and opioid use disorder may represent neuroprogressive outcomes of a shared disrupted system, sustained by chronic stress, neuroinflammation, and age-related degeneration (Figure 1). This integrated perspective helps reframe opioid vulnerability in older adults not as a moral failure but as a potential neurobiological endpoint of an overwhelmed affective regulatory system.\nClinically, these convergences highlight the close interdependence of pain and affective regulation in ageing. Pain may amplify mood symptoms, and mood symptoms may in turn exacerbate pain. The reward and salience networks represent common substrates of both processes, and in older individuals with pre-existing neurodegenerative vulnerability, these networks appear particularly susceptible to destabilisation by stress, loss, or medication. Affective dysregulation should therefore not be viewed merely as a comorbidity but has been proposed as a central determinant of the pain trajectory itself [33,44,114].\nThe co-activation of stress and reward systems may help explain the clinical progression from chronic pain to craving and maladaptive opioid use. Neuroimaging studies have demonstrated shared disruptions in salience and executive networks [67,101,102]. Older adults appear more susceptible due to orbitofrontal and insular degeneration, which may amplify compulsive tendencies and reduce interoceptive accuracy [105,106].\nImportantly, affective suffering often appears to underpin analgesic demand. When endogenous modulatory systems (dopamine, endorphins, endocannabinoids) are insufficient, opioids may fill this regulatory gap, creating patterns of use driven by emotional relief rather than by euphoria [15,115]. This learned behaviour has been described as mirroring the neurocognitive profile of late-onset addiction, characterised by prefrontal disinhibition and limbic sensitization [116,117,118,119].\nClinical classification should therefore distinguish physical dependence from pseudoaddiction and from full opioid use disorder (OUD). While physical dependence represents an expected pharmacological outcome [36,91], pseudoaddiction has been conceptualised as reflecting unmet therapeutic needs [120,121], and established OUD is associated with structural reorganisation of reward and control networks [104,122].\nUltimately, opioid stewardship in older adults requires recognition of emotional drivers—such as fear, loneliness, and unresolved grief—as integral components of the clinical picture. Affective stability, rather than analgesia alone, may represent a more appropriate therapeutic target. When mood, cognition, and interpersonal context are incorporated into the therapeutic framework, opioid therapy can be reframed not merely as a pharmacological intervention but as a potential means of restoring neuropsychological homeostasis [123,124].\nThe management of chronic pain in older adults increasingly appears to require a paradigm that integrates analgesic efficacy, emotional stabilisation, and neurobiological safety. Pharmacotherapy may therefore be most effective when conceptualised within a triadic framework—pain control, mood regulation, and dependence prevention—grounded in the recognition that these three dimensions share overlapping neural substrates.\nEffective treatment typically begins with a comprehensive assessment that integrates somatic, affective, cognitive, and social dimensions (Table 1) [34,125,126]. Pain intensity alone provides limited prognostic information; accumulating evidence suggests that functional and emotional burden—such as interference with sleep, mood, and daily activities—more reliably predicts clinical outcomes [33,127]. Clinicians are therefore encouraged to routinely screen for depression, anxiety, sleep disorders, and cognitive impairment, as these comorbidities have been shown to influence pain perception and may modify pharmacodynamic responses through neuroinflammatory and monoaminergic pathways [68,128]. In older patients, loss of dopaminergic tone, increased oxidative stress, and reduced BDNF expression may lower thresholds for both analgesic failure and neurotoxic side effects.\nPharmacological therapy is generally recommended to follow a multimodal, stepwise approach, combining agents that target distinct mechanisms—nociceptive, neuropathic, and affective—while aiming to minimise opioid exposure and preserve cognitive integrity (Table 2) [38,126,130]. Behavioural and psychotherapeutic interventions (CBT, ACT, mindfulness) are increasingly recognised as beneficial when embedded early, reinforcing adaptive neural plasticity and emotional regulation [115,132,133,134,135,136].\nPharmacological management in older adults with chronic pain should be framed as a stepwise, multimodal strategy that balances analgesic efficacy with neuropsychiatric safety and functional preservation (Table 2) [38,126,130]. Rather than relying on pain intensity alone, treatment selection is guided by pain phenotype (nociceptive, inflammatory, neuropathic or mixed), comorbid affective and cognitive vulnerability, renal and hepatic reserve, and fall risk (Table 1) [34,125,126]. Current evidence supports the preferential use of non-opioid agents when possible, with careful titration and monitoring to minimise sedation, delirium, and cumulative neurotoxic burden in frail patients [34,38,61]. When opioid therapy is considered, it should be implemented within an opioid stewardship framework, characterised by low initial dosing, slow titration, frequent reassessment, and systematic monitoring of affective, cognitive, and functional trajectories rather than numerical pain scores alone [126,130,131]. Across pharmacological classes, particular attention is required for drug–drug interactions, polypharmacy, and cumulative sedative load, especially in the presence of multimorbidity and neurodegenerative vulnerability. In higher-risk clinical scenarios, international guidelines emphasise individualisation of therapy, integration with psychosocial and behavioural interventions, and regular deprescribing reviews to maintain neurobiological and functional homeostasis in later life [34,61,126,130,131].\nChronic pain in ageing rarely occurs in isolation from emotional, cognitive, and neurobiological decline. An integrated pharmacological management approach therefore appears to require alignment between neurobiological safety and functional and affective recovery. This perspective relies on understanding pain not solely as a sensory phenomenon but as a complex disturbance of brain homeostasis.\nThe emphasis on early affective screening reflects increasing awareness that neuropsychiatric fragility may modulate both pain perception and drug-related neurotoxic thresholds. Pharmacological choices are therefore best tailored not only to pain phenotype but also to emotional resilience, cognitive integrity, and pre-existing neuroinflammatory burden. Non-opioid therapies have been shown to modulate both nociceptive and limbic circuits and may delay or reduce the need for opioid escalation. The inclusion of agents such as SNRIs or gabapentinoids extends the therapeutic scope into the mood–pain interface.\nWhen opioids are required, stewardship should extend beyond dosage control to include monitoring of affective and motivational trajectories. Agents such as buprenorphine and tapentadol are not pharmacologically neutral choices and have been proposed to confer neurobiological advantages that may be particularly relevant in aged, stress-sensitised brains. An affective–motivational stewardship approach frames opioid use within a neuropsychiatric model that prioritises preservation of cortical–limbic equilibrium. Clinical decisions are therefore increasingly informed by affective reactivity, reward sensitivity, and self-regulatory capacity—assessed through a combination of patient-reported outcomes and caregiver-informed measures (e.g., mood scales such as the Geriatric Depression Scale or PHQ-9, executive and cognitive screening tools such as the MoCA, and functional or behavioural monitoring including ADL/IADL changes)—rather than by pain intensity scores alone.\nUltimately, opioid prescribing may be conceptualised as an act of neuroaffective care, involving a dynamic balance between analgesia, emotional regulation, cognitive preservation, and neuroinflammatory restraint. This framework acknowledges the vulnerability of the ageing brain and reframes analgesic strategy as a component of integrated psychiatric–neurosomatic rehabilitation.\nChronic pain and OUD have been increasingly described as intertwined conditions that share not only clinical overlap but also overlapping neurobiological substrates. Both appear to arise from maladaptive remodelling of reward–stress–pain circuitry, in which the mesolimbic dopamine system, the hypothalamic–pituitary–adrenal (HPA) axis, and the limbic forebrain operate under conditions of chronic allostatic load [15,137,149]. In ageing, this shared substrate may be further compromised by dopaminergic depletion, frontostriatal disconnection, and neuroinflammatory amplification, leaving older adults with prior opioid exposure particularly vulnerable.\nFor these patients, pain management cannot be adequately conceptualised as a dichotomy between “analgesia” and “addiction treatment”; instead, it has been proposed to follow an integrated neuropsychiatric logic, in which modulation of nociceptive, affective, and reward-related circuits occurs in parallel.\nIn patients receiving medications for opioid use disorder (MOUD), such as buprenorphine or methadone, analgesic regimens are generally recommended to build upon the existing opioid-maintenance substrate [150,151]. Abrupt discontinuation has been shown to destabilise reward homeostasis and pain modulation, thereby increasing relapse risk and pain sensitivity through mechanisms involving NMDA receptor upregulation and glial priming [37,152]. Divided dosing schedules or carefully monitored supplementation have been reported to optimise pain control without compromising MOUD efficacy [153,154,155].\nA key concept in this context is the so-called “opioid debt”, referring to the mismatch between opioid receptor occupancy sufficient for withdrawal suppression and that required for effective analgesia. When this physiological gap is not addressed, patients may remain vulnerable to hyperalgesia and stress-induced craving [156,157]. Targeted correction, through scheduled dosing within a multimodal treatment plan, has been proposed as necessary to restore neurobiological stability [158,159].\nAdjuvant agents such as SNRIs and gabapentinoids, together with non-pharmacological interventions, are considered important components of comprehensive care, whereas benzodiazepines and sedative agents are generally discouraged because of increased toxicity and overdose risk in older adults [130,131,141,160].\nBuprenorphine has been shown to function as both an analgesic and an OUD treatment through partial μ-opioid agonism and κ-opioid receptor antagonism, potentially balancing nociceptive relief with affective stability [81,161,162]. It has been associated with modulation of amygdala–prefrontal circuits and reduced cue reactivity, suggesting potential utility in older adults in whom affective dysregulation coexists with chronic pain [163,164].\nMethadone, through full μ-opioid agonism, NMDA receptor antagonism, and monoamine reuptake inhibition, engages peripheral, spinal, and supraspinal analgesic mechanisms. It has also been associated with stabilisation of affective tone and reduction in salience misattribution and has been proposed to exert antipsychotic-like effects in structured treatment settings [104,165,166]. Levomethadone, with reduced NMDA activity and lower cardiotoxic potential, may offer more targeted modulation of the opioid–glutamate–κ-opioid receptor axis, which could be particularly relevant in older adults with neurodegenerative vulnerability [167,168].\nFinally, optimal outcomes appear to require coordinated care across pain medicine, psychiatry, and addiction services. Such triangular coordination has been shown to reduce iatrogenic instability and to support therapeutic continuity through integrated planning and shared clinical responsibility [169,170].\nOlder adults with chronic pain and a history of OUD often present with compounded neurobiological vulnerability. In this population, pain management may be more appropriately understood not merely as analgesic delivery but as a form of neuropsychiatric regulation. Strategies such as divided dosing of MOUD agents have been proposed to address neurochemical instability associated with inadequate analgesia, thereby potentially reducing stress-induced dysregulation and supporting functional opioid tone.\nThe concept of “opioid debt” reframes inadequate pain control as a physiological imbalance rather than a therapeutic failure. Failure to address this imbalance in MOUD-treated patients has been associated with heightened sympathetic activation and increased relapse risk [171]. Clinical correction through scheduled dosing and adjunctive therapies may help prevent both undertreatment of pain and escalation toward full μ-opioid agonists.\nBuprenorphine has been described as a prototypical agent of “neuroaffective stewardship,” acting on pain, mood, and motivational circuits. Its suitability for older adults has been attributed to its balanced receptor activity and relatively limited impact on cognitive and endocrine functioning.\nMethadone and levomethadone may offer distinct advantages for patients with dual disorder. Their capacity to modulate both nociceptive and affective pathways supports their use within structured, interdisciplinary treatment programmes. The additional mood-stabilising and antipsychotic-like properties of methadone have been highlighted as potentially relevant in complex affective states [172].\nTo move beyond fragmented care, integrated models have been increasingly advocated to coordinate analgesic modulation, affective regulation, and addiction containment. In the absence of such triangulated approaches, iatrogenic instability and neuroprogressive drift may occur. Therapeutic success is therefore increasingly framed not only in terms of pain reduction or substance use control, but also as the restoration of homeostatic balance across interdependent neural systems.\n\n\n### 3.1. Pain, Ageing and Psychosocial Vulnerability\nPain, particularly when chronic, is increasingly conceptualised not merely as a symptom but as a disorder of neural plasticity, a maladaptive reorganisation of sensory, emotional, and cognitive circuits that may blur the boundary between nociception and affect [10,11,12,13]. Once adaptive as an alarm signal, the pain system may evolve into a self-sustaining network dysfunction, in which persistent activation of limbic and prefrontal regions—including the amygdala, anterior cingulate cortex (ACC), and nucleus accumbens (NAc)—appears to reshape how the brain encodes salience and emotion [14]. This reorganisation, often referred to as “pain-induced neuroplasticity”, has been shown to share mechanistic features with processes implicated in mood disorders and substance addiction, including altered dopaminergic tone, glutamatergic remodelling, neuroinflammation, and impaired top-down inhibitory control [15,16,17].\nFrom a neurobiological perspective, converging evidence suggests that chronic pain and affective dysregulation may represent closely related facets of altered neural plasticity. Both engage the mesocorticolimbic system—the ventral tegmental area (VTA), nucleus accumbens (NAc), medial prefrontal cortex (mPFC), and extended amygdala—and are associated with decreased reward sensitivity, anhedonia, and negative affect [18,19,20]. Sustained nociceptive input and emotional distress have been reported to promote microglial activation, pro-inflammatory cytokine release (IL-6, TNF-α), and mitochondrial dysfunction, processes that may progressively erode synaptic integrity in limbic–prefrontal networks [21,22,23]. This putative “neuroprogressive” trajectory, analogous to that described in chronic stress and affective disorders, has been hypothesised to link pain chronification to cognitive decline and the neurodegenerative cascade of ageing [24,25]. In older adults, reductions in grey-matter volume within the insula, hippocampus, and dorsolateral PFC have been observed in association with both prolonged pain exposure and depressive symptom burden, suggesting a shared vulnerability pathway [26,27,28,29].\nThe affective dimension of pain (“pain affect”) appears to become particularly central in later life, when sensory thresholds, emotional regulation, and reward processing are altered by ageing [30,31]. Declines in dopaminergic and serotonergic signalling may reduce the brain’s capacity for endogenous analgesia and mood stabilisation, thereby amplifying suffering and catastrophising. This convergence of biological ageing, frailty, and emotional dysregulation has been proposed to generate a unique clinical phenotype in which chronic pain, depression, anxiety, and opioid responsiveness intertwine [32,33,34].\nOpioid therapy appears to play an ambivalent role. Acting on μ-opioid receptors (MORs) in both nociceptive and reward circuits, opioids may transiently normalise dysregulated limbic activity and restore hedonic tone, but chronic exposure is associated with counter-adaptations, tolerance, dependence, and opioid-induced hyperalgesia [35,36,37].\nEpidemiological data suggest that between 45% and 80% of adults aged ≥65 years experience chronic or persistent pain, with prevalence estimates reaching 70–85% in institutionalised populations [38,39]. Clinical variability in pain intensity and disability appears to be better explained by psychosocial determinants than by somatic pathology alone [33,40,41]. Comorbid depression and anxiety are common [42,43,44,45,46,47] and are consistently associated with poorer functional outcomes. Social isolation has been shown to further amplify pain via the anterior cingulate and insula [48,49,50] and may induce HPA axis dysregulation and inflammatory priming [51,52,53].\nCognitive factors, such as catastrophising, have been correlated with altered activity in prefrontal and brainstem circuits [54,55], promoting avoidance and physical deconditioning. These circuits overlap with those implicated in addiction and compulsive reward-seeking [15]. Frailty, reconceptualized by some authors as a neuropsychiatric syndrome, has been linked to dopaminergic and neurotrophic deficits and chronic inflammation [15,56,57,58,59].\nFinally, multimorbidity and polypharmacy may further undermine neuroplastic homeostasis. Most elderly patients present with ≥3 chronic diseases and are frequently exposed to high-risk CNS-active drug combinations [60,61,62,63,64,65].\nThe findings summarised above converge on a neuropsychosocial model in which chronic pain in older adults is closely intertwined with affective vulnerability, age-related neurodegeneration, and pharmacological fragility. Rather than a dichotomy between “analgesia” and “dependence”, the clinical scenario reflects a continuum of dysfunctions affecting motivation, stress regulation, and cognitive control. This is supported by evidence of overlapping circuitries and neurochemical processes between chronic pain and disorders such as depression and addiction [15,16,17].\nThe co-occurrence of affective symptoms and pain-related disability suggests that analgesic response may depend as much on restoring neuroplastic balance as on nociceptive control. However, opioids—while able to temporarily normalise hedonic tone—act on the same circuitry implicated in craving and emotional dysregulation. This dual effect, already recognised in younger adults, appears to be amplified in older patients by frailty-related neurochemical imbalances and structural vulnerabilities [33,34,37].\nThe concepts of “psychoneurobiological frailty” and “neuroprogression” [24,58,59] help frame the interplay among ageing, chronic pain, and emotional suffering. Interventions for this population are therefore likely to require addressing not only pain relief but also the preservation of reward sensitivity, cognitive function, and affective regulation [66]. In this perspective, pharmacological strategies (e.g., opioid stewardship, deprescribing) should be integrated with psychosocial and behavioural interventions targeting isolation, maladaptive cognitions, and functional decline [41,54,55].\nRather than focusing exclusively on symptom suppression, this integrated paradigm conceptualises chronic pain as a dynamic output of an ageing brain under stress, reflecting impaired equilibrium across interdependent systems of emotion, cognition, and somatic regulation.\n\n\n### 3.1.1. Synthesis of Findings from the Literature\nPain, particularly when chronic, is increasingly conceptualised not merely as a symptom but as a disorder of neural plasticity, a maladaptive reorganisation of sensory, emotional, and cognitive circuits that may blur the boundary between nociception and affect [10,11,12,13]. Once adaptive as an alarm signal, the pain system may evolve into a self-sustaining network dysfunction, in which persistent activation of limbic and prefrontal regions—including the amygdala, anterior cingulate cortex (ACC), and nucleus accumbens (NAc)—appears to reshape how the brain encodes salience and emotion [14]. This reorganisation, often referred to as “pain-induced neuroplasticity”, has been shown to share mechanistic features with processes implicated in mood disorders and substance addiction, including altered dopaminergic tone, glutamatergic remodelling, neuroinflammation, and impaired top-down inhibitory control [15,16,17].\nFrom a neurobiological perspective, converging evidence suggests that chronic pain and affective dysregulation may represent closely related facets of altered neural plasticity. Both engage the mesocorticolimbic system—the ventral tegmental area (VTA), nucleus accumbens (NAc), medial prefrontal cortex (mPFC), and extended amygdala—and are associated with decreased reward sensitivity, anhedonia, and negative affect [18,19,20]. Sustained nociceptive input and emotional distress have been reported to promote microglial activation, pro-inflammatory cytokine release (IL-6, TNF-α), and mitochondrial dysfunction, processes that may progressively erode synaptic integrity in limbic–prefrontal networks [21,22,23]. This putative “neuroprogressive” trajectory, analogous to that described in chronic stress and affective disorders, has been hypothesised to link pain chronification to cognitive decline and the neurodegenerative cascade of ageing [24,25]. In older adults, reductions in grey-matter volume within the insula, hippocampus, and dorsolateral PFC have been observed in association with both prolonged pain exposure and depressive symptom burden, suggesting a shared vulnerability pathway [26,27,28,29].\nThe affective dimension of pain (“pain affect”) appears to become particularly central in later life, when sensory thresholds, emotional regulation, and reward processing are altered by ageing [30,31]. Declines in dopaminergic and serotonergic signalling may reduce the brain’s capacity for endogenous analgesia and mood stabilisation, thereby amplifying suffering and catastrophising. This convergence of biological ageing, frailty, and emotional dysregulation has been proposed to generate a unique clinical phenotype in which chronic pain, depression, anxiety, and opioid responsiveness intertwine [32,33,34].\nOpioid therapy appears to play an ambivalent role. Acting on μ-opioid receptors (MORs) in both nociceptive and reward circuits, opioids may transiently normalise dysregulated limbic activity and restore hedonic tone, but chronic exposure is associated with counter-adaptations, tolerance, dependence, and opioid-induced hyperalgesia [35,36,37].\nEpidemiological data suggest that between 45% and 80% of adults aged ≥65 years experience chronic or persistent pain, with prevalence estimates reaching 70–85% in institutionalised populations [38,39]. Clinical variability in pain intensity and disability appears to be better explained by psychosocial determinants than by somatic pathology alone [33,40,41]. Comorbid depression and anxiety are common [42,43,44,45,46,47] and are consistently associated with poorer functional outcomes. Social isolation has been shown to further amplify pain via the anterior cingulate and insula [48,49,50] and may induce HPA axis dysregulation and inflammatory priming [51,52,53].\nCognitive factors, such as catastrophising, have been correlated with altered activity in prefrontal and brainstem circuits [54,55], promoting avoidance and physical deconditioning. These circuits overlap with those implicated in addiction and compulsive reward-seeking [15]. Frailty, reconceptualized by some authors as a neuropsychiatric syndrome, has been linked to dopaminergic and neurotrophic deficits and chronic inflammation [15,56,57,58,59].\nFinally, multimorbidity and polypharmacy may further undermine neuroplastic homeostasis. Most elderly patients present with ≥3 chronic diseases and are frequently exposed to high-risk CNS-active drug combinations [60,61,62,63,64,65].\n\n\n### 3.1.2. Clinical and Conceptual Interpretation\nThe findings summarised above converge on a neuropsychosocial model in which chronic pain in older adults is closely intertwined with affective vulnerability, age-related neurodegeneration, and pharmacological fragility. Rather than a dichotomy between “analgesia” and “dependence”, the clinical scenario reflects a continuum of dysfunctions affecting motivation, stress regulation, and cognitive control. This is supported by evidence of overlapping circuitries and neurochemical processes between chronic pain and disorders such as depression and addiction [15,16,17].\nThe co-occurrence of affective symptoms and pain-related disability suggests that analgesic response may depend as much on restoring neuroplastic balance as on nociceptive control. However, opioids—while able to temporarily normalise hedonic tone—act on the same circuitry implicated in craving and emotional dysregulation. This dual effect, already recognised in younger adults, appears to be amplified in older patients by frailty-related neurochemical imbalances and structural vulnerabilities [33,34,37].\nThe concepts of “psychoneurobiological frailty” and “neuroprogression” [24,58,59] help frame the interplay among ageing, chronic pain, and emotional suffering. Interventions for this population are therefore likely to require addressing not only pain relief but also the preservation of reward sensitivity, cognitive function, and affective regulation [66]. In this perspective, pharmacological strategies (e.g., opioid stewardship, deprescribing) should be integrated with psychosocial and behavioural interventions targeting isolation, maladaptive cognitions, and functional decline [41,54,55].\nRather than focusing exclusively on symptom suppression, this integrated paradigm conceptualises chronic pain as a dynamic output of an ageing brain under stress, reflecting impaired equilibrium across interdependent systems of emotion, cognition, and somatic regulation.\n\n\n### 3.2. Neurobiological and Clinical Intersection\nThe convergence of chronic pain, mood disorders, and addiction appears to reflect a shared disruption of brain networks that mediate reward, motivation, and affect regulation. These conditions are not merely comorbid but have been proposed as parallel expressions of maladaptive plasticity within the same neural architecture, shaped by chronic stress, neuroinflammation, and impaired inhibitory control [67,68,69,70].\nAt the core of this convergence lies a set of interacting alterations within the mesocorticolimbic system, comprising the ventral tegmental area (VTA), nucleus accumbens (NAc), amygdala, and prefrontal cortex (PFC). In chronic pain, this system has been shown to undergo functional reorganisation: dopamine release has been reported to be blunted, NAc connectivity to the PFC appears to weaken, and the network shifts toward encoding aversive salience rather than reward [14,20,70,71]. Hypodopaminergic tone, also observed in opioid addiction and depression, has been associated with anhedonia and motivational impairment [72,73,74]. Limbic structures, including the amygdala and ACC, often exhibit hyperactivity and impaired top-down regulation, reinforcing emotional memories of suffering and avoidance behaviours [19,75,76,77]. These changes are mirrored in the PFC, particularly in ageing, where cortical atrophy and dopaminergic degeneration may further compromise inhibitory control and motivational balance [67,78,79,80,81,82,83].\nPain chronification and mood disorders share stress-related disruptions of plasticity and neuroimmune activation. Sustained nociceptive input has been shown to activate the HPA axis and to promote glial activation with pro-inflammatory cytokine release (IL-1β, IL-6, TNF-α), thereby contributing to central sensitisation and neurotoxicity [51,84,85,86]. This neuroinflammatory cascade has been shown to promote maladaptive long-term potentiation (LTP) in limbic circuits and long-term depression (LTD) in the PFC, creating a convergence of sensory and affective dysregulation. Reduced BDNF expression may limit synaptic resilience, leading to heightened cognitive and emotional vulnerability [87,88,89,90]. These alterations mirror those described in chronic opioid exposure, where μ-opioid receptor downregulation and NMDA-mediated sensitisation have been shown to remodel the same pathways [86,91].\nIn this context, chronic pain acts as a persistent stressor. The extended amygdala, bed nucleus of the stria terminalis (BNST), and HPA axis may maintain elevated corticotropin-releasing factor (CRF) and noradrenergic tone, thereby heightening vulnerability to craving and compulsive relief-seeking [15,92]. In older adults, these dynamics are further exacerbated by reduced dopaminergic reserve and diminished cognitive flexibility [37,93,94].\nAnalgesic efficacy increasingly appears to depend on affective and regulatory stability. Limbic hyperreactivity, impaired descending modulation, and negative affect have been associated with reduced responsiveness to both pharmacological and non-pharmacological treatments [14,93,95,96,97]. In older adults, these effects may be amplified by inflammatory priming and cognitive inflexibility [98,99,100].\nNeuroimaging studies have revealed shared disruptions across chronic pain, depression, and opioid use disorder, including PFC–NAc dysconnectivity, amygdala hyperactivity, and abnormal salience processing [67,101,102,103]. Chronic opioid use may transiently restore affective balance but is associated with tolerance and emotional withdrawal over time [70,104]. With ageing, structural degeneration and neuroinflammatory mechanisms may further disrupt salience attribution and regulatory circuits [105,106].\nThe opioid–endocannabinoid interface has also been proposed to play a critical modulatory role. CB1 receptors in the amygdala, periaqueductal grey (PAG), and PFC are known to modulate stress and reward processing [107,108,109]. Chronic opioid exposure has been shown to impair CB1 receptor function, thereby contributing to affective instability. Reduced endocannabinoid tone, commonly observed in ageing, may increase pain sensitivity and vulnerability to dependence [110,111,112,113].\nTaken together, chronic pain, mood disorders, and opioid use disorder may represent neuroprogressive outcomes of a shared disrupted system, sustained by chronic stress, neuroinflammation, and age-related degeneration (Figure 1). This integrated perspective helps reframe opioid vulnerability in older adults not as a moral failure but as a potential neurobiological endpoint of an overwhelmed affective regulatory system.\nClinically, these convergences highlight the close interdependence of pain and affective regulation in ageing. Pain may amplify mood symptoms, and mood symptoms may in turn exacerbate pain. The reward and salience networks represent common substrates of both processes, and in older individuals with pre-existing neurodegenerative vulnerability, these networks appear particularly susceptible to destabilisation by stress, loss, or medication. Affective dysregulation should therefore not be viewed merely as a comorbidity but has been proposed as a central determinant of the pain trajectory itself [33,44,114].\nThe co-activation of stress and reward systems may help explain the clinical progression from chronic pain to craving and maladaptive opioid use. Neuroimaging studies have demonstrated shared disruptions in salience and executive networks [67,101,102]. Older adults appear more susceptible due to orbitofrontal and insular degeneration, which may amplify compulsive tendencies and reduce interoceptive accuracy [105,106].\nImportantly, affective suffering often appears to underpin analgesic demand. When endogenous modulatory systems (dopamine, endorphins, endocannabinoids) are insufficient, opioids may fill this regulatory gap, creating patterns of use driven by emotional relief rather than by euphoria [15,115]. This learned behaviour has been described as mirroring the neurocognitive profile of late-onset addiction, characterised by prefrontal disinhibition and limbic sensitization [116,117,118,119].\nClinical classification should therefore distinguish physical dependence from pseudoaddiction and from full opioid use disorder (OUD). While physical dependence represents an expected pharmacological outcome [36,91], pseudoaddiction has been conceptualised as reflecting unmet therapeutic needs [120,121], and established OUD is associated with structural reorganisation of reward and control networks [104,122].\nUltimately, opioid stewardship in older adults requires recognition of emotional drivers—such as fear, loneliness, and unresolved grief—as integral components of the clinical picture. Affective stability, rather than analgesia alone, may represent a more appropriate therapeutic target. When mood, cognition, and interpersonal context are incorporated into the therapeutic framework, opioid therapy can be reframed not merely as a pharmacological intervention but as a potential means of restoring neuropsychological homeostasis [123,124].\n\n\n### 3.2.1. Synthesis of Findings from the Literature\nThe convergence of chronic pain, mood disorders, and addiction appears to reflect a shared disruption of brain networks that mediate reward, motivation, and affect regulation. These conditions are not merely comorbid but have been proposed as parallel expressions of maladaptive plasticity within the same neural architecture, shaped by chronic stress, neuroinflammation, and impaired inhibitory control [67,68,69,70].\nAt the core of this convergence lies a set of interacting alterations within the mesocorticolimbic system, comprising the ventral tegmental area (VTA), nucleus accumbens (NAc), amygdala, and prefrontal cortex (PFC). In chronic pain, this system has been shown to undergo functional reorganisation: dopamine release has been reported to be blunted, NAc connectivity to the PFC appears to weaken, and the network shifts toward encoding aversive salience rather than reward [14,20,70,71]. Hypodopaminergic tone, also observed in opioid addiction and depression, has been associated with anhedonia and motivational impairment [72,73,74]. Limbic structures, including the amygdala and ACC, often exhibit hyperactivity and impaired top-down regulation, reinforcing emotional memories of suffering and avoidance behaviours [19,75,76,77]. These changes are mirrored in the PFC, particularly in ageing, where cortical atrophy and dopaminergic degeneration may further compromise inhibitory control and motivational balance [67,78,79,80,81,82,83].\nPain chronification and mood disorders share stress-related disruptions of plasticity and neuroimmune activation. Sustained nociceptive input has been shown to activate the HPA axis and to promote glial activation with pro-inflammatory cytokine release (IL-1β, IL-6, TNF-α), thereby contributing to central sensitisation and neurotoxicity [51,84,85,86]. This neuroinflammatory cascade has been shown to promote maladaptive long-term potentiation (LTP) in limbic circuits and long-term depression (LTD) in the PFC, creating a convergence of sensory and affective dysregulation. Reduced BDNF expression may limit synaptic resilience, leading to heightened cognitive and emotional vulnerability [87,88,89,90]. These alterations mirror those described in chronic opioid exposure, where μ-opioid receptor downregulation and NMDA-mediated sensitisation have been shown to remodel the same pathways [86,91].\nIn this context, chronic pain acts as a persistent stressor. The extended amygdala, bed nucleus of the stria terminalis (BNST), and HPA axis may maintain elevated corticotropin-releasing factor (CRF) and noradrenergic tone, thereby heightening vulnerability to craving and compulsive relief-seeking [15,92]. In older adults, these dynamics are further exacerbated by reduced dopaminergic reserve and diminished cognitive flexibility [37,93,94].\nAnalgesic efficacy increasingly appears to depend on affective and regulatory stability. Limbic hyperreactivity, impaired descending modulation, and negative affect have been associated with reduced responsiveness to both pharmacological and non-pharmacological treatments [14,93,95,96,97]. In older adults, these effects may be amplified by inflammatory priming and cognitive inflexibility [98,99,100].\nNeuroimaging studies have revealed shared disruptions across chronic pain, depression, and opioid use disorder, including PFC–NAc dysconnectivity, amygdala hyperactivity, and abnormal salience processing [67,101,102,103]. Chronic opioid use may transiently restore affective balance but is associated with tolerance and emotional withdrawal over time [70,104]. With ageing, structural degeneration and neuroinflammatory mechanisms may further disrupt salience attribution and regulatory circuits [105,106].\nThe opioid–endocannabinoid interface has also been proposed to play a critical modulatory role. CB1 receptors in the amygdala, periaqueductal grey (PAG), and PFC are known to modulate stress and reward processing [107,108,109]. Chronic opioid exposure has been shown to impair CB1 receptor function, thereby contributing to affective instability. Reduced endocannabinoid tone, commonly observed in ageing, may increase pain sensitivity and vulnerability to dependence [110,111,112,113].\nTaken together, chronic pain, mood disorders, and opioid use disorder may represent neuroprogressive outcomes of a shared disrupted system, sustained by chronic stress, neuroinflammation, and age-related degeneration (Figure 1). This integrated perspective helps reframe opioid vulnerability in older adults not as a moral failure but as a potential neurobiological endpoint of an overwhelmed affective regulatory system.\n\n\n### 3.2.2. Clinical and Conceptual Interpretation\nClinically, these convergences highlight the close interdependence of pain and affective regulation in ageing. Pain may amplify mood symptoms, and mood symptoms may in turn exacerbate pain. The reward and salience networks represent common substrates of both processes, and in older individuals with pre-existing neurodegenerative vulnerability, these networks appear particularly susceptible to destabilisation by stress, loss, or medication. Affective dysregulation should therefore not be viewed merely as a comorbidity but has been proposed as a central determinant of the pain trajectory itself [33,44,114].\nThe co-activation of stress and reward systems may help explain the clinical progression from chronic pain to craving and maladaptive opioid use. Neuroimaging studies have demonstrated shared disruptions in salience and executive networks [67,101,102]. Older adults appear more susceptible due to orbitofrontal and insular degeneration, which may amplify compulsive tendencies and reduce interoceptive accuracy [105,106].\nImportantly, affective suffering often appears to underpin analgesic demand. When endogenous modulatory systems (dopamine, endorphins, endocannabinoids) are insufficient, opioids may fill this regulatory gap, creating patterns of use driven by emotional relief rather than by euphoria [15,115]. This learned behaviour has been described as mirroring the neurocognitive profile of late-onset addiction, characterised by prefrontal disinhibition and limbic sensitization [116,117,118,119].\nClinical classification should therefore distinguish physical dependence from pseudoaddiction and from full opioid use disorder (OUD). While physical dependence represents an expected pharmacological outcome [36,91], pseudoaddiction has been conceptualised as reflecting unmet therapeutic needs [120,121], and established OUD is associated with structural reorganisation of reward and control networks [104,122].\nUltimately, opioid stewardship in older adults requires recognition of emotional drivers—such as fear, loneliness, and unresolved grief—as integral components of the clinical picture. Affective stability, rather than analgesia alone, may represent a more appropriate therapeutic target. When mood, cognition, and interpersonal context are incorporated into the therapeutic framework, opioid therapy can be reframed not merely as a pharmacological intervention but as a potential means of restoring neuropsychological homeostasis [123,124].\n\n\n### 3.3. Integrated Treatment Strategies\nThe management of chronic pain in older adults increasingly appears to require a paradigm that integrates analgesic efficacy, emotional stabilisation, and neurobiological safety. Pharmacotherapy may therefore be most effective when conceptualised within a triadic framework—pain control, mood regulation, and dependence prevention—grounded in the recognition that these three dimensions share overlapping neural substrates.\nEffective treatment typically begins with a comprehensive assessment that integrates somatic, affective, cognitive, and social dimensions (Table 1) [34,125,126]. Pain intensity alone provides limited prognostic information; accumulating evidence suggests that functional and emotional burden—such as interference with sleep, mood, and daily activities—more reliably predicts clinical outcomes [33,127]. Clinicians are therefore encouraged to routinely screen for depression, anxiety, sleep disorders, and cognitive impairment, as these comorbidities have been shown to influence pain perception and may modify pharmacodynamic responses through neuroinflammatory and monoaminergic pathways [68,128]. In older patients, loss of dopaminergic tone, increased oxidative stress, and reduced BDNF expression may lower thresholds for both analgesic failure and neurotoxic side effects.\nPharmacological therapy is generally recommended to follow a multimodal, stepwise approach, combining agents that target distinct mechanisms—nociceptive, neuropathic, and affective—while aiming to minimise opioid exposure and preserve cognitive integrity (Table 2) [38,126,130]. Behavioural and psychotherapeutic interventions (CBT, ACT, mindfulness) are increasingly recognised as beneficial when embedded early, reinforcing adaptive neural plasticity and emotional regulation [115,132,133,134,135,136].\nPharmacological management in older adults with chronic pain should be framed as a stepwise, multimodal strategy that balances analgesic efficacy with neuropsychiatric safety and functional preservation (Table 2) [38,126,130]. Rather than relying on pain intensity alone, treatment selection is guided by pain phenotype (nociceptive, inflammatory, neuropathic or mixed), comorbid affective and cognitive vulnerability, renal and hepatic reserve, and fall risk (Table 1) [34,125,126]. Current evidence supports the preferential use of non-opioid agents when possible, with careful titration and monitoring to minimise sedation, delirium, and cumulative neurotoxic burden in frail patients [34,38,61]. When opioid therapy is considered, it should be implemented within an opioid stewardship framework, characterised by low initial dosing, slow titration, frequent reassessment, and systematic monitoring of affective, cognitive, and functional trajectories rather than numerical pain scores alone [126,130,131]. Across pharmacological classes, particular attention is required for drug–drug interactions, polypharmacy, and cumulative sedative load, especially in the presence of multimorbidity and neurodegenerative vulnerability. In higher-risk clinical scenarios, international guidelines emphasise individualisation of therapy, integration with psychosocial and behavioural interventions, and regular deprescribing reviews to maintain neurobiological and functional homeostasis in later life [34,61,126,130,131].\nChronic pain in ageing rarely occurs in isolation from emotional, cognitive, and neurobiological decline. An integrated pharmacological management approach therefore appears to require alignment between neurobiological safety and functional and affective recovery. This perspective relies on understanding pain not solely as a sensory phenomenon but as a complex disturbance of brain homeostasis.\nThe emphasis on early affective screening reflects increasing awareness that neuropsychiatric fragility may modulate both pain perception and drug-related neurotoxic thresholds. Pharmacological choices are therefore best tailored not only to pain phenotype but also to emotional resilience, cognitive integrity, and pre-existing neuroinflammatory burden. Non-opioid therapies have been shown to modulate both nociceptive and limbic circuits and may delay or reduce the need for opioid escalation. The inclusion of agents such as SNRIs or gabapentinoids extends the therapeutic scope into the mood–pain interface.\nWhen opioids are required, stewardship should extend beyond dosage control to include monitoring of affective and motivational trajectories. Agents such as buprenorphine and tapentadol are not pharmacologically neutral choices and have been proposed to confer neurobiological advantages that may be particularly relevant in aged, stress-sensitised brains. An affective–motivational stewardship approach frames opioid use within a neuropsychiatric model that prioritises preservation of cortical–limbic equilibrium. Clinical decisions are therefore increasingly informed by affective reactivity, reward sensitivity, and self-regulatory capacity—assessed through a combination of patient-reported outcomes and caregiver-informed measures (e.g., mood scales such as the Geriatric Depression Scale or PHQ-9, executive and cognitive screening tools such as the MoCA, and functional or behavioural monitoring including ADL/IADL changes)—rather than by pain intensity scores alone.\nUltimately, opioid prescribing may be conceptualised as an act of neuroaffective care, involving a dynamic balance between analgesia, emotional regulation, cognitive preservation, and neuroinflammatory restraint. This framework acknowledges the vulnerability of the ageing brain and reframes analgesic strategy as a component of integrated psychiatric–neurosomatic rehabilitation.\n\n\n### 3.3.1. Synthesis of Findings from the Literature\nThe management of chronic pain in older adults increasingly appears to require a paradigm that integrates analgesic efficacy, emotional stabilisation, and neurobiological safety. Pharmacotherapy may therefore be most effective when conceptualised within a triadic framework—pain control, mood regulation, and dependence prevention—grounded in the recognition that these three dimensions share overlapping neural substrates.\nEffective treatment typically begins with a comprehensive assessment that integrates somatic, affective, cognitive, and social dimensions (Table 1) [34,125,126]. Pain intensity alone provides limited prognostic information; accumulating evidence suggests that functional and emotional burden—such as interference with sleep, mood, and daily activities—more reliably predicts clinical outcomes [33,127]. Clinicians are therefore encouraged to routinely screen for depression, anxiety, sleep disorders, and cognitive impairment, as these comorbidities have been shown to influence pain perception and may modify pharmacodynamic responses through neuroinflammatory and monoaminergic pathways [68,128]. In older patients, loss of dopaminergic tone, increased oxidative stress, and reduced BDNF expression may lower thresholds for both analgesic failure and neurotoxic side effects.\nPharmacological therapy is generally recommended to follow a multimodal, stepwise approach, combining agents that target distinct mechanisms—nociceptive, neuropathic, and affective—while aiming to minimise opioid exposure and preserve cognitive integrity (Table 2) [38,126,130]. Behavioural and psychotherapeutic interventions (CBT, ACT, mindfulness) are increasingly recognised as beneficial when embedded early, reinforcing adaptive neural plasticity and emotional regulation [115,132,133,134,135,136].\nPharmacological management in older adults with chronic pain should be framed as a stepwise, multimodal strategy that balances analgesic efficacy with neuropsychiatric safety and functional preservation (Table 2) [38,126,130]. Rather than relying on pain intensity alone, treatment selection is guided by pain phenotype (nociceptive, inflammatory, neuropathic or mixed), comorbid affective and cognitive vulnerability, renal and hepatic reserve, and fall risk (Table 1) [34,125,126]. Current evidence supports the preferential use of non-opioid agents when possible, with careful titration and monitoring to minimise sedation, delirium, and cumulative neurotoxic burden in frail patients [34,38,61]. When opioid therapy is considered, it should be implemented within an opioid stewardship framework, characterised by low initial dosing, slow titration, frequent reassessment, and systematic monitoring of affective, cognitive, and functional trajectories rather than numerical pain scores alone [126,130,131]. Across pharmacological classes, particular attention is required for drug–drug interactions, polypharmacy, and cumulative sedative load, especially in the presence of multimorbidity and neurodegenerative vulnerability. In higher-risk clinical scenarios, international guidelines emphasise individualisation of therapy, integration with psychosocial and behavioural interventions, and regular deprescribing reviews to maintain neurobiological and functional homeostasis in later life [34,61,126,130,131].\n\n\n### 3.3.2. Clinical and Conceptual Interpretation\nChronic pain in ageing rarely occurs in isolation from emotional, cognitive, and neurobiological decline. An integrated pharmacological management approach therefore appears to require alignment between neurobiological safety and functional and affective recovery. This perspective relies on understanding pain not solely as a sensory phenomenon but as a complex disturbance of brain homeostasis.\nThe emphasis on early affective screening reflects increasing awareness that neuropsychiatric fragility may modulate both pain perception and drug-related neurotoxic thresholds. Pharmacological choices are therefore best tailored not only to pain phenotype but also to emotional resilience, cognitive integrity, and pre-existing neuroinflammatory burden. Non-opioid therapies have been shown to modulate both nociceptive and limbic circuits and may delay or reduce the need for opioid escalation. The inclusion of agents such as SNRIs or gabapentinoids extends the therapeutic scope into the mood–pain interface.\nWhen opioids are required, stewardship should extend beyond dosage control to include monitoring of affective and motivational trajectories. Agents such as buprenorphine and tapentadol are not pharmacologically neutral choices and have been proposed to confer neurobiological advantages that may be particularly relevant in aged, stress-sensitised brains. An affective–motivational stewardship approach frames opioid use within a neuropsychiatric model that prioritises preservation of cortical–limbic equilibrium. Clinical decisions are therefore increasingly informed by affective reactivity, reward sensitivity, and self-regulatory capacity—assessed through a combination of patient-reported outcomes and caregiver-informed measures (e.g., mood scales such as the Geriatric Depression Scale or PHQ-9, executive and cognitive screening tools such as the MoCA, and functional or behavioural monitoring including ADL/IADL changes)—rather than by pain intensity scores alone.\nUltimately, opioid prescribing may be conceptualised as an act of neuroaffective care, involving a dynamic balance between analgesia, emotional regulation, cognitive preservation, and neuroinflammatory restraint. This framework acknowledges the vulnerability of the ageing brain and reframes analgesic strategy as a component of integrated psychiatric–neurosomatic rehabilitation.\n\n\n### 3.4. Special Populations, Coordination and Future Direction\nChronic pain and OUD have been increasingly described as intertwined conditions that share not only clinical overlap but also overlapping neurobiological substrates. Both appear to arise from maladaptive remodelling of reward–stress–pain circuitry, in which the mesolimbic dopamine system, the hypothalamic–pituitary–adrenal (HPA) axis, and the limbic forebrain operate under conditions of chronic allostatic load [15,137,149]. In ageing, this shared substrate may be further compromised by dopaminergic depletion, frontostriatal disconnection, and neuroinflammatory amplification, leaving older adults with prior opioid exposure particularly vulnerable.\nFor these patients, pain management cannot be adequately conceptualised as a dichotomy between “analgesia” and “addiction treatment”; instead, it has been proposed to follow an integrated neuropsychiatric logic, in which modulation of nociceptive, affective, and reward-related circuits occurs in parallel.\nIn patients receiving medications for opioid use disorder (MOUD), such as buprenorphine or methadone, analgesic regimens are generally recommended to build upon the existing opioid-maintenance substrate [150,151]. Abrupt discontinuation has been shown to destabilise reward homeostasis and pain modulation, thereby increasing relapse risk and pain sensitivity through mechanisms involving NMDA receptor upregulation and glial priming [37,152]. Divided dosing schedules or carefully monitored supplementation have been reported to optimise pain control without compromising MOUD efficacy [153,154,155].\nA key concept in this context is the so-called “opioid debt”, referring to the mismatch between opioid receptor occupancy sufficient for withdrawal suppression and that required for effective analgesia. When this physiological gap is not addressed, patients may remain vulnerable to hyperalgesia and stress-induced craving [156,157]. Targeted correction, through scheduled dosing within a multimodal treatment plan, has been proposed as necessary to restore neurobiological stability [158,159].\nAdjuvant agents such as SNRIs and gabapentinoids, together with non-pharmacological interventions, are considered important components of comprehensive care, whereas benzodiazepines and sedative agents are generally discouraged because of increased toxicity and overdose risk in older adults [130,131,141,160].\nBuprenorphine has been shown to function as both an analgesic and an OUD treatment through partial μ-opioid agonism and κ-opioid receptor antagonism, potentially balancing nociceptive relief with affective stability [81,161,162]. It has been associated with modulation of amygdala–prefrontal circuits and reduced cue reactivity, suggesting potential utility in older adults in whom affective dysregulation coexists with chronic pain [163,164].\nMethadone, through full μ-opioid agonism, NMDA receptor antagonism, and monoamine reuptake inhibition, engages peripheral, spinal, and supraspinal analgesic mechanisms. It has also been associated with stabilisation of affective tone and reduction in salience misattribution and has been proposed to exert antipsychotic-like effects in structured treatment settings [104,165,166]. Levomethadone, with reduced NMDA activity and lower cardiotoxic potential, may offer more targeted modulation of the opioid–glutamate–κ-opioid receptor axis, which could be particularly relevant in older adults with neurodegenerative vulnerability [167,168].\nFinally, optimal outcomes appear to require coordinated care across pain medicine, psychiatry, and addiction services. Such triangular coordination has been shown to reduce iatrogenic instability and to support therapeutic continuity through integrated planning and shared clinical responsibility [169,170].\nOlder adults with chronic pain and a history of OUD often present with compounded neurobiological vulnerability. In this population, pain management may be more appropriately understood not merely as analgesic delivery but as a form of neuropsychiatric regulation. Strategies such as divided dosing of MOUD agents have been proposed to address neurochemical instability associated with inadequate analgesia, thereby potentially reducing stress-induced dysregulation and supporting functional opioid tone.\nThe concept of “opioid debt” reframes inadequate pain control as a physiological imbalance rather than a therapeutic failure. Failure to address this imbalance in MOUD-treated patients has been associated with heightened sympathetic activation and increased relapse risk [171]. Clinical correction through scheduled dosing and adjunctive therapies may help prevent both undertreatment of pain and escalation toward full μ-opioid agonists.\nBuprenorphine has been described as a prototypical agent of “neuroaffective stewardship,” acting on pain, mood, and motivational circuits. Its suitability for older adults has been attributed to its balanced receptor activity and relatively limited impact on cognitive and endocrine functioning.\nMethadone and levomethadone may offer distinct advantages for patients with dual disorder. Their capacity to modulate both nociceptive and affective pathways supports their use within structured, interdisciplinary treatment programmes. The additional mood-stabilising and antipsychotic-like properties of methadone have been highlighted as potentially relevant in complex affective states [172].\nTo move beyond fragmented care, integrated models have been increasingly advocated to coordinate analgesic modulation, affective regulation, and addiction containment. In the absence of such triangulated approaches, iatrogenic instability and neuroprogressive drift may occur. Therapeutic success is therefore increasingly framed not only in terms of pain reduction or substance use control, but also as the restoration of homeostatic balance across interdependent neural systems.\n\n\n### 3.4.1. Findings from the Literature\nChronic pain and OUD have been increasingly described as intertwined conditions that share not only clinical overlap but also overlapping neurobiological substrates. Both appear to arise from maladaptive remodelling of reward–stress–pain circuitry, in which the mesolimbic dopamine system, the hypothalamic–pituitary–adrenal (HPA) axis, and the limbic forebrain operate under conditions of chronic allostatic load [15,137,149]. In ageing, this shared substrate may be further compromised by dopaminergic depletion, frontostriatal disconnection, and neuroinflammatory amplification, leaving older adults with prior opioid exposure particularly vulnerable.\nFor these patients, pain management cannot be adequately conceptualised as a dichotomy between “analgesia” and “addiction treatment”; instead, it has been proposed to follow an integrated neuropsychiatric logic, in which modulation of nociceptive, affective, and reward-related circuits occurs in parallel.\nIn patients receiving medications for opioid use disorder (MOUD), such as buprenorphine or methadone, analgesic regimens are generally recommended to build upon the existing opioid-maintenance substrate [150,151]. Abrupt discontinuation has been shown to destabilise reward homeostasis and pain modulation, thereby increasing relapse risk and pain sensitivity through mechanisms involving NMDA receptor upregulation and glial priming [37,152]. Divided dosing schedules or carefully monitored supplementation have been reported to optimise pain control without compromising MOUD efficacy [153,154,155].\nA key concept in this context is the so-called “opioid debt”, referring to the mismatch between opioid receptor occupancy sufficient for withdrawal suppression and that required for effective analgesia. When this physiological gap is not addressed, patients may remain vulnerable to hyperalgesia and stress-induced craving [156,157]. Targeted correction, through scheduled dosing within a multimodal treatment plan, has been proposed as necessary to restore neurobiological stability [158,159].\nAdjuvant agents such as SNRIs and gabapentinoids, together with non-pharmacological interventions, are considered important components of comprehensive care, whereas benzodiazepines and sedative agents are generally discouraged because of increased toxicity and overdose risk in older adults [130,131,141,160].\nBuprenorphine has been shown to function as both an analgesic and an OUD treatment through partial μ-opioid agonism and κ-opioid receptor antagonism, potentially balancing nociceptive relief with affective stability [81,161,162]. It has been associated with modulation of amygdala–prefrontal circuits and reduced cue reactivity, suggesting potential utility in older adults in whom affective dysregulation coexists with chronic pain [163,164].\nMethadone, through full μ-opioid agonism, NMDA receptor antagonism, and monoamine reuptake inhibition, engages peripheral, spinal, and supraspinal analgesic mechanisms. It has also been associated with stabilisation of affective tone and reduction in salience misattribution and has been proposed to exert antipsychotic-like effects in structured treatment settings [104,165,166]. Levomethadone, with reduced NMDA activity and lower cardiotoxic potential, may offer more targeted modulation of the opioid–glutamate–κ-opioid receptor axis, which could be particularly relevant in older adults with neurodegenerative vulnerability [167,168].\nFinally, optimal outcomes appear to require coordinated care across pain medicine, psychiatry, and addiction services. Such triangular coordination has been shown to reduce iatrogenic instability and to support therapeutic continuity through integrated planning and shared clinical responsibility [169,170].\n\n\n### 3.4.2. Clinical and Conceptual Interpretation\nOlder adults with chronic pain and a history of OUD often present with compounded neurobiological vulnerability. In this population, pain management may be more appropriately understood not merely as analgesic delivery but as a form of neuropsychiatric regulation. Strategies such as divided dosing of MOUD agents have been proposed to address neurochemical instability associated with inadequate analgesia, thereby potentially reducing stress-induced dysregulation and supporting functional opioid tone.\nThe concept of “opioid debt” reframes inadequate pain control as a physiological imbalance rather than a therapeutic failure. Failure to address this imbalance in MOUD-treated patients has been associated with heightened sympathetic activation and increased relapse risk [171]. Clinical correction through scheduled dosing and adjunctive therapies may help prevent both undertreatment of pain and escalation toward full μ-opioid agonists.\nBuprenorphine has been described as a prototypical agent of “neuroaffective stewardship,” acting on pain, mood, and motivational circuits. Its suitability for older adults has been attributed to its balanced receptor activity and relatively limited impact on cognitive and endocrine functioning.\nMethadone and levomethadone may offer distinct advantages for patients with dual disorder. Their capacity to modulate both nociceptive and affective pathways supports their use within structured, interdisciplinary treatment programmes. The additional mood-stabilising and antipsychotic-like properties of methadone have been highlighted as potentially relevant in complex affective states [172].\nTo move beyond fragmented care, integrated models have been increasingly advocated to coordinate analgesic modulation, affective regulation, and addiction containment. In the absence of such triangulated approaches, iatrogenic instability and neuroprogressive drift may occur. Therapeutic success is therefore increasingly framed not only in terms of pain reduction or substance use control, but also as the restoration of homeostatic balance across interdependent neural systems.\n\n\n### 4. Integrative Neuroaffective Stewardship in Later-Life Opioid Therapy\nPain management for patients with OUD, particularly older adults, may benefit from moving beyond categorical thinking. Buprenorphine provides stability through MOR partial agonism and KOR antagonism, methadone offers broad-spectrum modulation of nociceptive and affective pathways, and levomethadone refines this approach by minimising excitotoxic and dysphoric liabilities.\nEach of these agents appears to act not merely on receptors but on circuits of meaning and motivation, the same networks that, when dysregulated, produce craving, despair, and compulsive relief-seeking.\nBy conceptualising OUD and chronic pain as two stages of a shared neuroprogressive process, clinicians can deploy pharmacotherapy not as containment but as functional neurorehabilitation, a controlled restoration of dopaminergic, glutamatergic, and limbic balance.\nThis paradigm may reframe opioid therapy from a source of vulnerability into a neurobiologically grounded bridge to recovery, where analgesia and emotional regulation converge [173].\nThe stewardship of opioid therapy in the elderly should not be reduced to dose titration or adverse-event surveillance. Instead, it must be understood as a neuropsychiatric process of preservation, maintaining cognition, emotional regulation, and adaptive plasticity in a brain that is both ageing and repeatedly challenged by pain, stress, and pharmacological exposure [174].\nA truly geriatric approach has been proposed to rest on three interdependent axes, Pain, Mind, and Medication, each requiring systematic monitoring and dynamic rebalancing.\nPain. Chronic pain in older adults is both sensory and affective. Its evaluation must integrate objective severity with subjective burden, mobility, sleep continuity, participation, and motivation [34,126]. The goal of therapy is functional recovery, not zero pain [175]. Every follow-up should assess trajectory: Is pain improving, stable, or evolving into emotional amplification (catastrophising, fear-avoidance) [125,129,176]. Early recognition of the transition from pain signalling to pain memory (insula- and ACC-driven) may help prevent the consolidation of maladaptive circuits [177,178,179,180].\nMind. Depression, anxiety, and cognitive decline are not secondary phenomena; they are core components of the pain disorder [44,181,182]. Regular screening with tools such as the Geriatric Depression Scale (GDS), GAD-7, and MoCA enables early detection of affective and cognitive erosion [175]. Worsening mood or executive dysfunction during opioid therapy often signals neuroadaptive dysregulation, either excessive dopaminergic stimulation (euphoria → apathy) or frontal hypoactivity from prolonged μ-opioid engagement [122,183,184,185,186]. Emotional blunting and diminished initiative are not benign; they mark the onset of a neuroprogressive cascade in which motivational circuitry (VTA–NAc–PFC) loses flexibility and craving mechanisms emerge even at therapeutic doses [73,187].\nMedication. The pharmacological plan must remain flexible, individualised, and regularly revised [126,188]. In geriatric practice, stewardship entails synchronising the pharmacodynamic rhythm with the patient’s neurobiological capacity for adaptation. This includes cautious dose titration, proactive management of constipation, hydration and nutritional support, and awareness that drug accumulation, sleep deprivation, and circadian disruption can trigger cognitive or affective decompensation [63].\nTo operationalise stewardship, clinicians should use a multidimensional follow-up matrix at every visit, integrating clinical observation, self-report, and caregiver feedback [126,135,175]. This checklist can be used to operationalise a neurocognitive surveillance model, transforming opioid follow-up into continuous observation of the brain’s adaptive state [34,152,189].\nIn geriatric opioid therapy, deprescribing should not be viewed merely as drug discontinuation and may be better understood as a process of neural restoration. With each reduction in pharmacological load, the brain has an opportunity to re-engage its endogenous regulatory mechanisms. These include the resensitisation of μ-opioid receptors, the recalibration of dopaminergic tone, and the silencing of microglial overactivity, all essential for restoring affective and cognitive balance [190].\nThis delicate process requires careful planning and awareness of its neuropsychiatric implications. Before initiating tapering, clinicians must define clear functional and emotional targets. Reducing opioid dosage without such planning can trigger not only somatic withdrawal but also a rebound of limbic hyperactivity, manifesting as anxiety, dysphoria, or heightened pain perception [191,192].\nTapering should proceed gradually, with a typical reduction of 10–20% of the total daily dose every 2 to 4 weeks. If signs of withdrawal or neuroaffective destabilisation arise—such as insomnia, anxiety, or mood deterioration—the process must be slowed accordingly. Rapid tapering may provoke a neuroprogressive crisis, characterised by heightened suffering and cognitive disorganisation [152].\nTo cushion the descent, pharmacological bridging strategies are often necessary. Agents such as serotonin-norepinephrine reuptake inhibitors (SNRIs) or low-dose gabapentinoids can support descending inhibitory pain pathways and stabilise mood, thereby reducing the risk of affective rebound [193].\nNon-pharmacological adjuncts are just as critical. Every step-down in dosing should be matched by increases in behavioural and psychosocial engagement. Psychotherapy, structured physical activity, and social reactivation provide alternative sources of dopaminergic stimulation and help re-establish motivational circuits [134,194,195].\nImportantly, clinicians must avoid substitution cascades. Using benzodiazepines or sedative-hypnotics to manage withdrawal symptoms is contraindicated, particularly in older adults. These agents suppress prefrontal activity via GABAergic mechanisms, worsening cognitive decline and emotional blunting [63].\nUltimately, each deprescribing journey can be conceptualised as a cycle of neuroplastic recalibration. Success should not be measured solely by the final dose achieved, but by the recovery of emotional modulation, motivational resilience, and cognitive clarity.\nOlder adults receiving opioids are particularly susceptible to acute neuropsychiatric events, including delirium, falls, and sudden affective destabilisation [196]. These complications arise from the interplay of pharmacodynamic sensitivity, structural brain vulnerability, and environmental stressors.\nDelirium often results from a transient collapse in cortical cholinergic and dopaminergic signalling, triggered by opioids, infections, dehydration, or polypharmacy [197,198]. Prevention typically requires proactive strategies, including regular cognitive screening, maintaining hydration, and ensuring stable environmental cues.\nFalls, meanwhile, are typically associated with sedation, postural hypotension, and cerebellar-vestibular desynchronisation. Opioids with more favourable neurophysiological profiles—such as buprenorphine or tapentadol—may reduce these risks by preserving noradrenergic tone and reducing postural instability [146,148].\nAffective decompensation—characterised by abrupt onset of apathy, irritability, or despair—may reflect underlying endocrine suppression or frontostriatal exhaustion induced by opioid exposure. Such events should prompt careful reassessment of treatment goals and consideration of opioid rotation or deprescribing [199].\nStabilising circadian rhythms, maintaining consistent light–dark cycles, promoting physical activity, and ensuring meaningful social contact are non-pharmacological interventions that support dopaminergic and serotonergic homeostasis, thereby reducing the risk of both neuropsychiatric crises and functional decline [73,200].\nThe overarching objective of opioid stewardship in older adults may be framed as neuroprotection. Each therapeutic decision—whether initiating, adjusting, or tapering opioids—alters the landscape of neural plasticity and network integrity. In this light, stewardship becomes an ongoing act of cortical care: balancing nociceptive control with the preservation of cognitive, emotional, and motivational circuits.\nTo prevent dopaminergic exhaustion, clinicians should consider rotating opioids or using partial agonists such as buprenorphine and tapentadol, which maintain analgesia while reducing neurochemical strain [201]. Adjunctive interventions, including physical activity, anti-inflammatory nutrition, and affective stimulation, counteract neuroinflammation and promote neural resilience [202,203].\nMonitoring for early signs of emotional or cognitive dysregulation, promptly treating sleep or mood disturbances, and fostering rehabilitative engagement are critical to preserving the brain’s adaptive capacity. In this integrated model, stewardship extends beyond harm reduction and may be viewed as a form of neuropsychiatric support that sustains the ageing brain’s ability to feel, think, relate, and recover.\nThis review has several limitations that should be acknowledged. First, although the literature synthesis followed a structured, concept-driven methodology with predefined thematic domains and qualitative evidence prioritisation, it was not conducted as a formal systematic review with quantitative meta-analysis. Consequently, the strength of the conclusions relies on the convergence of findings across heterogeneous study designs rather than on pooled effect estimates.\nSecond, the interdisciplinary scope of the review—spanning neuroscience, geriatric psychiatry, pain medicine, and addiction science—inevitably introduces variability in study populations, outcome measures, and methodological quality. While priority was given to systematic reviews, large cohort studies, randomised controlled trials, and evidence-based guidelines, some mechanistic and conceptual interpretations are derived from translational or observational studies and should therefore be interpreted with appropriate caution.\nThird, given the narrative and integrative nature of the review, causal inferences cannot be established. Associations between chronic pain, affective dysregulation, opioid exposure, and neurobiological ageing processes should be understood as hypothesis-generating rather than definitive evidence of direct causality.\nFinally, although the proposed neuropsychiatric framework is grounded in convergent evidence and clinical plausibility, it has not been prospectively validated in longitudinal or interventional studies specifically designed to test its predictive or therapeutic utility. Future research should aim to empirically evaluate this model using longitudinal designs, multimodal biomarkers, and integrated clinical outcomes in older populations.\n\n\n### 4.1. Neurobiological Rationale for Triadic Stewardship\nThe stewardship of opioid therapy in the elderly should not be reduced to dose titration or adverse-event surveillance. Instead, it must be understood as a neuropsychiatric process of preservation, maintaining cognition, emotional regulation, and adaptive plasticity in a brain that is both ageing and repeatedly challenged by pain, stress, and pharmacological exposure [174].\nA truly geriatric approach has been proposed to rest on three interdependent axes, Pain, Mind, and Medication, each requiring systematic monitoring and dynamic rebalancing.\nPain. Chronic pain in older adults is both sensory and affective. Its evaluation must integrate objective severity with subjective burden, mobility, sleep continuity, participation, and motivation [34,126]. The goal of therapy is functional recovery, not zero pain [175]. Every follow-up should assess trajectory: Is pain improving, stable, or evolving into emotional amplification (catastrophising, fear-avoidance) [125,129,176]. Early recognition of the transition from pain signalling to pain memory (insula- and ACC-driven) may help prevent the consolidation of maladaptive circuits [177,178,179,180].\nMind. Depression, anxiety, and cognitive decline are not secondary phenomena; they are core components of the pain disorder [44,181,182]. Regular screening with tools such as the Geriatric Depression Scale (GDS), GAD-7, and MoCA enables early detection of affective and cognitive erosion [175]. Worsening mood or executive dysfunction during opioid therapy often signals neuroadaptive dysregulation, either excessive dopaminergic stimulation (euphoria → apathy) or frontal hypoactivity from prolonged μ-opioid engagement [122,183,184,185,186]. Emotional blunting and diminished initiative are not benign; they mark the onset of a neuroprogressive cascade in which motivational circuitry (VTA–NAc–PFC) loses flexibility and craving mechanisms emerge even at therapeutic doses [73,187].\nMedication. The pharmacological plan must remain flexible, individualised, and regularly revised [126,188]. In geriatric practice, stewardship entails synchronising the pharmacodynamic rhythm with the patient’s neurobiological capacity for adaptation. This includes cautious dose titration, proactive management of constipation, hydration and nutritional support, and awareness that drug accumulation, sleep deprivation, and circadian disruption can trigger cognitive or affective decompensation [63].\n\n\n### 4.2. Clinical Monitoring Across Pain, Mood and Cognition\nTo operationalise stewardship, clinicians should use a multidimensional follow-up matrix at every visit, integrating clinical observation, self-report, and caregiver feedback [126,135,175]. This checklist can be used to operationalise a neurocognitive surveillance model, transforming opioid follow-up into continuous observation of the brain’s adaptive state [34,152,189].\n\n\n### 4.3. Deprescribing as Neuroadaptive Recalibration\nIn geriatric opioid therapy, deprescribing should not be viewed merely as drug discontinuation and may be better understood as a process of neural restoration. With each reduction in pharmacological load, the brain has an opportunity to re-engage its endogenous regulatory mechanisms. These include the resensitisation of μ-opioid receptors, the recalibration of dopaminergic tone, and the silencing of microglial overactivity, all essential for restoring affective and cognitive balance [190].\nThis delicate process requires careful planning and awareness of its neuropsychiatric implications. Before initiating tapering, clinicians must define clear functional and emotional targets. Reducing opioid dosage without such planning can trigger not only somatic withdrawal but also a rebound of limbic hyperactivity, manifesting as anxiety, dysphoria, or heightened pain perception [191,192].\nTapering should proceed gradually, with a typical reduction of 10–20% of the total daily dose every 2 to 4 weeks. If signs of withdrawal or neuroaffective destabilisation arise—such as insomnia, anxiety, or mood deterioration—the process must be slowed accordingly. Rapid tapering may provoke a neuroprogressive crisis, characterised by heightened suffering and cognitive disorganisation [152].\nTo cushion the descent, pharmacological bridging strategies are often necessary. Agents such as serotonin-norepinephrine reuptake inhibitors (SNRIs) or low-dose gabapentinoids can support descending inhibitory pain pathways and stabilise mood, thereby reducing the risk of affective rebound [193].\nNon-pharmacological adjuncts are just as critical. Every step-down in dosing should be matched by increases in behavioural and psychosocial engagement. Psychotherapy, structured physical activity, and social reactivation provide alternative sources of dopaminergic stimulation and help re-establish motivational circuits [134,194,195].\nImportantly, clinicians must avoid substitution cascades. Using benzodiazepines or sedative-hypnotics to manage withdrawal symptoms is contraindicated, particularly in older adults. These agents suppress prefrontal activity via GABAergic mechanisms, worsening cognitive decline and emotional blunting [63].\nUltimately, each deprescribing journey can be conceptualised as a cycle of neuroplastic recalibration. Success should not be measured solely by the final dose achieved, but by the recovery of emotional modulation, motivational resilience, and cognitive clarity.\n\n\n### 4.4. Prevention of Delirium, Falls, and Affective Decompensation\nOlder adults receiving opioids are particularly susceptible to acute neuropsychiatric events, including delirium, falls, and sudden affective destabilisation [196]. These complications arise from the interplay of pharmacodynamic sensitivity, structural brain vulnerability, and environmental stressors.\nDelirium often results from a transient collapse in cortical cholinergic and dopaminergic signalling, triggered by opioids, infections, dehydration, or polypharmacy [197,198]. Prevention typically requires proactive strategies, including regular cognitive screening, maintaining hydration, and ensuring stable environmental cues.\nFalls, meanwhile, are typically associated with sedation, postural hypotension, and cerebellar-vestibular desynchronisation. Opioids with more favourable neurophysiological profiles—such as buprenorphine or tapentadol—may reduce these risks by preserving noradrenergic tone and reducing postural instability [146,148].\nAffective decompensation—characterised by abrupt onset of apathy, irritability, or despair—may reflect underlying endocrine suppression or frontostriatal exhaustion induced by opioid exposure. Such events should prompt careful reassessment of treatment goals and consideration of opioid rotation or deprescribing [199].\nStabilising circadian rhythms, maintaining consistent light–dark cycles, promoting physical activity, and ensuring meaningful social contact are non-pharmacological interventions that support dopaminergic and serotonergic homeostasis, thereby reducing the risk of both neuropsychiatric crises and functional decline [73,200].\n\n\n### 4.5. Toward Neuroprotective Opioid Stewardship\nThe overarching objective of opioid stewardship in older adults may be framed as neuroprotection. Each therapeutic decision—whether initiating, adjusting, or tapering opioids—alters the landscape of neural plasticity and network integrity. In this light, stewardship becomes an ongoing act of cortical care: balancing nociceptive control with the preservation of cognitive, emotional, and motivational circuits.\nTo prevent dopaminergic exhaustion, clinicians should consider rotating opioids or using partial agonists such as buprenorphine and tapentadol, which maintain analgesia while reducing neurochemical strain [201]. Adjunctive interventions, including physical activity, anti-inflammatory nutrition, and affective stimulation, counteract neuroinflammation and promote neural resilience [202,203].\nMonitoring for early signs of emotional or cognitive dysregulation, promptly treating sleep or mood disturbances, and fostering rehabilitative engagement are critical to preserving the brain’s adaptive capacity. In this integrated model, stewardship extends beyond harm reduction and may be viewed as a form of neuropsychiatric support that sustains the ageing brain’s ability to feel, think, relate, and recover.\n\n\n### 4.6. Limitations\nThis review has several limitations that should be acknowledged. First, although the literature synthesis followed a structured, concept-driven methodology with predefined thematic domains and qualitative evidence prioritisation, it was not conducted as a formal systematic review with quantitative meta-analysis. Consequently, the strength of the conclusions relies on the convergence of findings across heterogeneous study designs rather than on pooled effect estimates.\nSecond, the interdisciplinary scope of the review—spanning neuroscience, geriatric psychiatry, pain medicine, and addiction science—inevitably introduces variability in study populations, outcome measures, and methodological quality. While priority was given to systematic reviews, large cohort studies, randomised controlled trials, and evidence-based guidelines, some mechanistic and conceptual interpretations are derived from translational or observational studies and should therefore be interpreted with appropriate caution.\nThird, given the narrative and integrative nature of the review, causal inferences cannot be established. Associations between chronic pain, affective dysregulation, opioid exposure, and neurobiological ageing processes should be understood as hypothesis-generating rather than definitive evidence of direct causality.\nFinally, although the proposed neuropsychiatric framework is grounded in convergent evidence and clinical plausibility, it has not been prospectively validated in longitudinal or interventional studies specifically designed to test its predictive or therapeutic utility. Future research should aim to empirically evaluate this model using longitudinal designs, multimodal biomarkers, and integrated clinical outcomes in older populations.\n\n\n### 5. Concluding Integration and Clinical Implications\nChronic pain in late life is increasingly understood not merely as a failure of sensory transmission but as an expression of affective dysregulation within an ageing brain struggling to maintain homeostasis across sensation, emotion, and meaning. Across the lifespan, pain may progressively shift from an adaptive warning signal to a condition of affective embodiment, shaped by neuroplastic decline, chronic stress exposure, and neuroinflammatory processes [68,204]. In this perspective, pain in ageing appears less as a transient symptom and more as a persistent neuroaffective state, reflecting the brain’s reduced capacity to integrate threat, loss, and self-preservation signals.\nAt the neurobiological level, converging evidence points to a progressive disruption of integrative circuitry. Fronto-limbic and mesocorticolimbic networks—central to reward processing, motivation, and emotional salience—undergo cumulative deterioration due to age-related neurodegeneration and sustained allostatic load. Microglial activation, mitochondrial dysfunction, and glutamatergic dysregulation further erode the brain’s ability to distinguish nociceptive input from emotional distress, and pain from affect [205,206,207,208,209].\nThis continuum provides a framework for understanding why chronic pain, depression, and substance use disorders frequently co-occur in later life. Rather than reflecting moral weakness or isolated comorbidity, this convergence may represent a shared neuroprogressive phenotype characterised by exhausted regulatory capacity [210,211]. Within this context, dependence—whether pharmacological or behavioural—can be interpreted as a maladaptive attempt to restore affective equilibrium in neural systems no longer able to self-regulate effectively [104,122].\nAgeing further amplifies this vulnerability. Declines in dopaminergic tone, reduced neurotrophic support (including BDNF), and impaired prefrontal inhibitory control weaken endogenous buffers against both pain amplification and craving. In this sense, the physiological neuroprogression of ageing may mirror the pathological neuroprogression observed in addiction, as both processes constrain adaptive flexibility and increase reliance on external regulators—such as opioids, repetitive behaviours, or relational scaffolding—to achieve emotional stability [212].\nRecognising this shared continuum reframes the task of clinical care. The goal extends beyond symptom suppression toward the restoration of neuroaffective balance: supporting the ageing brain’s capacity to experience sensation without suffering, desire without compulsion, and memory without persistent distress. This perspective supports a neuropsychiatric model of pain care in which treatment aims to recalibrate the dialogue between cortical control and limbic experience, aligning neurochemistry with meaning and context.\nWithin this framework, pharmacological and psychological interventions should be coordinated rather than sequential [213,214,215]. Mechanism-guided agents—such as buprenorphine, tapentadol, or serotonin–norepinephrine reuptake inhibitors—may be combined with cognitive-behavioural, mindfulness-based, and rehabilitative interventions to co-modulate circuits involved in salience attribution, affect regulation, and motivational drive [134,135,216,217,218,219,220]. Effective opioid stewardship in older adults therefore extends beyond the binary opposition of analgesia versus addiction, emphasising the continuous integration of functional, affective, and cognitive monitoring, with the aim of preserving emotional, cognitive, and motivational homeostasis in a brain with declining adaptive plasticity [212].\nFuture research should prioritise integrative biomarkers capable of linking biological and experiential domains. Neuroinflammatory indices (e.g., IL-6, TNF-α, CRP, microglial PET imaging) combined with functional connectomic measures of affective integration (e.g., PFC–ACC–insula coupling) may help quantify how pharmacological and behavioural interventions converge on shared neural pathways [221,222,223].\nUltimately, chronic pain in ageing emerges as a disorder of affective integration rather than a purely sensory dysfunction. Its treatment is therefore not only therapeutic but reconstructive: supporting the brain’s effort to maintain coherence, motivation, and identity in the face of neurodegenerative vulnerability. In this light, to treat pain in older adults is to defend—and where possible restore—the emotional architecture of the self, reframing suffering from a marker of decline into a signal for adaptive, mechanism-guided care.", "domain": "affective_neuroscience"}
{"source": "PMC13026448", "title": "From Neuroadaptation to Neuroprogression: Rethinking Chronic Cocaine Exposure Through a Model of Cocaine-Related Cerebropathy", "text": "# From Neuroadaptation to Neuroprogression: Rethinking Chronic Cocaine Exposure Through a Model of Cocaine-Related Cerebropathy\n\n## Abstract\nBackground: Chronic cocaine exposure is increasingly associated with persistent brain alterations, yet it remains unclear whether these changes reflect reversible neuroadaptation, accelerated brain ageing, or a degeneration-like trajectory in a vulnerable subgroup. This Perspective proposes a neuroprogressive vulnerability framework—referred to as cocaine-specific encephalopathy/cerebropathy only in a heuristic sense—to organise heterogeneous evidence without implying a distinct neurodegenerative disease entity. Methods: We conducted a structured, critical synthesis of peer-reviewed human and preclinical literature (PubMed, Scopus, Web of Science; inception to December 2025), integrating neuroimaging (MRI/DTI/fMRI/PET/SPECT), neuropathology/post-mortem findings, neurochemical and molecular mechanisms, and neuropsychological outcomes, with explicit attention to confounders (polysubstance use, psychiatric and medical comorbidity, HIV, vascular risk, abstinence duration). Results: Convergent evidence supports a multi-hit vulnerability model in which chronic stimulant exposure may weaken neural resilience through dopaminergic dysregulation, oxidative stress, mitochondrial dysfunction, neuroinflammatory signalling, and putative α-synuclein–related mechanisms. Human imaging studies consistently implicate fronto–striato–limbic circuits and suggest possible cerebellar involvement, but findings are heterogeneous and often cross-sectional; direct evidence of progressive neuronal loss or disease-defining proteinopathies attributable to cocaine remains limited. Conclusions: Rather than asserting cocaine-induced classic neurodegeneration, we outline an exploratory framework in which chronic cocaine exposure may increase susceptibility to neuroprogressive impairment in a subset of biologically vulnerable individuals. Longitudinal multimodal studies combining advanced imaging, biomarkers, and phenotypic stratification are needed to clarify causality, temporal progression, and reversibility with sustained abstinence.\n\n## Full Text\n\n\n### 1. Introduction\nChronic cocaine exposure has traditionally been studied from the perspectives of addiction neuroscience, acute toxicity, and psychiatric comorbidity. Yet converging evidence from neuroimaging, molecular research, and clinical observation raises a broader—and scientifically provocative—question: could long-term cocaine use contribute to neuroprogressive patterns that resemble, anticipate, or interact with recognised neurodegenerative mechanisms?\nThis perspective does not propose a new diagnosis. Instead, it examines whether chronic stimulant exposure might heighten pre-existing neurobiological vulnerabilities and weaken neural resilience, potentially leading to a trajectory tentatively termed cocaine-specific encephalopathy. The ensuing discussion synthesises current evidence with explicit methodological caution, integrating neurochemical, neuropathophysiological, and neuroanatomical observations into a heuristic framework to guide future empirical research.\nCocaine use disorder (CUD) remains a major public health concern, with well-established acute neuropsychiatric, cardiovascular, and systemic effects [1]. Cocaine, a potent psychostimulant, primarily acts by blocking the dopamine (DAT), serotonin (SERT), and norepinephrine (NET) transporters, thereby rapidly increasing synaptic monoamine levels [2]. Although the immediate effects of euphoria, psychomotor activation, and craving are well characterised, scientific focus has increasingly shifted towards the long-term neurobiological consequences of sustained exposure [3].\nEmerging evidence suggests that chronic cocaine use may be associated with progressive cerebral changes that partly resemble neurodegenerative mechanisms [4,5,6,7,8,9]. Structural and functional neuroimaging studies reveal deviations from typical trajectories observed in neurodegenerative disorders such as Alzheimer’s disease (AD) and Parkinson’s disease (PD) [10,11,12]. Although these links remain preliminary, they support the idea that cocaine-related brain injury may involve mechanisms distinct from—rather than simply accelerating—conventional neurodegenerative processes.\nWithin this interpretative framework, the concept of a “cocaine-related cerebropathy” or “cocaine-specific neurodegeneration” is presented as a provisional and heuristic construct.\nThe term cocaine-specific cerebropathy is used here solely as a heuristic framework to describe a state of heightened neurobiological vulnerability and does not imply a distinct clinical entity, diagnostic category, or established neurodegenerative process.\nThis potential condition is characterised by selective involvement of the prefrontal cortex, striatum, limbic structures (including the hippocampus and amygdala), and the cerebellum. It is theorised to arise from converging pathways, including dopaminergic dysregulation, chronic neuroinflammation, oxidative stress, mitochondrial impairment, glutamatergic excitotoxicity, and blood–brain barrier disruption [8,13]. The construct is conceptual rather than diagnostic, intended to encourage empirical refinement of classifications of substance-related brain disorders.\nIndividual vulnerability is a key factor in the onset and progression of cocaine-related brain changes. Neurodevelopmental conditions, particularly attention-deficit/hyperactivity disorder (ADHD), increase susceptibility through delayed cortical development, impaired prefrontal integration, and reduced neurobiological resilience [14,15,16]. The “Last-In, First-Out” (LIFO) neurodevelopmental model offers a helpful perspective: associative and prefrontal networks, which mature late, may be among the first to decline under chronic neurotoxic, vascular, or inflammatory stressors [17,18,19]. The link between ADHD and substance use disorders is well established [20,21], and recent hypotheses propose that individuals with ADHD may not only be more prone to cocaine use but also more vulnerable to its potential neurodegenerative effects. Applying the LIFO framework to cocaine-related brain damage could help identify high-risk groups and inform preventative strategies.\nImportantly, neurodevelopmental vulnerability is only one aspect of a broader risk landscape that includes infectious diseases (notably HIV), genetic predispositions to neurodegenerative trajectories, vascular and metabolic comorbidities, traumatic brain injury, polysubstance exposure, psychiatric comorbidities, and chaotic life rhythms, including malnutrition and sleep disorders [22,23,24,25,26,27,28,29,30,31]. From this perspective, cocaine-related brain effects may be better understood as the result of a multi-hit interaction between ongoing stimulant use and pre-existing biological vulnerabilities, rather than a single toxic effect.\nThe aim of this perspective is to present an integrated theoretical model of cocaine-related neurodegenerative vulnerability that encompasses both the direct neurobiological effects of prolonged stimulant use and the individual profile of vulnerability that shapes susceptibility, severity, and progression. Rather than viewing chronic cocaine use solely through the lens of addiction, this Perspective reframes it as a potential risk state for neurodegenerative vulnerability—rather than as a primary neurodegenerative disease entity—in which cumulative toxic, vascular, inflammatory, and developmental factors interact with cocaine’s pharmacological effects to weaken neural resilience and, in susceptible individuals, promote degeneration-like trajectories.\nBy outlining this conceptual shift, the perspective aims to refine the boundaries between substance-induced disorders and neurodegenerative conditions, stimulate hypothesis-driven research, and guide future efforts in early detection, risk stratification, and preventive intervention. The proposed model is explicitly heuristic and exploratory, designed to support empirical testing rather than to assert a new diagnostic entity.\n\n\n### 2. Methods\nThis Perspective was developed through a structured, critical, and interpretative synthesis of peer-reviewed literature examining the neurobiological consequences of chronic cocaine exposure and its potential association with neuroprogressive vulnerability. Targeted searches were conducted in PubMed, Scopus, and Web of Science from database inception to December 2025. Search strategies combined keywords and controlled vocabulary terms related to cocaine and cocaine use disorder, chronic or repeated exposure, neuroimaging (MRI, DTI, fMRI, PET, SPECT), neuropathology and post-mortem findings, neuroinflammation, oxidative stress, mitochondrial dysfunction, blood–brain barrier integrity, cognitive and motor outcomes, and neurodegenerative disorders (including Alzheimer’s disease, Parkinson’s disease, dementia with Lewy bodies, and frontotemporal dementia). Reference lists of key articles and relevant reviews were manually screened using a snowballing approach to ensure comprehensive coverage of mechanistically relevant studies. To enhance transparency and address variability in the literature, the major evidence domains, degree of empirical support, and principal sources of inconsistency are summarised in Supplementary Table S1.\nGiven the hypothesis-generating and conceptual nature of this Perspective, inclusion criteria were intentionally broad. Studies were considered eligible if they examined repeated or chronic cocaine exposure or cocaine use disorder in humans or experimental models, reported outcomes relevant to brain structure, connectivity, neurochemistry, neuroinflammation, oxidative or mitochondrial mechanisms, neuropathology, cognitive performance, or motor function, and provided mechanistic or systems-level relevance to fronto–striato–limbic and/or cerebellar networks or to biological pathways implicated in neurodegenerative vulnerability. Exclusion criteria included studies limited exclusively to acute intoxication without relevance to chronic brain outcomes, reports lacking neurobiological, neurological, or cognitive endpoints, and studies in which cocaine exposure could not be meaningfully distinguished from other primary etiologies when this precluded interpretation. Non-peer-reviewed sources were not considered. Case reports and small clinical series were included selectively when they provided clinically or mechanistically informative observations relevant to the proposed framework.\nAs this work is a conceptual Perspective rather than a systematic review or meta-analysis, no formal quantitative risk-of-bias instrument was applied. Instead, evidence was appraised qualitatively by assigning greater interpretative weight to longitudinal studies, meta-analyses, and multimodal investigations when available, and by prioritising convergent findings across independent methodologies, such as human imaging studies combined with preclinical mechanistic data. Key confounders were explicitly considered throughout the synthesis, including polysubstance use, psychiatric and medical comorbidities (notably HIV infection), cardiometabolic burden, age, duration of abstinence, and socioeconomic factors. Particular attention was given to evidence regarding reversibility with sustained abstinence, as this represents a central point of divergence in the literature.\nConflicting or null findings were not excluded; instead, discrepancies were examined in relation to sample characteristics and vulnerability profiles, definitions and quantification of cocaine exposure (dose, duration, and route of administration), imaging and analytical methodologies, control of confounding variables, and duration of abstinence at the time of assessment. Where studies suggested partial structural or functional recovery, these findings were explicitly integrated into the interpretation of cocaine-related neuroprogression as a conditional and non-mandatory trajectory, consistent with a vulnerability-based model rather than a deterministic degenerative pathway. This synthesis does not introduce new empirical data but integrates existing findings into a heuristic framework intended to guide future hypothesis-driven research. The proposed model of cocaine-related neurodegenerative vulnerability is explicitly exploratory and should not be interpreted as establishing a distinct diagnostic entity.\n\n\n### 3. Results\nCocaine acts through a complex interplay of neurochemical, vascular, metabolic, and inflammatory mechanisms [2]. These acute and chronic actions interact with pre-existing biological vulnerabilities, resulting in diverse trajectories of brain dysfunction and potential neurodegeneration. Individual susceptibility is shaped by genetic predispositions, neurodevelopmental differences, age, cardiometabolic and cerebrovascular risks, immune status (including HIV infection), traumatic brain injury, and polysubstance exposure.\nCocaine is a potent, non-selective inhibitor of the dopamine (DAT), norepinephrine (NET), and serotonin (SERT) transporters, leading to a rapid build-up of extracellular monoamines within fronto–striato–limbic circuits. Emerging evidence also suggests this may occur within cerebellar pathways [32,33,34,35]. These acute disturbances underpin cocaine’s reinforcing properties and create conditions that could destabilise circuits, potentially resulting in neurotoxic processes in vulnerable individuals.\nCocaine’s primary dopaminergic effects arise from DAT inhibition, resulting in prolonged hyperstimulation across mesolimbic, mesocortical, and nigrostriatal pathways [36,37,38,39]. Although direct dopaminergic projections to the cerebellum are relatively sparse, preclinical studies indicate potential dopaminergic modulation of cerebellar plasticity and motor–cognitive integration [32]. These findings are preliminary, but they suggest that dopaminergic stress may extend beyond traditionally implicated networks.\nIn serotonergic and noradrenergic systems, cocaine increases monoaminergic activity by blocking SERT and NET [40,41,42,43,44]. Alterations in 5-HT2A/5-HT2C signalling contribute to hyperlocomotion, compulsive drug seeking, and autonomic dysregulation, while increased noradrenergic activity heightens arousal and cardiovascular stress. Although less well understood, serotonergic and noradrenergic projections to the cerebellum suggest that monoaminergic effects may extend beyond cortical and limbic regions, particularly in individuals with existing vulnerabilities [45,46,47].\nCocaine also interacts with Sigma-1 receptors (Sig-1R), which regulate calcium signalling, synaptic plasticity, and neuroimmune responses [48,49,50,51]. Sig-1R expression is observed in both cortical and subcortical regions, and in some studies within cerebellar tissue [52]. Although the functional importance of cerebellar Sig-1R activation remains unclear, its potential role is consistent with broader sigma-mediated stress pathways.\nCocaine further disrupts glutamate homeostasis by altering NMDA receptor subunits and impairing glutamate clearance [53,54]. This leads to hyperexcitability, increasing susceptibility to excitotoxic injury—a pathway implicated in several neurodegenerative disorders. The cerebellum, which relies heavily on glutamatergic transmission, may also be at risk, although direct human evidence remains limited.\nFurthermore, cocaine affects the endogenous opioid system by activating μ- and κ-opioid receptors, which modulate reward, stress responses, and dysphoria during withdrawal [55,56,57]. The presence of opioid receptors within cerebellar networks suggests potential, yet not fully examined, effects on both emotional and motor control.\nBeyond its effects on neurotransmission, cocaine blocks voltage-gated sodium channels, increasing the risk of seizures and altering neuronal excitability.\nAt the vascular level, sodium and calcium channel blockade, together with potent vasoconstriction, increases the risk of ischaemic and cerebrovascular events, with secondary effects on metabolically vulnerable brain regions [58].\nThese neurochemical mechanisms do not operate in isolation but intersect with vulnerability factors that shape both acute responses and long-term trajectories. Neurodevelopmental disorders such as ADHD or ASD may delay cortical maturation and reduce neural resilience; genetic variants can amplify dopaminergic or glutamatergic toxicity; cardiometabolic and immunological comorbidities increase oxidative and vascular burdens; traumatic brain injury and polysubstance use further diminish compensatory capacity. Although less well characterised, similar dynamics may affect cerebellar vulnerability, particularly in individuals with pre-existing neurodevelopmental or vascular fragility.\nTaken together, the mechanisms described outline a broad and interacting set of neurochemical, vascular, metabolic, and inflammatory pathways through which cocaine may exert acute and long-term effects on brain function. Our interpretative appraisal underscores that the evidence for dopaminergic, serotonergic, noradrenergic, and glutamatergic contributions to cocaine-related neurotoxicity is comparatively strong. In contrast, proposed roles for cerebellar monoaminergic modulation, Sigma-1 receptor signalling, and cerebellar opioid mechanisms remain preliminary, derived largely from early-stage or preclinical investigations [59,60,61,62,63,64].\nSimilarly, while vulnerability factors—including neurodevelopmental conditions (not only neurodevelopmental conditions but also other psychiatric vulnerabilities, including psychotrauma), cardiometabolic burden, HIV infection, traumatic brain injury, and polysubstance exposure—offer a plausible framework for differential susceptibility, the causal pathways linking these factors to specific neuroprogressive or degenerative outcomes remain insufficiently defined. Although excitotoxicity, oxidative stress, and neuroinflammation are well-established consequences of stimulant exposure, their capacity to induce sustained or degenerative changes in humans has yet to be conclusively demonstrated.\nOverall, the current synthesis supports a neuroprogressive risk hypothesis rather than a confirmed neurodegenerative trajectory, underscoring the need for longitudinal, multimodal research before establishing a comprehensive model of cocaine-related neurodegeneration.\nThe overall organisation of these interacting mechanisms is shown in Figure 1.\nThe main neurotransmitter systems involved in cocaine exposure, along with their associated vulnerability profiles, are summarised in Table 1.\nChronic cocaine exposure appears to trigger a range of neurochemical, vascular, metabolic, and inflammatory mechanisms that may act as causal, accelerating, or anticipatory factors in neurodegenerative-like processes. These mechanisms could give rise to diverse clinical phenotypes, shaped by patterns and duration of use as well as the individual’s baseline neurobiological resilience. Vulnerability to cocaine-related brain injury is thus unlikely to be uniform; instead, it seems to reflect a complex interplay between long-term stimulant exposure and pre-existing biological vulnerabilities, including genetic predispositions, age-related neural fragility, cardiometabolic and vascular risks, infectious conditions such as HIV, traumatic brain injury, neurodevelopmental disorders, and polysubstance use. Each of these factors may lower the threshold for neuronal dysfunction, and, when combined with cocaine’s neurotoxic effects, could hasten neurodegenerative trajectories.\nWithin this tentative conceptual framework, a cocaine-specific cerebropathy can be described as arising through two main interconnected pathophysiological routes. The first involves fronto–striato–limbic dopaminergic imbalance, in which sudden monoaminergic increases are followed by presynaptic and postsynaptic neuroadaptations that may gradually impair dopamine signalling, synaptic stability, and neuronal health. The second involves a broader neurotoxic cascade linked to oxidative stress, mitochondrial dysfunction, excitotoxicity, neuroinflammation, impaired vesicular monoamine storage, and vascular issues, which may lead to multifocal structural and functional changes.\nThese proposed pathways appear to converge on neural regions characterised by high metabolic demand, dense synaptic architecture, or prolonged developmental timelines. Late-maturing structures—including the prefrontal cortex, associative cortices, striatal loops, limbic regions, and possibly cerebellar networks—may therefore be particularly vulnerable. This vulnerability may be further heightened in individuals with neurodevelopmental conditions such as ADHD, where delayed cortical maturation, atypical synaptic pruning, and fronto-striatal dysconnectivity might reduce compensatory capacity and increase susceptibility to neurotoxic, inflammatory, or vascular insults.\nTaken together, the interaction between chronic cocaine use and antecedent vulnerability factors suggests a multiple-hit model in which neurochemical dysregulation and limited neural resilience may jointly increase susceptibility to neurodegenerative-like outcomes. These dynamics provide a potential framework for conceptualising the pattern of cerebral involvement tentatively described as cocaine-specific cerebropathy.\nAmong the neurochemical systems potentially affected by cocaine, alterations in dopaminergic signalling are often regarded as a key factor linking immediate reinforcement processes with long-term neuroadaptations and, in some cases, suspected neurodegenerative pathways. Cocaine primarily targets dopamine-rich circuits connecting the ventral tegmental area, nucleus accumbens, prefrontal cortex, and dorsal striatum, producing rapid increases in extracellular dopamine, followed by a series of compensatory adjustments. In this context, it is important to distinguish between immediate responses driven by dopamine transporter (DAT) blockade and long-term adaptations involving presynaptic, postsynaptic, mitochondrial, and structural changes when considering the hypothesis of cocaine-specific cerebropathy [65,66].\nCocaine acutely inhibits DAT, causing rapid increases in extracellular dopamine in striatal and cortical regions [67]. This elevation enhances activation of D1- and D2-like receptors and is widely regarded as central to cocaine’s euphoric and reinforcing properties [68,69]. Blockade of SERT and NET further boosts serotonergic and noradrenergic tone, influencing mood, arousal, autonomic responses, and the significance attributed to drug-related cues [70,71,72]. Preclinical findings also suggest that cocaine might modulate dopamine receptor signalling, including possible allosteric enhancement of D2 receptor activity, although these mechanisms are less clearly understood in humans [73]. The resulting transient hyperdopaminergic state is characterised by increased reward sensitivity and psychomotor activation. Individuals with genetic variants, neurodevelopmental traits, or prior stimulant exposure may experience greater destabilisation under these conditions [74,75]. These initial responses might represent an early step in a broader series of dopaminergic changes.\nRepeated cocaine exposure appears to induce more persistent neuroadaptations in fronto–striato–limbic circuits. Increased striatal DAT binding observed in post-mortem and imaging studies is considered a compensatory response to recurrent transporter blockade [76,77]. Reduced D2/D3 receptor availability, consistently reported in PET studies of individuals with cocaine dependence, has been linked to impulsivity, compulsive drug seeking, and decreased responsiveness to natural rewards [78,79,80]. At the intracellular level, chronic cocaine exposure has been associated with mitochondrial dysfunction, oxidative stress, and heightened vulnerability to metabolic injury [81,82,83]. Additional transcriptional and structural changes affecting dendritic spine density and synaptic organisation within medium spiny neurons have also been documented [84,85,86,87]. Overall, these findings indicate a shift towards a dysregulated, often hypodopaminergic state that may increase susceptibility to neurotoxic processes in vulnerable individuals.\nPresynaptic adaptations include evidence of DAT up-regulation, with post-mortem and animal studies reporting enhanced dopamine uptake capacity after chronic exposure [88,89,90,91]. Increased α-synuclein expression has also been observed in midbrain dopaminergic neurons and striatal synaptosomes [92,93,94,95,96], raising the possibility that cocaine may influence protein systems involved in dopamine regulation. Experimental studies suggest that α-synuclein may modulate DAT trafficking and intracellular dopamine handling, potentially fostering oxidative stress and reducing neuronal resilience [97,98,99]. Findings from synucleinopathy models further indicate that increased α-synuclein burden can disrupt firing properties, calcium dynamics, dopamine release, and neuronal morphology [100,101], supporting cautious consideration of α-synuclein as a possible contributor to neurodegenerative vulnerability in the context of chronic stimulant exposure [97,102].\nPostsynaptic adaptations have also been observed, particularly decreases in D2/D3 receptor availability that persist during abstinence and may reflect attempts to reduce excessive dopaminergic stimulation [78,79,103,104,105,106]. These changes have been linked to anhedonia, impulsivity, compulsive drug seeking, and reduced cognitive control [80,107,108]. Early imaging studies suggest that similar adaptations might occur outside traditional dopaminergic networks, with reports of cerebellar structural and connectivity alterations in chronic users [32,33,109,110,111,112], although the evidence remains preliminary.\nStructural imaging studies have also reported putaminal hypertrophy in some individuals with chronic cocaine use [113,114,115]. This enlargement has been interpreted as reflecting compensatory or maladaptive plasticity within basal ganglia circuits. Further investigations have identified region-specific striatal increases alongside cortical and cerebellar reductions [116,117,118]. These changes may reflect dendritic arborisation, synaptic reorganisation, or glial responses, although their functional significance remains uncertain. Some studies have linked putaminal alterations to dyskinesias, stereotyped behaviours, and impaired motor or cognitive control [119,120].\nTaken together, these mechanisms provide a broad but necessarily provisional explanation of how dopaminergic changes might develop during both acute and chronic cocaine use. While the synthesis offers a clear, hypothesis-driven framework that incorporates presynaptic, postsynaptic, mitochondrial, and structural findings, the supporting evidence remains inconsistent. Much of the data on α-synuclein dynamics, mitochondrial dysfunction, cerebellar involvement, and putaminal hypertrophy come from preclinical or cross-sectional studies, limiting the ability to establish causal or progressive relationships. Even well-established findings, such as reductions in D2/D3 receptor availability, cannot yet be assumed to indicate neurodegeneration rather than reversible or fluctuating neuroadaptation. Therefore, applying cellular and animal observations to human pathology requires ongoing caution, especially when considering multi-hit models that combine acute dopaminergic surges, long-term adaptations, and individual vulnerability factors. For these reasons, the current synthesis should be regarded as an interpretative framework rather than a definitive account of dopaminergic pathology in chronic cocaine use.\nRegarding the social aspect of cocaine addiction, social dominance hierarchy position influences brain dopamine D2 receptors and the reinforcing effects of cocaine. Experimental evidence from rodent and non-human primate models indicates that social hierarchy is closely associated with dopaminergic regulation and with differential vulnerability to psychopathology and substance-related behaviours. In isogenic mouse models, individual sociability predicted subsequent social rank, suggesting that pre-existing behavioural traits contribute to the emergence of social organisation. Once hierarchy was established, higher-ranked animals displayed a behavioural profile characterised by increased anxiety, enhanced working memory performance, reduced dopaminergic activity within the ventral tegmental area, diminished behavioural responsiveness to cocaine, and reduced susceptibility to depressive-like phenotypes following repeated social stress. Both pharmacogenetic inhibition of midbrain dopaminergic neurons and genetic disruption of glucocorticoid receptor signalling in dopamine-sensitive brain regions facilitated access to higher social ranks, indicating that the interaction between dopaminergic tone and stress-related neuroendocrine mechanisms plays a central role in shaping social structure and associated behavioural outcomes. Comparable findings have been observed in primate studies, where social status has been shown to modulate dopamine D2/D3 receptor availability and behavioural sensitivity to cocaine. Reorganisation of social groups in cynomolgus monkeys resulted in increased D2/D3 receptor availability in previously subordinate animals who attained dominant status, suggesting that the social environment exerts a plastic influence on dopaminergic function consistent with mechanisms of environmental enrichment. Although overall cocaine self-administration rates did not directly follow social rank after reorganisation, the reinforcing potency of cocaine was reduced in most subjects, indicating a shift in reward sensitivity. Further PET imaging studies demonstrated that social housing selectively increased D2 receptor availability in dominant monkeys and reduced cocaine reinforcement compared with subordinate animals, supporting the notion that environmental and social factors can induce neurobiological adaptations that influence addiction vulnerability [121,122,123,124].\nTaken together, these findings support a model in which social environment and hierarchical position interact with dopaminergic signalling and stress-related pathways to modulate behavioural strategies, stress resilience, and susceptibility to substance use disorders. Social status thus emerges not merely as a behavioural outcome but as a biologically embedded condition capable of shaping reward processing and psychopathological risk.\nCurrent experimental evidence indicates that the reinforcing properties of psychostimulants cannot be fully explained by dopaminergic mechanisms alone, although enhancement of dopamine neurotransmission within mesolimbic structures—particularly the nucleus accumbens—remains central. Cocaine and amphetamine-like substances increase extracellular dopamine primarily through dopamine transporter-mediated mechanisms, including reverse transport and inhibition of reuptake. However, converging data suggest that additional non–dopamine transporter-mediated processes substantially contribute to both behavioural activation and reward-related effects. In particular, psychostimulant-induced increases in noradrenergic transmission within the prefrontal cortex appear capable of modifying the firing patterns of midbrain dopaminergic neurons, thereby altering action potential-dependent dopamine release. These changes influence the temporal dynamics of dopamine signalling in the nucleus accumbens, with consequent effects on synaptic integration and plasticity, as dopaminergic modulation of synaptic inputs depends critically on the timing of dopamine release relative to afferent activity.\nLong-term exposure to drugs of abuse further induces enduring neurochemical adaptations involving interactions between noradrenergic and serotonergic systems. Repeated administration of cocaine, amphetamine, morphine, or alcohol has been shown to disrupt the reciprocal regulatory relationship between these two neuromodulatory systems, producing persistent sensitisation of both noradrenergic and serotonergic neuronal responses. This process appears to depend on alpha1b-adrenergic and 5-HT2A receptor signalling, as pharmacological blockade of these receptors prevents the development of sensitisation. Notably, similar neurochemical changes are not observed after repeated exposure to non-addictive antidepressants or selective dopamine reuptake inhibitors, suggesting that these adaptations are not solely attributable to increased dopaminergic transmission. These findings support the hypothesis that uncoupling between noradrenergic and serotonergic modulation is a shared neurochemical consequence of repeated exposure to addictive substances and may contribute to long-term vulnerability to relapse.\nBehavioural sensitisation models in rodents further support this framework. Repeated psychostimulant exposure produces persistent locomotor sensitisation, accompanied by enhanced cortical norepinephrine release and increased serotonergic reactivity, effects that may persist long after drug discontinuation. Loss of reciprocal inhibition between noradrenergic and serotonergic systems is associated with increased dopaminergic responsiveness and heightened behavioural reactivity to subsequent drug exposure. Importantly, similar mechanisms have been proposed to operate under chronic stress, suggesting that the neurochemical reorganisation induced by repeated drug exposure may overlap with stress-related pathways implicated in the development of psychiatric disorders. Overall, these findings support a multidimensional model of addiction in which dopaminergic reinforcement is embedded within a broader network involving noradrenergic and serotonergic regulation, synaptic plasticity, and stress-related neuroadaptations [125,126,127].\nChronic cocaine use has been linked to a range of alterations that overlap with the pathological mechanisms observed in several major neurodegenerative disorders, particularly through common pathways of mitochondrial dysfunction and oxidative stress. Experimental results in rodent and cell models suggest that cocaine may increase the production of reactive oxygen species (ROS), impair mitochondrial dynamics, and disrupt bioenergetic homeostasis, particularly within the nucleus accumbens and striatum. These changes can enhance neuronal vulnerability and lead to cell death [82,128,129]. Such observations mirror mechanisms central to neurodegenerative diseases such as Parkinson’s disease, Alzheimer’s disease, Huntington’s disease, and amyotrophic lateral sclerosis, where deficiencies in mitochondrial respiration—particularly at complex I—result in excessive ROS formation, redox imbalance, and progressive neuronal degeneration [130,131,132,133].\nWithin this framework, oxidative stress appears to interact with other processes relevant to cocaine-specific cerebropathy. Elevated ROS levels may increase the vulnerability of dopaminergic neurons by promoting misfolding and impaired clearance of synaptic proteins implicated in neurodegenerative diseases, as observed in synucleinopathies [134,135,136]. Post-mortem studies in individuals with chronic cocaine use have reported significant overexpression of α-synuclein in midbrain dopaminergic regions, a finding that may reflect a maladaptive response to increased dopamine turnover and oxidative stress, thereby affecting proteostasis and neuronal resilience [8,92]. This interaction between oxidative stress and α-synuclein accumulation could impair mitochondrial function and protein clearance pathways, creating conditions conducive to degenerative changes within dopaminergic circuits.\nAnother area of interest is the vesicular monoamine transporter 2 (VMAT2), which is vital for sequestering dopamine into synaptic vesicles and reducing its cytosolic oxidation. Reduced VMAT2 function raises cytosolic dopamine levels, thereby increasing ROS formation and mitochondrial damage. In genetic and toxin-based models, decreased VMAT2 expression has been shown to cause progressive nigrostriatal degeneration and Parkinsonian phenotypes, preceding detectable changes in DAT or D2 receptor binding [137,138,139,140,141]. Although direct in vivo evidence for VMAT2 in cocaine use disorder remains limited, the combination of high dopamine turnover, oxidative stress, and possible VMAT2 dysregulation offers a plausible mechanistic link between stimulant exposure and dopaminergic vulnerability.\nMitochondrial dysfunction and oxidative stress may also contribute to broader neuroinflammatory responses. Preclinical and translational studies show that cocaine can activate microglia in dopamine-rich regions—including the nucleus accumbens, prefrontal cortex, and hippocampus—while increasing expression of pro-inflammatory mediators such as HMGB1–RAGE and NF-κB-dependent cytokines [129,142,143,144,145]. Cocaine-induced oxidative stress and inflammation may further weaken the blood–brain barrier (BBB), allowing peripheral immune cell entry and enhancing central toxicity. Reviews of substance use disorders have highlighted chronic psychostimulant exposure as a significant factor in BBB disruption and neurovascular dysfunction [146,147,148]. Some experimental studies suggest that antioxidant or anti-inflammatory interventions—such as N-acetylcysteine—can reduce cocaine-related mitochondrial damage and microglial activation, indicating that this pathway may be therapeutically modifiable [149].\nTaken together, these observations support the hypothesis that mitochondrial impairment, oxidative stress, and neuroinflammation may constitute a second major pathophysiological pathway relevant to cocaine-specific cerebropathy. In individuals with pre-existing genetic susceptibilities, cardiometabolic or infectious comorbidities, or neurodevelopmental fragility, these processes may accelerate neurodegenerative trajectories, producing structural and functional changes that could resemble, anticipate, or interact with those observed in primary neurodegenerative disorders. Understanding these shared mechanisms could help identify targets for neuroprotective strategies to reduce the long-term cerebral effects of chronic cocaine use.\nWhile the synthesis above presents a coherent and biologically plausible framework linking chronic cocaine exposure to mitochondrial dysfunction, oxidative stress, and neuroinflammation, much of the supporting evidence derives from preclinical models or post-mortem studies, limiting the ability to infer causality or progression in humans. Although parallels with established neurodegenerative disorders are scientifically suggestive, these similarities do not yet establish a direct mechanistic link between cocaine exposure and neurodegeneration. Findings on α-synuclein accumulation, VMAT2 dysfunction, and BBB disruption, although intriguing, remain inconsistent across studies and often rely on indirect markers rather than longitudinal evidence. Furthermore, the extent to which these changes reflect transient neuroadaptive responses, reversible pathology, or early signs of a degenerative process remains uncertain. Extrapolating from rodent and cellular models to the clinical course of cocaine use disorder should be done cautiously, especially given the heterogeneity of human populations and the influence of polysubstance use, comorbidities, and genetic differences. Nevertheless, the convergence of oxidative, mitochondrial, and inflammatory mechanisms offers a valuable conceptual framework for future research, underscoring areas where rigorous longitudinal and mechanistic studies are essential to clarify their roles in the proposed neuroevolutionary progression associated with chronic cocaine exposure [150].\nChronic cocaine exposure has been linked to significant and lasting structural plasticity within striatal circuits, most notably an increase in dendritic spine density on medium spiny neurons (MSNs) in the nucleus accumbens, widely regarded as a hallmark of stimulant-induced neuroadaptation. Animal studies consistently show that repeated cocaine administration promotes the formation and stabilisation of excitatory synapses on MSNs, thereby reshaping the architecture of fronto–striatal reward pathways [84,151,152]. This structural remodelling is not uniform across MSN subtypes; although observed in both D1- and D2-receptor–expressing neurons, it persists particularly in D1-MSNs, which form the direct pathway and are central to reward learning and motivated behaviour. Such preferential involvement may contribute to the imbalance between basal ganglia pathways seen in chronic users, potentially fostering compulsive drug seeking, increased cue reactivity, and impaired inhibitory control [151,153].\nAt the molecular level, chronic cocaine exposure has been shown to influence transcriptional programmes that regulate synaptic growth. A key mechanism involves suppression of the transcription factor MEF-2, which regulates activity-dependent synaptic pruning. Cocaine inhibits MEF-2 via D1 receptor–mediated signalling, thereby disinhibiting dendritic spine formation. Restoring MEF-2 activity can block these structural changes, suggesting an actively regulated, transcription-driven form of plasticity rather than a passive compensatory process [84]. In parallel, chronic exposure increases ΔFosB, a transcription factor that accumulates selectively in D1-MSNs with repeated drug use and promotes synaptic strengthening and structural reorganisation, potentially reinforcing long-term vulnerability to relapse [84,86,154]. Functionally, these adaptations may amplify glutamatergic drive onto MSNs, destabilise fronto–striatal homeostasis, and bias learning towards drug-related cues, contributing to craving, compulsive intake, and impaired decision-making even after prolonged abstinence [155].\nCompared with spinogenesis, the evidence for altered adult neurogenesis in chronic cocaine use remains mixed. Some preclinical studies suggest reductions in the proliferation and survival of neural progenitors in the hippocampal dentate gyrus, changes that may relate to cognitive rigidity, mood dysregulation, or heightened stress responses [156,157]. However, findings vary widely across species, dosing regimens, withdrawal periods, and methodological approaches. Several studies report transient rather than lasting reductions; others fail to find significant effects, and some even describe context-dependent increases [158]. A plausible yet still hypothetical proposal is that cocaine-induced spinogenesis may alter the microenvironment of neurogenic niches; increased synaptic density and altered glutamatergic signalling within the nucleus accumbens have been suggested to influence trophic signals relevant to hippocampal progenitor survival, although existing evidence remains limited and mainly derived from animal models [159]. Currently, the most cautious interpretation is that cocaine may affect neurogenic processes under specific conditions—such as high-dose, long-term exposure or concurrent stress—but confirmed suppression of neurogenesis in humans has yet to be demonstrated.\nCollectively, cocaine-induced spinogenesis, particularly in D1-MSNs, is among the most consistent markers of pathological plasticity associated with stimulant exposure, linking molecular transcriptional changes to structural remodelling and lasting behavioural vulnerability. Altered neurogenesis may also contribute to cognitive and emotional dysregulation in some individuals, though current evidence remains inconsistent. Together, these processes demonstrate how chronic cocaine exposure can shift plasticity from adaptive to maladaptive modes, reorganising synaptic networks that may interact with dopaminergic, inflammatory, vascular, and mitochondrial mechanisms within the broader concept of cocaine-specific cerebropathy. The main mechanisms described in this section are summarised in Table 2.\nThe evidence outlined above presents a coherent and biologically plausible account of cocaine-induced structural plasticity, particularly dendritic spine proliferation in D1-MSNs. However, much of the supporting research derives from animal models, and it remains unclear how well these findings translate to human cocaine users. Although spinogenesis is among the most consistently observed phenomena in preclinical studies, its functional significance in humans—particularly regarding long-term behaviour, relapse risk, and potential neurodegenerative processes—has yet to be clearly defined. Mechanisms involving MEF-2 suppression and ΔFosB accumulation, although compelling, are based on rodent data and should be interpreted with caution when applied to clinical populations. Conversely, evidence for altered neurogenesis is notably diverse and often conflicting, owing to methodological differences and a lack of longitudinal human studies. The idea that synaptic remodelling in the nucleus accumbens could influence neurogenic niches remains speculative and not fully validated. Overall, while structural plasticity is an important aspect of stimulant-related neuroadaptation, current data do not allow definitive conclusions about its role within a broader neurodegenerative process. The mechanisms described should therefore be regarded as provisional within an emerging conceptual framework, rather than as confirmed indicators of cocaine-specific pathology.\nChronic cocaine use has been linked to a cascade of macro- and microstructural brain changes that appear to mirror the complex clinical features of cocaine use disorder and provide tentative support for the concept of a cocaine-specific cerebropathy. Structural MRI studies frequently report reduced grey matter volume in the prefrontal and temporal cortices, hippocampus, amygdala, and striatum, with several analyses noting associations between the severity or duration of use and the extent of these changes [114,116,159,160,161,162,163]. Selective thinning of the superior and middle temporal gyri has been reported, including early work showing reduced cortical thickness in these regions [164] and later morphometric studies indicating dose-dependent reductions [165,166]. These alterations may contribute to deficits in verbal learning, social cognition, and auditory working memory observed in the disorder [167]. Reductions in these regions, often interpreted as reflecting neuronal, synaptic, or dendritic loss, have been associated with impairments in executive functioning, decision-making, and impulse control [116,168]. Large-scale multimodal analyses suggest a pattern of morphometric change that may differ, at least in part, from that seen in other substance use disorders [169,170].\nBeyond cortico-limbic regions, converging, though less extensive, evidence suggests that the cerebellum may also be affected by chronic cocaine exposure. Early structural research identified lower cerebellar grey-matter volumes, particularly in the hemispheres, and correlated cerebellar reductions with duration of use and performance on motor or executive tasks [161,171]. More recent studies have replicated and expanded these findings, reporting smaller vermal volumes and preliminary evidence that cerebellar morphology may help distinguish individuals at higher risk of relapse [117,172]. These observations raise the possibility that cerebellar involvement could contribute to disturbances in motor coordination, timing processes, and the regulation of cognitive–affective functions in at least a subgroup of chronic users.\nAlterations in white-matter integrity are another consistent finding. Diffusion tensor imaging studies show reduced fractional anisotropy and increased mean diffusivity in major association tracts and interhemispheric fibres—including the corpus callosum, superior longitudinal fasciculus, and frontal white matter—indicating disrupted communication between prefrontal, parietal, limbic, and cerebellar regions [173,174,175]. These abnormalities have been associated with impairments in executive functioning, decision-making, and treatment outcomes, and may partly reflect the combined effects of cocaine and co-exposure to substances such as alcohol or levamisole [176,177,178].\nAt the systems level, resting-state fMRI studies show altered intrinsic activity and connectivity within major large-scale networks. Dysregulation of the default mode, salience, and central executive networks has been documented, including shifts in the balance between internally and externally directed states and weakened top-down control from prefrontal–cingulate hubs [179,180,181]. Dynamic connectivity analyses further suggest a shift towards DMN-dominant configurations and reduced stability of task-positive states, patterns that correlate with impulsivity, craving, and delay discounting [182,183]. These findings align with structural abnormalities, indicating a sustained reorganisation of functional circuits involved in salience attribution, reward evaluation, and cognitive control [184].\nPerfusion and metabolic imaging studies complement this data, indicating that chronic cocaine use may disrupt cerebral blood flow and glucose utilisation beyond the acute vasoconstrictive phase. Hypoperfusion in the prefrontal cortex, anterior cingulate, and hippocampus has been reported, often overlapping with regions of structural loss and associated with deficits in decision-making and affect regulation [185]. FDG-PET investigations—from early studies to recent syntheses—demonstrate reduced glucose metabolism in frontal and cingulate regions during both active use and extended abstinence, supporting the persistence of functional hypofrontality [186,187,188]. Experimental models similarly report region-specific reductions in glucose uptake across cortico-striatocerebellar networks [178,189]. The main structural, connectivity, and metabolic changes are summarised in Table 3.\nThe structural and functional changes summarised above provide a coherent overview of brain alterations associated with chronic cocaine exposure; however, their interpretation warrants careful consideration. Many findings stem from cross-sectional studies, which limit conclusions about progression over time, causality, or reversibility. Reductions in grey matter in prefrontal and temporal regions are among the most consistent observations, yet it remains unclear whether these reflect neurodegenerative processes, accelerated ageing, neurotoxicity, or pre-existing vulnerabilities. Cerebellar findings—although increasingly confirmed—derive from relatively small cohorts and varied methodologies. White-matter abnormalities identified through DTI likely result from a combination of factors, including cocaine itself, polysubstance use, lifestyle factors, and psychiatric comorbidities, making it difficult to attribute these changes solely to cocaine.\nResting-state network disturbances provide an important systems-level perspective, yet their functional significance remains uncertain because of analytical variability and the influence of state-dependent factors such as withdrawal or recent drug use. Metabolic imaging studies support the possibility of persistent hypofrontality, but it remains unclear whether reduced glucose metabolism reflects a stable trait marker, a reversible neuroadaptive state, or cumulative toxicity. Overall, although the convergence of structural, connectivity, and metabolic abnormalities enhances the plausibility of a cocaine-related cerebropathy, current evidence is insufficient to define a specific or progressive neuropathological entity. Rigorous longitudinal and multimodal research is crucial to elucidate these relationships.\nThe following advanced-phase description is not intended to imply a unified or inevitable neurodegenerative syndrome, but to explore a hypothetical extreme of cumulative vulnerability observed in a minority of cases.\nThe existing scientific literature increasingly reports associations between chronic cocaine use and a higher risk of developing motor and cognitive conditions that partially resemble recognised neurodegenerative disorders [167,190,191,192,193]. Although these findings do not establish a causal or consistent pattern, they have led to the hypothesis that long-term stimulant exposure may, in some predisposed individuals, contribute to processes that resemble or interact with neurodegenerative mechanisms affecting specific neural systems.\nThe proposed framework integrates the neurobiological effects of chronic cocaine exposure with pre-existing vulnerabilities—genetic, neurodevelopmental, vascular, inflammatory, or age-related—highlighting that neuroprogressive risk arises not solely from cocaine but from the interaction between stimulant exposure and baseline fragility.\nRegarding the motor aspect, chronic cocaine use has been linked to a range of abnormalities, from parkinsonian signs—such as rest tremor, rigidity, and bradykinesia—to cerebellar dysfunction, including ataxia, dysmetria, and dysarthria, and, in some cases, choreiform or choreoathetoid movements resembling those observed in established movement disorders [191].\nOn the cognitive–behavioural level, several reports have described an association between long-term cocaine use and an increased risk of conditions such as Alzheimer’s disease, dementia with Lewy bodies—characterised by cognitive fluctuations, visual hallucinations, and parkinsonism—and frontotemporal dementia, which is marked by impairments in executive function, behaviour, and language [194]. These clinical features are highly diverse, and their appearance cannot be solely attributed to cocaine exposure; however, the range of manifestations has led to speculation that, in some individuals, chronic use might contribute to a widespread and potentially progressive pattern of brain dysfunction.\nSuch dysfunction, if it occurs, likely results from a complex interplay of vulnerability factors, including genetic differences (such as dopaminergic polymorphisms, APOE variants, and synuclein-related variants), neurodevelopmental conditions (such as ADHD or autism spectrum disorders), cardiometabolic and systemic inflammatory states, infectious comorbidities (HIV/HCV), and patterns of cocaine use over time [195,196,197,198,199,200]. The convergence of these pre-existing vulnerabilities with the neurochemical, vascular, inflammatory, and structural effects of cocaine may, in some cases, create a state of heightened neurodegenerative susceptibility—a conceptual framework tentatively referred to here as cocaine-specific cerebropathy [150].\nIt is crucial to emphasise that this proposal requires careful epistemological consideration. The notion of a relatively defined or progressive clinical trajectory remains speculative, based on converging but not yet fully systematised observations. Available data currently suggest only that clinical evolution might, in a non-mandatory and highly variable manner, follow recognisable patterns, although significant interindividual variation is expected and definitive staging models cannot yet be established.\nThe following three-phase framework is not intended as a clinical staging system but as a heuristic tool to tentatively organise diverse clinical and biological data.\nIn the earliest stage of the proposed framework, the clinical presentation is characterised primarily by neuropsychiatric symptoms spanning a wide phenomenological spectrum. Mood symptoms may present as depressive, mixed, or hypomanic episodes, often accompanied by anhedonia, apathy, irritability, and affective lability. Anxiety-related issues are common, ranging from generalised anxiety to panic attacks and agoraphobic traits, and are accompanied by sleep disturbances and significant circadian dysregulation. Features resembling reward-deficiency states may be present, and in vulnerable individuals, transient or persistent psychotic symptoms or obsessive–compulsive phenomena have also been observed [201,202,203,204,205,206,207,208].\nAs with other central nervous system disorders, cocaine use disorder appears to have a recognisable psychopathological profile, plausibly linked to the stimulant’s effects on neural systems that regulate motivation, salience attribution, emotional processing, and executive functions. Limiting its description to craving, tolerance, and withdrawal risks underestimates the complexity of early neurofunctional dysregulation. Affective, anxious, psychotic, or obsessive–compulsive symptoms may not only be behavioural signs but also early indicators of circuit-level disruption [209,210]. This complexity can lead to diagnostic uncertainty or misinterpretation under the label of dual diagnosis. In some cases, such presentations might instead represent the initial phase of a neuroprogressive pathway, in which genetic, neurodevelopmental, or temperamental vulnerabilities interact with stimulant neurotoxicity, producing a hybrid clinical profile that challenges conventional nosological boundaries.\nDespite this heterogeneity, some degree of partial reversibility usually persists in the early stage. Emotional and cognitive symptoms may improve with integrated treatment programmes that combine pharmacological, psychotherapeutic, and psychoeducational interventions, alongside structured treatments for cocaine use disorder, provided sustained abstinence is maintained. Individuals with greater biological vulnerabilities—such as neurodevelopmental conditions, a family history of mood disorders, or cardiometabolic fragility—may show more limited reversibility, emphasising the importance of timely intervention to prevent progression to later stages.\nFrom a neurobiological perspective, this initial phase may reflect early yet significant disruption across several interconnected functional circuits. Early changes occur within reward and motivation systems—particularly the VTA–nucleus accumbens–prefrontal axis—where repeated cocaine exposure can induce a paradoxical functional pattern characterised by hypersensitivity to drug-related cues and reduced responsiveness to natural rewards. This may contribute to anhedonia, apathy, and craving [211,212,213,214,215]. Simultaneously, emerging dysfunction within the salience network—including the insular cortex and anterior cingulate cortex—may heighten negative interoceptive states and reduce attentional flexibility, fostering panic–agoraphobic phenomena and emotional lability [216,217,218].\nDysregulation of the hypothalamic–pituitary–adrenal axis is another potential contributor. Repeated cocaine-induced activation may lead to sustained increases in cortisol and impaired stress regulation, which could underpin emotional fragility, insomnia, dysphoria, and affective instability, and interact with dopaminergic and serotonergic changes [219,220,221,222]. Early neurochemical changes may include dopaminergic hyperactivity, followed by receptor downregulation and tonic hypoactivity, coupled with serotonergic and noradrenergic disruptions that affect mood, anxiety, and stress responsivity [223,224].\nThese neurochemical changes may intersect with early mechanisms that help explain the emergence of psychotic or obsessive–compulsive symptoms, even in the absence of a formal dual diagnosis. Sensitisation of the mesolimbic dopamine system may increase salience attribution and weaken top-down prefrontal regulation [225,226], while disturbances within cortico–striato–thalamo–cortical loops may contribute to intrusive or repetitive cognitive–behavioural patterns characteristic of obsessive–compulsive psychopathology [227,228,229]. Together, these disturbances may influence stimulus selection, sensory gating, and cognitive filtering, fostering neurobiological conditions that could predispose individuals to psychotic-like or obsessive–compulsive–like phenomena [230,231,232].\nNeuroimaging studies suggest that even in early stages of chronic exposure, subtle structural alterations may emerge in regions vulnerable to oxidative stress, excitotoxicity, and dopaminergic dysregulation. These changes appear to follow a gradient across prefrontal, limbic, striatal, and cerebellar systems, mirroring early affective, anxious, executive, and psychotic-like or obsessive–compulsive–like symptoms. Early involvement of the dorsolateral and ventromedial prefrontal cortex has been reported, with cortical thinning and reduced grey matter volume correlating with impulsivity, emotional dysregulation, and diminished top-down control [116,162]. Reductions in hippocampal volume, possibly linked to impaired neurogenesis and early memory issues, have also been observed [165], along with increased amygdala reactivity that contributes to anxiety, irritability, and negative salience attribution [214].\nAltered white-matter microstructure in major associative tracts—including the superior longitudinal fasciculus and corpus callosum—may reflect early disruption of large-scale network integration and has been linked to executive and attentional vulnerabilities [173,174]. Subtle abnormalities in the caudate, putamen, and orbitofrontal cortex further suggest early impairment of cortico–striato–thalamo–cortical loops involved in psychotic and obsessive–compulsive phenomena [114,116]. Emerging findings also point to cerebellar involvement, including reduced grey matter volume and altered cerebello-prefrontal connectivity, which may contribute to emotional dysmetria, timing disturbances, and early cognitive disorganisation [161,233].\nTaken together, these converging observations tentatively suggest that early-stage cocaine-related brain dysfunction may follow a recognisable pattern, aligning with the emerging clinical phenotype and, in some individuals, potentially foreshadowing subsequent cognitive, behavioural, and neuropsychiatric decline.\nAlthough the early-phase framework provides a useful interpretative structure, several methodological considerations limit the strength of causal inference. Much of the evidence derives from cross-sectional neuroimaging, preclinical models, or clinical samples characterised by polysubstance use, psychiatric comorbidity, and variable durations of abstinence—all factors that make it difficult to attribute effects specifically to cocaine. Structural or functional abnormalities linked to early symptoms may predate cocaine exposure, reflecting pre-existing vulnerabilities rather than early neuroprogressive changes. Additionally, neuroimaging alterations in prefrontal, limbic, striatal, and cerebellar circuits are not unique to stimulant exposure and overlap with patterns seen in mood, anxiety, and other substance use disorders. The idea that these clinical and neurofunctional features represent an initial stage of a broader degenerative vulnerability remains plausible but unproven, particularly in the absence of longitudinal studies capable of demonstrating progression or staging. Therefore, the early-phase model should be viewed as a heuristic framework that requires further empirical validation rather than as a definitive clinical concept.\nAs cocaine exposure becomes more prolonged, the clinical course may progress to an intermediate phase characterised by a more noticeable and identifiable decline in executive functioning, sensorimotor integration, and behavioural regulation. This stage appears to result from an interaction among pre-existing vulnerabilities, accumulated toxicological effects, and neuroprogressive processes likely initiated in the earlier phase. Executive dysfunction often becomes the dominant feature, with gradual impairments in sustained attention, cognitive flexibility, planning, organisation, judgement, and decision-making. These deficits seem to reflect the progressive weakening of fronto–striato–limbic circuits, with diminished top–down prefrontal control occurring alongside heightened limbic responsivity and reduced capacity for internal and external regulation. Individuals with neurodevelopmental vulnerabilities, especially ADHD, may experience an earlier or more severe transition, as cocaine’s disruptive effects further destabilise already less resilient executive networks, thereby fostering impulsivity, disinhibition, and impaired self-regulation.\nIn parallel, subtle neurological signs may emerge, including clumsiness, fine motor difficulties, mild incoordination, postural instability, and generalised slowing of movement. With ongoing exposure, these subtle signs can progress to more overt motor problems, such as bradykinesia, low-frequency tremor, intermittent rigidity, dyskinesias, or choreo-athetoid movements, together with early cerebellar signs such as dysmetria, ataxia, and scanning dysarthria. These clinical findings align with reports of decreased cerebellar grey matter volume and impaired fronto–striatal structural connectivity in chronic cocaine users [234,235].\nA clinically relevant phenomenon in this phase is heightened sensitivity to extrapyramidal side effects from dopamine D2-blocking agents. Individuals may develop rigidity, tremor, or dystonic reactions at unusually low doses—even after minimal exposure—suggesting reduced functional reserve in the nigrostriatal dopamine system. This hypothesis is supported by imaging evidence of decreased striatal D2/D3 receptor availability and impaired dopaminergic tone in chronic cocaine users [171,190,236]. Overall, these manifestations suggest that this intermediate phase may represent a measurable step in a broader neuroprogressive trajectory, with executive dysfunction, emerging motor abnormalities, cerebellar signs, and hypersensitivity to dopaminergic interference reflecting increasing disruption of fronto–striato–thalamo–cortical networks.\nFrom a neurobiological perspective, this stage appears to consolidate and extend the tentative changes observed earlier. Dopaminergic signalling across fronto–striatal and nigrostriatal pathways may deteriorate further, with imaging studies reporting decreased D2/D3 receptor availability, reduced prefrontal regulatory control, and progressive disinhibition of motor and limbic loops. These changes may reflect a shift from predominantly phasic dopaminergic responses to disorganised tonic states, weakening inhibitory control and contributing to impulsivity, emotional instability, and motor dysregulation.\nCerebellar involvement may also become more prominent. Contemporary models emphasise the cerebellum’s role in predictive coding, timing, and cognitive regulation. Structural and functional studies indicate reduced cerebellar grey matter and disrupted dentato–thalamo–cortical connectivity in chronic cocaine use, which may contribute to postural instability, impaired fine motor coordination, dysmetria, and deficits in temporal and sensory prediction.\nGlutamatergic signalling may also become increasingly dysregulated, with reduced efficiency of prefrontal glutamatergic projections and heightened vulnerability to excitotoxicity in striatal and thalamic targets. This dysregulation could promote compulsive motor patterns, repetitive behaviours, and cognitive rigidity, consistent with evidence of altered glutamate homeostasis and corticostriatal connectivity [237]. Persistent dysregulation of the hypothalamic–pituitary–adrenal axis may additionally contribute to emotional volatility, irritability, and impaired impulse control, as repeated cocaine-induced activation maintains elevated cortisol levels and heightened circulatory stress reactivity [238].\nStructural neuroimaging provides convergent evidence for these neurofunctional dynamics. Progressive thinning of dorsolateral, ventromedial, and orbitofrontal prefrontal regions, loss of hippocampal volume, increased amygdala dysregulation, and deterioration of white matter integrity within associative tracts—including the superior longitudinal fasciculus and corpus callosum—suggest an evolving disconnection syndrome affecting executive, motor, and interhemispheric integration [239,240]. Microstructural changes in the basal ganglia and pallidal circuitry have been associated with bradykinesia, tremor, rigidity, and choreo–athetoid movements, while additional cerebellar volumetric loss and impaired cerebello–thalamo–cortical coupling may contribute to timing deficits and cognitive disorganisation [234].\nOverall, the intermediate phase may reflect a neural system gradually losing coherence and regulatory accuracy. The combined deterioration of dopaminergic, cerebellar, glutamatergic, and stress-regulatory mechanisms indicates an increasingly unstable network structure—one that struggles to sustain cognitive control, emotional balance, and motor coordination, potentially setting the stage for more widespread involvement in later stages.\nWhile the framework introduced above offers a structured interpretation of a potential intermediate stage in cocaine-related neuroprogression, several limitations constrain the strength and specificity of the current evidence. Most findings derive from cross-sectional neuroimaging studies, small clinical samples, or preclinical models, each with notable methodological limitations. Many participants in human studies have polysubstance use, psychiatric comorbidities, or medical conditions that independently affect executive functions, motor systems, and white matter integrity, making it difficult to attribute changes solely to cocaine. Moreover, the structural and functional abnormalities described—such as prefrontal thinning, white matter degradation, basal ganglia alterations, and cerebellar involvement—are not unique to cocaine use and are also observed in mood disorders, ADHD, trauma, and other substance use disorders.\nCritically, the proposed trajectory remains hypothetical, as longitudinal investigations have not demonstrated progression from early to intermediate phases or established reversibility, inevitability, or prognostic significance. Interindividual variability is substantial, and only a subset of individuals may follow patterns resembling those described. Accordingly, the intermediate-phase model should be viewed as a heuristic framework intended to stimulate further mechanistic research rather than a formal staging system. Rigorous longitudinal, multimodal, and mechanistically informed studies will be essential before firmer conclusions can be drawn about the nature, distribution, or clinical significance of this proposed intermediate phase.\nWith prolonged exposure to cocaine spanning years or decades, some individuals may develop widespread multisystem impairment that appears to reflect extensive neuronal and synaptic dysfunction. In this hypothesised advanced stage, cognitive decline may become widespread, affecting episodic and semantic memory, suggesting involvement of the hippocampal and entorhinal regions. Visuospatial disturbances—such as impaired spatial orientation, depth perception, and constructional skills—may arise from disruptions within parietal and occipito–parietal networks. Language abilities may decline, with difficulties in naming, understanding complex sentences, and, in some cases, changes in prosody and discourse organisation, indicating combined frontal and temporal cortical impairment. Executive dysfunction, reduced cognitive flexibility, working-memory issues, and diminished verbal fluency may coalesce into a broader dysexecutive syndrome. Procedural memory may decline alongside increasing apathy and social withdrawal, leading to a progressive loss of functional autonomy. Psychiatric symptoms—including persistent psychotic features or obsessive–compulsive phenomena—may appear or worsen, reflecting altered salience attribution, disrupted gating mechanisms, and compromised fronto–striato–thalamo–cortical organisation. As in earlier stages, premorbid vulnerability seems to play a key role: individuals with genetic risk factors for neurodegenerative disease (e.g., APOE ε4 or synuclein-related variants), neurodevelopmental conditions, chronic systemic inflammation, or previous traumatic or infectious CNS insults may experience earlier or more severe deterioration.\nFrom a neurobiological perspective, this advanced phase may involve a widespread decline in homeostatic capacity across multiple neurotransmitter and cellular systems. Progressive dopaminergic dysfunction may co-occur with degeneration of mesolimbic and nigrostriatal pathways, reductions in D2/D3 receptor signalling, impaired reward processing, and compromised motor control. Serotonergic imbalance within raphe–basal ganglia–prefrontal pathways could contribute to affective flattening, irritability, and increased vulnerability to psychotic episodes. Chronic oxidative stress, mitochondrial dysfunction, and neuroinflammation—often associated with long-term stimulant use—may induce microglial activation and sustained cytokine release, creating a low-grade inflammatory environment resembling mechanisms observed in Parkinson’s disease, dementia with Lewy bodies, and certain forms of frontotemporal degeneration. In some individuals, prolonged cocaine use may interact with dopaminergic vulnerability to promote α-synuclein misfolding or accumulation within midbrain circuits, potentially leading to parkinsonian or mixed degenerative conditions.\nStructurally, advanced cases may show widespread atrophy of the frontal, temporal, and parietal cortices, together with progressive degeneration of the hippocampal and limbic regions, which are linked to memory impairment, emotional dysregulation, and apathy. Subcortical structures—including the caudate, putamen, globus pallidus, and thalamus—may show microstructural deterioration consistent with the gradual disintegration of motor and associative circuits. Reduced integrity and metabolic compromise in the ventral tegmental area and nucleus accumbens may accompany these changes. Cerebellar involvement—with significant loss in the vermis and lateral hemispheres and disrupted cerebellum–thalamus–cortical connectivity—may contribute to dysmetria, ataxia, altered motor timing, and cognitive disorganisation. Diffusion tensor imaging may reveal marked reductions in fractional anisotropy across major white-matter tracts—including the corpus callosum, superior longitudinal fasciculus, and fronto–striatal projections—indicating interhemispheric disconnection and progressive breakdown of executive–motor integration. Ventricular enlargement may be observed at advanced stages, reflecting overall parenchymal reduction.\nIn summary, this advanced-stage formulation offers a cautious, hypothetical account of how long-term neurofunctional dysregulation in chronic cocaine use might progress to widespread neuronal impairment in some individuals. Although individual variation remains substantial, available descriptions suggest a slow, progressive decline in cognitive, behavioural, and motor functions that could ultimately lead to serious disability and a diminished quality of life. Clarification of diagnosis at this stage usually involves integrated neuropsychological, neurological, and neuroimaging assessments, while treatment is mainly supportive. Therefore, prevention and early detection are essential, and future research must focus on identifying early biomarkers and developing strategies to modify or potentially halt the neuroprogressive processes linked to chronic stimulant use.\nThe advanced-phase framework outlined above should be approached with caution, as the supporting evidence remains incomplete, indirect, and often drawn from diverse methodological sources. Much of the information comes from case reports, small clinical samples, cross-sectional imaging studies, or extrapolations from preclinical research, rather than long-term studies that can clearly demonstrate neurodegenerative progression linked to chronic cocaine use. Patterns of widespread cortical and subcortical atrophy, extensive white-matter damage, and overall cognitive decline are not unique to cocaine use and are commonly seen in other neuropsychiatric, metabolic, and vascular conditions. Additionally, polysubstance use, medical comorbidities, nutritional issues, and episodes of anoxia or cerebrovascular events make it more difficult to identify cocaine’s specific role in the brain changes observed in later stages.\nIt remains unclear whether the described impairments represent a coherent progression or occur only in a highly vulnerable minority with pre-existing genetic, developmental, or systemic risk factors. The possibility that some late-stage features are due to accelerated ageing, cumulative lifestyle effects, or indirect consequences of chronic illness cannot be ruled out. Therefore, the concept of an advanced stage should currently be treated as a hypothesis rather than a validated clinical entity. Robust longitudinal, multimodal, and mechanistically grounded research will be crucial before confirming the existence, prevalence, or defining features of this potential late phase of cocaine-related neuroprogression.\nManaging neurodegenerative vulnerability in individuals with chronic cocaine use is a complex clinical challenge, requiring a coordinated, highly personalised approach. Neuropsychiatric symptoms—such as mood instability, anxiety, sleep disturbances, emerging memory issues, and executive dysfunction—may mimic primary psychiatric disorders, complicating diagnosis. At the same time, cocaine use disorder exhibits its own distinct psychopathology, ranging from depressive and anxious symptoms to panic episodes, psychosis, and significant behavioural dysregulation, often masking early signs of a broader neuroprogressive process. In individuals with reduced neural reserve, multimorbidity, or pre-existing biological vulnerabilities, susceptibility to cocaine-related neurotoxicity may be heightened, emphasising the importance of comprehensive assessment covering psychiatric, neurological, and neuropsychological aspects.\nComplete abstinence from cocaine forms the essential basis for all subsequent therapeutic strategies. Achieving abstinence usually involves a combination of psychosocial and pharmacological measures. Individual and group counselling, together with participation in structured support programmes, can enhance insight, reduce relapse risk, and support stress regulation [214,238]. Although no pharmacological agent is formally approved for cocaine use disorder, several compounds have shown partial or context-dependent benefits. Psychostimulants such as methylphenidate or lisdexamfetamine may help stabilise dopaminergic tone in individuals with co-occurring ADHD, while bupropion and ropinirole have demonstrated variable effects on craving. Among glutamatergic and GABAergic interventions, topiramate has been linked to reductions in craving intensity, and N-acetylcysteine may support glutamate homeostasis and help mitigate compulsive use patterns. Evidence suggests that alcohol use disorder is associated with disruption of glutamatergic homeostasis, contributing to relapse vulnerability and impaired impulse control. N-acetylcysteine (NAC), a precursor of glutathione capable of modulating glutamate transmission, has been shown in preclinical models to reduce relapse-like alcohol consumption and improve impulse control without significantly affecting overall alcohol intake or motivation to drink. These findings support the hypothesis that NAC primarily acts on neurobiological mechanisms related to relapse prevention and behavioural regulation rather than on reward processes directly. Given its antioxidant properties and its role in restoring neurochemical balance, NAC has emerged as a potential adjunctive treatment in addiction and other neuropsychiatric conditions characterised by impaired glutamatergic regulation, although further clinical validation remains necessary [241,242].\nPharmacological decisions require particular caution. Long-standing stimulant exposure may be associated with reduced striatal dopaminergic reserve, early motor abnormalities, or heightened sensitivity to dopaminergic interference [171,190]. Antipsychotics with high D2-blocking affinity may therefore exacerbate bradykinesia, rigidity, or executive dysfunction, and their use should be restricted to situations of clear necessity, preferably selecting agents with lower D2 occupancy. SSRIs may likewise require careful titration, as they can worsen anhedonia or disrupt reward processing in individuals with compromised mesocorticolimbic signalling. When affective instability prevails, mood stabilisers such as lamotrigine, valproate, or low-dose lithium may be more suitable.\nManagement of cognitive, neurological, and behavioural sequelae is increasingly important in the context of emerging neuroprogressive patterns. When present, cognitive decline predominantly affects executive function, attention, processing speed, and working memory rather than a primary amnestic profile. Management should therefore focus on neuropsychological rehabilitation to enhance compensatory strategies, promote neuroplasticity, and preserve functional autonomy. In selected cases with mixed or subcortical-like cognitive features, cholinesterase inhibitors may be considered symptomatically; however, their use should not be interpreted as targeting a primary cholinergic deficit, as evidence for cholinergic degeneration in cocaine-related cognitive impairment remains limited. Motor coordination and balance difficulties—particularly when cerebellar involvement is suspected—may benefit from targeted physiotherapy and occupational therapy.\nLifestyle and medical optimisation are key components of the therapeutic framework. A balanced diet, tailored physical activity, proper sleep hygiene, structured stress-reduction strategies, and careful management of cardiometabolic risk factors may confer vital protective effects on neural systems already experiencing chronic dysregulation.\nIn summary, managing cocaine-related neuroprogressive vulnerability requires a multidimensional, coordinated, and carefully tailored clinical approach. Early identification of patterns potentially linked to prolonged cocaine use, together with timely intervention, may help reduce functional decline. An integrated strategy that combines psychosocial support, carefully selected pharmacotherapies, neurorehabilitation, and structured education for patients and their families provides the most cohesive framework for maintaining function and quality of life in this vulnerable group. A structured overview of these therapeutic methods is presented in Table 4.\n\n\n### 3.1. Neurochemical Mechanisms of Cocaine Action and Modulators of Individual Vulnerability\nCocaine acts through a complex interplay of neurochemical, vascular, metabolic, and inflammatory mechanisms [2]. These acute and chronic actions interact with pre-existing biological vulnerabilities, resulting in diverse trajectories of brain dysfunction and potential neurodegeneration. Individual susceptibility is shaped by genetic predispositions, neurodevelopmental differences, age, cardiometabolic and cerebrovascular risks, immune status (including HIV infection), traumatic brain injury, and polysubstance exposure.\nCocaine is a potent, non-selective inhibitor of the dopamine (DAT), norepinephrine (NET), and serotonin (SERT) transporters, leading to a rapid build-up of extracellular monoamines within fronto–striato–limbic circuits. Emerging evidence also suggests this may occur within cerebellar pathways [32,33,34,35]. These acute disturbances underpin cocaine’s reinforcing properties and create conditions that could destabilise circuits, potentially resulting in neurotoxic processes in vulnerable individuals.\nCocaine’s primary dopaminergic effects arise from DAT inhibition, resulting in prolonged hyperstimulation across mesolimbic, mesocortical, and nigrostriatal pathways [36,37,38,39]. Although direct dopaminergic projections to the cerebellum are relatively sparse, preclinical studies indicate potential dopaminergic modulation of cerebellar plasticity and motor–cognitive integration [32]. These findings are preliminary, but they suggest that dopaminergic stress may extend beyond traditionally implicated networks.\nIn serotonergic and noradrenergic systems, cocaine increases monoaminergic activity by blocking SERT and NET [40,41,42,43,44]. Alterations in 5-HT2A/5-HT2C signalling contribute to hyperlocomotion, compulsive drug seeking, and autonomic dysregulation, while increased noradrenergic activity heightens arousal and cardiovascular stress. Although less well understood, serotonergic and noradrenergic projections to the cerebellum suggest that monoaminergic effects may extend beyond cortical and limbic regions, particularly in individuals with existing vulnerabilities [45,46,47].\nCocaine also interacts with Sigma-1 receptors (Sig-1R), which regulate calcium signalling, synaptic plasticity, and neuroimmune responses [48,49,50,51]. Sig-1R expression is observed in both cortical and subcortical regions, and in some studies within cerebellar tissue [52]. Although the functional importance of cerebellar Sig-1R activation remains unclear, its potential role is consistent with broader sigma-mediated stress pathways.\nCocaine further disrupts glutamate homeostasis by altering NMDA receptor subunits and impairing glutamate clearance [53,54]. This leads to hyperexcitability, increasing susceptibility to excitotoxic injury—a pathway implicated in several neurodegenerative disorders. The cerebellum, which relies heavily on glutamatergic transmission, may also be at risk, although direct human evidence remains limited.\nFurthermore, cocaine affects the endogenous opioid system by activating μ- and κ-opioid receptors, which modulate reward, stress responses, and dysphoria during withdrawal [55,56,57]. The presence of opioid receptors within cerebellar networks suggests potential, yet not fully examined, effects on both emotional and motor control.\nBeyond its effects on neurotransmission, cocaine blocks voltage-gated sodium channels, increasing the risk of seizures and altering neuronal excitability.\nAt the vascular level, sodium and calcium channel blockade, together with potent vasoconstriction, increases the risk of ischaemic and cerebrovascular events, with secondary effects on metabolically vulnerable brain regions [58].\nThese neurochemical mechanisms do not operate in isolation but intersect with vulnerability factors that shape both acute responses and long-term trajectories. Neurodevelopmental disorders such as ADHD or ASD may delay cortical maturation and reduce neural resilience; genetic variants can amplify dopaminergic or glutamatergic toxicity; cardiometabolic and immunological comorbidities increase oxidative and vascular burdens; traumatic brain injury and polysubstance use further diminish compensatory capacity. Although less well characterised, similar dynamics may affect cerebellar vulnerability, particularly in individuals with pre-existing neurodevelopmental or vascular fragility.\nTaken together, the mechanisms described outline a broad and interacting set of neurochemical, vascular, metabolic, and inflammatory pathways through which cocaine may exert acute and long-term effects on brain function. Our interpretative appraisal underscores that the evidence for dopaminergic, serotonergic, noradrenergic, and glutamatergic contributions to cocaine-related neurotoxicity is comparatively strong. In contrast, proposed roles for cerebellar monoaminergic modulation, Sigma-1 receptor signalling, and cerebellar opioid mechanisms remain preliminary, derived largely from early-stage or preclinical investigations [59,60,61,62,63,64].\nSimilarly, while vulnerability factors—including neurodevelopmental conditions (not only neurodevelopmental conditions but also other psychiatric vulnerabilities, including psychotrauma), cardiometabolic burden, HIV infection, traumatic brain injury, and polysubstance exposure—offer a plausible framework for differential susceptibility, the causal pathways linking these factors to specific neuroprogressive or degenerative outcomes remain insufficiently defined. Although excitotoxicity, oxidative stress, and neuroinflammation are well-established consequences of stimulant exposure, their capacity to induce sustained or degenerative changes in humans has yet to be conclusively demonstrated.\nOverall, the current synthesis supports a neuroprogressive risk hypothesis rather than a confirmed neurodegenerative trajectory, underscoring the need for longitudinal, multimodal research before establishing a comprehensive model of cocaine-related neurodegeneration.\nThe overall organisation of these interacting mechanisms is shown in Figure 1.\nThe main neurotransmitter systems involved in cocaine exposure, along with their associated vulnerability profiles, are summarised in Table 1.\n\n\n### 3.2. Neuropathophysiological Mechanisms Underlying Cocaine-Specific Cerebropath\nChronic cocaine exposure appears to trigger a range of neurochemical, vascular, metabolic, and inflammatory mechanisms that may act as causal, accelerating, or anticipatory factors in neurodegenerative-like processes. These mechanisms could give rise to diverse clinical phenotypes, shaped by patterns and duration of use as well as the individual’s baseline neurobiological resilience. Vulnerability to cocaine-related brain injury is thus unlikely to be uniform; instead, it seems to reflect a complex interplay between long-term stimulant exposure and pre-existing biological vulnerabilities, including genetic predispositions, age-related neural fragility, cardiometabolic and vascular risks, infectious conditions such as HIV, traumatic brain injury, neurodevelopmental disorders, and polysubstance use. Each of these factors may lower the threshold for neuronal dysfunction, and, when combined with cocaine’s neurotoxic effects, could hasten neurodegenerative trajectories.\nWithin this tentative conceptual framework, a cocaine-specific cerebropathy can be described as arising through two main interconnected pathophysiological routes. The first involves fronto–striato–limbic dopaminergic imbalance, in which sudden monoaminergic increases are followed by presynaptic and postsynaptic neuroadaptations that may gradually impair dopamine signalling, synaptic stability, and neuronal health. The second involves a broader neurotoxic cascade linked to oxidative stress, mitochondrial dysfunction, excitotoxicity, neuroinflammation, impaired vesicular monoamine storage, and vascular issues, which may lead to multifocal structural and functional changes.\nThese proposed pathways appear to converge on neural regions characterised by high metabolic demand, dense synaptic architecture, or prolonged developmental timelines. Late-maturing structures—including the prefrontal cortex, associative cortices, striatal loops, limbic regions, and possibly cerebellar networks—may therefore be particularly vulnerable. This vulnerability may be further heightened in individuals with neurodevelopmental conditions such as ADHD, where delayed cortical maturation, atypical synaptic pruning, and fronto-striatal dysconnectivity might reduce compensatory capacity and increase susceptibility to neurotoxic, inflammatory, or vascular insults.\nTaken together, the interaction between chronic cocaine use and antecedent vulnerability factors suggests a multiple-hit model in which neurochemical dysregulation and limited neural resilience may jointly increase susceptibility to neurodegenerative-like outcomes. These dynamics provide a potential framework for conceptualising the pattern of cerebral involvement tentatively described as cocaine-specific cerebropathy.\nAmong the neurochemical systems potentially affected by cocaine, alterations in dopaminergic signalling are often regarded as a key factor linking immediate reinforcement processes with long-term neuroadaptations and, in some cases, suspected neurodegenerative pathways. Cocaine primarily targets dopamine-rich circuits connecting the ventral tegmental area, nucleus accumbens, prefrontal cortex, and dorsal striatum, producing rapid increases in extracellular dopamine, followed by a series of compensatory adjustments. In this context, it is important to distinguish between immediate responses driven by dopamine transporter (DAT) blockade and long-term adaptations involving presynaptic, postsynaptic, mitochondrial, and structural changes when considering the hypothesis of cocaine-specific cerebropathy [65,66].\nCocaine acutely inhibits DAT, causing rapid increases in extracellular dopamine in striatal and cortical regions [67]. This elevation enhances activation of D1- and D2-like receptors and is widely regarded as central to cocaine’s euphoric and reinforcing properties [68,69]. Blockade of SERT and NET further boosts serotonergic and noradrenergic tone, influencing mood, arousal, autonomic responses, and the significance attributed to drug-related cues [70,71,72]. Preclinical findings also suggest that cocaine might modulate dopamine receptor signalling, including possible allosteric enhancement of D2 receptor activity, although these mechanisms are less clearly understood in humans [73]. The resulting transient hyperdopaminergic state is characterised by increased reward sensitivity and psychomotor activation. Individuals with genetic variants, neurodevelopmental traits, or prior stimulant exposure may experience greater destabilisation under these conditions [74,75]. These initial responses might represent an early step in a broader series of dopaminergic changes.\nRepeated cocaine exposure appears to induce more persistent neuroadaptations in fronto–striato–limbic circuits. Increased striatal DAT binding observed in post-mortem and imaging studies is considered a compensatory response to recurrent transporter blockade [76,77]. Reduced D2/D3 receptor availability, consistently reported in PET studies of individuals with cocaine dependence, has been linked to impulsivity, compulsive drug seeking, and decreased responsiveness to natural rewards [78,79,80]. At the intracellular level, chronic cocaine exposure has been associated with mitochondrial dysfunction, oxidative stress, and heightened vulnerability to metabolic injury [81,82,83]. Additional transcriptional and structural changes affecting dendritic spine density and synaptic organisation within medium spiny neurons have also been documented [84,85,86,87]. Overall, these findings indicate a shift towards a dysregulated, often hypodopaminergic state that may increase susceptibility to neurotoxic processes in vulnerable individuals.\nPresynaptic adaptations include evidence of DAT up-regulation, with post-mortem and animal studies reporting enhanced dopamine uptake capacity after chronic exposure [88,89,90,91]. Increased α-synuclein expression has also been observed in midbrain dopaminergic neurons and striatal synaptosomes [92,93,94,95,96], raising the possibility that cocaine may influence protein systems involved in dopamine regulation. Experimental studies suggest that α-synuclein may modulate DAT trafficking and intracellular dopamine handling, potentially fostering oxidative stress and reducing neuronal resilience [97,98,99]. Findings from synucleinopathy models further indicate that increased α-synuclein burden can disrupt firing properties, calcium dynamics, dopamine release, and neuronal morphology [100,101], supporting cautious consideration of α-synuclein as a possible contributor to neurodegenerative vulnerability in the context of chronic stimulant exposure [97,102].\nPostsynaptic adaptations have also been observed, particularly decreases in D2/D3 receptor availability that persist during abstinence and may reflect attempts to reduce excessive dopaminergic stimulation [78,79,103,104,105,106]. These changes have been linked to anhedonia, impulsivity, compulsive drug seeking, and reduced cognitive control [80,107,108]. Early imaging studies suggest that similar adaptations might occur outside traditional dopaminergic networks, with reports of cerebellar structural and connectivity alterations in chronic users [32,33,109,110,111,112], although the evidence remains preliminary.\nStructural imaging studies have also reported putaminal hypertrophy in some individuals with chronic cocaine use [113,114,115]. This enlargement has been interpreted as reflecting compensatory or maladaptive plasticity within basal ganglia circuits. Further investigations have identified region-specific striatal increases alongside cortical and cerebellar reductions [116,117,118]. These changes may reflect dendritic arborisation, synaptic reorganisation, or glial responses, although their functional significance remains uncertain. Some studies have linked putaminal alterations to dyskinesias, stereotyped behaviours, and impaired motor or cognitive control [119,120].\nTaken together, these mechanisms provide a broad but necessarily provisional explanation of how dopaminergic changes might develop during both acute and chronic cocaine use. While the synthesis offers a clear, hypothesis-driven framework that incorporates presynaptic, postsynaptic, mitochondrial, and structural findings, the supporting evidence remains inconsistent. Much of the data on α-synuclein dynamics, mitochondrial dysfunction, cerebellar involvement, and putaminal hypertrophy come from preclinical or cross-sectional studies, limiting the ability to establish causal or progressive relationships. Even well-established findings, such as reductions in D2/D3 receptor availability, cannot yet be assumed to indicate neurodegeneration rather than reversible or fluctuating neuroadaptation. Therefore, applying cellular and animal observations to human pathology requires ongoing caution, especially when considering multi-hit models that combine acute dopaminergic surges, long-term adaptations, and individual vulnerability factors. For these reasons, the current synthesis should be regarded as an interpretative framework rather than a definitive account of dopaminergic pathology in chronic cocaine use.\nRegarding the social aspect of cocaine addiction, social dominance hierarchy position influences brain dopamine D2 receptors and the reinforcing effects of cocaine. Experimental evidence from rodent and non-human primate models indicates that social hierarchy is closely associated with dopaminergic regulation and with differential vulnerability to psychopathology and substance-related behaviours. In isogenic mouse models, individual sociability predicted subsequent social rank, suggesting that pre-existing behavioural traits contribute to the emergence of social organisation. Once hierarchy was established, higher-ranked animals displayed a behavioural profile characterised by increased anxiety, enhanced working memory performance, reduced dopaminergic activity within the ventral tegmental area, diminished behavioural responsiveness to cocaine, and reduced susceptibility to depressive-like phenotypes following repeated social stress. Both pharmacogenetic inhibition of midbrain dopaminergic neurons and genetic disruption of glucocorticoid receptor signalling in dopamine-sensitive brain regions facilitated access to higher social ranks, indicating that the interaction between dopaminergic tone and stress-related neuroendocrine mechanisms plays a central role in shaping social structure and associated behavioural outcomes. Comparable findings have been observed in primate studies, where social status has been shown to modulate dopamine D2/D3 receptor availability and behavioural sensitivity to cocaine. Reorganisation of social groups in cynomolgus monkeys resulted in increased D2/D3 receptor availability in previously subordinate animals who attained dominant status, suggesting that the social environment exerts a plastic influence on dopaminergic function consistent with mechanisms of environmental enrichment. Although overall cocaine self-administration rates did not directly follow social rank after reorganisation, the reinforcing potency of cocaine was reduced in most subjects, indicating a shift in reward sensitivity. Further PET imaging studies demonstrated that social housing selectively increased D2 receptor availability in dominant monkeys and reduced cocaine reinforcement compared with subordinate animals, supporting the notion that environmental and social factors can induce neurobiological adaptations that influence addiction vulnerability [121,122,123,124].\nTaken together, these findings support a model in which social environment and hierarchical position interact with dopaminergic signalling and stress-related pathways to modulate behavioural strategies, stress resilience, and susceptibility to substance use disorders. Social status thus emerges not merely as a behavioural outcome but as a biologically embedded condition capable of shaping reward processing and psychopathological risk.\nCurrent experimental evidence indicates that the reinforcing properties of psychostimulants cannot be fully explained by dopaminergic mechanisms alone, although enhancement of dopamine neurotransmission within mesolimbic structures—particularly the nucleus accumbens—remains central. Cocaine and amphetamine-like substances increase extracellular dopamine primarily through dopamine transporter-mediated mechanisms, including reverse transport and inhibition of reuptake. However, converging data suggest that additional non–dopamine transporter-mediated processes substantially contribute to both behavioural activation and reward-related effects. In particular, psychostimulant-induced increases in noradrenergic transmission within the prefrontal cortex appear capable of modifying the firing patterns of midbrain dopaminergic neurons, thereby altering action potential-dependent dopamine release. These changes influence the temporal dynamics of dopamine signalling in the nucleus accumbens, with consequent effects on synaptic integration and plasticity, as dopaminergic modulation of synaptic inputs depends critically on the timing of dopamine release relative to afferent activity.\nLong-term exposure to drugs of abuse further induces enduring neurochemical adaptations involving interactions between noradrenergic and serotonergic systems. Repeated administration of cocaine, amphetamine, morphine, or alcohol has been shown to disrupt the reciprocal regulatory relationship between these two neuromodulatory systems, producing persistent sensitisation of both noradrenergic and serotonergic neuronal responses. This process appears to depend on alpha1b-adrenergic and 5-HT2A receptor signalling, as pharmacological blockade of these receptors prevents the development of sensitisation. Notably, similar neurochemical changes are not observed after repeated exposure to non-addictive antidepressants or selective dopamine reuptake inhibitors, suggesting that these adaptations are not solely attributable to increased dopaminergic transmission. These findings support the hypothesis that uncoupling between noradrenergic and serotonergic modulation is a shared neurochemical consequence of repeated exposure to addictive substances and may contribute to long-term vulnerability to relapse.\nBehavioural sensitisation models in rodents further support this framework. Repeated psychostimulant exposure produces persistent locomotor sensitisation, accompanied by enhanced cortical norepinephrine release and increased serotonergic reactivity, effects that may persist long after drug discontinuation. Loss of reciprocal inhibition between noradrenergic and serotonergic systems is associated with increased dopaminergic responsiveness and heightened behavioural reactivity to subsequent drug exposure. Importantly, similar mechanisms have been proposed to operate under chronic stress, suggesting that the neurochemical reorganisation induced by repeated drug exposure may overlap with stress-related pathways implicated in the development of psychiatric disorders. Overall, these findings support a multidimensional model of addiction in which dopaminergic reinforcement is embedded within a broader network involving noradrenergic and serotonergic regulation, synaptic plasticity, and stress-related neuroadaptations [125,126,127].\nChronic cocaine use has been linked to a range of alterations that overlap with the pathological mechanisms observed in several major neurodegenerative disorders, particularly through common pathways of mitochondrial dysfunction and oxidative stress. Experimental results in rodent and cell models suggest that cocaine may increase the production of reactive oxygen species (ROS), impair mitochondrial dynamics, and disrupt bioenergetic homeostasis, particularly within the nucleus accumbens and striatum. These changes can enhance neuronal vulnerability and lead to cell death [82,128,129]. Such observations mirror mechanisms central to neurodegenerative diseases such as Parkinson’s disease, Alzheimer’s disease, Huntington’s disease, and amyotrophic lateral sclerosis, where deficiencies in mitochondrial respiration—particularly at complex I—result in excessive ROS formation, redox imbalance, and progressive neuronal degeneration [130,131,132,133].\nWithin this framework, oxidative stress appears to interact with other processes relevant to cocaine-specific cerebropathy. Elevated ROS levels may increase the vulnerability of dopaminergic neurons by promoting misfolding and impaired clearance of synaptic proteins implicated in neurodegenerative diseases, as observed in synucleinopathies [134,135,136]. Post-mortem studies in individuals with chronic cocaine use have reported significant overexpression of α-synuclein in midbrain dopaminergic regions, a finding that may reflect a maladaptive response to increased dopamine turnover and oxidative stress, thereby affecting proteostasis and neuronal resilience [8,92]. This interaction between oxidative stress and α-synuclein accumulation could impair mitochondrial function and protein clearance pathways, creating conditions conducive to degenerative changes within dopaminergic circuits.\nAnother area of interest is the vesicular monoamine transporter 2 (VMAT2), which is vital for sequestering dopamine into synaptic vesicles and reducing its cytosolic oxidation. Reduced VMAT2 function raises cytosolic dopamine levels, thereby increasing ROS formation and mitochondrial damage. In genetic and toxin-based models, decreased VMAT2 expression has been shown to cause progressive nigrostriatal degeneration and Parkinsonian phenotypes, preceding detectable changes in DAT or D2 receptor binding [137,138,139,140,141]. Although direct in vivo evidence for VMAT2 in cocaine use disorder remains limited, the combination of high dopamine turnover, oxidative stress, and possible VMAT2 dysregulation offers a plausible mechanistic link between stimulant exposure and dopaminergic vulnerability.\nMitochondrial dysfunction and oxidative stress may also contribute to broader neuroinflammatory responses. Preclinical and translational studies show that cocaine can activate microglia in dopamine-rich regions—including the nucleus accumbens, prefrontal cortex, and hippocampus—while increasing expression of pro-inflammatory mediators such as HMGB1–RAGE and NF-κB-dependent cytokines [129,142,143,144,145]. Cocaine-induced oxidative stress and inflammation may further weaken the blood–brain barrier (BBB), allowing peripheral immune cell entry and enhancing central toxicity. Reviews of substance use disorders have highlighted chronic psychostimulant exposure as a significant factor in BBB disruption and neurovascular dysfunction [146,147,148]. Some experimental studies suggest that antioxidant or anti-inflammatory interventions—such as N-acetylcysteine—can reduce cocaine-related mitochondrial damage and microglial activation, indicating that this pathway may be therapeutically modifiable [149].\nTaken together, these observations support the hypothesis that mitochondrial impairment, oxidative stress, and neuroinflammation may constitute a second major pathophysiological pathway relevant to cocaine-specific cerebropathy. In individuals with pre-existing genetic susceptibilities, cardiometabolic or infectious comorbidities, or neurodevelopmental fragility, these processes may accelerate neurodegenerative trajectories, producing structural and functional changes that could resemble, anticipate, or interact with those observed in primary neurodegenerative disorders. Understanding these shared mechanisms could help identify targets for neuroprotective strategies to reduce the long-term cerebral effects of chronic cocaine use.\nWhile the synthesis above presents a coherent and biologically plausible framework linking chronic cocaine exposure to mitochondrial dysfunction, oxidative stress, and neuroinflammation, much of the supporting evidence derives from preclinical models or post-mortem studies, limiting the ability to infer causality or progression in humans. Although parallels with established neurodegenerative disorders are scientifically suggestive, these similarities do not yet establish a direct mechanistic link between cocaine exposure and neurodegeneration. Findings on α-synuclein accumulation, VMAT2 dysfunction, and BBB disruption, although intriguing, remain inconsistent across studies and often rely on indirect markers rather than longitudinal evidence. Furthermore, the extent to which these changes reflect transient neuroadaptive responses, reversible pathology, or early signs of a degenerative process remains uncertain. Extrapolating from rodent and cellular models to the clinical course of cocaine use disorder should be done cautiously, especially given the heterogeneity of human populations and the influence of polysubstance use, comorbidities, and genetic differences. Nevertheless, the convergence of oxidative, mitochondrial, and inflammatory mechanisms offers a valuable conceptual framework for future research, underscoring areas where rigorous longitudinal and mechanistic studies are essential to clarify their roles in the proposed neuroevolutionary progression associated with chronic cocaine exposure [150].\nChronic cocaine exposure has been linked to significant and lasting structural plasticity within striatal circuits, most notably an increase in dendritic spine density on medium spiny neurons (MSNs) in the nucleus accumbens, widely regarded as a hallmark of stimulant-induced neuroadaptation. Animal studies consistently show that repeated cocaine administration promotes the formation and stabilisation of excitatory synapses on MSNs, thereby reshaping the architecture of fronto–striatal reward pathways [84,151,152]. This structural remodelling is not uniform across MSN subtypes; although observed in both D1- and D2-receptor–expressing neurons, it persists particularly in D1-MSNs, which form the direct pathway and are central to reward learning and motivated behaviour. Such preferential involvement may contribute to the imbalance between basal ganglia pathways seen in chronic users, potentially fostering compulsive drug seeking, increased cue reactivity, and impaired inhibitory control [151,153].\nAt the molecular level, chronic cocaine exposure has been shown to influence transcriptional programmes that regulate synaptic growth. A key mechanism involves suppression of the transcription factor MEF-2, which regulates activity-dependent synaptic pruning. Cocaine inhibits MEF-2 via D1 receptor–mediated signalling, thereby disinhibiting dendritic spine formation. Restoring MEF-2 activity can block these structural changes, suggesting an actively regulated, transcription-driven form of plasticity rather than a passive compensatory process [84]. In parallel, chronic exposure increases ΔFosB, a transcription factor that accumulates selectively in D1-MSNs with repeated drug use and promotes synaptic strengthening and structural reorganisation, potentially reinforcing long-term vulnerability to relapse [84,86,154]. Functionally, these adaptations may amplify glutamatergic drive onto MSNs, destabilise fronto–striatal homeostasis, and bias learning towards drug-related cues, contributing to craving, compulsive intake, and impaired decision-making even after prolonged abstinence [155].\nCompared with spinogenesis, the evidence for altered adult neurogenesis in chronic cocaine use remains mixed. Some preclinical studies suggest reductions in the proliferation and survival of neural progenitors in the hippocampal dentate gyrus, changes that may relate to cognitive rigidity, mood dysregulation, or heightened stress responses [156,157]. However, findings vary widely across species, dosing regimens, withdrawal periods, and methodological approaches. Several studies report transient rather than lasting reductions; others fail to find significant effects, and some even describe context-dependent increases [158]. A plausible yet still hypothetical proposal is that cocaine-induced spinogenesis may alter the microenvironment of neurogenic niches; increased synaptic density and altered glutamatergic signalling within the nucleus accumbens have been suggested to influence trophic signals relevant to hippocampal progenitor survival, although existing evidence remains limited and mainly derived from animal models [159]. Currently, the most cautious interpretation is that cocaine may affect neurogenic processes under specific conditions—such as high-dose, long-term exposure or concurrent stress—but confirmed suppression of neurogenesis in humans has yet to be demonstrated.\nCollectively, cocaine-induced spinogenesis, particularly in D1-MSNs, is among the most consistent markers of pathological plasticity associated with stimulant exposure, linking molecular transcriptional changes to structural remodelling and lasting behavioural vulnerability. Altered neurogenesis may also contribute to cognitive and emotional dysregulation in some individuals, though current evidence remains inconsistent. Together, these processes demonstrate how chronic cocaine exposure can shift plasticity from adaptive to maladaptive modes, reorganising synaptic networks that may interact with dopaminergic, inflammatory, vascular, and mitochondrial mechanisms within the broader concept of cocaine-specific cerebropathy. The main mechanisms described in this section are summarised in Table 2.\nThe evidence outlined above presents a coherent and biologically plausible account of cocaine-induced structural plasticity, particularly dendritic spine proliferation in D1-MSNs. However, much of the supporting research derives from animal models, and it remains unclear how well these findings translate to human cocaine users. Although spinogenesis is among the most consistently observed phenomena in preclinical studies, its functional significance in humans—particularly regarding long-term behaviour, relapse risk, and potential neurodegenerative processes—has yet to be clearly defined. Mechanisms involving MEF-2 suppression and ΔFosB accumulation, although compelling, are based on rodent data and should be interpreted with caution when applied to clinical populations. Conversely, evidence for altered neurogenesis is notably diverse and often conflicting, owing to methodological differences and a lack of longitudinal human studies. The idea that synaptic remodelling in the nucleus accumbens could influence neurogenic niches remains speculative and not fully validated. Overall, while structural plasticity is an important aspect of stimulant-related neuroadaptation, current data do not allow definitive conclusions about its role within a broader neurodegenerative process. The mechanisms described should therefore be regarded as provisional within an emerging conceptual framework, rather than as confirmed indicators of cocaine-specific pathology.\nChronic cocaine use has been linked to a cascade of macro- and microstructural brain changes that appear to mirror the complex clinical features of cocaine use disorder and provide tentative support for the concept of a cocaine-specific cerebropathy. Structural MRI studies frequently report reduced grey matter volume in the prefrontal and temporal cortices, hippocampus, amygdala, and striatum, with several analyses noting associations between the severity or duration of use and the extent of these changes [114,116,159,160,161,162,163]. Selective thinning of the superior and middle temporal gyri has been reported, including early work showing reduced cortical thickness in these regions [164] and later morphometric studies indicating dose-dependent reductions [165,166]. These alterations may contribute to deficits in verbal learning, social cognition, and auditory working memory observed in the disorder [167]. Reductions in these regions, often interpreted as reflecting neuronal, synaptic, or dendritic loss, have been associated with impairments in executive functioning, decision-making, and impulse control [116,168]. Large-scale multimodal analyses suggest a pattern of morphometric change that may differ, at least in part, from that seen in other substance use disorders [169,170].\nBeyond cortico-limbic regions, converging, though less extensive, evidence suggests that the cerebellum may also be affected by chronic cocaine exposure. Early structural research identified lower cerebellar grey-matter volumes, particularly in the hemispheres, and correlated cerebellar reductions with duration of use and performance on motor or executive tasks [161,171]. More recent studies have replicated and expanded these findings, reporting smaller vermal volumes and preliminary evidence that cerebellar morphology may help distinguish individuals at higher risk of relapse [117,172]. These observations raise the possibility that cerebellar involvement could contribute to disturbances in motor coordination, timing processes, and the regulation of cognitive–affective functions in at least a subgroup of chronic users.\nAlterations in white-matter integrity are another consistent finding. Diffusion tensor imaging studies show reduced fractional anisotropy and increased mean diffusivity in major association tracts and interhemispheric fibres—including the corpus callosum, superior longitudinal fasciculus, and frontal white matter—indicating disrupted communication between prefrontal, parietal, limbic, and cerebellar regions [173,174,175]. These abnormalities have been associated with impairments in executive functioning, decision-making, and treatment outcomes, and may partly reflect the combined effects of cocaine and co-exposure to substances such as alcohol or levamisole [176,177,178].\nAt the systems level, resting-state fMRI studies show altered intrinsic activity and connectivity within major large-scale networks. Dysregulation of the default mode, salience, and central executive networks has been documented, including shifts in the balance between internally and externally directed states and weakened top-down control from prefrontal–cingulate hubs [179,180,181]. Dynamic connectivity analyses further suggest a shift towards DMN-dominant configurations and reduced stability of task-positive states, patterns that correlate with impulsivity, craving, and delay discounting [182,183]. These findings align with structural abnormalities, indicating a sustained reorganisation of functional circuits involved in salience attribution, reward evaluation, and cognitive control [184].\nPerfusion and metabolic imaging studies complement this data, indicating that chronic cocaine use may disrupt cerebral blood flow and glucose utilisation beyond the acute vasoconstrictive phase. Hypoperfusion in the prefrontal cortex, anterior cingulate, and hippocampus has been reported, often overlapping with regions of structural loss and associated with deficits in decision-making and affect regulation [185]. FDG-PET investigations—from early studies to recent syntheses—demonstrate reduced glucose metabolism in frontal and cingulate regions during both active use and extended abstinence, supporting the persistence of functional hypofrontality [186,187,188]. Experimental models similarly report region-specific reductions in glucose uptake across cortico-striatocerebellar networks [178,189]. The main structural, connectivity, and metabolic changes are summarised in Table 3.\nThe structural and functional changes summarised above provide a coherent overview of brain alterations associated with chronic cocaine exposure; however, their interpretation warrants careful consideration. Many findings stem from cross-sectional studies, which limit conclusions about progression over time, causality, or reversibility. Reductions in grey matter in prefrontal and temporal regions are among the most consistent observations, yet it remains unclear whether these reflect neurodegenerative processes, accelerated ageing, neurotoxicity, or pre-existing vulnerabilities. Cerebellar findings—although increasingly confirmed—derive from relatively small cohorts and varied methodologies. White-matter abnormalities identified through DTI likely result from a combination of factors, including cocaine itself, polysubstance use, lifestyle factors, and psychiatric comorbidities, making it difficult to attribute these changes solely to cocaine.\nResting-state network disturbances provide an important systems-level perspective, yet their functional significance remains uncertain because of analytical variability and the influence of state-dependent factors such as withdrawal or recent drug use. Metabolic imaging studies support the possibility of persistent hypofrontality, but it remains unclear whether reduced glucose metabolism reflects a stable trait marker, a reversible neuroadaptive state, or cumulative toxicity. Overall, although the convergence of structural, connectivity, and metabolic abnormalities enhances the plausibility of a cocaine-related cerebropathy, current evidence is insufficient to define a specific or progressive neuropathological entity. Rigorous longitudinal and multimodal research is crucial to elucidate these relationships.\n\n\n### 3.2.1. Dopaminergic System Alterations\nAmong the neurochemical systems potentially affected by cocaine, alterations in dopaminergic signalling are often regarded as a key factor linking immediate reinforcement processes with long-term neuroadaptations and, in some cases, suspected neurodegenerative pathways. Cocaine primarily targets dopamine-rich circuits connecting the ventral tegmental area, nucleus accumbens, prefrontal cortex, and dorsal striatum, producing rapid increases in extracellular dopamine, followed by a series of compensatory adjustments. In this context, it is important to distinguish between immediate responses driven by dopamine transporter (DAT) blockade and long-term adaptations involving presynaptic, postsynaptic, mitochondrial, and structural changes when considering the hypothesis of cocaine-specific cerebropathy [65,66].\nCocaine acutely inhibits DAT, causing rapid increases in extracellular dopamine in striatal and cortical regions [67]. This elevation enhances activation of D1- and D2-like receptors and is widely regarded as central to cocaine’s euphoric and reinforcing properties [68,69]. Blockade of SERT and NET further boosts serotonergic and noradrenergic tone, influencing mood, arousal, autonomic responses, and the significance attributed to drug-related cues [70,71,72]. Preclinical findings also suggest that cocaine might modulate dopamine receptor signalling, including possible allosteric enhancement of D2 receptor activity, although these mechanisms are less clearly understood in humans [73]. The resulting transient hyperdopaminergic state is characterised by increased reward sensitivity and psychomotor activation. Individuals with genetic variants, neurodevelopmental traits, or prior stimulant exposure may experience greater destabilisation under these conditions [74,75]. These initial responses might represent an early step in a broader series of dopaminergic changes.\nRepeated cocaine exposure appears to induce more persistent neuroadaptations in fronto–striato–limbic circuits. Increased striatal DAT binding observed in post-mortem and imaging studies is considered a compensatory response to recurrent transporter blockade [76,77]. Reduced D2/D3 receptor availability, consistently reported in PET studies of individuals with cocaine dependence, has been linked to impulsivity, compulsive drug seeking, and decreased responsiveness to natural rewards [78,79,80]. At the intracellular level, chronic cocaine exposure has been associated with mitochondrial dysfunction, oxidative stress, and heightened vulnerability to metabolic injury [81,82,83]. Additional transcriptional and structural changes affecting dendritic spine density and synaptic organisation within medium spiny neurons have also been documented [84,85,86,87]. Overall, these findings indicate a shift towards a dysregulated, often hypodopaminergic state that may increase susceptibility to neurotoxic processes in vulnerable individuals.\nPresynaptic adaptations include evidence of DAT up-regulation, with post-mortem and animal studies reporting enhanced dopamine uptake capacity after chronic exposure [88,89,90,91]. Increased α-synuclein expression has also been observed in midbrain dopaminergic neurons and striatal synaptosomes [92,93,94,95,96], raising the possibility that cocaine may influence protein systems involved in dopamine regulation. Experimental studies suggest that α-synuclein may modulate DAT trafficking and intracellular dopamine handling, potentially fostering oxidative stress and reducing neuronal resilience [97,98,99]. Findings from synucleinopathy models further indicate that increased α-synuclein burden can disrupt firing properties, calcium dynamics, dopamine release, and neuronal morphology [100,101], supporting cautious consideration of α-synuclein as a possible contributor to neurodegenerative vulnerability in the context of chronic stimulant exposure [97,102].\nPostsynaptic adaptations have also been observed, particularly decreases in D2/D3 receptor availability that persist during abstinence and may reflect attempts to reduce excessive dopaminergic stimulation [78,79,103,104,105,106]. These changes have been linked to anhedonia, impulsivity, compulsive drug seeking, and reduced cognitive control [80,107,108]. Early imaging studies suggest that similar adaptations might occur outside traditional dopaminergic networks, with reports of cerebellar structural and connectivity alterations in chronic users [32,33,109,110,111,112], although the evidence remains preliminary.\nStructural imaging studies have also reported putaminal hypertrophy in some individuals with chronic cocaine use [113,114,115]. This enlargement has been interpreted as reflecting compensatory or maladaptive plasticity within basal ganglia circuits. Further investigations have identified region-specific striatal increases alongside cortical and cerebellar reductions [116,117,118]. These changes may reflect dendritic arborisation, synaptic reorganisation, or glial responses, although their functional significance remains uncertain. Some studies have linked putaminal alterations to dyskinesias, stereotyped behaviours, and impaired motor or cognitive control [119,120].\nTaken together, these mechanisms provide a broad but necessarily provisional explanation of how dopaminergic changes might develop during both acute and chronic cocaine use. While the synthesis offers a clear, hypothesis-driven framework that incorporates presynaptic, postsynaptic, mitochondrial, and structural findings, the supporting evidence remains inconsistent. Much of the data on α-synuclein dynamics, mitochondrial dysfunction, cerebellar involvement, and putaminal hypertrophy come from preclinical or cross-sectional studies, limiting the ability to establish causal or progressive relationships. Even well-established findings, such as reductions in D2/D3 receptor availability, cannot yet be assumed to indicate neurodegeneration rather than reversible or fluctuating neuroadaptation. Therefore, applying cellular and animal observations to human pathology requires ongoing caution, especially when considering multi-hit models that combine acute dopaminergic surges, long-term adaptations, and individual vulnerability factors. For these reasons, the current synthesis should be regarded as an interpretative framework rather than a definitive account of dopaminergic pathology in chronic cocaine use.\nRegarding the social aspect of cocaine addiction, social dominance hierarchy position influences brain dopamine D2 receptors and the reinforcing effects of cocaine. Experimental evidence from rodent and non-human primate models indicates that social hierarchy is closely associated with dopaminergic regulation and with differential vulnerability to psychopathology and substance-related behaviours. In isogenic mouse models, individual sociability predicted subsequent social rank, suggesting that pre-existing behavioural traits contribute to the emergence of social organisation. Once hierarchy was established, higher-ranked animals displayed a behavioural profile characterised by increased anxiety, enhanced working memory performance, reduced dopaminergic activity within the ventral tegmental area, diminished behavioural responsiveness to cocaine, and reduced susceptibility to depressive-like phenotypes following repeated social stress. Both pharmacogenetic inhibition of midbrain dopaminergic neurons and genetic disruption of glucocorticoid receptor signalling in dopamine-sensitive brain regions facilitated access to higher social ranks, indicating that the interaction between dopaminergic tone and stress-related neuroendocrine mechanisms plays a central role in shaping social structure and associated behavioural outcomes. Comparable findings have been observed in primate studies, where social status has been shown to modulate dopamine D2/D3 receptor availability and behavioural sensitivity to cocaine. Reorganisation of social groups in cynomolgus monkeys resulted in increased D2/D3 receptor availability in previously subordinate animals who attained dominant status, suggesting that the social environment exerts a plastic influence on dopaminergic function consistent with mechanisms of environmental enrichment. Although overall cocaine self-administration rates did not directly follow social rank after reorganisation, the reinforcing potency of cocaine was reduced in most subjects, indicating a shift in reward sensitivity. Further PET imaging studies demonstrated that social housing selectively increased D2 receptor availability in dominant monkeys and reduced cocaine reinforcement compared with subordinate animals, supporting the notion that environmental and social factors can induce neurobiological adaptations that influence addiction vulnerability [121,122,123,124].\nTaken together, these findings support a model in which social environment and hierarchical position interact with dopaminergic signalling and stress-related pathways to modulate behavioural strategies, stress resilience, and susceptibility to substance use disorders. Social status thus emerges not merely as a behavioural outcome but as a biologically embedded condition capable of shaping reward processing and psychopathological risk.\nCurrent experimental evidence indicates that the reinforcing properties of psychostimulants cannot be fully explained by dopaminergic mechanisms alone, although enhancement of dopamine neurotransmission within mesolimbic structures—particularly the nucleus accumbens—remains central. Cocaine and amphetamine-like substances increase extracellular dopamine primarily through dopamine transporter-mediated mechanisms, including reverse transport and inhibition of reuptake. However, converging data suggest that additional non–dopamine transporter-mediated processes substantially contribute to both behavioural activation and reward-related effects. In particular, psychostimulant-induced increases in noradrenergic transmission within the prefrontal cortex appear capable of modifying the firing patterns of midbrain dopaminergic neurons, thereby altering action potential-dependent dopamine release. These changes influence the temporal dynamics of dopamine signalling in the nucleus accumbens, with consequent effects on synaptic integration and plasticity, as dopaminergic modulation of synaptic inputs depends critically on the timing of dopamine release relative to afferent activity.\nLong-term exposure to drugs of abuse further induces enduring neurochemical adaptations involving interactions between noradrenergic and serotonergic systems. Repeated administration of cocaine, amphetamine, morphine, or alcohol has been shown to disrupt the reciprocal regulatory relationship between these two neuromodulatory systems, producing persistent sensitisation of both noradrenergic and serotonergic neuronal responses. This process appears to depend on alpha1b-adrenergic and 5-HT2A receptor signalling, as pharmacological blockade of these receptors prevents the development of sensitisation. Notably, similar neurochemical changes are not observed after repeated exposure to non-addictive antidepressants or selective dopamine reuptake inhibitors, suggesting that these adaptations are not solely attributable to increased dopaminergic transmission. These findings support the hypothesis that uncoupling between noradrenergic and serotonergic modulation is a shared neurochemical consequence of repeated exposure to addictive substances and may contribute to long-term vulnerability to relapse.\nBehavioural sensitisation models in rodents further support this framework. Repeated psychostimulant exposure produces persistent locomotor sensitisation, accompanied by enhanced cortical norepinephrine release and increased serotonergic reactivity, effects that may persist long after drug discontinuation. Loss of reciprocal inhibition between noradrenergic and serotonergic systems is associated with increased dopaminergic responsiveness and heightened behavioural reactivity to subsequent drug exposure. Importantly, similar mechanisms have been proposed to operate under chronic stress, suggesting that the neurochemical reorganisation induced by repeated drug exposure may overlap with stress-related pathways implicated in the development of psychiatric disorders. Overall, these findings support a multidimensional model of addiction in which dopaminergic reinforcement is embedded within a broader network involving noradrenergic and serotonergic regulation, synaptic plasticity, and stress-related neuroadaptations [125,126,127].\n\n\n### 3.2.2. Mitochondrial Dysfunction, Oxidative Stress, Neuroinflammation and Neurotoxicity in Cocaine-Specific Cerebropathy\nChronic cocaine use has been linked to a range of alterations that overlap with the pathological mechanisms observed in several major neurodegenerative disorders, particularly through common pathways of mitochondrial dysfunction and oxidative stress. Experimental results in rodent and cell models suggest that cocaine may increase the production of reactive oxygen species (ROS), impair mitochondrial dynamics, and disrupt bioenergetic homeostasis, particularly within the nucleus accumbens and striatum. These changes can enhance neuronal vulnerability and lead to cell death [82,128,129]. Such observations mirror mechanisms central to neurodegenerative diseases such as Parkinson’s disease, Alzheimer’s disease, Huntington’s disease, and amyotrophic lateral sclerosis, where deficiencies in mitochondrial respiration—particularly at complex I—result in excessive ROS formation, redox imbalance, and progressive neuronal degeneration [130,131,132,133].\nWithin this framework, oxidative stress appears to interact with other processes relevant to cocaine-specific cerebropathy. Elevated ROS levels may increase the vulnerability of dopaminergic neurons by promoting misfolding and impaired clearance of synaptic proteins implicated in neurodegenerative diseases, as observed in synucleinopathies [134,135,136]. Post-mortem studies in individuals with chronic cocaine use have reported significant overexpression of α-synuclein in midbrain dopaminergic regions, a finding that may reflect a maladaptive response to increased dopamine turnover and oxidative stress, thereby affecting proteostasis and neuronal resilience [8,92]. This interaction between oxidative stress and α-synuclein accumulation could impair mitochondrial function and protein clearance pathways, creating conditions conducive to degenerative changes within dopaminergic circuits.\nAnother area of interest is the vesicular monoamine transporter 2 (VMAT2), which is vital for sequestering dopamine into synaptic vesicles and reducing its cytosolic oxidation. Reduced VMAT2 function raises cytosolic dopamine levels, thereby increasing ROS formation and mitochondrial damage. In genetic and toxin-based models, decreased VMAT2 expression has been shown to cause progressive nigrostriatal degeneration and Parkinsonian phenotypes, preceding detectable changes in DAT or D2 receptor binding [137,138,139,140,141]. Although direct in vivo evidence for VMAT2 in cocaine use disorder remains limited, the combination of high dopamine turnover, oxidative stress, and possible VMAT2 dysregulation offers a plausible mechanistic link between stimulant exposure and dopaminergic vulnerability.\nMitochondrial dysfunction and oxidative stress may also contribute to broader neuroinflammatory responses. Preclinical and translational studies show that cocaine can activate microglia in dopamine-rich regions—including the nucleus accumbens, prefrontal cortex, and hippocampus—while increasing expression of pro-inflammatory mediators such as HMGB1–RAGE and NF-κB-dependent cytokines [129,142,143,144,145]. Cocaine-induced oxidative stress and inflammation may further weaken the blood–brain barrier (BBB), allowing peripheral immune cell entry and enhancing central toxicity. Reviews of substance use disorders have highlighted chronic psychostimulant exposure as a significant factor in BBB disruption and neurovascular dysfunction [146,147,148]. Some experimental studies suggest that antioxidant or anti-inflammatory interventions—such as N-acetylcysteine—can reduce cocaine-related mitochondrial damage and microglial activation, indicating that this pathway may be therapeutically modifiable [149].\nTaken together, these observations support the hypothesis that mitochondrial impairment, oxidative stress, and neuroinflammation may constitute a second major pathophysiological pathway relevant to cocaine-specific cerebropathy. In individuals with pre-existing genetic susceptibilities, cardiometabolic or infectious comorbidities, or neurodevelopmental fragility, these processes may accelerate neurodegenerative trajectories, producing structural and functional changes that could resemble, anticipate, or interact with those observed in primary neurodegenerative disorders. Understanding these shared mechanisms could help identify targets for neuroprotective strategies to reduce the long-term cerebral effects of chronic cocaine use.\nWhile the synthesis above presents a coherent and biologically plausible framework linking chronic cocaine exposure to mitochondrial dysfunction, oxidative stress, and neuroinflammation, much of the supporting evidence derives from preclinical models or post-mortem studies, limiting the ability to infer causality or progression in humans. Although parallels with established neurodegenerative disorders are scientifically suggestive, these similarities do not yet establish a direct mechanistic link between cocaine exposure and neurodegeneration. Findings on α-synuclein accumulation, VMAT2 dysfunction, and BBB disruption, although intriguing, remain inconsistent across studies and often rely on indirect markers rather than longitudinal evidence. Furthermore, the extent to which these changes reflect transient neuroadaptive responses, reversible pathology, or early signs of a degenerative process remains uncertain. Extrapolating from rodent and cellular models to the clinical course of cocaine use disorder should be done cautiously, especially given the heterogeneity of human populations and the influence of polysubstance use, comorbidities, and genetic differences. Nevertheless, the convergence of oxidative, mitochondrial, and inflammatory mechanisms offers a valuable conceptual framework for future research, underscoring areas where rigorous longitudinal and mechanistic studies are essential to clarify their roles in the proposed neuroevolutionary progression associated with chronic cocaine exposure [150].\n\n\n### 3.2.3. Structural Plasticity: Spinogenesis and Impaired Neurogenesis\nChronic cocaine exposure has been linked to significant and lasting structural plasticity within striatal circuits, most notably an increase in dendritic spine density on medium spiny neurons (MSNs) in the nucleus accumbens, widely regarded as a hallmark of stimulant-induced neuroadaptation. Animal studies consistently show that repeated cocaine administration promotes the formation and stabilisation of excitatory synapses on MSNs, thereby reshaping the architecture of fronto–striatal reward pathways [84,151,152]. This structural remodelling is not uniform across MSN subtypes; although observed in both D1- and D2-receptor–expressing neurons, it persists particularly in D1-MSNs, which form the direct pathway and are central to reward learning and motivated behaviour. Such preferential involvement may contribute to the imbalance between basal ganglia pathways seen in chronic users, potentially fostering compulsive drug seeking, increased cue reactivity, and impaired inhibitory control [151,153].\nAt the molecular level, chronic cocaine exposure has been shown to influence transcriptional programmes that regulate synaptic growth. A key mechanism involves suppression of the transcription factor MEF-2, which regulates activity-dependent synaptic pruning. Cocaine inhibits MEF-2 via D1 receptor–mediated signalling, thereby disinhibiting dendritic spine formation. Restoring MEF-2 activity can block these structural changes, suggesting an actively regulated, transcription-driven form of plasticity rather than a passive compensatory process [84]. In parallel, chronic exposure increases ΔFosB, a transcription factor that accumulates selectively in D1-MSNs with repeated drug use and promotes synaptic strengthening and structural reorganisation, potentially reinforcing long-term vulnerability to relapse [84,86,154]. Functionally, these adaptations may amplify glutamatergic drive onto MSNs, destabilise fronto–striatal homeostasis, and bias learning towards drug-related cues, contributing to craving, compulsive intake, and impaired decision-making even after prolonged abstinence [155].\nCompared with spinogenesis, the evidence for altered adult neurogenesis in chronic cocaine use remains mixed. Some preclinical studies suggest reductions in the proliferation and survival of neural progenitors in the hippocampal dentate gyrus, changes that may relate to cognitive rigidity, mood dysregulation, or heightened stress responses [156,157]. However, findings vary widely across species, dosing regimens, withdrawal periods, and methodological approaches. Several studies report transient rather than lasting reductions; others fail to find significant effects, and some even describe context-dependent increases [158]. A plausible yet still hypothetical proposal is that cocaine-induced spinogenesis may alter the microenvironment of neurogenic niches; increased synaptic density and altered glutamatergic signalling within the nucleus accumbens have been suggested to influence trophic signals relevant to hippocampal progenitor survival, although existing evidence remains limited and mainly derived from animal models [159]. Currently, the most cautious interpretation is that cocaine may affect neurogenic processes under specific conditions—such as high-dose, long-term exposure or concurrent stress—but confirmed suppression of neurogenesis in humans has yet to be demonstrated.\nCollectively, cocaine-induced spinogenesis, particularly in D1-MSNs, is among the most consistent markers of pathological plasticity associated with stimulant exposure, linking molecular transcriptional changes to structural remodelling and lasting behavioural vulnerability. Altered neurogenesis may also contribute to cognitive and emotional dysregulation in some individuals, though current evidence remains inconsistent. Together, these processes demonstrate how chronic cocaine exposure can shift plasticity from adaptive to maladaptive modes, reorganising synaptic networks that may interact with dopaminergic, inflammatory, vascular, and mitochondrial mechanisms within the broader concept of cocaine-specific cerebropathy. The main mechanisms described in this section are summarised in Table 2.\nThe evidence outlined above presents a coherent and biologically plausible account of cocaine-induced structural plasticity, particularly dendritic spine proliferation in D1-MSNs. However, much of the supporting research derives from animal models, and it remains unclear how well these findings translate to human cocaine users. Although spinogenesis is among the most consistently observed phenomena in preclinical studies, its functional significance in humans—particularly regarding long-term behaviour, relapse risk, and potential neurodegenerative processes—has yet to be clearly defined. Mechanisms involving MEF-2 suppression and ΔFosB accumulation, although compelling, are based on rodent data and should be interpreted with caution when applied to clinical populations. Conversely, evidence for altered neurogenesis is notably diverse and often conflicting, owing to methodological differences and a lack of longitudinal human studies. The idea that synaptic remodelling in the nucleus accumbens could influence neurogenic niches remains speculative and not fully validated. Overall, while structural plasticity is an important aspect of stimulant-related neuroadaptation, current data do not allow definitive conclusions about its role within a broader neurodegenerative process. The mechanisms described should therefore be regarded as provisional within an emerging conceptual framework, rather than as confirmed indicators of cocaine-specific pathology.\n\n\n### 3.2.4. Morphological and Functional Brain Changes Associated with Chronic Cocaine Use\nChronic cocaine use has been linked to a cascade of macro- and microstructural brain changes that appear to mirror the complex clinical features of cocaine use disorder and provide tentative support for the concept of a cocaine-specific cerebropathy. Structural MRI studies frequently report reduced grey matter volume in the prefrontal and temporal cortices, hippocampus, amygdala, and striatum, with several analyses noting associations between the severity or duration of use and the extent of these changes [114,116,159,160,161,162,163]. Selective thinning of the superior and middle temporal gyri has been reported, including early work showing reduced cortical thickness in these regions [164] and later morphometric studies indicating dose-dependent reductions [165,166]. These alterations may contribute to deficits in verbal learning, social cognition, and auditory working memory observed in the disorder [167]. Reductions in these regions, often interpreted as reflecting neuronal, synaptic, or dendritic loss, have been associated with impairments in executive functioning, decision-making, and impulse control [116,168]. Large-scale multimodal analyses suggest a pattern of morphometric change that may differ, at least in part, from that seen in other substance use disorders [169,170].\nBeyond cortico-limbic regions, converging, though less extensive, evidence suggests that the cerebellum may also be affected by chronic cocaine exposure. Early structural research identified lower cerebellar grey-matter volumes, particularly in the hemispheres, and correlated cerebellar reductions with duration of use and performance on motor or executive tasks [161,171]. More recent studies have replicated and expanded these findings, reporting smaller vermal volumes and preliminary evidence that cerebellar morphology may help distinguish individuals at higher risk of relapse [117,172]. These observations raise the possibility that cerebellar involvement could contribute to disturbances in motor coordination, timing processes, and the regulation of cognitive–affective functions in at least a subgroup of chronic users.\nAlterations in white-matter integrity are another consistent finding. Diffusion tensor imaging studies show reduced fractional anisotropy and increased mean diffusivity in major association tracts and interhemispheric fibres—including the corpus callosum, superior longitudinal fasciculus, and frontal white matter—indicating disrupted communication between prefrontal, parietal, limbic, and cerebellar regions [173,174,175]. These abnormalities have been associated with impairments in executive functioning, decision-making, and treatment outcomes, and may partly reflect the combined effects of cocaine and co-exposure to substances such as alcohol or levamisole [176,177,178].\nAt the systems level, resting-state fMRI studies show altered intrinsic activity and connectivity within major large-scale networks. Dysregulation of the default mode, salience, and central executive networks has been documented, including shifts in the balance between internally and externally directed states and weakened top-down control from prefrontal–cingulate hubs [179,180,181]. Dynamic connectivity analyses further suggest a shift towards DMN-dominant configurations and reduced stability of task-positive states, patterns that correlate with impulsivity, craving, and delay discounting [182,183]. These findings align with structural abnormalities, indicating a sustained reorganisation of functional circuits involved in salience attribution, reward evaluation, and cognitive control [184].\nPerfusion and metabolic imaging studies complement this data, indicating that chronic cocaine use may disrupt cerebral blood flow and glucose utilisation beyond the acute vasoconstrictive phase. Hypoperfusion in the prefrontal cortex, anterior cingulate, and hippocampus has been reported, often overlapping with regions of structural loss and associated with deficits in decision-making and affect regulation [185]. FDG-PET investigations—from early studies to recent syntheses—demonstrate reduced glucose metabolism in frontal and cingulate regions during both active use and extended abstinence, supporting the persistence of functional hypofrontality [186,187,188]. Experimental models similarly report region-specific reductions in glucose uptake across cortico-striatocerebellar networks [178,189]. The main structural, connectivity, and metabolic changes are summarised in Table 3.\nThe structural and functional changes summarised above provide a coherent overview of brain alterations associated with chronic cocaine exposure; however, their interpretation warrants careful consideration. Many findings stem from cross-sectional studies, which limit conclusions about progression over time, causality, or reversibility. Reductions in grey matter in prefrontal and temporal regions are among the most consistent observations, yet it remains unclear whether these reflect neurodegenerative processes, accelerated ageing, neurotoxicity, or pre-existing vulnerabilities. Cerebellar findings—although increasingly confirmed—derive from relatively small cohorts and varied methodologies. White-matter abnormalities identified through DTI likely result from a combination of factors, including cocaine itself, polysubstance use, lifestyle factors, and psychiatric comorbidities, making it difficult to attribute these changes solely to cocaine.\nResting-state network disturbances provide an important systems-level perspective, yet their functional significance remains uncertain because of analytical variability and the influence of state-dependent factors such as withdrawal or recent drug use. Metabolic imaging studies support the possibility of persistent hypofrontality, but it remains unclear whether reduced glucose metabolism reflects a stable trait marker, a reversible neuroadaptive state, or cumulative toxicity. Overall, although the convergence of structural, connectivity, and metabolic abnormalities enhances the plausibility of a cocaine-related cerebropathy, current evidence is insufficient to define a specific or progressive neuropathological entity. Rigorous longitudinal and multimodal research is crucial to elucidate these relationships.\n\n\n### 3.3. A Proposed Framework for Cocaine-Related Cerebropathy as a Condition of Neurodegenerative Vulnerability\nThe following advanced-phase description is not intended to imply a unified or inevitable neurodegenerative syndrome, but to explore a hypothetical extreme of cumulative vulnerability observed in a minority of cases.\nThe existing scientific literature increasingly reports associations between chronic cocaine use and a higher risk of developing motor and cognitive conditions that partially resemble recognised neurodegenerative disorders [167,190,191,192,193]. Although these findings do not establish a causal or consistent pattern, they have led to the hypothesis that long-term stimulant exposure may, in some predisposed individuals, contribute to processes that resemble or interact with neurodegenerative mechanisms affecting specific neural systems.\nThe proposed framework integrates the neurobiological effects of chronic cocaine exposure with pre-existing vulnerabilities—genetic, neurodevelopmental, vascular, inflammatory, or age-related—highlighting that neuroprogressive risk arises not solely from cocaine but from the interaction between stimulant exposure and baseline fragility.\nRegarding the motor aspect, chronic cocaine use has been linked to a range of abnormalities, from parkinsonian signs—such as rest tremor, rigidity, and bradykinesia—to cerebellar dysfunction, including ataxia, dysmetria, and dysarthria, and, in some cases, choreiform or choreoathetoid movements resembling those observed in established movement disorders [191].\nOn the cognitive–behavioural level, several reports have described an association between long-term cocaine use and an increased risk of conditions such as Alzheimer’s disease, dementia with Lewy bodies—characterised by cognitive fluctuations, visual hallucinations, and parkinsonism—and frontotemporal dementia, which is marked by impairments in executive function, behaviour, and language [194]. These clinical features are highly diverse, and their appearance cannot be solely attributed to cocaine exposure; however, the range of manifestations has led to speculation that, in some individuals, chronic use might contribute to a widespread and potentially progressive pattern of brain dysfunction.\nSuch dysfunction, if it occurs, likely results from a complex interplay of vulnerability factors, including genetic differences (such as dopaminergic polymorphisms, APOE variants, and synuclein-related variants), neurodevelopmental conditions (such as ADHD or autism spectrum disorders), cardiometabolic and systemic inflammatory states, infectious comorbidities (HIV/HCV), and patterns of cocaine use over time [195,196,197,198,199,200]. The convergence of these pre-existing vulnerabilities with the neurochemical, vascular, inflammatory, and structural effects of cocaine may, in some cases, create a state of heightened neurodegenerative susceptibility—a conceptual framework tentatively referred to here as cocaine-specific cerebropathy [150].\nIt is crucial to emphasise that this proposal requires careful epistemological consideration. The notion of a relatively defined or progressive clinical trajectory remains speculative, based on converging but not yet fully systematised observations. Available data currently suggest only that clinical evolution might, in a non-mandatory and highly variable manner, follow recognisable patterns, although significant interindividual variation is expected and definitive staging models cannot yet be established.\nThe following three-phase framework is not intended as a clinical staging system but as a heuristic tool to tentatively organise diverse clinical and biological data.\nIn the earliest stage of the proposed framework, the clinical presentation is characterised primarily by neuropsychiatric symptoms spanning a wide phenomenological spectrum. Mood symptoms may present as depressive, mixed, or hypomanic episodes, often accompanied by anhedonia, apathy, irritability, and affective lability. Anxiety-related issues are common, ranging from generalised anxiety to panic attacks and agoraphobic traits, and are accompanied by sleep disturbances and significant circadian dysregulation. Features resembling reward-deficiency states may be present, and in vulnerable individuals, transient or persistent psychotic symptoms or obsessive–compulsive phenomena have also been observed [201,202,203,204,205,206,207,208].\nAs with other central nervous system disorders, cocaine use disorder appears to have a recognisable psychopathological profile, plausibly linked to the stimulant’s effects on neural systems that regulate motivation, salience attribution, emotional processing, and executive functions. Limiting its description to craving, tolerance, and withdrawal risks underestimates the complexity of early neurofunctional dysregulation. Affective, anxious, psychotic, or obsessive–compulsive symptoms may not only be behavioural signs but also early indicators of circuit-level disruption [209,210]. This complexity can lead to diagnostic uncertainty or misinterpretation under the label of dual diagnosis. In some cases, such presentations might instead represent the initial phase of a neuroprogressive pathway, in which genetic, neurodevelopmental, or temperamental vulnerabilities interact with stimulant neurotoxicity, producing a hybrid clinical profile that challenges conventional nosological boundaries.\nDespite this heterogeneity, some degree of partial reversibility usually persists in the early stage. Emotional and cognitive symptoms may improve with integrated treatment programmes that combine pharmacological, psychotherapeutic, and psychoeducational interventions, alongside structured treatments for cocaine use disorder, provided sustained abstinence is maintained. Individuals with greater biological vulnerabilities—such as neurodevelopmental conditions, a family history of mood disorders, or cardiometabolic fragility—may show more limited reversibility, emphasising the importance of timely intervention to prevent progression to later stages.\nFrom a neurobiological perspective, this initial phase may reflect early yet significant disruption across several interconnected functional circuits. Early changes occur within reward and motivation systems—particularly the VTA–nucleus accumbens–prefrontal axis—where repeated cocaine exposure can induce a paradoxical functional pattern characterised by hypersensitivity to drug-related cues and reduced responsiveness to natural rewards. This may contribute to anhedonia, apathy, and craving [211,212,213,214,215]. Simultaneously, emerging dysfunction within the salience network—including the insular cortex and anterior cingulate cortex—may heighten negative interoceptive states and reduce attentional flexibility, fostering panic–agoraphobic phenomena and emotional lability [216,217,218].\nDysregulation of the hypothalamic–pituitary–adrenal axis is another potential contributor. Repeated cocaine-induced activation may lead to sustained increases in cortisol and impaired stress regulation, which could underpin emotional fragility, insomnia, dysphoria, and affective instability, and interact with dopaminergic and serotonergic changes [219,220,221,222]. Early neurochemical changes may include dopaminergic hyperactivity, followed by receptor downregulation and tonic hypoactivity, coupled with serotonergic and noradrenergic disruptions that affect mood, anxiety, and stress responsivity [223,224].\nThese neurochemical changes may intersect with early mechanisms that help explain the emergence of psychotic or obsessive–compulsive symptoms, even in the absence of a formal dual diagnosis. Sensitisation of the mesolimbic dopamine system may increase salience attribution and weaken top-down prefrontal regulation [225,226], while disturbances within cortico–striato–thalamo–cortical loops may contribute to intrusive or repetitive cognitive–behavioural patterns characteristic of obsessive–compulsive psychopathology [227,228,229]. Together, these disturbances may influence stimulus selection, sensory gating, and cognitive filtering, fostering neurobiological conditions that could predispose individuals to psychotic-like or obsessive–compulsive–like phenomena [230,231,232].\nNeuroimaging studies suggest that even in early stages of chronic exposure, subtle structural alterations may emerge in regions vulnerable to oxidative stress, excitotoxicity, and dopaminergic dysregulation. These changes appear to follow a gradient across prefrontal, limbic, striatal, and cerebellar systems, mirroring early affective, anxious, executive, and psychotic-like or obsessive–compulsive–like symptoms. Early involvement of the dorsolateral and ventromedial prefrontal cortex has been reported, with cortical thinning and reduced grey matter volume correlating with impulsivity, emotional dysregulation, and diminished top-down control [116,162]. Reductions in hippocampal volume, possibly linked to impaired neurogenesis and early memory issues, have also been observed [165], along with increased amygdala reactivity that contributes to anxiety, irritability, and negative salience attribution [214].\nAltered white-matter microstructure in major associative tracts—including the superior longitudinal fasciculus and corpus callosum—may reflect early disruption of large-scale network integration and has been linked to executive and attentional vulnerabilities [173,174]. Subtle abnormalities in the caudate, putamen, and orbitofrontal cortex further suggest early impairment of cortico–striato–thalamo–cortical loops involved in psychotic and obsessive–compulsive phenomena [114,116]. Emerging findings also point to cerebellar involvement, including reduced grey matter volume and altered cerebello-prefrontal connectivity, which may contribute to emotional dysmetria, timing disturbances, and early cognitive disorganisation [161,233].\nTaken together, these converging observations tentatively suggest that early-stage cocaine-related brain dysfunction may follow a recognisable pattern, aligning with the emerging clinical phenotype and, in some individuals, potentially foreshadowing subsequent cognitive, behavioural, and neuropsychiatric decline.\nAlthough the early-phase framework provides a useful interpretative structure, several methodological considerations limit the strength of causal inference. Much of the evidence derives from cross-sectional neuroimaging, preclinical models, or clinical samples characterised by polysubstance use, psychiatric comorbidity, and variable durations of abstinence—all factors that make it difficult to attribute effects specifically to cocaine. Structural or functional abnormalities linked to early symptoms may predate cocaine exposure, reflecting pre-existing vulnerabilities rather than early neuroprogressive changes. Additionally, neuroimaging alterations in prefrontal, limbic, striatal, and cerebellar circuits are not unique to stimulant exposure and overlap with patterns seen in mood, anxiety, and other substance use disorders. The idea that these clinical and neurofunctional features represent an initial stage of a broader degenerative vulnerability remains plausible but unproven, particularly in the absence of longitudinal studies capable of demonstrating progression or staging. Therefore, the early-phase model should be viewed as a heuristic framework that requires further empirical validation rather than as a definitive clinical concept.\nAs cocaine exposure becomes more prolonged, the clinical course may progress to an intermediate phase characterised by a more noticeable and identifiable decline in executive functioning, sensorimotor integration, and behavioural regulation. This stage appears to result from an interaction among pre-existing vulnerabilities, accumulated toxicological effects, and neuroprogressive processes likely initiated in the earlier phase. Executive dysfunction often becomes the dominant feature, with gradual impairments in sustained attention, cognitive flexibility, planning, organisation, judgement, and decision-making. These deficits seem to reflect the progressive weakening of fronto–striato–limbic circuits, with diminished top–down prefrontal control occurring alongside heightened limbic responsivity and reduced capacity for internal and external regulation. Individuals with neurodevelopmental vulnerabilities, especially ADHD, may experience an earlier or more severe transition, as cocaine’s disruptive effects further destabilise already less resilient executive networks, thereby fostering impulsivity, disinhibition, and impaired self-regulation.\nIn parallel, subtle neurological signs may emerge, including clumsiness, fine motor difficulties, mild incoordination, postural instability, and generalised slowing of movement. With ongoing exposure, these subtle signs can progress to more overt motor problems, such as bradykinesia, low-frequency tremor, intermittent rigidity, dyskinesias, or choreo-athetoid movements, together with early cerebellar signs such as dysmetria, ataxia, and scanning dysarthria. These clinical findings align with reports of decreased cerebellar grey matter volume and impaired fronto–striatal structural connectivity in chronic cocaine users [234,235].\nA clinically relevant phenomenon in this phase is heightened sensitivity to extrapyramidal side effects from dopamine D2-blocking agents. Individuals may develop rigidity, tremor, or dystonic reactions at unusually low doses—even after minimal exposure—suggesting reduced functional reserve in the nigrostriatal dopamine system. This hypothesis is supported by imaging evidence of decreased striatal D2/D3 receptor availability and impaired dopaminergic tone in chronic cocaine users [171,190,236]. Overall, these manifestations suggest that this intermediate phase may represent a measurable step in a broader neuroprogressive trajectory, with executive dysfunction, emerging motor abnormalities, cerebellar signs, and hypersensitivity to dopaminergic interference reflecting increasing disruption of fronto–striato–thalamo–cortical networks.\nFrom a neurobiological perspective, this stage appears to consolidate and extend the tentative changes observed earlier. Dopaminergic signalling across fronto–striatal and nigrostriatal pathways may deteriorate further, with imaging studies reporting decreased D2/D3 receptor availability, reduced prefrontal regulatory control, and progressive disinhibition of motor and limbic loops. These changes may reflect a shift from predominantly phasic dopaminergic responses to disorganised tonic states, weakening inhibitory control and contributing to impulsivity, emotional instability, and motor dysregulation.\nCerebellar involvement may also become more prominent. Contemporary models emphasise the cerebellum’s role in predictive coding, timing, and cognitive regulation. Structural and functional studies indicate reduced cerebellar grey matter and disrupted dentato–thalamo–cortical connectivity in chronic cocaine use, which may contribute to postural instability, impaired fine motor coordination, dysmetria, and deficits in temporal and sensory prediction.\nGlutamatergic signalling may also become increasingly dysregulated, with reduced efficiency of prefrontal glutamatergic projections and heightened vulnerability to excitotoxicity in striatal and thalamic targets. This dysregulation could promote compulsive motor patterns, repetitive behaviours, and cognitive rigidity, consistent with evidence of altered glutamate homeostasis and corticostriatal connectivity [237]. Persistent dysregulation of the hypothalamic–pituitary–adrenal axis may additionally contribute to emotional volatility, irritability, and impaired impulse control, as repeated cocaine-induced activation maintains elevated cortisol levels and heightened circulatory stress reactivity [238].\nStructural neuroimaging provides convergent evidence for these neurofunctional dynamics. Progressive thinning of dorsolateral, ventromedial, and orbitofrontal prefrontal regions, loss of hippocampal volume, increased amygdala dysregulation, and deterioration of white matter integrity within associative tracts—including the superior longitudinal fasciculus and corpus callosum—suggest an evolving disconnection syndrome affecting executive, motor, and interhemispheric integration [239,240]. Microstructural changes in the basal ganglia and pallidal circuitry have been associated with bradykinesia, tremor, rigidity, and choreo–athetoid movements, while additional cerebellar volumetric loss and impaired cerebello–thalamo–cortical coupling may contribute to timing deficits and cognitive disorganisation [234].\nOverall, the intermediate phase may reflect a neural system gradually losing coherence and regulatory accuracy. The combined deterioration of dopaminergic, cerebellar, glutamatergic, and stress-regulatory mechanisms indicates an increasingly unstable network structure—one that struggles to sustain cognitive control, emotional balance, and motor coordination, potentially setting the stage for more widespread involvement in later stages.\nWhile the framework introduced above offers a structured interpretation of a potential intermediate stage in cocaine-related neuroprogression, several limitations constrain the strength and specificity of the current evidence. Most findings derive from cross-sectional neuroimaging studies, small clinical samples, or preclinical models, each with notable methodological limitations. Many participants in human studies have polysubstance use, psychiatric comorbidities, or medical conditions that independently affect executive functions, motor systems, and white matter integrity, making it difficult to attribute changes solely to cocaine. Moreover, the structural and functional abnormalities described—such as prefrontal thinning, white matter degradation, basal ganglia alterations, and cerebellar involvement—are not unique to cocaine use and are also observed in mood disorders, ADHD, trauma, and other substance use disorders.\nCritically, the proposed trajectory remains hypothetical, as longitudinal investigations have not demonstrated progression from early to intermediate phases or established reversibility, inevitability, or prognostic significance. Interindividual variability is substantial, and only a subset of individuals may follow patterns resembling those described. Accordingly, the intermediate-phase model should be viewed as a heuristic framework intended to stimulate further mechanistic research rather than a formal staging system. Rigorous longitudinal, multimodal, and mechanistically informed studies will be essential before firmer conclusions can be drawn about the nature, distribution, or clinical significance of this proposed intermediate phase.\nWith prolonged exposure to cocaine spanning years or decades, some individuals may develop widespread multisystem impairment that appears to reflect extensive neuronal and synaptic dysfunction. In this hypothesised advanced stage, cognitive decline may become widespread, affecting episodic and semantic memory, suggesting involvement of the hippocampal and entorhinal regions. Visuospatial disturbances—such as impaired spatial orientation, depth perception, and constructional skills—may arise from disruptions within parietal and occipito–parietal networks. Language abilities may decline, with difficulties in naming, understanding complex sentences, and, in some cases, changes in prosody and discourse organisation, indicating combined frontal and temporal cortical impairment. Executive dysfunction, reduced cognitive flexibility, working-memory issues, and diminished verbal fluency may coalesce into a broader dysexecutive syndrome. Procedural memory may decline alongside increasing apathy and social withdrawal, leading to a progressive loss of functional autonomy. Psychiatric symptoms—including persistent psychotic features or obsessive–compulsive phenomena—may appear or worsen, reflecting altered salience attribution, disrupted gating mechanisms, and compromised fronto–striato–thalamo–cortical organisation. As in earlier stages, premorbid vulnerability seems to play a key role: individuals with genetic risk factors for neurodegenerative disease (e.g., APOE ε4 or synuclein-related variants), neurodevelopmental conditions, chronic systemic inflammation, or previous traumatic or infectious CNS insults may experience earlier or more severe deterioration.\nFrom a neurobiological perspective, this advanced phase may involve a widespread decline in homeostatic capacity across multiple neurotransmitter and cellular systems. Progressive dopaminergic dysfunction may co-occur with degeneration of mesolimbic and nigrostriatal pathways, reductions in D2/D3 receptor signalling, impaired reward processing, and compromised motor control. Serotonergic imbalance within raphe–basal ganglia–prefrontal pathways could contribute to affective flattening, irritability, and increased vulnerability to psychotic episodes. Chronic oxidative stress, mitochondrial dysfunction, and neuroinflammation—often associated with long-term stimulant use—may induce microglial activation and sustained cytokine release, creating a low-grade inflammatory environment resembling mechanisms observed in Parkinson’s disease, dementia with Lewy bodies, and certain forms of frontotemporal degeneration. In some individuals, prolonged cocaine use may interact with dopaminergic vulnerability to promote α-synuclein misfolding or accumulation within midbrain circuits, potentially leading to parkinsonian or mixed degenerative conditions.\nStructurally, advanced cases may show widespread atrophy of the frontal, temporal, and parietal cortices, together with progressive degeneration of the hippocampal and limbic regions, which are linked to memory impairment, emotional dysregulation, and apathy. Subcortical structures—including the caudate, putamen, globus pallidus, and thalamus—may show microstructural deterioration consistent with the gradual disintegration of motor and associative circuits. Reduced integrity and metabolic compromise in the ventral tegmental area and nucleus accumbens may accompany these changes. Cerebellar involvement—with significant loss in the vermis and lateral hemispheres and disrupted cerebellum–thalamus–cortical connectivity—may contribute to dysmetria, ataxia, altered motor timing, and cognitive disorganisation. Diffusion tensor imaging may reveal marked reductions in fractional anisotropy across major white-matter tracts—including the corpus callosum, superior longitudinal fasciculus, and fronto–striatal projections—indicating interhemispheric disconnection and progressive breakdown of executive–motor integration. Ventricular enlargement may be observed at advanced stages, reflecting overall parenchymal reduction.\nIn summary, this advanced-stage formulation offers a cautious, hypothetical account of how long-term neurofunctional dysregulation in chronic cocaine use might progress to widespread neuronal impairment in some individuals. Although individual variation remains substantial, available descriptions suggest a slow, progressive decline in cognitive, behavioural, and motor functions that could ultimately lead to serious disability and a diminished quality of life. Clarification of diagnosis at this stage usually involves integrated neuropsychological, neurological, and neuroimaging assessments, while treatment is mainly supportive. Therefore, prevention and early detection are essential, and future research must focus on identifying early biomarkers and developing strategies to modify or potentially halt the neuroprogressive processes linked to chronic stimulant use.\nThe advanced-phase framework outlined above should be approached with caution, as the supporting evidence remains incomplete, indirect, and often drawn from diverse methodological sources. Much of the information comes from case reports, small clinical samples, cross-sectional imaging studies, or extrapolations from preclinical research, rather than long-term studies that can clearly demonstrate neurodegenerative progression linked to chronic cocaine use. Patterns of widespread cortical and subcortical atrophy, extensive white-matter damage, and overall cognitive decline are not unique to cocaine use and are commonly seen in other neuropsychiatric, metabolic, and vascular conditions. Additionally, polysubstance use, medical comorbidities, nutritional issues, and episodes of anoxia or cerebrovascular events make it more difficult to identify cocaine’s specific role in the brain changes observed in later stages.\nIt remains unclear whether the described impairments represent a coherent progression or occur only in a highly vulnerable minority with pre-existing genetic, developmental, or systemic risk factors. The possibility that some late-stage features are due to accelerated ageing, cumulative lifestyle effects, or indirect consequences of chronic illness cannot be ruled out. Therefore, the concept of an advanced stage should currently be treated as a hypothesis rather than a validated clinical entity. Robust longitudinal, multimodal, and mechanistically grounded research will be crucial before confirming the existence, prevalence, or defining features of this potential late phase of cocaine-related neuroprogression.\nManaging neurodegenerative vulnerability in individuals with chronic cocaine use is a complex clinical challenge, requiring a coordinated, highly personalised approach. Neuropsychiatric symptoms—such as mood instability, anxiety, sleep disturbances, emerging memory issues, and executive dysfunction—may mimic primary psychiatric disorders, complicating diagnosis. At the same time, cocaine use disorder exhibits its own distinct psychopathology, ranging from depressive and anxious symptoms to panic episodes, psychosis, and significant behavioural dysregulation, often masking early signs of a broader neuroprogressive process. In individuals with reduced neural reserve, multimorbidity, or pre-existing biological vulnerabilities, susceptibility to cocaine-related neurotoxicity may be heightened, emphasising the importance of comprehensive assessment covering psychiatric, neurological, and neuropsychological aspects.\nComplete abstinence from cocaine forms the essential basis for all subsequent therapeutic strategies. Achieving abstinence usually involves a combination of psychosocial and pharmacological measures. Individual and group counselling, together with participation in structured support programmes, can enhance insight, reduce relapse risk, and support stress regulation [214,238]. Although no pharmacological agent is formally approved for cocaine use disorder, several compounds have shown partial or context-dependent benefits. Psychostimulants such as methylphenidate or lisdexamfetamine may help stabilise dopaminergic tone in individuals with co-occurring ADHD, while bupropion and ropinirole have demonstrated variable effects on craving. Among glutamatergic and GABAergic interventions, topiramate has been linked to reductions in craving intensity, and N-acetylcysteine may support glutamate homeostasis and help mitigate compulsive use patterns. Evidence suggests that alcohol use disorder is associated with disruption of glutamatergic homeostasis, contributing to relapse vulnerability and impaired impulse control. N-acetylcysteine (NAC), a precursor of glutathione capable of modulating glutamate transmission, has been shown in preclinical models to reduce relapse-like alcohol consumption and improve impulse control without significantly affecting overall alcohol intake or motivation to drink. These findings support the hypothesis that NAC primarily acts on neurobiological mechanisms related to relapse prevention and behavioural regulation rather than on reward processes directly. Given its antioxidant properties and its role in restoring neurochemical balance, NAC has emerged as a potential adjunctive treatment in addiction and other neuropsychiatric conditions characterised by impaired glutamatergic regulation, although further clinical validation remains necessary [241,242].\nPharmacological decisions require particular caution. Long-standing stimulant exposure may be associated with reduced striatal dopaminergic reserve, early motor abnormalities, or heightened sensitivity to dopaminergic interference [171,190]. Antipsychotics with high D2-blocking affinity may therefore exacerbate bradykinesia, rigidity, or executive dysfunction, and their use should be restricted to situations of clear necessity, preferably selecting agents with lower D2 occupancy. SSRIs may likewise require careful titration, as they can worsen anhedonia or disrupt reward processing in individuals with compromised mesocorticolimbic signalling. When affective instability prevails, mood stabilisers such as lamotrigine, valproate, or low-dose lithium may be more suitable.\nManagement of cognitive, neurological, and behavioural sequelae is increasingly important in the context of emerging neuroprogressive patterns. When present, cognitive decline predominantly affects executive function, attention, processing speed, and working memory rather than a primary amnestic profile. Management should therefore focus on neuropsychological rehabilitation to enhance compensatory strategies, promote neuroplasticity, and preserve functional autonomy. In selected cases with mixed or subcortical-like cognitive features, cholinesterase inhibitors may be considered symptomatically; however, their use should not be interpreted as targeting a primary cholinergic deficit, as evidence for cholinergic degeneration in cocaine-related cognitive impairment remains limited. Motor coordination and balance difficulties—particularly when cerebellar involvement is suspected—may benefit from targeted physiotherapy and occupational therapy.\nLifestyle and medical optimisation are key components of the therapeutic framework. A balanced diet, tailored physical activity, proper sleep hygiene, structured stress-reduction strategies, and careful management of cardiometabolic risk factors may confer vital protective effects on neural systems already experiencing chronic dysregulation.\nIn summary, managing cocaine-related neuroprogressive vulnerability requires a multidimensional, coordinated, and carefully tailored clinical approach. Early identification of patterns potentially linked to prolonged cocaine use, together with timely intervention, may help reduce functional decline. An integrated strategy that combines psychosocial support, carefully selected pharmacotherapies, neurorehabilitation, and structured education for patients and their families provides the most cohesive framework for maintaining function and quality of life in this vulnerable group. A structured overview of these therapeutic methods is presented in Table 4.\n\n\n### 3.3.1. Early Phase: A Provisional Model of Initial Neuropsychiatric and Neurofunctional Disruption\nIn the earliest stage of the proposed framework, the clinical presentation is characterised primarily by neuropsychiatric symptoms spanning a wide phenomenological spectrum. Mood symptoms may present as depressive, mixed, or hypomanic episodes, often accompanied by anhedonia, apathy, irritability, and affective lability. Anxiety-related issues are common, ranging from generalised anxiety to panic attacks and agoraphobic traits, and are accompanied by sleep disturbances and significant circadian dysregulation. Features resembling reward-deficiency states may be present, and in vulnerable individuals, transient or persistent psychotic symptoms or obsessive–compulsive phenomena have also been observed [201,202,203,204,205,206,207,208].\nAs with other central nervous system disorders, cocaine use disorder appears to have a recognisable psychopathological profile, plausibly linked to the stimulant’s effects on neural systems that regulate motivation, salience attribution, emotional processing, and executive functions. Limiting its description to craving, tolerance, and withdrawal risks underestimates the complexity of early neurofunctional dysregulation. Affective, anxious, psychotic, or obsessive–compulsive symptoms may not only be behavioural signs but also early indicators of circuit-level disruption [209,210]. This complexity can lead to diagnostic uncertainty or misinterpretation under the label of dual diagnosis. In some cases, such presentations might instead represent the initial phase of a neuroprogressive pathway, in which genetic, neurodevelopmental, or temperamental vulnerabilities interact with stimulant neurotoxicity, producing a hybrid clinical profile that challenges conventional nosological boundaries.\nDespite this heterogeneity, some degree of partial reversibility usually persists in the early stage. Emotional and cognitive symptoms may improve with integrated treatment programmes that combine pharmacological, psychotherapeutic, and psychoeducational interventions, alongside structured treatments for cocaine use disorder, provided sustained abstinence is maintained. Individuals with greater biological vulnerabilities—such as neurodevelopmental conditions, a family history of mood disorders, or cardiometabolic fragility—may show more limited reversibility, emphasising the importance of timely intervention to prevent progression to later stages.\nFrom a neurobiological perspective, this initial phase may reflect early yet significant disruption across several interconnected functional circuits. Early changes occur within reward and motivation systems—particularly the VTA–nucleus accumbens–prefrontal axis—where repeated cocaine exposure can induce a paradoxical functional pattern characterised by hypersensitivity to drug-related cues and reduced responsiveness to natural rewards. This may contribute to anhedonia, apathy, and craving [211,212,213,214,215]. Simultaneously, emerging dysfunction within the salience network—including the insular cortex and anterior cingulate cortex—may heighten negative interoceptive states and reduce attentional flexibility, fostering panic–agoraphobic phenomena and emotional lability [216,217,218].\nDysregulation of the hypothalamic–pituitary–adrenal axis is another potential contributor. Repeated cocaine-induced activation may lead to sustained increases in cortisol and impaired stress regulation, which could underpin emotional fragility, insomnia, dysphoria, and affective instability, and interact with dopaminergic and serotonergic changes [219,220,221,222]. Early neurochemical changes may include dopaminergic hyperactivity, followed by receptor downregulation and tonic hypoactivity, coupled with serotonergic and noradrenergic disruptions that affect mood, anxiety, and stress responsivity [223,224].\nThese neurochemical changes may intersect with early mechanisms that help explain the emergence of psychotic or obsessive–compulsive symptoms, even in the absence of a formal dual diagnosis. Sensitisation of the mesolimbic dopamine system may increase salience attribution and weaken top-down prefrontal regulation [225,226], while disturbances within cortico–striato–thalamo–cortical loops may contribute to intrusive or repetitive cognitive–behavioural patterns characteristic of obsessive–compulsive psychopathology [227,228,229]. Together, these disturbances may influence stimulus selection, sensory gating, and cognitive filtering, fostering neurobiological conditions that could predispose individuals to psychotic-like or obsessive–compulsive–like phenomena [230,231,232].\nNeuroimaging studies suggest that even in early stages of chronic exposure, subtle structural alterations may emerge in regions vulnerable to oxidative stress, excitotoxicity, and dopaminergic dysregulation. These changes appear to follow a gradient across prefrontal, limbic, striatal, and cerebellar systems, mirroring early affective, anxious, executive, and psychotic-like or obsessive–compulsive–like symptoms. Early involvement of the dorsolateral and ventromedial prefrontal cortex has been reported, with cortical thinning and reduced grey matter volume correlating with impulsivity, emotional dysregulation, and diminished top-down control [116,162]. Reductions in hippocampal volume, possibly linked to impaired neurogenesis and early memory issues, have also been observed [165], along with increased amygdala reactivity that contributes to anxiety, irritability, and negative salience attribution [214].\nAltered white-matter microstructure in major associative tracts—including the superior longitudinal fasciculus and corpus callosum—may reflect early disruption of large-scale network integration and has been linked to executive and attentional vulnerabilities [173,174]. Subtle abnormalities in the caudate, putamen, and orbitofrontal cortex further suggest early impairment of cortico–striato–thalamo–cortical loops involved in psychotic and obsessive–compulsive phenomena [114,116]. Emerging findings also point to cerebellar involvement, including reduced grey matter volume and altered cerebello-prefrontal connectivity, which may contribute to emotional dysmetria, timing disturbances, and early cognitive disorganisation [161,233].\nTaken together, these converging observations tentatively suggest that early-stage cocaine-related brain dysfunction may follow a recognisable pattern, aligning with the emerging clinical phenotype and, in some individuals, potentially foreshadowing subsequent cognitive, behavioural, and neuropsychiatric decline.\nAlthough the early-phase framework provides a useful interpretative structure, several methodological considerations limit the strength of causal inference. Much of the evidence derives from cross-sectional neuroimaging, preclinical models, or clinical samples characterised by polysubstance use, psychiatric comorbidity, and variable durations of abstinence—all factors that make it difficult to attribute effects specifically to cocaine. Structural or functional abnormalities linked to early symptoms may predate cocaine exposure, reflecting pre-existing vulnerabilities rather than early neuroprogressive changes. Additionally, neuroimaging alterations in prefrontal, limbic, striatal, and cerebellar circuits are not unique to stimulant exposure and overlap with patterns seen in mood, anxiety, and other substance use disorders. The idea that these clinical and neurofunctional features represent an initial stage of a broader degenerative vulnerability remains plausible but unproven, particularly in the absence of longitudinal studies capable of demonstrating progression or staging. Therefore, the early-phase model should be viewed as a heuristic framework that requires further empirical validation rather than as a definitive clinical concept.\n\n\n### 3.3.2. Intermediate Phase: Emerging Executive, Motor and Cerebellar Dysfunction Within a Neuroprogressive Framework\nAs cocaine exposure becomes more prolonged, the clinical course may progress to an intermediate phase characterised by a more noticeable and identifiable decline in executive functioning, sensorimotor integration, and behavioural regulation. This stage appears to result from an interaction among pre-existing vulnerabilities, accumulated toxicological effects, and neuroprogressive processes likely initiated in the earlier phase. Executive dysfunction often becomes the dominant feature, with gradual impairments in sustained attention, cognitive flexibility, planning, organisation, judgement, and decision-making. These deficits seem to reflect the progressive weakening of fronto–striato–limbic circuits, with diminished top–down prefrontal control occurring alongside heightened limbic responsivity and reduced capacity for internal and external regulation. Individuals with neurodevelopmental vulnerabilities, especially ADHD, may experience an earlier or more severe transition, as cocaine’s disruptive effects further destabilise already less resilient executive networks, thereby fostering impulsivity, disinhibition, and impaired self-regulation.\nIn parallel, subtle neurological signs may emerge, including clumsiness, fine motor difficulties, mild incoordination, postural instability, and generalised slowing of movement. With ongoing exposure, these subtle signs can progress to more overt motor problems, such as bradykinesia, low-frequency tremor, intermittent rigidity, dyskinesias, or choreo-athetoid movements, together with early cerebellar signs such as dysmetria, ataxia, and scanning dysarthria. These clinical findings align with reports of decreased cerebellar grey matter volume and impaired fronto–striatal structural connectivity in chronic cocaine users [234,235].\nA clinically relevant phenomenon in this phase is heightened sensitivity to extrapyramidal side effects from dopamine D2-blocking agents. Individuals may develop rigidity, tremor, or dystonic reactions at unusually low doses—even after minimal exposure—suggesting reduced functional reserve in the nigrostriatal dopamine system. This hypothesis is supported by imaging evidence of decreased striatal D2/D3 receptor availability and impaired dopaminergic tone in chronic cocaine users [171,190,236]. Overall, these manifestations suggest that this intermediate phase may represent a measurable step in a broader neuroprogressive trajectory, with executive dysfunction, emerging motor abnormalities, cerebellar signs, and hypersensitivity to dopaminergic interference reflecting increasing disruption of fronto–striato–thalamo–cortical networks.\nFrom a neurobiological perspective, this stage appears to consolidate and extend the tentative changes observed earlier. Dopaminergic signalling across fronto–striatal and nigrostriatal pathways may deteriorate further, with imaging studies reporting decreased D2/D3 receptor availability, reduced prefrontal regulatory control, and progressive disinhibition of motor and limbic loops. These changes may reflect a shift from predominantly phasic dopaminergic responses to disorganised tonic states, weakening inhibitory control and contributing to impulsivity, emotional instability, and motor dysregulation.\nCerebellar involvement may also become more prominent. Contemporary models emphasise the cerebellum’s role in predictive coding, timing, and cognitive regulation. Structural and functional studies indicate reduced cerebellar grey matter and disrupted dentato–thalamo–cortical connectivity in chronic cocaine use, which may contribute to postural instability, impaired fine motor coordination, dysmetria, and deficits in temporal and sensory prediction.\nGlutamatergic signalling may also become increasingly dysregulated, with reduced efficiency of prefrontal glutamatergic projections and heightened vulnerability to excitotoxicity in striatal and thalamic targets. This dysregulation could promote compulsive motor patterns, repetitive behaviours, and cognitive rigidity, consistent with evidence of altered glutamate homeostasis and corticostriatal connectivity [237]. Persistent dysregulation of the hypothalamic–pituitary–adrenal axis may additionally contribute to emotional volatility, irritability, and impaired impulse control, as repeated cocaine-induced activation maintains elevated cortisol levels and heightened circulatory stress reactivity [238].\nStructural neuroimaging provides convergent evidence for these neurofunctional dynamics. Progressive thinning of dorsolateral, ventromedial, and orbitofrontal prefrontal regions, loss of hippocampal volume, increased amygdala dysregulation, and deterioration of white matter integrity within associative tracts—including the superior longitudinal fasciculus and corpus callosum—suggest an evolving disconnection syndrome affecting executive, motor, and interhemispheric integration [239,240]. Microstructural changes in the basal ganglia and pallidal circuitry have been associated with bradykinesia, tremor, rigidity, and choreo–athetoid movements, while additional cerebellar volumetric loss and impaired cerebello–thalamo–cortical coupling may contribute to timing deficits and cognitive disorganisation [234].\nOverall, the intermediate phase may reflect a neural system gradually losing coherence and regulatory accuracy. The combined deterioration of dopaminergic, cerebellar, glutamatergic, and stress-regulatory mechanisms indicates an increasingly unstable network structure—one that struggles to sustain cognitive control, emotional balance, and motor coordination, potentially setting the stage for more widespread involvement in later stages.\nWhile the framework introduced above offers a structured interpretation of a potential intermediate stage in cocaine-related neuroprogression, several limitations constrain the strength and specificity of the current evidence. Most findings derive from cross-sectional neuroimaging studies, small clinical samples, or preclinical models, each with notable methodological limitations. Many participants in human studies have polysubstance use, psychiatric comorbidities, or medical conditions that independently affect executive functions, motor systems, and white matter integrity, making it difficult to attribute changes solely to cocaine. Moreover, the structural and functional abnormalities described—such as prefrontal thinning, white matter degradation, basal ganglia alterations, and cerebellar involvement—are not unique to cocaine use and are also observed in mood disorders, ADHD, trauma, and other substance use disorders.\nCritically, the proposed trajectory remains hypothetical, as longitudinal investigations have not demonstrated progression from early to intermediate phases or established reversibility, inevitability, or prognostic significance. Interindividual variability is substantial, and only a subset of individuals may follow patterns resembling those described. Accordingly, the intermediate-phase model should be viewed as a heuristic framework intended to stimulate further mechanistic research rather than a formal staging system. Rigorous longitudinal, multimodal, and mechanistically informed studies will be essential before firmer conclusions can be drawn about the nature, distribution, or clinical significance of this proposed intermediate phase.\n\n\n### 3.3.3. Advanced Phase: Diffuse Cognitive, Behavioural and Motor Impairment Within a Hypothesised Neuroprogressive Trajectory\nWith prolonged exposure to cocaine spanning years or decades, some individuals may develop widespread multisystem impairment that appears to reflect extensive neuronal and synaptic dysfunction. In this hypothesised advanced stage, cognitive decline may become widespread, affecting episodic and semantic memory, suggesting involvement of the hippocampal and entorhinal regions. Visuospatial disturbances—such as impaired spatial orientation, depth perception, and constructional skills—may arise from disruptions within parietal and occipito–parietal networks. Language abilities may decline, with difficulties in naming, understanding complex sentences, and, in some cases, changes in prosody and discourse organisation, indicating combined frontal and temporal cortical impairment. Executive dysfunction, reduced cognitive flexibility, working-memory issues, and diminished verbal fluency may coalesce into a broader dysexecutive syndrome. Procedural memory may decline alongside increasing apathy and social withdrawal, leading to a progressive loss of functional autonomy. Psychiatric symptoms—including persistent psychotic features or obsessive–compulsive phenomena—may appear or worsen, reflecting altered salience attribution, disrupted gating mechanisms, and compromised fronto–striato–thalamo–cortical organisation. As in earlier stages, premorbid vulnerability seems to play a key role: individuals with genetic risk factors for neurodegenerative disease (e.g., APOE ε4 or synuclein-related variants), neurodevelopmental conditions, chronic systemic inflammation, or previous traumatic or infectious CNS insults may experience earlier or more severe deterioration.\nFrom a neurobiological perspective, this advanced phase may involve a widespread decline in homeostatic capacity across multiple neurotransmitter and cellular systems. Progressive dopaminergic dysfunction may co-occur with degeneration of mesolimbic and nigrostriatal pathways, reductions in D2/D3 receptor signalling, impaired reward processing, and compromised motor control. Serotonergic imbalance within raphe–basal ganglia–prefrontal pathways could contribute to affective flattening, irritability, and increased vulnerability to psychotic episodes. Chronic oxidative stress, mitochondrial dysfunction, and neuroinflammation—often associated with long-term stimulant use—may induce microglial activation and sustained cytokine release, creating a low-grade inflammatory environment resembling mechanisms observed in Parkinson’s disease, dementia with Lewy bodies, and certain forms of frontotemporal degeneration. In some individuals, prolonged cocaine use may interact with dopaminergic vulnerability to promote α-synuclein misfolding or accumulation within midbrain circuits, potentially leading to parkinsonian or mixed degenerative conditions.\nStructurally, advanced cases may show widespread atrophy of the frontal, temporal, and parietal cortices, together with progressive degeneration of the hippocampal and limbic regions, which are linked to memory impairment, emotional dysregulation, and apathy. Subcortical structures—including the caudate, putamen, globus pallidus, and thalamus—may show microstructural deterioration consistent with the gradual disintegration of motor and associative circuits. Reduced integrity and metabolic compromise in the ventral tegmental area and nucleus accumbens may accompany these changes. Cerebellar involvement—with significant loss in the vermis and lateral hemispheres and disrupted cerebellum–thalamus–cortical connectivity—may contribute to dysmetria, ataxia, altered motor timing, and cognitive disorganisation. Diffusion tensor imaging may reveal marked reductions in fractional anisotropy across major white-matter tracts—including the corpus callosum, superior longitudinal fasciculus, and fronto–striatal projections—indicating interhemispheric disconnection and progressive breakdown of executive–motor integration. Ventricular enlargement may be observed at advanced stages, reflecting overall parenchymal reduction.\nIn summary, this advanced-stage formulation offers a cautious, hypothetical account of how long-term neurofunctional dysregulation in chronic cocaine use might progress to widespread neuronal impairment in some individuals. Although individual variation remains substantial, available descriptions suggest a slow, progressive decline in cognitive, behavioural, and motor functions that could ultimately lead to serious disability and a diminished quality of life. Clarification of diagnosis at this stage usually involves integrated neuropsychological, neurological, and neuroimaging assessments, while treatment is mainly supportive. Therefore, prevention and early detection are essential, and future research must focus on identifying early biomarkers and developing strategies to modify or potentially halt the neuroprogressive processes linked to chronic stimulant use.\nThe advanced-phase framework outlined above should be approached with caution, as the supporting evidence remains incomplete, indirect, and often drawn from diverse methodological sources. Much of the information comes from case reports, small clinical samples, cross-sectional imaging studies, or extrapolations from preclinical research, rather than long-term studies that can clearly demonstrate neurodegenerative progression linked to chronic cocaine use. Patterns of widespread cortical and subcortical atrophy, extensive white-matter damage, and overall cognitive decline are not unique to cocaine use and are commonly seen in other neuropsychiatric, metabolic, and vascular conditions. Additionally, polysubstance use, medical comorbidities, nutritional issues, and episodes of anoxia or cerebrovascular events make it more difficult to identify cocaine’s specific role in the brain changes observed in later stages.\nIt remains unclear whether the described impairments represent a coherent progression or occur only in a highly vulnerable minority with pre-existing genetic, developmental, or systemic risk factors. The possibility that some late-stage features are due to accelerated ageing, cumulative lifestyle effects, or indirect consequences of chronic illness cannot be ruled out. Therefore, the concept of an advanced stage should currently be treated as a hypothesis rather than a validated clinical entity. Robust longitudinal, multimodal, and mechanistically grounded research will be crucial before confirming the existence, prevalence, or defining features of this potential late phase of cocaine-related neuroprogression.\n\n\n### 3.3.4. Potential Therapeutic Strategies Within the Framework of a Proposed Cocaine-Related Cerebropathy\nManaging neurodegenerative vulnerability in individuals with chronic cocaine use is a complex clinical challenge, requiring a coordinated, highly personalised approach. Neuropsychiatric symptoms—such as mood instability, anxiety, sleep disturbances, emerging memory issues, and executive dysfunction—may mimic primary psychiatric disorders, complicating diagnosis. At the same time, cocaine use disorder exhibits its own distinct psychopathology, ranging from depressive and anxious symptoms to panic episodes, psychosis, and significant behavioural dysregulation, often masking early signs of a broader neuroprogressive process. In individuals with reduced neural reserve, multimorbidity, or pre-existing biological vulnerabilities, susceptibility to cocaine-related neurotoxicity may be heightened, emphasising the importance of comprehensive assessment covering psychiatric, neurological, and neuropsychological aspects.\nComplete abstinence from cocaine forms the essential basis for all subsequent therapeutic strategies. Achieving abstinence usually involves a combination of psychosocial and pharmacological measures. Individual and group counselling, together with participation in structured support programmes, can enhance insight, reduce relapse risk, and support stress regulation [214,238]. Although no pharmacological agent is formally approved for cocaine use disorder, several compounds have shown partial or context-dependent benefits. Psychostimulants such as methylphenidate or lisdexamfetamine may help stabilise dopaminergic tone in individuals with co-occurring ADHD, while bupropion and ropinirole have demonstrated variable effects on craving. Among glutamatergic and GABAergic interventions, topiramate has been linked to reductions in craving intensity, and N-acetylcysteine may support glutamate homeostasis and help mitigate compulsive use patterns. Evidence suggests that alcohol use disorder is associated with disruption of glutamatergic homeostasis, contributing to relapse vulnerability and impaired impulse control. N-acetylcysteine (NAC), a precursor of glutathione capable of modulating glutamate transmission, has been shown in preclinical models to reduce relapse-like alcohol consumption and improve impulse control without significantly affecting overall alcohol intake or motivation to drink. These findings support the hypothesis that NAC primarily acts on neurobiological mechanisms related to relapse prevention and behavioural regulation rather than on reward processes directly. Given its antioxidant properties and its role in restoring neurochemical balance, NAC has emerged as a potential adjunctive treatment in addiction and other neuropsychiatric conditions characterised by impaired glutamatergic regulation, although further clinical validation remains necessary [241,242].\nPharmacological decisions require particular caution. Long-standing stimulant exposure may be associated with reduced striatal dopaminergic reserve, early motor abnormalities, or heightened sensitivity to dopaminergic interference [171,190]. Antipsychotics with high D2-blocking affinity may therefore exacerbate bradykinesia, rigidity, or executive dysfunction, and their use should be restricted to situations of clear necessity, preferably selecting agents with lower D2 occupancy. SSRIs may likewise require careful titration, as they can worsen anhedonia or disrupt reward processing in individuals with compromised mesocorticolimbic signalling. When affective instability prevails, mood stabilisers such as lamotrigine, valproate, or low-dose lithium may be more suitable.\nManagement of cognitive, neurological, and behavioural sequelae is increasingly important in the context of emerging neuroprogressive patterns. When present, cognitive decline predominantly affects executive function, attention, processing speed, and working memory rather than a primary amnestic profile. Management should therefore focus on neuropsychological rehabilitation to enhance compensatory strategies, promote neuroplasticity, and preserve functional autonomy. In selected cases with mixed or subcortical-like cognitive features, cholinesterase inhibitors may be considered symptomatically; however, their use should not be interpreted as targeting a primary cholinergic deficit, as evidence for cholinergic degeneration in cocaine-related cognitive impairment remains limited. Motor coordination and balance difficulties—particularly when cerebellar involvement is suspected—may benefit from targeted physiotherapy and occupational therapy.\nLifestyle and medical optimisation are key components of the therapeutic framework. A balanced diet, tailored physical activity, proper sleep hygiene, structured stress-reduction strategies, and careful management of cardiometabolic risk factors may confer vital protective effects on neural systems already experiencing chronic dysregulation.\nIn summary, managing cocaine-related neuroprogressive vulnerability requires a multidimensional, coordinated, and carefully tailored clinical approach. Early identification of patterns potentially linked to prolonged cocaine use, together with timely intervention, may help reduce functional decline. An integrated strategy that combines psychosocial support, carefully selected pharmacotherapies, neurorehabilitation, and structured education for patients and their families provides the most cohesive framework for maintaining function and quality of life in this vulnerable group. A structured overview of these therapeutic methods is presented in Table 4.\n\n\n### 4. Discussion\nChronic cocaine use in older adults presents an emerging and clinically significant challenge, characterised by a range of neuropsychiatric, cognitive, and motor disturbances that extend beyond the traditional boundaries of substance use disorders. Growing evidence indicates that prolonged stimulant exposure may interact with age-related changes, pre-existing vulnerabilities, and cumulative toxicological burdens to produce a pattern of neurofunctional decline that, in some individuals, resembles or anticipates features of recognised neurodegenerative conditions [190,191,192]. Within this conceptual framework, the idea of a cocaine-related neuroprogressive vulnerability—tentatively known as cocaine-specific cerebropathy—serves as a heuristic model rather than an ostensive category, providing a way to organise the diverse and partially overlapping findings available to date.\nAcross the literature, numerous mechanisms have been linked to this potential vulnerability, including oxidative stress, excitotoxicity, mitochondrial dysfunction, neuroinflammation, and dysregulation of dopaminergic, glutamatergic, and stress-response circuits [82,128,214,215,237]. These processes may gradually undermine neural resilience, particularly in the ageing brain, where compensatory capacity is already diminished. Clinically, the resulting phenotype encompasses executive dysfunction, affective instability, reward and salience dysregulation, psychotic-like or obsessive–compulsive symptoms, motor slowing or parkinsonism, cerebellar signs, and, in its most advanced stages, global cognitive impairment and reduced autonomy [116,161,201]. Neuroimaging findings—including cortical thinning, hippocampal atrophy, white matter disconnection, and microstructural abnormalities in striatal and cerebellar pathways—provide partial yet significant support for this interpretation [114,165,172,173].\nHowever, the evidence base remains methodologically diverse and often indirect. Much of the available knowledge derives from cross-sectional studies, small or clinically selected samples, preclinical models, or cohorts with polysubstance use and significant comorbidity, making it difficult to isolate cocaine-specific effects [176,177]. Furthermore, several structural and functional changes attributed to chronic stimulant exposure overlap with patterns observed in psychiatric disorders, vascular diseases, or normal ageing. Only a minority of individuals appear to show a clearly progressive pattern, and the boundary between reversible neuroadaptation and irreversible neuronal damage remains poorly understood. Importantly, direct evidence of progressive neuronal loss attributable to chronic cocaine exposure in humans remains limited and largely indirect. While mitochondrial dysfunction and oxidative stress represent the most consistently documented mechanisms overlapping with classical neurodegenerative pathways, other findings—such as dopaminergic dysregulation, α-synuclein alterations, neuroinflammation, and large-scale network changes—are suggestive but insufficient to establish a definitive or self-sustaining neurodegenerative process.\nThese limitations reflect the uncertainties highlighted in the Critical Appraisal sections: the proposed staging model is conceptually valuable but empirically tentative, and causal conclusions remain premature.\nAlthough the putative mechanisms of cocaine-related neuropsychiatric disorders are numerous, translation into therapeutic strategies remains limited. As described by Venniro et al., experimental models have advanced our understanding of the brain mechanisms of drug self-administration and relapse, yet these mechanistic gains have not translated into improvements in addiction treatment. This problem is not unique to addiction neuroscience, but it is an increasingly common source of disappointment and calls to regroup [243].\nFrom a therapeutic perspective, the framework emphasises early detection, sustained abstinence, and comprehensive multidisciplinary assessment that integrates psychiatric, neurological, and neuropsychological domains. Tailored pharmacological strategies, neurorehabilitation, cognitive remediation, and lifestyle interventions may help stabilise vulnerable circuits and preserve autonomy. Equally essential is identifying individuals with heightened biological susceptibility—whether genetic, neurodevelopmental, vascular, or inflammatory [195,196]—who may require more intensive monitoring and early intervention.\nSignificant gaps remain. Long-term, multimodal, and mechanistically grounded longitudinal studies are urgently needed to determine whether the alterations described represent transient neuroadaptation, accelerated ageing, or true progressive neurodegenerative trajectories in a subset of vulnerable individuals. Future research should integrate advanced neuroimaging, fluid biomarkers [8], genetic risk profiling, and careful phenotypic stratification to clarify causality, temporal progression, and potential reversibility.\nA clearer distinction must be drawn between classical neurodegenerative diseases and the degeneration-like patterns discussed in this framework. Established neurodegenerative disorders are defined by disease-specific proteinopathies (e.g., amyloid-β and tau in Alzheimer’s disease, α-synuclein aggregation in Parkinson’s disease and dementia with Lewy bodies), selective neuronal loss, and predictable neuropathological staging. To date, no consistent evidence demonstrates that chronic cocaine exposure induces such disease-defining proteinopathies or a self-propagating degenerative cascade in humans. Many of the alterations described in this Perspective—particularly dendritic spine remodeling, dopaminergic receptor changes, and large-scale network connectivity shifts—may instead reflect maladaptive neuroplasticity or prolonged neuroadaptive responses rather than irreversible neuronal degeneration.\nAgeing-related changes in cognitive reserve, synaptic resilience, and vascular reactivity may represent critical modulators of the proposed vulnerability framework. With advancing age, compensatory capacity within large-scale neural networks progressively declines, reducing tolerance to metabolic stress, inflammatory activation, and dopaminergic imbalance. Individuals with lower cognitive reserve—due to educational, developmental, psychiatric, or vascular factors—may therefore exhibit earlier or more pronounced functional decline under chronic stimulant exposure. Similarly, age-related vascular sensitivity and microvascular fragility may amplify cocaine-induced vasoconstrictive and inflammatory effects, increasing the risk of cumulative network disruption. In this context, cocaine exposure may interact not only with neurodegenerative pathways but also with age-dependent reductions in synaptic resistance and neuroplastic compensation.\nUltimately, recognising late-life cocaine use as a potential neurodegenerative risk condition represents a conceptual development rather than a complete nosological shift. Nonetheless, it encourages clinicians and researchers to adopt a broader perspective on stimulant-related brain changes—one that emphasises vulnerability, prevention, and early intervention as central components of care.\nInterestingly, several clinical and experimental aspects associated with cocaine use have also been reported in relation to sleep disorders and deprivation, which are common in CUD (see references below). Therefore, addressing basic needs such as sleep can be helpful in treating CUD and other addictions. However, these important aspects are insufficiently considered in clinical practice, even though all clinicians should be able to manage them. This is all the more important given that there is currently no validated specific medication for CUD [244,245,246,247,248,249,250,251,252,253,254,255].\n\n\n### 5. Conclusions\nChronic cocaine exposure may increase neurobiological vulnerability rather than produce a primary neurodegenerative disease. Available evidence supports a neuroprogressive risk model in which stimulant-related neuroadaptations interact with ageing, individual susceptibility, and medical or psychiatric comorbidity.\nThe concept of cocaine-related cerebropathy is therefore proposed as a heuristic framework intended to organise heterogeneous findings without defining a distinct nosological entity. Current data remain insufficient to establish causality or progression, highlighting the need for longitudinal and mechanistically oriented studies.\nEarly detection, sustained abstinence, and integrated multidisciplinary care remain central clinical priorities in preventing long-term cognitive and functional decline.", "domain": "affective_neuroscience"}
{"source": "PMC13015335", "title": "Digital Twin Brain simulation and manipulation of a functional brain network underlying mental illness", "text": "# Digital Twin Brain simulation and manipulation of a functional brain network underlying mental illness\n\n## Abstract\nLinking synaptic-level perturbations to distributed brain-network dynamics remains a central challenge for understanding and treating mental illness. Although recent whole-brain models can reproduce individual brain activity patterns, they largely function as descriptive simulators rather than mechanistic, intervention-capable systems. Here we present an intervention-capable digital twin of the human brain, integrating individual neuroanatomy and task-evoked dynamics within a neuronal-scale framework. Individualised digital twin brains recapitulate a participant-specific compact cortico-subcortical network phenotype that captures transdiagnostic psychopathology across population and clinical cohorts. In silico modulation of excitatory and inhibitory synaptic conductance produces bidirectional, heterogeneous network responses across individuals. Population-scale simulations stratify individuals and predict longitudinal symptom trajectories from DTB-derived response profiles. Independent pharmacological functional MRI data further validate the predicted baseline-dependent network responses in vivo. Together, these findings establish digital brain models as experimental platforms for mechanistic perturbation, behavioural prediction and stratification, providing a foundation for precision neuroscience and psychiatry.\n\n## Full Text\n\n\n### A compact cortico–subcortical network phenotype of psychopathology.\nWe first delineated the NP factor, a shared functional connectivity phenotype that captures psychopathology across symptom domains and cohorts. As in our previous work28, conducted in 14 year-old adolescents of the IMAGEN study, we applied connectome-based predictive modeling to the task-based functional connectomes derived from the monetary incentive delay and stop-signal task in 19 year old young adults of IMAGEN follow-up 2 (n=1,050, age 18.4±0.7 years, Table S1). Four of six task conditions (stop success and failure in SST; reward anticipation and positive feedback in MID) significantly predicted a range of externalising and internalising symptoms at age 19 (Fig.1a; Table S2–3). Across these predictive task conditions, we identified two transdiagnostic functional connectivity (FC) profiles: one positive profile of 34 edges where stronger connectivity was associated with higher symptom burden across domains, and one negative profile of 29 edges where weaker connectivity was associated with higher burden. These edges were concentrated within and between default mode, frontoparietal, somatomotor–frontal, limbic, and cerebellum systems (Fig.1b). To quantify these functional connectivity profiles, we computed positive and negative NP scores for each individual by summing the strength of edges in each profile.\nTo test whether the NP scores generalise to clinical populations, we re-computed them from task-state FC in an independent case–control cohort (STRATIFY, n=434, age 21.8±2.0 years). Only the negative NP score showed robust case-control differences, with lower scores in patients than in healthy controls (Fig.1c; Fig.S1). Thus, the negative NP profile defines a shared network phenotype of transdiagnostic psychopathology.\nTo characterise the neurobiological context of this negative NP circuit, we examined whether negative NP-related regions exhibit a distinctive neurochemical signature in empirical PET receptor maps. Using published PET-derived receptor density maps45, we found that NP-related regions showed higher receptor-map values for glutamatergic, serotonergic, cholinergic, and cannabinoid systems than NP-unrelated regions (Fig.S2, Table S4, all Pcorrected < 0.05). These receptor systems are primarily involved in regulating cortical excitatory drive and neuromodulatory control of network dynamics, and are known to influence E/I balance at the circuit level through modulation of glutamatergic transmission46,47, GABA interneuron recruitment48–50, recurrent coupling51, and gain control52 mechanisms.\nTo enable computationally tractable digital twin brain (DTB) modeling, we restricted the negative NP profile to cortico-subcortical edges, excluding the cerebellum and brainstem. These regions exhibit distinct cytoarchitecture and neuronal dynamics53 and are not currently parameterized in our DTB framework (see Methods for details). Finally, we identified a compact set of 12 task-state functional connections linking regions spanning prefrontal control, default-mode, sensorimotor, and limbic systems (Fig.1d; Table S5). The summed strength of these 12 edges remained significantly reduced in patients relative to controls (Fig.1e; Fig.S1), and served as the final NP factor and target for subsequent DTB simulations and in-silico E/I modulations.\n\n\n### Individual digital twin brains reveal a bidirectionally E/I-tunable NP factor.\nWe next asked whether this NP factor can be reconstructed and mechanistically manipulated in individualised, biologically grounded models. To this end, we applied the previously established DTB framework9,10 to generate participant-specific task-state models (Methods; Fig.2a; Fig.S3). Following a calibration experiment across neuronal resolutions (Fig.S4; Table S8; more details in Methods and Supplementary Results), we implemented DTBs at three complementary scales: billion-neuron voxel-wise models to establish biological fidelity and simulation feasibility, 100-million-neuron models for controlled perturbational exploration, and computationally tractable regional models for population-level statistical inference. Across all scales, models were constructed using a common pipeline. The individual voxel-wise grey and white matter anatomy were first transformed into a multi-population neuronal network. The activity of each neuron in this network was modelled using the leaky integrate-and-fire (LIF) model54, equipped with excitatory (AMPA-mediated) and inhibitory (GABA-A-mediated) synapses. We then estimated hyperparameters by assimilating empirical BOLD signals in task-engaged regions (Methods; Table S6) to mimic external current inputs driving the model from rest to task-states9,10. Finally, the voxel-wise neuronal activity (mean firing rate of neuronal population) was converted into BOLD signals using the Balloon-Windkessel model55.\nWe first selected four participants as illustrative exemplars according to the behavioural symptoms and negative NP scores, including participants with major depressive disorder (MDD), alcohol use disorder (AUD), and healthy controls (HC01 and HC02) (demographics information in Table S7, selection criteria in Methods), to demonstrate the feasibility and mechanistic properties of neuronal-scale digital twin simulations. These examples are presented for illustration only; all statistical inferences are based on group-level analyses that account for site and sex effects (see Supplementary Results). Using a 1-billion-neuron scale (Fig.S4; Table S8), their individualised DTBs accurately reproduced task-evoked dynamics in MID and SST. Simulations achieved high voxel-wise correlations with empirical BOLD in assimilated regions (mean r=0.9, in-sample correlations). Across the whole brain, mean correlations of four individuals (mean r=0.30−0.44) were clearly above a reference simulation obtained by a single random parameter shuffle (mean r=0) (Fig.2b-c; Fig.S5–6; Table S9). These DTBs also produced whole-brain functional connectivity patterns that closely matched empirical connectomes in both tasks (Fig.2d; Table S9).\nBased on the simulated baseline NP configuration, we next examined whether NP circuit dynamics could be systematically manipulated within the DTB framework. In recurrent cortical networks, E/I balance emerges from the interaction of inhibitory interneuron recruitment56,57, recurrent coupling51,57, and synaptic gain58, and is governed by circuit dynamics rather than receptor density alone. Consistent with this systems-level perspective, we treated both AMPA- and GABA-A-mediated synaptic conductance as global dynamical control parameters, enabling controlled perturbation of NP network activity within individualised digital twins. Notably, publicly available PET datasets did not show preferential expression of GABA receptor systems in NP-related regions, reinforcing the interpretation that inhibitory modulation in the model reflects circuit-level dynamical control rather than regionally localized receptor enrichment.\nAccordingly, we varied the synaptic conductance parameters for AMPA and GABA-A receptors in the 100-million-neuron DTBs of the same illustrative participants. Despite the reduced resolution, DTBs preserved high fidelity in assimilated regions and acceptable whole-brain correspondence (Table S10). Moreover, 100-million-neuron DTBs retained sufficient subject-specific NP-factor phenotypes such that each individual’s simulated NP factor best matched their own empirical value, with significantly lower mean-squared error for within-subject matches than any cross-subject pairing (permutation tests across 1,575 simulated–empirical pairings, Supplementary Results; Fig.S7), therefore supporting its use for controlled perturbational experiments. Using these established DTB models, we performed systematic perturbations by upregulating synaptic conductance for AMPA (0.0020−0.0052) and GABA-A receptors (0.0015−0.0040) across a predefined parameter grid, guided by evidence for reduced glutamatergic and GABAergic function in depression24,25 and addiction27,34. Parameter ranges were constrained by biologically plausible neuronal firing rates59, synchronization60, and simulated BOLD activity. During GABA-A manipulations, AMPA conductance was fixed at the value that maximized NP factor enhancement in prior sweeps, allowing controlled assessment of E/I balance and avoiding excessive inhibition (see more details in Methods).\nVirtual modulation of AMPA- and GABA-A-mediated synaptic conductance produced bidirectional, heterogeneous changes in NP connectivity across illustrative participants. Specifically, in two patient brain models, both excitatory and inhibitory upregulation increased NP-factor strength, and in illustrative healthy control models, the same perturbations yielded divergent responses, with modest increases in one individual and clear decreases in the other (Fig.2e-f; Tables S11–12). These examples demonstrate that identical synaptic perturbations can lead to bidirectional changes in NP-factor strength across individuals.\nTo test whether this bidirectional response generalises across cognitive contexts, we repeated the same E/I perturbations in an alternative task (the Emotional Face Task) in the same participants. Comparable bidirectional modulation effects were observed (Supplementary Results; Fig.S8; Table S13), indicating that the E/I-sensitive response properties of the NP circuit are not task-specific, but generalise across distinct cognitive contexts.\n\n\n### Population-scale in silico perturbations attenuate NP abnormalities and stratify individuals.\nThe single-subject analyses suggest that in silico E/I perturbation can shift NP network toward the control distribution observed in STRATIFY (reflected by increased NP-factor strength), although not uniformly across individuals. To further explore whether these effects generalise across the cohort and relate to behavioural differences, we performed population-scale simulations, which allow us to link individual susceptibility to excitatory and inhibitory synaptic perturbations with behavioural symptoms. To enable large-cohort simulations, we developed regional DTBs that convert regional MRI-derived structural features into spiking neural networks comprising 3 million neurons (identified from calibration experiment, Fig.S4, Table S14), with neuron counts allocated proportionally to regional grey matter volume to preserve anatomical scaling while maintaining computational tractability (Methods). While voxel-wise DTBs establish mechanistic feasibility at high-fidelity resolution, these regional DTBs are used to test whether these principles scale to population-level inference.\nWe constructed individualised DTBs for 72 patients with MDD, 59 with AUD and 69 healthy controls from STRATIFY, as well as 90 individuals with high externalising and internalising symptoms from IMAGEN (Table S15). These participants from STRATIFY were included because they possessed complete, high-quality multimodal imaging (T1-weighted, DTI, fMRI) and behavioural data. These DTB models reproduced individual task-evoked BOLD signals with moderate-to-high accuracy during in-sample fitting phase (Fig.3a), generated NP factors that closely matched empirical values at the group level (Fig.S9), and mirrored case–control group differences observed in vivo (Fig.3b; Fig.S9). As an additional validation beyond NP circuit, simulated whole-brain FC also predicted task-related behavioural performances and, on average, outperformed empirical FC (Supplementary Results; Fig.S10; Table S16), suggesting that DTBs distill behaviourally relevant variance that is only partially captured by conventional functional connectivity.\nMotivated by these converging validations, we then applied the same AMPA and GABA-A neuromodulation schemes used in the 100-million-neuron DTBs to all 290 participants. At the group level, both excitatory and inhibitory upregulation shifted NP factors in patients toward values observed in controls, in other words, after either AMPA or GABA-A modulation, previously significant differences between patients, high-symptom individuals and healthy controls were no longer significant (Fig.3c-d). Within each clinical group, NP factors increased on average following both AMPA and GABA-A manipulations (Fig.3e; Fig. S11).\nDespite clear group-level increases, individual responses were heterogeneous and often bidirectional (Fig.3f). Following AMPA modulation, both patients and controls showed increased NP factor on group average, but the proportion of “increasers” (ΔNP > 0) was substantially higher among patients than controls (Table S17). Baseline simulated NP factor was strongly and inversely correlated with AMPA-induced change (Fig.3g), such that individuals with lower baseline connectivity, typically patients, exhibited the largest gains, whereas those with high baseline NP showed modest increases or decreases. GABA-A modulation produced a similar, though weaker, negative association (Fig.3h). Importantly, these baseline–ΔNP couplings significantly exceeded a null distribution generated by permuting ΔNP values across individuals (10,000 permutations, two-sided P<0.0001; see Methods), indicating that the relationship reflects structured baseline-dependent dynamics rather than statistical regression to the mean.\nTo facilitate clinical interpretation of this response heterogeneity, we descriptively stratified individuals based on the direction of their joint responses to AMPA and GABA-A perturbations. Participants whose NP factors increased under both manipulations were classified as “increased responders”, whereas those with at least one decrease were classified as “decreased responders”. This stratification was used for visualization and group-level comparison only; the underlying baseline–ΔNP relationships were treated as continuous throughout statistical analyses. Increased responders were markedly more prevalent among patients than among high-symptom individuals or healthy controls (Fig.3i) and did not differ systematically by site or sex (Tables S18–19; Supplementary Results). Clinically, the increased responders, characterised by lower simulated baseline NP factors, showed greater symptom burden, including more panic attacks and negative affect, and reduced social support, compared with the decreased responders after controlling for sex, site, and head motion (Fig.3j; Table S20).\nTogether, these findings indicate that DTB-derived virtual responses offer an individualised, mechanistically interpretable stratification, whereby different responses in NP circuit map onto meaningful differences in clinical and behavioural profiles. A critical question, however, is whether these virtual baseline-dependent, bidirectional response structures also emerge under real pharmacological perturbations in vivo.\n\n\n### Pharmacological E/I perturbation in vivo mirrors digital twin predictions of NP modulations.\nTo address this, we analysed pharmacological fMRI data from 27 healthy male participants (27.3±6.2 years), who performed the MID task following ketamine (0.25 mg/kg), midazolam (0.03 mg/kg), or placebo administration in a randomized, single-blinded, three-way crossover design (Fig.4a). Ketamine, an NMDA receptor antagonist, reduces inhibitory interneuron activity and indirectly enhances AMPA-mediated excitatory transmission23,61, whereas midazolam, a GABA-A receptor positive allosteric modulator, increases inhibitory synaptic conductance and dampens network excitability62,63. Because pharmacological data were only available for the MID task-fMRI, we focused on a MID-specific NP connectivity, defined as the summed strength of the six MID edges that contributed to the NP circuit. Placebo served as the empirical analogue of the DTB baseline simulation, whereas ketamine and midazolam provided in vivo perturbations with predominant effects on excitatory-leaning and inhibitory neurotransmission, respectively. We tested whether these perturbations reproduce the baseline-dependent response structures predicted by AMPA and GABA-A modulations in silico.\nAt the group level, neither ketamine nor midazolam induced a significant change in summed NP-related MID connectivity relative to placebo (Fig.S12), suggesting that conventional group-mean analyses would miss potential relationship between brain network configuration and pharmacological response. However, individual-level analyses revealed a bidirectional, baseline-dependent pattern closely resembling DTB simulations. Unsupervised k-means clustering of combined ketamine- and midazolam-induced FC changes identified two subgroups (Fig.S12). In Group 1 (n=19), both ketamine and midazolam significantly increased NP-related connectivity after adjusting for head motion effects (Fig.4b-c), whereas in Group 2 (n=8), both drugs significantly decreased it (Fig. 4d-e). Baseline NP-related connectivity under placebo was significantly lower in the increased-response group than in the decreased-response group (Fig.4f), and baseline FC was inversely related to drug-induced change across individuals (Fig.4g-h). This inverse baseline–ΔFC relationship significantly exceeded a permutation-derived null distribution generated by shuffling drug-induced changes across individuals (10,000 permutations; midazolam: two-sided P=0.0056, ketamine: two-sided P=0.069, showing a trend in the same direction; see Methods), indicating that the bidirectional response is unlikely to reflect regression to the mean alone. Thus, pharmacological E/I perturbation in vivo reproduces the bidirectional, baseline-dependent modulation of NP circuit predicted in silico by DTBs.\nTo match the pharmacological dataset (MID only), we restricted virtual modulation to MID-specific NP connectivity to place the model and pharmacological data in the same task context. Importantly, a bidirectional, baseline-dependent response toward virtual modulation of MID-specific NP connectivity was preserved (Supplementary Results; Fig. S13), indicating that the core dynamic property of the NP circuit is robust to this task restriction.\nWe then asked whether a quantitative mapping learned entirely in silico could generalise to predict individual pharmacological responses. In DTBs, we first estimated a linear mapping between simulated baseline MID FC and virtual modulation-induced changes in NP-related connectivity. Applying this same mapping to empirical placebo MID FC, we obtained subject-specific predictions of ketamine- and midazolam-induced FC changes. Predicted and observed drug-induced changes closely matched at the individual level (Fig.4i-j) and stratified participants with opposite response directions (AUC of ketamine=0.69; AUC of midazolam=0.83; Fig.4k), further supporting the translational relevance of DTB-derived virtual modulation.\nTogether, these findings show that DTBs not only recapitulate individual-level, baseline-dependent response structure observed under pharmacological perturbation, but also provide a mechanistic template for forecasting individual drug-induced circuit shifts from baseline network configuration.\n\n\n### DTB-derived perturbational responses predicts future changes in symptoms.\nWe next asked whether DTB-derived perturbational responses carry prospective information about longer-term symptom trajectories. Focusing on internalising symptoms (given the limited prevalence of externalising symptoms at age 23), we first learn a linear mapping from empirical NP connectivity at age 19 to concurrent internalising symptom scores (Fig.4l). We then applied this mapping to simulated NP connectivity before and after virtual E/I modulation to obtain subject-specific predicted symptom changes, termed the “behavioural restoration” index.\nWe quantified observed symptom change over four years (Δbehaviour, ages 19–23) and tested whether the DTB-derived “behavioural restoration” index predicted these longitudinal changes. Across individuals, baseline symptoms and the restoration index for AMPA modulation together explained ~23% of the variance in the symptom changes (Fig.4m). The restoration index alone was significantly correlated with empirical symptoms changes (Fig.S14), indicating that individuals whose NP circuit was more “normalisable” in silico were less likely to deteriorate and more likely to remit. Importantly, the restoration index contributed unique predictive value beyond baseline symptoms, significantly increasing explained variance by ~5% relative to a symptom-only model (Fig.S14). However, the behavioural restoration index for GABA-A modulation was not correlated with empirical symptom changes (Fig. S14).\nThese findings suggest that DTB-derived perturbational response metrics capture not only cross-sectional heterogeneity but also clinically relevant dynamical properties that forecast longitudinal trajectories. Taken together with the pharmacological validation above, these results position DTB models as a promising tool for predicting and stratifying individualised responses to neurotransmitter-targeted interventions, with potential implications for the development and personalization of future psychiatric treatments.\n\n\n### Discussion\nWe simulated a transdiagnostic, behaviourally relevant task-evoked functional network phenotype (i.e., NP factor) within individualised neuronal-scale digital twin brain models. By systematically perturbing AMPA- and GABA-A–mediated synaptic gain, we quantified individual-specific, bidirectional network responses and linked these virtual response profiles to both pharmacological fMRI effects and longitudinal symptom trajectories. These results demonstrate that digital brain models can move beyond descriptive simulation of neural activity to perform controlled in silico perturbations for mechanistic interrogation and individualised counterfactual prediction. By introducing biologically interpretable synaptic parameters, our framework allows precise manipulation of excitation–inhibition balance at the neuronal scale while preserving each individual’s anatomical and task-evoked constraints, establishing a new class of perturbational and predictive digital brain models for computational neuroscience and psychiatry.\nThe NP factor represents a compact functional connectivity pattern that relates to a broad spectrum of internalising and externalising symptoms across heterogeneous populations. It is characterised by reduced functional integration among limbic, default-mode, frontoparietal control, and cingulo-opercular networks, which jointly support reward processing, cognitive control, and attention allocation64–67. Disruptions within and between these networks have been reported across mood, anxiety, and substance use disorders, as well as in population-based samples spanning the full range of symptom severity18–20,68. In this sense, the NP factor reflects a shared circuit phenotype rather than a disorder-specific marker. Importantly, we treat NP as a continuous circuit dimension rather than a diagnostic classifier. This makes it suitable as a perturbational readout: it is sufficiently low-dimensional to allow explicit predictions about network reconfiguration, while remaining anchored in identifiable large-scale functional systems.\nA central contribution of the NP-DTB framework is that it renders a descriptive task-evoked connectivity phenotype experimentally manipulable. Conventional neuroimaging analyses typically relate connectivity measures to behavioural symptoms, but they do not permit controlled intervention at the circuit level69,70. By contrast, DTBs establish an explicit link between large-scale functional network organization and synaptic-scale parameters, enabling in silico perturbation of defined excitatory and inhibitory mechanisms. In addition, DTBs reproduce individualised, task-evoked functional connectivity patterns that are challenging for the conventional whole-brain models, which often rely on coarse-grained regional parcellations and focus primarily on resting-state dynamics71,72. This task-state emphasis is critical, as many clinically relevant circuit abnormalities are context dependent20,73, and network configurations expressed during reward processing or inhibitory control cannot be inferred from resting-state activity alone74. By assimilating task-state signals and applying perturbations at the synaptic level, DTBs generate individual-specific predictions of how functional circuits respond to mechanistically interpretable excitatory or inhibitory modulation.\nUsing this framework, we observed a pronounced baseline-dependent heterogeneity in NP connectivity response to virtual E/I perturbations. Individuals with lower baseline NP factor scores tend to show larger increases following perturbation, whereas those with higher baseline NP show modest increases or even decreases. Interestingly, both excitatory-leaning (AMPA) and inhibitory-leaning (GABA-A) perturbations often shifted NP connectivity in the same direction within a given individual model. This convergence does not contradict excitation–inhibition balance; rather, it reflects the nonlinear, regime-dependent dynamics of large-scale recurrent networks, in which multiple control parameters can move the system toward a balanced operating regime depending on baseline state75–77, consistent with prior empirical and computational modeling studies57,78–81. Notably, the bidirectional convergence of excitatory- and inhibitory-leaning perturbations at the network level does not imply equivalence of their molecular mechanisms, but instead reflects compensatory and nonlinear circuit dynamics in which E/I balance acts as a key control variable57,79,80.\nTwo independent lines of evidence further support the biological plausibility of the causal links between microscale neurotransmitter systems and large-scale functional networks inferred by the DTB models. First, PET-derived receptor maps show that regions contributing to the NP circuit are enriched in receptor systems involved in regulating excitation–inhibition balance46,49,51,52, providing a neurochemical context for why E/I perturbations plausibly modulate this circuit, although these maps are group-level and cannot establish individual causality. Second, pharmacological fMRI data provide an independent empirical perturbation reference for examining how excitatory and inhibitory neurotransmitter modulation affects NP-related connectivity. Although ketamine and midazolam did not produce robust group-mean effects on NP-related connectivity, individual-level analyses revealed bidirectional, baseline-dependent responses that closely mirror DTB predictions. The convergence between in silico perturbations and pharmacological modulation in vivo suggests that heterogeneity in NP network responses may reflect differences in baseline circuit state, a property also evident in pharmacological responses, rather than an artifact of the digital twin models.\nTherefore, a key future implication of the DTB framework is that an individual’s baseline functional network configuration carries information about the direction and magnitude of network change under perturbation. This is supported by our analyses showing a significant inverse relationship between baseline NP connectivity and modulation-induced ΔNP in both AMPA- and GABA-A–mediated virtual perturbations, as well as in pharmacological fMRI data (Fig. 3g–h; Fig. 4g-k). Depending on their initial circuit state, the same intervention may increase network integration in some individuals while decreasing it in others. In this work, we illustrate the translational potential of this approach in two ways. First, we learned a mapping from baseline NP connectivity to virtual perturbation responses in silico and applied it out-of-sample to forecast drug-induced circuit changes in vivo. Second, by linking virtual NP network changes to behaviour, we define a “behavioural restoration” index that quantifies an individual’s brain circuit susceptibility to intervention. This index predicts differences in future symptom trajectories beyond what baseline symptom severity alone can explain, providing a measurable, testable readout of circuit “normalisability” based directly on the model’s simulated perturbation responses. Beyond prediction, the DTB framework also supports mechanistic stratification based on baseline brain network configuration rather than symptom severity alone. Individuals with similar symptom burden but distinct NP configurations can follow divergent trajectories over time, offering a mechanistic explanation for why symptom-based stratification often fails to anticipate treatment response. However, we should note that the excitatory and inhibitory perturbations implemented in the DTB represent controlled shifts in synaptic gain that move the system across distinct network operating regimes, rather than modeling reality drug actions. Thus, this predictive framework is intended for risk stratification and mechanistic insight, rather than deterministic individual-level prognosis.\nNotably, model-empirical similarity increased with neuronal resolution in voxel-wise simulations, consistent with scaling properties of the previous studies9,10. Regional DTBs showed higher similarity in aggregated BOLD dynamics but lower correspondence in functional connectivity relative to voxel-wise models, likely reflecting reduced spatial granularity for capturing individual-level network structure. Nevertheless, regional models remained computationally tractable and retained sufficient fidelity to predict task performance and empirical group-level differences, supporting their use for population-scale perturbational analyses. Rather than serving as exact replicas of biological brains, DTBs should be viewed as experimentally controllable models that enable causal hypothesis testing in systems otherwise inaccessible to direct manipulation.\nSeveral limitations should be noted. DTB inferences depend on simplifying modelling assumptions, e.g., fixed excitatory-inhibitory neuron ratios, homogeneous synaptic architecture, and simplified neuronal dynamics. Accordingly, AMPA- and GABA-A–labelled parameters should be interpreted as phenomenological gain parameters rather than direct mapping to drug mechanisms. The present DTB framework does not incorporate the full range of neurotransmitter systems, nor cerebellar microcircuit dynamics, and pharmacological validation was limited to a single task and cohort. Although PET receptor maps provide biological plausibility, they do not capture individual neurochemical variability. Despite these constraints, the convergent evidence suggests that a compact task-evoked circuit phenotype can be linked to explicit synaptic control parameters in individualised models, yielding baseline-dependent, and bidirectional predictions that align with pharmacological perturbations and carry prognostic information. Together, these findings motivate a shift from descriptive biomarkers toward perturbational models that explain and predict individual differences in psychiatric trajectories.\n\n\n### Methods\nThe discovery dataset used to idenitify brain phenotype of transdiagnostic symptoms was derived from the IMAGEN cohort (https://www.imagen-project.org/), a longitudinal, population-based study comprising behavioural, neuroimaging, environmental, and genetic data from approximately 2,000 participants assessed at ages 14, 19, and 231,2. IMAGEN participants were recruited from eight research sites across the United Kingdom, Germany, France, and Ireland, and were cognitively normal with no history of psychiatric diagnoses. To reduce brain developmental confounds, we focused on early adulthood, specifically the follow-up 2 timepoint (aged 19y) of the IMAGEN study. At this time point, task-fMRI data were available for the Monetary Incentive Delay (MID, n = 1,390) and Stop Signal Task (SST, n = 1,394). After excluding participants with excessive head motion (mean framewise displacement > 0.5 mm) and ensuring matched multimode data, the final sample included 1,050 participants (mean age = 18.41 ± 0.67 years; female/male = 564/486).\nThe task-fMRI paradigms used in this study are summarized below. The MID task comprised 42 trials across three reward conditions (no-win, small-win, and big-win). Each trial consisted of a reward cue (250 ms), a fixation period (4–4.5 s), a target response, and reward feedback (1,450 ms). The SST included 480 go trials (respond to arrow direction) and 80 stop trials (inhibit response when a stop signal appeared ~300 ms after the go cue). The Emotional Face Task (EFT) presented angry, neutral, and happy human faces in a passive-viewing paradigm without responses. Each emotional condition comprised four trials, with each trial lasting 18 s. More details were available in the original paper of IMAGEN study 2.\nWe validated brain phenotype of transdiagnostic symptoms in independent samples from the STRATIFY cohorts3, which used identical MRI protocols and behavioural assessments to IMAGEN. These datasets included patients with psychiatric diagnoses and demographically matched healthy controls. After the same screening procedure with IMAGEN, the final sample included 209 patients (age = 22.26 ± 2.21; female/male = 135/74) and 225 healthy controls (age = 21.40 ± 1.72; female/male = 129/96). Specific diagnoses included alcohol use disorder (AUD, female/male = 58/40), major depressive disorder (MDD, female/male = 75/29), psychosis (female/male = 2/4), and attention-deficit/hyperactivity disorder (ADHD, female/male = 0/1) for STRATIFY.\nClinical diagnoses were determined based on established thresholds from standardized assessment tools consistent with DSM-5 criteria. Individuals with AUD were defined by an Alcohol Use Disorders Identification Test (AUDIT)4 score greater than 15. MDD was defined by a Patient Health Questionnaire-9 (PHQ-9)5 score greater than 15. Psychosis was defined using ICD-10 diagnosis, with inclusion requiring at least one episode of schizophreniform or chronic schizophrenia. Healthy controls were screened using rigorous inclusion criteria to minimize confounding factors. Participants were excluded if they had: a) any current or past mental health disorder6, b) first- or second-degree relatives with mental health diagnoses, c) regular use of medication for serious physical health conditions, d) learning difficulties (e.g., Wechsler Adult Intelligence Scale verbal comprehension score below the 10th percentile), or e) any history of recreational drug use.\nTo validate the effects of in sillco neurotransmitter manipulation in vivo, we utilized pharmacological task-fMRI data7 from 30 healthy male participants (mean age 27.3 ± 6.2 years). Each participant underwent three separate scanning sessions in a randomized, single-blind, placebo-controlled, three-way crossover design, receiving ketamine, midazolam, or placebo. A minimum 48-hour interval was maintained between sessions to prevent carryover effects. The experimental procedure included a 16-minute resting-state fMRI scan, during which drug administration began at the 7-minute mark, followed by task-fMRI acquisition during the MID task. Three participants were excluded due to missing MID behavioural recording files (n = 2) and T1-weighted structural MRI data (n = 1). The MID task used here comprised 90 trials across two conditions: no-win (45 trials) and win (45 trials). Details on administration protocols are available in the original study7.\nAll above studies received approval from the local ethics committee, and written informed consent was obtained from all participants.\nWe assessed behavioural symptoms for each individual from IMAGEN and STRATIFY cohorts using the Development and Well-Being Assessment8 (DAWBA) and Strengths and Difficulties Questionnaire9 (SDQ). To characterise externalising and internalising symptoms, we summed the scores of relevant items from DAWBA and SDQ3. The externalising symptoms included ADHD (8 items) and conduct disorder (CD, 7 items), while the internalising symptoms encompassed eating disorder (ED, 5 items), specific phobia (SP, 13 items), general anxiety disorder (GAD, 7 items), and depression (DEP, 8 items). A detailed list of the specific items is provided in Table S2.\nThe structural and functional MRI protocols for the IMAGEN and STRATIFY studies were harmonised across sites and scanner manufacturers (Siemens: 6 sites, Philips: 2 sites, General Electric: 1 site, and Bruker: 1 site), Standardized hardware for visual and auditory stimulus presentation (Nordic Neurolabs, Norway) was used at all sites.\nT1-weighted images (T1-w) of the IMAGEN and STRATIFY cohorts were acquired using a protocol based on those from the ADNI study (https://adni.loni.usc.edu/data-samples/adni-data/neuroimaging/mri/mri-scanner-protocols/). Several parameters in these protocols deliberately differ between scanner models, in order to produce consistent image contrast and quality despite implementation differences between manufacturers; all scans were however collected with a sagittal slice plane and voxel size = 1.1 × 1.1 ×1.1 mm3.\nThe structural T1-w images were preprocessed using fMRIPrep10 (version 20.2.3), a robust and standardized pipeline based on Nipype, supported by Advanced Normalization Tools (ANTs, version 2.3.3), FMRIB Software Library (FSL, version 5.0.9), Analysis of Functional NeuroImages (AFNI, version 20160207), and FreeSurfer (6.0.1) packages. Anatomical preprocessing included bias field correction, skull-stripping, tissue segmentation and nonlinear registration to standard Montreal Neurological Institute (MNI) space.\nDiffusion-weighted images (DWIs) of IMAGEN and STRATIFY cohorts were acquired using a 2D diffusion weighted EPI sequence: TR = 15,000 ms; TE = 104 ms; FOV = 307 × 307 mm2; number of slices = 60; scan time = 9 min 45 s; voxel size = 2.4 × 2.4 × 2.4 mm3; 36 optimal non-colinear diffusion-weighted directions with b = 1,300 s/mm2.\nThe structural DWIs were preprocessed using the FSL and MRtrix3 package. Eddy current-induced distortions and head motion were corrected using FSL’s eddy tool, and the rotated b-vectors were updated using eddy_rotated_bvecs. The preprocessed DWI data was then converted to the MRtrix3 format (.mif) with the mrconvert tool. The mean b0 image was extracted using the mrmath command (mean), followed by brain extraction with the bet tool (fractional intensity threshold = 0.3) to generate a brain mask. The white matter fiber orientation distributions (FODs) within each voxel were estimated using constrained spherical deconvolution (CSD), with response function estimation performed using the Tournier method. The anatomical T1-weighted image was registered to the native diffusion space using FSL’s flirt tool. A nonlinear transformation to MNI space was then computed using FSL’s fnirt, and the inverse warp was generated with invwarp. The resulting warp was subsequently converted into an MRtrix-compatible format for fiber transformation. A five-tissue-type segmentation was carried out with the 5ttgen command. The gray matter-white matter interface (GMWMI) was extracted using the 5tt2gmwmi tool to serve as the seeding region for tractography. Whole-brain fiber tracking was performed using the tckgen command with the iFOD2 algorithm, seeding from the extracted GMWMI and applying Anatomically Constrained Tractography (ACT). The generated fiber tracks were transformed from diffusion space to MNI space and generate voxel-wise and regional-level structural connectivity matrices.\nThe resting-state fMRI scans of IMAGEN and STRATIFY cohorts were acquired using a 2D gradient echo EPI sequence with the following parameters: TR = 2,200 ms; TE = 30 ms; FA = 75°; FOV = 220 × 220 mm2; number of slices = 40; number of volumes = 164; and voxel size = 3.4 × 3.4 × 2.4 mm3. Task-state fMRI scans were conducted with identical scanning parameters, except for the number of volumes, that is 191 volumes for the MID task, 349 volumes for SST task, and 202 volumes for EFT task .\nAddtionally, the pharamacological MID task-state fMRI were acquired on a 3T scanner (Siemens Skyra, Erlangen, Germany), using the EPI sequence: TR = 2,200 ms; TE = 27 ms; FA = 79°; FOV = 215 × 215 mm2; number of slices = 30; number of volumes = 410; and voxel size = 3 × 3 × 3 mm3.\nAll fMRI data were preprocessed using fMRIPrep (version 20.2.3), including motion correction, slice timing correction, and susceptibility distortion correction using fMRIPrep’s fieldmap-less approach. Functional MRI images were co-registered to the T1-weighted image using boundary-based registration and then normalized to MNI152 space. Confound regressors were extracted to control for physiological and motion-related artifacts, including framewise displacement, DVARS, and CompCor components. All transformations were applied in a single interpolation step to minimize resampling effects. Then the preprocessed data underwent temporal detrending to remove low-frequency drifts, followed by spatial smoothing using a full-width at half maximum (FWHM) of 6 mm Gaussian kernel and a band-pass filtering (0.01 ~ 0.1 Hz). Quality control was performed by excluding subjects with incomplete demographic or scanning timepoints; excessive head motion (mean framewise displacement > 0.5 mm); or unsuccessful spatial normalization.\nFollowed by previous work identifing the neuropsychopathology (NP) factor in the IMAGEN baseline at age 143, we constructed MID and SST task-specific functional connectivity (FC) matrics using the CONN toolbox (version 16.h) and a well-established 268-node whole-brain functional parcellation11, applying weighted generalised linear models after regressing out task condition regressors and nuisance variables. Subsequently, we employed a Connectome-based Predictive Modeling (CPM) 12 with a 50-fold cross-validation to predict each behavioural symptom scores (including ADHD conduct disorder, eating disorder, specific phobia, general anxiety disorder, and depression) from each task-specific functional connectomes (SST conditions included stop-success, stop-failure, and go-wrong; MID conditions included positive feedback, negative feedback, and reward anticipation). The model performance was assessed using the Spearman’s correlation between predicted and empirical behavioural symptoms scores. This procedure was repeated 1,000 times, and only edges selected in over 95% of models were used for further analysis. The mean P values across 1,000 repetitions were corrected for multiple comparisons across 36 predictive models using false discovery rate (FDR) correction (q < 0.05). Task-specific functional connectivity (FC) matrices were then selected if they showed statistically significant prediction performance for at least three behavioural symptom domains, ensuring robustness across multiple diagnostic categories.\nFrom these selected task-specific FC matrices, we extracted edges that significantly predicted both externalising and internalising symptoms. Edges that were consistently associated with behavioural symptoms across all selected task conditions were defined as transdiagnostic associated edges. To improve interpretability, we stratified these transdiagnostic associated edges into positive or negative FC profiles based on the direction of their associations with behavioural symptoms. The summed strengths of these two profiles were termed as positive and negative NP scores, respectively.\nTo test whether the NP scores generalise to clinical populations, we re-extracted these transdiagnostic associated FC profiles in the independent STRATIFY dataset and re-calculated NP scores for each individual. We then compared NP scores between patients and healthy controls, as well as among depression and alcohol use disorder subgroups, using independent-samples t tests while covarying for sex, site, and head motion (mean framewise displacement). Multiple comparisons were corrected using the Bonferroni method.\nTo assess the neurochemical context of the NP factor, we examined whether the NP-related regions exhibited higher receptor map values relative to non-NP regions using published whole-brain PET-derived receptor density maps13 (https://github.com/netneurolab/hansen_receptors/tree/main/data/PET_nifti_images). For a given PET map, we first extracted regional expressive levels using the 268-node functional parcellation11, and then computed the empirical difference in mean values between NP (n = 32) and non-NP (n = 236) regions. Statistical significance was assessed using permutation testing (10,000 times), in which region labels (NP-related vs NP-unrelated) were randomly reassigned while preserving the original group sizes. For each permutation, the difference in mean receptor values between the permuted groups was recomputed, yielding a null distribution expected under no spatial specificity. Two-sided permutation P values were calculated as the proportion of permuted differences whose absolute value exceeded the empirical difference. Resulting P values were corrected for multiple comparisons across 39 receptor maps using FDR correction.\nTo constructing individualised DTB models, we extracted voxel-wise multimodel neuroimaging data, including grey matter volume, white matter structural connectivity, and functional BOLD signals from resting-state and task-state fMRI.\nGray matter volume was estimated using voxel-based morphometry (VBM) in SPM12 (Matlab R2020b). T1-weighted images were segmented into tissue maps, normalized to MNI space using DARTEL, modulated by Jacobian determinants, and smoothed with an 8 mm FWHM Gaussian kernel at 3 × 3 × 3 mm³ resolution.\nWhite matter structural connectivity was derived from whole-brain tractography using the iFOD2 algorithm in MRtrix3, with anatomical constraints (ACT). Tracking used 5 million streamlines seeded from the GMWMI, with a step size of 0.2 mm, curvature threshold of 45°/step, and length range of 3–250 mm.\nTo extract BOLD signals, we first generated individualised brain mask by selecting voxels that: a) overlapped with both the 268-node functional parcellation11 and the MNI152 template, b) had existing white matter structural connections, and c) were located in the cortex or subcortex. On average, ~12,000 voxels per subject were retained. The time series from these voxels were then extracted as simulation targets for the DTB models.\nImportantly, incorporating specific neuronal models for the cerebellum and brainstem would substantially increase model complexity and computational cost, particularly given that the DTB simulations are implemented at the scale of hundreds of millions to billions of neurons. We therefore adopted a parsimonious modeling strategy focused on cortical and subcortical circuits, while acknowledging that this exclusion represents a limitation and that future extensions incorporating differentiated regional parameterization may enable more comprehensive characterization of NP network dynamics.\nFollowed by the framework developed by Lu et al.14,15, we firstly constructed a excitation-inhibition balanced spiking neural network constrained by individual multimode neuroimaging data. In this network, each voxel was modeled as a sub-unit comprising one excitatory and one inhibitory neuronal population. Each voxel included both excitatory and inhibitory neurons at a fixed ratio of 4:116. The number of neurons within each voxel was determined by its proportional grey matter volume. Within-voxel synaptic architecture followed a 4:1:2 ratio of internal excitatory, internal inhibitory, and external excitatory synapses, based on anatomical organization of the cat visual cortex17. Between-voxel connections were weighted by row-normalized structural connectivity derived from diffusion MRI, and exclusively excitatory18,19. Neuronal activity was simulated using the leaky integrate-and-fire model20, incorporating α-amino-3-hydroxy-5-methyl-4-isoxazolepropionic-acid (AMPA; excitatory-leaning) and γ-aminobutyric-acid-A (GABA-A; inhibitory-leaning) synaptic conductances to represent glutamatergic and GABAergic signaling:\n\nCidVidt=−gL,iVi−VL+∑uIsyn,i+Ibg,i+Iext,i,Vi<Vth,i\n\nwhere Ci is the capacitance of the neuron membrane, gL,i is the leakage conductance, Vi is the membrane potential of neuron i, VL is the leakage voltage, Isyn,i is the synaptic currents of two synapse types (AMPA and GABA-A), Ibg,i is the background current as noises, and Iext,i is the external current input for the task. It should be noted that the Iext,i are the independent parameters, which are estimated using empirical task-fMRI data. The background noise is given by independent Ornstein–Uhlenbeck processes and described as in the original paper15.\nSimulated neuronal activity was quantified as mean firing rate of neuronal population within each voxel, and was transformed into simulated BOLD signals using the Balloon-Windkessel model21. The model performance was quantified by Pearson’s correlation between simulated and empirical task-state BOLD signals.\nTo optimize the fit between simulated and empirical BOLD signals, we applied the Hierarchical Mesoscale Data Assimilation (HMDA) method15 to estimate voxel-wise, time-dependent hyperparameters. This assimilation procedure iteratively alternated between forward simulating neuronal activity and parameter updating to reduce the mismatch between simulated and observed BOLD signals. At each time point for each assimilated voxel, the parameters of synaptic conductances for AMPA and GABA-A were sampled from gamma distributions, which were constrained by voxel-specific hyperparameters. These synaptic conductances governed the simulated neuronal dynamics, which were transformed into BOLD signals. Hyperparameters were then iteratively updated so that the resulting simulated BOLD signals progressively converged toward the empirical fMRI data. Parameter updating was implemented using a diffusion ensemble Kalman filter (EnKF), which estimates latent states and parameters by propagating an ensemble of 30 parallel model realizations. More methodological details of HMDA are describedin Lu et al.’s original paper15.\nResting-state digital twin brain models were first obtained by assimilating empirical resting-state fMRI BOLD signals for all voxels using the HMDA framework. This procedure yielded individualised resting-state DTBs with converged hyperparameters and stable neuronal dynamics. To construct task-state DTB models, we next assimilated empirical task-state fMRI BOLD signals from task-engaged regions to infer digital external input currents. These inferred digital input currents were then injected into the corresponding voxels of the resting-state DTB to induce task-related neuronal activity. For regions not directly engaged by the task, model hyperparameters were fixed to the mean values estimated during the resting-state assimilation, ensuring a stable baseline while allowing task-specific dynamics to propagate through the network.\nTask-relevant regions were identified based on prior literature and meta-analytic activation maps from the Neurosynth database. For the MID task, regions where received assimilated currents included the orbitofrontal cortex, dorsal anterior cingulate cortex, insula, amygdala, dorsal striatum, and nucleus accumbens, associated with reward processing. For the SST task, assimilated regions involved the orbitofrontal cortex, anterior and dorsolateral prefrontal cortex, dorsal ACC, insula, and thalamus, related to executive control. For the EFT task, assimilated regions included the amygdala, dorsal striatum, hippocampus, insula, thalamus, anterior and posterior cingulate cortex, dorsolateral prefrontal cortex, and orbitofrontal cortex, which are related to emotional recognition and processing. Primary visual were included for all three tasks, and sensorimotor cortices for first two tasks. A full list of assimilated regions is provided in Table S6.\nTo evaluate whether DTB-assimilated hyperparameters capture subject-specific neural dynamics independent of empirical data, we analyzed EFT task-based fMRI data from an independent subset of four male participants, matched for scanning site (Berlin) and age (one MDD and one AUD, both aged 21 years, and two HCs aged 22 years). Each participant completed four trials per emotional block (angry, neutral, and happy), yielding 12 trials per subject.\nWe first independently estimated hyperparameters for each trial, without using any other trial of the same participant. Each trial-specific hyperparameter was then injected into noise-initialized DTB models to generate simulated BOLD time series of matched duration. Trial-level activation maps were computed from simulated and empirical BOLD signals using identical preprocessing and statistical modeling procedures. To quantify subject specificity, we correlated activation maps from all simulated and empirical trials across subjects using Pearson correlation coefficients, yielding a 48 × 48 similarity matrix (4 subjects × 12 trials), and compared correlations between simulated and empirical trials from the same individual (self–self) with those between trials from different individuals (self–other) using a Mann–Whitney U test.\nIn addition, we tested whether simulated activation maps, generated without re-assimilation of empirical data, were sufficiently distinctive to support individual identification. For each participant, we created subject-specific empirical templates by averaging the first two trials of each emotional condition. Hyperparameters estimated from these first-half trials were used to simulate BOLD time series for the remaining trials without assimilation. We then correlated activation maps from simulated second-half trials (4 subjects × 6 trials) with all subject-specific templates, and aligned each simulated trial to the subject with the highest correlation. The same identification procedure was applied to empirical activation maps from the second-half trials as a benchmark.\nThe DTB framework allows flexible specification of total neuronal count across a wide range, from approximately 1 million to 86 billion neurons14,15. To balance biological fidelity, perturbational controllability, and computational feasibility, we performed calibration experiments to determine optimal model resolutions for three complementary analytical purposes: high-fidelity simulation, controlled perturbational exploration, and population-level inference.\nWe first evaluated the influence of model scale using the DTB of an illustrative healthy control participant (HC01), by varying neuronal counts from 10 million to 5 billion and assessing simulation fidelity across resolutions. Model performance was quantified using the mean voxel-wise Pearson’s correlation between simulated and empirical BOLD signals, as well as correlations between simulated and empirical whole-brain functional connectivity matrices (268-node functional parcellation11). These experiments established the relationship between neuronal scale and task-state simulation accuracy, providing an empirical basis for selecting biologically realistic yet computationally tractable model resolutions.\nSecond, to identify the optimal resolution for the population-scale simulations, we constructed reduced-scale DTBs ranging from 1 to 9 million neurons for the same participant. In these models, individual MRI data were represented at the regional rather than voxel-wise level. The number of neurons per region was assigned in proportion to the regional grey matter volume. While voxel-wise grey matter volumes could in principle be used, the total number of neurons in millions of neuron models would make it impractical to allocate neurons to every individual voxel, as some voxels have a minimal ratio of grey matter volume. By using regional-level allocation, we ensured that the neuron distribution faithfully reflected grey matter proportions while remaining computationally tractable. Between-regional connections were weighted by row-normalized regional structural connectivity derived from diffusion MRI. The other details were consistent with the methodology used in our voxel-wise simulation models. Model performance was quantified using the mean regional-level Pearson’s correlation between simulated and empirical BOLD signals, as well as correlations between simulated and empirical whole-brain functional connectivity matrices (268-node functional parcellation11).\nTogether, these calibration procedures ensured that DTB simulations maintained high fidelity while enabling scalable individualised and population-level analyses.\nFollowing the calibration experiments described above (see Supplementary Results), high-fidelity 1-billion-neuron DTBs were constructed for four illustrative participants: two patients (one MDD and one AUD) and two healthy controls (HC01 and HC02; demographics information in Table S7). The patients were selected as those with the highest negative NP scores within their respective diagnostic groups, indicating the highest symptom burden. Among the healthy controls, HC01 and HC02 were chosen from the subset of participants with the lowest behavioural symptom summed scores in the IMAGEN cohort. HC01 had the lowest negative NP score, whereas HC02 had the highest negative NP score, illustrating the range of NP values even among individuals with minimal behavioural symptoms. All selected participants had complete multi-modal imaging data, including T1-weighted, DTI, and fMRI scans.\nIn addition to billion-neuron simulations, 100-million-neuron DTBs were constructed for the same participants to enable computationally efficient perturbational analyses while retaining individualised model characteristics. This intermediate resolution was selected by calibration results showing no clear performance inflection point across neuronal scales (Fig.S4; Table S8), suggesting that reduced-scale models could preserve essential network properties while improving controllability for systematic parameter exploration.\nTo evaluate whether 100-million-neuron DTBs retained subject-specific network phenotypes, we extracted simulated NP factor scores from each individualised model and compared them with empirical NP factors derived from all individuals in the IMAGEN and STRATIFY datasets. Similarity was quantified using mean-squared error (MSE) between each pair of simulated and empirical NP factors. For each illustrative participant, self-to-self MSE (simulated versus own empirical NP factor) was contrasted against cross-participant MSE (simulated versus all other empirical scores). Statistical significance was evaluated using permutation testing across all 1,575 simulated - empirical pairings.\nBased on 100-million-neuron DTB models of four illustrative participants, we performed systematic perturbations of AMPA- and GABA-A-mediated synaptic conductances. AMPA conductance was varied from 0.0020 to 0.0052 in steps of 0.0004 (baseline = 0.0008), and GABA-A conductance from 0.0015 to 0.0040 in steps of 0.0005 (baseline = 0.0015). The baseline levels of AMPA and GABA-A in the model were determined across two key dimensions: the mean firing rate of the neuronal population (<10 Hz), consistent with physiological observations22, and the synchrony measure, which represents the degree of oscillatory behaviour. These metrics identified the optimal parameter window where the model maintains robust, reasonable neuronal firing while avoiding excessive synchronization23, thereby ensuring a stable and biologically plausible baseline for the model.\nCrucially, the upper limit for the parameter of AMPA conductance was constrained by the stability of the simulated BOLD signal: beyond a specific threshold, excessive neuronal firing led to a cessation of dynamic fluctuations in the BOLD signal. We considered such states as “over-firing” regimes, where the hemodynamic response reaches a non-biological plateau and no longer reflect meaningful neural dynamics24. During GABA-A manipulations, AMPA conductance was held fixed at the value that had produced the maximal NP factor enhancement during prior AMPA sweeps, allowing controlled assessment of excitatory-inhibitory balance, and preventing excessive inhibition that could silence neuronal activity and abolish intrinsic BOLD fluctuations25.\nThese synaptic conductance parameters were implemented as global control variables, applied uniformly across the whole-brain model rather than specific regions. Importantly, they were directly applied to DTB models that had already been calibrated to individual empirical fMRI data; therefore, no additional data assimilation or parameter refitting was required during virtual perturbations. The NP network responses were obtained by forward simulation under systematically varied synaptic levels. This design allows direct assessment of perturbational sensitivity around individualised baseline operating points. To ensure reproducibility, each perturbation was repeated five times, and the mean NP factor scores across repetitions were used for subsequent analyses. Finally, while multiple combinations of synaptic parameters can give rise to similar network outputs, our goal was not to recover exact physiological parameter values, but to use biologically interpretable synaptic conductance parameters as control variables to probe regime-dependent network responses.\nTo test whether the effects of AMPA- and GABA-A–mediated perturbations on the NP factor generalise across cognitive contexts, we conducted the same virtual perturbation to the DTB models that simulate EFT task activity of the same four illustrative participants. Specifically, we first calibrated DTB models at a 100-million-neuron scale to simulate BOLD signals of EFT task-based fMRI data, and then applied the optimal perturbational parameters identified in the parameter sweeps to these DTB models. For each participant, NP-related functional connectivity was extracted from baseline and perturbed simulated EFT BOLD signals using the same computational pipeline as the original MID and SST tasks, enabling direct comparison of perturbation effects across cognitive tasks.\nTo assess whether virtual E/I modulations in DTB models generalise across the cohort, we first constructed DTB models for 290 participants, including 72 patients with MDD (age = 22.33 ± 2.20, female/male = 48/24), 59 with AUD (age = 22.41 ± 2.02, female/male = 37/22), and 69 healthy controls (age = 21.45 ± 1.38, female/male = 38/31) from STRATIFY dataset, as well as 90 subclinical participants with high behavioural symptom scores (sum of six externalising and internalising symptoms ≥ 20) from IMAGEN (age = 18.42 ± 0.65, female/male = 74/16). We then applied the optimal perturbational parameters identified in the parameter sweeps to these DTB models.\nFor each participant, we calculated simulated NP factor scores derived from baseline and perturbed BOLD signals. Group differences in empirical, simulated, and perturbed NP factors were assessed using ANOVA analysis and post-doc tests, controlling for sex, site, and head motion (mean framewise displacement). The paired-sample t tests were used to compare simulated and empirical, and simulated and perturbed NP factors, among subgroups. Multiple comparisons were corrected using the Holm-Bonferroni method.\nTo assess the behavioural validity of digital twin brain simulations, we evaluated whether simulated task-state functional connectivity metrics, derived from population-scale simulations, significantly predicted individual differences in task performance during the MID task.\nAnalyses were conducted in the 287 participants with 3-million-neuron DTB simulations and MID task behavioural data. Individualised task-state functional connectomes were extracted separately for the anticipation-hit and feedback-hit stages of the MID task. Behavioural performance was quantified as mean response time (RT) under three incentive conditions: big-win, small-win, and no-win. Prediction of behavioural performance was performed using a connectome-based predictive modeling framework with 10-fold cross-validation. For each fold, linear models were trained on task-state FC matrices from nine folds to predict RT measures and evaluated on the held-out fold. Prediction accuracy was quantified as the Spearman’s correlation between predicted and observed RT values. The entire cross-validation procedure was repeated 100 times to ensure stability, and prediction accuracies were averaged across repetitions. Separate models were constructed for each combination of task stage (anticipation-hit, feedback-hit) and behavioural measure (big-win, small-win, no-win), resulting in six independent prediction models.\nWe also examined the prediction performances of empirical task-state FC for establishing a benchmark. Prediction accuracies obtained using empirical FC and DTB-simulated FC were compared using paired-sample t tests across the six model combinations.\nIn the population-level analysis, we quantified individual responses to virtual neurotransmitter perturbations in the DTB models. For each participant, we computed the change in simulated NP factor following AMPA and GABA-A modulation relative to baseline. Participants were classified as “increasers” (ΔNP>0 following both modulations) or “decreasers” (ΔNP ≤ 0 for any given perturbation). We compared the distribution of response types across diagnostic groups (patients, high-symptom, and healthy controls), sex, and site using Chi-square tests.\nWe also assessed the relationship between baseline simulated NP factor and the AMPA- or GABA-A–induced changes using Pearson’s correlation. Statistical significance was assessed using permutation testing (10,000 permutations), in which ΔNP values were randomly reassigned across individuals to generate a null distribution. For each permutation, the correlation between simulated baseline NP and permuted ΔNP was recomputed. Two-sided permutation P values were calculated as the proportion of null correlations whose absolute value exceeded the observed correlation, directly testing whether modulation-induced changes reflect systematic baseline dependence rather than symmetric fluctuations or regression-to-the-mean effects.\nFinally, we compared simulated baseline NP factors and behavioural symptom measures using Mann–Whitney U tests, given unequal subgroup sizes and non-normal distributions. All analyses controlled for sex, scanning site, and mean framewise displacement. Behavioural measures were derived from the 69 entry items of the DAWBA and the SDQ.\nTo validate DTB-predicted effects of virtual AMPA and GABA-A modulations on the NP factor, we analyzed an independent pharmacological fMRI dataset in which healthy participants completed MID task-fMRI under placebo, ketamine, and midazolam in a randomised cross-over design. For each participant and drug condition, we computed NP-related MID FC strengths (six edges) and summed them as a “summed MID FC” metric.\nWe first tested group-level drug effects by comparing the summed MID FC between placebo and drug conditions using paired-sample t tests. To further capture individual variability, we computed the drug-induced change in summed MID FC relative to placebo for each participant and applied k-means clustering (500 iterations) to identify two response subgroups. Within each subgroup, paired-sample t tests, controlling for head motion, were used to compare placebo and drug conditions. Wilcoxon signed-rank tests were applied when normality or variance assumptions were violated.\nWe also compared summed MID FC under placebo between response subgroups using a independent-samples t test. Finally, the relationship between baseline summed MID FC in placebo and drug-induced FC change across all participants was assessed using Pearson’s correlations. Statistical significance was assessed using permutation testing (10,000 permutations), in which Δsummed MID FC values were randomly reassigned across individuals to generate a null distribution. For each permutation, the correlation between baseline summed MID FC and permuted Δsummed MID FC was recomputed. Two-sided permutation P values were calculated as the proportion of null correlations whose absolute value exceeded the observed correlation, directly testing whether drug-induced changes reflect baseline dependence rather than regression-to-the-mean effects.\nTo test whether DTBs capture systematic relationships between baseline network configuration and drug-induced NP-related connectivity changes, we first constructed a linear regression model linking simulated baseline summed MID FC and FC changes following virtual AMPA and GABA-A modulations. We then applied this regression model to predict empirical FC changes under ketamine or midazolam from each participant’s baseline FC under placebo. Here, we chose a linear mapping to minimize overfitting and maximize interpretability given the modest sample size. Prediction accuracy was quantified by Pearson’s correlation between predicted and observed FC changes, with significance assessed via permutation tests (1,000 permutations of subject labels).\nTo evaluate whether DTB-based predictions can distinguish individuals with opposite drug responses, participants were classified as “increasers” or “decreasers” based on the their observed drug-induced change in summed MID FC. The predicted probabilities from the DTB-derived regression model were then used to calculate the area under the receiver operating characteristic curve (AUC) as a measure of how well the model correctly identifies individuals in each response category.\nTo test whether DTB-derived virtual E/I modulations predict longitudinal symptom trajectories, we first estimated an empirical linear mapping between NP factors and behavioural symptoms using baseline data. Specifically, we fitted a linear regression linking NP factors at age 19 to summed internalising symptom scores at age 19 across four domains (eating disorder, depression, generalized anxiety, and specific phobia). Externalising symptoms (ADHD and conduct disorder) were excluded due to their low prevalence at follow-up (age 23).\nBaseline NP factors and NP factors under virtual AMPA and GABA-A modulation were simulated for the full cohort using 3-million-neuron DTBs. From this cohort, we selected individuals with imaging data at age 19 and symptom assessments at both ages 19 and 23.\nThe empirical NP–symptom mapping derived at baseline was then applied to the DTB-simulated NP factors to generate predicted symptom scores at baseline and after virtual modulation.\nFor each individual, we defined a DTB-derived “behavioural restoration” index as the difference between predicted baseline and post-modulation symptom scores. Longitudinal symptom change over four years (age 23 minus age 19) was subsequently modeled using multiple linear regression, with baseline symptom scores and the DTB-derived “behavioural restoration” index included as predictors. Prediction accuracy was quantified by Pearson’s correlation between predicted and observed behavioural symptom changes. Model fit was quantified using the coefficient of determination (r²). The incremental variance explained by the DTB-derived index (Δr²) was assessed by comparing full and reduced models using F tests. Statistical significance of DTB-related effects was further evaluated using 5,000 permutation tests for both r² and the regression coefficient associated with the DTB index.\n\n\n### Participants and MRI dataset.\nThe discovery dataset used to idenitify brain phenotype of transdiagnostic symptoms was derived from the IMAGEN cohort (https://www.imagen-project.org/), a longitudinal, population-based study comprising behavioural, neuroimaging, environmental, and genetic data from approximately 2,000 participants assessed at ages 14, 19, and 231,2. IMAGEN participants were recruited from eight research sites across the United Kingdom, Germany, France, and Ireland, and were cognitively normal with no history of psychiatric diagnoses. To reduce brain developmental confounds, we focused on early adulthood, specifically the follow-up 2 timepoint (aged 19y) of the IMAGEN study. At this time point, task-fMRI data were available for the Monetary Incentive Delay (MID, n = 1,390) and Stop Signal Task (SST, n = 1,394). After excluding participants with excessive head motion (mean framewise displacement > 0.5 mm) and ensuring matched multimode data, the final sample included 1,050 participants (mean age = 18.41 ± 0.67 years; female/male = 564/486).\nThe task-fMRI paradigms used in this study are summarized below. The MID task comprised 42 trials across three reward conditions (no-win, small-win, and big-win). Each trial consisted of a reward cue (250 ms), a fixation period (4–4.5 s), a target response, and reward feedback (1,450 ms). The SST included 480 go trials (respond to arrow direction) and 80 stop trials (inhibit response when a stop signal appeared ~300 ms after the go cue). The Emotional Face Task (EFT) presented angry, neutral, and happy human faces in a passive-viewing paradigm without responses. Each emotional condition comprised four trials, with each trial lasting 18 s. More details were available in the original paper of IMAGEN study 2.\nWe validated brain phenotype of transdiagnostic symptoms in independent samples from the STRATIFY cohorts3, which used identical MRI protocols and behavioural assessments to IMAGEN. These datasets included patients with psychiatric diagnoses and demographically matched healthy controls. After the same screening procedure with IMAGEN, the final sample included 209 patients (age = 22.26 ± 2.21; female/male = 135/74) and 225 healthy controls (age = 21.40 ± 1.72; female/male = 129/96). Specific diagnoses included alcohol use disorder (AUD, female/male = 58/40), major depressive disorder (MDD, female/male = 75/29), psychosis (female/male = 2/4), and attention-deficit/hyperactivity disorder (ADHD, female/male = 0/1) for STRATIFY.\nClinical diagnoses were determined based on established thresholds from standardized assessment tools consistent with DSM-5 criteria. Individuals with AUD were defined by an Alcohol Use Disorders Identification Test (AUDIT)4 score greater than 15. MDD was defined by a Patient Health Questionnaire-9 (PHQ-9)5 score greater than 15. Psychosis was defined using ICD-10 diagnosis, with inclusion requiring at least one episode of schizophreniform or chronic schizophrenia. Healthy controls were screened using rigorous inclusion criteria to minimize confounding factors. Participants were excluded if they had: a) any current or past mental health disorder6, b) first- or second-degree relatives with mental health diagnoses, c) regular use of medication for serious physical health conditions, d) learning difficulties (e.g., Wechsler Adult Intelligence Scale verbal comprehension score below the 10th percentile), or e) any history of recreational drug use.\nTo validate the effects of in sillco neurotransmitter manipulation in vivo, we utilized pharmacological task-fMRI data7 from 30 healthy male participants (mean age 27.3 ± 6.2 years). Each participant underwent three separate scanning sessions in a randomized, single-blind, placebo-controlled, three-way crossover design, receiving ketamine, midazolam, or placebo. A minimum 48-hour interval was maintained between sessions to prevent carryover effects. The experimental procedure included a 16-minute resting-state fMRI scan, during which drug administration began at the 7-minute mark, followed by task-fMRI acquisition during the MID task. Three participants were excluded due to missing MID behavioural recording files (n = 2) and T1-weighted structural MRI data (n = 1). The MID task used here comprised 90 trials across two conditions: no-win (45 trials) and win (45 trials). Details on administration protocols are available in the original study7.\nAll above studies received approval from the local ethics committee, and written informed consent was obtained from all participants.\n\n\n### IMAGEN dataset\nThe discovery dataset used to idenitify brain phenotype of transdiagnostic symptoms was derived from the IMAGEN cohort (https://www.imagen-project.org/), a longitudinal, population-based study comprising behavioural, neuroimaging, environmental, and genetic data from approximately 2,000 participants assessed at ages 14, 19, and 231,2. IMAGEN participants were recruited from eight research sites across the United Kingdom, Germany, France, and Ireland, and were cognitively normal with no history of psychiatric diagnoses. To reduce brain developmental confounds, we focused on early adulthood, specifically the follow-up 2 timepoint (aged 19y) of the IMAGEN study. At this time point, task-fMRI data were available for the Monetary Incentive Delay (MID, n = 1,390) and Stop Signal Task (SST, n = 1,394). After excluding participants with excessive head motion (mean framewise displacement > 0.5 mm) and ensuring matched multimode data, the final sample included 1,050 participants (mean age = 18.41 ± 0.67 years; female/male = 564/486).\nThe task-fMRI paradigms used in this study are summarized below. The MID task comprised 42 trials across three reward conditions (no-win, small-win, and big-win). Each trial consisted of a reward cue (250 ms), a fixation period (4–4.5 s), a target response, and reward feedback (1,450 ms). The SST included 480 go trials (respond to arrow direction) and 80 stop trials (inhibit response when a stop signal appeared ~300 ms after the go cue). The Emotional Face Task (EFT) presented angry, neutral, and happy human faces in a passive-viewing paradigm without responses. Each emotional condition comprised four trials, with each trial lasting 18 s. More details were available in the original paper of IMAGEN study 2.\n\n\n### STRATIFY dataset\nWe validated brain phenotype of transdiagnostic symptoms in independent samples from the STRATIFY cohorts3, which used identical MRI protocols and behavioural assessments to IMAGEN. These datasets included patients with psychiatric diagnoses and demographically matched healthy controls. After the same screening procedure with IMAGEN, the final sample included 209 patients (age = 22.26 ± 2.21; female/male = 135/74) and 225 healthy controls (age = 21.40 ± 1.72; female/male = 129/96). Specific diagnoses included alcohol use disorder (AUD, female/male = 58/40), major depressive disorder (MDD, female/male = 75/29), psychosis (female/male = 2/4), and attention-deficit/hyperactivity disorder (ADHD, female/male = 0/1) for STRATIFY.\nClinical diagnoses were determined based on established thresholds from standardized assessment tools consistent with DSM-5 criteria. Individuals with AUD were defined by an Alcohol Use Disorders Identification Test (AUDIT)4 score greater than 15. MDD was defined by a Patient Health Questionnaire-9 (PHQ-9)5 score greater than 15. Psychosis was defined using ICD-10 diagnosis, with inclusion requiring at least one episode of schizophreniform or chronic schizophrenia. Healthy controls were screened using rigorous inclusion criteria to minimize confounding factors. Participants were excluded if they had: a) any current or past mental health disorder6, b) first- or second-degree relatives with mental health diagnoses, c) regular use of medication for serious physical health conditions, d) learning difficulties (e.g., Wechsler Adult Intelligence Scale verbal comprehension score below the 10th percentile), or e) any history of recreational drug use.\n\n\n### Pharmacological dataset\nTo validate the effects of in sillco neurotransmitter manipulation in vivo, we utilized pharmacological task-fMRI data7 from 30 healthy male participants (mean age 27.3 ± 6.2 years). Each participant underwent three separate scanning sessions in a randomized, single-blind, placebo-controlled, three-way crossover design, receiving ketamine, midazolam, or placebo. A minimum 48-hour interval was maintained between sessions to prevent carryover effects. The experimental procedure included a 16-minute resting-state fMRI scan, during which drug administration began at the 7-minute mark, followed by task-fMRI acquisition during the MID task. Three participants were excluded due to missing MID behavioural recording files (n = 2) and T1-weighted structural MRI data (n = 1). The MID task used here comprised 90 trials across two conditions: no-win (45 trials) and win (45 trials). Details on administration protocols are available in the original study7.\nAll above studies received approval from the local ethics committee, and written informed consent was obtained from all participants.\n\n\n### Behavioural symptoms assessments.\nWe assessed behavioural symptoms for each individual from IMAGEN and STRATIFY cohorts using the Development and Well-Being Assessment8 (DAWBA) and Strengths and Difficulties Questionnaire9 (SDQ). To characterise externalising and internalising symptoms, we summed the scores of relevant items from DAWBA and SDQ3. The externalising symptoms included ADHD (8 items) and conduct disorder (CD, 7 items), while the internalising symptoms encompassed eating disorder (ED, 5 items), specific phobia (SP, 13 items), general anxiety disorder (GAD, 7 items), and depression (DEP, 8 items). A detailed list of the specific items is provided in Table S2.\n\n\n### MRI acquisition and preprocessing.\nThe structural and functional MRI protocols for the IMAGEN and STRATIFY studies were harmonised across sites and scanner manufacturers (Siemens: 6 sites, Philips: 2 sites, General Electric: 1 site, and Bruker: 1 site), Standardized hardware for visual and auditory stimulus presentation (Nordic Neurolabs, Norway) was used at all sites.\nT1-weighted images (T1-w) of the IMAGEN and STRATIFY cohorts were acquired using a protocol based on those from the ADNI study (https://adni.loni.usc.edu/data-samples/adni-data/neuroimaging/mri/mri-scanner-protocols/). Several parameters in these protocols deliberately differ between scanner models, in order to produce consistent image contrast and quality despite implementation differences between manufacturers; all scans were however collected with a sagittal slice plane and voxel size = 1.1 × 1.1 ×1.1 mm3.\nThe structural T1-w images were preprocessed using fMRIPrep10 (version 20.2.3), a robust and standardized pipeline based on Nipype, supported by Advanced Normalization Tools (ANTs, version 2.3.3), FMRIB Software Library (FSL, version 5.0.9), Analysis of Functional NeuroImages (AFNI, version 20160207), and FreeSurfer (6.0.1) packages. Anatomical preprocessing included bias field correction, skull-stripping, tissue segmentation and nonlinear registration to standard Montreal Neurological Institute (MNI) space.\nDiffusion-weighted images (DWIs) of IMAGEN and STRATIFY cohorts were acquired using a 2D diffusion weighted EPI sequence: TR = 15,000 ms; TE = 104 ms; FOV = 307 × 307 mm2; number of slices = 60; scan time = 9 min 45 s; voxel size = 2.4 × 2.4 × 2.4 mm3; 36 optimal non-colinear diffusion-weighted directions with b = 1,300 s/mm2.\nThe structural DWIs were preprocessed using the FSL and MRtrix3 package. Eddy current-induced distortions and head motion were corrected using FSL’s eddy tool, and the rotated b-vectors were updated using eddy_rotated_bvecs. The preprocessed DWI data was then converted to the MRtrix3 format (.mif) with the mrconvert tool. The mean b0 image was extracted using the mrmath command (mean), followed by brain extraction with the bet tool (fractional intensity threshold = 0.3) to generate a brain mask. The white matter fiber orientation distributions (FODs) within each voxel were estimated using constrained spherical deconvolution (CSD), with response function estimation performed using the Tournier method. The anatomical T1-weighted image was registered to the native diffusion space using FSL’s flirt tool. A nonlinear transformation to MNI space was then computed using FSL’s fnirt, and the inverse warp was generated with invwarp. The resulting warp was subsequently converted into an MRtrix-compatible format for fiber transformation. A five-tissue-type segmentation was carried out with the 5ttgen command. The gray matter-white matter interface (GMWMI) was extracted using the 5tt2gmwmi tool to serve as the seeding region for tractography. Whole-brain fiber tracking was performed using the tckgen command with the iFOD2 algorithm, seeding from the extracted GMWMI and applying Anatomically Constrained Tractography (ACT). The generated fiber tracks were transformed from diffusion space to MNI space and generate voxel-wise and regional-level structural connectivity matrices.\nThe resting-state fMRI scans of IMAGEN and STRATIFY cohorts were acquired using a 2D gradient echo EPI sequence with the following parameters: TR = 2,200 ms; TE = 30 ms; FA = 75°; FOV = 220 × 220 mm2; number of slices = 40; number of volumes = 164; and voxel size = 3.4 × 3.4 × 2.4 mm3. Task-state fMRI scans were conducted with identical scanning parameters, except for the number of volumes, that is 191 volumes for the MID task, 349 volumes for SST task, and 202 volumes for EFT task .\nAddtionally, the pharamacological MID task-state fMRI were acquired on a 3T scanner (Siemens Skyra, Erlangen, Germany), using the EPI sequence: TR = 2,200 ms; TE = 27 ms; FA = 79°; FOV = 215 × 215 mm2; number of slices = 30; number of volumes = 410; and voxel size = 3 × 3 × 3 mm3.\nAll fMRI data were preprocessed using fMRIPrep (version 20.2.3), including motion correction, slice timing correction, and susceptibility distortion correction using fMRIPrep’s fieldmap-less approach. Functional MRI images were co-registered to the T1-weighted image using boundary-based registration and then normalized to MNI152 space. Confound regressors were extracted to control for physiological and motion-related artifacts, including framewise displacement, DVARS, and CompCor components. All transformations were applied in a single interpolation step to minimize resampling effects. Then the preprocessed data underwent temporal detrending to remove low-frequency drifts, followed by spatial smoothing using a full-width at half maximum (FWHM) of 6 mm Gaussian kernel and a band-pass filtering (0.01 ~ 0.1 Hz). Quality control was performed by excluding subjects with incomplete demographic or scanning timepoints; excessive head motion (mean framewise displacement > 0.5 mm); or unsuccessful spatial normalization.\n\n\n### Structural T1-weighted images\nT1-weighted images (T1-w) of the IMAGEN and STRATIFY cohorts were acquired using a protocol based on those from the ADNI study (https://adni.loni.usc.edu/data-samples/adni-data/neuroimaging/mri/mri-scanner-protocols/). Several parameters in these protocols deliberately differ between scanner models, in order to produce consistent image contrast and quality despite implementation differences between manufacturers; all scans were however collected with a sagittal slice plane and voxel size = 1.1 × 1.1 ×1.1 mm3.\nThe structural T1-w images were preprocessed using fMRIPrep10 (version 20.2.3), a robust and standardized pipeline based on Nipype, supported by Advanced Normalization Tools (ANTs, version 2.3.3), FMRIB Software Library (FSL, version 5.0.9), Analysis of Functional NeuroImages (AFNI, version 20160207), and FreeSurfer (6.0.1) packages. Anatomical preprocessing included bias field correction, skull-stripping, tissue segmentation and nonlinear registration to standard Montreal Neurological Institute (MNI) space.\n\n\n### Diffusion-weighted images\nDiffusion-weighted images (DWIs) of IMAGEN and STRATIFY cohorts were acquired using a 2D diffusion weighted EPI sequence: TR = 15,000 ms; TE = 104 ms; FOV = 307 × 307 mm2; number of slices = 60; scan time = 9 min 45 s; voxel size = 2.4 × 2.4 × 2.4 mm3; 36 optimal non-colinear diffusion-weighted directions with b = 1,300 s/mm2.\nThe structural DWIs were preprocessed using the FSL and MRtrix3 package. Eddy current-induced distortions and head motion were corrected using FSL’s eddy tool, and the rotated b-vectors were updated using eddy_rotated_bvecs. The preprocessed DWI data was then converted to the MRtrix3 format (.mif) with the mrconvert tool. The mean b0 image was extracted using the mrmath command (mean), followed by brain extraction with the bet tool (fractional intensity threshold = 0.3) to generate a brain mask. The white matter fiber orientation distributions (FODs) within each voxel were estimated using constrained spherical deconvolution (CSD), with response function estimation performed using the Tournier method. The anatomical T1-weighted image was registered to the native diffusion space using FSL’s flirt tool. A nonlinear transformation to MNI space was then computed using FSL’s fnirt, and the inverse warp was generated with invwarp. The resulting warp was subsequently converted into an MRtrix-compatible format for fiber transformation. A five-tissue-type segmentation was carried out with the 5ttgen command. The gray matter-white matter interface (GMWMI) was extracted using the 5tt2gmwmi tool to serve as the seeding region for tractography. Whole-brain fiber tracking was performed using the tckgen command with the iFOD2 algorithm, seeding from the extracted GMWMI and applying Anatomically Constrained Tractography (ACT). The generated fiber tracks were transformed from diffusion space to MNI space and generate voxel-wise and regional-level structural connectivity matrices.\n\n\n### Resting-state and task-state functional MRI images\nThe resting-state fMRI scans of IMAGEN and STRATIFY cohorts were acquired using a 2D gradient echo EPI sequence with the following parameters: TR = 2,200 ms; TE = 30 ms; FA = 75°; FOV = 220 × 220 mm2; number of slices = 40; number of volumes = 164; and voxel size = 3.4 × 3.4 × 2.4 mm3. Task-state fMRI scans were conducted with identical scanning parameters, except for the number of volumes, that is 191 volumes for the MID task, 349 volumes for SST task, and 202 volumes for EFT task .\nAddtionally, the pharamacological MID task-state fMRI were acquired on a 3T scanner (Siemens Skyra, Erlangen, Germany), using the EPI sequence: TR = 2,200 ms; TE = 27 ms; FA = 79°; FOV = 215 × 215 mm2; number of slices = 30; number of volumes = 410; and voxel size = 3 × 3 × 3 mm3.\nAll fMRI data were preprocessed using fMRIPrep (version 20.2.3), including motion correction, slice timing correction, and susceptibility distortion correction using fMRIPrep’s fieldmap-less approach. Functional MRI images were co-registered to the T1-weighted image using boundary-based registration and then normalized to MNI152 space. Confound regressors were extracted to control for physiological and motion-related artifacts, including framewise displacement, DVARS, and CompCor components. All transformations were applied in a single interpolation step to minimize resampling effects. Then the preprocessed data underwent temporal detrending to remove low-frequency drifts, followed by spatial smoothing using a full-width at half maximum (FWHM) of 6 mm Gaussian kernel and a band-pass filtering (0.01 ~ 0.1 Hz). Quality control was performed by excluding subjects with incomplete demographic or scanning timepoints; excessive head motion (mean framewise displacement > 0.5 mm); or unsuccessful spatial normalization.\n\n\n### Identification of a compact network phenotype of psychopathology in IMAGEN.\nFollowed by previous work identifing the neuropsychopathology (NP) factor in the IMAGEN baseline at age 143, we constructed MID and SST task-specific functional connectivity (FC) matrics using the CONN toolbox (version 16.h) and a well-established 268-node whole-brain functional parcellation11, applying weighted generalised linear models after regressing out task condition regressors and nuisance variables. Subsequently, we employed a Connectome-based Predictive Modeling (CPM) 12 with a 50-fold cross-validation to predict each behavioural symptom scores (including ADHD conduct disorder, eating disorder, specific phobia, general anxiety disorder, and depression) from each task-specific functional connectomes (SST conditions included stop-success, stop-failure, and go-wrong; MID conditions included positive feedback, negative feedback, and reward anticipation). The model performance was assessed using the Spearman’s correlation between predicted and empirical behavioural symptoms scores. This procedure was repeated 1,000 times, and only edges selected in over 95% of models were used for further analysis. The mean P values across 1,000 repetitions were corrected for multiple comparisons across 36 predictive models using false discovery rate (FDR) correction (q < 0.05). Task-specific functional connectivity (FC) matrices were then selected if they showed statistically significant prediction performance for at least three behavioural symptom domains, ensuring robustness across multiple diagnostic categories.\nFrom these selected task-specific FC matrices, we extracted edges that significantly predicted both externalising and internalising symptoms. Edges that were consistently associated with behavioural symptoms across all selected task conditions were defined as transdiagnostic associated edges. To improve interpretability, we stratified these transdiagnostic associated edges into positive or negative FC profiles based on the direction of their associations with behavioural symptoms. The summed strengths of these two profiles were termed as positive and negative NP scores, respectively.\n\n\n### Case-control comparison of NP factors in STRATIFY.\nTo test whether the NP scores generalise to clinical populations, we re-extracted these transdiagnostic associated FC profiles in the independent STRATIFY dataset and re-calculated NP scores for each individual. We then compared NP scores between patients and healthy controls, as well as among depression and alcohol use disorder subgroups, using independent-samples t tests while covarying for sex, site, and head motion (mean framewise displacement). Multiple comparisons were corrected using the Bonferroni method.\n\n\n### Permutation testing of PET receptor maps enrichment in NP-related regions.\nTo assess the neurochemical context of the NP factor, we examined whether the NP-related regions exhibited higher receptor map values relative to non-NP regions using published whole-brain PET-derived receptor density maps13 (https://github.com/netneurolab/hansen_receptors/tree/main/data/PET_nifti_images). For a given PET map, we first extracted regional expressive levels using the 268-node functional parcellation11, and then computed the empirical difference in mean values between NP (n = 32) and non-NP (n = 236) regions. Statistical significance was assessed using permutation testing (10,000 times), in which region labels (NP-related vs NP-unrelated) were randomly reassigned while preserving the original group sizes. For each permutation, the difference in mean receptor values between the permuted groups was recomputed, yielding a null distribution expected under no spatial specificity. Two-sided permutation P values were calculated as the proportion of permuted differences whose absolute value exceeded the empirical difference. Resulting P values were corrected for multiple comparisons across 39 receptor maps using FDR correction.\n\n\n### Multimode neuroimaging data for Digital Twin Brain (DTB) models.\nTo constructing individualised DTB models, we extracted voxel-wise multimodel neuroimaging data, including grey matter volume, white matter structural connectivity, and functional BOLD signals from resting-state and task-state fMRI.\nGray matter volume was estimated using voxel-based morphometry (VBM) in SPM12 (Matlab R2020b). T1-weighted images were segmented into tissue maps, normalized to MNI space using DARTEL, modulated by Jacobian determinants, and smoothed with an 8 mm FWHM Gaussian kernel at 3 × 3 × 3 mm³ resolution.\nWhite matter structural connectivity was derived from whole-brain tractography using the iFOD2 algorithm in MRtrix3, with anatomical constraints (ACT). Tracking used 5 million streamlines seeded from the GMWMI, with a step size of 0.2 mm, curvature threshold of 45°/step, and length range of 3–250 mm.\nTo extract BOLD signals, we first generated individualised brain mask by selecting voxels that: a) overlapped with both the 268-node functional parcellation11 and the MNI152 template, b) had existing white matter structural connections, and c) were located in the cortex or subcortex. On average, ~12,000 voxels per subject were retained. The time series from these voxels were then extracted as simulation targets for the DTB models.\nImportantly, incorporating specific neuronal models for the cerebellum and brainstem would substantially increase model complexity and computational cost, particularly given that the DTB simulations are implemented at the scale of hundreds of millions to billions of neurons. We therefore adopted a parsimonious modeling strategy focused on cortical and subcortical circuits, while acknowledging that this exclusion represents a limitation and that future extensions incorporating differentiated regional parameterization may enable more comprehensive characterization of NP network dynamics.\n\n\n### Construction of individualised task-state DTB models.\nFollowed by the framework developed by Lu et al.14,15, we firstly constructed a excitation-inhibition balanced spiking neural network constrained by individual multimode neuroimaging data. In this network, each voxel was modeled as a sub-unit comprising one excitatory and one inhibitory neuronal population. Each voxel included both excitatory and inhibitory neurons at a fixed ratio of 4:116. The number of neurons within each voxel was determined by its proportional grey matter volume. Within-voxel synaptic architecture followed a 4:1:2 ratio of internal excitatory, internal inhibitory, and external excitatory synapses, based on anatomical organization of the cat visual cortex17. Between-voxel connections were weighted by row-normalized structural connectivity derived from diffusion MRI, and exclusively excitatory18,19. Neuronal activity was simulated using the leaky integrate-and-fire model20, incorporating α-amino-3-hydroxy-5-methyl-4-isoxazolepropionic-acid (AMPA; excitatory-leaning) and γ-aminobutyric-acid-A (GABA-A; inhibitory-leaning) synaptic conductances to represent glutamatergic and GABAergic signaling:\n\nCidVidt=−gL,iVi−VL+∑uIsyn,i+Ibg,i+Iext,i,Vi<Vth,i\n\nwhere Ci is the capacitance of the neuron membrane, gL,i is the leakage conductance, Vi is the membrane potential of neuron i, VL is the leakage voltage, Isyn,i is the synaptic currents of two synapse types (AMPA and GABA-A), Ibg,i is the background current as noises, and Iext,i is the external current input for the task. It should be noted that the Iext,i are the independent parameters, which are estimated using empirical task-fMRI data. The background noise is given by independent Ornstein–Uhlenbeck processes and described as in the original paper15.\nSimulated neuronal activity was quantified as mean firing rate of neuronal population within each voxel, and was transformed into simulated BOLD signals using the Balloon-Windkessel model21. The model performance was quantified by Pearson’s correlation between simulated and empirical task-state BOLD signals.\nTo optimize the fit between simulated and empirical BOLD signals, we applied the Hierarchical Mesoscale Data Assimilation (HMDA) method15 to estimate voxel-wise, time-dependent hyperparameters. This assimilation procedure iteratively alternated between forward simulating neuronal activity and parameter updating to reduce the mismatch between simulated and observed BOLD signals. At each time point for each assimilated voxel, the parameters of synaptic conductances for AMPA and GABA-A were sampled from gamma distributions, which were constrained by voxel-specific hyperparameters. These synaptic conductances governed the simulated neuronal dynamics, which were transformed into BOLD signals. Hyperparameters were then iteratively updated so that the resulting simulated BOLD signals progressively converged toward the empirical fMRI data. Parameter updating was implemented using a diffusion ensemble Kalman filter (EnKF), which estimates latent states and parameters by propagating an ensemble of 30 parallel model realizations. More methodological details of HMDA are describedin Lu et al.’s original paper15.\nResting-state digital twin brain models were first obtained by assimilating empirical resting-state fMRI BOLD signals for all voxels using the HMDA framework. This procedure yielded individualised resting-state DTBs with converged hyperparameters and stable neuronal dynamics. To construct task-state DTB models, we next assimilated empirical task-state fMRI BOLD signals from task-engaged regions to infer digital external input currents. These inferred digital input currents were then injected into the corresponding voxels of the resting-state DTB to induce task-related neuronal activity. For regions not directly engaged by the task, model hyperparameters were fixed to the mean values estimated during the resting-state assimilation, ensuring a stable baseline while allowing task-specific dynamics to propagate through the network.\nTask-relevant regions were identified based on prior literature and meta-analytic activation maps from the Neurosynth database. For the MID task, regions where received assimilated currents included the orbitofrontal cortex, dorsal anterior cingulate cortex, insula, amygdala, dorsal striatum, and nucleus accumbens, associated with reward processing. For the SST task, assimilated regions involved the orbitofrontal cortex, anterior and dorsolateral prefrontal cortex, dorsal ACC, insula, and thalamus, related to executive control. For the EFT task, assimilated regions included the amygdala, dorsal striatum, hippocampus, insula, thalamus, anterior and posterior cingulate cortex, dorsolateral prefrontal cortex, and orbitofrontal cortex, which are related to emotional recognition and processing. Primary visual were included for all three tasks, and sensorimotor cortices for first two tasks. A full list of assimilated regions is provided in Table S6.\n\n\n### Assessment of subject-specific information in DTB-assimilated hyperparameters.\nTo evaluate whether DTB-assimilated hyperparameters capture subject-specific neural dynamics independent of empirical data, we analyzed EFT task-based fMRI data from an independent subset of four male participants, matched for scanning site (Berlin) and age (one MDD and one AUD, both aged 21 years, and two HCs aged 22 years). Each participant completed four trials per emotional block (angry, neutral, and happy), yielding 12 trials per subject.\nWe first independently estimated hyperparameters for each trial, without using any other trial of the same participant. Each trial-specific hyperparameter was then injected into noise-initialized DTB models to generate simulated BOLD time series of matched duration. Trial-level activation maps were computed from simulated and empirical BOLD signals using identical preprocessing and statistical modeling procedures. To quantify subject specificity, we correlated activation maps from all simulated and empirical trials across subjects using Pearson correlation coefficients, yielding a 48 × 48 similarity matrix (4 subjects × 12 trials), and compared correlations between simulated and empirical trials from the same individual (self–self) with those between trials from different individuals (self–other) using a Mann–Whitney U test.\nIn addition, we tested whether simulated activation maps, generated without re-assimilation of empirical data, were sufficiently distinctive to support individual identification. For each participant, we created subject-specific empirical templates by averaging the first two trials of each emotional condition. Hyperparameters estimated from these first-half trials were used to simulate BOLD time series for the remaining trials without assimilation. We then correlated activation maps from simulated second-half trials (4 subjects × 6 trials) with all subject-specific templates, and aligned each simulated trial to the subject with the highest correlation. The same identification procedure was applied to empirical activation maps from the second-half trials as a benchmark.\n\n\n### Calibration experiment of DTB model scales.\nThe DTB framework allows flexible specification of total neuronal count across a wide range, from approximately 1 million to 86 billion neurons14,15. To balance biological fidelity, perturbational controllability, and computational feasibility, we performed calibration experiments to determine optimal model resolutions for three complementary analytical purposes: high-fidelity simulation, controlled perturbational exploration, and population-level inference.\nWe first evaluated the influence of model scale using the DTB of an illustrative healthy control participant (HC01), by varying neuronal counts from 10 million to 5 billion and assessing simulation fidelity across resolutions. Model performance was quantified using the mean voxel-wise Pearson’s correlation between simulated and empirical BOLD signals, as well as correlations between simulated and empirical whole-brain functional connectivity matrices (268-node functional parcellation11). These experiments established the relationship between neuronal scale and task-state simulation accuracy, providing an empirical basis for selecting biologically realistic yet computationally tractable model resolutions.\nSecond, to identify the optimal resolution for the population-scale simulations, we constructed reduced-scale DTBs ranging from 1 to 9 million neurons for the same participant. In these models, individual MRI data were represented at the regional rather than voxel-wise level. The number of neurons per region was assigned in proportion to the regional grey matter volume. While voxel-wise grey matter volumes could in principle be used, the total number of neurons in millions of neuron models would make it impractical to allocate neurons to every individual voxel, as some voxels have a minimal ratio of grey matter volume. By using regional-level allocation, we ensured that the neuron distribution faithfully reflected grey matter proportions while remaining computationally tractable. Between-regional connections were weighted by row-normalized regional structural connectivity derived from diffusion MRI. The other details were consistent with the methodology used in our voxel-wise simulation models. Model performance was quantified using the mean regional-level Pearson’s correlation between simulated and empirical BOLD signals, as well as correlations between simulated and empirical whole-brain functional connectivity matrices (268-node functional parcellation11).\nTogether, these calibration procedures ensured that DTB simulations maintained high fidelity while enabling scalable individualised and population-level analyses.\n\n\n### DTB Simulations for four illustrative participants.\nFollowing the calibration experiments described above (see Supplementary Results), high-fidelity 1-billion-neuron DTBs were constructed for four illustrative participants: two patients (one MDD and one AUD) and two healthy controls (HC01 and HC02; demographics information in Table S7). The patients were selected as those with the highest negative NP scores within their respective diagnostic groups, indicating the highest symptom burden. Among the healthy controls, HC01 and HC02 were chosen from the subset of participants with the lowest behavioural symptom summed scores in the IMAGEN cohort. HC01 had the lowest negative NP score, whereas HC02 had the highest negative NP score, illustrating the range of NP values even among individuals with minimal behavioural symptoms. All selected participants had complete multi-modal imaging data, including T1-weighted, DTI, and fMRI scans.\nIn addition to billion-neuron simulations, 100-million-neuron DTBs were constructed for the same participants to enable computationally efficient perturbational analyses while retaining individualised model characteristics. This intermediate resolution was selected by calibration results showing no clear performance inflection point across neuronal scales (Fig.S4; Table S8), suggesting that reduced-scale models could preserve essential network properties while improving controllability for systematic parameter exploration.\nTo evaluate whether 100-million-neuron DTBs retained subject-specific network phenotypes, we extracted simulated NP factor scores from each individualised model and compared them with empirical NP factors derived from all individuals in the IMAGEN and STRATIFY datasets. Similarity was quantified using mean-squared error (MSE) between each pair of simulated and empirical NP factors. For each illustrative participant, self-to-self MSE (simulated versus own empirical NP factor) was contrasted against cross-participant MSE (simulated versus all other empirical scores). Statistical significance was evaluated using permutation testing across all 1,575 simulated - empirical pairings.\n\n\n### Systematic parameter sweeps of virtual AMPA and GABA-A perturbations.\nBased on 100-million-neuron DTB models of four illustrative participants, we performed systematic perturbations of AMPA- and GABA-A-mediated synaptic conductances. AMPA conductance was varied from 0.0020 to 0.0052 in steps of 0.0004 (baseline = 0.0008), and GABA-A conductance from 0.0015 to 0.0040 in steps of 0.0005 (baseline = 0.0015). The baseline levels of AMPA and GABA-A in the model were determined across two key dimensions: the mean firing rate of the neuronal population (<10 Hz), consistent with physiological observations22, and the synchrony measure, which represents the degree of oscillatory behaviour. These metrics identified the optimal parameter window where the model maintains robust, reasonable neuronal firing while avoiding excessive synchronization23, thereby ensuring a stable and biologically plausible baseline for the model.\nCrucially, the upper limit for the parameter of AMPA conductance was constrained by the stability of the simulated BOLD signal: beyond a specific threshold, excessive neuronal firing led to a cessation of dynamic fluctuations in the BOLD signal. We considered such states as “over-firing” regimes, where the hemodynamic response reaches a non-biological plateau and no longer reflect meaningful neural dynamics24. During GABA-A manipulations, AMPA conductance was held fixed at the value that had produced the maximal NP factor enhancement during prior AMPA sweeps, allowing controlled assessment of excitatory-inhibitory balance, and preventing excessive inhibition that could silence neuronal activity and abolish intrinsic BOLD fluctuations25.\nThese synaptic conductance parameters were implemented as global control variables, applied uniformly across the whole-brain model rather than specific regions. Importantly, they were directly applied to DTB models that had already been calibrated to individual empirical fMRI data; therefore, no additional data assimilation or parameter refitting was required during virtual perturbations. The NP network responses were obtained by forward simulation under systematically varied synaptic levels. This design allows direct assessment of perturbational sensitivity around individualised baseline operating points. To ensure reproducibility, each perturbation was repeated five times, and the mean NP factor scores across repetitions were used for subsequent analyses. Finally, while multiple combinations of synaptic parameters can give rise to similar network outputs, our goal was not to recover exact physiological parameter values, but to use biologically interpretable synaptic conductance parameters as control variables to probe regime-dependent network responses.\n\n\n### Evaluation of cross-task generalisability of virtual perturbations.\nTo test whether the effects of AMPA- and GABA-A–mediated perturbations on the NP factor generalise across cognitive contexts, we conducted the same virtual perturbation to the DTB models that simulate EFT task activity of the same four illustrative participants. Specifically, we first calibrated DTB models at a 100-million-neuron scale to simulate BOLD signals of EFT task-based fMRI data, and then applied the optimal perturbational parameters identified in the parameter sweeps to these DTB models. For each participant, NP-related functional connectivity was extracted from baseline and perturbed simulated EFT BOLD signals using the same computational pipeline as the original MID and SST tasks, enabling direct comparison of perturbation effects across cognitive tasks.\n\n\n### Population-scale virtual perturbations.\nTo assess whether virtual E/I modulations in DTB models generalise across the cohort, we first constructed DTB models for 290 participants, including 72 patients with MDD (age = 22.33 ± 2.20, female/male = 48/24), 59 with AUD (age = 22.41 ± 2.02, female/male = 37/22), and 69 healthy controls (age = 21.45 ± 1.38, female/male = 38/31) from STRATIFY dataset, as well as 90 subclinical participants with high behavioural symptom scores (sum of six externalising and internalising symptoms ≥ 20) from IMAGEN (age = 18.42 ± 0.65, female/male = 74/16). We then applied the optimal perturbational parameters identified in the parameter sweeps to these DTB models.\nFor each participant, we calculated simulated NP factor scores derived from baseline and perturbed BOLD signals. Group differences in empirical, simulated, and perturbed NP factors were assessed using ANOVA analysis and post-doc tests, controlling for sex, site, and head motion (mean framewise displacement). The paired-sample t tests were used to compare simulated and empirical, and simulated and perturbed NP factors, among subgroups. Multiple comparisons were corrected using the Holm-Bonferroni method.\n\n\n### Prediction of task performance from DTB simulations.\nTo assess the behavioural validity of digital twin brain simulations, we evaluated whether simulated task-state functional connectivity metrics, derived from population-scale simulations, significantly predicted individual differences in task performance during the MID task.\nAnalyses were conducted in the 287 participants with 3-million-neuron DTB simulations and MID task behavioural data. Individualised task-state functional connectomes were extracted separately for the anticipation-hit and feedback-hit stages of the MID task. Behavioural performance was quantified as mean response time (RT) under three incentive conditions: big-win, small-win, and no-win. Prediction of behavioural performance was performed using a connectome-based predictive modeling framework with 10-fold cross-validation. For each fold, linear models were trained on task-state FC matrices from nine folds to predict RT measures and evaluated on the held-out fold. Prediction accuracy was quantified as the Spearman’s correlation between predicted and observed RT values. The entire cross-validation procedure was repeated 100 times to ensure stability, and prediction accuracies were averaged across repetitions. Separate models were constructed for each combination of task stage (anticipation-hit, feedback-hit) and behavioural measure (big-win, small-win, no-win), resulting in six independent prediction models.\nWe also examined the prediction performances of empirical task-state FC for establishing a benchmark. Prediction accuracies obtained using empirical FC and DTB-simulated FC were compared using paired-sample t tests across the six model combinations.\n\n\n### Stratification of NP network responses to virtual perturbations.\nIn the population-level analysis, we quantified individual responses to virtual neurotransmitter perturbations in the DTB models. For each participant, we computed the change in simulated NP factor following AMPA and GABA-A modulation relative to baseline. Participants were classified as “increasers” (ΔNP>0 following both modulations) or “decreasers” (ΔNP ≤ 0 for any given perturbation). We compared the distribution of response types across diagnostic groups (patients, high-symptom, and healthy controls), sex, and site using Chi-square tests.\nWe also assessed the relationship between baseline simulated NP factor and the AMPA- or GABA-A–induced changes using Pearson’s correlation. Statistical significance was assessed using permutation testing (10,000 permutations), in which ΔNP values were randomly reassigned across individuals to generate a null distribution. For each permutation, the correlation between simulated baseline NP and permuted ΔNP was recomputed. Two-sided permutation P values were calculated as the proportion of null correlations whose absolute value exceeded the observed correlation, directly testing whether modulation-induced changes reflect systematic baseline dependence rather than symmetric fluctuations or regression-to-the-mean effects.\nFinally, we compared simulated baseline NP factors and behavioural symptom measures using Mann–Whitney U tests, given unequal subgroup sizes and non-normal distributions. All analyses controlled for sex, scanning site, and mean framewise displacement. Behavioural measures were derived from the 69 entry items of the DAWBA and the SDQ.\n\n\n### Stratification of individual pharmacological responses.\nTo validate DTB-predicted effects of virtual AMPA and GABA-A modulations on the NP factor, we analyzed an independent pharmacological fMRI dataset in which healthy participants completed MID task-fMRI under placebo, ketamine, and midazolam in a randomised cross-over design. For each participant and drug condition, we computed NP-related MID FC strengths (six edges) and summed them as a “summed MID FC” metric.\nWe first tested group-level drug effects by comparing the summed MID FC between placebo and drug conditions using paired-sample t tests. To further capture individual variability, we computed the drug-induced change in summed MID FC relative to placebo for each participant and applied k-means clustering (500 iterations) to identify two response subgroups. Within each subgroup, paired-sample t tests, controlling for head motion, were used to compare placebo and drug conditions. Wilcoxon signed-rank tests were applied when normality or variance assumptions were violated.\nWe also compared summed MID FC under placebo between response subgroups using a independent-samples t test. Finally, the relationship between baseline summed MID FC in placebo and drug-induced FC change across all participants was assessed using Pearson’s correlations. Statistical significance was assessed using permutation testing (10,000 permutations), in which Δsummed MID FC values were randomly reassigned across individuals to generate a null distribution. For each permutation, the correlation between baseline summed MID FC and permuted Δsummed MID FC was recomputed. Two-sided permutation P values were calculated as the proportion of null correlations whose absolute value exceeded the observed correlation, directly testing whether drug-induced changes reflect baseline dependence rather than regression-to-the-mean effects.\n\n\n### Prediction of pharmacological responses from DTB-derived virtual perturbations.\nTo test whether DTBs capture systematic relationships between baseline network configuration and drug-induced NP-related connectivity changes, we first constructed a linear regression model linking simulated baseline summed MID FC and FC changes following virtual AMPA and GABA-A modulations. We then applied this regression model to predict empirical FC changes under ketamine or midazolam from each participant’s baseline FC under placebo. Here, we chose a linear mapping to minimize overfitting and maximize interpretability given the modest sample size. Prediction accuracy was quantified by Pearson’s correlation between predicted and observed FC changes, with significance assessed via permutation tests (1,000 permutations of subject labels).\nTo evaluate whether DTB-based predictions can distinguish individuals with opposite drug responses, participants were classified as “increasers” or “decreasers” based on the their observed drug-induced change in summed MID FC. The predicted probabilities from the DTB-derived regression model were then used to calculate the area under the receiver operating characteristic curve (AUC) as a measure of how well the model correctly identifies individuals in each response category.\n\n\n### Prediction of longitudinal symptom changes from DTB-derived virtual perturbations.\nTo test whether DTB-derived virtual E/I modulations predict longitudinal symptom trajectories, we first estimated an empirical linear mapping between NP factors and behavioural symptoms using baseline data. Specifically, we fitted a linear regression linking NP factors at age 19 to summed internalising symptom scores at age 19 across four domains (eating disorder, depression, generalized anxiety, and specific phobia). Externalising symptoms (ADHD and conduct disorder) were excluded due to their low prevalence at follow-up (age 23).\nBaseline NP factors and NP factors under virtual AMPA and GABA-A modulation were simulated for the full cohort using 3-million-neuron DTBs. From this cohort, we selected individuals with imaging data at age 19 and symptom assessments at both ages 19 and 23.\nThe empirical NP–symptom mapping derived at baseline was then applied to the DTB-simulated NP factors to generate predicted symptom scores at baseline and after virtual modulation.\nFor each individual, we defined a DTB-derived “behavioural restoration” index as the difference between predicted baseline and post-modulation symptom scores. Longitudinal symptom change over four years (age 23 minus age 19) was subsequently modeled using multiple linear regression, with baseline symptom scores and the DTB-derived “behavioural restoration” index included as predictors. Prediction accuracy was quantified by Pearson’s correlation between predicted and observed behavioural symptom changes. Model fit was quantified using the coefficient of determination (r²). The incremental variance explained by the DTB-derived index (Δr²) was assessed by comparing full and reduced models using F tests. Statistical significance of DTB-related effects was further evaluated using 5,000 permutation tests for both r² and the regression coefficient associated with the DTB index.", "domain": "affective_neuroscience"}
{"source": "PMC13012165", "title": "Evaluation of Chitosan–Pimelate Buccal Film Loaded with Duloxetine-Modified Sage Lipid Carriers Nanoformulation for Effective Antidepressant Activity in a Rat Model", "text": "# Evaluation of Chitosan–Pimelate Buccal Film Loaded with Duloxetine-Modified Sage Lipid Carriers Nanoformulation for Effective Antidepressant Activity in a Rat Model\n\n## Abstract\nChitosan-pimelate (CS-Pim) mucoadhesive buccal films were developed to improve the therapeutic efficacy of duloxetine (DLX) using sage oil-based lipid carriers (DLX-SLCs). This buccal nanoplatform addresses DLX’s limited oral bioavailability and extensive first-pass metabolism by providing a non-invasive route with enhanced mucosal permeability and sustained release. DLX-SLCs were optimized and characterized for particle size, zeta potential, and entrapment efficiency. The carriers incorporated into CS-Pim buccal films, which were evaluated for physicochemical properties, morphology, hydrophilicity, and mucoadhesive strength. In vivo antidepressant efficacy was assessed in a lipopolysaccharide (LPS)-induced rat depression model using behavioral tests, biochemical markers, and histopathological analysis. Optimized DLX-SLCs yielded an average size of 130.9±2.4 nm, zeta potential of −28.4 ±2.3 mV, and entrapment efficiency of 79.9 ± 3.8%. The selected film exhibited desirable physicochemical attributes, including uniform thickness, pH (7.08 ± 0.03), drug content (99.1 ± 0.4%), tensile strength (10.07 ± 0.34 N/cm2), elongation at break (109.9 ± 7.3%), swelling index (124%), mucoadhesive strength (48.9 ± 2.38 g), and smooth surface via SEM. FTIR and DSC confirmed successful polymer modification, drug encapsulation, and amorphous dispersion of DLX within the matrix. Contact angle analysis confirmed improved hydrophilicity. DLX-SLCs buccal films exhibited superior curative efficacy compared to pure-DLX and the marketed-DLX in lipopolysaccharide (LPS)-induced rat depression model. Behavioral assessments demonstrated a 60% reduction in immobility time, an increase in open-arm entries, and sucrose preference by a 3.29-fold and 2-fold, respectively, compared to the LPS group. Biochemical analyses revealed reduced TNF-α, IL-1β, and cortisol levels by 67.6%, 64.4%, and 53%, respectively. Alongside increased serotonin and GABA levels by 1.64-fold and 3.5-fold, respectively. Histopathological findings confirmed significant neuroprotective effects. DLX-SLCs incorporated into CS-Pim buccal films provide enhanced antidepressant efficacy and neuroprotective benefits, representing a bioadhesive and patient-compliant alternative to conventional DLX formulations for depression treatment. \n\n## Full Text\n\n\n### Introduction\nDepression represents a significant global mental health concern, characterized by profound detrimental effects on both psychological well-being and physiological functioning. Current epidemiological data indicate that this disorder impacts approximately 264 million individuals worldwide and is associated with nearly 60% of global suicide-related mortality.1 First-line pharmacological interventions, including first-generation tricyclic antidepressants (TCAs) and second-generation agents such as selective serotonin reuptake inhibitors (SSRIs), dopamine reuptake inhibitors (DRIs), and norepinephrine reuptake inhibitors (NRIs), remain the cornerstone of clinical management.2 However, these therapeutic approaches are frequently limited by suboptimal efficacy, variable patient tolerance, and adverse side effects, which may compromise treatment adherence and long-term outcomes.3 Consequently, there is an urgent need to advance the development of novel, safer, and more effective pharmacotherapeutic strategies to address the multifaceted challenges of depression management and improve patient quality of life.\nDuloxetine (DLX), a second-generation antidepressant classified as a serotonin-norepinephrine reuptake inhibitor (SNRI), is widely prescribed as a first-line pharmacotherapy for major depressive disorder. Its therapeutic mechanism involves dual inhibition of presynaptic serotonin (5-HT) and norepinephrine (NE) transporters, thereby enhancing extracellular concentrations of these monoamines to ameliorate depressive symptomatology.4 Compared to conventional antidepressants, such as tricyclic antidepressants (eg, amitriptyline, clomipramine, doxepin) and selective serotonin reuptake inhibitors (eg, citalopram), DLX demonstrates a distinct pharmacodynamic profile characterized by balanced monoaminergic reuptake inhibition, enhanced therapeutic efficacy, and improved tolerability.3 Clinical evidence highlights its advantages, including a favorable safety profile, accelerated symptom remission, reduced adverse effects (eg, anticholinergic or cardiotoxic reactions), and minimal off-target receptor binding, collectively enhancing treatment adherence and patient outcomes.5 These attributes underscore DLX’s clinical utility in depression management.\nDLX, despite exhibiting favorable oral absorption kinetics, demonstrates suboptimal systemic bioavailability (approximately 40%) owing to presystemic degradation in the acidic gastrointestinal environment and extensive first-pass metabolism mediated by hepatic cytochrome P450 1A2 (CYP1A2), reducing its therapeutic effectiveness and leading to variable patient responses.4\nLipid carriers (LCs) have emerged as a promising nanoplatform for enhancing the delivery of lipophilic drugs like DLX. LCs demonstrated significant efficacy in improving drug solubility and bioavailability, offering distinct advantages in stability, controlled release kinetics, and biocompatibility.6 These LC systems are typically formulated using a matrix comprising biocompatible solid lipids classified as generally recognized as safe (GRAS) for oral, topical, and parenteral administration. Liquid lipids are often incorporated into the solid lipid matrix to optimize drug loading and release properties, creating a hybrid architecture combining both phases’ benefits.7\nIncorporating natural oils, such as sage oil, into LC formulations (SLCs) may further enhance their therapeutic potential. Sage oil possesses antioxidant and anti-inflammatory properties, which could synergistically augment the antidepressant effects of DLX.8 In acute preclinical studies, linalool, a primary constituent of the essential oil derived from Salvia species (sage), has demonstrated potential antidepressant-like effects.9 Emerging evidence suggests that its pharmacological activity may be mediated by the modulation of monoaminergic pathways, particularly through agonist-like interactions at serotonin 5-HT1A receptors and α2-adrenergic receptors.10 These receptor systems are critically implicated in mood regulation, and their activation aligns with proposed mechanisms underlying linalool’s acute neurobehavioral effects. Such findings highlight its potential as a phytochemical candidate for further investigation in depression-related therapeutics, though rigorous clinical validation remains necessary to elucidate its translational relevance.11\nThe therapeutic efficacy of antidepressants is contingent upon sustained drug concentration at the central nervous system (CNS) target site, particularly the brain. However, the blood-brain barrier (BBB), a highly selective interface characterized by tight endothelial junctions, efflux transporters (eg, P-glycoprotein), and metabolic enzymes, restricts systemic access to many orally administered antidepressants.12 This limitation necessitates higher doses to achieve therapeutic CNS levels, increasing the risk of systemic adverse effects. Targeted drug delivery strategies that enhance BBB permeability or bypass systemic circulation can elevate cerebrospinal fluid (CSF) drug concentrations, enabling lower therapeutic doses while minimizing off-target toxicity. By optimizing brain-specific delivery, such approaches mitigate dose-dependent side effects and improve treatment adherence, underscoring the importance of advanced CNS-targeted formulations in depression management.13\nAs a BCS class-II agent characterized by low aqueous solubility and high membrane permeability, DLX presents a compelling candidate for alternative delivery strategies, such as buccal administration. Its physicochemical attributes, including moderate lipophilicity (log P = 4.2), molecular weight of 330 g/mol, and inherent permeability, align with the prerequisites for effective transmucosal drug delivery.14 The buccal route offers potential advantages in bypassing hepatic metabolism and gastric degradation, enhancing efficiency and optimizing therapeutic outcomes. These properties position DLX as a viable candidate for innovative formulation approaches to overcome limitations.\nMucoadhesive buccal films can facilitate the buccal administration of DLX-loaded SLCs. Buccal drug delivery offers several benefits, including bypassing the hepatic first-pass effect, providing a rapid onset of action, and improving patient compliance due to its non-invasive nature.15,16 Chitosan, a natural polysaccharide, is widely recognized for its mucoadhesive properties and biocompatibility, making it an ideal candidate for buccal film formulations.17–19 However, native chitosan’s limited solubility at physiological pH can hinder its effectiveness in buccal applications.20 These constraints have prompted the development of novel chitosan derivatives engineered to enhance solubility across a broader pH range while improving mucoadhesive and permeation properties. Such derivatives are tailored to specific administration routes and dosage forms, with recent advancements focusing on structural modifications of free amine groups, thereby optimizing mucoadhesive performance.21\nFor instance, chitosan derivatives conjugated with fatty acids, including myristic, capric, azelaic, and stearic acids, have stabilized emulsion systems.22 Studies indicate that increasing the carbon chain length of the fatty acid elevates polymer hydrophobicity, fostering robust interfacial network structures that improve emulsion stability compared to unmodified chitosan.23 Furthermore, while native chitosan salts often exhibit rapid drug release, fatty acid-modified derivatives address this limitation by reducing polymer buccal solubility and delaying erosion, enabling prolonged and controlled drug release.24,25\nFor the first time, a novel chitosan derivative will be synthesized to enhance stability and mucoadhesive characteristics at buccal pH. One such derivative is chitosan pimelate, synthesized by conjugating chitosan with pimelic acid, a seven-carbon dicarboxylic acid. Pimelic acid’s structure, comprising a hydrophobic hydrocarbon chain and a hydrophilic carboxylic acid group, coupled with its low aqueous solubility, enhances buccal pH stability.26 This modification aims to improve the polymer’s stability in the buccal environment and strengthen its interaction with the mucosal surface, thereby prolonging the residence time of the drug delivery system and enhancing drug absorption.\nIn this study, we propose developing a novel buccal film system comprising DLX-loaded SLCs incorporated into a chitosan pimelate matrix. This integrated approach seeks to leverage the benefits of SLCs for improved drug encapsulation and release, the therapeutic properties of sage oil, and the enhanced mucoadhesive performance of chitosan pimelate. The formulation aims to provide a sustained release of DLX, improved effectiveness, and enhanced antidepressant efficacy, potentially offering a more effective treatment modality for patients with depression.\nBy integrating advanced nanotechnology with novel polymer chemistry, this research aims to develop an innovative buccal drug delivery system for DLX, potentially improving therapeutic outcomes for patients suffering from depression.\n\n\n### Materials and Methods\nCutina® HR powder was purchased from BASF, Germany. Chitosan (medium MWT) and pimelic acid were bought from Sigma-Aldrich (MO, USA). Duloxetine was gifted to us by EVA Pharmaceuticals (Cairo, Egypt). Sage oil was purchased from Harraz (Cairo, Egypt). Cremophor® RH 40 was gifted from Amoun Pharmaceuticals (Cairo, Egypt). Tween® 80 and glycerin were gifted from Sigma Quesna (Cairo, Egypt).\nSage lipid carrier (SLCs) nanoparticles were formulated via a hot homogenization and ultrasonication technique (Table 1).27 Cutina HR, sage oil, and Cremophor RH 40 were combined in a 50 mL beaker and heated to 65°C until fully molten. DLX, 10 mg, was dissolved in the lipid phase, followed by adding 20 mL of an aqueous surfactant solution containing 100 mg of Tween 80, preheated to 65°C. The aqueous phase was introduced into the molten lipid under high-speed homogenization (12,000 rpm, 10 min; Homogenizer Model 302, Mechanika Precyzyjna, Warszawa, Poland) to generate an oil-in-water emulsion. The emulsion was cooled to ambient temperature and further processed by probe ultrasonication (5 min, 35% amplitude; Branson Sonifier 250 W/102C, Danbury, CT, USA) to reduce droplet size. The formulation parameters were systematically investigated to optimize nanoparticle characteristics, including Cutina HR: Sage oil mass ratios (80:20, 60:40, and 50:50%) and Cremophor RH 40 surfactant concentrations (2%, 3%, 4%).Table 1DLX-SLCs and Their Size, PI, ζ Potential, and EE% ResultsFormulaDLX (mg)Cutina HR:Sage Oil RatioCremophoreRH 40Tween80 (mg)Size (nm)PIζP (mV)EE %F11080:202%100215.5 ±3.70.461−24.2±1.975.2±5.3F21080:203%100206.3 ±6.70.319−23.8 ±2.476.6 ±2.9F31080:204%100178.1 ±4.60.342−15.3 ±2.673.8 ±4.1F41060:402%100207.1 ±5.80.290−24.9±1.775.8 ±4.8F51060:403%100120.6 ±3.90.212−23.9±1.277.4±6.1F61060:404%10065.59 ±2.60.261−18.2±1.475.1 ±5.3F71050:502%100143.2±3.10.192−31.8±1.276.8 ±6.1F81050:503%100130.9±2.40.142−28.4 ±2.379.9±3.8F91050:504%10056.8±2.90.331−25.1 ±3.975.2±3.4Abbreviations: DLX, Duloxetine; PI, poly dispersity index; ζ, zeta; EE, entrapment efficiency.\nDLX-SLCs and Their Size, PI, ζ Potential, and EE% Results\nAbbreviations: DLX, Duloxetine; PI, poly dispersity index; ζ, zeta; EE, entrapment efficiency.\nParticle size analysis was conducted utilizing photon correlation spectroscopy (PCS) to evaluate the hydrodynamic diameter and size distribution of the nanoparticles. Measurements were performed using a Zetasizer Nano ZS90 (Malvern Instruments, UK), which provided quantitative metrics, including the Z-average (mean hydrodynamic diameter) and polydispersity index (PI), the latter reflecting the homogeneity of the particle population. Samples were diluted in double-distilled water at a concentration compliant with the manufacturer’s specifications to ensure optimal light scattering intensity. Surface charge characterization was concurrently performed via zeta potential analysis using the same instrument, offering insights into the colloidal stability of the formulations.\nThe encapsulation efficiency (EE%), representing the proportion of DLX effectively retained within SLCs compared to the primary DLX input, was determined via a dialysis-based method. Briefly, 1 mL of the DLX-SLCs was enclosed in a cellulose dialysis tube (12–14 kDa molecular weight cutoff) and submerged in 100 mL of phosphate-buffered saline (PBS, pH 7.4, 37°C), ensuring sink conditions. The assembly was subjected to constant agitation (100 rpm, 4 h) to promote the passive diffusion of unencapsulated DLX into the surrounding medium. The unbound DLX concentration in the dialysate was measured using a UV-Vis spectrophotometer (UV-1601PC, Shimadzu, Japan) at a maximum absorbance wavelength (λmax) of 272 nm using the first derivative technique. Entrapment efficiency was derived using the following equation:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$EE {\\rm\\,\\%} = {{Total\\,DLX\\,amount - free\\,DLX\\,amount} \\over {Total\\,DLX\\,amount}}{\\rm\\,x}100$$\\end{document}\nThe formulation of DLX-SLCs was optimized through a comprehensive factorial experimental design (32) using Design-Expert® software (v.11, Stat-Ease Inc., USA). Two key independent variables, Cutina HR: Sage oil ratio (X1: 80:20, 60:40, and 50:50%) and Cremophor RH 40 concentration (X2: 2, 3, and 4%) were systematically evaluated for their impact on critical response variables: particle size (Y1, nm), polydispersity index (Y2), ζ potential (Y3, mV), and EE (Y4, %). A total of nine experimental runs, randomized and acted in triplicate, were conducted to mitigate batch-dependent variability. Response surface methodology (RSM) and analysis of variance (ANOVA) were applied to generate quadratic regression models, elucidate factor interactions, and identify optimal formulation parameters. The optimization criteria prioritized minimizing particle size and PI (<0.3) while maximizing EE, and ζ potential magnitude as modulus, ensuring colloidal stability. This data-driven approach facilitated the derivation of robust, statistically validated conditions for synthesizing DLX-SLCs with enhanced physicochemical performance.\nThe in vitro release of the optimized DLX-SLCs (F8) and pure DLX was assessed using a dialysis method. Samples containing (2 mg DLX) were sealed in a dialysis membrane (cutoff 12–14 KDa), submerged in vessels charged with 100 mL of phosphate buffer (pH 6.8) and maintained at 37 ± 0.5°C under continuous paddle rotation (50 rpm). Aliquots (1 mL) were periodically withdrawn through a 0.45 μm syringe filter (Merck Millipore, Germany), with immediate replenishment of fresh medium to preserve sink conditions. DLX concentration was quantified spectrophotometrically (UV-160A, Shimadzu, Japan) at λmax = 272 nm using the first derivative technique, with triplicate measurements ensuring methodological reproducibility. Release data were analyzed via DDSolver software, employing nonlinear regression to fit various kinetic models.28\nThe morphological characteristics of the optimized DLX-SLCs (F8) were analyzed using transmission electron microscopy (TEM; JEM-2100, JEOL, Japan). Samples were prepared by depositing a diluted nanoparticle suspension onto a carbon-coated copper grid (300 mesh) via desiccation at ambient conditions. To enhance electron contrast, the grid was negatively stained with 2% (w/v) uranyl acetate solution for 60 seconds, followed by air-drying. TEM micrographs were acquired under high vacuum conditions at an accelerating voltage of 200 kV, enabling visualization of nanoparticle size, shape, and structural homogeneity.29\nChitosan pimelate (CS-Pim) polymer was synthesized through a carbodiimide-mediated coupling reaction between chitosan (medium or low molecular weight, MMW or LMW) and pimelic acid at a 6:1 mass ratio (Table 2). Initially, chitosan (CS) was dissolved in 1% (v/v) acetic acid, while pimelic acid was solubilized in ethanol. Ethyl-3-(3-dimethylaminopropyl) carbodiimide (EDC), acting as a crosslinker, was incorporated into the pimelic acid solution at chitosan-to-EDC mass ratios of 1:0.001 and 1:0.1. The mixture was stirred at ambient temperature for 25 min to activate the carboxylic acid moieties of pimelic acid. Subsequently, the activated solution was combined with the chitosan solution and agitated for 24 hours at room temperature to facilitate covalent conjugation. The chemical mechanism of the coupling reaction was illustrated in Supplementary 1. The resultant polymer was isolated by precipitation in 25% (v/v) ammonia solution, followed by centrifugation (5,000 rpm, 5 min) and repeated washing with purified water until a neutral pH (7.4) was attained. The purified CS-Pim was freeze-dried (Martin Christ GmbH, Germany) at −80°C for 84 hours to yield a dry, stable powder.30Table 2Composition of Tested Buccal FilmsFormulaCS M.WCS: EDCRatioCS: PimelicAcid Mass RatioGlycerin (%)CS-Pim (%)B1L1:0.16:133B2L1:0.0016:133B3M1:0.16:133B4M1:0.0016:133\nComposition of Tested Buccal Films\nFourier-transform infrared (FT-IR) spectroscopy was employed to characterize structural distinctions among pimelic acid, CS and synthesized CS-Pim polymer variants. Spectral analyses were conducted using a Bruker ALPHA II spectrometer (Bruker AXS GmbH, Karlsruhe, Germany) with a spectral resolution of 4 cm−1 across the mid-infrared region (4000–400 cm−1). Samples were prepared by homogenously dispersing the polymers in potassium bromide (KBr) pellets at a 1:200 (w/w) polymer-to-KBr ratio. This methodology enabled the identification of functional group alterations and molecular interactions, such as covalent bond formation between chitosan amino groups and pimelic acid carboxyl moieties, across the tested polymer derivatives.\nBuccal film preparations were developed using a solvent casting technique, employing different chitosan pimelate (CS-Pim) derivatives (Table 2) as bioadhesive matrices and glycerin as a plasticizing agent. For preliminary optimization, blank films (without DLX) were prepared by homogenously dispersing CS-Pim (3% w/w) in purified water under continuous stirring for 12 h at ambient temperature, followed by the incorporation of glycerin (3% w/w). The resultant polymeric dispersion was subjected to ultrasonication to eliminate entrapped air, cast into a 6 cm diameter plastic Petri dish, and thermally dried in an oven (40°C, 24 h), then at room temperature for 3 days. Post-drying, the patches were delicately peeled and encapsulated in a sealed jar to prevent moisture absorption.\nDrug-loaded buccal films were fabricated by incorporating DLX-SLCs into chitosan pimelate (CS-Pim) matrices selected for their optimal buccal delivery performance, as determined by prior physicochemical characterization studies. The CS-Pim polymer, identified as the ideal formulation through rigorous evaluation parameters, was combined with DLX-SLCs at a targeted loading density of 6 mg per cm2 of patch surface area. The mixture was homogenized under continuous magnetic stirring (12 h) to ensure uniform dispersion of DLX-SLCs within the polymeric matrix. Subsequent steps, including plasticizer addition, solvent casting, controlled drying, and precise sectioning into 1 cm2 units, were executed per the standardized protocol established for blank film preparation.\nThe physicochemical properties of buccal films (1 cm2) were systematically evaluated. Film mass was determined using an analytical balance, with mean weight and standard deviation calculated from five replicates. Thickness uniformity was assessed via a digital micrometer (Guanglu, China) across five randomly selected films. For pH analysis, films were equilibrated in 5 mL PBS (pH 6.8) for 2 hours in sealed Petri dishes to prevent atmospheric interference, followed by pH measurement using a calibrated meter (Jenway 3510, Staffordshire, UK). Drug-containing films underwent identical pH testing to evaluate the influence of DLX on formulation acidity. Moisture loss was quantified by storing pre-weighed films (M1) in desiccators containing anhydrous calcium chloride (3 days), with post-desiccation mass (M2) used to calculate percentage moisture loss via the following Eq.:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$${\\mathrm{Moisture\\ loss }}\\left({\\mathrm{\\% }} \\right) = {{M1 - M2 } \\over {M1}}X100 $$\\end{document}\nMechanical properties were characterized using a Dynamic-Mechanical-Analysis (DMA) (DMA Q800 V21.1 Build 51, TA instruments, UK). Film strips were clamped and elongated at a constant rate of 0.1000 N/min to 18.0000 N until fracture. Tensile strength and elongation at break were derived from force-extension curves, with triplicate measurements ensuring statistical reliability.\nThe tensile strength (σ) and elongation at break (ε) % of the films were calculated using the following Eq:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$\\sigma = {F \\over A}\\,$$\\end{document}\nWhere F is the force at failure (N), and A is the cross-sectional area of the film (cm2).\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$\\varepsilon \\,\\left(\\% \\right) = {{{L_{break}} - {L_{initial}}} \\over {{L_{initial}}}}X100$$\\end{document}\nwhere Linitial is the initial length (mm), and Lbreak is the extended length at fracture (mm).\nDrug-loaded films were fabricated by incorporating DLX at a standardized concentration of 6 mg/cm2. For quantification, individual films (1 cm2 surface area) were fully dissolved in 500 mL of phosphate-buffered saline (PBS, pH 6.8) under sonication (30 min). Post-dissolution, 1 mL aliquots were withdrawn, filtered through a 0.2 μm syringe filter (Nylon syringe filter, PRC) to remove particulate matter, and subjected to spectrophotometric analysis. DLX content was quantified using a UV-Vis spectrophotometer (UV-1601PC, Shimadzu, Japan) operating in first derivative mode, with absorbance measured at the λmax of 272 nm to enhance selectivity and minimize matrix interference.\nThis method provided insights into the fluid uptake and matrix expansion, critical for evaluating the film’s ability to adhere to and hydrate the buccal mucosa. The swelling behavior of buccal films was quantified gravimetrically to assess their hydration capacity and mucoadhesive potential. Pre-weighed films (M1) were immersed in 5 mL of PBS (pH 6.8) under controlled conditions (37 ± 1°C) for 2 h. At predetermined intervals, films were carefully removed, superficially blotted with filter paper to eliminate unabsorbed surface moisture, and reweighed (M2). The experiment was conducted in triplicate to ensure reproducibility. The swelling index (%) was calculated using the following equation:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$${\\mathrm{Swelling\\ index }}\\left({\\mathrm{\\% }} \\right) = {{M2 - M1 } \\over {M1}}X100 $$\\end{document}\nThe ex vivo mucoadhesive strength of the buccal films was evaluated by a quantitative approach providing a direct measure of bioadhesion, reflecting the interfacial binding capacity between the film and mucosal membrane under simulated in vivo conditions, utilizing an adapted balance method. Freshly dissected rabbit buccal mucosal tissue was equilibrated with PBS (pH 6.8) to simulate physiological hydration. A film was affixed to the mucosal surface under constant pressure for 5 min to establish adhesive contact. Incremental weights of distilled water were then added until the patch detached from the mucosal substrate. The total mass of water (g) required to induce detachment was recorded.29\nThe surface morphology of buccal films was characterized using scanning electron microscopy (SEM). Beforehand imaging, samples were mounted on copper stubs and sputter-coated with a gold layer to enhance surface conductivity and mitigate electron charging artifacts. High-resolution micrographs were acquired using an SEM system (Oxford Instruments, UK) operated at an accelerating voltage of 20 kV in secondary electron detection mode.\nContact angle measurements were conducted to evaluate the wettability of buccal films, utilizing Optical tensiometers (Theta flow, Biolin Scientific, UK). Films were securely affixed to a stage, and ultrapure water was vertically dispensed from a definite height onto the film surface at 25 ± 1°C. To account for surface heterogeneity, seven high-resolution images per droplet were captured 10 seconds post-dispensing under standard illumination, focal planes, and shading conditions. ImageJ software (v.1.53, NIH, USA) was employed to analyze droplet morphology, while contact angles were calculated via the sessile drop method. Triplicate measurements were performed across distinct film regions to ensure statistical robustness, and final values were derived from averaged data.31\nThe thermal performance and stability of DLX, excipients (Cutina HR, sage oil, Cremophor RH 40, Tween 80), CS-Pim, and lipid-based formulations (plain SLCs, DLX-SLCs, and selected DLX-SLCs buccal film) were investigated via differential scanning calorimetry (DSC Q200, TA Instruments, USA). Before the assessment, the instrument was calibrated for temperature and enthalpy using high-purity indium (melting point: 156.6°C) and zinc (melting point: 419.5°C) standards. Samples (2–5 mg) were hermetically sealed in aluminum crucibles, with an empty crucible serving as a reference. Thermograms were recorded under a dynamic nitrogen atmosphere (50 mL/min) across a temperature range of 25–300°C, employing a heating rate of 10°C/min. This protocol enabled the identification of phase transitions, including melting, crystallization, and glass transitions, as well as incompatibilities between formulation components.32\nFTIR spectroscopy was employed to investigate molecular interactions and compatibility among formulation components, including pure DLX, Cutina HR, sage oil, Cremophor RH 40, Tween 80, CS-Pim, plain SLCs, DLX-SLCs, and the selected DLX-SLCs buccal film. Spectra were acquired using a Bruker Alpha II FTIR spectrophotometer (Ettlingen, Germany) equipped with a diamond attenuated total reflectance (ATR) accessory. Before analysis, samples were uniformly compressed under hydraulic compression to ensure optimal contact with the ATR crystal. Scans were conducted across the mid-infrared region (4000–400 cm−1) at a resolution of 4 cm−1, with 32 co-added scans per sample to enhance signal-to-noise ratio.33,34\nEx vivo skin permeation studies were conducted using full-thickness abdominal skin harvested from male Wistar rats (200 ± 20 g) that were humanely euthanized using ketamine 80 mg/kg and xylazine 10 mg/kg intraperitoneally. The skin was surgically excised, treated with 0.3 N ammonium hydroxide solution to depilate hair and remove subcutaneous adipose tissue, and rinsed thoroughly with saline to eliminate residual alkali. Tissue integrity was verified visually, and samples with uniform thickness were selected. Afore experimentation, the skin was equilibrated in phosphate buffer (pH 7.4, 1 h) and air-dried. A 1 cm2 section of the optimized DLX film was applied to the epidermal surface under gentle pressure and mounted in a Franz diffusion cell, with the stratum corneum facing the donor chamber and the dermal layer contacting the receptor compartment (300 mL PBS, pH 6.8, maintained at 37 ± 0.5°C under sink conditions). Aliquots (1 mL) were periodically withdrawn from the receptor medium, replaced with fresh PBS, and analyzed via UV spectrophotometry (λmax = 272 nm). Steady-state flux (J, µg/cm2/h) was derived from the slope of the linear region of cumulative drug permeation (Q) versus time (t) profiles, providing quantitative insights into transdermal delivery kinetics.\nThe OECD Guideline No. 423 was followed in toxicity studies.35 Rats were given oral doses of 500, 1000, and 2000 mg/kg body weight of DLX-SLCs buccal film after being split into groups of three unisexual animals each. Following 48 hours of close monitoring, the animals were assessed for behavioural abnormalities such as paw licking, writhing, exhaustion, and decreased hunger, as well as any indications of fatality. Additionally, observations were made to verify regular activity and ensure there were no negative impacts on the animals’ overall health.\nWistar rats (180–220 g) from the Sultan Qaboos University animal house were kept in stainless steel cages with a 12:12-hour light-dark cycle and controlled temperatures (22 ± 1°C). They were given unlimited access to water and food pellets. The recommendations of the National Institutes of Health Handbook for the Care and Use of Laboratory Animals were followed when conducting the research. The Sultan Qaboos University Standing Ethics Committee for Animal Use in Research gave the study ethical approval (Approval Code: SQU/EC-AUR/2024-2025/5).\nThe assessment of the enhanced antidepressant action of the drug and optimized formulation was achieved using a lipopolysaccharide (LPS)-induced rat model of depression-like behaviour. Five experimental groups, I, II, III, IV, and V (n = 6), were used in the study: negative control, positive control (LPS), Pure DLX, marketed DLX, and DLX-SLCs buccal film. The negative control was given saline orally and then IP saline after 30 min, while the positive control was given oral saline and then, after 30 min., administered with LPS intraperitoneally (LPS; Sigma-Aldrich, St. Louis, MO, USA) at a dose of 0.1 mg/kg once daily for 14 days.36 Group III was given pure-DLX, 30mg/kg, after 30 min. of IP injection of LPS. Group IV was given Marketed-DLX, 30mg/kg, after 30 min. of IP injection of LPS. Then Group V was given DLX-SLCs Buccal Film 30 mg/kg after 30 min. of IP injection of LPS.\nThe tail suspension test (TST) and elevated plus maze (EPM) were used for behavioural evaluations. Ketamine 80 mg/kg and xylazine 10 mg/kg (given intraperitoneally) were used to establish profound anaesthesia in the rats before they were slaughtered. After being carefully removed, the brains were separated into two parts and cleaned with regular saline solution. While the first portion was maintained in 10% neutral buffered formalin for histopathological analysis, the second piece was snap-frozen in liquid nitrogen and kept at −80°C for a subsequent biochemical analysis.\nTo evaluate DLX-SLCs buccal film’s antidepressant efficacy, behavioural despair models such as the Elevated Plus maze (EPM) and Tail suspension test (TST) were employed.\nEPM consists of 4 arms in a cross shape with a central zone in the middle, placed approximately 45 cm above the ground. Two opposing standing arms have walls that are open at the top and do not interfere with the central zone. The test usually takes 10 min., enough to start the habituation process.37 Rodents often evade open and brightly lit areas, although concurrently, they have a propensity to investigate novel environments. Consequently, the ratio of these conflicting stimuli was assessed.38 The frequency of entrances into the open and closed arms and the central zone, and the total duration spent in these areas, were documented. Additional assessed indicators comprise raising, sniffing, grooming, and defecating. Prolonged duration in open arms signifies a diminished level of “anxiety” in the animal.36\nThe TST elicits behavior analogous to that observed in the Porsolt test. The advantage of this test against the Porsolt test was to eliminate the risk of hypothermia caused by water, as well as the possibility of assessing the strength and energy of the movement of the animal.39 TST is primarily utilized in rodents, where the rat is suspended by its tail, with its body dangling in the air. The examination lasts around 6 min. and may be administered multiple times.36 TST posits that the animal will attempt to evade stressful circumstances. After a while, the animal stops its struggle, resulting in immobility; prolonged stages of immobility indicate depressive behavior. The immobility phase is shortened following the introduction of antidepressants. Various strains of rats have distinct reactions to specific categories of antidepressants.\nThe SPT assessed hedonic response by providing animals with concurrent access to two bottles: one containing a 1% sucrose solution (1% w/v) and the other containing plain tap water. The percentage of sucrose preference, an indicator of anhedonia, was derived from sucrose solution intake and expressed as a proportion of total liquid consumption recorded over the last four days of the experimental period.\nFollowing careful collection into Vacutainer® Tubes containing EDTA, the blood extracted from the tail vein was centrifuged for 15 min at 4°C at 6000 rpm. Before analysis, the plasma was separated and kept at −80°C. Following the manufacturer’s instructions, an ELISA test kit (Elabscience, Houston, TX, USA, Cat. No. E-EL-0160, E-EL-H0109, Cat. No. E-EL-H0149, and E-BC-K852-M, respectively) was used to measure the levels of ACTH, tumor necrosis factor-alpha (TNF-α), interleukin-1 beta (IL-1β), and Gamma-aminobutyric acid (GABA). Triplicate assays were made, results were represented as pg/mL, and the mean value for each sample was determined. Similarly, the cortisol ELISA kit (UNEB0007) was used to measure cortisol levels.\nSerum samples were obtained by centrifuging blood at 3000 × g for 10 min. and preserved at −20°C until analysis. Serotonin levels were quantified utilizing a competitive ELISA kit (Abcam, Cambridge, UK, Cat. No. ab133053) in accordance with the manufacturer’s guidelines. Samples and standards were introduced in duplicate to antibody-coated microplate wells, treated with alkaline phosphatase-conjugated serotonin antigen and anti-serotonin antibody, and subsequently developed using p-nitrophenyl phosphate substrate. Absorbance was measured at 405 nm, and concentrations were ascertained using a standard curve.\nSuperoxide dismutase (SOD) and malondialdehyde (MDA) kits from My BioSource, Inc. (San Diego, CA, USA) were measured by the colorimetric method, using the Bio Vision kit (Milpitas, CA, USA).\nFollowing the rat’s brain tissue samples’ extraction, they were preserved in 10% neutral buffered formalin, gradually dried using a range of ethanol concentrations, cleaned in xylene, and then embedded in paraffin wax. After that, the tissue was divided into sections that were 5 μm thick and stained with hematoxylin and eosin. A light microscope was used to look for histopathological alterations in the stained sections.\nMinitab and Design-Expert tools were used for optimization analysis. Optimization analysis was conducted using one-way ANOVA at a significance threshold of p < 0.05. One-way ANOVA and Tukey’s post hoc test were used for in vivo statistical analysis (GraphPad Software 8, Inc., San Diego, CA, USA). To quantify the precision of the findings, a 95% CI was employed. Using G-Power software version 3.1.9.4 (Fraz Faul, Germany), the sample size was computed to find the smallest number needed to test the study hypothesis.\n\n\n### Preparation of Duloxetine Sage Lipid Carrier Nanoparticles\nSage lipid carrier (SLCs) nanoparticles were formulated via a hot homogenization and ultrasonication technique (Table 1).27 Cutina HR, sage oil, and Cremophor RH 40 were combined in a 50 mL beaker and heated to 65°C until fully molten. DLX, 10 mg, was dissolved in the lipid phase, followed by adding 20 mL of an aqueous surfactant solution containing 100 mg of Tween 80, preheated to 65°C. The aqueous phase was introduced into the molten lipid under high-speed homogenization (12,000 rpm, 10 min; Homogenizer Model 302, Mechanika Precyzyjna, Warszawa, Poland) to generate an oil-in-water emulsion. The emulsion was cooled to ambient temperature and further processed by probe ultrasonication (5 min, 35% amplitude; Branson Sonifier 250 W/102C, Danbury, CT, USA) to reduce droplet size. The formulation parameters were systematically investigated to optimize nanoparticle characteristics, including Cutina HR: Sage oil mass ratios (80:20, 60:40, and 50:50%) and Cremophor RH 40 surfactant concentrations (2%, 3%, 4%).Table 1DLX-SLCs and Their Size, PI, ζ Potential, and EE% ResultsFormulaDLX (mg)Cutina HR:Sage Oil RatioCremophoreRH 40Tween80 (mg)Size (nm)PIζP (mV)EE %F11080:202%100215.5 ±3.70.461−24.2±1.975.2±5.3F21080:203%100206.3 ±6.70.319−23.8 ±2.476.6 ±2.9F31080:204%100178.1 ±4.60.342−15.3 ±2.673.8 ±4.1F41060:402%100207.1 ±5.80.290−24.9±1.775.8 ±4.8F51060:403%100120.6 ±3.90.212−23.9±1.277.4±6.1F61060:404%10065.59 ±2.60.261−18.2±1.475.1 ±5.3F71050:502%100143.2±3.10.192−31.8±1.276.8 ±6.1F81050:503%100130.9±2.40.142−28.4 ±2.379.9±3.8F91050:504%10056.8±2.90.331−25.1 ±3.975.2±3.4Abbreviations: DLX, Duloxetine; PI, poly dispersity index; ζ, zeta; EE, entrapment efficiency.\nDLX-SLCs and Their Size, PI, ζ Potential, and EE% Results\nAbbreviations: DLX, Duloxetine; PI, poly dispersity index; ζ, zeta; EE, entrapment efficiency.\n\n\n### Photon Correlation Spectroscopy (PCS) Investigation\nParticle size analysis was conducted utilizing photon correlation spectroscopy (PCS) to evaluate the hydrodynamic diameter and size distribution of the nanoparticles. Measurements were performed using a Zetasizer Nano ZS90 (Malvern Instruments, UK), which provided quantitative metrics, including the Z-average (mean hydrodynamic diameter) and polydispersity index (PI), the latter reflecting the homogeneity of the particle population. Samples were diluted in double-distilled water at a concentration compliant with the manufacturer’s specifications to ensure optimal light scattering intensity. Surface charge characterization was concurrently performed via zeta potential analysis using the same instrument, offering insights into the colloidal stability of the formulations.\n\n\n### Encapsulation Efficiency (EE%) Estimation\nThe encapsulation efficiency (EE%), representing the proportion of DLX effectively retained within SLCs compared to the primary DLX input, was determined via a dialysis-based method. Briefly, 1 mL of the DLX-SLCs was enclosed in a cellulose dialysis tube (12–14 kDa molecular weight cutoff) and submerged in 100 mL of phosphate-buffered saline (PBS, pH 7.4, 37°C), ensuring sink conditions. The assembly was subjected to constant agitation (100 rpm, 4 h) to promote the passive diffusion of unencapsulated DLX into the surrounding medium. The unbound DLX concentration in the dialysate was measured using a UV-Vis spectrophotometer (UV-1601PC, Shimadzu, Japan) at a maximum absorbance wavelength (λmax) of 272 nm using the first derivative technique. Entrapment efficiency was derived using the following equation:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$EE {\\rm\\,\\%} = {{Total\\,DLX\\,amount - free\\,DLX\\,amount} \\over {Total\\,DLX\\,amount}}{\\rm\\,x}100$$\\end{document}\n\n\n### Optimization of Duloxetine Sage Lipid Carrier Nanoparticles\nThe formulation of DLX-SLCs was optimized through a comprehensive factorial experimental design (32) using Design-Expert® software (v.11, Stat-Ease Inc., USA). Two key independent variables, Cutina HR: Sage oil ratio (X1: 80:20, 60:40, and 50:50%) and Cremophor RH 40 concentration (X2: 2, 3, and 4%) were systematically evaluated for their impact on critical response variables: particle size (Y1, nm), polydispersity index (Y2), ζ potential (Y3, mV), and EE (Y4, %). A total of nine experimental runs, randomized and acted in triplicate, were conducted to mitigate batch-dependent variability. Response surface methodology (RSM) and analysis of variance (ANOVA) were applied to generate quadratic regression models, elucidate factor interactions, and identify optimal formulation parameters. The optimization criteria prioritized minimizing particle size and PI (<0.3) while maximizing EE, and ζ potential magnitude as modulus, ensuring colloidal stability. This data-driven approach facilitated the derivation of robust, statistically validated conditions for synthesizing DLX-SLCs with enhanced physicochemical performance.\n\n\n### In-vitro Release Study\nThe in vitro release of the optimized DLX-SLCs (F8) and pure DLX was assessed using a dialysis method. Samples containing (2 mg DLX) were sealed in a dialysis membrane (cutoff 12–14 KDa), submerged in vessels charged with 100 mL of phosphate buffer (pH 6.8) and maintained at 37 ± 0.5°C under continuous paddle rotation (50 rpm). Aliquots (1 mL) were periodically withdrawn through a 0.45 μm syringe filter (Merck Millipore, Germany), with immediate replenishment of fresh medium to preserve sink conditions. DLX concentration was quantified spectrophotometrically (UV-160A, Shimadzu, Japan) at λmax = 272 nm using the first derivative technique, with triplicate measurements ensuring methodological reproducibility. Release data were analyzed via DDSolver software, employing nonlinear regression to fit various kinetic models.28\n\n\n### Surface Morphology of Optimized Duloxetine Sage Lipid Carrier Nanoparticles\nThe morphological characteristics of the optimized DLX-SLCs (F8) were analyzed using transmission electron microscopy (TEM; JEM-2100, JEOL, Japan). Samples were prepared by depositing a diluted nanoparticle suspension onto a carbon-coated copper grid (300 mesh) via desiccation at ambient conditions. To enhance electron contrast, the grid was negatively stained with 2% (w/v) uranyl acetate solution for 60 seconds, followed by air-drying. TEM micrographs were acquired under high vacuum conditions at an accelerating voltage of 200 kV, enabling visualization of nanoparticle size, shape, and structural homogeneity.29\n\n\n### Synthesis of Chitosan Pimelate (CS-Pim) Polymer\nChitosan pimelate (CS-Pim) polymer was synthesized through a carbodiimide-mediated coupling reaction between chitosan (medium or low molecular weight, MMW or LMW) and pimelic acid at a 6:1 mass ratio (Table 2). Initially, chitosan (CS) was dissolved in 1% (v/v) acetic acid, while pimelic acid was solubilized in ethanol. Ethyl-3-(3-dimethylaminopropyl) carbodiimide (EDC), acting as a crosslinker, was incorporated into the pimelic acid solution at chitosan-to-EDC mass ratios of 1:0.001 and 1:0.1. The mixture was stirred at ambient temperature for 25 min to activate the carboxylic acid moieties of pimelic acid. Subsequently, the activated solution was combined with the chitosan solution and agitated for 24 hours at room temperature to facilitate covalent conjugation. The chemical mechanism of the coupling reaction was illustrated in Supplementary 1. The resultant polymer was isolated by precipitation in 25% (v/v) ammonia solution, followed by centrifugation (5,000 rpm, 5 min) and repeated washing with purified water until a neutral pH (7.4) was attained. The purified CS-Pim was freeze-dried (Martin Christ GmbH, Germany) at −80°C for 84 hours to yield a dry, stable powder.30Table 2Composition of Tested Buccal FilmsFormulaCS M.WCS: EDCRatioCS: PimelicAcid Mass RatioGlycerin (%)CS-Pim (%)B1L1:0.16:133B2L1:0.0016:133B3M1:0.16:133B4M1:0.0016:133\nComposition of Tested Buccal Films\n\n\n### Chitosan Pimelate Characterization via Fourier-Transform Infrared (FT-IR) Spectroscopy\nFourier-transform infrared (FT-IR) spectroscopy was employed to characterize structural distinctions among pimelic acid, CS and synthesized CS-Pim polymer variants. Spectral analyses were conducted using a Bruker ALPHA II spectrometer (Bruker AXS GmbH, Karlsruhe, Germany) with a spectral resolution of 4 cm−1 across the mid-infrared region (4000–400 cm−1). Samples were prepared by homogenously dispersing the polymers in potassium bromide (KBr) pellets at a 1:200 (w/w) polymer-to-KBr ratio. This methodology enabled the identification of functional group alterations and molecular interactions, such as covalent bond formation between chitosan amino groups and pimelic acid carboxyl moieties, across the tested polymer derivatives.\n\n\n### Formulation of the Chitosan Pimelate Buccal Films\nBuccal film preparations were developed using a solvent casting technique, employing different chitosan pimelate (CS-Pim) derivatives (Table 2) as bioadhesive matrices and glycerin as a plasticizing agent. For preliminary optimization, blank films (without DLX) were prepared by homogenously dispersing CS-Pim (3% w/w) in purified water under continuous stirring for 12 h at ambient temperature, followed by the incorporation of glycerin (3% w/w). The resultant polymeric dispersion was subjected to ultrasonication to eliminate entrapped air, cast into a 6 cm diameter plastic Petri dish, and thermally dried in an oven (40°C, 24 h), then at room temperature for 3 days. Post-drying, the patches were delicately peeled and encapsulated in a sealed jar to prevent moisture absorption.\nDrug-loaded buccal films were fabricated by incorporating DLX-SLCs into chitosan pimelate (CS-Pim) matrices selected for their optimal buccal delivery performance, as determined by prior physicochemical characterization studies. The CS-Pim polymer, identified as the ideal formulation through rigorous evaluation parameters, was combined with DLX-SLCs at a targeted loading density of 6 mg per cm2 of patch surface area. The mixture was homogenized under continuous magnetic stirring (12 h) to ensure uniform dispersion of DLX-SLCs within the polymeric matrix. Subsequent steps, including plasticizer addition, solvent casting, controlled drying, and precise sectioning into 1 cm2 units, were executed per the standardized protocol established for blank film preparation.\n\n\n### Characterization of the Buccal Film Formulations\nThe physicochemical properties of buccal films (1 cm2) were systematically evaluated. Film mass was determined using an analytical balance, with mean weight and standard deviation calculated from five replicates. Thickness uniformity was assessed via a digital micrometer (Guanglu, China) across five randomly selected films. For pH analysis, films were equilibrated in 5 mL PBS (pH 6.8) for 2 hours in sealed Petri dishes to prevent atmospheric interference, followed by pH measurement using a calibrated meter (Jenway 3510, Staffordshire, UK). Drug-containing films underwent identical pH testing to evaluate the influence of DLX on formulation acidity. Moisture loss was quantified by storing pre-weighed films (M1) in desiccators containing anhydrous calcium chloride (3 days), with post-desiccation mass (M2) used to calculate percentage moisture loss via the following Eq.:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$${\\mathrm{Moisture\\ loss }}\\left({\\mathrm{\\% }} \\right) = {{M1 - M2 } \\over {M1}}X100 $$\\end{document}\nMechanical properties were characterized using a Dynamic-Mechanical-Analysis (DMA) (DMA Q800 V21.1 Build 51, TA instruments, UK). Film strips were clamped and elongated at a constant rate of 0.1000 N/min to 18.0000 N until fracture. Tensile strength and elongation at break were derived from force-extension curves, with triplicate measurements ensuring statistical reliability.\nThe tensile strength (σ) and elongation at break (ε) % of the films were calculated using the following Eq:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$\\sigma = {F \\over A}\\,$$\\end{document}\nWhere F is the force at failure (N), and A is the cross-sectional area of the film (cm2).\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$\\varepsilon \\,\\left(\\% \\right) = {{{L_{break}} - {L_{initial}}} \\over {{L_{initial}}}}X100$$\\end{document}\nwhere Linitial is the initial length (mm), and Lbreak is the extended length at fracture (mm).\n\n\n### Physicochemical Properties Assessment of the Buccal Films\nThe physicochemical properties of buccal films (1 cm2) were systematically evaluated. Film mass was determined using an analytical balance, with mean weight and standard deviation calculated from five replicates. Thickness uniformity was assessed via a digital micrometer (Guanglu, China) across five randomly selected films. For pH analysis, films were equilibrated in 5 mL PBS (pH 6.8) for 2 hours in sealed Petri dishes to prevent atmospheric interference, followed by pH measurement using a calibrated meter (Jenway 3510, Staffordshire, UK). Drug-containing films underwent identical pH testing to evaluate the influence of DLX on formulation acidity. Moisture loss was quantified by storing pre-weighed films (M1) in desiccators containing anhydrous calcium chloride (3 days), with post-desiccation mass (M2) used to calculate percentage moisture loss via the following Eq.:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$${\\mathrm{Moisture\\ loss }}\\left({\\mathrm{\\% }} \\right) = {{M1 - M2 } \\over {M1}}X100 $$\\end{document}\nMechanical properties were characterized using a Dynamic-Mechanical-Analysis (DMA) (DMA Q800 V21.1 Build 51, TA instruments, UK). Film strips were clamped and elongated at a constant rate of 0.1000 N/min to 18.0000 N until fracture. Tensile strength and elongation at break were derived from force-extension curves, with triplicate measurements ensuring statistical reliability.\nThe tensile strength (σ) and elongation at break (ε) % of the films were calculated using the following Eq:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$\\sigma = {F \\over A}\\,$$\\end{document}\nWhere F is the force at failure (N), and A is the cross-sectional area of the film (cm2).\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$$\\varepsilon \\,\\left(\\% \\right) = {{{L_{break}} - {L_{initial}}} \\over {{L_{initial}}}}X100$$\\end{document}\nwhere Linitial is the initial length (mm), and Lbreak is the extended length at fracture (mm).\n\n\n### Drug Content Consistency Quantification\nDrug-loaded films were fabricated by incorporating DLX at a standardized concentration of 6 mg/cm2. For quantification, individual films (1 cm2 surface area) were fully dissolved in 500 mL of phosphate-buffered saline (PBS, pH 6.8) under sonication (30 min). Post-dissolution, 1 mL aliquots were withdrawn, filtered through a 0.2 μm syringe filter (Nylon syringe filter, PRC) to remove particulate matter, and subjected to spectrophotometric analysis. DLX content was quantified using a UV-Vis spectrophotometer (UV-1601PC, Shimadzu, Japan) operating in first derivative mode, with absorbance measured at the λmax of 272 nm to enhance selectivity and minimize matrix interference.\n\n\n### Swelling Studies\nThis method provided insights into the fluid uptake and matrix expansion, critical for evaluating the film’s ability to adhere to and hydrate the buccal mucosa. The swelling behavior of buccal films was quantified gravimetrically to assess their hydration capacity and mucoadhesive potential. Pre-weighed films (M1) were immersed in 5 mL of PBS (pH 6.8) under controlled conditions (37 ± 1°C) for 2 h. At predetermined intervals, films were carefully removed, superficially blotted with filter paper to eliminate unabsorbed surface moisture, and reweighed (M2). The experiment was conducted in triplicate to ensure reproducibility. The swelling index (%) was calculated using the following equation:\n\\documentclass[12pt]{minimal}\n\\usepackage{wasysym}\n\\usepackage[substack]{amsmath}\n\\usepackage{amsfonts}\n\\usepackage{amssymb}\n\\usepackage{amsbsy}\n\\usepackage[mathscr]{eucal}\n\\usepackage{mathrsfs}\n\\DeclareFontFamily{T1}{linotext}{}\n\\DeclareFontShape{T1}{linotext}{m}{n} {linotext }{}\n\\DeclareSymbolFont{linotext}{T1}{linotext}{m}{n}\n\\DeclareSymbolFontAlphabet{\\mathLINOTEXT}{linotext}\n\\begin{document}$${\\mathrm{Swelling\\ index }}\\left({\\mathrm{\\% }} \\right) = {{M2 - M1 } \\over {M1}}X100 $$\\end{document}\n\n\n### Ex-vivo Mucoadhesive Strength Evaluation\nThe ex vivo mucoadhesive strength of the buccal films was evaluated by a quantitative approach providing a direct measure of bioadhesion, reflecting the interfacial binding capacity between the film and mucosal membrane under simulated in vivo conditions, utilizing an adapted balance method. Freshly dissected rabbit buccal mucosal tissue was equilibrated with PBS (pH 6.8) to simulate physiological hydration. A film was affixed to the mucosal surface under constant pressure for 5 min to establish adhesive contact. Incremental weights of distilled water were then added until the patch detached from the mucosal substrate. The total mass of water (g) required to induce detachment was recorded.29\n\n\n### Surface Morphology of the Buccal Films\nThe surface morphology of buccal films was characterized using scanning electron microscopy (SEM). Beforehand imaging, samples were mounted on copper stubs and sputter-coated with a gold layer to enhance surface conductivity and mitigate electron charging artifacts. High-resolution micrographs were acquired using an SEM system (Oxford Instruments, UK) operated at an accelerating voltage of 20 kV in secondary electron detection mode.\n\n\n### Contact Angle Measurement of the Buccal Films\nContact angle measurements were conducted to evaluate the wettability of buccal films, utilizing Optical tensiometers (Theta flow, Biolin Scientific, UK). Films were securely affixed to a stage, and ultrapure water was vertically dispensed from a definite height onto the film surface at 25 ± 1°C. To account for surface heterogeneity, seven high-resolution images per droplet were captured 10 seconds post-dispensing under standard illumination, focal planes, and shading conditions. ImageJ software (v.1.53, NIH, USA) was employed to analyze droplet morphology, while contact angles were calculated via the sessile drop method. Triplicate measurements were performed across distinct film regions to ensure statistical robustness, and final values were derived from averaged data.31\n\n\n### Differential Scanning Calorimetry (DSC) Investigation\nThe thermal performance and stability of DLX, excipients (Cutina HR, sage oil, Cremophor RH 40, Tween 80), CS-Pim, and lipid-based formulations (plain SLCs, DLX-SLCs, and selected DLX-SLCs buccal film) were investigated via differential scanning calorimetry (DSC Q200, TA Instruments, USA). Before the assessment, the instrument was calibrated for temperature and enthalpy using high-purity indium (melting point: 156.6°C) and zinc (melting point: 419.5°C) standards. Samples (2–5 mg) were hermetically sealed in aluminum crucibles, with an empty crucible serving as a reference. Thermograms were recorded under a dynamic nitrogen atmosphere (50 mL/min) across a temperature range of 25–300°C, employing a heating rate of 10°C/min. This protocol enabled the identification of phase transitions, including melting, crystallization, and glass transitions, as well as incompatibilities between formulation components.32\n\n\n### Fourier-Transform Infrared (FTIR) Spectroscopy Inspection\nFTIR spectroscopy was employed to investigate molecular interactions and compatibility among formulation components, including pure DLX, Cutina HR, sage oil, Cremophor RH 40, Tween 80, CS-Pim, plain SLCs, DLX-SLCs, and the selected DLX-SLCs buccal film. Spectra were acquired using a Bruker Alpha II FTIR spectrophotometer (Ettlingen, Germany) equipped with a diamond attenuated total reflectance (ATR) accessory. Before analysis, samples were uniformly compressed under hydraulic compression to ensure optimal contact with the ATR crystal. Scans were conducted across the mid-infrared region (4000–400 cm−1) at a resolution of 4 cm−1, with 32 co-added scans per sample to enhance signal-to-noise ratio.33,34\n\n\n### Ex-vivo Skin Permeation Studies of the Optimized Buccal Film\nEx vivo skin permeation studies were conducted using full-thickness abdominal skin harvested from male Wistar rats (200 ± 20 g) that were humanely euthanized using ketamine 80 mg/kg and xylazine 10 mg/kg intraperitoneally. The skin was surgically excised, treated with 0.3 N ammonium hydroxide solution to depilate hair and remove subcutaneous adipose tissue, and rinsed thoroughly with saline to eliminate residual alkali. Tissue integrity was verified visually, and samples with uniform thickness were selected. Afore experimentation, the skin was equilibrated in phosphate buffer (pH 7.4, 1 h) and air-dried. A 1 cm2 section of the optimized DLX film was applied to the epidermal surface under gentle pressure and mounted in a Franz diffusion cell, with the stratum corneum facing the donor chamber and the dermal layer contacting the receptor compartment (300 mL PBS, pH 6.8, maintained at 37 ± 0.5°C under sink conditions). Aliquots (1 mL) were periodically withdrawn from the receptor medium, replaced with fresh PBS, and analyzed via UV spectrophotometry (λmax = 272 nm). Steady-state flux (J, µg/cm2/h) was derived from the slope of the linear region of cumulative drug permeation (Q) versus time (t) profiles, providing quantitative insights into transdermal delivery kinetics.\n\n\n### Acute Toxicity Test\nThe OECD Guideline No. 423 was followed in toxicity studies.35 Rats were given oral doses of 500, 1000, and 2000 mg/kg body weight of DLX-SLCs buccal film after being split into groups of three unisexual animals each. Following 48 hours of close monitoring, the animals were assessed for behavioural abnormalities such as paw licking, writhing, exhaustion, and decreased hunger, as well as any indications of fatality. Additionally, observations were made to verify regular activity and ensure there were no negative impacts on the animals’ overall health.\n\n\n### In-vivo Studies Using Lipopolysaccharide (LPS)-Induced Depression Rat Model\nWistar rats (180–220 g) from the Sultan Qaboos University animal house were kept in stainless steel cages with a 12:12-hour light-dark cycle and controlled temperatures (22 ± 1°C). They were given unlimited access to water and food pellets. The recommendations of the National Institutes of Health Handbook for the Care and Use of Laboratory Animals were followed when conducting the research. The Sultan Qaboos University Standing Ethics Committee for Animal Use in Research gave the study ethical approval (Approval Code: SQU/EC-AUR/2024-2025/5).\nThe assessment of the enhanced antidepressant action of the drug and optimized formulation was achieved using a lipopolysaccharide (LPS)-induced rat model of depression-like behaviour. Five experimental groups, I, II, III, IV, and V (n = 6), were used in the study: negative control, positive control (LPS), Pure DLX, marketed DLX, and DLX-SLCs buccal film. The negative control was given saline orally and then IP saline after 30 min, while the positive control was given oral saline and then, after 30 min., administered with LPS intraperitoneally (LPS; Sigma-Aldrich, St. Louis, MO, USA) at a dose of 0.1 mg/kg once daily for 14 days.36 Group III was given pure-DLX, 30mg/kg, after 30 min. of IP injection of LPS. Group IV was given Marketed-DLX, 30mg/kg, after 30 min. of IP injection of LPS. Then Group V was given DLX-SLCs Buccal Film 30 mg/kg after 30 min. of IP injection of LPS.\nThe tail suspension test (TST) and elevated plus maze (EPM) were used for behavioural evaluations. Ketamine 80 mg/kg and xylazine 10 mg/kg (given intraperitoneally) were used to establish profound anaesthesia in the rats before they were slaughtered. After being carefully removed, the brains were separated into two parts and cleaned with regular saline solution. While the first portion was maintained in 10% neutral buffered formalin for histopathological analysis, the second piece was snap-frozen in liquid nitrogen and kept at −80°C for a subsequent biochemical analysis.\nTo evaluate DLX-SLCs buccal film’s antidepressant efficacy, behavioural despair models such as the Elevated Plus maze (EPM) and Tail suspension test (TST) were employed.\nEPM consists of 4 arms in a cross shape with a central zone in the middle, placed approximately 45 cm above the ground. Two opposing standing arms have walls that are open at the top and do not interfere with the central zone. The test usually takes 10 min., enough to start the habituation process.37 Rodents often evade open and brightly lit areas, although concurrently, they have a propensity to investigate novel environments. Consequently, the ratio of these conflicting stimuli was assessed.38 The frequency of entrances into the open and closed arms and the central zone, and the total duration spent in these areas, were documented. Additional assessed indicators comprise raising, sniffing, grooming, and defecating. Prolonged duration in open arms signifies a diminished level of “anxiety” in the animal.36\nThe TST elicits behavior analogous to that observed in the Porsolt test. The advantage of this test against the Porsolt test was to eliminate the risk of hypothermia caused by water, as well as the possibility of assessing the strength and energy of the movement of the animal.39 TST is primarily utilized in rodents, where the rat is suspended by its tail, with its body dangling in the air. The examination lasts around 6 min. and may be administered multiple times.36 TST posits that the animal will attempt to evade stressful circumstances. After a while, the animal stops its struggle, resulting in immobility; prolonged stages of immobility indicate depressive behavior. The immobility phase is shortened following the introduction of antidepressants. Various strains of rats have distinct reactions to specific categories of antidepressants.\nThe SPT assessed hedonic response by providing animals with concurrent access to two bottles: one containing a 1% sucrose solution (1% w/v) and the other containing plain tap water. The percentage of sucrose preference, an indicator of anhedonia, was derived from sucrose solution intake and expressed as a proportion of total liquid consumption recorded over the last four days of the experimental period.\nFollowing careful collection into Vacutainer® Tubes containing EDTA, the blood extracted from the tail vein was centrifuged for 15 min at 4°C at 6000 rpm. Before analysis, the plasma was separated and kept at −80°C. Following the manufacturer’s instructions, an ELISA test kit (Elabscience, Houston, TX, USA, Cat. No. E-EL-0160, E-EL-H0109, Cat. No. E-EL-H0149, and E-BC-K852-M, respectively) was used to measure the levels of ACTH, tumor necrosis factor-alpha (TNF-α), interleukin-1 beta (IL-1β), and Gamma-aminobutyric acid (GABA). Triplicate assays were made, results were represented as pg/mL, and the mean value for each sample was determined. Similarly, the cortisol ELISA kit (UNEB0007) was used to measure cortisol levels.\nSerum samples were obtained by centrifuging blood at 3000 × g for 10 min. and preserved at −20°C until analysis. Serotonin levels were quantified utilizing a competitive ELISA kit (Abcam, Cambridge, UK, Cat. No. ab133053) in accordance with the manufacturer’s guidelines. Samples and standards were introduced in duplicate to antibody-coated microplate wells, treated with alkaline phosphatase-conjugated serotonin antigen and anti-serotonin antibody, and subsequently developed using p-nitrophenyl phosphate substrate. Absorbance was measured at 405 nm, and concentrations were ascertained using a standard curve.\nSuperoxide dismutase (SOD) and malondialdehyde (MDA) kits from My BioSource, Inc. (San Diego, CA, USA) were measured by the colorimetric method, using the Bio Vision kit (Milpitas, CA, USA).\nFollowing the rat’s brain tissue samples’ extraction, they were preserved in 10% neutral buffered formalin, gradually dried using a range of ethanol concentrations, cleaned in xylene, and then embedded in paraffin wax. After that, the tissue was divided into sections that were 5 μm thick and stained with hematoxylin and eosin. A light microscope was used to look for histopathological alterations in the stained sections.\nMinitab and Design-Expert tools were used for optimization analysis. Optimization analysis was conducted using one-way ANOVA at a significance threshold of p < 0.05. One-way ANOVA and Tukey’s post hoc test were used for in vivo statistical analysis (GraphPad Software 8, Inc., San Diego, CA, USA). To quantify the precision of the findings, a 95% CI was employed. Using G-Power software version 3.1.9.4 (Fraz Faul, Germany), the sample size was computed to find the smallest number needed to test the study hypothesis.\n\n\n### Behavioural Analysis\nTo evaluate DLX-SLCs buccal film’s antidepressant efficacy, behavioural despair models such as the Elevated Plus maze (EPM) and Tail suspension test (TST) were employed.\nEPM consists of 4 arms in a cross shape with a central zone in the middle, placed approximately 45 cm above the ground. Two opposing standing arms have walls that are open at the top and do not interfere with the central zone. The test usually takes 10 min., enough to start the habituation process.37 Rodents often evade open and brightly lit areas, although concurrently, they have a propensity to investigate novel environments. Consequently, the ratio of these conflicting stimuli was assessed.38 The frequency of entrances into the open and closed arms and the central zone, and the total duration spent in these areas, were documented. Additional assessed indicators comprise raising, sniffing, grooming, and defecating. Prolonged duration in open arms signifies a diminished level of “anxiety” in the animal.36\nThe TST elicits behavior analogous to that observed in the Porsolt test. The advantage of this test against the Porsolt test was to eliminate the risk of hypothermia caused by water, as well as the possibility of assessing the strength and energy of the movement of the animal.39 TST is primarily utilized in rodents, where the rat is suspended by its tail, with its body dangling in the air. The examination lasts around 6 min. and may be administered multiple times.36 TST posits that the animal will attempt to evade stressful circumstances. After a while, the animal stops its struggle, resulting in immobility; prolonged stages of immobility indicate depressive behavior. The immobility phase is shortened following the introduction of antidepressants. Various strains of rats have distinct reactions to specific categories of antidepressants.\n\n\n### Sucrose Preference Test (SPT)\nThe SPT assessed hedonic response by providing animals with concurrent access to two bottles: one containing a 1% sucrose solution (1% w/v) and the other containing plain tap water. The percentage of sucrose preference, an indicator of anhedonia, was derived from sucrose solution intake and expressed as a proportion of total liquid consumption recorded over the last four days of the experimental period.\n\n\n### Measurement of ACTH, TNF-α, IL-1β, GABA, and Cortisol\nFollowing careful collection into Vacutainer® Tubes containing EDTA, the blood extracted from the tail vein was centrifuged for 15 min at 4°C at 6000 rpm. Before analysis, the plasma was separated and kept at −80°C. Following the manufacturer’s instructions, an ELISA test kit (Elabscience, Houston, TX, USA, Cat. No. E-EL-0160, E-EL-H0109, Cat. No. E-EL-H0149, and E-BC-K852-M, respectively) was used to measure the levels of ACTH, tumor necrosis factor-alpha (TNF-α), interleukin-1 beta (IL-1β), and Gamma-aminobutyric acid (GABA). Triplicate assays were made, results were represented as pg/mL, and the mean value for each sample was determined. Similarly, the cortisol ELISA kit (UNEB0007) was used to measure cortisol levels.\n\n\n### Measurement of Serotonin\nSerum samples were obtained by centrifuging blood at 3000 × g for 10 min. and preserved at −20°C until analysis. Serotonin levels were quantified utilizing a competitive ELISA kit (Abcam, Cambridge, UK, Cat. No. ab133053) in accordance with the manufacturer’s guidelines. Samples and standards were introduced in duplicate to antibody-coated microplate wells, treated with alkaline phosphatase-conjugated serotonin antigen and anti-serotonin antibody, and subsequently developed using p-nitrophenyl phosphate substrate. Absorbance was measured at 405 nm, and concentrations were ascertained using a standard curve.\n\n\n### Measurement of Antioxidant Enzymes\nSuperoxide dismutase (SOD) and malondialdehyde (MDA) kits from My BioSource, Inc. (San Diego, CA, USA) were measured by the colorimetric method, using the Bio Vision kit (Milpitas, CA, USA).\n\n\n### Histopathological Investigation\nFollowing the rat’s brain tissue samples’ extraction, they were preserved in 10% neutral buffered formalin, gradually dried using a range of ethanol concentrations, cleaned in xylene, and then embedded in paraffin wax. After that, the tissue was divided into sections that were 5 μm thick and stained with hematoxylin and eosin. A light microscope was used to look for histopathological alterations in the stained sections.\n\n\n### Statistical Analysis\nMinitab and Design-Expert tools were used for optimization analysis. Optimization analysis was conducted using one-way ANOVA at a significance threshold of p < 0.05. One-way ANOVA and Tukey’s post hoc test were used for in vivo statistical analysis (GraphPad Software 8, Inc., San Diego, CA, USA). To quantify the precision of the findings, a 95% CI was employed. Using G-Power software version 3.1.9.4 (Fraz Faul, Germany), the sample size was computed to find the smallest number needed to test the study hypothesis.\n\n\n### Results and Discussion\nParticle dimension is a vital quality parameter in nanopharmaceutical development, directly affecting formulation performance by altering pharmaceutical release, cellular uptake efficiency, dispersion stability, and medicinal bioactivity. Empirical evidence demonstrates that below 300 nm particle dimensions possess increased efficiency and greater cellular internalization due to improved mucosal penetration and decreased macrophage clearance, as supported by previous investigations.40 The present study revealed that DLX-SLCs had a monomodal size distribution between 56.8 ± 2.9 nm and 207.1 ± 5.8 nm, as determined by DLS. A multivariate regression study revealed that the two independent variables (concentration of Cremophore RH 40 surfactant (X1, % w/v) and Cutina HR: Sage oil ratio (X2)) have significantly influenced (p < 0.05) particle diameter (Table 1). The interactive effects of these variables on particle size were further elucidated through three-dimensional response surface and contour plots (Figure 1A and B). Maximum particle diameters were observed at suboptimal surfactant concentrations (2% w/v) and a lipid phase ratio of 80:20 (Cutina HR: Sage oil), whereas incremental increases in Cremophore RH 40 to 4% w/v correlated with a pronounced reduction in hydrodynamic size. This inverse relationship aligns with the surfactant’s role in lowering interfacial energy between the lipid and aqueous phases, enhancing emulsification efficiency during high-shear homogenization. At elevated concentrations, Cremophore RH 40 facilitates the formation of a stabilized monolayer at the lipid-water interface, promoting finer droplet subdivision and preventing coalescence.41 Conversely, insufficient surfactant availability results in incomplete surface coverage, favoring particle aggregation and larger colloidal assemblies. Thus, optimum surfactant-to-lipid ratios can achieve nanoscale particle dimensions, a prerequisite for enhanced mucosal permeation and controlled drug release.\nFigure 13D response surface analysis and Contour plots depicting the influence of Cutina HR: Sage oil ratio and surfactant (Cremophore RH 40) concentration on critical quality attributes of DLX-SLCs: (A and B) particle size (PS), (C and D) PI, (E and F) zeta potential (ZP), and (G and H) EE%.\n3D response surface analysis and Contour plots depicting the influence of Cutina HR: Sage oil ratio and surfactant (Cremophore RH 40) concentration on critical quality attributes of DLX-SLCs: (A and B) particle size (PS), (C and D) PI, (E and F) zeta potential (ZP), and (G and H) EE%.\nThe ratio of solid lipid (Cutina HR) to liquid lipid (sage oil) exerted a statistically significant influence (p < 0.05) on the particle size of DLX-SLCs. Elevated proportions of Cutina HR correlated with increased particle diameters, attributed to the rigid crystalline structure of Cutina HR solid lipids, which promotes coalescence during the cooling and solidification stages of nanoparticle synthesis. Empirical evidence indicates that formulations with higher solid lipid content (eg, 80:20 solid-to-liquid lipid ratios) yield particles in the range of 150–281 nm, determined by the precise ratio employed.42\nConversely, incremental incorporation of sage oil (liquid lipid) induced a marked reduction in particle size, mediated by its capacity to modulate the lipid matrix’s thermodynamic behavior. Liquid lipids lower the melting point and enhance the fluidity of the lipid phase, enabling finer droplet subdivision during high-energy homogenization. This improved emulsification facilitates the formation of smaller monodisperse colloidal structures, which are stabilized during solidification.42\nPI is an important measure for evaluating the assembly and stability of NPs. It assesses the size diversity; a low PI shows a consistent size, whereas a high PI denotes size diversity. A PI value of below 0.3 is excellent because it implies homogenous particle sizes, which promote stability, eliminate aggregation, and assure reliable quality and efficacy of the NPs. The PI of the DLX-SLCs (Table 1) ranged between 0.142 and 0.461. PI exhibited no statistically significant correlation (p > 0.05) with the independent variables evaluated in the experimental design (Figure 1C and D). However, elevated liquid lipid (sage oil) content relative to the total lipid phase, combined with an optimized surfactant (Cremophore RH 40) concentration, significantly enhanced particle size uniformity, as evidenced by reduced PI values. This phenomenon is attributed to the liquid lipid’s capacity to lower interfacial tension and improve emulsification efficiency, fostering monodisperse droplet formation during homogenization.43 Concurrently, surfactant concentrations near CMC stabilized the lipid-aqueous interface, minimizing coalescence. These findings align with prior studies demonstrating that liquid lipid incorporation and surfactant optimization synergistically enhance colloidal homogeneity.27\nThe ζ potential of NPs is an additional significant measure of their stability, as it represents the possibility of clustering or distribution. It offers information about the surface potential and any changes performed to the NPs. Furthermore, it influences the intake of drugs by cells and plays an important role in drug delivery. The ζ potential of DLX-SLCs (Table 1) varied from −15.3 ±2.6 to −31.8 ±1.2 mV. The ζ potential of SLCs was significantly modulated by both independent variables, as depicted in the contour plots and response surface analysis (Figure 1E and F). Incremental increases in Cremophore RH 40 concentration (2% to 4% w/v) induced a marked reduction in zeta potential magnitude, attributable to the nonionic surfactant’s capacity to neutralize surface charges via steric stabilization. Unlike ionic surfactants, Cremophore RH 40 lacks charged functional groups, instead forming a hydrated polymeric layer around particles that mitigates aggregation through spatial hindrance rather than electrostatic repulsion. At elevated concentrations, the dominance of steric stabilization over electrostatic interactions alters the colloidal equilibrium, potentially compromising long-term dispersion stability despite reduced surface charge.44 The zeta potential of SLCs exhibited a direct relationship with the proportion of sage oil incorporated into the lipid matrix. This trend is likely mediated by ionizable acidic moieties within sage oil, which confer an enhanced negative surface charge to the nanoparticles. Comparative studies on lipid-based systems, including those utilizing black seed oil and linseed oil, confirm this phenomenon, demonstrating that liquid lipids with polar functional groups generate pronounced negative zeta potentials (typically ranging from −30 to −50 mV). Such elevated surface charges amplify electrostatic repulsion between particles, thereby enhancing colloidal stability by mitigating aggregation.45,46 In contrast, formulations with higher solid lipid content displayed attenuated negative zeta potentials, indicative of reduced electrostatic stabilization. This decline arises from the nonpolar nature of solid lipids, which limits the availability of ionizable groups to contribute to surface charge. Consequently, SLCs dominated by solid lipids exhibit diminished stability compared to their liquid lipid-enriched counterparts, underscoring the critical role of lipid hydrophilicity in modulating interfacial charge dynamics and colloidal behavior.47\nEE% serves as a critical determinant in the design of lipid-based nanocarriers, directly governing the therapeutic dose delivered by SLCs and ensuring clinical efficacy. The encapsulation efficiency of DLX within the SLCs is summarized in Table 1, demonstrating high values across all tested formulations (73.8% ±4.1 to 79.9% ±3.8). To optimize EE and mitigate premature release, the effects of two formulation variables, solid lipid-liquid lipid (Cutina HR: Sage oil) ratio and surfactant (Cremophore RH 40) concentration, on EE% were systematically investigated. The EE% of DLX was predominantly governed by both variables, with Cutina HR: Sage oil ratio exerting a more pronounced influence than Cremophore RH 40 concentration (Figure 1G and H). Elevated lipid content enhanced EE% due to DLX’s higher partition coefficient in the lipid matrix, favoring thermodynamic affinity for the hydrophobic core over the aqueous phase. A significant dependence on the amount of sage oil was observed; formulations with reduced sage oil content exhibited significantly lower EE% than those enriched with liquid lipid. This trend underscores the pivotal role of sage oil in enhancing DLX entrapment, attributable to the drug’s higher solubility in the liquid lipid phase relative to the solid matrix. Furthermore, formulations with elevated liquid lipid proportions yielded smaller nanoparticle diameters, as previously reported, which amplifies the interfacial surface area available for DLX partitioning during nanocarrier assembly. The synergistic interplay between lipid solubility and reduced particle size optimizes drug incorporation, aligning with established principles of lipid nanoparticle design where liquid lipids enhance drug loading and colloidal stability.48 Conversely, a nonlinear relationship was observed between Cremophore RH 40 concentration and DLX encapsulation efficiency in the SLCs (Table 1). Incremental surfactant incorporation (from 2 to 3% w/v) enhanced EE%, likely due to improved interfacial stabilization and DLX partitioning into the lipid phase during nanoparticle assembly.47 However, a paradoxical reduction in EE% occurred at the highest surfactant concentration (4% w/v), deviating from the anticipated trend. This attenuation may arise from micellar solubilization of liquid lipids by excess surfactant, which exceeds the critical micelle concentration (CMC). Such micellar entrapment reduces the available lipid phase for drug incorporation, diminishing overall EE%.49 These findings revealed the surfactant’s dual role as a stabilizer and a potential competitor in drug-loading dynamics, underscoring the necessity of optimizing surfactant-to-lipid ratios to balance emulsification efficacy and entrapment capacity.41,50,51 It was proposed that 3% of Cremophore RH 40 is the optimal level of surfactant.\nThe desirability aspect is frequently employed in optimizing with multiple goals to determine the ideal formulation for various processes. The system consolidates several response factors into a singular combined desirability score, facilitating the simultaneous optimization of all aspects. It measures the appealing qualities of the preparations for every response factor. The adoption of the F8 formulation was determined by its optimal desirability factor of 0.821, warranting further assessment.\nThe in vitro release profiles of DLX from pure-DLX and optimized DLX-SLCs in phosphate-buffered saline (PBS, pH 6.8, 37°C) are presented in Figure 2A. Pure DLX exhibited rapid release, with 59.46% of the drug liberated within 1 h and near-complete release achieved by 24 h. This rapid dissolution of pure-DLX in PBS, pH 6.8, is attributable to its pH-dependent solubility profile. DLX, a weakly basic compound (pKa ≈ 9.7), undergoes amine protonation in neutral-to-acidic media, significantly enhancing its aqueous solubility at pH 6.8.52 Empirical studies confirm near-complete solubility (>99%) in pH 6.8 PBS due to a favorable ionization equilibrium.7 This high solubility accelerates drug dissolution and diffusion, explaining the observed burst release (59.46% within 1 h). In contrast, optimized DLX-SLCs demonstrated sustained release behavior with only 10.3% of DLX released within the initial hour, followed by prolonged, near-linear release reaching 61.8% at 24 h. The diminished burst release (≤15%) from SLCs confirms homogeneous dispersion of DLX within the lipid matrix, minimizing surface-associated drug fractions. This modulated release profile aligns with the lipid matrix-controlled liberation behavior, which is characteristic of lipid-based nanocarriers, where drug partitioning into the lipid core retards aqueous dissolution. A similar result was reported.7\nFigure 2(A) In vitro DLX release profile from Pure-DLX and optimized DLX-SLCs and (B) TEM representations of optimized DLX-SLCs (scale bar = 500 nm) (i) and a histogram representing the presumed average hydrodynamic particle sizes derived from TEM (ii).\n(A) In vitro DLX release profile from Pure-DLX and optimized DLX-SLCs and (B) TEM representations of optimized DLX-SLCs (scale bar = 500 nm) (i) and a histogram representing the presumed average hydrodynamic particle sizes derived from TEM (ii).\nThe drug release mechanisms for pure-DLX and optimized DLX-SLCs were elucidated through kinetic modeling of dissolution data. Release profiles were fitted to established mathematical models, such as zero-order, first-order, Higuchi diffusion, and Korsmeyer-Peppas, using DDsolver software (Table 3). This quantitative approach identifies the governing release kinetics by determining the model that best describes the drug liberation process. Such mathematical formalization provides critical insights into formulation performance while optimizing resource utilization: it discriminates between diffusion-controlled, erosion-mediated, and anomalous transport mechanisms.Table 3Release Kinetics of DLX from Pure-DLX and Optimized DLX-SLCsFormulationZeroOrderFirstOrderHiguchiKorsmeyer-PeppasHopfenbergBaker-lonsdaleR2adjR2adjR2adjR2adjNR2adjR2adjPure-DLX0.6300.3470.0580.9950.1440.2670.612DLX-SLCs0.7290.9360.9800.9970.5880.9290.955\nRelease Kinetics of DLX from Pure-DLX and Optimized DLX-SLCs\nThe drug release mechanism from DLX-SLCs was diffusion-dominated, as evidenced by exceptional fit to the Korsmeyer-Peppas model (R2 = 0.997), with a release exponent (n = 0.588) indicating anomalous (non-Fickian) transport, proposing an extended drug release mechanism that encompasses many mechanisms, including diffusion, swelling, and erosion. The documented studies imply that n < 0.43 signifies diffusion-dependent liberation from nanosystems, but n > 0.43 suggests anomalous techniques with an escalating non-Fickian involvement as the n number rises. Our findings indicate that DLX-SLCs adhere to anomalous mechanisms characterized by a significant non-Fickian (case II transport) involvement. The observed behavior aligns with lipid-based carriers undergoing structural reorganization during dissolution, where interfacial hydration triggers progressive softening and erosion of the lipid matrix, thereby augmenting drug diffusion through aqueous pathways. Erosion kinetics modeling revealed that drug release from DLX-SLCs follows homogeneous, diffusion-controlled erosion mechanisms, as demonstrated by the superior fit to the Baker-Lonsdale model (R2 = 0.955) compared to the Hopfenberg model.17 This high correlation signifies uniform bulk erosion from spherical lipid matrices, consistent with the monodisperse morphology. The Baker-Lonsdale fit further confirms three governing mechanisms, constant diffusivity due to homogeneous drug distribution within the lipid core, stable spherical geometry during dissolution, and boundary layer-controlled aqueous penetration enabling gradual matrix erosion.27,53\nTransmission electron microscopy (TEM) analysis of the optimized DLX-SLCs revealed the formation of monodisperse spherical nanoparticles (Figure 2Bi), as evidenced by the corresponding hydrodynamic size distribution histogram (Figure 2Bii). Particle dimensions obtained via TEM corroborated dynamic light scattering (DLS) measurements, confirming the precision of size characterization across orthogonal analytical techniques. Notably, the absence of particle aggregation or coalescence in TEM micrographs underscores the colloidal stability of the optimized DLX-SLCs, consistent with the low polydispersity index (PI < 0.3) derived from DLS analysis. The congruence between TEM and DLS data validates the robustness of the formulation process in achieving uniform nanoparticle morphology.40\nComparative FT-IR analysis of pure chitosan (CS), pure pimelic acid (Pim), and the CS-Pim conjugate polymer confirmed successful covalent modification through distinct spectral alterations (Figure 3A). Pure-Pim Figure 3Ai showed diagnostic peaks at 1681 cm−1 (carboxylic C=O stretch) and 1266 cm−1 (C-O stretch),54,55 while pure-CS (LMW and MMW) (Figure 3Aii and iii, respectively) exhibited characteristic bands at 3332 cm−1 (O-H/N-H stretch), 1652 cm−1 (amide I), and 1587 cm−1 (amide II).56 The different CS-Pim spectra (Figure 3Aiv, v, vi and vii) demonstrated critical changes including the disappearance of Pim’s carboxylic C=O peak (1681 cm−1), emergence of a new amide I band at 1644 cm−1, shift in amide II to 1550 cm−1, broadened N-H/O-H stretch (3309–3285 cm−1), collectively evidencing amide bond formation between CS amine groups and Pim carboxyl moieties. Preservation of saccharide backbone vibrations (1024–1149 cm−1) confirmed structural integrity post-modification. These spectral transitions, particularly the carbonyl frequency reduction, verify covalent conjugation while excluding physical mixture artifacts, establishing a robust foundation for functional polymer design. A similar result was reported for different CS derivatives using other dicarboxylic acids.20\nFigure 3(A) FTIR spectra of (i) Pimelic acid, (ii) LMWT CS, (iii) MMWT CS, (iv) CS-Pim (B1), (v) CS-Pim (B2), (vi) CS-Pim (B3), and (vii) CS-Pim; (B) Swelling percent of buccal mucoadhesive film formulations and (C) Surface morphology of buccal mucoadhesive film formulations. (i) B1, (ii) B2, (iii) B3, (iv) B4.\n(A) FTIR spectra of (i) Pimelic acid, (ii) LMWT CS, (iii) MMWT CS, (iv) CS-Pim (B1), (v) CS-Pim (B2), (vi) CS-Pim (B3), and (vii) CS-Pim; (B) Swelling percent of buccal mucoadhesive film formulations and (C) Surface morphology of buccal mucoadhesive film formulations. (i) B1, (ii) B2, (iii) B3, (iv) B4.\nThe films were assessed for various parameters, including thickness, weight uniformity, pH, moisture loss, tensile strength, and elongation at break, to determine their appropriateness for buccal delivery. Buccal films must be sufficiently thin to avoid discomfort, as they will reside in the oral cavity for a designated duration. The film thicknesses were measured between 0.04 and 0.08 mm using an electronic micrometer. The weights of the films ranged from 11.1 to 28.7 mg. In accordance with reports, the augmented polymer molecular weight enabled the film to retain more water during the drying process.57\nThe weight and thickness of the films (Table 4) demonstrated concentration-dependent responses to EDC crosslinking, where higher EDC levels (0.1 M) typically increased both parameters due to enhanced polymer network density with more pimelic acid and restricted chain contraction during drying. Thus, formulations B2 and B4 (0.001 M EDC) exhibited reduced thickness (0.04 mm) compared to B1/B3 (0.1 M EDC) despite equivalent polymer concentration. This anomaly arises from EDC-mediated amide bond formation with the carboxylic group of pimelic acid, enabling denser polymer networks. Consequently, targeted low-level EDC crosslinking (0.001 M) achieves patient-preferred thinness (<0.05 mm) while preserving free amine groups for mucoadhesion.23Table 4Physicochemical Properties, Drug Content, and Mucoadhesive Strength of Buccal FilmsFormulaWeightUniformity (mg)ThicknessUniformity (mm)pHMoistureLoss (%)DrugContent (%)TensileStrength (N/cm2)Elongation toBreak (%)MucoadhesiveStrength (g)B118.3± 0.690.06±0.017.03±0.0515.84±0.7198.62±0.21.07±0.0925.59±1.439.5 ± 1.32B211.1± 0.730.04±0.036.83±0.0413.19±0.6996.32±0.63.08±0.2455.22±4.642.9 ± 1.76B328.7± 0.810.08±0.057.07±0.0216.38±0.5998.71±0.53.45±0.1790.29±6.245.8± 1.61B413.1±0.510.04±0.037.08±0.0314.50±0.4699.12±0.410.07±0.34109.9±7.348.9± 2.38\nPhysicochemical Properties, Drug Content, and Mucoadhesive Strength of Buccal Films\nThe surface pH of formulated buccal films was quantified to evaluate mucosal irritation potential, yielding values between 6.83 ± 0.04 and 7.08 ± 0.03 across all formulations (Table 4), with no statistically significant inter-group differences. This near-neutral range demonstrates physiological compatibility with the buccal mucosal environment (typical pH 6.3–7.4), thereby minimizing risks of epithelial irritation, salivary buffering disruption, or mucin denaturation.58\nThe moisture loss of buccal films ranged from 13.19 ± 0.69% to 16.38 ± 0.59%, demonstrating a positive correlation with increasing polymer molecular weight (MW). MMW-CS exhibited greater moisture loss, attributed to greater free hydroxyl/amine groups per chain, increasing water capacity within the polymer, amplifying percentage loss due to higher initial hydration.59\nDynamic mechanical analysis (DMA) for tensile strength (Table 4) revealed that films incorporating MMW-CS exhibited significantly enhanced viscoelastic properties compared to LMW-CS at identical polymer concentrations (3% w/v). Specifically, MMW-CS film B4 demonstrated a higher tensile strength (10.07±0.34 N/cm2 vs 3.08±0.24 N/cm2 for LMW-CS (B2)) and greater elongation at break (109.9±7.3% vs 55.22±4.6%), attributable to the entanglement network density of MMW-CS chains forming more topological entanglements, increasing resistance to deformation.60\nThe DLX content consistency across buccal film formulations complied with pharmacopeial standards, as evidenced by analysis of 10 randomly selected films exhibiting DLX content within 85–115% of the labeled claim (mean: 98.19% ± 3.2% RSD). This narrow variability (≤6% RSD) satisfies regulatory requirements for dosage unit uniformity, ensuring consistent therapeutic dosing and batch-to-batch reproducibility. The observed homogeneity reflects optimized manufacturing parameters, guaranteeing that patients receive the intended DLX dose within ±5% accuracy.29\nOptimal hydration capacity is critical for buccal films to ensure uniform drug release and mucosal absorption, as polymer swelling facilitates intimate mucoadhesive contact through transient polymer-mucin interactions. The swelling index is directly influenced by polymer blend composition, triggering rapid matrix hydration upon mucosal contact, enabling weak bond formation and subsequent bioadhesion.29 While controlled swelling is essential for buccal film mucoadhesion, excessive hydration compromises therapeutic efficacy by inducing patient discomfort and undermining structural integrity. Overswelling risks premature dissolution, disrupting cohesive matrix continuity, and weakening bioadhesive bonds; critical factors governing mucosal residence time and drug bioavailability. Optimal formulations must balance sufficient hydration for polymer-mucin interpenetration.20 Formulation B4 exemplifies this equilibrium, achieving 124% swelling at 2 h while maintaining mechanical coherence through crosslinked polymer networks, thereby sustaining adhesion without compromising patient tolerance (Figure 3B). MMW-CS demonstrates significantly enhanced hydration capacity compared to LMW-CS, attributable to its optimal chain-length-dependent properties. MMW-CS chains possess sufficient length to deeply penetrate and form supramolecular entanglements within the mucin glycoprotein network, establishing robust interpenetrating polymer networks (IPNs) that enhance adhesion strength.61 Concurrently, MMW-CS demonstrates greater cohesive strength within its polymeric matrix, resisting shear-induced disintegration at the mucosal interface; a critical attribute for maintaining structural integrity during physiological stress.62 This is complemented by pronounced rheological synergy with mucin, where MMW-CS achieves maximal viscoelastic synergism through optimal charge density and chain entanglement, significantly increasing adhesive viscosity.63 Crucially, MMW-CS balances solubility for interfacial interaction with cohesive viscosity for prolonged retention, avoiding the rapid dissolution seen in highly soluble LMW-CS. These properties collectively position MMW-CS as the preferred molecular weight range for sustained mucoadhesive efficacy, where balanced swelling sustains mucoadhesion without compromising structural integrity or patient comfort. Formulation B4 exhibited superior swelling (Figure 3B), attributable to synergistic hydrogen bonding through protonated amine groups (−NH3⁺) of chitosan in addition to the ionized carboxylic acid moieties (−COO−) within its pimelate-conjugated polymer matrix. H-bonding forms reversible supramolecular crosslinks that stabilize the expanding network against dissolution. The resultant equilibrium between fluid absorption and mechanical integrity facilitates prolonged mucoadhesion essential for controlled buccal drug delivery, while avoiding overswelling-induced patient discomfort.20\nEx vivo mucoadhesive strength denotes the adhesion strength of a polymeric ingredient within the buccal film to the epithelial surface and mucus. Numerous factors influence mucoadhesive strength, including the degree of polymer swelling, variations in polymer molecular weight, contact duration, surface area, and the type of biological substrate employed. Mucoadhesion is a multi-faceted process encompassing moistening, penetration, adsorption, and establishing chemical bonds between the polymer and the buccal mucosal membrane. Increasing the polymer concentration or molecular weight enhances hydration levels and the quantity of linear chains, forming a robust network with mucin. This is due to hydrogen bonds, electrostatic attraction, or Van der Waals forces.64,65\nIn our investigation, the primary determinant of the mucoadhesive capability of positively charged chitosan is attributed to electrostatic interactions with oppositely charged mucin. An elevation in the content of polymers or molecular weight may also modify these interactions, accompanying mucoadhesion through enhanced physical entanglement. A researcher examined the bioadhesive characteristics of Amiloride buccal patches formulated with carbopol, chitosan, HPMC, and PVP polymers, discovering that chitosan demonstrated superior bioadhesive qualities compared to carbopol and HPMC, with bioadhesion enhancing as chitosan concentration rose.66\nThe mucoadhesive properties of CS derivatives are fundamentally governed by their chemical architecture, where swelling capacity serves as a critical determinant for mucosal adhesion efficacy. Enhanced hydration facilitates polymer chain expansion, enabling more profound interpenetration with mucin networks.67 The mucoadhesive strength results for the buccal films varied from 39.5 ± 1.32 to 48.9± 2.38 g (Table 4). Formulation B4 (medium molecular weight chitosan crosslinked with 0.001 M EDC) demonstrated superior swelling capacity (124% in 2 h), correlating with its peak mucoadhesive strength (48.9 ± 2.38 g). This performance is attributable to optimal EDC crosslinking density preserved protonatable -NH2 groups, enabling electrostatic binding to sialic acid residues in mucus; balanced crosslinking created expandable polymer matrices that increased contact area versus highly crosslinked analogues. In addition, MMW-CS polymer maximized chain entanglement efficiency while maintaining hydration equilibrium by allowing for more amine groups for electrostatic interaction.60\nScanning electron microscopy (SEM) analysis of DLX-SLCs-loaded buccal films revealed homogeneous, pore-free surfaces with compact microstructures (Figure 3C), indicating uniform distribution of formulation constituents and absence of phase separation. Formulation B4 (Figure 3Civ) exhibited superior surface integrity characterized by exceptional smoothness and structural continuity, attributable to synergistic hydrogen bonding between protonated amine groups (−NH3⁺) of MMW chitosan and ionized carboxylate moieties (−COO−) of the pimelate conjugate. This interaction, enhanced by controlled solvent evaporation during casting and glycerol-mediated plasticization, promoted dense polymer chain reorganization while suppressing microcrack formation. The resultant morphological homogeneity maximizes interfacial contact area with the mucosal epithelium, enhancing mucoadhesive retention and drug delivery efficiency.68\nContact angle measurements (Figure 4A) quantitatively characterized the wettability characteristics of modified chitosan films, where lower angles (θ < 90°) indicated enhanced hydrophilicity driven by protonated amine groups (−NH3⁺) and carboxylate moieties (−COO−). Cross-linking of chitosan films significantly enhanced surface wettability, evidenced by contact angles ranging from 85.7° to 55.3°, confirming increased hydrophilicity. This may be due to cross-linking reorients polymer chains, exposing hydrophilic −NH2/−OH groups at the film-air interface, network formation disrupts crystalline domains, facilitating water interaction, in acidic media (eg, buccal pH 6.8), protonated amines (−NH3⁺) amplify surface hydration.23 Formulation B4 (Figure 4Aiv) exhibited the lowest contact angle (θ = 55.3° ± 2.3°), confirming optimal surface energy for mucoadhesion.\nFigure 4(A) The contact angle of buccal mucoadhesive film formulations. (i) B1, (ii) B2, (iii) B3, (iv) B4, (B) DSC of (i) DLX, (ii) Cutina HR, (iii) Cremophore RH 40, (iv) Tween 80, (v) sage oil, (vi) CS-Pim (B4), (vii) plain SLCs, (viii) DLX-SLCs and (ix) DLX-SLCs buccal film and (C) FTIR spectra of (i) DLX, (ii) Cutina HR, (iii) Cremophore RH 40, (iv) Tween 80, (v) sage oil, (vi) plain SLCs, (vii) DLX-SLCs, and (viii) DLX-SLCs buccal film.\n(A) The contact angle of buccal mucoadhesive film formulations. (i) B1, (ii) B2, (iii) B3, (iv) B4, (B) DSC of (i) DLX, (ii) Cutina HR, (iii) Cremophore RH 40, (iv) Tween 80, (v) sage oil, (vi) CS-Pim (B4), (vii) plain SLCs, (viii) DLX-SLCs and (ix) DLX-SLCs buccal film and (C) FTIR spectra of (i) DLX, (ii) Cutina HR, (iii) Cremophore RH 40, (iv) Tween 80, (v) sage oil, (vi) plain SLCs, (vii) DLX-SLCs, and (viii) DLX-SLCs buccal film.\nThe DSC thermal performance of pure DLX (Figure 4Bi) exhibited a singular endothermic event at 173.34°C (ΔH = 427.38 J/g), corresponding to the melting transition of its crystalline lattice. This observation aligns with literature-reported values (170.5–172.2°C) for the thermodynamically stable anhydrous Form I polymorph of DLX.7\nThe DSC thermogram of Cutina HR (hydrogenated castor oil) (Figure 4Bii) exhibited a single sharp endothermic transition at 90.82°C (ΔH = 244.5 J/g), corresponding to the melting of its crystalline triglyceride matrix in the thermodynamically stable β-polymorphic form. The high enthalpy value reflects >95% crystallinity, confirms homogeneous crystal structure, and lacks polymorphic impurities. This thermal behavior aligns with literature-reported properties for fully hydrogenated castor oil (85–90°C melting range).69\nDSC analysis of Cremophore RH 40 (Figure 4Biii) revealed two distinct endothermic transitions. A sharp melting peak at 34.54°C (ΔH = 105.95 J/g), corresponding to the melting of crystalline polyoxyethylene (PEG) domains in its hydrophilic moiety, followed by a decomposition event at 139.41°C (ΔH = 72.45 J/g), attributed to oxidative cleavage of ethoxylated fatty acid chains, causing its decomposition.70,71\nThe DSC analysis of Tween 80 (Figure 4Biv) lacks a distinct melting peak characteristic of a crystalline substance, comprising a mixture of esters and polyoxyethylene sorbitan derivatives, typically liquid or semi-solid at ambient temperature. The thermal phenomena detected in DSC pertain to softening and volatilization rather than discrete melting.72,73\nThe DSC examination of sage oil (Figure 4Bv) revealed a broad endothermic transition at 151.97°C (ΔH = 13.87 J/g), attributed to the evaporation of the investigated essential oils. Essential oils comprise numerous components, whose thermal effects during evaporation overlap, leading to a broad endothermic transition on the DSC curves.74\nThe DSC thermogram of the CS-Pim (Figure 4Bvi) exhibited two distinct endothermic peaks. The first peak at 127°C (ΔH = 68.73 J/g) attributed to the melting of crystalline domains formed by modified polymer chains. This peak suggests structural reorganization due to crosslinking, which enhances chain alignment and creates ordered regions. The second peak was detected at 320°C (ΔH = 31.31 J/g), corresponding to decomposition of the modified polysaccharide backbone. This elevated temperature (vs pure CS decomposition at 133.93 and pure pimelic acid at 269°C) confirms enhanced thermal stability from modifications.\nThe DSC examination of plain SLCs (Figure 4Bvii) exhibited a prominent endothermic transition at 82.44°C (ΔH = 94.5 J/g), representing an 8.4°C depression relative to bulk Cutina HR (90.82°C). This thermal shift arises from nanoconfinement effects reducing cooperative melting energy in lipid crystallites, coupled with structural reorganization induced by sage oil and surfactant-mediated disruption of hydrogen bonding networks.27\nDSC thermogram of DLX-SLCs (Figure 4Bviii) revealed the complete absence of the characteristic crystalline melting endotherm of DLX (173.34°C, ΔH = 427.38 J/g), confirming molecular dispersion of DLX within the lipid matrix in a non-crystalline state. This loss of crystallinity indicates a transition to an amorphous phase stabilized by interactions with lipid matrix and surfactants. The amorphous solid dispersion state, thereby overcoming the limited bioavailability intrinsic to BCS Class II compounds like DLX.33\nThe DSC thermogram of DLX-SLCs buccal films (Figure 4Bix) exhibited two endothermic transitions. A primary peak at 131.26°C (ΔH = 194.56 J/g) and a secondary peak at 278°C (ΔH = 148.45 J/g), closely aligning with the CS-Pim polymer reference peaks (127°C and 320°C), yet with little shift. The displacement of the temperature transition arises from plasticizing the crystalline domains in CS-Pim, concurrently increasing transition enthalpy due to enhanced energy absorption during structural reorganization. The absence of DLX’s crystalline melting endotherm (173.34°C) confirms complete amorphous drug dispersion within the lipid-polymer matrix.27\nFTIR spectroscopy analysis of DLX (Figure 4Ci) reveals characteristic absorption peaks indicative of specific functional groups in its crystal. The N–H stretching vibration appears at 3096 cm−1, confirming the presence of secondary amine functionalities. Aromatic C–H stretching vibrations are observed at 3061 cm−1, while aliphatic C–H stretching absorptions occur at 2958 cm−1. The carbonyl group from the sulfonamide moiety exhibits a strong absorption band in the region of 1599 cm−1. Additionally, the C–N stretching vibration of the amine group is detected at 1264 cm−1, and the C–O stretching from the ether linkage appears at 1234 cm−1. Aromatic ring vibrations manifest as multiple bands at 1576 and 1463 cm−1. These spectral features collectively aid in the structural identification and confirmation of DLX by highlighting key functional groups such as sulfonamides, aromatic rings, ethers, and nitrogen-containing moieties.75\nThe characteristic FTIR spectrum of Cutina HR (Figure 4Cii) exhibits distinct absorption bands that are indicative of its chemical composition. A prominent peak at approximately 1737 cm−1 corresponds to the strong ester carbonyl (C=O) stretching vibration, confirming the presence of ester linkages within the structure. A broad absorption band at 3328 cm−1 is attributed to O–H stretching vibrations, suggesting the presence of residual hydroxyl groups. Additionally, absorptions observed at 2915 cm−1 and 2847 cm−1 are assigned to C–H stretching vibrations from methylene groups in long aliphatic chains. The spectral features at 1176 cm−1 correspond to ester bonds’ C–O stretching vibrations. Together, these IR signatures confirm the presence of aliphatic esters and glycerides, which are principal constituents of Cutina HR.76\nThe FTIR spectrum of Cremophor RH 40 (Figure 4Ciii) displays characteristic absorption bands that correlate with its molecular structure and functional groups. A broad and intense band at approximately 3496 cm−1 is attributed to O–H stretching vibrations, indicative of the presence of hydroxyl groups. Prominent absorption peaks at 2921 cm−1 and 2854 cm−1 correspond to C–H stretching vibrations arising from methylene and methyl groups in alkyl chains. A distinct peak around 1730 cm−1 confirms the presence of carbonyl (C=O) stretching from ester linkages within the molecule. Additionally, a band observed at 1110 cm−1 is assigned to C–O–C stretching vibrations, characteristic of ether bonds in polyethylene glycol (PEG) chains. These key spectral features collectively serve as diagnostic markers for confirming the chemical identity, structural integrity, and purity of Cremophor RH 40 in both analytical characterization and pharmaceutical formulation contexts.44,77\nThe FTIR spectrum of Tween 80 (Figure 4Civ) is representative of its molecular structure, which comprises a polyoxyethylene sorbitan backbone esterified with oleic acid. A prominent absorption band at approximately 1739 cm−1 corresponds to the C=O stretching vibration of the ester carbonyl group, serving as a key indicator of the ester functionality. The broad peak around 3492 cm−1 is attributed to O–H stretching vibrations arising from hydroxyl groups present in the polyoxyethylene chains. Characteristic aliphatic C–H stretching vibrations are observed at 2923 cm−1 and 2856 cm−1, consistent with long-chain hydrocarbon moieties. Additionally, a distinct absorption at 1096 cm−1 corresponds to the C–O–C stretching vibration, confirming the presence of ether linkages within the polyoxyethylene segments. These diagnostic spectral features are crucial for the identification of Tween 80 in complex formulations and for verifying its incorporation into various drug delivery systems.78,79 The FTIR spectrum of sage essential oil (Figure 4Cv) reflects its complex and diverse chemical composition, primarily of terpenoids and other volatile constituents. A prominent broad absorption band around 2989 cm−1 corresponds to O–H stretching vibrations, indicative of phenolic and alcoholic hydroxyl groups in compounds such as borneol and other oxygenated monoterpenes. Strong C–H stretching vibrations from aliphatic chains are observed at 2923 cm−1 and 2876 cm−1, consistent with saturated hydrocarbon moieties. A distinct peak at 1745 cm−1 is attributed to C=O stretching vibrations arising from ester and ketone functionalities, characteristic of components like camphor and thujone derivatives. Additionally, aromatic C=C stretching vibrations manifest at 1463 cm−1, while C–O stretching vibrations from ethers and alcohols appear at 1055 cm−1. These spectral features correspond well with the major bioactive constituents of sage oil, including α-thujone, β-thujone, camphor, borneol, and 1,8-cineole, thereby confirming the presence of these key compounds through functional group-specific absorbance bands.79,80\nThe FTIR spectrum of a plain SLCs formulation (Figure 4Cvi) composed of Cremophor RH 40, Tween 80, and Cutina HR exhibits characteristic absorption bands that represent the combined contributions of these excipients. A broad O–H stretching vibration centered at 3363 cm−1 is attributed to hydroxyl groups present in the polyoxyethylene chains of both Cremophor RH 40 and Tween 80.44 Prominent C–H stretching vibrations at approximately 2919 cm−1and 2847 cm−1are indicative of methylene and methyl groups from the long aliphatic chains found in all three components. A distinct carbonyl (C=O) stretching peak observed near 1732 cm−1 confirms the presence of ester linkages, predominantly originating from Cutina HR (a hydrogenated castor oil-derived glyceryl ester) and Tween 80. Additionally, a band at 1098 cm−1 corresponds to C–O–C stretching vibrations arising from the ethylene oxide units of the surfactants, further supporting the presence of polyether structures.78 The FTIR spectrum also reveals characteristic peaks associated with sage essential oil, further supporting its incorporation into the SLC system. Notably, an absorption band near 1615 cm−1 corresponds to aromatic C=C stretching vibrations, while =C–H bending modes appear at 858 cm−1. These spectral features indicate the presence of terpenoid and phenolic constituents commonly found in sage essential oil.80 When considered alongside the characteristic absorption bands of the lipid and surfactant components, these peaks collectively provide strong evidence for the successful formulation and compatibility of all constituents within the SLC matrix.79\nThe FTIR spectra obtained from DLX-SLCs, as presented in Figure 4Cvii, exhibited spectral patterns closely resembling those of the plain SLC formulations without duloxetine. This high degree of similarity suggests that the inclusion of DLX did not significantly alter the molecular arrangement or physicochemical integrity of the excipients comprising the SLC matrix. Furthermore, preserving characteristic absorption bands corresponding to the lipid and surfactant components indicates minimal interaction between DLX and the formulation constituents. These findings support the conclusion that DLX was successfully entrapped within the internal structure of the SLCs without compromising the structural stability of the delivery system.27\nThe FTIR spectra of the DLX-SLCs buccal film, as illustrated in Figure 4Cviii, revealed characteristic absorption bands similar to those observed in the optimized DLX-SLC formulation. However, a noticeable reduction in peak intensity was evident across the spectra. This attenuation in spectral intensity can be attributed to the dispersion and entrapment of the SLCs within the polymeric matrix of the buccal film. Incorporating SLCs into the film likely led to a dilution effect and restricted the vibrational freedom of functional groups, thereby reducing the overall absorbance signals. Moreover, the homogeneous distribution of lipid nanoparticles in the polymeric network may result in physical interactions, such as hydrogen bonding or van der Waals forces, between the lipid components and the polymer chains, which can further modulate the spectral response. These interactions and the encapsulation within a polymeric matrix are commonly associated with decreased FTIR peak intensity in composite drug delivery systems.\nRegarding ex vivo skin permeation studies, the findings of the permeation study are presented in Table 5. The amount of DLX permeated through the mucosa was found to be 5242.5 ± 234.2 and 5626.8 ± 198.2 g cm−2 after 7 and 24 hours, respectively (Q7 and Q24). This indicates that the steady state was attained early. The rate of drug flux was calculated to determine the efficient enhancement of DLX permeation after DLX-SLCs CS-Pim film incorporation. The steady-state flux (Jss) was found to be 31.849 ± 1.86 g cm−2 h−1, which is a good improvement, indicating enhanced permeation of this drug. Previous study about permeation-enhanced duloxetine formulation reported similar trends of enhanced permeability, but to a lesser extent.4,81 This enhancement was predicted and can be explained by the combined effect of sage nanoformulation (SLCs) and the mucoadhesive property of CS-Pim buccal film. The decreased particle size was reported to show a significant improvement in permeation-enhancing action, besides the presence of variable surfactants in SLC formulation, which act as permeation enhancers.82,83 Also, chitosan and chitosan derivatives were reported to show enhanced permeability in buccal delivery systems owing to their mucoadhesive action that intimate the contact and increases the residence time.20Table 5Permeability Study Results (n = 3)FormulationJss (g cm−2 h−1)Q7 (g cm−2)Q24 (g cm−2)PermeabilityCoefficient (cm h−1)Permeability(t0-7) (%)Permeability(t0-24) (%)DLX-SLCs buccal film31.849 ± 1.865242.5 ± 234.25626.8 ± 198.23.54 x10−358.2562.52\nPermeability Study Results (n = 3)\nAcute toxicity intends to ascertain the lethal dose/concentration of a chemical that induces mortality in 50% of the examined subjects (LD/LC50) after short-term exposure.84 Acute toxicity experiments were conducted. The results of the acute toxicity study in three groups of animals treated with up to 2000 mg/kg DLX-SLCs buccal film showed no signs of toxicity, behavioural changes, or mortality following treatment. The body weights of the animals remained relatively stable before and after treatment, with only minor variations: Group I (171±2 to 166±2 g), Group II (162±3 to 161±3 g), and Group III (170±2 to 172±3 g). The results suggest that the provided dosage of 30 mg/kg exhibits a favourable safety profile and poses no danger of acute toxicity.85\nThe EPM is a widely used behavioral assay for evaluating anxiety-related responses in rodents, based on their innate aversion to open and elevated spaces. Exposure to an unusual habitat in the EPM may cause modified behaviors in rodents, involving conflict, avoidance, social isolation, and terror.86 The test records the time spent and the number of entries into the open (unwalled) and closed (walled) arms of the maze. Anxious rodents typically avoid the open arms and spend more time in the closed ones, whereas non-anxious rodents exhibit greater exploratory behavior by entering the open arms more frequently.87,88\nAll groups’ animals underwent mild chronic stress, and their anxiolytic action was assessed. The stress-triggered rats (positive control) exhibited a substantial rise (p < 0.001) in the number of entrances in closed arms compared to open arms. The administration of DLX-SLCs buccal film reduced entrances in closed arms (Figure 5A) 1.62-fold, 1.32-fold, and 1.59-fold compared to the positive control, pure-DLX, and marketed-DLX, respectively. While entrances in open arms (Figure 5B) rose considerably (p < 0.001) 3.29-fold, 1.43-fold, and 1.59-fold compared to the positive control, pure-DLX, and marketed-DLX, respectively. Stress-triggered rats primarily allocated extra time to the closed arms (159.5 ± 3.6) sec. of the maze compared to the open arms (50 ± 4.8) sec. This conduct indicates their heightened uneasiness and anxiety in open environments. After treatment with DLX-SLCs buccal film, anxiety diminished, and the duration spent in closed arms (Figure 5C) diminished 1.6-fold, 1.26-fold, and 1.22-fold compared to the positive control, pure-DLX, and marketed-DLX, respectively. In contrast, the open arms (Figure 5D) expanded to 3.36-fold, 1.4-fold, and 1.29-fold compared to the positive control, pure-DLX, and marketed-DLX, respectively.\nFigure 5Effect of pure-DLX, marketed-DLX, and DLX-SLCs Buccal film on the number of entries in closed arms (A), open arms (B), and time spent on closed arms (C), and open arms (D), time of immobility (E), percent sucrose preference (F), ACTH (G) and cortisol (H) in depressed rats in depressed rats. Data were represented in mean ± SEM (n = 6). One-way ANOVA was used for statistical analysis, followed by Tukey’s post hoc test.ap˂0.001 represents significance from the negative control group.bp˂0.001 represents significance from the positive control group.cp˂0.001 represents significance from the DLX-SLCs buccal film group.\nEffect of pure-DLX, marketed-DLX, and DLX-SLCs Buccal film on the number of entries in closed arms (A), open arms (B), and time spent on closed arms (C), and open arms (D), time of immobility (E), percent sucrose preference (F), ACTH (G) and cortisol (H) in depressed rats in depressed rats. Data were represented in mean ± SEM (n = 6). One-way ANOVA was used for statistical analysis, followed by Tukey’s post hoc test.ap˂0.001 represents significance from the negative control group.bp˂0.001 represents significance from the positive control group.cp˂0.001 represents significance from the DLX-SLCs buccal film group.\nThe tail suspension test is one of the most used models for assessing antidepressant-like effects in rats.89 The test is based on excessively hanging the tails, which results in a hemodynamically challenging stress situation. When depressed rodents are subjected to this inevitable stress of being hung by their tail, they will assume an immovable posture. The lack of escape-related behaviour is known as immobility.90 Immobility behaviors provide a symptom of the psychological idea of “entrapment” associated with clinical depression. Consequently, the animal stops using proactive coping strategies for stressful situations.91 The clinical studies show that sad persons often do not exert persistent effort, which is represented in a significant psychomotor deficiency, and may therefore be equivalent to this immobility.92 Various antidepressants reverse immobility and promote the occurrence of escape-related behaviours.93 The immobility test duration was documented during a six-minute assessment.\nIn the present investigation, in the TST test, the animals showed an immobility time of 210±10 sec in the stress-induced (positive control) group, which was considered significantly increased (p < 0.001) when compared to the negative control animals (90±8 sec). On treatment with DLX-SLCs buccal film, the immobility time dropped to 80±7 sec, which was considered significantly decreased (p < 0.001) as compared to stress-induced animals (Figure 5E).\nAnhedonia, a primary symptom of depression, is evaluated using the sucrose preference test (SPT) behavioural test. It gauges how much rodents prefer a sweetened solution, typically sucrose, over unsweetened water; a lower preference denotes anhedonia. The idea behind this test is that animals that are depressed or acting anhedonistically will be less interested in foods and beverages that are typically appealing, such as sucrose.94 The sucrose levels in pure-DLX, marketed-DLX, and DLX-SLCs buccal film-treated animals were raised significantly to 68.2 ±7.1, 72.04 ± 6.8, and 87 ± 5.2% compared to the positive animal groups (43.4 ±3.9%) (Figure 5F).\nThe results reported by the biochemical markers agreed with the preliminary behavioural tests. The hypothalamic-pituitary-adrenal (HPA) axis, which controls cortisol and ACTH, is frequently dysregulated in depression. This may contribute to the symptoms of depression by showing up as elevated cortisol levels and, in certain situations, elevated ACTH levels as well. Nevertheless, there is a complicated link between depression, cortisol, and ACTH.94 The levels of ACTH and cortisol were recorded in all the animal groups. There was a significant reduction (70 ± 9 pg/mL and 80 ± 6 µg/mL; p < 0.001) in both the indices after the treatment with DLX-SLCs buccal film (Figure 5G and 5H).\nChronic physical or psychological stress can lead to oxidative/nitrative stress and inflammation, two important aspects of the pathophysiology of depression. In the hippocampus, these mechanisms also affect synaptic plasticity, neurotrophic support, and neurogenesis. Inhibiting the cascade of inflammation has been shown to offer new therapeutic alternatives for depression, especially for those suffering from treatment-resistant depression (TRD).95 Structural imaging and brain neurochemistry studies show atrophic changes in the hippocampus, including low hippocampal cell number and volume loss, and impaired neurite development, when comparing individuals with multiple episodes of depression to healthy controls. These alterations could be brought on by anomalies in the HPA axis and a substantial rise in inflammatory markers such as IL-6, TNFα, and/or ROS. Inflammation and oxidative stress are reciprocally related to depression, according to several studies.96\nThe endotoxin lipopolysaccharide (LPS) acutely activates the peripheral innate immune system, leading to depressive-like behaviors in rat models. These effects include reduced saccharin consumption, increased immobility in the forced swim (FST) and TST tests, suppressed sexual behavior, diminished location preference, and elevated pro-inflammatory cytokine production. Long-term antidepressant treatment can reduce some of the symptoms of depression caused by LPS.97\nThe onset and severity of depression may be assessed by elevated levels of the inflammatory cytokines TNF-α and IL-1β. According to studies, people with depression frequently have higher blood levels of these cytokines than people in good health. These cytokines can impact mood regulation and brain function, which may exacerbate symptoms of depression.94 Positive control showed an elevation (p < 0.001) in TNF-α levels (2.9-fold) and IL-1β (2.2-fold) compared to the negative control, confirming its expected inflammatory effect. These TNF-α levels displayed a 2.18-fold and 3.1-fold reduction (p < 0.001) in both the marketed-DLX and DLX-SLCs buccal film groups compared to the positive control, with a more pronounced effect compared to the group treated with pure-DLX (Figure 6A). Similarly, IL-1β displayed a 2.13-fold and 2.8-fold reduction (p < 0.001) in both the marketed-DLX and DLX-SLCs buccal film groups compared to the positive control, with a more noticeable effect compared to the group treated with pure-DLX 1.65-fold (Figure 6B).\nFigure 6Effect of Pure-DLX, marketed-DLX, and DLX-SLCs Buccal film on TNF-α (A), IL-1β (B), GABA (C), serotonin (D), SOD (E), and MDA (F) in depressed rats. Data were represented in mean ± SEM (n = 6). One-way ANOVA was used for statistical analysis, followed by Tukey’s post hoc test.ap˂0.001 represents significance from the negative control group.bp˂0.001 represents significance from the positive control group.cp˂0.001 represents significance from the DLX-SLCs buccal film group.\nEffect of Pure-DLX, marketed-DLX, and DLX-SLCs Buccal film on TNF-α (A), IL-1β (B), GABA (C), serotonin (D), SOD (E), and MDA (F) in depressed rats. Data were represented in mean ± SEM (n = 6). One-way ANOVA was used for statistical analysis, followed by Tukey’s post hoc test.ap˂0.001 represents significance from the negative control group.bp˂0.001 represents significance from the positive control group.cp˂0.001 represents significance from the DLX-SLCs buccal film group.\nGABA is a neurotransmitter that is essential for mood regulation and anxiety reduction. According to research, depression may be associated with abnormalities in GABA neurotransmission, specifically deficits in GABA levels. This implies that the brain’s GABAergic pathways would make good targets for the creation of novel antidepressant medications.94 By encouraging the activation of GABAA receptors, DLX-SLCs buccal film targets changes in neurotransmitter systems and GABA-induced inhibitory streams.94 The levels of GABA were found to be increased (cp < 0.001) 2.3-fold, 2.6-fold, and 3.5-fold in pure-DLX, marketed-DLX, and DLX-SLCs Buccal Film, respectively, as compared to the positive control group (Figure 6C).\nThe findings of serotonin level revealed that the positive control showed a decrease in serotonin level (68.5 ng/mg) compared to the negative control (125.26 ng/mg). Pure-DLX and marketed-DLX significantly increased serotonin levels (89.9 ± 0.8 and 94.1 ± 1.0 ng/mg, respectively), confirming the serotonin–norepinephrine reuptake inhibition mechanism of action of DLX, which has been demonstrated to increase extracellular serotonin in rodent models of depression.98 Nonetheless, these increases were significantly lower than those attained by the DLX-SLCs buccal film (112.7 ± 1.4 ng/mg), which basically raised serotonin levels to those of the normal group of controls (Figure 6D).\nDLX-SLCs buccal film could increase brain bioavailability by mucoadhesive administration, circumventing hepatic metabolism and the blood-brain barrier with greater effectiveness than traditional oral preparations.99 Nanoparticle-based delivery methods have been shown to defend the drug being delivered from enzymatic breakdown and enable tailored administration to the brain through the trigeminal or olfactory nerve pathways when supplied via the oral route.100 These data clearly confirm the efficacy of DLX-SLCs Buccal Film as an innovative and superior approach for treating depression by more effectively increasing central serotonin levels compared to traditional formulations.\nMDA and SOD are important components of the body’s oxidative stress response and antioxidant defence mechanism, respectively. MDA is a sign of oxidative damage and lipid peroxidation, whereas SOD is an enzyme that counteracts superoxide radicals.101 Elevated MDA levels indicate lipid peroxidation, a destructive mechanism whereby free radicals assault neuronal cellular membranes, leading to decreased functioning and mortality. The DLX-SLCs buccal film’s ability to minimize MDA suggests strong anti-lipid peroxidative actions, protecting membrane integrity and reducing neuronal damage. This correlates with the observed neuroprotective and antidepressant-like effects, as oxidative stress is a known component of depression pathogenesis.102\nSOD is a vital endogenous antioxidant enzyme that neutralizes superoxide radicals (O2−), preventing oxidative damage. The elevation of SOD activity shows enhanced endogenous antioxidant capability, counteracting the damaging effects of ROS in the brain.103 Since depression and anxiety disorders are associated with lower SOD activity, the DLX-SLCs buccal film’s ability to restore SOD levels supports its antidepressant and anxiolytic efficacy.\nIn the current study, DLX-SLCs buccal film has antioxidant qualities that include raising SOD while decreasing lipid peroxidation (malondialdehyde, MDA, content). With the treatment of DLX-SLCs buccal film, the SOD values increased by 90.05 ± 7.3 and 57.23 ± 3.5% compared with the positive control, pure-DLX, respectively (Figure 6E). While the MDA decreased by 61.14 ± 4.8, 38.02 ± 3.5, and 24.72 ±1.8% compared with the positive control, pure-DLX, and marketed-DLX, respectively (Figure 6F).\nA histological analysis of brain tissue segments from several groups was performed to evaluate alterations in morphology or structural modifications. Hippocampus sections within the negative control had normal neurons with vesicular pale nuclei (black arrow) (Figure 7A), while the positive control (Figure 7B) shows degenerated neurons (green arrow) and atrophy of the tissue around the degraded neurons (black arrow). There are some regenerative changes in pure-DLX (Figure 7C), and these regenerative changes become obvious with marketed-DLX (Figure 7D). In DLX-SLCs buccal film (Figure 7E), the regenerative changes become very clear in the neurons (black arrow).\nFigure 7The effect of Pure-DLX, marketed-DLX, and DLX-SLCs Buccal Film on the hippocampal regions. Representative pictures of hippocampal regions from the negative control (A) with vesicular pale nuclei (black arrow), positive control LPS (B) shows degenerated neurons (green arrow) and atrophy of the tissue around the degraded neurons (black arrow), Pure-DLX (C), Marketed-DLX (D), and DLX-SLCs buccal film (E) shows regenerative changes very clear in the neurons (black arrow).\nThe effect of Pure-DLX, marketed-DLX, and DLX-SLCs Buccal Film on the hippocampal regions. Representative pictures of hippocampal regions from the negative control (A) with vesicular pale nuclei (black arrow), positive control LPS (B) shows degenerated neurons (green arrow) and atrophy of the tissue around the degraded neurons (black arrow), Pure-DLX (C), Marketed-DLX (D), and DLX-SLCs buccal film (E) shows regenerative changes very clear in the neurons (black arrow).\n\n\n### Conclusion\nThis study introduces DLX–SLCs–loaded chitosan–pimelate (CS–Pim) buccal films as a novel mucoadhesive nanoplatform for effective depression management. The formulation strategically combines the brain-targeting potential of sage lipid carriers with the mucoadhesive and sustained-release properties of the newly synthesized CS–Pim polymer, offering a unique dual-delivery approach.\nThe developed system demonstrates clear advantages over conventional oral DLX therapy, including improved effectiveness, avoiding first pass metabolism, prolonged retention, and potential neuroprotective action, while reducing systemic side effects. Beyond its therapeutic promise, this work highlights the innovative use of CS–Pim as a versatile mucoadhesive polymer that may be extended to other neuropsychiatric or transmucosal drug delivery systems.\nFuture studies will focus on long-term safety evaluation and clinical translation to further validate the potential of this buccal nanoplatform as an advanced, patient-friendly alternative for central nervous system drug delivery.", "domain": "affective_neuroscience"}
{"source": "PMC12989317", "title": "Uncovering Hidden Phenotypes in NEX‐Cre Mice: Behavioral and Cellular Alterations Demand Re‐Evaluation of a Widely Used Transgenic Line", "text": "# Uncovering Hidden Phenotypes in NEX‐Cre Mice: Behavioral and Cellular Alterations Demand Re‐Evaluation of a Widely Used Transgenic Line\n\n## Abstract\nTransgenic mouse strains are essential tools in neuroscience, enabling targeted genetic manipulations to investigate brain function and neurological diseases. The NEX‐Cre mouse line, which targets glutamatergic principal neurons in the neocortex and hippocampus by expressing Cre‐recombinase under the NEX (NeuroD6) promoter, has been widely used for conditional gene manipulation. Contrary to previous reports suggesting no behavioral and histological abnormalities in NEX‐Cre mice, our study reveals distinct behavioral and cellular phenotypes. Behavioral analyses indicate reduced anxiety‐like behavior, altered reward‐related behavior, and increased locomotor activity in NEX (Cre/Cre) mice. Additionally, Support Vector Machine (SVM) analysis uncovered subtle strain‐specific and genotype‐specific behavioral traits across all NEX‐Cre genotypes relative to the commonly used C57BL/6J mouse strain. While overt behavioral abnormalities were most prominent in NEX (Cre/Cre) mice, SVM‐based analysis revealed subtle genotype‐ and strain‐specific behavioral signatures across NEX‐Cre genotypes. This underlines the importance of using littermate controls rather than independently maintained or purchased C57BL/6J animals when interpreting genotype‐related effects. Histological analyses of Golgi‐Cox‐stained brain slices revealed alterations in dendritic spine density across key brain regions, including the caudate putamen, hippocampal CA1, nucleus accumbens core region, lateral septum, and medial prefrontal cortex. These findings highlight significant inter‐ and intra‐strain variability, emphasizing the importance of careful characterization of transgenic models and the need for appropriate control groups and experimental designs to ensure the reliability and validity of studies utilizing Cre‐Driver lines.  Cre‐driver mouse lines are widely used for targeted gene manipulation, yet their baseline phenotypes are often assumed to be neutral. Here, we reveal hidden behavioral and synaptic alterations in the commonly used NEX‐Cre line, including changes in locomotion, anxiety‐like behavior, reward‐related behavior, and region‐specific dendritic spine density. Machine‐learning analysis further detects subtle genotype‐dependent behavioral signatures across NEX‐Cre genotypes compared with C57BL/6J controls. These findings highlight the need to evaluate Cre‐driver baselines and to prioritize littermate‐controlled experimental designs.\n\n## Full Text\n\n\n### Introduction\nTransgenic mouse models are indispensable tools for investigating the highly complex mechanisms underlying central nervous system (CNS) functions. They enable precise genetic manipulations to study specific molecular pathways and cellular processes in vivo, providing critical insights into neurodevelopment, behavior, and disease. Transcription factors are essential regulators of neurodevelopment, orchestrating processes like neuronal differentiation, mitochondrial function, and neuroprotection. The transgenic NEX‐Cre mouse line expresses Cre recombinase under the control of the NEX promoter, specifically targeting glutamatergic principal neurons in the neocortex and hippocampus (Goebbels et al. 2006). This Cre line is constitutive, enabling continuous Cre‐recombinase activity throughout development and adulthood. The NEX‐Cre mouse line was developed by Goebbels et al. (2006) and is widely used for conditional gene manipulation in pyramidal neurons of the dorsal telencephalon to study cortical development, learning, and memory.\nThe NEX gene was originally identified as NEX‐1 (Bartholomä and Nave 1994) but later became known under several other names, including MATH‐2, ATOH‐2, or NeuroD6. Although the NEX gene is now commonly referred to as NeuroD6, we retain the term “NEX‐Cre” to align with the original nomenclature under which this transgenic mouse line was first described (Goebbels et al. 2006) and widely recognized in the scientific literature.\nAs a member of the NeuroD family of basic Helix–loop‐Helic (bHLH) transcription factors, NEX plays a key role in neuronal differentiation, mitochondrial dynamics, and synaptic function. The NeuroD family is characterized by overlapping spatiotemporal expression patterns in the dorsal telencephalic neuroepithelium during early development, and a certain degree of functional redundancy is assumed among these factors (Schwab et al. 1998; Oproescu et al. 2021; Tutukova et al. 2021). The assumption of functional redundancy between the members of the NeuroD family, in combination with the specific expression of NEX in forebrain glutamatergic principal neurons and the non‐lethal effects of NEX deficiency, made NEX an ideal target gene for the generation of NEX‐Cre animals (Goebbels et al. 2006; Schwab et al. 1998). However, the knock‐in of Cre‐recombinase into the NEX locus by homologous recombination in embryonic stem cells renders the NEX gene permanently nonfunctional, raising concerns about the potential developmental consequences. NEX regulates anti‐apoptotic factors, molecular chaperones, and reactive oxygen species metabolism, which are essential for neuronal survival (Uittenbogaard and Chiaramello 2005; Uittenbogaard et al. 2010a, 2010b). NEX contributes to cytoskeletal remodeling, a process essential for dendritic spine formation, synaptic plasticity, and overall neuronal health (Gu et al. 2008). In addition to its expression in glutamatergic principal neurons of the neocortex and hippocampus (Goebbels et al. 2006; Schwab et al. 1998), it is also expressed in a subpopulation of midbrain dopaminergic (mDA) neurons in the ventral tegmental area (VTA), which project to the nucleus accumbens shell (Khan et al. 2017; Kramer et al. 2021).\nOptogenetic activation of NEX‐expressing mDA neurons in the VTA induces dopamine release, glutamatergic postsynaptic responses, and real‐time place preference (Bimpisidis et al. 2019), while silencing impairs dopamine release and leads to behavioral abnormalities, such as increased consummatory behavior without changes in motivation for sucrose rewards (Bimpisidis et al. 2023). While these data suggest a role for NEX in behavioral modulation, the precise impact of genetic modifications in NEX‐Cre animals on their behavior remains unclear. Initial reports about the NEX‐Cre mice indicated no apparent histological or behavioral abnormalities (Goebbels et al. 2006; Schwab et al. 1998). While some studies reported reduced anxiety‐like behavior, mild anhedonic‐like behavior, motor abnormalities, and learning deficits, others did not observe such abnormalities (Berg 2019; Mikhailova 2007; Loganathan et al. 2024).\nTransgenic mouse strains, including NEX‐Cre mice, often exhibit behavioral or cellular abnormalities that might complicate data interpretation. These issues may arise from gene overexpression, gene knockout or off‐target effects, which can unexpectedly affect protein levels, cellular functions, and downstream pathways and might often lead to pleiotropic effects and contribute to the development of neurodevelopmental and neurodegenerative diseases (Parenti et al. 2020). Insertional mutagenesis and compensatory mechanisms may further lead to phenotypic changes, and even the genetic background of the strain introduces variability into experimental outcomes. Cre‐recombinase itself has been associated with behavioral changes, such as hyperactivity and impulsivity, as well as developmental defects (Schmidt et al. 2000; Desor et al. 2024). Therefore, thorough characterization of transgenic mouse lines is critical to prevent misinterpretation or incorrect attribution of observed phenotypes to specific genetic modifications. This is particularly important when inherent behavioral abnormalities cannot be excluded and could potentially interfere with experimental results.\nIn the present study, the behavior and cellular architecture of male NEX‐Cre mice, bred on a C57BL/6J background, including heterozygous (+/Cre) and homozygous (Cre/Cre) mutants as well as wild‐type littermates (+/+), were characterized and compared to male mice of the commonly used C57BL/6J mouse strain. Our findings reveal clear behavioral abnormalities in NEX‐Cre (Cre/Cre) homozygous mice, including reduced anxiety‐like behavior, hyperlocomotion, motor deficits, and spine density abnormalities in key brain regions such as the nucleus accumbens, hippocampus, and caudate putamen. Spine density abnormalities were also observed in NEX‐Cre (Cre/Cre) and NEX‐Cre (+/Cre) mice.\n\n\n### Methods\nAdult male naïve wildtype (+/+), heterozygous NEX (+/Cre), and homozygous NEX(Cre/Cre) NEX‐Cre mice were bred on a C57BL/6J background using a NEX(+/Cre) × NEX (+/Cre) pairing (Goebbels et al. 2006). The NEX‐Cre mouse line was originally generated by the Nave lab and colleagues and (Goebbels et al. 2006) was obtained as a gift from the Nave laboratory at the Max Planck Institute of Experimental Medicine (Göttingen, Germany). Although congenicity was not confirmed by SNP genotyping, the line fulfills the criterion of ≥ 10 backcross generations on a C57BL/6J background. The residual 129‐derived sequence surrounding the NEX locus has not been mapped explicitly. However, all experiments were performed using Cre‐negative wild‐type littermates as controls, which controls for any potential background effects linked to the insertion site. Male C57BL/6J mice (The Jackson Laboratory) were used as inter‐strain control. All mice used in this study were between 2 and 9 months of age. Animals were maintained on a standard 12‐h light/dark cycle and housed in groups within individually ventilated cages (IVC, Zoonlab) under controlled conditions (22°C ± 2°C, 50% ± 5% humidity). Food and water were provided ad libitum. Mice were housed in groups of 2–4 animals per cage until the beginning of behavioral testing. Two days prior to the start of the experiments, mice were single‐housed to allow habituation and to ensure consistency in behavioral testing conditions. All experiments were conducted during the dark phase, aligning with the animals' primary activity period. Anxiety tests were performed with a 1‐week interval. All procedures followed the guidelines set by the Senator für Gesundheit, Frauen und Verbraucherschutz of the Freie Hansestadt Bremen.\n\n\n### Experimental Model and Subject Details\nAdult male naïve wildtype (+/+), heterozygous NEX (+/Cre), and homozygous NEX(Cre/Cre) NEX‐Cre mice were bred on a C57BL/6J background using a NEX(+/Cre) × NEX (+/Cre) pairing (Goebbels et al. 2006). The NEX‐Cre mouse line was originally generated by the Nave lab and colleagues and (Goebbels et al. 2006) was obtained as a gift from the Nave laboratory at the Max Planck Institute of Experimental Medicine (Göttingen, Germany). Although congenicity was not confirmed by SNP genotyping, the line fulfills the criterion of ≥ 10 backcross generations on a C57BL/6J background. The residual 129‐derived sequence surrounding the NEX locus has not been mapped explicitly. However, all experiments were performed using Cre‐negative wild‐type littermates as controls, which controls for any potential background effects linked to the insertion site. Male C57BL/6J mice (The Jackson Laboratory) were used as inter‐strain control. All mice used in this study were between 2 and 9 months of age. Animals were maintained on a standard 12‐h light/dark cycle and housed in groups within individually ventilated cages (IVC, Zoonlab) under controlled conditions (22°C ± 2°C, 50% ± 5% humidity). Food and water were provided ad libitum. Mice were housed in groups of 2–4 animals per cage until the beginning of behavioral testing. Two days prior to the start of the experiments, mice were single‐housed to allow habituation and to ensure consistency in behavioral testing conditions. All experiments were conducted during the dark phase, aligning with the animals' primary activity period. Anxiety tests were performed with a 1‐week interval. All procedures followed the guidelines set by the Senator für Gesundheit, Frauen und Verbraucherschutz of the Freie Hansestadt Bremen.\n\n\n### Animals\nAdult male naïve wildtype (+/+), heterozygous NEX (+/Cre), and homozygous NEX(Cre/Cre) NEX‐Cre mice were bred on a C57BL/6J background using a NEX(+/Cre) × NEX (+/Cre) pairing (Goebbels et al. 2006). The NEX‐Cre mouse line was originally generated by the Nave lab and colleagues and (Goebbels et al. 2006) was obtained as a gift from the Nave laboratory at the Max Planck Institute of Experimental Medicine (Göttingen, Germany). Although congenicity was not confirmed by SNP genotyping, the line fulfills the criterion of ≥ 10 backcross generations on a C57BL/6J background. The residual 129‐derived sequence surrounding the NEX locus has not been mapped explicitly. However, all experiments were performed using Cre‐negative wild‐type littermates as controls, which controls for any potential background effects linked to the insertion site. Male C57BL/6J mice (The Jackson Laboratory) were used as inter‐strain control. All mice used in this study were between 2 and 9 months of age. Animals were maintained on a standard 12‐h light/dark cycle and housed in groups within individually ventilated cages (IVC, Zoonlab) under controlled conditions (22°C ± 2°C, 50% ± 5% humidity). Food and water were provided ad libitum. Mice were housed in groups of 2–4 animals per cage until the beginning of behavioral testing. Two days prior to the start of the experiments, mice were single‐housed to allow habituation and to ensure consistency in behavioral testing conditions. All experiments were conducted during the dark phase, aligning with the animals' primary activity period. Anxiety tests were performed with a 1‐week interval. All procedures followed the guidelines set by the Senator für Gesundheit, Frauen und Verbraucherschutz of the Freie Hansestadt Bremen.\n\n\n### Method Details\nReagent or resourceSourceIdentifierCritical commercial assaysFD Rapid GolgiStain KitFD NeuroTechnologies, Ellicott CityCat. No: t# PK401Experimental models: Organisms/strainsC57BL/6JThe Jackson Laboratory\nRRID:IMSR_JAX:000664\n\nNEX‐Cre (or NeuroD6‐Cre)\nLaboratory of Prof. Nave 1\nN/AHsd: ICR (CD‐1) outbred mice, ex‐breederInotiv (Envigo)\nRRID:IMSR_CRL:022—Crl:CD1(ICR) mouse, outbred stock\n\n\nCat. No. INOTIV:030\nSoftware and algorithmsPython (version 3.10.1)Python Software Foundation\n\nRRID:SCR_008394\n\n\nhttps://www.python.org/\n\nEthoVision XTNoldus (Virgina, USA)\n\nRRID:SCR_000441\n\nVersion: 15.0.141\nGraphPad PrismGraphPad Software\n\nRRID:SCR_002798\n\nVersion: 9.3.1.\nNEX‐Cre (or NeuroD6‐Cre)\nRRID:IMSR_CRL:022—Crl:CD1(ICR) mouse, outbred stock\nCat. No. INOTIV:030\nRRID:SCR_008394\nhttps://www.python.org/\nRRID:SCR_000441\nVersion: 15.0.141\nRRID:SCR_002798\nVersion: 9.3.1.\nThe EPM is a widely used behavioral test to assess anxiety‐like behavior, locomotor, and exploratory activity in rodents. This test leverages the natural exploratory behavior of mice and their aversion to open and elevated areas. The EPM consists of two open arms (33.5 cm in length, 5 cm wide) and two closed arms (33.5 cm in length, 17 cm high wall, 5 cm wide) connected by a central platform, elevated 43 cm above the ground. Experiments were conducted under bright lighting conditions (~900 lx). Mice were individually transported from the animal facility to the experimental room and placed at the center of the maze, facing the open arm opposite to the experimenter. The behavior of each mouse was recorded for 5 min. Data were analyzed using EthoVision XT software (Noldus), with automated tracking quantifying the time spent in each zone, entrances to each zone, total distance, and velocity.\nThe OFT is a commonly used behavioral assay to evaluate anxiety‐like behavior, locomotion, and exploratory activity in rodents. The OFT was conducted under bright lighting conditions (~900 lx) and takes place in a 50 cm (width) × 50 cm (depth) × 50 cm (height) Plexiglas arena. The arena was virtually divided into 16 equal squares, with the 4 inner squares representing the center zone (25 cm × 25 cm). Mice were individually transported from the mouse facility to the experimental room. Each mouse was placed in the lower left corner of the arena, facing the center. Behavior was recorded for 5 min and videos were analyzed using EthoVision XT software (Noldus). Automated tracking quantified the time spent in each zone, entrances to each zone, total distance, and velocity. Time spent in the center zone and center zone entries are inversely correlated with anxiety levels. Circling behavior was tracked automatically using EthoVision XT software by counting body axis rotation which was defined as 360° rotation around the axis of the center point and nose point. Offline analysis of grooming and rearing behavior in the open field test was performed by a trained observer using predefined scoring criteria. Rearing was defined as the mouse standing on its hind paws with the forelimbs lifted off the ground.\nFor the NSFT, mice were transferred to a new cage and food‐deprived for 24 h prior to testing. The test was conducted in the open field arena, which was filled with approximately 200 g of fresh bedding per animal. A piece of filter paper (5 cm × 5 cm) with a standard food pellet was placed on the bedding in the center of the arena. Food pellets were weighed at the start of the experiment. The NSFT comprised three phases: habituation, test, and feeding. During the habituation phase, each animal was acclimated to the lighting conditions and the experimental room for 5 min. In the test phase, each mouse was placed in the back left corner of the open field arena, facing the food pellet. The test was terminated once the animal grasped the pellet with both front paws and began eating, with a maximum duration of 10 min allowed. The latency to begin eating was recorded. Following the test phase, each mouse was returned to its home cage and brought back to the mouse facility for the feeding phase, conducted immediately afterward. In this phase, each mouse had 5 min to eat the food pellet in the dark. The pellet was then weighed to calculate total food intake. After the experiment, all mice were given ad libitum access to food. The habituation and test phases were conducted under bright lighting conditions (~900 lx), while the feeding phase took place in darkness. Throughout the experiment, mice had ad libitum access to water. Latency to begin feeding is positively correlated with anxiety, while food intake serves as a control for normal feeding behavior.\nThe SPT is a two‐bottle choice test used to assess anhedonic behavior, a core symptom of depression. This test is conducted in the home cage of each mouse during the active phase of the animals. For this experiment, 125 mL glass bottles were used, each equipped with a neck containing a small metal ball to prevent dripping during setup. The SPT consists of two phases: the habituation phase and the test phase. In the habituation phase, each mouse was given access to two bottles of tap water for 48 h. Following this, the water bottles were replaced with two bottles containing freshly prepared 1% sucrose solution (w/v) for another 48 h. During the test phase, each mouse had access to one bottle containing tap water and one bottle of 1% sucrose solution for 6 h. Bottles were weighed before and after the test to calculate sucrose preference as a percentage of total liquid intake.\nSIT is a behavioral assay used to assess social behavior and interactions in mice. This test was conducted in the open field arena (50 cm × 50 cm), where a small perforated Plexiglas chamber (10 cm wide × 6.5 cm deep × 42 cm high) was placed along one side of the arena. An area around this enclosure (12.5 cm × 25 cm) was defined as the social interaction area. The experiment consists of three phases: habituation, exploration, and interaction, following the protocol established by Golden and colleagues in 2011 (Golden et al. 2011). In the habituation phase, each mouse was individually brought to the experimental room and acclimated under red‐light conditions for 1 h. In the exploration phase, each mouse was placed at the center of the wall opposite the Plexiglas chamber in the open field arena and allowed to explore for 150 s before being returned to its home cage. For the interaction phase, an unfamiliar mouse (adult male CD‐1 mouse) was placed in the Plexiglas chamber. Each mouse was placed again at the center of the wall opposite the chamber and allowed to explore the arena and interact with the unfamiliar mouse in the chamber for 150 s (Golden et al. 2011). The social interaction ratio (SI‐ratio) is calculated by dividing the time spent in the interaction zone when the unfamiliar mouse is present by the time spent in the interaction zone when the unfamiliar mouse is absent. An SI‐ratio of 1 indicates that the mouse spent equal time in the interaction zone during presence and absence of a social target. In addition, the time that each mouse spends in the interaction zone during the interaction phase was calculated as a percentage and given as the socialization time.\nThe variable sample sizes across behavioral assays reflect the fact that experiments were conducted in several independent cohorts. Within each cohort, animals from all genotypes were tested together, using the same fixed inter‐test intervals, ensuring that prior testing experience did not systematically differ between genotypes. No pre‐determined inclusion or exclusion criteria were applied. For the NSFT, three animals (1 NEX(+/+), 1 NEX(Cre/+), and 1 NEX(Cre/Cre)) were excluded because their latency to feed exceeded 100 s. No other animals were excluded from any analyses. All remaining animals that entered a given experiment were included in the final datasets, and no animals died during the course of the experiments. No a priori sample size calculation was performed. Sample sizes were determined based on previous studies using similar behavioral and morphological assays and on practical considerations related to animal availability, with all animals from the respective cohorts included in the analyses.\nMicroscope slides were polished, placed in a staining rack, soaked overnight in detergent and ddH2O, rinsed, and air‐dried at room temperature. The following day, the slides were cleaned in an ultrasonic bath with filtered isopropanol for 15 min, followed by immersion in boiling filtered 96% ethanol for 2 min. After drying at room temperature overnight, the slides were ready for gelatin coating. For coating, powdered gelatin was dissolved in ddH2O to prepare a 0.5% solution (w/v) and heated to 70°C. Chromium potassium sulfate (CrK(SO4)2) was added to achieve a 0.05% solution (w/v), and the mixture was stirred until the color changed from yellow to green‐blue. The solution was filtered and maintained at 75°C. For the first coating, cleaned slides were slowly dipped into the gelatin solution, covered and dried at room temperature overnight. The next day, a second coating was applied using freshly prepared gelatin‐chromium potassium sulfate solution. The coated microscope slides were stored covered until use.\nFollowing behavioral experiments, animals were euthanized via a lethal intraperitoneal injection of a ketamine/xylazine cocktail (130 mg/kg ketamine, 10 mg/kg xylazine). The mice were transcardially perfused with 1× phosphate‐buffered saline (PBS) for 15 min, and their brains were stored for 24 h at 4°C in a 30% sucrose solution (w/v) for cryoprotection.\nDendritic spine density was determined using Golgi‐Cox staining, a widely used method for visualizing neuronal morphology, including dendritic spines. In this study the FD Rapid GolgiStain Kit (Cat. No.: PK401, FD NeuroTechnologies, Ellicott City) was used, following the manufacturer's instructions. After impregnation, the brains were snap‐frozen at −70°C and stored at −80°C until the next day. On the following day, the brain tissue was mounted onto specimen discs by applying thin layers of distilled water using a paintbrush on dry ice. The brains were cut into 100 μm thick sections using a cryostat. Brain sections were mounted directly onto gelatin‐coated glass slides and dried overnight at room temperature. The next day, the sections were stained according to the manufacturer's instructions, coverslipped with Eukitt, and stored at room temperature in the dark.\nSpine density was analyzed in male mice from four groups: C57BL/6J, NEX‐Cre (+/+), NEX‐Cre (wt/−), and NEX‐Cre (Cre/Cre). Golgi‐Cox staining was used to visualize dendritic spines in selected brain regions: mPFC (apical and basal), NaC, CPU, LSD, LSI, hippocampal CA1 (apical and basal), and BLA.\nFrom each animal, multiple dendrites were selected using the following criteria: (1) clear Golgi impregnation without overlap from other structures, (2) dendritic segment ≥ 25 μm in length, and (3) location within the defined anatomical region. To avoid pseudoreplication, each dendrite was selected from a different neuron, and no two dendrites from the same cell were included. Quantification was performed blinded to strain and genotype, with this information added to the dataset only after the analysis was completed to ensure unbiased assessment.\nBrightfield images were acquired with a 100× oil immersion objective (Leica Microsystems), and image stacks were processed using FIJI/ImageJ (Dendritic Spine Counter plugin). Spine density was calculated as the number of spines per 10 μm dendritic length. The total numbers of analyzed animals, brain slices, and dendrites per region and genotype are provided in Table S1.\n\n\n### Key Resources Table\nReagent or resourceSourceIdentifierCritical commercial assaysFD Rapid GolgiStain KitFD NeuroTechnologies, Ellicott CityCat. No: t# PK401Experimental models: Organisms/strainsC57BL/6JThe Jackson Laboratory\nRRID:IMSR_JAX:000664\n\nNEX‐Cre (or NeuroD6‐Cre)\nLaboratory of Prof. Nave 1\nN/AHsd: ICR (CD‐1) outbred mice, ex‐breederInotiv (Envigo)\nRRID:IMSR_CRL:022—Crl:CD1(ICR) mouse, outbred stock\n\n\nCat. No. INOTIV:030\nSoftware and algorithmsPython (version 3.10.1)Python Software Foundation\n\nRRID:SCR_008394\n\n\nhttps://www.python.org/\n\nEthoVision XTNoldus (Virgina, USA)\n\nRRID:SCR_000441\n\nVersion: 15.0.141\nGraphPad PrismGraphPad Software\n\nRRID:SCR_002798\n\nVersion: 9.3.1.\nNEX‐Cre (or NeuroD6‐Cre)\nRRID:IMSR_CRL:022—Crl:CD1(ICR) mouse, outbred stock\nCat. No. INOTIV:030\nRRID:SCR_008394\nhttps://www.python.org/\nRRID:SCR_000441\nVersion: 15.0.141\nRRID:SCR_002798\nVersion: 9.3.1.\nThe EPM is a widely used behavioral test to assess anxiety‐like behavior, locomotor, and exploratory activity in rodents. This test leverages the natural exploratory behavior of mice and their aversion to open and elevated areas. The EPM consists of two open arms (33.5 cm in length, 5 cm wide) and two closed arms (33.5 cm in length, 17 cm high wall, 5 cm wide) connected by a central platform, elevated 43 cm above the ground. Experiments were conducted under bright lighting conditions (~900 lx). Mice were individually transported from the animal facility to the experimental room and placed at the center of the maze, facing the open arm opposite to the experimenter. The behavior of each mouse was recorded for 5 min. Data were analyzed using EthoVision XT software (Noldus), with automated tracking quantifying the time spent in each zone, entrances to each zone, total distance, and velocity.\nThe OFT is a commonly used behavioral assay to evaluate anxiety‐like behavior, locomotion, and exploratory activity in rodents. The OFT was conducted under bright lighting conditions (~900 lx) and takes place in a 50 cm (width) × 50 cm (depth) × 50 cm (height) Plexiglas arena. The arena was virtually divided into 16 equal squares, with the 4 inner squares representing the center zone (25 cm × 25 cm). Mice were individually transported from the mouse facility to the experimental room. Each mouse was placed in the lower left corner of the arena, facing the center. Behavior was recorded for 5 min and videos were analyzed using EthoVision XT software (Noldus). Automated tracking quantified the time spent in each zone, entrances to each zone, total distance, and velocity. Time spent in the center zone and center zone entries are inversely correlated with anxiety levels. Circling behavior was tracked automatically using EthoVision XT software by counting body axis rotation which was defined as 360° rotation around the axis of the center point and nose point. Offline analysis of grooming and rearing behavior in the open field test was performed by a trained observer using predefined scoring criteria. Rearing was defined as the mouse standing on its hind paws with the forelimbs lifted off the ground.\nFor the NSFT, mice were transferred to a new cage and food‐deprived for 24 h prior to testing. The test was conducted in the open field arena, which was filled with approximately 200 g of fresh bedding per animal. A piece of filter paper (5 cm × 5 cm) with a standard food pellet was placed on the bedding in the center of the arena. Food pellets were weighed at the start of the experiment. The NSFT comprised three phases: habituation, test, and feeding. During the habituation phase, each animal was acclimated to the lighting conditions and the experimental room for 5 min. In the test phase, each mouse was placed in the back left corner of the open field arena, facing the food pellet. The test was terminated once the animal grasped the pellet with both front paws and began eating, with a maximum duration of 10 min allowed. The latency to begin eating was recorded. Following the test phase, each mouse was returned to its home cage and brought back to the mouse facility for the feeding phase, conducted immediately afterward. In this phase, each mouse had 5 min to eat the food pellet in the dark. The pellet was then weighed to calculate total food intake. After the experiment, all mice were given ad libitum access to food. The habituation and test phases were conducted under bright lighting conditions (~900 lx), while the feeding phase took place in darkness. Throughout the experiment, mice had ad libitum access to water. Latency to begin feeding is positively correlated with anxiety, while food intake serves as a control for normal feeding behavior.\nThe SPT is a two‐bottle choice test used to assess anhedonic behavior, a core symptom of depression. This test is conducted in the home cage of each mouse during the active phase of the animals. For this experiment, 125 mL glass bottles were used, each equipped with a neck containing a small metal ball to prevent dripping during setup. The SPT consists of two phases: the habituation phase and the test phase. In the habituation phase, each mouse was given access to two bottles of tap water for 48 h. Following this, the water bottles were replaced with two bottles containing freshly prepared 1% sucrose solution (w/v) for another 48 h. During the test phase, each mouse had access to one bottle containing tap water and one bottle of 1% sucrose solution for 6 h. Bottles were weighed before and after the test to calculate sucrose preference as a percentage of total liquid intake.\nSIT is a behavioral assay used to assess social behavior and interactions in mice. This test was conducted in the open field arena (50 cm × 50 cm), where a small perforated Plexiglas chamber (10 cm wide × 6.5 cm deep × 42 cm high) was placed along one side of the arena. An area around this enclosure (12.5 cm × 25 cm) was defined as the social interaction area. The experiment consists of three phases: habituation, exploration, and interaction, following the protocol established by Golden and colleagues in 2011 (Golden et al. 2011). In the habituation phase, each mouse was individually brought to the experimental room and acclimated under red‐light conditions for 1 h. In the exploration phase, each mouse was placed at the center of the wall opposite the Plexiglas chamber in the open field arena and allowed to explore for 150 s before being returned to its home cage. For the interaction phase, an unfamiliar mouse (adult male CD‐1 mouse) was placed in the Plexiglas chamber. Each mouse was placed again at the center of the wall opposite the chamber and allowed to explore the arena and interact with the unfamiliar mouse in the chamber for 150 s (Golden et al. 2011). The social interaction ratio (SI‐ratio) is calculated by dividing the time spent in the interaction zone when the unfamiliar mouse is present by the time spent in the interaction zone when the unfamiliar mouse is absent. An SI‐ratio of 1 indicates that the mouse spent equal time in the interaction zone during presence and absence of a social target. In addition, the time that each mouse spends in the interaction zone during the interaction phase was calculated as a percentage and given as the socialization time.\nThe variable sample sizes across behavioral assays reflect the fact that experiments were conducted in several independent cohorts. Within each cohort, animals from all genotypes were tested together, using the same fixed inter‐test intervals, ensuring that prior testing experience did not systematically differ between genotypes. No pre‐determined inclusion or exclusion criteria were applied. For the NSFT, three animals (1 NEX(+/+), 1 NEX(Cre/+), and 1 NEX(Cre/Cre)) were excluded because their latency to feed exceeded 100 s. No other animals were excluded from any analyses. All remaining animals that entered a given experiment were included in the final datasets, and no animals died during the course of the experiments. No a priori sample size calculation was performed. Sample sizes were determined based on previous studies using similar behavioral and morphological assays and on practical considerations related to animal availability, with all animals from the respective cohorts included in the analyses.\nMicroscope slides were polished, placed in a staining rack, soaked overnight in detergent and ddH2O, rinsed, and air‐dried at room temperature. The following day, the slides were cleaned in an ultrasonic bath with filtered isopropanol for 15 min, followed by immersion in boiling filtered 96% ethanol for 2 min. After drying at room temperature overnight, the slides were ready for gelatin coating. For coating, powdered gelatin was dissolved in ddH2O to prepare a 0.5% solution (w/v) and heated to 70°C. Chromium potassium sulfate (CrK(SO4)2) was added to achieve a 0.05% solution (w/v), and the mixture was stirred until the color changed from yellow to green‐blue. The solution was filtered and maintained at 75°C. For the first coating, cleaned slides were slowly dipped into the gelatin solution, covered and dried at room temperature overnight. The next day, a second coating was applied using freshly prepared gelatin‐chromium potassium sulfate solution. The coated microscope slides were stored covered until use.\nFollowing behavioral experiments, animals were euthanized via a lethal intraperitoneal injection of a ketamine/xylazine cocktail (130 mg/kg ketamine, 10 mg/kg xylazine). The mice were transcardially perfused with 1× phosphate‐buffered saline (PBS) for 15 min, and their brains were stored for 24 h at 4°C in a 30% sucrose solution (w/v) for cryoprotection.\nDendritic spine density was determined using Golgi‐Cox staining, a widely used method for visualizing neuronal morphology, including dendritic spines. In this study the FD Rapid GolgiStain Kit (Cat. No.: PK401, FD NeuroTechnologies, Ellicott City) was used, following the manufacturer's instructions. After impregnation, the brains were snap‐frozen at −70°C and stored at −80°C until the next day. On the following day, the brain tissue was mounted onto specimen discs by applying thin layers of distilled water using a paintbrush on dry ice. The brains were cut into 100 μm thick sections using a cryostat. Brain sections were mounted directly onto gelatin‐coated glass slides and dried overnight at room temperature. The next day, the sections were stained according to the manufacturer's instructions, coverslipped with Eukitt, and stored at room temperature in the dark.\nSpine density was analyzed in male mice from four groups: C57BL/6J, NEX‐Cre (+/+), NEX‐Cre (wt/−), and NEX‐Cre (Cre/Cre). Golgi‐Cox staining was used to visualize dendritic spines in selected brain regions: mPFC (apical and basal), NaC, CPU, LSD, LSI, hippocampal CA1 (apical and basal), and BLA.\nFrom each animal, multiple dendrites were selected using the following criteria: (1) clear Golgi impregnation without overlap from other structures, (2) dendritic segment ≥ 25 μm in length, and (3) location within the defined anatomical region. To avoid pseudoreplication, each dendrite was selected from a different neuron, and no two dendrites from the same cell were included. Quantification was performed blinded to strain and genotype, with this information added to the dataset only after the analysis was completed to ensure unbiased assessment.\nBrightfield images were acquired with a 100× oil immersion objective (Leica Microsystems), and image stacks were processed using FIJI/ImageJ (Dendritic Spine Counter plugin). Spine density was calculated as the number of spines per 10 μm dendritic length. The total numbers of analyzed animals, brain slices, and dendrites per region and genotype are provided in Table S1.\n\n\n### Behavioral Experiments\nThe EPM is a widely used behavioral test to assess anxiety‐like behavior, locomotor, and exploratory activity in rodents. This test leverages the natural exploratory behavior of mice and their aversion to open and elevated areas. The EPM consists of two open arms (33.5 cm in length, 5 cm wide) and two closed arms (33.5 cm in length, 17 cm high wall, 5 cm wide) connected by a central platform, elevated 43 cm above the ground. Experiments were conducted under bright lighting conditions (~900 lx). Mice were individually transported from the animal facility to the experimental room and placed at the center of the maze, facing the open arm opposite to the experimenter. The behavior of each mouse was recorded for 5 min. Data were analyzed using EthoVision XT software (Noldus), with automated tracking quantifying the time spent in each zone, entrances to each zone, total distance, and velocity.\nThe OFT is a commonly used behavioral assay to evaluate anxiety‐like behavior, locomotion, and exploratory activity in rodents. The OFT was conducted under bright lighting conditions (~900 lx) and takes place in a 50 cm (width) × 50 cm (depth) × 50 cm (height) Plexiglas arena. The arena was virtually divided into 16 equal squares, with the 4 inner squares representing the center zone (25 cm × 25 cm). Mice were individually transported from the mouse facility to the experimental room. Each mouse was placed in the lower left corner of the arena, facing the center. Behavior was recorded for 5 min and videos were analyzed using EthoVision XT software (Noldus). Automated tracking quantified the time spent in each zone, entrances to each zone, total distance, and velocity. Time spent in the center zone and center zone entries are inversely correlated with anxiety levels. Circling behavior was tracked automatically using EthoVision XT software by counting body axis rotation which was defined as 360° rotation around the axis of the center point and nose point. Offline analysis of grooming and rearing behavior in the open field test was performed by a trained observer using predefined scoring criteria. Rearing was defined as the mouse standing on its hind paws with the forelimbs lifted off the ground.\nFor the NSFT, mice were transferred to a new cage and food‐deprived for 24 h prior to testing. The test was conducted in the open field arena, which was filled with approximately 200 g of fresh bedding per animal. A piece of filter paper (5 cm × 5 cm) with a standard food pellet was placed on the bedding in the center of the arena. Food pellets were weighed at the start of the experiment. The NSFT comprised three phases: habituation, test, and feeding. During the habituation phase, each animal was acclimated to the lighting conditions and the experimental room for 5 min. In the test phase, each mouse was placed in the back left corner of the open field arena, facing the food pellet. The test was terminated once the animal grasped the pellet with both front paws and began eating, with a maximum duration of 10 min allowed. The latency to begin eating was recorded. Following the test phase, each mouse was returned to its home cage and brought back to the mouse facility for the feeding phase, conducted immediately afterward. In this phase, each mouse had 5 min to eat the food pellet in the dark. The pellet was then weighed to calculate total food intake. After the experiment, all mice were given ad libitum access to food. The habituation and test phases were conducted under bright lighting conditions (~900 lx), while the feeding phase took place in darkness. Throughout the experiment, mice had ad libitum access to water. Latency to begin feeding is positively correlated with anxiety, while food intake serves as a control for normal feeding behavior.\nThe SPT is a two‐bottle choice test used to assess anhedonic behavior, a core symptom of depression. This test is conducted in the home cage of each mouse during the active phase of the animals. For this experiment, 125 mL glass bottles were used, each equipped with a neck containing a small metal ball to prevent dripping during setup. The SPT consists of two phases: the habituation phase and the test phase. In the habituation phase, each mouse was given access to two bottles of tap water for 48 h. Following this, the water bottles were replaced with two bottles containing freshly prepared 1% sucrose solution (w/v) for another 48 h. During the test phase, each mouse had access to one bottle containing tap water and one bottle of 1% sucrose solution for 6 h. Bottles were weighed before and after the test to calculate sucrose preference as a percentage of total liquid intake.\nSIT is a behavioral assay used to assess social behavior and interactions in mice. This test was conducted in the open field arena (50 cm × 50 cm), where a small perforated Plexiglas chamber (10 cm wide × 6.5 cm deep × 42 cm high) was placed along one side of the arena. An area around this enclosure (12.5 cm × 25 cm) was defined as the social interaction area. The experiment consists of three phases: habituation, exploration, and interaction, following the protocol established by Golden and colleagues in 2011 (Golden et al. 2011). In the habituation phase, each mouse was individually brought to the experimental room and acclimated under red‐light conditions for 1 h. In the exploration phase, each mouse was placed at the center of the wall opposite the Plexiglas chamber in the open field arena and allowed to explore for 150 s before being returned to its home cage. For the interaction phase, an unfamiliar mouse (adult male CD‐1 mouse) was placed in the Plexiglas chamber. Each mouse was placed again at the center of the wall opposite the chamber and allowed to explore the arena and interact with the unfamiliar mouse in the chamber for 150 s (Golden et al. 2011). The social interaction ratio (SI‐ratio) is calculated by dividing the time spent in the interaction zone when the unfamiliar mouse is present by the time spent in the interaction zone when the unfamiliar mouse is absent. An SI‐ratio of 1 indicates that the mouse spent equal time in the interaction zone during presence and absence of a social target. In addition, the time that each mouse spends in the interaction zone during the interaction phase was calculated as a percentage and given as the socialization time.\nThe variable sample sizes across behavioral assays reflect the fact that experiments were conducted in several independent cohorts. Within each cohort, animals from all genotypes were tested together, using the same fixed inter‐test intervals, ensuring that prior testing experience did not systematically differ between genotypes. No pre‐determined inclusion or exclusion criteria were applied. For the NSFT, three animals (1 NEX(+/+), 1 NEX(Cre/+), and 1 NEX(Cre/Cre)) were excluded because their latency to feed exceeded 100 s. No other animals were excluded from any analyses. All remaining animals that entered a given experiment were included in the final datasets, and no animals died during the course of the experiments. No a priori sample size calculation was performed. Sample sizes were determined based on previous studies using similar behavioral and morphological assays and on practical considerations related to animal availability, with all animals from the respective cohorts included in the analyses.\n\n\n### Elevated Plus Maze (EPM)\nThe EPM is a widely used behavioral test to assess anxiety‐like behavior, locomotor, and exploratory activity in rodents. This test leverages the natural exploratory behavior of mice and their aversion to open and elevated areas. The EPM consists of two open arms (33.5 cm in length, 5 cm wide) and two closed arms (33.5 cm in length, 17 cm high wall, 5 cm wide) connected by a central platform, elevated 43 cm above the ground. Experiments were conducted under bright lighting conditions (~900 lx). Mice were individually transported from the animal facility to the experimental room and placed at the center of the maze, facing the open arm opposite to the experimenter. The behavior of each mouse was recorded for 5 min. Data were analyzed using EthoVision XT software (Noldus), with automated tracking quantifying the time spent in each zone, entrances to each zone, total distance, and velocity.\n\n\n### Open Field Test (OFT)\nThe OFT is a commonly used behavioral assay to evaluate anxiety‐like behavior, locomotion, and exploratory activity in rodents. The OFT was conducted under bright lighting conditions (~900 lx) and takes place in a 50 cm (width) × 50 cm (depth) × 50 cm (height) Plexiglas arena. The arena was virtually divided into 16 equal squares, with the 4 inner squares representing the center zone (25 cm × 25 cm). Mice were individually transported from the mouse facility to the experimental room. Each mouse was placed in the lower left corner of the arena, facing the center. Behavior was recorded for 5 min and videos were analyzed using EthoVision XT software (Noldus). Automated tracking quantified the time spent in each zone, entrances to each zone, total distance, and velocity. Time spent in the center zone and center zone entries are inversely correlated with anxiety levels. Circling behavior was tracked automatically using EthoVision XT software by counting body axis rotation which was defined as 360° rotation around the axis of the center point and nose point. Offline analysis of grooming and rearing behavior in the open field test was performed by a trained observer using predefined scoring criteria. Rearing was defined as the mouse standing on its hind paws with the forelimbs lifted off the ground.\n\n\n### Novelty Suppressed Feeding Test (NSFT)\nFor the NSFT, mice were transferred to a new cage and food‐deprived for 24 h prior to testing. The test was conducted in the open field arena, which was filled with approximately 200 g of fresh bedding per animal. A piece of filter paper (5 cm × 5 cm) with a standard food pellet was placed on the bedding in the center of the arena. Food pellets were weighed at the start of the experiment. The NSFT comprised three phases: habituation, test, and feeding. During the habituation phase, each animal was acclimated to the lighting conditions and the experimental room for 5 min. In the test phase, each mouse was placed in the back left corner of the open field arena, facing the food pellet. The test was terminated once the animal grasped the pellet with both front paws and began eating, with a maximum duration of 10 min allowed. The latency to begin eating was recorded. Following the test phase, each mouse was returned to its home cage and brought back to the mouse facility for the feeding phase, conducted immediately afterward. In this phase, each mouse had 5 min to eat the food pellet in the dark. The pellet was then weighed to calculate total food intake. After the experiment, all mice were given ad libitum access to food. The habituation and test phases were conducted under bright lighting conditions (~900 lx), while the feeding phase took place in darkness. Throughout the experiment, mice had ad libitum access to water. Latency to begin feeding is positively correlated with anxiety, while food intake serves as a control for normal feeding behavior.\n\n\n### Sucrose Preference Test (SPT)\nThe SPT is a two‐bottle choice test used to assess anhedonic behavior, a core symptom of depression. This test is conducted in the home cage of each mouse during the active phase of the animals. For this experiment, 125 mL glass bottles were used, each equipped with a neck containing a small metal ball to prevent dripping during setup. The SPT consists of two phases: the habituation phase and the test phase. In the habituation phase, each mouse was given access to two bottles of tap water for 48 h. Following this, the water bottles were replaced with two bottles containing freshly prepared 1% sucrose solution (w/v) for another 48 h. During the test phase, each mouse had access to one bottle containing tap water and one bottle of 1% sucrose solution for 6 h. Bottles were weighed before and after the test to calculate sucrose preference as a percentage of total liquid intake.\n\n\n### Social Interaction Test (SIT)\nSIT is a behavioral assay used to assess social behavior and interactions in mice. This test was conducted in the open field arena (50 cm × 50 cm), where a small perforated Plexiglas chamber (10 cm wide × 6.5 cm deep × 42 cm high) was placed along one side of the arena. An area around this enclosure (12.5 cm × 25 cm) was defined as the social interaction area. The experiment consists of three phases: habituation, exploration, and interaction, following the protocol established by Golden and colleagues in 2011 (Golden et al. 2011). In the habituation phase, each mouse was individually brought to the experimental room and acclimated under red‐light conditions for 1 h. In the exploration phase, each mouse was placed at the center of the wall opposite the Plexiglas chamber in the open field arena and allowed to explore for 150 s before being returned to its home cage. For the interaction phase, an unfamiliar mouse (adult male CD‐1 mouse) was placed in the Plexiglas chamber. Each mouse was placed again at the center of the wall opposite the chamber and allowed to explore the arena and interact with the unfamiliar mouse in the chamber for 150 s (Golden et al. 2011). The social interaction ratio (SI‐ratio) is calculated by dividing the time spent in the interaction zone when the unfamiliar mouse is present by the time spent in the interaction zone when the unfamiliar mouse is absent. An SI‐ratio of 1 indicates that the mouse spent equal time in the interaction zone during presence and absence of a social target. In addition, the time that each mouse spends in the interaction zone during the interaction phase was calculated as a percentage and given as the socialization time.\nThe variable sample sizes across behavioral assays reflect the fact that experiments were conducted in several independent cohorts. Within each cohort, animals from all genotypes were tested together, using the same fixed inter‐test intervals, ensuring that prior testing experience did not systematically differ between genotypes. No pre‐determined inclusion or exclusion criteria were applied. For the NSFT, three animals (1 NEX(+/+), 1 NEX(Cre/+), and 1 NEX(Cre/Cre)) were excluded because their latency to feed exceeded 100 s. No other animals were excluded from any analyses. All remaining animals that entered a given experiment were included in the final datasets, and no animals died during the course of the experiments. No a priori sample size calculation was performed. Sample sizes were determined based on previous studies using similar behavioral and morphological assays and on practical considerations related to animal availability, with all animals from the respective cohorts included in the analyses.\n\n\n### Histology\nMicroscope slides were polished, placed in a staining rack, soaked overnight in detergent and ddH2O, rinsed, and air‐dried at room temperature. The following day, the slides were cleaned in an ultrasonic bath with filtered isopropanol for 15 min, followed by immersion in boiling filtered 96% ethanol for 2 min. After drying at room temperature overnight, the slides were ready for gelatin coating. For coating, powdered gelatin was dissolved in ddH2O to prepare a 0.5% solution (w/v) and heated to 70°C. Chromium potassium sulfate (CrK(SO4)2) was added to achieve a 0.05% solution (w/v), and the mixture was stirred until the color changed from yellow to green‐blue. The solution was filtered and maintained at 75°C. For the first coating, cleaned slides were slowly dipped into the gelatin solution, covered and dried at room temperature overnight. The next day, a second coating was applied using freshly prepared gelatin‐chromium potassium sulfate solution. The coated microscope slides were stored covered until use.\nFollowing behavioral experiments, animals were euthanized via a lethal intraperitoneal injection of a ketamine/xylazine cocktail (130 mg/kg ketamine, 10 mg/kg xylazine). The mice were transcardially perfused with 1× phosphate‐buffered saline (PBS) for 15 min, and their brains were stored for 24 h at 4°C in a 30% sucrose solution (w/v) for cryoprotection.\nDendritic spine density was determined using Golgi‐Cox staining, a widely used method for visualizing neuronal morphology, including dendritic spines. In this study the FD Rapid GolgiStain Kit (Cat. No.: PK401, FD NeuroTechnologies, Ellicott City) was used, following the manufacturer's instructions. After impregnation, the brains were snap‐frozen at −70°C and stored at −80°C until the next day. On the following day, the brain tissue was mounted onto specimen discs by applying thin layers of distilled water using a paintbrush on dry ice. The brains were cut into 100 μm thick sections using a cryostat. Brain sections were mounted directly onto gelatin‐coated glass slides and dried overnight at room temperature. The next day, the sections were stained according to the manufacturer's instructions, coverslipped with Eukitt, and stored at room temperature in the dark.\n\n\n### Gelatine‐Coated Microscope Slides\nMicroscope slides were polished, placed in a staining rack, soaked overnight in detergent and ddH2O, rinsed, and air‐dried at room temperature. The following day, the slides were cleaned in an ultrasonic bath with filtered isopropanol for 15 min, followed by immersion in boiling filtered 96% ethanol for 2 min. After drying at room temperature overnight, the slides were ready for gelatin coating. For coating, powdered gelatin was dissolved in ddH2O to prepare a 0.5% solution (w/v) and heated to 70°C. Chromium potassium sulfate (CrK(SO4)2) was added to achieve a 0.05% solution (w/v), and the mixture was stirred until the color changed from yellow to green‐blue. The solution was filtered and maintained at 75°C. For the first coating, cleaned slides were slowly dipped into the gelatin solution, covered and dried at room temperature overnight. The next day, a second coating was applied using freshly prepared gelatin‐chromium potassium sulfate solution. The coated microscope slides were stored covered until use.\n\n\n### Perfusion and Golgi‐Cox Staining\nFollowing behavioral experiments, animals were euthanized via a lethal intraperitoneal injection of a ketamine/xylazine cocktail (130 mg/kg ketamine, 10 mg/kg xylazine). The mice were transcardially perfused with 1× phosphate‐buffered saline (PBS) for 15 min, and their brains were stored for 24 h at 4°C in a 30% sucrose solution (w/v) for cryoprotection.\nDendritic spine density was determined using Golgi‐Cox staining, a widely used method for visualizing neuronal morphology, including dendritic spines. In this study the FD Rapid GolgiStain Kit (Cat. No.: PK401, FD NeuroTechnologies, Ellicott City) was used, following the manufacturer's instructions. After impregnation, the brains were snap‐frozen at −70°C and stored at −80°C until the next day. On the following day, the brain tissue was mounted onto specimen discs by applying thin layers of distilled water using a paintbrush on dry ice. The brains were cut into 100 μm thick sections using a cryostat. Brain sections were mounted directly onto gelatin‐coated glass slides and dried overnight at room temperature. The next day, the sections were stained according to the manufacturer's instructions, coverslipped with Eukitt, and stored at room temperature in the dark.\n\n\n### Spine Density Analysis\nSpine density was analyzed in male mice from four groups: C57BL/6J, NEX‐Cre (+/+), NEX‐Cre (wt/−), and NEX‐Cre (Cre/Cre). Golgi‐Cox staining was used to visualize dendritic spines in selected brain regions: mPFC (apical and basal), NaC, CPU, LSD, LSI, hippocampal CA1 (apical and basal), and BLA.\nFrom each animal, multiple dendrites were selected using the following criteria: (1) clear Golgi impregnation without overlap from other structures, (2) dendritic segment ≥ 25 μm in length, and (3) location within the defined anatomical region. To avoid pseudoreplication, each dendrite was selected from a different neuron, and no two dendrites from the same cell were included. Quantification was performed blinded to strain and genotype, with this information added to the dataset only after the analysis was completed to ensure unbiased assessment.\nBrightfield images were acquired with a 100× oil immersion objective (Leica Microsystems), and image stacks were processed using FIJI/ImageJ (Dendritic Spine Counter plugin). Spine density was calculated as the number of spines per 10 μm dendritic length. The total numbers of analyzed animals, brain slices, and dendrites per region and genotype are provided in Table S1.\n\n\n### Quantification and Statistical Analysis\nAll data analyses were performed in Python using the scikit‐learn package (Pedregosa et al. 2012).\nPCA (Principal Components Analysis) is a linear statistical technique used for dimensionality reduction by transforming a dataset into a set of orthogonal principal components while preserving essential information and reducing noise and computational complexity. This transformation helps reveal underlying patterns, clusters, or relationships within the data, making PCA particularly valuable for preprocessing in machine learning tasks (e.g., SVM) to mitigate overfitting and enhance model performance. In this study, two principal components were derived from a dataset comprising behavioral parameters from the EPM and OFT (Figure 1, Figures S2 and S3). The first principal component captures the direction of maximum variance in the data, representing the primary source of variability and illustrating the main axis of data distribution. The second principal component, orthogonal to the first, captures the next highest variance, reflecting the secondary axis of data spread. Together, these two components provide a simplified two‐dimensional representation of the dataset while retaining most of its original variability, facilitating effective visualization. PCA was conducted using Python.\nAltered anxiety‐like behavior and locomotor activity in NEX‐Cre mice compared to C57BL/6J controls in the EPM, OFT, and NSFT. (A) Overview of the behavioral test battery performed (please note not all animals underwent all tests) (B) Schematic overview of the NSFT. (C) In NSFT, NEX (Cre/Cre) showed a significantly decreased time until feeding compared to C57BL/6J mice and NEX (+/+) (Ordinary one‐way ANOVA: F (3, 50) = 6.93, ***p = 0.0005; Tukey's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0065, NEX(+/+) versus NEX (Cre/Cre) **p = 0.0014). Sample sizes: C57BL/6J: n = 11, NEX(+/+): n = 10, NEX(+/Cre): n = 11, NEX (Cre/Cre): n = 22. (D) During the feeding phase of the NSFT, NEX (+/+) ate significantly more food compared to the C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 50) = 3.128, p = 0.0338; Tukey's post hoc: C57BL/6J versus NEX (+/+) *p = 0.044). Sample sizes: C57BL/6J: n = 11, NEX (+/+): n = 10, NEX (+/Cre): n = 11, NEX (Cre/Cre): n = 22. (E) Schematic overview of the EPM. (F) Significantly increased open arm entries of the NEX (Cre/Cre) compared to the NEX (+/Cre) and the C57BL/6J mice in the EPM (Kruskal Wallis ANOVA: H (3) = 17.02, p = 0.0007; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0027, NEX‐Cre (+/Cre) versus NEX (Cre/Cre) **p = 0.0086). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 17, NEX (+/Cre): n = 22, NEX‐Cre (Cre/Cre): n = 26. (G) NEX (Cre/Cre) spend significantly more time on the open arms of the EPM compared to the NEX (+/Cre) mice (Kruskal Wallis ANOVA: H (3) = 16.17, p = 0.001; Dunn's post hoc: NEX (+/Cre) versus NEX (Cre/Cre) ***p = 0.0005). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 17, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 26. (H) Increased locomotor activity of NEX mice in the EPM compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 26.5, p < 0.0001; Dunn's post hoc: C57BL/6J vs. NEX (+/+) **p = 0.0046, C57BL/6J versus NEX(+/Cre) *p = 0.0195, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001). (I) Schematic overview of the OFT. Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 15, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 26. (J) All mice spend similar time in the center field in the OFT (Kruskal Wallis ANOVA: H (3) = 4.667, p = 0.1979). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX‐ (Cre/Cre): n = 28. (K) Increased locomotor activity of NEX (Cre/Cre) mice in the OFT compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 9.572, p = 0.0226; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) *p = 0.0247). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 28. (L) All mice showed similar rearing behavior in the OFT (Ordinary one‐way ANOVA: F (3, 82) = 1.495, p = 0.2221). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 28. (M) Schematic representation of grooming behavior. (N) NEX (Cre/Cre) spend significantly less time grooming compared to NEX‐Cre littermates and C57BL/6J mice during the OFT (Kruskal–Wallis ANOVA: H (3) = 35.22, p < 0.0001; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) ***p = 0.0003, NEX (+/+) versus NEX‐ (Cre/Cre) ****p < 0.0001, NEX (+/Cre) versus NEX (Cre/Cre) ****p < 0.0001). Sample sizes: C57BL/6J: n = 18, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 21. (O) Schematic representation of circling behavior tracking, where body axis rotations are determined based on the accumulation of rotation angles between the axes from the center point to the nose point. This method monitors micro‐rotations of animals turning around their own axis. A rotation is recorded when the cumulative angle of rotation (α) exceeds 360°. (P) During OFT, NEX (Cre/Cre) showed significantly increased circling behavior compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 17.99, p = 0.0004; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) ***p = 0.0002). Sample sizes: C57BL/6J: n = 19, NEX (+/+): n = 16, NEX (+/Cre): n = 19, NEX (Cre/Cre): n = 25. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\nt‐SNE (t‐Distributed Stochastic Neighbor Embedding) is a nonlinear dimensionality reduction technique designed for visualizing complex, high‐dimensional datasets. In this study, the input dataset consisted of PCA‐derived behavioral parameters from the EPM and OFT (Figure 1, Figures S2 and S3). t‐SNE operates by converting Euclidean distances between data points into conditional probabilities that indicate the likelihood of similarity between pairs of points. The algorithm then minimizes the divergence between the probability distributions of the high‐dimensional data and its low‐dimensional representation, ensuring that the resulting visualization accurately reflects local relationships within the data. This approach enables high‐dimensional data to be represented in a low‐dimensional space, making it easier to identify potential clusters or groups while preserving local structure (Van Der Maaten and Hinton 2008). t‐SNE was implemented using Python.\nSVM (Support Vector Machine) is a supervised machine learning algorithm widely used for classification tasks. In this study, PCA was applied as a preprocessing step for dimensionality reduction, providing a compact feature set and serving as the basis for an optimized SVM with a Radial Basis Function (RBF) kernel. This approach enhances the model's capacity to capture and process non‐linear relationships within the data efficiently. SVM constructs optimal hyperplanes in the transformed feature space to distinguish between different behavioral classes. To ensure the generalizability and robustness of the model, 5‐fold cross‐validation was employed, partitioning the dataset into multiple folds for training and testing on various subsets. Additionally, a bootstrap method was used to generate multiple resampled datasets, enabling the estimation of the model's variability and stability.\nThe combined use of PCA, SVM with RBF kernel, 5‐fold cross‐validation, and bootstrap resampling provides a rigorous framework for evaluating model performance, ensuring reliable and consistent behavioral classification outcomes. The aggregated confusion matrix summarizes classification results across all resampled datasets, offering insights into overall accuracy and the model's effectiveness in distinguishing behavioral classes. The SVM analysis was performed using Python.\nIn the analysis using the SVM algorithm, a comprehensive set of behavioral parameters from the OFT and EPM were used as input features. From the OFT, locomotion metrics included total distance moved (cm) and mean velocity (cm/s), along with spatial preferences and anxiety‐related behaviors such as frequency and total time spent in the border, corner, and center zones, as well as latency to first enter these zones. Additional metrics included frequency and total time of rearing, grooming, jumping, and body axis rotations. From the EPM, parameters included total distance moved (cm), mean velocity (cm/s), and exploratory measures such as closed and open arm entries, total time spent in closed and open arms, and latency to first enter these arms. The analysis also incorporated frequency and total time spent in the center field, along with latency to first enter the center. Together, these parameters provided a detailed behavioral profile, enabling the SVM algorithm to classify and interpret the data effectively (Figure 1, Figures S2 and S3).\nSHAP (SHapley Additive exPlanations) analysis was applied to interpret the feature contributions to the predictions made by the SVM model. This method offers detailed insights into feature importance and interactions, enhancing the interpretability of complex models, such as SVMs with RBF kernels. Using the SHAP library in Python, SHAP values were computed for each feature across all samples, enabling both a global assessment of feature impact and individualized explanations of specific predictions. This dual‐level analysis provides a comprehensive understanding of how features influence the model's outputs, making the decision‐making process more transparent and interpretable.\nAll behavioral data were recorded using EthoVision XT software from Noldus. Data acquisition was performed automatically from recorded videos. Statistical analysis and graphical illustrations were created using GraphPad Prism 9 software. Microscope images of Golgi‐Cox staining were processed for brightness and contrast using ImageJ. Quantification of dendritic spines was performed using ImageJ's dendritic spine counter plugin.\nNormality was assessed with the Shapiro–Wilk test, and homogeneity of variances across groups was evaluated using Bartlett's test. When both assumptions were met, a one‐way ANOVA was performed to determine whether the means of independent groups differed, followed by Tukey's post hoc test for pairwise comparisons. For non‐parametric data, the Kruskal‐Wallis ANOVA was used, followed by Dunn's post hoc test for group comparisons. Outliers were identified using the ROUT method of regression, which combines a robust nonlinear regression with a False Discovery Rate‐based test, employing a Q‐value of 1% to estimate the likelihood of false positive results (Motulsky and Brown 2006). No data points were excluded based on this analysis. Results are presented as violin plots with individual data points. Gray lines representing the 25th and 75th percentiles, solid black lines indicating the median. Significance levels were set at *p < 0.05, **p < 0.01, ***p < 0.001, and ****p < 0.0001.\n\n\n### Behavioral Cluster Identification\nPCA (Principal Components Analysis) is a linear statistical technique used for dimensionality reduction by transforming a dataset into a set of orthogonal principal components while preserving essential information and reducing noise and computational complexity. This transformation helps reveal underlying patterns, clusters, or relationships within the data, making PCA particularly valuable for preprocessing in machine learning tasks (e.g., SVM) to mitigate overfitting and enhance model performance. In this study, two principal components were derived from a dataset comprising behavioral parameters from the EPM and OFT (Figure 1, Figures S2 and S3). The first principal component captures the direction of maximum variance in the data, representing the primary source of variability and illustrating the main axis of data distribution. The second principal component, orthogonal to the first, captures the next highest variance, reflecting the secondary axis of data spread. Together, these two components provide a simplified two‐dimensional representation of the dataset while retaining most of its original variability, facilitating effective visualization. PCA was conducted using Python.\nAltered anxiety‐like behavior and locomotor activity in NEX‐Cre mice compared to C57BL/6J controls in the EPM, OFT, and NSFT. (A) Overview of the behavioral test battery performed (please note not all animals underwent all tests) (B) Schematic overview of the NSFT. (C) In NSFT, NEX (Cre/Cre) showed a significantly decreased time until feeding compared to C57BL/6J mice and NEX (+/+) (Ordinary one‐way ANOVA: F (3, 50) = 6.93, ***p = 0.0005; Tukey's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0065, NEX(+/+) versus NEX (Cre/Cre) **p = 0.0014). Sample sizes: C57BL/6J: n = 11, NEX(+/+): n = 10, NEX(+/Cre): n = 11, NEX (Cre/Cre): n = 22. (D) During the feeding phase of the NSFT, NEX (+/+) ate significantly more food compared to the C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 50) = 3.128, p = 0.0338; Tukey's post hoc: C57BL/6J versus NEX (+/+) *p = 0.044). Sample sizes: C57BL/6J: n = 11, NEX (+/+): n = 10, NEX (+/Cre): n = 11, NEX (Cre/Cre): n = 22. (E) Schematic overview of the EPM. (F) Significantly increased open arm entries of the NEX (Cre/Cre) compared to the NEX (+/Cre) and the C57BL/6J mice in the EPM (Kruskal Wallis ANOVA: H (3) = 17.02, p = 0.0007; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0027, NEX‐Cre (+/Cre) versus NEX (Cre/Cre) **p = 0.0086). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 17, NEX (+/Cre): n = 22, NEX‐Cre (Cre/Cre): n = 26. (G) NEX (Cre/Cre) spend significantly more time on the open arms of the EPM compared to the NEX (+/Cre) mice (Kruskal Wallis ANOVA: H (3) = 16.17, p = 0.001; Dunn's post hoc: NEX (+/Cre) versus NEX (Cre/Cre) ***p = 0.0005). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 17, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 26. (H) Increased locomotor activity of NEX mice in the EPM compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 26.5, p < 0.0001; Dunn's post hoc: C57BL/6J vs. NEX (+/+) **p = 0.0046, C57BL/6J versus NEX(+/Cre) *p = 0.0195, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001). (I) Schematic overview of the OFT. Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 15, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 26. (J) All mice spend similar time in the center field in the OFT (Kruskal Wallis ANOVA: H (3) = 4.667, p = 0.1979). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX‐ (Cre/Cre): n = 28. (K) Increased locomotor activity of NEX (Cre/Cre) mice in the OFT compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 9.572, p = 0.0226; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) *p = 0.0247). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 28. (L) All mice showed similar rearing behavior in the OFT (Ordinary one‐way ANOVA: F (3, 82) = 1.495, p = 0.2221). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 28. (M) Schematic representation of grooming behavior. (N) NEX (Cre/Cre) spend significantly less time grooming compared to NEX‐Cre littermates and C57BL/6J mice during the OFT (Kruskal–Wallis ANOVA: H (3) = 35.22, p < 0.0001; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) ***p = 0.0003, NEX (+/+) versus NEX‐ (Cre/Cre) ****p < 0.0001, NEX (+/Cre) versus NEX (Cre/Cre) ****p < 0.0001). Sample sizes: C57BL/6J: n = 18, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 21. (O) Schematic representation of circling behavior tracking, where body axis rotations are determined based on the accumulation of rotation angles between the axes from the center point to the nose point. This method monitors micro‐rotations of animals turning around their own axis. A rotation is recorded when the cumulative angle of rotation (α) exceeds 360°. (P) During OFT, NEX (Cre/Cre) showed significantly increased circling behavior compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 17.99, p = 0.0004; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) ***p = 0.0002). Sample sizes: C57BL/6J: n = 19, NEX (+/+): n = 16, NEX (+/Cre): n = 19, NEX (Cre/Cre): n = 25. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\nt‐SNE (t‐Distributed Stochastic Neighbor Embedding) is a nonlinear dimensionality reduction technique designed for visualizing complex, high‐dimensional datasets. In this study, the input dataset consisted of PCA‐derived behavioral parameters from the EPM and OFT (Figure 1, Figures S2 and S3). t‐SNE operates by converting Euclidean distances between data points into conditional probabilities that indicate the likelihood of similarity between pairs of points. The algorithm then minimizes the divergence between the probability distributions of the high‐dimensional data and its low‐dimensional representation, ensuring that the resulting visualization accurately reflects local relationships within the data. This approach enables high‐dimensional data to be represented in a low‐dimensional space, making it easier to identify potential clusters or groups while preserving local structure (Van Der Maaten and Hinton 2008). t‐SNE was implemented using Python.\nSVM (Support Vector Machine) is a supervised machine learning algorithm widely used for classification tasks. In this study, PCA was applied as a preprocessing step for dimensionality reduction, providing a compact feature set and serving as the basis for an optimized SVM with a Radial Basis Function (RBF) kernel. This approach enhances the model's capacity to capture and process non‐linear relationships within the data efficiently. SVM constructs optimal hyperplanes in the transformed feature space to distinguish between different behavioral classes. To ensure the generalizability and robustness of the model, 5‐fold cross‐validation was employed, partitioning the dataset into multiple folds for training and testing on various subsets. Additionally, a bootstrap method was used to generate multiple resampled datasets, enabling the estimation of the model's variability and stability.\nThe combined use of PCA, SVM with RBF kernel, 5‐fold cross‐validation, and bootstrap resampling provides a rigorous framework for evaluating model performance, ensuring reliable and consistent behavioral classification outcomes. The aggregated confusion matrix summarizes classification results across all resampled datasets, offering insights into overall accuracy and the model's effectiveness in distinguishing behavioral classes. The SVM analysis was performed using Python.\nIn the analysis using the SVM algorithm, a comprehensive set of behavioral parameters from the OFT and EPM were used as input features. From the OFT, locomotion metrics included total distance moved (cm) and mean velocity (cm/s), along with spatial preferences and anxiety‐related behaviors such as frequency and total time spent in the border, corner, and center zones, as well as latency to first enter these zones. Additional metrics included frequency and total time of rearing, grooming, jumping, and body axis rotations. From the EPM, parameters included total distance moved (cm), mean velocity (cm/s), and exploratory measures such as closed and open arm entries, total time spent in closed and open arms, and latency to first enter these arms. The analysis also incorporated frequency and total time spent in the center field, along with latency to first enter the center. Together, these parameters provided a detailed behavioral profile, enabling the SVM algorithm to classify and interpret the data effectively (Figure 1, Figures S2 and S3).\nSHAP (SHapley Additive exPlanations) analysis was applied to interpret the feature contributions to the predictions made by the SVM model. This method offers detailed insights into feature importance and interactions, enhancing the interpretability of complex models, such as SVMs with RBF kernels. Using the SHAP library in Python, SHAP values were computed for each feature across all samples, enabling both a global assessment of feature impact and individualized explanations of specific predictions. This dual‐level analysis provides a comprehensive understanding of how features influence the model's outputs, making the decision‐making process more transparent and interpretable.\n\n\n### PCA\nPCA (Principal Components Analysis) is a linear statistical technique used for dimensionality reduction by transforming a dataset into a set of orthogonal principal components while preserving essential information and reducing noise and computational complexity. This transformation helps reveal underlying patterns, clusters, or relationships within the data, making PCA particularly valuable for preprocessing in machine learning tasks (e.g., SVM) to mitigate overfitting and enhance model performance. In this study, two principal components were derived from a dataset comprising behavioral parameters from the EPM and OFT (Figure 1, Figures S2 and S3). The first principal component captures the direction of maximum variance in the data, representing the primary source of variability and illustrating the main axis of data distribution. The second principal component, orthogonal to the first, captures the next highest variance, reflecting the secondary axis of data spread. Together, these two components provide a simplified two‐dimensional representation of the dataset while retaining most of its original variability, facilitating effective visualization. PCA was conducted using Python.\nAltered anxiety‐like behavior and locomotor activity in NEX‐Cre mice compared to C57BL/6J controls in the EPM, OFT, and NSFT. (A) Overview of the behavioral test battery performed (please note not all animals underwent all tests) (B) Schematic overview of the NSFT. (C) In NSFT, NEX (Cre/Cre) showed a significantly decreased time until feeding compared to C57BL/6J mice and NEX (+/+) (Ordinary one‐way ANOVA: F (3, 50) = 6.93, ***p = 0.0005; Tukey's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0065, NEX(+/+) versus NEX (Cre/Cre) **p = 0.0014). Sample sizes: C57BL/6J: n = 11, NEX(+/+): n = 10, NEX(+/Cre): n = 11, NEX (Cre/Cre): n = 22. (D) During the feeding phase of the NSFT, NEX (+/+) ate significantly more food compared to the C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 50) = 3.128, p = 0.0338; Tukey's post hoc: C57BL/6J versus NEX (+/+) *p = 0.044). Sample sizes: C57BL/6J: n = 11, NEX (+/+): n = 10, NEX (+/Cre): n = 11, NEX (Cre/Cre): n = 22. (E) Schematic overview of the EPM. (F) Significantly increased open arm entries of the NEX (Cre/Cre) compared to the NEX (+/Cre) and the C57BL/6J mice in the EPM (Kruskal Wallis ANOVA: H (3) = 17.02, p = 0.0007; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0027, NEX‐Cre (+/Cre) versus NEX (Cre/Cre) **p = 0.0086). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 17, NEX (+/Cre): n = 22, NEX‐Cre (Cre/Cre): n = 26. (G) NEX (Cre/Cre) spend significantly more time on the open arms of the EPM compared to the NEX (+/Cre) mice (Kruskal Wallis ANOVA: H (3) = 16.17, p = 0.001; Dunn's post hoc: NEX (+/Cre) versus NEX (Cre/Cre) ***p = 0.0005). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 17, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 26. (H) Increased locomotor activity of NEX mice in the EPM compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 26.5, p < 0.0001; Dunn's post hoc: C57BL/6J vs. NEX (+/+) **p = 0.0046, C57BL/6J versus NEX(+/Cre) *p = 0.0195, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001). (I) Schematic overview of the OFT. Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 15, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 26. (J) All mice spend similar time in the center field in the OFT (Kruskal Wallis ANOVA: H (3) = 4.667, p = 0.1979). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX‐ (Cre/Cre): n = 28. (K) Increased locomotor activity of NEX (Cre/Cre) mice in the OFT compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 9.572, p = 0.0226; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) *p = 0.0247). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX(+/Cre): n = 22, NEX (Cre/Cre): n = 28. (L) All mice showed similar rearing behavior in the OFT (Ordinary one‐way ANOVA: F (3, 82) = 1.495, p = 0.2221). Sample sizes: C57BL/6J: n = 20, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 28. (M) Schematic representation of grooming behavior. (N) NEX (Cre/Cre) spend significantly less time grooming compared to NEX‐Cre littermates and C57BL/6J mice during the OFT (Kruskal–Wallis ANOVA: H (3) = 35.22, p < 0.0001; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) ***p = 0.0003, NEX (+/+) versus NEX‐ (Cre/Cre) ****p < 0.0001, NEX (+/Cre) versus NEX (Cre/Cre) ****p < 0.0001). Sample sizes: C57BL/6J: n = 18, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 21. (O) Schematic representation of circling behavior tracking, where body axis rotations are determined based on the accumulation of rotation angles between the axes from the center point to the nose point. This method monitors micro‐rotations of animals turning around their own axis. A rotation is recorded when the cumulative angle of rotation (α) exceeds 360°. (P) During OFT, NEX (Cre/Cre) showed significantly increased circling behavior compared to C57BL/6J mice (Kruskal–Wallis ANOVA: H (3) = 17.99, p = 0.0004; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) ***p = 0.0002). Sample sizes: C57BL/6J: n = 19, NEX (+/+): n = 16, NEX (+/Cre): n = 19, NEX (Cre/Cre): n = 25. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\n\n\n### T‐SNE Analysis\nt‐SNE (t‐Distributed Stochastic Neighbor Embedding) is a nonlinear dimensionality reduction technique designed for visualizing complex, high‐dimensional datasets. In this study, the input dataset consisted of PCA‐derived behavioral parameters from the EPM and OFT (Figure 1, Figures S2 and S3). t‐SNE operates by converting Euclidean distances between data points into conditional probabilities that indicate the likelihood of similarity between pairs of points. The algorithm then minimizes the divergence between the probability distributions of the high‐dimensional data and its low‐dimensional representation, ensuring that the resulting visualization accurately reflects local relationships within the data. This approach enables high‐dimensional data to be represented in a low‐dimensional space, making it easier to identify potential clusters or groups while preserving local structure (Van Der Maaten and Hinton 2008). t‐SNE was implemented using Python.\n\n\n### SVM\nSVM (Support Vector Machine) is a supervised machine learning algorithm widely used for classification tasks. In this study, PCA was applied as a preprocessing step for dimensionality reduction, providing a compact feature set and serving as the basis for an optimized SVM with a Radial Basis Function (RBF) kernel. This approach enhances the model's capacity to capture and process non‐linear relationships within the data efficiently. SVM constructs optimal hyperplanes in the transformed feature space to distinguish between different behavioral classes. To ensure the generalizability and robustness of the model, 5‐fold cross‐validation was employed, partitioning the dataset into multiple folds for training and testing on various subsets. Additionally, a bootstrap method was used to generate multiple resampled datasets, enabling the estimation of the model's variability and stability.\nThe combined use of PCA, SVM with RBF kernel, 5‐fold cross‐validation, and bootstrap resampling provides a rigorous framework for evaluating model performance, ensuring reliable and consistent behavioral classification outcomes. The aggregated confusion matrix summarizes classification results across all resampled datasets, offering insights into overall accuracy and the model's effectiveness in distinguishing behavioral classes. The SVM analysis was performed using Python.\nIn the analysis using the SVM algorithm, a comprehensive set of behavioral parameters from the OFT and EPM were used as input features. From the OFT, locomotion metrics included total distance moved (cm) and mean velocity (cm/s), along with spatial preferences and anxiety‐related behaviors such as frequency and total time spent in the border, corner, and center zones, as well as latency to first enter these zones. Additional metrics included frequency and total time of rearing, grooming, jumping, and body axis rotations. From the EPM, parameters included total distance moved (cm), mean velocity (cm/s), and exploratory measures such as closed and open arm entries, total time spent in closed and open arms, and latency to first enter these arms. The analysis also incorporated frequency and total time spent in the center field, along with latency to first enter the center. Together, these parameters provided a detailed behavioral profile, enabling the SVM algorithm to classify and interpret the data effectively (Figure 1, Figures S2 and S3).\n\n\n### SHAP Analysis\nSHAP (SHapley Additive exPlanations) analysis was applied to interpret the feature contributions to the predictions made by the SVM model. This method offers detailed insights into feature importance and interactions, enhancing the interpretability of complex models, such as SVMs with RBF kernels. Using the SHAP library in Python, SHAP values were computed for each feature across all samples, enabling both a global assessment of feature impact and individualized explanations of specific predictions. This dual‐level analysis provides a comprehensive understanding of how features influence the model's outputs, making the decision‐making process more transparent and interpretable.\n\n\n### Data Analysis\nAll behavioral data were recorded using EthoVision XT software from Noldus. Data acquisition was performed automatically from recorded videos. Statistical analysis and graphical illustrations were created using GraphPad Prism 9 software. Microscope images of Golgi‐Cox staining were processed for brightness and contrast using ImageJ. Quantification of dendritic spines was performed using ImageJ's dendritic spine counter plugin.\n\n\n### Statistical Analysis\nNormality was assessed with the Shapiro–Wilk test, and homogeneity of variances across groups was evaluated using Bartlett's test. When both assumptions were met, a one‐way ANOVA was performed to determine whether the means of independent groups differed, followed by Tukey's post hoc test for pairwise comparisons. For non‐parametric data, the Kruskal‐Wallis ANOVA was used, followed by Dunn's post hoc test for group comparisons. Outliers were identified using the ROUT method of regression, which combines a robust nonlinear regression with a False Discovery Rate‐based test, employing a Q‐value of 1% to estimate the likelihood of false positive results (Motulsky and Brown 2006). No data points were excluded based on this analysis. Results are presented as violin plots with individual data points. Gray lines representing the 25th and 75th percentiles, solid black lines indicating the median. Significance levels were set at *p < 0.05, **p < 0.01, ***p < 0.001, and ****p < 0.0001.\n\n\n### Results\nA comprehensive series of experiments was performed to characterize and compare the behavioral profiles of C57BL/6J, NEX (+/+), NEX (+/Cre), and NEX (Cre/Cre) mice (Figure 1A). To assess anxiety‐related behavior and general locomotion, three distinct behavioral paradigms were employed: the Novelty‐Suppressed Feeding Test (NSFT) (Figure 1B–D), the Elevated Plus Maze (EPM) (Figure 1E–H), and the Open Field Test (OFT) (Figure 1I–L). Among these, the NSFT primarily serves as a measure of anxiety‐like behavior, but it also provides insights into hunger, motivation to eat, and the animal's ability to overcome the conflict between the drive to feed and the aversiveness of a novel environment.\nIn the NSFT, NEX(Cre/Cre) mice initiated food consumption significantly faster than both NEX(+/+) and C57BL/6J mice (Figure 1C), suggesting a reduced anxiety‐like phenotype. Interestingly, NEX (+/+) mice consumed significantly more food than C57BL/6J controls (Figure 1D), which may indicate an alteration in consummatory behavior or metabolic regulation in the NEX‐Cre line.\nAdditional locomotor parameters, including total distance moved and mean velocity, are shown in Figure S1. NEX (Cre/Cre) mice traveled significantly shorter distances compared to both NEX (+/+) and NEX (+/Cre) mice. In contrast, NEX (+/+) and NEX (+/Cre) animals exhibited greater locomotor activity than C57BL/6J mice. Furthermore, NEX (Cre/Cre) mice displayed significantly lower mean velocity compared to both C57BL/6J and NEX (+/Cre) mice.\nSimilarly, in the EPM, NEX(Cre/Cre) mice entered the open arms significantly more frequently than both NEX (+/Cre) and C57BL/6J mice (Figure 1F) and spent significantly more time in the open arms compared to NEX (+/Cre) mice (Figure 1G). These findings are consistent with the NSFT results, further supporting a phenotype characterized by reduced anxiety‐like behavior and enhanced exploratory drive. Additionally, all NEX‐Cre genotypes exhibited significantly greater locomotor activity than C57BL/6J controls, as indicated by the increased total distance traveled during the EPM (Figure 1H). This observation suggests a general trend toward hyperactivity or elevated baseline locomotion in NEX‐Cre mice, irrespective of genotype.\nNEX(Cre/Cre) mice exhibited particularly striking behaviors in the EPM, characterized by maladaptive movement patterns. During exploration of the open arms, these mice frequently slipped with their hind paws—even while running in a straight line—and displayed repetitive and erratic behaviors, such as circling on the open arms or the central platform. Their uncoordinated turning and frequent slipping occasionally led to partial or complete falls from the maze. Notably, these behaviors persisted throughout the testing session, with no evidence of habituation or corrective adaptation over time.\nQuantitative analysis revealed that NEX (Cre/Cre) mice were significantly more likely to slip their hind paws off the open arms compared to NEX‐ (+/+), NEX (+/Cre), and C57BL/6J mice (Figure S2). While hind paw slips were occasionally observed in C57BL/6J, NEX (+/+), and NEX (+/Cre) mice, these events typically occurred only within the first few seconds after placement on the maze and were followed by rapid acclimation and confident locomotion. Among NEX (+/Cre) mice, behavioral variability was observed—some individuals showed frequent slipping, while others navigated the maze with ease.\nAdditional parameters, including mean velocity, locomotor trajectories, and detailed time spent in the open arms, closed arms, and central platform, are presented in Figure S2. Collectively, these findings further emphasize the phenotype of reduced anxiety‐like behavior, hyperactivity, and impaired motor coordination in NEX (Cre/Cre) mice.\nIn the OFT, all groups spent a similar amount of time in the center field (Figure 1J), and exhibited comparable frequencies of rearing behavior (Figure 1L), indicating no differences in anxiety‐like or exploratory behavior between the groups. However, increased locomotor activity was observed in NEX (Cre/Cre) mice compared to C57BL/6J mice, with NEX (+/+) and NEX (+/Cre) mice showing a slight trend toward increased locomotor activity (Figure 1K). Notably, NEX (Cre/Cre) mice exhibited striking behavioral abnormalities during the OFT. They did not display any self‐grooming behavior during the 5‐min test period, in contrast to the other groups (Figure 1N). This suggests a potential correlation between either the gene dosage of Cre recombinase or the NEX knockout and self‐grooming behavior. Additionally, similar to the EPM, NEX (Cre/Cre) mice demonstrated prominent circling behavior, rotating around their own axis significantly more often than C57BL/6J mice (Figure 1P). Additional details on behavioral parameters in the OFT are presented in Figure S3, including measurements of velocity, zone entries (border, corner, and center), corresponding latencies, as well as ethologically relevant behaviors such as rearing, circling, and grooming. NEX‐(Cre/Cre) mice entered the border zone significantly more frequently than both NEX (+/+) and C57BL/6J mice and spent more time in the border zones compared to C57BL/6J animals (Figure S3C,G). Moreover, both NEX (Cre/Cre) and NEX (+/Cre) mice spent less time rearing than C57BL/6J controls (Figure S3L), suggesting a reduction in vertical exploration.\nCollectively, these findings support altered motor activity in NEX(Cre/Cre) mice, including changes in sequential movement patterns and the presence of stereotyped behaviors, distinguishing their behavioral phenotype from wild‐type NEX(+/+) and heterozygous counterparts. Overall, NEX‐Cre animals showed reduced anxiety‐related behavior and increased locomotor activity compared to C57BL/6J controls, suggesting that genetic background contributes to the gradual emergence of these behavioral differences. Notably, while NSFT and EPM indicated altered anxiety‐like behavior, the OFT did not provide clear evidence for such changes in NEX (Cre/Cre) mice, potentially reflecting differences in sensitivity and contextual demands across paradigms. Together, these results highlight the complex relationship between genetic alterations, locomotor activity, and anxiety‐related behavior, and emphasize the value of using complementary assays to capture multifaceted behavioral phenotypes.\nTo assess social behavior in NEX (+/+), NEX (+/Cre), NEX (Cre/Cre), and C57BL/6J mice, we performed the social interaction (SI) test and calculated SI ratios (Figure 2A–C). No significant differences in SI ratios were observed between groups (Figure 2B). Notably, all C57BL/6J mice exhibited SI ratios above 1, whereas some mice in the NEX‐Cre groups fell below this threshold. Socialization time, defined as the percentage of time spent in the interaction zone during the interaction phase (Willmore et al. 2022), also did not differ between groups (Figure 2C).\nDecreased sucrose preference and normal social behavior in NEX‐Cre mice. (A) Schematic overview of the social interaction test. (B) SI‐ratios do not differ between the groups (Ordinary one‐way ANOVA: F (3, 55) = 2.061, p = 0.116). Sample sizes: C57BL/6J: n = 13, NEX (+/+): n = 16, NEX‐Cre (+/Cre): n = 19, NEX (Cre/Cre): n = 11. (C) No difference between the groups in the socialization time during social interaction test (Kruskal–Wallis ANOVA: H (3) = 4.941, p = 0.176). Sample sizes: C57BL/6J: n = 15, NEX (+/+): n = 16, NEX (+/Cre): n = 21, NEX(Cre/Cre): n = 12. (D) Schematic overview of the sucrose preference test. (E) Decreased sucrose preference in NEX‐ (+/+) and NEX (+/Cre) compared to C57Bl76J mice (Ordinary one‐way ANOVA: F (3, 88) = 9.376 ****p < 0.0001; Tukey's post hoc: C57BL/6J versus NEX‐Cre (+/+) ****p < 0.0001, C57BL/6J versus NEX (+/Cre) ***p = 0.0005, NEX (+/+) versus NEX (Cre/Cre) *p = 0.0174). Sample sizes: C57BL/6J: n = 25, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX‐Cre (Cre/Cre): n = 29. (F) NEX(Cre/Cre) showed increased liquid intake compared to C57Bl76J mice (Kruskal–Wallis ANOVA: H (3) = 11.99, p = 0.0074; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0037). Sample sizes: C57BL/6J: n = 16, NEX(+/+t): n = 16, NEX (8Cre/+): n = 22, NEX (Cre/Cre): n = 12. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\nIn the sucrose preference test (SPT), NEX (+/+) and NEX (+/Cre) mice exhibited a significantly reduced sucrose preference compared to C57BL/6J mice (median values: C57BL/6J: 80%, NEX (+/+): 59.75%, NEX (+/Cre): 65.33%; p = 0.0005, p < 0.0001; ***, ****), suggesting innate anhedonic‐like behavior or altered reward sensitivity (Figure 2E). Interestingly, NEX (Cre/Cre) mice demonstrated a significantly increased sucrose preference compared to NEX (+/+) mice (median values: NEX (+/+): 59.75%, NEX (Cre/Cre): 68.89%; p = 0.0174; *), indicating heightened consummatory behavior relative to their wildtype littermates. Furthermore, during the 6‐h SPT, NEX (Cre/Cre) mice consumed significantly more sucrose and water than C57BL/6J mice (Figure 2F). Although the median fluid intake of NEX (+/+) and NEX (+/Cre) mice was slightly elevated, these differences did not reach statistical significance.\nThe social interaction test revealed no significant group differences, although some NEX‐Cre mice showed reduced social interest. NEX (+/+) and NEX (+/Cre) mice displayed lower sucrose preference, suggesting innate anhedonia or altered reward sensitivity. In contrast, NEX (Cre/Cre) mice showed increased sucrose preference and fluid intake, indicating heightened consumption and possibly elevated metabolism.\nAlthough significant behavioral deficits were primarily observed in NEX (Cre/Cre) mice, we hypothesized that additional subtle differences might exist across genotypes that were not fully captured by traditional behavioral measures. To investigate this, we applied advanced machine learning techniques, including principal component analysis (PCA), t‐distributed stochastic neighbor embedding (t‐SNE), and support vector machine (SVM) classification, to uncover potential hidden behavioral patterns. Data from the OFT and EPM (Figure 1, Figures S2 and S3) served as the basis for these analyses, providing a comprehensive behavioral dataset for genotype classification. To assess whether spontaneous behavior alone is sufficient to differentiate between genotypes, we first applied PCA and t‐SNE to the behavioral feature set. Neither method revealed any clear clustering or separation by genotype (Figure 3A,B), suggesting that the behavioral differences are subtle and not linearly separable in the high‐dimensional feature space. PCA was first applied to obtain an overview of the data structure, capturing 38% of the total variance within the first two principal components (Figure 3A). The remaining unexplained variance (62%) likely reflects additional behavioral dimensions and interindividual variability that require higher‐order components or nonlinear methods to resolve. To further explore potential nonlinear relationships or subtle substructure in the behavioral data, we next applied t‐SNE (Figure 3B). The t‐SNE embedding achieved a trustworthiness score of 0.85, reflecting good preservation of local neighborhood structure in the high‐dimensional behavioral space. In contrast, the negative silhouette score (−0.065) indicated substantial overlap between genotypes, with no evidence for discrete behavioral clusters. In line with the PCA, these findings suggest that genotype‐dependent behavioral differences are subtle, multidimensional, and not linearly separable in the observed feature space.\nDimensionality reduction and classification analysis of behavioral data from EPM and OFT: PCA, t‐SNE, SVM confusion matrix, and SHAP value insights. (A) Visualization of the dataset after transformation and dimensionality reduction using PCA, highlighting the primary patterns and capturing 38% of the variance in the dataset. (B) Visualization of the dataset preprocessed by PCA and then transformed and reduced to two dimensions using t‐SNE, with a silhouette score of −0.092 indicating strong cluster overlap, and a trustworthiness score of 0.85 reflecting a high level of preservation of local data structure. The silhouette score of −0.065 suggests strong overlap of the groups. (C) Aggregated confusion matrix using 5‐fold stratified cross‐validation reached a mean accuracy of ~65% and a F1‐score of ~0.6. (D) Confusion matrix of the entire dataset, mean accuracy 88%. (E) Model training and validation accuracy. (D–G) Beeswarm plot visualization of SHAP values derived from the SVM model, illustrating the contribution of features to the prediction of the groups: C57BL/6J (F), NEX (+/+) (G), NEX (+/Cre) (H), and NEX (Cre/Cre) mice (I). Each row represents a feature, ranked from top to bottom by the mean absolute SHAP value. Individual dots in each row represent SHAP values for that feature, with color indicating the feature value according to the color bar. The position along the x‐axis reflects the SHAP value, representing the feature's impact on the model's prediction. Sample sizes: C57BL/6J: n = 19, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 26.\nTo assess whether the behavioral alterations observed in NEX‐Cre mice extend beyond isolated group differences and form a coherent multivariate phenotype at the level of individual animals, we applied supervised classification to the combined OFT and EPM behavioral dataset. Despite the absence of clear structure in the unsupervised analyses, a supervised support vector machine (SVM) classifier was able to predict genotype based on the multivariate behavioral feature space with above‐chance accuracy. Using 5‐fold stratified cross‐validation, the model achieved a mean accuracy of approximately 65% and a mean F1‐score of 0.6. The aggregated confusion matrix exhibited clear diagonal dominance (Figure 3C), reflecting consistent genotype classification across folds. This performance was significantly above chance (31.3%; Binomial test, p < 0.001), indicating that genotype‐related behavioral signatures, although subtle, are systematically represented in the data. Evaluation on the full dataset yielded an overall accuracy of 0.88 (Figure 3D). The close agreement between training and validation accuracies (Figure 3E) confirms that the classifier generalizes well without signs of overfitting.\nWe next asked which behavioral features drive classification for each genotype. Using SHAP (SHapley Additive exPlanations), we visualized class‐wise feature importances based on the final fold of the SVM model. Each genotype exhibited distinct SHAP profiles, with different top‐ranked features contributing most to prediction (Figure 3F–I). SHAP feature attribution revealed both shared and class‐specific behavioral drivers of genotype classification (Figure 3F–I). For instance, the frequency of not moving in the EPM was consistently ranked among the top features across multiple genotypes but showed the strongest and most directional contribution to predictions of the NEX(+/Cre) group. In contrast, latency to first enter the center platform during EPM was an important class‐specific feature for identifying the NEX (Cre/Cre) group but contributed negligibly to predictions in the NEX (+/+) group. These results suggest that the classifier draws on both shared and genotype‐distinct behavioral signatures. Importantly, grooming behavior surfaced as a distinctive marker: grooming frequency was strongly weighted in the classification of NEX (Cre/Cre), consistent with the striking absence of this behavior in this group. Similarly, circling frequency, a marker often associated with stereotypy or motor abnormalities, as well as slipping in the EPM contributed more to predictions in NEX (Cre/Cre) than in other genotypes—further supporting the model's sensitivity to subtle motor behavioral changes. As expected based on the univariate analyses, grooming frequency, circling behavior, and slipping in the EPM contributed most strongly to classification of NEX (+/+) animals. Importantly, these features therefore not only differed at the group level but also carried high discriminative value for genotype prediction at the level of individual animals. In addition, the SHAP profiles revealed further genotype‐specific contributions from more subtle behavioral parameters, indicating that classification performance reflects an integration of both prominent and distributed behavioral signals.\nIn summary, the SVM classifier was able to reliably predict genotype from behavior with an accuracy well above chance, despite the absence of clear separability in unsupervised dimensionality reduction. SHAP analysis further uncovered distinct behavioral features that contributed to genotype classification, offering interpretable insights into subtle yet meaningful behavioral differences. These findings highlight the complexity of genotype‐specific behavioral signatures and underscore the role of both strain and genetic background in shaping behavior.\nGiven the abnormal behavioral traits observed in NEX‐Cre mice, such as anhedonic‐like behavior, reduced anxiety, and increased locomotion, and considering the critical role of NEX in neuronal development and survival, we investigated dendritic spine density in key brain regions associated with emotion, reward processing, decision‐making, learning, memory, motor planning, and social behavior. These regions included the medial prefrontal cortex (mPFC), nucleus accumbens core region (NaC), caudate putamen (CPu), dorsal (LSD) and intermediate (LSI) lateral septum, hippocampal CA1 region (Hip CA1), and basolateral amygdala (BLA). To assess dendritic spine density, Golgi‐Cox staining was performed and analyzed (Figure 4).\nDendritic Spine Density of NEX‐Cre and C57BL/6J mice. (A) Representative images of Golgi‐Cox‐stained basal dendrites of pyramidal neurons in the CA1 region of the hippocampus. Scalebar 10 μm. (B) Increased dendritic spine density on apical dendrites of pyramidal neurons of layer V in the PFC of NEX (+/+) mice compared to C57BL/6J and NEX (+/Cre) mice (Kruskal Wallis ANOVA: H (3) = 10.41, p = 0.0154; Dunn's post hoc: C57BL/6J versus NEX (+/+) *p = 0.0344, NEX‐(+/+) versus NEX (+/Cre) *p = 0.0498). Sample sizes of analyzed dendrites: C57BL/6J: n = 34, NEX (+/+): n = 25, NEX (+/Cre): n = 31, NEX (Cre/Cre): n = 15. (C) Spine density on basal dendrites in PFC (Kruskal–Wallis ANOVA: H (3) = 8.219, p = 0.0417, Dunn's post hoc: p values > 0.05). Sample sizes of analyzed dendrites: C57BL/6J: n = 52, NEX (+/+): n = 26, NEX (+/Cre): n = 44, NEX (Cre/Cre): n = 21. (D) Increased spine density on medium spiny neurons of the NaC of NEX (+/Cre) and NEX (Cre/Cre) mice compared and C57BL/6J mice but also in NEX (Cre/Cre) compared to NEX (+/+) mice. (Kruskal–Wallis ANOVA: H (3) = 22.61, p < 0.0001, Dunn's post hoc: C57BL/6J versus NEX (+/Cre) **p = 0.0029, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001, NEX (+/+) versus NEX(Cre/Cre) *p = 0.0258). Sample sizes of analyzed dendrites: C57BL/6J: n = 17, NEX (+/+): n = 15, NEX (+/Cre): n = 38, NEX (Cre/Cre): n = 17. (E) Decreased spine density on medium spiny neurons of the CPu in all Nex‐Cre groups compared to C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 109) = 20.46, ****p < 0.0001; Tukey's post hoc: C57BL/6J versus NEX (+/+) ****p < 0.0001, C57BL/6J versus NEX (+/Cre) ****p < 0.0001, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001). Sample sizes of analyzed dendrites: C57BL/6J: n = 32, NEX‐Cre (+/+): n = 31, NEX (+/Cre): n = 26, NEX (Cre/Cre): n = 24. (F) Increased spine density on neurons the LSD in NEX(+/Cre) mice compared to C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 71) = 4.056, p = 0.0102; Tukey's post hoc: C57BL/6J versus NEX (+/Cre) **p = 0.0074). Sample sizes of analyzed dendrites: C57BL/6J: n = 32, NEX (+/+): n = 13, NEX (+/Cre): n = 13, NEX (Cre/Cre): n = 17. (G) Increased spine density on neurons of the LSI in NEX (+/+) mice compared to C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 62) = 6.124, p = 0.001; Tukey's post hoc: C57BL/6J versus NEX (+/+) ***p = 0.0005). Sample sizes of analyzed dendrites: C57BL/6J: n = 21, NEX (+/+): n = 18, NEX‐Cre (+/Cre): n = 13, NEX (Cre/Cre): n = 14. (H) Decreased spine density on apical dendrites of pyramidal neurons in the hippocampal CA1 region in NEX (Cre/Cre) compared to NEX (+/Cre) mice (Ordinary one‐way ANOVA: F (3, 87) = 2.43, p = 0.0705; Tukey's post hoc: NEX (+/Cre) versus NEX (Cre/Cre) *p = 0.0412). Sample sizes of analyzed dendrites: C57BL/6J: n = 19, NEX‐Cre (+/+): n = 25, NEX‐Cre (+/Cre): n = 28, NEX (Cre/Cre): n = 19. (I) Decreased spine density on basal dendrites of pyramidal neurons in the hippocampal CA1 region in NEX (Cre/Cre) compared to NEX (+/Cre), NEX (+/+) and C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 107) = 12.98, p < 0.0001; Tukey's post hoc: C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001, NEX (+/+) versus NEX (Cre/Cre) ****p < 0.0001, NEX (+/Cre) versus NEX(Cre/Cre) **p = 0.0019). Sample sizes of analyzed dendrites: C57BL/6J: n = 31, NEX (+/+): n = 30, NEX (+/Cre): n = 20, NEX (Cre/Cre): n = 30. (J) No differences in the dendritic spine density on neurons of the BLA between the groups (Ordinary one‐way ANOVA: F (3, 75) = 2.427, p = 0.0712). Sample sizes of analyzed dendrites: C57BL/6J: n = 17, NEX (+/+): n = 21, NEX (+/Cre): n = 16, NEX (Cre/Cre): n = 25. The total numbers of analyzed animals, brain slices and dendrites per region and genotype are provided in Table S1. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\nIn the mPFC, NEX(+/+) mice showed increased spine density on apical dendrites compared to C57BL/6J and NEX(+/Cre) mice, with no differences observed on basal dendrites (Figure 4B,C). This unexpected increase suggests that external factors or subtle genetic variations may affect neural architecture in NEX (+/+) mice. In the NaC, spine density was elevated in NEX(Cre/Cre) mice compared to C57BL/6J and NEX (+/+) mice, and in NEX (+/Cre) mice compared to C57BL/6J mice (Figure 4D), indicating possible gene dosage effects of Cre recombinase or NEX deletion. In the CPu, all NEX‐Cre groups exhibited reduced spine density relative to C57BL/6J mice (Figure 4E). In the LSD and LSI, spine density was increased in NEX (+/Cre) and NEX (+/+) mice, respectively, compared to C57BL/6J mice (Figure 4F,G). In the hippocampal CA1 region, NEX (Cre/Cre) mice displayed reduced spine density on both apical and basal dendrites, with the latter reduction more pronounced across groups (Figure 4H,I). In the BLA, no significant group differences were observed, although NEX (Cre/Cre) mice showed a trend toward lower spine density (Figure 4J).\nIn summary, dendritic spine density was altered in a region‐ and genotype‐dependent manner in NEX‐Cre mice, indicating changes in synaptic architecture across multiple circuits. While increases were observed in select areas (e.g., mPFC and parts of the septum), reductions were particularly consistent in the CPu and most pronounced in the hippocampal CA1 region of NEX (Cre/Cre) mice. In contrast, no significant differences were detected in the BLA. Together, these findings suggest strain‐ and genotype‐specific shifts in synaptic connectivity that may contribute to the behavioral phenotypes observed in NEX‐Cre animals.\n\n\n### NEX (Cre/Cre) Mice Exhibit Reduced Anxiety‐Related Behavior and Increased Locomotor Activity\nA comprehensive series of experiments was performed to characterize and compare the behavioral profiles of C57BL/6J, NEX (+/+), NEX (+/Cre), and NEX (Cre/Cre) mice (Figure 1A). To assess anxiety‐related behavior and general locomotion, three distinct behavioral paradigms were employed: the Novelty‐Suppressed Feeding Test (NSFT) (Figure 1B–D), the Elevated Plus Maze (EPM) (Figure 1E–H), and the Open Field Test (OFT) (Figure 1I–L). Among these, the NSFT primarily serves as a measure of anxiety‐like behavior, but it also provides insights into hunger, motivation to eat, and the animal's ability to overcome the conflict between the drive to feed and the aversiveness of a novel environment.\nIn the NSFT, NEX(Cre/Cre) mice initiated food consumption significantly faster than both NEX(+/+) and C57BL/6J mice (Figure 1C), suggesting a reduced anxiety‐like phenotype. Interestingly, NEX (+/+) mice consumed significantly more food than C57BL/6J controls (Figure 1D), which may indicate an alteration in consummatory behavior or metabolic regulation in the NEX‐Cre line.\nAdditional locomotor parameters, including total distance moved and mean velocity, are shown in Figure S1. NEX (Cre/Cre) mice traveled significantly shorter distances compared to both NEX (+/+) and NEX (+/Cre) mice. In contrast, NEX (+/+) and NEX (+/Cre) animals exhibited greater locomotor activity than C57BL/6J mice. Furthermore, NEX (Cre/Cre) mice displayed significantly lower mean velocity compared to both C57BL/6J and NEX (+/Cre) mice.\nSimilarly, in the EPM, NEX(Cre/Cre) mice entered the open arms significantly more frequently than both NEX (+/Cre) and C57BL/6J mice (Figure 1F) and spent significantly more time in the open arms compared to NEX (+/Cre) mice (Figure 1G). These findings are consistent with the NSFT results, further supporting a phenotype characterized by reduced anxiety‐like behavior and enhanced exploratory drive. Additionally, all NEX‐Cre genotypes exhibited significantly greater locomotor activity than C57BL/6J controls, as indicated by the increased total distance traveled during the EPM (Figure 1H). This observation suggests a general trend toward hyperactivity or elevated baseline locomotion in NEX‐Cre mice, irrespective of genotype.\nNEX(Cre/Cre) mice exhibited particularly striking behaviors in the EPM, characterized by maladaptive movement patterns. During exploration of the open arms, these mice frequently slipped with their hind paws—even while running in a straight line—and displayed repetitive and erratic behaviors, such as circling on the open arms or the central platform. Their uncoordinated turning and frequent slipping occasionally led to partial or complete falls from the maze. Notably, these behaviors persisted throughout the testing session, with no evidence of habituation or corrective adaptation over time.\nQuantitative analysis revealed that NEX (Cre/Cre) mice were significantly more likely to slip their hind paws off the open arms compared to NEX‐ (+/+), NEX (+/Cre), and C57BL/6J mice (Figure S2). While hind paw slips were occasionally observed in C57BL/6J, NEX (+/+), and NEX (+/Cre) mice, these events typically occurred only within the first few seconds after placement on the maze and were followed by rapid acclimation and confident locomotion. Among NEX (+/Cre) mice, behavioral variability was observed—some individuals showed frequent slipping, while others navigated the maze with ease.\nAdditional parameters, including mean velocity, locomotor trajectories, and detailed time spent in the open arms, closed arms, and central platform, are presented in Figure S2. Collectively, these findings further emphasize the phenotype of reduced anxiety‐like behavior, hyperactivity, and impaired motor coordination in NEX (Cre/Cre) mice.\nIn the OFT, all groups spent a similar amount of time in the center field (Figure 1J), and exhibited comparable frequencies of rearing behavior (Figure 1L), indicating no differences in anxiety‐like or exploratory behavior between the groups. However, increased locomotor activity was observed in NEX (Cre/Cre) mice compared to C57BL/6J mice, with NEX (+/+) and NEX (+/Cre) mice showing a slight trend toward increased locomotor activity (Figure 1K). Notably, NEX (Cre/Cre) mice exhibited striking behavioral abnormalities during the OFT. They did not display any self‐grooming behavior during the 5‐min test period, in contrast to the other groups (Figure 1N). This suggests a potential correlation between either the gene dosage of Cre recombinase or the NEX knockout and self‐grooming behavior. Additionally, similar to the EPM, NEX (Cre/Cre) mice demonstrated prominent circling behavior, rotating around their own axis significantly more often than C57BL/6J mice (Figure 1P). Additional details on behavioral parameters in the OFT are presented in Figure S3, including measurements of velocity, zone entries (border, corner, and center), corresponding latencies, as well as ethologically relevant behaviors such as rearing, circling, and grooming. NEX‐(Cre/Cre) mice entered the border zone significantly more frequently than both NEX (+/+) and C57BL/6J mice and spent more time in the border zones compared to C57BL/6J animals (Figure S3C,G). Moreover, both NEX (Cre/Cre) and NEX (+/Cre) mice spent less time rearing than C57BL/6J controls (Figure S3L), suggesting a reduction in vertical exploration.\nCollectively, these findings support altered motor activity in NEX(Cre/Cre) mice, including changes in sequential movement patterns and the presence of stereotyped behaviors, distinguishing their behavioral phenotype from wild‐type NEX(+/+) and heterozygous counterparts. Overall, NEX‐Cre animals showed reduced anxiety‐related behavior and increased locomotor activity compared to C57BL/6J controls, suggesting that genetic background contributes to the gradual emergence of these behavioral differences. Notably, while NSFT and EPM indicated altered anxiety‐like behavior, the OFT did not provide clear evidence for such changes in NEX (Cre/Cre) mice, potentially reflecting differences in sensitivity and contextual demands across paradigms. Together, these results highlight the complex relationship between genetic alterations, locomotor activity, and anxiety‐related behavior, and emphasize the value of using complementary assays to capture multifaceted behavioral phenotypes.\n\n\n### NEX‐Cre Mice Show Normal Social and Mild Anhedonic‐Like Behavior\nTo assess social behavior in NEX (+/+), NEX (+/Cre), NEX (Cre/Cre), and C57BL/6J mice, we performed the social interaction (SI) test and calculated SI ratios (Figure 2A–C). No significant differences in SI ratios were observed between groups (Figure 2B). Notably, all C57BL/6J mice exhibited SI ratios above 1, whereas some mice in the NEX‐Cre groups fell below this threshold. Socialization time, defined as the percentage of time spent in the interaction zone during the interaction phase (Willmore et al. 2022), also did not differ between groups (Figure 2C).\nDecreased sucrose preference and normal social behavior in NEX‐Cre mice. (A) Schematic overview of the social interaction test. (B) SI‐ratios do not differ between the groups (Ordinary one‐way ANOVA: F (3, 55) = 2.061, p = 0.116). Sample sizes: C57BL/6J: n = 13, NEX (+/+): n = 16, NEX‐Cre (+/Cre): n = 19, NEX (Cre/Cre): n = 11. (C) No difference between the groups in the socialization time during social interaction test (Kruskal–Wallis ANOVA: H (3) = 4.941, p = 0.176). Sample sizes: C57BL/6J: n = 15, NEX (+/+): n = 16, NEX (+/Cre): n = 21, NEX(Cre/Cre): n = 12. (D) Schematic overview of the sucrose preference test. (E) Decreased sucrose preference in NEX‐ (+/+) and NEX (+/Cre) compared to C57Bl76J mice (Ordinary one‐way ANOVA: F (3, 88) = 9.376 ****p < 0.0001; Tukey's post hoc: C57BL/6J versus NEX‐Cre (+/+) ****p < 0.0001, C57BL/6J versus NEX (+/Cre) ***p = 0.0005, NEX (+/+) versus NEX (Cre/Cre) *p = 0.0174). Sample sizes: C57BL/6J: n = 25, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX‐Cre (Cre/Cre): n = 29. (F) NEX(Cre/Cre) showed increased liquid intake compared to C57Bl76J mice (Kruskal–Wallis ANOVA: H (3) = 11.99, p = 0.0074; Dunn's post hoc: C57BL/6J versus NEX (Cre/Cre) **p = 0.0037). Sample sizes: C57BL/6J: n = 16, NEX(+/+t): n = 16, NEX (8Cre/+): n = 22, NEX (Cre/Cre): n = 12. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\nIn the sucrose preference test (SPT), NEX (+/+) and NEX (+/Cre) mice exhibited a significantly reduced sucrose preference compared to C57BL/6J mice (median values: C57BL/6J: 80%, NEX (+/+): 59.75%, NEX (+/Cre): 65.33%; p = 0.0005, p < 0.0001; ***, ****), suggesting innate anhedonic‐like behavior or altered reward sensitivity (Figure 2E). Interestingly, NEX (Cre/Cre) mice demonstrated a significantly increased sucrose preference compared to NEX (+/+) mice (median values: NEX (+/+): 59.75%, NEX (Cre/Cre): 68.89%; p = 0.0174; *), indicating heightened consummatory behavior relative to their wildtype littermates. Furthermore, during the 6‐h SPT, NEX (Cre/Cre) mice consumed significantly more sucrose and water than C57BL/6J mice (Figure 2F). Although the median fluid intake of NEX (+/+) and NEX (+/Cre) mice was slightly elevated, these differences did not reach statistical significance.\nThe social interaction test revealed no significant group differences, although some NEX‐Cre mice showed reduced social interest. NEX (+/+) and NEX (+/Cre) mice displayed lower sucrose preference, suggesting innate anhedonia or altered reward sensitivity. In contrast, NEX (Cre/Cre) mice showed increased sucrose preference and fluid intake, indicating heightened consumption and possibly elevated metabolism.\n\n\n### Classification Analysis of EPM and OFT Behavioral Data Reveal Subtle but Distinct Behavioral Differences Between NEX‐Cre Genotypes and C57BL/6J Mice\nAlthough significant behavioral deficits were primarily observed in NEX (Cre/Cre) mice, we hypothesized that additional subtle differences might exist across genotypes that were not fully captured by traditional behavioral measures. To investigate this, we applied advanced machine learning techniques, including principal component analysis (PCA), t‐distributed stochastic neighbor embedding (t‐SNE), and support vector machine (SVM) classification, to uncover potential hidden behavioral patterns. Data from the OFT and EPM (Figure 1, Figures S2 and S3) served as the basis for these analyses, providing a comprehensive behavioral dataset for genotype classification. To assess whether spontaneous behavior alone is sufficient to differentiate between genotypes, we first applied PCA and t‐SNE to the behavioral feature set. Neither method revealed any clear clustering or separation by genotype (Figure 3A,B), suggesting that the behavioral differences are subtle and not linearly separable in the high‐dimensional feature space. PCA was first applied to obtain an overview of the data structure, capturing 38% of the total variance within the first two principal components (Figure 3A). The remaining unexplained variance (62%) likely reflects additional behavioral dimensions and interindividual variability that require higher‐order components or nonlinear methods to resolve. To further explore potential nonlinear relationships or subtle substructure in the behavioral data, we next applied t‐SNE (Figure 3B). The t‐SNE embedding achieved a trustworthiness score of 0.85, reflecting good preservation of local neighborhood structure in the high‐dimensional behavioral space. In contrast, the negative silhouette score (−0.065) indicated substantial overlap between genotypes, with no evidence for discrete behavioral clusters. In line with the PCA, these findings suggest that genotype‐dependent behavioral differences are subtle, multidimensional, and not linearly separable in the observed feature space.\nDimensionality reduction and classification analysis of behavioral data from EPM and OFT: PCA, t‐SNE, SVM confusion matrix, and SHAP value insights. (A) Visualization of the dataset after transformation and dimensionality reduction using PCA, highlighting the primary patterns and capturing 38% of the variance in the dataset. (B) Visualization of the dataset preprocessed by PCA and then transformed and reduced to two dimensions using t‐SNE, with a silhouette score of −0.092 indicating strong cluster overlap, and a trustworthiness score of 0.85 reflecting a high level of preservation of local data structure. The silhouette score of −0.065 suggests strong overlap of the groups. (C) Aggregated confusion matrix using 5‐fold stratified cross‐validation reached a mean accuracy of ~65% and a F1‐score of ~0.6. (D) Confusion matrix of the entire dataset, mean accuracy 88%. (E) Model training and validation accuracy. (D–G) Beeswarm plot visualization of SHAP values derived from the SVM model, illustrating the contribution of features to the prediction of the groups: C57BL/6J (F), NEX (+/+) (G), NEX (+/Cre) (H), and NEX (Cre/Cre) mice (I). Each row represents a feature, ranked from top to bottom by the mean absolute SHAP value. Individual dots in each row represent SHAP values for that feature, with color indicating the feature value according to the color bar. The position along the x‐axis reflects the SHAP value, representing the feature's impact on the model's prediction. Sample sizes: C57BL/6J: n = 19, NEX (+/+): n = 16, NEX (+/Cre): n = 22, NEX (Cre/Cre): n = 26.\nTo assess whether the behavioral alterations observed in NEX‐Cre mice extend beyond isolated group differences and form a coherent multivariate phenotype at the level of individual animals, we applied supervised classification to the combined OFT and EPM behavioral dataset. Despite the absence of clear structure in the unsupervised analyses, a supervised support vector machine (SVM) classifier was able to predict genotype based on the multivariate behavioral feature space with above‐chance accuracy. Using 5‐fold stratified cross‐validation, the model achieved a mean accuracy of approximately 65% and a mean F1‐score of 0.6. The aggregated confusion matrix exhibited clear diagonal dominance (Figure 3C), reflecting consistent genotype classification across folds. This performance was significantly above chance (31.3%; Binomial test, p < 0.001), indicating that genotype‐related behavioral signatures, although subtle, are systematically represented in the data. Evaluation on the full dataset yielded an overall accuracy of 0.88 (Figure 3D). The close agreement between training and validation accuracies (Figure 3E) confirms that the classifier generalizes well without signs of overfitting.\nWe next asked which behavioral features drive classification for each genotype. Using SHAP (SHapley Additive exPlanations), we visualized class‐wise feature importances based on the final fold of the SVM model. Each genotype exhibited distinct SHAP profiles, with different top‐ranked features contributing most to prediction (Figure 3F–I). SHAP feature attribution revealed both shared and class‐specific behavioral drivers of genotype classification (Figure 3F–I). For instance, the frequency of not moving in the EPM was consistently ranked among the top features across multiple genotypes but showed the strongest and most directional contribution to predictions of the NEX(+/Cre) group. In contrast, latency to first enter the center platform during EPM was an important class‐specific feature for identifying the NEX (Cre/Cre) group but contributed negligibly to predictions in the NEX (+/+) group. These results suggest that the classifier draws on both shared and genotype‐distinct behavioral signatures. Importantly, grooming behavior surfaced as a distinctive marker: grooming frequency was strongly weighted in the classification of NEX (Cre/Cre), consistent with the striking absence of this behavior in this group. Similarly, circling frequency, a marker often associated with stereotypy or motor abnormalities, as well as slipping in the EPM contributed more to predictions in NEX (Cre/Cre) than in other genotypes—further supporting the model's sensitivity to subtle motor behavioral changes. As expected based on the univariate analyses, grooming frequency, circling behavior, and slipping in the EPM contributed most strongly to classification of NEX (+/+) animals. Importantly, these features therefore not only differed at the group level but also carried high discriminative value for genotype prediction at the level of individual animals. In addition, the SHAP profiles revealed further genotype‐specific contributions from more subtle behavioral parameters, indicating that classification performance reflects an integration of both prominent and distributed behavioral signals.\nIn summary, the SVM classifier was able to reliably predict genotype from behavior with an accuracy well above chance, despite the absence of clear separability in unsupervised dimensionality reduction. SHAP analysis further uncovered distinct behavioral features that contributed to genotype classification, offering interpretable insights into subtle yet meaningful behavioral differences. These findings highlight the complexity of genotype‐specific behavioral signatures and underscore the role of both strain and genetic background in shaping behavior.\n\n\n### Structural Alterations of Dendritic Spine Density\nGiven the abnormal behavioral traits observed in NEX‐Cre mice, such as anhedonic‐like behavior, reduced anxiety, and increased locomotion, and considering the critical role of NEX in neuronal development and survival, we investigated dendritic spine density in key brain regions associated with emotion, reward processing, decision‐making, learning, memory, motor planning, and social behavior. These regions included the medial prefrontal cortex (mPFC), nucleus accumbens core region (NaC), caudate putamen (CPu), dorsal (LSD) and intermediate (LSI) lateral septum, hippocampal CA1 region (Hip CA1), and basolateral amygdala (BLA). To assess dendritic spine density, Golgi‐Cox staining was performed and analyzed (Figure 4).\nDendritic Spine Density of NEX‐Cre and C57BL/6J mice. (A) Representative images of Golgi‐Cox‐stained basal dendrites of pyramidal neurons in the CA1 region of the hippocampus. Scalebar 10 μm. (B) Increased dendritic spine density on apical dendrites of pyramidal neurons of layer V in the PFC of NEX (+/+) mice compared to C57BL/6J and NEX (+/Cre) mice (Kruskal Wallis ANOVA: H (3) = 10.41, p = 0.0154; Dunn's post hoc: C57BL/6J versus NEX (+/+) *p = 0.0344, NEX‐(+/+) versus NEX (+/Cre) *p = 0.0498). Sample sizes of analyzed dendrites: C57BL/6J: n = 34, NEX (+/+): n = 25, NEX (+/Cre): n = 31, NEX (Cre/Cre): n = 15. (C) Spine density on basal dendrites in PFC (Kruskal–Wallis ANOVA: H (3) = 8.219, p = 0.0417, Dunn's post hoc: p values > 0.05). Sample sizes of analyzed dendrites: C57BL/6J: n = 52, NEX (+/+): n = 26, NEX (+/Cre): n = 44, NEX (Cre/Cre): n = 21. (D) Increased spine density on medium spiny neurons of the NaC of NEX (+/Cre) and NEX (Cre/Cre) mice compared and C57BL/6J mice but also in NEX (Cre/Cre) compared to NEX (+/+) mice. (Kruskal–Wallis ANOVA: H (3) = 22.61, p < 0.0001, Dunn's post hoc: C57BL/6J versus NEX (+/Cre) **p = 0.0029, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001, NEX (+/+) versus NEX(Cre/Cre) *p = 0.0258). Sample sizes of analyzed dendrites: C57BL/6J: n = 17, NEX (+/+): n = 15, NEX (+/Cre): n = 38, NEX (Cre/Cre): n = 17. (E) Decreased spine density on medium spiny neurons of the CPu in all Nex‐Cre groups compared to C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 109) = 20.46, ****p < 0.0001; Tukey's post hoc: C57BL/6J versus NEX (+/+) ****p < 0.0001, C57BL/6J versus NEX (+/Cre) ****p < 0.0001, C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001). Sample sizes of analyzed dendrites: C57BL/6J: n = 32, NEX‐Cre (+/+): n = 31, NEX (+/Cre): n = 26, NEX (Cre/Cre): n = 24. (F) Increased spine density on neurons the LSD in NEX(+/Cre) mice compared to C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 71) = 4.056, p = 0.0102; Tukey's post hoc: C57BL/6J versus NEX (+/Cre) **p = 0.0074). Sample sizes of analyzed dendrites: C57BL/6J: n = 32, NEX (+/+): n = 13, NEX (+/Cre): n = 13, NEX (Cre/Cre): n = 17. (G) Increased spine density on neurons of the LSI in NEX (+/+) mice compared to C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 62) = 6.124, p = 0.001; Tukey's post hoc: C57BL/6J versus NEX (+/+) ***p = 0.0005). Sample sizes of analyzed dendrites: C57BL/6J: n = 21, NEX (+/+): n = 18, NEX‐Cre (+/Cre): n = 13, NEX (Cre/Cre): n = 14. (H) Decreased spine density on apical dendrites of pyramidal neurons in the hippocampal CA1 region in NEX (Cre/Cre) compared to NEX (+/Cre) mice (Ordinary one‐way ANOVA: F (3, 87) = 2.43, p = 0.0705; Tukey's post hoc: NEX (+/Cre) versus NEX (Cre/Cre) *p = 0.0412). Sample sizes of analyzed dendrites: C57BL/6J: n = 19, NEX‐Cre (+/+): n = 25, NEX‐Cre (+/Cre): n = 28, NEX (Cre/Cre): n = 19. (I) Decreased spine density on basal dendrites of pyramidal neurons in the hippocampal CA1 region in NEX (Cre/Cre) compared to NEX (+/Cre), NEX (+/+) and C57BL/6J mice (Ordinary one‐way ANOVA: F (3, 107) = 12.98, p < 0.0001; Tukey's post hoc: C57BL/6J versus NEX (Cre/Cre) ****p < 0.0001, NEX (+/+) versus NEX (Cre/Cre) ****p < 0.0001, NEX (+/Cre) versus NEX(Cre/Cre) **p = 0.0019). Sample sizes of analyzed dendrites: C57BL/6J: n = 31, NEX (+/+): n = 30, NEX (+/Cre): n = 20, NEX (Cre/Cre): n = 30. (J) No differences in the dendritic spine density on neurons of the BLA between the groups (Ordinary one‐way ANOVA: F (3, 75) = 2.427, p = 0.0712). Sample sizes of analyzed dendrites: C57BL/6J: n = 17, NEX (+/+): n = 21, NEX (+/Cre): n = 16, NEX (Cre/Cre): n = 25. The total numbers of analyzed animals, brain slices and dendrites per region and genotype are provided in Table S1. The data is presented as individual data points on violin plot. The solid black line indicates the median, while the gray lines represent the 25th and 75th percentiles.\nIn the mPFC, NEX(+/+) mice showed increased spine density on apical dendrites compared to C57BL/6J and NEX(+/Cre) mice, with no differences observed on basal dendrites (Figure 4B,C). This unexpected increase suggests that external factors or subtle genetic variations may affect neural architecture in NEX (+/+) mice. In the NaC, spine density was elevated in NEX(Cre/Cre) mice compared to C57BL/6J and NEX (+/+) mice, and in NEX (+/Cre) mice compared to C57BL/6J mice (Figure 4D), indicating possible gene dosage effects of Cre recombinase or NEX deletion. In the CPu, all NEX‐Cre groups exhibited reduced spine density relative to C57BL/6J mice (Figure 4E). In the LSD and LSI, spine density was increased in NEX (+/Cre) and NEX (+/+) mice, respectively, compared to C57BL/6J mice (Figure 4F,G). In the hippocampal CA1 region, NEX (Cre/Cre) mice displayed reduced spine density on both apical and basal dendrites, with the latter reduction more pronounced across groups (Figure 4H,I). In the BLA, no significant group differences were observed, although NEX (Cre/Cre) mice showed a trend toward lower spine density (Figure 4J).\nIn summary, dendritic spine density was altered in a region‐ and genotype‐dependent manner in NEX‐Cre mice, indicating changes in synaptic architecture across multiple circuits. While increases were observed in select areas (e.g., mPFC and parts of the septum), reductions were particularly consistent in the CPu and most pronounced in the hippocampal CA1 region of NEX (Cre/Cre) mice. In contrast, no significant differences were detected in the BLA. Together, these findings suggest strain‐ and genotype‐specific shifts in synaptic connectivity that may contribute to the behavioral phenotypes observed in NEX‐Cre animals.\n\n\n### Discussion\nNEX (Cre/Cre) mice exhibited behavioral abnormalities, including increased exploration, hyperactivity, circling behavior, and reduced self‐grooming. These findings align with previous reports linking NEX knockout models to hyperlocomotion (Berg 2019; Mikhailova 2007). In contrast, NEX (+/Cre) mice showed no such abnormalities, suggesting compensation for NEX haploinsufficiency. Circling behavior, a stereotypy associated with basal ganglia dysfunction and dopaminergic dysregulation, and reduced self‐grooming, a behavior modulated by forebrain circuits, indicate disrupted neural systems in NEX (Cre/Cre) mice. Given that grooming is also an important measure in models of OCD and autism spectrum disorders (Kalueff et al. 2016), its absence may reflect broader neuropsychiatric‐like alterations, though motivational or competitive factors cannot be ruled out (Fitzgerald et al. 1991).\nReduced anxiety‐like behavior in NEX (Cre/Cre) mice is consistent with previous findings using the same model (Berg 2019), but contrasts with studies on NEX knockout mice lacking Cre expression (Mikhailova 2007), suggesting that Cre recombinase expression, in addition to NEX deletion, may influence the phenotype. However, it is important to note that the reduced anxiety levels observed in NEX (Cre/Cre) mutants may arise as a secondary effect of their hyperactivity like behavioral traits during anxiety related tests. Specifically, their increased presence in open areas, commonly interpreted as reduced anxiety, could instead reflect heightened locomotor activity rather than a genuine reduction in anxiety. Conversely, the increased locomotion observed in NEX(Cre/Cre) mutants could also be a direct result of reduced anxiety.\nNo major abnormalities in social interaction were observed across groups, though caution is warranted due to methodological limitations of the SI test, which may miss subtle social deficits. Future studies could employ more refined approaches, such as three‐chamber tests or machine learning‐based tracking (e.g., SLEAP (Pereira et al. 2022)), to capture detailed social behavior.\nIn the sucrose preference test, NEX (Cre/Cre) mice did not differ from C57BL/6J controls, indicating preserved sucrose preference relative to the true wild‐type background. In contrast, NEX (+/+) and NEX (+/Cre) mice showed reduced sucrose preference compared to C57BL/6J, and NEX (Cre/Cre) mice differed from their littermates. However, the absence of a clear shift relative to C57BL/6J argues against a robust anhedonia‐like phenotype. Instead, the increased overall fluid intake in NEX (Cre/Cre) mice points to altered consummatory drive, consistent with recent studies linking NEX‐positive VTA mDA neurons to consummatory aspects of reward‐related behavior (Bimpisidis et al. 2019, 2023).\nDespite mild and heterogeneous behavioral abnormalities in NEX‐Cre mice, SVM‐based classification successfully predicted genotypes using EPM and OFT data. While PCA and t‐SNE did not reveal a clear behavioral cluster, SVM achieved high accuracy, particularly for NEX (Cre/Cre) mice, consistent with their pronounced phenotype. Notably, the SVM also differentiated NEX (+/+) and (+/Cre) mice from C57BL/6J controls, revealing subtle behavioral traits in these genotypes. This challenges the assumption that NEX (+/Cre) mice fully compensate for haploinsufficiency.\nFurthermore, distinguishing NEX (+/+) from C57BL/6J mice—despite identical genetic backgrounds—suggests possible maternal effects from NEX (+/Cre) dams, warranting future cross‐fostering studies. In contrast, genotype classification based on social interaction data failed (Figure S4), likely due to the limited behavioral parameters assessed.\nOverall, our findings highlight motor and cognitive components in the hyperactivity‐like behavior of NEX (Cre/Cre) mice and reveal genotype‐specific traits in NEX (+/+) and (+/Cre) mice, emphasizing the influence of genetic background on behavior.\nConsistent with established best practice in mouse genetics, our findings highlight that comparisons between a transgenic line and a separately bred inbred strain (such as C57BL/6J) are primarily descriptive and should not be used as a substitute for analyses based on wild‐type littermates. In particular, the observation that NEX (+/+) littermates do not phenotypically match C57BL/6J mice underscores the importance of using littermate controls rather than independently maintained or purchased C57BL/6J animals when interpreting genotype‐related effects.\nGiven the behavioral abnormalities observed in NEX‐Cre mice, we assessed dendritic spine density as a structural correlate of altered circuit function. Across regions, spine changes were strongly genotype‐ and circuit‐dependent, suggesting that Nex manipulation affects synaptic architecture in a nonuniform manner. In the NaC, increased spine density across NEX‐Cre genotypes suggests altered reward‐related circuitry, although behavioral outcomes did not follow a uniform pattern. Importantly, C57BL/6J mice represent the true wild‐type background control, and sucrose preference in NEX (+/+) animals was not significantly different from this baseline, indicating largely preserved consummatory behavior. In contrast, NEX (Cre/Cre) mice exhibited higher sucrose preference relative to NEX (+/+) and NEX (+/Cre) littermates despite showing the most pronounced increase in spine density. Together, these findings indicate that NaC spine density changes may contribute to altered reward processing, but their behavioral consequences appear genotype‐dependent and cannot be explained by a single mechanism across groups. Increased NaC spine density has been linked to anhedonia‐like behavior in chronic stress models (Bessa et al. 2013); however, our results suggest that similar structural changes may be associated with distinct behavioral outcomes depending on genotype and context.\nIn contrast, spine density was consistently reduced in the CPu across all NEX‐Cre groups, indicating a shared structural phenotype in striatal motor circuits (Grahn et al. 2008; Langen et al. 2011; Obeso and Lanciego 2011). However, overt motor abnormalities were largely restricted to NEX (Cre/Cre) mice, implying compensatory mechanisms in NEX (+/+) and NEX (+/Cre) animals that buffer functional consequences. In addition, motor behavior is shaped by distributed cortico–basal ganglia–thalamic and dopaminergic circuits, and alterations in other motor‐related regions may therefore contribute to the genotype‐specific behavioral differences observed here. The most pronounced reductions were observed in hippocampal CA1 dendrites of NEX (Cre/Cre) mice, consistent with the strong endogenous NEX expression in hippocampal circuits (Schwab et al. 1998) and potentially linked to previously reported cognitive impairments in NEX loss‐of‐function models (Mikhailova 2007). More selective, subregion‐specific increases in the lateral septum further support the idea of context‐dependent synaptic remodeling, possibly reflecting compensatory stabilization under partial NEXperturbation. Finally, the absence of significant spine density changes in the BLA suggests that anxiety‐related behavioral alterations in NEX (Cre/Cre) mice may arise from circuit mechanisms not captured by spine density alone.\nTogether, these findings highlight complex and region‐specific synaptic adaptations in NEX‐Cre mice that may contribute to the observed behavioral phenotypes, while also emphasizing that spine density changes can be compensatory or secondary rather than strictly causal. Future work combining spine morphology, circuit‐level connectivity, and functional readouts will be essential to clarify how NEX manipulation reshapes neural computations underlying reward, motor control, and cognition.\nNEX is primarily expressed in glutamatergic principal neurons, and its haploinsufficiency or knockout may impair glutamatergic pathways, contributing to hyperactivity‐like behaviors. NEX is also expressed early during development (E14.5) in a subset of VTA dopaminergic (mDA) neurons projecting to the lateral septum (LS) and nucleus accumbens shell, regions involved in motor control and reward processing (Khan et al. 2017; Kramer et al. 2021, 2018; Bimpisidis et al. 2019, 2023; Dumas and Wallén‐Mackenzie 2019). NEX knockout studies demonstrate a reduction in VTA mDA neuron numbers, underscoring its essential role in dopaminergic development and survival (Khan et al. 2017).\nThe NEX‐Cre mouse model has been widely used to investigate neuronal development, signaling, and behavior (Bimpisidis et al. 2019, 2023; Mulder et al. 2008; Dedic et al. 2018; Keil et al. 2020; Karapinar et al. 2021; Miyoshi et al. 2021; Steubler et al. 2021; Loganathan et al. 2024) and has facilitated the creation of advanced genetic tools, such as the DAT‐P2A‐Flpo line for targeting NEX‐positive dopaminergic subpopulations (Kramer et al. 2021). However, the utility of NEX‐Cre mice depends on thorough characterization of their baseline phenotypes, as unrecognized behavioral or structural alterations could confound interpretations.\nImportantly, knock‐in of Cre recombinase itself can induce ectopic gene expression, DNA damage, and behavioral abnormalities such as hyperactivity and impulsivity, independent of the targeted gene deletion (Schmidt et al. 2000; Desor et al. 2024; Lammel et al. 2015; Lindeberg et al. 2004; Kurachi et al. 2019). These side effects are often dose‐dependent and highlight the necessity of including appropriate Cre‐only controls with matched allele numbers in both behavioral and cellular studies. Relying solely on behavioral normality to exclude cellular or structural abnormalities is problematic, as subtle phenotypes may be overlooked.\nAlthough inducible Cre systems (e.g., tamoxifen‐inducible) or viral strategies (e.g., CamKII promoters) offer alternatives to minimize developmental disturbances, they also have limitations. Thus, rigorous control strategies and advanced analytical approaches are crucial to accurately separate Cre‐related effects from true gene‐specific phenotypes, improving the reliability and interpretability of studies using Cre/loxP models.\nAn important finding of the present study is the lack of meaningful behavioral or structural differences between wild‐type NEX(+/+) and heterozygous NEX (Cre/+) mice. This observation indicates that a single functional NEX allele is sufficient to maintain normal behavioral performance and spine density and suggests that Cre recombinase expression from the NEX locus does not induce detectable nonspecific effects. Together, these results provide empirical support for the widely used practice of employing heterozygous NEX (Cre/+) mice in circuit‐specific genetic studies and reinforce the interpretation that neither loss of one NEX allele nor Cre expression from the NEX locus confounds phenotypic analyses under the conditions examined. An important limitation of the present work is the relatively broad age range of the animals (2–9 months), which may have contributed to inter‐individual variability in both behavioral measures and spine density. Future studies are also needed to determine whether the observed structural and behavioral alterations in NEX‐Cre mice extend to females, providing a more complete understanding of this model.\nOverall, these considerations emphasize that careful experimental design, including comprehensive phenotypic validation, is essential when using NEX‐Cre mice or related models to ensure accurate conclusions about gene function and neuronal circuitry.\n\n\n### Hyperlocomotion, Reduced Anxiety‐Like Behavior, Motor Dysfunctions, and Anhedonic‐Like Behavior in NEX(Cre/Cre) Mice\nNEX (Cre/Cre) mice exhibited behavioral abnormalities, including increased exploration, hyperactivity, circling behavior, and reduced self‐grooming. These findings align with previous reports linking NEX knockout models to hyperlocomotion (Berg 2019; Mikhailova 2007). In contrast, NEX (+/Cre) mice showed no such abnormalities, suggesting compensation for NEX haploinsufficiency. Circling behavior, a stereotypy associated with basal ganglia dysfunction and dopaminergic dysregulation, and reduced self‐grooming, a behavior modulated by forebrain circuits, indicate disrupted neural systems in NEX (Cre/Cre) mice. Given that grooming is also an important measure in models of OCD and autism spectrum disorders (Kalueff et al. 2016), its absence may reflect broader neuropsychiatric‐like alterations, though motivational or competitive factors cannot be ruled out (Fitzgerald et al. 1991).\nReduced anxiety‐like behavior in NEX (Cre/Cre) mice is consistent with previous findings using the same model (Berg 2019), but contrasts with studies on NEX knockout mice lacking Cre expression (Mikhailova 2007), suggesting that Cre recombinase expression, in addition to NEX deletion, may influence the phenotype. However, it is important to note that the reduced anxiety levels observed in NEX (Cre/Cre) mutants may arise as a secondary effect of their hyperactivity like behavioral traits during anxiety related tests. Specifically, their increased presence in open areas, commonly interpreted as reduced anxiety, could instead reflect heightened locomotor activity rather than a genuine reduction in anxiety. Conversely, the increased locomotion observed in NEX(Cre/Cre) mutants could also be a direct result of reduced anxiety.\nNo major abnormalities in social interaction were observed across groups, though caution is warranted due to methodological limitations of the SI test, which may miss subtle social deficits. Future studies could employ more refined approaches, such as three‐chamber tests or machine learning‐based tracking (e.g., SLEAP (Pereira et al. 2022)), to capture detailed social behavior.\nIn the sucrose preference test, NEX (Cre/Cre) mice did not differ from C57BL/6J controls, indicating preserved sucrose preference relative to the true wild‐type background. In contrast, NEX (+/+) and NEX (+/Cre) mice showed reduced sucrose preference compared to C57BL/6J, and NEX (Cre/Cre) mice differed from their littermates. However, the absence of a clear shift relative to C57BL/6J argues against a robust anhedonia‐like phenotype. Instead, the increased overall fluid intake in NEX (Cre/Cre) mice points to altered consummatory drive, consistent with recent studies linking NEX‐positive VTA mDA neurons to consummatory aspects of reward‐related behavior (Bimpisidis et al. 2019, 2023).\n\n\n### Behavioral Classification by SVM\nDespite mild and heterogeneous behavioral abnormalities in NEX‐Cre mice, SVM‐based classification successfully predicted genotypes using EPM and OFT data. While PCA and t‐SNE did not reveal a clear behavioral cluster, SVM achieved high accuracy, particularly for NEX (Cre/Cre) mice, consistent with their pronounced phenotype. Notably, the SVM also differentiated NEX (+/+) and (+/Cre) mice from C57BL/6J controls, revealing subtle behavioral traits in these genotypes. This challenges the assumption that NEX (+/Cre) mice fully compensate for haploinsufficiency.\nFurthermore, distinguishing NEX (+/+) from C57BL/6J mice—despite identical genetic backgrounds—suggests possible maternal effects from NEX (+/Cre) dams, warranting future cross‐fostering studies. In contrast, genotype classification based on social interaction data failed (Figure S4), likely due to the limited behavioral parameters assessed.\nOverall, our findings highlight motor and cognitive components in the hyperactivity‐like behavior of NEX (Cre/Cre) mice and reveal genotype‐specific traits in NEX (+/+) and (+/Cre) mice, emphasizing the influence of genetic background on behavior.\nConsistent with established best practice in mouse genetics, our findings highlight that comparisons between a transgenic line and a separately bred inbred strain (such as C57BL/6J) are primarily descriptive and should not be used as a substitute for analyses based on wild‐type littermates. In particular, the observation that NEX (+/+) littermates do not phenotypically match C57BL/6J mice underscores the importance of using littermate controls rather than independently maintained or purchased C57BL/6J animals when interpreting genotype‐related effects.\n\n\n### Spine Density Alterations in NEX‐Cre Mice\nGiven the behavioral abnormalities observed in NEX‐Cre mice, we assessed dendritic spine density as a structural correlate of altered circuit function. Across regions, spine changes were strongly genotype‐ and circuit‐dependent, suggesting that Nex manipulation affects synaptic architecture in a nonuniform manner. In the NaC, increased spine density across NEX‐Cre genotypes suggests altered reward‐related circuitry, although behavioral outcomes did not follow a uniform pattern. Importantly, C57BL/6J mice represent the true wild‐type background control, and sucrose preference in NEX (+/+) animals was not significantly different from this baseline, indicating largely preserved consummatory behavior. In contrast, NEX (Cre/Cre) mice exhibited higher sucrose preference relative to NEX (+/+) and NEX (+/Cre) littermates despite showing the most pronounced increase in spine density. Together, these findings indicate that NaC spine density changes may contribute to altered reward processing, but their behavioral consequences appear genotype‐dependent and cannot be explained by a single mechanism across groups. Increased NaC spine density has been linked to anhedonia‐like behavior in chronic stress models (Bessa et al. 2013); however, our results suggest that similar structural changes may be associated with distinct behavioral outcomes depending on genotype and context.\nIn contrast, spine density was consistently reduced in the CPu across all NEX‐Cre groups, indicating a shared structural phenotype in striatal motor circuits (Grahn et al. 2008; Langen et al. 2011; Obeso and Lanciego 2011). However, overt motor abnormalities were largely restricted to NEX (Cre/Cre) mice, implying compensatory mechanisms in NEX (+/+) and NEX (+/Cre) animals that buffer functional consequences. In addition, motor behavior is shaped by distributed cortico–basal ganglia–thalamic and dopaminergic circuits, and alterations in other motor‐related regions may therefore contribute to the genotype‐specific behavioral differences observed here. The most pronounced reductions were observed in hippocampal CA1 dendrites of NEX (Cre/Cre) mice, consistent with the strong endogenous NEX expression in hippocampal circuits (Schwab et al. 1998) and potentially linked to previously reported cognitive impairments in NEX loss‐of‐function models (Mikhailova 2007). More selective, subregion‐specific increases in the lateral septum further support the idea of context‐dependent synaptic remodeling, possibly reflecting compensatory stabilization under partial NEXperturbation. Finally, the absence of significant spine density changes in the BLA suggests that anxiety‐related behavioral alterations in NEX (Cre/Cre) mice may arise from circuit mechanisms not captured by spine density alone.\nTogether, these findings highlight complex and region‐specific synaptic adaptations in NEX‐Cre mice that may contribute to the observed behavioral phenotypes, while also emphasizing that spine density changes can be compensatory or secondary rather than strictly causal. Future work combining spine morphology, circuit‐level connectivity, and functional readouts will be essential to clarify how NEX manipulation reshapes neural computations underlying reward, motor control, and cognition.\n\n\n### Genetical Background and Behavior\nNEX is primarily expressed in glutamatergic principal neurons, and its haploinsufficiency or knockout may impair glutamatergic pathways, contributing to hyperactivity‐like behaviors. NEX is also expressed early during development (E14.5) in a subset of VTA dopaminergic (mDA) neurons projecting to the lateral septum (LS) and nucleus accumbens shell, regions involved in motor control and reward processing (Khan et al. 2017; Kramer et al. 2021, 2018; Bimpisidis et al. 2019, 2023; Dumas and Wallén‐Mackenzie 2019). NEX knockout studies demonstrate a reduction in VTA mDA neuron numbers, underscoring its essential role in dopaminergic development and survival (Khan et al. 2017).\nThe NEX‐Cre mouse model has been widely used to investigate neuronal development, signaling, and behavior (Bimpisidis et al. 2019, 2023; Mulder et al. 2008; Dedic et al. 2018; Keil et al. 2020; Karapinar et al. 2021; Miyoshi et al. 2021; Steubler et al. 2021; Loganathan et al. 2024) and has facilitated the creation of advanced genetic tools, such as the DAT‐P2A‐Flpo line for targeting NEX‐positive dopaminergic subpopulations (Kramer et al. 2021). However, the utility of NEX‐Cre mice depends on thorough characterization of their baseline phenotypes, as unrecognized behavioral or structural alterations could confound interpretations.\nImportantly, knock‐in of Cre recombinase itself can induce ectopic gene expression, DNA damage, and behavioral abnormalities such as hyperactivity and impulsivity, independent of the targeted gene deletion (Schmidt et al. 2000; Desor et al. 2024; Lammel et al. 2015; Lindeberg et al. 2004; Kurachi et al. 2019). These side effects are often dose‐dependent and highlight the necessity of including appropriate Cre‐only controls with matched allele numbers in both behavioral and cellular studies. Relying solely on behavioral normality to exclude cellular or structural abnormalities is problematic, as subtle phenotypes may be overlooked.\nAlthough inducible Cre systems (e.g., tamoxifen‐inducible) or viral strategies (e.g., CamKII promoters) offer alternatives to minimize developmental disturbances, they also have limitations. Thus, rigorous control strategies and advanced analytical approaches are crucial to accurately separate Cre‐related effects from true gene‐specific phenotypes, improving the reliability and interpretability of studies using Cre/loxP models.\nAn important finding of the present study is the lack of meaningful behavioral or structural differences between wild‐type NEX(+/+) and heterozygous NEX (Cre/+) mice. This observation indicates that a single functional NEX allele is sufficient to maintain normal behavioral performance and spine density and suggests that Cre recombinase expression from the NEX locus does not induce detectable nonspecific effects. Together, these results provide empirical support for the widely used practice of employing heterozygous NEX (Cre/+) mice in circuit‐specific genetic studies and reinforce the interpretation that neither loss of one NEX allele nor Cre expression from the NEX locus confounds phenotypic analyses under the conditions examined. An important limitation of the present work is the relatively broad age range of the animals (2–9 months), which may have contributed to inter‐individual variability in both behavioral measures and spine density. Future studies are also needed to determine whether the observed structural and behavioral alterations in NEX‐Cre mice extend to females, providing a more complete understanding of this model.\nOverall, these considerations emphasize that careful experimental design, including comprehensive phenotypic validation, is essential when using NEX‐Cre mice or related models to ensure accurate conclusions about gene function and neuronal circuitry.\n\n\n### Author Contributions\nKim Renken: conceptualization, writing – original draft, methodology, validation, writing – review and editing, formal analysis, visualization, investigation. Olivia Andrea Masseck: conceptualization, writing – original draft, writing – review and editing, software, supervision, resources, funding acquisition.\n\n\n### Disclosure\nDuring the preparation of this work, the author(s) used ChatGPT in order to improve language and to assist in designing the data analysis for the SVM. After using this tool or service, the author(s) reviewed and edited the content as needed and takes full responsibility for the content of the publication.\n\n\n### Conflicts of Interest\nOlivia Masseck is a Handling Editor of JNC.\n\n\n### Supporting information\nAppendix S1: jnc70401‐sup‐0001‐AppendixS1.pdf.", "domain": "affective_neuroscience"}
{"source": "PMC12962366", "title": "Targeting the cholinergic and endocannabinoid systems as a therapeutic intervention for core and associated phenotypes in the autism model; a systematic review", "text": "# Targeting the cholinergic and endocannabinoid systems as a therapeutic intervention for core and associated phenotypes in the autism model; a systematic review\n\n## Abstract\nAutism spectrum disorder (ASD) is a neurodevelopmental disorder that has been linked to dysregulation in the cholinergic and endocannabinoid (EC) systems. This study systematically reviews the present literature on treatment strategies aimed at enhancing the activity of both systems in ASD models. We performed a systematic evaluation of literatures that investigated the effects of different therapeutic interventions on the components of the cholinergic and EC systems in ASD models, following the guidelines provided by the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) checklist. Four databases were searched: Google Scholar, Web of science, EMBASE, and MEDLINE/PubMed, for articles published from August 2012 to February 2023. References cited in the selected research papers were also examined. Twelve papers (five on the cholinergic system, six on the EC system, and one on both) were reviewed in this study of prior work on relevant treatment strategies that impact these systems. The paper cites a total of 77 studies. The majority of research revealed that different therapeutic interventions downregulated cannabinoid 1 (CB1) receptors, and the system’s hydrolyzing enzymes and upregulated EC, alpha 7 nicotinic acetylcholine receptor (α7-nAChR), and ACh signaling molecules. Regulation of the components of the cholinergic and EC systems by these therapies generally enhanced behaviors in ASD models. It is possible that the therapeutic interventions assessed in one or both of these systems may be effective for treating the core ASD-associated phenotype. The benefits of the therapeutic interventions reviewed in this study merit further investigation in randomized, blinded, placebo-controlled clinical trials.\n\n## Full Text\n\n\n### Introduction\nThe diagnosis of autism spectrum disorder (ASD), a neurodevelopmental disorder that affects social communication and interaction throughout life, is marked by limited and/or repetitive interests and/or behaviors that first appear before the age of three.1 ASD now includes a number of disorders that were grouped together under the category of pervasive developmental disorders (PDDs) in the first generation of medical classifications. However, because it is a spectrum condition, there is also a high degree of heterogeneity in its phenotypic manifestations, which are linked to a wide range of intellectual and language development levels, intra-individual differences in cognitive profiles, and a history of comorbidity with other developmental disorders and psychiatric conditions.2,3 According to Rogala et al.4 and Yasuda et al.,1 autism is a diverse condition with a complex etiology involving many different elements, including genetic, epigenetic, environmental, and immunological components.\nThe cholinergic and endocannabinoid (EC) systems’ neurological signals constitute the body’s vast regulatory network, which keeps physiology and homeostasis in check. ASD has been linked to dysregulated EC and cholinergic systems.5-7 Many physiological processes and neuroadaptive reactions depend critically on the cholinergic system and the EC system. These are involved in numerous stages of brain development and encompasses nociception, reward, learning and memory, movement control, and endocrine function.8,9 Acetylcholine (ACh) and ECs influence synaptic transmission and plasticity in the central nervous system (CNS) by modulating neurotransmission. By activating type 1 cannabinoid receptors (CB1Rs), which are predominantly found at presynaptic locations, and nicotinic acetylcholine receptors (nAChRs), these neurotransmitters specifically control the release of both excitatory and inhibitory neurotransmitters.10,11 The idea of a bidirectional crosstalk between the nicotinic cholinergic and EC systems has gained support over time from a growing body of preclinical research. In multiple brain areas, nAChRs and CB1Rs exhibit close overlap and are widely expressed in the CNS.12,13 When nicotine and delta-9-tetrahydrocannabinol (Δ9-THC), the main psychoactive components of tobacco and cannabis, respectively, are given to animals, they cause a number of common pharmacological effects, including hypothermia, induction of anti-nociception, rewarding effects, dependence, and impairment of locomotion.14\nOne common neuromodulatory system is the EC system. This system has a significant impact on development of the CNS, synaptic plasticity, and the body’s reaction to internal and external stressors.15 The EC system is made up of endogenous cannabinoids (ECs), cannabinoid receptors, and the enzymes that synthesize and degrade ECs.15 Although CB1Rs are the most dominant kind of cannabinoid receptors, some cannabinoids also activate CB2 receptors, transient receptor potential (TRP) channels, and peroxisome proliferator-activated receptors (PPARs). Cannabinoid receptor interactions enable exogenous cannabinoids, such as tetrahydrocannabinol and cannabidiol, to exert their biological effects. The two endogenous cannabinoids that have been investigated the most are 2-arachidonoyl glycerol (2-AG) and arachidonoyl ethanolamide (AEA- anandamide).15 Many neurological illnesses are attributed to etiologies involving changes in EC system functionality.16 The observation that the EC system is highly involved in regulation of social and emotional reactivity as well as in modulation of behaviors that are frequently altered in ASD, such as learning and memory processes, seizure susceptibility, and circadian rhythm regulation, provides indirect evidence of this system’s involvement in ASD.17,18 Different autism models exhibit significant decreases in the levels of AEA and 2-AG,19 while valproic acid (VPA)-exposed autistic animals showed abnormal phosphorylation of the CB1Rs in the dorsal striatum, hippocampus, and amygdala.20\nGiven the large density of cholinergic synapses found in the neocortex, limbic system, thalamus, and striatum, it is likely that cholinergic transmission plays a key role in memory, learning, attention, and other higher-order brain functions.21 Numerous research directions point to additional cholinergic system functions in the general homeostasis and plasticity of the brain. As a result, current research on cognitive and social deficiencies heavily relies on the brain’s cholinergic system.21 The neurotransmitter molecule ACh, acetylcholine receptors (AChRs), choline acetyltransferase (ChAT), and acetylcholinesterase (AChE) are all components of the cholinergic system. These molecules play dual roles in the brain, acting as neurotransmitters and neuromodulators. They are crucial for arousal, motivation, memory, attention, and homeostasis maintenance. In response to neuronal inputs, the majority of innate and adaptive brain cells release or express these molecules on their surfaces. ASD-related core behavioral deficits may result from dysregulation of this neural system communication. A number of preclinical ASD animal models seem to have dysregulated cholinergic systems.6,7 Meyza and Blanchard22 describe the BTBR mouse model for ASD, which is an inbred mouse strain that has an Itpr3 gene deletion. Mice with BTBR exhibit abnormal nicotinic cholinergic neurotransmission, repetitive behaviors, and social communication problems.23 In BTBR mice, nicotine treatment reduced these distinctive behaviors associated with ASD.23 Similar results were observed when donepezil, an AChE inhibitor, was given to BTBR mice in another study.24\nTargeting the cholinergic and EC system, a number of agonists, antagonists, and inhibitors have been developed to help with the fundamental behavioral deficits associated with ASD. This review will address the various therapeutic interventions for dysregulated cholinergic and EC systems in ASD, offering a comprehensive and current systematic overview of the literature on potential therapies that could improve the activities of the cholinergic and EC systems in ASD. Which molecules influence the defective behaviors in animal models of ASD, and which agonists and antagonists affect the components of the cholinergic and EC systems? Improved methods for regulating these systems in ASD may result from a greater understanding of the varied roles played by pharmacological compounds and other behavioral therapy approaches.\n\n\n### Methods\nWe conducted our systematic literature review in December 2023 using the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) approach. This was the guideline for approval of the study by the review and research ethics committee at the Department of Anatomy, College of Medicine, University of Nigeria, Enugu Campus.\nThe following questions were asked to guide the review: 1) How safe and effective were the treatments, and how well did they enhance the components of the cholinergic and EC systems? 2) What impact did the therapies have on behavioral deficits linked to the systems’ activities in the ASD models? 3) Which key methods were used to assess the improvement in behavior?\nFour databases were searched: Google Scholar, Web of Science, EMBASE, and MEDLINE/PubMed. The search strategy for the databases was developed based on terms found in the title or abstract, using descriptors related to the EC and cholinergic systems (the systems’ receptors, signaling molecules, and enzymes) as well as descriptors related to autism (autistic, autism, Asperger, transgenic autism, BTBR mouse model, sodium valproate autism model, and pervasive developmental disorder). Articles in any language were considered in the analysis of eligibility; no language restrictions were imposed during the selection process. The search operators “AND” and “OR” were used, in addition to enclosing descriptors in quotation marks. Terms linked to cholinergic, EC system, ASD, autistic animal model, and autism were clustered together using the “OR” operator. These two groups of linked sentences were then combined using the “AND” operator.\nPapers published between August 2012 and February 2023 that satisfied the inclusion requirements were selected. Book chapters, abstracts, studies on animals, and studies on other illnesses or alterations associated with symptoms and indicators similar to those shown in the autism model were all disregarded as irrelevant to the subject. Articles discussing enhancers, agonists, or antagonists of the cholinergic and EC system components of ASD models were considered in this study.\nThe first screening was done by reading the abstracts and titles of the papers that were found in the database searches. Articles that were deemed appropriate for the proposed topic were then read in full. Following the screening procedure, we examined the papers’ references to determine if any additional relevant research met the eligibility requirements. Three authors independently and concurrently carried out the search and one experienced author vetted the selected articles. The most knowledgeable and experienced author made the final decision about whether or not to include a given study, always making sure to verify the qualifying requirements. A total of 17, 12, eight, six, and five articles were found by searches conducted on the MEDLINE/PubMed, Google Scholar, Web of Science, and EMBASE databases and in the reference lists of the reviewed papers, respectively. These were reduced to 9, 2, and 1 items, respectively, by exclusion of those that did not meet the inclusion criteria. After additional screening, 12 papers were found to entirely match the inclusion criteria.\nThe method for extracting data from the trials involved completing a standardized information sheet for each. After three reviewers had extracted the scientific information, a fourth reviewer verified the data that had been gathered. Any disagreements were discussed and decided upon by the reviewers and writers.\n\n\n### Result\nThe initial search results identified 48 articles. Initial screening disqualified 36 studies for failing to meet the inclusion criteria, either because they did not investigate any components of the cholinergic or EC systems, because they involved primary research on a non-specific ASD animal model, because they were studies looking into the therapeutic potentials of other brain signaling systems, or because they were investigations into the symptoms of other disorders and conditions that share some traits with the ASD animal model. Following this process, three articles from Google Scholar, nine articles from MEDLINE/PubMed, and one article from the references of reviewed papers were selected, while none of the articles from web of science and EMBASE were selected. Twelve papers in all were picked for the final analysis (Figure 1). The systematic review analyzed four, three, two, one, one, and one studies conducted in the United Arab Emirates, United States of America, China, Egypt, Ireland, and Italy, respectively.\nFigure 1Flowchart according to the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) illustrating selection of studies of targeting the cholinergic and endocannabinoid systems for therapeutic interventions for core autism spectrum disorder (ASD)-associated phenotypes in the ASD model: a systematic review.\nThis review identified several therapeutic interventions with a positive impact on the components of the EC system and the cholinergic system. E100, also known as H3 receptor antagonist and AChE inhibitor, was administered to VPA-C57BL/6 and BTBR autistic models. E100 downregulated AChE in the hippocampus of VPA-C57BL/6 and BTBR autistic models and upregulated anandamide, with no significant difference in the level of 2-AG when compared to untreated VPA-C57BL/6 and BTBR autistic models.25,26 The impact of E100 on the various components of the EC and cholinergic systems reversed the various phenotypes associated with the core ASD symptoms.25,26 E100 enhanced sociability and social novelty index, reduced the number of buried marbles, increased time spent in and the number of entries into the open arm, and decreased the percentage escalation of shredded nestlets.25,26 Cannabidivarin, JZLI84, and environmental enrichment, which are known to directly or indirectly modulate CB1Rs, were shown to down-regulate CB1Rs with a positive impact on social activities, cognition, and repetitive behaviors.27-29 JZLI84 downregulated CB2 receptors in the hippocampus and prefrontal cortex with decreased escape latency and time of platform crosses, increased sociability and novel preference index, decreased number of buried marbles, and decreased grooming time.28 Acetaminophen, URB59, and PF3845 are known as either direct or indirect modulators of CB1Rs and together with E100 increased the level of anandamide in specific regions of the brain,25,26,30-32 with acetaminophen (APAP) and URB59 enhancing social activities.30,31 MJN110, which is known to inhibit monoacylglycerol lipase (MAGL), increased the level of 2-AG in the prefrontal cortex with a significant decrease in the time spent in the open arm, a significant decrease in the number of entries, and a significant decrease in the time spent in the inner zone.32 URB59, JZL184, and Cannabidivarin downregulated most of the enzymatic components of the EC system, enhancing social activities, cognition, and repetitive behaviors.27,28,31 In turn, URB59, JZL184, and Cannabidivarin downregulated fatty acid amide hydrolase (FAAH), and JZL184 and Cannabidivarin downregulated MAGL.27,28,31\nE100 and ST-2223, which are H3 receptor antagonists, together with curcumin, which is an allosteric modulator of α7-nAChR, canagliflozin, which is a sodium-glucose co-transporter type 2 (SGLT2) inhibitor, and duloxetine which belong to the class of serotonin and norepinephrine reuptake inhibitors (SNRIs), positively impacted various components of the cholinergic system with enhancement of social activities, anxiety, locomotion, and repetitive activities.25,26,33-36 Curcumin enhanced α7-nAChR in the hippocampus,33 while ST-2223 and canagliflozin increased the level of ACh in autistic animal models.34,36 The level of AChE was decreased in different autistic models by duloxetine and E100.25,26,35\nAutistic animal models treated with APAP and JZL184 exhibited no significant difference in expression of CB1Rs in the prefrontal cortex.28,30 Apparently, JZL184 enhanced cognition, social activities, and repetitive behaviors, while APAP enhanced social activities only.28,30 There were no significant differences in 2-AG in the forebrain, cerebellum, and prefrontal cortex of autistic animal models when treated with URB59, E100, and PF3845, respectively.25,26,31,32 While social activities were enhanced in the treatment with URB59 and E100,25,26,31 decreased repetitive behaviors and anxiety activities were recorded when autistic animal models were treated with E100.25,26 In the VPA-autistic animal model, there was no significant difference in N-acylphosphatidylethanolamine-specific phospholipase D (NAPE-PLD) in the hippocampus and prefrontal cortex when treated with JZL18428 and there was also no significant difference in NAPE-PLD in the hippocampus when treated with cannabidivarin.27 Also in the VPA-autistic animal model, FAAH and diacylglycerol lipase alfa (DAGLα) showed no significant difference in prefrontal cortex and hippocampus, specifically, when treated with JZL184 and cannabidivarin.27,28 Treatment of VPA-autistic animal models with JZL184 and cannabidivarin enhanced cognition, social activities, and repetitive behaviors.27,28\nAfter APAP is broken down into p-aminophenol, it readily passes through the blood-brain barrier and is changed into AM404 by FAAH, which increases the release of anandamide.37 Type 1 cannabinoid receptors (CB1R) are modulated by anandamide, environmental enrichment, and cannabidivarin.37-40 The enzyme FAAH, which increases the release of anandamide and modifies CB1R, is effectively and irreversibly inhibited by PF-3845 and URB59.41,42 MJN10 and JZL184 inhibit MAGL, which in turn modifies CB1R by increasing production of 2-AG.43-45 ST-2223 inhibits H3 receptors, which in turn inhibits dopamine receptors by increasing histamine levels.36 E100 functions as both an AChE inhibitor and an H3R antagonist.25,26 Curcumin modulates α7-nAChR allosterically,46,47 canagliflozin inhibits SGLT248; and duloxetine prevents SNR from being reabsorbed.49 The activities of ST-2223, E100, canagliflozin, and curcumin ultimately enhance ACh release, as illustrated in Figure 2.\nFigure 2The mechanism of actions of the studied therapeutic interventions and their phenotypic effects. 5-HT/NE = 5-hydroxytryptamine/noradrenaline; ACh = acetylcholine; AChE = acetylcholinesterase; AEA = arachidonoyl ethanolamide; CB1R = type 1 cannabinoid receptor; FAA = fatty acid amide; FAAH = fatty acid amide hydrolase; MAGL = monoacylglycerol lipase; SGLT2 = sodium-glucose co-transporter type 2; SNR = serotonin and norepinephrine reuptake inhibitor; α7-nAChR = alpha 7 nicotinic acetylcholine receptor.\nWhen it comes to the findings in this systematic review, our major focus was on research that assessed how different therapeutic interventions affected components of the EC and cholinergic systems in models of autism. The behavioral activities associated with each of the three core symptoms of ASD were also highlighted, to ascertain the phenotypic impact of the therapeutic interventions (Table 1).\nTable 1Studies selected for the systematic review of scientific investigations targeting the cholinergic and endocannabinoid systems as a therapeutic interventions for core autism associated phenotypesS/NTitle and authors Therapeutic intervention ASD modelAge/stage of the animal treatmentBrain regionsSignaling systemTherapeutic effect on ASD model signaling system compared to untreated ASD modelTherapeutic effect on ASD model behaviors compared to untreated ASD model1Acetaminophen differentially enhances social behavior and cortical cannabinoid levels in inbred mice Gould et al.30Acetaminophen (100 mg/kg)BTBRAdultPFCCB1RNon-significant differenceEnhanced social interaction and non-significant difference in the number of buried marblesAEAUpregulated         2Enhancement of anandamide-mediated endocannabinoid signaling corrects autism-related social impairment Wei et al.31URB59 (1 mg/kg)BTBRYoung adultForebrainAnandamideUpregulatedEnhanced social approach and non-significant difference in the time spent and the number of entries in open arm2-AGNon-significant differenceFAAHDownregulated         3Experimental studies indicate that ST-2223, the antagonist of histamine H3 and dopamine D2/D3 receptors, restores social deficits and neurotransmission dysregulation in mouse model of autism Eissa et al.36ST-2223 (5 mg/kg)BTBRAdultPFC, striatum, and hippocampusAChUpregulatedEnhanced social approach         4Curcumin potentiates α7 nicotinic acetylcholine receptors and alleviates autistic-like social deficits and brain oxidative stress status in mice Jayaprakash et al.33Curcumin (1 µM)BTBRAdultCA1 region of the hippocampusα7-nACh receptorsPotentiated α7-nACh receptorsEnhanced sociability and social preference index         5Duloxetine ameliorates valproic acid-induced hyperactivity, anxiety-like behavior, and social interaction deficits in zebrafish Joseph et al.35Duloxetine (4.5-6 dpf)VPA- zebrafishJuvenile- adultWhole brainAChEDownregulatedEnhancement of social activity and reduced anxiety behavior         6Canagliflozin alleviates valproic acid-induced autism in rat pups: Role of PTEN/PDK/PPAR-γ signaling pathways Elgamal et al.34Canagliflozin (10 mg/kg)VPA- Sprague-DawleyInfantCerebrum, and cerebellumAChUpregulatedEnhancement of social interaction and reduced anxiety behavior         7The dual-active histamine H3 receptor antagonist and acetylcholine esterase inhibitor E100 alleviates autistic-like behaviors and oxidative stress in valproic acid induced autism in mice Eissa et al.25E100 (10 mg/kg)VPA- C57BL/6JuvenileCerebellumAChEDownregulationEnhancement of social interaction and reduced number of buried marbles and anxiety behavior         8Simultaneous blockade of histamine H3 receptors and inhibition of acetylcholine esterase alleviate autistic-like behaviors in BTBR T+ tf/J mouse model of autism Eissa et al.26E100 (5 mg/kg)BTBRAdultCerebellumAChEDownregulationEnhanced social interaction, reduced number of buried marbles, reduced percentage escalation of shredded nestlet, and reduced anxiety behaviorAnandamideUpregulation2-AGNon-significant difference        Continued on next page9Cannabidivarin treatment ameliorates autism-like behaviors and restores hippocampal endocannabinoid system and glia alterations induced by prenatal valproic acid exposure in rats Zamberletti et al.27Cannabidivarin (20 mg/kg)VPA- Sprague Dawley ratsJuvenile- adultHippocampusCB1RDownregulatedEnhanced sociability and social preference. Enhanced short-term recognition memory and decreased grooming time.CB2RUpregulatedFAAHDownregulatedMAGLDownregulatedNAPE-PLDNon-significant differenceDAGLαNon-significant difference         10Effects of environmental enrichment and sexual dimorphism on the expression of cerebellar receptors in C57BL/6 and BTBR + Itpr3tf/J mice Monje-Reyna et al.29Environmental enrichment (1 h/day for 20 days)BTBRAdultCerebellumCB1RDownregulated          11Increasing endocannabinoid tone alters anxiety-like and stress coping behaviour in female rats prenatally exposed to valproic acid Thornton et al.32PF3845 (10 mg/kg)VPA-Sprague–Dawley ratsJuvenilePFCAnandamideUpregulatedNon-significant difference in the time spent in the open arm and non-significant difference in the number of entries and the time spent in inner zone of open field test2-AGNon-significant differenceMJN110 (5 mg/kg)VPA-Sprague-Dawley ratsJuvenilePFCAnandamideNon-significant differenceSignificant decrease in the time spent in the open arm and significant decrease in the number of entries and the time spent in inner zone2-AGUpregulated         12Alterations of the endocannabinoid system and its therapeutic potential in autism spectrum disorder Zou et al.28JZL184 (10mg/kg)VPA-Wistar ratsJuvenileHippocampusCB1RDownregulatedDecreased escape latency, and time of platform crosses in Morris water maze test. increased sociability and preferential index in social interaction. Decreased number of buried marbles in Marble burying test. Decreased grooming time in Self-grooming test.CB2RDownregulatedNAPE-PLDNo significant differenceFAAHDownregulatedDAGLDownregulatedMAGLUpregulatedPFCCB1RNo significant differenceCB2RDownregulatedNAPE-PLDNo significant differenceFAAHNo significant differenceDAGLDownregulatedMAGLDownregulated2-AG = 2-arachidonoylglycerol; ACh = acetylcholine; AChE = acetylcholinesterase; AEA = arachidonoyl ethanolamide; CB1R = type 1 cannabinoid receptor; CB2R = type 2 cannabinoid receptor; DAGLα = diacylglycerol lipase alfa; FAAH = fatty acid amide hydrolase; MAGL = monoacylglycerol lipase; NAPE-PLD = N-acylphosphatidylethanolamine-specific phospholipase D; PFC = prefrontal cortex; S/N = serial number; α7-nACh = α7 nicotinic acetylcholine receptor.\n2-AG = 2-arachidonoylglycerol; ACh = acetylcholine; AChE = acetylcholinesterase; AEA = arachidonoyl ethanolamide; CB1R = type 1 cannabinoid receptor; CB2R = type 2 cannabinoid receptor; DAGLα = diacylglycerol lipase alfa; FAAH = fatty acid amide hydrolase; MAGL = monoacylglycerol lipase; NAPE-PLD = N-acylphosphatidylethanolamine-specific phospholipase D; PFC = prefrontal cortex; S/N = serial number; α7-nACh = α7 nicotinic acetylcholine receptor.\n\n\n### Discussion\nThe etiology of autism is complex and involves a variety of factors, such as genetic, epigenetic, environmental, and immunological contributors, and has a heterogeneous nature.1,4 Abnormal changes in molecular signaling pathways, neuronal synapses, the immune environment, and functional brain connections are the ultimate manifestations of autism.50 An enormous regulatory network in the body maintains homeostasis and physiology through neuronal signals originating from the EC and cholinergic systems.5-7 ASD has been linked to dysregulated cholinergic and EC systems. In addition to their significant roles in various events in brain development, the cholinergic and EC system are also vital to a number of physiological processes and neuroadaptive responses, such as movement control, learning and memory, nociception, reward, and endocrine function.8,9\nRecent evidence from research on humans and animals refers to the EC system’s role in the etiology of ASD. Patients with ASD have been found to have reduced EC levels in their bloodstream as well as altered EC receptors and enzymes.5,51,52 Human evidence showing changes in many EC system components in the brains of hereditary and environmental models of autism is supported by animal studies.53-56 It has been observed that pharmacological manipulation of EC signaling can improve certain animal phenotypes associated with ASD.31,57-59 This suggests that targeting the EC system may be advantageous in mitigating the symptoms of ASD. In line with literature data, we found that cannabidivarin, environmental enrichment, and JZL184 reversed the excessively upregulated CB1Rs in autistic animal models, with a positive impact on autistic behaviors.27-29 Acetaminophen, URB59, E100, PF3845, and MJN110 increased EC levels (anandamide) and ameliorated the associated autistic behaviors, except PF3845, which was associated with no significant differences in the assessed behavioral activities.25,26,30-32 Cannabidivarin, JZL184, and URB59 decreased the level of hydrolytic enzyme (FAAH), which is the enzyme responsible for hydrolysis of anandamide, while Cannabidivarin and JZL184 downregulated MAGL, which is a serine hydrolase that plays a crucial role in catalyzing hydrolysis of monoglyceride 2-AG into glycerol and fatty acids.27,28,31 Downregulation of EC system hydrolytic enzymes by cannabidivarin, JZL184, and URB59 enhanced cognition, social activities, and repetitive behaviors.27,28,31 The reversal of the control level of the components of the EC system reported in the reviewed literature indicates that the EC system is a strong therapeutic target for ameliorating core ASD phenotypes in clinical trials.\nThe results of this review indicate that pharmacological modulators of the EC system may offer therapeutic potential in ASD. The results of downregulating CB1Rs, increased degradation of EC hydrolytic enzymes, and compensatory upregulation of EC signaling molecules corroborated the reversal of ASD-associated phenotypes to the control level. The behavioral findings related to the EC system comprised reduced repetitive and stereotypical behaviors in the marble burying and self-grooming tests, reduced hyperactivity in the open field test, increased sociability and social preference in the three-chamber test, enhanced short-term recognition memory in the novel object recognition test, and improved cognitive functioning in the Morris water maze test. This review of research papers that assessed EC components is important to encourage identification of potential targets for improved therapeutic treatments in ASD.\nClinical investigations have indicated that abnormalities in brain cholinergic neurotransmission may be a major factor in the behavioral aspects associated with ASD.60 As a result, this review focused on how novel multiple-active test substances (curcumin, ST-2223, canagliflozin, duloxetine, and E100) modulate the cholinergic system’s brain components in ASD behavioral symptoms that are observed in both genetic and environmental models of autism.\nIn the animal model of ASD, a reduction in ACh leads to significant changes in grooming and rearing patterns of behavior and duration,61-63 a rise in repetitive-stereotyped movements over time,61,64 social deficits, and an increase in anxiety-like behaviors. Downregulation of ACh, believed to be a neurotransmitter involved in neuronal development in the brain,65 has been linked to behavioral alterations in autistic patients.66 In both human and animal ASD research, there was an increase in expression of the AChE protein.24,67 Kim et al.61 reported increased AChE expression in cultures treated with VPA. Research by Friedman et al.67 showed that there were changes in the level of choline-containing compounds in many brain regions of ASD patients.\nIn line with the papers reviewed in this study, curcumin potentiates α7-nAChRs and along with ST-2223 and canagliflozin increases the level of ACh, which ultimately alters the ASD-associated phenotypes by enhancing social activities.33,34,36 Specifically in the VPA-autistic Sprague- Drawley rat model treated with canagliflozin, reduced grooming and rearing, reduced time spent in the close arm, and increased time spent in the open arm were observed in the elevated plus maze test, while reduced locomotion and grooming and increased time spent in the central area were recorded in the open field test.34 AChE, which is an enzyme that catalyzes the breakdown of ACh, was downregulated in various autistic models after treatment with duloxetine and E100.25,26,35 Tests were conducted for behaviors associated with the ASD phenotype in autistic animal models treated with E100, demonstrating enhanced social activities, reduced number of buried marbles, increased time spent and number of entries in the open arm, and decreased percentage escalation of shredded nestlets.25,26 Several lines of evidence suggest that EC and nicotinic cholinergic systems are implicated in the regulation of different physiological processes,68 including cognition, social activities, anxiety, and repetitive behaviors. The existence of crosstalk between these two systems is substantiated by the overlapping distribution of cannabinoid and nAChRs in many brain structures.68\nThe primary phenotypes linked to ASD are shown by the dysregulated components of the cholinergic and EC system.5-7 The ability of CB1Rs to inhibit release of ACh, which is mediated by both AChRs, causes synaptic impairments in autism due to the abnormally excessive expression of CB1Rs in several brain regions. The way these systems interact lends credence to the theory that one of the mechanisms regulating synaptic activities in a number of neuropsychiatric disorders is the control of cholinergic activity through activation of CB1R.69 The brain’s excitatory-inhibitory balance is influenced by cholinergic signaling. Long-term potentiation (LTP), which promotes a depolarization state, is induced by nAChRs that are postsynaptically or presynaptically situated and can increase intracellular Ca2+ release to affect synaptic plasticity.70 It has been reported that autistic people have altered levels of nAChRs in several different brain areas.71 Moreover, the cerebellum, parietal, and frontal cerebral cortex showed reduced expression levels of α4β2 nAChRs among individuals with ASD.72-74 It was shown, however, that the granule cell layer of the cerebellum had elevated α7nAChR subunit expression, but Purkinje cells and the molecular cell layer did not show the same effect. Research by Ray et al.,75 however, found that the paraventricular nucleus (PV) and nucleus reuniens (Re) had decreased neuronal α7- and β2-nAChR IR-y, and that the PV had lost its α7 neuropil IR-y. The EC system maintains major significance among the neuromodulatory systems that regulate cholinergic neurotransmission. Alterations in EC signaling have been reported in postmortem human samples from autistic patients and in animal models of cognitive impairment and cholinergic lesion models.76 Numerous lines of evidence indicate that the neuropathological basis of psychiatric disorders as well as the regulation of other physiological processes, including reward, are associated with the EC and nicotinic cholinergic systems.77 The overlapping distribution of nicotinic ACh and cannabinoid receptors in many brain regions suggests an interaction between these two systems.77 As such, the nicotinic cholinergic and EC systems constitute a viable pharmacological target for development of effective therapeutic interventions to treat the neuropsychiatric phenotypes linked to autism. This review outlined the impact of therapeutic modulators targeting these systems for ameliorating the core symptoms of ASD and directing the development of therapeutic interventions with potential for crosstalk between the cholinergic and EC systems.\n\n\n### Therapeutic regulation of the EC system\nRecent evidence from research on humans and animals refers to the EC system’s role in the etiology of ASD. Patients with ASD have been found to have reduced EC levels in their bloodstream as well as altered EC receptors and enzymes.5,51,52 Human evidence showing changes in many EC system components in the brains of hereditary and environmental models of autism is supported by animal studies.53-56 It has been observed that pharmacological manipulation of EC signaling can improve certain animal phenotypes associated with ASD.31,57-59 This suggests that targeting the EC system may be advantageous in mitigating the symptoms of ASD. In line with literature data, we found that cannabidivarin, environmental enrichment, and JZL184 reversed the excessively upregulated CB1Rs in autistic animal models, with a positive impact on autistic behaviors.27-29 Acetaminophen, URB59, E100, PF3845, and MJN110 increased EC levels (anandamide) and ameliorated the associated autistic behaviors, except PF3845, which was associated with no significant differences in the assessed behavioral activities.25,26,30-32 Cannabidivarin, JZL184, and URB59 decreased the level of hydrolytic enzyme (FAAH), which is the enzyme responsible for hydrolysis of anandamide, while Cannabidivarin and JZL184 downregulated MAGL, which is a serine hydrolase that plays a crucial role in catalyzing hydrolysis of monoglyceride 2-AG into glycerol and fatty acids.27,28,31 Downregulation of EC system hydrolytic enzymes by cannabidivarin, JZL184, and URB59 enhanced cognition, social activities, and repetitive behaviors.27,28,31 The reversal of the control level of the components of the EC system reported in the reviewed literature indicates that the EC system is a strong therapeutic target for ameliorating core ASD phenotypes in clinical trials.\nThe results of this review indicate that pharmacological modulators of the EC system may offer therapeutic potential in ASD. The results of downregulating CB1Rs, increased degradation of EC hydrolytic enzymes, and compensatory upregulation of EC signaling molecules corroborated the reversal of ASD-associated phenotypes to the control level. The behavioral findings related to the EC system comprised reduced repetitive and stereotypical behaviors in the marble burying and self-grooming tests, reduced hyperactivity in the open field test, increased sociability and social preference in the three-chamber test, enhanced short-term recognition memory in the novel object recognition test, and improved cognitive functioning in the Morris water maze test. This review of research papers that assessed EC components is important to encourage identification of potential targets for improved therapeutic treatments in ASD.\n\n\n### Therapeutic regulation of the cholinergic system\nClinical investigations have indicated that abnormalities in brain cholinergic neurotransmission may be a major factor in the behavioral aspects associated with ASD.60 As a result, this review focused on how novel multiple-active test substances (curcumin, ST-2223, canagliflozin, duloxetine, and E100) modulate the cholinergic system’s brain components in ASD behavioral symptoms that are observed in both genetic and environmental models of autism.\nIn the animal model of ASD, a reduction in ACh leads to significant changes in grooming and rearing patterns of behavior and duration,61-63 a rise in repetitive-stereotyped movements over time,61,64 social deficits, and an increase in anxiety-like behaviors. Downregulation of ACh, believed to be a neurotransmitter involved in neuronal development in the brain,65 has been linked to behavioral alterations in autistic patients.66 In both human and animal ASD research, there was an increase in expression of the AChE protein.24,67 Kim et al.61 reported increased AChE expression in cultures treated with VPA. Research by Friedman et al.67 showed that there were changes in the level of choline-containing compounds in many brain regions of ASD patients.\nIn line with the papers reviewed in this study, curcumin potentiates α7-nAChRs and along with ST-2223 and canagliflozin increases the level of ACh, which ultimately alters the ASD-associated phenotypes by enhancing social activities.33,34,36 Specifically in the VPA-autistic Sprague- Drawley rat model treated with canagliflozin, reduced grooming and rearing, reduced time spent in the close arm, and increased time spent in the open arm were observed in the elevated plus maze test, while reduced locomotion and grooming and increased time spent in the central area were recorded in the open field test.34 AChE, which is an enzyme that catalyzes the breakdown of ACh, was downregulated in various autistic models after treatment with duloxetine and E100.25,26,35 Tests were conducted for behaviors associated with the ASD phenotype in autistic animal models treated with E100, demonstrating enhanced social activities, reduced number of buried marbles, increased time spent and number of entries in the open arm, and decreased percentage escalation of shredded nestlets.25,26 Several lines of evidence suggest that EC and nicotinic cholinergic systems are implicated in the regulation of different physiological processes,68 including cognition, social activities, anxiety, and repetitive behaviors. The existence of crosstalk between these two systems is substantiated by the overlapping distribution of cannabinoid and nAChRs in many brain structures.68\nThe primary phenotypes linked to ASD are shown by the dysregulated components of the cholinergic and EC system.5-7 The ability of CB1Rs to inhibit release of ACh, which is mediated by both AChRs, causes synaptic impairments in autism due to the abnormally excessive expression of CB1Rs in several brain regions. The way these systems interact lends credence to the theory that one of the mechanisms regulating synaptic activities in a number of neuropsychiatric disorders is the control of cholinergic activity through activation of CB1R.69 The brain’s excitatory-inhibitory balance is influenced by cholinergic signaling. Long-term potentiation (LTP), which promotes a depolarization state, is induced by nAChRs that are postsynaptically or presynaptically situated and can increase intracellular Ca2+ release to affect synaptic plasticity.70 It has been reported that autistic people have altered levels of nAChRs in several different brain areas.71 Moreover, the cerebellum, parietal, and frontal cerebral cortex showed reduced expression levels of α4β2 nAChRs among individuals with ASD.72-74 It was shown, however, that the granule cell layer of the cerebellum had elevated α7nAChR subunit expression, but Purkinje cells and the molecular cell layer did not show the same effect. Research by Ray et al.,75 however, found that the paraventricular nucleus (PV) and nucleus reuniens (Re) had decreased neuronal α7- and β2-nAChR IR-y, and that the PV had lost its α7 neuropil IR-y. The EC system maintains major significance among the neuromodulatory systems that regulate cholinergic neurotransmission. Alterations in EC signaling have been reported in postmortem human samples from autistic patients and in animal models of cognitive impairment and cholinergic lesion models.76 Numerous lines of evidence indicate that the neuropathological basis of psychiatric disorders as well as the regulation of other physiological processes, including reward, are associated with the EC and nicotinic cholinergic systems.77 The overlapping distribution of nicotinic ACh and cannabinoid receptors in many brain regions suggests an interaction between these two systems.77 As such, the nicotinic cholinergic and EC systems constitute a viable pharmacological target for development of effective therapeutic interventions to treat the neuropsychiatric phenotypes linked to autism. This review outlined the impact of therapeutic modulators targeting these systems for ameliorating the core symptoms of ASD and directing the development of therapeutic interventions with potential for crosstalk between the cholinergic and EC systems.\n\n\n### Conclusion\nAlteration of the brain components of the cholinergic and EC system is significant in ASD-related behavior, with the results of this review indicating that pharmacological modulators of the cholinergic and EC systems may offer therapeutic potential in ASD. Pre-clinical trials of the combinations of some of these therapeutic interventions are warranted to assess their effectiveness and safety.", "domain": "affective_neuroscience"}
{"source": "PMC12945384", "title": "ABSTRACTS FOR E-POSTERS", "text": "# ABSTRACTS FOR E-POSTERS\n\n## Abstract\n\n\n## Full Text\n\n\n### Basal cell carcinoma masquerading as panic disorder\nAabid Parvaiz, Abdul Majid\nSKIMS MCH, Srinagar, Jammu and Kashmir, India\nBackground: Panic disorder is a common anxiety disorder that typically responds to pharmacological and psychotherapeutic interventions. In cases where symptoms are resistant to treatment, it is essential to reassess the diagnosis and evaluate for underlying medical or organic causes that may contribute to psychiatric manifestations.\nCase Description: A 45-year-old male smoker, normo-tensive, non-diabetic, and euthyroid, presented with a two-year history of recurrent panic attacks. Despite adequate trials of standard psychotropic medications, the patient showed no significant clinical improvement. Laboratory evaluation revealed elevated hemoglobin levels (17 g/dL), for which therapeutic phlebotomy was performed considering secondary polycythemia. However, this intervention did not alleviate his panic symptoms.\nDuring physical examination, a lesion was noted on the dorsum of the nose. A skin punch biopsy of the lesion confirmed basal cell carcinoma. The patient underwent wide local excision of the lesion.\nOutcome: Following surgical excision, the patient exhibited a drastic and immediate improvement in panic attacks, with marked reduction in both frequency and severity.\nConclusion: This case highlights a possible association between basal cell carcinoma and treatment-resistant panic disorder, with complete resolution of symptoms following tumor excision. It underscores the importance of evaluating underlying medical conditions in refractory psychiatric presentations.\n\n\n### Organic mood disorder secondary to frontal lobe infarct: A diagnostic challenge\nAanchal Gupta\nNSCB Medical College and Hospital, Jabalpur, Madhya Pradesh, India\nBackground: Frontal lobe lesions may present with prominent disturbances in affect, speech, and behavior, often resembling primary psychiatric disorders. Right frontal lobe infarcts are particularly associated with apathy, reduced verbal output, impaired initiation, and mood changes. Recognizing such neuropsychiatric presentations is important for timely differentiation between organic and functional psychiatric conditions.\nCase Description: A 55-year-old male with poorly controlled diabetes mellitus presented with an abrupt episode of unawareness of his surroundings 15 days prior to evaluation. This was followed by persistent behavioral changes, including markedly decreased speech, low mood, reduced social interaction, diminished appetite, and prolonged periods of mutism. There was no previous psychiatric history. Mental status examination revealed apathy, blunted affect, psychomotor slowing, and deficits on frontal lobe tests such as impaired verbal fluency and difficulty in abstract thinking, while no focal motor deficits were observed. MRI brain demonstrated a subacute-on-chronic right frontal lobe infarct, consistent with his clinical presentation. Stroke management was initiated with antiplatelet therapy, statins, and glycemic optimization. A low-dose antidepressant was introduced along with psychoeducation. Gradual improvement in speech initiation and affective symptoms was noted on follow-up.\nConclusion: This case underscores the importance of considering frontal lobe pathology in patients presenting with sudden-onset mutism, apathy, and depressive symptoms, particularly among individuals with vascular risk factors. Neuroimaging plays a crucial role in distinguishing organic neuropsychiatric syndromes from primary psychiatric disorders, enabling timely and appropriate management.\n\n\n### Psychiatric sequelae of pituitary insufficiency: A case of psychosis in sheehan’s syndrome\nAastha Priyadarshi, Shinjini Choudhury, Rajeev Ranjan\nAIIMS, Patna, Bihar, India\nBackground: Sheehan’s syndrome, resulting from ischemic pituitary necrosis following severe postpartum haemorrhage, typically presents with features of hypopituitarism such as lactation failure, amenorrhea, hair loss, and generalized asthenia. Although endocrine and metabolic complications are well recognized, psychiatric manifestations, particularly psychosis, are rare and underreported.\nCase Report: This is a case of 35-year-old woman with no prior psychiatric history who developed amenorrhea and lactation failure after severe postpartum haemorrhage 15 years ago. Over time, she became socially withdrawn, suspicious that her husband was in an adulterous relationship, and develop persecution toward family members, with auditory hallucinations and somatic passivity experiences. She was later diagnosed with Sheehan’s syndrome but remained poorly adherent to hormone replacement therapy due to suspiciousness. Her psychotic symptoms progressively worsened, accompanied by generalized weakness, hair loss, edema, and recurrent hypoglycaemia. Previous trials of risperidone without concurrent hormone replacement yielded limited benefit. On current admission, she was restarted on both hormone replacement therapy and antipsychotics, leading to significant improvement in psychiatric and medical symptoms.\nConclusion: This case underscores the complex interplay between endocrine and psychiatric manifestations in Sheehan’s syndrome. Psychosis may persist or worsen when hormone replacement and antipsychotics are given sequentially rather than concurrently, as seen in our patient. The progressive course may also be influenced by autoimmune mechanisms. Improvement following combined treatment highlights the importance of multidisciplinary approach for optimal outcomes.\nKey words: Hormone replacement therapy, hypopituitarism, postpartum haemorrhage, psychosis, Sheehan’s syndrome\n\n\n### A case of temporal lobe epilepsy misdiagnosed as dementia – Insights from a complex clinical presentation\nAbhay Bazaz\nSantosh Medical College and Hospital, Ghaziabad, Uttar Pradesh, India\nBackground: Temporal lobe epilepsy (TLE) is the most common focal epilepsy and often presents with cognitive, behavioural, and psychiatric symptoms that overlap with neurodegenerative disorders such as dementia. Atypical features such as deja vu, hallucinations, episodic confusion, and memory disturbance can complicate diagnosis and lead to misclassification as dementia.\nAims: To highlight the diagnostic challenges in distinguishing TLE from dementia and to describe a case where episodic neurological and psychiatric symptoms initially attributed to dementia were more consistent with temporal lobe epilepsy.\nMethods: A detailed clinical evaluation and symptom analysis were performed on a 64 year old male with a prior diagnosis of dementia who presented with progressive forgetfulness, episodic confusion, sensory auras, transient loss of consciousness, and vivid dream-like experiences. The history and functional assessments were reviewed to differentiate between epileptic and neurodegenerative etiologies.\nResults: The patient exhibited recurrent, stereotyped episodes characterized by disorientation, repetitive questioning, brief unresponsiveness, which were preceded by a left-sided head sensation, which is more suggestive of focal seizures. Preservation of daily living skills and task sequencing argued against a dementia process. Psychiatric symptoms, including vivid hallucination-like dreams and suicidal ideation, further complicated the clinical picture but were consistent with TLE-associated behavioural disturbances.\nConclusion: This case demonstrates how TLE can closely mimic dementia due to overlapping cognitive and behavioural symptoms. It highlights how these phenomena may be misdiagnosed in an OPD setting. A thorough, multidisciplinary approach is essential for accurate differentiation, preventing misdiagnosis, and ensuring appropriate management and patient safety.\n\n\n### When pregnancy triggers psychosis: A case of first-trimester psychosis with somatic symptoms\nAbhay Bazaz\nSantosh Medical College and Hospital, Ghaziabad, Uttar Pradesh, India\nBackground: Psychosis arising in early pregnancy is uncommon and can be overlooked, particularly when accompanied by prominent somatic symptoms. Such presentations pose diagnostic challenges and can disrupt maternal well-being, sometimes leading to pregnancy termination. First-trimester psychosis remains underreported despite its significant clinical implications.\nAims: To describe a case of first-trimester psychosis associated with severe somatic pain in a woman with repeated pregnancy-related psychiatric manifestations, and to highlight the importance of early recognition and multidisciplinary assessment.\nMethods: A detailed clinical evaluation was conducted for a 32-year-old pregnant female presenting in her first trimester with somatic pain and acute psychotic symptoms. Medical investigations, psychiatric assessment, history, and review of prior pregnancy outcomes were used to establish the clinical pattern and differential considerations.\nResults: At five to six weeks of gestation, the patient experienced intense, diffuse abdominal pain accompanied by auditory hallucinations, disorganized thinking, and impaired reality testing. Medical and surgical workup found no organic basis for her pain or psychiatric symptoms. History revealed five previous pregnancies, each electively terminated following rapid first-trimester psychiatric deterioration. Her somatic complaints amplified distress and reinforced psychotic interpretations, consistent with a recurring pattern of pregnancy-triggered psychiatric instability.\nConclusion: This case illustrates the complex interaction between early pregnancy, somatic symptom intensification, and psychosis recurrence. Identifying first-trimester psychiatric manifestations, especially in individuals with a history of pregnancy-related relapses, is essential for timely risk assessment and coordinated multidisciplinary care. Increased awareness of this presentation will support earlier intervention and help guide individualized planning to improve maternal psychiatric stability.\n\n\n### Efficacy of pimavanserin in treating psychosis in patients vulnerable to extrapyramidal symptoms: A quasi-experimental interventional single arm study\nAbhijeet Anand, Shobit Garg\nSGRR Medical College and Research Hospital, Dehradun, Uttarakhand, India\nBackground: Managing psychosis in patients vulnerable to extrapyramidal symptoms (EPS) often becomes a balancing act where conventional antipsychotics risk worsening motor side effects. Pimavanserin, a selective 5-HT2A inverse agonist lacking dopaminergic activity, offers a potential path that avoids this trade-off.\nAim: To evaluate the efficacy of Pimavanserin in reducing psychotic symptoms in patients at risk of or experiencing EPS.\nMethods: A quasi-experimental single-arm study was conducted in the Psychiatry Department of Shri Mahant Indiresh Hospital over 8 weeks. Thirty adults with DSM-5 psychotic disorders and Modified Simpson-Angus Scale (MSAS) scores >3 were enrolled through convenient sampling. Baseline assessments included SAPS, SANS, AIMS, MSAS, and ECG. Participants received Pimavanserin 17 mg/day titrated to 34 mg/day. Post-treatment assessments were repeated at 8 weeks. Data were analyzed using paired t-tests or Wilcoxon tests according to distribution.\nResults: Of the 30 participants, 14 demonstrated clinically meaningful improvement in psychotic and EPS measures, 13 showed no significant improvement, and 3 dropped out. No major cardiac adverse events or intolerable side effects were observed.\nConclusion: Pimavanserin showed modest but clinically relevant benefits for nearly half of the participants, particularly those sensitive to EPS. While improvement was not universal, the drug’s favorable tolerability and non-dopaminergic mechanism suggest it may serve as a useful alternative for patients in whom traditional antipsychotics pose risks. Larger controlled studies are needed to clarify predictors of response and strengthen these preliminary findings.\n\n\n### Multisensory hallucinations in visually impaired elderly subjects\nAbhinav Pradeep, Neha Sharma\nArmed Forces Medical College, Pune, Maharashtra, India\nBackground: Charles Bonnet Syndrome (CBS) is classically characterized by complex visual hallucinations occurring in cognitively intact individuals with significant visual impairment. While visual hallucinations are the hallmark feature, atypical presentations involving non-visual sensory hallucinations and delusional elaboration are increasingly recognized but remain underreported, particularly in elderly populations. Such presentations frequently lead to diagnostic confusion with primary psychiatric or neurodegenerative disorders.\nAims: To describe atypical and multisensory presentations of Charles Bonnet Syndrome in visually impaired elderly individuals and to highlight associated diagnostic and therapeutic challenges.\nMethods: This case series describes three elderly female patients with significant visual impairment secondary to ocular pathology who presented with hallucinations. Comprehensive clinical evaluation included ophthalmological assessment, neurological examination, neuroimaging, electroencephalography where indicated, and cognitive screening using standardized tools. Psychiatric assessment focused on the phenomenology of hallucinations, level of insight, and presence of delusional beliefs. Patients were followed longitudinally after initiation of treatment.\nResults: All patients demonstrated preserved cognitive function with no evidence of primary psychiatric or neurological illness. Two patients exhibited classical complex visual hallucinations, while one presented predominantly with auditory hallucinations following cataract surgery. One patient developed prominent persecutory delusions accompanying visual hallucinations. Neuroimaging and neurological evaluations were unremarkable in all cases. Treatment with low-dose risperidone resulted in significant improvement and eventual resolution of hallucinations, with no recurrence following gradual tapering.\nConclusion: These cases broaden the clinical spectrum of Charles Bonnet Syndrome by illustrating multisensory and delusion-associated presentations. Awareness of such atypical manifestations is crucial to prevent misdiagnosis and unnecessary long-term antipsychotic treatment.\n\n\n### Prevalence and clinical correlates of metabolic syndrome in patients with anxiety disorders: A cross-sectional study from North India\nAbhishek Sharma, Sumit Rana, Shiv Prasad\nLady Hardinge Medical College, Delhi, India\nBackground: Anxiety disorders are highly prevalent psychiatric conditions associated with chronic stress responses that may predispose individuals to metabolic syndrome (MetS). Evidence on this association in the Indian population remains limited.\nObjectives: To assess the prevalence of metabolic syndrome and its clinical correlates among patients with anxiety disorders in North India.\nMethods: This descriptive cross-sectional study was conducted at the Department of Psychiatry and Drug De-addiction Centre, Lady Hardinge Medical College and Smt. S.K. Hospital, New Delhi, from April 2024 to September 2025. A total of 100 adults diagnosed with anxiety disorders as per ICD-11 DCR were included. Anxiety severity was assessed using the Hamilton Anxiety Rating Scale (HAM-A). Metabolic syndrome was diagnosed using NCEP ATP III criteria with Asian cut-offs. Sociodemographic, anthropometric, clinical, and biochemical parameters were recorded and analyzed statistically.\nResults: The mean age of participants was 36.6 years, with female predominance (60%). Metabolic syndrome was present in 39% of patients, while 74% had at least one metabolic abnormality. Higher age, unemployment, marital and non-head-of-family status, longer illness duration, later age of onset, and greater anxiety severity showed significant associations with MetS (p<0.001).\nConclusion: A substantial proportion of patients with anxiety disorders exhibit metabolic syndrome or early metabolic abnormalities, highlighting increased cardiometabolic risk. Routine metabolic screening and integrated psychiatric metabolic care are essential to improve long-term outcomes. Further longitudinal studies are warranted to explore underlying mechanisms and evaluate integrated treatment strategies.\n\n\n### When treatment becomes the trigger: A rare case report of drug-induced psychosis\nAbhishikta Mandal, Paramita Ray\nInstitute of Psychiatry, IPGMER and SSKM, Kolkata, West Bengal, India\nBackground: FOLFIRI (fluorouracil, leucovorin, and irinotecan) is a cornerstone chemotherapy protocol for gastrointestinal (GI) malignancies. Although it is generally well-tolerated, it’s notorious to cause GI and hematological toxicities with psychiatric effects being being under reported. Recent reports have described cases of acute psychosis temporally associated with FOLFIRI occurring in the absence of metabolic derangements, structural brain lesions, or prior psychiatric history. Notably, fluorouracil, one of the core agents in FOLFIRI has been implicated in inducing acute psychosis.\nAim: To highlight a case of FOLFIRI induced psychosis and to explore its diagnostic & therapeutic challenges.\nCase Presentation: A 59-year-old male patient with metastatic pancreatic adenocarcinoma was initiated on palliative FOLFIRI regimen. Within 24 hours, he exhibited irrelevant speech, paranoid ideation and agitation. The patient did not have fever, seizures or neurological deficits. He had no documented psychiatric or substance use history. Laboratory assessments were normal, ruling out hepatic encephalopathy and CNS infections. MRI Brain (P+C) was unremarkable. Symptoms were promptly managed with low-dose haloperidol. Upon re-exposure during the second treatment cycle, similar psychiatric manifestations recurred, again resolving with liquid haloperidol. Post-discharge, the patient remained stable with no psychotic symptoms in the absence of chemotherapy. Discussion: The onset of symptoms shortly after administration, normal test results, symptom resolution with antipsychotics, and symptom recurrence upon re-exposure suggest a significant causal relationship. The transient nature of the symptoms indicates an iatrogenic organic psychosis.\nConclusion: This case highlights the under-recognized psychiatric effects of FOLFIRI and emphasizes the necessity for regular psychiatric evaluation in oncology practice.\n\n\n### When appetite stimulation backfires: A rare cutaneous hypersensitivity reaction to mirtazapine in an anorexic patient with intellectual disability\nAdapa Pranathi, K. Sri Divya Reddy\nMamata Medical College, Khammam, Telangana, India\nAnorexia nervosa in individuals with intellectual disability presents unique diagnostic and therapeutic challenges due to atypical symptom expression and limited communication abilities. We report the case of a 28-year-old woman with moderate intellectual disability who presented with a two-year history of persistent nausea, food refusal, and marked weight loss, culminating in a body mass index of 12.6. Following clinical evaluation, a diagnosis of anorexia nervosa, restrictive type, was established. As part of her management, mirtazapine was initiated to address appetite loss, anxiety, and mood symptoms. Within five days of treatment initiation, the patient developed a pruritic petechial rash involving the palms, forearms, thighs, and trunk. Dermatological assessment confirmed a likely drug-induced hypersensitivity reaction, prompting discontinuation of mirtazapine. The cutaneous manifestations resolved rapidly with antihistamines and topical therapy. Subsequently, the patient was treated with low-dose olanzapine and fluoxetine, resulting in improved caloric intake, gradual weight gain, and enhanced engagement in structured activities without further adverse effects. This case underscores the importance of heightened vigilance for rare adverse drug reactions in vulnerable populations and highlights the need for individualized pharmacological strategies when managing eating disorders in patients with intellectual disability.\n\n\n### Dopamine dysregulation syndrome in parkinson’s disease: A neuropsychiatric perspective\nAdit Verma, Vaibhav Patil\nAIIMS, New Delhi, India\nBackground: Dopamine dysregulation syndrome (DDS) is a rare but severe neuropsychiatric complication of dopamine replacement therapy in Parkinson’s disease (PD). DDS is under-recognised and often misdiagnosed as a primary mood disorder, substance use disorder, or impulse-control disorder. This dilemma places DDS squarely at the neurology psychiatry interface and underscores its relevance to neuropsychiatric practice.\nAims: To conduct a review of literature and synthesise evidence on the clinical features, risk factors, neurobiology, and management of dopamine dysregulation syndrome.\nMethods: A narrative review approach was adopted. Electronic databases were searched, and cross-references were used to identify additional relevant studies. The search data timeframe was kept from January 2010 to November 2025.\nResults: DDS presents with compulsive self-escalation of dopaminergic medication, drug-seeking behaviour, resistance to dose reduction, and a characteristic withdrawal state marked by dysphoria, anxiety, and irritability. Psychiatric manifestations include hypomania, psychosis, punding, and frequent comorbidity with impulse-control disorders. Risk factors include younger age of PD onset, male sex, high doses of levodopa, use of rapidly acting preparation, impulsive personality traits, and prior psychiatric or substance-use history. Neurobiological models implicate sensitisation of mesolimbic reward circuits and impaired prefrontal inhibitory control, supporting an addiction-based conceptualisation. Dopaminergic rationalisation is central to management, and psychosocial interventions are critical. Pharmacotherapy and advanced therapies (like Deep Brain Stimulation) show variable benefit with notable relapse rates.\nConclusion: DDS represents an underdiagnosed complication in PD with significant psychiatric morbidity. Early recognition is essential to prevent misdiagnosis, reduce iatrogenic harm, and enable effective multidisciplinary management.\n\n\n### Seizure related behavioural and cognitive changes mimicking primary psychiatric disorder\nAditi Patni, Karishma Rupani, Ajita Nayak\nSeth GS Medical College, KEM Hospital, Mumbai, Maharashtra, India\nBackground: Behavioural changes and scholastic decline in adolescent patients of epilepsy may be misinterpreted as primary psychiatric illnesses, especially in those who are seizure-free. Interictal epileptiform discharges (IEDs) can contribute to behavioural dysregulation and cognitive deterioration, leading to challenges in diagnosis and untimely treatment.\nCase Description: A 13.5-year-old boy was referred for behavioural problems and declining scholastic performance despite having a superior IQ a year earlier. History suggested oppositional defiant disorder with hyperactivity. Past history included episodes of seizures, for which he had been on antiseizure medications (ASMs), which were then discontinued, and the child remained seizure-free for four years after stopping ASMs. ENT and ophthalmology evaluations were normal. Occupational therapy indicated poor attention, comprehension, and task completion. Anti-psychotics were added in the optimum doses. Behaviour didn’t improve, and his academic performance continued to decline; repeated IQ testing showed borderline intelligence. Lack of response to antipsychotic drugs, cognitive decline with history of seizures, prompted a repeat EEG, which showed inter-ictal discharges in the form of generalised bursts of epileptiform complexes. His ASMs were restarted, after which behaviour gradually improved and school complaints ceased, with modest academic improvement.\nDiscussion: This case depicts that inter-ictal epileptiform discharges contribute to behavioural disturbances and may be associated with cognitive decline even in the absence of epilepsy. While the reintroduction of anti-seizure medications improved behavioural symptoms, cognitive deficits persisted, highlighting the potential long-term impact of untreated interictal epileptic activity.\n\n\n### Poison in the leg: A case of schizophrenia driven self mutilation\nAditya Guru, Ram Ghulam Razdan, Harman Singh Bhatia\nIndex Medical College Hospital and Research Centre, Indore, Madhya Pradesh, India\nBackground and Aims: Repetitive self-mutilation is termed the van Gogh syndrome after Vincent van Gogh a renowned Dutch painter of late 19th century, who during a bout of psychosis deliberately mutilated his ear. A rare case of a 28-year-old Indian male is discussed here who experienced command auditory hallucinations which told him to amputate his own foot. The patient was diagnosed with paranoid schizophrenia. On mental status examination, the patient there was delusions of control, delusions of persecution and commanding hallucinations.\nMethods: Brief Psychiatric Rating Scale score was used to indicate severity of psychosis. Positive and Negative Syndrome Scale score to assess schizophrenia. Hamilton Depression Rating Scale & Young Mania Rating Scale pointing against the differentials of bipolar affective disorder or Unipolar depression.\nConclusion: A provisional diagnosis of paranoid schizophrenia was made using the International Classification of Diseases-10. Injectable haloperidol and promethazine given intramuscularly for the first 7 days, then shifted to oral medications. Management of the wound was done. Response to the initial dose of anti-psychotic was good. The patient was kept on haloperidol and clonazepam tablets. On continuing the regimen for 6 weeks, the symptoms remitted and mutilation wounds were healed.\nKey words: Paranoid schizophrenia, self-mutilation, Van Gogh syndrome\n\n\n### Low-dose quetiapine and the dystonia paradox: Revisiting safety assumptions\nAditya Aithal, Santosh Ramdurg\nShri B.M. Patil Medical College, Hospital, and Research Centre, BLDE University, Vijayapura, Karnataka, India\nBackground: Quetiapine is a second-generation antipsychotic widely used in schizophrenia, mood, and anxiety disorders. It is generally considered to have low extrapyramidal symptom (EPS) risk due to low D2 receptor occupancy and high 5-HT2A antagonism. However, rare cases of acute dystonia have been reported even at low doses, particularly in susceptible patients on concomitant serotonergic medications.\nAims: To report a rare case of acute oromandibular dystonia induced by low-dose quetiapine (25 mg) in a patient on an SSRI, and to discuss underlying pharmacological factors and clinical implications.\nMethods: We describe a single case involving a 32-year-old male with somatoform disorder who had been stable for one year on escitalopram (20 mg/day) and clonazepam (0.5 mg/day). Low-dose quetiapine (25 mg at bedtime) was added for agitation and insomnia.\nResults: Three days after quetiapine initiation, he developed acute oromandibular dystonia characterised by sudden tongue deviation and dysarthria. Examination revealed sustained tongue contractions with no other neurological deficits. Quetiapine was discontinued, and intravenous promethazine (50 mg) was administered, resulting in complete symptom resolution within two hours. The patient remained asymptomatic at one week, implicating quetiapine as the likely cause.\nConclusion: Even low-dose quetiapine can precipitate acute dystonia, likely via transient D2 blockade exacerbated by SSRI-induced serotonergic modulation. Pharmacokinetic interactions (e.g., CYP3A4/CYP2C19 metabolism) may further elevate quetiapine levels, compounding this risk. Clinicians should remain vigilant when initiating quetiapine in patients on SSRIs, especially during early titration and polypharmacy. Early recognition and prompt anticholinergic treatment ensure complete recovery.\n\n\n### Delusional parasitosis misdiagnosed as paraesthesias\nAditya Kulkarni, Amit, G. V. Jithendra\nMamata Medical College, Khammam, Telangana, India\nIntroduction: Delusional parasitosis is a rare psychotic disorder. It is also called Ekbom syndrome. It can occur as a primary illness or be secondary to other psychiatric or medical conditions.\nCase Report: A 55-year-old man from the Kothagudem area came with complaints of tingling sensation and occasional pricking sensations on his scalp. He believed that an insect was present inside his brain and that it bit him from time to time, causing pain. These symptoms were significantly disturbing his daily activities and work.\nDiscussion: At first, the patient consulted a neurologist and was diagnosed with paraesthesia. He was treated, but there was no improvement. Because of this, he was later referred to the psychiatry department. Mental status examination showed a fixed false belief of insect infestation, confirming delusional parasitosis.\nConclusion: Delusional parasitosis is often wrongly diagnosed as skin problems or paraesthesias. Early referral to psychiatry by other medical specialists is important to prevent wrong diagnosis and delay in proper treatment.\n\n\n### Association between lithium and thyroid and kidney function in elderly population: A retrospective study\nAditya Rayan Bhalla\nNational Institute of Mental Health and Neurosciences, Bengaluru, Karnataka, India\nBackground: Lithium is one of the most effective long-term treatments for bipolar disorder, but its use is limited by risks of hypothyroidism and renal dysfunction. Data on age-related predictors of susceptibility to thyroid and renal dysfunction remains inconsistent.\nAim: This study examined the association between lithium use and thyroid and renal function in elderly patients, and compared the predictors with that of a younger cohort.\nMethods: This retrospective study analysed electronic medical records of older adults >60 years (n = 254) with bipolar disorder treated with lithium for at least six months. Data on socio-demographics, illness variables, comorbidities, concurrent medications, and serial Thyroid Stimulating Hormone (TSH), triiodothyronine(T3) and thyroxine (T4) as well as creatinine, estimated Glomerular Filtration Rate or (eGFR) were obtained. Findings were compared with an existing younger adult cohort (<55 years, n = 438). Logistic regression was used to identify predictors of hypothyroidism and deranged eGFR.\nResults: In older adults, hypertension significantly increased the risk of both hypothyroidism (OR = 2.869) and deranged eGFR (OR = 4.504). While in younger adults both hypothyroidism (OR = 2.516) and reduced eGFR (OR = 5.839)showed strong association with maximum serum lithium levels. Female sex predicted hypothyroidism risk in the younger cohort and total sample, but not in the elderly group.\nConclusion: Elderly patients exhibited distinct risk patterns for lithium-related thyroid and renal dysfunction when compared to younger adults, underscoring the need for age-tailored monitoring, with particular emphasis on managing comorbidities in older adults and avoiding higher peak levels in younger adults.\n\n\n### Sexual dysfunction among female with depression approaching to outpatient setting\nAdwitiya Ray, Yogender Malik\nPt. B. D. Sharma Post Graduate Institute of Medical Sciences, Rohtak, Haryana, India\nIntroduction: Sexual health is crucial to overall well-being, yet is stigmatized and underreported. Female Sexual Dysfunction (FSD) encompasses various issues like loss of desire, arousal, orgasm difficulties, and painful intercourse, which severely impact quality of life. A substantial gap exists in addressing female sexual health concerns due to mental illness. The study aims to explore sexual health, marital quality and their association in female with depression.\nMethods: This was a cross sectional, hospital-based study conducted among 60 female with depression attending the outpatient services of a tertiary care psychiatric hospital. Sexual dysfunction was assessed using the Female Sexual Function Index (FSFI). Side effects of medications (UKU scale), psychopathology (BDI), and marital quality (Marital Quality scale) were assessed using standard scales. All scales ate validated in Indian population and available in Hindi. The descriptive statistics were employed for quantitative analysis.\nResults: Among the 60 female assessed, 45 (75%) reported sexual dysfunction. Impaired desire was reported by all female, impaired arousal 95.8%, poor lubrication by 65.4%, impaired orgasm by 54.6%, poor satisfaction by 69.8% and pain by 36.5%. Poor Marital quality higher scores, side effects and active illness were significantly associated.\nConclusion: The study highlights significant dysfunction in sexual health among female with depression and there is a clear need for enhanced skills among clinician to diagnose it early for better well-being.\nKey words: Depression, female, marital quality, sexual health care\n\n\n### Unravelling the mind’s demise: Neuropsychiatric aspects of Creutzfeldt-Jakob disease a case report\nAghi Cletus, Sharadha R. Naveen\nMalabar Medical College and Research Centre, Calicut, Kerala, India\nBackground: Creutzfeldt-Jakob Disease (CJD) is a rare, rapidly progressive, and invariably fatal prion disease that presents diagnostic challenges, particularly when neuropsychiatric symptoms predominate early in the course.\nCase Presentation: A 56-year-old female cattle farmer from Kerala, presented with a one-month history of rapidly progressive behavioral changes, cognitive decline, delusions, hallucinations, and motor abnormalities including myoclonus and rigidity. Initial psychiatric evaluation led to a provisional diagnosis of acute psychotic disorder. However, the rapid deterioration and emergence of characteristic motor signs prompted comprehensive neurological evaluation. MRI revealed bilateral basal ganglia hyperintensities with cortical ribboning, EEG showed periodic sharp wave complexes at 1 Hz, and cerebrospinal fluid (CSF) analysis demonstrated elevated 14-3-3 protein with positive RT-QuIC assay, confirming the diagnosis of sporadic CJD.\nOutcomes: Despite supportive care including symptomatic management, the patient experienced progressive neurological deterioration and cognitive decline, consistent with the typical fatal course of CJD. Palliative care was initiated at approximately 20 weeks post-symptom onset.\nConclusion: This case highlights the importance of maintaining high clinical suspicion for CJD in patients presenting with rapidly progressive dementia accompanied by neuropsychiatric and motor symptoms. Early multimodal diagnostic evaluation combining clinical assessment, neuroimaging, electroencephalography (EEG), and CSF biomarkers is crucial for accurate diagnosis and appropriate management, potentially avoiding diagnostic delays and unnecessary interventions.\n\n\n### Socio-cultural aspects and mental health issues in gender dysphoria – A two-decade case analysis\nAishwarya Mittal, A. K. Seth, Anuj Mittal1\nSantosh Medical College and Hospitals, Ghaziabad, Uttar Pradesh, 1Deen Dayal Upadhyay Hospital, New Delhi, India\nBackground: Gender dysphoria (GD) refers to incongruence between an individual’s assigned sex at birth and their experienced gender, causing severe distress and functional impairment. In India, sociocultural stigma, lack of awareness, and limited access to gender-affirmative care hinder help-seeking and societal acceptance, leading to increased psychological distress.\nAim: This case report illustrates the clinical presentation, impacts of socio-cultural pressures and events in the Indian context and a 20-year psychological journey of a GD patient.\nCase Presentation: A 42-year-old individual assigned female at birth, identifying as male, presented with increased anxiety, insomnia, and depressive symptoms with suicidal ideations, multiple suicide attempts; has been under the care of mental health experts for the past 20 years. Due to family pressure, patient married a biological male 15 years ago, but got divorced by mutual agreement. Patient opted for gender reassignment surgery, after which most of her family disowned her. Clinical evaluation confirmed DSM-5-TR criteria for Gender Dysphoria, with comorbid severe depression and generalized anxiety.\nOutcomes/Results: At six-month follow-up, the patient demonstrated marked improvement in mood, reduced anxiety, greater functionality and reported improved self-confidence. Family members display increasing acceptance following structured counselling but revert back to a denial- like state.\nConclusion: This case highlights how a person of GD suffers throughout their life because of identity suppression by family, causing conflicts and exacerbation of psychiatric symptoms. It also explains that early intervention, family engagement, and culturally sensitive counselling significantly improves mental health, psychosocial outcomes for individuals with GD in resource- and/or stigma-constrained settings.\n\n\n### An unusual presentation of excitatory catatonia in a patient with a long-standing affective illness and to highlight the diagnostic challenges and response to therapeutic interventions\nAjay Pal Singh, Saurav Kumar\nGS Medical College and Hospital, Pilkhuwa, Uttar Pradesh, India\nBackground: Catatonia is an acute psychomotor syndrome with two subtypes: excited catatonia and retarded catatonia. Excited catatonia is characterized by excessive motor activity, agitation, and behavioural disturbances.\nAim: To describe an unusual presentation of excitatory catatonia in a patient with a long-standing affective illness and to highlight the diagnostic challenges and response to therapeutic interventions.\nCase Details: A 26-year-old married male presented with 6-year history of recurrent illness, with the current episode ongoing for 6 months following medication non-adherence. Symptoms included decreased sleep, poor self-care, increased motor activity, repetitive speech, increased appetite, wandering behaviour, smiling & muttering to self. Past episodes were consistent with mania with psychotic symptoms, previously responsive to antipsychotics, mood stabilizers and benzodiazepines.\nMSE showed hallucinatory behaviour, ETEC made but not maintained, increased psychomotor activity, decreased reaction time, irrelevant speech, elated and inappropriate affect with restricted range, and thought disturbances including verbigeration, perseveration, echolalia, echopraxia, and poverty of content. Insight was 1/5.\nThe patient was started on valproate 600 mg/day, lorazepam 8 mg/day & quetiapine 100 mg/day. Improvement in sleep and motor agitation appeared within two weeks, though echolalia and echopraxia persisted. Currently patient is maintained on valproate 600 mg/day, quetiapine 800 mg/day and lorazepam 6 mg/day with approx. 70% overall improvement.\nConclusion: Excitatory catatonia is an uncommon presentation and may complicate diagnosis and management. While most patients respond to low-dose benzodiazepines, chronic cases may show delayed improvement or require electroconvulsive therapy (ECT). Early recognition and careful, individualized treatment are crucial to reduce morbidity.\n\n\n### Assessment of cognitive function using the montreal cognitive assessment in individuals with alcohol use disorder undergoing treatment\nAjith Partha, S. N. Kavya Shree, Sudarshan Kamath Barkur1\nSpoorthi Social Service Trust and De Addiction Center, Channapatna, Karnataka, India, 1Hochschule Ansbach, Ansbach, Germany\nBackground: Chronic heavy alcohol use is associated with cognitive impairment, but early-recovery patterns are not well defined. Screening at rehabilitation entry informs treatment planning and prognosis.\nObjective: To assess the prevalence and profile of cognitive impairment in severe alcohol use disorder (AUD) two weeks into inpatient rehabilitation, and to examine demographic and educational correlates.\nMethods: Fifty male inpatients (mean age 33.8 ± 9.1 years) with severe AUD underwent the Montreal Cognitive Assessment (MoCA) after two weeks of abstinence. Education-adjusted scores <26 indicated impairment. Demographic and educational data were recorded; participants had no medical comorbidities.\nResults: Cognitive impairment was observed in 44% (n=22), mean MoCA 25.52 ± 3.34 (range 14-30). Language (68%) and delayed recall (70%) were most affected; orientation remained intact (99%). Severe impairment occurred in 4% (n=2). Four participants (8%) failed delayed recall (0/5), suggesting possible Wernicke-Korsakoff syndrome. Lower education increased risk (50% vs 25%; OR=3.0). Age showed minimal correlation (r=0.13), with highest impairment in 26-35 years (50%).\nConclusions: Early cognitive deficits are common in severe AUD, particularly in young adults and in language/memory domains. Routine screening and follow-up are recommended to guide care and distinguish reversible from persistent deficits.\nKey words: Alcohol use disorder, cognitive impairment, cognitive reserve, montreal cognitive assessment, rehabilitation, Wernicke-Korsakoff\n\n\n### Love lost, mind lost: A case series on romantic rejection and first episode psychosis in young engineers\nAkanksha Ghoshal\nCentral Institute of Psychiatry, Kanke, Jharkhand, India\nBackground: Psychotic disorders often arise from the interaction of psychosocial stressors with individual vulnerabilities. Romantic rejection is a stressor that undermines self-esteem and precipitates psychiatric decompensation. This vulnerability is relevant in young adults, for whom romantic relationships determine identity formation. Young professionals like engineers may succeed scholastically yet remain underprepared for emotional challenges. Limited interpersonal skills and restricted support systems heighten stress responses, manifesting as psychotic symptoms.\nObjectives: To describe four cases of young engineers developing psychosis following romantic rejection, highlighting the role of poor coping, limited social interactions, and maladaptive personality traits in symptom onset and persistence.\nMethods: Four consecutive cases were evaluated in a tertiary-care institute. Sociodemographic, clinical, and psychosocial information was gathered through interviews and collateral reports, with focus on coping patterns, social functioning, and treatment course.\nResults: All four patients were young male engineers, academically successful and professionally established, without prior psychiatric or substance-use history. Each developed acute psychotic symptoms such as persecutory delusions, ideas of reference, and disorganized behavior, within days of romantic rejection. Similarities included restricted peer networks, minimal romantic experience, and reliance on academic/professional success for self-worth. Traits of rigidity, perfectionism, and poor emotional regulation impeded adaptation. Improvement on antipsychotic medication was partial, suggesting unresolved stress and inherent vulnerability causing symptom persistence.\nConclusion: This case series underscores that intellectual competence doesn’t ensure emotional resilience. Romantic rejection, with inadequate coping, limited social support, and personal vulnerabilities, acted as a stressor precipitating psychosis. A comprehensive biopsychosocial approach including psychotherapy, SST and family psychoeducation is essential.\n\n\n### Conversion disorder presenting as facial paralysis after blepharoplasty\nAkanksha Shankar\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Functional neurological symptom disorder (conversion disorder) can mimic postoperative complications, particularly in aesthetic surgery where unexpected neurological deficits provoke unnecessary interventions. Facial paralysis after blepharoplasty usually raises concern for iatrogenic nerve injury; however, psychogenic causes must also be considered to avoid misdiagnosis.\nCase Presentation: Within 24 hours following an elective upper eyelid blepharoplasty, a 34-year-old female experienced sudden unilateral facial paralysis affecting the forehead, eyelid closure, and nasolabial fold. Neurological assessment was done in suspicion of perioperative nerve damage. During the inspection, irregularities such as varying weakness, a maintained corneal reflex, and spontaneous emotional facial movements were discovered. MRI of the brain and facial nerve circuits were normal, and electrophysiological investigations revealed normal nerve conduction. Significant marital conflict and elevated preoperative anxiety were identified by the psychosocial history. Conversion disorder was diagnosed based on the clinical discrepancies and the lack of anatomical abnormalities. With the help of brief CBT, psychoeducation, anxiolytic, and reassurance, the patient recovered completely in ten days.\nDiscussion: This case emphasizes the importance of distinguishing functional neurological symptoms from true nerve injury in the postoperative setting. Psychological distress and perioperative anxiety can manifest as acute neurological deficits, and early recognition can prevent unnecessary surgical or diagnostic interventions.\nConclusion: Conversion disorder should be included in the differential diagnosis of facial paralysis following blepharoplasty when findings are inconsistent with anatomical patterns. Collaboration between plastic surgery and psychiatry enhances diagnostic accuracy and clinical outcomes.\n\n\n### Bridging psychiatry and dermatology: A case series in psycho-dermatology\nAkansha Bhardwaj, Gunjan Chadha1\nDepartment of Psychiatry, Institute of Liver and Biliary Sciences, 1Department of Psychiatry, Atal Bihari Vajpayee Institute of Medical Sciences and RML Hospital, New Delhi, India\nPsycho-dermatology, an interdisciplinary field that bridges dermatology and psychiatry, addresses the intricate connection between skin disorders and mental health. Skin conditions can significantly impact an individual’s emotional well-being, while psychological stress can exacerbate or trigger dermatological issues. This paper aims to illustrate the complex interplay between dermatological and psychiatric conditions through a series of case studies, highlighting the importance of an integrated treatment approach. Three case studies are presented, each demonstrating a distinct psychosomatic dermatological condition. Detailed evaluations were conducted to identify the underlying psychological factors contributing to the dermatological symptoms.\nCase 1: A 41 years old female diagnosed with delusional disorder (Ekbom syndrome) exhibited improvement in symptoms with antipsychotic treatment. Case 2: A 23-year-old female with body dysmorphic disorder showed progress with a combination of pharmacotherapy and cognitive- behavioural therapy. Case 3: A 16-year-old female with trichotillomania reported significant improvement through a combination of medication and behavioural therapy.\nThe case series underscores the critical importance of a multidisciplinary approach in treating psychosomatic dermatological conditions. Integrating dermatological and psychiatric interventions can enhance patient outcomes by addressing both physical and psychological aspects. Future research should focus on developing standardized protocols for managing these complex conditions and exploring the long-term benefits of integrated treatment strategies.\n\n\n### Swallowed strands, silent suffering: The reality of pediatric trichobezoars\nAkash Chotulal Gorana, Prajakta Patkar, Alka Subramanyam, Neena Sawant\nTNMC BYL Nair Hospital, Mumbai, Maharashtra, India\nBackground: Trichobezoars are rare but serious gastrointestinal concretions formed from ingested hair, occurring predominantly in children and adolescent females. In childhood, they often remain undetected because symptoms are vague and children may conceal hair-pulling behaviour due to shame or lack of awareness. Poor impulse control in this age group may represent a behavioural marker for underlying psychiatric or neurodevelopmental vulnerabilities such as Obsessive-Compulsive Disorder (OCD), Attention-Deficit/Hyperactivity Disorder (ADHD), or Autism Spectrum Disorder (ASD), where repetitive urges and impaired inhibition are common. Without timely recognition, trichobezoars may rapidly enlarge, leading to gastric outlet obstruction, nutritional deficiencies, and potentially life-threatening complications.\nCases: Case 1: A 10-year-old girl presented with chronic abdominal pain and a long history of ingesting non-food items including plastic, balloons, cloth, stones, and hair. Extensive gastrointestinal evaluations were inconclusive until psychiatric assessment revealed pica with trichotillomania. A multidisciplinary approach involving occupational therapy, Conner’s assessment, stool testing, and iron studies guided further management.\nCase 2: A 14-year-old girl presented with severe abdominal pain, vomiting, constipation, and weight loss. Imaging confirmed a large gastric trichobezoar requiring surgical removal. Psychiatric evaluation identified trichotillomania with trichophagia. Treatment with fluoxetine 40 mg/day and psychotherapy produced significant improvement in hair-pulling urges and overall impulse control.\nConclusion: These cases highlight how somatic presentations may mask underlying psychiatric or neurodevelopmental conditions. Surgery alone is insufficient without long-term psychiatric care. Early identification, multidisciplinary collaboration, and addressing impulse-control difficulties are essential to prevent recurrence and ensure sustained recovery.\nKey words: Pediatric psychiatry, trichobezoar, trichophagia, trichotillomania\n\n\n### Suspected trifluoperazine-induced hyperpigmentation: A case series with significant confounding from concurrent divalproex sodium use\nAkash Srivastava, Deepak Charan, P. K. Pardal\nShri Ram Murti Smarak Institute of Medical Sciences, Bareilly, Uttar Pradesh, India\nIntroduction: Phenothiazines are known to cause cutaneous adverse effects, most notably hyperpigmentation. While chlorpromazine is most frequently implicated, trifluoperazine despite its widespread use is rarely reported. Its melanin-binding and photosensitizing properties suggest a possible pigmentary effect, but divalproex sodium can also induce hyperpigmentation, creating diagnostic uncertainty when both drugs are used together.\nAim: To present five cases of hyperpigmentation temporally associated with trifluoperazine and assess how concurrent divalproex sodium use complicates causal interpretation.\nCase Reports: Case 1: A 25-year-old woman on trifluoperazine monotherapy developed progressive hyperpigmentation over sun-exposed areas.\nCase 2: A 25-year-old man on trifluoperazine and valproate developed facial pigmentation; switching to olanzapine led to complete resolution in three months.\nCase 3: A 23-year-old man on trifluoperazine and valproate developed nasal-tip pigmentation that improved within one month after switching to risperidone.\nCase 4: A 17-year-old male on trifluoperazine, valproate, and clonazepam developed nasal-tip pigmentation; follow-up was unavailable.\nCase 5: A 27-year-old man on trifluoperazine and valproate developed facial hyperpigmentation; follow-up details were missing.\nDiscussion: All cases showed a temporal link between trifluoperazine initiation and pigmentation onset. Improvement after discontinuation in two patients supports a possible drug-induced reaction. However, concurrent divalproex sodium in most cases represents a major confounder. Incomplete dechallenge and limited follow-up further weaken causal certainty.\nConclusion: Trifluoperazine-induced hyperpigmentation is plausible but not definitive due to significant confounding from divalproex sodium. Clinicians should monitor for pigmentary changes and apply structured causality assessments in patients receiving combination psychotropics.\n\n\n### When the frontal lobes fade: Neuropsychiatric sequelae of chronic alcohol use\nAkash Srivastava, Deepak Charan, P. K. Pardal\nShri Ram Murti Smarak Institute of Medical Sciences, Bareilly, Uttar Pradesh, India\nIntroduction: Chronic alcohol consumption is known to cause structural and functional brain changes, particularly within the frontal lobes, leading to significant alterations in personality, emotional regulation, and executive functioning. Alcohol-related brain damage (ARBD) remains under-recognized in psychiatric settings despite its high clinical relevance.\nCase Description: We report the case of a 53 years aged male with a 25-year history of heavy alcohol use who presented with progressive behavioral disturbances, including emotional lability, irritability, social inappropriateness, and episodic depressive symptoms. Neuroimaging revealed bilateral frontal lobe-predominant cerebral atrophy without focal lesions. Family members reported a gradual decline in impulse control and interpersonal functioning over recent years. Cognitive screening demonstrated deficits in attention, planning, and abstract thinking.\nDiscussion: This case highlights the neuropsychiatric consequences of chronic alcohol use, emphasizing the vulnerability of frontal brain regions to alcohol-induced neurotoxicity. The patient’s behavioral disinhibition and mood instability correlate with structural atrophy, reinforcing the role of neuroimaging in the evaluation of personality and affective changes in long-term alcohol users. Differential considerations including Wernicke-Korsakoff spectrum disorders and frontotemporal dementia are discussed, along with the need for early detection, abstinence-based interventions, and cognitive-behavioral rehabilitation.\nConclusion: Frontal lobe atrophy due to chronic alcohol use can manifest with prominent behavioral and mood disturbances. Awareness of ARBD in psychiatric practice can facilitate timely diagnosis and improve patient outcomes.\n\n\n### The migraine behind the vomiting\nS. A. Akhil, M. Karthikeyan\nSri Venkateshwaraa Medical College, Puducherry, India\nThis is the case report of an 18-year-old BSc Nursing student from a middle-class background. She had average academic performance and presented with recurrent episodes of abdominal pain and vomiting for the past three years. She had sought treatment from a primary care physician, surgical and medical gastroenterologists, and a neurologist.\nShe was admitted to our hospital and referred to us with previous diagnoses of psychogenic vomiting, somatoform pain disorder, and possible factitious disorder. She had been evaluated previously with detailed biochemical investigations, USG and CT abdomen, OGD endoscopy, MRI brain, and EEG.\nA detailed history and mental status examination revealed that she had recurrent cyclical vomiting/abdominal migraine associated with depressive symptoms and insomnia. She was started on Tab Flunarizine 10 mg in the morning, Tab Propranolol-SR 20 mg in the morning, Tab Escitalopram 10 mg at night, and Tab Clonazepam 0.5 mg at night. The patient showed significant improvement within a few days and ceased having episodes of vomiting, abdominal pain, depressive symptoms, and sleep disturbances.\nThe patient has been continuing the medication for the past six months, and there has been no recurrence of vomiting or abdominal pain. Her HAM-D scores decreased from significantly abnormal to near normal. Her sleep quality and academic functioning have markedly improved.\nThis case highlights the importance of considering abdominal migraine and comorbid major depression in young females presenting with recurrent abdominal pain and vomiting. Early recognition and appropriate treatment with antimigraine prophylaxis and antidepressants are essential for improving quality of life.\n\n\n### Prevalence of depression in postpartum women with gestational diabetes mellitus – A cross-sectional study\nS. A. Akhil, S. Sri Sai Priya\nSri Venkateshwaraa Medical College, Puducherry, India\nBackground: Gestational Diabetes Mellitus (GDM) is a common metabolic disorder complicating pregnancy and has been increasingly linked to adverse psychological outcomes, particularly Postpartum Depression (PPD). Despite its clinical relevance, evidence on PPD among Indian women with GDM remains limited.\nAim: To determine the prevalence of postpartum depression among women diagnosed with GDM and to identify associated socio-demographic and clinical determinants.\nMethods: A hospital-based cross-sectional study was conducted among 136 postpartum women with confirmed GDM, recruited 2-6 weeks after delivery from a tertiary care centre in Puducherry. Socio-demographic and obstetric details were collected using a structured proforma. PPD was assessed with the Edinburgh Postnatal Depression Scale (EPDS), using a cut-off score >13. Statistical analysis included Chi-square tests and multivariate logistic regression, with p < 0.05 considered significant.\nResults: The prevalence of postpartum depression among women with GDM was 25%. Younger maternal age (<25 years), lower educational attainment, primiparity, nuclear family structure, and a positive family history of diabetes were significantly associated with PPD. Multivariate regression confirmed these factors as independent predictors. Mode of delivery did not show any significant association.\nConclusion: Postpartum depression is a notable concern among women with GDM, affecting one in four mothers. Younger age, limited education, primiparity, reduced family support, and family history of diabetes heighten vulnerability. Routine screening and integrated psychosocial support should be incorporated into postpartum care pathways for high-risk GDM mothers.\n\n\n### Mirtazapine induced syndrome of inappropriate antidiuretic hormone secretion\nV. Akshai, Suvarna Jyothi Kantipudi\nSri Ramachandra Medical College, Chennai, Tamil Nadu, India\nBackground: Hyponatremia is the most common fluid and electrolyte balance affecting upto one third of hospitalised elderly patients with SIADH being one of the commonest causes of hyponatremia.Hyponatremia represents a potentially dangerous condition especially in elderly patients when presenting with delirium.As per the systematic review(Moscona-Nissan, LÃ³pez-HernÃ¡ndez, & GonzÃ¡lez-Morales, 2021) the mirtazapine induced hyponatremia is rare and less well documented with incidence of 3.26%.SIADH is the commonest cause,most common in elderly and female patients, is dose independent.\nAim: To highlight mirtazapine induced SIADH with the below case report.\nCase Vignette: 72Y/M case of Dementia with BPSD,comorbid with T2DM/SHTN/CAD/Parkinsons disease was started on TAB.Mirtazapine 3.75mg.Serum sodium was 134meq/l before initiating Mirtazapine .15 days after initiation of Mirtazapine the patient has developed acute onset confusion and restlessness with fluctuating sensorium.Serum Sodium was 122meq/l,BUN 8mg/dl, Serum creatinine 0.6mg/dl,Urine spot sodium was 31.1mmol/l, Serum osmolality was 253mOsm/kg Serum Uric acid 2.5mg/dl ;RBS,Serum cortisol,TFT,LFT were within normal limits,2D echo was normal,has euvolemic status clinically,not on any antidepressants and not on diuretics or any other hyponatremia causing drugs,MRI brain shows diffuse cerebral cortical atrophy.Mirtazapine was stopped and advised fluid restriction,high salt diet.Hyponatremia has improved to 133 meq/l and confusion,restlessness has resolved.\nConclusion: The likelihood of Mirtazapine use causing hyponatremia was probable(score 7) as per Naranjo Adverse drug reaction probability scale.Even though Mirtazapine is commonly considered as an alternative to other antidepressant induced SIADH,baseline evaluation and regular monitoring should be done especially in elderly patients with risk factors.\n\n\n### Beyond benzodiazepines: Lactium: The new frontier in natural stress-related sleep modulation – A review article\nAkshit Manasvi\nDepartment of Psychiatry, Hind Institute Of Medical Sciences, Barabanki, Uttar Pradesh, India\nBackground: Lactium (Î±-s1 casein hydrolysate/Î±-casozepine) is a milk-derived bioactive decapeptide with selective affinity for GABA-A receptor subunits, producing anxiolysis and sleep regulation without benzodiazepine-like cognitive or psychomotor impairment. It is emerging as an evidence-based nutraceutical for stress-linked insomnia, particularly in individuals seeking non-sedating alternatives.\nAim: To review clinical evidence of Lactium in stress related insomnia, and sleep regulation.\nMethods: A comprehensive search was conducted across PubMed, ScienceDirect, Scopus, and PMC for studies published up to 2025, using keywords and MeSH terms like Lactium, Î±-casozepine hydrolysate, stress, and insomnia. A total of 55 studies were screened; amongst which 12 studies were included in the qualitative synthesis which considered Lactium as primary molecule.\nResults: Across clinical studies, Lactium shows consistent anxiolytic and sleep benefits. Chang et al., 2024 reported significant improvements in sleep-onset latency (p=0.012), efficiency, EEG alpha power, and ISI/PSQI scores. Moro et al., 2022 and Kim et al., 2019 found increased total sleep time and fewer awakenings, with limited changes in daytime functioning or Polysomnography parameters. Gurin et al., 2005 reported lowered stress and cortisol, while Kim JH et al., 2007 showed significant improvements across emotional, intellectual, cardiovascular, digestive stress domains. Clear evidence equating Lactium’s efficacy to benzodiazepines is lacking, multiple RCTs confirm superiority over placebo.\nConclusion: Lactium appears to be a safe, non-addictive, non-sedating nutraceutical for sleep regulation and mild-to-moderate insomnia. Strengthening biomarker-based evidence is promising; however, larger multicentre RCTs with direct comparisons to benzodiazepines, Z-hypnotics, and SSRIs are needed.\n\n\n### Psychiatric manifestations of adult-onset leukodystrophy: A case report\nAlvarene Kharpuria, P. S. Vaibhavi\nAdichunchanagiri Institute of Medical Sciences, Mandya, Karnataka, India\nIntroduction: Leukodystrophies are clinically and genetically heterogeneous disorders that are characterized by the common occurrence of white matter changes in the brain. Adult-onset leukodystrophies may present with neuropsychiatric and behavioral symptoms, and all ultimately lead to dementia.\nAims and Objectives: This report presents an atypical case and discusses its diagnostic and clinical implications.\nCase Description: Mrs X, a 45 year old housewife, who was diagnosed with Adult-onset Leukodystrophy four months ago, presented with pervasive low mood for the past four months along with loss of interest in activities, reduced ability to concentrate, hopelessness, helplessness, worthlessness, decreased sleep, severe headache, slowness in activities and excessive worrying about health. She also gives history of psychotic illness in younger brother since the past five months.\nCase Management: There were severe depressive features in this patient that could constitute an independent diagnosis along with an MRI showing hyperintensities in white matter characteristic of leukodystrophy. The patient was managed with SSRI-benzodiazepine combination therapy, behavioral interventions, and psychosocial support. Multidisciplinary management focusing on motor symptom control, cognitive rehabilitation, and family support improved daily functioning modestly.\nConclusion: Patients with Adult-onset Leukodystrophy can be referred to a psychiatrist at the time of diagnosis so that they can be treated on a multi-disciplinary basis for the psychiatric manifestations, which will improve the outcome of treatment for such patients.\n\n\n### A case of unusual presentation of opioid withdrawal seizure\nAman Tyagi, Saurav Kumar\nGS Medical College and Hospital, Pilkhuwa, Uttar Pradesh, India\nBackground: Opioid withdrawal is commonly characterized by autonomic and gastrointestinal symptoms, while seizures are classically associated with alcohol withdrawal. Seizures occurring during opioid withdrawal are rare and sparsely reported.\nAim: To describe a rare presentation of recurrent generalized seizures occurring during opioid withdrawal.\nCase Details: A 27-year-old unmarried male with a 5-year history of heroin dependence presented with typical opioid withdrawal symptoms including body ache, lacrimation, rhinorrhoea, insomnia, nausea, and vomiting, along with a generalized tonic-clonic seizure occurring on the 5th day of abstinence. He had experienced three similar seizure episodes during previous withdrawal periods, each occurring on the 4th-5th day of opioid abstinence. There was no history of any other substance used, head injury, fever, epilepsy, or other neurological illness. Laboratory investigations including blood glucose, electrolytes, calcium, liver and renal function tests were within normal limits, except for mildly elevated liver enzymes. MRI brain and EEG were normal. Drug screening could not be performed due to financial constraints. The patient was treated acutely with injectable lorazepam and sodium valproate 500 mg BD and later initiated on naltrexone 50mg/day. He improved clinically and was discharged in a stable condition.\nConclusion: Although rare, seizures can occur as a manifestation of opioid withdrawal, particularly in chronic heroin users. Recognition of this uncommon presentation is essential to ensure timely diagnosis and appropriate management and to avoid mis-attribution to primary seizure disorders or metabolic causes.\n\n\n### Effectiveness and safety of chlordiazepoxide in alcohol withdrawal syndrome: Interim analysis of a multi-center, open-label evaluation using the CIWA-Ar scale\nAmar Shinde\nJagruti Rehabilitation Centre, Pune, Maharashtra, India\nBackground: Alcohol use in India affects nearly 160 million individuals, with 5.2% requiring treatment for dependence. Chlordiazepoxide, remains the gold standard therapy for alcohol withdrawal syndrome (AWS); however, Indian data on its safety and effectiveness are limited. This is an interim analysis of the ongoing study.\nObjective: To evaluate the efficacy and safety of chlordiazepoxide in managing AWS using the CIWA-Ar scale across deaddiction centers.\nMethods: This prospective, multicenter, open-label study is being conducted across five Indian deaddiction centers, targeting 300 adult AWS patients (18-60 years). Participants received chlordiazepoxide (starting dose 100-150 mg/day) for 12 days, with CIWA-Ar assessments on Days 0, 6, and 12. The primary endpoint was percentage reduction in CIWA-Ar score from baseline to Day 12. Secondary endpoints included liver function tests (LFTs), time to symptom control, incidence of rebound symptoms, dropout rate, Delerium Tremens, outcomes of mild liver dysfunction and safety outcomes.\nResults: Interim analysis (n=113; as of November 1, 2025) showed a significant reduction in mean CIWA-Ar scores from 16.4 (Day 0) to 7.2 (Day 12). About 93 (82%) of patients improved from moderate to mild withdrawal severity, with no rebound symptoms, DT, or dropouts reported. Only 5 patients demonstrated deranged LFTs with mild liver dysfunction at baseline. Mean ALT (78.5 to 49.2 IU/L) and AST (77.8 to 34.2 IU/L) showed remarkable decline by Day 12, indicating improved hepatic function.\nConclusion: Interim findings demonstrate that 12-day chlordiazepoxide therapy improves the CIWA-Ar scores and hepatic function with well-tolerated treatment and no safety concerns.\n\n\n### Exploring Toxoplasma gondii seropositivity and its association with impulsivity in bipolar disorder: A case-control study from North India\nAmit Kumar\nAIIMS, New Delhi, India\nBackground: Latent Toxoplasma gondii has been implicated in psychiatric disorders and behavioral phenotypes, however data exploring its association with bipolar disorder (BD) remains limited, especially from Indian subcontinent.\nAims: To assess T. gondii IgG seropositivity in patients with BD compared with healthy controls (HC), and explore its association with impulsivity in BD.\nMethods: This observational case-control study recruited a total of 102 clinically stable adult patients with BD and 103 healthy controls. Cases were assessed using semi-structured proforma, NIMH-Life chart method and Barratt’s Impulsivity Scale (BIS-11). Serum T. gondii IgG antibodies were estimated using ELISA.\nResults: Gender distribution was comparable between groups (52% in each; p = 0.947). The mean age of cases and controls was 39.63 ± 12.19 years and 34.53 ± 10.93 years respectively (p = 0.002). T. gondii seropositivity was observed in 18.6% (19/102) of cases and 18.4% (19/103) of HC (Ï‡Â² = 0.001, p = 0.973). Within cases, BIS Total was significantly lower in the seropositive group (M = 59.00, SD = 7.68 vs M = 65.84, SD = 10.37; U = 449, p = 0.004). Among BIS subscales, significant group differences were also seen across all subscales: Attentional Impulsivity (U = 458, p = 0.004), Motor Impulsivity (U = 445, p = 0.003), and Non-planning (U = 522, p = 0.022).\nConclusion: While T. gondii seropositivity was not associated with diagnosis, it was linked to lower impulsivity across multiple domains among patients with BD, indicating a possible modulatory effect on behavioral traits.\n\n\n### Pheniramine detection on urine drug screening among people who inject drugs: Association with injection recency\nAnaf Kololichalil, Siddharth Sarkar1, K. Muhammad Jadeer1\nAIIMS, 1NDDTC, AIIMS, New Delhi, India\nPheniramine, an antihistamine commonly used as a diluent in injection drug use in India, is rarely systematically assessed during clinical interviews. Given its short urinary detection window (approximately 1-4 days), urine drug screening (UDS) may offer objective insights into recent exposure and injection practices.\nAims: To assess the prevalence of pheniramine detection on UDS among people who inject drugs (PWID) and examine its association with self-reported recency and frequency of injection drug use.\nMethods: This cross-sectional study included PWID recruited solely on the basis of a history of injection drug use at a tertiary-care addiction treatment centre. Information on injection frequency and time since last injection episode was collected. Pheniramine use as a diluent was not systematically elicited. UDS was performed to detect pheniramine, and associations with injection recency and frequency were analysed descriptively.\nResults: Pheniramine was detected in 43.4% of daily injectors. Detection was highest among those reporting injection within the last week (59.1%) and within the last three days (50.0%), followed by those injecting on the day of assessment (43.5%). Positivity declined with increasing time since last injection, to 31.8% among those injecting within the last month and 21.1% among those whose last injection was over six months prior. Detection across injection frequency categories remained consistently high (40-46%).\nConclusions: Pheniramine detection on UDS is common among PWID and strongly associated with recent injecting behaviour. Discrepancies between reported recency and biological detectability highlight limitations of self-report and underscore the value of UDS in identifying unrecognised diluent exposure.\n\n\n### Can Tourette’s syndrome and paediatric autioimmune neuropsychiatric disorders associated with streptococcal infections co-exist? Distinct entities or sides of the same coin\nAnamika Das, Disha Maity1, Imon Paul1, V. V. Gantait1\nIQ City Medical College and Hospital, 1Department of Psychiatry, IQ City Medical College and Hospital, Durgapur, West Bengal, India\nA 11 year old male child hailing from an urban area of South Bengal educated upto class 6, fully immunised as per age with no history of developmental delay presented to us with repetitive shoulder shrugging and eye blinking for 5 years, spending excessive time organising his things for 5 years and repetitive throat clearing for last 1 year 6 months. The onset was acute,course fluctuating, with waxing and waning pattern. The episodes precipitated on stressful situation and in episodes of sore throat. Started with motor movements (hand movement,eye blinking) followed by vocal involvement -sounds like ‘phoooo’, ‘aaaa’. He would also repeat obscene words. He had an episode of sore throat with fever around 3 years back after which the symptoms worsened. There was difficulty in day to day activities with impairment in scholastics. Multiple psychiatrists consulted with a waxing waning course. Patient presented with worsening of symptoms since last 20 days after an episode of sore throat. A diagnosis of Tourette Disorder was made and a diagnosis of PANDAS was considered. The patient was started on Risperidone and Clonazepam and baseline blood investigations with ASO titer and Anti DNAse B was prescribed. ASO tItre was 408.7 IU/ml. paediatrician advised for short course steroids and antibiotics . improvement was present in all domains of symptoms and further planned for Habit Reversal Therapy.\n\n\n### Cannabidiol as adjunctive therapy in epilepsy and functional pain: Real-world evidence from cases in a tertiary care hospital in Punjab\nAnanya Chawla, Rajnish Raj, Akshika vermani\nGovernment Medical College, Patiala, Punjab, India\nIntroduction: Cannabidiol (CBD), a non-psychoactive phytocannabinoid, has demonstrated anticonvulsant, anxiolytic, and analgesic effects through its interaction with the endocannabinoid system and multiple neuromodulatory pathways. While its role in treatment-resistant epilepsy is increasingly recognized, emerging evidence also supports its utility in functional pain and other neuropsychiatric conditions. Real-world clinical data from routine psychiatric settings, however, remain limited.\nAims: To present clinical observations from three patients treated with CBD for distinct neuropsychiatric conditions and to highlight its therapeutic potential across diagnostic domains.\nMethods: This observational case series includes three patients initiated on adjunctive CBD oil as part of routine clinical care. Clinical outcomes were assessed through seizure logs, symptom severity reports, and functional status over 6-12 months. Adverse effects and tolerability were recorded.\nResults: Case 1: A 20-year-old male with treatment-resistant seizure disorder achieved complete seizure freedom for 12 months and showed marked improvement in academic and social functioning.\nCase 2: A 24-year-old female with focal epilepsy and frequent breakthrough seizures reported >70% reduction in seizure frequency, better sleep regulation, and improved daily performance after CBD initiation.\nCase 3: A 32-year-old male with somatoform pain disorder demonstrated significant reduction in pain intensity, reduced analgesic dependence, and improved occupational functioning. No major adverse events were reported.\nConclusion: Across three diverse clinical presentations, CBD demonstrated meaningful benefits with excellent tolerability. These findings support its potential as a valuable adjunctive intervention in epilepsy and functional.\n\n\n### Real-world clinical response to cannabidiol in epilepsy and somatoform pain: Study in a tertiary care hospital in Punjab\nAnanya Chawla, Rajnish Raj, Akshika Vermani\nGovernment Medical College, Patiala, Punjab, India\nIntroduction: Cannabidiol (CBD), a non-psychoactive phytocannabinoid, has demonstrated anticonvulsant, anxiolytic, and analgesic effects through its interaction with the endocannabinoid system and multiple neuromodulatory pathways. While its role in treatment-resistant epilepsy is increasingly recognized, emerging evidence also supports its utility in functional pain and other neuropsychiatric conditions. Real-world clinical data from routine psychiatric settings, however, remain limited.\nAims: To present clinical observations from three patients treated with CBD for distinct neuropsychiatric conditions and to highlight its therapeutic potential across diagnostic domains.\nMethods: This observational case series includes three patients initiated on adjunctive CBD oil as part of routine clinical care. Clinical outcomes were assessed through seizure logs, symptom severity reports, and functional status over 6-12 months. Adverse effects and tolerability were recorded.\nResults: Case 1: A 20-year-old male with treatment-resistant seizure disorder achieved complete seizure freedom for 12 months and showed marked improvement in academic and social functioning.\nCase 2: A 24-year-old female with focal epilepsy and frequent breakthrough seizures reported >70% reduction in seizure frequency, better sleep regulation, and improved daily performance after CBD initiation.\nCase 3: A 32-year-old male with somatoform pain disorder demonstrated significant reduction in pain intensity, reduced analgesic dependence, and improved occupational functioning. No major adverse events were reported.\nConclusion: Across three diverse clinical presentations, CBD demonstrated meaningful benefits with excellent tolerability. These findings support its potential as a valuable adjunctive intervention in epilepsy and functional pain syndromes. Larger controlled studies are required to establish standardized dosing, long-term safety, and broader applicability in neuropsychiatric practice.\n\n\n### Childhood-onset intermittent explosive disorder: A case series\nAnanya Malhotra, R. Amrtavarshini1, M. N. Anil Kumar1, Pooja Bangera1, Atri Chatterji1\nKasturba Medical College, 1Department of Psychiatry, Kasturba Medical College, Manipal, Karnataka, India\nBackground: Intermittent Explosive Disorder (IED) is characterized by recurrent verbal or physical aggression disproportionate to provocation, causing distress or impairment. The prevalence of IED in adolescents is nearly 8%, with a mean onset around 11 years. Childhood-onset IED is rare and often difficult to diagnose due to developmental immaturity and frequent comorbidity with Attention Deficit Hyperactivity Disorder (ADHD) and conduct problems, leading to diagnostic confusion with other disorders of impulsive aggression.\nAims: To describe the clinical profiles, comorbidities, and short-term treatment outcomes of children diagnosed with childhood-onset IED.\nMethods: Three children diagnosed with IED using the Structured Clinical Interview for DSM-5 (SCID-5) and detailed clinical evaluation were reviewed. Data on developmental, family, and school history, temperament, electroencephalography (EEG) findings, comorbidities, treatment, and outcomes were collected. Treatment response was assessed qualitatively based on clinician-rated improvement in the frequency and severity of aggressive outbursts over follow-up.\nResults: All three children were male (aged 7-10 years). Two had comorbid ADHD, and all exhibited brief, impulsive aggression disproportionate to triggers, followed by remorse. EEGs showed epileptiform activities. Treatment was individualized fluoxetine, carbamazepine, and clonidine were prescribed based on symptom profile and comorbidity with significant reduction in aggression and improved emotional regulation. Cognitive behavioral therapy (CBT)-based anger management further enhanced outcomes.\nConclusion: Though impulsive aggression is common in early childhood, IED is a rare diagnosis in this age group. Childhood-onset IED may be confused with ADHD, oppositional defiant disorder, or mood disorders. Comorbidities are common, and individualized multimodal treatment is essential.\n\n\n### Think organic first: A mandate for safe neuropsychiatric practice\nAneesha Sharma, Shishir Kumar\nKSHEMA, India\nIntroduction: Delirium, catatonia, and extrapyramidal symptoms (EPS) frequently present with overlapping features, making differentiation challenging in acute neuropsychiatric deterioration. In patients with long-standing psychiatric illness, these symptoms are often misinterpreted as relapse or medication-related effects, risking diagnostic delay. This case highlights the importance of a systematic, organic-first approach to ensure potentially life-threatening medical conditions are not overlooked.\nCase Presentation: A 49-year-old male with bipolar affective disorder type-1 since 25 years presented with progressive slowness of movements since 2 years, rigidity, tremor, and fluctuating consciousness since 6 months increased since the last 2 weeks and acute mutism. Initial impressions suggested catatonia or antipsychotic-induced EPS. Comprehensive assessment was done. Results revealed delirium secondary to Chromobacterium violaceum septicaemia an exceptionally rare pathogen in immunocompetent individuals complicated by SIADH with marked hyponatraemia (Na- 124 mmol/L). A concurrent mood-related catatonia was supported by partial response to lorazepam, while nerve conduction studies confirmed chronic peripheral neuropathy contributing to EPS-like manifestations.\nDiscussion: The coexistence of delirium, catatonia, and neuropathic EPS masked the underlying infectious pathology and contributed to significant diagnostic complexity. Management required targeted intravenous antibiotics, sodium correction, lorazepam administration, and optimisation of psychotropic therapy to prevent worsening EPS. The unexpected identification of C. violaceum necessitated further evaluation of immunocompetence and highlighted the need to consider atypical pathogens in complex septic presentations.\nConclusion: Acute behavioural and motor changes require medical evaluation before psychiatric attribution, with multidisciplinary input essential for accurate diagnosis and optimal outcomes\n\n\n### Methylphenidate-induced acute pancreatitis in a 9-year-old child: A case report\nAniket Awasthi, P. Sai Kiran, N. Uma Jyothi\nGMC, Guntur, Andhra Pradesh, India\nBackground: Methylphenidate is a commonly used medication for attention-deficit/hyperactivity disorder (ADHD) in children and is generally regarded as safe. Nonetheless, acute pancreatitis has only rarely been linked to its use, and very few pediatric cases have been described.\nAims: To present a case of acute pancreatitis that developed shortly after the initiation of methylphenidate in a child newly diagnosed with ADHD.\nMethods: A 9-year-old boy started on oral methylphenidate 10 mg/day developed irritability, poor appetite, and progressively worsening abdominal pain after 6 days of treatment. He underwent clinical assessment, laboratory testing, and abdominal ultrasonography. Other common causes of pediatric pancreatitis including infections, trauma, metabolic abnormalities, biliary issues, and exposure to additional medications were evaluated to rule out alternative explanations.\nResults: The child exhibited marked epigastric tenderness and mild guarding without fever or jaundice. Serum amylase (600 U/L) and lipase (570 U/L) were significantly elevated, with mildly increased aminotransferases and normal bilirubin. Ultrasonography showed an enlarged, hyperechoic pancreas with a slightly dilated duct (2.2 mm) and minimal intraperitoneal fluid, fulfilling INSPIRE criteria for acute pancreatitis. The liver and gallbladder appeared normal. No secondary cause was identified. Methylphenidate was discontinued, and conservative management with nil per oral intake, nasogastric decompression, and intravenous fluids led to steady improvement, allowing discharge in stable condition.\nConclusion: Although rare, acute pancreatitis may occur in association with methylphenidate therapy. Clinicians should consider this diagnosis when children receiving stimulant medication present with persistent abdominal pain.\n\n\n### Sertraline-induced sialorrhoea: A rare adverse effect in psychiatric practice\nAniket Sureshrao Lambat, Harshali More\nGrant Government Medical College, Mumbai, Maharashtra, India\nBackground: Sialorrhoea refers to excessive salivation due to overproduction or impaired clearance of saliva. Antidepressant medications, particularly tricyclic antidepressants and, less commonly, selective serotonin reuptake inhibitors (SSRIs), are usually associated with decreased salivation and complaints of dry mouth. Reports of hypersalivation with SSRIs are very rare.\nCase Description: A 41-year-old female diagnosed with Functional Neurological Symptom Disorder was started on sertraline 25 mg/day, which was gradually increased over three months to 125 mg/day. After increasing dose, she developed excessive salivation, causing difficulty while talking and wetting of her pillow during sleep. She was referred to neurology, ENT, and dental departments to rule out local or neurological causes; all assessments were unremarkable. On reducing the dose of sertraline, the hypersalivation was decreased and after stopping sertraline it was resolved completely within a few days, suggesting a probable causal relationship.\nDiscussion: Although uncommon, sertraline-induced hypersalivation may occur as an idiosyncratic adverse effect. The mechanism may involve serotonergic modulation of salivary nuclei or enhanced parasympathetic activity. Recognition of this reaction can help avoid unnecessary investigations and improve treatment adherence through timely intervention.\nConclusion: Sertraline-induced sialorrhoea is a rare but reversible adverse drug reaction. Clinicians should consider medication-related causes when evaluating new-onset hypersalivation in psychiatric patients.\nKey words: Adverse drug reaction, hypersalivation, psychiatry, selective serotonin reuptake inhibitors, sertraline, sialorrhoea\n\n\n### Obsessional ruminations manifesting as repetitive self-muttering in a patient with comorbid obsessive-compulsive disorder and recurrent depressive disorder: A case report\nAnimesh Jain, Sreya Banerjee, Maviya Pathan\nKalinga Institute of Medical Sciences, Bhubaneswar, Odisha, India\nBackground: Obsessive-compulsive disorder (OCD) frequently co-occurs with depressive disorders, with prevalence rates of comorbidity ranging from 60-70%. While typical OCD presentations involve recognizable compulsions, obsessional ruminations without overt rituals pose diagnostic challenges, particularly when they manifest as unusual behaviours that may mimic psychotic phenomena.\nAims: To describe an unusual presentation of OCD where obsessional ruminations manifested as repetitive self-muttering, leading to initial diagnostic uncertainty.\nMethods: We present a case of a 33-year-old male with 16-year illness duration, admitted for suicidal risk.\nResults: The patient developed persistent low mood, anhedonia, and intrusive ego-dystonic thoughts about past negative remarks following academic failure at age 17. To neutralize distress from these intrusive ruminations, he began verbalizing the thoughts aloud repetitively, experiencing temporary relief thereafter. This self-muttering behaviour was initially misattributed to psychosis, resulting in multiple antipsychotic trials including clozapine which failed to improve and potentially worsened the obsessional symptoms. Over subsequent years, he developed classical checking compulsions and ego-dystonic harm-related obsessions. Progressive worsening of depressive symptoms culminated in a suicide attempt. Mental status examination revealed obsessional thoughts with preserved insight (Grade IV). A diagnosis of recurrent depressive disorder (severe episode) with comorbid OCD (mixed obsessional thoughts and acts) was formulated.\nConclusion: Obsessional ruminations may present atypically as repetitive verbalization, potentially mimicking psychotic self-talk. Careful phenomenological assessment distinguishing ego-dystonic obsessions from psychotic phenomena is crucial to avoid diagnostic misattribution and inappropriate treatment.\n\n\n### Clinical remission of persistent auditory hallucinations with low-frequency repetitive transcranial magnetic stimulation: A case series\nAnjali Bhatt\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Auditory hallucinations (AH) are among the most persistent symptoms of schizophrenia and may continue despite adequate antipsychotic therapy. Low-frequency repetitive transcranial magnetic stimulation (rTMS) over the left temporoparietal junction has shown promise as an adjunctive intervention, though evidence from Indian clinical settings remains limited.\nAim: To evaluate the clinical response and safety of adjunctive low-frequency rTMS for persistent auditory hallucinations in two patients with schizophrenia.\nCase Summary: Case 1: A 28-year-old female with a 4-year history of first-episode schizophrenia continued to experience severe AH despite olanzapine 20 mg/day. Baseline PSYRATS-AH score was 40. She received 30 sessions of 1 Hz rTMS (1600 pulses/session, 100% RMT). Over 4 weeks, she showed >70% improvement, achieving complete remission (PSYRATS 0). She remained stable for >1 year with weekly, then biweekly maintenance sessions. No adverse events were reported.\nCase 2: A 28-year-old male with treatment-resistant schizophrenia continued to have distressing AH despite clozapine 250 mg/day and quetiapine 100 mg/day (baseline PSYRATS-AH: 38). He underwent 41 sessions of the same protocol, achieving full remission (PSYRATS 0), sustained for >1 year on tapered maintenance rTMS. Treatment was well tolerated.\nResults: Both patients demonstrated complete resolution of persistent auditory hallucinations with adjunctive low-frequency rTMS, with sustained remission and no adverse effects.\nConclusion: Low-frequency rTMS over the left temporoparietal cortex may serve as an effective and well-tolerated adjunctive treatment for antipsychotic-resistant auditory hallucinations. Larger controlled studies are needed to establish optimal parameters and long-term outcomes.\nKey words: Auditory hallucinations, neuromodulation, repetitive transcranial magnetic stimulation, Schizophrenia\n\n\n### Role of naltrexone in internet gaming addiction: A case-report\nAnjali Bhatt\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Internet Gaming Disorder (IGD) is an emerging behavioural addiction, particularly affecting adolescents and young adults, characterised by impaired control, craving, compulsive engagement, and functional decline. Dysregulation of reward circuitry plays a central role in its pathophysiology. While psychosis is well recognised in substance-related addictions, its occurrence in behavioural addictions such as IGD remains underexplored. Pharmacological options for IGD are limited, and opioid antagonists like naltrexone have shown potential in reducing craving by modulating reward pathways.\nAim: To describe the multimodal management of Internet Gaming Disorder with associated psychotic symptoms and to highlight the therapeutic role of naltrexone in reducing craving and compulsive gaming behaviour.\nMethods: Mr. P, a 22-year-old male with a 6-year history of obsessive-compulsive disorder, previously treated with adequate doses of antipsychotics and adjunctive rTMS, presented with a 4-month history of excessive online gaming. He developed intense craving, irritability on restriction, marked functional impairment, and psychotic features. His baseline Young Internet Addiction Scale (YIAS) score was 82. Acute agitation and psychosis were managed with modified electroconvulsive therapy and antipsychotic medication, following which naltrexone 25 mg/day was initiated to target reward-driven urges and craving.\nConclusion: Following sequential multimodal intervention, there was significant clinical improvement with resolution of psychotic symptoms and marked reduction in gaming urges. The YIAS score reduced from 82 to 10, with improved impulse control and functional stability. This case highlights the potential role of naltrexone in managing craving-driven behavioural addictions and underscores the importance of phased, multimodal treatment in IGD with comorbid severe psychopathology.\n\n\n### To examine whether mild intellectual disability qualifies as unsoundness of mind in an accused under BNS Section 65 (POCSO Act)\nAnjali Bhatt\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Forensic assessment of criminal responsibility in individuals with Intellectual Disability (ID) remains a complex medico-legal issue, particularly in sexual offences under the POCSO Act. With the introduction of the Bharatiya Nyaya Sanhita (BNS), 2023, the legal framework for unsoundness of mind now corresponds to Section 22 of BNS. Psychiatrists play a crucial role in assisting courts by providing expert opinions based on functional capacity rather than diagnostic categorization alone.\nAim: To examine whether Mild Intellectual Disability qualifies as unsoundness of mind in an accused under BNS Section 65 (POCSO Act).\nMethods: A comprehensive forensic psychiatric evaluation was conducted on an under-trial accused, including clinical interview, collateral history, developmental assessment, review of legal records, and standardized psychometric testing. Intellectual functioning was assessed as per ICD-11 criteria. Adaptive functioning, understanding of the nature and consequences of the alleged act, and capacity assessment were specifically evaluated.\nResults: The accused was diagnosed with Mild Intellectual Disability. Despite cognitive limitations, he demonstrated awareness of the sexual nature of the act, understanding of its social and legal consequences, and the ability to differentiate right from wrong. No evidence of psychosis, gross impairment of reality testing, comorbid mental illness impairing judgment. MSE revealed no impairment that would interfere with his capacity to understand the nature and consequences of legal proceedings or to assist in his defence.\nConclusion: Mild Intellectual Disability alone does not constitute unsoundness of mind under BNS. Forensic psychiatric opinion must be based on individualized functional assessment rather than diagnosis alone.\n\n\n### Prevalence of depression and anxiety among diabetic patients in a tertiary care hospital\nAnjali Mittal\nKrishna Mohan Medical College and Hospital, Mathura, Uttar Pradesh, India\nBackground: Anxiety and depression are among the most common psychiatric comorbidities in patients with diabetes mellitus. Their presence can significantly complicate disease management and adversely affect treatment adherence and outcomes. The bidirectional relationship between diabetes and mood disorders may be attributed to neurotransmitter imbalances, chronic inflammation, insulin resistance, and psychosocial stressors. This study aimed to assess the prevalence and severity of depression and anxiety among diabetic patients attending a tertiary care hospital.\nMethods: A cross-sectional study was conducted on 40 diabetic patients (aged >30 years) attending the Department of Medicine, Krishna Mohan Medical College, Mathura. After obtaining informed consent, socio-demographic and clinical data were collected using a semi-structured proforma. Depression and anxiety were assessed using the Hamilton Depression Rating Scale (HAM-D) and Hamilton Anxiety Rating Scale (HAM-A), respectively.\nResults: Of the 40 patients, 55% were male and 50% were above 50 years of age. Anxiety was more prevalent (60%) than depression (55%). Among those with anxiety, 30% had mild, 25% moderate, and 5% severe symptoms. Among those with depression, 25% had mild, 15% moderate, 10% moderately severe, and 5% severe depression.\nConclusion: A substantial proportion of diabetic patients exhibited symptoms of depression and anxiety, emphasizing the need for routine psychological assessment in diabetes care. Integrating mental health evaluation and intervention into diabetes management can enhance treatment adherence, improve quality of life, and optimize overall health outcomes.\nKey words: Anxiety, depression, diabetes mellitus, mental health integration, psychosomatic medicine\n\n\n### Think organic: Catatonia revealing underlying pulmonary tuberculosis\nAnkit Raghuwanshi, Rajvardhan Bhanwar1, Ramghulam Razdan1\nIndex Medical College, Hospital and Research Centre, 1Department of Psychiatry, Index Medical College, Hospital and Research Centre, Indore, Madhya Pradesh, India\nIntroduction: Catatonia is a complex psychomotor syndrome often associated with psychiatric disorders, but it can also occur secondary to medical conditions, including infections. Tuberculosis (TB), though primarily a pulmonary disease, can present atypically in endemic areas. We report a rare case of pulmonary TB manifesting as catatonia in the psychiatry outpatient setting.\nCase Description: A 22-year-old female presented with acute onset mutism, posturing, refusal to eat, and negativism for 7 days. There were no clear mood or psychotic symptoms. History revealed constitutional symptoms suggestive of TB. Physical examination showed reduced breath sounds in the right upper lung zone. Mental status examination confirmed catatonia (BFCRS score: 18). Chest X-ray showed right upper lobe cavitation. CBNAAT was positive for Mycobacterium tuberculosis (rifampicin-sensitive). CT brain was normal.\nResults: A lorazepam challenge test produced partial improvement. The patient was started on lorazepam and anti-tubercular therapy (HRZE). Over 10 days, there was significant improvement in catatonic symptoms, and he was discharged in stable condition.\nDiscussion: Catatonia secondary to pulmonary TB is rare but important, especially in endemic regions. Immune and metabolic effects of TB may disrupt CNS function even without direct involvement.\nConclusion: Medical causes must be ruled out in catatonia. TB should be considered in atypical psychiatric presentations in high-prevalence areas.\n\n\n### Acute psychosis following renal transplantation in an adolescent: Diagnostic and therapeutic challenges\nAnkita Devrani, Romil Saini, Sadaf Aziz\nSGPGIMS, Lucknow, Uttar Pradesh, India\nBackground: Neuropsychiatric complications after renal transplantation in children are uncommon but clinically significant. Psychosis may arise from immunosuppressive agents especially calcineurin inhibitors as well as infections, metabolic disturbances, or psychosocial stressors. Rapid identification and safe pharmacological management are critical to avoid compromising graft function.\nCase Description: A 12-year-old boy developed acute psychosis, fluctuating consciousness, grandiosity, suspiciousness, and severe sleep disturbance two months post-renal transplant. Haloperidol, used initially for agitation, precipitated an acute dystonic reaction. Risperidone caused extrapyramidal symptoms including slurring of speech and rigidity. Quetiapine, titrated to 50 mg twice daily, was well tolerated and led to marked improvement. Transplant team concurrently reduced tacrolimus dosing and initiated a steroid taper for suspected medication-induced neurotoxicity. Behavioral interventions and caregiver psychoeducation complemented pharmacotherapy.\nResults: Symptoms improved significantly after cross-titration to quetiapine and optimization of immunosuppression. No further adverse effects occurred, and graft function remained stable. Multidisciplinary coordination facilitated safe management.\nConclusion: This case underscores the complexity of managing psychosis in pediatric transplant recipients. Antipsychotic selection must account for heightened EPS sensitivity and drug-immunosuppressant interactions. A collaborative, multidisciplinary approach is essential to ensure psychiatric stabilization without jeopardizing graft safety.\n\n\n### Prenatal, perinatal and familial risk factors in children with autism: A retrospective chart review of 283 cases\nAnkita Garg, Deepak Gupta\nSir Ganga Ram Hospital, New Delhi, India\nBackground: Autism Spectrum Disorder (ASD) is influenced by genetic, prenatal and perinatal factors. Indian studies presenting large clinical cohorts integrating these risk factors are limited.\nAim: To describe the frequency and distribution of prenatal, perinatal and familial risk factors in children diagnosed with ASD at a tertiary-care centre.\nMethods: A retrospective chart review was conducted for children diagnosed with ASD attending a Child and Adolescent Psychiatry Clinic in Delhi (January-November 2025). Data on prenatal (parental age, maternal health, emotional wellbeing), perinatal (gestation, delivery, birth weight, birth asphyxia, NICU stay), early feeding variables and family history were extracted. Descriptive statistics were used.\nResults: The study included 283 children (mean age 5.47 years; 81.6% male). Advanced paternal age (>40 years) was seen in 14.1%, advanced maternal age (>35 years) in 18%. Maternal complications were present in 35.69% hypothyroidism being most common and emotional distress in 9.5%. Preterm birth occurred in 15.9%; 77% were born by caesarean section. Low birth weight was noted in 18.3%. Birth asphyxia occurred in 0.4%, and 16.6% required NICU admission. 17% were never breastfed; among those breastfed, 17.88% received breastfeeding for <1 month and 75.3% for <6 months. Family history of neurodevelopmental disorders was present in 15.2%, psychiatric disorders in 4.6%, thyroid disorders in 32.9%, and metabolic disorders in 15.2%.\nConclusion: This large ASD cohort contributes important Indian data on prenatal, perinatal and familial risk factors. The findings highlight modifiable and non-modifiable contributors and underscore the need for improved antenatal care, high-risk infant surveillance and early intervention.\n\n\n### Too young to resist: A rare case of pre-school trichotillomania\nAnkita Ghosh, Gautam Kr. Bandyopadhyay, Nitu Mallik, Subhendu Datta\nMedical College Kolkata, Kolkata, West Bengal, India\nBackground: Trichotillomania is a disorder marked by recurrent hair-pulling leading to noticeable hair loss and functional impairment. Although described since 19th century, it remains under-recognized and challenging to treat. DSM-5 classifies it under obsessive-compulsive and related disorders. Its prevalence is estimated at 1-2%, predominantly in females, with most cases beginning in early adolescence. Very early onset (<6 years) accounts for fewer than 5% of cases.\nAim: To describe a case of very early-onset trichotillomania in a 4.5-year-old girl and her response to SSRI therapy.\nCase Report: A 4.5-year-old girl from a rural middle socioeconomic background, with no personal or family psychiatric history, presented with 15 months of scalp itching followed by repetitive hair-pulling. Initially limited to the vertex, it progressed to the frontal scalp and eyelashes. There was no association with stress, boredom, or fatigue, and no attempts to hide the behaviour, although she was unable to resist the urge. She had no mood or obsessive-compulsive features. Behavioral therapy was started but symptoms worsened over two months. Fluoxetine was initiated (5 mg, increased to 10 mg), followed by augmentation with Risperidone 0.25 mg.\nResults: A significant reduction in hair-pulling urges was observed after eight weeks of Fluoxetine. Complete remission occurred after five months of combined Fluoxetine and Risperidone. She currently maintains remission on Fluoxetine 10 mg with behavioral therapy.\nConclusion: Very early-onset trichotillomania is rare and difficult to manage. Although behavioral therapy remains first-line, this case highlights the potential usefulness of SSRIs, particularly fluoxetine, in early-onset presentations.\n\n\n### Digital socialization versus real-life isolation: Understanding the relationship between social media habits and loneliness in modern society\nAnkitkumar A. Shekhani, Pooja Shatadal1, Ritambhara Mehta1\nGovernment Medical College and Hospital, 1Government Medical College, Surat, Gujarat, India\nBackground: Loneliness is increasingly recognized as a global epidemic. Although digital communication has reshaped human interaction, loneliness continues to rise despite widespread online connectivity, raising concern about the quality - not just the quantity - of digital engagement.\nAim: To examine how social media use, interpersonal support, and demographic and living factors contribute to loneliness among adults.\nMethods: A cross-sectional online survey was conducted among adults aged >18 years, including students from multiple disciplines, unemployed-individuals, class 4-workers, healthcare-professionals, engineers, teachers, and homemakers. The questionnaire captured sociodemographic details, living arrangements, occupational status, social media use patterns, and coping strategies. Loneliness and interpersonal support were assessed using the 11-item De Jong Gierveld Loneliness Scale and the ISEL-12.\nResults: A total of 774 participants completed the survey (322 students; 452 non-students). Overall, 53.9% reported moderate and 26.7% severe loneliness. Most participants used mobile-based platforms, with 86% active for over three years. Higher loneliness was reported among singles-individuals, living alone or in PGs, medical-students (UGs & PGs), unemployed, nurses, housewives. Married and full-time professionals showed lower loneliness. Significant associations were found with profession (Ï‡Â²=54.86,p<.001), marital status (Ï‡Â²=21.38,p=.045), and living arrangement (Ï‡Â²=34.75,p=.003). Evening (p=.001) and late-night (p=.002) use correlated with higher loneliness, while social media-based coping showed no reduction.\nDiscussion: Loneliness is shaped by both digital behaviours and offline social structures. Online engagement alone did not mitigate loneliness, whereas joint family living and supportive relationships were strong protective factors. Interventions should focus on vulnerable groups and promote balanced digital use alongside meaningful real-life connections.\n\n\n### Influence of life events on first and recurrent episodes of bipolar disorder and schizophrenia\nAnkur Nayan, Pooja Dhurvey1\nVKSGMC, Neemuch, 1CIMS, Chhindwara, Madhya Pradesh, India\nBackground: “Life events” are any significant changes in one’s personal circumstances that have consequences in the personal and social domain, affecting physical and mental health. It has been proposed that patients with psychotic illness are more likely to experience stressful life events prior to the first and recurrent episodes.\nAims: To estimate and compare the prevalence and type of of pre-onset stressful life events (SLEs) in patients with bipolar disorder and schizophrenia.\nMethods: A cross-sectional study was conducted at a tertiary health care centre in Jabalpur (M.P.) which included a total of 150 consecutive cases of bipolar disorder and schizophrenia. These patients were assessed with help of assessment tools such as YMRS, HAM-D and BPRS. The stressful life events were assessed in the pre-onset period and quantified using the Presumptive Stressful Life Events Scale (PSLES). Statistical analysis was done using Chi-square tests and odds ratio.\nResults: Pre-onset stressful life events were significantly more prevalent in bipolar disorder (66%) than in schizophrenia (46.4%). Patients with bipolar disorder had more than twice the odds of reporting stressful life events as compared to patients with schizophrenia (OR=2.23). This difference was statistically significant (Ï‡Â² = 5.52, p = 0.019). In cases of both these disorders, the most frequent pre-onset stressful life events were family conflicts and broken engagement or love affair.\nConclusion: Pre-onset stressful life events must be carefully assessed, as they influence current episode outcomes and help prevent recurrence, ultimately improving functional recovery and quality of life in affected patients.\n\n\n### Invisible odour, real distress: A case of olfactory reference syndrome\nAnkur Nayan, Krishna Kumar Carpenter\nVKSGMC, Neemuch, Madhya Pradesh, India\nBackground: Olfactory Reference Syndrome (ORS) is a rare psychiatric condition characterized by a persistent false belief that one emits a foul or unpleasant body odour, often leading to significant distress, social avoidance and repeated medical consultations. Patients commonly seek help from non-psychiatric specialties such as dermatology or dentistry due to the somatic focus of symptoms. Early identification and psychiatric intervention are crucial for improving functional outcomes.\nAims: To assess a case of Olfactory Reference Syndrome and highlight the importance of psychiatric diagnosis and management.\nMethods: A 30 year old female was referred from the Dental OPD to the Psychiatry Department at a tertiary health care centre in Neemuch, (M.P). She had a persistent belief of bad smell emanating from her mouth. Detailed psychiatric evaluation and exclusion of organic causes were conducted. A diagnosis of Olfactory Reference Syndrome was made as per DSM-5-TR under Other Specified Obsessive-Compulsive and Related Disorders.The patient was started on Fluoxetine 20 mg/day, titrated up to 40 mg/day, and later augmented with Risperidone 2mg/day. She also received psychoeducation and supportive psychotherapy.\nResults: Following treatment with SSRI and augmentation with anti-psychotics, the patient showed marked improvement over subsequent weeks. Her preoccupation with perceived odour, associated distress, and reassurance-seeking behaviors reduced significantly, leading to complete symptomatic remission.\nConclusion: This case highlights the need for awareness among medical professionals regarding psychiatric conditions like Olfactory Reference Syndrome. Early referral and appropriate psychiatric management can result in full recovery, preventing chronicity and improving quality of life in affected individuals.\n\n\n### Online but not mine: WhatsApp cues triggering delusional jealousy\nAnkur Nayan, Krishna Kumar Carpenter\nVKSGMC, Neemuch, Madhya Pradesh, India\nBackground: The rapid expansion of digital communication platforms like WhatsApp has significantly influenced interpersonal relationships in modern era. The misinterpretation of few features such as last seen, blue ticks, online status, and status updates may amplify pre-existing insecurities. Othello Syndrome, or delusional jealousy, can be triggered by such digital cues, making it a relevant topic for Digital Psychiatry.\nAims: To present a case of delusional jealousy triggered by misinterpretation of WhatsApp features and highlight the emerging role of digital behaviour assessment in psychiatric practice.\nMethods: A comprehensive psychiatric evaluation of a 32-year-old married male presenting with persistent suspicion that his wife has an affair with another man, was conducted at a tertiary health care centre in Neemuch (M.P). Collateral history from his spouse was obtained which revealed that he repeatedly monitored her last seen, questioned about it and interpreted status updates as hidden signals directed towards her supposed lover. Despite reassurance and lack of evidence, his behaviour escalated to phone checking, sleep disturbance and irritability. The patient’s digital behaviour analysis was evaluated and diagnosed as Delusional Disorder-Jealous type according to DSM-5 criteria.\nResults: In the view of firm conviction of infidelity, the patient was started on tablet Risperidone 2mg/day, titrated upto 3mg/day and along with psychoeducation, digital hygiene instructions and couple sessions, he reported significant improvement within six weeks.\nConclusion: This case demonstrates how digital cues can precipitate delusional jealousy. Digital Psychiatry assessment should be incorporated into routine evaluations, as early identification and targeted interventions can significantly improve outcomes.\n\n\n### Cybersuicide phenomena: A clinical case series of internet-related suicide risks among adolescents\nAnna Sehgal, Jigyansa Ipsita Pattnaik\nKalinga Institute of Medical Sciences, Bhubaneswar, Odisha, India\nIntroduction: Internet-based pro-suicide communities and online suicide pacts are an emerging challenge in adolescent psychiatry. Unlike traditional pacts involving known relationships, these digital interactions often occur between young strangers with depression, requiring updated risk assessment and intervention strategies.\nMethods: Five cases (ages 14-19) were identified over 18 months in an adolescent psychiatry emergency and inpatient setting. All demonstrated significant suicide-related internet use (SRIU) uncovered during structured assessment. A standardized SRIU protocol explored general online habits, suicide-specific behaviors, digital social networks, and protective online engagement. Interventions included safety planning, supervised internet use, digital literacy psychoeducation, family involvement, and connection to pro-recovery online resources.\nResults/Cases: Five patterns emerged: (1) Pro-suicide forum immersion 17-year-old female researching sodium nitrite. (2) Online suicide pact 19-year-old male planning charcoal burning with a Reddit stranger. (3) Method-focused research 16-year-old female with BPD stockpiling pills. (4) Social media contagion 15-year-old male developing acute ideation after a celebrity suicide. (5) Predatory exploitation 14-year-old female groomed by an adult encouraging live-streamed suicide. All showed escalation linked to online exposure. Four stabilized within 12-16 weeks; one required 24 weeks.\nConclusion: Systematic assessment of online activity revealed critical risks that would have been missed otherwise. Tailored, multi-level interventions addressing individual vulnerabilities, family dynamics, and digital behavior were most effective. Routine SRIU assessment should be integrated into adolescent suicide evaluations.\nKey words: Cybersuicide, online suicide pacts, pro-suicide communities\n\n\n### A rare case of digital drug use as a substitute for cannabis addiction\nAnna Sharma\nGandhi Medical College, Bhopal, Madhya Pradesh, India\nBackground: Digital drugs are an emerging phenomenon with limited scientific evidence. They typically involve listening to binaural beats which are auditory stimuli claimed to mimic the effects of psychoactive substances. Digital drug use may occur independently or alongside ingestible psychoactive substances. This poster presents a rare case of digital drug use developing as a substitute for cannabis dependence.\nMethods: We report the case of a 25-year-old male student with a six-year history of cannabis use in the form of chillum, consuming 3-4 chillums per day. After discontinuing cannabis, the patient replaced it with online digital cannabis drug use. Initially, binaural beat use was limited to 2-3 hours per day but gradually escalated to 10-12 hours daily. The patient reported relaxation and improved sleep. He presented to Gandhi Medical College, Bhopal, where a detailed psychiatric evaluation was conducted.\nResults and Conclusion: Following comprehensive assessment, the patient was started on fluoxetine 20 mg once daily and enrolled in cognitive behavioural therapy (CBT) with a planned course of 10 sessions. At six-week follow-up, fluoxetine was up-titrated to 40 mg once daily due to partial response. The patient reported symptomatic improvement and was advised complete abstinence from all substances, including digital drugs. This case highlights digital addiction as a potential behavioural substitute in cannabis dependence, particularly among young individuals, and emphasizes the need for increased awareness and further research.\n\n\n### Psychogenic intractable sneezing: A case series of three adolescents\nAnna Sharma\nGandhi Medical College, Bhopal, Madhya Pradesh, India\nBackground: Sneezing is a protective reflex that clears nasal irritants and pathogens. Rarely, it becomes persistent without identifiable organic causes, termed psychogenic or intractable sneezing. Psychological stressors often precipitate or exacerbate symptoms.\nMethodology: We report three adolescents with intractable sneezing. Investigations including ENT, allergy, and neurological work-up were normal. Psychiatric evaluation revealed stress-related triggers: maternal authoritarian behavior and sibling discrimination in one, and academic stress in second and teasing by her school mates and friends in third . All responded to behavioral therapy, stress management, and short-term anxiolytic support.\nResults and Conclusion: Psychogenic sneezing should be considered in persistent, unexplained sneezing. Early identification and psychological intervention can lead to rapid resolution, preventing unnecessary medical treatments.\n\n\n### Incubus syndrome in schizophrenia and other primary psychotic disorders: A case series of integrated psychopharmacological and psycho-social interventions\nAnnanya Ray, Shruti Garg, Shreyashi Koner\nInstitute of Human Behaviour and Allied Sciences, Delhi, India\nAim: To describe the clinical phenomenology of incubus experiences in female patients with schizophrenia and other primary psychotic disorder and to explore the therapeutic outcomes following integrated psychopharmacological and psychosocial interventions.\nMethods: This case series was conducted by recruiting three patients admitted to female Psychiatry ward of a tertiary neuropsychiatric hospital through the Psychiatry OPD/emergency services. Diagnosis was made using ICD-11 diagnostic criteria. Positive and Negative Syndrome Scale and other case-relevant instruments were used to assess the psychopathology and its improvement. Patients received individualized treatment involving optimization of antipsychotic, mood-stabilizer, modified Electro-convulsive therapy (ECT) along with supportive and insight-oriented psychotherapy. Follow-up assessments were conducted in the OPD.\nResults: All patients with incubus experiences had schizophrenia and other primary psychotic disorder. Age, duration of psychosis, marital and menopause status varied in these patients. Multiple interview sessions were required to elicit the detailed history of incubus experiences. Notable symptomatic improvement and resolution of these experiences were observed with appropriate psychopharmacological management (including modified ECT when indicated) combined with structured psychotherapeutic interventions. Follow-up assessments revealed persistent remission of incubus phenomena, along with enhanced psychotic symptom control, improved psychosocial adjustment, and resolution of incubus-related guilt.\nConclusion: Patients experiencing incubus phenomena often feel embarrassed to disclose these experiences, even to mental-health professionals, which may contribute to underreporting. Incubus syndrome can appear at any age, irrespective of the duration of psychosis, marital and menopause status. Integrated treatment combining pharmacotherapy with psychosocial interventions can lead to symptomatic & functional recovery and reduce distress associated with incubus phenomena.\n\n\n### Screening for mental health disorders among Indian women: Female psychiatrist perspectives\nAnooja Jose, Niska Sinha1, Ruksheda Syeda2, Supriya Hegde Aroor3, Pradip Mate\nLupin Ltd., Pune, 2Trellis Family Centre, Mumbai, Maharashtra, 1Indira Gandhi Institute of Medical Sciences, Patna, Bihar, India, 3Falnir Mindcare Centre\nBackground: Despite growing awareness, mental health screening for women in India remains inadequate. Insights from psychiatrists can aid in identifying key screening priorities across women’s life stages.\nMethods: Cross-sectional survey was conducted among women psychiatrists attending a conference to explore perspectives on essential screening conditions, timing, and strategies to improve women’s mental health.\nResults: 32 women psychiatrists participated in the study. Majority of participants 68%(n=21) identified women of reproductive age(20-45 years) as the most affected demographic for mental health disorders, followed by adolescence(34%) and those in perimenopause(25%). Perinatal depression(35%), depression(32%), and anxiety disorders(13%) need to be prioritized for early screening among younger demographics. Over 50% noted that women’s psychiatric symptoms are often misattributed to usual female changes, thereby delaying necessary care. Female psychiatrists advocated for timely diagnosis and management of postpartum depression and antenatal depression by non-psychiatric clinicians. They also agreed that non-psychiatric clinicians often overlook menopause-related mood-instability and cognitive issues. More than 50 %(n=18) strongly suggested integrating mental health services into gynecology clinics and community education initiatives to improve early detection. Use of standardized, locally validated screening tools like GHQ-12(31%) and PHQ-9(25%) were recommended for assessing women’s mental health in Indian practice. Targeted screening in nursing homes/ gynecology centers by trained non-specialist health workers (eg.,ASHA workers, ANMS,etc) were highlighted by the majority(56%), as essential for early intervention.\nConclusion: There is urgent need for routine, life stage-specific mental health screening to be integrated into women’s healthcare pathways in India to reduce under-diagnosis and enable timely intervention.\n\n\n### Risperidone – Induced akathisia in disulfiram – Induced psychosis with co-morbid bipolar affective disorder, alcohol dependence syndrome and intellectual disability\nAnshika Tyagi\nBharati Vidyapeeth Deemed to be Medical College and Hospital, Sangli, Maharashtra, India\nBackground: Disulfiram-induced psychosis arises from Dopamine hydroxylase inhibition causing dopaminergic hyperactivity. Antipsychotic-induced akathisia is frequent & associated with suicidality & poor adherence. Coexisting bipolar affective disorder, alcohol dependence & intellectual disability further complicate diagnosis & management.\nCase Presentation: 33 y/o male with Bipolar Affective Disorder, Alcohol Dependence Syndrome & Intellectual Disability developed acute psychosis on Disulfiram. Risperidone given for psychotic symptoms, led to severe akathisia within 5 days with complaints of restlessness, urge to move, palpitations & insomnia.\nAssessment: Severity was rated using the Barnes Akathisia Rating Scale (BARS)\nOver 10 days, BARS improved from 9 (severe) to 4 (marked akathisia) with parallel improvement in symptoms & functioning.\nNeurological examinations: Bradykinesia & Rigidity present.\nManagement: Risperidone was withdrawn.\nConventional management with Propranolol & Benzodiazepines produced minimal benefit, prompting addition of Mirtazapine 15mg & Pregabalin 450mg, producing progressive relief with reduced restlessness & restored sleep & functioning.\nConclusion: This case highlights the complex interaction of Disulfiram-induced psychosis, Bipolar Affective Disorder & Risperidone-induced akathisia in Intellectual Disability & suggests Mirtazapine with Pregabalin as a potential option when first-line strategies for akathisia are ineffective, meriting further study.\n\n\n### Distribution of socio economic strata and IQ score of mental retardation children attending to psychiatry at Muzaffarnagar Medical College and Hospital offering and expectation of governmental scheme\nAnshu Devi, Anshu Sharma\nDepartment of Psychiatry, Muzaffarnagar Medical College and Hospital, Muzaffarnagar, Uttar Pradesh, India\nApproximately 26 million to over 90 million for all Intellectual disabilities reported in India with prevalence rater of 2.3% of population. The different sources has different estimate of intellectual disabilities. The socio economic strata and need socio governmental support may vary.\nAim and Objectives: To estimate the socio governmental strata and estimate their need to support intellectual disabilities in deficient population.\nTools: WAIS -R, MODIFIED CKUPPASWAMY SCALE for urban population and Uday pareek scale for rural population and formulated questionnaires.\nMethods: The score of selected different severity of 50 intellectual disabilities of were assessed and estimated on wais -r and kuppuswamy and uday pareek scale . They were also assessed on formulated questionnaires to assessed support need.\nResults and Conclusion: The persons of different intellectual disabilities had different need and high expectation of governmental supports are required according to their severity.\n\n\n### Predictive role of emotions on dream state: A single-subject longitudinal study\nAnupam Tamuli, Suresh Chakravarty, Deepanjali Medhi, Raj Kr Seal\nGauhati Medical College and Hospital, Guwahati, Assam, India\nBackground: Dreams represent a unique extension of emotional processing. Contemporary continuity theories propose that waking affect directly influences dream content, yet fine-grained longitudinal data linking daily mood, sleep duration, and dream tone remain scarce.\nAims: 1. To examine associations between daily positive/negative affect and emotional tone of dreams. 2. To determine whether sleep duration predicts dream positivity.\nMethods: A 30-day single-subject longitudinal design was undertaken on a healthy adult. Pre-study evaluation included mental status examination and EEG to exclude psychiatric or neurological abnormalities. Daily mood was assessed using the Positive and Negative Affect Schedule (PANAS). Sleep duration was logged nightly. Dream diaries recorded dream recall, vividness, and emotional tone (positive/mixed/negative). Psychoactive substances, including alcohol and nicotine, were strictly avoided throughout the study. Statistical analysis included Pearson correlation, multiple linear regression, and ANOVA to test overall model significance.\nResults: Across 30 nights, dream tone distribution was: 36.67% positive, 43.33% mixed, and 20% negative. Positive affect correlated significantly with positive dream tone (r = 0.407, p = 0.026), while negative affect correlated with mixed/negative tone (r = 0.235, p = 0.0211). Longer sleep duration was associated with more positive dreams (r = 0.375, p = 0.041). Multiple linear regression revealed that PA, NA, and sleep duration collectively predicted dream tone (ANOVA p = 0.039, RÂ² = 56.93%).\nConclusion: Daily emotional states and sleep duration meaningfully shape dream emotional tone. These findings support the continuity hypothesis and suggest that dream tone may serve as a simple, low-cost emotional biomarker in clinical practice.\n\n\n### Obsessive-compulsive disorder masquerading as central nervous system tuberculoma\nAnuragini Suresh, W. J. Alexander Gnanadurai, A. Balaji\nDepartment of Psychiatry, Government Kilpauk Medical College Hospital, Chennai, Tamil Nadu, India\nBackground: Tuberculosis is among the oldest and most devastating infectious diseases worldwide. Central nervous system involvement, especially in the pediatric population, is a rare and severe manifestation.While seizures, fever and headache are well-recognized symptoms, the emergence of obsessive-compulsive disorder (OCD) during treatment is atypical.\nPatient Profile: An 11-year-old boy had complaints of recurrent headaches, intermittent fever, and seizures.MRI Brain confirmed CNS tuberculoma. He was commenced on ATT with Isoniazid, Rifampicin and Ethambutol with a later chest X-Ray showing calcific spots, confirming Tuberculosis.\nAfter one year on ATT, the patient developed significant obsessive-compulsive symptoms, including contamination obsessions, intrusive thoughts of harm to his parents, cleaning compulsions and checking compulsions, for which he was referred to Psychiatry leading to a diagnosis of OCD secondary to an organic cause.Patient was started on Tab.Escitalopram while ATT and antiepileptic therapy were continued.A follow-up MRI Brain showed a calcified granuloma in the precentral gyrus with no active disease, and ATT was completed after 18 months.Currently, he remains on antiepileptics and Tab.Escitalopram and Tab.Clomipramine.\nDiscussion: This case underscores the unusual aspect of the emergence of OCD symptoms during treatment.The pathogenesis of OCD in this patient may be multifactorial: direct neurobiological effects of CNS tuberculoma, secondary network dysfunction, or an adverse effect of ATT (notably isoniazid).This case highlights the importance of vigilance for rare psychiatric complications such as OCD, which may arise either from the disease itself or as an adverse effect of therapy, and which require timely recognition and management.\n\n\n### Chronic psychosis with multisystem comorbidity: A complex interplay of autoimmunity and metabolic dysfunction\nC. H. Anusha, G. Archana\nBangalore Medical College and Research Institute, Bengaluru, Karnataka, India\nBackground: A 45-year-old woman presented with a decade-long history of suspiciousness and persecutory beliefs, recently extending to close family members. She showed irritability, functional decline, poor self-care, reduced intake due to suspiciousness, and insomnia. Family history revealed psychosis in a second-degree relative. Medical comorbidities included Type 1 Diabetes Mellitus, prior cerebrovascular accident, Takayasu arteritis, and newly diagnosed hypothyroidism.\nCourse and Treatment: On admission, her PANSS score was 89. She had uncontrolled hyperglycemia due to medication non-adherence. Aripiprazole was titrated to 40 mg without improvement, prompting a cross-taper to Cariprazine 3 mg. Investigations showed markedly elevated TSH, and she developed diabetic ketoacidosis requiring urgent stabilization. Intermittent blurred vision and gait difficulty required neurological assessment. Multidisciplinary management stabilized her metabolic abnormalities, following which her psychotic symptoms improved and she was discharged.\nDiscussion: This case illustrates the interplay between chronic psychosis and autoimmune-endocrine dysfunction. Type 1 diabetes and Takayasu arteritis involve immune dysregulation and systemic inflammation, which may heighten neuroinflammatory vulnerability. Metabolic crises such as DKA and autoimmune-related blood-brain barrier compromise can further exacerbate psychiatric symptoms. Untreated hypothyroidism may contribute to cognitive and psychotic features. A family history suggests genetic susceptibility overlapping immune and psychiatric pathways.\nConclusion: Comprehensive assessment and timely correction of autoimmune, endocrine, and metabolic abnormalities are essential in chronic psychosis, emphasizing the need for integrated multidisciplinary care.\n\n\n### A case report comparing the efficacy between i.v ketamine therapy versus ECT in a case of treatment-resistant depression with impulsive DSH attempt\nAnushka Kumar, Romesh Bagde, Smrity Shailly Bagde, Sushil Gawande\nLata Mangeshkar Hospital and NKPSIMS, Nagpur, Maharashtra, India\nBackground: Treatment-resistant depression (TRD) is defined as the failure to respond to at least 2 adequate antidepressant trials from different pharmacological classes, where each trial is of adequate dose, duration (6-8 weeks), and adherence. 20-30% of all patients with MDD develop TRD.\nAim: To present a case of Treatment-Resistant Depression who has received both Electro-convulsive therapy and intravenous Ketamine Therapy.\nMethods: 23 year old, unmarried, Marathi-speaking student came to OPD with chief complaints of sadness of mood, episodes of restlessness with palpitation, choking sensation in the throat, crying spells and self harm attempts since 4 years increased since last 2 years. Past history of multiple DSH attempt with a total of 3 admissions for similar complaints . No family history of psychiatric illness or medical/surgical co-morbidities in the patient. Currently she stays with her cousin as both parents had passed away.\nResults and Conclusion: Patient was given 8 sessions of intravenous Ketamine on the first admission and on clinical assessment and evaluation of serial HDRS scores it was observed that patient showed significant improvement and was stable . After which there was relapse as she went off ketamine therapy. Her symptoms worsened in form of self harm attempts, so she was admitted and was given 12 sessions of ECT on which patient reported 20-30 %improvement which was comparatively less than ketamine.\n\n\n### Beyond the battlefield: Understanding lived experiences of Indian War Veterans\nAnushka Sharma, Patrick Jude1\nChrist (Deemed-to-be University), Central Campus, 1Department of Psychology, Christ (Deemed-to-be University), Bengaluru, Karnataka, India\nServing in the military involves multiple stressors with increased demands, compromised safety, separation from familiar neighbourhoods, and exposure to traumatic experiences. Reintegration from military to civilian life involves identity restructuring, psychosocial stress, and dealing with stigma around help-seeking. The primary objective of this study is to understand the lived experiences of Indian Army war veterans’ reintegration and to shed light on the resilience and growth that emerge with this transition.\nThis study employed a Descriptive Phenomenological approach to understand the lived experiences of Indian Army War Veterans, their reintegration, and its impact through a psychological lens. Data were collected between May and August 2025, using semi-structured interviews with retired Indian male war veterans from North India, conducted through purposive sampling. Key themes were then manually identified by re-reading and applying Giorgi’s phenomenological guided data analysis method.\nAnalysis has brought to light six major themes: (1) Ethical/moral reflections with emotional growth, (2) Social connectedness, camaraderie, and family support, (3) Identity evolution through inherited integrity and spiritual grounding, (4) Practical adaptation via deliberate self-management, (5) Compartmentalised nostalgia, and (6) Adaptive outlets like sports.\nThe findings suggest that reintegration is a multifaceted process, one that involves identity reconstruction, relational dynamics, and resilience building amidst challenges such as the stigma of help-seeking behaviour; all while advocating for a more comprehensive, culturally attuned support system that addresses psychological, social, and physical needs. This study has successfully achieved its aim of understanding war veterans’ lived experiences of reintegration into civilian life through the use of Phenomenology.\n\n\n### A boy caught in a web of delusions – A case report on very early onset schizophrenia with behavioural symptoms\nApoorv Shah, Manish Borasi1\nChirayu Medical College and Hospital, 1Department of Psychiatry, Chirayu Medical College, Bhopal, Madhya Pradesh, India\nBackground: The concept of Childhood Schizophrenia has evolved from being applied for Autism in 1970’s to EOS (Early Onset Schizophrenia), a clinical and neurobiological continuum with Adult Schizophrenia.\nEOS differs from adult onset by characters like insidious onset, predominant negative symptoms, visual hallucinations, less systematized delusions and higher rates of developmental abnormalities.\nObjective: This case report evaluates the clinical profile of a case of Paranoid Schizophrenia in a 9 year old boy who had onset of illness at the age of 4 years.\nMethodology: This case report evaluates the clinical profile of a 9 year old male who was brought to Psychiatry clinic of a tertiary care hospital and was diagnosed with Paranoid Schizophrenia according to The ICD-10 Classification of Mental and Behavioural Disorders. On the basis of comprehensive clinical and psychological tests other disorders of childhood were ruled out. Patient was treated on inpatient basis.\nConclusion: By this case report we wish to bring in light the milaeu of presentation of Very Early Onset Schizophrenia. We also wish to emphasize on the Very Early Onset at 4 years and the associated Behavioural symptoms, systematized delusions and florid positive symptoms which are usually rare for Early Onset Schizophrenia.\nKey words: Behavioural symptoms, delusion, very early onset schizophrenia\n\n\n### Enhancing treatment adherence through video-based interventions in adolescents: Novel approaches to individual challenges\nApurva Parashar, Apurva Parashar, Jigyansa Ipsita Pattnaik\nKalinga Institute of Medical Sciences, Bhubaneswar, Odisha, India\nBackground: Medication non-adherence remains a significant challenge in adolescent psychiatry, with rates ranging from 6-69% across various psychiatric disorders. Traditional psychoeducational approaches often fail to engage adolescents effectively. Video-based interventions represent a novel, developmentally appropriate approach to enhance treatment adherence.\nObjective: To demonstrate the application and effectiveness of individualized video-based psychoeducational interventions as adjunctive treatments addressing specific adherence barriers in adolescent psychiatric patients.\nMethods: We present a case series of five adolescents (aged 14-18 years) with diverse psychiatric diagnoses who received customized video-based interventions alongside standard psychiatric care. Video content was tailored to address individual barriers including knowledge deficits, stigma concerns, side effect management, and family communication challenges. Adherence was assessed using the Medication Adherence Rating Scale (MARS) and clinical outcomes were monitored over 12 weeks.\nResults: All five cases demonstrated improved adherence following video-based interventions, with MARS scores improving by 35-65%. Video interventions successfully addressed unique challenges including medication misconceptions in ADHD, stigma-related non-adherence in bipolar disorder, side effect concerns in OCD, family conflict in major depressive disorder, and treatment motivation in anxiety disorders. The intervention was well-accepted by adolescents and their families.\nConclusions: Video-based psychoeducational interventions show promise as flexible, scalable adjuncts to traditional treatment approaches for adolescent psychiatric disorders. The format allows for individualized content delivery addressing specific adherence barriers while remaining developmentally appropriate and engaging for the adolescent population.\nKey words: Adolescent psychiatry, digital mental health, medication adherence, psychoeducation, video-based intervention\n\n\n### Risperidone-induced recurrent dermatological adverse reaction in a patient with psychosis: A case report\nApurva Parashar, Apurva Parashar, Shikha Adil, Udit Kumar Panda\nKalinga Institute of Medical Sciences, Bhubaneswar, Odisha, India\nBackground: Risperidone is an atypical antipsychotic with a favourable tolerability, efficacy profile, but rare cutaneous adverse drug reactions (CADRs). Such reactions may complicate long-term psychiatric treatment, especially in patients requiring sustained antipsychotic therapy. Reporting these cases is essential for improving clinical awareness and guiding safer medication choices. Since Risperidone is widely used for psychosis, even rare ADRs warrant documentation.\nCase Presentation: A 36yrs/female with a 10-year history of psychotic illness has been on multiple Psychotropics with poor compliance. During the recent admission, within 48-72 hours of receiving Tab Risperidone 4mg/day with Trihexyphenidyl 2mg/ day, she developed generalized erythematous pruritic rash with raised lesions without mucosal or systemic involvement, and blood investigations were normal. No alternative triggers were identified. With Tablet Cetirizine and Prednisolone, Symptoms resolved completely after 10 days of stopping Risperidone. She continued to improve on Tab Haloperidol 10mg/d and was on Trihexyphenidyl 2mg. On further evaluation, as reported by parents, she had developed similar skin reaction on taking Risperidone 2 mg in 2016. The rash resolved within 10 days of discontinuing Risperidone. She has a history of tolerating Asenapine, Trifluoperazine, and Olanzapine for three years, without any dermatological reactions.\nDiscussion: Temporal association, reproducibility on re-challenge (although unintentional), and complete resolution on withdrawal fulfil WHO-UMC criteria for a probable risperidone-induced hypersensitivity reaction, possibly Type I/IV or mast-cell mediated.\nConclusion: This case underscores recurrent risperidone-induced cutaneous hypersensitivity and highlights the need for monitoring, prompt withdrawal, documentation, and avoidance of re-exposure. Individualized antipsychotic selection remains essential for long-term management.\n\n\n### Dose response association of selected antidepressants (sertraline, mirtazapine, venlafaxine) in depression\nArchana Chauhan, Prateek Yadav, Vinay Singh Chauhan, Shilpa Mandal\nArmed Forces Medical College, Pune, Maharashtra, India\nBackground: Depression is a prevalent mental health disorder affecting 3.8% of the global population, with higher rates in women and older individuals. The World Health Organization projects depression will become the second-leading cause of global disease burden by 2030. Antidepressant medications, such as sertraline, mirtazapine and venlafaxine have a variable efficacy and play a vital role in managing moderate to severe depression. This study aims to evaluate the dose-response association of these drugs over 8 weeks.\nMethods: This observational study included 100 drug-naive patients diagnosed with depression according to ICD-10 criteria at a tertiary care hospital. Patients were started on sertraline or mirtazapine or venlafaxine based on clinical judgment. The Hamilton Rating Scale for Depression (HAM-D) was used to assess depression severity at baseline, 4 weeks and 8 weeks. Doses were adjusted based on clinical response and the response was analyzed.\nResults: At baseline, 73% of patients had moderate depression, and 27% had severe depression. The dose of antidepressants was up-titrated to mean dose of 122.9mg of Sertraline, 23.6mg of Mirtazapine and 119.4mg of Venlafaxine which resulted in the highest reduction in HAM-D scores (61%) in cases on sertraline, followed by mirtazapine (58%) and venlafaxine (43%). No significant association between sociodemographic variables and treatment response was found.\nConclusion: Sertraline, mirtazapine, and venlafaxine all showed significant improvements in HAM-D scores over 8 weeks, with a positive dose-response association up to 150 mg, 45 mg, and 187.5 mg, respectively, not influenced by socio-demographic factors.\nKey words: Dose-response, mirtazapine, sertraline, venlafaxine\n\n\n### Bipolar 1 disorder with rapid cycling in the context of sarcoidosis, acute kidney injury, acute hepatitis, diabetes mellitus type 2 and alcohol dependence: A case report\nV. Archana Mohan, Mounika Tejaswini, D. Vijayalekshmi\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nIntroduction: Bipolar I disorder (BPAD) with rapid cycling becomes especially challenging when combined with alcohol dependence and acute multiorgan dysfunction. Coordinated care is required when mood episodes coexist with kidney, liver, and metabolic derangements. Aim: To highlight the complexity and management challenges of BPAD type 1 with rapid cycling and multiple medical comorbidities.\nObjective: To present a 46-year-old male with BPAD type 1, rapid cycling, sarcoidosis,acute kidney injury, acute hepatitis, diabetes mellitus type 2, and alcohol dependence, emphasizing integrated care.\nMethods/Case: A 46-year-old male with longstanding alcohol dependence and BPAD type 1 presented with mood instability, reduced sleep, irritability, and functional decline, along with deranged renal and liver function and poorly controlled diabetes. Mental status examination suggested rapid cycling without psychosis. CT brain was normal, while ultrasound and laboratory evaluation showed acute kidney injury with pathology indicating alcohol-associated liver disease with steatohepatitis and fibrosis and whole body PET-CT indicating Sarcoidosis . Treatment included T.Oxcarbazepine 300mg/day,T.Risperidone 6 mg/day, T.Trihexiphenidyl 2mg/day, insulin, and organ-directed supportive therapy, planned jointly with nephrology, hepatology, and endocrinology.\nResults: Alcohol abstinence, psychotropic optimization to account for organ dysfunction, and titration of insulin and supportive measures led to stabilization of mood, improved sleep and functioning, and partial reversal of biochemical evidence of renal and hepatic injury. Glycaemic control improved and no further affective episodes occurred during follow-up.\nConclusion: This case illustrates the need for early detection of alcohol-related multiorgan involvement and sarcoidosis in BPAD with rapid cycling and effective treatment, functional recovery.\n\n\n### Prevalence and sociodemographic distribution of screen use in preschool children attending a tertiary-care hospital\nArif Khan, Anil Gupta, Amit Arya, Pawan Kumar Gupta, Nishant Verma\nKing George’s Medical College, Lucknow, Uttar Pradesh, India\nBackground: Early screen exposure in preschool children has been linked with adverse effects on sensory processing, emotional regulation and behaviour, yet Indian data remain limited.\nAims: This study aimed to describe the pattern and prevalence of screen use and its distribution across key sociodemographic variables in preschool children.\nMethods: In this cross-sectional study, 82 preschool children (3-5 years) and their primary caregivers were recruited from outpatient services of a government tertiary-care teaching hospital. Sociodemographic details including age, sex, type of family and socioeconomic status were recorded using a semi-structured proforma. Screen use characteristics were assessed using the Digital Screen Exposure Questionnaire and the Seven-in-Seven Screen Exposure Questionnaire. Prevalence of screen use across sociodemographic categories was calculated and compared using appropriate statistical tests.\nResults: Most preschool children were exposed to digital screens on a daily basis. The prevalence of high screen use ( >1hour/day) varied by age group, with higher proportions in older preschoolers. Boys showed a greater prevalence of high screen exposure than girls. Children from nuclear families had higher rates of problematic screen use than those from joint families. Higher prevalence of screen use was also observed among children from middle socioeconomic status compared to lower or upper classes.\nConclusion: Screen exposure is highly prevalent among preschool children in this setting, with notable differences across age, sex, family type and socioeconomic status. These findings highlight the need for targeted parent-focused counselling and preventive strategies tailored to sociodemographic risk groups.\n\n\n### Insight and symptom severity in obsessive-compulsive disorder: A clinical cross-sectional analysis\nArish Khan1, Seshan1, Hina2\n1IHBAS, 2AIIMS, New Delhi, India\nBackground: Insight in obsessive-compulsive disorder (OCD) varies widely and influences symptom severity, functional impairment, and treatment response. Poor insight is associated with greater conviction in obsessive beliefs, more severe compulsions, and reduced global functioning. Understanding this relationship in Indian patients is essential for improving clinical assessment and management strategies.\nAims: To assess the relationship between insight and symptom severity in OCD, and to evaluate associations with symptom dimensions and global functioning.\nMethods: A cross-sectional study was conducted on 92 adults meeting ICD-10 criteria for OCD at a tertiary care centre in North India. Insight was assessed using the Brown Assessment of Beliefs Scale (BABS) and symptom severity with the Yale-Brown Obsessive Compulsive Scale (Y-BOCS). Standard statistical tests and Pearson’s correlation were applied.\nResults: Contamination was the most frequent symptom dimension (65.2%). Poor insight was present in 34.8% of patients. Mean Y-BOCS scores increased progressively across insight groups (excellent to poor: 8.7, 14.6, 17.3, 29.0; p<0.001). Insight showed a strong positive correlation with Y-BOCS severity (r=0.78). Harm/aggression and sexual/religious dimensions were significantly associated with better insight. Poor insight was strongly associated with severe functional impairment on GAF.\nConclusion: Poorer insight was common and strongly correlated with higher OCD severity and lower functioning. Insight also showed specific associations with certain symptom dimensions. Routine assessment of insight using structured tools may improve prognostication and allow more targeted treatment planning in clinical OCD management.\n\n\n### De novo obsessive-compulsive disorder following systemic corticosteroid use in an adolescent: A case report\nArnab Biswas\nNil Ratan Sircar Medical College and Hospital, Kolkata, West Bengal, India\nBackground: Systemic corticosteroids are frequently used for their anti-inflammatory and immunomodulatory benefits but are associated with neuropsychiatric adverse effects in 5-20% of patients. Common manifestations include mood changes, anxiety, insomnia, and psychosis. Obsessive-compulsive symptoms (OCS) or de novo Obsessive-Compulsive Disorder (OCD) are rarely reported, particularly in paediatric populations, where developmental neurobiological vulnerability may heighten risk.\nCase History: A 14-year-old previously healthy girl, diagnosed with Syndrome of Inappropriate Antidiuretic Hormone Secretion (SIADH), was started on systemic corticosteroids. Five days later, she developed intrusive, ego-dystonic thoughts that harm might befall her family unless she performed certain rituals. This progressed to compulsions including hand-washing, checking, symmetry behaviours, and counting, resulting in significant functional impairment. There was no past or family psychiatric history. Medical and neurological workups were unremarkable. The strong temporal association with corticosteroid initiation suggested steroid-induced de novo OCD.\nDiscussion: The case aligns with limited literature describing corticosteroid-associated obsessive-compulsive phenomena. Proposed mechanisms include HPA axis dysregulation, altered serotonergic signalling, disruption of the cortico-striato-thalamo-cortical circuit, and possible glutamatergic imbalance. Adolescents may be particularly susceptible due to ongoing maturation of neural networks regulating anxiety and cognitive control. Management involved gradual steroid taper alongside fluoxetine (10-20 mg/day) and supportive counselling, leading to progressive improvement and complete remission by six weeks. This case underscores that corticosteroids can precipitate reversible de novo OCD even in individuals without psychiatric vulnerability. Early recognition, timely dose adjustment, and SSRI treatment are crucial for full recovery. Greater clinical vigilance is warranted, especially in paediatric settings, to prevent misdiagnosis and reduce morbidity.\n\n\n### Patterns of pornography use, mental health impact, and attitudes among medical students: A cross-sectional study from a medical college in Kolkata\nArnab Biswas\nNil Ratan Sircar Medical College and Hospital, Kolkata, West Bengal, India\nBackground: Pornography consumption has increased with widespread digital access, especially among young adults. Medical students may be particularly exposed due to academic stress, developmental factors, and inadequate sex education in India. Although global evidence links pornography use with depression, anxiety, and stress, Indian data remain limited because of sociocultural stigma.\nAim: To assess the prevalence and patterns of pornography use, its association with DASS-21 depression, anxiety, and stress scores, and attitudes toward pornography among undergraduate medical students in Kolkata.\nMethodology: A cross-sectional, anonymous questionnaire-based survey was conducted from June to September 2025 among 412 MBBS students aged 18-25 years, selected through stratified random sampling. Instruments included a sociodemographic sheet, the Pornography Consumption Questionnaire (PCQ-Short Form), DASS-21, and an Attitudes Toward Pornography Scale. Data were analyzed using SPSS Version 29 with descriptive statistics, chi-square tests, independent t-tests, and Pearson correlations (p < 0.05).\nDiscussion/Conclusion: Lifetime exposure was reported by 96.1% of participants, and 67.4% reported use in the last 30 days. Around 15.2% met criteria suggestive of problematic use. Pornography consumption severity showed significant positive correlations with depression (r = 0.32), anxiety (r = 0.38), and stress (r = 0.41). Males reported higher frequency and loss-of-control patterns than females. Attitudes were mixed, with over half perceiving pornography as normal adult behavior, while a minority reported guilt or discomfort. The study highlights high exposure rates and meaningful links between problematic use and psychological distress, emphasizing the need for digital sexual health education and early mental health support in medical training settings.\n\n\n### Knowledge, attitude and beliefs of resident doctors towards transgender patient’s healthcare: An Indian scenario\nArnab Deb\nDr. BS Kushwah Institute of Medical Sciences and Rama Hospital, Kanpur, Uttar Pradesh, India\nBackground: There is rising trend of transgender individuals seeking for medical, surgical and psychological treatment in India. Many studies have shown an inadequate knowledge and wrong attitude of healthcare professionals including doctors towards transgender patient’s healthcare.\nAim: This study aims to assess the knowledge, attitude and beliefs of resident doctors towards transgender patient’s healthcare.\nMethods: A google form that includes demographic details, The Medical Practitioner Beliefs and Knowledge about Treating Transgender Patients (MP-BKTTP) survey scale, and The Medical Practitioner Attitudes Towards Transgender Patients (MP-ATTS) survey scale was sent to 293 resident doctors of Agartala Government Medical College via email.\nResults: Response rate was low (18%) with highest by the Senior Resident doctors (82%). The mean item score across the MP-BKTTP scale was 3.49 (SD = 1.07). This reflects fairly accurate understanding of transgender health needs. 98% participants expressed willingness to treat transgender patients but 84.9 % wanted better medical education to provide appropriate care to them. The overall mean item score was 3.32 (SD = 1.31) for MP-ATTS Scale, indicating more variability and ambivalence in general attitudes of resident doctors than their knowledge and belief.\nConclusion: The findings of our study also highlighted the need of inclusion of transgender healthcare related topics in medical curriculum. Further research is indicated in this field.\n\n\n### Cognitive deficits in mental illnesses: A comparative cross-sectional study across psychiatric diagnostic groups\nArun Kumar Dwivedi, Ranveer Singh1\nMilitary Hospital, Jodhpur, Rajasthan, 1Command Hospital (SC), Pune, Maharashtra, India\nBackground: Cognitive deficits are a core feature of many psychiatric disorders. Since psychiatric diagnoses are largely syndromal, there is substantial variation in functional impairment within the same category. Objective tools like the PGI Battery of Brain Dysfunction (PGI-BBD) are valuable in quantifying these deficits, particularly in the military setting where cognitive functioning is critical to operational readiness and rehabilitation.\nMethods: The study was conducted at a tertiary care Armed Forces hospital and included 200 male inpatients diagnosed with Alcohol Dependence Syndrome (ADS), Anxiety Disorders, Depressive Disorders, Bipolar Affective Disorder (BPAD), or Schizophrenia. These diagnostic groups were selected due to their high prevalence in psychiatric caseloads. After obtaining informed consent, cognitive function was assessed using PGI-BBD. Data were analyzed using SPSS version 20.0. Comparisons across groups were performed using ANOVA and Tukey’s post hoc tests.\nResults: ADS patients showed impairments in remote memory, visual retention and recognition, verbal and performance quotients, and perceptuo-motor functioning. Anxiety Disorders were associated with deficits in attention, concentration, and verbal memory. Depressive Disorders revealed impairments in attention, immediate and delayed recall, verbal memory, comprehension, and perceptuo-motor functioning. BPAD patients had deficits in attention, concentration, and visual memory. Schizophrenia was associated with deficits in verbal and visual memory and performance-based tasks. Conclusion: Cognitive impairments were present in all diagnostic groups even during remission. These deficits may contribute to occupational dysfunction in military personnel, highlighting the need for cognitive retraining as part of psychiatric rehabilitation.\n\n\n### Reduced-penetrance huntington disease (CAG 37) presenting with a bvFTD-like neuropsychiatric syndrome: A multimodal diagnostic approach\nAshish Ranjan Panda, Santhosh Goud, Vishal Indla\nIndlas Hospitals, Vijayawada, Andhra Pradesh, India\nIntroduction: Neurodegenerative disorders involving simultaneous cerebellar, basal ganglia, and frontal-subcortical dysfunction may present with complex neuropsychiatric phenotypes. Distinguishing between behavioral variant frontotemporal dementia (bvFTD), spinocerebellar ataxias, Huntington-like syndromes, and vascular contributions is diagnostically challenging. This case demonstrates a rare triad of progressive ataxia, choreiform movements, and frontotemporal behavioral disinhibition, integrating neurology and psychiatry perspectives.\nClinical Case: A 61-year-old male presented with a four-year history of gait ataxia, dysarthria, frequent falls, and involuntary oro-limb movements. Parallel psychiatric deterioration included emotional dysregulation, irritability, impulsive aggression, disinhibition (including nudity), ritualistic doubts, and executive dysfunction. Cognitive testing showed fluctuating frontal deficits (ACE-R 74/100 â†’ 89/100 after stabilization). There were no features of psychosis, mania, or delirium.\nMRI brain revealed diffuse cerebellar atrophy, moderate cerebral atrophy, and chronic lacunar infarcts in fronto-parietal regions, indicating combined cerebellar and frontal-subcortical degeneration. EEG was normal. Autoimmune and paraneoplastic panels were negative, excluding reversible encephalopathies. There were no signs of Wilson disease, and electrophysiology showed no major peripheral neuropathy. Family history showed suicide and psychosis, supporting a neurodegenerative basis.\nThe clinical triad progressive cerebellar ataxia, Huntington-like chorea, and bvFTD-like behavioral syndrome suggested a mixed neurodegenerative-vascular overlap syndrome, most consistent with spino-cerebellar ataxia with frontal-subcortical involvement.\nConclusion: This case illustrates the diagnostic complexity of overlapping motor and behavioral neurodegeneration. The combination of cerebellar ataxia, chorea, and frontotemporal behavioral changes highlights the need for integrated neuropsychiatric assessment and multidisciplinary management in atypical movement-behavior syndromes.\n\n\n### Sleep procrastination and its association with binge-watching behaviors among MBBS students: A cross-sectional study\nAshish Yadav, Deepti M. Bhatt, Vishal Damani, Parnavi Singh1\nGujarat Institute of Mental Health, Ahmedabad, Gujarat, 1ESIC Medical College and Hospital, India\nBackground: Over-the-Top (OTT) streaming platforms have revolutionized media consumption, promoting binge- watching behaviors that significantly impact sleep patterns among young adults, particularly undergraduate medical students. This study examines the correlation between binge-watching on OTT platforms and bedtime/sleep procrastination among medical students.\nObjectives: To assess the correlation between binge-watching and bedtime procrastination among undergraduate medical students, compare severity across different demographic factors, and evaluate associated behavioral patterns.\nMethods: A cross-sectional observational study was conducted among 506 undergraduate medical students in Ahmedabad, Gujarat. Data were collected using validated questionnaires: Binge-Watching Questionnaire (BWQ), Bedtime Procrastination Scale (BPS), and socio-demographic assessments. Statistical analysis included Pearson correlation coefficients and ANOVA.\nResults: Among 506 students, 65.6% (n=332) reported binge-watching behavior. A significant positive correlation was found between binge-watching and bedtime procrastination (r = 0.366, p < 0.001). Binge-watchers had significantly higher BPS scores (28.18Â± 5.60) compared to non-binge-watchers (24.93Â± 6.97). First-year students and higher-income groups showed significantly higher binge-watching rates. Mobile devices were the most common platform for binge-watching (41.0%).\nConclusion: Binge-watching on OTT platforms is significantly correlated with bedtime procrastination among medical students, potentially compromising sleep quality and academic performance. Targeted interventions addressing media consumption habits are essential for promoting healthy sleep patterns in medical education.\nKey words: Bedtime procrastination, binge-watching, medical students, over-the-top platforms, sleep behavior\n\n\n### A Zolpidem awakening: Recovery from refractory catatonia with NMS in bipolar disorder\nK. V. Ashmitha Menon\nSt. John’s Medical College and Hospital\nBackground: Catatonia is a psychomotor syndrome commonly associated with mood disorders and is typically responsive to benzodiazepines or electroconvulsive therapy (ECT). A subset of patients, however, present with complicated or treatment-refractory catatonia, increasing the risk of neuroleptic malignant syndrome (NMS).\nAim: To describe the therapeutic challenges in treatment-refractory catatonia complicated by NMS and to highlight the role of zolpidem as an adjunctive option.\nMethodology: We present the case of a 49-year-old woman with Bipolar I Disorder with Sedative, hypnotic or anxiolytic dependence who developed catatonia following medication non-adherence. She showed poor response to lorazepam and minimal improvement with ECT, with persistently elevated BFCRS scores. Her course was complicated by NMS, acute urinary retention secondary to catatonia, thromboembolic risk and infection. A trial of adjunct Amantadine was attempted but discontinued due to anasarca. Management included withdrawal of antipsychotics, initiation of zolpidem titrated up to 30 mg, cautious antipsychotic rechallenges, and close multidisciplinary coordination.\nResults: Adjunctive zolpidem produced sustained improvement in catatonic symptoms after inadequate response to both benzodiazepines and ECT, supporting its role as a safe and accessible non-invasive agent in refractory catatonia.\nConclusion: This case highlights the complexity of managing refractory catatonia and the importance of multimodal strategies including benzodiazepines, ECT, alternative GABAergic agents such as zolpidem, mood stabilizers, antipsychotic rechallenge, and comprehensive medical care to prevent life threatening complications.\n\n\n### Understanding disenfranchised grief across diverse psychosocial contexts\nAshvin Chouhan, Medha Pandey, Backiyaraj Shanamugam1, Vijay Niranjan, Virendra Singh Pal\nMGM Medical College, Indore, Madhya Pradesh, 1NIMHANS, Bengaluru, Karnataka, India\nIntroduction: Disenfranchised grief is a type of grief that occurs when a person’s loss is not openly acknowledged, socially accepted, or publicly mourned. It often leads to hidden emotional suffering.\nMaterials: This case series presents four individuals with diverse psychosocial backgrounds who experienced disenfranchised grief: a man grieving a pregnancy loss from an extramarital affair, a woman mourning a miscarriage, a rural woman with sexual neglect and a hidden relationship, and a caregiver daughter coping with her father’s Alzheimer’s.\nResults: In all cases, the grief was unrecognized by society, leading to emotional distress, interpersonal conflict, or somatic symptoms. Tailored interventions such as grief validation, supportive therapy, narrative restructuring, and couple counseling were used based on individual needs.\nConclusion: Disenfranchised grief can mimic depression but requires a distinct therapeutic approach. Mental health professionals must recognize and address hidden losses to support healing and prevent long-term psychological consequences.\nKey word: Depression, disengranchsed grief, grief, mourning\n\n\n### Phenotypic divergence in obsessive-compulsive disorder: A twin case study\nAshvin Chouhan, Simran Sandhu, Abhay Paliwal, Manju Rawat1\nMGM Medical College, Indore, 1ESIC, Indore, Madhya Pradesh, India\nIntroduction: Obsessive-Compulsive Disorder (OCD) demonstrates significant heritability (40-65%), yet monozygotic (MZ) twins often exhibit discordant symptomatology, underscoring the role of non-genetic factors. This case series explores this paradox and its implications for personalized treatment.\nMethods: We present two twin pairs: 35-year-old monozygotic males and 19-year-old dizygotic females. A comprehensive clinical assessment confirmed OCD diagnosis in all four individuals, with severity measured by the Yale-Brown Obsessive-Compulsive Scale (YBOCS). Treatment involved tailored pharmacotherapy and cognitive-behavioral therapy (CBT) with exposure and response prevention (ERP).\nResults: Striking phenotypic discordance was observed. The MZ twins presented with divergent symptom dimensions: one with contamination obsessions/compulsive washing, the other with symmetry obsessions/mental rituals. Both required differential pharmacological augmentation despite identical genetics. The DZ twins also presented with divergent phenotypes (harm obsessions vs. contamination/checking) but demonstrated a shared susceptibility to fluoxetine-induced cutaneous hyperpigmentation, a rare adverse drug reaction. Both pairs showed significant improvement on tailored regimens, though response variability was noted.\nConclusion: These cases highlight that genetic liability for OCD is not deterministic. Phenotypic expression and treatment response are shaped by a complex interplay of non-shared environmental and potential epigenetic factors. The concordant adverse reaction in DZ twins suggests a heritable pharmacogenetic vulnerability. These findings strongly advocate for a personalized, dimension-focused treatment approach and underscore the critical importance of eliciting family medication history to predict tolerability and optimize care.\nKey words: Discordant phenotypes, obsessive-compulsive disorder, personalized medicine, pharmacogenetics, twins\n\n\n### Aripiprazole-induced acute transient myopia in an adolescent: A rare case report\nAshwin Vasantrao Walke, Mujahid Shaikh\nGrant Government Medical College, Mumbai, Maharashtra, India\nBackground: Aripiprazole is widely prescribed in adolescents due to its favourable safety and tolerability profile. Ocular adverse effects are rare, but reversible myopic shifts have been reported. Early recognition prevents unnecessary investigations and improves adherence.\nAim: To report a rare case of aripiprazole-induced acute transient myopia in an adolescent.\nCase Description: A 15-year-old female with schizophrenia was started on aripiprazole 15 mg/day due to worsening psychotic symptoms. Approximately one month after initiation, she developed gradually progressive bilateral blurring of vision without headache, photophobia, ocular pain, vomiting, or neurological complaints.\nOphthalmic examination revealed visual acuity of 6/36 in both eyes with normal anterior and posterior segments. Cycloplegic refraction demonstrated a -1.75 D myopic shift bilaterally. Systemic evaluation and laboratory findings were unremarkable.\nDose reduction produced partial improvement. Complete resolution occurred within three weeks of discontinuing aripiprazole, with unaided visual acuity returning to 6/6 OU. The temporal pattern and clinical findings strongly suggested a drug-induced refractive change.\nResults: The distinct temporal association, absence of alternative causes, and full reversibility after stopping the drug supported the diagnosis of aripiprazole-induced transient myopia.\nDiscussion: Transient myopia associated with aripiprazole is rare and may result from ciliochoroidal effusion, ciliary body edema, and anterior displacement of the iris-lens diaphragm, causing a reversible refractive error. Timely detection avoids unnecessary imaging, reduces anxiety, and improves adherence.\nConclusion: Aripiprazole can rarely induce acute, reversible myopia in adolescents. Clinicians should routinely assess for visual disturbances in patients receiving this medication.\nKey words: Adolescents, antipsychotic-induced myopia, aripiprazole, ocular adverse effects, transient myopia\n\n\n### Neuropsychiatric manifestations of mitochondrial encephalomyopathy, lactic acidosis, and stroke-like episodes: A case report\nAsif Iqbal Bhat, Abdul Majid Ganai1, Nizam Ud Din Dar1\nSKIMS, 1SKIMS MCH, Srinagar, Jammu and Kashmir, India\nBackground: Mitochondrial encephalomyopathy, lactic acidosis, and stroke-like episodes (MELAS) is a maternally inherited mitochondrial cytopathy caused most commonly by the m.3243A>G mutation in the mitochondrial tRNA^Leu(UUR) gene. The condition leads to impaired oxidative phosphorylation and reduced ATP production, affecting organs with high metabolic demand particularly the central nervous system and skeletal muscles.\nCase Presentation: A 25-year-old male with a known diagnosis of MELAS (confirmed m.3243A>G mutation) presented to the psychiatry department with a two-week history of behavioural changes characterized by irritability, mood lability, reduced sleep, agitation, and perceptual disturbances.\nPast medical history revealed recurrent headaches since adolescence, episodic visual disturbances, a stroke-like episode at age 18 with transient right-sided weakness, sensorineural hearing loss.\nFamily history was notable for maternal diabetes and hypertension.\nOn mental status examination, the patient was conscious and cooperative but irritable. Mood was dysphoric, affect labile, and thought content showed persecutory ideas and visual hallucinations\nNeurological examination revealed, low-amplitude tremors, mild ataxia.\nInvestigations showed elevated serum lactate 3.6mmol/L and CSF lactate 4mmol/L. MRI brain demonstrated T2 hyperintensities in temporal and occipital cortices.\nDiscussion: Neuropsychiatric manifestations in MELAS arise from a combination of impaired oxidative phosphorylation, metabolic stress, and structural brain injury. The deficiency in mitochondrial ATP production forces neurons to shift toward anaerobic metabolism, leading to lactic acidosis and disrupted neuronal signaling. Brain regions with high metabolic requirements such as the temporal lobes, limbic system, and occipital cortex are particularly vulnerable, contributing to psychiatric manifestations.\nKey words: Lactic acidosis, mitochondrial encephalomyopathy, lactic acidosis, and stroke-like episodes syndrome, neuropsychiatric manifestations, seizures, stroke like episodes\n\n\n### Adolescent organic mood disorder: The convergence of bifrontal gliosis, epilepsy, nasopharyngeal polyp and metabolic dysregulation\nAthira M. Anil, S. V. Santosh\nHassan Institute of Medical Sciences, Hassan, Karnataka, India\nBackground: Organic mood disorders in adolescents are uncommon and often present with complex neuropsychiatric profiles. Structural brain changes, refractory epilepsy, metabolic abnormalities and ENT pathology may contribute to mood disturbances.\nAims: To present a rare case of an adolescent female with refractory epilepsy, bilateral frontal cortical atrophy with gliotic changes, metabolic abnormalities and comorbid organic mood disorder.\nMethods: An 18-year-old female with a 5-year history of GTCS and 3-year history of depressive symptoms irritability, low mood, crying spells, hopelessness, worthlessness and one unnoticed suicide attempt was evaluated. Neuropsychological assessment showed intact planning, attention (forward 5 digits, backward 2 digits), Go-No-Go test, right-left orientation, visuospatial skills, and calculations. Psychotic features were absent. MRI brain revealed well-defined T2W/FLAIR hyperintense signals in bilateral frontal cortex,underlying white matter suggesting gliosis, volume loss and mild ex vacuo dilatation of bifrontal cortical sulci, Sylvian fissures and anterior bodies of the lateral ventricles. CT brain and ENT imaging showed bifrontal atrophy, bilateral maxillary, ethmoidal and sphenoid sinusitis and a left nasopharyngeal mucosal polyp. Laboratory evaluation showed homocystinuria and megaloblastic anemia.\nResults: The constellation of bilateral frontal gliosis, cortical atrophy, neuroregression, metabolic abnormalities, chronic sinusitis and longstanding epilepsy supported a diagnosis of organic mood disorder with OCPD traits. Treatment with antidepressant,mood stabiliser and antiepileptics led to significant improvement in depressive symptoms on follow-up.\nConclusion: This rare case highlights the importance of identifying structural, metabolic and neurological contributors to mood symptoms in adolescents, emphasizing multidisciplinary evaluation in complex organic mood disorders. Structural, metabolic insights unlock new paths to adolescent healing.\n\n\n### Acute psychosis like presentation unmasking thyrotoxicosis\nV. P. Athira, N. R. Prashanth1\nBangalore Medical College and Research Institute, 1Department of Psychiatry, Bangalore Medical College and Research Institute, Bengaluru, Karnataka, India\nBackground: 50-year-old male from rural background with history of late onset alcohol (abstinent) and nicotine dependence syndrome and head injury 2 months prior which was not associated with any complications presented with 3 days history of irritability, aggressive behavior, insomnia, overtalkativeness, grandiosity, hyper religiosity and increased thirst. No past or family history of psychiatric illness and no known medical comorbidities.\nCourse and Treatment: On presentation, patient was markedly agitated with clear consciousness and was sedated. CT brain was normal. Initial ECG revealed sinus bradycardia, which normalized after 6 hours. However, the patient remained drowsy despite having received only a single dose of injectable and was kept under continuous monitoring. Subsequently, he developed an irregularly irregular pulse and repeat ECG revealed atrial fibrillation with fast ventricular rate, warranting immediate ICU care. Blood investigations revealed TSH <0.01 micro-IU/ml. He was started on Amiodarone infusion following which sinus rhythm was restored. His sensorium improved gradually and he was started on beta-blockers and antithyroid medication. Once medically stable, he was shifted back to Psychiatry ward. Throughout the stay in hospital for 4 days, no psychopathology was elicited and no psychotropic medications were required apart from the initial injectable.\nDiscussion: Thyrotoxicosis though uncommon, may manifest with acute psychiatric symptoms, including psychosis-like and delirious presentations. Hyperthyroidism is also a well-recognised cause of cardiac arrhythmias which can further complicate the clinical course.\nConclusion: Evaluation for thyroid dysfunction, together with close cardiac monitoring, is essential in acute psychiatric presentations to ensure timely and comprehensive care.\n\n\n### The varied repercussions of early life trauma-insights of patterns from a case series\nAuroshreeta Das, Neha B. Kulkarni1, Chayanika Bharadwaj1, J. P. R. Ravana\nDRIEMS IHS, Cuttack, Odisha, 1LGBRIMH, Tezpur, Assam, India\nBackground: Childhood trauma is a potential risk for a spectrum of psychiatric disorders, influencing neurodevelopment, emotional regulation, cognition and interpersonal functioning. While large-scale studies have established this link, the nuanced ways in which early-life adversity shapes later psychopathology often becomes visible only through close examination of individual clinical trajectories.\nAims: To illustrate the diverse psychiatric manifestations emerging from different forms of childhood trauma and to highlight critical patterns that may guide early identification and intervention.\nMethods: We present a case series of seven adolescents who experienced distinct childhood adversities- including emotional neglect, parental loss, physical abuse, sexual trauma, domestic violence, peer bullying and chronic invalidation- and subsequently developed varied psychiatric conditions. Information was collected via retrospective file review of the patients treated in the psychiatry department of a tertiary mental health care institute, after obtaining informed consent from their Nominated Representative.\nDiscussion: Across cases, trauma was associated with heterogenous outcomes: major depressive disorder with self-harm behaviours, generalised anxiety disorder, post-traumatic stress disorder, dissociative symptoms, emerging borderline traits and somatic symptom disorder. Patterns observed included: delayed symptom recognition; trauma-linked behavioural and emotional patterns; stress-activated exacerbations; relational trauma and regulation difficulties.\nConclusion: This series underscores that childhood trauma does not produce a singular clinical picture but unfolds through multiple, individualized pathways. It reaffirms the need for routine trauma screening and developmentally sensitive, trauma-informed approach to care.\n\n\n### Prevalence of internet addiction and its co-relation with quality of life in adolescents: A cross sectional study\nAvisha Mahla, Amandeep\nPGIMS, Rohtak, Haryana, India\nBackground: There has been an explosive growth of internet use not only in India but also worldwide in the last decade. There is a growing concern about whether this is excessive and,if so, whether it amounts to an addiction. There is paucity of literature from India on this emerging mental health concern.\nAims: To estimate the prevalence of Internet addiction and to determine its relationship with quality of life among adolescents.\nMethods: A cross-sectional study was carried out in 1386 high school students aged between 14 and 17 years. The socio-demographic details were recorded and the Young’s Internet Addiction Test (YIAT) was used to assess Internet Addiction. Short Form-36 (SF-36) was used to measure quality of life. Statistical analysis was done using SPSS.\nResults: Out of 1386 adolescents, 582 (41.99%), 254 (18.33%) and 22 (1.56%) had mild, moderate and severe Internet addiction respectively. A significant negative correlation was found between YIAT score and SF-36 score.\nConclusion: Internet addiction is an emerging mental health condition, especially in adolescents. It is significantly associated with poor quality of life. Multi-centric studies are needed to better understand this disorder.\n\n\n### Sexual masochism disorder in a prepubertal child\nAvishek Banerjee, Saikat Baidya1, Subhendu Datta, Nitu Mallik\nMedical College Kolkata, Kolkata, West Bengal, India, 1RMO\nBackground: Paraphilic disorders are rarely reported in the pediatric population and pose significant diagnostic and therapeutic challenges. Sexual masochism disorder, characterized by recurrent sexual arousal associated with suffering, is extremely uncommon in children. Early identification is important due to potential risk of physical harm and association with adverse psychosocial factors.\nAim: To report a rare case of sexual masochism disorder in a prepubertal child and to highlight the diagnostic challenges involved.\nCase: A child aged 10 years presented with recurrent, repetitive, self-strangulation associated with sweating, flushing of face and a subjective experience of pleasure. As the guardians would scold him whenever they found him doing the act, he started doing it secretly in a closed room. There was no history suggestive of psychosis, intellectual disability, autism spectrum disorder, substance use or suicidal intent. Developmental assessment was age appropriate. Psychosocial evaluation revealed emotional neglect but no exposure to inappropriate sexual content. After detailed assessment and exclusion of differential diagnosis such as non-suicidal self-injury, OCD and trauma related disorders, a diagnosis of Sexual Masochism Disorder was considered based on DSM-5 TR criteria.\nResults: The child was managed using a multi-disciplinary approach involving psychological interventions and family counselling. Follow up showed a reduction in the frequency and severity of the behaviors with behavioral modification.\nConclusion: Sexual masochism disorder in children is exceedingly rare and requires careful assessment. Early diagnosis and multidisciplinary approach can reduce harmful behavior and improve outcomes. Increased awareness among clinicians is essential for timely identification and intervention.\n\n\n### Late-onset psychosis secondary to Vitamin B12 deficiency and hypothyroidism: A case report\nAyisha Salwa, S. Madhusudhan1\nBangalore Medical College and Research Institute, 1Department of Psychiatry, Bangalore Medical College and Research Institute, Bengaluru, Karnataka, India\nIntroduction: Medical and neurological disorders can lead to late-onset psychosis. Secondary (organic) psychosis should be considered when symptoms occur without prior psychiatric history and correspond with an underlying medical condition. Common medical causes include vitamin B12 deficiency, thyroid or adrenal dysfunction, hepatic or renal failure, and neurological conditions.\nCase Summary: A 52-year-old woman with no personal or family psychiatric history presented with four months of delusions of persecution and reference, auditory hallucinations, somatic passivity, irritability, and sleep disturbance. There was no substance use or prior medical illness. Examination revealed tachycardia, hypotension, pallor, pedal edema, generalized hyporeflexia, knuckle hyperpigmentation, and dry mucosa, with no focal neurological deficits.\nHer PANSS score was 110. Persistent hypotension required fluid correction for multiple days. Investigations revealed megaloblastic anemia due to vitamin B12 deficiency (80 pg/mL), iron deficiency (Hb 10 g/dL, MCV 127 fL, platelets 72,000/cumm), and severe hypothyroidism (T3 0.2 ng/mL, T4 <0.9 µg/dL, TSH >100 µIU/mL). Cardiac workup showed low-voltage ECG; CT brain- normal.\nShe was treated with parenteral vitamin B12, oral iron, thyroxine 100 µg/day, and low-dose olanzapine. At discharge, she was free of hallucinations and delusions. At six-week follow-up, she remained asymptomatic despite stopping antipsychotics, confirming secondary psychosis due to combined vitamin B12 deficiency and hypothyroidism.\nDiscussion: Vitamin B12 deficiency causes demyelination and impaired neurotransmitter synthesis, while hypothyroidism leads to metabolic slowing and limbic dysfunction (myxedema psychosis). Their coexistence likely amplified neuropsychiatric symptoms. Complete resolution with medical treatment highlights the need to screen metabolic and endocrine causes in late-onset or atypical psychosis.\n\n\n### Unravelling the overlap: Seizure semiology, behavioural changes and impulse control – A case-based approach\nAyona Sircar\nK. S. Hegde Medical Academy, Mangalore, Karnataka, India\nBackground: Seizure disorders often exhibit diverse clinical presentations that may overlap with psychiatric and behavioural manifestations, complicating diagnosis and management. The evolving nature of seizure semiology, consideration of effects of AEDs and associated neuropsychiatric symptoms demands an integrated approach. Objective being exploration the progression of seizure semiology in a young adult male, distinguish between seizure-related or medication induced behavioural changes and impulse control features, and emphasize the need for interdisciplinary management.\nCase Presentation: Retrospective case study of a 21-year-old male with a history of peri-natal birth insult consequential hypoxic damage to brain ultimately leading to recurrent seizures with varied semiology since infancy was carried out. Detailed review of medical records revealing sudden shift in seizure semiology raised suspicion of co-existing psychiatric disorder which was evaluated clinically for impulse control disorder. Evaluations consisted of EEG, MRI, and psychometric assessments. Psychosocial factors, family background, and adaptive functioning were assessed using VSMS. Serial evaluation with use of supervised neuroelectric and neuroimaging investigative modalities was conducted to discern the clinical picture.\nDiscussion: MRI revealed bilateral parietal encephalomalacia, and VSMS indicated mild intellectual disability (SQ: 55) while EEG ruled out any current seizure physiology. Deliberation on the clinical and psychosocial factors revealed features of impulse control disorder in the backdrop of structural neurological pathology. Management included pharmacological optimization, psychoeducation, behavioural therapy, and family interventions amounting to reduced morbidity and better psychosocial adaptation.\nConclusions: Early cognitive assessment, psychoeducation, and a liaison-based, multidisciplinary approach are crucial to improving outcomes and quality of life in such complex presentations.\n\n\n### Study of delirium and associated risk factors among adult patients in critical care unit\nAyush Agrawal, Manoj Kumar Sahu\nPt. JNM Medical College, Raipur, Chhattisgarh, India\nBackground: Delirium is a common neuropsychiatric complication among critically ill adults and is associated with increased morbidity, prolonged hospitalization, and poorer clinical outcomes. Early recognition of contributing factors is essential for guiding prevention and targeted management strategies in intensive care units.\nAim: To determine the incidence of delirium in adult ICU patients and to identify the predisposing and precipitating risk factors.\nMethods: This prospective longitudinal study included adult patients consecutively admitted to a critical care unit. Participants were assessed regularly using CAM-ICU. Demographic characteristics, baseline comorbidities, clinical precipitants, and hospital stay were recorded. Descriptive statistics were generated, and Chi-square tests were used to compare categorical risk factors.\nResults: Of the 101 enrolled patients, 99 were eligible for CAM-ICU evaluation. Incidence of delirium was 43.4% (95% CI 33.7-53.2). Most cases of Delirium emerged within the first four days of ICU admission (Mean- 3.6 ± 1.8). Predisposing factors such as alcohol use, smoking, diabetes, hypertension, and anaemia were frequently observed but did not differ significantly between groups. Among precipitating factors, mechanical ventilation was strongly associated with delirium (51.2% vs 8.9%; p < 0.001), while sepsis demonstrated a borderline association (p < 0.05). Patients with delirium had a longer hospital stay compared to those without delirium.\nConclusion: Delirium occurred in a substantial proportion of ICU patients and tended to develop early during critical care. Mechanical ventilation emerged as the most significant associated factor, highlighting the importance of consistent delirium monitoring and preventive care strategies in ICU settings.\n\n\n### Case report on managing antidepressant-induced hyponatremia in an elderly patient with obsessive-compulsive disorder\nAyush Maheshwari\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Elderly adults treated with antidepressants especially selective serotonin reuptake inhibitors (SSRIs) are at higher risk of developing hyponatremia.\nAims: Explore treatment options including use of fluvoxamine and clomipramine as safe substitutes in case of SSRI induced hyponatremia in OCD patient and importance of alternative treatments like neuromodulation techniques.\nMethods: We report a case of 64-year-old elderly female presenting to the psychiatry OPD with complaints of Recurrent, Repetitive Intrusive thoughts of Doubt, repetitive acts of Reassurance Seeking, episodes of anxiety for past 13 years along with generalised body weakness, confusion, unstable gait and leg cramps for past 4 days. Routine blood investigations revealed serum sodium levels of 125.0 mmol/L. History of two major episodes of hyponatremia temporally associated to SSRIs use requiring hospitalisation present. At time of admission, she was taking Sertraline 100 mg/day and Clomipramine SR 75 mg/day. Sertraline was withdrawn and hyponatremia aggressively managed. OCD management included use of Clomipramine 50mg/day and Fluvoxamine 50 mg/day, both gradually built up to 100mg/day. Adjunctive neuromodulation techniques in the form of 20 sessions of tDCS (SMA-cathode and Left DLPFC-Anode) was also done.\nResults: Significant improvement in symptoms with a reduction of Y-BOCS score from 25 to 15 and stabilisation of serum sodium levels.\nConclusion: This case emphasises the need for vigilance for hyponatremia in elderly psychiatric patients on antidepressants like SSRIs particularly in presence of risk factors along with use of drugs like fluvoxamine and clomipramine as safe substitutes. It also emphasizes importance of alternative OCD treatments like neuromodulation techniques.\n\n\n### Too young to cope: Dissociative disorder triggered by school-based bullying\nAyushi Goyal, Kunal Kumar, Abhinit Kumar, Nikhil Nayar\nSchool of Medical Sciences and Research, Sharda University, Greater Noida, Uttar Pradesh, India\nDissociative disorders in children often present as striking motor symptoms in response to overwhelming psychological stress. We report the case of a 7-year-old male child who developed recurrent dissociative episodes characterized by abnormal body movements, generalized stiffness, and transient loss of voluntary motor functions. These episodes were consistently precipitated by school-related situations, particularly when the child was asked to attend school.\nThere were no features suggestive of epilepsy, including loss of consciousness, incontinence, tongue biting, or post-ictal confusion. Neurological examination and investigations were within normal limits, ruling out an organic etiology. Psychosocial assessment revealed significant stressors in the form of persistent bullying by teachers and peers, resulting in marked fear and school avoidance.\nA diagnosis of dissociative disorder was established. Management involved psychoeducation, supportive psychotherapy, stressor identification and modification, and liaison with school authorities. The child showed significant improvement with a reduction in dissociative episodes.\nThis case highlights the impact of school-based bullying on child mental health and emphasizes early recognition of dissociative disorders in pediatric populations.\n\n\n### Association of Vitamin B12 deficiency with symptomatic profile and neurocognitive functions in depression patient\nBhagyashri Ravindra More, Aneesh Bhat\nMIMER Medical College and BSTR Hospital, Pune, Maharashtra, India\nBackground: Vitamin B12 plays an essential role in neurological function, and its deficiency has been linked to mood and cognitive disturbances. However, its impact on newly diagnosed depression remains underexplored.\nObjective: To evaluate the association of Vitamin B12 deficiency with clinical severity and neurocognitive functioning in patients with depression.\nMethods: A cross-sectional analytical study was conducted on 126 newly diagnosed depression patients (18-65 years) attending a tertiary care hospital. Clinical severity was assessed using the Hamilton Depression Rating Scale (HAM-D). Cognitive functions were evaluated using Addenbrooke’s Cognitive Examination III (ACE-III) and the Frontal Assessment Battery (FAB). Serum Vitamin B12 levels were measured, with deficiency defined as <200 pg/mL.\nResults: Among the 126 patients,51 (40%) were Vitamin B12 deficient. Deficiency was significantly associated with greater depression severity (p = 0.003).Cognitive impairment was more pronounced in B12 deficient patients, particularly in attention and executive function domains. On ACE-III, abnormal cognition was more frequent among Vit.B12-deficient patients (28%) compared to non-deficient (32%).FAB scores also revealed significantly greater executive dysfunction in the deficient group (p = 0.028).\nConclusion: Vitamin B12 deficiency is prevalent among patients with depression and is significantly associated with increased symptom severity and neurocognitive deficits. Early detection and correction of B12 deficiency may contribute to better clinical and cognitive outcomes.\nKey words: Cognitive impairment, depression, Hamilton Depression Rating Scale, Vitamin B12 deficiency\n\n\n### Case of mephentermine dependence in young Indian adult male\nBhagyashri Ravindra More, Aneesh Bhat\nMIMER Medical College and BSTR Hospital, Pune, Maharashtra, India\nBackground: Mephentermine, chemically known as N,2-dimethyl-1-phenylpropan-2-amine, is a sympathomimetic amine structurally related to amphetamine and methamphetamine. It acts as an alpha-adrenergic receptor agonist, exerting both direct and indirect effects on noradrenergic receptors by promoting norepinephrine release. Mephentermine has been used to enhance performance in competitive sports and bodybuilding. However, there is limited literature regarding its abuse and dependence. Here, we present a case of mephentermine dependence in a young Indian adult male.\nCase Report: A 26-year old male gym instructor initially abused injectable mephentermine as a performance enhancer. However, after two years of abuse and dependence on the drug, he began experiencing its negative effects and a decline in performance. Detailed psychiatric evaluation revealed no other psychiatric disorders. He met the diagnostic criteria for substance dependence as described in the ICD-10. The patient was managed on an outpatient basis, with psychoeducation provided to him and his family regarding the risks of mephentermine use and strategies for discontinuation.\nConclusion: This case highlights that mephentermine, a commonly used vasopressor, can be abused and lead to dependence in certain individuals, potentially resulting in significant physical and psychiatric manifestations. Awareness about the risks of mephentermine abuse is limited. Efforts are needed to educate the public and healthcare professionals on the potential for mephentermine dependence and effective management strategies.\nKey words: Competitive sports, dependence, mephentermine, performance enhancer\n\n\n### Gambling disorder and its therapeutic response: A case study\nBhanu Kiran Hirwani, Nitin P. Patil\nBharati Vidyapeeth (Deemed to be University) Medical College and Hospital, Sangli, Maharashtra, India\nBackground: Gambling disorder is a behavioural addiction characterized by persistent, recurrent gambling and significant psychosocial impairment. The rise of online gambling platforms has exacerbated the condition, highlighting the importance of early diagnosis and effective treatment. This report presents a case diagnosed by DSM-5 criteria and evaluates clinical response to naltrexone.\nCase Presentation: Clinical Findings: A 37-year-old male presented with a 5 year history of escalating online gambling, excessive phone use, irritability, abusive behaviour, and occupational dysfunction. He exhibited key gambling disorder criteria as per DSM-5, including needing increasing amounts for excitement, irritability when attempting to cut down, persistent preoccupation, gambling to escape distress, and repeated “chasing” of losses.\nClinical Assessment: Clinical information was obtained through detailed interviews and mental status examination. Diagnosis was based on DSM-5 criteria.\nTreatment Plan: Naltrexone 50 mg/day was initiated following normal baseline liver function tests and was well tolerated. Concurrently, CBT sessions targeting impulse control, cognitive distortions, and relapse prevention were implemented. Treatment response was monitored during regular outpatient follow-up.\nHealth Outcome: Over follow-ups, the patient showed marked reduction in urges, improved impulse control, sustained abstinence, and better interpersonal functioning along with daily routine engagement (including social and occupational recovery).\nDiscussion/Conclusion: This case highlights the increasing clinical burden of online gambling disorder and supports the combined efficacy of naltrexone and CBT in managing cravings and behavioural regulation. Early diagnosis and structured monitoring alongside pharmacotherapy can lead to significant functional recovery even in chronic cases, emphasizing the need for awareness and intervention frameworks.\n\n\n### Disaster and psychiatry\nC. S. Bharath\nArmed Forces Medical Services\nIntroduction: Disasters are sudden, large-scale events leading to significant mortality, physical injury, displacement, and psychological trauma. With global increases in disasters due to climate change and population expansion, mental-health consequences have become a critical public-health concern. The 2011 Sikkim earthquake exemplified these effects, causing over 111 deaths, hundreds of injuries, and widespread psychological distress across India, Nepal, Bhutan, Bangladesh, and Tibet.\nMorbidity: Psychiatric morbidity following disasters is extensive. Psychological distress commonly emerges immediately and may persist, affecting functioning, social support, and recovery processes. Up to 13-19% of individuals may experience disaster exposure in their lifetime, with many developing acute and chronic emotional and behavioral responses.\nEpidemiology: Disasters include natural events such as earthquakes and floods, and human-made events including technological accidents and acts of violence. The rising frequency and intensity of disasters has resulted in substantial global mental-health burden.\nPsychiatric Sequelae: Common psychiatric sequelae include post-traumatic stress disorder, acute stress disorder, major depressive disorder, anxiety disorders, adjustment disorders, brief psychotic episodes, and substance-use disorders.\nAssessment: Effective assessment requires rapid triage, clinical evaluation, and use of screening tools. It is essential to exclude medical conditions such as head injury, toxic exposure, delirium, dehydration, and medication interruption. Community surveillance aids early identification of at-risk individuals.\nDisaster Response: Evidence-based interventions include Psychological First Aid, crisis counseling, and early supportive care guided by principles of proximity, immediacy, expectancy, and simplicity.\nConclusion: Disasters result in significant psychiatric consequences. Early identification, structured triage, and timely psychological support are essential to reduce long-term morbidity and enhance community.\n\n\n### From pharmacy to addiction: Public health concerns of OTC corex misuse in Rewa District, Madhya Pradesh\nBharti Manjhi, Sunil Kumar Ahuja\nDepartment of Psychiatry, Shyam Shah Medical College, Rewa, Madhya Pradesh, India\nBackground: Corex cough syrup, a codeine-based preparation, was banned in India in 2016 due to its high abuse potential. Despite restrictions, illicit availability persists in Rewa District, where misuse has emerged as a significant public health concern.\nObjectives: To assess the prevalence of Corex misuse in Rewa District, examine demographic patterns, evaluate associated health risks, and recommend public health interventions.\nMethods: A cross-sectional survey was conducted among residents aged 15-45 years using stratified random sampling. Data were collected through structured questionnaires. Based on an estimated prevalence of 5%, with 95% confidence level and 5% margin of error, the calculated sample size was 384 participants.\nResults: The prevalence of Corex misuse was approximately 5%. Misuse was predominantly observed among males aged 18-35 years, with secondary education, and initiated through peer influence. Reported effects included dizziness, slurred speech, and hallucinations. Illicit sales were noted near educational institutions and residential areas, with bottles sold at around â– 400.\nConclusions: Corex misuse in Rewa District highlights ongoing public health challenges despite legal restrictions. Its availability and rising misuse among youth necessitate strict regulation, awareness programs, and community-level interventions to prevent further escalation.\n\n\n### Neurocysticercosis presenting with dissociative symptoms: A diagnostic pitfall in psychiatric evaluation\nBhavya Banda, D. Vishnu Priya, R. Kishore Kumar, P. S. Murthy\nSanthiram Medical College and Hospital, Nandyal, Andhra Pradesh, India\nIntroduction: Neurocysticercosis (NCC), a common parasitic infection of the central nervous system, can present with diverse neuropsychiatric manifestations, complicating diagnosis when psychological symptoms coexist. Dissociative disorders especially in sociocultural contexts where possession states are common idioms of distress may mimic or mask neurological pathology. This case illustrates the difficulty of differentiating dissociative phenomena from organic brain disease.\nCase Presentation: A 23-year-old married woman developed abrupt abnormal behavior following family conflict, including trance-like states, deity-possession-like experiences, poor responsiveness, and impaired childcare. Neurological examination showed no focal deficits. Contrast-enhanced MRI revealed a ring-enhancing lesion in the left frontal cortex and multiple bilateral frontoparietal hyperintensities consistent with NCC. Despite structural abnormalities, high suggestibility and symptom reversibility supported a diagnosis of concurrent dissociative/conversion disorder. She was treated with olanzapine, benzodiazepines, and supportive psychotherapy, resulting in marked symptomatic improvement within days, alongside plans for antiparasitic management.\nDiscussion: This case demonstrates the diagnostic pitfalls encountered when dissociative symptoms coexist with neuroimaging abnormalities. Frontal lobe involvement may influence behavior, yet psychosocial stressors and cultural expression patterns can produce clinical pictures resembling organic disease. Accurate diagnosis requires integrating neuroimaging, psychiatric evaluation, and sociocultural understanding.\nConclusion: NCC presenting with dissociative symptoms can lead to misdiagnosis if assessed from a purely neurological or psychiatric perspective. A multidisciplinary, culturally informed approach is essential for appropriate management.\nKey words: Conversion disorder, cultural psychiatry, diagnostic dilemma, dissociative disorder, multidisciplinary management, neurocysticercosis\n\n\n### Pimavanserin augmentation in patients of schizophrenia continuous: A case series\nBhavya Rohit Bhansali, Kenil Jagani\nPDU Government Medical College and Hospital, Rajkot, Gujarat, India\nBackground: Pimavanserin, a selective 5-HT2A inverse agonist, has shown potential as an adjunctive agent for persistent psychotic symptoms in schizophrenia. Evidence from small trials and case reports suggests benefit in residual positive and negative symptoms with good tolerability, although larger studies show mixed efficacy, highlighting the need for further clinical exploration.\nAims: To evaluate the clinical effectiveness and tolerability of pimavanserin augmentation in schizophrenia patients with inadequate response to standard antipsychotic therapy.\nMethods: Three patients diagnosed with schizophrenia continuous who demonstrated suboptimal response to ongoing treatment received pimavanserin 34 mg/day as augmentation. PANSS(positive and negative symptoms scale) scores were recorded at baseline and after 6 weeks. Side effects were monitored.\nResults: Case 1: PANSS improved from 76 (P-16, N-27, G-33) to 40 (P-9, N-11, G-20), showing marked clinical improvement and no adverse effects.Case 2: PANSS improved from 78 (P-24, N-18, G-36) to 61(P-13, N-16, G-32), showing moderate improvement, mainly in positive symptoms.Case 3: PANSS changed from 74 (P-16, N-24, G-34) to 68 (P-16, N-21, G-31), showing minimal improvement; well tolerated, and further augmentation with amisulpride was initiated.\nConclusion: Pimavanserin augmentation was well tolerated and associated with variable but clinically meaningful improvement in two of three patients with persistent psychotic symptoms. These findings highlight it’s potential as an adjunct in treatment-resistant schizophrenia, warranting further validation through larger controlled studies.\nKey words: 5-HTâ‚ a inverse agonist, augmentation therapy, pimavanserin, schizophrenia\n\n\n### When the diaphragm speaks: A unique case of aripiprazole-induced singultus\nBishant Naorem, Harshavardhan Sampath, Yangtsela Dorjee Tsechutharpa\nSikkim Manipal Institute of Medical Science, Gangtok, Sikkim, India\nBackground: Aripiprazole is an atypical antipsychotic with partial dopamine agonist properties and a favourable metabolic and neurological safety profile. Although generally well tolerated, rare adverse reactions may occur. Singultus (hiccups) is an uncommon but clinically relevant side effect that can significantly impair functioning. This rare case discusses a patient with schizophrenia who developed persistent singultus on aripiprazole.\nCase Report: A 25-year-old male with a 4-year history of schizophrenia was admitted during a psychotic relapse. Aripiprazole was initiated, after which he developed frequent and persistent hiccups severe enough to interfere with eating, sleep, and conversation. Symptomatic treatments, including lorazepam, baclofen, clonazepam, metoclopramide, and pantoprazole, were ineffective, and medical evaluation ruled out organic causes. Worsening of symptoms after increasing the aripiprazole dose to 15 mg supported the likelihood of a drug-induced effect. After discontinuing aripiprazole and initiating risperidone, the hiccups resolved completely within 48 hours.\nDiscussion: The hiccup reflex arc consisting of phrenic and visceral afferents, a central hiccup centre in the midbrain, and efferent diaphragmatic pathways is influenced by dopamine, serotonin, and GABA neurotransmission. Aripiprazole’s D2/D3 partial agonism and 5-HT1A agonism may stimulate this reflex both centrally and peripherally, contributing to hiccup induction. In contrast, risperidone’s strong D2 antagonism and limited 5-HT1A activity may counteract this mechanism, explaining symptom reversal.\nConclusion: Aripiprazole-induced singultus is a rare but troublesome side effect that requires early recognition and appropriate management.\nKey words: Adverse drug reaction, aripiprazole, hiccups (or singultus)\nI had presented it as a poster in Student Research Forum (Sikkim Manipal University) - Colloquium 2024.\n\n\n### Parasocial grief and psychological distress following the death of Zubeen Garg – Insights from a cross-sectional study\nBonjeet Nath, Uddip Talukdar1\nGauhati Medical College and Hospital, Guwahati, 1Department of Psychiatry, Nagaon Medical College and Hospital, Nagaon, Assam, India\nBackground: The death of Assamese cultural icon Zubeen Garg prompted widespread mourning, reflecting strong parasocial bonds between the artist and his audience. Such one-sided yet meaningful emotional attachments can influence psychological responses to loss. However, the mental-health impact of this event on the Assamese population has not been empirically studied.\nAims: To assess psychological distress following Zubeen Garg’s death; estimate the proportion of individuals experiencing clinically significant distress; and examine differences in distress across sociodemographic groups.\nMethods: A cross-sectional online survey was conducted from 28 September to 28 November 2025 among adults (>18 years) aware of the event. Participants completed the Impact of Event Scale-Revised (IES-R). Descriptive statistics summarized demographic and distress profiles. As the data were non-normally distributed, Mann-Whitney U and Kruskal-Wallis tests assessed group differences, with p < 0.05 considered significant.\nResults: The mean IES-R score was 35.50, indicating high distress. Overall, 42.5% of respondents scored >33, suggesting clinically significant psychological distress. Distress varied significantly across sociodemographic variables: younger adults (18-35 years), females, and unmarried participants reported higher distress. Occupational differences were notable, with students and unemployed individuals showing the highest scores.\nConclusion: A substantial proportion of respondents experienced clinically meaningful distress following Zubeen Garg’s death, underscoring the psychological impact of parasocial grief. Sociodemographic variations indicate that this grief response is not uniform. These findings highlight the need for mental-health professionals and public health systems to recognize and address celebrity-related distress within community support strategies.\n\n\n### Taalu Sunno: A culture-bound syndrome from Mayong, Assam\nBonjeet Nath, Raj K. R. Seal1\nGauhati Medical College and Hospital, 1Department of Psychiatry, Gauhati Medical College and Hospital, Guwahati, Assam, India\nBackground: Culture-bound syndromes (CBS) represent culturally shaped patterns of distress that may not align with biomedical categories. While syndromes such as Dhat and Koro are well described, many local idioms of distress in Northeast India remain undocumented. Taalu Sunno is one such culturally recognized condition reported in Mayong village, Assam, characterized by palatal and head-related sensations following febrile illness.\nAim: To document and describe the phenomenology, cultural explanatory model, and clinical relevance of Taalu Sunno through a case encountered in psychiatric practice.\nMethods: A detailed clinical evaluation, medical work-up, and cultural formulation interview were conducted for a male patient in his early thirties presenting with persistent palatal and cephalic sensations. Local cultural beliefs and traditional healing practices were explored to contextualize the illness experience.\nResults: The patient described sensations of pulling,tearing,and splittingin the palate, along with head heaviness, reduced appetite, and anxiety, emerging after a prolonged febrile episode. No medical or neurological abnormalities were identified. The condition is widely recognized in the community, with traditional herbal remedies typically used, especially in infants. Psychiatric consultation was sought only when symptoms exceeded culturally expected recovery timelines.\nConclusion: Taalu Sunno illustrates how cultural beliefs shape symptom expression, illness attribution, and help-seeking behavior. Documenting such idioms is essential for culturally sensitive psychiatric assessment. This case expands the understanding of CBS in India and underscores the need for integrating cultural narratives within clinical practice.\n\n\n### Beyond SSRIs: Transformative response to tDCS-enhanced ERP in obsessive-compulsive disorder with culturally rooted Dhat symptoms\nBrinda Shree, Swarndeep Singh, Pankaj Verma\nVardhman Mahavir Medical College and Safdarjung Hospital, New Delhi, India\nBackground: Obsessive-Compulsive Disorder (OCD) with comorbid Dhat syndrome presents a unique clinical challenge in South Asian settings, where intrusive sexual-somatic obsessions intersect with culturally rooted beliefs about semen loss. Treatment resistance is common, and emerging evidence supports neuromodulation as a potential augmentation strategy.\nCase Description: We report a young female with severe OCD (intrusive sexual/contamination obsessions, checking and reassurance compulsions) and prominent Dhat-related anxiety, with minimal response to optimized SSRI therapy and an adequate CBT trial. The patient exhibited marked avoidance, guilt, and cultural misattributions of bodily sensations, limiting ERP engagement.\nIntervention: An adjunctive neuromodulation protocol was initiated using anodal tDCS over the pre-SMA (2 mA, 20 minutes, 5 sessions/week for 3 weeks) with cathodal placement over the right supraorbital region, administered concurrently with a culturally informed ERP program addressing sexual obsessions and Dhat-related somatic concerns.\nOutcomes: The combined approach produced a significant reduction in Y-BOCS scores (45%), improved distress tolerance, reduction in semen-loss preoccupation, and substantially enhanced ERP participation. Improvements persisted at 1-month follow-up. No adverse effects were observed.\nConclusion: tDCS-augmented ERP may be a valuable, safe, and culturally sensitive strategy for treatment-resistant OCD with Dhat syndrome, highlighting the importance of integrating neuromodulation with culturally attuned psychotherapy.\n\n\n### Neuroimaging-positive neurological conditions presenting as psychiatric disorders: A case series\nBulagakula Vahini, B. Swapna\nThe Oxford Medical College Hospital and Research Centre, Anekal, Karnataka, India\nOrganic neurological conditions may present with acute psychiatric symptoms, leading to misdiagnosis and delay in appropriate management. This case series highlights patients initially treated as psychiatric presentations but subsequently found to have significant neurological pathology.\nFive cases were identified.\n• Case 1: A 60-year-old male, chronic smoker, presented with withdrawn behaviour and reduced interaction for 8 days; a psychiatric diagnosis of NDS with Brief Psychotic disorder was made, imaging revealed Normal Pressure Hydrocephalus (NPH)\n• Case 2: A 36-year-old female with no psychiatric or substance-use history presented with decreased interaction and withdrawn behavior and irrelevant talk for 4 days, a psychiatric diagnosis of Brief Psychotic disorder was made, imaging confirmed NPH\n• Case 3: A 48-year-old male presented with irritability, agitation, and confused behavior of 2 days duration with H/O fall 1 month back, psychiatric diagnosis of Brief Psychotic disorder was made, CT showed a right temporal-parietal Subdural Hemorrhage (SDH)\n• Case 4: A 32-year-old male with occasional alcohol use presented with irrelevant talk, aggression, and disturbed sleep for 1 day, initially diagnosed with Brief Psychotic Disorder, later diagnosed with an Epidural Hemorrhage (EDH)\n• Case 5: A 28-year-old female patient with disturbed sleep and visual hallucinations for 13 days a psychiatric diagnosis of Brief Psychotic disorder was made, later diagnosed with tumefactive demyelination with suspected left optic neuritis.\nAcute psychiatric symptoms may be the initial manifestation of significant neurological disease. Incorporating neuroimaging in atypical, sudden-onset, or treatment-resistant psychiatric presentations is crucial for timely diagnosis and improved outcomes.\n\n\n### Silent storms: Post traumatic stress disorder following a glacial lake outburst flood\nCarol Panjrattan\nBackground: Glacial Lake Outburst Floods (GLOFs) are sudden, destructive events linked to climate change that can cause significant psychological trauma among survivors. Despite their increasing frequency, post-traumatic stress disorder (PTSD) following GLOFs remains underreported in Indian literature.\nAim: To highlight the psychological impact of a GLOF and the effectiveness of early identification and intervention in PTSD.\nMethods: Detailed clinical interview and psychometric assessments at presentation and six-month follow-up.\nResults: We describe a previously high-performing individual with no past psychiatric history who developed PTSD after witnessing a GLOF. The patient experienced persistent intrusive recollections, avoidance of rain-related cues, hypervigilance, and sleep disturbance for nearly one year. Initial psychometric evaluation showed elevated scores on depression, anxiety, and PTSD scales. The patient underwent SSRI-based pharmacotherapy and Cognitive Processing Therapy, showing marked improvement and functional recovery at six months, with near-complete remission of symptoms.\nConclusion: Climate-related disasters such as GLOFs can precipitate severe psychiatric sequelae like PTSD even in resilient individuals. Early screening, timely intervention, and structured psychotherapy can facilitate substantial recovery and restoration of functioning.\nKey words: Climate change, cognitive processing therapy, glacial lake outburst flood, posttraumatic stress disorder\n\n\n### Dopamine network dysregulation and gamblers fallacy in episodic psychosis with pathological gambling\nChaitanya Sharma, Shalini Naik, Chahat Jamwal\nPGIMER, Chandigarh, India\nAim: To illustrate gambler’s fallacy as a cognitive distortion perpetuating online gambling disorder in a patient with episodic psychosis.\nMethodology: A 33-year-old unmarried male from Chandigarh presented with a 13-year history of psychosis since 2012, featuring paranoid delusions and disturbed sleep responsive to aripiprazole. Medication discontinuation in 2014-15 led to negative symptoms that resolved upon restarting. Online gambling emerged in 2020 during COVID-19 lockdown, escalating to daily preoccupation, tolerance, and losses over 1 crore from family accounts. This was driven by the gambler’s fallacy believing losses could be recovered via strategies from online tutorials, despite recognizing randomness. Assessments included MSEs, medical records, family interviews, and neuropsychological assessment revealing severe deficits in attention, response inhibition, planning, verbal & visual memory, and visuospatial skills. Differentials encompassed persistent delusional disorder, schizophrenia spectrum, and gambling disorder.\nResults: No active psychotic symptoms were present; partial insight and preparation for change were noted. Comorbidities included hypertension, diabetes, dyslipidemia, and paternal bipolar history. Treatment comprised naltrexone 50 mg/day, continued aripiprazole, metabolic agents, CBT, psychoeducation, and lifestyle modifications, yielding improved functioning and 2 months’ gambling abstinence.\nConclusions: This case highlights challenges in distinguishing primary psychotic disorders from gambling-related cognitive distortions. It supports the primary addiction hypothesis, which proposes that dopamine network dysregulation resulting from hippocampal-prefrontal dysfunction disrupts nucleus accumbens integration of dopamine and glutamate signals. This disruption promotes reinforcement of addictive behaviors and loss of inhibitory control, making addiction vulnerability a core feature of schizophrenia independent of self-medication.\n\n\n### A case report on concurrent Sanfilippo syndrome Type A and MYT1L syndrome\nChandan K. Aryan\nACSR Government Medical College, Nellore, Andhra Pradesh, India\nSanfilippo syndrome type A / Mucopolysaccharidosis type IIIA (MPS IIIA) is a severe lysosomal storage disorder caused by a defect in the SGSH gene leading to deficiency in the enzyme heparan N-sulfatase, which leads to buildup of heparan sulfate in the central nervous system. It causes progressive neurodegeneration with symptoms like severe developmental delays, hearing loss, behavioral problems, and a decline in motor skills.\n-MYT1L syndrome is a rare neurodevelopmental disorder caused by mutations in the MYT1L gene, which is crucial for brain development. It is characterized by a range of symptoms including intellectual disability, developmental delays, autism spectrum disorder, and behavioral issues like aggression and hyperactivity.\n-The present report describes the case of a 8 year old female child who presented in Psychiatry OPD with complaints of poor speech, poor socialisation, reduced sleep, and abnormal behaviours like poor attention, hyperactivity, inappropriate shouting and self-biting. On genetic testing, it was found to have SGSH gene mutation (Sanfilippo syndrome Type A) and MYT1L gene mutation, both of which can lead to developmental delays and behavioural problems.\n\n\n### Clozapine induced parotitis: A case report\nChandresh Choudhary, Sanjay Gehlot\nDr SN Medical College, Jodhpur, Rajasthan, India\nClozapine is an effective drug for treatment resistant schizophrenia. Clozapine mainly causes agranulocytosis but rarely it causes parotitis. Here we report a case of a 30-year-old male who developed painful parotid swelling on the 8th day of clozapine initiation. Imaging done to rule out sialolithiasis or infection. The temporal association and a Naranjo score of 5 supported the diagnosis of clozapine-induced parotitis. Symptoms resolved within six days of discontinuation of clozapine. The rechallenge was not attempted. Clozapine-induced parotitis is an uncommon but important adverse effect, possibly related to immune or anticholinergic mechanisms. Awareness of such rare reactions can aid early identification and improve treatment adherence.\n\n\n### Social media addiction and self esteem among adolescent students in Srikakulam, India\nChandu Krishna Deepak, V. Padma, D. Vijaya Lakshmi, T. Akhila\nGovernment Medical College, Srikakulam, Andhra Pradesh, India\nSocial media addiction has greatly influenced the productivity of people and more so ever in adolescents, it’s usage has impacted their academic performance as well as mental health. Social media use gives a wide range of perspective regarding the ongoing current trends like body image, relationships, financial stature, etc which greatly impacts the Self Esteem of adolescents which may lead to mental health issues.\nThis study helps to understand how social media addiction impacts the self esteem in adolescents and helps to give a new perspective on assessing the mental health situation of the students and improve upon their psychological well-being.\n\n\n### Fear without reality: Delusion-driven homicide in a case of schizophrenia\nCheepati Vineela\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Violence associated with untreated psychosis is uncommon but clinically significant, particularly when driven by persecutory and referential delusions. Misinterpretation of threat may lead to extreme defensive behaviors.\nAim: To describe a case of delusion-driven homicide and highlight psychopathology, diagnostic considerations, and preventive implications.\nResults/Discussion: A 30-year-old male killed his mother and brother under the belief that they were devils capable of reading his thoughts and intending to kill him. Even after the act, he maintained that they might return to harm him. Psychopathology revealed persecutory delusions, delusion of thought broadcasting, and impaired reality testing, consistent with schizophrenia. There was no evidence of misidentification syndromes such as Fregoli syndrome. The act represented fear-driven violence secondary to untreated psychosis.\nConclusion: This case underscores the lethal potential of untreated delusions. Early diagnosis, strict treatment adherence, and regular psychiatric follow-up are crucial in preventing violence and improving long-term outcomes in Schizophrenia.\n\n\n### A ray through resistance: Endoxifen-augmented remission in treatment resistant depression\nChinmayi Chitale, G. Vishnuvardhan, Vidhyavati, K. S. Harish\nRajarajeswari Medical College and Hospital, Bengaluru, Karnataka, India\nBackground: Treatment-Resistant Major Depressive Disorder with psychotic features frequently shows limited response to conventional antidepressant-antipsychotic combinations. Endoxifen, a selective estrogen receptor modulator and protein kinase C inhibitor, has recently demonstrated antidepressant and mood-stabilizing potential. Its role as an augmentation agent in refractory depressive illness remains underexplored.\nAim: To evaluate the clinical response to Endoxifen augmentation in a patient with Treatment-Resistant Major Depressive Disorder with psychotic symptoms.\nMethods: A single case was assessed using serial Hamilton Depression Rating Scale (HAM-D) scores and clinical evaluation.\nThe patient had received multiple adequate trials of antidepressants (Escitalopram, Bupropion), mood stabilizers (Lamotrigine, Lithium), and antipsychotics (Risperidone, Clozapine) with minimal response (HAM-D 23-28).\nEndoxifen was introduced at 8 mg/day as augmentation to ongoing therapy. Clinical and functional parameters were monitored over a 6-week period and at 4-month follow-up.\nResults: Endoxifen augmentation led to a marked clinical improvement within six weeks, with a reduction in HAM-D score from 26 to 8, reflecting remission.\nNotable improvement was observed in mood, psychomotor activity, sleep, and occupational functioning. Psychotic symptoms (ideas of reference and persecution) subsided, and the patient maintained stable remission at 4-month follow-up with good adherence and tolerability.\nConclusion: Endoxifen augmentation produced rapid and sustained improvement in a case of Treatment-Resistant Depression with Psychotic Symptoms.\nThrough protein kinase C inhibition and serotonergic-dopaminergic modulation, Endoxifen may enhance antidepressant response and support long-term mood stabilization.\nThese findings highlight Endoxifen’s potential as a novel augmentation strategy in refractory mood disorders, warranting further systematic evaluation through controlled studies.\n\n\n### Olanzapine-induced cutaneous reaction: A rare case\nDave Lavani\nAmerican International Institute of Medical Sciences, Udaipur, Rajasthan, India\nBackground: Olanzapine is a widely used atypical antipsychotic, generally well tolerated. However, cutaneous adverse drug reactions are rare and under reported.\nAims: To report a rare case of olanzapine-induced urticarial rash.\nMethods: A 32-year-old female with acute psychotic disorder was prescribed olanzapine. Fifteen days later, she developed an urticarial rash on her hands, legs, and back. No other new medications or allergens were identified. Diagnosis was based on the temporal relationship and exclusion of other causes.\nResults: Olanzapine was discontinued, and the patient was shifted to aripiprazole. She was treated with prednisolone and bilastine, and the rash resolved within 10 days.\nConclusion: This case highlights the importance of recognizing rare cutaneous reactions with olanzapine. Early detection and switching medications led to full recovery.\n\n\n### When reality fractures twice: Schizophrenia with coexisting dissociative features – A case report\nDavid Eugene Ekka, T. Ahalya\nMadras Medical College, Chennai, Tamil Nadu, India\nBackground: Schizophrenia with prominent dissociative features remains under-recognized in clinical practice, particularly in culturally-bound presentations. The co-occurrence of schizophrenic and dissociative symptoms challenges diagnostic formulation and management. This case highlights a rare presentation of possession-form delusion with dissociative manifestations in a patient with psychotic spectrum disorder.\nAims: To report an unusual case of schizophrenia presenting with persistent possession trance disorder and dissociative symptoms, and to discuss the diagnostic and therapeutic complexities in such overlap presentations.\nMethods: A case report of Mr. S, a 40-year-old unmarried Muslim male with a 5-year history of persecutory delusions and persistent belief of being possessed by a dead female spirit (Mrs.Jayalakshmi,). Clinical assessment included comprehensive psychiatric evaluation, psychometric rating scales (BPRS, PANSS, HAM-D, DES), and neuroimaging workup to exclude organic pathology.\nResults: The patient presented with complex symptomatology including delusions of persecution and black magic, possession-form delusions, dissociative amnesia, motor dissociation, and repeated self-injurious behavior. Previous treatments including antipsychotics, rTMS (4 sessions), and ECT (20 sessions) showed partial response. Current management with clozapine (175mg) yielded gradual improvement in aggression and sleep disturbances while possession ideation persisted. Psychological assessment and further intervention (psychotherapy) are ongoing.\nConclusion: This case underscores the importance of recognizing schizophrenia with co-occurring dissociative disorders, particularly in culturally-determined presentations. Integrated pharmacological and psychotherapeutic approaches may optimize outcomes in such complex diagnostic scenarios.\n\n\n### An exploratory mixed-method study on gender awareness among resident doctors in training across specialties\nDebasmita Saren, Senthil Amudhan1, S. Nishanth2, M. Netravathi3, Geetha Desai\nDepartments of Psychiatry, 1Epidemiology, 2Neurosurgery and 3Neurology, NIMHANS, Bengaluru, Karnataka, India\nBackground: Gender, a major social determinant of health, remains insufficiently integrated into medical curricula, influencing communication, diagnosis, and treatment practices.\nAim: To assess gender awareness and gender sensitivity among residents in Psychiatry, Neurology, and Neurosurgery.\nMethods: A parallel mixed-method design was used. Gender awareness was measured using the 32-item Nijmegen Gender Awareness in Medicine Scale (N-GAMS), comprising Gender Sensitivity (GS), Gender-Role Ideology toward Patients (GRIP), and Gender-Role Ideology toward Doctors (GRID), rated on a 5-point Likert scale. The scale was distributed via Google Forms to resident groups. Internal consistency was high (GS Î±=0.79; GRIP Î±=0.89; GRID Î±=0.84). Confirmatory Factor Analysis with Satorra-Bentler corrections and appropriate inferential statistics were run in STATA 19.0 MP. Additionally, 20 semi-structured qualitative interviews were conducted to explore gender sensitivity and gender-informed care. Interviews were audio-recorded, transcribed, and thematically analysed in ATLAS.ti, with findings triangulated. Ethical approval was obtained from IEC, NIMHANS.\nResults: A total of 335 residents participated (mean age 28.10±2.79 years); 45.4% women (n=152) and 53.4% men (n=179). Participants included residents from Psychiatry (63.6%), Neurology (21.8%), and Neurosurgery (14.6%). Gender sensitivity was high (GS 3.81±0.62), while stereotyping was low-moderate (GRIP 2.39±0.81; GRID 2.33±0.84). CFA supported the three-factor model (SB-CFI=0.904; RMSEA=0.046). Higher GS correlated with fewer stereotypes toward patients (Ï=-0.243) and doctors (Ï=-0.122). Psychiatry residents showed significantly higher GS (p=.015). Qualitative themes included societal norms, diagnostic bias, workplace dynamics, diversity, intersectionality, and training gaps.\nConclusion: Residents exhibit good gender sensitivity but retain certain gender-role ideologies, underscoring the need for specialty-sensitive gender training.\n\n\n### Phantoms beneath the skin: When sensations become beliefs in a case of bipolar I disorder\nDebopama Datta\nCollege of Medicine and Sagore Dutta Hospital, Kolkata, West Bengal, India\nBackground: Psycho-dermatological conditions such as delusional infestation manifest as fixed false beliefs regarding insects or abnormal sensations on or beneath the skin. These disorders frequently precipitate repetitive scratching, excoriations, and significant functional impairment. Early identification is crucial to prevent morbidity and improve outcomes, particularly when encountered in dermatology settings prior to psychiatric evaluation.\nAims: This case report aims to highlight the presentation and management of delusional infestation occurring within the context of bipolar I disorder, emphasizing the importance of integrated dermatology-psychiatry collaboration in recognition and treatment.\nCase Description: A 41-year-old euthyroid, non-diabetic male with a 5-year history of Bipolar I Disorder on maintenance treatment presented with a 2-month history of persistent crawling and stinging sensations, reportedly accompanied by sticky discharge from skin and ears. Dermatological examination revealed no primary lesions despite numerous excoriation marks from vigorous scratching. Psychiatric evaluation was subsequently undertaken.\nResults: Detailed assessment confirmed delusional infestation within bipolar disorder context. Antipsychotic therapy was optimized alongside psychoeducation, behavioral strategies to reduce scratching, and adjunctive dermatological care. Regular follow-up sessions monitored treatment adherence, mood stability, and progressive restructuring of fixed beliefs, resulting in gradual symptom improvement.\nConclusion: This case underscores the necessity of recognizing delusional infestation in patients presenting with unexplained dermatological complaints, particularly those with pre-existing mood disorders. Collaborative dermatology-psychiatry management facilitates timely diagnosis, minimizes skin damage, and enhances clinical outcomes.\n\n\n### Lost in the legal system, found through treatment: A case series of schizophrenia in unidentified patients\nDeepa Gupta, Shipra Singh, Rishi Biswanath\nIHBAS, Delhi, India\nAbstract People with untreated schizophrenia may become lost within legal and social systems, especially when they lack documentation or identifiable contacts. Their disorganized behaviour may be misinterpreted as criminal intent, leading to police involvement rather than healthcare referral. Effective treatment, however, can restore functioning and allow for identification, rehabilitation, and reintegration. The following cases illustrate this trajectory. Case 1: A’ 42-year old unidentified man was found attempting to set fire to a vehicle. Police perceived him as dangerous, but assessment revealed he was burning garbage reflecting his impaired judgment. Antipsychotic improved coherence and insight, enabling him to share accurate personal details and return home with police assistance.\nCase 2: V’ 32-year-old male, engineer in Canada, was found wandering streets and he was discovered sitting on a stranger’s porch, leading to police involvement and subsequent deportation to India due to inability to verify identity. Evaluation revealed psychotic symptoms and impaired reality testing. With treatment, he showed marked improvement. He was eventually discharged in the care of his father.\nCase 3: A’ 35-year-old unidentified man was brought from a forest area where a corpse was found nearby. He exhibited marked withdrawal and negative symptoms. With rtreatment, his symptoms subsided, he eventually provided his father’s contact number. With police assistance, he was reunited with his family after clinical stabilization.\nDiscussion These three cases emphasize how untreated psychosis can leave individuals vulnerable - misidentified as criminals, separated from family, or displaced across regions or countries.\n\n\n### Effect of adjunctive transcranial direct current stimulation to supplementary motor area and dorso lateral prefrontal cortex in obsessive compulsive disorder: A randomized double blind sham-controlled study\nD. K. Deepak, D. K. Deepak1\nMilitary Hospital, Dehradun, Uttarakhand, 1CIP, Kanke, Jharkhand, India\nBackground: Current first-line treatment strategies for OCD include SSRI/TCAs and/or CBT. However, even with this, the majority only show partial improvement. Therefore, novel treatments for OCD are of considerable interest, one of which is TDCS.\nAims and Objectives: To assess the effect of TDCS to (cathodal) SMA and (anodal) DLPFC in OCD as compared to sham stimulation.\nMaterials and Methods: This is a prospective hospital-based randomised double blind, sham-controlled study where the sample size is 30 OCD patients (15 tDCS and 15 sham). Patients were ignorant whether they had received tDCS or sham stimulation. Ratings were done by a colleague who was also unaware of who had received tDCS and who had received sham stimulation.\nResults and Discussion: The findings of the study revealed that out of 30 patients who were included in the study (15 tDCS and 15 sham), the active and sham groups were comparable in terms of age, sex, marital status, religion, education, occupation and class of drug status. No side effects were reported in either group. There was a significant reduction. There was considerable improvement in obsession and compulsion over time in both groups, but there was no significant improvement between the Active and Sham groups over time. There was a significant improvement in the scores of CGI-S over time.\n\n\n### Benzodiazepine in long term maintenance treatment of alcohol dependence: A case series\nDeepali Negi, Roshan Bhad, Gurveen Kaur\nNational Drug Dependence Treatment Centre, AIIMS, Delhi, India\nAlcohol dependence is a chronic relapsing condition often complicated by physical, psychological, and social sequelae. Despite standard detoxification and rehabilitation protocols, a subset of patients undergoes recurrent relapses, leading to difficult recovery and increase in the burden of care. We present a series of three cases, all men, who sought treatment at our centre for alcohol dependence. Each had a history of multiple relapses and significant complications including hepatic dysfunction, cognitive impairment, and psychosocial deterioration. Conventional treatment approaches had limited success in sustaining abstinence in these patients. After detoxification low dose benzodiazepine was continued under close clinical supervision. Each case was monitored over a six-month period, with individualized dosing regimens and adjunct psychosocial support. Outcomes were assessed across domains including relapse frequency, biochemical markers, and social functioning. Preliminary findings suggest that benzodiazepine maintenance, when cautiously administered, may offer a viable harm-reduction strategy for treatment-refractory alcohol dependence.\n\n\n### When scrub typhus scrubs the mind: Obsessive-compulsive disorder after vasculitic infection\nDepanjan Dutta, Siddhartha Sankar Saha, S. K. Kamal Hassan\nNil Ratan Sircar Medical College and Hospital, Kolkata, West Bengal, India\nBackground: Obsessive-Compulsive Disorder (OCD) is classically attributed to dysregulation within cortico-striatal circuits. Recent literature highlights that autoimmune or post-infectious neuroinflammatory mechanisms may precipitate abrupt-onset OCD symptoms, resembling PANS/PANDAS-like syndromes in adults. Scrub typhus, a rickettsial infection known for diverse neurological complications, is rarely associated with obsessive-compulsive phenomena.\nAims: To describe a rare case of autoimmune OCD following scrub-typhus-related vasculitic infarction and to explore the neuroimmunological mechanisms linking infection, neuroinflammation, and OCD symptomatology.\nMethods: A detailed clinical assessment, neuroimaging, laboratory evaluation, CSF analysis, and psychiatric assessment (including Y-BOCS) were conducted in a 39-year-old female presenting with acute-onset obsessive-compulsive symptoms after a recent scrub typhus infection.\nResults: The patient developed anxiety, contamination fears, compulsive hand-washing, and counting behaviors two weeks in duration (Y-BOCS: 22). History revealed scrub typhus infection four weeks prior, complicated by right-sided limb weakness. MRI brain showed acute infarcts in bilateral frontal parasagittal cortex. Inflammatory markers (CRP, fibrinogen, D-dimer) were elevated; CSF demonstrated increased protein, dysregulated glutamate and dopamine, and a positive ANA. These findings suggested a vasculitic and immune-mediated process affecting frontal-striatal circuits. A multidisciplinary neurology-psychiatry management approach was initiated with clinical improvement.\nConclusion: This case underscores the need to consider autoimmune or post-infectious mechanisms in adult-onset, abrupt-presentation OCD, especially following neurotropic infections such as scrub typhus. Vasculitic injury to frontal-striatal pathways and associated neuroinflammation may trigger autoimmune OCD. Early recognition and interdisciplinary evaluation are crucial for optimal outcomes.\n\n\n### Posttraumatic othello syndrome: A case of delusional jealousy following traumatic brain injury\nDev Himanshubhai Desai, Nikhar Satyapal, Bhushan Chaidhari\nDr. D. Y. Patil Medical College, Hospital and Research Centre, Pune, Maharashtra, India\nBackground: Neuropsychiatric disturbances following traumatic brain injury(TBI) may include behavioural dyscontrol, emotional instability, and, less commonly, secondary delusional disorders. Othello syndrome is characterised by morbid jealousy and delusional beliefs of spousal infidelity and has been documented after neurological insults and may present diagnostic and therapeutic challenges. Early recognition is crucial, as such symptoms often remain overshadowed by other post-traumatic deficits.\nAim: To present a case of Othello syndrome developing after severe TBI and highlight the association between right frontal-temporal injury and secondary delusional psychopathology.\nMethodology: A detailed clinical evaluation, mental status examination, and neuroimaging review were conducted for a 19-year-old male who developed behavioural changes and delusional infidelity following a road traffic accident. The patient’s symptom evolution, imaging findings, and treatment response were documented over serial follow-ups.\nResults: Within weeks of injury, the patient exhibited severe irritability, aggression, hypersexuality, and persistent delusional accusations toward his wife. MRI revealed right basifrontal and anterior temporal haemorrhagic contusions, subdural and subarachnoid haemorrhages, and diffuse axonal injury, correlating with behavioural dysregulation. Initial treatment with olanzapine reduced general irritability but not delusional infidelity or hypersexual behaviour. Subsequent addition of risperidone led to improved behavioural control. No prior psychiatric illness was noted, supporting a diagnosis of secondary psychotic syndrome per ICD-11.\nConclusion: This case underscores the need for a comprehensive psychiatric assessment in TBI patients presenting with behavioural change. Right frontal and temporal lobe injury may play a key role in the emergence of Othello syndrome, providing insight into the neuroanatomical basis of secondary delusional disorders.\n\n\n### Othello syndrome and normal pressure hydrocephalus: A case report\nDev Himanshubhai Desai, Madhura Ghate, Shalmali Kulkarni\nDr. D. Y. Patil Medical College, Hospital and Research Centre, Pune, Maharashtra, India\nBackground: Normal Pressure Hydrocephalus(NPH) is characterised by disproportionate ventricular enlargement with normal cerebrospinal fluid pressure and presents with gait disturbance, urinary incontinence, and cognitive impairment. While cognitive and motor symptoms are well recognised, prominent psychiatric manifestations are uncommon and often mistaken for primary psychiatric illness. Misdiagnosis may delay neurosurgical intervention. Rarely, NPH may manifest with Othello syndrome, a delusional belief of spousal infidelity.\nAim: To describe a rare presentation of NPH manifesting as Othello syndrome and highlight the need for neuroimaging in elderly patients presenting with late-onset psychosis.\nMethodology: A detailed clinical assessment, mental status examination, ophthalmological evaluation, cognitive testing using MOCA-Blind, and MRI brain imaging were conducted for a 65-year-old male presenting with behavioural disturbances, psychosis, gait impairment, and urinary incontinence. Symptom evolution, treatment adjustments, and behavioural response were documented across follow-ups.\nResults: The patient exhibited irritability, aggression, urinary incontinence, shuffling gait, visual impairment, and a fixed delusion of infidelity. MRI revealed ventriculomegaly with an Evans Index of 0.37 and periventricular changes consistent with NPH. Fundus examination showed papilledema. Cognitive screening(MOCA-Blind=16/22) ruled out dementia. Initial treatment with risperidone showed limited improvement; subsequent switching to quetiapine resulted in reduced irritability and improved sleep. Over follow-ups, behavioural symptoms stabilised, and family members reported improved manageability.\nConclusion: Psychotic presentations of NPH can closely mimic primary psychiatric disorders. This case underscores the necessity of comprehensive neurological examination and neuroimaging in elderly patients presenting with late-onset psychosis, particularly when accompanied by gait disturbance or urinary symptoms, to prevent misdiagnosis and enable timely intervention.\n\n\n### Unexplained delirium in mania: A psychiatric case report\nDev Himanshubhai Desai, Abhimnayu Sinha, Reetika Thakur, Bhushan Chaudhari\nDr. D. Y. Patil Medical College, Hospital and Research Centre, Pune, Maharashtra, India\nBackground: ICD-11 defines Bipolar I, mania without psychosis, as a sustained period of elevated or irritable mood with increased activity lasting at least one week. Patients may present with euphoric, irritable, or delirium-like affective states. However, an abrupt onset of delirium in a patient showing steady improvement during treatment for mania is highly unusual and sparsely documented in available literature.\nAim: To describe a rare case of sudden, unexplained delirium in a patient improving from a manic episode and explore the potential role of medication interactions.\nMethodology: A 41-year-old male with Bipolar I disorder, mania, was evaluated clinically, monitored with serial mental status examinations, and investigated for metabolic, neurological, and structural causes of acute delirium. Laboratory tests, MRI brain, and serum divalproate levels were obtained. Medication review and stepwise withdrawal were conducted to identify potential pharmacological contributors.\nResults: Patient initially responded well to olanzapine and divalproate, with a marked reduction in YMRS score. On day 24, following an additional nighttime dose of clonazepam for insomnia, he developed acute disorientation, visual misperceptions, agitation, and incomprehensible speech. Electrolytes, serum ammonia, MRI, and neurological evaluation revealed no organic cause. Divalproate levels remained therapeutic. All psychotropics were withheld, after which the patient regained full orientation within three days. The most plausible explanation was a rare, undocumented interaction between olanzapine, divalproate, and clonazepam.\nConclusion: This case highlights that delirium may emerge abruptly in treated mania despite normal investigations. In such presentations, immediate discontinuation of potentially interacting psychotropics may be essential, and further research into rare drug-interaction-related delirium is warranted.\n\n\n### When thirst speaks louder than mood: Diagnostic crossroads between neurotic polydipsia and syndrome of inappropriate antidiuretic hormone secretion in acute mania\nDevan Suresh, Derrick Johnson, Joice Geo\nPushpagiri Institute of Medical Sciences and Research Centre, Thiruvalla, Kerala, India\nBackground: Disturbances of water balance, notably neurotic (psychogenic) polydipsia and syndrome of inappropriate antidiuretic hormone secretion (SIADH), are under-recognized complications in severe mental illness. Overlapping clinical and biochemical features create diagnostic uncertainty, increasing risks of seizures and recurrent hospitalizations. In bipolar disorder, lithium further complicates assessment, as lithium-induced polyuria with compensatory polydipsia may mask excessive water intake, leading to obsessive drinking behaviours being overlooked or misattributed.\nCase Description: We report a 32-year-old man with a 17-year history of bipolar affective disorder and multiple inpatient admissions for recurrent mania. He presented with a 3-week history of increased talkativeness, irritability, anger, poor sleep, and excessive water consumption, constituting his eighth manic episode without psychotic symptoms (ICD-11: 6A60.1). A prior seizure episode in 2022 associated with hypervolemia, hyponatremia, and hypokalemia raised concern for disordered water regulation. Mental status examination revealed increased psychomotor activity, pressured speech, intrusive obsessive thoughts about water intake with repetitive drinking behaviour, irritable mood, intact cognition, and partial insight. Physical and systemic examinations were unremarkable. Treatment with mood stabilizers and antipsychotics, with regular monitoring of serum lithium and electrolytes, led to clinical improvement and stabilization at discharge.\nDiscussion and Conclusion: This case highlights the challenge of differentiating neurotic polydipsia from SIADH in chronic mood disorders, particularly with recurrent episodes and psychotropic use. Careful assessment of drinking behaviour, volume status, and serial electrolytes is essential to prevent recurrent hyponatremia and serious neurological complications.\n\n\n### Beyond vision loss: Schizophrenia with obsessive-compulsive symptoms in retinitis pigmentosa\nDevika, S. V. Santosh, K. S. Suneetha\nHassan Institute of Medical Sciences, Hassan, Karnataka, India\nBackground: Retinitis pigmentosa (RP) is a progressive retinal degenerative disorder occasionally associated with neuropsychiatric manifestations. Schizophrenia in RP is rare, and the presence of concurrent obsessive-compulsive (OC) symptoms is even less frequently reported, leading to diagnostic and therapeutic challenges. Long-standing illness and irregular follow-up may further complicate clinical presentation.\nAim: To describe a rare case of psychotic disorder with comorbid OC symptoms in a 35-year-old female patient with RP and to highlight the role of multimodal interventions in improving outcomes.\nMethods: A detailed clinical evaluation was conducted, including ophthalmological and neurological assessments, psychiatric examination, and neuroimaging. The patient, a 35-year-old female, had a 15-year duration of illness with irregular follow-up. Management included antipsychotic and antidepressant medications, anticholinergic therapy, psychotherapy focused on coping and reality testing, and modified electroconvulsive therapy (ECT).\nResults: The patient showed only partial improvement with pharmacotherapy. Due to this limited response, seven sessions of modified ECT were administered while continuing ongoing medications, along with psychotherapy. Following ECT, there was a marked reduction in persecutory delusions, ritualistic behaviors, and functional impairment. Social interaction and daily functioning progressively improved and remained stable during follow-up.\nConclusion: This case highlights a rare association between RP, Schizophrenia, and OC symptoms. Early identification and comprehensive, individualized management incorporating psychopharmacology, ECT, and psychotherapy can substantially improve functioning in patients with visual impairment and complex psychiatric presentations, particularly in those with long-standing illness and irregular follow-up.\n\n\n### Pellagrous encephalopathy in alcohol-dependent individuals: A case series from a tertiary care centre\nDevika, S. V. Santosh, M. Punith\nHassan Institute of Medical Sciences, Hassan, Karnataka, India\nBackground: Alcohol Use Disorder (AUD) is associated with multiple nutritional deficiencies, among which niacin deficiency (pellagra) remains under-recognized. Its neuropsychiatric manifestations frequently overlap with delirium tremens and Wernicke’s encephalopathy, creating diagnostic challenges.\nAim: To present a case series of seven individuals with alcohol dependence syndrome who developed pellagra, emphasizing diagnostic dilemmas and the critical role of niacin replacement.\nMethods: Seven patients admitted for complicated alcohol withdrawal with delirium were evaluated clinically and biochemically. Dermatological consultation confirmed pellagra in all patients. Management included benzodiazepine-based detoxification, parenteral thiamine, multivitamins, and oral nicotinamide.\nKey Observation: In the initial patients, delirium worsened after tapering the benzodiazepines, despite adequate dosing. These patients showed rapid and significant improvement in delirium within 48-72 hours of starting nicotinamide, highlighting a major missed contributor niacin deficiency.\nResults: All patients demonstrated marked improvement in neuropsychiatric symptoms and gradual resolution of dermatitis following nicotinamide therapy. At two-week follow-up, all were abstinent and showed further dermatological healing.\nConclusion: Pellagra should be strongly considered in alcohol-dependent individuals presenting with delirium, photosensitive dermatitis, and gastrointestinal symptoms especially when delirium persists despite adequate benzodiazepine therapy. Early recognition and niacin supplementation can be lifesaving.\n\n\n### Clinical dilemma in schizophrenia with pontine hemorrhage\nDhananjay Ardawatia, M. Kihsor1\nJSS Medical College, JSS AHER, 1Department of Psychiatry, JSS Medical College, JSS AHER, Mysore, Karnataka, India\nSchizophrenia is a chronic and severe mental disorder that typically manifests in late adolescence or early adulthood, characterized by positive symptoms such as hallucinations and delusions, negative symptoms like emotional blunting and social withdrawal, and cognitive deficits in attention, memory, and executive function. These symptoms profoundly impair occupational, academic, and social functioning, often coexisting with mood disorders, substance use disorders, and physical comorbidities, which complicate diagnosis and management. Recent neuroimaging and clinical studies highlight the involvement of brainstem structures, including the pons, in schizophrenia. Structural alterations in the pons and other brainstem regions have been associated with catatonia, parkinsonism, and psychomotor disturbances in schizophrenia spectrum disorders. Hemi-pons (unilateral pontine) lesions, though rare, may exacerbate or unmask psychotic symptoms by disrupting critical neurotransmitter pathways and cortico-subcortical circuits, suggesting a role for the pons in the expression of altered consciousness, hallucinations, and impaired insight. 22 year old gentleman presented with delusions and visual hallucinations for more than a year with visual hallucinations not remitting to conventional treatment and CT image showing pontine haemorrhage. These findings underscore the importance of considering both cortical and subcortical, including brainstem, abnormalities in understanding the complex pathophysiology and clinical presentation of schizophrenia.\n\n\n### Psycho-social correlates of social media addiction among college students in South India: A comparative study\nDheeraj Kattula, Jona Rai1, Shanthi Johnson2, Jansi Rani3\nDepartments of Psychiatry and 3Biostatistics, Christian Medical College, 2College of Nursing, Christian Medical College, Vellore, Tamil Nadu, 1School of Nursing, The Duncan Hospital, Raxaul, Bihar, India\nBackground: Social media addiction is increasingly conceptualised as a behavioural addiction with potential adverse psychological and social consequences among young adults. Despite widespread digital engagement, Indian data examining its psycho-social correlates in non-medical college populations remains limited.\nAim: To estimate the prevalence of social media addiction and to compare selected psycho-social correlates between college students with and without social media addiction.\nMethods: A comparative study was conducted among students of a general degree college in South India. 470 were screened using the Bergen Social Media Addiction Scale. From this cohort, 144 students were selected through computerized stratified random sampling and classified into addiction and non-addiction groups. Psychological well-being, personality traits, family functioning, motives for social media use, and coping styles were assessed using standardized instruments. Data were analysed using descriptive statistics, independent t-tests, chi-square tests, and multivariate logistic regression.\nResults: The prevalence of social media addiction was 78.4%. Students with social media addiction reported significantly longer daily duration of use and greater engagement with video-sharing platforms. Significant group differences were observed in psychological well-being, neuroticism, family affection, and coping styles, with greater reliance on maladaptive and avoidant coping strategies among those with addiction. Multivariate analysis identified total duration of social media use and engagement with video-sharing platforms as significant predictors, explaining 55% of the variance.\nConclusions: Social media addiction was highly prevalent and associated with multiple psycho-social vulnerabilities. The findings highlight the importance of early identification and psychosocial interventions to promote healthier digital engagement among college students.\n\n\n### Clozapine-induced cerebellar ataxia leading to fall and discontinuation in treatment-resistant schizophrenia: A rare case report\nDhruv Sojitra, Rashmita Saha, Anusha Garg\nInstitute of Human Behaviour and Allied Science, Delhi, India\nBackground: Clozapine is the gold standard for treatment-resistant schizophrenia (TRS), with a known side-effect profile primarily involving hematological and cardiac risks. Neurological adverse events like cerebellar ataxia are uncommon and underreported.\nCase Presentation: A 39 year old male with a 10 year history of TRS exhibited persistent negative symptoms and partial response to haloperidol and amisulpride. Clozapine was started and titrated to 300 mg/day. Initial improvement was noted in psychotic symptoms (PANSS score improvement), but at this dose, the patient developed tachycardia, hypotension, dizziness, and notable gait instability progressing over 10 days, culminating in a fall causing nasal bleeding. Cerebellar examination before initiation was normal. These clinical features were compatible with clozapine-induced cerebellar ataxia, prompting dose reduction and haloperidol augmentation.\nDiscussion: Clozapine-induced ataxia is a rare but important adverse effect, primarily observed in intoxication but also at therapeutic doses in rare instances. Early detection via regular neurological examination, including gait and coordination evaluation, is essential to prevent serious complications.\nConclusion: This case underscores the necessity of vigilance for neurological side effects such as ataxia during clozapine therapy in TRS. Prompt recognition and management can prevent morbidity and facilitate safe continuation or timely regimen adjustment.\n\n\n### A rare phenomenon of doppelganger syndrome in treatment-resistant paranoid schizophrenia: Case report and clinical insights\nDhruv Sojitra, Rashmita Saha, Anusha Garg\nInstitute of Human Behaviour and Allied Science, Delhi, India\nBackground: Delusional misidentification syndromes (DMS) are rare neuropsychiatric syndromes and are seen in only 0.77% of the cases of psychosis as per indian data, among which an even rarer phenomena is delusion of subjective doubles. In this condition, the patient believes that duplicates of themselves or others exist, often with distinct intentions or characteristics.\nAims:\n1. Characterize doppelganger delusion phenomenology in chronic schizophrenia.\n2. Demonstrate clozapine + mECT efficacy in DMS-associated resistance.\n3. Advocate routine DMS screening in refractory psychosis.\nMethods: Single-case longitudinal analysis of 37-year-old male with 10-year paranoid schizophrenia at IHBAS, Delhi. Data: serial MSEs, collateral history, treatment records.\nCase Presentation: Insidious 2015 onset: persecutory delusions (family poisoning), grandiosity (RAW agent via brain software), 2nd/3rd-person auditory hallucinations, poor self-care, aggression, nil insight. Doppelganger: two identical twin brothers(maternal cousins) impersonating him for property theft; mother as auntplotting murder. Risperidone (8 mg)/haloperidol (30 mg) failed. Clozapine 375 mg/day + 8 mECTs: hallucinations resolved, self-care/sleep improved, delusions attenuated (occasional residuals).\nDiscussion: Treatment resistance is common in cases of schizophrenia with delusion of subjective doubles but clozapine combined with modified ECT has shown efficacy in alleviating symptoms. Routine screening for these phenomena can improve diagnosis and guide targeted management in refractory psychosis.\nConclusion: This case underscores the rare doppelganger syndrome in the context of treatment-resistant paranoid schizophrenia. Recognizing such rare delusional misidentification phenomena is essential for accurate diagnosis and tailoring effective therapeutic strategies. Further research and documentation are crucial to enhance understanding of this complex clinical entity.\n\n\n### Poststroke emotional incontinence in a young male\nDiksha Das, Pulakesh Sarmah\nGauhati Medical College and Hospital, Guwahati, Assam, India\nBackground: Emotional incontinence is characterized by sudden, uncontrollable episodes of crying or laughing, often triggered by minor or emotion-laden stimuli. Stroke is the most common neurological cause.\nAims: To describe the presentation, diagnostic evaluation and management of a patient with post-stroke emotional incontinence.\nMethods: A descriptive case-based approach was used, documenting clinical history, mental status findings, investigations and treatment response.\nResults: A 41-year-old male presented with frequent crying spells, tearfulness and irritability. Four days prior, he experienced sudden deviation of the mouth, weakness in all four limbs, and transient bowel and bladder incontinence. He had a history of stroke three months earlier and had recently been diagnosed with hypertension and diabetes.\nMental status examination revealed low mood and a labile affect, with abrupt crying episodes during conversation. EEG showed diffuse right hemispherical cortical dysrhythmia. MRI/MRA revealed a subacute right frontal lobe infarct with adjacent astrogliosis in the right temporal and bilateral frontal regions.\nThe patient was started on mirtazapine 15 mg at bedtime and lamotrigine, titrated from 25 mg to 50 mg twice daily. His symptoms gradually improved, and he was discharged after 12 days.\nConclusion: Post-stroke emotionalism is common yet under-recognized. Although neurologically driven, it can lead to significant psychological distress and functional impairment. Early identification and appropriate treatment can reduce symptoms and improve engagement in rehabilitation.\n\n\n### Psychosis with a metabolic clue\nDipanjana Hazra, Rishi Biswanath1\nGauhati Medical College and Hospital, Guwahati, Assam, 1Institute of Human Behaviour and Allied Sciences, Delhi, India\nBackground: Acute Intermittent Porphyria is a rare metabolic disorder caused by deficiency of porphobilinogen deaminase, leading to accumulation of neurotoxic heme precursors. While abdominal pain and autonomic instability are typical features, acute psychosis is an uncommon but clinically important neuropsychiatric manifestation.\nAims: To describe the presentation, diagnostic workup, and clinical course of a patient who developed acute psychosis during a porphyria crisis.\nMethods: A case-based descriptive approach was used. Clinical history, physical examination, laboratory findings, and response to treatment were documented. Confirmatory biochemical testing (urinary porphobilinogen) was performed.\nResults: A 24-year-old female presented with acute onset of paranoid delusions, auditory hallucinations, and abnormal behaviour. There was no previous psychiatric history. Physical examination was unremarkable except for mild autonomic symptoms. Urinary porphobilinogen levels were markedly elevated, confirming an acute porphyria attack. Neuroimaging and routine metabolic panels were normal. The patient was treated with intravenous glucose, hematin, and short-term antipsychotic medication. A gradual improvement in psychotic symptoms was observed over several days, with complete resolution by the end of the hospital stay.\nConclusion: Psychosis can occur during acute porphyria attacks and may closely resemble primary psychiatric disorders, leading to diagnostic difficulty. Early recognition and biochemical confirmation through urinary porphobilinogen testing are essential for accurate diagnosis and timely intervention. Multidisciplinary management improves outcomes in such presentations.\n\n\n### From premonitory urge to obsessional drive: Clinical nuances of tourettic obsessive compulsive disorder\nDipesh Patel, Himanshu Tyagi\nUniversity College London, University College London Hospitals, NHS Foundation Trust, London, UK\nObjectives: To illustrate the diagnostic complexity of differentiating Tourettic Obsessive Compulsive Disorder (TOCD) from Obsessive-Compulsive Disorder (OCD) and Tic Disorder (TD) in an adult case.\nMethods: A longitudinal case-based clinical review was undertaken incorporating psychiatric assessment, multidisciplinary discussions, and comparison with current neuropsychiatric literature. Key elements included symptom chronology, phenomenological analysis, and initial treatment reasoning, including psychopharmacological and psychotherapeutic considerations.\nResults: Unlike typical OCD presentations, the patients behaviours were not primarily associated with intrusive cognitions or anxiety-based avoidance. Instead, they were precipitated by internal tension, followed by relief post-action, consistent with tic-related premonitory phenomena. The overlap complicated diagnostic clarity. Standard exposure and response prevention strategies were only partially applicable. Clinical reasoning led to consideration of treatment strategies targeting both tic activity and obsessive-compulsive-like features, including pharmacotherapy addressing dopaminergic pathways and tailored behavioural intervention. Diagnostic precision significantly affected formulation and treatment planning.\nConclusions: This case underscores the importance of recognising TOCD within neuropsychiatric practice whilst emphasising careful phenomenological assessment to avoid misclassification. Accurate differentiation from both OCD and TD has direct implications for symptom management and supports the need for consensus-driven treatment adaptations in this under characterised clinical presentation.\n\n\n### Neuromodulation with repetitive transcranial magnetic stimulation for cancer pain relief with bimodal high frequency left dorsolateral prefrontal cortex and right somatosensory cortex – An Indian observational study\nDivya Chadha, Praveen Khairkar, Sachin Jain\nPacific Institute of Medical Sciences, Udaipur, Rajasthan, India\nBackground: Cancer related pain is common, debilitating and often resistant to pharmacological management, significantly impairing quality of life. Repetitive transcranial magnetic stimulation (rTMS) is a promising non-invasive neuromodulation technique with potential utility in chronic and refractory pain syndromes. However, evidence in oncology settings remains limited especially from Indian sub-continent.\nAim: To evaluate the immediate and short term effects of high-frequency rTMS applied to the left dorsolateral prefrontal cortex (DLPFC) combined with low frequency stimulation of the right somatosensory cortex on pain severity in cancer patients.\nMethods: This observational study included 15 adults (mean age 49.0 years with standard deviation of 6 years; 9 males and 6 females) with severe cancer related pain. Diagnosis included breast carcinoma (n=2), cervical carcinoma (n=2), soft palate carcinoma (n=2) and metastatic lesions (n=9). Each participant underwent a single rTMS session: 10 Hz stimulation over the left DLPFC and 1 Hz stimulation over the right somatosensory cortex. Pain intensity was assessed using the Visual Analogue Scale (VAS), Brief Pain Inventory (BPI) and Numeric Pain Rating Scale (NPRS) before and after the session.\nResults: 12 participants demonstrated more than 50% reduction in pain scores immediately after just one session, with effect’s persisting for upto one week. 9 out of 15 participants also reported improvement in affective and cognitive functioning.\nConclusion: It’s the first Indian rTMS intervention in psycho-oncology which combined high and low-frequency rTMS sessions providing rapid, meaningful pain relief and mood benefits in cancer patients. Larger controlled studies are warranted to confirm efficacy and long-term effects.\n\n\n### Mental Health concerns linked to online communication: A qualitative study of customer reviews across digital platforms’\nS. K. Divya, N. Rakshith1\nMandya Institute of Medical Sciences, Mandya, Karnataka, 1Sun Pharmaceutical Industries Limited, Mumbai, Maharashtra, India\nIntroduction: Mental health concerns in society are influenced not only by major stressors’ but also by routine daily hassles. With increasing dependence on online platforms for banking, shopping, travel, and food delivery, users frequently encounter digital communication systems and automated responses. While workplace stress and burnout have been well documented, the impact of these everyday online interactions on mental well-being has been grossly neglected. This study explores how online service experiences contribute to emotional strain among users.\nMethods: A qualitative study was conducted on customer review excerpts obtained from Trustpilot’, a publicly accessible review platform. Eight services were selected across four sectors frequently used in daily life: banking (SBI, ICICI), shopping (Amazon, Meesho), travel (Uber, Ola), and food delivery (Zomato, Swiggy). Reviews posted between December 2024 and December 2025 were screened. Inclusion criteria included identifiable Indian names, references to stress, burnout, mental health concerns, scripted communication, or app-related frustration. Reviews without names, those involving manual errors, or those unrelated to mental health were excluded. Content analysis was used to identify themes and subthemes.\nResults: Across all platforms, three major themes emerged: unresolved conflict, frustration, and burnout. Common subthemes included mistrust, dissatisfaction with replies, sadness, fear, suffering, and feeling unheard.\nConclusion: The findings suggest that routine frustrations with online services contribute to a gradual increase in emotional distress. Although online platforms are promoted as convenient, impersonal and scripted communication may reduce trust and negatively influence users’ well-being. This study emphasizes on considering mental health impacts when designing digital service communication platforms.\n\n\n### Unmasking the copper clue-neuropsychiatric manifestation of Wilson’s disease – A case report\nDurgeshwar Mishra, Siddhartha Debbarma, Priyajyoti Chakma, Munmun Debbarma\nAgartala Government Medical College and GB Pant Hospital, Agartala, Tripura, India\nIntroduction: Wilson’s disease (WD) is a rare autosomal recessive disorder of copper metabolism caused by ATP7B gene mutation, resulting in impaired biliary copper excretion and toxic copper accumulation in the liver, brain, and cornea. Neuropsychiatric symptoms may be the initial and sometimes the only presenting feature, particularly in adolescents and young adults. Among psychiatric manifestations, mood disorders and behavioural disturbances are common, while psychosis is considered a relatively uncommon presentation. Early recognition is crucial, as timely treatment can significantly reverse deficits and prevent long-term disability.\nCase Description: A 21-year-old male presented with a 6-month history of decreased sleep, aggressive behaviour, suspiciousness, auditory hallucinations, slurred speech, drooling of saliva, and abnormal jerky body movements. There was no history of substance use, head injury, fever, or family history of psychiatric illness. Laboratory investigations revealed low serum ceruloplasmin (16 mg/dl), elevated 24-hour urinary copper (168 µg/day), and deranged liver enzymes. Slit-lamp examination demonstrated Kayser-Fleischer rings. MRI brain showed hyperintensities in the thalamus, basal ganglia, and midbrain. He was managed with antipsychotics, benzodiazepines, zinc acetate, D-penicillamine, propranolol, and antiepileptic medication, with gradual improvement.\nDiscussion: Psychosis as an early presentation of WD is rare and may lead to misdiagnosis, delaying appropriate management. Careful neurological examination and targeted laboratory and radiological investigations are essential.\nConclusion: Young patients presenting with new-onset psychiatric symptoms, especially with subtle neurological signs, should be screened for WD. Early diagnosis and chelation therapy improve prognosis.\n\n\n### A case report on xylophagia with anemia\nDuvvada Bhargavi, S. Pratima\nGreat Eastern Medical School and College, Srikakulam, Andhra Pradesh, India\nA 33 year married female presented with complaints of consuming newspapers whenever she was alone for 10 years which aggravated within the past 3 years with family history in niece.The onset was eight months after her 2nd child was born, insidious onset and progressive nature. When alone at home, she used to eat cardboard whenever she felt like eating .Gradually she would end up consuming two to three A4 size sheets bit by bit.\nShe described that eating cardboard would make her feel good which has been continuous since past 2 years.she described only wanting to consume newspapers as they had a specific aroma of earthy-nessand richnessthat was not present in books. She started to suffer from anemia and hypomenorrhea for 6 months and was advised parenteral iron preparations for Hb of 7gm/dl.\nShe reiterated that her paper consumption was driven by symptoms of stressful situations and she rationalises that she has more craving because she is anemic.\nCBC revealed microcytic hypochromic anemia.\nDiagnosed as Xylophagia with Iron Deficiency Anemia.\nTreatment\nSupplemental multi-vitamin injectable preparations were advised.Her Hemoglobin improved from 7 gm/dl to 10 gm/dl and she reported improvement in her symptoms.Psychoeducation was given.She was abstinent from consumption of paper during this time and for the next two months. She also admitted that she is not having the desire to eat those unwanted substances anymore. She was advised for further follow-ups and educated about treatment adherence.\n\n\n### Electroconvulsive therapy induced structural changes in limbic regions and altered total choline levels in treatment resistance depression\nGagan Hans, Sakshi Panwar, Tanmay Dey Sarkar1, Uma Sharma1\nDepartments of Psychiatry and 1NMR, AIIMS, New Delhi, India\nBackground: Electroconvulsive therapy (ECT) is an effective neuromodulation treatment for patients with treatment-resistant depression (TRD), but its effects on brain structure and neurochemistry are still not fully understood.\nAims: We aim to investigate the structural and neurochemical changes in patients with TRD after 4 weeks of ECT.\nMethods: Twenty TRD patients and sixteen healthy controls (HC) underwent MRI scanning. Patients were scanned on two occasions, before ECT and after four weeks of treatment while HC underwent one scan of MRI. Structural MRI (3D T1-weighted) and magnetic resonance spectroscopy (MRS) data were acquired at 3 Tesla (3T). MRS voxels were placed in the anterior cingulate cortex (ACC) and right hippocampus. Volumetric analysis was performed using FreeSurfer v7.2.0, normalized to intracranial volume, and neurochemical analysis using Osprey v2.6.6.\nResults: There was a significant increase in total choline levels (p=0.029) in TRD patients as compared to HC at baseline, which may indicate enhanced cell membrane turnover. There was also a significant reduction in right amygdala volume (p=0.038) in TRD patients as compared to HC at baseline. A non-significant trend toward a decreased right insular volume was also observed (p=0.080) in patients with TRD in comparison to HC. Structural imaging also showed increased volume of both right amygdala (p<0.001) and the right insula (p=0.005) post ECT treatment in patients with TRD.\nConclusion: Our results demonstrate significant neurochemical and structural alterations between patients and HC at baseline and changes in patients after ECT treatment.\n\n\n### Internet addiction among elderly – Narrative review\nGanesh Kumar Meena, Preethy Kathiresan\nAIIMS, New Delhi, India\nBackground: Internet use among the elderly has increased substantially due to greater accessibility of smartphones, social media, online entertainment, informational needs. Excessive or maladaptive use may lead to internet addiction, an emerging but under-recognized behavioural concern in the elderly population. Existing literature has largely focused on adolescents and young adults, leaving gaps in understanding the prevalence, risk factors, and consequences of internet addiction among older adults.\nAIM: To understand correlates of internet addiction in elderly.\nMaterials and Methods: This narrative review synthesizes existing literature on internet addiction in the elderly. Electronic databases including PubMed, and Google Scholar were searched for English-language articles published in the recent years. A total of 19 studies were reviewed.\nResults: Reported risk factors for internet addiction in elderly include loneliness, social isolation, depression, digital literacy and sensation seeking. Family and social support, positive exercise experience are reported as protective factors. Internet addiction in older adults has been linked to sleep disturbances, worsening mood symptoms, neglect of physical activity, and impaired social functioning. Literature suggests bidirectional relationship between internet addiction and depressive and anxiety symptoms.\nConclusion: Internet addiction in the elderly is an emerging mental health concern with significant psychosocial implications. Greater awareness, standardized assessment methods, and geriatric-focused research are needed to distinguish adaptive from maladaptive internet use and to guide early identification and targeted interventions in this vulnerable population.\nKey words: Elderly, internet addiction, mobile addiction, older adults\n\n\n### Dyke-Davidoff-Masson syndrome with a dangerous mind: Refractory epilepsy and psychosis in adulthood\nGarima Yadav, Nishant Goyal1, Ruchira Das1\nCentral Institute of Psychiatry, 1Department of Psychiatry, Central Institute of Psychiatry, Ranchi, Jharkhand, India\nBackground: Dyke Davidoff Masson Syndrome is a rare neurological condition characterized by cerebral hemiatrophy due to an early life brain injury, typically presenting with contralateral hemiparesis, refractory seizures, intellectual disability. the presentation of DDMS with psychotic symptoms and marked aggression is extremely rare. Aims To highlight that we must consider organic etiologies for severe behavioural issues in patients with long-standing neurological deficits.\nCase Summary: A 22-year-old Hindu female with a history of left-sided hemiparesis due to suspected Cerebral Malaria at age 3, and a family history of Dementia in paternal grand father,presented with Attack of fits Since 2019 and a 1 and half year history of irritability,aggressive outbursts, wandering behaviour, crying spells, smiling to self and decrease in appetite. iIlness had insidious onset, fluctuating course and deteriorating progress. On examination she had Facial asymmetry, Unsteady gait, Left-sided paralysis,on Mental status examination Cheerful affect,Impaired Judgment, Grade I Insight On MRI brain there was Right temporo-parieto-occipital gliotic changes, right cerebromalacia with encephalomalacia, right cerebellar atrophy, and calvarial thickening Right Frontal, asymmetric Suggestive of Dyke Davidoff Masson Syndrome. Management and Outcome She was started on Tab risperidone 3mg,THP 2mg,Sodium valproate 1000 mg, clonazepam 1mg. The family members are counselled regarding the poor prognosis and need for supervised care.\nConclusion: DDMS is a rare, frequently misdiagnosed condition that requires diligent early identification and advanced imaging (MRI) for proper diagnosis and multidisciplinary support of child development.\nKEY WORDS: Refractory Epilepsy, Psychosis, Cerebral Hemi-atrophy, Neurological Deficit.\n\n\n### Unusual catatonia-like presentation of familial behavioural variant frontotemporal dementia\nGarvika Bhutani, Anshita Girdhar, Mustafa Ali\nInstitute of Human Behaviour and Allied Sciences, Delhi, India\nBackground: Behavioural variant frontotemporal dementia (bvFTD) is a neurodegenerative disorder characterised by early impairment in behaviour, personality, and executive functioning. Core clinical features include disinhibition, apathy, emotional blunting, impaired social cognition, stereotyped behaviours, and changes in eating preferences. Due to prominent behavioural dyscontrol, impulsivity, loss of social decorum, and disturbed interpersonal conduct, bvFTD in young adults may mimic psychiatric disorders. Frontal lobe dysfunction may also manifest as mutism, negativism, rigidity, and reduced initiation, further complicating diagnosis. Familial forms often involve pathogenic mutations affecting tau or TDP-43 protein pathways.\nAims: To illustrate an atypical early-onset familial bvFTD case presenting with catatonia-like features and severe self-neglect, highlighting diagnostic challenges.\nMethods: A comprehensive assessment included mental status examination, Bush-Francis Catatonia Rating Scale, laboratory investigations, MRI brain, lorazepam challenge, four bifrontal mECT sessions, and cognitive testing. Detailed family history and genetic evaluation for MAPT and TARDBP variants were obtained.\nResults: A 31-year-old woman developed progressive behavioural changes over six months, including disinhibition, impulsivity, reduced social interaction, and functional decline. Near admission, she exhibited mutism, ambitendency, negativism, mitgehen, waxy flexibility, withdrawal, mild rigidity, and severe self-neglect. She showed no response to injectable lorazepam up to 8 mg/day or to bifrontal mECT. MRI demonstrated fronto-temporo-parietal atrophy. Genetic testing revealed MAPT and TARDBP variants.\nConclusion: Catatonia-like manifestations in bvFTD are uncommon and may contribute to misdiagnosis. Poor response to catatonia treatments, characteristic neuroimaging findings, and genetic positivity are key indicators facilitating accurate diagnosis, early intervention planning, and counselling.\n\n\n### Assessment of caregiver burden of the patients suffering from alcohol dependence\nGaurav Singh Kaintura, Prakash Chandra, Jitendar Singh, Akhil Dhanda\nSaraswathi Institute of Medical Sciences, Hapur, Uttar Pradesh, India\nIntroduction: Alcohol dependence is a phenomenon in which a person prioritises alcohol consumption over other previously important behaviours in their life. Caregiver burden is characterised as the stress and strain experienced by caregivers in response to the challenges inherent in their role as caregivers to the recipient of care.\nObjectives:\n1. Assessment of Caregiver Burden of the patients of Alcohol dependence\n2. Evaluate factors associated with the caregiver burden.\nMaterials and Methods: Site of study:Department of Psychiatry,SIMS,Hapur.\nStudy of design: Cross-sectional observation study.\nStudy duration: August 2025 to October 2025.\nSample size: The study sample consisted of 50 subjects and their accompanying caregiver.\nStudy Tools:\n1. Informed Consent\n2. Socio demographic and Clinical Data Sheet\n3. ICD 10 Criteria of Alcohol Dependence\n4. Burden assessment scale (BAS)\n5. Severity of Alcohol Dependence Questionnaire (SADQ)\nStatistical Analysis: Data were encoded and analyzed using Microsoft Office Excel and the Statistical Package for the SocialSciences(SPSS) version 23.\nResults: Majority of subjects were in age group of 31-40 years.The majority of these subjects has mild alcohol dependence(n=30), followed by moderate alcohol dependence(n=19),and severe dependence(n=1). Participants with Low Burden exhibit a majority of mild Alcohol dependence(n=39),followed by moderate Alcohol dependence (n=10), and a smaller proportion of severe alcohol dependence (n=1).In contrast, individuals experiencing High Burden display a more balanced distribution between moderate Alcohol dependence(n=29) and mild Alcohol dependence(n=21), with severe Alcohol dependence absent.\nConclusion: Caregivers of alcohol dependent patients often struggle with depression, physical and financial burden and have maladaptive coping mechanisms which ultimately worsen their own problems.\nKey words: Alcohol use disorder, burden assessment, caregiver burden\n\n\n### Escitalopram induced drug reaction with eosinophilia and systemic symptoms in a quadragenerian: A case report\nGopichand Markapudi\nGMC, Srikakulam, Andhra Pradesh, India\nEscitalopram, a commonly prescribed selective serotonin reuptake inhibitor, is generally well tolerated but rarely associated with severe cutaneous adverse reactions such as drug reaction with eosinophilia and systemic symptoms (DRESS) syndrome. DRESS is a potentially life threatening hypersensitivity reaction characterized by widespread rash, fever, eosinophilia, and internal organ involvement, most often linked to antiepileptics and allopurinol. This report describes a 45 ‘year ‘old female with major depressive disorder who developed high grade fever, diffuse pruritic maculopapular rash with facial edema, and malaise a few weeks after initiation of escitalopram. Laboratory investigations revealed leukocytosis with eosinophilia and elevated liver transaminases, while infectious, malignant, and autoimmune causes were excluded, yielding a definitediagnosis of DRESS on the RegiSCAR scoring system. Escitalopram was promptly discontinued and systemic corticosteroid therapy was initiated, leading to gradual resolution of cutaneous and systemic manifestations and normalization of laboratory abnormalities over the following weeks. This case underlines escitalopram as a rare yet important potential trigger of DRESS and emphasizes the need for a high index of suspicion when delayed rash and systemic symptoms occur after starting this antidepressant. Early recognition, immediate drug withdrawal, and appropriate immunosuppressive treatment are crucial to prevent serious morbidity and mortality.\n\n\n### Paradoxical behavioral manifestations induced by a nootropic in a child with autism – A case report\nP. Gopika, Anoop Vincent\nSree Narayana Institute of Medical Sciences, Ernakulam, Kerala, India\nBackground: There are studies highlighting the promising potential of Nicotinamide mononucleotide and brassica campestris L. Standardized to sulforaphane capsules, as an adjunctive intervention for autism spectrum disorder, demonstrating its efficacy in reducing core symptoms, improving social communication and addressing repetitive behaviors.\nAim: This case report highlights a suspected behavioural adverse reaction to Nicotinamide mononucleotide and brassica campestris L. Standardized to sulforaphane capsules ( Altibrain- of Celagenex research ( India) pvt ltd), a nootropic agent, in a child with autism spectrum disorder.\nMethods: 12 year old child with autism spectrum disorder, who was on clonidine, fluvoxamine,risperidone, divalproex sodium, when presented with mild irritable symptoms, was started on Nicotinamide mononucleotide and brassica campestris L. Standardized to sulforaphane capsules, a nootropic, which acts as a cognitive enhancer.\nResults: After 5 days of starting above mentioned drug, child was brought to psychiatry out patient department for worsening of symptoms of irritability and hyperactivity. Drug was discontinued and symptoms reduced within 2-3 days.\nConclusion: This reaction suggests a behavioural adverse effect, highlighting the increased sensitivity of children with autism spectrum disorder to neuroactive medications.\n- This case underscores the need for individualized risk assessment to improve patient safety.\n\n\n### Deciphering complexity: Dual genomic drivers in a severe neurodevelopmental disorder\nGourab Bhattacharya, Souvik Dubey1\nInstitute of Psychiatry, IPGMER and SSKM Hospital, 1Bangur Institute of Neurosciences, IPGMER and SSKM Hospital, Kolkata, West Bengal, India\nBackground: Neurodevelopmental syndromes presenting with global developmental delay, microcephaly, and stereotypic hand movements often resemble the Rett spectrum, despite normal MECP2.\nChromosome 13q deletions are well-known causes of severe developmental delay and behavioral disturbances.\nRecently identified heterozygous variants in SRRM2 gene have been associated with intellectual disability and autistic traits.\nCo-occurrence of a major chromosomal deletion with a rare monogenic variant complicates diagnosis and may result in mixed phenotypes.\nCase Presentation: A 15-year-old female exhibited severe developmental delays, profound language impairment (expressive > receptive), microcephaly, and stereotypic hand-writhing movements. She achieved motor milestones late, beginning to walk around age three.\nBehavioral issues included impulsivity and poor social skills. Dysmorphic traits included a depressed nasal bridge, hypertelorism and facial hypoplasia. MRI indicated cerebral atrophy, while EEG results were normal.\nGenetic evaluation revealed heterozygous SRRM2 missense variant (p.His2176Leu; VUS), and ~12.9 Mb heterozygous deletion at chromosome 13q33-q34.\nDiscussion: The patient’s phenotype is consistent with chromosome 13q deletion syndrome, with the SRRM2 variant potentially acting as a modifier and influencing communication and behavior.\nThe identification of dual genomic findings through exome and microarray testing is gaining recognition, leading to mixed neurodevelopmental presentations.\nConclusion: A rare co-existence of SRRM2 p.His2176Leu (VUS) and chromosome 13q deletion was identified in a child with severe neurodevelopmental impairment.\nThis dual finding expands the phenotypic spectrum and underscores the importance of genomic testing.\n\n\n### Cyclical vomiting syndrome – A case report\nGouthami Ganagalla, Sandhya\nGovernment Hospital for Mental Care, Vishakapatnam, Andhra Pradesh, India\nBackground: Cyclical vomiting syndrome (CVS) consists of recurrent, sudden, and stereotypical episodes of severe nausea and vomiting separated by symptom free periods. Associated with high incidence of psychiatric comorbidities. Psychosocial factors also play a role in triggering this condition Aim: To report and discuss a case of cyclical vomiting syndrome.\nCase Summary: a 16 year old female child with father refered to psychiatry department with complaints of recurrent vomiting and fearfulness . Vomiting episodes started when She was 7 years of age. Vomiting had started after child cheeks pinched by unknown lady. She had 5-6 times of vomiting per day and continued.stopped by itself without any medication after 3 years. Then, the child started to have similar episodes of vomiting since last 6 months and feeling fearful of that same lady. The symptom-free interval between two episodes of vomiting is of 7 years.during this interval, no physical complaint and was regular in her daily activities . currently stopped studying. The child had significant psychosocial stressors, father staying away from Child for last 5 years and alcoholic and emotionally closed off and interacts less with the child. Results: As on evaluation for the recurrent vomiting by genereal medicine no abnormality detected .The child was treated on amitriptyline 25 mg at night. The child improved with the medication. The child is on regular follow-up, and his vomiting episodes have reduced.\nConclusion: Antidepressants like TCA can used to treat CVS. Psychiatrists play active role for better outcome.\n\n\n### Endoxifen in the management of gambling disorder – A case report\nGunjan Miniyar, Shilpa Adarkar1, Parijat Roy1, Maitrayee Patil1\nSeth GS Medical College and KEM Hospital, 1Department of Psychiatry, Seth GS Medical College and KEM Hospital, Mumbai, Maharashtra, India\nIntroduction: Gambling disorder previously known as Pathological Gambling, is classified as a behavioral addiction and includes symptoms such as needing to gamble with increasing amounts of money, restlessness or irritability when trying to stop, unsuccessful efforts to quit, preoccupation with gambling etc. Common forms of Gambling include lottery, scratch tickets, sports betting, casino table games, slot machines and the recent online games. With an estimated prevalence of 1.2-1.4%, the consequences are often not limited to the individual but their families as well. No medication is approved for its treatment, however, drugs like Naltrexone, Antidepressants and Mood Stabilizers are often used along with psychotherapies for management. Here, we have used Endoxifen, a novel Selective Estrogen Receptor Modulator (SERM) with Protein Kinase-c inhibition for successful treatment of gambling disorder.\nCase: A 43y male, chartered accountant, with no past history of any psychiatric disorder, had come to our OPD with history of incurring losses of 3-3.5crores in the last 1y playing online rummy. With minimal improvement on Naltrexone 100mg in the past, we decided to start Endoxifen 8mg, up titrated to 16mg within a week along with psychotherapy. The patient perceived significant reduction in craving on 16mg, and has been maintained on it since the last 5 months, without any lapses/ relapses.\nDiscussion: Endoxifen shows promise in treating addiction, as it reduces craving and impulsivity. Our case is one of the few cases, which highlights the potential use of Endoxifen in treating Gambling Disorder and similar behavioural.\nKey words: Behavioural addiction, endoxifen, gambling disorder\n\n\n### The intersection of alcohol use disorder and intimate partner violence: A global scoping review\nGurveen Kaur, Newfight Seth, Apinderjit Kaur Aayushi Sobhani1, Shalini Singh\nAll India Institute of Medical Sciences, 1CAPFIMS Centre, All India Institute of Medical Sciences, New Delhi, India\nBackground: Alcohol misuse is one of the most consistent predictors of IPV, yet estimates of global prevalence vary widely. Indeed, a number of studies have identified alcohol use, specifically hazardous and dependent drinking, as a key risk factor for the perpetration of IPV and victimization. An understanding of this intersection is important in guiding prevention and treatment strategies.\nAims: To systematically map global evidence on the prevalence and nature of the association between alcohol use and intimate partner violence across diverse populations and settings.\nMethods: Following PRISMA guidelines, PubMed and Google Scholar were searched (2005-2024). Thirty-three quantitative studies from 12 countries were analysed. Studies used standardized tools such as AUDIT, CTS-2, SCID-IV to assess alcohol use and IPV.\nResults: The average prevalence of alcohol use among IPV perpetrators across all studies was 45 %, with an average prevalence of IPV among individuals with AUD of 52 %. Reported ranges were wide, ranging from 9 to 90 %, reflecting both contextual and methodological variation. Severe or dependent drinking was associated with the frequency and intensity of IPV episodes. Physical violence predominated (60-70 %), with psychological aggression co-occurring in over half of cases. High-income countries generally showed lower IPV-alcohol overlap than low- and middle-income settings.\nConclusion: Alcohol misuse and IPV demonstrate a strong bidirectional relationship worldwide. Integrated screening and interventions addressing both alcohol use and partner violence are urgently required, particularly in low-resource settings.\n\n\n### Depiction of alcohol and drugs in Indian popular songs: A content analysis\nGurveen Kaur, Deepali Negi, Yesh Chandra Singh1, Vinit Patel2\nAll India Institute of Medical Sciences, New Delhi, 1Venkateshwara Institute of Medical Sciences, Amroha, Uttar Pradesh, 2All India Institute of Medical Sciences, Raipur, Chhattisgarh, India\nBackground: Music is a powerful sociocultural force shaping attitudes toward substance use. While Western studies report 23-33% substance references in songs, no systematic analysis exists for Indian music. Considering India’s rising burden of substance use, analysing substance portrayals in popular music is essential for public health understanding.\nAims: To quantify and characterize substance-related content in top Indian songs of 2024 and thematic analysis of these references.\nMethods: A content analysis of 198 songs from Billboard India, Apple Music, Spotify, and JioSaavn charts was conducted. Two trained coders independently reviewed all lyrics. Mentions were classified as explicit, implicit-identifiable, or implicit-ambiguous, and categorized by substance type using ICD-11. Reference frequency and density were calculated. Thematic analysis grouped subthemes into six domains: Love/Relationships, Lifestyle/Status, Risk/Problematic Use, Coping/Emotion, Celebration/Enjoyment, and Identity/Spirituality. Coding disagreements were resolved through consensus.\nResults: Substance references appeared in 19.7% of songs, substantially lower than western estimates. Alcohol accounted for 71.8% of mentions. Explicit references (41%) were more common than implicit forms. Songs contained an average of 2 substance mentions, with a density of 0.7 per minute. Thematically, Love/Relationships (43.6%) and Lifestyle/Status (41%) dominated, suggesting culturally distinct representations in which substances serve metaphorical purposes, rather than behavioural indicator. Depictions of risk, harm, or coping were minimal, ranging from 1-10% in these categories.\nConclusion: Indian popular music features relatively low but predominantly positive or symbolic substance portrayals. Minimal representation of risk or problematic use raises concerns about subtle normalization underscoring the need for culturally grounded media-literacy and prevention strategies.\n\n\n### Musical intrusion in obsessive-compulsive disorder: A unique comorbid presentation in bipolar 1 disorder\nHafija Khatun\nCollege of Medicine and Sagore Dutta Hospital, Kolkata, West Bengal, India\nBackground: Musical obsessions, also called musical intrusive thoughts, are a rare form of obsessive-compulsive disorder (OCD) symptoms. These obsessions involve persistent and repetitive musical fragments that are experienced as unwanted and uncontrollable, causing significant distress and functional impairment. They are ego-dystonic, meaning they conflict with the individual’s sense of self, and are often mistaken for auditory hallucinations. Correctly distinguishing musical obsessions from psychotic hallucinations is crucial for accurate diagnosis and treatment.\nCase Description: This report presents a 37-year-old married Muslim male mason with a 5-year history of Bipolar I Disorder on medication. Over the past two years, he experienced intrusive and repetitive thoughts of musical phrases like “Sandesh aate hai” and other familiar songs. He recognized these thoughts as internally generated but unable to suppress them despite conscious effort. To cope, he engaged in multiple daily masturbations, which caused him shame. These symptoms led to marked distress and impaired his daily functioning, prompting psychiatric consultation.\nManagement: A thorough clinical assessment confirmed the intrusive musical thoughts as obsessions rather than hallucinations. The patient began treatment with a selective serotonin reuptake inhibitor (SSRI) targeting the predominant obsessive-compulsive symptoms, while his bipolar mood symptoms were closely monitored. Over time, he showed significant improvement, with reductions in the intensity of musical obsessions and enhanced daily functioning.\nConclusion: This case highlights the clinical importance of differentiating musical obsessions from psychotic symptoms, especially in patients with comorbid mood disorders. Early diagnosis and SSRI treatment can effectively reduce symptoms and improve quality of life.\n\n\n### When hair pulling goes unnoticed: Automatic eyelash trichotillomania in an adolescent\nHarika Maddali, M. Pramod Kumar Reddy\nMamata Medical College, Khammam, Telangana, India\nBackground: Trichotillomania is a body-focused repetitive behavior characterized by recurrent hair pulling resulting in hair loss and distress or functional impairment. While scalp involvement is most frequently reported, eyelash-focused trichotillomania is uncommon and may be underrecognized, particularly in adolescents where the behavior is often automatic and occurs outside conscious awareness.\nCase Presentation: We present the case of a 16-year-old female who was evaluated for progressive bilateral loss of eyelashes over a period of six months. The patient initially denied intentional hair pulling and reported no associated pruritus, pain, or cosmetic practices. Detailed clinical assessment revealed repetitive eyelash manipulation during periods of inactivity such as studying or screen use, without preceding urges or emotional distress, consistent with automatic trichotillomania. There was no history suggestive of psychosis, mood disorder, or obsessive-compulsive disorder, although mild anxiety traits were noted. Dermatological causes including alopecia areata and infective etiologies were ruled out.\nManagement and Outcome: The patient was managed with non-pharmacological interventions, including psychoeducation, habit reversal training, stimulus control strategies, and family involvement. Pharmacotherapy was deferred given the automatic nature of the behavior and absence of significant comorbidity. Over a follow-up period of ten weeks, there was a marked reduction in eyelash-pulling behavior with visible regrowth of eyelashes and improvement in psychosocial functioning.\nConclusion: This case underscores the importance of considering automatic trichotillomania in adolescents presenting with localized hair loss at uncommon sites such as the eyelashes. Early recognition and behavioral interventions can lead to favorable outcomes and prevent chronicity.\nKey words: Adolescents, eyelash pulling, trichotillomania\n\n\n### A study on adverse childhood experiences among sexual and gender minority populations\nHarikrishna Jammigumpula, R. V. R. Abhinaya\nGreat Eastern Medical School and Hospital, Srikakulam, Andhra Pradesh, India\nAdverse Childhood Experiences (ACEs) are widely recognized as significant determinants of lifelong mental and physical health. They encompass abuse, neglect, and household dysfunction occurring before the age of 18. Emerging literature demonstrates that sexual and gender minority (SGM) populations face a disproportionately higher burden of ACEs compared to cisgender heterosexual individuals. In addition to conventional ACE domains, SGM individuals are frequently exposed to identity-specific adversities such as bullying, social exclusion, discrimination, and family-based rejection linked to sexual orientation or gender identity. Despite this growing recognition globally, research exploring ACE prevalence among LGBTQ+ individuals remains limited in India, where sociocultural stigma may further intensify these experiences. This study aims to estimate the prevalence and typology of ACEs among self-identified SGM adults and to compare patterns of exposure across subgroups including gay/lesbian, bisexual, and transgender participants. A cross-sectional online survey is being conducted using snowball sampling in collaboration with an LGBTQ+ community organization. Data collection uses the WHO Adverse Childhood Experiences International Questionnaire (ACE-IQ), supplemented by items capturing identity-related adverse experiences. Associations between ACE exposure and self-reported mental health symptoms will also be examined. We hypothesize that SGM participants will report significantly higher ACE exposure with distinct adversity patterns influenced by identity-related stigma. The findings are expected to provide evidence for trauma-informed mental health care and contribute to policy discussions aimed at reducing disparities affecting LGBTQ+ communities.\n\n\n### Hemisomatognosia in a 28 years old man: Clinical profile, diagnostic challenges and therapeutic approach\nHarshita Rai, Sabari Sridhar\nSri Ramachandra Institute of Higher Education and Research, Chennai, Tamil Nadu, India\nA 28 years old male, formally educated till 10th standard,working in a shoe company, 1st born of non consanguineousmarriage, from lower socio economic status of urban background who presented to our outpatient psychiatry service with a 3 day history of subjective disappearanceof sensation and ownership of the left side of her body. The patient described the left arm and leg as feeling not part of me,accompanied by intermittent paresthesia but without overt motor weakness or sensory loss on clinical examination. Substance use was not clearly established as patient was very guarded.There was no history of trauma, or significant medical illness. Mental status examination revealed intact cognition, normal mood and affect, and absence of psychotic features; however, he demonstrated persistent conviction of altered body ownership. Neurological examination and bedside cognitive tests were unremarkable except for inconsistency between subjective experience and objective findings.\nNeuroimaging (MRI brain) showed no abnormality.Neuropsychological testing showed deficits in proprioceptive integration and spatial attention. A multidisciplinary provisional diagnosis of hemisomatognosia was made. Psychological assessments showed clinically significant scores in Dependent personality traits with negativist pattern. He scored high in anxiety under clinical syndrome in MCMI.Further probing gave high scores in drug dependence pattern.Management included structured psychoeducation, cognitive rehabilitation focusing on body awareness, and supportive psychotherapy to reduce distress and functional impairment. Pharmacotherapy with a low-dose atypical antipsychotic was considered to target fixed abnormal beliefs when present.\n\n\n### Course and outcome of schizophrenia – Methodological challenges and way ahead\nHemant Choudhary, Vaibhav Patil, Mamta Sood\nAll India Institute of Medical Sciences, New Delhi, India\nBackground: Schizophrenia has been considered a chronic illness with poor long-term outcomes in its early conceptions. Substantial literature has emerged over the years, highlighting that around half of the patients with schizophrenia have a favorable long-term outcome. Despite these advances, the available research on the long-term course and outcome of schizophrenia is mired with limitations.\nAims: To evaluate the methodological limitations of the existing studies on the long-term course and outcome of schizophrenia.\nMethodology: We searched the literature from Medline and Google Scholar from inception till September 2025. We included studies related to the course and outcome of schizophrenia and other psychotic disorders (excluding mood disorders). The data were summarized in a narrative review.\nResults: Major limitations included high heterogeneity in the study methodology and the underlying illness construct, high attrition rates in follow-up, lack of studies evaluating the long-term impact of interventions (especially psychosocial interventions), and limited data on the influence of individual factors on the course and outcome of schizophrenia. Some attempts have been made in recent years to address these limitations, but international collaborative studies have been scarce. We have proposed an approach for future research to address several of these limitations.\nConclusion: Schizophrenia is a heterogeneous group with a variable course and outcome. The outcome of schizophrenia is not inevitably poor, unlike previous descriptions. Several methodological limitations are seen in existing studies, with possible directions for future research.\nKey words: Course, outcome, psychotic disorders, schizophrenia\n\n\n### False crawlers in a fading memory: Delusional parasitosis revealing Vitamin B12 deficiency in an elderly woman with dementia\nHillol Das, Ria Sen\nCalcutta National Medical College, Kolkata, West Bengal, India\nBackground: Delusional parasitosis involves the false conviction of being infested by insects or parasites. Although commonly linked with primary psychiatric conditions, it can also occur secondary to medical and neurological disorders. In older adults with cognitive decline, potentially reversible contributors such as vitamin B12 deficiency may present with behavioral or psychotic symptoms that overlap with dementia, leading to diagnostic delay.\nAims: To present a case where delusional parasitosis emerged in a patient with dementia and was subsequently found to be associated with significant vitamin B12 deficiency, and to highlight the need for metabolic screening in late-life neuropsychiatric presentations.\nMethods: Comprehensive assessment included clinical history, mental status examination, cognitive evaluation, dermatological inspection, and relevant laboratory tests. Serum vitamin B12 levels were measured, and neuroimaging was done. Management involved vitamin B12 supplementation along with supportive psychiatric care.\nResults: The patient exhibited persistent sensations and visual misperceptions of insects, leading to marked distress and self-injury from scratching. Cognitive symptoms appeared worsened during this period. Investigations showed low vitamin B12 levels, with no dermatological or infectious pathology. After initiating parenteral B12 therapy, there was a steady reduction in the delusional belief and associated behaviors, accompanied by improved alertness and engagement. Sustained improvement was observed during follow-up.\nConclusion: This case underscores that delusional parasitosis in individuals with dementia may reflect an underlying, reversible vitamin B12 deficiency. Routine metabolic workup in atypical psychotic or behavioral symptoms in older adults is essential, as timely identification and treatment can lead to meaningful clinical recovery.\nValidation of Telugu version of brief resilience scale in caregivers of patients with schizophrenia: An exploratory factor analysis\n\n\n### Hima Bindu Venna\nNRI Academy of Sciences, Guntur, Andhra Pradesh, India\nBackground: Caregiving for individuals with schizophrenia is a huge burden, and resilience is a key protective factor. Brief resilience scale (BRS) assesses resilience, and has been translated and validated in various languages and has good psychometric properties. There is a dearth of validated scales to assess caregiver burden and its related psychological factors like resilience in Telugu states.\nAim: To validate the Telugu version of BRS.\nMethods: The six item English BRS scale was translated based on World Health Organization guidelines for translation and adaptation of rating scales. Translated scale was rated by 124 Telugu speaking caregivers of schizophrenia patients across three centers over a period of one year. R language was used to perform Exploratory Factor Analysis (EFA) with oblimin rotation and Cronbach’s alpha was calculated to assess internal consistency.\nResults: Assumptions for the EFA were analyzed using the Kaiser-Meyer-Olkin (KMO) test (for sampling adequacy), Bartlett’s test of sphericity (for inter-item correlation significance), and the communality assessment (for the strength of factor extraction). EFA revealed that the items of BRS scale were significantly loaded onto two factors with eigenvalues of 1.99, and 1.81, and one is explained by method factor, which together explain 63% of the total variance. Cronbach’s alpha for the scale was 0.84, indicating good internal consistency.\nConclusion: Telugu translated BRS demonstrated a reliable two-factor structure with good psychometric properties, confirming its validity for assessing resilience.\nKey words: Adaptation, brief resilience scale, rating scales, reliability, resilience, South India, validity\n\n\n### Unusual presentation of anorexia nervosa in a 9-year old child – A case report\nHimani Mittal, M. Raghuram\nVarun Arjun Medical College and Rohilkhand Hospital, Shahjahanpur, Uttar Pradesh, India\nIntroduction: Anorexia nervosa is an eating disorder marked by severe restriction of food intake, intense fear of gaining weight, and a distorted body image. Although more common in adolescent females, early-onset cases in children are rare. This report describes a 9-year-old girl presenting with progressive weight loss, refusal to eat due to fear of becoming fat, and recurrent post-prandial vomiting. Atypical anorexia nervosa was diagnosed, likely precipitated by parental separation. The case highlights the need for early recognition and multidisciplinary management.\nMaterials and Methods: This case report was prepared using clinical information gathered from a pediatric patient diagnosed with anorexia nervosa, along with supporting medical and psychological assessments. Data collection and clinical evaluation were conducted at the Psychiatry Outpatient Department of Varun Arjun Medical College and Hospital Uttar Pradesh, India. Study Design-A descriptive observational case report based on a single patient with early-onset anorexia nervosa. Study Setting-Psychiatry OPD and Pediatric department, Varun Arjun Medical College and Rohilkhand Hospital Uttar Pradesh,India. Study Population-One 9-year-old female child presenting with progressive weight loss and restrictive eating behavior.\nResults: The patient showed significant clinical improvement following a multidisciplinary management approach. After one week of inpatient monitoring and treatment, her weight increased from 19 kg to 20 kg and her physical strength improved, enabling independent ambulation. Episodes of vomiting reduced considerably, and she began consuming small meals without excessive fear of gaining weight.\nConclusion: This case highlights an uncommon early-onset presentation of anorexia nervosa.\nKey words: Anorexia nervosa, child psychiatry, early onset, eating disorder\n\n\n### When calcium clouds the mind: Fahr’s disease with organic psychosis – A neuropsychiatric case report\nHimanshu, Priyajyoti Chakma, Munmun Debbarma\nAgartala Government Medical College and GBPH, Agartala, Tripura, India\nBackground: Fahr’s disease, or familial idiopathic basal ganglia calcification, is a rare neurological disorder characterized by bilateral calcification in the basal ganglia and cerebellum. It presents with heterogeneous neurological, cognitive, and psychiatric manifestations. Psychosis as the primary presentation is uncommon, making early diagnosis challenging. This case highlights the importance of neuroimaging in evaluating acute psychosis with neurological signs.\nAims: To describe a rare case of Fahr’s disease presenting primarily with acute psychosis and to emphasize the necessity of neuroimaging in atypical psychiatric presentations.\nMethods: A detailed clinical evaluation, mental status examination, laboratory investigations, neurological assessment, and computed tomography (CT) of the brain were conducted to identify the etiology of acute psychotic symptoms.\nResults: A 36-year-old woman presented with suspiciousness, auditory hallucinations, agitation, and persecutory delusions for 10-12 days. Initial diagnosis was acute and transient psychotic disorder. On the 4th day of admission, she developed gait difficulties, lower-limb weakness, extrapyramidal symptoms, and one episode of generalized tonic-clonic seizure. Laboratory parameters including calcium, phosphate, thyroid, and parathyroid levels were within normal limits. CT brain revealed bilateral basal ganglia and cerebellar calcifications consistent with Fahr’s disease. Treatment was modified to aripiprazole and trihexyphenidyl with the addition of levetiracetam. She showed complete remission of psychotic and neurological symptoms on follow-up.\nConclusion: This case underscores the importance of considering Fahr’s syndrome as a differential diagnosis in acute psychosis accompanied by seizures or neurological deficits. Early neuroimaging facilitates timely diagnosis and appropriate management. Further research is needed to establish evidence-based neuropharmacological interventions.\n\n\n### Complications during anaesthesia in modified electroconvulsive therapy – A case of organo-phosphorous poisoning for alleged suicidal attempt\nHimanshu Mittal, Mona Srivastava\nIMS, BHU, Varanasi, Uttar Pradesh, India\nBackground: Modified Electroconvulsive therapy (M-ECT) is a safe and effective treatment for severe depression, particularly in urgent situations such as after a suicide attempt. However, medical complications may arise when toxic substances ingested during the attempt interact with anesthetic agents used in M-ECT. Careful preM-ECT evaluation is therefore essential to prevent adverse outcomes.\nCase Presentation: We report the case of a 55-year-old female, admitted to the psychiatry department following a alleged suicide attempt by ingesting Organo Phosphorus poison (commonly used as an insecticide). Initial management stabilized her medically, and subsequent psychiatric assessment revealed depressive symptoms with active suicidal Ideas Due to the severity of her condition, MECT was planned. During the first MECT session, the patient experienced prolonged paralysis following induction with a standard short-acting Succinyl-choline. Emergency supportive measures were initiated. Further review indicated that Organo-Phosphorous poison had interfered with Succinyl Choline metabolism, leading to extended muscle paralysis.\nDiscussion: This case underscores the importance of detailed toxicology assessment and metabolic evaluation in patients presenting after ingestion of unknown or corrosive substances prior to MECT. Coordination between psychiatry, anesthesiology, and emergency medicine is crucial for preventing potentially life-threatening interactions.\nConclusion: MECT remains a vital intervention in acute suicidal depression; however, thorough pre-procedure screening for substance ingestion and careful anesthetic planning are mandatory to ensure patient safety.\nThis case highlights the importance that not only the attempt but the mode of attempt the patient had used should be thoroughly evaluated.\nKey words: Anesthetic interaction, depression, modified-electroconvulsive therapy, organo-phosphorous poisoning, patient safety, suicide attempt\n\n\n### Harm obsessions presenting as repetitive biting behavior: A rare case report\nHimanshu Sahu, Subhendu Datta, Supartha Barua, Nitu Mallik\nMedical College Kolkata, Kolkata, West Bengal, India\nBackground: Obsessive-compulsive disorder (OCD) is a heterogeneous psychiatric illness characterized by intrusive thoughts and repetitive behaviors performed to reduce anxiety. Harm-related obsessions form a recognized subtype, however, presentations involving repetitive biting behavior directed toward others are rare and diagnostically challenging.\nAims: To describe a rare presentation of harm-related obsessive-compulsive disorder in a middle-aged female presenting with obsessive biting behavior toward her spouse.\nCase: A 54-year-old married female presented to the psychiatry outpatient department with a one-year history of recurrent, intrusive urges to bite her husband, associated with severe anxiety and distress. The patient experienced transient relief after biting, followed by guilt and fear of causing harm. She attempted to resist the urges by restraining herself and avoiding close contact. There was no history of psychosis, mood disorder, substance use, or neurological illness. Mental status examination revealed anxious affect, preserved insight, and intact reality testing. Routine laboratory investigations and imaging were within normal limits. A diagnosis of harm-related obsessive-compulsive disorder was made.\nResults: The patient was treated with a tab Fluoxetine started with 20 mg then increased to 40 mg and cognitive-behavioral therapy. There was marked reduction in obsessive urges, anxiety, and biting behavior, with improvement in interpersonal functioning.\nConclusion: This case highlights an unusual phenomenological variant of harm OCD. Early identification and appropriate treatment can reduce morbidity and prevent interpersonal harm.\n\n\n### A case of long-standing benzodiazepine dependence with comorbid persistent depressive disorder and posttraumatic stress symptoms\nHimanshu Sareen, Garvit Shivran\nPIMS Medical College and Hospital, Jalandhar, Punjab, India\nWe report a case of a middle-aged male with chronic misuse and dependence on multiple benzodiazepines, taken at significantly higher-than-recommended doses, occurring in the background of long-standing depressive symptoms, multiple psychosocial stressors, a family history of schizophrenia, and trauma-related features following sexual assault. The case underscores the risks of unsupervised psychotropic escalation, challenges in benzodiazepine detoxification, and the need for comprehensive psychoeducation, structured tapering, and long-term psychiatric follow-up.\n\n\n### Phenytoin overdose as an acute neurological weakness: A diagnostic dilemma\nHina Bano, Seshan Kumar, Arish Khan\nAIIMS, Delhi, India\nBackground: Phenytoin is a commonly used antiepileptic drug with a narrow therapeutic index, making patients vulnerable to toxicity even with minor dosing changes. Symptoms can be diverse and often resemble acute neurological conditions. When patients present with vague complaints such as generalised weakness, the true cause may be overlooked, creating a diagnostic challenge.\nCase Presentation: A middle-aged patient with a known seizure disorder presented with sudden generalised weakness, unsteady gait, and intermittent confusion. Initial differentials included post-ictal weakness, stroke, metabolic abnormalities, and neuromuscular disorders. Routine investigations were unremarkable, and neuroimaging showed no acute pathology. A detailed medication review revealed long-term phenytoin therapy. Serum levels were markedly elevated, confirming toxicity as the cause of symptoms initially mimicking neurological emergencies. Phenytoin was withheld, and the patient received supportive care. Serial monitoring showed a gradual decline in levels with steady improvement in strength and mental status. Once therapeutic levels were restored, the patient fully recovered without further seizures during hospitalisation.\nDiscussion: Phenytoin toxicity can subtly mimic other neurological conditions, especially when symptoms are nonspecific, such as weakness or gait instability. This case highlights how easily toxicity may be missed if medication history is not carefully reviewed. Early consideration of drug levels can prevent unnecessary investigations and allow timely treatment.\nConclusion: Phenytoin toxicity should remain an important differential diagnosis in seizure patients presenting with unexplained neurological symptoms. Prompt recognition through medication review and serum level testing enables simple, effective management and prevents misdiagnosis.\n\n\n### Alcoholic hallucinosis in withdrawal: A retrospective review\nInge Chaitanya Sudhir, B. Sairam\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Psychotic symptoms during alcohol withdrawal are clinically significant but inconsistently documented in routine hospital settings. Contemporary prevalence data from Indian tertiary-care centres remain sparse.\nObjective: To determine the point prevalence, subtypes, and clinical correlates of hallucinations and delusions among patients admitted for alcohol withdrawal.\nMethods: A retrospective chart review was conducted at the Department of Psychiatry, Andhra Medical College, from July 2025 to August 2025. Records of adults diagnosed with alcohol dependence and admitted for withdrawal management were examined.\nResults: Among 131 patients, hallucinations occurred in 40 (30.5%) and delusions in 35 (26.7%). Auditory hallucinations predominated: Second Person Auditory (n=26), Third Person Auditory Hallucination (n=15), and Elementary Hallucination (n=5). Multiple hallucination types were documented in six cases. Most psychotic symptoms occurred in the absence of Delirium Tremens (39/40 hallucination cases; 34/35 delusion cases). Patients demonstrated wide variability in alcohol-use duration and daily consumption. Logistic models indicated limited stable predictors, partly due to convergence issues, although delirium, longer duration of daily drinking, and higher consumption displayed trends toward association.\nConclusion: Psychotic symptoms, particularly auditory hallucinations, were common among patients admitted for alcohol withdrawal and typically occurred without delirium. These findings underscore the need for routine psychosis assessment during withdrawal and further prospective studies to clarify risk factors.\n\n\n### Dermatitis artefacta: A psychodermatology case report\nIsha Goel, A. V. Saboo\nDr Panjabrao Deshmukh Memorial Medical College, Amravati, Maharashtra, India\nBackground: Dermatitis artefacta is a psychocutaneous disorder in which individuals intentionally create skin lesions but deny their role. It is often associated with underlying psychological distress and may lead to extensive dermatological investigations before psychiatric consultation. Early recognition is essential to prevent unnecessary interventions.\nAims and Objectives: To describe the clinical features, psychiatric comorbidity, and multidisciplinary management approach in a patient with dermatitis artefacta.\nMaterials and Methods: A 24-year-old unmarried female student presented with recurrent, irregular, superficial erosive skin lesions with crusting for 6 months, predominantly over easily accessible areas such as the forearms and thighs. Dermatological evaluation and investigations were unremarkable. Psychiatric assessment revealed low mood, irritability, interpersonal stressors, and features consistent with adjustment disorder with depressed mood. Mental status examination showed dysphoric affect and limited insight.\nResults: A non-confrontational, supportive approach was adopted. The patient was started on fluoxetine 20 mg/day, titrated to 40 mg/day, and short-term clonazepam 0.25 mg at bedtime for sleep disturbance. Supportive psychotherapy and family counselling were initiated. Dermatology provided wound care and topical emollients. Over 6 weeks, there was marked reduction in new lesions and improvement in mood, with sustained remission at 3-month follow-up.\nConclusion: Dermatitis artefacta should be suspected when skin lesions are recurrent, atypical, or resistant to conventional treatment. Collaborative care between dermatology and psychiatry, along with early psychosocial and pharmacological intervention, leads to improved outcomes.\n\n\n### Online poker addiction in a young adult: A case report and neurodevelopmental perspective\nIsha Goel, A. V. Saboo\nDr Panjabrao Deshmukh Memorial Medical College, Amravati, Maharashtra, India\nBackground: Online gambling has emerged as a significant behavioural addiction among young adults, facilitated by easy smartphone accessibility and reward-based gaming interfaces. Individuals under 25 years are especially vulnerable due to ongoing maturation of the prefrontal cortex involved in decision-making and impulse regulation.\nAims and Objectives: To present a case of online poker addiction in a medical student, examine psychosocial consequences, and highlight neurodevelopmental factors that may increase susceptibility in young adults.\nMaterials and Methods: A 21-year-old male MBBS student developed escalating online poker use over 12 months. Symptoms included craving, failed attempts to control playing, irritability when restricted, academic decline, sleep disturbance, and financial losses of approximately ‚¹5 lakhs. There was no past psychiatric or substance-use history. Management involved psychoeducation, motivational interviewing, family involvement, stimulus control, and activity scheduling. Pharmacotherapy included fluoxetine 20 mg/day (titrated to 40 mg/day) for anxiety and dysphoria, and naltrexone 50 mg/day to reduce gambling urges.\nResults: The patient demonstrated reduced craving, improved impulse control, and restoration of academic functioning within 8 weeks. Supportive psychotherapy and family engagement contributed significantly to behavioural improvement.\nConclusion: This case underscores the heightened vulnerability of young adults to online gambling, partly due to immature executive control networks. Early psychiatric intervention, behavioural strategies, and regulated access to online gambling platforms for individuals below 25 years may help prevent addiction and reduce related harm\n\n\n### Double trouble: Challenges of OCD and gaming disorder\nIsha Kanwal, Rajeev Ranjan, Pankaj Kumar\nAIIMS, Patna, Bihar, India\nIntroduction: Gaming disorder is new entity recognised under behavioral addictions in ICD-11. There is emerging evidence that has shown its clinical overlap with Obsessive Compulsive Disorder, and that OCD may itself act as a risk facor for the development of Gaming Disorder.The underlying similarities and differences in neurobiological correlates is still a work in progress.\nCase Summary: This is a case of a 15 year old boy, a student with no prior significant psychiatric, medical or family history. He presented with a total duration of illness of 4 years of progressively worsening symptoms characterised by repetitive,intrusive,ego-dystonic, anxiety provoking doubts/thoughts regarding contamination followed by handwashing/cleaning rituals and counting. He also manifested symptoms of excessive gaming behaviour marked by preoccupation, impaired control,neglect of other interests, and continued gaming despite negative consequences including academic decline, sleep disturbances,and poor self care. These behaviours resulted in marked impairment across personal,social,family and academic domains. No abnormalities detected on general physical examination. Mental status examination revealed preoccupation with gaming,obsessive thoughts/doubts,precontemplation stage of motivation regarding gaming.\nAssessed and monitored by Y-BOCS and Gaming Disorder and Hazardous Gaming Scale (GDHGS).\nManagement and Outcome: The patient was managed using a combination of pharmacotherapy (SSRI) ande psychotherapy, targeting both OCD and gaming disorder.\nConclusion: The case highlights the potential comorbidity between OCD and Gaming disorder,particularly in adolescent population. This emphasizes the need for earlyy recognition and integrated management strategies.\n\n\n### Profile of poststroke delirium in hypertensive patients with acute intraparenchymal hemorrhage: A neuropsychiatric CLP case series from India\nIsha Sandip Tawde, Darpan Kaur, Rakesh Ghildiyal\nDepartment of Psychiatry, Mahatma Gandhi Missions Medical College and Hospital, Navi Mumbai, Maharashtra, India\nIntroduction: The neuropsychiatric aspects of acute intraparenchymal haemorrhage are significantly under-explored, reflecting a major gap in the existing clinical literature.\nAims and Objectives: To present an interesting case series on post stroke delirium in Hypertensive patients with acute intraparenchymal haemorrhage admitted at a Tertiary care Hospital.\nMethods: Case 1: Mr ABC 65 year old female under evaluation and treatment for stroke was referred in view of disorientation.\nCase 2: Mr DEF a 52 year old male under evaluation and treatment for stroke was referred in view of confusion.\nCase 3: Mr GHI a year old male under evaluation and treatment for stroke was referred in view of irritability with agitation.\nResults: All three patients had Hypertension as a common medical comorbidity and were diagnosed with Delirium.\nCase 1: MRI Brain Report indicated right cerebellar bleed with blood attenuation in right cerebellar hemisphere suggestive of acute intraparenchymal haemorrhage, with mild compression of 4th ventricle. Patient was advised Tab Quetiapine 25mg.\nCase 2: MRI Brain report stated acute intraparenchymal haemorrhage involving right corona radiata and right parietal lobe and midline shift, investigations showed deranged LFTs. Patient was advised Tab Haloperidol 0.5mg.\nCase 3: MRI Brain report mentioned acute intraparenchymal haemorrhage involving the right thalamocapsular region extending to the basal ganglia, compression of the adjacent right lateral ventricle and midline shift to the left. Patient was advised T. Haloperidol 0.5mg.\nConclusion: Neuropsychiatric liaison is recommended in Post stroke Hypertensive patients with acute intraparenchymal bleed for early identification and treatment of Delirium.\n\n\n### Modified electroconvulsive therapy in the context of organophosphate self ‘poisoning: a case of succinylcholine ‘related prolonged apnea\nIshani Pal\nDr Panjabrao Deshmukh Medical College, Amravati, Maharashtra, India\nBackground: Organophosphate self ‘poisoning is a common method of deliberate self ‘harm in India and can reduce serum cholinesterase, increasing sensitivity to succinylcholine used during modified electroconvulsive therapy (ECT).\nAims: To report a case of prolonged apnea after ECT in a young man with brief psychotic disorder and recent organophosphate ingestion, and to highlight peri ‘anaesthetic precautions.\nMethods: A 26 ‘year ‘old man presented with 5 days of irrelevant talk, disturbed sleep and behavioural changes following interpersonal stress, and later attempted self ‘harm by ingesting an organophosphate insecticide. He was diagnosed with brief psychotic disorder and organophosphate toxicity, medically stabilised and started on psychotropics, but showed inadequate improvement, so modified ECT under general anaesthesia with succinylcholine was planned.\nResults: After the first ECT, he failed to resume spontaneous respiration and required intubation, ventilatory support and medical ICU care. Serum cholinesterase level was markedly reduced, and a diagnosis of succinylcholine ‘related prolonged apnea in the context of organophosphate poisoning was made. ECT and succinylcholine were discontinued; with supportive management his respiratory status and cholinesterase levels normalised, and psychotic symptoms remitted gradually on pharmacotherapy alone. Conclusion: Recent or suspected organophosphate exposure warrants pre ‘anaesthetic cholinesterase estimation and avoidance of succinylcholine for ECT, with close liaison between psychiatry, anaesthesia and medicine to balance psychiatric benefits against toxicological and anaesthetic risks.\n\n\n### Vitamin B12 deficiency presenting as acute psychosis in an adolescent: A case report\nJahanvi Zandawala, Vinayak Koparde\nJawaharlal Nehru Medical College, Belgaum, Karnataka, India\nBackground: Vitamin B12 deficiency can present with psychiatric symptoms, including acute psychosis, even before anemia or neurological signs appear. Recent pediatric reports show that sudden-onset or atypical psychosis may be directly related to B12 deficiency and often improves rapidly after supplementation. Early recognition helps prevent misdiagnosis and unnecessary long-term antipsychotic treatment.\nCase Presentation: A 16-year-old girl was admitted for limb weakness and pain. Within the first days of admission, she developed acute fearfulness, second-person auditory hallucinations, persecutory delusions, food refusal due to mistrust, and one episode of disinhibited undressing driven by a belief of being recorded. Mental Status Examination and TAT findings indicated a psychotic spectrum disorder with depressive features.\nInvestigations showed Hb 9.8 g/dL, MCV 97.1 fL, reticulocyte count 5.1%, and a critically low vitamin B12 level of 32 pg/mL. She received IV methylcobalamin 1000 mcg twice daily for 7 days, along with Risperidone 6 mg/day (3 mg BD), Trihexyphenidyl, escitalopram 10 mg, and clonazepam. Within one week, her BPRS score improved from 60 to 24, with complete remission of psychotic symptoms and significant improvement in depressive symptoms.\nDiscussion: Her clinical course closely aligns with published pediatric reports describing B12 deficiency induced acute psychosis that improves rapidly with supplementation, even when antipsychotics alone yield limited response.\nConclusion: Vitamin B12 deficiency should be routinely screened in sudden-onset adolescent psychosis, especially when presentations are rapid, atypical, or show slower-than-expected antipsychotic response. Early testing is affordable, treatment is safe, and timely correction enables full and sustained recovery.\n\n\n### Use of ketamine in obsessive-compulsive disorder: A case series\nJai Shri Ram, Vishal Patil, Kratika Bhoyar\nRCSM GMC and CPR Hospital, Kolhapur, Maharashtra, India\nBackground: Obsessive-Compulsive Disorder (OCD) is a chronic and debilitating psychiatric illness, with a significant subset of patients remaining refractory to conventional treatments such as selective serotonin reuptake inhibitors (SSRIs) and clomipramine. Emerging evidence suggests glutamatergic dysfunction plays a role in OCD pathophysiology, and novel agents such as ketamine have demonstrated rapid but short-lived therapeutic effects.\nAims: To present a case series evaluating the efficacy and tolerability of ketamine therapy in patients with treatment-resistant OCD.\nMethods: Seven patients with severe OCD, unresponsive to adequate trials of SSRIs and clomipramine, were administered intravenous ketamine (0.5 mg/kg over 40 minutes) in a controlled hospital setting. Clinical evaluation was performed using the Yale-Brown Obsessive-Compulsive Scale (Y-BOCS) and CGI-S at baseline and after every infusion. Adverse effects were monitored throughout treatment.\nResults: Mean age of the sample was 30.6±7.7 years, mean duration of illness was 6.9±4.3 years and mean baseline Y-BOCS score was 31.0±2.6. Six patients who received all 6 infusions (n = 6), the mean Y-BOCS score decreased to 20.5±4.2, mean absolute reduction of 10.7 ± 4.2 points (34.1% ± 12.3%). Four of six patients (66.7%) met the response criterion of >35% reduction. At follow-up (n = 6), the mean Y-BOCS score was 25.0 ± 7.7, indicating a nonsignificant reduction, with two patients (33.3%) maintaining responder status.\nConclusion: This case series supports evidence that ketamine may provide rapid, though short-lived, symptom improvement in treatment-resistant OCD. Further controlled studies are warranted to determine long-term efficacy and safety.\n\n\n### Stuck in the cycle: Chronic and resistant mania in bipolar disorder\nJaivardhan, Akshay Jadhav\nPravara Institute of Medical Sciences, Loni, Maharashtra, India\nBackground: Chronic mania has long been noted in psychiatric literature but lacks the formal status given to chronic depression. It is classically defined by persistent manic symptoms for over two years without remission. When standard treatments (a mood stabilizer plus an antipsychotic) fail typically after a three week trial the condition is termed treatment resistant mania.\nAim: To discuss the clinical recognition, diagnostic challenges, and treatment implications of chronic mania and treatment-resistant mania.\nCase Vignette: A 32-year-old married male from lower SES presents with history of decreased sleep, overtalkativeness, increased energy, overfamiliarity, hyperreligiosity, and grandiose delusions increased since 5 days with a 12-year history of continuous psychiatric illness with seven prior exacerbations requiring hospital admissions and multiple ECTs, followed by mood stabilizers and antipsychotics, leading to partial remission with residual symptoms with no family psychiatric history or medical comorbidities. On examination, he is less cooperative, shows increased psychomotor activity, attention aroused but not sustained, and easy rapport establishment with affect elated with speech increased in volume and tone with decreased reaction time with thought content shows grandiosity and flight of ideas with judgment is impaired and insight absent.\nConclusion: This case poignantly illustrates the burden of chronic, treatment resistant mania, where even intensive therapy fails to achieve full remission. It highlights the pressing need for better diagnostic frameworks, more precise criteria, and tailored treatment strategies to improve long-term outcomes and recognition of this under appreciated clinical entity.\n\n\n### Pregabalin induced akathisia in an elderly female patient with depression: A case report\nJay Malya Banerjee, Anureet Kaur Chandi, Ganesh Kumar Meena, Vignesh Kuppusamy, Preethy Kathiresan\nAll India Institute of Medical Sciences, New Delhi, India\nBackground: Akathisia is a movement disorder characterized by subjective inner restlessness, an urge to move, and difficulty remaining still, often accompanied by fidgetiness and pacing around. It is typically associated with antipsychotics, serotonin reuptake inhibitors, anti-emetics, and calcium channel blockers. Although its exact mechanism remains unclear, hypotheses include dopaminergic underactivity in nucleus accumbens with compensatory adrenergic hyperactivity from locus coeruleus, creating a mismatch in stimulation in nucleus accumbens shell and core. Pregabalin, a GABA analogue, binding to presynaptic voltage-gated calcium channels (α2δ subunit), is commonly prescribed for neuropathic pain, partial-onset seizures, and off-label for anxiety, insomnia, and chronic pain. While pregabalin has been reported to alleviate akathisia in some cases, pregabalin-induced akathisia is extremely rare.\nAims: To report a case of akathisia developed with pregabalin and to outline relevant clinical and pharmacological considerations.\nMethods: Case report with focused literature review.\nResults: A 69-year-old elderly female with a moderate depressive episode and psychotic symptoms (somatic delusion of nose being blocked completely despite normal investigations) who developed akathisia with single dose of Pregabalin 75mg. Patient who was already on Escitalopram 7.5 mg was prescribed Pregabalin for neuropathic pain (pain radiating from lower back to knees on both side) as well as co-morbid anxiety symptoms. Following stoppage of Pregabalin, akathisia subsided completely within 24 hours.\nConclusion: This case adds to the limited literature demonstrating that pregabalin can, in rare cases, induce akathisia, emphasizing the importance of routine monitoring for this adverse effect.\nKey words: Akathisia, depression, elderly, movement disorders, pregabalin\n\n\n### Disorientation versus misidentification: A case of delusional misidentification syndrome\nB. Jayachandra, Jayanth Kumar\nKanachur Institute of Medical Sciences, Mangalore, Karnataka, India\nIntroduction: Consciousness refers to awareness of oneself and the surrounding environment, with disturbances ranging from full alertness to coma. Vigilance is the ability to remain alert despite drowsiness, while orientation enables accurate recognition of time, place, and person. Delusional Misidentification Syndromes (DMSs) are rare psychiatric conditions in which individuals persistently misidentify people, places, or events. These syndromes may also involve altered time perception, leading to significant distortions in reality interpretation.\nCase Description: Mr. M., a 57-year-old married farmer from rural Kasargod with primary education, has had schizophrenia for 30 years and inconsistent treatment for 15 years. His history included poor medication compliance, wandering tendencies, four months of reduced sleep, irrelevant speech, beliefs of possessing special powers, and impaired functioning. Physical examination revealed no neurological abnormalities. On mental status examination, he was conscious, cooperative, and well-kempt, with appropriate eye contact. Psychomotor activity and speech were normal, and attention was sustained. He was oriented to person but demonstrated delusional misidentification of place along with persecutory and bizarre delusions. He reported auditory hallucinations of God speaking positively to him. Judgment was impaired, and insight was absent.\nConclusion: Delusional Misidentification Syndromes represent significant disturbances in reality testing, particularly in schizophrenia. Reduplicative paramnesia highlights the extent to which recognition of place and identity can be distorted. When accompanied by altered time perception, these symptoms further disrupt an individual’s connection to reality. Early identification supports accurate diagnosis and targeted intervention.\nKey words: Auditory hallucinations, delusional misidentification, disorientation, reduplicative paramnesia, schizophrenia, time perception\n\n\n### From sore throat to sudden OCD: Unmasking pandas in clinical practice\nJeeta Kumari\nGovernment Medical College, Surat, Gujarat, India\nBackground: Pediatric Autoimmune Neuropsychiatric Disorder Associated with Streptococcal infection (PANDAS) refers to the sudden onset of obsessive-compulsive symptoms and tics after a Group A beta-hemolytic streptococcal (GAS) infection. Swedo et al.¹ first described this association and proposed an autoimmune mechanism. Later studies have supported this view and discussed ongoing uncertainty about its diagnosis.\nCase Description: A 12 year old male developed sudden intrusive thoughts, repetitive rituals, motor tics, and emotional changes after a febrile sore throat. Symptoms worsened episodically with suspected strep exposure. Examination showed motor tics and intermittent choreiform movements. Elevated ASO titres indicated recent GAS infection, while neuroimaging was normal. T clonidine 350ug, T risperidone 7.5mg, Cap Fluoxetine 80 mg, T trinidyl 2mg, T clonazepam 0.5, T clomipramine 25 provided limited improvement. The presentation matched key elements of Swedo’s proposed PANDAS criteria, including abrupt onset, temporal association with infection, an episodic course. Antibiotics along with psychiatric care led to partial improvement, similar to earlier reports.\nDiscussion: This case supports earlier findings that a post-infectious autoimmune response may contribute to sudden neuropsychiatric symptoms in children.¹ Studies have described similar clinical patterns, laboratory findings, and treatment responses.³ This poster is unique because it highlights a clearly documented example of PANDAS an under-recognized condition in psychiatric settings and adds insight from an Indian clinical context where such cases are rarely reported.\nConclusion: Early identification of PANDAS can guide appropriate treatment and may help reduce long-term neuropsychiatric difficulties.\nKey words: PANDAS, pediatric psychiatry, streptococcal infection\n\n\n### When two minds share a delusion: A tragic case of shared psychosis in affluent India\nJesin Suja Sam, Arun George Alex, Sheena Varighese, Joice Geo\nPushpagiri Institute of Medical Sciences, Thiruvalla, Kerala, India\nBackground: Schizophrenia in late life may remain inadequately treated due to social isolation and lack of sustained follow up. Shared psychotic disorder between close family members further complicates recognition and management, increasing the risk of adverse outcomes.\nCase Presentation: A 68-year-old male, 10th passed, widower, presented with poor interaction and suspiciousness for 3 years. Although he received IP psychiatric treatment five months after the onset of symptoms, he remained symptomatic due to poor adherence to treatment and follow-up. His wife also exhibited psychotic symptoms for three years believing that their well water was poisoned and had impaired social interaction, suggestive of a shared psychosis. Both received IP psychiatric care two years prior, which improved their social interactions but still failed in proper follow-up. Now he was brought with drug default of ten months, poor personal hygiene for five months, by neighbours who noticed his absence for three days, forcibly entered his home and found him sitting beside his deceased wife holding a knife. Patient believed wife to be alive and merely resting. He was treated with antipsychotics resulting in improved affect, interaction and self-care. However, even after being informed of his wife’s death, he demonstrated minimal emotional response and expressed delusional beliefs regarding her presence.\nConclusion: This case highlights the consequences of untreated schizophrenia complicated by probable shared psychosis and inadequate social support, even in financially stable families. Early identification, treatment adherence and family involvement are essential to prevent severe psychosocial deterioration.\nKey words: Elderly, nonadherence, schizophrenia, shared psychosis, social isolation\n\n\n### SSRI induced REM sleep behaviour disorder\nJesmin Sobnam, Sumedha Roy1\nInstitute of Psychiatry, IPGME and R and SSKM Hospital, 1Institute of Psychiatry, Kolkata, West Bengal, India\nA 48 years old male patient presented with complaints of disturbed sleep at night. His mother reported that he slept with her and at night he would suddenly start kicking his legs, throwing his hands and legs and would often shout. He often changed postures in sleep and also fell down from bed on few occasions. His mother had often been kicked by him and hurt herself. These events were occurring for last 1 year, and for last 6 months has increased in frequency occurring almost every night. It occurs mostly after around 2-3 hours of falling asleep. On enquiry regarding his medications, he said that he was on Tablet Fluoxetine 20mg for last 1 year as he was having symptoms of anxiety and some repeated thoughts of checking if the door was unlocked.He reports that his symptoms did begin after sometime of starting the medicine. But his anxiety symptoms and checking had greatly improved with the medicine.\nTreatment started with stopping T.Fluoxetine and T.clonazepam (0.5mg) was added at bedtime and the Behavioural therapy was initiated for his anxiety. On follow up after 2 weeks he reported sleeping well and no abnormal acitivites in sleep.The patient’s history is compatible with REM sleep behaviour disorder and as the patient showed improvement after stopping Fluoxetine,it is possibly Serotonin reuptake inhibitors(SSRI) Induced.Thus it suggesting a role of the serotonergic system in the pathogenesis of REM Sleep Behaviour Disorder.\n\n\n### Digital quiet: An observational content analysis of online narratives of child trauma and healing\nJessica Heaven\nUniversity of Leicester, Leicester, UK\nBackground: Childhood trauma impacts emotional, cognitive, and relational development well into adulthood. Online platforms serve as spaces for many to share experiences of trauma and recovery. This study analyses online narratives to identify patterns of emotional expression and coping mechanisms related to childhood trauma.\nMethods: I conducted a qualitative observational content analysis of the top 50 publicly available posts from 2024-5 on the Reddit community r/ChildhoodTrauma. Posts were included if they described personal accounts of child or adolescent trauma and were in English, but excluded if they were identifiable, private, or non-English. Ethical safeguards ensured anonymity. Narratives were coded thematically on DSM-5 post-traumatic stress disorder criteria: exposure, intrusion, avoidance, negative cognition/mood, hyperarousal/reactivity, chronicity, and functional impact.\nResults: Analysis revealed pervasive exposure to abuse, over 95% of posts described direct trauma exposure and chronic repeated abuse. Commonly reported themes included negative self-belief (over 80%), intrusive memories or flashbacks (over 70%), and persistent shame, guilt, or fear (over 70%). Despite this, over 50% of posts showed positive narratives, illustrating coping strategies, post-traumatic growth, and insight through inner work and relational healing. Sensory triggers, parental gaslighting, and societal factors amplified trauma, while acknowledgement, reparenting, and supportive communities facilitated recovery.\nConclusions: Online trauma narratives provide valuable insight into the lived experience of childhood trauma, illustrating psychological impact and resilience. Patterns aligned with DSM-5 trauma criteria. This highlights the value of trauma-informed care and fostering online and offline spaces for validation, emotional processing, and healing, and reaffirms the clinical value of digital expressions of trauma.\n\n\n### Role of epics in personality disorders\nJishnu Bhattacharya\nBirbhum Medical College, Birbhum, West Bengal, India\nEpics play a crucial role in understanding personality disorders by offering symbolic narratives of human conflict, moral dilemmas, trauma, and transformation. Characters in the Mahabharata, Ramayana, Iliad Odissi and other epics illustrate patterns resembling modern psychiatric concepts such as impulsivity, rigidity, narcissism, and dissociation providing culturally grounded frameworks for clinical reflection. These narratives help clinicians contextualize maladaptive behaviours, enhance patient engagement, and support psychoeducation through familiar cultural metaphors. Integrating epic literature with psychiatric understanding enriches therapeutic dialogue and offers deeper insight into personality development, resilience, and pathology within an Indian sociocultural context.\n\n\n### Prevalence and correlates of depression and quality of life in women with urinary incontinence – A cross-sectional observational study from a tertiary care centre of North India\nJyoti Gupta, Tanu Priya1, Sushruti Kaushal\nAll India Institute of Medical Sciences, Bilaspur, 1Dr Rajendra Prasad Government Medical College, Tanda, Himachal Pradesh, India\nBackground: Any involuntary leakage of urine is called urinary incontinence (UI). It is of three types- stress, urge, and a mixture of stress and urge incontinence (mixed). The deleterious consequences include major depression, diminished quality of life, sexual dysfunction and familial discord.\nAim: This study aimed to estimate the prevalence of depression and determine its inter-relationship with quality of life (QoL) in women with UI.\nMethods: This cross-sectional study was conducted in the Obstetrics and Gynaecology OPD at a tertiary care centre. After informed consent 35 adult women presenting with UI were recruited for the study. They were assessed on Questionnaire for Urinary Incontinence Diagnosis (QUID), Hindi versions of Patient Health Questionnaire-9 (PHQ-9) and World Health Organisation Quality of Life - Brief Version (WHOQOL-BREF). Data was reported as mean and standard deviation and percentages. Correlation analysis was done by using Pearson’s correlation coefficient and Spearman’s correlation coefficient. All statistical analysis was done using the Statistical Package for Social Sciences (SPSS) (Version 26).\nResults: Most of the women 19 (54.3%) had mixed type of UI. About 20% (7) had moderate and moderately severe depression. A significant negative correlation was found between UI and psychological and physical domains and total QoL score. PHQ-9 score correlated negatively with all the domains of WHOQoL-Bref, health satisfaction and overall rating of QoL.\nConclusion: The study demonstrates a considerable burden of depression and impaired quality of life among women with UI. Routine screening for psychological distress of UI and depression is recommended.\n\n\n### Facing contemporary mental health challenges with ancient scientific wisdom – An integrative approach for modern psychiatric practice\nJyoti Kapoor\nManasthali - Mental Health and Wellness Services, Gurugram, Haryana, India\nIndia’s contemporary mental-health landscape is shaped by rapid socio-digital transitions, rising stress burdens, and widespread emotional dysregulation conditions that often exceed the scope of conventional biomedical management alone. At the same time, India is home to a rich heritage of scientific and philosophical wisdom embedded in Ayurveda, Yoga, contemplative practices, and mind-body healing traditions. This symposium brings these streams together, presenting an evidence-based integrative framework that strengthens psychiatric practice while remaining culturally grounded and clinically pragmatic.\nDrawing upon meta-analyses, RCTs, and systematic reviews published between 2015 and 2025, we evaluate the efficacy, safety, accessibility, and implementation potential of key integrative modalities. Strong evidence supports yoga for depression (SMD=0.37-0.73) and anxiety; mindfulness-based cognitive therapy for relapse prevention (RR=0.69); omega-3 EPA for major depressive disorder (SMD=0.61); structured exercise with antidepressant-comparable effect sizes; and music therapy for depression (SMD=-0.66). Moderate but promising evidence exists for Ashwagandha (stress/anxiety), acupuncture, and lavender aromatherapy. Ayurvedic formulations show emerging potential, warranting more rigorous trials. Chromotherapy remains scientifically unsupported.\nCost analyses suggest high feasibility within Indian settings: yoga and exercise remain low-cost interventions, nutritional supplementation is moderately priced, and digital mindfulness tools offer accessible self-care pathways. Safety profiles across modalities demonstrate minimal adverse effects.\nBy integrating ancient Indian knowledge systems with contemporary neuroscience and psychiatric evidence, this symposium outlines a unified model for enhancing resilience, emotional regulation, and clinical outcomes. India is uniquely positioned to lead the global movement toward culturally aligned, evidence-based integrative psychiatry.\nKey words: Ayurveda, India, integrative psychiatry, mindfulness, nutritional psychiatry, yoga therapy\n\n\n### Management of Ekbom Syndrome with opipramol and behaviour therapy – A case report\nJyotik Tarak Bhachech\nSafalya Mind and Body Clinic, Ahmedabad, Gujarat, India\nEkbom syndrome, also known as delusional parasitosis, is a challenging psychiatric condition classified as a monosymptomatic somatic type of delusional disorder in the DSM-5.[1] It is characterized by a fixed, false belief of being infested by insects or microorganisms, despite contradictory medical evidence.[11] The condition has a reported prevalence of 3% to 7% in primary care settings and is often undiagnosed or misdiagnosed.[2,7] We present the case of a 48-year-old female with a two-year history of delusional parasitosis, manifesting as sensations of insects crawling and biting beneath her skin, accompanied by mood disturbance and tactile hallucinations.[11] Extensive medical and neurological workup, including laboratory tests and a brain MRI, was normal, ruling out secondary causes.[10] Initial treatment involved psychoeducation, Opipramol, and Etizolam. After gradually titrating Opipramol to 50mg three times a day and discontinuing the benzodiazepine, the patient reported a marked improvement in her somatic delusion and developed good insight. Her Brown Assessment of Belief Scale (BABS) score dropped from 19/24 to 8/24.[4] This case illustrates the effectiveness of Opipramol, a thymoleptic agent with high sigma receptor affinity, combined with supportive behaviour therapy (psychoeducation), in achieving remission and restoring insight in a case of Ekbom syndrome.[5,9]\n\n\n### Misleading and challenging case of childhood depression with severe psychosocial contributors presenting as a psychotic illness\nJyotika, Bhupendra Yadav\nAIIMS, Bilaspur, Himachal Pradesh, India\nCase of a 15-year-old boy presenting with mutism, pica, and autistic-like behaviours which was preceded by exposure to severe bullying with extreme social and familial humiliation both physically and verbally. The patient exhibited school refusal, food refusal, poor self-care, aggression, and emotional withdrawal. Upon detailed psychiatric evaluation, psychosocial assessment, IQ assessment and neurological testing led to a diagnosis of Childhood Depression. Treatment was started with fluoxetine, olanzapine, and adjunctive sessions of intravenous ketamine yielded significant improvement in communication and affect. The psychosocial factors were addressed through counselling, individual and family therapy sessions. However after few days of discharge, the patient had to be readmitted due to relapse with similar symptoms with deliberate self harm and severe aggression after multiple critical comments from his family members especially mother; which the family members felt were said in a playful manner. Family members were unable to understand the gravitas of the situation and rationale for symptoms of the patient. Pharmacological treatment was continued with dosage adjustments with more focus given on extensive individual and family therapy sessions. This case highlights the complex psychosocial contributors to depressive presentations in children and highlights the importance of early recognition and multimodal treatment in culturally sensitive contexts.\n\n\n### Middle aged type 2 diabetes mellitus and subtle cognitive changes\nK. H. Rajesh, M. Anupama\nJJM Medical College, Davangere, Karnataka, India\nBackground: Diabetes currently affects 352 million people worldwide, with projections of 486 million by 2045. The global incidence rate was 10.5% in 2021, with 8.8% in Southeast Asia and 9.6% in India, and rates are expected to rise. Beyond vascular complications, diabetes can also impair cognitive functions, particularly influenced by blood pressure. The study focuses on middle-aged Indians (44-59 years) and aims to explore how their diverse lifestyles and health perceptions impact cognitive outcomes for targeted management.\nMethodology: This prospective cross-sectional study (Aug-Oct 2025) recruits middle-aged (44-59 years) type 2 diabetes patients without hypertension from non-psychiatric OPDs at J.J.M Medical College hospitals, Davangere, using convenient sampling. English and Kannada speakers of both genders are included; exclusions cover non-consenters, complications, or psychiatric/neurodegenerative conditions.\nResults: Among 50 adults with type 2 diabetes, most were women, from rural, lower socio economic, nuclear families, with high rates of family history of diabetes. Glycaemic control improved from predominantly high initial RBS to normal current levels. Global cognition on HMSE is largely intact, but detailed testing reveals subtle deficits. Verbal and visual memory scores show mild reductions in long ‘term retention, and prolonged Digit Vigilance and high Stroop effect scores indicate slowed processing speed and executive inefficiency in a subset.\nConclusions: Type 2 diabetes in this mid ‘life, predominantly rural, low socio ‘economic cohort shows good short ‘term glycaemic control with largely preserved global cognition but subtle domain ‘specific inefficiencies, underscoring the need for routine cognitive screening and longitudinal evaluation in diabetic care.\n\n\n### Damsels in distress: Substance use disorder in women – A case series\nKalindi Kamble, Parijat Roy, Shilpa Adarkar\nDepartment of Psychiatry, Seth G S Medical College and K E M Hospital, Mumbai, Maharashtra, India\nIntroduction: Millions of Women worldwide struggle with Substance Use Disorder (SUD). Almost three quarters of women with SUD struggle with alcohol use. Cannabis followed by Opioids are the most commonly used drugs among women. Women typically begin substance use later than men, however their rates of consumption increase more rapidly than men, a phenomenon known as telescoping. Use of substances as coping strategies to face mental health issues is more common in women. Owing to differences in first pass metabolism and other physiological factors, the medical complications are often more severe in women than men. Childhood adversities, poverty, homeless status, social exclusion, partner substance use, intimate partner violence and mental illness are some of the common risk factors. Unfortunately, there exists a huge treatment gap and women face many barriers in accessing treatment than their male counterpart, with some studies claiming over 90% of women having SUD do not receive adequate treatment.\nCases: The first case is of Alcohol Dependence in a 25y old Girl, highlighting the importance of Genetics in development of SUD.\nThe second case is of Sedative Hypnotic Dependence in a 35y old Woman, facing intimate partner violence.\nThe final case in our series is of a 27y old Girl, having injectable Opioid Dependence, with a history of multiple childhood adversities.\nDiscussion: In the above cases, we have tried looking at various risk factors which ultimately culminated in the development of SUD, with a focus on various treatment modalities that were used.\n\n\n### From chaos to conflict: The metamorphosis from psychosis to neurosis\nKamna Dadheech, U. Shrinivasa Bhat\nKS Hegde Medical Academy, Ullal, Karnataka, India\nBackground: Chronic psychiatric symptoms in older adults may mask an underlying neurodegenerative process. Several neurodegenerative disorders, including Corticobasal Degeneration (CBD) and Creutzfeldt-Jakob Disease (CJD), can initially present with behavioural disturbances, atypical psychosis, or mood changes before overt neurological signs emerge. CJD, although rare, is known for rapidly progressive cognitive decline, myoclonus, behavioural disinhibition, and subtle early psychiatric features that often delay diagnosis. Differentiating primary psychiatric illness from evolving organic brain syndromes is crucial for timely and appropriate management. This case highlights the gradual evolution from long-standing psychotic features to a dementia-plus syndrome, likely CBD, underscoring the complex overlap between psychiatric and neurological presentations.\nCase Presentation: Mrs. G, a 56-year-old homemaker with psychosis Not Otherwise Specified for 8-9 years, initially exhibited suspiciousness, muttering, agitation, and disinhibited behaviour, managed with antipsychotics. After five years, she developed tremors, rigidity, bradykinesia, speech difficulty, and postural instability, diagnosed as Parkinson-plus syndrome. This was followed by seizures and progressive cognitive decline, with increasing dependence. Medication changes (clozapine withdrawal, escalation of trihexyphenidyl) precipitated unresponsiveness and status epilepticus. MRI showed changes suggestive of cerebritis/meningitis, and PET findings indicated CBD. Cerebrospinal Fluid studies were non-conclusive. She was treated with antiepileptics, intravenous steroids, and supportive care, improving from hypoactive delirium.\nDiscussion: This case illustrates the continuum from psychiatric symptoms to neurodegeneration. Early psychosis may obscure emerging CBD or mimic presentations seen in CJD.\nConclusion: Progressive behavioural, motor, and cognitive changes in chronic psychosis warrant evaluation for neurodegenerative disorders. Multidisciplinary assessment is key for timely diagnosis and supportive care.\n\n\n### Unmasking a decade-long behavioral addiction in a patient with persistent depressive symptoms and alcohol dependence: A case report\nKankana Kaveri Pathak, Soumitra Ghosh\nAssam Medical College, Dibrugarh, Assam, India\nBackground: Comorbid behavioral addictions often remain unrecognized in patients with depressive symptoms and alcohol dependence, frequently leading to poor treatment response.\nCase Description: A 45-year-old male was brought to the Psychiatry OPD by his wife with complaints of persistent low mood, loss of energy, disturbed sleep, and continued alcohol use despite multiple visits to psychiatrists. The patient remained guarded about his emotional state and spent most of his time in bed. Treatment with escitalopram 10mg initially, then followed by amitriptyline up to 20mg, yielded no significant improvement. Additionally, he frequently required management of alcohol withdrawal during follow-ups, as he continued to consume alcohol regularly. After more than a year of inadequate clinical response, additional information emerged when his wife revealed a longstanding gambling habit spanning a decade. The patient used to sell household items; once he had sold valuables worth nearly ‚¹1 lakh and also stolen cheques to fund gambling. This previously undisclosed behavioral addiction provided a significant explanation for his persistent symptoms and treatment resistance.\nManagement and Outcome: Following this revelation, the patient was started on fluoxetine 20 mg and non-pharmacological intervention in the form of motivational enhancement therapy was initiated. Over the next two months, he demonstrated noticeable improvement in mood, motivation, and overall functioning, with better control over both alcohol use and gambling urges.\nConclusion: Substance use disorders and gambling disorders exhibit substantial overlap. Also, the associated stigma, along with a lack of initial screening for gambling when encountering a case of depression, can significantly prolong its.\n\n\n### Use of extended-release gabapentin for craving and associated symptoms in alcohol dependence with chronic liver disease: A case series\nKartik Chaudhary, Sudipta Kumar Das, Udit Kumar Panda, Shikha Adil\nKalinga Institute of Medical Sciences, Bhubaneswar, Odisha, India\nBackground: Withdrawal and craving management in Alcohol Dependence Syndrome (ADS) with chronic liver disease (CLD) is challenging. Gabapentin, which is excreted via renal route without hepatic involvement, has demonstrated efficacy in reducing craving and withdrawal symptoms in ADS. Evidence is limited for it’s use in comorbid ADS and CLD.\nAims: To evaluate clinical outcomes and safety of extended-release gabapentin in patients with ADS and compensated CLD.\nMethods: Prospective case series of 12 patients with ADS and compensated CLD (Child-Pugh A) (mean age 48.3±7.2 years; all males) who were prescribed Gabapentin ER. The dose was titrated to 600-1200 mg/day based on response and tolerability. Assessments at baseline and 8 weeks included drinking patterns, sleep quality, neuropathic symptoms, liver function, VASC and HAM-A scores.\nResults: All 12 patients completed 8-week follow-up. Three patients (25%) achieved abstinence; nine (75%) demonstrated >70% reduction in average number of standard drinks. Mean VASC decreased from 7.8±1.4 to 3.2±1.8. Five patients (42%) reported anxiety improvement; six (50%) had better sleep quality. Among three patients with baseline neuropathy, two (67%) experienced subjective symptom relief. Benzodiazepine co-prescription (n=5) was tapered successfully in four patients. No hepatic decompensation occurred and liver parameters remained stable. Side effects included mild dizziness (25%) and daytime somnolence (17%).\nConclusion: Gabapentin ER showed hepatic safety and moderate improvements in craving and drinking outcomes in ADS with compensated CLD. The once-daily formulation may enhance adherence as compared to immediate-release preparations. With baclofen and acamprosate showing limited efficacy, gabapentin’s renal metabolism supports further investigation as therapeutic alternative.\n\n\n### Nutritional biomarkers and dietary influences in adult depression: Focus on vitamin B12 and folate\nKashish Singhal, Shubham Fojdar1\nSankalp De-Addiction Treatment Centre, Hyderabad, Telangana, 1ESIC Hospital, Alwar, Rajasthan, India\nIntroduction: Depression is a widespread mental health disorder impacting over 280 million individuals globally. It is characterized by persistent feelings of sadness, loss of interest, fatigue, and impaired cognitive function. While its etiology includes genetic, psychological, and social factors, increasing attention is being given to the role of nutritional deficiencies in the onset and progression of depressive symptoms.\nRole of Vitamin B12 and Folate: Vitamin B12 and folate are essential micronutrients involved in neurological and psychological health. They play critical roles in neurotransmitter synthesis, DNA methylation, and homocysteine metabolism. Deficiencies in these nutrients are associated with neuropsychiatric manifestations such as irritability, cognitive decline, and depressive episodes.\nDietary Patterns and Mental Health: Beyond individual nutrients, overall dietary patterns significantly influence mental well-being. Diets rich in whole grains, fruits, vegetables, and omega-3 fatty acids are correlated with improved mood and lower depression risk. In contrast, processed foods, high sugar intake, and saturated fats are linked to poor mental health outcomes.\nPublic Health Implications: In regions affected by under nutrition and restricted dietary diversity, addressing nutritional deficits may serve as a preventive and therapeutic component in depression management. Nutritional screening, dietary education, and integration into mental health programs can enhance holistic psychiatric care.\nKey words: Depression, dietary patterns, folate, mental health, Vitamin B12\n\n\n### The pink pill crisis: Acute EPS after pimozide overdose and death\nKaushik Patil, Vinayak Koparde\nJNMC Medical College, Belgaum, Karnataka, India\nIntroduction: Extrapyramidal symptoms (EPS) are drug-induced movement disorders most commonly associated with dopamine-blocking agents, particularly first-generation antipsychotics. Pimozide, a high-potency diphenylbutylpiperidine antipsychotic used primarily for Tourette’s syndrome and occasionally as an augmenting agent in treatment-resistant OCD, has significant D2 receptor affinity and a long elimination half-life, increasing the risk of EPS especially in overdose. Early differentiation between EPS and neuroleptic malignant syndrome (NMS) is essential for appropriate management.\nCase Report: A 33-year-old female with Depressive Disorder and new-onset OCD presented with rigidity of the wrists and elbows, minimal speech output, staring look, reduced oral intake, and marked psychomotor slowing. Initial evaluation suggested catatonia. Laboratory investigations were largely normal except for serum ammonia (133 mg/dL) and CPK (523 U/L). On further history, the patient reported consuming 20-30 tablets of pimozide four days earlier due to frustration with poor symptom improvement. Following admission, rigidity worsened with tremors and ankle clonus; mild fever (100°F) raised suspicion of NMS. However, absence of autonomic instability, moderate CPK elevation, and rapid clinical improvement suggested severe acute drug-induced parkinsonism rather than NMS. The patient was managed with intravenous fluids, supportive measures, and withdrawal of all psychotropics. Despite escalation of care and transfer to the intensive care unit, her neurological status deteriorated, and she developed complications consistent with severe dopaminergic blockade and systemic decompensation. She subsequently passed away during the course of inpatient care.\nDiscussion and Conclusion: This case highlights pimozide’s prolonged half-life and potential for persistent, life-threatening EPS following overdose. Emphasis on cautious antipsychotic augmentation, comprehensive patient education\n\n\n### Low frequency rtms as an augmenting treatment for persistent auditory hallucinations: A three case series\nKavin Guleria, A. K. Pandey\nInstitute of Medical Sciences, Banaras Hindu University, Varanasi, Uttar Pradesh, India\nBackground: Auditory hallucinations are a common and disabling symptom in schizophrenia spectrum disorders. A substantial proportion of patients continue to experience hallucinations despite adequate antipsychotic pharmacotherapy. Repetitive transcranial magnetic stimulation (rTMS) has emerged as a potential non ‘invasive neuromodulation intervention for treatment ‘resistant hallucinations that may be used as an adjunctive strategy alongside conventional medications.\nAim: This case series aimed to evaluate the effect of low ‘frequency rTMS as an augmenting treatment in three adult patients with schizophrenia spectrum disorders who had persistent auditory hallucinations despite adequate antipsychotic therapy.\nMethods: Three patients with persistent auditory hallucinations (one with schizoaffective disorder and two with schizophrenia) on adequate antipsychotic treatment were treated with adjunctive low ‘frequency rTMS . Each patient received 10 daily sessions of 1 Hz,900 pulses per day for approximately 15 minutes on left temporoparietal region. Auditory hallucinations were assessed using the Psychotic Symptom Rating Scales (PSYRATS-AH) auditory hallucination subscale before and after treatment.\nResults: All three patients had significant reductions in PSYRATS-AH scores following rTMS. Case 1 (33 ‘year ‘old female) showed a reduction from 55 to 36 (34.5% improvement). Case 2 (36 ‘year ‘old male) showed a reduction from 67 to 49 (26.9% improvement). Case 3 (20 ‘year ‘old female) showed the greatest reduction.\nConclusion: Low ‘frequency rTMS can be an effective adjunctive treatment for persistent auditory hallucinations in schizophrenia spectrum disorders resistant to pharmacotherapy. The consistent reduction in symptom severity across all three patients supports the need for larger controlled trials to establish optimal rTMS parameters and identify predictors for treatment response.\n\n\n### Inhalant abuse with vicks vaporub in adolescent with conduct disorder: A case report\nKavin Guleria, Mona Srivastava\nInstitute of Medical Sciences, Banaras Hindu University, Varanasi, Uttar Pradesh, India\nBackground: Inhalant use disorders in adolescents are often under-recognized, with topical agents such as Vicks VapoRub rarely reported as substances of misuse. Co-occurrence with conduct disorder can worsen clinical outcomes.\nCase Presentation: A 17-year-old male with a four-year history of aggression, lying, stealing, fire-setting, and cruelty towards animals presented with six months of daily Vicks VapoRub inhalation. He placed the ointment in a polythene bag and inhaled it for 20-30 minutes, two to three times per day, leading to light-headedness and behavioral deterioration. The patient met criteria for conduct disorder with inhalant use disorder . Examination revealed irritability, impaired judgment, and pre contemplation stage of motivation . No medical comorbidities were identified.\nManagement: A multimodal approach was undertaken, including pharmacotherapy with endoxifen, aripiprazole, propranolol, and clonazepam (tapered). Psychoeducation focused on identifying maladaptive behaviors, risk awareness, and developing alternatives to substance use. Family counseling emphasized communication improvement and environmental control. At two-week follow-up, aggression had reduced and abstinence from Vicks inhalation was reported.\nConclusion: This case highlights a rare presentation of Vicks VapoRub inhalant abuse in an adolescent with conduct disorder. Readily available topical preparations may be overlooked for their abuse potential. Early identification, comprehensive assessment, and integrated pharmacological and psychosocial interventions are essential to prevent chronic complications associated with inhalant misuse. Clinicians should remain vigilant for unconventional inhalants in adolescents presenting with behavioral disturbances.\n\n\n### Psychosis in a patient with tuberous sclerosis complex: A case report\nK. Keerthana, G. Anuhya Guyton\nGHMC, Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Tuberous sclerosis complex (TSC) is a rare multisystemic genetic disorder, It usually affects the central nervous system and presents with a multitude of symptoms such as seizures, skin abnormalities, behavioral problems. Psychosis has been rarely reported in patients with TSC.\nAim: This case report aims to describe the psychiatric presentation of a patient with TSC, outline the diagnostic process, and emphasize the importance of recognizing the psychiatric presentation to ensure timely evaluation and management.\nMethods: A case of 39 Yr old female with TSC came with the complaints of talking to self, laughing to self, anger outburst, physically and verbally abusive, decreased sleep and decreased appetite for the past 1 month and history of seizures present since 16 years of age and on the physical examination she was found to have ash-leaf spots, adenoma sebaceum, shagreen patches, periungual fibroma and MSE revealed delusion of persecution, delusion of reference with insight 0/5. Family history significantly showing similar complaints in her sister suggesting genetic predisposition. CT brain showing cortical tubers.\nResults: A provisional diagnosis of secondary psychotic syndrome due to Tuberous sclerosis complex (6E61) was made using ICD-11 and the patient was managed with T.Haloperidol 30mg, T.Quetiapine 50mg, T. Trihexyphenidyl 2mg,T.Phenytoin 300mg, T.Sodium valproate 1000mg, T.Clobazam 10mg, Along with the psychotherapy and Over a 2-week inpatient period, a significant improvement in symptoms.\nConclusion: This case highlights the psychiatric presentation in Tuberous sclerosis. Psychiatric intervention and collaborative management with neurology are crucial for favorable outcomes.\n\n\n### A hidden case of Phelan McDermid syndrome\nKhaleel Mohammed, N. Prasanna Kumar1, R. Krishna Naik2\nAndhra Medical College, Departments of 1Child and Adolescent Psychiatry, 2Psychiatry, Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Phelan McDermid Syndrome is a rare genetic disorder caused by a heterozygous contiguous gene deletion of chromosome 22q13 or by mutation in the SHANK3 gene. It’s a developmental disorder with common features including neonatal hypotonia, global developmental delay, normal to accelerated growth, absent to severely delayed speech, autistic behaviour and minor dysmorphic features.\nCase Summary: A 14 year old adolescent, male, born out of non-consanguineous marriage, 1st in birth order, term delivery by LSCS, cried at birth, with fracture of right humerus, presented with unable to sit in one place, running around, crying, irritability, loss of voluntary micturition since 4 years, shouting and hitting the mother since 1 month. The patient’s all the milestones were delayed. In the past the patient had high grade, continuous fever after which the milestones have regressed. The patient has SNHL in the right ear. A provincial diagnosis of ASD+ADHD+IDD was given.\nFurther investigations such as a whole exon sequencing revealed mutation in SHANK3 gene, confirming Phelan McDermid Syndrome and a 2D-ECHO revealed 4mm PDA.\nManagement: It included pharmacological and psychological interventions such as speech therapy, special education, occupational therapy.\nConclusion: This highlights the significance of integrating genetic, developmental, and behavioral assessments in children with global developmental delays and atypical social communication.\n\n\n### A study assessing the correlation of mode of suicidal attempt with severity of depression\nKhushboo Sahni, Fiona Mahapatro\nDY Patil School of Medicine, Navi Mumbai, Maharashtra, India\nBackground: Suicide is a major global public health issue, with over 700,000 deaths annually. Suicide accounts for about 1.1-1.3% of all deaths worldwide. Major depressive disorder is one of the strongest predictors of suicidal behavior. Worldwide, there are an estimated 20 suicide attempts for every 1 death in suicide. The mode of suicide attempt reflects intent and underlying symptom severity. Studies show that severe depression is associated with more lethal, planned methods, whereas milder forms relate to impulsive, less fatal attempts. Understanding how depression severity correlates with suicide attempt methods can improve risk assessment and intervention.\nMethodology: Patients of self harm were referred for psychiatric evaluation over 2 months were assessed, 14 patients were interviewed. Detailed clinical psychiatric evaluation including mental status examination, and diagnosis (if any) was made as per DSM 5.\nResults: Interesting findings emerged. We found that out of 14 patients, 50% (maximum) attempted poisoning (phenol-57%, dettol-14.2%, ratol- 14.2%, permethrin- 14.2%), 21.4% had overdose of medications, 14.2% had hesitation cuts, 7.14 % attempted hanging and 7.14% had self inflicted cuts.\nConclusion: Patients with severe depressive symptoms were associated with serious attempts as compared to patients with milder symptoms. This understanding can improve risk evaluation, guide clinical decision making and prioritize safety measures for people showing signs of depression and suicidability, ultimately saving lives.\nKey words: Depression, method, suicidal attempt\n\n\n### Dyke-Davidoff-Masson syndrome: A rare neurodevelopmental disorder with psychiatric manifestations\nK. M. Sarita\nGandhi Medical College, Bhopal, Madhya Pradesh, India\nBackground: Dyke-Davidoff-Masson Syndrome (DDMS) causes unilateral cerebral hemiatrophy from early brain insults like infantile encephalitis, resulting in hemiparesis, spasticity, seizures, and neurodevelopmental challenges. In India, delayed diagnosis and limited rehabilitation perpetuate lifelong disability, shackling societal integration. This case demonstrates effective spasticity management in an adolescent with DDMS, aligning with ANCIPS 2026’s theme of unshackling psychiatry through multidisciplinary care.\nAim: To report clinical, radiological, and functional outcomes following targeted rehabilitation in an 18-year-old female with left hemiplegic cerebral palsy due to right-sided DDMS.\nMethods: An 18-year-old female presented with 17-year history of left upper/lower limb weakness and tightness following fever/jerky movements at 11 months. Assessment used Modified Ashworth Scale (MAS) for spasticity and MRC grading for power. MRI (Mar 2023) confirmed right hemicerebral atrophy with gliencephalomalacia and Wallerian degeneration. Interventions at GMC Bhopal ward included Botulinum toxin A (100U in left FCU/FDS/FCR), Baclofen 20mg BD, NMES, stretching exercises, and resting hand splint.\nResults: Pre-treatment: MAS 2-3 (left elbow/wrist flexors); left wrist/finger power 5 poor. Post-intervention: MAS improved (elbow flexor 3†’2, finger flexor 3†’1); wrist extension power fair. Facial asymmetry and abnormal gait persisted but stabilized. No seizures; normal labs (TSH 2.17 µIU/mL, Hb 11.2g/dL). Discharged on Baclofen 10mg TDS with home exercises.\nConclusion: Botulinum toxin and rehabilitation significantly reduce spasticity and enhance function in adolescent DDMS. Integrating neuroimaging and PMR into child psychiatry protocols can liberate neurodevelopmental potential, supporting scalable community models.\n\n\n### The postpartum puzzle: A case of simple antiemetic mimicking psychiatric illness\nKranti Sonawane, Ajita Nayak, Karishma Rupani\nSeth GS Medical College and KEM Hospital, Mumbai, Maharashtra, India\nBackground: Metoclopramide, a dopamine-blocking agent, widely used as an antiemetic, can cause extrapyramidal symptoms (EPS). In postpartum settings, EPS may resemble psychiatric illness, leading to misdiagnosis and iatrogenic harm. This consultation-liaison psychiatry (CLP) case highlights the need for careful medication review and objective assessment.\nCase: A 22-year-old woman, 20 days after an emergency caesarean section at 33 weeks, presented with restlessness, unease, tremors, sleep disturbance, psychomotor slowing, was referred from Obstetrics department to rule out depression. She had received metoclopramide for two weeks for nausea and lactation support. There was no psychiatric/neurological history. Examination revealed rigidity, tremor, reduced arm swing, reduced psychomotor activity, slurred speech and blunted affect without disorientation, depressive cognitions or psychosis. Laboratory evaluations were unremarkable. The Modified Simpson-Angus Scale score was 12, indicating severe EPS.\nManagement and Outcome: Metoclopramide was discontinued. She was treated with intramuscular promethazine and oral trihexyphenidyl, with marked improvement within 48 hours. Anticholinergic therapy was tapered and stopped over one week, with sustained recovery.\nDiscussion: Recent global and Indian studies link metoclopramide to rare but significant EPS. Its routine use as an antiemetic and occasional use as a lactation-inducing agent places postpartum women at heightened risk. Such non-psychotropic medications induced EPS mimic postpartum mood and anxiety symptoms, leading to inappropriate psychiatric labelling and preventable morbidity.\nConclusion: Awareness, medication review, focused neurological examination and structured scales in CLP enables reducing misdiagnosis and focusing on art of deprescribing rather than undue use of psychotropics.\n\n\n### Childhood onset schizophrenia\nAmin Krishna Rajeshkumar, Rakesh Gandhi1\nMedical College Baroda, 1Department of Psychiatry, Medical College Baroda and SSG Hospital, Vadodara, Gujarat, India\nBackground: Childhood-onset schizophrenia (COS) is rare and characterized by onset of psychotic symptoms before the age of 13 years. It presents with hallucinations, delusions, disorganized thinking, social withdrawal, cognitive decline, and significant impairment in academic and social functioning. Erotomanic or jealous delusions are even rarer before adulthood. Their occurrence raises diagnostic and developmental considerations.\nCase: A 12-year-old girl presented with an 8-month history of persistent belief that her male school teacher was in love with her, coupled with jealousy toward female classmates whom she believed were trying to win his affection which lead to frequent fights with female classmates. She also experienced running commentary auditory hallucinations describing her daily actions such as combing her hair or applying skin cream. Behavioural changes included increased grooming and heightened attraction toward the opposite gender. There was no substance use or mood disturbance. Investigations were unremarkable. A diagnosis of early-onset schizophrenia (DSM-5) was made. She was started on tablet risperidone and its dose was increased on follow up, alongside family psychoeducation. The patient showed partial improvement in her symptoms.\nConclusion: This case highlights erotomanic and jealous delusions in childhood-onset schizophrenia and emphasizes the need for sensitive assessment of psychotic content involving emerging sexuality in adolescents.\n\n\n### Association of the levels of Vitamin D and Vitamin B12 in cases of major depressive disorder with and without stressor\nKrishna Kumar Carpenter, Ankur Nayan\nVKSGMC, Neemuch, Madhya Pradesh, India\nBackground: Vitamin D and Vitamin B12 deficiency have been implicated in the etiology of Major Depressive Disorder (MDD). However, studies have explored whether these deficiencies differ between individuals with depression precipitated by external stressors versus those without identifiable stressors.\nAims: To assess the association between the serum levels of Vitamin D and Vitamin B12 in the patients diagnosed with Major Depressive Disorder; with and without precipitating stressors.\nMethods: A cross-sectional study was conducted at a tertiary health care centre in Neemuch (M.P.) which included 100 MDD patients without any stressor and 100 MDD patients with a stressor. The stressors were quantified using the Presumptive Stressful Life Events Scale (PSLES). Patients were subjected to the serum analysis of both vitamins and were categorized as sufficient/insufficient/deficient. Statistical analysis was done using Chi-square tests and odds ratio.\nResults: Vitamin D levels were significantly associated with stressor status among MDD patients (p =.005); patients without stressors showing higher odds of vitamin deficiency (OR =2.61). Vitamin B12 levels also showed a significant association with stressor status (p =.041); patients without stressors having higher odds of vitamin deficiency (OR =1.91).\nConclusion: Both vitamin deficiencies are significantly associated with non-stressor presentation, suggesting possible biological contribution to depression; independent of external life events. Further there is a need of thorough analysis of these vitamin levels and thereafter supplementation as a part of management of MDD cases.\n\n\n### Clonidine dependence in psychiatric practice: A rare case report\nKrishna Kumar Carpenter, Ankur Nayan\nVKSGMC, Neemuch, Madhya Pradesh, India\nBackground: Clonidine, an alpha-2 adrenergic agonist, is widely used for hypertension, anxiety disorders, and withdrawal states due to its sympatholytic effects. It is generally considered to have low abuse potential. However, prolonged and unsupervised use may rarely lead to dependence and withdrawal symptoms. Literature on clonidine dependence is limited in psychiatric practice.\nAims: To evaluate a rare case of clonidine dependence and highlight its successful management.\nMethods: A 45-year-old male presented at a tertiary health care centre in Neemuch, Madhya Pradesh, with a history of self-medication with clonidine 0.1 mg tablets, consuming up to 30 tablets/day. Following detailed psychiatric evaluation, a provisional diagnosis of clonidine dependence was made. Patient was given psychoeducation and a supervised detoxification plan was initiated. Clonidine was gradually tapered by reducing the dose by 5 tablets/week to minimize withdrawal symptoms. Concurrently, tablet lorazepam was started at 6 mg/day to manage the withdrawal phase. After successful clonidine discontinuation, lorazepam was gradually tapered at a rate of 1 mg/week. The patient was closely monitored throughout the tapering process for withdrawal symptoms, adverse effects, and clinical stability.\nResults: Lorazepam effectively managed transient anxiety state during the withdrawal phase. Both medications were successfully discontinued. On follow-up, the patient remained asymptomatic, maintained good psychosocial functioning, and did not require any ongoing pharmacological treatment.\nConclusion: Clonidine dependence, though uncommon, but can occur with prolonged use. Gradual tapering with benzodiazepine support is an effective and safe management approach. Clinicians should remain vigilant while prescribing clonidine and ensure regular monitoring to prevent dependence.\n\n\n### Star-crossed or misdiagnosed? Unraveling the interplay of personality traits and psychosis, dissociation in a case of celebrity erotomania\nKriti Choudhary, Suresh Gupta, Brijrani Singh\nSawai Man Singh Medical College and Attached Group of Hospitals, Jaipur, Rajasthan, India\nBackground: Mixed personality disorder is a chronic and pervasive condition in which an individual exhibits clinically significant traits of multiple personality disorder clusters without meeting full criteria for any single personality disorder. When accompanied by dissociative features, the clinical picture becomes more complex and diagnostically challenging. Dissociative symptoms such as depersonalization, derealization, dissociative amnesia, and identity disturbances often emerge in the context of early life stress, emotional dysregulation, or trauma-related vulnerability.\nCase Description: A young female exhibited recurrent fantasy-based sexual experiences involving a known person, described with vivid detail but without fixed delusional conviction. She intermittently recognized these experiences as unusual. Episodes were associated with dissociative fugue, marked by sudden travel away from home and partial autobiographical amnesia. No evidence of psychosis, substance use, or neurological disorder was found.\n\n\n### Strengthening primary mental healthcare: A qualitative evaluation of training non-specialist health workers\nKshitiz Sharma, Manya Shukla, Blessy B. George, Pragyapti Malav\nPGIMER, Chandigarh, India\nTheoretical Background: Dr. Kshitiz Sharma\nNon-specialist health workers (NSHWs), including medical officers and community health officers, play a critical role in healthcare delivery. Integrating mental-health competencies into their routine work is a key strategy aligned with the WHO mhGAP framework, which advocates capacity-building at the primary-care level to bridge the treatment gap. Strengthening their skills in recognising and managing common mental-health conditions can enable community-level access to early intervention and reduce referral burden on tertiary systems.\nFindings from Systematic Review: Manya Shukla\nOur previous SR demonstrated that structured training programmes for NSHWs significantly improve knowledge, screening ability, and early-intervention skills for mental health disorders. However, evidence remains sparse regarding how trainees internalise learning, apply it in real settings, and what behavioural changes emerge in clinical practice. This gap informed the need for a qualitative evaluation of training impact beyond quantitative outcomes.\nMethodology: Blessy B George\nUsing Kirkpatrick’s Four-Level Evaluation Model (Reaction, Learning, Behaviour, Outcome), nine in-depth interviews and five Focus Group Discussions were conducted with MOs and CHOs across primary-care settings. Reflexive thematic analysis guided the interpretation of training experience, knowledge acquisition, practical application, and perceived service-level outcomes.\nResults: Pragyapti Malav\nParticipants expressed high satisfaction with the training’s relevance and delivery. Enhanced understanding of mental illnesses and improved communication indicated clear learning gains. Behavioural shifts included regular inquiry and more patient-centred engagement. Early perceived outcomes included improved rapport, increased patient disclosure, and greater responsiveness at the system level, suggesting potential for wider scale-up of NSHW-focused mental health training models.\n\n\n### Chronic habit cough as a somatic compulsion: An atypical presentation of obsessive-compulsive disorder in a child\nKunal Narang, Abdul Majid, Nizam-Ud-Din Dar, Muntaqueem\nSher-i-Kashmir Instiute of Medical Sciences, MCH, Srinagar, Jammu and Kashmir, India\nBackground: Chronic habit cough in children is commonly classified as a functional or behavioral disorder once organic causes are excluded. The ICD-11 conceptualizes obsessive-compulsive disorder (OCD) as a condition that may present with compulsions driven by uncomfortable bodily sensations or sensory phenomena, even in the absence of clearly articulated obsessions. Such atypical presentations are frequently underrecognized, leading to delayed diagnosis and ineffective treatment. Aim: To highlight an uncommon presentation of OCD manifesting as chronic habit cough and emphasize the importance of considering OCD in the differential diagnosis of refractory cough in children.\nCase Summary: A 13-year-old child presented with a three-month history of persistent dry cough unresponsive to multiple medical treatments. Extensive evaluation, including high-resolution computed tomography, revealed no organic pathology. Psychiatric assessment identified comorbid obsessive-compulsive symptoms, including contamination fears and repetitive checking and washing behaviors. The cough was conceptualized as a somatic compulsion maintained by an urge-relief cycle. Treatment with exposure and response prevention-based psychotherapy along with fluoxetine syrup led to marked improvement within two weeks, with significant reduction in coughing urges and restoration of functional speech.\nConclusion: Refractory habit cough in children may represent a somatic compulsion within the OCD spectrum. Early recognition and targeted treatment with ERP and pharmacotherapy can substantially reduce morbidity.\n\n\n### Treatment resistant schizophrenia\nKurakula Lakshman, J. Bhargav Reddy\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Treatment-resistant schizophrenia (TRS) is characterized by persistence of symptoms despite the use of 2 antipsychotics for atleast 6 to 8 weeks of each drug. This case report emphasizes the challenges in managing Treatment resistant schizophrenia and the effectiveness of multidisciplinary approach in managing a case of treatment resistant schizophrenia.\nCase Summary: A 27year old male born out of nonconsanguineous marriage, presented with suspiciousness, irrelevant talk, talking to self and laughing to self, disorganized behaviour, aggressive behaviour, irritability, decreased selfcare, staying aloof, decreased sleep for 5 years increased since 2months causing severe functional impairment in the patient. A detailed evaluation confirmed schizophrenia continuous currently symptomatic.\nResults: Patient started on Risperidone slowly increased to 16 mg for 6 weeks but symptoms persisted, so switched to Aripiprazole slowly increased to 30 mg for 6weeks still symptoms persisted, so switched to Amisulpride but still symptoms persisted now currently on Clozapine 350 mg concurrently 8 ECT’S are given and still going there is 50% reduction in symptoms but till irrelevant talk is present.\nConclusion: This case underscores that meticulous longitudinal documentation of treatment trials, adherence, and clinical response is essential to diagnose Treatment resistant Schizophrenia and to plan evidence-based interventions. A systematic use of standardized case records, clear treatment plans, and multidisciplinary care can improve symptom control and safety in Treatment resistant Schizophrenia. The case highlights the need to consider timely transition to clozapine and adjunctive psychosocial interventions to optimize long term outcomes.\n\n\n### Is schizophrenia a neurodevelopmental disorder? A rare case of schizophrenia in Mayer-Rokitansky-Kuster-Hauser syndrome\nL. R. Jayasri, T. Siva Ilango\nKarpaga Vinayaga Medical Science and Research Centre, Chengalpattu, Tamil Nadu, India\nIntroduction: Mayer-Rokitansky-Kuster-Hauser (MRKH) syndrome is a congenital disorder characterized by agenesis of the uterus and upper vagina in phenotypically normal females with normal ovarian function and secondary sexual characteristics. While MRKH is associated with psychological distress, severe psychiatric comorbidities such as schizophrenia are rarely reported. The coexistence of these two distinct conditions highlights the possible interaction between genetic, neurodevelopmental, and psychosocial factors.\nObjectives: To present a rare case of MRKH syndrome associated with schizophrenia.\nTo explore the genetic and psychosocial links underlying this comorbidity.\nTo emphasize the importance of multidisciplinary management in such complex presentations.\nCase: A detailed case study of a 26-year-old female with MRKH syndrome was conducted, supported by a literature review of previously published case reports and studies exploring psychiatric manifestations in MRKH.\nResults: The patient presented with primary amenorrhea, short stature, and psychotic symptoms including auditory hallucinations and prominent negative features, diagnosed as schizophrenia. She was treated with risperidone 8 mg nightly with partial improvement. Psychosocial stigma posed major barriers her mother initially attributed the illness to occult causes due to cultural stigma, delaying psychiatric care. The stress of MRKH during adolescence, combined with family rejection and emotional trauma, may have acted as a precipitating factor for psychosis.\nThis case illustrates the need for integrated multidisciplinary management of MRKH, encompassing gynecological care, psychiatric treatment, and psychosocial support. Early recognition, reduction of stigma, and family counselling are crucial to ensuring holistic care and improving long-term outcomes for affected women.\n\n\n### Co-occurrence of language impairment and behavioural changes in frontotemporal dementia with Parkinsonism\nLaya Sarkar\nInstitute of Psychiatry- Centre of Excellence, IPGME and R and SSKM Hospital, Kolkata, West Bengal, India\nFrontotemporal dementia refers to a group of clinical syndrome characterised by Frontotemporal lobar degeneration. Three core clinical syndrome include Behavioural variant frontotemporal dementia and primary progressive aphasia . Primary progressive aphasia has 2 variants, semantic variant and non fluent variant. This case reported here of a 51 year old female patient with history of diabetes and hypertension presented with history of symptoms of changes in her behaviour, with occasional anger outburst, with increased compulsive shopping behaviour, lack of self control in spending for past 12 years, gradually patient developed Parkinsonism symptoms including decreased arm swing, rigidity of hands for past 10 years. For past 2-3 years, she presented with urinary and fecal incontinence, imbalance while walking, repeatative behaviour like frequently touching her nose, over utilisation behaviour like picking everything near by object and putting inside her mouth and difficulty recognising faces . In past 3 weeks, she had shown decrease speech output. After admission her blood reports were in normal limit . She was started on following medication Tab Syndopa 110 mg, Tab Amlodipine 5 mg, Tab Telmisartan 40 mg, Tab Metformin 1000mg, Tab Quietiapine 25 mg, Tab Sertraline 25 mg but with minimal response. Because frontotemporal dementia is accompanied by Parkinsonism, antipsychotics may exacerbate the problem. This case emphasises the importance of multidisciplinary approach to management.\n\n\n### Disulfiram-induced hypomania in a patient with alcohol dependence: A case report\nK. Likhith, B. Swapna\nThe Oxford Medical College Hospital and Research Centre, Anekal, Karnataka, India\nDisulfiram is a widely used deterrent agent in the management of Alcohol Dependence Syndrome (ADS). While its aversive reaction with alcohol is well known, rare psychiatric adverse effects such as psychosis, delirium, and mood disturbances have also been reported. We present the case of a 52 year old male presented with ADS in the month of July 2025 and after detoxification was started on disulfiram in the month of August, After 6 weeks of starting disulfiram, he presented with palpitations and fearfulness and was admitted for future investigation and diagnostic clarification. On detailed assessment, symptoms of irritability, pressured speech, increased goal-directed activity, and inflated self-esteem were elicited, consistent with a hypomanic episode. The onset occurred approximately six weeks after initiation of disulfiram at a dose of 500 mg/day. A provisional diagnosis of disulfiram-induced hypomania was made. Oxcarbamazapine was introduced at 600 mg/day and titrated to 900 mg/day for mood stabilization and disulfiram was discontinued, following which the symptoms resolved in 2weeks. This case highlights the importance of clinical vigilance regarding disulfiram’s potential to precipitate mood elevation, even in patients without a prior history of bipolar disorder.\n\n\n### Relationship between body image perception and content on social media in young adults\nM. N. Prerana Prasad, Hasitha Pamidimukkala\nJJMMC, Davangere, Karnataka, India\nIntroduction: Body image is perception of one’s body size, shape, and form, encompassing thoughts and feelings toward it. Negative body image, characterized by dissatisfaction with one’s physical appearance, is linked to poor mental health.\nSocial media, particularly visual platforms, leads to constant exposure of idealized and unrealistic body images, heightening body dissatisfaction\nAim: This study aims to explore relationship between body image satisfaction and social use\nMethodology: This observational, cross-sectional survey involved medical students and interns in a Karnataka college. Those with diagnosed medical or psychiatric illnesses and incomplete forms were excluded. Social media usage data and the Body Self-Image Questionnaire (BSIQ) were collected. Statistical analysis was performed with IBM SPSS Version 25.\nResults: Median age of the sample (N=90) was 26 years (20-43years). 94.4% were using Instagram, and rest were using Whatsapp, Twitter, Youtube Facebook, Reddit and Snapchat. Mean BSIQ score was 75.29, showing 75.6% had body dissatisfaction. Significant association was found between type of content followed, self-comparison with online content, replication of online trends, and mood secondary to online activity with body self-image. No significant association was found between body dissatisfaction and time spent online.\nConclusion: Considerable influence of social media on body image perception was noted highlighting need for more body positive content on social media, and addressing the prevalent body image dissatisfaction in young adults.\n\n\n### The unseen struggle: Identifying OSA hidden behind sedated wakefulness\nMadhurima Chakraborty, Harshavardhan Sampath, Geeta Soohinda\nSikkim Manipal Institute of Medical Sciences, Gangtok, Sikkim, India\nBackground: Insomnia is highly prevalent among individuals recovering from alcohol dependence. In clinical practice, symptoms are often managed empirically with sedative-hypnotics, which may inadvertently mask underlying sleep disorders such as obstructive sleep apnea (OSA). Sedative polypharmacy can further worsen nocturnal hypoventilation, delay diagnosis, and compromise recovery.\nCase Description: A 62-year-old retired male with alcohol dependence syndrome, abstinent for three months, presented with persistent middle and late insomnia, non-refreshing sleep, and daytime sedation despite being prescribed lorazepam 2 mg, zolpidem 10 mg, and mirtazapine 7.5 mg at bedtime. His wife reported loud snoring and witnessed apneas. Examination revealed BMI 26.8 kg/m² and neck circumference 40 cm. Screening scores were elevated: Pittsburgh Sleep Quality Index 19, Epworth Sleepiness Scale 13, and STOP-BANG 6/8. Polysomnography confirmed moderate OSA with a respiratory event index of 12.7/hour, hypopnea index 8.5/hour, obstructive apnea index 3.6/hour, and SpO2 nadir of 84%.\nDiscussion: This case illustrates the risk of misattributing sleep-disordered breathing to primary insomnia, particularly in patients with a history of alcohol dependence. Chronic sedative use can exacerbate OSA by reducing airway tone and suppressing arousal responses, leading to persistent sleep disruption and excessive daytime sleepiness. Identification of OSA enabled deprescribing of sedatives, behavioral sleep interventions, and targeted therapy, resulting in marked improvement in sleep quality, energy, and cognitive clarity.\nConclusion: In patients with refractory insomnia, especially those with substance-use histories, OSA must be excluded before escalating sedative therapy. Incorporating routine sleep-disorder screening can prevent misdiagnosis, reduce polypharmacy, and optimize mental and physical recovery.\n\n\n### Lessons from a secret dose: Disulfiram-induced suicidal depression and the need to unbind ethical care\nMadhurima Chakraborty, Harshavardhan Sampath, Sanjiba Dutta\nSikkim Manipal Institute of Medical Sciences, Gangtok, Sikkim, India\nBackground: Disulfiram, an aversive agent widely used for relapse prevention in alcohol dependence, is known to cause psychiatric side effects such as psychosis. However, severe depression and suicidality are rarely documented. The risk may be amplified when disulfiram is administered covertly without patient consent or psychiatric supervision delaying recognition and timely management of adverse reactions.\nCase Report: A 57-year-old man with alcohol dependence syndrome was brought to the psychiatry outpatient department with severe depressive symptoms, irritability, insomnia, and suicidal ideation. Symptoms emerged 10 days after cessation of alcohol, during a two-week period in which his family surreptitiously administered disulfiram. He had no personal or family history of mood or psychotic disorders, and showed no signs of alcohol withdrawal or psychosis. He was admitted to the acute psychiatry unit, and disulfiram was discontinued. Laboratory investigations were normal, excluding metabolic causes of mood disturbance. A Naranjo score of 7 indicated probable disulfiram-induced depression. His symptoms resolved within one week without antidepressants. He received supportive care, family psychoeducation, and was commenced on acamprosate for relapse prevention.\nDiscussion: Disulfiram inhibits dopamine β-hydroxylase, reducing norepinephrine and increasing dopamine, thereby disrupting catecholamine balance and potentially triggering depressive states. Although disulfiram-induced psychosis is well documented, severe depression with suicidality remains uncommon yet clinically significant.\nConclusion: Disulfiram-induced depression can closely resemble a primary mood disorder but typically resolves upon discontinuation. Covert administration, despite good intentions, may cause unintended harm. Informed consent, careful monitoring, and evidence-based alternatives are essential in relapse prevention.\nSubmitted in MIDCIPS 2025.\n\n\n### Calming the chaos: A case report on valproate response in attention-deficit/hyperactivity disorder with behavioural and sleep disturbances\nManas Rajeshkumar Upadhyay, Kenil Jagani\nPandit Deendayal Upadhyay Medical College, Rajkot, Gujarat, India\nBackground: Attention-Deficit/Hyperactivity Disorder (ADHD) is a neurodevelopmental condition characterized by inattention, hyperactivity, and impulsivity. Standard management includes behavioural therapy and pharmacotherapy with stimulants such as methylphenidate or non-stimulants like atomoxetine, guanfacine, and clonidine. However, a subset of patients exhibit poor or partial response, posing therapeutic challenges. This case describes a child with treatment-resistant ADHD who showed remarkable improvement following sodium valproate initiation, highlighting its potential role as an adjunct in refractory cases.\nCase History: A 9-year-old girl with ADHD presented with hyperactivity, aggression, excessive crying, sleep disturbances, and demanding behaviour. Her father’s permissive approach reinforced maladaptive behaviours. Symptoms worsened over six months without identifiable stressors, warranting admission. Episodes of staringand non-responsivenesswere noted, and EEG on admission revealed generalized epileptiform discharges.\nManagement and Outcome: Despite multiple medications including methylphenidate 40mg, atomoxetine 10mg, aripiprazole 10mg, quetiapine 75mg, clonidine 100mcg, carbamazepine 200mg, clonazepam 1.5mg, and zolpidem 5mg, there was minimal improvement. Considering the EEG findings suggestive of subclinical seizures, sodium valproate (1000 mg/day) was introduced, leading to dramatic improvement in behavioural symptoms and sleep.\nConclusion: This case underscores the need for thorough neurophysiological evaluation in ADHD patients with poor treatment response and behavioural dysregulation. The presence of epileptiform discharges suggested a neurobiological contribution to symptoms. Marked improvement with valproate highlights its potential as a mood-stabilizing antiepileptic adjunct in selected ADHD cases with subclinical epileptiform activity and behavioural instability, and considering EEG assessment in atypical or treatment-resistant ADHD presentations.\n\n\n### Unmasking psychosis: Tramadol dependence in a 42-year-old female\nManasvi Sharma, Rakesh Ghildiyal\nMahatma Gandhi Mission Institute of Health Sciences, Mumbai, Maharashtra, India\nBackground: Tramadol is a synthetic opioid analgesic widely used in clinical settings as it is perceived to be safe. However, increasing evidence highlights the propensity of this medication to cause dependence and neuropsychiatric adverse effects.\nAim: To present case report on Tramadol induced psychosis\nCase Description: 42-year-old female, presented with agitation, suspiciousness, disorganized behaviour, poor self-care, auditory hallucinations, disturbed sleep and overfamiliarity with overtalkativeness. Patient had body pain she was prescribed Tramadol. Over time, her pain gradually reduced but her consumption of the tablet increased from 2 to 16 tablets per day. After two years of starting medications, she started exhibiting inappropriate behaviour i/f/o self-muttering, self-smiling and would respond irrelevantly at times. She had suspiciousness i/f/o delusion of reference and delusion of infidelity. Her self-care deteriorated. She also exhibited overtalkativeness. She has never abstained from Tramadol during her entire course of illness.\nDiscussion: Tramadol HCl has been associated with a spectrum of neuropsychiatric symptoms. µ-opioid receptor activity alongside modulation of serotonergic and adrenergic pathways, may contributes to these effects. Emerging evidence also suggests that tramadol and its active metabolite can inhibit NMDA receptors, which can contribute to hallucinations, delusions, and other psychotic features. Persecutory delusion, in addition to auditory and visual hallucinations, secondary to tramadol use has been reported in one patient.\nConclusion: While tramadol is often viewed as having fewer adverse effects than traditional opioids, these findings highlight need for clinical awareness of its potential to induce psychiatric symptoms, particularly in susceptible individuals or at higher doses.\n\n\n### When lithium toxicity mimics lewy body dementia: A diagnostic challenge\nManisha Deo, Richa Tripathi, Mohd Rashid Alam\nAll India Institue of Medical Sciences, Gorakhpur, Uttar Pradesh, India\nBackground: Lewy Body Dementia (LBD) presents with visual hallucinations, cognitive fluctuations, parkinsonism, and REM sleep behaviour disorder. Chronic lithium toxicity can show overlapping neuropsychiatric and motor symptoms, creating diagnostic uncertainty.\nAim: To describe a case in which chronic lithium toxicity presented with features resembling LBD and emphasize the role of careful clinical observation.\nCase Description: A 60-year-old male with treatment-resistant depression (9 years), on lithium for 2 years, and with comorbid parkinsonism (4 years) and hypothyroidism (2 years), presented with 4 months of visual hallucinations and persecutory delusions. In the preceding 2 months, he developed worsening parkinsonism, intermittent disorientation, forgetfulness, and REM sleep behaviour-like features. Examination showed tremulousness, bradykinesia, postural instability, and hyperreflexia. Investigations revealed elevated morning lithium level (2.3 mEq/L) and serum creatinine 1.68 mg/dL, with normal electrolytes and thyroid function.\nLithium was stopped and IV fluids were started, reducing levels to 1.68 mEq/L in 24 hours. Quetiapine 25 mg was initiated but worsened psychotic symptoms and was discontinued. With continued hydration, lithium levels decreased further to 1.3 mEq/L, leading to improvement in psychosis. Clozapine 12.5 mg and rivastigmine 1.5 mg were then introduced, resulting in improvement in disorientation, cognition, and REM sleep behaviour-like features. As lithium declined to 0.6 mEq/L by day 8, parkinsonian symptoms improved. The patient was discharged stable and remains well on follow-up.\nConclusion: Chronic lithium toxicity can closely mimic and even exacerbate features of Lewy Body Dementia. Early identification, cessation of lithium, and targeted symptomatic management can result in significant clinical recovery.\n\n\n### High stakes, higher stress: The mental health cost of trading\nManshi Kakrania, Rashi Agarwal, Tarun Pal\nLala Lajpat Rai Medical College, Meerut, Uttar Pradesh, India\nBackground: With the rapid expansion of online trading platforms, an increasing number of individuals are engaging in high-frequency stock, forex, and cryptocurrency trading. Although often perceived as a legitimate and socially acceptable activity, excessive trading shares several behavioural and psychological features with gambling, potentially predisposing individuals to significant mental health problems.\nAim: To examine how problematic trading behaviours contribute to psychological distress, functional impairment, and psychiatric morbidity.\nMethods: A cross-sectional, observational study design was adopted to assess impulsive trading behaviours and their association with psychiatric comorbidities among adults engaged in active financial trading. HAM-A, HAM-D, BIS-11 and G-SAS were used to analyse comorbid mood, anxiety, and substance-use disorders associated with impulsive nature to trade.\nResults: It is noticed that traders exhibit loss of control, preoccupation with market activity, chasing losses, and withdrawal-like symptoms when unable to trade, leading to elevated stress, sleep disturbances, irritability, depressive symptoms, and social/occupational dysfunction. High-risk groups include individuals with baseline impulsivity, emotional dysregulation, financial insecurity, or prior gambling behaviour. Neurobiological parallels with gambling disorder particularly dopaminergic reward anticipation highlight the addictive potential of trading.\nConclusion: Problematic trading is an emerging behavioural addiction with significant mental health implications. Early identification, clinician awareness, and development of screening tools specific to trading-related harms are urgently needed. Integrating behavioural addiction frameworks into routine psychiatric assessment may help mitigate long-term psychological and socioeconomic consequences.\n\n\n### Dermatitis artefacta in a patient with schizophrenia: A case report\nMansi Ranga\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Dermatitis artefacta (DA) is an uncommon psychodermatological condition involving self-inflicted skin lesions, often accompanied by limited insight. Although more frequently associated with mood or personality disorders, DA may also occur in schizophrenia, complicating diagnosis and treatment.\nCase Presentation: A 31-year-old woman with a 12-year history of schizophrenia was admitted with worsening persecutory delusions, auditory hallucinations and behavioral disorganization. She displayed multiple linear excoriations and erosions across the face, arms, legs and back, all in accessible areas and in different stages of healing. She denied self-infliction, and family members reported recent scratching behavior. Screening for delusional parasitosis and excoriation disorder was negative.\nInitial treatment with olanzapine (titrated to 30 mg/day) and intramuscular haloperidol yielded limited improvement. A broad medical work-up including autoimmune markers and cardiological evaluation was unremarkable. Dermatology consultation confirmed DA on clinical grounds, and topical wound care was initiated. Brain CT excluded organic contributors.\nBecause of persistent psychosis and continued skin manipulation, chlorpromazine was added and escalated to 600 mg/day. Modified electroconvulsive therapy (six sessions) resulted in marked clinical stabilization, cessation of skin picking and progressive healing of lesions. No new lesions emerged during the remainder of hospitalization.\nConclusion: This case illustrates the diagnostic challenges of DA in schizophrenia, particularly when denial of self-injury coexists with poor insight. Early dermatology-psychiatry collaboration and timely optimization of antipsychotic treatment were crucial. The patient’s improvement following electroconvulsive therapy suggests a potential role for this intervention when DA presents alongside refractory psychotic symptoms.\n\n\n### Transcranial direct current stimulation for post-traumatic brain injury cognitive deficits: A narrative review of preclinical and clinical evidence\nMark Paramlall\nBIPA/Dalhousie University, Halifax, Canada\nBackground and Purpose: Traumatic brain injury (TBI) is a leading cause of chronic disability, often causing debilitating cognitive impairments across domains like attention, memory, and executive function, severely affecting daily life. The complex pathophysiology includes tissue damage and secondary injury mechanisms. Crucially, no pharmacological treatments are yet approved for TBI-related cognitive dysfunction, highlighting the need for alternative therapies like transcranial direct current stimulation (tDCS).\nMethods: A comprehensive search spanned databases such as Allied & Complementary Medicine, APA PsycInfo, ClinicalTrials.gov, Embase, and MEDLINE, among others. The query linked tDCS and TBI with terms like “cognition,” “memory,” “attention,” and “executive.” Results were restricted to English publications between January 2000 and November 2025, considering document status, type, and English language, with duplicates removed.\nResults: From 114 abstracts, over 60 full-texts were reviewed. Results were notably heterogeneous, but most studies favored anodal stimulation targeting the dorsolateral prefrontal cortex (DLPFC). Some investigations reported improvements in attention, memory, and executive functions, yet the overall evidence base was limited by methodological variability.\nConclusion: In conclusion, anodal tDCS, particularly to the left DLPFC, appears most promising for cognitive improvement in moderate-to-severe TBI patients in chronic phases. However, data for mild TBI is sparse, and optimal stimulation parameters need further study. Future research must focus on standardized protocols, long-term outcomes, and integration with cognitive rehabilitation.\n\n\n### Pregabalin misuse emerging during treatment of dextropropoxyphene dependence\nMayur Hemantrao Badwaik, Shreya Detroja\nAIIMS, Rajkot, Gujarat, India\nBackground: Pregabalin misuse is increasingly reported, particularly among individuals with prior opioid dependence. Patients with prior opioid dependence have sensitized mesolimbic reward pathways, making them more vulnerable to the euphoric and anxiolytic effects of pregabalin. Pregabalin’s modulation of presynaptic calcium channels indirectly increases dopaminergic activity, leading to tolerance, craving, and dependence.\nCase Description: A 30-year-old male, had a history of dextropropoxyphene use for approximately four years, followed by a period of abstinence during the pandemic, and subsequent relapse, leading to his presentation after a two-year gap. At that time, he consumed 8 tablets/day and experienced withdrawal symptoms including body ache, irritability, and reduced sleep. He was started on pregabalin 75 mg, methylcobalamin, lorazepam, and clonidine, with significant improvement and gradual tapering.\nAbout four months prior to the current admission, he unintentionally consumed double his pregabalin dose and noted increased energy and improved sleep, reinforcing continued use. He escalated intake from 2 to 15 tablets/day over one and a half months. Attempts at abstinence triggered headache, lethargy, irritability, body ache, and insomnia, prompting inpatient admission.\nDiscussion: He was treated with propranolol, clonidine, amitriptyline, lorazepam (tapered), and analgesics, while pregabalin was restricted to SOS use, and he did not require it until discharge. He showed steady improvement, and psychoeducation with relapse-prevention counselling was provided.\nConclusion: This case highlights the risk of pregabalin misuse in individuals with opioid-based medication dependence and underscores the need for careful monitoring and early recognition of dose escalation.\nKey words: Dependence, misuse, opioid dependence, pregabalin, treatment\n\n\n### Shared neurobiological mechanisms in alcohol and gambling disorders: A case-based review\nMd. Niyaz, S. P. Panda\nArmed Forces Medical College, Pune, Maharashtra, India\nBackground: Alcohol Use Disorder (AUD) and Gambling Disorder frequently co-occur and share phenomenological similarities with substance addictions. Overlapping neurobiological substrates involve reward processing, impulsivity and impaired inhibitory control. Understanding shared mechanisms is essential to explain mutual reinforcement of addictive behaviors and to guide integrated treatment strategies. The case illustrates how behavioral and substance addictions interact through common neural pathways.\nAims: To explore shared neurobiological mechanisms underlying AUD and Gambling Disorder through a detailed case-based review, with emphasis on temporal relationship, personality traits, and reward-circuit dysfunction.\nMethods: A case-based descriptive review was conducted involving a 35-year-old male with co-occurring Gambling Disorder and Alcohol Dependence Syndrome. Clinical history focused on onset, progression, temporal sequencing of addictive behaviors, personality traits, psychosocial stressors and relapse patterns. Neurobiological mechanisms were interpreted in light of existing addiction models.\nResults: Gambling behavior preceded regular alcohol use, supporting a gateway and coping hypothesis, wherein alcohol was initially used to manage gambling-related stress and losses. Over time, alcohol use escalated to dependence, with gambling relapses precipitating alcohol binges. The case demonstrated shared reward-circuit dysfunction involving mesolimbic dopamine pathways, ventral striatum, and nucleus accumbens, along with impaired prefrontal inhibitory control. High impulsivity, sensation-seeking traits, cognitive distortions, and poor distress tolerance further contributed to mutual reinforcement of addictions.\nConclusion: This case highlights the shared neurobiological and psychological mechanisms linking Alcohol and Gambling Disorders. Dysfunctional reward processing, impaired executive control, and maladaptive coping form a common pathway sustaining comorbidity. Recognition of these shared mechanisms underscores the need for integrated, mechanism-based treatment approaches.\n\n\n### Psychiatric comorbidities in obstructive sleep apnea and obesity hypoventilation syndrome: A narrative review\nMeghal Gulati, Ankush Sharma\nTantia University, Ganganagar, Rajasthan, India\nBackground: Obstructive Sleep Apnea (OSA) and Obesity Hypoventilation Syndrome (OHS) are increasingly recognized sleep disorders with significant psychiatric implications. OSA, characterized by repeated upper airway collapse during sleep leading to oxygen desaturation and disrupted sleep, affects a substantial portion of the population (9.7-58.2%). OHS, defined as obesity (BMI >30 kg/m²) combined with daytime hypercapnia and sleep-disordered breathing, represents a more severe manifestation of sleep-related breathing disorders.\nObjective: To examine the bidirectional relationship between OSA/OHS and psychiatric disorders, evaluate prevalence patterns, and review evidence-based management strategies for patients with concurrent sleep and psychiatric conditions.\nMethods: Comprehensive literature review analyzing psychiatric comorbidities in OSA and OHS patients, including prevalence data, pathophysiological mechanisms, and treatment outcomes across multiple psychiatric conditions.\nResults: Psychiatric comorbidities in OSA show remarkably high prevalence rates in depression, anxiety disorders, insomnia, PTSD and Substance use disorders.\nClinical Implications: The relationship between sleep disorders and psychiatric conditions is bidirectional. Sequential treatment approaches combining cognitive-behavioral therapy for insomnia with OSA treatment show optimal outcomes.\nConclusions: OSA and OHS demonstrate significant psychiatric comorbidity burden requiring integrated care approaches. Healthcare providers should maintain high clinical suspicion for sleep disorders in psychiatric patients and vice versa.\nKey words: Anxiety, CPAP, depression, obesity hypoventilation syndrome, obstructive sleep apnea, psychiatric comorbidity, sleep medicine\n\n\n### A case report: Acute psychosis in a patient of tuberous sclerosis: Possibility of landolt’s phenomenon?\nMeghal Shah\nSmt. NHL Municipal Medical College, Ahmedabad, Gujarat, India\nBackground: Tuberous Sclerosis Complex (TSC) is a multisystem neurocutaneous disorder commonly characterized by a triad of epilepsy, adenoma sebaceum, and developmental delay. Although over 90% of individuals with TSC exhibit neuropsychiatric symptoms grouped under TSC-Associated Neuropsychiatric Disorder (TAND) psychosis remains uncommon, with a global prevalence of only 2.3% and limited Indian data.\nCase Report: A 16-year-old male with epilepsy for 9-10 years, a seizure frequency of 8-10 episodes in 6 months attributed to poor adherence to antiepileptic therapy, experienced a seizure on 16/10/2025 after which the dose of Oxcarbazepine was increased from 600 mg to 1200 mg. Post-seizure evaluation revealed multiple cortical tubers with subependymal nodules on MRI (27/10/2025), consistent with TSC. He also had dermatological markers: facial angiofibromas for 3-4 years, a lumbar shagreen patch and history suggestive of Borderline Intellectual Disability since early childhood.\nAfter optimal seizure control, he presented with acute psychotic symptoms including auditory hallucinations, visual imagery, psychotic fantasy, irrelevant talking, hyperactivity, irritability, behavioural disturbance. EEG done at this stage was normal. A diagnosis of Psychosis NOS secondary to a medical condition (TSC with Epilepsy) was considered. Treatment involved gradual reduction in dose of Oxcarbazepine, considering Forced Normalisation and titration of Olanzapine with benzodiazepines. The patient showed 40-50% improvement in psychotic symptoms and remained seizure-free during the 10 days of hospitalization.\nConclusion: This case highlights the rarity of late-onset psychosis in TSC and the possibility of alternating psychosis/Landolt’s Phenomenon following seizure control. Early recognition and integrated neuropsychiatric management remain essential.\n\n\n### Transient alcohol induced psychosis in a chronic alcohol user\nMeghna Kemprai, Deepanjali Medhi1, Suresh Chakravarty1\nGauhati Medical College and Hospital, 1Department of Psychiatry, Gauhati Medical College and Hospital, Guwahati, Assam, India\nOverview: Alcohol-induced psychosis is a reversible psychiatric condition associated with prolonged and in heavy alcohol use. It commonly presents with vivid hallucinations, disturbed sleep, sensory changes and behavioural alterations, while orientation is usually preserved. Timely recognition is very important, as this condition often resolves fully with abstinence, vitamin supplementation and short-term use of psychotropic medications. Distinguishing it from primary psychotic disorders such as schizophrenia is essential because the treatment approach and long-term prognosis differ significantly.\nCase: A 55-year-old male from Arunachal Pradesh with a 30-year history of chronic alcohol consumption presented with tingling sensations in all limbs, reduced sleep and vivid auditory and visual hallucinations. He described hearing threatening voices and seeing unknown women beside him at night. On mental status examination, he was fully oriented but had prominent hallucinations. Neurological evaluation revealed right-sided facial paralysis. A diagnosis of Transient Alcohol-Induced Psychosis was made. He was treated with benzodiazepines for withdrawal symptoms, antipsychotics for hallucinations, vitamin supplementation and supportive care. His symptoms improved significantly within a few days, and he was discharged in a clinically stable condition. Discussion- Alcohol-induced psychosis typically occurs during heavy consumption or early withdrawal. The rapid resolution of hallucinations, intact orientation and absence of chronic psychotic features helped differentiate this case from schizophrenia. The associated facial paralysis may be linked to alcohol-related neuropathy or nutritional deficiency. Early stabilisation prevents complications such as delirium tremens and reduces relapse risk.\nConclusion: This case highlights the importance of recognising alcohol induced psychosis and differentiating it from primary psychiatric illnesses.\n\n\n### Hidden struggles behind closed doors - Compulsive sexual behaviour disorder in a married female\nMehak Jaggi, Suresh Gupta, Brijrani Singh\nSawai Man Singh Medical College and Attached Group of Hospitals, Jaipur, Rajasthan, India\nBackground: Compulsive Sexual Behaviour Disorder (CSBD) is a recently recognised clinical identity in the ICD-11 under Impulse Control Disorders. It is characterised by persistent difficulty controlling repetitive sexual impulses or behaviours despite negative consequences, resulting in distress and functional impairment. Limited awareness, stigma, and symptom overlap frequently result in under-recognition and delayed intervention.\nCase Description: A 33-year-old married woman presented with a 10-month history of worsening behavioural and emotional symptoms, including fearfulness, reduced sleep, low mood, anxiety, and increased sexual urges and behaviours that she could not control. She repeatedly engaged in sexual activity despite negative interpersonal consequences and intense guilt, describing a subjective loss of control.\nDiscussion: Initial diagnostic considerations included mood disorder, psychotic spectrum illness, and personality vulnerabilities. However, the persistent pattern of intrusive sexual urges, repetitive behaviours, marked distress, significant functional impairment, and absence of manic or psychotic features supported a diagnosis of CSBD based on ICD-11 criteria. The behaviours were ego-dystonic and associated with interpersonal conflict and emotional instability.\nTreatment: She was started on an SSRI to reduce urges and improve mood, and received CBT-based therapy focusing on impulse control and relapse prevention. Supportive counselling and psychoeducation improved coping and family involvement.\nConclusion: CSBD is often overlooked and misinterpreted, leading to delays in treatment. Early recognition and structured multimodal intervention can significantly improve functioning and quality of life.\n\n\n### Ominous opioids a quick cure or a pernicious crisis: Misguided prescriptions for somatic symptoms and the rise of dependence\nMehak Mittal, Tarun Pal, Rashi Agarwal, Rameez Ul Islam, Nikita Maan\nLala Lajpat Rai Memorial Medical College, Meerut, Uttar Pradesh, India\nBackground: Opioid abuse is an escalating public health concern in Meerut, driven by easy accessibility of prescription opioids and malpractice by healthcare professionals and unqualified practitioners. During just one month, seven patients presented to our tertiary psychiatry unit with opioid use disorder, indicating the severity of problem. Notably, three were females, suggesting a significant rise in opioid misuse among women. This study highlights clinical patterns, psychiatric comorbidities, and systemic contributors to opioid dependence.\nAims: To describe the demographic and clinical profile of opioid-dependent patients in Meerut; assess withdrawal, anxiety, and depressive symptoms using COWS, HAM-A, and HAM-D; and examine the role of prescription practices, accessibility, and personality traits in development of dependence.\nMethodology: A cross-sectional descriptive study was conducted on seven consecutive patients meeting ICD-11 criteria for opioid use disorder. Sociodemographic data, initiation, pattern of opioid use, and progression to dependence were recorded. COWS, HAM-A, and HAM-D were used to assess withdrawal and comorbid symptoms. Relevant literature was reviewed to contextualize findings.\nResults: Six of seven patients initiated opioid use through prescribed analgesics, later developing dependence; only one sought illicit opioids directly. Easy availability through pharmacies, liberal prescribing, and quack practices were key contributors. Most patients exhibited moderate to severe withdrawal with anxiety and depressive symptoms. Personality features like impulsivity, emotional instability, low frustration tolerance were frequently observed.\nConclusion: The clustering of cases within one month reflects an urgent opioid misuse problem in Meerut. Predominantly prescription-origin dependence highlights the need for stricter prescribing, regulation of malpractice, and early psychiatric intervention.\n\n\n### PRES syndrome in known case of psychotic spectrum disorder with extraprymidal syndrome\nMimansa Maheshbhai Vaghela, Naren Amin, Reema Vasani1\nC U Shah Medical College and Hospital, 1Department of Psychiatry, C. U. Shah Medical College and Hospital, Surendranagar, Gujarat, India\nEmail: mmvaghela2017@gmail.com\nBackground: Posterior reversible encephalopathy syndrome (PRES) is a neurological condition characterized by headache, seizures, altered sensorium, visual disturbances, with radiological evidence of vasogenic edema. While commonly associated with hypertension, toxic exposures, autoimmune conditions, its occurrence in patients with psychotic spectrum disorders receiving multiple antipsychotics is rare and challenging, especially when extrapyramidal symptoms overlap clinically.\nCase Report: A 39 year-old female with a 5 month history of psychiatric illness receiving HALOPERIDOL 10MG, LORAZEPAM 2MG, TRIFLUOPERAZINE 15MG, CHLORPROMAZINE 150MG, and TRIHEXYPHENIDYL 6MG presented with staring look,decreased communication,irrelevant speech,fearfulness, suspiciousness,persecutory delusion,and auditory hallucinations. Following suspected ingestion of an unknown compound, she developed severe extrapyramidal symptoms including rigidity, mutism and subsequently became non-responsive, warranting ICU admission. Neuroimaging findings were suggestive of PRES. Antipsychotics were withheld and supportive ICU management was initiated, resulting in gradual clinical improvement. With regular follow-ups, the patient is currently well maintained on medications.\nDiscussion: This case emphasizes the need to recognize PRES as a possible neurological complication in patients with psychotic disorders on multiple antipsychotics, particularly when extrapyramidal features mimic or mask neuroleptic adverse events. Early identification, removal of potentially offending medications, blood pressure optimization, intensive supportive care are essential for reversibility and favorable outcomes.\nKey words: PRES syndrome; extrapyramidal symptoms; psychotic spectrum disorder, multiple antipsychotic medications; ICU management; case report.\n\n\n### The hidden face of sjogren’s: When dryness turns to dementia\nMohammad Arbaz Khan\nKakatiya Medical College, Warangal, Telangana, India\nSjogren’s syndrome is a chronic autoimmune disease characterized by lymphocytic infiltration and inflammatory destruction of salivary and lacrimal glands, resulting in sicca symptoms of the eyes and mouth. Beyond exocrine involvement, increasing evidence suggests systemic manifestations, including central nervous system involvement. Neuropsychiatric presentations such as cognitive impairment and dementia are uncommon, under-recognized, and often misattributed to primary neurodegenerative disorders, leading to delays in diagnosis and management.\n\n\n### Clinical experience with naltrexone in gambling disorder: A case series\nMohd Aman Naqvi, Pawan Kumar Gupta, Amit Arya\nKing George Medical University, Lucknow, Uttar Pradesh, India\nIntroduction: Gambling disorder (GD) is a behavioral addiction associated with severe psychosocial and financial consequences. While psychological interventions are considered first-line, a subset of patients requires pharmacological support. Evidence from international studies suggests that naltrexone may reduce gambling urges, but Indian data are scarce.\nCase Presentation: We describe five patients with GD from diverse socioeconomic backgrounds treated with oral naltrexone (50 mg/day) alongside psychosocial interventions. The cases were clinically heterogeneous, with comorbid alcohol use, cannabis dependence, depression, and personality vulnerability. Histories revealed persistent preoccupation, loss chasing, financial harm, and significant psychosocial dysfunction.\nResults: Four patients demonstrated a gradual but meaningful reduction in gambling behaviors, with abstinence achieved after several months of combined treatment. Improvement was influenced by family involvement, adherence, and concurrent management of comorbidities. One patient, with severe alcohol and cannabis dependence and poor psychosocial support, remained resistant to treatment despite sustained naltrexone use. Across cases, naltrexone was generally well tolerated, with only mild, transient side effects.\nConclusion: Naltrexone at 50 mg/day may be a useful adjunct in the management of GD in Indian patients, particularly when integrated with psychosocial and family-based interventions. Recovery is often gradual and relapse-prone, and treatment resistance may occur in the presence of entrenched comorbidities and poor adherence. These findings highlight the need for comprehensive, individualized care and further research to establish long-term efficacy and predictors of response.\n\n\n### Uric acid profiles across normal elderly, Alzheimer’s dementia, and late-onset depression: A cross-sectional study\nMohd Nahid Irshad, Om Prakash, Rachna Agarwal, Suman S. Kushwaha, Amit Khanna\nInstitute of Human Behaviour and Allied Sciences, Delhi, India\nBackground: Depression and Dementia is thought to be the result of genetic predisposition combined with environmental interactions, and the oxidative stress may be one of its pathogenesis. Oxidative stress can lead to decreased brain neurogenesis and increased neuronal apoptosis and it can affect the activity of 5-HT neurotransmitters and the metabolic pathways of monoamine neurotransmitters. Serum Uric acid is a strong antioxidant that provides more than 60% antioxidant activity in plasma.\nAim: This study aims to ascertain difference in uric acid level in LOD and Alzheimer’s dementia in comparison to normal elderly.\nMethods: The study included 42 LOD cases and 41 Alzheimer’s dementia cases in comparison with 41 normal elderly individuals diagnosed in accordance with ICD-10 recruited at IHBAS (tertiary care hospital).. The Serum uric acid (SUA) value was derived from fasting plasma samples analysis. The level of SUA of all the participants was quantified using automatic biochemical analyzer. Data were analyzed by SPSS using Shapiro wilk test and Kruskal wallis test.\nResults: Uric acid levels did not differ significantly between late onset depression, dementia, and normal elderly groups (Kruskal-Wallis H = 0.435, p = 0.804), suggesting no association between uric acid and diagnostic category in the study population.\nUric Acid Profiles Across Normal Elderly, Alzheimer’s Dementia, and Late-Onset Depression: A Cross-Sectional Study Overall, the absence of significant group differences suggests that serum uric acid does not independently differentiate late-life depression, dementia, and healthy aging, likely due to its non-specific nature and large physiological variability but warrants further investigation in larger samples.\nKey words: Alzheimer’s dementia, biomarker, late-onset depression, uric acid\n\n\n### Olanzapine-induced seizures in adolescents with borderline intellectual functioning: A case series\nMohd Rashid Alam, Richa Tripathi, Manisha Deo\nAIIMS, Gorakhpur, Uttar Pradesh, India\nBackground: Olanzapine is a commonly used second-generation antipsychotic with a relatively low reported epileptogenic risk. However, seizures have been described, particularly at higher doses and in individuals with neurodevelopmental vulnerabilities such as borderline intellectual functioning.\nObjective: To describe olanzapine-induced seizures in adolescents with borderline intellectual functioning.\nMethods: This case series reports three adolescents with no prior seizure history who developed generalized seizures temporally related to olanzapine treatment.\nCase 1: A 17-year-old boy with psychosis (poor self-care, sleep disturbance, suspiciousness; delusional memory, ideas of reference) and borderline intelligence (IQ 87) had normal MRI/EEG. Risperidone caused extrapyramidal symptoms and was switched to olanzapine. After escalation to 20 mg/day, he developed a generalized seizure. Olanzapine discontinuation led to no further seizures.\nCase 2: A 16-year-old girl with psychosis, second-person auditory hallucinations, persecutory ideas, and borderline intelligence (IQ 75) developed a generalized seizure after valproate taper while on olanzapine 25 mg/day. Seizures resolved after stopping olanzapine.\nCase 3: A 17-year-old girl with psychosis, commanding hallucinations, borderline intelligence (IQ 88), and amenorrhea developed a seizure on day four of olanzapine 15 mg/day, resolving after discontinuation.\nConclusion: These cases highlight that olanzapine can precipitate seizures in adolescents with borderline intellectual functioning despite normal neurological evaluations. Cautious dose escalation and close monitoring are recommended in this population.\n\n\n### Healing the hidden wound: How treating post-traumatic stress disorder led to unexpected recovery from alcohol dependence\nMohit Raj, Preeti Dalal, Ankita Chattopadhyay, Manoj Kumar\nInstitute of Human Behaviour and Allied Sciences, New Delhi, India\nBackground: Post-traumatic stress disorder (PTSD) and alcohol dependence syndrome (ADS) frequently coexist, with alcohol often used as a maladaptive tool to manage intrusive memories and emotional turmoil. Understanding when alcohol use is secondary to untreated trauma is essential for targeted intervention.\nAim and Methods: To present a case demonstrating remission of alcohol dependence following targeted PTSD treatment, highlighting the pivotal role of trauma-focused care in dual diagnosis. The patient underwent comprehensive neuro-psychological evaluation, was diagnosed using standard clinical criteria, and received pharmacological and trauma-focused psychotherapeutic interventions.\nResults: A 48-year-old man presenting with alcohol dependence syndrome was found to be suffering from severe PTSD after a tragic incident in which he accidentally hurt a 4 yrs old girl child during a crossfire with an accused. He reported intense flashbacks, pervasive guilt, avoidance, sleep disturbance and hyperarousal, followed by increased use of alcohol as coping tool, subsequently leading to alcohol dependence. With targeted trauma-focused treatment, the patient exhibited marked improvement in PTSD symptoms most notably the disappearance of intrusive memories and emotional dysregulation. Remarkably, as PTSD symptoms subsided, alcohol craving and consumption declined in parallel, culminating in sustained abstinence.\nConclusion: This case underscores the potent influence of untreated trauma on the development and maintenance of alcohol dependence. It highlights that addressing the primary psychological injury PTSD can independently catalyse remission from secondary substance use disorders. Trauma-focused evaluation should therefore be considered essential in patients presenting with alcohol dependence.\n\n\n### A case of Reel’ Delusion: A zebra phenomenon among the elderly in the digital age\nMohit Sati, Neha B Kulkarni, Subhashish Nath\nLokopriya Gopinath Bordoloi Regional Institute of Mental Health, Tezpur, Assam, India\nBackground: Delusional disorder (DD) in the elderly is recognized as part of a continuum of late-life psychoses. The Halle Delusional Syndromes (HADES) Study found a 1.2% prevalence of DD among elderly outpatients, with the persecutory type being most frequent (70%).We present a rare case of grandiose DD in an elderly individual, illustrating the “zebra phenomenon” where a rare presentation mimics more common conditions.\nHistory: A 61 yr old male studied up to class 8th, painter by occupation from rural Assam with nil significant family history, premorbidly well adjusted, presented with history of recent onset of usage of smart phone for 6 months with excess (> 10 hrs) usage of social media platforms. He developed a false fixed grandiose delusion of being a successful actor, believing Bollywood celebrities communicated with him via social media “reels” and was invited to Mumbai. For five months, he acted out on these thoughts where he recorded his videos as a response to the reels’ that he watched but was unaware of technology of uploading reels,’ purchased flight tickets, and exhibited irritability on confrontation. He was diagnosed with Persistent Delusional Disorder, grandiose subtype in the absence of organicity or substance use, He was treated at in-patient care with Tab Risperidone 4mg/day, baseline investigations were normal, within 10 days, acting out improved, further treatment continued on out-patient basis with 3-month follow-up showing no worsening of symptoms.\nConclusion: This case highlights the emerging clinical challenge of newer psychopathology in background of penetrance of digital media in india.\n\n\n### Neurodevelopmental profile of a child with marfan syndrome and seizure disorder - diagnostic and functional challenges in severe intellectual disability: A case report\nMohit Singh, Abhishek Kumar, Jayati Simlai\nRanchi Institute of Neuro Psychiatry and Allied Sciences, Ranchi, Jharkhand, India\nBackground: Marfan syndrome is an inherited connective tissue disorder caused by mutations in the FBN1 gene with cardinal cardiovascular, musculoskeletal, and ocular features. Neurodevelopmental comorbidities such as autism spectrum disorder (ASD) or intellectual disability (ID) are rare and underreported. Presenting a case of a child with Marfan phenotype, early-onset seizures, and complex behavioral symptoms raising a diagnostic overlap between ASD and ID.\nAim: To highlight the complex neuropsychiatric presentation in a child with Marfan syndrome, focusing on the diagnostic overlap between ASD and seizure-related behavioral manifestations, and to underscore the importance of early developmental assessment and multidisciplinary evaluation in syndromic cases presenting with severe intellectual disability.\nCase Description: A 14-year-old male presented with aggression, stereotyped sniffing behavior, poor social interaction, hypersensitivity to sound, and dependence for self-care. He had a history of three generalized seizures between ages 3.5 and 8.5 years, with no recent episodes. Phenotypic evaluation suggested Marfan syndrome, meeting the Revised Ghent criteria. IQ assessment revealed a score of 24 (severe ID), with a Social Quotient of 31. Despite features suggestive of ASD, the diagnosis was deferred due to diagnostic limitations of ASD tools in severe ID (IQ <35).\nConclusion: This case of Marfan syndrome exhibits complex neurobehavioral profile consisting of IDD, generalised seizures, ASD and cognitive impairment. Increased clinician awareness critical for early recognition and better outcomes.\nKey words: Autism spectrum disorder, intellectual disability, marfan syndrome, neurodevelopment, seizure disorder\n\n\n### Behavioral and affective manifestations in a case of achondroplasia: A clinical case report\nMohit Singh, Jayati Simlai, Abhishek Kumar\nRanchi Institute of Neuro Psychiatry and Allied Sciences, Ranchi, Jharkhand, India\nBackground: Achondroplasia, the most common skeletal dysplasia, is primarily characterized by disproportionate short stature and distinct craniofacial features.\nAlthough the disorder is largely orthopaedic, individuals with achondroplasia may experience behavioural and affective disturbances stemming from psychosocial stressors, neurobiological vulnerability, or secondary medical complications. Reports of psychiatric manifestations n achondroplasia remain limited.\nCase Description: A 30 year-old married, unemployed male from a lower socio-economic rural background (Bokaro, Jharkhand), with known features of achondroplasia, presented to the psychiatry outpatient Department with irritability, abusive behaviour, self-laughing. self-muttering, and frequent crying spells for the past one year, along with decreased sleep and appetite for the past three months.\nThere was no past psychiatric or substance use history, no family history of mental illness. Examination revealed short stature with rhizomelic limb shortening and macrocephaly, with intact cognitive functions.\nMental status examination showed irritable affect, occasional irrelevant speech, and possible auditory hallucinations.\nDiscussion: While achondroplasia itself does not predispose specific psychiatric syndromes, secondary behavioural and affective symptoms may emerge due to psychosocial challenges, stigma, and biological tress factors. Early psychiatric intervention promotes better functional and emotional outcomes.\nConclusion: This case emphasizes the need for a multidisciplinary approach and routine psychiatric evaluation in individuals with achondroplasia presenting with behavioural changes, ensuring timely diagnosis and effective management.\nThe patient was started on Tablet Sodium Valproate 500 mg HS, Risperidone 4 mg HS, Trihexyphenidyl 2 mg morning. and Lorazepam 2 mg HS, with notable symptomatic improvement on follow-up.\n\n\n### Capgras-delusion in a female patient with schizophrenia: A case report\nD. C. Monith, G. Anuhya Guyton1\nAndhra Medical College, Government Hospital for Mental Care, 1Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Capgras syndrome is a rare delusional misidentification disorder observed in various psychiatric conditions, particularly schizophrenia. It is characterized by the belief that familiar people, places, or objects have been replaced by imposters.\nAim: To describe the clinical characteristics and manifestation of Capgras syndrome in a female patient with schizophrenia.\nMethods: A 65-year-old married female with a 25 year history of schizophrenia, previously stable on risperidone, experienced a relapse - a breakthrough episode. She presented with suspiciousness, Talking to self, Physically abusive on Husband, Anger outbursts, Examination revealed Normal psychomotor activity, Coherent and relevant speech, Delusion of Infidelity, delusions of persecution and a fixed Capgras delusion, believing Her Husband is not her Husband, he is looking like him but not the same, and Grade 0 insight.\nResults: She was treated with Clozapine 150mg/day and Amisulpride 200mg/day underwent 8 ECT sessions over three weeks, resulting in complete resolution of her misidentification delusion and overall symptom improvement.\nConclusion: This case highlights Capgras syndrome as a dominant psychotic theme in schizophrenia, occurring independently of an organic substrate. It underscores the importance of recognizing delusional misidentification and demonstrates that targeted antipsychotic treatment and ECT can effectively resolve the symptoms.\n\n\n### Electrocardiographic findings in children with neurodevelopmental disorders: A cross-sectional study\nD. C. Monith, N. Prasanna Kumar1\nAndhra Medical College, Government Hospital For Mental Health, 1Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Neurodevelopmental disorders (NDDs), including Autism Spectrum Disorder (ASD), Attention-Deficit/Hyperactivity Disorder (ADHD), and Intellectual Developmental Disorder (IDD), are associated with neurobiological and autonomic nervous system alterations. These autonomic influences may extend to cardiac conduction and repolarisation, potentially manifesting as electrocardiographic (ECG) changes. Children with NDDs are frequently exposed to psychotropic medications, some of which are known to affect ECG parameters such as heart rate and QTc interval. Despite these considerations, systematic data describing routine ECG findings in children with NDDs, particularly from Indian clinical settings, remain limited.\nAim: To assess and describe electrocardiographic changes and determine the prevalence of conduction abnormalities in children diagnosed with neurodevelopmental disorders.\nMethods: This cross-sectional observational study will be conducted at a tertiary care teaching hospital. Children aged 5-16 years with clinically diagnosed NDDs, as per DSM-5/ICD-11 criteria, will be recruited consecutively. Sociodemographic details, clinical diagnoses, symptom severity measures, comorbidities, and medication exposure will be recorded. Each participant will undergo a standard 12-lead resting ECG. ECG parameters assessed will include heart rate, cardiac rhythm, PR interval, QRS duration, QT and corrected QT (QTc) intervals, cardiac axis, and wave morphology. ECG findings will be analysed descriptively, and subgroup analyses will be performed across diagnostic categories and medication status. Conclusion: This study aims to characterise ECG profiles in children with neurodevelopmental disorders and provide clinically relevant data to inform cardiac monitoring practices. Findings from this study may help guide safer psychotropic medication use and support the development of evidence-based screening strategies in child and adolescent psychiatric settings.\n\n\n### An uncommon adverse cutaneous reaction to valproic acid in a patient with bipolar affective disorder\nMridul Aggarwal\nNetaji Subhash Chandra Bose Medical College, Jabalpur, Madhya Pradesh, India\nA 31-year-old female diagnosed with Bipolar Affective Disorder, current manic episode with psychotic symptoms (F31.2, ICD-10) was started on valproic acid up to 1500 mg/day, risperidone 8 mg/day, and lorazepam 2 mg SOS. After 10 days, she developed diffuse erythematous rashes, later forming blisters and erosions with fever. Valproic acid was discontinued immediately, and dermatological evaluation confirmed Stevens-Johnson Syndrome. The patient improved with supportive care and was subsequently maintained on lithium 600 mg/day and risperidone 4 mg/day, remaining clinically stable thereafter.\n\n\n### Repetitive transcranial magnetic stimulation through iTBS protocol in catatonic patients: A case series\nMritunjay Khandelwal\nPGIMER, Chandigarh, India\nBackground: Catatonia is a neuropsychiatric syndrome that arises from disrupted connections between the frontal lobes (OFC, PFC), limbic system (amygdala, hypothalamus), and basal ganglia. This Fronto-limbic dysfunction leads to the characteristic motor and emotional disturbances. rTMS is a non-invasive technique which stimulates these brain areas and is an emerging treatment for refractory catatonia.\nAim: To present four patients with catatonia who received rTMS sessions through iTBS protocol.\nCase Presentation: Four patients (three females, age between 13-41 and one male aged 22) diagnosed with catatonia secondary to various diagnoses such as Schizophrenia, Huntington disease, OCD, Phelan-McDermis syndrome who were not responding to lorazepam and had contra-indications for ECT were assessed. Intermittent theta burst stimulation (iTBS), a patterned rTMS was delivered (ranging between 15-20 sessions) using the Magventure B70 coil (1200 pulses each session at 80% RMT) targeting the left DLPFC(F3). BFCRS score (pre-rTMS between 5-17 and post rTMS between 1-12) average reduction score was by 7 points. One patient with organic catatonia continued to receive maintenance iTBS as relapse was observed after 2 weeks. Rest continued to maintain improvement of their symptoms.\nConclusion: iTBS over left DLPFC has shown remarkable improvement in catatonic symptoms. Most of the literature used conventional rTMS in catatonia. While iTBS protocol has widely been used in depression and bipolar disorder, to our knowledge, this is the first case reports of using iTBS protocol in catatonia.\n\n\n### Psychiatric onset in kufor-rakeb syndrome\nV. Mugilarasi, W. J. Alexander Gnanadurai, S. J. Daniel\nDepartment of Psychiatry, Government Kilpauk Medical College Hospital, Chennai, Tamil Nadu, India\nIntroduction: Kufor-Rakeb Syndrome (KRS) is a rare genetic neurodegenerative disorder, typically presenting with early-onset parkinsonism, cognitive decline, and eye movement abnormalities. Psychiatric symptoms have been reported but are rarely as initial manifestation.\nCase Report: We describe a 32-year-old woman, born of a consanguineous marriage, who initially presented with mania like symptoms such as irritability, excessive talk, disturbed sleep, and aggression. She was diagnosed with first-episode mania and started on standard treatment, but her condition worsened. Over time, she developed tremors, rigidity, and progressive cognitive decline. Despite multiple psychiatric treatments, her symptoms persisted and her mobility deteriorated, eventually requiring a wheelchair. Neuro-imaging revealed frontal and parietal brain atrophy. Genetic testing confirmed a homozygous ATP13A2 mutation, leading to a diagnosis of Kufor-Rakeb Syndrome. She did not show the classic eye movement problems often seen in KRS. We started her on Divalproex sodium 250 mg 1 BD, her irritability and increased talk decreased in the following weeks and now she is on regular follow up.\nConclusion: This case represents a phenotype of a rare syndrome( Kufor-Rakeb syndrome), characterized by mania-like symptoms, executive dysfunction, and late-onset dystonia-parkinsonism. Notably, the patient lacked oculomotor abnormalities, classical parkinsonian tremor, significant dysarthria, and basal ganglia iron accumulation on MRI, all of which are hallmark features of KRS.This case reinforces the need to consider organic etiologies in psychiatric presentations with atypical features.\n\n\n### The role of HRV and RSA in psychiatry\nS. P. Murugappan\nUltimate Brain Clinic, Chennai, Tamil Nadu, India\nThe workshop brings to light the role of breathing on cognition/ emotion. Breath determines the neural oscillations directly/indirectly. Decline in diaphragmatic function correlates with cognitive function. Nasal inhalation (stimulates olfactory bulb) influences the network related to learning, memory and behaviour. Olfactory system is connected to limbic system and hippocampus directly. The type of respiratory rhythm (depth of breath, number of breaths, speed of breath) creates different neural excitations on different areas of the brain. Nasal inhalation (stimulates olfactory bulb) influences the network related to learning, memory and behaviour. Olfactory system is connected to limbic system and hippocampus directly.\nHeart rate Variability (HRV) and Respiratory Sinus Arrhythmia (RSA) together have a major role in wellness and psychiatry. HRV is an index of autonomic balance (vagal tone) and a non- invasive biomarker of stress related systems and vulnerability to stress. The Central Autonomic Network (CAN) and vagus play a major role in cognition and emotion involving many brain regions.\nNeural signatures of HRV are noted in a number of conditions like ASD, Schizophrenia and panic disorder. The workshop will reveal a method to a harmonious being, that can be achieved within by synchronising brain, breath and heart wave by right breathing. The workshop will guide as to the right method of breathing to achieve a holistic wellness. And improve resilience on all spheres.\n\n\n### When metabolism mimics mind: Neuropsychiatric manifestations of diabetes\nMuskan, Bhagwat Rajput, Harish Kumar\nWorld College of Medical Sciences, Jhajjar, Haryana, India\nBackground: Diabetes Mellitus (DM) is increasingly recognized as a systemic disorder with significant neuropsychiatric implications. Chronic hyperglycemia, impaired insulin signaling, neuroinflammation, oxidative stress, and microvascular injury contribute to cognitive, emotional, and behavioral disturbances. Psychiatric manifestations may precede, mimic, or complicate classical medical presentations, often leading to diagnostic challenges.\nCase 1: A 73-year-old woman with long-standing Type 2 DM presented with subacute onset of behavioral changes including irritability, apathy, disorientation, sleep disturbance, impaired self-care, and skin-picking behavior over 2-3 months. The presentation resembled behavioral variant frontotemporal dementia; however, fluctuating cognition, absence of early language deficits, and a relatively rapid course suggested a secondary etiology. Investigations revealed severe uncontrolled hyperglycemia (HbA1c 14.8%), anemia, and active infection. In accordance with ICD-11, the clinical picture was consistent with a neurocognitive disorder due to another medical condition. Multidisciplinary management with glycemic optimization and psychiatric intervention led to significant clinical improvement, indicating partial reversibility.\nCase 2: A 16-year-old girl with Type 1 DM presented with diabetic ketoacidosis following deliberate insulin omission and food restriction driven by body-image concerns. Psychiatric evaluation revealed features suggestive of an emerging insulin-omission eating disorder (diabulimia), highlighting the interaction between metabolic dysregulation and adolescent psychopathology.\nConclusion: These cases illustrate the broad neuropsychiatric spectrum of diabetes, ranging from reversible cognitive-behavioral syndromes in the elderly to high-risk behavioral psychopathology in adolescents. Early psychiatric involvement and integrated multidisciplinary care are essential to prevent misdiagnosis and improve outcomes.\n\n\n### The laughing seizure – A diagnostic challenge in ASD and ADHD: A case report\nMuskan Bansal, Chinar Sharma, Deepak Kumar\nInstitute of Human Behaviour and Allied Sciences, New Delhi, India\nBackground: Gelastic epilepsy is a rare seizure subtype presenting with sudden, inappropriate laughter. In children with Autism Spectrum Disorder (ASD) and Attention Deficit Hyperactivity Disorder (ADHD), such episodes may be misinterpreted as behavioural disturbances, delaying diagnosis. The challenge increases when developmental history is normal and neuroimaging is unremarkable.\nAims: To illustrate the diagnostic complexities associated with gelastic seizures in patient presenting with comorbid ASD and ADHD, highlighting the importance of multidisciplinary evaluation to differentiate epileptic from non-epileptic phenomena.\nMethods: A comprehensive developmental, psychiatric, and neurological evaluation was performed. EEG and MRI brain were obtained. Behavioural and attentional features were assessed using clinical diagnostic criteria. Treatment response was monitored after initiation of antiseizure and behavioural interventions.\nResults: A 5-year-old boy with normal developmental milestones presented with recurrent, unprovoked laughter lasting 1-2 minutes, along with poor eye contact, reduced interaction, solitary play preference, and hyperactivity. Clinical assessment confirmed ASD and ADHD. EEG showed theta background activity with generalized very high-voltage paroxysmal discharges predominantly in bilateral frontal and temporal regions. MRI brain was normal. Findings were consistent with gelastic-like seizure episodes. Following antiseizure medication and behavioural therapy, the frequency of episodes reduced and social engagement improved.\nConclusion: Gelastic-like seizures should be considered in children with ASD and ADHD who present with sudden, inappropriate laughter, even when development is normal and MRI is unremarkable. EEG plays a key role in diagnosis, and early multidisciplinary intervention can significantly improve clinical outcomes.\n\n\n### Echoes of distress: A rare encounter with misophonia\nMuskan Goyal, S. Kiran Kumar\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Misophonia is an emerging clinical entity characterized by disproportionate emotional reactions such as irritation, anxiety, or distress to specific sounds. It is not yet formally classified in major diagnostic systems like ICD-11 or DSM-5, and evidence regarding effective pharmacological management remains limited.\nAim: To describe the clinical presentation and early treatment response in a patient with misophonia managed in an outpatient psychiatric setting.\nMethods: A 28 years old male patient presented to the psychiatry OPD with complaints of irritation, anxiousness on hearing specific sounds(chewing,sniffing,ticking etc). Symptoms had been present for several years and were associated with significant distress and impairment in daily activities. There was no history of psychiatric illness, substance use, seizures, or major medical comorbidities. Mental status examination was unremarkable except for marked emotional reactivity when describing exposure to trigger sounds. No obsessive thoughts or compulsive behaviors were reported. Routine blood investigations were within normal limits, and MRI brain showed no structural abnormalities.\nResults: The patient was started on fluoxetine along with short-term clonazepam. At the first follow-up, after 2 weeks, the patient reported 20-30% improvement in distress. Sleep and baseline anxiety also showed improvement, and no adverse effects were noted.\nConclusion: This case illustrates the clinical presentation of misophonia in an outpatient setting and demonstrates a modest early response to fluoxetine. Although evidence-based pharmacological treatments for misophonia remain scarce, selective serotonin reuptake inhibitors may provide benefit in reducing associated emotional distress. Further research is needed to develop standardised guidelines.\n\n\n### Idiosyncratic self-excoriation and trichotillomania in intellectual developmental disorder: A case report\nNagalapuram Jeevan Rishi, Jyostna Bhukya\nDepartment of Psychiatry, Andhra Medical College, Government Hospital for Mental Care, Visakhapatnam, Andhra Pradesh, India\nBackground: Obsessive-Compulsive Related Disorders (OCRDs), including trichotillomania and excoriation disorder, may present atypically in individuals with Intellectual Developmental Disorder (IDD). Cognitive limitations can modify symptom expression, leading to idiosyncratic, symbolic, and potentially self-injurious behaviors that pose diagnostic and therapeutic challenges.\nAim: To highlight atypical hair-pulling and skin-picking behaviors in IDD and examine the clinical rationale for using low-dose selective serotonin reuptake inhibitors (SSRIs).\nMethods: A 20-year-old female with moderate IDD presented with irritability, sleep disturbance, anger outbursts, hair pulling, and repetitive cheek picking over several months, resulting in a 6 Ã— 3 cm excoriated lesion. The behavior was often performed in front of a mirror, with the patient using a razor blade to create symbolic patterns resembling the letter B,which she showed to others. These repetitive, tension-relieving behaviors were consistent with body-focused repetitive behaviors. She had comorbid hypothyroidism on treatment. Pharmacological management included lithium carbonate, aripiprazole, and quetiapine, with persistent obsessive-compulsive features. Fluoxetine 20 mg/day was added to target the obsessive-compulsive dimension.\nResults: Following initiation of fluoxetine, there was a marked reduction in hair-pulling and skin-picking behaviors within three days.\nConclusion: This case emphasizes early recognition of OCRDs with trichotillomania and excoriation disorder in individuals with IDD. Targeting the underlying obsessive-compulsive mechanisms with SSRIs can result in rapid and significant improvement. Awareness of atypical presentations in neurodevelopmental disorders is essential for effective intervention and improved quality of life.\n\n\n### Clinical efficacy of leucovorin in children with autism spectrum disorder: Insights from a preliminary observational study in India\nNabanita Sengupta, Deepak Gupta, Riya Sharma, Sanjana Abrol\nCenter For Child and Adolescent Well Being, New Delhi, India\nBackground: Autism Spectrum Disorder (ASD) is a complex neurodevelopmental condition with limited pharmacological options targeting core symptoms. Abnormalities in folate metabolism, including cerebral folate deficiency, have been linked to ASD pathophysiology. Leucovorin (folinic acid), a reduced form of folate, has shown potential in improving communication and cognition n in children with ASD. On September 22, 2025, the FDA recognized Leucovorin as a promising molecule for managing ASD symptoms. However, clinical data from Indian settings remain limited.\nAim: To evaluate the clinical outcomes of Leucovorin supplementation in children with ASD based on parental reports and clinical observation.\nMethods: Ninety six children diagnosed with ASD were observed over a 13 month period (July 2024 to August 2025) in a clinical setup. Leucovorin was administered orally, titrated from 7.5 mg to 45 mg daily based on clinical response. Data were obtained through parental feedback and clinician observations, without the use of standardized assessment tools, making this an exploratory observational study.\nResults: Out of 96 children, 47(48.95%)showed improvements in speech and communication, 43(44.79%)improvement in comprehension and cognitive engagement, 18(18.75%) improvement in behavioral regulation, 20(20.83%) showed improved eye contact, while 21(21.87%) experienced worsening of sensory symptoms.\nConclusion: Leucovorin shows promising benefits in speech, comprehension, and behavior in children with ASD. Despite limitations due to the absence of standardized assessment tools, these preliminary findings support the need for larger, controlled studies in Indian clinical settings.\n\n\n### To describe a case of mixed - type delirium resulting from precipitated opioid withdrawal successfully managed with low - dose haloperidol\nNahida Mohd, Rakesh Banal\nGMC, Jammu, Jammu and Kashmir, India\nBackground: Precipitated opioid withdrawal occurs when an opioid antagonist, such as naltrexone, displaces an opioid agonist or partial agonist(eg; buprenorphine) from receptors, leading to an abrupt onset of withdrawal .Although it typically presents with autonomic and somatic symptoms, delirium is a rare but clinically significant complication.\nAims: To describe a case of mixed -type delirium resulting from precipitated opioid withdrawal successfully managed with low- dose haloperidol.\nMethods: A 38-year old male with one year history of opioid dependence had remained abstinent for 2 months and had intermittently taken buprenorphine. During psychiatric evaluation, he underwent a naloxone challenge test and was initiated on tab naltrexone 25mg subsequently increased to 50mg daily. while on naltrexone for 6 days, he ingested buprenorphine obtained from a friend. soon after he developed severe body aches, rhinorrhea, altered sensorium, visual hallucinations and psychomotor agitation. He was brought to psychiatry hospital, referred to emergency department to exclude alternative causes of delirium, there was no history of head trauma, seizure disorder, medical illness or surgical intervention. NCCT head and baseline investigations were normal, UDS was negative. MSE revealed disorientation and irrelevant speech, symptoms consistent with mixed-type delirium.\nResults: The patient received haloperidol 2.5mg IM, followed by oral haloperidol 0.5mg twice daily. Over 2 days, he regained orientation, and behavioral disturbances resolved. He was discharged in a stable condition.\nConclusion: This case underscores that precipitated opioid withdrawal can, in rare instances, present with mixed-type delirium. Early recognition, appropriate detoxification protocols and timely intervention can ensure favorable outcomes.\n\n\n### When words fail, silence heals\nNamrata Kumar, Kumari Rina\nAll India Institute of Medical Sciences, Kalyani, West Bengal, India\nBackground: Selective Mutism is an anxiety-related childhood disorder characterized by consistent failure to speak in specific social situations despite normal speech in comfortable settings. Early recognition and structured behavioral interventions play a crucial role in improving communication and functional outcomes.\nCase Description: A 7-year-old girl studying in Class 1, with normal development and a slow-to-warm-up temperament, presented with persistent inability to speak with teachers, peers, and unfamiliar individuals despite fluent speech at home. In clinical settings, she maintained eye contact but demonstrated marked anxiety and complete verbal inhibition.\nIntervention: A multimodal treatment plan combining behavioral strategies centered around play-based defocused communication and fluoxetine (titrated to 20 mg/day) was implemented. Initial sessions were characterized by non-verbal engagement through writing. Over subsequent months, the child displayed progressive gains approaching the therapist, participating in play activities, smiling spontaneously, and later initiating voice messages through digital platforms. She gradually began using gestures with shopkeepers and developed limited verbal communication with familiar relatives and peers.\nOutcome: The child showed enhanced social engagement and selective verbalization within familiar environments, though persistent non-verbal behavior continued with unfamiliar adults. Ongoing therapy aims to facilitate generalization of speech across broader social contexts.\nConclusion: This case highlights the clinical value of sustained behavioral therapy using defocused communication, combined with pharmacotherapy, in enhancing communication and reducing anxiety in children with Selective Mutism. Early intervention and consistent reinforcement across settings are essential for functional recovery.\n\n\n### A case report of ketamine in treatment of resistant obsessive compulsive disorder with suicidal ideations\nNeeharika Sakhamuri, Amit, Divya Reddy\nMamata Medical College, Khammam,Telangana, India\nA 25-year-old unmarried male from Wyra came to the psychiatry outpatient department. He had OCD for the past 4 years and had been taking medicines for 1 year, including fluvoxamine, clomipramine, olanzapine, lithium, and clonazepam. Despite treatment, he continued to have repeated worries about his grandmother’s health, frequent checking by phone calls, unwanted sexual thoughts, fear of harming the family’s reputation, low mood, and suicidal thoughts.\nDiscussion: The patient was given ketamine injection 50 mg, diluted in 100 ml, through intravenous infusion over 1 hour. After the first dose, he showed about 50% improvement in distressing thoughts and almost complete relief from sexual thoughts and suicidal ideas. He received two more weekly infusions. After three infusions, there was about 80% overall improvement, with very low OCD and depression scores, and no suicidal thoughts.\nConclusion: Ketamine infusion led to a fast and marked reduction in symptoms in this patient with treatment-resistant OCD and suicidal ideation, supporting results from earlier studies.\n\n\n### Partners in paranoia: A clinical portrait of shared delusional disorder\nNeelam, Sanjay Gehlot\nS. N. Medical College, Jodhpur, Rajasthan, India\nBackground: Shared Delusional Disorder (SDD), or folie Ã deux (ICD-11 6A24), is a rare psychiatric condition where a delusion is transmitted from one individual (the inducer) to another (the recipient) within a close relationship. It is often associated with social isolation and stress.\nAim: This case report aims to illustrate the clinical presentation, diagnostic challenges, and management difficulties inherent in SDD, especially when the individual causing the condition resists psychiatric intervention.\nMethods: We present the case of a 42-year-old male admitted with aggression, paranoia, and disturbed sleep. A detailed clinical interview was conducted with the patient and, separately, with his wife to assess the nature and shared belief of their delusional system.\nResults: The patient developed persecutory delusions post-marriage, believing colleagues were stealing data and uploading his wife’s photos online. His wife not only confirmed these beliefs but also elaborated on them, claiming she was also being blackmailed. She was identified as the primary inducer, with a history of similar pre-marital beliefs. Despite treatment initiation with risperidone and lorazepam for the patient, his wife insisted he was a victim of a conspiracy and took him home against medical advice, leading to premature discharge and treatment discontinuation.\nConclusion: This case highlights the critical importance of assessing both individuals in a dyad when SDD is suspected. It underscores a significant therapeutic challenge: successful treatment is often hindered if the inducing individual maintains the delusional system and rejects medical advice, potentially leading to poor outcomes and relapse.\n\n\n### Improving compliance with glasgow antipsychotic side effects scale monitoring for patients receiving depot antipsychotics: A two-cycle clinical audit\nNeelima Liz John, Susmitha Martha John1\nKent and Medway Mental Health NHS Trust, Gillingham, England, 1Believers Church Medical College Hospital, Thiruvalla, Kerala, India\nBackground: Systematic monitoring of antipsychotic side effects is essential for medication adherence and relapse prevention. Local Trust and NICE guidelines recommend use of validated rating scales such as the Glasgow Antipsychotic Side-Effect Scale (GASS), with completion at one month after initiating depot antipsychotics and at least every six months thereafter. A first audit cycle (2024) identified suboptimal adherence to these standards.\nAim: To re-audit compliance with recommended GASS monitoring for patients receiving depot antipsychotic injections in a community mental health team (CMHT) and assess changes following service adjustments.\nMethods: Using a retrospective review, 20 randomly selected CMHT patients receiving depot antipsychotics were assessed. Electronic notes (Rio) and uploaded specialist assessment forms were examined to determine whether GASS assessments were completed at the minimum six-monthly interval. Initial one-month post-initiation GASS assessments were excluded as most service users had commenced treatment prior to the first audit cycle.\nResults: In the first audit cycle, only 5% (1/20) of service users had GASS assessments completed at the recommended six-monthly interval. Following staffing improvements and increased awareness of guidelines, the re-audit demonstrated substantial improvement: 75% (15/20) of service users received GASS assessments every six months. Reasons for missed assessments were often undocumented.\nConclusions: Implementation of consistent processes and increased staffing led to marked improvement in compliance with GASS monitoring. Despite progress, documentation gaps and occasional patient refusal indicate further opportunities to strengthen adherence to Trust guidelines. Improved structured monitoring may positively influence medication adherence and clinical outcomes. A repeat audit is recommended in 12 months.\n\n\n### Opiod antagonism in atypical compulsion:A case report\nNeelima Majhi, Snigdha Awasthi, Sourav Khanra, Sanjay Kumar Munda\nCentral Institute of Psychiatry, Ranchi, Jharkhand, India\nBackground: Here we present a case of 34 year male who presented with compulsive eating and showed good response on naltrexone augmentation.\nAim: To examine neurobiological link between OCD and compulsive eating and its possible treatment with naltrexone\nMethods: A 34 yr old male was admitted with complaints of low mood,feeling uncomfortable,spending excessive time and money on novel food items and eating,irritability and anger outbursts since 12 years.patient had a long history of being treated with different SSRIs,mood stabilizers and amisulpride upto 300mg with minimal response. An initial diagnosis of dysthymia and eating disorder unspecified was made. Serial MSEs revealed depressive ruminations,just right phenomena,death wishes and referential ideas.Body image issues and food addiction were ruled out. Diagnosis was revised to other OCD and tab Fluoxetine was started. History and psychometric tests were suggestive of impulse disturbance,sadistic tendencies,feelings of rejection,inferiority and depression. Subsequently the eating and shopping behaviour was conceptualised as a form of disordered impulse control and Tab Naltrexone was started.\nResults: Patient’s compulsive behaviour and mood improved by 30-40% and was discharged on above medicine The adjunctive treatment helped in reduction of compulsive eating and guardians reported reduction in demanding behaviour in subsequent follow ups.\nConclusion: This case highlights intersection of impulsivity and compulsivity and how naltrexone can be used as a possible treatment option.\n\n\n### Gender based prevalence of hikikomori in Indian adolescents, an epidemiological study\nNeerja Gidwani, G. Prasad Rao, Chytanya Deepak, Amit Awasthi, Sahil Doshi\nAsha Hospital, Hyderabad, Telangana, India\nAim: To compare the prevalence of Hikikomori in male and female adolescents in India.\nBackground: Hikikomori refers to a pattern of severe and prolonged social withdrawal, in which individuals confine themselves to their homes and disengage from education, employment, and social interaction. Although originally identified in Japan, this phenomenon is now recognized across diverse cultural contexts and age groups. Recent shifts in lifestyle, increasing reliance on digital communication, and evolving family dynamics have been linked to heightened vulnerability to such withdrawal, particularly among adolescents and young adults. However, emerging evidence suggests that gender-related differences may also influence how social withdrawal is experienced and reported.\nMethods: A sample size of 220 adolescents out of which 129 were males 91 were females aged 15 to 19 years from urban and semi-urban educational institutions in Hyderabad. They were assessed using HQ-25 which is a 25-item self-report questionnaire.\nResults: Among 129 males, 45.7% met criteria for hikikomori, compared with 56.0% of 91 females. Hikikomori prevalence was higher in females in this sample.\nConclusion: This study is probably one of the firsts on Hikikomori to be conducted in India. Hikikomori has been historically found to be more prevalent in males, but this trend might be changing.\n\n\n### Investigating factors driving treatment resistance in late-life schizophrenia: A case series\nNeerupreet Kaur Dhillon, Harish Kumar, Bhagwat N. Rajput\nWorld College of Medical Sciences and Research and Hospital, Jhajjar, Haryana, India\nBackground: The management of treatment-resistant schizophrenia (TRS) in older adults remains an under-recognized challenge. Age-linked pharmacodynamic changes, cognitive decline, and multisystem comorbidities reduce antipsychotic responsiveness.\nObjective: To present clinical trajectories and therapeutic outcomes from a series of elderly TRS case reports in a tertiary setting.\nMethods: We present a series of individual case reports of elderly ( >60 years) patients with treatment-resistant schizophrenia, each showing inadequate response to two or more adequate antipsychotic trials. Clinical details including illness duration, symptom profile, past treatments, clozapine feasibility, and augmentation strategies were documented and compared to identify common patterns and management challenges.\nResults: All cases showed longstanding illness with persistent negative symptoms. Clozapine was tried in all cases, with variable degrees of response across individuals. Treatment required individualized titration due to heightened sensitivity to adverse effects and the presence of medical comorbidities.\n\n\n### Varicella-associated neuropsychiatric syndrome presenting with catatonia and prominent negative symptoms in a young adult: A case report\nNeha Srivastava, Subho Chakrabarti, Anshul Sharma\nPost Graduate Institute Of Medical Education and Research, Chandigarh, India\nBackground: Neuropsychiatric complications following varicella infection are well documented in children but under-recognized in adults. Emerging evidence suggests that immune-mediated mechanisms, including seronegative autoimmune psychosis, may underlie persistent affective and behavioral symptoms following viral infections.\nAim: To describe a young adult with chronic affective blunting, avolition, and catatonia following varicella infection, who demonstrated remarkable improvement with immunotherapy.\nCase Presentation: A 27-year-old male with no previous psychiatric history developed persistent social withdrawal and functional decline following a varicella infection in 2019. Over the next six years, he manifested prominent negative symptoms including avolition, anhedonia, social withdrawal, and poverty of speech, that were minimally responsive to antidepressants. He later presented with catatonic features in the OPD and showed complete resolution of catatonia following a lorazepam challenge, though his negative symptoms persisted. Extensive evaluation, including MRI brain, CSF analysis, and an autoimmune encephalitis panel, was unremarkable except for elevated VZV IgG, raising suspicion for autoimmune psychosis. He was subsequently treated with IV dexamethasone (8 mg/day for 3 days), after which he exhibited significant improvement in affect, speech initiation, and social engagement over 2-3 weeks.\nConclusion: This case highlights the need to consider post-varicella immune-mediated neuropsychiatric syndromes in patients with atypical negative symptoms and treatment resistance. Early immunomodulatory treatment may significantly alter the course of illness.\n\n\n### Unconscious midnight meals: Zolpidem-induced sleep-related eating disorder\nNeha Sumedh Shende, Nimisha Mishra, Sunil Ku Ahuja, Amrendra Kumar Singh\nShyam Shah Medical College, Rewa, Madhya Pradesh, India\nIntroduction: Zolpidem, a non-benzodiazepine hypnotic agent, is widely prescribed for the short-term management of insomnia. Although generally considered safe, it may trigger complex parasomnias, including sleep-related eating disorder (SRED), a rare but clinically significant phenomenon. Due to limited awareness and diagnostic challenges, such presentations may be misinterpreted as primary eating disorders or malingering.\nMethodology Background: A 35-year-old woman with chronic insomnia was prescribed zolpidem 5 mg at bedtime. After initiation of treatment, she developed recurrent nocturnal episodes of eating uncooked food items without awareness. Family members directly observed these episodes, while the patient had no recollection the following morning.\nRoutine physical and laboratory investigations were unremarkable. There was no prior history of binge eating, substance use, or psychiatric illness.\nO/E: Patient was conscious, cooperative, and oriented. General physical examination and systemic evaluation were normal. Mental status examination revealed no perceptual abnormality, thought disorder, or mood disturbance.\nClinical Course: The temporal association with zolpidem initiation, absence of daytime abnormal eating behaviours, and eyewitness accounts were key clinical clues. On discontinuation of zolpidem and reinforcement of sleep hygiene, the episodes completely resolved.\nConclusion: Zolpidem can induce complex parasomnias such as SRED, which may closely mimic primary psychiatric or eating disorders. Careful history taking, collateral information from family, and temporal relationship with hypnotic use are crucial for diagnosis. Recognition of such drug-induced phenomena has important therapeutic and medico-legal implications.\n\n\n### Unconscious midnight meals: Zolpidem-induced sleep-related eating disorder\nNeha Sumedh Shende, Nimisha Mishra, Sunil Ku Ahuja, Amrendra Ku Singh\nShyam Shah Medical College, Rewa, Madhya Pradesh, India\nIntroduction: Sleep-Related Eating Disorder (SRED) is a parasomnia characterized by recurrent episodes of involuntary eating and drinking during partial arousals from sleep. While often idiopathic, it can be secondary to medications, particularly Zolpidem, a non-benzodiazepine hypnotic used for insomnia. Recognition is crucial to avoid misdiagnosis as a primary eating disorder or malingering.\nCase Description: A 35-year-old woman with chronic insomnia was prescribed Zolpidem 5 mg at bedtime. Shortly after initiation, she began experiencing recurrent nocturnal episodes of eating unusual, often uncooked food items (e.g., raw grains) without any conscious awareness. These episodes were directly observed by family members, while the patient had complete amnesia for the events the following morning. There was no prior history of eating disorders, substance use, or psychiatric illness.\nExamination and DiagnosticsExam: Patient was conscious, cooperative, and fully oriented. General physical and systemic examinations were normal.\nMental Status Examination: Revealed no perceptual abnormalities, thought disorder, or mood disturbance.\nInvestigations: Routine blood tests (CBC, metabolic panel) were unremarkable.\nDiagnosis: Zolpidem-Induced Sleep-Related Eating Disorder, based on the clear temporal link to drug initiation and eyewitness corroboration.\nManagement and Outcome: Zolpidem was immediately discontinued, and sleep hygiene measures were reinforced. The nocturnal eating episodes ceased completely following the withdrawal of Zolpidem. No other pharmacological intervention was required. The patient remained symptom-free at follow-up, confirming the drug-induced etiology.\n\n\n### A hyperthyroid mind: Psychosis revealing thyrotoxicosis\nNehal Kejriwal\nRajarajeswari Medical College and Hospital, Bengaluru, Karnataka, India\nBackground: Thyrotoxicosis, most commonly due to Graves’ disease, is a hypermetabolic state resulting from excess thyroid hormones. While symptoms like weight loss, palpitations, heat intolerance, and tremors are common, neuropsychiatric manifestations such as psychosis and cognitive impairment are rare but clinically significant. Early identification is essential, as these presentations may obscure the underlying endocrine disorder.\nCase: A 55-year-old female was brought to a tertiary care center with C/o urinating and defecating in appropriate places alongside marked behavioral changes like irritability, forgetfulness, and inability to perform daily activities like cleaning and cooking, over past three months. Psychiatric evaluation revealed fearfulness, increased psychomotor activity, disorientation, memory impairment, apathy, and poor judgment. Systemic examination showed exophthalmos, dry skin, tremors, and significant weight loss. Endocrinology reference and assessment revealed elevated T3 and T4 with suppressed TSH levels and increased thyroid vascularity, confirming thyrotoxicosis. Anti-thyroid therapy with beta-blockers was initiated for adrenergic symptom control. Concurrently, low-dose antipsychotics were started to manage psychotic and behavioral manifestations. Gradual clinical and cognitive improvement was observed with normalization of thyroid function.\nDiscussion: This case highlights the rare presentation of thyrotoxicosis-associated psychosis, which can mimic primary psychiatric illness. Literature emphasizes management through antithyroid therapy to restore euthyroidism, beta-blockers for symptomatic relief, and judicious short-term use of antipsychotics for behavioral control. In this patient, the multidisciplinary approach involving endocrinology and psychiatry led to complete recovery, reinforcing the importance of early recognition and integrated care in such atypical endocrine-psychiatric presentations.\nKey words: Cognitive impairment, multidisciplinary management, neuropsychiatry manifestations, psychosis, thyrotoxicosis\n\n\n### BDNF gene polymorphism in patients with bipolar affective disorder - A pilot study\nNikhita Shettar, Raghavendra B. Nayak, Vijay Yenagi\nDharwad Institute of Mental Health and Neurosciences, Dharwad, Karnataka, India\nBackground: The brain-derived neurotrophic factor (BDNF) gene on chromosome 11p13 has several SNPs linked to bipolar disorder. Patients show reduced BDNF levels, making it a potential biomarker. The rs6265 (Val66Met) polymorphism involves a Val†’Met substitution at codon 66, impairing BDNF secretion and activity. Another BDNF variant, rs1048218, has been associated with depressive disorders, further highlighting BDNF’s role in mood pathology.\nObjective: To study BDNF gene SNPs in bipolar disorder.\nMethods: Study was conducted in tertiary level psychiatric teaching institute, single centre study. 31 adults (aged 18-45 years) with bipolar disorder diagnosed as per ICD-11 criteria, irrespective of sex, were genotyped using sanger sequencing for two BDNF single-nucleotide polymorphisms (rs1048218 and rs6265) :5 ml blood sample was collected for genetic analysis. Scales used for assessment: Hamilton Depression Rating Scale, Young Mania Rating Scale.\nResults: In the final data comprising 31 samples, sequence analysis revealed that rs6265 exhibited a C†’A substitution in 5 (16%) individuals and a C†’T substitution in another 5 (16%) individuals. At the rs1048218 locus, 3 (10%) individuals showed a C†’G nucleotide change. Collectively, 13 of the 31 samples (42%) demonstrated SNP variations across the two loci analysed.\nConclusions: More than 2/3rd had BDNF gene polymorphism, suggesting potential contributory factors in bipolar disorder. As this was a pilot study, the findings highlight the need for further research focusing on BDNF-related genetic variants.\n\n\n### Folie a deux in a long term marital dyad\nNikita Anand, M. Raghuram\nVarun Arjun Medical College, Banthra, Uttar Pradesh, India\nIntroduction: Folie Ã deux, also known as shared psychotic disorder, is an uncommon psychiatric phenomenon in which a dominant individual with psychosis influences a closely connected partner to adopt identical delusional beliefs. Most often observed in relationships marked by emotional dependence and social isolation. Conjugal cases are rare and frequently overlooked, leading to delays in diagnosis. This case report describes a married couple who developed shared persecutory delusions, emphasizing clinical characteristics and therapeutic implications. Materials and Methods This descriptive case report was prepared using comprehensive psychiatric interviews, mental-status examinations, collateral information from family members, and review of available medical records. Diagnostic impressions were formed using ICD-11 and DSM-5 guidelines. Standard physical and neurological evaluations were conducted along with routine laboratory tests to exclude organic etiologies. Clinical progress was assessed during an inpatient admission where the couple was temporarily separated and treated individually. Results The husband, later identified as the primary patient, had longstanding untreated psychotic symptoms characterized by persecutory delusions involving neighbours and relatives. Over time, his wife who had no past psychiatric illness began sharing the same delusional system. The couple had minimal social contact outside their household, and the wife exhibited marked emotional dependence on her husband. During hospitalization, separation of the pair resulted in a rapid decline in the wife’s delusional conviction, accompanied by improved insight with supportive psychotherapy. The husband required antipsychotic medication, which produced partial symptom relief. No significant medical or neurological abnormalities were detected in either individual.\n\n\n### A comparative analysis of the social jetlag, cognitive reactivity and associated sleep related characteristics between medical students living in campus and those living off campus\nNileena Namboodiripad Kakkattu Mana, Priscilla Johnson, E. J. Sree Kumar, D.C. Mathangi, Dhaarini Srikanth\nSri Ramachandra Medical College and Research Institute, SRIHER, Chennai, Tamil Nadu, India\nBackground: Social jetlag, a misalignment between one’s chronotype and social timing, has been liked to a wide range of physical and mental health condition particularly depression, anxiety, cognitive deficits and substance use. Studies exploring mental health of medical students particularly have shown higher burden of depression, anxiety and mental stress compared to non-medical peers. While prior work emphasizes academic, financial, and personal stressors, this study focuses on how residence type may affect sleep quality and depressive vulnerability.\nAims: (1)To identify the chronotypes and its effects on the sleep quality and cognitive reactivity of undergraduate medical students. (2) To compare the above effects on off campus and on campus undergraduate medical students.\nMethods: The study was conducted in a medical college in South India. Data collected included demographic questionnaire which includes age, sex, year of undergraduate training, residence type (on/off campus), substance use, marital status, etc. Munich Chronotype Questionnaire was used to measure social jetlag. Morningness-Eveningness scale was used to identify the chronotype. Leiden Index of Depression Sensitivity-Revised was used to explore cognitive reactivity. Pittsburgh Sleep Quality Index was used to quantify sleep quality.\nResults: The sample consisted of mostly females, hostellers and intermediate chronotypes. Evening chronotypes had significantly greater (p<0.01) social jetlag. No significant difference in social jetlag between day-scholars and hostellers. Vulnerability to depression seen significantly associated with sleep quality (p= 0.02) rather than social jetlag or residence.\nConclusions: Later chronotypes experience more social jetlag. Poorer sleep quality is associated with higher Leiden depression sensitivity.\n\n\n### Shadows of the self: Personality pathways to recurrent depression - A case report\nNiranjan Singh Bhayal, Kenil Jagani\nPDU Medical College, Rajkot, Gujarat, India\nBackground: Personality pathology, particularly dependent and borderline traits, can significantly influence the onset, course, and treatment outcome of depressive disorders. Such individuals display heightened sensitivity to rejection, poor autonomy, and emotional instability, increasing vulnerability to recurrent depression.\nCase Presentation: A 25-year-old male with a four-year history of recurrent depressive episodes presented with low mood, anhedonia, fatigue, and social withdrawal. Episodes were precipitated by interpersonal stress, especially criticism from authority figures and family. During acute phases, he would experience dissociative episodes involving disorientation, language switching, and transient psychotic-like experiences for which he was diagnosed as Major Depressive Disorder with psychotic features in previous admission. On further detailed evaluation we found premorbidly, he demonstrated dependent and borderline personality traits, including excessive reassurance seeking, unstable self-image, affective instability, and fear of abandonment.\nManagement and Outcome: With Desvenlafaxine 100 mg, Fluoxetine 60 mg and Olanzapine 7.5 mg, no improvement was perceived. A revised regimen of Fluoxetine 40 mg and Alprazolam 0.75 mg with gradual withdrawal of Desvenlafaxine and Olanzapine, combined with assertiveness and vocational therapy and parental psychoeducation focusing on communication and reducing overprotection, led to marked improvement- approximately 70% reduction in depressive symptoms and full remission of dissociative episodes.\nConclusion: This case highlights how personality pathology can perpetuate depressive illness through maladaptive coping and emotional instability. An integrated, individualized approach combining pharmacotherapy with targeted psychotherapeutic strategies can effectively break this cycle, fostering long-term remission, autonomy, and improved psychosocial functioning.\n\n\n### Immersive technologies in addiction psychiatry: Clinical applications and evidence from India\nNishtha Budhiraja\nWundrsight Health, Bengaluru, Karnataka, India\nAddiction psychiatry is entering a new era where immersive technologies are reshaping assessment and intervention. Virtual Reality (VR) enables safe and controlled simulation of high-risk environments, offering unique opportunities to address craving and relapse mechanisms. This symposium presents translational work from the National Drug Dependence Treatment Centre (NDDTC), AIIMS, New Delhi, focusing on the development and clinical testing of VR-based cue exposure therapy for alcohol dependence. The centerpiece study is a single-blind pilot feasibility trial (n = 16) comparing two immersive interventions: ReliefXR, a relaxation-based module providing calming, non-alcohol environments, and ReviveXR, a cue-exposure module combining ReliefXR with controlled alcohol-related simulations for coping and resistance training. Preliminary findings indicate that the combined approach (Relief + ReviveXR) was well tolerated and showed greater reductions in craving and improved adherence compared to ReliefXR alone. Additional presentations will discuss the neurobiological rationale for immersive therapy, the design of culturally valid virtual environments, and ethical and regulatory considerations in deploying digital therapeutics for addiction care in India. Together, these sessions aim to highlight the scientific, clinical, and implementation pathways for integrating immersive technologies into psychiatric treatment frameworks.\nKey words: Alcohol dependence, cue exposure therapy, digital therapeutics, ReliefXR, ReviveXR, virtual reality\n\n\n### Patterns of poisoning in suicidal attempts: A forensic perspective\nNithin David\nDepartment of Forensic Medicine And Toxicology, AJ Institute of Medical Sciences and Research Centre, Mangalore, Karnataka, India\nEmail: drnithindavid@gmail.com\nBackground: Suicidal poisoning is a significant public health problem in India, largely influenced by the easy availability of toxic substances. Identifying patterns of poisoning is essential for effective clinical management, medico-legal interpretation, and suicide prevention.\nObjectives: To study the demographic profile, types of poisons used, and medico-legal outcomes in cases of suicidal poisoning from a forensic perspective.\nMaterials and Methods: A retrospective analysis of alleged suicidal poisoning cases referred for medico-legal evaluation and autopsy at a tertiary care center was conducted. Data regarding age, sex, type of poison, source of access, survival period, and cause of death were analyzed using hospital records, police inquest reports, and forensic toxicology findings.\nResults: Young adults constituted the majority of cases, with a male predominance. Agricultural pesticides, particularly organophosphates and aluminum phosphide, were the most commonly used agents, followed by pharmaceutical drugs. Higher mortality was associated with highly toxic compounds and delayed medical intervention.\nConclusion: Readily accessible pesticides remain the predominant agents in suicidal poisoning. Regulatory control, early intervention, and mental health support are vital, with forensic evaluation playing a key role in prevention strategies.\nKey words: Forensic toxicology, medico-legal analysis, pesticides, suicidal poisoning\n\n\n### Unresolved elevation: Therapeutic challenges and treatment outcomes in chronic mania as an early-onset bipolar phenotype\nNithin S. Gowda, Roshan V. Khanande, Ruchira Das\nCentral Institute of Psychiatry, Ranchi, Jharkhand, India\nBackground: Chronic mania, defined as persistent manic symptoms for >2 years without remission, affects 13-15% of bipolar disorder patients. Young-onset chronic mania often presents with refractory clinical courses, imposing significant therapeutic burdens and functional impairment. Limited Indian data exists on pragmatic management approaches for this presentation.\nAims: To characterize the treatment challenges in young-onset chronic mania, highlighting clinical phenomenology and polypharmacologic interventions.\nCase Presentation: A 19-year-old unmarried male from Jharkhand, India, with no significant psychiatric family history, presented with a 2-year, 6-month continuous history of increased energy, over-talkativeness, overfamiliarity, wandering behavior, disinhibited behavior, and sleep disturbance. Illness onset followed a trivial febrile illness, without neurological complications. Routine blood investigation, TFT, and NCCT brain were unremarkable. Trials of a combination of valproate 1700 mg, olanzapine 30 mg, risperidone 8 mg, and aripiprazole 30 mg, along with lithium 600 mg augmentation, over 1 year yielded an inadequate response with emerging extrapyramidal symptoms. A diagnosis of other manic episodes was made according to ICD-10 and other bipolar type 1 disorders as per ICD-11.\nManagement and Outcome: On the latest admission, combination therapy with lithium 1200 mg, haloperidol 15 mg, and amisulpride 1000 mg reduced the YMRS score from 39 to 18 at discharge. Carbamazepine 800 mg was added without further benefit, alongside family psychoeducation and behavioral interventions. At a recent follow-up, carbamazepine was stopped and clozapine 100 mg was initiated, leading to improved disinhibition and reduced extrapyramidal symptoms.\nConclusion: Young-onset chronic mania requires early recognition, rational polypharmacy, and multidisciplinary management.\n\n\n### Diagnostic dilemma between delusional OCD and sexual tactile hallucinations in a patient with OCD with poor insight: A case report\nNiveda Ramesh\nK S Hegde Hospital, Mangalore, Karnataka, India\nBackground: Obsessive-compulsive disorder (OCD) with poor insight may clinically overlap with primary psychotic disorders particularly when sexual obsessions and tactile hallucinations are present. Differentiating delusional level obsessions from true hallucinations remains crucial for guiding appropriate management.\nAims: To illustrate the diagnostic challenges in distinguishing delusional OCD from sexual tactile hallucinations in a young woman presenting with intrusive sexual fears, bodily sensations and poor insight.\nCase Summary: A 23-year old unmarried woman presented with 7 year history of intrusive sexual fears, repetitive doubts of uttering something sexual and sending inappropriate signals that men would act sexually towards her along with palpitations and vomiting episodes . She reported sensations of semen moving up the genital areaand vibration-like experiences which occurred even when men weren’t around leading to compulsive rubbing, tapping, checking and fear of being recorded or being monitored by men. These features favoured OCD with poor insight coexisting with unspecified psychotic features .On MSE along with obsessions and compulsions, ideas of persecution, misinterpretation, tactile hallucinations with impaired personal judgement and poor insight (2/6).She was treated with fluoxetine(80mg), desvenlafaxine (150mg), aripiprazole(5mg), Trifluperazine(10mg) with less improvement of symptoms.\nResults: The symptom phenomenology, conviction, distress, compulsions, and perceptual disturbances were analysed to determine predominant psychopathology and associated YBOCS scale scoring 23(moderate),BPRS scale scoring 63 (severe).\nConclusion: This case highlights the complexity of differentiating delusional OCD from sexual tactile hallucinations. Careful phenomenological assessment, insight evaluation, and treatment response patterns are essential to avoid misdiagnosis and optimise management in such overlapping presentations.\n\n\n### Unveiling the silent shift: emerging female alcohol use disorders in rural Kerala – A dual case illustration\nPabina Pius Puthur, Sheena Varughese, Joice Geo\nPushpagiri Institute of Medical Sciences, Tiruvalla, Kerala, India\nAlcohol use among women in India is undergoing a silent yet significant transformation, influenced by rapid sociocultural shifts, evolving gender roles, and changing access patterns. Kerala, despite high literacy and health indices, continues to report concerning rates of alcohol-related morbidity, though research specific to women remains sparse. We present two clinical cases highlighting the emerging trend of alcohol use disorder among women in rural Kerala.\nCase 1: A 37-year-old married postgraduate tuition teacher from rural Pathanamthitta with a one-year history of progressive alcohol consumption presented with irritability, sleep disturbances and withdrawal symptoms. Her average drink was 5-7 units of brandy, reinforced by household availability through her alcohol-dependent father. Clinical evaluation showed tremors, icterus and elevated liver enzymes. She was managed with benzodiazepine-assisted detoxification and thiamine, following which she maintained abstinence at one-month follow-up.\nCase 2: A 26-year-old 12th failed unmarried unemployed woman from rural Alappuzha started using alcohol over two months, consuming average of 3 units of rum at a local studio under external social influence, showing increased frequency, impaired judgement and reduced appetite. She underwent inpatient detoxification and remained abstinent on follow-up. These cases mirror research from Assam, Karnataka, Telangana and Bengaluru showing increasing female alcohol consumption, preference for locally brewed or discreetly available alcohol, and specific gender-linked psychosocial vulnerabilities. The findings emphasize the urgent need for gender-sensitive screening, early primary-care identification, culturally informed preventive interventions and stigma-free access to addiction services. Strengthening awareness, community education and multidisciplinary care holds promise for reducing long-term consequences among women.\n\n\n### Dissociation in disguise: Unpacking conversion and PNES in seizures - like episodes - Case series analysis\nPalak Kaur, Shakshi Srivastava\nWellbeing Mind and Body Clinic, Amritsar, Punjab, India\nEpileptic seizures and PNES are frequently difficult to differentiate, as PNES represent manifestations of dissociative or conversion disorders that closely resemble epileptic events. Shared clinical features such as brief unresponsiveness, involuntary motor movements, or sensory alterations often lead to misdiagnosis. Consequently, individuals are commonly prescribed anti-epileptic medications unnecessarily, while appropriate psychological intervention is delayed. PNES arise from involuntary dissociative mechanisms through which psychological distress is expressed in the form of discrete physical episodes.\nThe present study aimed to examine the misinterpretation of dissociative symptoms as neurological conditions, particularly seizure-like episodes, and to identify common factors contributing to diagnostic confusion across thirty clinical cases.\nA detailed review of 30 clinical case records was conducted, incorporating medical histories, neurological evaluations including routine and prolonged EEG monitoring, and structured psychological assessments. Each case was analyzed for symptom onset, associated stressors, diagnostic trajectory, and final clinical formulation. Standardized dissociation measures and structured interviews were utilized to aid diagnostic clarification.\nResults revealed that patients frequently presented with seizure-like symptoms, including shock-like sensations, transient paralysis, sensory disturbances, or brief episodes of unresponsiveness. These presentations prompted extensive neurological investigations and multiple trials of anti-epileptic drugs, despite consistently normal EEG and neurological findings. Subsequent psychological evaluations confirmed that these episodes reflected dissociative mechanisms consistent with conversion symptomatology or PNES.\nIn conclusion, distinguishing dissociative episodes from epileptic seizures remains challenging due to overlapping clinical features. Early psychosocial screening and trauma-informed assessment are essential for improving diagnostic accuracy and treatment outcomes.\n\n\n### Psychiatric presentation of cerebellopontine angle tumor:A case report\nPallavi Dnyanoba Narhare, Harshali More1\nJJ Hospital, 1GGMC, Mumbai, Maharashtra, India\nBackground: Brain tumors may initially present with psychiatric symptoms, leading to misdiagnosis as primary psychiatric disorders. Symptom patterns vary depending on tumor type, laterality, and involvement of surrounding neural structures. Right-sided cerebellopontine angle (CPA) tumors have occasionally been linked to psychotic features, but literature remains limited.\nAims: To present a case where psychotic symptoms co-occurred with neurological complaints and were later found to be associated with a right Cerebellopontine angle tumor epidermoid tumor, and to emphasize the need for careful evaluation of physical symptoms in psychiatric practice.\nMethods: A 29-year-old woman was assessed through detailed clinical history, mental status examination, physical examination, and neuroimaging (CT and MRI). Her longitudinal course, treatment response, and progression of neurological symptoms were reviewed.\nResults: The patient initially presented with suspiciousness toward family members, fearfulness, muttering to herself, reduced sleep, irritability, and poor self-care. She showed partial improvement with antipsychotic and mood stabilizer medications. However, persistent headaches and dizziness continued, and later she developed imbalance while walking, slurring of speech, and drooling of saliva. CT brain showed an ill-defined hypodense lesion in the right thalamocapsular, temporal, and cerebellar regions with mass effect. MRI revealed a large extra-axial lesion in the right CPA region, likely an epidermoid tumor.\nConclusion: Complete neurological examination and appropriate neuroimaging need to be considered in patient presenting with atypical psychiatric symptoms and coexisting physical signs and symptoms.\n\n\n### Hidden beneath the spectrum: A rare co-occurrence of autism spectrum disorder in a case of duchenne muscular dystrophy\nPaloma Dey, Manish Kumar Mahato1\nCalcutta National Medical College, 1Jagannath Gupta Institute of Medical Sciences and Hospital, Kolkata, West Bengal, India\nBackground: Duchenne muscular dystrophy (DMD) is an X-linked recessive disorder caused by mutations in the dystrophin gene, leading to progressive muscle weakness. Neurodevelopmental comorbidities, including autism spectrum disorder (ASD), occur in 15-45% of DMD cases due to dystrophin deficiency in the brain. Early recognition is challenging when motor delays mask or mimic ASD features.\nAims: To describe the clinical presentation, diagnostic process, and implications of co-occurring ASD and DMD in a preschool-aged child, highlighting the importance of multidisciplinary assessment.\nMethods: A detailed case history, clinical examination, developmental assessment, neurological examinations were conducted. Basic laboratory investigations, creatine kinase (CK) levels, genetic testing for dystrophin gene mutations were performed.\nResults: The child presented with limited eye contact, delayed speech, restricted interests, and deficits in social reciprocity. Parents reported frequent falls, difficulty climbing stairs, and toe walking over the preceding year. Examination revealed Gowers’ sign positive calf muscle hypertrophy and proximal muscle weakness. ASD was confirmed using DSM-5-TR criteria. CK levels were markedly elevated, and DMD gene testing identified a pathogenic deletion in the dystrophin gene, confirming Duchenne Muscular Dystrophy. Early pharmacotherapy, physiotherapy, behavioral interventions, and family psychoeducation were initiated.\nConclusion: This case highlights the importance of thorough neuromotor examination in children presenting with suspected ASD, especially with speech delay and motor clumsiness. Early identification of DMD enables timely genetic counselling, corticosteroid initiation, and multidisciplinary management, potentially improving quality of life and functional outcomes in this rare but significant comorbidity.\n\n\n### Seven steps of yoga psychotherapy for managing emotional dysregulation in mental illness\nPandit Devjyoti Sharma\nMann Urja Clinic, Bhuj, Gujarat, India\nBackground: Seven steps of yoga psychotherapy methods can be used at any time for relieving distress of the person suffering from negative affectivity.\nAims: Seven steps of yoga psychotherapy are used for relieving distress and improving functioning & QOL by improving the ability to manage and control one’s- emotions to adapt to situations.\nMethods: Seven steps of yoga psychotherapy methods have been developed by combining eastern yoga philosophy with the western evidence based psychotherapies.\nParticipants start practicing these seven steps sequentially by:\n1. Relaxing body through movement meditation or Asana (postures)\n2. Calming mind through deep breathing or pranayama (breath control)\n3. Observing non-judgmentally that what is happening with thoughts, feelings and experiences without labelling them as good or bad, right or wrong, which reflects acknowledging experiences as they are without automatically reacting\n4. Accepting emotions as they are and developing awareness that emotions are not permanent and tolerating such temporary emotions gracefully and allowing emotions to pass out calmly without reacting them\n5. Practicing Loving-kindness instead of criticizing Self and consciously responding to situations more thoughtfully\n6. Analysing the emotions to find out their origin by identifying contributing factors that develop and maintain those emotions\n7. Modifying distressing emotions provides a sense of control by modifying the intensity and duration of an emotion.\nResults: Participants adaptively manage negative feelings and regulate their emotions effectively.\nConclusion: Above seven steps involve moment meditation, control breathing, mindfulness attention, loving kindness and develops self awareness for emotional regulation.\n\n\n### A rare case of mephentermine dependence syndrome in a young adult: Clinical course and management\nPankaj Gaurav, Puneet Khanna, Pankaj Kumar Sharma\nBase Hospital Delhi Cantt, New Delhi, India\nBackground: Mephentermine is a sympathomimetic amine indicated for acute hypotension. Reports of its non-medical use or dependence are extremely limited despite its amphetamine-like properties. Early identification of mephentermine-related stimulant use disorder is challenging due to low clinician awareness.\nAim: To describe the clinical presentation, dependence pattern, psychosocial context, and management of a rare case of mephentermine dependence syndrome.\nMethods / Case Description: A 27-year-old male soldier with no past psychiatric history developed intravenous mephentermine use at age 25 for experimentation under peer influence. Initial intermittent use progressed to compulsive daily consumption (60-90 mg/day) by late 2024. The patient exhibited craving, tolerance, loss of control, withdrawal dysphoria, and continued use despite physical and interpersonal harm. He experienced two abstinent periods (maximum 40 days) but relapsed due to cue-induced craving and high positive outcome expectancy. Family history was significant for paternal alcohol use disorder. Mental status examinations consistently showed anxious affect with preserved cognition and no psychosis. Drug screen was initially positive for opioids/benzodiazepines, later negative; investigations were otherwise normal.\nResults: He was admitted for detoxification and diagnosed with Dependence Syndrome due to other stimulants (mephentermine). Management included motivational enhancement therapy, psychoeducation, group therapy, and relapse-prevention training. Anti-craving medication was initiated. Serial assessments showed no drug-seeking behaviour. He achieved voluntary abstinence and entered the preparation stage of change.\nConclusion: This case highlights the addictive potential of mephentermine, an under-recognized stimulant. Increased clinical vigilance, structured psychosocial interventions, and early relapse-prevention strategies are essential for favorable outcomes.\n\n\n### Psychiatrists’ EEG-informed study of self-transcendence in empathic listening assessments: Towards spiritual-psychiatry pedagogy\nParameshwaran Ramakrishnan1,2\n1The AdiBhat Foundation of India, New Delhi, India, 2Tower Health Phoenixville Psychiatry, Drexel University College of Medicine, PA, USA\nBackground: Empathic listening (EL) assessments in psychiatry and chaplaincy are believed to induce self-transcendent experiences. However, neuroscientific studies of it are sparse.\nAim: To report a methodology for electroencephalogram-based objective correlations of self-transcendent experiences among care providers (psychiatrists and chaplains) and their care recipients during empathic listening assessments.\nMethodology: Nine participants (2 EL-trained clinicians, a psychiatrist and a chaplain, and 7 untrained students: 4 medical, 3 theological) engaged in empathic listening across 12 dyads. Trained providers led six intervention dyads; untrained student-led dyads served as controls in the remaining six. Sessions averaged 34.3 minutes (SD = 4.25). Pre-/post-session wellness was measured using the Visual Analog Scale (VAS). EEG data (Delta-Gamma bands) were recorded via Muse® headsets during all sessions. Qualitative data were analyzed using autoethnography and grounded theory.\nResults: EL in trained-provider dyads demonstrated the mindfulness-to-transcendence (MT) framework, characterized by sequential alpha-theta-gamma EEG activity. Gamma predominance, marking self-transcendence, correlated with self-reported awe and healing experiences. Gamma synchronization (with 0-1 minute lag), indicative of the we-modeor non-dual empathic state, was observed in all trained-dyads. Care recipients in the trained-dyads showed significantly higher post-session VAS well-being scores (p < 0.001) compared to controls. Control-dyads lacked sustained gamma activity and neural synchrony, paralleling muted subjective experiences.\nConclusion: Portable EEG devices offer a viable method for the evidence-based study of self-transcendence and its healing in EL assessments in psychiatry and chaplaincy. EEG correlates demonstrating connectedness, empathy, and transcendence supports an evidence-based approach to spiritually informed psychiatric assessment and care.\n\n\n### Belly dancer’s syndrome due to tardive dystonia: A case report\nPariniti Khillan, Porimita C. Gogoi\nPGIMER, Chandigarh, India\nBackground: Dystonia is a syndrome of sustained, often painful muscular spasms, producing repetitive, twisting movements, or abnormal postures, that develop following exposure to antipsychotic medication. Acute Dystonia develops within 5 days following antipsychotic exposure and responds rapidly to medication whereas the tardive form develops within weeks to months of antipsychotic exposure. Truncal dystonia is characterized by involuntary contractions and postures of the paraspinal, abdominal, and chest muscles, sometimes referred to as belly dancer syndrome. Aim To describe the case of a 40 year, old male with bipolar type one disorder since 15 years, presenting with involuntary truncal and abdominal movements since 2 months and discuss challenges in management. Methods: Patient presented to the outpatient department of a tertiary care hospital. Clinical assessment, relevant investigations, and standardized rating scales were used. Results: Despite chronic progressive dystonic posturing at baseline, the patient showed gradual improvement over 8 weeks following initiation of GABA analogues and anticholinergic medications. Mood stabiliser and antipsychotic were continued to prevent recurrence of mania. Dystonia resolved gradually over 8 weeks and a manic relapse at 10 weeks required cautious uptitration of antipsychotics under anticholinergic cover, with sustained remission of both manic and extrapyramidal symptoms over 4-5 months.\nConclusions: Identification of and appropriate management of abnormal involuntary movements with judicious antipsychotic use and anticholinergic protection allowed safe control of mania with reduction in disabling dystonic movements.\n\n\n### A case of autoimmune encephalitis with predominant negative catatonic features\nParth Gunvant Kumar\nGMERS Medical College and Hospital, Himmatnagar, Gujarat, India\nBackground: Autoimmune encephalitis (AE) is an under-recognized cause of acute psychiatric presentations in adolescents. Early psychiatric symptoms may obscure evolving neurological pathology and delay appropriate diagnosis.\nAim: To describe a case of AE presenting predominantly with psychiatric and negative catatonic features.\nMethods: A case-based clinical evaluation was conducted using detailed psychiatric and neurological assessments, laboratory investigations, brain MRI, and CSF analysis.\nResults: A 17-year-old female presented with a 15-day history of acute-onset fearfulness and restlessness for 2 days, followed by reduced speech output, poor oral intake, staring, posturing, gait disturbance, and hypersalivation. There was no history of fever, headache, vomiting, neck rigidity, photophobia, seizures, or other significant physical symptoms. Baseline blood investigations and MRI were normal. Trials of lorazepam up to 12 mg/day for 4 days for catatonia and low-dose amisulpride with fluoxetine for 10 days produced no improvement. CSF analysis revealed elevated protein with normal glucose and cell counts, and NMDA receptor antibody testing was negative. Based on the clinical presentation, AE was suspected. The patient was transferred to ICU and treated with intravenous methylprednisolone (1 g/day for 5 days), resulting in significant improvement in speech, oral intake, mobility, and overall responsiveness.\nConclusion: Adolescents presenting with acute-onset negative catatonic symptoms without clear medical causes should be evaluated for AE. Early recognition and timely immunotherapy can markedly improve clinical outcomes.\n\n\n### Enhancing clinical competence among medical interns in psychiatry through the doctor-learner method: A pilot study\nPartik Kaur, Mamta Singla\nChristian Medical College, Ludhiana, Punjab, India\nIntroduction: Traditional clinical teaching often relies on passive observation, limiting students’ opportunities for meaningful engagement and skill development. The Doctor-Learner (DL) method promotes active student participation in real clinical environments under supervision. This study evaluated the effectiveness of the DL method in enhancing the clinical diagnostic skills of medical interns in psychiatry.\nMethods: A prospective interventional study was conducted in the Department of Psychiatry after ethical approval. Thirteen medical interns were selected through convenience sampling. Four psychiatry faculty members and one biostatistician participated. Interns were trained in the DL method and followed a structured checklist covering history-taking, differential diagnosis, treatment planning, obtaining consent, ordering investigations, maintaining notes, administering scales, counseling, and preparing discharge summaries under supervision. Learning outcomes were assessed using pre- and post-tests (MCQs and viva voce). Data were analyzed using SPSS version 29.0. Feedback from interns and faculty was collected via a validated questionnaire.\nResults: Post-test scores showed a statistically significant improvement in diagnostic skills (p < 0.001). Over 90% of interns found the method feasible and enriching, citing improved understanding of psychiatric conditions and diagnostic confidence. Faculty reported enhanced teaching quality, student engagement, and motivation. Both groups supported integrating the DL method into routine clinical teaching.\nConclusion: The Doctor-Learner method is a feasible and effective approach to clinical education in psychiatry, bridging theory and practice while enhancing diagnostic and communication skills. Larger, multi-centric studies are recommended to validate and standardize this method.\n\n\n### Key-in-lock syndrome: The interplay of conditioning, mood, and urinary control\nPayal Tulsan, Sankalp Jain\nSir Ganga Ram Hospital, New Delhi, India\nBackground: Key-in-lock syndrome is a rare and often overlooked form of urinary incontinence in which certain environmental cues trigger a sudden and uncontrollable urge to pass urine. Such presentations are particularly uncommon in elderly individuals without any detectable neurological or urological disorder.\nAims: This case report aims to describe an unusual presentation of key-in-lock syndrome precipitated by visual and auditory water-related stimuli, and to highlight the contribution of conditioning, anxiety, and depressive symptoms to its progression.\nMethods: We evaluated a 74-year-old woman who presented with stimulus-bound urinary urgency and incontinence. A comprehensive psychiatric assessment, detailed mental status examination, standardized rating scales, physical and neurological examinations, and appropriate laboratory and imaging investigations were undertaken to exclude organic pathology. Management included psychoeducation, behavioural interventions, pharmacotherapy, and supportive psychotherapy.\nResults: Detailed evaluation with standardized rating scales revealed mild to moderate anxiety, moderate depression. Following four weeks of combined behavioural and pharmacological treatment, she showed marked improvement, with a reduction in urinary episodes, improved mood, and better social engagement.\nConclusion: This case emphasizes key-in-lock syndrome as a conditioned and potentially reversible phenomenon, significantly influenced by psychological factors. Early recognition and a holistic biopsychosocial approach can result in meaningful symptom relief and reduce associated emotional distress and functional impairment in elderly patients.\n\n\n### Departmental or depart-mental: How stores quietly guide your thoughts and choices\nPayal Tulsan, Rajesh Goyal\nSir Ganga Ram Hospital, New Delhi, India\nBackground: Departmental stores are designed environments that influence consumer cognition, emotion, and behavior through the application of psychological principles. Drawing on cognitive, behavioral, and social psychology, retail settings utilize sensory stimuli, spatial organization, and choice architecture to shape attention and decision-making, often outside conscious awareness. From a psychiatric perspective, these mechanisms parallel processes involved in reinforcement, impulse control, habit formation, and reward processing.\nAim: To examine the psychological principles embedded in departmental store design and their influence on consumers’ thoughts, emotions, and purchasing behavior.\nMethods: A narrative review was conducted using standard psychiatry and psychology textbooks, including the Comprehensive Textbook of Psychiatry and Morgan’s Psychology, supplemented by selected literature from consumer psychology and behavioral economics. Common retail strategies were identified and mapped onto established psychological constructs such as conditioning, priming, heuristics, social influence, and affective modulation.\nResults: Departmental stores consistently employ sensory priming, strategic product placement, limited-choice frameworks, and social proof. These techniques increase dwell time, enhance positive affect, reduce cognitive load during decision-making, and promote impulsive and unplanned purchasing behavior.\nDiscussion: Retail environments function as applied psychological settings that subtly engage cognitive biases and emotional vulnerabilities. Understanding these influences has relevance for mental health, particularly in relation to compulsive buying behavior and impulse-control difficulties. Awareness of the psychological design of retail spaces may support more mindful consumer choices.\n\n\n### Cotard’s syndrome as a rare presentation of lewy body dementia\nPayal Tulsan, Soumya Tandon\nSir Ganga Ram Hospital, New Delhi, India\nBackground: Lewy body dementia (LBD) is a neurodegenerative disorder marked by fluctuating cognition, recurrent visual hallucinations, rapid eye movement (REM) sleep behavior disorder, and marked antipsychotic sensitivity. Psychiatric symptoms may precede cognitive decline. Cotard’s syndrome, characterized by nihilistic delusions, is an exceptionally rare presentation in LBD and may obscure the underlying organic pathology.\nAims: To report a rare case of Cotard’s syndrome as the initial psychiatric manifestation of LBD and to emphasize the need to consider organic etiologies in late-onset psychotic depression.\nMethods: A comprehensive clinical evaluation, including mental status examination, cognitive screening, laboratory investigations, structural neuroimaging, and functional neuroimaging, was conducted in a 64-year-old female presenting with severe depressive symptoms, nihilistic delusions, visual hallucinations, and cognitive decline. Treatment response and follow-up were documented.\nResults: Pharmacological management with rivastigmine (3 mg), venlafaxine (50 mg), and low-dose quetiapine (12.5 mg) resulted in partial improvement in mood, nihilistic delusions, sleep, and oral intake, with minimal improvement in cognitive functioning on follow-up.\nDiscussion: This case highlights an atypical psychiatric presentation of LBD in which severe depression with nihilistic delusions and hallucinations masked the underlying neurodegenerative process, posing a diagnostic challenge. In the absence of early parkinsonian signs or structural imaging abnormalities, the presentation closely mimicked a primary psychiatric disorder. Functional neuroimaging played a crucial role in establishing the diagnosis. The case underscores the importance of vigilance for organic causes in late-onset psychosis and the cautious use of antipsychotics in suspected LBD to prevent adverse outcomes.\n\n\n### Beyond intoxication: Psychosocial impairments in an undiagnosed case of adult ADHD\nPayal Tulsan, Soumya Tandon\nSir Ganga Ram Hospital, New Delhi, India\nBackground: Attention-deficit/hyperactivity disorder (ADHD) is a neurodevelopmental disorder characterized by persistent patterns of inattention and/or hyperactivity-impulsivity that interfere with functioning or development. Although commonly identified in childhood, ADHD frequently persists into adulthood and is associated with significant psychosocial impairments. When unrecognized, these difficulties may contribute to maladaptive coping strategies, including substance use, leading to acute clinical presentations.\nAim: To highlight psychosocial impairments associated with ADHD through a case of acute alcohol intoxication in a young adult.\nMethods: A 20-year-old male presenting to the emergency department with acute alcohol intoxication underwent a detailed psychiatric evaluation, including developmental history, mental status examination, and collateral information from family members, to assess for underlying ADHD and associated psychosocial difficulties.\nResults: The patient met diagnostic criteria for ADHD, with symptoms present since childhood but previously undiagnosed. Significant psychosocial impairments were identified, including academic underachievement, impulsivity, interpersonal conflicts, low self-esteem, and association with high-risk peer groups. Polysubstance use (alcohol, tobacco, cannabis, heroin) appeared to serve as a maladaptive coping mechanism for emotional dysregulation and social difficulties.\nDiscussion: This case underscores the psychosocial burden of untreated ADHD and its association with early substance use. Emergency presentations offer crucial opportunities for identification and comprehensive intervention.\n\n\n### Evaluation of the efficacy of rTMS in reducing suicidal ideations in patients with depression\nPeddesugari Harika, T. V. Pavan Kumar, Raj kiran Donthu\nNRI Academy of Medical Sciences, Guntur, Andhra Pradesh, India\nBackground: Suicidal behaviours are a major global public health concern, accounting for 1.3% all deaths worldwide. Pharmacological treatments and electroconvulsive therapy are the mainstays, but the acceptability and response depends on lot of patient factors. So, it is essential to explore alternative approaches for suicidal intervention. Repetitive Transcranial Magnetic stimulation, uses pulsed magnetic fields to influence cortical neuron membrane potentials, there by affecting brain metabolism and neural activity. This can lead to series of physiological and biochemical changes relevant to mood regulation and suicidality.\nAim: To evaluate the efficacy of rTMS in reducing suicidal ideation in patients with depression.\nMethods: This is a case series involving eight patients diagnosed with depression and rated using the Modified Scale for Suicidal Ideation and Montgomery Asberg Depression Rating Scale at two time-points, once beginning of rTMS after ten sessions. The data is represented as means, frequencies, standard deviations and visually represented using line graph.\nResults: Patients’ MADRS scores improved from a mean 29.5 (baseline, SD 2.8) to 2.25 (day 10, SD 2.4) and the MSSI scores improved from 18.61 (baseline, SD 0.6) to 0.87 (day 10, SD 1.2).\nConclusion: This study even though limited by the sample, demonstrates that rTMS when given along with pharmacotherapy, can augment and aid in clinical recovery with ten rTMS sessions. Robust evidence with larger sample, longer duration of follow-ups, and comparision with other modalities are required.\nKey words: Modified, suicidal ideation, transcranial magnetic stimulationdepression\n\n\n### Brief reactive sexual obsessions in a medical student: A case report\nPitta Samagnya, K. B. Ravi Kumar1\nGovernment Hospital for Mental Care, Andhra Medical College, 1Department of Psychiatry,Government Hospital for Mental Care,Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Reactive obsessions are short-duration, stress-triggered intrusive thoughts that arise in response to identifiable external stimuli. They differ from spontaneous (autogenous) obsessions in Obsessive-Compulsive Disorder (OCD), which occur without clear triggers and follow a persistent, chronic course. Early differentiation is essential to prevent misdiagnosis and unnecessary pharmacological intervention.\nAim: To report a case of brief reactive obsessions and clarify its differentiation from OCD.\nMethods (Case Summary): An 18-year-old female medical undergraduate with no past neuropsychiatric illness, no family history, and a premorbid personality without obsessive traits had no history of contamination fears, doubt obsessions, blasphemous thoughts, other sexual obsessions, and no compulsions. She presented with recurrent intrusive thoughts of male and female genital organs occurring continuously for two weeks, following one week of surgery postings in which she examined male and female sexual organs during physical examination. She experienced these thoughts in a continuous, recurrent pattern, which are unwanted, distressing, and ego-dystonic, with intact insight. There were no avoidance behaviours, mood symptoms, or functional impairment. Y-BOCS checklist and severity scores were within normal limits. Complete blood picture and thyroid function tests were normal.\nResults/Discussion: The presentation is consistent with brief reactive obsessions, characterised by sudden onset following a clear situational trigger, realistic content, preserved insight, absence of compulsions,spontaneous improvement . In contrast, autogenous obsessions in OCD tend to be trigger-independent, persistent, and often require treatment.\nConclusion: The patient was managed with psycho education,reassurance,stress-management using a watchful waiting approach. Recognising reactive obsessions helps avoid unnecessary treatment and reduces distress.\n\n\n### Smoke and insects: A rare case psychosis in late life\nPooja Meena, Harmanpreet, Om Prakash\nIHBAS, New Delhi, India\nIntroduction: Visual hallucinations in elderly individuals can arise from ocular pathology, sensory deprivation, or primary psychotic disorders. In patients with significantly reduced visual acuity, distinguishing Charles Bonnet-like hallucinosis from psychotic disorders is essential for appropriate management.\nCase Summary: Krishna, a 73-year-old widowed female from a lower-middle socioeconomic Hindu family in rural Uttar Pradesh, not formally educated and with no past psychiatric or substance history, presented with continuous visual hallucinations since April 2025. Her visual acuity was markedly impaired at 3/60 bilaterally, with a history of bilateral cataractsurgery 11 months earlier. From April to September 2025, she persistently saw insects crawling out of her eyes. From September onward, she reported visual hallucinations of smoke emerging from both feet, leading to sleep disturbance and nighttime attempts to shrug offthe smoke. Despite these symptoms, she exhibited no fear, irritability, confusion, or wandering, though her participation in daily household chores declined. Routine investigations and NCCT head were within normal limits.\nManagement: She received Risperidone 4 mg with partial improvement. On admission on 18/11/2025, the dose was increased to 6 mg/day, resulting in complete resolution of symptoms within one week.\nDiscussion: Although reduced visual acuity initially suggested sensory-deprivation hallucinosis, the continuous symptom pattern, fixed conviction, and robust antipsychotic response were more consistent with Psychosis Not Otherwise Specified (Psychosis NOS), presenting predominantly with visual hallucinations in late life.\nImplications: This case highlights the importance of integrating ophthalmological and psychiatric evaluation when assessing visual hallucinations in older adults, ensuring timely differentiation between ocular causes and psychosis.\n\n\n### Raising pressure, lowering mood: A case series on iih presenting as a mood disorder\nPote Shweta Prakash, P. Sai Kiran, N. Unajyothi\nGuntur Medical College, Guntur, Andhra Pradesh, India\nBackground and Aims: Idiopathic intracranial hypertension (IIH) is characterised by persistently elevated intracranial pressure without an identifiable structural or secondary cause. It predominantly affects obese women of reproductive age and commonly presents with headache, visual disturbances, and the potential risk of vision loss. Beyond its established neurological profile, emerging literature highlights that psychiatric manifestations particularly anxiety and depressive symptoms are highly prevalent in IIH and significantly impair functioning, though they often remain underrecognised.\nMaterials and Methods: A retrospective case series of individuals diagnosed with IIH who initially presented with prominent mood or anxiety symptoms.\nCase Reports: Case 1: A 12-year-old girl (BMI >25) presented with a 2-week history of headache and declining scholastic performance. She also developed low mood, reduced sleep, which improved with melatonin and anhedonia for 4 weeks, leading to a diagnosis of depression and initiation of antidepressants. Headache and visual complaints persisted, prompting ophthalmologic examination that revealed papilledema. Lumbar puncture confirmed raised intracranial pressure, and her symptoms improved post-procedure.\nCase 2: A 50-year-old woman with no psychiatric history presented with acute anxiety, palpitations, headache, and insomnia, with relief from zolpidem. A recent psychosocial stressor contributed to distress. Recurrent headaches and visual disturbances prompted ophthalmologic referral, which led to the identification of papilledema and elevated intraocular pressure. Neurological evaluation and lumbar puncture confirmed IIH/pseudotumour cerebri.\nDiscussion and Conclusion: These cases demonstrate that IIH may present predominantly with psychiatric symptoms such as depression, anxiety, or insomnia, overshadowing underlying neurological pathology. Awareness of IIH-related mood symptoms is essential to avoid misdiagnosis.\n\n\n### Sexual obsessions in a haemodialysis patient: A rare OCD presentation in ESRD\nPoulomi Ghosh\nPrasad institute of medical science and Hospital, Lucknow, Uttar Pradesh, India\nNeuropsychiatric disturbances are common in chronic kidney disease, including depression, delirium, and cognitive decline, but obsessive-compulsive symptoms are rarely described. The interaction between uremic biochemical derangements and psychiatric manifestations involves alterations in neurotransmitter balance, cortical excitability, and fronto-striatal functioning. Sexual obsessions in older adults, especially when fluctuating with hemodialysis cycles, represent a particularly unusual phenomenon.\nA 65-year-old woman with end-stage renal disease on maintenance hemodialysis developed recurrent, ego-dystonic intrusive sexual thoughts accompanied by distressing urges for intercourse. These symptoms caused marked functional impairment. Laboratory tests showed significantly elevated urea (186 mg/dL). A clear cyclical pattern emerged: obsessive symptoms worsened as urea accumulated between dialysis sessions and diminished briefly after dialysis. Mental status examination revealed preserved orientation and cognition, with prominent sexual obsessions. She was treated with sertraline, initiated at 25 mg/day and increased to 75 mg/day, achieving partial improvement. However, symptom variability continued to parallel biochemical changes, indicating that metabolic factors contributed substantially to her presentation.\nThis case illustrates the potential role of uremia-induced cortical hyperexcitability in generating OCD-like symptoms, particularly intrusive sexual cognitions. Uremic toxins such as guanidinosuccinic acid and indoxyl sulfate may disrupt serotonergic, dopaminergic, glutamatergic, and GABAergic pathways, contributing to dysfunction of the cortico-striatothalamo-cortical circuitry implicated in OCD. Transient improvement following dialysis supports the role of toxin clearance in restoring neurochemical balance, while the partial response to SSRIs underscores the relevance of serotonergic modulation. Recognition of atypical obsessive-compulsive phenomena in ESRD may enhance understanding of renal-brain interactions and guide integrated management strategies.\nKey words: Intrusive thoughts, neurotoxicity, uremia\n\n\n### Reigniting the aging brain: How ECT restores thought, emotion, and function in late life\nPoushali Dutta, U. Shrinivasa Bhat\nKSHEMA, Mangaluru, Karnataka, India\nBackground: Electroconvulsive Therapy (ECT) is an effective option for severe psychiatric conditions unresponsive to medications. In older adults, treatment is often complicated by comorbidities, drug interactions, and reduced medication tolerance. Modified ECT (MECT) provides a safe alternative in such situations. This report describes two late-life cases demonstrating substantial recovery following MECT.\nCase Presentation: Case 1: A 73-year-old woman with severe depression with psychosis and comorbid Parkinson’s disease, hypertension, and diabetes presented with low mood, crying spells, persecutory delusions, and passive death wishes. She showed poor tolerance and minimal response to multiple medications, including mirtazapine, clonazepam, and quetiapine, developing hyponatremia. She received 21 MECT sessions between December 2024 and October 2025, achieving gradual improvement in mood, irritability, social functioning, and complete resolution of psychotic features, with no significant adverse effects. She remains stable off medication.\nCase 2: A 74-year-old man with treatment-resistant psychosis exhibited religious delusions, auditory hallucinations, and disorganized behavior. Several antidepressant and antipsychotic trials resulted in inadequate response and intolerance. After 10 MECT sessions between October 2024 and October 2025, he showed marked reductions in delusions, improved thought organization, and better self-care, experiencing only brief post-ictal confusion. He also remains stable without medication.\nDiscussion: These cases highlight the safety, tolerability, and effectiveness of ECT in geriatric patients with complex medical and psychiatric conditions.\nConclusion: ECT remains a highly effective yet underutilized intervention in late-life psychiatry, offering rapid symptom relief by directly modulating brain circuits and avoiding pharmacologic limitations, especially in treatment-resistant or drug-intolerant geriatric depression and psychosis. For publication\n\n\n### From impulse control deficit to gastric pathology: A case of paediatric trichotillomania with trichobezoar formation\nPrabhjot Dhillon, Kiruthika\nMahatma Gandhi Medical College and Research Institute, Puducherry, India\nIntroduction: Trichotillomania (TTM) is a chronic impulse-control disorder characterized by recurrent, stereotyped hair-pulling causing traumatic alopecia. Approximately 20% of TTM patients develop trichophagia (hair ingestion), risking gastrointestinal trichobezoar formation. Paediatric-onset TTM has a prevalence of 1-2% with female predominance emerging during pre-adolescence. Neurobiologically, TTM involves cortico-striato-thalamo-cortical circuit dysfunction, characterized by heightened sensory responsivity preceding pulling episodes, followed by tension-reduction reinforcement establishing operant-conditioning mechanisms.\nCase Presentation: A 10-year-old female presented with one month of abdominal pain and decreased appetite. Palpation revealed a per-abdomen mass; imaging confirmed a gastric trichobezoar. Psychiatric evaluation disclosed three years of chronic scalp hair-pulling and trichophagia, preceded by mounting tension and unpleasant sensory phenomena relieved transiently post-pulling. No comorbid psychiatric disorders (intellectual disability, ADHD, depression, or other OCRDs) were identified. Behavioural phenotype assessment showed poor adaptability and negative affectivity.\nIntervention: Successful surgical trichobezoar removal was followed by Habit Reversal Training incorporating self-monitoring, competing response techniques (fist clenching, breathing exercises), and stimulus control. Parental psychoeducation focused on identifying triggering antecedents and reinforcing adaptive behaviours. Pharmacotherapy included Fluoxetine 10 mg/day.\nConclusion: This case illustrates the complex interplay of biological vulnerability, operant mechanisms, and psychosocial factors in paediatric TTM. It emphasizes the critical need for vigilance regarding medical complications from delayed behavioural recognition and essential psychiatric intervention throughout perioperative management to optimize outcomes and prevent recurrence.\n\n\n### Neuropsychiatric sequelae in a child with mitochondrial disorder- A case report\nPrachi Dixit, Neena Sawant1, Karishma Rupani, Utkarsh Mestri\nKEM, 1B. Y. L. Nair Charitable Hospital, Mumbai, Maharashtra, India\nIntroduction: Childhood-onset psychosis is rare and often poses diagnostic challenges, requiring extensive evaluation to rule out underlying organic or genetic causes. Mitochondrial disorders, although uncommon, can manifest with neuropsychiatric symptoms. This case highlights a child presenting with psychosis and behavioral abnormalities later found to have a pathogenic variant in the MT-ND6 gene, associated with mitochondrial disorders.\nCase: A 12-year-old male presented with a 4-year history of progressive aggressive and assaultive behavior, muttering and smiling to self, language regression, and cognitive decline, with worsening symptoms over the past 6 months. Initial investigations, including normal EEG and negative Wilson’s disease markers, did not reveal any neurological disorder. MRI of the brain showed a large arachnoid cyst in the left anterior temporal lobe, for which excision and right amygdalectomy were performed. Post-surgery, the patient’s behavior deteriorated further, and multiple trials of antipsychotics provided minimal improvement. A follow-up MRI revealed residual cyst and encephalomalacia in the left temporal region. Genetic testing via whole exome sequencing identified a pathogenic variant in the MT-ND6 gene, associated with mitochondrial encephalopathy and other neurodegenerative conditions. The child was managed symptomatically with antipsychotics for behavioral control and is under regular follow-up with psychiatry and genetic pediatrics.\nConclusion: This case underscores the importance of considering mitochondrial disorders, such as those related to MT-ND6 gene mutations, in the differential diagnosis of childhood onset psychosis, particularly in the presence of neurological findings. Early recognition and a multidisciplinary approach can help manage complex psychiatric and neurological manifestations effectively.\n\n\n### Striving and struggling: A qualitative study on the mental health impact of academic expectations and experiences of failure in adolescent students in Bengaluru\nK. Pradhyumna, Sharanabasappa\nSapthagiri Institute of Medical Sciences, Bengaluru, Karnataka, India\nBackground: Academic achievement in India is often tied to family pride and social status. Adolescents are particularly vulnerable to these pressures, as they navigate both external expectations and internal self-demands. While quantitative studies highlight the prevalence of stress and anxiety, fewer studies have explored adolescents’ lived experiences of academic expectations and failure.\nAim: To explore how academic expectations and perceived failureshape adolescents’ mental health and identity, and to identify themes of interpretation and internalization.\nMethods: Using community-based purposive sampling through word of mouth, adolescents who were currently studying were recruited. Data collection involved digitally recorded in-depth interviews, guided by a semi-structured questionnaire, and continued until thematic saturation was reached. All interviews were transcribed verbatim and analysed using Braun and Clarke’s six-step framework for thematic analysis.\nResults: A total of 11 adolescents shared their narratives. Seven overarching themes were identified: (1) The Weight of Expectations (self vs others), (2) A Double-Edged Sword: Pressure and Motivation, (3) Coping in the Shadows, (4) When Pressure Turns Inward: Mental Health Costs, (5) Becoming Someone Else: Identity under Pressure, (6) Dreaming of Another Life, and (7) The Unseen Adolescent: Need for Recognition Beyond Marks. Experiences reflected both adaptive resilience and maladaptive coping, with clear links to mood, sleep, confidence, and self-concept.\nConclusions: Academic expectations profoundly shape adolescents’ mental health and identity. While some pressures can motivate, unmet expectations often trigger distress, unhealthy coping, and erosion of self-worth. Interventions must shift from score-centric evaluation to holistic recognition of adolescents’ individuality.\n\n\n### Interictal psychosis and hyperreligiosity in an alcohol-dependent male with epilepsy: A case report\nK. Pradhyumna, Sharanabasappa\nSapthagiri Institute of Medical Sciences, Bengaluru, Karnataka, India\nBackground/Introduction: Interictal psychosis with hyperreligiosity is a rare phenomenon in epilepsy, particularly in patients with temporal and limbic dysfunction. These experiences, often linked with temporal lobe epilepsy (TLE), may occur alongside alcohol dependence and withdrawal, complicating diagnosis and treatment.\nMethodology: This case report integrates clinical data, neuroimaging, EEG findings, and a literature review to explore the interplay of epilepsy, hyperreligiosity, and substance use disorders.\nResults: A 38-year-old male presented with unusual religious behavior, delusions, and chanting following alcohol abstinence. MRI revealed thickening of the insular cortices bilaterally, likely contributing to emotional and behavioral dysregulation . EEG was normal. His hyperreligiosity included persistent prayers, delusions of divine communication-mystical experiences, and hallucinations. These symptoms aligned with interictal psychosis, supported by a history of alcohol withdrawal/generalized tonic-clonic seizures, and inconsistent adherence to antiepileptic therapy. Literature highlights the role of bilateral dysfunction and right temporal involvement in such cases.\nConclusions: This case emphasizes the need for multidisciplinary care, combining neurology, psychiatry, and addiction management. Neuroimaging findings suggest a structural basis for hyperreligiosity, underscoring the importance of recognizing these manifestations in epilepsy for accurate diagnosis and treatment.\n\n\n### Acute psychosis secondary to severe hypothyroidism: A case of myxedema psychosis\nPragati Suryakant Karande, Roshan Phillip\nGrant Government Medical College and Sir JJ Group of Hospitals, Mumbai, Maharashtra, India\nBackground: Severe hypothyroidism may rarely manifest with prominent psychiatric symptoms, including psychosis, paranoid delusions, hallucinations, and behavioral disturbances, collectively termed myxedema psychosis. These presentations are frequently misidentified as primary psychotic disorders, leading to delayed diagnosis and treatment.\nAims: To present a case of acute psychosis secondary to severe hypothyroidism and the importance of routine thyroid evaluation in individuals presenting with psychosis.\nMethods: A 50-year-old male with a known history of hypothyroidism, non-adherent to medication for five years, presented with a six to seven month history of irritability, disturbed sleep, persistent suspiciousness, muttering behavior, and physical aggression.There was no past or family history of mental illness.clinical assessment and relevant biochemical investigations were undertaken.\nResults: Thyroid function tests revealed severe hypothyroidism, with markedly reduced FT3 and FT4 levels and a TSH level exceeding 100 mIU/L. Thyroid ultrasonography showed an atrophied right lobe and a TIRADS IV nodule in the left lobe. A diagnosis of psychosis secondary to severe hypothyroidism was established after excluding schizophrenia, delusional disorder, and substance-induced psychosis. The patient was initiated on olanzapine, lorazepam as required, and levothyroxine 50 µg daily, along with supportive care. Over the subsequent days, he demonstrated significant improvement in irritability, suspiciousness, sleep, appetite, and a marked reduction in hallucinations and aggression.\nConclusion: Myxedema psychosis is an uncommon but reversible cause of acute psychosis. Early recognition and timely thyroid hormone replacement, supplemented with short-term antipsychotic therapy, lead to rapid clinical recovery.\n\n\n### Challenges in integrated management of depression in the midst of medical comorbidities\nPragya Verma, Fiona Mahapatro\nDY Patil School of Medicine, Navi Mumbai, Maharashtra, India\nBackground: Depression frequently coexists with medical illnesses, with MDD affecting nearly one in four patients with medical comorbidities. Lack of awareness about psychiatric symptomatology, stigma, and financial constraints delay diagnosis and treatment, worsening morbidity and quality of life. Integrating psychiatric care into routine medical services is essential for improving outcomes in this population.\nObjective: To present a case-based illustration highlighting effective strategies for managing depression in a patient with various medical comorbidities.\nMethods: A 34 year-old homemaker from a low socioeconomic background, admitted under Gynaecology for hemoperitoneum secondary to corpus luteal cyst rupture and with a history of RHD, was referred to Psychiatry for disturbed sleep. She underwent multiple hospitalisations, including an ICU stay. Serial clinical interviews helped the patient identify and acknowledge a broader constellation of symptoms beyond her initial complaint.\nResults: A diagnosis of PDD with MDD with anxious distress was made. Once medically stable, psychotropics were initiated- T. Escitalopram and T. Clonazepam, with dose titration based on symptom severity and medical status. Patient was counselled regarding illnesses and it’s course, mind-body interactions and coping strategies. Structured psychoeducation was provided for her family. Coordination between medical teams ensured safe management. Over follow-up, the patient achieved remission in symptoms, despite fluctuating medical status.\nConclusion: Depression may present subtly in individuals with other medical ailments; hence, detailed psychiatric assessment is warranted even on minimal indication, as integrated care significantly improves outcomes.\n\n\n### A rare presentation of factitious disorder in a 14-year-old boy: A case report\nPrajakta Pundlik Jamdade, Suhani Desai1\nVedantaa Institute of Medical Sciences and Excellency, Palghar, 1Vedantaa Institute of Medical Science Centre and Research Institute, Maharashtra, India\nIntroduction: Factitious disorder in children and adolescents is uncommon but clinically significant due to its complex presentation and diagnostic ambiguity. Patients deliberately produce or feign symptoms without external rewards, often driven by a need for attention, emotional support, or escape from stressful environments. Early identification is essential to avoid excessive investigations and to ensure appropriate psychiatric intervention.\nAim: To present a case of factitious disorder in a 14-year-old boy and highlight the clinical features, psychosocial factors, diagnostic challenges, and importance of timely management.\nMethodology: A detailed clinical assessment was conducted, including history-taking from the patient and family, physical examination, evaluation of injury patterns, and psychiatric assessment. Psychosocial stressors were identified, and diï¬ erential diagnoses such as malingering and other psychiatric disorders were ruled out through multidisciplinary evaluation. Literature review was incorporated to contextualize findings.\nSample Size: Single case (n = 1): A 14-year-old male presenting with recurrent self-inflicted injuries.\nConclusion: This case underscores the diagnostic challenges associated with factitious disorder in the pediatric age group. The patient’s self-inflicted hand-biting and foot-scraping behaviors occurred in the absence of caregivers and were linked to avoidance of school-related stress. Recognizing such presentations early can prevent unnecessary medical procedures and facilitate timely psychiatric referral. Increased clinician awareness is essential for eï¬ ective identification, management, and long-term psychosocial support for affected children and adolescents.\n\n\n### A study on proportions of psychiatric co morbidities and quality of sleep in patients diagnosed with alcohol dependence syndrome: A hospital - based cross-sectional study\nC. Prajwal Atreya, Narayan R. Mutalik1\nS Nijalingappa Medical College, 1Department of the Psychiatry, S Nijalingappa Medical College, Bagalkot, Karnataka, India\nBackground: Alcohol Dependence Syndrome (ADS) is a chronic, relapsing disorder. ADS frequently co-occurs with psychiatric disorders which complicate diagnosis, treatment, and prognosis. Chronic alcohol use disrupts sleep architecture, leading to persistent sleep disturbances even after abstinence. This study aimed to bridge this gap by examining these associations in a clinical setting.\nObjectives: To study the proportions of psychiatric comorbidities in patients with alcohol dependence syndrome. To study the quality of sleep-in patients with alcohol dependence syndrome. To study associations between the severity of alcohol dependence syndrome, psychiatric comorbidities, and quality of sleep.\nMethodology: A cross-sectional study was conducted at a tertiary care hospital in Karnataka in the Department of Psychiatry, from May 2023 to October 2024. Eighty patients diagnosed with ADS (ICD-10 criteria) and abstinent for at least one month were included. Exclusion criteria included intellectual disability, dementia, and organic brain disorder\nAssessment Tools:\n• Semi-structured questionnaire\n• ICD-10\n• SCID-5-CV\n• Severity of Alcohol Dependence Questionnaire (SADQ-C)\n• Pittsburgh Sleep Quality Index (PSQI).\nStatistical Analysis: Data were analysed using SPSS v25.0 (trial version ), with Pearson’s correlation used to assess associations.\nResults: The prevalence of psychiatric comorbidities was 31.25% and poor sleep quality was 93.75% among ADS patients. Mood and anxiety disorders were the most common psychiatric conditions, while sleep disturbances were universal. Presence of psychiatric disorders worsened sleep outcomes.\nConclusion: These findings highlight the critical need for integrated treatment approaches that simultaneously address alcohol dependence, mental health disorders, and sleep disturbances in clinical practice.\n\n\n### Mania emerging after post-ictal phase: A case of seizure-related organic mania\nPrakrati Ratiya, Abhinav Agrawal\nGovernment Medical College and Hospital, Chandigarh, India\nBackground: Organic (secondary) mania refers to manic symptoms that arise due to an identifiable medical or neurological condition .Abrupt onset of symptoms following head injury, seizure disorder, metabolic disturbance,etc, often provides diagnostic clues. Mr VM., 22/M, currently pursuing BBA, unmarried, unemployed, belongs to Christian Nuclear family of Upper Middle socio-economic status, Resident of Harare, Zimbabwe, presented with total duration of illness of 4 days, abrupt in onset, continuous course with precipitating factor not known characterized by irritability, over religiosity, increased energy, verbal and physical aggression, decreased need for sleep, grandiosity, increased energy,hearing voice not apparent to others with alleged history of fall 1 day ago associated with loss of consciousness,ENT bleed.\nAims: 1. To Present a case of organic mania 2. To ensure medical stabilization and evaluate possible contribution of seizure disorder to current presentation.\nMethods: Setting: Inpatient psychiatric care.\nAssessment: Routine blood investigations, EEG, Surgery and medicine clearance.\nIntervention: Initiate T. Risperidone at 2 mg per day, with adequate benzodiazepine cover (T. Clonazepam 0.25 mg 1-1-1/1sos) along with anti epileptic, T Divalproex sodium 500mg (1-x-2) Neurology consult in view of abnormal awake EEG ?post ictal Results Within the inpatient stay, the patient showed rapid reduction in symptoms within 3-4 days of hospital stay.\nConclusion: The abrupt onset of manic symptoms after head injury and a past seizure history indicated organic mania rather than primary bipolar disorder. The patient improved with antiepileptics, antipsychotics, and behavioural monitoring.\n\n\n### Diagnostic challenges in a medically Ill patient with psychotic symptoms: A case report\nPrakriti Joshi, Harshad Wankhede, B. N. Subodh\nPGIMER, Chandigarh, India\nAim: To outline the diagnostic considerations in a patient presenting with psychotic symptoms in the context of pancreatic germ-cell carcinoma and recent chemotherapy.\nMethodology: A 30-year-old woman with newly diagnosed pancreatic germ-cell carcinoma developed acute behavioural disturbance shortly after receiving a chemotherapy cycle. She presented with persistent persecutory, referential, bizarre, and nihilistic delusions. Psychosocial stressors included the recent cancer diagnosis, caregiving responsibilities, and marked illness-related stigma. She refused further chemotherapy because of fixed delusional beliefs that treating doctors intended harm. Serial mental status examinations, oncological file review, and repeated Brief Psychiatric Rating Scale (BPRS) assessments were undertaken. Differential diagnosis considered included mood disorder with psychotic symptoms, chemotherapy-induced psychosis, and Acute and Transient Psychotic Disorder (ATPD).\nResults: Organic causes and chemotherapy-related neuropsychiatric effects were systematically excluded on the basis of intact orientation, stable metabolic parameters, and absence of fluctuating sensorium. At initial assessment, florid psychotic symptoms masked underlying affective features, which became evident only after partial improvement in psychosis. Retrospective clarification of mood symptoms confirmed a moderate depressive episode as per ICD-11 criteria. Tablet Escitalopram 10 mg/day and olanzapine 5 mg/day, increased to 7.5 mg/day, were initiated. Gradual symptomatic improvement was observed, with declining scores and restoration of baseline functioning. A strong therapeutic alliance supported treatment adherence and facilitated engagement with medical decision-making.\nConclusions: This case highlights the diagnostic complexity of psychosis in medically ill patients and the importance of longitudinal evaluation, exclusion of organic and treatment-related causes, and the role of a therapeutic alliance in establishing the most plausible psychiatric diagnosis.\n\n\n### An enigmatic presentation of trance and possession phenomena in an adolescent: Psychosocial and cultural perspectives\nPrakriti Joshi, Akhilesh Sharma, Pranshu Sharma\nPGIMER, Chandigarh, India\nAim: To describe an enigmatic presentation of trance and possession phenomena in an adolescent, emphasizing psychosocial factors and culturally incongruent dissociative manifestations.\nMethodology: A 14-year-old girl from a rural background presented with recurrent fainting episodes, trance-like states, irritability, and persistent low mood for one year, resulting in functional impairment and school dropout. A comprehensive psychiatric evaluation was undertaken, including assessment of dissociative symptoms, psychosocial stressors, family dynamics, and temperament. Family functioning was assessed using the McMaster Family Assessment Device. Management focused on psychosocial and family-based interventions with adjunctive pharmacotherapy, and the patient was followed longitudinally. Results: The patient manifested 13 distinct trance and possession states attributed to multiple external entities, including both Hindu and Muslim deities. The multiplicity of identities and cross-religious attribution rendered the presentation atypical and not fully explainable within a single cultural framework. Psychosocial stressors included a rigid family environment, interpersonal conflict related to a romantic relationship, and a history of CSA. A maternal uncle reportedly had a similar undiagnosed illness. Prior interventions included repeated faith-healing practices and two sessions of electroconvulsive therapy. Family assessment revealed poor overall functioning with impaired affective responsiveness. Following culturally informed psychoeducation, reduction of secondary gains, and family-based interventions, there was significant clinical improvement. Pharmacological treatment with fluoxetine and short-term clonazepam was initiated. The patient showed reduction in dissociative episodes, improved emotional regulation, enhanced family support, and reintegration into school.\nConclusions: Trance and possession phenomena in adolescents may present in complex and culturally incongruent forms, highlighting the need for careful psychosocial formulation.\n\n\n### Urinary incontinence, rare adverse effect of risperidone: A case report\nT. Prama\nBasaveshwara Medical College And Hospital, Chitradurga, Karnataka, India\nBackground: Risperidone is widely used in the management of schizophrenia and is generally well tolerated. However, rare adverse effects including urinary incontinence may significantly impact quality of life and treatment adherence. We report a case of new-onset urinary incontinence in a patient receiving high-dose risperidone for treatment-resistant schizophrenia.\nCase: A 48-year-old man with a 15-year history of treatment-resistant schizophrenia who had previously been treated with olanzapine, aripiprazole, and clozapine but discontinued these medications due to adverse effects. He was subsequently started on risperidone, which was well tolerated and resulted in symptom improvement at a dosage of 8 mg/day. He remained on this regimen for one year,after which he developed new-onset urinary incontinence.Comprehensive urological, neurological, and metabolic evaluation revealed no identifiable cause.The incontinence appeared temporally related to risperidone use.\nIntervention and Outcome: The risperidone dose was gradually tapered from 8 mg to 4 mg, then to 2 mg daily, resulting in notable improvement. Complete resolution of urinary symptoms was observed after full discontinuation of risperidone.Risperidone was cross tapered with haloperidol.\nConclusion: This case highlights urinary incontinence as a potential but under-recognized adverse effect of risperidone, particularly at higher doses. It emphasizes the importance of prolonged monitoring of side effects to ensure better tolerability, adherence, and overall patient outcomes.\n\n\n### The TB egg or the depression chicken? retrospective analysis of a diagnostic time warp in depression and psychosomatic medicine\nPranay Parimal\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground and Objective: Distinguishing Somatic Symptom Disorder from occult organic pathology is a critical challenge in internal medicine and psychiatry, particularly in tuberculosis (TB) endemic regions. This case report illustrates the complex bidirectional relationship between severe depression, nutritional status, and the development of Abdominal Tuberculosis (ATB).\nMethod (Case Description): A 20-year-old female presented with low mood, suicidal ideation, anorexia, insomnia, and persistent abdominal pain. Initial evaluation revealed a HAM-D score of 38. Comprehensive workup, including CECT abdomen and upper GI endoscopy, ruled out organic causes. She was diagnosed with Major Depressive Disorder (MDD) and Undifferentiated Somatoform Disorder. Treatment was initiated with Mirtazapine and Clonazepam.\nResults: The patient achieved complete psychiatric and somatic remission for 12 months. However, she subsequently relapsed with recurrent abdominal pain and weight loss. Repeat investigations confirmed a new diagnosis of Abdominal TB.\nThe clinical dilemma centers on two scenarios: Occult paucibacillary TB masked by antidepressant-induced appetite stimulation, or Severe depression and constitutionally low BMI acting as an immunocompromising “first hit,” facilitating a subsequent TB infection. The sustained one-year remission supports the latter.\nConclusion: Depression is not merely a mental state but a physiological risk factor. In this case, the psychogenic anorexia and stress likely created a vulnerable host for ATB. Clinicians in endemic areas must recognize that a valid psychiatric diagnosis does not confer immunity to organic disease; rather, it may precipitate it. Continuous vigilance is required even after initial negative organic workups.\n\n\n### Noonan syndrome with behavioural issues - A case report\nPranjal Tripathi, N. Prasanna Kumar\nGovernment Hospital for Mental Care, Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Noonan syndrome is a genetic condition present at birth that impacts development across multiple body systems. It is characterized by a range of physical issues, including distinctive facial features, short stature, and various heart defects.\nThe severity of the disorder varies greatly among individuals, and treatment focuses on managing the specific symptoms experienced by each person. Although present from birth, it is often diagnosed later when the characteristic symptoms become more pronounced.\nAims: to describe a case of Noonan Syndrome presenting with behavioural issues\nMethods - A 14 year old male was brought to OPD of Department of Child and Adolescent Psychiatry, Government Hospital for Mental Care, Andhra Medical College, Vizag with complaints of delayed developmental milestones since birth, poor scholastic performance, irritability, anger outbursts, being verbally abusive since last 2 years.\nResults: Routine blood examination, general physical and systemic examination was done, along with evaluation of dysmorphic features which revealed large palpebral fissures, low set ears, long face, high arched eyebrows, triangular facies, winged scapula, pectus excavatum and pulmonary stenosis. He had mild intellectual disability on IQ evaluation, while CT brain was normal.\nConclusion: Comprehensive physical examination is of paramount importance to evaluate underlying syndromic traits in order to arrive at an optimal diagnosis which can pave the way for better management and prognostication.\n\n\n### Prevalence of sexual dysfunction among alcohol dependent men - a hospital based cross-sectional study\nJ. M. Prashanth Gowda, Sumati Arikera, T. R. Chandrashekhar\nBelagavi Institute of Medical Sciences, Belagavi, Karnataka, India\nBackground: Sexual dysfunction is a common but often neglected complication among men with alcohol dependence. Chronic and excessive alcohol use can adversely affect sexual desire, arousal, erection, and orgasm, leading to significant interpersonal and psychological consequences.\nAims and Objectives:\n1. To estimate the prevalence of sexual dysfunction in men with alcohol dependence\n2. To assess the association between severity of alcohol dependence and sexual dysfunction.\nMaterials and Methods: A hospital-based cross-sectional study was conducted among 90 male inpatients and outpatients diagnosed with Alcohol Dependence Syndrome according to ICD-10 criteria at tertiary care hospital. The Severity of Alcohol Dependence Questionnaire (SADQ) and Arizona Sexual Experience Scale (ASEX) were administered. Statistical analysis was done using descriptive statistics and the Chi-square test.\nResults: The mean age of participants was 34.9 ± 7.1 years. The mean SADQ score was 26.26 ± 8.79, with 45.6% showing moderate dependence. The mean ASEX score was 15.66 ± 5.01, and 58.9% of participants had sexual dysfunction. A statistically significant association was found between severity of alcohol dependence and sexual dysfunction (Ï‡² = 22.886, p < 0.001), with dysfunction increasing from 6.7% in mild to 79.4% in severe dependence.\nConclusion: Sexual dysfunction is highly prevalent among alcohol-dependent men and is significantly associated with the alcohol dependence severity. Routine assessment of sexual functioning should be an essential part of the evaluation and management of alcohol use disorders.\n\n\n### Dissociative motor activity in a schizophrenic patient\nPrasoon Sharma, Vrinda Kabra, Vignesh Kuppusamy, Ganesh Meena, Preethy Kathiresan, Koushik Sinha Deb\nAll India Institute of Medical Sciences, Delhi, India\nBackground: Dissociative Motor Disorders (DMD) are characterized by motor or sensory symptoms arising from unconscious psychological conflicts and not attributable to neurological or medical conditions. Impaired self-agency, wherein movements are experienced as involuntary, has been proposed as a key mechanism. In patients with schizophrenia, differentiating dissociative motor symptoms from antipsychotic-induced movement disorders can be challenging. Reports of dissociative motor symptoms co-occurring with schizophrenia are rare, with none documented from India.\nAim: To report a diagnostically challenging case of dissociative motor symptoms in a patient with schizophrenia.\nMethods: A single-case report with a review of relevant literature.\nResults: A 24-year-old male with an eight-year history of treatment-resistant schizophrenia presented with episodes of involuntary upward rolling of the eyes following clozapine dose titration. Detailed evaluation revealed almost daily episodes lasting 10-30 minutes over the past three months, consistently precipitated by psychosocial stressors and excessive worry, with no clear temporal relationship to clozapine dosage. The eye movements varied in direction and were distractible, suggesting a dissociative phenomenon rather than an oculogyric crisis. The patient was initiated on escitalopram, titrated to 20 mg/day, while clozapine was optimized to 350 mg/day. Significant improvement in dissociative & psychotic symptoms was observed.\nConclusion: This case highlights the importance of detailed history-taking and clinical examination in distinguishing dissociative motor disorders from antipsychotic-induced movement disorders. It adds to the limited literature on dissociative phenomena in schizophrenia and underscores the need for diagnostic vigilance in complex psychopharmacological contexts.\n\n\n### Gripping the fading narrative at consciousness brink: Dissociative amnesia in borderline personality disorder\nPratibha, D. Arogyanadhudu\nAndhra Medical College / Government Hospital For Mental Care, Visakhapatnam, Andhra Pradesh, India\nBackground: Dissociative amnesia is a psychiatric disorder presenting with memory impairment and inability to recall autobiographical information that is inconsistent with normal forgetting. The hallmarks of borderline personality are pervasive and excessive instability of affects, self image and interpersonal relationships as well as marked impulsivity.\nAim: To understand atypical presentation of dissociative amnesia. Though caused by traumatic event followed by minor head injury, the amnesia has extending beyond the traumatic period, but was generalised for un related period, not limiting to person, place or experience with preserved identity.\nMethods: Patient presented with amnesia for 1 day, the amnestic period was for 2 years, along with apprehension, tremors, sweating, inability to sleep. Reportedly, the symptoms started when her live-in partner asking her to take a break and go home for a while, followed by a minor head injury in an auto.\nResults: History revealed severe, cumulative trauma including attachment issue, temperament issues, lifelong physical abuse and relationship issues resulting in fear of abandonment, fear of loneliness pointing towards borderline personality. The apprehension and inability to maintain concentration, was secondary to amnestic period following November 2023. On neurological examination, the results were normal, confirming the dissociative etiology.\nConclusion: This case demonstrates that dissociative amnesia can represent a decompensation following prolonged, severe psychosocial stress. The diagnosis hinges on a comprehensive assessment to exclude neurological conditions. Management must be rooted in a psychotherapeutic approach focused on safely processing traumatic material and building resilience, underscoring the condition’s psychogenic origins and the limited role of pharmacotherapy.\n\n\n### Autoscopy, religious delusions, and intrusive sexual thoughts: A case report highlighting OCD-psychosis overlap\nG. Preethi, Malaiappan1, Anne Sangeetha1\nInstitute of Mental Health, Madras Medical College, 1Institute of Mental Health, Chennai, Tamil Nadu, India\nBackground: Obsessive-compulsive symptoms (OCS) and psychotic features may coexist, creating diagnostic and therapeutic challenges. Phenomena such as intrusive sexual thoughts, religious-cultural delusions, and autoscopy are rare, and their overlap blurs the boundaries between obsessive-compulsive disorder (OCD) and schizophrenia spectrum disorders.\nAims: To present a diagnostically complex case of a young woman with intrusive obsessions, autoscopy, and religious delusions, highlighting the overlap between OCD and psychosis and discussing management implications.\nMethods: A 24-year-old unmarried female with five years of illness was evaluated at a tertiary psychiatric institute. Detailed history, mental status examination, and psychometric assessments (BPRS, HAM-D, Y-BOCS) were conducted. Course of illness, treatment response, and phenomenology were analyzed.\nResults: The patient exhibited persistent intrusive sexual thoughts, blasphemous imagery, autoscopy and elaborate religious delusions involving Krishna and an alien world. Symptoms led to marked distress, impaired self-care, functional decline, and repeated suicidal ideation. BPRS score was 64 (severe), HAM-D 22 (severe depression), and Y-BOCS obsession subscale 15 (moderate). Treatment with antipsychotics and SSRIs yielded partial improvement, though intrusive thoughts persisted. The case posed significant diagnostic ambiguity between schizophrenia and OCD with poor insight, compounded by cultural and religious themes.\nConclusion: This case illustrates the complex phenomenological overlap between OCD and psychotic disorders, emphasizing the importance of systematic assessment, use of rating scales, and cultural formulation in clinical practice. Recognition of such presentations is crucial for accurate diagnosis and individualized management.\n\n\n### Silent minds, slow hearts: hypothyroidism-induced psychosis mimicking treatment-resistant depression\nPrerana Narayanan\nAdichunchanagiri Institute of Medical Sciences, B.G Nagara, Karnataka, India\nIntroduction: Hypothyroidism is a frequently overlooked medical cause of psychiatric symptoms. While low mood, fatigue, and cognitive slowing are common, myxedema psychosis can present dramatically yet be misinterpreted as a primary psychiatric illness. Patients may appear resistant to antidepressants, leading to misdiagnosis and delayed treatment.\nCase Description: A 42-year-old woman presented with a six-month history of pervasive low mood, apathy, hypersomnia, and slowed speech, for which multiple antidepressants were trialled without improvement. Over the past month, she developed paranoid ideas that neighbours were watching her, alongside marked slowing, puffiness, and a hoarse voice. Tests (TSH > 80 µIU/mL, low T3/T4)confirmed severe hypothyroidism with sinus bradycardia, leading to a diagnosis of hypothyroidism-induced psychosis masquerading treatment-resistant depression. She was started on levothyroxine ( 75mcg ) with low-dose antipsychotics, and within four weeks her paranoia, mood, and psychomotor slowing all resolved, allowing antipsychotics to be tapered as she improved solely on thyroid hormone replacement.\nDiscussion: This case underscores how medical illnesses can quietly mimic psychiatric disorders, especially when mood and cognitive symptoms predominate. Hypothyroidism disrupts brain metabolism and neurochemical balance, leading to secondary psychosis that often resolves once thyroid function is corrected.\nConclusion: Hypothyroidism-induced psychosis is rare but treatable. This case emphasises the importance of holistic assessment and avoiding diagnostic anchoring.\nKey words: Hypothyroidism, myxedema psychosis, treatment-resistant depression\n\n\n### Sin, fear and sensations: a case of genital somatoform disorder triggered by high-risk sexual behaviour\nPrerna, Panna Sharma1\nAIIMS, New Delhi, 1Anvaya Healthcare, Delhi, India\nBackground: Genital somatic symptoms often cause distress and repeated medical consultations among men, particularly in the context of guilt, health anxiety and sexually transmitted infections. Distinguishing organic pathology from somatoform presentations at the dermatology-psychiatry interface poses diagnostic and management challenges.\nAim: To describe the phenomenology and management of a patient presenting with distressing genital sensations in the context of past high-risk sexual behaviour and herpes simplex virus (HSV) infection.\nCase Description: A 43-year-old married male labourer presented with a 10-month history of pain, tingling and insect-crawling sensations over the penis, with ghabrahat, palpitations, health-related worries and disturbed sleep, causing occupational and interpersonal dysfunction. Symptoms began after disclosure of high-risk sexual behaviour to his wife, accompanied by intense guilt. Initial urological and general medical evaluations were unremarkable. Dermatology review showed healed vesicular lesions and seropositivity for HSV-1 and HSV-2; however, the sensations were not explained by the infection. He was subsequently referred to psychiatry.\nMethods: A detailed psychiatric evaluation was conducted, including clinical interviews and review of dermatology and urology records. Physical and neurological examinations, laboratory tests and dermatological assessment were used to rule out active organic pathology. Pharmacological treatment and psychoeducation were initiated.\nResults: Escitalopram (5-20 mg/day) produced minimal benefit; subsequent Duloxetine (20-40 mg/day) and Olanzapine 5 mg/day led to approximately 50% reduction in genital sensations and associated anxiety.\nConclusions: This case highlights how guilt related to high-risk sexual behaviour, health anxiety and somatic preoccupation can converge to produce persistent genital somatoform symptoms, underscoring the importance of integrated dermatology-psychiatry collaboration.\n\n\n### Reintegration of a patient with acute alcohol-related psychosis through multidisciplinary emergency intervention, pharmacological stabilization, capacity restoration, and psychosocial rehabilitation: a case report highlighting neurobiological mechanisms\nPrerna Nigwal, Richa Choudhary\nMGM Medical College, Indore, Madhya Pradesh, India\nAlcohol-related psychosis (ARP) is an acute, reversible psychotic disorder associated with heavy or chronic alcohol consumption. This case report describes the emergency presentation, clinical management, and successful reintegration of a 45-year-old man brought by police after being found wandering naked, verbally abusive, and responding to hallucinations. Mental status examination revealed irritability, impaired judgment, poor insight, heightened psychomotor activity, and persistent auditory hallucinations. A pungent odor of alcohol, elevated liver enzymes, and stable neurological investigations supported the diagnosis of alcohol-related psychosis with differential consideration of unspecified psychosis.\nThe pathophysiology of ARP involves dysregulation of multiple neurotransmitters: increased dopaminergic activity in mesolimbic pathways, altered serotonin receptor binding and transporter availability, and chronic alcohol-induced imbalance of GABA and glutamate systems, contributing to withdrawal-related agitation and hallucinosis.\nThe patient was admitted under Section 89 of the Mental Healthcare Act, 2017, due to impaired decision-making capacity and risk to self and others. Management included intramuscular haloperidol, intravenous lorazepam, thiamine supplementation, IV fluids, and supportive care. Over 5-7 days, the patient showed significant improvement, becoming calm, cooperative, and regaining decision-making capacity. A structured psychosocial rehabilitation plan facilitated reconnection with his family.\nThis case demonstrates the importance of early identification, prompt pharmacological intervention, detoxification, and multidisciplinary rehabilitation in the treatment of ARP. The rapid recovery highlights the reversible nature of alcohol-induced psychosis when appropriately managed.\n\n\n### When genes speak through the mind: Psychosis in turner syndrome\nS. Priya Ilaveni, W. J. Alexander Gnanadurai\nDepartment of Psychiatry,Government Kilpauk Medical College Hospital, Chennai, Tamil Nadu, India\nTurner syndrome (TS) is a chromosomal disorder in females caused by complete or partial absence of one X chromosome (45,X). While commonly associated with short stature, gonadal dysgenesis, and characteristic physical features, TS also carries important neurocognitive and psychiatric vulnerabilities. Individuals often show deficits in social cognition, visuospatial abilities, and emotional regulation. Although psychosis is rare, it has been increasingly reported in case studies.\nCase Summary: A 27-year-old woman presented with a 1-year history of suspiciousness, believing coworkers were watching and following her. She became socially withdrawn, irritable, and eventually quit her job. Symptoms intensified over the past 3 months. Psychiatric evaluation revealed persecutory delusions and behavioral changes, leading to a diagnosis of Psychosis Not Otherwise Specified. She was started on risperidone, trihexyphenidyl, and lorazepam.\nPhysical examination revealed primary amenorrhea and webbed neck. These findings raised suspicion of an underlying chromosomal abnormality. Endocrine referral and karyotyping confirmed Turner syndrome (45,X).\nDiscussion: Psychosis in TS may arise from several mechanisms:\n• X-chromosome gene dosage effects: Loss of genes essential for neural development\n• Estrogen deficiency: Reduced dopaminergic modulation and cognitive resilience\n• Structural brain differences: Alterations in limbic and frontal networks affecting emotional processing and reality testing\n• Genomic imprinting: Parental origin of the single X chromosome may influence psychiatric risk.\nThis case highlights that psychiatric symptoms may be the first sign of an underlying genetic condition. In females with new-onset psychosis and reproductive abnormalities, clinicians should consider TS. Early identification enables coordinated management involving psychiatry and endocrinology, improving long-term outcomes.\n\n\n### Serum uric acid levels in patients with bipolar i disorder during mania: A case-control study\nPriyanka, Nishtha Chawla1, Rizwana Quraishi1, Raman Deep1\nAll India Institute of Medical Sciences, 1Department of Psychiatry, All India nstitute of Medical Sciences, New Delhi, India\nBackground: Purinergic system dysregulation has been implicated in the pathophysiology of bipolar disorder, with elevated serum uric acid (UA) levels reported particularly during the manic episodes. However, evidence from Indian clinical settings remains sparse.\nAim: To assess and compare serum UA levels in patients with bipolar I disorder during a manic episode and healthy controls, and to examine its association with baseline clinical characteristics.\nMethods: This observational case-control study included 100 participants recruited from a tertiary care hospital. The case group comprised 50 patients aged 18-45 years with DSM-5-diagnosed bipolar I disorder, current episode mania (YMRS >12). Fifty healthy controls with no known illness were enrolled from the same setting. Baseline assessments included socio-demographic and clinical data, Young Mania Rating Scale (YMRS), Clinical Global Impression-Bipolar Version (CGI-BP), and Global Assessment of Functioning (GAF). Serum uric acid and relevant biochemical parameters were estimated.\nResults: Mean age was comparable between cases (28.72 ± 7.46 years) and controls (30.20 ± 6.11 years). Patients with mania had significantly higher baseline serum UA levels compared to healthy controls (6.57 ± 1.44 mg/dL vs 5.32 ± 1.51 mg/dL; p < 0.001). The diagnostic group effect remained significant after adjustment for sex, body mass index, and serum creatinine. Serum UA levels did not show a significant correlation with baseline YMRS, BVC, or GAF scores.\nConclusion: Serum UA levels are significantly elevated during manic episode.\n\n\n### Adjunctive transcranial magnetic stimulation for managing OCD during pregnancy: A case series\nPriyanshi Chaudhary, Rashmi Shukla, Sujit Kumar Kar\nKing George Medical University, Lucknow, Uttar Pradesh, India\nBackground: Management of obsessive-compulsive disorder (OCD) during pregnancy presents significant clinical challenges, especially when pharmacotherapy is restricted due to fetal safety concerns. Repetitive transcranial magnetic stimulation (rTMS), has emerged as a promising non-pharmacological neuromodulatory intervention in the management of OCD.\nAims: To assess the safety and therapeutic effectiveness of adjunctive iTBS over the left dorsolateral prefrontal cortex (DLPFC) in two pregnant women with OCD.\nMethods: Two pregnant women with moderate to severe OCD were enrolled.\nCase 1: A 31-year-old G4P3L3 woman at three months’ gestation presenting with contamination, religious, and sexual obsessions and repetitive cleaning/chanting rituals. Baseline scores: Y-BOCS 31, PHQ-9 13, GAD-7 9, WHO-5 40.\nCase 2: A 26-year-old G2P1L1 woman at 33 weeks’ gestation with contamination obsessions, intrusive obscene/sexual thoughts, and repetitive cleaning/reading rituals. Baseline scores: Y-BOCS 29, PHQ-9 12, GAD-7 9, WHO-5 44. Both underwent iTBS (600 pulses/session, twice daily) for 20 sessions. Ratings were repeated after 10 sessions, after 20 sessions, and at two-week follow-up.\nResults: Both the cases showed steady and clinically meaningful improvement across obsessive-compulsive symptoms, mood, anxiety, overall well-being. Both patients tolerated the rTMS well, and no adverse effects were reported.\nConclusion: Adjunctive iTBS administered during pregnancy was safe, well-tolerated, and associated with significant reductions in OCD severity along with improvements in mood, anxiety, and well-being. Hence, supports rTMS as a feasible adjunctive treatment option for OCD during pregnancy when medication use is limited.\n\n\n### When mood darkens and skin creeps: A rare case of adolescent delusional infestation following a depressive episode\nPromil Redhu, Amarjot\nESIC, MCH, NIT3, Faridabad, Haryana, India\nBackground: Delusional Infestation (DI), also known as Ekbom syndrome, typically presents in middle-aged females, with adolescent onset being exceedingly rare. Literature mentions cases as young as 9 years, but DI secondary to depression in early adolescence is almost undocumented. This case illustrates a rare presentation with classical phenomenology.\nAims: To describe the clinical features, phenomenology, diagnosis, treatment response, and nosological implications of DI occurring secondary to a depressive episode in a 15-year-old girl.\nMethods: A detailed clinical assessment, mental status examination, dermatological and neurological evaluation were performed. Differential diagnoses were considered. Relevant investigations were planned. Phenomenology of this case compared with classical DI as described in the literature.\nResults: A 15-year-old girl presented with a severe depressive episode from 1.5 months followed three weeks later by a fixed belief of worm infestation on the entire body except the lower limbs, associated with tactile sensations. Phenomenology was consistent with classical DI. Neurological and dermatological examination was normal. She was treated with Sertraline and Olanzapine resulting in approximately 50% improvement within 10 days, indicating a good early treatment response and supporting a secondary delusional process.\nConclusion: This case highlights a rare instance of secondary DI in early adolescence, with phenomenology similar to adult cases. Early recognition and combined antidepressant-antipsychotic treatment may yield favorable outcomes. Further documentation of such cases is essential for clarifying the phenomenology and management of DI in younger populations.\n\n\n### Assessment of ambivalence in OCD patients\nPuffin Mehta, Sanjay Pattanayak, Nandita Hazari\nVIMHANS, New Delhi, India\nBackground: Ambivalence is a key cognitive-affective feature of OCD. In the context of OCD, two major forms of ambivalence are typically studied self and interpersonal ambivalence. Guidano and Liotti (1983) introduced self-ambivalence, referring to conflicting self-beliefs such as feeling both worthy and unworthy. Interpersonal ambivalence denotes holding both positive and negative feelings toward others, manifesting in OCD as exaggerated responsibility and prosociality alongside latent aggression or distrust.\nAim: To study the relationship between ambivalence and OCD severity.\nMethods: This cross-sectional study was conducted at VIMHANS, New Delhi. 73 adults (18-60 years) diagnosed with OCD were recruited. OCD illness severity was assessed using the YBOCS and obsessive beliefs using the Obsessive Beliefs Questionnaire (OBQ-44). Self and interpersonal ambivalence were evaluated using Self-Ambivalence Scale (SAS) and Relationship Interpersonal Beliefs and Attitudes Questionnaire (RIBAQ). Functional impairment was assessed by Work and Social Adjustment Scale (WSAS).\nResults: Most OCD patients demonstrated moderate-to-high self-ambivalence and moderate interpersonal ambivalence. Both self ambivalence and interpersonal correlated positively with obsessive beliefs (OBQ-44) (r = 0.438, p < 0.001; SAS) (r = 0.392, p = 0.001; RIBAQ) respectively but not with YBOCS, (r = 0.153, p = 0.195) and (r = 0.184, p = 0.119) respectively suggesting ambivalence is more related to underlying obsessive cognitions than overt symptom severity. However, Ambivalence correlated with WSAS, indicating it’s contribution to socio-occupational dysfunction.\nConclusion: Self and interpersonal ambivalence correlate strongly with obsessive belief systems (OBQ) and not with symptom severity (YBOCS) but influence social functioning.\n\n\n### Beyond bipolar disorder: A neurodevelopmental lens on mania revealing septo optic dysplasia\nPurbasha Sengupta, Sanchari Roy1\nCalcutta National Medical College, 1Department of Psychiatry, Calcutta National Medical College and Hospital, Kolkata, West Bengal, India\nBackground: Septo-optic dysplasia (SOD) is a rare congenital disorder characterised by visual pathway anomalies, midline brain malformations and hypothalamic-pituitary dysfunction, with increasing recognition of associated neurodevelopmental and psychiatric manifestations. Psychiatric reports largely focused on depressive and psychotic presentations; manic episodes in SOD-spectrum disorders are rarely described.\nCase History: A 22-year-old woman presented with an 8-day history of agitation, decreased need for sleep, racing thoughts, increased energy, behavioural disinhibition and increased appetite, fulfilling criteria for a manic episode. She had borderline intellectual functioning (IQ 74), childhood-onset seizure disorder treated with valproate (seizure-free since childhood), poor scholastic performance. She also had complaints of decreased vision in Right eye and didn’t attain menarche yet.\nWorkup: Examination revealed short stature (137 cm), short hands and feet, and right exotropia. Visual evoked potentials showed bilaterally prolonged P100 latencies indicating bilateral visual pathway dysfunction, while BERA was normal. MRI brain demonstrated gliotic foci in left frontal periventricular region and partial absence of the posterior septum pellucidum, against a background of childhood non-communicating hydrocephalus. USG showed bilateral polycystic ovarian morphology, with low-normal gonadotropins and prolactin, suggesting subtle hypothalamic-pituitary-ovarian axis disturbance.\nManagement and Conclusion: She improved with olanzapine 10 mg for mania and subsequently fluoxetine 20 mg for residual depressive symptoms, alongside psychotherapy and multidisciplinary referrals. This case illustrates how systematic developmental history and thorough workup of a manic episode can unmask a rare SOD-spectrum diagnosis, emphasising the importance of a multidisciplinary, neurodevelopmentally informed approach in young patients with mood episodes and syndromic red flags.\n\n\n### Neuromodulation complications in psychiatry: A case of mect-precipitated catatonia\nPushkar Saini, Mustafa Ali, Vishav\nInstitue of Human Behaviour and Allied Science, New Delhi, India\nBackground: Modified electroconvulsive therapy (mECT) is a well-established neuromodulation treatment for severe depressive episodes. While generally safe, rare paradoxical reactions such as catatonia may occur.\nAims: This case report aims to raise awareness that catatonia can be precipitated in patients on mECT.\nMethods: Thorough clinical examination and daily observation were done to rule out catatonia before the start of mECT. Detailed neurological examination and blood investigation were done to rule out any neurological or metabolic causes. Catatonic signs were assessed by Brush-Francis Catatonia Rating Scale.\nResults: A 45-year-old male with diagnosis of Recurrent Depressive Disorder, current episode severe without psychotic symptoms. Initially, he was treated with venlafaxine and lithium for 5 days, followed by administration of mECT. Initial improvement was noted in MADRS scores following 3 mECT sessions. However, after the 4th session, patient exhibited catatonic symptoms, including posturing, mutism, negativism, withdrawal, and decreased input/output, which were not there while the patient was on psychotropics alone. These symptoms resolved within 48 hours following discontinuation of mECT and administration of a lorazepam challenge test, indicating lorazepam-responsive catatonia precipitated by mECT.\nConclusion: Case demonstrates catatonia as a possible but uncommon side effect of mECT in patients. Catatonia is highly responsive to benzodiazepines, prompt identification is critical. Clinicians using neuromodulation therapies should be vigilance for emergent catatonic features to ensure timely diagnosis and effective intervention.\n\n\n### Prader willing syndrome and intellectual and disability\nRachit Sharma\nMilitary Hospital, Meerut, Uttar Pradesh, India\nTwo girls (aged 7 & 14 years) were brought to paediatrics OPD by parents with c/o obesity, insatiable appetite, increased irritability, stubbornness and poor scholastic performance subsequently referred to psychiatry OPD for evaluation. On evaluation, short stature, central obesity with small hyperflexible hands and feet with unusually fair skin and light-colored hairs were noted. Facial dysmorphisms in the form of narrow forehead, almond-shaped eyes, fish like mouth were also noted. In course of the treatment they were diagnosed with Prader Willi syndrome by FISH. IQ assessment showed mild to moderate level of retardation of intellectual disability along with behavioural manifestations in the form of temper tantrums, poor frustration tolerance and frequent anger outbrusts.\n\n\n### Delusional parasitosis in a 56-year-old woman from a rural background: A clinical case report\nRageri Pavan, K. Lokesh Kumar\nBhaskara Medical College, Hyderabad, Telangana, India\nBackground: Delusional parasitosis is a somatic-type delusional disorder characterised by a fixed false belief of being infested with insects despite lack of evidence. Patients often first seek help from primary care or traditional healers, especially in rural settings, leading to delayed psychiatric intervention and significant distress.\nAims: To describe the clinical features, evaluation, and management of a 56-year-old woman from a rural background with delusional parasitosis, and to emphasise diagnostic challenges in low-resource settings.\nMethods: A comprehensive psychiatric interview, mental status examination, dermatological assessment, and routine medical investigations were conducted. Collateral history from family members was included. Dermatology opinion was taken to exclude organic causes. Diagnosis was made as per ICD-11 criteria. The patient received antipsychotic medication, psychoeducation, and family counselling.\nResults: The patient, Santhamma, a 56-year-old woman from a rural agricultural family, reported a two-year history of sensation of insects crawling under her skin, leading to repeated scratching and use of home remedies. Prior to psychiatric referral, she sought help from local healers and primary health workers, resulting in multiple ineffective treatments. Dermatological evaluation was normal. Mental status examination revealed a well-formed somatic delusion, anxiety, sleep disturbance, and poor insight. She was initiated on risperidone and supportive psychotherapy. After six weeks, she showed notable reduction in preoccupation with infestation, improved sleep, and better engagement with treatment.\nConclusion: This case highlights how rural background, limited awareness, and reliance on traditional treatments may delay recognition of delusional parasitosis. Early referral, integrated care, and structured psychoeducation can improve clinical outcomes.\n\n\n### Exploring alexithymia in alcohol dependence: A cross-sectional study of the influence of tobacco use\nRaghav\nKVG Medical College and Hospital, Sullia, Karnataka, India\nBackground: Alexithymia, characterized by difficulty in identifying and expressing emotions, is frequently observed in individuals with alcohol dependence. Emotional dysregulation may contribute to poor coping, relapse, and treatment resistance. Tobacco use, highly prevalent among alcohol-dependent individuals, may further exacerbate alexithymia; however, this association remains underexplored in Indian populations.\nObjectives: To assess the prevalence and severity of alexithymia in alcohol-dependent patients compared to healthy controls, and to examine the influence of concurrent tobacco use and alcohol withdrawal severity on alexithymia.\nMethods: A comparative cross-sectional study was conducted at the Department of Psychiatry, KVG Medical College, Sullia, including 112 male participants 56 with Alcohol Dependence Syndrome (ADS) and 56 healthy controls. Assessments included sociodemographic and clinical details, history of alcohol/tobacco use, Clinical Institute Withdrawal Assessment for Alcohol-Revised (CIWA-AR), and the Toronto Alexithymia Scale-20 (TAS-20). Data were analyzed using SPSS v21. Independent t-test/Mann-Whitney U test and Chi-square test were applied, with p < 0.05 considered significant.\nResults: ADS patients had significantly higher TAS-20 scores than controls (60.3 ± 13.9 vs. 49.7 ± 9.3; p < 0.001). True alexithymia was present in 41.1% of ADS patients versus 3.6% of controls. Tobacco use was more frequent among ADS patients (83.9% vs. 26.8%; p < 0.001) but its duration or type did not influence TAS-20 scores. A history of complicated withdrawal (64.3%) correlated with greater alexithymia severity.\nConclusion: Alexithymia is highly prevalent in alcohol dependence and is aggravated by severe withdrawal, underscoring the need to address emotional regulation in de-addiction programs.\n\n\n### Piercing the mind: When emotion finds its way beneath the skin\nR. Raghunandan, K. P. Lakshmi\nAmrita Institute of Medical Science and Research Institute, Kochi, Kerala, India\nBackground: Deliberate self-harm (DSH) in Emotionally Unstable Personality Disorder (EUPD) usually involves superficial injuries. Deep-tissue foreign body insertions, especially into anatomically high-risk areas, are rare and poses significant diagnostic and management challenges.\nCase Presentation: A 25-year-old male with EUPD traits, dissociative symptoms presented with repeated needle insertion into his thighs, scrotum, chest wall, and supraclavicular region without suicidal intent and were often occurring during states of dissociation or limited awareness. Two major surgical procedures were performed under spinal anaesthesia. Subsequent imaging revealed retained metallic foreign bodies adjacent to critical vascular structures. Despite intermittent periods of stability, the patient continued with self-harm behaviours. Management included high-dose quetiapine, mirtazapine, Endoxifen, trauma-focused psychotherapy, and close interdisciplinary coordination.\nDiscussion: Foreign body insertion as a form of DSH is rarely reported in EUPD and it represents a psychiatric-surgical-ethical intersection. Dissociation, trauma recall, and poor distress tolerance are key roles. Endoxifen, a protein kinase C inhibitor, shows emerging anti-impulsive and mood-stabilizing effects in recent trials for bipolar type II disorder and borderline personality features. In this case, it provided add on benefit in reducing affective lability and behavioural dyscontrol alongside standard psychotropics.\nConclusion: This case illustrates a rare and medically severe presentation of Non Suicidal Self Injury in EUPD, complicated by dissociative phenomena and fluctuating insight. It highlights the importance of early multidisciplinary engagement, risk stratification, and trauma-informed psychiatric care. Deep self-injury without suicidal intent in personality disorders remains underrepresented in the literature and warrants further clinical and ethical exploration.\n\n\n### A case of mania in a patient using CBD for neuropathic pain: Cannabidiol and mood dysregulation\nRahul Mathur, Varchasvi Mudgal, Priyesh Jain\nMGMMC, Indore, Madhya Pradesh, India\nCannabidiol (CBD), a non-intoxicating compound derived from Cannabis sativa, is increasingly used for neuropathic pain due to its perceived safety profile. While CBD is often associated with anxiolytic and antipsychotic effects, its impact on mood regulation remains poorly understood, particularly at high doses.\nMethods: We report the case of a 26-year-old male with no prior psychiatric history who developed a manic episode following three months of escalating CBD initiated for neuropathic pain. The patient initially used CBD for neuropathic pain relief but increased his dosage substantially in the weeks preceding symptom onset. A comprehensive psychiatric evaluation was conducted, and inpatient management started.\nResults: The patient exhibited classic manic features irritability, reduced sleep, hyperactivity, and aggression with a YMRS score of 34, indicating severe mania. Urine toxicology was negative for other substances. Symptoms resolved following discontinuation of CBD and initiation of valproate and olanzapine. No recurrence was noted at follow-up.\nConclusion: This case highlights the potential for high-dose CBD to precipitate manic episodes, even in individuals without psychiatric vulnerability. Clinicians should be vigilant when evaluating mood changes in patients using CBD, and further research is warranted to clarify its neuropsychiatric safety and regulatory oversight.\n\n\n### When joints speak through the mind: Rheumatoid arthritis presenting as psychiatric case - A case series\nRahul Sahare, Vijay Niranjan, Riya Gangwal, V. S. Pal\nMGM Medical College, Indore, Madhya Pradesh, India\nIntroduction: Rheumatoid arthritis (RA) is a chronic systemic inflammatory disorder with the potential to generate a broad spectrum of neuropsychiatric manifestations. In certain cases, these symptoms overshadow musculoskeletal complaints and mimic primary psychiatric disorders, leading to delays in diagnosis and apparent treatment resistance.\nMethods: Five patients aged 45-60 years presented to the psychiatry outpatient department with heterogeneous symptom profiles. Three patients exhibited psychotic symptoms, including feeling of presence and auditory hallucinations, while two presented with prominent depressive and anxiety symptoms. All patients were initiated on standard psychiatric management, including antipsychotics and SSRIs, with minimal or partial response. Over subsequent evaluations, subtle but persistent joint-related complaints prompted further medical assessment, leading to a confirmed diagnosis of RA in all five cases. Initiation of systemic corticosteroids and disease-modifying antirheumatic drugs (DMARDs) resulted in marked improvement in both psychiatric and physical symptoms.\nClinical Implication: This case series highlights the importance of maintaining a suspicion for systemic inflammatory conditions such as Rheumatoid Arthritis in patients with atypical, late-onset, or treatment-resistant psychiatric presentations. A holistic, integrated mind-body approach is essential for timely diagnosis and effective management.\n\n\n### Fever-associated acute and transient psychotic disorder: A six-month prospective case series from a tertiary center in central India\nRahul Sahare, Abhay Paliwal, Riya Gangwal, Pali Rastogi\nMGM Medical College, Indore, Madhya Pradesh, India\nBackground: Psychosis temporally associated with recent febrile illness is increasingly reported, especially in low- and middle-income countries. Yet, systematic prospective data on this phenomenon remain sparse.\nAim: To describe the clinical features, short-term outcome, and diagnostic stability of fever-associated Acute and Transient Psychotic Disorder (ATPD), and to contextualize findings within the infectious-inflammatory hypothesis of psychosis.\nMethods: Eight first-episode ATPD patients with documented fever (≥38°C) within seven days of psychosis onset were enrolled at a tertiary hospital in Central India and followed for six months. Diagnosis was based on ICD-10-DCR criteria, confirmed by two independent psychiatrists. Structured assessments included the Brief Psychiatric Rating Scale (BPRS-18) and the Global Assessment of Functioning (GAF). A comprehensive fever-of-unknown-origin (FUO) workup was conducted to rule out infectious, autoimmune, or neurological causes.\nResults: The mean age was 28.6 ± 4.8 years; five were female. Psychotic symptoms appeared within one to five days of fever onset. Baseline BPRS averaged 52, reducing to <19 by one month. Hallucinations, delusions, disorganized behavior, and affective lability were predominant. ATPD subtypes included F23.0 (n=6) and F23.1 (n=2). CRP was transiently elevated in two patients (7-14 mg/L), normalizing within a week. All patients received risperidone (2-4 mg/day) for 4-6 weeks. At three months, all patients achieved GAF >70. No diagnostic transitions or relapses occurred at six months.\nConclusion: Fever-associated ATPD may represent a self-limiting, para-infectious psychosis with a benign trajectory. Recognizing this clinical entity may promote early diagnosis, prevent mislabeling with chronic psychiatric disorders, and limit unnecessary long-term antipsychotic exposure.\n\n\n### Psychosocial stress to somatic expression: Hematohidrosis in a child with depression\nRajat Pareek, Farheen Sultana1\nOsmania Medical College, 1Department of Psychiatry, IMH, OMC, Hyderabad, Telangana, India\nIntroduction: Hematohidrosis is rare condition in which blood-tinged fluid is excreted through intact skin. Pediatric presentations are uncommon and may occur alongside emotional or psychiatric disturbances. Awareness of this mind-body interface assists in timely diagnosis, reduces unnecessary investigations, and highlights the need for multidisciplinary care.\nCase Report: An 11-year-old girl presented with recurrent, brief episodes of spontaneous blood-stained sweating over the face, eyes and scalp, resolving without pain or dermatological lesions. Examination between episodes was normal. Routine laboratory investigations, including complete blood counts, coagulation profile, and liver and renal function tests, were within normal limits. Dermatology assessment confirmed intact skin, supporting a diagnosis of hematohidrosis. Psychiatric evaluation revealed persistent low mood, irritability, anger outbursts at home, reduced interest in activities and academic decline. Psychosocial stressors related to school were noted. The clinical picture was consistent with childhood depression, with no history of self-harm or substance use. The patient was initiated on Escitalopram 5 mg od and Olanzapine 2.5 mg hs, with supportive counselling, stress-management strategies, and family psychoeducation. Over follow-up, there was improvement in mood, irritability with better daily functioning. The frequency of hematohidrosis episodes reduced gradually.\nConclusion: This case highlights the coexistence of hematohidrosis and depressive symptoms in a child facing psychosocial stress. Comprehensive evaluation,integrated psychiatric and medical management can lead to improvement in psychological distress and somatic manifestations.\n\n\n### Wellness quotient screening in a military unit\nRajiv Kumar Saini\nMilitary Hospital, Devlali Maharashtra, India\nBackground: Wellness is a core construct in psychiatric practice, emphasizing the integration of physical, psychological, and lifestyle determinants of health. Military personnel experience unique occupational stresses, increasing vulnerability to metabolic, behavioral, and sleep-related morbidities. Early identification of such risk factors can significantly enhance prevention and operational fitness.\nAim: To design and implement a structured Wellness Card with a numerical Wellness Quotient Score for soldiers, and to assess its utility in detecting modifiable health risks requiring targeted intervention.\nMethods: A wellness questionnaire covering eight domains BMI, lipid profile, blood pressure and vitals, blood sugar, sleep quality, subjective mental wellness, smoking, and alcohol use was administered to 130 soldiers. Each parameter was scored 0-3, yielding a maximum score of 30. Scores <26 triggered lifestyle counselling or specific interventions, including metabolic evaluation, ECG screening, dietary advice, or psychological services.\nResults: Screening identified several previously undiagnosed conditions: Hyperlipidemia: 8 cases Diabetes: 6 cases Hypertension: 4 cases Alcohol-related issues: 3 cases Insomnia / sleep issues: 5 cases All affected individuals received targeted management. The wellness screening had high acceptability, with active participation and positive feedback from soldiers.\nConclusion: The Wellness Quotient system is an effective and useful method which can easily be filled during routine follow up of a special population at risk for occupational life style diseases. The findings give a scope for Clientele education and early intervention.\n\n\n### Synthetic cannabinoids (CANNAPAIN) induced psychosis? – A case report\nRajkumar Sanahan\nAll India Institute of Medical Sciences, New Delhi, India\nBackground: Synthetic cannabinoids (SCs), including products marketed under misleading labels such as Cannapain,have emerged as potent psychoactive substances. Unlike natural cannabis, most SC preparations lack cannabidiol (CBD), which mitigates the psychotomimetic properties of THC, thereby increasing vulnerability to psychosis. Despite rising global concern, reports from India remain limited.\nCase Presentation: We describe a 33-year-old male with cluster-A premorbid traits and a seven-year history of heavy cannabis use who transitioned over the past 1.5 years to daily SC consumption in the form of online-purchased pills and oils. Psychotic symptoms persecutory and referential delusions with hallucinatory behaviour initially emerged with cannabis use but intensified markedly after initiating SCs, with only partial remissions during brief abstinent periods. On admission, he exhibited agitation and aggression requiring rapid tranquillisation. Routine urine toxicology was negative for cannabinoids, consistent with the detection limitations for SCs. A diagnosis of synthetic cannabinoid dependence and SC-induced psychotic disorder (ICD-11) was made, supported by a Cannabis Use Disorder Identification Test-Revised (CUDIT-R) score of 26. Risperidone was discontinued due to adverse effects, and haloperidol up to 10 mg was initiated, resulting in mild improvement (Brief Psychiatric Rating Scale score reduced from 40 to 38). Psychoeducation, N-acetylcysteine up to 1200 mg, and relapse-prevention counselling were provided.\nDiscussion and Conclusion: This case highlights the strong psychosis-inducing and dependence-forming potential of SCs, the diagnostic challenges related to routine toxicology, and the increasing online accessibility of unregulated SC products. Enhanced clinical vigilance, regulatory oversight, and improved laboratory detection are essential to mitigate associated psychiatric harms.\n\n\n### Understanding health perceptions and barriers to cardiovascular risk-reduction behaviours in patients attending psychiatric services: A qualitative exploration\nRaman Deep\nAIIMS, New Delhi, India\nBackground: Psychiatric disorders are associated with elevated long-term cardiovascular disease (CVD) risk. Although this relationship is known, how these individuals understand their health risks and what shapes their readiness for preventive behaviors remains less explored. Developing a culturally-grounded intervention demands examining patients’ health perceptions, practices, and the psychological and contextual barriers.\nAim: As part of a project to adapt a brief-intervention to reduce CVD risk in depression, we qualitatively explored behavioral, cognitive, and contextual factors influencing readiness for lifestyle modification among stable patients in psychiatric setting to understand Indian cultural perspective.\nMethods: Thirty adults (18+ years), with equal gender distribution, attending the psychiatry OPD, primarily with depressive/mood and anxiety spectrum disorders stabilized on treatment, participated. Purposive sampling was used. Semi-structured interviews examined themes related to health, diet, physical activity, and substance use.\nResults: Participants largely equated health with physical well-being. Dietary behaviors were shaped by gender roles, joint family norms, convenience, cultural patterns, and affordability. Adherence was hindered by fatigue, anhedonia, low motivation and caregiving role at home. Physical activity was preferred indoors or with company, mainly walking or traditional exercises. Substance use was linked to social contexts and stress. Barriers included depressive symptoms, limited social support, and incompatibility with work routines. Facilitators involved psychoeducation, family support, responsibility toward dependents, and structured routines. Cognitive barriers such as all-or-none thinking, low confidence, poor decision-making, and meaninglessness impeded change.\nConclusion: Findings provide key insights to inform the development and cultural adaptation of motivational intervention to prevent long-term CVD risk in psychiatric setting.\n\n\n### Non-pharmacological interventions for cardiovascular risk reduction in adults with depression: Evidence mapping to inform brief intervention development\nRaman Deep\nAIIMS, New Delhi, India\nBackground: Adults with depressive disorders are at increased long-term cardiovascular disease (CVD) risk through behavioural and biological mechanisms. Non-pharmacological strategies may influence shared determinants of depression and CVD. However, evidence on their effect on validated 10-year CVD risk scores remains uncertain.\nAim: To conduct systematic search and summarize available evidence to inform development of a culturally adapted brief intervention for cardiovascular risk reduction in psychiatric settings.\nMethods: A systematic search (2004-2024) was conducted in MEDLINE/PubMed, Embase, Scopus, PsychInfo, Google Scholar, and grey-literature sources using terms covering depressive disorders, structured non-pharmacological interventions, cardiovascular risk estimation, comparison groups, and randomized or synthesized evidence. Eligible studies were randomized controlled trials or systematic reviews evaluating defined non-drug interventions in adults with depressive disorders and reporting validated 10-year CVD risk estimates or all components required for their calculation.\nResults: Seventy-three studies met initial eligibility criteria. After screening and appraisal, seven were retained as most relevant. Only one randomized trial directly assessed the impact of a non-pharmacological intervention on estimated 10-year CVD risk in depression. Commonly reported behavioral risk factors included inactivity, unhealthy diet, tobacco use, alcohol consumption, and sleep disturbance. Most interventions were single-component, usually exercise-based, and delivered in person. Evidence from South Asia, including India, was minimal.\nConclusion: Evidence on non-pharmacological interventions to modify validated 10-year CVD risk in adults with depression is limited and heterogeneous. Findings highlight the need for context-specific, multidimensional behavioral approaches and provide groundwork for designing a tailored brief intervention for Indian psychiatric settings.\n\n\n### The hidden toll of diplomacy: Mental health matters\nRashi Agarwal\nLLRM Medical College, Meerut, Uttar Pradesh, India\nBackground: Diplomatic personnel have to learn to balance in high pressures situations along with frequent transfers, concerns about safety and overall working with other diplomats and frequent encounters with the police . Despite deployment to high-threat postings being a regular occurrence for some diplomatic staff, there appears to be little consensus across organizations as to how best to support these employees.\nAim: To assess toll of working diplomat on mental health.\nMethods: One adult 63 years of age retired male from embassy presented with complaints of aggressive behaviour in the 24 year old son, off and on dec sleep and on treatment for past 10 years for schizophrenia. He was on Risperidone 4 mg and thp 2 mg and maintaining well with inc complaint of weight gain .On retrospective history taking, even the father had established paranoid delusions, about police following then and justifying that it was normal for their job profile and now suffering from anxiety and decreased sleep.\nResults: Treatment started for both, and also family counselling, gradually showing improvement. Diplomatic personnel are an example of an occupational group whose work involves frequent international travel and is likely to have been profoundly affected however, little is known about the well-being of this group.\nConclusion: Further investigation of factors affecting diplomats’ well-being is needed and specially where more attention paid to their physical protection than their psychological protection possibility of illness like. Havana syndrome, also known as anomalous health incidents (AHIs) can also be studied further\n\n\n### An unusual case of bleeding with topiramate use – A case report\nRashmi Gopalsingh Bisen, Devina Devdatt Dabholkar1, Sarika Dakshikar2\nSahayadri Hospital, Pune, 1Department of Psychiatry, TNMC, 2Department of Psychiatry, Grant Government College, Mumbai, Maharashtra, India\nBackground: Topiramate is used as a mood stabiliser and for management of drug induced weight gain in psychiatric patients. Recent international literature has documented few cases of bleeding on Topiramate and has attributed it to deficiency of vitamin K-dependent coagulation factors while on the drug. However, there has been very little Indian research done on the same topic.\nAim: Association of use of Topiramate and bleeding tendency in a sixteen year old female with schizophrenia\nCase Description: A sixteen year old female, belonging to low socioeconomic status presented to the outpatient department with chief complaints of bleeding from nipples, ears and stretch marks since 15 days. She was a case of schizophrenia previously maintained on Risperidone 3mg, on which she had developed weight gain and hyperprolactinemia. Due to this, Risperidone was cross titrated with Aripiprazole. Topiramate was added to manage weight gain and mood swings; it was gradually uptitrated to 200mg over two weeks. 15 days after Topiramate had reached full dose, patient developed bleeding from nipples, ears and abdominal stretch marks. Investigations like hemogram, PT and aPTT were normal. Further investigations for clotting factors and Vitamin K were not done due to unaffordability. Topiramate was then tapered and stopped. Results: Two weeks after stopping Topiramate, the bleeding stopped. She was then maintained on Aripiprazole 30mg.\nConclusion: The temporal association of bleeding onset after Topiramate initiation and resolution after its discontinuation, suggests a likely rare adverse effect.\n\n\n### Changes in behaviour: The hidden signs of stroke\nK. Rashmi\nKVG Medical College Hospital, Sullia, Karnataka, India\nChanges in behavior should never be underestimated, as they can represent hidden manifestations of cerebrovascular compromise. Psychiatrists play a vital role in detecting these red flags and initiating timely referrals for neuroimaging and neurological assessment. Integrating psychiatric evaluation into stroke care pathways promotes early diagnosis, targeted therapy, and holistic recovery. Greater awareness, careful clinical observation, and collaboration between psychiatry, neurology, and medicine are key to bridging this diagnostic gap and improving patient outcomes.Here we have a triad of geriatric neuropsychiatric cases that collectively challenge the differential diagnosis of cognitive and behavioral impairment in the elderly.Each of our three patients presented to psychiatry OPD with psychiatric manifestations-ranging from behavioral disturbances and depression to cognitive deficits, masking an underlying organic pathology.\n\n\n### Problematic internet use in schizophrenia and its therapeutic turn\nK. Rashmi\nKVG Medical College Hospital, Sullia, Karnataka, India\nSchizophrenia is a complex behavioral and cognitive syndrome .Problematic Internet Use (PIU) is a maladaptive pattern of online activity causing dependence, leading to significant psycho-socio-occupational impairment.In schizophrenia, it may contribute to maladaptive avoidance yet offer symptom relief. Due to associated stigma of mental illness, internet tends to became a source of symptom awareness and guidance., psychoeducation is highly necessary. We would like to discuss interplay between PIU and psychosis, and its potential beneficial use.\n\n\n### The masked profile of ADHD in Women: Clinical insights from a case series\nRavjot Kaur, Abhinav Agrawal\nGovernment Medical College and Hospital, Chandigarh, India\nBackground: Attention-Deficit/Hyperactivity Disorder (ADHD) in women often goes unrecognised due to subtle, internalising childhood presentations, masking strategies, and gendered expectations around behaviour, organisation, and emotional control. As demands increase in adulthood, these compensatory mechanisms frequently fail, leading to distress, functional impairment, and misdiagnoses such as anxiety, depression, or personality disorders. Indian literature on lived experiences of undiagnosed adult women with ADHD remains limited.\nAim: To describe the lived experiences of three adult women diagnosed with ADHD in their late twenties, and to highlight gender-specific struggles contributing to delayed recognition, barriers to diagnosis, and the psychosocial impact of late identification.\nMethods: Each woman underwent comprehensive clinical evaluation, including developmental history, assessment of executive function and emotional regulation, academic and occupational functioning, interpersonal dynamics, and symptom fluctuations across the menstrual cycle.\nResults: All three women reported longstanding inattentiveness, emotional reactivity, organisational difficulties, and fluctuating academic performance despite high intellectual ability. Childhood experiences included criticism for distractibility, peer exclusion, and difficulty meeting gendered expectations at home. Each developed perfectionistic or over-adapted coping styles that masked impairment until adulthood. Diagnostic delays were reinforced by clinical dismissal or misattribution of symptoms to anxiety or mood disorders. Evaluation was typically sought after periods of academic or occupational overload. Treatment and psychoeducation resulted in improved self-esteem, task initiation, emotional regulation, and overall functioning.\nConclusion: ADHD in women presents heterogeneously and is frequently overlooked due to sociocultural factors and masking behaviours. Gender-informed assessment is essential to reduce diagnostic delays, prevent psychological morbidity, and support functional recovery.\n\n\n### From psychosisto delirium: Impact of CAM-ICU training on referral accuracy\nRegina Rachel Khakha, Seema Rani1\nESIC Medical College and Hospital, Faridabad, Haryana, India, 1University College of Medical Sciences, Delhi, India\nBackground: Delirium is a frequent yet under-recognized neuropsychiatric emergency in hospital settings. Non-psychiatry departments often refer patients to Psychiatry as suspected psychosiswhen the underlying condition is delirium, leading to delayed medical treatment and inefficient triage. The Confusion Assessment Method for the ICU (CAM-ICU) is a validated bedside tool that can help frontline teams identify delirium quickly and accurately.\nAims:\n1. To assess the proportion of referrals to Psychiatry for psychosisthat were delirium\n2. To evaluate delays in diagnosis and management caused by inappropriate referrals\n3. To implement CAM-ICU teaching for high-referring departments and measure its impact on referral quality.\nMethods: A retrospective review of all Psychiatry referrals labelled suspected psychosiswas conducted over a 2-month baseline period. Data collected included referring department, presenting symptoms, CAM-ICU use, final diagnosis, and time to delirium management. An intervention consisting of structured CAM-ICU teaching sessions was delivered to various hospital teams. A prospective re-audit was performed six weeks later using identical criteria.\nResults: Of 126 baseline referrals, 68% were found to have delirium rather than psychosis. CAM-ICU use prior to referral was 0%. Mean time for delirium treatment initiation was 24 hours. After the intervention, inappropriate referrals decreased to 29%, and time to delirium treatment reduced to 12 hours. Feedback indicated improved confidence in delirium screening.\nConclusion: Implementation of CAM-ICU training significantly improved recognition of delirium, reduced inappropriate Psychiatry referrals, and shortened time to medical management. Routine CAM-ICU screening is feasible and enhances interdisciplinary efficiency and patient safety.\n\n\n### Pramipexole-induced othello syndrome in advanced parkinson’s disease: Persistence despite pimavanserin therapy\nRishabh Nagar, Surendra Paliwal1\nCentral Institute of Psychiatry, 1Department of Psychiatry, Central Institute of Psychiatry, Ranchi, Jharkhand, India\nIntroduction: Psychosis is well- known as a highly relevant psychiatric symptom in Parkinson’s disease (PD).While visual hallucinations are most frequent, delusions are rarer, affecting approximately 7% of patients. Othello Syndrome (delusion of infidelity) is a complex form of psychosis strongly associated with Dopamine Agonists (DAs). We present a case demonstrating the refractoriness of Pramipexole-induced Othello syndrome to targeted antipsychotic therapy, highlighting the drug’s critical causal role.\nCase Description: A 61-year-old male with PD, on Levodopa/Carbidopa 75/300 mg and Entacapone 200 mg, was started on the DA Pramipexole 3.15 mg for motor control. He soon developed a severe, fixed delusion of infidelity (Othello syndrome), discretely, without other psychotic features. The patient was treated with the specific antipsychotic Pimavanserin 34 mg, but the delusion persisted and failed to improve over several months, indicating therapeutic resistance.\nDiscussion and Conclusion: We speculate that Pimavanserin’s failure to resolve the delusion while the patient remained on Pramipexole was the result of drug’s potent D3-receptor agonist activity which served as a persistent, overriding driver of the psychosis. Upon Pramipexole cessation, the patient experienced a significant and lasting reduction in the delusion’s intensity, confirming the role of Pramipexole in the causation of delusion. For complex, DA-induced delusions, drug withdrawal can be arguably most effective intervention, taking precedence over antipsychotic dose escalation or switching to new antipsychotic.\nKey words: Delusion of Infidelity, dopamine agonist, othello syndrome, parkinson’s disease, pimavanserin, pramipexole, psychosis\n\n\n### Manic presentation of autoimmune limbic encephalitis: A case report\nRitika Deshmukh, Nagalakshmi\nInstitute of Mental Health, Hyderabad, Telangana, India\nBackground: Limbic encephalitis (LE) manifests with subacute neuropsychiatric symptoms, including mania, often mimicking primary psychiatric disorders. Misdiagnosis delays immunotherapy and worsens prognosis.\nAims: Describe atypical manic onset of autoimmune LE in a 45-year-old male, highlight diagnostic features, and advocate early neuroimaging in new-onset mania with seizures.\nMethods: Case report of a 45-year-old male with abrupt manic symptoms: pressured speech, excessive spending, grandiosity, elevated self-esteem, reduced sleep need, racing thoughts, and distractibility. After 2-3 months, generalized seizures led to hospitalization. Investigations comprised MRI (bilateral medial temporal T2/FLAIR hyperintensities), cerebrospinal fluid analysis (lymphocytic pleocytosis), electroencephalography (temporal epileptiform discharges), and serum autoantibodies (anti-LGI1 positive).\nResults: Confirmed autoimmune LE without neoplasm. Immunotherapy with intravenous methylprednisolone, intravenous immunoglobulin, and rituximab controlled seizures and resolved mania within weeks. Partial memory recovery noted at 6 months; follow-up MRI showed hippocampal atrophy.\nConclusion: Rule out LE in atypical mania via MRI, electroencephalography, and cerebrospinal fluid in progressive cases. Timely immunotherapy prevents chronic deficits and refines diagnostic practice.\n\n\n### Early augmentation with repetitive transcranial magnetic stimulation in a patient with anorexia nervosa and severe depression: A case report\nRitwick Tripathi\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Anorexia nervosa with comorbid depression is difficult to treat and places patients at high medical and psychiatric risk. Medication options are limited, and cognitive-behavioural therapy (CBT) may be less effective when depression is severe. These challenges have led to interest in neuromodulation approaches such as repetitive transcranial magnetic stimulation (rTMS), with early evidence suggesting benefit.\nAims: To describe the role of early augmentation with bilateral rTMS alongside standard treatment in a patient with anorexia nervosa and comorbid depression.\nMethods: A 22-year-old woman with anorexia nervosa (body mass index [BMI] 14.7 kg/m²) and severe depression received multimodal treatment that included early rTMS augmentation of ongoing CBT and fluoxetine 60 mg/day. rTMS was initiated early to accelerate therapeutic response to standard treatment, an approach previously used in obsessive-compulsive disorder and major depression. Baseline assessments included the Hamilton Depression Rating Scale (HAM-D), Eating Disorder Examination-Questionnaire (EDE-Q) and BMI. She underwent accelerated bilateral dorsolateral prefrontal cortex (DLPFC) theta-burst stimulation (TBS; two sessions per day; left DLPFC intermittent TBS, 600 pulses/session; right DLPFC continuous TBS, 900 pulses/session) for a total of 40 sessions.\nResults: Both depressive and eating-disorder symptoms improved (HAM-D: 29±17; EDE-Q: 5.52±3.62), accompanied by better mood, sleep and eating behaviour. BMI increased to 16.9 kg/m² at discharge. The intervention was well tolerated, with no reported adverse effects.\nConclusion: This multimodal approach, including early augmentation with accelerated bilateral rTMS, was well tolerated and associated with clinical improvement in a difficult-to-treat case. Larger controlled studies are needed to validate these findings.\n\n\n### The walking dead: A case of cotard’s syndrome presenting in severe depressive episode\nRiya Pradip Ingle, A. V. Saboo\nDr Panjabrao Deshmukh Memorial Medical College, Amravati, Maharashtra, India\nBackground: Cotard’s Syndrome is a rare neuropsychiatric condition marked by nihilistic delusions in which individuals deny the existence of themselves, their organs, or the external world. It is most often associated with severe depressive episodes with psychotic features and can result in refusal of food, dehydration, and significant functional decline. Early recognition is essential for effective management.\nAims and Objectives: To describe the clinical presentation, differential diagnostic considerations, and treatment response in a patient with Cotard’s Syndrome occurring within a severe depressive episode.\nMaterials and Methods: A 52-year-old woman underwent detailed psychiatric evaluation, mental status examination, physical assessment, and routine laboratory testing. Differential diagnoses including schizophrenia, delirium, dementia, and neurological disorders were systematically considered and excluded. Management included antidepressant and antipsychotic medication, anxiolytics, hydration, and supportive care.\nResults: The patient had a 2-month history of depressed mood, reduced sleep and appetite, self-neglect, and social withdrawal, followed by a month of nihilistic delusions that she was dead, her organs had decayed, and the world no longer existed. She refused food and water, leading to dehydration. Investigations were unremarkable, supporting a diagnosis of severe depression with psychotic features. Treatment with escitalopram 10 mg/day, olanzapine 5 mg/day, and lorazepam 1 mg at bedtime, along with supportive measures, improved oral intake and gradually reduced psychotic symptoms.\nConclusion: This case highlights a typical presentation of Cotard’s Syndrome in severe depression and underscores the value of early identification and combined pharmacotherapy.\n\n\n### Role of glutathione in autism spectrum disorder: Preliminary findings from India\nRiya Sharma, Deepak Gupta, Nabanita Sengupta\nCenter for Child and Adolescent Wellbeing, New Delhi, India\nIntroduction: Autism Spectrum Disorder (ASD) is a neurodevelopmental condition characterized by deficits in communication, social interaction, and cognition. Emerging evidence suggests oxidative stress as a contributing factor in ASD pathology. Glutathione, a key intracellular antioxidant, plays a critical role in reducing oxidative stress and supporting neurological function. This study explores the therapeutic potential of intravenous (IV) glutathione in improving cognitive and communicative outcomes in children with ASD.\nAim: To evaluate the effect of IV glutathione therapy on understanding, speech, and various domains in children with autism.\nMethods: This observational study included 35 children diagnosed with Autism Spectrum Disorder (ASD) based on DSM-5 criteria. They were divided into three age groups: 1-4 years (n=7), 4-8 years (n=20), and 8-12 years (n=6). Each child received 8-12 biweekly doses of intravenous glutathione. Clinical outcomes were measured using the Autism Treatment Evaluation Checklist (ATEC) before and after treatment, assessing changes in behavior, speech, comprehension, and cognition.\nResults: Out of 35 children, 26 (74.3%) showed improvement in understanding and cognition, and 20 (57.1%) improved in speech. ATEC scores significantly decreased in 15 (42.9%), indicating overall progress. Hyperactivity increased by 11 (31.4%), but the treatment was well tolerated with no serious side effects.\nConclusion: Preliminary findings suggest that intravenous glutathione may positively impact cognitive and communicative functions in children with ASD. However, the observation of hyperactivity in a subset of participants indicates the need for cautious administration. These encouraging results warrant larger-scale, double-blind, placebo-controlled studies to confirm efficacy and ensure safety.\n\n\n### Diagnostic drift from organic sequelae to functional psychosis after high-altitude head injury: Neuropsychiatric challenges in military settings\nRohit Singh, Sumit Sharma\nBase Hospital, Delhi Cantt, New Delhi, India\nBackground: Traumatic brain injury sustained at high-altitude presents distinctive neuropsychiatric challenges. Early post-traumatic syndromes may overlap with epileptic phenomena, making it difficult to distinguish organic sequelae from emerging primary psychosis. This diagnostic ambiguity is particularly relevant in military settings, where environmental stressors and operational demands influence symptom evolution.\nCase Description: A 36-y/o soldier sustained a high-altitude head injury followed by fluctuating cognitive decline that was insidious in onset but gradually progressive. He was initially diagnosed as Transient Global Amnesia based on early memory disturbances but, after experiencing a documented seizure episode, the diagnosis was revised to Transient Epileptic Amnesia . Over time, he developed poor self-care, irritability, apathy, social-withdrawal, and functional deterioration. Subsequent neuropsychiatric evaluations revealed thought derailment, persecutory and referential ideation, and vague auditory hallucinations, along with negative symptoms. Despite normal MRI, PET-CT, autoimmune /metabolic workups, his symptoms evolved beyond what TEA or post-traumatic syndrome could explain. Initial treatment addressed organic and epileptic components, but interdisciplinary Neurology-Psychiatry review later supported a transition toward Other-Primary Psychotic Disorder. Optimization with antipsychotics yielded gradual improvement.\nDiscussion: This case highlights the diagnostic complexity involved in differentiating organic syndromes like TEA from the emergence of functional psychosis following TBI. It demonstrates how post-traumatic and epileptic features may mask or precede a primary psychotic condition. Long-term neuropsychiatric follow-up and interdisciplinary collaboration are essential in such evolving presentations.\nConclusion: High-altitude traumatic brain injury can initiate chronic neuropsychiatric sequelae that may ultimately evolve into independent psychotic disorders, emphasizing the importance of of early evaluation and longitudinal monitoring.\n\n\n### Fluctuating sedation without complications in olanzapine overdose: A 48-hour hourly monitoring case in intellectual disability\nRohit Singh, Pankaj Kumar Sharma1\nBase Hospital Delhi Cantt, Army College of Medical Sciences, 1Base Hospital Delhi Cantt New Delhi, India\nBackground: Olanzapine overdose typically manifests with central nervous system depression, anticholinergic features, and mild cardiovascular instability. The clinical assessment becomes more challenging in individuals with intellectual disability, where baseline communication limitations may mimic or mask toxicity. This case presents a detailed 48-hour, hour-by-hour clinical and biochemical profile of a moderate-dose olanzapine overdose.\nCase Presentation: A 22-year-old male with IDD accidentally ingested approximately 75 mg of olanzapine. On arrival, he was drowsy but arousable, with stable vitals (BP 110-120/74-82 mmHg, HR 96-109/min, SpO2 98-99% room air). Gastric lavage and activated charcoal were administered promptly. Initial ABG revealed mild hypercapnia (pCO2 46.7 mmHg) with normal pH. Baseline renal, liver, and electrolyte parameters were within normal limits.During the first 24 hours, he demonstrated fluctuating consciousness levels (RASS -3 to +1), briefly becoming agitated during emergence from sedation. No extrapyramidal signs, rigidity, autonomic instability, or hyperthermia were noted. Hourly vitals remained stable, ECG showed NSR throughout, and urine-output was adequate. Serial laboratory assessments revealed normal hepatic/renal function, stable electrolytes, and a resolving stress leukocytosis (WBC 11.7 to 8.7*10³/µL). By 48 hours, the patient was alert (RASS -1), responding appropriately to verbal commands, and maintaining excellent cardiopulmonary stability.\nDiscussion: Despite moderate-dose olanzapine ingestion, the patient exhibited a benign course with no serious complications. Careful monitoring allowed differentiation between drug-induced sedation and baseline intellectual disability.\nConclusion: Moderate olanzapine overdose may present with fluctuating sedation but typically resolves with supportive care. Detailed serial monitoring assists in ruling out NMS, EPS, cardiac instability, and other life-threatening complications.\n\n\n### Early-onset inhalant dependence in a child with intellectual developmental disorder and hyperactivity: A case report\nRohit Singh, Punnet Khanna, Pushpender Kumar\nBase Hospital, Delhi Cantt, New Delhi, India\nBackground: Inhalant use disorder is an under-recognized but potentially life-threatening form of substance use disorder in children. While initiation typically occurs during adolescence, onset in early childhood is rare, particularly in those with neurodevelopmental vulnerabilities. Indian literature on early-onset inhalant dependence in children with intellectual developmental disorder (IDD) remains sparse.\nCase Presentation: 9½-year-old boy with a history of perinatal hypoxic-ischemic encephalopathy (stage II), who subsequently developed intellectual developmental disorder with partial functional catch-up. The child exhibited longstanding hyperactivity, impulsivity, poor attention, and impaired social judgment. At approximately seven years of age, he initiated petrol inhalation after exposure during vehicle refueling. Over the next two years, his inhalant use escalated to frequent daily huffing, characterized by active seeking behaviors, wandering away from home and school, concealment, and high-risk practices. Petrol inhalation was consistently followed by a transient reduction in hyperactivity and restlessness, reinforcing continued use. When access was restricted, the child developed marked irritability, restlessness, sleep disturbance, and behavioral dysregulation, which subsided after inhalation. The course was complicated by episodes of altered sensorium, unsteady gait, a prolonged missing episode, and physical injury.\nDiscussion: This case highlights the role of neurodevelopmental vulnerability, impulsivity, and behavioral reinforcement in the early onset of inhalant dependence. The calming effect of petrol inhalation may act as maladaptive self-regulation in hyperactive children with limited cognitive insight.\nConclusion: Children with intellectual developmental disorder and hyperactivity represent a high-risk group for early-onset inhalant dependence. Early identification, caregiver education, and multidisciplinary intervention are essential to prevent serious morbidity and mortality.\n\n\n### Unreported Sexual Dysfunction in Psychiatric Patients\nH. V. Roja\nBasaveshwara Medical College and Hospital, Chitradurga, Karnataka, India\nSexual dysfunction is a common yet often overlooked complication among psychiatric patients, especially those receiving selective serotonin reuptake inhibitors (SSRIs). Despite its significant impact on treatment adherence, self-esteem, and quality of life, patients rarely volunteer sexual concerns unless specifically asked. Objective tools such as the Arizona Sexual Experiences Scale (ASEX) and International Index of Erectile Function (IIEF) help uncover dysfunction that may otherwise go unnoticed. This study assessed the prevalence of unreported sexual dysfunction in psychiatric outpatients with mild or remitted symptoms.\nMethods: Twenty adult outpatients receiving treatment for depression or anxiety were evaluated using ASEX and IIEF. Symptom severity was assessed with HAM-A and HAM-D. Demographic details and medication profiles were collected to examine associations with sexual dysfunction.\nResults: Although none of the patients reported sexual problems spontaneously, objective measures revealed substantial dysfunction. The mean ASEX score was 16.95, with several patients crossing the dysfunction threshold ( >19). Male participants showed mild to moderate impairment on IIEF. Most patients were in mild or remission states (mean HAM-A/D = 6.2). Sertraline was prescribed to 30% of patients, with 50% experiencing dysfunction, while 65% received escitalopram, of whom 30.8% developed dysfunction. Dysfunction affected males and females equally (n = 4 each).\nConclusion: Sexual dysfunction remains underrecognized in psychiatric practice due to low patient disclosure and insufficient clinician inquiry. Routine, structured screening is crucial to identify this hidden burden and enhance overall treatment outcomes and quality of life.\n\n\n### Adapted psychiatric assessment in a patient with congenital hearing loss and mutism: A dissociative disorder presentation\nRonak Wahal\nAll India Institute of Medical Sciences, Gorakhpur, Uttar Pradesh, India\nBackground: Psychiatric assessment of people presenting with congenital hearing loss and mutism presents many difficulties because of communication gap, low literacy and lack of tailored scales and assessment tools for such populations. These hinderances cause late diagnosis, confusing symptoms and ineffective treatment adherence. Dissociative disorders, due to its various presentations, presents a major challenge in diagnosing and treating because of this communication gap.\nCase Description: A 24 year old woman, with congenital hearing impairment and mutism, little schooling experience, and unable to read and write except her name, had history of episodes of loss of responsiveness, tightening of limbs, gait disturbances, and easy annoyance. The symptoms started with her miscarriage which occurred at 3rd month of gestation. She had irritability after the episodes accompanied by gait and sleep disturbances. Neurological examination and MRI, EEG showed no significant abnormality. Adaptive interview techniques incorporating the family members along with ward behavior observation revealed that the patient was alert, cooperative and able to follow simple gestural commands. Assessment of thought and perceptual abnormalities was not established due to communication barrier. The episodes were triggered by high expressed emotions by family and her desire for a child. Sertraline was started and increased to 100mg/day along with short course of benzodiazepenes resulting in clinical improvement.\nConclusion: The case highlights the importance of adapted assessment approach, psychoeducation and family involvement in management of patients where communication, which is the cornerstone of psychiatric assessment, is a barrier.\n\n\n### Pregabalin dependence; commonly overlooked\nRoopa, K. Jayanth Kumar, Sudharani P. Naik\nKanachur Institute of Medical Sciences, Mangalore, Karnataka, India\nBackground: Pregabalin, a GABA analogue used for neuropathic pain and fibromyalgia, binds the α2δ subunit of voltage-gated calcium channels, reducing excitatory neurotransmitter release and raising neuronal GABA. Although not traditionally seen as a drug of abuse, growing concern exists regarding its potential for abuse and dependence.\nAim: To raise awareness of abuse potential associated with pregabalin.\nMethods: A 31-year-old married male with secondary education and a family history of alcohol use consuming pregabalin for 1 year often obtained without prescription. Use caused early work departure,mild interpersonal conflicts, and sleep disturbance on reduction. Past substance use was reported, abstinent since two years.\nResults: On examination, the patient was oriented, with coherent speech and a euthymic affect, had strong desire to use pregabalin despite attempts to cut down, and motivation was in the contemplation stage. He was diagnosed with mental and behavioral disorders due to use of other substances (pregabalin dependence) as per ICD-10. Pregabalin was tapered and substituted with diazepam which was gradually tapered off. A strict no-reissue policy was followed. MET was provided weekly for one month, then biweekly for next month, during which he remained drug-free without withdrawal symptoms. His family was psychoeducated, and follow-up was arranged to prevent relapse.\nConclusion: This case illustrates pregabalin dependence likely driven by its euphoric, GABAergic effects, easy availability, and low cost. Pregabalin should be used cautiously in history of substance use. Management relied on symptomatic treatment guided by clinical experience as there are no structured protocol.\n\n\n### A seven year silence: Challenges in diagnosis and multimodal treatment of selective mutism in adolescents\nRoshan Pund, Seshan Vaeshney, Aparna Goyal, Deepak Kumar\nIHBAS, New Delhi, India\nBackground: Selective Mutism (SM) is an anxiety-related childhood disorder characterised by a persistent inability to speak in specific social contexts despite normal speech in familiar environments. Chronic untreated cases can lead to significant academic and social impairment.\nCase Description: Master T, a 13-year-old boy studying in Class 7 from a Hindu nuclear middle-class family in Delhi,presented with a seven-year history of inability to speak at school and at home. He relied on gestures for communication and showed social withdrawal, poor academic performance, and limited peer interaction. Birth history was normal, and developmental milestones were age appropriate. Physical and neurological examinations, MRI, and hearing evaluation revealed no structural or sensory abnormalities. A multimodal treatment plan was initiated consisting of benzodiazepines for anxiety, behavioural interventions, speech therapy, and parental counselling. Limited improvement initially led to a lorazepam-assisted interview, facilitating verbal engagement and revealing a school-related stressor. Follow-up focused on coping skills, graded exposure, and systematic speech reinforcement.\nDiscussion: Prolonged mutism reinforces anxiety and avoidance, making recovery more challenging. A multimodal approach involving therapy, parents, and school support becomes essential. Sensitising caregivers and teachers is important to avoid negative remarks and recognise stressors within the school environment that may precipitate or worsen symptoms.\nConclusion: Early diagnosis and a coordinated multidisciplinary treatment plan are essential. With structured therapy and strong family and school involvement, even long-standing mutism can improve significantly.\nKey words: Childhood anxiety, lorazepam-assisted interview, selective mutism\n\n\n### A case report of zolpidem dependence in a patient with alcohol use disorder\nRoshan Rejiphilip, Sameer Negi1\nGrant Government Medical College and Sir JJ Group of Hospitals, 1Gokuldas Tejpal Hospital, Mumbai, Maharashtra, India\nBackground: Zolpidem is a non-benzodiazepine hypnotic widely used for short-term management of insomnia and is often considered to have lower dependence potential than benzodiazepines. However, individuals with alcohol use disorder remain at increased risk for misuse and cross-dependence when transitioning between sedative-hypnotics.\nCase Description: A 39 year old male with alcohol use disorder underwent withdrawal management with lorazepam, and continued it for sleep afterwards. He gradually developed lorazepam dependence, prompting discontinuation and substitution with nightly zolpidem. Although sleep initially improved, he began experiencing anxiety when doses were missed. Over time, he developed daytime anxiety and started taking morning doses of zolpidem for relief. This led to escalating use in both frequency and quantity, inability to reduce intake and one instance of non suicidal medication overdose. He eventually required a structured taper, behavioural interventions, and psychoeducation to manage withdrawal symptoms and restore healthy sleep patterns.\nDiscussion: This case highlights how patients with alcohol use disorder are vulnerable to developing dependence even on hypnotics perceived as safer alternatives. Zolpidem can produce reinforcing effects, rebound symptoms, and anxiety that contribute to compulsive use. Cross-dependence may occur when switching from benzodiazepines to non-benzodiazepine hypnotics, particularly without close monitoring or adjunctive behavioural treatments.\nConclusion: Caution is warranted when prescribing hypnotics to individuals with alcohol use disorder. Careful dose supervision, early identification of dependence, behavioural sleep strategies, and patient education are essential to prevent and manage hypnotic dependence.\nKey words: Alcohol use disorder, hypnotic dependence, zolpidem\n\n\n### Post partum groans, unravelling brainstones – A fahr’s syndrome case presenting as postpartum psychosis\nRubina Khan, Dipanwita Biswas1, Iftekhar Anzoom1\nCalcutta National Medical College and Hospital, 1Calcutta National Medical College, Kolkata, West Bengal, India\nBackground: Fahr’s syndrome is a rare neurodegenerative disorder marked by idiopathic bilateral intracranial calcifications, most commonly affecting the basal ganglia, and is associated with a spectrum of neuropsychiatric manifestations. Postpartum psychosis, presenting acutely in the early puerperal period, is a psychiatric emergency with dominating affective and psychotic symptoms. The co-occurrence of these two conditions is exceptionally rare and diagnostically challenging.\nAims: To highlight the importance of organic screening in postpartum psychosis and to underscore neuroimaging’s role in uncovering secondary causes.\nMethods: A 20-year-old primiparous woman presented two weeks after delivery with acute-onset restlessness, mood lability, persecutory delusions, and insomnia. There was no prior psychiatric or relevant family history. Neurological examination revealed mild extrapyramidal features. Routine laboratory evaluation, metabolic work-up including calcium and parathyroid hormone, and CT imaging were conducted.\nResults: Neuroimaging revealed symmetrical calcifications in bilateral basal ganglia and cerebellar dentate nuclei. The patient was diagnosed with postpartum psychosis secondary to Fahr’s syndrome. Multidisciplinary management included low-dose antipsychotic and mood-stabilizer therapy.\nConclusion: This case highlights the value of comprehensive evaluation, including neuroimaging, in cases of new-onset or atypical postpartum psychosis. Early identification and management of underlying organic pathology like Fahr’s syndrome can be lifesaving and improve long-term outcomes in such rare co-occurrences.\n\n\n### Bodily distress disorder with prescription drug dependence-a complex diagnostic intersection: A case report\nRupam Kumari, Preeti Dalal, Ankita Chattopadhyay, Manoj Kumar\nInstitute of Human Behaviour and Allied Sciences, New Delhi, India\nBackground: Bodily Distress Disorder involves persistent physical symptoms without adequate medical explanation, often coexisting with high health anxiety.\nAims and Methods: We hereby aim to demonstrate the unique presentation of a 36 years male with persistent somatic preoccupation, who resorted to prolonged and unsupervised intake of multiple medications, gradually leading to dependence and creating management challenges.\nResults: The patient presented with a five-year history of body aches, weakness, and tingling sensations. Despite reassurance from multiple doctors and normal investigations, he remained unconvinced and preoccupied with health-related issues, seeking repeated consultations for the same. He began self-medicating with Alprazolam and progressively increased his intake to 6-8 tablets of 0.5 mg daily. Attempts to reduce Alprazolam resulted in withdrawal, leading to further dose escalation and functional decline. He also would complaint of epigastric discomfort with poor appetite for which he was prescribed medications like Mefenamic Acid, Ofloxacin, and Ranitidine by a doctor. After initial improvement, he started taking these on his own about 2-3 tablets of each daily to feel relaxed and fresh. He was diagnosed as 6C20 Bodily distress disorder, 6C44.2 Sedative, hypnotic or anxiolytic dependence and 6C4H Disorders due to use of non-psychoactive substances. Inpatient treatment with a chlordiazepoxide-assisted taper, psychoeducation, CBT, relaxation training, and family counselling led to significant improvement.\nConclusion: This case demonstrates how health anxiety and somatic preoccupation can reinforce excessive medication use, eventually leading to dependence and inappropriate usage of non-psychoactive medications, highlighting the need for early identification, integrated biopsychosocial management, and responsible prescribing practices.\n\n\n### From recreational use to psychosis: A case report of methamphetamine induced psychosis\nRupinder Kaur, Amit Khanna\nInstitute of Human Behaviour and Allied Sciences, New Delhi, India\nBackground: Yaba, a Thai term meaning crazy medicine,refers to a tablet form of methamphetamine, while Icedenotes its crystalline form. Methamphetamine use is commonly associated with psychotic symptoms, often mimicking primary psychotic disorders and creating diagnostic challenges.\nAims and Methods: This case report aims to describe the clinical presentation, substance-use pattern, diagnostic evaluation, and treatment response in a patient with methamphetamine-induced psychosis. A detailed clinical history was obtained following symptomatic improvement. Mental status examination, physical examination, and routine laboratory investigations were conducted.\nResults: A 33-year-old female foreign national was brought to the emergency department with muttering to herself, gesturing in the air, disrobing, unprovoked aggression, and disturbed sleep for five days. MSE revealed increased psychomotor activity, elated affect, and hallucinatory behaviour, with auditory hallucinations reported subsequently. She reported Yaba use since the age of 18, escalating to approximately 20 tablets per day, with occasional use of methamphetamine in the form of Ice, with last intake being one week prior to symptom onset. Physical examination revealed dental decay, while routine investigations were normal. She was diagnosed with stimulant dependence syndrome (F15.21) and stimulant-induced psychotic disorder (F15.5). Treatment with risperidone, titrated up to 6 mg/day, resulted in marked improvement. After stabilization, she was discharged on risperidone 6 mg/day with scheduled follow-up.\nConclusion: This case highlights severe psychotic manifestations associated with methamphetamine use and underscores the importance of thorough substance-use assessment.\n\n\n### Psychodynamic, behavioral, and pharmacological management of public sexual behavior in an adult with autism spectrum disorder: A case report\nS. V. Subhash, K. Shankar\nBangalore Medical College and Research Institute, Bengaluru, Karnataka, India\nBackground: In adults with Autism Spectrum Disorder (ASD), impaired social cognition, rigid behavioral patterns, and difficulty interpreting internal states often contribute to inappropriate sexual behaviors. When combined with low literacy and limited coping strategies, sexual impulses may become repetitive, stimulus-bound, and socially disruptive.\nCase Description: A 51-year-old married male with ASD (education till 4th standard) presented with repeated public masturbation on a specific road after watching women fetch water from a hand pump. He demonstrated minimal awareness of social boundaries and was unable to identify early arousal cues. He also exhibited hypersexual behavior towards his wife with demands for prolonged intercourse. Family stress was heightened due to his younger son’s intellectual disability.\nAssessment and Formulation:\n• Impaired impulse control and poor understanding of privacy\n• Sensory driven arousal triggered by a specific visual stimulus\n• Behavioral rigidity characteristic of ASD\n• Severely limited mentalization, making urge identification difficult.\nDue to low literacy, urge diaries were not feasible.\nIntervention:\n1. Behavioral training using simple pictures to teach public vs. private acts\n2. Redirection strategies, instructing masturbation only in a closed room\n3. Stimulus control, modifying his walking route to reduce exposure to the triggering location\n4. Spousal psychoeducation to set sexual boundaries\n5. Supportive psychodynamic techniques focusing on impulse regulation\n6. Pharmacotherapy with Escitalopram 30 mg/day to reduce compulsive sexual behavior, intrusive urges, and mood-related impulsivity.\nOutcome: Within 2-3 sessions, public masturbation reduced markedly, and he consistently shifted the behavior to private spaces. Family distress decreased, and marital dynamics improved.\n\n\n### Pattern of substance use among adolescents attending psychiatry opd of a tertiary care hospital: A case series\nSafoorabi, Shijoy P. Kunjumon\nTravancore Medical College, Kollam, Kerala, India\nIntroduction: Adolescence is a vulnerable period for initiation of psychoactive substance use. In tertiary psychiatry outpatient settings, adolescents presenting with substance use represent a distinct clinical subgroup with important psychosocial and treatment implications. However, data describing their patterns of use in Indian clinical settings are limited.\nAim: To study the socio-demographic and clinical profile and substance use pattern among adolescents attending Psychiatry OPD with substance use.\nMethods: This cross-sectional case series included 20 consecutive adolescents (aged 12-18 years) presenting with substance use to the Psychiatry OPD between January 2025 and June 2025. Sociodemographic and clinical details were collected using a structured proforma. Substance use characteristics (type, mode, frequency, and age at onset) were recorded. Screening was done using the CRAFFT tool. Descriptive statistics are presented.\nResults: The sample comprised 20 adolescents (mean age 16.2 ± 1.4 years), with 16 males (80%) and 4 females (20%). Tobacco was the most common substance, reported in 16 adolescents (80%), including both smoked forms (cigarettes/bidis) and chewable/sublingual preparations. Alcohol use was reported in 6 (30%), and cannabis in 2 (10%). Multiple-substance use (mainly tobacco + alcohol) was observed in 8 adolescents (40%). The median age of initiation was 15 years. Most adolescents reported academic decline (55%), poor peer relationships (40%), and family history of substance use (30%). CRAFFT scores indicated high-risk use in 12 out of 20 adolescents (60%).\nConclusion: Adolescents presenting to psychiatry OPD with substance use predominantly reported tobacco, followed by alcohol, with cannabis being relatively less frequent.\n\n\n### Family dynamics and treatment challenges in an adolescent with first-episode psychotic depression and catatonia\nSagar Sondhi, Shivangi\nGovernment Medical College and Hospital, Chandigarh, India\nBackground: Depression in adolescents often presents with irritability, behavioural disturbances, somatic complaints, and academic decline. Delayed help-seeking, family conflict, and reliance on faith-healing may worsen the illness trajectory and disrupt treatment.\nAim: To describe the assessment and multimodal management of a 13-year-old girl with single-episode depressive disorder with psychotic symptoms and catatonia, emphasising diagnostic complexity and family-related perpetuating factors.\nMethods / Case Summary: The patient presented with a 1.5-year fluctuating illness following exposure to a neighbourhood suicide. Symptoms included persistent fearfulness, irritability, low mood, crying spells, anorexia, anhedonia, second-person auditory hallucinations, delusion of reference, socio-academic decline, hostility, two suicide attempts, and catatonic features (staring, mutism, posturing, ambitendency). Previous treatment interruptions due to faith-healing contributed to relapses. She was admitted under MHCA-2017 Section 87. Assessment included serial Mental State Examinations, psychometry, the Brief Psychiatric Rating Scale, the Hamilton Depression Rating Scale, and laboratory investigations. Management involved olanzapine 10 mg, intravenous lorazepam 4 mg for catatonia, a trial of risperidone (stopped for hyperprolactinemia), cross-taper to aripiprazole 5 mg, and escitalopram 10 mg. Psychosocial interventions included rapport-building, psychoeducation, and structured family counselling.\nResults / Discussion: Longitudinal evaluation revealed predominant affective symptoms, resulting in a revised diagnosis of psychotic depression with catatonia. Multidisciplinary treatment improved mood, interaction, behaviour, psychotic symptoms, and functioning. High expressed emotion and stigma significantly affected illness course.\nConclusion: Early recognition, systematic evaluation of catatonia, judicious pharmacotherapy, and intensive psychoeducation particularly addressing family-system factors are essential for sustained recovery.\n\n\n### High-dose buprenorphine for fentanyl dependence in a rural patient with co-morbid sickle cell disease: A case report\nSahil Jamal, A. K. Mishra, Prashant Choudhary\nUPUMS, Saifai, Uttar Pradesh, India\nBackground: Fentanyl dependence represents a rising challenge in India, characterized by high opioid tolerance, severe withdrawal symptoms, and inadequate response to standard buprenorphine doses. The presence of chronic pain disorders such as sickle cell disease (SCD) further complicates treatment because opioid analgesia is clinically required during vaso-occlusive crises.\nAims: To present the clinical course and therapeutic response of a patient with fentanyl dependence and co-morbid SCD managed with high-dose buprenorphine in a rural tertiary care centre.\nMethods: A 24-year-old male with daily fentanyl use and a history of recurrent SCD pain crises underwent supervised induction of buprenorphine-naloxone. The dose was escalated based on withdrawal severity, craving intensity, and functional improvement. Pain crises were collaboratively managed with the hematology team using supervised rescue opioids. Psychosocial interventions, including motivational interviewing, family counselling, and psychoeducation, were provided throughout treatment. Follow-up was conducted over a period of three months.\nResults: Escalation to a high maintenance dose of 24 mg/day of buprenorphine in divided doses was required to achieve adequate control of withdrawal and craving, as standard doses (up to 12 mg/day) proved insufficient. After three months of follow-up, the patient remained abstinent from illicit fentanyl, reported improved daily functioning, and required only one hospitalization for SCD crises, compared to three admissions during the previous similar duration. No major adverse effects occurred, except mild constipation and transient sedation.\nConclusion: High-dose buprenorphine may be a safe and effective therapeutic option for fentanyl dependence when standard doses fail, even in the presence of complex comorbidities.\n\n\n### An unusual case of CMV presenting with depressive symptoms: A case report\nSamant Singh, Sarah Afzal1, Richa Tripathi, Rashid Alam\nAll India Institute of Medical Sciences, Gorakhpur, Uttar Pradesh, 1Max Superspeciality Hospital, Shalimar Bagh, Delhi, India\nA case of severe, chronic depressive disorder and headache temporally aligned with profound vision loss, secondary to complex inflammatory ocular pathology, further complicated by an acquired circadian rhythm disorder and underlying endocrine comorbidities.This complex presentation highlights multiple interacting pathologies. The chronic headache and MDE( Major depressive episode) are strongly linked to the devastating visual impairment and the underlying chronic intraocular inflammation (uveitis), with CSR( Central serous retinopathy) and iridocyclitis.This case represents a severe medically complex depressive episode secondary to chronic, sight-threatening ocular inflammation and subsequent blindness-induced circadian rhythm disruption. It emphasizes the need for thorough investigation of physical causes, including inflammatory and infectious markers like CMV(cytomegalovirus), in patients presenting with new-onset, complex psychiatric and neurological symptoms, particularly when compounded by endocrine disease.\n\n\n### Lepromatous leprosy with severe behavioural disturbances: A case summary\nSameer Raghunath Bhoye\nGovernment Medical College, Chhatrapati Sambhajinagar, Maharashtra, India\nBackground: Lepromatous leprosy is a chronic infection caused by Mycobacterium leprae, known for its dermatological and neurological complications. However, psychiatric manifestations often driven by neuropathy, stigma, disability, and chronic infection remain under-recognized. Aim: This report describes behavioural disturbances in patient with leprosy.\nThe patient, 38 year old male, labourer presented with progressive nodular skin lesions for 2 years, followed by glove-and-stocking anaesthesia. Repeated unnoticed trauma led to a chronic, foul-smelling ulcer on the left foot. Over the one month, he developed severe irritability, verbal outbursts, and episodes of aggression towards family and strangers, alongside sleep disturbance and social withdrawal.\nExamination revealed diffuse nodular infiltrated lesions present all over the body. The infected ulcer measured approximately 4.2 cm. Lab investigations showed mild anaemia and deranged liver function tests. Mental status evaluation showed irritability, labile affect, irrelevant speech, persecutory ideas, and absent insight, suggesting behavioural disturbance likely secondary to chronic illness or organic psychosis.\nThe patient was diagnosed with multibacillary lepromatous leprosy with a chronic ulcer and comorbid behavioural disturbance. Management included multidrug therapy (Rifampicin, Clofazimine, Dapsone), wound care, protective footwear, and psychiatric treatment with Risperidone 8mg and Lorazepam 2mg. Supportive psychotherapy, family counselling, and linkage to rehabilitation services were initiated.\nConclusion: This case highlights the dual burden of physical morbidity and psychological dysfunction in leprosy. Early psychiatric evaluation, integrated medical care, and community-based rehabilitation are essential for optimising outcomes and reducing stigma associated with the disease.\n\n\n### Typhoid fever-associated catatonia: A four-patient case series responding to electroconvulsive therapy\nSamiksha Sahu, K. M. Sarita\nGandhi Medical College, Bhopal, Madhya Pradesh, India\nBackground: Typhoid fever, caused by Salmonella typhi, rarely leads to post-infectious neuropsychiatric sequelae, including catatonia. This case series reports four patients (aged 16-25 years, from typhoid-endemic regions in India) who developed catatonia following confirmed enteric fever. All presented with prolonged fever (7-14 days), positive blood cultures for S. typhi, and received antibiotics (ceftriaxone or cefuroxime), achieving defervescence within 48-72 hours. However, 5-10 days post-resolution, they exhibited catatonic features: mutism, stupor, posturing, waxy flexibility, and rigidity (Bush-Francis Catatonia Rating Scale scores 15-22), without primary psychiatric history or ongoing infection.\nAims: To describe the clinical course of post-typhoid catatonia in four cases, evaluate response to lorazepam and ECT, and highlight typhoid toxin’s role in neuropsychiatric complications.\nMethods: Initial management involved lorazepam (4-8 mg/day) for 3-5 days. Persistent symptoms prompted bilateral ECT (6-12 sessions, 2-3 times weekly) under anaesthesia, targeting presumed basal ganglia dysfunction from typhoid endotoxins disrupting dopaminergic-cholinergic balance. Adjunct olanzapine (5-10 mg) addressed residual negativism. Follow-up spanned 6 months.\nResults: Lorazepam yielded partial response, but ECT produced dramatic improvement: catatonia scores dropped to <5 by session 4-6, achieving full remission (normal speech, mobility, cognition) within 2-4 weeks. No adverse effects or relapse noted at 6-month follow-up.\nConclusion: pathophysiologically, typhoid toxin induces blood-brain barrier breach, neuroinflammation, and parkinsonism-catatonia overlap, as evidenced in recent models. These findings affirm ECT’s efficacy in organic catatonia refractory to benzodiazepines, urging typhoid serology in acute catatonic states from endemic areas. Early intervention prevents prolonged morbidity.\n\n\n### Chronic neuropsychiatric sequelae following cva and head injury: A case report\nSamiya Ahmed, Samiya\nNetaji Subhash Chandra Bose Medical College, Jabalpur, Madhya Pradesh, India\nBackground: Cerebrovascular accidents (CVA) and head injuries are major causes of long-term disability, often resulting in persistent neuropsychiatric disturbances. These sequelae frequently remain under-recognized and complicate recovery.\nAims: To evaluate characteristics of chronic neuropsychiatric sequelae following CVA and head injury, and to emphasize the importance of early identification and multidisciplinary management.\nMethods: A case This case of a 54 year old male demonstrates gross changes in personality and behaviour following head injury in RTA. Prior to the accident, he was a social,well adjusted normal functioning individual with good frustration tolerance but after that he was unmanageable at home with frequent bouts of unprovoked aggression, irritability, wandering and disinhibited behaviour. radiological investigations were done. Chronic infarct and gliosis right parietooccipital region and dilatation of body and occipital horn of lateral ventical were seen,, he was started on tablet olanzapine and tablet valproate, and the patient showed significant improvement in the behavourial complaints, during subsequent follow up.\nResults: Findings- cognitive impairments- executive dysfunction, attention deficits, and memory problems are common. Emotional disturbances including depression, anxiety, and emotional lability are prevalent, while behavioral issues such as agitation, apathy, and impulsivity contribute significantly to caregiver burden. Early neurorehabilitation and integrated psychiatric follow-up were associated with improved long-term outcomes.\nConclusion: Chronic neuropsychiatric sequelae after CVA and head injury impact functional recovery. Early detection and a coordinated multidisciplinary approach are essential for optimizing patient outcomes and enhancing quality of life.\n\n\n### OCD-Compulsion as connection: A rare case report\nSampad Kumar Naik, Haseeb Khan, Astha Singh, Natasha, Saurabh Upadhyay\nDepartment of Psychiatry, Hind Institute of Medical Sciences, Barabanki, Uttar Pradesh, India\nIntroduction: Obsessive-Compulsive Disorder (OCD) commonly involves themes like contamination, checking, or intrusive thoughts of harm or morality. However, it can manifest through rare and interesting obsessions and compulsions, reflecting its diverse nature. This report highlights a unique thought of losing her mother-related obsession and compulsion of bathing.\nCase Report: A 15-year-old female presented to the Psychiatry Outpatient Department with persistent, intrusive thoughts about losing her mother when someone passes between her and her mother. To alleviate the resulting anxiety, she feels compelled to hold her mother’s hand for most of the day, which offers only temporary relief. Her anxiety intensifies when others approach, as she perceives them as potential threat that they might pass between her and her mother. She also has restricted her mother from performing routine household activities, including cooking, insisting on constant holding of her hand even when she uses the bathroom. If anyone walks between her and her mother, she feels compelled to take bath to neutralize these thoughts. These symptoms have caused significant impairment in her functioning.\nDiscussion: This report outlines a rare OCD presentation marked by obsessions and compulsions driven by fear of losing her mother. Such atypical forms expand the understanding of OCD beyond common patterns. Early recognition of these unusual features supports timely diagnosis, targeted intervention, and improved overall functioning.\nConclusion: This case shows OCD may appear in atypical forms beyond common themes. Early recognition, tailored treatment, and family psychoeducation are key to effective management and better overall outcomes.\n\n\n### Compulsion behind the gaze: A case report of voyeuristic disorder treated with paroxetine\nSamyadip Bardhan, T Naga Laxmi\nOsmania Medical College, Hyderabad, Telangana, India\nBackground: Voyeuristic disorder, classified under paraphilic disorders in both ICD-11 and DSM-5-TR, is characterized by recurrent and intense sexual arousal from observing unsuspecting individuals during private activities, accompanied by impaired control, distress, or functional impairment. Evidence for pharmacological treatment, particularly with selective serotonin reuptake inhibitors (SSRIs), remains limited and largely based on case reports.\nCase Presentation: We report the case of an adult male who presented with recurrent, persistent, and distressing urges to observe individuals undressing without their awareness. The urges were experienced as ego-dystonic, associated with mounting internal tension and subsequent transient relief, and resulted in significant psychosocial distress and impaired functioning. There was no history of psychotic symptoms, mood disorder, substance use, or neurological illness. The clinical presentation fulfilled diagnostic criteria for voyeuristic disorder as per ICD-11 and DSM-5-TR.\nIntervention and Outcome: The patient was treated with paroxetine, gradually titrated to a therapeutic dose. Over the course of treatment, there was a marked reduction in the frequency and intensity of voyeuristic urges, along with improved impulse control and reduced preoccupation.\nConclusion: This case supports the role of SSRIs, particularly paroxetine, in the management of voyeuristic disorder, possibly through serotonergic modulation of impulsivity and compulsive sexual urges.\n\n\n### Nocturnal enuresis and epileptic seizures: An intriguing clinical combination – A case report\nSanchita Pandey, G. Prasad Rao\nAsha Hospital, Hyderabad, Telangana, India\nIntroduction/Background: Adult-onset nocturnal enuresis is an uncommon symptom that often leads to psychiatric or urological referral. However, it can rarely be caused by nocturnal epilepsy, presenting as isolated bedwetting due to transient loss of bladder control\nduring seizures. This atypical presentation is frequently overlooked, which can delay diagnosis and appropriate treatment.\nCase Description: A 21-year-old female B.Tech student residing in a hostel reported recurrent nocturnal enuresis occurring 5-6 times annually, mainly in early morning hours. She had no prior history of childhood enuresis, limb movements, or seizure-like activity and no family history of epilepsy. Physical and neurological examinations were normal, and urinalysis was unremarkable. Electroencephalography revealed epileptiform spikes in the parietal and temporal regions consistent with focal nocturnal epilepsy.\nDiscussion/Conclusion: This case highlights that nocturnal epilepsy can manifest solely as recurrent adult-onset enuresis without classical seizure features such as tonic-clonic activity. EEG is essential to differentiate epileptic from primary enuresis cases. Recognizing this presentation enables early diagnosis and targeted antiepileptic therapy, preventing misdiagnosis and unnecessary investigations.\n\n\n### Acute-to-maintenance multisite rTMS yields significant motor gains in parkinson’s disease: A case report\nSandhya Verma\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Parkinson’s disease (PD) is a progressive neurodegenerative disorder characterized by bradykinesia, rigidity, tremor, and postural instability. As the disease advances, gait impairment and motor fluctuations may become refractory to optimized dopaminergic therapy. Repetitive transcranial magnetic stimulation (rTMS) is increasingly explored as a non-invasive adjunct for motor symptom improvement in PD.\nAims: To evaluate the impact of acute-to-maintenance multisite theta-burst stimulation (TBS) augmentation in a patient with persistent motor impairment despite optimized pharmacotherapy.\nMethods: A 73-year-old man with a 4-year history of idiopathic PD continued to experience disabling motor symptoms despite stable dopaminergic treatment. He received multisite TBS targeting Cz, C3, C4, and the supplementary motor area (SMA), administered twice daily, six days per week, during the acute phase. This was followed by maintenance TBS delivered twice daily twice weekly for 4 weeks, then weekly, and subsequently biweekly. A total of 84 sessions were completed without modification of his medication regimen.\nResults: The multisite TBS protocol was well tolerated across all 84 sessions, with no adverse effects reported. The patient demonstrated marked motor improvement, with UPDRS-III scores decreasing from 81 at baseline to 38 during maintenance therapy a 53.1% reduction in motor symptom severity. Notably, these gains occurred without any adjustment in dopaminergic dosing, underscoring the potential additive benefit of neuromodulation.\nConclusion: Multisite rTMS produced substantial and sustained motor recovery in this patient with advanced PD. These findings highlight the potential of rTMS as an effective, non-invasive adjunctive therapy for motor symptoms in PD.\n\n\n### Persistent visual hallucinations and confabulation following managed delirium tremens: A case report\nSanjana Bhasin\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Delirium tremens is a severe manifestation of alcohol withdrawal. Persistent psychotic symptoms after resolution are rare and may indicate alcohol-induced psychosis, Wernicke-Korsakoff syndrome or brain injury.\nAims: To describe the clinical course and management of persistent visual hallucinations and confabulation following adequately treated delirium tremens in a patient with chronic alcohol dependence.\nMethods: Single-case report from a tertiary-care hospital. A 53-year-old man with coronary artery disease and 28 years of alcohol dependence presented with delirium tremens and received injectable diazepam up to 120 mg/day, high-dose parenteral thiamine up to 1200 mg/day, electrolyte correction and hydration. After resolution of autonomic instability and clouding of consciousness, he continued to report vivid visual hallucinations and confabulation about ward events, despite normal electrolytes and CT evidence of cortical and cerebellar atrophy. He was sequentially treated with quetiapine (up to 300 mg/day) and olanzapine (up to 10 mg/day); a trial of aripiprazole 10 mg/day led to clinical worsening.\nResults: Irritability and behavioural disturbance improved with quetiapine, but persistent visual hallucinations, suspiciousness and confabulation required olanzapine augmentation. Reintroduction of olanzapine 5 mg/day after aripiprazole-related worsening led to gradual reduction in hallucinations over two weeks, while confabulatory memories persisted. Thiamine 300 mg/day was maintained.\nConclusion: Persistent hallucinations and confabulation after resolution of delirium tremens pose diagnostic and therapeutic challenges, suggesting alcohol-related psychosis or evolving Korsakoff syndrome. The case highlights the need for early cognitive assessment, ongoing thiamine supplementation and careful antipsychotic selection in medically comorbid patients.\n\n\n### Catatonia following irregular psychotropic and sedative use in a woman with seizure disorder: Discussing polypharmacy, neurobiological pathways and early identification and treatment\nSanjana Sharma, Ritwik Mishra, Rajneesh Bharat1\nArmed Forces Medical College, 1Command Hospital, Southern Command, Pune, Maharashtra, India\nCatatonia is recognized as a neuropsychiatric syndrome associated most frequently with mood disorders, and is highly responsive to GABA ‘ergic agents, particularly lorazepam. Disruption of fronto ‘striato ‘limbic circuits with GABA ‘A hypoactivity and relative NMDA hyperactivity has been proposed as a pathophysiological mechanism, explaining the lorazepam challenge response seen across diverse catatonic presentations. Case series and consensus guidelines emphasize that early identification and prompt benzodiazepine treatment substantially reduce morbidity and mortality, reserving electroconvulsive therapy for lorazepam non ‘responsive cases. Catatonia presents unique diagnostic and therapeutic challenges for clinicians. Beyond the underlying psychiatric illness, physicians must also manage complications arising from the catatonic state itself. Although catatonia may manifest as motoric overactivity or immobility, it is relatively uncommon and often difficult to diagnose, particularly in patients with undifferentiated psychiatric illness on multiple psychotropics. We present a 36 ‘year ‘old woman with seizure disorder, prior endometriosis surgery, and chronic interpersonal stress presented with acute confusion, irrelevant speech, self ‘neglect, and a generalized tonic-clonic seizure in background of irregular, self ‘directed use of olanzapine, zolpidem, venlafaxine and benzodiazepines. She was diagnosed as a case of catatonia and started on intravenous lorazepam producing a rapid and marked improvement within hours. She was later diagnosed as a case of moderate depressive episode. This report adds to emerging evidence that abrupt changes or unsupervised withdrawal in chronic benzodiazepine or psychotropic use can precipitate catatonia. It highlights risks of indiscriminate psychotropic use, importance of early recognition, timely intervention, and multidisciplinary rehabilitation in a case of catatonia.\n\n\n### Mgt of BPD, a case study using DBT\nSanjay Kumar, Soniya Vats1, Lakshmi S. Kumar1\nArmy Medical Corps, 1National Forensic Sciences University, Ganghinagar, Gujarat, India\nIntroduction: Borderline Personality Disorder (BPD): chronic emotion dysregulation, impulsivity, unstable relationships, frequent self-harm and suicidal behaviors.\nPrevalence: 0.7-2.7% in general population; much higher in clinical settings (up to 22% of inpatients); female:male ratio 3:1.\nPatient: Ms. K.B., 25-year-old female, presenting with low mood, anger outbursts, suicidal threats, sleep/appetite disturbance, triggered by job search stress and family criticism. Diagnosed with Emotionally Unstable Personality Disorder, Impulsive Type (ICD-10).\nIntervention: Dialectical Behaviour Therapy (DBT), evidence- based for BPD, developed by Linehan. 18 weekly individual sessions (40-90 min each). DBT Modules: Mindfulness, Distress Tolerance, Emotion Regulation, Interpersonal Effectiveness.\nKey Techniques: Distress Tolerance: STOP skills for managing painful emotions/suicidal urges. Interpersonal Effectiveness: DEARMAN skills for expressing needs and maintaining relationships. Mindfulness: teaching wise mindand present- moment awareness to reduce overwhelm. Emotion Regulation: cognitive restructuring, opposite action, sleep hygiene to overcome vulnerabilities.\nResults: Significant reduction in impulsivity and self- harm incidents.\nImproved ability to set boundaries, communicate feelings, and challenge suspicious thoughts.\nEnhanced self-esteem, confidence, and interpersonal relationships.\n\n\n### Phenytoin - induced adverse drug reactions with psychiatric morbidity in a women with epilepsy: A case report\nSanjeev, Tanu Kundal1\nAdesh Medical College and Hospital, 1Department of Psychiatry, Adesh Medical College, Shahbad, Haryana, India\nBackground: Phenytoin continues to be prescribed for generalized tonic-clonic seizures in resource-limited settings due to low cost and availability. However, it is associated with a spectrum of adverse drug reactions (ADRs), including cutaneous, endocrine, neurological, and psychiatric complications. Early recognition is essential to minimize morbidity.\nCase Description: This is the case of a 34-years-old female with epilepsy since adolescence, treated since 25 years with phenytoin 300 mg HS and phenobarbitone 30 mg HS. Initially well controlled, she later developed breakthrough seizures with missed doses or stress. Over time, multiple ADRs emerged: dermatological (generalized rash, hypersensitivity, facial pruritic lesions), endocrine (gingival hyperplasia, hirsutism), and neuropsychiatric (vertigo, disequilibrium, irritability, cognitive slowing, impaired memory and concentration).\nPsychiatric morbidity was prominent, with persistent low mood, anhedonia, irritability, fatigue, and deliberate self-harm following psychosocial stressors including marital discord, divorce, separation from her daughter, and a recent miscarriage.\nManagement: Causality assessment suggested probable phenytoin-induced ADRs. A plan was made to slowly taper down the dose of phenytoin and switch to a non-aromatic antiepileptic medication (e.g., levetiracetam), monitor dermatological recovery, and initiate psychiatric treatment with an SSRI appropriate for epilepsy. Psychoeducation on adherence, seizure triggers, and ADR recognition was provided.\nConclusion: This case highlights the broad ADR profile of phenytoin and its contribution to psychiatric morbidity in women with epilepsy. Integrated neuropsychiatric care and timely rational antiepileptic substitution are crucial for improving both seizure outcomes and mental health.\nKey words: Phenytoin, adverse drug reaction, epilepsy, depression, self-harm, women’s mental health\n\n\n### A rare case of sertraline-associated ecchymosis in a young woman\nSarath Sasidharan Nair\nMHC, Health Services, Kozhikode, Kerala, India\nIntroduction: Sertraline is commonly prescribed for anxiety disorders. Although considered safe, it may occasionally interfere with platelet function and lead to unexplained bruising. Awareness of this possibility helps avoid extensive investigations.\nCase Details: A 27-year-old woman presented with recurrent ecchymosis without any history of trauma, syncope, seizures, limb weakness, fever, or visual complaints. Ecchymotic patches were noted over the right thigh and left forearm. Systemic examination, including cardiovascular, respiratory, abdominal, and neurological evaluation, was unremarkable. Hematological tests showed hemoglobin 11.9 g/dL, total leukocyte count 7160/cumm, and platelet count 3.26 lakh/cumm. Dengue testing was negative. Bone marrow aspiration and biopsy revealed normal hematopoietic elements. DNA- and RNA-based sequencing did not show any pathogenic variants, rearrangements, or fusions. She had been taking sertraline 50 mg daily for generalized anxiety disorder. With no hematological or systemic cause identified for the bruising, sertraline-related platelet dysfunction was considered. The medication was discontinued, after which the ecchymosis resolved completely on follow-up.\nConclusion: This case illustrates that sertraline may contribute to recurrent ecchymosis even when blood counts and marrow studies are normal. Timely recognition and withdrawal of the drug can lead to resolution of symptoms and prevent unnecessary procedures.\nKey words: Ecchymosis, platelet dysfunction, sertraline, SSRI\n\n\n### A comparative cross sectional study on neurological soft signs in positive symptoms of schizophrenia\nSarath Sasidharan Nair\nMHC,Health services, Kozhikode, Kerala, India\nIntroduction: Neurological soft signs (NSS) are subtle neurological abnormalities frequently seen in schizophrenia.Though NSS have been consistently linked to negative symptoms and cognitive deficits, their association with positive symptoms has been less clear. Exploring the pattern of NSS in hallucinations, delusions, and thought disorder can give additional insight into underlying neurobiological differences within schizophrenia.\nAim: To assess the presence and pattern of NSS in patients with schizophrenia presenting with positive symptoms and to compare them with healthy individuals. Objectives: To compare total and domain wise NSS scores between groups and to evaluate associations between NSS domains and predominant positive symptoms.\nMethodology: A comparative cross-sectional study was conducted in a tertiary psychiatry hospital from February to October 2024. Forty inpatients with schizophrenia (DSM5-TR) exhibiting prominent positive symptoms and forty age and gender matched healthy controls were recruited. NSS were assessed using the Neurological Evaluation Scale (NES). Positive symptoms were rated using the Scale for Assessment of Positive Symptoms (SAPS). Appropriate non parametric and correlation analyses were applied.\nResults: Patients showed significantly higher NSS scores compared with controls (median 19 vs 3, p<0.001). Sensory integration deficits were most evident in hallucination predominant patients. Motor coordination deficits were highest in those with predominant positive formal thought disorder. NSS severity increased with longer illness duration and irregular treatment.\nConclusion: NSS are elevated in schizophrenia with positive symptoms, with distinct patterns across symptom domains. Incorporating NSS assessment may improve clinical profiling and understanding of underlying neural dysfunction.\nKey words: Neurological soft signs, positive symptoms, schizophrenia\n\n\n### Unravelling the enigma: A rare presentation of dhat syndrome in a middle-aged male with concurrent megaloblastic anaemia\nA. P. Sathishkumar, Neha Sharma\nArmed Forces Medical College, Pune, Maharashtra, India\nDhat syndrome is a culture-bound syndrome predominantly reported in young adult males from South-East Asia and is characterised by distress attributed to perceived semen loss, often accompanied by somatic, anxiety, and depressive symptoms. Late-onset presentations are uncommon. We report a case of a 38-year-old male from a low socioeconomic background who presented with headache, easy fatigability, sleep disturbance, and cognitive preoccupation with semen loss, which he attributed to autoerotic practices. Clinical evaluation revealed megaloblastic anaemia (Hb 9.5 g%), for which he received vitamin B12 and folate supplementation, resulting in haematological and partial symptomatic improvement. However, persistent anxiety and maladaptive beliefs regarding semen loss led to significant psychosocial dysfunction. He was subsequently diagnosed with Dhat syndrome and managed with culturally sensitive psychoeducation, cognitive restructuring, coping skills training, and relaxation techniques, leading to marked clinical improvement within four weeks. This case highlights the importance of identifying underlying medical conditions, addressing cognitive misattributions, and recognising the evolving role of sociocultural and digital influences in late-onset Dhat syndrome.\n\n\n### Atypical reaction to an atypical antipsychotic: A case report of olanzapine associated acute localised exanthematous pustulosis\nA. P. Sathishkumar, Ritwik Mishra1\nArmed Forces Medical College, 1Command Hospital, Pune, Maharashtra, India\nCutaneous adverse drug reactions are well-recognised complications of antipsychotic therapy, accounting for a significant proportion of psychotropic-induced dermatological reactions. While olanzapine is generally considered a well-tolerated atypical antipsychotic, rare severe cutaneous reactions have been reported. Acute Localised Exanthematous Pustulosis (ALEP) is an uncommon variant of acute generalised exanthematous pustulosis, characterised by the sudden onset of sterile, non-follicular pustules on an erythematous base, typically confined to localised regions. We report the case of a 28-year-old male with metastatic carcinoma of the rectum receiving adjuvant chemotherapy who developed ALEP following initiation of olanzapine for psychotic symptoms. The patient had a prior history of psychotic illness and was diagnosed with Other Non-Organic Psychotic Disorder after exclusion of organic causes. Olanzapine was initiated at a low dose with planned titration. On the fourth day of treatment, the patient developed multiple pustular lesions localised to the facial region. Dermatological evaluation confirmed the diagnosis of ALEP. Olanzapine was promptly discontinued, leading to the rapid resolution of skin lesions within three days. Subsequent management with haloperidol resulted in satisfactory psychiatric stabilisation without recurrence of dermatological symptoms. This case highlights a rare but clinically significant adverse reaction to olanzapine, particularly in medically complex patients. Early recognition and timely withdrawal of the offending agent are crucial to prevent morbidity. Clinicians should maintain a high index of suspicion for atypical cutaneous reactions when initiating antipsychotics, especially in patients receiving concurrent chemotherapy.\n\n\n### Parental handling patterns in children with behavioural disorders\nK. Sathiyakala\nAIIMS, Patna, Bihar, India\nBackground of the Study: Parents are universally recognised as the primary caregivers and play a profound role in shaping their children’s behaviour, emotional regulation, and overall development. The influence of parents extends far beyond basic caregiving, impacting the psychological and social path of their children from infancy through adolescence. Recent research underscores that both parenting behaviour and parenting styles are critical determinants of child outcomes, especially in the context of behavioural disorders.\nParenting styles are often conceptualised as enduring characteristics or approaches adopted by parents, relatively independent of the child’s individual traits. These styles authoritative, authoritarian, permissive, and neglectful are thought to reflect the parent’s attitudes and values about child-rearing.\nAim: The primary aim of this study was to assess the pattern of parental handling of children with behavioural disorders among parents attending selected Outpatient Departments (OPDs) of tertiary care centres.\nMethods: This study utilized a quantitative approach and employed a cross-sectional research design. A convenience sampling method was used to select 135 participants who met the inclusion criteria for this study.\nResults: Out of 135 samples, 55 (45%) parents had authoritative type of parenting styles, 47 (35%) parents exhibits permissive parenting styles, 19 (14%) parents shows authoritarian type of the parenting styles and 14 (10%) parents shows neglecting parenting pattern.\nConclusion: The analysis of parenting styles provides valuable insights into how parents manage children with behavioural disorders and informs effective strategies to support both the children and their families.\n\n\n### Dual burden: Psychosis at the intersection of brain AVM and alcohol dependence\nSatya Rama Vikramaditya Tennety, Bheemsain Tekkalaki\nJawaharlal Nehru Medical College, Belgaum, Karnataka, India\nIntroduction: Psychosis in the context of structural brain disease is diagnostically and therapeutically challenging. Brain arteriovenous malformations (AVMs) can cause neuropsychiatric sequelae via hemorrhage, ischemia, or postoperative changes. Chronic alcohol dependence further complicates the clinical picture by contributing to cognitive impairment, mood disturbance, and psychotic symptoms. This case highlights psychosis arising at the intersection of a treated brain AVM and long-standing alcohol dependence.\nCase Report: A 44-year-old man, presented with a 10-year history of schizophrenia-like psychosis with secondary depressive symptoms. His illness began after his first seizure, which led to the diagnosis of a brain AVM. He had a 7-year history of alcohol dependence prior to this, suggesting the seizure may have been alcohol-withdrawal related. Following decompressive craniotomy, psychotic symptoms delusions of infidelity, persecutory and referential delusions, second-person auditory hallucinations, and thought disorganization emerged and progressed. Functionally, he had unemployment, anhedonia, crying spells, death wishes, and two episodes of deliberate self-harm. Symptoms persisted despite sustained abstinence from alcohol. Pharmacological trials with trifluoperazine caused extrapyramidal symptoms, while olanzapine and depot flupentixol offered partial benefit. ECT, administered as eight sessions across two admissions, produced significant improvement. Clinical course remained complicated by alcohol use, poor adherence, and inconsistent follow-up.\nDiscussion and Conclusion: This case illustrates psychosis driven by converging structural and substance-related factors. AVM-related neurovascular disruption likely contributed to persistent symptoms, compounded by long-standing alcohol dependence. Pharmacological resistance and robust ECT response emphasize the role of neuro-modulatory interventions. Early neuropsychiatric evaluation, integrated alcohol management, and multidisciplinary follow-up are critical for optimizing outcomes in such cases.\n\n\n### Olanzapine-induced pancytopenia: a rare but clinically significant hematological emergency\nSaumya Mishra\nJNMC Medical College, Belgaum, Karnataka, India\nBackground: Olanzapine is a commonly prescribed second-generation antipsychotic with a generally favorable safety profile. However, hematological toxicity especially pancytopenia is exceedingly rare and often under-recognized. Pancytopenia involves the simultaneous reduction of red blood cells, white blood cells, and platelets, leading to fatigue, infection risk, and bleeding tendencies. Early identification is essential because timely discontinuation usually results in full recovery.\nCase Description: A 46-year-old female from a rural background presented with irritability, disorganized behaviour,reduced sleep for three days, muttering to herself, andincreased religiosity. She had a history of one psychotic episode that previously improved with olanzapine but had discontinued due to improvement and also pancytopenia after starting of olanzapine in 2023. On this admission, she was diagnosed with Acute Transient Psychotic Disorder . Olanzapine 10 mg was initiated increased to 20mg. Within 10 days, CBC revealed a progressive decline in all three cell lines: haemoglobin decreased to 10.1 g/dL from 12.9g/dL, WBC count as low as 2.5 × 10³/µL from 7.9 × 10³/µL, and platelets decreased to 59,000 from 87,000. Peripheral smear showed reduced cell count with normal morphology. Viral markers (HBV, HCV, HIV) were negative, and liver functions were normal. USG revealed splenomegaly, which may have contributed but did not fully explain the acute decline.\nManagement and Outcome: Olanzapine was cross tapered with aripiprazole upto 20mg,. Supportive treatment including antibiotics, multivitamins, and regular CBC monitoring was provided. Blood counts gradually improved following drug cessation.\nConclusion: This case highlights a rare but serious instance of olanzapine-induced pancytopenia. Clinicians should maintain vigilance, perform periodic CBC.\n\n\n### Mindfulness-based body scan practice in the management of panic disorder: A case report\nSaumya Rathi, G. K. Vankar\nParul Institute of Medical Science and Research, Waghodia, Gujarat, India\nBackground: Panic disorder involves recurrent, unexpected panic attacks accompanied by persistent worry and avoidance. While CBT with pharmacotherapy remain first-line treatments, many individuals prefer non-pharmacological strategies. Mindfulness-based interventions, particularly body scan meditation, may help patients reinterpret and tolerate bodily sensations that typically trigger panic.\nAim: To describe the therapeutic process and clinical outcomes of an eight-week mindfulness-based body scan intervention in a patient with panic disorder who declined pharmacotherapy.\nMethodology: A 28-year-old woman with moderate panic disorder (PDSS score: 15) participated in weekly 60-minute mindfulness sessions over eight weeks, supplemented by daily home practice. The intervention included psychoeducation, guided body scan exercises (10-30 minutes), gradual interoceptive exposure, and integration of mindfulness into daily activities. Progress was monitored using clinical interviews, a mindfulness diary, functional improvement, and serial PDSS scores.\nResults: Early sessions triggered mild anxiety when focusing on bodily sensations; however, consistent practice led to increased interoceptive awareness, reduced catastrophic interpretations, and decreased experiential avoidance. At week eight, her PDSS score decreased to 4, indicating minimal symptoms. Follow-up at three months showed sustained remission with no recurrence of panic attacks.\nConclusion: Mindfulness-based body scan practice served as both an exposure and self-regulation strategy, enabling the patient to break the fear cycle. This low-cost, accessible intervention demonstrated substantial improvement without pharmacotherapy, highlighting its value as a complementary approach in the psychological management of panic disorder.\nKey words: Neurological soft signs, positive symptoms, schizophrenia\n\n\n### Medication adherence and its correlates in patients with schizophrenia and bipolar disorder: A hospital-based cross-sectional study\nSaurav Sinha\nICARE Institute of Medical Sciences and Research, Haldia, West Bengal, India\nIntroduction: A substantial proportion of individuals diagnosed with bipolar disorder and schizophrenia fail to fully adhere to prescribed treatment regimens. Medication non-adherence has been consistently linked to higher rates of relapse, increased risk of hospital admission, and prolonged duration of hospitalization among affected patients. Over the past three decades, numerous studies have examined predictors of medication adherence in individuals with schizophrenia. However, comparatively little attention has been directed toward identifying these predictive factors in patients with bipolar disorder, leaving an important gap in the literature.\nObjective of Research: To examine how insight, side-effects, and drug attitude are related to medication adherence of number of Schizophrenia and Bipolar Disorder patients.\nMaterials and Methods:\ni. Materials\na. Demographic/Clinical Proforma: Age, gender, education, hospitalizations, etc\nb. Medication Adherence Rating Scale (MARS-10)\nc. Insight in Psychosis Questionnaire(VAGUS Model)\nd. Drug Attitude Inventory (DAI-10)\ne. UKU Side-Effect Rating Scale.\nii. Methodology\na) Study design / Experiment design: A hospital based cross-sectional study\nb) Study population: Patients with diagnosed Schizophrenia and Bipolar Disorder\nc) Sample Size: 101.\nResults: Appropriate statistical prevalence and group comparisons will be done. Medication adherence, insight, attitude and impacts of side effects on medication adherence will be assessed with logistic regression models. The final result will be tabulated by December 2025. As per the priliminary analysis of the collected data so far, results are expected to be in line with the study of Ghosh P et el(2022).\n\n\n### Escitalopram induced amenorrhea: A rare but clinical significant adverse effect\nSavita Patel\nGovernment medical College, Satna, Madhya Pradesh, India\nA 28-year-old woman developed secondary amenorrhea six weeks after starting escitalopram for Depression. Pregnancy and other causes were excluded; mild hyperprolactinemia was found. Menses resumed after discontinuing escitalopram and switching to sertraline. This case emphasizes recognizing rare SSRI-related menstrual disturbances for timely management.\n\n\n### Pentothal assisted interview in a case of psychogenic mutism\nSayan Mondal, Parthasarathi Kundu\nIPGMER and SSKM hospital, Kolkata West Bengal, India\nA 24 years old male hailing from rural area of West Bengal, belonging form lower-middle socioeconomic class presented at OPD with complaints of inability to speak and social isolation since last 3 years. According to informant, 1 year back of onset of these symptoms he developed suspiciousness towards his relatives, self-muttering and frequent anger outburst insidiously for which he was prescribed multiple antipsychotics from different psychiatrists. On taking medications, his psychotic symptoms resolved but gradually he developed mutism. He started communicating only by non-verbal means, answering only by facial expression and incomprehensible sounds on asking him something. However, he was compliant to take medicines but no significant improvement was noted on oral medication. Patient was admitted at indoor and interviewed serially, was given oral anti-obsessive and antipsychotic agents but verbal communication was not established. Decision of narcoanalysis was made by treating team and following proper protocol patient was slowly infused Inj. Thiopental, Inj. Ketamine and Inj. Midazolam over a duration of one hour in OT with the help of anesthesiologists. Patient was interviewed in structured way throughout the process following a pre-formed questionnaire. He was at the verge of emotional breakdown for 3 times in response to certain questions but did not communicate verbally throughout the period. Postoperatively no significant adverse reaction occurred other than fever for which he was managed conservatively. He was discharged with Tab Fluoxetine 80 mg, Tab Clomipramine 75 mg, Tab Haloperidol 20 mg, Tab Trihexyphenidyl 2 mg and Tab Lorazepam 4 mg.\n\n\n### Deep transcranial magnetic stimulation and the paradoxical emergence of depressive worsening and suicidality in obsessive-compulsive disorder: A case-based perspective\nSayon Mandal, Akansha Bhardwaj, Nand Kumar\nAll India Institute of Medical Sciences, New Delhi, India\nBackground: Obsessive-Compulsive Disorder (OCD) is a disabling psychiatric condition marked by recurrent obsessions and compulsive behaviours. Although pharmacotherapy and cognitive-behavioral therapy (CBT) remain standard treatments, a substantial subset of patients exhibit treatment resistance. Deep Transcranial Magnetic Stimulation(dTMS), has gained attention as a novel intervention targeting core neurocircuitry implicated in OCD. However, recent reports indicate that dTMS may, in some instances, exacerbate depressive symptoms or precipitate suicidal ideation, an effect that warrants further investigation.\nAims and Methods: We report the case of a 39-year-old man with OCD and comorbid depressive symptoms who, after previously demonstrating favorable responses to medication and CBT, experienced a rapid intensification of depression and the onset of suicidal ideation following 28 sessions of dTMS administered with the H7 coil.\nResults: dTMS was discontinued, and the patient was hospitalized for Modified Electroconvulsive Therapy (mECT) with concurrent medication optimization. Post treatment, his depressive symptoms improved significantly, and suicidal ideations resolved. Treatment response for obsessive-compulsive symptoms was subsequently achieved through pharmacotherapy and psychotherapy.\nDiscussion: This case highlights a rare yet clinically significant adverse reaction to dTMS in OCD. Although dTMS holds promise in modulating dysfunctional cortico-striatal-thalamo-cortical circuits, inadvertent engagement of mood-regulatory networks may, in susceptible individuals, precipitate destabilizing affective responses. Neuroanatomical variability or maladaptive downstream effects of stimulation may contribute to this paradoxical reaction, though underlying mechanisms remain unclear. Systematic exploration of the downstream network effects of dTMS is needed to elucidate the neurobiological basis of such adverse outcomes and to guide the development of safer, precision-oriented stimulation protocols.\n\n\n### Facial hyperpigmentation in bipolar disorder in patients on lithium: A dual case report\nSeena Shylanathan, Anoop Vincent\nSree Narayana Institute of Medical Sciences, Ernakulam, Kerala, India\nBackground: Lithium is a first line mood stabilizer in Bipolar Disorder. Although, several cutaneous adverse effects such as Acne, Psoriasis, Alopecia are recognized, facial hyperpigmentation is a rare and under-reported reaction. Such visible adverse effects can significantly impact treatment adherence and quality of life.\nAim: To report two cases of Lithium induced facial hyperpigmentation in patients with Bipolar Disorder and highlight it’s clinical relevance to long-term psychiatric management.\nMethods: Two female patients diagnosed with Bipolar Disorder and receiving long-term Lithium therapy presented with progressive facial hyperpigmentation. Detailed psychiatric evaluation, and medication histories were obtained. Dermatological assessment was conducted, including skin biopsy in one case to confirm drug induced hyperpigmentation. Causality assessment was performed by WHO-UMC scale, and severity was graded using Modified Hartwig and Seigel scale. Patients were followed up after Lithium discontinuation.\nResults: Both patients developed gradual facial hyperpigmentation after 4-5 years of Lithium use at a dose of 400mg/day. The adverse reaction was assessed as probable on the WHO-UMC causality scale and graded as moderate (level 3) in severity. Following Lithium discontinuation and alternative psychiatric management, facial pigmentation showed gradual improvement and complete resolution within one year.\nConclusion: Facial hyperpigmentation is a rare but reversible adverse effect of prolonged Lithium therapy. Psychiatrists should remain vigilant for under recognised cutaneous reactions, as timely identification and interventions can improve adherence and treatment outcomes.\n\n\n### Digital vulnerability in adolescents:case series of self-harm risk triggered by unregulated chatbot interaction\nSeshan Kumar, Shruti, Aparna Goyal, Deepak Kumar\nIHBAS, New Delhi, India\nIntroduction: With increasing internet accessibility, the use of AI chatbots among children and adolescents has surged. Young users commonly rely on these platforms not only for information but also for emotional support, often viewing them as non-judgmental, reliable, and private spaces to share personal concerns.\nAims: To present two clinical cases in which interaction with a conversational AI chatbot intensified psychopathology and precipitated self-harm behaviour in adolescents.\nCase Description: Case 1: A 17-year-old male with adjustment disorder developed intense emotional dependence on a chatbot, withdrew from peers and family, and communicated almost exclusively with the AI. He repeatedly sought suicide methods through it, leading to multiple self-harm attempts.\nCase 2: A 14-year-old female with obsessive-compulsive disorder sought clarification about her diagnosis from a chatbot, which provided incorrect and distressing guidance. Her anxiety rapidly escalated and resulted in an acute suicidal crisis.\nDiscussion: Adolescents may seek chatbots when overwhelmed, attracted by their immediacy and perceived emotional safety. Yet emotional fragility combined with unregulated AI responses can heighten risk. Instant validation may replace real relationships, the perceived authority of AI may suppress doubt, and absence of mental-health safeguards may intensify distress.\nConclusion: Unsupervised chatbot use can worsen psychopathology and trigger self-harm in vulnerable youth. Clinical screening, parental guidance, and risk-sensitive safety systems in AI platforms are urgently required.\n\n\n### The digital dilemma: Exploring the interplay of FoMO, personality and loneliness in problematic social media use\nShah Aayushi Hirenkumar, Ritambhara Mehta1, Pooja Shatadal1\nGovernment Medical College, 1Department of Psychiatry, Government Medical College, Surat, Gujarat, India\nBackground: Healthcare students increasingly rely on social media for academic coordination and peer communication but this growing reliance may increase the risk of Problematic Social Media Use (PSMU). This study examined how enduring (Trait) and momentary (State) Fear of Missing Out (FoMO), loneliness, and Big Five personality traits influence PSMU among healthcare undergraduates.\nMaterials and Methods: A cross-sectional online survey using validated scales (FoMO scale, UCLA 3-Item Loneliness Scale, BFI-10 for personality, and Bergen Social Media Addiction Scale for PSMU) was conducted among 386 students from Government Physiotherapy College, Surat and Government Nursing College, Surat. Data were anonymized and analysed using descriptive statistics, quartile-based classification, correlation, and multiple linear regression.\nResults: About 25-30% of students had high Trait FoMO and elevated PSMU; 20-25% exhibited heightened State FoMO; and 15-20% reported significant loneliness. Both Trait and State FoMO were strongly correlated with PSMU; loneliness significantly mediated this association. Regression analysis confirmed that higher FoMO combined with greater loneliness significantly predicted PSMU, whereas personality traits had minimal predictive value.\nConclusion: Both enduring and momentary FoMO emerged as strong predictors of problematic social media use among healthcare students, and loneliness further amplified this risk. These findings highlight the need for early screening and targeted interventions such as loneliness-reduction strategies and psychoeducation to promote healthier digital habits.\nKey words: BSMAS, FoMO, Healthcare Students, Loneliness, Personality Traits, Social Media Addiction\n\n\n### Delirious mania: A diagnostic challenge in an unidentified male\nShalini Indora, Minakshi Parikh1\nBJMC,Civil Hospital, 1BJ Medical College, Ahamdabd, Gujarat, India\nIntroduction: Delirious mania (DM) is a severe, acute-onset neuropsychiatric syndrome combining delirium and mania, posing a diagnostic challenge, especially in unidentified patients. Early identification is crucial for life-saving intervention.\nCase Presentation: An unidentified 36-year-old male presented with severe agitation, incoherent speech, poor hygiene, fever, and altered consciousness (delirium). Initial investigations showed markedly elevated CPK (>2000) and WBC (14 times 10^9), pointing to a medical cause. His delirium resolved within 48 hours with fluids and Quetiapine 50mg.\nCollateral history, obtained after contacting his brother, revealed a 3-year episodic illness, recent psychosocial stressors, and a family history of psychotic illness. Following delirium resolution and on serial MSE,the patient continued to exhibit core manic features, including excitement, pressured speech, grandiosity, and formal thought disorder, confirming the suspicion of Delirious Mania.\nManagement: Management was initiated with a combination of mood stabilizers and antipsychotics: Valproate 1500 mg/day, Olanzapine 10 mg/day, Haloperidol 10 mg/day, and Risperidone 4 mg/day, resulting in gradual improvement.\nConclusion: This case emphasizes the necessity of continuous diagnostic re-evaluation for agitated patients, particularly those lacking an initial history. Clinicians must maintain a high index of suspicion for DM, even when a clear medical cause for the initial delirium exists, to ensure timely and essential psychiatric intervention.\n\n\n### When PRES leaves a psychiatric footprint: A case study\nShambhavi Sharma, De Shivani Kathuria\nVardhman Mahavir Medical College and Safdarjung Hospital, New Delhi, India\nIntroduction: Posterior Reversible Encephalopathy Syndrome (PRES) is a clinical and radiological entity characterised by acute neurological symptoms such as seizures, altered sensorium, visual disturbances, and characteristic posterior cerebral oedema. While acute neurological manifestations are well recognised, persistent and delayed psychiatric sequelae of PRES remain underreported. This case highlights a rare presentation of somatic delusion and secondary depressive symptoms following PRES.\nCase: A 45-year-old female presented one year ago with focal motor seizures involving the right upper and lower limbs, deviation of the angle of mouth to the left, followed by progressive visual loss, disorientation, and coma. She gradually recovered and was diagnosed with PRES based on clinical and neuroimaging findings. Two months after this episode, she developed persistent complaints that her fingers were elongated, teeth deformed, and ears displaced. These experiences were noted both subjectively and while viewing her reflection. She made repeated medical consultations seeking correction of these perceived abnormalities. Over the last three months, she developed low mood, distress, and functional impairment secondary to these symptoms. Discussion Psychiatric manifestations of PRES may include delirium, psychosis, mood disturbances, and suicidality. This case is notable for the emergence of persistent body image distortion resembling somatic delusional disorder or body, possibly related to residual cortical dysfunction. Secondary depressive symptoms appear to have developed as a response to chronic distress and impairment. Such delayed psychiatric sequelae suggest that PRES may have long-term neuropsychiatric consequences beyond apparent neurological recovery. Conclusion This case underscores the importance of long-term psychiatric evaluation and follow-up in patients.\n\n\n### Efficacy of low-dose antidepressants in anxiety versus depression: A retrospective analysis\nSharath Hiremath\nBasaveshwara Medical College and Hospital, Chitradurga, Karnataka, India\nBackground: Antidepressants are widely used for anxiety and depressive disorders, yet most evidence derives from therapeutic dose trials. The effectiveness of low dose regimens remains unclear.\nAims: To compare clinical effectiveness of low dose antidepressants (escitalopram, sertraline) in anxiety disorders versus depressive disorders.\nMethods: We conducted a retrospective chart review at Basaveshwara Hospital (Jan-Dec 2024). Patients were grouped as anxiety disorders (n = 78; completers with outcome data n = 30) or depressive disorders (n = 84; completers n = 32). Symptom severity was measured with HAM A and HAM D. Response was defined as >50% reduction from baseline and assessed at 4-6, 6-8, and 8-12 weeks. Anxiety patients received escitalopram 5-15 mg or sertraline 25-75 mg. Depressive disorder patients initiated escitalopram 5-10 mg with titration at week 4-6 to escitalopram 15-20 mg or sertraline 150-200 mg if inadequate response.\nResults: In anxiety (baseline HAM A = 26), low dose antidepressants (escitalopram 5-15 mg; sertraline 25-75 mg) yielded response rates of 39%, 54%, and 69% at 4-6, 6-8, and 8-12 weeks, respectively. In depressive disorders (baseline HAM D = 23), initial low dose treatment produced minimal response; after titration at week 4-6, response rates improved to 44%, 60%, and 72% at corresponding timepoints.\nConclusion: Low dose escitalopram and sertraline were effective for anxiety disorders. Depressive disorders typically required dose escalation for meaningful response, supporting diagnosis specific dosing and prospective studies to define optimal low dose and titration protocols.\n\n\n### The hard life: An open label, randomized, prospective comparison of sildenafil and tadalafil in improving sexual quality of life and side effect profile\nShevya Gagal, Ajeet Sidana1, Abhinav Agrawal1, Swarndeep Singh2\nAIIMS, Jammu, Jammu and Kashmir, 1GMCH, Chandigarh, 2VMMC, Delhi, India\nIntroduction: Erectile dysfunction (ED) affects men worldwide, diminishing quality of life (QoL), self-esteem and relationships. While phosphodiesterase-5 inhibitors (PDE5i) such as Sildenafil and Tadalafil are mainstays of therapy, comparative data on their side effect profile and QoL in Indian men remains limited.\nMethods: A prospective, comparative, interventional study enrolled 75 men with ED at a tertiary care hospital assessed over 12 weeks. Participants were randomized into three groups: Sildenafil SOS, Tadalafil SOS and Tadalafil daily. Sexual QoL (SQoL-M) was assessed at 4, 8, and 12 weeks. A side effect checklist was applied from 2nd week onwards. Data were analyzed using ANOVA and Kruskal-Wallis tests.\nResults: Over 4-12 weeks, Tadalafil improved sexual QoL more than Sildenafil (p<0.01). No efficacy differences were observed between on-demand and daily Tadalafil. Adverse events were more frequent with Sildenafil (28%; headache, flushing, dizziness). Only one on-demand Tadalafil patient (4%) reported mild myalgia and no events occurred with daily Tadalafil. Both agents were well tolerated and no drop-outs occurred.\nDiscussion: Tadalafil, particularly on-demand, produced greater and more sustained improvements in sexual QoL than Sildenafil. Although baseline SQoL-M scores were comparable, subsequent 4-8, 8-12 and 4-12 week change scores were significantly greater with Tadalafil, especially on-demand. Tolerability also favoured Tadalafil, with fewer adverse effects. This more favourable safety profile aligns with existing evidence and supports on-demand Tadalafil as a preferred ED treatment in the Indian setting.\nConclusion: Tadalafil offers greater long-term QoL improvements compared to Sildenafil. PDE5 inhibitors are well tolerated with better side effect profile.\n\n\n### When stones cloud the mind: A fatal case of fahr’s disease\nShilpa Mandal, Sangeeth Devadas, Karan Sud\nArmed Forces Medical College, Pune, Maharashtra, India\nFahr’s disease is a rare neurodegenerative condition characterised by idiopathic bilateral calcification of the basal ganglia. The disorder presents with a spectrum of neuropsychiatric and movement symptoms that can mimic common psychiatric illnesses, thus complicating early identification. This report details the case of a 20-year-old male, initially misdiagnosed and treated as a case of schizophrenia with comorbid seizure disorder, who presented with acute breakthrough seizures and progressive encephalopathy. Despite adequate interventions, the clinical course culminated in the development of Neuroleptic Malignant Syndrome. The patient’s status deteriorated rapidly with refractory seizures, multi-organ dysfunction, and ultimately death due to cardiac arrest.\nThis case highlights the critical need for a high index of suspicion for underlying organic brain disorders in young individuals presenting with psychiatric symptoms and seizures. Early neuroimaging and multidisciplinary neuropsychiatric care are vital, given the significant risk of morbidity and mortality. Enhanced clinician awareness is essential to prevent delayed recognition, misattribution, and adverse consequences in such neuropsychiatric syndromes.\n\n\n### The dark side of digital immersion: Internet-induced psychosis - A case report\nP. Shilpa, G. Bharathi\nHassan Institute of Medical Sciences, Hassan, Karnataka, India\nBackground: Internet Addiction and Internet Gaming Disorder (IGD) are increasingly recognized as behavioral addictions with significant psychological consequences. While withdrawal-related psychosis is well described in substance use disorders, psychosis precipitated by excessive internet use or abrupt cessation remains underreported. Although DSM-5 and ICD-11 acknowledge gaming disorder, psychotic symptoms are not included in diagnostic criteria. Emerging literature suggests that individuals with severe gaming behaviors may develop paranoia, hallucinations, and delusional content, particularly following sudden withdrawal.\nAim: To describe a rare case of withdrawal-induced psychosis associated with excessive internet gaming in an adolescent and highlight the need for clinical awareness of such presentations.\nMethods: A detailed case analysis of a 16-year-old male with problematic gaming behavior who developed acute psychotic symptoms following abrupt removal of his mobile phone.\nResults: The patient presented with self-talk, irritability, reduced sleep, aggression, and suspiciousness two days after sudden cessation of gaming. He had a year-long history of excessive gaming, academic decline, and social withdrawal, without substance use or family history of psychosis. Treatment with Olanzapine and Sodium Valproate led to gradual improvement. The presentation was consistent with IGD-related withdrawal psychosis.\nConclusion: This case underscores that excessive internet use may escalate into severe psychiatric outcomes, including acute psychosis during withdrawal. Early identification of problematic gaming, timely intervention, and awareness of withdrawal-related psychiatric manifestations are critical for improving diagnosis and management.\n\n\n### Prevalence of depression in geriatric population residing in old age homes: A cross-sectional study\nP. Shilpa, G. Bharathi\nHassan Institute of Medical Sciences, Hassan, Karnataka, India\nBackground: Depression is a common mental health condition among the elderly and is particularly prevalent in institutionalized settings. Social isolation, loss of independence, chronic medical illnesses and reduced family support increase susceptibility to depression in this population. Early detection is vital to minimize morbidity and enhance quality of life. This study evaluates the prevalence of depression among residents of old age homes.\nAims and Objectives: To determine the prevalence of depression among elderly individuals residing in old age homes and to analyze its distribution across age and sex.\nMethodology: A cross-sectional descriptive study was conducted among 50 elderly residents aged more than 60 years in selected old age homes in Hassan. Socio-demographic information was collected following informed consent. Participants with severe cognitive impairment or major psychiatric illness were excluded. Depression was assessed using the Geriatric Depression Scale (GDS-15). Data were analyzed using descriptive statistics.\nResults: The study included 22 males (44%) and 28 females (56%). Of the total 50 participants, 26 (52%) had depressive symptoms, with 14 (28%) showing mild, 8 (16%) moderate, and 4 (8%) severe depression. The mean age was 71.8 years, and depression prevalence increased with advancing age, ranging from 42.9% in the 60-69 age group to 63.6% in those aged >80. Females showed a higher prevalence (18/28; 64.3%) compared to males (8/22; 36.4%).\nConclusion: Depression is highly prevalent among institutionalized elderly. Routine screening, psychosocial interventions, and enhanced support systems are necessary to improve mental well-being in this vulnerable population.\n\n\n### A case of seizure with over dose of dextromethorphan-bupropion in a patient with depressive disorder with borderline personality traits\nShingini Dandiya, Manoj Shettar, B. S. Sachin, Girish Babu1\nSDM College of Medical Sciences and Hospital, Dharwad, Manoshanti Clinic, Hubballi, Karnataka, India\nBackground: Patients with Depressive Disorder and borderline personality traits often exhibit impulsivity, affective instability,and maladaptive coping mechanisms.The dextromethorphan-bupropion combination, an emerging antidepressant formulation,offers potential benefits via dual glutamatergic and dopaminergic modulation. Dextromethorphan is known to cause psychoactive effects at high doses.Individuals with impulsive or self-destructive traits may be particularly vulnerable to its misuse.However, it poses a dose-dependent seizure risk attributable primarily to bupropion.\nAim: To present a case illustrating seizure occurrence following misuse of the dextromethorphan-bupropion combination in a patient with Recurrent Depressive Disorder and borderline personality traits, highlighting challenges of medication supervision and risk mitigation.\nMethods: A female diagnosed with Recurrent Depressive Disorder with borderline personality traits and history of poly substance abuse was under psychiatric care. She had limited improvement on sertraline 100 mg. Following which treatment was switched to the dextromethorphan-bupropion fixed-dose combination. The patient’s clinical course, medication adherence, use patterns, and adverse outcomes were documented.\nResults: Following initiation of this combination, initial reductions were observed in substance use behavior. However, within weeks, the patient gradually escalated intake to 6-8 tablets daily, citing mood elevation and increased energy. Subsequently, she experienced generalized tonic-clonic seizure. Clinical assessment suggested seizure induction secondary to bupropion toxicity compounded by excessive dextromethorphan ingestion.\nConclusion: This case underscores the heightened vulnerability of individuals with borderline personality traits to psychotropic medication misuse and importance of cautious prescription practices.It accentuates the need for close monitoring, psychoeducation alongside pharmacotherapy. Furthermore, usage of sustained-release bupropion formulations should be strongly considered to minimize misuse potential and adverse outcomes.\n\n\n### Digital harm, psychiatric consequences and legal implications: A lifespan perspective\nShivam Tyagi, Ravjot Kaur, Neal Kasbe1, Anusha Garg2\nGMCH, Chandigarh, 1SMC, Meerut, Uttar Pradesh, 2IHBAS, Delhi, India\nBackground: Cybercrime is rising rapidly worldwide and in India, exposing different age groups to distinct digital threats. In India, cybercrimes increased by about 63.5% from 2018 to 2019, and reached 50,035 reported cases in 2020. Globally, cyberbullying affects a substantial proportion of teens, and many report long-term mental-health harm. Despite increasing digital integration, psychiatric and forensic responses to these age-stratified risks remain underdeveloped.\nAims: To explore age-stratified epidemiology of cybercrime, profile associated psychiatric risks, describe forensic and clinical implications, and propose prevention and rehabilitation strategies.\nMethods: Narrative synthesis combining peer-reviewed studies, government data, global surveys, and clinical-forensic practice literature.\nResults: Among adolescents, a recent 2025 meta-analysis estimated a pooled prevalence of 19% for cyberbullying in Indian youth, with grooming and algorithm-driven self-harm contagion, leading to depressive or anxiety symptoms, self-harm, or suicidality. In adult population, a large share of cybercrime involves financial fraud, cyberstalking, and identity theft; victims often present with acute stress, trauma, guilt, and trust deficits. Geriatric population though under-studied, is increasingly targeted by scams exploiting cognitive vulnerability and fear of authority i.e. digital arrest, result in severe financial and psychological harm, including anxiety, depression, and in extreme cases suicide.\nConclusion: Incorporating empirical data underscores the urgency. Psychiatrists should routinely screen for cyber-victimization and screen for digital exposures, apply age-adapted therapeutic strategies, and active medico-legal documentation, and forensic liaison. Forensic systems should factor in age and cognitive vulnerability; and policy must combine digital literacy, protective regulations, and targeted interventions across the lifespan with reforms in digital policies.\n\n\n### Uncovering repressed emotions through lorazepam-assisted interview in dissociative convulsions: A case report with therapeutic implications\nShivanee Kumari\nDeen Dayal Upadhyay Hospital, New Delhi, India\nBackground: Dissociative convulsions are seizure-like episodes without a neurological basis, often linked to unresolved psychological stress. Psychotherapy is the standard treatment, yet some cases remain resistant, necessitating alternative approaches such as drug-assisted interviews. Lorazepam has emerged as a safer option than amobarbital for facilitating emotional expression, owing to its lower risk of respiratory depression and the availability of a specific antidote.\nAims: To illustrate the effectiveness of lorazepam-assisted interviews in uncovering repressed emotional conflicts in a patient with dissociative convulsions and in guiding subsequent therapeutic interventions.\nMethods: A 35-year-old priest presenting with non-epileptic convulsions unresponsive to routine evaluations and psychotherapy underwent 6 lorazepam-assisted interview sessions. Oral doses ranged from 2-4 mg to induce a relaxed, suggestible state. Each 40-45-minute session was structured to build rapport, facilitate emotional expression, and work toward resolving psychological conflicts.\nResults: By the 3rd session, the patient experienced emotional catharsis and disclosed sexual dysfunction, internal religious conflict, guilt, and marital dissatisfaction. These insights revealed underlying depression. Treatment with escitalopram and Gottman Method Couples Therapy was initiated. Within 1-month, convulsive episodes reduced significantly, and the patient demonstrated improved emotional well-being and interpersonal functioning.\nConclusion: Lorazepam-assisted interviews may be especially beneficial for patients with dissociative disorders unresponsive to conventional psychotherapy, as they facilitate the expression of repressed emotions and help direct focused therapeutic interventions. This case highlights the clinical value of benzodiazepine-facilitated interviews in uncovering hidden stressors and tailoring effective treatment strategies for dissociative convulsions.\n\n\n### The invisible infestation: Delusional parasitosis complicated by subgaleal hematoma\nShivani Rana, Manali Sau, P. K. Pardal\nShri Ram Murti Smarak Institute of Medical Sciences, Bareilly, Uttar Pradesh, India\nBackground: Delusional parasitosis is a rare somatic-type delusional disorder in which individuals hold a fixed belief of being infested with insects despite absence of medical evidence. Patients often present to dermatology departments and may cause significant self-inflicted injuries due to attempts to remove the imagined parasites.\nAim: To present a case of primary delusional parasitosis in a middle-aged woman, highlighting the diagnostic process, clinical challenges, and treatment outcome.\nMethods: A 49-year-old female was referred from dermatology to psychiatry with a 2-month history of sensations of insects crawling beneath her scalp, causing compulsive scratching with nails and sharp objects, progressive hair loss, and persistent demands for surgical removal of worms.A detailed clinical history, mental status examination, dermatological evaluation, neuro-imaging, and routine laboratory tests were performed. Dermatological and systemic causes were ruled out. She was initiated on Risperidone and followed regularly.\nResults: Examination showed patchy alopecia with excoriations, hyper-pigmented healed lesions, crusted pustules, and scarring alopecia. MSE revealed anxious affect, continuous scratching, tactile hallucinations, a fixed delusion of parasitosis, and impaired insight. Routine investigations were normal, while NCCT head revealed a right frontal subgaleal hematoma from repeated trauma. Treatment with Risperidone (upto 4 mg) and short-term Clonazepam, along with caregiver psycho-education, resulted in decreased scratching and reduced delusional conviction over follow-up.\nConclusion: This case underscores the importance of considering delusional parasitosis in patients with unexplained pruritis, hair loss, and self-inflicted scalp injury. Early psychiatric referral, comprehensive evaluation, antipsychotic treatment, and psycho-education are crucial to prevent complications and ensure timely recovery.\n\n\n### From trauma to tendencies: Understanding non-suicidal self-injury in adolescents and young adults through the lens of childhood trauma\nShrabosti Pal\nNil Ratan Sircar Medical College and Hospital, Kolkata, West Bengal, India\nBackground: Non-suicidal self-injurious behaviour (NSSI) refers to deliberate self-inflicted harm without suicidal intent and is a growing mental health concern, particularly among adolescents and young adults. Previous research indicates a strong association between early adverse experiences and NSSI, but limited data exist from Indian populations.\nAim: To assess and compare childhood trauma experiences among individuals with non-suicidal self-injurious behaviour and healthy controls.\nMethods: This cross-sectional comparative study included 70 participants aged 13 to 30 years, comprising 35 individuals with a history of NSSI (Group B) and 35 age- and sex-matched healthy controls (Group C). Data were collected using a sociodemographic profile and the Childhood Trauma Questionnaire-Short Form (CTQ-SF). Statistical analysis was performed using the independent sample Kruskal-Wallis test.\nResults: Participants with NSSI reported significantly higher scores across all CTQ-SF subscales compared to controls: emotional abuse (15.6 ± 4.9 vs. 6.8 ± 1.6), physical abuse (13.4 ± 5.3 vs. 6.8 ± 1.5), sexual abuse (12.2 ± 6.5 vs. 6.1 ± 1.4), emotional neglect (15.1 ± 4.7 vs. 6.3 ± 1.1), and physical neglect (10.7 ± 3.8 vs. 7.1 ± 1.7). Denial scores were also higher in the NSSI group (6.2 ± 3.6 vs. 0.3 ± 0.9). All differences were statistically significant (p = 0.001).\nConclusion: Individuals with NSSI reported significantly greater exposure to multiple forms of childhood trauma compared to healthy controls. These findings emphasize the need for early trauma screening and trauma-informed interventions in the management of NSSI.\n\n\n### A missing triad and a leaking clue: Wernicke’s encephalopathy turned wet\nShradha Khatri\nAMC, India\nBackground: Wernicke’s encephalopathy (WE) is an acute neuropsychiatric emergency caused by thiamine deficiency, classically presenting with the triad of ocular disturbances, ataxia, and confusion. However, the full triad is seen in fewer than 20% of individuals, and atypical features may delay diagnosis. Early recognition and prompt thiamine replacement are critical to prevent irreversible neurological damage or progression to Korsakoff syndrome.\nAim: To describe an atypical presentation of Wernicke’s encephalopathy in an individual with history of chronic alcohol use who developed urinary incontinence, highlighting the need to consider WE even in the absence of classical features.\nMethods: A 52-year-old male with a history of chronic alcohol use presented with acute confusion, gait unsteadiness, and new-onset urinary incontinence. Neurological examination revealed ataxia without any eye symptoms. MRI brain showed hyperintensities in the periaqueductal and thalamic regions suggestive of WE. Laboratory evaluation ruled out other metabolic and structural causes. The patient was treated with high-dose intravenous thiamine followed by oral supplementation.\nResults: Following thiamine administration, the patient showed marked improvement in sensorium, gait stability, and partial resolution of urinary incontinence within one week. This clinical response confirmed the diagnosis of Wernicke’s encephalopathy.\nConclusion: This case emphasizes that Wernicke’s encephalopathy can present with atypical manifestations such as urinary incontinence. High clinical suspicion and early thiamine therapy are vital, especially in individuals with chronic alcohol use, to ensure full neurological recovery.\nKey words: Atypical presentation, chronic alcoholism, thiamine deficiency, urinary incontinence, wernicke’s encephalopathy\n\n\n### Unshackling workplace mental health: Challenges and opportunities in industrial psychiatry\nShradha Khatri, Virendra Vikram Singh, Bikram Datta, Carol Panjrattan\nAMC, Bengaluru, Karnataka, India\nThe recent events have brought focus on workplace mental health in India. In today’s fast-paced corporate world, mental health is not just a personal matter it’s a business priority. High stress levels, burnout, interpersonal conflicts, and emotional fatigue can silently impact productivity, employee morale, and overall workplace culture. A healthy workforce is important for every industry. Traditionally, industries have catered for health issues both in institutional as well as referral setups. However, these services provided limited mental health support at work place. Some industries like military and railways have their in-house mental health service setup, a large number of the workplaces did not have any such services for various reasons including stigma and priorities. Industrial psychiatry is a specialized branch of psychiatry focused on mental health issues within workplace and industrial settings, aiming to prevent, manage, and treat psychiatric conditions that arise in relation to employment and industrial environments. A psychiatrist in this setup has an additional understanding of workplace, its demands and impact on mental health. Prepandemic it was rare to discuss matters of mental health in the workplace. Employees with mental health issues feared being looked down upon or losing job. Situation was worse for addictions. The stigma around mental health at work is receding, there is need to unshackle mental health at workplace. Many workers these days expect mental health benefits as part of the employment deal. Thus, it’s time to discuss Industrial Psychiatry, the opportunities, challenges and way out for positive workplace mental health.\n\n\n### Adjunctive HD-tDCS and rTMS in chronic mixed aphasia: Targeting neuroplasticity beyond the subacute phase\nShreeya Basu\nKing George’s Medical University, Lucknow, Uttar Pradesh, India\nBackground: Post-stroke aphasia often persists despite standard rehabilitation, particularly in the chronic phase. While speech-language therapy (SLT) remains the mainstay of treatment, neuromodulation techniques such as high-definition transcranial direct current stimulation (HD-tDCS) and repetitive transcranial magnetic stimulation (rTMS) are increasingly explored as feasible adjuncts to enhance neuroplasticity and support language recovery.\nAims: To explore the role of neuromodulation alongside SLT in a patient with chronic mixed aphasia following a left middle cerebral artery (MCA) infarct.\nMethods: A 55-year-old right-handed man presented with non-fluent speech, impaired naming, repetition and comprehension, along with right-sided weakness after a left MCA infarct. MRI revealed chronic infarct changes involving the left frontal-insular-perisylvian region. He initially received HD-tDCS (2 mA, 30 minutes, 4Ã—1 montage; cathode over right inferior frontal gyrus), which was discontinued after three sessions due to local skin irritation. He was then started on low-frequency rTMS (1 Hz, 1000 pulses/session) over the same target, delivered as an adjunct to ongoing SLT.\nResults: The patient showed improved speech initiation and increased communicative responsiveness during therapy. rTMS was well tolerated, with no additional adverse effects.\nConclusion: This case demonstrates the therapeutic potential and clinical viability of combining neuromodulation with SLT in managing chronic post-stroke aphasia. Targeted stimulation may help activate residual neuroplasticity even in later stages of recovery. Achieving optimal results depends on personalising the choice of modality and stimulation parameters to the patient’s specific language deficits, lesion profile, and side-effect tolerance. Further controlled studies are necessary to refine individualised approaches to aphasia rehabilitation.\n\n\n### Intensive low-frequency repetitive transcranial magnetic stimulation over supplementary motor area (SMA) in treatment-resistant trichotillomania: A case report\nShreshkar Anand, Akash Kumar1, Rashmi Shukla2, Kunwar Akhilesh3\nAIIMS, 1Department of Psychiatry, AIIMS, Raebareli, 2Department of Psychiatry, KGMU Lucknow, 3Department of Psychiatry, Autonomous State Medical College, Hardoi, Uttar Pradesh, India\nBackground: Trichotillomania is a chronic psychiatric disorder characterized by recurrent hair-pulling with limited treatment options. Role of repetitive transcranial magnetic stimulation (rTMS) as an effective adjunctive treatment has been explored but limited evidence exists.\nAims: To describe the clinical response to intensive low-frequency rTMS targeting the SMA in a patient with chronic, treatment-resistant trichotillomania.\nMethods: A 34-year-old female with 20-year history of trichotillomania and comorbid dysthymia for past 2 to 3 years, presenting with irresistible urges to pull hair despite multiple failed cessations attempts and minimal response to Selective serotonin reuptake inhibitor (SSRI) on outpatient basis. rTMS was considered given poor response and potential role suggested by previous literature. The patient received intensive low-frequency rTMS targeting the SMA. Stimulation parameters included 1-Hz frequency, 100% resting motor threshold (RMT = 67%), with 30 pulses per train and 20 trains per session. Two sessions were delivered daily, separated by a 15-minute interval, amounting to a total of 20 sessions over 10 days. SSRI treatment was continued and habit reversal training was provided concurrently.\nResults: Significant clinical improvement was observed. More than 70% reduction in MGH-HPS scores and about 45% reduction in YBOCS scores reduced. There were no adverse effects noted. Follow-up showed sustained improvement with visible hair regrowth over 1.5 years.\nConclusion: Intensive low-frequency rTMS over SMA demonstrated substantial improvement in treatment-resistant trichotillomania. Prior evidence on role of rTMS exists but is limited. Hence more such studies may be carried out to build stronger evidence.\n\n\n### A case of fronto-temporal dementia managed with individual cognitive stimulation therapy: A case report\nShreya, Nikhil Kamal\nPGIMER, Chandigarh, India\nIntroduction: Frontotemporal dementia (FTD) is a less common but clinically significant cause of early-onset dementia, characterized by progressive changes in behaviour, personality, and language. Management options are limited, with pharmacological interventions showing modest efficacy and non-pharmacological strategies remaining underexplored. We report two cases of FTD from a general hospital psychiatry unit in India, managed with a structured program of individual cognitive stimulation therapy (iCST) combined with pharmacotherapy.\nCase Description: A 60-year-old, married female, with no formal education, a homemaker by occupation, from a rural background, presented to the psychiatry outpatient setting of a tertiary care centre in India with complaints that were insidious in onset, continuous and progressive in course, characterised by apathy, disinhibition, changes in self-care, and feeding behaviour, along with memory problems for 3 years.\nShe was started on tablet Risperidone 2 mg daily, after which her symptoms showed no improvement and she reported excessive sedation. Similarly, trial of T. Quetiapine up to 75mg, T. Olanzapine 10mg with over the next 3-4 months, but the patient would report excessive sedation.\nSince there was no significant improvement therefore, she was planned for iCST and was successfully managed with the same.\nConclusion: These findings suggest that iCST, delivered with caregiver involvement and clinical supervision, may be a feasible, culturally adaptable, and effective adjunctive intervention for FTD, particularly in low-resource settings.\n\n\n### Heroin withdrawal-induced psychosis: Recognizing a rare but critical phenomenon\nShreya Purvey, Akash Kumar1, Shruti Sinha1, Harsha Singh1\nAll India Institute of Medical Sciences, 1Department of Psychiatry, All India Institute of Medical Sciences, Raebareli, Uttar Pradesh, India\nBackground: Opioid dependence remains a major global health challenge. Although withdrawal commonly manifests with autonomic, gastrointestinal and psychological symptoms, the occurrence of psychosis during opioid withdrawal is rare. Such presentations may mimic primary psychotic disorders, complicating detoxification and increasing the risk of misdiagnosis or delayed intervention.\nAims: To describe a case of transient psychotic episodes occurring in close temporal association with heroin withdrawal. To highlight the importance of identifying atypical psychiatric symptoms during opioid detoxification.\nMethods: A 39 ‘year ‘old male with a 3 ‘year history of heroin use and long ‘standing tobacco dependence presented with typical Opioid Withdrawal Syndrome-anxiety, restlessness and limb pain after 7 days of abstinence. He had no past or family history of psychiatric illness. Three months earlier, he experienced a brief episode of irrelevant speech, aggression, fearfulness, suspiciousness and confusion after 7-8 days of abstinence, resolving spontaneously within 1-2 hours. During the current admission, he developed two similar episodes on days 10 and 11 of abstinence, each requiring prompt management with injectable antipsychotics.\nResults: The case illustrates acute, recurrent and short ‘lasting psychotic episodes temporally linked to heroin withdrawal, resolving rapidly with antipsychotic treatment.\nConclusion: Psychosis during opioid withdrawal is uncommon but clinically important. With evidence limited to isolated case reports, continued documentation is essential. Clinicians should remain alert to atypical psychiatric symptoms during detoxification to ensure patient safety and improve outcomes.\n\n\n### Seeing beyond the syndrome: Uncovering a specific learning disorder in a child with prader-willi syndrome\nShreya Rastogi, Shipra Singh, Deepak Kumar\nInstitute of Human Behaviour and Allied Sciences, New Delhi, India\nBackground: Prader-Willi syndrome (PWS) is a rare genetic disorder characterised by distinctive physical traits, behavioural challenges, and a unique cognitive profile. School performance is often below expectations based on IQ, with difficulties in memory, processing speed, phonological awareness, and executive functioning commonly affecting reading, writing, and math skills. Research on specific learning disorders (SLD) highlights persistent weaknesses in these cognitive areas that are open to targeted interventions.\nAims: To present the case of a 13-year-old child with genetically confirmed PWS who experienced academic challenges disproportionate to a normal IQ, and to demonstrate how identifying typical SLD-related cognitive deficits led to a diagnosis using the NIMHANS battery.\nMethods: The child underwent clinical evaluation including developmental history, standardised IQ testing confirming average intelligence, and focused academic assessment using the NIMHANS SLD battery covering reading, spelling, written expression, and mathematics, supplemented by teacher reports.\nResults: Despite an average IQ, the child exhibited significant impairments in decoding, spelling, written expression, and numeracy that reflected underlying phonological, working memory, and executive function deficits typical of SLD. Performance on the NIMHANS battery was markedly below age-appropriate norms, confirming SLD across academic domains distinct from the broader cognitive profile in PWS.\nConclusion: This case emphasises that academic difficulties in PWS should not be solely attributed to the syndrome. Proactive screening for SLD in children with PWS can open doors to tailored educational support, protect self esteem and foster individual strengths beyond the diagnosis.\n\n\n### Strengthening community mental health in india: insights from stakeholders and service users in Chennai, Tamil Nadu\nShreya Suresh, Suvarna Jyothi Kantipudi, Susan J. Wenze1\nSri Ramachandra Institute of Higher Education and Research, Chennai, Tamil Nadu, India, 1Lafayette College, Easton, Pennsylvania, USA\nOne in 7 Indians, approximately 200 million people, experiences a mental health disorder at any given time. Despite this fact, less than 1% of India’s national health budget is allocated to mental health services, and only 10% of Indians with mental health needs utilize available care. Community mental health initiatives, implemented by non-governmental organizations (NGOs), hold promise as a way to fill this gap, yet little is known about what makes such initiatives effective or not. This study aimed to explore community mental health stakeholders’ perspectives on necessary steps to further democratize mental health and well-being in India. Fifteen semi-structured interviews were conducted with psychiatrists (n = 2), psychologists (n = 4), social workers (n = 3), community field workers (n = 3), and service users (n = 3) at 2 mental health NGOs in Chennai, Tamil Nadu. Key themes that emerged from the interviews included the importance of making initiatives engaging, dismantling traditional power dynamics, collaborating with myriad partners, focusing on health and flourishing, and addressing context-specific barriers and needs. Study findings underscore the importance of thinking creatively about mental health service delivery, maximizing existing resources, and advocating for sustainable policy changes. Such tactics have potential to improve mental health literacy and promote mental health and well-being in India through a community-based approach.\n\n\n### A case of treatment-resistant schizophrenia with recurrent catatonia and progressive frontal lobe dysfunction\nShreyashi Koner, Manoj Kumar, Shruti Garg\nInstitute of Human Behavior and Allied Sciences, Delhi, India\nBackground: Schizophrenia with a chronic continuous course is often associated with progressive functional decline, treatment resistance, and recurrent relapses. Catatonia, cognitive impairment, and frontal lobe dysfunction further complicate management and prognosis.\nAim: To describe the clinical course, management challenges, and treatment response in a patient with long-standing schizophrenia complicated by recurrent catatonia and frontal lobe atrophy.\nMethods: A detailed clinical evaluation of a 57-year-old woman with a 35-year history of schizophrenia was undertaken, including longitudinal review of hospital records, serial mental status examinations, cognitive and frontal lobe function assessments, neuroimaging, and documentation of treatment responses to pharmacological, somatic, and rehabilitative interventions.\nResults: Despite adequate trials of antipsychotics, including clozapine, treatment response remained partial and transient, with dose optimization limited by tolerability. Antidepressant augmentation with escitalopram did not lead to meaningful improvement in mood, negative symptoms, or functional status. Neuroimaging revealed significant frontal lobe atrophy, correlating with marked executive dysfunction, and persistent negative symptoms. Modified electroconvulsive therapy lead to improvement in symptoms of reduced verbal fluency and impaired initiation. Adjunctive treatment with piracetam was associated with modest but clinically noticeable improvement in attention, initiation, and cognitive engagement. Structured occupational therapy focusing on basic activities of daily living, activity scheduling, and caregiver education contributed to functional stabilization.\nConclusion: This case highlights complexity of managing patient of schizophrenia, catatonia, cognitive decline with frontal lobe atrophy, emphasizing importance of individualized, multimodal treatment approaches in treatment-resistant schizophrenia (mECT, cognitive enhancers).\n\n\n### Disulfiram-induced organic catatonic syndrome: A rare neuropsychiatric complication warranting clinical vigilance\nShubha Bagri, Hemant Choudhary1, Vaibhav Patil1\nAll India Institute of Medical Sciences, 1Department of Psychiatry, All India Institute of Medical Sciences, New Delhi, India\nBackground and Aim: Disulfiram is widely used as an aversive agent in alcohol dependence treatment. Beyond aldehyde dehydrogenase inhibition, it inhibits dopamine beta-hydroxylase, elevating central dopamine levels and potentially precipitating neuropsychiatric complications including catatonia. Recognition of this rare adverse effect is crucial, as early intervention can prevent life-threatening complications. We report a case of disulfiram-induced catatonia with reproducible symptom recurrence upon rechallenge.\nMethod: Clinical case presentation.\nResults: A 39-year-old male with alcohol dependence syndrome, without prior psychiatric history, was initiated on disulfiram 500mg. Following dose escalation to 1000mg, he developed progressive neuropsychiatric deterioration initially forgetfulness, insomnia, and anxiety, evolving over two weeks into catatonia with mutism, negativism, posturing, rigidity, stereotypy, and food refusal (BFCRS=23). MRI brain, liver function, and metabolic panels were unremarkable. Intravenous lorazepam challenge produced dramatic improvement (BFCRS reducing to 6 within 15 minutes). Despite initial recovery with modified ECT and lorazepam during hospitalization, catatonic symptoms recurred upon disulfiram re-initiation post-discharge, establishing clear temporal causality. Complete resolution occurred following permanent disulfiram discontinuation, lorazepam maintenance, and acamprosate initiation for craving management.\nConclusions: This case demonstrates dose-dependent disulfiram-induced catatonia with reproducible symptom recurrence upon rechallenge, strengthening causal association. Clinicians prescribing disulfiram, particularly at doses exceeding 500mg, should maintain vigilance for emerging neuropsychiatric symptoms. Early recognition and prompt benzodiazepine administration are essential for favorable outcomes.\nKey words: Alcohol dependence syndrome, catatonia, disulfiram, dopamine beta-hydroxylase, lorazepam challenge, organic catatonia\n\n\n### Quality of life in late-life depression: A comparative study of depressed and remitted individuals\nShubha Joshi, Sujita Kumar Kar, Shrikant Srivastava, Akanksha Sonal\nKing George Medical University, Lucknow, Uttar Pradesh, India\nBackground: Late-life depression is known to significantly impair quality of life in older adults. Symptoms such as anhedonia, apathy, and reduced motivation limit social engagement, autonomy, and overall functioning. Importantly, even after symptomatic remission, many individuals continue to experience deficits in psychosocial and functional domains, leading to a persistently reduced QoL. Understanding these long-term impacts is essential for clinicians to plan interventions that target not only symptom relief but also functional recovery. Identifying the specific areas of life affected can help guide comprehensive management in geriatric depression.\nAim: To compare the quality of life between currently depressed elderly individuals and those in remission.\nMethods: This was a cross-sectional study conducted with 50 participants aged 60 years and above, comprising 25 individuals with current depression and 25 individuals in remission. Socio-demographic and clinical details were recorded. Quality of life was assessed using the WHOQOL-BREF instrument across its four domains.\nResults: Participants in the remission group demonstrated significantly higher quality-of-life scores across domains compared to those with current depression. The differences between the groups were statistically significant, indicating better perceived well-being among remitted individuals.\nConclusion: Quality of life was better in the remitted group, indicating that remission contributes to improved well-being in elderly individuals with depression.\nKey words: Depression, elderly, late-life depression, quality of life\n\n\n### Tardive dyskinesia in older adults and its management: Role of oral baclofen a case series\nShubha Joshi, Porimita Chutia1, Shailendra Mohan Tripathi2\nKing George Medical University, Lucknow, Uttar Pradesh, 1Post Graduate Institute of Medical Education and Research, Chandigarh, India, 2Institute of Medical Sciences, University of Aberdeen, United Kingdom and Betsy Cadwaladr University Health Board, Wales, UK\nBackground: Tardive dyskinesia is a distressing, often persistent movement disorder associated with prolonged exposure to antipsychotics. Early identification of risk factors, including older age, medical comorbidities, and neurological vulnerabilities, is essential to prevent progression and tailor management effectively. This case series highlights TD management with baclofen and the role of vascular risk factors.\nCases: This case series discusses three patients aged 62-77 years who developed tardive dyskinesia at low antipsychotic doses during treatment for schizophrenia or mood symptoms. All cases involved peri-oral dyskinesias. Aripiprazole showed a dual clinical role: in one patient, it precipitated TD, whereas in two others, switching to low-dose aripiprazole improved dyskinetic symptoms. Oral baclofen (20 mg/day) was added in all cases, resulting in significant reductions in AIMS scores within days to weeks. Importantly, no adverse effects or tolerance to baclofen were observed. Neuroimaging and medical histories revealed vascular comorbidities in these patients, emphasising the need to identify such factors when choosing antipsychotic regimens.\nResults: All three patients showed meaningful improvement in TD severity following the introduction of baclofen, either alongside or after dose adjustment of antipsychotics. Aripiprazole demonstrated both TD-inducing and TD-ameliorating properties depending on individual vulnerability.\nConclusion: TD can emerge even at low antipsychotic doses in older adults, highlighting the importance of early recognition and individualised management. Baclofen may be a useful treatment for TD, with rapid benefit and good tolerability.\nKey word: Baclofen, elderly, older adults, risk factors, tardive dyskinesia\n\n\n### Medication adherence in patients with Schizophrenia receiving second generation antipsychotics\nShweta, Sandeep Grover, Subho Chakrabarti\nPGIMER, Chandigarh, India\nBackground: Available data suggests that about 50% of patients with schizophrenia are poorly adherent to their medications. However, the data is mainly in the form of cross-sectional studies. Aim of the study: To longitudinally evaluate the medication adherence in patients with schizophrenia receiving second generation antipsychotics.\nMethodology: 100 patients diagnosed with schizophrenia receiving a second-generation antipsychotic were evaluated on Medication Adherence Questionnaire (MAQ), and Compliance Rating Scale (CRS). They were also assessed on Scale for the Assessment of Positive Symptoms (SAPS), Scale for the Assessment of Negative Symptoms (SANS), Clinical Global Impression (CGI) and Social and Social and Occupational Functional Assessment Scale (SOFAS) at the baseline and 6 months later. Both the periods considered the medication adherence over the period of previous 6 months.\nResults: The mean age of the participants was 35.6 years (SD: 9.9) with slight male preponderance (56%). Majority of the patients were below graduate (74%), from nuclear family (78%) and urban locality (67%). On MAQ, 69% of the patients were fully adherent on both the assessments and 31% were non-adherent. On CRS, 88% of the study participants were rated as adherent on both the occasions.\nConclusion: The findings of the present study suggest that only 12-31% of patients on second generation antipsychotics are non-adherent over time and the prevalence of non-adherence is influenced by the assessment method.\n\n\n### Autism hides in plain sight: Psychiatric presentation of late-diagnosed asperger’s syndrome\nShweta Banerjee, Nishant Goyal1, K. S. Parvathy2\nCentral Institute of Psychiatry, Departments of 1Psychiatry and 2Clinical Psychology, Central Institute of Psychiatry, Ranchi, Jharkhand, India\nThis paper has been presented at Eastern zone PG-CME(Regional conference)\nBackground: The average age of diagnosis was 3.1 years for children with autistic disorder, 3.9 years for pervasive developmental disorder not otherwise specified, and 7.2 years for Asperger’s disorder. A 16-year-old boy in class 11 presented to the child and adolescent OPD with his parents, reporting poor interaction, concentration, and academic performance, noted by his parents since age 2-3 years. One episode of seizure reported at the age of 14 years.\nAims: Diagnosis, Assessment and Management.\nMethods: History taking, Developmental assessment, Mental status examination/ Behavioural observation, Psychological testing.\nResults:\n1. Vineland Social Maturity Scale: average level of socio-adaptive functioning\n2. Developmental Screening Test: average level of developmental functioning\n3. Malin’s Intelligence Scale For Indian Children: Above average level of verbal intelligence, Average level of performance intelligence, Average level of intellectual functioning\n4. Gilliam Asperger’s Disorder Scale: Borderline level of probability of Asperger’s disorder\n5. Strength And Difficulty Questionnaire: Very High peer problems and internalizing difficulties, Very Low prosocial behaviour\n6. Sensory Integration Scale: Auditory hypersensitivity.\nConclusion: Provisional diagnosis kept as: Pervasive developmental disorders- Asperger’s syndrome (F84.5)+ Epilepsy syndromes undetermined whether focal or generalized.\nManagement: Psychoeducation of guardians regarding Asperger’s syndromes, Skills training, Occupational training.\n\n\n### Role of tele-MANAS in prevention of suicide: A case series\nShweta Kiran, Priyam Sharma1, Shipra Singh2, Om Prakash2, R. K. Dhamija2\nTele-MANAS, 1Mentoring Institute, Tele-MANAS, IHBAS, 2IHBAS, Delhi, India\nBackground: Suicide is a major contribution for various Mental illnesses. It is a complex phenomenon with no single etiology.(1) . Each year ~727000 lives are lost to death by suicide worldwide.(2)Across India a total of 1 lakh people die by suicide, while a major chunk of the population attempted to end their lives, hence requiring a pressing need for help and intervention. In the wake of the COVID-19 pandemic, the GOI (MoHFW) came up with Tele-MANAS (Tele mental health Assistance and Networking across States) which serves as a digital arm of the NMHP, which offers 24/7, free mental health support via telephone services, ensuring callers to reach out in the hour of crisis by dialing a toll free number 14416. (3)\nAim: to assess the contribution of Tele-MANAS in preventing Suicide.\nMethodology: This case series includes 5 callers who presented with active self-harm thoughts to Tele-MANAS Delhi. The cases were obtained from the records maintained at the State Cell.\nResults: All the callers presented with high-risk behavior in the form of active ideation associated with recent stressors. Tele-MANAS counsellors approached the callers using crisis interventions and further involvement of Mental Health Professionals who de-escalated the distressed callers and ultimately made that the callers reached the nearest MHE with the help of care giver or the Police.\nConclusion: This case series highlights the vital role of Tele-MANAS in responding to impending self-harm through telephonic crisis intervention and strengthening the outreach facilities.\n\n\n### Smart handovers, safer care in the NHS: Elevating MDT performance in notts crisis and home treatment teams\nShweta Mittal, Ann Panjikkaran, Aman Sardana1\nNottinghamshire Healthcare NHS Foundation Trust, 1Sussex Partnership NHS Foundation Trust, Nottingham, UK\nAims: The aim of this project was to evaluate the effectiveness of handovers within The Mid and North Notts Crisis and Home Treatment team (CRHT) by identifying structural and communication gaps in the MDT and suggesting targeted improvements to promote safe, high-quality patient care.\nBackground: Clinical handovers are vital in the delivery of safe and effective patient care. Sub-optimal handovers can occur due to a variety of reasons including unclear policies, high workloads and poor communication. The community based CRHT handovers are conducted daily, with duties shared among different consultants on a rotating basis.\nMethods: CRHT patients are allocated by night staff to nurses for morning handover and MDT. At times, clinicians presented patients they were unfamiliar with, leading to brief or insufficient introductions and potentially affecting handover quality. To formally identify gaps in the current CRHT handover, a Microsoft Forms questionnaire was developed, combining Likert scale questions on patient safety and structure with free-text fields for suggestions. A follow-up questionnaire will assess staff feedback on the new format.\nOutcomes: 17 responses were received following the pre-intervention questionnaire.\n4 out of 17 staff members strongly agreed that the current handover process ensures patient safety and a further 12 agreed.\nConclusion: This quality improvement project identified potential gaps within the current CRHT handover. Staff feedback highlighted key areas for improvement, including the ability to present patients they are familiar with and ensuring greater consistency in the plans made by different consultants.\n\n\n### Unusual presentation of obsessive-compulsive disorder: A case report of self-inflicted abdominal pin insertions\nShweta Ohariya, Nimisha Mishra, Sunil Ku. Ahuja\nShyam Shah Medical College, Rewa, Madhya Pradesh, India\nBackground / Objectives: Obsessive-Compulsive Disorder (OCD) is a chronic mental health condition characterized by intrusive, repetitive thoughts (obsessions) and ritualistic behaviors (compulsions). While OCD typically manifests as checking or cleaning rituals, atypical and self-harming presentations are rare. This report aims to describe a unique case of OCD presenting with self-inflicted pin insertions into the abdominal wall, emphasizing the importance of identifying such atypical forms for timely intervention.\nMethods: A 17-year-old female presented to the emergency department with abdominal pain and discomfort. Clinical and radiological evaluations revealed multiple metallic pins inserted superficially into the subcutaneous tissue of the abdominal wall. A detailed psychiatric assessment and collateral history from family were obtained.\nResults: The patient reported inserting pins as a means to reduce anxiety triggered by academic pressure and family conflicts. Over time, this behavior evolved into a compulsive ritual driven by obsessional distress. She was diagnosed with Obsessive-Compulsive Disorder (DSM-5 criteria) and treated with Selective Serotonin Reuptake Inhibitors (SSRIs) along with Cognitive Behavioral Therapy (CBT). Significant improvement was observed over subsequent follow-ups.\nConclusion: This case highlights that OCD can present with self-harming and medically serious compulsions. Awareness of such atypical presentations is crucial for early diagnosis and effective management, preventing further self-injury and improving patient quality of life.\n\n\n### Social media information overload and mental health: A scoping review\nShweta Singh, Kriti Sapra1, Anil Nischal1, Amit Singh1\nKing George’s Medical University, 1Department of Psychiatry, KGMU, Lucknow, Uttar Pradesh, India\nBackground: Social Media (SM) increasingly exposes adolescents and adults to extensive, emotionally relevant information, elevating the risk of information overload (In0Ov). However, evidence specifically addressing platform-specific overload and underlying psychological mechanisms remains limited.\nObjective: This scoping review aims to map and synthesise existing literature on the MH impact of SM In-Ov among adolescents and adults, with a focus on key psychological mechanisms and differences across major platforms.\nMethods: The review is being conducted following the PRISMA-ScR guidelines. Searches across electronic databases including PubMed, PsycINFO, Scopus, and Web of Science are underway. Studies assessing SM InOv (general or across specific platforms) in adolescents and/or adults in relation to MH outcomes are being included. Data are being charted and synthesised narratively.\nPreliminary Observations: Preliminary screening of literature suggests predominance of cross-sectional quantitative studies, with limited longitudinal or experimental research. Prevalent underlying psychological mechanisms focus on cognitive overload and fatigue, social comparison, rumination and FOMO, reduced sustained attention, and sleep disruption, linking In-Ov to common MH problems and reduced well-being. SM platforms have varying affordances, but research generally treats SM as a homogenous concept, limiting understanding of platform-specific In-Ov and MH impact.\nConclusions: This scoping review is expected to provide a comprehensive overview of how SM In-Ov contributes to MH impact among adolescents and adults, highlight key psychological pathways involved, and understand the need for platform-specific studies in SM In-Ov. The findings can support early identification of digital risk factors and preventive MH strategies relevant to adolescents and adults.\n\n\n### Screening and diagnostic tools for acute-onset neuropsychiatric symptoms in adolescents: A scoping review of cross-cultural validity and LMIC applicability\nSiddarth Seenivasa, Suvarna Jyothi Kantipudi\nSri Ramachandra Institute of Higher Education and Research, Chennai, Tamil Nadu, India\nAcute-onset neuropsychiatric symptoms, such as sudden obsessive-compulsive behaviors, tics, anxiety, emotional dysregulation, and sensory changes, can signal conditions like Pediatric Acute-onset Neuropsychiatric Syndrome (PANS) and PANDAS. Early identification is essential, particularly in low- and middle-income countries (LMICs), where culturally validated screening tools remain limited.\nThis scoping review aims to map existing screening and diagnostic measures used to detect acute-onset neuropsychiatric symptoms in adolescents and evaluate the evidence supporting their validity, reliability, and cross-cultural applicability.\nFollowing the PRISMA-ScR framework, we developed a comprehensive search strategy using databases such as MEDLINE, Cochrane, and PsychInfo combining MeSH terms and title/abstract keywords for acute-onset symptoms, adolescent populations, and screening or diagnostic instruments. Eligible studies included human participants under 18 years and any tool assessing OCD, tics, anxiety, mood changes, or sensory disturbances with sudden onset. Two reviewers independently screened titles, abstracts, and full texts, and charted data on tool characteristics, psychometric properties, diagnostic performance, cultural adaptations, and use within LMIC settings.\nPreliminary findings highlight substantial reliance on Western-developed instruments with limited evaluation in diverse cultural contexts. Very few tools explicitly assess acute onset or rapid symptom escalation, and even fewer have undergone translation, cultural adaptation, or validation in LMIC populations. This evidence gap underscores the urgent need for context-sensitive assessment measures to support early identification and equitable neuropsychiatric care globally.\nThis review will provide clinicians, researchers, and policymakers with a comprehensive evidence map and guide priorities for tool development and cross-cultural validation.\n\n\n### Perceptions and practices of toddy consumption during pregnancy in telangana district: A qualitative study\nSidharth Kadganchikar, Srilaxmi, Vijay Kumar bandaru, P. Sindhuri\nGovernment General Hospital, Sangareddy, Telangana, India\nBackground: Although national guidelines recommend complete abstinence from alcohol during pregnancy, toddy (kallu), a traditional palm liquor (4 - 6%ABV) is widely consumed in rural Telangana during pregnancy and perceived as beneficial. Empirical evidence documenting these cultural beliefs is limited.\nAims: To explore perceptions and practices in toddy use among woman of rural telangana.\nMethods: A qualitative study was conducted among 16 women attending the maternal and child hospital in Sangareddy district. In depth interviews were conducted in the local language, covered alcohol history, cultural beliefs, social influences, and healthcare interactions. Audio-recorded interviews were transcribed and thematically analyzed using a hybrid inductive-deductive coding approach.\nResults: Most participants endorsed at least one perceived benefit of toddy in pregnancy. Common beliefs included: (1) facilitating the delivery process; (2) cleaningthe baby in the womb to prevent white coating at birth; (3) promoting good fetal development; and (4) improving maternal health through better sleep. These practices were strongly reinforced by elders and cultural traditions. Only a minority reported receiving advice from healthcare providers, and such advice was either unclear or disregarded.\nConclusion: Toddy consumption during pregnancy in rural Telangana is culturally sanctioned and perceived as beneficial, with limited awareness of harms and minimal healthcare influence. These findings highlight the need for culturally sensitive antenatal education and integration of substance use screening and counseling into routine obstetric care.\n\n\n### Psychiatric-onset huntington’s disease: A rare case with prominent psychotic features\nSimpi Bhowmick, M. Raghuram1\nVarun Arjun Medical College and Rohilkhand Hospital, Banthra, 1Department of Psychiatry Dr. Varun Arjun Medical College, Shahjahanpur, Uttar Pradesh, India\nIntroduction: Huntington’s disease (HD) is a rare, fatal, autosomal dominant neurodegenerative disorder caused by abnormal expansion of CAG trinucleotide repeats in the huntingtin gene on chromosome 4. Although the classic presentation involves choreiform movements, cognitive decline, and behavioural disturbances, a minority of patients develop prominent psychotic features resembling schizophrenia. Psychosis is more frequently associated with early-onset HD and paternal inheritance. This report describes an atypical early-onset case of HD in a young adult presenting predominantly with psychotic symptoms.\nMaterials and Methods: This descriptive single-case study was compiled using clinical history, neurological examination, mental status assessment, neuroimaging findings, and molecular genetic testing of a 29-year-old male previously diagnosed with HD. Additional information was collected from caregivers and family members. All data were obtained during inpatient and outpatient evaluations at a tertiary-care centre.\nResults: The patient presented with a 2-month history of persecutory delusions, third-person auditory hallucinations, aggression, and social withdrawal. He also had a 2-year history of progressive involuntary choreiform movements starting in the hands and later involving all limbs and face. Neurological examination revealed hypotonia, ataxic gait, unclear hypophonic speech, and generalized chorea. MRI showed disproportionate cerebral and basal ganglia atrophy. Genetic testing confirmed an expanded allele with 51 CAG repeats. A strong paternal family history of chorea and.\nKey words: Case report, huntington’s disease, paranoid schizophrenia, psychotic features\n\n\n### Command auditory hallucinations leading to self-harm in alcohol-induced psychotic disorder: A case report\nSimran Gill, Palak Patel\nVMMC and safdarjung hospital, New Delhi, India\nBackground: Alcohol-induced psychotic disorder with hallucinations (ICD-11) is an uncommon but clinically significant complication of chronic alcohol use, characterized by prominent hallucinations occurring during or shortly after alcohol intoxication or withdrawal, with preservation of consciousness. Presentation with command auditory hallucinations leading to self-harm is rare and poses diagnostic challenges.\nAims: To describe the clinical presentation, diagnostic considerations, and treatment outcome of a young adult with alcohol-induced psychotic disorder presenting with command auditory hallucinations and self-harm.\nMethods: A comprehensive clinical assessment including detailed alcohol use history, mental status examination, physical and neurological evaluation, and relevant laboratory investigations was conducted to characterize psychotic symptoms and exclude delirium and other medical causes. Diagnosis was established based on ICD-11 criteria and temporal association with alcohol use.\nResults: A 30-year-old male with a 20-year history of alcohol use in a dependence pattern, consuming approximately one bottle per day, presented with suspiciousness, markedly reduced sleep, and command auditory hallucinations. Under the influence of the hallucinations, he had amputated his tongue using a knife on 02/11/2025. His last alcohol intake was on 30/11/2025. The patient remained conscious and oriented, with intact attention and memory, and without fluctuating sensorium or significant autonomic instability. A diagnosis of alcohol-induced psychotic disorder with hallucinations was made. Treatment with benzodiazepines, thiamine supplementation, and antipsychotic medication led to marked improvement in hallucinations and sleep.\nConclusion: This case highlights alcohol-induced psychotic disorder as a distinct clinical entity that may present with severe psychopathology, including command hallucinations and self-harm, despite preserved sensorium.\n\n\n### Behaviour without a brake: The hidden storm inside the frontal lobes\nSindhuja Omkaram, Y. Chidvilas\nSanthiram Medical College and General Hospital, Nandyal, Andhra Pradesh, India\nBackground:Organic Personality Disorder (Frontal Lobe Syndrome) arises from structural impairment of the frontal lobes, producing profound changes in behaviour, impulse regulation, and executive functioning. Such presentations often appear psychiatric, delaying recognition of the underlying neurological pathology.\nCase Report: Mrs. R, a 61-year-old woman, living with epilepsy for 15 years and irregular medication adherence, presented with a 5-year history of progressive behavioural disturbances. She developed severe disinhibition, including urinating and defecating inside the house, attempting to drink urine, spilling urine into food containers, and undressing inappropriately. Her symptoms escalated to aggression, shouting at neighbours, nighttime wandering, irritability, and significant forgetfulness with frequent misplacement of objects. She reacted angrily when confronted, indicating impaired judgment and declining executive functioning.\nGiven the progressive and dramatic nature of symptoms, MRI brain imaging was advised. Neuroimaging revealed marked frontal lobe pathology gliosis, lacunar infarcts, chronic microbleeds, and ischemic changes correlating strongly with her disinhibition, impulsivity, and cognitive decline. Based on the clinical and radiological findings, a diagnosis of Organic Personality Disorder (Frontal Lobe Syndrome) was made.\nConclusion: This case highlights the importance of considering organic brain pathology in patients presenting with striking behavioural dysregulation. Frontal lobe lesions can mimic primary psychiatric disorders, and neuroimaging plays a vital role in revealing the underlying cause. Early recognition ensures appropriate psychiatric, neurological, and caregiver-directed interventions.\nKey words: Behavioural disinhibition, cognitive decline, epilepsy, frontal lobe syndrome, MRI, organic personality disorder\n\n\n### Comparative profile of triggers in migraine and tension-type headache: A cross-sectional study\nSmriti Gulati, Shivananda Jena\nMaulana Azad Medical College, New Delhi, India\nBackground: Migraine and tension-type headache (TTH) are globally prevalent disorders often precipitated by specific triggers. While trigger management is a key component of care, comparative data on trigger profiles between migraine and TTH, particularly within Indian clinical settings, remains limited.\nAim: This study aimed to identify and compare the prevalence of behavioral, environmental, somatic, and dietary trigger factors in patients diagnosed with migraine and TTH.\nMethods: A cross-sectional observational study was conducted at a tertiary care psychiatry OPD in New Delhi. The sample included 100 patients (50 migraine, 50 TTH) aged 18-65 years, diagnosed using ICHD-3 criteria. Participants were assessed using a semi-structured proforma and a specific trigger checklist. Statistical associations were analyzed using Chi-square and Fisher’s exact tests.\nResults: 88% of participants identified at least one trigger, with similar high rates in migraine (86%) and TTH (90%). Behavioral triggers were most common (81%), with stress (70%) and sleep deprivation (35%) being the leading factors across both groups. Significant differences were found in specific categories: somatic triggers like eye strain (32% vs. 8%, p=0.003) and posture (18% vs. 4%, p=0.025) were significantly more prevalent in TTH. Conversely, dietary triggers (56% vs. 30%, p=0.009), specifically fatty meals (p=0.032), and hormonal changes (p=0.017) were significantly more common in migraine\nConclusion: While stress and sleep disturbances are universal precipitants, distinct profiles exist: TTH is associated with somatic strain, whereas migraine is influenced by dietary and hormonal factors. These findings highlight the need for diagnosis-specific trigger management.\n\n\n### Hypersexuality and wandering behaviour: A case conundrum\nSneha, K. Kiran Kumar, T. Sudharshan\nVydehi Institute of Medical Sciences, Bengaluru, Karnataka, India\nIntroduction: Hypersexuality is a complex behavioural presentation encountered across psychiatric, neurological, and personality disorders. When accompanied by wandering behaviour, aggression, and emotional dysregulation, diagnostic clarity becomes challenging. Frontal-subcortical dysfunction and small-vessel ischemic changes may contribute to impaired impulse control and disinhibition. This case highlights such a multifactorial behavioural syndrome requiring detailed biopsychosocial evaluation.\nAim: To describe a diagnostically challenging case of hypersexuality with wandering behaviour and personality traits, and to emphasize the value of neurocognitive assessment and MRI findings in understanding behavioural dysregulation.\nMethods: A comprehensive psychiatric evaluation, mental status examination, and neuropsychological testing (MMSE, FAB, ACE, IPDE) were performed. MRI brain (T2/FLAIR sequences) assessed structural abnormalities. Biopsychosocial factors and treatment response were monitored during admission.\nResults: A 43-year-old male presented with a 10-year history of hypersexuality, repeated absconding episodes, irritability, and anger outbursts. Neuropsychological assessment revealed preserved global cognition with mild executive dysfunction and mild cognitive impairment. IPDE suggested impulsive, dissocial, and borderline personality traits. MRI brain demonstrated bilateral frontal and right parietal T2/FLAIR hyperintensities consistent with chronic small-vessel ischemic changes. Absence of distress or compulsive features ruled out ICD-11 Compulsive Sexual Behaviour Disorder. Partial behavioural stabilization was achieved with risperidone, clonazepam, psychoeducation, and family supervision.\nConclusion: This case underscores the importance of integrating neurocognitive testing and neuroimaging when evaluating complex behavioural presentations.\n\n\n### Medication-associated vivid dreams: A four-case series\nSneha, K. Kiran Kumar1, R. Sudharshan\nVydehi Institute of Medical Sciences, Bengaluru, Karnataka, India\nBackground: Vivid dreams are intensely realistic and emotionally charged dream experiences linked to several psychotropic agents, including SSRIs, SNRIs, SARIs (e.g., trazodone), melatonin, and nicotine replacement therapy (NRT). Studies report vivid dreams or nightmares in 25-30% of SSRI users, 8-12% of melatonin users, and 35-50% of NRT users. Trazodone is known to increase REM density and provoke vivid or bizarre dreams. Reported dream types include nightmares, high-intensity realistic dreams, and erotic dreams, with nightmares more common in anxiety, depression. Younger adults (20-40 years) and females demonstrate higher dream recall and increased reporting. Identifying demographic and drug-specific patterns aids clinical decision-making. Objectives: To describe four adult psychiatric cases with medication-related vivid dreams and examine associated demographic and pharmacological factors.\nMethods: Four adults from outpatient psychiatry underwent detailed clinical interviews and medication timeline analysis to establish associations with vivid dreams.\nResults: Patients ranged from 28-42 years (mean ~35), with equal gender distribution. Literature suggests vivid dreams are more common in younger adults and females; similar patterns emerged in recall quality in our cases. The most frequent psychiatric diagnosis was depressive disorder, followed by anxiety and personality traits. Implicated medications vortioxetine, nicotine patch, melatonin, and trazodone mirror drug groups most often associated with vivid dreams.\nConclusion: Vivid dreams are common across antidepressants, melatonin, and NRT, particularly in younger adults and mood-disorder populations. Routine screening and individualised medication modification are essential for good clinical outcome.\n\n\n### Hidden struggles: Case series on substance addiction and its social ramifications in adolescent girls\nSneha Sahitya Bhrugubanda, Nekkanti Nimeesha\nGuntur Medical College, Guntur, Andhra Pradesh, India\nBackground: Substance use among adolescent females is often overlooked, yet it carries profound psychiatric and social consequences. Early initiation is frequently linked with adverse childhood experiences, trauma, and weak social support systems. We present three cases that highlight the intersection of substance use, psychiatric morbidity, and social adversity in young women.\nCase Presentation: Case 1: A 13-year-old girl from a broken family, exposed to street life, developed depressive symptoms, ruminations, deliberate self-harm, and substance use. She improved with antidepressant therapy and cognitive behavioral therapy.\nCase 2: A 14-year-old girl with parental loss and sexual abuse developed heavy alcohol dependence, post-traumatic stress disorder with psychotic symptoms, and self-harm. Treatment with fluoxetine, risperidone, thiamine supplementation, and cognitive behavioral therapy led to improvement.\nCase 3: A 15-year-old girl with parental loss and neglect presented with alcohol, nicotine, and inhalant dependence, alongside obsessive sexual thoughts and compulsive sexual behaviors. She improved with fluoxetine, risperidone, baclofen, and cognitive behavioral therapy.\nConclusion: These cases underscore the urgent need for early psychiatric identification of substance use and comorbid psychiatric conditions in adolescent girls. Beyond clinical treatment, strengthening shelter homes, implementing trauma-informed care, and developing community-based psychosocial interventions are crucial. A multidisciplinary approach is essential to reduce long-term morbidity, prevent social consequences of addiction, and increase resilience among vulnerable adolescent girls.\n\n\n### When the gold standard backfires: A case of clozapine - Induced pneumonia\nSneha Sahitya Bhrugubanda, Ratna Kishy Kondaveeti\nGuntur Medical College, Guntur, Andhra Pradesh, India\nBackground: Clozapine remains the gold standard for treatment-resistant schizophrenia due to its superior efficacy compared to other antipsychotics. However, its use is often limited by rare but potentially life-threatening adverse effects, including myocarditis, agranulocytosis, and pneumonia. Among these, clozapine-induced pneumonia is particularly underrecognized because its presentation may be atypical, lacking hallmark signs of infection such as fever or elevated inflammatory markers. The drug’s immunomodulatory effects, hypersalivation leading to aspiration, and dose-dependent toxicity are proposed mechanisms contributing to pulmonary complications.\nAims: To report a case of clozapine-associated pneumonia with atypical and minimal systemic features, emphasizing the need for heightened clinical awareness to ensure timely diagnosis and intervention.\nMethods: A 47-year-old man with schizophrenia receiving stable clozapine therapy presented with persistent right-sided chest discomfort without respiratory or systemic symptoms. Standard evaluations, including imaging and pleural fluid analysis, were conducted to exclude infective, malignant, and autoimmune etiologies.\nResults: Investigations ruled out Pulmonary tuberculosis, bacterial infection, and malignancy. Imaging revealed a mild right pleural effusion with localized nodularity. The overall clinical-radiological pattern, in the absence of other causes, suggested clozapine-induced pneumonitis.\nConclusion: Clozapine-induced pneumonia can manifest subtly without typical signs of infection, posing a diagnostic challenge. Clinicians should maintain a high index of suspicion for pulmonary adverse effects in patients on clozapine, even when symptoms appear mild or atypical.Prompt recognition and management are critical, as delayed diagnosis can lead to severe morbidity or fatal outcomes and also for ensuring safe continuation or modification of therapy.\n\n\n### Pseudocyesis or delusional pregnancy?: A diagnostic exploration in a young female with schizophrenia\nSomya Tuteja, Abhinav Agrawal\nGovernment Medical College and Hospital, Chandigarh, India\nAim: To present and analyse a case of a young female with schizophrenia who developed a fixed belief of pregnancy, and to differentiate delusional pregnancy from pseudocyesis through clinical and psychopathological evaluation.\nMethods / Case Summary: A 27-year-old unmarried female with a five-year history of continuous psychotic illness presented with delusion of love, delusion of reference, misinterpretation, bizarre belief of soul being trapped,somatic passivity, auditory hallucinations, low mood, and marked functional decline. During the illness course, she developed a persistent conviction of being pregnant, attributing it to perceived sexual acts involving a known male. She reported nausea, abdominal heaviness, and weight gain, which she interpreted as pregnancy related. On examination, there were no objective signs of pregnancy. Urine pregnancy test was negative, and physical and gynaecological evaluations were normal. Despite receiving evidence, she maintained the belief. The belief existed within a larger psychotic framework and was not accompanied by physiological changes typical of pseudocyesis.\nResults / Discussion: The persistence of conviction despite contradictory evidence, absence of bodily signs, and presence of multimodal hallucinations and delusions indicated delusional pregnancy, not pseudocyesis. Her explanation that the foetus remained 2-3 months old for two years due to lack of soul/energyreflected psychotic distortions characteristic of schizophrenia.\nConclusion: This case underscores the importance of detailed psychopathological assessment in differentiating delusional pregnancy from pseudocyesis. Recognizing delusional pregnancy prevents unnecessary obstetric evaluations and supports timely optimization of antipsychotic treatment and psychoeducation.\n\n\n### From encephalopathy to elation: A rare case of post-dengue mania in an adolescent\nSoumya Jain, Kunal Kumar, Abhinit Kumar, Nikhil Nayar\nSchool of Medical Sciences and Research, Sharda University, Greater Noida, Uttar Pradesh, India\nNeuropsychiatric manifestations of dengue infection are uncommon, with secondary mania reported only in isolated case reports. We describe a 13-year-old male who developed manic symptoms marked increase in libido, heightened psychomotor activity, and decreased need for sleep ten days after a diagnosis of dengue encephalopathy. There was no past or family history of psychiatric illness. MRI brain and EEG were normal, while cerebrospinal fluid analysis and dengue NS1 antigen were positive. A diagnosis of secondary mania was made. The patient was treated with risperidone and sodium valproate along with supportive care, resulting in significant clinical improvement within one week. This case adds to the limited literature on delayed-onset mania following dengue encephalopathy in adolescents.\n\n\n### Nomophobia and its relation to social anxiety, sleep, and personality in medical students\nSoumya Ranjan Mishra, Suprakash Chaudhury1\nKalinga Institute of Medical Sciences, Bhubaneswar, Odisha, 1DY Patil Medical College, Hospital and Research Centre, Pune, Maharashtra, India\nBackground: Nomophobia no-mobile-phone phobia describes the fear or discomfort experienced when individuals are separated from their mobile phones, adversely affecting their functioning.\nAim: To assess Nomophobia and its association with social anxiety, sleep disturbances, and personality traits among medical students.\nMaterials and Methods: A cross-sectional survey was conducted among undergraduate, postgraduate, and superspecialty medical students in a medical college. Consenting participants completed a self-designed questionnaire along with the Nomophobia Questionnaire (NMP-Q), Liebowitz Social Anxiety Scale (LSAS), Big Five Inventory-10 (BFI-10), and Epworth Sleepiness Scale (ESS). Data analysis was performed using SPSS 20.\nResults: Among 199 students, 68.34% demonstrated moderate to severe Nomophobia. Age significantly influenced Nomophobia severity, with students aged 21-25 showing higher scores. Significant positive correlations were observed between NMP-Q scores and LSAS Fear, LSAS Avoidance, and ESS, indicating that higher Nomophobia was linked to increased social anxiety and daytime sleepiness. Most participants exhibited some degree of social anxiety, with moderate to marked levels being common. Regression analysis showed that social anxiety dimensions significantly predicted NMP-Q scores.\nConclusion: Nomophobia is highly prevalent among medical students, with two-thirds experiencing moderate to severe levels. Significant contributing factors include age, duration of medical training, and stress levels. Strong associations were found between Nomophobia, social anxiety, personality traits, and daytime sleepiness. Social anxiety-both fear and avoidance emerged as major predictors of Nomophobia. These findings highlight the need for targeted interventions to reduce Nomophobia and promote better mental health and academic functioning among medical students.\n\n\n### Goldenhar syndrome presenting with progressive cognitive decline after postpartum hypoxia: A case report\nSridevi Pradeep\nYenepoya Medical College, Ullal, Karnataka, India\nBackground: Goldenhar Syndrome (oculo-auriculo-vertebral spectrum) is a congenital disorder with craniofacial and vertebral anomalies, and occasionally subtle neurodevelopmental vulnerabilities. These structural susceptibilities may reduce neurological resilience, allowing postpartum hypoxic events to mimic or be misattributed to affective symptoms.\nCase Report: Mrs K, a woman aged 27 years, with features of Goldenhar Syndrome and no psychiatric history, underwent an emergency caesarean section for twin delivery. Postoperatively, she developed acute respiratory distress and unresponsiveness which required 1 month ICU care. After recovering, her family observed significant behavioural and cognitive changes that progressively worsened over four years. She had diminished social interaction, apathy, poor initiative, and exhibited marked forgetfulness, loss of previously mastered skills. MRI showed neuroparenchymal atrophy, and EEG demonstrated beta activity. She was diagnosed with Dementia in other diseases classified elsewhere (F02.8) secondary to postpartum hypoxic brain injury. She was started on Tab Sertraline 50 mg-optimised to 100mg; Tab Donepezil 5mg, Memantine mg and cerebroprotein hydrolase.\nDiscussion: The coexistence of Goldenhar Syndrome may have heightened susceptibility to hypoxic damage, accelerating cognitive decline. Overlapping behavioural symptoms with postpartum depression contributed to delayed diagnosis.\nConclusion: This case underscores the importance of considering underlying neurodevelopmental conditions when evaluating atypical or progressive postpartum behavioural changes.\nKey words: Dementia, goldenhar syndrome, post partum depression\n\n\n### Broken heart syndrome: A rare complication after electroconvulsive therapy\nM. Sridharan, Ravi Kiran, Nagesh\nGovernment Medical College, Kadapa, Andhra Pradesh, India\nBackground: Takotsubo cardiomyopathy is an acute, transient cardiac condition characterized by regional systolic dysfunction, typically affecting the mid and apical segments of the left ventricle with preserved or hypercontractile basal function. It is often triggered by intense emotional or physical stress and predominantly affects postmenopausal women. There are reported cases following electroconvulsive therapy (ECT), particularly in patients with depression and schizophrenia. In this report, we describe a case of Takotsubo cardiomyopathy following ECT in a patient with schizophrenia, detailing its clinical presentation, diagnosis, and management.\nCase Presentation: A 50-year-old postmenopausal female with schizophrenia developed delayed recovery, hypotension, desaturation, and atrial fibrillation immediately after ECT. Cardiac evaluation revealed severe left ventricular dysfunction, mid-cavity hypo- to akinesis, and apical ballooning consistent with Takotsubo cardiomyopathy. The patient was managed with supportive care and made a full recovery within 48 hours.\nDiscussion: This case highlights a rare but serious cardiovascular complication of ECT. While Takotsubo cardiomyopathy is typically reversible with timely intervention, its occurrence post-ECT underscores the need for careful cardiac monitoring in high-risk patients. Awareness of this potential complication can aid in early diagnosis and improve outcomes.\nKey words: Cardiac complications, electroconvulsive therapy, postmenopausal, schizophrenia, stress-induced cardiomyopathy, takotsubo cardiomyopathy\n\n\n### A silent storm behind mood stabilization: Sodium valproate-induced acute pancreatitis in a patient with bipolar affective disorder\nSrikar Chintala, Sridivya Reddy\nMamata Medical College, Khammam, Telangana, India\nSodium valproate is a widely used mood stabilizer in the management of bipolar affective disorder (BPAD). Although generally well tolerated, it is associated with rare but serious adverse effects such as acute pancreatitis, which can pose diagnostic challenges in psychiatric practice. We report a case of sodium valproate-induced acute pancreatitis in a 34-year-old male with BPAD. The patient had a documented history of three manic episodes and two depressive episodes between 2021 and 2024. Details of medications used during previous episodes were unavailable, though treatment reportedly included one antipsychotic, one mood stabilizer, and benzodiazepines on an as-needed basis. He was admitted with symptoms of euphoric mania and was started on sodium valproate 1000 mg/day, which was escalated to 1500 mg/day in divided doses over one week. The patient showed marked improvement in manic symptoms. However, shortly after dose escalation, he developed sudden-onset recurrent vomiting without prior abdominal complaints. He was referred for medical evaluation, where laboratory investigations revealed significantly elevated serum amylase and lipase levels, consistent with acute pancreatitis. The patient had no history of alcohol use, substance use, gallstone disease, metabolic abnormalities, or prior episodes of pancreatitis, and no other etiological factors were identified. Sodium valproate was immediately discontinued, and the patient was managed conservatively with supportive care, resulting in gradual clinical and biochemical improvement. This case underscores the need for vigilance regarding rare but potentially life-threatening adverse effects of sodium valproate. Early recognition and prompt discontinuation\n\n\n### Motor symptoms in a geriatric woman with bipolar mood disorder: A diagnostic challenge at the psychiatry-neurology interface\nSrujan Agravat\nSmt. NHLMMC, Ahmedabad, Gujarat, India\nBackground: Tremors and gait disturbances in geriatric psychiatric patients can have multiple etiologies including psychotropics, mood-state-related motor slowing and neurodegenerative changes. These can resemble Parkinsonism and lead to unnecessary dopaminergic therapy. Distinguishing between these overlapping etiologies is essential yet challenging.\nCase Presentation: A 70-year-old woman with long-standing Bipolar 1 Disorder developed tremors, gait ataxia and psychomotor slowing while being stable on multiple psychotropics including Valproate, Escitalopram and atypical antipsychotics. Valproate was omitted for possible parkinsonism and was referred to neurology for the same, where she was trialed on dopaminergic therapy. She later developed increased anxiety and paranoid suspiciousness without improvement in motor symptoms, MRI Parkinson protocol and F-DOPA PET scan did not show evidence of dopaminergic degeneration. Suspecting medication induced motor symptoms, offending agents - Valproate, Escitalopram, and dopaminergic therapy were withdrawn. Her motor symptoms improved without the addition of new medications.\nConclusion: This case illustrates the diagnostic complexity of evaluating motor symptoms in older adults with bipolar mood disorder. Addition of Escitalopram corresponded with the onset of tremors. Valproate is known to cause gait ataxia and can exacerbate parkinsonism in susceptible patients. Bipolar Depression can contribute to slowness. Such overlapping etiologies can mimic Parkinsonism. Such patients are sensitive to dopaminergic fluctuations - from both dopamine-blocking and dopamine-enhancing medications. Hence a broad differential, careful medication review, and confirmatory imaging are crucial before initiating dopaminergic therapy to save time, money and healthcare resources. Just rationalizing medications may be sufficient for symptom improvement.\n\n\n### From suspected withdrawal to vascular parkinsonism: A clinical case report\nStany Sathya, S.K. Munda, Anurag Prabhu\nCentral Institute of Psychiatry, Ranchi, Jharkhand, India\nBackground: Vascular parkinsonism due to small-vessel cerebrovascular disease may resemble alcohol withdrawal because of overlapping features such as motor slowing, short-stepping gait, postural instability and cognitive impairment, leading to diagnostic challenges in de-addiction settings.\nCase Summary: A 63-year-old man with 20 years of daily alcohol use was admitted with recent reduced activity and difficulty walking, and was clinically suspected to be in alcohol withdrawal. He was oriented but showed reduced mobility, fine action tremor and a short-stepping gait, and was treated accordingly with lorazepam, haloperidol and thiamine. Within 48 hours, however, he developed global disorientation and displayed persistent rigidity, marked bradykinesia and lower-limb weakness (power 4/5), without the expected improvement despite adequate withdrawal management over two weeks. Blood tests showed deranged liver function and anemia. CT brain revealed lacunar infarcts and periventricular leukoaraiosis, confirming vascular parkinsonism. Lorazepam was tapered and aspirin, amantadine and levodopa-carbidopa were initiated, after which he gradually regained partial orientation and became ambulant with support over six weeks.\nConclusion: Persistent gait disturbance and cognitive impairment despite appropriate alcohol withdrawal treatment should prompt consideration of alternate organic etiologies. Early neuroimaging and timely diagnostic re-evaluation can prevent therapeutic delays.\n\n\n### Emerging genetic determinants of neurodevelopment: A rare case series of ADGRL1, SETD1A, and NRXN1 mutation-related disorders\nSubalakshmi, Sai Kiran Padupala1\nGuntur Medical College, 1Guntur Medical Institute, Guntur, Andhra Pradesh, India\nIntroduction: Genetic mutations play a critical role in neurodevelopmental and behavioural disorders. ADGRL1 variants are linked to DEDBANP (Developmental Delay, Behavioural Abnormalities, Neuropsychiatric Disorder); SETD1A mutations underlie NEDSID (Neurodevelopmental Disorder with Speech Impairment and Dysmorphic Facies); and NRXN1 deletions/mutations are associated with a range of conditions including autism spectrum disorder, intellectual disability, and language impairment. Early genetic evaluation enhances diagnostic clarity and guides individualized management.\nCase Report 1: An 11-year-old boy presented with global developmental delay, severe speech impairment, hypotonia, altered gait, dysmorphic facies (long nose, thick lips, sandal gap, wide-spaced nipples), mild hearing loss, microcephaly, and mild intellectual disability (IQ 56), with a positive family history. MRI brain findings were normal. Genetic testing identified a heterozygous ADGRL1 variant, confirming DEDBANP.\nCase Report 2: A 5-year-old boy showed impaired social communication, regressive and non-spontaneous speech, tantrums, and early scholastic difficulties despite initially normal milestones. Genetic analysis revealed a heterozygous SETD1A mutation, supporting a diagnosis of NEDSID.\nCase Report 3: A 7-year-old boy exhibited expressive language delay, attention difficulties, repetitive behaviours, and borderline intellectual functioning, without dysmorphism. Chromosomal microarray detected a pathogenic NRXN1 deletion, consistent with NRXN1-related neurodevelopmental disorder.\nDiscussion and Conclusion: ADGRL1, SETD1A, and NRXN1 are essential genes involved in synaptic organisation, chromatin regulation, and neuronal connectivity. This rare case series highlights the phenotypic variability of single-gene neurodevelopmental disorders and emphasises the importance of early genomic evaluation. Prompt identification enables accurate diagnosis, targeted neurodevelopmental rehabilitation strategies, and gene-informed clinical management, ultimately improving developmental outcomes.\n\n\n### Shadow of the snake: Rapid resolution of snake-bite obsessions in OCD with exposure and response prevention\nSuchanshu Vats\nMahatma Gandhi Memorial Medical College, Indore, Madhya Pradesh, India\nIntroduction: Obsessive-Compulsive Disorder with harm-related fears can present with highly specific and bizarre obsessions.\nAlthough selective serotonin reuptake inhibitors are first-line pharmacotherapy and effectively reduce comorbid anxiety symptoms, a substantial proportion of patients experience persistent obsessions and compulsions, necessitating augmentation with evidence-based psychotherapy.\nObjective: To describe a case of refractory OCD characterized by persistent snake-bite fears and compulsive checking behaviors despite adequate SSRI treatment, and to illustrate the rapid efficacy of Exposure and Response Prevention as an augmentation strategy.\nMethods: Single case report. A 32-year-old male with a two-year history of OCD presented with predominant obsessions of being bitten by snakes, leading to compulsive checking. He experienced marked autonomic arousal Triggered by these obsessions.\nThe patient had been on fluoxetine 40 mg/day for 2 months with good control of anxiety symptoms but no meaningful reduction in obsessive thoughts or checking compulsions (Y-BOCS score remained 28/40).\nHe was then initiated on manualized ERP delivered in an intensive format.\nResults: After only 3 weeks (10 sessions) of ERP, the patient achieved complete remission of snake-bite obsessions and checking compulsions.\nPost-treatment Y-BOCS score was 4/40 (subclinical range), compared to 21/40 before initiation of ERP.\nConclusions: This case highlights that even highly specific and seemingly bizarre OCD presentations respond rapidly to properly implemented ERP, even when SSRI monotherapy provides only partial benefit. Early incorporation of ERP in partially responsive patients can dramatically shorten illness duration and prevent chronic disability.\n\n\n### Parkinsonism masquerading as alcohol withdrawal syndrome: A case highlighting diagnostic bias\nSukriti Soni, Prerana Narayanan\nAdichunchanagiri Institute of medical Sciences, B.G Nagara, Karnataka, India\nIntroduction: Alcohol Dependence Syndrome (ADS) withdrawal symptoms typically resolve upon consuming alcohol. However, the presence of ADS can obscure unrelated underlying pathology, creating a risk of confirmation bias, as demonstrated in this case where movement disorder symptoms were initially misattributed to alcohol withdrawal.\nCase Description: A 56-year-old male with a 26-year history of ADS presented with tremors, sleep disturbance, palpitations, and excessive sweating. Crucially, his tremors did not improve with alcohol consumption. A neurological exam revealed bradykinesia, mask facies, and cogwheel rigidity, leading to a Parkinson’s Disease (PD) diagnosis. Treatment with carbidopa/levodopa (25mg/100mg TDS) completely resolved his resting tremors and improved rigidity/bradykinesia.\nDiscussion: This case highlights the potential for confirmation bias, where movement disorder symptoms were misleadingly linked to alcohol withdrawal, delaying the correct diagnosis of PD.\nConclusion: Clinicians must maintain vigilance and a broad differential diagnosis to avoid diagnostic biases that negatively impact patient care and outcomes.\nKey words: Alcohol withdrawal, parkinson’s disease\n\n\n### Caught by the numbers: When heart-rate tracking becomes a catalyst for panic\nSumana Kole\nAndhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Consumer health wearables provide real-time physiological data, but constant monitoring can heighten bodily vigilance. In susceptible individuals, minor fluctuations may be catastrophically misinterpreted, giving rise to technology-amplified health anxiety and panic symptoms.\nCase Report: A 30-year-old woman with no prior psychiatric history began experiencing sudden episodes of intense fear, palpitations, tremors, and a sense of impending collapse. These episodes appeared shortly after she started using a smartwatch to track heart rate and sleep. She repeatedly checked her device up to 70 times per day and became distressed by transient increases in heart rate during routine activities. She interpreted values above 110 bpm as signs of serious cardiac illness, despite normal cardiology workup. Panic attacks began occurring in anticipation of abnormal readings.Mental status examination showed anxious affect, heightened health preoccupation, and device-checking compulsivity. A diagnosis of panic disorder was made. Cognitive-behavioural therapy focused on interoceptive exposure, cognitive restructuring around physiological variability, and gradual reduction of device reliance. Significant improvement was noted within six weeks.\nDiscussion: This case illustrates how digital health tools, while beneficial, can become anxiety amplifiers. Continuous biometric feedback may reinforce hypervigilance and catastrophic interpretation of normal physiological changes. Women often balancing high stress and societal health-conscious expectations may be particularly vulnerable to such presentations.\nConclusion: Clinicians should inquire about wearable technology use when assessing new-onset panic or health anxiety. Understanding technology-mediated symptom pathways enables targeted psychoeducation and balanced digital-health practices. This case underscores the evolving interface between mental health and personal health technology.\n\n\n### Efficiency and consistency of large language models in deducing psychiatric symptoms from descriptive psychopathology\nM. Sundhara Pandiyan\nInstitute of Mental Health, Chennai, Tamil Nadu, India\nBackground: Large Language Models (LLMs) have potential for efficiently extracting psychiatric symptoms from unstructured clinical text (descriptive psychopathology), but concerns exist regarding their consistency and reliability compared to human clinical judgment.\nAim: To quantitatively and qualitatively compare the consistency of psychiatric symptom deduction among five distinct LLMs (ChatGPT, Perplexity, Grok, Gemini, Copilot)\nMethods:\n1. Input Preparation: Create a standardized set of descriptive psychopathology vignettes (e.g., patient notes, interview excerpts) covering a range of psychiatric conditions and symptom complexity\n2. Initial Deduction: Submit each vignette to all five LLMs and record the symptoms/diagnostic impressions they initially deduce\n3. Consistency Test (Second Guessing): Challenge each LLM’s initial output by asking a follow-up question (e.g., “Are you sure? Consider an alternative diagnosis,” or “Did you miss symptom X?”) and record if the model reverts, defends, or alters its deduction\n4. Rating: Compare the consistency of the initial deduction and the robustness against the “second guess” across the models.\nResults: LLMs are efficient tools for initial symptom identification and assessment support, but their consistency and diagnostic reliability for final psychiatric deduction still require human-expert oversight and continuous technical refinement to mitigate risks like hallucination and atypical interpretation.\nConclusion: This study will demonstrate the comparative reliability and robustness of current-generation LLMs in psychiatric symptom extraction, highlighting which models can be more consistently relied upon as clinical support tools and where vulnerabilities (like susceptibility to challenge or hallucination) persist.\n\n\n### A comparative analysis on estimation of different quantitative methods for alcohol consumption: A cross-sectional community based study from India\nSurender, Ashwani Kumar Mishra, Ravindra Rao\nAIl India Institute of Medical Sciences, New Delhi, India\nBackground: Accurate assessment of alcohol consumption is important for clinical care and public health planning. Quantity Frequency (QF), Beverage-Specific QF (BSQF), and Graduated Frequency (GF) are commonly used recall-based methods, but comparative data from Indian community settings are limited.\nAims: To compare alcohol consumption estimates from QF, BSQF, and GF, and to examine their concordance.\nMethods: A cross-sectional, within-subject study was conducted at a community drug treatment clinic in Eastern Delhi. Adult males (n = 152) who reported alcohol use in the past year completed QF, BSQF, and GF in randomized order, along with the Alcohol Use Disorders Identification Test and the Drinker Inventory of Consequences. Analyses included Intraclass Correlation Coefficients, Cohen’s Kappa, Bland Altman comparisons, Wilcoxon tests, Friedman tests, and ROC curves.\nResults: GF produced the highest annual alcohol estimate (mean 7,265.7 g), followed by BSQF (6,034.7 g) and QF (5,689.1 g). Differences across methods were significant (Friedman statistic 190.75, p < 0.001). Agreement was substantial between QF and BSQF (kappa = 0.80) and moderate between GF and QF (kappa = 0.60). For hazardous drinking, QF had the highest accuracy (AUC = 0.88), followed by BSQF (0.85) and GF (0.81). All methods performed equally for dependence (AUC = 0.99).\nConclusion: GF best captures episodic heavy drinking, BSQF adds beverage-specific information, and QF provides the strongest and most practical screening performance.\n\n\n### ECT in elderly patient with pacemaker: A case-report and review of evidence of safety of ECT in patients with cardiac issues with pacemaker\nSushan Pokharel, Jyotika Kanwar1, Raj Laxmi1, Swapnajeet Sahoo1\nPostgraduate Institute of Medical Education and Research, 1Department of Psychiatry, Postgraduate Institute of Medical Education and Research, Chandigarh, India\nBackground: Cardiac complications are rare (with 0.9% incidence), but still are the most common comorbidity due to ECT, particularly in elderly. Despite the lack of significant controlled trials, the literature suggests that ECT can be given safely in patients with pacemakers, after pretreatment stabilization.\nAim: To present a case of ECT in an elderly patient with cardiac issues with a pacemaker.\nCase Presentation: A 78-year-old male with hypertension, BPH, and a severe psychotic episode of major depression treated with medications, presented with another severe non-psychotic episode with treatment resistance. After 4 index ECTs, further ECTs were stopped due to recurrent VPCs. He also had symptomatic bradycardia, irregular rhythm, pauses on holter, and RBBB. A multidisciplinary team then planned to resume ECT after placing a pacemaker. A permanent synchronous (DDD) pacemaker was placed, followed by a new cycle of 7 ECTs with improvement noted clinically and on HDRS and BDI scales. He was discharged and continued on weekly ECTs.\nConclusion: This case-report is evidence that ECT need not be the last resort in severe mental illnesses, even in elderly patients with pacemakers. ECT, as in this case, has not been associated with serious pacemaker dysfunction. Studies recommend synchronous pacing over asynchronous one during ECT, as done in our patient, while some contradict. Depolarizing muscle relaxants such as succinylcholine and suxamethonium, which have been reported to cause pacemaker failure and cardiac arrest, should be used with caution. A periodic examination of the pacemaker may be necessary.\n\n\n### Intracranial arachnoid cyst in a patient presenting with psychosis followed by OCD – A case report\nV. Swaathi\nKMCH Institute of Health Sciences and Research, Coimbatore, Tamil Nadu, India\nBackground: Intracranial arachnoid cysts are usually asymptomatic, but lesions involving the posterior fossa have been linked to diverse psychiatric presentations, including psychosis and obsessive-compulsive symptoms. We describe a young man with intrusive harm obsessions and unusual disrobing behavior in whom a retro cerebellar arachnoid cyst was detected.\nCase Description: A 26 year old man with past diagnoses of depression and brief psychosis presented with 4 days of repetitive mental images of his family being harmed, associated with compelling commandsto scream or disrobe to prevent catastrophe. The images were experienced as intrusive and distressing; he acknowledged they might be irrational but felt unable to resist them, with transient relief after the behaviors. There were no other obsessions, delusions or hallucinations. One year earlier he had developed excessive religiosity centered on a yoga center, culminating in an admission at our hospital with a diagnosis of psychosis not otherwise specified and partial response to risperidone. On current admission he was markedly agitated with frequent screaming and disrobing episodes. Routine blood tests, toxicology and thyroid profile were normal. Brain MRI revealed a retro cerebellar arachnoid cyst (2.7×4.6 × 3.2 cm) with inferior vermian hypoplasia. Neurosurgical opinion favored conservative management. He improved with olanzapine, sertraline and low dose aripiprazole, though residual obsessive imagery persisted. Discussion: This case highlights the diagnostic challenge of disentangling psychosis from obsessive-compulsive phenomena in the context of an organic brain lesion. Careful phenomenological assessment and neuroimaging in atypical or fluctuating presentations may help identify potentially contributory structural pathology.\n\n\n### From dermatosis to delusions: A case of darier’s disease with psychosis\nSwarna Neetu Deepthi, Nekkanti Nimeesha\nGuntur Medical College, Guntur, Andhra Pradesh, India\nBackground: Darier’s disease, a rare autosomal dominant keratinization disorder caused by ATP2A2 mutations, presents with keratotic papules, plaques and nail changes and is increasingly linked to psychiatric symptoms, including mood disturbances and psychosis, likely due to shared neuronal calcium regulation abnormalities.\nAim: To highlight the mind-skin link in Darier’s disease with psychosis and stress the need for early multidisciplinary care, as stress can worsen skin symptoms and trigger psychosis.\nMethods: A 47-year-old woman with Darier’s disease who presented with a 2-month history of symptoms that had intensified over the past week, including irritability, anger outburts, poor self-care, reduced sleep and appetite, talking and laughing to self, wandering behaviour, hallucinations, and delusions, was precipitated by a trigger, with a similar complaints reported 3 months earlier and a positive psychiatric family history.\nA detailed clinical, dermatological, and psychiatric evaluation was performed. Routine laboratory tests, CT brain, neuroimaging, skin biopsy were conducted, confirming Darier’s disease with no neurological abnormalities.\nResults: The patient showed marked improvement with antipsychotic and dermatological treatment during inpatient care and remained stable on follow-up.\nConclusion: This case emphasizes link between Darier’s disease and psychosis, often triggered by stress, and underscores the importance of early recognition and coordinated dermatology-psychiatry care for optimal outcomes.\n\n\n### Sudden aphonia in dissociative neurological symptom disorder following psychosocial stress\nSwetha Gadda, G. Bindu1\nAndhra Medical College/Government Hospital for Mental Care, 1Government Hospital for Mental Care, Visakhapatnam, Andhra Pradesh, India\nBackground: Dissociative neurological symptom disorder (previously conversion disorder) involves involuntary disruptions in motor, sensory, or cognitive functions without an identifiable neurological cause. Symptoms can include speech disturbances like dysphonia, aphonia, or dysarthria, which cannot be explained by neurological diseases, substance effects, or other mental disorders. Psychosocial stressors often precede symptom onset.\nAim: To diagnose and manage a case of dissociative neurological symptom disorder presenting as sudden speech loss in a woman following familial conflict and suspicion of theft involving her son, and to evaluate symptomatic improvement after initial psychotherapy.\nMethods: Detailed clinical history focusing on the onset and psychosocial context of symptoms. Physical examinations including video laryngoscopy to exclude organic causes. MSE to assess psychiatric condition. Differential diagnosis excluding neurological, substance-related, and other mental disorders. Psychological intervention and patient reassurance. Follow-up evaluation after one week to monitor symptom progression.\nResults: After psychotherapy and reassurance, partial improvement in speech occurred at one-week review, with patient able to use some words though unable to form full sentences.\nConclusion: This case illustrates dissociative neurological symptom disorder triggered by acute psychosocial stress, manifesting as sudden speech loss without organic pathology. Thorough exclusion of neurological and medical causes is critical. Psychotherapy and reassurance are effective initial treatments, with early signs of recovery observed. Ongoing follow-up is essential for further functional restoration.\n\n\n### Beyond the myths: Dhat syndrome with depression and intermittent scrotal pain\nSyed Mohammed Abuzer, K. Jayanth Kumar\nKanachur Institute of Medical Sciences, Mangalore, Karnataka, India\nIntroduction: Dhat Syndrome is a culture-bound disorder seen in Indian subcontinent, characterised by distress related to semen loss. The term Dhat’ originates from the Sanskrit word Dhatu,’ meaning the most concentrated and powerful bodily substance, believed to be vital for physical and spiritual strength. Individuals often present with vague somatic and psychological symptoms. Cultural beliefs about semen loss significantly shape the illness, experience and influence health seeking behaviour.\nCase Description: A 25-year-old single male from rural Bihar, currently living in Mudipu and working as a bike mechanic, with education up to the primary level, presented with a 6-year history of generalised weakness, intermittent scrotal pain, low mood, reduced concentration, and disturbed sleep. He believed that these symptoms were caused by semen loss through urine and masturbation, which he perceived as depleting vital minerals from his body and leading to a fear of losing virility. There was no history of sexual dysfunction. Despite normal findings on repeated physical examinations and routine investigations, including scrotal ultrasound, he remained convinced of the harmful effects of semen loss.\nConclusion: This case underscores the importance of recognising Dhat syndrome as a culturally influenced disorder with significant psychosomatic and psychological components. A culturally sensitive, multidisciplinary approach can help. Dhat syndrome is a curable disorder more common than appears worldwide.\n\n\n### A cross-sectional study to assess family burden and coping skills among caregivers of patients with bipolar affective disorder\nSyed Mohammed Abuzer, K. Jayanth Kumar\nDepartment of Psychiatry, Kanachur Institute of Medical Sciences, Mangalore, Karnataka, India\nIntroduction: Bipolar affective disorder significantly impacts both patients and their caregivers, creating substantial family burden and psychological distress. Understanding caregiver burden and coping mechanisms is essential for developing comprehensive treatment approaches.\nAims and Objectives: To assess family burden among caregivers of bipolar disorder patients, examine coping patterns, and determine associations between burden and coping skills.\nMethodology: This cross-sectional study was conducted over 18 months. Fifty-two primary caregivers of bipolar disorder patients (diagnosed per ICD-10) were recruited. Data collection utilized the Family Burden Index (Kapoor and Pai) and Brief COPE Scale. Statistical analysis employed chi-square tests and correlation analysis (p<0.05).\nResults: Mean caregiver age was 42.3±8.7 years, with 65.4% being female. Significant family burden was observed in 78.8% of caregivers (mean score 28.6±6.4). Problem-focused coping strategies were predominant (73.1%), followed by emotion-focused coping (54.8%). Female caregivers experienced significantly higher burden (p=0.024). Educational level significantly influenced coping effectiveness (p=0.031). Strong correlation existed between family burden and coping strategy selection (r=0.58, p<0.001).\nConclusion: Caregivers of bipolar disorder patients experience substantial burden that influences their coping strategy selection. Targeted interventions focusing on psychoeducation and coping skill enhancement are crucial for supporting this vulnerable population.\n\n\n### Predicting MDD from hippocampal volume: A novel mathematical and circuit-based model\nT. Naveen Keerthi\nMIMER Medical College Pune, Maharashtra, India\nBackground and Objectives: Reduced hippocampal volume is consistently associated with Major Depressive Disorder (MDD), yet its predictive value remains limited due to the absence of a mechanistic framework linking structural atrophy to functional risk. Most studies offer only statistical associations, leading to uncertainty about causality. This study aimed to address this gap by developing an integrated, mechanistically informed model that predicts MDD risk from hippocampal volume.\nMethods: A synthetic dataset of 500 data points, derived from meta-analytic means and standard deviations of MDD and control cohorts, was used. The analysis involved two steps: (1) a logistic regression model estimating the probability (p) of MDD as a function of hippocampal volume (V); and (2) a novel mechanistic circuitmodel conceptualizing hippocampal integrity as voltage and depressive load as resistance, following the derived relation . The resulting current (I), representing functional output, was used as the predictor in the regression, modeling nonlinear vulnerability to depression.\nResults: Depressed subjects showed significantly lower hippocampal volumes (2.73 ± 0.46) than controls (3.28 ± 0.37). The integrated model achieved an AUC of 0.720, indicating good discriminative power. A threshold volume of 1.1348 corresponded to a high-risk probability (p > 0.8). The circuit output (I) correlated strongly with p, supporting the hypothesis that structural loss amplifies functional deficits.\nConclusion: This study introduces a transparent, interpretable framework linking hippocampal structure to MDD risk. The defined anatomical cutoff highlights hippocampal volume as a potential biomarker, warranting validation with real neuroimaging datasets.\n\n\n### When the past echoes loud - Adverse childhood experience, shaping the course of schizoaffective disorder\nTaniya, Rohith R. Pisharody\nIndian Naval Hospital Ship, Asvini, Mumbai, Maharashtra, India\nBackground: Childhood trauma can have an effect on the course and progression of severe mental disorders. We present the case of a 28-year-old female who suffered early maternal loss and repeated childhood abuse, presenting with chronic psychotic illness.\nAims: To elucidate case of a young female with history of adverse childhood experience manifesting with a chronic psychotic illness.\nCase Description: The illness began insidiously at age 24 with persistent sadness of mood, insomnia, feelings of worthlessness, and recurrent panic attacks. She was managed with SSRIs and other antidepressants. Within months, she developed psychotic features including second-person auditory hallucinations and delusions of persecution and infidelity towards her husband. Despite antipsychotic treatment, her psychotic symptoms persisted independent of mood disturbance, along with prominent negative symptoms such as affective flattening, avolition, anhedonia, and social withdrawal. She also exhibited poor insight, impaired attention, and concentration. These difficulties were compounded by ongoing marital discord, further aggravating her condition.\nThe patient was managed through a holistic, eclectic approach, integrating pharmacological therapy with psychological strategies and family involvement. This comprehensive management plan led to a significant improvement in her overall functioning and symptom control.\nConclusions: This case underscores the role of adverse childhood experiences as risk factors for severe mental illness. Individualized treatment approach combining pharmacological management with psychosocial interventions remains the mainstay.\n\n\n### Attitudes and satisfaction of in-patients’ attendants of psychiatric patients: Government versus private hospitals\nUnmesh Bhosale, Surbhi Dubey\nPt. JNM Medical College, Raipur, Chhattisgarh, India\nBackground: Psychiatric services in India are delivered through both government and private sectors. Satisfaction with mental health services depends on multiple factors, including infrastructure, interpersonal skills, reliability, and responsiveness. Rural and urban populations often differ in access, expectations, and satisfaction levels.\nAim: To compare attitudes and satisfaction levels of attendants of psychiatric patients attending government versus private hospital services, along with assessing rural-urban differences.\nMaterials and Methods: A one-time cross-sectional interview study was conducted at the Psychiatry OPD of Dr. BRAM Hospital (government) and a private psychiatric clinic in Raipur. A total of 100 attendants were included (50 from each setting). The sample consisted of 60% urban and 40% rural attendants across both hospitals. A self-designed semi-structured questionnaire assessed appearance, reliability, responsiveness, assurance, and rural-urban variations in satisfaction.\nResults: Appearance satisfaction: Private 82% vs Government 46% Reliability: Private 76% vs Government 52% Responsiveness: Private 80% vs Government 48% Overall satisfaction: Private 84% vs Government 58% Rural vs Urban: Urban attendants showed higher satisfaction across all domains compared to rural attendants, particularly in appearance and responsiveness scores.\nConclusion: Attendants reported higher satisfaction in private hospitals across appearance, reliability,responsiveness, and assurance domains. Urban attendants were more satisfied than rural attendants, likely due to better prior exposure to structured healthcare services. Government hospitals require improvements in infrastructure and individualized care, particularly to meet the expectations of rural populations.\n\n\n### Persistent elation: A case report of chronic mania\nUtkarsh Modi\nChristian Medical College, Vellore, Tamil Nadu, India\nIntroduction: Bipolar disorder is characterized by recurrent episodes of mania, hypomania and depression. Although literature describes prolonged mood disorders such as Cyclothymia and Dysthymia, the concept of Chronic Mania is underexplored and rare. We describe a case report of a young male with chronic mania.\nCase Report: 29 years old male with a past history of cannabis use, presented with complains of persistent elated mood, increased psychomotor activity, increased speech, grandiose ability, and intermittent aggression. He exhibited transient persecutory delusions with the worsening of his mood symptoms. Medical workup for organic causes was normal. Although his symptoms improve transiently with medications, he never attained complete remission of his symptoms and he would have worsening of his mood state, while on medications. He had failed trials of Risperidone, Quetiapine, Lithium and Olanzapine. He was initiated on a combination on Lithium + Valproate + Olanzapine, with which he showed minimal gains. He never attained premorbid functioning and was planned for Clozapine trial.\nDiscussion: Chronic mania is a rare clinical entity under the pervasive mood disorder category. It is often associated with poor functional outcomes, with most cases being treatment refractory. In this case report, we highlight the treatment challenges and discuss the relevant literature published related to chronic mania.\n\n\n### Autoimmunity unveiled: Psychosis in primary Sjogren’s syndrome\nV. S. Sai Rawya Katragadda, H. Rupa Lakshmi, P. Ranjit Kumar\nAlluri Sita Rama Raju Academy of Medical Sciences, Eluru, Andhra Pradesh, India\nIntroduction: Sjogren’s syndrome (SS) is an autoimmune disorder characterised by the infiltration of mononuclear cells and subsequent damage to the salivary and lacrimal glands. Syndrome can either be secondary Sjogren’s syndrome, occurring with another autoimmune disease, or primary Sjogren’s syndrome (pSS) when it manifests independently. The prevalence is approximately of 0.1% to 3% of the general population. Beyond classical dryness, SS can present with neurologic and psychiatric manifestations, including rare autoimmune psychosis.\nCase Vignette: A 28 year old female with past history of hypothyroidism on levothyroxine 25 mcg, presented with complaints of acute onset of generalised weakness and loss of consciousness and was brought to emergency department. On day 3 of admission, she developed symptoms of dry mouth, dry eyes, auditory hallucinations, visual hallucinations, irritability, occasional self talk, with intact orientation and attention. No history of seizures, fever, headache, head trauma.\nMRI brain revealed bilateral symmetrical T2\\FLAIR hyperintensities in subcortical and deep white matter. Anti Nuclear Antibodies (ANA) profile by Immunoblot assay tested positive for antigens SS-A/Ro60 and SS-A/Ro52.\nCase Management: For above complaints she was referred to psychiatry; Treatment initiated with tab.QUETIAPINE 50 mg 0-0-1 & SOS, subsequent dose titrated upto 400mg/day and following which patient improved symptomatically.\nConclusion: Provisional Diagnosis: 6E61.0: SECONDARY PSYCHOTIC SYNDROME, WITH HALLUCINATIONS (ICD-11) 4A43.20 Primary Sjogren syndrome(ICD-11).\n\n\n### Pilot report and feasibility of the sukoon on campusmental health triage model in Indian higher education\nVaishali Miglani, Kanika\nSukoon Health, India\nBackground: Higher Education Institutes (HIEs) in India lack standardized, legally aligned frameworks for campus mental health crisis triage and emergency response. Effective systems must operate within the rights-based provisions of the MHCA 2017, emphasizing risk-stratified, functional-based care model. Aim To report the pilot implementation and feasibility of a risk-stratified, functional-based mental health triage and emergency management model, designed to be age, population & setting appropriate.\nMethods: A mandatory Foundational Assessment Protocol (FAP) and a three-tier triage framework Routine Support (Level 1), At-Risk (Level 2), and High Risk (Level 3) were implemented at O.P. Jindal Global University. The model was applied to 688 emergency mental health presentations over six months (June-November 2025). The FAP included detailed clinical history, Mental Status Examination, comprehensive risk assessment (C-SSRS/BSS), and functional impairment assessment (WHODAS/SOFAS). Level 3 cases triggered immediate stabilization, continuous observation, Health Centre transfer, parental supervision and MHCA emergency disclosures. Results Of 688 emergencies, 68.7% (n=473) were Level 1, 23.7% (n=163) Level 2, and 7.6% (n=52) Level 3. Health Centre transfer was required in 10.3% (n=71) of cases. The framework addressed 34 cases of suicidal ideation/attempt and 6 cases of acute psychosis. University Mandated Presence (UMP) was initiated in 4.2% (n=29) of students with persistent risk.\nConclusion: This pilot demonstrates the feasibility and clinical utility of a risk-stratified, functional-based MHCA-aligned triage framework suitable for university settings. The Sukoon On Campus model offers a scalable and legally defensible template for emergency mental health care across Indian HEIs.\n\n\n### Lumateperone-induced mania in a patient with bipolar I disorder: A case report\nVarchasvi Mudgal, V. S. Pal, Priyash Jain\nMGM Medical College, Indore, Madhya Pradesh, India\nBackground: Lumateperone is a novel antipsychotic approved for bipolar depression. While generally considered safe, data on treatment-emergent mania remain limited.\nCase Presentation: We describe a 32-year-old male with Bipolar I Disorder who developed mania shortly after lumateperone initiation for his seventh depressive episode. The manic switch occurred despite concurrent lamotrigine and quetiapine. Symptoms resolved following discontinuation of lumateperone and initiation of lithium.\nConclusion: This case highlights the potential for lumateperone-induced mania, even in the presence of mood stabilizers, underscoring the need for close monitoring.\n\n\n### Brain granulomas: EEG insights and mental health links\nVasuda Gupta, Fiona Mahapatro, Sanjiv Kale\nDY Patil University School of Medicine, Navi Mumbai, Maharashtra, India\nBackground: Brain granulomas can be associated with psychiatric manifestations. Patients may experience symptoms such as hallucinations, delusions, personality changes, cognitive impairment, mood disorders, and behavioral disturbances. They can provoke epileptiform activity on EEGs, which is linked to psychiatric symptoms including psychosis and mood disturbances. They may present with seizures, headaches, or psychiatric symptoms.\nMaterials and Methods: The study is a cross sectional and observational study, conducted at a tertiary care centre. Patients of granuloma referred for psychiatric evaluation over 9 months were assessed. Detailed psychiatric evaluation including MSE was done, and diagnosis (if any) was made as per DSM 5. There were 7 patients in all, 6 patients had unconventional presentation.\nResults: Interesting findings emerged. Out of the 7 patients who had granulomas, 5 (71.43%) had seizure activity, 2 (28.57%) had comorbid depression-anxiety, 1 (14.29%) had schizophrenia, 1 (14.29%) had hyperactivity,1 (14.29%) had delirium.\nConclusion: Since granulomas, seizure and psychiatric illnesses coexist, one has to be vigilant about the diagnosis. Consultation- Liaison by the treating physician and psychiatrist would entail a better prognosis.\nKey words: Granuloma, psychiatric symptoms, seizures\n\n\n### Alternative of electroconvulsive therapy in the treatment of a complex case of catatonia and ATPD in a 14 year old male\nVasundhara Bhushan, Mansi Saxsena\nInstitute of Mental health and hospital, Agra, Uttar Pradesh, India\nBackground: Paediatric catatonia is a poorly understood and rare phenomenon . Most documented cases have a psychiatric aetiology. Because of the varied presentation and treatment considerations specific to the paediatric population, identification and management can be challenging. Additionally, few definitive guidelines or practice parameters are available for paediatric patients. The first-line treatment for catatonia is pharmacologic, and when treatment fails or is inadequate, electroconvulsive therapy (ECT) has been shown to be safe and effective but sometimes if ECT is not available or contraindicated, alternative treatment options should be explored.\nCase Report: A 14-year-old male presented with abrupt onset psychotic symptoms in opd,was given injection of haloperidol 5mg and promethazine 25 mg IM,12 hrs later presented with abrupt onset catatonia (withdrawal, holding of food and saliva in mouth, posturing, negativism). After doing lorazepam challenge test patient showed improvement onBush-Francis Catatonia Rating Scale(BFCRS) and patient was given oral lorazepam upto 8mg on which he had little improvement. ECT as treatment option declined by family. Later adjunctive memantine 20mg was given for short course due patients incomplete response on lorazepam and his poor oral intake . Patient showed marked improvement with it. This case showed resolution of catatonia (negativism, mutism, and withdrawal) with memantine when conventional treatments are limited or show partial response or are unavailable.\n\n\n### A cross sectional study to assess the impact of smokeless tobacco and it’s effect on cognition\nVed Kelkar\nNKPSIMS and Lata Mangeshkar Hospital, Hingna, NAGPUR, Maharashtra, India\nSmokeless tobacco (SLT) use is highly prevalent in India, where products such as gutkha, khaini, mishri, and betel quid deliver significant amounts of nicotine without combustion. Nicotine acts primarily on nicotinic acetylcholine receptors (nAChRs), influencing cognitive domains including attention, memory, and executive functioning. While acute nicotine exposure may transiently enhance cognition, chronic SLT use is associated with neuroadaptation and potential cognitive impairment. Existing literature suggests that habitual SLT users may show deficits in working memory, visuospatial skills, and verbal fluency, particularly when use begins in adolescence a critical neurodevelopmental period.\nThis cross-sectional study aims to assess cognitive functioning among adult SLT users and examine its association with nicotine dependence severity. Seventy participants aged 18-40 years, without major psychiatric or neurological disorders or other substance dependence, will be recruited from a Psychiatry OPD/Deaddiction center. Nicotine dependence will be measured using the Fagerstrom Test for Nicotine Dependence-Smokeless Tobacco (FTND-ST), and cognitive performance will be evaluated using the Addenbrooke’s Cognitive Examination-III (ACE-III), covering attention, memory, fluency, language, and visuospatial domains.\nData will be analyzed using descriptive statistics, Pearson’s correlation to examine the relationship between FTND-ST scores and cognitive performance, and multiple linear regression to determine whether duration and frequency of tobacco use predict cognitive impairment. The study aims to provide evidence on the cognitive effects of SLT and emphasize the need for targeted early intervention and public health strategies addressing nicotine dependence.\n\n\n### “Snake inside my stomach” – A case report on delusional zoopathy in schizophrenia\nV. R. Venugopal, Suranjita Mazumdar\nLokopriya Gopinath Bordoloi Regional Institute of Mental Health, Tejpur, Assam, India\nBackground: Somatic delusions are prevalent in schizophrenia, yet Delusional Zoopathy the conviction that macroscopic animals (e.g., reptiles or mammals) inhabit the body represents a rare and bizarre phenotype distinct from classic Delusional Infestation (Ekbom syndrome), which typically involves microscopic organisms. This case illustrates the complex phenomenology and treatment challenges of zoopathy within the schizophrenia spectrum.\nCase Presentation: A 35-year-old married female from Assam, educated up to 10th standard, housewife, with comorbid hypothyroidism and no significant family psychiatric history, presented with an 11-year total duration of illness. She initially developed persecutory delusions toward neighbors and family members, accompanied by third-person auditory hallucinations, self-talking, and inappropriate smiling. Four months prior to presentation, she developed the fixed belief that a snake had entered through her mouth and was residing in her stomach. She reported severe abdominal pain, restlessness, and distinct writhing sensations attributed to the snake’s movements. The patient persistently demanded ultrasound abdomen examination to “detect the snake” and refused to accept reassurance despite repeated explanations. She showed no response to adequate trials of Aripiprazole and Olanzapine but achieved significant improvement with Clozapine 200mg daily, with reduction in somatic complaints and partial insight into the impossibility of her belief.\nConclusion: Unlike monosymptomatic delusional infestation or substance-induced cases previously reported, this case demonstrates that bizarre zoopathic delusions can emerge within chronic schizophrenia, often requiring clozapine for treatment-resistant presentations. The presence of cenesthopathic hallucinations (writhing sensations) likely reinforced the delusional conviction, highlighting the importance of targeting both positive symptoms and somatic experiences in management.\n\n\n### Delusion of reverse inter-metamorphosis in a patient with schizophrenia: A case report\nVidhi Kaushik, Deepak Krishna Ghormode, Neetika Jha\nShri Shankaracharya Institute of Medical Sciences, Durg, Chhattisgarh, India\nBackground: Delusional misidentification syndrome is a group of psychopathological phenomena characterized by a belief that a person, place, object, or event has been duplicated, reformed, or replaced. Inter-metamorphosis is one of its presentations defined as the belief that people, usually familiar, are swapping identities although maintaining appearance. However, Reverse inter-metamorphosis is rare, described as belief that one has changed identities with others while maintaining physical appearance. Here we present a case with Schizophrenia and phenomenon of reverse inter-metamorphosis.\nCase Presentation: A 41 years, unmarried male, postgraduate, unemployed, from a Hindu nuclear family of lower socio-economic status and rural background presented with insidious onset and continuous illness since 5 years characterized by delusion of grandiosity and persecution, thought insertion, thought broadcast and auditory hallucination (commenting and commanding type). He also believed that he gets changed into the other person whomsoever he talks or sees. He would describe that his face gets changed as that of the other’s and hence it appeared that the same two persons are talking to themselves and patient would be firm on it despite contradictory evidence suggestive of reverse inter-metamorphosis. He also had disturbed sleep and appetite with poor selfcare leading to marked socio occupational dysfunction. All routine investigations and MRI brain showed no significant abnormality. Diagnosis of Schizophrenia was considered and treated with Quetiapine 350 mg/day for 8 weeks and tab clonazepam 0.5mg HS, showed no significant improvement hence changed to Risperidone 2mg-4mg/day.\n\n\n### The psychosis that vanished: A seven-year journey revealing hidden Hashimoto’s thyroiditis\nVidya Nittur\nK.V.G Medical College and Hospital, Sullia, Karnataka, India\nBackground: Hashimoto’s thyroiditis, an autoimmune thyroid disorder, can present with diverse neuropsychiatric manifestations including psychosis, often termed Hashimoto’s encephalopathy. However, chronic psychotic presentations with prolonged duration of untreated psychosis (DUP) are rarely reported. This case highlights the critical importance of screening for organic etiologies in psychiatric patients, particularly when treatment response is atypical.\nAims: To present an unusual case of Hashimoto’s thyroiditis manifesting as chronic psychosis with a DUP of 7 years and emphasize the necessity of comprehensive medical evaluation in psychiatric presentations.\nMethods: A 35-year-old married female homemaker from Sullia presented with 7 years of delusions regarding spousal infidelity for 7 years progressing to delusions of persecution, auditory hallucinations (2nd person, commanding), and depressive symptoms for 4-5 months. Mental status examination revealed psychomotor retardation, dysphoric mood, anxious affect, and impaired attention and memory. PANSS score was 99. Comprehensive investigations were performed.\nResults: Laboratory findings revealed hypothyroidism (TSH >100 IU/ml), elevated anti-TPO antibodies (372.93 IU/ml), and normocytic hypochromic anemia (Hb 8.3 gm%). USG confirmed diffuse thyroid disease with colloid cyst. Diagnosis of Hashimoto’s thyroiditis was established. Treatment with Thyroxine 75mcg and brief antipsychotic therapy (Risperidone 2mg, tapered over 5 weeks) resulted in complete remission within 2 months.\nConclusion: This case demonstrates that Hashimoto’s encephalopathy can masquerade as primary psychotic disorder for prolonged periods. Systematic evaluation for organic causes, particularly thyroid dysfunction and autoimmune disorders, is imperative in all psychiatric presentations to prevent delayed diagnosis and ensure optimal outcomes.\n\n\n### Repetitive transcranial magnetic stimulation targeting broca’s and wernicke’s areas in a child with cerebral palsy and speech delay: A case report\nVijay Niranjan, Simran Sandhu, Pali Rastogi\nMGMMC, Indore, Madhya Pradesh, India\nBackground: Cerebral palsy (CP) is a non-progressive neurodevelopmental disorder frequently associated with motor and speech impairments due to disrupted cortical connectivity in perisylvian language areas. Repetitive transcranial magnetic stimulation (rTMS), a non-invasive neuromodulatory technique, may enhance neuroplasticity and improve communication outcomes in such cases.\nCase Presentation: A 3.5-year-old female child with spastic CP and severe speech delay limited to cooing and non-specific vocalisations underwent a 30-session rTMS protocol. Stimulation alternated between Broca’s (F7) and Wernicke’s (T5) areas using high-frequency (15 Hz) pulses at 40% of motor threshold, lasting approximately 5.2 minutes per session. Following treatment, caregivers observed subjective improvement in vocal initiation, imitation, and attention to verbal cues.\nDiscussion: This case illustrates the feasibility and safety of high frequency rTMS in a young child with CP and severe speech delay. While subjective benefits were noted, the absence of measurable improvement aligns with prior studies reporting variable language outcomes. Evidence suggests that combining rTMS with structured speech therapy may better facilitate activity-dependent neuroplasticity and functional reorganisation.\nConclusion: rTMS targeting language-associated cortical regions may serve as a safe adjunct in managing speech delay in CP, though its independent efficacy remains uncertain. Controlled trials are needed to establish optimal protocols and evaluate long-term benefits.\nKey words: Broca’s area, cerebral palsy, neuromodulation, neuroplasticity, rTMS, speech delay, wernicke’s area\n\n\n### Ghost in gaze: A visual hallucination in progressive supranuclear palsy: A case report\nVikas Dhruwa, Siva Teja Reddy, S. Gopi1\nAndhra Medical College, 1Department of Neurology, Andhra Medical College, Visakhapatnam, Andhra Pradesh, India\nBackground: Progressive Supranuclear Palsy is a neurodegenerative disorder characterized by early postural instability,vertical gaze palsy,axial rigidity, and cognitive deficits.Visual hallucinations are distinctly uncommon in PSP.When hallucinations do occur,they are typically linked to advanced disease,frontal lobe dysfunction,or medication effects.Evidence for antipsychotic treatment in PSP is limited,and most agents risk worsening motor symptoms.\nAim: The aims is to highlight the rare occurrence of visual hallucinations in PSP and to examine the clinical rationale for using low-dose quetiapine to reduce hallucinations. The objective is to support clinical recognition of this unusual presentation and outline that quetiapine may be more beneficial than other agents.\nMethods: A 67 years old male came with complaints of sudden falls,slowness of activities since 2 years,on examination was having bradykinesia,vertical gaze palsy and tendency to fall back,upon history,clinical evaluation,imaging studies was diagnosed as PSP.Upon serial MSE was noted to have Visual hallucinations for which T.QUETIAPINE 50mg was started,and increased gradually to 300 mg/d.\nResults: The introduction of quetiapine 300 mg/day was associated with marked reduction in hallucinations,improved behavioral regulation.Compared to other antipsychotics,quetiapine demonstrated superior tolerability and adequate symptomatic control.\nConclusion: Visual hallucinations in PSP represent an uncommon neuropsychiatric manifestation,often posing diagnostic and therapeutic challenges.This case report suggest that low-dose quetiapine may provide clinical reduction in hallucinations while maintaining motor stability, offering practical advantages over alternatives.\n\n\n### Mental health challenges for civilian population during war: Lessons from russia-ukraine conflict\nVirendra Vikram Singh\nBase Hospital Barrackpore, West Bengal, India\nWar affects a population many ways. Mostly while discussing war, issues related to military comes to our mind, however the civilian population is also deeply affected. Mental health during war is severely affected because of multiple challenges. Wars too have changed over period of time in terms of presentation and participation. The ongoing conflict between Russia and Ukraine is much different from traditional wars. It has affected both civil and military, people staying put or internally displaced. The service delivery setup is largely disrupted, and it is overburdened wherever functional. Newer strategies including use of digital technology are being used to address the issues. This poster aims to present Mental health challenges for civilian population during this war from the published literature and draw conclusion and comments for own population in India.\n\n\n### Initiation of naltrexone in a patient with right bundle branch block and mildly elevated troponin: A rare clinical observation\nVishakha Prakash Katare, Tanu Singla1, Abhay Bhat1\nGrant Government Medical College and JJ hospital, 1Gokuldas Tejpal Hospital, Mumbai, Maharashtra, India\nBackground: Naltrexone is a widely used pharmacological agent for alcohol use disorder (AUD). Its use is generally cautioned in individuals with cardiac conduction abnormalities such as right bundle branch block (RBBB). Evidence regarding its safety in such cases is limited.\nAims: To describe the safe initiation of naltrexone in a patient with incidentally detected RBBB and mildly elevated troponin levels.\nMethods: A single patient case was evaluated clinically, with ECG, cardiac biomarkers, and continuous monitoring before and after initiating naltrexone. Clinical stability, ECG changes, and troponin trends were documented.\nResults: A 31-year-old male with AUD undergoing routine pre-treatment evaluation was found to have RBBB on ECG. He was asymptomatic and hemodynamically stable. High-sensitivity troponin I was mildly elevated initially but decreased on repeat testing at 3 hours. No arrhythmias or instability were noted during monitoring. After cardiology consultation, naltrexone was initiated. The patient tolerated the medication well, with no worsening of conduction abnormality, no rise in cardiac biomarkers, and no cardiac symptoms on follow-up.\nConclusion: This case demonstrates that naltrexone may be safely initiated in select asymptomatic and stable patients with incidentally detected RBBB when thorough evaluation and monitoring are ensured. It contributes to the limited evidence regarding naltrexone use in conduction abnormalities and underscores the importance of individualized cardiac risk assessment.\n\n\n### A young mind slowing down: The unseen onset of Wilson’s disease\nVishnu Vardhan, O. Sindhuja, Kishore Kumar Rokkam\nSanthiram Medical College and General Hospital, Nandyala, Andhra Pradesh, India\nIntroduction: Wilson’s disease is a hereditary disorder of copper metabolism that leads to toxic accumulation in the liver, brain, and cornea. Adolescents may present predominantly with neuropsychiatric features such as cognitive decline, personality changes, tremors, and mood disturbances, often leading to psychiatric referral before hepatic signs become clinically obvious. Early recognition is essential, as prompt chelation therapy can halt neurological progression.\nSummary: A 19-year-old student presented with progressive academic decline, impaired concentration, forgetfulness, dull mood, and worsening upper-limb tremors over one year. She became socially withdrawn and exhibited psychomotor slowing. Examination revealed mild icterus, working-memory deficits, subtle gait abnormality, and mild extrapyramidal signs. Minimal response to supportive psychiatric interventions prompted systemic evaluation. Investigations showed abnormal liver function, hepatomegaly, and MRI brain hyperintensities in the basal ganglia. Slit-lamp examination confirmed a Kayser-Fleischer ring, establishing the diagnosis of Wilson’s disease. She was started on D-penicillamine with gradual titration, zinc acetate, pyridoxine, and neuroprotective supplementation, along with escitalopram and structured cognitive-rehabilitation techniques. Early follow-up showed improvement in tremors, mood, and hepatic parameters.\nConclusion: This case underscores the importance of considering Wilson’s disease in adolescents presenting with unexplained cognitive decline, mood symptoms, or tremors. Early diagnosis through integrated psychiatric, neurological, and systemic assessments can prevent irreversible neurodegeneration and support recovery.\nKey words: Adolescent, cognitive decline, kayser-fleischer ring, neuropsychiatric presentation, tremors, wilson’s disease\n\n\n### When motherhood meets nihilism: Rare case of postpartum cotard syndrome following haemorrhage\nVrushali S. Patil, Anupama\nJJM Medical College, Davangere, Karnataka, India\nBackground: Cotard syndrome is an extraordinarily rare neuropsychiatric condition marked by profound nihilistic delusions involving one’s own death, nonexistence, or internal decay. Its emergence in the postpartum period is exceedingly rare, and when preceded by postpartum hemorrhage, diagnostic complexity increases. The physiological shock and psychological trauma of PPH may trigger catastrophic disruptions in self-perception, Early recognition is crucial, given the high risk of self-neglect and suicide.\nAim: To present a rare and clinically challenging case of postpartum-onset Cotard syndrome and to describe its diagnostic challenges, therapeutic considerations, and implications for early identification and life-saving intervention in maternal mental health.\nMethods: A detailed structured psychiatric interviews, serial mental-status examinations, and brief neurocognitive testing was conducted. Obstetric and medical records were reviewed, and essential investigations, were performed to rule out organic causes. Management included psychotropics, supportive psychotherapy, close risk monitoring, and family counselling. with specific attention to maternal mental-health needs and mother-infant safety. Result Following transfusion and the initiation of sequential antidepressant and antipsychotic therapy, the patient exhibited reduction in nihilistic delusions and depressive symptoms. Progressive restoration of functional capacity was observed across follow-up within 3 weeks. Maternal-health monitoring and structured psychoeducation contributed to the consolidation of clinical stability.\nConclusion: Postpartum Cotard syndrome is rare and high-risk, requiring early detection and timely treatment. close maternal-mental-health monitoring are vital to prevent morbidity. This underscores the need for heightened vigilance for atypical postpartum psychopathology, particularly following PPH, and reinforces the importance of routine maternal-mental-health screening in the early postpartum period.\n\n\n### Beyond primary psychosis: Febrile-onset behavioural syndromes in adolescents\nYagyani Bali, Delnaz Palsetia, Alka Subramanyam, Neena Sawant\nTNMC and BYL Nair Hospital, Mumbai, Maharashtra, India\nBackground: Acute-onset behavioural disturbances, psychosis and catatonia in adolescents following a febrile prodrome may represent autoimmune or post-infectious encephalitis, conditions that can present predominantly with psychiatric symptoms. Routine MRI, EEG and CSF studies may remain normal in early stages, and antipsychotic sensitivity or intolerance can serve as an important diagnostic clue. Early identification is crucial to avoid complications and initiate appropriate interventions.\nCases: We report two adolescent males.\nCase 1, a 17-year-old, developed withdrawn behaviour, sleep disturbance and repetitive speech after a febrile event. Following haloperidol administration for behavioural management, he developed fever, rigidity and altered sensorium, diagnosed as neuroleptic malignant syndrome. He later showed psychosis and catatonia. Routine investigations were unremarkable, but FDG-PET demonstrated fronto-occipital metabolic abnormalities suggestive of autoimmune encephalitis despite a negative autoimmune panel. He showed significant improvement with lorazepam, cautious antipsychotic titration and memantine.\nCase 2, a 13-year-old with developmental delay, microcephaly and consanguineous parentage, developed agitation, repetition of phrases and behavioural disturbance following high-grade fever. MRI, EEG and CSF were normal, but CPK was elevated during initial evaluation. He achieved full recovery with memantine alone, without requiring antipsychotics.\nDiscussion: Both cases highlight adolescent-onset behavioural syndromes with febrile triggers, neuroleptic intolerance or vulnerability and normal routine investigations. The favourable response to memantine in both patients suggests a possible role for NMDA-modulating agents in managing behavioural or catatonic symptoms linked to autoimmune or post-infectious encephalitic processes, particularly when antipsychotic use is limited by adverse effects.\n\n\n### Real-world insights into sertraline use for depression: A multicentric retrospective study from India – Emotion study\nYakshdeep Dave, Zahran Qureshi, Anuj Dwivedi, Girish Kulkarni\nTorrent Pharma, India\nBackground: Depression is a chronic and recurrent psychiatric disorder associated with significant disability and socio-economic burden. Real-world data on its utilization patterns and associated co-morbidities in Indian patients remain limited.\nAim: We aimed to assess the utilization pattern & clinical utility of sertraline in the treatment of depression among Indian patients.\nMethods: This retrospective, cross-sectional, multicentric observational study included 2,997 patients suffering from depression across India. Data on demographic details, medical history, and treatment characteristics were collected using a structured case report form and analysed descriptively to meet the study objectives. The study was initiated only after obtaining approval from the Sangini Hospital Ethics Committee.\nResults: Among enrolled patients, 57.8% were newly diagnosed, and 73.2% reported no family history of depression. The majority (47.2%) had a disease duration of 1-3 years, while 24.3% had a history of addiction. Sertraline 50 mg once daily was the most frequently prescribed dose (52.4%), followed by 100 mg (33.3%) and 25 mg (14.3%). Monotherapy was used in 56.8% of cases, while 43.2% received combination therapy. Sertraline was given with other antidepressants like escitalopram (22.1%), fluoxetine (9.5%), mirtazapine (5.4%), desvenlafaxine (4.8%) and vilazodone (4.6%). Anxiety (47.7%) was the leading psychiatric co-morbidity, and diabetes (17.8%) was the most common non-psychiatric condition, with anti-diabetic medications co-prescribed in 16% of patients.\nConclusion: Sertraline is predominantly prescribed as a once-daily 50 mg monotherapy for 3-6 months. The findings highlight the chronic nature of depression and underscore the importance of individualized management considering psychiatric and metabolic co-morbidities.\n\n\n### Psychogenic vomiting in an adolescent with turner syndrome and incidentally detected dandy-walker malformation: A case report\nYanamala Akhil Raj, J. Bhargav Reddy\nGovernment Hospital For Mental Care, Andhra Medical Collage, Visakhapatnam, Andhra Pradesh, India\nBackground: Intractable vomiting in adolescents often requires detailed medical and neurological evaluation. In individuals with genetic syndromes and structural brain anomalies, symptoms are frequently attributed to organic pathology, which may lead to overlooking an underlying psychogenic etiology.\nAim: To report a case of psychogenic vomiting in an adolescent with Turner syndrome and incidentally detected Dandy-Walker malformation.\nCase Discussion: A 16-year-old female patient with a known diagnosis of Turner syndrome presented with persistent vomiting for three months. Neuroimaging performed during evaluation incidentally revealed Dandy-Walker malformation. In view of the structural brain abnormality, vomiting was initially attributed to raised intracranial pressure and a cystoperitoneal shunt was performed. However, no clinical improvement was observed postoperatively. Further investigations, including abdominal ultrasonography and upper gastrointestinal endoscopy were unremarkable. In the absence of identifiable organic pathology despite persistent symptoms, psychiatric evaluation was sought.\nResults: Detailed assessment revealed significant psychosocial stressors including poor self-esteem, body image concerns and social anxiety, likely related to Turner syndrome-associated psychosocial vulnerabilities. A diagnosis of psychogenic vomiting was made, and the patient was started on escitalopram 10 mg/day. Within 3-4 weeks of initiating psychiatric treatment, there was a marked reduction followed by complete resolution of vomiting, with concurrent improvement in anxiety symptoms.\nConclusion: This case highlights the importance of considering psychogenic causes of functional symptoms in adolescents, even in the presence of significant structural brain abnormalities. Early psychiatric evaluation, appropriate management and a multidisciplinary approach may reduce morbidity in complex adolescent presentations.\n\n\n### Psychiatric manifestations as the presenting feature of Wilson’s disease: A case report\nS. Yashwanth, M. Gangadhar Rao\nAndhra Medical college, GHMC, Visakhapatnam, Andhra Pradesh, India\nIntroduction: Wilson’s disease (WD) is a rare autosomal recessive disorder caused by ATP7B gene mutation on chromosome 13, resulting in copper accumulation in the liver, basal ganglia, cornea, and kidneys. Thirty percent of WD patients present with psychiatric symptoms; behavioural and personality disorders occur in 46-71%, commonly irritability, aggression, and antisocial behaviour.\nCase Presentation: A 24-year-old male presented with 2 months of social withdrawal, decreased activities, reduced sleep and appetite, followed by 7 days of acute fearfulness, suspiciousness, family aggression, and trunk-predominant involuntary movements worsened by walking. He had similar symptoms 2 years prior, treated successfully with olanzapine 10 mg and trihexyphenidyl 2 mg for 6 months before discontinuation. Mental status examination revealed incoherent speech, persecutory ideation, second-person auditory hallucinations, and grade 1 insight. Neurological examination showed generalized reduced power (4/5) with marked hand grip weakness (2/5), hyperreflexia, and bilateral extensor plantars. Bilateral Kayser-Fleischer rings and symmetrical T2 hyperintensities in bilateral thalamus confirmed WD.\nManagement: Diagnosed with secondary psychotic syndrome due to Wilson’s disease (ICD-11: 6A40.1), he received olanzapine, trihexyphenidyl, and copper chelation therapy with significant 3-week improvement.\nConclusion: Neuropsychiatric symptoms may precede or overshadow neurological and hepatic manifestations in Wilson’s disease, potentially delaying diagnosis. Early recognition through clinical suspicion and targeted investigations is essential for timely intervention.\n\n\n### When grief isn’t the only culprit: Tolosa-hunt syndrome masquerading as mood symptoms\nYendluri Chidvilas, Sindhuja Omkaram, Rokkam Kishore Kumar\nSanthiram Medical College and General Hospital, Nandyala, Andhra Pradesh, India\nIntroduction: Tolosa-Hunt Syndrome (THS) is a rare, idiopathic granulomatous inflammatory disorder of the cavernous sinus and orbital apex that may initially mimic primary headache syndromes or psychiatric conditions. Hemicranial pain, sleep disturbance, and mood symptoms arising during periods of emotional stress can obscure early neurological signs, delaying diagnosis.\nSummary: The patient reported a year-long history of left-sided hemicranial pain and recent onset of low mood, worrying thoughts, and fragmented sleep following her husband’s death. Subtle but significant neurological findings including ptosis and pain-limited ocular movements prompted MRI evaluation. Imaging revealed T2 hypointense, enhancing soft tissue thickening involving the orbital apex, superior orbital fissure, and cavernous sinus, with inflammatory narrowing of the internal carotid artery. Extensive exclusion workup ruled out IgG4-related disease, myasthenia gravis, thyroid ophthalmopathy, and vascular stenosis. High-dose corticosteroids led to rapid improvement in pain and ocular symptoms, while sertraline and short-term sleep support addressed her psychiatric symptoms. This case describes a 55-year-old woman who first presented to psychiatry with depressive features and insomnia before characteristic imaging findings confirmed THS.\nConclusion: This case underscores the importance of maintaining suspicion for organic etiologies in patients presenting with unilateral headaches and mood symptoms. Early identification of cranial nerve involvement, appropriate imaging, and integrated neurology-psychiatry management are essential for timely diagnosis and optimal outcomes in Tolosa-Hunt Syndrome.\nKey words: Cavernous sinus inflammation, cranial neuropathy, hemicranial pain, MRI, psychiatric presentation, tolosa-hunt syndrome\n\n\n### Stigmatizing language and help-seeking behaviour among youths with substance use disorders\nYogender Malik, Adwitiya Ray\nPt.B.D.Sharma Post Graduate Institute of Medical Sciences, Rohtak, Haryana, India\nBackground: Youths with Substance use disorders (SUDs) frequently encounter stigma. Stigma influences their willingness to seek support. Terms such as addictor alcoholicmay reinforce negative identities, contributing to avoidance of disclosure and delaying help-seeking. Understanding youth perspectives on stigmatizing language is essential for improving treatment engagement.\nAim: To explore how youths perceive and use stigmatizing versus non-stigmatizing language related to SUDs, and how such language influences their help-seeking behaviour.\nMethods: This descriptive qualitative study used purposive sampling to recruit 60 participants aged 19-25 years who were abstinent or in supervised treatment for SUDs. Data collection used demographic survey, Social Identity Mapping (SIM) task, and in-depth face-to-face semi-structured interviews. In SIM task, participants visually mapped their social networks, identifying key individuals and each connection’s influence and substance-use status. A stigma-related language codebook was developed to classify negative or culturally derogatory substance-use terms. All labels used in SIM diagrams and interviews were categorized as stigmatizing or non-stigmatizing. Thematic analysis explored how stigmatizing language related to help-seeking behaviour, comfort with disclosure and willingness to seek support from formal services or informal networks.\nResults: Participants mostly rejected stigmatizing labels such as addictor alcoholic.They felt these terms were identity-defining and judgmental. Participants preferred person-first or recovery-focused language-person with addictionor in recovery.Stigmatizing language was linked to fear of judgment, less willingness to disclose substance use, and hesitation to seek professional help. While non-stigmatizing terms made participants more comfortable sharing their experiences.\nConclusion: Stigmatizing language strongly influences adolescents’ help-seeking.\n\n\n### A rare presentation of rett syndrome\nH. M. Yusra, W. J. Alexander Gnanadurai, A. Balaji\nDepartment of Psychiatry, Government Kilpauk Medical College Hospital, Chennai, Tamil Nadu, India\nBackground: Rett syndrome is a rare, X-linked dominant neurodevelopmental disorder that primarily affects females. It is characterized by a period of apparently normal early development followed by a progressive loss of acquired motor and communication skills, typically beginning between 6 and 18 months of age. The syndrome is caused by de novo mutations in the MECP2 gene, which plays a critical role in transcriptional regulation and chromatin remodeling.\nPatient Profile: 3 year old male child presented with speech delay difficulty in walking and frequent rubbing of eyes. Child was apparently normal till 5 months of age. He did not attain head control. He started to babble at 8 months of age and spoke bisyllable words around 1 year for age currently he does not speak. Family history of autism and intellectual disability present in sister and maternal cousin. On examination child is not responding to oral commands. Microcephaly, poor head control present, stereotypical movement of hands noted.Genetic studies showed mutation of MECP2.\nDiscussion: The MECP2 gene, located on Xq28, encodes a protein essential for synaptic maturation and maintenance. Mutations in this gene disrupt neuronal gene expression and synaptic function, leading to widespread neurological dysfunction. The near complete absence of males with classic RETT postulated a lethal effect of the MECP2 mutation in males Contrary to this MECP2 mutations have been reported and documented in male patients that displayed a wide assortment of presentations including but not limited to severe neurodevelopmental disabilities and congenital encephalopathy.\n\n\n### Shorts burts, lasting change: Clinical promise of long term theta burst stimulation in OCD\nZinedine Zidane, Sukriti Mukherjee, Sukanto Sarkar, Sucharita Mandal\nAll India Institute of Medical Sciences, Kalyani, West Bengal, India\nBackground: Obsessive-Compulsive Disorder is a chronic and often disabling condition, with 40-60% of patients showing inadequate response to standard pharmacotherapy and CBT. Dysregulation of cortico-striato-thalamo-cortical circuitry, particularly involving the supplementary motor area, contributes to persistent symptoms. Continuous Theta Burst stimulation, a patterned form of Repetitive Transcranial Magnetic Stimulation with short duration and strong inhibitory neuroplastic effects, has emerged as a possible neuromodulatory intervention for OCD.\nAims: To describe clinical outcomes following long-term SMA-targeted cTBS across three patients of OCD.\nMethods: Three patients with OCD received cTBS delivered over the SMA. Patients underwent consecutive sessions, followed by maintenance. YBOCS were recorded at baseline, and during follow-up to assess clinical change.\nResults: Case 1, a 36-year-old female, improved from a Y-BOCS score of 11 to 3 and maintained remission for one year with weekly maintenance sessions.\nCase 2, a 28-year-old male with poor insight, showed partial improvement from 32 to 24 following repeated courses, with sustained benefit during ongoing weekly sessions.\nCase 3, a 28-year-old male with OCD and Hoarding Disorder, improved from 28 to 20 with each treatment course, requiring consecutive sessions every 3-4 months.\nConclusion: SMA-targeted cTBS produced meaningful symptom reduction in all three cases. Patients achieved sustained remission through periodic maintenance stimulation. These observations support the potential clinical utility of cTBS as a safe and practical adjunctive treatment, though controlled studies with standardized protocols are required to establish efficacy.\n\n\n### Recurrent acute and transient psychotic disorder: Diagnostic challenges in a young female\nAnkit Saini, Priya Ranjan Avinash1, Robin Victor1, Praveen Rikhari1, Simrat Kaur1\nHimalayan Institute of Medical Sciences, Swami Rama Himalayan University, 1Department of Psychiatry, Himalayan Institute of Medical Sciences, Swami Rama Himalayan University, Dehradun, Uttarakhand, India\nIntroduction: Acute and Transient Psychotic Disorder (ATPD) is characterized by the rapid onset of psychotic symptoms—typically within two weeks—followed by a complete recovery. Recurrent episodes, while less common, present significant diagnostic challenges in differentiating the condition from chronic disorders such as Schizophrenia or Bipolar Affective Disorder.\nCase Description: A 26-year-old female, preparing for teaching exams, presented with a 20-day history of irrelevant talk, decreased sleep, and odd behavior. Symptoms emerged suddenly following a birthday phone call, beginning with social withdrawal and progressing to delusions of guilt, persecution, and being controlled by external spirits. The patient exhibited significant religious preoccupations, including a ritualistic chanting episode on a roof holding a religious flag. Physical aggression was noted during transit to the hospital.\nHistory and Examination: The patient had a similar episode in February 2024, which resolved within 10 days on Olanzapine. She remained asymptomatic until medication was discontinued. Mental Status Examination revealed a blunt, unstable affect and impaired personal judgment, while cognitive functions remained intact.\nConclusion: Based on ICD-10 and DSM-5 criteria, a diagnosis of Recurrent ATPD (Brief Psychotic Disorder) was made due to the sudden onset, polymorphic symptoms, and history of full remission. This case emphasizes the role of socio-cultural themes in symptom manifestation and underscores the necessity of guided medication maintenance to prevent relapse in recurrent cases.\n\n\n### Mind-gut interface: Trichotillomania complicated by trichobezoar\nBhavin Surani, Priya Ranjan Avinash1, Robin Victor1, Praveen Rikhari1, Simrat Kaur1\nHimalayan Institute of medical sciences, Swami Rama Himalayan University, 1Department of Psychiatry, Himalayan institute of medical sciences, Swami Rama Himalayan University, Dehradun, Uttarakhand, India\nIntroduction: Trichotillomania (TTM), also known as hair-pulling disorder, is a psychiatric condition classified under obsessive–compulsive and related disorders, commonly associated with anxiety. Repeated hair pulling may lead to trichophagia, which can result in trichobezoar formation. Trichobezoar is the second most common type of bezoar and consists predominantly of ingested hair accumulated within the gastrointestinal tract. It can cause serious complications such as intestinal obstruction, ulceration, perforation, and intussusception. Due to vague and nonspecific symptoms, early diagnosis is often challenging, necessitating a high index of clinical suspicion.\nCase Report: A 10-year-old female presented with upper abdominal pain and progressive abdominal distension for 15 days. She had been evaluated by multiple practitioners and managed symptomatically without sustained relief. With worsening symptoms, she presented to our center with features of acute abdomen. Abdominal examination revealed distension and tenderness. An erect abdominal X-ray showed fecal matter and gas-filled bowel loops. Upper gastrointestinal endoscopy revealed a large trichobezoar extending from the gastroesophageal junction into the duodenum. Endoscopic removal was attempted but unsuccessful. A past history of trichotillomania was elicited, dating back five years.\nDiscussion: The patient underwent exploratory laparotomy, during which a large gastric trichobezoar was removed, followed by primary repair of the gastric wall. Postoperatively, psychiatric evaluation was initiated, and she received psychological therapy along with antidepressant medication for trichotillomania. This combined surgical and psychiatric approach resulted in significant clinical improvement, habit reduction, and stabilization of her overall condition. This case highlights the importance of multidisciplinary management and early consideration of trichobezoar in children presenting with unexplained abdominal symptoms.\n\n\n### The scent of conspiracy: A case report of delusional disorder with prominent olfactory hallucinations\nAnshuman Vasudev, Priya Ranjan Avinash1, Robin Victor1, Praveen Rikhari1, Simrat Kaur1\nHimalayan Institute of Medical Sciences, Swami Rama Himalayan University, 1Department of Psychiatry, Himalayan institute of medical sciences, Swami Rama Himalayan University, Dehradun, Uttarakhand, India\nBackground: Delusional Disorder is characterized by the presence of persistent, systematized delusions lasting at least 1 month, typically in the absence of prominent mood symptoms, formal thought disorder, or negative symptoms. While auditory hallucinations are commonly described in psychotic disorders, olfactory hallucinations are relatively rare in primary psychiatric conditions and are more often associated with organic aetiologies. In the Indian sociocultural context, sensory experiences are frequently interpreted through culturally sanctioned beliefs such as black magic or contamination with Vibhuti (sacred ash).\nCase Details: Here we report a case of 32-year-old married female from a rural, lower-middle socioeconomic background presenting with suspiciousness, sleep disturbance, and odd behaviour of 3.5 months duration. Detailed clinical interview, collateral history, mental status examination, and diagnostic evaluation using DSM-5-TR was undertaken. She was diagnosed with delusional disorder persecutory type first episode currently in acute episode. The patient exhibited complex, systematized delusions of persecution and sexual assault involving family members. She reported persistent foul odours resembling dirty socks or faeces, attributed to Vibhuti allegedly used to harm her. Safety behaviours included food restriction, burning clothes, sealing doors, and increased religiosity. Mental status examination revealed dysphoric affect, intact cognition except impaired abstraction and judgment, and poor insight (1/5). Treatment with haloperidol resulted in partial improvement in sleep but persistent delusional beliefs.\nConclusion: This case illustrates how olfactory hallucinations can act as sensory confirmation of persecutory delusions within a cultural framework. Careful phenomenological assessment is essential to differentiate Delusional Disorder from schizophrenia and to guide appropriate management.", "domain": "affective_neuroscience"}
